ML21237A237: Difference between revisions

From kanterella
Jump to navigation Jump to search
(StriderTol Bot change)
(StriderTol Bot change)
 
(2 intermediate revisions by the same user not shown)
Line 15: Line 15:
| page count = 9
| page count = 9
| project = EPID:L-2021-LLA-0153
| project = EPID:L-2021-LLA-0153
| stage = Other
| stage = Approval
}}
}}


=Text=
=Text=
{{#Wiki_filter:}}
{{#Wiki_filter:
 
$77$&+0(1772/,&(16($0(1'0(1712  

72)$&,/,7<&20%,1('/,&(16(12 13) 

'2&.(712  



5HSODFHWKHIROORZLQJSDJHVRIWKH)DFLOLW\\&RPELQHG/LFHQVH1R 13) ZLWKWKHDWWDFKHG
UHYLVHGSDJHV 7KHUHYLVHGSDJHVDUHLGHQWLILHGE\\DPHQGPHQWQXPEHUDQGFRQWDLQPDUJLQDO
OLQHVLQGLFDWLQJWKHDUHDVRIFKDQJH 

 )DFLOLW\\&RPELQHG/LFHQVH1R 13) 
5(029(,16(57
  

 $SSHQGL[&WR)DFLOLW\\&RPELQHG/LFHQVH1R 13) 
5(029(,16(57
 
 &  & 
 &  & 
 
 &  & 
 
  & D
 &  & 
 
 &  & 
 
 &  & 



 


 
5HSRUWLQJ5HTXLUHPHQWV

D  :LWKLQ GD\\VRIDFKDQJHWRWKHLQLWLDOWHVWSURJUDPGHVFULEHGLQ
8)6$56HFWLRQ ,QLWLDO7HVW3URJUDP PDGHLQDFFRUGDQFHZLWK
&)5 RULQDFFRUGDQFHZLWK &)53DUW $SSHQGL[' 
6HFWLRQ9,,, &#xb3;3URFHVVHVIRU&KDQJHVDQG'HSDUWXUHV '61&VKDOO
UHSRUWWKHFKDQJHWRWKH'LUHFWRURI152 RUWKH'LUHFWRU&#xb6;V
GHVLJQHH LQDFFRUGDQFHZLWK &)5 G 

E  61&VKDOOUHSRUWDQ\\YLRODWLRQRIDUHTXLUHPHQWLQ6HFWLRQ ' 
6HFWLRQ ' 6HFWLRQ ' DQG6HFWLRQ ' RIWKLVOLFHQVH
ZLWKLQ KRXUV ,QLWLDOQRWLILFDWLRQVKDOOEHPDGHWRWKH15&
2SHUDWLRQV&HQWHULQDFFRUGDQFHZLWK &)5 ZLWKZULWWHQ
IROORZXSLQDFFRUGDQFHZLWK &)5 

,QFRUSRUDWLRQ

7KH7HFKQLFDO6SHFLILFDWLRQV (QYLURQPHQWDO3URWHFWLRQ3ODQ DQG,7$$& 
LQ$SSHQGLFHV$ % DQG& UHVSHFWLYHO\\RIWKLVOLFHQVH DVUHYLVHG
WKURXJK$PHQGPHQW1R  DUHKHUHE\\LQFRUSRUDWHGLQWRWKLVOLFHQVH 

7HFKQLFDO6SHFLILFDWLRQV

 
7KHWHFKQLFDOVSHFLILFDWLRQVLQ$SSHQGL[$WRWKLVOLFHQVHEHFRPH 
HIIHFWLYHXSRQD&RPPLVVLRQILQGLQJWKDWWKHDFFHSWDQFHFULWHULDLQWKLV
OLFHQVH ,7$$& DUHPHWLQDFFRUGDQFHZLWK &)5 J 

 2SHUDWLRQDO3URJUDP,PSOHPHQWDWLRQ

61&VKDOOLPSOHPHQWWKHSURJUDPVRUSRUWLRQVRISURJUDPVLGHQWLILHG
EHORZ RQRUEHIRUHWKHGDWH61&DFKLHYHVWKHIROORZLQJPLOHVWRQHV 

D  (QYLURQPHQWDO4XDOLILFDWLRQ3URJUDPLPSOHPHQWHGEHIRUHLQLWLDO
IXHOORDG 

E  5HDFWRU9HVVHO0DWHULDO6XUYHLOODQFH3URJUDPLPSOHPHQWHG
EHIRUHLQLWLDOFULWLFDOLW\\ 

F  3UHVHUYLFH7HVWLQJ3URJUDPLPSOHPHQWHGEHIRUHLQLWLDOIXHOORDG 

G  &RQWDLQPHQW/HDNDJH5DWH7HVWLQJ3URJUDPLPSOHPHQWHGEHIRUH
LQLWLDOIXHOORDG 

H  )LUH3URWHFWLRQ3URJUDP

 7KHILUHSURWHFWLRQPHDVXUHVLQDFFRUGDQFHZLWK
5HJXODWRU\\*XLGH 5*  IRUGHVLJQDWHGVWRUDJH
EXLOGLQJDUHDV LQFOXGLQJDGMDFHQWILUHDUHDVWKDWFRXOG
DIIHFWWKHVWRUDJHDUHD LPSOHPHQWHGEHIRUHLQLWLDOUHFHLSW

 $PHQGPHQW1R  


 
7DEOH 
,QVSHFWLRQV 7HVWV $QDO\\VHV DQG$FFHSWDQFH&ULWHULD
1R ,7$$&1R  'HVLJQ&RPPLWPHQW ,QVSHFWLRQV 7HVWV $QDO\\VHV $FFHSWDQFH&ULWHULD
  1RWXVHGSHU$PHQGPHQW1R   
 
 D D 7KHUHDFWRUXSSHULQWHUQDOVURGJXLGH,QVSHFWLRQRIWKHDV EXLOW7KHDV EXLOW5;6ZLOO
DUUDQJHPHQWLVDVVKRZQLQ)LJXUH  V\\VWHPZLOOEHSHUIRUPHG  DFFRPPRGDWHWKHIXHO
DVVHPEO\\DQGFRQWUROURG
GULYHPHFKDQLVPSDWWHUQ
VKRZQLQ)LJXUH 
  E 7KHFRQWURODVVHPEOLHV URGFOXVWHU,QVSHFWLRQRIWKHDV EXLOW7KHDV EXLOW5;6ZLOO
DQGJUD\\URG DQGGULYHURGDUUDQJHPHQWLVV\\VWHPZLOOEHSHUIRUPHG  DFFRPPRGDWHWKHFRQWURO
DVVKRZQLQ)LJXUH  DVVHPEOLHV URGFOXVWHUDQG
JUD\\URG DQGGULYHURG
DUUDQJHPHQWVKRZQLQ
)LJXUH 
 E 1RWXVHGSHU$PHQGPHQW1R   
 F F 7KHUHDFWRUYHVVHODUUDQJHPHQWLVDV,QVSHFWLRQRIWKHDV EXLOW7KHDV EXLOW5;6ZLOO
VKRZQLQ)LJXUH  V\\VWHPZLOOEHSHUIRUPHG  DFFRPPRGDWHWKHUHDFWRU
YHVVHODUUDQJHPHQWVKRZQ
LQ)LJXUH 
  7KHFRPSRQHQWVLGHQWLILHGLQ7DEOH,QVSHFWLRQZLOOEHFRQGXFWHG7KH$60(&RGH6HFWLRQ,,,
DV$60(&RGH6HFWLRQ,,,DUH RIWKHDV EXLOWFRPSRQHQWVDVGHVLJQUHSRUWVH[LVWIRUWKH
GHVLJQHGDQGFRQVWUXFWHGLQDFFRUGDQFHGRFXPHQWHGLQWKH$60( DV EXLOWFRPSRQHQWV
ZLWK$60(&RGH6HFWLRQ,,,UHTXLUHPHQWV  GHVLJQUHSRUWV  LGHQWLILHGLQ7DEOH DV
$60(&RGH6HFWLRQ,,, 
  3UHVVXUHERXQGDU\\ZHOGVLQFRPSRQHQWV,QVSHFWLRQRIDV EXLOWSUHVVXUH$UHSRUWH[LVWVDQG
LGHQWLILHGLQ7DEOH DV$60(&RGHERXQGDU\\ZHOGVZLOOEH FRQFOXGHVWKDWWKH$60(
6HFWLRQ,,,PHHW$60(&RGH6HFWLRQ,,,SHUIRUPHGLQDFFRUGDQFHZLWK&RGH6HFWLRQ,,,
UHTXLUHPHQWV  WKH$60(&RGH6HFWLRQ,,, UHTXLUHPHQWVDUHPHWIRU
QRQ GHVWUXFWLYHH[DPLQDWLRQ
RISUHVVXUHERXQGDU\\ZHOGV 
  7KHSUHVVXUHERXQGDU\\FRPSRQHQWV 59 $K\\GURVWDWLFWHVWZLOOEH$UHSRUWH[LVWVDQG
&5'0V DQGLQFRUHLQVWUXPHQW4XLFN/RFSHUIRUPHGRQWKHFRPSRQHQWVFRQFOXGHVWKDWWKHUHVXOWVRI
DVVHPEOLHV LGHQWLILHGLQ7DEOH DVRIWKH5;6UHTXLUHGE\\WKHWKHK\\GURVWDWLFWHVWRIWKH
$60(&RGH6HFWLRQ,,,UHWDLQWKHLU $60(&RGH6HFWLRQ,,,WREHSUHVVXUHERXQGDU\\
SUHVVXUHERXQGDU\\LQWHJULW\\DWWKHLUGHVLJQK\\GURVWDWLFDOO\\WHVWHG  FRPSRQHQWV 59 &5'0V 
SUHVVXUH  DQGLQFRUHLQVWUXPHQW
4XLFN/RFDVVHPEOLHV 
FRQIRUPZLWKWKH
UHTXLUHPHQWVRIWKH$60(
&RGH6HFWLRQ,,, 
  1RWXVHGSHU$PHQGPHQW1R   
 
  1RWXVHGSHU$PHQGPHQW1R   
 
 &  $PHQGPHQW1R  


 
7DEOH 
,QVSHFWLRQV 7HVWV $QDO\\VHV DQG$FFHSWDQFH&ULWHULD
1R ,7$$&1R  'HVLJQ&RPPLWPHQW ,QVSHFWLRQV 7HVWV $QDO\\VHV $FFHSWDQFH&ULWHULD
 L 7KHVHLVPLF&DWHJRU\\,HTXLSPHQWL ,QVSHFWLRQZLOOEH L 7KHVHLVPLF&DWHJRU\\,
LGHQWLILHGLQ7DEOH FDQZLWKVWDQGSHUIRUPHGWRYHULI\\WKDWWKHHTXLSPHQWLGHQWLILHGLQ
VHLVPLFGHVLJQEDVLVORDGVZLWKRXWORVVRIVHLVPLF&DWHJRU\\,HTXLSPHQW7DEOH  H[FHSWIXHO
VDIHW\\IXQFWLRQ  LGHQWLILHGLQ7DEOH DVVHPEOLHV URGFOXVWHU
H[FHSWIXHODVVHPEOLHV URGFRQWURODVVHPEOLHV JUD\\URG
FOXVWHUFRQWURODVVHPEOLHV FOXVWHUDVVHPEOLHV DQG
JUD\\URGFOXVWHUDVVHPEOLHV LQFRUHLQVWUXPHQW4XLFN/RF
DQGLQFRUHLQVWUXPHQW DVVHPEOLHV LVORFDWHGRQWKH
4XLFN/RFDVVHPEOLHV LV 1XFOHDU,VODQG 
ORFDWHGRQWKH1XFOHDU,VODQG 
 LL 7\\SHWHVWV DQDO\\VHV RUDLL $UHSRUWH[LVWVDQG
FRPELQDWLRQRIW\\SHWHVWVDQGFRQFOXGHVWKDWWKHVHLVPLF
DQDO\\VHVRIVHLVPLF&DWHJRU\\,&DWHJRU\\,HTXLSPHQWFDQ
HTXLSPHQWZLOOEHSHUIRUPHG ZLWKVWDQGVHLVPLFGHVLJQ
EDVLVORDGVZLWKRXWORVVRI
VDIHW\\IXQFWLRQ 
 
 LLL ,QVSHFWLRQZLOOEHLLL $UHSRUWH[LVWVDQG
SHUIRUPHGIRUWKHH[LVWHQFHRIFRQFOXGHVWKDWWKH
DUHSRUWYHULI\\LQJWKDWWKHHTXLSPHQWLQFOXGLQJ
HTXLSPHQWLQFOXGLQJ DQFKRUDJHLVVHLVPLFDOO\\
DQFKRUDJHLVVHLVPLFDOO\\ ERXQGHGE\\WKHWHVWHGRU
ERXQGHGE\\WKHWHVWHGRU DQDO\\]HGFRQGLWLRQV 
DQDO\\]HGFRQGLWLRQV 7KLV
LQVSHFWLRQPXVWEHSHUIRUPHG
RQWKHDV EXLOWHTXLSPHQW
H[FHSWIRUWKHIXHODVVHPEOLHV 
URGFOXVWHUFRQWURODVVHPEOLHV 
JUD\\URGFOXVWHUDVVHPEOLHV 
DQGLQFRUHLQVWUXPHQW
4XLFN/RFDVVHPEOLHV 
 
 D 7KH&ODVV (HTXLSPHQWLGHQWLILHGLQL 7\\SHWHVWV DQDO\\VLV RUDL $UHSRUWH[LVWVDQG
7DEOH DVEHLQJTXDOLILHGIRUDKDUVKFRPELQDWLRQRIW\\SHWHVWVDQGFRQFOXGHVWKDWWKH&ODVV (
HQYLURQPHQWFDQZLWKVWDQGWKH DQDO\\VLVZLOOEHSHUIRUPHGRQHTXLSPHQWLGHQWLILHGLQ
HQYLURQPHQWDOFRQGLWLRQVWKDWZRXOGH[LVW&ODVV (HTXLSPHQWORFDWHGLQ7DEOH DVEHLQJ
EHIRUH GXULQJ DQGIROORZLQJDGHVLJQDKDUVKHQYLURQPHQW  TXDOLILHGIRUDKDUVK
EDVLVDFFLGHQWZLWKRXWORVVRIVDIHW\\ HQYLURQPHQWFDQZLWKVWDQG
IXQFWLRQIRUWKHWLPHUHTXLUHGWRSHUIRUP WKHHQYLURQPHQWDO
WKHVDIHW\\IXQFWLRQ  FRQGLWLRQVWKDWZRXOGH[LVW
EHIRUH GXULQJ DQG
IROORZLQJDGHVLJQEDVLV
DFFLGHQWZLWKRXWORVVRI
VDIHW\\IXQFWLRQIRUWKHWLPH
UHTXLUHGWRSHUIRUPWKH
VDIHW\\IXQFWLRQ 
 
 &  $PHQGPHQW1R  


 

7DEOH 
,QVSHFWLRQV 7HVWV $QDO\\VHV DQG$FFHSWDQFH&ULWHULD
1R ,7$$&1R  'HVLJQ&RPPLWPHQW ,QVSHFWLRQV 7HVWV $QDO\\VHV $FFHSWDQFH&ULWHULD
   LL ,QVSHFWLRQZLOOEHLL $UHSRUWH[LVWVDQG
SHUIRUPHGRIWKHDV EXLOW FRQFOXGHVWKDWWKHDV EXLOW
&ODVV (HTXLSPHQWDQGWKH&ODVV (HTXLSPHQWDQGWKH
DVVRFLDWHGZLULQJ FDEOHV DQGDVVRFLDWHGZLULQJ FDEOHV 
WHUPLQDWLRQVORFDWHGLQD DQGWHUPLQDWLRQVLGHQWLILHG
KDUVKHQYLURQPHQW  LQ7DEOH DVEHLQJ
TXDOLILHGIRUDKDUVK
HQYLURQPHQWDUHERXQGHGE\\
W\\SHWHVWV DQDO\\VHV RUD
FRPELQDWLRQRIW\\SHWHVWV
DQGDQDO\\VHV 
 LL1RWXVHGSHU$PHQGPHQW1R    
 
 LLL 1RWXVHGSHU$PHQGPHQW1R    
 
 L 7KHUHDFWRULQWHUQDOVZLOOZLWKVWDQGWKHL 1RW8VHGSHU$PHQGPHQWL 1RW8VHGSHU
HIIHFWVRIIORZLQGXFHGYLEUDWLRQ  1R   $PHQGPHQW1R  
   LL $SUH WHVWLQVSHFWLRQ DLL 7KHDV EXLOWUHDFWRU
IORZWHVWDQGDSRVW WHVW LQWHUQDOVKDYHQRREVHUYDEOH
LQVSHFWLRQZLOOEHFRQGXFWHGGDPDJHRUORRVHSDUWV 
RQWKHDV EXLOWUHDFWRU
LQWHUQDOV 
 7KHUHDFWRUORZHULQWHUQDOVDVVHPEO\\LV,QVSHFWLRQRIWKHUHDFWRU $WOHDVWHLJKWFDSVXOHVDUHLQ
HTXLSSHGZLWKKROGHUVIRUDWOHDVWHLJKWORZHULQWHUQDOVDVVHPEO\\IRUWKHUHDFWRUORZHULQWHUQDOV
FDSVXOHVIRUVWRULQJPDWHULDOVXUYHLOODQFHWKHSUHVHQFHRIFDSVXOHVZLOODVVHPEO\\ 
VSHFLPHQV  EHSHUIRUPHG 
 LL 1RWXVHGSHU$PHQGPHQW1R    
 
 &  $PHQGPHQW1R  


 
7DEOH 
,QVSHFWLRQV 7HVWV $QDO\\VHV DQG$FFHSWDQFH&ULWHULD
1R ,7$$&1R  'HVLJQ&RPPLWPHQW ,QVSHFWLRQV 7HVWV $QDO\\VHV $FFHSWDQFH&ULWHULD
  7KHUHDFWRUYHVVHOGLUHFWYHVVHOLQMHFWLRQ$QLQVSHFWLRQZLOOEH 7KHWKURDWDUHDRIWKHGLUHFW
QR))OHOLPLWVWKHEORZGRZQRIWKH5&6FRQGXFWHGWRYHULI\\WKHIORZYHVVHOLQMHFWLRQOLQHQR))OH
IROORZLQJWKHEUHDNRIDGLUHFWYHVVHODUHDRIWKHIORZOLPLWLQJ IORZOLPLWLQJYHQWXULLVOHVV
LQMHFWLRQOLQH  YHQWXULZLWKLQHDFKGLUHFWWKDQRUHTXDOWR LQ 
YHVVHOLQMHFWLRQQR))OH 
 D L 1RWXVHGSHU$PHQGPHQW1R    
 
 D LL 1RWXVHGSHU$PHQGPHQW1R    
 
 E E 7KH&ODVV (FRPSRQHQWVLGHQWLILHG7HVWLQJZLOOEHSHUIRUPHGE\\$VLPXODWHGWHVWVLJQDO
LQ7DEOH DUHSRZHUHGIURPWKHLUSURYLGLQJVLPXODWHGWHVW H[LVWVIRU&ODVV (
UHVSHFWLYH&ODVV (GLYLVLRQ  VLJQDOVLQHDFK&ODVV ( HTXLSPHQWLGHQWLILHGLQ
GLYLVLRQ  7DEOH ZKHQWKH
DVVLJQHG&ODVV (GLYLVLRQ
LVSURYLGHGWKHWHVWVLJQDO 
 F 1RWXVHGSHU$PHQGPHQW1R    
 
  1RWXVHGSHU$PHQGPHQW1R    
 
  7KH539EHOWOLQHPDWHULDOKDVD 0DQXIDFWXULQJWHVWVRIWKH$UHSRUWH[LVWVDQG
&KDUS\\XSSHU VKHOIHQHUJ\\RIQROHVVWKDQ&KDUS\\9 1RWFKVSHFLPHQRIFRQFOXGHVWKDWWKHLQLWLDO
IW OE  WKH539EHOWOLQHPDWHULDOZLOO539EHOWOLQH&KDUS\\XSSHU EHSHUIRUPHG  VKHOIHQHUJ\\LVQROHVVWKDQ
IW OE 
 
 & D $PHQGPHQW1R  


 
7DEOH 
,QVSHFWLRQV 7HVWV $QDO\\VHV DQG$FFHSWDQFH&ULWHULD
1R ,7$$&1R  'HVLJQ&RPPLWPHQW ,QVSHFWLRQV 7HVWV $QDO\\VHV $FFHSWDQFH&ULWHULD
 H H 7KHVHQVRUVLGHQWLILHGRQ7DEOH,QVSHFWLRQRIWKHDV EXLOWV\\VWHP7KHVHQVRUVLGHQWLILHGRQ
DUHXVHGIRU'$6LQSXWDQGDUHZLOOEHSHUIRUPHGH[FHSWIRUWKH7DEOH DUHXVHGE\\
VHSDUDWHIURPWKRVHEHLQJXVHGE\\WKHFRUHH[LWWHPSHUDWXUHVHQVRU'$6DQGDUHVHSDUDWHIURP
306DQGSODQWFRQWUROV\\VWHP  LQVWDOODWLRQ  WKRVHEHLQJXVHGE\\WKH306
DQGSODQWFRQWUROV\\VWHP 
 I 1RWXVHGSHU$PHQGPHQW1R    
 
 J 1RWXVHGSHU$PHQGPHQW1R    
 
 K K 7KH'$6HTXLSPHQWFDQZLWKVWDQG7\\SHWHVWV DQDO\\VHV RUD$UHSRUWH[LVWVDQGFRQFOXGHV
WKHURRPDPELHQWWHPSHUDWXUHDQG FRPELQDWLRQRIW\\SHWHVWVDQGWKDWWKH'$6HTXLSPHQWFDQ
KXPLGLW\\FRQGLWLRQVWKDWZLOOH[LVWDWDQDO\\VHVZLOOEHSHUIRUPHGRQZLWKVWDQGWKHURRPDPELHQW
WKHSODQWORFDWLRQVLQZKLFKWKH'$6WKHHTXLSPHQW  WHPSHUDWXUHDQGKXPLGLW\\
HTXLSPHQWLVLQVWDOOHGDWWKHWLPHVIRU FRQGLWLRQVWKDWZLOOH[LVWDWWKH
ZKLFKWKH'$6LVGHVLJQHGWREH SODQWORFDWLRQVLQZKLFKWKH
RSHUDWLRQDO  '$6HTXLSPHQWLVLQVWDOOHGDW
WKHWLPHVIRUZKLFKWKH'$6LV
GHVLJQHGWREHRSHUDWLRQDO 
  7KH'$6KDUGZDUHDQGDQ\\VRIWZDUH,QVSHFWLRQZLOOEHSHUIRUPHGRI$UHSRUWH[LVWVDQGFRQFOXGHV
DUHGHYHORSHGXVLQJDSODQQHGGHVLJQWKHSURFHVVXVHGWRGHVLJQWKHWKDWWKHSURFHVVGHILQHVWKH
SURFHVVZKLFKSURYLGHVIRUVSHFLILFKDUGZDUHDQGDQ\\VRIWZDUH  RUJDQL]DWLRQDOUHVSRQVLELOLWLHV 
GHVLJQGRFXPHQWDWLRQDQGUHYLHZV DFWLYLWLHV DQGFRQILJXUDWLRQ
GXULQJWKHIROORZLQJOLIHF\\FOHVWDJHV  PDQDJHPHQWFRQWUROVIRUWKH
D 'HYHORSPHQWSKDVHIRUKDUGZDUHDQG IROORZLQJ 
DQ\\VRIWZDUH D 'RFXPHQWDWLRQDQGUHYLHZ
E 6\\VWHPWHVWSKDVH RIKDUGZDUHDQGDQ\\VRIWZDUH 
F ,QVWDOODWLRQSKDVH E 3HUIRUPDQFHRIWHVWVDQG
7KHSODQQHGGHVLJQSURFHVVDOVR WKHGRFXPHQWDWLRQRIWHVW
SURYLGHVIRUWKHXVHRIFRPPHUFLDORII UHVXOWVGXULQJWKHV\\VWHPWHVW
WKH VKHOIKDUGZDUHDQGVRIWZDUH  SKDVH 
F 3HUIRUPDQFHRIWHVWVDQG
LQVSHFWLRQVGXULQJWKH
LQVWDOODWLRQSKDVH 
7KHSURFHVVDOVRGHILQHV
UHTXLUHPHQWVIRUWKHXVHRI
FRPPHUFLDORII WKH VKHOI
KDUGZDUHDQGVRIWZDUH 
 
 &  $PHQGPHQW1R  


 
E  7KH&ODVV (FDEOHVEHWZHHQWKH&RUH([LW7HPSHUDWXUHVHQVRUVDQGWKHFRQQHFWRU
SODWHVKDYHVKHDWKV 
F  )RUFDEOHVRWKHUWKDQWKRVHFRYHUHGE\\ E VHSDUDWLRQLVSURYLGHGEHWZHHQ,,6&ODVV (
GLYLVLRQV DQGEHWZHHQ&ODVV (GLYLVLRQVDQGQRQ &ODVV (FDEOH 
 6DIHW\\ UHODWHGGLVSOD\\VRIWKHSDUDPHWHUVLGHQWLILHGLQ7DEOH FDQEHUHWULHYHGLQWKH
PDLQFRQWUROURRP 0&5 

 
7DEOH 
 
6HLVPLF $60(&RGH 4XDO IRU 6DIHW\\ 5HODWHG
(TXLSPHQW1DPH  &DW , &ODVVLILFDWLRQ &ODVV ( +DUVK(QYLU  'LVSOD\\
 
,QFRUH7KLPEOH <H V  +/- <H V  <H V  &RUH([LW
$VVHPEOLHV DWOHDVW 7HPSHUDWXUH 
WKUHHDVVHPEOLHVLQHDFK
FRUHTXDGUDQW 
 
1RWH 'DVK LQGLFDWHVQRWDSSOLFDEOH 
 2QO\\DSSOLHVWRWKHVDIHW\\ UHODWHGDVVHPEOLHV 7KHUHDUHDWOHDVWWZRVDIHW\\ UHODWHGDVVHPEOLHVLQHDFKFRUH
TXDGUDQW 

 
7DEOH 
,QVSHFWLRQV 7HVWV $QDO\\VHV DQG$FFHSWDQFH&ULWHULD
 
1R ,7$$&1R  'HVLJQ&RPPLWPHQW ,QVSHFWLRQV 7HVWV $QDO\\VHV $FFHSWDQFH&ULWHULD
  1RWXVHGSHU$PHQGPHQW1R   
 
 L 7KHVHLVPLF&DWHJRU\\,HTXLSPHQW L 1RWXVHGSHU$PHQGPHQW L 1RWXVHGSHU$PHQGPHQW
LGHQWLILHGLQ7DEOH FDQZLWKVWDQG1R   1R  
VHLVPLFGHVLJQEDVLVG\\QDPLFORDGV
ZLWKRXWORVVRIVDIHW\\IXQFWLRQ 
   LL 7\\SHWHVWV DQDO\\VHV RUDLL $UHSRUWH[LVWVDQG
FRPELQDWLRQRIW\\SHWHVWVDQGFRQFOXGHVWKDWWKHVHLVPLF
DQDO\\VHVRIVHLVPLF&DWHJRU\\,&DWHJRU\\,HTXLSPHQWFDQ
HTXLSPHQWZLOOEHSHUIRUPHG ZLWKVWDQGVHLVPLFGHVLJQEDVLV
G\\QDPLFORDGVZLWKRXWORVVRI
VDIHW\\IXQFWLRQ 
 
 &  $PHQGPHQW1R  


 
7DEOH 
,QVSHFWLRQV 7HVWV $QDO\\VHV DQG$FFHSWDQFH&ULWHULD
1R ,7$$&1R  'HVLJQ&RPPLWPHQW ,QVSHFWLRQV 7HVWV $QDO\\VHV $FFHSWDQFH&ULWHULD
 LLL ,QVSHFWLRQZLOOEHSHUIRUPHGLLL $UHSRUWH[LVWVDQG
IRUWKHH[LVWHQFHRIDUHSRUWFRQFOXGHVWKDWWKHHTXLSPHQW
YHULI\\LQJWKDWWKHHTXLSPHQWLQFOXGLQJDQFKRUDJHLV
LQFOXGLQJDQFKRUDJHLV VHLVPLFDOO\\ERXQGHGE\\WKH
VHLVPLFDOO\\ERXQGHGE\\WKH WHVWHGRUDQDO\\]HGFRQGLWLRQV 
WHVWHGRUDQDO\\]HGFRQGLWLRQV 
  D 7KH&ODVV (HTXLSPHQWLGHQWLILHGL 7\\SHWHVWV DQDO\\VLV RUDL $UHSRUWH[LVWVDQG
LQ7DEOH DVEHLQJTXDOLILHGIRUDFRPELQDWLRQRIW\\SHWHVWVDQGFRQFOXGHVWKDWWKH&ODVV (
KDUVKHQYLURQPHQWFDQZLWKVWDQGWKHDQDO\\VLVZLOOEHSHUIRUPHGRQHTXLSPHQWLGHQWLILHGLQ7DEOH
HQYLURQPHQWDOFRQGLWLRQVWKDWZRXOG&ODVV (HTXLSPHQWORFDWHGLQD DVEHLQJTXDOLILHGIRUD
H[LVWEHIRUH GXULQJ DQGIROORZLQJDKDUVKHQYLURQPHQW  KDUVKHQYLURQPHQW 7KLV
GHVLJQEDVLVDFFLGHQWZLWKRXWORVVRI HTXLSPHQWFDQZLWKVWDQGWKH
VDIHW\\IXQFWLRQ IRUWKHWLPHUHTXLUHGWR HQYLURQPHQWDOFRQGLWLRQVWKDW
SHUIRUPWKHVDIHW\\IXQFWLRQ  ZRXOGH[LVWEHIRUH GXULQJ 
DQGIROORZLQJDGHVLJQEDVLV
DFFLGHQWZLWKRXWORVVRIVDIHW\\
IXQFWLRQIRUWKHWLPHUHTXLUHG
WRSHUIRUPWKHVDIHW\\IXQFWLRQ 
   LL ,QVSHFWLRQZLOOEHSHUIRUPHGLL $UHSRUWH[LVWVDQG
RIWKH&ODVV (HTXLSPHQWDQGFRQFOXGHVWKDWWKH&ODVV (
WKHDVVRFLDWHGZLULQJ FDEOHV HTXLSPHQWDQGWKHDVVRFLDWHG
DQGWHUPLQDWLRQVORFDWHGLQDZLULQJ FDEOHV DQG
KDUVKHQYLURQPHQW  WHUPLQDWLRQVLGHQWLILHGLQ
7DEOH DVEHLQJ
TXDOLILHGIRUDKDUVK
HQYLURQPHQWDUHERXQGHGE\\
W\\SHWHVWV DQDO\\VHV RUD
FRPELQDWLRQRIW\\SHWHVWVDQG
DQDO\\VHV 
 LL 1RWXVHGSHU$PHQGPHQW1R    
 
 LLL 1RWXVHGSHU$PHQGPHQW1R    
 
 D L 1RWXVHGSHU$PHQGPHQW1R    
 
 D LL 1RWXVHGSHU$PHQGPHQW1R   
 
 E E 7KH&ODVV (FDEOHVEHWZHHQWKH,QVSHFWLRQRIWKH&ODVV (FDEOHV7KH&ODVV (FDEOHVEHWZHHQ
&RUH([LW7HPSHUDWXUHVHQVRUVDQGWKHZLOOEHSHUIRUPHG  WKH&RUH([LW7HPSHUDWXUH
FRQQHFWRUSODWHVKDYHVKHDWKV  VHQVRUVDQGWKHFRQQHFWRU
SODWHVKDYHVKHDWKV 
 
 &  $PHQGPHQW1R  
}}

Latest revision as of 23:40, 19 November 2024

Attachment Unit 4 - Vogtle Electric Generating Plant LAR-21-001: Clarification of ITAAC Regarding Invessel Components
ML21237A237
Person / Time
Site: Vogtle  Southern Nuclear icon.png
Issue date: 10/15/2021
From: Gleaves W
NRC/NRR/VPOB
To:
Gleaves B
Shared Package
ML21237A205 List:
References
EPID L-2021-LLA-0153, LAR-21-001
Download: ML21237A237 (9)


Text



$77$&+0(1772/,&(16($0(1'0(1712  



72)$&,/,7<&20%,1('/,&(16(12 13) 



'2&.(712  







5HSODFHWKHIROORZLQJSDJHVRIWKH)DFLOLW\\&RPELQHG/LFHQVH1R 13) ZLWKWKHDWWDFKHG

UHYLVHGSDJHV 7KHUHYLVHGSDJHVDUHLGHQWLILHGE\\DPHQGPHQWQXPEHUDQGFRQWDLQPDUJLQDO

OLQHVLQGLFDWLQJWKHDUHDVRIFKDQJH 



 )DFLOLW\\&RPELQHG/LFHQVH1R 13) 

5(029(,16(57

  



 $SSHQGL[&WR)DFLOLW\\&RPELQHG/LFHQVH1R 13) 

5(029(,16(57

 &  & 

 &  & 

 &  & 

  & D

 &  & 

 &  & 

 &  & 











5HSRUWLQJ5HTXLUHPHQWV



D  :LWKLQ GD\\VRIDFKDQJHWRWKHLQLWLDOWHVWSURJUDPGHVFULEHGLQ

8)6$56HFWLRQ ,QLWLDO7HVW3URJUDP PDGHLQDFFRUGDQFHZLWK

&)5 RULQDFFRUGDQFHZLWK &)53DUW $SSHQGL[' 

6HFWLRQ9,,, ³3URFHVVHVIRU&KDQJHVDQG'HSDUWXUHV '61&VKDOO

UHSRUWWKHFKDQJHWRWKH'LUHFWRURI152 RUWKH'LUHFWRU¶V

GHVLJQHH LQDFFRUGDQFHZLWK &)5 G 



E  61&VKDOOUHSRUWDQ\\YLRODWLRQRIDUHTXLUHPHQWLQ6HFWLRQ ' 

6HFWLRQ ' 6HFWLRQ ' DQG6HFWLRQ ' RIWKLVOLFHQVH

ZLWKLQ KRXUV ,QLWLDOQRWLILFDWLRQVKDOOEHPDGHWRWKH15&

2SHUDWLRQV&HQWHULQDFFRUGDQFHZLWK &)5 ZLWKZULWWHQ

IROORZXSLQDFFRUGDQFHZLWK &)5 



,QFRUSRUDWLRQ



7KH7HFKQLFDO6SHFLILFDWLRQV (QYLURQPHQWDO3URWHFWLRQ3ODQ DQG,7$$& 

LQ$SSHQGLFHV$ % DQG& UHVSHFWLYHO\\RIWKLVOLFHQVH DVUHYLVHG

WKURXJK$PHQGPHQW1R  DUHKHUHE\\LQFRUSRUDWHGLQWRWKLVOLFHQVH 



7HFKQLFDO6SHFLILFDWLRQV



7KHWHFKQLFDOVSHFLILFDWLRQVLQ$SSHQGL[$WRWKLVOLFHQVHEHFRPH 

HIIHFWLYHXSRQD&RPPLVVLRQILQGLQJWKDWWKHDFFHSWDQFHFULWHULDLQWKLV

OLFHQVH ,7$$& DUHPHWLQDFFRUGDQFHZLWK &)5 J 



 2SHUDWLRQDO3URJUDP,PSOHPHQWDWLRQ



61&VKDOOLPSOHPHQWWKHSURJUDPVRUSRUWLRQVRISURJUDPVLGHQWLILHG

EHORZ RQRUEHIRUHWKHGDWH61&DFKLHYHVWKHIROORZLQJPLOHVWRQHV 



D  (QYLURQPHQWDO4XDOLILFDWLRQ3URJUDPLPSOHPHQWHGEHIRUHLQLWLDO

IXHOORDG 



E  5HDFWRU9HVVHO0DWHULDO6XUYHLOODQFH3URJUDPLPSOHPHQWHG

EHIRUHLQLWLDOFULWLFDOLW\\ 



F  3UHVHUYLFH7HVWLQJ3URJUDPLPSOHPHQWHGEHIRUHLQLWLDOIXHOORDG 



G  &RQWDLQPHQW/HDNDJH5DWH7HVWLQJ3URJUDPLPSOHPHQWHGEHIRUH

LQLWLDOIXHOORDG 



H  )LUH3URWHFWLRQ3URJUDP



 7KHILUHSURWHFWLRQPHDVXUHVLQDFFRUGDQFHZLWK

5HJXODWRU\\*XLGH 5*  IRUGHVLJQDWHGVWRUDJH

EXLOGLQJDUHDV LQFOXGLQJDGMDFHQWILUHDUHDVWKDWFRXOG

DIIHFWWKHVWRUDJHDUHD LPSOHPHQWHGEHIRUHLQLWLDOUHFHLSW



 $PHQGPHQW1R  





7DEOH 

,QVSHFWLRQV 7HVWV $QDO\\VHV DQG$FFHSWDQFH&ULWHULD

1R ,7$$&1R  'HVLJQ&RPPLWPHQW ,QVSHFWLRQV 7HVWV $QDO\\VHV $FFHSWDQFH&ULWHULD

  1RWXVHGSHU$PHQGPHQW1R   

 D D 7KHUHDFWRUXSSHULQWHUQDOVURGJXLGH,QVSHFWLRQRIWKHDV EXLOW7KHDV EXLOW5;6ZLOO

DUUDQJHPHQWLVDVVKRZQLQ)LJXUH  V\\VWHPZLOOEHSHUIRUPHG  DFFRPPRGDWHWKHIXHO

DVVHPEO\\DQGFRQWUROURG

GULYHPHFKDQLVPSDWWHUQ

VKRZQLQ)LJXUH 

  E 7KHFRQWURODVVHPEOLHV URGFOXVWHU,QVSHFWLRQRIWKHDV EXLOW7KHDV EXLOW5;6ZLOO

DQGJUD\\URG DQGGULYHURGDUUDQJHPHQWLVV\\VWHPZLOOEHSHUIRUPHG  DFFRPPRGDWHWKHFRQWURO

DVVKRZQLQ)LJXUH  DVVHPEOLHV URGFOXVWHUDQG

JUD\\URG DQGGULYHURG

DUUDQJHPHQWVKRZQLQ

)LJXUH 

 E 1RWXVHGSHU$PHQGPHQW1R   

 F F 7KHUHDFWRUYHVVHODUUDQJHPHQWLVDV,QVSHFWLRQRIWKHDV EXLOW7KHDV EXLOW5;6ZLOO

VKRZQLQ)LJXUH  V\\VWHPZLOOEHSHUIRUPHG  DFFRPPRGDWHWKHUHDFWRU

YHVVHODUUDQJHPHQWVKRZQ

LQ)LJXUH 

  7KHFRPSRQHQWVLGHQWLILHGLQ7DEOH,QVSHFWLRQZLOOEHFRQGXFWHG7KH$60(&RGH6HFWLRQ,,,

DV$60(&RGH6HFWLRQ,,,DUH RIWKHDV EXLOWFRPSRQHQWVDVGHVLJQUHSRUWVH[LVWIRUWKH

GHVLJQHGDQGFRQVWUXFWHGLQDFFRUGDQFHGRFXPHQWHGLQWKH$60( DV EXLOWFRPSRQHQWV

ZLWK$60(&RGH6HFWLRQ,,,UHTXLUHPHQWV  GHVLJQUHSRUWV  LGHQWLILHGLQ7DEOH DV

$60(&RGH6HFWLRQ,,, 

  3UHVVXUHERXQGDU\\ZHOGVLQFRPSRQHQWV,QVSHFWLRQRIDV EXLOWSUHVVXUH$UHSRUWH[LVWVDQG

LGHQWLILHGLQ7DEOH DV$60(&RGHERXQGDU\\ZHOGVZLOOEH FRQFOXGHVWKDWWKH$60(

6HFWLRQ,,,PHHW$60(&RGH6HFWLRQ,,,SHUIRUPHGLQDFFRUGDQFHZLWK&RGH6HFWLRQ,,,

UHTXLUHPHQWV  WKH$60(&RGH6HFWLRQ,,, UHTXLUHPHQWVDUHPHWIRU

QRQ GHVWUXFWLYHH[DPLQDWLRQ

RISUHVVXUHERXQGDU\\ZHOGV 

  7KHSUHVVXUHERXQGDU\\FRPSRQHQWV 59 $K\\GURVWDWLFWHVWZLOOEH$UHSRUWH[LVWVDQG

&5'0V DQGLQFRUHLQVWUXPHQW4XLFN/RFSHUIRUPHGRQWKHFRPSRQHQWVFRQFOXGHVWKDWWKHUHVXOWVRI

DVVHPEOLHV LGHQWLILHGLQ7DEOH DVRIWKH5;6UHTXLUHGE\\WKHWKHK\\GURVWDWLFWHVWRIWKH

$60(&RGH6HFWLRQ,,,UHWDLQWKHLU $60(&RGH6HFWLRQ,,,WREHSUHVVXUHERXQGDU\\

SUHVVXUHERXQGDU\\LQWHJULW\\DWWKHLUGHVLJQK\\GURVWDWLFDOO\\WHVWHG  FRPSRQHQWV 59 &5'0V 

SUHVVXUH  DQGLQFRUHLQVWUXPHQW

4XLFN/RFDVVHPEOLHV 

FRQIRUPZLWKWKH

UHTXLUHPHQWVRIWKH$60(

&RGH6HFWLRQ,,, 

  1RWXVHGSHU$PHQGPHQW1R   

  1RWXVHGSHU$PHQGPHQW1R   

 &  $PHQGPHQW1R  





7DEOH 

,QVSHFWLRQV 7HVWV $QDO\\VHV DQG$FFHSWDQFH&ULWHULD

1R ,7$$&1R  'HVLJQ&RPPLWPHQW ,QVSHFWLRQV 7HVWV $QDO\\VHV $FFHSWDQFH&ULWHULD

 L 7KHVHLVPLF&DWHJRU\\,HTXLSPHQWL ,QVSHFWLRQZLOOEH L 7KHVHLVPLF&DWHJRU\\,

LGHQWLILHGLQ7DEOH FDQZLWKVWDQGSHUIRUPHGWRYHULI\\WKDWWKHHTXLSPHQWLGHQWLILHGLQ

VHLVPLFGHVLJQEDVLVORDGVZLWKRXWORVVRIVHLVPLF&DWHJRU\\,HTXLSPHQW7DEOH  H[FHSWIXHO

VDIHW\\IXQFWLRQ  LGHQWLILHGLQ7DEOH DVVHPEOLHV URGFOXVWHU

H[FHSWIXHODVVHPEOLHV URGFRQWURODVVHPEOLHV JUD\\URG

FOXVWHUFRQWURODVVHPEOLHV FOXVWHUDVVHPEOLHV DQG

JUD\\URGFOXVWHUDVVHPEOLHV LQFRUHLQVWUXPHQW4XLFN/RF

DQGLQFRUHLQVWUXPHQW DVVHPEOLHV LVORFDWHGRQWKH

4XLFN/RFDVVHPEOLHV LV 1XFOHDU,VODQG 

ORFDWHGRQWKH1XFOHDU,VODQG 

 LL 7\\SHWHVWV DQDO\\VHV RUDLL $UHSRUWH[LVWVDQG

FRPELQDWLRQRIW\\SHWHVWVDQGFRQFOXGHVWKDWWKHVHLVPLF

DQDO\\VHVRIVHLVPLF&DWHJRU\\,&DWHJRU\\,HTXLSPHQWFDQ

HTXLSPHQWZLOOEHSHUIRUPHG ZLWKVWDQGVHLVPLFGHVLJQ

EDVLVORDGVZLWKRXWORVVRI

VDIHW\\IXQFWLRQ 

 LLL ,QVSHFWLRQZLOOEHLLL $UHSRUWH[LVWVDQG

SHUIRUPHGIRUWKHH[LVWHQFHRIFRQFOXGHVWKDWWKH

DUHSRUWYHULI\\LQJWKDWWKHHTXLSPHQWLQFOXGLQJ

HTXLSPHQWLQFOXGLQJ DQFKRUDJHLVVHLVPLFDOO\\

DQFKRUDJHLVVHLVPLFDOO\\ ERXQGHGE\\WKHWHVWHGRU

ERXQGHGE\\WKHWHVWHGRU DQDO\\]HGFRQGLWLRQV 

DQDO\\]HGFRQGLWLRQV 7KLV

LQVSHFWLRQPXVWEHSHUIRUPHG

RQWKHDV EXLOWHTXLSPHQW

H[FHSWIRUWKHIXHODVVHPEOLHV 

URGFOXVWHUFRQWURODVVHPEOLHV 

JUD\\URGFOXVWHUDVVHPEOLHV 

DQGLQFRUHLQVWUXPHQW

4XLFN/RFDVVHPEOLHV 

 D 7KH&ODVV (HTXLSPHQWLGHQWLILHGLQL 7\\SHWHVWV DQDO\\VLV RUDL $UHSRUWH[LVWVDQG

7DEOH DVEHLQJTXDOLILHGIRUDKDUVKFRPELQDWLRQRIW\\SHWHVWVDQGFRQFOXGHVWKDWWKH&ODVV (

HQYLURQPHQWFDQZLWKVWDQGWKH DQDO\\VLVZLOOEHSHUIRUPHGRQHTXLSPHQWLGHQWLILHGLQ

HQYLURQPHQWDOFRQGLWLRQVWKDWZRXOGH[LVW&ODVV (HTXLSPHQWORFDWHGLQ7DEOH DVEHLQJ

EHIRUH GXULQJ DQGIROORZLQJDGHVLJQDKDUVKHQYLURQPHQW  TXDOLILHGIRUDKDUVK

EDVLVDFFLGHQWZLWKRXWORVVRIVDIHW\\ HQYLURQPHQWFDQZLWKVWDQG

IXQFWLRQIRUWKHWLPHUHTXLUHGWRSHUIRUP WKHHQYLURQPHQWDO

WKHVDIHW\\IXQFWLRQ  FRQGLWLRQVWKDWZRXOGH[LVW

EHIRUH GXULQJ DQG

IROORZLQJDGHVLJQEDVLV

DFFLGHQWZLWKRXWORVVRI

VDIHW\\IXQFWLRQIRUWKHWLPH

UHTXLUHGWRSHUIRUPWKH

VDIHW\\IXQFWLRQ 

 &  $PHQGPHQW1R  







7DEOH 

,QVSHFWLRQV 7HVWV $QDO\\VHV DQG$FFHSWDQFH&ULWHULD

1R ,7$$&1R  'HVLJQ&RPPLWPHQW ,QVSHFWLRQV 7HVWV $QDO\\VHV $FFHSWDQFH&ULWHULD

   LL ,QVSHFWLRQZLOOEHLL $UHSRUWH[LVWVDQG

SHUIRUPHGRIWKHDV EXLOW FRQFOXGHVWKDWWKHDV EXLOW

&ODVV (HTXLSPHQWDQGWKH&ODVV (HTXLSPHQWDQGWKH

DVVRFLDWHGZLULQJ FDEOHV DQGDVVRFLDWHGZLULQJ FDEOHV 

WHUPLQDWLRQVORFDWHGLQD DQGWHUPLQDWLRQVLGHQWLILHG

KDUVKHQYLURQPHQW  LQ7DEOH DVEHLQJ

TXDOLILHGIRUDKDUVK

HQYLURQPHQWDUHERXQGHGE\\

W\\SHWHVWV DQDO\\VHV RUD

FRPELQDWLRQRIW\\SHWHVWV

DQGDQDO\\VHV 

 LL1RWXVHGSHU$PHQGPHQW1R    

 LLL 1RWXVHGSHU$PHQGPHQW1R    

 L 7KHUHDFWRULQWHUQDOVZLOOZLWKVWDQGWKHL 1RW8VHGSHU$PHQGPHQWL 1RW8VHGSHU

HIIHFWVRIIORZLQGXFHGYLEUDWLRQ  1R   $PHQGPHQW1R  

   LL $SUH WHVWLQVSHFWLRQ DLL 7KHDV EXLOWUHDFWRU

IORZWHVWDQGDSRVW WHVW LQWHUQDOVKDYHQRREVHUYDEOH

LQVSHFWLRQZLOOEHFRQGXFWHGGDPDJHRUORRVHSDUWV 

RQWKHDV EXLOWUHDFWRU

LQWHUQDOV 

 7KHUHDFWRUORZHULQWHUQDOVDVVHPEO\\LV,QVSHFWLRQRIWKHUHDFWRU $WOHDVWHLJKWFDSVXOHVDUHLQ

HTXLSSHGZLWKKROGHUVIRUDWOHDVWHLJKWORZHULQWHUQDOVDVVHPEO\\IRUWKHUHDFWRUORZHULQWHUQDOV

FDSVXOHVIRUVWRULQJPDWHULDOVXUYHLOODQFHWKHSUHVHQFHRIFDSVXOHVZLOODVVHPEO\\ 

VSHFLPHQV  EHSHUIRUPHG 

 LL 1RWXVHGSHU$PHQGPHQW1R    

 &  $PHQGPHQW1R  





7DEOH 

,QVSHFWLRQV 7HVWV $QDO\\VHV DQG$FFHSWDQFH&ULWHULD

1R ,7$$&1R  'HVLJQ&RPPLWPHQW ,QVSHFWLRQV 7HVWV $QDO\\VHV $FFHSWDQFH&ULWHULD

  7KHUHDFWRUYHVVHOGLUHFWYHVVHOLQMHFWLRQ$QLQVSHFWLRQZLOOEH 7KHWKURDWDUHDRIWKHGLUHFW

QR))OHOLPLWVWKHEORZGRZQRIWKH5&6FRQGXFWHGWRYHULI\\WKHIORZYHVVHOLQMHFWLRQOLQHQR))OH

IROORZLQJWKHEUHDNRIDGLUHFWYHVVHODUHDRIWKHIORZOLPLWLQJ IORZOLPLWLQJYHQWXULLVOHVV

LQMHFWLRQOLQH  YHQWXULZLWKLQHDFKGLUHFWWKDQRUHTXDOWR LQ 

YHVVHOLQMHFWLRQQR))OH 

 D L 1RWXVHGSHU$PHQGPHQW1R    

 D LL 1RWXVHGSHU$PHQGPHQW1R    

 E E 7KH&ODVV (FRPSRQHQWVLGHQWLILHG7HVWLQJZLOOEHSHUIRUPHGE\\$VLPXODWHGWHVWVLJQDO

LQ7DEOH DUHSRZHUHGIURPWKHLUSURYLGLQJVLPXODWHGWHVW H[LVWVIRU&ODVV (

UHVSHFWLYH&ODVV (GLYLVLRQ  VLJQDOVLQHDFK&ODVV ( HTXLSPHQWLGHQWLILHGLQ

GLYLVLRQ  7DEOH ZKHQWKH

DVVLJQHG&ODVV (GLYLVLRQ

LVSURYLGHGWKHWHVWVLJQDO 

 F 1RWXVHGSHU$PHQGPHQW1R    

  1RWXVHGSHU$PHQGPHQW1R    

  7KH539EHOWOLQHPDWHULDOKDVD 0DQXIDFWXULQJWHVWVRIWKH$UHSRUWH[LVWVDQG

&KDUS\\XSSHU VKHOIHQHUJ\\RIQROHVVWKDQ&KDUS\\9 1RWFKVSHFLPHQRIFRQFOXGHVWKDWWKHLQLWLDO

IW OE  WKH539EHOWOLQHPDWHULDOZLOO539EHOWOLQH&KDUS\\XSSHU EHSHUIRUPHG  VKHOIHQHUJ\\LVQROHVVWKDQ

IW OE 

 & D $PHQGPHQW1R  





7DEOH 

,QVSHFWLRQV 7HVWV $QDO\\VHV DQG$FFHSWDQFH&ULWHULD

1R ,7$$&1R  'HVLJQ&RPPLWPHQW ,QVSHFWLRQV 7HVWV $QDO\\VHV $FFHSWDQFH&ULWHULD

 H H 7KHVHQVRUVLGHQWLILHGRQ7DEOH,QVSHFWLRQRIWKHDV EXLOWV\\VWHP7KHVHQVRUVLGHQWLILHGRQ

DUHXVHGIRU'$6LQSXWDQGDUHZLOOEHSHUIRUPHGH[FHSWIRUWKH7DEOH DUHXVHGE\\

VHSDUDWHIURPWKRVHEHLQJXVHGE\\WKHFRUHH[LWWHPSHUDWXUHVHQVRU'$6DQGDUHVHSDUDWHIURP

306DQGSODQWFRQWUROV\\VWHP  LQVWDOODWLRQ  WKRVHEHLQJXVHGE\\WKH306

DQGSODQWFRQWUROV\\VWHP 

 I 1RWXVHGSHU$PHQGPHQW1R    

 J 1RWXVHGSHU$PHQGPHQW1R    

 K K 7KH'$6HTXLSPHQWFDQZLWKVWDQG7\\SHWHVWV DQDO\\VHV RUD$UHSRUWH[LVWVDQGFRQFOXGHV

WKHURRPDPELHQWWHPSHUDWXUHDQG FRPELQDWLRQRIW\\SHWHVWVDQGWKDWWKH'$6HTXLSPHQWFDQ

KXPLGLW\\FRQGLWLRQVWKDWZLOOH[LVWDWDQDO\\VHVZLOOEHSHUIRUPHGRQZLWKVWDQGWKHURRPDPELHQW

WKHSODQWORFDWLRQVLQZKLFKWKH'$6WKHHTXLSPHQW  WHPSHUDWXUHDQGKXPLGLW\\

HTXLSPHQWLVLQVWDOOHGDWWKHWLPHVIRU FRQGLWLRQVWKDWZLOOH[LVWDWWKH

ZKLFKWKH'$6LVGHVLJQHGWREH SODQWORFDWLRQVLQZKLFKWKH

RSHUDWLRQDO  '$6HTXLSPHQWLVLQVWDOOHGDW

WKHWLPHVIRUZKLFKWKH'$6LV

GHVLJQHGWREHRSHUDWLRQDO 

  7KH'$6KDUGZDUHDQGDQ\\VRIWZDUH,QVSHFWLRQZLOOEHSHUIRUPHGRI$UHSRUWH[LVWVDQGFRQFOXGHV

DUHGHYHORSHGXVLQJDSODQQHGGHVLJQWKHSURFHVVXVHGWRGHVLJQWKHWKDWWKHSURFHVVGHILQHVWKH

SURFHVVZKLFKSURYLGHVIRUVSHFLILFKDUGZDUHDQGDQ\\VRIWZDUH  RUJDQL]DWLRQDOUHVSRQVLELOLWLHV 

GHVLJQGRFXPHQWDWLRQDQGUHYLHZV DFWLYLWLHV DQGFRQILJXUDWLRQ

GXULQJWKHIROORZLQJOLIHF\\FOHVWDJHV  PDQDJHPHQWFRQWUROVIRUWKH

D 'HYHORSPHQWSKDVHIRUKDUGZDUHDQG IROORZLQJ 

DQ\\VRIWZDUH D 'RFXPHQWDWLRQDQGUHYLHZ

E 6\\VWHPWHVWSKDVH RIKDUGZDUHDQGDQ\\VRIWZDUH 

F ,QVWDOODWLRQSKDVH E 3HUIRUPDQFHRIWHVWVDQG

7KHSODQQHGGHVLJQSURFHVVDOVR WKHGRFXPHQWDWLRQRIWHVW

SURYLGHVIRUWKHXVHRIFRPPHUFLDORII UHVXOWVGXULQJWKHV\\VWHPWHVW

WKH VKHOIKDUGZDUHDQGVRIWZDUH  SKDVH 

F 3HUIRUPDQFHRIWHVWVDQG

LQVSHFWLRQVGXULQJWKH

LQVWDOODWLRQSKDVH 

7KHSURFHVVDOVRGHILQHV

UHTXLUHPHQWVIRUWKHXVHRI

FRPPHUFLDORII WKH VKHOI

KDUGZDUHDQGVRIWZDUH 

 &  $PHQGPHQW1R  





E  7KH&ODVV (FDEOHVEHWZHHQWKH&RUH([LW7HPSHUDWXUHVHQVRUVDQGWKHFRQQHFWRU

SODWHVKDYHVKHDWKV 

F  )RUFDEOHVRWKHUWKDQWKRVHFRYHUHGE\\ E VHSDUDWLRQLVSURYLGHGEHWZHHQ,,6&ODVV (

GLYLVLRQV DQGEHWZHHQ&ODVV (GLYLVLRQVDQGQRQ &ODVV (FDEOH 

 6DIHW\\ UHODWHGGLVSOD\\VRIWKHSDUDPHWHUVLGHQWLILHGLQ7DEOH FDQEHUHWULHYHGLQWKH

PDLQFRQWUROURRP 0&5 



7DEOH 

6HLVPLF $60(&RGH 4XDO IRU 6DIHW\\ 5HODWHG

(TXLSPHQW1DPH  &DW , &ODVVLILFDWLRQ &ODVV ( +DUVK(QYLU  'LVSOD\\

,QFRUH7KLPEOH <H V  +/- <H V  <H V  &RUH([LW

$VVHPEOLHV DWOHDVW 7HPSHUDWXUH 

WKUHHDVVHPEOLHVLQHDFK

FRUHTXDGUDQW 

1RWH 'DVK LQGLFDWHVQRWDSSOLFDEOH 

 2QO\\DSSOLHVWRWKHVDIHW\\ UHODWHGDVVHPEOLHV 7KHUHDUHDWOHDVWWZRVDIHW\\ UHODWHGDVVHPEOLHVLQHDFKFRUH

TXDGUDQW 



7DEOH 

,QVSHFWLRQV 7HVWV $QDO\\VHV DQG$FFHSWDQFH&ULWHULD

1R ,7$$&1R  'HVLJQ&RPPLWPHQW ,QVSHFWLRQV 7HVWV $QDO\\VHV $FFHSWDQFH&ULWHULD

  1RWXVHGSHU$PHQGPHQW1R   

 L 7KHVHLVPLF&DWHJRU\\,HTXLSPHQW L 1RWXVHGSHU$PHQGPHQW L 1RWXVHGSHU$PHQGPHQW

LGHQWLILHGLQ7DEOH FDQZLWKVWDQG1R   1R  

VHLVPLFGHVLJQEDVLVG\\QDPLFORDGV

ZLWKRXWORVVRIVDIHW\\IXQFWLRQ 

   LL 7\\SHWHVWV DQDO\\VHV RUDLL $UHSRUWH[LVWVDQG

FRPELQDWLRQRIW\\SHWHVWVDQGFRQFOXGHVWKDWWKHVHLVPLF

DQDO\\VHVRIVHLVPLF&DWHJRU\\,&DWHJRU\\,HTXLSPHQWFDQ

HTXLSPHQWZLOOEHSHUIRUPHG ZLWKVWDQGVHLVPLFGHVLJQEDVLV

G\\QDPLFORDGVZLWKRXWORVVRI

VDIHW\\IXQFWLRQ 

 &  $PHQGPHQW1R  





7DEOH 

,QVSHFWLRQV 7HVWV $QDO\\VHV DQG$FFHSWDQFH&ULWHULD

1R ,7$$&1R  'HVLJQ&RPPLWPHQW ,QVSHFWLRQV 7HVWV $QDO\\VHV $FFHSWDQFH&ULWHULD

 LLL ,QVSHFWLRQZLOOEHSHUIRUPHGLLL $UHSRUWH[LVWVDQG

IRUWKHH[LVWHQFHRIDUHSRUWFRQFOXGHVWKDWWKHHTXLSPHQW

YHULI\\LQJWKDWWKHHTXLSPHQWLQFOXGLQJDQFKRUDJHLV

LQFOXGLQJDQFKRUDJHLV VHLVPLFDOO\\ERXQGHGE\\WKH

VHLVPLFDOO\\ERXQGHGE\\WKH WHVWHGRUDQDO\\]HGFRQGLWLRQV 

WHVWHGRUDQDO\\]HGFRQGLWLRQV 

  D 7KH&ODVV (HTXLSPHQWLGHQWLILHGL 7\\SHWHVWV DQDO\\VLV RUDL $UHSRUWH[LVWVDQG

LQ7DEOH DVEHLQJTXDOLILHGIRUDFRPELQDWLRQRIW\\SHWHVWVDQGFRQFOXGHVWKDWWKH&ODVV (

KDUVKHQYLURQPHQWFDQZLWKVWDQGWKHDQDO\\VLVZLOOEHSHUIRUPHGRQHTXLSPHQWLGHQWLILHGLQ7DEOH

HQYLURQPHQWDOFRQGLWLRQVWKDWZRXOG&ODVV (HTXLSPHQWORFDWHGLQD DVEHLQJTXDOLILHGIRUD

H[LVWEHIRUH GXULQJ DQGIROORZLQJDKDUVKHQYLURQPHQW  KDUVKHQYLURQPHQW 7KLV

GHVLJQEDVLVDFFLGHQWZLWKRXWORVVRI HTXLSPHQWFDQZLWKVWDQGWKH

VDIHW\\IXQFWLRQ IRUWKHWLPHUHTXLUHGWR HQYLURQPHQWDOFRQGLWLRQVWKDW

SHUIRUPWKHVDIHW\\IXQFWLRQ  ZRXOGH[LVWEHIRUH GXULQJ 

DQGIROORZLQJDGHVLJQEDVLV

DFFLGHQWZLWKRXWORVVRIVDIHW\\

IXQFWLRQIRUWKHWLPHUHTXLUHG

WRSHUIRUPWKHVDIHW\\IXQFWLRQ 

   LL ,QVSHFWLRQZLOOEHSHUIRUPHGLL $UHSRUWH[LVWVDQG

RIWKH&ODVV (HTXLSPHQWDQGFRQFOXGHVWKDWWKH&ODVV (

WKHDVVRFLDWHGZLULQJ FDEOHV HTXLSPHQWDQGWKHDVVRFLDWHG

DQGWHUPLQDWLRQVORFDWHGLQDZLULQJ FDEOHV DQG

KDUVKHQYLURQPHQW  WHUPLQDWLRQVLGHQWLILHGLQ

7DEOH DVEHLQJ

TXDOLILHGIRUDKDUVK

HQYLURQPHQWDUHERXQGHGE\\

W\\SHWHVWV DQDO\\VHV RUD

FRPELQDWLRQRIW\\SHWHVWVDQG

DQDO\\VHV 

 LL 1RWXVHGSHU$PHQGPHQW1R    

 LLL 1RWXVHGSHU$PHQGPHQW1R    

 D L 1RWXVHGSHU$PHQGPHQW1R    

 D LL 1RWXVHGSHU$PHQGPHQW1R   

 E E 7KH&ODVV (FDEOHVEHWZHHQWKH,QVSHFWLRQRIWKH&ODVV (FDEOHV7KH&ODVV (FDEOHVEHWZHHQ

&RUH([LW7HPSHUDWXUHVHQVRUVDQGWKHZLOOEHSHUIRUPHG  WKH&RUH([LW7HPSHUDWXUH

FRQQHFWRUSODWHVKDYHVKHDWKV  VHQVRUVDQGWKHFRQQHFWRU

SODWHVKDYHVKHDWKV 

 &  $PHQGPHQW1R