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

From kanterella
Jump to navigation Jump to search
StriderTol Bot change
StriderTol Bot change
Line 18: Line 18:


=Text=
=Text=
{{#Wiki_filter:1RYHPEHU  
{{#Wiki_filter:1RYHPEHU
/ 
/
&)5 
&)5


8 6 1XFOHDU5HJXODWRU\\&RPPLVVLRQ
$WWQ 'RFXPHQW&RQWURO'HVN
:DVKLQJWRQ '& 




5H  7XUNH\\3RLQW1XFOHDU3ODQW 8QLWV DQG 
)ORULGD3RZHU /LJKW&RPSDQ\\
'RFNHW1RV  DQG 

5HQHZHG)DFLOLW\\2SHUDWLQJ/LFHQVHV'35 DQG'35 
(QGHDYRU'U-XSLWHU)/

861XFOHDU5HJXODWRU\\&RPPLVVLRQ
3DUW  ([HPSWLRQ 5HTXHVW 5HJDUGLQJ (QKDQFHG :HDSRQV  )LUHDUPV%DFNJURXQG &KHFNV  DQG
$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
6HFXULW\\(YHQW1RWLILFDWLRQV)LQDO5XOH

3XUVXDQWWR &)5 )ORULGD3RZHU /LJKW&RPSDQ\\ )3/ KHUHE\\UHTXHVWVDQH[HPSWLRQIURPWKH
(QKDQFHG:HDSRQV )LUHDUPV%DFNJURXQG&KHFNV DQG6HFXULW\\(YHQW1RWLILFDWLRQVILQDOUXOHIRU7XUNH\\
3RLQW1XFOHDU3ODQW 8QLWV DQG  7XUNH\\3RLQW ,QDFFRUGDQFHZLWKFederal Register QRWLFH )5 
FRPSOLDQFHZLWKWKHILQDOUXOHUHTXLUHPHQWVPXVWEHDFKLHYHGE\\-DQXDU\\  7KHSURSRVHGH[HPSWLRQ
ZRXOG UHOLHYH ILQDO UXOH FRPSOLDQFH DW 7XUNH\\ 3RLQW XQWLO 'HFHPEHU   RU  GD\\V IROORZLQJ
SXEOLFDWLRQRIWKH5HJXODWRU\\*XLGHV 5*V GHVFULEHGLQ )5 ZKLFKHYHULVODWHU 


2Q 0DUFK   WKH 1XFOHDU 5HJXODWRU\\ &RPPLVVLRQ 15&  QRWLFHG LQ WKHFederal RegisterWKH
3XUVXDQWWR&)5)ORULGD3RZHU /LJKW&RPSDQ\\ )3/ KHUHE\\UHTXHVWVDQH[HPSWLRQIURPWKH
(QKDQFHG :HDSRQV  )LUHDUPV %DFNJURXQG &KHFNV  DQG 6HFXULW\\ (YHQW 1RWLILFDWLRQV ILQDO UXOH KHUHWR
(QKDQFHG:HDSRQV)LUHDUPV%DFNJURXQG&KHFNVDQG6HFXULW\\(YHQW1RWLILFDWLRQVILQDOUXOHIRU7XUNH\\
NQRZQDVWKH³ILQDOUXOH' ZLWKDQ$SULO  HIIHFWLYHGDWHDQGD-DQXDU\\  FRPSOLDQFHGDWH ,Q
3RLQW1XFOHDU3ODQW8QLWVDQG 7XUNH\\3RLQW ,QDFFRUGDQFHZLWKFederal RegisterQRWLFH)5
UHVSRQVH  )3/ SHUIRUPHG D SUHOLPLQDU\\ JDS DQDO\\VLV RI WKH QHZ YHUVXV FXUUHQW UHTXLUHPHQWV  DSSOLFDEOH
FRPSOLDQFHZLWKWKHILQDOUXOHUHTXLUHPHQWVPXVWEHDFKLHYHGE\\-DQXDU\\7KHSURSRVHGH[HPSWLRQ
UHJXODWRU\\JXLGDQFH DQG7XUNH\\3RLQWVHFXULW\\SROLFLHVDQGSURFHGXUHV LQFOXGLQJVHFXULW\\DQGRSHUDWLRQV
ZRXOG UHOLHYH ILQDO UXOH FRPSOLDQFH DW 7XUNH\\ 3RLQW XQWLO 'HFHPEHU   RU  GD\\V IROORZLQJ
SHUVRQQHOWUDLQLQJ %DVHGRQLWVUHYLHZ )3/GHWHUPLQHGWKDWDWHPSRUDU\\H[HPSWLRQIURPWKHILQDOUXOHZLOO
SXEOLFDWLRQRIWKH5HJXODWRU\\*XLGHV 5*V GHVFULEHGLQ)5ZKLFKHYHULVODWHU
EH QHFHVVDU\\ WR SURYLGH VXIILFLHQW WLPH WR DFKLHYH IXOO FRPSOLDQFH DW 7XUNH\\ 3RLQW   7KH SURSRVHG
FRPSOLDQFHGDWHRI'HFHPEHU  RU GD\\VIROORZLQJSXEOLFDWLRQRIWKH5*VGHVFULEHGLQ )5
ZKLFKHYHULVODWHU LVEDVHGRQWKH15&¶VSURMHFWHGWLPHOLQHIRULVVXLQJUHYLVHGUHJXODWRU\\JXLGDQFH
DQGWKHWLPHWRFRPSOHWHWKHUHTXLVLWHFKDQJHPDQDJHPHQWSURFHVVHV 'XULQJWKHSHULRGRIH[HPSWLRQ 
)3/ZLOOFRQWLQXHWRLPSOHPHQWWKH7XUNH\\3RLQWVHFXULW\\SODQFRQVLVWHQWZLWK5* 5HYLVLRQ  $'$06
$FFHVVLRQ1R 0/ DQG*HQHULF/HWWHU  $'$06$FFHVVLRQ1R 0/ 


7KHHQFORVXUHWRWKLVOHWWHUSURYLGHVDQHYDOXDWLRQRIWKHSURSRVHGH[HPSWLRQ 7KHHYDOXDWLRQGHPRQVWUDWHV
2Q 0DUFK   WKH 1XFOHDU 5HJXODWRU\\ &RPPLVVLRQ 15&  QRWLFHG LQ WKH Federal Register WKH
WKDWWKHSURSRVHGH[HPSWLRQZLOOQRWSUHVHQWDQXQGXHULVNWRSXEOLFKHDOWKDQGVDIHW\\ LVQRWLQLPLFDOWRWKH
(QKDQFHG :HDSRQV )LUHDUPV %DFNJURXQG &KHFNV DQG 6HFXULW\\ (YHQW 1RWLILFDWLRQV ILQDO UXOH KHUHWR
FRPPRQGHIHQVHDQGVHFXULW\\ DQGLVLQWKHSXEOLFLQWHUHVW DQGLVWKHUHE\\SHUPLVVLEOHXQGHU &)5 
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/ 


)3/UHTXHVWVDSSURYDORIWKHUHTXHVWHGH[HPSWLRQE\\1RYHPEHU  WRDVVXUHFRQWLQXHGUHJXODWRU\\
7KHHQFORVXUHWRWKLVOHWWHUSURYLGHVDQHYDOXDWLRQRIWKHSURSRVHGH[HPSWLRQ7KHHYDOXDWLRQGHPRQVWUDWHV
FRPSOLDQFHDQGXQLIRUPLW\\LQ7XUNH\\3RLQWVHFXULW\\SURJUDPSURFHGXUHVDQGSUDFWLFHV 
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


7KLVOHWWHUFRQWDLQVQRRUUHYLVHGUHJXODWRU\\FRPPLWPHQWV 


6KRXOG \\RX KDYH DQ\\ TXHVWLRQV UHJDUGLQJ WKLV VXEPLVVLRQ  SOHDVH FRQWDFW 0U .HQQHWK 0DFN  )OHHW
/LFHQVLQJ0DQDJHU DW  





)ORULGD3RZHU /LJKW&RPSDQ\\


(QGHDYRU'U -XSLWHU )/  
  / 
  3DJH RI 


/


3DJHRI



,GHFODUHXQGHUSHQDOW\\RISHUMXU\\WKDWWKHIRUHJRLQJLVWUXHDQGFRUUHFW


([HFXWHGRQWKHWKGD\\RI1RYHPEHU


,GHFODUHXQGHUSHQDOW\\RISHUMXU\\WKDWWKHIRUHJRLQJLVWUXHDQGFRUUHFW 
6LQFHUHO\\


([HFXWHGRQWKH WKGD\\RI1RYHPEHU 


6LQFHUHO\\ 


Digitally signed by James Michael Davis
BBBBBBBBBBBBBBBBBBBBB
 DN: cn=James Michael Davis, James o=Licensing, ou=NextEra Duane
 Arnold, Michael Davis email=j.michael.davis@nee.com, c=US BBBBBBBBBBBBBBBBBBBBBDate: 2023.11.16 12:17:37 -06'00',for
'LDQQH6WUDQG
'LDQQH6WUDQG
*HQHUDO0DQDJHU 5HJXODWRU\\$IIDLUV
*HQHUDO0DQDJHU5HJXODWRU\\$IIDLUV
)ORULGD3RZHU /LJKW&RPSDQ\\
)ORULGD3RZHU /LJKW&RPSDQ\\




(QFORVXUH 
(QFORVXUH
5HTXHVWIRU([HPSWLRQIURP)LQDO5XOH&RPSOLDQFH'DWH
5HTXHVWIRU([HPSWLRQIURP)LQDO5XOH&RPSOLDQFH'DWH


FF  8615&5HJLRQDO$GPLQLVWUDWRU 5HJLRQ,,
FF
8615&3URMHFW0DQDJHU 7XUNH\\3RLQW1XFOHDU*HQHUDWLQJ6WDWLRQ
8615&5HJLRQDO$GPLQLVWUDWRU5HJLRQ,,
8615&6HQLRU5HVLGHQW,QVSHFWRU 7XUNH\\3RLQW1XFOHDU*HQHUDWLQJ6WDWLRQ
8615&3URMHFW0DQDJHU7XUNH\\3RLQW1XFOHDU*HQHUDWLQJ6WDWLRQ
0U &ODUN(OGUHGJH )ORULGD'HSDUWPHQWRI+HDOWK
8615&6HQLRU5HVLGHQW,QVSHFWRU7XUNH\\3RLQW1XFOHDU*HQHUDWLQJ6WDWLRQ
7XUNH\\3RLQW1XFOHDU3ODQW  / 
0U&ODUN(OGUHGJH)ORULGD'HSDUWPHQWRI+HDOWK
'RFNHW1RV  DQG   (QFORVXUH
, for James Michael Davis Digitally signed by James Michael Davis DN: cn=James Michael Davis, o=Licensing, ou=NextEra Duane
3DJH RI 
: Arnold, email=j.michael.davis@nee.com, c=US Date: 2023.11.16 12:17:37 -06'00'
3DUW ([HPSWLRQ5HTXHVW5HJDUGLQJ(QKDQFHG:HDSRQV 
 
)LUHDUPV%DFNJURXQG&KHFNV DQG6HFXULW\\(YHQW1RWLILFDWLRQV)LQDO5XOH
7XUNH\\3RLQW1XFOHDU3ODQW


 %$&.*5281'
/
'RFNHW1RVDQG


2Q0DUFK  WKH1XFOHDU5HJXODWRU\\&RPPLVVLRQ 15& LVVXHGD)LQDO5XOHHQWLWOHG³(QKDQFHG
(QFORVXUH
:HDSRQV )LUHDUPV%DFNJURXQG&KHFNV DQG6HFXULW\\(YHQW1RWLILFDWLRQV'  KHUHWRNQRZQDVWKH³ILQDO
3DJHRI
UXOH' $VVSHFLILHGLQWKHFederal Register> )5 @ WKHILQDOUXOHKDVDQHIIHFWLYHGDWHRI$SULO
3DUW([HPSWLRQ5HTXHVW5HJDUGLQJ(QKDQFHG:HDSRQV
 DQGDFRPSOLDQFHGDWHRI-DQXDU\\  7KHILQDOUXOHFRQWDLQVQHZHOHPHQWVVXFKDV 
)LUHDUPV%DFNJURXQG&KHFNVDQG6HFXULW\\(YHQW1RWLILFDWLRQV)LQDO5XOH

x 1HZWHUPLQRORJ\\DQGDVVRFLDWHGUHTXLUHPHQWVFRYHULQJ³FRQGLWLRQVDGYHUVHWRVHFXULW\\' 
x 1HZGHILQLWLRQVRIWKHWHUP³FRQWUDEDQG'DQG³WLPHRIGLVFRYHU\\'LQ &)5 
x 1HZSRLQWRIFRQWDFWUHTXLUHPHQWVZLWKWKH)HGHUDO$YLDWLRQ$GPLQLVWUDWLRQ )$$ 
x &KDQJHVUHSRUWLQJUHTXLUHPHQWVDSSOLFDEOHWRVHFXULW\\HYHQWVIURP 
o  KRXUQRWLILFDWLRQVDQG KRXUUHFRUGLQJRIVHFXULW\\HYHQWV
7REHFRPH 
o KRXU  KRXU  KRXUQRWLILFDWLRQVDQG KRXUUHFRUGLQJRIVHFXULW\\HYHQWV
o &RGLILHVWKHDFFHOHUDWHGFDOOWRWKH15&IURP15&%XOOHWLQ 

&RQFXUUHQWZLWKWKHSXEOLFDWLRQRIWKHILQDOUXOH WKH15&LVVXHGWKHIROORZLQJ5HJXODWRU\\*XLGHV 5* 
WRVXSSRUWWKHLPSOHPHQWDWLRQUHTXLUHPHQWVVHWIRUWKLQWKHILQDOUXOH 


x 5*  ³3K\\VLFDO 6HFXULW\\ (YHQW 1RWLILFDWLRQV  5HSRUWV  DQG5HFRUGV ' 5HYLVLRQ  $'$06
 %$&.*5281'
$FFHVVLRQ1RV 0/ $ 0/ $ 
x 5*  ³(QKDQFHG :HDSRQV $XWKRULW\\  3UHHPSWLRQ $XWKRULW\\  DQG )LUHDUPV %DFNJURXQG
&KHFNV '5HYLVLRQ  $'$06$FFHVVLRQ1R 0/ $ 
x 5* ³6XVSLFLRXV$FWLYLW\\5HSRUWV '5HYLVLRQ  $'$06$FFHVVLRQ1R 0/ $ 


'XULQJ DQ $XJXVW   SXEOLF PHHWLQJ $'$06 $FFHVVLRQ 1R 0/ $  WKH 15& VWDII
2Q0DUFKWKH1XFOHDU5HJXODWRU\\&RPPLVVLRQ 15& 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\\*XLGHV 5* 
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
DFNQRZOHGJHGDPELJXLWLHVDQGLQFRQVLVWHQFLHVLQWKHILQDOUXOHDQGDVVRFLDWHGJXLGDQFHDQGSURSRVHG
DUHYLVLRQGDWHIRUFODULI\\LQJWKHJXLGDQFHWKURXJKSXEOLFDWLRQE\\$SULO ZKLFKLVWKUHHPRQWKVDIWHU
DUHYLVLRQGDWHIRUFODULI\\LQJWKHJXLGDQFHWKURXJKSXEOLFDWLRQE\\$SULOZKLFKLVWKUHHPRQWKVDIWHU
WKH -DQXDU\\   FRPSOLDQFH GDWH VSHFLILHG LQFederal Register  )5   $GGLWLRQDOO\\  WKH
WKH-DQXDU\\FRPSOLDQFHGDWHVSHFLILHGLQFederal Register)5$GGLWLRQDOO\\WKH
15&DFNQRZOHGJHGWKHQHHGIRUUXOHPDNLQJWRDGGUHVVLGHQWLILHGLVVXHVZLWKWKHILQDOUXOHODQJXDJH 
15&DFNQRZOHGJHGWKHQHHGIRUUXOHPDNLQJWRDGGUHVVLGHQWLILHGLVVXHVZLWKWKHILQDOUXOHODQJXDJH




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


&)5 6SHFLILF([HPSWLRQV DOORZVWKH&RPPLVVLRQWRJUDQWH[HPSWLRQVIURPWKHUHTXLUHPHQWV
&)56SHFLILF([HPSWLRQVDOORZVWKH&RPPLVVLRQWRJUDQWH[HPSWLRQVIURPWKHUHTXLUHPHQWV
RI3DUW ³DVLWGHWHUPLQHVDUHDXWKRUL]HGE\\ODZDQGZLOOQRWHQGDQJHUOLIHRUSURSHUW\\RUWKHFRPPRQ
RI3DUW³DVLWGHWHUPLQHVDUHDXWKRUL]HGE\\ODZDQGZLOOQRWHQGDQJHUOLIHRUSURSHUW\\RUWKHFRPPRQ
GHIHQVH DQG VHFXULW\\ DQG DUH RWKHUZLVH LQ WKH SXEOLF LQWHUHVW '  $V H[SODLQHG EHORZ  WKLV H[HPSWLRQ
GHIHQVHDQGVHFXULW\\DQGDUHRWKHUZLVHLQWKHSXEOLFLQWHUHVW'$VH[SODLQHGEHORZWKLVH[HPSWLRQ
UHTXHVWPHHWVWKHFULWHULDVHWIRUWKLQ &)5 
UHTXHVWPHHWVWKHFULWHULDVHWIRUWKLQ&)5


7KHLQGXVWU\\KDVLGHQWLILHGVHYHUDOLVVXHVLQWKHILQDOUXOHDQGWKHVXSSRUWLQJ5HJXODWRU\\*XLGHVWKDW
7KHLQGXVWU\\KDVLGHQWLILHGVHYHUDOLVVXHVLQWKHILQDOUXOHDQGWKHVXSSRUWLQJ5HJXODWRU\\*XLGHVWKDW
UHTXLUHFODULILFDWLRQIURPWKH15&IRU)3/WRVXFFHVVIXOO\\LPSOHPHQWWKHUHTXLUHPHQWVDW7XUNH\\3RLQW 
UHTXLUHFODULILFDWLRQIURPWKH15&IRU)3/WRVXFFHVVIXOO\\LPSOHPHQWWKHUHTXLUHPHQWVDW7XUNH\\3RLQW
$VPHQWLRQHGDERYH WKH15&LVFXUUHQWO\\GHYHORSLQJDUHVROXWLRQIRUWKHFRGHODQJXDJHLVVXHVDQG
$VPHQWLRQHGDERYHWKH15&LVFXUUHQWO\\GHYHORSLQJDUHVROXWLRQIRUWKHFRGHODQJXDJHLVVXHVDQG
DGGUHVVLQJJXLGDQFHUHYLVLRQV $VGLVFXVVHGLQWKH$XJXVW  SXEOLFPHHWLQJ WKH15&SODQV
DGGUHVVLQJJXLGDQFHUHYLVLRQV$VGLVFXVVHGLQWKH$XJXVWSXEOLFPHHWLQJWKH15&SODQV
WRLVVXHDGGLWLRQDOJXLGDQFHLQ$SULO ZKLFKLVWKUHHPRQWKVDIWHUWKHFRPSOLDQFHGDWHRI-DQXDU\\
WRLVVXHDGGLWLRQDOJXLGDQFHLQ$SULOZKLFKLVWKUHHPRQWKVDIWHUWKHFRPSOLDQFHGDWHRI-DQXDU\\
 :LWKRXWDGGLWLRQDOJXLGDQFH HQIRUFHPHQWUHOLHI RUDWHPSRUDU\\H[HPSWLRQ LWLVOLNHO\\WKDW)3/
:LWKRXWDGGLWLRQDOJXLGDQFHHQIRUFHPHQWUHOLHIRUDWHPSRUDU\\H[HPSWLRQLWLVOLNHO\\WKDW)3/
ZLOO QHHG WR PDNH FKDQJHV WR LWV SK\\VLFDO VHFXULW\\ SODQV DQG SURFHVVHV WZLFH  RQFH WR DFKLHYH
ZLOO QHHG WR PDNH FKDQJHV WR LWV SK\\VLFDO VHFXULW\\ SODQV DQG SURFHVVHV WZLFH  RQFH WR DFKLHYH
FRPSOLDQFH ZLWK LWV RZQ LQWHUSUHWDWLRQ RI WKH ILQDO UXOH ZLWKRXW WKH EHQHILW RI WKH DGGLWLRQDO JXLGDQFH
FRPSOLDQFHZLWKLWVRZQLQWHUSUHWDWLRQRIWKHILQDOUXOH ZLWKRXWWKHEHQHILWRIWKHDGGLWLRQDOJXLGDQFH
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


³(QKDQFHG:HDSRQV )LUHDUPV%DFNJURXQG&KHFNV DQG6HFXULW\\(YHQW1RWLILFDWLRQV )LQDOUXOHDQGJXLGDQFH ' 
³(QKDQFHG:HDSRQV)LUHDUPV%DFNJURXQG&KHFNVDQG6HFXULW\\(YHQW1RWLILFDWLRQV)LQDOUXOHDQGJXLGDQFH'
)HG 5HJ   0DUFK  
)HG5HJ 0DUFK 


7XUNH\\3RLQW1XFOHDU3ODQW  / 
 
'RFNHW1RV  DQG   (QFORVXUH
7XUNH\\3RLQW1XFOHDU3ODQW
3DJH RI 

3DUW ([HPSWLRQ5HTXHVW5HJDUGLQJ(QKDQFHG:HDSRQV 
/
)LUHDUPV%DFNJURXQG&KHFNV DQG6HFXULW\\(YHQW1RWLILFDWLRQV)LQDO5XOH
'RFNHW1RVDQG


GHVFULEHGEHORZ FRXOGUHVXOWLQXQQHFHVVDU\\FRQIXVLRQWKDWZLOOGHWUDFWIURPWKHFXUUHQWKLJKOHYHORI
(QFORVXUH
DVVXUDQFHSURYLGHGE\\WKHH[LVWLQJ7XUNH\\3RLQWSK\\VLFDOVHFXULW\\SURJUDP $FFRUGLQJO\\ )3/GRHVQRW
3DJHRI
EHOLHYHLPSOHPHQWDWLRQRIWKHILQDOUXOHSULRUWRLVVXDQFHRIDGGLWLRQDOFODULI\\LQJJXLGDQFH DWDPLQLPXP 
3DUW([HPSWLRQ5HTXHVW5HJDUGLQJ(QKDQFHG:HDSRQV
LV LQ WKH EHVW LQWHUHVW RI WKH SXEOLF   /LVWHG EHORZ DUH H[DPSOHV RI LVVXHV ZLWK WKH ILQDO UXOH ZKLFK
)LUHDUPV%DFNJURXQG&KHFNVDQG6HFXULW\\(YHQW1RWLILFDWLRQV)LQDO5XOH
QHFHVVLWDWHDWHPSRUDU\\H[HPSWLRQIRU7XUNH\\3RLQW 7KHH[DPSOHVDUHQRWDOOHQFRPSDVVLQJDQGDQ

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
H[HPSWLRQ IURP WKH HQWLUHW\\ RI WKH ILQDO UXOH LV UHTXHVWHG WR FRPSOHWH )3/¶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\\SODQSROLFLHVDQGSURFHGXUHV LQFOXGLQJVHFXULW\\DQGRSHUDWLRQVSHUVRQQHOWUDLQLQJ 'XULQJWKH
VHFXULW\\SODQSROLFLHVDQGSURFHGXUHVLQFOXGLQJVHFXULW\\DQGRSHUDWLRQVSHUVRQQHOWUDLQLQJ'XULQJWKH
SURSRVHGSHULRGRIH[HPSWLRQ )3/ZLOOFRQWLQXHWRLPSOHPHQWWKH7XUNH\\3RLQWVHFXULW\\SODQFRQVLVWHQW
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 */  
$'$06$FFHVVLRQ1R 0/ 
$'$06$FFHVVLRQ1R0/ 

 &RQGLWLRQV$GYHUVHWR6HFXULW\\


7KHLQWURGXFWLRQRIWKHWHUP³FRQGLWLRQVDGYHUVHWRVHFXULW\\'ZLWKLQ &)5 LVXQGHILQHG 

DQG DPELJXRXV   )3/ KDV HVWDEOLVKHG  DV UHTXLUHG  D IRUPDO &RUUHFWLYH $FWLRQ 3URJUDP LQ
&RQGLWLRQV$GYHUVHWR6HFXULW\\
DFFRUGDQFH ZLWK  &)5 3DUW  $SSHQGL[ %  &ULWHULRQ ;9,   $V D UHVXOW  )3/ KDV GHYHORSHG

7KHLQWURGXFWLRQRIWKHWHUP³FRQGLWLRQVDGYHUVHWRVHFXULW\\'ZLWKLQ&)5LVXQGHILQHG
DQG DPELJXRXV  )3/ KDV HVWDEOLVKHG DV UHTXLUHG D IRUPDO &RUUHFWLYH $FWLRQ 3URJUDP LQ
DFFRUGDQFHZLWK&)53DUW$SSHQGL[%&ULWHULRQ;9,$VDUHVXOW)3/KDVGHYHORSHG
SURFHGXUHVDQGSURFHVVHVWRGHWHUPLQHFRQGLWLRQVDGYHUVHWRTXDOLW\\DVLWUHODWHVWRWKHVHFXULW\\
SURFHGXUHVDQGSURFHVVHVWRGHWHUPLQHFRQGLWLRQVDGYHUVHWRTXDOLW\\DVLWUHODWHVWRWKHVHFXULW\\
RUJDQL]DWLRQ  H J &RQGLWLRQ$GYHUVHWR5HJXODWRU\\&RPSOLDQFH 
RUJDQL]DWLRQ HJ&RQGLWLRQ$GYHUVHWR5HJXODWRU\\&RPSOLDQFH 


x )3/1XFOHDU)OHHWSURFHGXUH 3, $$ &RQGLWLRQ5HSRUWLQJ GHILQHVVSHFLILFHYHQWV
x
RU VLWXDWLRQV WKDW UHVXOW LQ D FRQGLWLRQ DGYHUVH WR TXDOLW\\ &$4  LQFOXGLQJ VHFXULW\\ UHODWHG
)3/1XFOHDU)OHHWSURFHGXUH3,$$&RQGLWLRQ5HSRUWLQJGHILQHVVSHFLILFHYHQWV
&$4VDQGVLJQLILFDQWFRQGLWLRQVDGYHUVHWRTXDOLW\\ 6&$4V 
RUVLWXDWLRQVWKDWUHVXOWLQDFRQGLWLRQDGYHUVHWRTXDOLW\\ &$4 LQFOXGLQJVHFXULW\\UHODWHG

&$4VDQGVLJQLILFDQWFRQGLWLRQVDGYHUVHWRTXDOLW\\ 6&$4V 
* LYHQ WKH UREXVW QDWXUH RI )3/¶V &RUUHFWLYH $FWLRQ 3URJUDP  WKH DGGLWLRQDO GXSOLFDWLRQ RI

SURFHGXUHVDQG RUUHYLVLRQRISURFHGXUHVWRDFFRPPRGDWHWKHQHZWHUP³FRQGLWLRQVDGYHUVHWR
*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
VHFXULW\\' DGGV DQ XQQHFHVVDU\\ DGPLQLVWUDWLYH EXUGHQ ZLWK QR LPSURYHPHQW WR WKH &RUUHFWLYH
$FWLRQ3URJUDP WKH7XUNH\\3RLQWVHFXULW\\SODQ RUWRRYHUDOOSXEOLFKHDOWKDQGVDIHW\\ 
$FWLRQ3URJUDPWKH7XUNH\\3RLQWVHFXULW\\SODQRUWRRYHUDOOSXEOLFKHDOWKDQGVDIHW\\


 'HILQLWLRQVLQ &)5 

'HILQLWLRQVLQ&)5


7KHQHZ GHILQLWLRQVH[SDQGGHILQLWLRQVVSHFLILHGLQ15&HQGRUVHG 1(, ³7HPSODWH
7KHQHZGHILQLWLRQVH[SDQGGHILQLWLRQVVSHFLILHGLQ15&HQGRUVHG1(,³7HPSODWH
IRU WKH 6HFXULW\\ 3ODQ  7UDLQLQJ DQG 4XDOLILFDWLRQ 3ODQ  6DIHJXDUGV &RQWLQJHQF\\ 3ODQ  >DQG
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* 
³3K\\VLFDO3URWHFWLRQ3URJUDPVDW1XFOHDU3RZHU5HDFWRUV' 7KHH[LVWLQJGHILQLWLRQVZHUHDSSOLHG
³3K\\VLFDO3URWHFWLRQ3URJUDPVDW1XFOHDU3RZHU5HDFWRUV'7KHH[LVWLQJGHILQLWLRQVZHUHDSSOLHG
WRGHVLJQVHFXULW\\SODQVDQGSURFHGXUHV ([DPSOHVRILVVXHVWKHQHZGHILQLWLRQVSUHVHQWLQFOXGH 
WRGHVLJQVHFXULW\\SODQVDQGSURFHGXUHV([DPSOHVRILVVXHVWKHQHZGHILQLWLRQVSUHVHQWLQFOXGH


x &RQWUDEDQG 6SHFLILFDOO\\ WKHSDUHQWKHWLFDOGHVFULELQJ³RWKHUGDQJHURXVPDWHULDOV'WRLQFOXGH
x
&RQWUDEDQG6SHFLILFDOO\\WKHSDUHQWKHWLFDOGHVFULELQJ³RWKHUGDQJHURXVPDWHULDOV'WRLQFOXGH
GLVHDVHFDXVLQJDJHQWVUHTXLUHV)3/WRSURWHFWDJDLQVWSHUFHLYHGWKUHDWVEH\\RQGWKH'HVLJQ
GLVHDVHFDXVLQJDJHQWVUHTXLUHV)3/WRSURWHFWDJDLQVWSHUFHLYHGWKUHDWVEH\\RQGWKH'HVLJQ
%DVLV7KUHDW '%7 GHVFULEHGLQ &)5 :LWKRXWWKHSURSRVHGH[HPSWLRQ DSSOLFDWLRQ
%DVLV7KUHDW '%7 GHVFULEHGLQ&)5:LWKRXWWKHSURSRVHGH[HPSWLRQDSSOLFDWLRQ
RI WKLV H[SDQGHG GHILQLWLRQ ZLOO FKDOOHQJH 7XUNH\\ 3RLQW VHFXULW\\ SODQ PHWKRGV RI FRPSO\\LQJ
RIWKLVH[SDQGHGGHILQLWLRQZLOOFKDOOHQJH7XUNH\\3RLQWVHFXULW\\SODQPHWKRGVRIFRPSO\\LQJ
ZLWK J LL % DQG K ZKLFKVWDWH HPSKDVLVDGGHG 
ZLWK J  LL % DQG K ZKLFKVWDWH HPSKDVLVDGGHG 


 J Access controls.

 J Access 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).
(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.



(ii) Where vehicle barriers are established, the licensee shall:
7XUNH\\3RLQW1XFOHDU3ODQW
(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.

/
'RFNHW1RVDQG

(QFORVXUH
3DJHRI
3DUW([HPSWLRQ5HTXHVW5HJDUGLQJ(QKDQFHG:HDSRQV
)LUHDUPV%DFNJURXQG&KHFNVDQG6HFXULW\\(YHQW1RWLILFDWLRQV)LQDO5XOH


7XUNH\\3RLQW1XFOHDU3ODQW  / 
 K Search programs
'RFNHW1RV  DQG   (QFORVXUH
3DJH RI 
3DUW ([HPSWLRQ5HTXHVW5HJDUGLQJ(QKDQFHG:HDSRQV 
)LUHDUPV%DFNJURXQG&KHFNV DQG6HFXULW\\(YHQW1RWLILFDWLRQV)LQDO5XOH

 K Search 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.
(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.
(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.
(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.
(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.  
(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.


2IQRWH  J XVHVWKHWHUPFRQWUDEDQG ZKLOH K XVHVWHUPLQRORJ\\FRQVLVWHQW
2IQRWH J XVHVWKHWHUPFRQWUDEDQGZKLOH K XVHVWHUPLQRORJ\\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
³GLVHDVH FDXVLQJ DJHQWV' LQ WKH QHZ UHJXODWRU\\ GHILQLWLRQ RI FRQWUDEDQG ZLOO UHTXLUH )3/ WR
³GLVHDVHFDXVLQJDJHQWV'LQWKHQHZUHJXODWRU\\GHILQLWLRQRIFRQWUDEDQGZLOOUHTXLUH)3/WR
PRGLI\\ LWV VHFXULW\\ SODQ SURFHGXUHV IRU FRPSOLDQFH ZLWK SDUDJUDSK J  LQ ZD\\V WKDW
PRGLI\\LWVVHFXULW\\SODQSURFHGXUHVIRUFRPSOLDQFHZLWKSDUDJUDSK J LQZD\\VWKDW
DUHXQFOHDUDWWKLVWLPH )3/XQGHUVWDQGVWKDWWKH15&LVORRNLQJDWSRWHQWLDOUHVROXWLRQVIRU
DUHXQFOHDUDWWKLVWLPH)3/XQGHUVWDQGVWKDWWKH15&LVORRNLQJDWSRWHQWLDOUHVROXWLRQVIRU
WKLV LVVXH  EXW ZLWKRXW IXUWKHU JXLGDQFH RU UXOHPDNLQJ  FRPSOLDQFH ZLWK WKLV UHTXLUHPHQW
WKLV LVVXH EXW ZLWKRXW IXUWKHU JXLGDQFH RU UXOHPDNLQJ FRPSOLDQFH ZLWK WKLV UHTXLUHPHQW
FDQQRWEHUHOLDEO\\DFKLHYHGZLWKLQWKHH[SHFWHGFRPSOLDQFHSHULRG 
FDQQRWEHUHOLDEO\\DFKLHYHGZLWKLQWKHH[SHFWHGFRPSOLDQFHSHULRG


x Time of Discovery  6SHFLILFDOO\\  WKH QHZ GHILQLWLRQ VSHFLILHV WKDW D FRJQL]DQW LQGLYLGXDO ³LV
x
FRQVLGHUHGDQ\\RQHZKR E\\SRVLWLRQ H[SHULHQFH DQG RUWUDLQLQJ LVH[SHFWHGWRXQGHUVWDQG
Time of Discovery6SHFLILFDOO\\WKHQHZGHILQLWLRQVSHFLILHVWKDWDFRJQL]DQWLQGLYLGXDO³LV
WKDWDSDUWLFXODUFRQGLWLRQRUHYHQWDGYHUVHO\\LPSDFWVVHFXULW\\ '$W7XUNH\\3RLQW )3/DSSOLHV
FRQVLGHUHGDQ\\RQHZKRE\\SRVLWLRQH[SHULHQFHDQGRUWUDLQLQJLVH[SHFWHGWRXQGHUVWDQG
WKH GHILQLWLRQ LQ 1(,  DQG 5*  ZKHUHE\\ ³D VXSHUYLVRU RU PDQDJHU PDNHV D
WKDWDSDUWLFXODUFRQGLWLRQRUHYHQWDGYHUVHO\\LPSDFWVVHFXULW\\'$W7XUNH\\3RLQW)3/DSSOLHV
WKH GHILQLWLRQ LQ 1(,  DQG 5*  ZKHUHE\\ ³D VXSHUYLVRU RU PDQDJHU PDNHV D
GHWHUPLQDWLRQWKDWDYHULILHGGHJUDGDWLRQRIDVHFXULW\\VDIHJXDUGVPHDVXUHRUDFRQWLQJHQF\\
GHWHUPLQDWLRQWKDWDYHULILHGGHJUDGDWLRQRIDVHFXULW\\VDIHJXDUGVPHDVXUHRUDFRQWLQJHQF\\
VLWXDWLRQH[LVWV 'WRHVWDEOLVK7 IRUVHFXULW\\UHODWHGHYHQWV 
VLWXDWLRQH[LVWV'WRHVWDEOLVK7 IRUVHFXULW\\UHODWHGHYHQWV


7KHQHZGHILQLWLRQH[SDQGVWKHSRRORISHUVRQQHOSUHYLRXVO\\XVHGE\\OLFHQVHHVWRGHWHUPLQH
7KHQHZGHILQLWLRQH[SDQGVWKHSRRORISHUVRQQHOSUHYLRXVO\\XVHGE\\OLFHQVHHVWRGHWHUPLQH
7  IRU DQ HYHQW  GXH WR WKH XQGHILQHG QDWXUH RI ³SRVLWLRQ  H[SHULHQFH  DQG RU WUDLQLQJ '
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
$GGLWLRQDOO\\ WKH ORZHU WKUHVKROG IRU UHFRJQLWLRQ RI ³DGYHUVHO\\ LPSDFWV VHFXULW\\' YHUVXV
³UHFRJQLWLRQ RI YHULILHG GHJUDGDWLRQ RI D VHFXULW\\ VDIHJXDUGV PHDVXUH RU D FRQWLQJHQF\\
³UHFRJQLWLRQ RI YHULILHG GHJUDGDWLRQ RI D VHFXULW\\ VDIHJXDUGV PHDVXUH RU D FRQWLQJHQF\\
VLWXDWLRQ'FRQWULEXWHVWRWKHH[SDQVLRQRIWKHSHUVRQQHOSRRO )3/EHOLHYHVWKHGHILQLWLRQLQ
VLWXDWLRQ'FRQWULEXWHVWRWKHH[SDQVLRQRIWKHSHUVRQQHOSRRO)3/EHOLHYHVWKHGHILQLWLRQLQ
1(, DQG5* LVWKHDSSURSULDWHWKUHVKROGIRU7 IRUVHFXULW\\UHODWHGHYHQWV 
1(,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
7XUNH\\ 3RLQW VHFXULW\\ SURJUDP ZKLFK UHYLVH WUDLQLQJ PRGXOHV IRU JHQHUDO SODQW HPSOR\\HHV 
7XUNH\\3RLQW1XFOHDU3ODQW  / 
'RFNHW1RV  DQG   (QFORVXUH
3DJH RI 
3DUW ([HPSWLRQ5HTXHVW5HJDUGLQJ(QKDQFHG:HDSRQV 
)LUHDUPV%DFNJURXQG&KHFNV DQG6HFXULW\\(YHQW1RWLILFDWLRQV)LQDO5XOH

SRWHQWLDOO\\ LQFOXGLQJ DSSOLFDEOH 1$17H/ WUDLQLQJ  WR H[SDQG UHVSRQVLELOLW\\ IRU HVWDEOLVKLQJ
WLPHRIGLVFRYHU\\DFURVVDEURDGVSHFWUXPRIVWDWLRQSHUVRQQHODVFRJQL]DQWLQGLYLGXDOV 


 )HGHUDO$YLDWLRQ$GPLQLVWUDWLRQ )$$ /RFDO&RQWURO7RZHU3RLQWRI&RQWDFW
:LWKRXW WKH SURSRVHG H[HPSWLRQ DQG FODULILFDWLRQ IURP QHZ RU UHYLVHG JXLGDQFH WKH
DSSOLFDWLRQRIWKLVQHZGHILQLWLRQZLOOUHTXLUH)3/WRLPSOHPHQWLPPHGLDWHFKDQJHVWRWKH
7XUNH\\3RLQWVHFXULW\\SURJUDPZKLFKUHYLVHWUDLQLQJPRGXOHVIRUJHQHUDOSODQWHPSOR\\HHV
 
7XUNH\\3RLQW1XFOHDU3ODQW


&)5 HVWDEOLVKHVUHTXLUHPHQWVIRUUHSRUWLQJVXVSLFLRXVDFWLYLWLHVLQYROYLQJDLUFUDIWWR
/
DOLFHQVHH¶VORFDO)$$FRQWUROWRZHU 6SHFLILFDOO\\ )3/ZRXOGEHUHTXLUHGWR 
'RFNHW1RVDQG


x (VWDEOLVKDSRLQWRIFRQWDFWZLWKWKHORFDO)$$FRQWUROWRZHU DQG
(QFORVXUH
x 'RFXPHQWWKHSRLQWRIFRQWDFWLQZULWWHQFRPPXQLFDWLRQSURFHGXUHV 
3DJHRI

3DUW([HPSWLRQ5HTXHVW5HJDUGLQJ(QKDQFHG:HDSRQV
* LYHQ WKH -DQXDU\\   FRPSOLDQFH GDWH  )3/ PD\\ QRW EH DEOH WR WLPHO\\ HVWDEOLVK D
)LUHDUPV%DFNJURXQG&KHFNVDQG6HFXULW\\(YHQW1RWLILFDWLRQV)LQDO5XOH
PHPRUDQGXPRIXQGHUVWDQGLQJRUVLPLODUDJUHHPHQWZLWKWKHORFDO)$$DXWKRULW\\ ZLWKRXWZKLFK

FUHGHQFHPD\\QRWEHJLYHQWRDVXVSLFLRXVDFWLYLW\\FDOOIURP7XUNH\\3RLQWRSHUDWRUV )3/VHFXULW\\
SRWHQWLDOO\\LQFOXGLQJDSSOLFDEOH1$17H/WUDLQLQJ WRH[SDQGUHVSRQVLELOLW\\IRUHVWDEOLVKLQJ
SURFHGXUHVVSHFLI\\DQ QXPEHUFRQWDFWZLWKWKH)$$ KRZHYHU WKLVVDPHQXPEHULVVKDUHG
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
ZLWK)3/¶VRWKHUQXFOHDUVLWHVWKURXJKRXWWKH8QLWHG6WDWHVDQGLWLVXQFOHDUZKHWKHUWKLVJHQHUDO
FRQWDFW LQIRUPDWLRQ VDWLVILHV WKHORFDO )$$ FRQWURO WRZHU FRQWDFW UHTXLUHPHQWV VSHFLILHG LQ WKH
FRQWDFWLQIRUPDWLRQVDWLVILHVWKHORFDO)$$FRQWUROWRZHUFRQWDFWUHTXLUHPHQWVVSHFLILHGLQWKH
ILQDO UXOH   :LWKRXW WKH SURSRVHG H[HPSWLRQ WR SURYLGH WLPH IRU UHYLVHG UHJXODWRU\\ JXLGDQFH RU
ILQDOUXOH:LWKRXWWKHSURSRVHGH[HPSWLRQWRSURYLGHWLPHIRUUHYLVHGUHJXODWRU\\JXLGDQFHRU
UXOHPDNLQJ )3/FDQQRWFRQILGHQWO\\DVVHVVLWVFRPSOLDQFHZLWKWKLVILQDOUXOHUHTXLUHPHQW 
UXOHPDNLQJ)3/FDQQRWFRQILGHQWO\\DVVHVVLWVFRPSOLDQFHZLWKWKLVILQDOUXOHUHTXLUHPHQW


 5HJXODWRU\\*XLGHV

5HJXODWRU\\*XLGHV

,Q0DUFKWRVXSSRUWWKHLPSOHPHQWDWLRQRIWKHILQDOUXOHWKH15&LVVXHG5*³3K\\VLFDO
6HFXULW\\(YHQW1RWLILFDWLRQV5HSRUWVDQG5HFRUGV'5HYLVLRQ$VVWDWHGDERYHGXULQJWKH
$XJXVWSXEOLFPHHWLQJWKH15&DFNQRZOHGJHGDPELJXLWLHVDQGLQFRQVLVWHQFLHVLQWKH
ILQDOUXOHODQJXDJHDQGDVVRFLDWHGJXLGDQFH%HORZDUHH[DPSOHVRILGHQWLILHGLVVXHVZLWKWKH
UHJXODWRU\\JXLGDQFHZKLFKQHFHVVLWDWHWKHSURSRVHGH[HPSWLRQIRU7XUNH\\3RLQW


  KRXUYVPLQXWHQRWLILFDWLRQUHTXLUHPHQW

x
 H  LLL DQG LY UHTXLUHVDKRXUQRWLILFDWLRQIRUFRQWUDEDQGDWWHPSWHGRU
DFWXDOLQWURGXFWLRQRIFRQWUDEDQGLQWRD3$9$RU0$$

o
7KHGHILQLWLRQRIFRQWUDEDQGFRQWDLQVWKHWHUP³LQFHQGLDULHV'

x
 D UHTXLUHGDPLQXWHQRWLILFDWLRQIRUKRVWLOHDFWLRQV

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
 H  Y UHTXLUHVDKRXUQRWLILFDWLRQIRUDORVWRUXQFRQWUROOHGZHDSRQ

x
 I UHTXLUHVUHFRUGLQJZLWKLQKRXUV³SK\\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


,Q0DUFK WRVXSSRUWWKHLPSOHPHQWDWLRQRIWKHILQDOUXOH WKH15&LVVXHG5* ³3K\\VLFDO
  0DOHYROHQWLQWHQWGLVFXVVLRQ
6HFXULW\\ (YHQW 1RWLILFDWLRQV  5HSRUWV  DQG 5HFRUGV ' 5HYLVLRQ   $V VWDWHG DERYH  GXULQJ WKH
$XJXVW  SXEOLFPHHWLQJ WKH15&DFNQRZOHGJHGDPELJXLWLHVDQGLQFRQVLVWHQFLHVLQWKH
ILQDOUXOHODQJXDJHDQGDVVRFLDWHGJXLGDQFH %HORZDUHH[DPSOHVRILGHQWLILHGLVVXHVZLWKWKH
UHJXODWRU\\JXLGDQFHZKLFKQHFHVVLWDWHWKHSURSRVHGH[HPSWLRQIRU7XUNH\\3RLQW 

 KRXUYV  PLQXWHQRWLILFDWLRQUHTXLUHPHQW 

x  H LLL  DQG LY  UHTXLUHV D KRXU QRWLILFDWLRQ IRU FRQWUDEDQG DWWHPSWHG RU
DFWXDOLQWURGXFWLRQRIFRQWUDEDQGLQWRD3$ 9$ RU0$$ 

o 7KHGHILQLWLRQRIFRQWUDEDQGFRQWDLQVWKHWHUP³LQFHQGLDULHV' 

x  D UHTXLUHGD PLQXWHQRWLILFDWLRQIRUKRVWLOHDFWLRQV 

o 5*  5HY 6HFWLRQ SDJH SURYLGHVH[DPSOHVRIKRVWLOHDFWLRQV 

- 7KHGLVFRYHU\\RIXQDXWKRUL]HGH[SORVLYHPDWHULDOV LQFHQGLDU\\PDWHULDOV RU
DQLPSURYLVHGH[SORVLYHGHYLFHZLWKLQWKHOLFHQVHH¶VVLWHERXQGDU\\ 

x 7KHILQDOUXOHODQJXDJHUHTXLUHVD KRXUQRWLILFDWLRQIRUDQLQFHQGLDU\\GHYLFHDWRULQVLGH
WKH3$ 9$ RU0$$ 7KH5*GULYHVOLFHQVHHVWRD PLQXWHQRWLILFDWLRQIRUDQLQFHQGLDU\\
GHYLFHDWWKHVLWHERXQGDU\\ ZKLFKLVIXUWKHUDZD\\IURPVDIHW\\UHODWHGHTXLSPHQW 


7KHGLVSDULW\\5*  5HYLVLRQ LQWURGXFHVUHJDUGLQJ PLQXWHYHUVXV KRXUQRWLILFDWLRQ
x
IRUWKHGLVFRYHU\\RILQFHQGLDU\\PDWHULDOVZDUUDQWVUHJXODWRU\\FODULILFDWLRQ 6WDWLRQSHUVRQQHO
&)5RQO\\UHIHUVWRWKHWHUP³PDOHYROHQWLQWHQW'LQ T  DVexempli gratiaRU³HJ'SDUHQWKHWLFDOGHVFULELQJDFLUFXPVWDQFHZKHUHDOLFHQVHHPD\\GHVLUHWR
DUH WUDLQHG DQG IOXHQW LQ VWDWLRQ SURFHGXUHV DQG DSSOLFDEOH UHJXODWRU\\ JXLGDQFH WR VXSSRUW
GHWUDFWDSUHYLRXVSK\\VLFDOVHFXULW\\HYHQWQRWLILFDWLRQ
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  / 
o
'RFNHW1RV  DQG   (QFORVXUH
5*5HY6HFWLRQSDJHWLWOHG³0DOHYROHQW,QWHQWDQG&UHGLEOH%RPE
3DJH RI 
7KUHDW &RQVLGHUDWLRQV' VWDWHV WKH 15&¶V SRVLWLRQ WKDW RQO\\ JRYHUQPHQW RIILFLDOV
3DUW ([HPSWLRQ5HTXHVW5HJDUGLQJ(QKDQFHG:HDSRQV 
KDYHWKHQHFHVVDU\\UHVRXUFHVDQGTXDOLILFDWLRQVWRGHWHUPLQHZKHWKHUPDOHYROHQW
)LUHDUPV%DFNJURXQG&KHFNV DQG6HFXULW\\(YHQW1RWLILFDWLRQV)LQDO5XOH
LQWHQWZDVSUHVHQWLQDVHFXULW\\HYHQW

 KRXUQRWLILFDWLRQYV  KRXUUHFRUGLQJRI³ORVWRUXQFRQWUROOHGZHDSRQ' 

x  H Y UHTXLUHVD KRXUQRWLILFDWLRQIRUDORVWRUXQFRQWUROOHGZHDSRQ 

x  I  UHTXLUHV UHFRUGLQJ ZLWKLQ KRXUV ³SK\\VLFDO VHFXULW\\ HYHQWV RU FRQGLWLRQV
WKDWGHFUHDVHVWKHHIIHFWLYHQHVVRIWKHSK\\VLFDOVHFXULW\\SURJUDP '


o5* 5HY  6HFWLRQ  SDJH  SURYLGHV H[DPSOHV RI WKH ³5HFRUGDEOH
o
(YHQWV DQG&RQGLWLRQV 5HJDUGLQJ 'HFUHDVHV LQ (IIHFWLYHQHVV'  WKDW I 
'XULQJWKH0D\\DQG$XJXVWSXEOLFPHHWLQJVWKH15&ZDVXQDEOHWR
UHTXLUHV  7KH 5* LQFOXGHV DQ HYHQW LQYROYLQJ WKH ORVV RI FRQWURO RI DQ DXWKRUL]HG
FRQVLVWHQWO\\GHVFULEHZKHQOLFHQVHHVZHUHFDSDEOHRIWKLVGHWHUPLQDWLRQDQGZKHQ
VHFXULW\\ZHDSRQZLWKLQD3$ 9$ 0$$ RU&$$ 
OLFHQVHHVZHUHUHTXLUHGWRKDYHJRYHUQPHQWRIILFLDOVPDNHWKLVGHWHUPLQDWLRQ


7KH FRQIOLFW EHWZHHQ WKH QRWLILFDWLRQ DQG UHFRUGLQJ RI D ORVW RU XQFRQWUROOHG ZHDSRQ RQO\\
o
H[LVWVEHFDXVHRIWKHUHJXODWRU\\JXLGDQFHLQ5* 5HYLVLRQ $VDEHVWSUDFWLFH DQGWR
,Q³15&5HVSRQVHWR3XEOLF&RPPHQWV'FRPPHQW.FRQWDLQVWKHGLVFXVVLRQ
VXSSRUWDFFXUDWHGHWHUPLQDWLRQRIQRWLILFDWLRQHYHQWV VWDWLRQSHUVRQQHODUHWUDLQHGDQGIOXHQW
UHJDUGLQJ³FUHGLEOH'DQGSXWVLQWRFRQWH[WWKHFLUFXPVWDQFHVRIWKH15&¶VSRVLWLRQ
LQ UHIHUHQFLQJ SXEOLVKHG 5*V  VWDWLRQ SURFHGXUHV DQG JXLGDQFH  DQG RWKHU LQGXVWU\\
DVLWUHODWHVWRWKHGHWHUPLQDWLRQRIPDOHYROHQWLQWHQW
GRFXPHQWV   $GGLWLRQDO FODULW\\ LV QHHGHG WR VXSSRUW WKH LPSOHPHQWDWLRQ RI QRWLILFDWLRQV DQG
UHFRUGNHHSLQJ LQ D FRQVLVWHQW DQG VXFFHVVIXO PDQQHU  7KH SURSRVHG H[HPSWLRQ ZRXOG
SURYLGHWLPHIRUWKHUHYLVHGUHJXODWRU\\JXLGDQFHDQG RUUXOHPDNLQJRQWKLVLVVXH 


 0DOHYROHQWLQWHQWGLVFXVVLRQ 
-

,WLVFOHDUWKDWDVRIWKHSXEOLFDWLRQGDWHRI0DUFKWKHGLVFXVVLRQUHYROYHV
x &)5 RQO\\UHIHUVWRWKHWHUP³PDOHYROHQWLQWHQW'LQ T DVexempli gratiaRU³H J 'SDUHQWKHWLFDOGHVFULELQJDFLUFXPVWDQFHZKHUHDOLFHQVHHPD\\GHVLUHWR
DURXQG WKH PLQXWH QRWLILFDWLRQ UHTXLUHPHQWV DQG QRW EODQNHWO\\ DFURVV DOO
GHWUDFWDSUHYLRXVSK\\VLFDOVHFXULW\\HYHQWQRWLILFDWLRQ 
VHFXULW\\UHODWHGHYHQWV

o 5*  5HY  6HFWLRQ  SDJH  WLWOHG  ³0DOHYROHQW,QWHQW DQG &UHGLEOH %RPE
7KUHDW &RQVLGHUDWLRQV ' VWDWHV WKH 15&¶V SRVLWLRQ WKDW RQO\\ JRYHUQPHQW RIILFLDOV
KDYH WKH QHFHVVDU\\ UHVRXUFHV DQG TXDOLILFDWLRQV WR GHWHUPLQH ZKHWKHU PDOHYROHQW
LQWHQWZDVSUHVHQWLQDVHFXULW\\HYHQW 

o 'XULQJ WKH 0D\\  DQG $XJXVW  SXEOLF PHHWLQJV  WKH 15& ZDV XQDEOH WR
FRQVLVWHQWO\\GHVFULEHZKHQOLFHQVHHVZHUHFDSDEOHRIWKLVGHWHUPLQDWLRQ DQGZKHQ
OLFHQVHHVZHUHUHTXLUHGWRKDYHJRYHUQPHQWRIILFLDOVPDNHWKLVGHWHUPLQDWLRQ 

o,Q ³15& 5HVSRQVH WR 3XEOLF &RPPHQWV'  FRPPHQW.  FRQWDLQV WKH GLVFXVVLRQ
UHJDUGLQJ³FUHGLEOH' DQGSXWVLQWRFRQWH[W WKHFLUFXPVWDQFHVRIWKH15&¶VSRVLWLRQ 
DVLWUHODWHVWRWKHGHWHUPLQDWLRQRIPDOHYROHQWLQWHQW 


-,WLVFOHDU WKDWDVRIWKHSXEOLFDWLRQGDWHRI0DUFK WKHGLVFXVVLRQUHYROYHV
)3/ EHOLHYHV WKDW LQ FHUWDLQ FLUFXPVWDQFHV H[WHUQDO JRYHUQPHQW DJHQFLHV DUH EHVW
DURXQG WKH PLQXWH QRWLILFDWLRQ UHTXLUHPHQWV  DQG QRW EODQNHWO\\ DFURVV DOO
VXLWHG WR GHWHUPLQH PDOHYROHQW LQWHQW HJ FUHGLEOH ERPE WKUHDW FUHGLEOH WKUHDW 
VHFXULW\\UHODWHGHYHQWV 
+RZHYHU)3/¶VSRVLWLRQRQWKHFDSDELOLW\\WRGHWHUPLQHLQWHQWDVLWUHODWHVWRLGHQWLI\\LQJ

+XPDQ 3HUIRUPDQFH HUURUV DV ZHOO DV GHWHUPLQLQJ 7UXVWZRUWK\\ DQG 5HOLDELOLW\\ IRU
)3/ EHOLHYHV WKDW LQ FHUWDLQ FLUFXPVWDQFHV  H[WHUQDO JRYHUQPHQW DJHQFLHV DUH EHVW
$FFHVVSXUSRVHVUHPDLQVZLWK)3/
VXLWHG WR GHWHUPLQH PDOHYROHQW LQWHQW  H J  FUHGLEOH ERPE WKUHDW  FUHGLEOH WKUHDW 
+RZHYHU )3/¶VSRVLWLRQRQWKHFDSDELOLW\\WRGHWHUPLQHLQWHQWDVLWUHODWHVWRLGHQWLI\\LQJ
+XPDQ 3HUIRUPDQFH HUURUV  DV ZHOO DV GHWHUPLQLQJ 7UXVWZRUWK\\ DQG 5HOLDELOLW\\ IRU
$FFHVVSXUSRVHV UHPDLQVZLWK)3/ 



15&5HVSRQVHWR3XEOLF&RPPHQWV³(QKDQFHG:HDSRQV)LUHDUPV%DFNJURXQG&KHFNVDQG6HFXULW\\(YHQWQRWLILFDWLRQV5XOH'
15&5,1$,D^ŽEŽD>



7XUNH\\3RLQW1XFOHDU3ODQW
15&5HVSRQVHWR3XEOLF&RPPHQWV ³(QKDQFHG:HDSRQV )LUHDUPV%DFNJURXQG&KHFNV DQG6HFXULW\\(YHQWQRWLILFDWLRQV5XOH' 

15& 5,1 $,  D^ŽEŽD>
/
7XUNH\\3RLQW1XFOHDU3ODQW  / 
'RFNHW1RVDQG
'RFNHW1RV  DQG   (QFORVXUH

3DJH RI 
(QFORVXUH
3DUW ([HPSWLRQ5HTXHVW5HJDUGLQJ(QKDQFHG:HDSRQV 
3DJHRI
)LUHDUPV%DFNJURXQG&KHFNV DQG6HFXULW\\(YHQW1RWLILFDWLRQV)LQDO5XOH
3DUW([HPSWLRQ5HTXHVW5HJDUGLQJ(QKDQFHG:HDSRQV

)LUHDUPV%DFNJURXQG&KHFNVDQG6HFXULW\\(YHQW1RWLILFDWLRQV)LQDO5XOH

7KHODFNRIFODULW\\RIZKHQLWLVDSSURSULDWHIRUH[WHUQDOJRYHUQPHQWRIILFLDOVWRGHWHUPLQH
7KHODFNRIFODULW\\RIZKHQLWLVDSSURSULDWHIRUH[WHUQDOJRYHUQPHQWRIILFLDOVWRGHWHUPLQH
PDOHYROHQW LQWHQW FUHDWHV FRQIXVLRQ   &ODULILFDWLRQ LV QHHGHG WR SUHYHQW XQQHFHVVDU\\
PDOHYROHQW LQWHQW FUHDWHV FRQIXVLRQ  &ODULILFDWLRQ LV QHHGHG WR SUHYHQW XQQHFHVVDU\\
FKDQJHV WR 7XUNH\\ 3RLQW VHFXULW\\ SODQ SURFHGXUHV  VXFK DV DFFHVV DXWKRUL]DWLRQ
FKDQJHV WR 7XUNH\\ 3RLQW VHFXULW\\ SODQ SURFHGXUHV VXFK DV DFFHVV DXWKRUL]DWLRQ
SURFHGXUHV  WR DZDLW LQYHVWLJDWLRQ UHVXOWV IURP 15&¶V 2IILFH RI,QYHVWLJDWLRQV 2,  WKH
SURFHGXUHVWRDZDLWLQYHVWLJDWLRQUHVXOWVIURP15&¶V2IILFHRI,QYHVWLJDWLRQV 2, WKH
LQWHOOLJHQFH FRPPXQLW\\  RU D IHGHUDO  6WDWH  RU ORFDO ODZ HQIRUFHPHQW DJHQF\\   7KH
LQWHOOLJHQFH FRPPXQLW\\ RU D IHGHUDO 6WDWH RU ORFDO ODZ HQIRUFHPHQW DJHQF\\  7KH
SURSRVHGH[HPSWLRQZRXOGSURYLGHWLPHIRUUHYLVHGUHJXODWRU\\JXLGDQFHRQWKLVLVVXH 
SURSRVHGH[HPSWLRQZRXOGSURYLGHWLPHIRUUHYLVHGUHJXODWRU\\JXLGDQFHRQWKLVLVVXH


$V VWDWHG HDUOLHU  WKH DERYH H[DPSOHV RI DPELJXLWLHV DQG LQFRQVLVWHQFLHV LQ WKH ILQDO UXOH DUH QRW DOO
$VVWDWHGHDUOLHUWKHDERYHH[DPSOHVRIDPELJXLWLHVDQGLQFRQVLVWHQFLHVLQWKHILQDOUXOHDUHQRWDOO
HQFRPSDVVLQJDQG)3/¶VJDSDQDO\\VLVRIWKHILQDOUXOHDJDLQVWFXUUHQWUHTXLUHPHQWVLVQRW\\HWFRPSOHWH 
HQFRPSDVVLQJDQG)3/¶VJDSDQDO\\VLVRIWKHILQDOUXOHDJDLQVWFXUUHQWUHTXLUHPHQWVLVQRW\\HWFRPSOHWH
$FFRUGLQJO\\ DQH[HPSWLRQIURPWKHHQWLUHW\\RIWKHILQDOUXOHLVUHTXHVWHGXQWLO'HFHPEHU  RU
$FFRUGLQJO\\DQH[HPSWLRQIURPWKHHQWLUHW\\RIWKHILQDOUXOHLVUHTXHVWHGXQWLO'HFHPEHURU
 GD\\V DIWHU SXEOLFDWLRQ RI WKH DSSOLFDEOH 5*V  ZKLFKHYHU LV ODWHU   'XULQJ WKH SURSRVHG SHULRG RI
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*
5HYLVLRQ DQG*/ 
5HYLVLRQDQG*/




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


$V KLJKOLJKWHG LQ WKH VHOHFWHG H[DPSOHV DERYH  WKH ODFN RI FODULW\\ RQ NH\\ SDUWV RI WKH ILQDO UXOH PD\\
$VKLJKOLJKWHGLQWKHVHOHFWHGH[DPSOHVDERYHWKHODFNRIFODULW\\RQNH\\SDUWVRIWKHILQDOUXOHPD\\
UHVXOWLQLQDGHTXDWHLPSOHPHQWDWLRQDQGSRWHQWLDOQRQ FRPSOLDQFHDQGFRXOGUHVXOWLQPRGLILFDWLRQWR
UHVXOWLQLQDGHTXDWHLPSOHPHQWDWLRQDQGSRWHQWLDOQRQFRPSOLDQFHDQGFRXOGUHVXOWLQPRGLILFDWLRQWR
H[LVWLQJ7XUNH\\3RLQWVHFXULW\\SODQVDQGSURFHGXUHVDWOHDVWWZLFH EDVHGRQLQWHUSUHWDWLRQRIWKHILQDO
H[LVWLQJ7XUNH\\3RLQWVHFXULW\\SODQVDQGSURFHGXUHVDWOHDVWWZLFHEDVHGRQLQWHUSUHWDWLRQRIWKHILQDO
UXOH DQG UHJXODWRU\\ JXLGDQFH  $FFRUGLQJO\\  )3/ UHTXHVWV WKH IROORZLQJ EH WDNHQ LQWR FRQVLGHUDWLRQ
UXOH DQG UHJXODWRU\\ JXLGDQFH $FFRUGLQJO\\ )3/ UHTXHVWV WKH IROORZLQJ EH WDNHQ LQWR FRQVLGHUDWLRQ
GXULQJUHYLHZRIWKLVUHTXHVW 
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 &$3 DQGHQWHUVLQWRWKH&$3
DGYHUVHWRUHJXODWRU\\FRPSOLDQFH 
FRQGLWLRQVDGYHUVHWRTXDOLW\\DVWKH\\UHODWHWRVHFXULW\\SURJUDPVDQGLWHPVWKDWDUHFRQGLWLRQV
DGYHUVHWRUHJXODWRU\\FRPSOLDQFH


x $W7XUNH\\3RLQW )3/FRPSOLHVZLWKWKHGHILQLWLRQRIContrabandDQGTime of DiscoveryDVWKH\\DUH
x
GHILQHGLQ5* ³3K\\VLFDO3URWHFWLRQ3URJUDPVDW1XFOHDU3RZHU5HDFWRUV' 5HYLVLRQ DQGLQ
$W7XUNH\\3RLQW)3/FRPSOLHVZLWKWKHGHILQLWLRQRIContrabandDQGTime of DiscoveryDVWKH\\DUH
1(,  ³7HPSODWH IRU WKH 6HFXULW\\ 3ODQ  7UDLQLQJ DQG 4XDOLILFDWLRQ 3ODQ  6DIHJXDUGV
GHILQHGLQ5*³3K\\VLFDO3URWHFWLRQ3URJUDPVDW1XFOHDU3RZHU5HDFWRUV'5HYLVLRQDQGLQ
&RQWLQJHQF\\3ODQ >DQG,QGHSHQGHQW6SHQW)XHO6WRUDJH,QVWDOODWLRQ6HFXULW\\3URJUDP@' 
1(,  ³7HPSODWH IRU WKH 6HFXULW\\ 3ODQ 7UDLQLQJ DQG 4XDOLILFDWLRQ 3ODQ 6DIHJXDUGV
&RQWLQJHQF\\3ODQ>DQG,QGHSHQGHQW6SHQW)XHO6WRUDJH,QVWDOODWLRQ6HFXULW\\3URJUDP@'


x )3/ ZLOO FRQWDFW WKH ORFDO )$$ FRQWURO WRZHU DXWKRULW\\ WR HVWDEOLVKD QRWLILFDWLRQ DJUHHPHQW IRU
x
VXVSLFLRXVDLUFUDIWDFWLYLW\\DQGXSRQILQDOL]DWLRQ ZLOOGRFXPHQWWKHORFDO)$$FRQWUROWRZHUDXWKRULW\\
)3/ZLOOFRQWDFWWKHORFDO)$$FRQWUROWRZHUDXWKRULW\\WRHVWDEOLVK DQRWLILFDWLRQDJUHHPHQWIRU
FRQWDFWLQIRUPDWLRQ LQ 7XUNH\\ 3RLQW VHFXULW\\ FRPPXQLFDWLRQ SURFHGXUHV 'XULQJ WKH SHULRG RI
VXVSLFLRXVDLUFUDIWDFWLYLW\\DQGXSRQILQDOL]DWLRQZLOOGRFXPHQWWKHORFDO)$$FRQWUROWRZHUDXWKRULW\\
H[HPSWLRQ  )3/ ZLOO FRQWLQXH WR XVH WKH)$$ FRQWDFW SURFHGXUHV DQG SKRQH QXPEHU FXUUHQWO\\ LQ
FRQWDFW LQIRUPDWLRQ LQ 7XUNH\\ 3RLQW VHFXULW\\ FRPPXQLFDWLRQ SURFHGXUHV 'XULQJ WKH SHULRG RI
SODFH 
H[HPSWLRQ)3/ZLOOFRQWLQXHWRXVHWKH)$$FRQWDFWSURFHGXUHVDQGSKRQHQXPEHUFXUUHQWO\\LQ
SODFH


x $W7XUNH\\3RLQW )3/FRPSOLHVZLWKWKHVHFXULW\\HYHQWUHSRUWLQJUHTXLUHPHQWVFRQVLVWHQWZLWK5*
x
 5HYLVLRQ  DQG */  DQG ZLOO FRQWLQXH LPSOHPHQWDWLRQ LQ WKLV PDQQHU GXULQJ WKH
$W7XUNH\\3RLQW)3/FRPSOLHVZLWKWKHVHFXULW\\HYHQWUHSRUWLQJUHTXLUHPHQWVFRQVLVWHQWZLWK5*
SURSRVHGSHULRGRIH[HPSWLRQ 
 5HYLVLRQ  DQG */  DQG ZLOO FRQWLQXH LPSOHPHQWDWLRQ LQ WKLV PDQQHU GXULQJ WKH
SURSRVHGSHULRGRIH[HPSWLRQ


o 7KLVLQFOXGHVWKHDFFHOHUDWHGFDOOWRWKH15&DVLWSHUWDLQVWR15&%XOOHWLQ 
o
7KLVLQFOXGHVWKHDFFHOHUDWHGFDOOWRWKH15&DVLWSHUWDLQVWR15&%XOOHWLQ


x $W7XUNH\\3RLQW )3/UHPDLQVFDSDEOHRIPDNLQJYROXQWDU\\UHSRUWVRIVXVSLFLRXVDFWLYLWLHVDQGZLOO
x
FRQWLQXHLPSOHPHQWDWLRQLQWKLVPDQQHUGXULQJWKHSURSRVHGSHULRGRIH[HPSWLRQ 
$W7XUNH\\3RLQW)3/UHPDLQVFDSDEOHRIPDNLQJYROXQWDU\\UHSRUWVRIVXVSLFLRXVDFWLYLWLHVDQGZLOO
FRQWLQXHLPSOHPHQWDWLRQLQWKLVPDQQHUGXULQJWKHSURSRVHGSHULRGRIH[HPSWLRQ

x
)3/LVLQIXOOFRPSOLDQFHZLWKWKHQHZ)LWQHVVIRU'XW\\5XOHSURPXOJDWHGLQ

x
)3/EHOLHYHVWKHEXUGHQDVVRFLDWHGZLWKUHZRUNLVXQQHFHVVDU\\ZKLOHDZDLWLQJFODULW\\LQWKHILQDO
UXOHZLWKUHYLVLRQRIWKHDVVRFLDWHG5*V6HYHUDOH[DPSOHVRIZKHUHUHZRUNZLOOEHUHTXLUHGDUH

 
7XUNH\\3RLQW1XFOHDU3ODQW


x )3/LVLQIXOOFRPSOLDQFHZLWKWKHQHZ)LWQHVVIRU'XW\\5XOHSURPXOJDWHGLQ 
/
'RFNHW1RVDQG


x )3/EHOLHYHVWKHEXUGHQDVVRFLDWHGZLWKUHZRUNLVXQQHFHVVDU\\ZKLOHDZDLWLQJFODULW\\LQWKHILQDO
(QFORVXUH
UXOHZLWKUHYLVLRQRIWKHDVVRFLDWHG5*V 6HYHUDOH[DPSOHVRIZKHUHUHZRUNZLOOEHUHTXLUHGDUH 
3DJHRI
3DUW([HPSWLRQ5HTXHVW5HJDUGLQJ(QKDQFHG:HDSRQV
)LUHDUPV%DFNJURXQG&KHFNVDQG6HFXULW\\(YHQW1RWLILFDWLRQV)LQDO5XOH


7XUNH\\3RLQW1XFOHDU3ODQW  / 
o
'RFNHW1RV  DQG   (QFORVXUH
5HYLVLRQVRIDVVRFLDWHGSURFHGXUHVSURFHVVHVMREDLGVWUDLQLQJPDWHULDOVDQGOHVVRQSODQV
3DJH RI 
WKDWDUHXVHGWRGHVFULEHDQGHODERUDWHRQUHSRUWLQJUHTXLUHPHQWV
3DUW ([HPSWLRQ5HTXHVW5HJDUGLQJ(QKDQFHG:HDSRQV 
)LUHDUPV%DFNJURXQG&KHFNV DQG6HFXULW\\(YHQW1RWLILFDWLRQV)LQDO5XOH

o 5HYLVLRQV RI DVVRFLDWHG SURFHGXUHV SURFHVVHV  MRE DLGV  WUDLQLQJ PDWHULDOV DQG OHVVRQ SODQV
WKDWDUHXVHGWRGHVFULEHDQGHODERUDWHRQUHSRUWLQJUHTXLUHPHQWV 


o &RRUGLQDWLRQRIZRUNPDQDJHPHQWDQGUHVRXUFHVWRDOLJQZLWKVWDWLRQRXWDJHVFKHGXOH V 
o
&RRUGLQDWLRQRIZRUNPDQDJHPHQWDQGUHVRXUFHVWRDOLJQZLWKVWDWLRQRXWDJHVFKHGXOH V 


o 7KH UH WUDLQLQJ RI LPSDFWHG VWDWLRQ SHUVRQQHO ZLWK XSGDWHG LQIRUPDWLRQ FRQWDLQHG ZLWKLQ WKH
o
UHYLVHGJXLGDQFHGRFXPHQWV LQFOXGLQJ 
7KHUHWUDLQLQJRILPSDFWHGVWDWLRQSHUVRQQHOZLWKXSGDWHGLQIRUPDWLRQFRQWDLQHGZLWKLQWKH
UHYLVHGJXLGDQFHGRFXPHQWVLQFOXGLQJ


-6HFXULW\\
-
- 5HJXODWRU\\ &RPSOLDQFH
6HFXULW\\
- (PHUJHQF\\3UHSDUHGQHVV
-
- 5DGLDWLRQ3URWHFWLRQ
5HJXODWRU\\&RPSOLDQFH
- 2SHUDWLRQV  LQFOXGLQJ WKH $FFUHGLWHG 7UDLQLQJ 3URJUDP UHTXLUHPHQWV IRU WKH 6\\VWHPDWLF
-
$SSURDFK WR 7UDLQLQJ 6$7  SURFHVV  ([DPSOHV RI HOHPHQWV WKDW GULYH WKH QXPEHU RI
(PHUJHQF\\3UHSDUHGQHVV
DYDLODEOHZHHNVWRWUDLQRSHUDWRUVZLWKLQD\\HDUDUH 
-
5DGLDWLRQ3URWHFWLRQ
-
2SHUDWLRQVLQFOXGLQJWKH$FFUHGLWHG7UDLQLQJ3URJUDPUHTXLUHPHQWVIRUWKH6\\VWHPDWLF
$SSURDFK WR 7UDLQLQJ 6$7  SURFHVV ([DPSOHV RI HOHPHQWV WKDW GULYH WKH QXPEHU RI
DYDLODEOHZHHNVWRWUDLQRSHUDWRUVZLWKLQD\\HDUDUH


f )3/H[HFXWHV  IRXUGD\\DQG PLQL GD\\ F\\FOHVSHU\\HDU 
f
f )3/ UHTXLUHV  ZHHNV IRU HDFK F\\FOH RI WUDLQLQJ  EDVHG RQ WKH QXPEHU RI RSHUDWLQJ
)3/H[HFXWHV IRXUGD\\DQGPLQLGD\\ F\\FOHVSHU\\HDU
FUHZVDQGOLFHQVHGRSHUDWRUVDW7XUNH\\3RLQW 
f
f )3/LVUHTXLUHGWRDGPLQLVWHUDQH[DPF\\FOHIRUOLFHQVHGRSHUDWRUVHDFK\\HDU 
)3/UHTXLUHVZHHNVIRUHDFKF\\FOHRIWUDLQLQJEDVHGRQWKHQXPEHURIRSHUDWLQJ
f )3/ LV UHTXLUHG WR LQFRUSRUDWH FHUWDLQ HOHPHQWV ZLWKLQ WKH \\HDU WUDLQLQJ F\\FOH  WKDW
FUHZVDQGOLFHQVHGRSHUDWRUVDW7XUNH\\3RLQW
LQFOXGHRXWDJHDSSOLFDEOHREMHFWLYHV  LQFOXGLQJ EXWQRWOLPLWHGWR FRUHFKDQJHV SODQW
f
PRGLILFDWLRQV ORZHUSODQW0RGHRSHUDWLRQV 
)3/LVUHTXLUHGWRDGPLQLVWHUDQH[DPF\\FOHIRUOLFHQVHGRSHUDWRUVHDFK\\HDU
f
)3/LVUHTXLUHGWRLQFRUSRUDWHFHUWDLQHOHPHQWVZLWKLQWKH\\HDUWUDLQLQJF\\FOHWKDW
LQFOXGHRXWDJHDSSOLFDEOHREMHFWLYHV LQFOXGLQJEXWQRWOLPLWHGWRFRUHFKDQJHVSODQW
PRGLILFDWLRQVORZHUSODQW0RGHRSHUDWLRQV 




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


%DVHGRQ15&¶VSURMHFWHGWLPHOLQHIRUFRPSOHWLRQRIUHYLVLRQWRWKHDSSOLFDEOH5*VDVVRFLDWHGZLWKWKH
%DVHGRQ15&¶VSURMHFWHGWLPHOLQHIRUFRPSOHWLRQRIUHYLVLRQWRWKHDSSOLFDEOH5*VDVVRFLDWHGZLWKWKH
ILQDO UXOH  DQG WKH WLPH QHFHVVDU\\ IRU )3/ WR XQGHUJRFKDQJH PDQDJHPHQW SURFHVVHV DGHTXDWHO\\ WR
ILQDOUXOHDQGWKHWLPHQHFHVVDU\\IRU)3/WRXQGHUJRFKDQJHPDQDJHPHQWSURFHVVHVDGHTXDWHO\\WR
LQFOXGHWKHQXPEHURIWUDLQLQJZHHNVWKDWZLOOEHUHTXLUHG )3/LVUHTXHVWLQJDFRPSOLDQFHGDWHIRUWKH
LQFOXGHWKHQXPEHURIWUDLQLQJZHHNVWKDWZLOOEHUHTXLUHG)3/LVUHTXHVWLQJDFRPSOLDQFHGDWHIRUWKH
ILQDOUXOHRI'HFHPEHU  RU GD\\VDIWHUSXEOLFDWLRQRIILQDO5* ZKLFKHYHULVODWHU 
ILQDOUXOHRI'HFHPEHURUGD\\VDIWHUSXEOLFDWLRQRIILQDO5*ZKLFKHYHULVODWHU


$VVWDWHGDERYH GXULQJWKHSURSRVHGSHULRGRIH[HPSWLRQ )3/ZLOOFRQWLQXHWRLPSOHPHQWWKH7XUNH\\
$VVWDWHGDERYHGXULQJWKHSURSRVHGSHULRGRIH[HPSWLRQ)3/ZLOOFRQWLQXHWRLPSOHPHQWWKH7XUNH\\
3RLQW6HFXULW\\3ODQDVFXUUHQWO\\GRFXPHQWHG 6LQFH7XUNH\\3RLQWRSHUDWLRQKDVEHHQOLFHQVHGE\\WKH
3RLQW6HFXULW\\3ODQDVFXUUHQWO\\GRFXPHQWHG6LQFH7XUNH\\3RLQWRSHUDWLRQKDVEHHQOLFHQVHGE\\WKH
15&  WKH 15& KDV GHHPHG WKDW WKH 7XUNH\\ 3RLQW 6HFXULW\\ 3ODQ SURYLGHV UHDVRQDEOH DVVXUDQFH RI
15&WKH15&KDVGHHPHGWKDWWKH7XUNH\\3RLQW6HFXULW\\3ODQSURYLGHVUHDVRQDEOHDVVXUDQFHRI
VDIHW\\DQGVHFXULW\\ 7KHGHOD\\LQLPSOHPHQWDWLRQRIWKHILQDOUXOHZLOOQRWLPSDFWSURSHULPSOHPHQWDWLRQ
VDIHW\\DQGVHFXULW\\7KHGHOD\\LQLPSOHPHQWDWLRQRIWKHILQDOUXOHZLOOQRWLPSDFWSURSHULPSOHPHQWDWLRQ
RIWKHFXUUHQW7XUNH\\3RLQW6HFXULW\\3ODQDQGZLOOHQVXUHWKDWWKHILQDOUXOHLVHIIHFWLYHO\\LPSOHPHQWHG 
RIWKHFXUUHQW7XUNH\\3RLQW6HFXULW\\3ODQDQGZLOOHQVXUHWKDWWKHILQDOUXOHLVHIIHFWLYHO\\LPSOHPHQWHG
7KXV JUDQWLQJRIWKLVH[HPSWLRQZLOOQRWHQGDQJHUWKHOLIHRUSURSHUW\\RUFRPPRQGHIHQVHDQGVHFXULW\\ 
7KXVJUDQWLQJRIWKLVH[HPSWLRQZLOOQRWHQGDQJHUWKHOLIHRUSURSHUW\\RUFRPPRQGHIHQVHDQGVHFXULW\\


,PSOHPHQWDWLRQ RI WKH ILQDO UXOH ZLWKRXW IXUWKHU LQWHUIDFH  FODULW\\  DQG UHILQHG JXLGDQFH PD\\ UHVXOW LQ
,PSOHPHQWDWLRQRIWKHILQDOUXOHZLWKRXWIXUWKHULQWHUIDFHFODULW\\DQGUHILQHGJXLGDQFHPD\\UHVXOWLQ
XQLQWHQGHGFRQVHTXHQFHVZKLFKFRXOGUHGXFHWKHHIIHFWLYHQHVVRIWKHFXUUHQW7XUNH\\3RLQW 6HFXULW\\
XQLQWHQGHGFRQVHTXHQFHVZKLFKFRXOGUHGXFHWKHHIIHFWLYHQHVVRIWKHFXUUHQW7XUNH\\3RLQW6HFXULW\\
3ODQ  7KHUHIRUH  LW LV LQ WKH SXEOLF¶V LQWHUHVW WKDW WKH 7XUNH\\ 3RLQW 6HFXULW\\ 3ODQ DQG DVVRFLDWHG
3ODQ 7KHUHIRUH LW LV LQ WKH SXEOLF¶V LQWHUHVW WKDW WKH 7XUNH\\ 3RLQW 6HFXULW\\ 3ODQ DQG DVVRFLDWHG
SURFHGXUHV DQG SURFHVVHV FRPSUHKHQVLYHO\\ LPSOHPHQW WKH ILQDO UXOH UHJXODWLRQV FRQVLVWHQW ZLWK WKH
SURFHGXUHVDQGSURFHVVHVFRPSUHKHQVLYHO\\LPSOHPHQWWKHILQDOUXOHUHJXODWLRQVFRQVLVWHQWZLWKWKH
DSSOLFDEOHUHJXODWRU\\JXLGDQFHRQFHUHVROXWLRQRILGHQWLILHGLVVXHVKDVEHHQDFKLHYHG 
DSSOLFDEOHUHJXODWRU\\JXLGDQFHRQFHUHVROXWLRQRILGHQWLILHGLVVXHVKDVEHHQDFKLHYHG


7KHJUDQWLQJRIWKLVH[HPSWLRQZRXOGQRWYLRODWHWKH$WRPLF(QHUJ\\$FW $($ DVWKHFRPSOLDQFHGDWH
7KHJUDQWLQJRIWKLVH[HPSWLRQZRXOGQRWYLRODWHWKH$WRPLF(QHUJ\\$FW $($ DVWKHFRPSOLDQFHGDWH
IRU WKH ILQDO UXOH LV QRW UHTXLUHG QRU VSHFLILHG LQ WKH $($ DVDPHQGHG  DQ\\ SURYLVLRQV RI WKH
IRU WKH ILQDO UXOH LV QRW UHTXLUHG QRU VSHFLILHG LQ WKH $($ DV DPHQGHG DQ\\ SURYLVLRQV RI WKH
&RPPLVVLRQ¶VUHJXODWLRQV RUDQ\\RWKHUOHJDOO\\ELQGLQJUHTXLUHPHQWVLPSRVHGE\\WKH&RPPLVVLRQ 
&RPPLVVLRQ¶VUHJXODWLRQVRUDQ\\RWKHUOHJDOO\\ELQGLQJUHTXLUHPHQWVLPSRVHGE\\WKH&RPPLVVLRQ


7KXV LVVXDQFHRIWKLVH[HPSWLRQUHTXHVWZRXOGEHFRQVLVWHQWZLWK &)5 VLQFHLWLV³DXWKRUL]HG
7KXVLVVXDQFHRIWKLVH[HPSWLRQUHTXHVWZRXOGEHFRQVLVWHQWZLWK&)5VLQFHLWLV³DXWKRUL]HG
E\\ODZDQGZLOOQRWHQGDQJHUOLIHRUSURSHUW\\RUWKHFRPPRQGHIHQVHDQGVHFXULW\\DQG>LV@RWKHUZLVHLQ
E\\ODZDQGZLOOQRWHQGDQJHUOLIHRUSURSHUW\\RUWKHFRPPRQGHIHQVHDQGVHFXULW\\DQG>LV@RWKHUZLVHLQ
WKHSXEOLFLQWHUHVW '
WKHSXEOLFLQWHUHVW'


7XUNH\\3RLQW1XFOHDU3ODQW  / 
 
'RFNHW1RV  DQG   (QFORVXUH
7XUNH\\3RLQW1XFOHDU3ODQW
3DJH RI 

3DUW ([HPSWLRQ5HTXHVW5HJDUGLQJ(QKDQFHG:HDSRQV 
/
)LUHDUPV%DFNJURXQG&KHFNV DQG6HFXULW\\(YHQW1RWLILFDWLRQV)LQDO5XOH
'RFNHW1RVDQG


(QFORVXUH
3DJHRI
3DUW([HPSWLRQ5HTXHVW5HJDUGLQJ(QKDQFHG:HDSRQV
)LUHDUPV%DFNJURXQG&KHFNVDQG6HFXULW\\(YHQW1RWLILFDWLRQV)LQDO5XOH



 (19,5210(17$/ &216,'(5$7,21
 (19,5210(17$/&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\\
SURSRVHG H[HPSWLRQ ZRXOG FKDQJH D UHTXLUHPHQW ZLWK UHVSHFW WR LQVWDOODWLRQ RU XVH RI D IDFLOLW\\
FRPSRQHQWORFDWHGZLWKLQWKHUHVWULFWHGDUHD DVGHILQHGLQ &)5 RUZRXOGFKDQJHDQLQVSHFWLRQ
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]DUGV FRQVLGHUDWLRQ  LL  D VLJQLILFDQW FKDQJH LQ WKH W\\SHV RU VLJQLILFDQW LQFUHDVH LQ WKH DPRXQWV RI
KD]DUGVFRQVLGHUDWLRQ LL DVLJQLILFDQWFKDQJHLQWKHW\\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 $FFRUGLQJO\\ WKHHOLJLELOLW\\FULWHULRQIRUFDWHJRULFDOH[FOXVLRQVHWIRUWK
RFFXSDWLRQDOUDGLDWLRQH[SRVXUH$FFRUGLQJO\\WKHHOLJLELOLW\\FULWHULRQIRUFDWHJRULFDOH[FOXVLRQVHWIRUWK
LQ &)5 F LVPHWDQG SXUVXDQWWR &)5 E DQHQYLURQPHQWDOLPSDFWVWDWHPHQWRU
LQ&)5 F  LVPHWDQGSXUVXDQWWR&)5 E DQHQYLURQPHQWDOLPSDFWVWDWHPHQWRU
HQYLURQPHQWDODVVHVVPHQWLVQRWUHTXLUHGLQFRQQHFWLRQZLWKWKHSURSRVHGH[HPSWLRQ 
HQYLURQPHQWDODVVHVVPHQWLVQRWUHTXLUHGLQFRQQHFWLRQZLWKWKHSURSRVHGH[HPSWLRQ
}}
}}

Revision as of 07:48, 25 November 2024

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)


Text

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\\

3RLQW1XFOHDU3ODQW8QLWVDQG 7XUNH\\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



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\\&RPPLVVLRQ 15& 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\\*XLGHV 5* 

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

FRPSOLDQFHZLWKLWVRZQLQWHUSUHWDWLRQRIWKHILQDOUXOH ZLWKRXWWKHEHQHILWRIWKHDGGLWLRQDOJXLGDQFH

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'

)HG5HJ 0DUFK 



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]DWLRQ HJ&RQGLWLRQ$GYHUVHWR5HJXODWRU\\&RPSOLDQFH 



x

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

RUVLWXDWLRQVWKDWUHVXOWLQDFRQGLWLRQDGYHUVHWRTXDOLW\\ &$4 LQFOXGLQJVHFXULW\\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 '%7 GHVFULEHGLQ&)5:LWKRXWWKHSURSRVHGH[HPSWLRQDSSOLFDWLRQ

RIWKLVH[SDQGHGGHILQLWLRQZLOOFKDOOHQJH7XUNH\\3RLQWVHFXULW\\SODQPHWKRGVRIFRPSO\\LQJ

ZLWK J  LL % DQG K ZKLFKVWDWH HPSKDVLVDGGHG 





 J Access 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



 K Search 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.



2IQRWH J XVHVWKHWHUPFRQWUDEDQGZKLOH K XVHVWHUPLQRORJ\\FRQVLVWHQW

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

³GLVHDVHFDXVLQJDJHQWV'LQWKHQHZUHJXODWRU\\GHILQLWLRQRIFRQWUDEDQGZLOOUHTXLUH)3/WR

PRGLI\\LWVVHFXULW\\SODQSURFHGXUHVIRUFRPSOLDQFHZLWKSDUDJUDSK J LQZD\\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/WUDLQLQJ WRH[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

 H  LLL DQG LY UHTXLUHVDKRXUQRWLILFDWLRQIRUFRQWUDEDQGDWWHPSWHGRU

DFWXDOLQWURGXFWLRQRIFRQWUDEDQGLQWRD3$9$RU0$$



o

7KHGHILQLWLRQRIFRQWUDEDQGFRQWDLQVWKHWHUP³LQFHQGLDULHV'



x

 D UHTXLUHGDPLQXWHQRWLILFDWLRQIRUKRVWLOHDFWLRQV



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

 H  Y UHTXLUHVDKRXUQRWLILFDWLRQIRUDORVWRUXQFRQWUROOHGZHDSRQ



x

 I UHTXLUHVUHFRUGLQJZLWKLQKRXUV³SK\\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'LQ T  DVexempli 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,QYHVWLJDWLRQV 2, 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 &$3 DQGHQWHUVLQWRWKH&$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

&RRUGLQDWLRQRIZRUNPDQDJHPHQWDQGUHVRXUFHVWRDOLJQZLWKVWDWLRQRXWDJHVFKHGXOH V 



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[HFXWHV IRXUGD\\DQGPLQLGD\\ F\\FOHVSHU\\HDU

f

)3/UHTXLUHVZHHNVIRUHDFKF\\FOHRIWUDLQLQJEDVHGRQWKHQXPEHURIRSHUDWLQJ

FUHZVDQGOLFHQVHGRSHUDWRUVDW7XUNH\\3RLQW

f

)3/LVUHTXLUHGWRDGPLQLVWHUDQH[DPF\\FOHIRUOLFHQVHGRSHUDWRUVHDFK\\HDU

f

)3/LVUHTXLUHGWRLQFRUSRUDWHFHUWDLQHOHPHQWVZLWKLQWKH\\HDUWUDLQLQJF\\FOHWKDW

LQFOXGHRXWDJHDSSOLFDEOHREMHFWLYHV LQFOXGLQJEXWQRWOLPLWHGWRFRUHFKDQJHVSODQW

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]DUGVFRQVLGHUDWLRQ LL DVLJQLILFDQWFKDQJHLQWKHW\\SHVRUVLJQLILFDQWLQFUHDVHLQWKHDPRXQWVRI

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

HQYLURQPHQWDODVVHVVPHQWLVQRWUHTXLUHGLQFRQQHFWLRQZLWKWKHSURSRVHGH[HPSWLRQ