You are on page 1of 16



&KDSWHU$

&KDSWHU

6\PEROVDQGVWDQGDUGVLQSQHXPDWLFV

)HVWR'LGDFWLF•73

&KDSWHU$

 6\PEROVDQGGHVFULSWLRQVRIFRPSRQHQWV

7KH GHYHORSPHQW RI SQHXPDWLF V\VWHPV LV DVVLVWHG E\ D XQLIRUP DS
SURDFKWRWKHUHSUHVHQWDWLRQRIWKHHOHPHQWVDQGWKHFLUFXLWV7KHV\P
EROVXVHGIRUWKHLQGLYLGXDOHOHPHQWVPXVWGLVSOD\WKHIROORZLQJFKDUDF
WHULVWLFV
 $FWXDWLRQDQGUHWXUQDFWXDWLRQPHWKRGV
 1XPEHURIFRQQHFWLRQV DOOODEHOOHGIRULGHQWLILFDWLRQ
 1XPEHURIVZLWFKLQJSRVLWLRQV
 *HQHUDORSHUDWLQJSULQFLSOH
 6LPSOLILHGUHSUHVHQWDWLRQRIWKHIORZSDWK

7KHWHFKQLFDOFRQVWUXFWLRQRIWKHFRPSRQHQWLVQRWWDNHQLQWRDFFRXQWLQ
WKHDEVWUDFWV\PEROIRUP
7KHV\PEROVXVHGLQSQHXPDWLFVDUHGHWDLOHG LQ WKH VWDQGDUG ',1 ,62
&LUFXLWV\PEROVIRUIOXLGLFHTXLSPHQWDQGV\VWHPV
7KH UHOHYDQW VWDQGDUGV IRU WKH FRQVWUXFWLRQ WHVWLQJ DQG GHVLJQ RI
SQHXPDWLF FRQWURO V\VWHPV DUH OLVWHG LQ WKH UHIHUHQFH VHFWLRQ RI WKLV
ERRN


73•)HVWR'LGDFWLF

&KDSWHU$


7KHV\PEROVIRUWKHHQHUJ\VXSSO\V\VWHPFDQEHUHSUHVHQWHGDVLQGL $LUVXSSO\DQG
YLGXDOHOHPHQWVRUDVFRPELQHGHOHPHQWV,IDVWDQGDUGDQGFRPPRQDLU JHQHUDWLRQ
VXSSO\ LV XVHG IRU DOO FRPSRQHQWV WKHQ WKH VLPSOLILHG V\PEROV FDQ EH
XVHG

)LJ
6\PEROVXVHGLQHQHUJ\
FRQYHUVLRQDQGSUHSDUDWLRQ

)HVWR'LGDFWLF•73

&KDSWHU$


 LJ
)
'LUHFWLRQDOFRQWUROYDOYHV
V\PEROGHYHORSPHQW




73•)HVWR'LGDFWLF

&KDSWHU$


7KHGLUHFWLRQDOFRQWUROYDOYHLVUHSUHVHQWHGE\WKHQXPEHURIFRQWUROOHG '
 LUHFWLRQDO
FRQQHFWLRQVWKHQXPEHURISRVLWLRQVDQGWKHIORZSDWK,QRUGHUWRDYRLG FRQWUROYDOYHV
IDXOW\FRQQHFWLRQVDOOWKHLQSXWVDQGRXWSXWVRIDYDOYHDUHLGHQWLILHG

)LJ
'LUHFWLRQDOFRQWUROYDOYHV
SRUWVDQGSRVLWLRQV ZD\V




)HVWR'LGDFWLF•73

&KDSWHU$

$QXPEHULQJV\VWHPLVXVHGWRGHVLJQDWHGLUHFWLRQDOFRQWUROYDOYHVDQG
LV LQ DFFRUGDQFH ZLWK ',1 ,62  3ULRU WR WKLV D OHWWHULQJ V\VWHP
ZDVXWLOLVHGDQGERWKV\VWHPVRIGHVLJQDWLRQDUHSUHVHQWHGKHUH

:RUNLQJOLQHV ,62 /HWWHULQJ6\VWHP 3RUWRU&RQQHFWLRQ
  3 3UHVVXUHSRUW
  $% :RUNLQJOLQHV

  56 ([KDXVWSRUWV


  

3LORWOLQHV  = $SSOLHGVLJQDOLQKLELWVIORZIURPSRUWWRSRUW
 <= $SSOLHGVLJQDOFRQQHFWVSRUWWRSRUW
 = $SSOLHGVLJQDOFRQQHFWVSRUWWRSRUW
 3] $X[LOLDU\SLORWDLU

1RWH ,QWKLVERRNDOOFRQQHFWLRQVDUHLGHQWLILHGE\PHDQVRIQXPEHUV

)LJ
([DPSOHVRIGHVLJQDWLRQV




73•)HVWR'LGDFWLF

&KDSWHU$


7KHPHWKRGVRIDFWXDWLRQRISQHXPDWLFGLUHFWLRQDOFRQWUROYDOYHVLVGH 0
 HWKRGVRIDFWXDWLRQ
SHQGHQWXSRQWKHUHTXLUHPHQWVRIWKHWDVN7KHW\SHVRIDFWXDWLRQYDU\
HJ
 PDQXDOO\DFWXDWHG
 PHFKDQLFDOO\DFWXDWHG
 SQHXPDWLFDOO\DFWXDWHG
 HOHFWULFDODQG
 FRPELQHGDFWXDWLRQ

7KHV\PEROVIRUWKHPHWKRGVRIDFWXDWLRQDUHGHWDLOHGLQ',1,62
:KHQDSSOLHGWRDGLUHFWLRQDOFRQWUROYDOYHFRQVLGHUDWLRQPXVWEHJLYHQ
WR WKH PHWKRG RI LQLWLDO DFWXDWLRQ RI WKH YDOYH DQG DOVR WKH PHWKRG RI
UHWXUQ DFWXDWLRQ 1RUPDOO\ WKHVH DUH WZR VHSDUDWH PHWKRGV 7KH\ DUH
ERWKVKRZQRQWKHV\PEROHLWKHUVLGHRIWKHSRVLWLRQER[HV7KHUHPD\
DOVR EH DGGLWLRQDO PHWKRGV RI DFWXDWLRQ VXFK DV PDQXDO RYHUULGHV
ZKLFKDUHVHSDUDWHO\LQGLFDWHG


)HVWR'LGDFWLF•73

&KDSWHU$


 LJ
)
0HWKRGVRIDFWXDWLRQ




73•)HVWR'LGDFWLF

&KDSWHU$


7KHQRQUHWXUQYDOYH FKHFN YDOYH  LV WKH EDVLV IRU WKH GHYHORSPHQW RI 1
 RQUHWXUQYDOYHV
PDQ\ FRPELQHG FRPSRQHQWV 7KHUH DUH WZR PDLQ FRQILJXUDWLRQV IRU DQGGHULYDWLYHV
QRQUHWXUQYDOYHVZLWKDQGZLWKRXWWKHVSULQJUHWXUQ,QRUGHUWRUHOHDVH
IORZ WKH SUHVVXUH IRUFH RQ WKH VSULQJ UHWXUQ GHVLJQ PXVW EH JUHDWHU
WKDQWKHVSULQJIRUFH

)LJ
1RQUHWXUQYDOYHV
DQGGHULYDWLYHV



0RVW IORZ FRQWURO YDOYHV DUH DGMXVWDEOH DQG SHUPLW IORZ FRQWURO LQ ERWK )ORZFRQWUROYDOYHV
GLUHFWLRQV7KHDUURZVKRZVWKDWWKHFRPSRQHQWLVDGMXVWDEOHEXWGRHV
QRWUHIHUWRWKHGLUHFWLRQRIIORZLWLVGLDJUDPPDWLFRQO\,QWKHFDVHRI
WKHRQHZD\IORZFRQWUROYDOYHDQRQUHWXUQYDOYHLVVZLWFKHGLQSDUDOOHO
ZLWKWKHIORZFRQWUROYDOYH)ORZFRQWUROLVHIIHFWHGLQRQHGLUHFWLRQRQO\

)LJ
)ORZFRQWUROYDOYHV




)HVWR'LGDFWLF•73

&KDSWHU$


3UHVVXUHYDOYHV 7KHIXQFWLRQRISUHVVXUHYDOYHVLVWRLQIOXHQFHWKHSUHVVXUHLQDQRYHUDOO
SQHXPDWLFV\VWHPRULQDSDUWRIWKHV\VWHP3UHVVXUHUHJXODWLQJYDOYHV
DUH JHQHUDOO\ DGMXVWDEOH DJDLQVW VSULQJ FRPSUHVVLRQ 7KH V\PEROV DUH
GLVWLQJXLVKHGDFFRUGLQJWRWKHIROORZLQJW\SHV
 3UHVVXUHUHJXODWLQJYDOYHZLWKRXWUHOLHISRUW
 3UHVVXUHUHJXODWLQJYDOYHZLWKUHOLHISRUW
 3UHVVXUHVHTXHQFHYDOYHV

)LJ
3UHVVXUHYDOYHV



7KHV\PEROVUHSUHVHQWWKHSUHVVXUHYDOYHDVDVLQJOHSRVLWLRQYDOYHZLWK
DIORZSDWKWKDWLVHLWKHURSHQRUFORVHGLQLWLDOO\,QWKHFDVHRIWKHSUHV
VXUHUHJXODWRUWKHIORZLVDOZD\VRSHQZKHUHDVWKHSUHVVXUHVHTXHQFH
YDOYH LV FORVHG XQWLO WKH SUHVVXUH UHDFKHV WKH OLPLW YDOXH DV VHW RQ WKH
DGMXVWDEOHVSULQJ

73•)HVWR'LGDFWLF

&KDSWHU$


7KHOLQHDUDFWXDWRUVRUF\OLQGHUVDUHGHVFULEHGE\WKHLUW\SHRIFRQVWUXF /
 LQHDUDFWXDWRUV
WLRQDQGPHWKRGRIRSHUDWLRQ
7KH VLQJOHDFWLQJ F\OLQGHU WKH GRXEOHDFWLQJ F\OLQGHU DQG WKH URGOHVV
F\OLQGHU IRUP WKH EDVLV IRU GHVLJQ YDULDWLRQV 7KH XVH RI FXVKLRQLQJ WR
UHGXFHORDGVRQWKHHQGFDSVDQGPRXQWLQJVGXULQJGHFHOHUDWLRQRIWKH
SLVWRQ LV LPSRUWDQW IRU ORQJOLIH DQG VPRRWK RSHUDWLRQ 7KH FXVKLRQLQJ
SLVWRQ LV VKRZQ RQ WKH H[KDXVW DLU VLGH RI WKH SLVWRQ 7KH DUURZ LQGL
FDWHVDGMXVWDEOHFXVKLRQLQJDQGQRWWKHGLUHFWLRQRIFXVKLRQHGPRWLRQ

)LJ
/LQHDUDFWXDWRUV




)HVWR'LGDFWLF•73

&KDSWHU$


5RWDU\DFWXDWRUV 5RWDU\DFWXDWRUVDUHGLYLGHGLQWRFRQWLQXRXVPRWLRQDQGOLPLWHGDQJOHRI
URWDWLRQ
7KHDLUPRWRULVQRUPDOO\DKLJKVSHHGGHYLFHZLWKHLWKHUIL[HGRUDGMXVW
DEOH VSHHG FRQWURO 8QLWV ZLWK OLPLWHG DQJOH RI URWDWLRQ DUH IL[HG RU DG
MXVWDEOHLQDQJXODUGLVSODFHPHQW7KHURWDU\DFWXDWRUPD\EHFXVKLRQHG
GHSHQGLQJXSRQWKHORDGDQGVSHHGRIRSHUDWLRQ

)LJ
5RWDU\PRWLRQ



$X[LOLDU\V\PEROV 7KHUH DUH D QXPEHU RI LPSRUWDQW V\PEROV IRU DFFHVVRULHV ZKLFK DUH
XWLOLVHGLQFRQMXQFWLRQZLWKSQHXPDWLFV

)LJ
$X[LOLDU\V\PEROV

73•)HVWR'LGDFWLF

&KDSWHU$

 6DIHW\UHTXLUHPHQWVIRUSQHXPDWLFV\VWHPV

7RGDWHQRVWDQGDUGVH[LVWZLWKUHJDUGWRWKHVDIHW\RISQHXPDWLFV\V
WHPV7KHUHIRUHIRUDOOIDFWRUVDIIHFWLQJVDIHW\UHIHUHQFHPXVWEHPDGH
WRH[LVWLQJJHQHUDOJXLGHOLQHVDQGUHJXODWLRQVIURPDQXPEHURIGLIIHUHQW
HQJLQHHULQJILHOGV
$Q H[WUDFW IURP RQH RI WKH 9', *HUPDQ DVVRFLDWLRQ RI HQJLQHHUV
JXLGHOLQHV QXPEHU  7HFKQLFDO 'HVLJQ *XLGHOLQHV IRU 0DFKLQH
7RROVDQGRWKHU3URGXFWLRQ(TXLSPHQWRQWKHVXEMHFWRIVDIHW\VWDWHV


3 6DIHW\
3 &RQWUROOHUPDOIXQFWLRQ
,QWKHHYHQWRIFRQWUROOHUPDOIXQFWLRQRUGLVFRQQHFWLRQRIWKHV\VWHPRSHUDWLQJVWDII
PXVWQRWEHHQGDQJHUHG
3 (0(5*(1&<67236:,7&+
3QHXPDWLFV\VWHPVXVLQJVHYHUDOIRUFHF\OLQGHUVPXVWEHHTXLSSHGZLWKDQHPHUJHQF\
VZLWFK%DVHGRQWKHGHVLJQDQGRSHUDWLQJFKDUDFWHULVWLFVRIDV\VWHPWKHGHFLVLRQ
PXVWEHPDGHDVWRZKHWKHUWKH(0(5*(1&<6723IXQFWLRQLV
 WRSXWWKHV\VWHPLQWRWKH]HURSUHVVXUHVWDWXV
 WRUHVHWDOOIRUFHF\OLQGHUVLQWRWKHLQLWLDOSRVLWLRQRU
 WRLQKLELWDOOF\OLQGHUVLQWKHLUFXUUHQWSRVLWLRQ
7KHVHWKUHHRSWLRQVFDQDOVREHFRPELQHG

&RQVLGHUDWLRQVKRXOGEHJLYHQWRWKHIROORZLQJJXLGHOLQHVZKHQRSHUDW 6DIHW\UHTXLUHPHQWV
LQJSQHXPDWLFF\OLQGHUVXQGHUFODPSLQJFRQGLWLRQV IRUSQHXPDWLF
FODPSLQJGHYLFHV
7KH FRQWURO V\VWHP IRU WKH SQHXPDWLF FODPSLQJ GHYLFHV VKRXOG EH GH
VLJQHGRUDUUDQJHGLQVXFKDZD\DVWRDYRLGDFFLGHQWDORSHUDWLRQ7KLV
FDQEHDFKLHYHGE\PHDQVRI
 0DQXDOO\RSHUDWHGVZLWFKLQJGHYLFHVZLWKSURWHFWLYHFRYHUVRU
 FRQWUROLQWHUORFNV

3UHFDXWLRQV PXVW EH WDNHQ WR SUHYHQW KDQG LQMXULHV FDXVHG E\ WKH
FODPSLQJGHYLFH7KLVFDQEHDFKLHYHGE\FKHFNLQJWKHFODPSLQJFRQGL
WLRQVE\PHDQVRI
 &ODPSLQJF\OLQGHUSRVLWLRQHGRXWVLGHWKHIHHGDUHD
 8VHRIVDIHW\FODPSLQJF\OLQGHUVZKLFKGRQRWDSSO\WKHIXOOFODPS
LQJIRUFHXQWLOWKH\KDYHUHDFKHGWKHZRUNSLHFHRU
 XVHRIWZRKDQGFRQWURO

)HVWR'LGDFWLF•73

&KDSWHU$

0DFKLQHVZLWKSQHXPDWLFFODPSLQJGHYLFHVPXVWEHHTXLSSHGLQVXFKD
ZD\WKDWWKHGULYHRIWKHZRUNLQJRUIHHGVSLQGOHFDQQRWEHVZLWFKHGRQ
XQWLOWKHFODPSLQJDFWLRQLVFRQILUPHG7KLVFDQEHDFKLHYHGZLWK
 3UHVVXUHWUDQVGXFHUVRU
 3UHVVXUHVHTXHQFHYDOYHV

$IDLOXUHRIWKHDLUVXSSO\PXVWQRWFDXVHWKHFODPSLQJGHYLFHWRRSHQ
GXULQJWKHPDFKLQLQJRIDFODPSHGZRUNSLHFH7KLVFDQEHDFKLHYHGE\
PHDQVRI
 0HFKDQLFDOFODPSLQJGHYLFHV
 6HOIORFNLQJFODPSLQJHOHPHQWV
 5HVHUYRLUV

(QYLURQPHQWDO 7ZRIRUPVRIHQYLURQPHQWDOSROOXWLRQPD\RFFXULQSQHXPDWLFV\VWHPV
SROOXWLRQ
 1RLVHFDXVHGE\WKHHVFDSHRIFRPSUHVVHGDLU
 2LO PLVW FDXVHG E\ OXEULFDQWV ZKLFK KDYH EHHQ LQWURGXFHG DW WKH
FRPSUHVVRURUYLDDVHUYLFHXQLWDQG ZKLFK DUH GLVFKDUJHG LQWR WKH
DWPRVSKHUHGXULQJWKHH[KDXVWF\FOHV

([KDXVWQRLVH 0HDVXUHVPXVWEHWDNHQDJDLQVWH[FHVVLYHH[KDXVWQRLVH7KLVFDQEH
DFKLHYHGE\PHDQVRI
 ([KDXVWVLOHQFHUV

6LOHQFHUV DUH XVHG WR UHGXFH WKH QRLVH DW WKH H[KDXVW SRUWV RI YDOYHV
7KH\ RSHUDWH RQ WKH SULQFLSOH RI H[KDXVW DLU IORZ FRQWURO E\ FUHDWLQJ D
JUHDWHU RU OHVVHU IORZ UHVLVWDQFH 1RUPDO VLOHQFHUV KDYH RQO\ OLPLWHG
LQIOXHQFHRQWKHVSHHGRIWKHSLVWRQURG
,QWKHFDVHRIWKURWWOHVLOHQFHUVKRZHYHUWKHIORZUHVLVWDQFHLVDGMXVW
DEOH7KHVHVLOHQFHUVDUHXVHGWRFRQWUROWKHVSHHGRIWKHF\OLQGHUSLV
WRQURG
$QRWKHUPHWKRGRIQRLVHUHGXFWLRQLVWRILWPDQLIROGVZLWKFRQQHFWLRQVWR
WKHH[KDXVWSRUWVRIWKHSRZHUYDOYHVDQGWKXVWRGLVFKDUJHWKHDLUYLDD
ODUJHFRPPRQVLOHQFHU

73•)HVWR'LGDFWLF

&KDSWHU$

7KHH[KDXVWDLURIPHFKDQLFDOO\GULYHQWRROVRUPHFKDQLFDOO\FRQWUROOHG 2LOPLVW
PDFKLQHVFRQWDLQVDWRPLVHGRLOZKLFKRIWHQUHPDLQVLQDURRPIRUVRPH
FRQVLGHUDEOHWLPHLQWKHIRUPRIDYDSRXUZKLFKFDQEHEUHDWKHGLQ
3ROOXWLRQRIWKHHQYLURQPHQWLVSDUWLFXODUO\DFXWHLQFDVHVZKHUHDODUJH
QXPEHURIDLUPRWRUVRUODUJHGLDPHWHUF\OLQGHUVDUHILWWHGLQDQLQVWDOOD
WLRQ ,Q WKLV FDVH WKH XVH RI ILOWHU VLOHQFHUV LV UHFRPPHQGHG ZKHUHE\
WKHPDMRUSDUWRIWKHRLOPLVWLVILOWHUHGDQGGRHVQRWUHDFKWKHDPELHQW
DWPRVSKHUH

:KHQ PDLQWDLQLQJ RU ZRUNLQJ ZLWK SQHXPDWLF V\VWHPV FDUH PXVW EH 2SHUDWLRQDOVDIHW\
WDNHQ LQ WKH UHPRYDO DQG WKH UHFRQQHFWLRQ RI DLU OLQHV 7KH HQHUJ\
VWRUHG LQ WKH WXEH RU SLSH ZLOO EH H[SHOOHG LQ D YHU\ VKRUW WLPH ZLWK
HQRXJKIRUFHWRFDXVHVHYHUHZKLSODVKRIWKHOLQHZKLFKFDQHQGDQJHU
SHUVRQQHO
$QDGGLWLRQDOGDQJHULVLQWKHGLVWXUEDQFHRISDUWLFOHVGXHWRWKHDLUEODVW
ZKLFKFDXVHVH\HKD]DUGV

)HVWR'LGDFWLF•73

&KDSWHU$

73•)HVWR'LGDFWLF

You might also like