SPPM Manual

COVERANDFOREWORD
SPP111
Page1of1
SERVICEPOLICY&PROCEDUREMANUAL

TheultimategoalofserviceactivitiesatKomatsuandtheDistributoris
todriveCustomerSatisfactionandultimatelyrealizeCustomer
Retention.
FOREWORD
The purpose of the Service Policy and Procedure Manual is to provide the Distributor with additional
details and a practical understanding of the product service related terms outlined in the Sales and
Service or Distributorship Agreement between the Distributor and Komatsu. This manual is a live
documentandwillbeupdatedasneededonanongoingbasis.KomatsuwillissueServicePolicyLetters
toannouncesignificantupdatestothepolicies.Minorchangestothepolicieswillsimplybenotedat
theendofeachpolicydocument.Komatsureservestherighttochangeorcancelanyofthesepolicies
atanytime.
A) DEFINITIONS:
1. DistributorshiporSalesandServiceAgreement:Overarchingsupplyandservicesagreement
betweenKomatsuandtheDistributor.TheServicePolicies,includingthisone,areasubsetof
theDistributorshiporSalesandServiceAgreement.
2. Komatsu:KomatsuAmericaCorp.
3. Distributor:AuthorizedKomatsuDistributor.
4. Customer:Machineowner.
B) REVISIONS
Revision
1
Date
12/5/2010
Content
Draftdocument
Author
K.Venkiteswaran,E.
Keane,T.Robson
Komatsu America Corp
SPPSECTIONS
SPP121
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Summaryofservicepolicydescriptionsandpolicynumbers:
#
SPPDescription
1
CoverandForeword
a SPPSections
2
DistributorResponsibilities
3
WarrantyandCoveragePoliciesSection1
a StandardProductWarrantyPolicy
b EmissionControlWarrantyPolicy
c ElectricDriveSystemWarrantyPolicy
d AlliedSuppliersWarrantyPolicyandContactInformation
e AdvantageandAdvantageStandardCoveragePolicy
f PartsandComponentWarrantyPolicy
g FactoryCampaignCoveragePolicy
h PolicyandSpecialPolicyCoveragePolicy
i UndercarriageAssuranceCoveragePolicy
j ReplacementUndercarriageAssuranceCoveragePolicy
k UndercarriagePLUSCoveragePolicy
WarrantyandCoveragePoliciesSection2
a ReimbursementPolicy
b ClaimEvaluation,ReviewandDistributorReimbursementProcedure
4
TrainingScheme
5
PublicationsScheme
6
PoliciesforOtherKomatsuLTDSalesSubsidiaries
a ETSISubmissionGuideline
7
SPP#7,8and9areIntentionallyLeftOpenforFutureUpdates
10
Forms
a KeyDistributorContacts
b ReceivingInspections
c ConsignmentMachineInspection
d PreDeliveryandDeliveryReports
e 90DayRevisits
f ProductWarrantyCertificate
g AdvantageCustomerCertificate
i UndercarriageAssuranceProgramCertificate
j UndercarriagePLUSProgramCertificate
k MiningSupportPlan
l AccidentNoticeForm
m FactoryCampaignRefusalAcknowledgement
n WheelMotorFinalDriveFailureTimeline
o ReimbursementRateRevision
p RepairServiceReportForm
q ClaimAuthorization
SPP#
111
121
211
311
312
313
314
315
316
317
318
319
3110
3111
321
322
411
511
611
1011
1012
1013
1014
1015
1016
1017
1018
1019
10110
10111
10112
10113
10114
10115
10116
SPPSECTIONS
SPP121
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11
a
b
c
d
e
f
g
PresentationsandOtherResources
KomatsuClaimsSystem
SMAP
TSRSystem
KomatsuVirtualCampus
ServiceExtranetApplications
KomatsuRegionalRepresentatives
GuidelinesforDocumentingPhotographsandTechnicalData
A) REVISIONS
Revision
1
Date
12/5/2010
Content
Draftdocument
Author
K.Venkiteswaran
1111
1112
1113
1114
1115
1116
1117
DISTRIBUTORRESPONSIBILITIES
SPP211
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SERVICEPOLICY&PROCEDURES
Contents
A) PURPOSE .............................................................................................................................. 2
B) GENERAL RESPONSIBILITIES....................................................................................... 2
C) ASSIGN KEY REPRESENTATIVES................................................................................. 2
D) RECEIVING INSPECTIONS.............................................................................................. 3
E) ESTABLISH A MACHINE FILE ....................................................................................... 3
F) INSPECTION OF EQUIPMENT IN STOCK ................................................................... 3
G) PRE-DELIVERY PREPARATION .................................................................................... 3
H) PRE-DELIVERY AND DELIVERY SERVICE ................................................................ 4
I) POST DELIVERY REVISIT SERVICE ............................................................................ 4
J) GENERAL SUPPORT SERVICES..................................................................................... 4
K) MACHINE REGISTRATION AND TRACKING MACHINES IN TERRITORY....... 5
L) WARRANTY AND OTHER COVERAGE POLICY RELATED SERVICES.............. 5
M) TECHNICAL REPORTING................................................................................................ 6
N) ONGOING SERVICE CAPABILITY DEVELOPMENT ................................................ 6
O) ONGOING OPERATIONAL PERFORMANCE REPORTING..................................... 6
P) DEFINITIONS....................................................................................................................... 6
Q) REFERENCES ...................................................................................................................... 7
R) REVISIONS ........................................................................................................................... 7
SPP211
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A) PURPOSE
ThisscheduleoutlinestheDistributorsproductservicerelatedresponsibilities.
B) GENERALRESPONSIBILITIES
Distributormust:
1. EstablishaserviceorganizationandsystemcapableofrespondingpromptlytoCustomerneeds
andrequests.
2. Maintain adequate facilities, tools and equipment, technical publications, service vehicles,
trainingcapability.Employsufficientqualifiedpersonnelforperformanceofserviceactivities,
bothintheshopandfield,consistentwiththepopulationofKomatsusmachinesinthearea.
3. AdvisetheCustomeronproperoperationofmachineandmaintenanceprocedures.
4. Offer quality repair service, preventive maintenance and other product support programs to
theCustomertopromotereplacementpartssalesthroughserviceactivities.
5. Follow through on Komatsus product performance warranties and guarantees to the
Customers.
6. Collect and supply marketing, operational, technical and other information as requested by
Komatsu.
C) ASSIGNKEYREPRESENTATIVES
1. DistributormustassignthefollowingkeyrepresentativestointerfacewithKomatsu:
a. Distributor Representative: person accountable for the Distributors performance for the
servicetermsspecifiedthroughoutthispolicymanual.TheDistributorServiceRepresentative
isideallythekeypersonresponsibleforalloftheserviceactivitiesattheDistributorVPor
GMofProductSupportorService.
b. Claim Administrator: person responsible for filing Claims with Komatsu. The Claim
AdministratorwillneedtobefamiliarwithallofKomatsuswarrantyandcoveragepolicies.
c. FCCoordinator:personresponsibleforcoordinatingthecompletionofFactoryCampaignsin
theDistributorsterritory.
d. TrainingManager:personresponsiblefortechnicalskilldevelopmentfortheservicestaffat
theDistributor.
e. Technical Communicator: person responsible for interfacing between the Customers and
technicalstaffattheDistributorandKomatsuoncomplextechnicalissues.
2. KomatsurequiresthattheClaimAdministratorandtheTechnicalCommunicatorarecertified
by Komatsu. The Komatsu Virtual Campus system provides details on certification
requirementsfortheserepresentatives.
3. Distributor may designate more than one representative to the Claim Administrator, FC
Coordinator,TrainingManagerandTechnicalCommunicatorpositions.
4. Distributor must complete or update FORM KEY DISTRIBUTOR CONTACTS in the event key
servicepersonnelattheDistributororkeyservicerepresentativeschange.
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D) RECEIVINGINSPECTIONS
1. Distributor must complete a receiving inspection using the RECEIVING INSPECTION FORM
upon receiving a machine from Komatsu. The form includes instructions on completing the
inspectionandontheformfilingprocedure.
2. The machines are generally delivered to the Distributor by transportation carriers that are
retainedbytheDistributororretainedbyKomatsuonbehalfoftheDistributor.
3. The purpose of the receiving inspection is to confirm that the machine or the machine
componentpartsaredeliveredtoorderspecifications.
4. Should Distributor identify shortcomings on the order, the Distributor must replace
missing/damagedpartsorperformrepairstoreturnthemachinetoorderspecifications.
5. DistributormustalsocompleteareceivinginspectionusingtheRECEIVINGINSPECTIONFORM
eachtimeamachineisreturnedtotheDistributorsyardfromrentalordemonstrationactivity.
E) ESTABLISHAMACHINEFILE
1. Distributormustdocumentallserviceactivitiesspecifictoeachmachineretailedorservicedby
theDistributor.
2. The documented information (paper form or electronic) must be organized so it is easily
searchablebymachinemodelandserialnumber(MachineFile).
3. The Machine File should be maintained for a minimum of 7 years from theDistributors last
serviceactivityforeachmachine.
F) INSPECTIONOFEQUIPMENTINSTOCK
1. TheremaybesituationswhereDistributorshavetostoreamachineinexcessof30daysfrom
thedateofcompletingthereceivinginspection.
2. DistributormustfollowthestorageguidelinesspecifiedinthespecificmachinesOperation&
MaintenanceManualduringthestorageperiod.
3. Once the service procedure outlined in the Operation & Maintenance Manual has been
completed,DistributormustalsocompletetheCONSIGNMENTMACHINEINSPECTIONFORM.
4. Aserviceneedstobecompletedevery30daysforamachineinstorage.
5. Distributormustreplacemissing/damagedpartsorperformrepairstoreturnthemachineto
prestorageconditionsbeforedeliveringthemachinetoaCustomer.
G) PREDELIVERYPREPARATION
1. Distributormusthavethecapabilitytoprovidetechnicalsupporttoamachinebefore
deliveringthemachinetoaCustomer.
2. TheDistributorTrainingManagermustensurethatatleastonetechnicianinthebranchthatis
goingtoservicethemachineiscapableoftroubleshootingandrepairingthemachineinthe
eventofabreakdown.Insomecases,KomatsumayrequirethattheDistributorhasa
techniciancertifiedonaparticularmachinebeforeallowingretailactivity.PleaseseeTraining
SchemeSectionofthepolicymanualforanoverviewofKomatsustrainingscheme.
3. TheDistributorTrainingManagermustalsoensurethatanyspecialtoolsthatarerequiredto
troubleshootorserviceamachineareavailableattheDistributor.Distributorcanemail
serviceprograms@komatsuna.comforsupportwithprocuringspecialtools.
SPP211
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ThePartssectionofKomatsusExtranet(https://www.komatsuamerica.net)includes
RecommendedPartsStockingLists(RPL)bymachinemodel.Distributorshouldhavetheparts
listedontheRPLonhandbeforedeliveringthemachinetotheCustomer.
5. FormMININGSUPPORTPLANprovidesaframeworkfortheDistributortoaskquestionsand
appropriately prepare to deliver machines to new mining Customers. The Distributor can
requestthelocalKomatsurepresentativeforsupportincompletingthisformandpreparingfor
thedeliveryofnewmachines.PresentationKomatsuRegionalRepresentativesincludesalist
ofKomatsurepresentativesbyDistributor.
6. Komatsu offers product warranty, and various marketing programs including Advantage to
supporttheDistributorinprovidingvaluetoCustomers.PleaseseeWarrantyandCoverage
PoliciesSectionofthepolicymanualfordetailsonwarrantiesandother coverageprograms.
Distributor Claims Administrator should educate the appropriate person delivering the
machinetotheCustomeronallapplicablewarrantiesandguaranteesforthemachineandon
CustomerrequirementstomaintainCoverageundertheseprograms.
4.
H) PREDELIVERYANDDELIVERYSERVICE
1. Distributor must assemble and commission a Machine in accordance to latest information
providedintheFieldAssemblyManual,ShopManual,PartsandServiceNewsLettersandFlash
News Letters. Please see Publications Scheme Section of the policy manual for Komatsus
publicationscheme.
2. DistributormustcompletethePREDELIVERYANDDELIVERYINSPECTIONFORMtorecordthe
predelivery and delivery conditions of the machine and to ensure maximum machine
performance and Customer satisfaction. The Field Assembly Manual may have additional
checksheetsthattheDistributormustcompleteandsaveintheMachineFile.
3. Distributor must review the machine operation and maintenance with the Customer before
transferringownershipoftheMachine.
4. Distributormustalsoreviewthescopeofalloftheapplicablewarrantiesandcoveragepolicies
withtheCustomerandobtaintheCustomerssignatureasnecessaryontheappropriateforms.
PleaseseeWarrantyandCoveragePoliciesSectionofthepolicymanualforapplicableforms
foreachwarrantyorguarantee.
I) POSTDELIVERYREVISITSERVICE
1. Distributormustcompletea90dayrevisitinspectionusingthe90DAYREVISITINSPECTION
FORMbetween90and120daysafterdeliveringthemachinetotheCustomer.Pleasereview
90DAYREVISITINSPECTIONFORMfordetailsontheinspectionandonformfilinginstructions.
2. TherevisitservicemustbeprovidedfreeofchargetotheCustomer.
J) GENERALSUPPORTSERVICES
1. Distributor must provide repair and maintenance services to support machines in

Distributor territory. Time is of the essence in delivery of these services. Distributor will
makebesteffortstomeetmarketsupportdemands.
SPP211
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2. Distributor must execute each repair or maintenance intervention in accordance to the
directions provided in the Field Assembly Manual, Shop Manual, Parts and Service News
LettersandFlashNewsLetters.Ingeneral,PartsandServiceNewsLettersandFlashNews
Letters contain the most current method to troubleshoot, maintain or repair a machine.
Distributor must also use current parts in repairs. Parts substitution and replacement
informationisavailablethroughKomatsuspartsorderingsystem.
3. The Distributor Technical Communicator can file a Technical Support Request (TSR)
available through the Issue Resolution Homepage of Komatsus Extranet
(https://www.komatsuamerica.net) if additional technical information is required to
completeorefficientlymanagearepairintervention.PleaseseePresentationTSRtolearn
howtoaccessandusethesystem.
4. Distributor must establish a system to manage telemetric and preventative maintenance
informationfrommachines.ThesesourcesofinformationincludeKomtrax,KomtraxPLUS,
PLMandKOWA.
K) MACHINEREGISTRATIONANDTRACKINGMACHINESINTERRITORY
1. DistributormustregistermachineactivitysuchasdeliverystatusorrentalactivityinKomatsus
PRONTOSystem.PresentationKomatsuClaimsSystemincludesinformationonhowtoaccess
andusethePRONTOSystem.
2. If machine information needs to be changed in the PRONTO system, the Distributor should
contacttheirPRONTOAdministrator.
3. Distributor must maintain current records on all Komatsu machines in Distributors service
territory.TheserecordsshouldincludethenameandaddressofcurrentCustomer.Komatsu
MachinesinDistributorsterritoryincludemachinesretailedbytheDistributorandmachines
that were retailed by thirdparties that are now operating in the Distributors territory.
Distributor can request a machine to be transferred into or out of their territories or notify
Komatsu that a machine has been scrapped by utilizing the Machine Condition Change Form
availablefromtheServiceRequestFormslinklocatedontheServicehomepageofKomatsus
Extranet System (https://www.komatsuamerica.net). Distributor can also add grey market
machines (machine sold by a party other than Komatsu) to their territory using the Grey
Market Registration Form available at the same web location. Komatsu will use this
informationtonotifyDistributorsaboutpendingfactorycampaigns.
L) WARRANTYANDOTHERCOVERAGEPOLICYRELATEDSERVICES
1. DistributorwillprovideservicestoCustomersandfileClaimstoKomatsuinaccordancetothe
performancerequirementsoutlinedintheWarrantyandCoveragePoliciesSectionofthe
policymanual.
2. Inspecialcircumstances,Distributorcanreceivepreapprovalforspecificrepairsunderanyof
KomatsusCoveragePoliciesusingtheFORMCLAIMAUTHORIZATION.
SPP211
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M) TECHNICALREPORTING
1. DistributorshouldsubmitaTechnicalServiceInformation(TSI)inKomatsusSMAPSystemif
repetitiveorsignificantfailuremodesareidentifiedintheDistributorsterritory.Presentation
SMAPincludesinformationonhowtoaccessandusethesystem.
2. Distributor must complete and submit FORM ACCIDENT NOTICE if a Komatsu machine is
involved in a situation that results in personal injury or property damage. FORM ACCIDENT
NOTICEincludesinformationoncompletingtheformandonformfilingprocedures.
N) ONGOINGSERVICECAPABILITYDEVELOPMENT
1. DistributorsTrainingManagerwilluseKomatsusVirtualCampusSystemtomanagetraining
anddevelopmentofDistributorserviceemployeesandtechnicians.
O) ONGOINGOPERATIONALPERFORMANCEREPORTING
1. DistributorwillsupportKomatsurepresentativeingatheringandanalyzingkeyDistributor
serviceoperationalperformancedataforbenchmarkingandcontinuousimprovement
purposesonanongoingbasis.PresentationKomatsuRegionalRepresentativesincludesalist
2. DistributorwillsupporttheKomatsurepresentativeintrackingtheongoingstatusofthe
continuousimprovementactivitiesthroughtheJointWorkPlanprocess.TheJointWorkPlanis
anactionlogthatsummarizesthelistofkeyactivitiesthatneedtobecompletedinorderto
realizeimprovementstoakeyareaoftheDistributorsbusiness.Eachactivityontheaction
logincludesaresponsiblepartyorparties,adeliverableandanexpectedactivitycompletion
date.
P) DEFINITIONS
1. DistributorServiceRepresentative:personaccountablefortheDistributorsperformancefor
theservicetermsspecifiedthroughoutthispolicymanual.
2. Claim Administrator: person responsible for filing Claims with Komatsu. The Claim
3. FC Coordinator: person responsible for coordinating the completion of Factory Campaigns in
theDistributorsterritory.
4. PRONTO Administrator: person responsible for maintaining Customer and machine sales
informationinKomatsusPRONTOsystem.
5. Training Manager: person responsible for technical skill development for the service staff at
theDistributor.
6. Technical Communicator: person responsible for interfacing between the Customers and
technicalstaffattheDistributorandKomatsuoncomplextechnicalissues.
7. CoverageTypeorCoveragePolicy:Komatsupolicythatspecifiesreimbursementtermsfor
specificrepairstoMachines.
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Claim:AClaimisarequesttoKomatsuforreimbursementforservicesprovidedbya
DistributorunderoneofKomatsusCoveragePolicies.
11. Distributor:AuthorizedKomatsudistributor.
12. KomatsuVirtualCampus:KomatsuVirtualCampusisKomatsuslearningmanagementsystem.
ThesystemisavailablethroughtheTraininglinkonKomatsusExtranet
(https://www.komatsuamerica.net).PleaseseepresentationonKomatsuVirtualCampusfor
instructionsonhowtogainaccessandusethesystem.
9.
Q) REFERENCES
1. TRAININGSCHEME
2. PUBLICATIONSSCHEME
3. KomatsusClaimsSystempresentation
4. SMAPpresentation
5. KomatsuVirtualCampuspresentation
6. KomatsuRegionalRepresentativespresentation
7. KomatsuExtranetpresentation
8. CLAIMAUTHORIZATIONform
9. KEYDISTRIBUTORCONTACTSform
10. RECEIVINGINSPECTIONform
11. CONSIGNMENTMACHINEINSPECTIONform
12. MININGSUPPORTPLANform
13. PREDELIVERYANDDELIVERYINSPECTIONform
14. 90DAYREVISITINSPECTIONform
R) REVISIONS
Revision Date
1
12/5/2010
Version
1
Content
Draftdocument
Author
K.Venkiteswaran,B.
Miller
MACHINESTANDARDPRODUCTWARRANTYCOVERAGEPOLICY
SPP311
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PRODUCTWARRANTYCOVERAGEPOLICY
Contents
A) PURPOSE .............................................................................................................................. 2
B) COVERAGE.......................................................................................................................... 2
C) EXCLUSIONS ....................................................................................................................... 2
D) DISTRIBUTOR RESPONSIBILITIES .............................................................................. 3
E) KOMATSU RESPONSIBILITIES...................................................................................... 4
F) DEFINITIONS....................................................................................................................... 4
G) REFERENCES ...................................................................................................................... 4
H) REVISIONS ........................................................................................................................... 5
SPP311
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PRODUCTWARRANTYCOVERAGEPOLICY
A) PURPOSE
Komatsu warrants that a new Machine procured by the Distributor from Komatsu for resale to
CustomersorforusebytheDistributorwillbefreeofdefectsinmaterialandworkmanship.
This policy provides an overview of the terms of Komatsus Machine Product Warranty Coverage
Policy.ProductWarrantyisalsosometimesreferredtoasStandardWarranty.
B) COVERAGE
1. Komatsu will reimburse the Distributor for specific expenses related to correcting defects in
materialorworkmanship.Ingeneral,therepairsexecutedincorrectingthesedefectsshould
restoretheMachinetoitsoperatingconditionjustpriortothefailure.
2. KomatsusreimbursementwillfollowthetermsoutlinedinReimbursementPolicySectionof
theWarrantyandCoveragePolicies.
3. ThewarrantyperiodfortheMachineextendsfor12monthsfromtheMachinesFIDdatewith
thefollowingexceptions:
a. DORFMachines:15monthsfromFIDdate.
b. RTSMachines:12monthsofActivityor18monthsfromFIDdate,whichevercomesfirst.
c. PC091, PC18MR2/3, PC27MR2/3, PC35MR2/3, PC45MR3, PC50MR2, PC55MR3,
PC78US6/8, PC78MR6 and PC88MR8 have a warranty period of 3 years or 3,000 hours,
whichevercomesfirst,perthetermsofMarketingNewsLetterKU173.
C) EXCLUSIONS
a. RepairstocomponentssuppliedbyAlliedSuppliers.PleaseseeAlliedSupplierWarrantyPolicy
and Contact Information Section of the Warranty and Coverage Policies for a list of these
suppliersandtheircontactinformation.
b. Repairsorreplacementsof:
i. Partsthatarewornbecauseofuse.Examplesofwearresultingfromusewouldinclude,
by way of example but not limitation, deterioration of undercarriage components and
machineworkequipment,hydraulic cylindersealleaks,wearofclutchorbrakepacks,
pinsorbushings,etc.
ii. PartsthatarenotprocuredfromKomatsu.
c. OperatingexpensesrequiredtokeeptheMachineingoodoperatingconditionincluding,byway
ofexamplebutnotlimitation:
i. Systemadjustments.
ii. Scheduled maintenance outlined in the Machine Operation and Maintenance Manual
(O&M Manual), including the cost of periodic maintenance items such as filters,
lubricants,brushesandgrease.
iii. OilanalysisconditionmonitoringprogramsuchasKomatsuOilWearAnalysis(KOWA),
including the cost of drawing samples, oil, sampling accessories, postage and analysis
reportfees.
SPP311
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iv. The cost of carrying out oil sampling program maintenance recommendations such as
earlyresamplingand/orreplacementofoilorfilters.
d. Failuresresultingfrom:
i. ShipmentofMachineorreplacementpartsfromanypartyotherthanKomatsu.
ii. FailureofpartsfromalliedsuppliersorpartsnotprocuredthroughKomatsu.
iii. OperatingtheMachineoutsidetheguidelinesspecifiedinO&MManual.
iv. Operating the Machine outside of the parameters specified in the Machine specific
PayloadPolicyorothernoticesorlettersfromKomatsu.
v. Noncompliance with the maintenance schedule and procedure outlined in the
MachinesO&Mmanual.
vi. Fuel,lubricantorcoolantcontaminationfromanysource.
vii. ContinuingtooperatetheMachinewhenoilsamplingreportsortheMachinemonitor
panel, Komatrax PLUS, Komtrax, PLM or any other systems (Machine Monitoring
Systems)showcriticalerrors,indicatethatcomponentsarecompromisedbyfailuresor
areperformingbelowspecifications,orwhenKomatsuortheDistributorhasrequested
thatcomponentsberepairedorremovedfromtheMachinebecauseofanimpending
failure,Komatsuauthorizedfieldcampaignorothergoodcause.
viii. ImproperMachineorreplacementpartstorageprocedures.
ix. Incompleteorfaultyrepairproceduresonpreviousrepairs.
x. ImproperinitializationproceduresduringMachineorreplacementpartcommissioning.
xi. Machine attachments options, accessories, modifications, or work equipment not
authorizedinO&MManualandothermaterialspublishedbyKomatsuforDistributors
andCustomersorotherwiseapprovedinwritingandsignedbyanengineeringofficerof
Komatsu(exampleSEST,SFR,etc.).
xii. Worksitehazardsorfallingobjects.
xiii. Fire,accidents,vandalism,theft,actsofterrorismorwar,actsofnatureorothercauses
beyondthedirectcontrolofKomatsu.
xiv. Misuse,misapplication,negligenceorothermisconductonthepartoftheDistributor,
Customeroranyotherperson.
D) DISTRIBUTORRESPONSIBILITIES
1. DistributorwillreviewthetermsofKomatsusMachineProductWarrantyCoveragePolicywith
the Customer representative when the Machine is sold to the Customer. FORM Product
WarrantyCertificateisacopyoftheMachinewarrantycertificate.
2. Distributor will store a copy of the Machine Product Warranty Certificate signed by the
Customerforaminimumperiodof7yearsfromtheMachineFIDdate.
3. DistributorwillestablishandmanageanoilconditionmonitoringforwheelmotorsonElectric
DriveTrucks.
4. Distributor will complete Covered Repairs, store the failed parts and register claims for
reimbursementfromKomatsuperthetermsspecifiedinReimbursementPolicySectionofthe
WarrantyandCoveragePolicies.
SPP311
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E) KOMATSURESPONSIBILITIES
1. KomatsuwillassessDistributorclaimsperthetermsspecifiedintheClaimEvaluation,Review
andDistributorReimbursementProcedureSectionoftheWarrantyandCoveragePolicies.
F) DEFINITIONS
1. CoveredRepair:repairthatiseligibleforreimbursementunderoneofKomatsuspolicies.A
repairthatiseligibleforreimbursementfromKomatsuhasCoverage.
specificrepairstoMachines,PartsorComponents.
3. WarrantyandCoveragePolicies:theframeworkagreementthatspecifiedKomatsusCoverage
Policies.
4. Machine:KomatsumanufacturedmachineeligibleforCoverageunderoneofKomatsus
policies.
8. ElectricDriveTrucks:Dumptruckspoweredbydieselelectricsystems.
9. FIDDate:DateonwhichfirstActivityisrecordedagainstaMachineinKomatsusPRONTO
system.
10. Activity:IfaMachinessalesstatusisnotblankinKomatsusPRONTOsystem,theMachineis
Active.
11. PRONTOSystem:KomatsusPRONTOSystemisusedbytheDistributortonotifyKomatsuofa
changeintheSalesStatusofaMachine.PresentationKomatsuClaimsSystemprovidesan
overviewofthePRONTOsystem.
12. DORF:MachinesinDistributorsrenttorentfleet.TheseMachinesgenerallyhavethestatus
RENTTORENT(Z)inKomatsusPRONTOsystem.
13. RTS:MachinesintheDistributorsrentaltosellfleet.TheseMachinesgenerallyhavethestatus
RENTTOSELL(L)inKomatsusPRONTOsystem.
14. SESTandSFRs:MachinemodificationrequestsmanagedbyKomatsusMarketingDepartment
(seeMarketingsectionathttps://www.komatsuamerica.net).
G) REFERENCES
1. AlliedSupplierWarrantyPolicyandContactInformation
2. ReimbursementPolicy
3. ClaimEvaluation,ReviewandDistributorReimbursementProcedure
4. MarketingNewsLetterKU173
5. FormProductWarrantycertificate
6. Presentation:KomatsuClaimsSystem
SPP311
Page5of5
H) REVISIONS
Revision Date
1
12/5/2010
Content
Draftdocument
Author
K.Venkiteswaran,J.
Bloodgood,E.Keane,T.
Robson,G.Toro
EMISSIONCONTROLWARRANTYCOVERAGEPOLICY
SPP312
Page1of5
Contents
A) PURPOSE .............................................................................................................................. 2
B) COVERAGE.......................................................................................................................... 2
C) EXCLUSIONS ....................................................................................................................... 3
F) DEFINITIONS....................................................................................................................... 4
G) REFERENCES ...................................................................................................................... 5
H) REVISIONS ........................................................................................................................... 5
SPP312
Page2of5
A) PURPOSE
Komatsu warrants that the Emissions Related Parts on engines in Machines procured by the
DistributorfromKomatsuforresaletoCustomersorforusebytheDistributorinCanadaandUSA
willbefreeofdefectsinmaterialandworkmanship.
This policy provides an overview of the terms of the Komatsus Emissions Control Warranty
CoveragePolicy.
B) COVERAGE
3. The warranty period for the Emissions Related Parts extends for five years or 3,000 hours,
whichevercomesfirst,fromtheMachinesFIDdate.
4. ThefailurehastopassatwoparttestinordertoqualityforthisCoverage.
a. First,thefailuremustbecausedbyadefectiveEmissionRelatedPartonanengine.These
partsarelimitedto:
i.
Fuelpumpassembly.
ii.
Injectorassembly.
iii.
Electronic control system: electronic control module (ECM), ambient air/barometric
pressure sensor, intake manifold pressure sensor, intake manifold air temperature
sensor, engine coolant level sensor, engine coolant temperature sensor, high pressure
fuel sensor, fuel and rail pressure sensor/actuator, timing pressure sensor/actuator,
engine speed sensor, engine position sensor, electronic fuel pump actuator, mass
airflow sensor, exhaust after treatment sensor, exhaust gas pressure sensor,
turbocharger sensors, exhaust gas recirculation valve sensors, and boost pressure
sensor.
iv.
Intakesystem:aftercoolercore,aftercooler,chargeaircooler,intakemanifoldgasket,
crossover.
v.
Exhaustsystem:dieselparticulatefilterassembly,hydrocarbondouservalveandelectric
pump, exhaust gas recirculation coolers, mixers plumbing, oil boost pump and control
valves,andexhaustmanifoldgasket.
vi.
Turbocharger: turbocharger assembly, turbocharger electronic proportional control
valveassembly,andactuatorassembly.
SPP312
Page3of5
Internalengineparts:Closedcrankcaseventilationsystem,camshaft,tappets,cylinder
headassemblies.
b. Second, the failure of the Emission Related Part must result in one of the following
symptoms:
i.
Excessivewhitesmokeforambientconditions(excludingcoldstartaids).
ii.
Excessiveblacksmoke.
iii.
Combustionknock.
iv.
Exhaustgasrecirculationsystemrelatedroughrunning.
v.
Fuelcontrolsystemrelatedroughrunning.
vi.
Intakeairleakage.
vii.
Deadmiss.
viii.
Burnedexhaustvalve.
ix.
Inabilitytoinitiateaftertreatmentregeneration.
x.
Excessiveaftertreatmentregeneration.
vii.
C) EXCLUSIONS
a. EmissionRelatedPartsonMachinesoperatingoutsideofCanadaandUSA.
b. RepairstocomponentssuppliedbyAlliedSuppliers.PleaseseeAlliedSupplierWarrantyPolicy
and Contact Information Section of the Warranty and Coverage Policies for a list of these
suppliersandtheircontactinformation.
c. RepairsorreplacementsofpartsthatarenotprocuredfromKomatsu.
d. OperatingexpensesrequiredtokeeptheMachineingoodoperatingconditionincluding,byway
reportfees.
e. Failuresresultingfrom:
i. ShipmentofMachineorreplacementparts.
MachinesO&Mmanual.
panel, Komtrax PLUS, Komtrax, PLM or any other systems (Machine Monitoring
SPP312
Page4of5
viii.
ix.
x.
xi.
xii.
xiii.
xiv.
Systems)showcriticalerrors,indicatethatcomponentsarecompromisedbyfailuresor
areperformingbelowspecifications,orwhenKomatsuortheDistributorhasrequested
thatcomponentsberepairedorremovedfromtheMachinebecauseofanimpending
failure,Komatsuauthorizedfieldcampaignorothergoodcause.
ImproperMachineorreplacementpartstorageprocedures.
Incompleteorfaultyrepairproceduresonpreviousrepairs.
ImproperinitializationproceduresduringMachineorreplacementpartcommissioning.
Machine attachments options, accessories, modifications, or work equipment not
Worksitehazardsorfallingobjects.
Fire,accidents,vandalism,theft,actsofterrorismorwar,actsofnatureorothercauses
Misuse,misapplication,negligenceorothermisconductonthepartoftheDistributor,
1. DistributorwillreviewthetermsofKomatsusEmissionControlWarrantyCoveragePolicywith
the Customer representative when the Machine is sold to the Customer. FORM Product
Warranty Certificate is a copy of the Machine warranty certificate that includes the Emission
ControlWarranty.
KomatsuwillassessDistributorclaimsperthetermsspecifiedintheClaimEvaluation,Reviewand
DistributorReimbursementProcedureSectionoftheWarrantyandCoveragePolicies.
F) DEFINITIONS
policies.
Policies.
SPP312
Page5of5
FIDDate:DateonwhichfirstActivityisrecordedagainstaMachineinKomatsusPRONTO
system.
Active.
8.
G) REFERENCES
1. AlliedSupplierWarrantyPolicyandContactInformation
4. FormProductWarrantycertificate
H) REVISIONS
Revision Date
1
12/5/2010
Content
Draftdocument
Author
K.Venkiteswaran,J.
Robson,G.Toro
ELECTRICDRIVEWARRANTYCOVERAGEPOLICY
SPP313
Page1of4
Contents
A) PURPOSE .............................................................................................................................. 2
B) COVERAGE.......................................................................................................................... 2
C) EXCLUSIONS ....................................................................................................................... 2
F) DEFINITIONS....................................................................................................................... 4
G) REFERENCES ...................................................................................................................... 4
H) REVISIONS ........................................................................................................................... 4
SPP313
Page2of4
A) PURPOSE
Komatsu warrants that the Electric Drive Parts on Machines procured by the Distributor from
KomatsuforresaletoCustomersorforusebytheDistributorwillbefreeofdefectsinmaterialand
workmanship.
ThispolicyprovidesanoverviewofthetermsofKomatsusElectricDriveWarrantyCoveragePolicy.
B) COVERAGE
theWarrantyPolicyandCoveragePolicies.
3. ThewarrantyperiodfortheElectricDrivePartsextendsfor24monthsfromtheMachinesFID
datewiththeexceptionof5GDY85wheelmotors.
4. TheElectricDrivePartsarespecifictoElectricDriveTrucksandarelimitedto:
a. Tractionalternatorassembly.
b.
c.
d.
Controlsystemgroup:controlcabinetandauxiliarycabinetassemblyandsubcomponents,andwheel
motorsensors.
Wheelmotorassembly.
Retardgridassemblyincludingblowermotors.
Powerwiresandfiberopticcables.
5. Thewarrantyperiodfor5GDY85wheelmotorsextendsfor12monthsfortheMachinesFID
date.
e.
C) EXCLUSIONS
1. Repairsorreplacementsof:
a. Partsthatarewornbecauseofuse.
b. PartsthatarenotprocuredfromKomatsu.
c. Ducting,tubesandhoses.
2. OperatingexpensesrequiredtokeeptheMachineingoodoperatingconditionincluding,byway
a. Systemadjustments.
b. Scheduled maintenance outlined in the Machine Operation and Maintenance Manual
c. Oil analysis condition monitoring program such as Komatsu Oil Wear Analysis (KOWA),
includingthecostofdrawingsamples,oil,samplingaccessories,postageandanalysisreport
fees.
SPP313
Page3of4
d. Thecostofcarryingoutoilsamplingprogrammaintenancerecommendationssuchasearly
resamplingand/orreplacementofoilorfilters.
3. Failuresresultingfrom:
a. ShipmentofMachineorreplacementparts.
b. FailureofpartsfromalliedsuppliersorpartsnotprocuredthroughKomatsu.
c. OperatingtheMachineoutsidetheguidelinesspecifiedinO&MManual.
d. OperatingtheMachineoutsideoftheparametersspecifiedintheMachinespecificPayload
PolicyorothernoticesorlettersfromKomatsu.
e. Noncompliance with the maintenance schedule and procedure outlined in the Machines
O&Mmanual.
f. Fuel,lubricantorcoolantcontaminationfromanysource.
g. Continuing to operate the Machine when oil sampling reports or the Machine monitor
panel,KomatraxPLUS,Komtrax,PLMoranyothersystems(MachineMonitoringSystems)
show critical errors, indicate that components are compromised by failures or are
performing below specifications, or when Komatsu or the Distributor has requested that
components be repaired or removed from the Machine because of an impending failure,
Komatsuauthorizedfieldcampaignorothergoodcause.
h. ImproperMachineorreplacementpartstorageprocedures.
i. Incompleteorfaultyrepairproceduresonpreviousrepairs.
j. ImproperinitializationproceduresduringMachineorreplacementpartcommissioning.
k. Machine attachments options, accessories, modifications, or work equipment not
authorizedinO&MManualandothermaterialspublishedbyKomatsuforDistributorsand
Customers or otherwise approved in writing and signed by an engineering officer of
l. Worksitehazardsorfallingobjects.
m. Fire, accidents, vandalism, theft, acts of terrorism or war, acts of nature or other causes
n. Misuse, misapplication, negligence or other misconduct on the part of the Distributor,
1. DistributorwillreviewthetermsofKomatsusElectricDriveWarrantyCoveragePolicywiththe
CustomerrepresentativewhentheMachineissoldtotheCustomer.
2. Distributorwillestablishandmanageanoilconditionmonitoringforwheelmotors.
4. DistributorshoulduseonlynewandnotRemanPartsincompletingCoveredRepairs.
5. Covered Repairs for certain components including the wheel motors, alternators and grid
blowermotorsmayneedtobecompletedatanauthorizedrebuildfacility.Pleasecontactyour
Komatsurepresentativeforalistofauthorizedrepairfacilities.
SPP313
Page4of4
F) DEFINITIONS
policies.
Policies.
system.
Active.
13. RemanParts:RemanPartsarepartssuppliedthroughKomatsusRemanufacturingprogram.
TheseparthaveapartnumberwiththeprefixR.
G) REFERENCES
H) REVISIONS
Revision Date
1
12/5/2010
Content
Draftdocument
Author
K.Venkiteswaran,J.
Robson,G.Toro
ALLIEDSUPPLIERWARRANTYPOLICYANDCONTACTINFORMATION
SPP314
Page1of3
Contents
A) PURPOSE .............................................................................................................................. 2
B) ALLIED SUPPLIER CONTACT LIST.............................................................................. 2
C) DEFINITIONS....................................................................................................................... 3
D) REVISIONS ........................................................................................................................... 3
SPP314
Page2of3
ALLIEDSUPPLIERWARRANTYPOLICYANDCONTACTS
A) PURPOSE
This schedule includes contact information for various suppliers whose products are installed on
KomatsumachinesorareusedtoserviceKomatsumachines.Theseproductsorcomponentsare
generallyinstalledattheDistributororareorderedthroughtheOneStopShopping(OSS)program.
DistributorshouldcontacttheseAlliedSuppliersdirectlyforwarrantyandqualityissues.
B) ALLIEDSUPPLIERCONTACTLIST
1. CumminsInc.
a. Products: engines that are branded Komatsu in the following Machines: HD1500, 730E,
830E,860E,930E,960E,WA1200,PC3000,PC4000,PC5500andPC8000.
b. Contact:localCumminsdistributor(www.cummins.com)
2. KentMoore/SPX
a. Products:servicetools
b. Phone:+1(800)3286657
3. ASAElectronics
a. Products:observationsystemsandradios
b. Phone:(800)6883135ext.128
4. AdvancedThermalProducts
a. Products:Thermalblankets
b. Phone:(800)8268417
5. AlliedSystemsCompanyASAElectronics
a. Products:Winch
b. Phone:(503)6252560
6. HensleyManufacturing
a. Products:buckets
b. Phone:(800)4333144
7. HKXCorporation
a. Products:Hydraulickits
b. Phone:(800)4935487
8. JRBInc.
a. Products:quickcouplers,buckets,forks,cabrisers,OSSattachments
b. Phone:+1(800)4282538
9. LincolnIndustrialCorp.
a. Products:lubricationsystems
b. Phone:(314)6794200
10. Loadrite
a. Products:scalesystems
SPP314
Page3of3
Phone:+1(919)4592101
11. PSMCorporation
a. Products:thumbs
b. Phone:+1(800)3733514
12. RocklandManufacturing
a. Products:bucketsandthumbs
b. Phone:+1(800)4583773
13. SyKloneInternational
a. Products:Precleanerproducts
b. Phone:+1(800)4486563
14. TopconPositioningSystems,Inc.
a. Products:Machinecontrolsystems
b. Phone:+1(800)2458300
15. ValleyRubber,LLC
a. Products:Bedliners
b. Phone:+1(800)6625667
16. WerkBrauCompany,Inc
a. Products:Utilityattachments
b. Phone:+1(800)5379561
17. YoungManufacturingCompany
a. Products:Dredginglongfronts,materialhandlingfronts,cabrisers,generatorsets
b. Phone:+1(800)3219090
b.
C) DEFINITIONS
4. ThirdParty:EntityotherthantheDistributororKomatsu.
D) REVISIONS
Revision Date
1
12/5/2010
Content
Draftdocument
Author
L.Scott,K.
Venkiteswaran
ADVANTAGEANDADVANTAGESTANDARDCOVERAGEPOLICIES
SPP315
Page1of4
ADVANTAGEANDADVANTAGESTANDARDCOVERAGEPOLICYANDPROCEDURES
Contents
A) PURPOSE .............................................................................................................................. 2
B) COVERAGE.......................................................................................................................... 2
C) EXCLUSIONS ....................................................................................................................... 2
F) DEFINITIONS....................................................................................................................... 3
G) MARKETING PROGRAMS ............................................................................................... 4
H) REFERENCES ...................................................................................................................... 4
I) REVISIONS ........................................................................................................................... 4
SPP315
Page2of4
ADVANTAGEANDADVANTAGESTANDARDCOVERAGEPOLICYANDPROCEDURES
A) PURPOSE
Komatsu offers extended coverage programs on certain machines (Advantage). Please visit
Advantage under the Service section of the extranet (https://www.komatsuamerica.net) for a
complete list of programs available by machine (Coverage Type). The Advantage extended
coverage programs serve as an insurance policy against defects in material and workmanship and
extendsbeyondtheKomatsusProductWarrantyperiod.DistributorscanpurchaseanAdvantage
programforaspecificmachineandthenresellthecoveragetoaCustomer.Thispolicyprovidesan
overviewofthetermsoftheAdvantageprogram.
B) COVERAGE
KomatsuwillreimburseDistributorforspecificexpensesorportionsofspecificrelatedtocorrecting
defectsinmaterialorworkmanshiptocertaincomponents(CoveredItems)onamachinewhere
theDistributorhaspurchasedanAdvantageprogram(Machine).Ingeneral,therepairsexecuted
incorrectingthesedefectsshouldrestoretheCoveredItemstotheiroperatingconditionjustprior
tothefailure.
The Covered Items depend on the Coverage Type purchased (see FORM Advantage Customer
Certificateform),andthecoverageperiodisspecifictotheprogrampurchasedfortheMachine.
Komatsus reimbursement will follow the terms outlined in Reimbursement Policy Section of the
C) EXCLUSIONS
ThefollowingarenoteligibleforCoverage:
1. ItemslistedunderSection2(Exclusionsandlimitations)oftheFORMAdvantageCustomer
Certificate.
2. CoveredItemfailuresresultingfrom:
a. FailuresofpartsfromalliedsuppliersorpartsnotprocuredthroughKomatsu.
b. Machineoptions,accessories,modifications,orworkequipmentnotauthorizedforuse
byKomatsu.
c. ImproperinitializationproceduresduringMachinecommissioning.
d. ShipmentdamagetoMachineorCoveredItems.
e. ImproperMachinestorageprocedures.
f. Incompleteorfaultyrepairproceduresonpreviousrepairsormaintenancecompleted
bytheDistributor.
1. Distributor may request access to purchase Advantage coverage by emailing
extendedcoverage@komatsuna.com.
2. DistributorwillusethepurchasetoolsprovidedwithintheAdvantagepagesontheextranetto
reviewandpurchaseAdvantagecoverage.Inaneventwherethetypeofprogramrequiredby
SPP315
Page3of4
3.
4.
5.
6.
the Distributor is unavailable, Distributor can submit a Special Request using the extranet
screens (https://www.komatsuamerica.net). Alternatively, the Distributor can request the
specialcoverageviaemailtoextendedcoverage@komatsuna.com.
DistributorwillreviewthetermsoftheDistributorandCustomeragreement(FORMAdvantage
Customer Certificate) with the Customer representative. KOWA Oil sampling is required for
ConstructionandMiningmachinesonly.
Distributor will carry out the functions specified under the Section 4 (Distributor
Responsibilities)oftheFORMAdvantageCustomerCertificateforeachAdvantageagreement
ineffect.
Distributor will complete Covered Repairs, store the failed parts and register claims for
DistributorshouldacceptCustomerrequestfortransferofCoveragetoanewCustomerunder
Section6ofFORMAdvantageCustomerCertificateaslongastheMachineisrelocatedwithin
thecountrytheMachinewassoldorrelocatedtotheUnitedStatesofAmericaorCanada.
1. Komatsu will respond promptly to Distributor requests for access to the Advantage purchase
toolandtospecialcoveragerequest.
2. KomatsuwillprovideDistributorpricingorotherrebatesorincentivesonAdvantagepurchases
perthetermsinspecifiedunderSectionGofthispolicy.
F) DEFINITIONS
1. CompactConstructionMachines:CrawlerCarriers,WheelloaderssmallerthanWA150,
ExcavatorssmallerthanPC120,CrawlerDozerssmallerthanaD37,CrawlerandTrackSkid
SteerLoaders,andBackhoeLoaders.
2. MiningMachines:CrawlerdozerslargerthanD275,DumptruckslargerthanHD605,Wheel
loaderslargerthanWA700andExcavatorsandshovelslargerthanPC1250.
3. ConstructionMachines:KomatsumachinesthatareneitherCompactConstructionorMining
Machines.
policies.
SPP315
Page4of4
G) MARKETINGPROGRAMS
Date
Program
Program ProgramName:Summary
Start
End
1
4/1/2010
tbd
SalespersonincentiveandDistributorrebate
H) REFERENCES
1. FormAdvantageCustomerCertificate
I)
REVISIONS
Revision
1
Date
12/6/2010
Content
Draftdocument
Author
K.Venkiteswaran,C.
Wasik
Program
Letter
1211
PARTSANDCOMPONENTWARRANTYCOVERAGEPOLICY
SPP316
Page1of4
Contents
A) PURPOSE .............................................................................................................................. 2
B) COVERAGE.......................................................................................................................... 2
C) EXCLUSIONS ....................................................................................................................... 2
F) DEFINITIONS....................................................................................................................... 4
G) REFERENCES ...................................................................................................................... 4
H) REVISIONS ........................................................................................................................... 4
SPP316
Page2of4
A) PURPOSE
KomatsuwarrantsthatPartsandComponentsprocuredbytheDistributorfromKomatsuforresale
to Customers or for use on Distributor Machines will be free of defects in material and
workmanship.
This policy provides an overview of the terms of Komatsus Parts and Component Warranty
CoveragePolicy.
B) COVERAGE
restorethePartorComponenttotheiroperatingconditionjustpriortothefailure.
3. ThewarrantyperiodforthePartorComponentextendsfor12monthsfrom:
a. ThedatethePartorComponentisinstalledonaMachineiftheDistributorinstallsthePart
orComponent;or
b. The date the Part or Component is sold to the Customer if the Customer or Third Party
installsthePartorComponent.
4. Components are called out separately from other Parts because Komatsu will reimburse the
Distributorforspecificadditionalexpensesincorrectingdefectsidentifiedduringthewarranty
period(seeReimbursementPolicyfordetails).ComponentsrefertotheitemslistedinTable
1.
Table 1: List eligible for Component Warranty Coverage
Item#
Component
1
Engineassembly
2
Torqueflowassembly[torqueconvertor,
transmission,anddropboxifapplicable]
3
Powermodule[torqueconvertor,transmission
andsteeringcase]
4
Transmissions
5
TorqueConvertors
Item#
6
7
Component
Differentials
FinalDrives
Pistonpumps
PistonMotors
11
RemanParts
C) EXCLUSIONS
a. Repairsorreplacementsof:
i. PartorComponentsthatarewornbecauseofuse.Examplesofwearresultingfromuse
wouldinclude,bywayofexamplebutnotlimitation,oilconsumptionandhighblowby
SPP316
Page3of4
pressureonengines,hydrauliccylindersealleaks,wearofclutchorbrakepacks,pinsor
bushings,etc.
ii. PartorComponentsthatarenotprocuredfromKomatsu.
b. Operating expenses on required to keep the Part or Component in good operating condition
including,bywayofexamplebutnotlimitation:
reportfees.
c. Failuresresultingfrom:
MachinesO&Mmanual.
panel, Komtrax PLUS, Komtrax, PLM or any other systems (Machine Monitoring
Systems) show critical errors, indicate that Part or Components are compromised by
failuresorareperformingbelowspecifications,orwhenKomatsuortheDistributorhas
requestedthatPartsorComponentsberepairedorremovedfromtheMachinebecause
ofanimpendingfailure,Komatsuauthorizedfieldcampaignorothergoodcause.
viii. ImproperMachine,PartorComponentstorageprocedures.
ix. Incompleteorfaultyrepairproceduresonpreviousrepairs.
x. ImproperinitializationproceduresduringMachine,PartorComponentcommissioning.
xi. Machine attachments options, accessories, modifications, or work equipment not
xii. Worksitehazardsorfallingobjects.
xiii. Fire,accidents,vandalism,theft,actsofterrorismorwar,actsofnatureorothercauses
xiv. Misuse,misapplication,negligenceorothermisconductonthepartoftheDistributor,
SPP316
Page4of4
1. DistributorwillreviewthetermsofKomatsusPartsandComponentCoveragePolicywiththe
CustomerrepresentativewhenaPartorComponentissoldtotheCustomer.
2. DistributorwillestablishandmanageanoilconditionmonitoringforwheelmotorsonElectric
DriveTrucks.
F) DEFINITIONS
policies.
8. RemanParts:RemanPartsarepartssuppliedthroughKomatsusRemanufacturingprogram.
TheseparthaveapartnumberwiththeprefixR.
G) REFERENCES
H) REVISIONS
Revision Date
1
12/5/2010
Content
Draftdocument
Author
K.Venkiteswaran,J.
Robson,G.Toro
FACTORYCAMPAIGNCOVERAGEPOLICY
SPP317
Page1of5
Contents
A) PURPOSE .............................................................................................................................. 2
B) COVERAGE.......................................................................................................................... 2
C) EXCLUSIONS ....................................................................................................................... 3
F) DEFINITIONS....................................................................................................................... 4
G) REFERENCES ...................................................................................................................... 4
H) REVISIONS ........................................................................................................................... 5
SPP317
Page2of5
A) PURPOSE
KomatsumayissueFactoryCampaignLetterstoannounceFactoryCampaignstotheDistributor.A
Factory Campaign is a tool for Komatsu to provide the Distributor reimbursement for specific
expensesrelatedtoupdatingorrepairingcertainMachinesintheDistributorsserviceterritory.
CertainFactoryCampaignsmaybeMandatory,requiringthattheDistributorcompletetheupdates
or repairs to all the Machines in the Distributors service territory on a proactive basis. Other
Factory Campaigns may be Fix As Fail, whereby the Distributor should complete the repair or
updateifathespecifictypeoffailurecoveredbytheFactoryCampaignisreportedbytheCustomer.
FactoryCampaignsmaybeissuedtoMachinesthathaveotherCoveragePoliciesineffectsuchas
StandardProductWarrantyorAdvantage.Insuchcases,theFactoryCampaignCoveragewillserve
as the primary facility for reimbursing the Distributor. If the Machine has a pertinent Advantage
CoverageandtheFactoryCampaignCoverageissubjecttoproration,theDistributorcanutilizethe
Advantage Coverage to claim reimbursement for the value prorated under the Factory Campaign
Coverage.
ThispolicyprovidesanoverviewofthetermsoftheKomatsusFactoryCampaignCoveragePolicy.
B) COVERAGE
1. KomatsuwillreimbursetheDistributorforspecificexpensesoutlinedintheFactoryCampaign
LettertocompletetherepairsorupdatesoutlinedintheletteronspecificMachineseligiblefor
theFactoryCampaign.
2. TherepairsorupdatestotheMachinemustbecompletedwithinthetimeframespecifiedin
theFactoryCampaignlettertobeeligibleforCoverage.Komatsuwilladditionallyreimburse
theDistributorforreplacingorrepairingpartsontheMachinethatweredamagedbecausethe
intervention was not completed prior to preventing the failure addressed by the Factory
Campaign Letter. There may however, be certain Factory Campaigns that need to be
completedonaproactivebasiswheretheinterventioniscompletedbeforethesubjectpartor
partsintheFactoryCampaignfail(s).Inthesecases,theFactoryCampaignCoveragewillnot
cover the additional expenses. For example, if a Factory Campaign required preventative
maintenance for early identification of a potential failure and the failure occurs because the
preventativemaintenancewasnotcompletedinatimelyfashion,theadditionalcostsrelated
tothefailurewillnotbereimbursable.
3. KomatsusreimbursementwillfollowthetermsoutlinedineachFactoryCampaignLetter.The
Reimbursement Policy Section of the Warranty and Coverage Policies has some general
information on rates for the Distributors labor and mileage related expenses on Factory
Campaignservices.
SPP317
Page3of5
C) EXCLUSIONS
Services outside of the scope specified in the Factory Campaign Letter. Each Factory Campaign
LettermayincludelimitationsonMachineseligiblefortherepairorupdatebasedontheMachines
yearofmanufacture,servicemeterreading,application,locationetc.
1. DistributorwillreviewthetermsofeachFactoryCampaignLettertodetermineiftheparticular
FactoryCampaignisapplicableforanyMachinesintheDistributorsserviceterritory.
2. Distributors are required to complete Mandatory Factory Campaign interventions for all the
eligible Machines in the Distributor service territory. Distributor will be responsible for any
costs for damages arising from not completing Mandatory Factory Campaigns within the
timeframespecifiedintheFactoryCampaignLetter.
3. DistributormustcontactCustomersthatownMachinesthatareeligibleforMandatoryFactory
CampaignstoexplainthescopeofFactoryCampaignandagreeonascheduletocompletethe
repairorupdate.IftheCustomerrefusestheFactoryCampaign,theDistributormustcomplete
a FACTORY CAMPAIGN REFUSAL ACKNOWLEDGEMENT FORM and secure the Customers
signature.ThislettershouldbestoredintheMachineFileandacopyshouldbeattachedona
Claim against the Factory Campaign to the subject Machine per the Reimbursement Policy
Section. The requested reimbursement value requested for this type of Claim should be $0
(includewithotherSpecialCircumstances).
4. Distributorwillexplainthescopeofa FixasFail FactoryCampaignsCoveragetoaCustomer
andcompletetheupdateorrepairpertheFactoryCampaignLetterwhenafailureisreported.
5. Distributor can request additional Machines be added to the scope of a particular Factory
Campaign or for the Coverage term to be extended by sending an email to
fcsupport@komatsuna.com.
a. The email for adding Machines to a Factory Campaign should include the campaign
number,andthefollowinginformationforeachMachinebeingincludedintherequest:
model,serialnumber,servicemeterreading,Customernameandthereasonwhythe
MachineshouldbeaddedtothescopeoftheFactoryCampaign.
b. TheemailrequestingtheCoveragetermonaFactoryCampaignbetoextendedshould
bereceivednolaterthan30daysfromtheFactoryCampaignEndDatepublishedinthe
Factory Campaign Letter and should include: campaign number, Machine model and
serial number for Machines that are expected to be incomplete as of the Factory
Campaign end date, the reason the delay in completing the campaign on these
Machines,andtherequestedextensiontotheterm.
6. DistributorcansubmitaCLAIMAUTHORIZATIONFORMtoaKomatsurepresentativetorequest
Coverage for a Fix as Fail Campaign to be applied on a proactive (before failure basis) to
specificMachinesthatareinproductionapplicationsforkeyCustomers.
7. ForcertainMandatoryFactoryCampaigns,Komatsumayshippartsrequiredfortherepairsor
updatestotheDistributorsmainbranchlocation.Thepartswillbeshippedtotheattentionof
SPP317
Page4of5
the Factory Campaign Coordinator. The Distributor will be required to ship these parts
betweenthemainbranchandvariousotherDistributorandCustomerlocationsasneededto
completethecampaign.
8. AfterthecompletionofaCoveredRepair,Distributorwillfileclaimsforreimbursementperthe
termsspecifiedintheFactoryCampaignLetterandtheReimbursementPolicySection.
9. Distributor is responsible for all cost related to a Factory Campaign if the repair is completed
after Coverage period has expired. In these cases, the Distributor should file a Claim for $0
usingtheinstructionsoutlinedintheReimbursementPolicySectiontonotifythattheFactory
CampaignforaparticularMachinehasbeencompleted.
1. Komatsu will review requests received at fcsupport@komatsuna.com and through CLAIM
AUTHORIZATIONFORMsonacasebycasebasis.Komatsumayormaynotbeabletoaccept
theCoveragechangesrequestedbytheDistributor.
F) DEFINITIONS
3. MandatoryFactoryCampaign:AFactoryCampaignthatrequiredtheDistributortocomplete
theupdatesorrepairstoalltheMachinesintheDistributorsserviceterritoryonaproactive
basis.
4. FixAsFailFactoryCampaign:AFactoryCampaignthatrequirestheDistributortocompletethe
repairorupdateifathespecifictypeoffailurecoveredbytheFactoryCampaignisreportedby
theCustomer.
5. FactoryCampaignLetter:LetterfromKomatsuannouncingaFactoryCampaign.SeeKomatsu
ExtranetServiceApplicationspresentationsforinstructionsonhowtoaccessFactory
CampaignLetters.
policies.
G) REFERENCES
3. CLAIMAUTHORIZATIONFORM
SPP317
Page5of5
FACTORYCAMPAIGNREFUSALACKNOWLEDGEMENTFORM
5. KomatsuExtranetServiceApplications
4.
H) REVISIONS
Revision Date
1
12/5/2010
Content
Draftdocument
Author
K.Venkiteswaran,T.
Robson,M.Hayes
POLICY&SPECIALPOLICYCOVERAGEPOLICY
SPP318
Page1of4
POLICYANDSPECIALPOLICYCOVERAGEPOLICY
Contents
A) PURPOSE .............................................................................................................................. 2
B) COVERAGE.......................................................................................................................... 2
C) EXCLUSIONS ....................................................................................................................... 2
F) DEFINITIONS....................................................................................................................... 4
G) REFERENCES ...................................................................................................................... 4
H) REVISIONS ........................................................................................................................... 4
SPP318
Page2of4
POLICYANDSPECIALPOLICYCOVERAGEPOLICY
A) PURPOSE
KomatsuofferspolicycoveragetoDistributorstosupportCustomerswithexpensesforcertainout
ofwarrantyfailuresorforcoststhatarenotcoveredbyoneofKomatsusotherCoveragePolicies.
PolicyisacommercialgoodwillgesturefromKomatsuandisintendedtoensurethattheCustomer
receivesfairvalueforinvestingintheKomatsuproductandtoreinforcetheCustomersconfidence
in the Machine, the Distributor and Komatsu. Distributor is expected to manage this Coverage
Policy in a proactive manner by offering upfront discounts to Customers where value was not
received.
PolicyCoverageisnotintendedtosupplementtheDistributorsallowancesfordoubtfulaccountsor
counteracttheDistributorsinabilitytoenforceinvoicepaymenttermswithCustomers.
ThispolicyprovidesanoverviewofthetermsoftheKomatsusPolicyandSpecialPolicyCoverage.
B) COVERAGE
1. KomatsuwillreimbursetheDistributorforaproratedportionofspecificexpensesincurredin:
a. Correcting early hour unplanned failures on Machine parts. In general, the repairs
executedshouldrestoretheMachinetoitsoperatingconditionjustpriortothefailure.
b. Providing Customers with makeup equipment when the Customers Machine has to be
removedfromproductionforrepairs.
the Warranty and Coverage Policies. Komatsus contribution towards the total expenses in
boththePolicyCoverageandtheSpecialPolicyCoverageissubjecttoproration.
3. Policy Coverage is available only for Distributors in Canada and USA and has a set proration
level specified in the Section Q of the Reimbursement Policy Section of the Warranty and
CoveragePolicies.
4. SpecialPolicyCoverageisavailabletoallDistributors,andissubjecttoprorationfromKomatsu
onacasebycasebasis.Thecostfortherepairhastoexceed$2,500forCompactConstruction
andConstructionMachinesand$5,000forMiningMachinestobeeligibleforSpecialPolicy.
DistributorsinCanadaortheUSAshoulduseSpecialPolicyCoveragewhen:
a. Requesting Komatsu for a proration level that is different than the one specified under
PolicyCoverage.
b. TherepairortypeofexpenseisnoteligibleforPolicyCoverage.
c. TherepairistoaDistributorownedMachine.
C) EXCLUSIONS
ThefollowingarenoteligibleforCoverage:
1. Repairs to Distributor owned Construction Machines that do not have or have never had an
AdvantageCoverage.
SPP318
Page3of4
2. RepairstoMachinesthathaveeligibleCoverageunderoneofKomatsusotherpoliciessuchas
StandardWarrantyorFactoryCampaignCoverage.
3. RepairsthathavehadrejectedclaimsunderoneofKomatsusotherpoliciesfornotmeetingthe
Claimsubmissionoracceptancerequirements.
4. RepairstoMachinesthathaveapplicableKomatsubackedrepairandmaintenanceprograms.
5. RepairstoMachinesthathaveapplicableThirdPartyorDistributorbackedinsurancepolicies.
For example, a damper failure on a Machine with a Distributor backed power train insurance
policy will not be eligible for coverage under this policy if the insurance policy is in effect. A
boom failure on the same Machine will however, be eligible for coverage under the terms of
thispolicy.
6. Repairs to optional equipment on the Machine that are not purchased from Komatsu
(examples: dump body, rims or tires on dump trucks and quick couplers, buckets or hydraulic
hammersonhydraulicexcavators,etc.).
7. RepairsorfailureofnonKomatsusourcedpartsinstalledontheMachine.
8. Machineorcomponentpartfailuresresultingfrom:
a. FailuresofpartsfromalliedsuppliersorpartsnotprocuredthroughKomatsu.
b. Incomplete or faulty repair procedures on previous repairs by the Distributor or
Customer.
c. ImproperinitializationproceduresduringMachinecommissioning.
d. Shipmentdamage.
e. Fireoraccidents.
f. Vandalismortheft.
g. Actsofterrorismorwar.
h. Worksitehazardsorfallingobjects.
i. Actsofgod(earthquakes,floods,etc.).
1. Distributor will assess value received by the Customer in each case, and develop a fair
arrangement to share the repair costs with the Customer. Distributor should approach the
Customerwithaproposaltoshareinthecostsbeforereceivingarequestforsupportfromthe
Customer.
2. ForSpecialPolicyCoverageonly:oncetheDistributorhasanagreementwiththeCustomer,the
Distributor should then determine an equitable sharing arrangement for the remaining
expensesbetweentheDistributorandKomatsu.
SPP318
Page4of4
F) DEFINITIONS
1. CompactConstructionMachines:CrawlerCarriers,WheelloaderssmallerthanWA150,
ExcavatorssmallerthanPC120,CrawlerDozerssmallerthanaD37,CrawlerandTrackSkid
SteerLoaders,andBackhoeLoaders.
2. MiningMachines:CrawlerdozerslargerthanD275,DumptruckslargerthanHD605,Wheel
loaderslargerthanWA700andExcavatorsandshovelslargerthanPC1250.
3. ConstructionMachines:KomatsumachinesthatareneitherCompactConstructionorMining
Machines.
policies.
9. Claim:AClaimisarequesttoKomatsuforreimbursementforservicesprovidedbya
G) REFERENCES
H) REVISIONS
Revision Date
1
12/5/2010
Content
Draftdocument
Author
K.Venkiteswaran,J.
Robson,G.Toro,M.
Hayes,A.Rizzo
UNDERCARRIAGEASSURANCECOVERAGEPOLICY
SPP319
Page1of5
Contents
A) PURPOSE .............................................................................................................................. 2
B) COVERAGE.......................................................................................................................... 2
C) EXCLUSIONS ....................................................................................................................... 3
F) DEFINITIONS....................................................................................................................... 4
G) REFERENCES ...................................................................................................................... 5
H) REVISIONS ........................................................................................................................... 5
SPP319
Page2of5
A) PURPOSE
KomatsuoffersUndercarriageAssuranceProgramCoverageunderPriceandPolicyLetterKA795to
supportDistributorsindifferentiatingtheKomatsu productspecifiedinthe marketingletterfrom
the competition at the time of sale. The program provides performance guarantees for specific
Undercarriage Components and the guarantees extend beyond the Product Warranty Coverage
period.
ThispolicyprovidesanoverviewofthetermsoftheKomatsusUndercarriageAssuranceCoverage
Policy.
B) COVERAGE
1. Komatsu will reimburse the Distributor a prorated portion of specific expenses related to
correcting defects in material or workmanship to Undercarriage Components. Whenever
possible, the repairs executed in correcting these defects should restore the Machine to its
operatingconditionjustpriortothefailure.
the Warranty and Coverage Policies. Komatsus contribution towards the total expenses is
subjecttotheprorationlevelspecifiedintheSectionQoftheReimbursementPolicySection
oftheWarrantyandCoveragePolicies.
3. The assurance period for the Undercarriage Components extends for 36 months or 4,000
hours,whichevercomesfirst,fromtheMachinesFIDdate.
4. Table1summarizestheconditionsforCoverage.TheCoverageislimitedbyspecificpartsthat
qualifyasUndercarriageComponents,themodeoffailureoftheparts,andtheconditionofthe
partatthetimeoffailure.
Table1:ConditionsforCoverageeligibility
UndercarriageComponent
ModeofFailure
1
ConditiontoqualifyforCoverage1
Linkassembly(less
shoes/pads)
Breakage/crackorleak
Linkheightlessthan100%worn
Trackandcarrierrollers
Rollerlessthan100%worn
Frontidlers
Idlerlessthan100%worn
Sprocketteeth
Breakage/crack
Sprocketsegmentlessthan100%worn
Bushinglessthan100%worn
1
The%worncomparesthecriticalweardimensionofaparttothedimensionofthepartwhencompletelywornas
specifiedinKomatsusUndercarriageorShopManual.
SPP319
Page3of5
C) EXCLUSIONS
a. Repairs to Machines that have not been registered for the Coverage per the terms specified
underSectionDbelow.
b. Leakafterpinandbushingturn.
c. Repairsorreplacementsofpartsthatare100%worn.
d. RepairsorreplacementofpartsthatarenotprocuredfromKomatsu.
e. OperatingexpensesrequiredtokeeptheMachineingoodoperatingconditionincluding,byway
i. Tracktensionadjustments.
(O&M Manual), including the cost of periodic maintenance items such as lubricants,
grease,andretorqueofshoes/pads.
f. Failuresresultingfrom:
iii. Failureofacomponentorpartnotcoveredbythisprogram.
iv. OperatingtheMachineoutsidetheguidelinesspecifiedinO&MManual.
MachinesO&Mmanual.
vi. Continuing to operate the Machine when leaks or vibration indicate that the
Undercarriage Components are compromised by failures or are performing below
specifications,orwhenKomatsuortheDistributorhasrequestedthatcomponentsbe
repaired or removed from the Machine because of an impending failure, Komatsu
authorizedfieldcampaignorothergoodcause.
vii. ImproperMachineorreplacementpartstorageprocedures.
viii. Incompleteorfaultyrepairproceduresonpreviousrepairs.
ix. ImproperinitializationproceduresduringMachineorreplacementpartcommissioning.
x. Machine attachments options, accessories, modifications, or work equipment not
xi. Worksitehazardsorfallingobjects.
xii. Fire,accidents,vandalism,theft,actsofterrorismorwar,actsofnatureorothercauses
xiii. Misuse,misapplication,negligenceorothermisconductonthepartoftheDistributor,
Customeroranyotherperson.Misuseofmisapplicationincludestheuseofshoes/pads
ontheMachinethatdonotmatchtheapplication.Examplefailuresresultingfromthe
useofwideshoesinhardrockapplications.
1. DistributormustreviewthetermsofKomatsusUndercarriageAssuranceCoveragePolicywith
theCustomerrepresentative.FORMUndercarriageAssuranceProgramCertificateisacopyof
thecertificatefortheCustomer.
SPP319
Page4of5
DistributormustregisterfortheCoverageusingtheUndercarriageAssurancelinkintheService
homepageofKomatsusExtranetSystem(https://www.komatsuamerica.net)within30daysof
thedateoffinalsaleoftheMachinetoaCustomerforCustomerownedMachines,orwithin30
days of bringing the Machine into the Distributor rental fleet for Machines in the DORF
program.
3. If possible, the Distributor should setup an ongoing program to monitor the wear to the
Undercarriage Components for each Machine that is covered by the program. Komatsus
eCAREprogramavailableovertheextranet(https://www/komatsuamerica.net)canbeusedasa
facilitytomanagesuchaprogram.
2.
F) DEFINITIONS
policies.
Policies.
system.
Active.
SPP319
Page5of5
12. DORF:MachinesinDistributorsrenttorentfleet.TheseMachinesgenerallyhavethestatus
RENTTORENT(Z)inKomatsusPRONTOsystem.
G) REFERENCES
3. FormUndercarriageAssuranceProgramCertificate
5. KA795marketingpolicyletter.
H) REVISIONS
Revision Date
1
12/5/2010
Content
Draftdocument
Author
K.Venkiteswaran,J.
Robson,G.Toro,B.
Boebel
REPLACEMENTUNDERCARRIAGEASSURANCEPROGRAMCOVERAGEPOLICY
SPP3110
Page1of5
REPLACEMENT UNDERCARRIAGEASSURANCEPROGRAMCOVERAGEPOLICY
Contents
A) PURPOSE .............................................................................................................................. 2
B) COVERAGE.......................................................................................................................... 2
C) EXCLUSIONS ....................................................................................................................... 3
F) DEFINITIONS....................................................................................................................... 4
G) REFERENCES ...................................................................................................................... 4
H) REVISIONS ........................................................................................................................... 5
SPP3110
Page2of5
A) PURPOSE
Komatsu offers the Parts PPL 835 marketing program to support Distributors in differentiating
Komatsugenuinepartsfromthecompetition.Theprogramprovidesperformanceguaranteesfor
specific Undercarriage Components for the machines specified in the program letter. The
performanceguaranteesextendbeyondthePartsWarrantyCoverageperiod.
ThispolicyprovidesanoverviewofthetermsoftheKomatsusReplacementUndercarriageProgram
CoveragePolicy.
B) COVERAGE
1. Komatsu will reimburse the Distributor a prorated portion of specific expenses related to
correcting defects in material or workmanship to Undercarriage Components. Whenever
possible, the repairs executed in correcting these defects should restore the Machine to its
operatingconditionjustpriortothefailure.
3. ThecoverageperiodfortheUndercarriageComponentsextendsfor36monthsor4,000hours,
whichevercomesfirst,fromthedatetheCustomerpurchasestheUndercarriageComponents
overthecounterfromtheDistributor,orthedatetheUndercarriageComponentsareinstalled
bytheDistributorontheCustomersMachine.
4. Ataminimum,theUndercarriageComponentslistedinTable1havetobepurchasedaspartof
acompleteundercarriageset,atrackassemblywithsprocketsegments,orasetoftrackrollers
or carrier rollers to be eligible for this program. A sprocket segment or a carrier roller
purchasedindependentlyofotherundercarriagepartsforexample,willnotbeeligibleforthis
coverage.
5. Table 1 summarizes additional conditions for Coverage. The Coverage is limited by specific
parts that qualify as Undercarriage Components, the mode of failure of the parts, and the
conditionofthepartatthetimeoffailure.
SPP3110
Page3of5
Table1:ConditionsforCoverageeligibility
UndercarriageComponent
ModeofFailure
1
Linkassembly(lessshoes/pads) Breakage/crackorleak
ConditiontoqualifyforCoverage1
Linkheightlessthan100%worn
Bushinglessthan100%worn
Trackandcarrierrollers
Rollerlessthan100%worn
Frontidlers
Idlerlessthan100%worn
Sprocketteeth
Breakage/crack
Sprocketsegmentlessthan100%worn
The%worncomparesthecriticalweardimensionofaparttothedimensionofthepartwhencompletelywornas
specifiedinKomatsusUndercarriageorShopManual.
C) EXCLUSIONS
a. Leakafterpinandbushingturn.
b. Repairsorreplacementsofpartsthatare100%worn.
c. RepairsorreplacementofpartsthatarenotprocuredfromKomatsu.
d. OperatingexpensesrequiredtokeeptheMachineingoodoperatingconditionincluding,byway
e. Failuresresultingfrom:
MachinesO&Mmanual.
SPP3110
Page4of5
ontheMachinethatdonotmatchtheapplication.Examplefailuresresultingfromthe
useofwideshoesinhardrockapplications.
1. DistributormustreviewthetermsofKomatsusReplacementUndercarriageProgramCoverage
PolicywiththeCustomerrepresentative.
reimbursementfromKomatsuperthetermsspecifiedinReimbursementPolicySectionsection
F) DEFINITIONS
policies.
Policies.
G) REFERENCES
SPP3110
Page5of5
4.
PPL835marketingpolicyletter.
H) REVISIONS
Revision Date
1
12/5/2010
Content
Draftdocument
Author
K.Venkiteswaran,J.
Robson,G.Toro
UNDERCARRIAGEPLUSCOVERAGEPOLICY
SPP3111
Page1of5
Contents
A) PURPOSE .............................................................................................................................. 2
B) COVERAGE.......................................................................................................................... 2
C) EXCLUSIONS ....................................................................................................................... 2
F) DEFINITIONS....................................................................................................................... 4
G) REFERENCES ...................................................................................................................... 4
H) REVISIONS ........................................................................................................................... 5
SPP3111
Page2of5
A) PURPOSE
Komatsu offers the KA 1085 marketing program, published on Price and Policy letter KA 1085, to
supportDistributorsindifferentiatingtheKomatsuproductsspecifiedinthemarketingletterfrom
thecompetitionatthetimeofsale.TheKomatsuproductsspecifiedinthemarketingletterhave
the PLUS undercarriage system and this program provides a wearout performance guarantee for
specific Undercarriage Components. The scope and period of this guarantee extends beyond the
ProductWarrantyandtheUndercarriageAssuranceProgram.WhiletheUndercarriageAssurance
Program covers leak or breakage to certain Undercarriage Components, this program covers
acceleratedwear.
ThispolicyprovidesanoverviewofthetermsoftheKomatsusUndercarriagePlusCoveragePolicy.
B) COVERAGE
1. KomatsuwillreimbursetheDistributorforaproratedportionofspecificexpensesrelatedto
correctingearlywearoutofUndercarriageComponents.
3. TheguaranteeperiodfortheUndercarriageComponentsissetbytheDistributorbasedonthe
undercarriage life achieved by other machines on the Customer site that are in the same
application,butdonothavethePLUSorequivalenttechnology(conventionalundercarriage).
4. The Distributor can guarantee that with the new PLUS system in the same application, the
Customer will realize up to double the life achieved on the item that wore out first on the
conventional undercarriage. The Distributor can guarantee a maximum coverage period for
any Machine of 60 months or 6,000 hours, whichever comes first, from the Machines FID
date.
5. Coverageislimitedto thefollowingspecificparts thatqualifyasUndercarriageComponents:
linkassembly(lesspads/shoes),trackrollers,carrierrollers,frontidlersandsprocketteeth.
C) EXCLUSIONS
a. Repairs to Machines that have not been registered for the Coverage per the terms specified
underSectionDbelow.
b. Distributorownedmachines.
c. Wearafterpinandbushingturns.PLUSequippedmachinesdonotrequireapinandbushing
turnandtheUndercarriageComponentsshouldwearevenly.
d. RepairsorreplacementofpartsthatarenotprocuredfromKomatsu.
e. OperatingexpensesrequiredtokeeptheMachineingoodoperatingconditionincluding,byway
SPP3111
Page3of5
f.
Failuresresultingfrom:
MachinesO&Mmanual.
on the Machine that do not match the application. Example failures or accelerated
wearresultingfromtheuseofwideshoesinhardrockapplications.
1. Distributormustreview thetermsofKomatsusUndercarriage PLUSCoveragePolicywiththe
Customerrepresentative.FormUndercarriagePLUSProgramisacopyofthecertificateforthe
Customer.
2. DistributormustregisterfortheCoverageusingtheUndercarriageAssurancelinkintheService
homepageofKomatsusExtranetSystem(https://www.komatsuamerica.net)within30daysof
thedateoffinalsaleoftheMachinetoaCustomerforCustomerownedMachines.
SPP3111
Page4of5
4.
Distributor will complete Covered Repairs, store the failed parts and register claims for
F) DEFINITIONS
policies.
Policies.
system.
Active.
G) REFERENCES
3. FormUndercarriagePLUSProgramCertificate
5. KA1085PriceandPolicyletter.
SPP3111
Page5of5
H) REVISIONS
Revision Date
1
12/5/2010
Content
Draftdocument
Author
K.Venkiteswaran,J.
Robson,G.Toro,B.
Boebel
REIMBURSEMENTPOLICY
SPP321
Page1of19
REIMBURSEMENTPOLICY
Contents
A)
PURPOSE...................................................................................................................................... 2
B)
ELIGIBILITYCRITERIAFORREIMBURSEMENT ................................................................................ 2
C)
REPAIRTIMEFRAME .................................................................................................................... 3
E)
CLAIMSUBMISSIONTIME............................................................................................................. 4
F)
CLAIMTYPETOREGISTER............................................................................................................. 5
G)
INFORMATIONREQUIREDONALLCLAIMS ................................................................................... 5
H)
TECHNICALDESCRIPTIONREQUIREDONCLAIMS.......................................................................... 6
I)
TECHNICALDOCUMENTATIONREQUIREDONCLAIMS.................................................................. 8
K)
REIMBURSEMENTPOLICYANDCLAIMDOCUMENTATIONFORDISTRIBUTORSUPPLIEDPARTS .... 9
L)
REIMBURSEMENTPOLICYANDCLAIMDOCUMENTATIONFORDISTRIBUTORSUPPLIEDLABOR.. 10
M) REIMBURSEMENTPOLICYANDCLAIMDOCUMENTATIONFORTRANSPORTATIONAND
COMPONENTHANDLINGEQUIPMENT ............................................................................................... 11
N)
REIMBURSEMENTPOLICYANDCLAIMDOCUMENTATIONFORFREIGHTCHARGES ..................... 12
O)
REIMBURSEMENTPOLICYANDCLAIMDOCUMENTATIONFORTHIRDPARTYSERVICE................ 13
P)
REIMBURSEMENTPOLICYANDCLAIMDOCUMENTATIONFORMISCELLANEOUSEXPENSES ....... 14
Q)
REIMBURSEMENTPOLICYANDCLAIMDOCUMENTATIONFORPRORATIONANDDEDUCTIBLES . 16
R)
DOCUMENTINGSPECIALCIRCUMSTANCESONCLAIMS .............................................................. 17
S)
COSTANDTIMINGINFORMATIONFROMDISTRIBUTORBUSINESSSYSTEMREQUIREDONCLAIMS
.................................................................................................................................................. 17
T)
MISCELLANEOUS ........................................................................................................................ 18
U)
DEFINITIONS .............................................................................................................................. 18
V)
REFERENCES ............................................................................................................................... 19
W) REVISIONS.................................................................................................................................. 19
REIMBURSEMENTPOLICY
SPP321
Page2of19
A) PURPOSE
Thisschedulesummarizes:
1. CriteriaforDistributorstomaintaineligibilityforreimbursementforservicesprovidedunderaKomatsu
CoveragePolicy;
2. KomatsusreimbursementtermsonthevarioustypesofCoveragePolicies;and
3. Information required by Komatsu on Claims to complete a technical and financial evaluation of the
service.
Claims are an extremely important source of technical information for Komatsu. The quality of the
technicalinformationintheClaimssubmittedbytheDistributorshouldbeaccurateandcompleteenough
foranengineeratKomatsutogainanindepthunderstandingforthefailurewithoutvisitingtheMachineor
personallyhandlingthefailedparts.ThetechnicalinformationinClaimsisusedbyKomatsuinareliability
monitoringprocesstoidentifyemergingqualityproblemsandbyKomatsusengineerstodevelopongoing
designimprovements.
B) ELIGIBILITYCRITERIAFORREIMBURSEMENT
1. In order to be eligible for reimbursement of expenses incurred in executing a Covered Repair, the
Distributor is required to complete the repair within the timeframe specified below and maintain the
parts replaced during the repair for a potential recall byKomatsu. The Distributor is also required to
registeraClaimforreimbursementinKomatsu'sClaimsSystemwithinaspecifiedtimeframe,underthe
correctClaimtype,andwiththerequireddocumentationspecifiedbelow.
2. Theonlyexceptionforstoringfailedpartsandforthedocumentationstandardsspecifiedbelowarefor
repairscompletedunderFactoryCampaignCoverage.EachFactoryCampaignLetterspecificallyoutlines
dispositionoffailedorreplacedpartsandspecifiesinformationrequiredonClaimsinorderfortherepair
to be eligible for reimbursement from Komatsu. In the eventthat aFactory Campaign intervention is
late,andtheCustomerexperiencesconsequentialdamage,theDistributorshouldcarryoutallnecessary
repairs to correct the failure. The Distributor should follow all of the procedures specified below (in
additiontothebasicinformationrequestedontheFactoryCampaignLetter)torequestreimbursement
forservicestocorrecttheconsequentialdamage.
REIMBURSEMENTPOLICY
SPP321
Page3of19
C) REPAIRTIMEFRAME
DistributormustcompletetherepairandreturntheMachineorComponenttoservicewithinthetimeframe
specifiedbelowinordertobeeligibleforreimbursementunderKomatsusCoveragePolicies.
Table1:Repairtimeframetomaintaineligibilityforreimbursement
Condition
TimeframetocompleteCoveredRepair
MachineRepairs(repairscompletedonthe
MachineorattheCustomerorDistributor Maximumof15daysfromFailDateordateof
1 locationwhentheMachineisoutofservice completingareceivinginspectionifapartwas
example:replacementofasuspension
damagedormissingduringshipment
cylinder,orenginerepair)
CanadaandUSA:maximumof30daysfromtheFail
Date.
ExchangeComponentRepairs(repairs
completedatarebuildcenterexample:
Distributorcanuseateardowninspectionanda
2 overhaulofasuspensioncylinder
quotetoprepareaclaimwithinthe30daywindow
completedaftertheMachinehasbeen
oftheFailDateforExchangeComponentRepairsif
returnedtoservice)
therepairisgoingtotakelongerthan30daysto
scheduleandcomplete.
CountriesotherthanCanadaandUSA:maximumof
60daysfromtheFailDate.
Distributorcanuseateardowninspectionanda
quotetoprepareaclaimwithinthe60daywindow
oftheFailDateforExchangeComponentRepairsif
therepairisgoingtotakelongerthan60daysto
scheduleandcomplete.
D) FAILEDPARTSMANAGEMENT
PartsthatarereplacedunderCoveredRepairs(withtheexceptionofPolicyorSpecialPolicyCoverage)must
bestoredorhandledperthetermsdescribedbelowinorderforClaimstoremaineligibleforreimbursement.
PartsreplacedunderPolicyorSpecialPolicyCoveragehavenopartsstorageortreatmentrequirements.The
Distributormayhowever,wanttomaintainthepartsusedinSpecialPolicyrepairsincaseKomatsuneedsto
analyzethepartstodeterminehowmuchtocontributetowardstherepair.
1. Partsstoragetime:Distributorisrequiredtostorepartsthroughthetimeframespecifiedbelow:
a. PartthathasanMRANumber:untilClaimissubmittedtoKomatsuforreimbursement.
b. PartsthatdonothaveMRANumbers:foraperiodof90daysfromthedaytheDistributoris
reimbursedbyKomatsufortherepair.
2. Partsstorageconditions:Distributormustusethefollowingguidelinesinprotectingandstoringreplaced
parts:
a. Thepartsshouldbestoredinanenvironmentthatwillpreventanyfurtherdamageorlossoffailure
information.Thestoredpartsshouldbecleaned(unlessthisdestroystheevidenceofthecauseof
failure)andanyexposedsectionsmustbelightlycoatedwithoil,grease,orotherantirust
REIMBURSEMENTPOLICY
SPP321
Page4of19
compoundstopreventcorrosion.Certainpartssuchaselectroniccardmayneedtobestoredinanti
staticpouches,ormayhaveotherspecialstoragerequirements.
b. Thepartsmustbemarkedtoindicatetheexactlocationofdefects.Suitablefeltmarkers,metaldye
orfluorescentpaintarerecommendedmarkingmaterials.Theidentifyingmarkshouldhighlightthe
defectratherthancoveritorfillit.
c. Allpartsreplacedduringarepairshouldbekepttogetherineasilyaccessiblelocationstoallow
KomatsutoeasilyinspectthepartsattheDistributorlocationandtheabilityfortheDistributorto
quicklylocate,packageandreturnthepartstoKomatsuintheeventofarecall.Thebinlocationsfor
thepartsmustbeproperlyidentifiedbytheClaimnumber,partnumber,andtheMRANumber(if
applicable).
3. Partreturnrequirements:Distributormustmeetthefollowingtargetsforreturningorfororganizingfor
collectionoffailedparts.
a. PartthathasanMRANumber:PartsthathaveanMRANumbermustbereturnedtoKomatsus
CoreProcessingCenterwithin45daysoftheRepairDate.AttheCoreProcessingCenter,Komatsu
maycompleteacursoryfailureandteardownanalysisonreceivingthepartandreusethe
subcomponentsinKomatsusRemanProgram.
b. PartsthatdonothaveMRANumbers:KomatsumayrecallthesepartsfromtheDistributorstorage
onanasneededbasistocompleteanengineeringanalysisofthefailure.
i.
Toinitiatetherecall,KomatsuwillsendanemailtotheDistributorsClaimAdministratoratthe
Distributorsmainbranchrequestingspecificinformationonafailedpart.Theemailfrom
KomatsuwillreferencetheClaimnumberfortheDistributor,thepartnumberandthe
applicableMachineModelandSerialNumber.
ii.
TheDistributorisrequiredtorespondwithspecificinformationonfailedpartwithina10day
periodofreceivingtheemailfromKomatsuinorderfortheparticularrepairorClaimtoremain
eligibleforreimbursement.ThespecificinformationrequestedbyKomatsuwillincludesizeand
weightofpackagedpart,pickuplocationforthepackage,workinghoursatthepickuplocation,
andaDistributorcontactnametocoordinatethepickup.
iii.
KomatsuwillusetheinformationprovidedintheDistributorsrecallnoticeresponsetoorganize
forashippingcompanytopickupthepart.
iv.
AnyofpartsthatarenotrecalledbyKomatsuwithinthe90daypartsstoragetimeframe
referenceabovecanbescrappedbytheDistributor.
E) CLAIMSUBMISSIONTIME
1.
2.
Distributor must submit a Claim to Komatsu within 30 days from the Repair Date for all Coverage
PolicieswiththeexceptionofPolicyandSpecialPolicyClaims.PolicyandSpecialPolicyClaimshaveto
befiledwithin150daysofRepairDate.
Distributor may submit Claims up to 30 days later than the dates specified above under all Coverage
PoliciesexceptFactoryCampaignCoverage,buttheseClaimsaredesignatedLateandwillbesubject
toaprorationspecifiedinSectionQbelow.
REIMBURSEMENTPOLICY
SPP321
Page5of19
F) CLAIMTYPETOREGISTER
1.
DistributormustsubmittheClaimundertheappropriateClaimTypeinKomatsuClaimsSystem
dependingontheCoveragePolicyineffectasspecifiedinTable2.
Table2:ClaimTypetoregisterforClaimsagainsteachofKomatsusCoveragePolicies
#
CoveragePolicy
DescriptionorCoverageType
ProductWarranty
ForpartsmissingordamagedonMachinesatthetimeofreceipt.
ForrepairscompletedduringassemblyandcommissioningoftheMachine.
Claim
type
MA
SK
EmissionsWarranty1
ElectricPropulsion1
PartsandComponent
Warranty
Advantage1&
AdvantageStandard1
Policy
SpecialPolicy
FactoryCampaign(as
notedintheletter)
Undercarriage
Assurance1
Replacement
Undercarriage1
ForrepairsafterMachineisinService.
ForfailedpartnumberthatdoesnotstartwithR
ForfailedpartnumberthatstartswithR
BoomandArm
Cylinders
Engine
Frame
Hydraulics
Powertrain(PT)
Powertrainplus(PT+)
Premier
Remarketedmachinepowertrain
Usedmachinepowertrain
Hybridsystem
Engineeringtest
Interimpreventativebeforefailure
S1
SM
S3
PC
RM
XL
X7
X2
X6
XC
X4
XQ
X1
U4
UN
XI
PY
PA
ET
BF
Allothers
FC
SD
UP
UndercarriagePLUS
Program1
1
CoveragePoliciesapplyafterexpirationofProductWarranty
SP
2
3
4
7
8
10
11
12
G) INFORMATIONREQUIREDONALLCLAIMS
TheClaimdocumentinKomatsusClaimsSystemhasseveralbasicinformationfieldsontheMachineModel,
SerialNumber,FailDates,SMR,FCNumber,etc.Theinformationprovidedinthesefieldsandotherfieldsin
the Claim should be accurate, complete and should match the information in the Distributors work orders
andMachinetelemetricsystemssuchasKomtrax,KomtraxPLUS,etc.
REIMBURSEMENTPOLICY
SPP321
Page6of19
H) TECHNICALDESCRIPTIONREQUIREDONCLAIMS
ThefollowingtablessummarizethetechnicaldescriptionrequiredinspecificsectionsoftheClaim.The
informationprovidedinthesesectionsbytheDistributorshouldbetothepointandpreferablypresentedin
bulletpoints(notparagraphs).
Table3:RequireddescriptionofCustomerComplaintandsymptomsoftheMachineproblemonClaims
Explanationof
Informationrequiredinelectronicclaim
ClaimSection
content
1.ListspecificCustomercomplaint.Example:Operatornotedthat
engineexhaustcolorwasblackorCustomertechniciannotedleftfinal
driveleakduringPM.
Whatinitiated
2.Wasthereaspecificsymptomthatrepresentedtheproblem?
Complaint
therepair?
Example:lowpower,enginewillnotcrank,softsuspension,etc.
3.DidtheMachineMonitoringSystemdisplayanyerror?Provide
source,codeandcodedescription(ifapplicable).Example:Monitor
Panel/KomtraxPLUS:C3:lowsteeringaccumulatorpressure,etc.
Table4:RequireddescriptionofcauseoffailureandtroubleshootingstepsonClaims
Explanation
ofcontent
ClaimSection
1.Whatpartcausedthefailure?
2.Failedcomponentinformation(componentremovedfromthe
Machine)ifcomponentisserialized
3.WhatistheCriticalFailPartsComponentCode?
CriticalFailPartNumber
PartSerialNumber,Install
DateandRemanID(if
applicable).
ComponentCode
4.HowdidtheCriticalFailPartfail?
PhenomenonCode
What
defect
causedthe
specific
problem?
5.WhydidtheCriticalFailPartfail?
DescriptionoftheDistributorsanalysisofwhytheCriticalFailPart
failed.
Distributorcandisassemblethecomponent(withtheexceptionof
partsidentifiedinPPL507)ifrequiredtodetermineCriticalFailPart
Number,modeoffailure(Phenomenon)andreasonforfailure.
Cause
6.Whatstepsweretakentoidentifythecauseoffailure?This
explanationofthetroubleshootingstepsshouldincludetheamount
oftimetakenineachstepofthetroubleshootingprocess.
CorrectiveAction
REIMBURSEMENTPOLICY
SPP321
Page7of19
Table5:RequireddescriptionofrepairandrepairqualityverificationonClaims
Explanationof
content
Howwasthe
failurecorrected?
Howwasthe
qualityofthe
repairintervention
verified?
ClaimSection
1.Explainthemethodusedindeterminingscopeof
repairsandprocessusedinexecutingtheCovered
Repair.IndicateifaThirdPartywasretainedto
executetherepairorifthenatureoftherepairis
temporary.
CorrectiveAction
2.Replacedcomponentinformation(component
installedontheMachine)ifcomponentisserialized
PartNumber,SerialNumber,
InstallDate,andRemanIDand
MRANumber(ifapplicable).
3.StartingMachinesystemperformancespecifications
vs.standard(ifapplicable).Also,performance
specificationsvs.standardafterexecutingrepair.
Performancespecificationsandtestscanbefoundin
theStandardValueTables/PMClinicinShopManuals
andinspecificationsupdatespostedinFlashNewsand
PartsandServiceNewsletters.
CorrectiveAction
REIMBURSEMENTPOLICY
SPP321
Page8of19
I)
TECHNICALDOCUMENTATIONREQUIREDONCLAIMS
ThefollowingtablesummarizestheminimumtechnicaldocumentationrequiredonaClaimdependingonthesituationormodeoffailure.TheTablealsoindicatesthespecificlocationontheClaimorotherKomatsusystemwheretheinformationneeds
tobepresented.TheDistributorshouldalsoincludeaTSINumberintheCommentsSectionoftheClaimandacopyofcompletedfailurereportorservicereportasanAttachmenttotheClaimwhenavailable.FORMRepairServiceReportis
KomatsusstandardservicereportthatcanbeusedbyDistributorsforrepairservices.Ifthisservicereportisusedcorrectly,theDistributorClaimAdministratorwillhavealloftherequiredinformationtocorrectlyfileaClaim.PresentationGuideline
forPhotographsandTechnicalDataprovidesagoodexampleofproperphotodocumentation.
Table6:Requiredtechnicaldocumentationonclaimsdependingonmodeoffailure
ModeofFailure
Close
upof
Failure
PhotosofFailure1&2
Intermediate Machine
view
profile
Application
OtherSupportInformation3
MissingordamagedpartsonMachine
receipt
a.MachineorderdocumenttoKomatsuasanAttachmentindicatingthatthepartthatismissingwasinfactpartoftheorderifthemissingpart
isanoption.
b.ReceivingInspectionreportindicatingthatthepartwasmissingatthetimeofreceiptasanAttachment.
Oilorcoolantleakfromhoseortube
orminormechanicalfailure
PorD
Radiator/oilcoolercrack
PorD
P*
Frame/workequipmentcrack
PorD
P*
Majorcomponentfailure
PorD
Failureoftractionalternatorassembly,
parts in control system group (control
cabinetandauxiliarycabinetassembly
and subcomponents and wheel motor
sensors), wheel motor assembly, or
retard grid assembly including blower
motorsonElectricDriveTrucks.
PorD
Undercarriageearlywearorfailure
PorD
Performanceissue
a.JobsiteinformationinCommentssectionoftheclaimwithapplicationdescription,andgroundconditions.Addphotostothe"Photosof
failure"attachmentifavailable.
a.LengthofcrackinComplaintsectionoftheclaimoronthecloseupphoto.
b.Sizeofboom/arm/bucket/blade/dumpbodyinCommentsectionoftheclaim.
c.FrameinspectionchecksheetsasanAttachment.
d.JobsiteinformationinCommentssectionoftheclaimwithapplicationdescription,materialdensity,andgroundconditions.Addphotosto
the"Photosoffailure"attachmentifavailable.
e.AcrobatversionofPLMmanagementreportgeneratedfromMyKomatsu.com(ifapplicable)asanAttachmenttitledPayloadReport.
f.SEST#inCommentsectionoftheclaim(ifapplicable)andSESTletterasanAttachmenttitledSEST.
a.OilsampleorKOWAinformationasanAttachmenttitled"KOWAReport"(ifapplicable).
b.AcrobatversionofPLMmanagementreportgeneratedfromMyKomatsu.com(ifapplicable)asanAttachmenttitledPayloadReport.
a.AcrobatversionofPLMmanagementreportgeneratedfromMyKomatsu.com(12monthsminimum)asanAttachmenttitledPayload
Report.
b.AlldrivesystemdownloadsasAttachmentstitledTypeofDownloadDownload.Example:CounterDownload.
c.CompletedWheelMotorFinalDriveFailureTimelineFORMforwheelmotorfailures.
a.OneyearofoilsampleorKOWAinformationasanAttachmenttitled"KOWAReport"forwheelmotorfailures.
a.UndercarriagemeasurementreportasanAttachmenttitled"UCReport".
b.JobsiteinformationinCommentssectionoftheclaimwithapplicationdescription,materialdescription,andgroundconditions.Addphotos
tothe"Photosoffailure"attachmentifavailable.
a.Sizeofboom/arm/bucket/blade/dumpbodyinCommentssectionoftheclaim.
b.PMClinicdata(BeforeandAfter)asAttachmenttitled"PMClinicdata".
c.JobsiteinformationinCommentssectionoftheclaimwithapplicationdescription,materialdensity,andgroundconditions.Addphotosto
the"Photosoffailure"attachmentifavailable.
d.VHMSsnapshotdatainWebCARE(ifapplicable).
e.PLMdatainMyKomatsu.com(ifapplicable).
f.PleaseindicateintheCommentssectionoftheclaimifavideoisavailabledemonstratingtheperformancecomplaint.
1.
2.
3.
AllphotographsordrawingshouldbeincludedononeAttachmenttitled"Photosoffailure".
"P"=photograph,and"D"=electronicallymarkedupdrawingfromthePartsBookorShopManual.P*indicatesthatphotographisrecommendedbutnotrequired.
ItemsinboldtextindicatethelocationforsubmissionofdataontheClaimorotherKomatsudatabase.
Komatsu America Corp.
REIMBURSEMENTPOLICY
SPP321
Page9of19
J) EXPENSEREIMBURSEMENTPOLICYANDCOSTDOCUMENTATIONONCLAIMS
ThefollowingsectionslistvariousexpensesthatmightbeincurredbytheDistributorincarryingoutrepairsandspecifythetermsofreimbursementforeachtypeofexpenseundereachofKomatsusCoveragePolicies.Certaintypesofrepairsand
CoveragePoliciesmaybesubjecttodeductionsorproration.ThefollowingtablesmustbeusedtodeterminethecostbasisfortherepairbeforeapplyingthedeductionorprorationspecifiedinSectionQbelow.ReimbursementtermsunderFactory
CampaignCoveragearedeterminedonanindividualcampaignbasisandarethusnotspecificallycalledoutineachofthesectionsbelow.
ThesectionsbelowalsosummarizetherequireddocumentationforspecificreimbursableitemsonClaims.Claimsthataresubjecttoprorationordeductionsmustbefiledfortheentirecostoftherepairandthereimbursementamountrequestedby
theDistributorshouldbeindicatedpertheguidelinesinSectionQbelow.
K) REIMBURSEMENTPOLICYANDCLAIMDOCUMENTATIONFORDISTRIBUTORSUPPLIEDPARTS
1.
2.
ThefollowingtableprovidesreimbursementtermsbyCoveragePolicyforvariouspartsrelatedexpenses.ThetablealsosummarizesinformationrequiredonaClaimtorequestreimbursementfortheexpense.
PartsutilizedunderFactoryCampaignCoveragewillbeprovidedfreeofchargetotheDistributororreimbursedunderthesametermsasProductWarranty.
Table7:ReimbursementtermsandClaimdocumentationforDistributorpartsrelatedexpenses
Expense
Komatsuparts:Distributorownedparts
(includingconsumablessuchasoilorfilters)that
wereoriginallysourcedfromKomatsuusedto
replaceorrepairtheprimaryorsecondaryfailed
parts.
Partshandling:Distributorexpensesinowning
andmanagingKomatsupartsthatareusedin
CoveredRepairs.Owningcostsincludecosts
incurredinmaintaininginventory.Managing
costsincludecostsassociatedwithprocuring
Komatsupartssuchaslogisticalservices,
emergencyorderfeesandtransportationcosts
forpartsshipmentstotheDistributorandfrom
theDistributortotheCoveredRepairlocation.
KomatsupartsfreightandfeesfornonASL
parts:Feesandfreightchargesleviedbythe
KomatsuPartsDepartmentforemergencyand
criticalorders(applicableforDistributorson
KomatsusAuthorizedStockingList(ASL)program
only).
ProductWarranty,Electric
DriveWarranty1,Emissions
ControlWarranty1and
AdvantageStandard
Coverage1
Valueforeachappropriatepart
usedwillbereimbursedatthe
DNETpricesinKomatsu'sParts
OrderingSystemontheRepair
Date.
CoveragePolicy&
PartsandComponent
Warranty1,Undercarriage
Assurance1,Replacement
UndercarriageAssurance1and
UndercarriagePLUSCoverage1
DNETpricesinKomatsu'sParts
Date.
PartsHandlingPercentage
RateoftheDNETvalueofeach
Komatsupartthatiseligible
forreimbursementunderthe
CoveredRepair.
RateoftheDNETvalueofeach
Komatsupartthatiseligible
forreimbursementunderthe
CoveredRepair.
Valueofpartsfreightcharges
andfeesfromKomatsufor
shipmentofEmergencyor
CriticalorderfeefornonASL
parts.
TermsapplyafterexpirationofMachineProductWarrantyCoverage
parts.
ReimbursementTerms
AdvantageCoverage1
LISTpricesinKomatsu'sParts
Date.
Notreimbursable
parts.
Policy&SpecialPolicy
Coverage
InformationRequiredinElectronic
Claim
Valueforeachappropriate
partusedwillbereimbursed
Partnumberandquantityofeachpart
attheLISTpricesinKomatsu's
usedintheCoveredRepair
PartsOrderingSystemonthe
RepairDate.
ClaimSection
Parts
Notreimbursable
None.Reimbursementvalueis
automaticallycalculated.
Thetotalvalueeligiblefor
reimbursementcanbeseeninthe
Othersectionoftheclaimdocument.
NotApplicable
parts.
a.Statementindicatingthatthe
DistributorwaschargedKomatsu
PartsfeesforanonASLpart.
b.ScannedcopyofcurrentASLparts
list.
c.Scannedcopyofstatementfrom
Komatsudocumentingvalueoffees
andfreightchargedfornonASLparts.
d.ValueofKomatsuPartsDepartment
feesandfreightchargedtothe
Distributor.
a.Comments
b.Attachmenttitled
CurrentASLParts
List
c.Attachmenttitled
KomatsuPartsFees
andFreight
d.Other
REIMBURSEMENTPOLICY
SPP321
Page10of19
L) REIMBURSEMENTPOLICYANDCLAIMDOCUMENTATIONFORDISTRIBUTORSUPPLIEDLABOR
1.
2.
ThefollowingtableprovidesreimbursementtermsbyCoveragePolicyforvariouslaborrelatedexpenses.ThetablealsosummarizesinformationrequiredonaClaimtorequestreimbursementfortheexpense.
Laborhours,includingTraveltime,forFactoryCampaignCoveragewillbereimbursedattheDistributorsChargeOutLaborRate.Traveltimeinhourswillbecalculatedbydividingtraveldistanceinmile(km)by40(64kms).
Table8a:ReimbursementtermsandClaimdocumentationforDistributorlaborrelatedexpenses
Expense
ProductWarranty,ElectricDrive
Warranty1,EmissionsControlWarranty1
andAdvantageStandardCoverage1
CoveragePolicy& ReimbursementTerms
PartsandComponentWarranty1,
UndercarriageAssurance1,Replacement
AdvantageCoverage1
Policy&SpecialPolicyCoverage
Traveltime:Time
1 takentotravelto
Machine
Notreimbursable
Notreimbursable
Notreimbursable
Numberofmiles(kms)travelledtothejob
dividedby40miles(64km)uptoa
maximumof500miles(800kilometers)
andtwo(2)roundtripstoMachine
location.
Cleaningtime:Time
takentowashor
2
cleanMachineor
CoveredItem.
Notreimbursable
Notreimbursable
Notreimbursable
Notreimbursable
EachhourofreasonableTroubleshooting
timeupto8hourswillbereimbursedat
DistributorsChargeOutLaborRate.
IfTroubleshootingtimeexceeds8hours
Distributorshouldfilearequestfor
KomatsusupportusingaTSRtobeeligible
foradditionalreimbursement.
EachhourofreasonableRepairtimewillbe
reimbursedatDistributorsWarranty
LaborRate.
RepairtimethatexceedsAccuratehours
andanyhoursappliedtorepairpartsthat
donotqualifyforCoveragewillnotbe
eligibleforreimbursement.
AccuratehoursforcomparableMachine
modelsaretobeusedindetermining
reasonablehoursinsituationswhere
Accuratehoursareunavailable.
EachhourofreasonableR&Itimewillbe
LaborRate.
R&ItimethatexceedsAccuratehoursand
anyhoursappliedtorepairpartsthatdo
notqualifyforCoveragewillnotbeeligible
forreimbursement.
DistributorsChargeOutLaborRate.
EachhourofreasonableRepairtimewill
bereimbursedatDistributorsWarranty
LaborRate.
LaborRate.
notqualifyforCoveragewillnotbeeligible
forreimbursement.
Troubleshooting
DistributorsWarrantyLaborRate.
time:Timetakento
3
identifyscopeofthe
CoveredRepair.
EachhourofreasonableRepairtimewillbe
Repairtime:Time
LaborRate.
takentoexecute
CoveredRepairand
toverifythatthe
4
corrective
interventionis
effective.
R&Itime:Timetaken LaborRate.
toremovethefailed
partfromthe
5 machineandreplace notqualifyforCoveragewillnotbeeligible
itwitharepairedor
forreimbursement.
Remancomponent.
1
Notreimbursable
EachhourofreasonableRepairtimewill
bereimbursedatDistributorsWarranty
LaborRate.
a.ReimbursableforUndercarriage
AssuranceandUndercarriagePLUS
Coverage.
b.ReimbursableforComponentWarranty
CoverageandtheReplacement
UndercarriageProgramCoverageonlyif
Distributorinstalledthefailed
Component.SeePartsandComponent
CoveragePolicyforalistofpartsthat
qualifyasComponents.
c.NotreimbursableforPartsWarranty.
InformationRequiredin
ElectronicClaim
ClaimSection
None.
Reimbursementcalculated
automaticallyutilizingnumber
ofmiles(kms)travelledtothe Notapplicable
Customersiteunderthe
servicetrucksinTable9
below.
a.Numberofhoursrequired
toexecutetherepairitemized
byjobcode.
b.Summaryofwork
performed.
c.TSRNumberifapplicable
a.Labor
b.Labor
c.Corrective
Action
toexecutetherepairitemized a.Labor
byjobcode.
b.Summaryofwork
b.Labor
performed.
toexecutetherepairitemized
byjobcode.
b.Summaryofwork
performed.
a.Labor
b.Labor
REIMBURSEMENTPOLICY
SPP321
Page11of19
Table8b:ReimbursementtermsandClaimdocumentationforDistributorlaborrelatedexpensescontinued
Expense
Warranty1,EmissionsControlWarranty1
andAdvantageStandardCoverage1
UndercarriageAssurance1,Replacement
AdvantageCoverage1
ElectronicClaim
Othermiscellaneous
laborexpenses:
Miscellaneous
expensessuchas
Notreimbursable
Notreimbursable
Notreimbursable
Notreimbursable
6 lodging,meals,
overtime,etc.,
incurredinexecuting
aCoveredRepair
1
M) REIMBURSEMENTPOLICYANDCLAIMDOCUMENTATIONFORTRANSPORTATIONANDCOMPONENTHANDLINGEQUIPMENT
1. ThefollowingtableprovidesreimbursementtermsbyCoveragePolicyfortransportationandcomponenthandlingequipment.ThetablealsosummarizesinformationrequiredonaClaimtorequestreimbursementfortheexpense.
2. ServicetruckandSpecializedhandlingequipmentutilizedinFactoryCampaignswillbereimbursedperthetermsspecifiedunderStandardWarranty.
Table9:ReimbursementtermsandClaimdocumentationfortechniciantransportationandcomponenthandlingequipmentrelatedexpense
Expense
Warranty1,EmissionsControl
Warranty1andAdvantage
StandardCoverage1
UndercarriageAssurance1,
AdvantageCoverage1
ReplacementUndercarriage
1
Assurance andUndercarriage
PLUSCoverage1
Servicetruck:Expenses
associatedwithmaintenance
andoperationsofService
Trucksusedtotransport
Distributorlaborandtools
and/orhandlecomponentsto
executerepairs.
Eachmile/kmtraveledbythe
ServiceTruckfromtheclosest
DistributorlocationtotheMachine
locationwillbereimbursedatthe
Notreimbursable
DistributorsMileageRate,uptoa
maximumof500miles(800
kilometers)andtwo(2)roundtrips
toMachinelocation.
Specializedhandling
equipment:Expenses
associatedwithrenting
specializedcranesor
componenthandlingtoolsto
executearepair.
ReimbursableatDistributorcost
(valueonDistributorinvoicefrom
ThirdParty)forrepairswhere
failedcomponentsorcomponents
thatneedtoberemovedfromthe
machineexceed10,000lbs
(4,536kg)forCompact
ConstructionandConstruction
Machines,and30,000lbs(13,607
kg)forMiningMachines..
Notreimbursable
Eachmile/kmtraveledbytheService
TruckfromtheclosestDistributor
locationtotheMachinelocationwill
bereimbursedattheDistributors
MileageRate,uptoamaximumof
500miles(800kilometers)andtwo
(2)roundtripstoMachinelocation.
ThirdParty)forrepairswherefailed
componentsorcomponentsthat
needtoberemovedfromthe
machineexceed10,000lbs(4,536kg)
forCompactConstructionand
ConstructionMachines,and30,000
lbs(13,607kg)forMiningMachines.
ClaimSection
ElectronicClaim
ClaimSection
Eachmile/kmtraveledbytheService
TruckfromtheclosestDistributor
locationtotheMachinelocationwill
bereimbursedattheDistributors
MileageRate,uptoamaximumof
500miles(800kilometers)andtwo
(2)roundtripstoMachinelocation.
Distancetraveledinmilesor
kilometerstoperformthe
CoveredRepair
Other
ThirdParty)forrepairswherefailed
componentsorcomponentsthat
needtoberemovedfromthe
machineexceed10,000lbs(4,536kg)
forCompactConstructionand
ConstructionMachines,and30,000
lbs(13,607kg)forMiningMachines.
a.Scannedcopyofinvoice
fromThirdPartysupplier.
Englishtranslationsshouldbe
includedfordocumentsthat
arenotinEnglish.Also,
chargesoninvoicesshould
showequivalentchargeinUS$
andexchangerateusedin
calculation.
b.Invoicevaluepaidby
Distributor.
a.AttachmenttitledThird
PartyHandlingEquipment
Invoice
b.Other
REIMBURSEMENTPOLICY
SPP321
Page12of19
N) REIMBURSEMENTPOLICYANDCLAIMDOCUMENTATIONFORFREIGHTCHARGES
1.
ThefollowingtableprovidesreimbursementtermsbyCoveragePolicyfortransportationandcomponenthandlingequipment.ThetablealsosummarizesinformationrequiredonaClaimtorequestreimbursementfortheexpense.
Table10:ReimbursementtermsandClaimdocumentationforvariousfreightrelatedexpenses
Expense
DriveWarranty1,Emissions
ControlWarranty1and
AdvantageStandard
Coverage1
Machinetransportation:Expenses
associatedwithmovingaMachineto
Notreimbursable
executetherepair.
Componenttransportation:Expenses
2 associatedwithtransporting
componentsfromtheCustomersiteor Notreimbursable
theDistributorlocationtothe
componentsrepairorrebuildlocation
Makeupequipmenttransportation:
Expensesassociatedwithretaininga
ThirdPartytotransportMakeup
Notreimbursable
3 equipmentfromDistributorbranch
locationtotheCustomerjobsite.
1
CoveragePolicy &ReimbursementTerms
PartsandComponent
AdvantageCoverage1
1
UndercarriageAssurance and
Notreimbursable
Notreimbursable
Notreimbursable
Notreimbursable
Notreimbursable
Notreimbursable
InformationRequiredinElectronicClaim
ClaimSection
a.ScannedcopyofinvoicefromThird
Partysupplier.
b.InvoicevaluepaidbyDistributor.
a.Attachmenttitled
MakeupEquipment
TransportInvoice
b.OTHER
Notreimbursable
Notreimbursable
InvoicevaluefromThirdParty.
REIMBURSEMENTPOLICY
SPP321
Page13of19
O) REIMBURSEMENTPOLICYANDCLAIMDOCUMENTATIONFORTHIRDPARTYSERVICE
1.
ThefollowingtableprovidesreimbursementtermsbyCoveragePolicyfortransportationforvariousservicesprocuredfromThirdParties.ThetablealsosummarizesinformationrequiredonaClaimtorequestreimbursementfortheexpense.
Table11:ReimbursementtermsandClaimdocumentationforvariousThirdPartyrelatedexpenses
Expense
Warranty1andAdvantageStandard
Coverage1
PartsandComponent
AdvantageCoverage1
1
UndercarriageAssurance and
InformationRequiredinElectronic
Claim
a.CopyofitemizedThirdParty
suppliersinvoiceindicatingrepair
date,scopeofrepairsincludinglabor
hoursifapplicable.Distributormust
includehandwrittentranslationsof
criticalportionsoftheinvoice
includingscopeofrepairs,repair
dates,partdescriptionsifthe
contentsofinvoicearenotinEnglish.
Also,chargesoninvoicesshouldshow
equivalentchargeinUS$and
exchangerateusedincalculation.
b.Invoicevaluepaidbythe
Distributor.
a.ATTACHMENT
titledThirdParty
ServicesInvoice
b.OTHER
ThirdpartyservicesatDistributor's
option:Expensesincurredbya
Distributorinretainingathirdparty
toexecuteCoveredRepairs.
Example:Distributorretains
CustomerorThirdPartyforchanging
mainpumponhydraulicexcavator.
Notreimbursable
Notreimbursable
Notreimbursable
Notreimbursable
Thirdpartyservicesspecialty
services:Expensesincurredbya
DistributorinretainingaThirdParty
toconductspecialtestingsuchasoil
sampleanalysisortoexecutethe
followingspecializedCovered
Repairs:weldingthatexceedssix(6)
hours,rewindingofelectricmotors,
recoringofcoolers,rechromingof
cylinderrods,mountingoftires,
chargingofairconditioners,
rebuildingofhydraulicorelectrical
components,anymachiningorline
boringservices,orservicesprovided
byCumminsDistributorsonengines.
Eachhourofreasonabletimewillbe
reimbursedatDistributorCost
(invoicevalueperhourfromThird
Party).
RepairhoursthatexceedAccurate
hoursandanyhoursappliedtorepair
partsthatdonotqualifyforCoverage
willnotbeeligiblefor
reimbursement.
KomatsuwillreimburseDistributorat
cost(valueonDistributorinvoice
fromThirdParty)ifDistributoris
billedaflatratefromtheThirdParty
fortheservice.
Eachhourofreasonabletimewill
bereimbursedatDistributorCost
(invoicevalueperhourfrom
ThirdParty).
Repairhoursthatexceed
Accuratehoursandanyhours
appliedtorepairpartsthatdo
notqualifyforCoveragewillnot
beeligibleforreimbursement.
Komatsuwillreimburse
Distributoratcost(valueon
DistributorinvoicefromThird
Party)ifDistributorisbilledaflat
ratefromtheThirdPartyforthe
service.
Eachhourofreasonabletime
willbereimbursedat
DistributorCost(invoicevalue
perhourfromThirdParty).
Repairhoursthatexceed
Accuratehoursandanyhours
appliedtorepairpartsthatdo
notqualifyforCoveragewillnot
beeligibleforreimbursement.
Party)ifDistributorisbilleda
flatratefromtheThirdPartyfor
theservice.
Eachhourofreasonabletimewill
bereimbursedatDistributorCost
(invoicevalueperhourfromThird
Party).
RepairhoursthatexceedAccurate
hoursandanyhoursappliedto
repairpartsthatdonotqualifyfor
Coveragewillnotbeeligiblefor
reimbursement.
Party)ifDistributorisbilledaflat
ratefromtheThirdPartyforthe
service.
Notreimbursable
a.ScreenprintsfromKomatsuparts
orderingsystemshowinginventoryor
Reimbursableatinvoicevalue
Reimbursableatinvoicevalue
backorderstatusonthefaildate.
fromThirdPartyifsuchparts
fromThirdPartyifsuchpartsare
Screenprintsarenotrequiredfor
arenotavailablefromKomatsu
notavailablefromKomatsuwithin
batteries,windshieldwiperblades,
withinareasonabletimeframe
areasonabletimeframetomeet
hoses,windshields,lightbulbsor
tomeetCustomerexpectations.
Customerexpectations.
fuses
b.CopyofThirdPartyinvoice
DistributormayopttouseThird
Partypartstoreplacebatteries,
showingthepartnumber,quantity
andpricepaidbytheDistributor.The
hoses,windshieldwiperblades,
invoiceshouldindicatetheequivalent
windshields,lightbulbsand
windshields,lightbulbsandfuses
Komatsupartnumber.Thispart
fusesevenifthesepartsare
evenifthesepartsareavailable
numberandnamecanbehand
availablefromKomatsuwithin
fromKomatsuwithintherequired
writteninEnglish.
therequiredtimeframeto
timeframetocompletetherepair.
c.Invoicevaluepaidbythe
completetherepair.
Distributor.
Thirdpartyparts:Partsprocuredby
theDistributorfromaThirdParty
Reimbursableatinvoicevaluefrom
ThirdPartyifsuchpartsarenot
availablefromKomatsuwithina
reasonabletimeframetomeet
Customerexpectations.
windshields,lightbulbsandfuses
evenifthesepartsareavailablefrom
Komatsuwithintherequiredtime
frametocompletetherepair.
ClaimSection
a.ATTACHMENT
titledParts
Availability
Shortfall
b.ATTACHMENT
titledThirdParty
PartsInvoice
c.OTHER
REIMBURSEMENTPOLICY
SPP321
Page14of19
P) REIMBURSEMENTPOLICYANDCLAIMDOCUMENTATIONFORMISCELLANEOUSEXPENSES
1.
ThefollowingtableprovidesreimbursementtermsbyCoveragePolicyforotherpotentialexpensesnotcoveredintheprevioussections.ThetablealsosummarizesinformationrequiredonaClaimtorequestreimbursementfortheexpense.
Table12a:ReimbursementtermsandClaimdocumentationforpotentialexpensesnotcoveredintheprevioussections
Expense
Temporaryrepairs:Expenses
incurredinexecutingtemporary
repairs.
Incidentaldamages:Expenses
relatedtorestoringorreplacingnon
Komatsupartsdamagedaresultofa
coveredfailure.Example:tire
damagefromrimfailureordamage
tothejobsiteorotherequipment.
Swingcomponents:Carryingcosts
suchasdepreciationorrentalfees
associatedwithutilizingswing
componentswhilerepairsarebeing
executedonafailedcomponent.
Warranty1andAdvantage
StandardCoverage1
Notreimbursableunlessparts
requiredtocompletetherepair
withinareasonabletimeframe.
Notreimbursable
Notreimbursable
UndercarriageAssurance1,
AdvantageCoverage1
1
Assurance andUndercarriage
PLUSCoverage1
Noreimbursable
Notreimbursable
Notreimbursable
Notreimbursable
InformationRequiredinElectronicClaim
a.Statementindicatingthatthe
DistributorprovidedtheCustomerwitha
makeupequipment.Thestatement
shouldincludestartandenddates,
machinemodelprovidedtotheCustomer,
andtherentalcostcalculation(numberof
daysxmonthlyrate/30).
b.CopyofDistributorrentalratesheet
showingmonthlyrentalpriceforthe
Machine.
c.Costofrental.
1.Comment
2.Attachment
titledRentalRate
Sheet
3.Other
Notreimbursable
Notreimbursable
Notreimbursable
MakeupEquipment:Costs
associatedwithprovidingthe
Customerwithrentalmachinesora
backupmachinewhiletheCovered
Repairisbeingexecuted.
Notreimbursable
Notreimbursable
Notreimbursable
Distributorscurrentpublished
monthlyratefortheMakeup
equipmentdividedby30days
multipliedbythenumberofdays
theequipmentisprovidedtothe
Customer.
Machineswithavailability
guaranteesarenoteligiblefor
costreimbursementforMakeup
equipment.
Stateorlocaltaxes:Costsincurred
byDistributorinpayinglocal,
state/provinceorfederal/national
taxesforservicesrenderedin
completingCoveredRepairs.
Reimbursableatcost.
Ingenerallocal,state/provinceor
federal/nationalentitiesdonot
levytaxesonproductwarrantyor
insurancerelatedservices.
Documentationforapplicable
taxesshouldbeincludedinthe
ReimbursementRateRevision
FORM.
Reimbursableatcost.
FORM.
Reimbursableatcost.
FORM.
Reimbursableatcost.
TaxamountpaidbytheDistributor.
FORM.
ClaimSection
Other
REIMBURSEMENTPOLICY
SPP321
Page15of19
Table12b:ReimbursementtermsandClaimdocumentationforpotentialexpensesnotcoveredintheprevioussectionscontinued
Expense
Toolingandshopsupplies:CostsincurredbytheDistributor
inmaintainingtoolsandshopsuppliesusedtocarryout
CoveredRepair.Toolingincludesitemssuchasspecialized
wrenches,testingequipment,presses,lighttowers,heaters,
etc.Shopsuppliesincludebrakecleaningfluid,system
flushingfluids,rags,sealants,solvents,wireties,adhesives,
primers,paint,assemblylubricants,anticeasecompounds,
buffingdisks,grindingdisks,etc.
Environmentalfees:CostsincurredbytheDistributorin
disposingfailedpartsincludinglubricantsreplacedduringthe
CoveredRepairperappropriategovernmentalregulations.
Receivablefinancecharges:Interestexpenseandother
costsassociatedwithfinancingthereceivableonthe
CoveredRepairpendingKomatsu'spayment.
Failedpartsstoragefees:Costsassociatedwithstoringparts
replacedduringCoveredRepairs.
DriveWarranty,Emissions
ControlWarrantyand
AdvantageStandard
Coverage
PartsandComponentWarranty,
UndercarriageAssurance,
AdvantageCoverage
AssuranceandUndercarriagePLUS
Coverage
Notreimbursable
Notreimbursable
Notreimbursable
Notreimbursable
Notreimbursable
Notreimbursable
Notreimbursable
Notreimbursable
Notreimbursable
Notreimbursable
Notreimbursable
Notreimbursable
Notreimbursable
Notreimbursable
Notreimbursable
Notreimbursable
ElectronicClaim
ClaimSection
REIMBURSEMENTPOLICY
SPP321
Page16of19
Q) REIMBURSEMENTPOLICYANDCLAIMDOCUMENTATIONFORPRORATIONANDDEDUCTIBLES
1.
2.
3.
4.
5.
6.
7.
AdvantageandAdvantageStandardCoverage:certainAdvantageandAdvantageStandardcontractsaresubjecttodeductiblesbasedonthetermsselectedbytheDistributoratthetimeofpurchaseorbecausetheCustomerhasoptedoutoris
unabletoprovidetherequirednumberofoilsampleorframeinspectionreportsatthetimeofrepair.Thedeductiblewillappliedafterthetotalcostoftherepairiscalculatedusingthereimbursementtermsspecifiedinthetablesabove.Please
visitAdvantageundertheServicesectionoftheextranet(https://www.komatsuamerica.net)toreferencethedeductiblevalueforaspecificcontact.Thecurrentdeductiblefornothavingtherequirednumberofoilsamplingorframeinspection
reportsis10%.
PolicyCoverage:PolicyCoverageissubjecttoprorationbasedontheunpaidportionofthetotalrepaircost.Theunpaidportionoftherepaircostsequalthecostoftherepaircalculatedperthetermsspecifiedinthetablesaboveminusanymoney
receivedfromtheCustomerforthespecificrepair.
a. KomatsuwillreimbursetheDistributor60%oftheunpaidportionofthetotalrepaircostsforrepairstoMachinesthatarenotcoveredorhavenotbeencoveredunderThirdPartyorDistributorbackedextendedwarrantiesorinsurance
policies.
b. KomatsuwillreimbursetheDistributor50%oftheunpaidportionofthetotalrepaircostsforrepairstoMachinesthatarecovered,orhavebeencoveredunderThirdPartyorDistributorbackedextendedwarrantiesorinsurancepolicies.
SpecialPolicyCoverage:SpecialPolicyCoverageissubjecttoprorationfromKomatsuonacasebycasebasis.Thevalueoftheprorationcanrangefrom0to100%,withamaximumreimbursementof80%oftherepaircostcalculatedpertheterms
specifiedinthetablesabove.
Undercarriage Assurance and Replacement Undercarriage Program Coverage: Komatsu will reimburse the Distributor for the cost of the repair calculated using the terms specified in the tables above times the percent remaining life in the
undercarriagecomponentatthetimeoffailure(leakorbreakage).Forexample,KomatsuwillreimbursetheDistributor$200[$1,000x20%]iftheidlerleakswhenitis80%wornandtheresealcosts$1,000.
UndercarriagePLUSCoverage:KomatsuwillreimbursetheDistributorfor80%ofthecostoftherepaircalculatedusingthetermsspecifiedinthetablesabovetimesthepercentofguaranteedlifenotachievedwhentheundercarriagecomponentis
a100%worn.Forexample,KomatsuwillreimbursetheDistributor$2,666.67[$10,000x80%x(2,000/6,000)]iftheDistributorguaranteedtheCustomeralifeof6,000hoursfora$10,000linkassemblythatlasted4,000hours.
AllCoveragePoliciesexceptFactoryCampaignCoverage:Inadditiontothedeductionsorprorationspecifiedabove,allCoveragePoliciesaresubjecttoadeductionbasedonadelayinfilingaClaim.SectionEofthispolicyspecifiesthemaximum
allowabletimefortheDistributortofileaclaimtoKomatsutobeeligibleforreimbursement(ClaimSubmissionTime).Komatsuwillreimbursethe80%oftheotherwiseeligiblecostoftherepairiftheClaimislessthan16daysoutsideofthe
ClaimSubmissionTimeand70%iftheClaimislessthan31daysoutsidetheClaimSubmissionTime.Forexample,KomatsuwillreimbursetheDistributor$7,000($10,000x70%)ifaDistributorinCanadafilesaClaimforarepairthatcosts$10,000
46daysaftertheRepairDate.
ThetablebelowoutlinesClaimdocumentationrequiredwhenaprorationordeductibleisapplicablepertheCoveragereimbursementpolicy.
Table13:RequiredprorationordeductibleinformationonClaimswhereapplicable
Explanationofcontent
Arethereanyapplicabledeductiblesor
prorationforthisrepair?
WhyshouldKomatsureimbursethe
Distributorfortherepairoraportionof
therepair?
a.ForAdvantageorAdvantageStandardCoverage:
i.ExplanationofapplicabledeductibleperthetermsoftheCustomeragreement.DoestheCustomerhaveadeductibleforthecontract,orwastheCustomershort
ofoilsampleorframeinspectionreports?
ii.Whatisthevalueofthedeductible,orthepercentageofprorationapplicable?
b.ForPolicyCoverage:
i.WhatwastheCustomerpaymentamount?
ii.DoestheMachinehaveordiditeverhaveaDistributororaThirdPartyinsurancepolicy?
iii.Whatisthevalueofthedeductible,orthepercentageofprorationapplicable?
c.ForUndercarriageAssuranceandtheReplacementundercarriageCoverage:
i.Whatisthe%wornofthepartthatfailed?
d.ForUndercarriagePLUSCoverage:
i.WhatwastheguaranteedlifetotheCustomer?
ii.Howmanyhoursdoesthe100%wornundercarriagenowhave?
iii.Whatisthevalueofthedeductible,orthepercentageofprorationapplicable?
e.ForlateClaims:
i.HowlateinnumberofdaysistheClaim?
a.ForSpecialPolicyClaims:
i.WhatwastheCustomerpaymentamount?
ii.HowmuchhastheDistributorcontributedtowardstherepair?
iii.HowmuchdoestheDistributorwantKomatsutocontributetotherepairandwhyisthisdistributionofrepaircostsfair?
b.AdditionalinformationforSpecialPolicyCoverageforDistributorsinCanadaandUSAonly:
1.WhyisthisclaimbeingsubmittedforSpecialPolicyCoverageasopposedtoPolicyCoverage?
ClaimSection
Comments
Comments
REIMBURSEMENTPOLICY
SPP321
Page17of19
R) DOCUMENTINGSPECIALCIRCUMSTANCESONCLAIMS
1.
ThefollowingtableprovidesguidelinesfortheDistributortodocumentspecialsituationsthataffectthestandardreimbursementtermsfortherepair.Thislistisnotexhaustive,butisincludedhereasanexample.
Table14:Guidelinestodocumentspecialsituationsthataffectreimbursementtermsforarepair
Explanationofcontent
Arethereany
deviationsfrom
standardvariablesof
timeandcostto
completetherepair?
ClaimSection
1.Explanationoftherepairoptionselectediftheoptionselectedwasnotthemostcosteffectiveintermsofparts,laborandothercostsrequiredtoexecutethecorrection.Includethecostof
thecheaperrepairoption.
2.ExplanationofgapbetweentheFailDateandRepairDateifthedifferencebetweentheFailDateandRepairDateexceeds15daysforMachineRepairs,30daysforExchangeComponent
RepairsinUSAandCanada,or60daysforExchangeComponentRepairsincountriesotherthanUSAandCanada.
Comments
3.ExplanationforTroubleshootingtimeorRepairtimethatexceedreasonabletimespecifiedinTable8.
4.ExplanationofconsequentialdamageidentifiedandcorrectedinexecutingarepairundertheFactoryCampaignCoverage,orifacampaignwasdeclinedbytheCustomerorcompletedby
theDistributoraftertheexpirationdate.
5.RoleofKomatsuRepresentativeindeterminingscopeofrepairs(ifapplicable).ReferenceandattachaClaimAuthorizationFormiftherepairispreapproved.
Attachmenttitled
Claim
Authorization
Form
S) COSTANDTIMINGINFORMATIONFROMDISTRIBUTORBUSINESSSYSTEMREQUIREDONCLAIMS
1.
TheTablebelowsummarizesbackupinformationfromtheDistributorbusinesssystemrequiredtosupportthecostandtechnicalinformationonaClaim.
Table9:RequiredcostandtimingdocumentationfromDistributorbusinesssystem.
Item
ElectroniccopyofDistributorworkorderclearlyshowingrepairinterventioninformationincluding:
a.MachineModel,SerialNumber;
b.CustomerName;
Distributorworkorder c.FailDate;
d.Repairdescription;
1
RequiredforallClaims e.Listofpartsusedincludingquantityusedbydate;
f.Laborhourentriesforthejobincludingdate,hoursworkedandworkdescriptionforeachentryfromtheFailDatethroughthelastdayoflaboronthejob;
g.ServiceTruckmilesorkilometersbydate;and
h.InformationonotherservicesusedincompletingtheCoveredRepair.
Customerinvoice
ElectroniccopyofdistributorinvoicetoCustomerclearlyshowingrepairinterventioninformationincluding:
a.MachineModel,SerialNumber;
RequiredForPartsand
b.CustomerName;
Componentand
c.RepairDate/InvoiceDate;
d.Repairdescription;
2
ClaimstoshowDistributor
e.Listofpartsusedandcorrespondingpartsprice;
installationofpartand
f.TotalLaborHoursandlaborprice;
Coveragestartdate,and
g.TotalchargesforServiceTruckutilization;
forPolicyandSpecialPolicy
h.InformationonotherservicesusedincompletingtheCoveredRepair;and
ClaimstoshowCustomer
i.Discountbeingprovidedtothecustomer
Invoice.
CustomerPayment
Information
ThefollowingisrequiredinsituationswheretheCustomerhasagreedtopayforaportionoftheCoveredRepair.
3
RequiredforPolicyand ScreenshotfromDistributorbusinesssystemshowingdate,invoicenumberandcorrespondingpaymentreceivedfromtheCustomer.
SpecialPolicyCoverageonly
ClaimSection
Attachmenttitled
Distributor
InternalWork
Order
Attachmenttitled
CustomerInvoice
Attachmenttitled
Customer
Payment
Documentation
REIMBURSEMENTPOLICY
SPP321
Page18of19
T) MISCELLANEOUS
1.
2.
3.
Any part replaced or repaired under a specific Coverage Policy is not eligible for further Coverage
beyondthepolicyperiod.Forexample,apartreplacedunderStandardWarrantyorFactoryCampaign
Coverage is not eligible for an independent parts warranty. The warranty for the part ends when the
originalStandardWarrantyperiodexpires.
AnynonKomatsusourcedpartsusedintheCoveredRepairwillnotbeeligibleforfurtherCoverage.
Distributors must submit individual Claims for each part failure even if repairs to multiple failures are
executedatthesametime. Forexample,DistributormustfiletwoClaims:oneforaboomrepairand
anotherforrimreplacementiftheDistributorperformsaboomrepairandreplacesarimonaMachine
atthesametime.
U) DEFINITIONS
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
11.
12.
13.
14.
15.
CoveredRepair:repairthatiseligibleforreimbursementunderoneofKomatsuspolicies.Arepairthat
iseligibleforreimbursementforKomatsuhasCoverage.
CoverageTypeorCoveragePolicy:Komatsupolicythatspecifiesreimbursementtermsforspecific
repairstoMachines.
Machine:KomatsumanufacturedmachineeligibleforCoverageunderoneofKomatsuspolicies.
Customer:Machineowner.
Distributor:AuthorizedKomatsuDistributor.
DistributorsWarrantyLaborRate:ThisrateisrevisedinMarcheachyearbasedonspecificDistributor
performancecriteriaandtheDistributorsweightedaveragechargeoutlaborrate.Reimbursement
RateRevisionFORMprovidesdetailsontheDistributorsWarrantyLaborRatecalculationandonform
filinginstructionswithKomatsu.
DistributorChargeOutLaborRate:ThisrateisrevisedinMarcheachyearbasedontheDistributors
weightedaveragechargeoutlaborrate.ReimbursementRateRevisionFORMprovidesdetailsonthe
DistributorsChargeOurLaborRatecalculationandonformfilinginstructionswithKomatsu.
AccurateHours:SumofvariousstandardhourstocompleteajobusingtheAccuratesystemavailable
overKomatsusextranetsystem(www.komatsuamerica.net).
PartsHandlingPercentageRate:ThisrateisrevisedinMarcheachyearbasedonspecificDistributor
performancecriteria.ReimbursementRateRevisionFORMprovidesdetailsonthePartsHandling
PercentageRatecalculationandonformfilinginstructionswithKomatsu.
CompactConstructionMachines:CrawlerCarriers,WheelloaderssmallerthanWA150,Excavators
smallerthanPC120,CrawlerDozerssmallerthanaD37,CrawlerandTrackSkidSteerLoaders,and
BackhoeLoaders.
MiningMachines:CrawlerdozerslargerthanD275,DumptruckslargerthanHD605,Wheelloaders
largerthanWA700andExcavatorsandshovelslargerthanPC1250.
ConstructionMachines:KomatsumachinesthatareneitherCompactConstructionorMiningMachines.
MileageRate:ThisrateisrevisedinMarcheachyearbasedontheDistributorsweightedaveragecharge
outmileagerate.ReimbursementRateRevisionFORMprovidesdetailsontheMileageRatecalculation
andonformfilinginstructionswithKomatsu.
ThirdParty:EntityotherthantheDistributororKomatsu.
Claim:AClaimisarequesttoKomatsuforreimbursementforservicesprovidedbyaDistributorunder
oneofKomatsusCoveragePolicies.
REIMBURSEMENTPOLICY
SPP321
Page19of19
16. KomatsusClaimsSystem:ThissystemislocatedwithinKomatsuAmericasextranetsystem
(https://www.komatsuamerica.net).PleaseseepresentationonKomatsusClaimsSystemfor
17. MachineRepairs:Repairscompletedonthemachine.Example:replacementofasuspensioncylinderor
repairtoengine.
18. ExchangeComponentRepairs:Repairscompletedatarebuildcenter.Example:overhaulofa
suspensioncylindercompletedaftertheMachinehasbeenreturnedtoservice.
19. FailDate:DatefailurewasreportedbytheCustomer.
20. RepairDate:DateMachineorComponentwasreturnedtotheCustomer.
21. Repairtimeframe:TimetorepairthefailedcomponentandmaketheComponentorMachineavailable
foruse/service.
22. Component:KomatsumanufacturedpartthatiseligibleforCoverageunderoneofKomatsuspolicies.
23. MRANumber:KomatsuissuesMRANumberswhenDistributorspurchasecertainpartsfromKomatsu.
AnMRANumberisanauthorizationfortheDistributortoreturnthereplacedparttoKomatsuforacore
credit.
24. TSINumber:ATSINumberisanumberissuedtoaDistributorforsubmittingaservicereportinto
KomatsusSMAPSystem.PleaseseepresentationSMAPtolearnhowtogetaccessandusethesystem.
25. KomatsusCoreProcessingCenter:KomatsusCoreProcessingCenterreceives,evaluatesandprocesses
componentcoresforKomatsuPartsDepartment.
26. ClaimAdministrator:DistributorrepresentativeresponsibleformanagingClaims.
28. TSR:TechnicalSupportRequest.TheTSRisafacilityfortheDistributortorequestKomatsufortechnical
support.PleaseseepresentationTSRsystemtolearnhowtoaccessandusethesytem.
V) REFERENCES
1.
2.
3.
4.
5.
6.
7.
8.
ClaimAuthorizationform
KomatsuClaimsSystempresentation
GuidelineforPhotographsandTechnicalDatapresentation
RepairServiceReportform
SMAPsystempresentation
PPL507
WheelMotorFinalDriveFailureTimelineForm
TSRSystempresentation
W) REVISIONS
Revision
1
Date
12/5/2010
Content
Draftdocument
Author
K.Venkiteswaran,G.
Toro,T.Robson,J.
Bloodgood,E.Keane
CLAIMEVALUATION,REVIEWSANDDISTRIBUTORREIMBURSEMENTPROCEDURE
SPP322
Page1of5
Contents
A) PURPOSE .............................................................................................................................. 2
B) CLAIM EVALUATION ....................................................................................................... 2
C) CLAIM DECISION .............................................................................................................. 2
D) FEEDBACK ON REJECTIONS, PARTIAL PAYMENTS OR DELAYS...................... 2
E) CLAIM DECISION APPEAL PROCESS .......................................................................... 2
F) PAYMENT PROCESSING.................................................................................................. 3
G) PARTS RECALLS ................................................................................................................ 3
H) CLAIM REVERSALS .......................................................................................................... 3
I) CLAIM REVIEWS ............................................................................................................... 4
J) DEFINITIONS....................................................................................................................... 4
K) REFERENCES ...................................................................................................................... 5
L) REVISIONS ........................................................................................................................... 5
SPP322
Page2of5
CLAIMEVALUATIONANDDISTRIBUTORREIMBURSEMENTPROCEDURE
A) PURPOSE
The following sections outline Komatsus procedures to evaluate Claims and process
reimbursementstoDistributors.
B) CLAIMEVALUATION
KomatsuwillassesstheregisteredClaiminKomatsusClaimSystemtoconfirmthat:
1. ThefailureiseligibleforreimbursementunderthespecificCoveragePolicylistedintheClaim.
2. The reimbursement requested by the Distributor and the documentation provided on the
Claim is in accordance with the criteria set out in the Reimbursement Policy Section of the
3. Komatsumayrequireinformationinadditiontotheminimumdocumentationspecifiedinitem
B2,above,toassessandprocessaClaimfromtheDistributor.Insuchsituations,Komatsuwill
put the Claim assessment on hold pending receipt of additional information from the
Distributor.
4. Distributor should check Komatsus Claim System on a periodic basis for an update on
Komatsus decision status on submitted Claims and to identify Claims that are being held
pendingadditionalinformationfromtheDistributor.
C) CLAIMDECISION
Komatsuwillmakeoneofthefollowingthreedecisionswithin30calendardaysofreceivingaClaim
basedontheClaimevaluation:
1. ApprovetheClaimforpaymentiftheClaimmeetsalloftherequirementssetoutinItems1and
2inSectionBabove.
2. ApprovetheClaimforpartialpaymentifthereimbursementrequestedexceedscriteriasetout
inItemB2,above,oriftheClaimissubjecttoprorationordeductibles.
3. RejecttheClaimifthefailureisnoteligibleforCoverageorifdocumentationprovideddoesnot
conformtorequirementsinItemB2,above.
D) FEEDBACKONREJECTIONS,PARTIALPAYMENTSORDELAYS
1. KomatsuwillprovideaspecificexplanationontheClaimdocumentiftheClaimisrejectedor
partiallypaid.Komatsus explanation willbenotedin theCommentssectionoftheClaim.
The Comment section will also include the name of the Service representative at Komatsu
responsibleformakingtheclaimdecision.
2. KomatsuwillnotifytheDistributoriftheassessmenttimeforaparticularClaimwillexceed30
days.
E) CLAIMDECISIONAPPEALPROCESS
DistributorcanrequestKomatsutoreassessthereimbursementdecisiononaClaimthathasbeen
partiallypaidorrejectediftheClaimwasnotLatepertheReimbursementPolicySection inthe
Warranty and Coverage Policy. Reassessment timing and processing will follow the guidelines
below:
SPP322
Page3of5
1.
2.
3.
4.
5.
Distributor can request reassessment by resubmitting a Claim to Komatsu. The resubmitted

Claimvaluemusttotaltheportionoftheoriginalclaimsrepaircostthatwasnotreimbursed
andthenewClaimmustincludetheoriginalClaim'sreferencenumberinthebeginningofthe
CommentssectionoftheClaim.
The Distributor should clearly address each of Komatsus reasons for partial payment or
rejection in the resubmitted Claim. This could include providing Komatsu with additional
technicalinformationonthefailureand/orprovidingKomatsuwithmoredetailsonthecosts
incurredincompletingtherepair.
The Claim must be resubmitted within 30 calendar days of receiving the reimbursement
decisionfromKomatsutobeeligibleforreassessment.
TheresubmittedClaimswillbeassessedpertheguidelinesinSectionB,above.
DistributorwillhaveoneopportunitytorequestreassessmentofaClaimperCoveredRepair.
F) PAYMENTPROCESSING
1. Payments for Claims that are approved will be credited the same night to the Distributors
AccountsReceivableaccountwithKomatsu.
2. Claim payments that include parts with MRA Numbers are staged. Distributor will receive
reimbursementfortheexchangepriceofthecomponentwhenClaimisapprovedforpayment
andreceivereimbursementforthecostofthecorewhenKomatsusCoreProcessingCenter
receivesthefailedcomponentcore.
G) PARTSRECALLS
1. Komatsu may recall parts replaced on Claims to complete an engineering analysis of the
failure. Please refer to the Failed Parts Management Section of the Reimbursement Policy
Sectionfordetailsontherecallprocess.
H) CLAIMREVERSALS
1. KomatsucanopttoreverseaClaimpaymentdecisionif:
a. TheDistributorisunabletomeettheperformancerequirementssetoutintheFailedParts
ManagementSectionoftheReimbursementPolicySectionofthepolicymanual.
Performancefailuresinclude:
i.
NotrespondingwithinthetimeframespecifiedtoKomatsupartsrecallnotice.
ii.
NotshippingthepartswithMRANumbersbacktoKomatsusCoreProcessingCenter
withinthespecifiedtimeframe.
iii.
NotbeingabletocoordinatethepartspickupwithKomatsusshippingagent.
iv.
NothavingthefailedparttoreturntoKomatsu.
b. AdditionalinformationreceivedbyKomatsu(engineeringanalysisofthefailedparts,ornew
informationaboutthecircumstancessurroundingtherepair)indicatesthattherepairisnot
coveredbyKomatsusWarrantyandCoveragePolicies.
c. TheClaimisenteredinerrorandistheduplicateofanotherClaimthatwasreceivedand
processedbyKomatsu.
2. KomatsuwillreverseaClaimbyissuinganewClaiminKomatsusClaimSystemforthe
negativeoftheamountoftheoriginalClaim.Komatsuwillalsoincludeanoteinthe
SPP322
Page4of5
CommentssectionoftheoriginalClaimindicatingthattheClaimhasbeenreversed.A
KomatsuservicerepresentativewillnotifytheDistributorClaimsAdministratorwhenaClaimis
reversed.
3. DistributorcanappealtheClaimreversalusingtheprocessdescribedinSectionEabove.
I)
CLAIMREVIEWS
Komatsu can opt to review a representative sample of the Distributor Claims paid on a quarterly
basisattheDistributorslocation.TheClaimsselectedforthereviewwillpertaintoClaimsprocessed
byKomatsuinthecalendaryearquarterthatendedpriortoreviewdate.Distributorwillberequired
toprovidethefollowingtosupportthereview:
1. SpecificMachineandCustomerfilesthatpertaintoClaimsselectedforthereview.
2. AccesstoDistributorBusinessSystem,andtheDistributorClaimAdministratortonavigatethe
Distributor Business System and provide all Distributor specific information pertinent to the
review.
3. Conference room at the Distributors head office or main branch location with ethernet
connections.
Komatsuwillperformthefollowingverificationduringthereviewprocess:
1. EligibilityoftheClaimsforreimbursementfromKomatsu.
2. AmountsreimbursedonthesampleClaimsareinaccordancewithItem2inSectionB.
Komatsu will compile review findings in a report to the Distributor. If Komatsu determines that
specificClaimsinthesamplearenoteligibleforreimbursement,orthatthereimbursementprovided
by Komatsu exceeds values specified in Item 2 in Section B, Komatsu will extrapolate the percent
excess payments on a dollar basis to the entire population of Claim payments for the quarter in
review to determine the total value of Claim overpayments. Komatsu will debit the Distributors
openaccountforthetotaloverpaymentwithin30daysfollowingthecompletionofthereview.
Komatsu may expand the scope of the review to Claims submitted in the year prior to the review
dateifsignificantissuesareidentifiedwiththeClaimqualityinthereviewprocess.
J) DEFINITIONS
repairthatiseligibleforreimbursementforKomatsuhasCoverage.
SPP322
Page5of5
KomatsusClaimsSystem:ThissystemislocatedwithinKomatsuAmericasextranetsystem
6. MRANumber:KomatsuissuesMRANumberswhenDistributorspurchasecertainpartsfrom
Komatsu.AnMRANumberisanauthorizationfortheDistributortoreturnareplacedpartto
Komatsuforacorecredit
7. KomatsusCoreProcessingCenter:KomatsusCoreProcessingCenterreceives,evaluatesand
processescomponentcoresforKomatsuPartsDepartment.
5.
K) REFERENCES
2. KomatsusClaimsSystempresentation
L) REVISIONS
Revision Date
1
12/5/2010
Content
Draftdocument
Author
K.Venkiteswaran,E.
Keane,G.Toro,T.
Robson,J.Bloodgood
TRAININGSCHEME
SPP411
Page1of2
TRAININGSCHEME
Contents
A) PURPOSE ................................................................................................................................. 1
B)
OVERVIEW............................................................................................................................... 1
C)
BASICSCHEME ........................................................................................................................ 1
D) ORDERINGTRAININGMATERIALS ......................................................................................... 2
F)
FEES ......................................................................................................................................... 2
G) DEFINITIONS............................................................................................................................ 2
H) REFERENCES ............................................................................................................................ 2
I)
REVISIONS ............................................................................................................................... 2
A) PURPOSE
ThisscheduleprovidesanoverviewofKomatsusservicetrainingscheme.
B) OVERVIEW
KomatsusTrainingDepartmentisheadquarteredinCartersville,Georgia.Komatsuoffersservice
trainingonlineandinperson.InclasstrainingisconductedatKomatsusCartersvilleandTucson
facilities,andatvariousDistributorCertifiedTrainingCentersandCustomerlocationsonworldwide
basis.
C) BASICSCHEME
Komatsuhasatwotierframeworkforservicetraining.
1. Basic Training: Komatsu provides basic training courses to Distributors online through the
Komatsu Virtual Campus system. These courses are designed to provide the Distributor
service employees with fundamental information to qualify for advanced training courses, or
provide them with the basic training required to perform their daily jobs. Basic training for
techniciansforexample,includescoursesonthefundamentalsofenginesandonthestructure
and function of systems in new model machines. Basic training for Distributor service
employees such as a Claim Administrator includes courses on failure analysis and the use of
MSPowerPoint.OnlinecoursesrequirethattheDistributorparticipantcompleteatesttopass
thecourse.
2. Qualification Training: Komatsu offers instructor led training for more advanced machine
specific courses for Distributor technical personnel and mining Customers. These courses
generallylastbetween3and5daysandtraintheattendeestotroubleshoot,maintain,repair,
oroperatemachines.TrainingManagersattheDistributorshouldtakethesecourses,andin
turnusethematerialsprovidedbyKomatsutodevelopspecifictrainingcoursesfortechnicians
and other service employees at the Distributor. Komatsus in class course offering primarily
TRAININGSCHEME
SPP411
Page2of2
focus on new products being introduced to the market and current production machines.
Komatsu can also provide training classes on legacy products on an as needed basis.
Distributor can view courses being offered and enroll in training sessions by accessing the
Komatsu Virtual Campus system. The Distributor can request a specific course for a legacy
product or request training for Customers by submitting a request for the class on Komatsu
VirtualCampus.
D) ORDERINGTRAININGMATERIALS
1. DistributorTrainingManagerscanordermaterialsthroughtheKomatsuVirtualCampus
system.
E) COPYRIGHTINFORMATION
1. AllthetrainingmaterialsprovidedbyKomatsusuchaspresentationkitsorguidesarethe
propertyofKomatsu.Distributorcannotrepurposetheinformationwithoutthepriorwritten
consentfromKomatsu.
F) FEES
Feesdependonthetypeofcourse,locationandduration.TheKomatsuVirtualCampus
systemspecifiesthefeesbycoursenumberanddate.
G) DEFINITIONS
4. KomatsuVirtualCampus:KomatsuVirtualCampusisKomatsuslearningmanagementsystem.
ThesystemisavailablethroughtheTraininglinkonKomatsusextranet
(https://www.komatsuamerica.net).PleaseseepresentationonKomatsuVirtualCampusfor
5. Claim Administrator: person responsible for filing Claims with Komatsu. The Claim
6. Training Manager: person responsible for technical skill development for the service staff at
theDistributor.
H) REFERENCES
1. KomatsuVirtualCampuspresentation
I) REVISIONS
Revision Date
Version
1
12/23/2010
1
Content
Draftdocument
Author
E.Keane,K.
Venkiteswaran,M.
Robson
PUBLICATIONSSCHEME
SPP511
Page1of3
PUBLICATIONSSCHEME
Contents
A) PURPOSE .............................................................................................................................. 1
B) OVERVIEW .......................................................................................................................... 1
C) TYPES OF SERVICE PUBLICATIONS ........................................................................... 1
D) ACCESSING SERVICE PUBLICATIONS ....................................................................... 2
E) PUBLICATIONS ACCESS FEES....................................................................................... 3
F) ORDERING SERVICE PUBLICATIONS......................................................................... 3
G) DEFINITIONS....................................................................................................................... 3
H) REFERENCES ...................................................................................................................... 3
I) REVISIONS ........................................................................................................................... 3
A) PURPOSE
ThisscheduleprovidesanoverviewofKomatsuspublicationsscheme.
B) OVERVIEW
KomatsusPublicationsDepartmentisheadquarteredinCartersville,Georgia.Komatsus
PublicationsstafflocatedinCartersvilleandatKomatsusplants,write,editandpublishtechnical
servicematerialsformachinessoldbyKomatsu.
C) TYPESOFSERVICEPUBLICATIONS
1. FieldAssemblyManual:thesemanualsprovidetheDistributorinstructionsonproperassembly
andcommissionproceduresformachines.Thesemanualsaregenerallypublishedonlyfor
machinesshippedassubassembliesfromKomatsu.
2.
Operation&MaintenanceManuals:thesemanualsareincludedinthecabofeachmachine
shippedfromKomatsu.Themanualsprovideinformationonmaintenanceandoperationof
themachine.
3.
PartsBooks:thesemanualsareincludedinthecabofeachmachineshippedfromKomatsu.
Themanualsprovideinformationonthereplacementservicepartsforthemachine.
4.
ShopManuals:thesemanualsprovidetheDistributorwiththefollowinginformationfor
specificmachines:structureandfunctionofvarioussystems,standardoperational
specifications,troubleshootingguides,schematicsforvariouselectricalandhydraulicsystems,
reusabilitystandardsformachineparts,andtypicalrepairproceduresforvariouscomponents.
PUBLICATIONSSCHEME
SPP511
Page2of3
5.
Parts&ServiceNewsletters:thesedocumentsprovidetheDistributorwithupdatesonnew
partsandserviceproceduresformachineupdatesandupgrades.Thesechangesgenerally
becomestandardoroptionofferingsoncurrentproductionornewmodelmachinesandarein
timerolledintothePartsBooksorShopManuals.
6.
FlashNewsLetters:thesedocumentsareusedtoalerttheDistributortopotentialimpending
issuesinthefieldandgenerallyprovidepreventativemaintenanceorrepairproceduresto
addresstheissue.
7.
MiscellaneousManuals:theseareacollectionofdocumentsandmanualsincludingKomatsu
OilWearAnalysis(KOWA)thatisasystemformeasuringthedensityofmetalwearparticlesin
usedoil,KUCproceduresdocumentthatsupportssalespromotionactivitiesforKomatsu
genuineundercarriages,ServiceToolGuideshowsspecialtoolsandsoftwaretouseforthe
engineandchassis,WeldingManualscoversbasicweldingprocedures,theGoldBookisaparts
andaccessoriescatalogandothermaterialthatdoesnothaveaspecificmodelassociation,
suchastheairconditionermanualandcraneloadingratingguide.
D) ACCESSINGSERVICEPUBLICATIONS
1. KomatsushipstheOperationandMaintenanceManualandthePartsBookwitheachmachine.
2.
CSSSystem:Distributorcanaccessalloftheservicepublications,includingtheOperationand
MaintenanceManualandthePartsBook,throughKomatsusCSSNetwebsite.Pleasesee
CSSNetlinkontheServicehomepageofKomatsusextranetsystem
(https://www.komatsuamerica.net).PresentationKomatsuExtranetServiceApplications
providesinformationonhowtoaccessandusethesystem.Komatsuwillalsoprovideahard
drivewithacopyofallofthepartsandservicepublicationstoeachDistributorbranch
location.TheharddrivesmustbereturnedtoKomatsuforexchangeonaquarterlybasisfor
updates.
3.
CSSintheField:Distributorcanrequestadditionalharddrivesatareducedrateforservice
trucksorotherapplications.ThesemustalsobereturnedtoKomatsuforexchangeona
quarterlybasisforupdates.
4.
Papersubscriptions:Distributorcanorderpapersubscriptionsforallnewandrevisedservice
publicationsasdescribedinthePaperSubscriptionAnnouncement.
5.
FlashDrive:DistributorcanordercertainservicepublicationsonanindividualFlashDrive.
PleaseseetheKomatsusExtranet
(https://www.komatsuamerica.net/northamerica/service/css/orderforms)fordetails.
6.
VIPsites:iftheDistributorhasaCustomerthatdesiresaportaltoaccessserviceinformation
allowedbyKomatsu,theDistributorcanrequestaVIPsitecreated.PleaseseetheKomatsu
PUBLICATIONSSCHEME
SPP511
Page3of3
Extranetsystemfortherequestformanddetails
(https://www.komatsuamerica.net/northamerica/service/css/orderforms).
E) PUBLICATIONSACCESSFEES
1. CSSSystem:KomatsuwillbilltheDistributoropenaccountinMayofeachyearforaccessto
theCSSSystemincludingtheharddriveexchangeprogram.Thesubscriptionfeeforthis
programiscurrently$1155/Distributorbranch.Thisisamandatorysubscriptionforall
distributorbranches.
2.
CSSintheField:Additionalharddriveexchangesubscriptionscanbeorderedfor
$450/subscription.ThesecanonlybeorderedaftereverybranchofaDistributorhasacurrent
subscriptiontoCSS.Pleaseclicklinkformoredetails,CSSintheFieldAnnouncement
F) ORDERINGSERVICEPUBLICATIONS
1. DistributorscanorderpapercopiesoftheservicepublicationsfortheDistributorservice
libraryorforresaletoCustomers.
2.
Toplaceorderforpublications,DistributormustaccesstheKomatsuExtranetLiterature
Orderingsystem(https://www.komatsuamerica.net/northamerica/literature).
3.
TheDistributorsopenaccountwithKomatsuwillbechargedfororders.
4.
Faxordersareacceptedat(678)7213430.Thereisa$15surchargeforanyfaxorder.
G) COPYRIGHTINFORMATION
1. AlloftheservicepublicationsarethepropertyofKomatsu.Distributorcannotrepurposethe
informationwithoutthepriorwrittenconsentofKomatsu.
H) DEFINITIONS
I)
2.
Distributor:AuthorizedKomatsuDistributor.
3.
Komatsu:KomatsuAmericaCorp.
REFERENCES
1. KomatsuExtranetServiceApplicationspresentation
J) REVISIONS
Revision Date
Version
1
12/23/2010
1
Content
Draftdocument
Author
E.Keane,K.
Venkiteswaran,S.
Smither
February 27, 2009

Attn: Service Managers and Parts Managers
IMPORTANT NOTICE
Paper Subscriptions for KAs Technical Service Manuals
Komatsu Publications is pleased to provide you with several options for the Annual Publication Subscription
Service. To reduce cost, we are now offering the option of receiving a Shop manual foldout subscription, paper
only.
Pricing plans for the 2009 subscription service:
OMM, FAM, Shop Manual, Shop Manual Supplements *Paper Foldout Option*
1) $7,900 for KACs Construction and Utility product (OMM, FAM, SM and SMS)
To order use the Komatsu Extranet Literature Ordering system form # KACCU09-PAPER
2) $2,500 for KACs Mining Division product
To order use the Komatsu Extranet Literature Ordering system form # KACMD09-PAPER
OMM, FAM, Shop Manual, Shop Manual Supplements *Synthetic Foldout Option*
1) $10,500 for KACs Construction and Utility product (OMM, FAM, SM and SMS)
To order use the Komatsu Extranet Literature Ordering system form # KACCU09-SYN
2) $3,000 for KACs Mining Division product
To order use the Komatsu Extranet Literature Ordering system form # KACMD09-SYN
New to 2009
Shop Manual Foldout Subscription. This offer is specific only for Paper foldouts.
1) $2050.00 for KACs Construction and Utility Foldouts.
To order use the Komatsu Extranet Literature Ordering system form # KACCUFD09-PPR
2) $1500.00 for KACs Mining Division Foldouts.
To order use the Komatsu Extranet Literature Ordering system form # KACMDFD09-PPR
ABOUT THE SUBSCRIPTION SERVICE:

At the beginning of each month, the subscribers will receive hard copies of the new and revised Operation & Maintenance
Manuals, Field Assembly Manuals, Shop Manuals, and Shop Manual Supplements* that were released during the
previous month. Please note that Parts Books are not included in the paper subscriptions. The subscription service runs
from April 1, 2009 to March 31, 2010 and annual renewal is automatic.
If you are a current subscriber and would like to change your subscription service, please contact us. If you are currently
not a subscriber but would like to receive automatic monthly publication releases, you can contact us or sign up for your
subscription service through literature ordering on the Extranet.
Julie Summerfield (Publications Coordinator) 678-721-3434 (jsummerfield@komatsuna.com)
Patsy VanBallegooijen (Publications Administrator Assistant) 678-721-3408 (pvanballegooijen@komatsuna.com)
*Excludes the foldout subscriptions.
This offer expires 4/15/2009
CSS IN THE FIELD

Komatsu is proud to announce our new CSS in the Field program. CSS in the Field
was developed to provide an affordable solution for distributors to equip every field
technician with electronic parts and service manuals for our complete product line.
Komatsus CSS in the Field subscription rate is $450.00 annually

for those participants that qualify.
Komatsu will provide updated Hard Drives quarterly.
Eligibility Requirements - Each registered distributor branch within that
distributorship must maintain a current initial subscription to qualify for the
reduced rate.
Example: Distributor A has five (5) registered branches. Each of the five
branches must purchase and maintain at least five initial subscriptions @
$1155.00/subscription prior to qualifying for CSS in the Field.
For additional clarification or questions concerning the CSS in the Field program and
how it can benefit you, please feel free to e-mail DataKom at kcss@komatsuna.com
or call Sabrina Wilson at 678-721-3407.
Komatsu looks forward to a continued successful relationship with you in 2009.
DataKom Publications & Training

Division Komatsu America Corp.
100 Komatsu Drive

Cartersville, GA 30121
ETSISUBMISSIONGUIDELINES
SPP611
Page1of7
ETSISUBMISSIONGUIDELINE
Contents
A) PURPOSE .............................................................................................................................. 1
B) CRITERIA FOR ISSUING ETSIs ...................................................................................... 1
C) SITUATIONS WHERE AN ETSI IS NOT APPROPRIATE........................................... 1
D) PROCESS FOR ISSUING ETSIs ........................................................................................ 1
E) STATUS OF YOUR ETSI .................................................................................................... 2
F) DEFINITIONS....................................................................................................................... 2
G) REFERENCES ...................................................................................................................... 3
H) REVISIONS ........................................................................................................................... 3
I) APPENDIX 1 ......................................................................................................................... 3
A) PURPOSE
1. This schedule provides guidelines to other Komatsu LTD Sales Subsidiaries on issuing ETSIs in
the SMAP to report quality problems for Komatsus Peoria manufactured dump trucks.
PresentationSMAPincludesinformationonhowtoaccessandusetheSMAPsystem.
B) CRITERIAFORISSUINGETSIs
PleaseusethefollowingcriteriatoassessifitisappropriatetoraiseanETSIforyourmarket:
1. Documented product design issue that is of a safety concern for the operator or the
environment;
2. One (1) documented incident of a premature failure of an updated part that was repaired or
replacedusinginformationfromaParts&ServiceNewsletterorunderaFactoryCampaign;or
3. Three(3)ormoredocumentedincidentsofprematurefailureofthesamepartnumberhaving
thesamefailmodewithina12monthperiod(firstfailuretothelastofthe3failures).
C) SITUATIONSWHEREANETSIISNOTAPPROPRIATE
1. FORMACCIDENTREPORTistheappropriatemeanstonotifyKomatsuonaccidentsinvolving
Peoriamanufactureddumptrucks(notTSIsorETSIs).
2. CertainmarketsmayhavenewregulationsorCustomerrequeststhatrequiremodificationsto
the product. Please submit request for engineering support for these modifications using
KomatsusSpecialFeatureRequest(SFR)processthroughyourSalesDepartment.
D) PROCESSFORISSUINGETSIs
1. Confirm that the TSI(s) issued to first document the product deficiency or failure incident is
(are) comprehensive enough to support a failure analysis solely based on the evidence
provided(withoutasitevisit).TheinformationincludedintheTSIshouldprovidethereader:
SPP611
Page2of7
Informationonhowthetruckisbeingutilized;
b. Agoodunderstandingofthefailure/deficiencyyouveexperienced;and
c. Detailedinformationonallofthefactorsthatcouldhavecontributedtothefailure.
d. Appendix1isalistofitemsthatisconsideredessentialdatathatwillcompletethestoryon
a particular failure. All of the items may not be necessary for every failure, but the TSI
shouldhavealloftheinformationthatisrelevanttothespecificsituationfortheTSItobe
consideredcompleteorcomprehensive.
ConfirmthatfailedpartsreferencedintheTSI(s)areinyourpossessionandareprotectedand
storedinacleanenvironment. Aminimumoftwosetsoffailedpartswillberequiredif the
ETSI is issued based on the three (3) incidence criteria. If parts are repaired, please confirm
that the photographs included on the TSI are thorough and comprehensively describe the
failure(includephotosbeforeandaftertherepair).
IftheTSI(s)arecomplete,thefailedpartsareinyourpossessionandavailableforrecall,and
thefailureinformationmeetsthecriteriaspecifiedinSectionB,pleaseescalatetheTSItoan
ETSI.
In completing the ETSI form, please use the criteria specified in Appendix 2 (Problem Risk
Criteria) to appropriately complete the Problem Occurrence, Problem Importance,
MarketImpact,CompanyPriorityandProblemRanksectionsoftheETSI.Pleaseutilize
theinstallbaseforthetrucksinyourmarkettocalculatetheOccurrenceRatio.
Once your ETSI is complete, please forward your ETSI to Subsidiary: USA: KAC > Section
Code:00120(sectionnameProductQualitySupport).
a.
2.
3.
4.
5.
E) STATUSOFYOURETSI
1. Once you forward your ETSI, it is routed to the Komatsus Service Department. The Service
Department Technical Service personnel will review your ETSI to ensure that the information
providediscomplete.Wemaycontactyouforadditionalinformationtocompletethefailure
documentationbeforewepassyourETSInoticetotheQualityDepartment.
2. TheQuality Department willprioritizeyourETSIrelativetoalloftheotherETSIsreceivedfor
the Peoria dump trucks, and then manage a quality review of the failure(s). Based on the
resultsofthequalityreview,Komatsumayormaynotdecidetopursueproductmodifications
orchanges. Ifyourequireanupdate onthe currentstatusofyourETSI,pleasecontactyour
localKomatsurepresentative.PresentationKomatsuRegionalRepresentativesincludesalist
F) DEFINITIONS
SPP611
Page3of7
G) REFERENCES
1. KomatsuRegionalRepresentativespresentation.
2. SMAPpresentation.
3. ACCIDENTREPORTform.
H) REVISIONS
Revision Date
Version
1
12/23/2010
1
I)
Content
Draftdocument
Author
K.Venkiteswaran,M.
Busha,M.Kocker,J.
McKinzie,T.Robson
APPENDIX1
FailureDataandInformationRequiredtoSupportFailures
Whensubmittingawarrantyclaim,TSI,orfailurereport,someorallofthefollowingitemsmay
benecessarytoproperlyexplainthefailure.
1.
BasicTruckinformation:
2.
Truckmodel,type,subtypeandserialnumber
SMRoftruck
SMRoffailedpart
Typeoffluidusedinthehydraulicsystem,engine,wheelmotor,transmission,final
drive,etc.
Tiresize,makeandmodeliffailurepertainstosteeringandsuspensionparts.
ServiceHistoryofTruck:
Servicehistoryoftruckandcomponent
Oilsamplehistory
Customeraddedoptionsormodificationsthateffectthefailedpart
3. TruckUtilizationData:
PLMDownloads
GE/SEBASDownloads
KomtraxPLUS/VHMSDownload
4. Application/Siteinformation:
Mineprofiles,speedlimitsandroadconditions
Ambienttemperatures,altitude,etc.
Surveyofothertrucksatsitetoconfirmiftheyhavesameproblem
SPP611
Page4of7
Photosofloadingareasandgeneralportionsofthehaulroads
5. Failureinformation:
6.
FailedpartnameandKomatsupartnumber
Serialnumber,datecode,suppliercodeandotherdataonfailedpart
Failedpartsstatus,(available/notavailableforreturntofactory)
Wasitanoriginalpart,replacementpart?
WasthepartpurchasedfromKomatsuAmerica?Orlocallysourced?
Photosoffailure(closeupandfaraway)
Failuredescription(whatareallthepartsthathavefailedandhowhavetheyfailed)
Temporarycorrectiveactions(detaileddescription,photosandifpossiblesketches
ordrawings)
Misc.information:
WarrantyClaimnumber
TSInumber
The above list is not comprehensive. If there are other items that may have affected the
failure,pleaseincludeinformationonthoseitemsalongwiththeTSI.
Example1:HydraulicPumpfailure
RequiredinformationtosupporttheTSI:
a. Truckmodel,type,subtypeandserialnumber
b. SMRoftruck
c. SMRoffailedpart
d. Typeofoilusedinhydraulicsystem
e. Servicehistoryofhydraulicsystem
f. Oilsamplehistoryofhydraulicsystem
g. Customeraddedoptionsofmodificationstohydraulicsystem
h. PLMdownload
i. VHMS/KomtraxPLUSdownload
j. Ambienttemperatures
k. Failedpartnumber
l. Serialnumberoffailedpart
m. Failedpartstatus(available/notavailableforreturntofactory)
n. Photosoffailedpart
o. Warrantyclaim,and/orTSInumber
Example2:wheelmotortransmissionfailure
RequiredinformationtosupporttheTSI:
SPP611
Page5of7
a.
b.
c.
d.
e.
f.
g.
h.
i.
j.
k.
l.
m.
n.
o.
p.
q.
r.
Truckmodel,type,subtypeandserialnumber
SMRoftruck
SMRoffailedpart
Typeofoilusedinwheelmotor
Servicehistoryofelectricdrivesystem
Wheelmotoroilsamplehistory
PLMdownloads
GE/SEBASdownloads
KomtraxPLUS/VHMSdownloads
Mineprofileandroadconditions
Ambienttemperatures
FailedpartnameandKomatsupartnumber
Serialnumber,datecode,suppliercodeandotherdataonfailedpart
Failedpartsstatus(available/notavailableforreturntofactory)
Wasitanoriginalpart,replacementpart?
WasthepartpurchasedfromKAC?Orlocallysourced?
Photosoffailure(closeupandfaraway)
Warrantyclaimand/orTSInumber
J) APPENDIX2
1. Purpose:Toaidindeterminingtheseverityofareportedproblem.
2. RequiredAction.
Thefollowingrisksrequireimmediateactiontoaddressthesituationandareautomatically
consideredtobeRankA:
Safetyoneinstancemayresultininjuryordeath.
Regulatoryoneinstancehasresultedormayresultinlitigationoraviolationofastatutory
and/orregulatoryrequirement.
NewPart/SystemChangeoneinstancewithinoneyearaftertheintroductionofanewor
changedpartorsystem.
CalculateaproblemseverityRankbaseduponthescoresoftherisksbelow:
SPP611
Page6of7
3.
ProblemOccurrence.
SearchSMAPforthesamepartnumberwiththesameproblem.SearchSAPforwarrantyclaims
onthesamepartnumberwiththesameproblem.Reviewthetablebelow,selectthehighest
ratedriskanddetermineascore.
Risk
Rating
Rating
Rating
OccurrenceRatio
Below2%
2%3%
Above3%
(Quantityofmodeltypewithproblem/quantityof
totalmodeltypeoperatinginmarket)
Last12MonthInstances
01
23
4+
(QuantityofadditionalTSI&ETSIinSMAPand
WarrantyClaimsinSAP)
05
610
11+
Last5YearInstances
(QuantityofadditionalTSI&ETSIinSMAPand
WarrantyClaimsinSAP)
SCOREA
1
3
5
4. ProblemImportance.
Reviewthetablebelow,selectthehighestratedriskanddetermineascore.
Risk
Rating
Rating
MachineDown
1
23
(Numberofdaysmachinewillbeoutofservice)
$1$9,999
$10,000
Cost
$19,999
(AmountofUSdollarstoputmachinebackinto
service)
SCOREB
1
3
5. MarketImpact.
Reviewthetablebelow,selectthehighestratedriskanddetermineascore.
Risk
Rating
Rating
CustomerImportanceCurrent
124
2549
(Numberofmachinesoperating)
CustomerImportanceFuture
14
59
(Numberofmachinesonorder)
StrategicArea
>2yrs
12yrs
(Timeinnewcountry,terrainorapplication)
SCOREC
1
3
Rating
4+
$20,000or
more
5
Rating
50+
10+
<1yr
5
SPP611
Page7of7
6.
CompanyPriority.
Reviewthetablesbelow,selectthehighestratedriskanddetermineascorefromeachtable
andaddthemtogether.
Risk
Rating
Rating
Rating
ProblemOccurrenceScore
1
3
5
SCORED
0
10
20
Plus
Risk
Rating
Rating
Rating
ProblemImportanceScore
1
3
5
SCOREE
0
5
10
Plus
Risk
Rating
Rating
Rating
MarketImpactScore
1
3
5
SCOREF
0
10
20
7. CalculateProblemRank.
CalculateaRankbasedontheabovescoresasfollows:
(ProblemOccurrenceScoreAXProblemImportanceScoreBXMarketImpactScoreC)+
(SummedCompanyPriorityScoresD+E+F)
RankA=Scoreof110orhigher.
RankB=Scoreof50109.
RankC=Scoreof49orlower.
KEYDISTRIBUTORCONTACTSFORM
SPP1011
Page1of2
Contents
A) PURPOSE .............................................................................................................................. 1
B) DEFINITIONS....................................................................................................................... 1
C) REVISIONS ........................................................................................................................... 1
A) PURPOSE
This form can be by the Distributor to update Komatsu on key service contacts at the
Distributor.
B) FILINGPROCEDURE
Distributorshouldemailcompletedformtoserviceprograms@komatsuna.comwiththesubject
KeyContactUpdate.
C) DEFINITIONS
D) REVISIONS
Revision Date
1
12/5/2010
Content
Draftdocument
Author
K.Venkiteswaran
SPP1011
Page2of2
1.
DISTRIBUTORNAME/KomatsuCode:
DATE:
2.
KEYSERVICEREPRESENTATIVES:
a. DISTRIBUTORREPRESENTATIVEVPorGMofProductSupportorService
Name
PhoneNumber
EmailAddress
Title
b. CLAIMADMINISTRATOR
Name
PhoneNumber
EmailAddress
BranchNames/Codes
[ALLorlistspecific
branchesthateachperson
isresponsiblefor]
c.
FCCOORDINATOR
Name
PhoneNumber
EmailAddress
BranchNames/Codes
[ALLorlistspecific
isresponsiblefor]
d. TRAININGMANAGER
Name
PhoneNumber
EmailAddress
BranchNames/Codes
[ALLorlistspecific
isresponsiblefor]
e.
TECHNICALCOMMUNICATOR
Name
PhoneNumber
EmailAddress
BranchNames/Codes
[ALLorlistspecificbranches
thateachpersonis
responsiblefor]
f.
SERVICEMANAGERS
Name
PhoneNumber
EmailAddress
BranchNames/Codes
[ALLorlistspecific
isresponsiblefor]
RECEIVINGINSPECTIONFORM
SPP1012
Page1of2
Contents
A) PURPOSE .............................................................................................................................. 2
B) FILING PROCEDURE ........................................................................................................ 2
C) DEFINITIONS....................................................................................................................... 2
D) REVISIONS ........................................................................................................................... 2
SPP1012
Page2of2
A) PURPOSE
1. ARECEIVINGINSPECTIONREPORTmustbefilledoutbyDistributortoconfirmthespecifications
andconditionoftheequipmentassoonasitisreceived.Overagesandshortagesshouldbe
identifiedaswell.Whenanyunsatisfactoryconditionsarefound,theymustberestoredtothe
originalcondition.
2. Intheeventthatanydamageorshortagesarefoundthatarepresumablyfromthefactory,a
ClaimmustbesubmittedaccordingtoKomatsusStandardProductWarrantyCoveragePolicy.
3. Intheeventthatanydamageoccurredduringhandlingortransportation,aclaimfor
compensationshouldbesubmittedtotheinsurerorcarrier.
4. Thescopeofinspectionshallcovernotonlymachines,butalsotheirattachments,accessories,
andservicetools.
B) FILINGPROCEDURE
Komatsusometimesincludescarbonizedformswitheachmachine.Anelectronicversionisalso
availableinthissectionoftheServicePolicyandProcedureManual.Aftercompletion,theform
shouldbefiledintheDistributorsMachineFile.
C) DEFINITIONS
4. MachineFile:ElectronicorpaperfilesattheDistributor,searchablebymachinemodeland
serialnumberthatincludescopiesofalloftheDistributorsinteractionswithamachine.
D) REVISIONS
Revision Date
1
1/3/2011
Version
1
Content
Draftdocument
Author
B.Miller

Inspection Date
RECEIVING INSPECTION REPORT

ALL MODELS
Complete Serial No. (Including Kind Code)
Engine Model
SMR
Serial No.
HRS
Torque Converter Model
Serial No.
Transmission Model
Serial No.
Other Component Model
Serial No.
Attachment(s)
Make
Model
Serial No.
Make
Serial No.
Model
CEKC2100B
Machine Model
Receiving Date
NOTE: Below are the items of this machine to be checked at receiving inspection. Please use the shipping documents to confirm correctly all items for which
inspection is necessary. If any problem is discovered, enter this in the comment column.
Result of Inspection
Reference: Nature of Problem/Action
9
x
9
Nature of Problem
Item conforms to specifications or in good condition

Does not conform to specifications or is damaged
Corrections Made
Check
Claim for compensation from

insurance/carrier
Claim for compensation through sales
department of the distributor
Check
Specification
Monitor System
Komtrax /VHMS Part #
Komtrax /VHMS Serial #
Orbcomm / Model / Serial #
MH800 Monitor Serial #
1). Antennas
KOMTRAX / VHMS /
ORBCOMM
Type
Capacity
Serial No.
Front plow or blade
Snow Wing
Boom - Standard lift / Load & carry
High lift
Three (3) Section
Four (4) Section
Arm - Short
Medium
Long
Dozer blade - Straight
Tilt
Semi-U
Full-U
Coal
Other
2). Cable
OPTIONAL EQUIPMENT
3). Controllers
Scarifier
Ripper
Winch
Counterweight
Drawbar
Outriggers
Others
Open ROPs canopy serial No.
Closed cab serial no.
Other
ACCESSORY
& CAB
CANOPY
REAR
ATTACHMENT
FRONT ATTACHMENT
Specification
Bucket
Action (Reference)
Damage during handling or

transportation
Wrong parts, missing parts, mistaken
2
specification
1
Damage
Instruction plates
Rust on linkage
Blade or bucket & frame
Cylinders, rods & piping
Undercarriage components
Tires - size
Emergency steering
Joystick steering
Heater / Pressurizer
Air conditioner
Electronic controller suspension system
Load & carry arrangement
Track shoe
Width
Type
Track type
Standard
Long
Wide
Body
Type
Size
Other
Publications - Operations & Maintenance Manual
Parts Book
Safety Manual
Service tools
Other
Damage
Electrical parts & wiring
Batteries
Operator's seat
Oil, fuel or coolant leakage
Other, specific
Inspector's Comments:
Distributor Name
Inspector's Signature
CEKC2100B rev 0907
Location
(replaces CEKC2100)
White: Distributor copy
Yellow: Machine File Copy
Pink: Komatsu Copy
Printed in the U.S.A.
CONSIGNMENTMACHINEINSPECTIONFORM
SPP1013
Page1of2
Contents
A) PURPOSE .............................................................................................................................. 2
C) DEFINITIONS....................................................................................................................... 2
D) REVISIONS ........................................................................................................................... 2
SPP1013
Page2of2
A) PURPOSE
1. TheremaybesituationswhereDistributorshavetostoreamachineinexcessof30days.
2. Distributor must follow the storage guidelines specified in the machines Operation &
MaintenanceManualduringthestorageperioddocumenttheserviceusingthisform.
3. Distributor must replace missing/damaged parts or perform repairs to return the machine to
prestorageconditionsbeforedeliverythemachinetoaCustomer.
B) FILINGPROCEDURE
1. Completeeachinspectionitemontheform.Ontheleftsideofeachcolumn,checkwhether
theitemisNotApplicable,inGoodcondition,orNeedsAttention.Then,ontherightsideof
eachcolumn,checkwhatactionwasperformedonthespecificitem:
a. ToppedOffFluidLevel
b. Repaired
c. Represerved
d. Adjusted
e. Cleaned
f. None(noaction)
2. Explainwhichitemsneededattentionorrepairsinthelinesbelowthetables.
3. Aftercompletion,theformshouldbesignedbytheinspectorandfiledintheDistributors
MachineFile.
C) DEFINITIONS
policies.
D) REVISIONS
Revision Date
1
1/3/2011
Version
1
Content
Draftdocument
Author
B.Miller
Inspector's Name

Machine Model
Serial No.
Engine Model
Date of Inspection
SMR (Ending)
Distributor Code
KAC522000
Consignment Machine Inspection Form

Engine Serial No.
Distributor Name
Street Address
City
State/ Province
Zip Code
Attachment(s)
Make
Model
Serial No.
Make
Model
Serial No.
Machine Condition Inspection must be completed every 30 days

Please perform all inspection points and perform necessary actions to correct deficiencies.
Some items may not apply to certain models.
Not Applicable
Good
Inspection
A
c
t
i
o
n
Topped off Fluid Level

Repaired
Represerved
Needs Attention
Adjusted
Not Applicable
Cleaned
Good
None
Needs Attention
Inspection
InspectionItem
1) All oil compartments inspected for water contamination
A
c
t
i
o
n
Topped off Fluid Level

Repaired
Represerved
Adjusted
Cleaned
None
InspectionItem
8) Check KOMTRAX website to confirm machine has transmitted
recent location and service meter reading
2) Check all fluid levels

9) Functional check of gauges and monitor panel
3) Cooling system anti-freeze protection at -30F (-34 C)

Record Actual:
10) Functional check of each hydraulic system component.
4) Check machine for the following:

a) Leaks
b) Damage
11) Fully extend and retract each hydraulic cylinder
c) Corrosion/ Rust
d) Other Deterioration
5) Check tire pressure
12) Operate machine and perform function check of:

a) Engine
b) Drive Components
6) Check fuel level and add fuel additive if necessary in cold

climates.
c) Steering Mechanisms
d) Operating Controls (i.e. levers, pedals. etc.)
e) Attachments
7) Start engine and operate until at operating temperature and

starting battery is fully charged.
Record Battery Voltage:
Explain items needing attention/ repairs made:
Inspector's Signature:
PREDELIVERYANDDELIVERYINSPECTIONFORM
SPP1014
Page1of3
Contents
A) PURPOSE .............................................................................................................................. 2
B) FORM INSTRUCTIONS ..................................................................................................... 2
C) FILING PROCEDURE ........................................................................................................ 3
D) DEFINITIONS....................................................................................................................... 3
E) REVISIONS ........................................................................................................................... 3
SPP1014
Page2of3
A) PURPOSE
Service Inspection Forms are used for recording the predelivery and delivery conditions of a
Machine and to provide a permanent record of the services having been performed, before the
MachineisfirsthandedovertotheCustomerforoperation.Theseservicesaretheresponsibilityof
the Distributor and are provided to each Customer free of charge in order to obtain maximum
machineperformanceandCustomersatisfaction.Theformsarecategorizedbyproducttype.The
contentandpurposefortheseservicesare:
1. PreDelivery:CompletelyassembleandinspecttheMachinepertheappropriateInspection
Reportguidelineforthisservice.Checkalloperationaladjustmentsandensurethemachine
isreadyforCustomerreceipt.
2. Delivery: Consists of the physical delivery of the Machine to the Customer and the
presentation of the appropriate manuals for the Machine. The proper operation,
maintenance,andsafetyrequirementsshouldbeexplainedtotheCustomeralongwiththe
warranty coverage and its requirements. The Distributor must make sure the Customer
fullyunderstandseveryfeature,function,andoperationoftheMachine,includingitssafe
operation.
B) FORMINSTRUCTIONS
1. PreDelivery:Completethetopsectionoftheform.Then,readthroughtheitemsinthetwo
tablesintheMachineHealthInspectionsection.TheinspectionitemsforPreDeliverywillbe
markedwithanxintheLEFTcolumnofeachtabletoindicatewhethertoInspectorService
theitem.Aftereachmarkeditemiscomplete,writeoneofthefollowingintheCommentboxes
onthefarleftsideofeachtable:
a. G:GoodCondition
b. B:BadCondition
c. C:CorrectionMade
2. Delivery:Completethetopsectionoftheform.Then,readthroughtheitemsinthetwotables
intheMachineHealthInspectionsection.TheinspectionitemsforDeliverywillbemarkedwith
anxintheRIGHTcolumnofeachtabletoindicatewhethertoInspectorServicetheitem,and
alsotoDiscusstheitemwiththeCustomer.Aftereachmarkeditemiscomplete,writeoneof
thefollowingintheCommentboxesonthefarrightsideofeachtable:
a. G:GoodCondition
b. B:BadCondition
c. C:CorrectionMade
3. Atthebottomoftheform,besuretoincludeanyimportantcommentsfromtheCustomerand
Inspector.AlsospecifyifthereareanymaintenanceprogramsassociatedwiththeMachine.
Aftertheformhasbeencompleted,itneedstobesignedbytheCustomerandDistributor
Inspector.
SPP1014
Page3of3
C) FILINGPROCEDURE
KomatsuincludescarbonizedformswitheachMachine.Electronicversionsarealsoavailableinthis
sectionoftheServicePolicyandProcedureManual.Aseparateformistobeusedforeachservice
bycompletingthedesignatedcolumnontheform.
Aftercompletion,onecopyshouldbegiventotheCustomerandasecondcopyshouldbefiledin
theDistributorsMachineFile.
D) DEFINITIONS
policies.
E) REVISIONS
Revision Date
1
1/3/2011
Version
1
Content
Draftdocument
Author
B.Miller
Date of Delivery

Service Report: Dump Trucks
Date of Inspection
Engine Model
SMR
Delivery
PreNew
Used
Delivery Sale Demo Rent Sale Demo Rent
R RP
Serial No.
Location
Distributor Name
Customer Name
KAC 517400D
Complete Serial No.

(Including Kind Code)
Machine Model
Inspector Name
Street Address
Zip Code
State/Province
City
Attachment(s)
Make
Model
Make
Serial No.
Model
Serial No.
Machine Health Inspection

NOTE: Below are the items related to operation, maintenance and lubrication of this machine to be performed at Pre-Delivery and Delivery
The Operation & Maintenance Manual details all items to maximize machine availability. Some items may not apply to certain models
X: Item to be Serviced
Comment
Inspect
Service
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
PreDelivery
Delivery
G: Good Condition
B: Bad Condition
Comment
Discuss
Inspect
Service
Item
1. Visual Check
(Damage, loose bolts, rust, leakage, wiring)
2. Lubrication or Service Chart Installed
3. Attachment(s) Installed
4. Fluid Compartment Check
Fuel Tank
Battery Electrolyte
Radiator Coolant Level/Anti-freeze Protection
Engine Oil Pan(s)
Transmission Case
Differential Case
Torque Converter
Final Drive Case
Planetary Drive Case(s)
Front Wheel Hubs
Hydraulic Tank
Brake Oil Reservoir
Hydrair Suspension
PTO Gear Case(s)
Evaporators & Air Line Oilers
Wheel Motor Gear Housing
5. Service
Lubricate per Lubrication or Service Chart
Fuel Tank & Filter Sediment
Drive Belt Tension(s)- Fan, Alternator, etc.
Air Cleaner Element(s) & Connections
Radiator Core & Cooling System Connections
Engine Oil Filter(s), Fuel Filter(s) & Breather
Hydraulic Oil Filter Element(s) & Tank Breather
Inspect Entire Machine for Broken Welds, Cracks,
and Distortions
Steering Linkage/Toe-in
Drive Shaft Slip Yokes for Free Movement
Wheel Brakes & Parking Brake
Wheel Mounting Nut or Bolt Torques
Tire Air Pressures
Tire Wear
Dump Body Guides
Drive Shaft Mounting Nut or Bolt Torques
Cab Air Filter
Air Tank Breather/Drain Moisture
Wheel Motor Vent Breathers
C: Correction Made
Comment
Inspect
Service
x x
x x
x x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
PreDelivery
Delivery
Comment
Discuss
Inspect
Service
Item
Wheel Motor Brush Condition & Length
Grid Blower Motor Brushes
Propulsion Alternator Slip Rings and Brushes
Electrical Cabinet Contactors
6. Operation
Instrument Panel Gauges, Warning Lights, Indicators
and Switches
Unusual Machine Noise
Warning Horn, Lights & Window Wipers
Back up Alarm
Accelerator and/or Decelerator Control
Transmission Neutral Lock & Shift Control
Steering, Wheel Brakes & Parking Brake
Differential Lock (if equipped)
Body Pads & Hoist Control
Attachment(s)
Air Line Leakage
Engine Low Idle RPM
Record:
Engine High Idle RPM
Record:
Engine Stall or Retard RPM Record:
Dynamic Retarding Control
7. Guidance
Safe Operation & Maintenance
Procedure for Starting & Stopping Engine
10, 50 & 100 Hour Maintenance Service
250 Hour Maintenance Service
Warranty & Service Rules
Service Tools & Publications
Spare Parts Ordering Procedure
8. KOMTRAX / VHMS / PLM
KOMTRAX / VHMS Part #
KOMTRAX / VHMS Serial #
Verify connection of all antenna
Verify system is reporting properly
Perform VHMS initialization / setting
Explanation of System and policies
Signed User consent agreements
Customer Comments:
Machine Maintenance Programs

Offer and explain the programs listed below. List details in "Specify" if the machine is already enrolled in a particular program.
PM PRO
Specify
Specify
Advantage Extended Coverage
Specify
KOWA
Specify
Repair and Maintenance Contract
This machine has been serviced and is in satisfactory condition. Adequate information has been given on its operation, care
and maintenance. The Operation & Maintenance Manual has been received. All literature and explanations that pertain to safe
machine operation have been received and understood.
Inspector Comments:
Customer Signature:
Inspector Signature:
x
x
x
x
x
x
x
x
x x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x x
x
x x
x
x
x
x
x
x
x
x
x
x
x
x
x
Date of Delivery

Service Report: Crawler Dozers and Crawler Loaders
Date of Inspection
SMR
Customer Name
Engine Model
Delivery
PreNew
Used
R RP
Serial No.
Distributor Name
KAC 517500F
Complete Serial No.

Machine Model
Inspector Name
Location
Street Address
City
State/Province
Zip Code
Attachment(s)
Make
Model
Serial No.
Make
Model
Serial No.

The Operation & Maintenance Manual details all items to maximize machine availability. Some items may not apply to certain models.
X: Item to be Serviced G: Good Condition
Comment
Inspect
Service
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
PreDelivery
B: Bad Condition
Comment
Discuss
Delivery
Inspect
Service
Item
1. Visual Check
Fuel Tank
Battery Electrolyte
Radiator Coolant Level
Anti-freeze Protection
Engine Oil Pan (s)
Transmission and/or Transfer Case
Steering Case or Drive
Final Drive Cases
Track Rollers
Main Clutch or Damper Case
Hydraulic Tank
5. Service
Drive Belt Tension(s) - Fan, Alternator, etc
Air Cleaner Elements and Connections
Inspect Entire Machine for Broken Welds, Cracks, and
Distortions
Track Tensions
Wear of Undercarriage, Blade or Bucket Cutting Edge
and/or Teeth & Ripper
Undercarriage Torques - Shoes, Links, Sprockets, etc.
6. Operation
and Switches
Backup Alarm
Throttle & Decelerator Controls
Steering & Brakes
Blade or Bucket & Ripper (if equipped)
Record
Engine Low Idle RPM
Record
Converter Stall RPM
Record
Record
Equip. Hyd. Relief Pressure
C: Correction Made
Comment
Inspect
Service
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
Y or N
PreDelivery
Comment
Discuss
Delivery
Inspect
Service
Item
6. Operation (Continued)
Drive Train Oil Pressure @ High Idle
Main
Record
Record
T/C
Record
Lube
Brake LH & RH
Record
Record
Main Clutch & Inertia Brake
Auto Reverse Cooling Fan Operation per Customer's
Job Site Conditions
7. Guidance
8. Other
Operation & Maintenance Manual Review
Parts Book Review
Safety Manual Review
10. Machine Maintenance Programs Other
Advantage
details
R&M
details
PM Pro
details
KOWA
details
Other
details
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
Customer Comments:
This machine has been serviced and is in satisfactory condition. Adequate information has been given on its operation, care and maintenance
The Operation & Maintenance Manual has been received. All literature and explanations that pertain to safe machine operation have been
received and understood.
Inspector Comments:
Customer Signature:
KAC517500F rev 0907 (replaces KAC517500E)
Pink: Komatsu Copy
Date of Delivery

Service Report: Motor Graders
Machine Model
Date of Inspection
Delivery
Engine Model
SMR
PreDelivery
Serial No.
New
Sale Demo
Distributor Name
Customer Name
Used
Rent
Sale Demo Rent
R RP
KAC 517600D
Complete Serial No.

Inspector Name
Location
Street Address
City
State/Province
Zip Code
Attachment(s)
Make
Model
Serial No.
Make
Model
Serial No.

Comment
Inspect
Service
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
PreDelivery
Delivery
B: Bad Condition
Comment
Discuss
Inspect
Service
Item
1. Visual Check
Fuel Tank
Battery Electrolyte
Radiator Coolant Level / Coolant Filter
Engine Oil Pan(s) Dip Stick
Transmission Case(s) Dip Stick
Differential Housing(s) Plugs
Final Drive Case(s) Plugs
Tandem Cases Plugs
AWD Gear Case Plug
Check All Controls
Check AWD System Operation
Circle Adjustment
Hydraulic Tank
Adjustment of all Ball Studs
Circle Gear Case Plugs
5. Service
and Distortions
Steering Linkage
Wheel Rim Centering (if applicable)
C: Correction Made
Comment
Inspect
Service
x
x
x
x
x x
x x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x x
x x
x
x x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x x
x
x
x
PreDelivery
Delivery
Comment
Discuss
Inspect
Service
Item
Tire Air Pressure
Tire Damage
Check Blade Cutting Edges and Inbits for Damage
Capscrew Torque Values
Record_________
6. Operation
and Switches
Backup Alarm
Transmission Neutral Lock & Shifting Control
Circle One:
Mode 1 or
Mode 2
Differential Locks (if applicable)
Blade Positions
Scarfier or Ripper (if equipped)
Engine Low Idle RPM
Record________
Record________
Converter Stall RPM
Record________
Clutch Oil Pressure @ High Idle
Fwd.______ Rev._____
7. Guidance
x
x
8. Other
Parts Book Review
Customer Comments:
Specify
PM PRO
Specify
Specify
KOWA
Specify
Inspector Comments:
Customer Signature:
White Copy: Distributor, Yellow Copy: Customer, Pink Copy: Komatsu
x
x
x
x
x x
x
x
x
x
x
x
x x
x
x x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
Complete Serial No.

Date of Inspection
Delivery
Engine Model
SMR
PreDelivery
Serial No.
New
Sale Demo
Location
Distributor Name
Customer Name
Used
Rent
Sale Demo
Rent
R RP
KAC 517700E
Machine Model
Inspector Name
Date of Delivery

Service Report: Hydraulic Excavators
Street Address
City
State/Province
Zip Code
Attachment(s)
Make
Model
Model
Make
Serial No.
Serial No.

NOTE: Below are the items related to operation, maintenance and lubrication of this machine to be performed at Pre-Delivery and Deliver
X: Item to be Serviced
G: Good Condition
B: Bad Condition
Comment
Delivery Discuss
Inspect
Service
Comment
PreInspect
Service Delivery
C: Correction Made
Comment
Delivery Discuss
Inspect
Service
Comment
PreInspect
Service Delivery
Item
Item
x
1. Visual Check
x
x
6. Operation (continued)
Motion Alarm
x
x
x
x
Throttle Control
x
x
x
x
x
x
x
x
x
x
Swing Lock & Brake

Control Lever Stroke, Play & Operating Force
Boom, Arm & Bucket
Attachment(s)
x
x
x
x
x
x
Brake Pedal & Brake - Wheel Model Only
x
x
x
x
x
Transmission Case - Wheel Model Only
Parking Brake - Wheel Model Only
Differential Housing - Wheel Model Only
Outriggers - Wheel Model Only
Final Drive Case
Engine Low Idle RPM
Record__________
Track Rollers & Idlers
Record__________
Hydraulic Tank
Swing Machinery
Swing Pinion
Swing Circle
Clamshell Bucket (if equipped)

Fuel Tank
Battery Electrolyte
x
x
x
x
Engine Oil Pan(s)
7. Guidance
x
x
5. Service
x
x
x
x
x
x
8. Other
and Distortions
Parts Book Review
Wear of Undercarriage, Bucket Cutting Edges
and/or Teeth

x

Tire Air Pressure - Wheel Model Only
Tire Wear - Wheel Model Only

x
6. Operation
Instrument Panel Gauges, Warning Lights,
Indicators and Switches

x
Track Tensions
x
x

x

x
x x
Customer Comments:

Specify
Specify
PM PRO
KOWA
Specify
Specify
This machine has been serviced and is in satisfactory condition. Adequate information has been given on its operation, care and maintenance. The Operation &
Maintenance Manual has been received. All literature and explanations that pertain to safe machine operation have been received and understood.
Inspector Comments:
Customer Signature: ___________________________________ Inspector Signature: _____________________________________

Date of Delivery
Inspector Name
Service Report: Wheel Loaders and Wheel Dozers

Complete Serial No.
Machine Model
Date of Inspection
Engine Model
Delivery
PreDelivery
Serial No.
Used
Rent
Sale Demo
Sale Demo Rent
R RP
Distributor Name
SMR
Customer Name
New
KAC 517800F
Location
Street Address
City
State/Province
Zip Code
Attachment(s)
Make
Model
Serial No.
Make
Model
Serial No.

NOTE: Below are the items related to operation, maintenance and lubrication of this machine to be performed at Pre-Delivery and Delivery. The
Operation & Maintenance Manual details all items to maximize machine availability. Some items may not apply to certain models
X: Item to be Serviced G: Good Condition B: Bad Condition
Comment
Inspect
Service
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
PreDelivery
Comment
Discuss
Delivery
Inspect
Service
Item
1. Visual Check
Fuel Tank
Battery Electrolyte
Engine Oil Pan(s)
Transmission Case Includes Torque Converter
Differential Housings
Drive Axle Planetaries
Transfer Drive
Hydraulic Tank
Brake Oil Reservoir(s)
5. Service
Inspect Entire Machine for Broken Welds, Cracks and
Distortions
Main Frame Hinge Pin Nuts
Steering Linkage
Wheel Mounting Nut or Bolt Torque
Tire Air Pressure
Tire Wear
Wear of Bucket or Blade Cutting Edges
Cab Air Filter
6. Operation
Instrument Panel Gauges, Warning Lights, Indicators and
Switches
Back-up Alarms
Accelerator Control
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
Y or N
C: Correction Made
Comment
Comment
Discuss
PreDelivery
Inspect
Inspect
Delivery
Service
Service
Steering Wheel, Brakes & Parking Brakes
Bucket Raise Time w/No Load & Max. Engine Speed
Record
sec.
Air Line Leakage
Engine Low Idle RPM
Record
Record
Converter Stall RPM
Record
Record
Steering Relief Pressure
Record
Drive Train Oil Pressure @ High Idle
Main
Record
T/C
Record
Lube
Record
7. Guidance
8. Other
Parts Book Review
Part #
KOMTRAX/VHMS
KOMTRAX/VHMS
Serial #
Orbcomm
Serial #
MH800 Monitor
Serial #
Verify Connection of all antennas
Verify System is reporting properly
Explanation of system and policies
Signed user consent agreements
10. Machine Maintenance Programs
Advantage
details
R&M
details
PM Pro
details
KOWA
details
Other
details
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
Customer Comments:
T machine has been serviced and is in satisfactory condition. Adequate information has been given on its operation, care and maintenance. The Operation & Maintenance
This
Manual has been received. All literature and explanations that pertain to safe machine operation have been received and understood.
Inspector Comments:
Customer Signature:
KAC517800F rev 0907 (replaces KAC517800E)
Pink: Komatsu Copy
Date of Delivery

Service Report: Articulated Dump Trucks
Complete Serial No.
Date of Inspection
Customer Name
SMR
Engine Model
Delivery
PreDelivery
Serial No.
New
Sale Demo
Distributor Name
Used
Rent
Sale Demo Rent
R RP
KAC518200C
Machine Model
Inspector Name
Location
Street Address
City
State/Province
Zip Code

Comment
PreInspect
Delivery
Service
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
Comment
Delivery Discuss
Inspect
Service
Item
1. Visual Check
Fuel Tank
Battery Electrolyte
Radiator Coolant Level/Anti-freeze Protection
Engine Oil Pan(s)
Transmission Case
Differential Cases
Final Drive Cases
Hydraulic Tank
Brake Oil Tank
Window Washer Reservoir
4. Service
and Distortions
Tire Air Pressure
Tire Wear
Dump Body Guides
Cab Air Filters
5. Operation
Instrument Panel Gauges, Warning Lights,
Indicators and Switches
B: Bad Condition
C: Correction Made
Comment
PreInspect
Delivery
Service
x x
x x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x x
x x
x x
Comment
Delivery Discuss
Inspect
Service
Item
Back-up Alarm
x
x
Transmission Shift Control
x
x
Differential Lock (if equipped)
x
Body Pads & Hoist Control
x
Engine Low Idle RPM
Record__________
x
Record__________
x
Engine Stall or Retard RPM Record__________
x
Retarding Control
x
6. Guidance
7. Other
x
Parts Book Review
x
x
Hydrair Suspension Cylinder Checks
x
x
x
x
x
x
x
x
x
Customer Comments:

Specify
PM PRO
Specify
KOWA
Specify
Specify
Inspector Comments:
Customer Signature:
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x x
x
x x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x x
Date of Delivery

Service Report: Skid Steer Loader
Date of Inspection
Delivery
Serial No.
Engine Model
SMR
PreDelivery
New
Distributor Name
Customer Name
Used
Rent
Sale Demo
R RP
Sale Demo
KAC 519000G
Complete Serial No.

Machine Model
Inspector Name
Rent
Location
Street Address
City
State/Province
Zip Code
Attachment(s)
Make
Model
Serial No.
Make
Model
Serial No.
x: Item to be Serviced G: Good Condition
B: Bad Condition
Comment
Delivery Discuss
Inspect
Service
Comment
PreInspect
Service Delivery
Item
Comment
PreInspect
Service Delivery
Delivery
Item
1. Visual Check
x
C: Correction Made
Comment
Discuss
Inspect
Service
x
x 2. Lubrication or Service Chart Installed
x 3. Attachment(s) Installed
Steering Control (Left - Right)
Unusual Noise
x x
x
Engine Max RPM
Record_________
Engine Min RPM
Record_________
Transmission Stall RPM (Gear 2)
Record_________
x
x
Fuel Tank
Battery Electrolyte
Engine Oil Pan
Final Transmission Case:
LS
RS
Daily Maintenance and 50 Hour Inspection
Belt Tension (Fan & Generator)
Chain Tension
Additional Maintenance Service
x
x
Hydraulic Tank
5. Service
Tire Air Pressure:
Bucket Speed Lifting (Without Load)
Max RPM
Engine Oil Filter Element & Breather
Safety Maintenance & Adjustment
Clean Fuel Filter and Tank
Test Instruments & Controls
Radiator, Cooler & Connections
Wear (Tires, Edges & Bucket)
Lubricate Per Lubrication Chart

Distortions
Torque Wheel Mounting Nuts
Dashboard Gauges and Switches

Complete machine Check:
Manifold and Hydraulic Leaks
x
x
x
x x
x
Safety Devices
x x
Parking Brake
Travel Control (Forward - Reverse)
x x
Attachment
x x
Parts Book Review
x
x

x
x
x


*Estimated Total Time: 2hrs 30mins
Customer Comments:

Specify
Specify
PM PRO
Specify
Specify
KOWA
Inspector Comments:
Customer Signature:
x
x
8. Other
6. Operation
x
7. Guidance
FR(_______) RR(_______) FL (_______) RL (_______)
Inspect Entire Machine for Broken Welds, Cracks &
Record______sec
Copyright 2008 Komatsu America Corp. This form cannot be modified without the written authorization of KAC.
x
x x
Date of Delivery
Complete Serial No.

Machine Model
Date of Inspection
Engine Model
SMR
PreDelivery
Serial No.
Inspector Name
Delivery
Used
Rent
Sale Demo Rent
Sale Demo
R RP
New
Location
Distributor Name
Street Address
Customer Name
KAC520000B

Service Report: Hydrostatic Wheel Loaders
City
State/Province
Zip Code
Attachment(s)
Make
Model
Serial No.
Make
Model
Serial No.

Comment
PreInspect
Delivery
Service
Item
1. Visual Check
B: Bad Condition
Comment
Delivery Discuss
Inspect
Service
Item
Bucket Raise Time w/ No Load & Max. Engine Spee

Fuel Tank
Comment
Delivery Discuss
Inspect
Service
Comment
PreInspect
Delivery
Service
C: Correction Made
Record:
sec
Engine Low Idle RPM
Record:
Battery Electrolyte
Record:
HST Stall RPM
Record:
Record:
Rec:
Steering Relief Pressure
Engine Oil Pan(s)
Drive Axle Housings

Transfer Case
x
x
Hydraulic Tank
x
x
HST Pressure
Record:
HST Charge pressure
Record:
5. Service
x
Drive Belt Tension(s)- Alternator, etc.

and Distortions
Main Frame Hinge Pin Nuts
Steering Linkage
Parking Brake
Wheel Mounting Nut or Bolt Torque
Tire Air Pressure
Parts Book Review
Tire Wear
Wear of Bucket or Blade Cutting Edges
Cab Air Filter
Assure Corrosion Filter Valves are Open
6. Operation
x
7. Guidance

and Switches
Back-up Alarm
Accelerator Control
8. Other

x

x

Customer Comments:

Offer and explain the programs listed below. List details in "Specify" if the machine is already enrolled in a particular program
Specify
PM PRO
Specify
Specify
KOWA
Specify
Inspector Comments:
Customer Signature:

Copyright 2009 Komatsu America Crop. This form cannot be modified without the written authorization of KAC.
x
x x
Date of Delivery

Service Report: Hydrostatic Crawler Dozers
Date of Inspection
SMR
Customer Name
Engine Model
Delivery
PreNew
Used
R RP
Serial No.
Distributor Name
KAC532600
Complete Serial No.

Machine Model
Inspector Name
Location
Street Address
City
State/Province
Zip Code
Attachment(s)
Make
Model
Serial No.
Make
Model
Serial No.

Comment
Inspect
Service
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
PreDelivery
B: Bad Condition
Comment
Discuss
Delivery
Inspect
Service
Item
1. Visual Check
Fuel Tank
Battery Electrolyte
Engine Oil Pan (s)
Transmission and/or Transfer Case
Steering Case or Drive
Final Drive Cases
Track Rollers
Main Clutch or Damper Case
Hydraulic Tank
5. Service
Drive Belt Tension(s) - Fan, Alternator, etc
Air Cleaner Elements and Connections
Inspect Entire Machine for Broken Welds, Cracks, and
Distortions
Track Tensions
Wear of Undercarriage, Blade or Bucket Cutting Edge
and/or Teeth & Ripper
6. Operation
and Switches
Backup Alarm
Throttle & Decelerator Controls
Steering & Brakes
Blade or Bucket & Ripper (if equipped)
Record
Engine Low Idle RPM
Record
HST Pressure
Record
Record
C: Correction Made
Comment
Inspect
Service
Comment
Discuss
Delivery
Inspect
Service
PreDelivery
Item
6. Operation (Continued)
x
x
x
x
x
x
HST charge pressure
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
Record
x
x
x
x
x
Y or N
Auto Reverse Cooling Fan Operation per Customer's

Job Site Conditions
7. Guidance
8. Other
Parts Book Review
10. Machine Maintenance Programs Other
Advantage
details
R&M
details
PM Pro
details
KOWA
details
Other
details
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
Customer Comments:
This machine has been serviced and is in satisfactory condition. Adequate information has been given on its operation, care and maintenance
The Operation & Maintenance Manual has been received. All literature and explanations that pertain to safe machine operation have been
received and understood.
Inspector Comments:
Customer Signature:
90DAYREVISITFORM
SPP1015
Page1of2
90DAYREVISITFORM
Contents
A) PURPOSE .............................................................................................................................. 2
C) DEFINITIONS....................................................................................................................... 2
D) REVISIONS ........................................................................................................................... 2
90DAYREVISITFORM
SPP1015
Page2of2
A) PURPOSE
Distributormustcompletea90dayrevisitinspectionusingthisformbetween90and120daysafter
deliveringthemachinetotheCustomer.Therevisitservicemustbeprovidedfreeofchargetothe
Customer.
B) FILINGPROCEDURE
CompletetheWalkAround,Safety,andOperationalPerformancesectionsontheform.Checkthe
boxesintheScolumnsnexttotheitemsthatareinsatisfactoryconditionandchecktheboxesin
theUcolumnsnexttotheitemsthatareunsatisfactory.Ifaninspectionitemdoesnotapplyto
thatmachine,checktheboxintheNAcolumnfornonapplicable.
Komatsu sometimes includes carbonized forms with each Machine. An electronic version is also
available in this section of the Service Policy and Procedure Manual. After completion, one copy
should be given to the Customer and a second copy should be filed in the Distributors Machine
File.
C) DEFINITIONS
policies.
D) REVISIONS
Revision Date
1
1/3/2011
Version
1
Content
Draftdocument
Author
B.Miller
90 Day Revisit Service Report
Date of Inspection
Machine Model
Inspector Name
Distributor Name
SMR
Customer Name
Engine Model
Complete Serial No.

Serial No.
Location
Street Address
City
State/Province
Zip Code
KAC 518300B
Date of Delivery
Attachment(s)
Make
Model
Serial No.
Make
Model
Serial No.

If items are in good condition, check "S" for Satisfactory. Otherwise check "U" for Unsatisfactory. Check "NA" for Non-Applicable
if the item does not apply. For items marked "U", include details in the inspector's comments section.
S U NA
Item
Walk-Around Visual Inspection
with Special Attention to:
MM:
Avg
Ground Engagement Tools

2. External Leakage From:
Radiator and Hoses
Engine and Sub-Components
Transmission/Swing Machinery
Axle Assemblies
Final Drives
Hydraulic Pumps and Motors
Hydraulic Cylinders
Piping and Hoses
Brake System
3. Hardware Looseness In:
Bolts
Clamps
S U NA
Safety Inspection:
1. Damage, breakage and wear on:

Superstructure/Frames/Body
Glass
Tire
Teeth/Shanks
Cutting Edge
Blade Mold Board
Welds
Undercarriage Components
Measurements:
Bushing Diameter
Pitch Extension
Item
1. Visual Inspection
Operators Manual on Machine
Safety Warning Decals in Place
Guards and Shields
Hydraulic Guards
Fan Guard
2. Functional Checks:
Safety Switches
Warning Horn
Lights
Mirrors
Windshield Wipers
Backup Alarm(s)
Transmission Shift Lock
Hydraulic Control Lever Lock
Seatbelts and Mounting
Item
Operational Performance
Inspection:
S U NA
Engine High Idle RPM*

Engine Low Idle RPM*
Error Codes*
Transmission Inching/Declutching
System
Gear Shifting Power Shift Models
(fwd, rev, and all ranges)
Gear Shifting HST Models
(direction and gearshift control)
Steering
Brakes
Engine Speed Controls
Work Equipment
Drive Train
Hour Meter
Gauges
In Cab Air Conditioning
Operator Seat Adjustments
General Inspection:
KOMTRAX / VHMS / PLM:
Alternator Fan Belt Tension
Air Conditioner Compressor Drive
Belt Tension
Undercarriage Track Tension
Wheel Mounting Nut/Bolts/ Torque
Verify system is reporting

properly
Verify understanding of system
and policies
Operator's Observations/Comments:
1. Unusual Noises
2. Operational Performance
3. In Cab Comfort/Environment
4. Additional Comments
4. Incorrectly Installed Hardware

(Specify)
* Measurement is required only if it is available through the monitor panel

Offer and explain the below listed programs. List details in "Specify", if the machine is already enrolled in a particular program.
PM PRO
Specify
Specify
Specify
Specify
KOWA
Inspector's Comments:
Inspector's Recommendations:
Customer
Signature:
Date:
Inspector
Signature:
Date:
PRODUCTWARRANTYCERTIFICATEFORM
SPP1016
Page1of1
PRODUCTWARRANTYCERTIFICATEFORM
Contents
A) PURPOSE .............................................................................................................................. 1
C) DEFINITIONS....................................................................................................................... 1
D) REVISIONS ........................................................................................................................... 1
A) PURPOSE
This form is a copy of the carbonized form that is included from Komatsu with each machine.
Distributorshouldusethisform(ortheoriginalincludedinthemachine)toexplainthescopeand
terms Komatsus Product Warranty and Emissions Control Warranty terms to the Customer and
securethesignatureofaCustomeragent.
B) FILINGPROCEDURE
OncetheCustomerssignaturehasbeensecured,Distributormuststoreasignedcopytheformin
theMachineFile.AsecondcopyshouldbegiventotheCustomer.
C) DEFINITIONS
policies.
5. MachineFile:ElectronicorpaperfileintheDistributorsofficeorbusinesssystemthatincludes
alloftheDistributorsinformationonaspecificMachine.
D) REVISIONS
Revision Date
Version
1
12/23/2010
1
Content
Draftdocument
Author
K.Venkiteswaran

ACKNOWLEDGEMENT OF RECEIPT OF COMPANY WARRANTY
AND
AGREEMENT TO CUSTOMER CONSENT- MACHINE MONITORING SYSTEMS
DATE
DISTRIBUTOR
CUSTOMER NAME:
ADDRESS
ADDRESS
SALES OR LEASE CONTRACT NUMBER

DATE OF CONTRACT/DELIVERY
COMPLETE MACHINE MODEL
MACHINE SERIAL NO. (PRODUCT IDENTIFICATION NO.)
ENGINE MODEL
ENGINE SERIAL NO.
STANDARD COVERAGE FOR THIS UNIT IS AS NOTED AND CHECKED BELOW:

1)
2)
3)
1 year, unlimited hours (max of 8700 SMR)

3 years, 3000 hours max.
Others as defined-_________________________________________________mo/yrs/hrs
BASIC WARRANTY PERIOD ONLY ONE (1) YEAR, UNLIMITED HOURS

DOES NOT INCLUDE KOMATSU ADVANTAGE PROGRAM (EXTENDED COVERAGE)
I,
have read and understand all of the terms and conditions of the attached
Company Warranty Certificate which forms a part of my contract or lease. I understand that the expiration of the
warranty as established on the said Warranty Certificate is established on the Machines total use, and warranty
conditions cannot be adjusted in any form for and in consideration of prior use.
DISTRIBUTORS SIGNATURE
CUSTOMERS SIGNATURE
TITLE
TITLE
COMPANY NAME______________________
COMPANY ADDRESS___________________
.
AGREEMENT TO CUSTOMER CONSENT - MACHINE MONITORING SYSTEMS
(Reference sheet 7 of 7)
also acknowledge that I have read, understand and agree, and provide my
I,
consent, personally and on behalf of my Company, to the terms and conditions of the attached Customer Consent Machine Monitoring Systems. I certify that I am authorized to sign this agreement.
CUSTOMER NAME_________________________________
CUSTOMERS SIGNATURE__________________________
NAME (Please Print)_________________________________
TITLE_____________________________________________
COMPANY NAME__________________________________
COMPANY ADDRESS_______________________________
KAC516100-11 4/07
WHITE (1 of 7) COMPANY SERVICE COPY

YELLOW (2 of 7) DISTRIBUTOR COPY
TAN
(3 of 7) CUSTOMER COPY
1 of 7

AND
DATE
DISTRIBUTOR
CUSTOMER NAME:
ADDRESS
ADDRESS

ENGINE MODEL
ENGINE SERIAL NO.

4)
5)
6)


I,
CUSTOMERS SIGNATURE
TITLE
TITLE
COMPANY NAME______________________
.
(Reference sheet 7 of 7))
I,
CUSTOMER NAME_________________________________
TITLE_____________________________________________
COMPANY NAME__________________________________
COMPANY ADDRESS_______________________________
KAC516100-11 4/07

TAN
2 of 7

AND
DATE
DISTRIBUTOR
CUSTOMER NAME:
ADDRESS
ADDRESS

ENGINE MODEL
ENGINE SERIAL NO.

7)
8)
9)


I,
CUSTOMERS SIGNATURE
TITLE
TITLE
COMPANY NAME______________________
.
(Reference sheet 7 of 7))
I,
CUSTOMER NAME_________________________________
TITLE_____________________________________________
COMPANY NAME__________________________________
COMPANY ADDRESS_______________________________
KAC516100-11 4/07

TAN
3 of 7
KOMATSU PRODUCT WARRANTY

This product warranty certificate and the product warranty stated herein are applicable to all Komatsu products marketed under the brand name of Komatsu by
Komatsu America Corp., herein after referred to as "Company.
1. GENERAL PROVISIONS
We warrant that all new whole machines and attachments ("Machines"), and new parts and assemblies for the Machines, including engines ("Parts") sold by
the Company will be free from defects in materials and workmanship for the respective periods specified in paragraph 2 below, subject to the other terms
and conditions herein.
2. BASIC WARRANTY
A. The Basic Warranty Period for the Machine shall terminate upon the expiration of one (1) year after delivery of the Machine to the initial user
regardless of the hours.
B. The Basic Warranty Period for Parts shall be as follows:
i) For all replacement Parts furnished pursuant to this warranty, upon expiration of the remainder of the warranty period applicable to the Machine in
which such Parts are installed.
ii) Other replacement Parts (Parts not furnished during the machine warranty period) may be covered under a separate warranty policy. Please consult
your local Komatsu distributor.
3. COMPANY RESPONSIBILITIES
If a defect in material or workmanship is found during the Basic Warranty Period, the Company will, during normal working hours, at its option, repair or
replace any part or component of the Machine or Part which fails to conform to the warranty during the Basic Warranty Period, provided our authorized
Distributor is notified of such failure within the Basic Warranty Period.
4. CUSTOMER RESPONSIBILITIES
We recommend that you return the product to the Distributor from which it was purchased; however, you may also take it to the most convenient Company
authorized Distributor contracted to service products of the type you have purchased. We do not assume the responsibility or cost of transporting the product
to and/or from the servicing Distributor. You must also make the product available for repair during the Basic Warranty Period.
5. OTHER ENGINE MANUFACTURERS' WARRANTY
The above stated warranty does not apply to engines bearing other manufacturers' trademarks, whether or not such engines are installed in Machines or sold
separately. The warranty responsibility on those engines rest with the respective engine manufacturers. Your Komatsu Distributor may be certified to
perform warranty service on other manufacturers engines.
6. LIMITATIONS
The Company shall not have any obligation under this warranty for:
a. Any defects caused by misuse, misapplication, negligence, accident, improper storage, improper transportation, improper assembly or failure to maintain
or use in accordance with the most current operating instructions including, but not limited to, loading the Machine in excess of the Gross Vehicle Weight
as set out in the Companys Operation & Maintenance Manual;
b. Unauthorized alterations;
c. Defects or failures caused by any attachment or parts not manufactured or approved by the Company;
d. Failure to conduct normal maintenance and operating services, including without limitation, providing lubricants, coolants, fuel, tune-ups, inspection or
adjustments;
e. Unreasonable delay (as established by Company) in making the applicable Machines or Parts available upon notification of a Factory Campaign ordered
by the Company.
7. ITEMS NOT COVERED
The Company is not responsible for the following:
a. Premiums charged for overtime labor requested by the purchaser;
b. Charges related to transporting the product to and from the place at which warranty work is performed;
c. Freight charges related to transporting repair parts to the place at which warranty work is performed;
d. All used goods of any kind;
e. Tires, tubes, wiper blades, belts, filters, cables, bulbs, condensers, spark plugs, glow plugs, fuses or carbon brushes, other consumable items, and normal
wear of Machine or Parts;
f. Attachments not manufactured or approved by the Company. (Trademarked attachments are warranted by their respective manufacturers.)
8. USE OF NON-OEM PARTS IN CRITICAL SYSTEMS
For safety reasons, the Company strongly recommends against the use of non-OEM replacement parts in critical systems of all Komatsu equipment. Critical
systems include but are not limited to steering, braking and operator safety systems. Replacement parts manufactured and supplied by unauthorized sources
may not be designed, manufactured or assembled to Komatsus design specifications; accordingly, use of such parts may compromise the safe operation of
Komatsu products and place the operator and others in danger should the part fail. Komatsu is also aware of repair companies that will rework or modify an
OEM part for reuse in critical systems. Komatsu does not generally authorize such repairs or modifications for the same reasons as noted above. Use of
non-OEM parts places full responsibility for the safe performance of the Komatsu product on the supplier and user. Komatsu will not in any case accept
responsibility for the failure or performance of non-OEM parts in its products, including any damages or personal injury resulting from such use.
The foregoing warranty is exclusive and in lieu of all other express, statutory and implied warranties applicable to Machines, Engines, or Parts including
without limitation, ALL IMPLIED WARRANTIES OF MERCHANTABILITY OR FITNESS FOR ANY PARTICULAR USE OR PURPOSE.
IN NO EVENT, WHETHER AS A RESULT OF BREACH OF CONTRACT OR WARRANTY, NEGLIGENCE, LIABILITY WITHOUT FAULT OR
OTHER LEGAL THEORIES, SHALL THE COMPANY, OR ITS AFFILIATES, PARTNERS OR SUBSIDIARIES BE LIABLE FOR INDIRECT,
SPECIAL, INCIDENTAL OR CONSEQUENTIAL DAMAGES, INCLUDING, WITHOUT LIMITATION, LOSS OF PROFIT OR REVENUES, LOSS OF
USE OF THE MACHINE OR PARTS OR ANY ASSOCIATED EQUIPMENT, COST OF CAPITAL, COST OF SUBSTITUTE EQUIPMENT, FACILITIES
OR SERVICES, DOWNTIME COSTS, LABOR COSTS, OR CLAIMS OF CUSTOMERS, PURCHASERS OR LESSEES FOR SUCH DAMAGES. THE
REMEDIES HEREIN ARE THE EXCLUSIVE REMEDIES WITH RESPECT TO MACHINES AND PARTS, WHETHER UNDER THIS WARRANTY OR
OTHERWISE.
KAC516100-11 4/07
4 of 7
EMISSION CONTROL WARRANTY

A.
FEDERAL EMISSION CONTROL WARRANTY STATEMENT (APPLICABLE IN UNITED STATES and CANADA)
1.
Products Warranted
Komatsu America Corp. (Komatsu) produces and/or markets products under the brand name of Komatsu. This emissions warranty
applies to new engines bearing the Komatsu name installed in these products and used in the United States and Canada in machines
designed for industrial off-highway use.
2.
Coverage
Komatsu warrants to the ultimate purchaser and each subsequent purchaser that the engine is designed, built and equipped so as to
conform, at the time of sale by Komatsu, with all U.S. and Canadian Federal emission regulations applicable at the time of manufacture
and that it is free from defects in workmanship or material which would cause it not to meet these regulations within five (5) years or
3,000 hours of operation, whichever occurs first, as measured from the date of delivery of the engine to the ultimate purchaser. If the
machine in which the engine is installed is first placed in service in the state of California, a separate California Emission Warranty also
applies.
3.
Limitations
Failures, other than those resulting from defects in materials or workmanship, are not covered by this warranty. Komatsu is not
responsible for failures or damage resulting from what Komatsu determines to be abuse or neglect, including, but not limited to:
operation without adequate coolant or lubricants; over fueling; over speeding; lack of maintenance of lubricating, cooling or intake
systems; improper storage, starting, warm-up, run-in or shutdown practices; unauthorized modifications of the engine. Komatsu is also
not responsible for failures caused by incorrect fuel or by water, dirt or other contaminants in the fuel. Komatsu is not responsible for
non-engine repairs, downtime expense, related damage, fines, all business costs or other losses resulting from a warrantable failure.
KOMATSU IS NOT RESPONSIBLE FOR INCIDENTAL OR CONSEQUENTIAL DAMAGES
B.
CALIFORNIA EMISSION CONTROL WARRANTY STATEMENT

1.
Products Warranted
This Emission Control System Warranty applies to heavy-duty off-road diesel engines certified with the California Air Resources Board,
marketed by Komatsu America Corp. (Komatsu) in their Komatsu products and first placed in service in California for use in industrial
off-highway applications.
2.
Your Warranty Rights and Obligations

The California Air Resources Board and Komatsu are pleased to explain the emission control system warranty on your emissionized
engine. In California, new heavy-duty off-road diesel engines must be designed, built and equipped to meet the States stringent antismog standards. Komatsu must warrant the emission control system on your engine for the periods of time listed below provided there
has been no abuse, neglect or improper maintenance of your engine. Your emission control system may include parts such as the fuel
injection system and air induction system. Also included may be hoses, belts, connectors and other emission-related assemblies. Where
a warrantable condition exists, Komatsu will repair your heavy-duty off-road diesel engine at no cost to you including diagnosis, parts
and labor.
3.
Manufacturers Warranty Coverage

The heavy-duty off-road diesel engines are warranted for five (5) years or 3,000 hours of engine operation, whichever occurs first, from
the date of delivery of the engine to the first user. If any emission-related part on your engine is defective, the part will be repaired or
replaced by Komatsu.
4.
Owners Warranty Responsibilities

As a heavy-duty off-road diesel engine owner, you are responsible for the performance of the required maintenance listed in the
Operation and Maintenance Manual. Komatsu recommends that you retain all receipts covering maintenance on your heavy-duty offroad diesel engine, but Komatsu cannot deny warranty solely for the lack of receipts or for your failure to ensure the performance of all
scheduled maintenance.
You are responsible for presenting your heavy-duty off-road diesel engine to an authorized Komatsu Distributor as soon as a problem
exists. The warranty repairs should be completed by the dealer as expeditiously as possible.
5 of 7
As the heavy-duty off-road diesel engine owner, you should also be aware that Komatsu may deny you warranty coverage if your heavyduty off-road diesel engine or a part has failed due to abuse, neglect, improper maintenance or unapproved modifications.
Your engine is designed to operate on diesel fuel only. Use of any other fuel may result in your engine no longer operating in compliance
with Californias emissions requirements. If you have any questions regarding your warranty rights and responsibilities, you should
contact:
Manager, Warranty Administration
One Continental Towers
1701 W.Golf Rd.
Rolling Meadows, IL 60008
(847) 437-5800
Prior to the expiration of the applicable warranty, owner must give notice of any warranted emission control failure to an authorized
Komatsu Distributor and deliver the engine to such facility for repair. Owner is responsible for incidental costs such as: communication
expenses, meals, lodging incurred by owner or employees of owner as a result of a warrantable failure.
KOMATSU IS NOT RESPONSIBLE FOR INCIDENTAL OR CONSEQUENTIAL DAMAGES WHICH INCLUDE, BUT ARE NOT
LIMITED TO, BUSINESS LOSSES AND COSTS, DOWNTIME EXPENSES, FINES, PENALTIES, THEFT, VANDALISM OR
COLLISION DAMAGE.
5.
Coverage: This emission control system warranty applies to the following emission control parts, if equipped:
Fuel Pump
AFC Spring
AFC Setting
Static Timing
Delivery Valve
Fuel Lines
Control Module
Turbocharger
Compressor Wheel
Turbine Wheel
Turbine Oil Seal
Wastegate Valve
Injectors
Calibration
Needle
Nozzle
Spring
Exhaust Manifold
Exhaust Gas Recirculation Valve
Replacement Parts
Intake Manifold
Charge Air Cooler
Aftercooler
Positive Crankcase Ventilation
Other Emission Parts
Hoses
Connectors
Komatsu recommends that any service parts used for maintenance, repair or replacement of emission control systems be new, genuine
Komatsu or Komatsu approved rebuilt parts and assemblies, and that the engine be serviced by an authorized Distributor. The owner may
elect to have maintenance, replacement or repair of the emission control parts performed by a facility other than an authorized
Distributor and may elect to use parts other than new genuine Komatsu or Komatsu approved rebuilt parts and assemblies for such
maintenance, replacement or repair; however, the cost of such service or parts will not be covered under this emission control system
warranty.
6.
Komatsu Responsibilities
Repairs and service will be performed by any authorized Distributor using new, genuine Komatsu or Komatsu approved rebuilt parts and
assemblies. Komatsu will repair any of the emission control parts found by Komatsu to be defective without charge for parts or labor
(including diagnosis which results in determination that there has been a failure of a warranted emission control part).
7.
Warranty and Limitations

The manufacturer warrants to the ultimate purchaser, and each subsequent purchaser, that the engine is designed, built, and equipped so
as to conform with all applicable regulations adopted by the Air Resources Board, and that it is free from defects in material and
workmanship which cause the failure of a warranted part for the time periods stated herein. Any warranted part which is not scheduled
for replacement as required maintenance, or which is scheduled only for regular inspection to the effect of repair or replace as
necessary is warranted for the warranty period. Any warranted part which is scheduled for replacement as required maintenance is
warranted for the period of time prior to the first scheduled replacement point for that part. The owner will not be charged for diagnostic
labor which leads to the determination that a warranted part is defective, if the diagnostic work is performed at an authorized Distributor.
The manufacturer is liable for damages to other engine components caused by the failure under warranty of any warranted part.
Komatsu is not responsible for failures resulting from improper repair or the use of parts which are not genuine Komatsu or Komatsu
approved parts. Komatsu is not responsible for failures resulting from owner or operator abuse or neglect, such as: operation without
adequate coolant, fuel or lubricants; over fueling; over speeding; lack of maintenance of lubricating, cooling or air intake systems;
improper storage, starting, warm-up, run-in or shutdown practices.
C.
GENERAL EXCLUSIONS
1.
The foregoing engine emission control warranties do not apply to engines in our products, which bear trademarks or names other than
Komatsu (i.e. Cummins). The emission control warranty responsibility of such engines shall rest with the respective engine manufacturer.
For information on such warranties, please refer to the operators manual for the engine in question or contact the applicable dealer
organization. In the case of Cummins trademarked engines, you may also contact your Komatsu distributor who may be certified by
Cummins, under its Certified Distributor Program.
2.
These warranties, together with the express commercial warranties, are the sole warranties of Komatsu. THERE ARE NO OTHER
WARRANTIES, EXPRESS OR IMPLIED, OR OF MERCHANTABILITY OR FITNESS FOR ANY PARTICULAR PURPOSE.
6 of 7
CUSTOMER CONSENT - MACHINE MONITORING SYSTEMS
By signing the Agreement to Customer Consent - Machine Monitoring Systems (Agreement), Customer
acknowledges and agrees to the following with respect to the machine(s) listed on the page on which it appears, as
well as with respect to any other machines Customer owns, leases or otherwise uses that are equipped with
Komatsus KOMTRAX System (KOMTRAX), Vehicle Health and Monitoring System (VHMS) and/or Payload
Meter (PLM). KOMTRAX, VHMS and PLM are collectively referred to as the Systems. By signing the
Agreement Customer also agrees to the Terms of Use of the Komtrax Service (Terms of Use), as set forth on the
Komtrax website. The Terms of Use are available through http://www.komtrax.us, as may be updated from time to
time by Komatsu to reflect any changes to KOMTRAX including the nature or quantity of data transmitted. By
consenting to this Agreement, Customer is also consenting to any future updates to the Terms of Use.
Customer acknowledges that each machine is equipped with KOMTRAX. KOMTRAX is an equipment data
tracking and monitoring system to manage information on utility, construction and mining machines. Such data
may include details on machine location, usage and diagnostic information. In addition, KOMTRAX may be used
to transmit messages and signals to the machine, including a signal that will disable the machines ignition
mechanisms.
Customer further acknowledges that each machine may be equipped with VHMS and/or PLM. VHMS is an
equipment data tracking and monitoring system to manage information relating to machine usage, diagnostic and
performance information, including, without limitation, items such as engine oil pressure, coolant temperature, fuel
rate, engine speed, exhaust temperature and other machine and component information. PLM is a system which
measures payload information during each haul truck haul cycle, including, without limitation, gross payload,
maximum frame torque, and loading, dumping and driving times.
The information collected through the Systems is transmitted to Komatsu by means of automatic transmission, such
as by satellite or other wireless means, and/or by means of manual download performed by Komatsu and/or its
distributors and their respective personnel.
Customer consents to the collection, transmission and sharing of the information described above, and authorizes
Komatsu America Corp. (Komatsu), its affiliates, subsidiaries and distributors to gather, process and use, without
limitation, the information developed or collected by or in connection with the Systems. Customer acknowledges
and agrees that all information developed or collected by or in connection with Systems shall be Komatsus
exclusive property, except for information provided by Customer, or on Customers behalf, with respect to
Customers machines. Customer hereby grants to Komatsu a non-exclusive, worldwide, perpetual, irrevocable,
royalty-free, sublicenseable right to exercise the copyright and other rights that Customer may have in any
information collected by or in connection with the Systems for Komatsu, Komatsu affiliate, and Komatsu
distributor business purposes, and for any other purposes, in any media now known or not currently known. This
may include sharing of such information with select third parties and business partners.
Customer is responsible for performing any actions that are required by local law or regulation with respect to the
collection and use of this information in the above manner, including, but not limited to, any required notification
of employees or other parties of the collection and use of the information.
7 of 7
ADVANTAGECUSTOMERCERTIFICATEFORM
SPP1017
Page1of1
ADVANTAGECUSTOMERCERTIFICATEFORM
Contents
A) PURPOSE .............................................................................................................................. 1
C) DEFINITIONS....................................................................................................................... 1
D) REVISIONS ........................................................................................................................... 1
A) PURPOSE
This form is an example of the form that the Distributor can print from the extranet
(https://www.komatsuamerica.net) after purchasing Advantage Coverage for a specific Machine.
TheDistributorcanfillintheparticularsofthecontractonthisformasanalternativetoprintingthe
onlineversion.Distributorshouldusetheformtoexplainthescopeandtermsoftheagreementto
theCustomerandsecurethesignatureofaCustomeragent.
ThisformalsoservesasanaddendumtotheAdvantageandAdvantageStandardCoveragePolicyas
it specifically outlines additional exclusions from the Coverage and includes information on
DistributorResponsibilitiesanddeductibles.
B) FILINGPROCEDURE
theMachineFile.
C) DEFINITIONS
policies.
D) REVISIONS
Revision Date
Version
1
12/23/2010
1
Content
Draftdocument
Author
K.Venkiteswaran,C.
Wasik
AdvantageExtendedCoverageAgreement
ThisAdvantageExtendedCoverageAgreement(Agreement)isenteredintoasoftheMM/DD/YYYY(EffectiveDate)
between Distributor Name, having an office at Street, City, State, Zip (Distributor), and Customer Name having an
officeatStreet,City,State/Province,Zip,Country(Customer).
1. Coverage:
a. Subjecttothetermsandconditionsbelow,Distributorwillprovideparts,laborandotherservicesrequiredto
correctfailurestocertaincomponents(CoveredItems)onModel,SerialNumber(Machine)thatoccurasa
result of a defect in material or workmanship. The repairs executed to correct these defects will return the
Machinetoitsnormaloperatingcondition.Eachclaimoccurrenceissubjecttoa$_____Deductible.
b. The Machine will be eligible for this coverage starting at ______ SMR hours (MM/DD/YYYY) and expiring the
earlier of the date on which the Machine has accumulated _______ SMR hours or MM/DD/YYYY. The phrase
SMRhoursrepresenttheengineruntimefortheMachineandaremeasuredusingthehourmeterormonitor
panelinstalledintheMachinesoperatorcab.
c. TheCoveredItemsforthisMachineareidentifiedbyacheckmarkundertheCoverageType(CoverageType)
columnofattachedAppendix1.
2. ExclusionsandLimitations:
TheobligationsofDistributorunderthisAgreementwillnotinclude:
a. Repairsorreplacementsof:
i. Hoseandtubeflangeoringsandgaskets.
ii. HosesaftertheMachinehasbeeninservicefor24monthsor4000SMRhours.
iii. HydrauliccylinderpackingreplacementsaftertheMachinehasbeeninservicefor5,000SMRhours.
iv. Starters, alternators, thermostats, belt tensioners, injectors, and water pumps after the Machine has
beeninservicefor5,000SMRhours.
v. Covered Items that are worn because of use. Examples of wear resulting from use would include, by
way of example but not limitation, oil consumption and high blowby pressure on engines, hydraulic
cylindersealleaks,wearofclutchorbrakepacks,pinsorbushings,etc.
vi. MachinepartsthatarenotprocuredfromKomatsuoranauthorizeddistributor.
vii. Machineattachments,optionalextrasandotherworkequipmentsuchasbuckets,dumpbodies,blades,
andassociatedwearpackagessuchasteeth,cuttingedges,andliners.
viii.
Any Machine part or component not specifically included within the scope of the Coverage
Type.
b. Operating expenses on Covered Items required to keep the Machine in good operating condition and repair,
including,bywayofexamplebutnotlimitation:
ii. ScheduledmaintenanceoutlinedintheMachineOperationandMaintenanceManual(O&MManual),
includingthecostofperiodicmaintenanceitemssuchasfilters,lubricants,brushes,grease,andA,B,C
andDchecksonengines.
iii. KomatsuOilWearAnalysis(KOWA),includingthecostofdrawingsamples,oil,samplingaccessories,
postageandanalysisreportfees.
iv. The cost of carrying out KOWA maintenance recommendations such as early resampling and/or
replacementofoilorfilters.
v. Asneededmaintenanceitemssuchasrepairsorreplacementsofmountinghardware,includingbolts,
nuts, pins, bushings, and bearings, paint, windshield wiper blades, seat belt assemblies, air cleaners,
belts, light bulbs, batteries, cables, fuses, tires, track link assemblies, track shoes, idlers, rollers,
sprockets,rockguardsanddeflectors.
12/16/2010
vi. Costofcarryingoutscheduledstructuralinspectionsthatarerequiredtomaintaincoverageforcertain
Covered Items for Premier, Frame and Boom & Arm Coverage Types. If you wish to perform these
inspections yourself, please obtain a copy of the Distributor Inspection Worksheet from your local
KomatsuDistributor.
c. MachineorCoveredItemfailuresresultingfrom:
i. OperatingtheMachineoutsidetheguidelinesspecifiedinO&MManual.
ii. Operating the Machine outside of the parameters specified in the Machine specific Payload Policy or
othernoticesorlettersfromDistributororKomatsu.
iii. NoncompliancewiththemaintenancescheduleandprocedureoutlinedintheMachinesO&Mmanual.
iv. Fuel,lubricantorcoolantcontaminationfromanysource.
v. Continuing to operate the machine when KOWA reports or the Machine monitor panel, VHMS,
KOMTRAX,PLMoranyothersystems(MachineMonitoringSystems)showcriticalerrors,indicatethat
components are compromised by failures or are performing below specifications, or when the
Distributor has requested that components be repaired or removed from the Machine because of an
impendingfailure,manufacturerauthorizedfieldcampaignorothergoodcause.
vi. ImproperMachinestorageprocedures.
vii. Incomplete or faulty repair procedures on previous repairs completed by any person other than
Distributor.
viii. Improper initialization procedures during Machine commissioning if the commissioning process was
carriedoutbyanypersonotherthanDistributor.
ix. Machine attachments options, accessories, modifications, or work equipment not authorized in O&M
Manual and other materials published by Komatsu for distributors and customers or otherwise
approvedinwritingandsignedbyanengineeringofficerofKomatsu.
x. Worksitehazardsorfallingobjects.
xi. Fire, accidents, vandalism, theft, acts of terrorism or war, acts of nature or other causes beyond the
directcontrolofDistributor.
xii. Misuse,misapplication,negligenceorothermisconductonthepartofCustomeroranyotherperson.
d. CustomerwillberesponsibleforpayingforthefollowingspecificexpensesrelatedtorepairsonCoveredItems:
i. Transporting the Machine to a Distributor facility for completion of a covered repair and transporting
theMachinebacktotheMachinesworklocationaftercompletionofthecoveredrepair.
ii. Overtime labor charges incurred at the request of Customer to complete repairs outside of the
Distributorsnormalworkinghours.
iii. Additional services performed at the Customers request outside the scope of the Coverage Time,
including, by way of example but not limitation, replacing parts and components outside such scope
duringthecourseofperformingarepaironaCoveredItem.
iv. OtherdeductiblesidentifiedinSection5ofthisAgreement.
3. CustomerResponsibilities:
TheobligationsofDistributorunderthisAgreementaresubjecttoandconditioneduponCustomertimelyperforming
thefollowingatitsexpense:
a. Operate, maintain, store, repair and otherwise use the Machine per the guidelines specified in the O&M
Manual,MachinespecificPayloadPolicyandallothernoticesorlettersfromDistributororKomatsuconcerning
suchtopics.
b. MaintaintheMachineMonitoringSystemsingoodoperatingconditionandrepair.
c. Complete KOWA oil sampling on the Machine every 500 SMR hours for all oil lubricated compartments.
Appendix1identifiesCoveredItemsthatrequireKOWAoilsamplingreportsintheeventofafailure.
12/16/2010

d. NotifyingtheDistributorandrequestingadviceordirectiononappropriatecourseofactionpromptlyafterthe
MachineMonitoringSystemsdisplayerrorcodesorwarninglightsorwhentheKOWAanalysisreportsindicate
Abnormal or Critical results. In such instances, the Customer must stop using the Machine until advice or
directionisreceivedfromtheDistributor.
e. Carry out structural inspections for Machines with Frame or Boom & Arm Coverage Types utilizing the
DistributorInspectionWorksheetsasfollows:
For the first 10,000 SMR hours on the Machine, a structural inspection will be completed every 5,000
MachineSMRhoursorevery12months,whichevercomesfirst;
Afterthefirst10,000SMRhoursontheMachine,astructuralinspectionwillbecompletedevery2000
MachineSMRhoursor12monthsthereafter,whichevercomesfirst.
f. Provide the Distributor with all data from Machine Monitoring System on a monthly basis or on such more
frequentbasisasDistributormayrequest.
g. NotifyDistributorpromptlyintheeventoffailureofaCoveredItem.IntheeventthattheMachineislocated
outside of the Distributor territory at the time of a Covered Item failure, Customer can contact the local
Komatsu distributor to carry out the covered repair. Please visit www.komatsuamerica.com for list of all
Komatsudistributorlocations.
h. Provide the Distributor with pertinent oil sampling reports and structural inspection reports to aid the
Distributor in the failure analysis and repair planning process. These reports should be provided to the
Distributorrepresentativepriortothestartoftherepairprocess.TheDistributorrepresentativewillrequireat
aminimumtwooilsamplingreportsfortheCoveredItemcompletedwithin1,000MachineSMRhourspriorto
the Covered Item failure and two structural frame inspection reports (the current report and the report
completedonthelastscheduledinspectionpertheguidelineinSection3above).
4. DistributorResponsibilities:
a. Distributor will exercise commercially reasonable efforts to respond promptly to any Customer requests and
questionsrelatedtothisAgreement.
b. DistributorwillcarryoutcoveredrepairsduringnormalDistributorworkinghours.
5. BillingandPayments:
a. DistributorwillinvoicetheCustomeranamountequalto10%oftherepaircostonaperoccurrencebasisinthe
eventthat:
i. The Covered Item that experiences the failure is an oil lubricated compartment that requires oil
samplingbuttheCustomerhasdeclinedtoparticipateintheDistributorsKOWAprogram.
ii. The Covered Item that experiences the failure is an oil lubricated compartment that requires oil
sampling but the Customer is unable to provide the minimal number of KOWA oil sampling reports
requiredunderthisAgreement.
iii. TheCoveredItemisastructuralframecomponentthatrequiresinspectionreportsbuttheCustomeris
unabletoprovidetheminimalnumberofstructuralframereportsrequiredunderthisAgreement.
b. DistributorwillinvoicetheCustomerforchargesrelatedtoovertimeorforotherservicesthatareauthorizedby
theCustomertobecompletedatsametimeascoveredrepairsontheMachine.
c. PaymentsareduefromCustomeruponreceiptofinvoice.
6. Transferability:
12/16/2010
This Agreement is specific to the Machine listed in Section 1. Customer may not assign its right under this
AgreementwithoutthepriorwrittenconsentofDistributor(suchconsentnottobeunreasonablywithheld).
7. LimitationofLiability:
ExceptasexpresslyprovidedinthisAgreementandinanywrittenwarrantycertificatedeliveredbyDistributorto
Customerinconnectionwithapurchase,Distributordoesnotmakeanyrepresentationsorwarranties,expressed,
implied, arising by operation of law or otherwise, as to merchantability, fitness for a particular purpose, quality,
design,condition,suitability,performanceoranyothermatterorcharacteristicwithrespecttotheMachineandany
relatedattachments,options,accessories,modifications,orworkequipment.Foranyfailurewithinthescopeofthe
CoverageType,CustomeragreesthatitssoleandexclusiveremedywillbeforDistributortoperformtherequired
repair. Distributor will not be liable under any circumstance to Customer for, and Customer waives and releases
Distributorfromallclaimsandliabilitiesfor,anygeneral,special,incidental,punitive,consequential,exemplaryor
any other damages of whatever kind or nature suffered or incurred by consignee, directly or indirectly, actual or
alleged, whether arising in tort or in contract or otherwise, related to or arising out of this Agreement and the
Machinesandanyrelatedattachments,options,accessories,modifications,orworkequipment.
8. KOWAProgram:
a. KOWAProgramisrequiredforthisCoverageType:
check Yesor No.
b. CustomerhaschosentoparticipateintheDistributorKOWAprogram: check Yesor No.
___________________
(CustomerInitial)
AgreedtobyCustomerandDistributorasoftheEffectiveDate.
FORDISTRIBUTOR:
FORCUSTOMER:
By:
By:
Name:
Name:
Title:
Title:
12/16/2010
12/16/2010
COVERAGE TYPES
COVERED ITEMS
A) ENGINEANDRELATEDPARTS
1. ENGINEASSEMBLYINTERNALCOMPONENTS
OIL RELATED
1. COOLER
2. FAN AND PRELUBE PUMPS/MOTORS
3. ENGINE OIL FILTER MOUNT
4. REMOTE MAKEUP OIL TANKS
5. REMOTE MOUNTED OIL FILTRATION SYSTEM
6. VALVES
7. HOSE CLAMPS & HOSES*
AIR INTAKE AND EXHAUST RELATED
1. AIRCLEANERHOUSING&AFTERCOOLERS
2. INTER COOLERS
3. TURBO CHARGER**
4. INTAKE AND EXHAUST MANIFOLDS
5. EGR VALVE AND COOLER
6. MUFFLERS
7. SENDERS, SOLENOIDS, AND SENSORS
8. PIPES, TUBES, CLAMPS, HOSES*
FUEL RELATED
1. FUELTANKASSEMBLYANDMOUNTING
2. FUEL FILTER MOUNTS
3. FUEL TRANSFER, AUXILIARY, LIFT, AND INJECTION PUMPS
4. FUEL COOLERS
5. INJECTORS**
6. FUEL MANIFOLDS/VALVES
8. PIPES, TUBES, CLAMPS, AND HOSES*
ENGINE MOUNTED COMPONENTS
1. ACCOMPRESSOR/CONDENSER
2. ALTERNATOR** AND STARTER
3. DAMPER AND VIBRATION DAMPER
4. POWER TAKE OFF
5. BELT TENSIONER**
6. FLYWHEEL AND FLYWHEEL HOUSING
7. HEAT SHIELDING AND FRAMEWORK
ENGINE ELECTRICAL COMPONENTS
1. SENDERS,SOLENOIDS,ANDSENSORS
2. ELECTRONIC CONTROL MODULES
3. ENGINE WIRING HARNESS
B) POWER TRANSMITTING SYSTEM
TRANSMISSION
1. TRANSMISSIONANDTORQUECONVERTORS
2. TORQUE FLOW ASSEMBLY/POWER MODULE
3. HYDROSTATIC PUMPS AND MOTORS
4. CONTROL AND PPC VALVES
5. OIL COOLERS, TANKS, AND RESERVOIRS
6. OIL FILTER MOUNT
7. ELECTRONIC CONTROL MODULE
9. STEERING AND TRANSFER CASES
10. DAMPER
11. SWING GEAR BOX
12/16/2010
PREMIER
PT Plus
PT
ENGINE
CYLINDER
REQUIREMENTS
FRAME
BOOM/ARM
FRAME
INSPECTION
KOWA
SAMPLING
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9A
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9B
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9B
9B
9
9
9
9
9
9B
9
9
COVERAGE TYPES
COVERED ITEMS
DRIVELINE
1. AXLESANDAXLEHOUSINGS
2. AXLE MOUNTING AND OSCILLATION
3. DIFFERENTIALS AND FINAL DRIVES
4. WHEEL/RIM
5. DRIVE SHAFT/AXLE SHAFT AND UNIVERSAL JOINTS
6. VALVES
C) STEERING
1. STEERINGCLUTCH
2. STEERING CLUTCH & BRAKE CONTROL VALVE
3. STEERING PUMP AND EMERGENCY STEERING PUMP
4. STEERING OIL COOLER
5. STEERING VALVES
6. STEERING BOX
7. STEERING LINKAGE, COLUMN, AND CONSOLE
8. TIE ROD
D) BRAKING SYSTEM
1. BRAKEPRIMARY&SECONDARYCYLINDERS
2. BRAKE PUMP AND EMERGENCY BRAKE PUMP
3. WET BRAKE ASSEMBLIES
4. BRAKE OIL COOLER ASSEMBLIES
5. BRAKE OIL COOLER FAN, PUMP, AND MOTOR
6. BRAKE CALIPER
7. ACCUMULATORS
8. TANKS & RESERVOIRS
11. PIPES, TUBES, CLAMPS, VALVES AND HOSES*
E) COOLING SYSTEM:
1. RADIATOR
2. EXPANSION TANK
3. THERMOSTAT**
4. COOLING FAN, FAN DRIVE, AND SHROUDING
5. WATER PUMP**
F) HYDRAULIC SYSTEMS
1. NONPROPULSIONHYDRAULICPUMPS&MOTORS
2. HYDRAULIC CYLINDERS
3. HYDRAULIC VALVE & CONTROLS
5. HYDRAULIC ACCUMULATORS
6. HYDRAULIC OIL COOLERS AND COOLING FANS
7. SWIVELS (ROTARY MANIFOLDS)
8. SWING MOTOR
9. HYDRAULIC OIL FILTER ASSEMBLY
10. HYDRAULIC TANKS
12/16/2010
PREMIER
PT Plus
PT
ENGINE
REQUIREMENTS
CYLINDER
FRAME
BOOM/ARM
FRAME
INSPECTION
KOWA
SAMPLING
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9B
9
9
9
9
9
9
9
9
9
9
9
9
9B
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9B
9
9
9
9
9
9
9
9
9
9B
COVERAGE TYPES
COVERED ITEMS
PREMIER
G) SUSPENSION
1. ELECTRONICCONTROLMODULE
2. SUSPENSION CYLINDERS AND CONTROL VALVES
3. SUSPENSION CONTROL ARM ASSEMBLIES
5. PIPES, TUBES, CLAMPS, VALVES, AND HOSES*
H) ELECTRICAL SYSTEM
1. GAUGES&INSTRUMENTS
2. WIRING HARNESSES
3. SWITCHES
4. RELAYS & CIRCUIT BREAKERS
5. START SWITCH
6. FUSE / CIRCUIT BREAKER PANEL & CIRCUIT BOARD
7. MONITOR PANELS
8. KOMTRAX, VHMS, AND PLM (PAYLOAD METER)
9. ELECTRONIC CONTROLLERS
10. L.E.D. WORK LIGHTS
11. AIR INTAKE HEATERS AND GLOW PLUGS
I) FRAMES, STRUCTURAL, & LINKAGES
1. BOOM/ARM
2. BELL CRANK AND Z BAR ON WHEEL LOADERS
3. CAR BODY
4. STEEL FRAME (FRONT, REAR, SUB) /REVOLVING FRAME
5. STEEL OF OUTRIGGER ON BACKHOE LOADERS
6. MOTOR GRADER CIRCLE
J) UNDERCARRIAGE RELATED PARTS
1. BOGIEASSEMBLIES
2. EQUALIZER BAR
3. H.I.C. ASSEMBLIES
4. PIVOT SHAFT ASSEMBLY
5. RECOIL SPRINGS
6. TRACK ADJUSTERS
7. TRACK ROLLER FRAME
K) HYBRID SYSTEMS
1. CAPACITOR/INVERTER
2. GENERATOR/MOTOR
3. HYBRID CONTROLLER
4. LUBRICATION PUMP
5. RADIATOR
6. SWING MOTOR
7. WATER PUMP
8. WIRING HARNESS
PT Plus
PT
9
9
9
9
9
ENGINE
REQUIREMENTS
CYLINDER
FRAME
BOOM/ARM
FRAME
INSPECTION
KOWA
SAMPLING
9
9B
9
9
9
9
9
9
9
9
9
9
9
9
9B
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
Please note that while the Covered Item list is comprehensive for all other Coverage Types, the Premier Coverage Type includes items in addition to the above
list, and is subject only to the limitations listed in Section 2 of this agreement.
*
A
12/16/2010
Indicates coverage for 24mo/4000 hours

KOWA for non-structural cooler failures only
**
B
Indicates coverage through the first 5000 hour

KOWA for mechanical solenoid failures only
UNDERCARRIAGEASSURANCEPROGRAMCERTIFICATEFORM
SPP1018
Page1of1
UNDERCARRIAGEASSURANCEPROGRAMCERTIFICATEFORM
Contents
A) PURPOSE .............................................................................................................................. 1
C) DEFINITIONS....................................................................................................................... 1
D) REVISIONS ........................................................................................................................... 1
A) PURPOSE
This form outlines the Undercarriage Assurance Program Coverage for the Customer. Distributor
should use the form to explain the scope and terms program to the Customer and secure the
signatureofaCustomeragent.
B) FILINGPROCEDURE
theMachineFile.
C) DEFINITIONS
policies.
D) REVISIONS
Revision Date
Version
1
12/23/2010
1
Content
Draftdocument
Author
K.Venkiteswaran
Undercarriage Assurance Program Certificate

Komatsu America Corp. is pleased to provide you with additional coverage for the undercarriage on your Komatsu machine.
The Komatsu Undercarriage Assurance Program will provide coverage against leakage and breakage due to defects in
material or workmanship for the term of 36 months or 4000 hours, whichever occurs first, starting with the machines first
active date.
Only registered serial number machines will qualify.
Components Covered
Link Assemblies, excluding shoes and pads
Track and Carrier Rollers
Front Idlers
Sprocket Teeth
Repairs Covered
Breakage; Part must not have reached or exceeded 100% worn
Leakage of rollers and idlers; Tread surface must not have reached or exceeded 100% worn
Leakage of track pin and bushing seal prior to a pin and bushing turn; Bushing wear and link height must not have reached or
exceeded 100% worn
Repair costs for the covered components will be on a prorated basis if the failure occurs outside the Product Warranty Term.
Failures related to running U/C parts beyond 100% wear life, operator abuse, or neglecting to maintain machine in accordance
with the Komatsu Operation and Maintenance manual will not be covered under this program. Additionally, failures caused
by link packing in landfill applications are also not eligible under this program.
Leakage of track pin and bushing seal after turn is not covered under this program.
This coverage will reimburse your servicing distributor for the cost of parts and labor for the repair. This coverage does not reimburse
for travel time, mileage, transportation costs, or other expenses for the mechanic, machine, or components involved in the repair.
Requirements
You must follow all maintenance requirements stated in the Operation and Maintenance manual for the respective machine carrying
this coverage. This will include maintaining proper track tension, replacing or repairing all undercarriage guards, and reporting any
leaks or unusual wear patterns to your Komatsu distributor promptly. Machine configuration must be within the Komatsu published
standards and operated within its design limitations. Any abnormalities must be promptly reported to your servicing Komatsu
distributor. Your selling Komatsu distributor will advise you of any additional requirements that may exist.
To ensure the longest possible life for your Komatsu Crawler Dozer, proper track shoe selection is essential and should be determined
by taking into account the application and underfoot conditions. Breakage or leakage caused by an inappropriate shoe selection is not
covered under the terms of this program.
Any repairs or replacements made under the Undercarriage Assurance Program will continue to be covered for the remaining term of
the machines Undercarriage Assurance agreement.
Claim Procedure
If a problem occurs with a component covered under this program, transport it to your servicing Komatsu distributor. If the component
needs service, Komatsu will repair or replace the part(s) at our expense, as outlined in this document.
Machine and customer information
Customer Name ________________________________ Machine Model, type and subtype____________________
Machine serial Number___________________________ Distributor name & 4+2 _______________________________
UNDERCARRIAGEPLUSPROGRAMCERTIFICATEFORM
SPP1019
Page1of1
UNDERCARRIAGEPLUSPROGRAMCERTIFICATEFORM
Contents
A) PURPOSE .............................................................................................................................. 1
C) DEFINITIONS....................................................................................................................... 1
D) REVISIONS ........................................................................................................................... 1
A) PURPOSE
This form outlines the Komatsus Undercarriage PLUS Program Coverage for the Customer.
Distributor should use the form to explain the scope and terms program to the Customer and
securethesignatureofaCustomeragent.
B) FILINGPROCEDURE
theMachineFile.
C) DEFINITIONS
policies.
D) REVISIONS
Revision Date
Version
1
12/23/2010
1
Content
Draftdocument
Author
K.Venkiteswaran
Undercarriage PLUS Program Certificate

Komatsu America Corp. is pleased to provide a wear guarantee for the undercarriage on your Komatsu machine. The
Komatsu Undercarriage PLUS Program will provide Guaranteed Life coverage against premature wear for 60 months or
_________ hours**, whichever occurs first, starting with the machines first active date.
** Hours to be determined by your Distributor based on approximately twice previous undercarriage life.
Machine Covered
Model: ___________________
Serial: __________________
Components Covered
Links
Track and Carrier Rollers
Front Idlers
Sprocket Teeth
Repairs Covered
Wear of any component that exceeds 100% before the Guaranteed Life
Repair costs for the covered components will be on a prorated basis if the failure occurs outside the Standard
Warranty Term.
This coverage will reimburse your servicing distributor for the cost of parts and labor for the repair. This coverage does not
reimburse for travel time, mileage, transportation costs, or other expenses for the mechanic, machine, or components
involved in the repair.
Requirements
You must follow all maintenance requirements stated in the Operation and Maintenance manual for the respective machine
carrying this coverage. This will include maintaining proper track tension, replacing or repairing all undercarriage guards,
and reporting any leaks or unusual wear patterns to your Komatsu distributor promptly. Machine configuration must be
within the Komatsu published standards and operated within its design limitations. Any abnormalities must be promptly
reported to your servicing Komatsu distributor. Your selling Komatsu distributor will advise you of any additional
requirements that may exist.
To ensure the longest possible life for your Komatsu Crawler Dozer, proper track shoe selection is essential and should be
determined by taking into account the application and underfoot conditions. Breakage or leakage caused by an
inappropriate shoe selection is not covered under the terms of this program.
Any repairs or replacements made under the Undercarriage PLUS Program will continue to be covered for the remaining
term of the machines Undercarriage PLUS Program agreement.
Claim Procedure
If a problem occurs with a component covered under this program, transport it to your servicing Komatsu distributor. If the
component needs service, your Komatsu Distributor will repair or replace the part(s) as outlined in this document.
Customer and Distributor Information
Customer Name ________________________________ Customer Signature _______________________________
Distributor Name & Location _______________________________________________________________________
Distributor Rep Name ___________________________ Distributor Rep Signature ___________________________
MININGSUPPORTPLANFORM
SPP10110
Page1of1
MININGSUPPORTPLANFORM
Contents
A) PURPOSE .............................................................................................................................. 1
C) DEFINITIONS....................................................................................................................... 1
D) REVISIONS ........................................................................................................................... 1
A) PURPOSE
This form can be used by the Distributor to prepare from a product support standpoint for new
machinesbeingdeliveredtominingCustomers.TheCriticalOperationsFunctionstabontheform
can also be used to identify areas for continuous improvement for existing Customers and for
developingjobdescriptionsforDistributoremployeesworkingatamine.Distributorcanrequest
supportfromthelocalKomatsurepresentativetodevelopandfinalizethesupportplan.
B) FILINGPROCEDURE
Therearenofilingproceduresforthisform.
C) DEFINITIONS
D) REVISIONS
Revision Date
Version
1
12/23/2010
1
Content
Draftdocument
Author
K.Venkiteswaran,A.
Rizzo
ProjectOverview
Cover
Distributorname:
Branchlocation:
Distancefromjobsite:
DistributorProjectManager
Name:
Phone:
Email:
Customername:
Jobsitelocation:
Workinghoursperday:
Workingdaysperyear:
Tenderdate:
Customercontact(s):
Name:
Title
Phone:
Email:
MachineInformation
Model
SerialNumbers
Configuration
ApplicationDescription
Grade
ParticleCountSampleResult
Availability
Guarantee
[Y/N]
RAMPdescription:
Availabilityguaranteedescription:
PartsDeliveryGuarantee
Terms:
ApplicationStudy
Notes:
FirstJoiFULMeetingDate:
JobsiteFluids
Type
EngineOil
Hydraulic
Transmission
Coolant
Fuel
Wheelmotor
Others
Manufacturer
ComplieswithNewProjectStartupandSupportActivities
SignandDate
KACProjectManager
KACRegionalServiceManager
DistributorPresident
Date
RAMP
[Y/N]
SEST
#
SFR
#
DeliveryPreparation
Topic
Assembly
Item
Assemblyschedule
Assemblyteam
Assemblytools
QCprocedures
Checkoutprocess
Training:
Operator
Servicemachine
Serviceengine
Maintenancechassis
Maintenanceengine
Spareparts:
PlaninPlace
[Y,Date/N,%complete]
PlanDocument
IncludeGanttchart.Basicchart
availableinAssemblyManual.
Includelistofteammember,portions
oftheassemblytheywillparticipatein
andindicatewhethertheyhave
receivedmachineandsafetytraining
Includetoollistandsource/ownerof
tools
Includechecksheetandperson
responsibleforverification.Basic
checksheetavailableinAssembly
Manual.
Includedocumentsthatneedtobe
signedoffathandover.Whowill
handoverthemachinetothe
customer?
Includetrainingdatesandnamesof
peopletrained
Includetrainingdates,namesofpeople
trained,andlistemployer
KOMTRAX&KOMTRAXPLUS
ContractobligationsMARC,
Availability,CostCap,etc.
RPLchassis
Includelistofpartsandquantitiesthat
willbestockedatthecustomerandat
DB.Alsoincludereorderpoints.
RPLengine
Includelistofpartsandquantitiesthat
willbestockedatthecustomerandat
Db.Alsoincludereorderpoints.
HandlingEmergencyOrders
Handlingswingcomponents
TechsupportHHPEngines
PersonResponsible
PG1
Techsupportengine
Includeshipmentrouteandhandling
procedureforpartsoutsideoftheRPL.
Includespecialtransportation
arrangementsifrequired.
Includelistofswingcomponentsand
specialconditionsrelativetoordering
andreplacingtheseparts.Includelist
ofrebuildsuppliersforanycomponents
thatwillberebuiltlocallyon"Outside
SupplierList"tab.
Includecontactnameandphone
numberofDb/Cumminsperson
responsibletoaddressdailytechnical
questionsfromthemine.
JobsiteOperations
PG2
Objective:developprojectsupportstructurebycategorizingvariousjobsiteandbackofficefunctionsthatarecriticaltoprojectsuccess.
ProjectSuccess=ProfitabilityandRepeatBusiness=fn(availabilityperformance,operatingcosts,productivity/CI)
Item
a
Maintenancestrategy
Description
ProcessOwner
*Action/Method/Comments
1.WhatisthescopeofPMsandhowoftenshouldtheybedone?
2.Howshouldreliabilityindicatorsbevalidated(KOWA,KOMTRAXPLUS,MTBOetc.)?Whatisthe
requiredcourseofmaintenanceforeachtypeofoccurrence?
Maintenanceplanninglongterm
1.Whatshouldbedoneonaparticularmachineforthenext12monthsbasedontheadopted
maintenancestrategy(componentreplacements,maintenanceandR&Rparts)?
Maintenanceplanningshortterm
1.Monitorreliabilityindicatorswhatactionshouldbetakenbasedonthereliabilityindicatorsandthe
maintenancestrategy(backlog)?
OnsiteFluidQuality
1.Performsamplingofoilsandfuelverifyfreeofcontaminants
Jobplanning
1.Howshouldthetaskathandbedone?
2.Whatpartsarerequiredforthejob?
3.Howcanqualitybeverified?
4.Whowillperformrepairs?
2.Whatbacklogitemsandscheduledmaintenanceshouldbedonetoday?Whoshoulddothejob?
JobexecutionandQA
1.Isthetaskcompleteinaccordancetomanufacturerspecificationsandstandards?
HandlingWarrantyRepairs
1.Documentedprocedureforrepairs
2.Handlingandstorageoffailedparts
3.Repairsupportdocumentation,methodofdelivery
Partsplanning
1.Whatpartsshouldbeininventoryandhowshouldmin/maxlevelsbesetatjobsite?
2.Howshouldinventorybeadjustedbasedonshorttermmaintenanceplanatjobsite?
3.Ensurecorrectpartsareavailableinthebaywhenequipmentcomesinforthejob.
Applicationverification
Administrationguarantees
1.Applicationverificationistheequipmentoperatedinasafemannerandinaccordanceto
manufacturer'sspecification(PLM,STATEX3,profileupdates)?
1.Equipmentperformancevalidationrelativetoavailabilityguarantee.
2.EquipmentoperatingcostvalidationrelativetoVIUDtablesorRAMP.
3.DetailedreviewofallequipmentoperationstoidentifyopportunitiesforCI/JoiFUL.
*Distributorinvolvementifthecustomerisnottheprocessowner
DistributorSupportOperations
PG3
Item
k
PartsPlanning
Description
1.Whatpartsshouldbeininventoryandhowshouldmin/maxlevelsbesetatDb?
2.HowshouldDbinventorybeadjustedbasedonshorttermmaintenanceplanatjobsite?
3.HandlingswingcomponentsIncludelistofcomponentsrelativetoordering.Developmethodto
trackpartsreplacementschedule.
Exchangepartsthirdpartysupply
1.Executeandmanagesupplieragreements
2.Trainingsupplierofrebuild,reusabilityspecificationsandtestmethod
3.Auditofsupplierquality
m ExchangepartsInternalparts,
includingPMkits
1.Trainingtechniciansofrebuild,reusabilityspecificationsandtestmethod.
2.Executerepairsinaccordancetomanufacturer'sspecification.
3.Performfailureanalysistodeterminequotationsrecipient.
4.Auditofrebuildquality.
Tooling(Troubleshooting,Repair&Rebuild)
TechnicianPlanning(nositelabor)
1.Procurement
2.AuditandMaintainInventory
OngoingTrainingManagement
Administration
1.Resourcemanagement
2.IssueResponseTerritoryLogisticsStrategy
1.Technician
2.SupportStaff
3.KOMTRAX/KOMTRAXPLUS/PLM
4.CSSPORTAL,ServicePolicy
1.ReportingtoKomatsuandCustomeronequipmentperformancerelativetoavailabilityguarantee.
2.CustomerInvoicingandReconciliation
3.ReportingtoKomatsuandcustomeronequipmentoperatingcostvalidationrelativetoVIUDtables/
RAMP
4.ReportingtoKomatsuandCustomeronprogressrelativetoCIrequirements.
5.Logisticsandwarehousingofsparepartsandcoresbetweencustomer,rebuildsuppliersandKomatsu.
6.FactoryCampaigncompletionprocess
7.SupplierpaymentsandCustomerandKomatsuinvoicing.
8.CustomerJoiFUL
*Distributorinvolvementifthecustomerisnottheprocessowner
ProcessOwner
Action/Method/Comments*
ProjectSupportMap
1
2
3
4
5
Anysupportstructuredevelopedshouldaddressallofthekeyissueslistedonthe"CriticalOperationFunctions"tab.
Jobsiteoperationsmustbecloselylinkedtosupportoperationstoensureconsistencyinprojectapproachandcontrols.
DevelopthereportingstructuretoshowtherelationshipbetweentheDistributorProcessOwnersidentifiedinthe"CriticalOperationsFunctions"tab.
Listthefunctionnumber(alphabet+number)fromtheCriticalOperationsFunctionstabundereachpersonontheorgchart.
Page6showsanexampleofansupportstructurewhereinthecustomerprovidesthesitelabor.Page7showsthequalificationsofthepeopleineachofthepositions.
PG4
Example:ProjectSupportMap:Customerlabormaintainsequipment
PG5
KACProjectManager
1
Technicalreportingtofactory
2
Settingmaintenancestrategy/standards
3
Coordinationofwarrantyactivities
4
Recipientandanalystofreconciliationofavailabilityandcostcaps
5
CIcoordinationatKomatsu
6
ConsultanttoServiceLeadersonjobplanningandexecution
7
ConsultanttoManager,Planningonpartsissues
8
ConsultanttoProjectManagerontotaloperation
EXAMPLE
1
2
3
4
5
6
ProjectManager,Distributor
ProjectP&L
Maintenancestrategy
Administration
Applicationverification:
Responsibletogeneratenewbusiness
CustomerrelationshipmanagementJoiFUL
ProjectAdministrator,Distributor
1 ReportingandclericalfunctionforSupportTeam
[DataManagement]
1
2
3
4
5
7
Manager,Planning,SparePartsandLogistics
Distributor
BackupforProjectManager
Maintenanceplanning
Jobplanning:
Partsplanning:
Dailyresponsibility[VIUDreconciliation]deliverables
Administration:
1
2
3
4
5
ServiceLeader,CustomerOperations
AssistLogisticsManagerwithMaintenancePlanning:
Jobplanning:
JobexecutionandQA
Applicationverification:
Dailyresponsibility,[availabilityguarantee]
PG6
QualificationsofstaffinexampleProjectSupportMap:
CustomerOperationServiceLeader
IndustryExperience:
1 Basicunderstandingofequipmentstructureandfunctionandequipmentsystems
2 Superbunderstandingofcustomeroperations
3 Solidknowledgeofdistributorproductsupportoperations
IndustryExperience:
1.Superbunderstandingofequipmentstructureandfunctionandequipmentsystems
2.Thoroughunderstandingofmachineapplication
BusinessExperience:
1 ProjectManagement
2 Supervisionand/ortraining
3 P&Lresponsibility
4 Basiclogistics
5 Negotiation
BusinessExperience:
1.OJT
2.Servicejobplanning
3.ContractManagement/AvailabilityReconciliation
Skills:
Skills:
Superbtroubleshooter
Goodcommunicator
Abilitytobuildrelationshipsandgeneratetrustwithcustomertechnicians
Proficientwithuseofcomputer
Superbcommunicator
Abilitytobuildrelationshipsandgeneratetrustwithcustomermanagement
ProficientuserofMSOfficeproducts
DistributorManager,Planning,SparePartsandLogistics
IndustryExperience:
1 Basicunderstandingofequipmentstructureandfunctionandequipmentsystems
2 Superbunderstandingofcustomerlogisticsoperations
3 Solidknowledgeofdistributorsparepartsoperations
BusinessExperience:
1 ProjectManagement
2 Expediting
3 Part'sstockplanning(settingreorderpointsandreorderquantities)
Skills:
1 Goodcommunicator
2 WorkingknowledgeofDistributorBusinessSystem.Expertuserofsparepartsmodule.
Report#
InformationSource
PERINCIDENT:
ReportName/Documents
SubmissionMethod
Timing
ReportingParty
FollowupAction
Nextday
Distributorstafftouse
datatocreatefleetStatex
reportformonthly
discussionwithcustomer.
Nextday
DBstafftouseddatato
createmonthlyfleetPLM
reportformonthly
discussionwithcustomer.
c.IFEQUIPPED:KomtraxPLUS
(download+summaryreportwith WebcareWebsite
findings)
Nextday
DBstafftostudyWebcare
trendsforBFactivitywith
assistanceofKACProject
Manager.
e.BacklogList
ProjectWebsite
Nextday
Keepoutstandinglogfor
useinfuturediscussions
withCustomer.
eCARE
Nextday
Partsplanning
Within1weekofsite
reconciliation
ForuploadtoR+MCareat
KLTDfordataanalysis.
a.WeeklyEmailtoKAC
ProjectManager
Weekly.1dayafter
weeklycustomer
meeting
Followuponopenitems
assignedtoDbandKAC.
a,b.WeeklyEmailtoKAC
ProjectManager
Thursdayeachweek
Followup/expediteon
anycomponentshortages
ProjectManager
Thursdayeachweek
Followup/expediteon
ProjectManager
Thursdayeachweek
Followup/expediteon
a,b. WeeklyEmailtoKAC
ProjectManager
Thursdayeachweek
Followup/expediteon
a.IFEQUIPPED:electricdrive
system(download+summary
ProjectWebsite
reportwithfindings+listofissues
addressedduringthePM)
b.IFEQUIPPED:PLM(download+
ProjectWebsite
summaryreportwithfindings)
1
PG7
ProjectCommunicationItems
FillinYellowboxes:TitleofPersonResponsiblefromProjectSupportMappage.
500HRPM
UCInspectionReports a.Undercarriagereport
DAILY:
AVAILABILITY
RECONCILIATION
Update
WEEKLY
a.MajorandMinorEvents
TEAMFOLLOWUP
a.Actionlogupdates
HYDRAULIC
COMPONENTS
GECOMPONENTS
REBUILD
COMPONENTS
CUMMINSREBUILD
COMPONENTS
COMPONENT
REPLACEMENT/MAJO
Listbytrucknumber
RREPAIRSFOR
FOLLOWINGWEEK
a.Inventorypositionforcylinders
andpumps.
b.RebuildstatusofWIP
a.InventorypositionforWheel
Motors,MTAsandGridBlower
Motors.
a.InventorypositionforPower
Modules,SpindleHubandBrake
Assemblies,NoseCones,Park
BrakesandServiceBrakes..
a.InventorypositionforEngines.
ExcelfiletoProjectWebsite
WeeklyEmailtoKACProject
Thursdayeachweek
Manager
Usefordiscussionwith
CustomerPlanner.
StartDate
Report#
InformationSource
MONTHLY:
ReportName/Documents
SubmissionMethod
Timing
Within5daysofthe
startofthefollowing
month.
IFEQUIPPED:Monthly
Statex3monthlyreport
StatexEvaluations
EmailtoKACProject
Manager
Within5daysofthe
startofthefollowing
month.
IFEQUIPPED:PLM
dataEvaluations
EmailtoKACProject
Manager
Within5daysofthe
startofthefollowing
month.
Availability
10
11
ReportingParty
FollowupAction
PLMmonthlyreport(needstobe
defined)
DbPMandKACPMto
determinefinal
reconciliationposition
beforemeetingwith
customer.
ForDbProjectManager
topresenttocustomer
eachmonthwithalistof
recommendations.
ForDbProjectManager
topresenttocustomer
eachmonthwithalistof
recommendations.
QUARTERLY
12
COSTCAP/RAMPif
applicable
Spreadsheet(beforediscussionwith EmailtoKACProject
customer)
Manager
13
PCR
12monthrollingPCRschedule
EmailtoKACProject
Manager
Within15daysofthe
startofthefollowing
quarter.
Within15daysofthe
startofthefollowing
quarter.
ForsubmissiontoKAC's
ContractBusinessGroup
ForProjectCoordinatorto
discusswithCustomer
SitePlanner.
BIANNUAL
14
MACHINE
APPLICATION
StartDate
PG8
Spreadsheet(beforediscussionwith EmailtoKACProject
customer)
Manager
PG7
ProjectCommunicationItems
FillinYellowboxes:TitleofPersonResponsiblefromProjectSupportMappage.
HaulprofilesfromCustomer
EmailtoKACProject
EngineeringDepartment.
Observationsforloading,grading, Manager
bulldozingequipment.
Within15daysofthe
startofthefollowing6
monthperiod.
ForsubmissiontoKAC's
ApplicationEngineering
Grouptoverify
application.
PG9
Rebuildsuppliersforproject:
Forelectrictrucksfillall.Formechanicalproducts,fillincellhighlightedinyellow.Bulldozerfillingreen.
Component
Subcomponent
Powermoduleassembly
Engineassembly
Alternator
Radiator
Wheelmotors
Mechanicalcomponents
Electricalcomponents
Frontwheelgroups
Frontsuspension
Frontspindleandhub
Frontbrakes
Steeringarms
Rearsuspensions
Hoistcylinders
Steeringpump
Hoistpump
Rearbrakes
Parkbrakes
Accumulators
Gridblowermotor
Undercarriage
Rebuild
[Y/N]
RebuildSupplier
RebuildSupplierLocation
SupplierAgreement
[Y/N]
ACCIDENTNOTICEFORM
SPP10111
Page1of2
ACCIDENTNOTICEFORM
Contents
A) PURPOSE .............................................................................................................................. 1
C) DEFINITIONS....................................................................................................................... 1
D) REFERENCES ...................................................................................................................... 1
E) REVISIONS ........................................................................................................................... 2
A) PURPOSE
Distributors must report accidents involving Komatsu machines that result in bodily injury or
property damage. Any accidents must be reported immediately using this form in order for
Komatsutocompletetheinvestigationwhiletheinformationandevidencearefresh.
B) FILINGPROCEDURE
1. IMPORTANT:
a. Donotdiscusstheaccidentwithattorneys,adjusters,orinvestigatorswithoutclearance
oftheKACManagerofProductIntegrity.
b. LimitthefactsyoureportinyourtelephonecalltoKomatsuandtheformtofacts.
2. All accidents involving fatalities or serious bodily injuries, such as dismemberment, severe
burns, neck, back, or other injuries likely to cause permanent disability, must be reported
immediately by telephone to the Regional Komatsu Service Representative and also by
telephonetoKomatsusManagerofProductIntegrity(+18474375052)inRollingMeadows,
ILUSA.TheAccidentNoticeFormshouldbecompletedimmediatelyafterthetelephonecall
andfaxedto+18474375995.
3. Accidents involving less severe bodily injury or minor property damage, and all incidents
involvingsafetyissues,shouldbedocumentedonthisformandsentbyemailtotheRegional
KomatsuServiceRepresentative,whowillprovideinformationregardingfurtherinvestigation
orinformation..PresentationKomatsuRegionalRepresentativesincludesalistofKomatsu
representativesbyDistributor.
4. Wheneverpossible,copiesofanydocumentation,photographs,ornewspaperarticlesrelating
totheaccidentshouldbeincludedalongwiththeAccidentNoticeForm.
C) DEFINITIONS
D) REFERENCES
1. KomatsuRegionalRepresentativespresentation
ACCIDENTNOTICEFORM
SPP10111
Page2of2
E) REVISIONS
Revision Date
Version
1
12/23/2010
1
Content
Draftdocument
Author
B.Miller
ACCIDENT NOTICE
PERSON INJURED
Name:
Street Address:
City, State, ZIP:
Country:
Age:
Gender:
Type of Injury:
(Fatality, Serious Bodily, Burns, etc.)
MACHINE INFORMATION
Model, Type, Sub:
Serial Number:
Delivery Date:
SMR (hrs):
Owner Name:
Street Address:
City, State, ZIP:
Country:
Telephone:
Location of
Machine:
Selling Distributor:
Street Address:
City, State, ZIP:
Country:
Contact Name:
Contact Telephone:
ACCIDENT DESCRIPTION
Date:
Time:
AM/PM:
Location:
Type of Accident:
(Rollover, Collision, Run-over, Fire, etc.)
Describe What
Happened:
If available, attach to a separate page:

Photographs, Machine Invoice, Retail Order, Delivery Report, Service Records, News Article, etc.
WITNESSES
Name:
Street Address:
City, State, ZIP:
Country:
Telephone:
REPORTED BY
Name:
Title:
Date:
Name:
Street Address:
City, State, ZIP:
Country:
Telephone:
Source of
Information:
ACCIDENT REPORTING INSTRUCTIONS

Immediately telephone the KAC Manager of Product Integrity (+1-847-437-5052) and the KAC Regional Service Manager whenever the
occurrence results in death, dismemberment, severe burns, or other injuries likely to produce permanent disability.
Fax or Email this notice to the KAC Manager of Product Integrity (+1-847-437-5995) with a copy to the KAC Regional Service Manager. Provide
as much information as you can obtain; however, do not delay this notice if details are not readily available. The notice can be supplemented
should you learn additional facts. Do not discuss the accident with attorneys, adjusters, or investigators without clearance of the KAC Manager
of Product Integrity. Limit your report to facts.
SPP10112
Page1of2
Contents
A) PURPOSE .............................................................................................................................. 1
C) DEFINITIONS....................................................................................................................... 1
D) REFERENCES ...................................................................................................................... 1
E) REVISIONS ........................................................................................................................... 1
A) PURPOSE
TheDistributorshouldcompletethisformoraformwithsimilarinformationandsecurethe
CustomerssignatureiftheCustomerrefusestomakeaMachineavailableforaMandatory
FactoryCampaign.
B) FILINGPROCEDURE
Distributor should store a signed copy of this letter in the Machine File and a copy should be
attachedonaClaimagainsttheFactoryCampaigntothesubjectMachinepertheReimbursement
PolicySectionoftheWarrantyandCoveragePolicies.Therequestedreimbursementvalueforthe
Claimshouldbe$0.
C) DEFINITIONS
1. MandatoryFactoryCampaign:AFactoryCampaignthatrequiredtheDistributortocomplete
theupdatesorrepairstoalltheMachinesintheDistributorsserviceterritoryonaproactive
basis.
policies.
D) REFERENCES
1. REPAIR,PARTSSTORAGE,COVERAGETERMSANDCLAIMFILINGPOLICY
E) REVISIONS
Revision Date
1
12/5/2010
Version
1
Content
Draftdocument
Author
K.Venkiteswaran,M.
Hayes
DistributorLetterhead
CustomerContactName
CustomerName
CustomerAddress
DearCustomerContactName:
Subject:FactoryCampaignrefusalacknowledgementforyourmachineModel,SerialNumber
KomatsuAmericaCorp.,manufacturerofthesubjectmachine,hasrequestedthatthemachine
be updatedper FactoryCampaign FC Number for Subject before FC end date. The update is
being provided to you free of charge. You have chosen to decline the Factory Campaign on
behalfofCustomerName.Pleasesigninthedesignatedareabelowandreturnacopyofthis
lettertomeattheaddressdenotedonthisletterhead.
Sincerely,
Signature
Name
Bysigningintheareadesignatedbelow,youareacknowledgingthatyouhavebeeninformed
abouttheFactoryCampaignandhavechosennottohaveitcompletedonthesubjectmachine.
Youalsoconfirmthatyouarenowresponsibleforanydamagetothemachine,theoperatoror
the machines operating environment that might occur as a result of not completing this
FactoryCampaign.
Signedinacknowledgement_________________________________________ ____________
YourNameandTitle
Date
WHEELMOTORFINALDRIVEFAILURETIMELINE
SPP10113
Page1of1
WHEELMOTORFINALDRIVEFAILURETIMELINEFORM
Contents
A) PURPOSE .............................................................................................................................. 1
C) DEFINITIONS....................................................................................................................... 1
D) REVISIONS ........................................................................................................................... 1
A) PURPOSE
Distributorshouldusethisformisusedtodocumentoilsamplingandpartfailurehistoryonwheel
motorsforClaimsonElectricDriveTrucks.
B) FILINGPROCEDURE
The form should be completed in excel and included as an attachment to the Claim. The
attachmentshouldbecalledWheelMotorFinalDriveFailureTimeline.
AcopyoftheformshouldalsobemaintainedintheDistributorsMachineFile.
C) DEFINITIONS
policies.
D) REVISIONS
Revision Date
Version
1
12/23/2010
1
Content
Draftdocument
Author
B.Miller,K.
Venkiteswaran
WHEELMOTORFINALDRIVEFAILURETIMELINE
E.OilMaintenanceHistory(ordernewesttooldest):
A.Author(personcompilingthisreport)
Preparedby
Sample
Date
Truck
Hours
Oil
Hours
OilMaintenance(Mark"X")
Filtered
Changed
EmailAddress
Date
B.WheelInformation
Model
SerialNumber
FailureDate
RepairDate
WheelHours
C.TruckInformation
Model
SerialNumber
EngineSMR
CustomerName
MineName
D.OilInformation
OilManufacturer
ProductBrandName
StatedViscosity
OilType
F.Repairstothiswheelmotorssincelastoverhaul:
FailDate
RepairDescription
SampleCommentsandActions
CLAIMREIMBURSEMENTRATEREVISIONFORM
SPP10114
Page1of5
Contents
A) PURPOSE .............................................................................................................................. 1
C) FORM PROCESSING.......................................................................................................... 2
D) REIMBURSEMENT RATE CALCULATION FOR CANADA AND USA ................... 2
E) DEFINITIONS....................................................................................................................... 3
F) REFERENCES ...................................................................................................................... 4
G) REVISIONS ........................................................................................................................... 4
A) PURPOSE
DistributorshouldcompletethisformforKomatsutocalculateandsetthereimbursementratesto
the Distributor for labor, parts handling and mileage on Claims. This document includes
informationontheformfilingprocedureandonhowtheratesarecalculatedandsetinKomatsus
ClaimsSystem.
Komatsuwillreassessandsetnewratesonceperyear.TherateswillbeeffectiveonJune1stofa
givenyeartoMay31stofthefollowingyear.
AnewDistributorcancompleteandfiletoformonlyaftertheDistributorshiporSalesandService
AgreementhasbeensignedandafterKomatsuhasassignedaDistributoranaccountnumber(4+2
code)inKomatsussystems.
B) FILINGPROCEDURE
1. Timing: Distributor should complete the form and submit it to Komatsu before May 1st each
year.
2. Signature:ThecompletedformmustbesignedbytheDistributorsGeneralServiceManager,
Principal,orotherpersonwithsimilarresponsibility.
3. SupportDocuments:
a. AllDistributors:
i.
Governments do not generally levy taxes on product warranty and insurance related
services.IftherearespecifictaxesapplicabletotheservicesprovidedbytheDistributor
underanyofKomatsusCoveragePolicies,Distributormustnotethisintheemailwhen
filing the form and include documentation from the appropriate government tax code
showingthetaxcalculationmethod.
ii.
Certain states, territories or provinces require that the Distributor charge the same
ratestoallitscustomers(includingOEMs)forlaboreveniftheworkisperformedunder
aproductwarrantyorinsurancecontract.Ifthisisapplicable,theDistributormustnote
thisintheemailwhenfilingtheformandincludedocumentationfromtheappropriate
governmentregulations.
KomatsuAmericaCorp
SPP10114
Page2of5
DistributorsthatutilizecurrencyotherthattheUSdollarshouldindicateexchangerate
utilized in the calculations on the form. The exchange rate should be the average
exchangerateforthe6monthsprecedingthecompletionoftheform.
b. ForDistributorsinCanadaandUSAonly:
i.
DistributormustincludeacopyoftheDistributorsletterannouncingthenewratesto
Customers, or two copies of Customer invoices showing the new rate for each rate
changeincludedintheform.Aratechangeisaratethatwasnotpreviouslysubmitted
toKomatsu.
4. Filing: The completed form and required Support Documents should be sent by email to
serviceprograms@komatsuna.com. The email subject should be titled Rate Changes for
DistributorName.
iii.
C) FORMPROCESSING
1. ForDistributorsinCanadaandUSA:
a. KomatsuwillreviewtheemailfromtheDistributortoconfirmthattheformiscompleted
correctly and that the rate information provided is appropriately validated by the support
documentationincludedintheemail.
b. Komatsu may contact the Distributor in case there of discrepancies or if additional
informationisrequiredtoprocesstheform.
c. KomatsuwillcalculatethereimbursementratesfortheDistributorpersectionDbelowand
sendaconfirmationemailontheratechangestotheDistributor.
a. KomatsuwillupdateKomatsusClaimsSystemwiththenewreimbursementratesforthe
Distributor.TheratewillbeeffectiveforallClaimssubmittedonoraftertheeffectivedate
indicatedintheconfirmationletterfromKomatsu.
2. ForDistributorsoutsideofCanadaandUSA:
a. KomatsuwillcheckKLTDsGCPSsystemtoverifytheratesontheformprovidedbythe
Distributor.
b. KomatsuwillsetthereimbursementratesfortheDistributortomatchtheratesinKLTDs
GCPSsystemincasetherearediscrepanciesintheinformationprovidedbytheDistributor
andtheratesintheGCPSsystem.
d. Komatsu send a confirmation email on the rate changes to the Distributor once the form
hasbeenprocessed.
c. KomatsuwillupdateKomatsusClaimsSystemwiththenewreimbursementratesforthe
Distributor.
D) REIMBURSEMENTRATECALCULATIONFORCANADAANDUSA
1. Annual rate changes: Komatsu will complete the following calculations and reset the
Distributors reimbursement terms every year irrespective of whether Distributor files this
form.
2. KomatsuwillaveragealloftheNewCustomerShopLaborRateandNewCustomerFieldLabor
Rate fields provided by the Distributor in Section B of to form to calculate the Charge Out
LaborRateinKomatsusportionofSectionB.
3. KomatsuwillaveragealloftheMileageRatefieldsprovidedbytheDistributorinSectionBof
toformtocalculatetheMileageRateinKomatsusportionofSectionB.
KomatsuAmericaCorp
SPP10114
Page3of5
DistributorPerformanceIncentive:
a. KomatsuhasstructuredaperformanceincentiveprogramtocompensateDistributorsfor
focusedactivitiesintargetedareasoftheirorganizations.
b. KomatsuwillreleaseaServicePolicyLettertotheDistributorsbyMay1stofeachyear
identifyingfive(5)focusareasforimprovement(categoriesinSectionCoftheform)forthe
upcomingmeasurementperiod(May1stMar31st).Theletterwillalsoindicatethe
measurementprocessforeachcategoryandthetarget.Komatsumayusethesame
categorymultipletimes.Forexample,increaseAdvantagepenetrationratioto50%ofall
finalsalescouldbecategory1,2and3.
c. KomatsuwillprovidetheDistributorinformationontheirperformancerelativetothese
targetsonaquarterlybasis.
d. KomatsuwillutilizetheresultsasofMarch31tocalculatethepointsinSectionCofthe
form.TheDistributorwillreceiveone(1)pointforeachcategorytargettheymeetor
exceedduringthemeasurementperiod.
e. KomatsuwillutilizethetotalnumberofpointsachievedbytheDistributortodeterminethe
incentivefactorscaleinSectionCoftheformfortheupcomingperiod.
5. KomatsuwillcalculatetheWarrantyLaborRateinKomatsusportionofSectionBoftheform
bymultiplyingtheChargeOutLaborRate(seeD2above)bytheLaborIncentiveFactorScale
thatcorrespondstothenumberofpointsachievedbytheDistributorinSectionCoftheform.
TheWarrantyLaborRatecanthusrangefrom80%oftheChargeOutLaborRate(ifthe
Distributorhas0points)to110%oftheChargeOutLaborRate(iftheDistributorhas3or
morepoints).
6. KomatsuwillcalculateandsetthePartsHandlingPercentageRateinKomatsusportionof
SectionBtoequalthePartsIncentiveFactorScalethatcorrespondstothenumberofpoints
achievedbytheDistributorinSectionCoftheform.
4.
E) DEFINITIONS
policies.
4. DistributorshiporSalesandServiceAgreement:Overarchingsupplyandservicesagreement
betweenKomatsuandtheDistributor.TheServicePolicies,includingthisoneareasubsetof
theDistributorshiporSalesandServiceAgreement.
5. Claims:AClaimisarequesttoKomatsuforreimbursementforservicesprovidedbya
6. KomatsusClaimsSystem:ThissystemislocatedwithinKomatsuAmericasextranetsystem
KomatsuAmericaCorp
SPP10114
Page4of5
7.
CoverageTypeorCoveragePolicy:Komatsupolicythatspecifiesreimbursementtermsfor
F) REFERENCES
1. KomatsusClaimsSystem
G) REVISIONS
Revision Date
1
12/5/2010
Version
1
KomatsuAmericaCorp
Content
Draftdocument
Author
A.RizzoandK.
Venkiteswaran
CLAIMREIMBURSEMENTRATEAPPLICATION/REVISIONFORM
Section:AGENERALINFROMATION
1.DistributorName
2.KOMATSUDistributor[4Code]
3.Effectivedateofnewsellingrates
4.Commentontaxesforproductwarrantyservices(ifapplicable)
5.Commentonregulationsforlaborreimbursement(ifapplicable)
6.DistributorsoutsideofUSAPrior6monthexchangerateaverage
KLTDRATEINFORMATION7,8and9areforDistributorsoutsideofCanadaandUSAonly
7.PartshandlingpercentageratefromKLTDsGCPSsystem
8.WarrantyLaborRatefromKLTSdGCPSsystem
9.MileageRateofRateperKilometerfromKLTDsGCPSsystem
Section:BRATEINFORMATIONforDistributorsinCanadaandtheUSAonly
KOMATSUUSEONLY
APPROVEDREIMBURSEMENTRATES
DISTRIBUTORSUPPLIEDINFORMATION
Dist.
NewCustomer NewCustomer
branch
ShopLaborRate FieldLaborRate
[4+2Code]
$USD/hr
$USD/hr
Average
NewMileage
Rate
$USD/mi[km]
ChargeOutLaborRate
$USD/hr
IncentiveFactorCalculation
%
[#Points=%]
WarrantyLaborRate
$USD/hr
[ChargeoutRatexIncentivefactor=]
MileageRate
$USD/mi[km]
Rate
[#Points=%]
Comments:
Section:CPERFORMANCEINCENTIVECALCULATIONKOMATSUUseOnly
Category
#1
#2
#3
#4
#5
Target
Results
Points
TotalPoints
IncentiveFactorScale
Points Labor
Parts
0
80%
10%
1
90%
10%
2
100%
15%
3+
110%
15%
Section:D
DISTRIBUTORAPPLICANT
KOMATSUUSEONLYAPPROVAL
PrintTitle
PrintName
Signature
Date
KomatsuAmericaCorp
SERVICEREPORTFORM
SPP10115
Page1of7
SERVICEREPORTFORM
Contents
A) PURPOSE .............................................................................................................................. 1
B) DEFINITIONS....................................................................................................................... 1
C) REVISIONS ........................................................................................................................... 1
A) PURPOSE
This form can be used by service writers and technicians at Distributor to summarize the
information from a repair service. The DISPATCH INFORMATION section of the report
shouldbecompletedbytheservicewriter,whileallothersectionsshouldbecompletedby
thetechnician.Iftheformisfilledoutcorrectlyandcompletely,theClaimAdministratorat
theDistributorwillhavealloftheinformationshe/heneedstostartpreparingaClaim.The
DistributorcanalsousethisformtoprepareaTSRtoKomatsu.
MostDistributorshavetechniciansinputdatadirectlyintotheirbusinesssystems.Inthese
cases,itisrecommendedthattheDistributortryandincludesomeofthefieldsespecially
those from the TROUBLESHOOTING and REPAIR INFORMATION sections of the form into
theDistributorsbusinesssystem.
KomatsurequiresthattheDistributoruseonefiletodocumentallofthephotographsona
Claim.TheDistributorcanusesectionsPHOTO1andPHOTO2independentoftheother
sectionsoftheformtocompiletheappropriatephotographsforClaims.
ThisformisnotappropriateforPMorrebuildsservices.
B) DEFINITIONS
4. ClaimAdministrator:PersonattheDistributorauthorizedtosubmitClaimstoKomatsu.
5. TSR:ATechnicalSupportRequestisarequesttoKomatsufortechnicalsupport.Therequestis
filedthoughKomatsusextranetsystem(https://www.komatsuamerica.net).REVISIONS
Revision
1
Date
12/5/2010
Version
1
Content
Draftdocument
Author
B.Miller,T.Robson,E.
Keane,K.
Venkiteswaran
REPAIR SERVICE REPORT

1. DISPATCHINFORMATION
CustomerInformation:
Date
Customer
CustomerContact
CustomerTelephone
CustomerEmail:
Make
SMRReading
Model
DistributorInformation:
WorkOrderNumber
Branch
ServiceWriter
LeadTechnician
OtherTechnicians
SerialNumber
Machinedown?
CustomerNumber
YesNo
Customertechnician
Other
CustomerComplaint
Sourceofcomplaint
Operator
ComplaintCategory(additionalquestionstonarrowthescopeoftheproblem)
a.Leak
1.Visualshortcomings
b.Cracked
orbrokenpart
Oil
Fuel
Whereandwhen?
Whatpartnumberisleaking?
Whatpartnumberiscracked?
Coolant
Gas
a.Codename
b.Anywarninglightorbuzzer?
c.Whentriggeredandisitactive?
2.ErrorCode
a.Willnotstart
b.Noise
c.Vibration
d.Smokecolor
3.OperationalIssue
e.Power
Wontcrank
Wherefromandwhen?
Wherefromandwhen?
Black
Whendoesitoccur?
Engine
Whendoesitoccur?
Cranksoverbutdoesnotstart.
Grey
White
Motive WorkEquipment
4.Other
Describe
JobType
InternalSales
InternalRental
Customer
Shop
FieldandShop
JobLocation:
Field
Customerlocationforfieldjobs:
Address
Specialinstructionsfortechnician(checkPSNs,OEMWebsite,etc.)
Warranty
2. TROUBLESHOOTINGINFORMATION
Howisthecustomerusingthemachine(application)?
Doesthemachinehaveanyspecialmodificationsorattachments?Ifyes,whatisit?
Arethereanypreviousrepairsrelatedtothisproblem?Ifyes,explain.
Didyouverifythecustomercomplaint?Ifno,explain.
Whatstepsdidyoutaketoidentifythecauseoftheproblem*?
Date
Whatdidyoucheck
Howdidyoucheckit
Whatwastheresult
Comment(ifrequired)
*CallyourTechnicalCommunicatoriftroubleshootingistakinglongerthan4hours.
Totaltroubleshootingtime(inhours)
Causeandmodeoffailure:
Partnumberthatcausedthefailure(criticalfailpart)
Criticalfailpartserialnumber(ifapplicable)
Componentserialnumber(ifapplicable)
Howmanyhourswereonthecriticalfailpart?
Howdidthecriticalpartfail?
Whydidcriticalpartfail?
Whatareyougoingtodowiththecriticalfailpart?*
Repaironthemachine Leavewiththecustomer
Storeattheshop
Bringbacktotheshopfor
repairorreturntoOEMreman
program
*OEMmaywantfailedpartsfortechnicalinvestigationonwarrantyjobs
Whatotherinformationdidyoucollectwhentroubleshooting?*
Payloadorloadinformation
Oilsamples
PMClinic
Generalmachineinspection
Systemdownloads
Photographsofthejobsiteandfailure

*OEMmayneedsystemdownloadsandphotosforwarrantyjobs
3. REPAIRINFORMATION
Whatdidyoudotofixthemachine?
Date
Numberof
techniciansrequired
fortheactivity
ActivityDescription
Totaltimeforrepair(inhoursforalltechniciansonthejob)do
notincludetroubleshootingtime
Whatpartsdidyoureplaceandwhy?
PartNumber
ReplacementReason
(failed,consumableor
worn)
Quantity
ReplacementPartSerial
Number
(ifapplicable)
4. PHOTOS1:
Useasfewpicturesasyoucantoshowtheproblem
Description
Photos(clickInsert>Picture>SelectLocation>Picture)
5. PHOTOS2:
Useasfewpicturesasyoucantoshowtheproblem
Description
Photos(clickInsert>Picture>SelectLocation>Picture)
6. TECHNICIANSTIMECARDFORTHISJOB
Date
Name
StartTime
EndTime
7. SERVICETRUCKMILEAGEINFORMATIONFORTHISJOB
Date
VehicleNumber
StartLocation
EndLocation
NumberofMiles
CLAIMAUTHORIZATIONFORM
SPP10116
Page1of3
Contents
A) PURPOSE .............................................................................................................................. 1
C) FORM PROCESSING.......................................................................................................... 1
D) DEFINITIONS....................................................................................................................... 1
E) REFERENCES ...................................................................................................................... 2
F) REVISIONS ........................................................................................................................... 2
A) PURPOSE
TopreapprovecostofrepairsrequestedorauthorizedbyaKomatsurepresentative.
B) FILINGPROCEDURE
1. TheClaimAuthorizationFormwillbeissuedtotheDistributorbyaKomatsurepresentative
whenevertheDistributorisrequestedtoperformworkoutsidenormalpolicies,orcanbe
submittedbytheDistributortoKomatsutocompleteaFixasFailCampaignforaspecific
machineonaprefailurebasis.
2. TheDistributorsandtheKomatsurepresentativessignaturearerequiredontheform
indicatingitsacceptanceofthetermssetforthintheform.
3. TheDistributormustobtainthecompletedformpriortoClaimsubmissionandmustkeepa
copyintheDistributorsMachineFile.
4. AcopyofthecompletedformshouldalsobeattachedtotheClaim.TheCommentssectionon
theClaimmustincludeanexplanationoftheworkthatwasperformedandindicateitwas
completedinaccordancewiththeClaimAuthorizationForm.
C) FORMPROCESSING
Reimbursementwillbelimitedtotheapprovedexpensesassociatedwiththespecificjobdescribed
intheClaimAuthorizationForm.ClaimevaluationproceduresarethesameasanormalClaim
explainedintheWarrantyandCoveragePolicySectionofthepolicymanual.
D) DEFINITIONS
policies.
KomatsuAmericaCorp
SPP10116
Page2of3
KomatsusClaimsSystem:ThissystemislocatedwithinKomatsuAmericasextranetsystem
serialnumber,thatincludescopiesofalltheDistributorsinteractionswithamachine.
8. FixAsFailFactoryCampaign:AFactoryCampaignthatrequirestheDistributortocompletethe
repairorupdateifathespecifictypeoffailurecoveredbytheFactoryCampaignisreportedby
theCustomer.
5.
E) REFERENCES
1. KomatsusClaimsSystem
F) REVISIONS
Revision Date
1
1/3/2011
Version
1
KomatsuAmericaCorp
Content
Draftdocument
Author
B.Miller
AuthorizationisgrantedtotheDistributorindicatedbelowtosubmitaclaimforreimbursementofthe
expensesincurredinperformingthedescribedwork.
DISTRIBUTORNAME/BRANCH
EQUIPMENT
REASONFORWORKREQUESTED
Model
SerialNo.
SMR
Attachment
SerialNo.
SMR
Configuration
ENGINE
Model
AUTHORIZATIONS
Standard
LaborHours
Overtime
LaborHours
WORKTOBEPERFORMED
Parts
Other
Comments
REVIEWEDBY
CERTIFIEDBY(DISTRIBUTOR)
Name
Title
Date
Name
Title
Date
SIGNATURE:
SIGNATURE:
AUTHORIZEDBY(REGIONMANAGER)
Name
Title
Date
KomatsuAmericaCorp
SIGNATURE:
KOMATSUCLAIMSSYSTEM
SPP1111
Page1of1
KOMATSUCLAIMSSYSTEM[DRAFTINPROCESS]
Contents
A) PURPOSE .............................................................................................................................. 1
B) DEFINITIONS....................................................................................................................... 1
C) REVISIONS ........................................................................................................................... 1
A) PURPOSE
1. ThisscheduleprovidestheDistributorinformationonhowtoaccessanduseKomatsusClaims
System.
B) DEFINITIONS
C) REVISIONS
Revision Date
1
12/5/2010
Content
Draftinprocess
Author
B.Miller
SMAP
SPP1112
Page1of1
SMAP[DRAFTINPROCESS]
Contents
A) PURPOSE .............................................................................................................................. 1
B) DEFINITIONS....................................................................................................................... 1
C) REVISIONS ........................................................................................................................... 1
A) PURPOSE
1. ThisscheduleprovidestheDistributorinformationonhowtoaccessandusetheSMAPsystem.
B) DEFINITIONS
C) REVISIONS
Revision Date
1
12/5/2010
Content
Draftinprocess
Author
T.OGrady
TSRSYSTEM
SPP1113
Page1of1
TSRSYSTEM[DRAFTINPROCESS]
Contents
A) PURPOSE .............................................................................................................................. 1
B) DEFINITIONS....................................................................................................................... 1
C) REVISIONS ........................................................................................................................... 1
A) PURPOSE
1. ThisscheduleprovidestheDistributorinformationonhowtoaccessandusetheTSRSystem.
B) DEFINITIONS
C) REVISIONS
Revision Date
1
12/5/2010
Content
Draftinprocess
Author
M.Beinlich
KOMATSUVIRTUALCAMPUS
SPP1114
Page1of1
KOMATSUVIRTUALCAMPUS[DRAFTINPROCESS]
Contents
A) PURPOSE .............................................................................................................................. 1
B) DEFINITIONS....................................................................................................................... 1
C) REVISIONS ........................................................................................................................... 1
A) PURPOSE
1. ThisscheduleprovidestheDistributorinformationonhowtoaccessanduseKomatsuVirtual
Campus.
B) DEFINITIONS
C) REVISIONS
Revision Date
1
12/5/2010
Content
Draftinprocess
Author
M.Robson
KOMATSUSERVICEEXTRANETAPPLICATIONS
SPP1115
Page1of1
KOMATSUSERVICEEXTRANETAPPLICATIONS[DRAFTINPROCESS]
Contents
A) PURPOSE .............................................................................................................................. 1
B) DEFINITIONS....................................................................................................................... 1
C) REVISIONS ........................................................................................................................... 1
A) PURPOSE
1. ThisscheduleprovidestheDistributorinformationonhowtoaccessanduseKomatsuService
applicationsontheExtranet.
B) DEFINITIONS
C) REVISIONS
Revision Date
1
12/5/2010
Content
Draftinprocess
Author
B.Miller
KOMATSUREGIONALREPRESENTATIVES
SPP1116
Page1of2
Contents
A) PURPOSE .............................................................................................................................. 1
B) REPRESENTATIVE LIST .................................................................................................. 1
C) DEFINITIONS....................................................................................................................... 2
D) REVISIONS ........................................................................................................................... 2
A) PURPOSE
1. ThisscheduleprovidesalistKomatsuslocalrepresentativebyDistributor.
B) REPRESENTATIVELIST
DistributorName
AndersonEquipmentCompany
AndersonEquipmentSales
BaconUniversal
BerryTractor
BIAOverseas
BinderMachineryCompany
BrandeisMachinery
C.N.Wood
ColumbusEquipmentCompany
ContinentalDistributingAIS)
CraigTaylorEquipment
D&W
DCMLBrazil
DMI
Dunlop
EdwardEhrbar,Inc.
EquipmentSales&Service,LTD
GeneralEquipment
H&E
HubInternationalEquipment
KirbySmith
KomatsuAustralia
KomatsuChile
KomatsuChina
KomatsuRepresentative
MIKESUMNER
DAVEBEVINGTON
TERRYBROADSTOCK
VINCESHERIDAN
SIMONETHERIDGE
DARRYSTUART
ROBERTHALL
JOHNTAYLOR
DARRYSTUART
MIKESUMNER
MIKESUMNER
TERRYBROADSTOCK
DAVEBEVINGTON
JORGENAVARRO
LESTRIPP
DAVEBEVINGTON
DAVEPRICE
DAVEBEVINGTON
LESTRIPP
CARLOSDIAZ
DAVEBEVINGTON
VINCESHERIDAN
GRAEMEWEATHERLEY
HELGEJORGENSEN
JAMIEBODIAM
JOHNPHILLIS
PAULSTEPTOE
MARKHAYWOOD
GERRYBECK
HERMANTADDA
WUJIANHUA(JOHNNY)
BRENTMILLER
EmailAddress
msumner@komatsuna.com
dbevingtion@komatsuna.com
tbroadstock@komatsuna.com
vsheridan@komatsuna.com
setheridge@komatsuna.com
dstuart@komatsuna.com
rhall@komatsuna.com
jtaylor@komatsuna.com
jnavarro@komatsuna.com
ltripp@komatsuna.com
dprice@komatsuna.com
ltripp@komatsuna.com
cdiaz@komatsuna.com
gweatherley@komatsu.com.au
hmjorgensen@bigpond.com
jbodiam@komatsu.com.au
jphillis@komatsu.com.au
pstepto@komatsu.com.au
mhaywood@komatsuna.com
gbeck@komatsuna.com
htadda@kacpeoria.com
sxpswjh@126.com
bmiller@komatsuna.com
PhoneNumber
6147467882
4167297621
6027998005
9188089555
+447730525
7175038888
3045506540
6787331247
7175038888
6147467882
6147467882
6027998005
4167297621
+5218441550304
8474520850
4167297621
9089025367
4167297621
8474520850
8472714355
4167297621
9188089555
+61412332348
+61892062568
+61412015632
+61411691477
+61437776881
3093611435
+17753890089
+8613811224424
+8613613498727
+12174171119
SPP1116
Page2of2
DistributorName
KomatsuEquipmentCompany
KomatsuIndia
KomatsuPeru
KomatsuSouthAfrica
LangerEquipment
LinderMachinery
LyleMachinery
MidlanticMachinery,Inc.
MiningSolutions
ModernMachinery
Panafrican
PineBushEquipment
PowerEquipment
PowerMotiveCorp.
PTUnitedTractors
RishEquipment
RoadBuilders
RoadMachinery&Supply
RoadMachineryLimited
RoadMachineryMexico
RolandMachinery
SMSEast
SMSRents
SMSWest
Stokvis
Sumitec
Tractor&Equipment
WilsonEquipmentLimited
WPI
KomatsuRepresentative
GEORGEGARY
JACKSMART
JOHNGIBBS
TODDSEEFELD
TOMBALO
BRENTMILLER
MARKHAYWOOD
GERTHORN
STEVEHUFF
JEFFMCCREA
JOHNTAYLOR
DARRYSTUART
SIMONETHERIDGE
CHUCKFLETCHER
JACKSMART
SIMONETHERIDGE
DAVEPRICE
JOHNTAYLOR
STEVESTRINGER
DAMIENBARNES
JASONWORKMAN
ROBERTHALL
VINCESHERIDAN
DAVECONNET
STEVEHUFF
JOHNBROCKBANK
ROBERTHEIGL
TERRYBROADSTOCK
JORGENAVARRO
DAVECONNET
DAVEBEVINGTON
PAULSPEEDIE
DAVEBEVINGTON
HENRYSPENST
JACEKKARWOWSKI
JOHNGIBBS
RICKUNWIN
SIMONETHERIDGE
SIMONETHERIDGE
CURTISCALLIS
JASONWORKMAN
DAVEBEVINGTON
CARLOSDIAZ
EmailAddress
ggary@komatsuna.com
jsmart@komatsuna.com
jgibbs@komatsuna.com
tseefeld@komatsuna.com
tbalo@komatsuna.com
bmiller@komatsuna.com
mhaywood@komatsuna.com
ghorn@kacpeoria.com
shuff@komatsuna.com
jmccrea@komatsuna.com
cfletcher@komatsuna.com
jsmart@komatsuna.com
dprice@komatsuna.com
sstringer@komatsuna.com
dbarnes@kacpeoria.com
jworkman@komatsuna.com
rhall@komatsuna.com
dconnet@komatsuna.com
shuff@komatsuna.com
jbrockbank@komatsuna.com
rheigl@komatsuna.com
jnavarro@komatsuna.com
dconnet@komatsuna.com
pspeedie@komatsuna.com
hspenst@komatsuna.com
Jkarwowski@komatsuna.com
jgibbs@komatsuna.com
runwin@komatsuna.com
ccallis@komatsuna.com
jworkman@komatsuna.com
cdiaz@komatsuna.com
C) DEFINITIONS
D) REVISIONS
Revision Date
1
12/5/2010
Content
Draftdocument
Author
K.Venkiteswaran
PhoneNumber
3093708634
3076809212
8472545954
8472541047
3076965764
+12174171119
3093611435
27829727007
9894304356
3523285944
6787331247
7175038888
+447730525
5039708407
3076809212
+447730525
9089025367
6787331247
9702610939
+628125529800
3045410948
3045506540
9188089555
8476823312
9894304356
8477779526
4803905459
6027998005
+5218441550304
8476823312
4167297621
5198202192
4167297621
7809160492
7807507752
8472545954
2504255178
+447730525
+447730525
7703120859
3045410948
4167297621
8472714355
GUIDELINESFORDOCUMENTINGPHOTOGRAPHSANDTECHNICALDATA
SPP1117
Page1of1
GUIDELINESFORDOCUMENTINGPHOTOGRAPHSANDTECHNICALDATA[DRAFTINPROCESS]
Contents
A) PURPOSE .............................................................................................................................. 1
B) DEFINITIONS....................................................................................................................... 1
C) REVISIONS ........................................................................................................................... 1
A) PURPOSE
1. ThisscheduleprovidestheDistributorinformationonhowtodocumentphotographsand
technicaldata.
B) DEFINITIONS
C) REVISIONS
Revision Date
1
12/5/2010
Content
Draftinprocess
Author
T.Robson

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COVERANDFOREWORD

Komatsu America Corp

Komatsu America Corp

Komatsu America Corp

Komatsu America Corp

1. Distributor must provide repair and maintenance services to support machines in

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Komatsu America Corp

Komatsu America Corp

Komatsu America Corp

Komatsu America Corp

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Komatsu America Corp

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Komatsu America Corp

Distributor can request reassessment by resubmitting a Claim to Komatsu. The resubmitted

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