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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 TotalNumber of Records
safety-related offenses$60,980,04574
environment-related offenses$29,513,86827
employment-related offenses$18,759,42610
consumer-protection-related offenses$40,0003
competition-related offenses$26,3501
Top 5 Primary Offense TypesPenalty TotalNumber of Records
product safety violation$60,000,0001
environmental violation$29,513,86827
benefit plan administrator violation$16,500,0001
wage and hour violation$1,826,6243
workplace safety or health violation$915,67568
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.

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CompanyPrimary Offense TypeYear sort icon . AgencyPenalty Amount
Caterpillar, Inc.labor relations violation2004NLRB$65,000
CATERPILLAR, INC.environmental violation2004SC-ENV$25,000
HAYNES CORPORATIONworkplace safety or health violation2004OSHA$6,975
Caterpillar, Inc.economic sanction violation2003OFAC$18,000
Caterpillar Insurance Services violation2003IN-INS$10,000
Caterpillar Insurance Services Corporationinsurance violation2003MA-INS$25,000
CATERPILLAR,INC.-HIGH PERFORMANCE EXTRUSIONS GROUPworkplace safety or health violation2003OSHA$11,050
Caterpillar, Inc.environmental violation2002IL-ENV$20,000
CATERPILLAR, INC.environmental violation2002SC-ENV$15,000
PROGRESS RAIL SERVICES CORPORATIONworkplace safety or health violation2002OSHA$5,000
Caterpillaremployment discrimination2001private lawsuit-federal$256,303
PROGRESS RAIL SERVICES, INC.workplace safety or health violation2001OSHA$6,300
PROGRESS RAIL SERVICES, INC.workplace safety or health violation2001OSHA$12,600
ANCHOR COUPLING COworkplace safety or health violation2000OSHA$5,225
CATERPILLAR PAVING PRODUCTS INCworkplace safety or health violation2000OSHA$6,370
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.