Violation Tracker Parent Company Summary

Parent Company Name: 
Caterpillar
Ownership Structure: 
publicly traded (ticker symbol CAT)
Headquartered in: 
Illinois
Major Industry: 
heavy equipment
Specific Industry: 
construction equipment
Penalty total since 2000: 
$47,255,205
Number of records: 
108
Top 5 Offense Groups (Groups Defined)Penalty TotalNumber of Records
environment-related offenses$29,498,37426
employment-related offenses$16,959,4269
safety-related offenses$713,05568
consumer-protection-related offenses$40,0003
competition-related offenses$26,3501
Top 5 Primary Offense TypesPenalty TotalNumber of Records
environmental violation$29,498,37426
benefit plan administrator violation$16,500,0001
workplace safety or health violation$656,18564
employment discrimination$256,3031
labor relations violation$160,6953
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.
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)
Company Primary Offense Typesort icon Year Agency Penalty Amount
SOLAR TURBINES, INC aviation safety violation 2012 FAA $10,000
Caterpillar Inc. benefit plan administrator violation 2010 private lawsuit-federal $16,500,000
Caterpillar, Inc. economic sanction violation 2003 OFAC $18,000
Caterpillar employment discrimination 2001 private lawsuit-federal $256,303
Caterpillar Inc. environmental violation 2011 EPA $2,550,000
United Industries LLC environmental violation 2017 USAO $25,000,000
Caterpillar (Joliet) environmental violation 2011 EPA $90,000
CATERPILLAR INC environmental violation 2012 EPA $20,000
CATERPILLAR INC environmental violation 2006 EPA $300,000
Caterpillar, Inc. environmental violation 2011 EPA (*) $2,550,000
Caterpillar, Inc. environmental violation 2008 EPA $96,750
CATERPILLAR INC environmental violation 2008 EPA $30,500
Caterpillar Inc. environmental violation 2012 EPA $20,000
Progress Rail Services Corporation environmental violation 2014 AL-ENV $45,000
Caterpillar, Inc. environmental violation 2012 AR-ENV $6,300
Progress Rail Services environmental violation 2014 CA-ARB $390,733
Caterpillar, Inc. environmental violation 2012 CA-ARB $510,000
Solar Turbines, Inc. environmental violation 2010 CA-DTSC $38,000
Solar Turbines, Inc. environmental violation 2006 CA-DTSC $73,754
CATERPILLAR INC. environmental violation 2016 IL-ENV $25,000
CATERPILLAR, INC. environmental violation 2010 IL-ENV $85,000
Caterpillar, Inc. environmental violation 2002 IL-ENV $20,000
CATERPILLAR INC environmental violation 2016 IN-ENV $15,050
PROGRESS RAIL SVCS CORP environmental violation 2016 IN-ENV $12,063
PROGRESS RAIL SVCS CORP environmental violation 2014 IN-ENV $6,563
CATERPILLAR INC environmental violation 2013 IN-ENV $12,500
PROGRESS RAIL SVCS CORP environmental violation 2006 IN-ENV $105,000
CATERPILLAR, INC. environmental violation 2004 SC-ENV $25,000
CATERPILLAR, INC. environmental violation 2002 SC-ENV $15,000
Caterpillar Inc. environmental violation 2013 TX-ENV $6,161
Electro-Motive Diesel, Inc. export control violation 2014 BIS $26,350
Caterpillar, Inc. Family and Medical Leave Act 2013 WHD $7,812
Caterpillar Inc. Family and Medical Leave Act 2017 WHD $7,992
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 LOGISTICS, INC. labor relations violation 2017 NLRB $88,445
Progress Rail Services labor relations violation 2008 NLRB $7,250
Caterpillar, Inc. labor relations violation 2004 NLRB $65,000
BUCYRUS FIELD SERVICES INC motor vehicle safety violation 2009 FMCSA $5,910
PROGRESS RAIL SERVICES CORPORATION motor vehicle safety violation 2008 FMCSA $30,960
Progress Rail Services Corporation railroad safety violation 2010 FRA $10,000
Caterpillar Logistic Services Inc. wage and hour violation 2010 WHD $18,990
Caterpillar, Inc wage and hour violation 2007 WHD $7,634
PROGRESS RAIL SERVICES, INC. workplace safety or health violation 2001 OSHA $6,300
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
MINSERCO, INC. workplace safety or health violation 2001 OSHA $7,897
PROGRESS RAIL SERVICES, INC. workplace safety or health violation 2001 OSHA $12,600
CATERPILLAR,INC.-HIGH PERFORMANCE EXTRUSIONS GROUP workplace safety or health violation 2003 OSHA $11,050
PROGRESS RAIL SERVICES CORPORATION workplace safety or health violation 2002 OSHA $5,000
MINSERCO, INC. workplace safety or health violation 2005 OSHA $5,624
HAYNES CORPORATION workplace safety or health violation 2004 OSHA $6,975
CATERPILLAR, INC. workplace safety or health violation 2006 OSHA $20,340
CATERPILLAR, INC., TRACK-TYPE TRACTORS DIV workplace safety or health violation 2007 OSHA $7,000
CATERPILLAR, INC. workplace safety or health violation 2007 OSHA $5,000
CATERPILLAR INC. workplace safety or health violation 2008 OSHA $8,000
CATERPILLAR, INC. workplace safety or health violation 2008 OSHA $15,500
CATERPILLAR, INC. workplace safety or health violation 2008 OSHA $8,900
PROGRESS RAIL SERVICES DBA CHEMETRON RAILWAY workplace safety or health violation 2009 OSHA $5,000
CATERPILLAR, INC. workplace safety or health violation 2008 OSHA $9,500
CATERPILLAR, INC. workplace safety or health violation 2009 OSHA $7,000
CATERPILLAR INC. workplace safety or health violation 2009 OSHA $10,000
CATERPILLAR, INC. workplace safety or health violation 2009 OSHA $6,000
CATERPILLAR INC. workplace safety or health violation 2010 OSHA $5,000
ELECTRO-MOTIVE DIESEL workplace safety or health violation 2010 OSHA $12,000
ELECTRO-MOTIVE DIESEL workplace safety or health violation 2010 OSHA $6,375
CATERPILLAR, INC. workplace safety or health violation 2010 OSHA $7,000
CATERPILLAR INC. workplace safety or health violation 2010 OSHA $13,200
CATERPILLAR INC. workplace safety or health violation 2011 OSHA $7,000
PROGRESS RAIL SERVICES CORPORATION workplace safety or health violation 2012 OSHA $8,500
PROGRESS RAIL SERVICES CORPORATION workplace safety or health violation 2013 OSHA $7,000
PROGRESS RAIL SERVICES CORP workplace safety or health violation 2014 OSHA $5,000
PROGRESS RAIL SERVICES CORPORATION workplace safety or health violation 2013 OSHA $13,375
PROGRESS RAIL SERVICES workplace safety or health violation 2015 OSHA $9,000
BUCYRUS INTERNATIONAL, INC. workplace safety or health violation 2011 OSHA $7,000
KEMPER VALVE AND FITTINGS CORPORATION workplace safety or health violation 2012 OSHA $5,880
CATERPILLAR INC. workplace safety or health violation 2012 OSHA $15,400
CATERPILLAR GLOBAL MINING LLC workplace safety or health violation 2013 OSHA $7,000
PROGRESS RAIL SERVICES CORPORATION workplace safety or health violation 2013 OSHA $10,962
HAYNES CORPORATION workplace safety or health violation 2014 OSHA $17,150
KEMPER VALVE & FITTINGS CORP. workplace safety or health violation 2015 OSHA $7,000
CATERPILLAR INC workplace safety or health violation 2015 OSHA $13,200
CATERPILLAR INC. workplace safety or health violation 2016 OSHA $7,000
PROGRESS RAIL WELDING CORPORATION workplace safety or health violation 2017 OSHA $8,054
PROGRESS RAIL SERVICES workplace safety or health violation 2017 OSHA $5,400
CATERPILLAR INC. workplace safety or health violation 2017 OSHA $5,079
PROGRESS RAIL SERVICES workplace safety or health violation 2017 OSHA $12,548
CATERPILLAR LOGISTICS INC. workplace safety or health violation 2017 OSHA $25,868
CATERPILLAR GLOBAL MINING, INC. workplace safety or health violation 2018 OSHA $12,934
PROGRESS RAIL SERVICES CORPORATION workplace safety or health violation 2018 OSHA $15,000
CATERPILLAR INC. workplace safety or health violation 2018 OSHA $12,934
PROGRESS RAIL SERVICES CORPORATION workplace safety or health violation 2018 OSHA $6,300
CATERPILLAR INC. workplace safety or health violation 2019 OSHA $10,419
CATERPILLAR INC. workplace safety or health violation 2019 OSHA $17,712
PROGRESS RAIL SERVICES CORPORATION workplace safety or health violation 2020 OSHA $6,882
Caterpillar, Inc. workplace safety or health violation 2007 MSHA $10,000
Caterpillar, Inc. workplace safety or health violation 2007 MSHA $30,000
Caterpillar, Inc. workplace safety or health violation 2006 MSHA $5,000
Caterpillar, Inc. workplace safety or health violation 2008 MSHA $51,000
Caterpillar, Inc. workplace safety or health violation 2009 MSHA $9,500
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)