(8523($167$1'$5' (1

1250((8523e(11(
(8523b,6&+(1250 -DQXDU\

,&6

(QJOLVKYHUVLRQ

*DVVXSSO\V\VWHPV3LSHOLQHVIRUPD[LPXPRSHUDWLQJSUHVVXUH
XSWRDQGLQFOXGLQJEDU3DUW*HQHUDOIXQFWLRQDO
UHFRPPHQGDWLRQV
6\VWqPHVGµDOLPHQWDWLRQHQJD]&DQDOLVDWLRQVSRXU *DVYHUVRUJXQJVV\VWHPH5RKUOHLWXQJHQPLWHLQHP
SUHVVLRQPD[LPDOHGHVHUYLFHLQIpULHXUHRXpJDOHjEDU PD[LPDO]XOlVVLJHQ%HWULHEVGUXFNELVHLQVFKOLH‰OLFKEDU
3DUWLH5HFRPPDQGDWLRQVIRQFWLRQQHOOHVJpQpUDOHV 7HLO$OOJHPHLQHIXQNWLRQDOH(PSIHKOXQJHQ

7KLV(XURSHDQ6WDQGDUGZDVDSSURYHGE\&(1RQ$SULO

&(1PHPEHUVDUHERXQGWRFRPSO\ZLWKWKH&(1&(1(/(&,QWHUQDO5HJXODWLRQVZKLFKVWLSXODWHWKHFRQGLWLRQVIRUJLYLQJWKLV(XURSHDQ
6WDQGDUGWKHVWDWXVRIDQDWLRQDOVWDQGDUGZLWKRXWDQ\DOWHUDWLRQ8SWRGDWHOLVWVDQGELEOLRJUDSKLFDOUHIHUHQFHVFRQFHUQLQJVXFKQDWLRQDO
VWDQGDUGVPD\EHREWDLQHGRQDSSOLFDWLRQWRWKH&HQWUDO6HFUHWDULDWRUWRDQ\&(1PHPEHU

7KLV(XURSHDQ6WDQGDUGH[LVWVLQWKUHHRIILFLDOYHUVLRQV(QJOLVK)UHQFK*HUPDQ$YHUVLRQLQDQ\RWKHUODQJXDJHPDGHE\WUDQVODWLRQ

XQGHUWKHUHVSRQVLELOLW\RID&(1PHPEHULQWRLWVRZQODQJXDJHDQGQRWLILHGWRWKH&HQWUDO6HFUHWDULDWKDVWKHVDPHVWDWXVDVWKHRIILFLDO
YHUVLRQV

&(1PHPEHUVDUHWKHQDWLRQDOVWDQGDUGVERGLHVRI$XVWULD%HOJLXP&]HFK5HSXEOLF'HQPDUN)LQODQG)UDQFH*HUPDQ\*UHHFH
,FHODQG,UHODQG,WDO\/X[HPERXUJ1HWKHUODQGV1RUZD\3RUWXJDO6SDLQ6ZHGHQ6ZLW]HUODQGDQG8QLWHG.LQJGRP

(8523($1 &200,77(( )25 67$1'$5',=$7,21

&20,7e (8523e(1 '( 1250$/,6$7,21
(8523b,6&+(6 .20,7(( )h5 125081*

&HQWUDO6HFUHWDULDWUXHGH6WDVVDUW%%UXVVHOV

‹&(1 $OOULJKWVRIH[SORLWDWLRQLQDQ\IRUPDQGE\DQ\PHDQVUHVHUYHG 5HI1R(1(

ZRUOGZLGHIRU&(1QDWLRQDO0HPEHUV
3DJH
(1

&RQWHQWV

3DJH
)RUHZRUG 
 6FRSH  
 1RUPDWLYHUHIHUHQFHV  
 'HILQLWLRQVDQGDEEUHYLDWLRQV  
 4XDOLW\  
 4XDOLW\PDQDJHPHQW  
 &RPSHWHQFH 
 *DVFKDUDFWHULVWLFV  
 *DVTXDOLW\DQGIDPLO\  
 2GRUL]DWLRQ 
 7R[LFLW\DQGODFNRIR[\JHQ  
 0DWHULDOV 
 'HVLJQ  
 *HQHUDO  
 %DVLFGHVLJQGDWD 
 3UHVVXUHUHODWLRQVKLSV 
 3LSHOLQHVHFWLRQV  
 6HUYLFHOLQHV 
 3UHVVXUHUHJXODWLQJVWDWLRQVDQGLQVWDOODWLRQV  
 0HDVXULQJVWDWLRQV  
 9DOYHV  
 &RUURVLRQSURWHFWLRQ 
 /LPLWLQJHQYLURQPHQWDOLPSDFW  
 7UDQVSRUWDWLRQVWRUDJHDQGKDQGOLQJRIPDWHULDOV  
 &RQVWUXFWLRQ  
 *HQHUDO  
 &RQQHFWLRQVWRH[LVWLQJV\VWHPV 
 3UHVVXUHWHVWLQJ  
 &RPPLVVLRQLQJDQGGHFRPPLVVLRQLQJ  
 2SHUDWLRQVXUYH\DQGPDLQWHQDQFH  
 *HQHUDO  
 5HFRUGV\VWHPDQGWUDFHDELOLW\  
 2SHUDWLRQFHQWUHV 
 3LSHOLQHRSHUDWRU
VZRUNV  
 7KLUGSDUW\ZRUNV 
 /HDNDJHVXUYH\VDQGSXEOLFUHSRUWHGJDVHVFDSHV   
 5HSDLUDQGPDLQWHQDQFH  
 (PHUJHQF\UHFRUGV\VWHP  
 (PHUJHQF\SODQRULQWHUYHQWLRQSODQ  

‹%6,
 3DJH
(1

)RUHZRUG

7KLV(XURSHDQ6WDQGDUGKDVEHHQSUHSDUHGE\7HFKQLFDO&RPPLWWHH&(17&µ*DVVXSSO\¶WKH6HFUHWDULDW
RIZKLFKLVKHOGE\',1

7KLV(XURSHDQ6WDQGDUGVKDOOEHJLYHQWKHVWDWXVRIDQDWLRQDOVWDQGDUGHLWKHUE\SXEOLFDWLRQRIDQLGHQWLFDOWH[W
RUE\HQGRUVHPHQWDWWKHODWHVWE\-XO\DQGFRQIOLFWLQJQDWLRQDOVWDQGDUGVVKDOOEHZLWKGUDZQDWWKHODWHVW
E\-XO\

$FFRUGLQJWRWKH&(1&(1(/(&,QWHUQDO5HJXODWLRQVWKHQDWLRQDOVWDQGDUGVRUJDQL]DWLRQVRIWKHIROORZLQJ
FRXQWULHVDUHERXQGWRLPSOHPHQWWKLV(XURSHDQ6WDQGDUG$XVWULD%HOJLXP&]HFK5HSXEOLF'HQPDUN)LQODQG
)UDQFH*HUPDQ\*UHHFH,FHODQG,UHODQG,WDO\/X[HPERXUJ1HWKHUODQGV1RUZD\3RUWXJDO6SDLQ6ZHGHQ
6ZLW]HUODQGDQGWKH8QLWHG.LQJGRP

7KHUHLVDFRPSOHWHVXLWHRIIXQFWLRQDOVWDQGDUGVSUHSDUHGE\&(17&µ*DV6XSSO\¶WRFRYHUDOOSDUWVRIWKH
JDV VXSSO\ V\VWHP IURP WKH LQSXW RI JDV WR WKH WUDQVPLVVLRQ V\VWHP XS WR WKH LQOHW FRQQHFWLRQ RI WKH JDV
DSSOLDQFHVZKHWKHUIRUGRPHVWLFFRPPHUFLDORULQGXVWULDOSXUSRVHV

,QSUHSDULQJWKLVVWDQGDUGDEDVLFXQGHUVWDQGLQJRIJDVVXSSO\E\WKHXVHUKDVEHHQDVVXPHG

*DVVXSSO\V\VWHPVDUHFRPSOH[DQGWKHLPSRUWDQFHRQVDIHW\RIWKHLUFRQVWUXFWLRQDQGXVHKDVOHGWRWKH
GHYHORSPHQWRIYHU\GHWDLOHGFRGHVRISUDFWLFHDQGRSHUDWLQJPDQXDOVLQWKHPHPEHUFRXQWULHV7KHVHGHWDLOHG
VWDWHPHQWVHPEUDFHUHFRJQL]HGVWDQGDUGVRIJDVHQJLQHHULQJDQGWKHVSHFLILFUHTXLUHPHQWVLPSRVHGE\WKHOHJDO
VWUXFWXUHVRIWKHPHPEHUFRXQWULHV

‹%6,
3DJH
(1

 6FRSH

7KLV (XURSHDQ 6WDQGDUG GHVFULEHV WKH JHQHUDO IXQFWLRQDO UHFRPPHQGDWLRQV IRU SLSHOLQHV XS WR WKH SRLQW RI
GHOLYHU\DQGDOVRIRUEXULHGVHFWLRQVRISLSHZRUNDIWHUWKHSRLQWRIGHOLYHU\IRUPD[LPXPRSHUDWLQJSUHVVXUHV
XSWRDQGLQFOXGLQJEDUIRUJDVHRXVIXHOVLQDFFRUGDQFHZLWKWDEOHRI(1,WDSSOLHVWRWKHLUGHVLJQ
FRQVWUXFWLRQ FRPPLVVLRQLQJ GHFRPPLVVLRQLQJ RSHUDWLRQ PDLQWHQDQFH UHQRYDWLRQ H[WHQVLRQ DQG RWKHU
DVVRFLDWHGZRUNV

7KLV(XURSHDQ6WDQGDUGGRHVQRWDSSO\WRWKHPDWHULDOVGHVLJQFRQVWUXFWLRQWHVWLQJDQGFRPPLVVLRQLQJRIJDV
VXSSO\V\VWHPVLQXVHSULRUWRWKHSXEOLFDWLRQRIWKLVVWDQGDUG+RZHYHUWKLV(XURSHDQ6WDQGDUGGRHVDSSO\WR
WKHRSHUDWLRQPDLQWHQDQFHUHQRYDWLRQDQGH[WHQVLRQRIDOOJDVVXSSO\V\VWHPV

6SHFLILFIXQFWLRQDOUHFRPPHQGDWLRQVIRUSRO\HWK\OHQHSLSHOLQHVDUHJLYHQLQ(1IRUVWHHOSLSHOLQHVLQ
(1DQGIRUWKHUHQRYDWLRQRISLSHOLQHVLQ(1)XQFWLRQDOUHFRPPHQGDWLRQVIRUSLSHZRUNIRU
EXLOGLQJVDUHJLYHQLQ(1

)XQFWLRQDOUHTXLUHPHQWVIRUSUHVVXUHWHVWLQJFRPPLVVLRQLQJDQGGHFRPPLVVLRQLQJDUHJLYHQLQ(1

)XQFWLRQDOUHTXLUHPHQWVIRUPHDVXULQJV\VWHPVDUHJLYHQLQ(1

)XQFWLRQDOUHTXLUHPHQWVIRUSUHVVXUHUHJXODWLQJVWDWLRQVDUHJLYHQLQ(1)XQFWLRQDOUHTXLUHPHQWVIRU
SUHVVXUHUHJXODWLQJLQVWDOODWLRQVDUHJLYHQLQ(1

)XQFWLRQDOUHTXLUHPHQWVIRUJDVWUDQVPLVVLRQDUHJLYHQLQ(1

7KLV(XURSHDQ6WDQGDUGVSHFLILHVFRPPRQEDVLFSULQFLSOHVIRUJDVVXSSO\V\VWHPV8VHUVRIWKLV(XURSHDQ
6WDQGDUGVKRXOGEHDZDUHWKDWPRUHGHWDLOHGQDWLRQDOVWDQGDUGVDQGRUFRGHVRISUDFWLFHFDQH[LVWLQWKH&(1
PHPEHUFRXQWULHV

7KLV(XURSHDQ6WDQGDUGLVLQWHQGHGWREHDSSOLHGLQDVVRFLDWLRQZLWKWKHVHQDWLRQDOVWDQGDUGVDQGRUFRGHVRI
SUDFWLFHVHWWLQJRXWWKHDERYHPHQWLRQHGEDVLFSULQFLSOHV

 1RUPDWLYHUHIHUHQFHV

7KLV(XURSHDQ6WDQGDUGLQFRUSRUDWHVE\GDWHGRUXQGDWHGUHIHUHQFHVSURYLVLRQVIURPRWKHUSXEOLFDWLRQV7KHVH
QRUPDWLYHUHIHUHQFHVDUHFLWHGDWWKHDSSURSULDWHSODFHVLQWKHWH[WDQGWKHSXEOLFDWLRQVDUHOLVWHGKHUHDIWHU)RU
GDWHGUHIHUHQFHVVXEVHTXHQWDPHQGPHQWVWRRUUHYLVLRQVRIDQ\RIWKHVHSXEOLFDWLRQVDSSO\WRWKLV(XURSHDQ
6WDQGDUGRQO\ZKHQLQFRUSRUDWHGLQLWE\DPHQGPHQWRUUHYLVLRQ)RUXQGDWHGUHIHUHQFHVWKHODWHVWHGLWLRQRIWKH
SXEOLFDWLRQUHIHUUHGWRDSSOLHV

(1 7HVWJDVHV7HVWSUHVVXUHV$SSOLDQFHFDWHJRULHV

(1 *DV VXSSO\ V\VWHPV  3LSHOLQHV IRU PD[LPXP RSHUDWLQJ SUHVVXUH RYHU  EDU 
)XQFWLRQDOUHTXLUHPHQWV

(1 *DV VXSSO\  *DV SLSHZRUN IRU EXLOGLQJV  0D[LPXP RSHUDWLQJ SUHVVXUH ˆ  EDU 
)XQFWLRQDOUHFRPPHQGDWLRQV

(1 *DVVXSSO\1DWXUDOJDVPHDVXULQJVWDWLRQV)XQFWLRQDOUHTXLUHPHQWV

(1 *DVVXSSO\V\VWHPV3LSHOLQHVIRUPD[LPXPRSHUDWLQJSUHVVXUHXSWRDQGLQFOXGLQJ
EDU3DUW6SHFLILFIXQFWLRQDOUHFRPPHQGDWLRQVIRUSRO\HWK\OHQH023XSWRDQG
LQFOXGLQJEDU

(1 *DVVXSSO\V\VWHPV3LSHOLQHVIRUPD[LPXPRSHUDWLQJSUHVVXUHXSWRDQGLQFOXGLQJ
EDU3DUW6SHFLILFIXQFWLRQDOUHFRPPHQGDWLRQVIRUVWHHO

(1 *DVVXSSO\V\VWHPV3LSHOLQHVIRUPD[LPXPRSHUDWLQJSUHVVXUHXSWRDQGLQFOXGLQJ
EDU3DUW6SHFLILFIXQFWLRQDOUHFRPPHQGDWLRQVIRUUHQRYDWLRQ

(1 *DVVXSSO\V\VWHPV*DVSUHVVXUHUHJXODWLQJVWDWLRQVIRUWUDQVPLVVLRQDQGGLVWULEXWLRQ

‹%6,
 3DJH
(1

(1 *DVVXSSO\V\VWHPV*DVSUHVVXUHUHJXODWLQJLQVWDOODWLRQVIRUVHUYLFHOLQHV

(1 *DV VXSSO\ V\VWHPV  3UHVVXUH WHVWLQJ FRPPLVVLRQLQJ DQG GHFRPPLVVLRQLQJ

SURFHGXUHV)XQFWLRQDOUHTXLUHPHQWV

 'HILQLWLRQVDQGDEEUHYLDWLRQV

)RUWKHSXUSRVHVRIWKLVVWDQGDUGWKHIROORZLQJGHILQLWLRQVDQGDEEUHYLDWLRQVDSSO\

 JDVVXSSO\V\VWHP7KHSLSHOLQHV\VWHPVLQFOXGLQJSLSHZRUNDQGWKHLUDVVRFLDWHGVWDWLRQVRUSODQWVIRU
WKHWUDQVPLVVLRQDQGGLVWULEXWLRQRIJDV

 SLSHOLQH$V\VWHPRISLSHZRUNZLWKDOODVVRFLDWHGHTXLSPHQWDQGVWDWLRQVXSWRWKHSRLQWRIGHOLYHU\
7KLVSLSHZRUNLVPDLQO\EHORZJURXQGEXWLQFOXGHVDOVRDERYHJURXQGSDUWV

 SLSHOLQHFRPSRQHQWV7KHHOHPHQWVIURPZKLFKWKHSLSHOLQHLVFRQVWUXFWHG7KHIROORZLQJDUHGLVWLQFW
SLSHOLQHHOHPHQWV

±SLSHVLQFOXGLQJFROGIRUPHGEHQGV

±ILWWLQJV

(;$03/(5HGXFHUVWHHVIDFWRU\PDGHHOERZVDQGEHQGVIODQJHVFDSVZHOGLQJVWXEVPHFKDQLFDO
MRLQWV

±DQFLOODULHV

(;$03/(9DOYHVH[SDQVLRQMRLQWVLQVXODWLQJMRLQWVSUHVVXUHUHJXODWRUVSXPSVFRPSUHVVRUV

±SUHVVXUHYHVVHOV

 PDLQ$SLSHZRUNLQDJDVVXSSO\V\VWHPWRZKLFKVHUYLFHOLQHVDUHFRQQHFWHG

 VHUYLFHOLQH7KHSLSHZRUNIURPWKHPDLQWRWKHSRLQWRIGHOLYHU\RIWKHJDVLQWRWKHLQVWDOODWLRQSLSHZRUN

 LQVWDOODWLRQSLSHZRUN7KHSLSHZRUNGRZQVWUHDPRIWKHSRLQWRIGHOLYHU\WHUPLQDWLQJDWWKHDSSOLDQFH
LQOHWFRQQHFWLRQ

127(7KLVSLSHZRUNLVQRUPDOO\WKHSURSHUW\RIWKHFXVWRPHU

 SRLQWRIGHOLYHU\7KHSRLQWRIWUDQVIHURIRZQHUVKLSRIJDVIURPWKHVXSSOLHUWRWKHFXVWRPHU

127(7KLVFDQEHDWDPHDQVRILVRODWLRQRUDWWKHPHWHURXWOHWFRQQHFWLRQ

 FRPSHWHQWDXWKRULW\$ERG\DXWKRUL]HGE\WKHPHPEHUFRXQWU\WRHQVXUHWKDWWKHSLSHOLQHRSHUDWRU
IXOILOVWKHUHTXLUHPHQWVRIWKLVDQGRWKHUUHOHYDQWVWDQGDUGV

 SLSHOLQHRSHUDWRU7KHSULYDWHRUSXEOLFRUJDQL]DWLRQDXWKRUL]HGWRGHVLJQFRQVWUXFWDQGRURSHUDWHDQG
PDLQWDLQWKHJDVVXSSO\V\VWHP

 FRPSHWHQWSHUVRQ$SHUVRQZKRLVWUDLQHGH[SHULHQFHGDQGDSSURYHGWRSHUIRUPDFWLYLWLHVUHODWLQJ
WRJDVVXSSO\V\VWHPV

127(0HDQVRIDSSURYDOLIDQ\ZLOOEHGHWHUPLQHGZLWKLQHDFKPHPEHUFRXQWU\

 JDV$JDVHRXVIXHOZKLFKLVLQJDVHRXVVWDWHDWDWHPSHUDWXUHRI•&XQGHUDWPRVSKHULFSUHVVXUH
EDUDEVROXWH

 SUHVVXUH7KHJDXJHSUHVVXUHRIWKHIOXLGLQVLGHWKHV\VWHPPHDVXUHGLQVWDWLFFRQGLWLRQV

 GHVLJQSUHVVXUH'37KHSUHVVXUHRQZKLFKGHVLJQFDOFXODWLRQVDUHEDVHG

‹%6,
3DJH
(1

 PD[LPXPRSHUDWLQJSUHVVXUH0237KHPD[LPXPSUHVVXUHDWZKLFKDV\VWHPFDQEHRSHUDWHG

FRQWLQXRXVO\XQGHUQRUPDORSHUDWLQJFRQGLWLRQV

127(1RUPDORSHUDWLQJFRQGLWLRQVDUHQRIDXOWLQDQ\GHYLFHRUVWUHDP

 WHPSRUDU\RSHUDWLQJSUHVVXUH7237KHSUHVVXUHDWZKLFKDV\VWHPFDQEHRSHUDWHGWHPSRUDULO\

XQGHUFRQWURORIWKHUHJXODWLQJGHYLFHV

 PD[LPXPLQFLGHQWDOSUHVVXUH0,37KHPD[LPXPSUHVVXUHZKLFKDV\VWHPFDQH[SHULHQFHGXULQJ

DVKRUWWLPHOLPLWHGE\WKHVDIHW\GHYLFHV

 VWUHQJWKWHVWSUHVVXUH6737KHSUHVVXUHDSSOLHGWRDV\VWHPGXULQJVWUHQJWKWHVWLQJ

 FRPELQHGWHVWSUHVVXUH&737KHSUHVVXUHDSSOLHGWRDV\VWHPGXULQJFRPELQHGWHVWLQJ

 ORZHUH[SORVLYHOLPLW/(/7KHFRQFHQWUDWLRQRIIODPPDEOHJDVRUYDSRXULQDLUEHORZZKLFKWKHJDV

DWPRVSKHUHLVQRWH[SORVLYH

 4XDOLW\

 4XDOLW\PDQDJHPHQW

7R SURYLGH D FRQVLVWHQW DQG DSSURSULDWH VWDQGDUG RI TXDOLW\ PDQDJHPHQW WKH SLSHOLQH RSHUDWRU VKDOO KDYH
RUJDQL]DWLRQDORSHUDWLRQDODQGDGPLQLVWUDWLYHSURFHGXUHVWRHQVXUHWKDWDFWLYLWLHVFDQEHXQGHUWDNHQLQDVDIH
DQGWHFKQLFDOO\VRXQGPDQQHU7KHSLSHOLQHRSHUDWRUVKDOOKDYHVXLWDEOHV\VWHPVIRUWHFKQLFDODXGLWVDIHW\DXGLW
DQGSHUIRUPDQFHUHYLHZWRHQVXUHWKDWHVWDEOLVKHGSURFHGXUHVDQGWUDLQLQJSURJUDPPHVFRQWLQXHWRPHHWWKH
REOLJDWLRQVRIWKHSLSHOLQHRSHUDWRUWRXVHUV7KHVHVKRXOGWDNHLQWRDFFRXQWH[SHULHQFHVJDLQHG

(;$03/(2SHUDWLRQDOLQFLGHQWVRURWKHUUHOHYDQWGDQJHURXVRFFXUUHQFHV

7KLVV\VWHPVKRXOGLQFOXGHIRUHDFKDFWLYLW\

DGHTXDWHQXPEHUVRIFRPSHWHQWSHUVRQV

DGHTXDWHRWKHUUHVRXUFHV

(;$03/(YHKLFOHVFRPPXQLFDWLRQV\VWHPVDQGDSSURSULDWHWRROV

 &RPSHWHQFH

7KHTXDOLILFDWLRQRIFRPSHWHQWSHUVRQVLQYROYHGLQWKHGHVLJQFRQVWUXFWLRQRSHUDWLRQDQGPDLQWHQDQFHRIDJDV
VXSSO\V\VWHPRUSDUWVRILWVKDOOEHLQDFFRUGDQFHZLWKWKHFKDUDFWHULVWLFVRIWKHSLSHOLQHV\VWHPWKH\DUH
ZRUNLQJRQ7KHVHFKDUDFWHULVWLFVLQFOXGHEXWDUHQRWOLPLWHGWRWKHIROORZLQJ

IDPLO\RIJDV

ORFDOFRQGLWLRQV

GHVLJQRURSHUDWLQJSUHVVXUH

PDWHULDOVXVHGLQWKHV\VWHP

MRLQWLQJWHFKQLTXHV

HPHUJHQF\SURFHGXUHV

 *DVFKDUDFWHULVWLFV

 *DVTXDOLW\DQGIDPLO\

7KHTXDOLW\DQGIDPLO\RIJDVVXSSOLHGWKURXJKDJDVVXSSO\V\VWHPVKDOOEHVSHFLILHGVRWKDWLWVFKDUDFWHULVWLFV
DUHNQRZQWRV\VWHPGHVLJQHUVDQGSLSHOLQHRSHUDWRUV7KLVVSHFLILFDWLRQLQFOXGHVDOOUHOHYDQWFKDUDFWHULVWLFV
ZKLFKFRQWULEXWHWRVDIHRSHUDWLRQDQGFRPEXVWLRQ&KDQJHVLQWKHSURSHUWLHVRIWKHJDVZKLFKIDOORXWVLGH
SUHGHWHUPLQHGRSHUDWLQJOLPLWVVKDOOEHQRWLILHGWRSLSHOLQHRSHUDWRUVLQDGYDQFH

‹%6,
 3DJH
(1

*DVPD\DOVREHWUHDWHGRUFRQGLWLRQHGIRURSHUDWLRQDODQGPDLQWHQDQFHUHDVRQV

(;$03/()RUWKHFRQWURORIOHDNDJH

(;$03/()RUWKHFRQWURORILFLQJFRQGLWLRQVDWSUHVVXUHUHJXODWLQJVWDWLRQVDQGLQVWDOODWLRQV

6DIHRSHUDWLQJSURFHGXUHVIRUV\VWHPVVXSSO\LQJJDVHVKHDYLHUWKDQDLUVKDOOUHFRJQL]HWKHWHQGHQF\IRUWKHVH
JDVHVWRVHWWOHGRZQZDUGVVKRXOGWKH\HVFDSHIURPWKHV\VWHP

 2GRUL]DWLRQ

*DVVXSSOLHGWRHQGXVHUVVKRXOGSRVVHVVDGLVWLQFWLYHRGRXU

:KHUHJDVLVWRSRVVHVVDGLVWLQFWLYHRGRXULWVSUHVHQFHLQWKHDWPRVSKHUHVKDOOEHUHDGLO\GHWHFWDEOHDWDOOJDV
FRQFHQWUDWLRQVRIRQHILIWKRIWKHORZHUH[SORVLYHOLPLWDQGDERYH:KHUHWKHJDVGRHVQRWSRVVHVVDQDWXUDO
GLVWLQFWLYHRGRXURQHVKDOOEHDGGHGIRUWKHSXUSRVH

7KH RGRUDQW ZKHUH DGGHG VKDOO EH QRQWR[LF DQG KDUPOHVV IRU WKH FRQFHQWUDWLRQV HPSOR\HG LQ QRUPDO
DSSOLFDWLRQVDQGWKHRGRXUVKDOOGLVDSSHDUDIWHUFRPEXVWLRQ

$QRGRUDQWPD\EHRPLWWHGLQJDVGHOLYHUHGVSHFLILFDOO\IRUIXUWKHUSURFHVVLQJRURWKHUVSHFLDOSXUSRVHV,QWKLV
FDVHDOWHUQDWLYHPHDQVVKDOOEHDYDLODEOHWRGHWHFWOHDNV

 7R[LFLW\DQGODFNRIR[\JHQ

7KHSRWHQWLDOWR[LFHIIHFWVRIJDVFRQVWLWXHQWVDQGWKHSRWHQWLDOODFNRIR[\JHQVKDOOEHFRQVLGHUHGWRHQVXUH
VDIHW\LQDOOZRUNSUDFWLFHVXQGHUWDNHQRQWKHJDVVXSSO\V\VWHPLQXVLQJWKHJDVDQGLQGHDOLQJZLWKHVFDSLQJ
JDV

 0DWHULDOV

7KHFKDUDFWHULVWLFVRIPDWHULDOVRISLSHVILWWLQJVDQGFRPSRQHQWVDQGWKHPRGHRIFRQVWUXFWLRQRISLSHOLQHVVKDOO
EHDSSURSULDWHWRWKHW\SHVRIJDVEHLQJVXSSOLHGDQGWKHFRQGLWLRQVXQGHUZKLFKWKH\DUHRSHUDWHG

0DWHULDOVDQGSURGXFWVVKDOOFRQIRUPWRWKHUHOHYDQW(XURSHDQ6WDQGDUGVRULQWKHLUDEVHQFHWRWKHQDWLRQDORU
RWKHUHVWDEOLVKHGVWDQGDUGVDQGVKDOOEHRIDTXDOLW\ILWIRUSXUSRVH&RQVLGHUDWLRQVKDOOEHJLYHQWRWKHHIIHFWV
RIFOLPDWLFFRQGLWLRQVRQPDWHULDOEHKDYLRXUDQGLWVFRQVHTXHQWLDOLQIOXHQFHRQSHUIRUPDQFH0DWHULDOVFDQJLYH
DGLIIHUHQWWHFKQLFDOSHUIRUPDQFHLQULVNRUORQJWHUPEHKDYLRXUZKHQH[SRVHGWRRUVWRUHGXQGHUH[WUHPHFOLPDWLF
FRQGLWLRQV  )RU IXUWKHU LQIRUPDWLRQ UHIHUHQFH VKRXOG EH PDGH WR WKH VSHFLILF VWDQGDUGV IRU WKH PDWHULDOV
FRQFHUQHG

(;$03/(  7KH FULWLFDO SUHVVXUH IRU UDSLG FUDFN SURSDJDWLRQ LQ SRO\HWK\OHQH SLSH LV UHGXFHG DW ORZHU
WHPSHUDWXUHV

(;$03/(/RVVRIUHVLOLHQFHFDQRFFXULQVWHHOSLSHVDWORZWHPSHUDWXUHVRUGLVERQGPHQWRIFRDWLQJVDWKLJK
WHPSHUDWXUHV

 'HVLJQ

 *HQHUDO

*DV VXSSO\ V\VWHPV DUH GHVLJQHG WR SURYLGH D VDIH DQG FRQWLQXRXV VXSSO\ RI JDV  7KLV GHVLJQ FRQVLGHUV
WHFKQLFDODVSHFWVDQGSURFHGXUHVWRJHWKHUZLWKHQYLURQPHQWDODQGVDIHW\DVSHFWV

7KHJDVVXSSO\V\VWHPFRQVLVWVRISLSHOLQHFRPSRQHQWVDUUDQJHGLQQHWZRUNVRUVLQJOHOLQHVZLWKDVVRFLDWHG
SUHVVXUHUHJXODWLQJVWDWLRQVRULQVWDOODWLRQVDQGFRQQHFWLRQVWRFRQVXPHUVYLDVHUYLFHOLQHV

127('XULQJWKHGHVLJQSKDVHWKHVHSDUWVRIWKHV\VWHPFDQEHFRQVLGHUHGVHSDUDWHO\

‹%6,
3DJH
(1

%DVLFGDWDDQGGHVLJQSULQFLSOHVVKRXOGEHGRFXPHQWHGWRJHWKHUZLWKWKHDFWXDOGDWDDVWKHJDVVXSSO\V\VWHP
LVEXLOW'DWDVXFKDVWKHGLDPHWHUPDWHULDOGHVLJQSUHVVXUHIDPLO\RIJDVDQGURXWLQJPDSVVKRXOGEHDYDLODEOH
DVORQJDVWKHJDVVXSSO\V\VWHPLVLQRSHUDWLRQVHH

%DVLFGHVLJQGDWD

7KHGHVLJQRIDQ\JDVVXSSO\V\VWHPRUSDUWWKHUHRIVKRXOGFRPPHQFHZLWKDVWXG\FROOHFWLQJUHOHYDQWEDVLF
GDWDIRUWKHSDUWRIWKHJDVVXSSO\V\VWHPWREHLQVWDOOHG7KLVEDVLFGDWDLQFOXGHEXWDUHQRWOLPLWHGWRWKH
IROORZLQJ

WKHIDPLO\RIJDV

DQWLFLSDWHGJDVIORZ

GHVLJQSUHVVXUH

GLDPHWHUV

FRQVWUXFWLRQPDWHULDOV

OD\RXWRIWKHH[LVWLQJJDVVXSSO\V\VWHP

WKHQHHGIRUSUHVVXUHUHJXODWLRQ

SURYLVLRQDOURXWLQJRISLSHOLQHVHFWLRQV

7KHGHVLJQRIWKHJDVVXSSO\V\VWHPIRUIORZUDWHFDSDFLW\VKDOODVDPLQLPXPWDNHDFFRXQWRIEXWQRWEHOLPLWHG
WRWKHIROORZLQJ

DWKHIDPLO\RIWKHJDV

EWKHORFDWLRQDQGQXPEHURIDFWXDORUDQWLFLSDWHGFXVWRPHUVWKHSUHGLFWHGFXVWRPHUW\SHFRQVXPSWLRQ
SDWWHUQVDQGFOLPDWLFFRQGLWLRQVLQWKHDUHDWREHVHUYHG'XHDFFRXQWVKRXOGEHWDNHQRIWKHGLYHUVLW\
RIGHPDQGLQHVWDEOLVKLQJGHVLJQIORZUDWHV

FWKHWHFKQLFDORSHUDWLQJYDOXHVWREHDSSOLHGVXFKDV

WKHSUHVVXUHZKLFKLVUHTXLUHGWREHPDLQWDLQHGZLWKLQYDOXHVWKDWSHUPLWFRUUHFWIXQFWLRQLQJ
RISUHVVXUHUHJXODWRUVDQGVSHFLILFXVHUDSSOLDQFHVDWDOOSDUWVRIWKHV\VWHP

WKHUHTXLUHPHQWWRPDLQWDLQDPLQLPXPSUHVVXUHLQWKHVXSSO\V\VWHPDFFRUGLQJWRWKHUXOHV
RIWKHPHPEHUFRXQWULHVDQGWKHQRUPDOSUHVVXUHUDQJHIRUWKHV\VWHPFRQFHUQHGWRHQVXUHWKH
VDIHXVHRIJDV

WKHJDVYHORFLW\LQWKHSLSHVZKLFKVKRXOGEHVXIILFLHQWO\ORZDVWROLPLWH[FHVVLYHPRYHPHQW
RIDQ\LPSXULWLHVDQGWKHJHQHUDWLRQRIXQDFFHSWDEOHQRLVHSKHQRPHQD

GWKHGLDPHWHUVL]LQJIRUPXODVHOHFWHGIURPWKRVHJHQHUDOO\XVHGDFFRUGLQJWRSUHVVXUHUDQJHV,QWKH
FDVHRIFRPSOH[QHWZRUNVDSSURSULDWHFRPSXWHUFDOFXODWLRQSURFHGXUHVFDQEHXVHG7KHSDUDPHWHUV
LGHQWLILHGDERYHVKRXOGEHH[SOLFLWO\LQGLFDWHGLQWKHGHVLJQSURFHVV

HWKHG\QDPLFYDULDWLRQVLQJDVIORZGXHWRVSHFLDOLQGXVWULDODSSOLFDWLRQV

(;$03/(RQRIIEXUQHUV

‹%6,
 3DJH
(1

 3UHVVXUHUHODWLRQVKLSV

7KHUHODWLRQVKLSEHWZHHQSUHVVXUHVLVJLYHQLQ7DEOH

7DEOH3UHVVXUHUHODWLRQVKLSV

023 723 0,3 673&73

EDU ˆ ˆ !

3ˆ 023 023 0,3

3ˆ 023 023 0,3

3ˆ 023 023 0,3

3ˆ 023 023 0,3


7KHVHUHODWLRQVDUHRQO\YDOLGZKHQ'3 023

:KHQJDVDSSOLDQFHVWLJKWQHVVWHVWHGDWPEDUDUHGLUHFWO\FRQQHFWHGWRLQVWDOODWLRQ
SLSHZRUNWKH0,3GRZQVWUHDPRIWKHUHJXODWRUVKDOOEHOLPLWHGWRPEDU

023VKDOOEHHTXDOWRRUOHVVWKDQWKHGHVLJQSUHVVXUHRIWKHV\VWHPLQFOXGLQJLWVFRPSRQHQWV7KHPD[LPXP
VHWYDOXHRIWKHDFWLYHSUHVVXUHUHJXODWRULQWKHZRUNLQJVWUHDPVKDOOQRWH[FHHG023

127(:KHUH023LVOHVVWKDQ'3WKHSUHVVXUHUHODWLRQVKLSVJLYHQLQWDEOHFDQEHUHODWHGWR'3

(;$03/(:KHUH'3LVHTXDOWREDUDQG023HTXDOWREDU723FDQUHDFK™EDUDQG0,3FDQ
UHDFK™EDU

)RULQIRUPDWLRQRQVSHFLILFSUHVVXUHVHWWLQJVUHIHUHQFHVKRXOGEHPDGHWR(1DQG(1

 3LSHOLQHVHFWLRQV

3LSHOLQHVHFWLRQVVKDOOEHVXSSRUWHGDQFKRUHGRUEXULHGLQVXFKDZD\WKDWGXULQJWKHLUOLIHWLPHWKHSLSHOLQH
VHFWLRQVZLOOQRWPRYHZLWKUHVSHFWWRWKHLULQVWDOOHGSRVLWLRQH[FHSWIRUWKHIRUHVHHQSHUPLWWHGGLVSODFHPHQWV

6XEPHUJHGSLSHVVKDOOKDYHHQRXJKRZQZHLJKWRURXWVLGHORDGLQJGXULQJWKHFRQVWUXFWLRQDQGRSHUDWLRQSKDVHV
WRJXDUDQWHHKRUL]RQWDODQGYHUWLFDOVWDELOLW\7KHSLSHZDOOWKLFNQHVVVHOHFWLRQVKRXOGEHEDVHGRQVXIILFLHQW
UHVLVWDQFHWRLQWHUQDOSUHVVXUHDQGDOVRWKHIRUFHVH[SHFWHGGXULQJKDQGOLQJDQGWUDQVSRUWDWLRQ

$GGLWLRQDOPHDVXUHVVKRXOGEHSURYLGHGDVQHFHVVDU\WRSURWHFWWKHSLSHDJDLQVWWKLUGSDUW\GDPDJHWKHVH
PHDVXUHVLQFOXGHEXWDUHQRWOLPLWHGWRWKHIROORZLQJ

LQFUHDVHGGHSWKRIFRYHU

DFRQWURO]RQHDORQJWKHSLSHOLQHURXWH

LQFUHDVHGZDOOWKLFNQHVV

DGGLWLRQDOPHFKDQLFDOSURWHFWLRQ

LQFUHDVHGIUHTXHQF\RIVXUYHLOODQFH

 5RXWLQJ

 3XEOLFDUHD

3LSHOLQHVURXWHGDORQJSXEOLFVWUHHWVVKRXOGFRPSO\ZLWKOHJDOUHTXLUHPHQWVFRQFHUQLQJFRQVHQWORFDWLRQDQG
GLVWDQFHV:KHUHWKHUHLVDFKRLFHPDLQVVKRXOGEHODLGSUHIHUDEO\LQIRRWZD\VRUYHUJHV

‹%6,
3DJH
(1

 3ULYDWHDUHD

:KHUHLWLVQHFHVVDU\WROD\PDLQVRUDVVRFLDWHGSODQWLQSULYDWHODQGWKHDJUHHPHQWGRFXPHQWEHWZHHQWKH
ODQGRZQHUDQGWKHSLSHOLQHRSHUDWRUVKDOOLQFOXGHDOOQHFHVVDU\SUHFDXWLRQVWREHWDNHQWRHQVXUHIXOOVDIHW\RI
RSHUDWLRQDQGSHUPLWVXEVHTXHQWDFFHVVWRWKHODQGIRUHDVHRIPDLQWHQDQFH

7KHDJUHHPHQWVKRXOGHQVXUHWKDWD]RQHRIODQGDGMDFHQWWRWKHPDLQRUDVVRFLDWHGSODQWUHPDLQVIUHHRIDQ\
WKLUGSDUW\ZRUNVZKLFKFDQEHDSRWHQWLDOULVNWRWKHPDLQ

127(7KLVLQFOXGHVVXEVHTXHQWFRQVWUXFWLRQDQGWKHSODQWLQJRIWUHHV

7KHDJUHHPHQWVKRXOGDOVRFRQWDLQDGHTXDWHSURYLVLRQIRUFRQVXOWDWLRQSULRUWRDQ\SURSRVHGWKLUGSDUW\ZRUNV

7KHSLSHOLQHRSHUDWRUPD\HOHFWWRH[HUFLVHDQ\RSWLRQWRSUHYHQWWKHSURSRVHGZRUNVRUUHTXHVWPRGLILFDWLRQV
WRWKHPWRDYRLGKD]DUG

 3LSHZRUNLQVLGHEXLOGLQJV

)RUWKHWHFKQLFDOUHTXLUHPHQWVIRUSLSHZRUNLQVLGHEXLOGLQJVUHIHUHQFHVKRXOGEHPDGHWR(1

7KH SLSHZRUN HOHPHQW RI WKH JDV VXSSO\ V\VWHPV VLWXDWHG LQ EXLOGLQJV VKDOO EH GHVLJQHG FRQVWUXFWHG DQG
SURWHFWHGVRWKDWWKHHIIHFWVRIDILUHRQWKHSLSHZRUNGRQRWOHDGWRDQH[SORVLRQRUVLJQLILFDQWDJJUDYDWLRQRIWKH
ILUH

127(7KHVHREMHFWLYHVFDQEHDFKLHYHGIRUH[DPSOHE\WKHXVHRIRQHRUPRUHRIWKHIROORZLQJ

LVRODWLQJWKHSLSHZRUNE\PHDQVRIDPDQXDORUDXWRPDWLFPHDQVRILVRODWLRQ

WKHXVHRIPDWHULDOVFRPSRQHQWVDQGMRLQWVWKDWZLWKVWDQGKLJKWHPSHUDWXUHV

ORFDWLRQRIDOORUSDUWRIWKHSLSHZRUNLQDQHQFORVXUHSURYLGLQJSURWHFWLRQLQWKHHYHQWRIILUH

FRDWLQJSLSHZRUNZLWKDSURWHFWLYHPDWHULDOWRHQDEOHWKHSLSHZRUNWRZLWKVWDQGKLJKWHPSHUDWXUHVIRU
DJLYHQSHULRGRIWLPH

&RQVLGHUDWLRQVKRXOGEHJLYHQWRLQVWDOOLQJWDPSHUSURRIYDOYHVDWRUQHDUWKHEDVHRIDVHUYLFHOLQHODLGDERYH
JURXQGZLWKLQDEXLOGLQJ$Q\GXFWVRUHQFORVHGVSDFHVFRQWDLQLQJDVHUYLFHOLQHVKRXOGEHDGHTXDWHO\YHQWLODWHG

)RUSLSHZRUNLQVLGHSUHVVXUHUHJXODWLQJDQGPHDVXULQJVWDWLRQVUHIHUHQFHVKRXOGEHPDGHWR(1DQG(1


 3LSHZRUNDERYHJURXQG

:KHUHLWLVQHFHVVDU\WRLQVWDOOSLSHZRUNDERYHJURXQGFRQVLGHUDWLRQVKDOOEHJLYHQWROLPLWLQJWKHLQIOXHQFHRQ
WKHSLSHZRUNRIIDFWRUVVXFKDVEXWQRWOLPLWHGWRWKHIROORZLQJ

89GHJUDGDWLRQ

WKHUPDOH[SDQVLRQ

ORDGVLPSRVHGE\JURXQGIRUFHV

LQWHUIHUHQFHGDPDJH

FRUURVLRQ

‹%6,
 3DJH
(1

 %ULGJHFURVVLQJV

:KHUHSLSHOLQHVDUHUHTXLUHGWRFURVVEULGJHVPHDVXUHVDSSURSULDWHWRWKHW\SHDQGVL]HRIEULGJHVKDOOEHWDNHQ
WRSURWHFWWKHSLSHZRUNDJDLQVWGHWHULRUDWLRQGXHWRVWDWLFRUG\QDPLFWKHUPDOH[SDQVLRQORDGVDQGWUDIILFRQ
RUSDVVLQJXQGHUWKHEULGJHRUIURPLQWHUIHUHQFHGDPDJH

8QGHUZDWHUFURVVLQJ

,IPDLQVDQGVHUYLFHVFURVVXQGHUZDWHUZD\VDSSURSULDWHPHWKRGVVKDOOEHXVHG

(;$03/(7UHQFKLQJ

(;$03/(7UHQFKOHVVWHFKQLTXHV

(;$03/(,QVHUWLRQLQWRDQH[LVWLQJSLSH

,QWKHSODQQLQJDQGOD\LQJRIXQGHUZDWHUFURVVLQJVWKHJHRORJLFDOFRQGLWLRQVRIWKHJURXQGVKRXOGEHNQRZQDQG
DSSURSULDWHSUHFDXWLRQVWDNHQ

(;$03/(3RVVLEOHPRELOLW\RIWKHZDWHUZD\EHG

(;$03/(/RDGLQJRUDQFKRULQJWKHSLSHZRUNWRFRXQWHUDFWEXR\DQF\HIIHFWV

7KHGHSWKRISLSHZRUNEHORZRURQWKHEHGRIWKHZDWHUZD\VKDOOEHFKRVHQWRSURWHFWLWIURPDQ\IRUHVHHQDFWLYLW\
LQWKHXVHRIWKHZDWHUZD\

(;$03/($QFKRULQJRIVKLSV

7KHSRVLWLRQRISLSHZRUNFURVVLQJPDMRUZDWHUZD\VVKDOOEHFOHDUO\PDUNHG

 /LPLWLQJLQWHUIHUHQFHIURPH[WHUQDOFDXVHV

 *HQHUDO

7KH ULVN RI LQWHUIHUHQFH ZLWK WKH JDV VXSSO\ V\VWHP E\ RWKHU EXULHG SODQW JURXQG PRYHPHQW WUHHV RWKHU
VWUXFWXUHVRUWUDIILFVKRXOGEHPLQLPL]HGDWWKHGHVLJQVWDJHFRQVLGHULQJWKHJXLGDQFHJLYHQEHORZ

6DIHRSHUDWLQJDQGOLDLVRQSURFHGXUHVVKDOOEHDJUHHGEHWZHHQWKHSLSHOLQHRSHUDWRUDQGUHOHYDQWWKLUGSDUWLHV

(;$03/(2WKHUXWLOLWLHV

(;$03/(+LJKZD\EULGJHZDWHUZD\DQGUDLODXWKRULWLHV

0DUNHUWDSHVRURWKHUGHYLFHVPD\EHHPSOR\HGWRKHOSOLPLWLQWHUIHUHQFHEXWWKHLUOLPLWDWLRQVLQRSHUDWLRQDO
SHUIRUPDQFHVKRXOGEHUHFRJQL]HG

$Q\SURSRVHGFRQVWUXFWLRQRYHURULQWKHYLFLQLW\RIH[LVWLQJPDLQVDQGVHUYLFHVVKDOOEHDOORZHGRQO\LIDJUHHG
E\WKHSLSHOLQHRSHUDWRU

 ,QWHUIHUHQFHIURPRWKHUXQGHUJURXQGVHUYLFHV

,QRUGHUWRVDIHJXDUGWKHJDVVXSSO\V\VWHPIURPGDPDJHFDXVHGE\RWKHUEXULHGSODQWLQFORVHSUR[LPLW\RUIURP
WKRVH HQJDJHG LQ OD\LQJ RWKHU XWLOLWLHV HTXLSPHQW LW LV HVVHQWLDO WKDW WKH SLSHOLQH RSHUDWRU ZRUNV WR D VHW RI
PLQLPXP FOHDUDQFH GLVWDQFHV IRU ERWK SDUDOOHO DQG FURVVLQJ SODQW  7KH SLSHOLQH RSHUDWRU VKRXOG DOVR KDYH
JXLGHOLQHV IRU SURWHFWLYH PHDVXUHV ZKLFK VKRXOG EH WDNHQ LQ WKH HYHQW WKDW OHVVHU FOHDUDQFH GLVWDQFHV DUH
UHTXLUHG

(;$03/(SURWHFWLQJSLSHVE\OD\LQJLQVOHHYHVXQGHUFRQFUHWHSURWHFWLRQRUVWHHOSODWHV

'HVLJQVDQGWKHVHOHFWLRQRIPDWHULDOVKDOOWDNHDFFRXQWRIWKHSUR[LPLW\WRGLVWULFWKHDWLQJV\VWHPV

7KHVHFRQGLWLRQVFDQDOVRDSSO\WRWKHEXULHGVHFWLRQVRIVHUYLFHOLQHV

‹%6,
3DJH
(1

 ,QWHUIHUHQFHIURPUDLOZD\VRUWUDPZD\V

,IWKHPDLQLVODLGSDUDOOHOWRWUDPZD\VRUXUEDQUDLOZD\VLQVWUHHWVWKHSLSHOLQHRSHUDWRUVKRXOGDJUHHZLWKWKH
WUDPZD\RUUDLOZD\RSHUDWRUDVHWRIPLQLPXPGLVWDQFHVEHWZHHQWKHWUDFNVDQGDQ\SLSHZRUN

127(*HQHUDOO\UDLOZD\VUHTXLUHJUHDWHUFOHDUDQFHVWKDQWUDPZD\V

 ,QWHUIHUHQFHIURPHQYLURQPHQWDOKD]DUGV

6SHFLDOSUHFDXWLRQVVKDOOEHWDNHQWRSURWHFWWKHJDVVXSSO\V\VWHPDJDLQVWH[FHVVLYHVWUHVVHV:KHQJDV
VXSSO\V\VWHPVDUHLQVWDOOHGLQDUHDVVXEMHFWWRQDWXUDOKD]DUGVWKHV\VWHPVVKDOOEHGHVLJQHGVRDVWRDYRLGRU
OLPLWLQWHUIHUHQFHIURPWKHVHKD]DUGV

+D]DUGVZKLFKFDQUHTXLUHVSHFLDOSUHFDXWLRQVDUHOLVWHGDVEXWQRWOLPLWHGWRWKHIROORZLQJ

DUHDVRIXQVWDEOHJURXQGVXFKDVJURXQGZKHUHWKHUHKDVEHHQUHFHQWILOOHVSHFLDOO\ZLWKLQWKHODVWWZR
\HDUVJURXQGOLDEOHWRVXEVLGHQFHRUODQGVOLGHVOLS

DUHDVRIORRVHVDQGRUJUDYHO

JURXQGOLDEOHWRZDVKRXWRUIORRGLQJ

DUHDVZLWKVSHFLDOJURXQGZDWHUFRQGLWLRQVVXFKDVIUHVKZDWHURYHUVDOWZDWHURUZKHUHWKHEXR\DQF\
HIIHFWFDQOLIWWKHEXULHGPDLQ

DUHDVRINQRZQRUVXVSHFWHGDJJUHVVLYHJURXQG

 ,QWHUIHUHQFHIURPWUDIILF

:KHQDERYHJURXQGLQVWDOODWLRQVDUHH[SRVHGWRSRWHQWLDOGDPDJHE\YHKLFOHWUDIILFRURWKHUVLPLODUFDXVHVWKH
PDLQVDQGVHUYLFHVVKRXOGEHSURWHFWHGIURPDFFLGHQWDOGDPDJHE\GLVWDQFHORFDWLRQRUDGHTXDWHPHFKDQLFDO
PHDQV

 ,QWHUIHUHQFHIURPHOHFWULFDOKD]DUGV

&DUHVKRXOGEHWDNHQLQRUGHUWRDYRLGHOHFWULFDOLQWHUIHUHQFHIURPVWUD\RULQGXFHGFXUUHQWVOLJKWQLQJRUIURP
DUFLQJEHWZHHQPHWDOOLFSLSHZRUNDQGDQ\HOHFWULFDOFRQGXFWRUV

 6HUYLFHOLQHV

,QDGGLWLRQWRWKHUHTXLUHPHQWVRIFDUHIXOFRQVLGHUDWLRQVKRXOGEHJLYHQWRVHWWOHPHQWGLIIHUHQFHV

 3UHVVXUHUHJXODWLQJVWDWLRQVDQGLQVWDOODWLRQV

3UHVVXUHUHJXODWLQJVWDWLRQVVKDOOFRPSO\ZLWK(13UHVVXUHUHJXODWLRQLQVWDOODWLRQVVKDOOFRPSO\ZLWK
(1

7KHJDVVXSSO\V\VWHPVKDOOEHHTXLSSHGZLWKVXLWDEOHSUHVVXUHUHOLHYLQJDQGRUSUHVVXUHOLPLWLQJGHYLFHVWR
HQVXUHWKDWWKHSUHVVXUHGRHVQRWH[FHHG0,3

 0HDVXULQJVWDWLRQV

0HDVXULQJVWDWLRQVVKDOOFRPSO\ZLWK(1

 9DOYHV

,QGHWHUPLQLQJWKHORFDWLRQRIYDOYHVFRQVLGHUDWLRQVKDOOEHJLYHQWRWKHIROORZLQJIDFWRUV

RSHUDWLQJSUHVVXUH

SLSHOLQHPDWHULDO

SLSHOLQHGLDPHWHU

‹%6,
 3DJH
(1

WKHQHHGIRUYDOYHVIRURSHUDWLRQDOSXUSRVHV

WKHSRVLWLRQRIWKHQHDUHVWFRQQHFWHGSLSHOLQHDQG

WKHSRVLWLRQRIRWKHUYDOYHV

7KHQXPEHURIYDOYHVXVHGVKRXOGEHWKHPLQLPXPQHFHVVDU\WRHQVXUHDVDIHDQGFRQWLQXHGVXSSO\RIJDV

7KHUHVKRXOGEHHDV\DFFHVVIRUWKHRSHUDWLRQRIYDOYHV

 &RUURVLRQSURWHFWLRQ

3DVVLYHDQGDFWLYHV\VWHPVIRUFRUURVLRQSURWHFWLRQVKDOOFRQIRUPWRWKHDSSURSULDWHVWDQGDUGVDVGHWDLOHGLQ(1


%XULHGPDLQVDQGVHUYLFHVDQGWKHEXULHGVHFWLRQVRILQVWDOODWLRQSLSHZRUNPDGHRIVWHHOVKDOOEHSURWHFWHG
DJDLQVWH[WHUQDOFRUURVLRQ7KHPHWKRGVVKDOOEHSDVVLYHDQGZKHUHQHFHVVDU\DFWLYH

&RQWLQXRXVFRDWLQJVIRUSDVVLYHPHWKRGVVKDOOKDYHDGHTXDWHUHVLVWLYLW\DGKHUHQFHWRPHWDOLPSHUPHDELOLW\WR
ZDWHUDQGWRDLULQHUWQHVVLQUHODWLRQWRFKHPLFDODJHQWVLQWKHJURXQGSODVWLFLW\DQGPHFKDQLFDOUHVLVWDQFHDW
WKHWHPSHUDWXUHWRZKLFKWKH\ZLOOEHVXEMHFWHGGXULQJOD\LQJDQGRSHUDWLRQ

7KHSDVVLYHV\VWHPVKRXOGEHVHOHFWHGE\WKHSLSHOLQHRSHUDWRUWRPDWFKWKHH[SHFWHGOLIHWLPHRIWKHEXULHG
SLSHZRUN

:KHUHVWHHOSLSHVDUHSODFHGLQPHWDOFDVLQJVSUHFDXWLRQVDJDLQVWFRUURVLRQVKDOOEHWDNHQWRSURWHFWWKHSLSH
DQGLWVFDVLQJ6XLWDEOHSURWHFWLRQVKDOODOVREHJLYHQWRPHWDOOLFFDVLQJXVHGIRUSODVWLFSLSHV

6HFWLRQVRIPDLQVDQGVHUYLFHVPDGHRIVWHHOLQVWDOOHGLQWKHRSHQDLUVKDOOEHH[WHUQDOO\SURWHFWHG

(;$03/(%\SDLQWLQJHOHFWURSODWLQJFRDWLQJRUDQRWKHUDSSURSULDWHPHWKRG

6HFWLRQVRIPDLQVDQGVHUYLFHVPDGHRIVWHHOVKDOOEHHOHFWULFDOO\LQVXODWHGIURPDGMDFHQWPHWDOVWUXFWXUHVRU
ZRUNVH[FHSWZKHQHOHFWULFDOFRQQHFWLRQVDUHLQWHQGHGIRUWKHFRUURVLRQSURWHFWLRQV\VWHP

&DWKRGLFSURWHFWLRQVKDOOEHSURYLGHGIRUEXULHGPDLQVDQGVHUYLFHVPDGHRIVWHHOZKHUHVXFKSURWHFWLRQLV
FRQVLGHUHGQHFHVVDU\,WVSXUSRVHLVWRHQVXUHWKDWDWDOOWLPHVDQGDWDOOSRLQWVLQWKHPDLQVDQGVHUYLFHVWKH
SRWHQWLDOUHODWLYHWRWKHJURXQGZLOOEHVXIILFLHQWO\QHJDWLYHWRSURWHFWWKHJDVVXSSO\V\VWHPIURPFRUURVLRQ

7KHGHVLJQRIFDWKRGLFSURWHFWLRQV\VWHPVVKDOOWDNHDFFRXQWRIWKHHIIHFWVRISRVVLEOHVWUD\FXUUHQWVHVSHFLDOO\
IURPHOHFWULFUDLOZD\VDQGRWKHUVRXUFHV

:KHQ VWHHO RU RWKHU PHWDOOLF SLSHZRUN LV LQVWDOOHG FORVH WR DQ\ H[LVWLQJ FDWKRGLF SURWHFWLRQ V\VWHP RU LQ DQ
HQYLURQPHQWZKHUHVWUD\FXUUHQWVFDQRFFXUVSHFLDOFDUHVKDOOEHWDNHQLQRUGHUWRDYRLGHOHFWULFDOLQWHUIHUHQFH

127(,WLVEHQHILFLDOWROLDLVHZLWKWKHRSHUDWRUVRIDGMDFHQWFDWKRGLFSURWHFWLRQV\VWHPV

 /LPLWLQJHQYLURQPHQWDOLPSDFW

7KH FRQVWUXFWLRQ RI JDV VXSSO\ V\VWHPV VKRXOG EH RUJDQL]HG VR WKDW WKH LPSDFW RQ WKH HQYLURQPHQW GXULQJ
FRQVWUXFWLRQLVUHGXFHGWRWKHPLQLPXPSUDFWLFDEOHOHYHO

'XULQJWKHOD\LQJRIPDLQVDQGVHUYLFHVVSHFLDOSUHFDXWLRQVVKRXOGEHWDNHQWRPLQLPL]HWKHGLVWXUEDQFHWR
DGMDFHQWGUDLQDJHQHWZRUNVDQGRWKHUEXULHGLQVWDOODWLRQV

,QFRQYHQLHQFH WR URDG XVHUV FDXVHG E\ FRQVWUXFWLRQ PDLQWHQDQFH RU RSHUDWLRQ RI WKH V\VWHP VKRXOG EH
PLQLPL]HGE\DSSURSULDWHWHFKQLTXHV

(;$03/(%\WKHXVHRIWUHQFKOHVVWHFKQRORJ\

'XULQJFRQVWUXFWLRQDOOUHDVRQDEOHPHDVXUHVVKRXOGEHWDNHQWRDYRLGGDPDJHWRWUHHVDQGRWKHUYHJHWDWLRQ

$ERYHJURXQGSDUWVRIWKHJDVVXSSO\V\VWHPVXFKDVUHJXODWLQJDQGPHDVXULQJVWDWLRQVVKRXOGEHGHVLJQHGDQG

‹%6,
3DJH
(1

ORFDWHGLQRUGHUWRUHGXFHHQYLURQPHQWDOLPSDFWDVIDUDVUHDVRQDEO\SUDFWLFDEOH

7KHJDVVXSSO\V\VWHPHVSHFLDOO\WKHUHJXODWLQJDQGPHDVXULQJVWDWLRQVVKRXOGEHGHVLJQHGWRPLQLPL]HDVIDU
DVLVUHDVRQDEO\SUDFWLFDEOHWKHHPLWWHGQRLVHOHYHODQGHIIHFWVRQQHLJKERXUV

$OOXQZDQWHGPDWHULDOVRUZDVWHVKDOOEHGLVSRVHGRISURSHUO\

 7UDQVSRUWDWLRQVWRUDJHDQGKDQGOLQJRIPDWHULDOV

&DUHVKDOOEHWDNHQGXULQJWKHWUDQVSRUWKDQGOLQJDQGVWRUDJHRISLSHVILWWLQJVDQGRWKHULWHPVWRDYRLGGDPDJH
WRWKHPDWHULDOVDQGHQVXUHWKHVDIHW\RISHUVRQQHO

$WDOOVWDJHVGDPDJHDQGGLVWRUWLRQVWRWKHPDWHULDOVVKRXOGEHDYRLGHGDQGWKHHIIHFWVRIHQYLURQPHQWDOIDFWRUV
VKRXOGEHPLQLPL]HG$OOPDWHULDOVVKRXOGEHVWRUHGXQGHUDSSURSULDWHHQYLURQPHQWDOFRQGLWLRQVDQGVKDOOEH
XVHGZLWKLQDQ\VSHFLILHGFRQVWUDLQWV

(;$03/(([SLU\GDWHRU89GHJUDGDWLRQOLPLWV

)XOODWWHQWLRQVKDOODOVREHJLYHQWRWKHJHQHUDOVDIHW\RIDOOSHUVRQQHOPHPEHUVRIWKHSXEOLFDQGWRDGMDFHQW
SURSHUW\DWDOOWLPHVGXULQJKDQGOLQJRSHUDWLRQV

)RUVDIHW\UHDVRQVRQO\WKHFRUUHFWHTXLSPHQWVKDOOEHHPSOR\HGZKHUHPHFKDQLFDOKDQGOLQJLVQHFHVVDU\DQG
PDQXDO KDQGOLQJ VKDOO EH XQGHUWDNHQ E\ FRPSHWHQW SHUVRQV ZLWKLQ WKHLU ZHLJKW OLPLW FDSDELOLWLHV  +DQGOLQJ
HTXLSPHQWVKDOOEHYLVXDOO\FKHFNHGEHIRUHXVH

3DUWLFXODU GHWDLOV IRU WUDQVSRUWLQJ VWRULQJ DQG KDQGOLQJ WKH PDWHULDOV IRU HDFK NLQG RI V\VWHP DUH JLYHQ LQ
(1DQG(1

 &RQVWUXFWLRQ

 *HQHUDO

7KHVDIHW\RISHUVRQQHOHQJDJHGRQJDVVXSSO\ZRUNVDQGRIPHPEHUVRIWKHSXEOLFVKDOOEHHQVXUHGGXULQJWKH
ZKROHSHULRGRIWKHZRUNV&RQVLGHUDWLRQVVKDOOEHJLYHQWRWKHQHHGVRIWKHHOGHUO\RUGLVDEOHG

$IWHUWUDQVSRUWVWRUDJHDQGKDQGOLQJDQGEHIRUHDVVHPEO\RQVLWHWKHFRQGLWLRQRISLSHVWKHLUFRDWLQJVDQG
ILWWLQJVVKDOOEHFKHFNHG%HIRUHDVVHPEO\DQGOD\LQJDOOSLSHVDQGILWWLQJVVKDOODOVREHFKHFNHGIRUXQZDQWHG
REVWUXFWLRQVRUEORFNDJHV

0DLQVDQGVHUYLFHVOLQHVVKDOOEHODLGRQO\E\FRPSHWHQWSHUVRQVXVLQJWKHDSSURSULDWHHTXLSPHQWQHFHVVDU\WR
FRPSOHWHWKHZRUNLQFRQIRUPDQFHZLWKWKHUHOHYDQWVWDQGDUGV

:KHQLQVWDOOLQJEXULHGPDLQVDQGVHUYLFHOLQHVWKHGHSWKWRZKLFKWKHVHPDLQVDQGVHUYLFHOLQHVVKRXOGEHODLG
ZLOOGHSHQGXSRQDQXPEHURIIDFWRUV7KHVHIDFWRUVLQFOXGHEXWDUHQRWOLPLWHGWRWKHIROORZLQJ

FOLPDWLFFRQGLWLRQV

IDPLO\RIJDV

WKHSRVVLELOLW\RIWKLUGSDUW\LQWHUIHUHQFH

QDWXUHRIVRLO

ORFDWLRQRIRWKHUEXULHGSODQW

ORFDWLRQRIRWKHUEXULHGREVWDFOHV

WUDIILFORDGLQJV

OD\LQJWHFKQLTXHV

023

‹%6,
 3DJH
(1

,Q FHUWDLQ FRQGLWLRQV LW LV QRW SRVVLEOH WR PDLQWDLQ WKH QRUPDOO\ DFFHSWHG EXULDO GHSWK LQ WKHVH FRQGLWLRQV
DGGLWLRQDOSURWHFWLYHPHDVXUHVVKRXOGEHFRQVLGHUHG

7KHWUHQFKERWWRPVKDOOEHIUHHRIDQ\VKDUSREMHFWVOLDEOHWRGDPDJHWKHSLSHRULWVH[WHUQDOFRDWLQJ,IWKLVLV
QRWSRVVLEOHWKHSLSHVKDOOEHSURWHFWHGE\VXLWDEOHPHDQVVXFKDVVWRQHGXVWVDQGRUPHFKDQLFDOSURWHFWLRQ
([FDYDWLRQVFUHDWHGLQWKHSURFHVVRIFRQVWUXFWLQJJDVVXSSO\V\VWHPVVKDOOEHVXLWDEO\EDFNILOOHGDQGVXUIDFH
IHDWXUHVVXFKDVURDGVDQGIRRWZD\VVKRXOGEHUHLQVWDWHGDFFRUGLQJWRORFDOUHTXLUHPHQWV

'XULQJOD\LQJDQGEHIRUHEDFNILOOLQJWKHSLSHZRUNDQGDQ\SURWHFWLYHFRDWLQJVVKDOOEHFKHFNHGIRUGHIHFWVDQG
UHSDLUHGDVQHFHVVDU\

(;$03/(/RFDOGHIRUPDWLRQVZRUQVSRWVFXWVDQGVFUDWFKHV

&RQQHFWLRQVWRH[LVWLQJV\VWHPV

&KHFNVVKRXOGEHFDUULHGRXWWRLGHQWLI\WKHSDUWRIWKHH[LVWLQJV\VWHPWRZKLFKWKHFRQQHFWLRQLVLQWHQGHGWREH
PDGH

:KHQFRQQHFWLQJQHZSLSHZRUNWRDQH[LVWLQJJDVVXSSO\V\VWHPWKHUHVXOWDQW023VKDOOEHOLPLWHGWRWKDWRI
WKHORZHVWUDWHGSDUW

7KHFRQQHFWLRQRIQHZWRH[LVWLQJJDVVXSSO\V\VWHPVVKDOOEHSODQQHGDQGEXLOWLQDPDQQHUWKDWHQVXUHVWKH
VDIHW\DQGFRQWLQXLW\RIJDVVXSSO\DQGWKHVDIHFDUU\LQJRXWRIWKHLQWHQGHGZRUN7KLVVKDOOLQFOXGHPHDVXUHV
WR PLQLPL]H WKH HVFDSH RI JDV SURYLGH VXLWDEOH UHVSLUDWRU\ DQG RWKHU VDIHW\ HTXLSPHQW IRU SHUVRQQHO DQG
PHDVXUHVIRUPLQLPL]LQJWKHULVNRILJQLWLRQDQGWKHFRQWURORIILUHVVKRXOGWKH\RFFXU

7KH GHVLJQ DQG FRQVWUXFWLRQ RI WKH FRQQHFWLRQ VKDOO FRQVLGHU DQ\ VSHFLDO UHTXLUHPHQWV RI WKH H[LVWLQJ SLSH
PDWHULDOV

6SHFLILFSUHFDXWLRQVIRUJDVVXSSO\V\VWHPVLQWKHEDVLFPDWHULDOVDUHJLYHQLQ(1(1DQG(1


(;$03/(&RQWUROOLQJWKHGLVFKDUJHRIDQ\VWDWLFHOHFWULFLW\IURPSRO\HWKHOHQH

(;$03/(7KHQHHGIRUHOHFWULFDOFRQWLQXLW\ZKHQVWHHOSLSHVDUHMRLQWHGRUVHSDUDWHG

(;$03/(7KHQHHGIRUHOHFWULFDOLQVXODWLRQEHWZHHQVWHHOSLSHVDQGFDVWLURQSLSHV

:KHQFRQQHFWLQJDQHZV\VWHPWRDQH[LVWLQJV\VWHPFRQVLGHUDWLRQVKDOOEHJLYHQWRWKHSUHYHQWLRQRIXQGXH
IRUFHVRQHLWKHUV\VWHP7KLVFDQEHDFKLHYHGE\WKHDGGLWLRQRIDQFKRUEORFNVRUMRLQWVZKLFKSURYLGHIOH[LELOLW\

 3UHVVXUHWHVWLQJ

7KHSLSHOLQHRSHUDWRUVVKDOOEHUHVSRQVLEOHIRUHQVXULQJWKDWWKHV\VWHPEHLQJRSHUDWHGKDVXQGHUJRQHVXLWDEOH
SUHVVXUHWHVWLQJSULRUWRFRPPLVVLRQLQJ

3UHVVXUHWHVWLQJSURFHGXUHVWRSURYHWKHLQWHJULW\RIPDLQVDQGVHUYLFHOLQHVVKDOOEHVHOHFWHGE\WKHSLSHOLQH
RSHUDWRUIURP(1ZLWKOHYHOVRIWHVWSUHVVXUHDSSURSULDWHWRWKHSLSHVL]HPDWHULDOVYROXPHXQGHUWHVW
DQG023

7KHVWUHQJWKWHVWDQGWKHWLJKWQHVVWHVWFDQEHSHUIRUPHGDVDFRPELQHGWHVWZLWK&73HTXDOWR673

3UHVVXUHWHVWLQJVKDOOEHXQGHUWDNHQE\FRPSHWHQWSHUVRQVZKRFDQDOVREHVSHFLILFDOO\DXWKRUL]HGE\WKH
SLSHOLQHRSHUDWRUDQGRUFRPSHWHQWDXWKRULW\LHV

&RQVLGHUDWLRQVKDOOEHJLYHQWRWKHQHHGIRUDQ\VSHFLDOSUHFDXWLRQVWREHWDNHQWRSURWHFWSHUVRQVDQGSURSHUW\
LIDLURULQHUWJDVLVXVHGDVWKHWHVWPHGLXP

:KHUHSUHVVXUHWHVWLQJLVXQGHUWDNHQRUZLWQHVVHGE\DWKLUGSDUW\FRQILUPDWLRQVKDOOEHSURYLGHGWRVKRZWKDW
WKHVHFWLRQRIJDVVXSSO\V\VWHPFRQFHUQHGKDVEHHQODLGDFFRUGLQJWRWKHUHOHYDQWVWDQGDUGVDQGRUFRGHVRI
SUDFWLFH

5HFRUGVRISUHVVXUHWHVWVVKDOOEHNHSWGHWDLOLQJWKHGDWHDQGUHVXOWV

‹%6,
3DJH
(1

 &RPPLVVLRQLQJDQGGHFRPPLVVLRQLQJ

7KHV\VWHPVVKDOOEHFRPPLVVLRQHGDQGGHFRPPLVVLRQHGLQDFFRUGDQFHZLWK(1$SSURSULDWHSURFHGXUHV
VKDOOEHVHOHFWHGWRFRPPLVVLRQRUGHFRPPLVVLRQPDLQVRUVHUYLFHOLQHVVDIHO\KDYLQJUHJDUGWRWKHLUSUHVVXUH
UDQJHYROXPHDQGWKHGHJUHHRIEUDQFKLQJLQWKHSLSHZRUNDQGWRWKHIDPLO\RIJDV7KHVHZRUNVDQGRSHUDWLRQV
VKDOOEHFDUHIXOO\SODQQHG,IQHFHVVDU\DZULWWHQSURFHGXUHWRJHWKHUZLWKDSODQRIVDIHZRUNVKDOOEHSUHSDUHG

$OOFRPPLVVLRQLQJDQGGHFRPPLVVLRQLQJVKDOOEHXQGHUWDNHQE\FRPSHWHQWSHUVRQVDXWKRUL]HGE\WKHSLSHOLQH
RSHUDWRUDQGDSSURYDOJLYHQIRUWKHXVHRIWKHPDLQWRVXSSO\JDV

127(7KHVHGXWLHVFDQEHXQGHUWDNHQE\SHUVRQQHORIWKHSLSHOLQHRSHUDWRURURWKHUSHUVRQVDFFRUGLQJ
WRORFDOUXOHV

$OO UHDVRQDEOH VWHSV VKRXOG EH WDNHQ E\ WKH SLSHOLQH RSHUDWRU WR HQVXUH WKDW DQ\ HQG XVHU DIIHFWHG E\
FRPPLVVLRQLQJRUGHFRPPLVVLRQLQJKDVEHHQQRWLILHGSULRUWRWKHZRUN

 2SHUDWLRQVXUYH\DQGPDLQWHQDQFH

 *HQHUDO

&RQVLGHUDWLRQVKRXOGEHJLYHQWRWKHLQVWDOODWLRQRIGHYLFHVWRUHFRUGWKHJDVSUHVVXUHDWDSSURSULDWHSODFHVLQ
WKHJDVVXSSO\V\VWHP

7KHSLSHOLQHRSHUDWRUVKRXOGHQVXUHWKHUHTXLUHGRGRUL]DWLRQOHYHORIWKHJDVWKHV\VWHPSUHVVXUHDQGWKHVDIHW\
RIWKHJDVVXSSO\V\VWHPLVPDLQWDLQHGE\VXLWDEOHPHDQV

 5HFRUGV\VWHPDQGWUDFHDELOLW\

7KHSLSHOLQHRSHUDWRUVKDOOHVWDEOLVKDUHFRUGV\VWHPIRUWKHLQVWDOOHGPDLQVDQGNHHSLWXSWRGDWHWKURXJKRXW
WKHLUSHULRGRIRSHUDWLRQ7KHV\VWHPPD\FRPSULVHEXWQRWEHOLPLWHGWRWKHIROORZLQJLQIRUPDWLRQ

*DVIDPLO\

LQLWLDOFRQVWUXFWLRQWHVWLQJDQGFRPPLVVLRQLQJGDWD

WKHURXWH

DQ\UHOHYDQWULJKWVRIZD\RUDFFHVVGHWDLOV

QRQVWDQGDUGGHSWKVRIEXULDORIWKHPDLQVORFDOO\

WKHSLSHOLQHFKDUDFWHULVWLFVYDOYHVDQGSUHVVXUHUHJXODWLQJVWDWLRQV

V\SKRQVDQGRWKHUGHYLFHVLQWHJUDWHGLQWRWKHV\VWHPIRURSHUDWLRQDQGPDLQWHQDQFH

1HFHVVDU\GDWDWRORFDWHSODQWVKRXOGEHPDGHDYDLODEOHWRLQWHUHVWHGSXEOLFXWLOLWLHVRUORFDODXWKRULWLHV

7KHSLSHOLQHRSHUDWRUVKDOOKDYHDPHDQVRIORFDWLQJWKHVHUYLFHOLQHV

 2SHUDWLRQFHQWUHV

,QRUGHUWRHQVXUHWKHVDIHW\DQGFRQWLQXLW\RIRSHUDWLRQWKHSLSHOLQHRSHUDWRUVKDOOHVWDEOLVKDFRQWLQXRXVIDFLOLW\
IRU WKH FRQWURO DQG VXSHUYLVLRQ RI KLV QHWZRUN  7KH SLSHOLQH RSHUDWRU VKDOO LQIRUP DQ\ UHOHYDQW FRPSHWHQW
DXWKRULW\LHVRIWKHDUUDQJHPHQWVLQSODFHIRUFRQWDFWLQJWKLVRSHUDWLRQFHQWUH

7KHRSHUDWLRQFHQWUHVKDOOKDYHVXIILFLHQWWHOHFRPPXQLFDWLRQVWRQRWLI\WKHSLSHOLQHRSHUDWRU
VRZQSHUVRQQHODQG
LIUHTXLUHGWKHSXEOLFHPHUJHQF\VHUYLFHVLQWKHHYHQWRIDQHPHUJHQF\DQGWKHUHE\HQDEOHWKHQHFHVVDU\VDIHW\
PHDVXUHVWREHWDNHQLQWKHVKRUWHVWSUDFWLFDEOHWLPH7KHSLSHOLQHRSHUDWRUVKDOOEHLQDSRVLWLRQWRVXSSO\DQ\
UHOHYDQWFRPSHWHQWDXWKRULW\LHVZLWKDOOLQIRUPDWLRQFRQFHUQLQJWKHPHDVXUHVWDNHQDQGWKHPHDQVHPSOR\HG
WRHQVXUHVDIHW\LQWKHHYHQWRIDQRSHUDWLRQDOLQFLGHQW

‹%6,
 3DJH
(1

 3LSHOLQHRSHUDWRU
VZRUN

:KHQZRUNLVSODQQHGRQJDVVXSSO\V\VWHPVWKHUHVKRXOGEHFRPPXQLFDWLRQZLWKWKHRSHUDWRUVRIRWKHUSODQW
DQGRWKHUUHOHYDQWRUJDQL]DWLRQVZLWKLQWHUHVWVQHDUWKHJDVVXSSO\V\VWHP5HOHYDQWLQIRUPDWLRQVKRXOGEH
FROOHFWHGWRSODQWKHLQWHQGHGZRUN3HUVRQQHOXQGHUWDNLQJWKHZRUNRQVLWHVKDOOEHSURYLGHGZLWKUHOHYDQW
GHWDLOVRIDGMDFHQWSODQWWRJHWKHUZLWKDQ\VSHFLILFVDIHW\DGYLFHWRSURWHFWLWLQFOXGLQJWHOHSKRQHQXPEHUVIRU
HPHUJHQF\FDOOVZKHUHDSSURSULDWH

7KHKHDOWKDQGVDIHW\RISHUVRQQHODQGWKHSXEOLFVKDOOEHVDIHJXDUGHGGXULQJWKHFRXUVHRIWKHZRUNDFFRUGLQJ
WRUHTXLUHPHQWVZLWKLQWKHPHPEHUFRXQWULHV

:KHUHLQWHQGHGZRUNZLOOLQWHUUXSWWKHJDVVXSSO\WKHSLSHOLQHRSHUDWRUVKRXOGPDNHDGHTXDWHSURYLVLRQWRLQIRUP
WKHFRQVXPHUVDIIHFWHG+HVKDOOPDNHWKHDGHTXDWHSURYLVLRQWRHQVXUHVDIHW\GXULQJWKHDEVHQFHRIJDVDQG
WKHUHVWRUDWLRQRIQRUPDOVXSSOLHV

'XHUHJDUGVKDOOEHJLYHQWRWUDIILFXVLQJWKHVWUHHWFRQFHUQHGDQGLWVLQIOXHQFHRQWKHWLPLQJRIWKHLQWHQGHGZRUN
1RWLILFDWLRQRIWKHLQWHQWLRQWRXQGHUWDNHZRUNVKDOOEHJLYHQIRULWVYDULRXVVWDJHVIURPSODQQLQJWRFRPSOHWLRQ
DFFRUGLQJWRUHTXLUHPHQWVZLWKLQWKHPHPEHUFRXQWULHVRUWKHORFDODXWKRULW\FRQFHUQHG

 7KLUGSDUW\ZRUN

,QDFFRUGDQFHZLWKWKHOHJDOUHTXLUHPHQWRIWKHPHPEHUFRXQWU\WKLUGSDUWLHVVKDOOQRWLI\WKHSLSHOLQHRSHUDWRU
LQDGYDQFHRIDQ\SURSRVHGZRUNWKDWFDQDIIHFWWKHJDVVXSSO\V\VWHPV$GYDQFHQRWLFHVKDOOEHJLYHQDVHDUO\
DVSRVVLEOHEXWDWOHDVWZLWKLQDQ\VWDWXWRU\WLPHOLPLW'XHQRWLFHZLWKLQDQ\VWDWXWRU\WLPHOLPLWVVKDOODOVREH
JLYHQIRUWKHDFWXDOFRPPHQFHPHQWRIWKHZRUN

7KHSLSHOLQHRSHUDWRUVKDOOLIUHTXHVWHGSURYLGHWKLUGSDUWLHVVXFKDVVWDWXWRU\XWLOLWLHVKLJKZD\DXWKRULWLHVRU
FRQWUDFWRUVZLWKLQIRUPDWLRQRQWKHORFDWLRQRIPDLQVVHUYLFHOLQHVZKHUHDSSOLFDEOHDQGDQ\UHOHYDQWHTXLSPHQW
7KHWKLUGSDUW\XQGHUWDNLQJH[FDYDWLRQRURWKHUZRUNVKDOOPDNHIXOOXVHRIWKLVLQIRUPDWLRQLQRUGHUWRVDIHJXDUG
WKHJDVVXSSO\V\VWHP:RUNPD\RQO\VWDUWDIWHUFRQVXOWLQJWKHSODQWRSHUDWRURQVDIHZRUNLQJPHWKRGVLQWKH
YLFLQLW\RIWKHJDVVXSSO\V\VWHP3LSHOLQHRSHUDWRUVVKRXOGPDNHFOHDUWRWKLUGSDUWLHVDQ\WLPHYDOLGLW\RIWKH
LQIRUPDWLRQJLYHQDQGDGYLVHWKHPWRFKHFNLIWKHLQWHQGHGZRUNLVWRFRPPHQFHDIWHUWKHYDOLGLW\GDWH

(;$03/(0DQXDOH[FDYDWLRQVZLWKLQDVDIHW\SURILOHRIWKHV\VWHP

'HWDLOV RI HPHUJHQF\ WHOHSKRQHFRQWDFWV VKRXOG EH PDGH DYDLODEOH WR WKH WKLUG SDUW\  :KHQ FRQVLGHUHG
QHFHVVDU\WKHSLSHOLQHRSHUDWRUPD\LQVSHFWNQRZQZRUNXQGHUWDNHQLQWKHYLFLQLW\RIKLVSODQWWRPRQLWRUWKDWWKH
ZRUNLVEHLQJXQGHUWDNHQVDIHO\DFFRUGLQJWRDQ\DJUHHGSURFHGXUHV

 /HDNDJHVXUYH\VDQGSXEOLFUHSRUWHGJDVHVFDSHV

7KHSLSHOLQHRSHUDWRUVKDOORUJDQL]HV\VWHPDWLFDQGSHULRGLFOHDNVXUYH\E\FRPSHWHQWSHUVRQVXVLQJDVXLWDEOH
PHWKRG

7KHIUHTXHQF\RIWKHVHVXUYH\VVKRXOGZKHUHDSSOLFDEOHGHSHQGXSRQWKHIROORZLQJIDFWRUV

WKHFKDUDFWHULVWLFVDQGDJHRIWKHUHOHYDQWSDUWRIWKHJDVVXSSO\V\VWHP

WKHSUHVHQFHRIZRUNFDUULHGRXWE\WKLUGSDUWLHV

WKHGHQVLW\RISRSXODWLRQ

WKHKLVWRU\RIOHDNDJHLQWKHJDVVXSSO\V\VWHP

WKHQDWXUHRIWKHJURXQGDQGLQIOXHQFHVUHODWHGWRZHDWKHU

WKHORFDWLRQLQH[SRVHGSRVLWLRQV

$SURFHGXUHIRUFODVVLI\LQJOHDNVGHWHFWHGE\VXUYH\VKDOOEHIROORZHGWRUDQNWKHLQGLFDWLRQVLQVHYHULW\IRU
DSSURSULDWHSULRULW\RIUHSDLUDFWLRQV

‹%6,
3DJH
(1

7KHFODVVLILFDWLRQSURFHGXUHVKRXOGWDNHDFFRXQWRIEXWQRWEHOLPLWHGWRWKHIROORZLQJIDFWRUV

WKHFKDUDFWHULVWLFVRIWKHIDPLO\RIWKHJDVVXSSOLHG

WKHRSHUDWLQJSUHVVXUHRIWKHJDVVXSSO\V\VWHP

WKHSK\VLFDOLQGLFDWLRQVRIOHDNDJH

WKHSUR[LPLW\RIWKHPDLQDQGWKHOHDNWRSURSHUW\

WKHW\SHRISURSHUW\FRQFHUQHGLQFOXGLQJLWVRFFXSDQF\

$SURFHGXUHVKDOODOVREHHVWDEOLVKHGIRUUHVSRQGLQJWRUHSRUWVRIHVFDSLQJJDVE\PHPEHUVRIWKHSXEOLF

 5HSDLUDQGPDLQWHQDQFH

,QRUGHUWRHQVXUHVDIHW\DQGFRQWLQXLW\RIRSHUDWLRQWKHSLSHOLQHRSHUDWRUVKDOORUJDQL]HDUHSDLUDQGPDLQWHQDQFH
VHUYLFHIRUDOOQHFHVVDU\UHSDLUVWRPDNHWKHJDVVXSSO\V\VWHPVDIH

7KH SLSHOLQH RSHUDWRU VKDOO WDNH WKH DFWLRQV QHFHVVDU\ WR VDIHJXDUG OLIH DQG SURSHUW\ GXULQJ UHSDLU DQG
PDLQWHQDQFH

7KHFDWKRGLFSURWHFWLRQVKDOOEHFKHFNHGUHJXODUO\LQFOXGLQJDYLVLWWRWKHSURWHFWLRQHTXLSPHQWDQGDFKHFNRI
WKHIUHHSRWHQWLDORIWKHSURWHFWHGJDVVXSSO\V\VWHP

 (PHUJHQF\UHFRUGV\VWHP

7KHSLSHOLQHRSHUDWRUVKDOOHVWDEOLVKDV\VWHPIRUUHFRUGLQJVLJQLILFDQWLQFLGHQWVRUGDQJHURXVRFFXUUHQFHV

7KHUHFRUGVKDOOEHDFFHVVLEOHWRWKHFRPSHWHQWDXWKRULW\7KHIROORZLQJLQIRUPDWLRQVKRXOGEHUHFRUGHGDVD
PLQLPXP

WKHNLQGRILQFLGHQW

WKHGDWHDQGSODFHZKHUHWKHLQFLGHQWRFFXUUHG

WKHFLUFXPVWDQFHVOHDGLQJWRWKHLQFLGHQW

WKHHIIHFWRIWKHLQFLGHQWDQG

WKHPHDVXUHVWDNHQWRGHDOZLWKWKHLQFLGHQWDQGUHVWRUHVDIHFRQGLWLRQV

,QGHSHQGHQWO\RIDQ\RWKHUDUUDQJHPHQWWKHSLSHOLQHRSHUDWRUVKDOOLQIRUPZLWKRXWGHOD\RWKHUFRQFHVVLRQDLUHV
SXEOLF XWLOLWLHV RU WKH HPHUJHQF\ VHUYLFHV FRQFHUQHG RI DQ\ NQRZOHGJH RI GDPDJH DGMDFHQW WR JDV VXSSO\
V\VWHPVWKDWFDQFRPSURPL]HWKHVDIHW\RISHUVRQVRUSURSHUW\HLWKHUGLUHFWO\RULQGLUHFWO\

 (PHUJHQF\SODQRULQWHUYHQWLRQSODQ

7KHSLSHOLQHRSHUDWRUVKDOOHVWDEOLVKWHVWDQGXSGDWHLQWHUQDOHPHUJHQF\LQWHUYHQWLRQSODQVWRGHDOZLWKLQFLGHQWV
WKDWPLJKWDULVHLQVXSSO\LQJJDV7KHSODQVVKDOOSURYLGHWKHIROORZLQJLQIRUPDWLRQ

SDUWLHVUHVSRQVLEOHIRUVHWWLQJLQWHUYHQWLRQSURFHGXUHVLQPRWLRQDQGWKHSDUWLHVUHVSRQVLEOHIRUWDNLQJ
FKDUJHRIDQGFRRUGLQDWLQJVLWHDFWLRQV

WKHIDPLO\RIWKHJDV

WKHVXUYHLOODQFHDQGDODUPIDFLOLWLHVIRUWKHJDVVXSSO\V\VWHPFRQFHUQHG

WKHDUUDQJHPHQWVDWWKHRSHUDWLRQFHQWUHIRUUHFHLYLQJHDUO\ZDUQLQJVRILQFLGHQWVDQGIRUDOHUWDQGFDOO
RXWSURFHGXUHV

‹%6,
 3DJH
(1

WKHQDPHVRIWKHORFDODQGRUQDWLRQDODXWKRULWLHVLQFKDUJHRIFRRUGLQDWLQJDFWLRQV

DUUDQJHPHQWVIRUFRRUGLQDWLQJWKHUHVRXUFHVQHFHVVDU\WRLPSOHPHQWWKHLQWHUYHQWLRQSODQ

WKHDYDLODELOLW\RIFRPSHWHQWSHUVRQVDQGHTXLSPHQWIRULQWHUYHQWLRQDFFRUGLQJWRWKHQDWXUHDQGVFDOH
RIWKHLQFLGHQWDQGWKHIDPLO\RIJDVVXSSOLHGDQG

WKHDYDLODELOLW\RIPDSSLQJGDWDRQGLIIHUHQWVFDOHVZKHUHQHFHVVDU\

7KHHPHUJHQF\SODQVKDOODOVRKDYHDODWHUSKDVHZKHUHWKHFLUFXPVWDQFHVDQGFDXVHRIWKHLQFLGHQWDUHVWXGLHG
,PSURYHPHQWVLGHQWLILHGDWWKLVSKDVHWRDQ\DVSHFWVRIJDVVXSSO\VKDOOEHPDGHWRSUHYHQWUHFXUUHQFH7KH
SLSHOLQHRSHUDWRUVKDOOLPSOHPHQWWKHSODQZLWKWKHFRPSHWHQWSHUVRQVLQYROYHGDQGNHHSWKHPLQIRUPHGRI
DPHQGPHQWV

‹%6,