Latest revision as of 05:24, 21 February 2026

Text

Part 73 Exemption Request Regarding Enhanced Weapons, Firearms Background Checks, and Security Event Notifications Final Rule
	ML23320A267
Person / Time
Site:	Turkey Point
Issue date:	11/16/2023
From:	Strand D; Florida Power & Light Co
To:	; Office of Nuclear Reactor Regulation, Document Control Desk
References
	L-2023-146
	Download: ML23320A267 (1)
	v • d • e

1RYHPEHU

/

&)5

)ORULGD3RZHU /LJKW&RPSDQ\

(QGHDYRU'U-XSLWHU)/

861XFOHDU5HJXODWRU\&RPPLVVLRQ

$WWQ'RFXPHQW&RQWURO'HVN

DVKLQJWRQ'&

5H

7XUNH\3RLQW1XFOHDU3ODQW8QLWVDQG

'RFNHW1RVDQG

5HQHZHG)DFLOLW\2SHUDWLQJ/LFHQVHV'35DQG'35

3DUW([HPSWLRQ5HTXHVW5HJDUGLQJ(QKDQFHG:HDSRQV)LUHDUPV%DFNJURXQG&KHFNVDQG

6HFXULW\(YHQW1RWLILFDWLRQV)LQDO5XOH

3XUVXDQWWR&)5)ORULGD3RZHU /LJKW&RPSDQ\)3/KHUHE\UHTXHVWVDQH[HPSWLRQIURPWKH

(QKDQFHG:HDSRQV)LUHDUPV%DFNJURXQG&KHFNVDQG6HFXULW\(YHQW1RWLILFDWLRQVILQDOUXOHIRU7XUNH\

3RLQW1XFOHDU3ODQW8QLWVDQG7XUNH\3RLQW,QDFFRUGDQFHZLWKFederal RegisterQRWLFH)5

FRPSOLDQFHZLWKWKHILQDOUXOHUHTXLUHPHQWVPXVWEHDFKLHYHGE\-DQXDU\7KHSURSRVHGH[HPSWLRQ

ZRXOG UHOLHYH ILQDO UXOH FRPSOLDQFH DW 7XUNH\ 3RLQW XQWLO 'HFHPEHU RU GD\V IROORZLQJ

SXEOLFDWLRQRIWKH5HJXODWRU\*XLGHV5*VGHVFULEHGLQ)5ZKLFKHYHULVODWHU

2Q 0DUFK WKH 1XFOHDU 5HJXODWRU\ &RPPLVVLRQ 15& QRWLFHG LQ WKH Federal Register WKH

(QKDQFHG :HDSRQV )LUHDUPV %DFNJURXQG &KHFNV DQG 6HFXULW\ (YHQW 1RWLILFDWLRQV ILQDO UXOH KHUHWR

NQRZQDVWKH³ILQDOUXOH'ZLWKDQ$SULOHIIHFWLYHGDWHDQGD-DQXDU\FRPSOLDQFHGDWH,Q

UHVSRQVH)3/SHUIRUPHGDSUHOLPLQDU\JDSDQDO\VLVRIWKHQHZYHUVXVFXUUHQWUHTXLUHPHQWVDSSOLFDEOH

UHJXODWRU\JXLGDQFHDQG7XUNH\3RLQWVHFXULW\SROLFLHVDQGSURFHGXUHVLQFOXGLQJVHFXULW\DQGRSHUDWLRQV

SHUVRQQHOWUDLQLQJ%DVHGRQLWVUHYLHZ)3/GHWHUPLQHGWKDWDWHPSRUDU\H[HPSWLRQIURPWKHILQDOUXOHZLOO

EH QHFHVVDU\ WR SURYLGH VXIILFLHQW WLPH WR DFKLHYH IXOO FRPSOLDQFH DW 7XUNH\ 3RLQW 7KH SURSRVHG

FRPSOLDQFHGDWHRI'HFHPEHURUGD\VIROORZLQJSXEOLFDWLRQRIWKH5*VGHVFULEHGLQ)5

ZKLFKHYHULVODWHULVEDVHGRQWKH15&¶VSURMHFWHGWLPHOLQHIRULVVXLQJUHYLVHGUHJXODWRU\JXLGDQFH

DQGWKHWLPHWRFRPSOHWHWKHUHTXLVLWHFKDQJHPDQDJHPHQWSURFHVVHV'XULQJWKHSHULRGRIH[HPSWLRQ

)3/ZLOOFRQWLQXHWRLPSOHPHQWWKH7XUNH\3RLQWVHFXULW\SODQFRQVLVWHQWZLWK5*5HYLVLRQ$'$06

$FFHVVLRQ1R0/DQG*HQHULF/HWWHU$'$06$FFHVVLRQ1R0/

7KHHQFORVXUHWRWKLVOHWWHUSURYLGHVDQHYDOXDWLRQRIWKHSURSRVHGH[HPSWLRQ7KHHYDOXDWLRQGHPRQVWUDWHV

WKDWWKHSURSRVHGH[HPSWLRQZLOOQRWSUHVHQWDQXQGXHULVNWRSXEOLFKHDOWKDQGVDIHW\LVQRWLQLPLFDOWRWKH

FRPPRQGHIHQVHDQGVHFXULW\DQGLVLQWKHSXEOLFLQWHUHVWDQGLVWKHUHE\SHUPLVVLEOHXQGHU&)5

)3/UHTXHVWVDSSURYDORIWKHUHTXHVWHGH[HPSWLRQE\1RYHPEHUWRDVVXUHFRQWLQXHGUHJXODWRU\

FRPSOLDQFHDQGXQLIRUPLW\LQ7XUNH\3RLQWVHFXULW\SURJUDPSURFHGXUHVDQGSUDFWLFHV

7KLVOHWWHUFRQWDLQVQRRUUHYLVHGUHJXODWRU\FRPPLWPHQWV

6KRXOG \RX KDYH DQ\ TXHVWLRQV UHJDUGLQJ WKLV VXEPLVVLRQ SOHDVH FRQWDFW 0U.HQQHWK 0DFN )OHHW

/LFHQVLQJ0DQDJHUDW

/

3DJHRI

,GHFODUHXQGHUSHQDOW\RISHUMXU\WKDWWKHIRUHJRLQJLVWUXHDQGFRUUHFW

([HFXWHGRQWKHWKGD\RI1RYHPEHU

6LQFHUHO\

BBBBBBBBBBBBBBBBBBBBB

'LDQQH6WUDQG

HQHUDO0DQDJHU5HJXODWRU\$IIDLUV

)ORULGD3RZHU /LJKW&RPSDQ\

(QFORVXUH

5HTXHVWIRU([HPSWLRQIURP)LQDO5XOH&RPSOLDQFH'DWH

FF

8615&5HJLRQDO$GPLQLVWUDWRU5HJLRQ,,

8615&3URMHFW0DQDJHU7XUNH\3RLQW1XFOHDU*HQHUDWLQJ6WDWLRQ

8615&6HQLRU5HVLGHQW,QVSHFWRU7XUNH\3RLQW1XFOHDU*HQHUDWLQJ6WDWLRQ

0U&ODUN(OGUHGJH)ORULGD'HSDUWPHQWRI+HDOWK

, for James Michael Davis Digitally signed by James Michael Davis DN: cn=James Michael Davis, o=Licensing, ou=NextEra Duane

Arnold, email=j.michael.davis@nee.com, c=US Date: 2023.11.16 12:17:37 -06'00'

7XUNH\3RLQW1XFOHDU3ODQW

/

'RFNHW1RVDQG

(QFORVXUH

3DJHRI

3DUW([HPSWLRQ5HTXHVW5HJDUGLQJ(QKDQFHG:HDSRQV

)LUHDUPV%DFNJURXQG&KHFNVDQG6HFXULW\(YHQW1RWLILFDWLRQV)LQDO5XOH

%$&.*5281'

2Q0DUFKWKH1XFOHDU5HJXODWRU\&RPPLVVLRQ15&LVVXHGD)LQDO5XOHHQWLWOHG³(QKDQFHG

HDSRQV)LUHDUPV%DFNJURXQG&KHFNVDQG6HFXULW\(YHQW1RWLILFDWLRQV'KHUHWRNQRZQDVWKH³ILQDO

UXOH'$VVSHFLILHGLQWKHFederal Register>)5@WKHILQDOUXOHKDVDQHIIHFWLYHGDWHRI$SULO

DQGDFRPSOLDQFHGDWHRI-DQXDU\7KHILQDOUXOHFRQWDLQVQHZHOHPHQWVVXFKDV

x

1HZWHUPLQRORJ\DQGDVVRFLDWHGUHTXLUHPHQWVFRYHULQJ³FRQGLWLRQVDGYHUVHWRVHFXULW\'

x

1HZGHILQLWLRQVRIWKHWHUP³FRQWUDEDQG'DQG³WLPHRIGLVFRYHU\'LQ&)5

x

1HZSRLQWRIFRQWDFWUHTXLUHPHQWVZLWKWKH)HGHUDO$YLDWLRQ$GPLQLVWUDWLRQ)$$

x

&KDQJHVUHSRUWLQJUHTXLUHPHQWVDSSOLFDEOHWRVHFXULW\HYHQWVIURP

o

KRXUQRWLILFDWLRQVDQGKRXUUHFRUGLQJRIVHFXULW\HYHQWV

7REHFRPH

o

KRXUKRXUKRXUQRWLILFDWLRQVDQGKRXUUHFRUGLQJRIVHFXULW\HYHQWV

o

&RGLILHVWKHDFFHOHUDWHGFDOOWRWKH15&IURP15&%XOOHWLQ

&RQFXUUHQWZLWKWKHSXEOLFDWLRQRIWKHILQDOUXOHWKH15&LVVXHGWKHIROORZLQJ5HJXODWRU\*XLGHV5*

WRVXSSRUWWKHLPSOHPHQWDWLRQUHTXLUHPHQWVVHWIRUWKLQWKHILQDOUXOH

x

5* ³3K\VLFDO 6HFXULW\ (YHQW 1RWLILFDWLRQV 5HSRUWV DQG 5HFRUGV' 5HYLVLRQ $'$06

$FFHVVLRQ1RV0/$0/$

x

5* ³(QKDQFHG :HDSRQV $XWKRULW\ 3UHHPSWLRQ $XWKRULW\ DQG )LUHDUPV %DFNJURXQG

&KHFNV'5HYLVLRQ$'$06$FFHVVLRQ1R0/$

x

5*³6XVSLFLRXV$FWLYLW\5HSRUWV'5HYLVLRQ$'$06$FFHVVLRQ1R0/$

'XULQJDQ$XJXVWSXEOLFPHHWLQJ$'$06$FFHVVLRQ1R0/$WKH15&VWDII

DFNQRZOHGJHGDPELJXLWLHVDQGLQFRQVLVWHQFLHVLQWKHILQDOUXOHDQGDVVRFLDWHGJXLGDQFHDQGSURSRVHG

DUHYLVLRQGDWHIRUFODULI\LQJWKHJXLGDQFHWKURXJKSXEOLFDWLRQE\$SULOZKLFKLVWKUHHPRQWKVDIWHU

WKH-DQXDU\FRPSOLDQFHGDWHVSHFLILHGLQFederal Register)5$GGLWLRQDOO\WKH

15&DFNQRZOHGJHGWKHQHHGIRUUXOHPDNLQJWRDGGUHVVLGHQWLILHGLVVXHVZLWKWKHILQDOUXOHODQJXDJH

%$6,6)25(;(037,215(48(67

&)56SHFLILF([HPSWLRQVDOORZVWKH&RPPLVVLRQWRJUDQWH[HPSWLRQVIURPWKHUHTXLUHPHQWV

RI3DUW³DVLWGHWHUPLQHVDUHDXWKRUL]HGE\ODZDQGZLOOQRWHQGDQJHUOLIHRUSURSHUW\RUWKHFRPPRQ

GHIHQVHDQGVHFXULW\DQGDUHRWKHUZLVHLQWKHSXEOLFLQWHUHVW'$VH[SODLQHGEHORZWKLVH[HPSWLRQ

UHTXHVWPHHWVWKHFULWHULDVHWIRUWKLQ&)5

7KHLQGXVWU\KDVLGHQWLILHGVHYHUDOLVVXHVLQWKHILQDOUXOHDQGWKHVXSSRUWLQJ5HJXODWRU\*XLGHVWKDW

UHTXLUHFODULILFDWLRQIURPWKH15&IRU)3/WRVXFFHVVIXOO\LPSOHPHQWWKHUHTXLUHPHQWVDW7XUNH\3RLQW

$VPHQWLRQHGDERYHWKH15&LVFXUUHQWO\GHYHORSLQJDUHVROXWLRQIRUWKHFRGHODQJXDJHLVVXHVDQG

DGGUHVVLQJJXLGDQFHUHYLVLRQV$VGLVFXVVHGLQWKH$XJXVWSXEOLFPHHWLQJWKH15&SODQV

WRLVVXHDGGLWLRQDOJXLGDQFHLQ$SULOZKLFKLVWKUHHPRQWKVDIWHUWKHFRPSOLDQFHGDWHRI-DQXDU\

:LWKRXWDGGLWLRQDOJXLGDQFHHQIRUFHPHQWUHOLHIRUDWHPSRUDU\H[HPSWLRQLWLVOLNHO\WKDW)3/

ZLOO QHHG WR PDNH FKDQJHV WR LWV SK\VLFDO VHFXULW\ SODQV DQG SURFHVVHV WZLFH RQFH WR DFKLHYH

FRPSOLDQFHZLWKLWVRZQLQWHUSUHWDWLRQRIWKHILQDOUXOHZLWKRXWWKHEHQHILWRIWKHDGGLWLRQDOJXLGDQFH

EHLQJ GHYHORSHG E\ 15& DQG DJDLQ IROORZLQJ LVVXDQFH RI WKH UHYLVHG UHJXODWRU\ JXLGDQFH 7KH

DPELJXLW\DQGFRQIOLFWFUHDWHGE\WKHILQDOUXOHODQJXDJHDQGH[LVWLQJJXLGDQFHVRPHRIZKLFKDUH

³(QKDQFHG:HDSRQV)LUHDUPV%DFNJURXQG&KHFNVDQG6HFXULW\(YHQW1RWLILFDWLRQV)LQDOUXOHDQGJXLGDQFH'

)HG5HJ0DUFK

7XUNH\3RLQW1XFOHDU3ODQW

/

'RFNHW1RVDQG

(QFORVXUH

3DJHRI

3DUW([HPSWLRQ5HTXHVW5HJDUGLQJ(QKDQFHG:HDSRQV

)LUHDUPV%DFNJURXQG&KHFNVDQG6HFXULW\(YHQW1RWLILFDWLRQV)LQDO5XOH

GHVFULEHGEHORZFRXOGUHVXOWLQXQQHFHVVDU\FRQIXVLRQWKDWZLOOGHWUDFWIURPWKHFXUUHQWKLJKOHYHORI

DVVXUDQFHSURYLGHGE\WKHH[LVWLQJ7XUNH\3RLQWSK\VLFDOVHFXULW\SURJUDP$FFRUGLQJO\)3/GRHVQRW

EHOLHYHLPSOHPHQWDWLRQRIWKHILQDOUXOHSULRUWRLVVXDQFHRIDGGLWLRQDOFODULI\LQJJXLGDQFHDWDPLQLPXP

LVLQWKHEHVWLQWHUHVWRIWKHSXEOLF/LVWHGEHORZDUHH[DPSOHVRILVVXHVZLWKWKHILQDOUXOHZKLFK

QHFHVVLWDWHDWHPSRUDU\H[HPSWLRQIRU7XUNH\3RLQW7KHH[DPSOHVDUHQRWDOOHQFRPSDVVLQJDQGDQ

H[HPSWLRQ IURP WKH HQWLUHW\ RI WKH ILQDO UXOH LV UHTXHVWHG WR FRPSOHWH )3/¶V DQDO\VLV RI WKH QHZ

UHTXLUHPHQWVUHYLVLRQVWRDSSOLFDEOHUHJXODWRU\JXLGDQFHDQGWKHLPSDFWWR7XUNH\3RLQWSK\VLFDO

VHFXULW\SODQSROLFLHVDQGSURFHGXUHVLQFOXGLQJVHFXULW\DQGRSHUDWLRQVSHUVRQQHOWUDLQLQJ'XULQJWKH

SURSRVHGSHULRGRIH[HPSWLRQ)3/ZLOOFRQWLQXHWRLPSOHPHQWWKH7XUNH\3RLQWVHFXULW\SODQFRQVLVWHQW

ZLWK 5* 5HYLVLRQ $'$06 $FFHVVLRQ 1R 0/ DQG *HQHULF /HWWHU */

$'$06$FFHVVLRQ1R0/

&RQGLWLRQV$GYHUVHWR6HFXULW\

7KHLQWURGXFWLRQRIWKHWHUP³FRQGLWLRQVDGYHUVHWRVHFXULW\'ZLWKLQ&)5LVXQGHILQHG

DQG DPELJXRXV )3/ KDV HVWDEOLVKHG DV UHTXLUHG D IRUPDO &RUUHFWLYH $FWLRQ 3URJUDP LQ

DFFRUGDQFHZLWK&)53DUW$SSHQGL[%&ULWHULRQ;9,$VDUHVXOW)3/KDVGHYHORSHG

SURFHGXUHVDQGSURFHVVHVWRGHWHUPLQHFRQGLWLRQVDGYHUVHWRTXDOLW\DVLWUHODWHVWRWKHVHFXULW\

RUJDQL]DWLRQHJ&RQGLWLRQ$GYHUVHWR5HJXODWRU\&RPSOLDQFH

x

)3/1XFOHDU)OHHWSURFHGXUH3,$$&RQGLWLRQ5HSRUWLQJGHILQHVVSHFLILFHYHQWV

RUVLWXDWLRQVWKDWUHVXOWLQDFRQGLWLRQDGYHUVHWRTXDOLW\&$4LQFOXGLQJVHFXULW\UHODWHG

&$4VDQGVLJQLILFDQWFRQGLWLRQVDGYHUVHWRTXDOLW\6&$4V

LYHQ WKH UREXVW QDWXUH RI )3/¶V &RUUHFWLYH $FWLRQ 3URJUDP WKH DGGLWLRQDO GXSOLFDWLRQ RI

SURFHGXUHVDQGRUUHYLVLRQRISURFHGXUHVWRDFFRPPRGDWHWKHQHZWHUP³FRQGLWLRQVDGYHUVHWR

VHFXULW\' DGGV DQ XQQHFHVVDU\ DGPLQLVWUDWLYH EXUGHQ ZLWK QR LPSURYHPHQW WR WKH &RUUHFWLYH

$FWLRQ3URJUDPWKH7XUNH\3RLQWVHFXULW\SODQRUWRRYHUDOOSXEOLFKHDOWKDQGVDIHW\

'HILQLWLRQVLQ&)5

7KHQHZGHILQLWLRQVH[SDQGGHILQLWLRQVVSHFLILHGLQ15&HQGRUVHG1(,³7HPSODWH

IRU WKH 6HFXULW\ 3ODQ 7UDLQLQJ DQG 4XDOLILFDWLRQ 3ODQ 6DIHJXDUGV &RQWLQJHQF\ 3ODQ >DQG

,QGHSHQGHQW 6SHQW )XHO 6WRUDJH,QVWDOODWLRQ 6HFXULW\ 3URJUDP@' 5HYLVLRQ DQG 5*

³3K\VLFDO3URWHFWLRQ3URJUDPVDW1XFOHDU3RZHU5HDFWRUV'7KHH[LVWLQJGHILQLWLRQVZHUHDSSOLHG

WRGHVLJQVHFXULW\SODQVDQGSURFHGXUHV([DPSOHVRILVVXHVWKHQHZGHILQLWLRQVSUHVHQWLQFOXGH

x

&RQWUDEDQG6SHFLILFDOO\WKHSDUHQWKHWLFDOGHVFULELQJ³RWKHUGDQJHURXVPDWHULDOV'WRLQFOXGH

GLVHDVHFDXVLQJDJHQWVUHTXLUHV)3/WRSURWHFWDJDLQVWSHUFHLYHGWKUHDWVEH\RQGWKH'HVLJQ

%DVLV7KUHDW'%7GHVFULEHGLQ&)5:LWKRXWWKHSURSRVHGH[HPSWLRQDSSOLFDWLRQ

RIWKLVH[SDQGHGGHILQLWLRQZLOOFKDOOHQJH7XUNH\3RLQWVHFXULW\SODQPHWKRGVRIFRPSO\LQJ

ZLWKJLL%DQGKZKLFKVWDWHHPSKDVLVDGGHG

JAccess controls.

(1) Consistent with the function of each barrier or barrier system, the licensee shall control personnel, vehicle, and material access, as applicable, at each access control point in accordance with the physical protection program design requirements of §73.55(b).

(ii)

Where vehicle barriers are established, the licensee shall:

(B) Search vehicles and materials for contraband or other items which could be used to commit radiological sabotage in accordance with paragraph (h) of this section.

7XUNH\3RLQW1XFOHDU3ODQW

/

'RFNHW1RVDQG

(QFORVXUH

3DJHRI

3DUW([HPSWLRQ5HTXHVW5HJDUGLQJ(QKDQFHG:HDSRQV

)LUHDUPV%DFNJURXQG&KHFNVDQG6HFXULW\(YHQW1RWLILFDWLRQV)LQDO5XOH

KSearch programs

(1) The objective of the search program is to detect, deter, and prevent the introduction of firearms, explosives, incendiary devices, or other items which could be used to commit radiological sabotage. To accomplish this the licensee shall search individuals, vehicles, and materials consistent with the physical protection program design requirements in paragraph (b) of this section, and the function to be performed at each access control point or portal before granting access.

(2) Owner controlled area searches.

(iv) Vehicle searches must be accomplished through the use of equipment capable of detecting firearms, explosives, incendiary devices, or other items which could be used to commit radiological sabotage, or through visual and physical searches, or both, to ensure that all items are identified before granting access.

(3) Protected area searches. Licensees shall search all personnel, vehicles and materials requesting access to protected areas.

(i) The search for firearms, explosives, incendiary devices, or other items which could be used to commit radiological sabotage shall be accomplished through the use of equipment capable of detecting these items, or through visual and physical searches, or both, to ensure that all items are clearly identified before granting access to protected areas. The licensee shall subject all persons except official Federal, state, and local law enforcement personnel on official duty to these searches upon entry to the protected area. Armed security officers who are on duty and have exited the protected area may re-enter the protected area without being searched for firearms.

2IQRWHJXVHVWKHWHUPFRQWUDEDQGZKLOHKXVHVWHUPLQRORJ\FRQVLVWHQW

ZLWK WKH GHILQLWLRQ RI FRQWUDEDQG LQ 1(, DQG 5* 7KH VSHFLILF LQFOXVLRQ RI

³GLVHDVHFDXVLQJDJHQWV'LQWKHQHZUHJXODWRU\GHILQLWLRQRIFRQWUDEDQGZLOOUHTXLUH)3/WR

PRGLI\LWVVHFXULW\SODQSURFHGXUHVIRUFRPSOLDQFHZLWKSDUDJUDSKJLQZD\VWKDW

DUHXQFOHDUDWWKLVWLPH)3/XQGHUVWDQGVWKDWWKH15&LVORRNLQJDWSRWHQWLDOUHVROXWLRQVIRU

WKLV LVVXH EXW ZLWKRXW IXUWKHU JXLGDQFH RU UXOHPDNLQJ FRPSOLDQFH ZLWK WKLV UHTXLUHPHQW

FDQQRWEHUHOLDEO\DFKLHYHGZLWKLQWKHH[SHFWHGFRPSOLDQFHSHULRG

x

Time of Discovery6SHFLILFDOO\WKHQHZGHILQLWLRQVSHFLILHVWKDWDFRJQL]DQWLQGLYLGXDO³LV

FRQVLGHUHGDQ\RQHZKRE\SRVLWLRQH[SHULHQFHDQGRUWUDLQLQJLVH[SHFWHGWRXQGHUVWDQG

WKDWDSDUWLFXODUFRQGLWLRQRUHYHQWDGYHUVHO\LPSDFWVVHFXULW\'$W7XUNH\3RLQW)3/DSSOLHV

WKH GHILQLWLRQ LQ 1(, DQG 5* ZKHUHE\ ³D VXSHUYLVRU RU PDQDJHU PDNHV D

GHWHUPLQDWLRQWKDWDYHULILHGGHJUDGDWLRQRIDVHFXULW\VDIHJXDUGVPHDVXUHRUDFRQWLQJHQF\

VLWXDWLRQH[LVWV'WRHVWDEOLVK7 IRUVHFXULW\UHODWHGHYHQWV

7KHQHZGHILQLWLRQH[SDQGVWKHSRRORISHUVRQQHOSUHYLRXVO\XVHGE\OLFHQVHHVWRGHWHUPLQH

7 IRU DQ HYHQW GXH WR WKH XQGHILQHG QDWXUH RI ³SRVLWLRQ H[SHULHQFH DQGRU WUDLQLQJ'

$GGLWLRQDOO\ WKH ORZHU WKUHVKROG IRU UHFRJQLWLRQ RI ³DGYHUVHO\ LPSDFWV VHFXULW\' YHUVXV

³UHFRJQLWLRQ RI YHULILHG GHJUDGDWLRQ RI D VHFXULW\ VDIHJXDUGV PHDVXUH RU D FRQWLQJHQF\

VLWXDWLRQ'FRQWULEXWHVWRWKHH[SDQVLRQRIWKHSHUVRQQHOSRRO)3/EHOLHYHVWKHGHILQLWLRQLQ

1(,DQG5*LVWKHDSSURSULDWHWKUHVKROGIRU7 IRUVHFXULW\UHODWHGHYHQWV

LWKRXW WKH SURSRVHG H[HPSWLRQ DQG FODULILFDWLRQ IURP QHZ RU UHYLVHG JXLGDQFH WKH

DSSOLFDWLRQRIWKLVQHZGHILQLWLRQZLOOUHTXLUH)3/WRLPSOHPHQWLPPHGLDWHFKDQJHVWRWKH

7XUNH\3RLQWVHFXULW\SURJUDPZKLFKUHYLVHWUDLQLQJPRGXOHVIRUJHQHUDOSODQWHPSOR\HHV

7XUNH\3RLQW1XFOHDU3ODQW

/

'RFNHW1RVDQG

(QFORVXUH

3DJHRI

3DUW([HPSWLRQ5HTXHVW5HJDUGLQJ(QKDQFHG:HDSRQV

)LUHDUPV%DFNJURXQG&KHFNVDQG6HFXULW\(YHQW1RWLILFDWLRQV)LQDO5XOH

SRWHQWLDOO\LQFOXGLQJDSSOLFDEOH1$17H/WUDLQLQJWRH[SDQGUHVSRQVLELOLW\IRUHVWDEOLVKLQJ

WLPHRIGLVFRYHU\DFURVVDEURDGVSHFWUXPRIVWDWLRQSHUVRQQHODVFRJQL]DQWLQGLYLGXDOV

)HGHUDO$YLDWLRQ$GPLQLVWUDWLRQ)$$/RFDO&RQWURO7RZHU3RLQWRI&RQWDFW

&)5HVWDEOLVKHVUHTXLUHPHQWVIRUUHSRUWLQJVXVSLFLRXVDFWLYLWLHVLQYROYLQJDLUFUDIWWR

DOLFHQVHH¶VORFDO)$$FRQWUROWRZHU6SHFLILFDOO\)3/ZRXOGEHUHTXLUHGWR

x

(VWDEOLVKDSRLQWRIFRQWDFWZLWKWKHORFDO)$$FRQWUROWRZHUDQG

x

'RFXPHQWWKHSRLQWRIFRQWDFWLQZULWWHQFRPPXQLFDWLRQSURFHGXUHV

LYHQ WKH -DQXDU\ FRPSOLDQFH GDWH )3/ PD\ QRW EH DEOH WR WLPHO\ HVWDEOLVK D

PHPRUDQGXPRIXQGHUVWDQGLQJRUVLPLODUDJUHHPHQWZLWKWKHORFDO)$$DXWKRULW\ZLWKRXWZKLFK

FUHGHQFHPD\QRWEHJLYHQWRDVXVSLFLRXVDFWLYLW\FDOOIURP7XUNH\3RLQWRSHUDWRUV)3/VHFXULW\

SURFHGXUHVVSHFLI\DQQXPEHUFRQWDFWZLWKWKH)$$KRZHYHUWKLVVDPHQXPEHULVVKDUHG

ZLWK)3/¶VRWKHUQXFOHDUVLWHVWKURXJKRXWWKH8QLWHG6WDWHVDQGLWLVXQFOHDUZKHWKHUWKLVJHQHUDO

FRQWDFWLQIRUPDWLRQVDWLVILHVWKHORFDO)$$FRQWUROWRZHUFRQWDFWUHTXLUHPHQWVVSHFLILHGLQWKH

ILQDOUXOH:LWKRXWWKHSURSRVHGH[HPSWLRQWRSURYLGHWLPHIRUUHYLVHGUHJXODWRU\JXLGDQFHRU

UXOHPDNLQJ)3/FDQQRWFRQILGHQWO\DVVHVVLWVFRPSOLDQFHZLWKWKLVILQDOUXOHUHTXLUHPHQW

5HJXODWRU\*XLGHV

,Q0DUFKWRVXSSRUWWKHLPSOHPHQWDWLRQRIWKHILQDOUXOHWKH15&LVVXHG5*³3K\VLFDO

6HFXULW\(YHQW1RWLILFDWLRQV5HSRUWVDQG5HFRUGV'5HYLVLRQ$VVWDWHGDERYHGXULQJWKH

$XJXVWSXEOLFPHHWLQJWKH15&DFNQRZOHGJHGDPELJXLWLHVDQGLQFRQVLVWHQFLHVLQWKH

ILQDOUXOHODQJXDJHDQGDVVRFLDWHGJXLGDQFH%HORZDUHH[DPSOHVRILGHQWLILHGLVVXHVZLWKWKH

UHJXODWRU\JXLGDQFHZKLFKQHFHVVLWDWHWKHSURSRVHGH[HPSWLRQIRU7XUNH\3RLQW

KRXUYVPLQXWHQRWLILFDWLRQUHTXLUHPHQW

x

HLLLDQGLYUHTXLUHVDKRXUQRWLILFDWLRQIRUFRQWUDEDQGDWWHPSWHGRU

DFWXDOLQWURGXFWLRQRIFRQWUDEDQGLQWRD3$9$RU0$$

o

7KHGHILQLWLRQRIFRQWUDEDQGFRQWDLQVWKHWHUP³LQFHQGLDULHV'

x

DUHTXLUHGDPLQXWHQRWLILFDWLRQIRUKRVWLOHDFWLRQV

o

5*5HY6HFWLRQSDJHSURYLGHVH[DPSOHVRIKRVWLOHDFWLRQV

-

7KHGLVFRYHU\RIXQDXWKRUL]HGH[SORVLYHPDWHULDOVLQFHQGLDU\PDWHULDOVRU

DQLPSURYLVHGH[SORVLYHGHYLFHZLWKLQWKHOLFHQVHH¶VVLWHERXQGDU\

x

7KHILQDOUXOHODQJXDJHUHTXLUHVDKRXUQRWLILFDWLRQIRUDQLQFHQGLDU\GHYLFHDWRULQVLGH

WKH3$9$RU0$$7KH5*GULYHVOLFHQVHHVWRDPLQXWHQRWLILFDWLRQIRUDQLQFHQGLDU\

GHYLFHDWWKHVLWHERXQGDU\ZKLFKLVIXUWKHUDZD\IURPVDIHW\UHODWHGHTXLSPHQW

7KHGLVSDULW\5*5HYLVLRQLQWURGXFHVUHJDUGLQJPLQXWHYHUVXVKRXUQRWLILFDWLRQ

IRUWKHGLVFRYHU\RILQFHQGLDU\PDWHULDOVZDUUDQWVUHJXODWRU\FODULILFDWLRQ6WDWLRQSHUVRQQHO

DUHWUDLQHGDQGIOXHQWLQVWDWLRQSURFHGXUHVDQGDSSOLFDEOHUHJXODWRU\JXLGDQFHWRVXSSRUW

WLPHO\ DQG DFFXUDWH VHFXULW\ HYHQW UHSRUWLQJ +RZHYHU WKH QRWLILFDWLRQ LQFRQVLVWHQF\

GHVFULEHG DERYH FDQ OHDG WR UHSRUWLQJ HUURUV DQG SRWHQWLDOO\ HQIRUFHPHQW DFWLRQ 7KH

SURSRVHGH[HPSWLRQZRXOGSURYLGHWLPHIRUUHYLVHGUHJXODWRU\JXLGDQFHRQWKLVLVVXH

7XUNH\3RLQW1XFOHDU3ODQW

/

'RFNHW1RVDQG

(QFORVXUH

3DJHRI

3DUW([HPSWLRQ5HTXHVW5HJDUGLQJ(QKDQFHG:HDSRQV

)LUHDUPV%DFNJURXQG&KHFNVDQG6HFXULW\(YHQW1RWLILFDWLRQV)LQDO5XOH

KRXUQRWLILFDWLRQYVKRXUUHFRUGLQJRI³ORVWRUXQFRQWUROOHGZHDSRQ'

x

HYUHTXLUHVDKRXUQRWLILFDWLRQIRUDORVWRUXQFRQWUROOHGZHDSRQ

x

IUHTXLUHVUHFRUGLQJZLWKLQKRXUV³SK\VLFDOVHFXULW\HYHQWVRUFRQGLWLRQV

WKDWGHFUHDVHVWKHHIIHFWLYHQHVVRIWKHSK\VLFDOVHFXULW\SURJUDP'

o

5* 5HY 6HFWLRQ SDJH SURYLGHV H[DPSOHV RI WKH ³5HFRUGDEOH

(YHQWV DQG &RQGLWLRQV 5HJDUGLQJ 'HFUHDVHV LQ (IIHFWLYHQHVV' WKDW I

UHTXLUHV7KH5*LQFOXGHVDQHYHQWLQYROYLQJWKHORVVRIFRQWURORIDQDXWKRUL]HG

VHFXULW\ZHDSRQZLWKLQD3$9$0$$RU&$$

7KHFRQIOLFWEHWZHHQWKHQRWLILFDWLRQDQGUHFRUGLQJRIDORVWRUXQFRQWUROOHGZHDSRQRQO\

H[LVWVEHFDXVHRIWKHUHJXODWRU\JXLGDQFHLQ5*5HYLVLRQ$VDEHVWSUDFWLFHDQGWR

VXSSRUWDFFXUDWHGHWHUPLQDWLRQRIQRWLILFDWLRQHYHQWVVWDWLRQSHUVRQQHODUHWUDLQHGDQGIOXHQW

LQ UHIHUHQFLQJ SXEOLVKHG 5*V VWDWLRQ SURFHGXUHV DQG JXLGDQFH DQG RWKHU LQGXVWU\

GRFXPHQWV$GGLWLRQDOFODULW\LVQHHGHGWRVXSSRUWWKHLPSOHPHQWDWLRQRIQRWLILFDWLRQVDQG

UHFRUGNHHSLQJ LQ D FRQVLVWHQW DQG VXFFHVVIXO PDQQHU 7KH SURSRVHG H[HPSWLRQ ZRXOG

SURYLGHWLPHIRUWKHUHYLVHGUHJXODWRU\JXLGDQFHDQGRUUXOHPDNLQJRQWKLVLVVXH

0DOHYROHQWLQWHQWGLVFXVVLRQ

x

&)5RQO\UHIHUVWRWKHWHUP³PDOHYROHQWLQWHQW'LQTDVexempli gratiaRU³HJ'SDUHQWKHWLFDOGHVFULELQJDFLUFXPVWDQFHZKHUHDOLFHQVHHPD\GHVLUHWR

GHWUDFWDSUHYLRXVSK\VLFDOVHFXULW\HYHQWQRWLILFDWLRQ

o

5*5HY6HFWLRQSDJHWLWOHG³0DOHYROHQW,QWHQWDQG&UHGLEOH%RPE

7KUHDW &RQVLGHUDWLRQV' VWDWHV WKH 15&¶V SRVLWLRQ WKDW RQO\ JRYHUQPHQW RIILFLDOV

KDYHWKHQHFHVVDU\UHVRXUFHVDQGTXDOLILFDWLRQVWRGHWHUPLQHZKHWKHUPDOHYROHQW

LQWHQWZDVSUHVHQWLQDVHFXULW\HYHQW

o

'XULQJWKH0D\DQG$XJXVWSXEOLFPHHWLQJVWKH15&ZDVXQDEOHWR

FRQVLVWHQWO\GHVFULEHZKHQOLFHQVHHVZHUHFDSDEOHRIWKLVGHWHUPLQDWLRQDQGZKHQ

OLFHQVHHVZHUHUHTXLUHGWRKDYHJRYHUQPHQWRIILFLDOVPDNHWKLVGHWHUPLQDWLRQ

o

,Q³15&5HVSRQVHWR3XEOLF&RPPHQWV'FRPPHQW.FRQWDLQVWKHGLVFXVVLRQ

UHJDUGLQJ³FUHGLEOH'DQGSXWVLQWRFRQWH[WWKHFLUFXPVWDQFHVRIWKH15&¶VSRVLWLRQ

DVLWUHODWHVWRWKHGHWHUPLQDWLRQRIPDOHYROHQWLQWHQW

-

,WLVFOHDUWKDWDVRIWKHSXEOLFDWLRQGDWHRI0DUFKWKHGLVFXVVLRQUHYROYHV

DURXQG WKH PLQXWH QRWLILFDWLRQ UHTXLUHPHQWV DQG QRW EODQNHWO\ DFURVV DOO

VHFXULW\UHODWHGHYHQWV

)3/ EHOLHYHV WKDW LQ FHUWDLQ FLUFXPVWDQFHV H[WHUQDO JRYHUQPHQW DJHQFLHV DUH EHVW

VXLWHG WR GHWHUPLQH PDOHYROHQW LQWHQW HJ FUHGLEOH ERPE WKUHDW FUHGLEOH WKUHDW

+RZHYHU)3/¶VSRVLWLRQRQWKHFDSDELOLW\WRGHWHUPLQHLQWHQWDVLWUHODWHVWRLGHQWLI\LQJ

+XPDQ 3HUIRUPDQFH HUURUV DV ZHOO DV GHWHUPLQLQJ 7UXVWZRUWK\ DQG 5HOLDELOLW\ IRU

$FFHVVSXUSRVHVUHPDLQVZLWK)3/

15&5HVSRQVHWR3XEOLF&RPPHQWV³(QKDQFHG:HDSRQV)LUHDUPV%DFNJURXQG&KHFNVDQG6HFXULW\(YHQWQRWLILFDWLRQV5XOH'

15&5,1$,D^ŽEŽD>

7XUNH\3RLQW1XFOHDU3ODQW

/

'RFNHW1RVDQG

(QFORVXUH

3DJHRI

3DUW([HPSWLRQ5HTXHVW5HJDUGLQJ(QKDQFHG:HDSRQV

)LUHDUPV%DFNJURXQG&KHFNVDQG6HFXULW\(YHQW1RWLILFDWLRQV)LQDO5XOH

7KHODFNRIFODULW\RIZKHQLWLVDSSURSULDWHIRUH[WHUQDOJRYHUQPHQWRIILFLDOVWRGHWHUPLQH

PDOHYROHQW LQWHQW FUHDWHV FRQIXVLRQ &ODULILFDWLRQ LV QHHGHG WR SUHYHQW XQQHFHVVDU\

FKDQJHV WR 7XUNH\ 3RLQW VHFXULW\ SODQ SURFHGXUHV VXFK DV DFFHVV DXWKRUL]DWLRQ

SURFHGXUHVWRDZDLWLQYHVWLJDWLRQUHVXOWVIURP15&¶V2IILFHRI,QYHVWLJDWLRQV2,WKH

LQWHOOLJHQFH FRPPXQLW\ RU D IHGHUDO 6WDWH RU ORFDO ODZ HQIRUFHPHQW DJHQF\ 7KH

SURSRVHGH[HPSWLRQZRXOGSURYLGHWLPHIRUUHYLVHGUHJXODWRU\JXLGDQFHRQWKLVLVVXH

$VVWDWHGHDUOLHUWKHDERYHH[DPSOHVRIDPELJXLWLHVDQGLQFRQVLVWHQFLHVLQWKHILQDOUXOHDUHQRWDOO

HQFRPSDVVLQJDQG)3/¶VJDSDQDO\VLVRIWKHILQDOUXOHDJDLQVWFXUUHQWUHTXLUHPHQWVLVQRW\HWFRPSOHWH

$FFRUGLQJO\DQH[HPSWLRQIURPWKHHQWLUHW\RIWKHILQDOUXOHLVUHTXHVWHGXQWLO'HFHPEHURU

GD\VDIWHUSXEOLFDWLRQRIWKHDSSOLFDEOH5*VZKLFKHYHULVODWHU'XULQJWKHSURSRVHGSHULRGRI

H[HPSWLRQ)3/ZLOOFRQWLQXHWRLPSOHPHQWWKH7XUNH\3RLQWVHFXULW\SODQFRQVLVWHQWZLWK5*

5HYLVLRQDQG*/

&216,'(5$7,216)25(;(037,21

$VKLJKOLJKWHGLQWKHVHOHFWHGH[DPSOHVDERYHWKHODFNRIFODULW\RQNH\SDUWVRIWKHILQDOUXOHPD\

UHVXOWLQLQDGHTXDWHLPSOHPHQWDWLRQDQGSRWHQWLDOQRQFRPSOLDQFHDQGFRXOGUHVXOWLQPRGLILFDWLRQWR

H[LVWLQJ7XUNH\3RLQWVHFXULW\SODQVDQGSURFHGXUHVDWOHDVWWZLFHEDVHGRQLQWHUSUHWDWLRQRIWKHILQDO

UXOH DQG UHJXODWRU\ JXLGDQFH $FFRUGLQJO\ )3/ UHTXHVWV WKH IROORZLQJ EH WDNHQ LQWR FRQVLGHUDWLRQ

GXULQJUHYLHZRIWKLVUHTXHVW

x

$W7XUNH\3RLQW)3/LPSOHPHQWVDIRUPDO&RUUHFWLYH$FWLRQ3ODQ&$3DQGHQWHUVLQWRWKH&$3

FRQGLWLRQVDGYHUVHWRTXDOLW\DVWKH\UHODWHWRVHFXULW\SURJUDPVDQGLWHPVWKDWDUHFRQGLWLRQV

DGYHUVHWRUHJXODWRU\FRPSOLDQFH

x

$W7XUNH\3RLQW)3/FRPSOLHVZLWKWKHGHILQLWLRQRIContrabandDQGTime of DiscoveryDVWKH\DUH

GHILQHGLQ5*³3K\VLFDO3URWHFWLRQ3URJUDPVDW1XFOHDU3RZHU5HDFWRUV'5HYLVLRQDQGLQ

1(, ³7HPSODWH IRU WKH 6HFXULW\ 3ODQ 7UDLQLQJ DQG 4XDOLILFDWLRQ 3ODQ 6DIHJXDUGV

&RQWLQJHQF\3ODQ>DQG,QGHSHQGHQW6SHQW)XHO6WRUDJH,QVWDOODWLRQ6HFXULW\3URJUDP@'

x

)3/ZLOOFRQWDFWWKHORFDO)$$FRQWUROWRZHUDXWKRULW\WRHVWDEOLVK DQRWLILFDWLRQDJUHHPHQWIRU

VXVSLFLRXVDLUFUDIWDFWLYLW\DQGXSRQILQDOL]DWLRQZLOOGRFXPHQWWKHORFDO)$$FRQWUROWRZHUDXWKRULW\

FRQWDFW LQIRUPDWLRQ LQ 7XUNH\ 3RLQW VHFXULW\ FRPPXQLFDWLRQ SURFHGXUHV 'XULQJ WKH SHULRG RI

H[HPSWLRQ)3/ZLOOFRQWLQXHWRXVHWKH)$$FRQWDFWSURFHGXUHVDQGSKRQHQXPEHUFXUUHQWO\LQ

SODFH

x

$W7XUNH\3RLQW)3/FRPSOLHVZLWKWKHVHFXULW\HYHQWUHSRUWLQJUHTXLUHPHQWVFRQVLVWHQWZLWK5*

5HYLVLRQ DQG */ DQG ZLOO FRQWLQXH LPSOHPHQWDWLRQ LQ WKLV PDQQHU GXULQJ WKH

SURSRVHGSHULRGRIH[HPSWLRQ

o

7KLVLQFOXGHVWKHDFFHOHUDWHGFDOOWRWKH15&DVLWSHUWDLQVWR15&%XOOHWLQ

x

$W7XUNH\3RLQW)3/UHPDLQVFDSDEOHRIPDNLQJYROXQWDU\UHSRUWVRIVXVSLFLRXVDFWLYLWLHVDQGZLOO

FRQWLQXHLPSOHPHQWDWLRQLQWKLVPDQQHUGXULQJWKHSURSRVHGSHULRGRIH[HPSWLRQ

x

)3/LVLQIXOOFRPSOLDQFHZLWKWKHQHZ)LWQHVVIRU'XW\5XOHSURPXOJDWHGLQ

x

)3/EHOLHYHVWKHEXUGHQDVVRFLDWHGZLWKUHZRUNLVXQQHFHVVDU\ZKLOHDZDLWLQJFODULW\LQWKHILQDO

UXOHZLWKUHYLVLRQRIWKHDVVRFLDWHG5*V6HYHUDOH[DPSOHVRIZKHUHUHZRUNZLOOEHUHTXLUHGDUH

7XUNH\3RLQW1XFOHDU3ODQW

/

'RFNHW1RVDQG

(QFORVXUH

3DJHRI

3DUW([HPSWLRQ5HTXHVW5HJDUGLQJ(QKDQFHG:HDSRQV

)LUHDUPV%DFNJURXQG&KHFNVDQG6HFXULW\(YHQW1RWLILFDWLRQV)LQDO5XOH

o

5HYLVLRQVRIDVVRFLDWHGSURFHGXUHVSURFHVVHVMREDLGVWUDLQLQJPDWHULDOVDQGOHVVRQSODQV

WKDWDUHXVHGWRGHVFULEHDQGHODERUDWHRQUHSRUWLQJUHTXLUHPHQWV

o

&RRUGLQDWLRQRIZRUNPDQDJHPHQWDQGUHVRXUFHVWRDOLJQZLWKVWDWLRQRXWDJHVFKHGXOHV

o

7KHUHWUDLQLQJRILPSDFWHGVWDWLRQSHUVRQQHOZLWKXSGDWHGLQIRUPDWLRQFRQWDLQHGZLWKLQWKH

UHYLVHGJXLGDQFHGRFXPHQWVLQFOXGLQJ

-

6HFXULW\

-

5HJXODWRU\&RPSOLDQFH

-

(PHUJHQF\3UHSDUHGQHVV

-

5DGLDWLRQ3URWHFWLRQ

-

2SHUDWLRQVLQFOXGLQJWKH$FFUHGLWHG7UDLQLQJ3URJUDPUHTXLUHPHQWVIRUWKH6\VWHPDWLF

$SSURDFK WR 7UDLQLQJ 6$7 SURFHVV ([DPSOHV RI HOHPHQWV WKDW GULYH WKH QXPEHU RI

DYDLODEOHZHHNVWRWUDLQRSHUDWRUVZLWKLQD\HDUDUH

f

)3/H[HFXWHVIRXUGD\DQGPLQLGD\F\FOHVSHU\HDU

f

)3/UHTXLUHVZHHNVIRUHDFKF\FOHRIWUDLQLQJEDVHGRQWKHQXPEHURIRSHUDWLQJ

FUHZVDQGOLFHQVHGRSHUDWRUVDW7XUNH\3RLQW

f

)3/LVUHTXLUHGWRDGPLQLVWHUDQH[DPF\FOHIRUOLFHQVHGRSHUDWRUVHDFK\HDU

f

)3/LVUHTXLUHGWRLQFRUSRUDWHFHUWDLQHOHPHQWVZLWKLQWKH\HDUWUDLQLQJF\FOHWKDW

LQFOXGHRXWDJHDSSOLFDEOHREMHFWLYHVLQFOXGLQJEXWQRWOLPLWHGWRFRUHFKDQJHVSODQW

PRGLILFDWLRQVORZHUSODQW0RGHRSHUDWLRQV

-867,),&$7,21)25(;(037,21

%DVHGRQ15&¶VSURMHFWHGWLPHOLQHIRUFRPSOHWLRQRIUHYLVLRQWRWKHDSSOLFDEOH5*VDVVRFLDWHGZLWKWKH

ILQDOUXOHDQGWKHWLPHQHFHVVDU\IRU)3/WRXQGHUJRFKDQJHPDQDJHPHQWSURFHVVHVDGHTXDWHO\WR

LQFOXGHWKHQXPEHURIWUDLQLQJZHHNVWKDWZLOOEHUHTXLUHG)3/LVUHTXHVWLQJDFRPSOLDQFHGDWHIRUWKH

ILQDOUXOHRI'HFHPEHURUGD\VDIWHUSXEOLFDWLRQRIILQDO5*ZKLFKHYHULVODWHU

$VVWDWHGDERYHGXULQJWKHSURSRVHGSHULRGRIH[HPSWLRQ)3/ZLOOFRQWLQXHWRLPSOHPHQWWKH7XUNH\

3RLQW6HFXULW\3ODQDVFXUUHQWO\GRFXPHQWHG6LQFH7XUNH\3RLQWRSHUDWLRQKDVEHHQOLFHQVHGE\WKH

15&WKH15&KDVGHHPHGWKDWWKH7XUNH\3RLQW6HFXULW\3ODQSURYLGHVUHDVRQDEOHDVVXUDQFHRI

VDIHW\DQGVHFXULW\7KHGHOD\LQLPSOHPHQWDWLRQRIWKHILQDOUXOHZLOOQRWLPSDFWSURSHULPSOHPHQWDWLRQ

RIWKHFXUUHQW7XUNH\3RLQW6HFXULW\3ODQDQGZLOOHQVXUHWKDWWKHILQDOUXOHLVHIIHFWLYHO\LPSOHPHQWHG

7KXVJUDQWLQJRIWKLVH[HPSWLRQZLOOQRWHQGDQJHUWKHOLIHRUSURSHUW\RUFRPPRQGHIHQVHDQGVHFXULW\

,PSOHPHQWDWLRQRIWKHILQDOUXOHZLWKRXWIXUWKHULQWHUIDFHFODULW\DQGUHILQHGJXLGDQFHPD\UHVXOWLQ

XQLQWHQGHGFRQVHTXHQFHVZKLFKFRXOGUHGXFHWKHHIIHFWLYHQHVVRIWKHFXUUHQW7XUNH\3RLQW6HFXULW\

3ODQ 7KHUHIRUH LW LV LQ WKH SXEOLF¶V LQWHUHVW WKDW WKH 7XUNH\ 3RLQW 6HFXULW\ 3ODQ DQG DVVRFLDWHG

SURFHGXUHVDQGSURFHVVHVFRPSUHKHQVLYHO\LPSOHPHQWWKHILQDOUXOHUHJXODWLRQVFRQVLVWHQWZLWKWKH

DSSOLFDEOHUHJXODWRU\JXLGDQFHRQFHUHVROXWLRQRILGHQWLILHGLVVXHVKDVEHHQDFKLHYHG

7KHJUDQWLQJRIWKLVH[HPSWLRQZRXOGQRWYLRODWHWKH$WRPLF(QHUJ\$FW$($DVWKHFRPSOLDQFHGDWH

IRU WKH ILQDO UXOH LV QRW UHTXLUHG QRU VSHFLILHG LQ WKH $($ DV DPHQGHG DQ\ SURYLVLRQV RI WKH

&RPPLVVLRQ¶VUHJXODWLRQVRUDQ\RWKHUOHJDOO\ELQGLQJUHTXLUHPHQWVLPSRVHGE\WKH&RPPLVVLRQ

7KXVLVVXDQFHRIWKLVH[HPSWLRQUHTXHVWZRXOGEHFRQVLVWHQWZLWK&)5VLQFHLWLV³DXWKRUL]HG

E\ODZDQGZLOOQRWHQGDQJHUOLIHRUSURSHUW\RUWKHFRPPRQGHIHQVHDQGVHFXULW\DQG>LV@RWKHUZLVHLQ

WKHSXEOLFLQWHUHVW'

7XUNH\3RLQW1XFOHDU3ODQW

/

'RFNHW1RVDQG

(QFORVXUH

3DJHRI

3DUW([HPSWLRQ5HTXHVW5HJDUGLQJ(QKDQFHG:HDSRQV

)LUHDUPV%DFNJURXQG&KHFNVDQG6HFXULW\(YHQW1RWLILFDWLRQV)LQDO5XOH

(19,5210(17$/&216,'(5$7,21

)3/KDVHYDOXDWHGWKHSURSRVHGH[HPSWLRQIRUHQYLURQPHQWDOFRQVLGHUDWLRQVDQGGHWHUPLQHGWKDWWKH

SURSRVHG H[HPSWLRQ ZRXOG FKDQJH D UHTXLUHPHQW ZLWK UHVSHFW WR LQVWDOODWLRQ RU XVH RI D IDFLOLW\

FRPSRQHQWORFDWHGZLWKLQWKHUHVWULFWHGDUHDDVGHILQHGLQ&)5RUZRXOGFKDQJHDQLQVSHFWLRQ

RU VXUYHLOODQFH UHTXLUHPHQW +RZHYHU WKH SURSRVHG H[HPSWLRQ GRHV QRW LQYROYH L D VLJQLILFDQW

KD]DUGVFRQVLGHUDWLRQLLDVLJQLILFDQWFKDQJHLQWKHW\SHVRUVLJQLILFDQWLQFUHDVHLQWKHDPRXQWVRI

DQ\ HIIOXHQWV WKDW PD\ EH UHOHDVHG RIIVLWH RU LLL D VLJQLILFDQW LQFUHDVH LQ LQGLYLGXDO RU FXPXODWLYH

RFFXSDWLRQDOUDGLDWLRQH[SRVXUH$FFRUGLQJO\WKHHOLJLELOLW\FULWHULRQIRUFDWHJRULFDOH[FOXVLRQVHWIRUWK

LQ&)5FLVPHWDQGSXUVXDQWWR&)5EDQHQYLURQPHQWDOLPSDFWVWDWHPHQWRU

HQYLURQPHQWDODVVHVVPHQWLVQRWUHTXLUHGLQFRQQHFWLRQZLWKWKHSURSRVHGH[HPSWLRQ

v t e Letter Sequence Other
EPID:L-2023-LLE-0038, (Approved, Closed)
Initiation Acceptance... Supplement Administration Questions Answers Results Approval Other: L-2023-146, Part 73 Exemption Request Regarding Enhanced Weapons, Firearms Background Checks, and Security Event Notifications Final Rule
MONTHYEAR2023-11-29 [Table View]

L-2023-146, Part 73 Exemption Request Regarding Enhanced Weapons, Firearms Background Checks, and Security Event Notifications Final Rule: Difference between revisions

Latest revision as of 05:24, 21 February 2026

Text

Navigation menu

@@ Line 19: / Line 19: @@
 =Text=
 {{#Wiki_filter:1RYHPEHU
-                                                                                                     /
+/
-                                                                                                    &)5
+&)5
+)ORULGD3RZHU	/LJKW&RPSDQ\
+(QGHDYRU'U-XSLWHU)/
 XFOHDU5HJXODWRU\&RPPLVVLRQ
 $WWQ'RFXPHQW&RQWURO'HVN
@@ Line 28: / Line 31: @@
-H 7XUNH\3RLQW1XFOHDU3ODQW8QLWVDQG
+H
-           'RFNHW1RVDQG
+XUNH\3RLQW1XFOHDU3ODQW8QLWVDQG
+'RFNHW1RVDQG
 HQHZHG)DFLOLW\2SHUDWLQJ/LFHQVHV'35DQG'35
 DUW([HPSWLRQ5HTXHVW5HJDUGLQJ(QKDQFHG:HDSRQV)LUHDUPV%DFNJURXQG&KHFNVDQG
 HFXULW\(YHQW1RWLILFDWLRQV)LQDO5XOH
-XUVXDQWWR&)5)ORULGD3RZHU /LJKW&RPSDQ\ )3/ KHUHE\UHTXHVWVDQH[HPSWLRQIURPWKH
+XUVXDQWWR&)5)ORULGD3RZHU	/LJKW&RPSDQ\)3/KHUHE\UHTXHVWVDQH[HPSWLRQIURPWKH
 (QKDQFHG:HDSRQV)LUHDUPV%DFNJURXQG&KHFNVDQG6HFXULW\(YHQW1RWLILFDWLRQVILQDOUXOHIRU7XUNH\
-RLQW1XFOHDU3ODQW8QLWVDQG 7XUNH\3RLQW ,QDFFRUGDQFHZLWKFederal RegisterQRWLFH)5
+RLQW1XFOHDU3ODQW8QLWVDQG7XUNH\3RLQW,QDFFRUGDQFHZLWKFederal RegisterQRWLFH)5
 FRPSOLDQFHZLWKWKHILQDOUXOHUHTXLUHPHQWVPXVWEHDFKLHYHGE\-DQXDU\7KHSURSRVHGH[HPSWLRQ
 ZRXOG UHOLHYH ILQDO UXOH FRPSOLDQFH DW 7XUNH\ 3RLQW XQWLO 'HFHPEHU   RU  GD\V IROORZLQJ
-SXEOLFDWLRQRIWKH5HJXODWRU\*XLGHV 5*V GHVFULEHGLQ)5ZKLFKHYHULVODWHU
+SXEOLFDWLRQRIWKH5HJXODWRU\*XLGHV5*VGHVFULEHGLQ)5ZKLFKHYHULVODWHU
-Q 0DUFK   WKH 1XFOHDU 5HJXODWRU\ &RPPLVVLRQ 15&  QRWLFHG LQ WKH Federal Register WKH
+Q 0DUFK   WKH 1XFOHDU 5HJXODWRU\ &RPPLVVLRQ 15& QRWLFHG LQ WKH Federal Register WKH
 (QKDQFHG :HDSRQV )LUHDUPV %DFNJURXQG &KHFNV DQG 6HFXULW\ (YHQW 1RWLILFDWLRQV ILQDO UXOH KHUHWR
-NQRZQDVWKH&#xb3;ILQDOUXOH' ZLWKDQ$SULOHIIHFWLYHGDWHDQGD-DQXDU\FRPSOLDQFHGDWH,Q
+NQRZQDVWKH&#xb3;ILQDOUXOH'ZLWKDQ$SULOHIIHFWLYHGDWHDQGD-DQXDU\FRPSOLDQFHGDWH,Q
 UHVSRQVH)3/SHUIRUPHGDSUHOLPLQDU\JDSDQDO\VLVRIWKHQHZYHUVXVFXUUHQWUHTXLUHPHQWVDSSOLFDEOH
 UHJXODWRU\JXLGDQFHDQG7XUNH\3RLQWVHFXULW\SROLFLHVDQGSURFHGXUHVLQFOXGLQJVHFXULW\DQGRSHUDWLRQV
@@ Line 52: / Line 56: @@
 ZKLFKHYHULVODWHULVEDVHGRQWKH15&&#xb6;VSURMHFWHGWLPHOLQHIRULVVXLQJUHYLVHGUHJXODWRU\JXLGDQFH
 DQGWKHWLPHWRFRPSOHWHWKHUHTXLVLWHFKDQJHPDQDJHPHQWSURFHVVHV'XULQJWKHSHULRGRIH[HPSWLRQ
-)3/ZLOOFRQWLQXHWRLPSOHPHQWWKH7XUNH\3RLQWVHFXULW\SODQFRQVLVWHQWZLWK5*5HYLVLRQ $'$06
+)3/ZLOOFRQWLQXHWRLPSOHPHQWWKH7XUNH\3RLQWVHFXULW\SODQFRQVLVWHQWZLWK5*5HYLVLRQ$'$06
-$FFHVVLRQ1R0/ DQG*HQHULF/HWWHU $'$06$FFHVVLRQ1R0/
+$FFHVVLRQ1R0/DQG*HQHULF/HWWHU$'$06$FFHVVLRQ1R0/
 KHHQFORVXUHWRWKLVOHWWHUSURYLGHVDQHYDOXDWLRQRIWKHSURSRVHGH[HPSWLRQ7KHHYDOXDWLRQGHPRQVWUDWHV
@@ Line 64: / Line 68: @@
 KLVOHWWHUFRQWDLQVQRRUUHYLVHGUHJXODWRU\FRPPLWPHQWV
-KRXOG \RX KDYH DQ\ TXHVWLRQV UHJDUGLQJ WKLV VXEPLVVLRQ SOHDVH FRQWDFW 0U .HQQHWK 0DFN )OHHW
+KRXOG \RX KDYH DQ\ TXHVWLRQV UHJDUGLQJ WKLV VXEPLVVLRQ SOHDVH FRQWDFW 0U.HQQHWK 0DFN )OHHW
 /LFHQVLQJ0DQDJHUDW
-)ORULGD3RZHU /LJKW&RPSDQ\
-(QGHDYRU'U-XSLWHU)/
-                                                                                 /
-DJHRI
+/
+DJHRI
@@ Line 84: / Line 90: @@
-Digitally signed by James Michael Davis James            DN: cn=James Michael Davis, o=Licensing, ou=NextEra Duane
-                Arnold, Michael Davis email=j.michael.davis@nee.com,       c=US
+BBBBBBBBBBBBBBBBBBBBB
-                                                         , for BBBBBBBBBBBBBBBBBBBBB
-Date: 2023.11.16 12:17:37 -06'00'
 'LDQQH6WUDQG
 *HQHUDO0DQDJHU5HJXODWRU\$IIDLUV
-)ORULGD3RZHU /LJKW&RPSDQ\
+)ORULGD3RZHU	/LJKW&RPSDQ\
@@ Line 96: / Line 100: @@
 HTXHVWIRU([HPSWLRQIURP)LQDO5XOH&RPSOLDQFH'DWH
-FF     8615&5HJLRQDO$GPLQLVWUDWRU5HJLRQ,,
+FF
+&5HJLRQDO$GPLQLVWUDWRU5HJLRQ,,
 &3URMHFW0DQDJHU7XUNH\3RLQW1XFOHDU*HQHUDWLQJ6WDWLRQ
 &6HQLRU5HVLGHQW,QVSHFWRU7XUNH\3RLQW1XFOHDU*HQHUDWLQJ6WDWLRQ
 U&ODUN(OGUHGJH)ORULGD'HSDUWPHQWRI+HDOWK
+, for James Michael Davis Digitally signed by James Michael Davis DN: cn=James Michael Davis, o=Licensing, ou=NextEra Duane
+: Arnold, email=j.michael.davis@nee.com, c=US Date: 2023.11.16 12:17:37 -06'00'
-XUNH\3RLQW1XFOHDU3ODQW                                                                             /
+XUNH\3RLQW1XFOHDU3ODQW
-'RFNHW1RVDQG                                                                             (QFORVXUH
+/
+'RFNHW1RVDQG
+(QFORVXUH
 DJHRI
 DUW([HPSWLRQ5HTXHVW5HJDUGLQJ(QKDQFHG:HDSRQV
-                     )LUHDUPV%DFNJURXQG&KHFNVDQG6HFXULW\(YHQW1RWLILFDWLRQV)LQDO5XOH
+)LUHDUPV%DFNJURXQG&KHFNVDQG6HFXULW\(YHQW1RWLILFDWLRQV)LQDO5XOH
  %$&.*5281'
-Q0DUFKWKH1XFOHDU5HJXODWRU\&RPPLVVLRQ 15& LVVXHGD)LQDO5XOHHQWLWOHG&#xb3;(QKDQFHG
+Q0DUFKWKH1XFOHDU5HJXODWRU\&RPPLVVLRQ15&LVVXHGD)LQDO5XOHHQWLWOHG&#xb3;(QKDQFHG
-:HDSRQV)LUHDUPV%DFNJURXQG&KHFNVDQG6HFXULW\(YHQW1RWLILFDWLRQV' KHUHWRNQRZQDVWKH&#xb3;ILQDO
+:HDSRQV)LUHDUPV%DFNJURXQG&KHFNVDQG6HFXULW\(YHQW1RWLILFDWLRQV'KHUHWRNQRZQDVWKH&#xb3;ILQDO
-UXOH' $VVSHFLILHGLQWKHFederal Register>)5@WKHILQDOUXOHKDVDQHIIHFWLYHGDWHRI$SULO
+UXOH'$VVSHFLILHGLQWKHFederal Register>)5@WKHILQDOUXOHKDVDQHIIHFWLYHGDWHRI$SULO
-     DQGDFRPSOLDQFHGDWHRI-DQXDU\7KHILQDOUXOHFRQWDLQVQHZHOHPHQWVVXFKDV
+DQGDFRPSOLDQFHGDWHRI-DQXDU\7KHILQDOUXOHFRQWDLQVQHZHOHPHQWVVXFKDV
-x 1HZWHUPLQRORJ\DQGDVVRFLDWHGUHTXLUHPHQWVFRYHULQJ&#xb3;FRQGLWLRQVDGYHUVHWRVHFXULW\'
+x
-x 1HZGHILQLWLRQVRIWKHWHUP&#xb3;FRQWUDEDQG'DQG&#xb3;WLPHRIGLVFRYHU\'LQ&)5
+HZWHUPLQRORJ\DQGDVVRFLDWHGUHTXLUHPHQWVFRYHULQJ&#xb3;FRQGLWLRQVDGYHUVHWRVHFXULW\'
-x 1HZSRLQWRIFRQWDFWUHTXLUHPHQWVZLWKWKH)HGHUDO$YLDWLRQ$GPLQLVWUDWLRQ )$$
+x
-x &KDQJHVUHSRUWLQJUHTXLUHPHQWVDSSOLFDEOHWRVHFXULW\HYHQWVIURP
+HZGHILQLWLRQVRIWKHWHUP&#xb3;FRQWUDEDQG'DQG&#xb3;WLPHRIGLVFRYHU\'LQ&)5
-o KRXUQRWLILFDWLRQVDQGKRXUUHFRUGLQJRIVHFXULW\HYHQWV
+x
+HZSRLQWRIFRQWDFWUHTXLUHPHQWVZLWKWKH)HGHUDO$YLDWLRQ$GPLQLVWUDWLRQ)$$
+x
+&KDQJHVUHSRUWLQJUHTXLUHPHQWVDSSOLFDEOHWRVHFXULW\HYHQWVIURP
+o
+KRXUQRWLILFDWLRQVDQGKRXUUHFRUGLQJRIVHFXULW\HYHQWV
 REHFRPH
-o KRXUKRXUKRXUQRWLILFDWLRQVDQGKRXUUHFRUGLQJRIVHFXULW\HYHQWV
+o
-o &RGLILHVWKHDFFHOHUDWHGFDOOWRWKH15&IURP15&%XOOHWLQ
+KRXUKRXUKRXUQRWLILFDWLRQVDQGKRXUUHFRUGLQJRIVHFXULW\HYHQWV
+o
-     &RQFXUUHQWZLWKWKHSXEOLFDWLRQRIWKHILQDOUXOHWKH15&LVVXHGWKHIROORZLQJ5HJXODWRU\*XLGHV 5*
+&RGLILHVWKHDFFHOHUDWHGFDOOWRWKH15&IURP15&%XOOHWLQ
+&RQFXUUHQWZLWKWKHSXEOLFDWLRQRIWKHILQDOUXOHWKH15&LVVXHGWKHIROORZLQJ5HJXODWRU\*XLGHV5*
 WRVXSSRUWWKHLPSOHPHQWDWLRQUHTXLUHPHQWVVHWIRUWKLQWKHILQDOUXOH
-x 5*  &#xb3;3K\VLFDO 6HFXULW\ (YHQW 1RWLILFDWLRQV 5HSRUWV DQG 5HFRUGV' 5HYLVLRQ  $'$06
+x
-           $FFHVVLRQ1RV0/$0/$
+*  &#xb3;3K\VLFDO 6HFXULW\ (YHQW 1RWLILFDWLRQV 5HSRUWV DQG 5HFRUGV' 5HYLVLRQ  $'$06
-x 5*  &#xb3;(QKDQFHG :HDSRQV $XWKRULW\ 3UHHPSWLRQ $XWKRULW\ DQG )LUHDUPV %DFNJURXQG
+$FFHVVLRQ1RV0/$0/$
-           &KHFNV'5HYLVLRQ $'$06$FFHVVLRQ1R0/$
+x
-x 5*&#xb3;6XVSLFLRXV$FWLYLW\5HSRUWV'5HYLVLRQ $'$06$FFHVVLRQ1R0/$
+*  &#xb3;(QKDQFHG :HDSRQV $XWKRULW\ 3UHHPSWLRQ $XWKRULW\ DQG )LUHDUPV %DFNJURXQG
+&KHFNV'5HYLVLRQ$'$06$FFHVVLRQ1R0/$
+x
+*&#xb3;6XVSLFLRXV$FWLYLW\5HSRUWV'5HYLVLRQ$'$06$FFHVVLRQ1R0/$
-     'XULQJ DQ $XJXVW   SXEOLF PHHWLQJ $'$06 $FFHVVLRQ 1R 0/$  WKH 15& VWDII
+'XULQJDQ$XJXVWSXEOLFPHHWLQJ$'$06$FFHVVLRQ1R0/$WKH15&VWDII
 DFNQRZOHGJHGDPELJXLWLHVDQGLQFRQVLVWHQFLHVLQWKHILQDOUXOHDQGDVVRFLDWHGJXLGDQFHDQGSURSRVHG
 DUHYLVLRQGDWHIRUFODULI\LQJWKHJXLGDQFHWKURXJKSXEOLFDWLRQE\$SULOZKLFKLVWKUHHPRQWKVDIWHU
@@ Line 140: / Line 161: @@
  %$6,6)25(;(037,215(48(67
-     &)56SHFLILF([HPSWLRQVDOORZVWKH&RPPLVVLRQWRJUDQWH[HPSWLRQVIURPWKHUHTXLUHPHQWV
+&)56SHFLILF([HPSWLRQVDOORZVWKH&RPPLVVLRQWRJUDQWH[HPSWLRQVIURPWKHUHTXLUHPHQWV
 RI3DUW&#xb3;DVLWGHWHUPLQHVDUHDXWKRUL]HGE\ODZDQGZLOOQRWHQGDQJHUOLIHRUSURSHUW\RUWKHFRPPRQ
-GHIHQVH DQGVHFXULW\ DQGDUHRWKHUZLVH LQ WKH SXEOLF LQWHUHVW'  $V H[SODLQHGEHORZ WKLV H[HPSWLRQ
+GHIHQVHDQGVHFXULW\DQGDUHRWKHUZLVHLQWKHSXEOLFLQWHUHVW'$VH[SODLQHGEHORZWKLVH[HPSWLRQ
 UHTXHVWPHHWVWKHFULWHULDVHWIRUWKLQ&)5
 KHLQGXVWU\KDVLGHQWLILHGVHYHUDOLVVXHVLQWKHILQDOUXOHDQGWKHVXSSRUWLQJ5HJXODWRU\*XLGHVWKDW
 UHTXLUHFODULILFDWLRQIURPWKH15&IRU)3/WRVXFFHVVIXOO\LPSOHPHQWWKHUHTXLUHPHQWVDW7XUNH\3RLQW
-     $VPHQWLRQHGDERYHWKH15&LVFXUUHQWO\GHYHORSLQJDUHVROXWLRQIRUWKHFRGHODQJXDJHLVVXHVDQG
+$VPHQWLRQHGDERYHWKH15&LVFXUUHQWO\GHYHORSLQJDUHVROXWLRQIRUWKHFRGHODQJXDJHLVVXHVDQG
 DGGUHVVLQJJXLGDQFHUHYLVLRQV$VGLVFXVVHGLQWKH$XJXVWSXEOLFPHHWLQJWKH15&SODQV
 WRLVVXHDGGLWLRQDOJXLGDQFHLQ$SULOZKLFKLVWKUHHPRQWKVDIWHUWKHFRPSOLDQFHGDWHRI-DQXDU\
-     :LWKRXWDGGLWLRQDOJXLGDQFHHQIRUFHPHQWUHOLHIRUDWHPSRUDU\H[HPSWLRQLWLVOLNHO\WKDW)3/
+:LWKRXWDGGLWLRQDOJXLGDQFHHQIRUFHPHQWUHOLHIRUDWHPSRUDU\H[HPSWLRQLWLVOLNHO\WKDW)3/
 ZLOO QHHG WR PDNH FKDQJHV WR LWV SK\VLFDO VHFXULW\ SODQV DQG SURFHVVHV WZLFH  RQFH WR DFKLHYH
-FRPSOLDQFHZLWKLWVRZQLQWHUSUHWDWLRQRIWKHILQDOUXOH ZLWKRXWWKHEHQHILWRIWKHDGGLWLRQDOJXLGDQFH
+FRPSOLDQFHZLWKLWVRZQLQWHUSUHWDWLRQRIWKHILQDOUXOHZLWKRXWWKHEHQHILWRIWKHDGGLWLRQDOJXLGDQFH
-EHLQJ GHYHORSHG E\ 15&  DQG DJDLQ IROORZLQJ LVVXDQFH RI WKH UHYLVHG UHJXODWRU\ JXLGDQFH  7KH
+EHLQJ GHYHORSHG E\ 15& DQG DJDLQ IROORZLQJ LVVXDQFH RI WKH UHYLVHG UHJXODWRU\ JXLGDQFH  7KH
-DPELJXLW\ DQG FRQIOLFW FUHDWHG E\ WKH ILQDO UXOH ODQJXDJH DQG H[LVWLQJ JXLGDQFH VRPH RI ZKLFK DUH
+DPELJXLW\DQGFRQIOLFWFUHDWHGE\WKHILQDOUXOHODQJXDJHDQGH[LVWLQJJXLGDQFHVRPHRIZKLFKDUH
 &#xb3;(QKDQFHG:HDSRQV)LUHDUPV%DFNJURXQG&KHFNVDQG6HFXULW\(YHQW1RWLILFDWLRQV)LQDOUXOHDQGJXLGDQFH'
-)HG5HJ 0DUFK
+)HG5HJ0DUFK
-XUNH\3RLQW1XFOHDU3ODQW                                                                                   /
+XUNH\3RLQW1XFOHDU3ODQW
-'RFNHW1RVDQG                                                                                   (QFORVXUH
+/
+'RFNHW1RVDQG
+(QFORVXUH
 DJHRI
 DUW([HPSWLRQ5HTXHVW5HJDUGLQJ(QKDQFHG:HDSRQV
-                      )LUHDUPV%DFNJURXQG&KHFNVDQG6HFXULW\(YHQW1RWLILFDWLRQV)LQDO5XOH
+)LUHDUPV%DFNJURXQG&KHFNVDQG6HFXULW\(YHQW1RWLILFDWLRQV)LQDO5XOH
 GHVFULEHGEHORZFRXOGUHVXOWLQXQQHFHVVDU\FRQIXVLRQWKDWZLOOGHWUDFWIURPWKHFXUUHQWKLJKOHYHORI
 DVVXUDQFHSURYLGHGE\WKHH[LVWLQJ7XUNH\3RLQWSK\VLFDOVHFXULW\SURJUDP$FFRUGLQJO\)3/GRHVQRW
 EHOLHYHLPSOHPHQWDWLRQRIWKHILQDOUXOHSULRUWRLVVXDQFHRIDGGLWLRQDOFODULI\LQJJXLGDQFHDWDPLQLPXP
-LV LQ WKH EHVW LQWHUHVW RI WKH SXEOLF  /LVWHG EHORZ DUH H[DPSOHV RI LVVXHV ZLWK WKH ILQDO UXOH ZKLFK
+LVLQWKHEHVWLQWHUHVWRIWKHSXEOLF/LVWHGEHORZDUHH[DPSOHVRILVVXHVZLWKWKHILQDOUXOHZKLFK
 QHFHVVLWDWHDWHPSRUDU\H[HPSWLRQIRU7XUNH\3RLQW7KHH[DPSOHVDUHQRWDOOHQFRPSDVVLQJDQGDQ
 H[HPSWLRQ IURP WKH HQWLUHW\ RI WKH ILQDO UXOH LV UHTXHVWHG WR FRPSOHWH )3/&#xb6;V DQDO\VLV RI WKH QHZ
-UHTXLUHPHQWV UHYLVLRQV WR DSSOLFDEOH UHJXODWRU\ JXLGDQFH DQG WKH LPSDFW WR 7XUNH\ 3RLQW SK\VLFDO
+UHTXLUHPHQWVUHYLVLRQVWRDSSOLFDEOHUHJXODWRU\JXLGDQFHDQGWKHLPSDFWWR7XUNH\3RLQWSK\VLFDO
 VHFXULW\SODQSROLFLHVDQGSURFHGXUHVLQFOXGLQJVHFXULW\DQGRSHUDWLRQVSHUVRQQHOWUDLQLQJ'XULQJWKH
 SURSRVHGSHULRGRIH[HPSWLRQ)3/ZLOOFRQWLQXHWRLPSOHPHQWWKH7XUNH\3RLQWVHFXULW\SODQFRQVLVWHQW
-ZLWK 5*  5HYLVLRQ  $'$06 $FFHVVLRQ 1R 0/  DQG *HQHULF /HWWHU */
+ZLWK 5*  5HYLVLRQ  $'$06 $FFHVVLRQ 1R 0/ DQG *HQHULF /HWWHU */
-      $'$06$FFHVVLRQ1R0/
+$'$06$FFHVVLRQ1R0/
-     &RQGLWLRQV$GYHUVHWR6HFXULW\
+&RQGLWLRQV$GYHUVHWR6HFXULW\
 KHLQWURGXFWLRQRIWKHWHUP&#xb3;FRQGLWLRQVDGYHUVHWRVHFXULW\'ZLWKLQ&)5LVXQGHILQHG
@@ Line 185: / Line 211: @@
 DFFRUGDQFHZLWK&)53DUW$SSHQGL[%&ULWHULRQ;9,$VDUHVXOW)3/KDVGHYHORSHG
 SURFHGXUHVDQGSURFHVVHVWRGHWHUPLQHFRQGLWLRQVDGYHUVHWRTXDOLW\DVLWUHODWHVWRWKHVHFXULW\
-RUJDQL]DWLRQ HJ&RQGLWLRQ$GYHUVHWR5HJXODWRU\&RPSOLDQFH
+RUJDQL]DWLRQHJ&RQGLWLRQ$GYHUVHWR5HJXODWRU\&RPSOLDQFH
-x   )3/1XFOHDU)OHHWSURFHGXUH3,$$&RQGLWLRQ5HSRUWLQJGHILQHVVSHFLILFHYHQWV
+x
-RU VLWXDWLRQV WKDW UHVXOW LQ D FRQGLWLRQ DGYHUVH WR TXDOLW\ &$4  LQFOXGLQJ VHFXULW\UHODWHG
+)3/1XFOHDU)OHHWSURFHGXUH3,$$&RQGLWLRQ5HSRUWLQJGHILQHVVSHFLILFHYHQWV
-                  &$4VDQGVLJQLILFDQWFRQGLWLRQVDGYHUVHWRTXDOLW\ 6&$4V
+RUVLWXDWLRQVWKDWUHVXOWLQDFRQGLWLRQDGYHUVHWRTXDOLW\&$4LQFOXGLQJVHFXULW\UHODWHG
+&$4VDQGVLJQLILFDQWFRQGLWLRQVDGYHUVHWRTXDOLW\6&$4V
-             *LYHQ WKH UREXVW QDWXUH RI )3/&#xb6;V &RUUHFWLYH $FWLRQ 3URJUDP WKH DGGLWLRQDO GXSOLFDWLRQ RI
+*LYHQ WKH UREXVW QDWXUH RI )3/&#xb6;V &RUUHFWLYH $FWLRQ 3URJUDP WKH DGGLWLRQDO GXSOLFDWLRQ RI
 SURFHGXUHVDQGRUUHYLVLRQRISURFHGXUHVWRDFFRPPRGDWHWKHQHZWHUP&#xb3;FRQGLWLRQVDGYHUVHWR
 VHFXULW\' DGGV DQ XQQHFHVVDU\ DGPLQLVWUDWLYH EXUGHQ ZLWK QR LPSURYHPHQW WR WKH &RUUHFWLYH
-             $FWLRQ3URJUDPWKH7XUNH\3RLQWVHFXULW\SODQRUWRRYHUDOOSXEOLFKHDOWKDQGVDIHW\
+$FWLRQ3URJUDPWKH7XUNH\3RLQWVHFXULW\SODQRUWRRYHUDOOSXEOLFKHDOWKDQGVDIHW\
-         'HILQLWLRQVLQ&)5
+'HILQLWLRQVLQ&)5
 KHQHZGHILQLWLRQVH[SDQGGHILQLWLRQVVSHFLILHGLQ15&HQGRUVHG1(,&#xb3;7HPSODWH
 IRU WKH 6HFXULW\ 3ODQ 7UDLQLQJ DQG 4XDOLILFDWLRQ 3ODQ 6DIHJXDUGV &RQWLQJHQF\ 3ODQ >DQG
-             ,QGHSHQGHQW 6SHQW )XHO 6WRUDJH ,QVWDOODWLRQ 6HFXULW\ 3URJUDP@' 5HYLVLRQ  DQG 5*
+,QGHSHQGHQW 6SHQW )XHO 6WRUDJH,QVWDOODWLRQ 6HFXULW\ 3URJUDP@' 5HYLVLRQ  DQG 5*
-             &#xb3;3K\VLFDO3URWHFWLRQ3URJUDPVDW1XFOHDU3RZHU5HDFWRUV'7KHH[LVWLQJGHILQLWLRQVZHUHDSSOLHG
+&#xb3;3K\VLFDO3URWHFWLRQ3URJUDPVDW1XFOHDU3RZHU5HDFWRUV'7KHH[LVWLQJGHILQLWLRQVZHUHDSSOLHG
 WRGHVLJQVHFXULW\SODQVDQGSURFHGXUHV([DPSOHVRILVVXHVWKHQHZGHILQLWLRQVSUHVHQWLQFOXGH
-x   &RQWUDEDQG6SHFLILFDOO\WKHSDUHQWKHWLFDOGHVFULELQJ&#xb3;RWKHUGDQJHURXVPDWHULDOV'WRLQFOXGH
+x
+&RQWUDEDQG6SHFLILFDOO\WKHSDUHQWKHWLFDOGHVFULELQJ&#xb3;RWKHUGDQJHURXVPDWHULDOV'WRLQFOXGH
 GLVHDVHFDXVLQJDJHQWVUHTXLUHV)3/WRSURWHFWDJDLQVWSHUFHLYHGWKUHDWVEH\RQGWKH'HVLJQ
-                  %DVLV7KUHDW '%7 GHVFULEHGLQ&)5:LWKRXWWKHSURSRVHGH[HPSWLRQDSSOLFDWLRQ
+%DVLV7KUHDW'%7GHVFULEHGLQ&)5:LWKRXWWKHSURSRVHGH[HPSWLRQDSSOLFDWLRQ
 RIWKLVH[SDQGHGGHILQLWLRQZLOOFKDOOHQJH7XUNH\3RLQWVHFXULW\SODQPHWKRGVRIFRPSO\LQJ
-ZLWK J  LL % DQG K ZKLFKVWDWH HPSKDVLVDGGHG
+ZLWKJLL%DQGKZKLFKVWDWHHPSKDVLVDGGHG
-                   J Access controls.
+JAccess controls.
 (1) Consistent with the function of each barrier or barrier system, the licensee shall control personnel, vehicle, and material access, as applicable, at each access control point in accordance with the physical protection program design requirements of &sect;73.55(b).
-(ii) Where vehicle barriers are established, the licensee shall:
+(ii)
-(B) Search vehicles and materials for contraband or other items which could be used to commit radiological sabotage in accordance with paragraph (h) of this section.
+Where vehicle barriers are established, the licensee shall:
+(B) Search vehicles and materials for contraband or other items which could be used to commit radiological sabotage in accordance with paragraph (h) of this section.
-XUNH\3RLQW1XFOHDU3ODQW                                                                           /
+XUNH\3RLQW1XFOHDU3ODQW
-'RFNHW1RVDQG                                                                          (QFORVXUH
+/
+'RFNHW1RVDQG
+(QFORVXUH
 DJHRI
 DUW([HPSWLRQ5HTXHVW5HJDUGLQJ(QKDQFHG:HDSRQV
-                  )LUHDUPV%DFNJURXQG&KHFNVDQG6HFXULW\(YHQW1RWLILFDWLRQV)LQDO5XOH
+)LUHDUPV%DFNJURXQG&KHFNVDQG6HFXULW\(YHQW1RWLILFDWLRQV)LQDO5XOH
-               K Search programs
+KSearch programs
 (1) The objective of the search program is to detect, deter, and prevent the introduction of firearms, explosives, incendiary devices, or other items which could be used to commit radiological sabotage. To accomplish this the licensee shall search individuals, vehicles, and materials consistent with the physical protection program design requirements in paragraph (b) of this section, and the function to be performed at each access control point or portal before granting access.
@@ Line 229: / Line 264: @@
 (iv) Vehicle searches must be accomplished through the use of equipment capable of detecting firearms, explosives, incendiary devices, or other items which could be used to commit radiological sabotage, or through visual and physical searches, or both, to ensure that all items are identified before granting access.
 (3) Protected area searches. Licensees shall search all personnel, vehicles and materials requesting access to protected areas.
 (i) The search for firearms, explosives, incendiary devices, or other items which could be used to commit radiological sabotage shall be accomplished through the use of equipment capable of detecting these items, or through visual and physical searches, or both, to ensure that all items are clearly identified before granting access to protected areas. The licensee shall subject all persons except official Federal, state, and local law enforcement personnel on official duty to these searches upon entry to the protected area. Armed security officers who are on duty and have exited the protected area may re-enter the protected area without being searched for firearms.
-IQRWH J XVHVWKHWHUPFRQWUDEDQGZKLOH K XVHVWHUPLQRORJ\FRQVLVWHQW
+IQRWHJXVHVWKHWHUPFRQWUDEDQGZKLOHKXVHVWHUPLQRORJ\FRQVLVWHQW
-ZLWK WKH GHILQLWLRQ RI FRQWUDEDQG LQ 1(,  DQG 5*   7KH VSHFLILF LQFOXVLRQ RI
+ZLWK WKH GHILQLWLRQ RI FRQWUDEDQG LQ 1(,  DQG 5*  7KH VSHFLILF LQFOXVLRQ RI
-              &#xb3;GLVHDVHFDXVLQJDJHQWV'LQWKHQHZUHJXODWRU\GHILQLWLRQRIFRQWUDEDQGZLOOUHTXLUH)3/WR
+&#xb3;GLVHDVHFDXVLQJDJHQWV'LQWKHQHZUHJXODWRU\GHILQLWLRQRIFRQWUDEDQGZLOOUHTXLUH)3/WR
-PRGLI\LWVVHFXULW\SODQSURFHGXUHVIRUFRPSOLDQFHZLWKSDUDJUDSK J LQZD\VWKDW
+PRGLI\LWVVHFXULW\SODQSURFHGXUHVIRUFRPSOLDQFHZLWKSDUDJUDSKJLQZD\VWKDW
 DUHXQFOHDUDWWKLVWLPH)3/XQGHUVWDQGVWKDWWKH15&LVORRNLQJDWSRWHQWLDOUHVROXWLRQVIRU
 WKLV LVVXH EXW ZLWKRXW IXUWKHU JXLGDQFH RU UXOHPDNLQJ FRPSOLDQFH ZLWK WKLV UHTXLUHPHQW
 FDQQRWEHUHOLDEO\DFKLHYHGZLWKLQWKHH[SHFWHGFRPSOLDQFHSHULRG
-x   Time of Discovery 6SHFLILFDOO\ WKH QHZ GHILQLWLRQ VSHFLILHV WKDW D FRJQL]DQW LQGLYLGXDO &#xb3;LV
+x
+Time of Discovery6SHFLILFDOO\WKHQHZGHILQLWLRQVSHFLILHVWKDWDFRJQL]DQWLQGLYLGXDO&#xb3;LV
 FRQVLGHUHGDQ\RQHZKRE\SRVLWLRQH[SHULHQFHDQGRUWUDLQLQJLVH[SHFWHGWRXQGHUVWDQG
 WKDWDSDUWLFXODUFRQGLWLRQRUHYHQWDGYHUVHO\LPSDFWVVHFXULW\'$W7XUNH\3RLQW)3/DSSOLHV
@@ Line 248: / Line 284: @@
 KHQHZGHILQLWLRQH[SDQGVWKHSRRORISHUVRQQHOSUHYLRXVO\XVHGE\OLFHQVHHVWRGHWHUPLQH
 IRU DQ HYHQW GXH WR WKH XQGHILQHG QDWXUH RI &#xb3;SRVLWLRQ H[SHULHQFH DQGRU WUDLQLQJ'
-              $GGLWLRQDOO\ WKH ORZHU WKUHVKROG IRU UHFRJQLWLRQ RI &#xb3;DGYHUVHO\ LPSDFWV VHFXULW\' YHUVXV
+$GGLWLRQDOO\ WKH ORZHU WKUHVKROG IRU UHFRJQLWLRQ RI &#xb3;DGYHUVHO\ LPSDFWV VHFXULW\' YHUVXV
-              &#xb3;UHFRJQLWLRQ RI YHULILHG GHJUDGDWLRQ RI D VHFXULW\ VDIHJXDUGV PHDVXUH RU D FRQWLQJHQF\
+&#xb3;UHFRJQLWLRQ RI YHULILHG GHJUDGDWLRQ RI D VHFXULW\ VDIHJXDUGV PHDVXUH RU D FRQWLQJHQF\
 VLWXDWLRQ'FRQWULEXWHVWRWKHH[SDQVLRQRIWKHSHUVRQQHOSRRO)3/EHOLHYHVWKHGHILQLWLRQLQ
 (,DQG5*LVWKHDSSURSULDWHWKUHVKROGIRU7 IRUVHFXULW\UHODWHGHYHQWV
 :LWKRXW WKH SURSRVHG H[HPSWLRQ DQG FODULILFDWLRQ IURP QHZ RU UHYLVHG JXLGDQFH WKH
-DSSOLFDWLRQ RI WKLV QHZ GHILQLWLRQ ZLOO UHTXLUH )3/ WR LPSOHPHQW LPPHGLDWH FKDQJHV WR WKH
+DSSOLFDWLRQRIWKLVQHZGHILQLWLRQZLOOUHTXLUH)3/WRLPSOHPHQWLPPHGLDWHFKDQJHVWRWKH
 XUNH\3RLQWVHFXULW\SURJUDPZKLFKUHYLVHWUDLQLQJPRGXOHVIRUJHQHUDOSODQWHPSOR\HHV
-XUNH\3RLQW1XFOHDU3ODQW                                                                               /
+XUNH\3RLQW1XFOHDU3ODQW
-'RFNHW1RVDQG                                                                              (QFORVXUH
+/
+'RFNHW1RVDQG
+(QFORVXUH
 DJHRI
 DUW([HPSWLRQ5HTXHVW5HJDUGLQJ(QKDQFHG:HDSRQV
-                      )LUHDUPV%DFNJURXQG&KHFNVDQG6HFXULW\(YHQW1RWLILFDWLRQV)LQDO5XOH
+)LUHDUPV%DFNJURXQG&KHFNVDQG6HFXULW\(YHQW1RWLILFDWLRQV)LQDO5XOH
-SRWHQWLDOO\LQFOXGLQJDSSOLFDEOH1$17H/WUDLQLQJ WRH[SDQGUHVSRQVLELOLW\IRUHVWDEOLVKLQJ
+SRWHQWLDOO\LQFOXGLQJDSSOLFDEOH1$17H/WUDLQLQJWRH[SDQGUHVSRQVLELOLW\IRUHVWDEOLVKLQJ
 WLPHRIGLVFRYHU\DFURVVDEURDGVSHFWUXPRIVWDWLRQSHUVRQQHODVFRJQL]DQWLQGLYLGXDOV
-       )HGHUDO$YLDWLRQ$GPLQLVWUDWLRQ )$$ /RFDO&RQWURO7RZHU3RLQWRI&RQWDFW
+)HGHUDO$YLDWLRQ$GPLQLVWUDWLRQ)$$/RFDO&RQWURO7RZHU3RLQWRI&RQWDFW
-           &)5HVWDEOLVKHVUHTXLUHPHQWVIRUUHSRUWLQJVXVSLFLRXVDFWLYLWLHVLQYROYLQJDLUFUDIWWR
+&)5HVWDEOLVKHVUHTXLUHPHQWVIRUUHSRUWLQJVXVSLFLRXVDFWLYLWLHVLQYROYLQJDLUFUDIWWR
 DOLFHQVHH&#xb6;VORFDO)$$FRQWUROWRZHU6SHFLILFDOO\)3/ZRXOGEHUHTXLUHGWR
-x (VWDEOLVKDSRLQWRIFRQWDFWZLWKWKHORFDO)$$FRQWUROWRZHUDQG
+x
-x 'RFXPHQWWKHSRLQWRIFRQWDFWLQZULWWHQFRPPXQLFDWLRQSURFHGXUHV
+(VWDEOLVKDSRLQWRIFRQWDFWZLWKWKHORFDO)$$FRQWUROWRZHUDQG
+x
-           *LYHQ WKH -DQXDU\   FRPSOLDQFH GDWH )3/ PD\ QRW EH DEOH WR WLPHO\ HVWDEOLVK D
+'RFXPHQWWKHSRLQWRIFRQWDFWLQZULWWHQFRPPXQLFDWLRQSURFHGXUHV
+*LYHQ WKH -DQXDU\   FRPSOLDQFH GDWH )3/ PD\ QRW EH DEOH WR WLPHO\ HVWDEOLVK D
 PHPRUDQGXPRIXQGHUVWDQGLQJRUVLPLODUDJUHHPHQWZLWKWKHORFDO)$$DXWKRULW\ZLWKRXWZKLFK
 FUHGHQFHPD\QRWEHJLYHQWRDVXVSLFLRXVDFWLYLW\FDOOIURP7XUNH\3RLQWRSHUDWRUV)3/VHFXULW\
@@ Line 282: / Line 325: @@
 ILQDOUXOH:LWKRXWWKHSURSRVHGH[HPSWLRQWRSURYLGHWLPHIRUUHYLVHGUHJXODWRU\JXLGDQFHRU
 UXOHPDNLQJ)3/FDQQRWFRQILGHQWO\DVVHVVLWVFRPSOLDQFHZLWKWKLVILQDOUXOHUHTXLUHPHQW
-HJXODWRU\*XLGHV
-           ,Q0DUFKWRVXSSRUWWKHLPSOHPHQWDWLRQRIWKHILQDOUXOHWKH15&LVVXHG5*&#xb3;3K\VLFDO
+HJXODWRU\*XLGHV
+,Q0DUFKWRVXSSRUWWKHLPSOHPHQWDWLRQRIWKHILQDOUXOHWKH15&LVVXHG5*&#xb3;3K\VLFDO
 HFXULW\(YHQW1RWLILFDWLRQV5HSRUWVDQG5HFRUGV'5HYLVLRQ$VVWDWHGDERYHGXULQJWKH
-           $XJXVWSXEOLFPHHWLQJWKH15&DFNQRZOHGJHGDPELJXLWLHVDQGLQFRQVLVWHQFLHVLQWKH
+$XJXVWSXEOLFPHHWLQJWKH15&DFNQRZOHGJHGDPELJXLWLHVDQGLQFRQVLVWHQFLHVLQWKH
 ILQDOUXOHODQJXDJHDQGDVVRFLDWHGJXLGDQFH%HORZDUHH[DPSOHVRILGHQWLILHGLVVXHVZLWKWKH
 UHJXODWRU\JXLGDQFHZKLFKQHFHVVLWDWHWKHSURSRVHGH[HPSWLRQIRU7XUNH\3RLQW
-               KRXUYVPLQXWHQRWLILFDWLRQUHTXLUHPHQW
+ KRXUYVPLQXWHQRWLILFDWLRQUHTXLUHPHQW
-x      H  LLL  DQG LY  UHTXLUHV D KRXU QRWLILFDWLRQ IRU FRQWUDEDQG DWWHPSWHG RU
+x
+HLLLDQGLYUHTXLUHVDKRXUQRWLILFDWLRQIRUFRQWUDEDQGDWWHPSWHGRU
 DFWXDOLQWURGXFWLRQRIFRQWUDEDQGLQWRD3$9$RU0$$
-o 7KHGHILQLWLRQRIFRQWUDEDQGFRQWDLQVWKHWHUP&#xb3;LQFHQGLDULHV'
+o
+KHGHILQLWLRQRIFRQWUDEDQGFRQWDLQVWKHWHUP&#xb3;LQFHQGLDULHV'
-x     D UHTXLUHGDPLQXWHQRWLILFDWLRQIRUKRVWLOHDFWLRQV
+x
-o 5*5HY6HFWLRQSDJHSURYLGHVH[DPSOHVRIKRVWLOHDFWLRQV
+DUHTXLUHGDPLQXWHQRWLILFDWLRQIRUKRVWLOHDFWLRQV
-                            -    7KHGLVFRYHU\RIXQDXWKRUL]HGH[SORVLYHPDWHULDOVLQFHQGLDU\PDWHULDOVRU
+o
+*5HY6HFWLRQSDJHSURYLGHVH[DPSOHVRIKRVWLOHDFWLRQV
+-
+KHGLVFRYHU\RIXQDXWKRUL]HGH[SORVLYHPDWHULDOVLQFHQGLDU\PDWHULDOVRU
 DQLPSURYLVHGH[SORVLYHGHYLFHZLWKLQWKHOLFHQVHH&#xb6;VVLWHERXQGDU\
-x    7KHILQDOUXOHODQJXDJHUHTXLUHVDKRXUQRWLILFDWLRQIRUDQLQFHQGLDU\GHYLFHDWRULQVLGH
+x
+KHILQDOUXOHODQJXDJHUHTXLUHVDKRXUQRWLILFDWLRQIRUDQLQFHQGLDU\GHYLFHDWRULQVLGH
 WKH3$9$RU0$$7KH5*GULYHVOLFHQVHHVWRDPLQXWHQRWLILFDWLRQIRUDQLQFHQGLDU\
 GHYLFHDWWKHVLWHERXQGDU\ZKLFKLVIXUWKHUDZD\IURPVDIHW\UHODWHGHTXLSPHQW
@@ Line 317: / Line 368: @@
-XUNH\3RLQW1XFOHDU3ODQW                                                                                /
+XUNH\3RLQW1XFOHDU3ODQW
-'RFNHW1RVDQG                                                                               (QFORVXUH
+/
+'RFNHW1RVDQG
+(QFORVXUH
 DJHRI
 DUW([HPSWLRQ5HTXHVW5HJDUGLQJ(QKDQFHG:HDSRQV
-                    )LUHDUPV%DFNJURXQG&KHFNVDQG6HFXULW\(YHQW1RWLILFDWLRQV)LQDO5XOH
+)LUHDUPV%DFNJURXQG&KHFNVDQG6HFXULW\(YHQW1RWLILFDWLRQV)LQDO5XOH
-             KRXUQRWLILFDWLRQYVKRXUUHFRUGLQJRI&#xb3;ORVWRUXQFRQWUROOHGZHDSRQ'
+ KRXUQRWLILFDWLRQYVKRXUUHFRUGLQJRI&#xb3;ORVWRUXQFRQWUROOHGZHDSRQ'
-x     H  Y UHTXLUHVDKRXUQRWLILFDWLRQIRUDORVWRUXQFRQWUROOHGZHDSRQ
+x
+HYUHTXLUHVDKRXUQRWLILFDWLRQIRUDORVWRUXQFRQWUROOHGZHDSRQ
-x     I UHTXLUHVUHFRUGLQJZLWKLQKRXUV&#xb3;SK\VLFDOVHFXULW\HYHQWVRUFRQGLWLRQV
+x
+IUHTXLUHVUHFRUGLQJZLWKLQKRXUV&#xb3;SK\VLFDOVHFXULW\HYHQWVRUFRQGLWLRQV
 WKDWGHFUHDVHVWKHHIIHFWLYHQHVVRIWKHSK\VLFDOVHFXULW\SURJUDP'
-o 5*  5HY  6HFWLRQ  SDJH  SURYLGHV H[DPSOHV RI WKH &#xb3;5HFRUGDEOH
+o
-(YHQWV DQG &RQGLWLRQV 5HJDUGLQJ 'HFUHDVHV LQ (IIHFWLYHQHVV' WKDW  I
+*  5HY  6HFWLRQ  SDJH  SURYLGHV H[DPSOHV RI WKH &#xb3;5HFRUGDEOH
-UHTXLUHV 7KH 5* LQFOXGHV DQ HYHQW LQYROYLQJ WKH ORVV RI FRQWURO RI DQ DXWKRUL]HG
+(YHQWV DQG &RQGLWLRQV 5HJDUGLQJ 'HFUHDVHV LQ (IIHFWLYHQHVV' WKDW I
+UHTXLUHV7KH5*LQFOXGHVDQHYHQWLQYROYLQJWKHORVVRIFRQWURORIDQDXWKRUL]HG
 VHFXULW\ZHDSRQZLWKLQD3$9$0$$RU&$$
-KH FRQIOLFW EHWZHHQ WKH QRWLILFDWLRQ DQG UHFRUGLQJ RI D ORVW RU XQFRQWUROOHG ZHDSRQ RQO\
+KHFRQIOLFWEHWZHHQWKHQRWLILFDWLRQDQGUHFRUGLQJRIDORVWRUXQFRQWUROOHGZHDSRQRQO\
 H[LVWVEHFDXVHRIWKHUHJXODWRU\JXLGDQFHLQ5*5HYLVLRQ$VDEHVWSUDFWLFHDQGWR
 VXSSRUWDFFXUDWHGHWHUPLQDWLRQRIQRWLILFDWLRQHYHQWVVWDWLRQSHUVRQQHODUHWUDLQHGDQGIOXHQW
@@ Line 343: / Line 401: @@
 SURYLGHWLPHIRUWKHUHYLVHGUHJXODWRU\JXLGDQFHDQGRUUXOHPDNLQJRQWKLVLVVXH
 DOHYROHQWLQWHQWGLVFXVVLRQ
-x    &)5RQO\UHIHUVWRWKHWHUP&#xb3;PDOHYROHQWLQWHQW'LQ T  DVexempli gratiaRU&#xb3;HJ'SDUHQWKHWLFDOGHVFULELQJDFLUFXPVWDQFHZKHUHDOLFHQVHHPD\GHVLUHWR
+x
+&)5RQO\UHIHUVWRWKHWHUP&#xb3;PDOHYROHQWLQWHQW'LQTDVexempli gratiaRU&#xb3;HJ'SDUHQWKHWLFDOGHVFULELQJDFLUFXPVWDQFHZKHUHDOLFHQVHHPD\GHVLUHWR
 GHWUDFWDSUHYLRXVSK\VLFDOVHFXULW\HYHQWQRWLILFDWLRQ
-o 5*5HY6HFWLRQSDJHWLWOHG&#xb3;0DOHYROHQW,QWHQWDQG&UHGLEOH%RPE
+o
+*5HY6HFWLRQSDJHWLWOHG&#xb3;0DOHYROHQW,QWHQWDQG&UHGLEOH%RPE
 KUHDW &RQVLGHUDWLRQV' VWDWHV WKH 15&&#xb6;V SRVLWLRQ WKDW RQO\ JRYHUQPHQW RIILFLDOV
 KDYHWKHQHFHVVDU\UHVRXUFHVDQGTXDOLILFDWLRQVWRGHWHUPLQHZKHWKHUPDOHYROHQW
 LQWHQWZDVSUHVHQWLQDVHFXULW\HYHQW
-o 'XULQJWKH0D\DQG$XJXVWSXEOLFPHHWLQJVWKH15&ZDVXQDEOHWR
+o
+'XULQJWKH0D\DQG$XJXVWSXEOLFPHHWLQJVWKH15&ZDVXQDEOHWR
 FRQVLVWHQWO\GHVFULEHZKHQOLFHQVHHVZHUHFDSDEOHRIWKLVGHWHUPLQDWLRQDQGZKHQ
 OLFHQVHHVZHUHUHTXLUHGWRKDYHJRYHUQPHQWRIILFLDOVPDNHWKLVGHWHUPLQDWLRQ
-o ,Q &#xb3;15& 5HVSRQVH WR 3XEOLF &RPPHQWV' FRPPHQW . FRQWDLQV WKH GLVFXVVLRQ
+o
+,Q&#xb3;15&5HVSRQVHWR3XEOLF&RPPHQWV'FRPPHQW.FRQWDLQVWKHGLVFXVVLRQ
 UHJDUGLQJ&#xb3;FUHGLEOH'DQGSXWVLQWRFRQWH[WWKHFLUFXPVWDQFHVRIWKH15&&#xb6;VSRVLWLRQ
 DVLWUHODWHVWRWKHGHWHUPLQDWLRQRIPDOHYROHQWLQWHQW
-                          - ,WLVFOHDUWKDWDVRIWKHSXEOLFDWLRQGDWHRI0DUFKWKHGLVFXVVLRQUHYROYHV
+-
+,WLVFOHDUWKDWDVRIWKHSXEOLFDWLRQGDWHRI0DUFKWKHGLVFXVVLRQUHYROYHV
 DURXQG WKH PLQXWH QRWLILFDWLRQ UHTXLUHPHQWV DQG QRW EODQNHWO\ DFURVV DOO
 VHFXULW\UHODWHGHYHQWV
-                     )3/ EHOLHYHV WKDW LQ FHUWDLQ FLUFXPVWDQFHV H[WHUQDO JRYHUQPHQW DJHQFLHV DUH EHVW
-VXLWHG WR GHWHUPLQH PDOHYROHQW LQWHQW HJ FUHGLEOH ERPE WKUHDW FUHGLEOH WKUHDW
-                     +RZHYHU)3/&#xb6;VSRVLWLRQRQWKHFDSDELOLW\WRGHWHUPLQHLQWHQWDVLWUHODWHVWRLGHQWLI\LQJ
-                     +XPDQ 3HUIRUPDQFH HUURUV DV ZHOO DV GHWHUPLQLQJ 7UXVWZRUWK\ DQG 5HOLDELOLW\ IRU
-                     $FFHVVSXUSRVHVUHPDLQVZLWK)3/
+)3/ EHOLHYHV WKDW LQ FHUWDLQ FLUFXPVWDQFHV H[WHUQDO JRYHUQPHQW DJHQFLHV DUH EHVW
+VXLWHG WR GHWHUPLQH PDOHYROHQW LQWHQW HJ FUHGLEOH ERPE WKUHDW FUHGLEOH WKUHDW
-&5HVSRQVHWR3XEOLF&RPPHQWV&#xb3;(QKDQFHG:HDSRQV)LUHDUPV%DFNJURXQG&KHFNVDQG6HFXULW\(YHQWQRWLILFDWLRQV5XOH'
++RZHYHU)3/&#xb6;VSRVLWLRQRQWKHFDSDELOLW\WRGHWHUPLQHLQWHQWDVLWUHODWHVWRLGHQWLI\LQJ
++XPDQ 3HUIRUPDQFH HUURUV DV ZHOO DV GHWHUPLQLQJ 7UXVWZRUWK\ DQG 5HOLDELOLW\ IRU
+$FFHVVSXUSRVHVUHPDLQVZLWK)3/
+&5HVSRQVHWR3XEOLF&RPPHQWV&#xb3;(QKDQFHG:HDSRQV)LUHDUPV%DFNJURXQG&KHFNVDQG6HFXULW\(YHQWQRWLILFDWLRQV5XOH'
 &5,1$,D^&#x17d;E&#x17d;D>
-XUNH\3RLQW1XFOHDU3ODQW                                                                             /
+XUNH\3RLQW1XFOHDU3ODQW
-'RFNHW1RVDQG                                                                            (QFORVXUH
+/
+'RFNHW1RVDQG
+(QFORVXUH
 DJHRI
 DUW([HPSWLRQ5HTXHVW5HJDUGLQJ(QKDQFHG:HDSRQV
-                  )LUHDUPV%DFNJURXQG&KHFNVDQG6HFXULW\(YHQW1RWLILFDWLRQV)LQDO5XOH
+)LUHDUPV%DFNJURXQG&KHFNVDQG6HFXULW\(YHQW1RWLILFDWLRQV)LQDO5XOH
 KHODFNRIFODULW\RIZKHQLWLVDSSURSULDWHIRUH[WHUQDOJRYHUQPHQWRIILFLDOVWRGHWHUPLQH
 PDOHYROHQW LQWHQW FUHDWHV FRQIXVLRQ  &ODULILFDWLRQ LV QHHGHG WR SUHYHQW XQQHFHVVDU\
 FKDQJHV WR 7XUNH\ 3RLQW VHFXULW\ SODQ SURFHGXUHV VXFK DV DFFHVV DXWKRUL]DWLRQ
-SURFHGXUHVWRDZDLWLQYHVWLJDWLRQUHVXOWVIURP15&&#xb6;V2IILFHRI,QYHVWLJDWLRQV 2, WKH
+SURFHGXUHVWRDZDLWLQYHVWLJDWLRQUHVXOWVIURP15&&#xb6;V2IILFHRI,QYHVWLJDWLRQV2,WKH
 LQWHOOLJHQFH FRPPXQLW\ RU D IHGHUDO 6WDWH RU ORFDO ODZ HQIRUFHPHQW DJHQF\  7KH
 SURSRVHGH[HPSWLRQZRXOGSURYLGHWLPHIRUUHYLVHGUHJXODWRU\JXLGDQFHRQWKLVLVVXH
-    $VVWDWHGHDUOLHUWKHDERYHH[DPSOHVRIDPELJXLWLHVDQGLQFRQVLVWHQFLHVLQWKHILQDOUXOHDUHQRWDOO
+$VVWDWHGHDUOLHUWKHDERYHH[DPSOHVRIDPELJXLWLHVDQGLQFRQVLVWHQFLHVLQWKHILQDOUXOHDUHQRWDOO
 HQFRPSDVVLQJDQG)3/&#xb6;VJDSDQDO\VLVRIWKHILQDOUXOHDJDLQVWFXUUHQWUHTXLUHPHQWVLVQRW\HWFRPSOHWH
-    $FFRUGLQJO\DQH[HPSWLRQIURPWKHHQWLUHW\RIWKHILQDOUXOHLVUHTXHVWHGXQWLO'HFHPEHURU
+$FFRUGLQJO\DQH[HPSWLRQIURPWKHHQWLUHW\RIWKHILQDOUXOHLVUHTXHVWHGXQWLO'HFHPEHURU
-    GD\VDIWHUSXEOLFDWLRQRIWKHDSSOLFDEOH5*VZKLFKHYHULVODWHU'XULQJWKHSURSRVHGSHULRGRI
+GD\VDIWHUSXEOLFDWLRQRIWKHDSSOLFDEOH5*VZKLFKHYHULVODWHU'XULQJWKHSURSRVHGSHULRGRI
-H[HPSWLRQ )3/ ZLOO FRQWLQXH WR LPSOHPHQW WKH 7XUNH\ 3RLQW VHFXULW\ SODQ FRQVLVWHQW ZLWK 5*
+H[HPSWLRQ)3/ZLOOFRQWLQXHWRLPSOHPHQWWKH7XUNH\3RLQWVHFXULW\SODQFRQVLVWHQWZLWK5*
 HYLVLRQDQG*/
@@ Line 399: / Line 465: @@
  &216,'(5$7,216)25(;(037,21
-    $VKLJKOLJKWHGLQWKHVHOHFWHGH[DPSOHVDERYHWKHODFNRIFODULW\RQNH\SDUWVRIWKHILQDOUXOHPD\
+$VKLJKOLJKWHGLQWKHVHOHFWHGH[DPSOHVDERYHWKHODFNRIFODULW\RQNH\SDUWVRIWKHILQDOUXOHPD\
 UHVXOWLQLQDGHTXDWHLPSOHPHQWDWLRQDQGSRWHQWLDOQRQFRPSOLDQFHDQGFRXOGUHVXOWLQPRGLILFDWLRQWR
 H[LVWLQJ7XUNH\3RLQWVHFXULW\SODQVDQGSURFHGXUHVDWOHDVWWZLFHEDVHGRQLQWHUSUHWDWLRQRIWKHILQDO
@@ Line 405: / Line 471: @@
 GXULQJUHYLHZRIWKLVUHTXHVW
-x $W7XUNH\3RLQW)3/LPSOHPHQWVDIRUPDO&RUUHFWLYH$FWLRQ3ODQ &$3 DQGHQWHUVLQWRWKH&$3
+x
-FRQGLWLRQV DGYHUVH WR TXDOLW\ DV WKH\ UHODWH WR VHFXULW\ SURJUDPV DQG LWHPV WKDW DUH FRQGLWLRQV
+$W7XUNH\3RLQW)3/LPSOHPHQWVDIRUPDO&RUUHFWLYH$FWLRQ3ODQ&$3DQGHQWHUVLQWRWKH&$3
+FRQGLWLRQVDGYHUVHWRTXDOLW\DVWKH\UHODWHWRVHFXULW\SURJUDPVDQGLWHPVWKDWDUHFRQGLWLRQV
 DGYHUVHWRUHJXODWRU\FRPSOLDQFH
-x $W7XUNH\3RLQW)3/FRPSOLHVZLWKWKHGHILQLWLRQRIContrabandDQGTime of DiscoveryDVWKH\DUH
+x
+$W7XUNH\3RLQW)3/FRPSOLHVZLWKWKHGHILQLWLRQRIContrabandDQGTime of DiscoveryDVWKH\DUH
 GHILQHGLQ5*&#xb3;3K\VLFDO3URWHFWLRQ3URJUDPVDW1XFOHDU3RZHU5HDFWRUV'5HYLVLRQDQGLQ
 (,  &#xb3;7HPSODWH IRU WKH 6HFXULW\ 3ODQ 7UDLQLQJ DQG 4XDOLILFDWLRQ 3ODQ 6DIHJXDUGV
-        &RQWLQJHQF\3ODQ>DQG,QGHSHQGHQW6SHQW)XHO6WRUDJH,QVWDOODWLRQ6HFXULW\3URJUDP@'
+&RQWLQJHQF\3ODQ>DQG,QGHSHQGHQW6SHQW)XHO6WRUDJH,QVWDOODWLRQ6HFXULW\3URJUDP@'
-x )3/ ZLOO FRQWDFW WKH ORFDO )$$ FRQWURO WRZHU DXWKRULW\ WR HVWDEOLVK D QRWLILFDWLRQ DJUHHPHQW IRU
+x
+)3/ZLOOFRQWDFWWKHORFDO)$$FRQWUROWRZHUDXWKRULW\WRHVWDEOLVK DQRWLILFDWLRQDJUHHPHQWIRU
 VXVSLFLRXVDLUFUDIWDFWLYLW\DQGXSRQILQDOL]DWLRQZLOOGRFXPHQWWKHORFDO)$$FRQWUROWRZHUDXWKRULW\
 FRQWDFW LQIRUPDWLRQ LQ 7XUNH\ 3RLQW VHFXULW\ FRPPXQLFDWLRQ SURFHGXUHV 'XULQJ WKH SHULRG RI
@@ Line 420: / Line 489: @@
 SODFH
-x $W7XUNH\3RLQW)3/FRPSOLHVZLWKWKHVHFXULW\HYHQWUHSRUWLQJUHTXLUHPHQWVFRQVLVWHQWZLWK5*
+x
-HYLVLRQ  DQG */  DQG ZLOO FRQWLQXH LPSOHPHQWDWLRQ LQ WKLV PDQQHU GXULQJ WKH
+$W7XUNH\3RLQW)3/FRPSOLHVZLWKWKHVHFXULW\HYHQWUHSRUWLQJUHTXLUHPHQWVFRQVLVWHQWZLWK5*
+HYLVLRQ  DQG */  DQG ZLOO FRQWLQXH LPSOHPHQWDWLRQ LQ WKLV PDQQHU GXULQJ WKH
 SURSRVHGSHULRGRIH[HPSWLRQ
-o 7KLVLQFOXGHVWKHDFFHOHUDWHGFDOOWRWKH15&DVLWSHUWDLQVWR15&%XOOHWLQ
+o
+KLVLQFOXGHVWKHDFFHOHUDWHGFDOOWRWKH15&DVLWSHUWDLQVWR15&%XOOHWLQ
-x $W7XUNH\3RLQW)3/UHPDLQVFDSDEOHRIPDNLQJYROXQWDU\UHSRUWVRIVXVSLFLRXVDFWLYLWLHVDQGZLOO
+x
+$W7XUNH\3RLQW)3/UHPDLQVFDSDEOHRIPDNLQJYROXQWDU\UHSRUWVRIVXVSLFLRXVDFWLYLWLHVDQGZLOO
 FRQWLQXHLPSOHPHQWDWLRQLQWKLVPDQQHUGXULQJWKHSURSRVHGSHULRGRIH[HPSWLRQ
-x )3/LVLQIXOOFRPSOLDQFHZLWKWKHQHZ)LWQHVVIRU'XW\5XOHSURPXOJDWHGLQ
+x
+)3/LVLQIXOOFRPSOLDQFHZLWKWKHQHZ)LWQHVVIRU'XW\5XOHSURPXOJDWHGLQ
-x )3/EHOLHYHVWKHEXUGHQDVVRFLDWHGZLWKUHZRUNLVXQQHFHVVDU\ZKLOHDZDLWLQJFODULW\LQWKHILQDO
+x
+)3/EHOLHYHVWKHEXUGHQDVVRFLDWHGZLWKUHZRUNLVXQQHFHVVDU\ZKLOHDZDLWLQJFODULW\LQWKHILQDO
 UXOHZLWKUHYLVLRQRIWKHDVVRFLDWHG5*V6HYHUDOH[DPSOHVRIZKHUHUHZRUNZLOOEHUHTXLUHGDUH
-XUNH\3RLQW1XFOHDU3ODQW                                                                               /
+XUNH\3RLQW1XFOHDU3ODQW
-'RFNHW1RVDQG                                                                             (QFORVXUH
+/
+'RFNHW1RVDQG
+(QFORVXUH
 DJHRI
 DUW([HPSWLRQ5HTXHVW5HJDUGLQJ(QKDQFHG:HDSRQV
-                    )LUHDUPV%DFNJURXQG&KHFNVDQG6HFXULW\(YHQW1RWLILFDWLRQV)LQDO5XOH
+)LUHDUPV%DFNJURXQG&KHFNVDQG6HFXULW\(YHQW1RWLILFDWLRQV)LQDO5XOH
-o 5HYLVLRQVRIDVVRFLDWHGSURFHGXUHVSURFHVVHVMREDLGVWUDLQLQJPDWHULDOVDQGOHVVRQSODQV
+o
+HYLVLRQVRIDVVRFLDWHGSURFHGXUHVSURFHVVHVMREDLGVWUDLQLQJPDWHULDOVDQGOHVVRQSODQV
 WKDWDUHXVHGWRGHVFULEHDQGHODERUDWHRQUHSRUWLQJUHTXLUHPHQWV
-o &RRUGLQDWLRQRIZRUNPDQDJHPHQWDQGUHVRXUFHVWRDOLJQZLWKVWDWLRQRXWDJHVFKHGXOH V
+o
+&RRUGLQDWLRQRIZRUNPDQDJHPHQWDQGUHVRXUFHVWRDOLJQZLWKVWDWLRQRXWDJHVFKHGXOHV
-o 7KH UHWUDLQLQJ RI LPSDFWHG VWDWLRQ SHUVRQQHO ZLWK XSGDWHG LQIRUPDWLRQ FRQWDLQHG ZLWKLQ WKH
+o
+KHUHWUDLQLQJRILPSDFWHGVWDWLRQSHUVRQQHOZLWKXSGDWHGLQIRUPDWLRQFRQWDLQHGZLWKLQWKH
 UHYLVHGJXLGDQFHGRFXPHQWVLQFOXGLQJ
-              -  6HFXULW\
+-
-              -  5HJXODWRU\&RPSOLDQFH
+HFXULW\
-              -  (PHUJHQF\3UHSDUHGQHVV
+-
-              -  5DGLDWLRQ3URWHFWLRQ
+HJXODWRU\&RPSOLDQFH
-              -  2SHUDWLRQV LQFOXGLQJ WKH $FFUHGLWHG 7UDLQLQJ 3URJUDP UHTXLUHPHQWV IRU WKH 6\VWHPDWLF
+-
-                  $SSURDFK WR 7UDLQLQJ 6$7  SURFHVV ([DPSOHV RI HOHPHQWV WKDW GULYH WKH QXPEHU RI
+(PHUJHQF\3UHSDUHGQHVV
+-
+DGLDWLRQ3URWHFWLRQ
+-
+SHUDWLRQVLQFOXGLQJWKH$FFUHGLWHG7UDLQLQJ3URJUDPUHTXLUHPHQWVIRUWKH6\VWHPDWLF
+$SSURDFK WR 7UDLQLQJ 6$7 SURFHVV ([DPSOHV RI HOHPHQWV WKDW GULYH WKH QXPEHU RI
 DYDLODEOHZHHNVWRWUDLQRSHUDWRUVZLWKLQD\HDUDUH
-f    )3/H[HFXWHV IRXUGD\DQGPLQLGD\ F\FOHVSHU\HDU
+f
-f    )3/UHTXLUHVZHHNVIRUHDFKF\FOHRIWUDLQLQJEDVHGRQWKHQXPEHURIRSHUDWLQJ
+)3/H[HFXWHVIRXUGD\DQGPLQLGD\F\FOHVSHU\HDU
+f
+)3/UHTXLUHVZHHNVIRUHDFKF\FOHRIWUDLQLQJEDVHGRQWKHQXPEHURIRSHUDWLQJ
 FUHZVDQGOLFHQVHGRSHUDWRUVDW7XUNH\3RLQW
-f    )3/LVUHTXLUHGWRDGPLQLVWHUDQH[DPF\FOHIRUOLFHQVHGRSHUDWRUVHDFK\HDU
+f
-f    )3/LVUHTXLUHGWRLQFRUSRUDWHFHUWDLQHOHPHQWVZLWKLQWKH\HDUWUDLQLQJF\FOHWKDW
+)3/LVUHTXLUHGWRDGPLQLVWHUDQH[DPF\FOHIRUOLFHQVHGRSHUDWRUVHDFK\HDU
-LQFOXGHRXWDJHDSSOLFDEOHREMHFWLYHV LQFOXGLQJEXWQRWOLPLWHGWRFRUHFKDQJHVSODQW
+f
-PRGLILFDWLRQVORZHUSODQW0RGHRSHUDWLRQV
+)3/LVUHTXLUHGWRLQFRUSRUDWHFHUWDLQHOHPHQWVZLWKLQWKH\HDUWUDLQLQJF\FOHWKDW
+LQFOXGHRXWDJHDSSOLFDEOHREMHFWLYHVLQFOXGLQJEXWQRWOLPLWHGWRFRUHFKDQJHVSODQW
+PRGLILFDWLRQVORZHUSODQW0RGHRSHUDWLRQV
  -867,),&$7,21)25(;(037,21
-    %DVHGRQ15&&#xb6;VSURMHFWHGWLPHOLQHIRUFRPSOHWLRQRIUHYLVLRQWRWKHDSSOLFDEOH5*VDVVRFLDWHGZLWKWKH
+%DVHGRQ15&&#xb6;VSURMHFWHGWLPHOLQHIRUFRPSOHWLRQRIUHYLVLRQWRWKHDSSOLFDEOH5*VDVVRFLDWHGZLWKWKH
 ILQDOUXOHDQGWKHWLPHQHFHVVDU\IRU)3/WRXQGHUJRFKDQJHPDQDJHPHQWSURFHVVHVDGHTXDWHO\WR
 LQFOXGHWKHQXPEHURIWUDLQLQJZHHNVWKDWZLOOEHUHTXLUHG)3/LVUHTXHVWLQJDFRPSOLDQFHGDWHIRUWKH
 ILQDOUXOHRI'HFHPEHURUGD\VDIWHUSXEOLFDWLRQRIILQDO5*ZKLFKHYHULVODWHU
-    $VVWDWHGDERYHGXULQJWKHSURSRVHGSHULRGRIH[HPSWLRQ)3/ZLOOFRQWLQXHWRLPSOHPHQWWKH7XUNH\
+$VVWDWHGDERYHGXULQJWKHSURSRVHGSHULRGRIH[HPSWLRQ)3/ZLOOFRQWLQXHWRLPSOHPHQWWKH7XUNH\
 RLQW6HFXULW\3ODQDVFXUUHQWO\GRFXPHQWHG6LQFH7XUNH\3RLQWRSHUDWLRQKDVEHHQOLFHQVHGE\WKH
-& WKH 15& KDV GHHPHG WKDW WKH 7XUNH\ 3RLQW 6HFXULW\ 3ODQ SURYLGHV UHDVRQDEOH DVVXUDQFH RI
+&WKH15&KDVGHHPHGWKDWWKH7XUNH\3RLQW6HFXULW\3ODQSURYLGHVUHDVRQDEOHDVVXUDQFHRI
 VDIHW\DQGVHFXULW\7KHGHOD\LQLPSOHPHQWDWLRQRIWKHILQDOUXOHZLOOQRWLPSDFWSURSHULPSOHPHQWDWLRQ
 RIWKHFXUUHQW7XUNH\3RLQW6HFXULW\3ODQDQGZLOOHQVXUHWKDWWKHILQDOUXOHLVHIIHFWLYHO\LPSOHPHQWHG
 KXVJUDQWLQJRIWKLVH[HPSWLRQZLOOQRWHQGDQJHUWKHOLIHRUSURSHUW\RUFRPPRQGHIHQVHDQGVHFXULW\
-    ,PSOHPHQWDWLRQ RI WKH ILQDO UXOH ZLWKRXW IXUWKHU LQWHUIDFH FODULW\ DQG UHILQHG JXLGDQFH PD\ UHVXOW LQ
+,PSOHPHQWDWLRQRIWKHILQDOUXOHZLWKRXWIXUWKHULQWHUIDFHFODULW\DQGUHILQHGJXLGDQFHPD\UHVXOWLQ
 XQLQWHQGHGFRQVHTXHQFHVZKLFKFRXOGUHGXFHWKHHIIHFWLYHQHVVRIWKHFXUUHQW7XUNH\3RLQW6HFXULW\
 ODQ 7KHUHIRUH LW LV LQ WKH SXEOLF&#xb6;V LQWHUHVW WKDW WKH 7XUNH\ 3RLQW 6HFXULW\ 3ODQ DQG DVVRFLDWHG
@@ Line 486: / Line 576: @@
 DSSOLFDEOHUHJXODWRU\JXLGDQFHRQFHUHVROXWLRQRILGHQWLILHGLVVXHVKDVEHHQDFKLHYHG
-KHJUDQWLQJRIWKLVH[HPSWLRQZRXOGQRWYLRODWHWKH$WRPLF(QHUJ\$FW $($ DVWKHFRPSOLDQFHGDWH
+KHJUDQWLQJRIWKLVH[HPSWLRQZRXOGQRWYLRODWHWKH$WRPLF(QHUJ\$FW$($DVWKHFRPSOLDQFHGDWH
 IRU WKH ILQDO UXOH LV QRW UHTXLUHG QRU VSHFLILHG LQ WKH $($ DV DPHQGHG DQ\ SURYLVLRQV RI WKH
-    &RPPLVVLRQ&#xb6;VUHJXODWLRQVRUDQ\RWKHUOHJDOO\ELQGLQJUHTXLUHPHQWVLPSRVHGE\WKH&RPPLVVLRQ
+&RPPLVVLRQ&#xb6;VUHJXODWLRQVRUDQ\RWKHUOHJDOO\ELQGLQJUHTXLUHPHQWVLPSRVHGE\WKH&RPPLVVLRQ
 KXVLVVXDQFHRIWKLVH[HPSWLRQUHTXHVWZRXOGEHFRQVLVWHQWZLWK&)5VLQFHLWLV&#xb3;DXWKRUL]HG
 E\ODZDQGZLOOQRWHQGDQJHUOLIHRUSURSHUW\RUWKHFRPPRQGHIHQVHDQGVHFXULW\DQG>LV@RWKHUZLVHLQ
 WKHSXEOLFLQWHUHVW'
-XUNH\3RLQW1XFOHDU3ODQW                                                                                 /
+XUNH\3RLQW1XFOHDU3ODQW
-'RFNHW1RVDQG                                                                                 (QFORVXUH
+/
+'RFNHW1RVDQG
+(QFORVXUH
 DJHRI
 DUW([HPSWLRQ5HTXHVW5HJDUGLQJ(QKDQFHG:HDSRQV
-                  )LUHDUPV%DFNJURXQG&KHFNVDQG6HFXULW\(YHQW1RWLILFDWLRQV)LQDO5XOH
+)LUHDUPV%DFNJURXQG&KHFNVDQG6HFXULW\(YHQW1RWLILFDWLRQV)LQDO5XOH
  (19,5210(17$/&216,'(5$7,21
-    )3/KDVHYDOXDWHGWKHSURSRVHGH[HPSWLRQIRUHQYLURQPHQWDOFRQVLGHUDWLRQVDQGGHWHUPLQHGWKDWWKH
+)3/KDVHYDOXDWHGWKHSURSRVHGH[HPSWLRQIRUHQYLURQPHQWDOFRQVLGHUDWLRQVDQGGHWHUPLQHGWKDWWKH
 SURSRVHG H[HPSWLRQ ZRXOG FKDQJH D UHTXLUHPHQW ZLWK UHVSHFW WR LQVWDOODWLRQ RU XVH RI D IDFLOLW\
 FRPSRQHQWORFDWHGZLWKLQWKHUHVWULFWHGDUHDDVGHILQHGLQ&)5RUZRXOGFKDQJHDQLQVSHFWLRQ
-RU VXUYHLOODQFH UHTXLUHPHQW +RZHYHU WKH SURSRVHG H[HPSWLRQ GRHV QRW LQYROYH L  D VLJQLILFDQW
+RU VXUYHLOODQFH UHTXLUHPHQW +RZHYHU WKH SURSRVHG H[HPSWLRQ GRHV QRW LQYROYH L D VLJQLILFDQW
-KD]DUGVFRQVLGHUDWLRQ LL DVLJQLILFDQWFKDQJHLQWKHW\SHVRUVLJQLILFDQWLQFUHDVHLQWKHDPRXQWVRI
+KD]DUGVFRQVLGHUDWLRQLLDVLJQLILFDQWFKDQJHLQWKHW\SHVRUVLJQLILFDQWLQFUHDVHLQWKHDPRXQWVRI
-DQ\ HIIOXHQWV WKDW PD\ EH UHOHDVHG RIIVLWH RU LLL  D VLJQLILFDQW LQFUHDVH LQ LQGLYLGXDO RU FXPXODWLYH
+DQ\ HIIOXHQWV WKDW PD\ EH UHOHDVHG RIIVLWH RU LLL D VLJQLILFDQW LQFUHDVH LQ LQGLYLGXDO RU FXPXODWLYH
 RFFXSDWLRQDOUDGLDWLRQH[SRVXUH$FFRUGLQJO\WKHHOLJLELOLW\FULWHULRQIRUFDWHJRULFDOH[FOXVLRQVHWIRUWK
-LQ&)5 F  LVPHWDQGSXUVXDQWWR&)5 E DQHQYLURQPHQWDOLPSDFWVWDWHPHQWRU
+LQ&)5FLVPHWDQGSXUVXDQWWR&)5EDQHQYLURQPHQWDOLPSDFWVWDWHPHQWRU
 HQYLURQPHQWDODVVHVVPHQWLVQRWUHTXLUHGLQFRQQHFWLRQZLWKWKHSURSRVHGH[HPSWLRQ
-    }}
+}}