ML18225A016

From kanterella
Jump to navigation Jump to search
COL Docs - Vogtle Units 3 and 4 Draft LAR ITP-3 for 8/16 Pre-Submittal Meeting
ML18225A016
Person / Time
Site: Vogtle  Southern Nuclear icon.png
Issue date: 08/13/2018
From:
NRC
To:
NRC/NRO/DLSE/LB4
References
Download: ML18225A016 (36)


Text

Vogtle PEmails From: Hoellman, Jordan Sent: Monday, August 13, 2018 8:05 AM To: Vogtle PEmails

Subject:

Vogtle Units 3 and 4 Draft LAR ITP-3 for 8/16 Pre-Submittal Meeting Attachments: Draft ITP-3 LAR for Pre-Submittal Meeting.pdf Please see the attached draft LAR ITP-3, Administrative Changes to Align Initial Test Program (ITP) with Regulatory Guide 1.68, to support the 8/16/2018 public meeting, where SNC intends to discuss the associated PAR to allow component testing to be performed prior to turnover from construction to ITP.

1

Hearing Identifier: Vogtle_COL_Docs_Public Email Number: 340 Mail Envelope Properties (SN6PR0901MB2366433149D79D95D44370D9D5390)

Subject:

Vogtle Units 3 and 4 Draft LAR ITP-3 for 8/16 Pre-Submittal Meeting Sent Date: 8/13/2018 8:05:04 AM Received Date: 8/13/2018 8:05:14 AM From: Hoellman, Jordan Created By: Jordan.Hoellman2@nrc.gov Recipients:

"Vogtle PEmails" <Vogtle.PEmails@nrc.gov>

Tracking Status: None Post Office: SN6PR0901MB2366.namprd09.prod.outlook.com Files Size Date & Time MESSAGE 322 8/13/2018 8:05:14 AM Draft ITP-3 LAR for Pre-Submittal Meeting.pdf 1030797 Options Priority: Standard Return Notification: No Reply Requested: No Sensitivity: Normal Expiration Date:

Recipients Received:

6RXWKHUQ1XFOHDU

 2SHUDWLQJ&RPSDQ\,QF

 ,QYHUQHVV&HQWHU3DUNZD\

%LUPLQJKDP$/

'RFNHW1RV 

     

1';;;;

&)5

&)5

861XFOHDU5HJXODWRU\&RPPLVVLRQ

'RFXPHQW&RQWURO'HVN

DVKLQJWRQ'&

T 6RXWKHUQ1XFOHDU2SHUDWLQJ&RPSDQ\

R 9RJWOH(OHFWULF*HQHUDWLQJ3ODQW8QLWVDQG

5HTXHVWIRU/LFHQVH$PHQGPHQWDQG([HPSWLRQ

$GPLQLVWUDWLYH&KDQJHVWR$OLJQ,QLWLDO7HVW3URJUDP ,73 ZLWK5HJXODWRU\*XLGH /$5







AF

/DGLHVDQG*HQWOHPHQ





,QDFFRUGDQFHZLWKWKHSURYLVLRQVRI&)56RXWKHUQ1XFOHDU2SHUDWLQJ&RPSDQ\ 61& 

WKH OLFHQVHH IRU 9RJWOH (OHFWULF *HQHUDWLQJ 3ODQW 9(*3  8QLWV  DQG  KHUHE\ UHTXHVWV DQ

DPHQGPHQW WR WKH &RPELQHG /LFHQVHV &2/V  IRU 9(*3 8QLWV  DQG  &2/ QXPEHUV 13)

DQG 13) UHVSHFWLYHO\ 7KLV HQFORVHG DPHQGPHQW UHTXHVW SURSRVHV WR GHSDUW IURP FHUWLILHG

$3 'HVLJQ &RQWURO 'RFXPHQW '&'  7LHU  PDWHULDO WKDW KDV EHHQ LQFRUSRUDWHG LQWR WKH

9(*38QLWVDQG8SGDWHG)LQDO6DIHW\$QDO\VLV5HSRUW 8)6$5 7KLVGHSDUWXUHDOVRLQYROYHV

DVVRFLDWHG 7LHU  PDWHULDO DQG FRUUHVSRQGLQJ FKDQJHV WR OLFHQVH FRQGLWLRQV RI WKH &2/V

D 3XUVXDQW WR  &)5  E   61& KDV LQFOXGHG ZLWK WKLV DPHQGPHQW UHTXHVW DQ H[HPSWLRQ

UHTXHVWWRVXSSRUWWKHSURSRVHGGHSDUWXUHIURP7LHUPDWHULDO%HFDXVHWKLVDPHQGPHQWUHTXHVW

LPSDFWV7LHURIWKH3ODQW6SHFLILF'&'DQGOLFHQVHFRQGLWLRQVRIWKH&2/VWKLVDFWLYLW\UHTXLUHV

SULRU15&DSSURYDO



7KH GHVFULSWLRQ UHJXODWRU\ HYDOXDWLRQ LQFOXGLQJ WKH VLJQLILFDQW KD]DUGV FRQVLGHUDWLRQ

GHWHUPLQDWLRQ  DQG HQYLURQPHQWDO FRQVLGHUDWLRQV IRU WKH SURSRVHG FKDQJHV LQ WKH /LFHQVH

$PHQGPHQW5HTXHVW /$5 DUHFRQWDLQHGLQ(QFORVXUHWRWKLVOHWWHU(QFORVXUHSURYLGHVWKH

EDFNJURXQG DQG VXSSRUWLQJ EDVLV IRU WKH UHTXHVWHG H[HPSWLRQ (QFORVXUH  SURYLGHV PDUNXSV

GHSLFWLQJWKHUHTXHVWHGFKDQJHVWRWKHOLFHQVLQJEDVLVGRFXPHQWV



61& UHTXHVWV VWDII DSSURYDO RI WKH OLFHQVH DPHQGPHQW DQG H[HPSWLRQ E\ -DQXDU\   WR

VXSSRUW WKH FRQVWUXFWLRQ VFKHGXOH IRU 9(*3 8QLW  61& H[SHFWV WR LPSOHPHQW WKH SURSRVHG

DPHQGPHQWWKURXJKLQFRUSRUDWLRQLQWRWKHOLFHQVLQJEDVLVGRFXPHQWVZLWKLQGD\VRIDSSURYDO

RIWKHUHTXHVWHGFKDQJHV



861XFOHDU5HJXODWRU\&RPPLVVLRQ

1';;;;;;

3DJHRI

,Q DFFRUGDQFH ZLWK  &)5  61& LV QRWLI\LQJ WKH 6WDWH RI *HRUJLD RI WKLV /$5 E\

WUDQVPLWWLQJDFRS\RIWKLVOHWWHUDQGHQFORVXUHVWRWKHGHVLJQDWHG6WDWH2IILFLDO

7KLVOHWWHUFRQWDLQVQRUHJXODWRU\FRPPLWPHQWV

0U 0LFKDHO - <R[ VWDWHV WKDW KH LV D /LFHQVLQJ 'LUHFWRU RI 6RXWKHUQ 1XFOHDU 2SHUDWLQJ

&RPSDQ\ KH LV DXWKRUL]HG WR H[HFXWH WKLV RDWK RQ EHKDOI RI 6RXWKHUQ 1XFOHDU 2SHUDWLQJ

&RPSDQ\DQGWRWKHEHVWRIKLVNQRZOHGJHDQGEHOLHIWKHIDFWVVHWIRUWKLQWKLVOHWWHUDUHWUXH

5HVSHFWIXOO\VXEPLWWHG

6287+(5118&/($523(5$7,1*&203$1<

T R

0LFKDHO-<R[

5HJXODWRU\$IIDLUV'LUHFWRU9RJWOH 

AF 0-</5*DPP

Sworn to and subscribed before me this ____ day of __________________, 2018 Notary Public: _____________________________

My commission expires: _____________________

D (QFORVXUH 9RJWOH(OHFWULF*HQHUDWLQJ3ODQW 9(*3 8QLWVDQG+/-5HTXHVWIRU/LFHQVH



$PHQGPHQW5HJDUGLQJ$GPLQLVWUDWLYH&KDQJHVWR$OLJQ,QLWLDO7HVW3URJUDP ,73 

ZLWK5HJXODWRU\*XLGH /$5;;;;; 

(QFORVXUH 9RJWOH(OHFWULF*HQHUDWLQJ3ODQW 9(*3 8QLWVDQG+/-([HPSWLRQ5HTXHVW

5HJDUGLQJ$GPLQLVWUDWLYH&KDQJHVWR$OLJQ,QLWLDO7HVW3URJUDP ,73 ZLWK

5HJXODWRU\*XLGH /$5;;;;; 

(QFORVXUH 9RJWOH(OHFWULF*HQHUDWLQJ3ODQW 9(*3 8QLWVDQG+/-/LFHQVLQJ%DVLV

'RFXPHQWV+/-3URSRVHG&KDQJHV /$5;;;;; 



861XFOHDU5HJXODWRU\&RPPLVVLRQ

1';;;;;;

3DJHRI

FF

6RXWKHUQ1XFOHDU2SHUDWLQJ&RPSDQ\*HRUJLD3RZHU&RPSDQ\

T RAF D



1';;;;;;







(QFORVXUH









T 

9RJWOH(OHFWULF*HQHUDWLQJ3ODQW 9(*3 8QLWVDQG





R 5HTXHVWIRU/LFHQVH$PHQGPHQW5HJDUGLQJ

$GPLQLVWUDWLYH&KDQJHVWR$OLJQ,QLWLDO7HVW3URJUDP ,73 ZLWK5HJXODWRU\*XLGH



/$5;;; 

AF 

















D 















7KLV(QFORVXUHFRQVLVWVRISDJHVLQFOXGLQJWKLVSDJH 

1';;;;;;

(QFORVXUH

/LFHQVH$PHQGPHQW5HTXHVW /$5;;; $GPLQLVWUDWLYH&KDQJHVWR$OLJQ,QLWLDO7HVW

3URJUDP ,73 ZLWK5HJXODWRU\*XLGH







7DEOHRI&RQWHQWV

 6XPPDU\'HVFULSWLRQ

 'HWDLOHG'HVFULSWLRQDQG7HFKQLFDO(YDOXDWLRQ

 7HFKQLFDO(YDOXDWLRQ LQFOXGHGLQ6HFWLRQ 

5HJXODWRU\(YDOXDWLRQ





 3UHFHGHQW T

$SSOLFDEOH5HJXODWRU\5HTXLUHPHQWV&ULWHULD

R

 6LJQLILFDQW+D]DUGV&RQVLGHUDWLRQ'HWHUPLQDWLRQ

 &RQFOXVLRQV

 (QYLURQPHQWDO&RQVLGHUDWLRQV



AF 5HIHUHQFHV

D 3DJHRI

1';;;;;;

(QFORVXUH

/LFHQVH$PHQGPHQW5HTXHVW /$5;;; $GPLQLVWUDWLYH&KDQJHVWR$OLJQ,QLWLDO7HVW

3URJUDP ,73 ZLWK5HJXODWRU\*XLGH

3XUVXDQWWR&)5 F DQGLQDFFRUGDQFHZLWK&)56RXWKHUQ1XFOHDU2SHUDWLQJ

&RPSDQ\ 61&RUWKH³/LFHQVHH' KHUHE\UHTXHVWVDQDPHQGPHQWWR&RPELQHG/LFHQVH &2/ 

1RV 13) DQG 13) IRU 9RJWOH (OHFWULF *HQHUDWLQJ 3ODQW 9(*3  8QLWV  DQG 

UHVSHFWLYHO\



 6XPPDU\'HVFULSWLRQ

$Q DPHQGPHQW WR WKH FXUUHQW OLFHQVLQJ EDVLV GRFXPHQWV LV UHTXHVWHG WR UHYLVH WKH

GHVFULSWLRQ DQG VFRSH RI WKH ,QLWLDO 7HVW 3URJUDP ,73  WR UHPRYH FRPSRQHQW WHVWLQJ DV D

VHSDUDWHO\ LGHQWLILHG SURJUDP RU SKDVH RI WKH ,73 LH WKH &RPSRQHQW 7HVW 3URJUDP 7KH

FKDQJHVGRQRWDIIHFWWKHFRQIRUPDQFHRIWKH,73ZLWK5HJXODWRU\*XLGH 5* 5HYLVLRQ

T

 QRU FRQIRUPDQFH ZLWK WKH UHJXODWLRQV IRU VDIHW\ DQDO\VLV UHSRUW FRQWHQW  &)5

 D   ZKLFK FDOOV RQO\ IRU SUHRSHUDWLRQDO DQG VWDUWXS WHVWLQJ SURJUDPV $GGLWLRQDOO\

SUHRSHUDWLRQDODQGVWDUWXSWHVWVSHFLILFDWLRQVZKLFKDUHQRWUHTXLUHGLQ5*5HYDUH

SURSRVHGWREHUHPRYHGIURPWKH,73



R 7KHUHTXHVWHGDPHQGPHQWUHTXLUHVFKDQJHVWRWKH8SGDWHG)LQDO6DIHW\$QDO\VLV5HSRUW

8)6$5  LQ WKH IRUP RI GHSDUWXUHV IURP WKH LQFRUSRUDWHG SODQWVSHFLILF 'HVLJQ &RQWURO

'RFXPHQW '&'  7LHU  LQIRUPDWLRQ DQG LQYROYHV FKDQJHV WR UHODWHG SODQWVSHFLILF 7LHU 

AF LQIRUPDWLRQ ZLWK FRUUHVSRQGLQJ FKDQJHV WR WKH DVVRFLDWHG &2/ LQIRUPDWLRQ 7KLV HQFORVXUH

UHTXHVWV DSSURYDO RI WKH OLFHQVH DPHQGPHQW QHFHVVDU\ WR LPSOHPHQW WKH 7LHU  DQG &2/

FKDQJHV(QFORVXUHUHTXHVWVWKHH[HPSWLRQQHFHVVDU\WRLPSOHPHQWWKHLQYROYHGFKDQJHV

WRWKHSODQWVSHFLILF7LHULQIRUPDWLRQ

'HWDLOHG'HVFULSWLRQDQG7HFKQLFDO(YDOXDWLRQ

7KH OLFHQVLQJ EDVLV GRFXPHQWV LQFOXGLQJ WKH SODQWVSHFLILF 7LHU  LQIRUPDWLRQ FXUUHQWO\

LGHQWLILHVWKH,73DVKDYLQJWKUHHGLVWLQFWSKDVHVFRPSRQHQWWHVWLQJSUHRSHUDWLRQDOWHVWLQJ

DQGVWDUWXSWHVWLQJ6LQFH7LHU6HFWLRQ'HVLJQ'HVFULSWLRQIRUWKH,QLWLDO7HVW3URJUDP

LQFOXGHVVRPHRIWKHGHWDLOVSURSRVHGWREHUHYLVHGDOLFHQVHDPHQGPHQWDQGDQH[HPSWLRQ

UHTXHVW (QFORVXUH DUHUHTXLUHG,QWKHSURSRVHGFKDQJHVFRPSRQHQWWHVWLQJLVUHPRYHG

D IURPWKH,73DVDSKDVHRIWHVWLQJKRZHYHUWKHRYHUDOO,73GHVFULSWLRQDQGOLFHQVLQJEDVLV

FRQWHQWFRQWLQXHVWREHFRQVLVWHQWZLWK5*DQG&)5 D  7KLVFKDQJHGRHV

QRW DIIHFW WKH KHDOWK DQG VDIHW\ RI WKH SXEOLF EHFDXVH FRQVWUXFWLRQ DQG UHODWHG FRPSRQHQW

WHVWLQJDOWKRXJKQRWFRQWUROOHGE\WKH,73LVFRQGXFWHGXQGHU&)53DUW$SSHQGL[%

DQG 14$  VHH 8)6$5 6HFWLRQV  DQG   3UHRSHUDWLRQDO DQG VWDUWXS WHVW

VSHFLILFDWLRQVZKLFKDUHDOVRGHVFULEHGLQ7LHU6HFWLRQDUHSURSRVHGWREHUHPRYHG

IURPWKH,737KLVFKDQJHGRHVQRWDIIHFWWKHKHDOWKDQGVDIHW\RIWKHSXEOLFEHFDXVHDOORI

WKH WHVW VSHFLILFDWLRQ LQIRUPDWLRQ GHVFULEHG LQ 8)6$5 6HFWLRQ  LV FRQWDLQHG LQ WHVW

SURFHGXUHVDGGLWLRQDOO\WKLVFKDQJHLVFRQVLVWHQWZLWK5*5HY

7KHSURSRVHGFKDQJHVWRWKH8)6$5UHODWHGWRWKH,73DUHGHVFULEHGDQGMXVWLILHGEHORZ

&RPSRQHQW7HVW3KDVH

7KHFRPSRQHQWWHVWLQJSKDVHGHVFULEHVFHUWDLQWHVWVSHUIRUPHGLQRUGHUWRSUHSDUHV\VWHPV

IRUSUHRSHUDWLRQDOWHVWLQJ&RPSRQHQWWHVWLQJLQFOXGHVSUHOLPLQDU\RSHUDWLRQRIFRPSRQHQWV

3DJHRI

1';;;;;;

(QFORVXUH

/LFHQVH$PHQGPHQW5HTXHVW /$5;;; $GPLQLVWUDWLYH&KDQJHVWR$OLJQ,QLWLDO7HVW

3URJUDP ,73 ZLWK5HJXODWRU\*XLGH

DQGV\VWHPVYDULRXVHOHFWULFDODQGPHFKDQLFDOWHVWVRSHUDELOLW\FKHFNVDQGLQVWUXPHQWDWLRQ

FDOLEUDWLRQ

7KHSURSRVHGFKDQJHVGRQRWDIIHFWWKHWHFKQLFDOFRQWHQWRIFRPSRQHQWSUHRSHUDWLRQDORU

VWDUWXS SURFHGXUHV 7KHVH SURSRVHG FKDQJHV GR QRW LQFOXGH DQ\ FKDQJHV WR ,7$$& 7KH

SURSRVHG FKDQJH LV WR UHGHILQH WKH ,73 VFRSH DV GHVFULEHG ZLWKLQ WKH OLFHQVLQJ EDVLV WR

UHPRYHFRPSRQHQWWHVWLQJVXFKWKDWWKHOLFHQVLQJEDVLV,73FRQVLVWVRQO\RISUHRSHUDWLRQDO

DQG VWDUWXS WHVWLQJ ZKLFK LV FRQVLVWHQW ZLWK 5*  7KHUH LV QR DGYHUVH LPSDFW WR WKH

KHDOWKDQGVDIHW\RIWKHSXEOLFIURPWKHVHFKDQJHV7KH,73FRQWLQXHVWRPHHWLWVREMHFWLYHWR

GHPRQVWUDWH WKDW WKH SODQW KDV EHHQ FRQVWUXFWHG DV GHVLJQHG WKDW WKH V\VWHPV SHUIRUP

FRQVLVWHQW ZLWK WKH SODQW GHVLJQ DQG WKDW DFWLYLWLHV FXOPLQDWLQJ LQ RSHUDWLRQ DW IXOO OLFHQVHG

SRZHUDUHSHUIRUPHGLQDFRQWUROOHGDQGVDIHPDQQHU



T 7KH VHFRQG SDUDJUDSK RI 7LHU  6HFWLRQ  VWDWHV ³$Q LQLWLDO WHVW SURJUDP LV SHUIRUPHG

DIWHU WXUQRYHU IURP FRQVWUXFWLRQ IRU HDFK $3 SODQW' 7KLV LV UHYLVHG WR VWDWH ³$Q LQLWLDO

WHVW SURJUDP LV SHUIRUPHG IRU HDFK $3 SODQW   ' 5HJXODWRU\ *XLGH  5HYLVLRQ 

R ZKLFKWKH/LFHQVHHLVFRPPLWWHGWRIRUDGPLQLVWUDWLYHDVSHFWVRIWKH,73RQSDJHQRWHVWKH

LQLWLDO WHVW SURJUDP FRQVLVWV RI SUHRSHUDWLRQDO DQG VWDUWXS WHVWLQJ EXW GRHV QRW DGGUHVV

VHTXHQFLQJ RI WHVWLQJ ZLWK UHJDUG WR WXUQRYHU IURP FRQVWUXFWLRQ 5*  GRHV UHTXLUH

DGPLQLVWUDWLYH FRQWUROV WR SURYLGH IRU RUGHUO\ WXUQRYHU RI V\VWHPV DQG FRPSRQHQWV IURP

AF FRQVWUXFWLRQ WR WKH SUHRSHUDWLRQDO WHVWLQJ JURXS  7KLV UHTXLUHPHQW LV UHIOHFWHG LQ WKH

SURSRVHG FKDQJH WR 8)6$5 6HFWLRQ  ZKLFK ZRXOG UHTXLUH WKH ,73 $GPLQLVWUDWLYH

0DQXDO WR LQFOXGH ³&RQWUROV WR SURYLGH IRU WXUQRYHU RI SODQW V\VWHPV DQG FRPSRQHQWV IURP

FRQVWUXFWLRQ WR WKH SUHRSHUDWLRQDO WHVWLQJ JURXS 7KHVH DGPLQLVWUDWLYH FRQWUROV DOVR HQVXUH

WKDW JHQHUDO SUHUHTXLVLWHV DUH VDWLVILHG SULRU WR SUHRSHUDWLRQDO DQGRU VWDUWXS WHVWV RI

LQGLYLGXDO V\VWHPV RU FRPSRQHQWV' 7KH FKDQJH LV DFFHSWDEOH EHFDXVH LW LV FRQVLVWHQW ZLWK

WKHDSSOLFDEOHUHJXODWRU\JXLGDQFH



7KHVHFRQGVHQWHQFHRIWKHVHFRQGSDUDJUDSKRI7LHU6HFWLRQVWDWHV³7KHLQLWLDOWHVW

SURJUDPFRQVLVWVRIDVHULHVRIWHVWVFDWHJRUL]HGDVFRPSRQHQWSUHRSHUDWLRQDO SULRUWRIXHO

D ORDG  DQG VWDUWXS GXULQJ DQG DIWHU IXHO ORDG ' 7KLV LV UHYLVHG WR VWDWH ³7KH LQLWLDO WHVW

SURJUDPFRQVLVWVRIDVHULHVRIWHVWVFDWHJRUL]HGDVSUHRSHUDWLRQDO SULRUWRIXHOORDG DQG

VWDUWXS GXULQJ DQG DIWHU IXHO ORDG ' $GGLWLRQDOO\ WKH WKLUG SDUDJUDSK RI 7LHU  6HFWLRQ 

ZKLFKGHVFULEHVWKHVFRSHRIFRPSRQHQWWHVWLQJLVSURSRVHGWREHGHOHWHG6HFWLRQ$DQG%

RI5HJXODWRU\*XLGHGHVFULEHWKH,73DVFRQVLVWLQJRISUHRSHUDWLRQDODQGVWDUWXSWHVWLQJ

$WWKHWLPHRIFHUWLILFDWLRQ7LHU6HFWLRQGHILQHGWKH,73WRFRQVLVWRIFRQVWUXFWLRQDQG

LQVWDOODWLRQWHVWLQJSUHRSHUDWLRQDOWHVWLQJDQGVWDUWXSWHVWLQJ7KHFRPSRQHQWWHVWLQJSRUWLRQ

RI FRQVWUXFWLRQ DQG LQVWDOODWLRQ WHVWLQJ ZDV EURXJKW XQGHU WKH DGPLQLVWUDWLYH SURFHGXUDO

FRQWUROVRI,73LQ9(*3/$5 $PHQGPHQW DQGZDVLGHQWLILHGDVEHLQJ³<<EH\RQG

WKHUHJXODWRU\PLQLPXPUHTXLUHPHQW<<',QFOXGLQJFRPSRQHQWWHVWLQJZKLFKLVGHILQHGE\5*

DVSUHUHTXLVLWHVWRSUHRSHUDWLRQDOWHVWLQJXQGHUWKHDGPLQLVWUDWLYHFRQWUROVRIWKH,QLWLDO

7HVW3URJUDPLPSRVHVDGPLQLVWUDWLYHUHTXLUHPHQWVWKDWDUHQRORQJHUGHVLUHGE\61&7KH

FKDQJH LV DGPLQLVWUDWLYH EHFDXVH WKHUH LV QR FKDQJH WR WKH WHFKQLFDO UHTXLUHPHQWV IRU

FRPSRQHQW WHVWLQJ DQG WKH VDPH QXPEHU RI FRPSRQHQW WHVWV ZLOO VWLOO EH SHUIRUPHG

&RQWUROV WR HQVXUH WKHVH SUHUHTXLVLWHV DUH PHW DUH LQFOXGHG LQ 7LHU  DQG 8)6$5 6HFWLRQ

3DJHRI

1';;;;;;

(QFORVXUH

/LFHQVH$PHQGPHQW5HTXHVW /$5;;; $GPLQLVWUDWLYH&KDQJHVWR$OLJQ,QLWLDO7HVW

3URJUDP ,73 ZLWK5HJXODWRU\*XLGH

 DQG VSHFLI\ WKDW ³3UHUHTXLVLWHV IRU SUHRSHUDWLRQDO WHVWLQJ VXFK DV FRPSOHWLRQ RI

DVVRFLDWHG FRQVWUXFWLRQ DFWLYLWLHV FRPSRQHQW DQGRU SUHOLPLQDU\ WHVWV DQG LQVSHFWLRQV

VKRXOG EH FRPSOHWHG EHIRUH EHJLQQLQJ SUHRSHUDWLRQDO WHVWV WR WKH GHJUHH WKDW RXWVWDQGLQJ

LWHPVFRXOGQRWEHH[SHFWHGWRDIIHFWWKHYDOLGLW\RIWHVWUHVXOWV '7KHIRXUWKSDUDJUDSKRI7LHU

 6HFWLRQ  LV XSGDWHG WR UHIOHFW WKDW SUHRSHUDWLRQDO WHVWLQJ ZLOO EH SHUIRUPHG DIWHU

DVVRFLDWHG SUHUHTXLVLWHV DUH PHW 7KLV FKDQJH LV DOLJQHG ZLWK 5*  LQ WKDW DQ\ DFWLYLW\

WKDW LV FRQVLGHUHG D SUHUHTXLVLWH LQFOXGLQJ FRPSRQHQW WHVWLQJ IRU SUHRSHUDWLRQDO WHVWLQJ LV

FRPSOHWHGEHIRUHWKDWWHVWLQJEHJLQV7KLVFKDQJHGRHVQRWDIIHFWWKHKHDOWKDQGVDIHW\RIWKH

SXEOLF EHFDXVH FRQVWUXFWLRQ DQG UHODWHG FRPSRQHQW WHVWLQJ DOWKRXJK QRW FRQWUROOHG E\ WKH

,73 LV FRQGXFWHG XQGHU  &)5 3DUW  $SSHQGL[ % DQG 14$  VHH 8)6$5

6HFWLRQVDQG $OVRWKLVFKDQJHEULQJV7LHU6HFWLRQLQGLUHFWDOLJQPHQWZLWK



T WKHGHVFULSWLRQRIWKH,QLWLDO7HVW3URJUDPLQ5*5HY

7KH &2/ ' P  VWDWHV ³&RPSRQHQW 7HVW 3URJUDP LPSOHPHQWHG EHIRUH WKH ILUVW

FRPSRQHQW WHVW' 7KLV VWDWHPHQW LV UHPRYHG FRQVLVWHQW ZLWK WKH SURSRVHG 7LHU  FKDQJHV

7KLVOLFHQVHFRQGLWLRQLVUHIOHFWHGLQ,WHPRI8)6$57DEOHVRVLPLODUFKDQJHV

R DUHSURSRVHGWRWKLVWDEOH7KHSURSRVHGFKDQJHGHOHWHVWKH&2/UHTXLUHPHQWWRLPSOHPHQW

D&RPSRQHQW7HVW3URJUDPSULRUWRWKHSHUIRUPDQFHRIWKHILUVWFRPSRQHQWWHVW&RPSRQHQW

WHVWLQJ LV VWLOO UHTXLUHG WHVWLQJ WR VDWLVI\ SUHUHTXLVLWHV WR SUHRSHUDWLRQDO WHVWLQJ EXW ZLOO QR

AF ORQJHUEHUHTXLUHGWREHLQFOXGHGLQWKH,QLWLDO7HVW3URJUDP ,73 DGPLQLVWUDWLYHPDQXDO7KLV

DOLJQVWKH&2/WR5*ZKLFKDGGUHVVHVSUHRSHUDWLRQDODQGVWDUWXSWHVWLQJDVFRPSULVLQJ

WKH,737KHUHLVQRDGYHUVHLPSDFWWRWKHKHDOWKDQGVDIHW\RIWKHSXEOLFDVWKHVHWHVWVZLOO

EH FRQGXFWHG XQGHU  &)5 3DUW  $SSHQGL[ % DQG 14$  VHH 8)6$5 6HFWLRQV

DQG 



7KH&2/' I VWDWHVWKDWDVFKHGXOHVKDOOLGHQWLI\WKHFRPSOHWLRQRULPSOHPHQWDWLRQRI

WKH,73SURFHGXUHVLGHQWLILHGLQ8)6$56HFWLRQLQFOXGLQJWKH³DGPLQLVWUDWLYHPDQXDO

EHIRUHWKHILUVWFRPSRQHQWWHVW '7KLVLWHPLVUHYLVHGWRUHTXLUHWKH³DGPLQLVWUDWLYHPDQXDO

EHIRUHWKHILUVWSUHRSHUDWLRQDOWHVW '7KLVFKDQJHLVFRQVLVWHQWZLWKWKHSURSRVHGUHPRYDORI

FRPSRQHQW WHVWLQJ DV D SKDVH RI WKH ,73 5*  6HFWLRQ % LGHQWLILHV VHYHUDO LPSRUWDQW

D FRQVLGHUDWLRQVIRUGHYHORSPHQWRIWKHWHVWLQJSURJUDP2IWKHVHLWHP  GLVFXVVHVWKHQHHG

IRUDGPLQLVWUDWLYHFRQWUROVWRJRYHUQWKHGHYHORSPHQWDQGFRQGXFWRIWKH,737KHVHFRQWUROV

VKRXOGSURYLGHIRUWXUQRYHUIURPFRQVWUXFWLRQWRWKHSUHRSHUDWLRQDOWHVWLQJJURXSDQGHQVXUH

WKDW WKH JHQHUDO SUHUHTXLVLWHV DUH VDWLVILHG SULRU WR SUHRSHUDWLRQDO DQGRU VWDUWXS WHVWV RI

LQGLYLGXDOV\VWHPVRUFRPSRQHQWV7KH,73$GPLQLVWUDWLYH0DQXDOPXVWFRQWUROWXUQRYHUDQG

FRQILUPDWLRQRIWKHFRPSOHWLRQRIWKHSUHUHTXLVLWHVDQGWKHUHIRUHPXVWEHFRPSOHWHGEHIRUH

WKHILUVWSUHRSHUDWLRQDOWHVWLQRUGHUWRFRQWUROWXUQRYHUDQGYHULI\SUHUHTXLVLWHV&RPSRQHQW

WHVWLQJLVVWLOOUHTXLUHGWHVWLQJWRVDWLVI\SUHUHTXLVLWHVWRSUHRSHUDWLRQDOWHVWLQJ7KLVSURSRVHG

FKDQJH DOLJQV WKH &2/ WR 5*  ZKLFK DGGUHVVHV SUHRSHUDWLRQDO DQG VWDUWXS WHVWLQJ DV

FRPSULVLQJWKH,737KHUHLVQRDGYHUVHLPSDFWWRWKHKHDOWKDQGVDIHW\RIWKHSXEOLF



8)6$5 6XEVHFWLRQ  VWDWHV ³)RU FODULW\ LW LV QRWHG WKDW FRQVWUXFWLRQ DQG LQVWDOODWLRQ

WHVWV DUH SHUIRUPHG E\ WKH FRQVWUXFWLRQ RUJDQL]DWLRQ WR YHULI\ WKDW WKH FRQVWUXFWLRQ

LQVWDOODWLRQDQGDVVHPEO\SURFHVVHVKDYHEHHQSURSHUO\SHUIRUPHG'7KLVLVUHYLVHGWRVWDWH

³)RUFODULW\LWLVQRWHGWKDWWKHFRQVWUXFWLRQDQGLQVWDOODWLRQWHVWVLQFOXGLQJFRPSRQHQWWHVWV

3DJHRI

1';;;;;;

(QFORVXUH

/LFHQVH$PHQGPHQW5HTXHVW /$5;;; $GPLQLVWUDWLYH&KDQJHVWR$OLJQ,QLWLDO7HVW

3URJUDP ,73 ZLWK5HJXODWRU\*XLGH

DUHSHUIRUPHGWRYHULI\WKDWWKHFRQVWUXFWLRQLQVWDOODWLRQDQGDVVHPEO\SURFHVVHVKDYHEHHQ

SURSHUO\ SHUIRUPHG' 8)6$5  FRQWLQXHV VWDWLQJ ³&RQVWUXFWLRQ DQG LQVWDOODWLRQ WHVWV

DUHURXWLQHO\SHUIRUPHGSULRUWRFRPSRQHQWWHVWLQJDQGDUHQRW FRQVLGHUHGSDUW RIWKH,73'

7KLVLVUHYLVHGWRVWDWHWKDW³&RQVWUXFWLRQDQGLQVWDOODWLRQWHVWVLQFOXGLQJFRPSRQHQWWHVWV

DUHQRWFRQVLGHUHGSDUWRIWKH,73'7KHVHFKDQJHVUHIOHFWWKHUHPRYDORIFRPSRQHQWWHVWLQJ

DVDSKDVHRIWKH,73FRQVLVWHQWZLWKWKHSURSRVHG7LHUDQG&2/FKDQJHV



7KH ILUVW EXOOHW XQGHU WKH ILIWK SDUDJUDSK RI 8)6$5 6XEVHFWLRQ  VWDWHV ³&RPSRQHQW

WHVWV DUH SHUIRUPHG IROORZLQJ WXUQRYHU IURP FRQVWUXFWLRQ WR SUHSDUH V\VWHPV IRU

SUHRSHUDWLRQDOWHVWLQJ&RPSRQHQWWHVWLQJLQFOXGHVDVDSSURSULDWHSUHOLPLQDU\RSHUDWLRQRI

FRPSRQHQWVDQGV\VWHPVDQGYDULRXVHOHFWULFDODQGPHFKDQLFDOWHVWVLQFOXGLQJFOHDQLQJDQG

T IOXVKLQJ HOHFWULFDO FKHFNV RSHUDELOLW\ FKHFNV DQG LQVWUXPHQWDWLRQ FDOLEUDWLRQ' %HFDXVH

WKHVHFKDQJHVSURSRVHWRUHPRYHFRPSRQHQWWHVWLQJDVDSKDVHRIWKH,73WKHILUVWEXOOHW

XQGHUWKHILIWKSDUDJUDSKRI8)6$56XEVHFWLRQLVUHPRYHG7KHVHFRQGEXOOHWZKLFK

GHVFULEHV SUHRSHUDWLRQDO WHVWV VWDWHV ³3UHRSHUDWLRQDO WHVWV DUH SHUIRUPHG DIWHU DVVRFLDWHG

FRPSRQHQWWHVWVEXWSULRUWRLQLWLDOIXHOORDGLQJWRGHPRQVWUDWHWKHFDSDELOLW\RISODQWV\VWHPV



R WRPHHWSHUIRUPDQFHUHTXLUHPHQWV'7KLVLVUHYLVHGWRVWDWH



³3UHRSHUDWLRQDO WHVWV DUH SHUIRUPHG DIWHU DVVRFLDWHG SUHUHTXLVLWHV IRU WKH UHTXLUHG WHVW

AF VXFKDVDFRPSOHWLRQRIDVVRFLDWHGFRQVWUXFWLRQDFWLYLWLHVFRPSRQHQWDQGRUSUHOLPLQDU\

WHVWV DQG LQVSHFWLRQV EXW SULRU WR LQLWLDO IXHO ORDGLQJ WR GHPRQVWUDWH WKH FDSDELOLW\ RI

SODQW V\VWHPV WR PHHW SHUIRUPDQFH UHTXLUHPHQWV 7KHVH SUHUHTXLVLWHV VKRXOG EH

FRPSOHWHG EHIRUH EHJLQQLQJ SUHRSHUDWLRQDO WHVWV WR WKH GHJUHH WKDW RXWVWDQGLQJ LWHPV

FRXOGQRWEHH[SHFWHGWRDIIHFWWKHYDOLGLW\RIWHVWUHVXOWV '

$GGLWLRQDOO\ 8)6$5 6XEVHFWLRQ  GHVFULEHV &RPSRQHQW 7HVW 3URJUDP 2EMHFWLYHV

7KHVHFKDQJHVSURSRVHWRUHPRYHWKH&RPSRQHQW7HVW3URJUDPDVDSKDVHRI,73VRWKH

FXUUHQW 8)6$5 6XEVHFWLRQ  LV UHPRYHG DQG VXEVHTXHQW VHFWLRQ QXPEHUV DUH

XSGDWHG8)6$56XEVHFWLRQ DVXSGDWHG 3UHRSHUDWLRQDO7HVW3URJUDP2EMHFWLYHV

VWDWHV WKDW ³)ROORZLQJ FRPSRQHQW WHVWLQJ SUHRSHUDWLRQDO WHVWV DUH SHUIRUPHG<<' 7KLV

D VXEVHFWLRQ LV UHYLVHG WR VWDWH ³)ROORZLQJ FRPSOHWLRQ RI DVVRFLDWHG SUHUHTXLVLWHV

SUHRSHUDWLRQDOWHVWVDUHSHUIRUPHG<<'7KHVHSURSRVHGFKDQJHVDOLJQWKH,73ZLWK5*

ZKLFKGRHVQRWDGGUHVVFRPSRQHQWWHVWLQJDVDSKDVHRIWKH,737KHUHLVQRFKDQJHWRWKH

WHFKQLFDOUHTXLUHPHQWVIRUFRPSRQHQWWHVWLQJDQGWKHVDPHQXPEHURIFRPSRQHQWWHVWVZLOO

VWLOOEHSHUIRUPHG

8)6$5 6XEVHFWLRQ  2UJDQL]DWLRQ 6WDIILQJ DQG 5HVSRQVLELOLWLHV VWDWHV WKDW 61& LV

UHVSRQVLEOHIRU³FRPSRQHQWSUHRSHUDWLRQDODQGVWDUWXSWHVWLQJ'7KHVHFKDQJHVSURSRVHWR

UHYLVH WKLV WR VWDWH ³<< SUHRSHUDWLRQDO DQG VWDUWXS WHVWLQJ' 7KLV FKDQJH LV DOVR UHIOHFWHG LQ

8)6$56XEVHFWLRQVDQG

8)6$5 6XEVHFWLRQ  )XQFWLRQDO ,73 0DQDJHUV LQ &KDUJH RI 7HVWLQJ OLVWV WKH

UHVSRQVLELOLWLHV RI WKH IXQFWLRQDO PDQDJHUV LQ FKDUJH RI WHVWLQJ 7KHVH FKDQJHV SURSRVH WR

UHPRYHWKHIRXUWKEXOOHWZKLFKVWDWHV³3UHSDULQJFRPSRQHQWWHVWSURFHGXUHVDQGHQVXULQJ

WKDWWKH-7:*UHYLHZVDQGDSSURYHVFRPSRQHQWWHVWSURFHGXUHVDVVSHFLILHGE\WKH-7:*

&KDLUPDQ7KH-7:*VWUXFWXUHDQGUHVSRQVLELOLWLHVDUHGHILQHGLQ6XEVHFWLRQ'7KH

3DJHRI

1';;;;;;

(QFORVXUH

/LFHQVH$PHQGPHQW5HTXHVW /$5;;; $GPLQLVWUDWLYH&KDQJHVWR$OLJQ,QLWLDO7HVW

3URJUDP ,73 ZLWK5HJXODWRU\*XLGH

SURSRVHGFKDQJHVDOLJQWKH,73PRUHFORVHO\ZLWK5*&RPSRQHQWWHVWLQJLVUHPRYHG

DV D SKDVH RI WKH ,73 DQG WKHUHIRUH WKH WHVW SURFHGXUHV IRU FRPSRQHQW WHVWLQJ ZLOO QRW EH

UHYLHZHGE\WKH-RLQW7HVW:RUNLQJ*URXS -7:* DVUHIOHFWHGLQWKHSURSRVHGFKDQJHVWR

8)6$5 6XEVHFWLRQ  7KH -7:* ZLOO FRQWLQXH WR UHYLHZ 3UHRSHUDWLRQDO DQG6WDUWXS

WHVWV7KLVOLVWRIUHVSRQVLELOLWLHVLQ8)6$56XEVHFWLRQDOVRLQFOXGHV³6XSSRUWLQJ

WKHWUDQVLWLRQIURPFRPSRQHQWWHVWLQJWRWKHSUHRSHUDWLRQDOWHVWLQJSKDVH'ZKLFKLVSURSRVHG

WR EH FKDQJHG WR ³6XSSRUWLQJ WKH WUDQVLWLRQ IURP FRQVWUXFWLRQ WR WKH SUHRSHUDWLRQDO WHVWLQJ

SKDVH'  8)6$5 6XEVHFWLRQ  DOVR OLVWV JHQHULF GHWDLOV RI NH\ UHVSRQVLELOLWLHV

DXWKRULWLHVDQGLQWHUIDFHVRIRUJDQL]DWLRQVWKDWSDUWLFLSDWHLQWKH-7:*8QGHUWKHEXOOHWIRU

,73 7HVW *URXSV LW LV VWDWHG WKDW ³>W@KH ,73 7HVW *URXSV KDYH WKH SULPDU\ UHVSRQVLELOLW\ IRU

WKHGHYHORSPHQW PDLQWHQDQFHDQGSHUIRUPDQFHRIFRPSRQHQWSUHRSHUDWLRQDODQGVWDUWXS

SURFHGXUHVDWWKHVLWH'7KLVLVUHYLVHGWRUHPRYHFRPSRQHQWSURFHGXUHVDVWKHVHFKDQJHV

T SURSRVHUHPRYLQJFRPSRQHQWWHVWLQJDVDSKDVHRIWKH,73



8)6$5 6XEVHFWLRQ  ,73 7HVW *URXSV OLVWV IXQFWLRQV DQG VFRSH RI ZRUN DV

QHFHVVDU\ WR VXSSRUW WKH ,73 7KHVH FKDQJHV SURSRVH UHPRYLQJ FRPSRQHQW WHVWLQJ DV D

SKDVHRIWKH,737KHUHIRUHWKHILUVWEXOOHW³3HUIRUPFRPSRQHQWWHVWLQJ'WKHVHFRQGEXOOHW

R

³5HYLHZ DQG HYDOXDWH FRPSRQHQW WHVW UHVXOWV' DQG WKH WKLUG EXOOHW ³6XSSRUW FRPSRQHQW

WHVWLQJWRSUHRSHUDWLRQDOWHVWLQJWUDQVLWLRQ'DUHUHPRYHG

AF 8)6$56XEVHFWLRQ7HVW6SHFLILFDWLRQVDQG7HVW3URFHGXUHVGHVFULEHVWKHFRQWUROV

WKDWVKDOOEHLQFOXGHGLQWKH,73$GPLQLVWUDWLYH0DQXDO7KHILUVWEXOOHWZKLFKVWDWHV³)RU

FRPSRQHQWWHVWVFRQWUROVWRSURYLGHWHVWSURFHGXUHVDQGRUZULWWHQZRUNLQVWUXFWLRQVWKDW

LQFOXGHDSSURSULDWHSUHUHTXLVLWHVSUHFDXWLRQVPHWKRGWRGLUHFWDQGFRQWUROWHVWSHUIRUPDQFH

DQGDFFHSWDQFHFULWHULDE\ZKLFKWKHWHVWLVHYDOXDWHG'LVUHSODFHGE\³&RQWUROVWRSURYLGHIRU

WXUQRYHURISODQWV\VWHPVDQGFRPSRQHQWVIURPFRQVWUXFWLRQWRWKHSUHRSHUDWLRQDOWHVWLQJ

JURXS7KHVHDGPLQLVWUDWLYHFRQWUROVDOVRHQVXUHWKDWJHQHUDOSUHUHTXLVLWHVDUHVDWLVILHGSULRU

WRSUHRSHUDWLRQDODQGRUVWDUWXSWHVWVRILQGLYLGXDOV\VWHPVRUFRPSRQHQWV'7KHILIWKEXOOHWLV

UHYLVHGWRUHPRYH³<<DQGUHYLHZFRPSRQHQWWHVWSURFHGXUHV<<'7KHSURSRVHGFKDQJHVDOLJQ

ZLWK5*



8)6$5 6XEVHFWLRQ  &RQGXFW RI ,QLWLDO 7HVW 3URJUDP GHVFULEHV WKH ,73

D $GPLQLVWUDWLYH 0DQXDO VWDWLQJ ³7KH ,73 $GPLQLVWUDWLYH 0DQXDO SURFHGXUH  JRYHUQV WKH

LQLWLDOWHVWLQJDQGLVLVVXHGQRODWHUWKDQGD\VSULRUWRWKHEHJLQQLQJRIWKHFRPSRQHQWWHVW

SKDVH 7HVWLQJ GXULQJ DOO SKDVHV RI WKH WHVW SURJUDP LV FRQGXFWHG XVLQJ DSSURYHG WHVW

SURFHGXUHV DQGRU ZULWWHQ ZRUN LQVWUXFWLRQV IRU WKH FRPSRQHQW WHVW SKDVH' 7KH SURSRVHG

FKDQJHV UHYLVH WKLV ILUVW VHQWHQFH WR VWDWH WKDW WKH ,73 $GPLQLVWUDWLYH 0DQXDO LV LVVXHG QR

ODWHUWKDQGD\VSULRUWRWKHEHJLQQLQJRIWKHSUHRSHUDWLRQDOWHVWSKDVH7KHVWDWHPHQW³<<

DQGRU ZULWWHQ ZRUN LQVWUXFWLRQV IRU WKH FRPSRQHQW WHVW SKDVH' LV UHPRYHG 5HPRYLQJ WKLV

SKDVHRIWHVWLQJDOLJQVWKHOLFHQVLQJEDVLVZLWK5*

8)6$56XEVHFWLRQ6\VWHP7XUQRYHUOLVWVUHTXLUHPHQWVIRUWKHV\VWHPWXUQRYHU

SURFHVV7KHWKLUGEXOOHWZKLFKVWDWHV³'HWHUPLQLQJWKHFRQVWUXFWLRQUHODWHGLQVSHFWLRQVDQG

WHVWV WKDW QHHG WR EH FRPSOHWHG EHIRUH FRPSRQHQW WHVWLQJ EHJLQV' LV UHYLVHG WR FODULI\ WKDW

FRQVWUXFWLRQUHODWHGLQVSHFWLRQVDQGWHVWVLQFOXGHFRPSRQHQWWHVWLQJ7KHIRXUWKEXOOHWZKLFK

VWDWHV ³(YDOXDWLQJ DQ\ RSHQ LWHPV IRU DFFHSWDELOLW\ EHIRUH FRPPHQFLQJ FRPSRQHQW

SUHRSHUDWLRQDO RU VWDUWXS WHVWLQJ' LV UHYLVHG WR UHPRYH FRPSRQHQW WHVWLQJ DV D SKDVH

5HPRYLQJWKLVSKDVHRIWHVWLQJDOLJQVWKHOLFHQVLQJEDVLVPRUHFORVHO\ZLWK5*

3DJHRI

1';;;;;;

(QFORVXUH

/LFHQVH$PHQGPHQW5HTXHVW /$5;;; $GPLQLVWUDWLYH&KDQJHVWR$OLJQ,QLWLDO7HVW

3URJUDP ,73 ZLWK5HJXODWRU\*XLGH

7HVW6SHFLILFDWLRQV

7KHVL[WKSDUDJUDSKRI7LHU6HFWLRQVWDWHV



³3UHRSHUDWLRQDO DQG VWDUWXS WHVWV DUH SHUIRUPHG XVLQJ WHVW SURFHGXUHV GHYHORSHG

SULPDULO\IURPWHVWVSHFLILFDWLRQV7KHVHWHVWSURFHGXUHVGHOLQHDWHWKHWHVWPHWKRGVWREH

XVHGLQWKHFRQGXFWRISUHRSHUDWLRQDODQGVWDUWXSWHVWLQJDQGWKHDSSOLFDEOHDFFHSWDQFH

FULWHULDDJDLQVWZKLFKSHUIRUPDQFHLVHYDOXDWHG7HVWVSHFLILFDWLRQVDQGSURFHGXUHVDUH

GHYHORSHGDQGUHYLHZHGE\TXDOLILHGSHUVRQQHO&RSLHVRIWKHWHVWVSHFLILFDWLRQVDQGWHVW

SURFHGXUHV IRU SUHRSHUDWLRQDO WHVWV DUH DYDLODEOH WR 15& SHUVRQQHO SULRU WR WKH

VFKHGXOHG SHUIRUPDQFH RI WKHVH LQGLYLGXDO WHVWV &RSLHV RI WKH WHVW VSHFLILFDWLRQV DQG

WHVW SURFHGXUHV IRU VWDUWXS WHVWV DUH DYDLODEOH WR 15& LQVSHFWLRQ SHUVRQQHO SULRU WR WKH



T VFKHGXOHGIXHOORDGLQJGDWH$GPLQLVWUDWLYHSURFHGXUHVDUHXVHGWRFRQWUROWKHFRQGXFWRI

WKH LQLWLDO WHVW SURJUDP WKH UHYLHZ HYDOXDWLRQ DQG DSSURYDO RI WHVW UHVXOWV DQG WHVW

UHFRUGUHWHQWLRQ'

R 7KLV LV UHYLVHG WR UHPRYH UHIHUHQFHV WR WHVW VSHFLILFDWLRQV DV WKH SURSRVHG FKDQJHV ZLOO

DOORZSURFHGXUHVWREHGHYHORSHGGLUHFWO\IURPVRXUFHGRFXPHQWV7KLVSDUDJUDSKLVUHYLVHG

WR VWDWH ³3UHRSHUDWLRQDO DQG VWDUWXS WHVWV DUH SHUIRUPHG XVLQJ WHVW SURFHGXUHV ZKLFK

AF GHOLQHDWH WKH WHVW PHWKRGV WR EH XVHG LQ WKH FRQGXFW RI SUHRSHUDWLRQDO DQG VWDUWXS WHVWLQJ

DQG WKH DSSOLFDEOH DFFHSWDQFH FULWHULD DJDLQVW ZKLFK SHUIRUPDQFH LV HYDOXDWHG 7HVW

SURFHGXUHV DUH GHYHORSHG DQG UHYLHZHG E\ TXDOLILHG SHUVRQQHO &RSLHV RI WKH WHVW

SURFHGXUHV IRU SUHRSHUDWLRQDO WHVWV DUH DYDLODEOH WR 15& SHUVRQQHO SULRU WR WKH VFKHGXOHG

SHUIRUPDQFH RI WKHVH LQGLYLGXDO WHVWV &RSLHV RI WKH WHVW SURFHGXUHV IRU VWDUWXS WHVWV DUH

DYDLODEOHWR15&LQVSHFWLRQSHUVRQQHOSULRUWRWKHVFKHGXOHGIXHOORDGLQJGDWH$GPLQLVWUDWLYH

SURFHGXUHVDUHXVHGWRFRQWUROWKHFRQGXFWRIWKHLQLWLDOWHVWSURJUDPWKHUHYLHZHYDOXDWLRQ

DQG DSSURYDO RI WHVW UHVXOWV DQG WHVW UHFRUG UHWHQWLRQ' 7LHU  FXUUHQWO\ UHIOHFWV WKDW WHVW

SURFHGXUHV DUH GHYHORSHG ³<<SULPDULO\ IURP WHVW VSHFLILFDWLRQV<<' 7KH SURFHVV LV EHLQJ

UHYLVHG VXFK WKDW SURFHGXUHV DUH GHYHORSHG GLUHFWO\ IURP VRXUFH GRFXPHQWV HJ 6\VWHP

6SHFLILFDWLRQ 'RFXPHQWV 6DIHW\ $QDO\VLV HWF   $VVRFLDWHG FKDQJHV DUH SURSRVHG WR

D 8)6$5 6XEVHFWLRQ  -RLQW 7HVW :RUNLQJ *URXS XQGHU WKH UHVSRQVLELOLWLHV RI WKH

5HVSRQVLEOH 'HVLJQ 2UJDQL]DWLRQ 8)6$5 6XEVHFWLRQ  7HVW 6SHFLILFDWLRQV DQG 7HVW

3URFHGXUHVDQG8)6$56XEVHFWLRQ7HVW6SHFLILFDWLRQVDQG3URFHGXUHV



7KHSURSRVHGFKDQJHVDUHFRQVLVWHQWZLWK5*5HYZKLFKGRHVQRWUHTXLUHWKH

GHYHORSPHQWRIWHVWVSHFLILFDWLRQV5DWKHU5*UHTXLUHVWKDWWHVWSURFHGXUHV³VKRXOGEH

GHYHORSHGDQGUHYLHZHGE\SHUVRQQHOZLWKDSSURSULDWHWHFKQLFDOEDFNJURXQGVDQG

H[SHULHQFHDQGVKRXOGUHFHLYHILQDODSSURYDOE\SHUVRQVLQGHVLJQDWHGPDQDJHPHQW

SRVLWLRQVZLWKLQWKHDSSOLFDQW¶VRUJDQL]DWLRQ,QDGGLWLRQHDFKWHVWSURFHGXUHVKRXOGLQFOXGH

DFFHSWDQFHFULWHULDWKDWDFFRXQWIRUWKHXQFHUWDLQWLHVXVHGLQWUDQVLHQWDQGDFFLGHQWDQDO\VHV

3ULQFLSDOGHVLJQRUJDQL]DWLRQVVKRXOGSDUWLFLSDWHLQHVWDEOLVKLQJWKRVHWHVWDFFHSWDQFHFULWHULD

DQGUHODWHGSHUIRUPDQFHUHTXLUHPHQWV'7KH,73ZLOOFRQWLQXHWRPHHWWKHVH5*

UHTXLUHPHQWVDVSHUVRQQHOZLWKDSSURSULDWHWHFKQLFDOEDFNJURXQGVDQGH[SHULHQFHGHYHORS

DQGUHYLHZWHVWSURFHGXUHV 8)6$56XEVHFWLRQ DQGWKH-7:* LHGHVLJQDWHG

PDQDJHPHQWSRVLWLRQV DSSURYHVSUHRSHUDWLRQDODQGVWDUWXSWHVWSURFHGXUHV 8)6$5

6XEVHFWLRQ $OVR8)6$56XEVHFWLRQVWLOOUHTXLUHVWKDWWKH,73

3DJHRI

1';;;;;;

(QFORVXUH

/LFHQVH$PHQGPHQW5HTXHVW /$5;;; $GPLQLVWUDWLYH&KDQJHVWR$OLJQ,QLWLDO7HVW

3URJUDP ,73 ZLWK5HJXODWRU\*XLGH

$GPLQLVWUDWLYH0DQXDOLQFOXGHVFRQWUROV³WRSURYLGHIRUSDUWLFLSDWLRQRIWKHUHVSRQVLEOHGHVLJQ

RUJDQL]DWLRQVLQHVWDEOLVKLQJWHVWREMHFWLYHVWHVWDFFHSWDQFHFULWHULDDQGUHODWHG

SHUIRUPDQFHUHTXLUHPHQWVGXULQJWKHGHYHORSPHQWRIGHWDLOHGWHVWSURFHGXUHV(DFKWHVW

SURFHGXUHVKRXOGLQFOXGHDFFHSWDQFHFULWHULDWKDWDFFRXQWIRUWKHXQFHUWDLQWLHVXVHGLQ

WUDQVLHQWDQGDFFLGHQWDQDO\VHV'$GGLWLRQDOO\DOOLQIRUPDWLRQUHTXLUHGWREHFRQWDLQHGLQ

WHVWVSHFLILFDWLRQVSHU8)6$56XEVHFWLRQ REMHFWLYHVIRUSHUIRUPLQJWKHWHVWWHVW

SUHUHTXLVLWHVLQLWLDOWHVWFRQGLWLRQVGDWDUHTXLUHPHQWVDQGDFFHSWDQFHFULWHULD DUHDOVR

UHTXLUHGWREHVSHFLILHGLQWHVWSURFHGXUHVWKHUHIRUHWKHWHVWVSHFLILFDWLRQVDUHUHGXQGDQW

DQGQRWQHHGHG6LQFHWHVWVSHFLILFDWLRQVDUHQRWUHTXLUHGSHU5*WHVWSURFHGXUHVZLOO

VWLOOPHHWDOO5*UHTXLUHPHQWVDQGWKHVFRSHRIWHVWLQJUHPDLQVXQFKDQJHGWKH

SURSRVHGFKDQJHVZLOOQRWUHGXFHWKHHIIHFWLYHQHVVRISUHRSHUDWLRQDODQGVWDUWXSWHVW

SURFHGXUHVDQGGRQRWDIIHFWWKHKHDOWKDQGVDIHW\RIWKHSXEOLF



7HFKQLFDO(YDOXDWLRQ

LQFOXGHGLQ6HFWLRQ  T R

5HJXODWRU\(YDOXDWLRQ

  $SSOLFDEOH5HJXODWRU\5HTXLUHPHQWV&ULWHULD

AF

 &)5  I  UHTXLUHV 15& DSSURYDO IRU DQ\ PRGLILFDWLRQ WR DGGLWLRQ WR RU

GHOHWLRQ IURP WKH WHUPV DQG FRQGLWLRQV RI D &2/ 7KLV DFWLYLW\ LQYROYHV D GHSDUWXUH

IURP SODQWVSHFLILF 7LHU  LQIRUPDWLRQ DQG D FRUUHVSRQGLQJ FKDQJH WR WKH &2/

WKHUHIRUH WKLV DFWLYLW\ UHTXLUHV DQ DPHQGPHQW WR WKH &2/  $FFRUGLQJO\ 15&

DSSURYDO LV UHTXLUHG SULRU WR PDNLQJ WKH SODQWVSHFLILF FKDQJHV LQ WKLV OLFHQVH

DPHQGPHQWUHTXHVW



 &)5  $SSHQGL[ ' 6HFWLRQ 9,,,%D DOORZV DQ DSSOLFDQW RU OLFHQVHH ZKR

UHIHUHQFHV WKLV DSSHQGL[ WR GHSDUW IURP 7LHU  LQIRUPDWLRQ ZLWKRXW SULRU 15&

DSSURYDOXQOHVVWKHSURSRVHGGHSDUWXUHLQYROYHVDFKDQJHWRRUGHSDUWXUHIURP7LHU

 LQIRUPDWLRQ 7LHU   LQIRUPDWLRQ RU WKH 7HFKQLFDO 6SHFLILFDWLRQV RU UHTXLUHV D

OLFHQVH DPHQGPHQW XQGHU SDUDJUDSKV %E RU %F RI WKH VHFWLRQ  7KLV FKDQJH

D 

LQYROYHV D UHYLVLRQ WR SODQWVSHFLILF 7LHU  LQIRUPDWLRQ VHH (QFORVXUH   WKXV

UHTXLULQJ15&DSSURYDOIRUWKH7LHU&2/DQGDVVRFLDWHG7LHUGHSDUWXUHV

 &)5  D   UHTXLUHV WKDW WKH VDIHW\ DQDO\VLV UHSRUW LQFOXGH ³3ODQV IRU

SUHRSHUDWLRQDO WHVWLQJ DQG LQLWLDO RSHUDWLRQV'  7KLV SURSRVHG FKDQJH DGGUHVVHV

GHWDLOVWKDWDUHEH\RQGWKHVFRSHRIWKHVHUHTXLUHGSODQGHVFULSWLRQV

3UHFHGHQW

1RQH

 6LJQLILFDQW+D]DUGV&RQVLGHUDWLRQ'HWHUPLQDWLRQ

$Q DPHQGPHQW WR WKH FXUUHQW OLFHQVLQJ EDVLV GRFXPHQWV LV UHTXHVWHG WR UHYLVH WKH

DGPLQLVWUDWLYHGHVFULSWLRQDQGVFRSHRIWKH,737KHUHTXHVWHGDPHQGPHQWUHTXLUHV

FKDQJHVWRWKH8)6$5LQWKHIRUPRIGHSDUWXUHVIURPWKHLQFRUSRUDWHGSODQWVSHFLILF

3DJHRI

1';;;;;;

(QFORVXUH

/LFHQVH$PHQGPHQW5HTXHVW /$5;;; $GPLQLVWUDWLYH&KDQJHVWR$OLJQ,QLWLDO7HVW

3URJUDP ,73 ZLWK5HJXODWRU\*XLGH

'&' 7LHU  LQIRUPDWLRQ DQG LQYROYHV FKDQJHV WR UHODWHG SODQWVSHFLILF 7LHU 

LQIRUPDWLRQZLWKFRUUHVSRQGLQJFKDQJHVWRWKHDVVRFLDWHG&2/LQIRUPDWLRQ



$Q HYDOXDWLRQ WR GHWHUPLQH ZKHWKHU RU QRW D VLJQLILFDQW KD]DUGV FRQVLGHUDWLRQ LV

LQYROYHG ZLWK WKH SURSRVHG DPHQGPHQW ZDV FRPSOHWHG E\ IRFXVLQJ RQ WKH WKUHH

VWDQGDUGVVHWIRUWKLQ&)5³,VVXDQFHRIDPHQGPHQW'DVGLVFXVVHGEHORZ



'RHVWKHSURSRVHGDPHQGPHQWLQYROYHDVLJQLILFDQWLQFUHDVHLQWKH

SUREDELOLW\RUFRQVHTXHQFHVRIDQDFFLGHQWSUHYLRXVO\HYDOXDWHG"

5HVSRQVH1R

T 7KH SURSRVHG DPHQGPHQW LV UHODWHG WR WKH FRQGXFW RI WKH ,73 7KH SURSRVHG

FKDQJHVDUHPDGHLQFRPSOLDQFHZLWKWKHDSSOLFDEOHUHJXODWRU\JXLGHVDUHRQO\

UHODWHG WR WKH JHQHUDO DVSHFWV RI KRZ WKH SURJUDP LV H[HFXWHG DQG GR QRW

FKDQJH DQ\ WHFKQLFDO FRQWHQW IRU SUHRSHUDWLRQDO RU VWDUWXS WHVWV 1R FKDQJHV

DUH PDGH WR DQ\ GHVLJQ DVSHFW RI WKH SODQW 7KHUHIRUH WKH SURSRVHG



RAF DPHQGPHQW GRHV QRW LQYROYH D VLJQLILFDQW LQFUHDVH LQ WKH SUREDELOLW\ RU

FRQVHTXHQFHVRIDQDFFLGHQWSUHYLRXVO\HYDOXDWHG

'RHVWKHSURSRVHGDPHQGPHQWFUHDWHWKHSRVVLELOLW\RIDQHZRUGLIIHUHQW

NLQGRIDFFLGHQWIURPDQ\DFFLGHQWSUHYLRXVO\HYDOXDWHG"

5HVSRQVH1R

7KH SURSRVHG DPHQGPHQW LV UHODWHG WR WKH FRQGXFW RI WKH ,73 7KH SURSRVHG

FKDQJHVDUHPDGHLQFRPSOLDQFHZLWKWKHDSSOLFDEOHUHJXODWRU\JXLGHVDUHRQO\

UHODWHG WR WKH JHQHUDO DVSHFWV RI KRZ WKH SURJUDP LV H[HFXWHG DQG GR QRW

FKDQJHDQ\WHFKQLFDOFRQWHQWIRUSUHRSHUDWLRQDORUVWDUWXSWHVWV7KHVHFKDQJHV

GR QRW DIIHFW WKH GHVLJQ RU DQDO\]HG RSHUDWLRQ RI DQ\ V\VWHP 7KHUHIRUH WKH

SURSRVHGDPHQGPHQWGRHVQRWFUHDWHWKHSRVVLELOLW\RIDQHZRUGLIIHUHQWNLQG

RIDFFLGHQW

D 'RHVWKHSURSRVHGDPHQGPHQWLQYROYHDVLJQLILFDQWUHGXFWLRQLQDPDUJLQ

RIVDIHW\"

5HVSRQVH1R

7KH SURSRVHG DPHQGPHQW LV UHODWHG WR WKH FRQGXFW RI WKH ,73 7KH SURSRVHG

FKDQJHVDUHPDGHLQFRPSOLDQFHZLWKWKHDSSOLFDEOHUHJXODWRU\JXLGHVDUHRQO\

UHODWHG WR WKH JHQHUDO DVSHFWV RI KRZ WKH SURJUDP LV H[HFXWHG DQG GR QRW

FKDQJHDQ\WHFKQLFDOFRQWHQWIRUSUHRSHUDWLRQDORUVWDUWXSWHVWV

1R VDIHW\ DQDO\VLV RU GHVLJQ EDVLV DFFHSWDQFH OLPLWFULWHULRQ LV FKDOOHQJHG RU

H[FHHGHG E\ WKH SURSRVHG FKDQJHV WKXV QR PDUJLQ RI VDIHW\ LV UHGXFHG

7KHUHIRUHWKHSURSRVHGDPHQGPHQWGRHVQRWLQYROYHDVLJQLILFDQWUHGXFWLRQLQ

DPDUJLQRIVDIHW\



3DJHRI

1';;;;;;

(QFORVXUH

/LFHQVH$PHQGPHQW5HTXHVW /$5;;; $GPLQLVWUDWLYH&KDQJHVWR$OLJQ,QLWLDO7HVW

3URJUDP ,73 ZLWK5HJXODWRU\*XLGH

%DVHG RQ WKH DERYH LW LV FRQFOXGHG WKDW WKH SURSRVHG DPHQGPHQW GRHV QRW

LQYROYHDVLJQLILFDQWKD]DUGVFRQVLGHUDWLRQXQGHUWKHVWDQGDUGVVHWIRUWKLQ&)5

 F  DQG DFFRUGLQJO\ D ILQGLQJ RI ³QR VLJQLILFDQW KD]DUGV FRQVLGHUDWLRQ' LV

MXVWLILHG

 &RQFOXVLRQV

,Q FRQFOXVLRQ EDVHG RQ WKH FRQVLGHUDWLRQV GLVFXVVHG DERYH   WKHUH LV UHDVRQDEOH

DVVXUDQFHWKDWWKHKHDOWKDQGVDIHW\RIWKHSXEOLFZLOOQRWEHHQGDQJHUHGE\RSHUDWLRQ

LQ WKH SURSRVHG PDQQHU   VXFK DFWLYLWLHV ZLOO EH FRQGXFWHG LQ FRPSOLDQFH ZLWK WKH

&RPPLVVLRQ¶VUHJXODWLRQVDQG  WKHLVVXDQFHRIWKHDPHQGPHQWZLOOQRWEHLQLPLFDO

WR WKH FRPPRQ GHIHQVH DQG VHFXULW\ RU WR WKH KHDOWK DQG VDIHW\ RI WKH SXEOLF

+D]DUGV&RQVLGHUDWLRQ

(QYLURQPHQWDO&RQVLGHUDWLRQV

T 3XUVXDQW WR  &)5  WKH UHTXHVWHG FKDQJH GRHV QRW LQYROYH D 6LJQLILFDQW

R 7KHGHWDLOVRIWKHSURSRVHGFKDQJHVDUHSURYLGHGLQ(QFORVXUHRIWKLVOLFHQVLQJDPHQGPHQW

UHTXHVW



$Q DPHQGPHQW WR WKH FXUUHQW OLFHQVLQJ EDVLV GRFXPHQWV LV UHTXHVWHG WR UHYLVH WKH





AF DGPLQLVWUDWLYH GHVFULSWLRQ DQG VFRSH RI WKH ,73 7KH UHTXHVWHG DPHQGPHQW UHTXLUHV

FKDQJHV WR WKH 8)6$5 LQ WKH IRUP RI GHSDUWXUHV IURP WKH LQFRUSRUDWHG SODQWVSHFLILF '&'

7LHU  LQIRUPDWLRQ DQG LQYROYHV FKDQJHV WR UHODWHG SODQWVSHFLILF 7LHU  LQIRUPDWLRQ

UHTXHVWHGE\(QFORVXUH ZLWKFRUUHVSRQGLQJFKDQJHVWRWKHDVVRFLDWHG&2/LQIRUPDWLRQ

7KLV UHYLHZ KDV GHWHUPLQHG WKH SURSRVHG FKDQJH UHTXLUHV DQ DPHQGPHQW WR WKH &2/

+RZHYHU D UHYLHZ RI WKH DQWLFLSDWHG FRQVWUXFWLRQ DQG RSHUDWLRQDO HIIHFWV RI WKH UHTXHVWHG

DPHQGPHQW KDV GHWHUPLQHG WKH UHTXHVWHG DPHQGPHQW PHHWV WKH HOLJLELOLW\ FULWHULD IRU

FDWHJRULFDOH[FOXVLRQVHWIRUWKLQ&)5 F  LQWKDW 

(i) There is no significant hazards consideration.

D $V GRFXPHQWHG LQ 6HFWLRQ  6LJQLILFDQW +D]DUGV &RQVLGHUDWLRQ 'HWHUPLQDWLRQ RI WKLV

OLFHQVHDPHQGPHQWUHTXHVWDQHYDOXDWLRQZDVFRPSOHWHGWRGHWHUPLQHZKHWKHURUQRWD

VLJQLILFDQWKD]DUGVFRQVLGHUDWLRQLVLQYROYHGE\IRFXVLQJRQWKHWKUHHVWDQGDUGVVHWIRUWK

LQ  &)5  ³,VVXDQFH RI DPHQGPHQW' 7KH 6LJQLILFDQW +D]DUGV &RQVLGHUDWLRQ

GHWHUPLQHGWKDW  WKHUHTXHVWHGDPHQGPHQWGRHVQRWLQYROYHDVLJQLILFDQWLQFUHDVHLQ

WKH SUREDELOLW\ RU FRQVHTXHQFHV RI DQ DFFLGHQW SUHYLRXVO\ HYDOXDWHG   WKH UHTXHVWHG

DPHQGPHQWGRHVQRWFUHDWHWKHSRVVLELOLW\RIDQHZRUGLIIHUHQWNLQGRIDFFLGHQWIURPDQ\

DFFLGHQW SUHYLRXVO\ HYDOXDWHG DQG   WKH UHTXHVWHG DPHQGPHQW GRHV QRW LQYROYH D

VLJQLILFDQW UHGXFWLRQ LQD PDUJLQ RI VDIHW\ 7KHUHIRUH LW LV FRQFOXGHG WKDW WKH UHTXHVWHG

DPHQGPHQWGRHVQRWLQYROYHDVLJQLILFDQWKD]DUGVFRQVLGHUDWLRQXQGHUWKHVWDQGDUGVVHW

IRUWK LQ  &)5  F  DQG DFFRUGLQJO\ D ILQGLQJ RI ³QR VLJQLILFDQW KD]DUGV

FRQVLGHUDWLRQ'LVMXVWLILHG

(ii) There is no significant change in the types or significant increase in the amounts of any effluents that may be released offsite.

3DJHRI

1';;;;;;

(QFORVXUH

/LFHQVH$PHQGPHQW5HTXHVW /$5;;; $GPLQLVWUDWLYH&KDQJHVWR$OLJQ,QLWLDO7HVW

3URJUDP ,73 ZLWK5HJXODWRU\*XLGH

7KH SURSRVHG FKDQJHV LQ WKH UHTXHVWHG DPHQGPHQW DUH UHODWHG WR WKH GHILQLWLRQ DQG

H[HFXWLRQRIWKHLQLWLDOWHVWSURJUDP7KHSURSRVHGFKDQJHVDUHXQUHODWHGWRDQ\DVSHFW

RISODQWFRQVWUXFWLRQRURSHUDWLRQWKDWZRXOGLQWURGXFHDQ\FKDQJHWRHIIOXHQWW\SHV HJ

HIIOXHQWVFRQWDLQLQJFKHPLFDOVRUELRFLGHVVDQLWDU\V\VWHPHIIOXHQWVDQGRWKHUHIIOXHQWV 

RU DIIHFW DQ\ SODQW UDGLRORJLFDO RU QRQUDGLRORJLFDO HIIOXHQW UHOHDVH TXDQWLWLHV

)XUWKHUPRUH WKH SURSRVHG FKDQJHV GR QRW DIIHFW DQ\ HIIOXHQW UHOHDVH SDWK RU GLPLQLVK

WKHIXQFWLRQDOLW\RIDQ\GHVLJQRURSHUDWLRQDOIHDWXUHVWKDWDUHFUHGLWHGZLWKFRQWUROOLQJWKH

UHOHDVHRIHIIOXHQWVGXULQJSODQWRSHUDWLRQ7KHUHIRUHLWLVFRQFOXGHGWKDWWKHUHTXHVWHG

DPHQGPHQWGRHVQRWLQYROYHDVLJQLILFDQWFKDQJHLQWKHW\SHVRUDVLJQLILFDQWLQFUHDVHLQ

WKHDPRXQWVRIDQ\HIIOXHQWVWKDWPD\EHUHOHDVHGRIIVLWH

(iii) There is no significant increase in individual or cumulative occupational radiation exposure.

T 7KH SURSRVHG FKDQJHV DUH UHODWHG WR WKH GHILQLWLRQ DQG H[HFXWLRQ RI WKH LQLWLDO WHVW

SURJUDP3ODQWUDGLDWLRQ]RQHV DGGUHVVHGLQ8)6$56HFWLRQ DUHQRWDIIHFWHGDQG

FRQWUROV XQGHU  &)5  SUHFOXGH D VLJQLILFDQW LQFUHDVH LQ RFFXSDWLRQDO UDGLDWLRQ



R H[SRVXUH7KHUHIRUHWKHUHTXHVWHGDPHQGPHQWGRHVQRWLQYROYHDVLJQLILFDQWLQFUHDVHLQ

LQGLYLGXDORUFXPXODWLYHRFFXSDWLRQDOUDGLDWLRQH[SRVXUH

%DVHG RQ WKH DERYH UHYLHZ RI WKH UHTXHVWHG DPHQGPHQW LW KDV EHHQ GHWHUPLQHG WKDW

AF DQWLFLSDWHGFRQVWUXFWLRQDQGRSHUDWLRQDOHIIHFWVRIWKHUHTXHVWHGDPHQGPHQWGRQRWLQYROYH L D

VLJQLILFDQWKD]DUGVFRQVLGHUDWLRQ LL DVLJQLILFDQWFKDQJHLQWKHW\SHVRUVLJQLILFDQWLQFUHDVHLQ

WKH DPRXQWV RI DQ\ HIIOXHQWV WKDW PD\ EH UHOHDVHG RIIVLWH RU LLL  D VLJQLILFDQW LQFUHDVH LQ WKH

LQGLYLGXDO RU FXPXODWLYH RFFXSDWLRQDO UDGLDWLRQ H[SRVXUH  $FFRUGLQJO\ WKH UHTXHVWHG

DPHQGPHQWPHHWVWKHHOLJLELOLW\FULWHULDIRUFDWHJRULFDOH[FOXVLRQVHWIRUWKLQ&)5 F  

7KHUHIRUH SXUVXDQW WR  &)5  E  DQ HQYLURQPHQWDO LPSDFW VWDWHPHQW RU HQYLURQPHQWDO

DVVHVVPHQWRIWKHSURSRVHGH[HPSWLRQLVQRWUHTXLUHG



5HIHUHQFHV

D



9(*3 /$5

3DJHRI

6RXWKHUQ1XFOHDU2SHUDWLQJ&RPSDQ\

1';;;;;;

(QFORVXUH

T 9RJWOH(OHFWULF*HQHUDWLQJ3ODQW 9(*3 8QLWVDQG

R ([HPSWLRQ5HTXHVW

$GPLQLVWUDWLYH&KDQJHVWR$OLJQ,QLWLDO7HVW3URJUDP ,73 ZLWK5HJXODWRU\*XLGH

AF

/$5;;; 

D 7KLV(QFORVXUHFRQVLVWVRISDJHVLQFOXGLQJWKLVSDJH 

1';;;;;;

(QFORVXUH

([HPSWLRQ5HTXHVW /$5;;; $GPLQLVWUDWLYH&KDQJHVWR$OLJQ,QLWLDO7HVW3URJUDP ,73 

ZLWK5HJXODWRU\*XLGH

3XUSRVH

6RXWKHUQ 1XFOHDU 2SHUDWLQJ &RPSDQ\ 61&  UHTXHVWV D SHUPDQHQW H[HPSWLRQ IURP WKH

SURYLVLRQVRI&)5$SSHQGL['6HFWLRQ,,,%³'HVLJQ&HUWLILFDWLRQ5XOHIRUWKH$3

'HVLJQ 6FRSH DQG &RQWHQWV' WR DOORZ D GHSDUWXUH IURP HOHPHQWV RI WKH FHUWLILFDWLRQ

LQIRUPDWLRQ LQ 7LHU  RI WKH *HQHULF '&' 7KH UHJXODWLRQ  &)5  $SSHQGL[ ' 6HFWLRQ

,,,% UHTXLUHV DQ DSSOLFDQW RU OLFHQVHH UHIHUHQFLQJ $SSHQGL[ ' WR  &)5 3DUW  WR

LQFRUSRUDWHE\UHIHUHQFHDQGFRPSO\ZLWKWKHUHTXLUHPHQWVRI$SSHQGL['LQFOXGLQJFHUWLILHG

LQIRUPDWLRQ LQ '&' 7LHU  7KH 7LHU  LQIRUPDWLRQ IRU ZKLFK D SODQW VSHFLILF GHSDUWXUH DQG

H[HPSWLRQLVEHLQJUHTXHVWHGLQFOXGHVFKDQJHVWRWKHDGPLQLVWUDWLYHGHVFULSWLRQDQGVFRSHRI

6HFWLRQ,QLWLDO7HVW3URJUDP

T 7KLV UHTXHVW IRU H[HPSWLRQ ZLOO DSSO\ WKH UHTXLUHPHQWV RI  &)5  $SSHQGL[ ' 6HFWLRQ

9,,,$ WR DOORZ GHSDUWXUHV IURP JHQHULF 7LHU  LQIRUPDWLRQ GXH WR WKH IROORZLQJ SURSRVHG

FKDQJHVWRWKH,QLWLDO7HVW3URJUDP ,73 GHVFULSWLRQLQ7LHU6HFWLRQ

 5HGHILQH WKH ,73 VFRSH WR FRQVLVW RI SUHRSHUDWLRQDO DQG VWDUWXS WHVWLQJ ZKLFK LV

R FRQVLVWHQWZLWK5HJXODWRU\*XLGH 5* 7KHGHVFULSWLYHGHWDLOLQ7LHULVXSGDWHGWR

UHIOHFWWKLVFKDQJHDSSURSULDWHO\

 'LVFXVVLRQV RI WHVW VSHFLILFDWLRQV DQG WHVW SURFHGXUHV DUH FKDQJHG WR UHIHU RQO\ WR WHVW

AF SURFHGXUHVZKLFKLVDOVRFRQVLVWHQWZLWK5*

7KLVUHTXHVWZLOOSURYLGHIRUWKHDSSOLFDWLRQRIWKHUHTXLUHPHQWVIRUJUDQWLQJH[HPSWLRQVIURP

GHVLJQ FHUWLILFDWLRQ LQIRUPDWLRQ DV VSHFLILHG LQ  &)5 3DUW  $SSHQGL[ ' 6HFWLRQ

9,,,$DQG&)5DQG

 %DFNJURXQG

61& LV WKH KROGHU RI &RPELQHG /LFHQVH 1RV 13) DQG 13) ZKLFK DXWKRUL]H

FRQVWUXFWLRQDQGRSHUDWLRQRIWZR:HVWLQJKRXVH(OHFWULF&RPSDQ\$3QXFOHDUSODQWV

QDPHG9RJWOH(OHFWULF*HQHUDWLQJ3ODQW 9(*3 8QLWVDQGUHVSHFWLYHO\7LHU6HFWLRQ

LVSDUWRIWKHFXUUHQWOLFHQVLQJEDVLVRIWKHSODQWDQGFRQWDLQVWKHGHVLJQGHVFULSWLRQRI

D WKH ,73  3RUWLRQV RI 6HFWLRQ  GLIIHU ZLWK WKH SURSRVHG LPSOHPHQWDWLRQ RI 5* 

WRZKLFK WKH /LFHQVHH LV FRPPLWWHG WR IRU DGPLQLVWUDWLYH DVSHFWV RI WKH ,73  ,Q RUGHU WR

UHFRQFLOH WKH GLIIHUHQFHV EHWZHHQ WKH SURSRVHG LPSOHPHQWDWLRQ RI 5*  DQG 7LHU 

6HFWLRQVHYHUDOFKDQJHVDUHSURSRVHGWRWKHWH[WRIWKH6HFWLRQVXFKWKDW



f 5HIHUHQFHVWRFRPSRQHQWWHVWLQJDVDSKDVHRI,73DUHUHPRYHG

f 'LVFXVVLRQV RI WHVW VSHFLILFDWLRQV DQG WHVW SURFHGXUHV DUH FKDQJHG WR UHIHU



RQO\WRWHVWSURFHGXUHV

$QH[HPSWLRQIURPHOHPHQWVRIWKH$3FHUWLILHGGHVLJQLQIRUPDWLRQ 7LHU WRDOORZD

GHSDUWXUHIURPWKH,73GHVFULSWLRQLVUHTXHVWHG7KHSURSRVHGGHSDUWXUHZRXOGDOORZWKHVH

FKDQJHVDQGFODULILFDWLRQVWREHPDGHWRWKH,73GHVFULSWLRQLQ7LHU6HFWLRQ

3DJHRI

1';;;;;;

(QFORVXUH

([HPSWLRQ5HTXHVW /$5;;; $GPLQLVWUDWLYH&KDQJHVWR$OLJQ,QLWLDO7HVW3URJUDP ,73 

ZLWK5HJXODWRU\*XLGH

 7HFKQLFDO-XVWLILFDWLRQRI$FFHSWDELOLW\

7KH SURSRVHG FKDQJH WR UHGHILQH WKH ,73 VFRSH WR FRQVLVW RI SUHRSHUDWLRQDO DQG VWDUWXS

WHVWLQJLVFRQVLVWHQWZLWK5*DQG&)5 D  7KLVFKDQJHGRHVQRWDIIHFWWKH

KHDOWK DQG VDIHW\ RI WKH SXEOLF EHFDXVH FRQVWUXFWLRQ DQG UHODWHG FRPSRQHQW WHVWLQJ

DOWKRXJK QRW FRQWUROOHG E\ WKH ,73 LV FRQGXFWHG XQGHU  &)5 3DUW  $SSHQGL[ % DQG

14$  VHH 8)6$5 6HFWLRQV  DQG   3UHRSHUDWLRQDO DQG VWDUWXS WHVW

VSHFLILFDWLRQVDUHSURSRVHGWREHUHPRYHGIURPWKH,737KLVFKDQJHGRHVQRWDIIHFWWKH

KHDOWKDQGVDIHW\RIWKHSXEOLFEHFDXVHDOORIWKHWHVWVSHFLILFDWLRQLQIRUPDWLRQGHVFULEHGLQ

8)6$5 6HFWLRQ  LV FRQWDLQHG LQ WHVW SURFHGXUHV DGGLWLRQDOO\ WKLV FKDQJH LV

FRQVLVWHQWZLWK5*5HY



T 7KHSURSRVHGFKDQJHVGRQRWDIIHFWWKHWHFKQLFDOFRQWHQWRIFRPSRQHQWSUHRSHUDWLRQDORU

VWDUWXS SURFHGXUHV  7KH SURSRVHG FKDQJHV GR QRW DIIHFW WKH QXPEHU RI WHVWV WKDW ZLOO EH

SHUIRUPHG7KHUHDUHQRFKDQJHVWRDQ\,7$$&SHUIRUPHGGXULQJ,737KH,73FRQWLQXHVWR

R PHHWLWVREMHFWLYHWRGHPRQVWUDWHWKDWWKHSODQWKDVEHHQFRQVWUXFWHGDVGHVLJQHGWKDWWKH

V\VWHPVSHUIRUPFRQVLVWHQWZLWKWKHSODQWGHVLJQDQGWKDWDFWLYLWLHVFXOPLQDWLQJLQRSHUDWLRQ

DWIXOOOLFHQVHGSRZHUDUHSHUIRUPHGLQDFRQWUROOHGDQGVDIHPDQQHU7KHUHIRUHWKHUHLVQR

DGYHUVHLPSDFWWRWKHKHDOWKDQGVDIHW\RIWKHSXEOLF



AF

'HWDLOHGWHFKQLFDOMXVWLILFDWLRQVXSSRUWLQJWKLVUHTXHVWIRUH[HPSWLRQLVSURYLGHGLQ6HFWLRQ

RIWKHDVVRFLDWHG/LFHQVH$PHQGPHQW5HTXHVWLQ(QFORVXUHRIWKLVOHWWHU



 -XVWLILFDWLRQRI([HPSWLRQ

&)53DUW$SSHQGL['6HFWLRQ9,,,$DQG&)5 E  JRYHUQWKHLVVXDQFH

RIH[HPSWLRQVIURPHOHPHQWVRIWKHFHUWLILHGGHVLJQLQIRUPDWLRQIRU$3QXFOHDUSRZHU

SODQWV%HFDXVHWKH/LFHQVHHKDVLGHQWLILHGFKDQJHVWRWKH7LHULQIRUPDWLRQUHODWHGWRWKH

DGPLQLVWUDWLYH GHVFULSWLRQ DQG VFRSH RI WKH ,73 DQ H[HPSWLRQ IURP WKH FHUWLILHG GHVLJQ

D LQIRUPDWLRQLQ7LHULVUHTXHVWHGWRIXUWKHUDOLJQ,73ZLWK5*



 &)5 3DUW  $SSHQGL[ ' DQG  &)5    DQG  VWDWH WKDW WKH 15&

PD\JUDQWH[HPSWLRQVIURPWKHUHTXLUHPHQWVRIWKHUHJXODWLRQVSURYLGHGVL[FRQGLWLRQVDUH

PHW WKHH[HPSWLRQLVDXWKRUL]HGE\ODZ> D  @ WKHH[HPSWLRQZLOOQRWSUHVHQW

DQ XQGXH ULVN WR WKH KHDOWK DQG VDIHW\ RI WKH SXEOLF > D  @   WKH H[HPSWLRQ LV

FRQVLVWHQW ZLWK WKH FRPPRQ GHIHQVH DQG VHFXULW\ > D  @   VSHFLDO FLUFXPVWDQFHV

DUH SUHVHQW > D  @   WKH VSHFLDO FLUFXPVWDQFHV RXWZHLJK DQ\ GHFUHDVH LQ VDIHW\

WKDW PD\ UHVXOW IURP WKH UHGXFWLRQ LQ VWDQGDUGL]DWLRQ FDXVHG E\ WKH H[HPSWLRQ

> E  @DQG WKHGHVLJQFKDQJHZLOOQRWUHVXOWLQDVLJQLILFDQWGHFUHDVHLQWKHOHYHO

RIVDIHW\>3DUW$SS'9,,,$@



7KHUHTXHVWHGH[HPSWLRQVDWLVILHVWKHFULWHULDIRUJUDQWLQJVSHFLILFH[HPSWLRQVDVGHVFULEHG

EHORZ

3DJHRI

1';;;;;;

(QFORVXUH

([HPSWLRQ5HTXHVW /$5;;; $GPLQLVWUDWLYH&KDQJHVWR$OLJQ,QLWLDO7HVW3URJUDP ,73 

ZLWK5HJXODWRU\*XLGH

 7KLVH[HPSWLRQLVDXWKRUL]HGE\ODZ

7KH 15& KDV DXWKRULW\ XQGHU  &)5    DQG  WR JUDQW

H[HPSWLRQV IURP WKH UHTXLUHPHQWV RI 15& UHJXODWLRQV 6SHFLILFDOO\  &)5 

DQGVWDWHWKDWWKH15&PD\JUDQWH[HPSWLRQVIURPWKHUHTXLUHPHQWVRI

 &)5 3DUW  XSRQ D SURSHU VKRZLQJ 1R ODZ H[LVWV WKDW ZRXOG SUHFOXGH WKH

FKDQJHVFRYHUHGE\WKLVH[HPSWLRQUHTXHVW$GGLWLRQDOO\JUDQWLQJRIWKHSURSRVHG

H[HPSWLRQ GRHV QRW UHVXOW LQ D YLRODWLRQ RI WKH $WRPLF (QHUJ\ $FW RI  DV

DPHQGHGRUWKH&RPPLVVLRQ VUHJXODWLRQV$FFRUGLQJO\WKLVUHTXHVWHGH[HPSWLRQ

LVDXWKRUL]HGE\ODZDVUHTXLUHGE\&)5 D  

 7KLVH[HPSWLRQZLOOQRWSUHVHQWDQXQGXHULVNWRWKHKHDOWKDQGVDIHW\RIWKH

SXEOLF

T 7KH SURSRVHG H[HPSWLRQ IURP WKH UHTXLUHPHQWV RI  &)5  $SSHQGL[ '

6HFWLRQ,,,%ZRXOGDOORZFKDQJHVWRHOHPHQWVRIWKHSODQWVSHFLILF7LHU'&'WR

GHSDUWIURPWKH$3FHUWLILHG 7LHU GHVLJQLQIRUPDWLRQ7KHSODQWVSHFLILF7LHU

'&'ZLOOFRQWLQXHWRUHIOHFWWKHDSSURYHGOLFHQVLQJEDVLVIRUWKH/LFHQVHHDQGZLOO

R PDLQWDLQDFRQVLVWHQWOHYHORIGHWDLOZLWKWKDWZKLFKLVFXUUHQWO\SURYLGHGHOVHZKHUH

LQ 7LHU  RI WKH SODQWVSHFLILF '&' 7KHUHIRUH QR DGYHUVH VDIHW\ LPSDFW ZKLFK

ZRXOGSUHVHQWDQ\DGGLWLRQDOULVNWRWKHKHDOWKDQGVDIHW\RIWKHSXEOLFLVSUHVHQW

AF



7KH ,73 FRQWLQXHV WR PHHW LWV REMHFWLYH WR GHPRQVWUDWH WKDW WKH SODQW KDV EHHQ

FRQVWUXFWHG DV GHVLJQHG WKDW WKH V\VWHPV SHUIRUP FRQVLVWHQW ZLWK WKH SODQW

GHVLJQ DQG WKDW DFWLYLWLHV FXOPLQDWLQJ LQ RSHUDWLRQ DW IXOO OLFHQVHG SRZHU DUH

SHUIRUPHGLQDFRQWUROOHGDQGVDIHPDQQHU7KHFKDQJHVGRQRWLQWURGXFHDQ\QHZ

LQGXVWULDOFKHPLFDORUUDGLRORJLFDOKD]DUGVWKDWZRXOGUHSUHVHQWDSXEOLFKHDOWKRU

VDIHW\ ULVN QRU GR WKH\ PRGLI\ RU UHPRYH DQ\ GHVLJQ RU RSHUDWLRQDO FRQWUROV RU

VDIHJXDUGVWKDWDUHLQWHQGHGWRPLWLJDWHDQ\H[LVWLQJRQVLWHKD]DUGV)XUWKHUPRUH

WKH SURSRVHG FKDQJHV ZRXOG QRW DOORZ IRU D QHZ ILVVLRQ SURGXFW UHOHDVH SDWK

UHVXOW LQ D QHZ ILVVLRQ SURGXFW EDUULHU IDLOXUH PRGH RU FUHDWH D QHZ VHTXHQFH RI

HYHQWVWKDWZRXOGUHVXOWLQVLJQLILFDQWIXHOFODGGLQJIDLOXUHV

D

 



$FFRUGLQJO\WKHVHFKDQJHVGRQRWSUHVHQWDQXQGXHULVNIURPDQ\QHZHTXLSPHQW

V\VWHPV RU DGPLQLVWUDWLYHO\ FRQWUROOHG SURFHVVHV 7KHUHIRUH WKH UHTXHVWHG

H[HPSWLRQIURP&)5$SSHQGL['6HFWLRQ,,,%ZRXOGQRWSUHVHQWDQXQGXH

ULVNWRWKHKHDOWKDQGVDIHW\RIWKHSXEOLF

7KHH[HPSWLRQLVFRQVLVWHQWZLWKWKHFRPPRQGHIHQVHDQGVHFXULW\

7KH H[HPSWLRQ IURP WKH UHTXLUHPHQWV RI  &)5  $SSHQGL[ ' 6HFWLRQ ,,,%

ZRXOG FKDQJH HOHPHQWV RI WKH SODQWVSHFLILF 7LHU  '&' E\ GHSDUWLQJ IURP WKH

$3 FHUWLILHG 7LHU   GHVLJQ LQIRUPDWLRQ 7KH H[HPSWLRQ GRHV QRW DOWHU WKH

GHVLJQ IXQFWLRQ RU RSHUDWLRQ RI DQ\ VWUXFWXUHV RU SODQW HTXLSPHQW WKDW DUH

QHFHVVDU\ WR PDLQWDLQ D VDIH DQG VHFXUH VWDWXV RI WKH SODQW 7KH SURSRVHG

H[HPSWLRQ KDV QR LPSDFW RQ SODQW VHFXULW\ RU VDIHJXDUGV SURFHGXUHV 7KHUHIRUH

WKHUHTXHVWHGH[HPSWLRQLVFRQVLVWHQWZLWKWKHFRPPRQGHIHQVHDQGVHFXULW\

3DJHRI

1';;;;;;

(QFORVXUH

([HPSWLRQ5HTXHVW /$5;;; $GPLQLVWUDWLYH&KDQJHVWR$OLJQ,QLWLDO7HVW3URJUDP ,73 

ZLWK5HJXODWRU\*XLGH

 6SHFLDOFLUFXPVWDQFHVDUHSUHVHQW

&)5 D  OLVWVL[³VSHFLDOFLUFXPVWDQFHV'IRUZKLFKDQH[HPSWLRQPD\EH

JUDQWHG 3XUVXDQW WR WKH UHJXODWLRQ LW LV QHFHVVDU\ IRU RQH RI WKHVH VSHFLDO

FLUFXPVWDQFHV WR EH SUHVHQW LQ RUGHU IRU WKH 15& WR FRQVLGHU JUDQWLQJ DQ

H[HPSWLRQUHTXHVW7KHUHTXHVWHGH[HPSWLRQPHHWVWKHVSHFLDOFLUFXPVWDQFHVRI

 &)5  D  LL  7KDW VXEVHFWLRQ GHILQHV VSHFLDO FLUFXPVWDQFHV DV ZKHQ

³$SSOLFDWLRQ RI WKH UHJXODWLRQ LQ WKH SDUWLFXODU FLUFXPVWDQFHV ZRXOG QRW VHUYH WKH

XQGHUO\LQJ SXUSRVH RI WKH UXOH RU LV QRW QHFHVVDU\ WR DFKLHYH WKH XQGHUO\LQJ

SXUSRVHRIWKHUXOH'



7KHUXOHXQGHUFRQVLGHUDWLRQLQWKLVUHTXHVWIRUH[HPSWLRQLV&)5

T

$SSHQGL[ ' 6HFWLRQ ,,,% ZKLFK UHTXLUHV WKDW D OLFHQVHH UHIHUHQFLQJ WKH $3

'HVLJQ &HUWLILFDWLRQ 5XOH  &)5 3DUW  $SSHQGL[ '  VKDOO LQFRUSRUDWH E\

UHIHUHQFH DQG FRPSO\ ZLWK WKH UHTXLUHPHQWV RI $SSHQGL[ ' LQFOXGLQJ 7LHU 

LQIRUPDWLRQ 7KH 9(*3 8QLWV  DQG  &2/V UHIHUHQFH WKH $3 'HVLJQ

&HUWLILFDWLRQ5XOHDQGLQFRUSRUDWHE\UHIHUHQFHWKHUHTXLUHPHQWVRI&)53DUW

R $SSHQGL['LQFOXGLQJ7LHULQIRUPDWLRQ7KHXQGHUO\LQJSXUSRVHRI

$SSHQGL['6HFWLRQ,,,%LVWRGHVFULEHDQGGHILQHWKHVFRSHDQGFRQWHQWVRIWKH

$3GHVLJQFHUWLILFDWLRQDQGWRUHTXLUHFRPSOLDQFHZLWKWKHGHVLJQFHUWLILFDWLRQ

AF LQIRUPDWLRQLQ$SSHQGL['



7KHSURSRVHGFKDQJHVDQGFODULILFDWLRQVWRWKH,73GHVFULSWLRQ LQ7LHUPDLQWDLQ

WKHREMHFWLYHRIWKHSURJUDPWRGHPRQVWUDWHWKDWWKHSODQWKDVEHHQFRQVWUXFWHGDV

GHVLJQHG WKDW WKH V\VWHPV SHUIRUP FRQVLVWHQW ZLWK WKH SODQW GHVLJQ DQG WKDW

DFWLYLWLHV FXOPLQDWLQJ LQ RSHUDWLRQ DW IXOO OLFHQVHG SRZHU DUH SHUIRUPHG LQ D

FRQWUROOHG DQG VDIH PDQQHU 7KHUH DUH QR SURSRVHG FKDQJHV WR WKH WHFKQLFDO

FRQWHQW RI DQ\ FRPSRQHQW SUHRSHUDWLRQDO RU VWDUWXS WHVW SURFHGXUHV 7KHVH

FKDQJHV GR QRW LPSDFW WKH DELOLW\ RI DQ\ VWUXFWXUHV V\VWHPV RU FRPSRQHQWV WR

SHUIRUP WKHLU IXQFWLRQV RU QHJDWLYHO\ LPSDFW VDIHW\ 7KH GHWDLOHG WHFKQLFDO

MXVWLILFDWLRQ LV SURYLGHG LQ (QFORVXUH  $FFRUGLQJO\ WKLV H[HPSWLRQ IURP WKH

D FHUWLILFDWLRQLQIRUPDWLRQZLOOHQDEOHWKHOLFHQVHHWRVDIHO\FRQVWUXFWDQGRSHUDWHWKH

$3 IDFLOLW\ FRQVLVWHQW ZLWK WKH GHVLJQ FHUWLILHG E\ WKH 15& LQ  &)5 

$SSHQGL['



7KHUHIRUH VSHFLDO FLUFXPVWDQFHV DUH SUHVHQW EHFDXVH DSSOLFDWLRQ RI WKH FXUUHQW

JHQHULF FHUWLILHG GHVLJQ LQIRUPDWLRQ LQ 7LHU  DV UHTXLUHG E\  &)5 3DUW 

$SSHQGL['6HFWLRQ,,,%LQWKHSDUWLFXODUFLUFXPVWDQFHVGLVFXVVHGLQWKLVUHTXHVW

LVQRWQHFHVVDU\WRDFKLHYHWKHXQGHUO\LQJSXUSRVHRIWKHUXOH

 7KH VSHFLDO FLUFXPVWDQFHV RXWZHLJK DQ\ GHFUHDVH LQ VDIHW\ WKDW PD\ UHVXOW

IURPWKHUHGXFWLRQLQVWDQGDUGL]DWLRQFDXVHGE\WKHH[HPSWLRQ

%DVHGRIWKHQDWXUHRIWKHFKDQJHVWRWKHSODQWVSHFLILF7LHULQIRUPDWLRQDQGWKH

XQGHUVWDQGLQJ WKDW WKHVH FKDQJHV VXSSRUW WKH DGPLQLVWUDWLYH GHVFULSWLRQ DQG

VFRSH RI WKH ,73 LW LV OLNHO\ WKDW RWKHU $3 OLFHQVHHV ZLOO UHTXHVW WKLV

H[HPSWLRQ+RZHYHULIWKLVLVQRWWKHFDVHWKHVSHFLDOFLUFXPVWDQFHVFRQWLQXHWR

RXWZHLJKDQ\GHFUHDVHLQVDIHW\IURPWKHUHGXFWLRQLQVWDQGDUGL]DWLRQEHFDXVHWKH

3DJHRI

1';;;;;;

(QFORVXUH

([HPSWLRQ5HTXHVW /$5;;; $GPLQLVWUDWLYH&KDQJHVWR$OLJQ,QLWLDO7HVW3URJUDP ,73 

ZLWK5HJXODWRU\*XLGH

REMHFWLYH RI WKH ,73 DVVRFLDWHG ZLWK WKLV UHTXHVW ZLOO FRQWLQXH WR EH PDLQWDLQHG

7KLVH[HPSWLRQUHTXHVWDQGWKHDVVRFLDWHGPDUNHGXSWH[WGHPRQVWUDWHWKDWWKHUH

LV D PLQLPDO FKDQJH IURP WKH JHQHULF $3 '&' PLQLPL]LQJ WKH UHGXFWLRQ LQ

VWDQGDUGL]DWLRQDQGFRQVHTXHQWO\WKHVDIHW\LPSDFWIURPWKHUHGXFWLRQ7KHUHIRUH

WKHVSHFLDOFLUFXPVWDQFHVDVVRFLDWHGZLWKWKHUHTXHVWHGH[HPSWLRQRXWZHLJKDQ\

GHFUHDVHLQVDIHW\WKDWPD\UHVXOWIURPWKHUHGXFWLRQLQVWDQGDUGL]DWLRQFDXVHGE\

WKHH[HPSWLRQ

 7KH GHVLJQ FKDQJH ZLOO QRW UHVXOW LQ D VLJQLILFDQW GHFUHDVH LQ WKH OHYHO RI

VDIHW\

7KH H[HPSWLRQ UHYLVHV WKH SODQWVSHFLILF '&' 7LHU  LQIRUPDWLRQ E\ DOWHULQJ DQG

T FODULI\LQJ WKH GHVFULSWLRQ DQG VFRSH RI WKH ,73 7KH ,73 FRQWLQXHV WR PHHW LWV

REMHFWLYHWRGHPRQVWUDWHWKDWWKHSODQWKDVEHHQFRQVWUXFWHGDVGHVLJQHGWKDWWKH

V\VWHPVSHUIRUPFRQVLVWHQWZLWKWKHSODQWGHVLJQDQGWKDWDFWLYLWLHVFXOPLQDWLQJLQ

RSHUDWLRQ DW IXOO OLFHQVHG SRZHU DUH SHUIRUPHG LQ D FRQWUROOHG DQG VDIH PDQQHU

7KHUHIRUH WKH FKDQJHV ZLOO QRW UHVXOW LQ D VLJQLILFDQW GHFUHDVH LQ WKH OHYHO RI





R VDIHW\

5LVN$VVHVVPHQW

AF

$ULVNDVVHVVPHQWZDVGHWHUPLQHGWREHQRWDSSOLFDEOHWRDGGUHVVWKHDFFHSWDELOLW\RIWKLV

UHTXHVW

3UHFHGHQW([HPSWLRQV

1RQH

 (QYLURQPHQWDO&RQVLGHUDWLRQ

7KH SURSRVHG H[HPSWLRQ LV FRQILQHG WR WKH JHQHUDO DVSHFWV RI KRZ WKH ,73 LV H[HFXWHG

DQGGRHVQRWFKDQJHDQ\WHFKQLFDOFRQWHQWIRUSUHRSHUDWLRQDORUVWDUWXSWHVWV$FFRUGLQJO\

WKHSURSRVHGDPHQGPHQWPHHWVWKHHOLJLELOLW\FULWHULRQIRUFDWHJRULFDOH[FOXVLRQVHWIRUWKLQ

D



 &)5  F   7KHUHIRUH SXUVXDQW WR  &)5  E  QR HQYLURQPHQWDO LPSDFW

VWDWHPHQW RU HQYLURQPHQWDO DVVHVVPHQW QHHG EH SUHSDUHG LQ FRQQHFWLRQ ZLWK WKH

SURSRVHGDPHQGPHQW

&RQFOXVLRQ

7KHSURSRVHGFKDQJHVWR7LHUDUHQHFHVVDU\WRUHYLVHWKHGHVFULSWLRQRIWKH,73LQWKH

SODQWVSHFLILF '&' 7LHU  7KH H[HPSWLRQ UHTXHVW PHHWV WKH UHTXLUHPHQWV RI  &)5

Finality of design certifications, &)5Specific exemptions, &)5

 Specific exemptions,  &)5  DQG  &)5  $SSHQGL[ ' Design Certification Rule for the AP1000. 6SHFLILFDOO\WKHH[HPSWLRQUHTXHVWPHHWVWKHFULWHULDRI

 &)5  D   LQ WKDW WKH UHTXHVW LV DXWKRUL]HG E\ ODZ SUHVHQWV QR XQGXH ULVN WR

SXEOLF KHDOWK DQG VDIHW\ DQG LV FRQVLVWHQW ZLWK WKH FRPPRQ GHIHQVH DQG VHFXULW\

)XUWKHUPRUHDSSURYDORIWKLVUHTXHVWGRHVQRWUHVXOWLQDVLJQLILFDQWGHFUHDVHLQWKHOHYHO

RI VDIHW\ SUHVHQWV VSHFLDO FLUFXPVWDQFHV GRHV QRW SUHVHQW D VLJQLILFDQW GHFUHDVH LQ

3DJHRI

1';;;;;;

(QFORVXUH

([HPSWLRQ5HTXHVW /$5;;; $GPLQLVWUDWLYH&KDQJHVWR$OLJQ,QLWLDO7HVW3URJUDP ,73 

ZLWK5HJXODWRU\*XLGH

VDIHW\DVDUHVXOWRIDUHGXFWLRQLQVWDQGDUGL]DWLRQDQGPHHWVWKHHOLJLELOLW\UHTXLUHPHQWV

IRUFDWHJRULFDOH[FOXVLRQ

 5HIHUHQFHV

1RQH

T RAF D

3DJHRI

1';;;;;;

(QFORVXUH

/LFHQVLQJ%DVLV'RFXPHQWV+/-3URSRVHG&KDQJHV /$5;;;;; 



6RXWKHUQ1XFOHDU2SHUDWLQJ&RPSDQ\







1';;;;





(QFORVXUH





T 9RJWOH(OHFWULF*HQHUDWLQJ3ODQW 9(*3 8QLWVDQG





RAF

/LFHQVLQJ%DVLV'RFXPHQWV+/-3URSRVHG&KDQJHV



/$5;;; 















D 

$GGHGWH[WLVVKRZQDV%OXH8QGHUOLQH

'HOHWHG7H[WLVVKRZQDV5HG6WULNHWKURXJK

5HORFDWHG7H[WLVVKRZVDV*UHHQ8QGHUOLQHDQG6WULNHWKURXJK

2PLWWHGWH[WLVVKRZQDVWKUHHDVWHULVNV << << 









7KLV(QFORVXUHFRQVLVWVRISDJHVLQFOXGLQJWKLVFRYHUSDJH 

 

3DJHRI

1';;;;;;

(QFORVXUH

/LFHQVH$PHQGPHQW5HTXHVW /$5;;; $GPLQLVWUDWLYH&KDQJHVWR$OLJQ,QLWLDO7HVW

3URJUDP ,73 ZLWK5HJXODWRU\*XLGH

5HYLVH&2/$SSHQGL[&6HFWLRQ,QWLWLDO7HVW3URJUDPDQGFRUUHVSRQGLQJSODQW

VSHFLILF7LHU6HFWLRQDVVKRZQEHORZ

,QLWLDO7HVW3URJUDP

'HVLJQ'HVFULSWLRQ

7KH/LFHQVHHZLOOLPSOHPHQWDQLQLWLDOWHVWSURJUDP

$QLQLWLDOWHVWSURJUDPLVSHUIRUPHGDIWHUWXUQRYHUIURPFRQVWUXFWLRQIRUHDFK$3SODQW7KH

LQLWLDOWHVWSURJUDPDQGFRQVLVWVRIDVHULHVRIWHVWVFDWHJRUL]HGDVFRPSRQHQWSUHRSHUDWLRQDO

SULRUWRIXHOORDG DQGVWDUWXS GXULQJDQGDIWHUIXHOORDG 3UHUHTXLVLWHVIRUSUHRSHUDWLRQDO

T WHVWLQJVXFKDVFRPSOHWLRQRIDVVRFLDWHGFRQVWUXFWLRQDFWLYLWLHVFRPSRQHQWDQGRUSUHOLPLQDU\

WHVWVDQGLQVSHFWLRQVVKRXOGEHFRPSOHWHGEHIRUHEHJLQQLQJSUHRSHUDWLRQDOWHVWV WRWKHGHJUHH

WKDWRXWVWDQGLQJLWHPVFRXOGQRWEHH[SHFWHGWRDIIHFWWKHYDOLGLW\RIWHVWUHVXOWV $OO,7$$&ZLOOEH

FRPSOHWHGSULRUWRIXHOORDGWKHUHIRUHQR,7$$&DUHSHUIRUPHGGXULQJWKHVWDUWXSWHVWSKDVHRI

WKHLQLWLDOWHVWSURJUDP

R

&RPSRQHQWWHVWVDUHSHUIRUPHGIROORZLQJWXUQRYHUIURPFRQVWUXFWLRQWRSUHSDUHV\VWHPVIRU

SUHRSHUDWLRQDOWHVWLQJ&RPSRQHQWWHVWLQJLQFOXGHVDVDSSURSULDWHSUHOLPLQDU\RSHUDWLRQRI

AF FRPSRQHQWVDQGV\VWHPVDQGYDULRXVHOHFWULFDODQGPHFKDQLFDOWHVWVLQFOXGLQJFOHDQLQJDQG

IOXVKLQJHOHFWULFDOFKHFNVRSHUDELOLW\FKHFNVDQGLQVWUXPHQWDWLRQFDOLEUDWLRQ

3UHRSHUDWLRQDOWHVWVDUHSHUIRUPHGIRUHDFKV\VWHPDIWHUDVVRFLDWHGFRPSRQHQW

WHVWVSUHUHTXLVLWHVDUHPHWEXWSULRUWRLQLWLDOIXHOORDGLQJWRGHPRQVWUDWHWKDWHTXLSPHQWDQG

V\VWHPVSHUIRUPLQDFFRUGDQFHZLWKGHVLJQFULWHULDVRWKDWLQLWLDOIXHOORDGLQJLQLWLDOFULWLFDOLW\DQG

VXEVHTXHQWSRZHURSHUDWLRQFDQEHVDIHO\XQGHUWDNHQ3UHRSHUDWLRQDOWHVWVLQFOXGHDV

DSSURSULDWHORJLFDQGLQWHUORFNWHVWVFRQWURODQGLQVWUXPHQWDWLRQIXQFWLRQDOWHVWVDQGV\VWHP

SHUIRUPDQFHWHVWVLQFOXGLQJH[SDQVLRQYLEUDWLRQDQGG\QDPLFHIIHFWVWHVWV

  

D 3UHRSHUDWLRQDODQGVWDUWXSWHVWVDUHSHUIRUPHGXVLQJWHVWSURFHGXUHVGHYHORSHGSULPDULO\IURP

WHVWVSHFLILFDWLRQV7KHVHWHVWSURFHGXUHVZKLFKGHOLQHDWHWKHWHVWPHWKRGVWREHXVHGLQWKH

FRQGXFWRISUHRSHUDWLRQDODQGVWDUWXSWHVWLQJDQGWKHDSSOLFDEOHDFFHSWDQFHFULWHULDDJDLQVWZKLFK

SHUIRUPDQFHLVHYDOXDWHG7HVWVSHFLILFDWLRQVDQGSURFHGXUHVDUHGHYHORSHGDQGUHYLHZHGE\

TXDOLILHGSHUVRQQHO&RSLHVRIWKHWHVWVSHFLILFDWLRQVDQGWHVWSURFHGXUHVIRUSUHRSHUDWLRQDOWHVWV

DUHDYDLODEOHWR15&SHUVRQQHOSULRUWRWKHVFKHGXOHGSHUIRUPDQFHRIWKHVHLQGLYLGXDOWHVWV

&RSLHVRIWKHWHVWVSHFLILFDWLRQVDQGWHVWSURFHGXUHVIRUVWDUWXSWHVWVDUHDYDLODEOHWR15&

LQVSHFWLRQSHUVRQQHOSULRUWRWKHVFKHGXOHGIXHOORDGLQJGDWH$GPLQLVWUDWLYHSURFHGXUHVDUHXVHG

WRFRQWUROWKHFRQGXFWRIWKHLQLWLDOWHVWSURJUDPWKHUHYLHZHYDOXDWLRQDQGDSSURYDORIWHVW

UHVXOWVDQGWHVWUHFRUGUHWHQWLRQ

 

3DJHRI

1';;;;;;

(QFORVXUH

/LFHQVH$PHQGPHQW5HTXHVW /$5;;; $GPLQLVWUDWLYH&KDQJHVWR$OLJQ,QLWLDO7HVW

3URJUDP ,73 ZLWK5HJXODWRU\*XLGH

5HYLVH&2/&RQGLWLRQ'  2SHUDWLRQDO3URJUDP,PSOHPHQWDWLRQDVVKRZQEHORZ

' 7KHOLFHQVHLVVXEMHFWWRDQG61&VKDOOFRPSO\ZLWKWKHFRQGLWLRQVVSHFLILHG

DQGLQFRUSRUDWHGEHORZ

  

  2SHUDWLRQDO3URJUDP,PSOHPHQWDWLRQ

61&VKDOOLPSOHPHQWWKHSURJUDPVRUSRUWLRQVRISURJUDPVLGHQWLILHG

EHORZRQRUEHIRUHWKHGDWH61&DFKLHYHVWKHIROORZLQJPLOHVWRQHV

  

P  ,QLWLDO7HVW3URJUDP ,73 



T

&RPSRQHQW7HVW3URJUDPLPSOHPHQWHGEHIRUHWKHILUVW



RAF   





FRPSRQHQWWHVW

3UHRSHUDWLRQDO7HVW3URJUDPLPSOHPHQWHGEHIRUHWKHILUVW

SUHRSHUDWLRQDOWHVWDQG

6WDUWXS7HVW3URJUDPLPSOHPHQWHGEHIRUHLQLWLDOIXHOORDG



D 3DJHRI

1';;;;;;

(QFORVXUH

/LFHQVH$PHQGPHQW5HTXHVW /$5;;; $GPLQLVWUDWLYH&KDQJHVWR$OLJQ,QLWLDO7HVW

3URJUDP ,73 ZLWK5HJXODWRU\*XLGH

5HYLVH&2/&RQGLWLRQ'  6LWHDQG8QLWVSHFLILF&RQGLWLRQVDVVKRZQEHORZ

' 7KHOLFHQVHLVVXEMHFWWRDQG61&VKDOOFRPSO\ZLWKWKHFRQGLWLRQVVSHFLILHG

DQGLQFRUSRUDWHGEHORZ

  

  6LWHDQG8QLWVSHFLILF&RQGLWLRQV

  

I 1RODWHUWKDQPRQWKVDIWHULVVXDQFHRIWKH&2/61&VKDOO

T VXEPLWWRWKH'LUHFWRURI152RUWKH'LUHFWRUVGHVLJQHHD

VFKHGXOHIRULPSOHPHQWDWLRQRIWKHIROORZLQJOLFHQVHFRQGLWLRQV

7KHVFKHGXOHVKDOOEHXSGDWHGHYHU\PRQWKVXQWLOPRQWKV

EHIRUHVFKHGXOHGIXHOORDGLQJDQGHYHU\PRQWKWKHUHDIWHUXQWLO

RAF HDFKOLFHQVHFRQGLWLRQKDVEHHQIXOO\LPSOHPHQWHG7KHVFKHGXOHVKDOO

LGHQWLI\WKHFRPSOHWLRQRIRULPSOHPHQWDWLRQRIWKHIROORZLQJ



  

7KH,73SURFHGXUHVLGHQWLILHGLQ8)6$56HFWLRQ

D DGPLQLVWUDWLYHPDQXDO EHIRUHWKHILUVWSUHRSHUDWLRQDO

FRPSRQHQWWHVW 

E SUHRSHUDWLRQDOWHVWLQJ EHIRUHVFKHGXOHG

SHUIRUPDQFH 

F VWDUWXSWHVWLQJ EHIRUHLQLWLDOIXHOORDG 



  

D  

3DJHRI

1';;;;;;

(QFORVXUH

/LFHQVLQJ%DVLV'RFXPHQWV+/-3URSRVHG&KDQJHV /$5;;;;; 

5HYLVH8)6$57DEOH2SHUDWLRQDO3URJUDPV5HTXLUHGE\15&5HJXODWLRQVDVVKRZQEHORZ

7DEOH 6KHHWRI 

2SHUDWLRQDO3URJUDPV5HTXLUHGE\15&5HJXODWLRQV

,PSOHPHQWDWLRQ

  3URJUDP6RXUFH

,WHP 3URJUDP7LWOH 5HTXLUHGE\  )6$56HFWLRQ 0LOHVWRQH 5HTXLUHPHQW

 ,QLWLDO7HVW3URJUDP &)5  3ULRUWRWKHILUVWFRPSRQHQWWHVW /LFHQVH&RQGLWLRQ

&)5 D   EHLQJFRQGXFWHGIRUWKH

&RPSRQHQW7HVW3URJUDP

3ULRUWRWKHILUVWSUHRSHUDWLRQDOWHVW IRUWKH3UHRSHUDWLRQDO7HVW

3URJUDP

3ULRUWRLQLWLDOIXHOORDGIRUWKH

  

6WDUWXS7HVW3URJUDP

F T A

R D

3DJHRI

1';;;;;;

(QFORVXUH

/LFHQVLQJ%DVLV'RFXPHQWV+/-3URSRVHG&KDQJHV /$5;;;;; 

5HYLVH8)6$56HFWLRQ6SHFLILF,QIRUPDWLRQWREHLQFOXGHGLQ6WDQGDUG6DIHW\

$QDO\VLV5HSRUWVDVVKRZQEHORZ 1RWHWKDWWKHSURSRVHGFKDQJHVUHIOHFWD

UHFHQWO\DSSURYHGFKDQJHZKLFKLVQRW\HWLQFRUSRUDWHGLQWRWKHGRFNHWHG

8)6$5 

 6XPPDU\RI,QLWLDO7HVW3URJUDPDQG2EMHFWLYHV

7KHSXUSRVHRIWKLVVHFWLRQLVWRGHVFULEHWKHLQLWLDOWHVWSURJUDPWKDWLVSHUIRUPHGIRUWKH$3

SODQW

  

T 7KH,QLWLDO7HVW3URJUDP ,73 LVLPSOHPHQWHGLQWKUHHWZRSKDVHVFDWHJRUL]HGDVFRPSRQHQW

SUHRSHUDWLRQDODQGVWDUWXSWHVWLQJ7KHLQGLYLGXDOSURJUDPVIRUWKHVHWKUHHWZRSKDVHVZKLFKPDNH

XSWKHRYHUDOO,73DUHGLVFXVVHGLQ6XEVHFWLRQVDQGDQG)RUFODULW\LWLV

R QRWHGWKDWFRQVWUXFWLRQDQGLQVWDOODWLRQWHVWVLQFOXGLQJFRPSRQHQWWHVWVDUHSHUIRUPHGE\WKH

FRQVWUXFWLRQRUJDQL]DWLRQWRYHULI\WKDWWKHFRQVWUXFWLRQLQVWDOODWLRQDQGDVVHPEO\SURFHVVHVKDYH

EHHQSURSHUO\SHUIRUPHG&RQVWUXFWLRQDQGLQVWDOODWLRQWHVWVLQFOXGLQJFRPSRQHQWWHVWVDUHURXWLQHO\

AF SHUIRUPHGSULRUWRFRPSRQHQWWHVWLQJDQGDUHQRWFRQVLGHUHGSDUWRIWKH,73

z &RPSRQHQWWHVWVDUHSHUIRUPHGIROORZLQJWXUQRYHUIURPFRQVWUXFWLRQWRSUHSDUHV\VWHPVIRU

SUHRSHUDWLRQDOWHVWLQJ&RPSRQHQWWHVWLQJLQFOXGHVDVDSSURSULDWHSUHOLPLQDU\RSHUDWLRQRI

FRPSRQHQWVDQGV\VWHPVDQGYDULRXVHOHFWULFDODQGPHFKDQLFDOWHVWVLQFOXGLQJFOHDQLQJDQG

IOXVKLQJHOHFWULFDOFKHFNVRSHUDELOLW\FKHFNVDQGLQVWUXPHQWDWLRQFDOLEUDWLRQ

z 3UHRSHUDWLRQDOWHVWVDUHSHUIRUPHGDIWHUDVVRFLDWHGFRPSRQHQWWHVWVSUHUHTXLVLWHVIRUWKH

UHTXLUHGWHVWVXFKDVDFRPSOHWLRQRIDVVRFLDWHGFRQVWUXFWLRQDFWLYLWLHVFRPSRQHQWDQGRU

SUHOLPLQDU\WHVWVDQGLQVSHFWLRQVEXWSULRUWRLQLWLDOIXHOORDGLQJWRGHPRQVWUDWHWKHFDSDELOLW\

RISODQWV\VWHPVWRPHHWSHUIRUPDQFHUHTXLUHPHQWV7KHVHSUHUHTXLVLWHVVKRXOGEHFRPSOHWHG

EHIRUHEHJLQQLQJSUHRSHUDWLRQDOWHVWV WRWKHGHJUHHWKDWRXWVWDQGLQJLWHPVFRXOGQRWEH

D H[SHFWHGWRDIIHFWWKHYDOLGLW\RIWHVWUHVXOWV 

  

 &RPSRQHQW7HVW3URJUDP2EMHFWLYHV

7KHREMHFWLYHRIFRPSRQHQWWHVWLQJLVWRSUHSDUHV\VWHPVIRUSUHRSHUDWLRQDOWHVWLQJ&RPSRQHQWWHVWV

DUHFRQGXFWHGIROORZLQJWXUQRYHUIURPFRQVWUXFWLRQDQGLQFOXGHWKHIROORZLQJDVDSSURSULDWH

z &OHDQLQJDQGIOXVKLQJ

z &KHFNVRIHOHFWULFDOZLULQJ

z 0HFKDQLFDODQGHOHFWULFDOFRPSRQHQWLQLWLDOVHWXSDQGIXQFWLRQDOWHVWLQJLQFOXGLQJYDOYH

WHVWLQJ

z ,QLWLDOHQHUJL]DWLRQDQGRSHUDWLRQRIHTXLSPHQW

3DJHRI

1';;;;;;

(QFORVXUH

/LFHQVH$PHQGPHQW5HTXHVW /$5;;; $GPLQLVWUDWLYH&KDQJHVWR$OLJQ,QLWLDO7HVW

3URJUDP ,73 ZLWK5HJXODWRU\*XLGH

z &DOLEUDWLRQRILQVWUXPHQWDWLRQ

z &RPSRQHQWDQGGLJLWDOFRQWUROV\VWHPLQWHUIDFHWHVWLQJ

&RPSOHWLRQRIFRPSRQHQWWHVWLQJGHPRQVWUDWHVWKDWWKHWHVWHGFRPSRQHQWVDUHUHDG\IRUV\VWHP

SUHRSHUDWLRQDOWHVWLQJ

'HYHORSPHQWRIFRPSRQHQWWHVWVLVEDVHGRQWKHHQJLQHHULQJLQIRUPDWLRQIRUWKHHTXLSPHQWDQG

V\VWHPVLQVWDOOHG

3UHRSHUDWLRQDO7HVW3URJUDP2EMHFWLYHV

T

)ROORZLQJFRPSRQHQWWHVWLQJFRPSOHWLRQRIDVVRFLDWHGSUHUHTXLVLWHVSUHRSHUDWLRQDOWHVWVDUH

SHUIRUPHGWRGHPRQVWUDWHWKDWHTXLSPHQWDQGV\VWHPVSHUIRUPLQDFFRUGDQFHZLWKGHVLJQFULWHULDVR

WKDWLQLWLDOIXHOORDGLQJLQLWLDOFULWLFDOLW\DQGVXEVHTXHQWSRZHURSHUDWLRQFDQEHVDIHO\XQGHUWDNHQ

3UHRSHUDWLRQDOWHVWVDWHOHYDWHGSUHVVXUHDQGWHPSHUDWXUHDUHUHIHUUHGWRDVKRWIXQFWLRQDOWHVWV

  

R

6WDUWXS7HVW3URJUDP2EMHFWLYHV

AF 7KHVWDUWXSWHVWSURJUDPEHJLQVZLWKLQLWLDOIXHOORDGLQJDIWHUWKHSUHRSHUDWLRQDOWHVWLQJKDVEHHQ

VXFFHVVIXOO\FRPSOHWHG

  

 7HVWLQJRI)LUVWRID.LQG'HVLJQ)HDWXUHV

)LUVWRIDNLQG )2$. WHVWLQJPD\RFFXULQDQ\RIWKHSKDVHVGHSHQGLQJRQWKHQDWXUHRIWKHWHVWLQJ

DQGUHTXLUHGVHTXHQFLQJRIWKHWHVWV:KHQWHVWLQJ)2$.GHVLJQIHDWXUHVDSSOLFDEOHRSHUDWLQJ

H[SHULHQFHIURPSUHYLRXVWHVWSHUIRUPDQFHRQRWKHU$3SODQWVLVUHYLHZHGZKHUHDYDLODEOHDQG

WKH,73PRGLILHGDVQHHGHGEDVHGRQWKRVHOHVVRQVOHDUQHG

D

 &UHGLWIRU3UHYLRXVO\3HUIRUPHG7HVWLQJRI)LUVWRID.LQG'HVLJQ

)HDWXUHV

,QVRPHFDVHV)2$.WHVWLQJLVUHTXLUHGRQO\IRUWKHILUVWRIDQHZGHVLJQRUIRUWKHILUVWIHZSODQWVRID

VWDQGDUGGHVLJQ,QVXFKFDVHVFUHGLWPD\EHWDNHQIRUWKHSUHYLRXVO\SHUIRUPHGWHVWV$GLVFXVVLRQ

LVLQFOXGHGLQWKHWHVWUHSRUWVRIWKHUHVXOWVRIWKRVHWHVWVWKDWDUHFUHGLWHG

 2UJDQL]DWLRQ6WDIILQJDQG5HVSRQVLELOLWLHV

61&KDVWKHRYHUDOOUHVSRQVLELOLW\WRPDQDJHDQGFRQGXFWFRPSRQHQWSUHRSHUDWLRQDODQGVWDUWXS

WHVWLQJ

  

3DJHRI

1';;;;;;

(QFORVXUH

/LFHQVH$PHQGPHQW5HTXHVW /$5;;; $GPLQLVWUDWLYH&KDQJHVWR$OLJQ,QLWLDO7HVW

3URJUDP ,73 ZLWK5HJXODWRU\*XLGH

 ,732UJDQL]DWLRQ

7KH,73RUJDQL]DWLRQLVIXQFWLRQDOO\FRPSULVHGRIWHVWLQJJURXSVDQGRUJDQL]DWLRQDOVXSSRUWJURXSV

7KHJURXSVDUHUHVSRQVLEOHIRUVXSSRUWLQJDQGFRQGXFWLQJFRPSRQHQWSUHRSHUDWLRQDODQGVWDUWXS

WHVWLQJDQGPD\EHGLYLGHGE\IXQFWLRQDODUHD7KH,732UJDQL]DWLRQVWUXFWXUH RUJDQL]DWLRQDOFKDUW LV

LQFOXGHGLQWKH,73$GPLQLVWUDWLYH0DQXDO

 6HQLRU0DQDJHUV5HVSRQVLEOHIRU,73

7KH6HQLRU0DQDJHUV5HVSRQVLEOHIRU,73DUHUHVSRQVLEOHIRU

z 6WDIILQJWKH,732UJDQL]DWLRQ

T z 'HYHORSLQJDQGUHYLHZLQJWKHDGPLQLVWUDWLYHDQGWHFKQLFDOSURFHGXUHVDVVRFLDWHGZLWK

FRPSRQHQWSUHRSHUDWLRQDODQGVWDUWXSWHVWLQJ

z 0DQDJLQJWKH,732UJDQL]DWLRQ

  

R z ,PSOHPHQWLQJWKHFRPSRQHQWSUHRSHUDWLRQDODQGVWDUWXSWHVWLQJVFKHGXOH

z 0DQDJLQJFRQWUDFWVDVVRFLDWHGZLWKFRPSRQHQWSUHRSHUDWLRQDODQGVWDUWXSWHVWLQJ

AF

 )XQFWLRQDO0DQDJHUVLQ&KDUJHRI,732UJDQL]DWLRQ6XSSRUW

7KHIXQFWLRQDOPDQDJHUVLQFKDUJHRI,732UJDQL]DWLRQVXSSRUWUHSRUWWRWKH6HQLRU0DQDJHUV

5HVSRQVLEOHIRU,73DQGDUHUHVSRQVLEOHIRUSURYLGLQJWKHQHFHVVDU\VXSSRUWLQJVWUXFWXUHDQG

SURFHVVHVUHTXLUHGIRUWKHHIIHFWLYHLPSOHPHQWDWLRQRIWKH,736SHFLILFDOO\WKHVHPDQDJHUVDUH

UHVSRQVLEOHIRU

z 3ODQQLQJDQGVFKHGXOLQJSURFHGXUHGHYHORSPHQWWRVXSSRUWFRPSRQHQWSUHRSHUDWLRQDO

DQGVWDUWXSWHVWLQJ

D

  

)XQFWLRQDO,730DQDJHUVLQ&KDUJHRI7HVWLQJ

7KHIXQFWLRQDOPDQDJHUVLQFKDUJHRIWHVWLQJUHSRUWWRWKH6HQLRU0DQDJHUV5HVSRQVLEOHIRU,73DQG

DUHUHVSRQVLEOHIRU

  

z 3UHSDULQJFRPSRQHQWWHVWSURFHGXUHVDQGHQVXULQJWKDWWKH-7:*UHYLHZVDQGDSSURYHV

FRPSRQHQWWHVWSURFHGXUHVDVVSHFLILHGE\WKH-7:*&KDLUPDQ7KH-7:*VWUXFWXUHDQG

UHVSRQVLELOLWLHVDUHGHILQHGLQ6XEVHFWLRQ

  

3DJHRI

1';;;;;;

(QFORVXUH

/LFHQVH$PHQGPHQW5HTXHVW /$5;;; $GPLQLVWUDWLYH&KDQJHVWR$OLJQ,QLWLDO7HVW

3URJUDP ,73 ZLWK5HJXODWRU\*XLGH

z 6XSSRUWLQJWKHWUDQVLWLRQIURPFRQVWUXFWLRQFRPSRQHQWWHVWLQJWRWKHSUHRSHUDWLRQDOWHVWLQJ

SKDVH

  

 -RLQW7HVW:RUNLQJ*URXS

7KH-RLQW7HVW:RUNLQJ*URXS -7:* FRQVLVWVRIDQRUJDQL]DWLRQDOJURXSRIDXWKRUL]HG

UHSUHVHQWDWLYHSHUVRQQHOIURPWKH3ODQW¶VRSHUDWLRQVDQGVXSSRUWJURXSIXQFWLRQV5HVSRQVLEOH

'HVLJQ2UJDQL]DWLRQDQGRWKHUWHVWVXSSRUWJURXSVDVLGHQWLILHGEHORZ

61&KDVWKHRYHUDOOUHVSRQVLELOLW\IRUFRQGXFWRIWKH,737KH6HQLRU0DQDJHUV5HVSRQVLEOHIRU,73

T KDYHEHHQDVVLJQHGRYHUDOOUHVSRQVLELOLW\DQGDXWKRULW\IRUWHFKQLFDOGLUHFWLRQRIWKHFRPSRQHQW

WHVWLQJSUHRSHUDWLRQDOWHVWLQJDQGVWDUWXSWHVWLQJDQGPD\DFWDVWKH-7:*&KDLUPDQ

7KH-7:*&KDLUPDQUHSRUWVWRWKH6HQLRU0DQDJHUV5HVSRQVLEOHIRU,73RUGHVLJQHH V IRUPDWWHUV

RIFRPSRQHQWSUHRSHUDWLRQDORUVWDUWXSWHVWLQJDXWKRULW\DQGDFFHSWDQFH

R 7KH-7:*SURYLGHVWKHIROORZLQJDGPLQLVWUDWLYHRYHUVLJKWDFWLYLWLHVDVVRFLDWHGZLWKFRPSRQHQW

SUHRSHUDWLRQDODQGVWDUWXSWHVWLQJ

AF z 5HYLHZDQGDSSURYH,73$GPLQLVWUDWLYH0DQXDO

z 5HYLHZDQGDSSURYHSUHRSHUDWLRQDODQGVWDUWXSWHVWSURFHGXUHV

z 5HYLHZDQGDSSURYHFRPSRQHQWWHVWSURFHGXUHVDVVSHFLILHGE\WKH-7:*FKDLUPDQ

z 2YHUVHHWKHLPSOHPHQWDWLRQRIFRPSRQHQWWHVWLQJSUHRSHUDWLRQDOWHVWLQJDQGVWDUWXSWHVWLQJ

LQFOXGLQJSODQQLQJVFKHGXOLQJDQGSHUIRUPDQFH

z 5HYLHZDQGDSSURYHSUHRSHUDWLRQDODQGVWDUWXSWHVWUHVXOWV



D   

z ,737HVW*URXSV

7KH,737HVW*URXSVKDYHWKHSULPDU\UHVSRQVLELOLW\IRUWKHGHYHORSPHQWPDLQWHQDQFHDQG

SHUIRUPDQFHRIFRPSRQHQWSUHRSHUDWLRQDODQGVWDUWXSSURFHGXUHVDWWKHVLWH7KHSULPDU\

LQWHUIDFHVIRUWKHVHJURXSVDUHWKH2SHUDWLRQV*URXSDQG7HFKQLFDOVXSSRUWRUJDQL]DWLRQVDVZHOO

DVWKHUHVSRQVLEOHGHVLJQRUJDQL]DWLRQDQGWKH&RQVWUXFWLRQ6HUYLFHV*URXS

  

z 5HVSRQVLEOH'HVLJQ2UJDQL]DWLRQ

7KHUHVSRQVLEOHGHVLJQRUJDQL]DWLRQZLOOYDU\DQGPD\EH:HVWLQJKRXVH(OHFWULF&RPSDQ\ :(& 

DQGRU6RXWKHUQ&RPSDQ\GHSHQGLQJRQWKHSDUWLFXODUDUHDRU66&LQTXHVWLRQ7KLVRUJDQL]DWLRQKDV

3DJHRI

1';;;;;;

(QFORVXUH

/LFHQVH$PHQGPHQW5HTXHVW /$5;;; $GPLQLVWUDWLYH&KDQJHVWR$OLJQ,QLWLDO7HVW

3URJUDP ,73 ZLWK5HJXODWRU\*XLGH

WKHSULPDU\UHVSRQVLELOLW\IRUWKHDSSURYDORIWKHV\VWHPWHVWVSHFLILFDWLRQGRFXPHQWLQGLFDWLQJWKDWWKH

WHVWDQGDFFHSWDQFHFULWHULDDUHLQDFFRUGDQFHZLWKWKHFXUUHQWDSSURYHGGHVLJQ   

 ,737HVW*URXSV

7KH,737HVW*URXSVSHUIRUPWKHIROORZLQJIXQFWLRQVDQGVFRSHRIZRUNDVQHFHVVDU\WRVXSSRUWWKH

,QLWLDO7HVW3URJUDP

z 3HUIRUPFRPSRQHQWWHVWLQJ

z 5HYLHZDQGHYDOXDWHFRPSRQHQWWHVWUHVXOWV

T z 6XSSRUWDFFHSWDQFHRIFRQVWUXFWLRQWXUQRYHUWRWKH,73RUJDQL]DWLRQ

z 6XSSRUWFRPSRQHQWWHVWLQJWRSUHRSHUDWLRQDOWHVWLQJWUDQVLWLRQ



  



R z 6XSSRUWSHUIRUPLQLWLDOHQHUJL]DWLRQDQGRSHUDWLRQRISODQWHTXLSPHQWDVZHOODVIXQFWLRQDO

SHUIRUPDQFHWHVWVDWWKHFRPSRQHQWRUVXEV\VWHPOHYHO

AF 7HVW6SHFLILFDWLRQVDQG7HVW3URFHGXUHV

3UHRSHUDWLRQDODQGVWDUWXSWHVWVDUHSHUIRUPHGXVLQJWHVWSURFHGXUHVGHYHORSHGSULPDULO\IURPWHVW

VSHFLILFDWLRQV

)RUWKHSUHRSHUDWLRQDODQGVWDUWXSWHVWVWHVWVSHFLILFDWLRQVDUHZULWWHQWRVSHFLI\WKHIROORZLQJ

z 2EMHFWLYHVIRUSHUIRUPLQJWKHWHVW

D z 7HVWSUHUHTXLVLWHV

z ,QLWLDOWHVWFRQGLWLRQV

z 'DWDUHTXLUHPHQWV

z $FFHSWDQFHFULWHULD

)RUHDFKWHVWWKHWHVWSURFHGXUHVSHFLILHVWKHIROORZLQJDVDSSOLFDEOH

z 2EMHFWLYHVIRUSHUIRUPLQJWKHWHVW

z 3UHUHTXLVLWHVWKDWPXVWEHFRPSOHWHGEHIRUHWKHWHVWFDQEHSHUIRUPHG

z ,QLWLDOFRQGLWLRQVXQGHUZKLFKWKHWHVWLVVWDUWHG

z 6SHFLDOSUHFDXWLRQVUHTXLUHGIRUWKHVDIHW\RISHUVRQQHORUHTXLSPHQW

z ,QVWUXFWLRQVGHOLQHDWLQJKRZWKHWHVWLVWREHSHUIRUPHG

z ,GHQWLILFDWLRQRIWKHUHTXLUHGGDWDWREHREWDLQHGDQGWKHPHWKRGVIRUGRFXPHQWDWLRQ

z 'DWDUHGXFWLRQDQDO\VLVPHWKRGVDVDSSURSULDWH

z 7HVWDFFHSWDQFHFULWHULD

3DJHRI

1';;;;;;

(QFORVXUH

/LFHQVH$PHQGPHQW5HTXHVW /$5;;; $GPLQLVWUDWLYH&KDQJHVWR$OLJQ,QLWLDO7HVW

3URJUDP ,73 ZLWK5HJXODWRU\*XLGH

7HVWVSHFLILFDWLRQVDQGSURFHGXUHVDUHGHYHORSHGDQGUHYLHZHGE\SHUVRQQHOZLWKDSSURSULDWH

WHFKQLFDOEDFNJURXQGVDQGH[SHULHQFH7KLVLQFOXGHVWKHSDUWLFLSDWLRQRIUHVSRQVLEOHGHVLJQ

RUJDQL]DWLRQVLQWKHHVWDEOLVKPHQWRIWHVWSHUIRUPDQFHUHTXLUHPHQWVDQGDFFHSWDQFHFULWHULD

6SHFLILFDOO\WKHUHVSRQVLEOHGHVLJQRUJDQL]DWLRQVZLOOSURYLGHVFRSLQJGRFXPHQWV LHSUHRSHUDWLRQDO

DQGVWDUWXSWHVWVSHFLILFDWLRQV FRQWDLQLQJWHVWLQJREMHFWLYHVDQGDFFHSWDQFHFULWHULDDSSOLFDEOHWRLWV

VFRSHRIGHVLJQUHVSRQVLELOLW\

$YDLODEOHLQIRUPDWLRQRQRSHUDWLQJRUWHVWLQJH[SHULHQFHVRIRSHUDWLQJUHDFWRUVLVIDFWRUHGLQWRWKHWHVW

VSHFLILFDWLRQVDQGWHVWSURFHGXUHVDVDSSURSULDWH

&RSLHVRIWKHWHVWVSHFLILFDWLRQVDQGWHVWSURFHGXUHVIRUWKHVWDUWXSWHVWVDUHDYDLODEOHWR15&

LQVSHFWLRQSHUVRQQHOQRWOHVVWKDQGD\VSULRUWRWKHVFKHGXOHGIXHOORDGLQJGDWH

T

&RSLHVRIWKHWHVWVSHFLILFDWLRQVDQGWHVWSURFHGXUHVDUHDYDLODEOHWR15&LQVSHFWLRQSHUVRQQHO

DSSUR[LPDWHO\GD\VSULRUWRWKHVFKHGXOHGSHUIRUPDQFHRIWKHIROORZLQJSUHRSHUDWLRQDOWHVWV

z 7HVWVRIV\VWHPVFRPSRQHQWVWKDWSHUIRUPVDIHW\UHODWHGIXQFWLRQV

R z 7HVWVRIV\VWHPVFRPSRQHQWVWKDWDUHQRQVDIHW\UHODWHGEXWSHUIRUPGHIHQVHLQGHSWK

IXQFWLRQV

AF 7HVWVSHFLILFDWLRQVDQGWHVWSURFHGXUHVIRUSUHRSHUDWLRQDOWHVWVGHVFULEHGLQ6XEVHFWLRQV

DQGRIWKHSODQWV\VWHPVFRPSRQHQWVZKLFKSHUIRUPQRVDIHW\UHODWHGRUGHIHQVHLQGHSWK

IXQFWLRQVDUHDYDLODEOHWR15&LQVSHFWLRQSHUVRQQHOSULRUWRWKHVFKHGXOHGSHUIRUPDQFHRI

WKHVHWHVWV

3UHRSHUDWLRQDODQGVWDUWXSWHVWVDUHSHUIRUPHGZLWKWKHTXDOLW\DVVXUDQFHUHTXLUHPHQWVDVVSHFLILHG

LQ6HFWLRQ

7KH,73$GPLQLVWUDWLYH0DQXDOVKDOOLQFOXGHWKHIROORZLQJFRQWUROV

z &RQWUROVWRSURYLGHIRUWXUQRYHURISODQWV\VWHPVDQGFRPSRQHQWVIURPFRQVWUXFWLRQWRWKH

SUHRSHUDWLRQDOWHVWLQJJURXS7KHVHDGPLQLVWUDWLYHFRQWUROVDOVRHQVXUHWKDWJHQHUDO

D SUHUHTXLVLWHVDUHVDWLVILHGSULRUWRSUHRSHUDWLRQDODQGRUVWDUWXSWHVWVRILQGLYLGXDOV\VWHPVRU

FRPSRQHQWV)RUFRPSRQHQWWHVWVFRQWUROVWRSURYLGHWHVWSURFHGXUHVDQGRUZULWWHQZRUN

LQVWUXFWLRQVWKDWLQFOXGHDSSURSULDWHSUHUHTXLVLWHVSUHFDXWLRQVPHWKRGWRGLUHFWDQGFRQWURO

WHVWSHUIRUPDQFHDQGDFFHSWDQFHFULWHULDE\ZKLFKWKHWHVWLVHYDOXDWHG

  

z &RQWUROVWRSURYLGHIRUSHUVRQQHOZLWKDSSURSULDWHWHFKQLFDOEDFNJURXQGVDQGH[SHULHQFHWR

GHYHORSDQGUHYLHZSUHRSHUDWLRQDODQGVWDUWXSWHVWSURFHGXUHVDQGUHYLHZFRPSRQHQWWHVW

SURFHGXUHVDQGRUZULWWHQZRUNLQVWUXFWLRQV3HUVRQVILOOLQJGHVLJQDWHGPDQDJHPHQWSRVLWLRQV

VKRXOGSHUIRUPILQDOSURFHGXUHUHYLHZDQGDSSURYDO

z &RQWUROVWRPDNHWKHDSSURYHGSUHRSHUDWLRQDODQGVWDUWXSWHVWSURFHGXUHVIRUVDWLVI\LQJ)6$5

WHVWLQJFRPPLWPHQWVDYDLODEOHWR15&LQVSHFWRUVDSSUR[LPDWHO\GD\VSULRUWRWKHLU

LQWHQGHGXVHDQGSULRUWRIXHOORDGUHVSHFWLYHO\

3DJHRI

1';;;;;;

(QFORVXUH

/LFHQVH$PHQGPHQW5HTXHVW /$5;;; $GPLQLVWUDWLYH&KDQJHVWR$OLJQ,QLWLDO7HVW

3URJUDP ,73 ZLWK5HJXODWRU\*XLGH

 &RQGXFWRI,QLWLDO7HVW3URJUDP

  

7KH,73$GPLQLVWUDWLYH0DQXDO SURFHGXUH JRYHUQVWKHLQLWLDOWHVWLQJDQGLVLVVXHGQRODWHUWKDQ

GD\VSULRUWRWKHEHJLQQLQJRIWKHFRPSRQHQWSUHRSHUDWLRQDOWHVWSKDVH7HVWLQJGXULQJDOOSKDVHVRI

WKHWHVWSURJUDPLVFRQGXFWHGXVLQJDSSURYHGWHVWSURFHGXUHVDQGRUZULWWHQZRUNLQVWUXFWLRQVIRUWKH

FRPSRQHQWWHVWSKDVH

  

 6\VWHP7XUQRYHU

T

'XULQJWKHFRQVWUXFWLRQSKDVHV\VWHPVVXEV\VWHPVDQGHTXLSPHQWDUHFRPSOHWHGDQGWXUQHGRYHU

LQDQRUGHUO\DQGZHOOFRRUGLQDWHGPDQQHU*XLGHOLQHVDUHHVWDEOLVKHGWRGHILQHWKHERXQGDU\DQG

LQWHUIDFHEHWZHHQUHODWHGV\VWHPVXEV\VWHPDQGDUHXVHGWRJHQHUDWHERXQGDU\VFRSHGRFXPHQWV

IRUH[DPSOHPDUNHGXSSLSLQJDQGLQVWUXPHQWGLDJUDPV 3 ,'V DQGHOHFWULFDOVFKHPDWLFGLDJUDPV

R DUHSURYLGHGIRUVFKHGXOLQJDQGVXEVHTXHQWGHYHORSPHQWRIFRPSRQHQWDQGV\VWHPWXUQRYHU

SDFNDJHV7KHV\VWHPWXUQRYHUSURFHVVLQFOXGHVUHTXLUHPHQWVIRUWKHIROORZLQJ

z 'RFXPHQWLQJLQVSHFWLRQVSHUIRUPHGE\WKHFRQVWUXFWLRQRUJDQL]DWLRQ HJKLJKOLJKWHG

AF GUDZLQJVVKRZLQJDUHDVLQVSHFWHG 

z 'RFXPHQWLQJUHVXOWVRIFRQVWUXFWLRQWHVWLQJ

z 'HWHUPLQLQJWKHFRQVWUXFWLRQUHODWHGLQVSHFWLRQVDQGWHVWVLQFOXGLQJFRPSRQHQWWHVWLQJWKDW

QHHGWREHFRPSOHWHGEHIRUHFRPSRQHQWSUHRSHUDWLRQDOWHVWLQJEHJLQV

z (YDOXDWLQJDQ\RSHQLWHPVIRUDFFHSWDELOLW\EHIRUHFRPPHQFLQJFRPSRQHQWSUHRSHUDWLRQDORU

VWDUWXSWHVWLQJ

z 'HYHORSLQJDQGLPSOHPHQWLQJSODQVIRUFRUUHFWLQJDGYHUVHFRQGLWLRQVDQGRSHQLWHPVDQG

PHDQVIRUWUDFNLQJVXFKFRQGLWLRQVDQGLWHPV

D z 9HULI\LQJFRPSOHWHQHVVRIFRQVWUXFWLRQDQGGRFXPHQWDWLRQRILQFRPSOHWHLWHPV

  

5HYLVH8)6$56HFWLRQ&RPELQHG/LFHQVH$SSOLFDQW5HVSRQVLELOLWLHVDV

VKRZQEHORZ

  

7HVW6SHFLILFDWLRQVDQG3URFHGXUHV

3UHRSHUDWLRQDODQGVWDUWXSWHVWVSHFLILFDWLRQVDQGSURFHGXUHVDUHDYDLODEOHWRWKH15&LQ

DFFRUGDQFHZLWKWKHUHTXLUHPHQWVRI6XEVHFWLRQ7KHFRQWUROVIRUGHYHORSPHQWRIWHVW

VSHFLILFDWLRQVDQGSURFHGXUHVDUHDOVRGHVFULEHGLQ6XEVHFWLRQ

  

3DJHRI