PRIVACY

KNZ-002

 Purpose

To ensure compliance with the Privacy Act 2020, New Zealand (Act) including Information Privacy Principles.

This policy sets out how Kubota protects privacy in relation to personal information.  How we collect, store, secure, use, provide access or update to, destroy and otherwise manage personal information, as defined by the Act.  It provides procedures to ensure the integrity and accuracy of information stored, protection of privacy and from data breaches and guidelines for how any Privacy breaches are to be managed.

Scope

This policy applies to all employees, contractors or agents of Kubota who are responsible for handling and managing any aspect of personal information as defined by the Act.  For clarity, this includes, but is not limited to; managing directors’, executives, employees, contractors, suppliers and agents acting on behalf of Kubota as well as any person or corporation (including a director or secretary of that corporation) that has entered into a Dealership Agreement with Kubota (Dealers).

Policy

Collection of Information

We collect personal information (including sensitive information) about individuals, including employees, independent contractors, suppliers and Dealers we deal with.  We follow these principles in doing so:

• We must only collect personal information that is relevant and essential to our dealings with the person/s to whom the personal information relates.
• We only use personal information for the purpose it was collected, no other purpose unless the individual provides explicit consent or a law requires us to disclose.
• Wherever reasonably possible, we collect personal information directly from the person to whom it relates. In certain instances, we receive information about people from authorised third parties and resources.
• In relation to our employees we collect information, including as essential sensitive information, to enable and facilitate employment and to comply with a range of employment related law, as amended from time to time.
• For Dealers, commercial or consumer customers and suppliers representatives, we collect the minimum amount of personal information necessary in order to transact business and provide services. This may include basic contact information but may also extend to certain unique identifiers, such as Tax File Numbers, where necessary to transact particular types of business or provide requested services (the reason for collection should be explained to the individual).

Some of the products and services we provide include the delivery of services to Dealers in collaboration with other suppliers or manufacturers. Under these circumstances, we are provided with personal information which has been collected by a Dealer. In all situations where we obtain personal information from a third party, we confirm in writing that the:

• information is accurate and was acquired in accordance the Privacy Act 2020,
• third party is permitted to provide the information to us, and,
• third party is authorised to use the information for the purposes for which they are supplying it.

Where Kubota are delivering a product or service in collaboration with a third party, Kubota may share personal information it obtains with the other party to the extent reasonably necessary to deliver its products and services.

Use of Information

Kubota only uses personal information it collects for essential business purposes to enable the satisfaction of legal requirements such as in employment, or the provision of products and services to the individuals to whom the information relates.

Disclosure

Kubota will not disclose any personal information, including sensitive information, to a third party for any purpose other than for the primary purpose for which it was collected unless it is authorised, except where there is a legal requirement that Kubota must comply with in relation to disclosure.

Kubota may, in carrying out the primary purpose, engage third parties to act on our behalf.  For example, we may engage information technology suppliers, marketing and advertising agencies, mailing and logistics providers and professional advisors. When we do so, we take steps to ensure any contracts governing these arrangements pass on obligations to third party organisations to require that they adopt the same Privacy Principles as Kubota.

If Kubota intends to disclose any personal information it collects from an individual in any other manner than those contemplated above, we must inform this at the time the information is collected.

Kubota will not disclose collected personal information to any person or entity located outside Australia or New Zealand unless:

• The explicit consent of the person to whom the information relates has been provided for the disclosure.
• The recipient of the information is subject to a law or binding scheme, that provides at least a substantially similar level of protection in respect of the use of personal information to that available under New Zealand law and the person to whom the information relates is directly able to enforce their rights in respect of that protection; or
• the disclosure is otherwise required in compliance with our obligations under an applicable law.

Data Integrity and Security

Kubota must take reasonable steps to ensure the information that is collected is complete, accurate and current.  We must also take steps to ensure that information is protected from misuse, unauthorised access, inappropriate modification, or disclosure.  Those who collect and handle personal information must do so in accordance with our systems and processes.

Kubota possess a separate policy “Securing Sensitive Information” which is required to be followed in order to prevent breaches of Privacy or Data Breaches.

Access and Correction

Should Kubota hold personal information about an individual, they (or their authorised legal representative) are entitled to provide Kubota with written updates or corrections in relation to the information.  These will be assessed and updated where necessary.

In relation to certain information held, where relevant laws allow an individual may be able to obtain a copy of any personal information we hold which relates to them or request destruction of information.

Any requests for access to a copy of personal information held, correction (if not best dealt with by the collector) or destruction should be made to Kubota New Zealand’s Privacy Officer.  Please email privacy@kubota.co.nz and include relevant identifying information, such as; your name, date of birth, applicable residential address, and other relevant information. Requests are generally considered and an initial response made within twenty business days of receiving a written request.

Destruction

All personal information no longer required shall be destroyed in accordance with the Act, or, as required by other legislation.  A regular audit of personal information and destruction requirements shall be undertaken by the collector to ensure compliance.

Compliance with Policy and Procedures

There may be a range of consequences for Kubota employees and contractors or third parties where there is a failure to comply with the Privacy Act and Kubota’s relevant Policies and Procedures.

In respect to employees and contractors failure to comply may lead to disciplinary action, up to and including termination of employment or contract under the ‘Managing Performance and Conduct’ Policies and Procedures.  In respect to other parties, legal action may be contemplated or taken and/ or contractual arrangements terminated depending on the circumstances.

Procedures

Privacy and Data breaches

A potential privacy or data breach occurs when personal information is not managed in accordance with the Privacy Act and Information Privacy Principles, and/or, there is an external event that breaches the integrity or security of information.

Examples of data breaches which may result in a breach of privacy include, but are not limited to:

• When Kubota mistakenly provides personal information to the wrong person or an unauthorised person
• Where a password or login details are provided to and used by an unauthorised person to access information
• A hacking event where Kubota’s database/s containing collected personal information are illegally accessed or destroyed by individuals external to the organisation
• Where an employee or contractor removes records from the office and the information is misappropriated, lost or stolen

Kubota must adhere to its “Securing Sensitive Information” Policy to take steps to prevent privacy and data breaches.

Kubota will report privacy breaches that are likely to cause anyone serious harm, to the Office of the Privacy Commissioner (OPC) no later than 72 hours after Kubota is aware of a notifiable privacy breach.

Privacy Complaints

Privacy complaints regarding any of the matters outlined in this Policy and Procedure or the application of relevant laws and consequent decisions should be made to Kubota’s Privacy Officer.

Email: privacy@kubota.co.nz

Address: Privacy Officer, Kubota Australia Pty Ltd 25-29 Permas Way, Truganina, VIC 3029 Australia

Phone: 0061 9394 4400

If you are not satisfied with the outcome, the matter may be referred to the Office of the Privacy Commissioner (OPC)

Contact details for the OPC are:

Website: https://www.privacy.org.nz/about-us/contact/

ANTI-BRIBERY AND CORRUPTION

KNZ_ALL XXX

Purpose

This policy sets out the responsibilities of directors, employees of Kubota New Zealand Limited (Kubota), and its suppliers and agents acting on behalf of Kubota as well as any person or corporation (including a director or secretary of that corporation) that has entered into a Dealership Agreement with Kubota in observing and upholding the prohibition on bribery, corruption and related improper conduct.

The document provides information and guidance on how to recognise and deal with instances of bribery or corruption.

Kubota is committed to complying with the laws and regulations of the countries in which its business operates. Bribery, corruption and the related improper conduct referred to in this policy are serious criminal offences for both the company and any individuals involved. This conduct is inconsistent with Kubota values.

Scope

This policy applies to all directors, employees of Kubota, suppliers and agents acting on behalf of Kubota as well as any person or corporation (including a director or secretary of that corporation) that has entered into a Dealership Agreement with Kubota

Definitions

Bribe is an offer, promise or giving of anything of value to improperly influence a person’s actions or decisions to gain or retain a business benefit. Bribery and corruption can take many forms including, the provision or acceptance of cash payments, facilitation payments, kickbacks, political contributions, charitable contributions, social benefits, gifts, travel, hospitality and rebates or reimbursements.

Bribe Acceptance is the act of accepting, or a demand or promise to accept, a bribe.

Some indications of bribery that may arise during working for or providing services to Kubota could include, but are not limited to:

• A party insisting on receiving a commission or fee payment before committing to sign up to a contract
• A party requesting payment in cash and/or refuses to sign a formal commission or fee agreement, or to provide an invoice or receipt for a payment made
• A party requesting that payment is made to a country or geographic location different from where the party resides or conducts business
• A party requesting an unexpected additional fee or commission to facilitate a service
• A party demanding lavish entertainment or gifts before commencing or continuing contractual negotiations or provision of services
• A party requesting that a payment is made to overlook potential legal violations
• A party insisting on the use of side letters or refusing to put terms agreed in writing

Public Official may include, but not be limited to, any of the following:

• a public official of a government or a municipal government
• an official of an association established by a government or a municipal government
• an official of an organization de facto controlled by a government or a municipal government
• an officer or staff of a public international organisation
• an officer or staff of a political party
• a candidate for public office
• a person acting in place of the persons described above

Corruption is the misuse of entrusted power or office, for private gain.

Policy

Directives

Directors, employees of Kubota, suppliers and agents acting on behalf of Kubota as well as any person or corporation (including a director or secretary of that corporation) that has entered into a Dealership Agreement with Kubota must:

• Understand and comply with this policy in all regards
• Not give, offer, accept, or request bribes, facilitation payments, secret commissions or other prohibited payments or engage in money laundering or cause any of them to be given, offered, accepted, or requested
• Not approve any offers, or make, accept, or request an irregular payment or other value, to win business or influence a business decision in favour of Kubota
• Comply with any reporting and approval processes in relation to Benefits, including gifts, entertainment, or hospitality
• Not offer or receive any benefit such as gifts, entertainment, or hospitality to or from public officials outside policy and approval processes
• Obtain required approval/s for donations and sponsorships
• Maintain accurate records of dealings with third parties
• Be vigilant and report any actual or suspected breaches of, or suspicious behaviour related to bribery, corruption or associated conduct

Directors and employees of Kubota:

• Must not receive any gifts, entertainment, or hospitality from any party including suppliers and agents acting on behalf of Kubota as well as any person or corporation (including a director or secretary of that corporation) that has entered into a Dealership Agreement with Kubota outside the KNZ Conflict-of-Interest policy

Due diligence and contract management

Kubota team members, including directors and employees, when contracting with a third party, must undertake and ensure completion of relevant and appropriate due diligence in advance of the making of a contract.  Due diligence must be conducted in accordance with Guidelines determined by each department and/or any guidelines provided by Kubota, as amended from time to time.  Contracts may only be executed by those with the authority and power to do so in alignment with Kubota’s Delegation and Authority Schedule, as amended from time to time.

Record keeping

All accounts, invoices and other documents and records relating to dealings with third parties (including due diligence reports), must be prepared and maintained with strict accuracy and completeness. No accounts may be kept “off the books” to facilitate or conceal improper conduct, including improper payment.

Internal control systems and procedures adopted to comply with this policy will be the subject of regular internal compliance reviews by the Compliance Officer, and potentially external audit, to provide assurance that they are effective in mitigating risk and non-compliance.

Reporting breaches 

Actual or suspected breaches of this policy must be reported in accordance with the Procedure below.

Consequences of breach

A breach of this Policy may be regarded as serious misconduct in employment, leading to disciplinary action, which may include immediate termination of employment and referral to appropriate authorities and/or other legal action.  Other parties committing a breach may be subject to termination of contractual agreements without notice, and/or referral to authorities and/or other legal action, as appropriate.

Procedures

Reporting actual or suspected breaches

Reports should be made:

• By email to kau_g.whistleblower@KubotaAustralia.com.aufor receipt by Kubota’s Compliance Officer in respect to Australia and New Zealand.
• To a General Manager or officer of Kubota (such as a Board member) by email or telephone at +61 9394 4400, on the understanding that these will need to be referred to the Compliance Officer
• Anonymously to: Kubota Australia Pty Ltd, Compliance Officer, 25-29 Permas Way, Truganina, VIC, 3029 Australia

Key resources

Conflict of Interest Policy and Procedure

Delegation and Authority Schedule

PROTECTED DISCLOSURES/ PROTECTION OF WHISTLEBLOWERS

Purpose

This Policy supports compliance with the Protected Disclosures (Protection of Whistleblowers) Act 2022 (New Zealand). It aims to create a safe way to report wrongdoing, to protect whistleblowers and those that are the subjects of yet to be investigated and substantiated concerns from adverse action, discrimination and victimisation. The Policy provides a framework to deal with and remedy reported matters.

Scope/ Eligibility

This Policy extends to serious wrongdoing that occurs before or after the commencement of this Policy.

A team member, including employee, former employee, contractor, secondee or volunteer may make a disclosure under this policy.

Policy

What to report

Should you have reasonable grounds or belief to suspect that misconduct has occurred, or that an improper state of affairs or circumstances exist within Kubota New Zealand you may choose to make a report.  The subject of any report may include current or former team members (including employees and contractors), officers or Board members of Kubota New Zealand.  Please refer to the Kubota Australia policy in relation to the making of a Whistleblower complaint regarding Kubota Australia.

Misconduct may include, but is not limited to:

• Breach of specific legislation
• Dishonest, corrupt or illegal activities
• Serious breach of Policies and Procedures, including serious risks to health and safety or environment
• Fraud, theft, money laundering or misappropriation
• Offering or accepting a bribe
• Damage/ sabotage
• Instruction to cover up or attempt to cover up serious wrongdoing/ actual or potential offences

Personal work-related grievances covered by the Employment Relations Act are excluded from his Policy and should be dealt with under other policies and New Zealand employment law.

Protected Disclosure/ Report

A “Protected Disclosure” is a report made in accordance with the Protected Disclosures (Protection of Whistleblowers) Act 2022 and this Policy.

Nothing in this Policy is intended to abrogate or diminish any additional or alternative protections which may be available at law. To be protected under this Policy, a discloser/ whistleblower must:

• be acting with reasonable belief that the information in the allegation is true or likely to be true
• make the disclosure in accordance with this Policy; and
• not have engaged yourself in illegal or serious misconduct in relation to the conduct you are reporting. However, you may still wish to report this in the knowledge that it is not a protected disclosure.

Advice prior to lodgement

Before making a report, it is recommended that you contact the Office of the Ombudsman, New Zealand for advice and guidance.

Who to report to

Depending on a range of circumstances, you may choose to make a report internally to Kubota New Zealand or externally.  See the Procedures section regarding who to report to, in what format and the information to include in your report.

Alternatively, you may determine that it is reasonable and necessary for you to make your report directly to relevant authorities or external entities.  The Office of the Ombudsman has a listing of all relevant authorities and can provide advice regarding appropriate lodgement of disclosures.

Protections

Investigation and findings

Kubota shall apply principles of procedural fairness and natural justice to the conduct of any investigation and resultant findings arising under this Policy.

Duty not to disclose identity

A team member to whom a report has been made, must not disclose either a discloser/ whistleblower's identity, or any information likely to lead to the identification of the discloser/ whistleblower. The only exceptions are where:

• the identity of the discloser/ whistleblower is disclosed with the consent, is provided as required by law to regulatory or law enforcement bodies if required, or is given to a lawyer in order to obtain legal advice or representation; and
• information likely to lead to the identification of the discloser/ whistleblower (but not the discloser/ whistleblower's identity) is disclosed because it is reasonably necessary for the purpose of investigating the matter, and the person takes all reasonable steps to reduce the risk that the discloser/whistleblower will be identified.

Protection from discrimination and victimisation

The whistleblower/s, nor the person/s who are the subject of a yet to be investigated and substantiated concern must not be treated adversely nor discriminated against in any aspect of employment and must not be victimised.  Refer to the Harassment, Discrimination and Bullying Policy and relevant legislation such as the Human Rights Act 1993 (New Zealand) for further information.

Should any action be taken against an employee who is a discloser/ whistleblower they may take action as prescribed at law such as raising a personal grievance or instituting action under the Human Rights Act 1993 (New Zealand).

Limitation of Policy

Kubota have no ability to offer discloser/s, whistleblower/s immunity against criminal or civil legal action that may be taken against them.

Procedures

Who to report to

Depending on a range of circumstances, you may choose to make a report internally to Kubota.  You may make a report to:

• The nominated Whistleblower Protection Officer, currently the Compliance Officer.
• A General Manager on the understanding that they will need to refer this to our nominated Whistleblower Protection Officer.
• An officer of Kubota New Zealand (such as a Board member).
• The General Manager of Finance and Administration should the subject of complaint be the Compliance Officer.
• Care of whistleblower@kubota.com which is received by our nominated Whistleblower Protection Officer in respect to Australia and New Zealand.
• Anonymously to: Kubota Australia Pty Ltd, Whistleblower Protection Officer, 25-29 Permas Way, Truganina, VIC, 3029.

Where the subject of the report is the Whistleblower Protection Officer, the report should be made to the General Manager, Finance and Administration (who will assume, or delegate to an external professional, all case management duties of the Whistleblower Protection Officer).  Should the General Manager, Finance and Administration also be implicated, the report should be made to Kubota New Zealand's Managing Director (who will assume, or delegate to an external professional, all case management duties of the Whistleblower Protection Officer and General Manager Finance and Administration).  Where the Managing Director is implicated, the report may be directed to the Kubota Australia Board or Kubota Corporation if more appropriate to do so.

Alternatively, you may determine that it is reasonable and necessary for you to make your report directly to relevant authorities or external entities.  Contact the relevant authority/s or entity/s for detailed information or refer to Protected Disclosure information contained on their website/s.

Content of report

Your report may be made verbally or in writing.  It is strongly preferred that you make a report in writing to ensure clear communication and to enable the best possible management of the matter.

Information you should pass on in your report should include:

• date of report
• identity of reporter (if disclosed/ known)
• substance of report
• any dates or details of when, where or how the reportable conduct occurred
• the identity or level of seniority of the person/s who are the subject of the report
• the perceived level of risk or gravity of the reportable conduct
• any other pertinent matters or evidence.

Receipt of reports

If you receive a Whistleblower report, you must ensure it is conveyed to the Whistleblower Protection Officer expediently. It is recommended that you pass on the report within 24 hours, or sooner where it would be assumed the matter would be urgent or involves a potential emergency.

Once you have passed on the report, you should take no further action.  You will generally not be kept updated as to the status of the report.  You must not discuss the report further and must maintain confidentiality at all times.

Investigation Process

Where a Whistleblower Report is made internally, or Kubota become aware of the substance of a report that is made externally, the Whistleblower Protection Officer will ensure that an investigation is undertaken in a timely manner.  Where there is sufficient information to do so, an investigation will be undertaken to the full extent possible based on the information contained in the allegation or level of awareness of the substance of any concern/s.

The Whistleblower Protection Officer (or alternate as outlined above if the Whistleblower Protection Officer or their Manager are implicated) will:

• Undertake a preliminary review of the matter.
• Determine if there is sufficient information to conduct an investigation.
• Determine if an external professional organisation should be engaged to case manage and/or conduct the investigation and/or provide findings and recommendations as to appropriate action.
• Create a plan for the investigation, inclusive of any witnesses to be contacted, information to be sourced, professional advice (eg. legal, taxation, etc) to be sought and indicative timeframes.
• Conduct the investigation, or, oversee that it is conducted.
• Ensure the findings of the investigation are clearly documented.
• Review and provide recommendations, or ensure any external organisation provides recommendations, to the Managing Director (via the General Manager Finance and Administration if appropriate) based on the specific individuals involved or systemic matters and risks.

• • Recommendations can include any course of action from disciplinary action to referral to appropriate authorities.
  • Where appropriate and relevant, enter risks into the Kubota Risk Management framework for management.
  • Maintain, or direct the maintenance of, all appropriate records.

Findings and actions

The Managing Director shall make any final decision and determine any actions based on the findings and recommendations.  The Managing Director is not required to adopt recommendations and shall determine any actions.  The Managing Director is responsible for ensuring (via delegation or directly) that actions are implemented.

Where the subject of the report is the Managing Director, the Kubota New Zealand Board then Kubota Australia Board would assume this responsibility, or Kubota Corporation if this is more appropriate.

Contact with Discloser/ Whistleblower

Should Kubota determine that it is appropriate to do so in light of confidentiality, privacy and legal constraints, and the discloser/ whistleblower indicates they would like to be kept updated, the discloser/ whistleblower may be kept up to date in regards to key milestones within the investigation process.  Where Kubota determine that a referral to an appropriate authority or external entity is necessary, it may not be possible to provide updates.

MODERN SLAVERY POLICY

Purpose of policy

This policy affirms our commitment to contribute to ending all forms of modern slavery and outlines our approach to reducing the risk of modern slavery practices within our supply chains and operations. It is consistent with our Ethical Framework, that expects a culture of high ethical standards, including compliance with applicable laws, contractual and other obligations. As a result, this Modern Slavery Policy is part of the Ethical Framework. This Policy supports the Modern Slavery Act (Cth) 2018

Context

Modern slavery describes situations where coercion, threats or deception are used to exploit individuals and undermine or deprive them of their freedom. Kubota Australia (KAU) strives to use, insights gathered through its business activities to contribute to ending all forms of modern slavery by ensuring our own supply chains and operations don’t contribute to modern slavery practices, and to take appropriate action to respond to the humanitarian impacts of modern slavery

Scope of policy

This Policy applies to all employees, suppliers, and business partners of entities controlled by KAU, including Kubota Finance and Kubota New Zealand

Definitions

Modern Slavery Act 2018 (Cth) being the Commonwealth legislation (the Act) enacted by the Parliament of Australia on 29 November 2018 (and may be amended from time to time).

Modern slavery for the purposes of this policy is defined as including eight types of serious exploitation and outlined in Section 4[1]

Operations is defined as activity undertaken by KAU and any of its subsidiaries

Partnership means all relationships between KAU and a Partner whereby KAU grants the Partner the possibility of using its name, emblem/logo or image in its communication and promotional materials, thereby potentially creating a public association of image between the Partner and KAU. This relationship includes arrangements of; sponsorships, cause-related marketing initiatives, and strategic alliances

Risks of modern slavery practices means the potential for KAU to cause, contribute to, or be directly linked to modern slavery through its supply chains and operations.

Kubota Australia is the term used to refer to Kubota Australia Pty Ltd and its subsidiaries, not the broader Kubota Corporation.

Kubota People include any current:

Members of a Governance Body (members of the KAU board)

Employees

Suppliers is defined as any organization or person who provides us with goods or services, including their subcontractors, agents, related entities, and consultants.

Supply chains is defined as the products and services (including labour) that contribute to KAU’s own products and services. This includes products and services sourced in Australia or overseas and extends beyond direct suppliers

What is modern slavery

Modern slavery is defined by the Modern Slavery Act (Cth) 2018[2] to include eight types of serious exploitation and which can be understood as:

trafficking in persons, which is the recruitment, harboring and movement of a person for the purposes of exploitation through modern slavery. Exploitation also includes the prostitution of others or other forms of sexual exploitation, forced labour or services, slavery or practices like slavery, servitude or the removal of organs.

slavery, which is where the offender exercises powers of ownership over the victim

servitude, which is where the victim’s personal freedom is significantly restricted, and they are not free to stop working or leave their place of work

forced labour, which is where the victim is either not free to stop working or not free to leave their place of work

forced marriage, which is where coercion, threats or deception are used to make a victim marry or where the victim does not understand or is incapable of understanding the nature and effect of the marriage ceremony

debt bondage, which is where the victim’s services are pledged as security for a debt and the debt is manifestly excessive or the victim’s services are not applied to liquidate the debt, or the length and nature of the services are not limited and defined

the worst forms of child labour, which involves situations where children are: exploited through slavery or similar practices, including sexual exploitation; or engaged in hazardous work which may harm their health or safety, or used to produce or traffic drugs

deceptive recruiting for labour or services, which is where the victim is deceived about whether they will be exploited through a type of modern slavery[3]

KAU approach to limiting the risk of modern slavery practices

KAU will work proactively to reduce modern slavery within our supply chains and operations, and we expect all organizations we engage with to do the same.

Supply Chain

KAU Supplier Code of Conduct

We expect all existing and new Suppliers to comply with the principles set out in our Supplier Code of Conduct. Fundamental to the Supplier Code of Conduct is an expectation that all Suppliers operate in full compliance with the laws and regulations in the jurisdiction where the goods are sourced, procured or services are performed. Suppliers must use best endeavors to ensure that there is no modern slavery in their supply chains and operations. In the event Suppliers identify any occurrence of, or material risk of modern slavery in their supply chains or operations they are to take practical and effective steps to address that occurrence or risk. Suppliers must notify KAU as soon as practicable of any occurrence of, or material risk of modern slavery they have identified and notify relevant authorities where appropriate.

KAU’s contractual terms

Our contractual terms reflect Supplier obligations outlined in the Supplier Code of Conduct, including compliance with Australian modern slavery laws and those foreign modern slavery laws that apply in the locations in which they operate.

Supply chain mapping and risk assessment

We encourage our suppliers to complete a Corporate Social Responsibility questionnaire which contains questions relevant to modern slavery. Answers to this questionnaire will provide us with a greater understanding of the risk of modern slavery within a supplier’s supply chains or operations and enable us to work with a supplier to reduce the risks identified. We will actively and progressively improve our understanding and oversight of all tiers of our supply chains

Operations

Modern Slavery Policy

KAU maintains a Modern Slavery Policy (this Policy) outlining our approach to reducing the risk of modern slavery practices within our supply chains and operations. The Policy provides guidance on the steps KAU takes to work with suppliers to reduce risks and the range of supports available for when a KAU person becomes aware that someone is at risk of or affected by modern slavery practices.

Incorporating modern slavery into other policies

When existing policies undergo policy review or new polices are under development, policy owners are required to identify existing modern slavery commitments that can be enhanced, or where modern slavery protections can be incorporated.

Human Resources

We are committed to ensuring the health, safety and wellbeing of our workforce and we maintain a suite of policies that are informed by and compliant with Australian workplace occupational health and safety law.

Supplier Screening

The Supplier Code of Conduct requires KAU to complete a supplier screening tool before entering into a partnership with another organization. Prospective suppliers automatically disqualify from public association with KAU if they are knowingly or deliberately engaged in activities running counter to:

The Movement’s objectives and Fundamental Principles

Principles of International Humanitarian Law

Internationally recognized standards of human rights, labour rights and protection of health

Communications, Engagement and Training

KAU team members will be provided communications and training opportunities to enhance their understanding of the causes and humanitarian impact of modern slavery, the Modern Slavery Policy and our approach to limiting the risk of modern slavery within our supply chains and operations. KAU team members with purchasing responsibilities are provided additional training on the KAU Supplier Code of Conduct, Corporate Social Responsibility tool and supporting suppliers to undertake due diligence. KAU team members who initiate and periodically review relationships with third parties are provided with training to apply due diligence processes.

Continuous improvement approach to reducing the risk of modern slavery

We are committed to applying a continuous improvement approach to how we reduce the risk of modern slavery practices within our supply chains and operations. We will seek feedback from KAU team members, Suppliers, and other parties regarding the success or otherwise of the actions we have taken to reduce the risk of modern slavery.

By 31 December each year we will publish a Modern Slavery Statement that outlines the steps we have taken over the reporting year to identify where our supply chains and operations may be contributing to modern slavery practices, and the actions we have taken to minimize these risks.

Reporting Concerns of modern slavery

Reporting unethical or unlawful conduct

A key part of supporting ethical standards is enabling KAU team members and suppliers to feel free and safe to speak up when there are reasonable grounds to suspect that KAU team members or any of KAU’s suppliers are not acting ethically or in accordance with laws and obligations. Concerns about compliance or ethical issues or illegal or unethical activities are to be reported according to our whistleblower policy

Responding to concerns of modern slavery practices

The Australian Federal Police is responsible for investigating suspected cases of modern slavery and can be contacted on 131 237 to discuss or report a suspected case. Contact can be made anonymously.

In an emergency and if someone is in immediate danger, please call Triple Zero (000) for police assistance

[1]  Modern Slavery Act (Cth) 2018. Available from : https://www.legislation.gov.au/Details/C2018A00153

[2] Modern Slavery Act (Cth) 2018. Available from : https://www.legislation.gov.au/Details/C2018A00153

[3] Department of Home Affairs. Commonwealth Modern Slavery Act 2018: Guidance for reporting entities (2018). Available from https://www.homeaffairs.gov.au/criminal-justice/files/modern-slavery-reportingentities.pdf

Supplier Code of Conduct

This code of conduct applies to all businesses that provide products or services for Kubota New Zealand Limited (Kubota) and its joint ventures, divisions, or affiliates. Kubota requires suppliers and their employees to commit to this code of conduct as a condition of doing business

Kubota suppliers must comply with the laws, rules, regulations, and Kubota policies of the countries and locations in which they operate. They are expected to be familiar with the business practices of their suppliers and subcontractors, and ensure they operate according to this code of conduct. Kubota may discontinue its relationship with suppliers who fail to comply with this code.

 People Responsibilities

• Labour and human rights

Suppliers are expected to provide a fair and ethical workplace, maintaining high standards of human rights, with appropriate labour and human rights policies and practices in place

At Kubota, we pride ourselves on providing an equal employment and gender equality workplace and expect our suppliers not to discriminate against any employee based on age, disability, ethnicity, gender, marital status, political affiliation, race, religion, sexual orientation, gender identity, union membership, or any other status protected by law, in hiring and other employment practices. Suppliers are expected to proactively support gender equality initiatives. Kubota strives to promote and influence improvements in gender equality across its Supply Chain through procurement policies and practices.

Suppliers are expected not to bully or threaten employees or subject them to unlawful or inhumane treatment. This includes, but is not limited to, abuse and harassment which can be verbal, physical, sexual, or psychological. Consistent with Modern Slavery Policy of Kubota Australia, suppliers are expected to proactively identify, address and where required by legislation, report on risks of modern slavery practices in their business operations and supply chains. You can read more in our Modern Slavery Statement [1].

Suppliers should take reasonable endeavours to ensure that any third-party labour agency it may use to fulfil services to Kubota, is compliant with the Modern Slavery Policy of Kubota Australia Pty Ltd and any Labour Hire laws within the relevant jurisdiction/s including payments, recruitment related fees, practices and expenditure in recruiting foreign contract workers.

Suppliers are expected to freely allow employees to associate with others, form and join (or refrain from joining) industrial organisations or associations of their choice and bargain collectively, or engage in any lawful industrial activity without interference, discrimination, harassment, victimisation or adverse action.

Suppliers must abide by The Privacy Act 2020[2], which regulates the treatment of personal information about individuals. This includes the collection, storage, and disclosure of personal information about individuals.

• Health and Safety

Suppliers are expected to provide a healthy and safe work environment, with comprehensive health and safety management practices in place.

Suppliers with employees who need to enter Kubota premises must ensure those employees meet any applicable requirements and be able to provide verified evidence.

Suppliers must comply with Health and Safety at Work Act 2015[3] and all other applicable laws relating to workplace health and safety and provide their employees with job-related training and consult with employees in relation to the provision of information and training.

Environmental Responsibilities

Suppliers are expected to conduct their operations in a way that minimizes the impact on natural resources and protects the environment, customers, and employees. They must ensure their operations comply with all applicable laws related to air emissions, water discharges, toxic substances, and hazardous waste disposal. Throughout the world, laws and regulations prohibit or restrict certain substances and/or require manufacturers and suppliers to provide information about restricted substances in their products. Suppliers must, therefore, comply with the Kubota Group’s environmental charter[4] and when requested by Kubota, provide regulatory compliance declarations for identified products. Suppliers and vendors are expected to priorities environmental sustainability in their business operations and products. This includes, but is not limited to, the use of recyclable or reusable packaging where possible. Suppliers should actively seek ways to reduce waste and environmental impact through sustainable practices and innovations in their supply chain.

Ethical Expectations

• Ethics, Gifts and Gratuities

Suppliers must not offer gifts to Kubota employees. This includes gifts of nominal value. Although giving gifts is acceptable in some cultures, Kubota requests that suppliers respect its policy of not accepting gifts.

• Improper Payments

Bribes, ‘kickbacks’, and similar facilitation payments are strictly prohibited. This ban applies even when local laws may permit such activity. Employees, suppliers, and agents acting on behalf of Kubota are strictly prohibited from accepting or giving such considerations under any circumstances. Suppliers must, therefore, comply with Kubota New Zealand’s Anti-bribery and Corruption Policy and Procedures.

• Confidential Information

Proper management of confidential information is critical to the success of both Kubota and suppliers. Suppliers must protect all Kubota information, electronic data, and intellectual property or Kubota technologies with appropriate safeguards.

Any collection, transfer, archiving or deletion of confidential information must be executed in a way that secures and protects the intellectual property rights of Kubota and its suppliers as well as ensure all privacy obligations are complied with (as relevant).

Suppliers may receive Kubota confidential information only as authorised by a Confidentiality or Non-Disclosure Agreement and must comply with their obligations to not disclose the confidential information, to not use the information except as permitted by the agreement, and to protect the information from misuse or unauthorised disclosure.

Our suppliers can expect Kubota to similarly safeguard their confidential information when authorisation is provided to Kubota. Suppliers may not use the Kubota trademark, images, or other materials to which Kubota owns the copyright, unless explicitly authorised in writing.

Supplier Management

• Country of Origin (COO) Compliance

Suppliers must ensure that Country of Origin (COO) information label on Products/good is accurate and consistent as per the laws and regulations. Kubota relies heavily on the provided COO information to meet customs laws. Suppliers failing to provide accurate COO information will be considered non-compliant with this code of conduct.

• System/s of management

Suppliers are expected to have management system/s that ensure they comply with applicable laws, regulations, and Kubota policies, conform to this Supplier Code of Conduct, and identify and reduce operational risks related to this Code. The system should also promote continuous improvement and compliance with changing laws and regulations.

• Supply Chain Transparency

Supply chain transparency is required to confirm compliance to this Code. Internal or external audit shall be utilised to monitor this.  This may include, but not be limited to; Kubota’s Compliance Officer request for documentation/ evidence, on-site audit, corrective action planning and verification of the implementation of corrective action.

• Communication

Suppliers are expected to assist Kubota in enforcing this Supplier Code of Conduct by communicating its principles to their supervisors, employees, and suppliers.

Corrective Action

Non-compliance

Kubota will address confirmed Supplier Code of Conduct non-compliance. Actions may include, but not be limited to, any of following:

• Require a supplier to implement changes to policy, procedure or related conduct and confirm/ evidence effective implementation in writing and/or via on-site inspection by Kubota or its representatives
• Require specific action to be taken by a supplier, evidenced by a specified date
• Vary the terms of, or terminate a contract, which may include summary termination.
• Referral to appropriate authorities

Non-Compliance Reporting

Violations of the Kubota Supplier Code of Conduct can be reported confidentially via any of the following ways:

• By email to kau_g.whistleblower@KubotaAustralia.com.au for receipt by Kubota’s Compliance Officer in respect to Australia and New Zealand.
• Telephone: 1300 582 582
• Anonymously to: Compliance Officer 25 - 29 Permas Way Truganina VIC 3029 Australia

More Information or Questions

Any supplier may direct questions or comments about this Code to their Supply Management representative or Kubota’s Compliance Officer.

[1] https://kubota.com.au/

[2] https://www.legislation.govt.nz/act/public/2020/0031/latest/LMS23223.html

[3] https://www.legislation.govt.nz/act/public/2015/0070/latest/DLM5976660.html

[4] https://www.kubota.com/sustainability/environment_basic_policy/index.html