Violation Tracker Parent Company Summary

Parent Company Name: 
Ownership Structure: 
publicly traded (ticker symbol CAT)
Headquartered in: 
Major Industry: 
heavy equipment
Specific Industry: 
construction equipment
Penalty total since 2000: 
Number of records: 
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

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.


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 Type Year Agency Penalty Amountsort icon
Caterpillar employment discrimination 2001 private lawsuit-federal $256,303
CATERPILLAR INC environmental violation 2006 EPA $300,000
Progress Rail Services environmental violation 2014 CA-ARB $390,733
Caterpillar, Inc. environmental violation 2012 CA-ARB $510,000
Caterpillar Inc. environmental violation 2011 EPA $2,550,000
Caterpillar, Inc. environmental violation 2011 EPA (*) $2,550,000
Caterpillar Inc. benefit plan administrator violation 2010 private lawsuit-federal $16,500,000
United Industries LLC environmental violation 2017 USAO $25,000,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)