Caterpillar Inc. Employee Data Privacy Statement

Caterpillar recognizes and respects the privacy interest of individuals with regards to personal information provided to us. This is a fundamental aspect of our operating philosophy for employees worldwide and supports the values and principles expressed in Caterpillar's Worldwide Code of Conduct. Caterpillar’s employee personal information processing activities are consistent with the Caterpillar Inc. Data Privacy Policy (Corporate Policy Letter 27). We encourage you to read all information that we supply to you regarding our handling of your personal information including any Local Privacy Guide supplied along with this Privacy Statement.

How do we collect personal information?

We collect the personal information you supply to Caterpillar, through employment application and employee information forms, web sites, telephonic communications, emails, facsimiles, third party administrators, background checks, references and various other sources.

What personal information do we collect?

Examples of personal information that we collect include: Name, address, phone number Birthdate Ethnicity Credit records Citizenship Dependent information, emergency contacts (name and phone number), government issued identifiers, e.g. Social Security number, National ID Medical information, prescription records, your benefit claims, and the Explanation of Benefits sent in connection with your claims

How do we use this personal information?

The collection and use of personal data is essential to the operation of the company, particularly to the Human Resources functions. Examples of the purposes for which the company collects and uses personal data include: Recruitment Administration of compensation and benefit programs Administration of International Service Employees (ISEs) Payroll Training Performance Management Succession Planning Meeting government requirements Administration of employee events (ex. holiday programs, sports leagues) Administration of medical services Service Anniversaries (including public recognition and photographs) Protection of the company, the workforce or the public against injury, theft, legal liability, fraud, abuse, and other misconduct Business contacts Internal billing Access control (authorization) Verification and account management Business related reporting Business resumption planning Medical information used to understand disease risk and make recommendations for health improvement Testing systems and interface functionality

How do we safeguard personal information?

Caterpillar utilizes reasonable measures to protect personal information against loss, manipulation, falsification, unauthorized access, or unauthorized disclosure by any person inside or outside Caterpillar.

Will we disclose the personal information that we collect?

We may disclose your personal information, but only when it is necessary to fulfill a specific Caterpillar business purpose. In all cases, we may disclose your personal information when required by law, for the completion of legitimate business activity, or for purposes relevant to Corporate Policies. Examples of third party disclosure include: Medical Benefit Administrators Prescription Drug Administrators 401K/Pension Administrators Employee Relocation Administrators Employee Financial Institutions

How may I access my personal information?

Each Business Unit shall have a Designated Coordinator who has the responsibility for the administration of employee and non-employee access to personal information. Upon completion of a Personal Record Review Request, you will be given access to the personal information in question. Caterpillar retains personal information provided to us only as long as needed to fulfill functions and otherwise as provided by law or appropriate records retention guidelines.

Your consent

By providing personal information to Caterpillar or any of our third parties, you consent to the collection and use of the personal information in accordance with the purposes described in this privacy statement. Because Caterpillar services are available to individuals in a variety of global locations, you are also consenting to transferring your personal information to countries or jurisdictions that may not provide the same level of data protection as the legal jurisdiction in which you are located.

Where can I obtain further information about this privacy statement?

You may contact the Office of Business Practices using any of the methods described here . This statement, as well as the GHRMS Data Privacy Statement, may be found on the GHRMS intranet site.

What happens if this privacy statement changes?

We reserve the right to amend this data privacy statement as needed. When Caterpillar updates or changes are made to the privacy statement, the changes will be communicated to affected individuals at that time. Your continued relationship with Caterpillar will demonstrate your acceptance of those changes. All Paper Copies are Uncontrolled Documents