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2020 Sustainability Report Caterpillar’s Environmental,
Social and Governance Approach

SASB Index

Topic SASB Code Metric Unit of Measure Response/Comment
Topic: Accounting Metrics SASB Code: RT-IG-000.A Metric: Number of units produced by product category Unit of Measure: Number Response/Comment: Sales data is provided in Caterpillar's annual report to shareholders on Form 10-K.
SASB Code: RT-IG-000.B Metric: Number of Employees Unit of Measure: Number Response/Comment: 97,300
Topic: Energy Management SASB Code: RT-IG-130a.1 Metric: (1) total energy consumed Unit of Measure: Gigajoules (GJ) Response/Comment: Total energy consumed in GJ for 2020 is 19,340,000.
Metric: (2) percentage grid electricity Unit of Measure: % Response/Comment: 87.3%
Metric: (3) percentage renewable Unit of Measure: % Response/Comment: 21%
Topic: Employee Health and Safety SASB Code: RT-IG-320a.1 Metric: (1) total recordable incident rate (TRIR) Unit of Measure: Rate Response/Comment: 0.4214
Metric: (2) fatality rate Unit of Measure: Number Response/Comment: 0 employees, 2 contractors
Metric: (3) near miss frequency rate (NMFR) Unit of Measure: Rate Response/Comment: Caterpillar emphasizes the importance of reviewing all work-related environmental, health and safety incidents, including near misses. Near misses are communicated and managed locally.
Topic: Fuel Economy & Emissions in Use-Phase SASB Code: RT-IG-410a.1 Metric: Sales-weighted fleet fuel efficiency for medium- and heavy-duty vehicles Unit of Measure: Gallons per 1,000 ton-miles Response/Comment: Not applicable to Caterpillar.
SASB Code: RT-IG-410a.2 Metric: Sales-weighted fuel efficiency for non-road equipment Unit of Measure: Gallons per hour Response/Comment: We continue to invest in research and development aimed at products that generate fewer direct emissions. Read more about our focus on energy, fuel economy and emissions. Given the diversity of our products and applications in which our products are used, as well as the lack of industry standards to estimate on a per unit of work basis, Caterpillar does not calculate sales-weighted fuel efficiency or emissions in this manner.
SASB Code: RT-IG-410a.3 Metric: Sales-weighted fuel efficiency for stationary generators Unit of Measure: Watts per hour Response/Comment: Watts per hour
SASB Code: RT-IG-410a.4 Metric: Sales-weighted emissions of:
(1) nitrogen oxides (NOx) and
(2) particulate matter (PM) for:
(a) marine diesel engines, (b) locomotive diesel engines, (c) on-road medium- and heavy-duty engines, and (d) other non-road diesel engines
Unit of Measure: Grams per kilowatt-hour Response/Comment: Grams per kilowatt-hour
Topic: Materials Sourcing SASB Code: RT-IG-440a.1 Metric: Description of the management of risks associated with the use of critical materials Unit of Measure: N/A Response/Comment: Caterpillar responsibly sources the raw materials used to build our products. Please see the materials section of this report.
Topic: Remanufacturing Design & Services SASB Code: RT-IG-440b.1 Metric: Revenue from remanufactured products and remanufacturing services Unit of Measure: Reporting currency Response/Comment: Our remanufacturing and rebuild sales and revenues have grown -12% and 1%, respectively, since 2013.7

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