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PROBATIONORDER
1.NIKOResourcesLtd("NIKO")anditssubsidiariesshallkeepthepeaceandbeofgoodbehaviour;2.NIKOshall,uponwrittenrequestbytheRCMP,truthfullyandcompletelydisclosetotheRCMPanynon-privilegeddocuments,records,orinformationinitscustodyorcontrolthat:a.RelatetotheconductdescribedintheStatementofFacts;b.RelatetoNIKO'scompliancewiththisOrder;orc.ArerequiredbytheRCMPtoproperlysuperviseNIKO'scompliancewiththisOrder,andtheRCMPmayusethesedocuments,records,or
information
foranylawenforcement-relatedpurpose.3.IfNIKOoritsseniormanagementbecomeawareof:a.AnycriminalinvestigationintotheconductofNIKOoritsemployees;b.AnyadministrativeproceedingbroughtbyagovernmentauthoritywhereitisallegedthatNIKOhascommittedfraud;orc.Anycredibleevidence,notalreadyreportedtotheRCMP,that,duringthetermofthisProbationOrder,illegalorcorrupttransfersofpropertyorinterestsmayhavebeenoffered,promised,paid,orauthorizedbyanycompanyentityorperson,oranyentityorpersonworkingdirectlyforthecompany,orthatrelatedfalsebooksandrecordshavebeenmaintained,NIKOshallbringtheinvestigation,proceedingorfindingstotheattentionoftheRCMP.4.NIKOshallassistandcooperatewithAlbertaJustice,thePublicProsecutionServiceofCanada,theRCMP,andanyCanadianorUnitedStateslawenforcement
 
agencywithrespecttoanyinvestigationorprosecutionthatarisesoutoftheconductdescribedintheStatementofFacts.5.NIKOshallstrengthenitscompliance,recordkeeping,andinternalcontrolstandardsandproceduresinaccordancewiththedirectionssetoutinAppendixA,andshallreportperiodically,atnolessthan12monthintervals,tothisHonourableCourtandtotheRCMPandtheRCMPAntiCorruptionUnitregardingremediation,andimplementationofthecomplianceprogramandinternalcontrols,policies,andproceduresdescribedinAppendixA.SuchreportsregardingNIKO'scompliancewiththissectionofthisOrdershallbepreparedbyanindependentauditor,atNIKO'sexpense,andshallbeconductedinaccordancewiththescheduledescribedinparagraph6below.a.conductaninitialreviewandprepareaninitialwrittenreportbynolaterthanMarch31,2012.Thisinitialreportshallcovercalendaryear2011shallsetforthacompletedescriptionofitsremediationeffortstodate,itsproposalsreasonablydesignedtoimprovethepoliciesandproceduresofthecompanyforensuringcompliancewiththeanti-corruptionlawsandtheparametersofsubsequentreviews.ThereportshallbetransmittedtotheStaffSergeantoftheRCMPAntiCorruptionUnitandtothisHonourableCourt.Thecompanymayextendthetimeperiodforissuanceofthereport;and6.DuringthisOrderthecompanyshall:i)Thecompanyshallundertaketwofollow-upreviews,incorporatinganycommentsprovidedbytheRCMPorthisHonourableCourtonitsinitialreviewandreport,tofurthermonitorandassesswhetherthepoliciesandproceduresofthecompanyarereasonablydesignedtodetectandpreventviolationsoftheanti-corruptionlaws.b.conducttwofollow-upreviewsandreportsasdescribedbelow:ii)The
first
follow-upreviewandreportshallbecompletedbynomore
than
oneyearaftertheinitialreview.ThesecondfollowupreviewandreportshallbecompletedbynolaterthanonedaypriortotheexpirationofthisOrder.
 
iii)Thereportsmentionedinthisparagraphshallbereportspreparedbyanindependentauditorinordertoensurecompliancewiththecompany'sowninternalrules,policiesandprocedures.iv)Anyreferencetothepreparationofanauditorreportrequirestheentirecostoftheauditorreporttobepaidforbythecompany.
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