Human Rights Policy and Values in Action

Objective

At Caterpillar, we are committed to respecting internationally recognized human rights principles throughout our global operations. While this policy is uniquely our own, it is informed by the United Nations Guiding Principles (UNGP) on Business and Human Rights, Universal Declaration of Human Rights (UDHR) and the International Labor Organization's (ILO) Declaration on Fundamental Principles and Rights at Work.

This policy complements our Values in Action set out in our Code of Conduct – Integrity, Excellence, Teamwork, Commitment, and Sustainability. 

Enterprise Policies apply to the Caterpillar enterprise, including subsidiaries, majority-owned joint ventures, and, following a transition period, newly acquired companies. If a Caterpillar Division believes that elements of an Enterprise Policy conflict with local law, the Division should promptly contact the Office of Business Practices.

Human Rights Policy

The Company is committed to respecting recognized human rights principles aimed at promoting and protecting human rights in the countries in which we operate.  We recognize that governments are ultimately responsible for establishing the legal framework to protect human rights within their jurisdictions. 

Consistent with our commitment, and in accordance with applicable law and practice, we:

• do not condone and strive to eliminate all forms of forced labor, child labor, and discrimination in the workplace; 
• work to establish safe and healthy working conditions;
• value diversity as a foundational key to the success of our business strategy;
• seek to compensate our employees fairly and competitively where they work; and,
• respect principles of freedom of association and the right to collective bargaining.

We promote and respect the rule of law, and will comply with the applicable law in the countries where we operate.  We operate within the framework of our worldwide Code of Conduct.  We maintain relevant policies and procedures to further our intended operations.  We expect our business practices to be undertaken in accordance with applicable law, policy and our Values in Action.

This policy supports Caterpillar’s vision to create a work environment that all can take pride in, to be a company others respect and admire, and contribute to a world made better by our actions. 

Business Partners

Caterpillar has a large and diverse network of business partners and suppliers.

We are committed to working with these parties to uphold the principles in this policy and encourage them to assess their own business and develop their own approach to respecting human rights. We expect our suppliers to comply with the obligations set forth in our Supplier Code of Conduct. 

Our Values In Action

The foundation of all that we do resides within our Code of Conduct.  We act with integrity, commitment, excellence, teamwork and sustainability. Within the framework of our Values in Action, we have undertaken to establish mechanisms to help identify, address and mitigate potential adverse human rights impacts wherever we do business.

Many of these mechanisms already exist and are fully integrated into our established policies and procedures, which serve in furtherance of the company’s Code of Conduct and Supplier Code of Conduct.

We will consult with relevant internal and external stakeholders to understand human rights related concerns and issues and remediate activity that is inconsistent with this policy.  Caterpillar will assess and escalate human rights issues and concerns regarding our business activity within the informed context of law, policy, and our Code of Conduct, and when doing so we will act in accordance with our Values In Action. 

Reporting

We encourage any party to report situations in which they have a good faith belief that the entities or individuals covered under this policy have taken actions that are inconsistent with the principles set forth in this policy. We have dedicated the following confidential and anonymous means to encourage reporting by any party, maintained by our Office of Business Practices.

Online Reporting (can be submitted anonymously): https://caterpillar.ethicspoint.com

Direct Telephone: +1-309-675-8662 (English only)

Toll-free Helpline: Caterpillar maintains toll-free Helpline numbers in various countries. Inside Canada, the United States, and the U.S. Virgin Islands the number is 1-800-300-7898. Toll-free numbers currently in effect for other countries are posted at https://codeofconduct.cat.com. Language translation is available for those numbers. You may remain anonymous when you call from a country in which anonymous reporting is allowed.

Call Collect Helpline: +1-770-582-5275 (language translation available)
Email: BusinessPractices@cat.com

Caterpillar will not take any action against any party as a result of raising an issue in good faith pursuant to this reporting process. Also, Caterpillar does not tolerate any reprisal by any individual against any party for raising a concern or making a report in good faith.