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Caterpillar Global Data Privacy Statement

Effective Date: [May 25, 2018]

This Privacy Statement describes how Caterpillar collects, stores, uses, and transfers personal information. This Privacy Statement reflects the values and principles expressed in Our Values in Action (Caterpillar’s Worldwide Code of Conduct).

Section 1. What is the scope of this document?

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 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.

Section 2. What is personal information?

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.

Section 3. How does Caterpillar collect personal information?

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.

Section 4. How does Caterpillar use personal information?

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:

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:

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:

Section 5. How does Caterpillar safeguard personal information?

Caterpillar utilizes reasonable measures, including information technology security and physical security measures, to protect personal information. These measures are appropriate to the risks posed by the processing of personal information and to the sensitivity of the personal information, and take into account the requirements of applicable local law. Caterpillar requires all persons to abide by applicable security policies related to personal information when using Caterpillar systems.

Section 6. How long does Caterpillar keep personal information?

Caterpillar stores personal information as needed to accomplish the purposes identified above and to meet legal requirements, including record retention. Our retention of your personal information is at all times subject to local law. This storage period may extend beyond the term of your relationship with Caterpillar.

Section 7. How does Caterpillar dispose of personal information?

When personal information is no longer useful, or in any event, after legal authority to retain it has expired, personal information will be destroyed, in accordance with local law and pursuant to procedures established by the relevant Caterpillar system or process.

Section 8. How does Caterpillar transfer or share personal information that is collected?

Because Caterpillar operates a global business, we may need to transfer your personal information to different jurisdictions for our business purposes. Caterpillar may transfer personal information to countries or jurisdictions that may not legally mandate the same level of data protection as the jurisdiction in which that personal information was collected. This Privacy Statement applies to all Caterpillar operations and their data processing activities and Caterpillar has entered into data transfer agreements with its affiliates worldwide to protect personal information.

Caterpillar only shares personal information with others in a manner consistent with this Privacy Statement, for the purposes stated above, when required by law, or with your consent. Information transfers to third parties will generally be transfers to third-party processors for those purposes consistent with this Privacy Statement. In addition, Caterpillar may transfer personal information to third-party data controllers as required by law, with your consent, or with approval from a relevant authority. In some jurisdictions, transfer of specifically delineated categories of data or transfer to certain third parties may require explicit consent from you. In all instances, the transfer of personal information is subject to local law and the attached appendices.

When Caterpillar shares personal information with third parties that process the personal information on Caterpillar’s behalf (e.g., contractors, consultants), Caterpillar takes reasonable steps to require such recipients to protect personal information in accordance with applicable laws. Examples of third parties with whom we may share information for any of these purposes include:

· Vendors, service providers, and other partners who support our business, such as providing technical infrastructure services;

· Law enforcement or other government agencies (when required by law; authorized by the customer; to protect Caterpillar, a person or property; and to support our business, such as in applications for government grants);

· Subsidiaries, affiliates and other entities controlled by Caterpillar;

· Other third-party service providers that process personal information on behalf of Caterpillar;

· An acquiring entity (or an entity that is interested in acquiring) in the event that Caterpillar divests (or is considering divesting) a portion of its business; and

· (Employees only) Vendors providing medical or financial planning services to employees.

Section 9. What are your Access rights regarding personal information?

Caterpillar takes steps to maintain the accuracy and completeness of personal information. You may request and will receive reasonable access to the personal information you have provided to Caterpillar and have an opportunity to correct it if necessary. Caterpillar procedures grant you access to your personal information and enable the exercise of other rights that may be available to you under applicable local law.

Unless prohibited by local law or, in some cases, as mandated by local law, your right to access your personal information may be limited. Examples for why your access may be limited include:

· The request relates to legal advice and proceedings;

· A legal privilege may be claimed regarding the subject matter of the information;

· The personal information also includes the personal information of a third party who has not consented to disclosure and whose privacy would be affected by any such disclosure;

· The request is insufficiently detailed or has already been responded to;

· The request is frivolous or vexatious; or

· (Employees only) The information could disclose a confidential reference.

Caterpillar will consider local laws when reviewing requests to access or alter personal information held by Caterpillar.

If you are a customer, please contact the person representing Caterpillar to whom you have given your personal information for the proper procedure for obtaining access to your personal information.

If you are an employee, please contact your local, regional or corporate Human Resources representative for the proper procedure for obtaining access to your personal information. Upon request, and after providing satisfactory proof of identity and any additional requirements established by applicable local law, you will be given access to your personal information that you have a right to review and, if appropriate, the option to copy, modify, delete, or contest that personal information in Caterpillar’s systems.

If you are a supplier, you may contact the individual at your organization who is responsible for the Caterpillar relationship and who maintains a Corporate Web Security Identification (CWS ID) and/or has access to the Supplier Data Management Application (e.g. Supplier Connect) for “self-service” access.

Section 10. Where can you obtain further information?

If you have any questions about this Privacy Statement, please email dataprivacy@cat.com or call the contact listed below. If you believe your personal information has been handled in a manner inconsistent with this Privacy Statement you should not hesitate to reach out to dataprivacy@cat.com or Caterpillar’s Office of Business Practices at https://www.caterpillar.com/en/company/code-of-conduct/office-of-business-practices.html or by calling +1 (800) 300-7898 or the country specific phone number listed on the above referenced website.

Data Privacy Point of Contact:

· Title: Director, Data Privacy

· Name: Mr. Todd Wagner

· Address: 100 NE Adams St., Peoria, IL 61629

· Telephone: +1 309-494-3282(DATA)

· Email: dataprivacy@cat.com

Additionally, contact information for your local Data Controller may also be provided in your purchase order or any other agreement you have with Caterpillar.

If you are an employee, you can receive more information through your local, regional or corporate Human Resources representative at:

· Human Resources, 100 N.E. Adams Street, Peoria, IL 61629, USA

· corporate_hr@cat.com

In some cases, contact information for your local Human Resources representative is included in your Employee Handbook or Agreement.

Section 11. What happens if this Privacy Statement changes?

We reserve the right to amend this Privacy Statement as needed. When we do, the changes will be communicated to affected persons at that time, and we will note near the top of this Privacy Statement the date that any such changes are made and/or when they become effective. In some instances, if the changes we make are material, we may also send you an e-mail message or other communication telling you about such changes and any choices you may have or actions you can take before they go into effect. Depending on the nature of the changes and subject to local law, your continued relationship with Caterpillar will demonstrate your acceptance of those changes.

Appendix 1. Non-Human Resources Data Subjects EEA

This Appendix to the Caterpillar Global Data Privacy Statement provides additional information about how Caterpillar collects, stores, uses, transfers and otherwise processes personal information (including special categories of personal information) in or from certain countries in the European Economic Area (“EEA”). This Appendix is applicable to individuals who do not have an employee / human resources relationship with Caterpillar. For more information please see Caterpillar’s Global Data Privacy Statement. For more information on how Caterpillar collects and processes non-personal information, please see Caterpillar’s Global Data Governance Statement.

If you were referred to this EEA Appendix from an agreement you have with Caterpillar, then the data controller for the personal information that is being processed in connection with that agreement will be the legal entity referred to in that agreement. For the purpose of this EEA Appendix, the relevant controllers are listed in Schedule A to Caterpillar’s Global Privacy Statement in the table identified as “Caterpillar Data Controllers.”

Section 1. What is the purpose of this appendix?

Caterpillar is committed to protecting the privacy and security of your personal information. This EEA Appendix describes how we collect, store, use, and transfer personal information about you during and after your relationship with us, in accordance with the General Data Protection Regulation (“GDPR”). As Data Controller, we are required under data protection legislation to notify you of the information contained in this EEA Appendix.

Section 2. What sensitive personal information could Caterpillar collect and process?

Sensitive personal information (also known as special categories of information) requires a higher level of protection. This is personal information which reveals or contains: racial or ethnic origin, political opinions, religious and philosophical beliefs, trade union membership, genetic data, biometric data, health data, sex life or sexual orientation.

We may collect, store and use the following, which may include or be considered “special categories” of information (as defined above):

· Background Information (e.g., marital status, dependent information, ethnicity and/or nationality, credit and criminal background checks, and drug and alcohol testing); and

· Biometric Information (e.g., thumbprints).

Section 3. Why does Caterpillar use your personal information?

We need all the categories of information collected primarily to allow us to manage our relationship with you in order to operate our business and to enable us to comply with our legal and regulatory obligations. In some cases, we may use your personal information to pursue legitimate interests of our own or those of third parties, provided your interests and fundamental rights do not override those interests.

The reasons for which we, or a contracted third party, will process your personal information are listed in Table 1 below.

Some of those purposes for processing will overlap and there may be several purposes which justify our use of your personal information.

Table 1. Categories, Purpose, and Legal Bases of Processing: Non-Human Resources Data

Section 4. What are Caterpillar’s lawful bases for processing your personal information?

We will only use your personal information when the law allows us to. Most commonly, we will rely on one or more of the following bases for processing your personal information:

· Where it is necessary in order to comply with a legal or regulatory obligation.

· Where it is necessary for our legitimate interests (or those of a third party) and your interests and fundamental rights do not override those interests.

· Where it is necessary for the performance of a contract.

We may also use your personal information in the following situations, which are likely to be rare:

· Where we need to protect your interests (or someone else’s interests).

· Where it is needed in the public interest or for official purposes.

· Where we have obtained your prior consent (this is only used in relation to voluntary processing and is not used for processing that is necessary or obligatory).

The legal grounds we rely on to process your personal information are listed in Table 1.

Section 5. What are special categories of personal information used for at Caterpillar?

We will use your special categories of personal information for the following purposes:

· Information related to biometric data, to identify or authenticate users and for access control purposes.

· Background check information, to evaluate and select individuals with whom Caterpillar is working.

We may process special categories of personal information (as defined above) because we have a lawful basis for doing so (as set out above) and because in limited circumstances, we have your explicit written consent. Less commonly, we may process this type of information where it is needed in relation to legal claims or where it is needed to protect your interests (or someone else’s interests) and you are not capable of giving your consent, or where you have already made the information public. We may also process such information in the course of legitimate business activities with the appropriate safeguards.

Section 6. When is automated decision making used?

Caterpillar does not regularly and systematically perform automated decision making producing a legal effect concerning individuals or that would have a similarly significant effect. In the event that you are interacting with a Caterpillar company that is performing such automated decision making you should receive a specific notice that outlines the details of the automated decision making.

Under European data protection laws (and subject to the manner in which they and other laws and regulations apply to and must be complied with by Caterpillar), you have the right to object to automated decision making using your personal information.

Section 7. Does Caterpillar need your consent?

In limited circumstances, we may approach you for your written consent to allow us to process certain particularly sensitive data. If we do so, we will provide you with details of the information that we would like and the reason we need it, so that you can carefully consider whether you wish to consent. We also rely on consent in other situations as identified in Table 1.

You should be aware that it is not a condition of your contract with us that you agree to any request for consent from us.

Section 8. What if you fail to provide your personal information?

If you fail to provide certain information when requested, we may not be able to perform the contract we have entered into with you (such as paying you or providing you with a product), or we may be prevented from complying with our legal or regulatory obligations.

Section 9. What if the purpose for which Caterpillar collected the personal information changes?

We will only use your personal information for the purposes for which we collected it, unless we reasonably consider that we need to use it for another reason and that reason is compatible with the original purpose. If we need to use your personal information for an unrelated purpose, we will notify you and we will explain the legal basis which allows us to do so.

Please note that we may process your personal information without your knowledge or consent, in compliance with the above rules, where this is required or permitted by law.

Section 10. Will Caterpillar share your personal information?

We may have to share your data with Third Parties (as defined below), including third-party service providers and Caterpillar.

We may transfer your personal information outside the European Union (“EU”). If we do, you can expect a similar degree of protection with respect to your personal information.

Section 11. Which Third Parties may process your personal information?

“Third Parties” includes third party service providers (including contractors, designated agents, insurers and insurance brokers) and other entities of Caterpillar. Examples include:

· Vendors, service providers, and other partners who support our business, such as providing technical infrastructure services;

· Law enforcement or other government agencies;

· Subsidiaries, affiliates and other entities controlled by Caterpillar;

· Other third-party service providers that process personal information on behalf of Caterpillar; and

· An acquiring entity (or an entity that is interested in acquiring) in the event that Caterpillar divests (or is considering divesting) a portion of its business.

Section 12. When might Caterpillar share your personal information within Caterpillar?

We will share your personal information within Caterpillar as part of our regular business and reporting activities, in the context of a business reorganization or group restructuring exercise, for system maintenance support, for hosting of data and for other legitimate business reasons.

Section 13. Why might Caterpillar share your personal information with Third Parties?

We will share your personal information with Third Parties for the following reasons:

· In order to comply with a legal or regulatory obligation, where such disclosure is required by a regulatory or supervisory authority, the police or a court of competent jurisdiction;

· Where it is necessary to administer the contract with or for you;

· For the purposes of auditing, insuring and in the course of seeking advice with regards to our business operations and claims handling; and

· Where we have another legitimate interest in doing so.

Section 14. When would Caterpillar transfer personal information outside of the EU?

The personal information that we collect about you may be transferred to, and stored at, one or more countries outside the European Economic Area (“EEA”). It may also be processed by staff operating outside the EEA who work for Caterpillar or for our third-party service providers. In such cases, we will take appropriate steps to ensure an adequate level of data protection of the recipient as required under the GDPR and as described in this document. If we cannot ensure such an adequate level of data protection, your personal data will only be transferred outside the EEA if you have given your prior consent to the transfer.

Section 15. What security measures are in place to protect personal information?

We have put in place appropriate security measures to protect the security of your personal information and provide the appropriate level of security for the risk, including measures designed to prevent your personal information from being accidentally lost, used or accessed in an unauthorized way, altered, or disclosed. Details of those measures are available on request. In addition, we limit access to your personal information to those employees, agents, contractors and other third parties who have a business need to know.

We have put in place procedures to deal with any suspected data security breach and will notify you and any applicable regulator of a suspected breach where we are legally required to do so.

Section 16. How long will Caterpillar retain personal information?

We will only retain your personal information for as long as necessary to fulfill the purposes for which it was collected, including for the purposes of satisfying any legal, regulatory, accounting, or reporting requirements. Details of retention periods for different aspects of your personal information are available in our data retention policy. To determine the appropriate retention period for personal information, we consider the amount, nature, and sensitivity of the personal information, the potential risk of harm from unauthorized use or disclosure of your personal information, the purposes for which we process your personal data and whether we can achieve those purposes through other means, and the applicable legal requirements.

Section 17. What is your duty to inform Caterpillar of changes to your personal information?

It is important that the personal information we hold about you is accurate and current. Please contact your Caterpillar contact or email dataprivacy@cat.com for informing us of any necessary changes to your personal information that we possess.

Section 18. What are your rights related to your personal information?

Under certain circumstances, by law you have the right to:

· Request access to your personal information (commonly known as a “data subject access request”). This enables you to receive a copy of the personal information we hold about you and to check that we are lawfully processing it.

· Request correction of the personal information that we hold about you. This enables you to have any incomplete or inaccurate personal information we hold about you corrected.

· Request erasure of your personal information. This enables you to ask us to delete or remove personal information where there is no good reason for us continuing to process it. You also have the right to ask us to delete or remove your personal information where you have exercised your right to object to processing (see below).

· Object to processing of your personal information where we are relying on a legitimate interest (or those of a third party) and there is something about your particular situation which makes you want to object to processing on this ground. You also have the right to object where we are processing your personal information for direct marketing purposes.

· Request the restriction of processing of your personal information. This enables you to ask us to suspend the processing of personal information about you, for example if you want us to establish its accuracy or the reason for processing it.

· Request the transfer of your personal information to another party.

· Lodge a complaint with the applicable supervisory authority with regard to our processing of your personal information.

If you want to review, verify, correct or request erasure of your personal information, object to or restrict the processing of your personal information, or request that we transfer a copy of your personal information to another party, please contact dataprivacy@cat.com for the proper procedure.

You will not have to pay a fee to access your personal information (or to exercise any of the other rights). However, we may charge a reasonable fee if your request for access is clearly unfounded or excessive. Alternatively, we may refuse to comply with the request in such circumstances.

Section 19. What might Caterpillar need from you?

We may need to request specific information from you to help us confirm your identity and ensure your right to access the personal information (or to exercise any of your other rights). This is another appropriate security measure to ensure that personal information is not disclosed to any person who has no right to receive it.

Section 20. What is your right to withdraw consent?

In the circumstances where you may have provided your consent to the collection, processing and transfer of your personal information for a specific purpose, you have the right to withdraw your consent for that specific processing at any time. To withdraw your consent, please contact dataprivacy@cat.com or use any unsubscribe options we may provide you in the context of our processing activities. Once we have received notification that you have withdrawn your consent, we will no longer process your personal information for the purpose or purposes you originally agreed to, and unless we have another lawful basis for continuing to process your personal information, we will dispose of it securely.

Section 21. What if there are changes to this document?

We reserve the right to update this Global Privacy Statement and this appendix at any time, and we will provide you with updated documents when we make any substantial updates. We may also notify you in other ways from time to time about the processing of your personal information.

[END Appendix 1. Non-Human Resources Data Subjects EEA]

Appendix 2. Human Resources Data Subjects EEA

This Appendix to the Caterpillar Global Data Privacy Statement provides additional information about how Caterpillar collects, stores, uses, transfers and otherwise processes personal information (including special categories of personal information) in or from certain countries in the European Economic Area (“EEA”). This Appendix is applicable to individuals who have an employee / human resources relationship with Caterpillar. For more information, please see Caterpillar’s Global Privacy Statement.

If you were referred to this EEA Appendix from an agreement you have with Caterpillar, then the data controller for the personal information that is being processed in connection with that agreement will be the legal entity referred to in that agreement. For the purpose of this EEA Appendix, the relevant controllers are listed in Schedule A to Caterpillar’s Global Privacy Statement in the table identified as “Caterpillar Data Controllers.”

Section 1. What is the purpose of this appendix?

Caterpillar is committed to protecting the privacy and security of your personal information. This EEA Appendix describes how we collect, store, use, and transfer personal information about you during and after your relationship with us, in accordance with the General Data Protection Regulation (“GDPR”). As Data Controller, we are required under data protection legislation to notify you of the information contained in this EEA Appendix.

Section 2. What sensitive personal information could Caterpillar collect and process?

Sensitive personal information (also known as special categories of information) requires a higher level of protection. This is personal information which reveals or contains: racial or ethnic origin, political opinions, religious and philosophical beliefs, trade union membership, genetic data, biometric data, health data, sex life or sexual orientation.

We may collect, store and use the following, which may include or be considered “special categories” of information (as defined above):

· Health Information (e.g., prescription records, benefit claims, and the Explanation of Benefits sent in connection with claims) related to, among other things, physical or mental health, disability status, sickness absence, and family related leaves;

· Background Information (e.g., marital status, dependent information, ethnicity and/or nationality, credit and criminal background checks, and drug and alcohol testing);

· Biometric Information (e.g., thumbprints); and

· Trade Union affiliation.

Section 3. Why does Caterpillar use your personal information?

Personal information is vital to our management and administration of employment relationships. We need all the categories of personal information collected primarily to allow us to manage our relationship with you and to enable us to comply with our legal and regulatory obligations. In some cases, we may use your personal information to pursue legitimate interests of our own or those of third parties, provided your interests and fundamental rights do not override those interests.

The reasons for which we, or a contracted third party, will process your personal information are listed in Table 1 below.

Some of those purposes for processing will overlap and there may be several purposes which justify our use of your personal information.

Table 1. Categories, Purpose, and Legal Bases of Processing: Human Resources Data

Section 4. What are Caterpillar’s lawful bases for processing your personal information?

We will only use your personal information when the law allows us to. Most commonly, we will rely on one or more of the following bases for processing your personal information:

· Where it is necessary for the performance of a contract we have entered into with you.

· Where it is necessary in order to comply with a legal or regulatory obligation.

· Where it is necessary for our legitimate interests (or those of a third party) and your interests and fundamental rights do not override those interests.

We may also use your personal information in the following situations, which are likely to be rare:

· Where we need to protect your interests (or someone else’s interests).

· Where it is needed in the public interest or for official purposes.

· Where we have obtained your prior consent (this is only used in relation to voluntary processing and is not used for processing that is necessary or obligatory).

We will rely on legitimate interests as the lawful basis for processing the categories of personal information set out below and in each case, we have identified the legitimate interest upon which we rely. (We also identify supplemental bases for processing certain categories of information where warranted.)

Section 5. What are special categories of personal information used for at Caterpillar?

We will use your special categories of personal information for the following purposes:

· Information relating to leaves of absence, which may include sickness absence or family related leaves, to comply with employment and other laws.

· Information about your physical or mental health, or disability status, to ensure your health and safety in the workplace and to assess your fitness to work, to provide appropriate workplace adjustments, to monitor and manage sickness absence and to administer benefits.

· Information related to trade union affiliation to facilitate dues collection, maintain contact lists, and perform other business-related activities.

· Information related to ethnicity and/or nationality, to comply with employment and other laws.

· Information related to biometric data, to identify or authenticate users and for access control purposes.

· Information related to employment-related background checks, to evaluate and select individuals for a role within Caterpillar.

We may process special categories of personal information (as defined above) because we have a lawful basis for doing so (as set out above) and because:

· In limited circumstances, we have your explicit written consent;

· We need to carry out obligations or exercise specific rights in the field of employment and social security law and in line with our Global Data Privacy Statement;

· Where it is needed in the public interest, such as for equal opportunities monitoring and in line with our Global Data Privacy Statement; or

· Where it is needed to assess your working capacity on health grounds, subject to appropriate confidentiality safeguards.

Less commonly, we may process this type of information where it is needed in relation to legal claims or where it is needed to protect your interests (or someone else’s interests) and you are not capable of giving your consent, or where you have already made the information public. We may also process such information in the course of legitimate business activities with the appropriate safeguards.

Section 6. When is automated decision making used?

Caterpillar does not regularly and systematically perform automated decision making producing a legal effect concerning individuals or that would have a similarly significant effect. In the event that you are interacting with a Caterpillar company that is performing such automated decision making you should receive a specific notice that outlines the details of the automated decision making.

Under European data protection laws (and subject to the manner in which they and other laws and regulations apply to and must be complied with by Caterpillar), you have the right to object to automated decision making using your personal information.

Section 7. Does Caterpillar need your consent?

In limited circumstances, we may approach you for your written consent to allow us to process certain particularly sensitive data. If we do so, we will provide you with details of the information that we would like and the reason we need it, so that you can carefully consider whether you wish to consent.

You should be aware that it is not a condition of your contract with us that you agree to any request for consent from us.

Section 8. What if you fail to provide your personal information?

If you fail to provide certain information when requested, we may not be able to perform the contract we have entered into with you (such as paying you or providing a benefit), or we may be prevented from complying with our legal or regulatory obligations (such as ensuring your health and safety).

Section 9. What if the purpose for which Caterpillar collected the personal information changes?

We will only use your personal information for the purposes for which we collected it, unless we reasonably consider that we need to use it for another reason and that reason is compatible with the original purpose. If we need to use your personal information for an unrelated purpose, we will notify you and we will explain the legal basis which allows us to do so.

Please note that we may process your personal information without your knowledge or consent, in compliance with the above rules, where this is required or permitted by law.

Section 10. Will Caterpillar share your personal information?

We may have to share your data with Third Parties (as defined below), including third-party service providers and Caterpillar.

We may transfer your personal information outside the European Union (“EU”). If we do, you can expect a similar degree of protection with respect to your personal information.

Section 11. Which Third Parties may process your personal information?

“Third Parties” includes third-party service providers (including contractors, designated agents, insurers and insurance brokers) and other entities of Caterpillar. Examples include:

· Vendors, service providers, and other partners who support our business, such as providing technical infrastructure services;

· Law enforcement or other government agencies;

· Subsidiaries, affiliates and other entities controlled by Caterpillar;

· Other third-party service providers that process personal information on behalf of Caterpillar; and

· An acquiring entity (or an entity that is interested in acquiring) in the event that Caterpillar divests (or is considering divesting) a portion of its business.

Section 12. When might Caterpillar share your personal information within Caterpillar?

We will share your personal information within Caterpillar as part of our regular business and reporting activities, in the context of a business reorganization or group restructuring exercise, for system maintenance support, for hosting of data and for other legitimate business reasons. Examples include:

· payroll;

· benefits provision and administration (including pensions);

· occupational health or medical assessments regarding your fitness to work and health and safety (e.g. work station assessments);

· insurance claims and notifications;

· provision and administration of recruitment assessments, training and professional development;

· library and research services such as subscriptions and memberships;

· building security access and maintenance;

· travel providers;

· telecommunications and messaging services such as our business continuity emergency notification system;

· hard copy archiving; and

· IT services.

Section 13. Why might Caterpillar share your personal information with Third Parties?

We will share your personal information with Third Parties for the following reasons:

· In order to comply with a legal or regulatory obligation, where such disclosure is required by a regulatory or supervisory authority, the police or a court of competent jurisdiction;

· Where it is necessary to administer the contract, working relationship and any associated benefits with or for you;

· For the purposes of auditing, insuring and in the course of seeking advice with regards to our business operations and claims handling; and

· Where we have another legitimate interest in doing so.

Section 14. When would Caterpillar transfer personal information outside of the EU?

The personal information that we collect about you may be transferred to, and stored at, one or more countries outside the European Economic Area (“EEA”). It may also be processed by staff operating outside the EEA who work for Caterpillar or for our third-party service providers. In such cases, we will take appropriate steps to ensure an adequate level of data protection of the recipient as required under the GDPR and as described in this document. If we cannot ensure such an adequate level of data protection, your personal data will only be transferred outside the EEA if you have given your prior consent to the transfer.

Section 15. What security measures are in place to protect personal information?

We have put in place appropriate security measures to protect the security of your personal information and provide the appropriate level of security for the risk, including measures designed to prevent your personal information from being accidentally lost, used or accessed in an unauthorized way, altered, or disclosed. Details of those measures are available on request. In addition, we limit access to your personal information to those employees, agents, contractors and other third parties who have a business need to know.

We have put in place procedures to deal with any suspected data security breach and will notify you and any applicable regulator of a suspected breach where we are legally required to do so.

Section 16. How long will Caterpillar retain personal information?

We will only retain your personal information for as long as necessary to fulfill the purposes for which it was collected, including for the purposes of satisfying any legal, regulatory, accounting, or reporting requirements. Details of retention periods for different aspects of your personal information are available in our data retention policy which is available from the HR department. To determine the appropriate retention period for personal information, we consider the amount, nature, and sensitivity of the personal information, the potential risk of harm from unauthorized use or disclosure of your personal information, the purposes for which we process your personal data and whether we can achieve those purposes through other means, and the applicable legal requirements.

Once you are no longer an employee, worker or contractor of Caterpillar, we will retain and securely destroy your personal information in accordance with our data retention policy.

Section 17. What is your duty to inform Caterpillar of changes to your personal information?

It is important that the personal information we hold about you is accurate and current. Please contact your Human Resources representative for the proper procedure for informing us of any necessary changes to your personal information that we possess.

Section 18. What are your rights related to your personal information?

Under certain circumstances, by law you have the right to:

· Request access to your personal information (commonly known as a “data subject access request”). This enables you to receive a copy of the personal information we hold about you and to check that we are lawfully processing it.

· Request correction of the personal information that we hold about you. This enables you to have any incomplete or inaccurate personal information we hold about you corrected.

· Request erasure of your personal information. This enables you to ask us to delete or remove personal information where there is no good reason for us continuing to process it. You also have the right to ask us to delete or remove your personal information where you have exercised your right to object to processing (see below).

· Object to processing of your personal information where we are relying on a legitimate interest (or those of a third party) and there is something about your particular situation which makes you want to object to processing on this ground. You also have the right to object where we are processing your personal information for direct marketing purposes.

· Request the restriction of processing of your personal information. This enables you to ask us to suspend the processing of personal information about you, for example if you want us to establish its accuracy or the reason for processing it.

· Request the transfer of your personal information to another party.

· Lodge a complaint with the applicable supervisory authority with regard to our processing of your personal information.

If you want to review, verify, correct or request erasure of your personal information, object to or restrict the processing of your personal information, or request that we transfer a copy of your personal information to another party, please contact your local, regional or corporate Human Resources representative, or dataprivacy@cat.com for the proper procedure.

You will not have to pay a fee to access your personal information (or to exercise any of the other rights). However, we may charge a reasonable fee if your request for access is clearly unfounded or excessive. Alternatively, we may refuse to comply with the request in such circumstances.

Section 19. What might Caterpillar need from you?

We may need to request specific information from you to help us confirm your identity and ensure your right to access the personal information (or to exercise any of your other rights). This is another appropriate security measure to ensure that personal information is not disclosed to any person who has no right to receive it.

Section 20. What is your right to withdraw consent?

In the limited circumstances where you may have provided your consent to the collection, processing and transfer of your personal information for a specific purpose, you have the right to withdraw your consent for that specific processing at any time. To withdraw your consent, please your local, regional or corporate Human Resources representative. Once we have received notification that you have withdrawn your consent, we will no longer process your personal information for the purpose or purposes you originally agreed to, and unless we have another lawful basis for continuing to process your personal information, we will dispose of it securely.

Section 21. What if there are changes to this document?

We reserve the right to update this Global Privacy Statement and this appendix at any time, and we will provide you with updated documents when we make any substantial updates. We may also notify you in other ways from time to time about the processing of your personal information.

[END Appendix 2. Human Resources Data Subjects EEA]

Data Governance Statement

LAST UPDATED: November 3, 2016

• What Information We Collect
• How We Collect Information
• How We Use Information
• How We Disclose Information
• Remote Services and Updates
• Security
• Choices and Access
• Other Important Information
• Updates to this Data Governance Statement
• Contacting Us
  

This Data Governance Statement describes the practices of Caterpillar Inc. (“Caterpillar,” “we,” “us” or “our”) for collecting information from customers and Distribution Networks relating to machines, products or other assets and their associated worksites (collectively “Assets”), and the operations of our distribution networks, including dealers and their related entities (“Distribution Networks”). We collect this information through online and offline means including: (1) applications and platforms for use on or through computers, APIs, and mobile devices, such as VisionLink® and Product LinkTM Web (“Applications”); (2) telematics or other devices on Assets, whether manufactured by Caterpillar or by other companies (“Devices” and, together with the Applications, “Digital Offerings”); and (3) our Distribution Networks, component manufacturers, service providers, and customers.

You should regularly review this Statement carefully to understand what information our digital offerings receive, generate and transmit—and what we do with that information. By providing System Data, Operations Data, or Personal Information (each as defined below) to us, you agree to the terms and conditions of this Data Governance Statement, including our collection, use and sharing of that information.

WHAT INFORMATION WE MAY COLLECT

“System Data” is information that is ingested or used by or generated through Digital Offerings, which may include:

• Device, Asset and Component Information, including model number, serial number, order number, software and hardware version numbers, performance, and configuration, including work tools or other peripheral devices attached to Assets.
• Electronic Data, including sensor logs, trends, histograms, event data, other alerts, digital state data, fault codes, idle time, daily and cumulative fuel consumption, emissions data, service meter hours, electronic data files downloaded manually or automatically from an Asset, troubleshooting data, and other data, depending on the customer and Asset and communication channel used by a Device.
• Inspection Data, including results of inspections using a Caterpillar or third-party inspection system.
• Device Location Information, including the physical location of an Asset (e.g., determined using satellite, GPS, cell phone tower, Bluetooth or WiFi signals).
• Fluid Data, including analysis results of fluid samples (such as oil, hydraulic and coolant fluids) obtained using Caterpillar or third-party tools.
• Event Recorder Data, including location, speed, direction and associated video recordings, use of controls and positive train control information.
• Service and Maintenance History, including work orders (records of all maintenance, repair, parts purchases, replacement and modification to an Asset), component life (history of usage and wear life of a component), maintenance schedule, planned maintenance, warranty coverage data, maintenance and repair contracts, service intervals (scheduled interval for planned maintenance of component replacement activities for an Asset), component lists (lists of parts that make up an Asset) and service letters (describing special service actions recommended by Caterpillar to correct a known problem with an Asset).
• Site and Environmental Conditions, including the type of work being done, condition of roads or tracks, altitude, climate and material tracking.
• Patterns of Use, including any user-defined information relating to a product you provide to us through a Digital Offering.
  

“Personal Information” is information that relates to an identified or identifiable individual, which may include:

• Name
• Postal address (including billing and shipping addresses)
• Telephone number
• Email address
• Identification information such as usernames and user IDs
• The employer or company with which an individual is associated and his or her role and title
• User Profile information
• Location information
• Information about any computer or mobile device with which you access Applications
• Information about your use of Applications
• Audiovisual data
• Physiological data such as eye movement, facial expressions, heart rate

“Operations Data” is information we may collect from or that is otherwise provided by Distribution Networks through Caterpillar’s data flow & information integration platform with its dealers, which may include:

• Information contained in invoices and service contracts.
• Information about customers of Distribution Networks, including the customer’s name, address, industry, customer category, the name, position, email address, and telephone number of the designated contact person, the name, email address and telephone number of the Dealer’s sales representative assigned to the customer, and other information relating to the Dealer’s relationship with its customer.
• Work order data, including information about the customer, Asset involved, problem identified, and repairs performed
• Store hierarchy data, including information about Dealer inventory reporting and replenishment processes.
• Information used by Distribution Networks to manage a fleet of Assets (either owned or rental) including customers of Distribution Networks and worksites.
• Dealer component data, including Information relating to management and replenishment of parts inventory, and customer purchases, returns and replacements.

Information collected by Caterpillar may simultaneously constitute System Data, Personal Information, and Operations Data, or any combination thereof. If you submit any System Data, Operations Data, or Personal Information in connection with Digital Offerings, including System Data that may relate to Devices on Assets that are not manufactured by Caterpillar, you represent that you have the authority to do so and to permit us to use the information in accordance with this Data Governance Statement.

HOW WE MAY COLLECT INFORMATION

We and our service providers may collect information in a variety of ways, including:

• Through Devices: We may receive information via cellular or satellite link, or radio or Ethernet connection from Assets equipped with a Device, which may include System Data (such as information relating to the Device or Asset) or Personal Information (such as from information generated by fatigue monitoring devices, on-board camera and proximity detection systems, and in-cab monitoring technology). Some information may be collected automatically, such as fault codes, hours of operation and fuel levels.
• Through Applications and Online: We may collect information through Applications (e.g., when you enter maintenance information) or when you use our websites, online services or platforms. We may also receive information through other online means, such as when you initiate a data transmission through on-site servers or email inspection information to us. We may also collect information typically collected through websites and mobile applications, such as browser and device information, application usage data, information collected through cookies, pixel tags and other technologies, IP addresses and location information.
• Offline: We may collect information when you interact with us or our Distribution Networks, attend one of our trade shows, place an order or contact customer service.
• From Component Manufacturers and OEMs: We may obtain System Data from manufacturers of the components in your Assets or of non-Caterpillar Assets you use. This information may be provided to us automatically.
• Through Wearable Technology: We may collect information through wearable technology, such as fatigue monitoring devices or RFID tags embedded in hardhats or safety vests.
• From Asset Owners, Distribution Networks and Others: We may receive additional information from Asset owners, Distribution Networks, operators and other persons who have management responsibility for an Asset.
• From Other Sources: We may receive your information from other sources, such as public databases, joint marketing partners, social media platforms (including from people with whom you are friends or are otherwise connected) and from other third parties. We may collect or generate information from troubleshooting data, from your service providers (such as fluid analysts and site inspectors) or from maintenance, inspection or warranty records.

HOW WE MAY USE INFORMATION

We may, and may permit our Distribution Networks to, use collected information for the following purposes:

To Provide Services to You and Others:

• To allow you or the Dealer to monitor the status of Assets, to provide you use of Applications, to complete and fulfill purchases, and to communicate with you regarding your purchase or rental and provide you with related customer service.
• To fulfill customer support agreements, perform maintenance and repairs and deliver rental Assets or parts.
• To make recommendations regarding safety, Asset health, maintenance, worksite efficiency and productivity training for operators.
• To enhance the safety of machine operations, including by tracking proximity to Assets, other objects or humans.
• To enable remote technician services, such as remote troubleshooting, and remote tuning.
• To provide you with location-based services and content.

To Enable Communications:

• To manage the connection to the Asset or Device.
• To allow you and other users of Applications to communicate with each other through Applications.
• To send administrative or contractual information, for example, information regarding the terms and conditions of using Digital Offerings, warranty policies or service contracts.
• To provide you with information about new products and services and to send you marketing communications that we believe may be of interest to you.

For General Business Purposes:

• To conduct market research or to evaluate Caterpillar or Distribution Networks.
• To perform data analytics, audits, improving products, developing new products, enhancing, improving or modifying our Digital Offerings, identifying usage trends and operating and expanding our business activities and for statistical analysis based on aggregated and de-identified data, such as benchmarking reports.
• To provide services to customers, manage work flow, monitor repairs, project future maintenance and service, and troubleshoot issues.
• To validate effectiveness of recommendations, resolve complaints, and fulfill orders.
• To manage inventory in order to provide you with parts and services.
• To manage a fleet of owned or rented Assets.
• To maximize the efficiency of operations and increase sales.
• To develop digital applications.

Other Uses:

• To allow you to participate in sweepstakes, contests or similar promotions and to administer these activities. Some of these activities have additional rules, which could contain additional information about how we use and disclose your Personal Information. We suggest that you read any such rules carefully.
• For additional uses as agreed by you and us.

With respect to audiovisual data that identifies an individual or physiological data for an identifiable individual, we will use that data only to provide products and services to our customers, including to make recommendations regarding safety, Asset health, maintenance, worksite efficiency and productivity training for operators, and to improve our products and services.

HOW WE MAY DISCLOSE INFORMATION

We may disclose information:

• To our affiliates which are entities directly or indirectly, controlling, controlled by, or under common control with Caterpillar Inc. (for a list, see Exhibit 21 of our Form 10-K available here) for the purposes described in this Data Governance Statement. Caterpillar Inc. is the entity responsible for information jointly used with its affiliates.
• To Distribution Networks to permit them to use System Data and Personal Information to maintain relationships with you, provide services to you and send marketing communications to you.
• To Asset owners, to permit them to manage their use of their Asset.
• To our service providers who provide services such as data analytics, information technology and related infrastructure provision, application development, platform hosting, customer service, product development, auditing, advisory and other services.
• To component manufacturers, to permit them to study the use of their products, to improve their products and to develop new products.
• To agents, service providers or other third parties contracted by or engaged in business with Asset owners, who have management responsibility for the Asset.
• To a third party in the event of any reorganization, merger, sale, joint venture, assignment, transfer or other disposition of all or any portion of our or any of our affiliate’s business, Assets or stock (including in connection with any bankruptcy or similar proceedings).
• To additional recipients as agreed by you and us.

Location Data: We may share location information with our affiliates and Distribution Networks to enable them to provide you with localized content and services. In some instances, you may be permitted to allow or deny such uses and/or sharing of your Device’s location, but if you do, we and/or our affiliates and Distribution Networks may not be able to provide you with the applicable services and content.

We may use or disclose information, as we believe to be necessary or appropriate: (a) under applicable law, including laws outside your country of residence; (b) to comply with legal process; (c) to respond to lawful requests from public and government authorities, including public and government authorities outside your country of residence; (d) to enforce our terms and conditions; (e) to protect our operations or those of any of our affiliates; (f) to protect our rights, privacy, safety or property, and/or that of our affiliates, you or others, including for purposes of information security; and (g) to allow us to pursue available remedies or limit the damages that we may sustain.

De-identified or Aggregated Information: De-identified or Aggregated Personal Information, Operations Data or System Data does not personally identify you or any other user of Digital Offerings (for example, we may aggregate Personal Information to calculate the percentage of our users who have a particular telephone area code, or we may aggregate System Data to calculate component wear rates). We may use and disclose de-identified or aggregated information for any purpose, except where we are required to do otherwise under applicable law.

REMOTE SERVICES AND UPDATES

Device Software Maintenance: From time to time, we use System Data to remotely examine and update Devices that we manufacture or otherwise provide (e.g., to update system settings or to manage the communications carriers used to connect to Caterpillar or our affiliates). In doing so, we may change the volume or granularity of System Data that we collect in order to improve the utility of Digital Offerings to you, as well as to improve our products and services, among other purposes. If the change in data we collect materially changes the scope of System Data, we will update this Data Governance Statement as described in “Updates to This Data Governance Statement” below.

Asset Software Maintenance: In addition, we offer Asset owners the option to participate in our automatic update service for Asset software. If you participate in this service, we will use System Data to remotely update software that controls machine operations for your Caterpillar Asset, and we may push the software update files to the Asset in preparation for an update.

SECURITY

We use reasonable organizational, technical and administrative measures designed to protect information within our organization. Unfortunately, no data transmission or storage system can be guaranteed to be 100% secure. If you have reason to believe that your interaction with us is no longer secure (for example, if you feel that the security of your account has been compromised), please immediately notify us in accordance with the “Contacting Us” section below.

CHOICES AND ACCESS

Your choices regarding our use and disclosure of your Personal Information

We give you choices regarding our use and disclosure of your Personal Information. You may opt-out from:

• Receiving electronic marketing communications from us: If you no longer want to receive marketing emails relating to Digital Offerings from us on a going-forward basis, you may opt-out by contacting us via email at CatConnectCare@cat.com. We will process your request(s) as soon as reasonably practicable. Please note that if you opt-out of receiving marketing-related emails from us, we may still send you important administrative messages, from which you cannot opt-out.
• Our sharing of your Personal Information with our Distribution Networks for their direct marketing purposes: If you would prefer that we not share your Personal Information from Digital Offerings on a going-forward basis with our Distribution Networks for their direct marketing purposes, you may opt-out of this sharing by contacting us via email at CatConnectCare@cat.com.

How you can access, change or suppress your Personal Information

If you would like to review, correct, update, suppress or delete Personal Information that you have previously provided to us, you may contact us by email at CatConnectCare@cat.com.

In your request, please make clear what Personal Information you would like to have changed, whether you would like to have your Personal Information suppressed in our database. For your protection, we may only implement requests with respect to the Personal Information associated with the particular email address that you use to send us your request, and we may need to verify your identity before implementing your request. We will process your request as soon as reasonably practicable.

Please note that we may need to retain certain information for recordkeeping purposes or in accordance with agreements we may have with a third party (e.g., an Asset owner or Dealer that employs you). There may also be residual information that will remain within our databases and other records, which will not be removed.

OTHER IMPORTANT INFORMATION

Third Party Content: This Data Governance Statement does not address, and we are not responsible for (i) the privacy, information or other practices of any third party operating any website or online service to which a Digital Offerings links (e.g., our Applications may include, for your convenience, a hyperlink to local weather information provided by a third party with whom we have no business relationship) and (ii) Personal Information controlled by a third party, such as a supplier, service provider, or customer, even if such Personal Information is collected or otherwise processed by Caterpillar. Further, the inclusion of a link in a Digital Offering does not imply endorsement of the linked site or service by us or by our affiliates.

Retention Period: We will retain your Personal Information for the period necessary to fulfill the purposes outlined in this Data Governance Statement unless a longer retention period is required or permitted by law.

Cross Border Transfers: Your information may be stored and processed in any country where we operate or where our service providers operate, and by using a Digital Offering you expressly consent to the transfer of information to countries outside of your country of residence, including the United States, which may have data protection rules that are different from those of your country.

Sensitive Information: Our Digital Offerings are not designed for you to send us sensitive Personal Information such as social security numbers, information related to racial or ethnic origin, political opinions, religion or other beliefs, or genetic characteristics, criminal background or trade union membership. We request that you refrain from sending such information on or through Digital Offerings or otherwise to us.

UPDATES TO THIS DATA GOVERNACE STATEMENT

We may change this Data Governance Statement. The “LAST UPDATED” legend at the top of this page indicates when this Data Governance Statement was last revised. Any changes will become effective when we post the revised Data Governance Statement. Your use of Digital Offerings following these changes means that you accept the revised Data Governance Statement.

CONTACTING US

If you have any questions about this Data Governance Statement, please contact us at CatConnectCare@cat.com.

Customer Interaction Center Data Privacy Statement

Caterpillar.com recognizes and respects the privacy interest of individuals with regard to personal information provided to the Customer Interaction Center activities are consistent with Caterpillar's Data Privacy Principles.

How do we collect personal information?
We collect the personal information that you supply to the Customer Interaction Center, through the Caterpillar.com Contact Form. We may also collect personal information from other sources, both within and outside Caterpillar.

Do we use electronic mechanisms such as 'Cookies'?
The Customer Interaction Center does not use cookies as a means of personal information collection.

What personal information do we collect?
We collect first name, last name, address, city, state/province, Post Code, country, email and phone number that you provide to us on the Caterpillar.com Contact Form.

How do we use this personal information?
Personal information collected by us in connection with the Caterpillar.com Contact Form is used to fulfill your request for literature or contact.

How do we safeguard personal information?
Customer Interaction Center utilizes reasonable measures to protect personal information against loss, manipulation, falsification, unauthorized access, or unauthorized disclosure by any party inside or outside Caterpillar. For example, this information is kept in a database which requires authorization and a password to access, which is behind a security firewall.

Will we disclose the personal information that we collect?
We may disclose your personal information when it is necessary to answer your inquiry and to fulfill the purposes of the Caterpillar.com Contact Form. In any case, the disclosure of personal information is given only to those with a legitimate business reason to access the information. Notwithstanding the above disclosures, we will disclose personal information when required or permitted by law or according to relevant Corporate Policies.

How may I access my personal information?
Upon request, and after providing satisfactory proof of identity, individuals will be given access to the personal information they have provided through the submission of this form.

The Customer Interaction Center retains personal information provided to us only as long as needed to fulfill your request and for necessary follow-up and otherwise as provided by law or appropriate Caterpillar records retention guidelines.
Your consent
By providing personal information to us, you consent to the collection and use of the personal information in accordance with the purposes described in this privacy statement. Since this service is 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 Customer Interaction Center Coordinator using one of the following methods:

• Raising an inquiry using the Contact Form
• By telephone in the United States at (309) 578-6298
  
• By fax in the United States at (309) 578-2559

What Happens if this privacy statement changes?

We reserve the right to amend this Contact Form Data Privacy Statement. If the Customer Interaction Center updates or changes this privacy statement, the changes will be made on this page. Your use of the Contact Form following the posting of changes to this Contact Form Data Privacy Statement will demonstrate your acceptance of those changes.

January 21, 2004