Slavery and Human Trafficking Statement

Last Revised: 29th June 2020

 

Caterpillar Inc. (“Caterpillar”), is committed to respecting internationally recognized human rights throughout its global operations as noted in our Human Rights Policy and our Supplier Code of Conduct. While uniquely our own, Caterpillar’s Human Rights Policy is informed by the Universal Declaration of Human Rights, the International Labor Organization’s Declaration on Fundamental Principles and Rights at Work, and the United Nations Guiding Principles on Business and Human Rights.

Our Corporate Structure, Operations, and Supply Chains

Caterpillar is a publicly owned United States company with over 100,000 employees world-wide.  Caterpillar manufactures mining and construction equipment, diesel and natural gas engines, industrial gas turbines, and diesel-electric locomotives.  Caterpillar is the parent company of several hundred subsidiary companies globally, many of which are wholly owned.  We have more than 150 primary locations in over 25 countries. 

We have a vast network of suppliers around the world to meet our purchasing needs for our manufacturing processes. 

Modern Slavery Risks

Caterpillar believes the risk of modern slavery is low in its operations and those of its direct suppliers.  Caterpillar is taking the following actions to address modern slavery risk where it may potentially exist.

Supplier Standards

We view our suppliers as an important part of our extended value chain. Caterpillar is committed to working with them to uphold the principles in Our Values in Action, Supplier Code of Conduct and Human Rights Policy.  Our standard purchase order terms and conditions require that suppliers comply with our Supplier Code of Conduct, including an expectation that our suppliers conduct all business in a manner that respects human rights.

Supplier Self-Assessment & Verification

We assess potential human rights impacts across our supply chain, including any impact from forced, compulsory, or child labor, slavery and human trafficking through our supplier code of conduct self-assessment program.

We instruct suppliers to complete a self-assessment. That assessment includes questions regarding the policies and procedures they have in place to tackle slavery and human trafficking in their own supply chain. 

Caterpillar currently does not utilize a third party in its verification process.  We also do not currently perform on-site audits for social compliance or require that our suppliers certify that materials incorporated into products comply with laws regarding slavery and human trafficking in the countries in which they are doing business.  However, Caterpillar reserves the right to verify that our suppliers comply with the Supplier Code of Conduct as needed.

Supplier Accountability

In the event that Caterpillar becomes aware of any actions or conditions within its supply chain that are not in compliance with Caterpillar’s Supplier Code of Conduct, Caterpillar reserves the right to require that the supplier implement corrective measures. A supplier’s continued non-compliance may lead to additional actions, up to and including termination of the business relationship.

Reporting Modern Slavery Concerns

We encourage any party to report situations in which they have a good faith belief that the entities or individuals covered under this Statement have taken actions that are inconsistent with the principles set forth in this Statement.  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://codeofconduct.tnwreports.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)
Confidential Fax: +1-309-494-4818
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. 

Policies & Training

Caterpillar’s Code of Conduct helps Caterpillar employees every day by providing guidance on the behaviors that support Our Values in Action – Integrity, Excellence, Teamwork, Commitment and Sustainability.  Consistent with those Values, we treat others with respect, and we do not tolerate intimidation, discrimination or harassment.  We are committed to complying with applicable laws, regulations and reporting requirements everywhere we do business.  Slavery and Human Trafficking are inconsistent with our Values and will not be tolerated at Caterpillar, or anywhere in our supply chain. 

All Caterpillar employees are required to complete Code of Conduct training on an annual basis.  This training includes a certification by each employee that they are not aware of any activities (including human rights issues) that violate the Code.

Caterpillar has policies that apply company-wide, including to its wholly owned subsidiaries and majority owned joint ventures.  Caterpillar’s Human Rights Policy and this Slavery and Human Trafficking Statement are applicable to the company and are cascaded through internal communications to Caterpillar’s subsidiaries and joint ventures.

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This statement is intended to meet the requirements to comply with the California Transparency in Supply Chains Act 2010 for Caterpillar Inc. and all relevant subsidiaries.

This statement is intended to meet the requirements to comply with Section 54 of the United Kingdom Modern Slavery Act 2015 and applies to the following entities:

  • Caterpillar Financial Services (UK) Limited
  • Caterpillar Logistics (UK) Limited
  • Caterpillar (N I) Limited
  • Caterpillar Shrewsbury Limited
  • Caterpillar (UK) Limited
  • Electro-Motive Diesel Limited
  • Perkins Engines Company Limited
  • Perkins Small Engines Limited
  • Progress Rail Services UK Limited

This statement is intended to meet the requirements to comply with the Australian Modern Slavery Act 2018 and applies to the following entities:

  • Caterpillar Used Equipment Services Inc.
  • Caterpillar Global Services LLC
  • Caterpillar Financial Australia Limited
  • Caterpillar Financial Australia Leasing Pty Ltd
  • Solar Turbines International Company
  • Caterpillar Holdings Australia Pty Ltd
  • Caterpillar of Australia Pty Ltd (CofA)
  • Caterpillar Global Mining Expanded Products Pty Ltd (CGMEP)
  • Progress Rail Australia Pty Ltd
  • Caterpillar Underground Mining Pty Ltd (CUGM)
  • Caterpillar Commercial Australia Pty Ltd (CCA)
  • Bucyrus Mining Australia Pty Ltd
  • Bucyrus Australia Surface Pty Ltd
  • Caterpillar Global Mining Pty Ltd (CGM)
  • Locomotive Demand Power Pty Ltd
  • Traction & Mining Motor Repairs Pty Ltd (TMMR)

This statement constitutes the slavery and human trafficking statement for the financial year ending 31 December 2019 and was approved by the board of Caterpillar Financial Services (UK) Limited on 29th June 2020.

Peter John Tegg
Director, Caterpillar Financial Services (UK) Limited