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Violation Tracker Current Parent Company Summary
Current Parent Company Name: Caterpillar Inc.
Ownership Structure: publicly traded (ticker symbol CAT)
Headquartered in: Illinois
Major Industry: heavy equipment
Specific Industry: construction equipment
Penalty total since 2000: $109,337,689
Number of records: 116
| Top 5 Offense Groups (Groups Defined) | Penalty Total | Number of Records |
| safety-related offenses | $60,980,045 | 74 |
| environment-related offenses | $29,513,868 | 27 |
| employment-related offenses | $18,759,426 | 10 |
| consumer-protection-related offenses | $40,000 | 3 |
| competition-related offenses | $26,350 | 1 |
| Top 5 Primary Offense Types | Penalty Total | Number of Records |
| product safety violation | $60,000,000 | 1 |
| environmental violation | $29,513,868 | 27 |
| benefit plan administrator violation | $16,500,000 | 1 |
| wage and hour violation | $1,826,624 | 3 |
| workplace safety or health violation | $915,675 | 68 |
Notes: Parent-subsidiary linkages are based on relationships current as of the latest revision listed in the
Update Log, which may vary from what was the case when a violation occurred. The penalty totals are adjusted to account for the fact that the individual entries below may include both agency records and settlement announcements for the same case; or else a penalty covering multiple locations may be listed in the individual records for each of the facilities. The totals are also adjusted to reflect cases in which federal and state or local agencies cooperated and issued separate announcements of the outcome. Duplicate or overlapping penalty amounts are marked with an asterisk in the list below.
Links: Subsidy Tracker data on financial assistance to this company by federal, state and local government agencies can be found
here.
For an overview of assistance this company is receiving under the CARES Act, see its Covid Stimulus Watch summary page
here.
Individual Penalty Records:
Click on the company or penalty amount for more information on each case.
| Company | Primary Offense Type | Year  . | Agency | Penalty Amount |
| Caterpillar, Inc. | labor relations violation | 2004 | NLRB | $65,000 |
| CATERPILLAR, INC. | environmental violation | 2004 | SC-ENV | $25,000 |
| HAYNES CORPORATION | workplace safety or health violation | 2004 | OSHA | $6,975 |
| Caterpillar, Inc. | economic sanction violation | 2003 | OFAC | $18,000 |
| Caterpillar Insurance Services Corp. | insurance violation | 2003 | IN-INS | $10,000 |
| Caterpillar Insurance Services Corporation | insurance violation | 2003 | MA-INS | $25,000 |
| CATERPILLAR INSURANCE SERVICES CORP | insurance violation | 2003 | VA-INS | $5,000 |
| CATERPILLAR,INC.-HIGH PERFORMANCE EXTRUSIONS GROUP | workplace safety or health violation | 2003 | OSHA | $11,050 |
| Caterpillar, Inc. | environmental violation | 2002 | IL-ENV | $20,000 |
| CATERPILLAR, INC. | environmental violation | 2002 | SC-ENV | $15,000 |
| PROGRESS RAIL SERVICES CORPORATION | workplace safety or health violation | 2002 | OSHA | $5,000 |
| Caterpillar | employment discrimination | 2001 | private lawsuit-federal | $256,303 |
| PROGRESS RAIL SERVICES, INC. | workplace safety or health violation | 2001 | OSHA | $6,300 |
| PROGRESS RAIL SERVICES, INC. | workplace safety or health violation | 2001 | OSHA | $12,600 |
| ANCHOR COUPLING CO | workplace safety or health violation | 2000 | OSHA | $5,225 |
| CATERPILLAR PAVING PRODUCTS INC | workplace safety or health violation | 2000 | OSHA | $6,370 |
