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CONTROL SYSTEMS

Classical

Control

Theory

Modern

Control

Theory

Linear Control Theory

Nonlinear Control Theory

Adaptive Control

Robust

Control

Intelligent

Control

Stochastic

Control

Hierarchical

Control

Optimal

Control

Manufacturing

Process Control

Active Noise Control

Traction Control

Electric Drive Control

Engine

Control

Microgrids

Control

Magnetic Bearings

Control

Pumps/Compressors

Industrial Automation

Lighting

Aerospace

Rail

Mining

Electric Power

Oil & Gas

Energy & Power Conversion Transitions

Conversion Transitions:

Mech to Electric
DC variable speed drive to AC variable speed drive

Power Source Transitions:

Diesel & Coal to Natural Gas & Renewable fuels
Fossil fuels to Renewables and energy storage

Caterpillar: Non-Confidential

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Control Systems Background

Flyball/centrifugal governor control – Christiaan Huygens (17^th Century)/James Watt (18^th Century)

1868-early 1900s – Primitive Period*

1868 – Mathematical analysis of feedback control systems – James Maxwell

Routh and Hurwitz – stability analysis

Early 1900s – 1960 – Classical Period*

1920s – Nyquist & Bode – classical frequency domain methods, Bell Labs

1922 – Minorsky – PID Control for ship steering systems – GE Research Labs, Schenectady, NY

1934 – Hazen – theory of servomechanisms (World wars, and the problem of accurate gun pointing)

1941 – MIT Radiation Labs (radar)

1960 – Current – Modern Period*

Space and computer/digital age – State space/time domain methods, Nonlinear control, Optimal Control etc

Caterpillar: Non-Confidential

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Time Delay Control

Nonlinear System with

Unknown Dynamics

Delayed signals

Controller (u)

Output (y)

Estimated unknown dynamics

Cancel unknown dynamics with estimate

Insert desired dynamics

Reference

Input

Cancellation of unknown dynamics

Reference

model

Desired error

dynamics

Idea behind Time Delay Control

Actual error dynamics

As L🡪 0, error dynamics approaches ideal

Caterpillar: Non-Confidential

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Time Delay Control

Cancellation of unknown dynamics

Reference

model

Desired error

dynamics

Idea behind Time Delay Control

Actual error dynamics

As L🡪 0, error dynamics approaches ideal

Caterpillar: Non-Confidential

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Time Delay Control & PI - Continuous

Equivalent PI controller:

Time Delay Control & PI - Discrete

Equivalent PI controller:

For second order system, PI on two states becomes PID on output.

Ref: Suresh Reddy, 2 Papers at ASME Dynamic Systems and Control Conference, 2020

Caterpillar: Non-Confidential

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Time Delay Control approach - Stability Results & Design Procedures

Canonical Form Considered:

Reference Model:

System state equation:

Cancellation of unknown dynamics

Cancellation of known dynamics

Reference

model

Desired error

dynamics

Ref: Suresh Reddy, 2 Papers at ASME Dynamic Systems and Control Conference, 2020; 1 Paper at ACC Conference 2021

Caterpillar: Non-Confidential

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Magnetic Bearings & Control

Turbomolecular Pump (Sources: Ebara, Wikipedia)

Ref: Youcef-Toumi, Reddy, ASME Journal on Dynamic Systems, Measurement and Control, 1992

Caterpillar: Non-Confidential

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Magnetic Bearings & Rotor Dynamics

While axial dynamics are decoupled, the radial dynamics are coupled due to gyroscopic effects

Non-affine control form:

Ref: Youcef-Toumi, Reddy, ASME Journal on Dynamic Systems, Measurement and Control, 1992

Caterpillar: Non-Confidential

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Injection Molding Control

Clamp Assembly

Mold

Heating bands

Hopper

Injection Molding Machine

Hydraulic cylinder

Control Unit

Molding process steps:

Plastication
Injection
Packing
Cooling

Control functions:

Clamp unit velocity/position & pressure controls
Injection velocity/position control
Injection Pressure control during packing
Barrel/melt temp control through heater inputs

Hydraulic servo valve

Source: learnmechanical.com/injection-molding-process-defects-parts/

Illustrations & material from:

Reddy, US6430466B1 Patent, filed 1999

Caterpillar: Non-Confidential

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Injection Molding Control

Velocity

Force estimation

Valve command

Min select

Desired velocity profile generated as a function of position (trajectory planning)
Velocity control to desired profile (trajectory tracking)
Staying within desired force limits (force control/protection) while minimizing cycle time

Desired profile

Actual profile

Piston position

& Servo valve displacement

Illustrations & material from:

Reddy, US6430466B1 Patent, filed 1999

Caterpillar: Non-Confidential

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Chemical Process Control

Mixing Tank

Dispenser(s)

Reflector Bulb Silver stripping process

Reflector Bulb

Tray

Chemical Reaction:

Caterpillar: Non-Confidential

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Active Noise Control

Active noise control using adaptive signal processing

Ref: Pla, Goodman, Reddy, IEEE Conference on Control Applications, 1995

Caterpillar: Non-Confidential

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Mechanized Power Technologies

1825

1850

1875

1900

1925

1950

1975

2000

2025

Battery

(Volta)

1825

1850

1875

1900

1925

1950

1975

2000

2025

Gas

engine

Gasoline/Petrol

Engine (Butler)

Diesel

Engine

(Diesel)

1800

Steam Turbine

(Parsons)

Water

Turbine

(Francis)

Wind

Turbine

(Blyth)

1800

Gas

Turbine

(Elling)

Nuclear Fission

Reactor

Photo-Voltaic

Cell

Solar

Panel

(on Satellite)

Thin Film

& Polysilicon

PV Cells

Motor

DC Generator

AC Generator

3 phase AC Generator

AC Induction

Motor

Lead Acid

Battery

(Plante)

NiCd

Battery

(Jungner)

Lithium

Battery

Lithium- Ion

Battery

Fuel

cell

AC Transformer

POWER “SOURCES”

[PRIMARY POWER DELIVERY TECHNOLOGIES]

Geothermal

power

Mercury

Arc Rectifier

(AC 🡪 DC)

FET Transistor

MOSFET

GTO

Thyristor

(GE)

IGBT

Transistor

(GE)

SCR/

Thyristor

(GE)

IGCT

Thyristor

(ABB/Mitsubishi)

INTEL

4004

FPGA

PWM Drive

POWER CONVERSION

TECHNOLOGIES

PEM Fuel Cell (GE)

Vacuum Diode

p-n

Junction

diode

Solar cell

Source: compiled from various web sources

Caterpillar: Non-Confidential

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Electrification/Electric Drive Transitions

Prime Mover

Generator

Turbine or

Engine

DC or AC

Lighting (Late 19^th/Early 20^thcentury)

Manufacturing (Late 19^th/Early 20^thcentury)

Power Converter

Motor

AC or DC

AC🡪DC

DC Motors

Electric locomotives

(Early-mid 20^th century)

AC Motors

Diesel Engine

DC Generators

DC Motors

DC 🡪 AC

AC Generators

AC🡪DC

AC Motors

AC🡪DC🡪 AC

1910s 🡪 1960s

AC🡪DC

DC Motors

Rope Shovels

(1960s – DC)

(1979 – AC)

AC Motors

AC🡪DC🡪 AC

1980s 🡪 1990s

Caterpillar: Non-Confidential

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1920-1960

1960-1990

1990-2010

Future

Diesel or DC or AC Source

DC Electric Drive locomotives

DC drive Rope Shovels, mining trucks &

wheel loaders

DC Electric Drives

New Technology

Power Semi-Conductors & Microprocessors

Diesel Electric AC locomotives, construction & mining machinery

AC Drives

(Easy Maintenance)

(Power Shift) Mechanical Drives

(Power Shift) Mechanical Drive Construction & Mining Machinery

(Maintenance intensive)

Drive Technology Transitions

Hybrid & Battery Electric

Battery,

Fuel Cell &

Component

Technologies

AC Drive

component

technologies

AC traction limited

due to lack of good speed

Control without varying frequency

Locomotives/Mining trucks

Switched from DC Alternators to AC Synchronous Alternators

(controls relatively simple). Traction remained DC

Caterpillar: Non-Confidential

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AC Diesel Electric Locomotive Configuration

Power

Sources

Power Converters

Motors

Loads

Energy Storage

System Controls

Generators

Engine

Retarding Grids

Traction

gearing/axles

Radiator fan,

Traction Blower(s),

Alternator blower etc

Aux/Companion

Alternator

Traction Alternator

74 V battery

Engine Speed:

Discrete settings between N1 & N8

Battery

Charger

Converter

DC Motor (for cooling blower)

Resistor grid

Traction

Rectifier

Traction Rectifier & Battery Charger:

GE’s Tier 2 Loco technology:

Phase Controlled Rectifier

Converter for Blowers/Rad Fans:

Attenuates rectified voltage based on firing angle

GE’s Tier 2 Loco technology:

Cyclo Converter or Cycle Skipper (blower can run at full, ½, ¼ speed)

Frequency changer without DC link

– Like an electric transmission

Converter

Air

Compressor

Converter for Compressor:

GE’s Tier 2 Loco technology:

Contactors to change

Speed from Wye to Delta for higher voltage to get speed range

Alternator

Traction

Motor

no of motors = no of axles

SCR: Silicon Controlled Rectifier- Thyristor

Caterpillar: Non-Confidential

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Locomotive & Mining Electric Drive Traction

Train with 2 or 3 locomotives (3 for heavy hauls)

Max grade for North American heavy haul ~ 1.5%

Train dynamics:

Modified Davis Equation:

Gravity term

Wheel Rail adhesion creep curve

Adding ballast weight to locomotives is helpful to improve traction trains (need to stay within rail loading limits)

For train with 100 cars (8 axles, 100 tons per car) + 3 locomotives (210 tons, 6 axles per loco), adhesion of 35% will allow traction capability for 2% grade at zero speed

Caterpillar: Non-Confidential

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AC Locomotives & Individual Axle Control

Snow cleaner (GE/Wabtec’s advanced rail cleaner)

+ Sanding controls improve adhesion

Tractive Effort to train

Caterpillar: Non-Confidential

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Individual axle control, enabled by inverter/motor control enables maximized traction performance
Induction motor slip-torque characteristic provides some inherent wheel slip stability
Operation on back side of adhesion-creep curve is equivalent to negative damping, with instabilities

Locomotive Traction Control Problem

Maximize overall tractive effort for each locomotive, while protecting against wheel slip

Function of adhesion at each wheel & its normal force (2x6 wheels)
Adhesion a function of rail conditions & creep (normalized relative speed between wheel & ground speed)
Creep a function of motor torque, motor/gear/axle inertia and other dynamics
Weight on each wheel a function of combination of all motor toques, locomotive suspension dynamics & train dynamics

Creep commands

Creep Controller

Motor/Inverter Controller

Motor Torque Commands

Motor/gearing dynamics

Inverter switching commands

Motor Torque(s)

Loco suspension dynamics

Creep &Tractive Effort Calc

Weights

Wheel

Speeds

Train Dynamics

Tractive Effort

Ground Speed

Creep

Adhesion-Creep Curve Identification

& finding the creep set point for creep

(for each axle)

Sanding &

Snow cleaner control

Caterpillar: Non-Confidential

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Climate Scenarios

Options for dealing with climate change:

Green technologies
Adaptation
Geoengineering

Model uncertainties (Nonlinear coupled chaotic system)
Scenario uncertainties
Global temp vs regional variations
Seasonal/monthly/daily variations

Green House gas effect (trapping of infrared by water vapor etc.) results in earth’s average temp of 15 C

Source: IPCC AR6 WGI Technical Summary 2021

Caterpillar: Non-Confidential

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Emissions Regulations thus far

These emissions regulations mitigate emissions that are directly linked to human health issues

Source: bestsupportunderground.com

Source: www.epa.gov

Caterpillar: Non-Confidential

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Global Warming & Green House Gas Emissions

Low concentrations of CO₂, CH₄, N₂O are relatively non-toxic.

CH₄ is flammable.

Source: skepticalscience.com

Source: www.epa.gov

Caterpillar: Non-Confidential

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IPCC Analysis – Radiative Forcing – Effective Impact (1750-2019)

Source: IPCC AR6 WGI Technical Summary 2021

Caterpillar: Non-Confidential

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IPCC Analysis – Radiative Forcing – One Year Pulse Impact over 10/100 yrs

Source: IPCC AR6 WGI Technical Summary 2021

Caterpillar: Non-Confidential

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Hybrid Configuration – Drive System

Charging path

Caterpillar: Non-Confidential

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Energy/Power Technologies

			Electric Power Generation/Transmission
Type	Fuel	Primary Power Delivery	Electric Power Conversion	Transmission
Diesel/Gas/Bio Fuel Engine /Gensets	Diesel/Gas/ Bio	Engine	AC Generator + Power Transformer
Gas Turbine/ Gensets	Natural Gas	Gas Turbine	AC Generator + Power Transformer
Coal & Bio Power	Coal/Bio	Boiler + Steam Turbine	AC Generator + Power Transformer
Nuclear Power	Uranium/ Plutonium	Nuclear Fission Reactor + Steam Turbine
Geothermal Power	Earth’s core	Geothermal well + Steam Turbine
Hydro Power	Water cycle	Dam Reservoir + Water Turbine	Gen+ AC/DC+DC/AC + Power Transformer
Marine Power	Tides/Waves	(Tidal/wave/steam) Turbine
Wind Power	Wind	Wind Turbine
Solar Power	Sun Radiation	Photo-Voltaics/ Concentrated Solar	DC/AC Inverter + Power Transformer
Fuel Cell Energy	Hydrogen	Proton Exchange Membrane /Other Fuel Cell	DC/AC Inverter + Power Transformer
Energy Storage	DC Current	Lithium Ion/Other battery	DC/AC Inverter + Power Transformer

Caterpillar: Non-Confidential

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Hybrid Power Generation/Microgrid:

Battery

Bi-Directional Inverter – DC/AC

Engine

Inverter – DC/AC

Sync Generator

Utility

Grid

AC Load

V/F, Switching Control

Fuel Cell

Inverter – DC/AC

Battery

Bi-Directional

DC/DC Converter

Engine

DC/DC Converter

Generator

Utility

Grid

DC Load

Fuel Cell

DC/DC Converter

AC Bus

DC Bus

Rectifier – AC/DC

Microgrid Supervisory Controller

DC Load

Trans-former

AC/DC

DC/DC

DC/AC

AC Load

Simplified Microgrid Control Flow Diagram

Caterpillar: Non-Confidential

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Primary and secondary control in DC microgrids: a review, Gao, Kang, Cao, Yang, J. Mod. Power Syst. Clean Energy (2019)

[EMS – Energy Management System]

Levels of Microgrid Control

Supervisory Controller typically has secondary and tertiary controls; block 3 and 4, and some elements of block 2

Caterpillar: Non-Confidential

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Power/Energy Management Strategy Concepts

PMP - Pontryagin’s Min Principle

MPC - Model Predictive Control

RC - Robust Control

ECMS - Equivalent Consumption

Minimization Strategy

ADP - Adaptive Dynamic

Programming

ES - Extremum Seeking

Linear/Nonlinear Programming (LP/NLP)

Dynamic Programming (DP)

Genetic Algorithms (GA)

Particle Swarm Optimization (PSO)

Optimal Control Theory

Ahmed Ali, Dirk Soffker, “Towards Optimal Power Management of Hybrid Electric Vehicles in Real-Time: A Review on Methods, Challenges, and State-Of-The-Art Solutions“, Energies, 2018

Caterpillar: Non-Confidential

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Comparison of Different Optimization Schemes

SDP-Stochastic DP

DDP – Deterministic DP

OCT – Optimal Control Theory

NSGA – Non-Dominant Sorting GA

A-PMP – Approximate PMP

A-ECMS – Adaptive ECMS

BL – Baseline (Power Follower)

ARB – Adaptive Rule Based

PMP - Pontryagin’s Min Principle

MPC - Model Predictive Control

RC - Robust Control

ECMS - Equivalent Consumption

Minimization Strategy

ADP - Adaptive Dynamic Programming

ES - Extremum Seeking

Ahmed Ali, Dirk Soffker, “Towards Optimal Power Management of Hybrid Electric Vehicles in Real-Time: A Review on Methods, Challenges, and State-Of-The-Art Solutions“, Energies, 2018

Caterpillar: Non-Confidential

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ADVANCED POWER

Sustainability is one of Our Values in Action �and something we do every single day.

We contribute to a reduced-carbon future by:

• Supporting global efforts to mitigate the �impact of climate change

• Reducing GHG emissions from our operations

• Helping our customers achieve their climate-related goals by continuing to invest in new products, technologies and services that help them build a better, more sustainable world.

Caterpillar: Non-Confidential

Caterpillar’s global workforce is united by Our Values in Action, Caterpillar’s Code of Conduct.
Integrity, Excellence, Teamwork, Commitment and Sustainability provide the foundation for our values-based culture.
As one of our five Values in Action, Sustainability is part of who we are and what we do every single day. It inspires us to help our customers build a better world.
Our Values in Action impact every part of our business – the goals we set, how we work with customers and how we build a better world.
We share the concerns of governments and the public about the risks of climate change and support global efforts to mitigate its impact.
We are committed to helping our customers achieve their climate goals – and we’ve made some of our own, too.
We are contributing to a reduced-carbon future in many ways, including through our significant progress in reducing greenhouse gas (GHG) emissions from our operations and our continued investment in new products, technologies and services to help our customers achieve their climate-related objectives.
No two customer goals are the same. Some goals are longer-term, some goals require immediate action. Caterpillar is nimble and flexible to support all of our customers’ goals, in service of building a better world for all of us.

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Power drives our customers’ work.

Innovation and integration drive ours.

Whatever our customers’ goals — lower GHG emissions, energy flexibility, business sustainability — we provide the advanced power that keeps them working.

ADVANCED POWER

Caterpillar: Non-Confidential

Whether it comes from established or emerging sources, power is at the heart of our customers’ work.
Innovation and integration are at the heart of ours.
That means no matter the power source — no matter if it’s paired with renewable fuels, electric drives, advanced controls or hybrid components — no matter the industry — customers can count on us to help optimize and sustain the value of the power solution throughout the lifecycle.
Caterpillar is uniquely structured to deliver this advantage.
Our vertical integration allows our engineers to innovate in the development of discrete technologies and components — and in how those components are integrated together — to create solutions specifically engineered to meet our customers’ objectives.
Whatever those goals may be — lower greenhouse gas emissions, energy flexibility, business sustainability — we are ready to provide the advanced power that keeps our customers working.

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One of today’s big challenges is the energy transition.

Our customers need alternatives to established fuels and energy sources �to power their work while growing �their businesses.

We are ready.

Caterpillar: Non-Confidential

For many of our customers, and across the industries we serve, today’s “big challenge” is the energy transition.
The world is moving toward improvements in energy efficiency, increase in the use of renewable energy sources, improved energy management and other practices — with the goal of a carbon-reduced future for all.
No two customer goals are the same – and our customers need a partner who is dedicated to understanding their goals and making investments in their equipment and operations to help them do so. Caterpillar is that partner.
Some customers face strict regulations, and many have adopted challenging environmental, social and corporate governance (ESG) goals.
Customers want to be responsible global citizens and good stewards of the environment while running profitable businesses.
We’re putting our expertise — in innovating and integrating products, systems and solutions that make a difference — to work to help our customers achieve these goals.

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Renewable Fuels

Enable increased use of reduced-carbon options and hydrogen blends.

Fuel Cells

Use renewable hydrogen fuel as a �scalable source of electric power.

Electric & Hybrid Powertrains

Employ an electric drive transmission �with power components.

Batteries

Power the work with stored �electrical energy.

Microgrids

Integrate renewable energy sources �into electric power systems.

Multiple Solutions �Made to Match the Work

• Making established power sources even more �efficient and fuel-flexible

• Pairing established power sources with new �technologies in a hybrid format

• Replacing established power sources with �stand-alone new technologies

• Delivering reman, repair, rebuild, retrofit �and repower services

ADVANCED POWER

Caterpillar: Non-Confidential

We understand there isn’t going to be a one-size-fits-all solution for tomorrow’s power customer, which is why we’re focused on multiple solutions made to match our customers’ work, including:

Making established power sources even more efficient and fuel-flexible
Pairing established power sources with new technologies in a hybrid format
Replacing established power sources with stand-alone new technologies
Delivering reman, repair, rebuild, retrofit and repower services

The advanced power solutions we’re employing include:

Renewable fuels, which enable increased use of reduced-carbon options and hydrogen blends
Fuel cells, which use renewable hydrogen fuel as a scalable source of electric power
Electric and hybrid powertrains, which employ an electric drive transmission with power components
Batteries, which power the work with stored electrical energy
Microgrids, which integrate renewable energy sources into electric power systems

Our innovations include a battery-powered, zero-emissions switcher locomotive and underground loader, as well as reciprocating engines and gas turbines that burn hydrogen blends, landfill gas and other biogases.
We are also developing a variety of alternative power solutions to support a lower-carbon future, including battery-powered construction machines.

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OUR APPROACH

• Leverage proven powertrain development

• Differentiate system performance

• Tailor to customer applications

• Expand product offerings

Employ an electric drive transmission �with power components.

Solutions in production �and in development

• Electric drive mobile equipment

• Hybrid systems for equipment that can run �in electric-only mode

• Electric drive mining trucks with a hybrid �power system that combines electric power �via a trolley and diesel engine

• Electric drive with energy storage for �marine applications

ADVANCED POWER

OVERVIEW

Electric & Hybrid Powertrains

Caterpillar: Non-Confidential

Electric and hybrid powertrains employ an electric drive transmission with power components.
We’re leveraging our proven powertrain development experience to differentiate system performance and tailor solutions to various customer applications as we continue to expand our product offerings.
We already have numerous products in the field with electric and hybrid powertrains, including:

Electric drive mobile equipment like our D6 XE dozers and 988K XE wheel loaders — our latest diesel electric drive construction machines. NOTE FOR PRESENTER: A 988K XE case study slide is included in this section.
Hybrid systems for equipment that can run in electric-only mode. NOTE FOR PRESENTER: A 300.9D VPS mini excavator case study slide is included in this section.
Electric drive mining trucks with a hybrid power system that combines electric power via a trolley and diesel engine. NOTE FOR PRESENTER: A 795 mining truck case study slide is included in this section.
Electric drive with energy storage for marine applications.

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ELECTRIC DRIVE EQUIPMENT

• Up to 12% lower maintenance cost

• Up to 35% more fuel efficient

• Up to 50% more productivity �with Cat technology

• Fully integrated for optimized performance

ADVANCED POWER

D6 XE High Drive Dozer

Employ an electric drive transmission �with power components.

Caterpillar: Non-Confidential

https://www.cat.com/en_US/products/new/equipment/dozers/medium-dozers/15969752.html

https://www.caterpillar.com/en/news/caterpillarNews/sustainability/d6xe-sustainability-benefits.html

Caterpillar is committed to providing products, services and solutions that make productive and efficient use of resources and make our customer’s operations more sustainable.
The world’s first high drive Electric Drive dozer, the Cat^® D6 XE, is a great example.

The new Cat D6 XE is the world’s first high drive Electric Drive dozer, offering you the highest level of productivity, fuel efficiency and ease of operation, �along with reduced service/maintenance costs.
The broadest range of technology features in the industry work together seamlessly to help you make the most of your equipment investment.
Up to 35% better fuel efficiency
Use up to 23% less fuel
Electric Drive provides constant power to the ground
Class-leading maneuverability and power gives you more agility and faster cycle times
Unprecedented ease of operation - automatically optimizes for the application with no gears to shift
Designed to reduce service and maintenance cost–up to 12%

Note: All comparisons to 2014-2016 3-speed D6T

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ELECTRIC DRIVE EQUIPMENT

ADVANCED POWER

988K XE Wheel Loader

Caterpillar: Non-Confidential

• Up to 28% less fuel burned

• Up to 25% better efficiency

• Up to 10% more productivity

• Reduced exhaust emissions

Employ an electric drive transmission �with power components.

Caterpillar: Non-Confidential

https://www.cat.com/en_US/products/new/equipment/wheel-loaders/large-wheel-loaders/1000033063.html

Comparisons are vs. 988K without electric drive.

The 988K XE wheel loader is just one example of how we’re pairing reciprocating engines with electric drive in our dozers, loaders, trucks and locomotives to reduce GHG emissions through more efficient fuel burn.
The 988K XE wheel loader combines a Tier 4 Final reciprocating engine with an electric drive powertrain. The machine features a transmission replacement with a high efficiency switched reluctance (SR) electric drive system.
By decoupling engine operation from ground and implement operation, it burns up to 28% less fuel, operates up to 25% more efficiently, achieves up to 10% more productivity in load and carry applications, and reduces maintenance cost up to 10% — all while achieving reduced GHG emissions.

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HYBRID CONSTRUCTION EQUIPMENT

• Runs on diesel or 100% electric power

• Easy switch between modes

• Zero exhaust emissions and low noise in�electric mode

ADVANCED POWER

300.9D VPS Mini Excavator & HPU300

Employ an electric drive transmission �with power components.

Caterpillar: Non-Confidential

https://www.cat.com/en_US/products/new/equipment/excavators/mini-excavators/1000026500.html

The 300.9D VPS with HPU300 features Dual Mode Selection for a choice of diesel or electric power. This innovative machine delivers zero emissions from electrical supply, low noise, superior power and control. Easily change from diesel to electric power. Both indoor and outdoor jobs are accessible with the under 1000 kg (2,205 lb) weight making trailer transportation between sites easy.

This hybrid mini excavator can run on diesel fuel or 100% electric power when connected to a remote hydraulic power unit (HPU300).
Dual Mode Selection makes it easy to switch between diesel or electric power.
Operating in electric mode, the machine delivers zero emissions, low noise, superior power and control.

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TROLLEY ASSIST MINING EQUIPMENT

• Power capable of being supplemented from renewable sources

• Connects to overhead power lines for uphill travel

• Up to 90% fuel savings while on Trolley

• Up to 100% increased speed on grade

ADVANCED POWER

795 Electric Drive Mining Truck with Trolley System

Caterpillar: Non-Confidential

Employ an electric drive transmission �with power components.

Caterpillar: Non-Confidential

https://s7d2.scene7.com/is/content/Caterpillar/CM20190930-c5cca-06524

https://www.cat.com/en_IN/news/machine-press-releases/caterpillar-introduces-trolley-assist-system-for-cat-electric-drive-mining-trucks.html

This mine site wanted to tap into low-cost renewable hydropower-generated electricity, so we provided our 795 electric drive mining truck outfitted with a trolley-assist system.
Truck employs onboard diesel-electric drive system supplemented with a trolley that allows the truck to use external power from a nearby substation on a certain section of the haul road.
The road is fitted with two overhead DC power lines, and a structure on the front of the truck raises up to connect to the overhead electric lines like a trolley.
The truck uses this electric power while it’s traveling uphill, then can switch to its reciprocating diesel engine in areas of the mine where electricity isn’t readily available.

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OUR APPROACH

• Leverage automotive cell technology

• Use a Battery Management System specifically developed for our customers’ applications

• Deliver a modular, scalable product line

• Offer chargers to complement

Power the work with stored electrical energy.

Solutions in production �and in development

• Battery-powered excavators, wheel loaders, �mining machines, etc.

• Land drilling solutions that combine battery �systems with natural gas generators

• Next generation batteries and power inverters �that improve energy density

• Mobile equipment chargers for expanded applications

ADVANCED POWER

OVERVIEW

Batteries

Caterpillar: Non-Confidential

Batteries power the work with stored electrical energy.
We’re leveraging automotive cell technology in our battery solutions and using a Battery Management System specifically developed for our customers’ applications.
Our goal is to deliver a modular, scalable product line with chargers available to complement the batteries.
You’ll find a number of our battery-powered assets at work across industries, including excavators, wheel loaders and mining machines. NOTE FOR PRESENTER: An R1700XE underground mining loader case study slide is included in this section.
Also in production are land drilling solutions that combine battery systems with natural gas generators. NOTE FOR PRESENTER: A Land Drilling Energy Storage System case study slide is included in this section.
We’re currently working on next generation batteries and power inverters that improve energy density, as well as mobile equipment chargers for expanded applications.

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• 100% battery electric powered

• 15 tonnes of payload

• 2.5 hours aggressive run time between charges

• <20-minute charge with two parallel MEC500 chargers

BATTERY-ELECTRIC MINING EQUIPMENT

ADVANCED POWER

R1700XE Underground Loader +

MEC500 Charger

Power the work with �stored electrical energy.

Caterpillar: Non-Confidential

https://www.cat.com/en_US/news/machine-press-releases/with-its-class-leading-productivity-the-new-cat-r1700-xe-underground-battery-electric-lhd-delivers-superior-and-reliable-performance-with-no-engine-heat-or-exhaust-emissions.

https://www.cat.com/en_US/news/machine-press-releases/built-rugged-for-underground-mining-the-new-cat-mec500-mobile-equipment-charger-delivers-fast-simple-and-safer-charging.html

Our first battery-powered electric drive mining machine went to work in underground mine sites in early 2021
An all-electric mine site is in the works but not yet fully operational.
By eliminating engine emissions and associated heat rejection, an all-electric mine could require 40% less ventilation and power, a 23% smaller mine shaft, and achieve 44% less greenhouse gas emissions.

With its class-leading productivity, the new Cat® R1700 XE underground battery-electric LHD delivers superior and reliable performance with no engine heat or exhaust emissions
Featuring fast onboard charging technology, the machine’s batteries can be charged while remaining on the R1700 XE to maximize available run time.
The portable Cat MEC500 Mobile Equipment Charger provides quick charging wherever it’s needed and eliminates the expense of and need for static charging station infrastructure, additional batteries, and battery handling and swapping.
The MEC500 fully charges the R1700 XE in less than 30 minutes using a single charger or in less than 20 minutes using two units.
Liquid cooling allows the loader’s batteries to be cooled while the machine is put back in operation, increasing machine uptime availability.

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BATTERY-ELECTRIC SWITCHER LOCOMOTIVES

• Prototype developed for mine site

• Charged with renewable electricity

• Carbon-neutral in switcher application

ADVANCED POWER

EMD Joule Locomotive

Power the work with �stored electrical energy.

Caterpillar: Non-Confidential

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WORKSITE MICROGRID SOLUTIONS

• Provides operational power for gold mine

• Integrates solar and energy storage with engines to reduce carbon footprint

• Integrated with microgrid master controller

• $1M in fuel cost savings

ADVANCED POWER

Engines + Solar + Energy Storage

Integrate renewable energy sources �into electric power systems.

Caterpillar: Non-Confidential

https://www.cat.com/en_US/by-industry/electric-power/electric-power-industries/microgrids.html

The B2Gold Corporation’s Otjikoto Mine is in central Namibia, where the climate is hot and humid, and reliable power is essential — ideal for employing an integrated hybrid power system that pairs Cat engines with Cat photovoltaic products.
B2Gold began commercial production in early 2015, supported by state-of-the-art Cat mining trucks, excavators, power solutions and other equipment.
A few years later, B2Gold turned to its local Cat dealer, Barloworld, to provide a power solution that would lower fossil fuel consumption while fulfilling its corporate mission to improve sustainability.
Today, the mine runs on power generated by an on-site solar facility designed, built and commissioned by Barloworld, including 62,400 Cat thin-film PVT modules mounted on single-axis trackers, 260 solar inverters, seven 1MW transformers and the Cat Microgrid Master Controller (MMC).
The facility leverages Cat Connect technology for real-time performance data collection that can be monitored and analyzed remotely from anywhere in the world.
16% of the site’s energy demand is covered by solar energy through this microgrid system.
By converting the mine’s power-producing capabilities to solar hybrid, company officials estimate a reduction in heavy fuel oil (HFO) consumption of about 900,000 gallons (3.4 million liters) per year, an annual savings of 14-16% in power generation costs.
The facility’s operational cost savings — including an estimated $1 million in fuel costs — are projected to pay back the investment within four-and-a-half to five years after implementation.

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TROLLEY ASSIST MINING EQUIPMENT

BATTERY-ELECTRIC MINING EQUIPMENT

ADVANCED POWER

Caterpillar: Non-Confidential

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OUR APPROACH

• Develop worksite solutions that pair engines with �solar, energy storage and advanced controls

• Provide grid support and stand-alone solutions

• Key piece of a reduced-carbon site solution

Integrate renewable energy sources �into electric power systems.

Solutions in production �and in development

• High performance, scalable systems from �10 kW to 100 MW

• Municipal, commercial and mine site �solutions installed

ADVANCED POWER

OVERVIEW

Microgrids

Caterpillar: Non-Confidential

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LAND DRILLING ENERGY STORAGE SYSTEMS

• Allows use of available natural gas�vs. trucked-in diesel

• Lowers carbon intensity of operation

• Reduces fuel consumption — $1M�per rig per year for current rig operator

ADVANCED POWER

G3512 Natural Gas Generator + Energy Storage System

Power the work with �stored electrical energy.

Caterpillar: Non-Confidential

https://www.cat.com/en_US/articles/solutions/oil-gas/first-of-Its-kind-hybrid-rig-exceeds-ensigns-expectations.html

https://www.worldoil.com/magazine/2021/march-2021/features/the-next-generation-of-land-drilling-hybrid-powered-rig-combined-with-energy-storage

In land drilling applications, we’re pairing battery systems with natural gas generators instead of traditional diesel engines to reduce costs and emissions.
Here’s an example of our hybrid e-drill rig — which pairs a G3512 gas generator set and Energy Storage System (ESS) with fully integrated controls to power a land drilling operation.
Instead of using four or five diesel generator sets, this solution uses three gas generator sets that run on field gas along with battery microgrid storage and controls, which allow the rig to charge the battery when not running full bore.
By combining gas generator sets with energy storage — to help with the transient requirement — the customer can make use of readily available natural gas instead of trucked-in diesel.
That not only saves on operating costs but also lowers the carbon intensity of the operation.
This particular operation is seeing more than $1 million in fuel savings per rig per year.

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WORKSITE MICROGRID SOLUTIONS

•

ADVANCED POWER

Caterpillar: Non-Confidential

GRID STABILIZATION SOLUTIONS

Caterpillar: Non-Confidential

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OUR APPROACH

• Develop fuel cells powered by renewable �hydrogen for stationary equipment and certain mobile equipment

• Pair fuel cells with another power source in �certain applications

• Application depends on infrastructure at the �worksite and machine/engine work cycle

Use renewable hydrogen fuel as a �scalable source of electric power.

Solutions in production �and in development

• Selected by U.S. Department of Energy to lead research project using fuel cells in data center applications

ADVANCED POWER

OVERVIEW

Fuel Cells

Caterpillar: Non-Confidential

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RENEWABLE HYDROGEN EXPLORATION : Fuel Cell

• Research funding awarded by the �U.S. Department of Energy for a renewable hydrogen fuel cell system for data center power

ADVANCED POWER

Use renewable hydrogen fuel as a �scalable source of electric power.

Caterpillar: Non-Confidential

1.5MW Fuel Cell Demonstration

Caterpillar: Non-Confidential

https://reports.caterpillar.com/sr/energy-fuel-economy-and-emissions/product-innovation-today.php

Several factors are influencing mass hydrogen adoption, but significant investment infrastructure is required.
We have more than 20 years of experience with hydrogen as a fuel source, and many of our products are ready to use hydrogen on a blended basis today and in higher blends in the future.
A wide variety of hydrogen-burning technologies are available today, and we continue to advance our capabilities with targeted R&D and investment opportunity analysis.
We were recently awarded research funding from the U.S. Department of Energy for two hydrogen projects:

1.5MW Hydrogen Fuel Cell System for data center power.
Flexible Natural Gas/Hydrogen Combined Heat & Power (CHP) System for municipal heat and power. NOTE FOR PRESENTER: See slide in Renewable Fuels section.

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RENEWABLE HYDROGEN EXPLORATION

• Research funding awarded by the U.S. Department of Energy* for flexible natural gas and hydrogen combined heat and power (CHP) system project

ADVANCED POWER

Caterpillar: Non-Confidential

Combined Heat & Power Demonstration

• Research funding awarded by the �U.S. Department of Energy* for a renewable hydrogen fuel cell system for data center power

1.5MW Fuel Cell Demonstration

*U.S. Department of Energy’s Office of Energy Efficiency and Renewable Energy (EERE).

Caterpillar: Non-Confidential

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COLLABORATIONS ACCELERATE DEVELOPMENT AND COMMERCIALIZATION

ADVANCED POWER

BHP

Battery-powered mining trucks

Nouveau Monde Graphite

Hydrogen-Fueled Generators

Cat generators capable of operating on 100% hydrogen

Chevron Hydrogen Collaboration

Certarus MOU

Creating collaboration�for a lower carbon future

Exploring hydrogen as alternative fuel; locomotive prototype

Zero-emission mine site�with Cat machines

Rio Tinto

Zero-emissions autonomous �mining trucks

Microsoft Swedish �Data Center

Cat^® standby power capable of running on renewable liquid fuel

Electric Medium Excavator

Zero exhaust emissions excavator developed with Cat^® dealer PON

CarbonPoint Solutions�Acquisition

Creating solutions �for a lower-carbon future

Newmont

Fully connected, automated, zero carbon emitting, end-to-end mining system

Logos are registered trademarks of the companies listed on screen

Microsoft, Ballard

Hydrogen Fuel Cell

Power system incorporating large-format hydrogen fuel cells for data center backup power

Battery-electric locomotives

Union Pacific Railroad

EMD Joule® will be tested in rail yards to identify locomotives’ capabilities and challenge

Caterpillar: Non-Confidential