Nebraska 2025-2026 Regular Session

Nebraska Legislature Bill LB38 Compare Versions

OldNewDifferences
1-/(*,6/$7,9(%,//
2-$SSURYHGE\WKH*RYHUQRU)HEUXDU\
1+(1*5266('/(*,6/$7,9(%,//
32 b
43 ,QWURGXFHGE\ -DFREVRQ
5-b
64 $ %,// )25 $1 $&7 UHODWLQJ WR WKH *HRORJLVWV 5HJXODWLRQ $FW WR DPHQG VHFWLRQV
75        
86        
97        
108       DQG  5HLVVXH
119 5HYLVHG 6WDWXWHV RI 1HEUDVND WR GHILQH UHGHILQH DQG HOLPLQDWH WHUPV WR
1210 FKDQJH SURYLGH DQG HOLPLQDWH SURYLVLRQV UHODWLQJ WR SURKLELWHG DFWV WKH
1311 %RDUG RI *HRORJLVWV WKH URVWHU RI SURIHVVLRQDO JHRORJLVWV WKH FRGH RI
1412 SUDFWLFH OLFHQVXUH FHUWLILFDWHV RI OLFHQVXUH FHUWLILFDWHV RI DXWKRULW\
1513 FHUWLILFDWHV RI DXWKRUL]DWLRQ IHHV HQUROOPHQW RI JHRORJLVWLQWHUQV
1614 UHFLSURFLW\ WHPSRUDU\ SHUPLWV VHDOV WKH SUDFWLFH RI JHRORJ\ YLRODWLRQV
1715 RI WKH DFW H[DPLQDWLRQV DQG H[HPSW DFWLYLWLHV WR KDUPRQL]H SURYLVLRQV
1816 WR UHSHDO WKH RULJLQDO VHFWLRQV DQG WR RXWULJKW UHSHDO VHFWLRQV 
1917 DQG5HLVVXH5HYLVHG6WDWXWHVRI1HEUDVND
2018 %HLWHQDFWHGE\WKHSHRSOHRIWKH6WDWHRI1HEUDVND
2119 6HFWLRQ  6HFWLRQ  5HLVVXH 5HYLVHG 6WDWXWHV RI 1HEUDVND LV
2220 DPHQGHGWRUHDG
2321  6HFWLRQV  WR  DQG VHFWLRQV         DQG   WR
2422   RI WKLV DFW VKDOO EH NQRZQ DQG PD\ EH FLWHG DV WKH *HRORJLVWV 5HJXODWLRQ
2523 $FW
2624 6HF  6HFWLRQ  5HLVVXH 5HYLVHG 6WDWXWHV RI 1HEUDVND LV DPHQGHG
2725 WRUHDG
2826  ,Q RUGHU WR VDIHJXDUG OLIH KHDOWK DQG SURSHUW\ DQG WR SURPRWH
2927 WKH SXEOLF ZHOIDUH WKH SURIHVVLRQ RI JHRORJ\ LV GHFODUHG WR EH VXEMHFW WR
30-UHJXODWLRQ LQ WKH SXEOLF LQWHUHVW ,W LV XQODZIXO IRU DQ\ SHUVRQ WR 
31-SUDFWLFHRURIIHUWRSUDFWLFHJHRORJ\LQWKLVVWDWH  XVHLQFRQQHFWLRQZLWK
32-KLV RU KHU QDPH RU RWKHUZLVH DVVXPH WKH WLWOH SURIHVVLRQDO JHRORJLVW RU 
33-DGYHUWLVH DQ\ WLWOH RU GHVFULSWLRQ WHQGLQJ WR FRQYH\ WKH LPSUHVVLRQ WKDW KH RU
34-VKH LV D OLFHQVHG JHRORJLVW XQOHVV WKH SHUVRQ LV GXO\ OLFHQVHG RU H[HPSW IURP
35-OLFHQVXUH XQGHU WKH *HRORJLVWV 5HJXODWLRQ $FW 7KH SUDFWLFH RI JHRORJ\ DQG XVH
36-RIWKHWLWOH SURIHVVLRQDOJHRORJLVWLVDSULYLOHJHJUDQWHGE\WKHVWDWH
28+UHJXODWLRQLQWKHSXEOLFLQWHUHVW7KHSUDFWLFHRIJHRORJ\DQGXVHRIWKHWLWOH
29+SURIHVVLRQDOJHRORJLVWLVDSULYLOHJHJUDQWHGE\WKHVWDWH
3730 6HF  6HFWLRQ  5HLVVXH 5HYLVHG 6WDWXWHV RI 1HEUDVND LV DPHQGHG
38-WRUHDG
31+/%
32+
33+/%
34+
35+ WRUHDG
3936  )RU SXUSRVHV RI WKH *HRORJLVWV 5HJXODWLRQ $FW WKH GHILQLWLRQV
4037 IRXQG LQ VHFWLRQV  WR  DQG VHFWLRQV       DQG   RI WKLV DFW
4138 VKDOOEHXVHG
4239 6HF   &HUWLILFDWH RI DXWKRUL]DWLRQ PHDQV D FHUWLILFDWH LVVXHG E\ WKH
4340 ERDUG WR DQ RUJDQL]DWLRQ DXWKRUL]LQJ LW WR SUDFWLFH RU RIIHU WR SUDFWLFH
4441 JHRORJ\DVSURYLGHGLQVHFWLRQ
4542 6HF  6HFWLRQ  5HLVVXH 5HYLVHG 6WDWXWHV RI 1HEUDVND LV DPHQGHG
4643 WRUHDG
4744 b 'LUHFW VXSHUYLVLRQ PHDQV KDYLQJ SURIHVVLRQDO NQRZOHGJH UHODWLQJ WR
4845 DQG FRQWURO RYHU WKH ZRUN RI DQRWKHU SHUVRQ WKDW FRQVWLWXWHV WKH SUDFWLFH RI
49-JHRORJ\  WKH GHJUHH RI VXSHUYLVLRQ E\ D SHUVRQ RYHUVHHLQJ WKH ZRUN RI DQRWKHU
50-SHUVRQ E\ ZKLFK WKH VXSHUYLVRU KDV FRQWURO RYHU DQG GHWDLOHG SURIHVVLRQDO
51-NQRZOHGJHRIWKHZRUNEHLQJGRQH
46+JHRORJ\
5247 6HF  6HFWLRQ  5HLVVXH 5HYLVHG 6WDWXWHV RI 1HEUDVND LV DPHQGHG
5348 WRUHDG
54- (PHULWXV  UHIHUULQJ WR D JHRORJLVW PHDQV WKH VWDWXV RI D
55-SURIHVVLRQDO JHRORJLVW ZKR UHOLQTXLVKHV RU GRHV QRW UHQHZ VXFK SURIHVVLRQDO
56-JHRORJLVWV KLVRUKHU OLFHQVXUH XQGHUWKH*HRORJLVWV5HJXODWLRQ$FW DQGZKRLV
57-DSSURYHG E\ WKH ERDUG WR UHFHLYH SXEOLFDWLRQV DQG XVH WKH KRQRUDU\ WLWOH
58-SURIHVVLRQDOJHRORJLVWHPHULWXV
49+ (PHULWXV PHDQV WKH VWDWXV RI D SURIHVVLRQDO JHRORJLVW ZKR
50+UHOLQTXLVKHV RU GRHV QRW UHQHZ VXFK SURIHVVLRQDO JHRORJLVWV OLFHQVXUH XQGHU
51+WKH *HRORJLVWV 5HJXODWLRQ $FW DQG ZKR LV DSSURYHG E\ WKH ERDUG WR UHFHLYH
52+SXEOLFDWLRQVDQGXVHWKHKRQRUDU\WLWOHSURIHVVLRQDOJHRORJLVWHPHULWXV
5953 6HF  6HFWLRQ  5HLVVXH 5HYLVHG 6WDWXWHV RI 1HEUDVND LV DPHQGHG
6054 WRUHDG
61-  *HRORJLF  *HRORJ\  VSHFLDOW\ PHDQV D EUDQFK RI JHRORJ\ ZKLFK KDV
62-EHHQ UHFRJQL]HG IRU WKH SXUSRVHV RI OLFHQVXUH LQFOXGLQJ EXW QRW OLPLWHG WR
63-HQYLURQPHQWDO JHRORJ\ HQJLQHHULQJ JHRORJ\ JHRSK\VLFV K\GURJHRORJ\ SHWUROHXP
64-JHRORJ\PLQLQJJHRORJ\DQGVWUXFWXUDOJHRORJ\
55+ *HRORJLF VSHFLDOW\ PHDQV D EUDQFK RI JHRORJ\ ZKLFK KDV EHHQ UHFRJQL]HG
56+IRU WKH SXUSRVHV RI OLFHQVXUH LQFOXGLQJ EXW QRW OLPLWHG WR HQYLURQPHQWDO
57+JHRORJ\ HQJLQHHULQJ JHRORJ\ JHRSK\VLFV K\GURJHRORJ\ SHWUROHXP JHRORJ\
58+PLQLQJJHRORJ\DQGVWUXFWXUDOJHRORJ\
6559 6HF  6HFWLRQ  5HLVVXH 5HYLVHG 6WDWXWHV RI 1HEUDVND LV DPHQGHG
6660 WRUHDG
6761  *HRORJLVW PHDQV D SHUVRQ ZKR LV TXDOLILHG WR SUDFWLFH JHRORJ\ E\
6862 UHDVRQRIVSHFLDONQRZOHGJHDQGXVHRIWKHHDUWKVFLHQFHVDQGWKHSULQFLSOHVRI
6963 JHRORJ\ DQG JHRORJLF GDWD FROOHFWLRQ DQG DQDO\VLV DFTXLUHG E\ JHRORJLF
70-HGXFDWLRQDQGJHRORJLFH[SHULHQFH DVSURYLGHGLQVHFWLRQ
64+HGXFDWLRQDQGJHRORJLFH[SHULHQFH
7165 6HF  6HFWLRQ  5HLVVXH 5HYLVHG 6WDWXWHV RI 1HEUDVND LV
72-DPHQGHGWRUHDG
73-b *HRORJLVWLQWHUQ PHDQV D SHUVRQ ZKR KDV EHHQ GXO\ HQUROOHG DV D
74-JHRORJLVWLQWHUQ E\ WKH ERDUG SDVVHG DQ H[DPLQDWLRQ LQ WKH IXQGDPHQWDOV RI
75-JHRORJ\DVSURYLGHGLQVHFWLRQ
76-6HF  6HFWLRQ  5HLVVXH 5HYLVHG 6WDWXWHV RI 1HEUDVND LV DPHQGHG
77-WRUHDG
7866 /%
7967 
8068 /%
8169 
82-  *RRG FKDUDFWHU PHDQV VXFK FKDUDFWHU DV ZLOO HQDEOH D SHUVRQ WR
83-GLVFKDUJH WKH ILGXFLDU\ GXWLHV RI D SURIHVVLRQDO JHRORJLVW WR D  KLV RU KHU
84-FOLHQW RI VXFK SURIHVVLRQDO JHRORJLVW DQG WR WKH SXEOLF IRU WKH SURWHFWLRQ RI
85-WKHSXEOLFKHDOWKVDIHW\DQGZHOIDUH (YLGHQFHRILQDELOLW\WRGLVFKDUJHVXFK
86-GXWLHVLQFOXGHVWKHFRPPLVVLRQRIDQRIIHQVHMXVWLI\LQJGLVFLSOLQH
70+ DPHQGHGWRUHDG
71+b *HRORJLVWLQWHUQ PHDQV D SHUVRQ ZKR KDV EHHQ GXO\ HQUROOHG DV D
72+JHRORJLVWLQWHUQE\WKHERDUG
73+6HF  6HFWLRQ  5HLVVXH 5HYLVHG 6WDWXWHV RI 1HEUDVND LV DPHQGHG
74+WRUHDG
75+ *RRG FKDUDFWHU PHDQV VXFK FKDUDFWHU DV ZLOO HQDEOH D SHUVRQ WR
76+GLVFKDUJH WKH ILGXFLDU\ GXWLHV RI D SURIHVVLRQDO JHRORJLVW WR D FOLHQW RI VXFK
77+SURIHVVLRQDO JHRORJLVW DQG WR WKH SXEOLF IRU WKH SURWHFWLRQ RI WKH SXEOLF
78+KHDOWKVDIHW\DQGZHOIDUH
8779 6HF   /LFHQVHH PHDQV DQ LQGLYLGXDO ZKR LV DXWKRUL]HG E\ WKH ERDUG WR
8880 SUDFWLFHJHRORJ\LQWKLVVWDWH
8981 6HF  6HFWLRQ  5HLVVXH 5HYLVHG 6WDWXWHV RI 1HEUDVND LV DPHQGHG
9082 WRUHDG
91-  /LFHQVXUH  5HJLVWUDWLRQ RU OLFHQVXUH  PHDQV D FHUWLILFDWH RI
92-UHJLVWUDWLRQ RUOLFHQVXUH LVVXHGE\WKHERDUG  VKRZLQJWKDWDQLQGLYLGXDOKDV
93-PHW WKH OLFHQVLQJ UHTXLUHPHQWV WR EH D SURIHVVLRQDO JHRORJLVW XQGHU WKH
94-*HRORJLVWV 5HJXODWLRQ $FW )RU WKH SXUSRVHV RI WKH *HRORJLVWV 5HJXODWLRQ $FW
95-OLFHQVHDQGUHJLVWUDWLRQKDYHWKHVDPHPHDQLQJ
83+ /LFHQVXUH PHDQV D FHUWLILFDWH RI OLFHQVXUH LVVXHG E\ WKH ERDUG VKRZLQJ
84+WKDW DQ LQGLYLGXDO KDV PHW WKH OLFHQVLQJ UHTXLUHPHQWV WR EH D SURIHVVLRQDO
85+JHRORJLVWXQGHUWKH*HRORJLVWV5HJXODWLRQ$FW
9686 6HF  6HFWLRQ  5HLVVXH 5HYLVHG 6WDWXWHV RI 1HEUDVND LV DPHQGHG
9787 WRUHDG
9888  2UJDQL]DWLRQ LQFOXGHV D SDUWQHUVKLS OLPLWHG OLDELOLW\ FRPSDQ\
9989 FRUSRUDWLRQRURWKHUIRUPRIEXVLQHVVHQWLW\WKDWLVDXWKRUL]HGWRGREXVLQHVV
10090 LQWKLVVWDWH
10191 6HF  6HFWLRQ  5HLVVXH 5HYLVHG 6WDWXWHV RI 1HEUDVND LV DPHQGHG
10292 WRUHDG
103-b  D 3UDFWLFHRIJHRORJ\PHDQVDQ\VHUYLFHRUFUHDWLYHZRUN 
104- L  ,I LI  WKH DGHTXDWH SHUIRUPDQFH RI WKH VHUYLFH RU ZRUN UHTXLUHV
105-JHRORJLF HGXFDWLRQ WUDLQLQJ DQG H[SHULHQFH  LQFOXGLQJ WR LQFOXGH VXFK
106-VHUYLFHV RU FUHDWLYH ZRUN DV JHRORJLFDO FRQVXOWDWLRQ LQYHVWLJDWLRQ SODQQLQJ
107-VXUYH\LQJ PDSSLQJ DQG LQVSHFWLRQ RI JHRORJLF  JHRORJLFDO  ZRUN DQG WKH
93+b  D 3UDFWLFHRIJHRORJ\PHDQVDQ\VHUYLFHRUFUHDWLYHZRUN
94+ L  ,I WKH DGHTXDWH SHUIRUPDQFH RI WKH VHUYLFH RU ZRUN UHTXLUHV JHRORJLF
95+HGXFDWLRQ WUDLQLQJ DQG H[SHULHQFH LQFOXGLQJ FRQVXOWDWLRQ LQYHVWLJDWLRQ
96+SODQQLQJ VXUYH\LQJ PDSSLQJ DQG LQVSHFWLRQ RI JHRORJLF ZRUN DQG WKH
10897 UHVSRQVLEOHVXSHUYLVLRQRIVXFKZRUNDQG
109- LL  7KDW UHODWHV WKHUHRI WKH SHUIRUPDQFH RI ZKLFK LV UHODWHG WR SXEOLF
110-ZHOIDUH RU WKH VDIHJXDUGLQJ RI OLIH KHDOWK SURSHUW\ DQG WKH HQYLURQPHQW   
111-DQG
98+ LL  7KDW UHODWHV WR SXEOLF ZHOIDUH RU WKH VDIHJXDUGLQJ RI OLIH KHDOWK
99+SURSHUW\DQGWKHHQYLURQPHQW
112100 E  3UDFWLFH RI JHRORJ\ LQFOXGHV WHDFKLQJ LQFOXGLQJ UHVHDUFK DQG VHUYLFH
113-RI DQ\DGYDQFHG JHRORJLFVXEMHFW JHRORJLFDOVXEMHFWV
101+/%
102+
103+/%
104+
105+ RIDQ\DGYDQFHGJHRORJLFVXEMHFW
114106   $ SHUVRQ VKDOO EH FRQVWUXHG WR SUDFWLFH RU RIIHU WR SUDFWLFH JHRORJ\
115-LI VXFKSHUVRQ KHRUVKH
116- D   3UDFWLFHVDQ\EUDQFKRIWKHSURIHVVLRQRIJHRORJ\
117- E %\   E\  YHUEDO FODLP VLJQ DGYHUWLVHPHQW OHWWHUKHDG RU FDUG RU LQ
118-DQ\ RWKHU ZD\ UHSUHVHQWV WKDW VXFK SHUVRQ LV  KLPVHOI RU KHUVHOI WR EH D
119-SURIHVVLRQDOJHRORJLVW
120- F  7KURXJK   WKURXJK WKH XVH RI VRPH RWKHU WLWOH LPSOLHV WKDW VXFK
121-SHUVRQ KHRUVKHLVOLFHQVHGXQGHUWKH*HRORJLVWV5HJXODWLRQ$FWRU
122- G  5HSUHVHQWV WKDW VXFK SHUVRQ LV   KROGV KLPVHOI RU KHUVHOI RXW DV
123-DEOH WR SHUIRUP RU GRHV SHUIRUP DQ\ JHRORJLF VHUYLFH RU ZRUN UHFRJQL]HG E\ WKH
124-ERDUGDVWKHSUDFWLFHRIJHRORJ\
107+LIVXFKSHUVRQ
108+ D 3UDFWLFHVDQ\EUDQFKRIWKHSURIHVVLRQRIJHRORJ\
109+ E  %\ YHUEDO FODLP VLJQ DGYHUWLVHPHQW OHWWHUKHDG RU FDUG RU LQ DQ\
110+RWKHUZD\UHSUHVHQWVWKDWVXFKSHUVRQLVDSURIHVVLRQDOJHRORJLVW
111+ F  7KURXJK WKH XVH RI VRPH RWKHU WLWOH LPSOLHV WKDW VXFK SHUVRQ LV
112+OLFHQVHGXQGHUWKH*HRORJLVWV5HJXODWLRQ$FWRU
113+ G  5HSUHVHQWV WKDW VXFK SHUVRQ LV DEOH WR SHUIRUP RU GRHV SHUIRUP DQ\
114+JHRORJLFVHUYLFHRUZRUNUHFRJQL]HGE\WKHERDUGDVWKHSUDFWLFHRIJHRORJ\
125115 6HF  6HFWLRQ  5HLVVXH 5HYLVHG 6WDWXWHV RI 1HEUDVND LV DPHQGHG
126116 WRUHDG
127117 b 5HVSRQVLEOH FKDUJH PHDQV SHUVRQDO UHVSRQVLELOLW\ IRU WKH WHFKQLFDO
128-DQG ILQDQFLDO DVSHFWV RI JHRORJLF ZRUN WKURXJK  GLUHFW FRQWURO GLUHFWLRQ DQG
129-SHUVRQDO VXSHUYLVLRQ E\ XVH RI LQLWLDWLYH DQG LQGHSHQGHQW MXGJPHQW IRU
130-JHRORJLFDOZRUN
118+DQGILQDQFLDODVSHFWVRIJHRORJLFZRUNWKURXJK
131119  3HUVRQDODFWLRQ
132120  0DQDJHPHQWLQDQRUJDQL]DWLRQRU
133121  'LUHFWVXSHUYLVLRQ
134122 6HF  6HFWLRQ  5HLVVXH 5HYLVHG 6WDWXWHV RI 1HEUDVND LV DPHQGHG
135123 WRUHDG
136124  7HFKQLFDO VXEPLVVLRQV PHDQV GHVLJQV GUDZLQJV VSHFLILFDWLRQV
137-VWXGLHVDQGRWKHUWHFKQLFDOUHSRUWV  WKDW 
125+VWXGLHVDQGRWKHUWHFKQLFDOUHSRUWVWKDW
138126  &RQVWLWXWHDOORUDSDUWRIDSURMHFWRU
139127  $UHSUHSDUHGLQFRQMXQFWLRQZLWKDSURMHFW
140128 6HF  6HFWLRQ  5HLVVXH 5HYLVHG 6WDWXWHV RI 1HEUDVND LV DPHQGHG
141129 WRUHDG
142130    7KH %RDUG RI *HRORJLVWV LV FUHDWHG WR DGPLQLVWHU WKH
143-*HRORJLVWV 5HJXODWLRQ $FW 7KH ERDUG PD\ XVH DQ\ IXQGV DYDLODEOH WR REWDLQ
144-VXLWDEOH RIILFH VSDFH ZLWKLQ /LQFROQ 1HEUDVND IRU WKH ERDUG 7KH ERDUG VKDOO
145-FRQVLVWRI WKHIROORZLQJVHYHQPHPEHUVDSSRLQWHGE\WKH*RYHUQRU 
131+*HRORJLVWV 5HJXODWLRQ $FW 7KH ERDUG VKDOO FRQVLVW RI WKH IROORZLQJ VHYHQ
132+PHPEHUVDSSRLQWHGE\WKH*RYHUQRU
146133 D )LYHSURIHVVLRQDOJHRORJLVWV
147134 E  2QH SURIHVVLRQDO JHRORJLVW ZKR LV DOVR D IDFXOW\ PHPEHU RI D JHRORJ\
148135 RU UHODWHG JHRVFLHQFHV GHSDUWPHQW RI D FROOHJH RU XQLYHUVLW\ ORFDWHG LQ
149-1HEUDVND 6XFK PHPEHU VKDOO EH UHFRPPHQGHG E\ WKH SUHVLGHQW RI VXFK FROOHJH RU
150-XQLYHUVLW\ SULRU WR DSSRLQWPHQW E\ WKH *RYHUQRU LQ RUGHU WR TXDOLI\ DV D ERDUG
151-PHPEHUXQGHUWKLVVXEGLYLVLRQ  E DQG
152- F  2QH LQGLYLGXDO ZKR LV QRW D SURIHVVLRQDO JHRORJLVW IRU WHUPV RI ILYH
153-\HDUV HDFK HQGLQJ RQ WKH ODVW GD\ RI )HEUXDU\ 7KH PHPEHUV VKDOO LQFOXGH RQH
154-HGXFDWLRQ PHPEHU DSSRLQWHG SXUVXDQW WR VXEVHFWLRQ   RI WKLV VHFWLRQ DQG RQH
155-SXEOLF PHPEHU $OO PHPEHUV RI WKH ERDUG VKDOO EH SURIHVVLRQDO JHRORJLVWV ZLWK
156-WKHH[FHSWLRQRIWKHRQHSXEOLFPHPEHU
157-  D  (DFK PHPEHU VKDOO VHUYH IRU WHUPV RI ILYH \HDUV WHUPLQDWLQJ RQ WKH
158-ODVWGD\RI)HEUXDU\
159- E  (DFK PHPEHU VKDOO KROG RIILFH DIWHU WKH H[SLUDWLRQ RI VXFK PHPEHUV
160-KLV RU KHU WHUP XQWLO D  KLV RU KHU VXFFHVVRU LV GXO\ DSSRLQWHG DQG TXDOLILHG
161-7KHOHQJWKRIWKHLQLWLDOWHUPVVKDOOEHVWDJJHUHGDVGHWHUPLQHGE\WKHERDUG
162- F  7KH *RYHUQRU PD\ UHPRYH DQ\ PHPEHU RI WKH ERDUG IRU PLVFRQGXFW
163-LQFRPSHWHQF\RUQHJOHFWRIGXW\
164- G  9DFDQFLHV RQ WKH ERDUG KRZHYHU FUHDWHG VKDOO EH ILOOHG IRU WKH
165136 /%
166137 
167138 /%
168139 
169- XQH[SLUHGWHUPE\DSSRLQWPHQWE\WKH*RYHUQRU
140+ 1HEUDVND 6XFK PHPEHU VKDOO EH UHFRPPHQGHG E\ WKH SUHVLGHQW RI VXFK FROOHJH RU
141+XQLYHUVLW\ SULRU WR DSSRLQWPHQW E\ WKH *RYHUQRU LQ RUGHU WR TXDOLI\ DV D ERDUG
142+PHPEHUXQGHUWKLVVXEGLYLVLRQ  E DQG
143+ F 2QHLQGLYLGXDOZKRLVQRWDSURIHVVLRQDOJHRORJLVW
144+  D  (DFK PHPEHU VKDOO VHUYH IRU WHUPV RI ILYH \HDUV WHUPLQDWLQJ RQ WKH
145+ODVWGD\RI)HEUXDU\
146+ E  (DFK PHPEHU VKDOO KROG RIILFH DIWHU WKH H[SLUDWLRQ RI VXFK PHPEHUV
147+WHUPXQWLODVXFFHVVRULVGXO\DSSRLQWHGDQGTXDOLILHG
148+ F  7KH *RYHUQRU PD\ UHPRYH DQ\ PHPEHU RI WKH ERDUG IRU PLVFRQGXFW
149+LQFRPSHWHQF\RUQHJOHFWRIGXW\
150+ G  9DFDQFLHV RQ WKH ERDUG KRZHYHU FUHDWHG VKDOO EH ILOOHG IRU WKH
151+XQH[SLUHGWHUPE\DSSRLQWPHQWE\WKH*RYHUQRU
170152  D (DFKPHPEHURIWKHERDUGVKDOOEHD
171153 L &LWL]HQRIWKH8QLWHG6WDWHVDQG
172154 LL  5HVLGHQW RI WKH 6WDWH RI 1HEUDVND IRU DW OHDVW RQH \HDU LPPHGLDWHO\
173155 SUHFHGLQJ WKH DSSRLQWPHQW RI VXFK PHPEHU DQG FRQWLQXH VXFK UHVLGHQF\ ZKLOH
174156 VHUYLQJDVDPHPEHURIWKHERDUG
175157 E (DFKPHPEHURIWKHERDUGZKRLVDSURIHVVLRQDOJHRORJLVWVKDOO
176158 L  +DYH DFWLYHO\ SUDFWLFHG DV D SURIHVVLRQDO JHRORJLVW IRU DW OHDVW WHQ
177159 \HDUVSULRUWRDSSRLQWPHQWWRWKHERDUG
178160 LL  +DYH KDG UHVSRQVLEOH FKDUJH RI GLUHFW VXSHUYLVLRQ RI RU D
179161 FRPELQDWLRQ RI UHVSRQVLEOH FKDUJH DQG GLUHFW VXSHUYLVLRQ RI JHRORJLF ZRUN IRU
180162 DWOHDVWILYH\HDUVSULRUWRDSSRLQWPHQWWRWKHERDUGDQG
181163 LLL  0DLQWDLQ VWDWXV DV D SURIHVVLRQDO JHRORJLVW OLFHQVHG DV D
182164 SURIHVVLRQDOJHRORJLVWLQ1HEUDVNDGXULQJWKHPHPEHUVWLPHRQWKHERDUG
183-   7KH PHPEHUVKLS RI WKH ERDUG VKDOO LQFOXGH RQH HGXFDWLRQ PHPEHU ZKR LV
184-OLFHQVHG LQ JHRORJ\ DQG ZKR LV D PHPEHU RI WKH SURIHVVLRQDO IDFXOW\ RI D
185-JHRORJ\RUUHODWHGJHRVFLHQFHVGHSDUWPHQWRIDFROOHJHRUXQLYHUVLW\ORFDWHGLQ
186-1HEUDVNDUHFRPPHQGHGE\WKHSUHVLGHQWRIWKHUHVSHFWLYHFROOHJHRUXQLYHUVLW\
187-DQGDSSRLQWHGE\WKH*RYHUQRU
188-   7KH PHPEHUVKLS RI WKH ERDUG VKDOO LQFOXGH RQH SXEOLF PHPEHU DSSRLQWHG
189-E\WKH*RYHUQRU7KHDSSRLQWPHQWLVIRUILYH\HDUV
190-  D    7KH ERDUG PD\ GHVLJQDWH DQ\ QXPEHU RI  D  IRUPHU PHPEHUV  PHPEHU
191-RI WKH ERDUG DV DQ  HPHULWXV PHPEHUV  PHPEHU  (PHULWXV PHPEHU VWDWXV ZKHQ
192-FRQIHUUHG LVYDOLGIRURQH\HDUIURPWKHGDWHRIFRQIHUPHQWDQGPD\EHUHQHZHG
193-E\WKHERDUGDQ\QXPEHURIWLPHV  PXVWEHUHQHZHGDQQXDOO\7KHHPHULWXVPHPEHU
194-VKDOOEHDQRQYRWLQJPHPEHU
165+  D  7KH ERDUG PD\ GHVLJQDWH DQ\ QXPEHU RI IRUPHU PHPEHUV RI WKH ERDUG
166+DV HPHULWXV PHPEHUV (PHULWXV PHPEHU VWDWXV ZKHQ FRQIHUUHG LV YDOLG IRU RQH
167+\HDU IURP WKH GDWH RI FRQIHUPHQW DQG PD\ EH UHQHZHG E\ WKH ERDUG DQ\ QXPEHU RI
168+WLPHV
195169 E  $Q HPHULWXV PHPEHU LV QRW FRXQWHG IRU SXUSRVHV RI GHWHUPLQLQJ LI D
196170 TXRUXPLVSUHVHQWXQGHUVHFWLRQ
197- F $QHPHULWXVPHPEHUVKDOOQRW
171+/%
172+
173+/%
174+
175+ F $QHPHULWXVPHPEHUVKDOOQRW
198176 L %HDQRIILFHURQWKHERDUG
199177 LL 9RWHRQERDUGPDWWHUV
200178 LLL  5HFHLYH FRPSHQVDWLRQ RU UHLPEXUVHPHQW IRU H[SHQVHV IURP WKH ERDUG
201179 RU
202180 LY  5HFHLYH FRPSHQVDWLRQ RU UHLPEXUVHPHQW IRU H[SHQVHV XQGHU VHFWLRQV
203181 WRZKLOHWHQGLQJWRERDUGPDWWHUV
204182 6HF  6HFWLRQ  5HLVVXH 5HYLVHG 6WDWXWHV RI 1HEUDVND LV DPHQGHG
205183 WRUHDG
206-  (DFK PHPEHU RI WKH ERDUG VKDOO EH D FLWL]HQ RI WKH 8QLWHG 6WDWHV
207-DQG D UHVLGHQW RI WKH 6WDWH RI 1HEUDVND IRU DW OHDVW RQH \HDU LPPHGLDWHO\
208-SUHFHGLQJ KLV RU KHU DSSRLQWPHQW (DFK SURIHVVLRQDO PHPEHU VKDOO KDYH EHHQ
209-HQJDJHG LQ WKH DFWLYH SUDFWLFH RI JHRORJ\ IRU DW OHDVW WHQ \HDUV VKDOO KDYH
210-KDG UHVSRQVLEOH FKDUJH RI ZRUN IRU DW OHDVW ILYH \HDUV DW WKH WLPH RI KLV RU
211-KHU DSSRLQWPHQW DQG VKDOO EH OLFHQVHG LQ JHRORJ\ (DFK PHPEHU RI WKH ERDUG
212-VKDOO VHUYH ZLWKRXW FRPSHQVDWLRQ DQG SXUVXDQW WR VHFWLRQV  WR 
213-VKDOOEHUHLPEXUVHGIRU
214-   (DFK UHFHLYH DV FRPSHQVDWLRQ WKH VDPH SHU GLHP DQG WUDYHO H[SHQVHV DV
215-RWKHU VWDWH HPSOR\HHV IRU HDFK GD\ DFWXDOO\ VSHQW LQ WUDYHOLQJ WR DQG IURP DQG
216-ZKLOHDWWHQGLQJVHVVLRQVRIWKHERDUGDQGLWVFRPPLWWHHVRUDXWKRUL]HGPHHWLQJV
217-RI WKH 1DWLRQDO $VVRFLDWLRQ RI 6WDWH %RDUGV RI *HRORJ\ RU LWV VXEGLYLVLRQV RU
218-FRPPLWWHHV  DQG
219-   ([SHQVHV VKDOO EH UHLPEXUVHG IRU H[SHQVHV LQFLGHQW WR WKH SHUIRUPDQFH
220-RI KLV RU KHU GXWLHV XQGHU WKH *HRORJLVWV 5HJXODWLRQ $FW DV SURYLGHG LQ
221-VHFWLRQVWR
184+ (DFK PHPEHU RI WKH ERDUG VKDOO VHUYH ZLWKRXW FRPSHQVDWLRQ DQG
185+SXUVXDQWWRVHFWLRQVWRVKDOOEHUHLPEXUVHGIRU
186+   (DFK GD\ DFWXDOO\ VSHQW LQ WUDYHOLQJ WR DQG IURP DQG ZKLOH DWWHQGLQJ
187+VHVVLRQVRIWKHERDUGDQGLWVFRPPLWWHHVRUDXWKRUL]HGPHHWLQJVRIWKH1DWLRQDO
188+$VVRFLDWLRQRI6WDWH%RDUGVRI*HRORJ\RULWVVXEGLYLVLRQVRUFRPPLWWHHVDQG
189+   ([SHQVHV LQFLGHQW WR WKH SHUIRUPDQFH RI GXWLHV XQGHU WKH *HRORJLVWV
190+5HJXODWLRQ$FW
222191 6HF  6HFWLRQ  5HLVVXH 5HYLVHG 6WDWXWHV RI 1HEUDVND LV DPHQGHG
223192 WRUHDG
224193  (DFK PHPEHU RI WKH ERDUG VKDOO UHFHLYH D FHUWLILFDWH RI
225194 DSSRLQWPHQW IURP WKH *RYHUQRU DQG EHIRUH EHJLQQLQJ WKH WHUP RI RIILFH VKDOO
226195 ILOH ZLWK WKH 6HFUHWDU\ RI 6WDWH WKH FRQVWLWXWLRQDO RDWK RI RIILFH 7KH ERDUG
227196 RU DQ\ FRPPLWWHH RI WKH ERDUG LV HQWLWOHG WR WKH VHUYLFHV RI WKH $WWRUQH\
228197 *HQHUDO LQ FRQQHFWLRQ ZLWK WKH DIIDLUV RI WKH ERDUG DQG WKH ERDUG PD\ FRPSHO
229198 WKH DWWHQGDQFH RI ZLWQHVVHV DGPLQLVWHU RDWKV DQG WDNH WHVWLPRQ\ DQG SURRIV
230199 FRQFHUQLQJ DOO PDWWHUV ZLWKLQ LWV MXULVGLFWLRQ 7KH $WWRUQH\ *HQHUDO VKDOO DFW
231200 DV OHJDO DGYLVRU WR WKH ERDUG DQG UHQGHU VXFK OHJDO DVVLVWDQFH DV PD\ EH
232201 QHFHVVDU\ LQ FDUU\LQJ RXW WKH *HRORJLVWV 5HJXODWLRQ $FW 7KH ERDUG PD\ HPSOR\
233202 FRXQVHO DQG QHFHVVDU\ DVVLVWDQFH WR DLG LQ FDUU\LQJ RXW WKH DFW 7KH ERDUG PD\
234-VKDOO  DGRSW DQG KDYH DQ RIILFLDO VHDO ZKLFK PD\  VKDOO  EH DIIL[HG WR DOO
235-FHUWLILFDWHVRIOLFHQVXUHJUDQWHGDQG PD\ VKDOO DGRSWDQGSURPXOJDWHUXOHVDQG
236-UHJXODWLRQVWRFDUU\RXWWKHDFW
237-6HF  6HFWLRQ  5HLVVXH 5HYLVHG 6WDWXWHV RI 1HEUDVND LV DPHQGHG
203+DGRSW DQG KDYH DQ RIILFLDO VHDO ZKLFK PD\ EH DIIL[HG WR DOO FHUWLILFDWHV RI
204+OLFHQVXUH JUDQWHG DQG PD\ DGRSW DQG SURPXOJDWH UXOHV DQG UHJXODWLRQV WR FDUU\
205+RXWWKHDFW
206+/%
207+
208+/%
209+
210+ 6HF  6HFWLRQ  5HLVVXH 5HYLVHG 6WDWXWHV RI 1HEUDVND LV DPHQGHG
238211 WRUHDG
239-   7KH VHFUHWDU\ RI WKH ERDUG VKDOO PDLQWDLQ DQG PDNH DYDLODEOH
240-SXEOLVK  D FRPSOHWH URVWHU VKRZLQJ WKH QDPHV DQG ODVWNQRZQ DGGUHVVHV RI DOO
241-SURIHVVLRQDO JHRORJLVWV   DW LQWHUYDOV DV HVWDEOLVKHG E\ ERDUG UXOHV DQG
242-UHJXODWLRQV 7KH VHFUHWDU\ VKDOO ILOH WKH URVWHU ZLWK WKH 6HFUHWDU\ RI 6WDWH
243-DQG PD\ PDLO D FRS\ WR HDFK SHUVRQ VR OLFHQVHG DV ZHOO DV FRXQW\ DQG PXQLFLSDO
244-RIILFLDOV 7KH VHFUHWDU\ PD\ DOVR VHOO RU GLVWULEXWH FRSLHV RI WKH URVWHU WR
245-WKHSXEOLF
212+   7KH ERDUG VKDOO PDLQWDLQ DQG PDNH DYDLODEOH D FRPSOHWH URVWHU
213+VKRZLQJWKHQDPHVDQGODVWNQRZQDGGUHVVHVRIDOOSURIHVVLRQDOJHRORJLVWV
246214   $Q\ SHUVRQ PD\ UHTXHVW D FRS\ RI VXFK FRPSOHWH URVWHU IURP WKH ERDUG
247215 7KH ERDUG PD\ FKDUJH D IHH IRU GLVWULEXWLQJ VXFK UHTXHVWHG FRS\ LQ DFFRUGDQFH
248216 ZLWKVHFWLRQVWR
249217 6HF  6HFWLRQ  5HLVVXH 5HYLVHG 6WDWXWHV RI 1HEUDVND LV DPHQGHG
250218 WRUHDG
251-   7KH /HJLVODWXUH KHUHE\  ILQGV DQG GHFODUHV WKDW D FRGH RI
252-/%
253-
254-/%
255-
256- SUDFWLFH HVWDEOLVKHG E\ WKH ERDUG E\ ZKLFK WKH PHPEHUV FRXOG JRYHUQ WKHLU
257-SURIHVVLRQDO FRQGXFW ZRXOG EH EHQHILFLDO WR WKH VWDWH DQG ZRXOG VDIHJXDUG WKH
258-OLIHKHDOWKDQGSURSHUW\RIWKHFLWL]HQVRIWKLVVWDWH
259-   7KH FRGH RI SUDFWLFH PD\  HVWDEOLVKHG E\ WKLV VHFWLRQ VKDOO  LQFOXGH
260-SURYLVLRQVRQ
219+   7KH /HJLVODWXUH ILQGV DQG GHFODUHV WKDW D FRGH RI SUDFWLFH
220+HVWDEOLVKHG E\ WKH ERDUG E\ ZKLFK WKH PHPEHUV FRXOG JRYHUQ WKHLU SURIHVVLRQDO
221+FRQGXFW ZRXOG EH EHQHILFLDO WR WKH VWDWH DQG ZRXOG VDIHJXDUG WKH OLIH KHDOWK
222+DQGSURSHUW\RIWKHFLWL]HQVRIWKLVVWDWH
223+  7KHFRGHRISUDFWLFHPD\LQFOXGHSURYLVLRQVRQ
261224 D 3URIHVVLRQDOFRPSHWHQFH
262225 E &RQIOLFWRILQWHUHVW
263226 F )XOOGLVFORVXUHRIILQDQFLDOLQWHUHVW
264227 G  )XOO GLVFORVXUH RI PDWWHUV DIIHFWLQJ SXEOLF VDIHW\ KHDOWK DQG
265228 ZHOIDUH
266229 H &RPSOLDQFHZLWKODZV
267230 I 3URIHVVLRQDOFRQGXFWDQGJRRGFKDUDFWHUVWDQGDUGVDQG
268231 J 3UDFWLFHRIJHRORJ\
269232   7KH ERDUG PD\ HVWDEOLVK VXFK FRGH RI SUDFWLFH WKURXJK UXOHV DQG
270233 UHJXODWLRQVDGRSWHGDQGSURPXOJDWHGE\WKHERDUG
271234   7KH ERDUG PD\ SXEOLVK FRPPHQWDULHV UHJDUGLQJ WKH FRGH RI SUDFWLFH
272235 6XFK FRPPHQWDULHV VKDOO H[SODLQ WKH PHDQLQJ RI LQWHUSUHWDWLRQV JLYHQ WR WKH
273236 FRGHE\WKHERDUG
274-   7KH ERDUG PD\ SODFH RQ SUREDWLRQ VKDOO KDYH WKH SRZHU WR  VXVSHQG   RU
275-UHYRNH D SURIHVVLRQDO JHRORJLVWV OLFHQVXUH IRU D YLRODWLRQ RI WKH FRGH RI
276-SUDFWLFH
237+   7KH ERDUG PD\ SODFH RQ SUREDWLRQ VXVSHQG RU UHYRNH D SURIHVVLRQDO
238+JHRORJLVWVOLFHQVXUHIRUDYLRODWLRQRIWKHFRGHRISUDFWLFH
277239 6HF  6HFWLRQ  5HLVVXH 5HYLVHG 6WDWXWHV RI 1HEUDVND LV DPHQGHG
278240 WRUHDG
279-   $Q\ SHUVRQ PD\ DSSO\ XQGHU RDWK RU DIILUPDWLRQ WR EHFRPH D
241+/%
242+
243+/%
244+
245+    $Q\ SHUVRQ PD\ DSSO\ XQGHU RDWK RU DIILUPDWLRQ WR EHFRPH D
280246 SURIHVVLRQDO JHRORJLVW EHFRPH D JHRORJLVWLQWHUQ RU UHFHLYH D FHUWLILFDWH RI
281-DXWKRUL]DWLRQ  $SSOLFDWLRQ IRU OLFHQVXUH DV D JHRORJLVW RU HQUROOPHQW DV D
282-JHRORJLVWLQWHUQVKDOOEHPDGH  RQDIRUPSUHVFULEHGDQGIXUQLVKHGE\WKHERDUG
283-,I UHTXLUHG SXUVXDQW WR VHFWLRQ  WKH DSSOLFDWLRQ VKDOO FRQWDLQ
284-VWDWHPHQWV PDGH XQGHU RDWK VKRZLQJ WKH DSSOLFDQWV HGXFDWLRQ DQG D GHWDLOHG
285-VXPPDU\ RI WHFKQLFDO H[SHULHQFH DQG VKDOO LQFOXGH WKH QDPHV DQG FRPSOHWH
286-PDLOLQJ DGGUHVVHV RI WKH UHIHUHQFHV QRQH RI ZKRP VKDOO EH PHPEHUV RI WKH
287-ERDUG  7KH ERDUG PD\ DFFHSW WKH YHULILHG LQIRUPDWLRQ FRQWDLQHG LQ D YDOLG
288-UHFRUG LVVXHG E\ WKH 1DWLRQDO $VVRFLDWLRQ RI 6WDWH %RDUGV RI *HRORJ\ IRU
289-DSSOLFDQWV  LQ OLHX RI WKH VDPH LQIRUPDWLRQ WKDW LV UHTXLUHG RQ WKH IRUP
290-SUHVFULEHGDQGIXUQLVKHGE\WKHERDUG
291-  D  7KH IHH IRU DQ\ DSSOLFDWLRQ   $SSOLFDWLRQ  UHQHZDO OLFHQVXUH
292-FHUWLILFDWH RI DXWKRUL]DWLRQ RU DQG  HQUROOPHQW IHHV  VKDOO EH HVWDEOLVKHG E\
293-WKH ERDUG DQG VKDOO DFFRPSDQ\ WKH DSSOLFDWLRQ $Q\ VXFK IHH LV QRQUHIXQGDEOH
294-DQG  2ULJLQDO DQG UHFLSURFDO IHHV VKDOO QRW H[FHHG WKUHH KXQGUHG GROODUV IRU
295-OLFHQVXUHDVDJHRORJLVWDQGRQHKXQGUHGGROODUVIRUHQUROOPHQWDVDJHRORJLVW
296-LQWHUQ DQG VKDOO EH LQ DGGLWLRQ WR WKH H[DPLQDWLRQ IHH ZKLFK VKDOO EH VHW WR
297-UHFRYHUWKHFRVWVRIWKHH[DPLQDWLRQDQGLWVDGPLQLVWUDWLRQ
247+DXWKRUL]DWLRQ RQ D IRUP SUHVFULEHG DQG IXUQLVKHG E\ WKH ERDUG 7KH ERDUG PD\
248+DFFHSW WKH YHULILHG LQIRUPDWLRQ FRQWDLQHG LQ D YDOLG UHFRUG LVVXHG E\ WKH
249+1DWLRQDO$VVRFLDWLRQRI6WDWH%RDUGVRI*HRORJ\LQOLHXRIWKHVDPHLQIRUPDWLRQ
250+WKDWLVUHTXLUHGRQWKHIRUPSUHVFULEHGDQGIXUQLVKHGE\WKHERDUG
251+  D  7KH IHH IRU DQ\ DSSOLFDWLRQ UHQHZDO OLFHQVXUH FHUWLILFDWH RI
252+DXWKRUL]DWLRQ RU HQUROOPHQW VKDOO EH HVWDEOLVKHG E\ WKH ERDUG DQG VKDOO
253+DFFRPSDQ\ WKH DSSOLFDWLRQ $Q\ VXFK IHH LV QRQUHIXQGDEOH DQG VKDOO QRW H[FHHG
254+WKUHH KXQGUHG GROODUV IRU OLFHQVXUH DV D JHRORJLVW DQG RQH KXQGUHG GROODUV IRU
255+HQUROOPHQW DV D JHRORJLVWLQWHUQ DQG VKDOO EH LQ DGGLWLRQ WR WKH H[DPLQDWLRQ
256+IHH ZKLFK VKDOO EH VHW WR UHFRYHU WKH FRVWV RI WKH H[DPLQDWLRQ DQG LWV
257+DGPLQLVWUDWLRQ
298258 E  )RU DQ\ IHH FKDUJHG SXUVXDQW WR VXEGLYLVLRQ D  RI WKLV VXEVHFWLRQ
299259 WKH ERDUG PD\ FKDUJH DQ DGGLWLRQDO IHH WR FRYHU WKH DGPLQLVWUDWLYH FRVWV RI
300260 FROOHFWLQJVXFKIHHQRWWRH[FHHGRQHKXQGUHGGROODUV
301261   7KH FHUWLILFDWH RI DXWKRUL]DWLRQ IHH IRU RUJDQL]DWLRQV VKDOO EH
302262 HVWDEOLVKHGE\WKHERDUGDQGVKDOODFFRPSDQ\WKHDSSOLFDWLRQ7KHIHHVKDOOQRW
303-H[FHHGWKUHHKXQGUHGGROODUV SHU\HDU
263+H[FHHGWKUHHKXQGUHGGROODUV
304264   7KH IHH IRU HPHULWXV VWDWXV VKDOO EH HVWDEOLVKHG E\ WKH ERDUG DQG
305-VKDOO DFFRPSDQ\ WKH DSSOLFDWLRQ 7KH IHH VKDOO QRW H[FHHG RQH KXQGUHG GROODUV
306-SHU\HDU
307-   ,I WKH ERDUG GHQLHV WKH LVVXDQFH RI D FHUWLILFDWH WR DQ\ DSSOLFDQW
308-LQFOXGLQJ WKH DSSOLFDWLRQ RI DQ RUJDQL]DWLRQ IRU D FHUWLILFDWH RI
309-DXWKRUL]DWLRQWKHERDUGVKDOOUHWDLQWKHIHH
265+VKDOODFFRPSDQ\WKHDSSOLFDWLRQ7KHIHHVKDOOQRWH[FHHGRQHKXQGUHGGROODUV
310266 6HF  6HFWLRQ  5HLVVXH 5HYLVHG 6WDWXWHV RI 1HEUDVND LV DPHQGHG
311267 WRUHDG
312268    7KH SUDFWLFH RU RIIHU WR SUDFWLFH IRU RWKHUV RI JHRORJ\ E\
313269 LQGLYLGXDOV OLFHQVHG XQGHU WKH *HRORJLVWV 5HJXODWLRQ $FW WKURXJK DQ
314270 RUJDQL]DWLRQ LV SHUPLWWHG LI WKH FULWHULD IRU RUJDQL]DWLRQDO SUDFWLFH
315271 HVWDEOLVKHG E\ WKH ERDUG DUH PHW DQG WKH RUJDQL]DWLRQ KDV EHHQ LVVXHG D
316272 FHUWLILFDWH RI DXWKRUL]DWLRQ E\ WKH ERDUG $OO WHFKQLFDO VXEPLVVLRQV E\ DQ
317273 RUJDQL]DWLRQ LQYROYLQJ WKH SUDFWLFH RI JHRORJ\ ZKHQ LVVXHG RU ILOHG IRU SXEOLF
318-UHFRUG VKDOO EH GDWHG DQG EHDU WKH VHDO RI WKH SURIHVVLRQDO  OLFHQVHG  JHRORJLVW
319-ZKRSUHSDUHGWKHVXEPLVVLRQRUXQGHUZKRVHLPPHGLDWHGLUHFWLRQLWZDVSUHSDUHG
320-   $Q RUJDQL]DWLRQ GHVLULQJ D FHUWLILFDWH RI DXWKRUL]DWLRQ VKDOO ILOH
274+UHFRUG VKDOO EH GDWHG DQG EHDU WKH VHDO RI WKH SURIHVVLRQDO JHRORJLVW ZKR
275+SUHSDUHGWKHVXEPLVVLRQRUXQGHUZKRVHLPPHGLDWHGLUHFWLRQLWZDVSUHSDUHG
276+/%
277+
278+/%
279+
280+   $Q RUJDQL]DWLRQ GHVLULQJ D FHUWLILFDWH RI DXWKRUL]DWLRQ VKDOO ILOH
321281 ZLWKWKHERDUGDQDSSOLFDWLRQXVLQJWKHIRUPSURYLGHGE\WKHERDUGZKLFKDOVR
322282 FRQWDLQVDOLVWRIWKHQDPHVDQGDGGUHVVHVRIDOORIILFHUVRIWKHRUJDQL]DWLRQ
323283 GXO\ OLFHQVHG WR SUDFWLFH JHRORJ\ LQ WKH VWDWH WKURXJK WKH RUJDQL]DWLRQ $Q\
324284 FKDQJH LQ WKH OLVW RI RIILFHUV GXULQJ WKH FHUWLILFDWH SHULRG VKDOO EH
325285 GHVLJQDWHG RQ WKH VDPH IRUP DQG ILOHG ZLWK WKH ERDUG ZLWKLQ WKLUW\ GD\V DIWHU
326286 WKH HIIHFWLYH GDWH RI WKH FKDQJH ,I WKH UHTXLUHPHQWV RI WKLV VHFWLRQ DUH PHW
327287 WKH ERDUG VKDOO LVVXH D FHUWLILFDWH RI DXWKRUL]DWLRQ WR WKH RUJDQL]DWLRQ DQG
328288 WKH RUJDQL]DWLRQ PD\ FRQWUDFW IRU DQG FROOHFW IHHV IRU IXUQLVKLQJ SURIHVVLRQDO
329289 VHUYLFHV
330290   7KH *HRORJLVWV 5HJXODWLRQ $FW VKDOO QRW SUHYHQW DQ RUJDQL]DWLRQ IURP
331291 SHUIRUPLQJSURIHVVLRQDOVHUYLFHVIRULWVHOI
332292   $Q RUJDQL]DWLRQ LV QRW UHOLHYHG RI LWV UHVSRQVLELOLW\ IRU WKH FRQGXFW
333293 RU DFWV RI LWV DJHQWV HPSOR\HHV RIILFHUV RU SDUWQHUV E\ UHDVRQ RI LWV
334294 FRPSOLDQFH ZLWK WKLV VHFWLRQ $Q LQGLYLGXDO SUDFWLFLQJ JHRORJ\ LV QRW UHOLHYHG
335-RI KLV RU KHU UHVSRQVLELOLW\ IRU VHUYLFHV SHUIRUPHG E\ UHDVRQ RI HPSOR\PHQW RU
336-DQ\ RWKHU UHODWLRQVKLS ZLWK DQ RUJDQL]DWLRQ KROGLQJ D FHUWLILFDWH RI
337-DXWKRUL]DWLRQ
338-   7KH  &RPPHQFLQJ RQH \HDU DIWHU -DQXDU\   WKH 6HFUHWDU\ RI 6WDWH
295+RI UHVSRQVLELOLW\ IRU VHUYLFHV SHUIRUPHG E\ UHDVRQ RI HPSOR\PHQW RU DQ\ RWKHU
296+UHODWLRQVKLSZLWKDQRUJDQL]DWLRQKROGLQJDFHUWLILFDWHRIDXWKRUL]DWLRQ
297+   7KH 6HFUHWDU\ RI 6WDWH VKDOO QRW LVVXH D FHUWLILFDWH RI DXWKRULW\ WR
298+GREXVLQHVVLQWKLVVWDWHRUDFFHSWDUHJLVWUDWLRQRIQDPHIURPDQRUJDQL]DWLRQ
299+WKDWLQWHQGVWRSUDFWLFHJHRORJ\XQOHVVWKHERDUGKDVLVVXHGVXFKRUJDQL]DWLRQ
300+D FHUWLILFDWH RI DXWKRUL]DWLRQ RU D OHWWHU LQGLFDWLQJ WKH HOLJLELOLW\ RI VXFK
301+RUJDQL]DWLRQ WR UHFHLYH D FHUWLILFDWH RI DXWKRUL]DWLRQ IURP WKH ERDUG RU WR
302+UHJLVWHU VXFK QDPH 7KH RUJDQL]DWLRQ VKDOO VXSSO\ WKH FHUWLILFDWH RU OHWWHU
303+ZLWKLWVDSSOLFDWLRQIRULQFRUSRUDWLRQRUOLFHQVXUH
304+   7KH 6HFUHWDU\ RI 6WDWH VKDOO QRW UHJLVWHU DQ\ WUDGH QDPH RU VHUYLFH
305+PDUN WKDW LQFOXGHV WKH ZRUG JHRORJ\ RU DQ\ PRGLILFDWLRQ RU GHULYDWLYH RI VXFK
306+ZRUGLQWKHWUDGHQDPHRUVHUYLFHPDUNRIDQRUJDQL]DWLRQXQOHVVWKHERDUGKDV
307+LVVXHG VXFK RUJDQL]DWLRQ D FHUWLILFDWH RI DXWKRUL]DWLRQ RU D OHWWHU LQGLFDWLQJ
308+WKH HOLJLELOLW\ RI VXFK RUJDQL]DWLRQ WR UHFHLYH D FHUWLILFDWH RI DXWKRUL]DWLRQ
309+RUWRUHJLVWHUVXFKWUDGHQDPHRUVHUYLFHPDUN
310+   7KH FHUWLILFDWH RI DXWKRUL]DWLRQ VKDOO EH UHQHZHG SHULRGLFDOO\ DV
339311 /%
340312 
341313 /%
342314 
343- VKDOO QRW LVVXH D FHUWLILFDWH RI DXWKRULW\ WR GR EXVLQHVV LQ WKLV VWDWH RU
344-DFFHSW  DQ DSSOLFDQW RU D UHJLVWUDWLRQ RI QDPH IURP  WR D IRUHLJQ ILUP WR DQ
345-RUJDQL]DWLRQ WKDW LQWHQGV WR SUDFWLFH JHRORJ\  ZKLFK LQFOXGHV DPRQJ WKH
346-REMHFWLYHV IRU ZKLFK LW LV HVWDEOLVKHG JHRORJ\ RU DQ\ PRGLILFDWLRQ RU
347-GHULYDWLRQ RI JHRORJ\ XQOHVV WKH ERDUG KDV LVVXHG VXFK RUJDQL]DWLRQ  WKH
348-DSSOLFDQW DFHUWLILFDWHRIDXWKRUL]DWLRQRUDOHWWHULQGLFDWLQJWKHHOLJLELOLW\
349-RI VXFK RUJDQL]DWLRQ WKH DSSOLFDQW WR UHFHLYH D FHUWLILFDWH RI DXWKRUL]DWLRQ
350-IURP WKH ERDUG RU WR UHJLVWHU VXFK QDPH 7KH RUJDQL]DWLRQ VKDOO VXSSO\ WKH
351-FHUWLILFDWHRUOHWWHUZLWKLWVDSSOLFDWLRQIRULQFRUSRUDWLRQRUOLFHQVXUH
352-   7KH  &RPPHQFLQJ RQH \HDU DIWHU -DQXDU\   WKH 6HFUHWDU\ RI 6WDWH
353-VKDOO QRW UHJLVWHU DQ\ WUDGH QDPH RU VHUYLFH PDUN WKDW  ZKLFK  LQFOXGHV WKH ZRUG
354-JHRORJ\  ZRUGV SURIHVVLRQDO JHRORJLVW  RU DQ\ PRGLILFDWLRQ RU GHULYDWLYH RI
355-VXFK ZRUG LQ WKH WUDGH QDPH RU VHUYLFH PDUN RI DQ RUJDQL]DWLRQ XQOHVV WKH
356-ERDUG KDV LVVXHG VXFK RUJDQL]DWLRQ D FHUWLILFDWH RI DXWKRUL]DWLRQ RU D OHWWHU
357-LQGLFDWLQJ WKH HOLJLELOLW\ RI VXFK RUJDQL]DWLRQ WR UHFHLYH D FHUWLILFDWH RI
358-DXWKRUL]DWLRQ RU WR UHJLVWHU VXFK WUDGH QDPH RU VHUYLFH PDUN  LWV ILUP QDPH RU
359-ORJRW\SH H[FHSW WR WKRVH RUJDQL]DWLRQV KROGLQJ D FHUWLILFDWH RI DXWKRUL]DWLRQ
360-LVVXHGE\WKHERDUG
361-   7KH FHUWLILFDWH RI DXWKRUL]DWLRQ VKDOO EH UHQHZHG SHULRGLFDOO\ DV
362-UHTXLUHGE\WKHERDUG
363-   $ JHRORJLVW ZKR UHQGHUV RFFDVLRQDO SDUWWLPH RU FRQVXOWLQJ VHUYLFHV
364-WRRUIRUDQRUJDQL]DWLRQPD\QRWIRUSXUSRVHVRIWKLVVHFWLRQEHGHVLJQDWHGDV
365-EHLQJUHVSRQVLEOHIRUWKHSURIHVVLRQDODFWLYLWLHVRIWKHRUJDQL]DWLRQ
315+ UHTXLUHGE\WKHERDUG
366316 6HF  6HFWLRQ  5HLVVXH 5HYLVHG 6WDWXWHV RI 1HEUDVND LV DPHQGHG
367317 WRUHDG
368-   7KH ERDUG VKDOO LVVXH WR DQ\ DSSOLFDQW   ZKR   RQ WKH EDVLV RI
369-HGXFDWLRQ H[SHULHQFH DQG H[DPLQDWLRQ  LI UHTXLUHG SXUVXDQW WR VHFWLRQ
370-  KDV PHW WKH UHTXLUHPHQWV RI WKH *HRORJLVWV 5HJXODWLRQ $FW   D
371-FHUWLILFDWH RI OLFHQVXUH DV D SURIHVVLRQDO JHRORJLVW WKDW DXWKRUL]HV VXFK
372-SHUVRQ  JLYLQJ WKH OLFHQVHG JHRORJLVW SURSHU DXWKRULW\  WR FDUU\ RXW WKH
373-SUHURJDWLYHV RI WKH DFW 7KH FHUWLILFDWH RI OLFHQVXUH VKDOO FDUU\ WKH
374-GHVLJQDWLRQ /LFHQVHG 3URIHVVLRQDO *HRORJLVW 7KH FHUWLILFDWH RI OLFHQVXUH VKDOO
375-LQFOXGH  JLYH  WKH IXOO QDPH RI WKH SURIHVVLRQDO JHRORJLVW  OLFHQVHH  DQG WKH
376-OLFHQVH QXPEHU DQG VKDOO EH VLJQHG E\ WKH FKDLUSHUVRQ RI WKH ERDUG DQG WKH
377-VHFUHWDU\RIWKHERDUG
318+   7KH ERDUG VKDOO LVVXH WR DQ\ DSSOLFDQW ZKR RQ WKH EDVLV RI
319+HGXFDWLRQ H[SHULHQFH DQG H[DPLQDWLRQ KDV PHW WKH UHTXLUHPHQWV RI WKH
320+*HRORJLVWV 5HJXODWLRQ $FW D FHUWLILFDWH RI OLFHQVXUH DV D SURIHVVLRQDO
321+JHRORJLVWWKDWDXWKRUL]HVVXFKSHUVRQWRFDUU\RXWWKHSUHURJDWLYHVRIWKHDFW
322+7KH FHUWLILFDWH RI OLFHQVXUH VKDOO FDUU\ WKH GHVLJQDWLRQ /LFHQVHG 3URIHVVLRQDO
323+*HRORJLVW 7KH FHUWLILFDWH RI OLFHQVXUH VKDOO LQFOXGH WKH IXOO QDPH RI WKH
324+SURIHVVLRQDO JHRORJLVW DQG WKH OLFHQVH QXPEHU DQG VKDOO EH VLJQHG E\ WKH
325+FKDLUSHUVRQRIWKHERDUGDQGWKHVHFUHWDU\RIWKHERDUG
378326   7KH FHUWLILFDWH VKDOO EH SULPD IDFLH HYLGHQFH WKDW WKH SHUVRQ LV
379327 HQWLWOHG WR DOO ULJKWV SULYLOHJHV DQG UHVSRQVLELOLWLHV RI D SURIHVVLRQDO
380328 JHRORJLVWZKLOHWKHFHUWLILFDWHRIOLFHQVXUHUHPDLQVXQUHYRNHGDQGXQH[SLUHG
381-  D  (DFK SURIHVVLRQDOJHRORJLVW  OLFHQVHH DXWKRUL]HG WR SUDFWLFH JHRORJ\
382-VKDOO  PXVW  REWDLQ D VHDO 7KH GHVLJQ RI WKH VHDO VKDOO EH GHWHUPLQHG E\ WKH
383-ERDUG 7KH IROORZLQJ LQIRUPDWLRQ VKDOO EH RQ WKH VHDO 6WDWH RI 1HEUDVND WKH
384-SURIHVVLRQDO JHRORJLVWV OLFHQVHHV  QDPH WKH SURIHVVLRQDO JHRORJLVWV
385-OLFHQVHHVOLFHQVHQXPEHUDQGWKHZRUGV/LFHQVHG3URIHVVLRQDO*HRORJLVW
386- E  :KHQHYHU WKH VHDO LV DSSOLHG WKH SURIHVVLRQDO JHRORJLVWV OLFHQVHHV
387-VLJQDWXUH VKDOO EH DFURVV WKH VHDO 7KH ERDUG PD\ DGRSW DQG SURPXOJDWH UXOHV
388-DQGUHJXODWLRQVIRUDSSOLFDWLRQRIWKHVHDO
329+  D  (DFK SURIHVVLRQDO JHRORJLVW DXWKRUL]HG WR SUDFWLFH JHRORJ\ VKDOO
330+REWDLQ D VHDO 7KH GHVLJQ RI WKH VHDO VKDOO EH GHWHUPLQHG E\ WKH ERDUG 7KH
331+IROORZLQJLQIRUPDWLRQVKDOOEHRQWKHVHDO6WDWHRI1HEUDVNDWKHSURIHVVLRQDO
332+JHRORJLVWV QDPH WKH SURIHVVLRQDO JHRORJLVWV OLFHQVH QXPEHU DQG WKH ZRUGV
333+/LFHQVHG3URIHVVLRQDO*HRORJLVW
334+ E  :KHQHYHU WKH VHDO LV DSSOLHG WKH SURIHVVLRQDO JHRORJLVWV VLJQDWXUH
335+VKDOO EH DFURVV WKH VHDO 7KH ERDUG PD\ DGRSW DQG SURPXOJDWH UXOHV DQG
336+UHJXODWLRQVIRUDSSOLFDWLRQRIWKHVHDO
389337 F  7KH VHDO DQG WKH GDWH RI LWV SODFHPHQW VKDOO EH RQ DOO WHFKQLFDO
390338 VXEPLVVLRQV DQG FDOFXODWLRQV ZKHQHYHU SUHVHQWHG WR D FOLHQW RU DQ\ SXEOLF RU
391-JRYHUQPHQWDO DJHQF\ ,W VKDOO EH XQODZIXO IRU DQ\ SHUVRQ D OLFHQVHH WR DIIL[
392-VXFK SHUVRQV KLV RU KHU VHDO RU WR SHUPLW VXFK  KLV RU KHU  VHDO WR EH DIIL[HG
393-WR DQ\ GRFXPHQW DIWHU WKH H[SLUDWLRQ RI WKH FHUWLILFDWH RU IRU WKH SXUSRVH RI
394-DLGLQJRUDEHWWLQJDQ\RWKHUSHUVRQWRHYDGHRUDWWHPSWWRHYDGHWKHDFW
339+JRYHUQPHQWDODJHQF\,WVKDOOEHXQODZIXOIRUDQ\SHUVRQWRDIIL[VXFKSHUVRQV
340+VHDO RU WR SHUPLW VXFK VHDO WR EH DIIL[HG WR DQ\ GRFXPHQW DIWHU WKH H[SLUDWLRQ
341+RIWKHFHUWLILFDWHRUIRUWKHSXUSRVHRIDLGLQJRUDEHWWLQJDQ\RWKHUSHUVRQWR
342+HYDGHRUDWWHPSWWRHYDGHWKHDFW
395343 G  7KH VHDO DQG GDWH VKDOO EH SODFHG RQ DOO RULJLQDOV FRSLHV WUDFLQJV
396344 RU RWKHU UHSURGXFLEOH GRFXPHQWV LQ VXFK D PDQQHU WKDW WKH VHDO VLJQDWXUH DQG
397-GDWH ZLOO EH UHSURGXFHG 7KH DSSOLFDWLRQ RI D SURIHVVLRQDO JHRORJLVWV  WKH
398-OLFHQVHHV  VHDO VKDOO FRQVWLWXWH FHUWLILFDWLRQ WKDW WKH ZRUN ZDV GRQH E\ VXFK
399-SURIHVVLRQDO JHRORJLVW RU XQGHU WKH UHVSRQVLEOH FKDUJH RI VXFK SURIHVVLRQDO
400-JHRORJLVW  WKH OLFHQVHH RU XQGHU WKH OLFHQVHHV FRQWURO ,Q WKH FDVH RI
401-PXOWLSOH VHDOLQJV WKH ILUVW RU WLWOH SDJH VKDOO EH VHDOHG DQG GDWHG E\ DOO
402-LQYROYHG,QDGGLWLRQHDFKVKHHWVKDOOEHVHDOHGDQGGDWHGE\WKH SURIHVVLRQDO
403-JHRORJLVW  OLFHQVHH  UHVSRQVLEOH IRU HDFK VKHHW ,Q WKH FDVH RI DQ RUJDQL]DWLRQ
404-HDFK VKHHW VKDOO EH VHDOHG DQG GDWHG E\ WKH SURIHVVLRQDO JHRORJLVW  OLFHQVHH
405-LQYROYHG 7KH SURIHVVLRQDO JHRORJLVW LQ UHVSRQVLEOH FKDUJH VKDOO VHDO DQG GDWH
406-WKHWLWOHRUILUVWVKHHW
407- H  ,Q WKH FDVH RI D WHPSRUDU\ SHUPLW LVVXHG WR DQ LQGLYLGXDO IURP  D
408-OLFHQVHHRI DQRWKHUVWDWHWKHOLFHQVHHVKDOOXVHKLVRUKHUVWDWHRIOLFHQVXUH
409-VHDODQGVKDOODIIL[KLVRUKHUVLJQDWXUHDQGWHPSRUDU\SHUPLWWRDOO RIKLVRU
410-KHUZRUN
411-   7KH ERDUG VKDOO LVVXH WR DQ\ DSSOLFDQW ZKR LQ WKH RSLQLRQ RI WKH
412-ERDUG KDV PHW WKH UHTXLUHPHQWV RI WKH DFW DQ HQUROOPHQW FHUWLILFDWH  FDUG  DV
413-JHRORJLVWLQWHUQ WKDW  ZKLFK  LQGLFDWHV WKDW VXFK JHRORJLVWLQWHUQV KLV RU KHU
414-QDPH KDV EHHQ UHFRUGHG DV VXFK LQ WKH ERDUG RIILFH 7KH JHRORJLVWLQWHUQ
415-HQUROOPHQW FHUWLILFDWH FDUG GRHVQRWDXWKRUL]HWKH VXFKJHRORJLVWLQWHUQ  KROGHU
416-WRSUDFWLFHDVDSURIHVVLRQDOJHRORJLVW
417-6HF  6HFWLRQ  5HLVVXH 5HYLVHG 6WDWXWHV RI 1HEUDVND LV DPHQGHG
418-WRUHDG
419-b    $ SURIHVVLRQDO JHRORJLVW VKDOO RQO\ DIIL[ KLV RU KHU VHDO DQG
420-VLJQDWXUHZKHQKHRUVKHZDVLQUHVSRQVLEOHFKDUJHRIWKHZRUN
421-   $ SURIHVVLRQDO JHRORJLVW VKDOO DIIL[ VXFK SURIHVVLRQDO JHRORJLVWV  KLV
422-RU KHU VHDO DQG VLJQDWXUH RQ JHRORJLF UHSRUWV GRFXPHQWV PDSV SODQV ORJV
423-DQG VHFWLRQV RU RWKHU SXEOLF UHFRUGV RIIHUHG WR WKH SXEOLF DQG SUHSDUHG ZKLOH
424-LQ UHVSRQVLEOH FKDUJH RU LVVXHG E\ RU XQGHU WKH GLUHFW VXSHUYLVLRQ RI WKH
425-SURIHVVLRQDOJHRORJLVW
345+GDWH ZLOO EH UHSURGXFHG 7KH DSSOLFDWLRQ RI D SURIHVVLRQDO JHRORJLVWV VHDO
426346 /%
427347 
428348 /%
429349 
430- 6HF  6HFWLRQ  5HLVVXH 5HYLVHG 6WDWXWHV RI 1HEUDVND LV DPHQGHG
350+ VKDOO FRQVWLWXWH FHUWLILFDWLRQ WKDW WKH ZRUN ZDV GRQH E\ VXFK SURIHVVLRQDO
351+JHRORJLVW RU XQGHU WKH UHVSRQVLEOH FKDUJH RI VXFK SURIHVVLRQDO JHRORJLVW ,Q
352+WKH FDVH RI PXOWLSOH VHDOLQJV WKH ILUVW RU WLWOH SDJH VKDOO EH VHDOHG DQG
353+GDWHGE\DOOLQYROYHG,QDGGLWLRQHDFKVKHHWVKDOOEHVHDOHGDQGGDWHGE\WKH
354+SURIHVVLRQDO JHRORJLVW UHVSRQVLEOH IRU HDFK VKHHW ,Q WKH FDVH RI DQ
355+RUJDQL]DWLRQ HDFK VKHHW VKDOO EH VHDOHG DQG GDWHG E\ WKH SURIHVVLRQDO
356+JHRORJLVWLQYROYHG7KHSURIHVVLRQDOJHRORJLVWLQUHVSRQVLEOHFKDUJHVKDOOVHDO
357+DQGGDWHWKHWLWOHRUILUVWVKHHW
358+ H  ,Q WKH FDVH RI D WHPSRUDU\ SHUPLW LVVXHG WR DQ LQGLYLGXDO IURP DQRWKHU
359+VWDWH WKH OLFHQVHH VKDOO XVH KLV RU KHU VWDWH RI OLFHQVXUH VHDO DQG VKDOO
360+DIIL[KLVRUKHUVLJQDWXUHDQGWHPSRUDU\SHUPLWWRDOORIKLVRUKHUZRUN
361+   7KH ERDUG VKDOO LVVXH WR DQ\ DSSOLFDQW ZKR LQ WKH RSLQLRQ RI WKH
362+ERDUG KDV PHW WKH UHTXLUHPHQWV RI WKH DFW DQ HQUROOPHQW FHUWLILFDWH DV
363+JHRORJLVWLQWHUQ WKDW LQGLFDWHV WKDW VXFK JHRORJLVWLQWHUQV QDPH KDV EHHQ
364+UHFRUGHG DV VXFK LQ WKH ERDUG RIILFH 7KH JHRORJLVWLQWHUQ HQUROOPHQW
365+FHUWLILFDWH GRHV QRW DXWKRUL]H WKH VXFK JHRORJLVWLQWHUQ WR SUDFWLFH DV D
366+SURIHVVLRQDOJHRORJLVW
367+6HF  6HFWLRQ  5HLVVXH 5HYLVHG 6WDWXWHV RI 1HEUDVND LV DPHQGHG
368+WRUHDG
369+b
370+$ SURIHVVLRQDO JHRORJLVW VKDOO DIIL[ VXFK SURIHVVLRQDO JHRORJLVWV VHDO
371+DQG VLJQDWXUH RQ JHRORJLF UHSRUWV GRFXPHQWV PDSV SODQV ORJV DQG VHFWLRQV
372+RURWKHUSXEOLFUHFRUGVRIIHUHGWRWKHSXEOLFDQGSUHSDUHGZKLOHLQUHVSRQVLEOH
373+FKDUJHRUXQGHUWKHGLUHFWVXSHUYLVLRQRIWKHSURIHVVLRQDOJHRORJLVW
374+6HF  6HFWLRQ  5HLVVXH 5HYLVHG 6WDWXWHV RI 1HEUDVND LV DPHQGHG
431375 WRUHDG
432376    &HUWLILFDWHV RI OLFHQVXUH DQG FHUWLILFDWHV RI DXWKRUL]DWLRQ
433377 VKDOO H[SLUH RQ D GDWH HVWDEOLVKHG E\ WKH ERDUG DQG VKDOO EHFRPH LQYDOLG DIWHU
434-WKDW GDWH XQOHVV UHQHZHG 7KH VHFUHWDU\ RI WKH ERDUG VKDOO QRWLI\ HYHU\ SHUVRQ
435-OLFHQVHG XQGHU WKH *HRORJLVWV 5HJXODWLRQ $FW DQG HYHU\ RUJDQL]DWLRQ KROGLQJ D
436-FHUWLILFDWHRIDXWKRUL]DWLRQXQGHUWKHDFWRIWKHGDWHRIWKHH[SLUDWLRQRIWKH
437-FHUWLILFDWH RI OLFHQVXUH RU FHUWLILFDWH RI DXWKRUL]DWLRQ DQG WKH DPRXQW RI WKH
438-IHH UHTXLUHG IRU UHQHZDO 7KH QRWLFH VKDOO EH VHQW  PDLOHG  WR WKH OLFHQVHH RU
439-RUJDQL]DWLRQ DW WKH ODVWNQRZQ DGGUHVV RQ ILOH ZLWK WKH ERDUG DW OHDVW RQH
440-PRQWK LQ DGYDQFH RI WKH GDWH RI WKH H[SLUDWLRQ 5HQHZDO PD\ EH HIIHFWHG DW DQ\
441-WLPH SULRU WR RU GXULQJ WKH SHULRG HVWDEOLVKHG E\ WKH ERDUG XSRQ DSSOLFDWLRQ
442-SXUVXDQWWRWKLVVHFWLRQDQGSD\PHQWRIDUHQHZDOIHH7KHIHHVKDOOQRWH[FHHG
443-WZRKXQGUHGGROODUVSHU\HDU5HQHZDORIDQH[SLUHGFHUWLILFDWHPD\EHHIIHFWHG
444-XQGHU UXOHV DQG UHJXODWLRQV RI WKH ERDUG UHJDUGLQJ UHTXLUHPHQWV IRU
445-UHH[DPLQDWLRQDQGIRUSHQDOW\IHHV7KHERDUGPD\DGRSWDSURJUDPRIFRQWLQXLQJ
446-HGXFDWLRQDVDUHTXLUHPHQWIRUUHQHZDOIRULQGLYLGXDOOLFHQVHHV
378+WKDW GDWH XQOHVV UHQHZHG 7KH ERDUG VKDOO QRWLI\ HYHU\ SHUVRQ OLFHQVHG XQGHU
379+WKH *HRORJLVWV 5HJXODWLRQ $FW DQG HYHU\ RUJDQL]DWLRQ KROGLQJ D FHUWLILFDWH RI
380+DXWKRUL]DWLRQXQGHUWKHDFWRIWKHGDWHRIWKHH[SLUDWLRQRIWKHFHUWLILFDWHRI
381+/%
382+
383+/%
384+
385+ OLFHQVXUH RU FHUWLILFDWH RI DXWKRUL]DWLRQ DQG WKH DPRXQW RI WKH IHH UHTXLUHG
386+IRU UHQHZDO 7KH QRWLFH VKDOO EH VHQW WR WKH OLFHQVHH RU RUJDQL]DWLRQ DW WKH
387+ODVWNQRZQ DGGUHVV RQ ILOH ZLWK WKH ERDUG DW OHDVW RQH PRQWK LQ DGYDQFH RI WKH
388+GDWH RI WKH H[SLUDWLRQ 5HQHZDO PD\ EH HIIHFWHG DW DQ\ WLPH SULRU WR RU GXULQJ
389+WKH SHULRG HVWDEOLVKHG E\ WKH ERDUG XSRQ DSSOLFDWLRQ SXUVXDQW WR WKLV VHFWLRQ
390+DQG SD\PHQW RI D UHQHZDO IHH 7KH IHH VKDOO QRW H[FHHG WZR KXQGUHG GROODUV SHU
391+\HDU 5HQHZDO RI DQ H[SLUHG FHUWLILFDWH PD\ EH HIIHFWHG XQGHU UXOHV DQG
392+UHJXODWLRQV RI WKH ERDUG UHJDUGLQJ UHTXLUHPHQWV IRU UHH[DPLQDWLRQ DQG IRU
393+SHQDOW\ IHHV 7KH ERDUG PD\ DGRSW D SURJUDP RI FRQWLQXLQJ HGXFDWLRQ DV D
394+UHTXLUHPHQWIRUUHQHZDOIRULQGLYLGXDOOLFHQVHHV
447395   $Q DSSOLFDQW IRU UHQHZDO RI D FHUWLILFDWH RI OLFHQVXUH RU FHUWLILFDWH
448-RI DXWKRUL]DWLRQ VKDOO DSSO\ LQ D PHWKRG RQ D IRUP SUHVFULEHG DQG IXUQLVKHG E\
449-WKHERDUG7KHDSSOLFDWLRQVKDOOFRQWDLQVWDWHPHQWVPDGHXQGHURDWKVKRZLQJWKH
450-DSSOLFDQWV ILWQHVV WR PDLQWDLQ OLFHQVXUH LQFOXGLQJ IHORQ\ FRQYLFWLRQV LQ DQ\
396+RI DXWKRUL]DWLRQ VKDOO DSSO\ LQ D PHWKRG SUHVFULEHG E\ WKH ERDUG 7KH
397+DSSOLFDWLRQ VKDOO FRQWDLQ VWDWHPHQWV PDGH XQGHU RDWK VKRZLQJ WKH DSSOLFDQWV
398+ILWQHVV WR PDLQWDLQ OLFHQVXUH LQFOXGLQJ IHORQ\ FRQYLFWLRQV LQ DQ\
451399 MXULVGLFWLRQ FRQYLFWLRQV LQYROYLQJ PRUDO WXUSLWXGH LQ DQ\ MXULVGLFWLRQ DQG
452400 VXVSHQVLRQ RU UHYRFDWLRQ RI D SURIHVVLRQDO OLFHQVH LQ DQ\ RWKHU MXULVGLFWLRQ
453401 7KH ERDUG VKDOO UHYLHZ WKH DSSOLFDWLRQ IRU UHQHZDO ,I WKH ERDUG WDNHV QR
454402 DFWLRQ WKH OLFHQVH VKDOO EH UHQHZHG 7KH ERDUG PD\ GHQ\ UHQHZDO LI LW
455403 GHWHUPLQHV WKH DSSOLFDQW GRHV QRW PHHW WKH UHTXLUHPHQWV IRU OLFHQVXUH RU
456404 UHQHZDO
457405 6HF  6HFWLRQ  5HLVVXH 5HYLVHG 6WDWXWHV RI 1HEUDVND LV DPHQGHG
458406 WRUHDG
459- ([FHSW DV SURYLGHG LQ VHFWLRQ  VHFWLRQV  WR    DQG
460-VHFWLRQ   RI WKLV DFW DQ LQGLYLGXDO VKDOO QRW GLUHFWO\ RU LQGLUHFWO\ HQJDJH
461-LQWKHSUDFWLFHRIJHRORJ\LQWKHVWDWHRUXVHWKHWLWOH3URIHVVLRQDO*HRORJLVW
462-RU GLVSOD\ RU XVH DQ\ ZRUGV OHWWHUV ILJXUHV WLWOHV VLJQ FDUG
463-DGYHUWLVHPHQWRURWKHUV\PERORUGHYLFHLQGLFDWLQJRUWHQGLQJWRLQGLFDWHWKDW
464-VXFK LQGLYLGXDO KH RU VKH LV D SURIHVVLRQDO JHRORJLVW RU D OLFHQVHH RU LV
465-SUDFWLFLQJ JHRORJ\ XQOHVV VXFK LQGLYLGXDO  KH RU VKH LV OLFHQVHG XQGHU WKH
466-*HRORJLVWV 5HJXODWLRQ $FW $ SURIHVVLRQDO  OLFHQVHG  JHRORJLVW RU OLFHQVHH VKDOO
467-QRW DLG RU DEHW DQ\ SHUVRQ QRW OLFHQVHG XQGHU WKH DFW LQ WKH SUDFWLFH RI
468-JHRORJ\
469-6HF  6HFWLRQ  5HLVVXH 5HYLVHG 6WDWXWHV RI 1HEUDVND LV DPHQGHG
407+ ([FHSW DV SURYLGHG LQ VHFWLRQ  DQG VHFWLRQ   RI WKLV DFW
408+DQ LQGLYLGXDO VKDOO QRW GLUHFWO\ RU LQGLUHFWO\ HQJDJH LQ WKH SUDFWLFH RI
409+JHRORJ\ LQ WKH VWDWH RU XVH WKH WLWOH 3URIHVVLRQDO *HRORJLVW RU GLVSOD\ RU XVH
410+DQ\ZRUGVOHWWHUVILJXUHVWLWOHVVLJQFDUGDGYHUWLVHPHQWRURWKHUV\PERO
411+RU GHYLFH LQGLFDWLQJ RU WHQGLQJ WR LQGLFDWH WKDW VXFK LQGLYLGXDO LV D
412+SURIHVVLRQDO JHRORJLVW RU D OLFHQVHH RU LV SUDFWLFLQJ JHRORJ\ XQOHVV VXFK
413+LQGLYLGXDO LV OLFHQVHG XQGHU WKH *HRORJLVWV 5HJXODWLRQ $FW $ SURIHVVLRQDO
414+JHRORJLVW RU OLFHQVHH VKDOO QRW DLG RU DEHW DQ\ SHUVRQ QRW OLFHQVHG XQGHU WKH
415+DFWLQWKHSUDFWLFHRIJHRORJ\
416+/%
417+
418+/%
419+
420+ 6HF  6HFWLRQ  5HLVVXH 5HYLVHG 6WDWXWHV RI 1HEUDVND LV DPHQGHG
470421 WRUHDG
471422  $Q\ SHUVRQ ZKR SHUIRUPV DQ\ RI WKH IROORZLQJ DFWLRQV LV JXLOW\ RI
472423 D &ODVV ,, PLVGHPHDQRU IRU WKH ILUVW RIIHQVH DQG D &ODVV , PLVGHPHDQRU IRU WKH
473424 VHFRQGRUDQ\VXEVHTXHQWRIIHQVH
474425   3UDFWLFHV RU RIIHUV WR SUDFWLFH JHRORJ\ LQ WKLV VWDWH ZLWKRXW EHLQJ
475426 OLFHQVHG LQ DFFRUGDQFH ZLWK WKH *HRORJLVWV 5HJXODWLRQ $FW DQG LV QRW H[HPSWHG
476-E\ VHFWLRQ VHFWLRQV WR  RUVHFWLRQ   RIWKLVDFW
427+E\VHFWLRQRUVHFWLRQRIWKLVDFW
477428   .QRZLQJO\ DQG ZLOOIXOO\ HPSOR\V RU UHWDLQV D SHUVRQ WR SUDFWLFH
478429 JHRORJ\LQWKLVVWDWHZKRLVQRWOLFHQVHGLQDFFRUGDQFHZLWKWKHDFWDQGZKRLV
479-QRWH[HPSWHGE\ VHFWLRQ VHFWLRQV WR  RUVHFWLRQ   RIWKLVDFW
480-   8VHV WKH ZRUG JHRORJLVW  *HRORJLVW  RU DQ\ PRGLILFDWLRQ RU GHULYDWLYH
481-RI VXFK ZRUG LQ LWV QDPH RU IRUP RI EXVLQHVV DFWLYLW\ H[FHSW DV DXWKRUL]HG LQ
482-WKHDFW
430+QRWH[HPSWHGE\VHFWLRQRUVHFWLRQRIWKLVDFW
431+   8VHV WKH ZRUG JHRORJLVW RU DQ\ PRGLILFDWLRQ RU GHULYDWLYH RI VXFK
432+ZRUGLQLWVQDPHRUIRUPRIEXVLQHVVDFWLYLW\H[FHSWDVDXWKRUL]HGLQWKHDFW
483433   3UHVHQWV RU DWWHPSWV WR XVH WKH FHUWLILFDWH RI OLFHQVXUH RU WKH VHDO
484434 RIDQRWKHUSHUVRQ
485435   *LYHV DQ\ IDOVH RU IRUJHG HYLGHQFH RI DQ\ NLQG WR WKH ERDUG RU WR DQ\
486436 PHPEHU RI WKH ERDUG LQ REWDLQLQJ RU DWWHPSWLQJ WR REWDLQ D FHUWLILFDWH RI
487437 DXWKRUL]DWLRQ
488-   )DOVHO\ LPSHUVRQDWHV DQ\ SURIHVVLRQDOJHRORJLVW  RWKHUOLFHQVHH  RIOLNH
489-RUGLIIHUHQWQDPH
438+   )DOVHO\ LPSHUVRQDWHV DQ\ SURIHVVLRQDO JHRORJLVW RI OLNH RU GLIIHUHQW
439+QDPH
490440   $WWHPSWV WR XVH DQ H[SLUHG VXVSHQGHG UHYRNHG RU QRQH[LVWHQW
491441 FHUWLILFDWHRIOLFHQVXUHRUSUDFWLFHVRURIIHUVWRSUDFWLFHZKHQQRWTXDOLILHG
492-   )DOVHO\ FODLPV WKDW VXFK SHUVRQ KH RU VKH LV OLFHQVHG RU DXWKRUL]HG
493-XQGHUWKHDFW RU
442+   )DOVHO\ FODLPV WKDW VXFK SHUVRQ LV OLFHQVHG RU DXWKRUL]HG XQGHU WKH
443+DFW
494444   $GYHUWLVHV DQ\ WLWOH RU GHVFULSWLRQ WHQGLQJ WR FRQYH\ WKH LPSUHVVLRQ
495445 WKDWVXFKSHUVRQLVDSURIHVVLRQDOJHRORJLVWXQOHVVWKHSHUVRQLVGXO\OLFHQVHG
496446 XQGHUWKH*HRORJLVWV5HJXODWLRQ$FWRU
497-    9LRODWHVDQ\RIWKHSURYLVLRQVRIWKHDFW
447+  9LRODWHVDQ\RIWKHSURYLVLRQVRIWKHDFW
498448 6HF  6HFWLRQ  5HLVVXH 5HYLVHG 6WDWXWHV RI 1HEUDVND LV DPHQGHG
499449 WRUHDG
500-   &KDUJHV DJDLQVW DQ\ LQGLYLGXDO RU RUJDQL]DWLRQ  SHUVRQ
501-LQYROYLQJ DQ\ PDWWHU FRPLQJ ZLWKLQ WKH MXULVGLFWLRQ RI WKH ERDUG VKDOO EH LQ
502-ZULWLQJDQGVKDOOEHILOHGZLWKWKHERDUG
503-   7KH FKDUJHV DW WKH GLVFUHWLRQ RI WKH ERDUG   VKDOO KROG D KHDULQJ RQ
504-DQ\ VXFK FKDUJHV EH KHDUG ZLWKLQ D UHDVRQDEOH WLPH DQG LQ DFFRUGDQFH ZLWK WKH
505-UXOHVDQGUHJXODWLRQV WKDWKDYHEHHQDGRSWHGDQGSURPXOJDWHGE\WKHERDUG6XFK
506-KHDULQJ  ZKLFK  PD\ LQFOXGH WKH XVH RI D KHDULQJ RIILFHU 7KH DFFXVHG VKDOO KDYH
507-WKH ULJKW WR DSSHDU SHUVRQDOO\ ZLWK RU ZLWKRXW FRXQVHO WR FURVVH[DPLQH
508-DGYHUVH ZLWQHVVHV DQG WR SURGXFH HYLGHQFH DQG ZLWQHVVHV LQ KLV RU KHU GHIHQVH
509-RIWKHDFFXVHG
510-   7KH ERDUG VKDOO VHW WKH WLPH DQG SODFH IRU WKH KHDULQJ DQG VKDOO FDXVH
511-D FRS\ RI WKH FKDUJHV  DQG   WRJHWKHU ZLWK D QRWLFH RI WKH WLPH DQG SODFH IL[HG
512-IRU WKH KHDULQJ  WR EH GHOLYHUHG WR WKH DFFXVHG DW OHDVW WKLUW\ GD\V EHIRUH WKH
450+   &KDUJHV DJDLQVW DQ\ LQGLYLGXDO RU RUJDQL]DWLRQ LQYROYLQJ DQ\
513451 /%
514452 
515453 /%
516454 
517- KHDULQJ 6XFK FRS\ DQG QRWLFH VKDOO  WR EH VHQW E\ UHJLVWHUHG PDLO WR WKH
518-DFFXVHG   DW WKH  KLV RU KHU ODVWNQRZQ EXVLQHVV RU UHVLGHQFH DGGUHVV RI WKH
519-DFFXVHGNQRZQWRWKHERDUG DWOHDVWWKLUW\GD\VEHIRUHWKHKHDULQJ
455+ PDWWHU FRPLQJ ZLWKLQ WKH MXULVGLFWLRQ RI WKH ERDUG VKDOO EH LQ ZULWLQJ DQG
456+VKDOOEHILOHGZLWKWKHERDUG
457+   7KH ERDUG VKDOO KROG D KHDULQJ RQ DQ\ VXFK FKDUJHV ZLWKLQ D UHDVRQDEOH
458+WLPH DQG LQ DFFRUGDQFH ZLWK WKH UXOHV DQG UHJXODWLRQV WKDW KDYH EHHQ DGRSWHG
459+DQG SURPXOJDWHG E\ WKH ERDUG 6XFK KHDULQJ PD\ LQFOXGH WKH XVH RI D KHDULQJ
460+RIILFHU 7KH DFFXVHG VKDOO KDYH WKH ULJKW WR DSSHDU SHUVRQDOO\ ZLWK RU ZLWKRXW
461+FRXQVHO WR FURVVH[DPLQH DGYHUVH ZLWQHVVHV DQG WR SURGXFH HYLGHQFH DQG
462+ZLWQHVVHVLQGHIHQVHRIWKHDFFXVHG
463+   7KH ERDUG VKDOO VHW WKH WLPH DQG SODFH IRU WKH KHDULQJ DQG VKDOO FDXVH
464+D FRS\ RI WKH FKDUJHV DQG D QRWLFH RI WKH WLPH DQG SODFH IL[HG IRU WKH KHDULQJ
465+WR EH GHOLYHUHG WR WKH DFFXVHG DW OHDVW WKLUW\ GD\V EHIRUH WKH KHDULQJ 6XFK
466+FRS\ DQG QRWLFH VKDOO EH VHQW E\ UHJLVWHUHG PDLO WR WKH DFFXVHG DW WKH ODVW
467+NQRZQEXVLQHVVRUUHVLGHQFHDGGUHVVRIWKHDFFXVHGNQRZQWRWKHERDUG
520468   ,I DIWHU WKH KHDULQJ WKH ERDUG ILQGV WKH DFFXVHG KDV YLRODWHG WKH
521-*HRORJLVWV 5HJXODWLRQ $FW RU DQ\ UXOHV RU UHJXODWLRQV WKH ERDUG LW  PD\ LVVXH
522-DQ\ RUGHU GHVFULEHG LQ VHFWLRQ  ,I WKH ERDUG ILQGV QR YLRODWLRQ LW
523-VKDOOHQWHUDQRUGHUGLVPLVVLQJWKHFKDUJHV ,IWKHRUGHUUHYRNHV  RU VXVSHQGV
524-D OLFHQVH   RU SODFHV  FDQFHOV  D OLFHQVH  RQ SUREDWLRQ WKH ERDUG VKDOO SURYLGH
525-ZULWWHQ QRWLFH RI VXFK UHYRFDWLRQ VXVSHQVLRQ RU SUREDWLRQ WR  QRWLI\ LQ
526-ZULWLQJ  WKH 6HFUHWDU\ RI 6WDWH DQG WKH FOHUN RI WKH FLW\ RU YLOODJH LQ WKH
527-VWDWHZKHUHWKHSHUVRQKDVDSODFHRIEXVLQHVVLIDQ\
469+*HRORJLVWV 5HJXODWLRQ $FW RU DQ\ UXOHV RU UHJXODWLRQV WKH ERDUG PD\ LVVXH DQ\
470+RUGHU GHVFULEHG LQ VHFWLRQ  ,I WKH RUGHU UHYRNHV RU VXVSHQGV D OLFHQVH
471+RU SODFHV D OLFHQVH RQ SUREDWLRQ WKH ERDUG VKDOO SURYLGH ZULWWHQ QRWLFH RI
472+VXFKUHYRFDWLRQVXVSHQVLRQRUSUREDWLRQWRWKH6HFUHWDU\RI6WDWH
528473   7KH ERDUG PD\ UHLVVXH D OLFHQVH WR DQ\ SHUVRQ ZKRVH OLFHQVH KDV EHHQ
529474 UHYRNHG $SSOLFDWLRQ IRU WKH UHLVVXDQFH RI D OLFHQVH VKDOO EH PDGH LQ
530-DFFRUGDQFHZLWKVHFWLRQV   WR   RIWKLVDFWDQG LQ VXFKDPDQQHUDVWKHERDUG
475+DFFRUGDQFH ZLWK VHFWLRQV   WR   RI WKLV DFW DQG LQ D PDQQHU DV WKH ERDUG
531476 GLUHFWVDQGVKDOOEHDFFRPSDQLHGE\DIHHHVWDEOLVKHGE\WKHERDUG
532477 6HF  6HFWLRQ  5HLVVXH 5HYLVHG 6WDWXWHV RI 1HEUDVND LV DPHQGHG
533478 WRUHDG
534479 b   7KH ERDUG PD\ DIWHU KHDULQJ E\ PDMRULW\ YRWH WDNH DQ\ RU DOO
535480 RI WKH IROORZLQJ DFWLRQV XSRQ SURRI VDWLVIDFWRU\ WR WKH ERDUG WKDW DQ\ SHUVRQ
536481 RU RUJDQL]DWLRQ KDV YLRODWHG WKH *HRORJLVWV 5HJXODWLRQ $FW RU DQ\ UXOHV RU
537482 UHJXODWLRQVDGRSWHGDQGSURPXOJDWHGSXUVXDQWWRWKHDFW
538483 D ,VVXDQFHRIFHQVXUHRUUHSULPDQG
539484 E 6XVSHQVLRQRIMXGJPHQW
540485 F 3ODFHPHQWRIWKHRIIHQGHURQSUREDWLRQZLWKWKHERDUG
541- G  3ODFHPHQW RI D OLPLWDWLRQ RU OLPLWDWLRQV RQ WKH KROGHU RI D OLFHQVH
486+/%
487+
488+/%
489+
490+ G  3ODFHPHQW RI D OLPLWDWLRQ RU OLPLWDWLRQV RQ WKH KROGHU RI D OLFHQVH
542491 DQG XSRQ WKH ULJKW RI WKH KROGHU RI D OLFHQVH WR SUDFWLFH WKH SURIHVVLRQ WR
543492 VXFKH[WHQWVFRSHRUW\SHRISUDFWLFHIRUVXFKWLPHDQGXQGHUVXFKFRQGLWLRQV
544493 DVDUHIRXQGQHFHVVDU\DQGSURSHU
545494 H  ,PSRVLWLRQ RI D FLYLO SHQDOW\ QRW WR H[FHHG WHQ WKRXVDQG GROODUV 7KH
546495 DPRXQWRIWKHSHQDOW\VKDOOEHEDVHGRQWKHVHYHULW\RIWKHYLRODWLRQ
547- I  (QWUDQFH RI DQ RUGHU RI UHYRFDWLRQ  RU    VXVSHQVLRQ  RU FDQFHOODWLRQ
548-RIWKHFHUWLILFDWHRIOLFHQVXUH
496+ I  (QWUDQFH RI DQ RUGHU RI UHYRFDWLRQ RU VXVSHQVLRQ RI WKH FHUWLILFDWH RI
497+OLFHQVXUH
549498 J ,VVXDQFHRIDFHDVHDQGGHVLVWRUGHU
550499 K  ,PSRVLWLRQ RI FRVWV DV LQ DQ RUGLQDU\ FLYLO DFWLRQ LQ WKH GLVWULFW
551500 FRXUW ZKLFK PD\ LQFOXGH DWWRUQH\V IHHV DQG KHDULQJ RIILFHU IHHV LQFXUUHG E\
552501 WKHERDUGDQGWKHH[SHQVHVRIDQ\LQYHVWLJDWLRQXQGHUWDNHQE\WKHERDUGRU
553502 L 'LVPLVVDORIWKHDFWLRQ
554503   ,Q KHDULQJV XQGHU WKLV VHFWLRQ WKH ERDUG PD\ WDNH LQWR DFFRXQW
555504 VXLWDEOHHYLGHQFHRIUHIRUP
556-     &LYLO SHQDOWLHV FROOHFWHG XQGHU VXEGLYLVLRQ  H  RI WKLV VHFWLRQ
505+   &LYLO SHQDOWLHV FROOHFWHG XQGHU VXEGLYLVLRQ  H  RI WKLV VHFWLRQ
557506 VKDOO EH UHPLWWHG WR WKH 6WDWH 7UHDVXUHU IRU GLVWULEXWLRQ LQ DFFRUGDQFH ZLWK
558507 $UWLFOH 9,, VHFWLRQ  RI WKH &RQVWLWXWLRQ RI 1HEUDVND $OO FRVWV FROOHFWHG
559508 XQGHU VXEGLYLVLRQ  K  RI WKLV VHFWLRQ VKDOO EH UHPLWWHG WR WKH 6WDWH
560509 7UHDVXUHUIRUFUHGLWWRWKH*HRORJLVWV5HJXODWLRQ)XQG
561510 6HF  6HFWLRQ  5HLVVXH 5HYLVHG 6WDWXWHV RI 1HEUDVND LV DPHQGHG
562511 WRUHDG
563-    $SSOLFDWLRQV IRU OLFHQVXUH DV D SURIHVVLRQDO JHRORJLVW IRU
564-WHPSRUDU\ RU UHFLSURFDO OLFHQVXUH RU IRU HQUROOPHQW DV D JHRORJLVWLQWHUQ
565-VKDOO EH RQ IRUPV SUHVFULEHG DQG IXUQLVKHG E\ WKH ERDUG DQG VKDOO EH
566-DFFRPSDQLHGE\WKHIHHHVWDEOLVKHGE\WKHERDUG
567-   7KH IROORZLQJ VKDOO EH FRQVLGHUHG DV PLQLPXP HYLGHQFH VDWLVIDFWRU\ WR
568-WKH ERDUG WKDW WKH DSSOLFDQW LV TXDOLILHG IRU OLFHQVXUH DV D SURIHVVLRQDO
569-JHRORJLVWRUHQUROOPHQWDVDJHRORJLVWLQWHUQ
512+b
570513   7KH ERDUG VKDOO FRQVLGHU WKH IROORZLQJ DV HYLGHQFH WKDW DQ DSSOLFDQW
571514 LV HOLJLEOH IRU DGPLVVLRQ WR WKH H[DPLQDWLRQ RQ WKH IXQGDPHQWDOV RI JHRORJ\
572515 WKDWLVDGRSWHGE\WKHERDUG
573516 D  7KH DSSOLFDQW LV D VHQLRU LQ RU KDV JUDGXDWHG IURP D JHRORJ\ RU
574-JHRORJLF VSHFLDOW\ SURJUDP UHFRJQL]HG E\ WKH ERDUG  RI JRRG FKDUDFWHU DQG
575-UHSXWDWLRQ DQG VXEPLWV IRXU UHIHUHQFHV ZLWK KLV RU KHU DSSOLFDWLRQ IRU
576-OLFHQVXUH DV D SURIHVVLRQDO JHRORJLVW 7ZR RI WKH UHIHUHQFHV VKDOO EH
577-SURIHVVLRQDO JHRORJLVWV KDYLQJ SHUVRQDO NQRZOHGJH RI KLV RU KHU JHRORJLFDO
578-H[SHULHQFH RU LQ WKH FDVH RI WKH DSSOLFDWLRQ IRU HQUROOPHQW DV D JHRORJLVW
579-LQWHUQDFWLQJRQO\DVFKDUDFWHUUHIHUHQFHV
517+JHRORJLFVSHFLDOW\SURJUDPUHFRJQL]HGE\WKHERDUG
580518 E  7KH DSSOLFDQW KDV VXFFHVVIXOO\ FRPSOHWHG D PLQLPXP RI WKLUW\ VHPHVWHU
581519 KRXUV RU IRUW\ILYH TXDUWHU KRXUV RI FRXUVH ZRUN LQ JHRORJ\ WKDW LQFOXGHV
582-FRXUVHZRUNLQWKHFRQWHQWGRPDLQVDQGKRXUVDVSUHVFULEHGE\WKHERDUG  DQGKDV
583-UHFHLYHG D EDFFDODXUHDWH RU DGYDQFHG GHJUHH LQ JHRORJ\ RU D JHRORJLF VSHFLDOW\
584-IURPDSURJUDPUHFRJQL]HGE\WKHERDUG
585- F  7KH DSSOLFDQW KDV VXEPLWWHG DQ DSSOLFDWLRQ DFFRPSDQLHG E\ WKH IHH
520+FRXUVHZRUNLQWKHFRQWHQWGRPDLQVDQGKRXUVDVSUHVFULEHGE\WKHERDUG
521+/%
522+
523+/%
524+
525+ F  7KH DSSOLFDQW KDV VXEPLWWHG DQ DSSOLFDWLRQ DFFRPSDQLHG E\ WKH IHH
586526 HVWDEOLVKHGE\WKHERDUGDQG
587527 G 7KHDSSOLFDQWKDVVXEPLWWHGRQHRUPRUHDFFHSWDEOHZULWWHQUHIHUHQFHV
588528  D  $Q\ LQGLYLGXDO PD\ DSSO\ IRU DGPLVVLRQ WR WKH H[DPLQDWLRQ RQ WKH
589529 IXQGDPHQWDOV RI JHRORJ\ DIWHU FRPSOHWLQJ WKH UHTXLUHPHQWV VSHFLILHG LQ
590530 VXEVHFWLRQ  RIWKLVVHFWLRQ
591531 E  7KH ERDUG PD\ DXWKRUL]H WKH DGPLVVLRQ WR WKH H[DPLQDWLRQ RQ WKH
592532 IXQGDPHQWDOVRIJHRORJ\IRUDQ\LQGLYLGXDOGHVFULEHGLQVXEGLYLVLRQ D RIWKLV
593533 VXEVHFWLRQ RQFH WKH LQGLYLGXDO KDV FRPSOHWHG WKH UHTXLUHPHQWV VSHFLILHG LQ
594534 VXEVHFWLRQ  RIWKLVVHFWLRQ
595535 F  7KH ERDUG PD\ DGRSW DQG SURPXOJDWH UXOHV DQG UHJXODWLRQV WKDW VSHFLI\
596536 ZKHQ DQ LQGLYLGXDO PD\ DSSO\ IRU DGPLVVLRQ WR WKH H[DPLQDWLRQ RQ WKH
597537 IXQGDPHQWDOVRIJHRORJ\
598- F  7KH DSSOLFDQW KDV D GRFXPHQWHG UHFRUG RI D PLQLPXP RI ILYH \HDUV RI
599-SURJUHVVLYH H[SHULHQFH REWDLQHG VXEVHTXHQW WR FRPSOHWLRQ RI WKH HGXFDWLRQ
600-/%
601-
602-/%
603-
604- UHTXLUHPHQWV LQ JHRORJLF ZRUN RI D JUDGH DQG FKDUDFWHU ZKLFK LQGLFDWHV WR WKH
605-ERDUGWKDWWKHDSSOLFDQWLVTXDOLILHGWRDVVXPHUHVSRQVLEOHFKDUJHRIVXFKZRUN
606-XSRQOLFHQVXUHDVDJHRORJLVWLQFOXGLQJJHRORJLFWHDFKLQJRIDGYDQFHGVXEMHFWV
607-DQG WKH GHVLJQ RI JHRORJLF UHVHDUFK DQG SURMHFWV LQ D FROOHJH RU XQLYHUVLW\
608-RIIHULQJ D JHRORJLF FXUULFXOXP H[FHSW WKDW QR ZRUN H[SHULHQFH LV UHTXLUHG IRU
609-HQUROOPHQWDVDJHRORJLVWLQWHUQDQG
610- G  7KH DSSOLFDQW KDV FRPSOHWHG DQ H[DPLQDWLRQ FRYHULQJ WKH IXQGDPHQWDOV
611-DQG SUDFWLFH RI JHRORJ\ SUHVFULEHG E\ WKH ERDUG 8SRQ SDVVLQJ WKH IXQGDPHQWDOV
612-RI JHRORJ\ H[DPLQDWLRQ WKH DSSOLFDQW PD\ EH HQUROOHG DV D JHRORJLVWLQWHUQ
613-8SRQ SDVVLQJ WKH SUDFWLFH RI JHRORJ\ H[DPLQDWLRQ WKH DSSOLFDQW PD\ EH JUDQWHG
614-D FHUWLILFDWH RI OLFHQVXUH WR SUDFWLFH JHRORJ\ LQ WKLV VWDWH LI RWKHUZLVH
615-TXDOLILHG
616-   $ SHUVRQ ZKR KROGV D YDOLG FHUWLILFDWH RI OLFHQVXUH WR HQJDJH LQ WKH
617-SUDFWLFH RI JHRORJ\ LVVXHG SXUVXDQW WR WKH DXWKRULW\ RI DQ\ VWDWH RU
618-SRVVHVVLRQ RI WKH 8QLWHG 6WDWHV RU WKH 'LVWULFW RI &ROXPELD EDVHG RQ
619-UHTXLUHPHQWVWKDWGRQRWFRQIOLFWZLWKWKHDFWDQGZHUHRIDVWDQGDUGQRWORZHU
620-WKDQ WKDW VSHFLILHG LQ WKH DSSOLFDEOH OLFHQVLQJ ODZ LQ HIIHFW LQ WKLV VWDWH DW
621-WKH WLPH WKH FHUWLILFDWH ZDV LVVXHG PD\ XSRQ DSSOLFDWLRQ EH FRQVLGHUHG E\
622-WKH ERDUG WR KDYH IXOILOOHG WKH UHTXLUHPHQWV RI VXEGLYLVLRQV  E  DQG F  RI
623-WKLV VHFWLRQ DQG EH OLFHQVHG ZLWKRXW IXUWKHU H[DPLQDWLRQ DV UHTXLUHG XQGHU
624-VXEGLYLVLRQ  G RIWKLVVHFWLRQ
625-   7KH UHTXLUHPHQWV RI VXEGLYLVLRQV  E  WKURXJK G  RI WKLV VHFWLRQ
626-PD\ EH ZDLYHG E\ WKH ERDUG LI WKH DSSOLFDQW LV OLFHQVHG WR SUDFWLFH JHRORJ\ DW
627-WKH WLPH RI DSSOLFDWLRQ DQG KDV PDLQWDLQHG D FXUUHQW FHUWLILFDWH RI OLFHQVXUH
628-WRSUDFWLFHJHRORJ\IRUDWOHDVWILIWHHQ\HDUVLVVXHGSXUVXDQWWRWKHDXWKRULW\
629-RIDVWDWHRUSRVVHVVLRQRIWKH8QLWHG6WDWHVRUWKH'LVWULFWRI&ROXPELDEDVHG
630-RQ UHTXLUHPHQWV WKDW GR QRW FRQIOLFW ZLWK WKH *HRORJLVWV 5HJXODWLRQ $FW DQG LI
631-WKHDSSOLFDQWKDVODZIXOO\SUDFWLFHGJHRORJ\IRUDWOHDVWILIWHHQ\HDUVLQVXFK
632-MXULVGLFWLRQ /DZIXO SUDFWLFH LQFOXGHV DQ\ SUDFWLFH WKDW LV LQ FRPSOLDQFH ZLWK
633-WKHOLFHQVXUHODZLQHIIHFWLQWKHMXULVGLFWLRQZKHUHWKHSUDFWLFHRFFXUV
634538 6HF     7KH ERDUG VKDOO FRQVLGHU WKH IROORZLQJ DV HYLGHQFH WKDW DQ
635539 DSSOLFDQWLVHOLJLEOHIRUHQUROOPHQWDVDJHRORJLVWLQWHUQ
636540 D  7KH DSSOLFDQW KDV JUDGXDWHG IURP D JHRORJ\ RU JHRORJLF VSHFLDOW\
637541 SURJUDP WKDW LQFOXGHV FRXUVH ZRUN LQ JHRORJ\ WKDW LQFOXGHV FRXUVH ZRUN LQ WKH
638542 FRQWHQWGRPDLQVDQGKRXUVDVSUHVFULEHGE\WKHERDUG
639543 E  7KH DSSOLFDQW KDV SDVVHG WKH H[DPLQDWLRQ RQ WKH IXQGDPHQWDOV RI
640544 JHRORJ\DQG
641545 F  7KH DSSOLFDQW KDV VXEPLWWHG DQ DSSOLFDWLRQ DFFRPSDQLHG E\ WKH IHH
642546 HVWDEOLVKHGE\WKHERDUG
643547  D  $Q\ LQGLYLGXDO PD\ DSSO\ IRU HQUROOPHQW DV D JHRORJLVWLQWHUQ SULRU
644548 WRFRPSOHWLQJWKHUHTXLUHPHQWVVSHFLILHGLQVXEVHFWLRQ  RIWKLVVHFWLRQ
645549 E  7KH ERDUG PD\ HQUROO DQ\ LQGLYLGXDO GHVFULEHG LQ VXEGLYLVLRQ D  RI
646550 WKLV VXEVHFWLRQ DV D JHRORJLVWLQWHUQ RQFH WKH LQGLYLGXDO KDV FRPSOHWHG WKH
647551 UHTXLUHPHQWVVSHFLILHGLQVXEVHFWLRQ  RIWKLVVHFWLRQ
648552 F  7KH ERDUG PD\ DGRSW DQG SURPXOJDWH UXOHV DQG UHJXODWLRQV WKDW VSHFLI\
649553 ZKHQDQLQGLYLGXDOPD\DSSO\IRUHQUROOPHQWDVDJHRORJLVWLQWHUQ
650554 6HF     7KH ERDUG VKDOO FRQVLGHU WKH IROORZLQJ DV HYLGHQFH WKDW DQ
651555 DSSOLFDQW LV HOLJLEOH IRU DGPLVVLRQ WR WKH H[DPLQDWLRQ RQ WKH SUDFWLFH RI
652-JHRORJ\DGRSWHGE\WKHERDUG
556+/%
557+
558+/%
559+
560+ JHRORJ\DGRSWHGE\WKHERDUG
653561 D  7KH DSSOLFDQW KDV FRPSOHWHG WKH HGXFDWLRQ UHTXLUHPHQW RI JUDGXDWLQJ
654562 IURP D JHRORJ\ RU JHRORJLF VSHFLDOW\ SURJUDP ZLWK D PLQLPXP RI WKLUW\ VHPHVWHU
655563 KRXUV RU IRUW\ILYH TXDUWHU KRXUV RI FRXUVH ZRUN LQ JHRORJ\ WKDW LQFOXGHV
656564 FRXUVHZRUNLQWKHFRQWHQWGRPDLQVDQGKRXUVDVSUHVFULEHGE\WKHERDUG
657565 E  7KH DSSOLFDQW KDV SDVVHG WKH H[DPLQDWLRQ RQ WKH IXQGDPHQWDOV RI
658566 JHRORJ\
659567 F  7KH DSSOLFDQW KDV D GRFXPHQWHG UHFRUG RI D PLQLPXP RI IRXU \HDUV RI
660568 SURJUHVVLYH H[SHULHQFH WKDW ZDV REWDLQHG VXEVHTXHQW WR FRPSOHWLRQ RI WKH
661569 HGXFDWLRQUHTXLUHPHQWVLQJHRORJLFZRUNRIDJUDGHRUFKDUDFWHUWKDWLQGLFDWHV
662570 WRWKHERDUGWKDWWKHDSSOLFDQWPD\EHFRPSHWHQWWRSUDFWLFHJHRORJ\
663571 G  7KH DSSOLFDQW KDV VXEPLWWHG DQ DSSOLFDWLRQ DFFRPSDQLHG E\ WKH IHH
664572 HVWDEOLVKHGE\WKHERDUGDQG
665573 H 7KHDSSOLFDQWKDVVXEPLWWHGRQHRUPRUHDFFHSWDEOHZULWWHQUHIHUHQFHV
666574  D  $Q\ LQGLYLGXDO PD\ DSSO\ IRU DGPLVVLRQ WR WKH H[DPLQDWLRQ RQ WKH
667575 SUDFWLFH RI JHRORJ\ DIWHU FRPSOHWLQJ WKH UHTXLUHPHQWV VSHFLILHG LQ VXEVHFWLRQ
668576  RIWKLVVHFWLRQ
669577 E  7KH ERDUG PD\ DXWKRUL]H WKH DGPLVVLRQ WR WKH H[DPLQDWLRQ RQ WKH
670578 SUDFWLFH RI JHRORJ\ IRU DQ\ LQGLYLGXDO GHVFULEHG LQ VXEGLYLVLRQ D  RI WKLV
671579 VXEVHFWLRQ RQFH WKH LQGLYLGXDO KDV FRPSOHWHG WKH UHTXLUHPHQWV VSHFLILHG LQ
672580 VXEVHFWLRQ  RIWKLVVHFWLRQ
673581 F  7KH ERDUG PD\ DGRSW DQG SURPXOJDWH UXOHV DQG UHJXODWLRQV WKDW VSHFLI\
674582 ZKHQ DQ LQGLYLGXDO PD\ DSSO\ IRU DGPLVVLRQ WR WKH H[DPLQDWLRQ RQ WKH SUDFWLFH
675583 RIJHRORJ\
676584 6HF     7KH IROORZLQJ DUH UHTXLUHG IRU DQ DSSOLFDQW WR EH HOLJLEOH
677585 IRUOLFHQVXUHE\WKHERDUGDVDSURIHVVLRQDOJHRORJLVWXQGHUWKLVVHFWLRQ
678586 D  7KH DSSOLFDQW KDV FRPSOHWHG WKH HGXFDWLRQ UHTXLUHPHQW RI JUDGXDWLQJ
679587 IURP D JHRORJ\ RU JHRORJLF VSHFLDOW\ SURJUDP ZLWK D PLQLPXP RI WKLUW\ VHPHVWHU
680588 KRXUV RU IRUW\ILYH TXDUWHU KRXUV RI FRXUVH ZRUN LQ JHRORJ\ WKDW LQFOXGHV
681589 FRXUVHZRUNLQWKHFRQWHQWGRPDLQVDQGKRXUVDVSUHVFULEHGE\WKHERDUG
682590 E  7KH DSSOLFDQW KDV SDVVHG WKH H[DPLQDWLRQ RQ WKH IXQGDPHQWDOV RI
683-JHRORJ\RUDVLPLODUH[DPLQDWLRQWKDWLVDSSURYHGE\WKHERDUG
684- F  7KH DSSOLFDQW KDV SDVVHG WKH H[DPLQDWLRQ RQ WKH SUDFWLFH RI JHRORJ\ RU
685-DVLPLODUH[DPLQDWLRQWKDWLVDSSURYHGE\WKHERDUG
686- G  7KH DSSOLFDQW KDV SDVVHG DQ H[DPLQDWLRQ RQ WKH VWDWXWHV UXOHV
687591 /%
688592 
689593 /%
690594 
691- UHJXODWLRQVDQGRWKHUUHTXLUHPHQWVXQLTXHWR1HEUDVND
595+ JHRORJ\RUDVLPLODUH[DPLQDWLRQWKDWLVDSSURYHGE\WKHERDUG
596+ F  7KH DSSOLFDQW KDV SDVVHG WKH H[DPLQDWLRQ RQ WKH SUDFWLFH RI JHRORJ\ RU
597+DVLPLODUH[DPLQDWLRQWKDWLVDSSURYHGE\WKHERDUG
598+ G  7KH DSSOLFDQW KDV SDVVHG DQ H[DPLQDWLRQ RQ WKH VWDWXWHV UXOHV
599+UHJXODWLRQVDQGRWKHUUHTXLUHPHQWVXQLTXHWR1HEUDVND
692600 H  7KH DSSOLFDQW KDV D GRFXPHQWHG UHFRUG RI IRXU RU PRUH \HDUV RI
693601 SURJUHVVLYH H[SHULHQFH REWDLQHG VXEVHTXHQW WR FRPSOHWLRQ RI WKH HGXFDWLRQ
694602 UHTXLUHPHQW LQ JHRORJLF ZRUN RI D JUDGH DQG FKDUDFWHU ZKLFK LQGLFDWHV WR WKH
695603 ERDUGWKDWWKHDSSOLFDQWPD\EHFRPSHWHQWWRSUDFWLFHJHRORJ\
696604 I  7KH DSSOLFDQW KDV VXEPLWWHG DQ DSSOLFDWLRQ DFFRPSDQLHG E\ WKH IHH
697605 HVWDEOLVKHGE\WKHERDUGDQG
698606 J 7KHDSSOLFDQWKDVVXEPLWWHGRQHRUPRUHDFFHSWDEOHZULWWHQUHIHUHQFHV
699607  D  $Q\ LQGLYLGXDO PD\ DSSO\ IRU OLFHQVXUH DV D SURIHVVLRQDO JHRORJLVW
700608 DIWHUFRPSOHWLQJWKHUHTXLUHPHQWVVSHFLILHGLQVXEVHFWLRQ  RIWKLVVHFWLRQ
701609 E  7KH ERDUG PD\ DXWKRUL]H WKH OLFHQVXUH DV D SURIHVVLRQDO JHRORJLVW IRU
702610 DQ\ LQGLYLGXDO GHVFULEHG LQ VXEGLYLVLRQ D  RI WKLV VXEVHFWLRQ RQFH WKH
703611 LQGLYLGXDO KDV FRPSOHWHG WKH UHTXLUHPHQWV VSHFLILHG LQ VXEVHFWLRQ   RI WKLV
704612 VHFWLRQ
705613 F  7KH ERDUG PD\ DGRSW DQG SURPXOJDWH UXOHV DQG UHJXODWLRQV WKDW VSHFLI\
706614 ZKHQDQLQGLYLGXDOPD\DSSO\IRUOLFHQVXUHDVDSURIHVVLRQDOJHRORJLVW
707615 6HF     $Q LQGLYLGXDO ZKR KROGV D YDOLG OLFHQVH LVVXHG RXWVLGH RI
708616 WKH 6WDWH RI 1HEUDVND WR HQJDJH LQ WKH SUDFWLFH RI JHRORJ\ PD\ DSSO\ WR WKH
709617 ERDUGWREHOLFHQVHGDVDSURIHVVLRQDOJHRORJLVW
710618   7KH IROORZLQJ DUH UHTXLUHG IRU DQ DSSOLFDQW WR EH HOLJLEOH IRU
711619 OLFHQVXUHE\WKHERDUGDVDSURIHVVLRQDOJHRORJLVWXQGHUWKLVVHFWLRQ
712620 D  7KH DSSOLFDQW KDV D GRFXPHQWHG UHFRUG RI IRXU RU PRUH \HDUV RI
713621 SURJUHVVLYH H[SHULHQFH LQ JHRORJLF ZRUN RI D JUDGH DQG FKDUDFWHU ZKLFK
714622 LQGLFDWHVWRWKHERDUGWKDWWKHDSSOLFDQWPD\EHFRPSHWHQWWRSUDFWLFHJHRORJ\
715623 6XFK SURJUHVVLYH H[SHULHQFH VKDOO KDYH EHHQ FRPSOHWHG DIWHU JUDGXDWLQJ IURP D
716624 JHRORJ\ RU JHRORJLF VSHFLDOW\ SURJUDP ZLWK D PLQLPXP RI WKLUW\ VHPHVWHU KRXUV
717625 RUIRUW\ILYHTXDUWHUKRXUVRIFRXUVHZRUNLQJHRORJ\WKDWLQFOXGHVFRXUVHZRUN
718-LQWKHFRQWHQWGRPDLQVDQGKRXUVDVSUHVFULEHGE\WKHERDUG
626+/%
627+
628+/%
629+
630+ LQWKHFRQWHQWGRPDLQVDQGKRXUVDVSUHVFULEHGE\WKHERDUG
719631 E  7KH DSSOLFDQW KDV SDVVHG WKH H[DPLQDWLRQ RQ WKH IXQGDPHQWDOV RI
720632 JHRORJ\RUDVLPLODUH[DPLQDWLRQWKDWLVDSSURYHGE\WKHERDUG
721633 F  7KH DSSOLFDQW KDV SDVVHG WKH H[DPLQDWLRQ RQ WKH SUDFWLFH RI JHRORJ\ RU
722634 DVLPLODUH[DPLQDWLRQWKDWLVDSSURYHGE\WKHERDUG
723635 G  7KH DSSOLFDQW KDV SDVVHG DQ H[DPLQDWLRQ RQ WKH VWDWXWHV UXOHV
724636 UHJXODWLRQVDQGRWKHUUHTXLUHPHQWVXQLTXHWR1HEUDVND
725637 H  7KH DSSOLFDQW KDV VXEPLWWHG DQ DSSOLFDWLRQ DFFRPSDQLHG E\ WKH IHH
726638 HVWDEOLVKHGE\WKHERDUG
727639 I 7KHDSSOLFDQWKDVVXEPLWWHGRQHRUPRUHDFFHSWDEOHZULWWHQUHIHUHQFHV
728640 J  7KH DSSOLFDQW KDV SURYLGHG YHULILFDWLRQ RI OLFHQVXUH LQ JRRG VWDQGLQJ
729641 LQDQRWKHUMXULVGLFWLRQDQG
730642 K  7KH MXULVGLFWLRQ ZKHUH WKH DSSOLFDQW LV OLFHQVHG KDV ODZV WKDW DUH
731643 FRQVLVWHQWZLWKWKH*HRORJLVWV5HJXODWLRQ$FW
732644 6HF     $Q LQGLYLGXDO PD\ DSSO\ WR WKH ERDUG WR EH OLFHQVHG DV D
733645 SURIHVVLRQDOJHRORJLVWLIVXFKLQGLYLGXDO
734646 D  +DV EHHQ OLFHQVHG WR SUDFWLFH JHRORJ\ IRU DW OHDVW ILIWHHQ \HDUV LQ
735647 RQHRUPRUHMXULVGLFWLRQVDQG
736648 E  3UDFWLFHG JHRORJ\ LQ DQ\ VXFK MXULVGLFWLRQ LQ FRPSOLDQFH ZLWK WKH
737649 OLFHQVLQJODZVRIVXFKMXULVGLFWLRQ
738650   7KH IROORZLQJ DUH UHTXLUHG IRU DQ DSSOLFDQW WR EH HOLJLEOH IRU
739651 OLFHQVXUHE\WKHERDUGDVDSURIHVVLRQDOJHRORJLVWXQGHUWKLVVHFWLRQ
740652 D  7KH DSSOLFDQW KDV SDVVHG DQ H[DPLQDWLRQ RQ WKH VWDWXWHV UXOHV
741653 UHJXODWLRQVDQGRWKHUUHTXLUHPHQWVXQLTXHWR1HEUDVND
742654 E  7KH DSSOLFDQW VXEPLWWHG DQ DSSOLFDWLRQ DFFRPSDQLHG E\ WKH IHH
743655 HVWDEOLVKHGE\WKHERDUG
744656 F  7KH DSSOLFDQW VXEPLWWHG GRFXPHQWDWLRQ RI ILIWHHQ RU PRUH \HDUV RI
745657 OLFHQVHGJHRORJLFSUDFWLFHLQDQRWKHUMXULVGLFWLRQDQG
746658 G 7KHDSSOLFDQWVXEPLWWHGRQHRUPRUHDFFHSWDEOHZULWWHQUHIHUHQFHV
747659 6HF     $Q LQGLYLGXDO PD\ DSSO\ WR WKH ERDUG WR EH OLFHQVHG DV D
748660 SURIHVVLRQDO JHRORJLVW LI VXFK LQGLYLGXDO KDV SUDFWLFHG DQ\ FRPELQDWLRQ RI
749-H[HPSWDFWLYLWLHVGHVFULEHGLQVHFWLRQIRUDWOHDVWILIWHHQ\HDUV
661+/%
662+
663+/%
664+
665+ H[HPSWDFWLYLWLHVGHVFULEHGLQVHFWLRQIRUDWOHDVWILIWHHQ\HDUV
750666   7KH ERDUG VKDOO FRQVLGHU WKH IROORZLQJ DV HYLGHQFH WKDW DQ DSSOLFDQW
751667 LVHOLJLEOHIRUOLFHQVXUHXQGHUWKLVVHFWLRQ
752668 D  7KH DSSOLFDQW KDV FRPSOHWHG WKH HGXFDWLRQ UHTXLUHPHQW RI FRPSOHWLQJ D
753669 PLQLPXP RI WKLUW\ VHPHVWHU KRXUV RU IRUW\ILYH TXDUWHU KRXUV RI FRXUVH ZRUN LQ
754670 JHRORJ\ WKDW LQFOXGHV FRXUVH ZRUN LQ WKH FRQWHQW GRPDLQV DQG KRXUV DV
755671 SUHVFULEHGE\WKHERDUG
756672 E  7KH DSSOLFDQW KDV SDVVHG DQ H[DPLQDWLRQ RQ WKH VWDWXWHV UXOHV
757673 UHJXODWLRQVDQGRWKHUUHTXLUHPHQWVXQLTXHWR1HEUDVND
758674 F  7KH DSSOLFDQW VXEPLWWHG DQ DSSOLFDWLRQ DFFRPSDQLHG E\ WKH IHH
759675 HVWDEOLVKHGE\WKHERDUG
760676 G  7KH DSSOLFDQW VXEPLWWHG GRFXPHQWDWLRQ RI DW OHDVW ILIWHHQ \HDUV RI
761677 VXFKLQGLYLGXDOVSUDFWLFHRIDQ\FRPELQDWLRQRIH[HPSWDFWLYLWLHVGHVFULEHGLQ
762678 VHFWLRQDQG
763679 H 7KHDSSOLFDQWVXEPLWWHGRQHRUPRUHDFFHSWDEOHZULWWHQUHIHUHQFHV
764680 6HF     $Q LQGLYLGXDO ZKR KROGV D YDOLG OLFHQVH WR SUDFWLFH JHRORJ\
765681 LQDQRWKHUMXULVGLFWLRQPD\DSSO\WRWKHERDUGIRUDWHPSRUDU\SHUPLW
766682   7KH ERDUG VKDOO FRQVLGHU WKH IROORZLQJ DV HYLGHQFH WKDW DQ DSSOLFDQW
767683 LVHOLJLEOHIRUDWHPSRUDU\SHUPLWXQGHUWKLVVHFWLRQ
768684 D  7KH DSSOLFDQW VKDOO VSHFLI\ WKH SURMHFW RQ ZKLFK WKH DSSOLFDQW LQWHQGV
769685 WRSUDFWLFHJHRORJ\
770686 E  7KH DSSOLFDQW VKDOO VSHFLI\ WKH OHQJWK RI WLPH GXULQJ ZKLFK WKH
771687 DSSOLFDQWLQWHQGVWRSUDFWLFHJHRORJ\IRUVXFKSURMHFW
772688 F  7KH DSSOLFDQW VXEPLWWHG DQ DSSOLFDWLRQ DFFRPSDQLHG E\ WKH IHH
773689 HVWDEOLVKHGE\WKHERDUG
774-/%
775-
776-/%
777-
778- G  7KH DSSOLFDQW KDV SDVVHG DQ H[DPLQDWLRQ RQ WKH VWDWXWHV UXOHV
690+ G  7KH DSSOLFDQW KDV SDVVHG DQ H[DPLQDWLRQ RQ WKH VWDWXWHV UXOHV
779691 UHJXODWLRQVDQGRWKHUUHTXLUHPHQWVXQLTXHWR1HEUDVNDDQG
780692 H  7KH DSSOLFDQW VXEPLWWHG GRFXPHQWDWLRQ RI OLFHQVXUH DV D OLFHQVHG
781693 JHRORJLVWLQDQRWKHUMXULVGLFWLRQ
782694   $ WHPSRUDU\ SHUPLW LVVXHG XQGHU WKLV VHFWLRQ LV RQO\ YDOLG IRU WKH
783695 SURMHFWDQGIRUWKHOHQJWKRIWLPHVSHFLILHGRQWKHWHPSRUDU\SHUPLW
784-   $Q LQGLYLGXDO ZKR LV LVVXHG D WHPSRUDU\ SHUPLW XQGHU WKLV VHFWLRQ LV
696+/%
697+
698+/%
699+
700+   $Q LQGLYLGXDO ZKR LV LVVXHG D WHPSRUDU\ SHUPLW XQGHU WKLV VHFWLRQ LV
785701 VXEMHFWWRWKH*HRORJLVWV5HJXODWLRQ$FW
786702   1R ULJKW WR SUDFWLFH JHRORJ\ EH\RQG WKH SURMHFW RU WKH OHQJWK RI WLPH
787703 VSHFLILHGRQWKHWHPSRUDU\SHUPLWDFFUXHVWRDQ\KROGHURIVXFKSHUPLW
788704   $Q LQGLYLGXDO VKDOO QRW EH LVVXHG PRUH WKDQ RQH WHPSRUDU\ SHUPLW XQGHU
789705 WKLVVHFWLRQGXULQJVXFKLQGLYLGXDOVOLIHWLPH
790706 6HF     7KH ERDUG VKDOO SUHSDUH DQ H[DPLQDWLRQ RQ WKH VWDWXWHV
791707 UXOHVUHJXODWLRQVDQGRWKHUUHTXLUHPHQWVXQLTXHWR1HEUDVND
792708   7KH ERDUG PD\ XSGDWH RU PDNH FKDQJHV WR VXFK H[DPLQDWLRQ DV LW GHHPV
793709 QHFHVVDU\
794710 6HF   $Q\ FHUWLILFDWH OLFHQVH RU SHUPLW WKDW LV LVVXHG E\ WKH ERDUG
795711 LVHIIHFWLYHXSRQWKHLVVXDQFHRIVXFKFHUWLILFDWHOLFHQVHRUSHUPLW
796712 6HF  6HFWLRQ  5HLVVXH 5HYLVHG 6WDWXWHV RI 1HEUDVND LV DPHQGHG
797713 WRUHDG
798-   7KH ERDUG RU DQ  LWV  DJHQW RI WKH ERDUG VKDOO GLUHFW WKH WLPH 
799-DQG  SODFH  DQG GHOLYHU\ PHWKRG RI JHRORJ\ H[DPLQDWLRQV  XQGHU WKH *HRORJLVWV
800-5HJXODWLRQ$FW 7KHERDUGVKDOOGHWHUPLQHWKHDFFHSWDEOHJUDGHRQH[DPLQDWLRQV
714+   7KH ERDUG RU DQ DJHQW RI WKH ERDUG VKDOO GLUHFW WKH WLPH
715+SODFH DQG GHOLYHU\ PHWKRG RI JHRORJ\ H[DPLQDWLRQV XQGHU WKH *HRORJLVWV
716+5HJXODWLRQ$FW
801717  7KHERDUGPD\
802718 D  (VWDEOLVK JXLGHOLQHV IRU KRZ WKH ERDUG ZLOO GHWHUPLQH LI D ZULWWHQ
803719 UHIHUHQFHLVDFFHSWDEOH
804720 E  3UHSDUH DQG DGRSW VSHFLILFDWLRQV IRU DQ\ H[DPLQDWLRQ UHTXLUHPHQW XQGHU
805721 WKH*HRORJLVWV5HJXODWLRQ$FW
806722 F  $GRSW DQ\ H[DPLQDWLRQ H[DPLQDWLRQ SURFHGXUH JUDGLQJ SURFHGXUH
807723 DFFHSWDEOH H[DPLQDWLRQ JUDGH UHTXLUHPHQW RU RWKHU H[DPLQDWLRQ RU JUDGLQJ
808724 JXLGHOLQHRIWKH1DWLRQDO$VVRFLDWLRQRI6WDWH%RDUGVRI*HRORJ\
809725 G  6SHFLI\ WKH UHTXLUHPHQWV IRU ZKDW TXDOLILHV DV DFFHSWDEOH SURJUHVVLYH
810726 H[SHULHQFH
811727 H 3XEOLVKDQ\VSHFLILFDWLRQRUJXLGHOLQHDGRSWHGXQGHUWKLVVHFWLRQDQG
812728 I  0DNH DQ\ VSHFLILFDWLRQ RU JXLGHOLQH DGRSWHG XQGHU WKLV VHFWLRQ
813729 DYDLODEOHWRDQ\LQGLYLGXDOXSRQUHTXHVW
814-  7KHH[DPLQDWLRQVKDOOEHJLYHQLQWZRVHFWLRQVDVIROORZV
815- D  $ IXQGDPHQWDOV RI JHRORJ\ H[DPLQDWLRQ GHVLJQHG WR WHVW WKH DFDGHPLF
816-SUHSDUDWLRQ RI WKH DSSOLFDQW LQ JHRORJ\ $W WKH ERDUGV GLVFUHWLRQ WKH
817-H[DPLQDWLRQ PD\ EH WDNHQ DW DQ\ WLPH IROORZLQJ VXEVWDQWLDO FRPSOHWLRQ RI WKH
818-DSSOLFDQWV HGXFDWLRQDO UHTXLUHPHQWV 3DVVLQJ WKLV H[DPLQDWLRQ TXDOLILHV WKH
819-H[DPLQHH IRU D JHRORJLVWLQWHUQ HQUROOPHQW FDUG LI DOO RWKHU UHTXLUHPHQWV IRU
820-HQUROOPHQWDVDJHRORJLVWLQWHUQDUHPHWDQG
821- E  $ SULQFLSOHV DQG SUDFWLFH RI JHRORJ\ H[DPLQDWLRQ GHVLJQHG WR WHVW WKH
822-DSSOLFDQWV DELOLW\ WR DSSO\ JHRORJLF NQRZOHGJH DQG WR DVVXPH UHVSRQVLEOH
823-FKDUJH RI JHRORJLF ZRUN 7KH JHRORJLF SUDFWLFH H[DPLQDWLRQ PD\ EH WDNHQ RQO\
824-DIWHU WKH DSSOLFDQW KDV DFTXLUHG WKH HGXFDWLRQ DQG H[SHULHQFH UHTXLUHG IRU
825-OLFHQVXUHDVDJHRORJLVW
826730  D  $Q\ LQGLYLGXDO ZKR IDLOV WKH H[DPLQDWLRQ RQ WKH IXQGDPHQWDOV RI
827-JHRORJ\ RU WKH H[DPLQDWLRQ RQ WKH SUDFWLFH RI JHRORJ\    $ FDQGLGDWH IDLOLQJ
828-RQHH[DPLQDWLRQ PD\DSSO\IRUUHH[DPLQDWLRQZKLFKPD\EHJUDQWHG E\WKHERDUG
829-7KH ERDUG PD\ ZDLYH WKH IHH IRU DQ\ ILUVW UHH[DPLQDWLRQ XSRQ SD\PHQW RI D IHH
830-HVWDEOLVKHGE\WKHERDUG
731+/%
732+
733+/%
734+
735+ JHRORJ\ RU WKH H[DPLQDWLRQ RQ WKH SUDFWLFH RI JHRORJ\ PD\ DSSO\ IRU
736+UHH[DPLQDWLRQ ZKLFK PD\ EH JUDQWHG E\ WKH ERDUG 7KH ERDUG PD\ ZDLYH WKH IHH
737+IRUDQ\ILUVWUHH[DPLQDWLRQ
831738 E  ,Q WKH HYHQW RI D VHFRQG RU VXEVHTXHQW IDLOXUH RI WKH VDPH H[DPLQDWLRQ
832739 GHVFULEHG LQ VXEGLYLVLRQ D  RI WKLV VXEVHFWLRQ WKH ERDUG PD\ UHTXLUH VXFK
833-LQGLYLGXDO   WKH H[DPLQHH PD\ DW WKH GLVFUHWLRQ RI WKH ERDUG EH UHTXLUHG WR
834-DSSHDU EHIRUH WKH ERDUG ZLWK HYLGHQFH WKDW VXFK LQGLYLGXDO KDV  RI KDYLQJ
740+LQGLYLGXDO WR DSSHDU EHIRUH WKH ERDUG ZLWK HYLGHQFH WKDW VXFK LQGLYLGXDO KDV
835741 DFTXLUHG WKH QHFHVVDU\ DGGLWLRQDO NQRZOHGJH WR TXDOLI\ EHIRUH DGPLVVLRQ IRU
836742 UHH[DPLQDWLRQ7KHERDUGPD\ZDLYHWKHIHHFKDUJHGIRUDQ\VHFRQGRUVXEVHTXHQW
837743 UHH[DPLQDWLRQ
838744 F  7KH ERDUG PD\ FKDUJH D IHH RI QRW PRUH WKDQ RQH KXQGUHG GROODUV IRU
839-DQ\UHH[DPLQDWLRQGHVFULEHGLQWKLVVXEVHFWLRQ WRWKHH[DPLQDWLRQ
745+DQ\UHH[DPLQDWLRQGHVFULEHGLQWKLVVXEVHFWLRQ
840746   $Q\ H[DPLQDWLRQ PDWHULDO GHVFULEHG LQ WKH *HRORJLVWV 5HJXODWLRQ $FW LV
841747 QRWDSXEOLFUHFRUGVXEMHFWWRSXEOLFLQVSHFWLRQSXUVXDQWWRVHFWLRQVWR
842- 7KHERDUGPD\SUHSDUHDQGDGRSWVSHFLILFDWLRQVIRUWKHH[DPLQDWLRQV
843-7KHVSHFLILFDWLRQVVKDOOEHSXEOLVKHGDQGEHDYDLODEOHWRDQ\SHUVRQLQWHUHVWHG
844-LQEHLQJOLFHQVHG
748+
845749 6HF  6HFWLRQ  5HLVVXH 5HYLVHG 6WDWXWHV RI 1HEUDVND LV DPHQGHG
846750 WRUHDG
847751    7KH IROORZLQJ DFWLYLWLHV GR QRW UHTXLUH OLFHQVXUH DV D
848752 SURIHVVLRQDOJHRORJLVWXQGHUWKH*HRORJLVWV5HJXODWLRQ$FW
849- D  *HRORJLF  *HRORJLFDO  ZRUN SHUIRUPHG E\ DQ HPSOR\HH RU D VXERUGLQDWH RI
850-D SURIHVVLRQDO JHRORJLVW LI WKH ZRUN GRHV QRW LQFOXGH UHVSRQVLEOH FKDUJH RI
851-JHRORJLF  JHRORJLFDO  ZRUN DQG LV SHUIRUPHG XQGHU WKH UHVSRQVLEOH FKDUJH  GLUHFW
852-VXSHUYLVLRQ RIDSURIHVVLRQDOJHRORJLVWZKRLVDQGUHPDLQVUHVSRQVLEOHIRUVXFK
853-ZRUN
854- E  *HRORJLF  *HRORJLFDO  ZRUN SHUIRUPHG H[FOXVLYHO\ LQ WKH H[SORUDWLRQ IRU
855-DQG GHYHORSPHQW RI HQHUJ\ UHVRXUFHV DQG EDVH SUHFLRXV DQG QRQSUHFLRXV
856-PLQHUDOVLQFOXGLQJ EXWQRWOLPLWHGWR VDQGJUDYHODQGDJJUHJDWH  DQGQRW
857-KDYLQJ D VXEVWDQWLDO LPSDFW XSRQ WKH SXEOLF KHDOWK VDIHW\ DQG ZHOIDUH DV
858-GHWHUPLQHGE\WKHERDUG
753+ D  *HRORJLF ZRUN SHUIRUPHG E\ DQ HPSOR\HH RU D VXERUGLQDWH RI D
754+SURIHVVLRQDO JHRORJLVW LI WKH ZRUN GRHV QRW LQFOXGH UHVSRQVLEOH FKDUJH RI
755+JHRORJLF ZRUN DQG LV SHUIRUPHG XQGHU WKH UHVSRQVLEOH FKDUJH RI D SURIHVVLRQDO
756+JHRORJLVWZKRLVDQGUHPDLQVUHVSRQVLEOHIRUVXFKZRUN
757+ E  *HRORJLF ZRUN SHUIRUPHG H[FOXVLYHO\ LQ WKH H[SORUDWLRQ IRU DQG
758+GHYHORSPHQW RI HQHUJ\ UHVRXUFHV DQG EDVH SUHFLRXV DQG QRQSUHFLRXV PLQHUDOV
759+LQFOXGLQJ EXW QRW OLPLWHG WR VDQG JUDYHO DQG DJJUHJDWH DQG QRW KDYLQJ D
760+VXEVWDQWLDO LPSDFW XSRQ WKH SXEOLF KHDOWK VDIHW\ DQG ZHOIDUH DV GHWHUPLQHG
761+E\WKHERDUG
859762 F  *HRORJLF UHVHDUFK FRQGXFWHG WKURXJK DFDGHPLF LQVWLWXWLRQV DJHQFLHV RI
860763 WKHIHGHUDORUVWDWHJRYHUQPHQWVRUQRQSURILWUHVHDUFKLQVWLWXWLRQV
764+ G 7HDFKLQJLQJHRORJ\RUUHODWHGSK\VLFDORUQDWXUDOVFLHQFHV
765+ H  :RUN SHUIRUPHG E\ D SURIHVVLRQDO HQJLQHHU DSSURSULDWHO\ OLFHQVHG LQ
861766 /%
862767 
863768 /%
864769 
865- G 7HDFKLQJLQJHRORJ\RUUHODWHGSK\VLFDORUQDWXUDOVFLHQFHV
866- H  :RUN SHUIRUPHG E\ D SURIHVVLRQDO HQJLQHHU DSSURSULDWHO\ OLFHQVHG LQ
867-WKLVVWDWHWKDWLVZLWKLQWKHJHQHUDOO\DFFHSWHGVFRSHRIHQJLQHHULQJSUDFWLFH
770+ WKLVVWDWHWKDWLVZLWKLQWKHJHQHUDOO\DFFHSWHGVFRSHRIHQJLQHHULQJSUDFWLFH
868771 I 7KHSUDFWLFHRIDQ\RWKHUOHJDOO\UHFRJQL]HGSURIHVVLRQ
869- J  7KH SUDFWLFH RI RU RIIHU WR SUDFWLFH JHRORJ\ E\ D SHUVRQ QRW D
870-UHVLGHQW RI DQG KDYLQJ QR HVWDEOLVKHG SODFH RI EXVLQHVV LQ WKLV VWDWH ZKR
871-GHVLUHV WR SUDFWLFH JHRORJ\ IRU D VSHFLILF SURMHFW 7KH SHUVRQ VKDOO PDNH
872-DSSOLFDWLRQ WR WKH ERDUG LQ ZULWLQJ DQG DIWHU SD\PHQW RI D IHH HVWDEOLVKHG E\
873-WKH ERDUG E\ UXOH DQG UHJXODWLRQ VXFK SHUVRQ PD\ EH LVVXHG D WHPSRUDU\ SHUPLW
874-IRU D GHILQLWH SHULRG RI WLPH QRW WR H[FHHG RQH \HDU LI WKH SHUVRQ LV OHJDOO\
875-TXDOLILHG E\ OLFHQVXUH WR SUDFWLFH JHRORJ\ LQ KLV RU KHU RZQ VWDWH RU FRXQWU\
876-1RULJKWWRSUDFWLFHJHRORJ\VKDOODFFUXHWRVXFKDSSOLFDQWZLWKUHVSHFWWRDQ\
877-RWKHUZRUNQRWVHWIRUWKLQWKHSHUPLW
878- J  K  :RUN ZKLFK LQFOXGHV VXEVXUIDFH H[FDYDWLRQ VRLO DQG ZDWHU
879-DQDO\VLV DQG URXWLQH HQYLURQPHQWDO PRQLWRULQJ VXFK DV VDPSOH FROOHFWLRQ DQG
880-ZDWHU OHYHO JDXJLQJ SHUIRUPHG E\ DQ RUJDQL]DWLRQ IRU LWVHOI DQG LQ DFFRUGDQFH
881-ZLWKRWKHUUHTXLUHPHQWVRIODZ
882- K  L  7KH ZRUN RI HPSOR\HHV RI D SROLWLFDO VXEGLYLVLRQ RU VWDWH DJHQF\
772+ J  :RUN ZKLFK LQFOXGHV VXEVXUIDFH H[FDYDWLRQ VRLO DQG ZDWHU DQDO\VLV
773+DQGURXWLQHHQYLURQPHQWDOPRQLWRULQJVXFKDVVDPSOHFROOHFWLRQDQGZDWHUOHYHO
774+JDXJLQJ SHUIRUPHG E\ DQ RUJDQL]DWLRQ IRU LWVHOI DQG LQ DFFRUGDQFH ZLWK RWKHU
775+UHTXLUHPHQWVRIODZ
776+ K  7KH ZRUN RI HPSOR\HHV RI D SROLWLFDO VXEGLYLVLRQ RU VWDWH DJHQF\
883777 FKDUJHG ZLWK QDWXUDO UHVRXUFHV FRQVHUYDWLRQ SHUIRUPLQJ LQ DFFRUGDQFH ZLWK
884778 RWKHU UHTXLUHPHQWV RI ODZ WKHLU FXVWRPDU\ GXWLHV LQ RSHUDWLRQV PDLQWHQDQFH
885779 DQGHQYLURQPHQWDOPRQLWRULQJ
886- L  M  7KH ZRUN RI HPSOR\HHV DQG DJHQWV RI D SROLWLFDO VXEGLYLVLRQ RU
887-UXUDOHOHFWULFFRRSHUDWLYHSHUIRUPLQJLQDFFRUGDQFHZLWKRWKHUUHTXLUHPHQWVRI
888-ODZ WKHLU FXVWRPDU\ GXWLHV LQ URXWLQH XWLOLW\ OLQH FRQVWUXFWLRQ RSHUDWLRQV
889-DQGPDLQWHQDQFH
890- M  N  :RUN FXVWRPDULO\ SHUIRUPHG E\ FKHPLVWV K\GURORJLVWV
891-DUFKDHRORJLVWVJHRJUDSKHUVSHGRORJLVWVDJURQRPLVWVDQGVRLOVFLHQWLVWVDQG
892- N  O  :RUN SHUIRUPHG LQ WKH FRQVWUXFWLRQ RI ZDWHU ZHOOV DV GHILQHG LQ
780+ L  7KH ZRUN RI HPSOR\HHV DQG DJHQWV RI D SROLWLFDO VXEGLYLVLRQ RU UXUDO
781+HOHFWULF FRRSHUDWLYH SHUIRUPLQJ LQ DFFRUGDQFH ZLWK RWKHU UHTXLUHPHQWV RI ODZ
782+WKHLU FXVWRPDU\ GXWLHV LQ URXWLQH XWLOLW\ OLQH FRQVWUXFWLRQ RSHUDWLRQV DQG
783+PDLQWHQDQFH
784+ M  :RUN FXVWRPDULO\ SHUIRUPHG E\ FKHPLVWV K\GURORJLVWV DUFKDHRORJLVWV
785+JHRJUDSKHUVSHGRORJLVWVDJURQRPLVWVDQGVRLOVFLHQWLVWVDQG
786+ N  :RUN SHUIRUPHG LQ WKH FRQVWUXFWLRQ RI ZDWHU ZHOOV DV GHILQHG LQ
893787 VHFWLRQ  WKH LQVWDOODWLRQ RI SXPSV DQG SXPSLQJ HTXLSPHQW LQWR ZDWHU
894788 ZHOOVDQGWKHGHFRPPLVVLRQLQJRIZDWHUZHOOV
895789   ,I WKH ERDUG GHWHUPLQHV ZLWK UHVSHFW WR D SDUWLFXODU IXQFWLRQ WKDW WKH
896790 SXEOLF LV DGHTXDWHO\ SURWHFWHG ZLWKRXW WKH QHFHVVLW\ RI D SURIHVVLRQDO
897791 JHRORJLVW SHUIRUPLQJ FHUWDLQ VHUYLFHV WKH ERDUG PD\ ZDLYH WKH UHTXLUHPHQWV RI
898792 WKHDFWZLWKUHVSHFWWRWKHIXQFWLRQ
899793   7KLV VHFWLRQ VKDOO QRW EH FRQVWUXHG VR DV WR SURKLELW WKH WHVWLPRQ\ RI
900794 DQ\LQGLYLGXDOEHIRUHWKH1HEUDVND2LODQG*DV&RQVHUYDWLRQ&RPPLVVLRQ
901795 6HF   2ULJLQDO VHFWLRQV     
902796        
903797        
904798        
905799 DQG5HLVVXH5HYLVHG6WDWXWHVRI1HEUDVNDDUHUHSHDOHG
906800 6HF   7KH IROORZLQJ VHFWLRQV DUH RXWULJKW UHSHDOHG 6HFWLRQV 
907-DQG5HLVVXH5HYLVHG6WDWXWHVRI1HEUDVND
908801 /%
909802 
910803 /%
911804 
912-
805+ DQG5HLVVXH5HYLVHG6WDWXWHVRI1HEUDVND
806+/%
807+
808+/%
809+
810+ PRESIDENT OF THE LEGISLATURE
811+THIS IS TO CERTIFY that the within LB 38 was passed by the One Hundred Ninth
812+Legislature of Nebraska at its First Session on the ........................................................ day
813+of ................................................................... 20.............
814+CLERK OF THE LEGISLATURE
815+Approved:
816+.......................................................................... 20.........., ................. o€clock ...............M.
817+GOVERNOR