CATERPILLAR’S AUSTRALIAN PRIVACY NOTIFICATION AND POLICY

Scope

This Privacy Notification and Policy describes the way that the Caterpillar Entities manage personal information about employees and contractors. Caterpillar Entities include Caterpillar of Australia Pty Ltd, Caterpillar Global Mining Expanded Products Pty Ltd and Caterpillar Underground Mining Pty Ltd.

Purpose

The Caterpillar Entities may collect personal information about you for various purposes, including:

  • for recruitment and employment purposes (including, for example, to assess your application for employment or secondment opportunities, or to enable performance management and policy compliance);
  • if you are a contractor or supplier, in order to assess your suitability to provide services to the Caterpillar Entities and, if appointed, to manage your activities as a contractor or supplier to the Caterpillar Entities;
  • to fulfil its regulatory or legal obligations. Various Australian laws may expressly require the Caterpillar Entities to collect your personal information or the Caterpillar Entities may need to do so in order to be able to comply with other obligations under those laws.  Such laws include the Personal Property Securities Act and State and Territory property and security interests laws (for example, to register and search for security interests) or the Taxation Administration Act, the Income Tax Assessment Act and other taxation laws (for example, to comply with obligations relating to employment or with information requests issued by the Commissioner of Taxation);
  • to comply with regulatory or legal obligations, or compliance policies, of related bodies corporate of the Caterpillar Entities, other bodies in the Caterpillar Inc. group of companies and related bodies corporate and affiliates of those entities;
  • if you are a customer or user of Caterpillar products or services, for marketing, solicitation or product notification purposes; and
  • to deal with complaints and responding to your requests.

Types of Personal Information Collected

Personal information is information or an opinion about an identified individual, or an individual who is reasonably identifiable: (a) whether the information or opinion is true or not; and (b) whether the information or opinion is recorded in material form or not. Generally, the kinds of personal information collected by the Caterpillar Entities may include:

  • contact information (e.g., name, address, telephone number);
  • electronic contact information (e.g., e-mail address);
  • emergency contact information (for example, if you are a staff member);
  • background information (for example, if you are a staff member, birth date, marital status, dependent information);
  • employment-related and job-related information (for example, if you are a staff member, work history, new hire forms, skills, education and training, performance appraisals, goals, attendance, work absences, vacation entitlement and requests, compensation history, workplace injury and illness reporting, disciplinary issues, and grievances);
  • government-related identifiers such as tax file numbers, ABN Medicare card numbers, driver’s licence numbers or passport numbers (for example, to verify your identity when you apply for a position with a Caterpillar Entity);
  • information security related information (e.g., communications created, stored or transmitted by a staff member or individual using the Caterpillar Entity’s information technology or communications equipment);
  • sensitive information, including place of birth or nationality, criminal records and health information (for example, if you are a staff member, medical certificates and health- related information associated with leave applications); and
  • other information provided by you to the Caterpillar Entities from time to time.

Personal information is usually collected directly from the individual. However the Caterpillar Entities may also collect personal information about individuals from third parties, including other entities within the Caterpillar Inc. group of companies, Caterpillar’s independent dealers and Caterpillar’s suppliers.

If you pass personal information about third parties to a Caterpillar Entity or related bodies corporate of the Caterpillar Entities, other bodies in the Caterpillar Inc. group of companies and related bodies corporate and affiliates of those entities, you acknowledge that you will provide a copy of this Privacy Notification and Policy to that person.

If some or all of the personal information that a Caterpillar Entity requests or requires is not collected, the Caterpillar Entities may not be able to do the things outlined above.

Disclosure & Sharing

The Caterpillar Entities may disclose personal information that it collects or holds to:

  • related bodies corporate of the Caterpillar Entities, other bodies in the Caterpillar Inc. group of companies and related bodies corporate and affiliates of those entities;
  • third parties working at the Caterpillar Entities;
  • Caterpillar Entities’ advisors;
  • Caterpillar’s dealers;
  • where an individual is a Caterpillar Entity staff member, contractor or supplier, customers that the Caterpillar Entity deals with;
  • other persons that the Caterpillar Entities need to deal with in connection with engagement of staff;
  • government regulatory agencies, bodies and authorities as required by law;
  • third parties authorises to act on your behalf or that are otherwise connected with you (such as your accountant or legal representative); and
  • other persons and entities as permitted under law.

Some of the recipients to whom the Caterpillar Entities disclose your personal information may be located overseas and may not have an Australian link. The countries in which overseas recipients (which may include Caterpillar Inc. and its subsidiaries and affiliated companies) are likely to be located currently include the United States of America, the United Kingdom, Belgium, Switzerland, Singapore, China, Japan and India. For more information about Caterpillar Inc.’s subsidiaries and affiliated companies, including the country in which they are organized, please see Caterpillar Inc.’s most recent annual 10-K filing with the United States Securities Exchange Commission (available here [http://www.caterpillar.com/en/investors/financialInfo/materials-request.html]). You acknowledge that, when you consent to us disclosing your personal information to overseas recipients, Australian Privacy Principle (“APP”) 8.1 will not apply to the disclosure (which means that we will not be obliged under the Privacy Act to take reasonable steps to ensure that an overseas recipient does not breach the APPs and we may not be liable under the Privacy Act if the recipient does not act consistently with the APPs).

Access

You have a right to request to access or correct your personal information or to find out what information the Caterpillar Entities hold about you, subject to certain exemptions in the Privacy Act, by using the contact details given below.

When you request access we may need to take measures to verify your identity and we may impose a reasonable charge for providing access. If you think that any personal information held about you is not accurate, complete or up-to-date, you may request that correction of that information. Where a Caterpillar Entity refuses to provide you with access to your personal information or to correct your personal information, the Caterpillar Entity will tell you why.

If you believe your personal information has not been treated by the Caterpillar Entity consistently with the Privacy Act, please contact the relevant Caterpillar Entity using the details set out below.

We will investigate your privacy complaint and respond to you as soon as practicable. Where we find that your complaint is justified, we will resolve the complaint.   Where we disagree with your complaint we will provide you with our reasons.

You can contact the Caterpillar Entities as follows:

Attention: Mr Scott Latham
1 Caterpillar Drive, Tullamarine, Victoria 3043
Telephone: +61 3 6432 9108 Email: latham_scott_e@cat.com