Simi Valley City Council
November 18, 2024

A2503.SR.MG
C

ITY OF SIMI VALLEY

MEMORANDUM
N
ovember 18, 2024
T
O: City Council
F
ROM: Department of Public Works
S
UBJECT: AUTHORIZE ISSUANCE OF A PURCHASE ORDER TO QUINN COMPANY FOR THE PURCHASE OF ONE REPLACEMENT CAT 420XE

BACKHOE LOADER THROUGH SOURCEWELL COOPERATIVE
AGREEMENT #011723-CAT

STAFF RECOMMENDATION
A
uthorize the City Manager to execute and issue a purchase order for $208,512.04 to Quinn Company for the acquisition of one (1) replacement cat 420XE Backhoe Loader through Sourcewell Cooperative Agreement #011723-CAT.

BACKGROUND AND OVERVIEW
O
n June 3, 2024, the City Council approved the FY 2024-25 budget, which allocated $357,000 for the replacement of Public Works vehicles. Due to age, exceeding its useful life, and requiring frequent repairs with excessive downtime, vehicle #539, a 2008 CAT 420E Tractor Loader with Backhoe, was approved for replacement. Staff received a quote for a new CAT 420XE Backhoe Loader through the Sourcewell Cooperative Agreement #011723-CAT from Quinn Company. Staff recommends the City Council authorize the City Manager to execute and issue a purchase order for the purchase of the replacement vehicle.

FINDINGS AND ALTERNATIVES
S
ourcewell is a cooperative purchasing program that offers contracts to help government, education, and nonprofit organizations buy equipment, technology, office supplies, and other goods. Sourcewell conduct s the requisite bidding as authorized by the City’s Purchasing Ordinance. The City’s Purchasing Ordinance, Section 2-9.201(e), authorizes using the cooperative purchasing method such as Sourcewell, recognizing the efficiency in staff time and the very competitive pricing usually available.

P
ublic Works Street Maintenance vehicle #539 is a 2008 CAT 420E Tractor Loader with Backhoe that has been approved to be replaced in the FY 2024- 25 budget process because it has exceeded its useful life and requires frequent repairs with excessive downtime. Vehicle #539 is to be replaced with a new CAT 420XE Backhoe Loader that will improve operational efficiency for the removal of sidewalks, curb and gutter, asphalt sections, and cleaning of storm drain channels. This equipment is essential for maintaining the City’s sidewalks, streets, and storm drains. On September 11, 2024, AGENDA ITEM NO.

Consent (5)
A2503.SR.MG

Quinn Company of Oxnard provided a quote in the amount of $208,512.04 for the replacement of vehicle number #539 through the Sourcewell agreement. The suggested retail price for a 2024 CAT 420E backhoe loader is $266,564.90. Through the Sourcewell agreement, the City will receive a 22% discount. Sourcewell Contract No. 011723-CAT is valid through April 14, 2027.

Staff recommends that the City Council authorize the City Manager to execute and issue a purchase order to Quinn Company for $208,512.04 to purchase one (1) CAT 420XE Backhoe Loader through Sourcewell Cooperative Agreement #011723- CAT. Sufficient funds are available in the FY2024- 25 vehicle replacement budget to purchase th e replacement vehicle..

The following alternatives are available to the City Council:

1. Authorize the City Manager to execute and issue a purchase order for $208,512.04 to Quinn Company for the acquisition of one (1) replacement CAT 420XE B ackhoe Loader through Sourcewell Cooperative Agreement #011723-CAT;

2. Do not authorize issuance of a purchase order to Quinn Company through Sourcewell Cooperative Agreement #011723-CAT at this time and provide staff further direction.

Staff recommends Alternatives No. 1.

SUGGESTED CITY COUNCIL/BOARD OF DIRECTORS MOTION

I move to authorize the City Manager to execute and issue a purchase order for $208,512.04 to Quinn Company for the acquisition of one (1) replacement CAT 420XE Backhoe Loader through Sourcewell Cooperative Agreement #011723-CAT.

SUMMARY

The Public Works Department solicited a quote from Quinn Company to purchase one (1) replacement vehicle utilizing the Sourcewell Cooperative Agreement #011723-CAT to replace vehicle #539, a 2008 CAT 420E Tractor Loader with Backhoe, with a new CAT 420XE Backhoe Loader in the amount of $208,512.04. This vehicle replacement was approved by the City Council in the FY 2024-25 budget.

________________________________
Ronald K. Fuchiwaki
Public Works Director

Prepared by: Dylan Gunning, Senior Management Analyst

INDEX Page
Attachment A – Quinn Company Quote ........................................... 3 Attachment B – Sourcewell Cooperative Agreement ..................... 19 2 Quote 179612-01

179612-01
Sep 11, 2024

CITY OF SIMI VALLEY

ATTN ACCOUNTS PAYABLE
2929 TAPO CANYON RD
SIMI VALLEY, California 93063
Attention: Ashraf Rostom
Dear,
We would like to thank you for your interest in our company and our products, and are pleased to quote the following for your consideration.

One (1) New Caterpillar Inc. Model: 420XE Backhoe Loader including standard and optional equipment as listed below.

STOCK NUMBER: NS0023197 SERIAL NUMBER: YEAR: SMU:

We wish to thank you for the opportunity of quoting on your equipment needs. This quotation is valid for 7 days, after which time we reserve the right to re-quote. If there are any questions, please do not hesitate to contact me.

Sincerely,
Mike Llamas
Machine Sales Representative
(805) 795-7967
[email protected]

ATTACHMENT A
3 Quote 179612-01

One (1) New Caterpillar Inc. Model: 420XE Backhoe Loader including standard and optional equipment as listed below.

STANDARD EQUIPMENT

BOOMS, STICKS, AND LINKAGES -BACKHOE -- 14'4'' Center pivot backhoe -4.3 Meters -- Boom and swing transport locks -- Pilot operated backhoe and -electro hydraulic stabilizer controls -- Street type stabilizer shoes -- Anti-drift hydraulics (boom, stick, -and E-stick) -- Cat Cushion Swing(tm) system -LOADER -- Single Tilt Loader -- Lift cylinder brace -- Self-leveling loader with single -lever control -- Return-to-dig -(automatic bucket positioner) -- Transmission neutralizer switch -- Bucket level indicator -

POWERTRAIN -- Water separator -- Thermal starting aid system -- Dry type axial seal air cleaner with -integral precleaner -- Automatic dust ejection system -- Filter condition indicator -- Hydraulically boosted multi-plate -wet disk brake with dual pedals & -interlock -- Differential lock -- Torque converter -- Transmission-four speed manual shift -- Neutral safety switch -- Spin-on filters for -Fuel -Engine oil -Transmission oil -- Outboard Planetary Rear Axles -- Diesel particulate filter -- Hydrostatic power steering

HYDRAULICS -- Pilot hoe and mechanical loader -controls -- Load sensing, variable flow system -with 43 gpm (162 L/min) axial piston -pump -- 6 micron hydraulic filter -- Caterpillar XT-3 hose -- Hydraulic oil cooler -- Pilot control shutoff switch -- Flow-sharing hydraulic valves -- Hydraulic suction strainer -

ELECTRICAL -- 12 volt electrical start -- Horn, front and rear -- Backup alarm -- Hazard flashers/turn signals -- Halogen head lights (2) -- Halogen rear flood lights (2) -- Stop and tail lights -- Audible system fault alarm -- Key start/stop system -- 850 CCA maintenance free battery -- Battery disconnect switch -- External Power Receptacle (12v) -- Diagnostic ports for engine and -machine Electronic Control Modules

OPERATOR ENVIRONMENT -- Interior rearview mirror -- ROPS canopy, Rear Fenders -- 2-inch (50mm) retractable seat belt -- Tilt steering column -- Steering knob -- Hand and foot throttle -- Automatic Engine Speed Control -- One Touch Low Idle -- Floor mat and Coat Strap -- Lockable storage area -- Air suspension seat -

FLUIDS -- Antifreeze - Extended Life Coolant --20F (-30C)

OTHER STANDARD EQUIPMENT -- Standard Storage Box -- Transport tie-down points -- Ground line fill fuel tank with -42.3 gal (160L) capacity & 5 gal (19L) -diesel exhaust fluid -- Rubber impact strips on radiator -guard -- CD-ROM Parts Manual -- Safety Manual -- Operations and Maintenance Manual -- Lockable hood -- Tire Valve Stem Protection

4 Quote 179612-01

MACHINE SPECIFICATIONS
420 XE 07A BACKHOE LOADER CFG1 563-5593
LANE 3 ORDER 0P-9003
ENGINE, 82KW, C3.6 DITA, T4F 542-7780
SEAT BELT, 3'' SUSPENSION 206-1748
TIRES, 340 80-18/500 70-24, MX 533-0488
STABILIZER PADS, FLIP-OVER 9R-6007
BUCKET-MP, 1.4 YD3, IT 216-8840
CUTTING EDGE, TWO PIECE,WIDE 9R-5320
BUCKET, HOE, (NONE) 175-7877
INSTRUCTIONS, ANSI 559-0872
SERIALIZED TECHNICAL MEDIA KIT 421-8926
LINES,HYD CPLR 14FT EXT PILOT 555-2396
COUPLER NONE 487-6058
PACK, DOMESTIC TRUCK 0P-0210
SHIPPING/STORAGE PROTECTION 461-6839
RUST PREVENTATIVE APPLICATOR 462-1033
TRIM PACKAGE 3 642-9534
PRODUCT LINK, CELLULAR, PLE643 639-4880
420 LANE 3 ZCON 626-9390
COUPLER, PG, HYDR.D.LOCK, BHL 485-5303
BUCKET-HD, 12'', 2.8 FT3 219-3411
BUCKET-HD, 18'', 4.2 FT3 219-3386
BUCKET-HD, 24'', 6.2 FT3 219-3387
BUCKET-HD, 36'', 10.3 FT3 219-3389
HAMMER, B8S 532-9208
BRACKET, BHL 45-50MM, LG 567-9320
LINES, B6-B8 HAMMER, BHL 570-6298
THUMB, HYDRAULIC, NO TINE, BHL 282-5409
THUMB, TINE, C 3 274-5835

5 Quote 179612-01

WARRANTY & COVERAGE
Standard Warranty: 12 MONTHS FULL MACHINE
Extended Coverage: 72 MO/3000 HR POWERTRAIN + HYDRAULICS + TECH CSA 24 MO / 1,000 HR PARTS ONLY + VISIONLINK CONNECT

SELL PRICE $246,038.83
EXT WARRANTY Included
CSA Included
SOURCEWELL CONTRACT #011723-CAT DISCOUNT 22% ($54,128.54) PREP AND FREIGHT $2,500.00
NET BALANCE DUE $194,410.29
TIRE FEE $7.00
SALES TAX (7.25%) $14,094.75
AFTER TAX BALANCE $208,512.04

Accepted by___________________________________ on ____________________

______________________________
Signature

6 Engine
Engine C3.6 C3.6

74.5 kW (100
hp)
82 kW (110 hp)
Electronic Turbo
Electronic Turbo
Intercooled

Intercooled
Ratings at 2,200 rpm
Gross Power SAE J1995
76 kW
102 hp
84 kW
114 hp
Gross Power ISO 14396
74 kW
100 hp
82 kW
111 hp
Net Power Rating at 2,200 rpm
SAE J1349
68 kW
92 hp
76 kW
103 hp
ISO 9249
68 kW
91 hp
75 kW
102 hp
Net Peak Power Rating at 1,800 rpm
SAE J1349
79 kW
105 hp
82 kW
109 hp
ISO 9249
78 kW
105 hp
82 kW
109 hp
Dimensions
Bore
98 mm

3.86 in
98 mm

3.86 in
Stroke
120 mm

4.72 in
120 mm

4.72 in
Displacement

3.6 L
220 in3 3.6 L 220 in3
Torque Rise (net) at 1,400 rpm 47% 48%
SAE J1349 Net
436 N·m
322 lb-ft
485 N·m
358 lb-ft
Power Rating Conditions
No de-rating required up to
3048 m
10,000 ft
3048 m
10,000 ft
•
Engine meets Tier 4 Final/Stage V emission standards.

Weights*
Operating Weight (estimated) 7834 kg 17,271 lb
Operating Weight (maximum) (Rollover

Protective Structure (ROPS) capacity)
1 1 000 kg 2
4,251 lb
Operating Weight (minimum)
7384 kg
16,279 lb
Cab, ROPS/Falling Object Protective

Structure (FOPS)
145 kg
320 lb
Power-Shift Transmission
STD
STD
Ride Control
15 kg
33 lb
Air Conditioning
45 kg
99 lb
All-Wheel Drive
STD
STD
Multi Purpose (MP) bucket (0.96 m3/1.25 yd3)
with fold-over forks
915 kg
2,017 lb
without fold-over forks
745 kg
1,642 lb
Loader Quick Coupler
245 kg
540 lb
Extendible Stick (excludes ft. counterweight)
270 kg
595 lb
Counterweights, base
115 kg
256 lb
Stackable, one
240 kg
529 lb
Maximum
460 kg
1,014 lb
*
Machine configuration: standard stick hoe, Open Roll Over Protective

Structure (OROPS) canopy, All Wheel Drive (AWD) power shift transmission, 0.96 m3 (1.25 yd3) GP (General Purpose) loader bucket, 610 mm (24 in) standard duty hoe bucket, front 340/80-18 and rear 500/70-24 tires, 240 kg (530 lb) counterweight, 80 kg (176 lb) operator, full fuel tank.

Specifications
The Cat® 420 XE Backhoe Loaders delivers exceptional performance, increased fuel efficiency, superior hydraulic system, versatility and an updated operator station. The 420 XE feature the following:
n Ergonomic Operator Station – Adjustable Seat Mounted Controls improve ergonomics by increasing operator comfort and legroom.

Operators have Loader and Backhoe Controls in the palm of their hands, whether they are facing the Loader, the Backhoe, or sitting off set for better visibility. The new Spring Applied Hydraulically Released (SAHR) Parking Brake is controlled by simply pressing a button. n Load Sensing Hydraulics – The Cat Backhoe Loader’s load sensing piston pump provides full hydraulic lifting and digging forces at any engine speed. Variable flow pump matches hydraulic power to work demands.
n Machine Performance – The Cat C3.6 engine delivers solid performance and meets U.S. EPA Tier 4 Final/EU Stage V emission standards by utilizing Selective Catalytic Reduction technology with a Diesel Oxidation Catalyst. The system allows the operator to disconnect the machine, even while the diesel exhaust fluid is being purged from the system.

n Machine Versatility – The all new Integrated Tool Carrier (IT Coupler) for Single Tilt Loader Arm configurations are available from the factory or for simple field installation. The Cat Backhoe Loader with Integrated Tool Carrier (IT Coupler) will be the most versatile machine on the job site providing quick connection to a variety of Cat Attachments. n Cat Attachments – A large portfolio of Backhoe Loader Attachments, including but not limited to, Quick Couplers (QC), Thumbs, assorted Buckets, and Brooms are available from the factory or for field installation. Cat Backhoe Loaders will be “Dirt Ready” upon delivery. n Powershift Transmission – A Four Speed Powershift Transmission is standard to make shifting gears smooth and as simple as twisting the Powershuttle Lever.
n Lift Performance – The redesigned boom cylinder increases lift performance by 15%.

Cat
®
420 XE
Backhoe Loader
7 Transmission*
Power Shift Transmission – Standard
Forward – 1st

5.9 km/h

3.7 mph
Forward –
2nd

9.4 km/h

5.8 mph
Forward –
3rd
20 km/h
12 mph
Forward –
4th
41 km/h
25 mph
Reverse – 1st

5.9 km/h

3.7 mph
Reverse –
2nd

12.4 km/h

7.7 mph
Reverse –
3rd
27 km/h
17 mph
Power-Shift

Power-Shift
Transmission

Transmission
– Optional
with LTC – Optional
Forward – 1st

5.9 km/h

3.7 mph

5.9 km/h

3.7 mph
Forward –
2nd

9.4 km/h

5.8 mph

9.4 km/h

5.8 mph
Forward –
3rd
12 km/h
8 mph
12 km/h
8 mph
Forward –
4th
20 km/h
12 mph
20 km/h
12 mph
Forward –
5th
27 km/h
17 mph
27 km/h
17 mph
Forward –
5th LTC
—
—
29 km/h
18 mph
Forward –
6th
41 km/h
25 mph
41 km/h
25 mph
Forward –
6th LTC** —
—
40 km/h
25 mph
Reverse – 1st

5.9 km/h

3.7 mph

5.9 km/h

3.7 mph
Reverse –
2nd
12 km/h

7.7 mph
12 km/h

7.7 mph
Reverse –
3rd
27 km/h
17 mph
27 km/h
17 mph
**
Travel speeds of two wheel drive backhoe loader at full throttle, when

equipped with 500/70-24 rear tires.
**
Limited by engine speed to 40 km/h (25 mph).

Axle Ratings
Front Axle, AWD
Static
23 500 kg
51,808 lb
Dynamic
9000 kg
19,841 lb
Rear Axle
Static
26 500 kg
58,422 lb
Dynamic
10 000 kg
22,046 lb
Hydraulic System
Type Closed Center
Pump Type
Variable-flow, Axial Piston
Pump Capacity @ 2,200 rpm
187 L/min

49.4 gal/min
System Pressure
Backhoe
25 000 kPa
3,626 psi
Loader
25 000 kPa
3,626 psi
Steering
Type Front Wheel Steering
Power Steering
Hydrostatic
One Double-Acting Cylinder
Bore
65 mm

2.6 in
Stroke
106 mm

4.2 in
Rod Diameter
40 mm

1.6 in
Axle Oscillation
11°
Turning Circle – (inner wheel not braked)
Outside front wheels

8.205 m
26'11"
Outside widest loader bucket

10.745 m
35'3"
Service Refill Capacities
Cooling System with Air Conditioning 18.0 L 4.8 gal
Fuel Tank
160.0 L

42.3 gal
Engine Oil with Filter

9.0 L

2.4 gal
Diesel Exhaust Fluid (DEF)

19.0 L

5.0 gal
Transmission – Power shuttle
AWD

18.0 L

4.8 gal
Transmission – Power Shift
AWD

19.0 L

5.0 gal
Rear Axle

16.0 L

4.2 gal
Planetaries

1.7 L

0.4 gal
Front Axle (AWD)

11.0 L

2.9 gal
Planetaries

0.7 L

0.2 gal
Hydraulic System

95.0 L

25.1 gal
Hydraulic Tank

42.0 L

11.1 gal
2 420 XE Backhoe Loader
Single Tilt Loader
8 3
420 XE Backhoe Loader
Dimensions
Machine configuration: standard stick hoe, OROPS canopy, AWD power shift transmission, 0.96 m3 (1.25 yd3) GP loader bucket, 610 mm (24 in) standard duty hoe bucket, 340/80-18 and rear 500/70-24 tires, 240 kg (530 lb) counterweight, 80 kg (176 lb) operator, full fuel tank.

Single Tilt Loader with Pin-On Buckets

0.96 m3
(1.25 yd3) GP

1.0 m3
(1.31 yd3) GP

1.07 m3
(1.40 yd3) GP

1.15 m3
(1.50 yd3) GP

1.0 m3
(1.31 yd3) MP

1.07 m3
(1.40 yd3) MP
1 Overall Length (loader on ground) – S-Stick – mm (ft/in) 7132 (23'5") 7087 (23'3") 7153 (23'6") 7153 (23'6") 7060 (23'2") 7060 (23'2") Overall Length (loader on ground) – E-Stick – mm (ft/in) 7138 (23'5") 7093 (23'3") 7158 (23'6") 7158 (23'6") 7066 (23'2") 7066 (23'2") Overall Transport Length – S-Stick – mm (ft/in) 7163 (23'6") 7130 (23'5") 7201 (23'7") 7201 (23'7") 7131 (23'5") 7131 (23'5") Overall Transport Length – E-Stick – mm (ft/in) 7190 (23'7") 7135 (23'5") 7206 (23'8") 7206 (23'8") 7136 (23'5") 7136 (23'5") 2 Overall Transport Height – Standard Stick – mm (ft/in) 3645 (12'0") 3645 (12'0") 3645 (12'0") 3645 (12'0") 3645 (12'0") 3645 (12'0") Overall Transport Height – Extendible Stick – mm (ft/in) 3665 (12'0") 3665 (12'0") 3665 (12'0") 3665 (12'0") 3665 (12'0") 3665 (12'0") Overall Width – mm (ft/in) 2248 (7'5") 2248 (7'5") 2248 (7'5") 2248 (7'5") 2248 (7'5") 2248 (7'5") 3 Height to Top of Cab/Canopy – mm (ft/in) 2815 (9'3") 2815 (9'3") 2815 (9'3") 2815 (9'3") 2815 (9'3") 2815 (9'3") 4 Height to Top of Exhaust Stack – mm (ft/in) 2720 (8'11") 2720 (8'11") 2720 (8'11") 2720 (8'11") 2720 (8'11") 2720 (8'11") Height to Loader Hinge Pin (transport) – mm (ft/in) 378 (1'3") 378 (1'3") 422 (1'5") 422 (1'5") 420 (1'5") 420 (1'5") Ground Clearance (Left Hand [LH] step) – mm (ft/in) 316 (1'0") 316 (1'0") 316 (1'0") 316 (1'0") 316 (1'0") 316 (1'0") Ground Clearance (AWD guard) – mm (ft/in) 312 (1'0") 312 (1'0") 312 (1'0") 312 (1'0") 312 (1'0") 312 (1'0") Ground Clearance (485 kg/1,070 lb counterweight) – mm (ft/in) 289 (0'11") 289 (0'11") 289 (0'11") 289 (0'11") 289 (0'11") 289 (0'11") 5 Rear Axle Centerline to Front Grill – mm (ft/in) 2706 (8'11") 2706 (8'11") 2706 (8'11") 2706 (8'11") 2706 (8'11") 2706 (8'11") Front Wheel Tread Gauge – mm (ft/in) 1895 (6'3") 1895 (6'3") 1895 (6'3") 1895 (6'3") 1895 (6'3") 1895 (6'3") Rear Wheel Tread Gauge – mm (ft/in) 1728 (5'8") 1728 (5'8") 1728 (5'8") 1728 (5'8") 1728 (5'8") 1728 (5'8") 6 Wheelbase – mm (ft/in) 2200 (7'3") 2200 (7'3") 2200 (7'3") 2200 (7'3") 2200 (7'3") 2200 (7'3") Single Tilt Loader with Quick Coupler

0.96 m3
(1.25 yd3) GP

1.0 m3
(1.31 yd3) GP

1.15 m3
(1.50 yd3) GP

1.0 m3
(1.31 yd3) MP

1.07 m3
(1.40 yd3) MP
1 Overall Length (loader on ground) – S-Stick – mm (ft/in) 7314 (24'0") 7269 (23'10") 7311 (24'0") 7221 (23'8") 7221 (23'8") Overall Length (loader on ground) – E-Stick – mm (ft/in) 7319 (24'0") 7275 (23'10") 7316 (24'0") 7226 (23'9") 7226 (23'9") Overall Transport Length – S-Stick – mm (ft/in) 7290 (23'11") 7257 (23'10") 7288 (23'11") 7219 (23'8") 7219 (23'8") Overall Transport Length – E-Stick – mm (ft/in) 7296 (23'11") 7262 (23'10") 7294 (23'11") 7224 (23'8") 7224 (23'8") 2 Overall Transport Height – Standard Stick – mm (ft/in) 3645 (12'0") 3645 (12'0") 3645 (12'0") 3645 (12'0") 3645 (12'0") Overall Transport Height – Extendible Stick – mm (ft/in) 3665 (12'0") 3665 (12'0") 3665 (12'0") 3665 (12'0") 3665 (12'0") Overall Width – mm (ft/in) 2248 (7'5") 2248 (7'5") 2248 (7'5") 2248 (7'5") 2248 (7'5") 3 Height to Top of Cab/Canopy – mm (ft/in) 2815 (9'3") 2815 (9'3") 2815 (9'3") 2815 (9'3") 2815 (9'3") 4 Height to Top of Exhaust Stack – mm (ft/in) 2720 (8'11") 2720 (8'11") 2720 (8'11") 2720 (8'11") 2720 (8'11") Height to Loader Hinge Pin (transport) – mm (ft/in) 345 (1'2") 346 (1'2") 346 (1'2") 344 (1'2") 344 (1'2") Ground Clearance (LH step) – mm (ft/in) 316 (1'0") 316 (1'0") 316 (1'0") 316 (1'0") 316 (1'0") Ground Clearance (AWD guard) – mm (ft/in) 312 (1'0") 312 (1'0") 312 (1'0") 312 (1'0") 312 (1'0") Ground Clearance (485 kg/1,070 lb counterweight) – mm (ft/in) 289 (0'11") 289 (0'11") 289 (0'11") 289 (0'11") 289 (0'11") 5 Rear Axle Centerline to Front Grill – mm (ft/in) 2706 (8'11") 2706 (8'11") 2706 (8'11") 2706 (8'11") 2706 (8'11") Front Wheel Tread Gauge – mm (ft/in) 1895 (6'3") 1895 (6'3") 1895 (6'3") 1895 (6'3") 1895 (6'3") Rear Wheel Tread Gauge – mm (ft/in) 1728 (5'8") 1728 (5'8") 1728 (5'8") 1728 (5'8") 1728 (5'8") 6 Wheelbase – mm (ft/in) 2200 (7'3") 2200 (7'3") 2200 (7'3") 2200 (7'3") 2200 (7'3") 9 4
420 XE Backhoe Loader
Dimensions
Machine configuration: standard stick hoe, OROPS canopy, AWD power shift transmission, 0.96 m3 (1.25 yd3) GP loader bucket, 610 mm (24 in) standard duty hoe bucket, 340/80-18 and rear 500/70-24 tires, 240 kg (530 lb) counterweight, 80 kg (176 lb) operator, full fuel tank.

Loader Bucket Dimensions and Performance
Single Tilt Loader with Pin-On Buckets

0.96 m3
(1.25 yd3) GP

1.0 m3
(1.31 yd3) GP

1.07 m3
(1.40 yd3) GP

1.15 m3
(1.50 yd3) GP

1.0 m3
(1.31 yd3) MP

1.07 m3
(1.40 yd3) MP
Capacity (SAE rated) – m3 (yd3) 0.96 (1.26) 1.00 (1.31) 1.07 (1.40) 1.15 (1.50) 1.00 (1.31) 1.07 (1.40) Overall Bucket Width – mm (in) 2262 (89) 2406 (95) 2262 (89) 2406 (95) 2279 (90) 2425 (95) Lift Capacity at Maximum Height – kg (lb) 3280 (7,230) 3286 (7,245) 3213 (7,084) 3192 (7,038) 3059 (6,745) 3047 (6,717) Lift Breakout Force – N (lbf) 50 179 (11,280) 50 941 (11,452) 49 644 (11,160) 49 467 (11,120) 49 114 (11,041) 49 017 (11,019) Tilt Breakout Force – N (lbf) 49 891 (11,216) 53 037 (11,923) 50 945 (11,452) 50 834 (11,428) 56 242 (12,643) 56 166 (12,626) Tipping Load at Breakout Point – kg (lb) 6663 (14,689) 6821 (15,038) 6562 (14,467) 6545 (14,430) 6699 (14,769) 6690 (14,748) 7 Maximum Hinge Pin Height – mm (ft/in) 3488 (11'5") 3488 (11'5") 3488 (11'5") 3488 (11'5") 3488 (11'5") 3488 (11'5") 8 Dump Angle at Full Height – degrees 44° 44° 44° 44° 44° 44° Dump Height at Maximum Angle – mm (ft/in) 2758 (9'1") 2790 (9'2") 2736 (9'0") 2736 (9'0") 2803 (9'2") 2803 (9'2") 9 Dump Reach at Maximum Angle – mm (ft/in) 807 (2'8") 774 (2'6") 773 (2'6") 773 (2'6") 722 (2'4") 722 (2'4") 10 Maximum Bucket Rollback at Ground Level – degrees 36° 36° 37° 37° 37° 37° 11 Digging Depth – mm (ft/in) 70 (0'3") 70 (0'3") 110 (0'4") 110 (0'4") 97 (0'4") 97 (0'4") Maximum Grading Angle – degrees 113° 114° 114° 114° 116° 116° Width of Dozer Cutting Edge – mm (ft/in) N/A N/A N/A N/A 2262 (7'5") 2406 (7'11") 12 Grill to Bucket Cutting Edge, Carry Position – mm (ft/in) 1480 (4'10") 1447 (4'9") 1518 (5'0") 1517 (5'0") 1447 (4'9") 1447 (4'9") 13 Maximum Operating Height – mm (ft/in) 4356 (14'3") 4354 (14'3") 4366 (14'4") 4397 (14'5") 4378 (14'4") 4407 (14'6") Jaw Opening Maximum – mm (ft/in) N/A N/A N/A N/A 843 (2'9") 843 (2'9") Bucket Jaw Clamping Force – N (lbf) N/A N/A N/A N/A 40 160 (9,028) 40 261 (9,051) Weight (does not include teeth or forks) – kg (lb) 451 (994) 462 (1,019) 473 (1,043) 493 (1,087) 745 (1,642) 774 (1,706) Single Tilt Loader with Quick Coupler

0.96 m3
(1.25 yd3) GP

1.0 m3
(1.31 yd3) GP

1.15 m3
(1.50 yd3) GP

1.0 m3
(1.31 yd3) MP

1.07 m3
(1.40 yd3) MP
Capacity (SAE rated) – m3 (yd3) 0.96 (1.26) 1.00 (1.31) 1.15 (1.50) 1.00 (1.31) 1.07 (1.40) Overall Bucket Width – mm (in) 2262 (89) 2406 (95) 2406 (95) 2279 (90) 2425 (95) Lift Capacity at Maximum Height – kg (lb) 3361 (7410) 3364 (7416) 3328 (7336) 3245 (7153) 3207 (7069) Lift Breakout Force – N (lbf) 51 954 (11,679) 52 665 (11,839) 51 662 (11,614) 51 690 (11,620) 51 431 (11,562) Tilt Breakout Force – N (lbf) 51 516 (11,581) 54 168 (12,177) 51 227 (11,516) 55 471 (12,470) 55 300 (12,431) Tipping Load at Breakout Point – kg (lb) 5883 (12,971) 6007 (13,243) 5858 (12,915) 5982 (13,187) 5957 (13,132) 7 Maximum Hinge Pin Height – mm (ft/in) 3488 (11'5") 3488 (11'5") 3488 (11'5") 3488 (11'5") 3488 (11'5") 8 Dump Angle at Full Height – degrees 44° 44° 44° 44° 44° Dump Height at Maximum Angle – mm (ft/in) 2623 (8'7") 2654 (8'9") 2625 (8'7") 2690 (8'10") 2690 (8'10") 9 Dump Reach at Maximum Angle – mm (ft/in) 887 (2'11") 855 (2'10") 886 (2'11") 832 (2'9") 832 (2'9") 10 Maximum Bucket Rollback at Ground Level – degrees 37° 37° 37° 37° 37° 11 Digging Depth – mm (ft/in) 111 (0'4") 111 (0'4") 110 (0'4") 101 (0'4") 101 (0'4") Maximum Grading Angle – degrees 109° 110° 109° 111° 111° Width of Dozer Cutting Edge – mm (ft/in) N/A N/A N/A 2262 (7'5") 2406 (7'11") 12 Grill to Bucket Cutting Edge, Carry Position – mm (ft/in) 1607 (5'3") 1573 (5'2") 1605 (5'3") 1535 (5'0") 1535 (5'0") 13 Maximum Operating Height – mm (ft/in) 4439 (14'7") 4406 (14'5") 4484 (14'9") 4476 (14'8") 4531 (14'10") Jaw Opening Maximum – mm (ft/in) N/A N/A N/A 843 (2'9") 843 (2'9") Bucket Jaw Clamping Force – N (lbf) N/A N/A N/A 40 185 (9,034) 40 286 (9,056) Weight (does not include teeth or forks) – kg (lb) 447 (985) 457 (1,008) 481 (1,060) 724 (1,596) 753 (1,660) 10 5
420 XE Backhoe Loader
Dimensions
Machine configuration: standard stick hoe, OROPS canopy, AWD power shift transmission, 0.96 m3 (1.25 yd3) GP loader bucket, 610 mm (24 in) standard duty hoe bucket, 340/80-18 and rear 500/70-24 tires, 240 kg (530 lb) counterweight, 80 kg (176 lb) operator, full fuel tank.

Backhoe Dimensions and Performance
Standard Stick E-Stick Retracted E-Stick Extended
14 Digging Depth, SAE (max.) – mm (ft/in) 4278 (14'0") 4319 (14'2") 5372 (17'7") 15 Digging Depth, 2440 mm (8 ft) Flat Bottom – mm (ft/in) 3900 (12'10") 3944 (12'11") 5074 (16'8") Digging Depth, 610 mm (2 ft) Flat Bottom – mm (ft/in) 4240 (13'11") 4280 (14'1") 5335 (17'6") Reach from Rear Axle Centerline at Ground Line – mm (ft/in) 6690 (21'11") 6726 (22'1") 7731 (25'4") 16 Reach from Swing Pivot at Ground Line – mm (ft/in) 5600 (18'4") 5636 (18'6") 6641 (21'9") Maximum Operating Height – mm (ft/in) 5598 (18'4") 5622 (18'5") 6364 (20'11") Loading Height – mm (ft/in) 3709 (12'2") 3666 (12'0") 4237 (13'11") 17 Loading Reach – mm (ft/in) 1845 (6'1") 1932 (6'4") 2850 (9'4") Swing Arc 180° 180° 180°
Bucket Rotation 205° 204° 204°
18 Stabilizer Spread, Operating Position (center) – mm (ft/in) 3310 (10'10") 3310 (10'10") 3310 (10'10") Stabilizer Spread, Operating Position (outside) – mm (ft/in) 3770 (12'4") 3770 (12'4") 3770 (12'4") Stabilizer Spread, Transport Position – mm (ft/in) 2322 (7'7") 2322 (7'7") 2322 (7'7") Bucket Dig Force – N (lbf) 64 193 (14,431) 63 292 (14,229) 63 292 (14,229) Stick Dig Force – N (lbf) 43 529 (9,786) 43 395 (9,756) 31 684 (7,123) Dimensions with Forks/Material Handling Arm
Fork Tine Length 1070 mm (3'6") 1220 mm (4'0") 1370 mm (4'10") Operating Load (SAE J1197) – kg (lb) 2295 (5,060) 2221 (4,897) 2135 (4,708) SAE Load Center – mm (in) 535 (1'9") 610 (2'0") 685 (2'3") Operating Load (CEN 474-4) – kg (lb) 2352 (5,186) 2337 (5,151) 2320 (5,115) CEN Load Center – mm (ft/in) 500 (1'8") 500 (1'8") 500 (1'8") Overall Length (A) (forks on ground) – mm (ft/in) 7648 (25'1") 7798 (25'7") 7948 (26'1") Reach at Ground (from grill to heel of fork) – mm (ft/in) 939 (3'1") 939 (3'1") 938 (3'1") Maximum Reach (from grill to heel of fork) – mm (ft/in) 1524 (5'0") 1524 (5'0") 1524 (5'0") Fork Height at Maximum Reach – mm (ft/in) 1619 (5'4") 1619 (5'4") 1619 (5'4") Reach at Maximum Height (from grill to heel of fork) – mm (ft/in) 749 (2'5") 749 (2'5") 749 (2'5") Maximum Fork Height – mm (ft/in) 3418 (11'3") 3418 (11'3") 3418 (11'3") Maximum Fork Depth (below ground level) – mm (ft/in) –38 (–1'11") –38 (–1'10") –39 (–1'10") Material Handling Arm Position Retracted Mid-Position Extended Operating Load (SAE J1197 and CEN 474-4) – kg (lb)* 1524 (3,360) 1030 (2,271) 758 (1,671) Overall Length, Maximum – mm (ft/in) 8904 (29'3") 9904 (32'6") 10 902 (35'9") Reach at Maximum Depth (from machine nose) – mm (ft/in) 544 (1'9") 550 (1'10") 557 (1'10") Maximum Depth – mm (ft/in) 2618 (8'7") 3618 (11'10") 4616 (15'2") Maximum Reach (from machine nose) – mm (ft/in) 3221 (10'7") 4221 (13'10") 5219 (17'1") Height at Maximum Reach – mm (ft/in) 1118 (3'8") 1124 (3'8") 1130 (3'8") Reach at Maximum Height (from machine nose) – mm (ft/in) 1783 (5'10") 2473 (8'1") 3161 (10'4") Maximum Height – mm (ft/in) 4445 (14'7") 5169 (16'11") 5891 (19'4") *These numbers are hydraulically limited.
11 6
420 XE Backhoe Loader
Cat 420 XE Standard Stick
Boom Lifting kg lb
20 18
16 14
12 10
8 6
4 2
0 –2
–4
–6
–8
–10
–12
–14
–16
ft
6 5
4 3
2 1
0 –1
–2
–3
–4
–5
m
22ft 20 18 16 14 12 10 86420 –2
6m 5 43210 –1
2 1
3 4
5 6
7 8
9 10
11 12
13 14
15 16
17 18
19 20
21 1 1842 4,060

2 2009 4,429

3 2008 4,427

4 1951 4,301

5 1880 4,145

6 1808 3,986

7 1739 3,833

8 1673 3,689

9 1613 3,556
10 1558 3,435
11 1509 3,327
12 1468 3,237
13 1441 3,176
14 1455 3,208
15 1590 3,506
Stick Lifting
16 2170 4,785
17 2642 5,823
18 2933 6,465
19 3069 6,767
20 3626 7,994
21 4441 9,790
Cat 420 XE Extendible Stick – Retracted
Boom Lifting kg lb
20 18
16 14
12 10
8 6
4 2
0 –2
–4
–6
–8
–10
–12
–14
–16
6 5
4 3
2 1
0 –1
–2
–3
–4
–5
22 20 18 16 14 12 10 86420 –2
6 543210 –1
ft m
ft
m
1 2
3 4
5 6
7 8
9 10
11 12
13 14
1015
16 17
18 19
20 21
22 1 1658 3,656

2 1814 3,999

3 1806 3,982

4 1748 3,853

5 1677 3,696

6 1604 3,536

7 1534 3,382

8 1468 3,236

9 1407 3,101
10 1350 2,976
11 1299 2,864
12 1255 2,766
13 1221 2,692
14 1219 2,687
15 1333 2,938
Stick Lifting
16 2019 4,451
17 2467 5,438
18 2729 6,016
19 2854 6,292
20 3359 7,405
21 4057 8,944
22 0 0
Lift capacities are over-end values calculated according to SAE J31. Values are 87% of the maximum lift force available.

Machine equipped with AWD, OROPS, 0.96 m3 (1.25 yd3) general purpose bucket and and 240 kg (530 lb) counterweight.

Extendible stick includes 460 kg (1,015 lb) counterweight.

Backhoe Lift Capacity
12 7
420 XE Backhoe Loader
Cat 420 XE Extendible Stick – Extended
Boom Lifting kg lb
20 18
16 14
12 10
8 6
4 2
0 –2
–4
–6
–8
–10
–12
–14
–16
6 5
4 3
2 1
0 –1
–2
–3
–4
–5
22 20 18 16 14 12 10 86420 –2
6 543210 –1
ft m
ft
m
2 1
3 4
5 6
7 8
9 10
11 12
13 14
15 17
16 18
19 20
21 22
23 24
26 25
27 1 984 2,169

2 1191 2,625

3 1216 2,681

4 1119 2,467

5 1065 2,347

6 1039 2,290

7 1036 2,283

8 1052 2,320

9 1090 2,403
10 1105 2,436
11 1079 2,379
12 1056 2,328
13 1037 2,287
14 1026 2,261
15 1027 2,263
16 1058 2,332
17 1243 2,740
18 1694 3,734
Stick Lifting
19 928 2,046
20 1159 2,555
21 1485 3,273
22 1715 3,782
23 1912 4,216
24 2052 4,525
25 2343 5,165
26 3105 6,845
27 4455 9,821
Lift capacities are over-end values calculated according to SAE J31. Values are 87% of the maximum lift force available.

Machine equipped with AWD, OROPS, 0.96 m3 (1.25 yd3) general purpose bucket and 240 kg (530 lb) counterweight.

Extendible stick includes 460 kg (1,015 lb) counterweight.

Backhoe Lift Capacity
13 8
420 XE Backhoe Loader
Standard Stick Pin-On Bucket Loader QC
Loader Bucket kg lb kg lb
GP 240 530 0 0
MP 0 0 0 0
Forks N/A N/A 0 0
Material Handling Arm N/A N/A 0 0
Extendible Stick Pin-On Bucket Loader QC
Loader Bucket kg lb kg lb
GP 460 1,015 240 530
MP 240 530 0 0
Forks N/A N/A 240 530
Material Handling Arm N/A N/A 240 530
Standard Duty
Width Rated Capacity Weight No. of
Teethmm in L ft 3 kg lb
305 12 80 2.8 111 245 3
457 18 120 4.2 122 268 4
610 24 180 6.4 141 311 5
762 30 230 8.1 157 345 5
914 36 290 10.2 176 388 6
Heavy Duty
Width Rated Capacity Weight No. of
Teethmm in L ft 3 kg lb
305 12 80 2.8 121 266 3
406 16 110 3.9 128 282 3
457 18 120 4.2 135 299 4
610 24 180 6.4 160 353 5
762 30 230 8.1 177 391 5
914 36 290 10.2 201 443 6
Soil Excavation
Width Rated Capacity Weight No. of
Teethmm in L ft 3 kg lb
457 18 180 6.4 155 341 4
610 24 240 8.5 182 402 5
762 30 320 11.3 206 454 5
914 36 380 13.4 233 513 6
Rock
Width Rated Capacity Weight No. of
Teethmm in L ft 3 kg lb
305 12 70 2.5 127 279 3
457 18 130 4.6 146 322 4
610 24 200 7.1 174 384 5
762 30 270 9.5 197 434 5
914 36 330 11.7 224 493 6
Coral
Width Rated Capacity Weight No. of
Teethmm in L ft 3 kg lb
305 12 60 2.1 134 295 4
457 18 100 3.5 155 341 6
610 24 140 4.9 182 402 8
762 30 190 6.7 210 463 10
Counterweights (Minimum Counterweight Recommendations)
Backhoe Buckets (With weld on adapters and pin-on teeth) 14 9
420 XE Environmental Declaration
The following information applies to the machine at the time of final manufacture as configured for sale in the regions covered in this document. The content of this declaration is valid as of the date issued; however, content related to machine features and specifications are subject to change without notice. For additional information, please see the machine’s Operation and Maintenance Manual.

For more information on sustainability in action and our progress, please visit https://www.caterpillar.com/en/company/sustainability.

Engine
• The Ca t ® C3.6 engine meets U.S. EPA Tier 4 Final and EU Stage V emission standards.
•
Ca
t diesel engines are required to use ULSD (ultra-low sulfur diesel fuel with 15 ppm of sulfur or less) or ULSD blended with the following lower-carbon intensity fuels up to:

20% biodiesel F
AME (fatty acid methyl ester)

100% r
enewable diesel, HVO (hydrotreated vegetable oil)
and GTL (gas-to-liquid) fuels
Refer to guidelines for successful application. Please consult your Cat dealer or “Caterpillar Machine Fluids Recommendations” (SEBU6250) for details.

Air Conditioning System
• The air conditioning system on this machine contains the fluorinated greenhouse gas refrigerant R134a (Global Warming Potential = 1430). The system contains 1.6 kg (3.5 lb) of refrigerant which has a CO
2 equivalent of 2.3 metric tonnes (2.5 tons).

Paint
• Based on best a vailable knowledge, the maximum allowable concentration, measured in parts per million (PPM), of the following heavy metals in paint are:
– Barium < 0.01%
– Cadmium < 0.01%
– Chromium < 0.01%
– Lead < 0.01%
Sound Performance
Operator Sound Pressure Level (ISO 6396:2008) – 76 dB(A)* Exterior Sound Power Level (ISO 6395:2008) – 101 dB(A)
*
Measur
ements were conducted with properly installed and
maintained cab doors and windows closed.

Oils and Fluids
• Ca terpillar factory fills with ethylene glycol coolants. Cat Diesel Engine Antifreeze/Coolant (DEAC) and Cat Extended Life
Coolant (ELC) can be recycled. Consult your Cat dealer for more information.
•
Ca
t Bio HYDO™ Advanced is an EU Ecolabel approved
biodegradable hydraulic oil.
•
Ad
ditional fluids are likely to be present, please consult the Operations and Maintenance Manual or the Application and Installation guide for complete fluid recommendations and maintenance intervals.

Features and Technology
• The f ollowing features and technology may contribute to fuel savings and/or carbon reduction. Features may vary.

Consult your Cat dealer for details.
–
Sa
ve fuel and reduce your greenhouse gas emissions with
efficiency features such as operator control modes selectable through the display and with fuel management modes.
–
Extended maintenance interv
als not only reduce downtime
but decrease the amount of fluid and filters that are replaced over the life of the machine.
–
A
uto Idle helps reduce unnecessary fuel burn and greenhouse gas emissions by allowing the engine to automatically go into idle mode when the machine is not working.

Recycling
• The ma terials included in machines are categorized as below with approximate weight percentage. Because of variations of product configurations, the following values in the table may vary.

Material Type Weight Percentage
Steel 60.51%
Iron 16.77%
Nonferrous Metal 3.29%
Mixed Metal 0.63%
Mixed-Metal and Nonmetal 1.03%
Plastic 2.13%
Rubber 3.01%
Mixed Nonmetallic 0.03%
Fluid 4.17%
Other 6.33%
Uncategorized 2.10%
Total 100.00%
•
A machine with higher r
ecyclability rate will ensure more efficient
usage of valuable natural resources and enhance End-of-Life value of the product. According to ISO 16714:2008 (Earthmoving machinery – Recyclability and recoverability – Terminology and calculation method), recyclability rate is defined as percentage by mass (mass fraction in percent) of the new machine potentially able to be recycled, reused, or both.

All parts in the bill of material are first evaluated by component type based on a list of components defined by the ISO 16714:2008 and Japan CEMA (Construction Equipment Manufacturers
Association) standards. Remaining parts are further evaluated for recyclability based on material type.

Because of variations of product configurations, the following value in the table may vary.

Recyclability – 92%
15 10
420 XE Backhoe Loader

STANDARD EQUIPMENT
n Adjustable auxiliary controls, backhoe loader
n Air cleaner
n Alarm, back-up
n Audible system fault alarm
n Automatic Engine Speed Control (AESC)
n Battery, maintenance-free, 850 CCA
n Battery disconnect switch
n Boom transport lock
n Brace, lift cylinder
n Brake, parking, Spring Applied Hydraulically
Released (SAHR)
n Brakes, hydraulically boosted, oil disc,
dual pedals, interlocking
n Bucket level indicator
n Canopy, ROPS/FOPS
n Cat cushion swing system
n Coat restraint
n Coolant/antifreeze, extended life
n Dome light (cab only)
n Diagnostic port for engine, machine and
gauge cluster Electronic Control Modules
n Differential lock, loader joystick
n Drink holders, two
n Engine, Cat C3.6 (Direct Injection
Turbocharged), meets Tier 4 Final/Stage V
emission standards, Selective Catalytic
Reduction, Diesel Oxidation Catalyst (DOC)
n Engine enclosure, sound suppression,
removable side panels
n Face seals, O-ring
n Fan, suction and guard
n Fast reversing shuttle, all gears
n Fenders, rear
n Filters, spin-on: fuel, engine oil, transmission
oil, water separator
n Filters, bowl and cartridge: hydraulic fluid
n Flashing hazards/signal lights
n Floor mat
n Four wheel drive
n Four wheel drive shaft guard
n Fuel tank, fully enclosed
n Fully hinged front grill for cooling package
cleaning access
n Gauge cluster: coolant temperature, fuel
level, torque converter temperature, DEF level
n Ground level fuel fill and DEF fill
n Halogen lights, working (2 front, 2 rear)
n High ambient cooling package
n Hood lock, inside cab
n Hydraulic Lock Out, loader, backhoe,
auxiliary hydraulics
n Hydraulic hose, XT™
n Hydraulic oil cooler
n Hydraulic oil level sight gauge
n Hydraulic valves, loader 2 function
n Hydraulic valves, backhoe 4 function
n Hydraulics, load sensing with variable
displacement piston pump
n Indicator lights: wait to start, water
in fuel, engine warning, warning lamp,
emissions module malfunction, low battery/
charging system warning, high hydraulic
oil temperature: LCD warnings: engine oil
pressure, machine locked, service due, air
filter blocked, high coolant temperature,
auto idle shutdown, high torque converter
temperature, hydraulic filter bypass
n Instrument panel lights
n Key start/stop system
n LCD operator display with soft key controls:
engine speed, hour meter, gear/direction,
battery voltage, hydraulic oil temperature,
torque converter temperature, coolant
temperature, trip totals (fuel and hours),
lifetime totals (fuel and hours), operator
settings (units, brightness, programmable
hoe auxiliary flow), service mode diagnostics,
maintenance intervals, Electronic Control
Module (ECM)/system info
n Loader, Electro Hydraulic (EH) Parallel Lift
n Loader, Programmable Kick Out
n Loader, Programmable Return To Dig
n Loader, single tilt
n Mirror, interior, rearview
n One-touch low idle
n Open circuit breather
n Pattern changer, in cab
n Power receptacle, 12 volt, 2 internal,
1 external
n Power receptacle, 5 volt USB, 1 internal
n Power steering, hydrostatic
n Product Link™, satellite, network manager
n Product Link, cellular, network manager
n Seat belt, retractable, 51 mm (2 in)
n Seat mounted joystick controls: backhoe
and loader, EH operated, excavator style
with pattern changer
n Socket, two roof
n Stabilizers, EH Control, Auto-UP
n Stabilizer shoes, street
n Steering knob
n Seat, air suspension, vinyl cover, with armrest
n Starting system, glow plugs
n Steering column, tilting, telescopic
n Storage compartment, lockable
n Storage tray
n Stop and tail lights
n Swing transport lock
n Tires
n Toolbox, external, lockable
n Torque converter
n Throttle, hand and foot, electronic
n Transmission, 4 speed, powershift
n Transmission neutralizer switch
n Transport tie-downs
n Vandalism locks, four
n Warning horn, electric
16 11
420 XE Backhoe Loader

OPTIONAL EQUIPMENT
n Auxiliary hydraulics, loader, adjustable flow
n Auxiliary hydraulics, rear, adjustable flow
n Battery, additional, 850 CCA
n Cab, deluxe
n Cold weather fuel (–30° C/–22° F)
n Cold weather package, including additional
battery, engine block heater, radiator
antifreeze, cold weather fuel (–30° C/–22° F)
and mounting for an ether bottle
n Counterweights, 115 kg (255 lb), 240 kg
(530 lb) or 460 kg (1,015 lb)
n Fenders, front with integral steps
n Guard, boom protection plate
n Guard, stabilizer, rock
n Hydraulic valves, loader with
auxiliary roller thumb control
(3rd valve for MP or Quick Coupler)
n Hydraulic valves, backhoe (5th and
6th function)
n Hydraulic lines, combined function auxiliary
n LED lights, working (2 front, 2 rear)
n Quick Coupler, hydraulic, dual lock
n Quick Coupler, manual, dual lock
n Quick Coupler, manual, pin lock
n Radio and CD player, Bluetooth®
n Ride Control
n Rotating beacon, magnetic mount
n Seat, air suspension, fabric with armrest
n Seat, air suspension, fabric with armrest,
heated
n Seat belt, retractable, 75 mm (3 in)
n Security system, Bluetooth
n Security system, operator display
n Side mirrors, cab, external
n Single Tilt Loader Coupler, Integrated Tool
Carrier (IT) Interface
n Stabilizer pads, reversible
n Stick, extendible
n Touch screen LCD Display: engine speed,
hour meter, gear/direction, battery voltage,
hydraulic oil temperature, torque converter
temperature, coolant temperature, trip totals
(fuel and hours), lifetime totals (fuel and
hours), operator settings (units, brightness,
programmable hoe auxiliary flow), service
mode diagnostics, maintenance intervals,
ECM/system info
n Transmission, AutoShift with lock-up torque
converter, 6 speed
n Vandalism protection, gauge cover
n Work Tool Attachments such as buckets,
forks, material handling arms, augers,
hammers, brooms, cold planers and vibratory
plate compactors. See your Cat dealer for
more information.
17 420 XE Backhoe Loader
AEHQ8244-03 (03-2024)
Replaces AEHQ8244-02
Build Number: 07A
(North America)
For more complete information on Cat products, dealer services, and industry solutions, visit us on the web at www.cat.com
© 2024 Caterpillar

All rights reserved
Materials and specifications are subject to change without notice. Featured machines in

photos may include
additional equipment. See your Cat dealer for available options.

CAT, CATERPILLAR, LET’S DO THE WORK, their respective logos, “Caterpillar Corporate Yellow,” the “Power Edge” and Cat “Modern Hex” trade dress as well as corporate and product identity used herein, are trademarks of Caterpillar and may not be used without permission. 18 Rev. 3/2022 1
Caterpillar: Confidential Green
Solicitation Number: RFP # 011723

CONTRACT
This Contract is between Sourcewell, 202 12th Street Northeast, P.O. Box 219, Staples, MN 56479 (Sourcewell) and Caterpillar Inc., 100 NE Adams Street, Peoria, IL 61629 (Supplier).

Sourcewell is a State of Minnesota local government unit and service cooperative created under the laws of the State of Minnesota (Minnesota Statutes Section 123A.21) that offers cooperative procurement solutions to government entities. Participation is open to eligible federal, state/province, and municipal governmental entities, higher education, K-12 education, nonprofit, tribal government, and other public entities located in the United States and Canada.

Sourcewell issued a public solicitation for Heavy Construction Equipment with Related Attachments and Technology from which Supplier was awarded a contract.

Supplier desires to contract with Sourcewell to provide equipment, products, or services to Sourcewell and the entities that access Sourcewell’s cooperative purchasing contracts (Participating Entities).

1. TERM OF CONTRACT
A. EFFECTIVE DATE. This Contract is effective upon the date of the final signature below.

B. EXPIRATION DATE AND EXTENSION. This Contract expires April 14, 2027, unless it is cancelled sooner pursuant to Article 22. This Contract may be extended one additional year upon the request of Sourcewell and written agreement by Supplier.

C. SURVIVAL OF TERMS. Notwithstanding any expiration or termination of this Contract, all payment obligations incurred prior to expiration or termination will survive, as will the following: Articles 11 through 14 survive the expiration or cancellation of this Contract. All other rights will cease upon expiration or termination of this Contract.

2. EQUIPMENT, PRODUCTS, OR SERVICES
A. EQUIPMENT, PRODUCTS, OR SERVICES. Supplier will provide the Equipment, Products, or Services as stated in its Proposal submitted under the Solicitation Number listed above.

Supplier’s Equipment, Products, or Services Proposal (Proposal) is attached and incorporated into this Contract.







   
  











 




ATTACHMENT B
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Pursuant to Section 10(b), Supplier will subcontract certain obligations under this Contract to its dealers. Only those dealers that sign a Participation Agreement with Supplier obligating them to comply with the terms of this Contract will be eligible to provide Equipment, Products, or Services as a subcontractor under this Contract. In the event there is no dealer who has entered into a Participation Agreement available to provide Equipment, Products, or Services to a Participating Entity, Supplier will be under no obligation to provide Equipment, Products, or Services to such Participating Entity under this Contract. Supplier will provide a copy of this Contract to its dealers that would normally service Participating Entities and invite such dealers to enter into a Participation Agreement as a subcontractor of Supplier under the terms of this Contract.

All Equipment and Products provided under this Contract must be new and the current model.

Supplier may offer close-out or refurbished Equipment or Products if they are clearly indicated in Supplier’s product and pricing list. Unless agreed to by the Participating Entities in advance, Equipment or Products must be delivered as operational to the Participating Entity’s site.

This Contract offers an indefinite quantity of sales, and while substantial volume is anticipated, sales and sales volume are not guaranteed.

B. WARRANTY. Supplier warrants that all Equipment, Products, and Services furnished are free from liens and encumbrances, and are free from defects in design, materials, and workmanship.

In addition, Supplier warrants the Equipment, Products, and Services are suitable for and will perform in accordance with the ordinary use for which they are intended. Supplier’s dealers and distributors must agree to assist the Participating Entity in reaching a resolution in any dispute over warranty terms with the manufacturer. Any manufacturer’s warranty that extends beyond the expiration of the Supplier’s warranty will be passed on to the Participating Entity.

C. DEALERS, DISTRIBUTORS, AND/OR RESELLERS. Upon Contract execution and throughout the Contract term, Supplier must provide to Sourcewell a current means to validate or authenticate Supplier’s authorized dealers, distributors, or resellers relative to the Equipment, Products, and Services offered under this Contract, which will be incorporated into this Contract by reference. It is the Supplier’s responsibility to ensure Sourcewell receives the most current information.

3. PRICING
All Equipment, Products, or Services under this Contract will be priced at or below the percentage list discount stated in the supplier’s proposal.

Upon request made to a participating CAT dealer, from a Participating Entity identifying themselves as a Sourcewell member by providing their Sourcewell member number and contract number; formal quotes will list all costs, including all delivery expenses, such as freight and permits (when required).







   
  











 



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Alternatively, Participating Entities may choose to make their own transportation arrangements. In such case, there would be no delivery charges from the local participating Cat dealer.

Regardless of the payment method chosen by the Participating Entity, the total cost associated with any purchase option of the Equipment, Products, or Services must always be disclosed in the pricing quote to the applicable Participating Entity at the time of purchase.

A. SHIPPING AND SHIPPING COSTS. All delivered Equipment and Products must be properly packaged. Damaged Equipment and Products may be rejected. If the damage is not readily apparent at the time of delivery, Supplier must permit the Equipment and Products to be returned within a reasonable time at no cost to Sourcewell or its Participating Entities.

Participating Entities reserve the right to inspect the Equipment and Products at a reasonable time after delivery where circumstances or conditions prevent effective inspection of the Equipment and Products at the time of delivery. In the event of the delivery of nonconforming Equipment and Products, the Participating Entity will notify the Supplier as soon as possible and the Supplier will replace nonconforming Equipment and Products with conforming Equipment and Products that are acceptable to the Participating Entity.

Supplier must arrange for and pay for the return shipment on Equipment and Products that arrive in a defective or inoperable condition.

Sourcewell may declare the Supplier in breach of this Contract if the Supplier intentionally delivers substandard or inferior Equipment or Products.

B. SALES TAX. Each Participating Entity is responsible for supplying the Supplier with valid tax- exemption certification(s). When ordering, a Participating Entity must indicate if it is a tax- exempt entity.

C. HOT LIST PRICING. At any time during this Contract, Supplier may offer a specific selection of Equipment, Products, or Services at discounts greater than those listed in the Contract.

When Supplier determines it will offer Hot List Pricing, it must be submitted electronically to Sourcewell in a line-item format. Equipment, Products, or Services may be added or removed from the Hot List at any time through a Sourcewell Price and Product Change Form as defined in Article 4 below.

Hot List program and pricing may also be used to discount and liquidate close-out and discontinued Equipment and Products as long as those close-out and discontinued items are clearly identified as such. Current ordering process and administrative fees apply. Hot List Pricing must be published and made available to all Participating Entities. 






   
  











 



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4. PRODUCT AND PRICING CHANGE REQUESTS
Supplier may request Equipment, Product, or Service changes, additions, or deletions at any time. All requests must be made in writing by submitting a signed Sourcewell Price and Product Change Request Form to the assigned Sourcewell Supplier Development Administrator. This approved form is available from the assigned Sourcewell Supplier Development Administrator.

At a minimum, the request must:
x Identify the applicable Sourcewell contract number;
x Clearly specify the requested change;
x Provide sufficient detail to justify the requested change; x Individually list all Equipment, Products, or Services affected by the requested change, along with the requested change (e.g., addition, deletion, price change); and x Include a complete restatement of pricing documentation in Microsoft Excel with the effective date of the modified pricing, or product addition or deletion. The new pricing restatement must include all Equipment, Products, and Services offered, even for those items where pricing remains unchanged.

A fully executed Sourcewell Price and Product Request Form will become an amendment to this Contract and will be incorporated by reference.

5. PARTICIPATION, CONTRACT ACCESS, AND PARTICIPATING ENTITY REQUIREMENTS A. PARTICIPATION. Sourcewell’s cooperative contracts are available and open to public and nonprofit entities across the United States and Canada; such as federal, state/province, municipal, K-12 and higher education, tribal government, and other public entities. Supplier may not enter into a contract with a U.S. Federal Government entity prior to obtaining necessary internal approvals and shall not be obligated to provide Equipment, Products or Services to any U.S. Federal Government entity under this Contract unless separately agreed in writing. Caterpillar may work with such parties and may agree to provide equipment or services under the Contract on a case-by-case basis.

The benefits of this Contract should be available to all Participating Entities that can legally access the Equipment, Products, or Services under this Contract. A Participating Entity’s authority to access this Contract is determined through its cooperative purchasing, interlocal, or joint powers laws. Any entity accessing benefits of this Contract will be considered a Service Member of Sourcewell during such time of access. Supplier understands that a Participating Entity’s use of this Contract is at the Participating Entity’s sole convenience and Participating Entities reserve the right to obtain like Equipment, Products, or Services from any other source.

Supplier is responsible for familiarizing its sales and service forces with Sourcewell contract use eligibility requirements and documentation and will encourage potential participating entities 






   
  











 



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to join Sourcewell. Sourcewell reserves the right to add and remove Participating Entities to its roster during the term of this Contract.

B. PUBLIC FACILITIES. Supplier’s employees may be required to perform work at government- owned facilities, including schools. Supplier’s employees and agents must conduct themselves in a professional manner while on the premises, and in accordance with Participating Entity policies and procedures, and all applicable laws.

6. PARTICIPATING ENTITY USE AND PURCHASING
A. ORDERS AND PAYMENT. To access the contracted Equipment, Products, or Services under this Contract, a Participating Entity must clearly indicate to Supplier that it intends to access this Contract; however, order flow and procedure will be developed jointly between Sourcewell and Supplier. Typically, a Participating Entity will issue an order directly to Participating Dealers with payments made to the Participating Dealers. If a Participating Entity issues a purchase order, it may use its own forms, but the purchase order should clearly note the applicable Sourcewell contract number. All Participating Entity orders under this Contract must be issued prior to expiration or cancellation of this Contract; however, Supplier performance, Participating Entity payment obligations, and any applicable warranty periods or other Supplier or Participating Entity obligations may extend beyond the term of this Contract.

Supplier’s acceptable forms of payment are included in its attached Proposal. Participating Entities will be solely responsible for payment and Sourcewell will have no liability for any unpaid invoice of any Participating Entity.

B. ADDITIONAL TERMS AND CONDITIONS/PARTICIPATING ADDENDUM. Additional terms and conditions to a purchase order, or other required transaction documentation, may be negotiated between a Participating Entity and Supplier’s Participating Dealer, such as job or industry-specific requirements, legal requirements (e.g., affirmative action or immigration status requirements), or specific local policy requirements. Some Participating Entities may require the use of a Participating Addendum, the terms of which will be negotiated directly between the Participating Entity and Supplier’s Participating Dealer or its authorized dealers, distributors, or resellers, as applicable. Any negotiated additional terms and conditions must never be less favorable to the Participating Entity than what is contained in this Contract.

C. SPECIALIZED SERVICE REQUIREMENTS. In the event that the Participating Entity requires service or specialized performance requirements not addressed in this Contract (such as e- commerce specifications, specialized delivery requirements, or other specifications and requirements), the Participating Entity and the Supplier may enter into a separate, standalone agreement, apart from this Contract. Sourcewell, including its agents and employees, will not be made a party to a claim for breach of such agreement. 






   
  











 



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D. TERMINATION OF ORDERS. Participating Entities may terminate an order, in whole or in part, immediately upon notice to Supplier in the event of any of the following events:

1. The Participating Entity fails to receive funding or appropriation from its governing body at levels sufficient to pay for the equipment, products, or services to be purchased; or

2. Federal, state, or provincial laws or regulations prohibit the purchase or change the Participating Entity’s requirements.

E. GOVERNING LAW AND VENUE. The governing law and venue for any action related to a Participating Entity’s order will be determined by the Participating Entity making the purchase.

7. CUSTOMER SERVICE
A. PRIMARY ACCOUNT REPRESENTATIVE. Supplier will assign an Account Representative to Sourcewell for this Contract and must provide prompt notice to Sourcewell if that person is changed. The Account Representative will be responsible for:
x Maintenance and management of this Contract;
x Timely response to all Sourcewell and Participating Entity inquiries; and x Business reviews to Sourcewell and Participating Entities, if applicable.

B. BUSINESS REVIEWS. Supplier must perform a minimum of one business review with Sourcewell per contract year. The business review will cover sales to Participating Entities, pricing and contract terms, administrative fees, sales data reports, performance issues, supply issues, customer issues, and any other necessary information.

8. REPORT ON CONTRACT SALES ACTIVITY AND ADMINISTRATIVE FEE PAYMENT A. CONTRACT SALES ACTIVITY REPORT. Each calendar quarter, Supplier must provide a contract sales activity report (Report) to the Sourcewell Supplier Development Administrator assigned to this Contract. Reports are due no later than 45 days after the end of each calendar quarter. A Report must be provided regardless of the number or amount of sales during that quarter (i.e., if there are no sales, Supplier must submit a report indicating no sales were made).

The Report must contain the following fields:
x Participating Entity Name (e.g., City of Staples Highway Department); x Participating Entity Physical Street Address;
x Participating Entity City;
x Participating Entity State/Province;
x Participating Entity Zip/Postal Code;







   
  











 



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x Participating Entity Contact Name;
x Participating Entity Contact Email Address;
x Participating Entity Contact Telephone Number;
x Sourcewell Assigned Entity/Participating Entity Number; x Item Purchased Description;
x Item Purchased Price;
x Sourcewell Administrative Fee Applied; and
x Date Purchase was invoiced/sale was recognized as revenue by Supplier.

B. ADMINISTRATIVE FEE. In consideration for the support and services provided by Sourcewell, the Supplier will pay an administrative fee to Sourcewell on all Equipment, Products, and Services provided to Participating Entities. The Administrative Fee must be included in, and not added to, the pricing. Supplier may not charge Participating Entities more than the contracted price to offset the Administrative Fee.

The Supplier will submit payment to Sourcewell for the percentage of administrative fee stated in the Proposal multiplied by the total sales of all Equipment, Products, and Services purchased by Participating Entities under this Contract during each calendar quarter. Payments should note the Supplier’s name and Sourcewell-assigned contract number in the memo; and must be mailed to the address above “Attn: Accounts Receivable” or remitted electronically to Sourcewell’s banking institution per Sourcewell’s Finance department instructions. Payments must be received no later than 45 calendar days after the end of each calendar quarter.

Supplier agrees to cooperate with Sourcewell in auditing transactions under this Contract to ensure that the administrative fee is paid on all items purchased under this Contract.

In the event the Supplier is delinquent in any undisputed administrative fees, Sourcewell reserves the right to cancel this Contract and reject any proposal submitted by the Supplier in any subsequent solicitation. In the event this Contract is cancelled by either party prior to the Contract’s expiration date, the administrative fee payment will be due no more than 30 days from the cancellation date.

9. AUTHORIZED REPRESENTATIVE
Sourcewell's Authorized Representative is its Chief Procurement Officer.

Supplier’s Authorized Representative is the person named in the Supplier’s Proposal. If Supplier’s Authorized Representative changes at any time during this Contract, Supplier must promptly notify Sourcewell in writing.







   
  











 



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10. AUDIT, ASSIGNMENT, AMENDMENTS, WAIVER, AND CONTRACT COMPLETE A. AUDIT. Pursuant to Minnesota Statutes Section 16C.05, subdivision 5, the books, records, documents, and accounting procedures and practices relevant to this Contract are subject to examination by Sourcewell or the Minnesota State Auditor for a minimum of six years from the end of this Contract. This clause extends to Participating Entities as it relates to business conducted by that Participating Entity under this Contract.

B. ASSIGNMENT. Neither party may assign or otherwise transfer its rights or obligations under this Contract without the prior written consent of the other party and a fully executed assignment agreement. Such consent will not be unreasonably withheld. Any prohibited assignment will be invalid. Provided, however, that Supplier is permitted to subcontract certain of its rights and obligations to Supplier Participating Dealers for performance without Sourcewell’s prior written consent.

C. AMENDMENTS. Any amendment to this Contract must be in writing and will not be effective until it has been duly executed by the parties.

D. WAIVER. Failure by either party to take action or assert any right under this Contract will not be deemed a waiver of such right in the event of the continuation or repetition of the circumstances giving rise to such right. Any such waiver must be in writing and signed by the parties.

E. CONTRACT COMPLETE. This Contract represents the complete agreement between the parties. No other understanding regarding this Contract, whether written or oral, may be used to bind either party. For any conflict between the attached Proposal and the terms set out in Articles 1-22 of this Contract, the terms of Articles 1-22 will govern.

F. RELATIONSHIP OF THE PARTIES. The relationship of the parties is one of independent contractors, each free to exercise judgment and discretion with regard to the conduct of their respective businesses. This Contract does not create a partnership, joint venture, or any other relationship such as master-servant, or principal-agent.

11. INDEMNITY AND HOLD HARMLESS
Intentionally omitted.

12. GOVERNMENT DATA PRACTICES
Supplier and Sourcewell must comply with the Minnesota Government Data Practices Act, Minnesota Statutes Chapter 13, as it applies to all data provided by or provided to Sourcewell 






   
  











 



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under this Contract and as it applies to all data created, collected, received, maintained, or disseminated by the Supplier under this Contract.

13. INTELLECTUAL PROPERTY, PUBLICITY, MARKETING, AND ENDORSEMENT A. Intentionally Deleted.

B. PUBLICITY. Any publicity regarding the subject matter of this Contract must not be released without prior written approval from the Authorized Representatives. Publicity includes notices, informational pamphlets, press releases, research, reports, signs, and similar public notices prepared by or for the Supplier individually or jointly with others, or any subcontractors, with respect to the program, publications, or services provided resulting from this Contract.

C. MARKETING. Any direct advertising, marketing, or offers with Participating Entities must be approved by Sourcewell. Send all approval requests to the Sourcewell Supplier Development Administrator assigned to this Contract.

D. ENDORSEMENT. The Supplier must not claim that Sourcewell endorses its Equipment, Products, or Services.

14. GOVERNING LAW, JURISDICTION, AND VENUE
The substantive and procedural laws of the State of Minnesota will govern this Contract. Venue for all legal proceedings arising out of this Contract, or its breach, must be in the appropriate state court in Todd County, Minnesota or federal court in Fergus Falls, Minnesota.

15. FORCE MAJEURE
Neither party to this Contract will be held responsible for delay or default caused by acts of God or other conditions that are beyond that party’s reasonable control. A party defaulting under this provision must provide the other party prompt written notice of the default.

16. SEVERABILITY
If any provision of this Contract is found by a court of competent jurisdiction to be illegal, unenforceable, or void then both parties will be relieved from all obligations arising from that provision. If the remainder of this Contract is capable of being performed, it will not be affected by such determination or finding and must be fully performed.

17. PERFORMANCE, DEFAULT, AND REMEDIES
A. PERFORMANCE. During the term of this Contract, the parties will monitor performance and address unresolved contract issues as follows:







   
  











 



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1. Notification. The parties must promptly notify each other of any known dispute and work in good faith to resolve such dispute within a reasonable period of time. If necessary, Sourcewell and the Supplier will jointly develop a short briefing document that describes the issue(s), relevant impact, and positions of both parties.

2. Escalation. If parties are unable to resolve the issue in a timely manner, as specified above, either Sourcewell or Supplier may escalate the resolution of the issue to a higher level of management. The Supplier will have 30 calendar days to cure an outstanding issue.

3. Performance while Dispute is Pending. Notwithstanding the existence of a dispute, the Supplier must continue without delay to carry out all of its responsibilities under the Contract that are not affected by the dispute. If the Supplier fails to continue without delay to perform its responsibilities under the Contract, in the accomplishment of all undisputed work, the Supplier will bear any additional costs incurred by Sourcewell and/or its Participating Entities as a result of such failure to proceed.

B. DEFAULT AND REMEDIES. Either of the following constitutes cause to declare this Contract, or any Participating Entity order under this Contract, in default:

1. Nonperformance of contractual requirements, or

2. A material breach of any term or condition of this Contract.

The party claiming default must provide written notice of the default, with 30 calendar days to cure the default. Time allowed for cure will not diminish or eliminate any liability for liquidated or other damages. If the default remains after the opportunity for cure, the non-defaulting party may:
x Exercise any remedy provided by law or equity, or
x Terminate the Contract or any portion thereof, including any orders issued against the Contract.

18. INSURANCE
A. REQUIREMENTS. At its own expense, Supplier must maintain insurance policy(ies) in effect at all times during the performance of this Contract with insurance company(ies) licensed or authorized to do business in the State of Minnesota having an “AM BEST” rating of A- or better, with coverage and limits of insurance not less than the following:

1. Workers’ Compensation and Employer’s Liability.

Workers’ Compensation: As required by any applicable law or regulation.

Employer's Liability Insurance: must be provided in amounts not less than listed below:

Minimum limits:
$500,000 each accident for bodily injury by accident
$500,000 policy limit for bodily injury by disease
$500,000 each employee for bodily injury by disease







   
  











 



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2. Commercial General Liability Insurance. Supplier will maintain insurance covering its operations, with coverage on an occurrence basis, and must be subject to terms no less broad than the Insurance Services Office (“ISO”) Commercial General Liability Form CG0001 (2001 or newer edition), or equivalent. At a minimum, coverage must include liability arising from premises, operations, bodily injury and property damage, independent contractors, products-completed operations including construction defect, contractual liability, blanket contractual liability, and personal injury and advertising injury. All required limits, terms and conditions of coverage must be maintained during the term of this Contract.

Minimum Limits:
$1,000,000 each occurrence Bodily Injury and Property Damage $1,000,000 Personal and Advertising Injury
$2,000,000 aggregate for products liability-completed operations $2,000,000 general aggregate

3. Commercial Automobile Liability Insurance. During the term of this Contract, Supplier will maintain insurance covering all owned, hired, and non-owned automobiles in limits of liability not less than indicated below. The coverage must be subject to terms no less broad than ISO Business Auto Coverage Form CA 0001 (2010 edition or newer), or equivalent.

Minimum Limits:
$1,000,000 each accident, combined single limit

4. Umbrella Insurance. During the term of this Contract, Supplier will maintain umbrella coverage over Employer’s Liability, Commercial General Liability, and Commercial Automobile.

Minimum Limits:
$2,000,000
Failure of Supplier to maintain the required insurance will constitute a material breach entitling Sourcewell to immediately terminate this Contract for default.

B. CERTIFICATES OF INSURANCE. Prior to commencing under this Contract, Supplier must furnish to Sourcewell a certificate of insurance, as evidence of the insurance required under this Contract. Prior to expiration of the policy(ies), renewal certificates must be mailed to Sourcewell, 202 12th Street Northeast, P.O. Box 219, Staples, MN 56479 or sent to the Sourcewell Supplier Development Administrator assigned to this Contract. The certificates must be signed by a person authorized by the insurer(s) to bind coverage on their behalf.

Failure to request certificates of insurance by Sourcewell, or failure of Supplier to provide certificates of insurance, in no way limits or relieves Supplier of its duties and responsibilities in this Contract.







   
  











 



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C. ADDITIONAL INSURED ENDORSEMENT AND PRIMARY AND NON-CONTRIBUTORY INSURANCE CLAUSE. Supplier agrees to list Sourcewell and its Participating Entities, including their officers, agents, and employees, as an additional insured under the Supplier’s commercial general liability insurance policy with respect to liability arising out of activities, “operations,” or “work” performed by or on behalf of Supplier, and products and completed operations of Supplier. The policy provision(s) or endorsement(s) must further provide that coverage is primary and not excess over or contributory with any other valid, applicable, and collectible insurance or self-insurance in force for the additional insureds. A Participating Dealer may name a Participating Entity as an additional insured on a case-by-case basis.

WAIVER OF SUBROGATION. Supplier waives and must require (by endorsement or otherwise) all its insurers to waive subrogation rights against Sourcewell and other additional insureds for losses paid under the insurance policies required by this Contract or other insurance applicable to the Supplier or its subcontractors. The waiver must apply to all deductibles and/or self- insured retentions applicable to the required or any other insurance maintained by the Supplier or its subcontractors.

D. UMBRELLA/EXCESS LIABILITY/SELF-INSURED RETENTION. The limits required by this Contract can be met by either providing a primary policy or in combination with umbrella/excess liability policy(ies), or self-insured retention.

19. COMPLIANCE
A. LAWS AND REGULATIONS. All Equipment, Products, or Services provided under this Contract must comply fully with applicable federal laws and regulations, and with the laws in the states and provinces in which the Equipment, Products, or Services are sold.

B. LICENSES. Supplier’s Participating Dealers must maintain a valid and current status on all required federal, state/provincial, and local licenses, bonds, and permits required for the operation of the business that the Participating Dealer conducts with Sourcewell and Participating Entities.

20. BANKRUPTCY, DEBARMENT, OR SUSPENSION CERTIFICATION
Supplier certifies and warrants that it is not in bankruptcy or that it has previously disclosed in writing certain information to Sourcewell related to bankruptcy actions. If at any time during this Contract Supplier declares bankruptcy, Supplier must immediately notify Sourcewell in writing.







   
  











 



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Supplier certifies and warrants that neither it nor its principals are presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from programs operated by the State of Minnesota; the United States federal government or the Canadian government, as applicable; or any Participating Entity. Supplier certifies and warrants that neither it nor its principals have been convicted of a criminal offense related to the subject matter of this Contract. Supplier further warrants that it will provide immediate written notice to Sourcewell if this certification changes at any time.

21. PROVISIONS FOR NON-UNITED STATES FEDERAL ENTITY PROCUREMENTS UNDER

UNITED STATES FEDERAL AWARDS OR OTHER AWARDS
Intentionally omitted.

22. CANCELLATION
Sourcewell or Supplier may cancel this Contract at any time, with or without cause, upon 60 days’ written notice to the other party. However, Sourcewell may cancel this Contract immediately upon discovery of a material defect in any certification made in Supplier’s Proposal. Cancellation of this Contract does not relieve either party of financial, product, or service obligations incurred or accrued prior to cancellation.

Sourcewell Caterpillar Inc.

By: __________________________ By: __________________________ Jeremy Schwartz Patrick Kearns
Title: Chief Procurement Officer Title: Vice President Sales & Marketing, Construction Industries
Date: ________________________ Date: ________________________ Approved:

By: __________________________
Chad Coauette
Title: Executive Director/CEO
Date: ________________________







   
  


































 



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Bid Number: RFP 011723 Vendor Name: Caterpillar Inc







   
  











 



52 Bid Number: RFP 011723 Vendor Name: Caterpillar Inc
Table 148: Depth and 8readth of Offered Equipment Products and Services Indicate below if the listed types or classes of equipment, products, and services are offered within your proposal. Provide additional comments in the text box provided, as necessary.

Line Item Categor\ or T\pe Offered Comments
71 Wheeled, tracked, and backhoe loaders Yes
No
Manufactured by Caterpillar. Offerings
listed in applicable pricing attachment
section.
7 Motor Graders Yes
No
Manufactured by Caterpillar. Offerings
listed in applicable pricing attachment
section.
73 Wheeled and tracked excavators Yes
No
Manufactured by Caterpillar. Offerings
listed in applicable pricing attachment
section.
74 Bulldozers, compactors, scapers, articulated and
rigid haulers
Yes
No
Manufactured by Caterpillar. Offerings
listed in applicable pricing attachment
section.
75 Cranes Yes
No
NIA
76 Accessories or attachments for the offering in #71-
75 above
Yes
No
Manufactured by Caterpillar. Offerings
listed in applicable pricing attachment
section.
77 Technology or services fo r the offering in #71-75
above
Yes
No
Manufactured or offered by Caterpillar.

Offerings listed in applicable pricing
attachment section.

Table 14C: Required Offering of Equipment
Indicate below if the proposer's proposal includes at least one (1) of the following listed types or classes of equipment. Provide additional comments in the text box provided, as necessary.

Line Item Categor\ or T\pe Offered Comments
78 Wheel loader with publis hed net horsepower (HP)
of at least 300 HP
Yes
No
Manufactured by Caterpillar. Offerings
listed in applicable pricing attachment
section.
79 Wheeled or tracked exca vator with a published net
horsepower (HP) of at least 150 HP
Yes
No
Manufactured by Caterpillar. Offerings
listed in applicable pricing attachment
section.
80 Motor Grader with a published maximum operating
weight of at least 30,000 lbs.

Yes
No
Manufactured by Caterpillar. Offerings
listed in applicable pricing attachment
section.
81 Rough terrain, all terrain, crawler, floating, lattice, or telescopic crane with a published maximum lifting
capacity of at least 300 tons and a published
maximum boom length of at least 150 feet
Yes
No
NIA
Exceptions to Terms, Conditions, or Specifications Form Only those Proposer Exceptions to Terms, Conditions, or Specifications that have been accepted by Sourcewell have been incorporated into the contract text.







   
  











 



53 Bid Number: RFP 011723 Vendor Name: Caterpillar Inc
Documents
Ensure your submission document(s) conforms to the following :

1. Documents in PDF format are preferred. Documents in Word, Excel, or compat ible formats may also be provided.

2. Documents should NOT have a security password, as Sourcewell may not be able to open the file. It is your sole responsibility to ensure that the uploaded document(s) are not either defective, corrupted or blank and that the documents can be opened and viewed by Sourcewell.

3. Sourcewell may reject any response where any docum ent(s) cannot be opened and viewed by Sourcewell.

4. If you need to upload more than one (1) document for a single item, you should combine the documents into one zipped file. If the zipped file contains more than one (1) document, ensure each document is named, in relation to the submission format item respo nding to. For example, if responding to the Marketing Plan category save the document as "Marketing Plan." Pricing - Machine Pricing.zip - Tuesday January 17, 2023 15:29:45 Financial Strength and Stability - Fin Strength and Stability.zip - Tuesday January 17, 2023 10:31:16 Marketing PlanISamples - Marketing Plan.pdf - Tuesday January 17, 2023 14:53:49 WMBEIMBEISBE or Related Certificates (optional)
Warranty Information - Warranty Combined.pdf - Monday January 16, 2023 10:36:31 Standard Transaction Document Samples (optional)
Upload Additional Document - Additional Documents.zip - Tuesday January 17, 2023 16:05:29 






   
  











 



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56 TM-20-01077

SOURCEWELL TRADEMARK LICENSE ADDENDUM
This Addendum is by and between SOURCEWELL, 202 – 12th Street NE, PO Box 219, Staples, Minnesota 56479 (“Sourcewell”) and Caterpillar Inc., having its principal place of business at 5212 N. O’Connor Blvd., Suite 1100, Irving, TX 75039, and offices at 100 NE Adams Street, Peoria, Illinois, 61629 (“Caterpillar” or “Vendor”). Sourcewell and Caterpillar may be referred to in this Agreement as a “Party” and collectively as the “Parties.”
The Parties maintain a contractual relationship for Vendor to provide equipment, products, or services to Sourcewell’s cooperative purchasing contracts as follows:

Sourcewell Contract 011723 – CAT (Solicitation Number: 011723) Sourcewell and Vendor each own all right, title, and interest in their respective names, trademarks, service marks, related logos, and all other rights in the na mes, designs, likenesses and visual representations thereof (“Licensed Trademarks”), and desire to gran t each other a royalty-free license to use certain Licensed Trademarks owned by the other Party under the terms and conditions set forth herein.

ARTICLE I: GRANT OF LICENSE
A.

GRANT OF LICENSE. During the term of the Contract:

1. Sourcewell grants to Vendor a royalty-free, worldwide, non-exclusive right and license to use Sourcewell’s
Licensed Trademarks provided to Vendor by Sourcewell in advertising and promotional materials
for the purpose of marketing Sourcewell’s relationship with Vendor.

2. Vendor gran
ts to Sourcewell a royalty-free, worldwide (except for those jurisdictions that are prohibite
d by applicable Anti-Corruption and International Trade Laws), non-exclusive right and license
to use Vendor’s Licensed Trademarks provided to Sourcewell by Vendor in advertising and promotional materials for the purpose of marketi
ng Vendor’s relationship with Sourcewell.
“Anti-Corruption and
International Trade Laws” means all statutes, regulations, rules, executive orders, supervisory requirements, directives, ordinances, circulars, opinions, interpretive letters, and official releases of or by any government, or any authority, department or agency thereof or self- regulatory organization related to bribery, fraud, corruption, or international trade.

3. The Parties agree that each is the owner of all rights, including without limitation common law rights an
d goodwill, in relation to their respective Licensed Trademarks, and that any goodwill derived from
the use of Licensed Trademarks by the other Party shall inure to the owner of the respective
Licensed Trademarks.

B. LIMITED
RIGHT OF SUBLICENSE. The rights and licenses granted herein includes a limited right of each Party
to grant sublicenses to its and their respective distributors, marketing representatives, and agents (colle
ctively “Permitted Sublicensees”) in advertising and promotional materials for the purpose of marketi
ng the Contract. Any sublicense granted will be subject to the terms and conditions of this Adden
dum. Each Party will be responsible for any breach of this Article by any of their respective sublice
nsees.







   
  











 



57 TM-20-01077
C. USE; QUALITY CONTROL.

1. Neith
er Party may alter the other Party’s Licensed Trademarks from the form provided by the other Party a
nd must comply with the other Party’s removal requests as to specific uses of its Licensed
Trademarks.

2. Each
Party agrees to use, and to cause its Permitted Sublicensees to use, the other Party’s Licensed
Trademarks only in good faith and in a dignified manner consistent with such Party’s use of the L
icensed Trademarks. Upon written notice to the breaching Party, the breaching Party or their Permitte
d Sublicensees have thirty (30) days of the date of the written notice to cure the breach or the l
icense will be terminated.

3. Beyond what
is permitted in this Addendum, neither Party will:
a. attempt to register, or register any trademark, service mark, symbol, logo, get-up or device
which is confusingly similar to any of the other Party’s Licensed Trademarks in any jurisdiction;
b. represent tha
t it has any rights of any nature in the Licensed Trademarks other than those enjoyed under the terms of this Agreement;
c. use the other Party’s trademarks, service marks or copyrights, translations thereof or marks similar thereto, as part of its
corporate name, trade name or a d/b/a name,
favicons, social media
names/handles, email addresses, email extensions, or domain names without prior
written approval from the other Party; or
d. use the other Party’s trade names, trademarks, or service marks on any collateral business materials (e.g., b
usiness cards, letterhead, invoices, pens, notepads, fax cover sheets, etc.),
unless otherwise approved in writing by the other Party.

ARTICLE II: T
ERM, TERMINATION, AND MISCELLANEOUS.

A. EFFECTIVE DATE. This Addendum is effective upon the date of the final signature below.

B. TERMI
NATION. Unless earlier terminated in accordance with this Article, this Addendum expires immed
iately upon the expiration or termination of the Contract.

1. Termina
tion for Convenience. This Addendum may be terminated by either Party at any time upon ni
nety (90) days’ prior written notice to the other Party.

2. Termination for Breach. This Addendum may be terminated by either Party upon a breach of the terms of
this Addendum by the other Party, upon written notice of breach to the breaching Party, and only if
such breach is not cured within thirty (30) days of the date of the written notice.

3. Effect of Termination. Upon the termination of this Addendum for any reason, each Party will have thir
ty (30) days to, and require its Permitted Sublicensees to, remove all Licensed Trademarks from signage,
websites, and the like bearing the other Party’s name or logo 






   
  











 



58 TM-20-01077
(excepting Sourcewell’s pre-printed catalog of vendors which may be used until the next printing). Vendor must return all marketing and promotional materials, including signage, provided by Sourcewell, or dispose of it according to Sourcewell’s written directions.

4. Miscellaneous. The terms and conditions of this Addendum shall have no effect on the terms and conditio
ns of any other trademark licenses signed by the Parties.

All other
terms of the Contract remain in full force and effect, unless otherwise terminated.

SOURCEWELL
By: _________________
N a m e :

T i t l e :

D a t e :

Caterpillar In
c.

By: _________________
N a m e :

T i t l e :

D a t e :







   
  











 




 
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