GENERAL DISCLOSURES DISCLOSURE DISCLOSURE TITLE RESPONSE NUMBER 403-8 Workers covered by an occupational health and safety People > Employee Health and Safety management system 403-9 Work-related injuries Reporting > ESG Data 403-10 Work-related ill health Reporting > ESG Data GRI 404: TRAINING AND EDUCATION 103-1 Explanation of the material topic and its Boundary Reporting > Prioritization and Management of ESG Issues People > Talent Development & Training 103-2 The management approach and its components People > Talent Development & Training 103-3 Evaluation of the management approach People > Talent Development & Training 404-2 Programs for upgrading employee skills and transition People > Talent Development & Training assistance programs GRI 405: DIVERSITY AND EQUAL OPPORTUNITY Reporting > Prioritization and Management of ESG Issues 103-1 Explanation of the material topic and its Boundary People > Health & Well-Being, Diversity & Inclusion, Human Rights & Employee Experience 103-2 The management approach and its components People > Health & Well-Being, Diversity & Inclusion, Human Rights & Employee Experience 103-3 Evaluation of the management approach People > Health & Well-Being, Diversity & Inclusion, Human Rights & Employee Experience 405-1 Diversity of governance bodies and employees Reporting > ESG Data 2022 Proxy, pg. 11 GRI 412: HUMAN RIGHTS ASSESSMENT Reporting > Prioritization and Management of ESG Issues 103-1 Explanation of the material topic and its Boundary Material Procurement People > Health & Well-Being, Diversity & Inclusion, Human Rights & Employee Experience Material Procurement 103-2 The management approach and its components People > Health & Well-Being, Diversity & Inclusion, Human Rights & Employee Experience Material Procurement 103-3 Evaluation of the management approach People > Health & Well-Being, Diversity & Inclusion, Human Rights & Employee Experience All Caterpillar employees are annually required to complete Code of Conduct training. 412-2 Employee training on human rights policies or procedures As part of this training, employees must certify that they have read, understand and agree to comply with the Code of Conduct. Additional compliance training is also provided to employees based on risk identified in their job roles. 66CATERPILLAR 2021 SUSTAINABILITY REPORT