We are committed to doing business the right way, responsibly, with integrity, and in line with the highest ethical standards. Our Code of Conduct helps guide our actions and decisions, ensuring we earn and keep the trust of our clients, communities, and each other.

If you see or hear about something that doesn’t feel right—whether it’s a legal, regulatory, or ethical issue, we encourage you to speak up. This includes concerns about:

1. Fraudulent Activities
2. Violations of Tax or Customs Regulations
3. Non-Compliance with Sanctions and Embargoes
4. Breaches of Data Protection and Privacy Laws
5. Money Laundering and Terrorist Financing
6. Corruption, Including Bribery and Improper Influence
7. Infringements of Competition and Antitrust Legislation
8. Conflicts of Interest
9. Environmental or Human Rights Concerns within the Supply Chain
10. Workplace Misconduct, Including Harassment and Discrimination
11. Non-Adherence to Technical Compliance Standards

 
Reports can be made anonymously. All concerns are treated with care and discretion by our Office of Best Practices and, when needed, our investigation teams to make sure they’re properly followed up.

To promote transparency and accountability, we adhere to the response timelines set by the EU Whistleblower Protection Directive (EU) 2019/1937):

• Acknowledgment: Reports are confirmed as being received within 7 calendar days.
• Follow-up: Within 3 months of acknowledgment, we provide updates on the investigation’s progress or outcome.
• Extensions: For particularly complex cases, the response period may be extended to 6 months, provided the integrity advocate is informed in advance and given a clear explanation.

These timeframes help ensure that all concerns are addressed in a timely, fair, and thorough manner.

We fully support integrity advocates and protect anyone who raises concerns in good faith under the Whistleblower Protection Act, which shields you from retaliation.

You can report suspected misconduct involving our employees or representatives confidentially and anonymously via:

A. E-mail: BusinessPractices@cat.com
B. By Phone:

Hotline numbers

Country	Phone
Australia	1-800-49-1791
Belgium	0800-13 628
Brazil	0800-900-0042
Canada	1-800-300-7898
China	4001200062
Czech Republic	800-880-854
France	0800-90-87-84
Germany	0800-182-0159
Hungary	06-80-020-141
India	022-5097-2500
Indonesia	021-31141485
Italy (includes San Marino, Vatican City)	800826914
Japan	0800-500-9525
Kazakhstan	8 (727) 357 4043
Korea	00308-11-0555
Mexico	8008721646
Netherlands	0800-0229851
Poland	800005260
Singapore	8004922811
Slovak Republic	0800-601-181
South Africa	080-098-2631
Spain	900751127
Sweden	020-79-48-59
Switzerland	0800 010 011
Thailand	1800018222
United Arab Emirates	8000120286
United Kingdom & Northern Ireland	0800-031-8509
United States (including U.S. Virgin Islands)	1-800-300-7898

C. Online Reporting: https://caterpillar.ethicspoint.com/
D. In person: Contact the Caterpillar Energy Solutions GmbH Compliance Manager via CES_Compliance@cat.com.

If reporting within the organization is not possible or does not lead to action, concerns can be raised with official external bodies. This helps ensure that the issue is reviewed independently and fairly.

Maintaining a culture of integrity is everyone’s responsibility. By staying alert, speaking up, and holding ourselves and others accountable, we help ensure that our workplace remains respectful, ethical, and compliant. Thank you for your commitment to doing what’s right.