CAT® COMPACTS

CAT® COMPACTS

Caterpillar Global Data Privacy Statement

As stated in Our Values in Action - Caterpillar's Code of Conduct, "We recognize and respect the personal information privacy interest of individuals.” When you provide Caterpillar with your personal information, you trust us to protect that information. Trust is the foundation of the relationships Caterpillar has with its employees, suppliers, dealers, customers and all others. We collect and process only personal information needed or appropriate for business purposes, and do so only by lawful and fair means. This Privacy Statement is meant to help you understand what personal data we collect, why we collect it, and what we do with it. We hope you take time to read it carefully.

This Privacy Statement applies to the Caterpillar subsidiaries, affiliates, and other entities controlled by Caterpillar Inc. as are identified in Schedule A (List of Caterpillar Data Controllers) (collectively, “Caterpillar”). This Privacy Statement applies only when Caterpillar is collecting or otherwise processing personal information for Caterpillar’s purposes (i.e., when Caterpillar (either alone or in common with other entities) is a controller and therefore determines the purposes for which and the manner in which any personal information is processed). This Privacy Statement does not apply when Caterpillar is collecting or otherwise processing personal information on behalf of another company, such as Caterpillar’s dealers, suppliers, and customers.

The applicable Caterpillar entity that is the “controller” of your data is the one with which you have a relationship, including for example: as a customer (e.g., the Caterpillar company referred to in your purchase order or other agreement with Caterpillar), an employee (e.g., the Caterpillar company that you are attempting to or have entered into a relationship with), or a supplier (e.g., the Caterpillar company that you are attempting to or have entered into a supplier relationship with). Caterpillar encourages the periodic review of this Privacy Statement to stay aware of any changes to it.

For convenience, in several sections this Privacy Statement is organized by the category of data subjects identified below. Please note that in some situations, you may not fit perfectly into any one category (for example, more than one could apply, or you might not be a customer of Caterpillar yet the customer section is the most applicable). Please review all of the language that is appropriate to your relationship with Caterpillar. This Privacy Statement covers the personal information of individuals who are:

  • Caterpillar candidates for employment or employees (meaning staff, personnel, and workers) or other persons currently or formerly employed to perform work for Caterpillar, including temporary employees (collectively, “employees”);
  • Associated with Caterpillar’s customers, including dealers, dealers’ customers, distributors, distributors’ customers, direct sale customers, sales representatives and other resellers (collectively, “customers”); and
  • Associated with suppliers of Caterpillar, such as suppliers’ employees (temporary workers, staff, personnel, and contractors, etc.) (collectively, “suppliers”).

In this Privacy Statement, the term “processing” means any activity performed on personal information, including, for example, collecting, storing, modifying, transferring or otherwise using it. Additionally, this Privacy Statement does not apply to other information (non-Personal Information) that Caterpillar may collect or otherwise process. For more information on other information that Caterpillar may collect or otherwise process, please see Caterpillar’s Data Governance Statement.

In addition to this Privacy Statement, some Caterpillar systems, applications, and processes may contain their own privacy notices, which provide additional details about what specific personal information is collected and how it is stored, used, and transferred.

Certain jurisdictions may prohibit or limit the collection, use or sharing of specific categories of personal information; accordingly, this Privacy Statement describing our practices may be limited by those laws and/or further clarified in any country-specific appendices applicable to you and attached to this Privacy Statement. When in conflict with this Privacy Statement, those appendices control.

For purposes of this Privacy Statement, personal information is any information about a specific individual or that identifies or may identify a specific individual. In other words, it is any piece of information than can be linked to you. Certain jurisdictions may prohibit or limit the collection of specific categories of personal information. Subject to local law and any attached appendices, examples of personal information that we may collect include, but are not limited to:

  • Contact Information (e.g., name, address, telephone number, emergency contact(s) information);
  • Social Security Number or other national/taxpayer identification numbers;
  • Identification and Verification Information (e.g., photographs, driver’s license, passport, other proofs of identity);
  • Information Security Data (e.g., communications created, stored or transmitted by a person using Caterpillar’s information technology or communications equipment);
  • Information to fulfill items such as, but not limited to, communications, contracts, purchase orders, payments, and receivables; and
  • Other information required to comply with applicable laws, including valid search warrants, subpoenas, or court orders.

Different categories of persons may be subject to additional collection of personal information, including but not limited to:

Customers:

  • Business Contact Information (e.g., company name, address, telephone number);
  • Individual Representative Contact Information: (e.g., name, address, telephone number, email address);
  • Billing Information (e.g., financial account data, invoices, receipts);
  • Client Relationship Management Information (e.g., information necessary to populate a customer’s profile or to facilitate marketing automation);
  • Repair Information (e.g., repair needs and status);
  • Warranty Information (e.g., purchase history, extended warranties); and
  • Customer Satisfaction Information.

Caterpillar may receive equipment information that is personally identifiable by another party, e.g., the equipment owner, but in most instances Caterpillar will not be the controller of that information.

Employees:

  • Background Information (e.g., birth date, marital status, dependent information, ethnicity and/or nationality);
  • Residency Information (e.g., work permit status);
  • Financial Account Information;
  • Reference Information (e.g., letters of recommendation or reference, or reports provided by former employers or colleagues);
  • Background Check Information (e.g., credit and criminal background checks, drug and alcohol testing);
  • Health Information (e.g., prescription records, benefit claims, and the Explanation of Benefits sent in connection with claims);
  • Biometric Information (e.g., thumbprints);
  • Trade Union affiliation;
  • Automotive Information (e.g., driving history, vehicle registration, driver’s license number);
  • Professional Qualifications Information (e.g., work experience, education); and
  • Employment-related Information (e.g., 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).

Suppliers:

  • Residency Information (e.g., work permit status);
  • Financial Account Information;
  • Background Information (e.g. due diligence)
  • Professional Qualifications Information (e.g., work experience, education);
  • Reference Information (e.g., letters of recommendation or reference, or reports provided by former employers or colleagues); and
  • Biometric Information (e.g., thumbprints).

Depending on the applicable local law, some personal information collected by Caterpillar may be considered “sensitive personal information” (i.e., personal information subject to additional protections).

Additionally, in some cases, such as where you are the sole proprietor of a business, information about your company may be deemed personal information. This could include business information (e.g., office address), financial account information (e.g., bank account information, trade references, financial statements), assets (e.g., property ownership), credit rating, tax identification, and diversity classification.

Caterpillar may use anonymized (or de-identified information), that was derived from personal information, but in its anonymized form cannot be identified with a specific individual. This de-identified information is not considered personal information for purposes of this Privacy Statement and is not covered by this Privacy Statement. However, if such information is used or formatted in such a way that it is possible for that information to be identified with a specific individual, then it will be considered personal information as appropriate.

Caterpillar collects personal information in a variety of contexts from different categories of persons.

Customers (either directly or, in some cases, through third parties) can provide personal information through the business relationship involved in acquiring, marketing, or selling Caterpillar products or services. This includes, for example, submission of personal information as part of a proposal, a contract, receiving and employing services or products (including repair and warranty services), and potentially accessing Caterpillar systems or monitoring Caterpillar processes. Throughout the duration of a customer relationship, Caterpillar reserves the right to request, as needed, other forms of personal information necessary to facilitate the purposes described below.

Employees can provide personal information directly during the application and on-boarding process, throughout the duration of employment, and, in some cases where permitted, upon separation. In addition, Caterpillar may collect the information described above from a third party, for example, when we contact references that were provided to Caterpillar by an employee, or when we obtain background check information in accordance with our policies and applicable laws in connection with an employee’s application or on-boarding process. Much of this information is voluntarily provided to Caterpillar as a condition of employment to facilitate Caterpillar’s management of the employer-employee relationship, which is vital to our collective success.

Suppliers can provide personal information through the business relationship involved in acquiring, marketing, or selling Caterpillar products or services. This includes, for example, submission of personal information as part of a proposal, a contract, delivering services or products, and potentially accessing Caterpillar systems or monitoring Caterpillar processes. Throughout the duration of a supplier relationship, Caterpillar reserves the right to request, as needed, other forms of personal information necessary to facilitate the purposes described below.

Caterpillar processes your personal information where it is permitted to do so under applicable data protection laws, including for the purposes of its legitimate interests, to comply with a legal obligation of Caterpillar, and where you have consented for Caterpillar to do so.

In some cases, your consent to the collection of your personal information may be provided in a manner appropriate to the context, meaning it can be provided orally, in writing, electronically, or—when permitted by local laws—it may be implied where the purpose is apparent from the circumstances and you voluntarily provide your personal information. Subject to local laws, and as may be articulated in the attached country-specific appendices, there may be circumstances under which Caterpillar must obtain explicit consent from you. Such consent is your choice and is entirely voluntary. In some circumstances, you may withdraw your consent to Caterpillar’s collection and use of personal information subject to contractual and legal restrictions and reasonable notice.

Caterpillar uses personal information in ways that are compatible with the purposes for which the information was originally collected. This may include use for a purpose that is reasonably related to the original purpose of collection. Caterpillar collects, uses, and discloses personal information as an essential part of operations.

Additional information describing how we use this personal information may be provided in the supplemental appendices that describe unique legal obligations and rights available in different jurisdictions.

Personal information may also be processed in order to meet legal requirements applicable to Caterpillar, such as filing with government agencies, complying with lawful orders to provide information, meeting contractual commitments, and in connection with Caterpillar safeguarding its rights and property.

Personal information is vital to our management and administration of customer, employment, and supplier relationships generally. Subject to local law and any attached appendices, personal information is collected from different categories of persons for different purposes. Below, we describe the different purposes for collecting personal information from customers, suppliers, and employees.

Customer Personal Information Collection Purposes

Caterpillar uses customer personal information to conduct business operations (e.g., satisfy customer orders), market new products through individual outreach or group communications (e.g., newsletters), assess internal performance, manage customer relationships, (e.g., invoicing and payments), manage risk and compliance, and support various administrative functions. Some examples of personal information Caterpillar may collect from customers and accompanying uses include:

Examples of Personal Information Examples of Use
Individual Representative Contact Information (e.g., name, address, telephone number). To communicate with representatives of the customers and to manage the relationship.
Billing Information (e.g., financial account data, invoices, receipts). To complete customer orders and submit necessary billing information.

Identification and Verification Information (e.g., photographs, driver’s license, passport, other proofs of identity).

To enable physical or remote access to Caterpillar facilities or systems. (e.g. authentication)

Information Security / Technology Data (e.g., information captured through the use of Caterpillar systems).

To facilitate use of the applicable systems and security of those systems.


Employee Personal Information Collection Purposes

Caterpillar uses employee personal information to conduct business operations (e.g., managing access control, security systems, and updating personnel directories), foster employee development (e.g., Training), support various administrative functions (e.g., administering compensation plans, benefits, and leave schedules), and manage the operation of our businesses.

Some examples of personal information that Caterpillar may collect from employees and accompanying uses include:

Examples of Personal Information

Examples of Use

Contact Information of employee and family members (e.g., name, address, telephone number, emergency contact(s) information).

To communicate with employees and to facilitate benefits.

Professional Qualifications Information (e.g., work experience, education).

To evaluate and select individuals for a role within Caterpillar.

Employment-related Information (e.g., work history, performance appraisals, goals, attendance, work absences).

To manage the employment relationship.

Employment-related Information (e.g., workplace injury).

To meet compliance obligations and manage safety.

Identification and Verification Information (e.g., photographs, driver’s license, passport, other proofs of identity).

To meet compliance obligations and to enable physical or remote access to Caterpillar facilities or systems.

Biometric Information (e.g., thumbprints).

To identify or authenticate users and for access control purposes.

Automotive Information (e.g., vehicle license plate information).

To facilitate access to Caterpillar facilities (e.g., parking).

Information Security / Technology Data (e.g., information captured through the use of Caterpillar systems).

To facilitate use of the applicable systems and security of those systems.


Supplier Personal Information Collection Purposes

Caterpillar uses supplier personal information to conduct business operations (e.g., managing access control and security systems), select and approve new suppliers, assess supplier performance, manage supplier relationships, (e.g., invoicing, and payments), manage risk and compliance, and support various administrative functions.

Some examples of personal information Caterpillar may collect from suppliers and accompanying uses include:

Examples of Personal Information

Examples of Use

Contact Information (e.g., name, address, telephone number, emergency contact(s) information).

Listing in Caterpillar’s internal, enterprise wide directory, which is used to communicate with representatives of the supplier and to manage the relationship.

Professional Qualifications Information (e.g., work experience, education).

To evaluate and select suppliers.

Identification and Verification Information (e.g., photographs, driver’s license, passport, other proofs of identity).

To enable physical or remote access to Caterpillar facilities or systems.

Information Security Data (e.g., information captured through the use of Caterpillar systems).

To facilitate use of the applicable systems and security of those systems.

 

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