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The Compliance Officer will work with managers and supervisors to inforin any employee of allegations <br /> that may have been filed against him or her. Such notification may be delayed pending the outcome of <br /> any internal investigation the Compliance Officer deems appropriate. The employee will be given the <br /> opportunity, as appropriate; to state his or her position before any corrective action is imposed. <br /> If the NSMT Compliance Officer determines that an employee, agent, or independent contractor has <br /> clearly violated the law or Compliance Program, that employee, agent, or independent contractor shall be <br /> subject to appropriate corrective action as determined by NSMT Managers, and Human Resources <br /> Department. <br /> The extent of the corrective action will depend on the seriousness of the offense. A record of the event <br /> and the corrective action imposed shall be maintained in the employee's personnel file. <br /> Corrective action will be taken against a violator's manager(s) or supervisor(s) to the extent that <br /> circumstances reflect inadequate supervision or a lack of due diligence. In addition, managers and <br /> supervisors may be sanctioned for failing to detect non-compliance with applicable policies and legal <br /> requirements, where reasonable diligence on the part of the manager or supervisor would have led to the <br /> discovery of any problems or violations and given the Company the opportunity to correct them earlier. A <br /> record of the event and the discipline imposed against the manager or supervisor shall be maintained in <br /> the employee's personnel file. <br /> IV. RETALIATION <br /> Retaliation will not be tolerated against any employee. Corrective action will be taken against any <br /> employee who retaliates, directly or indirectly, against an employee who makes a good faith report of a <br /> violation of law or Compliance Program. In addition, managers and supervisors may be sanctioned for <br /> failing to detect non-compliance with applicable policies and legal requirements, where reasonable <br /> diligence on the part of the manager or supervisor would have led to the discovery of any problems or <br /> violations and given the company the opportunity to correct them earlier. A record of the event and the <br /> discipline imposed against the manager or supervisor shall be maintained in the employee's personnel file. <br /> POLICY REVIEW <br /> The NSMT Compliance Officer will review and update this Policy and all Compliance policies when <br /> necessary in the normal course of its review of the NSMT Compliance Program. <br /> 8 <br />