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Systems Operation
MSS3s Machine Security System
Media Number -UENR7061-01 Publication Date -01/07/2015 Date Updated -30/07/2018

i06222270

General Information
SMCS - 7631

The Cat ® Machine Security System (MSS) discourages unwanted operation of a machine. The MSS
uses the new Cat ® electronic key. The Cat ® electronic key contains an electronic chip. The
electronic chip has a unique identification number (ID). An exciter coil is mounted around the key
start switch. The exciter coil reads the ID of the key.

The electronic control module (ECM) of the MSS is set up with the ID of the keys of the intended
users. When the MSS is armed, the ECM validates the ID of the key in the keyswitch. If that ID is in
the list of authorized keys in the ECM and the key is valid, the machine will operate normally. If that
ID is not in the list of authorized keys or the key is not valid, the MSS will keep the machine
functions disabled.

Components

The MSS consists of the following components:

• ECM (MSS3s)

• Cat ® electronic key

• Exciter coil

• Status indicator

• Relays

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Illustration 1 g06065503
Machine security system (MSS3s)
(1) SAE J1939
(2) Caterpillar Data Link
(3) Machine Security System Standalone ECM (MSS3s)
( 4) MSS Status Indicator
(5) MSS Software
(6) Keyswitch
(7) Exciter Coil
(8) MSS Electronic Key
(9) Battery 12V or 24V
(10) Relay
(11) Starter
(12) Immobilizer Software
(13) Critical System (Transmission ECM)
( 14) Critical System (Engine ECM)
( 15) Communications Adapter
(16) PC Caterpillar Service Tool (ET or PSPS)

The MSS3s ECM for the machine security system is a hardened computer that is designed
specifically for the MSS.

The Cat ® electronic key for the MSS contains an electronic chip that is embedded in the head of the
key. This chip in the head of the key contains a unique identification number. The Cat ® electronic
key uses the same key cut as the standard Cat ® key. The electronic key can be used to operate any
machine that uses the current Cat ® keyswitch. The Cat ® electronic key comes in a gray color or a
yellow color. Cat ® electronic keys are not configurable.

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The exciter coil of the MSS is a ring shaped device. The exciter coil is mounted around the existing
Cat ® keyswitch. The exciter coil is used to read the ID that is contained in the Cat ® electronic key.

Note: Ensure that you have only one electronic key near the exciter coil when the MSS reads
the key. If more than one electronic key is near the exciter coil, the MSS3s ECM will not read
the key and the machine will not start.

The status indicator for the MSS is mounted in the dash of the machine near the keyswitch. The status
indicator will give basic information about the MSS to the operator of the machine. The status
indicator has two colors: red and green.

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Systems Operation
MSS3s Machine Security System
Media Number -UENR7061-01 Publication Date -01/07/2015 Date Updated -30/07/2018

i06222272

System Overview
SMCS - 7631

The machine security system (MSS) is designed to restrict operation of a machine. A list of the
authorized electronic keys for a machine is contained in the electronic control module (ECM) for
the MSS. Only a Cat ® electronic key that is authorized can disarm the MSS. Disarming is
accomplished by assigning the ID of an electronic key to the ECM for the MSS. The Cat ®
Electronic Technician (Cat ® ET) service tool must be used to program the ECM with the
authorized keys.

When the exciter coil is used with MSS, the electronic key is placed in the keyswitch of the
machine and turned to the ON position. The ECM will read the unique ID that is stored in the key.
The ECM will then compare this ID to the list of authorized keys.

If the ID of the key that is read matches an authorized key, the following actions will occur:

• The status indicator will turn a green color.

• The MSS will disarm allowing the machine to operate.

If the ID of the key that is read does not match the list in the ECM, the following actions will
occur:

• The status indicator will become a red color.

• The MSS remains in the armed state.

• The machine will remain disabled.

Note: Ensure that you have only one electronic key near the exciter coil when the MSS reads
the key. If more than one electronic key is near the exciter coil, the MSS3s ECM will not
read the key and the machine will not start.

The machine security system can be installed in a combination of ways:

1. Electronic Control

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The MSS disables the machine by controlling up to two devices (relays) that are used to
power a critical machine system.

2. Immobilizer

The MSS disables the machine by communicating with other electronic control modules
across the J1939 CAN Data-Link and Cat ® Data- Link (CDL) by disabling critical machine
functions.

To change the list of authorized keys or configuration parameters, the user must have one of the
following items:

• Cat ® Electronic Technician (Cat ® ET) service tool and a key with master access level for
that specific machine security system

• Cat ® ET and a factory password

When a key with the master access level is not available, a factory password is required to change
certain parameters in the configuration.

Refer to Testing and Adjusting, "Factory Password - Obtain" for additional information on factory
passwords.

The Cat ® ET screen for the factory level security password will display the following parameters:

• ECM serial number

• Product ID (Serial number of the machine)

• Serial number of the service tool

• Reason code

• Total tattletale number

To obtain the proper passwords, the information must be given to an authorized Cat ® dealer.

If a key with the master access level for the machine is not available, a factory password must be
entered before changes can be made. The following information is needed before you call for a
factory password:

Table 1
Information That is Needed for the Factory Password
Product Identification
Software Part Number from MSS3s ECM
Serial Number from ET
Tattletale
99
Reason Code or
4

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Note: The password may only be used for one programming session. A different password
will be required after you exit the Cat ® ET screen.

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Systems Operation
MSS3s Machine Security System
Media Number -UENR7061-01 Publication Date -01/07/2015 Date Updated -30/07/2018

i06222274

Normal Operation
SMCS - 7631

Reading the ID of a Key

Before you can operate the machine, the MSS must identify a valid electronic key ID. The MSS
identifies a valid electronic key ID via the exciter coil.

Exciter Coil

When the key is turned to the ON position, the MSS enters the read mode. The MSS then checks
for a valid electronic key ID. If the electronic key ID matches one stored in the MSS3s ECM, then
power is supplied to the output drivers of the MSS3s ECM. An "enable" message is also sent via
the CAT data link to the other electronic control modules that are on the machine. The machine
will operate normally.

Note: Ensure that you have only one electronic key near the exciter coil when the MSS reads
the key. If more than one electronic key is near the exciter coil, the MSS3s ECM will not be
able to read the key. If the MSS3s ECM cannot read the key, the machine will not start.

Note: If the MSS3s ECM has failed or been removed, the other critical machine operations
controlled by the other electronic control modules will not operate.

Timeouts
After a machine has been started successfully, the operator will have 30 seconds after the machine
is turned off before the MSS is automatically armed. The operator is not required to arm the
system manually.

If the MSS is unable to read an electronic key ID, the system will remain armed.

When the MSS identifies a key with an invalid electronic key ID, the system will remain armed.

Armed

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When the MSS is armed, the output drivers are open. The output drivers being open, disables the
power that is supplied to each component that is powered by the output drivers. The machine will
not be able to operate normally. When the system has been armed, the red LED of the status
indicator will illuminate.

There are two states of operation within the "armed" mode.

1. "MSS Armed"

When no power is applied to the MSS, the MSS will default to "armed" state. When power
is applied to the MSS, and all timeouts have expired, the MSS will return to the "MSS
Armed".

2. "MSS Read"

Exciter Coil

When the keyswitch is first moved to the ON position, the MSS tries to read the electronic
key ID. The ECM will continue reading attempts until an ID is read or the read timeout
expires. If an ID is read, the MSS changes to the "MSS read" state. If the read timeout
expires, the MSS will turn on the red LED of the status indicator and the MSS will remain
armed.

Note: Ensure that you have only one electronic key near the exciter coil when the MSS
reads the key. If more than one electronic key is near the exciter coil, the MSS3s ECM
will not be able to read the key. If the MSS3s ECM cannot read the key, the machine
will not start.

Disarm
When the MSS is disarmed, the machine can be operated. The MSS has enabled the starter and
main circuits on the machine. A message is sent to the other machine ECMs over the J1939 and
Cat data links. The machine will be able to start. The green LED of the status indicator will
illuminate.

There are two ways to disarm the machine:

• Use a valid electronic key for this machine.

• Use the Cat Electronic Technician with a "Master Access Level" key or a factory password
to modify the configuration of the system.

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Systems Operation
MSS3s Machine Security System
Media Number -UENR7061-01 Publication Date -01/07/2015 Date Updated -30/07/2018

i06222275

Operation of Status Indicator

SMCS - 7631

The Machine Security System uses a status indicator that is mounted in the cab near the key start
switch. The status indicator provides a visible alert of the presence of the security system. When
the MSS is armed and the "key start switch" is first turned to ON or START, the status indicator
momentarily displays a red light. This light provides a warning that the machine is armed with a
security system.

Status Indicator

Illustration 1 g01002949
Typical installation of the Status Indicator
(1) Status Indicator
(2) Keyswitch with Exciter Coil

The state of the MSS is displayed by the status indicator in accordance with Table 1. The operator
can use the status indicator to determine the status of the system or for troubleshooting.

Table 1

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Status Description
Indicator
Continuously
The MSS is armed.(1)
Red
The MSS is disarmed.
Continuously
The green LED will remain ON 30 seconds after powerdown. After the 30
Green
seconds have passed, the MSS automatically returns to the "armed" mode.
The red LED and the green LED of the status indicator are tested
Continuously momentarily by the MSS3s ECM at [Link] status indicator will
Orange(2) remain on if No "application" software is detected in the electronic
control module (ECM).
(1)
The red LED will remain ON while the key is in the ON position or until a valid key is read. The red LED will
turn OFF approximately 3 seconds after the key is turned to the OFF position.
(2)
The red LED and the green LED are continuously ON.

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Systems Operation
MSS3s Machine Security System
Media Number -UENR7061-01 Publication Date -01/07/2015 Date Updated -30/07/2018

i06222276

Key Information
SMCS - 7631

You may configure the machine security system to recognize 255 authorized keys. This list
contains those keys that will disarm the machine security system. The user adds keys to this list.

The ECM can store five configuration parameters that identify each electronic key. These
parameters are listed below:

• Description

• Access level

• Expiration date

• ID1

• ID2

• Key Type

The parameters are not stored in the electronic key. A complete list of the configuration
parameters that are available in the Cat ® Electronic Technician (Cat ® ET) are listed below:

1. Add an electronic key.

2. Change the following information that is related to the electronic key.

a. Access level

b. Expiration date

c. Description

3. Delete an electronic key.

4. Security bypass times

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5. Set the internal clock.

6. Fleet configuration

Note: Refer to the Testing and Adjusting, "Key - Program" section for additional information on
items 2.a, 2.b,2.c,3, 5, and 6. Refer to the Systems Operation, "System Disarm Feature" section for
additional information on item 4.

Note: A single electronic key can be used on as many machines with an MSS as desired. A
separate key for every machine is not necessary. Key strategies will vary depending on machine
fleet usage. The following parameters can be different on each machine: Description, Access
Level and Expiration Date. The ID will be the same on all the machines.

Note: The features of the MSS are supported in version 2015B or later of the Cat® ET service
tool.

Table 1
Security Type Description Access Level Expiration Security ID
Key Operator 1 Master "_ _ _ _ _" 0:183243096
Key Operator 2 Standard "_ _ _ _ _" 0:110105956

Security Type
The security type identifies the type of security access that is being utilized. There are currently
two types of security identification.

• Key

Security ID
The ID that is stored in the electronic key is a 16-digit number that is displayed as two 8-digit
numbers in the Cat ET service tool. This field is known as "Security ID". When the numbers are
combined, the complete ID number is formed. The ECM uses this ID to associate a key to the set
of parameters in the list of keys. Entries in the list may have the same information for Description,
Access Level, and Expiration Date. You may choose a description of 11 characters or less for each
key in the list of keys. There can be multiple entries in the list with the same description. Create a
description so that the key describes either the owner of the key or the function of the user.

Note: Do not make duplicate descriptions for the electronic keys.

Access Level
You may assign one of two access levels to a key in the list of keys. The levels are either
"Standard" or "Master". Both access levels allow the key to disarm the system for operation. The
master access level also gives the user the ability to modify the settings of the MSS with the Cat ®
ET service tool.

The standard access level is for normal operation of the machine. The master access level should
be restricted to those persons that need to modify the settings of the machine security system.

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Expiration Date
An expiration date may be assigned to any key in the list of keys. This expiration date is defined in
6 hour intervals on a given date. The third entry in Table 1 contains an expiration date. For all of
the other keys in Table 1, the column with the expiration date is filled with "Dashed lines".
"Dashed lines" indicate that those entries do not have an expiration date. The machine security
system has an internal clock. Once the internal clock has passed the expiration date for a key, that
key will no longer disarm the system. However, the entry will not be deleted from the list of keys.
A new expiration date can be set, or the feature can be disabled. A possible use for the expiration
date is used with a rental contract.

Note: If the machine is running when the expiration date and time are reached, the machine will
continue to run. When the machine is shut down and the 30 second grace period has timed out, the
machine will not be allowed to restart.

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Systems Operation
MSS3s Machine Security System
Media Number -UENR7061-01 Publication Date -01/07/2015 Date Updated -30/07/2018

i06222281

Scheduled Access - "Security System Bypass Times"

SMCS - 7631

The Machine Security System can be programmed to disarm temporarily for a time period. The
MSS can be set to disarm for different time periods on each day. Within these periods of time, any
Caterpillar key (a standard key or an electronic key) will operate the machine.

Note: It is not possible to configure the "bypass times" for an individual electronic key. The
"bypass times" are not associated to an individual electronic key.

"Security System Bypass Times" are time periods that can be set to disarm the Machine Security
System automatically. An electronic key is not required during these periods. This feature can be
used for the normal work shift of the machine. Outside the normal work shift, the Machine
Security System would be armed. When the MSS is armed, an electronic key is required to start
the machine. This feature would minimize the number of electronic keys that are needed.

Table 1
"Sunday Security System Bypass Start Time" 00:00
"Sunday Security System Bypass Stop Time" 00:00
"Monday Security System Bypass Start Time" 6:00
"Monday Security System Bypass Stop Time" 18:00
"Tuesday Security System Bypass Start Time" 6:00
"Tuesday Security System Bypass Stop Time" 18:00
"Wednesday Security System Bypass Start Time" 6:00
"Wednesday Security System Bypass Stop Time" 18:00
"Thursday Security System Bypass Start Time" 6:00
"Thursday Security System Bypass Stop Time" 18:00
"Friday Security System Bypass Start Time" 6:00

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"Friday Security System Bypass Stop Time" 12:00

"Saturday Security System Bypass Start Time" 12:00
"Saturday Security System Bypass Stop Time" 12:00

Table 1 shows an example of "Security System Bypass". The "Start Time" is the time when the
Machine Security System will disarm. The Machine Security System will return to the "armed"
state at the "Stop Time". Between these two periods of time, any Caterpillar key will operate the
machine. Thus, the MSS is disarmed during this time period.

All times are based on a 24 hour clock. For example, 6:00 am is 06:00 and 3:00 pm is 15:00. The
Machine Security System will be disarmed during the times that are listed below: Monday through
Thursday from 06:00 to 18:00

On Friday, the MSS is disarmed for only half of the workday. After 12:00 on Friday, the Machine
Security System will be armed automatically. Operation will be restricted to operators with
electronic keys that are authorized in the MSS3s ECM on that machine. Refer to Table 1.

The Machine Security System is "armed" on the weekend. Because the "Start Time" and the "Stop
Time" are set for the same time, the Machine Security System will be armed throughout the day.

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Systems Operation
MSS3s Machine Security System
Media Number -UENR7061-01 Publication Date -01/07/2015 Date Updated -30/07/2018

i06222289

Diagnostic Operation
SMCS - 7631

A diagnostic code indicates that the ECM has detected one or more of the following conditions:

• an invalid signal from an input

• an improper feedback from an output

• an internal error

One method of displaying diagnostic information is provided:

• Diagnostic codes with descriptive text can be viewed with the Caterpillar Electronic
Technician (ET).

Display the diagnostic code with the Caterpillar Electronic Technician.

This method of displaying the diagnostic codes uses the service tool to display the codes. The
Component Identifier (CID) identifies the specific component for a specific diagnostic. The
Failure Mode Identifier (FMI) identifies the type of diagnostic that was detected. The diagnostic
codes allow consistent identification of the problem. The service tool is used to display the CID-
FMI with descriptive text for each combination. The descriptive text will help to avoid mistakes in
interpreting the codes.

Active Diagnostics
Active diagnostics indicate the presence of active diagnostic codes in the MSS. A diagnostic code
informs the operator that a problem exists with the MSS.

If the Cat service tool is available, the service tool can be used to display all active diagnostic
codes. The service tool will also display codes that have been logged.

Logged Diagnostics

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A logged diagnostic will record problems that are intermittent in the Machine Security System.
Logged diagnostics eliminate the need to duplicate problems that are intermittent. Logged
diagnostics will increase the accuracy of diagnosis. The time that is required to troubleshoot a
problem is reduced with the use of Diagnostics. Logged diagnostics eliminate the need for trip
recorders that are used to capture intermittent diagnostic information.

The memory of the control module is used to store diagnostic information. When a diagnostic
code is detected, the following information is logged:

• The CID will identify the component that has failed.

• The FMI will describe the problem.

• Number of occurrences of the diagnostic code

• The time of the first occurrence that the diagnostic was detected.

• Last occurrence time, when the diagnostic was last detected (stored with both machine
hours and RTC stamp)

The problems which can be logged are listed in Troubleshooting, "Diagnostic Code Procedures".

The MSS logs the number of times that the machine is started with the methods that are listed
below:

• Starting using an unauthorized method

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Systems Operation
MSS3s Machine Security System
Media Number -UENR7061-01 Publication Date -01/07/2015 Date Updated -30/07/2018

i06222291

Events
SMCS - 7631

An event indicates that the MSS is not operating correctly. An event does not indicate that there is a
failure with the system.

The MSS records data for the events that are listed in Table 1.

Cat ® Electronic Technician (Cat ET)

When an abnormal operating condition occurs, the status screen on Cat Electronic Technician (Cat
ET) indicates that there is an active event.

Event codes are displayed on Cat ET in the following format:

EXXXX Description of the code

The "E" means that the code is an event code. The "XXXX" is a numeric identifier. The numeric
identifier is followed by a description of the code.

Active event codes are listed in ascending numerical order. The code with the lowest number is listed
first. The active event code is removed from the list when the condition is no longer present.

Logged Event Codes

Some event codes are logged in the ECM memory. Some event codes are active only. The logged
event codes are listed in chronological order. The most recent code is listed first.

A logged code is cleared from memory when one of the following conditions occur:

• The service technician manually clears the code.

• The code does not reoccur for 1000 hours.

• A new code is logged and there are already ten logged codes in memory. In this case, the oldest
logged code is cleared.

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Note: Always clear logged event codes after investigating and correcting the problem which
generated the code.

Table 1
Events that are logged by the Machine Security System
EID Description Possible Cause/Recommended Response
Probable Cause: An unrecognized key has been used to
"Machine operation start the machine.
E273 attempted using an invalid
key" Recommended Action: Ensure that key list is up to date
with all required keys.
Probable Cause: Possible loss of key table.
"Loss of Key Table
E252
Information" Recommended Action: Check key table to ensure that it is
correct. Possibly caused by improper machine shutdown.

Logged Events

Illustration 1 g01097063
®
"Logged Event Codes" screen from theCaterpillar Electronic Technician for the Machine Security System

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Logged events provide a secure list of events that are critical to the security of the machine. The
ECM for the MSS is used to store information about events. When an event is detected, the following
information is logged:

• EID for the event

• Number of occurrences

• Time of the first occurrence of the event

• Time of the last occurrence of the event

Note: The ECM will record a maximum of 127 occurrences of the events. The newest event replaces
the oldest event after 127 events have been stored in the memory of the ECM.

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Systems Operation
MSS3s Machine Security System
Media Number -UENR7061-01 Publication Date -01/07/2015 Date Updated -30/07/2018

i06222294

Protected Functions
SMCS - 7631

There are two levels of protection:

• An electronic key with standard access level and a non-electronic key

• An electronic key with master access level (factory password)

The requirements for each level are explained below:

An Electronic Key with Standard Access Level and a Non-electronic Key

• The table of the MSS keys can be viewed but the table cannot be modified.

• The configuration settings of the MSS can be viewed but the settings cannot be modified.

Electronic Key with Master Access Level

A factory password or a master access level is needed to modify any settings through the service
tool.

• The settings for the MSS can be modified.

• The list of valid key IDs can be modified.

• The logged events can be cleared.

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Systems Operation
MSS3s Machine Security System
Media Number -UENR7061-01 Publication Date -01/07/2015 Date Updated -30/07/2018

i06222298

Service Operation Using Machine Security System

SMCS - 7631

The onboard interface has several purposes. The interface can provide the following information
to the operator: diagnostic feedback and event feedback. The system can also be programmed
through the onboard interface.

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Systems Operation
MSS3s Machine Security System
Media Number -UENR7061-01 Publication Date -01/07/2015 Date Updated -30/07/2018

i06222303

Service Operation Using Service Tool

SMCS - 0785-UE; 7631

The service tool is used to communicate with the ECM for the following information:

• display and control of code

• programming

• management

• diagnostics

• events

To protect the machine properly, the service tool requires a factory password or a key with the
master access level. This password or key is required before any modifications can be made to the
MSS.

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Systems Operation
MSS3s Machine Security System
Media Number -UENR7061-01 Publication Date -01/07/2015 Date Updated -30/07/2018

i06222310

Electronic Control Module (ECM)

SMCS - 7610-MCH

FCC NOTICE
This device complies with Part 15 of the FCC Rules. Operation is subject to the following two
conditions:

1. This device may not cause harmful interference.

2. This device must accept any interference received, including interference that may cause
undesired operation.

Industry Canada Notice to Users

This device complies with Industry Canada licence-exempt RSS standard(s). Operation is subject
to the following two conditions:

1. This device may not cause interference.

2. This device must accept any interference, including interference that may cause undesired
operation of the device.

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Illustration 1 g06105748

ECM Inputs
Keyswitch
The key start switch is also used as an input signal to the MSS. The input from the key switch is
used to determine when the machine is on. Battery voltage is connected to this input through the
ON and START positions of the keyswitch. When the machine is operating and the alternator is
charging, the voltage on this input will be:

• 14.1 - 15.1V for a 12V system

• 27.6 - 29.6V for a 24V system

When the machine is not running, the voltage on this input will be approximately 12V for a 12V
system and 24V for a 24V system.

Neutral Start Input

When activated, the NEUTRAL START input supplies power to the neutral start ON/OFF driver
5 (STARTER solenoid driver) using +BATT.

Switch to ground

These inputs allow the ECM to detect closure of switches to the ECM ground (- BATTERY
input).

ECM Outputs
Status Indicator

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The status indicator displays status of the system. The status indicator has three connections. One
of the three connections is for a ground. Another connection is for the red LED. The third
connection is for the green LED.

Output Drivers
Two output drivers are available to control relays or solenoids on the machine. Unless a valid "key
ID" has been identified by the system, the drivers will remain without power. The drivers are rated
at 2A.

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Systems Operation
MSS3s Machine Security System
Media Number -UENR7061-01 Publication Date -01/07/2015 Date Updated -30/07/2018

i06222315

System Components
SMCS - 7631

Cat® Electronic Key

Illustration 1 g00793955
The Cat® electronic key

The Cat® key is the universal key for all Caterpillar machines. The electronic key has an
electronic chip that is embedded inside the head of the key. The electronic keys are gray or
yellow.

Exciter Coil
The exciter coil provides communication between the electronic key and the control module.

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The exciter coil is mounted around the keyswitch. This position allows the exciter coil to
communicate with the electronic key. Any ferrous metal between the coil and the electronic key
will interfere with the communications. Mounting the coil in the same plane as the top of the
keyswitch will minimize the interference.

Note: Ensure that you have only one electronic key near the exciter coil when the machine
security system (MSS) reads the key. If more than one electronic key near the exciter coil,
the MSS3s ECM will not read the key and the machine will not start.

The exciter coil is connected to the harness via a 2-pin connector and a length of wire.

Status Indicator

Illustration 2 g00862013

The state of the MSS is displayed by the status indicator. The green LED of the status indicator
turns on when the system is disarmed. The machine should start. The red LED of the status
indicator turns on when the system is armed and an invalid electronic key has been read by the
MSS. The machine should not start. Both LEDs will turn on, producing an orange light if the
application software of the MSS has not been programmed into the ECM.

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Systems Operation
MSS3s Machine Security System
Media Number -UENR7061-01 Publication Date -01/07/2015 Date Updated -30/07/2018

i06752745

Data Links
SMCS - 7631

The J1939 and Cat Data Link can connect the ECM for the MSS to the following items:

• Service tools

• Onboard controls

• Monitoring systems

The service tool can send information to the MSS through the J1939 and Cat Data Link. The MSS
can provide information over the J1939 and Cat Data Link to transmission control, engine control,
and service tool. The information can be for diagnostics, or the information can be used to control
other systems on the machine.

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Systems Operation
3054C Engines for Caterpillar Built Machines
Media Number -RENR2415-16 Publication Date -01/05/2015 Date Updated -19/09/2018

i02553262

General Information
SMCS - 1000

Engine Description
Note: When you are ordering new parts, refer to the engine identification number in order to receive
the correct parts. Refer to the Operation and Maintenance Manual, "Product Identification
Information" for the correct numbers for your engine.

The four engine cylinders are arranged in-line. The engines are controlled by a mechanically
governed fuel injection pump.

The cylinder head assembly has one inlet valve and one exhaust valve for each cylinder. Each valve
has one valve spring. The pistons have two compression rings and an oil control ring.

It is important to ensure the correct piston height so that the piston does not contact the cylinder head.
The correct piston height also ensures the efficient combustion of fuel.

The crankshaft has five main journals. End play is controlled by thrust washers that are located on
both sides of the center main bearing.

The timing case has a hole that corresponds with a hole in the crankshaft. Use an alignment pin to
find TC. The camshaft gear has a timing hole that corresponds with a timing hole in the timing case.
The timing holes ensure that the camshaft and the crankshaft are in time with each other.

The crankshaft gear rotates the idler gear. The idler gear rotates the camshaft gear and the fuel
injection pump gear. The idler gear for the engine oil pump is rotated by the crankshaft gear. This
idler rotates the engine oil pump.

The fuel injection pump is a gear-driven pump that is mounted to the back of the front housing. The
fuel transfer pump is electrically operated. The fuel transfer pump has an integral fuel filter. The fuel
transfer pump is usually located on the left hand side of the cylinder block. Some applications may
require the fuel transfer pump to be relocated.

The engine oil pump is a gerotor. The oil pump is driven by an idler gear. The engine oil pump sends
lubricating oil to the main oil gallery. The oil relief valve is internal to the oil pump.

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Coolant from the bottom of the radiator passes through the centrifugal water pump. The pump is
rotated by a gear. The gear of the pump is rotated by the gear from the fuel injection pump.

Lifting the Engine

NOTICE

Failure to follow recommended procedures for handling or

transporting engines can lead to engine damage.

To avoid possible engine damage, use the following procedure.

When you are lifting or moving the engine, use the following procedures in order to prevent engine
damage.

1. Do not tilt the engine to an extreme angle unless the lubricating oil is first drained from the oil
pan.

2. Do not turn the engine onto a side or an end surface unless the lubricating oil is first drained
from the oil pan.

3. If the oil is not drained prior to tilting the engine or turning the engine onto a side or an end
surface, the lubricating oil from the oil pan can flow into the intake manifold and the cylinder
bores. This situation could cause a hydraulic lock in the engine. Hydraulic lock can severely
damage the engine.

4. The engine oil should be refilled to the correct level before the engine is started.

Engine Model Views

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Illustration 1 g01277867
(1) Water temperature regulator housing
(2) Valve mechanism cover
(3) Fuel transfer pump and fuel filter
(4) Engine oil cooler
(5) Fan drive
(6) Water pump
(7) Crankshaft pulley
(8) Oil pan
(9) Engine oil filter

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Illustration 2 g01277868
(10) Engine oil filler cap
(11) Exhaust manifold
(12) Turbocharger
(13) Alternator
(14) Flywheel housing
(15) Flywheel
(16) Electric starting motor

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Systems Operation
3054C Engines for Caterpillar Built Machines
Media Number -RENR2415-16 Publication Date -01/05/2015 Date Updated -19/09/2018

i06066506

Fuel System
SMCS - 1250

Delphi DP210 and the Bosch EPVE fuel injection pumps are installed on these engines.

The fuel transfer pump draws fuel from the fuel tank and through the water separator. When the
fuel goes through the water separator, any water in the fuel will go to the bottom of the bowl. The
fuel transfer pump sends the fuel at a low pressure to the fuel filter. From the fuel filter, the fuel
goes through the supply line to the fuel injection pump.

The fuel injection pump sends fuel through the high-pressure fuel line to each of the fuel injection
nozzles. The fuel injection nozzle sprays the fuel into the cylinder. Fuel that is not injected flows
through the fuel return line to the top of the fuel filter, back to the fuel tank.

The engine must not be started until the fuel injection pump is full of fuel that is free of air. The
fuel injection pump requires fuel for lubrication. The precision parts of the pump are easily
damaged without lubrication.

The fuel system must be primed when any of the following conditions occur:

• The fuel filter is changed.

• The fuel line is removed.

• The fuel injection pump is removed.

Fuel System Components

Fuel Injection Pump

General Operation

The fuel injection pump is a pressurized system that is enclosed. The pump sends the correct
amount of fuel under high pressure at the correct time through the fuel injection nozzles to the
individual cylinders. The fuel injection pump regulates the amount of fuel that is delivered to the

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fuel injection nozzles. This action controls the engine rpm by the governor setting or the position
of the throttle control.

The fuel lines to the fuel injection nozzles are equal lengths. This arrangement ensures even
pressure and correct injection timing at each fuel injection nozzle.

During operation, extra fuel is used as coolant and lubricant for moving parts of the pump. The
extra fuel is circulated through the pump housing. The extra fuel is then returned to the fuel tank.

The Delphi DP210 fuel injection pump must be serviced by an authorized Delphi technician. For
repair information, contact your Cat dealer.

High idle and low idle of the fuel injection pump are factory set. Idle adjustments cannot be made
to the fuel pump. The fuel injection pump has a boost control and an engine stop solenoid. The
Delphi DP210 fuel injection pump has a feature that vents air from the pump.

The fuel injection pump has a cold starting aid. The cold starting aid advances the timing of the
pump when the engine is cold. The cold starting aid is electrically operated.

Cold Start Advance Unit.

The cold start advance unit holds the timing of the fuel injection pump in an advance position
when the engine is cold.

The coolant switch for the cold start advance unit is normally on the rear of the timing case on the
left side of the engine. However, on certain applications, the switch may be located on the end of
the cylinder head.

When the engine is cold, the sender unit is energized in order to advance the fuel injection pump
timing for the cold start operation. When the correct temperature is achieved, the sender unit is de-
energized and the fuel injection pump timing is returned to the normal operating position.

If the switch fails in the closed position, the engine will run with advanced fuel injection timing.
The engine will have higher cylinder pressure and engine damage may result.

If the switch fails in the open position, the engine will run with the fuel injection timing in the
normal operating position. The engine will be more difficult to start. When the engine is cold, the
engine might emit white smoke.

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Systems Operation
3054C Engines for Caterpillar Built Machines
Media Number -RENR2415-16 Publication Date -01/05/2015 Date Updated -19/09/2018

i03586566

Air Inlet and Exhaust System

SMCS - 1050

Illustration 1 g01914622

Air inlet and exhaust system (typical example)

(1) Exhaust manifold

(2) Inlet manifold

(3) Engine cylinders

(4) Air inlet

(5) Turbocharger compressor wheel

(6) Turbocharger turbine wheel

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(7) Exhaust outlet

Engines which are naturally aspirated pull outside air through an air cleaner directly into the inlet
manifold (2) . The air flows from the inlet manifold to the engine cylinders (3) . The fuel is mixed
with the air in the engine cylinders. After the fuel combustion occurs in the engine cylinder, the
exhaust gases flow directly to the outside air through the exhaust manifold (1) .

Turbocharged engines pull outside air through an air cleaner into the air inlet (4) of the
turbocharger. The suction is caused by the turbocharger compressor wheel (5) . Then, the
turbocharger compressor wheel compresses the air. The air flows through the inlet manifold (2)
which directs an even distribution of the air to each engine cylinder (3) . Air is pulled into the
engine cylinder (3) during the intake stroke of the piston. Then, the air is mixed with fuel from the
fuel injection nozzles.

Each piston makes four strokes:

1. Intake

2. Compression

3. Power

4. Exhaust

The sequence of the strokes by all of pistons in all of the engine cylinders provide constant air
flow to the inlet system during the engine operation.

The exhaust stroke and the timing of the valve mechanism pushes combustion gases out of the
open exhaust valve through the exhaust manifold (1) . The exhaust gases flow through the blades
of the turbocharger turbine wheel (6) which causes the turbine wheel and the compressor wheel to
turn. Then, the exhaust gases flow through the exhaust outlet (7) of the turbocharger to the
outside.

The air inlet system is also equipped with a crankcase ventilation system. The intake strokes of the
pistons pull in atmospheric air to the crankcase.

Turbocharger
A turbocharger increases the temperature and the density of the air that is sent to the engine
cylinder. This condition causes a lower temperature of ignition to develop earlier in the
compression stroke. The compression stroke is also timed in a more accurate way with the fuel
injection. Surplus air lowers the temperature of combustion. This surplus air also provides internal
cooling.

A turbocharger improves the following aspects of engine performance:

• Power output is increased.

• Fuel efficiency is increased.

• Engine torque is increased.

• Durability of the engine is increased.

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• Emissions of the engine are decreased.

Illustration 2 g01278022

Components of a turbocharger (typical example)

(8) Air inlet

(9) Compressor housing

(10) Compressor wheel

(11) Bearing

(12) Oil inlet port

(13) Bearing

(14) Turbine housing

(15) Turbine wheel

(16) Exhaust outlet

(17) Oil outlet port

(18) Exhaust inlet

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A turbocharger is installed between the exhaust and intake manifolds. The turbocharger is driven
by exhaust gases which flow through the exhaust inlet (18) . The energy of the exhaust gas turns
the turbine wheel (15) . Then, the exhaust gas flows out of the turbine housing (14) through the
exhaust outlet (16) .

The turbine wheel and the compressor wheel (10) are installed on the same shaft. Therefore, the
turbine wheel and the compressor wheel rotate at the same rpm. The compressor wheel is enclosed
by the compressor housing (9) . The compressor wheel compresses the inlet air (8) . The inlet air
flows into the engine cylinders through the inlet valves of the cylinders.

The oil from the main gallery of the cylinder block flows through the oil inlet port (12) in order to
lubricate the turbocharger bearings (11) and (13) . The pressurized oil passes through the bearing
housing of the turbocharger. The oil is returned through the oil outlet port (17) to the oil pan.

Some turbochargers have a wastegate. The wastegate is controlled by the boost pressure. This
allows some of the exhaust to bypass the turbocharger at higher engine speeds. The wastegate is a
type of flapper valve that automatically opens at a preset level of boost pressure in order to allow
exhaust gas to flow around the turbine. The wastegate allows the design of the turbocharger to be
more effective at lower engine speeds.

The wastegate is controlled by a diaphragm. One side of this diaphragm is open to the atmosphere.
The other side of this diaphragm is open to the manifold pressure.

An air/fuel ratio control is installed between the turbocharger and the fuel injection pump. The
air/fuel ratio control performs the following functions:

• The fuel is limited on acceleration in order to prevent an overspeed condition.

• The generation of black smoke is reduced.

• The fuel efficiency is improved and emissions are reduced at low boost when the fuel rack
is limited for low power output.

The air/fuel ratio control is a nonserviceable part. Adjustment and repairs should only be done by
a Caterpillar Dealer.

Cylinder Head And Valves

The valves and the valve mechanism control the flow of the air and the exhaust gases in the
cylinder during engine operation. The cylinder head assembly has two valves for each cylinder.
Each valve has one valve spring. The ports for the inlet valves are on the left side of the cylinder
head. The ports for the exhaust valves are on the right side of the cylinder head. Steel valve seat
inserts are installed in the cylinder head for both the inlet and the exhaust valves. The valve seat
inserts can be replaced.

The valves move along valve guides. The valve guides can be replaced. The exhaust valve guide
has a counterbore in order to prevent the seizure of the valve stem. The seizure of the valve stem is
caused by a buildup of carbon under the head of the valve.

The inlet and the exhaust valves are opened and closed by the rotation and movement of the
following components:

• Crankshaft

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• Camshaft

• Valve lifters

• Pushrods

• Rocker arms

• Valve springs

The camshaft gear is driven by the crankshaft gear. The camshaft and the crankshaft are timed
together. When the camshaft turns, the valve lifters are moved up and down. The pushrods move
the rocker arms. The movement of the rocker arms open the valves. The opening and closing of
the valves is timed with the firing sequence of the engine. The valve springs push the valves back
to the closed position.

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Systems Operation
3054C Engines for Caterpillar Built Machines
Media Number -RENR2415-16 Publication Date -01/05/2015 Date Updated -19/09/2018

i01821020

Lubrication System
SMCS - 1300

Illustration 1 g00930206
Flow diagram of the lubrication system

Pressure for the lubrication system is supplied by a gerotor oil pump. The crankshaft gear drives a
lower idler gear. The lower idler gear drives the oil pump gear. The pump has an inner rotor and an
outer rotor. The axis of rotation of the rotors are off-center relative to each other. There is an
interference fit between the inner rotor and the drive shaft.

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The inner rotor has five lobes which mesh with the six lobes of the outer rotor. When the pump
rotates, the distance increases between the lobes of the outer rotor and the lobes of the inner rotor in
order to create suction. When the distance decreases between the lobes, pressure is created.

Lubricating oil from the oil pan flows through a strainer and a pipe to the suction side of the engine
oil pump. The lubricating oil flows from the outlet side of the pump through a pipe and a passage to
the oil filter head. The oil then flows from the filter head through a pipe to a plate type oil cooler .
The integral oil cooler is located on the left side of the cylinder block.

From the oil cooler, the oil returns through a pipe to the oil filter head. The oil then flows from the
filter head to the bypass valve and from the bypass valve to the oil filter.

The oil flows from the oil filter through a passage that is drilled across the cylinder block to the oil
gallery. The oil gallery is drilled through the total length of the left side of the cylinder block. If the
oil filter is on the right side of the engine, the oil flows through a passage that is drilled across the
cylinder block to the pressure gallery.

Lubricating oil from the oil gallery flows through high pressure passages to the main bearings of the
crankshaft. Then, the oil flows through the passages in the crankshaft to the connecting rod bearing
journals. The pistons and the cylinder bores are lubricated by the splash of oil and the oil mist.

Lubricating oil from the main bearings flows through passages in the cylinder block to the journals of
the camshaft. Then, the oil flows from the second journal of the camshaft at a reduced pressure to the
cylinder head. The oil then flows into the rocker arm shaft at a reduced pressure to the bearings of the
rocker arm levers. The valve stems, the valve springs and the valve lifters are lubricated by the splash
and the oil mist.

The hub of the idler gear is lubricated by oil from the oil gallery. The timing gears are lubricated by
the splash from the oil.

Side mounted turbochargers are lubricated by oil from a connection on the right side of the cylinder
block. An external line from the cylinder block supplies oil to the turbocharger. The oil then flows
through a line to the oil pan.

Top mounted turbochargers are fed from the oil filter head or from a connection on the right side of
the cylinder block.

These engines have piston cooling jets that are supplied with oil from the oil gallery. The piston
cooling jets spray lubricating oil on the underside of the pistons in order to cool the pistons.

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Systems Operation
3054C Engines for Caterpillar Built Machines
Media Number -RENR2415-16 Publication Date -01/05/2015 Date Updated -19/09/2018

i01820991

Cooling System
SMCS - 1350

Illustration 1 g00929651
Flow diagram of the cooling system

The coolant flows from the bottom of the radiator to the centrifugal water pump. The water pump
assists in the flow of the coolant through the system. The water pump is installed on the front of the
timing case. The water pump is gear-driven by the fuel injection pump gear.

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The water pump forces the coolant through a passage in the front of the timing case to the water
jacket in the top left side of the cylinder block. The coolant continues to the rear of the cylinder block
and some of the coolant passes into the oil cooler. The aluminum cover of the oil cooler covers the
element. The element can have either five plates or seven plates. The oil cooler is located on the left
side of the cylinder block with no external lines.

The coolant flows around the element of the oil cooler to the rear of the cylinder block. The coolant
then passes from the rear of the cylinder block and into the rear of the cylinder head.

The coolant flows forward through the cylinder head and into the water temperature regulator
housing. If the water temperature regulator is closed, the coolant goes directly through a bypass to the
inlet side of the water pump. If the water temperature regulator is open, the bypass is closed and the
coolant flows to the top of the radiator.

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Systems Operation
3054C Engines for Caterpillar Built Machines
Media Number -RENR2415-16 Publication Date -01/05/2015 Date Updated -19/09/2018

i01810226

Basic Engine
SMCS - 1200

Cylinder Block and Cylinder Head

The cylinder block has four cylinders which are arranged in-line.

The cylinder block has five main bearings which support the crankshaft. Thrust washers on both
sides of the center main bearing control the end play of the crankshaft.

A cylinder head gasket is used between the engine block and the cylinder head in order to seal
combustion gases, water, and oil.

The engine has a cast iron cylinder head. An inlet valve and an exhaust valve for each cylinder are
controlled by a pushrod valve system. The ports for the inlet valves are on the left side of the
cylinder head. The ports for the exhaust valves are on the right side of the cylinder head.

Pistons, Rings, and Connecting Rods

The pistons have a combustion chamber in the top of the piston in order to provide an efficient
mix of fuel and air. The piston pin is off-center in order to reduce the noise level.

The pistons have two compression rings and an oil control ring. The groove for the top ring has a
hard metal insert in order to reduce wear of the groove. The skirt has a layer of graphite in order to
reduce wear.

The correct piston height is important in order to ensure that the piston does not contact the
cylinder head. The correct piston height also ensures the efficient combustion of fuel which is
necessary in order to conform to requirements for emissions.

A piston and connecting rod are matched to each cylinder. The piston height is controlled by the
length of the connecting rod. Six different lengths of connecting rods are available in order to
attain the correct piston height. The different lengths of connecting rods are made by machining
the small end bearing off-center in order to form an eccentric bearing. The amount of the
eccentricity of the bearing creates the different lengths of the connecting rods.

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Each cylinder has a piston cooling jet that is installed in the cylinder block. The piston cooling jet
sprays engine oil onto the inner surface of the piston in order to cool the piston.

Crankshaft
The crankshaft changes the combustion forces in the cylinder into usable rotating torque in order
to power the engine. Vibration is caused by impacts from combustion along the crankshaft. The
vibration forces are minimized by the use of a vibration damper. The vibration damper is located
on the front of the crankshaft.

A gear at the front of the crankshaft drives the timing gears. The crankshaft gear turns the idler
gear which then turns the following gears:

• Camshaft gear

• Fuel injection pump

• Lower idler gear which turns the gear of the lubricating oil pump

Lip type seals are used on both the front of the crankshaft and the rear of the crankshaft.

Camshaft
The engine has a single camshaft. The camshaft is driven by an idler gear in the front housing. The
camshaft uses only one bearing on the front journal. The other journals rotate in the bore of the
cylinder block. The front bearing and the camshaft bores in the cylinder block support the
camshaft. As the camshaft turns, the camshaft lobes move the valve system components. The
valve system components move the cylinder valves. The camshaft gear must be timed to the
crankshaft gear. The relationship between the lobes and the camshaft gear causes the valves in
each cylinder to open at the correct time. The relationship between the lobes and the camshaft gear
also causes the valves in each cylinder to close at the correct time.

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Systems Operation
3054C Engines for Caterpillar Built Machines
Media Number -RENR2415-16 Publication Date -01/05/2015 Date Updated -19/09/2018

i02553814

Electrical System
SMCS - 1400; 1550; 1900

The electrical system is a negative ground system.

The charging circuit operates when the engine is running. The alternator in the charging circuit
produces direct current for the electrical system.

Starting Motor

Illustration 1 g00894520
Typical example

The starting motor turns the engine flywheel. The rpm must be high enough in order to initiate a
sustained operation of the fuel ignition in the cylinders.

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The starting motor has a solenoid. When the ignition switch is activated, voltage from the
electrical system will cause the solenoid to move the pinion toward the flywheel ring gear of the
engine. The electrical contacts in the solenoid close the circuit between the battery and the starting
motor barely before the pinion engages the ring gear. This causes the starting motor to rotate. This
type of activation is called a positive shift.

When the engine begins to run, the overrunning clutch of the pinion drive prevents damage to the
armature. Damage to the armature is caused by excessive speeds. The clutch prevents damage by
stopping the mechanical connection. However, the pinion will stay meshed with the ring gear until
the ignition switch is released. A spring in the overrunning clutch returns the clutch to the rest
position.

Alternator

Illustration 2 g01278178
(1) Shaft for mounting the pulley

The alternator produces the following electrical output:

• Three-phase

• Full-wave

• Rectified

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The alternator is an electro-mechanical component that has brushes. The alternator is driven by a
belt from the crankshaft pulley. The alternator charges the storage battery during the engine
operation.

The alternator is cooled by an external fan which is mounted behind the pulley. The fan forces air
through the holes in the front of the alternator. The air exits through the holes in the back of the
alternator.

The alternator converts the mechanical energy and the magnetic energy into alternating current
and voltage. This conversion is done by rotating a direct current electromagnetic field on the
inside of a three-phase stator. The electromagnetic field is generated by electrical current flowing
through a rotor. The stator generates alternating current and voltage.

The alternating current is changed to direct current by a three-phase, full-wave rectifier. Direct
current flows to the output terminal of the alternator. The rectifier has three exciter diodes. The
direct current is used for the charging process.

A solid-state regulator is installed on the rear end of the alternator. Two brushes conduct current
through two slip rings. The current then flows to the rotor field. A capacitor protects the rectifier
from high voltages.

The alternator is connected to the battery through the ignition switch. Therefore, alternator
excitation occurs when the switch is in the ON position.

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Systems Operation
Air Conditioning and Heating R134a for All Caterpillar Machines
Media Number -SENR5664-31 Publication Date -01/05/2015 Date Updated -23/10/2018

i03007150

General Information
SMCS - 7309

The purpose of this service manual is to describe the operation, testing and adjusting procedures,
and disassembly and assembly procedures of Caterpillar operator station heating and air
conditioning systems.

These systems are designed to provide thermal comfort to machine operators in various
conditions.

Both systems are closed loop systems that work by exchanging heat between the system fluid and
the air that is supplied to the operator station. The fluid in the air conditioning system is
refrigerant, and the fluid in the heating system is engine coolant.

In the air conditioning system, heat is transferred from the hot cab air to the cold refrigerant in the
evaporator. The refrigerant is then transported to the condenser. Heat is deposited outside the
condenser.

In the heating system, heat is transferred from the hot engine coolant to the cold cab air in the
heater coil. The engine coolant is then transported to the engine. When the coolant is back in the
engine, the coolant is heated again.

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Systems Operation
Air Conditioning and Heating R134a for All Caterpillar Machines
Media Number -SENR5664-31 Publication Date -01/05/2015 Date Updated -23/10/2018

i02983732

Identifying the Refrigerant

SMCS - 1809

Before servicing the air conditioning system, the type of refrigerant that is used must be
determined so that the correct service manual can be selected.

A tag that is placed in the cab or near the compressor can identify the refrigerant. The machine can
have factory installed tag (1), or the machine can have tag (2) that is installed by the dealer.

Illustration 1 g01507259
(1) Factory installed identification tag
(2) Retrofit tag that is installed by the dealer

One may also identify the type of refrigerant that is used in the air conditioning system by
examining the charging ports. Systems with R-134a will use ports that are quick disconnect (4)

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while systems with the older R-12 will use threaded ports (3). These ports are usually found in the
block fittings that attach to the compressor.

Illustration 2 g01507261
(3) R-12 charging port
(4) R-134a charging port

If the system contains R-12 and needs to be serviced, refer to Service Manual, SENR3334, "Air
Conditioning and Heater R-12".

If the system contains R-12 and needs to be retrofitted for use with R-134a, refer to Special
Instruction, SEHS9734, "Retrofitting Caterpillar R-12 Air Conditioning System to R-134a
Refrigerant".

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Systems Operation
Air Conditioning and Heating R134a for All Caterpillar Machines
Media Number -SENR5664-31 Publication Date -01/05/2015 Date Updated -23/10/2018

i02979466

Identifying the Air Conditioning System

SMCS - 1808; 7320-ZJ; 7322

The R-134a air conditioning system can be identified as an orifice tube system or an expansion
valve system.

Illustration 1 g01507394
(1) In-line dryer

One identifies the orifice tube system by locating either an in-line dryer (1) or an accumulator (2)
in the system. The orifice tube is located within the in-line dryer or within the evaporator inlet
tube and the orifice tube cannot be seen.

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Illustration 2 g01507395
(2) Accumulators

The following components are the six components of the orifice tube system:

• Compressor

• Condenser coil

• Dryer

• Orifice tube

• Evaporator Coil

• Accumulator

The expansion valve system can be identified by locating a Thermostatic Expansion Valve (TXV)
in the system. The two main types of TXV's are block (3) and 90° expansion valves (4).
Expansion valve systems also contain a receiver-dryer (5).

Illustration 3 g01507433
(3) Block expansion valve
(4) 90° expansion valve

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Illustration 4 g01507435
(5) Receiver-dryers

The following components are the five components of the expansion valve system:

• Compressor

• Condenser coil

• Receiver-dryer

• Expansion valve

• Evaporator coil

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Systems Operation
Air Conditioning and Heating R134a for All Caterpillar Machines
Media Number -SENR5664-31 Publication Date -01/05/2015 Date Updated -23/10/2018

i06598406

Identifying the Heating System

SMCS - 7304; 7309

Identifying the Heating System

The heating system can be identified as either a water valve control system or a blend door control
system. The control system for the water valve regulates the amount of hot engine coolant that is
circulated through the heater coil. The control system for the blend door regulates the amount of air
that is routed through the heater coil. Both the water valve and the blend door can be regulated
through either a mechanical cable or through an electronic actuator.

Heating System with Water Valve Control

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Illustration 1 g06039335
(1) Supply from engine thermostat
(2) Return to water pump
(3) Heater return to water pump
(4) ESPAR return to water pump

The hot coolant from the engine circulates through the heating system. This coolant flows from the
engine thermostat (1), through heater control valve, through heater coil, and back to the return valve
for the water pump. The temperature control knob, which is on the control panel within the cab,
regulates the flow of coolant.

With the temperature control knob in the maximum cold position, heater control valve is closed. This
prevents the flow of coolant into heater coil. When the control knob is moved away from the
maximum cold position toward the maximum heating position, the heater control valve begins to
open. As the control valve opens, coolant begins to flow from the outlet valve for engine thermostat
through the heater control valve and into the heater coil. As the hot coolant flows through the heater
coil, the temperature of the air that is flowing through the coil increases.

The temperature of the air that is flowing out of heater coil and into the cab is controlled by the
amount of coolant that circulates through the heater coil. The coolant transfers the heat into the air
stream. By increasing the amount of coolant that is circulating through the heater coil, the
temperature of the air that is flowing out of the coil also increases. The coolant leaves the heater coil
at a reduced temperature and flows back into the return valve for the water pump.

Heating System with Blend Door Control

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The hot coolant from the engine circulates through the heating system. This coolant flows from the
outlet valve for the engine thermostat, through heater control valve, through heater coil, and back to
the return valve for the water pump. The temperature control knob, which is on the control panel
within the cab, regulates the flow of coolant.

The air from outside of the unit is pulled through evaporator coil. This is through a series of ducts and
filters. The incoming air is directed by using a blend door. The air can be directed to flow through
heater coil, or the air can be directed to bypass the heater coil. With the temperature control knob in
the maximum cold position, blend door is closed. This prevents the air from flowing through heater
coil. This air flows directly from evaporator coil to the cab.

When the control knob is moved away from the maximum cold toward the maximum heat position,
blend door begins to open. As the blend door opens, air begins to flow through heater coil and mixes
with the colder air that is flowing through evaporator coil. This mixture of air is delivered to the cab
through the air ducts. As the amount of air that is flowing through the heater coil increases, the
overall temperature of the air that is flowing into the cab also increases.

Heater Coil

The heater coil is a device that is similar to a radiator. The heater coil heats the cab of the machine.
The heater coil is exposed to the air which passes across the evaporator coil. The heater transfers the
heat from the hot engine coolant into the air that is traveling across the engine. The heat transfer will
heat up the air that is flowing to the cab, which also reduces the temperature of the coolant that is
flowing back to the engine cylinder.

Water Valve

The water valve is a device that is used to regulate the flow of engine coolant to the heater coil and
the flow of engine coolant from the heater coil. The water valve is a necessary component in the
control system for the water valve. The water valve can be used in a blend door controlled system. In
the blend door system, the water valve would allow coolant to flow through the coil, or the water
valve would block coolant flow completely.

Depending on the type of system that is being used, the water valve can be connected to a mechanical
cable, or the water valve can be connected to an electronic actuator. The mechanical cable is
connected between the control knob in the cab and the valve. The control knob opens the valve and
the control knob closes the valve. The electronic actuator is connected to the water valve and wired to
the control panel.

Blend Door

The blend door is a device that is used to control the temperature of the cab air. The blend door
controls the temperature by regulating the amount of air that is allowed to pass through the heater coil
and mixing the air with the cool air from the evaporator coil. As the blend door gradually opens, the
hot coolant that is flowing through the heater coil transfers heat to the cooler air that is flowing across
the heater coil. This warmer air mixes with the cool air that is flowing across the evaporator to
regulate the air temperature that is entering the ducts in the cab.

The blend door is typically plastic with insulation on both sides to prevent any unnecessary heat
transfer when the system is set to the maximum heat position or the maximum cold position. The
blend door is controlled by an electronic actuator, which is wired into the control panel within the
cab.

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Configuration: 416E Backhoe Loader Single Tilt Center Pivot CBD00001-UP (MACHINE) POWERED BY 3054C Engine

Systems Operation
Air Conditioning and Heating R134a for All Caterpillar Machines
Media Number -SENR5664-31 Publication Date -01/05/2015 Date Updated -23/10/2018

i02979504

Refrigerant Expansion Valve System

SMCS - 7320

Illustration 1 g01507473

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(1) Compressor
(2) Condenser
(3) Receiver-dryer
(4) Desiccant
(5) 90° expansion valve
(6) Block expansion valve
(7) Evaporator
(A) High temperature high pressure refrigerant vapor
(B) High temperature and high pressure refrigerant liquid
(C) Low temperature, low pressure refrigerant liquid vapor mixture
(D) Low temperature low pressure refrigerant vapor

The air conditioner refrigerant begins to flow in the air conditioning system at the refrigerant
compressor (1). The compressor is designed to change the air conditioner refrigerant from a vapor
that has low pressure into a vapor that has high pressure. Also, the compressor changes the refrigerant
from a vapor with low temperature to a vapor with high temperature. The increase in pressure causes
the increase in temperature.

The refrigerant is sent through the condenser coil (2). In the condenser coil, heat is transferred from
the refrigerant to the outside air. This changes the refrigerant to a high temperature and high pressure
liquid.

From the condenser coil, the refrigerant moves to the receiver-dryer (3). In the receiver-dryer,
moisture is removed from the refrigerant by the desiccant (4).

The refrigerant moves from the receiver-dryer to either the 90° expansion valve (5) or the block
expansion valve (6). In the expansion valve, the refrigerant is changed from a high pressure and a
high temperature liquid to a low pressure and a low temperature mixture of liquid and vapor.

The low pressure and low temperature refrigerant moves to the evaporator coil (7). While the
refrigerant is in the evaporator coil, the refrigerant absorbs heat from the cab. This changes the
refrigerant to a low pressure and low temperature vapor.

The refrigerant returns to the compressor as a low pressure and low temperature vapor. This marks
the end of the cycle. The cycle is repeated continuously.

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Systems Operation
Air Conditioning and Heating R134a for All Caterpillar Machines
Media Number -SENR5664-31 Publication Date -01/05/2015 Date Updated -23/10/2018

i03028705

Refrigerant Orifice Tube System

SMCS - 7320-QT

Illustration 1 g01507889

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(1) Compressor
(2) Condenser
(3) In-line dryer
(4) Desiccant
(5) Orifice Tube
(6) Evaporator
(7) Accumulator
(A) High temperature high pressure refrigerant vapor
(B) High temperature, high pressure refrigerant liquid
(C) Low temperature, low pressure refrigerant liquid vapor mixture
(D) Low temperature low pressure refrigerant vapor

The air conditioner refrigerant begins to flow in the air conditioning system at refrigerant compressor
(1). The compressor is designed to change the air conditioner refrigerant from a vapor that has low
pressure into a vapor that has high pressure. Also, the compressor changes the refrigerant from a
vapor with low temperature to a vapor with high temperature. The increase in pressure causes the
increase in temperature.

The refrigerant is sent through condenser coil (2). In the condenser coil, heat is transferred from the
refrigerant to the outside air. This changes the refrigerant to a high temperature and high pressure
liquid.

From condenser coil (2), the refrigerant moves to in-line dryer (3). In in-line dryer (3), moisture is
removed from the refrigerant by desiccant (4). Some orifice tube systems will not contain an in-line
dryer. In this case, the desiccant is located in accumulator (7).

Next, the refrigerant flows to the orifice tube. When the refrigerant is at the orifice tube, the
refrigerant is changed from a high pressure and high temperature liquid to a liquid vapor mixture that
is low pressure and low temperature.

The low pressure and low temperature refrigerant moves to evaporator coil (6). While the refrigerant
is in the evaporator coil the refrigerant absorbs heat from the cab. This changes the refrigerant to a
low pressure and low temperature vapor.

After the evaporator coil, the refrigerant flows to the accumulator. The accumulator stores liquid
refrigerant that is exiting the evaporator and the accumulator allows only vapor to continue to the
compressor.

The low pressure and low temperature vapor returns to the compressor. This marks the end of the
cycle. The cycle is repeated continuously.

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Systems Operation
Air Conditioning and Heating R134a for All Caterpillar Machines
Media Number -SENR5664-31 Publication Date -01/05/2015 Date Updated -23/10/2018

i02998460

Refrigerant Compressor
SMCS - 1802

Illustration 1 g01257036
(1) Compressor
(2) Magnetic clutch and pulley assembly

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Illustration 2 g01266606
(2) Magnetic clutch and pulley assembly
(3) Coil assembly
(4) Drive plate
(5) Bearing
(6) Compressor shaft

The compressor is driven by the engine. A belt connects the engine to the clutch and pulley
assembly (2). The pulley assembly is located on the clutch. The drive plate (4) is fastened to the
shaft of the compressor. The clutch and pulley assembly (2) turns on the bearing (5). The clutch
and pulley assembly (2) are not connected to the shaft (6). The electric current from the thermostat
controls a magnetic field in the coil assembly (3).

The magnetic field pulls the drive plate (4) against the clutch and pulley assembly (2). The clutch
and the pulley assembly (2) turns the shaft (6) that operates the compressor. When the current to
the coil assembly (3) is stopped, the magnetic field is removed. This allows the drive plate (4) to
move away from the clutch and pulley assembly (2). The clutch and the pulley assembly (2) will
turn freely on the bearing (5). The sequence of connecting and disconnecting the pulley to the
compressor shaft (6) is called compressor cycling. The compressor cycling is controlled by the
thermostat . The thermostat is controlled by the capillary tube, which is installed between the fins
of the evaporator coil.

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Systems Operation
Air Conditioning and Heating R134a for All Caterpillar Machines
Media Number -SENR5664-31 Publication Date -01/05/2015 Date Updated -23/10/2018

i02982781

Refrigerant Condenser
SMCS - 1805

Illustration 1 g00289099
Typical Condenser

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Illustration 2 g01514061
Typical Condenser

When the refrigerant leaves the compressor, the refrigerant is a vapor. The temperature of the
refrigerant is high and the pressure of the refrigerant is high when the refrigerant leaves the
compressor. The increase in pressure of the refrigerant causes an increase in temperature of the
refrigerant. The refrigerant vapor leaves the compressor and the refrigerant enters the condenser
(1).

The refrigerant must be converted into a liquid that has high temperature and high pressure. The
refrigerant must be converted into a liquid in order to increase the efficiency of the air
conditioning system. The condenser (1) converts the refrigerant vapor into a liquid that has high
temperature and high pressure.

When the refrigerant vapor leaves the compressor, the refrigerant vapor enters the condenser. The
condenser is in a location that is exposed to outside air. In order to convert the refrigerant into a
liquid, the refrigerant must lose heat. The refrigerant must reach the temperature of saturation. At
the temperature of saturation, the refrigerant vapor will become a liquid. The temperature of
saturation of the refrigerant depends on the pressure of the refrigerant.

As the high temperature, high pressure refrigerant vapor passes through the condenser (1), the
condenser absorbs heat from the refrigerant vapor. The condenser transfers the heat to the outside
air. The temperature of the refrigerant and the pressure of the refrigerant decrease until the
temperature of saturation is reached. When the temperature of the refrigerant vapor is equal to the
temperature of saturation, the refrigerant becomes a high temperature, high pressure liquid. When
the refrigerant is converted into a liquid, the refrigerant leaves the condenser (1).

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Systems Operation
Air Conditioning and Heating R134a for All Caterpillar Machines
Media Number -SENR5664-31 Publication Date -01/05/2015 Date Updated -23/10/2018

i05907555

Refrigerant Receiver-Dryer
SMCS - 7322

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Illustration 1 g01508209

(1) Low-pressure cutoff switch

(2) Receiver-dryer

(3) High-pressure relief valve

(4) Desiccant

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Illustration 2 g01508210

(1) Low-pressure cutoff switch

(2) Receiver-dryer

(3) High-pressure relief valve

(5) Moisture indicator

High pressure and high temperature refrigerant leaves the condenser coil and passes through the
receiver-dryer (2) . The liquid refrigerant inside the receiver-dryer passes through desiccant (4) .
The desiccant absorbs a small amount of moisture.

The receiver-dryer stores a small amount of refrigerant. This stored refrigerant is used in order to
compensate for the changing system demands. These system demands can result from changing
the speeds on the compressor, varying heat loads, or small losses of refrigerant.

A high-pressure relief valve (3) is located on most receiver-dryers. The valve allows the
refrigerant to be released to the atmosphere if the pressure increases to approximately 3450 kPa
(500 psi). Most receiver-dryers also have a low-pressure cutoff switch (1) . If the system pressure
lowers to approximately 175 kPa (25 psi), the switch opens. This will open the electric circuit to
the magnetic clutch and the compressor will not operate.

Some receiver-dryers will have a moisture indicator (5) . This moisture indicator is used in order
to determine the relative moisture in the system. If the moisture indicator is blue, the system is
dry. If the moisture indicator is pink or white, then the receiver-dryer must be replaced. Refer to
Disassembly and Assembly, "Receiver-Dryer Remove and Install" within this manual.

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Systems Operation
Air Conditioning and Heating R134a for All Caterpillar Machines
Media Number -SENR5664-31 Publication Date -01/05/2015 Date Updated -23/10/2018

i05907557

Refrigerant Expansion Valve

SMCS - 7320-EV

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Illustration 1 g01507656

(1) External equalizer line

(2) Metered restriction

(3) Outlet

(4) Capillary tube and temperature sensing bulb

(5) Diaphragm

(6) 90° style expansion valve

(7) Inlet

(8) Ball and rod

(9) Spring

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The expansion valve (6) is designed to convert the refrigerant from a high pressure and high
temperature liquid into a low pressure and low temperature liquid vapor mixture. The expansion
valve also controls the amount of refrigerant that is supplied to the evaporator.

The two main types of expansion valve are the 90° expansion valve and the block expansion
valve. The internal operation is identical for both of the valves. The valve configuration on the air
conditioning system can be found in Systems Operation, "Refrigerant Expansion Valve System"
within this manual.

The liquid refrigerant with high pressure and high temperature enters the expansion valve at the
inlet (7) from the condenser. An amount of refrigerant is allowed to flow through the metered
restriction (2) and the outlet (3) to the evaporator.

The size of the metered restriction is controlled by three components:

• Pressure in the capillary tube (4)

• Pressure in the external equalizer line (1)

• Force due to the spring (9)

The capillary tube is filled with saturated refrigerant. There is a temperature sensing bulb at the
end of the capillary tube. The temperature sensing bulb is held to the evaporator outlet. As the
temperature of the evaporator outlet increases, the pressure in the capillary tube increases. This
pressure creates a downward force on the diaphragm (5) . Some types of block valves have an
internal temperature sensing bulb.

The external equalizer line connects the evaporator outlet with the underside of the diaphragm.
The pressure in the line creates an upward force on the diaphragm. In a block style expansion
valve, there is not a required separate external equalizer line. There is not a separate external
equalizer line because the line for the evaporator outlet is routed through the block valve.

The ball and rod (8) is attached to the diaphragm and the spring. The spring creates an upward
force on the ball and rod.

When the force due to the pressure in the capillary tube is greater than the combined forces due to
the spring and the pressure in the external equalizer line, the valve opens wider. The opening of
valve allows more refrigerant flow. When the force due to the pressure in the capillary tube is less
than the combined forces due to the spring and the pressure in the external equalizer line, the valve
closes. The closing of valve restricts the refrigerant flow.

This metering action allows only the required amount of refrigerant to be supplied to the
evaporator in varying load conditions.

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Systems Operation
Air Conditioning and Heating R134a for All Caterpillar Machines
Media Number -SENR5664-31 Publication Date -01/05/2015 Date Updated -23/10/2018

i02980139

In-line Refrigerant Dryer

SMCS - 7322

Illustration 1 g01507863
(1) Orifice tube assembly
(2) Desiccant
(3) Tube O-ring fitting
(4) Quick disconnect fitting
(5) In-line dryer

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The in-line dryer (5) receives the high temperature high pressure liquid refrigerant from the
condenser coil. The refrigerant passes through the desiccant (2). The moisture is removed in the
desiccant (2). The refrigerant continues to the orifice tube assembly (1), which is the location
where the high temperature high pressure liquid is changed into a liquid vapor mixture that is low
temperature low pressure . After exiting the in-line dryer, the refrigerant continues to the
evaporator coil.

The in-line dryer connects to the refrigerant circuit with either tube O-ring fitting (3) or a quick
disconnect fitting (4).

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Systems Operation
Air Conditioning and Heating R134a for All Caterpillar Machines
Media Number -SENR5664-31 Publication Date -01/05/2015 Date Updated -23/10/2018

i03022273

Refrigerant Orifice Tube Assembly

SMCS - 7320-QT

Illustration 1 g01507883
(1) Orifice tube assembly
(2) Orifice tube
(3) O-ring seal
(4) Tab
(5) Screen

The orifice tube assembly (1) contains a plastic body, two screens (5), and a small brass tube. The
small brass tube is referred to as an orifice tube (2), and it is located in the center of the body. The
O-ring seals (3) are positioned on the body of the orifice tube to seal against leakage around the
orifice tube.

The orifice tube assembly is contained within the in-line dryer. If there is no in-line dryer, the
orifice tube is located in the inlet to the evaporator.

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The orifice tube (2) restricts the flow of refrigerant. This restriction creates a pressure drop across
the orifice tube. This changes the refrigerant from a high temperature high pressure liquid into a
liquid vapor mixture that is low temperature low pressure. The flow rate is controlled by the
pressure difference across the orifice tube.

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Systems Operation
Air Conditioning and Heating R134a for All Caterpillar Machines
Media Number -SENR5664-31 Publication Date -01/05/2015 Date Updated -23/10/2018

i02982788

Evaporator Coil
SMCS - 7343

Illustration 1 g01265314
(1) Typical evaporator coil

In an expansion valve system, the evaporator coil receives liquid refrigerant from the expansion
valve. In an orifice tube system, the evaporator receives liquid refrigerant from the orifice tube
assembly. The liquid refrigerant that is received by the evaporator has low pressure and low
temperature. Since the pressure of the liquid refrigerant is low, the temperature of saturation of the
refrigerant is low. At the temperature of saturation, the refrigerant changes from a liquid into a
vapor. The temperature of saturation of a fluid increases when the pressure of a fluid increases.

The evaporator coil is exposed to the air that is inside of the cab. The heat from the air that is
inside of the cab is absorbed by the evaporator. The evaporator transfers the heat to the refrigerant.
The amount of heat that is required to reach the temperature of saturation is called the latent heat
of vaporization. When this heat is absorbed by the refrigerant, the temperature of the refrigerant
will reach the temperature of saturation. The refrigerant will change from a liquid into a vapor.
The vaporized refrigerant will leave the evaporator. The vaporized refrigerant will carry away the
heat from the cab. The vaporized refrigerant will return to the compressor when the refrigerant
leaves the evaporator. This process is repeated continuously.

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Systems Operation
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Media Number -SENR5664-31 Publication Date -01/05/2015 Date Updated -23/10/2018

i05948855

Refrigerant Accumulator
SMCS - 7320-ZJ

Illustration 1 g03734709

(1) Accumulator

(2) Desiccant

(3) Inlet

(4) Filter for the oil drain

(5) Outlet

(6) Standpipe

(7) J-tube

Low temperature low-pressure refrigerant leaves the evaporator coil and passes into the
accumulator (1) through the inlet (3). Liquid refrigerant that was not evaporated in the evaporator
is stored in the bottom of the accumulator. Vapor refrigerant passes through either the standpipe
(6) or the J-tube (7) before exiting through the outlet (5). The oil goes to the compressor through a
filter for the oil drain (4).

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The accumulator stores some refrigerant in order to compensate for the changing system demands.
These system demands can result from changing speeds in the compressor, varying heat loads, or
small losses of refrigerant.

The accumulator will contain desiccant (2) if the system does not contain an in-line dryer. The
liquid refrigerant will pass through the desiccant, which will remove a small amount of moisture.

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Systems Operation
Air Conditioning and Heating R134a for All Caterpillar Machines
Media Number -SENR5664-31 Publication Date -01/05/2015 Date Updated -23/10/2018

i02980429

Refrigerant Compressor Protection System

SMCS - 1802

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Illustration 1 g01518521
Compressor protection schematic with an on delay timer (Compressor Protection Module)

The protection system uses an on delay timer assembly for the refrigerant compressor that monitors
three switches in order to protect the refrigerant compressor. The on delay timer assembly will
perform the following functions:

• Increase the life of the refrigerant compressor if the air conditioning system has a low
refrigerant charge.

• Delay the refrigerant compressor from engaging during engine start-up.

• Protect the compressor clutch from low voltage and high voltage.

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Illustration 2 g01508064
On Delay Timer Assembly for the Refrigerant Compressor

Illustration 3 g01512253
(1) Output (signal voltage)
(2) Chassis ground
(3) Compressor clutch
(4) Power supply

When the air conditioning switch is activated inside the cab, the air conditioning switch supplies
voltage to the on delay timer assembly through pin (4). If the voltage at pin (4) is outside the
acceptable range, the on delay timer assembly will not engage the compressor clutch coil. If the
proper voltage is present, the on delay timer assembly delays the engagement of the compressor
clutch for 15 to 20 seconds after the air conditioning switch is activated. The on delay timer assembly
monitors the status of three switches by sending a signal voltage through pin (1). The following three
switches are monitored by the on delay timer assembly:

• The high/low pressure switch on the high side of the air conditioning system

• The low pressure switch on the low side of the air conditioning system

• The thermostat switch

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The three switches are connected in series to ground. If any one switch creates an open circuit, the on
delay timer assembly detects the signal.

If any of the switches cycle on and off in rapid succession, the on delay timer assembly will start a
time delay. The time delay limits the cycles of the refrigerant compressor to 4 times per minute.

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Systems Operation
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Media Number -SENR5664-31 Publication Date -01/05/2015 Date Updated -23/10/2018

i04923811

Temperature Control
SMCS - 7309

Adjustable Thermostat
A Heating Ventilation Air Conditioning (HVAC) system that is controlled by an adjustable
thermostat contains two temperature control knobs.

The first temperature control knob is for the air conditioning system and the control knob is
connected to the adjustable thermostat.

A thermostat is a switch that opens and closes. The thermostat switch opens and the thermostat
switch closes because of the changes that can occur in the temperature of the sensing element. A
sensing element is also known as a capillary tube. Sensing temperatures for the element less than the
switch point on the thermostat will open the thermostat switch. Sensing temperatures for the element
more than the switch point for the thermostat will close the thermostat switch.

When the first temperature control knob is in the OFF position, the electric circuit that connects the
adjustable thermostat and the magnetic clutch is OPEN. In the OFF position, the compressor does not
operate. The temperature of the air and the position of the temperature control knob determines if the
thermostat switch is CLOSED. When the thermostat switch is CLOSED, the current moves through
the switch and the coil assembly in the magnetic clutch, and this causes the compressor to operate.
The temperature of the air through the evaporator coil is monitored by the capillary tube that is placed
between the fins of the evaporator coil.

The second temperature control knob is for heating. This knob is connected to the heater control
valve, which controls the flow of coolant through the heater coil. The temperature of the cab is
maintained by the position of the air conditioning and heating temperature control knobs.

Nonadjustable Thermostat (Freeze Control System)

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Illustration 1 g01510274

An HVAC system using a nonadjustable thermostat contains one temperature control knob. The
temperature control knob is connected to the heater control valve, which controls the flow of coolant
through the heater coil. The temperature of the cab is maintained by the position of the temperature
control knob on the heater.

The temperature of the air that crosses the evaporator coil is kept at the coldest possible temperature
allowed by the nonadjustable thermostat. The thermostat switch opens at a temperature of
approximately −1.1 °C (30 °F) in order to prevent the condensation from freezing to the evaporator
coil. In addition, the thermostat switch closes at approximately 2.2 °C (36 °F). Condensation that is
frozen will restrict the air flow through the evaporator coils. When the switch opens, the electric
circuit that connects the thermostat switch to the magnetic clutch is OPEN and the compressor does
not operate. When the switch is CLOSED, the current moves through the switch and through the coil
assembly in the magnetic clutch. This causes the compressor to operate. In order to operate the
system in the correct manner, the heater core supply must not be closed. Also, in order to operate the
system in the correct manner, the return coolant line valve must not be closed.

ATC System Operation

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Illustration 2 g03090876
Typical HVAC Components

The Automatic Temperature Control (ATC) system includes all of the standard HVAC components
for manual temperature control along with the louver and recirculation temperature sensors. There are
a few steps to enable ATC.

• Select the Auto position on the mode selection switch located on the control panel

• Rotate the temperature dial to the desired temperature setting

• Rotate the blower fan dial to the desired speed – Note: There has to be some fan speed in order
for the ATC to operate, full CW position of the dial will turn off the ATC.

The Electronic Control Module (ECM) receives the requested temperature from the control panel and
the cab temperature sensor and automatically controls the water valve actuator and compressor to
reach and maintain that temperature. Some machines are also equipped with an Auto Blower option
that adjusts the blower fan speed based on the cab temperature error, the larger temperature difference
the faster the blower fan speed.

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Systems Operation
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Media Number -SENR5664-31 Publication Date -01/05/2015 Date Updated -23/10/2018

i02978729

Pressure Switch (Refrigerant)

SMCS - 1435-PX; 7320-QW

Air Conditioning High Low Pressure Switch

Illustration 1 g01506776
Schematic symbol and drawing for the high low pressure switch

The High Low pressure switch is used in order to monitor the refrigerant pressure that is coming
out of the discharge side of the refrigerant compressor. The pressure switch prevents the
compressor from operating when the pressure in the discharge line exceeds a specific pressure
range or when the pressure in the discharge line fails to maintain a specific pressure range. This
switch is electrically connected in series with the magnetic clutch for the refrigerant compressor,
and the evaporator coil thermostat. Similarly to the thermostat switch, the compressor will not
operate when the High-Low pressure switch is OPEN. When the High-Low pressure switch is

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CLOSED, the current moves through the switch and through the coil assembly in the magnetic
clutch. This causes the compressor to operate.

The High-Low pressure switch has two pressure set points that will cause the switch contacts to
OPEN. For a low pressure condition, the switch contacts will move OPEN whenever the pressure
value for the discharge line decreases to less than 170 kPa (25 psi). The switch contacts will
remain in the OPEN position until the pressure value increases to 275 kPa (40 psi) or more. For
the high pressure condition, the switch contacts will move OPEN whenever the pressure value for
the discharge line exceeds 2800 kPa (405 psi). The switch contacts will remain in the OPEN
position until the pressure value decreases to 1750 kPa (255 psi) or less.

Air Conditioning Low Pressure Switch

Illustration 2 g01506713
Schematic symbol and drawing for the low pressure switch

The Low pressure switch is used only in applications for the machine that also use the compressor
protection time delay relay. The Low pressure switch is used to monitor the refrigerant pressure
that comes into the suction side of the refrigerant compressor. The pressure switch prevents the
compressor from operating when the pressure for the suction line fails to maintain a specific
pressure range. This switch is electrically connected in series with the compressor protection time
delay relay, the high low pressure switch, and the thermostat for the evaporator coil. The
compressor will not operate when the Low pressure switch is OPEN. When the Low pressure
switch is CLOSED, a ground signal is sent to the compressor protection time delay relay. A
CLOSED low pressure switch indicates that the pressure for the suction line is high enough to
allow the refrigerant compressor to operate. The compressor protection time delay relay will then
turn on causing the compressor to operate.

The switch contacts on the low pressure switch will move OPEN whenever the pressure value for
the suction line decreases to less than 34 kPa (5 psi). The switch contacts will remain in the OPEN
position until the pressure value increases to 104 kPa (15 psi) or more.

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Systems Operation
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Media Number -SENR5664-31 Publication Date -01/05/2015 Date Updated -23/10/2018

i05907558

Cab Pressurization and Filtration System

SMCS - 7320; 7342

Caterpillar machines with an enclosed cab area need to provide adequate air flow to the operator
inside the cab area so that a standard air pressure is met. Maintaining a proper air pressure level is
accomplished by ensuring that the appropriate seals are used. When the appropriate seals are
correctly installed, the cab will be pressurized by the ventilation system.

Maintaining the proper pressurization level in the cab area is important to the health of the
operator because changes to the air pressure may lead to problems with breathing. Low pressure
can cause dust to enter the cab and the Heating Ventilation Air Conditioning (HVAC) system,
which can lead to premature system deterioration. Low pressure is often caused by improper
sealing of the cab. Poor sealing of the cab requires an increase in the fresh air flow to maintain
pressurization. The increase in fresh air flow will lead to a lower air conditioning and heater
performance. The increase in fresh air flow will also lead to increased intervals in filter service.
Additional noise that is entering the cab can also result from poor sealing of the cab.

Cab sealing objectives for the operator cab environment are for the cab to pressurize to a
minimum of 50 Pa (0.2 inch of H2O) with no more than 76 m3/hr (45 cfm) of fresh air flow. The
minimum cab fresh air flow while the ventilation system is operating on any fan speed is 43 m3/hr
(25 cfm). This objective satisfies the requirements for fresh air flow from SAE J1503 and ISO
10263-4. In HVAC systems with a mode door that controls the balance of fresh air and
recirculation air, the control shall be set to minimum fresh air flow while measuring cab pressure.

The air flow of a HVAC system is used to pressurize a cab as the air flow passes through different
components. First, outside air is drawn into the HVAC compartment after being filtered for dust
particles. Air is drawn in with the help of a blower fan. The blower fan pulls air or pushes air
across the heater and/or the evaporator coil. The air flow is then directed into the ventilation ducts
of the system. The air flow travels into the environment of the cab through the directional louvers.
Finally, the air inside the cab area returns to the HVAC system through the recirculation filter.

Some ventilation systems can be enhanced by using different options. One option that is available
for a wide variety of Caterpillar machines is the inclusion of a powered precleaner unit. As part of
the pressurized system of the cab, a precleaner removes additional dirt/dust from the fresh air flow
that is entering the cab. This provides extended life for the filter to the fresh air filter. These
precleaners are coupled with higher efficiency fresh air filters in order to prevent finer particles of

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dirt from entering the cab area. In addition to the precleaner, some newer systems may include
filters that are low restriction. A media filter that is low restriction can filter dust effectively, and
offer more air flow through the HVAC system.

Cab Air Filters

Most Caterpillar machines with the R134a system have two cab air filters. One type of air filter is
the fresh air filter and the other type of filter is a recirculation filter inside the cab. Some of the
machines have a third air filter that is made of foam. The third filter is designed to remove large
debris before the air reaches the fresh air filter.

Some Caterpillar machines are equipped with a precleaner for the cab. The system is designed to
remove excessive dust and dirt from the air that is entering the cab. The precleaner is part of the
pressurized cab.

There are optional replacement filters that are available for use in the field with certain machine
applications. Carbon impregnated filters are used for improved odor reduction in place of the fresh
air filter. High efficiency filters are also used as a replacement for the fresh air filter in
environments with high concentrations of dust. High efficiency filters also provide better filtering
efficiencies in order to reduce the intake of dust into the cab. Filters that are low restriction are
also available for certain applications as a way to reduce the system restriction through the filter.
Filters that are low restriction reduce the restriction that is in the system, and the filters continue to
maintain efficiencies in filtering dust.

ReferenceFor optional replacement of filters, see Datasheet, PEHJ0092, "Cat Cabin Air Filters
Datasheet".

Air filters for Caterpillar cabs are not intended for filtering out hazardous materials. When you are
working in an environment with potentially hazardous materials, all of the safety precautions for
working with that material should be followed. As the requirements are defined by the local
agencies, additional personal protection equipment may be required for the operator.

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Systems Operation
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Media Number -SENR5664-31 Publication Date -01/05/2015 Date Updated -23/10/2018

i02991847

Condensate Drainage System

SMCS - 7320

Caterpillar machines that are equipped with Heating Ventilation Air Conditioning (HVAC) units
need to have an adequate system for drainage in order to properly remove condensate from the
HVAC system. Condensate collects on the coils as moisture is removed from the air during air
conditioning operation. After the condensate has developed on the coil, the condensate will drip
off the coil. In order to prevent any condensate from entering the enclosure for the operator, a
drainage system that is maintained correctly is needed.

Drainage of the condensate can be achieved in different ways. Some systems have a collection
reservoir that is built into the case compartment that encloses the evaporator coil. The floor of the
case slopes to the holes for drainage, and this allows condensate to drain away from the HVAC
unit.

Other systems incorporate a separate drain pan that is located under the coil, in the case
compartment that is used to collect condensate. The drain pan is shaped in order to allow
condensate to flow toward the holes for drainage and away from the HVAC unit.

Whether integrated into the case design, or integrated through the use of a drain pan, the drain
hoses and the valves are attached to the drain holes. Drainage hoses are commonly used to route
the condensate around critical components on the machine, so that the water can be diverted to a
proper point of exit below the machine. Drain valves are intended to prevent dust and debris from
entering the HVAC unit. The location of the drainage unit may change the way that the
condensate will be removed from the system. Some units will allow drainage to drain directly out
of the case without the use of drain valves and hoses.

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Configuration: 416E Backhoe Loader Single Tilt Center Pivot CBD00001-UP (MACHINE) POWERED BY 3054C Engine

Systems Operation
Air Conditioning and Heating R134a for All Caterpillar Machines
Media Number -SENR5664-31 Publication Date -01/05/2015 Date Updated -23/10/2018

i05907559

Service Intervals
SMCS - 7000; 7309; 7320

Personal injury can result from contact with refrigerant.

This system is under pressure at all times, even if the engine is not
running. Heat should never be applied to a charged system.

Contact with refrigerant can cause frost bite. Keep face and hands away
to help prevent injury.

Protective goggles must always be worn when refrigerant lines are

opened, even if the gauges indicate the system is empty of refrigerant.

Always use caution when a fitting is removed. Slowly loosen the fitting.
If the system is still under pressure, evacuate the system recovering the
refrigerant before removing the fitting.

Personal injury or death can result from inhaling refrigerant through a

lit cigarette.

Inhaling air conditioner refrigerant gas through a lit cigarette or other

smoking method or inhaling fumes released from a flame contacting air
conditioner refrigerant gas, can cause bodily harm or death.

Do not smoke when servicing air conditioners or wherever refrigerant

gas may be present.

Before any checks of the air conditioning and heating system are made,
move the machine to a smooth horizontal surface. Lower all implements
to the ground. Make sure the transmission is in neutral or park and that
the parking brake is engaged. Keep all other personnel away from the
machine or where they can be seen.

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Personal injury can result from hot coolant. Any contact with hot
coolant or with steam can cause severe burns. Allow cooling system
components to cool before the cooling system is drained.

Note: Before performing any maintenance, refer to Testing and Adjusting, "Machine Preparation
for Testing and Adjusting" for the correct lockout procedure.

Regular maintenance must be performed in order to maximize the performance of the air
conditioning system. Regular maintenance must be performed in order to minimize the downtime
of the machine. Failure to inspect these systems will cause poor performance and premature
failure. Inspect and maintain the Heater and the Air conditioner system per the chart below. For
additional information on the component and system maintenance instructions, refer to Testing
and Adjusting section of this manual.

Table 1
Component or System Clean/Inspect Replace
Dryer with Quick Disconnect Every 2000 hours
Dryer with Tube O-Ring Connect Every 4000 hours
Recirculation Filter Weekly Monthly
Condenser Coil as needed
Fresh Air Filter Each shift Weekly
Heating and A/C Maintenance checklist Seasonal

• Perform regular maintenance on the refrigerant service units in accordance to the

instructions from the manufacturer. Change the oil that is in the vacuum pumps according to
the instructions from the manufacturer.

• Check the scale that is used for charging for accuracy after every 30 days. Check after every
30 uses according to the instructions from the manufacturer.

Heating and A/C Maintenance Checklist

Table 2
Filters
Operation Check if OK
Check the cleanliness of the Fresh Air Filter.

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Check the cleanliness of the Recirculation Filter.

Table 3
Coils
Operation Check if OK
Check the condenser coil for damage or debris.
Check the evaporator coil for damage or debris.
Check the heater coil for damage or debris.

Table 4
Blowers and Fans
Check if
Operation
OK
Check the remote condenser fans in order to make sure that the fans operate
when the air conditioning system is running.
Make sure that the blower fans for the cab operate on all speed settings.

Table 5
Condensate Drain Lines
Check if OK
Operation

Make sure that the drain lines are clean and that the drain lines allow
condensate flow.
Make sure that the drain valves are present and correctly located.

Table 6
Dryer
Check if
Operation
OK
If the dryer has quick disconnects, make sure that the dryer has been replaced
within the last 2000 hours. Replace according to the maintenance chart
If the dryer has tube connections that are an O-ring, make sure that the dryer has
been replaced within the last 4000 hours. Replace according to the maintenance
chart

Table 7
Compressor
Operation Check if
OK

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Check the cleanliness of the wire connections for the compressor and make sure
that the connections are free of damage.
Make sure that the dust caps are securely installed on the service ports.
Make sure that the clutch engages when the A/C switch is on and the thermostat
is set to maximum cooling.

Table 8
Compressor Drive Belt
Operation Check if OK
Check for wear and damage on the compressor drive belt.
Make sure that the auto tension pulleys are functioning correctly.
Make sure that the drive belt is aligned within 1/3 of a degree.

Table 9
Hoses and Connections
Operation Check if OK
Check for wear and damage on the refrigerant lines
Check for leaks on the refrigerant lines
Check for wear and damage on the heater lines
Check for leaks on the heater lines
Make sure that the heater valves are open for use in the winter.

Table 10
Performance
Check if
Operation
OK
Make sure that a performance check on the air conditioning indicates a system
that is functioning properly.
Refer to Testing and Adjusting, "Performance Checks for the Air Conditioning
System".
Make sure that a performance check on the heater system indicates that the
system is properly functioning.
Refer to Testing and Adjusting, "Performance Checks for the Air Conditioning
System".

Air Filters-Clean

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The cab air filters are designed to provide clean air to the evaporator and the heater coils. The cab
air filters are also designed to keep the cab pressurized. If the filters are not properly maintained,
the coils will be coated with dirt. Dirty coils will result in loss of heating and cooling. Dirty coils
could also result in failure of the compressor. Refer to Testing and Adjusting, "Coil Cleaning".

Illustration 1 g01517100

Cab air filters should be inspected regularly. Any inspection variance depends on the
environmental conditions. Fresh air filters should be checked after every shift (8 to 10 hours).
Fresh air filters should be changed after every week (40 to 50 hours). Recirculation filters should
be checked after every week (40 to 50 hours). Recirculation filters should be changed after every
month (160 to 200 hours). Inspect the filter for holes. Look through the filter toward a bright light.

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Check for damaged gaskets or dented metal parts. Do not use damaged filters. For extreme dust
conditions, the filters should be inspected daily, and the filters should be cleaned whenever is
necessary.

Illustration 2 g01517101

Remove loose dirt with compressed air. Do not exceed 690 kPa (100 psi) from an air nozzle that is
3.18 mm (0.125 inch)diameter. Keep the air nozzle at least 51 mm (2 inch) from the filter.

The filters that are made of foam can be blown out with low-pressure air. The filters that are made
of foam can also be gently washed with a mild detergent. After washing the filters, dry the filters
with low-pressure air.

If the carbon is still active, the carbon impregnated filters may be blown out with low-pressure air.
Do not wash the carbon impregnated filters.

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Standard filters or high efficiency filters may be blown out with low-pressure air. Do not wash the
standard filters or the high efficiency filters.

Coil Cleaning

NOTICE

Do not use steam to clean the coils, under any circumstance. The heat
from the steam will induce thermal stresses on the construction of the
components of the coil. The stress can weaken the overall construction
and permanently damaging the coil.

NOTICE

Do not use any other objects in order to straighten the fins, such as a
screwdriver or a knife. These objects can damage the coil.

In order for an HVAC coil to function properly, air must be able to flow freely across the fins
without any major obstructions. Because the coils need to stay clean, cleaning the coil is important
in order for the coils to provide sufficient air flow. Some job applications may cause the coils to
become dirty quickly, and dirty coils requires frequent cleaning. There are different methods that
are utilized for proper cleaning. The different methods that are used depend on the type of coil that
is used.

Condenser coils typically have a thicker, more durable fin structure that is designed to withstand
the conditions of the environment. Due to the construction of the condenser coils, condenser coils
can be washed with a low-pressure power washer. Power wash in order to remove any dirt from
the coil and any debris from the coil. The coils should be cleaned from a safe distance. However,
if the nozzle is too close to the coil the water still can damage the fins.

The evaporator and heater coils typically reside within an enclosed area. In order to protect the
evaporator and the heater coils from the environment and outside dirt and debris. Therefore, the
construction is not strong enough to withstand washing with direct pressure. In order to clean the
coils, use a low-pressure air nozzle that is like the one that is used in cleaning the filter. Carefully
use the low-pressure air nozzle in order to blow out any dirt and debris that is present on the coils.

During normal operation and routine cleaning, the fins may possibly get bent. The bent fins could
cause blockages in the air flow, which will reduce overall system performance. Straighten the fins
by using the 208-1350 Radiator Tool Gp . Start at one side of the coil and work toward the other
side. Be careful not to rip or tear the fins during straightening, as this straightening will cause an
unwanted reduction in performance.

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Systems Operation
Air Conditioning and Heating R134a for All Caterpillar Machines
Media Number -SENR5664-31 Publication Date -01/05/2015 Date Updated -23/10/2018

i03907232

Glossary of Terms
SMCS - 7320

Accumulator - The accumulator is a component in the air conditioning system that separates
liquid refrigerants from the circuit. The accumulator is used to store a small amount of liquid
refrigerant. The accumulator may also contain a desiccant which will remove moisture from the
system.

Ambient air - Outside air

Charge - The charge is a predetermined amount of refrigerant that is put into the air conditioning
system. The charge is measured in units of weight.

Compressor - The compressor is a component in the system that increases the pressure of the
refrigerant. The compressor increases the pressure of the refrigerant in the system by pumping.

Condenser - The condenser is a component in the system where the refrigerant changes from a
vapor to a liquid.

Contaminants - Dirt, water, and air

Desiccant - The desiccant is used in the receiver-dryer and in the accumulator. The desiccant
removes moisture from the air conditioning system.

Detecting - Detecting is finding the source of the problem in the system.

Diaphragm - The diaphragm is a rubber-like material. The diaphragm divides the upper chamber
and the lower chamber in the thermostatic expansion valve.

Discharge - Discharge is the removal of some of the refrigerant or the removal of all the
refrigerant from the air conditioning system.

Discharge side - The discharge side is the outlet from the compressor to the condenser coil.

Evacuating - Evacuating is the removal of air and moisture from the air conditioning system.

Evaporation - Evaporation is the process of changing a liquid to a vapor.

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Evaporator - The evaporator is the component in the air conditioning system that changes the
refrigerant from a liquid to a vapor. The evaporator transfers heat to the liquid refrigerant in order
to convert the refrigerant into a vapor.

Expansion Valve - The expansion valve is a component in the air conditioning system that
regulates the flow of liquid refrigerants into the evaporator.

Fluid - Fluid is a liquid or a gas.

Flush - Flushing is the removal of foreign material and oil from the air conditioning system. Flush
the system with a fluid that is approved. The fluid must be approved by SAE and ISO standards.

Freeze - Freezing causes a liquid to become a solid.

Gas - A gas is a substance that contains small particles which float in the air. A gas does not
contain liquid or solid particles.

Graduated Container - A graduated container is a glass container with markings on the side of
the container. The markings are used in order to measure the amount of fluid in the container. The
markings normally have units of ounces or units of milliliters.

Heat - Thermal energy

Identifier - The identifier is an instrument that is used for testing the system. The identifier is used
for determining the type of refrigerant that is in the system. The identifier is also used for
determining the percentage of air that is in the system.

In-line Dryer - The in-line dryer is a component in the air conditioning system that removes
moisture from the system. The in-line dryer may have an air conditioner quick disconnect in the
system. The in-line dryer may have an orifice tube in the system.

Latent heat of evaporation - The quantity of heat that is absorbed by a liquid as the liquid is
changed from a liquid into a vapor at a constant temperature.

Leak detector - The leak detector is a device that is used to locate leaks in the air conditioning
system.

Liquid line - The liquid line is the line that connects the condenser coil, the dryer receiver, and the
expansion valve together in an expansion valve system. The liquid line is also the line that
connects the condenser coil and the orifice tube together in an orifice tube system.

Magnetic clutch - The magnetic clutch is a device which is used as a coupling between the pulley
and the compressor. The magnetic clutch turns the compressor on and off. An electric current
activates the clutch.

Manifold gauge set - The manifold gauge set contains gauges and hoses that are used to measure
the pressures in the air conditioning system.

Moisture - Moisture is water that is in the air or water that is in the refrigerant.

Moisture indicator - The moisture indicator is a device that uses color to indicate if the material
in the dryer is fully soaked with moisture. The moisture indicator will display a pink color or a
white color if the moisture indicator is soaked with moisture. The moisture indicator will display a
blue color if the moisture indicator can absorb more moisture.

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Orifice tube - The orifice tube has a body that is plastic with a metal tube device. The orifice tube
is a metering control. The orifice tube is located between the high-pressure side and the low-
pressure side in the orifice tube system.

Overcharge - A system is overcharged when an excessive amount of refrigerant is present in the

air conditioning system.

Partial charge - A partial charge is less than a full charge of refrigerant. An air conditioning
system has a partial charge when there is not enough refrigerant in the system.

Performance test - The performance test is the notation of temperatures and pressures under
controlled conditions. The performance test is used in order to determine if the air conditioning
system is operating normally.

Refrigerant quick-check procedure - The refrigerant quick-check procedure is a brief inspection

of the system. No instruments are required in order to perform a refrigerant quick-check
procedure.

Receiver-dryer - The receiver-dryer is the component in the air conditioning system that removes
the contaminants (moisture) from the circuit. The receiver-dryer is also a storage area for a small
amount of liquid refrigerant. The receiver-dryer may also have a pressure switch that deactivates
the compressor if the pressure of the refrigerant is lower than approximately 175 kPa (25 psi).

Reclaim - The reclaiming and the restoring of the air conditioner refrigerant must meet the SAE
specifications and the specifications for the ISO. The reclaiming of the air conditioner refrigerant
requires processes that are available only at a remanufacturing facility.

Recover - Recovering is the removal of the air conditioner refrigerant from the air conditioner
system. The refrigerant must be stored in an approved container. The refrigerant should not be
tested or processed when the refrigerant is recovered from the system.

Recycle - The recycling of the refrigerant is completed at the site or at the service shop. The
refrigerant can be cleaned by using oil separation. The refrigerant can be cleaned by passing the
refrigerant through a filter dryer.

Refrigerant - The refrigerant is the fluid that is used in the air conditioning system. The
refrigerant removes heat from the operator compartment.

Refrigerant oil - Refrigerant oil is the oil that is used in the air conditioning system. The
refrigerant oil lubricates the compressor.

Sight glass - The sight glass is used to observe the flow of refrigerant in the air conditioning
system. A sight glass may be located at the top of the receiver-dryer or in the line that is leaving
the receiver-dryer. Most newer systems do not have a sight glass.

Stabilize - If the performance of the system is constant, the system is stabilized.

Stuck - Sticking will cause the prevention of free movement.

Subcooling - The additional cooling of the refrigerant in the bottom of the condenser after the
refrigerant has changed from a vapor to a liquid.

Suction side - The suction side is the connection that is between the evaporator coil and the
compressor.

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Superheat - The additional heating of the refrigerant in the bottom of the evaporator after the
refrigerant has changed from a liquid to a vapor.

Temperature of saturation - At the temperature of saturation, a liquid will change into a vapor
and a vapor changes into a liquid. The temperature of saturation depends on the pressure of the
fluid. The temperature of saturation increases when the pressure of fluid increases.

Thermal Expansion Valve (TXV) - Thermal Expansion Valve or TXV is a device in the AC
system that maintains the pressure difference between the condenser and the evaporator. The
Thermal Expansion Valve is used to obtain the best performance in the refrigeration system.

Vapor - Gas

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Systems Operation
Caterpillar Advanced Ride Management (CARM) Seat Suspension System
Media Number -UENR4899-02 Publication Date -01/12/2014 Date Updated -14/06/2016

i05966684

General Information
SMCS - 7312; 7324

Background
The main purpose of the seat is to support the machine operator. The seat should provide a level of
comfort that allows the operator to operate a machine in a safe and comfortable environment. A safe
and comfortable environment has been shown to impact the productivity and the job satisfaction of
the operator. A safe and comfortable environment plays a significant role in the first impression a
customer gets when operating a new machine.

Suspension System Background

Earthmoving machines have a seat suspension for two reasons:

• Keep the operator isolated from the harsh machine inputs

• Keep the operator connected to the machine controls and the machine as a whole

The three main components of a suspension system are:

• the Mass

• the Spring

• the Damper

Mass

The mass represents the object to be isolated from an input excitation (in this case the operator).

Spring

The spring is a device that is used to hold up the weight of the mass (in this case is an air spring).

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The characteristic property of a spring is stiffness. Stiffness is a measure of energy storage. The act of
compressing a spring stores energy in the spring which can later be released when the compressing
force is removed. A spring-mass system would keep bouncing if not for the damper.

Damper

The damper is used to limit the amount of motion of the system (in this case is a hydraulic damper).

The characteristic property of a damper is damping. Damping is a measure of energy dissipation. The
act of compressing a damper dissipates energy which cannot be recovered when the compressing
force is removed. The damper keeps the spring-mass system from bouncing excessively. A hydraulic
damper works on the principle that fluid is forced from one chamber to another through a series of
restrictive passages. As the fluid passes through the passages, the kinetic energy of the system is
dissipated and transformed into viscous heating of the damper fluid.

Illustration 1 g03496617
Illustration of the influence of damping on ride performance

A common misconception is that changing a damper affects stiffness. Changing a damper may
increase the damping. Changing a damper may result in a harsher ride (or "stiffer" ride) but the
stiffness of the system has not changed. The only way to affect stiffness is by changing the spring.

Suspension System Types

There are three types of suspension system: passive, active, and semiactive suspension. The passive
suspension is the type of suspension that most people are familiar with. Most automobiles,
motorcycles, trucks, trains, busses, and similar machines. have a passive suspension at each wheel.
What makes a suspension passive is the fact that the stiffness and damping cannot be changed in real
time in response to the input excitation. A passive system has no means of adding energy to the
system and merely dissipates the energy that the system is exposed to. A passive system must be
tuned for the harshest conditions. This tuning often leads to less than ideal ride performance in
everyday operation.

The polar opposite of a passive suspension system is the active suspension. In an active suspension,
the damper (and sometimes the spring) is replaced by some type of actuator that dissipates energy.
The actuator also puts energy into the system. The actuator can adapt and provide the best possible
performance in any conditions within the operating range of the active system. An active system can
be most easily seen in the implement linkages of tractors, backhoes, excavators, dump trucks, and
similar machines. This type of suspension system relies on one or more sensors, a controller, and an
actuator and therefore is more complex. This type of suspension system requires significant power

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input, and is more expensive than the passive system. Therefore, a seat suspension system is not
practical.

The semiactive suspension system is a mix between a passive and a fully active system. The
semiactive suspension system relies on a spring and a damper to dissipate energy. One of the
components may contain active components that allow the system to adapt to the operating
conditions.

Illustration 2 g03496737
Functional schematic of passive, active, and semiactive suspension types

The CARM system is a semiactive system with an active orifice damper. Unlike the more commonly
used Magneto-Rheological (MR) dampers, the active orifice type of damper can default to a highly
damped state in case of malfunction. The MR system always defaults to the lowest damped state.

The active element in a CARM damper is an adjustable valve controlled by a controller. The valve is
driven by a voice coil. The voice coil opens and closes the orifice that allows fluid to pass from one
side of the damper piston to another. The controller reads sensor inputs and uses the information to
determine the appropriate opening and closing of the valve.

Ride Background
The perception of ride in a suspension is influenced by two main components: the amount and feel of
relative motion, and the harshness of endstop collisions. The latter has the biggest impact on ride
comfort. More relative motion is preferred as long as the motion is smooth and allows the operator to
reach the pedals and controls. Unfortunately, more motion leads to more endstop collisions. A
passive suspension can be designed that avoids one or the other. The key is in designing a suspension
that can allow enough relative motion to feel comfortable without allowing the suspension to affect
the endstops. This goal is easily accomplished with a passive system in on-road applications. This
goal is difficult to accomplish in the rough earthmoving environment where inputs are highly
unpredictable. The solution is a semiactive system that can adapt and change based on the operating
conditions.

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Systems Operation
Caterpillar Advanced Ride Management (CARM) Seat Suspension System
Media Number -UENR4899-02 Publication Date -01/12/2014 Date Updated -14/06/2016

i05966689

Component Descriptions
SMCS - 7312; 7324

CARM System Components

Illustration 1 g03496821
Wheel Tractor Scraper seat suspension and the CARM system components
(A) Controller
(B) Sensor
(C) Damper

The CARM system is comprised of four main components: The damper, the sensors, the
controller, and the control program. Refer to Illustration 1 and the discussed detail in the following
sections.

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Damper
The active component of the damper is the valve which is opened and closed using a voice coil.

One of the main features of the CARM damper is that unlike most semiactive systems, the
unenergized state is highly damped. This factor is significant in a malfunction of the electrical
components on the seat. The damper will default to the highly damped state. The change in seat
performance provides enough damping in the suspension to allow the operator to finish the shift.
However, the increased discomfort indicates to the operator that something is wrong with the seat
and must be reported for service. There are no serviceable parts inside the damper.

Sensors

The valve assembly contains a position sensor which is used in the control feedback loop of the
valve. Additionally, a temperature sensor is used to monitor the temperature in the system. These
two sensors are used primarily for component level performance and monitoring. The two sensors
are built into the damper and are not serviceable.

In addition to the sensors inside the valve assembly, there is a displacement sensor built into the
suspension to monitor the travel of the suspension. The displacement sensor is primarily used to
establish the proximity of the endstops. This sensor is a 2-part sensor that is calibrated at the
factory and must not be tampered with. If one of the two parts is moved, the calibration is no
longer accurate and the performance of the seat will be compromised.

Additionally, there is a pressure sensor that measures the pressure inside the air spring. This
sensor is used with the displacement sensor to determine the weight of the operator. Both these
sensors are instrumental in the control program that drives the behavior of the suspension and
ultimately the ride perception of the operator. The pressure sensor is serviceable. The
displacement sensor is not.

Controller

The controller is housed in a small, sealed, weatherproof enclosure mounted inside the seat
suspension. There are no serviceable parts inside the enclosure.

Control Program
The control program is the key to a successful semiactive system. The control program reads the
input signals from the various sensors. The control program creates an output current signal that
adjusts the damping of the suspension up to 1000 times per second. The control program is built
upon a number of independent control schemes that kick in depending on the conditions the
sensors pick up. Below is a brief summary of the various control programs and functions:

• Default state – the state where all current is shut off to the damper. The Default state is the
fail-safe mode that the damper defaults to in case of malfunction or loss of power

• Normal operation – the program that is active most of the time. Normal operation selects
an appropriate damping rate based on the weight of the operator

• Endstop – this program activates when the suspension position gets within a set distance
from the endstops. The velocity is such that an endstop impact is predicted. Endstop

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increases the damping in proportion to how close the suspension gets to the endstops. The
endstop program is deactivated when the suspension starts moving away from the endstop

• Virtual endstop (Event sensitive registration) – works similarly to the endstop program.
However, Virtual endstop can kick in even if the suspension is nowhere near an endstop.
The purpose of this program is to dampen out large input motion and effectively keep the
operator connected to the pedals and controls. This feature is Caterpillar exclusive and
patent pending

Results and Conclusions

Illustration 2 g03496977
Comparison between passive and CARM seat performance

The CARM seat suspension provides a 30 percent reduction in peak acceleration to the operator as
compared to the equivalent passive seat during normal operation. Refer to Illustration 2. The
CARM seat suspension eliminates endstop collisions which are a significant contributor to the
level of discomfort experienced by the operator. The CARM seat suspension provides a fail-safe
mode that protects the operator in case of electrical malfunction.

Wiring Schematics

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Illustration 3 g03652553
418-4765 Wiring Harness
(C-C1) Attach to ECU
(C-C2) Attach to Status LED
(C-C3) Attach to Air Valve
(C-C4) Attach to Compressor
(C-C5) Attach to Cab Power Connection
(C-C6) Attach to Rocker Switch

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Illustration 4 g03653731
396-1721 Wiring Harness
(B-C1) Attach to ECU
(B-C2) Attach to Status LED
(B-C4) Attach to Compressor
(B-C5) Attach to Cab Power Connection
(B-C6) Attach to Air Valve

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Illustration 5 g03653777
366-7658 Wiring Harness
(A-C1) Attach to Position Sensor
(A-C2) Attach to Pressure Sensor
(A-C3) Attach to Shock
(A-C4) Attach to Shock
(A-C5) Attach to ECU

Copyright 1993 - 2019 Caterpillar Inc. Fri Dec 13 21:00:44 UTC+0800 2019
All Rights Reserved.
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Shutdown SIS

Previous Screen

Product: BACKHOE LOADER

Model: 416E BACKHOE LOADER CBD
Configuration: 416E Backhoe Loader Single Tilt Center Pivot CBD00001-UP (MACHINE) POWERED BY 3054C Engine

Systems Operation
416E, 422E and 428E Backhoe Loaders Hydraulic and Steering System
Media Number -RENR6479-06 Publication Date -01/09/2014 Date Updated -12/09/2016

i02626532

General Information (Hydraulic System)

SMCS - 7000

Illustration 1 g01278210

The location of components on the left side of the machine is for the backhoe loader with the single tilt (If
Equipped), and with the side shift (If Equipped).

(2) Sideshift lock cylinders (if equipped)

(4) Hydraulic tank

(5) Cooler

(6) Filter

(8) Metering pump

(10) Auxiliary cylinder (if equipped)

(11) Tilt cylinder

(12) Lift cylinders

(35) Right stabilizer cylinder

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(37) Swing cylinders

(38) Bucket cylinder

(39) Stick cylinder

Illustration 2 g01278989

The location of components on the right side of the machine is for the backhoe loader with the parallel lift (If
Equipped) and with the side shift (If Equipped).

(1) Extendable stick cylinder (if equipped)

(3) Pump

(9) Steering cylinder

(14) Ride control valve (if equipped)

(15) Ride control accumulator (if equipped)

(16) Auxiliary control valve

(17) Tilt control valve

(18) Lift control valve

(19) Priority valve

(22) Control valve for the sideshift lock cylinder (if equipped)

(24) Extendable stick control valve (if equipped)

(25) Stick control valve

(26) Backhoe bucket control valve

(27) The control valve for the swing cylinder

(28) Boom control valve

(29) Auxiliary control valve

(31) Right stabilizer control valve

(32) Left stabilizer control valve

(34) Left stabilizer cylinder

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(36) Boom cylinder

(37) Swing cylinders

The hydraulic system provides oil for the steering and for the backhoe. The system also provides
oil for the loader, for the ride control and for the operation of the stabilizers. The standard
hydraulic system is made up of hydraulic tank (4) , Variable displacement axial piston pump (3) ,
return oil filter (6) , oil cooler (5) , bank valves for the backhoe control (25) , (26) , (27) , (29) ,
(31) , and (32) , loader control valves (17) and (18) , a metering pump for the steering (8) , and
various associated cylinders.

The bank valve controls the hydraulic lift cylinder (12) and the hydraulic tilt cylinder (11) of the
bucket. If equipped, the auxiliary cylinder (10) functions with auxiliary control valve (16) . Loader
tilt cylinder (11) and loader lift cylinder (12) are components of the loader circuit. If equipped, the
ride control valve (14) and ride control accumulator (15) works with the loader lift circuit. A
machine with single tilt will be equipped with one tilt cylinder. A machine with parallel lift will be
equipped with two tilt cylinders.

The pump is located in the middle of the machine and the pump is mounted to the transmission.

The hydraulic tank (4) is located in the rear of the engine compartment and in front of the cab.

The backhoe control valve controls the backhoe, and the swing cylinders. The backhoe control
valve also controls the stabilizer cylinders (34) and (35) , stick cylinder (39) , bucket cylinder
(38) , swing cylinders (37) , and boom cylinder (36) .

The backhoe control valve controls the sideshift (If Equipped).

If equipped, with an extendable stick, the backhoe circuit also includes cylinder (1) and control
valve (24) .

The hydraulic system also provides oil for steering. The standard two-wheel steering system
consists of metering pump (8) and steering cylinder (9) .

The metering pump (8) is located in the front of the cab. The priority valve (19) , and the loader
lift control valve (18) are mounted on the right side frame under the cab. The loader tilt control
valve (17) , and the auxiliary control valve (16) are mounted on the right side frame under the cab.
Access to the loader valves is from the bottom of the machine or by removing the floorplate.

The auxiliary cylinders (10) , the tilt cylinders (11) , and the lift cylinders (12) are located at the
front of the machine. The auxiliary cylinders are mounted on the bucket, or near the bucket. The
two tilt cylinders on a machine with parallel lift are mounted on each side of the hood. The one tilt
cylinder on a single tilt machine is located in front of the radiator. The tilt cylinder is centered in
the loader frame. The lift cylinders are located on each side of the engine compartment near the
center of the machine.

The stick cylinder (39) , the bucket cylinder (38) , right stabilizer cylinder (35) , and swing
cylinders (37) are located at the rear of the machine.

The sideshift lock cylinders (2) are located at the rear of the machine.

The left stabilizer cylinder (34) and the boom cylinder (36) are located at the rear of the machine.
The boom cylinder is mounted to the backhoe. The left stabilizer cylinder is mounted on the rear
frame. The left stabilizer cylinder is mounted in the frame rails of the sideshift (If Equipped).

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The bank valves are located at the back of the machine. The stick control valve (25) , and the
bucket control valve (26) are part of the bank valves for the backhoe. The control valve for the
right stabilizer (31) , and the control valve for the left stabilizer (32) are part of the bank valves for
the backhoe. The swing control valve (27) , and the boom control valve (28) are part of the bank
valves for the backhoe. The control valve for the sideshift lock cylinder (23) , and the shutoff
valve for the pilot system (43) are part of the bank valves. Access is gained from the bottom of the
machine or by removing covers.

If the machine is equipped with an extendable stick, extendable stick cylinder (1) , and the control
valve for the extendable stick (24) are also part of the hydraulic system. Cylinder (1) is located at
the rear of the machine, mounted in the backhoe. Control valve (24) is installed in the bank valves
for the backhoe and the valves are mounted at the rear of the machine.

Illustration 3 g01278441

Hydraulic oil cooler location

(5) Hydraulic oil cooler

The hydraulic oil cooler (5) is mounted in front of the radiator at the front of the engine
compartment. Access to the oil cooler is gained by opening the hood and removing the side
covers.

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Illustration 4 g01281320

The location of the joystick for the mechanical operated loader control

(45) Control lever for the loader bucket

(46) Auxiliary control lever

(47) Switch for the transmission neutralizer

The operator must face forward and the seat must face forward while you move the machine.
When you operate the loader control, the operator and the seat must face forward. The loader
controls are located on the right side of the operator station. The control lever for the loader bucket
(45) controls the following positions of the bucket.

The control lever for the loader bucket (45) controls FLOAT, LOWER, RAISE, RETURN-TO-
DIG, TILT BACK, and DUMP positions of the bucket.

This lever also has a switch (47) in order to neutralize the transmission.

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If the machine is equipped with an auxiliary valve, the auxiliary control lever (46) controls that
circuit.

Illustration 5 g01278367

(49) Control for the Boom and swing

(50) Control for the Stick and bucket

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Illustration 6 g01278387

The location of the joysticks for the mechanical operated backhoe

(49) Control for the Boom and swing

(50) Control for the Stick and bucket

(51) Control for the Extendable stick (if equipped)

(52) Control for the foot operated auxiliary control (if equipped)

The operator must rotate the seat in order to operate the backhoe. The operator faces the rear of the
machine with the levers for the backhoe in sight.

Note: The left side of the machine and the right side of the machine are established by the view
when you are operating the controls.

The extendable stick control pedal (51) controls the STICK EXTEND. The extendable stick
control pedal (51) controls the STICK RETRACT.

The auxiliary pedal (52) controls the pressurized lines of an attachment.

Note: There are different combinations of levers and pedals that are available. Refer to the
Operation and Maintenance Manual for the different combinations of the levers and pedals that are
available.

Copyright 1993 - 2019 Caterpillar Inc. Fri Dec 13 21:02:03 UTC+0800 2019
All Rights Reserved.
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Shutdown SIS

Previous Screen

Product: BACKHOE LOADER

Model: 416E BACKHOE LOADER CBD
Configuration: 416E Backhoe Loader Single Tilt Center Pivot CBD00001-UP (MACHINE) POWERED BY 3054C Engine

Systems Operation
416E, 422E and 428E Backhoe Loaders Hydraulic and Steering System
Media Number -RENR6479-06 Publication Date -01/09/2014 Date Updated -12/09/2016

i02559855

Hydraulic Tank and Filter

SMCS - 4332; 5056; 5068

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Illustration 1 g01073846

The nonpressurized hydraulic oil tank is located at the rear of the engine compartment. Oil is
added to the tank through cap (1). A diffuser in the return line (3) is mounted inside the tank. The
diffuser helps to minimize turbulence in the return oil as the oil enters the tank.

The sight gauge (2) is on the left side of the loader tower. Refer to the operation and maintenance
manual for the proper level of the oil in the tank.

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Illustration 2 g01278484
(2) Sight gauge
(4) Outlet
(5) drain valve
(6) Filter

The outlet (4) for the tank is connected to the pump. The outlet for the tank is located at the
bottom, rear of the hydraulic tank. A drain valve (5) on the pump allows the hydraulic tank to be
drained.

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Illustration 3 g01278549
(4) Outlet for the Tank
(7) Drain for the Implement Valve
(8) Return for the Metering Pump
(9) Breather Filter
(10) Return for the Pump Case

The tank has three ports on the rear side.

• Drain for the Implement Valve (7)

• Return for the Metering Pump (8)

• Return for the Pump Case (10)

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Illustration 4 g01278486
( A) Pump
(5) Drain valve
(6) Filter

The hydraulic oil filter (6) is mounted on the left side frame of the machine next to the rear axle
assembly . The filter is accessed under the machine.

A back pressure check valve is located on the inlet side of the base for the hydraulic oil filter. The
back pressure valve reduces cavitation in the cylinders.

A check valve for the cooler bypass is located in the outlet side of the filter. The check valve
provides oil to the oil cooler until enough pressure is achieved in order to bypass the oil cooler. If
the oil bypasses the cooler, the oil goes to the tank. The check valve for the cooler bypass protects
the oil cooler from high pressure spikes.

Copyright 1993 - 2019 Caterpillar Inc. Fri Dec 13 21:03:00 UTC+0800 2019
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Shutdown SIS

Previous Screen

Product: BACKHOE LOADER

Model: 416E BACKHOE LOADER CBD
Configuration: 416E Backhoe Loader Single Tilt Center Pivot CBD00001-UP (MACHINE) POWERED BY 3054C Engine

Systems Operation
416E, 422E and 428E Backhoe Loaders Hydraulic and Steering System
Media Number -RENR6479-06 Publication Date -01/09/2014 Date Updated -12/09/2016

i02554871

Signal Resolver Network

SMCS - 5079

Illustration 1 g01278712

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(1) RH Stabilizer Control Valve

(2) LH Stabilizer Control Valve
(3) Inlet
(4) Resolver
(5) Load signal Relief valve
(6) Resolver
(7) Stick Control Valve
(8) Extendable Stick Control Valve
(9) Pump
(10) Relief Valve
(11) Spool
(12) Inlet
(13) Lift Control Valve
(14) Spool
(15) Line
(16) Auxiliary Control Valve
(17) Resolver
(18) Line
(19) Valve
(20) Spring
(21) Resolver
(22) Spring
(23) Resolver
(24) Resolver
(25) Resolver

A resolver compares two pressure signals. The resolvers in the backhoe loaders are connected in
series within the hydraulic system. The resolver compares the pressure between the active circuits in
the hydraulic system. The higher pressure signal goes to the next resolver.

The resolver is installed perpendicular to the control spool. A ball check valve is built into the
resolver. The ball check valve is not contained in a housing. A plug holds the ball check valve in the
valve body.

The network for the resolvers begins at the backhoe control valve. Hydraulic oil flows from inlet (3)
in the backhoe control valve to inlet (12) on the loader control bank valve. When the loader controls
and the backhoe controls are in the Neutral position, no oil flows to the resolver network. The signal
oil drains through the spool in each control valve to the tank.

In the implement hydraulic system, the stabilizer valve (1), the extendable stick control valve (8), and
the auxiliary control valve for the loader (16) do not contain resolvers. All other implement control
valves contain one resolver. The priority valve in inlet (12) has only one resolver. This is resolver
(23).

The loader control bank valve will be used in order to explain the operation of the resolver network.

When the operator actuates lift control valve (13), hydraulic oil flows into inlet (12) to spool (11).
Spool (11) is the priority valve spool. The spool keeps the steering system filled with oil. When the
oil pressure overcomes the force of spring (22), the spool moves to the left. Hydraulic oil flows to
both the steering system and the loader control valves.

When the hydraulic oil flows across spool (14) for the lift circuit, some of the hydraulic oil flows
through line (15) to valve (19). When the oil pressure overcomes the force of spring (20), the
hydraulic oil moves the valve to the left. Oil flows through the valve. Then, the line splits into two

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branches. One line goes to resolver (21). This oil becomes the load signal oil. The other line goes
back to the spool for the lift circuit. The hydraulic oil flows through the spool to the activated circuit.

The oil flows to resolver (21). If the lift circuit is the only branch of the loader system that is active,
or if the lift circuit has the highest pressure in the loader system, the ball check valve will move to the
left. The load signal oil will flow to resolver (23). The ball check valve in resolver (23) will move to
the left. The load signal oil now flows to resolver (24).

As the signal oil flows toward resolver (24), some of the oil flows through line (18) back to valve
(19). The signal oil combines with spring (20) in order to counter the force of the oil from line (15)
that is acting on the right side of valve (19).

Load signal oil flows to resolver (24) from inlet (3) and from inlet (12). The load signal oil with the
highest pressure moves the ball check valve. In this explanation, the bank valve for the loader has the
highest pressure and the bank valve for the loader moves the ball check valve upward. The load
signal pressure comes from the loader control bank valve.

The load signal oil from the lift control valve flows to the pump actuator group. The pump upstrokes
in order to supply the needed oil for the lift circuit.

The resolver network contains two relief valves. Relief valve (10) is in the inlet to the loader control
bank valve. Relief valve (5) is in the inlet to the backhoe control valve. If the load signal pressure
overcomes the force of the spring in either relief valve, that relief valve opens. The oil flows through
line (26) to the tank.

The stabilizer valve (1), extendable stick control valve (8), and auxiliary control valve (16) do not
contain resolvers. Signal oil from stabilizer control valve (1) and stabilizer control valve (2) flows to
resolver (25). The load signal with the highest oil pressure from the stabilizer valves flows to resolver
(4) that is in the inlet manifold for the backhoe control valve. This pressure is then compared to the
load signal pressure from the other valves in the backhoe control valves. The highest pressure in the
backhoe control valve flows to resolver (24).

If the auxiliary control valve (16) is in operation, signal oil flows from the auxiliary control valve to
resolver (17). The signal oil with the highest pressure flows to the next resolver in the circuit.

If the extendable stick control valve (8) is in operation, signal oil flows from the extendable stick
control valve to resolver (6) in stick control valve (7). The signal oil with the highest pressure flows
to the next resolver in the circuit.

Copyright 1993 - 2019 Caterpillar Inc. Fri Dec 13 21:03:56 UTC+0800 2019
All Rights Reserved.
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Shutdown SIS

Previous Screen

Product: BACKHOE LOADER

Model: 416E BACKHOE LOADER CBD
Configuration: 416E Backhoe Loader Single Tilt Center Pivot CBD00001-UP (MACHINE) POWERED BY 3054C Engine

Systems Operation
416E, 422E and 428E Backhoe Loaders Hydraulic and Steering System
Media Number -RENR6479-06 Publication Date -01/09/2014 Date Updated -12/09/2016

i04460560

Piston Pump (Work Tool and Steering)

SMCS - 4306; 5070

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Illustration 1 g01277795
(1) Pump control valve
(2) Piston
(3) Bias spring
(4) Actuator Piston
(5) Slipper
(6) Input shaft
(7) Swashplate
(8) Slipper Retainer
(9) Cylinder block
(10) Cylinder block spring
(11) Valve plate
(12) Pressure compensator spool
(13) Flow compensator spool

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(20) Spring
(21) Spring

Illustration 2 g01278842
(1) Pump control valve
(12) Pressure compensator spool
(13) Flow compensator spool
(20) Spring
(21) Spring

The piston pump for the hydraulic system is controlled by the load signal from the work tools. The
piston pump senses both pressure and flow needs. When none of the hydraulic circuits are being
used, the pump is at low-pressure standby.

If one or more circuits are being used, the resolver network compares the control valve work port
pressures. The single highest pressure felt flows to flow compensator spool (13). The flow
compensator (13) keeps the pump output at a level that is needed to fulfill the flow and pressure
requirements of the system.

The pump outlet pressure is maintained about 2200 kPa (320 psi) above the needed pressure of the
work port by flow compensator spool (13).

The system pressure will be greater than the requirements for the highest work port pressure
unless the pump is at full stroke. Margin pressure is the difference between the signal pressure and
the system pressure.

The pressure compensator valve prevents a high-pressure spike at the pump. The hydraulic system
pressure is limited by the signal relief valve in the control valves. The prevention of high-pressure
spikes protects the hydraulic system from damaging high pressures.

When the work port pressure rises above the pressure in Table 2, pressure compensator spool (12)
overrides flow compensator spool (13). When the pressure compensator spool overrides flow
compensator spool the pump destrokes.

Table 1

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416E, 422E, and 428E

25000 ± 350 kPa (3626.0000 ± 50.7640 psi)

The pump has one piston (2) and a bias spring (3). The bias spring (3) causes swashplate (7) to
upstroke. The pressure in the piston (2) causes the pump to reduce flow.

The pressure in the piston (2) is controlled by the flow compensator (13) or the pressure
compensator (12).

The flow compensator (13) regulates the pressure in the actuator piston (4) by one of two ways.
The flow compensator (13) will communicate with the tank when the setting for the margin
pressure is not met. The flow compensator (13) will communicate the pump discharge pressure to
the piston (2) when the setting for the margin pressure is met.

Low Pressure Standby

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Illustration 3 g01298461
(1) Pump control valve
(2) Piston
(3) Bias spring
(4) Actuator Piston
(5) Slipper
(6) Input shaft
(7) Swashplate
(8) Slipper Retainer
(9) Cylinder block
(10) Cylinder block spring
(11) Valve plate
(12) Pressure compensator spool
(13) Flow compensator spool

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(14) Passage
(15) Passage
(16) Passage
(17) Passage
(18) Cavity
(19) Signal line from the control valve
(20) Spring
(21) Spring

Starting the machine with the work tool controls in the HOLD position and the steering is inactive,
the pump is at low-pressure standby.

There are no flow or pressure demands from the implements on the pump but there is signal
pressure in line (19). The signal pressure is due to the orifice in the priority spool (dynamic load
sense orifice). This orifice maintains a charge in the signal line from the metering pump. This
charge causes quick steering response.

Before the engine is started, bias spring (3) holds swashplate (7) at a maximum angle. As the
pump begins to turn, this causes oil to flow. The flow of oil builds up pressure in the system
because of the closed centers of the implement valves.

The pressure in passage (15) is felt at the bottom of the spool for flow compensator (13) and the
spool for pressure compensator (12). As this pressure increases, the pressure pushes the spool for
the flow compensator against spring (20). Spool (13) moves up. The movement of the spool opens
passage (15) to passage (16) in order to allow the pressure oil to flow to piston (4).

The oil acts against the piston (2). The oil pressure overcomes the force of bias spring (3) and
supply pressure. This pressure causes the piston to move to the right. The piston moves the
swashplate (7) toward the minimum angle. The actuator piston (4) continues to move to the right.
The actuator piston (4) allows oil to drain into the case.

The draining oil limits the maximum travel of the piston (2) to the right. The pump will produce
enough flow in order to account for the system leakage. The pump will also produce enough flow
in order to account for the leakage to the pump case.

Upstroking

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Illustration 4 g01298465
(1) Pump control valve
(2) Piston
(3) Bias spring
(4) Actuator Piston
(5) Slipper
(6) Input shaft
(7) Swashplate
(8) Slipper Retainer
(9) Cylinder block
(10) Cylinder block spring
(11) Valve plate
(12) Pressure compensator spool
(13) Flow compensator spool

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(14) Passage
(15) Passage
(16) Passage
(17) Passage
(18) Cavity
(19) Signal line from the control valve
(20) Spring
(21) Spring

When the pump increases the output due to the demand for the increased flow of oil, the pump is
upstroking. Because of the increased flow demand, the signal pressure combines with the force of
the spring (20) in the cavity (18).

This combination of signal pressure and spring force is greater than the pump discharge pressure.
This combination of signal pressure and spring force causes the spool (13) to move down. As the
spool moves down, the spool blocks the flow of the supply oil to piston (4). Oil in the passage (14)
for piston (2) can now drain to passage (14).

The swashplate (7) upstrokes because of the force from the bias spring (3).

This upstroke increases the pump flow. As the flow requirements are satisfied the pump output
pressure increases. The pressure in passage (14) moves spool (12) up to the metering position.
This means that the setting for the margin pressure of the flow compensator has been met.

Metering

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Illustration 5 g01298468
(1) Pump control valve
(2) Piston
(3) Bias spring
(4) Piston
(5) Slipper
(6) Input shaft
(7) Swashplate
(8) Slipper Retainer
(9) Cylinder block
(10) Cylinder block spring
(11) Valve plate
(12) Pressure compensator spool
(13) Flow compensator spool

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(14) Passage
(15) Passage
(16) Passage
(17) Passage
(18) Cavity
(19) Signal line from the control valve
(20) Spring
(21) Spring

In the metering position, the signal oil pressure in line (19) and the force of spring (20) equals the
pump supply pressure below spool (12).

The pump will maintain the flow that is required in order to maintain system pressure. The pump
will stay in the metering position until the flow requirements change.

Destroking

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Illustration 6 g01298469
(1) Pump control valve
(2) Piston
(3) Bias spring
(4) Piston
(5) Slipper
(6) Input shaft
(7) Swashplate
(8) Slipper Retainer
(9) Cylinder block
(10) Cylinder block spring
(11) Valve plate
(12) Pressure compensator spool
(13) Flow compensator spool

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(14) Passage
(15) Passage
(16) Passage
(17) Passage
(18) Cavity
(19) Signal line from the control valve
(20) Spring
(21) Spring

When the pump decreases the output due to the decreasing demand for the flow of oil, the pump is
destroking. The decreasing demand for the flow of oil causes the pump discharge pressure to
increase. The discharge pressure is higher than the signal pressure and the force of the spring (20)
in the flow compensator. The spool (13) is pushed up.

Pump oil now flows from passage (15) past spool (12). The oil flows through passage (16) around
pressure compensator spool (12) to passage (14). then, the oil flows into piston (2). Pump pressure
behind piston (2) is now greater than the bias piston (3). The angle of swashplate (7) decreases.
This angle decreases pump flow.

Once the lower flow requirements are met, flow compensator spool (13) moves down to the
metering position. Swashplate (7) will maintain an angle that is sufficient to provide the lower
required flow. If all implements are returned to hold, the pump goes to the low-pressure standby.

High Pressure Spike

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Illustration 7 g01298473
(1) Pump control valve
(2) Piston
(3) Bias spring
(4) Piston
(5) Slipper
(6) Input shaft
(7) Swashplate
(8) Slipper Retainer
(9) Cylinder block
(10) Cylinder block spring
(11) Valve plate
(12) Pressure compensator spool
(13) Flow compensator spool

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(14) Passage
(15) Passage
(16) Passage
(17) Passage
(18) Cavity
(19) Signal line from the control valve
(20) Spring
(21) Spring

When the control valve is rapidly centered or when the cylinders are suddenly stopped, there can
be high pressure in the pump discharge line. The signal oil pressure in line (19) and cavity (18)
becomes equal to the pump output pressure. Spring (20) keeps spool (12) shifted downward.

When the pressure in passage (15) rises above the pressure in Table 2, the upward force on the
spool (13) overcomes spring force (21). This force will cause spool (13) to move up. Supply oil
flows through passage (14) to piston (2).

Table 2
416E, 422E, and 428E
25000 ± 350 kPa (3626.0000 ± 50.7640 psi)

Oil pressure that is felt on the piston (4) will destroke the pump.

Copyright 1993 - 2019 Caterpillar Inc. Fri Dec 13 21:04:53 UTC+0800 2019
All Rights Reserved.
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Shutdown SIS

Previous Screen

Product: BACKHOE LOADER

Model: 416E BACKHOE LOADER CBD
Configuration: 416E Backhoe Loader Single Tilt Center Pivot CBD00001-UP (MACHINE) POWERED BY 3054C Engine

Systems Operation
416E, 422E and 428E Backhoe Loaders Hydraulic and Steering System
Media Number -RENR6479-06 Publication Date -01/09/2014 Date Updated -12/09/2016

i02556670

Control Manifold
SMCS - 5264

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Illustration 1 g01279826
Priority valve in the control manifold
(1) Resolver
(2) Port "To"
(3) Port "LS"
(4) Port "P"
(5) Port "T"
(6) Port "CF"
(7) Relief valve
(8) Spring
(9) Chamber
(10) Priority Spool
(11) Passage
(12) Passage

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(13) Chamber
(14) Passage

The priority valve is located on the inlet manifold of the loader control bank valve. Relief valve
(7) is installed in the inlet manifold. The relief valve limits the system pressure in the loader
circuit. Load signal oil that has flowed through the relief valve flows out of the loader valve
through port (2) to the tank. The port is labelled "To".

Oil flows from the hydraulic pump through port (4). The port is labelled "P". The supply of oil to
the metering pump flows out of port (6). The port is labelled "CF". Load signal oil flows from port
(3) to the load signal resolver. The port is labelled "LS". Oil returns from the circuits in the loader
control bank valve flow to the tank through port (5). The port is labelled "T".

Oil enters the priority valve through port (4). Spring (8) holds spool (10) to the right. This
prevents the oil from flowing to the control valves in the loader control bank valve. The oil flows
around the spool through passage (12) into passage (14). The oil flows through port (6) to the
steering circuit. Some of the oil flows into passages that are cut in the spool. Oil is inside the
spool, and on the ends of the spool in chamber (9) and chamber (13).

As oil flows into the steering circuit, the oil pressure in the priority valve raises. When the oil
pressure in chamber (13) overcomes the force of spring (8), spool (10) moves to the left. The oil
flows around the spool to passage (11). Then, the oil flows to the control valves in the loader
control bank valve.

When the steering wheel is turned, the metering pump requires more oil. This increases the oil
pressure in chamber (9). Spring (8) will cause priority spool (10) to move to the right. When the
priority spool moves to the right, the spool reduces the flow of oil to the loader control bank valve
and the spool directs more pump supply oil to the metering pump.

The inlet manifold contains relief valve (7) and resolver (1) for the load signal oil. The load signal
oil from the control valves is resolved with the load signal oil from the steering circuit by resolver
(1). This allows the circuit with the highest pressure to control the flow of oil from the pump. If
the load signal pressure in the loader circuit reaches the setting of the relief valve (7), the relief
valve (7) opens. The oil flows through the relief valve through port "To" to the tank.

Copyright 1993 - 2019 Caterpillar Inc. Fri Dec 13 21:05:50 UTC+0800 2019
All Rights Reserved.
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Previous Screen

Product: BACKHOE LOADER

Model: 416E BACKHOE LOADER CBD
Configuration: 416E Backhoe Loader Single Tilt Center Pivot CBD00001-UP (MACHINE) POWERED BY 3054C Engine

Systems Operation
416E, 422E and 428E Backhoe Loaders Hydraulic and Steering System
Media Number -RENR6479-06 Publication Date -01/09/2014 Date Updated -12/09/2016

i02554805

Makeup and Relief Valve

SMCS - 5453

Makeup and Relief Valve (If Equipped)

Line Relief Valve Closed Position

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Illustration 1 g01278641
(1) Chamber
(2) Passage
(3) Relief valve spring
(5) Valve seat
(6) Poppet
(7) Body Seat

The line relief valve is installed in the control valve in order to protect the hydraulic system during
machine operation. The line relief valve will open if any outside force acts against the system, that
causes abnormally high pressures to exist. In the closed position, the valve is seated by the force
of relief valve spring (3) and the pressure in chamber (2). This keeps the valve seated. The valve
remains in the closed position until a pressure increase is experienced.

Line Relief Valve Open Position

Illustration 2 g01278642
(1) Chamber
(2) Passage
(3) Relief valve spring
(5) Valve seat
(6) Poppet
(7) Body Seat

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When the pressure in passage (2) exceeds the setting of spring (3) , the line relief valve will open.
The poppet (6) compresses the spring (3) and the poppet moves to the left in order to unseat from
valve seat (5). This will allow the excess pressure in passage (2) to enter chamber (1). Oil in
chamber (1) is returned back to the tank. Once the pressure is back to normal operating pressure
the valve will seat. This keeps the valve closed.

Makeup Closed Position

Illustration 3 g01278699
(1) Chamber
(2) Passage
(4) Makeup spring
(5) Valve seat
(7) Body Seat

The makeup valve is installed in the control valve in order to avoid extreme low pressures or
cavitation in the system. Low pressures or cavitation will cause slow response time with the
cylinder movements. The makeup valve prevents cavitation. When the pressure in chamber (2)
and pressure of the makeup spring (4) exceeds the pressure in chamber (1) the makeup valve is
closed. The makeup spring (4) and pressure in chamber (2) keeps the valve seat (5) seated against
the body seat (7) in the closed position.

Makeup Opened Position

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Illustration 4 g01278702
(1) Chamber
(2) Passage
(4) Spring
(5) Valve seat
(7) Body Seat

When the pressure in chamber (2) falls below the pressure in chamber (1) a vacuum will occur.
When the pressure in chamber (1) overcomes the pressure in chamber (2) and the pressure of the
spring (4) the valve will open. The valve seat (5) moves off the body seat (7). This allows oil from
chamber (1) to flow into chamber (2). Once the pressure in chamber (2) is greater than the
pressure in chamber (1), the spring force will close the valve. The makeup valve is used to prevent
cavitation. The valve maintains pressure at all times for proper operation.

Copyright 1993 - 2019 Caterpillar Inc. Fri Dec 13 21:06:47 UTC+0800 2019
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Shutdown SIS

Previous Screen

Product: BACKHOE LOADER

Model: 416E BACKHOE LOADER CBD
Configuration: 416E Backhoe Loader Single Tilt Center Pivot CBD00001-UP (MACHINE) POWERED BY 3054C Engine

Systems Operation
416E, 422E and 428E Backhoe Loaders Hydraulic and Steering System
Media Number -RENR6479-06 Publication Date -01/09/2014 Date Updated -12/09/2016

i02554807

Load Check Valve

SMCS - 5067

Load Check Valve

Closed

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Illustration 1 g01278649
Load check valve in the closed position
(1) Work port
(2) Check valve
(3) Chamber of check valve
(4) Check valve spring
(5) Spool
(6) Passage

This valve is in the normally closed position. When the spool (5) is in the center the pump
pressure is blocked. The chamber of check valve (3) is blocked from going to the tank by spool
(5). Pressure in chamber (3) builds up pressure. The pressure differential between the blocked
chamber (3) and passage (6) helps keep the valve seated. Spring (4) and the pressure in chamber
(3) applies pressure on the check valve (2). This holds the valve in the closed position. This will
prevent any drifting of the cylinder. The load check valve will maintain pressure in work port (1)
until the pump supplies enough pressure to passage (6) in order to move the check valve (2) off
the valve seat.

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Opened

Illustration 2 g01279790
Load check valve in the opened position by pump pressure
(1) Work port
(2) Check valve
(3) Chamber of check valve
(4) Check valve spring
(5) Spool
(6) Passage

This valve is in the open position. The pressure is coming in from the pump. The pressure will
keep building until the pump builds up enough pressure in order to overcome the check valve
spring (4) and the pressure in chamber (3). Oil in the chamber (3) is vented to the tank. Once the
pressure in passage (6) overcomes the resistance of the valve spring (4) the check valve (2) will
then unseat. The valve (2) will be in the opened position. This will allow the oil to flow around the
valve to the work port (1).

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Opened

Illustration 3 g01282256
Load check valve in the opened position by work port pressure
(1) Work port
(2) Check valve
(3) Chamber of check valve
(4) Check valve spring
(5) Spool
(6) Passage

This valve is in the open position. The pressure is coming in from the work port (1). Work port (1)
builds up pressure. The oil flows through the small hole in the load check valve (2) into passage
(6). Oil in the chamber (3) is vented to the tank. Once the pressure in passage (6) overcomes the
resistance of the valve spring (4) the check valve (2) will then unseat. The valve (2) will be in the
opened position. This will allow the oil to flow around the valve back to the tank.

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Copyright 1993 - 2019 Caterpillar Inc. Fri Dec 13 21:07:44 UTC+0800 2019
All Rights Reserved.
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Shutdown SIS

Previous Screen

Product: BACKHOE LOADER

Model: 416E BACKHOE LOADER CBD
Configuration: 416E Backhoe Loader Single Tilt Center Pivot CBD00001-UP (MACHINE) POWERED BY 3054C Engine

Systems Operation
416E, 422E and 428E Backhoe Loaders Hydraulic and Steering System
Media Number -RENR6479-06 Publication Date -01/09/2014 Date Updated -12/09/2016

i02619435

Bank Valve (Loader) - Single Tilt

SMCS - 5051; 5124

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Illustration 1 g01279810
(1) Auxiliary control lever
(2) Loader control lever
(3) Transmission neutralizer button
(4) Linkage rods
(5) Inlet manifold
(6) Lift control valve
(7) Tilt control valve
(8) Auxiliary control valve

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Illustration 2 g01312061
(5) Inlet manifold
(6) Lift control valve
(7) Tilt control valve
(8) Auxiliary control valve
(9) Priority valve
(10) Pump
(11) Hydraulic filter
(12) Ride control (if equipped)
(13) Hand metering unit
(14) Signal relief valve

The bank valve (loader) is located on the right frame rail under the cab floor. The standard bank valve
(loader) contains the following components: the inlet manifold (5), the lift control valve (6) and the
tilt control valve (7). The bank valve (loader) may also contain the auxiliary control valve (8).

The inlet manifold (5) for the bank valve (loader) also contains the steering priority valve and the
outlet to the tank. The lift control valve (6) controls the lift circuit. The tilt control valve (7) controls
the tilt circuit. The auxiliary control valve (8) controls the optional work tools.

The linkage rods (4) connect the valve sections to the operator control levers (1) and (2). Loader
control lever (2) controls the lift circuit, the lowering operation, and the float detent for the bucket.
The loader control also controls the bucket dump and bucket tilt function. If the machine is equipped
with the auxiliary circuit, auxiliary control lever (1) is installed and connected to the auxiliary control
valve.

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The loader lever also contains transmission neutralizer button (3). When the button is pushed, the
button disengages the transmission. Disengaging the transmission allows more power to be available
to the hydraulic system.

Copyright 1993 - 2019 Caterpillar Inc. Fri Dec 13 21:08:40 UTC+0800 2019
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Shutdown SIS

Previous Screen

Product: BACKHOE LOADER

Model: 416E BACKHOE LOADER CBD
Configuration: 416E Backhoe Loader Single Tilt Center Pivot CBD00001-UP (MACHINE) POWERED BY 3054C Engine

Systems Operation
416E, 422E and 428E Backhoe Loaders Hydraulic and Steering System
Media Number -RENR6479-06 Publication Date -01/09/2014 Date Updated -12/09/2016

i03461423

Control Valve (Lift)

SMCS - 5136

HOLD Position

Illustration 1 g01279754
HOLD position for the lift valve
(1) Spring

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(2) Spool
(3) Pump passage
(4) Chamber

The lift control valve is located between the tilt control valve and the inlet manifold. In the HOLD
position, spring (1) keeps spool (2) in the centered position. Oil from the pump flows from passage
(3) into chamber (4). In the HOLD position, spool (2) blocks the flow of oil.

LOWER Position

Illustration 2 g01279755
LOWER position for the lift valve
(1) Port to the head side of the cylinder
(2) Chamber for signal oil
(3) Compensator spool
(4) Chamber
(5) Port to the rod end of the cylinder
(6) Passage
(7) Signal oil passage
(8) Passage

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(9) Passage
(10) Passage
(11) Passage
(12) Pump passage
(13) Chamber
(14) Spool
(15) Spring
(16) Passage
(17) Passage
(19) Resolver Network

When you move the spool (14) to the left, the spring (15) is compressed toward the left. Oil from the
pump flows from passage (12) into chamber (13). The oil flows around spool (14) into passage (10).
As the oil flows into passage (10), the oil acts against the compensator spool (3). As the oil pressure
increases, the spring of compensator (3) compresses and the compensator spool (3) moves up.

The oil flows around the compensator spool (3) into passage (9). Oil from passage (9) then enters the
signal oil passage (7). The signal oil goes from the signal oil passage (8) into the resolver network
(19). If this circuit is the only active circuit, or if this circuit has a work port pressure that is higher
than the other circuits that are active, the oil pressure from this circuit will flow to the chamber for
signal oil (2). The pump actuator will receive a signal in order to control the output from the pump.
Refer to this Systems Operation, "Signal Network Resolver" for more information. The oil pressure
in the chamber for signal oil (2) and the pressure of the compensator spring (3) balances oil pressure
in passage (10).

When the oil enters passage (9), oil on the left side of passage is blocked by spool (14). On the right
side of passage (9), the oil flows around spool (14) into passage (8). The oil goes from passage (8)
into passage (6). The oil then flows through port (5) to the rod end of the cylinder. This will retract
the cylinder. This returns the loader to the LOWER position.

Return oil flows from the head end of the cylinder through port (1). The oil goes from port (1) into
passage (17). The oil moves from passage (17) into passage (16). The oil flows around spool (14) into
passage (11) back to the tank.

RAISE Position

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Illustration 3 g01279756
RAISE position for the lift valve
(1) Port to the head side of the cylinder
(2) Chamber for signal oil
(3) Compensator spool
(4) Chamber
(5) Port to the rod end of the cylinder
(6) Passage
(7) Signal oil passage
(8) Passage
(9) Passage
(10) Passage
(11) Passage
(12) Pump passage
(13) Chamber
(14) Spool
(15) Spring
(16) Passage
(17) Passage
(19) Resolver Network

When you move the spool (14) to the right, the spring (15) is compressed toward the right. The pump
sends oil into passage (12). The oil travels from passage (12) into chamber (13). The oil flows around
spool (14) into passage (10). When the oil flows into passage (10) the oil acts against compensator
spool (3). As the oil pressure increases, the spring of the compensator spool (3) compresses and the
compensator spool (3) moves up.

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The oil flows around the compensator spool (3) into passage (9). Some of the oil that flows into
passage (9) enters the signal oil passage (7). The signal oil goes from the signal oil passage (8) into
the resolver network (19). If this circuit is the only active circuit, or if this circuit has a work port
pressure that is higher than the other circuits that are active, the oil pressure from this circuit will flow
to the chamber for signal oil (2). The pump actuator will receive a signal in order to control the output
from the pump. Refer to this Systems Operation, "Signal Network Resolver" for more information.
The oil pressure in the chamber for signal oil (2) and the pressure of the compensator spring (3)
balances oil pressure in passage (10).

When the oil enters passage (9) the oil on the right side of the passage is blocked by spool (14). On
the left side of passage (9), the oil flows around spool (14) into passage (16). The oil moves from
passage (16) into passage (17). The oil in passage (17) then flows through port (1) to the head end of
the cylinder. This will extend the cylinder. This will return the loader to the RAISE position.

Return oil flows from the rod end of the cylinder through port (5) into passage (6). The oil flows from
passage (6) to passage (8). The oil flows around spool (14) into passage (11) back to the tank.

FLOAT Position

Illustration 4 g01279758
FLOAT position for the lift valve
(1) Port to the head side of the cylinder
(2) Chamber for signal oil
(3) Compensator spool
(4) Chamber

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(5) Port to the rod end of the cylinder

(6) Passage
(7) Signal oil passage
(8) Passage
(9) Passage
(10) Passage
(11) Passage
(12) Pump passage
(13) Chamber
(14) Spool
(15) Spring
(16) Ball
(17) Passage
(18) Passage
(19) Resolver Network

When the operator moves the control lever into the FLOAT position, spool (14) moves left to the end
of the travel. Spring (15) will fully compress. Ball (16) will move below the ridge. This will hold the
spool (14) in the left position. The force of spring (15) is not enough to disengage the ball.

The spool (14) is now in the FLOAT position. The spool will remain in the FLOAT portion until the
operator moves the control lever out of the FLOAT position.

Oil from the pump flows from passage (12) into chamber (13). The pressure oil in chamber (13) is
blocked by spool (14) and no pump oil flows to either end of the lift cylinders. Both ports (1) and (5)
are open to the tank. With the ports (1) and (5) open to the tank, the position of the lift arms is not
controlled by pump oil. The bucket will follow the contour to the ground.

Copyright 1993 - 2019 Caterpillar Inc. Fri Dec 13 21:09:37 UTC+0800 2019
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Shutdown SIS

Previous Screen

Product: BACKHOE LOADER

Model: 416E BACKHOE LOADER CBD
Configuration: 416E Backhoe Loader Single Tilt Center Pivot CBD00001-UP (MACHINE) POWERED BY 3054C Engine

Systems Operation
416E, 422E and 428E Backhoe Loaders Hydraulic and Steering System
Media Number -RENR6479-06 Publication Date -01/09/2014 Date Updated -12/09/2016

i03461500

Control Valve (Tilt)

SMCS - 5123

HOLD Position Single Tilt

Illustration 1 g01279761
HOLD position for the tilt valve
(1) Spring

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(2) Spool
(3) Pump passage
(4) Chamber

The tilt control valve is located between the auxiliary control valve and the lift control valve. In the
HOLD position, spring (1) keeps spool (2) in the centered position. Oil from the pump flows from
passage (3) into chamber (4). In the HOLD position, spool (2) blocks the flow of oil.

DUMP Position

Illustration 2 g01279762
DUMP position for the tilt valve
(1) Port to the head side of the cylinder
(2) Chamber for signal oil
(3) Compensator spool
(4) Chamber
(5) Port to the rod end of the cylinder
(6) Passage
(7) Makeup and Relief valve
(8) Signal oil passage

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(9) Passage
(10) Passage
(11) Passage
(12) Passage
(13) Pump passage
(14) Chamber
(15) Spool
(16) Spring
(17) Magnetic detent
(18) Connector to RETURN-TO-DIG switch
(19) Passage
(20) Makeup and Relief valve
(21) Passage
(22) Resolver Network

When you move the spool (15) to the left, the spring (16) is compressed toward the left. Oil from the
pump flows from passage (13) into chamber (14). The oil flows around spool (15) into passage (11).
As the oil flows into passage (11), the oil acts against the compensator spool (3). As the oil pressure
increases, the spring of compensator (3) compresses and the compensator spool (3) moves up.

The oil flows around the compensator spool (3) into passage (10). Oil from passage (10) then enters
the signal oil passage (8). The signal oil goes from the signal oil passage (8) into the resolver network
(22). If this circuit is the only active circuit, or if this circuit has a work port pressure that is higher
than the other circuits that are active, the oil pressure from this circuit will flow to the chamber for
signal oil (2). The pump actuator will receive a signal in order to control the output from the pump.
Refer to this Systems Operation, "Signal Network Resolver" for more information. The oil pressure
in the chamber for signal oil (2) and the pressure of the compensator spring (3) balances oil pressure
in passage (11).

When the oil enters passage (10), oil on the left side of passage is blocked by spool (15). On the right
side of passage (10), the oil flows around spool (15) into passage (9). The oil goes from passage (9)
past the makeup and relief valve (7) and into passage (6). Refer to this Systems Operation, "Makeup
and Relief Valve" for more information. The oil then flows through port (5) to the rod end of the
cylinder. This will retract the cylinder. This returns the loader to the DUMP position.

Return oil flows from the head end of the cylinder through port (1). The oil goes from port (1) into
passage (21). The oil moves from passage (21) past the makeup and relief valve (20) into passage
(19). The oil flows around spool (15) into passage (12) back to the tank.

TILT BACK Position

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Illustration 3 g01279763
TILT BACK position for the tilt valve
(1) Port to the head side of the cylinder
(2) Chamber for signal oil
(3) Compensator spool
(4) Chamber
(5) Port to the rod end of the cylinder
(6) Passage
(7) Makeup and Relief valve
(8) Signal oil passage
(9) Passage
(10) Passage
(11) Passage
(12) Passage
(13) Pump passage
(14) Chamber
(15) Spool
(16) Spring
(17) Magnetic detent
(18) Connector to RETURN-TO-DIG switch
(19) Passage
(20) Makeup and Relief valve

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(21) Passage
(22) Resolver Network

When you move the spool (15) to the right, the spring (16) is compressed toward the right. The pump
sends oil into passage (13). The oil travels from passage (13) to chamber (14). The oil flows around
spool (15) into passage (11). When the oil flows into passage (11) the oil acts against compensator
spool (3). As the oil pressure increases, the spring of the compensator spool (3) compresses and the
compensator spool (3) moves up.

The oil flows around the compensator spool (3) into passage (10). Some of the oil that flows into
passage (10) enters the signal oil passage (8). The signal oil goes from the signal oil passage (8) into
the resolver network (22). If this circuit is the only active circuit, or if this circuit has a work port
pressure that is higher than the other circuits that are active, the oil pressure from this circuit will flow
to the chamber for signal oil (2). The pump actuator will receive a signal in order to control the output
from the pump. Refer to this Systems Operation, "Signal Network Resolver" for more information.
The oil pressure in the chamber for signal oil (2) and the pressure of the compensator spring (3)
balances oil pressure in passage (11).

When the oil enters passage (10) the oil on the right side of the passage is blocked by spool (15). On
the left side of passage (10), the oil flows around spool (15) into passage (19). The oil moves from
passage (19) past the makeup and relief valve (20) into passage (21). Refer to this Systems Operation,
"Makeup and Relief Valve" for more information. The oil in passage (21) then flows through port (1)
to the head end of the cylinder. This will extend the cylinder. This will return the loader to the TILT
BACK position.

Return oil flows from the rod end of the cylinder through port (5) into passage (6). The oil flows from
passage (6) past the makeup and relief valve (7) to passage (9). The oil flows around spool (15) into
passage (12) back to the tank.

The other option is the RETURN-TO-DIG. Once the lever is moved into the RETURN-TO-DIG
position the magnet is activated. The magnetic detent (17) operates through the electrical connector
(18) that sends a signal to the RETURN-TO-DIG switch. The control valve will operate the same
manner. Spool (15) is held in place by a magnetic detent (17). This automatically returns the loader to
the RETURN-TO-DIG position.

Copyright 1993 - 2019 Caterpillar Inc. Fri Dec 13 21:10:34 UTC+0800 2019
All Rights Reserved.
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Previous Screen

Product: BACKHOE LOADER

Model: 416E BACKHOE LOADER CBD
Configuration: 416E Backhoe Loader Single Tilt Center Pivot CBD00001-UP (MACHINE) POWERED BY 3054C Engine

Systems Operation
416E, 422E and 428E Backhoe Loaders Hydraulic and Steering System
Media Number -RENR6479-06 Publication Date -01/09/2014 Date Updated -12/09/2016

i03461547

Control Valve (Auxiliary)(Loader)

SMCS - 5051-AX

HOLD Position

Illustration 1 g01279675
HOLD position for the auxiliary valve
(1) Spring
(2) Spool
(3) Pump passage
(4) Chamber

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The auxiliary control valve is located next to the tilt control valve. In the HOLD position, spring (1)
keeps spool (2) in the centered position. Oil from the pump flows from passage (3) into chamber (4).
In the HOLD position, spool (2) blocks the flow of oil.

Top Supply Port A

Illustration 2 g01279677
Flow to the top work port for the auxiliary valve
(1) Bottom supply port B
(2) Chamber for signal oil
(3) Compensator spool
(4) Chamber
(5) Top supply port A
(6) Passage
(8) Signal oil passage
(9) Passage
(10) Passage
(11) Passage
(12) Passage
(13) Pump passage
(14) Chamber
(15) Spool
(16) Spring
(17) Passage
(18) Makeup and Relief valve

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(19) Passage
(20) Resolver Network

When you move the spool (15) to the left, the spring (16) is compressed toward the left. Oil from the
pump flows from passage (13) into chamber (14). The oil flows around spool (15) into passage (11).
As the oil flows into passage (11), the oil acts against the compensator spool (3). As the oil pressure
increases, the spring of compensator (3) compresses and the compensator spool (3) moves up.

The oil flows around the compensator spool (3) into passage (10). Oil from passage (10) then enters
the signal oil passage (8). The signal oil goes from the signal oil passage (8) into the resolver network
(20). If this circuit is the only active circuit, or if this circuit has a work port pressure that is higher
than the other circuits that are active, the oil pressure from this circuit will flow to the chamber for
signal oil (2). The pump actuator will receive a signal in order to control the output from the pump.
Refer to this Systems Operation, "Signal Network Resolver" for more information. The oil pressure
in the chamber for signal oil (2) and the pressure of the compensator spring (3) balances oil pressure
in passage (11).

When the oil enters passage (10), oil on the left side of passage is blocked by spool (15). On the right
side of passage (10), the oil flows around spool (15) into passage (9). The oil goes from passage (9)
into passage (6). The oil then flows through supply port A (5).

Return oil goes through the supply port B (1) into passage (19). The oil moves from passage (19) past
the makeup and relief valve (18) into passage (17). Refer to this Systems Operation, "Makeup and
Relief Valve" for more information. The oil flows around spool (15) into passage (12) back to the
tank.

Bottom Supply Port B

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Illustration 3 g01279681
Flow to the bottom work port for the auxiliary valve
(1) Bottom supply port B
(2) Chamber for signal oil
(3) Compensator spool
(4) Chamber
(5) Top supply port A
(6) Passage
(8) Signal oil passage
(9) Passage
(10) Passage
(11) Passage
(12) Passage
(13) Pump passage
(14) Chamber
(15) Spool
(16) Spring
(17) Passage
(18) Makeup and Relief valve
(19) Passage
(20) Resolver Network

When you move the spool (15) to the right, the spring (16) is compressed toward the right. The pump
sends oil into passage (13). The oil travels from passage (13) into chamber (14). The oil flows around
spool (15) into passage (11). When the oil flows into passage (11) the oil acts against compensator
spool (3). As the oil pressure increases, the spring of the compensator spool (3) compresses and the
compensator spool (3) moves up.

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The oil flows around the compensator spool (3) into passage (10). Some of the oil that flows into
passage (10) enters the signal oil passage (8). The signal oil goes from the signal oil passage (8) into
the resolver network (20). If this circuit is the only active circuit, or if this circuit has a work port
pressure that is higher than the other circuits that are active, the oil pressure from this circuit will flow
to the chamber for signal oil (2). The pump actuator will receive a signal in order to control the output
from the pump. Refer to this Systems Operation, "Signal Network Resolver" for more information.
The oil pressure in the chamber for signal oil (2) and the pressure of the compensator spring (3)
balances oil pressure in passage (11).

When the oil enters passage (10) the oil on the right side of the passage is blocked by spool (15). On
the left side of passage (10), the oil flows around spool (15) into passage (17). The oil moves from
passage (17) past the makeup and relief valve (18) into passage (19). Refer to this Systems Operation,
"Makeup and Relief Valve" for more information. The oil in passage (19) then flows through supply
port B (1).

Return oil flows through the top supply port A (5) into passage (6). The oil flows from passage (6) to
passage (9). The oil flows around spool (15) into passage (12) back to the tank.

Copyright 1993 - 2019 Caterpillar Inc. Fri Dec 13 21:11:30 UTC+0800 2019
All Rights Reserved.
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Previous Screen

Product: BACKHOE LOADER

Model: 416E BACKHOE LOADER CBD
Configuration: 416E Backhoe Loader Single Tilt Center Pivot CBD00001-UP (MACHINE) POWERED BY 3054C Engine

Systems Operation
416E, 422E and 428E Backhoe Loaders Hydraulic and Steering System
Media Number -RENR6479-06 Publication Date -01/09/2014 Date Updated -12/09/2016

i03461554

Bank Valve (Backhoe)

SMCS - 5051; 5476

S/N - CBD1-UP

S/N - MFG1-6000

S/N - SHA1-UP

Illustration 1 g01096403
248-0485 Bank Valve Gp
8 Bank Valve for the 416E

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Illustration 2 g01305313
248-0484 Bank Valve Gp
7 Bank Valve for the 416E

Illustration 3 g01305319
248-0483 Bank Valve Gp
6 Bank Valve for the 416E

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The machine can be equipped with six bank, seven bank, or eight bank valves. The bank valves
(backhoe) are located below the floorplate at the rear of the operator station. The valves are mounted
on the rear frame. The work ports for the valves face the rear of the machine.

Illustration 4 g01096409

The inlet ports (11) for the bank valves (backhoe) are in the manifold (7) that is mounted between the
stabilizer valve (8) and the auxiliary control valve (6). The inlet ports face the front of the machine.
The outlet ports (12) for the bank valves (backhoe) are in the stick control valve (2). The outlet ports
face the front of the machine.

Standard equipment on a 248-0485 Bank Valve Gp includes the following items: extendable stick
control valve (1), stick control valve (2), bucket control valve (3), swing control valve (4), boom
control valve (5), auxiliary control valve (6), inlet manifold (7), stabilizer valve (8), stabilizer valve
(9) and cover (10).

The extendable stick control valve (1) and the auxiliary control valve (6) are available as options. The
eight valve bank includes both the extendable stick valve (1) and the auxiliary valve (6). The seven
valve bank only includes the extendable stick valve (1) and no auxiliary valve (1). The six bank valve
has no extendable stick valve (1) or auxiliary valve (6).

Linkage rods connect all valve sections to the operator control levers. All sections of the control
valve are the type that has a closed centered position.

Copyright 1993 - 2019 Caterpillar Inc. Fri Dec 13 21:12:27 UTC+0800 2019
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Previous Screen

Product: BACKHOE LOADER

Model: 416E BACKHOE LOADER CBD
Configuration: 416E Backhoe Loader Single Tilt Center Pivot CBD00001-UP (MACHINE) POWERED BY 3054C Engine

Systems Operation
416E, 422E and 428E Backhoe Loaders Hydraulic and Steering System
Media Number -RENR6479-06 Publication Date -01/09/2014 Date Updated -12/09/2016

i02556364

Control Valve (Extendable Stick)

SMCS - 5474

HOLD Position

Illustration 1 g01279617
HOLD position for the extendable stick valve
(1) Spring

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(2) Spool
(3) Pump passage
(4) Chamber
(5) Check valve

The extendable stick control valve is located next to the stick control valve. In the HOLD position,
spring (1) keeps spool (2) in the centered position. Oil from the pump flows from passage (3) into
chamber (4). In the HOLD position, spool (2) blocks the flow of oil. Check valve (5) will maintain
pressure in the line in order to avoid cylinder drift. Refer to this Systems Operation, "Load Check
Valve" for more information.

RETRACT Position

Illustration 2 g01279618
RETRACT position for the extendable stick valve
(1) Port to the head side of the cylinder
(2) Chamber for signal oil
(3) Compensator spool
(4) Chamber
(5) Port to the rod end of the cylinder

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(6) Passage
(7) Makeup and Relief valve
(8) Signal oil passage
(9) Spring
(10) Check valve
(11) Passage
(12) Passage
(13) Passage
(14) Passage
(15) Pump passage
(16) Chamber
(17) Spool
(18) Spring
(19) Passage
(20) Makeup and Relief valve
(21) Passage
(22) Resolver Network
(23) Spring Chamber

When you move the spool (17) to the left, the spring (18) is compressed toward the left. Oil from the
pump flows from passage (15) into chamber (16). The oil flows around spool (17) into passage (13).
As the oil flows into passage (13), the oil acts against the compensator spool (3). As the oil pressure
increases, the spring of compensator (3) compresses and the compensator spool (3) moves up.

The oil flows around the compensator spool (3) into passage (12). Oil from passage (12) then enters
the signal oil passage (8). The signal oil goes from the signal oil passage (8) into the resolver network
(22). If this circuit is the only active circuit, or if this circuit has a work port pressure that is higher
than the other circuits that are active, the oil pressure from this circuit will flow to the chamber for
signal oil (2). The pump actuator will receive a signal in order to control the output from the pump.
Refer to this Systems Operation, "Signal Network Resolver" for more information. The oil pressure
in the chamber for signal oil (2) and the pressure of the compensator spring (3) balances oil pressure
in passage (13).

When the oil enters passage (12), oil on the left side of passage is blocked by spool (17). On the right
side of passage (12), the oil flows around spool (17) into passage (11). As the oil flows into passage
(11), the oil pressure increases. The oil enters the check valve (10). When pressure overcomes the
force of spring (9) and the pressure in spring chamber (23), the check valve (10) moves to the right.
Refer to this Systems Operation, "Load Check Valve" for more information. Oil flows through the
check valve (10) into the makeup and relief valve (7). The oil flows from the makeup and relief valve
(7) to passage (6). Refer to this Systems Operation, "Makeup and Relief Valve" for more information.
The oil then flows through port (5) to the rod end of the cylinder. This will retract the cylinder. This
returns the stick to the RETRACT position.

Return oil flows from the head end of the cylinder through port (1). The oil goes from port (1) into
passage (21). The oil moves from passage (21) past the makeup and relief valve (20) into passage
(19). The oil flows around spool (17) into passage (14) back to the tank.

EXTEND Position

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Illustration 3 g01279620
EXTEND position for the extendable stick valve
(1) Port to the head side of the cylinder
(2) Chamber for signal oil
(3) Compensator spool
(4) Chamber
(5) Port to the rod end of the cylinder
(6) Passage
(7) Makeup and Relief valve
(8) Signal oil passage
(9) Spring
(10) Check valve
(11) Passage
(12) Passage
(13) Passage
(14) Passage
(15) Pump passage
(16) Chamber
(17) Spool
(18) Spring
(19) Passage
(20) Makeup and Relief valve

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(21) Passage
(22) Resolver Network
(23) Spring Chamber

When you move the spool (17) to the right, the spring (18) is compressed toward the right. The pump
sends oil into passage (15). The oil travels from passage (15) to chamber (16). The oil flows around
spool (17) into passage (13). When the oil flows into passage (13) the oil acts against compensator
spool (3). As the oil pressure increases, the spring of the compensator spool (3) compress and the
compensator spool (3) moves up.

The oil flows around the compensator spool (3) into passage (12). Some of the oil that flows into
passage (12) enters the signal oil passage (8). The signal oil goes from the signal oil passage (8) into
the resolver network (22). If this circuit is the only active circuit, or if this circuit has a work port
pressure that is higher than the other circuits that are active, the oil pressure from this circuit will flow
to the chamber for signal oil (2). The pump actuator will receive a signal in order to control the output
from the pump. Refer to this Systems Operation, "Signal Network Resolver" for more information.
The oil pressure in the chamber for signal oil (2) and the pressure of the compensator spring (3)
balances oil pressure in passage (13).

When the oil enters passage (12) the oil on the right side of the passage is blocked by spool (17). On
the left side of passage (12), the oil flows around spool (17) into passage (19). The oil moves from
passage (19) past the makeup and relief valve (20) into passage (21). Refer to this Systems Operation,
"Makeup and Relief Valve" for more information. The oil in passage (21) then flows through port (1)
to the head end of the cylinder. This will extend the cylinder. This will return the stick to the
EXTEND position.

Return oil flows from the rod end of the cylinder through port (5) into passage (6). The oil flows from
passage (6) past the makeup and relief valve (7) into check valve (10). When the oil pressure
overcomes the force of the spring (9) and the pressure in spring chamber (23), the check valve will
move to the right. Refer to this Systems Operation, "Load Check Valve" for more information. Oil
flows through the check valve (10) to passage (11). The oil flows around spool (17) into passage (14)
back to the tank.

Copyright 1993 - 2019 Caterpillar Inc. Fri Dec 13 21:13:24 UTC+0800 2019
All Rights Reserved.
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Previous Screen

Product: BACKHOE LOADER

Model: 416E BACKHOE LOADER CBD
Configuration: 416E Backhoe Loader Single Tilt Center Pivot CBD00001-UP (MACHINE) POWERED BY 3054C Engine

Systems Operation
416E, 422E and 428E Backhoe Loaders Hydraulic and Steering System
Media Number -RENR6479-06 Publication Date -01/09/2014 Date Updated -12/09/2016

i03174762

Control Valve (Stick)

SMCS - 5464

HOLD Position

Illustration 1 g01279554
HOLD position for the stick valve
(1) Spring

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(2) Spool
(3) Pump passage
(4) Chamber
(5) Check valve

The stick control valve is located between the bucket control valve and the extendable stick control
valve. In the HOLD position, spring (1) keeps spool (2) in the centered position. Oil from the pump
flows from passage (3) into chamber (4). In the HOLD position, spool (2) blocks the flow of oil.
Check valve (5) will maintain pressure in the line in order to avoid cylinder drift. Refer to this
Systems Operation, "Load Check Valve" for more information.

STICK IN Position

Illustration 2 g01279559
STICK IN position for the stick valve
(1) Port to the rod end of the cylinder
(2) Chamber for signal oil
(3) Compensator spool
(4) Chamber
(5) Port to the head side of the cylinder

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(6) Passage
(7) Makeup and relief valve
(8) Signal oil passage
(9) Passage
(10) Passage
(11) Passage
(12) Passage
(13) Pump passage
(14) Chamber
(15) Spool
(16) Spring
(17) Passage
(18) Check valve
(19) Spring
(20) Makeup and relief valve
(21) Passage
(22) Resolver network
(23) Spring chamber

When you move the spool (15) to the left, the spring (16) is compressed toward the left. Oil from the
pump flows from passage (13) into chamber (14). The oil flows around spool (15) into passage (11).
As the oil flows into passage (11), the oil acts against the compensator spool (3). As the oil pressure
increases, the spring of compensator (3) compresses and the compensator spool (3) moves up.

The oil flows around the compensator spool (3) into passage (10). Oil from passage (10) then enters
the signal oil passage (8). The signal oil goes from the signal oil passage (8) into the resolver network
(22). If this circuit is the only active circuit, or if this circuit has a work port pressure that is higher
than the other circuits that are active, the oil pressure from this circuit will flow to the chamber for
signal oil (2). The pump actuator will receive a signal in order to control the output from the pump.
Refer to this Systems Operation, "Signal Network Resolver" for more information. The oil pressure
in the chamber for signal oil (2) and the pressure of the compensator spring (3) balances oil pressure
in passage (13).

When the oil enters passage (10), oil on the left side of passage is blocked by spool (15). On the right
side of passage (10), the oil flows around spool (15) into passage (9). The oil goes from passage (9)
past the makeup and relief valve (7) and into passage (6). Refer to this Systems Operation, "Makeup
and Relief Valve" for more information. The oil then flows through port (5) to the head side of the
cylinder. This will extend the cylinder. This returns the stick to the STICK IN position.

Return oil flows from the rod end of the cylinder through port (1). The oil goes from port (1) into
passage (21). The oil moves from passage (21) past the makeup and relief valve (20). Oil flows from
makeup and relief valve (20) into check valve (18). When the oil pressure overcomes the force of the
spring (19) and the pressure in spring chamber (23), the check valve (18) moves to the left. Refer to
this Systems Operation, "Load Check Valve" for more information. Oil flows through the check
valve (18) into passage (17). The oil flows around spool (15) into passage (12) back to the tank.

STICK OUT Position

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Illustration 3 g01279561
STICK OUT position for the stick valve
(1) Port to the rod end of the cylinder
(2) Chamber for signal oil
(3) Compensator spool
(4) Chamber
(5) Port to the head side of the cylinder
(6) Passage
(7) Makeup and relief valve
(8) Signal oil passage
(9) Passage
(10) Passage
(11) Passage
(12) Passage
(13) Pump passage
(14) Chamber
(15) Spool
(16) Spring
(17) Passage
(18) Check valve
(19) Spring
(20) Makeup and relief valve

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(21) Passage
(22) Resolver network
(23) Spring chamber

When you move the spool (15) to the right, the spring (16) is compressed toward the right. The pump
sends oil into passage (13). The oil travels from passage (13) into chamber (14). The oil flows around
spool (15) into passage (11). When the oil flows into passage (11) the oil acts against compensator
spool (3). As the oil pressure increases, the spring of the compensator spool (3) compress and the
compensator spool (3) moves up.

The oil flows around the compensator spool (3) into passage (10). Some of the oil that flows into
passage (10) enters the signal oil passage (8). The signal oil goes from the signal oil passage (8) into
the resolver network (22). If this circuit is the only active circuit, or if this circuit has a work port
pressure that is higher than the other circuits that are active, the oil pressure from this circuit will flow
to the chamber for signal oil (2). The pump actuator will receive a signal in order to control the output
from the pump. Refer to this Systems Operation, "Signal Network Resolver" for more information.
The oil pressure in the chamber for signal oil (2) and the pressure of the compensator spring (3)
balances oil pressure in passage (13).

When the oil enters passage (10) the oil on the right side of the passage is blocked by spool (15). On
the left side of passage (10), the oil flows around spool (15) into passage (17). As the oil flows into
passage (17), the oil pressure increases. The oil enters the check valve (18). When pressure
overcomes the force of spring (19) and the pressure in spring chamber (23), the check valve (18) will
move to the left. Refer to this Systems Operation, "Load Check Valve" for more information. Oil
flows through the check valve (18) past the makeup and relief valve (20) into passage (21). Refer to
this Systems Operation, "Makeup and Relief Valve" for more information. The oil in passage (21)
then flows through port (1) to the rod end of the cylinder. This will retract the cylinder. This will
return the stick to the STICK OUT position.

Return oil flows from the head side of the cylinder through port (5) into passage (6). The oil flows
from passage (6) past the makeup and relief valve (7) to passage (9). The oil flows around spool (15)
into passage (12) back to the tank.

Copyright 1993 - 2019 Caterpillar Inc. Fri Dec 13 21:14:21 UTC+0800 2019
All Rights Reserved.
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Previous Screen

Product: BACKHOE LOADER

Model: 416E BACKHOE LOADER CBD
Configuration: 416E Backhoe Loader Single Tilt Center Pivot CBD00001-UP (MACHINE) POWERED BY 3054C Engine

Systems Operation
416E, 422E and 428E Backhoe Loaders Hydraulic and Steering System
Media Number -RENR6479-06 Publication Date -01/09/2014 Date Updated -12/09/2016

i03174840

Control Valve (Bucket)

SMCS - 5122

HOLD Position

Illustration 1 g01279507
HOLD position for the bucket valve
(1) Spring

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(2) Spool
(3) Pump passage
(4) Chamber

The bucket control valve is located between the swing control valve and the stick control valve. In the
HOLD position, spring (1) keeps spool (2) in the centered position. Oil from the pump flows from
passage (3) into chamber (4). In the HOLD position, spool (2) blocks the flow of oil.

LOAD Position

Illustration 2 g01279509
LOAD position for the bucket valve
(1) Port to the rod end of the cylinder
(2) Chamber for signal oil
(3) Compensator spool
(4) Chamber
(5) Port to the head side of the cylinder
(6) Passage
(7) Makeup and relief valve
(8) Signal oil passage

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(9) Passage
(10) Passage
(11) Passage
(12) Passage
(13) Pump passage
(14) Chamber
(15) Spool
(16) Spring
(17) Passage
(18) Makeup and relief valve
(19) Passage
(20) Resolver network

When you move the spool (15) to the left, the spring (16) is compressed toward the left. Oil from the
pump flows from passage (13) into chamber (14). The oil flows around spool (15) into passage (11).
As the oil flows into passage (11), the oil acts against the compensator spool (3). As the oil pressure
increases, the spring of compensator (3) compresses and the compensator spool (3) moves up.

The oil flows around the compensator spool (3) into passage (10). Oil from passage (10) then enters
the signal oil passage (8). The signal oil goes from the signal oil passage (8) into the resolver network
(20). If this circuit is the only active circuit, or if this circuit has a work port pressure that is higher
than the other circuits that are active, the oil pressure from this circuit will flow to the chamber for
signal oil (2). The pump actuator will receive a signal in order to control the output from the pump.
Refer to this Systems Operation, "Signal Network Resolver" for more information. The oil pressure
in the chamber for signal oil (2) and the pressure of the compensator spring (3) balances oil pressure
in passage (13).

When the oil enters passage (10), oil on the left side of passage is blocked by spool (15). On the right
side of passage (10), the oil flows around spool (15) into passage (9). The oil goes from passage (9)
past the makeup and relief valve (7) and into passage (6). Refer to this Systems Operation, "Makeup
and Relief Valve" for more information. The oil then flows through port (5) to the head side of the
cylinder. This will extend the cylinder. This returns the bucket to the LOAD position.

Return oil flows from the rod end of the cylinder through port (1). The oil goes from port (1) into
passage (19). The oil moves from passage (19) past the makeup and relief valve (18) into passage
(17). The oil flows around spool (15) into passage (12) back to the tank.

DUMP Position

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Illustration 3 g01279511
DUMP position for the bucket valve
(1) Port to the rod end of the cylinder
(2) Chamber for signal oil
(3) Compensator spool
(4) Chamber
(5) Port to the head side of the cylinder
(6) Passage
(7) Makeup and relief valve
(8) Signal oil passage
(9) Passage
(10) Passage
(11) Passage
(12) Passage
(13) Pump passage
(14) Chamber
(15) Spool
(16) Spring
(17) Passage
(18) Makeup and relief valve
(19) Passage
(20) Resolver network

When you move the spool (15) to the right, the spring (16) is compressed toward the right. The pump
sends oil into passage (13). The oil travels from passage (13) into chamber (14). The oil flows around
spool (15) into passage (11). When the oil flows into passage (11) the oil acts against compensator

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spool (3). As the oil pressure increases, the spring of the compensator spool (3) compress and the
compensator spool (3) moves up.

The oil flows around the compensator spool (3) into passage (10). Some of the oil that flows into
passage (10) enters the signal oil passage (8). The signal oil goes from the signal oil passage (8) into
the resolver network (20). If this circuit is the only active circuit, or if this circuit has a work port
pressure that is higher than the other circuits that are active, the oil pressure from this circuit will flow
to the chamber for signal oil (2). The pump actuator will receive a signal in order to control the output
from the pump. Refer to this Systems Operation, "Signal Network Resolver" for more information.
The oil pressure in the chamber for signal oil (2) and the pressure of the compensator spring (3)
balances oil pressure in passage (13).

When the oil enters passage (10) the oil on the right side of the passage is blocked by spool (15). On
the left side of passage (10), the oil flows around spool (15) into passage (17). The oil moves from
passage (17) past the makeup and relief valve (18) into passage (19). Refer to this Systems Operation,
"Makeup and Relief Valve" for more information. The oil in passage (19) then flows through port (1)
to the rod end of the cylinder. This will retract the cylinder. This will return the bucket to the DUMP
position.

Return oil flows from the head side of the cylinder through port (5) into passage (6). The oil flows
from passage (6) past the makeup and relief valve (7) to passage (9). The oil flows around spool (15)
into passage (12) back to the tank.

Copyright 1993 - 2019 Caterpillar Inc. Fri Dec 13 21:15:18 UTC+0800 2019
All Rights Reserved.
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Shutdown SIS

Previous Screen

Product: BACKHOE LOADER

Model: 416E BACKHOE LOADER CBD
Configuration: 416E Backhoe Loader Single Tilt Center Pivot CBD00001-UP (MACHINE) POWERED BY 3054C Engine

Systems Operation
416E, 422E and 428E Backhoe Loaders Hydraulic and Steering System
Media Number -RENR6479-06 Publication Date -01/09/2014 Date Updated -12/09/2016

i03175250

Control Valve (Swing)

SMCS - 5480

HOLD Position

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Illustration 1 g01275413
HOLD position for the swing valve
(1) Spring
(2) Spool
(3) Pump passage
(4) Chamber
(5) Check valve
(6) Check valve

The swing control valve is located between the boom control valve and the bucket control valve.
In the HOLD position, spring (1) keeps spool (2) in the centered position. Oil from the pump
flows from passage (3) into chamber (4). In the HOLD position, spool (2) blocks the flow of oil.
Check valves (5) and (6) will maintain pressure in the lines in order to avoid cylinder drift. Refer
to this Systems Operation, "Load Check Valve" for more information.

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RIGHT Position

Illustration 2 g01278403
RIGHT position for the swing valve
(1) Port to the left cylinder rod end
(2) Signal oil chamber
(3) Compensator spool
(4) Chamber
(5) Port to the right cylinder rod end
(6) Passage
(7) Makeup and relief valve
(8) Signal oil passage

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(9) Spring
(10) Check valve
(11) Passage
(12) Passage
(13) Passage
(14) Passage
(15) Pump passage
(16) Chamber
(17) Spool
(18) Spring
(19) Passage
(20) Spring
(21) Check valve
(22) Makeup and relief Valve
(23) Passage
(24) Spring chamber
(25) Resolver network
(26) Spring chamber

When you move the spool (17) to the left, the spring (18) is compressed toward the left. Oil from
the pump flows from passage (15) into chamber (16). The oil flows around spool (17) into passage
(13). As the oil flows into passage (13), the oil acts against the compensator spool (3). As the oil
pressure increases, the spring of compensator (3) compresses and the compensator spool (3)
moves up.

The oil flows around the compensator spool (3) into passage (12). Oil from passage (12) then
enters the signal oil passage (8). The signal oil goes from the signal oil passage (8) into the
resolver network (25). If this circuit is the only active circuit, or if this circuit has a work port
pressure that is higher than the other circuits that are active, the oil pressure from this circuit will
flow to the signal oil chamber (2). The pump actuator will receive a signal in order to control the
output from the pump. Refer to this Systems Operation, "Signal Network Resolver" for more
information. The oil pressure in the chamber for signal oil (2) and the pressure of the compensator
spring (3) balances oil pressure in passage (13).

When the oil enters passage (12), oil on the left side of passage is blocked by spool (17). On the
right side of passage (12), the oil flows around spool (17) into passage (11). As the oil flows into
passage (11), the oil pressure increases. The oil pressure builds up against the check valve (10).
When pressure overcomes the force of spring (9) and the pressure in spring chamber (24), the
check valve (10) moves to the right. Refer to this Systems Operation, "Load Check Valve" for
more information. Oil flows around the check valve (10) past the makeup and relief valve (7) and
into passage (6). Refer to this Systems Operation, "Makeup and Relief Valve" for more
information. The oil then flows through port (5) to the rod end of the right cylinder. The oil in the
head end of the right cylinder will travel to the rod end of the left cylinder. The two cylinders
work together. The right cylinder and left cylinder assist each other during each function. This
returns the swing to the RIGHT position.

Return oil flows from the rod end of the left cylinder through port (1) into passage (23). The oil
flows from passage (23) past the makeup and relief valve (22) into check valve (21). When the
return oil pressure overcomes the force of spring (20) and the pressure in spring chamber (26), the
check valve (21) moves to the left. Oil flows around the check valve (21). Refer to this Systems
Operation, "Load Check Valve" for more information. Oil travels into passage (19). The oil flows
around spool (17) into passage (14) back to the tank.

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LEFT Position

Illustration 3 g01278405
LEFT position for the swing valve
(1) Port to the left cylinder rod end
(2) Signal oil chamber
(3) Compensator spool
(4) Chamber
(5) Port to the right cylinder rod end
(6) Passage
(7) Makeup and relief valve
(8) Signal oil passage

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(9) Spring
(10) Check valve
(11) Passage
(12) Passage
(13) Passage
(14) Passage
(15) Pump passage
(16) Chamber
(17) Spool
(18) Spring
(19) Passage
(20) Spring
(21) Check valve
(22) Makeup and relief valve
(23) Passage
(24) Spring chamber
(25) Resolver network
(26) Spring chamber

When you move the spool (17) to the right, the spring (18) is compressed toward the right. The
pump sends oil into passage (15). The oil travels from passage (15) to chamber (16). The oil flows
around spool (17) into passage (13). When the oil flows into passage (13) the oil acts against
compensator spool (3). As the oil pressure increases, the spring of the compensator spool (3)
compresses and the compensator spool (3) moves up.

The oil flows around the compensator spool (3) into passage (12). Some of the oil that flows into
passage (12) enters the signal oil passage (8). The signal oil goes from the signal oil passage (8)
into the resolver network (25). If this circuit is the only active circuit, or if this circuit has a work
port pressure that is higher than the other circuits that are active, the oil pressure from this circuit
will flow to the signal oil chamber (2). The pump actuator will receive a signal in order to control
the output from the pump. Refer to this Systems Operation, "Signal Network Resolver" for more
information. The oil pressure in the chamber for signal oil (2) and the pressure of the compensator
spring (3) balances oil pressure in passage (13).

When the oil enters passage (12) the oil on the right side of the passage is blocked by spool (17).
On the left side of passage (12), the oil flows around spool (17) into passage (19). As the oil flows
into passage (19), the oil pressure increases. The oil pressure builds up against the check valve
(21). When pressure overcomes the force of spring (20) and the pressure in spring chamber (26),
the check valve (21) moves to the left. Refer to this Systems Operation, "Load Check Valve" for
more information. Oil flows around the check valve (21) past the makeup and relief valve (22) and
into passage (23). Refer to this Systems Operation, "Makeup and Relief Valve" for more
information. The oil in passage (23) then flows through port (1) to the rod end of the left cylinder.
The oil in the head end of the left cylinder will travel to the rod end of the right cylinder. The two
cylinders work together. The right cylinder and left cylinder assist each other during each
function. This will return the swing to the LEFT position.

Return oil flows from the rod end of the right cylinder through port (5) into passage (6). The oil
flows from passage (6) past the makeup and relief valve (7) into check valve (10). The spring
chamber for check valve (24) is connected to the tank through a passage in the spool. When the
return oil pressure overcomes the force of spring (9) and the pressure in spring chamber (24), the
check valve (10) moves to the right. Oil flows through the check valve (10). Refer to this Systems
Operation, "Load Check Valve" for more information. Oil travels into passage (11). The oil flows
around spool (17) into passage (14) back to the tank.

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Copyright 1993 - 2019 Caterpillar Inc. Fri Dec 13 21:16:14 UTC+0800 2019
All Rights Reserved.
Private Network For SIS Licensees.

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Shutdown SIS

Previous Screen

Product: BACKHOE LOADER

Model: 416E BACKHOE LOADER CBD
Configuration: 416E Backhoe Loader Single Tilt Center Pivot CBD00001-UP (MACHINE) POWERED BY 3054C Engine

Systems Operation
416E, 422E and 428E Backhoe Loaders Hydraulic and Steering System
Media Number -RENR6479-06 Publication Date -01/09/2014 Date Updated -12/09/2016

i03178907

Control Valve (Boom)

SMCS - 5461

HOLD Position

Illustration 1 g01278927
HOLD position for the boom valve
(1) Spring

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(2) Spool
(3) Pump passage
(4) Chamber
(5) Check valve

The boom control valve is located between the auxiliary control valve and the swing control valve. In
the HOLD position, spring (1) keeps spool (2) in the centered position. Oil from the pump flows from
passage (3) into chamber (4). In the HOLD position, spool (2) blocks the flow of oil. Check valve (5)
will maintain pressure in the line in order to avoid cylinder drift. Refer to this Systems Operation,
"Load Check Valve" for more information.

RAISE Position

Illustration 2 g01278930
RAISE position for the boom valve
(1) Port to the head side of the cylinder
(2) Chamber for signal oil
(3) Compensator spool
(4) Chamber
(5) Port to the rod end of the cylinder

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(6) Passage
(7) Makeup and relief valve
(8) Signal oil passage
(9) Spring
(10) Check valve
(11) Passage
(12) Passage
(13) Passage
(14) Passage
(15) Pump passage
(16) Chamber
(17) Spool
(18) Spring
(19) Passage
(20) Makeup and relief valve
(21) Passage
(24) Spring chamber
(25) Resolver network

When you move the spool (17) to the left, the spring (18) is compressed toward the left. Oil from the
pump flows from passage (15) into chamber (16). The oil flows around spool (17) into passage (13).
As the oil flows into passage (13), the oil acts against the compensator spool (3). As the oil pressure
increases, the spring of compensator (3) compresses and the compensator spool (3) moves up.

The oil flows around the compensator spool (3) into passage (12). Oil from passage (12) then enters
the signal oil passage (8). The signal oil goes from the signal oil passage (8) into the resolver network
(25). If this circuit is the only active circuit, or if this circuit has a work port pressure that is higher
than the other circuits that are active, the oil pressure from this circuit will flow to the signal oil
chamber (2). The pump actuator will receive a signal in order to control the output from the pump.
Refer to this Systems Operation, "Signal Network Resolver" for more information. The oil pressure
in the chamber for signal oil (2) and the pressure of the compensator spring (3) balances oil pressure
in passage (13).

When the oil enters passage (12), oil on the left side of passage is blocked by spool (17). On the right
side of passage (12), the oil flows around spool (17) into passage (11). As the oil flows into passage
(11), the oil pressure increases. The oil enters the check valve (10). When pressure overcomes the
force of spring (9) and the pressure in spring chamber (24), the check valve (10) moves to the right.
Refer to this Systems Operation, "Load Check Valve" for more information. Oil flows around the
check valve (10) past the makeup and relief valve (7) and into passage (6). Refer to this Systems
Operation, "Makeup and Relief Valve" for more information. The oil then flows through port (5) to
the rod end of the cylinder. This will retract the cylinder. This returns the boom to the RAISE
position.

Return oil flows from the head end of the cylinder through port (1). The oil goes from port (1) into
passage (21). The oil moves from passage (21) past the makeup and relief valve (20) into passage
(19). The oil flows around spool (17) into passage (14) back to the tank.

LOWER Position

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Illustration 3 g01278931
LOWER position for the boom valve
(1) Port to the head side of the cylinder
(2) Chamber for signal oil
(3) Compensator spool
(4) Chamber
(5) Port to the rod end of the cylinder
(6) Passage
(7) Makeup and relief valve
(8) Signal oil passage
(9) Spring
(10) Check valve
(11) Passage
(12) Passage
(13) Passage
(14) Passage
(15) Pump passage
(16) Chamber
(17) Spool
(18) Spring
(19) Passage
(20) Makeup and relief valve
(21) Passage
(24) Spring chamber
(25) Resolver network

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When you move the spool (17) to the right, the spring (18) is compressed toward the right. The pump
sends oil into passage (15). The oil travels from passage (15) to chamber (16). The oil flows around
spool (17) into passage (13). When the oil flows into passage (13) the oil acts against compensator
spool (3). As the oil pressure increases, the spring of the compensator spool (3) compress and the
compensator spool (3) moves up.

The oil flows around the compensator spool (3) into passage (12). Some of the oil that flows into
passage (12) enters the signal oil passage (8). The signal oil goes from the signal oil passage (8) into
the resolver network (25). If this circuit is the only active circuit, or if this circuit has a work port
pressure that is higher than the other circuits that are active, the oil pressure from this circuit will flow
to the signal oil chamber (2). The pump actuator will receive a signal in order to control the output
from the pump. Refer to this Systems Operation, "Signal Network Resolver" for more information.
The oil pressure in the chamber for signal oil (2) and the pressure of the compensator spring (3)
balances oil pressure in passage (13).

When the oil enters passage (12) the oil on the right side of the passage is blocked by spool (17). On
the left side of passage (12), the oil flows around spool (17) into passage (19). The oil moves from
passage (19) past the makeup and relief valve (20) into passage (21). Refer to this Systems Operation,
"Makeup and Relief Valve" for more information. The oil in passage (21) then flows through port (1)
to the head end of the cylinder. This will extend the cylinder. This will return the boom to the
LOWER position.

Return oil flows from the rod end of the cylinder through port (5) into passage (6). The oil flows from
passage (6) past the makeup and relief valve (7) into check valve (10). When the oil pressure
overcomes the force of spring (9) and the pressure in spring chamber (24), the check valve (10)
moves to the right. Refer to this Systems Operation, "Load Check Valve" for more information. Oil
flows through the check valve (10) into passage (11). The oil flows around spool (17) into passage
(14) back to the tank.

Copyright 1993 - 2019 Caterpillar Inc. Fri Dec 13 21:17:11 UTC+0800 2019
All Rights Reserved.
Private Network For SIS Licensees.

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Shutdown SIS

Previous Screen

Product: BACKHOE LOADER

Model: 416E BACKHOE LOADER CBD
Configuration: 416E Backhoe Loader Single Tilt Center Pivot CBD00001-UP (MACHINE) POWERED BY 3054C Engine

Systems Operation
416E, 422E and 428E Backhoe Loaders Hydraulic and Steering System
Media Number -RENR6479-06 Publication Date -01/09/2014 Date Updated -12/09/2016

i03185701

Control Valve (Auxiliary)

SMCS - 5051-AX

HOLD Position

Illustration 1 g01279153
HOLD position for the auxiliary valve
(1) Spring
(2) Spool
(3) Pump passage
(4) Chamber

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The auxiliary control valve is located between the mid-inlet manifold and the boom control valve. In
the HOLD position, spring (1) keeps spool (2) in the centered position. Oil from the pump flows from
passage (3) into chamber (4). In the HOLD position, spool (2) blocks the flow of oil.

Top Supply Port A

Illustration 2 g01279152
Flow to the top supply port A for the auxiliary valve
(1) Bottom supply port B
(2) Chamber for signal oil
(3) Compensator spool
(4) Chamber
(5) Top supply port A
(6) Passage
(7) Makeup and relief valve
(8) Signal oil passage
(9) Passage
(10) Passage
(11) Passage
(12) Passage
(13) Pump passage
(14) Chamber
(15) Spool
(16) Spring
(17) Passage

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(18) Makeup and relief valve

(19) Passage
(20) Resolver network

When you move the spool (15) to the left, the spring (16) is compressed toward the left. Oil from the
pump flows from passage (13) into chamber (14). The oil flows around spool (15) into passage (11).
As the oil flows into passage (11), the oil acts against the compensator spool (3). As the oil pressure
increases, the spring of compensator (3) compresses and the compensator spool (3) moves up.

The oil flows around the compensator spool (3) into passage (10). Oil from passage (10) then enters
the signal oil passage (8). The signal oil goes from the signal oil passage (8) into the resolver network
(20). If this circuit is the only active circuit, or if this circuit has a work port pressure that is higher
than the other circuits that are active, the oil pressure from this circuit will flow to the chamber for
signal oil (2). The pump actuator will receive a signal in order to control the output from the pump.
Refer to this Systems Operation, "Signal Network Resolver" for more information. The oil pressure
in the chamber for signal oil (2) and the pressure of the compensator spring (3) balances oil pressure
in passage (11).

When the oil enters passage (10), oil on the left side of passage is blocked by spool (15). On the right
side of passage (10), the oil flows around spool (15) into passage (9). The oil goes from passage (9)
past the makeup and relief valve (7) and into passage (6). Refer to this Systems Operation, "Makeup
and Relief Valve" for more information. The oil then flows through top supply port A (5).

Return oil flows from the bottom supply port B (1) into passage (19). The oil moves from passage
(19) past the makeup and relief valve (18) into passage (17). The oil flows around spool (15) into
passage (12) back to the tank.

Bottom Supply Port B

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Illustration 3 g01279189
Flow to the bottom supply port B for the auxiliary valve
(1) Bottom supply port B
(2) Chamber for signal oil
(3) Compensator spool
(4) Chamber
(5) Top supply port A
(6) Passage
(7) Makeup and relief valve
(8) Signal oil passage
(9) Passage
(10) Passage
(11) Passage
(12) Passage
(13) Pump passage
(14) Chamber
(15) Spool
(16) Spring
(17) Passage
(18) Makeup and relief valve
(19) Passage
(20) Resolver network

When you move the spool (15) to the right, the spring (16) is compressed toward the right. The pump
sends oil into passage (13). The oil travels from passage (13) to chamber (14). The oil flows around
spool (15) into passage (11). When the oil flows into passage (11) the oil acts against compensator

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spool (3). As the oil pressure increases, the spring of the compensator spool (3) compress and the
compensator spool (3) moves up.

The oil flows around the compensator spool (3) into passage (10). Some of the oil that flows into
passage (10) enters the signal oil passage (8). The signal oil goes from the signal oil passage (8) into
the resolver network (20). If this circuit is the only active circuit, or if this circuit has a work port
pressure that is higher than the other circuits that are active, the oil pressure from this circuit will flow
to the chamber for signal oil (2). The pump actuator will receive a signal in order to control the output
from the pump. Refer to this Systems Operation, "Signal Network Resolver" for more information.
The oil pressure in the chamber for signal oil (2) and the pressure of the compensator spring (3)
balances oil pressure in passage (11).

When the oil enters passage (10) the oil on the right side of the passage is blocked by spool (15). On
the left side of passage (10), the oil flows around spool (15) into passage (17). The oil moves from
passage (17) past the makeup and relief valve (18) into passage (19). Refer to this Systems Operation,
"Makeup and Relief Valve" for more information. The oil in passage (19) then flows through supply
port B (1).

Return oil flows from supply port A (5) into passage (6). The oil flows from passage (6) past the
makeup and relief valve (7) to passage (9). The oil flows around spool (15) into passage (12) back to
the tank.

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Product: BACKHOE LOADER

Model: 416E BACKHOE LOADER CBD
Configuration: 416E Backhoe Loader Single Tilt Center Pivot CBD00001-UP (MACHINE) POWERED BY 3054C Engine

Systems Operation
416E, 422E and 428E Backhoe Loaders Hydraulic and Steering System
Media Number -RENR6479-06 Publication Date -01/09/2014 Date Updated -12/09/2016

i03180521

Control Valve (Stabilizer)

SMCS - 5481

Illustration 1 g01282049

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This schematic shows the components for the mechanically controlled machines.
(1) Right stabilizer cylinder
(2) Right relief valve
(3) Left stabilizer cylinder
(4) Left relief valve
(5) Load control valve for the head end of the left cylinder
(5A) Load control valve for the rod end of the left cylinder
(6) Left stabilizer valve
(7) Middle inlet manifold
(8) Supply line
(9) Tank lines
(12) Pressure reducing valve
(13) Lines for the signal resolver network
(15) Right stabilizer valve
(16) Bank valve for stabilizer control
(17) Load control valve for the head end of the right cylinder
(17A) Load control valve for the rod end of the right cylinder
(18) Right stabilizer control lever
(19) Left stabilizer control lever

Illustration 2 g01279539
The stabilizer control valve is located on the bank valve for the backhoe.

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Illustration 3 g01279494
(18) Right stabilizer control lever
(19) Left stabilizer control lever
(A) DOWN
(B) HOLD
(C) UP

Face the front of the machine as you sit in the seat in order to determine the left and the right controls
for the operation of the stabilizer control valves.

The stabilizer control levers are located to the left of the operator seat. The right stabilizer control
valve and the left stabilizer control valves are identical. The operation of the valves are identical.

The stabilizer levers (17) and (18) are mechanically connected to the stabilizer valves (6) and (15).
The control levers are connected to actuators on the stabilizer valve by cables. Therefore, when the
operator moves one of the levers the valve spool moves causing hydraulic oil to flow through the
valve and to the stabilizer cylinder.

Hold Position
Oil from the pump flows through line (8) to the stabilizer control valves (6) and (15). Also, oil from
the pump flows to the pressure reducing valve (12). In the Hold position (B), all of the pump oil is
blocked at the stabilizer valves (6) and (15). The stabilizer valves have internal load control valves
(5), (5A), (17), and (17A) that prevent any movement of the stabilizers.

Down Position

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Move the right stabilizer control lever (18) forward to the DOWN position (A). Oil from the pump is
allowed to flow through the stabilizer control valve (15), through the load control valve (17), and to
the head end of the stabilizer cylinder (1). Pilot oil is sent to the load control valve (17A) in order to
unseat the valve. Oil from the rod end of the cylinder (1) passes through the load control valve (17A).
Then, the oil flows through the stabilizer control valve (15) on the return side. The oil flows through
the middle inlet manifold (7) and flows back to the tank through line (9). If the pressure on the rod
side of the cylinder becomes high, the relief valve (2) will open. The relief valve will send excess oil
to the tank.

Note: The left stabilizer operation is identical to the right stabilizer operation.

Up Position
Move the right stabilizer lever (18) rearward to the UP position (C). Oil from the pump is allowed to
flow through the stabilizer control valve (15), through the load control valve (17A), and to the rod
end of the stabilizer cylinder (1). Pilot oil is sent to the load control valve (17) in order to unseat the
valve. Oil from the head end of the cylinder (1) passes through the load control valve (17). Then, the
oil flows through the stabilizer control valve (15) on the return side. The oil flows through the middle
inlet manifold (7) and flows back to the tank through line (9). If the pressure on the rod side of the
cylinder becomes high, the relief valve (2) will open. The relief valve will send excess oil to the tank.

Note: The left stabilizer operation is identical to the right stabilizer operation.

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Product: BACKHOE LOADER

Model: 416E BACKHOE LOADER CBD
Configuration: 416E Backhoe Loader Single Tilt Center Pivot CBD00001-UP (MACHINE) POWERED BY 3054C Engine

Systems Operation
416E, 422E and 428E Backhoe Loaders Hydraulic and Steering System
Media Number -RENR6479-06 Publication Date -01/09/2014 Date Updated -12/09/2016

i03182345

Ride Control System

SMCS - 5050-R6; 5077-R6; 5077

Illustration 1 g01282261
(1) Accumulator
(2) Orifice
(3) Solenoid valve
(4) Check valve
(5) Lift cylinders
(6) Oil lines from the control valve

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(7) Check valve

(8) Pressure switch for the ride control
(9) Solenoid valve
(11) Ride control switch
(12) Ride control relay
(13) Ride control solenoid valve and mounting group

Travel at high speeds over rough terrain causes bucket movement. The system for ride control acts as
a shock absorber by absorbing forces from the bucket. Absorbing the forces from the bucket
stabilizes the entire machine.

Note: In some countries that require lock valves for agricultural and material handling applications,
the ride control must be turned to the OFF position. The ride control must be turned to the OFF
position in order for the lock valves to function properly. Lock valves and ride control cannot
function at the same time.

Illustration 2 g01212860
(1) Accumulator
(5) Lift cylinder
(8) Pressure switch for the ride control
(13) Ride control solenoid valve and mounting group

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Illustration 3 g01230057
(11) Ride control switch

The ride control switch (11) controls the solenoid in solenoid valve (3) and solenoid valve (9). The
ride control switch will have two positions. The two positions are ON and OFF.

Turn ride control switch (11) to the OFF position. The functions of the machine are identical to a
machine without ride control. When the ride control is turned off, solenoid valve (3) and solenoid
valve (9) de-energize. The check valve (7) blocks the flow of oil from the rod ends of the lift
cylinders to the tank. The check valve (4) blocks the flow of oil from the accumulator (1) to the head
end of the lift cylinders (5). This also forces oil to flow through orifice (2). Orifice (2) is in the
passage from the head end of lift cylinders (5) to the ride control accumulator (1). The orifice (2) in
the line to the accumulator prevents the rapid loss of oil which is stored in accumulator (1) when the
loader arms are lowered. Orifice (2) also allows the accumulator to be charged without affecting
machine performance when the loader arms are lifted.

Turn ride control switch (11) to the ON position. The lift cylinders are allowed to move up and down
when the ride control system is in the ON position. When the ride control is activated, solenoid valve
(3) and solenoid valve (9) shift. Any downward force that is placed on the lift arms is transferred to
the hydraulic fluid at the head end of lift cylinders (5). As the lift cylinders retract, oil is displaced
from the head end of the cylinders and flows through solenoid valve (3) and into accumulator (1). Oil
is then drawn from the tank into the rod ends of the cylinders. Accumulator (1) acts as a shock
absorber when the cylinders retract. This provides a smoother ride. As lift cylinders (5) extend, oil is
displaced from the rod ends of the cylinders that are opened to the tank. The oil which is stored in the
accumulator flows into the head ends of the cylinders.

Because the hydraulic oil cannot be compressed, the forces are passed through the hydraulic lines to
accumulator (1). The accumulator piston separates the hydraulic oil from the nitrogen gas. Nitrogen

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gas compresses. The nitrogen gas resembles a spring. The force in the fluid is transmitted to the
piston and the force is then transmitted to the nitrogen gas. As the nitrogen gas compresses, the
nitrogen gas allows the volume of fluid that is displaced from the lift cylinders to minimize the shock
to the machine components.

Pressure switch (8) senses the pressure in the line to the rod end of the loader lift cylinder. When the
pressure in the rod end of the loader lift cylinder is less than the actuation pressure of pressure switch
(8), the switch closes. Pressure switch (8) overrides the switch for ride control (11). The pressure
switch will not allow the ride control to come on, if down pressure of the loader is sensed. This
prevents the machine from dropping, when the machine is up on the front bucket, and when ride
control switch (11) is turned on.

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Product: BACKHOE LOADER

Model: 416E BACKHOE LOADER CBD
Configuration: 416E Backhoe Loader Single Tilt Center Pivot CBD00001-UP (MACHINE) POWERED BY 3054C Engine

Systems Operation
416E, 422E and 428E Backhoe Loaders Hydraulic and Steering System
Media Number -RENR6479-06 Publication Date -01/09/2014 Date Updated -12/09/2016

i02560451

General Information (Steering)

SMCS - 4300

Illustration 1 g01281890
(1) Load signal
(2) Inlet manifold
(3) Pump pressure oil
(4) Oil drain
(5) Tank line
(6) Inlet check valve
(7) Check valve
(8) Steering metering pump
(9) Pump pressure oil
(10) Hydraulic pump

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(11) Hydraulic tank

(12) Front steering cylinder

The steering system is a closed center system. The steering system is part of the load sensing,
pressure compensated hydraulic system.

The components that follow are components for the two-wheel steering system. Inlet manifold (2),
steering metering pump (8), hydraulic pump (10), Hydraulic tank (11) and front steering cylinder
(12). Hydraulic pump (10) and tank (11) are common to both the steering and implement systems.

The following components are involved in the operation of the steering system and the implement
system.

• Load signal oil (1) that flows from the backhoe control valve

• Pump pressure oil (3) that flows from the backhoe control valve

• Oil drain (4) to the tank

• Tank line (5)

• Pump pressure oil (9) that flows to the backhoe control valve

Hydraulic tank (11) provides oil for both the steering and implement hydraulic systems. If you
operate the machine, oil flows from the hydraulic tank to the hydraulic pump. The oil then flows into
the backhoe control valve. The oil flows from the backhoe control valve to Inlet manifold (2). The
priority valve is located in the inlet manifold. The priority valve sends pump oil to the steering system
and the priority valve directs excess oil to the loader control valve.

The bank valves for the loader are located under the cab floor on the right frame rail.

The steering metering pump (8) is located behind a panel in the operator station. The metering pump
is connected to the steering column. Oil flows from the inlet manifold (2) into the metering pump
through an inlet check valve (6). The steering metering pump (8) has a signal relief valve. The signal
relief valve limits the pressure to the steering metering pump (8).

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Illustration 2 g01281884

When the steering wheel is not turning, oil constantly flows from the inlet manifold (2) to the
metering pump through a dynamic orifice for load sense in the inlet manifold (2). This oil flow
maintains a minimum pressure level in the metering pump. This improves the response of the steering
system. When the wheel is turned, the oil flows through the steering metering pump to the steering
cylinder.

In the control section of the metering pump, there is another check valve. The check valve (7) is
between the pump supply and the ports for the return oil.

The two check valves allow steering capability when the engine is not running. The check valve (7)
allows oil to flow from the hydraulic tank. This oil flows to the inlet for the metering pump. The oil
flows in order to recirculate between the metering pump and the steering cylinder.

Front steering cylinder (12) is located on the front axle in front of the rear trunnion mount. The
cylinder has one piston and the cylinder is double ended with two rod ends. When you turn the
steering wheel, the metering pump directs oil to one side of the piston. The pump drains the opposite
side to the tank.

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Product: BACKHOE LOADER

Model: 416E BACKHOE LOADER CBD
Configuration: 416E Backhoe Loader Single Tilt Center Pivot CBD00001-UP (MACHINE) POWERED BY 3054C Engine

Systems Operation
416E, 422E and 428E Backhoe Loaders Hydraulic and Steering System
Media Number -RENR6479-06 Publication Date -01/09/2014 Date Updated -12/09/2016

i03461360

Metering Pump (Steering)

SMCS - 4312

Illustration 1 g01279669

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Typical example of the metering pump for the steering

(A) Control section
(B) Pump section
(1) Outlet to tank
(2) Metering pump inlet check valve
(3) Inlet from pump
(4) Crossover relief valve
(5) Drive
(6) Stator
(7) Rotor

The metering pump (steering) has two main sections, control section (A) and pump section (B).
These two sections work together in order to send oil to the steering cylinder. The metering pump is
located in the front of the cab behind a panel near the steering column.

Crossover relief valves (4) protect the steering cylinders from high pressures.

Both the direction of a turn and the speed of a turn are controlled by the metering pump. As the
steering wheel is turned faster, there is an increase in the flow of oil to the steering cylinder. The
increased flow of oil causes the steering cylinder to move faster. This causes the machine to turn
faster.

When the steering wheel is not being turned, control section (A) is in the NEUTRAL position. The
metering pump is a closed center valve so there is no flow to the steering cylinder in this position. In
the NEUTRAL position, the oil that flows into the control section is blocked in passage (3).

The pump has a port for the load sensing signal. The line from this port is connected to the priority
valve. Refer to Systems Operation, "Priority Valve" for the operation of the priority valve.

When the steering wheel is turned for a right turn, pump oil opens a check valve and flows into the
metering pump through inlet (3). The oil flows into the gerotor pump (B). As the steering wheel
turns, gerotor pump (B) turns. The oil is then directed to the steering cylinders through the right turn
port.

As the oil flows out to the cylinder through the right port for a right turn, return oil from the cylinder
is coming back into the metering pump through the left port. This oil is sent to the tank through outlet
(1).

When the steering wheel starts to turn, shaft spool (13) and drive (5) also start to turn. Sleeve (8) does
not start to turn at the same time.

This allows shaft spool (13) to turn inside sleeve (8). As the shaft turns, the small holes align with the
grooves. The alignment of these holes and grooves provides the path for oil flow to gerotor (B) and to
the steering cylinder. Centering springs are compressed, when the spool moves in relation to the
sleeve.

When the steering wheel is not turning, centering springs move the spool and centering springs move
the sleeve to a NEUTRAL position. When the rotation of the steering wheel is stopped, the wheels
stay in that position.

The steering wheel must be turned in the opposite direction in order to make a left turn. The steering
wheel must be turned in the opposite direction for travel that is straight.

When the steering wheel is turned for a left turn, oil flows into inlet (3). Oil flows to the gerotor
pump (B). Oil flows from gerotor (B) through the sleeve. Oil flows through the combination of the
shaft and spool.

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The sleeve and the shaft spool is turned in the opposite direction of the right hand turn. The
movement in the opposite direction allows a different set of holes to line up. The movement in the
opposite direction provides a path for oil to the left turn port. Oil flows from the left turn port to the
steering cylinder.

Illustration 2 g01279709

The metering pump (C) also contains a load sensing relief valve (9). When the load signal reaches a
specific pressure, the load signal allows oil to flow back to the tank. Then, the load signal limits the
maximum pressure to the metering pump.

If there is a hydraulic pump failure, the metering pump can be manually operated. The metering
pump can be manually operated, if the engine stops, and if the engine can not be started again. A
makeup valve is mounted between the ports. The makeup valve and the check valve allow steering
with a dead engine. The makeup valve opens in order to allow return oil to flow between the metering
pump and steering cylinder. The check valve prevents this oil from returning to the pump.

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Product: BACKHOE LOADER

Model: 416E BACKHOE LOADER CBD
Configuration: 416E Backhoe Loader Single Tilt Center Pivot CBD00001-UP (MACHINE) POWERED BY 3054C Engine

Systems Operation
Machine Security System
Media Number -RENR2462-18 Publication Date -01/03/2014 Date Updated -03/04/2014

i04008433

General Information
SMCS - 7631

The Cat® machine security system (MSS) discourages unwanted operation of a machine. The MSS
uses the new Cat® electronic key. The Cat® electronic key contains an electronic chip. The
electronic chip has a unique identification number (ID). An exciter coil is mounted around the key
start switch. The exciter coil reads the ID of the key.

The electronic control module (ECM) of the MSS is set up with the ID of the keys of the intended
users. When the MSS is armed, the ECM validates the ID of the key in the keyswitch. If that ID is in
the list of authorized keys in the ECM and the key is valid, the machine will operate normally. If that
ID is not in the list of authorized keys or the key is not valid, the MSS will keep the machine
functions disabled.

Components

The MSS consists of the following components:

• ECM

• Cat® electronic key

• Exciter coil

• Status indicator

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Illustration 1 g02181780

Machine security system (MSS)

The ECM for the machine security system is a hardened computer that is designed specifically for the
MSS.

The Cat® electronic key for the MSS contains an electronic chip that is embedded in the head of the
key. This chip in the head of the key contains a unique identification number. The Cat® electronic
key uses the same key cut as the standard Cat® key. The electronic key can be used to operate any
machine that uses the current Cat® keyswitch. The Cat® electronic key comes in a gray color or a
yellow color. Cat® electronic keys are not configurable.

The exciter coil of the MSS is a ring shaped device. The exciter coil is mounted around the existing
Cat® keyswitch. The exciter coil is used to read the ID that is contained in the Cat® electronic key.

Note: Ensure that you have only one electronic key near the exciter coil when the MSS reads
the key. If more than one electronic key is near the exciter coil, the MSS ECM will not read the
key and the machine will not start.

The status indicator for the MSS is mounted in the dash of the machine near the keyswitch. The status
indicator will give basic information about the MSS to the operator of the machine. The status
indicator has two colors: red and green.

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Product: BACKHOE LOADER

Model: 416E BACKHOE LOADER CBD
Configuration: 416E Backhoe Loader Single Tilt Center Pivot CBD00001-UP (MACHINE) POWERED BY 3054C Engine

Systems Operation
Machine Security System
Media Number -RENR2462-18 Publication Date -01/03/2014 Date Updated -03/04/2014

i04008039

System Overview
SMCS - 7631

The machine security system (MSS) is designed to restrict operation of a machine. A list of the
authorized electronic keys for a machine is contained in the electronic control module (ECM) for
the MSS. Only a Cat® electronic key that is authorized can disarm the MSS. Disarming is
accomplished by assigning the ID of an electronic key to the ECM for the MSS. The Cat®
Electronic Technician (Cat® ET) service tool must be used to program the ECM with the
authorized keys.

When the exciter coil is used with MSS, the electronic key is placed in the keyswitch of the
machine and turned to the ON position. The ECM will read the unique ID that is stored in the key.
The ECM will then compare this ID to the list of authorized keys.

If the ID of the key that is read matches an authorized key, the following actions will occur:

• The status indicator will turn a green color.

• The MSS will disarm allowing the machine to operate.

If the ID of the key that is read does not match the list in the ECM, the following actions will
occur:

• The status indicator will become a red color.

• The MSS remains in the armed state.

• The machine will remain disabled.

Note: Ensure that you have only one electronic key near the exciter coil when the MSS reads
the key. If more than one electronic key is near the exciter coil, the MSS ECM will not read
the key and the machine will not start.

The machine security system can be installed in a combination of ways:

1. Electronic Control

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The MSS disables the machine by controlling up to two devices (relays) that are used to
power a critical machine system.

2. Immobilizer

The MSS disables the machine by communicating with other electronic control modules
across the Cat® Data- Link (CDL) and disabling critical machine functions.

To change the list of authorized keys or configuration parameters, the user must have one of the
following items:

• Cat® Electronic Technician (Cat® ET) service tool and a key with master access level for
that specific machine security system

• Cat® ET and a factory password

When a key with the master access level is not available, a factory password is required to change
certain parameters in the configuration.

Refer to Testing and Adjusting, "Factory Password - Obtain" for additional information on factory
passwords.

The Cat® ET screen for the factory level security password will display the following parameters:

• ECM serial number

• Product ID (Serial number of the machine)

• Serial number of the service tool

• Reason code

• Total tattletale number

To obtain the proper passwords, the information must be given to an authorized Cat® dealer.

If a key with the master access level for the machine is not available, a factory password must be
entered before changes can be made. The following information is needed before you call for a
factory password:

Table 1
Information That is Needed for the Factory Password
Product Identification
Software Part Number from MSS ECM
Serial Number from ET
Tattletale
99
Reason Code or
4

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Note: The password may only be used for one programming session. A different password
will be required after you exit the Cat® ET screen.

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Previous Screen

Product: BACKHOE LOADER

Model: 416E BACKHOE LOADER CBD
Configuration: 416E Backhoe Loader Single Tilt Center Pivot CBD00001-UP (MACHINE) POWERED BY 3054C Engine

Systems Operation
Machine Security System
Media Number -RENR2462-18 Publication Date -01/03/2014 Date Updated -03/04/2014

i02173281

Normal Operation
SMCS - 7631

Reading the ID of a Key

Before you can operate the machine, the MSS must identify a valid electronic key ID. This is done
via the exciter coil.

Exciter Coil

When the key is turned to the ON position, the MSS enters the read mode. The MSS then checks
for a valid electronic key ID. If the electronic key ID matches an electronic key ID that is stored in
the MSS ECM, then the MSS ECM will supply power to the output drivers of the MSS ECM. An
"enable" message is also sent via the CAT data link to the other electronic control modules that are
on the machine. The machine will operate normally.

Note: Ensure that you have only one electronic key near the exciter coil when the MSS reads
the key. If there is more than one electronic key near the exciter coil, the MSS ECM will not
be able to read the key and the machine will not start.

Note: On machines that are equipped with electronic control modules that are MSS aware and the
MSS ECM is activated for the first time, the MSS will enter the Advanced Mode. In the event that
the MSS ECM has failed or the MSS ECM has been removed, the other critical machine
operations that are controlled by the other electronic control modules will not operate.

Timeouts
After a machine has been started successfully, the operator will have 30 seconds after the machine
is turned off before the MSS is automatically armed. The operator is not required to manually arm
the system.

If the MSS is unable to read an electronic key ID, the system will remain armed.

When the MSS identifies a key with an invalid electronic key ID, the system will remain armed.

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Armed
When the MSS is armed, the two output drivers are open. This disables the power that is supplied
to each component that is powered by the output drivers. The machine will not be able to operate
normally. When the system has been armed, the red LED of the status indicator will illuminate.

There are two states of operation within the "armed" mode.

1. "MSS Armed"

When no power is applied to the MSS, the MSS will default to "armed" state. When power
is applied to the MSS, and all timeouts have expired, the MSS will return to the "MSS
Armed".

2. "MSS Read"

Exciter Coil

When the keyswitch is first moved to the ON position, the MSS tries to read the electronic
key ID. The ECM will continue reading attempts until an ID is read or the read timeout
expires. If an ID is read, the MSS changes to the "MSS read" state. If the read timeout
expires, the MSS will turn the red LED of the status indicator on and the MSS will remain
armed.

Note: Ensure that you have only one electronic key near the exciter coil when the MSS
reads the key. If there is more than one electronic key near the exciter coil, the MSS
ECM will not be able to read the key and the machine will not start.

Disarm
When the MSS is disarmed, the machine can be operated. The MSS has enabled the starter and
main circuits on the machine. A message is sent to the other machine ECM(s) over the Cat data
link. The machine will be able to start. The green LED of the status indicator will illuminate.

There are two ways to disarm the machine:

• Use a valid electronic key for this machine.

• Use a Cat Service Tool (Electronic Technician) with a "Master Access Level" key or a
factory password to modify the configuration of the system.

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Systems Operation
Machine Security System
Media Number -RENR2462-18 Publication Date -01/03/2014 Date Updated -03/04/2014

i01928230

Operation of Status Indicator

SMCS - 7631

The Machine Security System uses a status indicator that is mounted in the cab near the key start
switch. The status indicator provides a visible alert of the presence of the security system. When
the MSS is armed and the key start switch is first turned to ON or START positions, the status
indicator will momentarily display a red light. This provides a warning that the machine is armed
with a security system.

Status Indicator

Illustration 1 g01002949

Typical installation of the Status Indicator

(1) Status Indicator

(2) Keyswitch with Exciter Coil

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The state of the MSS is displayed by the status indicator in accordance with Table 1. The operator
can use the status indicator to determine the status of the system or for troubleshooting.

Table 1
Status Indicator Description
Continuously Red The MSS is armed. (1)
The MSS is disarmed.
The green LED will remain ON 30 seconds after powerdown. After
Continuously Green
the 30 seconds have passed the MSS automatically returns to the
"armed" mode.
The red LED and the green LED of the status indicator are
Continuously Orange (2) tested momentarily by the MSS ECM at powerup. The status
indicator will remain on if No "application" software is
detected in the electronic control module (ECM).
The green LED and the
The MSS is disarmed.
red LED alternately blink
This indicates that the voltage of backup battery in the MSS is low.
for ten minutes.
The MSS is permanently disarmed.

(1)
The red LED will remain ON while the key is in the ON position or until a valid key is read. The red LED will
turn OFF approximately 3 seconds after the key is turned to the OFF position.
(2)
The red LED and the green LED are continuously ON.

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Systems Operation
Machine Security System
Media Number -RENR2462-18 Publication Date -01/03/2014 Date Updated -03/04/2014

i04008149

Key Information
SMCS - 7631

You may configure the machine security system to recognize 255 authorized keys. This list
contains those keys that will disarm the machine security system. The user adds keys to this list.

The ECM can store five configuration parameters that identify each electronic key. These
parameters are listed below:

• Description

• Access level

• Expiration date

• ID1

• ID2

The parameters are not stored in the electronic key. A complete list of the configuration
parameters that are available in the Cat® Electronic Technician (Cat® ET) are listed below:

1. Add an electronic key.

2. Change the following information that is related to the electronic key.

a. Access level

b. Expiration date

c. Description

3. Delete an electronic key.

4. Security bypass times

5. Set the internal clock.

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6. Fleet configuration

Note: Refer to the Testing and Adjusting, "Key - Program" section for additional information on
items 6 2.a 2.b 2.c 3 and 5. Refer to the Systems Operation, "System Disarm Feature" section for
additional information on item 4.

Note: A single electronic key can be used on as many machines with an MSS as desired. A
separate key for every machine is not necessary. Key strategies will vary depending on machine
fleet usage. The following parameters can be different on each machine: Description, Access
Level and Expiration Date. The ID will be the same on all the machines.

Note: The features of the MSS are supported in version 2004A SP1 or later of the Cat® ET
service tool.

Table 1
Description Access Level Expiration Date ID1 ID2
Operator 2 Standard Disabled 58396874 52398427
Operator 1 Standard Disabled 86935748 87458963
Key 2 Standard 10/24/2000 12:00am 36454896 65842781
Key 1 Standard 6/15/2000 6:00pm 23548719 65842781
John Master Disabled 0 59377777
Foreman Master Disabled 23548719 36525897

ID1 & ID2 (ID &ID2)

The ID that is stored in the electronic key is a 16-digit number. The number is displayed as two 8-
digit numbers in the Cat® ET service tool. These fields are known as ID1 and ID2. When the
numbers are combined, the complete ID number is formed. The MSS ECM uses this ID to
associate a key to the set of parameters in the list of keys.

In Table 1, the fourth entry and the sixth entry have the same ID1. These keys are still unique
since ID2 is different. Entries in the list may have the same information for the following items:
Description, Access Level and Expiration Date. You may choose a description of 11 characters or
less for each key in the list of keys. There can be multiple entries in the list with the same
description. Create a description so that the key describes either the owner of the key or the
function of the user.

Note: Do not to make duplicate descriptions for the electronic keys.

Access Level
You may assign one of two access levels to a key in the list of keys. The levels are either
"Standard" or "Master". Both access levels allow the key to disarm the system for operation. The
master access level also gives the user the ability to modify the settings of the machine security
system with the Cat® ET service tool.

The standard access level is for normal operation of the machine. The master access level should
be restricted to those persons that need to modify the settings of the machine security system.

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Expiration Date
An expiration date may be assigned to any key in the list of keys. This expiration date is defined in
6 hour intervals on a given date. The third entry and the fourth entry in Table 1 contain an
expiration date. For all of the other keys in Table 1, the column with the expiration date is filled
with "Disabled". "Disabled" indicates that those entries do not have an expiration date. The
machine security system has an internal clock. Once the internal clock has passed the expiration
date for a key, that key will no longer disarm the system. However, the entry will not be deleted
from the list of keys. A new expiration date can be set, or the feature can be disabled. A possible
use for the expiration date is used with a rental contract.

Note: If the expiration time is reached while the machine is in operation, the machine will
continue to run. When the machine is shut down and the 30 second timer has timed out, the
machine will not be allowed to restart.

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Systems Operation
Machine Security System
Media Number -RENR2462-18 Publication Date -01/03/2014 Date Updated -03/04/2014

i02163445

Scheduled Access - "Security System Bypass Times"

SMCS - 7631

The Machine Security System can be programmed to disarm for a period of time. The MSS can be
set to disarm for different time periods on each day. Within these periods of time, any Caterpillar
key (a standard key or an electronic key) will operate the machine.

Note: It is not possible to configure the "bypass times" for an individual electronic key. The
"bypass times" are not associated to an individual electronic key.

"Security System Bypass Times" are time periods that can be set to automatically disarm the
Machine Security System. An electronic key is not required during these periods. This feature can
be used for the normal work shift of the machine. Outside the normal work shift, the Machine
Security System would be armed. When the MSS is armed an electronic key is required to start the
machine. This feature would minimize the number of electronic keys that are needed.

Table 1
"Sunday Security System Bypass Start Time" 00:00
"Sunday Security System Bypass Stop Time" 00:00
"Monday Security System Bypass Start Time" 6:00
"Monday Security System Bypass Stop Time" 18:00
"Tuesday Security System Bypass Start Time" 6:00
"Tuesday Security System Bypass Stop Time" 18:00
"Wednesday Security System Bypass Start Time" 6:00
"Wednesday Security System Bypass Stop Time" 18:00
"Thursday Security System Bypass Start Time" 6:00
"Thursday Security System Bypass Stop Time" 18:00
"Friday Security System Bypass Start Time" 6:00

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"Friday Security System Bypass Stop Time" 12:00

"Saturday Security System Bypass Start Time" 12:00
"Saturday Security System Bypass Stop Time" 12:00

Table 1 shows an example of "Security System Bypass". The "Start Time" is the time when the
Machine Security System will disarm. The Machine Security System will return to the "armed"
state at the "Stop Time". Between these two periods of time, any Caterpillar key will operate the
machine. Thus, the MSS is disarmed during this period of time.

All times are based on a 24 hour clock. For example, 6:00 am is 06:00 and 3:00 pm is 15:00. The
Machine Security System will be disarmed during the times that are listed below: Monday through
Thursday from 06:00 to 18:00

On Friday, the MSS is disarmed for only half of the workday. After 12:00 on Friday, the Machine
Security System will be armed automatically. Operation will be restricted to operators with
electronic keys that are authorized in the MSS ECM on that machine. Refer to Table 1.

The Machine Security System is "armed" on the weekend. Because the "Start Time" and the "Stop
Time" are set for the same time, the Machine Security System will be armed throughout the day.

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Systems Operation
Machine Security System
Media Number -RENR2462-18 Publication Date -01/03/2014 Date Updated -03/04/2014

i01756976

Diagnostic Operation
SMCS - 7631

A diagnostic code indicates that the ECM has detected one or more of the following conditions:

• an invalid signal from an input

• an improper feedback from an output

• an internal error

One method of displaying diagnostic information is provided:

• Diagnostic codes with descriptive text can be viewed with the Caterpillar Electronic
Technician (ET).

Display the diagnostic code with the Caterpillar Electronic Technician.

This method of displaying the diagnostic codes uses the service tool to display the codes. The
Component Identifier (CID) identifies the specific component for a specific diagnostic. The
Failure Mode Identifier (FMI) identifies the type of diagnostic that was detected. The diagnostic
codes allow consistent identification of the problem. The service tool is used to display the CID-
FMI with descriptive text for each combination. The descriptive text will help to avoid mistakes in
interpreting the codes.

Active Diagnostics
Active diagnostics indicate the presence of active diagnostic codes in the MSS. A diagnostic code
informs the operator that a problem exists with the MSS.

If the Cat service tool is available, the service tool can be used to display all active diagnostic
codes. The service tool will also display codes that have been logged.

Logged Diagnostics

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A logged diagnostic will record problems that are intermittent in the Machine Security System.
Logged diagnostics eliminate the need to duplicate problems that are intermittent. Logged
diagnostics will increase the accuracy of diagnosis. The time that is required to troubleshoot a
problem is reduced with the use of Diagnostics. Logged diagnostics eliminate the need for trip
recorders that are used to capture intermittent diagnostic information.

The control module's memory is used to store diagnostic information. When a diagnostic is
detected the following information is logged:

• The CID will identify the component that has failed.

• The FMI will describe the problem.

• Number of occurrences of the diagnostic code

• The time of the first occurrence that the diagnostic was detected.

• Last occurrence time, when the diagnostic was last detected (stored with both machine
hours and RTC stamp)

The problems which can be logged are listed in Troubleshooting, "Diagnostic Code Procedures".

The MSS logs the number of times that the machine is started with the methods that are listed
below:

• Starting using an unauthorized method

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Systems Operation
Machine Security System
Media Number -RENR2462-18 Publication Date -01/03/2014 Date Updated -03/04/2014

i02163699

Events
SMCS - 7631

An event indicates that the MSS is not operating correctly. An event does not indicate that there is a
failure with the system.

The MSS records data for the events that are listed in Table 1.

Table 1
Events that are logged by the Machine Security System
Event Identifier Description

E273 "Machine operation attempted using an invalid key"

E274 "Security override used"
E252 "Loss of Key Table Information"

Logged Events

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Illustration 1 g01097063

"Logged Event Codes" screen from the Caterpillar Electronic Technician for the Machine Security System

Logged events provide a secure list of events that are critical to the security of the machine. The
ECM for the MSS is used to store information about events. When an event is detected, the following
information is logged:

• EID for the event

• Number of occurrences

• Time of the first occurrence of the event

• Time of the last occurrence of the event

Note: The ECM will record a maximum of 127 occurrences of the events. The newest event replaces
the oldest event after 127 events have been stored in the memory of the ECM.

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Systems Operation
Machine Security System
Media Number -RENR2462-18 Publication Date -01/03/2014 Date Updated -03/04/2014

i01757006

Protected Functions
SMCS - 7631

There are two levels of protection:

• An electronic key with standard access level and a non-electronic key

• An electronic key with master access level (factory password)

The requirements for each level are explained below:

An Electronic Key with Standard Access Level and a Non-electronic Key

• The table of the MSS keys can be viewed but the table can not be modified.

• The configuration settings of the MSS can be viewed but the settings can not be modified.

Electronic Key with Master Access Level

A factory password or a master access level is needed to modify any settings through the service
tool.

• The settings for the MSS can be modified.

• The list of valid key IDs can be modified.

• The logged events can be cleared.

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Systems Operation
Machine Security System
Media Number -RENR2462-18 Publication Date -01/03/2014 Date Updated -03/04/2014

i01377769

Service Operation Using Machine Security System

SMCS - 7631

The onboard interface has several purposes. The interface can provide the following information
to the operator: diagnostic feedback and event feedback. The system can also be programmed
through the onboard interface.

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Systems Operation
Machine Security System
Media Number -RENR2462-18 Publication Date -01/03/2014 Date Updated -03/04/2014

i01377916

Service Operation Using Service Tool

SMCS - 0785-UE; 7631

The service tool is used to communicate with the ECM for the following information:

• display and control of code

• programming

• management

• diagnostics

• events

To properly protect the machine, the service tool requires a factory password or a key with the
master access level before any modifications can be made to the MSS.

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Systems Operation
Machine Security System
Media Number -RENR2462-18 Publication Date -01/03/2014 Date Updated -03/04/2014

i02170060

Electronic Control Module (ECM)

SMCS - 7610-MCH

Illustration 1 g00743068

ECM Inputs
Keyswitch

The key start switch is also used as an input signal to the MSS. The input from the key switch is
used to determine when the machine is on. Battery voltage is connected to this input through the
ON and START positions of the keyswitch. When the machine is operating and the alternator is
charging, the voltage on this input will be 14.1 - 15.1 Volts for a 12 Volt system and 27.6 - 29.6
Volts for a 24 Volt system. When the machine is not running, the voltage on this input will be
approximately 12 Volts for a 12 Volt system and approximately 24 Volts for a 24 Volt system.

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Alternator "R Terminal"

The input for the hour meter is connected to the terminal R on the alternator. The signal from the
terminal R is a square wave when the engine is running. The frequency is proportional to engine
RPM. The frequency will be within the range of 0 to 2 kHz. This is pin 26 of the Machine Security
System ECM.

ECM Outputs
Status Indicator
The status indicator displays status of the system. The status indicator has three connections. One
of the three connections is for a ground. Another connection is for the red LED. The third
connection is for the green LED.

Low Voltage Indication of the Electronic Control Module's Internal Backup Battery

The internal backup battery is used to maintain the list of keys and the Bypass schedule when the
machine is turned off. The battery should last 10 years or more. The internal backup battery is
NOT serviceable.

The MSS ECM monitors the battery voltage. The ECM notifies the operator of a low voltage
condition by alternately blinking the red LED and green LED for ten minutes. The MSS is
permanently disarmed when the low voltage condition is detected.

Output Drivers
Two output drivers are available to control relays or solenoids on the machine. Unless a valid "key
ID" has been identified by the system, the drivers will remain without power. The drivers are
rated at 3 amperes.

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Systems Operation
Machine Security System
Media Number -RENR2462-18 Publication Date -01/03/2014 Date Updated -03/04/2014

i04008469

System Components
SMCS - 7631

Cat® Electronic Key

Illustration 1 g00793955

The Cat® electronic key

The Cat® key is the universal key for all Caterpillar machines. The electronic key has an
electronic chip that is embedded inside the head of the key. The electronic keys are gray or
yellow.

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Exciter Coil
The exciter coil provides communication between the electronic key and the control module.

The exciter coil is mounted around the keyswitch. This position allows the exciter coil to
communicate with the electronic key. Any ferrous metal between the coil and the electronic key
will interfere with the communications. Mounting the coil in the same plane as the top of the
keyswitch will minimize the interference.

Note: Ensure that you have only one electronic key near the exciter coil when the machine
security system (MSS) reads the key. If more than one electronic key near the exciter coil,
the MSS ECM will not read the key and the machine will not start.

The exciter coil is connected to the harness via a 2-pin connector and a length of wire.

Status Indicator

Illustration 2 g00862013

The state of the MSS is displayed by the status indicator. The green LED of the status indicator
turns on when the system is disarmed. The machine should start. The red LED of the status
indicator turns on when the system is armed and an invalid electronic key has been read by the
MSS. The machine should not start. Both LEDs will turn on, producing an orange light if the
application software of the MSS has not been programmed into the ECM.

Ferrite Coil

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Illustration 3 g00896395

Ferrite Coil

The ferrite coil is used to suppress radio frequency emissions. The ferrite coil must be mounted
within 400 mm (16 inch) of the ECM. The ferrite coil is used to ensure that the MSS is in
compliance with international regulations.

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Systems Operation
Machine Security System
Media Number -RENR2462-18 Publication Date -01/03/2014 Date Updated -03/04/2014

i02424721

Cat Data Link

SMCS - 7631

The Cat Data Link can connect the ECM for the MSS to the following items:

• Service tools

• Onboard controls

• Monitoring systems

The service tool can send information to the MSS through the Cat Data Link. The MSS can
provide information over the Cat Data Link to the following items: transmission control, engine
control and service tool. The information can be for diagnostics, or the information can be used to
control other systems on the machine.

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Systems Operation
Comfort Series Seat For Caterpillar Machines
Media Number -RENR2165-12 Publication Date -01/10/2013 Date Updated -31/10/2013

i05031812

Serial Number Effectivity

SMCS - 7000

Air Suspensions

Table 1
Backhoe Loaders
Part Number Sales Model Serial Number
273-6372 416E CBD

Table 2
Motor Graders
Part Number Sales Model Serial Number
24H 7KK
24M B9K
12M B9R
B9J
14M
R9J
B9H
200-2176 16M
R9H
B9N
120M
B9W
B9G
140M
B9M
B9L
160M
B9T

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Articulated Trucks
Part Number Sales Model Serial Number
D250E 4PS
D300E 5KS
169-7034
199-5725 D350E 2XW
8PS
D400E
APF

Table 3
Off Highway Trucks
Part Number Sales Model Serial Number
725 AFX
730 AGF
169-7034
199-5725 735 AWR
AXM
740
AZZ
169-8716 768C 02X
199-5727
228-3351 769C 01X
5TR
5SS
769D
BBB
9XS
771C 3BJ
6JR
771D 6YS
BCA
772B 64W
773B 63W
7ER
773D 7CS
9YS
773E BDA
775B 7XJ
6KR
775D
8AS
775E BEC

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776C 2TK
776D AFS
777C 4XJ
3PR
777D AGC
AGY
784B 5RK
784C 2PZ
785 8GB
785B 6HK
5AZ
785C
APX
789B 7EK
789C 2BW
793B 1HL
4AR
ATY
793C
4GZ
CBR
793D FDB
797 5YW
797XQ WSP
797F LAJ

Table 4
Small Wheel Loaders
Part Number Sales Model Serial Number
930K RHN
924H HXC
355-6681 924HZ JZZ
928H CXK
930H DHC

Table 5
Medium Wheel Loaders

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Part Number Sales Model Serial Number

MCC
MJC
938G
JKM
LKM
938K SWL
4BS
2JS
6NS
3JW
8JW
172-9444 5FW
950G
191-2933 5MW
348-2409 AXR
AYB
AXX
BAA
AYL
N1A
M1G
J5J
950H K5K
JAD
MXL
JLX

Table 6
Medium Wheel Loaders
Part Number Sales Model Serial Number
172-9444 R4A
191-2933 950K J5M
348-2409 FER
5AS
3BS
5RS
4PW
6EW
7BW
962G 6HW
AXS
AYE
AXY
BAD
BAB
BDP
962H

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N4A
M3G
J6J
K6K
MAL
SSA
PCW
X4T
962K T6A
FLL

Table 7
Medium Wheel Loaders
Part Number Sales Model Serial Number
3ZS
9RS
AAH
3SW
172-9444
3PW
191-2933 966G
8XW
348-2409
ANT
AWY
ANZ
AXJ
A6D
A6G
966H A6J
RYF
TAL
PBG
966K TFS
NGX

Table 8
Medium Wheel Loaders
Part Number Sales Model Serial Number
172-9444 7LS
191-2933 1EW
348-2409 AAW
4WW
6AW
972G
9GW
ANY
AXC
AWP
AXN

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972H A7D
A7G
A7J
GTA
LCC
Z4W
972K
PEM

Table 9
Medium Wheel Loaders
Part Number Sales Model Serial Number
2KR
9CM
980G 2SR
AWH
AXG
172-9444
191-2933 JMS
348-2409 980H MHG
A8J
W7K
980K GTZ
NEP

Table 10
Integrated Toolcarriers
Part Number Sales Model Serial Number
6PS
IT62G
AKP
172-9444
191-2933 IT62H M5G
IT62H M5G

Table 11
Compactors
Part Number Sales Model Serial Number
172-9444 824G 4SN
161-7539
191-2933 825G 6RN
200-3174 826G 7LN
219-8090
6GZ
834G
BPC
836G

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7MZ
BRL
854G AMP
824G II AWW
825G II AXB
826G II AYH
ASX
824H
ZBD
AZW
825H
ZHC
AWF
826H
ZXT
BTX
834H
XDC
BXD
836H
XTR
2KZ
844
BBN
854K 221

Table 12
Large Wheel Loaders
Part Number Sales Model Serial Number
161-7539 2TW
988G
191-2933 BNH
200-3174
219-8090 BXY
988H
239-4045 A7A
239-4062 4FR
348-2409 990
BCR
990H BWX
7HR
992G
ADZ
992K H4C
880
992X
ZMX
993K Z9K
LWA

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Z4D
Z4Z
994G 8FR
994H DWC
994F 442

Table 13
Wheel Skidders
Part Number Sales Model Serial Number
525C 525
191-4508 535C 535
545C 545

Table 14
Wheel Dozers
Part Number Sales Model Serial Number
A4W
854G
1JW
348-2409
H8M
854K
H9K

Table 15
Track-Type Tractors
Part Number Sales Model Serial Number
161-7539 CFC
D3G
191-2933 CFF
CFN
D4G
FDC
FDH
D5G
FDW
4RC
6FC
3ZF
3YG
D6H
8ZJ
9KJ
5KK
6CK
D6N LJR

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2YN
3ZN
4MN
5LN
6JN
7KN
8LN
9PN
AEM
BLE
AFM
AGM
D6R
AAX
BMY
ACJ
ADE
BNC
AEP
DMP
LGP
EXL
S6Y
S6X
S6T
JHB
KJL
WCG
WFH
D6T
DJG
GCT
LAY
SKL
79Z
80Z
D7H
5BF
4FG

Table 16
Track-Type Tractors (continued)
Part Number Sales Model Serial Number
161-7539 D7R 2HR
191-2933 9HM
2EN
3DN
ACS
ADW
AFG
AEC
AGN

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ABJ
BNX
BPT
BRM
7XM
9EM
D8R
6YZ
AKA
J8B
D8T
KPZ
ABK
D9R
ACL
D9T RJS
3KR
D10R
AKT
D10T RJG
7PZ
D11R
AAF
D11T GEB

Table 17
The following chart applies to:
Comfort Seat with Lumbar, Side Controls, and Slide Swivel only.
Wheel Tractor-Scrapers
Part Number Sales Model Serial Number
175-7953 ESB
230-1427 613G DBE
230-8795 YCB
284-5895
ALP
621G CEN
DBB
ARW
623G CES
DBC
AXF
627G CEX
DBD
AWK
631G CLR
DFA

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637G AXT
CEH
DFJ
W1B
657G
W1C

Table 18
The following chart applies to:
Comfort Seat with Lumbar, Side Controls, and Slide Swivel only.
Wheel Tractor Scrapers
Part Number Sales Model Serial Number
621G KJW
DFA
631G DXE
M1W
DFJ
372-7949 637G
DEY
2012 production w/ CARM suspension
W1B
W1C
W1E
657G
W1F
DXG
GRS

Table 19
The following chart applies to:
Optimized Seat with Lumbar, Side Controls, and Slide Swivel only.
Wheel Tractor Scrapers
Part Number Sales Model Serial Number
DBK
HKK
621H
NYY
EAZ
358-9469
2012 production w/ CARM suspension DBF
623H
EJD
DBW
627H
LCT

Mechanical Suspensions

Table 20
Off Highway Trucks

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Part Number Sales Model Serial Number

768C 02X
769C 01X
771C 3BJ
772B 64W
773B 63W
775B 7XJ
776C 2TK
169-8715 777C 4XJ
777D 3PR
784B 5RK
785 8GB
785B 6HK
789B 7EK
793B 1HL
793C 4AR

Table 21
Track-Type Tractors
Part Number Sales Model Serial Number
160-7165 CFC
D3G
CFF
CFN
D4G
FDC
FDH
D5G
FDW
AGG
D5N
AKD
4RC
6FC
3ZF
3YG
D6H
8ZJ
9KJ
5KK
6CK

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D6N CBJ
ALH
CCK
AKM
ALR
ALY

Table 22
Track-Type Tractors (continued)
Part Number Sales Model Serial Number
160-7165 2YN
9ZS
2HM
6FR
3ZN
1RW
4FM
5PR
7MN
6MR
4JR
4WR
5LN
7GR
9BM
5RR
6JN
8XN
6HR
7KN
D6R
9MN
7DR
8LN
4HN
7AR
9PN
8TM
4TR
6GR
AEM
BLE
AFM
AGM
AAX
BMY
ACJ
ADE
BNC
AEP
DMP

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D7H 79Z
80Z
5BF
4FG

Table 23
Track-Type Tractors (continued)
Part Number Sales Model Serial Number
2HR
3ZR
9HM
4SR
2EN
5MR
3DN
6ER
D7R
ACS
ADW
AFG
AEC
AGN
ABJ
5KZ
160-7165
CBZ
7XM
9EM
D8R
6YZ
AKA
ABK
D9R ACL
JJB
3KR
D10R
AKT
7PZ
D11R
AAF

Table 24
Harvesters
Part Number Sales Model Serial Number
550 7ZN
160-7165 570 4XR
580 7CN
Pipelayers

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Part Number Sales Model Serial Number

2HZ
572R
160-7165 AAC
583R 2XS

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Previous Screen

Product: BACKHOE LOADER

Model: 416E BACKHOE LOADER CBD
Configuration: 416E Backhoe Loader Single Tilt Center Pivot CBD00001-UP (MACHINE) POWERED BY 3054C Engine

Systems Operation
Comfort Series Seat For Caterpillar Machines
Media Number -RENR2165-12 Publication Date -01/10/2013 Date Updated -31/10/2013

i05018956

Seat Maintenance Interval Schedule

SMCS - 7000; 7300; 7312

Ensure that all safety information, warnings, and instructions are read and understood before any
operation or any maintenance procedures are performed.

The user is responsible for the performance of maintenance. Maintenance includes all adjustments,
the use of proper lubricants, and the replacement of components due to normal wear and age.
Failure to adhere to proper maintenance levels and procedures may result in diminished
performance of the product and/or accelerated wear of components.

Use mileage, service hours, or calendar time, WHICH EVER OCCURS FIRST, in order to
determine the maintenance intervals. Products that operate in severe operating conditions may
require more frequent maintenance.

Note: All maintenance from the previous interval must be performed before each consecutive
interval is performed.

Table 1
When Required Every 1000 Service Hours or 6 Months
Seat Cushions - Clean/Replace Suspension Bearings - Inspect/Lubricate
Seat Armrest (If Equipped) Pads - Suspension Adjustable Shock Absorber ( If
Clean/Replace Equipped) Cable - Check Adjustment
Suspension Ride Zone Indicator (If Equipped) -
Every 10 Service Hours or Daily
Check Function
Seat Belt - Inspect Every 2000 Service Hours or 1 Year
Initial 250 Service Hours Seat Cushions - Inspect
Slide Blocks - Check Adjustment Seat Back Pan Pivot Nut - Check Tightness
Fore/Aft Stop Bolt - Check Tightness Seat Armrest (If Equipped) Pads - Inspect
Controls - Check Function

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Seat Armrest (If Equipped) Pivot Bolt - Check

Tightness
Suspension Shock Absorber - Inspect Suspension Shock Absorber - Inspect
Suspension Air Spring, Hoses, Valve -
Suspension Bumpers - Inspect
Inspect
Suspension Bumpers - Inspect Suspension Tethers -Inspect
Initial 500 Service Hours Every 3 Years After Date of Installation (1)
Slide Blocks - Check Adjustment Seat Belt - Replace
Fore/Aft Stop Bolt - Check Tightness Every 5000 Service Hours or 4 Years
Controls - Check Function Slide Blocks - Inspect/Replace
Seat Cushions - Inspect Suspension Shock Absorber - Inspect/Replace
Seat Back Pan Pivot Nut - Check
Suspension Air Spring - Inspect/Replace
Tightness
Seat Armrest (If Equipped) Pivot Bolt -
Suspension Bumpers - Inspect/Replace
Check Tightness
Suspension Shock Absorber - Inspect Suspension Bearings -Inspect/Replace
Suspension Air Spring, Hoses, Valve -
Suspension Tethers - Replace
Inspect
Suspension Bumpers - Inspect Every 10000 Service Hours or 8 Years
Suspension Ride Zone Indicator (If Complete Seat (Seat plus Suspension) -
Equipped) - Check Function Inspect/Replace
Every 500 Service Hours or 3 Months

Slide Blocks - Check Adjustment -

Fore/Aft Stop Bolt - Check Tightness
Controls - Check Function
(1)
If Installation Date cannot be determined, then use seat belt manufacture date.

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Previous Screen

Product: BACKHOE LOADER

Model: 416E BACKHOE LOADER CBD
Configuration: 416E Backhoe Loader Single Tilt Center Pivot CBD00001-UP (MACHINE) POWERED BY 3054C Engine

Systems Operation
Comfort Series Seat For Caterpillar Machines
Media Number -RENR2165-12 Publication Date -01/10/2013 Date Updated -31/10/2013

i01716294

Comfort Seat Air Suspension with Air Compressor

SMCS - 7318; 7324-AJ

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Illustration 1 g00883188

(1) Harness terminal. (2) Toggle Switch. (3) Compressor. (4) Solenoid. (5) Air bag. (6) Lower housing.

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Illustration 2 g00883122

(7) Right slider track. (8) Left slider track. (9) Scissor arm. (10) Rack. (11) Shock absorber. (12) Adjustment knob.

The suspension of the seat performs several functions:

• Isolation

• Automatic Weight Adjustment

• Height Adjustment

• Connection to the Seat

Isolation and Weight Adjustment

Air bag (5) acts as a spring as the air is compressed due to the motion of inner scissor arm (9)
relative to lower housing (6). The amount of air that is in the air bag is determined by the operator.
(Refer to "Height Adjustment".) The pressure in the air bag is determined by the weight of the
operator. This provides automatic weight adjustment.

Damping Adjustment

Rotary Knob Adjustment

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Illustration 3 g00883101

Damping is provided by shock absorber (11). The stiffness of the shock absorber may be adjusted
by rotating knob (12). Turn the knob counterclockwise for more stiffness. Turn the knob
clockwise for less stiffness. The knob does not have much range of movement.

Up / Down Lever Adjustment

Illustration 4 g00885977

Damping is provided by lever (14). Pull UP on lever (14) in order to increase the damping of the
suspension. Push DOWN on the lever in order to decrease the damping of the suspension.

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Ride Indicator

Ride indicator (13) must be aligned in the green zone when the machine is not running.

Height Adjustment
Using the Toggle Switch
The height of the seat is determined by the volume of air in air bag (5). To raise the suspension,
the operator holds toggle switch (2) upward and air enters air bag (5). To lower the suspension, the
operator pushes down on toggle switch (2) and the air in air bag (5) is released.

Note: The operator must not change the height of the suspension so that the stroke is inadequate
for the particular application. The suspension height must be changed if the seat bottoms out
excessively or if the seat bounces to the maximum height too much.

The UP position of toggle switch (2) completes a 24 volt circuit from harness terminal (1) to
compressor (3). Compressor (3) provides pressurized air to air bag (5) .

The DOWN position of toggle switch (2) completes a 24 volt circuit from harness terminal (1) to
solenoid (4). The solenoid opens an exhaust port for air bag (5) .

Using the Air Valve Knob

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Illustration 5 g00883176

The height of the seat is determined by the volume of air in air bag (5). To raise the suspension,
the operator pushes in air valve knob (16) and air enters air bag (5). To lower the suspension, the
operator pulls out air valve knob (16) and the air in air bag (5) is released.

Note: The operator must not change the height of the suspension so that the stroke is inadequate
for the particular application. The suspension height must be changed if the seat bottoms out
excessively or if the seat bounces to the maximum height too much.

When air valve knob (16) is pushed in, a 24 volt circuit to compressor (3) is completed.
Compressor (3) provides pressurized air to air bag (5) .

When air valve knob (16) is pulled out, line (15) from air bag (5) to the exhaust port is opened.

Connection to the Seat

Illustration 6 g00883122

Right slider track (7) and left slider track (8) connect the seat assembly to the suspension. Rack
(10) provides the connection to the fore and aft adjuster on the seat.

The suspension has four sliders. The sliders determine the effort that is required to move the seat.

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After the seat is installed, the sliders require adjustment. The sliders are adjusted from the side of
the seat that faces the access door of the machine. Use the following procedures in order to adjust
the sliders.

Illustration 7 g00883180

1. The two sliders (17) are located on each side of the suspension (16). The sliders that are
located near the access door for the cab have adjustment screws (18) .

2. Access holes are provided in the sides of the seat assembly. Move the seat until the access
holes are in line with the sliders.

3. Tighten the adjustment screws in the sliders. Move the seat. A resistance of approximately 9
kg (20 lb) should be felt.

4. Adjust screws (18), as needed.

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Previous Screen

Product: BACKHOE LOADER

Model: 416E BACKHOE LOADER CBD
Configuration: 416E Backhoe Loader Single Tilt Center Pivot CBD00001-UP (MACHINE) POWERED BY 3054C Engine

Systems Operation
Comfort Series Seat For Caterpillar Machines
Media Number -RENR2165-12 Publication Date -01/10/2013 Date Updated -31/10/2013

i02104705

Comfort Seat Air Suspension with System Air

SMCS - 7324-AJ

Illustration 1 g01086107
(1) Right slider track
(2) Rack
(3) Left slider track
(4) Tube
(5) Air valve knob
(6) Scissor arm
(7) Air bag
(8) Shock absorber
(9) Lower housing

The suspension of the seat performs several functions:

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• Isolation

• Weight Adjustment

• Height Adjustment

• Connection to the Seat

Isolation and Weight Adjustment

Air bag (7) acts as a spring as the air is compressed due to the motion of inner scissor arm (6) relative
to lower housing (9). The amount of air that is in the air bag is determined by the operator. (Refer to
"Isolation and Weight Adjustment".) The pressure in the air bag is determined by the weight of the
operator. This provides weight adjustment.

Damping Adjustment

Lever Adjustment

Illustration 2 g01077870
(5) Air valve knob
(10) Ride indicator
(11) Lever

Damping is provided by lever (11). Pull UP on lever (11) in order to decrease the damping of the
suspension. Push DOWN on the lever in order to increase the damping of the suspension.

Note: The 192-7848 Shock Absorber Kit is available for operators over 136 kg (300 lb). This is a
dual shock absorber kit that adds additional dampening.

Ride Indicator

Ride indicator (10) must be aligned in the green zone when the machine is not running.

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Height Adjustment
Using the Air Valve Knob

The height of the seat is determined by the volume of air in air bag (7). To raise the suspension, the
operator pushes in air valve knob (5) and air enters air bag (7). To lower the suspension, the operator
pulls out air valve knob (5) and the air in air bag (7) is released.

Note: The operator must not change the height of the suspension so that the stroke is inadequate for
the particular application. The suspension height must be changed if the seat bottoms out excessively
or if the seat bounces to the maximum height too much.

Note: The air bag should only need to be filled once per shift. Check for leaks if the air bag deflates
during one shift.

When air valve knob (5) is pushed in, the air valve knob provides pressurized air to air bag (7).

When air valve knob (5) is pulled out, the exhaust port from air bag (7) is opened.

Connection to the Seat

Right slider track (1) and left slider track (3) connect the seat assembly to the suspension. Rack (2)
provides the connection to the fore and aft adjuster on the seat.

The suspension has four sliders. The sliders determine the effort that is required to move the seat.

After the seat is installed, the sliders require adjustment. The sliders are adjusted from the side of the
seat that faces the access door of the machine. Use the following procedures in order to adjust the
sliders.

Illustration 3 g01077872
(12) Suspension
(13) Sliders
(14) Adjustment screws

1. The two sliders (13) are located on each side of the suspension (12). The sliders that are located
near the access door for the cab have adjustment screws (14).

2. Access holes are provided in the sides of the seat assembly. Move the seat until the access
holes are in line with the sliders.

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3. Tighten the adjustment screws in the sliders. Move the seat. A resistance of approximately 9 kg
(20 lb) should be felt.

4. Adjust screws (14), as needed.

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Previous Screen

Product: BACKHOE LOADER

Model: 416E BACKHOE LOADER CBD
Configuration: 416E Backhoe Loader Single Tilt Center Pivot CBD00001-UP (MACHINE) POWERED BY 3054C Engine

Systems Operation
Comfort Series Seat For Caterpillar Machines
Media Number -RENR2165-12 Publication Date -01/10/2013 Date Updated -31/10/2013

i02106296

Comfort Seat Controls

SMCS - 7324

Illustration 1 g01074634
(1) Back cushion angle lever
(2) Fore/aft lever
(3) Ride indicator
(4) Air valve knob
(5) Damping adjustment lever

Pull up on back cushion angle lever (1) in order to adjust the back cushion to the desired angle.
Release the lever in order to lock the back cushion into position.

Pull up on fore/aft lever (2) in order to slide the seat forward or backward to the desired position.
Release the lever in order to lock the seat into position.

The ride indicator (3) must be aligned in the green zone when the machine is not running.

Push in air valve (4) in order to raise the suspension. Pull out the air valve (4) in order to lower the
suspension.

Pull up on damping adjustment lever (5) in order to decrease the damping. Push down on the
damping adjustment lever (5) in order to increase the damping.

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Seat Cushion Adjustment

Illustration 2 g01074836
(6) Seat cushion tilt knob

Pull upward on the seat cushion in order to lock the seat cushion in the UPWARD position.

Lower the seat cushion in order to lock the seat cushion in the DOWN position.

Comfort Seat With Lumbar Option

Illustration 3 g01074636
(7) Lumbar adjustment knob

Rotate knob (7) clockwise in order to increase support for the lower back. Rotate knob (7)
counterclockwise in order to decrease support for the lower back.

Armrest Adjustment Knob

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Illustration 4 g01074642
(8) Armrest adjustment knob

Rotate knob (8) clockwise in order to raise the angle of the armrest.

Rotate knob (8) counterclockwise in order to lower the angle of the armrest.

Illustration 5 g01074854
(9) Fore/aft knob

Loosen knob (9) in order to move the armrest forward or backward.

Seat Belt Adjustment

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Illustration 6 g01074829
(10) Seat belt adjustment knob

Pull out knob (10) in order to move the shoulder belt. The shoulder belt has six adjustment
positions. Release the knob in order to lock the adjustment into position.

Copyright 1993 - 2019 Caterpillar Inc. Fri Dec 13 21:40:43 UTC+0800 2019
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Previous Screen

Product: BACKHOE LOADER

Model: 416E BACKHOE LOADER CBD
Configuration: 416E Backhoe Loader Single Tilt Center Pivot CBD00001-UP (MACHINE) POWERED BY 3054C Engine

Systems Operation
Comfort Series Seat For Caterpillar Machines
Media Number -RENR2165-12 Publication Date -01/10/2013 Date Updated -31/10/2013

i01721985

Comfort Seat with Lumbar, Side Controls, and Slide Swivel

SMCS - 7312

The suspension of the seat performs several functions:

• Seat Controls

• Isolation and Weight Adjustment

• Connection to the Seat

Seat Controls
Swivel Latch

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Illustration 1 g00885856

Pull UP in order to open swivel latch (1). Swivel the seat into position. Release the swivel latch
(1) in order to engage the seat into position.

Height Adjustment

Using the Air Valve Knob

Illustration 2 g00885887

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Illustration 3 g00885857

The height of the seat is determined by the volume of air in air bag (5). To raise the suspension,
the operator pushes in air valve knob (3) and air enters air bag (5). To lower the suspension, the
operator pulls out air valve knob (3) and the air in air bag (5) is released.

Note: The operator must not change the height of the suspension so that the stroke is inadequate
for the particular application. The suspension height must be changed if the seat bottoms out
excessively or if the seat bounces to the maximum height too much.

When air valve knob (3) is pushed in, a 24 volt circuit to compressor (4) is completed.
Compressor (4) provides pressurized air to air bag (5) .

When air valve knob (3) is pulled out, line (2) from air bag (5) to the exhaust port is opened.

Recliner Adjustment

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Illustration 4 g00885858

Pull UP in order to release recliner latch (6). Release in order to engage recliner latch (6) .

Cushion Tilt Adjustment

Illustration 5 g00885853

Remove bolt (10) and nut (8) from both sides of the seat. Lift cushion (7) to upper hole (9). Install
bolt (10) into upper hole (9) on both sides of the seat. Tighten nut (8) on both sides of the seat.

Isolation and Weight Adjustment

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Illustration 6 g00890868

Air bag (5) acts as a spring as the air is compressed due to the motion of inner scissor arm (11)
relative to lower housing (12). The amount of air that is in the air bag is determined by the
operator. The pressure in the air bag is determined by the weight of the operator. This provides
automatic weight adjustment.

Damping Adjustment

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Illustration 7 g00890750

Damping is provided by lever (13). Push FORWARD on lever (13) in order to decrease the
damping of the suspension. Pull BACK on lever (13) in order to increase the damping of the
suspension.

Fore and Aft Adjustment

Illustration 8 g00890757

Push lever (14) LEFT in order to disengage the slide latches. Release lever (14) in order to set fore
and aft position.

Connection to the Seat

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Illustration 9 g00885871

Comfort Seat

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Illustration 10 g00885873

Road King Seat

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Illustration 11 g00890856

Note: The seat suspension mounts to both the Comfort seat and the Road King seat styles.

Right slider track (15) and left slider track (16) connect the seat assembly to the suspension. Rack
(17) provides the connection to the fore and aft adjuster on the seat.

The suspension has four sliders. The sliders determine the effort that is required to move the seat.

After the seat is installed, the sliders require adjustment. The sliders are adjusted from the side of
the seat that faces the access door of the machine. Use the following steps in order to adjust the
sliders.

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Illustration 12 g00885852

1. The two sliders (19) are located on each side of the suspension (18). The sliders that are
located near the access door for the cab have adjustment screws (20) .

2. Access holes are provided in the sides of the seat assembly. Move the seat until the access
holes are in line with the adjustment screws.

3. Tighten adjustment screws (20) in the sliders. Move the seat. A resistance of approximately
9 kg (20 lb) should be felt.

4. Adjust screws (20), as needed.

Copyright 1993 - 2019 Caterpillar Inc. Fri Dec 13 21:41:39 UTC+0800 2019
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Previous Screen

Product: BACKHOE LOADER

Model: 416E BACKHOE LOADER CBD
Configuration: 416E Backhoe Loader Single Tilt Center Pivot CBD00001-UP (MACHINE) POWERED BY 3054C Engine

Systems Operation
Comfort Series Seat For Caterpillar Machines
Media Number -RENR2165-12 Publication Date -01/10/2013 Date Updated -31/10/2013

i04315048

Optimized Seat Air Suspension with Air Compressor

SMCS - 7324-AJ

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Illustration 1 g02475706

(1) Harness terminal. (2) Compressor. (3) Air bag. (4) Upper Housing. (5) Lower housing.

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Illustration 2 g02782194

(7) Right slider track. (8) Left slider track. (9) Scissor arm. (10) Rack. (11) Shock absorber. (12) Cable assembly for
shock absorber adjustment.

The suspension of the seat performs several functions:

• Isolation

• Automatic Weight Adjustment

• Height Adjustment

• Connection to the Seat

Isolation and Weight Adjustment

The air bag (3) acts as a spring when the air is compressed. This action is due to the motion of
inner scissor arm (9) relative to lower housing (5). The amount of air that is in the air bag is
determined by the operator. (Refer to "Height Adjustment".) The pressure in the air bag is
determined by the weight of the operator. This feature will provide automatic weight adjustment.

Damping Adjustment

Up / Down Lever Adjustment

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Illustration 3 g02486202

Illustration 4 g02476019

Ride firmness is adjusted by lever (14). Push lever down to increase ride firmness, and pull up to
decrease. Release the lever at one of several positions.

Ride Zone Indicator

Use Ride Zone Indicator (13) to determine if the suspension is adjusted too high or low. Adjust
suspension height until the black line is in the middle of the indicator window.

Height Adjustment
Using the Air Valve

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Illustration 5 g02782156

The height of the seat is determined by the volume of air in air bag (21). To raise the suspension,
the operator presses rocker switch (19) left and air enters air bag (21). To lower the suspension,
the operator presses rocker switch (19) right and the air in air bag (21) is released.

Note: The operator must not change the height of the suspension so that the stroke is inadequate
for the particular application. The suspension height must be changed if the seat bottoms out
excessively or if the seat bounces to the maximum height too much.

When rocker switch (19) is pressed left, a 24 V circuit to compressor (20) is completed.
Compressor (20) provides pressurized air to air bag (21) .

When rocker switch (19) is pressed right, the exhaust port is opened.

Connection to the Seat

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Illustration 6 g02782076

Right slider track (7) and left slider track (8) connect the seat assembly to the suspension. Rack
(10) provides the connection to the fore and aft adjuster on the seat.

The suspension has four sliders. The sliders determine the effort that is required to move the seat.

After the seat is installed, the sliders require adjustment. The sliders are adjusted from the side of
the seat that faces the access door of the machine. Use the following procedures in order to adjust
the sliders.

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Illustration 7 g00883180

1. The two sliders (17) are located on each side of the suspension (16). The sliders that are
located near the access door for the cab have adjustment screws (18) .

2. Access holes are provided in the sides of the seat assembly. Move the seat until the access
holes are in line with the sliders.

3. Tighten the adjustment screws in the sliders. Move the seat. A resistance of approximately 9
kg (20 lb) should be felt.

4. Adjust screws (18), as needed.

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Product: BACKHOE LOADER

Model: 416E BACKHOE LOADER CBD
Configuration: 416E Backhoe Loader Single Tilt Center Pivot CBD00001-UP (MACHINE) POWERED BY 3054C Engine

Systems Operation
Comfort Series Seat For Caterpillar Machines
Media Number -RENR2165-12 Publication Date -01/10/2013 Date Updated -31/10/2013

i04324373

Optimized Seat Controls

SMCS - 7324

Illustration 1 g02481937

(1) Back cushion angle handle

(2) Fore/aft handle

(3) Ride Zone Indicator

(4) Height/Weight adjustment

(5) Ride firmness adjustment

Lift handle on back cushion angle handle (1) and let the back cushion spring forward, or lean
backward into the cushion. Release the handle at the desired position.

Lift handle on fore/aft handle (2) to move the seat forward or rearward. Release the handle at one
of several positions.

Ride zone indicator (3) should be used to determine if the suspension is adjusted too high or low.
Adjust suspension height until the black line is in the middle of the indicator window.

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Use the height and weight adjustment switch (4) in order to raise the suspension. Press rocker
switch left to raise the seat and press right to lower seat.

To operate the ride firmness adjustment (5), push lever down to increase the ride firmness. Pull
lever up to decrease the firmness. Release the lever at one of several positions.

Seat Cushion Adjustment

Illustration 2 g02481481

(6) Seat cushion tilt

The seat cushion tilt (6) is adjusted by a pin in a groove. Grasp the seat pan and rotate forward-up-
and-back for steeper angle positions or forward-down-and-back for shallower angle positions.

Lumbar Adjustment

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Illustration 3 g02482316

(7) Lumbar adjustment knob

Rotate knob (7) counterclockwise in order to increase lumbar support. Rotate knob (7) clockwise
in order to decrease lumbar support.

Armrest Adjustment

Illustration 4 g02482418

(8) Armrest adjustment barrel

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Rotate barrel (8) in order to adjust the angle of the armrest. The armrest can be rotated to a vertical
position when not needed.

Shoulder Belt Adjustment

Illustration 5 g02482139

(9) Seat belt adjustment lever

Squeeze the lever (9) on the side of the vertical post down toward the knob below. Adjust the
height of the shoulder belt. Release the lever at one of several positions.

Premier Seat Controls

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Illustration 6 g02481436

(3) Heat/Ventilate mode selection

(4) Heat/Ventilate level adjustment

In order to use Heat/Ventilate mode selection switch (3), press right to activate cool mode and
press left to activate heat mode.

In order to use Heat/Ventilate level switch (4), press rocker switch down for low level and press
rocker switch up for high level. Press rocker switch to middle for off.

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Product: BACKHOE LOADER

Model: 416E BACKHOE LOADER CBD
Configuration: 416E Backhoe Loader Single Tilt Center Pivot CBD00001-UP (MACHINE) POWERED BY 3054C Engine

Systems Operation
Comfort Series Seat For Caterpillar Machines
Media Number -RENR2165-12 Publication Date -01/10/2013 Date Updated -31/10/2013

i04382446

Optimized Seat with Lumbar, Side Controls, and Slide Swivel

SMCS - 7312

The suspension of the seat performs several functions:

• Seat Controls

• Isolation and Weight Adjustment

• Connection to the Seat

Seat Controls
Swivel Latch

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Illustration 1 g02784389

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Illustration 2 g02783600

Caterpillar Optimized Seat System

Pull UP in order to open swivel latch (1). Swivel the seat into position. Release the swivel latch
(1) in order to engage the seat into position.

Height Adjustment

Using the Air Valve Knob

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Illustration 3 g02784462

Note: Adjustment to the air valve knob should only be done when the machine is stationary.

To raise the suspension, the operator pushes in air valve knob (2). To lower the suspension, the
operator pulls out air valve knob (2) .

When air valve knob (2) is pushed in, a 24 V circuit to compressor is completed. When air valve
knob (2) is pulled out, the exhaust port is opened.

Recliner Adjustment

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Illustration 4 g02550717

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Illustration 5 g02783614

Caterpillar Optimized Seat System

Pull UP in order to release recliner latch (3). Release in order to engage recliner latch (3) .

Cushion Tilt Adjustment

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Illustration 6 g02550736

Remove bolt (5) and nut (4) from both sides of the seat. Lift cushion (7) to upper hole (6). Install
bolt (5) into upper hole (6) on both sides of the seat. Tighten nut (4) on both sides of the seat.

Cushion Tilt Adjustment - Caterpillar Optimized Seat System

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Illustration 7 g02783637

The seat cushion tilt (6) is adjusted by a pin in a groove. Grasp the seat pan (7) and rotate forward-
up-and back for steeper angle positions or forward-down-and back for shallower angle positions.

Isolation and Weight Adjustment

Damping Adjustment

This seat has an automatic damping adjustment determined by the weight of the operator.

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Illustration 8 g02551617

Note: Adjustment to the air valve knob should only be done when the machine is stationary.

The indicator light (8) shows if power is present to the shock control unit and health of the shock
control unit. The indicator light also shows if the operator is at the proper ride height. There are
two colored lights on the indicator light (8), blue and green. The blue light indicates power is
present to the shock control unit. No green light indicates service required for the shock control
unit. A blinking green light indicates the operator is too high or too low in suspension height. An
adjustment to the air valve knob (2) is needed. A solid green light indicates the operator has the
suspension adjusted to the proper ride height.

Fore and Aft Adjustment

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Illustration 9 g02784497

Push lever (9) LEFT in order to disengage the slide latches. Release lever (9) in order to set fore
and aft position.

Fore and Aft Adjustment- Caterpillar Optimized Seat System

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Illustration 10 g02784060

Pull UP in order to release fore and aft latch (9). Release latch (9) in order to set fore and aft
position.

Connection to the Seat

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Illustration 11 g00885873

Road King Seat

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Illustration 12 g00885871

Comfort Seat

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Illustration 13 g02783588

Caterpillar Optimized Seat System

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Illustration 14 g02552120

Note: The seat suspension mounts to both the Comfort seat and the Road King seat styles. The
swivel assembly mounts to the Caterpillar Optimized Seat System.

Right slider track (10) and left slider track (12) connect the seat assembly to the suspension. Rack
(11) provides the connection to the fore and aft adjuster on the seat.

The suspension has four sliders. The sliders determine the effort that is required to move the seat.

After the seat is installed, the sliders require adjustment. The sliders are adjusted from the side of
the seat that faces the access door of the machine. Use the following steps in order to adjust the
sliders.

Illustration 15 g02552337

1. The two sliders (14) are located on each side of the suspension (13). The sliders that are
located near the access door for the cab have adjustment screws (15) .

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2. Access holes are provided in the sides of the seat assembly. Move the seat until the access
holes are in line with the adjustment screws.

3. Tighten adjustment screws (15) in the sliders. Move the seat. A resistance of approximately
9 kg (20 lb) should be felt.

4. Adjust screws (15), as needed.

Copyright 1993 - 2019 Caterpillar Inc. Fri Dec 13 21:44:33 UTC+0800 2019
All Rights Reserved.
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Previous Screen

Product: BACKHOE LOADER

Model: 416E BACKHOE LOADER CBD
Configuration: 416E Backhoe Loader Single Tilt Center Pivot CBD00001-UP (MACHINE) POWERED BY 3054C Engine

Systems Operation
Comfort Series Seat For Caterpillar Machines
Media Number -RENR2165-12 Publication Date -01/10/2013 Date Updated -31/10/2013

i05523492

General Information
SMCS - 7324

Background
The main purpose of the seat is to support the machine operator. The seat should provide a level of
comfort that allows the operator to operate a machine in a safe and comfortable environment. A safe
and comfortable environment has been shown to impact the productivity and the job satisfaction of
the operator. A safe and comfortable environment plays a significant role in the first impression a
customer gets when operating a new machine.

Suspension System Background

Earthmoving machines have a seat suspension for two reasons:

• Keep the operator isolated from the harsh machine inputs

• Keep the operator connected to the machine controls and the machine as a whole

The three main components of a suspension system are:

• the Mass

• the Spring

• the Damper

Mass

The mass represents the object to be isolated from an input excitation (in this case the operator).

Spring

The spring is a device that is used to hold up the weight of the mass (in this case is an air spring).

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The characteristic property of a spring is stiffness. Stiffness is a measure of energy storage. The act of
compressing a spring stores energy in the spring which can later be released when the compressing
force is removed. A spring-mass system would keep bouncing if not for the damper.

Damper

The damper is used to limit the amount of motion of the system (in this case is a hydraulic damper).

The characteristic property of a damper is damping. Damping is a measure of energy dissipation. The
act of compressing a damper dissipates energy which cannot be recovered when the compressing
force is removed. The damper keeps the spring-mass system from bouncing excessively. A hydraulic
damper works on the principle that fluid is forced from one chamber to another through a series of
restrictive passages. As the fluid passes through the passages, the kinetic energy of the system is
dissipated and transformed into viscous heating of the damper fluid.

Illustration 1 g03496617

Illustration of the influence of damping on ride performance

A common misconception is that changing a damper affects stiffness. Changing a damper may
increase the damping. Changing a damper may result in a harsher ride (or "stiffer" ride) but the
stiffness of the system has not changed. The only way to affect stiffness is by changing the spring.

Suspension System Types

There are three types of suspension system: passive, active, and semiactive suspension. The passive
suspension is the type of suspension that most people are familiar with. Most automobiles,
motorcycles, trucks, trains, busses, and similar machines. have a passive suspension at each wheel.
What makes a suspension passive is the fact that the stiffness and damping cannot be changed in real
time in response to the input excitation. A passive system has no means of adding energy to the
system and merely dissipates the energy that the system is exposed to. A passive system must be
tuned for the harshest conditions. This tuning often leads to less than ideal ride performance in
everyday operation.

The polar opposite of a passive suspension system is the active suspension. In an active suspension,
the damper (and sometimes the spring) is replaced by some type of actuator that dissipates energy.
The actuator also puts energy into the system. The actuator can adapt and provide the best possible
performance in any conditions within the operating range of the active system. An active system can

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be most easily seen in the implement linkages of tractors, backhoes, excavators, dump trucks, and
similar machines. This type of suspension system relies on one or more sensors, a controller, and an
actuator and therefore is more complex. This type of suspension system requires significant power
input, and is more expensive than the passive system. Therefore, a seat suspension system is not
practical.

The semiactive suspension system is a mix between a passive and a fully active system. The
semiactive suspension system relies on a spring and a damper to dissipate energy. One of the
components may contain active components that allow the system to adapt to the operating
conditions.

Illustration 2 g03496737

Functional schematic of passive, active, and semiactive suspension types

The CARM system is a semiactive system with an active orifice damper. Unlike the more commonly
used Magneto-Rheological (MR) dampers, the active orifice type of damper can default to a highly
damped state in case of malfunction. The MR system always defaults to the lowest damped state.

The active element in a CARM damper is an adjustable valve controlled by a controller. The valve is
driven by a voice coil. The voice coil opens and closes the orifice that allows fluid to pass from one
side of the damper piston to another. The controller reads sensor inputs and uses the information to
determine the appropriate opening and closing of the valve.

Ride Background
The perception of ride in a suspension is influenced by two main components: the amount and feel of
relative motion, and the harshness of endstop collisions. The latter has the biggest impact on ride
comfort. More relative motion is preferred as long as the motion is smooth and allows the operator to
reach the pedals and controls. Unfortunately, more motion leads to more endstop collisions. A
passive suspension can be designed that avoids one or the other. The key is in designing a suspension
that can allow enough relative motion to feel comfortable without allowing the suspension to affect
the endstops. This goal is easily accomplished with a passive system in on-road applications. This
goal is difficult to accomplish in the rough earthmoving environment where inputs are highly
unpredictable. The solution is a semiactive system that can adapt and change based on the operating
conditions.

Copyright 1993 - 2019 Caterpillar Inc. Fri Dec 13 21:45:34 UTC+0800 2019
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Product: BACKHOE LOADER

Model: 416E BACKHOE LOADER CBD
Configuration: 416E Backhoe Loader Single Tilt Center Pivot CBD00001-UP (MACHINE) POWERED BY 3054C Engine

Systems Operation
Comfort Series Seat For Caterpillar Machines
Media Number -RENR2165-12 Publication Date -01/10/2013 Date Updated -31/10/2013

i05753648

Component Descriptions
SMCS - 7324

CARM System Components

Illustration 1 g03496821

Wheel Tractor Scraper seat suspension and the CARM system components

(A) Controller

(B) Sensor

(C) Damper

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The CARM system is comprised of four main components: The damper, the sensors, the
controller, and the control program. Refer to Illustration 1 and the discussed detail in the following
sections.

Damper
The active component of the damper is the valve which is opened and closed using a voice coil.

One of the main features of the CARM damper is that unlike most semiactive systems, the
unenergized state is highly damped. This factor is significant in a malfunction of the electrical
components on the seat. The damper will default to the highly damped state. The change in seat
performance provides enough damping in the suspension to allow the operator to finish the shift.
However, the increased discomfort indicates to the operator that something is wrong with the seat
and must be reported for service. There are no serviceable parts inside the damper.

Sensors

The valve assembly contains a position sensor which is used in the control feedback loop of the
valve. Additionally, a temperature sensor is used to monitor the temperature in the system. These
two sensors are used primarily for component level performance and monitoring. The two sensors
are built into the damper and are not serviceable.

In addition to the sensors inside the valve assembly, there is a displacement sensor built into the
suspension to monitor the travel of the suspension. The displacement sensor is primarily used to
establish the proximity of the endstops. This sensor is a 2-part sensor that is calibrated at the
factory and must not be tampered with. If one of the two parts is moved, the calibration is no
longer accurate and the performance of the seat will be compromised.

Additionally, there is a pressure sensor that measures the pressure inside the air spring. This
sensor is used with the displacement sensor to determine the weight of the operator. Both these
sensors are instrumental in the control program that drives the behavior of the suspension and
ultimately the ride perception of the operator. The pressure sensor is serviceable. The
displacement sensor is not.

Controller

The controller is housed in a small, sealed, weatherproof enclosure mounted inside the seat
suspension. There are no serviceable parts inside the enclosure.

Control Program
The control program is the key to a successful semiactive system. The control program reads the
input signals from the various sensors. The control program creates an output current signal that
adjusts the damping of the suspension up to 1000 times per second. The control program is built
upon a number of independent control schemes that kick in depending on the conditions the
sensors pick up. Below is a brief summary of the various control programs and functions:

• Default state – the state where all current is shut off to the damper. The Default state is the
fail-safe mode that the damper defaults to in case of malfunction or loss of power

• Normal operation – the program that is active most of the time. Normal operation selects
an appropriate damping rate based on the weight of the operator

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• Endstop – this program activates when the suspension position gets within a set distance
from the endstops. The velocity is such that an endstop impact is predicted. Endstop
increases the damping in proportion to how close the suspension gets to the endstops. The
endstop program is deactivated when the suspension starts moving away from the endstop

• Virtual endstop (Event sensitive registration) – works similarly to the endstop program.
However, Virtual endstop can kick in even if the suspension is nowhere near an endstop.
The purpose of this program is to dampen out large input motion and effectively keep the
operator connected to the pedals and controls. This feature is Caterpillar exclusive and
patent pending

Additional Suspension Design Constraints

In addition to the challenges of designing a semiactive seat suspension, a number of constraints
were taken into account when designing the CARM seat suspension:

• In the interest of compatibility with legacy and current cab designs, no changes to the
footprint were allowed

• Backward compatibility with legacy seat tops was required to minimize customer upgrade
cost and downtime

• Maintain or improve durability of scraper suspension

The CARM seat suspension can be installed in any new or old WTS cabs and mated with any old
or new seat top.

Results and Conclusions

Illustration 2 g03496977

Comparison between passive and CARM seat performance

The CARM seat suspension provides a 30 percent reduction in peak acceleration to the operator as
compared to the equivalent passive seat during normal operation. Refer to Illustration 2. The

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CARM seat suspension eliminates endstop collisions which are a significant contributor to the
level of discomfort experienced by the operator. The CARM seat suspension provides a fail-safe
mode that protects the operator in case of electrical malfunction.

Wiring Schematics

Illustration 3 g03652553

418-4765 Wiring Harness

(C-C1) Attach to ECU

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(C-C2) Attach to Status LED

(C-C3) Attach to Air Valve

(C-C4) Attach to Compressor

(C-C5) Attach to Cab Power Connection

(C-C6) Attach to Rocker Switch

Illustration 4 g03653731

396-1721 Wiring Harness

(B-C1) Attach to ECU

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(B-C2) Attach to Status LED

(B-C4) Attach to Compressor

(B-C5) Attach to Cab Power Connection

(B-C6) Attach to Air Valve

Illustration 5 g03653777

366-7658 Wiring Harness

(A-C1) Attach to Position Sensor

(A-C2) Attach to Pressure Sensor

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(A-C3) Attach to Shock

(A-C4) Attach to Shock

(A-C5) Attach to ECU

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All Rights Reserved.
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Shutdown SIS

Previous Screen

Product: BACKHOE LOADER

Model: 416E BACKHOE LOADER CBD
Configuration: 416E Backhoe Loader Single Tilt Center Pivot CBD00001-UP (MACHINE) POWERED BY 3054C Engine

Systems Operation
Comfort Series Seat For Caterpillar Machines
Media Number -RENR2165-12 Publication Date -01/10/2013 Date Updated -31/10/2013

i06888311

Troubleshooting
SMCS - 7324

Note: Always brace the suspension mechanism so the seat does not move (up and down) before
troubleshooting to prevent injury.

Portions of this material are reprinted with permission from SAE J1939DA_201607© 2016 SAE
International. SAE International is not responsible for any use or translation of this material, in whole
or in part. Please contact SAE International to obtain a complete copy of SAE J1939DA_201607, the
official definitive source of this standard.

Caterpillar Active Ride Management (CARM) Seat Suspension

Troubleshooting
Table 1
Problem Description Possible Cause Recommended Action
No power to the seat Verify key is in the ON position.
Unplug and plug in connectors.
Bad connection due to
loose or disconnected
Verify 24 V to the seat at the cab
wires
connection.
Visually inspect fuse and replace as
Bad fuse in machine
Blue Status Light is Off needed.
Visual inspection and/or continuity
check based on schematic (attached).

Wire damage If seat is newer than Serial Number

19041346104 or date 4/23/2013, use
ET tool (2013B v1.0 and up) to check
fault codes.
Green Status Light is Off but Bad connection due to a
Unplug and plug in connectors
Blue Status Light is On loose-fitting connector

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Wire damage Visual inspection and/or continuity

check based on schematic (included)

If seat is newer than Serial Number

19041346104 or date 4/23/2013, use
ET tool (2013B v1.0 and up) to check
fault codes
If seat is newer than Serial Number
19041346104 or date 4/23/2013, use
ECU failure
ET tool (2013B v1.0 and up) to check
fault codes
If seat is newer than Serial Number
19041346104 or date 4/23/2013, use
Sensor failure
ET tool (2013B v1.0 and up) to check
fault codes
Check temperature sensitive sticker
on top of shock to see if the sticker is
Shock failure
overheated (black in color). If so,
replace the shock
Replace worn component – Refer to
Excessive wear of
System Operation, RENR2165and
Seat makes noises: components
Special Instruction, REHS0887
Squealing
Missing / dry / Replace, adjust, or lubricate slider
misadjusted slider blocks blocks
Seat makes noises:
Leaky shock Replace shock
Slurping
Seat makes noises: Visual inspection and/or continuity
Wire damage
Clicking / Ratcheting check based on schematic (included)
Seat makes noises: Identify location of leak and replace
Air system leak
Hissing component
Verify key is in the ON position
No power to the seat
Verify 24 V to the seat at the
connection
Verify connection at the compressor
No power to the
Seat will not move up / No compressor Verify continuity of wires to
compressor noise when the compressor
Height/Weight Adjustment
knob is pressed Verify connection at the H/W knob

Verify continuity of wires to the H/W

No power to the H/W knob
knob
Refer to System Operation,
RENR2165and Special Instruction,
REHS0887

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No power to the seat Verify key is in the ON position

Verify 24 V to the seat at the

connection
Seat will not move / Seat is
stiff See status light description
Foreign object inside the
suspension mechanism is Remove foreign object
hampering movement
Replace or adjust slider blocks Leaky shock Replace shock
Loose fasteners Loose fasteners
Seat feels loose Missing / worn slider
Replace or adjust slider blocks
blocks
Visual inspection and/or continuity
check based on schematic (included)

Wire damage If seat is newer than Serial Number

19041346104 or date 4/23/2013, use
ET tool (2013B v1.0 and up) to check
Seat operation is jerky fault codes
Leaky shock Replace shock
Foreign object inside the
suspension mechanism is Remove foreign object
hampering movement

Schematic for ET Jumper Harness

A jumper harness can be created to check fault codes with the ET Tool (2013B v1.0 and up) on certain
CARM suspensions. Any suspension built after April 23, 2013 and/or with a serial number later than
19041346104 will be compatible with the ET Tool. The jumper consists of four wires, two connectors,
and a resistor. See schematic below

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Illustration 1 g03710817
(A) Twisted Pair

Note: To connect to the suspension through CAT ET, use the WINFLASH screen by powering on the
suspension when it is searching for J1939 compatibility.

Illustration 2 g03499096

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ET Fault Codes
Note: Using ET Tool (2013B v1.0 and up) and jumper described above

Table 2
Display Display
Possible Failure
Pop Up Pop Up Expected ECM
Secondary Mode Warning
Text - Text - Fault Component Action on
Fault Identifier / Level
First Second Code Fault
Code Description
Line Line
Seat Fault Disable
Shock Valve Voice
J520705-
Absorber Position Data Erratic 2 Coil /
2
Sensor Maximum
Damping
Disable
Voice
J520707-
Data Erratic 2 Coil /
2
Maximum
Damping
Disable
Current
Voice
J520707- Below
J520713-5 Thermistor 2 Coil /
5 Normal/Open
Maximum
Circuit
Damping
Disable
J520707-2
Current Voice
520707-6 Above 2 Coil /
J521728-
Normal Maximum
15
Damping
Current
J520713- Below
None
5 Normal/Open
Circuit
Voice Coil Disable
Current Voice
J520713-
J520713-5 Above 2 Coil /
6
Normal Maximum
Damping
Voice Coil Disable
Current Voice
520716-2 Sensor Data Erratic 2 Coil /
Maximum
Damping
520716-6 Current 2 Disable
Above Voice
Normal Coil /

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Maximum
Damping
Disable
Voice Coil Voltage Voice
520721-3 Voltage Above 2 Coil /
Sensor Normal Maximum
Damping
Reduce
Max
J521728- Seat Shock High
1 Voice
15 Absorber Temperature
Coil
Current
Disable
J520709-2 Voltage Voice
J520708-
Above 2 Coil /
3
Seat J521217- Normal Maximum
Sensor Damping
Sensor 21
Fault Power
Power Disable
Supply
Supply J520705-2 Current Voice
J520708-
Above 2 Coil /
6 J521761- Normal Maximum
Damping
Disable
J520713-5
Seat Voice
J520709-
Position Fault Data Erratic 2 Coil /
2 J521761-
Sensor Seat Position Maximum
31
Sensor Damping
Out of Adjust
J521761- Out of Ride
Ride Seat 1 None
31 Zone
Zone Height
J521217- Data Drifted
Seat Air Seat Air 2 None
21 Low
Pressure Fault Pressure
Sensor J521217- Sensor Data Drifted
2 None
20 High
Seat Voltage
521219- System
System Fault Above 2 None
3 Voltage
Voltage Normal
Disable
Bad Device Voice
Seat 520457- Seat
Fault or 2 Coil /
Controller 12 Controller
Component Maximum
Damping

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All Rights Reserved.
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Shutdown SIS

Previous Screen

Product: BACKHOE LOADER

Model: 416E BACKHOE LOADER CBD
Configuration: 416E Backhoe Loader Single Tilt Center Pivot CBD00001-UP (MACHINE) POWERED BY 3054C Engine

Systems Operation
414E, 416E, 420E, 422E, 428E, 430E, 432E, 434E, 442E and 444E Backhoe Loaders
Transmission (Standard Shift)
Media Number -RENR6474-03 Publication Date -01/09/2011 Date Updated -12/09/2011

i02438742

General Information
SMCS - 3060

Power from the diesel engine is sent from the flywheel to the torque converter through an
arrangement of the flex drive plate.

A pilot bore in the flywheel provides alignment for the front end of the torque converter during
installation.

The torque converter features a free wheel clutch that allows the stator to free wheel during high
speed and during low load conditions. A stator that is free wheeling changes the converter into a
fluid coupling for better efficiency at the high speed end.

The transmission has the following features: manual four speed, direct drive helical gear, constant
mesh, synchronized arrangement and coupled with hydraulically shifted forward and reverse
shuttle clutches.

Copyright 1993 - 2019 Caterpillar Inc. Fri Dec 13 21:48:47 UTC+0800 2019
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Shutdown SIS

Previous Screen

Product: BACKHOE LOADER

Model: 416E BACKHOE LOADER CBD
Configuration: 416E Backhoe Loader Single Tilt Center Pivot CBD00001-UP (MACHINE) POWERED BY 3054C Engine

Systems Operation
414E, 416E, 420E, 422E, 428E, 430E, 432E, 434E, 442E and 444E Backhoe Loaders
Transmission (Standard Shift)
Media Number -RENR6474-03 Publication Date -01/09/2011 Date Updated -12/09/2011

i02759361

Torque Converter
SMCS - 3101

The torque converter hydraulically connects the engine to the transmission. There is no direct
mechanical connection between the engine and the transmission.

When the machine works against a load, the torque converter can multiply the torque from the
engine, and the converter can send a higher torque to the transmission. The oil for the operation of
the torque converter comes from the transmission oil pump. Oil is directed to the transmission
circuit and to the torque converter circuit. The torque converter inlet oil pressure is controlled by
the relief valve. The relief valve limits the pressure to the torque converter. Outlet oil from the
converter flows through the transmission oil cooler and into the lubrication and the cooling
system.

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Illustration 1 g01381494

Torque converter

(1) Housing

(2) Flex plate

(3) Turbine

(4) Impeller

(5) Stator

(6) Stator clutch

The torque converter consists of the following four main parts: housing (1) , impeller (4) , turbine
(3) and stator (5) . The housing is connected to the engine flywheel through flex plate (2) .
Impeller (4) and housing (1) are connected. The impeller and the housing turn with the engine
flywheel at engine speed. Turbine (3) turns the transmission input shaft. Stator (5) is installed on

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the stationary stator support. Impeller (4) , which turns with housing (1) at engine speed, directs
the oil toward the outside of the impeller and against the blades of turbine (3) . The force of the oil
that is hitting the turbine blades causes the turbine (3) and the transmission input shaft to rotate.
The rotation of the transmission input shaft provides power to the transmission.

Oil returns through the stator vanes to the impeller. The stator vanes direct the oil back to the
impeller. This causes a torque increase. When the speed of the turbine (3) and the speed of the
impeller (4) are equal, the stator clutch (6) permits the stator to turn freely with the rotation of the
engine for more efficiency.

When turbine torque is greater than impeller torque the stator is locked in place. Torque is
multiplied only when the stator is held in place.

Copyright 1993 - 2019 Caterpillar Inc. Fri Dec 13 21:49:44 UTC+0800 2019
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Shutdown SIS

Previous Screen

Product: BACKHOE LOADER

Model: 416E BACKHOE LOADER CBD
Configuration: 416E Backhoe Loader Single Tilt Center Pivot CBD00001-UP (MACHINE) POWERED BY 3054C Engine

Systems Operation
414E, 416E, 420E, 422E, 428E, 430E, 432E, 434E, 442E and 444E Backhoe Loaders
Transmission (Standard Shift)
Media Number -RENR6474-03 Publication Date -01/09/2011 Date Updated -12/09/2011

i02999520

Transmission (Two-Wheel Drive)

SMCS - 3060

S/N - CBD1-UP

S/N - ELB1-UP

S/N - HBE1-UP

S/N - HLS1-UP

S/N - KMW1-UP

S/N - MFG1-UP

S/N - SHA1-UP

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Illustration 1 g01224555

Transmission

(1) Input shaft assembly

(2) Forward input gear

(3) Reverse idler input gear

(4) Forward clutch pack

(5) Forward clutch piston

(6) Reverse idler shaft

(7) Reverse clutch piston

(8) Reverse clutch pack

(9) Reverse idler driven gear

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(10) Reverse input gear

(11) Caged roller bearings

(12) First speed gear

(13) First speed and second speed synchronizer assembly

(14) Second speed gear

(15) Third speed gear

(16) Third speed and fourth speed synchronizer assembly

(17) Fourth speed gear

(18) Output shaft

(19) Forward drive gear

(20) Countershaft

(21) Drive gear

(22) Implement pump drive shaft

The transmission has the following features: manual four speed, direct drive helical gear, constant
mesh, synchronized arrangement and coupled with hydraulically shifted forward and reverse shuttle
clutches.

The shuttle is a multi-disc clutch arrangement. The shuttle contains two clutch packs within the input
shaft assembly. Each clutch pack contains five plates and five discs. The clutches are hydraulically
engaged and released by spring force.

Clutch engagement is accomplished through the use of an electrical harness that is connected to the
solenoid control valve and the direction selector valve. This hydraulically engages forward clutch (4)
or reverse clutch (8) .

Input shaft assembly (1) sends the power from the torque converter turbine to the forward/reverse
shuttle clutches. The input shaft assembly rotates the same direction as the flywheel. Therefore, the
plates also rotate the same direction at the same speed as the input shaft.

The input shaft assembly provides four internal oil passages. Two internal oil passages are for
lubrication and cooling of the shuttle. The remaining two internal oil passages are for the engagement
of the forward clutch pack or the reverse clutch pack.

The forward input gear (2) and the reverse input gear (10) are free to rotate on the input shaft
assembly (1) when both the forward and the reverse clutch pack are not engaged. The discs rotate
with the input gears.

Reverse idler shaft (6) and gears (3) and (9) provide reverse rotation to countershaft (20) when the
reverse clutch is engaged. Reverse idler driven gear (9) is engaged with reverse input gear (10). The
power flows from the reverse idler driven gear (9) to reverse idler input gear (3) when reverse clutch
pack (8) is engaged.

Countershaft (20) transfers power to the speed range gears on output shaft (18). Drive gear (21)
increases roading in fourth gear to approximately 40 km/h (25 mph). The power is transferred from
the forward input gear (2) or from the reverse idler input gear (3). The gear that is used depends on
the clutch pack that is engaged.

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Output shaft (18) carries speed range gears (12), (14), (15), and (17) and synchronizer assemblies
(13) and (16). All of the speed range gears rotate on caged roller bearings (11).

Illustration 2 g01520897

Synchronizer assembly

(23) Cup

(24) Shifter fork

(25) Sliding collar

(26) Cone

(27) Split pin

(28) Blocker pin

The synchronizer assembly consists of two inner synchronizer cones (26). The cones are mounted to
sliding collar (25) by a series of alternating alignment blocker pins (28) and the spring loaded split
pins (27). The inner diameter of sliding collar (25) is splined to output shaft (18). The speed range
gears have matching splines. Synchronizer cups (23) are splined to the speed range gears and the cups
rotate with the speed range gears.

When shift fork (24) moves sliding collar (25) to engage a speed gear, the sliding collar comes in
contact with the shoulder of the blocker pins (28). The force that is exerted on the blocker pins causes

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the blocker pin to push the cone against the cup. The assembly of sliding collar (25) and the output
shaft (18) are rotating at the same speed as the speed gear. This results in synchronization.

If there is a torsional load or mismatch of speeds between the speed range gear and the output shaft,
the shoulder of the blocker pin will prevent the sliding collar from engaging. When the speeds are
synchronized and there is no torsional load or side load on the blocker pin, the sliding collar will
continue to slide as the shifter fork moves.

Split pins (27) will collapse and the pin will act as a locking mechanism in order to keep sliding
collar (25) engaged with output shaft (18) .

The four speed shift lever is on the floor. The operator neutralizes the solenoid control valve of the
transmission by depressing the neutralizer button on the shift lever and holding the button. This shifts
the speed range gears. Activating the neutralizer button releases a direction clutch and the button
places the transmission into NEUTRAL position. Now, the operator can select any speed range gear,
even when the vehicle is moving. Once the shift is complete, the neutralizer button must be released.
The speed shift is completed and the direction clutch is engaged again. Power is sent from the output
shaft to the rear axle.

Only one synchronizer assembly can be engaged at a time.

Power Flows (First Speed Forward Or Second Speed Forward)

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Illustration 3 g01224674

Power flow in first speed forward

(1) Input shaft assembly

(2) Forward input gear

(3) Reverse idler input gear

(4) Forward clutch pack

(5) Forward clutch piston

(6) Reverse idler shaft

(7) Reverse clutch piston

(8) Reverse clutch pack

(9) Reverse idler driven gear

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(10) Reverse input gear

(11) Caged roller bearings

(12) First speed gear

(13) First speed and second speed synchronizer assembly

(14) Second speed gear

(15) Third speed gear

(16) Third speed and fourth speed synchronizer assembly

(17) Fourth speed gear

(18) Output shaft

(19) Forward drive gear

(20) Countershaft

(21) Drive gear

(22) Implement pump drive shaft

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Illustration 4 g01224910

Power flow in second speed forward

(1) Input shaft assembly

(2) Forward input gear

(3) Reverse idler input gear

(4) Forward clutch pack

(5) Forward clutch piston

(6) Reverse idler shaft

(7) Reverse clutch piston

(8) Reverse clutch pack

(9) Reverse idler driven gear

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(10) Reverse input gear

(11) Caged roller bearings

(12) First speed gear

(13) First speed and second speed synchronizer assembly

(14) Second speed gear

(15) Third speed gear

(16) Third speed and fourth speed synchronizer assembly

(17) Fourth speed gear

(18) Output shaft

(19) Forward drive gear

(20) Countershaft

(21) Drive gear

(22) Implement pump drive shaft

Illustration 5 g01520898

Synchronizer assembly

(23) Cup

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(24) Shifter fork

(25) Sliding collar

(26) Cone

(27) Split pin

(28) Blocker pin

The torque converter turbine drives input shaft assembly (1). The operator moves the direction
control lever that is mounted on the steering wheel column to the forward position. This engages the
forward clutch. The oil pressure is sent through input shaft assembly (1) to pressurized forward clutch
piston (5). Forward clutch pack (4) engages and the clutch pack sends power to the forward input
gear (2) .

Forward input gear (2) transmits the power to drive gear (19), which turns countershaft (20), which is
constantly engaged with the speed range gears. The neutralizer button that is located on the shift lever
must be activated in order to neutralize the solenoid control valve of the transmission. This engages
first speed gear (12) or second speed gear (14) with output shaft (18). Activating the neutralizer
button releases a direction clutch and the button places the transmission into NEUTRAL. The shift
lever can now be moved into first gear or second gear. Shifter fork (24) slides synchronizer collar
(25) to the right so first speed gear (12) engages with output shaft (18). Also, the shifter fork (24) can
slide the synchronized collar (25) to the left so second speed gear (14) engages with output shaft
(18) .

If there is no torsional load or mismatch of speeds between the speed gear and the output shaft,
synchronizer assembly (13) will engage the speed gear with the output shaft. Once the shift is
complete the neutralizer button must be released. The speed shift is completed and the direction
clutch is engaged again. Power is sent from the output shaft to the rear axle.

Power Flows (Third Speed Forward Or Fourth Speed

Forward)

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Illustration 6 g01224742

Power flow in third speed forward

(1) Input shaft assembly

(2) Forward input gear

(3) Reverse idler input gear

(4) Forward clutch pack

(5) Forward clutch piston

(6) Reverse idler shaft

(7) Reverse clutch piston

(8) Reverse clutch pack

(9) Reverse idler driven gear

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(10) Reverse input gear

(11) Caged roller bearings

(12) First speed gear

(13) First speed and second speed synchronizer assembly

(14) Second speed gear

(15) Third speed gear

(16) Third speed and fourth speed synchronizer assembly

(17) Fourth speed gear

(18) Output shaft

(19) Forward drive gear

(20) Countershaft

(21) Drive gear

(22) Implement pump drive shaft

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Illustration 7 g01520927

Power flow in fourth speed forward

(1) Input shaft assembly

(2) Forward input gear

(3) Reverse idler input gear

(4) Forward clutch pack

(5) Forward clutch piston

(6) Reverse idler shaft

(7) Reverse clutch piston

(8) Reverse clutch pack

(9) Reverse idler driven gear

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(10) Reverse input gear

(11) Caged roller bearings

(12) First speed gear

(13) First speed and second speed synchronizer assembly

(14) Second speed gear

(15) Third speed gear

(16) Third speed and fourth speed synchronizer assembly

(17) Fourth speed gear

(18) Output shaft

(19) Forward drive gear

(20) Countershaft

(21) Drive gear

(22) Implement pump drive shaft

Illustration 8 g01520924

Synchronizer assembly

(23) Cup

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(24) Shifter fork

(25) Sliding collar

(26) Cone

(27) Split pin

(28) Blocker pin

The torque converter turbine drives input shaft assembly (1). The operator moves the direction
control lever that is mounted on the steering wheel column to the forward position. This engages the
forward clutch. The oil pressure is sent through input shaft assembly (1) to pressurized forward clutch
piston (4). Forward clutch pack (4) engages and the clutch pack sends power to forward input gear
(2) .

Forward input gear (2) transmits the power to drive gear (21) and (19), which turns countershaft (20),
which is constantly engaged with the speed range gears. The neutralizer button that is located on the
shift lever must be activated in order to neutralize the solenoid control valve of the transmission. This
engages third speed gear (15) or fourth speed gear (17) with output shaft (18). Activating the
neutralizer button releases a direction clutch and the button places the transmission into NEUTRAL.
The shift lever can now be moved into third gear or fourth gear. Shifter fork (24) slides synchronizer
collar (25) to the right so third speed gear (15) engages with output shaft (18). Also, the shifter fork
(24) can slide the synchronized collar (25) to the left so fourth speed gear (17) engages with output
shaft (18) .

Power Flows (First Speed Reverse Or Second Speed Reverse)

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Illustration 9 g01224758

Power flow in first speed reverse

(1) Input shaft assembly

(2) Forward input gear

(3) Reverse idler input gear

(4) Forward clutch pack

(5) Forward clutch piston

(6) Reverse idler shaft

(7) Reverse clutch piston

(8) Reverse clutch pack

(9) Reverse idler driven gear

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(10) Reverse input gear

(11) Caged roller bearings

(12) First speed gear

(13) First speed and second speed synchronizer assembly

(14) Second speed gear

(15) Third speed gear

(16) Third speed and fourth speed synchronizer assembly

(17) Fourth speed gear

(18) Output shaft

(19) Forward drive gear

(20) Countershaft

(21) Drive gear

(22) Implement pump drive shaft

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Illustration 10 g01225227

Power flow in second speed reverse

(1) Input shaft assembly

(2) Forward input gear

(3) Reverse idler input gear

(4) Forward clutch pack

(5) Forward clutch piston

(6) Reverse idler shaft

(7) Reverse clutch piston

(8) Reverse clutch pack

(9) Reverse idler driven gear

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(10) Reverse input gear

(11) Caged roller bearings

(12) First speed gear

(13) First speed and second speed synchronizer assembly

(14) Second speed gear

(15) Third speed gear

(16) Third speed and fourth speed synchronizer assembly

(17) Fourth speed gear

(18) Output shaft

(19) Forward drive gear

(20) Countershaft

(21) Drive gear

(22) Implement pump drive shaft

Illustration 11 g01520925

Synchronizer assembly

(23) Cup

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(24) Shifter fork

(25) Sliding collar

(26) Cone

(27) Split pin

(28) Blocker pin

The torque converter turbine drives input shaft assembly (1). The operator moves the direction
control lever that is mounted on the steering wheel column to the reverse position. This engages the
reverse clutch. The oil pressure is sent through input shaft assembly (1) to pressurized reverse clutch
piston (7). The reverse clutch pack (8) engages and the clutch pack sends power to the reverse input
gear.

Reverse input gear (10) transmits the power to reverse idler driven gear (9), which turns reverse idler
shaft (6) and reverse idler input gear (3). Reverse idler input gear (3) transmits the power to drive
gear (21) and forward drive gear (19), which turns countershaft (20), which is constantly engaged
with the speed range gears. The countershaft will rotate in the reverse direction.

The countershaft is in constant mesh with speed range gears that are mounted on output shaft (18).
The neutralizer button that is located on the shift lever must be activated in order to neutralize the
solenoid control valve of the transmission. This engages first speed gear (12) or second speed gear
(14) with output shaft (18). Activating the neutralizer button releases a direction clutch and the button
places the transmission into NEUTRAL. The shift lever can now be moved into first gear or second
gear. Shifter fork (24) slides synchronizer collar (25) to the right so first speed gear (12) engages with
output shaft (18). Also, the shifter fork (24) can slide the synchronized collar to the left so second
speed gear (14) engages with output shaft (18) .

If there is no torsional load or mismatch of speeds between the speed gear and the output shaft,
synchronizer assembly (13) will engage the speed gear with the output shaft. Once the shift is
complete the neutralizer button must be released. The speed shift is completed and the direction
clutch is engaged again. Power is sent from the output shaft to the rear axle.

Power Flows (Third Speed Reverse Or Fourth Speed Reverse)

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Illustration 12 g01224964

Power flow in third speed reverse

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Illustration 13 g01520929

Power flow in fourth speed reverse

(1) Input shaft assembly

(2) Forward input gear

(3) Reverse idler input gear

(4) Forward clutch pack

(5) Forward clutch piston

(6) Reverse idler shaft

(7) Reverse clutch piston

(8) Reverse clutch pack

(9) Reverse idler driven gear

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(10) Reverse input gear

(11) Caged roller bearings

(12) First speed gear

(13) First speed and second speed synchronizer assembly

(14) Second speed gear

(15) Third speed gear

(16) Third speed and fourth speed synchronizer assembly

(17) Fourth speed gear

(18) Output shaft

(19) Forward drive gear

(20) Countershaft

(21) Drive gear

(22) Implement pump drive shaft

Illustration 14 g01520926

Synchronizer assembly

(23) Cup

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(24) Shifter fork

(25) Sliding collar

(26) Cone

(27) Split pin

(28) Blocker pin

The torque converter turbine drives input shaft assembly (1). The operator moves the direction
control lever that is mounted on the steering wheel column to the reverse position. This engages the
reverse clutch. The oil pressure is sent through input shaft assembly (1) to pressurized reverse clutch
piston (7). The reverse clutch pack (8) engages and the clutch pack sends power to the reverse input
gear (10) .

Reverse input gear (10) transmits the power to reverse idler driven gear (9), which turns reverse idler
shaft (6) and reverse idler input gear (3). Reverse idler input gear (3) transmits the power to drive
gears (21) and (19), which turns countershaft (20), which is constantly engaged with the speed range
gears. The countershaft will rotate in the reverse direction.

The countershaft is in constant mesh with speed range gears that are mounted on output shaft (18).
The neutralizer button that is located on the shift lever must be activated in order to neutralize the
solenoid control valve of the transmission. This engages third speed gear (15) or fourth speed gear
(17) with output shaft (18). Activating the neutralizer button releases a direction clutch and the button
places the transmission into NEUTRAL. The shift lever can now be moved into first gear or second
gear. Shifter fork (24) slides synchronizer collar (25) to the right so third speed gear (14) engages
with output shaft (18). Also, shifter fork (24) can slide the synchronized collar to the left so fourth
speed gear (17) engages with output shaft (18) .

If there is no torsional load or mismatch of speeds between the speed gear and the output shaft,
synchronizer assembly (16) will engage the speed gear with the output shaft. Once the shift is
complete the neutralizer button must be released. The speed shift is completed and the direction
clutch is engaged again. Power is sent from the output shaft to the rear axle.

Ride Control (if equipped)

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Illustration 15 g01225030

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Illustration 16 g01520933

(30) Speed sensor

Speed sensor (30) for the ride control monitors the speed of the output shaft. Gear (29) is used by
speed sensor (30) in order to determine the speed of output shaft (18). Gear (29) may also be a wheel
rather than a gear.

Copyright 1993 - 2019 Caterpillar Inc. Fri Dec 13 21:50:40 UTC+0800 2019
All Rights Reserved.
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Previous Screen

Product: BACKHOE LOADER

Model: 416E BACKHOE LOADER CBD
Configuration: 416E Backhoe Loader Single Tilt Center Pivot CBD00001-UP (MACHINE) POWERED BY 3054C Engine

Systems Operation
414E, 416E, 420E, 422E, 428E, 430E, 432E, 434E, 442E and 444E Backhoe Loaders
Transmission (Standard Shift)
Media Number -RENR6474-03 Publication Date -01/09/2011 Date Updated -12/09/2011

i03001247

Transmission (All-Wheel Drive)

SMCS - 3060

Power Flow

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Illustration 1 g01225427

This is an example of the power flow for the all wheel drive.

(1) Input shaft assembly

(2) Forward input gear

(3) Reverse idler input gear

(4) Forward clutch pack

(5) Forward clutch piston

(6) Reverse idler shaft

(7) Reverse clutch piston

(8) Reverse clutch pack

(9) Reverse idler driven gear

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(10) Reverse input gear

(11) Countershaft

(12) Input gear for front wheel drive

(13) Caged roller bearing

(14) First speed gear

(15) Gear for the front wheel drive

(16) Clutch pack for front wheel drive

(17) Clutch piston for front wheel drive

(18) Output shaft for front wheel drive

(19) First speed and second speed synchronizer assembly

(20) Second speed gear

(21) Third speed gear

(22) Third speed and fourth speed synchronizer assembly

(23) Fourth speed gear

(24) Output shaft

(25) Forward drive gear

(26) Drive gear

(27) Implement pump drive shaft

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Illustration 2 g01217662

(28) All wheel drive switch

The output shaft for front wheel drive (18) may be engaged at any time by activating all wheel drive
switch (28) that is located on the left side of the front dash panel. The switch may be activated when
the vehicle is stopped or while the vehicle is moving. All wheel drive attachments include the
following parts: gear for front wheel drive (15), clutch pack for front wheel drive (16) and output
shaft for front wheel drive (18). The output shaft for front wheel drive (18) connects the transmission
with the steerable front drive axle.

When the operator activates all wheel drive switch (28) on the front dash panel, the all wheel drive
solenoid is energized. A passage opens in order to allow oil under pressure to flow to the output shaft
for front wheel drive (18). The oil flows through the output shaft for front wheel drive (18) in order to
engage the clutch pack for front wheel drive (16). The input gear for front wheel drive (12) transmits
power to the gear for front wheel drive (15). Power from the gear for front wheel drive (15) is then
transmitted through the clutch pack for front wheel drive (16) to the output shaft for front wheel drive
(18). The output shaft of the front wheel drive is connected to the drive shaft of the front axle.

Copyright 1993 - 2019 Caterpillar Inc. Fri Dec 13 21:51:37 UTC+0800 2019
All Rights Reserved.
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Previous Screen

Product: BACKHOE LOADER

Model: 416E BACKHOE LOADER CBD
Configuration: 416E Backhoe Loader Single Tilt Center Pivot CBD00001-UP (MACHINE) POWERED BY 3054C Engine

Systems Operation
414E, 416E, 420E, 422E, 428E, 430E, 432E, 434E, 442E and 444E Backhoe Loaders
Transmission (Standard Shift)
Media Number -RENR6474-03 Publication Date -01/09/2011 Date Updated -12/09/2011

i02759369

Transmission Control
SMCS - 3030; 3060; 3065

The solenoid control valve for the transmission is installed on top of the transmission housing. The
solenoid control valve for the transmission controls the FORWARD, REVERSE, and NEUTRAL
functions of the transmission.

The solenoid control valve directs the pressurized oil to either the forward clutch pack or to the
reverse clutch pack. In the NEUTRAL position, clutch pressure is dumped back to the transmission
case. The reverse solenoid of the solenoid control valve for the transmission is electrically connected
with the backup alarm switch. The backup alarm switch activates the backup alarm.

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Illustration 1 g01217804

Transmission neutral lock (If equipped)

Illustration 2 g00758104

Neutralizer controls (If equipped)

The neutralizer switch is located on either the left side of the dash or the loader control lever. The
neutral lock switch on the left side of the dash disables all transmission solenoids. The neutralizer
switch that is located on the loader control lever disengages the direction control solenoids.

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If the vehicle is turned off, and the direction control lever is left in the FORWARD position or the
REVERSE position, the vehicle will not be able to start until the direction control lever is returned to
the NEUTRAL position.

Illustration 3 g00758121

Direction control lever

The solenoids that are located in the solenoid control valve are electronically actuated. The solenoids
are actuated by the direction control lever that is on the steering wheel column.

When the solenoid control valve is de-energized, the centering springs center the spool, which blocks
the oil flow from the transmission pump. The oil pressure in the direction clutch decreases and the
direction clutch disengages when oil flow to the transmission is blocked. When the transmission
solenoid is energized, the oil passages to the transmission are opened. The energized solenoid permits
the filling of one of the direction clutches. The energized solenoids also allow the pressure to build up
in the transmission.

All Wheel Drive (If equipped)

The all wheel drive attachment will improve mobility and overall performance of the loader in
conditions of poor traction.

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Illustration 4 g01217851

All wheel drive switch (if equipped)

The front drive axle may be engaged at any time by activating the all wheel drive switch on the left
side of the front console. This switch may be activated when the vehicle is stopped or while the
vehicle is moving. The following components are required with the all wheel drive attachment: all
wheel drive switch, all wheel drive solenoid valve, transmission for the all wheel drive, clutch pack
for the all wheel drive that is on the output shaft for the all wheel drive, a steerable front drive axle
and front drive shaft with a guard. The front drive shaft connects the output shaft for the all wheel
drive with the steerable front drive axle.

Transmission Operation

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Illustration 5 g01298487

The transmission hydraulic system in NEUTRAL

(1) Oil filter with bypass

(2) Clutch pack for the all wheel drive (If equipped)

(3) Pressure tap on the clutch pack for all wheel drive (If equipped)

(4) All wheel drive solenoid (If equipped)

(5) System relief valve

(6) Transmission solenoid valve

(7) Reverse clutch pack

(8) Pressure tap for reverse clutch

(9) Pressure tap for forward clutch

(10) Forward clutch pack

(11) Pressure tap for torque converter inlet

(12) Inlet relief valve for torque converter

(13) Torque converter

(14) Temperature sensor for torque converter outlet

(15) Oil Cooler

(16) Pressure tap for lubrication and cooling

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(17) Transmission lubrication system

(18) Oil reservoir

(19) Suction screen

(20) Oil pump

(21) Pressure tap for pump

(22) Pressure tap for regulated pressure

(23) Modulating relief valve

When the engine is running, oil pump (20) pulls oil from reservoir (18) through suction screen (19) to
the pump. The oil pump sends the oil through filter (1) and to the control solenoid valve for the
transmission (6) .

With the direction control lever in the NEUTRAL position, oil flow is blocked by the solenoid
control valve. Neither the forward clutch pack nor the reverse clutch pack can be pressurized. The
passages for the clutch oil are open to the drain.

This allows oil that is not needed by the transmission circuit to flow through the system relief valve
to the torque converter.

Torque converter inlet relief valve (12) controls maximum pressure to the torque converter in order to
prevent damage during cold starts. Torque converter pressure is maintained in the torque converter by
the restrictions that are created by the oil cooler and the oil lines that are leaving the torque converter.

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Illustration 6 g01217851

All wheel drive switch (If equipped)

With the all wheel drive switch in the OFF position, oil is blocked by the all wheel drive solenoid
valve (4) . The oil from the clutch pack for the all wheel drive is then connected to the drain.

When the all wheel drive switch is in the ON position, the all wheel drive solenoid is energized.
When the all wheel drive solenoid is energized, pressurized oil is directed to the clutch pack for the
all wheel drive (2) .

With the all wheel drive switch in the ALL WHEEL DRIVE BRAKING position, oil flows to the
clutch pack for all wheel drive (2) . The oil is then blocked by the all wheel drive solenoid valve until
both brake pedals are engaged. When both brake pedals are engaged the all wheel drive solenoid will
energize. With an energized all wheel drive solenoid, a passage will open in order to provide an oil
passage to the clutch pack (5) .

Run The Engine (Forward)

Illustration 7 g01298581

The transmission hydraulic system in FORWARD

(1) Oil filter with bypass

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(2) Clutch pack for the all wheel drive (If equipped)

(3) Pressure tap on the clutch pack for all wheel drive (If equipped)

(4) All wheel drive solenoid (If equipped)

(5) System relief valve

(6) Transmission solenoid valve

(7) Reverse clutch pack

(8) Pressure tap for reverse clutch

(9) Pressure tap for forward clutch

(10) Forward clutch pack

(11) Pressure tap for torque converter inlet

(12) Inlet relief valve for torque converter

(13) Torque converter

(14) Temperature sensor for torque converter outlet

(15) Oil Cooler

(16) Pressure tap for lubrication and cooling

(17) Transmission lubrication system

(18) Oil reservoir

(19) Suction screen

(20) Oil pump

(21) Pressure tap for pump

(22) Pressure tap for regulated pressure

(23) Modulating relief valve

When the direction control lever on the steering wheel column is moved to the FORWARD position,
the forward solenoid of the solenoid valve (6) is electrically activated. The electrical activation of the
forward solenoid overrides the centering spring. The spool will then move. Pressurized oil will be
able to flow to the forward clutch pack (10) .

An orifice within the control solenoid valve establishes a constant flow and pressure of oil to the
forward clutch pack. This allows oil that is not needed by the transmission circuit to flow to the
torque converter.

The FORWARD position directs oil to the forward clutch pack. The reverse clutch oil passage is
open to the drain. Oil fills the forward clutch pack. The pressurized oil will engage the forward clutch
pack.

When the forward clutch pack obtains maximum system pressure, the relief valve (5) opens. The
relief valve helps maintain maximum system pressure to the forward clutch pack.

When relief valve (5) is closed, a bypass orifice within the relief valve still permits the flow of oil to
the torque converter at low idle for lubrication and cooling purposes.

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Run The Engine (Reverse)

Illustration 8 g01298590

The transmission hydraulic system in REVERSE

(1) Oil filter with bypass

(2) Clutch pack for the all wheel drive (If equipped)

(3) Pressure tap on the clutch pack for all wheel drive (If equipped)

(4) All wheel drive solenoid (If equipped)

(5) System relief valve

(6) Transmission solenoid valve

(7) Reverse clutch pack

(8) Pressure tap for reverse clutch

(9) Pressure tap for forward clutch

(10) Forward clutch pack

(11) Pressure tap for torque converter inlet

(12) Inlet relief valve for torque converter

(13) Torque converter

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(14) Temperature sensor for torque converter outlet

(15) Oil Cooler

(16) Pressure tap for lubrication and cooling

(17) Transmission lubrication system

(18) Oil reservoir

(19) Suction screen

(20) Oil pump

(21) Pressure tap for pump

(22) Pressure tap for regulated pressure

(23) Modulating relief valve

When the direction control lever on the steering wheel column is moved to the REVERSE position,
the reverse solenoid of the solenoid valve (6) is electrically activated. The electrical activation of the
reverse solenoid overrides the centering spring. The spool will then move. Pressurized oil will be able
to flow to the reverse clutch pack (7) .

An orifice within the control solenoid valve establishes a constant flow and pressure of oil to the
reverse clutch pack. This allows oil that is not needed by the transmission circuit to flow to the torque
converter.

The REVERSE position directs oil to the reverse clutch pack. The forward clutch oil passage is open
to the drain. Oil fills the reverse clutch pack. The pressurized oil will engage the reverse clutch pack.

When the reverse clutch pack obtains maximum system pressure, the relief valve (5) opens. The relief
valve helps maintain maximum system pressure to the reverse clutch pack.

When relief valve (5) is closed, a bypass orifice within the relief valve still permits the flow of oil to
the torque converter at low idle for lubrication and cooling purposes.

Copyright 1993 - 2019 Caterpillar Inc. Fri Dec 13 21:52:34 UTC+0800 2019
All Rights Reserved.
Private Network For SIS Licensees.

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Previous Screen

Product: BACKHOE LOADER

Model: 416E BACKHOE LOADER CBD
Configuration: 416E Backhoe Loader Single Tilt Center Pivot CBD00001-UP (MACHINE) POWERED BY 3054C Engine

Systems Operation
414E, 416E, 420E, 422E, 428E, 430E, 432E, 434E, 442E and 444E Backhoe Loaders
Transmission (Standard Shift)
Media Number -RENR6474-03 Publication Date -01/09/2011 Date Updated -12/09/2011

i02423544

Transmission Hydraulic System

SMCS - 3060

Torque Converter, Transmission Pump, Screen and Filter

A crescent pump provides the oil for the operation and the cooling of the transmission and torque
converter. The pump also delivers oil for lubrication of the transmission and torque converter. The
pump is located at the transmission input shaft. The torque converter stator support is assembled with
the pump. This assembly is then bolted to the transmission case. The pump is driven by the torque
converter impeller housing.

The oil reservoir for the transmission and for the torque converter is on the bottom of the
transmission case. The oil flows from the reservoir to the screen. The oil then flows through a
transmission case passage to the suction side of the positive displacement pump. The oil from the
pump flows to the filter and the oil from the pump then flows to the transmission hydraulic controls.
A restriction in the oil filter or high viscosity oil will open a relief valve. The flow of oil will travel
back to the sump of the transmission.

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Illustration 1 g00757609

If the pressure differential of the inlet oil pressure to the oil filter (1) is 250 ± 30 kPa (36 ± 4 psi)
higher than the outlet oil pressure, the oil filter bypass valve will open.

When the oil does not flow through the oil filter element, unfiltered oil could cause damage to other
components in the transmission oil system.

Correct maintenance must be used in order to make sure that the element does not become plugged
and the element does not stop the flow of clean oil to the transmission oil system. The filter is
mounted to the left side of the transmission case.

The screen is mounted inside the transmission case. The screen can be removed on the right side of
the case.

Power Train Oil Cooler

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Illustration 2 g01211005

The transmission oil cooler is mounted on the front of the radiator.

High temperature oil from the transmission system flows from the torque converter outlet to the
transmission oil cooler. As oil is flowing through the core assembly, air is flowing around the core
assembly. In this way, heat is removed from the oil.

After the oil flows through the cores of the transmission oil cooler, the oil flows through the outlet
passage of the core assembly. The oil now has a lower temperature. The cooler oil returns to the
transmission in order to provide lubrication and cooling.

Transmission Lubrication System

Illustration 3 g00757665

The following components are lubricated by pressure in the transmission: forward shuttles, reverse
shuttles, discs, plates and bearings. After the oil has been cooled by the oil cooler, the oil will flow
through an internal passage on the right side of the transmission case and flow to the right end of the
input shaft. The cooled oil flows through the oil passages in the input shaft assembly. The cooled oil
provides lubrication for the bearings, plates, and discs.

Splash lubrication keeps the other gears and bearings oiled. The movement of the gears in the oil
reservoir causes oil to be thrown on all components.

Copyright 1993 - 2019 Caterpillar Inc. Fri Dec 13 21:53:31 UTC+0800 2019
All Rights Reserved.
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Previous Screen

Product: BACKHOE LOADER

Model: 416E BACKHOE LOADER CBD
Configuration: 416E Backhoe Loader Single Tilt Center Pivot CBD00001-UP (MACHINE) POWERED BY 3054C Engine

Systems Operation
414E, 416E, 420E, 422E, 428E, 430E, 432E, 434E, 442E and 444E Backhoe Loaders
Axles, Differential and Brakes
Media Number -RENR6477-02 Publication Date -01/09/2011 Date Updated -12/09/2011

i02986850

Axle (Front)
SMCS - 3282-FR; 4205-FR; 4234-FR; 4303-FR; 4318

S/N - CBD1-UP

S/N - ELB1-UP

S/N - HBE1-UP

S/N - HLS1-UP

S/N - KMW1-UP

S/N - MFG1-UP

S/N - SHA1-UP

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Illustration 1 g01515553

Components of the Front Axle

(1) Two flange assemblies

(2) Two knuckle assemblies

(3) Four kingpins

(4) Two tie rods

(5) Axle Beam

(6) Hydraulic steering cylinder

The front axle consists of the following components: axle beam (5), two flange assemblies (1), two
knuckle assemblies (2), four kingpins (3), two tie rods (4) and hydraulic steering cylinder (6) .

The flange assemblies (1) rotate on the knuckle assemblies (2) with two opposing tapered roller
bearings. Tightening three bolts to a torque of 120 N·m (89 lb ft) adjusts the end play. Two bearings
are pressed into each spindle assembly (2) and assembled onto the axle (5) with kingpins (3).

The hydraulic steering cylinder (6) is bolted to the axle. The steering cylinder is connected to the
arms of the spindles through two adjustable tie rods (4).

Copyright 1993 - 2019 Caterpillar Inc. Fri Dec 13 21:54:50 UTC+0800 2019
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Previous Screen

Product: BACKHOE LOADER

Model: 416E BACKHOE LOADER CBD
Configuration: 416E Backhoe Loader Single Tilt Center Pivot CBD00001-UP (MACHINE) POWERED BY 3054C Engine

Systems Operation
414E, 416E, 420E, 422E, 428E, 430E, 432E, 434E, 442E and 444E Backhoe Loaders
Axles, Differential and Brakes
Media Number -RENR6477-02 Publication Date -01/09/2011 Date Updated -12/09/2011

i03649384

Drive and Steering Axle (Front)

SMCS - 3258; 3259; 3260; 3268; 3278; 4053; 4215; 4303

S/N - BXE1-UP

S/N - CBD1-UP

S/N - DDT1-UP

S/N - EAT1-UP

S/N - ELB1-UP

S/N - GKZ1-UP

S/N - HBE1-UP

S/N - HLS1-UP

S/N - KMW1-UP

S/N - MFG1-UP

S/N - SHA1-UP

S/N - SNL1-UP

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Illustration 1 g01513585

Components of the Front Drive and Steering Axle

(1) Final Drive

(2) Flange

(3) Knuckle assembly

(4) Kingpins

(5) Tie rods

(6) Steering Cylinder assembly

(7) Differential assembly

(8) Axle Housing

The Front Drive and Steering axle consists of the following components: two final drives (1), two
flanges (2), two knuckle assembly (3), four kingpins (4), two tie rods (5), one axle housing (8), one
differential assembly (7) and one steering cylinder assembly (6) .

Steering

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Illustration 2 g01520302

The hydraulic steering cylinder assembly (6) is connected to the knuckle assemblies (3) through two
adjustable tie rods (5). The knuckle assemblies (3) rotate on the axle with opposing tapered roller
bearings in the kingpins (4) .

Differential
Power from the transmission output shaft is transferred to the front axle by the drive shaft and
universal joints. The power enters the front axle through the input flange. The input flange is attached
to the pinion gear. Power is transferred from the pinion gear to the differential ring gear. The
differential ring gear is bolted to the differential .

Power is transferred through the differential by the pinion gears to the side gears. The side gears are
splined to the axle shafts. Refer to Systems Operation, "Differential" for more information about the
differential.

Final Drives

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Illustration 3 g01958687

Typical Final drive and axle

Components of the Final Drive and Axle

(1) Planetary gears

(2) Ring gear

(3) Flange

(4) Housing

(5) Pins

(6) Axle shaft

(7) Universal joint

(8) Sun gear and shaft

(9) Carrier

The power is transferred through the axle shaft (6) and the universal joint (7) to the final drive. The
final drive causes the last speed reduction and the last torque increase in the drive train. The final
drive consists of the following components: the sun gear (8), the carrier (9), the planetary gears (1),
and the ring gear (2). The sun gear (8) is joined to the axle shaft (6) by the universal joint (7). The
ring gear (2) is splined to the housing (4). Four planetary gears (1) are mounted in the carrier (9). The
carrier (9) is bolted to the flange (3). The flange (3) rotates on the housing (4) with two opposing
tapered roller bearings.

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The power is transferred through the sun gear (8) to the planetary gears (1). The planetary gears (1)
revolve around the inside of the ring gear (2). The movement of the planetary gears (1) around the
ring gear (2) causes the carrier (9) and flange (3) to rotate. Power is transferred from the flange (3) to
the wheel.

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Previous Screen

Product: BACKHOE LOADER

Model: 416E BACKHOE LOADER CBD
Configuration: 416E Backhoe Loader Single Tilt Center Pivot CBD00001-UP (MACHINE) POWERED BY 3054C Engine

Systems Operation
414E, 416E, 420E, 422E, 428E, 430E, 432E, 434E, 442E and 444E Backhoe Loaders
Axles, Differential and Brakes
Media Number -RENR6477-02 Publication Date -01/09/2011 Date Updated -12/09/2011

i03649394

Axle (Rear)
SMCS - 3258; 3259; 3264; 3278; 4004

Illustration 1 g01200593

Components of the Rear Axle

(1) Final Drive

(2) Axle Housing

(3) Service Brake

(4) Differential assembly

(5) Parking Brake

Power from the transmission output shaft is transferred to the rear axle by the drive shaft and
universal joints. The power enters the rear axle through the input flange. The input flange is attached

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to the parking brake and the pinion gear. Power is transferred from the pinion gear to the differential
ring gear. The differential ring gear is bolted to the differential .

Differential
Power is transferred through the differential by the pinion gears to the side gears. The side gears are
splined to the axle shafts. Refer to Systems Operation, "Differential" for more information about the
differential.

The axle also contains the differential lock. Refer to Systems Operation, "Differential Lock".

Power is transferred through the differential to the axle shafts. The power passes through service
brakes.

The power enters the final drives. Each final drive has the same components. The final drives cause
the last speed reduction and the last torque increase in the drive train.

Service Brakes

Illustration 2 g01514696

(6) Axle Shaft

(7) Brake Piston

(8) Brake Plates

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(9) Friction Discs

(10) Carrier

The rear axle contains the service brakes. The brake plates (8) are pinned to the brake housing. The
friction discs (9) are splined to the carrier (10) . The carrier (10) is splined to the axle shaft (6). When
the brakes are applied, the brake pistons (7) push the brake plates (8) against the friction discs (9).
This causes friction. The friction causes the wheels to turn at a slower rate or stop. The brake piston
(7) is held in place by the pins. When the brake pedal is released, the springs on the pins force the
brake piston (7) away from the brake plates (8). This releases the brakes on the axle.

Final Drives

Illustration 3 g01514713

Components of the Final Drive and Axle

(1) Carrier

(6) Axle shaft

(11) Flange

(12) Housing

(13) Sun gear and shaft

(14) Ring gear

(15) Planetary gears

The power is transferred through the axle shaft (6) to the final drive. The final drive causes the last
speed reduction and the last torque increase in the drive train. The final drive consists of the
following components: the sun gear (13), the carrier (1), the planetary gears (15), and the ring gear
(14). The sun gear (13) is joined to the axle shaft (6). The ring gear (14) is splined to the housing

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(12). Three planetary gears (15) are mounted in the carrier (1). The carrier (1) is bolted to the flange
(11). The flange (11) rotates on the housing (12) with two opposing tapered roller bearings.

The power is transferred through the sun gear (13) to the planetary gears (15). The planetary gears
(15) revolve around the inside of the ring gear (14). The movement of the planetary gears (15) around
the ring gear (14) causes the carrier (1) and flange (11) to rotate. Power is transferred from the flange
(11) to the wheel.

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Previous Screen

Product: BACKHOE LOADER

Model: 416E BACKHOE LOADER CBD
Configuration: 416E Backhoe Loader Single Tilt Center Pivot CBD00001-UP (MACHINE) POWERED BY 3054C Engine

Systems Operation
414E, 416E, 420E, 422E, 428E, 430E, 432E, 434E, 442E and 444E Backhoe Loaders
Axles, Differential and Brakes
Media Number -RENR6477-02 Publication Date -01/09/2011 Date Updated -12/09/2011

i02991073

Parking Brake Control

SMCS - 4284

S/N - BXE1-UP

S/N - CBD1-UP

S/N - DDT1-UP

S/N - EAT1-UP

S/N - ELB1-UP

S/N - GKZ1-UP

S/N - HBE1-UP

S/N - HLS1-UP

S/N - KMW1-UP

S/N - MFG1-UP

S/N - SHA1-UP

S/N - SNL1-UP

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Illustration 1 g01202508

Illustration 2 g01202517

Parking Brake Lever

(1) Parking brake lever

(2) Release lever for the parking brake lock

The parking brake lever is located on the right side of the seat. Pull the parking brake lever (1)
upward in order to engage the parking brake. Depress the release lever (2) and push the parking brake
lever downward in order to disengage the parking brake.

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The parking brake is located between the drive shaft and the rear axle. The braking force is manually
actuated with a lever and a cable assembly.

Illustration 3 g01202511

Components and location of the parking brake

(3) Brake disc

(4) Cable

(5) Spring

(6) Lever

(7) Caliper

(8) Brake linings

The caliper (7) is bolted to the rear axle. The brake disc (3) is attached to the pinion in the rear axle.
The brake disc (3) rotates within the caliper (7) .

When the parking brake is engaged, the cable (4) pulls on lever (6). The lever (6) rotates. The lever
(6) is attached to a cam which forces the brake linings (8) against the brake disc (3) .

When the parking brake is disengaged, the spring (5) assists the cable (4) and the cable (4) returns the
lever (5) to the disengaged position. This releases the brake linings (7) from the brake disc (3).

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Previous Screen

Product: BACKHOE LOADER

Model: 416E BACKHOE LOADER CBD
Configuration: 416E Backhoe Loader Single Tilt Center Pivot CBD00001-UP (MACHINE) POWERED BY 3054C Engine

Systems Operation
414E, 416E, 420E, 422E, 428E, 430E, 432E, 434E, 442E and 444E Backhoe Loaders
Axles, Differential and Brakes
Media Number -RENR6477-02 Publication Date -01/09/2011 Date Updated -12/09/2011

i02407372

Service Brake Control

SMCS - 4257; 4258; 4291

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Illustration 1 g01202676

Brake Pedals

(1) Left brake pedal

(2) Right brake pedal

(3) Lock bar

(4) Control valve

(5) oil reservoir

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Illustration 2 g01202678

Brake Pedals

(1) Left brake pedal

(2) Right brake pedal

(3) Lock bar

(4) Control valve

(5) oil reservoir

The service brake control consists of a control valve (4), two control pedals (1) and (2) with a lock
bar (3), and a oil reservoir (5) .

The left brake pedal (1) controls the left side of service brake control valve and the left rear
brakes. The right brake pedal (2) controls the right side of service brake control valve and the right

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rear brakes. The left and right brake pedals are connected together by the lock bar (3). The lock
bar (3) allows both brake pedals to be applied together.

Unlock the lock bar (3) to aid in maneuvering in tight quarters. Unlock the lock bar (3) in first
gear only. Use the brake pedals with the steering wheel in order to make sharp turns. Use the left
brake pedal to help with sharp left turns. Use the right brake pedal to help with sharp right turns.

Supply oil from the reservoir enters the service brake control valve through the supply port. When
the operator depresses one brake pedal, oil is sent from one side of the valve to the same side
service brake.

The rear axle contains the service brakes. Refer to Systems Operation, "Axle (Rear)" and Systems
Operation, "Drive and Steering Axle (Rear)" for more information on the service brakes.

The brake pedal travel determines the force that is exerted by the brake piston. The braking force
increases as the travel of the brake pedal increases. When the operator releases the brake pedal, the
oil pressure to the service brake is released.

Copyright 1993 - 2019 Caterpillar Inc. Fri Dec 13 21:58:37 UTC+0800 2019
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Previous Screen

Product: BACKHOE LOADER

Model: 416E BACKHOE LOADER CBD
Configuration: 416E Backhoe Loader Single Tilt Center Pivot CBD00001-UP (MACHINE) POWERED BY 3054C Engine

Systems Operation
414E, 416E, 420E, 422E, 428E, 430E, 432E, 434E, 442E and 444E Backhoe Loaders
Axles, Differential and Brakes
Media Number -RENR6477-02 Publication Date -01/09/2011 Date Updated -12/09/2011

i03649492

Differential
SMCS - 3258

S/N - BXE1-UP

S/N - CBD1-UP

S/N - DDT1-UP

S/N - EAT1-UP

S/N - ELB1-UP

S/N - GKZ1-UP

S/N - HBE1-UP

S/N - HLS1-UP

S/N - KMW1-UP

S/N - MFG1-UP

S/N - SHA1-UP

S/N - SNL1-UP

Differential (Front)

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Illustration 1 g01020286

Standard Differential for the Front Axle

(2) Differential ring gear

(3) Pinion gear

(9) Differential case

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Illustration 2 g01020289

Standard Differential for the Front Axle

(4) side gear

(6) side gear

(7) Spider Gears

(9) Differential case

(10) Gear Shafts

A differential divides the power that is sent to the wheels or a differential causes a balance of the
power that is sent to the wheels. A differential allows one wheel to turn at a slower rate than the
other wheel.

When the machine moves in a straight direction with the same amount of traction under each drive
wheel, the same amount of torque on each axle holds the spider gears. This is done so that the
spider gears do not turn on the gear shafts (10). The pinion gear (3) turns the differential ring gear
(2). The differential ring gear (2) is bolted to the differential case (9). The differential case (9)
turns the gear shafts (10). The gear shafts (10) turn the side gear (4) and the side gear (6) through
the spider gears (7). The spider gears (7) do not turn on the gear shafts (10). The side gears turn
the left axle and the right axle. The same amount of torque is sent through the final drives to each
wheel. This provides the same effect as having both drive wheels on the same axle shaft.

When the machine is in a turn, the inside wheel is more resistant than the outside wheel to the
turn. This resistance causes different torques on the opposite sides of the differential. The outside
wheel turns more easily than the inside wheel. The outside wheel begins to turn faster than the
inside wheel. The pinion gear (3) turns the differential ring gear (2). The differential ring gear (2)
is bolted to the differential case (9). The differential case (9) turns the spider gears (7). The spider
gears (7) turn the side gear (4) and the side gear (6). One side gear requires more force than the
other side gear in order to turn. This causes spider gears (7) to turn around the gear shafts (10). As
the spider gears turn, the spider gears move around the side gears. This allows the outside wheel to
turn faster than the inside wheel. The same amount of torque is sent through the final drives to

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both the inside wheels and to the outside wheels. This torque is only equal to the amount of torque
that is necessary to turn the outside wheel.

When one wheel has more traction than the other wheel, the operation of the differential is
identical to the operation of the differential during a turn. The same amount of torque is sent to
both wheels. This torque is only equal to the amount of torque that is necessary to turn the wheel
with the least resistance.

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Previous Screen

Product: BACKHOE LOADER

Model: 416E BACKHOE LOADER CBD
Configuration: 416E Backhoe Loader Single Tilt Center Pivot CBD00001-UP (MACHINE) POWERED BY 3054C Engine

Systems Operation
414E, 416E, 420E, 422E, 428E, 430E, 432E, 434E, 442E and 444E Backhoe Loaders
Axles, Differential and Brakes
Media Number -RENR6477-02 Publication Date -01/09/2011 Date Updated -12/09/2011

i02990069

Differential
SMCS - 3258

Differential (Rear with Differential Lock)

Illustration 1 g01515163

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238-5298 Axle Housing Gp and 216-7478 Axle Housing Gp

(1) Pinion gear

(2) Spider gears

(3) Differential ring gear

(4) Side Gear

(5) Differential Case

(6) Side Gear

(7) Gear shafts

Illustration 2 g01515167

238-5289 Axle Housing Gp

(1) Pinion gear

(2) Spider gears

(3) Differential ring gear

(4) Side Gear

(5) Differential Case

(6) Side Gear

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(7) Gear shafts

A differential divides the power that is sent to the wheels or a differential causes a balance of the
power that is sent to the wheels. A differential allows one wheel to turn at a slower rate than the other
wheel.

When the machine moves in a straight direction with the same amount of traction under each drive
wheel, the same amount of torque on each axle holds the pinions. This is done so that the spider gears
do not turn on the gear shaft. The pinion gear (1) turns the differential ring gear (3). The differential
ring gear (3) is bolted to the differential case (5). The differential case (5) turns the gear shafts (7).
The gear shafts (7) turn the spider gears (2). The spider gears (2) turn the side gear (4) and the side
gear (6). The side gears turn the left axle and the right axle. The same amount of torque is sent
through the final drives to each wheel. This provides the same effect as having both drive wheels on
the same axle shaft.

When the machine is in a turn, the inside wheel is more resistant than the outside wheel to the turn.
This resistance causes different torques on the opposite sides of the differential. The outside wheel
turns more easily than the inside wheel. The outside wheel begins to turn faster than the inside wheel.
The pinion gear (1) turns the differential ring gear (3). The differential ring gear (3) is bolted to the
differential case (5). The differential case (5) turns the gear shafts (7). The gear shafts (7) turn the
side gear (4) and the side gear (6) through the spider gears (2). One side gear requires more force than
the other side gear in order to turn. This causes spider gears (2) to turn around the gear shafts (7). As
the spider gears turn, the spider gears move around the side gears. This allows the outside wheel to
turn faster than the inside wheel. The same amount of torque is sent through the final drives to both
the inside wheels and to the outside wheels. This torque is only equal to the amount of torque that is
necessary to turn the outside wheel.

When one wheel has more traction than the other wheel, the operation of the differential is identical
to the operation of the differential during a turn. The same amount of torque is sent to both wheels.
This torque is only equal to the amount of torque that is necessary to turn the wheel with the least
resistance.

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Previous Screen

Product: BACKHOE LOADER

Model: 416E BACKHOE LOADER CBD
Configuration: 416E Backhoe Loader Single Tilt Center Pivot CBD00001-UP (MACHINE) POWERED BY 3054C Engine

Systems Operation
414E, 416E, 420E, 422E, 428E, 430E, 432E, 434E, 442E and 444E Backhoe Loaders
Axles, Differential and Brakes
Media Number -RENR6477-02 Publication Date -01/09/2011 Date Updated -12/09/2011

i03649533

Differential Lock - If Equipped

SMCS - 3264

NOTICE

To prevent damage to the differential, do not engage the differential

lock at high speeds.

In areas of high resistance, it may be necessary to turn the machine

slightly in order to aid in unlocking the differential lock. Decreasing
the engine rpm may also be helpful.

During operation on a soft area of ground, wheel slippage can occur. The machine may slow
considerably, or the machine may stop completely. The differential transfers most of the power to the
spinning wheel while the opposite wheel may be on firm ground. With the differential lock, improved
traction is possible because the differential lock enables the wheel on firm ground to obtain power.
The machine is able to pull through a soft area of ground because of this additional traction.

The differential for the axle has an arrangement which allows the differential to be locked and the
mechanism enables the axle shafts to be locked together. Both wheels will then rotate at the same
speed. The torque will depend on the different ground resistance between the wheels. The torque that
goes to each wheel is based on the amount of traction at each wheel.

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Illustration 1 g01202933

(1) differential lock switch

The differential lock is controlled by a foot switch (1) that is located on the floor of the operator
station.

The differential lock is controlled in the following way:

• The differential lock is engaged by oil pressure when the foot switch is activated.

• The differential lock is disengaged automatically when the torque equalizes between the
wheels.

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Illustration 2 g01515174

Solenoid valve for Autoshift

(2) Solenoid valve

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Illustration 3 g01515177

Solenoid valve for Manual shift

(2) Solenoid valve

The foot switch for the differential lock control (1) operates a solenoid valve (2). Oil is supplied to
the solenoid valve from the charge pump for the transmission.

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Illustration 4 g01515183

Differential lock actuator

(3) Spring

(4) Spring

(5) Shaft

(6) Fork

(7) Piston

Fork (6) is located on shaft (5) in the differential housing. When the switch on the floor of the
operator compartment is pressed oil pressure is supplied to the solenoid valve (2). Oil pressure from
the solenoid valve (2) exerts pressure on piston (7). The piston moves the shaft (5) and the fork (6)
against springs (3) and (4).

Illustration 5 g01515278

Differential lock

(6) Fork

(8) Collar

(9) Slots

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(10) Side gear

Fork (6) moves collar (8) axially across the differential. Four pins that are located in the collar engage
in slots (9) in side gear (10) of the differential in order to engage the differential lock.

In normal operation, the differential is unlocked and the axle shafts are free to rotate at different
speeds. The wheel speed is governed by the resistance at the wheel.

Fork (6) and collar (8) are held clear of the differential by springs (3) and (4) when the differential is
unlocked.

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Previous Screen

Product: BACKHOE LOADER

Model: 416E BACKHOE LOADER CBD
Configuration: 416E Backhoe Loader Single Tilt Center Pivot CBD00001-UP (MACHINE) POWERED BY 3054C Engine

Systems Operation
414E, 416E, 420E, 422E, 428E, 430E, 432E, 434E, 442E and 444E Backhoe Loaders
Machine Systems
Media Number -RENR6488-05 Publication Date -01/07/2011 Date Updated -26/09/2011

i03011806

General Information
SMCS - 1400; 7000-EK

The FNR Shift Handle - Autoshift and the FNR Shift Handle consist of one main electronic control
module (ECM) and the shift handle. The system consists of the Machine Electronic Control Module
(ECM) and the shift handle. The Machine ECM energizes six solenoids for Autoshift and two
solenoids for standard shift that control the speed and the direction of the transmission. The system
automatically selects the transmission gear in response to the speed of the machine in the AUTO
mode. This provides the most efficient operation that is within the maximum limit of the gear that is
selected. The shift lever control module is the operator interface. The lever is used in order to request
a speed and a direction. The shift handle communicates over the Cat Data Link to the Machine ECM.

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Illustration 1 g01240227

Components of the machine control system

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Illustration 2 g01244753

FNR Shift Handle - Autoshift

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Illustration 3 g01240230

FNR Shift Handle

The machine electronic control module shifts the transmission. The following components are used
by the control module:

• Transmission Speed Sensor

• Shift Lever - FNR Autoshift or FNR

• Switches

• Output Drivers

The electronic models of the backhoe loader shall have two physical transmission configurations:

• Standard Shift with On/Off, electronic control over the mechanically modulated forward and
reverse clutches. mechanical gear selection.

• Five (5) Speed AutoShift - On/Off, electronic control over the forward high, forward low,
reverse and three speed clutch solenoids, & transmission output speed sensor (needed for shift
points.)

The standard shift configuration shall use a column mounted FNR shuttle handle while the Autoshift
configuration shall use the column mounted CDL twist grip shift lever.

The transmission system reads several inputs to control transmission gear, direction, and shifting. The
transmission's electronic control system consists of the following components:

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• Machine Electronic Control Module

• Auto/Manual Switch

• Neutral Lock Switch

• Shift Lever Control Module - FNR Autoshift or FNR

• Neutralizer/Downshift Switch

• Parking Brake Switch

• Transmission Speed Sensor

• Transmission Solenoids

• Ride Control Switch ( 416E, 420E, 422E, 428E, 430E, 434E, and 442E models)

• Ride Control Disable Switch ( 416E, 420E, 422E, 428E, 430E, 434E, and 442E models)

• Ride Control Relay ( 416E, 420E, 422E, 428E, 430E, 434E, and 442E models)

In the FNR Shift Handle - Autoshift the switches, the sensors and the shift lever provide input to the
machine electronic control module. The control module processes the information. The control
module then activates the appropriate transmission solenoids.

The FNR Shift Handle contains electronics. The electronics communicate the direction and the gear
that is selected to the Machine ECM.

Actuation of the neutralizer/downshift switch will signal the Machine ECM to neutralize the
transmission. When the transmission is neutralized, only the speed clutch solenoid is active. The
speed clutch solenoid and the direction solenoid must be energized in order to place the machine in
gear.

Copyright 1993 - 2019 Caterpillar Inc. Fri Dec 13 22:02:46 UTC+0800 2019
All Rights Reserved.
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Shutdown SIS

Previous Screen

Product: BACKHOE LOADER

Model: 416E BACKHOE LOADER CBD
Configuration: 416E Backhoe Loader Single Tilt Center Pivot CBD00001-UP (MACHINE) POWERED BY 3054C Engine

Systems Operation
414E, 416E, 420E, 422E, 428E, 430E, 432E, 434E, 442E and 444E Backhoe Loaders
Machine Systems
Media Number -RENR6488-05 Publication Date -01/07/2011 Date Updated -26/09/2011

i02468376

Features
SMCS - 1400; 7000-EK

Normal Operation
The Machine ECM receives the operator's requested speed for and direction from the FNR Shift
Handle - Autoshift over the Cat Data Link. The FNR Shift Handle for standard shift uses switch
inputs to control the transmission.

The control module will direct the operation of the transmission's solenoids when the following
prerequisites are established. The shift lever is communicating to the control module and the control
module has received the gear information.

The Machine ECM actions are based on the status of the following components:

• Auto/Manual Switch

• Neutral Lock Switch

• Shift lever control module - FNR Autoshift or FNR

• Neutralizer/Downshift Switch

• Parking Brake Switch

• Ride Control Switch ( 416E, 420E, 422E, 428E, 430E, 434E, and 442E models)

The autoshift transmission is controlled by a twist handle. The handle is located on the shift lever
control module. The autoshift twist handle has four positions.

High Speed Directional Shift

No precaution is taken when the machine's direction is shifted by autoshift. If you shift from the fifth
gear forward to the third gear reverse, the transmission will shift to third gear reverse.

Power Up

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When the Machine ECM is energized, the transmission is placed in neutral. This is done regardless of
the shift lever's position. Prior to travel, the shift lever must pass through the NEUTRAL position.
The transmission will remain in neutral until this has been accomplished.

Neutral Start

The shift lever control module should be in the NEUTRAL position when the key is turned to the ON
position. The lever must pass through the NEUTRAL position before a direction can be selected.

Modes of Operation

The FNR Shift Handle - Autoshift has an automatic shift function and a manual shift function.

Ride Control

Illustration 1 g01239788

Ride control circuit

Ride Control Switch: This switch provides two inputs to the Machine ECM.

• "Ride control automatic operation"

• "Ride control ON"

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• "Ride control OFF"

A three-position switch enables or disables ride control. In the held middle OFF position, the ride
control function is disabled. The ON position is held-on when Loader Load Lock is not installed on
the machine. The ON position is full ON when Load lock is installed on the machine and is to
provide dead engine lower capability. In both cases, in the ON position the ride control solenoid is
always enabled. In the held AUTO position, the ride control function activates the ride control
solenoid valve when the ground speed is greater than a set limit. The ride control solenoid valve is
deactivated when the ground speed is at least 1 kph less than the set limit. The default set limit for
AUTO is 9 kph. Caterpillar Electronic Technician (ET) will be used to change the set limit. For the
purpose of calculating ground speed a nominal tire radius of 635 mm shall be used. A pressure switch
is placed in series with the ride control relay that controls the solenoid such that when there is
pressure on the rod end of the lift cylinder the solenoid driver circuit is open circuited. This prevents
ride control from being engaged when there is a load on the rod end such as when the loader is being
used as a stabilizer. This and the fact that using a relay driver prevents diagnostics from being
performed on the ride control solenoid circuit.

Note: Whenever the ride control solenoid is activated, the loader lock bypass solenoid (if installed)
must also be activated so that lift arm motion can occur. Ride control on the 416, 422, and 428
mechanical machines is ON/OFF by electrical means only. These machines are not offered with both
Ride Control and Loader Lock valves. Switches on these machines have no AUTO position, and both
ON & OFF positions are held.

Ride Control Disable: A pressure switch within the rod end of the lift cylinder is used in order to
sense when the loader is applying a downward force. The switch deactivates at 3000 ±150 kPa. The
control module will disable the ride control function by de-energizing the ride control relay.

Ride Control Enable: A pressure switch within the rod end of the lift cylinder is used in order to
sense when the loader is applying a downward force. The switch is activated at 3500 kPa Max. The
control module will enable the ride control function by energizing the ride control relay. The ride
control enable input is activated by the operator and sent to the Machine ECM. The ride control will
be enabled when this input has +battery voltage.

Parking Brake
The parking brake uses the following components:

• Machine Electronic Control Module

• Parking Brake Switch

• In−Gear Relay

• Parkin Brake Indicator

The parking brake switch alerts the Machine ECM of the status of the parking brake. The brake can
be applied or the brake can be released.

The machine will remain in neutral under the following conditions. The parking brake is applied and
the machine is placed in gear. The machine is in gear and you apply the parking brake.

The shift lever must be shifted back to the NEUTRAL position and the parking brake released in
order to resume normal operation.

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Parking Brake Drive Through Operation: The parking brake is applied and the shift lever is in the
NEUTRAL position. First shift the machine into gear. Next shift the machine back into the
NEUTRAL position. Then within 3 seconds, shift the machine back into gear. The machine will be
placed into gear. The in−gear relay will energize. A parking brake abuse event will be logged in the
control module. Releasing the parking brake will silence the alarm. This leaves the machine in
normal operation. The alarm is also silenced when the machine is in neutral.

Transmission Auto/Manual Switch

The Transmission auto/manual switch supplies 2 switch to ground inputs. The inputs are used in
order to select the automatic shift function or the manual shift function of the FNR Shift Handle -
Autoshift. The switch has diagnostic capabilities.

When auto/manual input "auto" is to ground and auto/manual input "man" is open the automatic
mode is selected. When auto/manual input "auto" is open and auto/manual input "man" is to ground
the manual mode is selected.

If the inputs are identical (both open or both ground) for a minimum of five seconds, a diagnostic
fault is logged. The machine will default to the manual shift function. When the auto/manual switch
is used, the shift lever does not need to first pass through the NEUTRAL position to make the switch
from Auto to Manual or from Manual to Auto.

Neutral Lock
When the neutral lock switch is depressed, the feature holds the machine in neutral. The switch
signals the transmission control to ignore shift lever's position. Depressing the switch signals the
control module to ignore the shift lever. All of the transmission solenoids remain inactive. This holds
the machine in neutral.

The machine's neutral lock uses the following components:

• Machine Electronic Control Module

• Neutral Lock Switch

If the neutral lock switch is depressed and the machine is in gear, the control module will
immediately shift the machine into neutral. The transmission will remain in neutral until the shift
lever is returned to the NEUTRAL position and the neutral lock is turned off.

When the neutral lock switch is closed to ground the transmission is placed in neutral regardless of
the state of the shift lever. The transmission remains in neutral until the neutral lock switch is opened
and the shift lever is placed in neutral. This must happen before the machine is placed in gear.

Copyright 1993 - 2019 Caterpillar Inc. Fri Dec 13 22:03:43 UTC+0800 2019
All Rights Reserved.
Private Network For SIS Licensees.

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Shutdown SIS

Previous Screen

Product: BACKHOE LOADER

Model: 416E BACKHOE LOADER CBD
Configuration: 416E Backhoe Loader Single Tilt Center Pivot CBD00001-UP (MACHINE) POWERED BY 3054C Engine

Systems Operation
414E, 416E, 420E, 422E, 428E, 430E, 432E, 434E, 442E and 444E Backhoe Loaders
Machine Systems
Media Number -RENR6488-05 Publication Date -01/07/2011 Date Updated -26/09/2011

i02468381

Location of Electrical Components

SMCS - 1400; 7000-EK

Illustration 1 g01240244

(1) Parking Brake Indicator

(2) High Beam & Right Turn Indicator

(3) Hazard Switch

(4) Turn Indicator/Lights/Wiper Control Lever

(5) Transmission Control Lever

The front of the cab includes the features described below.

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The left turn and parking brake indicator (1) are located at the left side of the steering console. To
the right is the high beam and right turn indicators (2). Also located on the steering console is the
hazard switch (3). On the right side of the steering column is the turn signal/lights/wiper control
lever (4). The transmission control lever (5) is on the left of the steering column.

Illustration 2 g01240250

(1) Differential Lock Switch

(2) Left Brake Pedal

(3) Right Brake Pedal

(4) Steering Column Tilt Lever

(5) Accelerator Pedal

On the floor of the cab in front of the operator seat is the differential lock switch (1). Below the
steering column are the left brake pedal (2) right brake pedal (3), steering column tilt lever (4), and
the accelerator pedal (5 ). A large storage compartment is located below the front dash.

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Illustration 3 g01240257

(1) Quick Coupler Switch

(2) Continuous Loader Flow Switch

(3) Electric Supply Washer/Sprayer Switch

(4) Transmission Neutral Switch

(5) Electric Supply Broom Angle Switch

(6) All Wheel Drive Switch

(7) Service Hour Meter

Illustration 4 g01240264

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(1) Autoshift Switch

(2) Ride Control Switch

(3) Roading Lights Switch (if equipped)

(4) Horn Switch (if equipped)

(5) All Wheel Steer Control Switch (if equipped)

(6) All Wheel Steer Indicators (if equipped)

Illustration 5 g01240265

(1) Loader Joystick

(2) Parking Brake Lever

(3) Switch Panel

(4) Gauge Cluster

(5) Governor Lever

(6) Left Stabilizer Control Lever

(7) Right Stabilizer Control Lever

(8) Boom Lock Lever

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Illustration 6 g01240266

(1) Key Start Switch

(2) Engine Coolant Temperature Gauge

(3) Torque Converter Temperature Gauge

(4) Fuel Level Gauge

(5) Tachometer Gauge

(6) Indicator Panel

(7) Starting Aid

(8) Rotating Beacon

(9) Rear Fog Light (if equipped)

(10) Spare (if equipped)

(11) Rear Wiper and Washer

(12) Implement Lockout

(13) Heater A/C

(14) Front Flood Lights

(15) Temperature Control Knob

(16) Rear Flood Lights

(17) Fan Speed

(18) Sideshift Control Switch for Powered Sideshift (if equipped)

(19) Continuous Backhoe Flow Switch

The right console contains the key start switch (1) located to the left of the gauge cluster. The
gauge cluster includes the engine coolant temperature gauge (2), torque converter outlet

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temperature gauge (3), fuel level gauge (4), and tachometer gauge (5). The indicator panel (6) is in
the center of the gauge cluster. Below the gauge cluster are the following switches:

• Starting Aid

• Rotating Beacon

• Rear Fog Light (if equipped)

• Spare (if equipped)

• Rear Wiper and Washer

• Implement Lockout

• Heater A/C

• Front Flood Lights

• Temperature Control Knob

• Rear Flood Lights

• Fan Speed

• Sideshift Control Switch (if equipped)

• Continuous Backhoe Flow Switch (if equipped)

Illustration 7 g01240267

(1) Loader Joystick

(2) Thumbwheel Switch

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(3) Parking Brake Release Lever

The loader joystick (1) with a pilot controlled loader valve are shown. With a pilot controlled
loader valve, the joystick also includes a thumbwheel switch (2) that controls the auxiliary
functions. Also located on the front of the joystick is the transmission neutralizer and downshift
switch (not visible). The parking brake release lever (3) is located at the front of the parking brake
lever.

Illustration 8 g01240268

(3) Parking Brake Release Lever

(4) Loader Joystick

(5) Transmission Neutralizer Switch

The loader joystick (4) with a mechanically controlled loader valve are shown. With a
mechanically controlled loader control valve, an auxiliary control lever (not shown) would be
located between the joystick (4) and parking brake lever (3). Also located on the front of the
joystick is the transmission neutralizer switch (5). The parking brake release lever is located at the
front of the parking brake lever.

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Illustration 9 g01240270

(1) Backhoe Joysticks

(2) Boom Lock Lever

(3) Pilot Control Pod Lever

The backhoe joysticks (1) with a pilot controlled backhoe valve are shown. The left pilot joystick
is equipped with thumbswitches to control the auxiliary functions (if equipped) and a horn switch.
The right joystick is equipped with a thumbswitch to control the Extendable-Stick (if equipped) or
a hammer (if installed). The boom lock lever (2) locks the boom in place for machine travel. The
pilot control pod lever (3) allows adjustment of the pilot lever pods.

Illustration 10 g01240285

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(4) Backhoe Joysticks

The backhoe joysticks (4) with a mechanically controlled backhoe valve are shown.

The joystick default pattern is the excavator pattern. An alternate backhoe pattern can be selected
using the joystick pattern switch (not visible) located to the right of the operator's seat (when
facing toward rear).

The joystick excavator pattern is:

Table 1
Left Joystick Right Joystick
Forward: Stick Out Forward: Boom Lower
Rear: Stick In Rear: Boom Raise
Right: Swing Right Right: Bucket Dump
Left: Swing Left Left: Bucket Close

The joystick backhoe pattern is:

Table 2
Left Joystick Right Joystick
Forward: Boom Lower Forward: Stick In
Rear: Boom Raise Rear: Stick Out
Right: Swing Right Right: Bucket Dump
Left: Swing Left Left: Bucket Close

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Illustration 11 g01240287

(1) Joystick Pattern Switch

The joystick pattern switch (1) is located to the right of the operator's seat (when facing toward
rear). Also located next to the joystick pattern switch is a storage compartment.

Illustration 12 g01240288

(1) Joystick Pattern Switch

(2) Joystick Pattern Decal

The joystick pattern switch (1) controls two solenoids that allow the backhoe controls to change
from an excavator to a backhoe control patter. Press the top of the switch to select the excavator
patter. Press the bottom of the switch to select the backhoe pattern.

Note: A decal (2) illustrates the joystick pattern options.

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Illustration 13 g01240354

(1) 12 Volt Power Port

(2) Cat ET Connector

(3) Fuse Panel

Located inside the door on each side of the machine are 12 volt power ports (1). Also located
inside the right door is the Cat Electronic Technician (ET) connector (2) and the fuse panel (3).
The fuse panel cover has been removed in 13.

Illustration 14 g01240289

(1) 12 Volt Power Port

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Located inside the door on each side of the machine are 12 volt power ports (1) .

Note: The 12 volt power port on the left side of the machine is not available on the
416E/422E/428E machines.

Illustration 15 g01240290

(1) Fuse Panel

(2) Fuse Panel Cover

(3) Decal

The fuse panel (1) is shown with the cover (2) removed. The fuse panel includes a decal (3) that
lists the machine fuses and relays.

Note: There are six fuses (not visible) for the three power relay modules. The fuses are located
next to the fuse panel. Part of the console must be removed to access the power relay module
fuses.

Copyright 1993 - 2019 Caterpillar Inc. Fri Dec 13 22:04:39 UTC+0800 2019
All Rights Reserved.
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Shutdown SIS

Previous Screen

Product: BACKHOE LOADER

Model: 416E BACKHOE LOADER CBD
Configuration: 416E Backhoe Loader Single Tilt Center Pivot CBD00001-UP (MACHINE) POWERED BY 3054C Engine

Systems Operation
414E, 416E, 420E, 422E, 428E, 430E, 432E, 434E, 442E and 444E Backhoe Loaders
Machine Systems
Media Number -RENR6488-05 Publication Date -01/07/2011 Date Updated -26/09/2011

i02585753

Electrical Input Components

SMCS - 1400; 7000-EK

Switches
Switches provide information to the ECM. Switches are two state devices. The switches are either
open or the switches are closed.

Closed - The switch closes the circuit to ground or the switch closes the circuit to the battery.

Open - the switch opens a circuit to the ECM input.

Key Start Switch

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Illustration 1 g00927534

When the key start switch is in the ON position, electrical power from the batteries is supplied to
the electronic control modules.

When the key start switch is in the START position and the conditions for starting the engine are
satisfied, the start relay is energized.

Transmission Lock Switch

Illustration 2 g01230290

When the transmission disable switch is in the locked position, the transmission will be locked
(neutralized). In the unlocked position the transmission will be unlocked (enabled).

If the transmission disable switch is placed in the locked position while the transmission is in
neutral, direction shifts out of neutral are inhibited. If the transmission disable switch is set to the
locked (neutralized) position while the transmission is in any forward or reverse speed range, the
transmission is shifted to neutral. The transmission will remain in neutral until the operator moves
the shifter into neutral and out of neutral into forward or reverse after the transmission disable
switch is placed in the unlocked (enabled) position.

Conversely, if the transmission disable switch is set to the unlocked (enabled) position, the
operator will have full control over the transmission.

Auto Manual Shift Switch

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Illustration 3 g01230321

Illustration 4 g01245023

The Autoshift transmission shall provide two operator selectable modes of operation as described
below.

When the machine is in Autoshift mode, as selected by the Auto/Manual Switch, the control
system automatically selects transmission gear in response to transmission output speed to provide
the most efficient machine operation within the operator selected maximum gear limit. The
maximum gear limit is set by the twist grip on the shift lever. If the maximum Forward Gear is
configured as 5 then 5th gear can be reached by placing the shift lever in the 4th gear position and
achieving the 5th gear upshift point while in Autoshift mode. The transmission will only shift
automatically down to 2nd gear by default. If the First Gear Autoshift Enable Status parameter is
configured as First Gear Enabled in Caterpillar Electronic Technician (ET) then the system will

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automatically downshift all the way down to 1st gear. In this mode the downshift / neutralizer
switch must be used to downshift to 1st gear. In autoshift mode the downshift functionality will
allow a downshift in any gear. The transmission will remain in the new gear for a minimum of 5
seconds; the control will then monitor the autoshift point to determine when to upshift to the next
gear.

When in Manual mode, the transmission is placed in the gear (1-4) selected by the operator
through the column mounted twist grip regardless of machine ground speed. 5th gear is not
selectable when in manual mode. In manual mode, the transmission downshift / neutralizer switch
does not allow any downshifts. The transmission system shall provide configurable parameters for
transmission type. Transmission type enables the ECM to properly diagnose system faults. This
information will be configurable in the machine control via ET.

Implement Disable Switch

Illustration 5 g01230308

The implement disable switch disables the pilot and electro-hydraulics on the machine. The
iplement Disable switch signals to the machine ECM. When the top of the switch is pressed,
implements funtion normally. When the bottom of the implement disable switch is pressed,
implements are disabled.

Loader Quick Coupler Pins Switch

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Illustration 6 g01230677

A rocker switch, spring centered and momentary in either direction is used to activate this
function. The lower side of the switch is pressed to engage the coupler pins, and the upper side is
to disengage the pins. Additionally, there is a red slide on the switch that must be pulled down
before the switch can be rocked upwards. Hydraulic operation – The front coupler pins are driven
by a double acting hydraulic cylinder. Hydraulic flow for quick coupler is directed to the cylinder
from the front auxiliary hydraulic circuit, via a 2-position, 6-way solenoid operated valve. The
solenoid valve is spring loaded in the position that directs flow to the normal auxiliary circuit.

When the operator moves the coupler switch to engage or disengage the coupler pins, the
following should occur:

• Turn off the continuous auxiliary function, if on.

• Energize the diverter valve, to direct flow to the quick coupler cylinder.

• Activate the auxiliary function, in one direction to engage pins or the opposite to disengage,
to 30 percent command.

Note: The command value should be adjustable by engineers during PD, to be a set value in
production.

When the coupler switch is then centered:

• Neutralize the auxiliary circuit.

• De-energize the diverter solenoid.

• DO NOT reengage continuous flow auxiliary automatically.

• Require that the auxiliary slider be centered before reacting to any input on this function

Continuous Flow Switch

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Illustration 7 g01230321

The auxiliary hydraulics system will have the capability of allowing the operator to request
continuous flow of the system without having to maintain activation of the auxiliary hydraulics
input. To activate continuous flow the operator will actuate the auxiliary hydraulic circuit to
obtain the desired flow rate. Once the operator has obtained the desired flow rate the momentary
continuous flow switch should be actuated and released to provide a switch to ground input to the
ECM. The operator can then release the auxiliary hydraulics actuator and the flow rate will remain
on. To turn continuous flow off, the operator must either actuate a front auxiliary hydraulics input
on the joystick handle, the quick coupler switch, the implement disable switch or the continuous
flow switch. Diagnostics will be performed on the continuous flow switch when the installation
configurable is set to INSTALLED.

Brake Fluid Level Switch

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Illustration 8 g01237097

The level switch will warn the operator when the oil pressure in the engine drops below the
deactuation pressure of the pressure switch.

When the sensing device provides a ground signal, to the LED panel and ECM, indicating the
brake fluid level / pressure is low the indicator on the LED panel will be illuminated. If the engine
is running when this occurs a level 3 warning shall be issued and an event logged. If the engine is
not running when this occurs then only a level 1 warning shall be issued and no event shall be
logged.

Air Filter Switch

When a grounded input signal is received into the ECM indicating that the air filter restriction
switch has been activated the indicator will be turned on. After a 5 minute debounce, a level 1
event will be logged.

Coolant Temperature Switch

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This level 2 event is logged when the temperature is hot enough to activate the engine coolant
temperature switch (> 113° C) for 3 seconds.

The engine coolant temperature shall be read into the engine coolant temperature gauge. The range
of values on the gauge shall be from 49°C to 127°C with a red line indication at 113° C and the
normal range defined by a mark at 88°C.

Hydraulic Oil Filter Bypass Switch

Illustration 9 g01230565

This level 1 event is logged when the Hydraulic Oil Filter Bypass is detected and the hydraulic oil
temperature is greater than 42 degrees Celsius for a debounce time of 10 seconds.

The pressure switch has a plunger inside the switch that closes the contacts with an acceptable
pressure drop across the screen. The pressure switch grounds the signal circuit during normal
operation. The pressure switch plunger moves in order to allow the pressure switch contacts to
open. The pressure switch contacts open when pressure across the screen is greater than the
specified value. If the screen is restricted the open pressure switch sends a signal to the ECM. The
ECM informs the operator that the screen is restricted or dirty. The normal state of a pressure
switch that is not installed is normally open. With a PSI between 40 to 44 PSI, the switch will
remain closed. When the PSI is at 30 PSI as a minimum, the switch will remain open. The circuit
for the switch is normally open. The bypass valve will open in order to protect the system if the
filter is restricted. The bypass switch provides an input signal to the ECM. The ECM determines if
the filter is restricted and the ECM informs the Caterpillar Electronic Technician.

Engine Oil Pressure Switch

This level 3 event is logged when the engine oil pressure is low enough to activate the engine oil
pressure switch for 3 seconds and the engine is detected to be running (Engine speed => 400
RPM). If the engine is not running (Engine speed < 400 RPM) then this shall be displayed as a

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level 1 event but not logged. The signal contact for the engine oil pressure switch connects to the
ECM at contact J2-28.

This switch is a pushbutton switch that monitors the output of the engine oil. The pressure switch
will warn the operator when the oil pressure in the engine drops below the deactuation pressure of
the pressure switch.

Transmission Neutralizer Switch

Illustration 10 g00581331

The purpose of this feature is to allow the operator to quickly and easily downshift or temporarily
neutralize the Autoshift transmission. The neutralizer switch is used to both downshift the
transmission and to neutralize the transmission. The transmission is neutralized while the switch is
held. If the switch is held for less than 1.2 seconds and then released, the transmission is
downshifted one gear.

Note: The downshift feature is not available on machines with a manual transmission.

Downshift Function (Autoshift Only)

The downshift function is requested when the neutralizer switch is pressed and released within 1.2
seconds. When this occurs, the transmission downshifts one gear and remains in that gear for 5
seconds. After 5 seconds, normal autoshift operation resumes (if autoshift is enabled). Normal
autoshift operation may resume before the 5 seconds has expired if a speed or direction change
occurs. Multiple downshift commands can be queued up, though the machine will not downshift
until the machine is below the maximum speed for the next lower gear. The 5 second delay does
not apply here as the speed inhibits will provide adequate delays between downshifts. If the
neutralizer switch is held for longer than 1.2 second, no downshift command is given. If the
transmission is in 1st gear when a downshift command is issued, the command shall be ignored. If
the shift lever is in position 2, the downshift button will force the machine to be downshifted
immediately and held in 1st for at least 5 seconds, or until a speed or direction change occurs.

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After 5 seconds, normal autoshift operation resumes (if autoshift is enabled). If the switch is held
continuously for longer than 3 minutes, a level 2 diagnostic code (CID 0629 - FMI 04) will be
logged. Upon the diagnostic code being cleared the transmission shall remain neutralized until the
shift lever is cycled to neutral and back to a valid gear.

Neutralizer Function (Autoshift)

The operator may momentarily neutralize the transmission by pressing the neutralizer switch.
While the switch is held, the transmission is neutralized. The transmission returns to the previous
gear when the neutralizer switch is released, or to a lower gear if the switch is released within 1.2
seconds. Disengaging the directional clutch neutralizes the transmission, and the speed clutch
remains engaged. This improves shift speed when the transmission is put back into gear. Normal
autoshift operation may resume before the 5 seconds has expired if a speed or direction change
occurs. If the switch is held continuously for longer than 3 minutes, a level 2 diagnostic code (CID
0629 - FMI 04) will be logged. Upon the diagnostic code being cleared the transmission shall
remain neutralized until the shift lever is cycled to neutral and back to a valid gear.

Neutralizer Function (Standard Shift)

The operator may momentarily neutralize the transmission by pressing the neutralizer switch.
While the switch is held, the transmission is neutralized. The transmission returns to the previous
gear when the neutralizer switch is released. Disengaging the directional clutch neutralizes the
transmission, and the speed clutch remains engaged. This improves shift speed when the
transmission is put back into gear. The neutralizer switch is used to neutralize the transmission.
The transmission is neutralized while the switch is held. If the switch is held continuously for
longer than 3 minutes, a level 2 diagnostic code (CID 0629 - FMI 04) will be logged.

Ride Control Switch

Illustration 11 g01230329

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A three-position switch enables Ride control. In the held middle OFF position, the ride control
function is disabled. The ON position is held-on when Loader Load Lock is not installed on the
machine. The ON position is momentary-on when Load lock is installed on the machine and is to
provide dead engine lower capability. In both cases, in the ON position the ride control solenoid is
always enabled. In the held AUTO position, the ride control function activates the ride control
solenoid valve when the ground speed is greater than a set limit. The ride control solenoid valve is
deactivated when the ground speed is at least 1 kph less than the set limit. The default set limit for
AUTO is 9 kph. Caterpillar Electronic Technician (ET) will be used to change the set limit. (In
summary, in the ON position ride control is enabled, in the OFF position ride control is disabled,
in the AUTO position ride control depends on the ground speed.) For the purpose of calculating
ground speed a nominal tire radius of 635 mm shall be used.

A pressure switch is placed in series with the ride control relay that controls the solenoid such that
when there is pressure on the rod end of the lift cylinder the solenoid driver circuit is open
circuited. This prevents ride control from being engaged when there is a load on the rod end such
as when the loader is being used as a stabilizer. This and the fact that we are using a relay driver
prevents diagnostics from being performed on the ride control solenoid circuit.

Note: Whenever the ride control solenoid is activated, the loader lock bypass solenoid (if
installed) must also be activated so that lift arm motion can occur. Ride control on the 416, 422,
and 428 mechanical machines is ON/OFF by electrical means only. These machines are not
offered with both Ride Control and Loader Lock valves. Switches on these machines have no
AUTO position, and both ON & OFF positions are held. The combination of ride control with
loader lock valves is NOT required on the 428, 422, 416, 420, 430, and 450.

Parking Brake Switch

Illustration 12 g00726668

When the parking brake is engaged the transmission will not shift out of neutral into gear. If the
transmission is in forward or reverse when the parking brake is set, the ECM will shift the
transmission to first neutral on autoshift machines, and to neutral on manual shift machines. When

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the operator releases the parking brake the transmission will not engage a directional clutch until
the operator selects neutral and then forward or reverse. The ability to double shift the gear
selector and drive through the parking brake will still be provided for drive train service
procedures.

Sensors
Speed Sensors

Illustration 13 g00909584

The transmission is equipped with the following speed sensors:

• Torque converter output speed sensor

• XMSN output speed sensor

• Engine speed sensor

All of the speed sensors are located on the right side of the transmission case. As the gear teeth
pass the end of each sensor, an AC voltage is produced. The frequency of the voltage is
proportional to the speed of the gear teeth. The ECM uses these signals to make decisions.

Temperature Sensors

Hydraulic Oil Temperature Sensor

The hydraulic oil temperature sensor monitors the temperature of the hydraulic oil. The high
hydraulic oil temperature indicator will be supported by an input into the ECM. This will result in
the indicator being turned on and a level 2 event being logged whenever the temperature sensor
reaches 100°C by the ECM providing a ground signal to the input on the LED panel.

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Torque Converter Temperature Sensor

The torque converter temperature sensor monitors the temperature of the torque converter oil. The
torque converter temperature sensor is mounted on top of the transmission on the torque converter
housing. The torque converter temperature shall be read into the torque converter temperature
gauge. The range of values on the gauge shall be from 25°C to 150°C with a red line indication at
121° C and the normal range defined by a mark at 100°C.

Position Sensors

Illustration 14 g00913275

The machine is equipped with the following position sensors:

• Swing position sensor

• Boom cylinder position sensor

• Bucket cylinder position sensor

• Estick cylinder position sensor

• Stick cylinder position sensor

Other Inputs
The machine ECM also receives information from the service connector via the Cat Data Link, the
engine ECM via the CAN data link, and the dash panel cluster.

Copyright 1993 - 2019 Caterpillar Inc. Fri Dec 13 22:05:36 UTC+0800 2019
All Rights Reserved.

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Shutdown SIS

Previous Screen

Product: BACKHOE LOADER

Model: 416E BACKHOE LOADER CBD
Configuration: 416E Backhoe Loader Single Tilt Center Pivot CBD00001-UP (MACHINE) POWERED BY 3054C Engine

Systems Operation
414E, 416E, 420E, 422E, 428E, 430E, 432E, 434E, 442E and 444E Backhoe Loaders
Machine Systems
Media Number -RENR6488-05 Publication Date -01/07/2011 Date Updated -26/09/2011

i02467722

Electronic Control Module

SMCS - 7610-MCH

Machine ECM

Illustration 1 g00554751

The machine electronic control module (ECM) makes decisions that are based on input
information and memory information. After the machine ECM receives the input information and
memory information, the machine ECM sends a corresponding response to the outputs. The inputs
and outputs of the machine ECM are connected to the machine harness by two 70 contact
connector. The ECM is located under the floor panel inside the cab on the front side of the
machine. There are no visual indicators on the ECM. Information from the machine ECM is

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shown on the Caterpillar Electronic Technician. The ECM sends the information to the Caterpillar
ET via the Cat Data Link.

Note: The ECM is not serviceable. The ECM must be replaced if the ECM is damaged. The ECM
must be replaced if the ECM is diagnosed as being faulty.

See Troubleshooting, "Electronic Control Module (ECM) - Replace".

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Previous Screen

Product: BACKHOE LOADER

Model: 416E BACKHOE LOADER CBD
Configuration: 416E Backhoe Loader Single Tilt Center Pivot CBD00001-UP (MACHINE) POWERED BY 3054C Engine

Systems Operation
414E, 416E, 420E, 422E, 428E, 430E, 432E, 434E, 442E and 444E Backhoe Loaders
Machine Systems
Media Number -RENR6488-05 Publication Date -01/07/2011 Date Updated -26/09/2011

i02581170

Electrical Output Components

SMCS - 1400; 7000-EK

Relays
There are six relays in the system that are activated directly by the machine ECM. The relays are
the ride control relay (if equipped), water in fuel realy (if equipped), implement enable relay (if
equipped), backup alarm relay, torque limiter relay, and the quick coupler relay.

Ride Control and Implement Enable Relay (if equipped)

The ride control and load check relay is used in order to activate one of two systems: the ride
control function and the load check function. A machine can have a ride control system or a load
check system but a machine can not have both functions.

Ride Control (if equipped)

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Illustration 1 g01230721

The machine ECM activates the ride control when the ride control/load check switch is placed in
the ON position. The activation is based on the machine ground speed in the AUTO position. The
ride control system diminishes the effects of a loaded bucket when the machine moves at higher
speeds.

Implement Enable (if equipped)

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Illustration 2 g01230721

The machine ECM activates the implement function when the implement enable switch is placed
in the ON position. If the hydraulic power for the machine is disrupted, the implements may still
be lowered. In order to lower the implements, place the lift control lever in the LOWER position
and depress the ride control/load check switch.

Water In Fuel Relay

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Illustration 3 g01230721

The machine ECM activates the water in fuel when the ECM senses that there is water in the fuel.
The water needs to be leaked out through the water relief valve.

This level 2 event is logged when the water in fuel sensor provides a signal to the ECM for 3
seconds indicating that there is water in the fuel. The water in fuel indicator will be supported by
inputs into the LED panel and the ECM. This will result in the indicator turning on and a level 2
event being logged whenever water is detected to be in the fuel as indicated by the signal being
grounded.

Parking Brake Alarm Relay

The parking brake alarm relay is used to alert the operator that the shift lever is placed in gear and
the parking brake is still engaged. The machine ECM activates the relay when the parking brake is
engaged and the shift lever is in gear. The machine can drive through the parking brake when this
occurs.

A single switch to ground signal will be provided to the machine ECM to monitor the parking
brake. The input signal will be grounded when the parking brake lever is in the position associated
with engaging the parking brake. Since this is a single input switch there will not be any
diagnostics performed on this input.

Note: The operator may drive through the parking brake by placing the direction switch in
forward or reverse, then in neutral, and then back to the same direction of travel as the first request
within 3 seconds. On this second attempt to move the machine with the parking brake engaged,
the ECM will shift the transmission into the requested gear and into the direction selected. When

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the machine goes into gear, the action alarm will sound until the directional switch is returned to
neutral, or the parking brake is released. A level 2 event will be active when the transmission is
not in neutral while the parking brake is engaged and speed > minimum threshold readable. The
action lamp & action alarm should actuate right away but the event should not be logged until the
machine is detected to be moving.

Backup Alarm Relay

Illustration 4 g01230721

Backup alarm is active whenever the shift lever / shuttle handle is in REVERSE. Back up alarm is
standard in NACD and optional in EAME

Quick Coupler Relay

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Illustration 5 g01230722

The machine ECM activates the quick coupler function when the quick coupler pins switch is
placed in the ON position. If the hydraulic power for the machine is disrupted, the implements
may still be lowered. In order to lower the implements, place the lift control lever in the LOWER
position and depress the ride control/load check switch.

Torque Limiter Relay

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Illustration 6 g01230724

The machine ECM activates the implement function when the implement enable switch is placed
in the ON position. If the hydraulic power for the machine is disrupted, the implements may still
be lowered. In order to lower the implements, place the lift control lever in the LOWER position
and depress the ride control/load check switch.

Solenoids

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Illustration 7 g01230727

The solenoid valves are an output of the machine ECM. The solenoid is the proportional type. The
ECM uses a pulse width modulated signal (PWM) to vary the current to the solenoid. The distance
that is travelled by the solenoid valve is proportional to the electrical current. The position of the
valve opens or the position of the valve blocks the flow of oil to the hydraulic cylinder.

Solenoids control the oil flow to the clutches in the transmission. When a direction and gear are
selected by the operator, the control module activates the appropriate solenoids. Two solenoids are
activated in order to move the machine. One solenoid is activated for the direction and one
solenoid is activated for the gear. When a solenoid is activated, a solenoid receives voltage from
the control module. When the transmission is in neutral, no solenoids are activated.

The solenoids have a connector with 2 contacts. One contact receives power from the
corresponding connector contact (signal) of the control module. The other contact returns to the
control module. All of the solenoids have a return lead. The return leads join together with the
other return leads.

XMSN Forward Clutch 1

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Illustration 8 g01237053

The solenoid has a connector with two contacts. The sensor ground is connected to the ECM
through contact J1-50. The signal contact is connected to the ECM through contact J1-48.

XMSN Reverse Clutch 2

Illustration 9 g01237053

The solenoid has a connector with two contacts. The sensor ground is connected to the ECM
through contact J1-50. The signal contact is connected to the ECM through contact J1-49.

Loader Auxiliary Valve 1

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The solenoid has a connector with two contacts. The sensor ground is connected to the ECM
through contact J1-50. The signal contact is connected to the ECM through contact J1-51.

Loader Auxiliary Valve 2

The solenoid has a connector with two contacts. The sensor ground is connected to the ECM
through contact J1-50. The signal contact is connected to the ECM through contact J1-52.

Hoe Auxiliary Valve 1 Solenoid 1

Illustration 10 g01237056

The purpose of this feature is to provide the operator a means to control the hydraulic oil flow to
the optional 7th valve section on the backhoe valve stack. The operator actuating the proportional
device located on the handle of the right backhoe control joystick activates the tool control. When
the proportional device is actuated up or down, the ECM reads this input, scales it according to a
preset current map, and outputs a current to the appropriate solenoid that is proportional to the
input. Certain requirements are necessary upon power-up of a machine to reduce the risk of
unexpected movement of the machine and it's tools. The inputs to the system that directly control
movement of the tools shall power up in the NEUTRAL state. Because the operator has direct
access to the inputs of the system, the ECM will require all associated inputs be read in the
NEUTRAL state upon power-up. For the proportional input, the neutral state will be 50% +/- 5%
duty cycle from the handle. This 10% tolerance allows for variations from handle to handle. The
outputs of the system shall power-up in the OFF state. For the proportional solenoid, the off state
is where no electrical current is flowing through the solenoid coils.

The solenoid has a connector with two contacts. The sensor ground is connected to the ECM
through contact J1-60. The signal contact is connected to the ECM through contact J1-58.

Hoe Auxiliary Valve 1 Solenoid 2

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Illustration 11 g01237056

The purpose of this feature is to provide the operator a means to control the hydraulic oil flow to
the optional 7th valve section on the backhoe valve stack. The operator actuating the proportional
device located on the handle of the right backhoe control joystick activates the tool control. When
the proportional device is actuated up or down, the ECM reads this input, scales it according to a
preset current map, and outputs a current to the appropriate solenoid that is proportional to the
input. Certain requirements are necessary upon power-up of a machine to reduce the risk of
unexpected movement of the machine and it's tools. The inputs to the system that directly control
movement of the tools shall power up in the NEUTRAL state. Because the operator has direct
access to the inputs of the system, the ECM will require all associated inputs be read in the
NEUTRAL state upon power-up. For the proportional input, the neutral state will be 50% +/- 5%
duty cycle from the handle. This 10% tolerance allows for variations from handle to handle. The
outputs of the system shall power-up in the OFF state. For the proportional solenoid, the off state
is where no electrical current is flowing through the solenoid coils.

The solenoid has a connector with two contacts. The sensor ground is connected to the ECM
through contact J1-60. The signal contact is connected to the ECM through contact J1-59.

Hoe Auxiliary Valve 2 Solenoid 1

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Illustration 12 g01237056

The purpose of this feature is to provide the operator a means to control the hydraulic oil flow to a
tool attached to the 8th valve section of the backhoe valve stack. Examples of commonly used
tools are hammers, compactors, etc. Assuming no other features are currently active, the tool
control is activated by the operator actuating the proportional device located on the handle of the
left hand backhoe control joystick. When the proportional device is actuated up or down, the ECM
reads this input, scales it according to a preset current map, and outputs a current to the
appropriate solenoid that is proportional to the input. Certain requirements are necessary upon
power-up of a machine to reduce the risk of unexpected movement of the machine and it's tools.
The inputs to the system that directly control movement of the tools shall power up in the
NEUTRAL state. Because the operator has direct access to the inputs of the system, the ECM will
require all associated inputs be read in the NEUTRAL state upon power-up. For the proportional
input, the neutral state will be 50% +/- 5% duty cycle from the handle. This 10% tolerance allows
for variations from handle to handle. The outputs of the system shall power-up in the OFF state.
For the proportional solenoid, the off state is where no electrical current is flowing through the
solenoid coils.

The solenoid has a connector with two contacts. The sensor ground is connected to the ECM
through contact J1-60. The signal contact is connected to the ECM through contact J1-61.

Hoe Auxiliary Valve 2 Solenoid 2

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Illustration 13 g01237056

The purpose of this feature is to provide the operator a means to control the hydraulic oil flow to a
tool attached to the 8th valve section of the backhoe valve stack. Examples of commonly used
tools are hammers, compactors, etc. Assuming no other features are currently active, the tool
control is activated by the operator actuating the proportional device located on the handle of the
left hand backhoe control joystick. When the proportional device is actuated up or down, the ECM
reads this input, scales it according to a preset current map, and outputs a current to the
appropriate solenoid that is proportional to the input. Certain requirements are necessary upon
power-up of a machine to reduce the risk of unexpected movement of the machine and it's tools.
The inputs to the system that directly control movement of the tools shall power up in the
NEUTRAL state. Because the operator has direct access to the inputs of the system, the ECM will
require all associated inputs be read in the NEUTRAL state upon power-up. For the proportional
input, the neutral state will be 50% +/- 5% duty cycle from the handle. This 10% tolerance allows
for variations from handle to handle. The outputs of the system shall power-up in the OFF state.
For the proportional solenoid, the off state is where no electrical current is flowing through the
solenoid coils.

The solenoid has a connector with two contacts. The sensor ground is connected to the ECM
through contact J1-60. The signal contact is connected to the ECM through contact J1-62.

Speed Clutch 1

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Illustration 14 g01237062

The solenoid has a connector with two contacts. The sensor ground is connected to the ECM
through contact J2-4. The signal contact is connected to the ECM through contact J2-5.

Speed Clutch 2
The solenoid has a connector with two contacts. The sensor ground is connected to the ECM
through contact J2-4. The signal contact is connected to the ECM through contact J2-6.

Speed Clutch 3

Illustration 15 g01237064

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The solenoid has a connector with two contacts. The sensor ground is connected to the ECM
through contact J2-4. The signal contact is connected to the ECM through contact J2-7.

Forward High

Illustration 16 g01237064

The solenoid has a connector with two contacts. The sensor ground is connected to the ECM
through contact J2-4. The signal contact is connected to the ECM through contact J2-2.

Instrument Cluster
The indicators for the relays are located within the Instrument Cluster (IC).

Other Outputs
The machine ECM also sends information to the engine ECM via the CAN data link. The machine
ECM also sends information to the dash panel cluster and the service connector via the Cat Data
Link.

Copyright 1993 - 2019 Caterpillar Inc. Fri Dec 13 22:07:30 UTC+0800 2019
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Previous Screen

Product: BACKHOE LOADER

Model: 416E BACKHOE LOADER CBD
Configuration: 416E Backhoe Loader Single Tilt Center Pivot CBD00001-UP (MACHINE) POWERED BY 3054C Engine

Systems Operation
414E, 416E, 420E, 422E, 428E, 430E, 432E, 434E, 442E and 444E Backhoe Loaders
Machine Systems
Media Number -RENR6488-05 Publication Date -01/07/2011 Date Updated -26/09/2011

i02464502

Data Link
SMCS - 7610-MCH

Cat Data Link

The data link is an input and an output of the ECM. The data link is designed to communicate with
other electronic control modules through the machine harness. The data link is not a visible
component. The data link consists of internal ECM circuits and the connecting harness wiring.
The data link is bidirectional. The data link allows the ECM to receive information and the data
link allows the ECM to send information.

Caterpillar Electronic Technician (ET) also communicates with other ECM modules through the
data link. The ET will list the other ECM modules and the available diagnostic information.

Note: All electronic control modules (ECM) that use the data link have a module identifier (MID).
The MID is listed for each module:

Machine ECM ... 039

Engine ECM ... 036

CAN Data Link

The CAN Data Link is used in order to aid the machine ECM with the control of the transmission.

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