MATERIAL PROCUREMENT SUPPLIER DIVERSITY Supplier diversity continues to be a focus for our strategic procurement team. With a strong base of diverse suppliers already in place, we are investing in tools that will help identify diverse suppliers for new business opportunities. This is key to delivering on our commitment to foster and increase business purchases with diverse suppliers. RESPONSIBLE MINERAL SOURCING Many considerations go into the responsible sourcing of minerals used in our products. Tin, tungsten, tantalum and gold (3TG), collectively known as “conflict minerals,” have been associated with human rights violations in the Democratic Republic of the Congo and adjoining countries. Our Conflict Minerals Position Statement contains clear expectations for our suppliers regarding their sourcing of these materials. We have established a process that identifies areas of risk on an ongoing basis, and corrective action plans to mitigate or remediate such risks relating to conflict minerals. A supplier’s failure to take corrective actions when required may lead to additional actions, up to and including the termination of our business relationship. Caterpillar supports the Responsible Minerals Initiative to help influence smelters’ engagement to support supply chain transparency and leverage industry collaboration toward greater business intelligence. Year over year, we strive for an increased supplier response rate, emphasizing 3TG priority suppliers. Caterpillar also publicly discloses the results of our Reasonable Country of Origin process and any necessary due diligence in Form SD and Conflict Minerals Report as required by the Securities and Exchange Commission, which discloses metrics and results of inquiries we execute within our first-tier suppliers. In these reports, we describe our due diligence efforts, including risk mitigation and process improvements we expect to implement in the following year. Learn more about our Conflict Minerals Position Statement 33CATERPILLAR 2021 SUSTAINABILITY REPORT