You are on page 1of 28

BRITISH STANDARD BS EN

14339:2005

Underground fire
hydrants

The European Standard EN 14339:2005 has the status of a


British Standard

ICS 13.220.10; 93.080.30

12&23<,1*:,7+287%6,3(50,66,21(;&(37$63(50,77('%<&23<5,*+7/$:
BS EN 14339:2005

National foreword

This British Standard is the official English language version of


EN 14339:2005. It partially supersedes BS 750:1984 which will be withdrawn
on publication of the revised version which is in progress.
The revision of BS 750 will specify the national operational and health and
safety requirements that are necessary for underground fire hydrants to
conform to BS EN 14339. It will also include specific national requirements not
included in BS EN 14339, including requirements for surface box frames and
covers.
The UK participation in its preparation was entrusted by Technical Committee
FSH/17, Fire brigade equipment, to Subcommittee FSH/17/1, Hydrants,
hydrant systems, couplings and indicator plates, which has the responsibility
to:

— aid enquirers to understand the text;

— present to the responsible international/European committee any


enquiries on the interpretation, or proposals for change, and keep UK
interests informed;
— monitor related international and European developments and
promulgate them in the UK.

A list of organizations represented on this subcommittee can be obtained on


request to its secretary.
Cross-references
The British Standards which implement international or European
publications referred to in this document may be found in the BSI Catalogue
under the section entitled “International Standards Correspondence Index”, or
by using the “Search” facility of the BSI Electronic Catalogue or of British
Standards Online.
This publication does not purport to include all the necessary provisions of a
contract. Users are responsible for its correct application.
Compliance with a British Standard does not of itself confer immunity
from legal obligations.

Summary of pages
This document comprises a front cover, an inside front cover, the EN title page,
pages 2 to 24, an inside back cover and a back cover.
The BSI copyright notice displayed in this document indicates when the
document was last issued.

This British Standard was Amendments issued since publication


published under the authority
of the Standards Policy and
Strategy Committee Amd. No. Date Comments
on 28 April 2006

© BSI 2006

ISBN 0 580 48011 9


EUROPEAN STANDARD EN 14339
NORME EUROPÉENNE
EUROPÄISCHE NORM July 2005

ICS 13.220.10; 93.080.30

English version

Underground fire hydrants

Bouches d'incendie enterrées Unterflurhydranten

This European Standard was approved by CEN on 20 June 2005.

CEN members are bound to comply with the CEN/CENELEC Internal Regulations which stipulate the conditions for giving this European
Standard the status of a national standard without any alteration. Up-to-date lists and bibliographical references concerning such national
standards may be obtained on application to the Central Secretariat or to any CEN member.

This European Standard exists in three official versions (English, French, German). A version in any other language made by translation
under the responsibility of a CEN member into its own language and notified to the Central Secretariat has the same status as the official
versions.

CEN members are the national standards bodies of Austria, Belgium, Cyprus, Czech Republic, Denmark, Estonia, Finland, France,
Germany, Greece, Hungary, Iceland, Ireland, Italy, Latvia, Lithuania, Luxembourg, Malta, Netherlands, Norway, Poland, Portugal, Slovakia,
Slovenia, Spain, Sweden, Switzerland and United Kingdom.

EUROPEAN COMMITTEE FOR STANDARDIZATION


COMITÉ EUROPÉEN DE NORMALISATION
EUROPÄISCHES KOMITEE FÜR NORMUNG

Management Centre: rue de Stassart, 36 B-1050 Brussels

© 2005 CEN All rights of exploitation in any form and by any means reserved Ref. No. EN 14339:2005: E
worldwide for CEN national Members.
(1 ( 

&RQWHQWV 3DJH

)RUHZRUG 
,QWURGXFWLRQ
 6FRSH 
 1RUPDWLYH UHIHUHQFHV 
 7HUPV DQG GHILQLWLRQV
 'HVLJQ UHTXLUHPHQWV 
 *HQHUDO GLPHQVLRQV
 6KHOO 
 (ODVWRPHUV
 2EWXUDWRU ± PDLQ YDOYH 
 6WHP VHDOV 
 0DWHULDOV LQFOXGLQJ OXEULFDQWV LQ FRQWDFW ZLWK ZDWHU LQWHQGHG IRU KXPDQ FRQVXPSWLRQ 
 /HDNWLJKWQHVV DQG PHFKDQLFDO VWUHQJWK 
 &ORVLQJ GLUHFWLRQ
 2SHQLQJ WXUQV 
 5HVLVWDQFH RI K\GUDQW WR RSHUDWLQJ ORDGV 
 6WHP GULYH
 ,QOHW FRQQHFWLRQV
 2XWOHWV 
 'UDLQDJH V\VWHP 
 ,QWHUQDO DQG H[WHUQDO FRUURVLRQ UHVLVWDQFH 
 5HVLVWDQFH WR GLVLQIHFWLRQ SURGXFWV
 +\GUDQWV IRU QRQ SRWDEOH ZDWHU V\VWHPV 
 +\GUDXOLF FKDUDFWHULVWLFV
 7HVW PHWKRGV
 *HQHUDO 
 *HQHUDO GLPHQVLRQV
 2SHUDWLRQDO FKDUDFWHULVWLFV 
 0DUNLQJ DQG DGGLWLRQDO GDWD
 0DUNLQJ 
 $GGLWLRQDO K\GUDQW GDWD 
 (YDOXDWLRQ RI FRQIRUPLW\ 
 *HQHUDO 
 ,QLWLDO W\SH WHVWLQJ ,77 
 )DFWRU\ SURGXFW FRQWURO )3& 
$QQH[ =$ LQIRUPDWLYH &ODXVHV RI WKH (XURSHDQ 6WDQGDUG DGGUHVVLQJ WKH SURYLVLRQV RI WKH (8
&RQVWUXFWLRQ 3URGXFWV 'LUHFWLYH ((& 
=$ 6FRSH DQG UHOHYDQW FKDUDFWHULVWLFV 
=$ 3URFHGXUH DQG V\VWHP IRU WKH DWWHVWDWLRQ RI FRQIRUPLW\ RI XQGHUJURXQG ILUH K\GUDQWV 
=$ &( PDUNLQJ 
=$ (& FHUWLILFDWH DQG 'HFODUDWLRQ RI FRQIRUPLW\
%LEOLRJUDSK\


(1 ( 

)RUHZRUG
7KLV (XURSHDQ 6WDQGDUG (1   KDV EHHQ SUHSDUHG E\ 7HFKQLFDO &RPPLWWHH &(17&  ³)LUH
VHUYLFH HTXLSPHQW´ WKH VHFUHWDULDW RI ZKLFK LV KHOG E\ %6, LQ FRRSHUDWLRQ ZLWK &(17& :DWHU VXSSO\
DQG &(17&  ³,QGXVWULDO 9DOYHV´

7KLV (XURSHDQ 6WDQGDUG VKDOO EH JLYHQ WKH VWDWXV RI D QDWLRQDO VWDQGDUGHLWKHU E\ SXEOLFDWLRQ RI DQ LGHQWLFDO
WH[W RU E\ HQGRUVHPHQWDW WKH ODWHVW E\ -DQXDU\DQG FRQIOLFWLQJ QDWLRQDO VWDQGDUGV VKDOO EH ZLWKGUDZQ DW
WKH ODWHVW E\ -DQXDU\

7KLV (XURSHDQ 6WDQGDUG KDV EHHQ SUHSDUHG XQGHU D PDQGDWH JLYHQ WR &(1 E\ WKH (XURSHDQ &RPPLVVLRQ
DQG WKH (XURSHDQ )UHH 7UDGH $VVRFLDWLRQ DQG VXSSRUWV HVVHQWLDO UHTXLUHPHQWV RI (8 'LUHFWLYH V 

)RU UHODWLRQVKLS ZLWK (8 'LUHFWLYH V  VHH LQIRUPDWLYH $QQH[ =$ ZKLFK LV DQ LQWHJUDO SDUW RI WKLV (XURSHDQ
6WDQGDUG

7KLV LV RQH RI D VHULHV RI VWDQGDUGV IRU ILUH K\GUDQWV

7KLV LV WKH ILUVW HGLWLRQ RI WKLV (XURSHDQ 6WDQGDUG

1R ,QWHUQDWLRQDO 6WDQGDUG H[LVWV IRU XQGHUJURXQG ILUH K\GUDQWV

$FFRUGLQJ WR WKH &(1&(1(/(& ,QWHUQDO 5HJXODWLRQV WKH QDWLRQDO VWDQGDUGV RUJDQL]DWLRQV RI WKH IROORZLQJ
FRXQWULHV DUH ERXQG WR LPSOHPHQW WKLV (XURSHDQ 6WDQGDUG $XVWULD %HOJLXP &\SUXV &]HFK 5HSXEOLF
'HQPDUN (VWRQLD )LQODQG )UDQFH *HUPDQ\ *UHHFH +XQJDU\ ,FHODQG ,UHODQG ,WDO\ /DWYLD /LWKXDQLD
/X[HPERXUJ0DOWD 1HWKHUODQGV 1RUZD\3RODQG3RUWXJDO6ORYDNLD6ORYHQLD6SDLQ 6ZHGHQ6ZLW]HUODQG
DQG 8QLWHG .LQJGRP


(1 ( 

,QWURGXFWLRQ
7KH SXUSRVH RI D ILUH K\GUDQW LQVWDOODWLRQ LV WR SURYLGH D FRQQHFWLRQ LHK\GUDQW WR WKH ZDWHU PDLQ WR ZKLFK
WKH ILUHILJKWHU FDQ FRQQHFW ILUHILJKWLQJ HTXLSPHQW 8QGHUJURXQG K\GUDQWV FRQVLVW RI RQH RU PRUH YDOYHV DQG
RXWOHW FRQQHFWRUV DQG DUH LQVWDOOHG LQ DQ XQGHUJURXQG FKDPEHU ZLWK D VXUIDFH ER[ DQG LQWHQGHG SULPDULO\ WR
VXSSO\ ZDWHU IRU ILUHILJKWLQJ DQG DOVR PD\ EH XVHG E\ ZDWHU XWLOLWLHV DV GHILQHG LQ  

7KLV (XURSHDQ 6WDQGDUG LV LQ FRQIRUPLW\ ZLWK WKH JHQHUDO UHTXLUHPHQWV DOUHDG\ HVWDEOLVKHG E\ &(17& LQ
WKH ILHOG RI ZDWHU VXSSO\

,Q UHVSHFW RI TXDOLW\ RI ZDWHU LQWHQGHG IRU KXPDQ FRQVXPSWLRQ FDXVHG E\ WKH SURGXFW FRYHUHG E\ WKLV
(XURSHDQ 6WDQGDUG

  WKLV (XURSHDQ 6WDQGDUG SURYLGHV QR LQIRUPDWLRQ DV WR ZKHWKHU WKH SURGXFW PD\ EH XVHG ZLWKRXW
UHVWULFWLRQ LQ DQ\ RI WKH 0HPEHU 6WDWHV RI WKH (8 RU ()7$

  LW VKRXOG EH QRWHG WKDW ZKLOH DZDLWLQJ WKH DGRSWLRQ RI YHULILDEOH (XURSHDQ FULWHULD H[LVWLQJ QDWLRQDO
UHJXODWLRQV FRQFHUQLQJ WKH XVH DQGRU WKH FKDUDFWHULVWLFV RI WKLV SURGXFW UHPDLQ LQ IRUFH


(1 ( 

 6FRSH
7KLV (XURSHDQ 6WDQGDUG VSHFLILHV WKH UHTXLUHPHQWV WHVW PHWKRGV DQG PDUNLQJ DSSOLFDEOH WR XQGHUJURXQG ILUH
K\GUDQWV LQWHQGHG IRU ILUH ILJKWLQJ SXUSRVHV

⎯ WR EH LQVWDOOHG LQ D ZDWHU GLVWULEXWLRQ V\VWHP

⎯ LQ VL]HV '1 DQG '1

⎯ VXLWDEOH IRU DQ DOORZDEOH RSHUDWLQJ SUHVVXUH3)$RIEDU RU EDU RU EDU ZLWK RU ZLWKRXW GUDLQ
IDFLOLW\

⎯ KDYLQJ D YHUWLFDO RU KRUL]RQWDOIODQJHGVRFNHW RU VSLJRW LQOHW

⎯ ZLWK RQH RU WZR RXWOHWV DQG KDYLQJ RXWOHWV WR QDWLRQDO UHTXLUHPHQWV

⎯ RI JOREH VFUHZ GRZQ RU JDWH YDOYH W\SH

7KLV (XURSHDQ 6WDQGDUG DOVR SURYLGHV IRU WKH HYDOXDWLRQ RI FRQIRUPLW\ RI WKH XQGHUJURXQG ILUH K\GUDQWV WR WKH
UHTXLUHPHQWV RI WKLV (XURSHDQ 6WDQGDUG

7KLV (XURSHDQ 6WDQGDUG DSSOLHV WR ILUH K\GUDQWV IRU SRWDEOH DQG QRQSRWDEOH ZDWHU DQG IRU ILOWHUHG ZDWHU
$GGLWLRQDO UHTXLUHPHQWV PD\ DSSO\ IRU RWKHU OLTXLGV

&RXSOLQJV FRQQHFWHG WR RXWOHWV DUH RXWVLGH WKH VFRSH RI WKLV (XURSHDQ 6WDQGDUG DQG VKRXOG FRQIRUP WR
QDWLRQDO UHTXLUHPHQWV

 1RUPDWLYH UHIHUHQFHV
7KH IROORZLQJ UHIHUHQFHG GRFXPHQWV DUH LQGLVSHQVDEOH IRU WKH DSSOLFDWLRQ RI WKLV (XURSHDQ 6WDQGDUG )RU
GDWHG UHIHUHQFHV RQO\ WKH HGLWLRQ FLWHG DSSOLHV )RU XQGDWHG UHIHUHQFHVWKH ODWHVW HGLWLRQ RI WKH UHIHUHQFHG
GRFXPHQW LQFOXGLQJ DQ\ DPHQGPHQWV DSSOLHV

(1  (ODVWRPHULF VHDOV ² 0DWHULDO UHTXLUHPHQWV IRU SLSH MRLQW VHDOV XVHG LQ ZDWHU DQG GUDLQDJH
DSSOLFDWLRQV ² 3DUW 9XOFDQL]HG UXEEHU

(1  9DOYHV IRU ZDWHU VXSSO\ ² )LWQHVV IRU SXUSRVH UHTXLUHPHQWV DQG DSSURSULDWH YHULILFDWLRQ
WHVWV ² 3DUW *HQHUDO UHTXLUHPHQWV

(1  9DOYHV IRU ZDWHU VXSSO\ ² )LWQHVV IRU SXUSRVH UHTXLUHPHQWV DQG DSSURSULDWH YHULILFDWLRQ
WHVWV ² 3DUW ,VRODWLQJ YDOYHV

(1  9DOYHV IRU ZDWHU VXSSO\ ² )LWQHVV IRU SXUSRVH UHTXLUHPHQWV DQG DSSURSULDWH YHULILFDWLRQ
WHVWV ² 3DUW  +\GUDQWV

(1  )ODQJHV DQG WKHLU MRLQWV ² &LUFXODU IODQJHV IRU SLSHV YDOYHV ILWWLQJV DQG DFFHVVRULHV 31
GHVLJQDWHG ² 3DUW 6WHHO IODQJHV

(1  )ODQJHV DQG WKHLU MRLQWV ² &LUFXODU IODQJHV IRU SLSHV YDOYHV ILWWLQJV DQG DFFHVVRULHV 31
GHVLJQDWHG ² 3DUW &DVW LURQ IODQJHV

(1  9DOYHV ² 0DWHULDOV IRU ERGLHV ERQQHWV DQG FRYHUV ² 3DUW  6WHHOV VSHFLILHG LQ (XURSHDQ
6WDQGDUGV


(1 ( 

(1  9DOYHV ² 0DWHULDOV IRU ERGLHV ERQQHWV DQG FRYHUV ² 3DUW  &DVW LURQV VSHFLILHG LQ (XURSHDQ
6WDQGDUGV

(1 ,62 4XDOLW\ PDQDJHPHQW V\VWHPV ² 5HTXLUHPHQWV ,62 

 7HUPV DQG GHILQLWLRQV


)RU WKH SXUSRVHV RI WKLV (XURSHDQ 6WDQGDUGWKH IROORZLQJ WHUPV DQG GHILQLWLRQV DSSO\


K\GUDQW
FRQQHFWLRQ WR D ZDWHU VXSSO\ V\VWHP LQFOXGLQJ DQ LVRODWLQJ YDOYH
>(1@


ILUH K\GUDQW
K\GUDQW GHVLJQHG WR VXSSO\ ZDWHU IRU ILUH ILJKWLQJ GXULQJ DOO SKDVHV RI WKH ILUH


XQGHUJURXQG ILUH K\GUDQW
ILUH K\GUDQW LQVWDOOHG LQ DQ XQGHUJURXQG FKDPEHU ZLWK D VXUIDFH ER[ LQWHQGHG SULPDULO\ WR VXSSO\ ZDWHU IRU
ILUHILJKWLQJ DQG ZKLFK PD\ DOVR EH XVHG E\ ZDWHU XWLOLWLHV


REWXUDWRU
PRYDEOH FRPSRQHQW RI WKH YDOYH ZKRVH SRVLWLRQ LQ WKH IOXLG IORZ SDWK SHUPLWVUHVWULFWV RU REVWUXFWV WKH IOXLG
IORZ VHH (1  ,Q DGGLWLRQ LW FDQ EH FDSWLYH RU ORRVH


FDSWLYH REWXUDWRU
GHYLFH IRU FRQWUROOLQJ WKH IORZ RXW RI D SLSHOLQH DQG LQWR D SLSHOLQH


ORRVH REWXUDWRU
GHYLFH IRU FRQWUROOLQJ IORZ RXW RI D SLSHOLQH EXW ZKLFK SUHYHQWV IORZ LQWR D SLSHOLQH


VKHOO
SUHVVXUHFRQWDLQLQJ HQYHORSH RI WKH YDOYH

127( ,W QRUPDOO\ FRPSULVHV WKH ERG\ DQGZKHQ LQFOXGHG LQ WKH GHVLJQD ERQQHW RU FRYHU DQG WKH ERG\ ERQQHW RU
ERG\ FRYHU MRLQW VHH (1  


'1 QRPLQDO VL]H
DOSKDQXPHULF GHVLJQDWLRQ RI WKH VL]H RI SLSHZRUN FRPSRQHQWV XVHG IRU UHIHUHQFH SXUSRVHV,W FRPSULVHV WKH
OHWWHUV '1 IROORZHG E\ D GLPHQVLRQOHVV URXQG QXPEHU ZKLFK LV ORRVHO\ UHODWHG WR WKH HIIHFWLYH GLPHQVLRQVLQ
PLOOLPHWUHVRI WKH ERUH RU H[WHUQDO GLDPHWHU RI WKH HQG FRQQHFWLRQV
>(1@


31 QRPLQDO SUHVVXUH
DOSKDQXPHULF GHVLJQDWLRQ XVHG IRU UHIHUHQFH SXUSRVHV DQG UHODWHG WR D FRPELQDWLRQ RI QXPHULFDO DQG
GLPHQVLRQDO FKDUDFWHULVWLFV RI D FRPSRQHQW RI D SLSH V\VWHP ,W FRPSULVHV WKH OHWWHUV 31 IROORZHG E\ D
GLPHQVLRQOHVV URXQG QXPEHU
>(1@


(1 ( 


DOORZDEOH RSHUDWLQJ SUHVVXUH 3)$
PD[LPXP K\GURVWDWLF SUHVVXUH WKDW D FRPSRQHQW FDQ ZLWKVWDQG FRQWLQXRXVO\ LQ VHUYLFH
>(1@


DOORZDEOH PD[LPXP RSHUDWLQJ SUHVVXUH 30$
PD[LPXP K\GURVWDWLF SUHVVXUH LQFOXGLQJ VXUJH WKDW D FRPSRQHQW FDQ ZLWKVWDQG IURP WLPH WR WLPH LQ VHUYLFH
VHH (1 


DOORZDEOH WHVW SUHVVXUH 3($
PD[LPXP K\GURVWDWLF SUHVVXUH WKDW D QHZO\ LQVWDOOHG FRPSRQHQW FDQ ZLWKVWDQG IRU D UHODWLYHO\ VKRUW GXUDWLRQ
ZKHQ HLWKHU IL[HG DERYH JURXQG OHYHO RU ODLG DQG EDFNILOOHG XQGHUJURXQG LQ RUGHU WR HQVXUH WKH LQWHJULW\ DQG
WLJKWQHVV RI WKH SLSHOLQH
>(1@


IORZ FRHIILFLHQW .Y &Y
UDWH RI IORZ LQ FXELF PHWUHV SHU KRXU WKDW ZLOO FDXVH D GLIIHUHQWLDO SUHVVXUH RI RQH EDU WKURXJK WKH ILUH K\GUDQW
VHH (1 

 'HVLJQ UHTXLUHPHQWV

 *HQHUDO GLPHQVLRQV

$V D PLQLPXPWKH GLPHQVLRQV LQGLFDWHG LQ )LJXUH VKDOO EH JLYHQ LQ WKH PDQXIDFWXUHU¶V FDWDORJXH

 6KHOO

7KH VKHOO PDWHULDO RI WKH K\GUDQW VKDOO EH FKRVHQ IURP 7DEOH 

7DEOH² 6KHOO PDWHULDO

0DWHULDO 5HIHUHQFH VWDQGDUG

)ODNH JUDSKLWH FDVW LURQ (1

6SKHURLGDO JUDSKLWH FDVW LURQ (1

6WDLQOHVV VWHHO (1

 (ODVWRPHUV

$OO HODVWRPHULF VHDOV ZLWKLQ WKH K\GUDQW VKDOO FRPSO\ ZLWK (1  7KH\ VKDOO EH HLWKHU W\SH :$ IRU FROG
SRWDEOH ZDWHU XVH RU VXLWDEOH IRU WKH IOXLG ZLWK ZKLFK WKH\ FRPH LQWR FRQWDFW VHH  

 2EWXUDWRU ± PDLQ YDOYH

7KH K\GUDQW REWXUDWRU VKDOO EH HLWKHU FDSWLYH RU ORRVH W\SH

7KH PDQXIDFWXUHU VKDOO GHFODUH LI WKH GHVLJQ RI WKH K\GUDQW SHUPLWV WKH REWXUDWRU WR EH UHSODFHG LQ VLWX

127( )RU VDIHW\ UHDVRQV WKLV UHSODFHPHQW VKRXOG RQO\ EH FDUULHG RXW ZKHQ WKH ILUH K\GUDQW LV QRW XQGHU SUHVVXUH


(1 ( 

8 3
4 9

C
5 B

R1
R2

6 D

.H\
 9HUWLFDO LQOHW '1  0D[LPXP VL]H RI K\GUDQW $ PD[ % PD[
 +RUL]RQWDO LQOHW '1  0LQLPXP FOHDU DUHD RI 6XUIDFH ER[ DQG &RYHUV '5PLQ 5PLQ
 'ULYH  *URXQG OHYHO
 2XWOHW FRQQHFWRU  +HLJKW RI WKH JURXQG OHYHO DERYH VSLQGOH
 +HLJKW RI WKH JURXQG OHYHO DERYH RXWOHW + 'HSWK RI WKH RXWOHW IURP WKH VSLQGOH

)LJXUH ² 7\SLFDO ILUH K\GUDQW


(1 ( 

 6WHP VHDOV

6WHP VHDO SURYLVLRQ DQG VHUYLFLQJ IDFLOLWLHV VKDOO EH LQ DFFRUGDQFH ZLWK QDWLRQDO UHTXLUHPHQWV YDOLG LQ WKH
FRXQWU\ RI XVH RI WKH SURGXFW

127(  6WHP VHDOV RI JOREH VFUHZ GRZQ  K\GUDQWV DUH FDSDEOH RI EHLQJ UHSODFHG ZLWK WKH YDOYH FORVHG DQG XQGHU
RSHUDWLQJ SUHVVXUH

127(  6WHP VHDOV RI JDWH YDOYH K\GUDQWV DUH FDSDEOH RI EHLQJ UHSODFHG ZLWK WKH YDOYH IXOO\ RSHQ DQG XQGHU RSHUDWLQJ
SUHVVXUH

127(  7KH WHUP µVWHP¶ LV DOVR NQRZQ DV µVSLQGOH¶

127(  $ IXWXUH UHYLVLRQ RI WKLV (XURSHDQ 6WDQGDUG ZLOO JLYH D OLVW RI DFFHSWDEOH SURYLVLRQV DOORZLQJ HDFK 0HPEHU
6WDWH WR FKRRVH WKRVH SURYLVLRQV WKH\ ZLVK

 0DWHULDOV LQFOXGLQJ OXEULFDQWV LQ FRQWDFW ZLWK ZDWHU LQWHQGHG IRU KXPDQ FRQVXPSWLRQ

3HQGLQJ WKH LQWURGXFWLRQ RI D FRPPRQ (XURSHDQ $SSURYDOV 6FKHPH µ($6¶ DOO PDWHULDOV LQFOXGLQJ OXEULFDQWV
LQ WKH FRQVWUXFWLRQ RI D K\GUDQWWKDW DUH OLNHO\ WR FRPH LQWR FRQWDFW ZLWK ZDWHU IRU KXPDQ FRQVXPSWLRQVKDOO
FRPSO\ ZLWK WKH 1DWLRQDO 5HJXODWLRQV LQ WKH FRXQWU\ RI XVH

 /HDNWLJKWQHVV DQG PHFKDQLFDO VWUHQJWK

 *HQHUDO

7KH K\GUDQW VKDOO EH VXLWDEOH IRU XVH DW WKH UHOHYDQW SUHVVXUHV VKRZQ LQ 7DEOH  DQG VKDOO PHHW WKH
UHTXLUHPHQWV RI WR 

7DEOH² 3UHVVXUHV

31 3)$ 30$ 3($ D

03D EDU 03D EDU 03D EDU

       

       

        


D
3($ RQO\ DSSOLHV WR YDOYHV QRW LQ WKH FORVHG SRVLWLRQ

 6KHOO DQG DOO SUHVVXUH FRQWDLQLQJ FRPSRQHQWV LQFOXGLQJ VWHP VHDOV

 /HDNWLJKWQHVV

:KHQ WHVWHG LQ DFFRUGDQFH ZLWK WKH $QQH[ $ RI (1 XVLQJ WKH YDOXHV RI 3($ IURP 7DEOH WKHUH
VKDOO EH QR YLVLEOH VLJQ RI OHDNDJH SDVW WKH YDOYH

127( 7KLV LV HTXLYDOHQW WR UDWH $DV GHILQHG LQ (1

 0HFKDQLFDO VWUHQJWK

+DYLQJ VXFFHVVIXOO\ SDVVHG WKH OHDN WLJKWQHVV WHVW  WKH K\GUDQW VKDOO QRW VKRZ DQ\ VLJQ RI GHIHFW


(1 ( 

 2EWXUDWRU

 /HDNWLJKWQHVV

:KHQ WHVWHG LQ DFFRUGDQFH ZLWK $QQH[ % RI (1XVLQJ WKH YDOXHV RI × 3)$ IURP 7DEOH DQG
WKH DSSURSULDWH 027 YDOXHV IURP 7DEOH WKHUH VKDOO EH QR YLVLEOH VLJQ RI OHDNDJH SDVW WKH YDOYH

127( 7KLV LV HTXLYDOHQW WR UDWH$DV GHILQHG LQ (1

 0HFKDQLFDO VWUHQJWK

+DYLQJ VXFFHVVIXOO\ SDVVHG WKH OHDN WLJKWQHVV WHVW WKHUH VKDOO EH QR RWKHU VLJQ RI GHIHFW

 (QGXUDQFH

7KH UHTXLUHPHQWV DQG WHVW PHWKRG VKDOO EH DFFRUGLQJ WR (1

 (QGXUDQFH RI WKH QRQUHWXUQ GHYLFH ZKHUH ILWWHG 

7KH UHTXLUHPHQWV DQG WHVW PHWKRG VKDOO EH LQ DFFRUGDQFH ZLWK (1

 &ORVLQJ GLUHFWLRQ

7KH K\GUDQW VKDOO EH FORVHG E\ WXUQLQJ WKH VWHP LQ D FORFNZLVH GLUHFWLRQ ZKHQ YLHZHG IURP DERYH

 2SHQLQJ WXUQV

 7RWDO WXUQV

:KHQ WHVWLQJ LQ DFFRUGDQFH ZLWK  WKH QXPEHU RI WXUQV 1 UHTXLUHG WR IXOO\ RSHQ WKH YDOYH VKDOO EH
EHWZHHQ  DQG IRU '1  DQG EHWZHHQ  DQG IRU '1

 6WDUW RI IORZ GHDG WXUQV 

7KH PD[LPXP QXPEHU RI WXUQV WR FRPPHQFH IORZ VKDOO QRW H[FHHG  DQG LQ DGGLWLRQ WKH PDQXIDFWXUHU VKDOO
GHFODUH WKH QXPEHU RI WXUQV WR VWDUW WKH IORZ

:KHQ WHVWHG LQ DFFRUGDQFH ZLWK IORZ VKDOO RFFXU

 5HVLVWDQFH RI K\GUDQW WR RSHUDWLQJ ORDGV

 0D[LPXP RSHUDWLQJ WRUTXH 027 IRU RSHUDWLQJ ORDGV

:KHQ WHVWHG LQ DFFRUGDQFH ZLWK (1$QQH[ &WKH WRUTXH UHTXLUHG WR VHDO WKH K\GUDQW VKDOO PHHW
WKH DSSURSULDWH YDOXH JLYHQ LQ 7DEOHRI (1 

 0LQLPXP VWUHQJWK WRUTXH P67 

:KHQ WHVWHG LQ DFFRUGDQFH ZLWK (1  $QQH[ $ WKH WRUTXH UHTXLUHG IRU WKH UHVLVWDQFH RI WKH
K\GUDQW VKDOO PHHW WKH DSSURSULDWH YDOXH JLYHQ LQ 7DEOH RI (1

 6WHP GULYH

7KH VWHP GULYH VKDOO FRPSO\ ZLWK QDWLRQDO UHTXLUHPHQWV YDOLG LQ WKH FRXQWU\ RI XVH RI WKH SURGXFW:KHUH ILWWHG
WKH VWHP FDS VKDOO EH VHFXUHO\ IL[HG LQ SRVLWLRQ GXULQJ QRUPDO XVH 7KH PHDQV RI IL[LQJ VKDOO EH VXFK DV WR


(1 ( 

SHUPLW UHPRYDO RI WKH FDS E\ DXWKRULVHG XVHUV EXW DOVR WR SUHYHQW XQLQWHQWLRQDO UHPRYDO 7KH GHVLJQ RI WKH
VWHP FDS UHFHVV VKDOO VXLW WKH VWHP HQG RI WKH YDOYH

127( 7KH WHUP µVWHP¶ LV DOVR NQRZQ DV µVSLQGOH¶

127( $ IXWXUH UHYLVLRQ RI WKLV (XURSHDQ 6WDQGDUG ZLOO JLYH D OLVW RI DFFHSWDEOH SURYLVLRQV DOORZLQJ HDFK 0HPEHU
6WDWH WR FKRRVH WKRVH SURYLVLRQV WKH\ ZLVK

 ,QOHW FRQQHFWLRQV

,QOHW IODQJHV VKDOO EH VXLWDEOH IRU FRQQHFWLQJ WR IODQJHV FRQIRUPLQJ ZLWK (1RU (1 GHSHQGLQJ
RQ WKH VKHOO PDWHULDO

'HSHQGLQJ RQ WKH FXVWRPHU QHHG WKH IODQJHV PD\ DGGLWLRQDOO\ DFFRPPRGDWH ROGHU SDWWHUQ IODQJHV LQ
DFFRUGDQFH ZLWK QDWLRQDO UHTXLUHPHQWV

:KHUH WKH LQOHW LV RI D SURSULHWDU\ W\SH WKH PDQXIDFWXUHU VKDOO GHFODUH LWV GLPHQVLRQV

127( $ IXWXUH UHYLVLRQ RI WKLV (XURSHDQ 6WDQGDUG ZLOO JLYH D OLVW RI DFFHSWDEOH SURYLVLRQV DOORZLQJ HDFK 0HPEHU
6WDWH WR FKRRVH WKRVH SURYLVLRQV WKH\ ZLVK

 2XWOHWV

7KH GHVLJQ RI WKH RXWOHW VKDOO FRQIRUP WR 1DWLRQDO 5HTXLUHPHQWV YDOLG LQ WKH FRXQWU\ RI XVH RI WKH K\GUDQW

 'UDLQDJH V\VWHP

7KH SHUIRUPDQFH RI WKH GUDLQLQJ V\VWHP ZKHUH ILWWHG WR WKH K\GUDQW VKDOO FRPSO\ ZLWK WKH UHTXLUHPHQWV RI
(1 ,Q DGGLWLRQWKH PDQXIDFWXUHU VKDOO GHFODUH WKH YROXPH RI UHWDLQHG ZDWHU DQG WKH WLPH IRU
GUDLQLQJ

 ,QWHUQDO DQG H[WHUQDO FRUURVLRQ UHVLVWDQFH

 *HQHUDO

7KH LQWHUQDO VXUIDFHV ZKLFK DUH LQ FRQWLQXRXV FRQWDFW ZLWK WKH ZDWHUDQG DOO H[WHUQDO VXUIDFHV RI WKH K\GUDQW
LQFOXGLQJ EROWV ZKLFK DUH LQ FRQWLQXRXV FRQWDFW ZLWK WKH VXUURXQGLQJ VRLO ZDWHU RU DWPRVSKHUH VKDOO EH
UHVLVWDQW WR FRUURVLRQ DQG DJHLQJ E\ DSSURSULDWH VHOHFWLRQ RI PDWHULDOV

 &RDWLQJV

$OO FDVW LURQ FRPSRQHQWV VKDOO EH FRDWHG WR SURWHFW DJDLQVW FRUURVLRQ DQG SURWHFW WKH TXDOLW\ RI WKH ZDWHU
LQWHQGHG IRU KXPDQ FRQVXPSWLRQ FRQWDLQHG ZLWKLQ WKH K\GUDQWLI DSSOLFDEOH

127( 7KH FRORXU RI WKH FRDWLQJV PD\ EH WR WHFKQLFDO VSHFLILFDWLRQV GHSHQGLQJ RQ WKH FRQGLWLRQV RI XVH

 2WKHU FRPSRQHQWV

2WKHU FRPSRQHQW SDUWV RI WKH K\GUDQW WR WKRVH LQ VKDOO EH PDQXIDFWXUHG IURP PDWHULDOV WKDW ZLOO UHVLVW
FRUURVLRQ IRU WKH GHVLJQ OLIH RI WKH SURGXFW XQGHU WKH FRQGLWLRQV RI XVH IRU ZKLFK LW LV LQWHQGHG

 5HVLVWDQFH WR GLVLQIHFWLRQ SURGXFWV

:KHUH DSSOLFDEOH WKH UHTXLUHPHQW DQG WHVW VKDOO EH LQ DFFRUGDQFH ZLWK  RI (1


(1 ( 

 +\GUDQWV IRU QRQ SRWDEOH ZDWHU V\VWHPV

,Q FDVHV ZKHUH WKH K\GUDQW GRHV QRW WUDQVSRUW ZDWHU LQWHQGHG IRU KXPDQ FRQVXPSWLRQWKH PDQXIDFWXUHU VKDOO
HQVXUH WKDW DOO PDWHULDOV XVHG LQ WKH K\GUDQW ZKHUH WKH\ FRPH LQWR FRQWDFW ZLWK WKH IOXLG  VKDOO QRW EH
DGYHUVHO\ DIIHFWHG E\ WKDW IOXLG

 +\GUDXOLF FKDUDFWHULVWLFV

7KH K\GUDXOLF FKDUDFWHULVWLFV RI HDFK PRGHO RI K\GUDQW VKDOO EH GHWHUPLQHG LQ DFFRUGDQFH ZLWK (1


7KH PDQXIDFWXUHU VKDOO GHFODUH WKH .Y YDOXH ZLWK FDSWLYH RU ZLWK ORRVH REWXUDWRU WDNLQJ LQWR DFFRXQW WKH '1
RI WKH LQOHW DQG WKH LQWHUQDO GLDPHWHU RI WKH RXWOHWV

7KH PLQLPXP IORZ YDOXH VKDOO EH IRU '1 DQG  IRU '1

127( +LJKHU YDOXHV DUH UHFRPPHQGHG

 7HVW PHWKRGV

 *HQHUDO

)RU VDIHW\ UHDVRQV EHIRUH DSSO\LQJ DQ\ K\GURVWDWLF SUHVVXUH UHOHDVH DOO DLU IURP ZLWKLQ WKH FRPSRQHQW XQGHU
WHVW

 *HQHUDO GLPHQVLRQV

0HDVXUH RU JDXJH WKH JHQHUDO GLPHQVLRQV VSHFLILHG LQ 

 2SHUDWLRQDO FKDUDFWHULVWLFV

 1XPEHU RI WXUQV WR IXOO\ RSHQ WKH K\GUDQW

&ORVH WKH YDOYH ZLWK D WRUTXH VXIILFLHQW WR VHDO WKH K\GUDQW)XOO\ RSHQ WKH YDOYH DQG GHWHUPLQH WKH QXPEHU RI
WXUQVZKLFK VKDOO EH LQ FRQIRUPLW\ ZLWK 

 6WDUW RI IORZ

&RQQHFW WKH K\GUDQW WR D ZDWHU VXSSO\ DW WKH SUHVVXUH RI 3)$ DQG FORVH WKH YDOYH ZLWK D WRUTXH WR VHDO WKH
K\GUDQW XVLQJ 0272SHQ WKH YDOYH E\ WKH QXPEHU RI WXUQV VSHFLILHG LQ DQG GHWHUPLQH LI IORZ KDV VWDUWHG


(1 ( 

 0DUNLQJ DQG DGGLWLRQDO GDWD

 0DUNLQJ

$OO K\GUDQWV VKDOO EH GXUDEO\ PDUNHG RQ WKH XSSHU SDUW ZLWK WKH IROORZLQJ

⎯ GLUHFWLRQ RI RSHQLQJ

⎯ QXPEHU RI WXUQV WR VWDUW IORZ DQG IXOO\ RSHQ

,Q DGGLWLRQDOO K\GUDQWV VKDOO EH VHFXUHO\ DQG GXUDEO\ PDUNHG ZLWK WKH IROORZLQJ

⎯ QXPEHU RI WKLV (XURSHDQ 6WDQGDUGLH(1

⎯ '1

⎯ 31

⎯ ORRVH REWXUDWRU LI DSSOLFDEOH 

⎯ PDQXIDFWXUHU
V PDUN

⎯ GDWH RI PDQXIDFWXUH

⎯ VXLWDELOLW\ IRU WKH FRQYH\HG IOXLG ,I SRWDEOH ZDWHUUHIHUHQFH WR (1

127( :KHUH =$ FRYHUV WKH VDPH LQIRUPDWLRQ DV WKLV VXEFODXVHWKH UHTXLUHPHQWV RI WKLV VXEFODXVH DUH PHW

 $GGLWLRQDO K\GUDQW GDWD

7KH PDQXIDFWXUHU
V FDWDORJXH VKDOO JLYH WKH LQIRUPDWLRQ OLVWHG LQ  DQG SURYLGH WKH IROORZLQJ DGGLWLRQDO
LQIRUPDWLRQ


(1 ( 

1XPEHU RI WKLV (XURSHDQ 6WDQGDUG LH(1 ,QOHW IODQJHV


⎯ (1 RU (1
'LPHQVLRQV
⎯ QHHG WR DFFRPPRGDWH ROGHU SDWWHUQ IODQJHV
⎯ DFFRUGLQJ WR  ZLWK UHIHUHQFH WR )LJXUH ⎯ LQOHW LV RI D SURSULHWDU\ W\SH

6KHOO PDWHULDO 2XWOHW FRQQHFWRUV


⎯ DFFRUGLQJ WR 7DEOH ⎯ GHWDLOV RI FRQIRUPLW\ WR QDWLRQDO UHTXLUHPHQWV
LQ WKH FRXQWU\ RI XVH
'HWDLOV RI REWXUDWRU
'UDLQLQJ LI DSSOLFDEOH 
$SSURYDOV RI PDWHULDOV IRU FRQWDFW ZLWK ZDWHU
LQWHQGHG IRU KXPDQ FRQVXPSWLRQ LI UHOHYDQW  ⎯ YROXPH RI UHWDLQHG ZDWHU
⎯ WLPH IRU GUDLQLQJ
⎯ GHWDLOV RI FRPSOLDQFH ZLWK QDWLRQDO
UHJXODWLRQV LQ WKH FRXQWU\ RI XVH +\GUDXOLF FKDUDFWHULVWLFV .Y YDOXH

6WHP VHDOV ,QWHUQDO DQG H[WHUQDO FRUURVLRQ UHVLVWDQFH

⎯ GHWDLOV RI FRPSOLDQFH ZLWK QDWLRQDO &RDWLQJV LI DSSOLFDEOH 


UHTXLUHPHQWV LQ WKH FRXQWU\ RI XVH
⎯ GHWDLOV RI FRDWLQJ W\SHFRORXU DQG WKLFNQHVV

6WHP GULYH
5HVLVWDQFH WR FRUURVLRQ RI RWKHU FRPSRQHQW SDUWV
⎯ GHWDLOV RI FRPSOLDQFH ZLWK QDWLRQDO
UHTXLUHPHQWV LQ WKH FRXQWU\ RI XVH 5HVLVWDQFH WR GLVLQIHFWLRQ SURGXFWV LI UHOHYDQW 

5HVLVWDQFH WR RSHUDWLQJ ORDGV &RPSDWLELOLW\ ZLWK WKH FRQYH\HG IOXLG LI UHOHYDQW 

⎯ 027 YDOXH ⎯ K\GUDQW IRU QRQ SRWDEOH ZDWHU V\VWHPV


⎯ P67 YDOXH
+\GUDQW IRU SRWDEOH ZDWHU V\VWHPV(1
,QVWDOODWLRQ DQG PDLQWHQDQFH JXLGH

127( :KHUH =$ FRYHUV WKH VDPH LQIRUPDWLRQ DV WKLV VXEFODXVHWKH UHTXLUHPHQWV RI WKLV VXEFODXVH DUH PHW

 (YDOXDWLRQ RI FRQIRUPLW\

 *HQHUDO

7KH FRPSOLDQFH RI DQ XQGHUJURXQG K\GUDQW ZLWK WKH UHTXLUHPHQWV RI WKLV (XURSHDQ 6WDQGDUG VKDOO EH
GHPRQVWUDWHG E\

± LQLWLDO W\SH WHVWLQJ

± IDFWRU\ SURGXFWLRQ FRQWURO E\ WKH PDQXIDFWXUHULQFOXGLQJ SURGXFW DVVHVVPHQW

127( 7KH PDQXIDFWXUHU LV D QDWXUDO RU OHJDO SHUVRQ ZKR SODFHV WKH K\GUDQW RQ WKH PDUNHW XQGHU KLV RZQ QDPH
1RUPDOO\ WKH PDQXIDFWXUHU GHVLJQV DQG PDQXIDFWXUHV WKH K\GUDQW KLPVHOI $V D ILUVW DOWHUQDWLYHKH PD\ KDYH LW GHVLJQHG
PDQXIDFWXUHG DVVHPEOHG SDFNHGSURFHVVHG RU ODEHOOHG E\ VXEFRQWUDFWLQJ$V D VHFRQG DOWHUQDWLYH KH PD\ DVVHPEOH
SDFNSURFHVVRU ODEHO UHDG\PDGH SURGXFWV


(1 ( 

7KH PDQXIDFWXUHU VKDOO HQVXUH

± LQLWLDO W\SH WHVWLQJ LQ DFFRUGDQFH ZLWK WKLV (XURSHDQ 6WDQGDUG LV LQLWLDWHG DQG FDUULHG RXW ZKHUH UHOHYDQW
XQGHU WKH FRQWURO RI D SURGXFW FHUWLILFDWLRQ ERG\  DQG

± WKDW WKH SURGXFW FRQWLQXRXVO\ FRPSOLHV ZLWK WKH LQLWLDO W\SH WHVWLQJ VDPSOHV IRU ZKLFK FRPSOLDQFH ZLWK
WKLV (XURSHDQ 6WDQGDUG KDV EHHQ YHULILHG

7KH PDQXIDFWXUHU VKDOO DOZD\V UHWDLQ WKH RYHUDOO FRQWURO DQG VKDOO KDYH WKH QHFHVVDU\ FRPSHWHQFH WR WDNH
UHVSRQVLELOLW\ IRU WKH SURGXFW

7KH PDQXIDFWXUHU VKDOO EH IXOO\ UHVSRQVLEOH IRU WKH FRQIRUPLW\ RI WKH K\GUDQW WR DOO UHOHYDQW UHJXODWRU\
UHTXLUHPHQWV +RZHYHU ZKHUH WKH PDQXIDFWXUHU XVHV FRPSRQHQWV DOUHDG\ VKRZQ WR FRQIRUP WR WKRVH
UHTXLUHPHQWV UHOHYDQW IRU WKDW FRPSRQHQW HJE\ &( PDUNLQJ WKH PDQXIDFWXUHU LV QRW UHTXLUHG WR UHSHDW WKH
HYDOXDWLRQ ZKLFK OHDGV WR VXFK FRQIRUPLW\:KHUH WKH PDQXIDFWXUHU XVHV FRPSRQHQWV QRW VKRZQ WR FRQIRUP
LW LV KLV UHVSRQVLELOLW\ WR XQGHUWDNH WKH QHFHVVDU\ HYDOXDWLRQ WR VKRZ FRQIRUPLW\

 ,QLWLDO W\SH WHVWLQJ ,77 

 *HQHUDO

,QLWLDO W\SH WHVWLQJ VKDOO EH SHUIRUPHG WR GHPRQVWUDWH FRQIRUPLW\ ZLWK WKLV (XURSHDQ 6WDQGDUG

$OO FKDUDFWHULVWLFV JLYHQ LQ &ODXVH  VKDOO EH VXEMHFW WR WKLV LQLWLDO W\SH WHVWLQJH[FHSW DV GHVFULEHG LQ  WR


 0RGLILFDWLRQV

,Q WKH FDVH RI PRGLILFDWLRQ RI WKH K\GUDQW RU RI WKH PHWKRG RI SURGXFWLRQ ZKHUH WKHVH PD\ DIIHFW WKH VWDWHG
SURSHUWLHV LQLWLDO W\SH WHVWLQJ VKDOO EH SHUIRUPHG $OO FKDUDFWHULVWLFV JLYHQ LQ WKLV (XURSHDQ 6WDQGDUGZKLFK
PD\ EH FKDQJHG E\ WKH PRGLILFDWLRQVKDOO EH VXEMHFW WR WKLV LQLWLDO W\SH WHVWLQJH[FHSW DV GHVFULEHG LQ  WR


 3UHYLRXV WHVWV DQG IDPLOLHV

7HVWV SUHYLRXVO\ SHUIRUPHG LQ DFFRUGDQFH ZLWK WKH SURYLVLRQV RI WKLV (XURSHDQ 6WDQGDUG PD\ EH WDNHQ LQWR
DFFRXQW SURYLGLQJ WKDW WKH\ ZHUH PDGH WR WKH VDPH RU D PRUH ULJRURXV WHVW PHWKRG XQGHU WKH VDPH V\VWHP RI
DWWHVWDWLRQ RI FRQIRUPLW\ RQ WKH VDPH SURGXFW RU SURGXFWV RI VLPLODU GHVLJQ FRQVWUXFWLRQ DQG IXQFWLRQDOLW\
VXFK WKDW WKH UHVXOWV DUH DSSOLFDEOH WR WKH SURGXFW LQ TXHVWLRQ

127( 6DPH V\VWHP RI DWWHVWDWLRQ RI FRQIRUPLW\ PHDQV WHVWLQJ E\ DQ LQGHSHQGHQW WKLUG SDUW\ XQGHU WKH FRQWURO RI D
SURGXFW FHUWLILFDWLRQ ERG\

3URGXFWV PD\ EH JURXSHG LQWR IDPLOLHV ZKHUH RQH RU PRUH FKDUDFWHULVWLFV DUH WKH VDPH IRU DOO SURGXFWV ZLWKLQ
WKDW IDPLO\ RU WKH WHVW UHVXOWV DUH UHSUHVHQWDWLYH RI DOO SURGXFWV ZLWKLQ WKDW IDPLO\,Q WKLV FDVH QRW DOO SURGXFWV
RI WKH IDPLO\ KDYH WR EH WHVWHG IRU WKH SXUSRVHV RI WKH LQLWLDO W\SH WHVWLQJ

 7HVW VDPSOHV

2QO\ RQH SURGXFW RI HDFK PRGHO DQG '1 VKDOO EH WHVWHG WR DVFHUWDLQ WKDW WKH K\GUDQW GHVLJQ PHHWV WKH VWDWHG
UHTXLUHPHQWV

127( 5HTXLUHPHQWV IRU WHVWLQJ LQGLYLGXDO SURGXFWLRQ XQLWV DUH JLYHQ LQ 

7HVW VDPSOHV VKDOO EH UHSUHVHQWDWLYH RI WKH QRUPDO SURGXFWLRQ,I WKH WHVW VDPSOHV DUH SURWRW\SHVWKH\ VKDOO
EH UHSUHVHQWDWLYH RI WKH LQWHQGHG IXWXUH SURGXFWLRQ DQG VKDOO EH VHOHFWHG E\ WKH PDQXIDFWXUHU


(1 ( 

,I WKH WHFKQLFDO GRFXPHQWDWLRQ RI WKH WHVW VDPSOHV GRHV QRW JLYH D VXIILFLHQW EDVLV IRU ODWHU FRPSOLDQFH FKHFNV
D UHIHUHQFH VDPSOH LGHQWLILHG DQG PDUNHG VKDOO UHPDLQ DYDLODEOH IRU WKLV SXUSRVH

 7HVW UHSRUW

$Q\ LQLWLDO W\SH WHVWLQJ DQG LWV UHVXOWV VKDOO EH GRFXPHQWHG LQ D WHVW UHSRUW

 )DFWRU\ SURGXFW FRQWURO )3& 

 *HQHUDO

7KH PDQXIDFWXUHU VKDOO HVWDEOLVKGRFXPHQW DQG PDLQWDLQ DQ )3& V\VWHP WR HQVXUH WKDW WKH K\GUDQWV SODFHG
RQ WKH PDUNHW FRQIRUP WR WKH VWDWHG SHUIRUPDQFH FKDUDFWHULVWLFV )3& LV WKH SHUPDQHQW LQWHUQDO FRQWURO RI
SURGXFWLRQ H[HUFLVHG E\ WKH PDQXIDFWXUHU

,I WKH PDQXIDFWXUHU KDV WKH K\GUDQW GHVLJQHGPDQXIDFWXUHG DVVHPEOHGSDFNHGSURFHVVHG DQG ODEHOOHG E\


VXEFRQWUDFWLQJ WKH )3& RI WKH RULJLQDO PDQXIDFWXUHU PD\ EH WDNHQ LQWR DFFRXQW +RZHYHU ZKHUH
VXEFRQWUDFWLQJ WDNHV SODFHWKH PDQXIDFWXUHU VKDOO UHWDLQ WKH RYHUDOO FRQWURO RI WKH SURGXFWV DQG HQVXUH WKDW KH
RU VKH UHFHLYHV DOO WKH LQIRUPDWLRQ WKDW LV QHFHVVDU\ WR IXOILO KLV UHVSRQVLELOLWLHV DFFRUGLQJ WR WKLV (XURSHDQ
6WDQGDUG 7KH PDQXIDFWXUHU ZKR VXEFRQWUDFWV DOO RI KLV DFWLYLWLHV PD\ XQGHU QR FLUFXPVWDQFHV SDVV KLV
UHVSRQVLELOLWLHV RQ WR D VXEFRQWUDFWRU

$OO WKH HOHPHQWV UHTXLUHPHQWV DQG SURYLVLRQV DGRSWHG E\ WKH PDQXIDFWXUHU VKDOO EH GRFXPHQWHG LQ D
V\VWHPDWLF PDQQHU LQ WKH IRUP RI ZULWWHQ SROLFLHV DQG SURFHGXUHV 7KLV SURGXFWLRQ FRQWURO V\VWHP
GRFXPHQWDWLRQ VKDOO HQVXUH D FRPPRQ XQGHUVWDQGLQJ RI FRQIRUPLW\ HYDOXDWLRQ DQG HQDEOH WKH DFKLHYHPHQW RI
WKH UHTXLUHG FRPSRQHQW FKDUDFWHULVWLFV DQG WKH HIIHFWLYH RSHUDWLRQ RI WKH SURGXFWLRQ FRQWURO V\VWHP WR EH
FKHFNHG

)DFWRU\ SURGXFWLRQ FRQWURO WKHUHIRUH EULQJV WRJHWKHU RSHUDWLRQDO WHFKQLTXHV DQG DOO PHDVXUHV DOORZLQJ
PDLQWHQDQFH DQG FRQWURO RI WKH FRQIRUPLW\ RI WKH NLW ZLWK LWV WHFKQLFDO VSHFLILFDWLRQV,WV LPSOHPHQWDWLRQ PD\ EH
DFKLHYHG E\ FRQWUROV DQG WHVWV RQ PHDVXULQJ HTXLSPHQWUDZ PDWHULDOV DQG FRQVWLWXHQWVSURFHVVHV PDFKLQHV
DQG PDQXIDFWXULQJ HTXLSPHQW DQG ILQLVKHG NLWVLQFOXGLQJ PDWHULDO SURSHUWLHV LQ SURGXFWVDQG E\ PDNLQJ XVH
RI WKH UHVXOWV WKXV REWDLQHG

 *HQHUDO UHTXLUHPHQWV

7KH )3& V\VWHP VKDOO IXOILO WKH UHTXLUHPHQWV DV GHVFULEHG LQ WKH IROORZLQJ FODXVHV RI (1 ,62 

⎯ H[FHSW D 

⎯ H 

⎯ &ODXVH 

⎯ H[FHSW D  F  

⎯ 

7KH )3& V\VWHP PD\ EH SDUW RI D 4XDOLW\ 0DQDJHPHQW V\VWHPHJLQ DFFRUGDQFH ZLWK (1 ,62 

 3URGXFW VSHFLILF UHTXLUHPHQWV

 7KH )3& V\VWHP VKDOO

± DGGUHVV WKLV (XURSHDQ 6WDQGDUGDQG

± HQVXUH WKDW WKH SURGXFWV SODFHG RQ WKH PDUNHW FRQIRUP ZLWK WKH VWDWHG SHUIRUPDQFH FKDUDFWHULVWLFV


(1 ( 

 7KH )3& V\VWHP VKDOO LQFOXGH D SURGXFW VSHFLILF )3&RU 4XDOLW\SODQZKLFK LGHQWLILHV SURFHGXUHV WR
GHPRQVWUDWH FRQIRUPLW\ RI WKH SURGXFW DW DSSURSULDWH VWDJHVLH

D FRQWUROV DQG WHVWV WR EH FDUULHG RXW SULRU WR DQGRU GXULQJ PDQXIDFWXUH DFFRUGLQJ WR D IUHTXHQF\ ODLG
GRZQ DQGRU

E YHULILFDWLRQV DQG WHVWV WR EH FDUULHG RXW RQ ILQLVKHG SURGXFWV DFFRUGLQJ WR D IUHTXHQF\ ODLG GRZQ

,I WKH PDQXIDFWXUHU XVHV ILQLVKHG SURGXFWV WKH RSHUDWLRQV XQGHU E  VKDOO OHDG WR DQ HTXLYDOHQW OHYHO RI
FRQIRUPLW\ RI WKH SURGXFW DV LI QRUPDO )3& KDG EHHQ FDUULHG RXW GXULQJ WKH SURGXFWLRQ

,I WKH PDQXIDFWXUHU FDUULHV RXW SDUWV RI WKH SURGXFWLRQ KLPVHOIWKH RSHUDWLRQV XQGHU E PD\ EH UHGXFHG DQG
SDUWO\ UHSODFHG E\ RSHUDWLRQV XQGHU D *HQHUDOO\WKH PRUH SDUWV RI WKH SURGXFWLRQ WKDW DUH FDUULHG RXW E\ WKH
PDQXIDFWXUHU WKH PRUH RSHUDWLRQV XQGHU E  PD\ EH UHSODFHG E\ RSHUDWLRQV XQGHU D  ,Q DQ\ FDVH WKH
RSHUDWLRQ VKDOO OHDG WR DQ HTXLYDOHQW OHYHO RI FRQIRUPLW\ RI WKH SURGXFW DV LI QRUPDO )3& KDG EHHQ FDUULHG RXW
GXULQJ WKH SURGXFWLRQ

127( 'HSHQGLQJ RQ WKH VSHFLILF FDVHLW PD\ EH QHFHVVDU\ WR FDUU\ RXW WKH RSHUDWLRQV UHIHUUHG WR XQGHU D DQG E 
RQO\ WKH RSHUDWLRQV XQGHU D RU RQO\ WKRVH XQGHU E 

7KH RSHUDWLRQV XQGHU D  FHQWUH DV PXFK RQ WKH LQWHUPHGLDWH VWDWHV RI WKH SURGXFW DV RQ PDQXIDFWXULQJ
PDFKLQHV DQG WKHLU DGMXVWPHQW DQG WHVW HTXLSPHQW HWF 7KHVH FRQWUROV DQG WHVWV DQG WKHLU IUHTXHQF\ DUH
FKRVHQ EDVHG RQ SURGXFW W\SH DQG FRPSRVLWLRQWKH PDQXIDFWXULQJ SURFHVV DQG LWV FRPSOH[LW\WKH VHQVLWLYLW\
RI SURGXFW IHDWXUHV WR YDULDWLRQV LQ PDQXIDFWXULQJ SDUDPHWHUVHWF

7KH PDQXIDFWXUHU VKDOO HVWDEOLVK DQG PDLQWDLQ UHFRUGV ZKLFK SURYLGH HYLGHQFH WKDW WKH SURGXFWLRQ KDV EHHQ
VDPSOHG DQG WHVWHG 7KHVH UHFRUGV VKDOO VKRZ FOHDUO\ ZKHWKHU WKH SURGXFWLRQ KDV VDWLVILHG WKH GHILQHG
DFFHSWDQFH FULWHULD :KHUH WKH SURGXFW IDLOV WR VDWLVI\ WKH DFFHSWDQFH PHDVXUHV WKH SURYLVLRQV IRU QRQ
FRQIRUPLQJ SURGXFWV VKDOO DSSO\ WKH QHFHVVDU\ FRUUHFWLYH DFWLRQ VKDOO LPPHGLDWHO\ EH WDNHQ DQG WKH SURGXFWV
RU EDWFKHV QRW FRQIRUPLQJ VKDOO EH LVRODWHG DQG SURSHUO\ LGHQWLILHG 2QFH WKH IDXOW KDV EHHQ FRUUHFWHG WKH WHVW
RU YHULILFDWLRQ LQ TXHVWLRQ VKDOO EH UHSHDWHG

7KH UHVXOWV RI FRQWUROV DQG WHVWV VKDOO EH SURSHUO\ UHFRUGHG7KH SURGXFW GHVFULSWLRQGDWH RI PDQXIDFWXUHWHVW
PHWKRG DGRSWHGWHVW UHVXOWV DQG DFFHSWDQFH FULWHULD VKDOO EH HQWHUHG LQ WKH UHFRUGV XQGHU WKH VLJQDWXUH RI WKH
SHUVRQ UHVSRQVLEOH IRU WKH FRQWUROWHVW:LWK UHJDUG WR DQ\ FRQWURO UHVXOW QRW PHHWLQJ WKH UHTXLUHPHQWV RI WKLV
GRFXPHQWWKH FRUUHFWLYH PHDVXUHV WDNHQ WR UHFWLI\ WKH VLWXDWLRQ HJD IXUWKHU WHVW FDUULHG RXWPRGLILFDWLRQ RI
PDQXIDFWXULQJ SURFHVVWKURZLQJ DZD\ RU SXWWLQJ ULJKW RI WKH SURGXFW VKDOO EH LQGLFDWHG LQ WKH UHFRUGV

 ,QGLYLGXDO SURGXFWV RU EDWFKHV RI SURGXFWV DQG WKH UHODWHG PDQXIDFWXULQJ GHWDLOV VKDOO EH FRPSOHWHO\
LGHQWLILDEOH DQG UHWUDFHDEOH

 ,QLWLDO LQVSHFWLRQ RI IDFWRU\ DQG )3&

 ,QLWLDO LQVSHFWLRQ RI IDFWRU\ DQG )3& VKDOO JHQHUDOO\ EH FDUULHG RXW ZKHQ WKH SURGXFWLRQ LV DOUHDG\
UXQQLQJ DQG WKH )3& LV DOUHDG\ LQ SUDFWLFH

,W LV KRZHYHU SRVVLEOH WKDW WKH LQLWLDO LQVSHFWLRQ RI IDFWRU\ DQG )3& LV FDUULHG RXW EHIRUH WKH SURGXFWLRQ LV
DOUHDG\ UXQQLQJ DQGRU EHIRUH WKH )3& LV DOUHDG\ LQ SUDFWLFH

 7KH IROORZLQJ VKDOO EH DVVHVVHG

± )3&GRFXPHQWDWLRQDQG

± WKH IDFWRU\

,Q WKH DVVHVVPHQW RI WKH IDFWRU\ LW VKDOO EH YHULILHG

D WKDW DOO UHVRXUFHV QHFHVVDU\ IRU WKH DFKLHYHPHQW RI WKH SURGXFW FKDUDFWHULVWLFV UHTXLUHG E\ WKLV
(XURSHDQ 6WDQGDUG DUH RU ZLOO EH VHH  DYDLODEOH DQG


(1 ( 

E  )3&SURFHGXUHV LQ DFFRUGDQFH ZLWK WKH )3&GRFXPHQWDWLRQ DUH RU ZLOO EH VHH   LPSOHPHQWHG
DQG IROORZHG LQ SUDFWLFHDQG

F  WKDW WKH SURGXFW FRPSOLHV RU ZLOO FRPSO\ VHH   ZLWK WKH LQLWLDO W\SH WHVWLQJ VDPSOHV IRU ZKLFK
FRPSOLDQFH ZLWK WKLV (XURSHDQ 6WDQGDUG KDV EHHQ YHULILHGDQG

G ZKHWKHU WKH )3& V\VWHP LV SDUW RI D 4XDOLW\ 0DQDJHPHQW V\VWHP LQ DFFRUGDQFH ZLWK (1 ,62  VHH
 DQG DV SDUW RI WKLV 4XDOLW\ 0DQDJHPHQW V\VWHP LV FHUWLILHG DQG KDV \HDUO\ VXUYHLOODQFH E\ D
FHUWLILFDWLRQ ERG\

 $OO IDFWRULHV RI WKH PDQXIDFWXUHU ZKHUH IRU WKH UHOHYDQW SURGXFWILQDO DVVHPEOLQJ DQGRU ILQDO WHVWLQJ
LV SHUIRUPHG VKDOO EH YLVLWHG WR YHULI\ WKDW WKH FRQGLWLRQV RI D WR F DUH LQ SODFH 2QH YLVLW PD\ FRYHU
RQH RU PRUH SURGXFWVSURGXFWLRQ OLQHV DQGRU SURGXFWLRQ SURFHVVHV,I WKH )3& V\VWHP FRYHUV PRUH WKDQ RQH
SURGXFWSURGXFWLRQ OLQH RU SURGXFWLRQ SURFHVVDQG LI LW LV YHULILHG WKDW WKH JHQHUDO UHTXLUHPHQWV DUH IXOILOOHG
WKHQ WKH JHQHUDO UHTXLUHPHQWV IRU RQH SURGXFW PD\ EH WDNHQ DV UHSUHVHQWDWLYH RI WKH )3& RI RWKHU SURGXFWV
'HWDLOHG YHULILFDWLRQ RI WKH SURGXFWVSHFLILF )3& UHTXLUHPHQWV VKDOOKRZHYHUDOZD\V EH PDGH

 $VVHVVPHQWV SUHYLRXVO\ SHUIRUPHG LQ DFFRUGDQFH ZLWK WKH SURYLVLRQV RI WKLV (XURSHDQ 6WDQGDUG PD\
EH WDNHQ LQWR DFFRXQW SURYLGLQJ WKDW WKH\ ZHUH PDGH WR WKH VDPH V\VWHP RI DWWHVWDWLRQ RI FRQIRUPLW\ RQ WKH
VDPH SURGXFW RU SURGXFWV RI VLPLODU GHVLJQ FRQVWUXFWLRQ DQG IXQFWLRQDOLW\ VXFK WKDW WKH UHVXOWV PD\ EH
FRQVLGHUHG DSSOLFDEOH WR WKH SURGXFW LQ TXHVWLRQ

 $Q\ DVVHVVPHQW DQG LWV UHVXOWV VKDOO EH GRFXPHQWHG LQ D UHSRUW

 &RQWLQXRXV VXUYHLOODQFH RI )3&

 $OO IDFWRULHV ZKLFK KDYH EHHQ DVVHVVHG DFFRUGLQJ WR  VKDOO EH UHDVVHVVHG DW OHDVW RQFH D \HDU
H[FHSW DV VWDWHG LQ ,Q WKLV FDVH HDFK )3& YLVLW VKDOO YHULI\ D GLIIHUHQW SURGXFW RU SURGXFWLRQ SURFHVVLI
DSSOLFDEOH

 ,Q WKH FDVH RI WKLUG SDUW\ FHUWLILFDWLRQ LI WKH PDQXIDFWXUHU SURYLGHV SURRI RI FRQWLQXLQJ VDWLVIDFWRU\
RSHUDWLRQ RI KLV )3& V\VWHPWKH IUHTXHQF\ RI WKH UHDVVHVVPHQW PD\ EH UHGXFHG WR RQFH HYHU\ IRXU \HDUV

127( 6XIILFLHQW SURRI FDQ EH WKH UHSRUW RI D FHUWLILFDWLRQ ERG\VHH G 

127( ,I WKH RYHUDOO 4XDOLW\ 0DQDJHPHQW V\VWHP LQ DFFRUGDQFH ZLWK (1 ,62 LV ZHOO LPSOHPHQWHG YHULILHG LQ WKH
LQLWLDO DVVHVVPHQW RI IDFWRU\ DQG )3&  DQG FRQWLQXRXVO\ SUDFWLVHG YHULILHG LQ 40DXGLWV  LW FDQ EH DVVXPHG WKDW WKH
LQWHJUDWHG )3&UHOHYDQW SDUW LV ZHOO FRYHUHG 2Q WKLV EDVLV WKH ZRUN RI WKH PDQXIDFWXUHU LV ZHOO VXUYH\HG VR WKDW WKH
IUHTXHQF\ RI VSHFLDO )3&VXUYHLOODQFH DVVHVVPHQWV FDQ EH UHGXFHG

 $Q\ DVVHVVPHQW DQG LWV UHVXOWV VKDOO EH GRFXPHQWHG LQ D UHSRUW

 3URFHGXUH IRU PRGLILFDWLRQV

,Q WKH FDVH RI PRGLILFDWLRQ RI WKH SURGXFW WKH PHWKRG RI SURGXFWLRQ RU WKH )3& V\VWHP ZKHUH WKHVH PD\
DIIHFW WKH VWDWHG SURSHUWLHV  D UHDVVHVVPHQW RI WKH IDFWRU\ DQG RI WKH )3& V\VWHP VKDOO EH SHUIRUPHG IRU
WKRVH DVSHFWV ZKLFK PD\ EH DIIHFWHG E\ WKH PRGLILFDWLRQ

$Q\ DVVHVVPHQW DQG LWV UHVXOWV VKDOO EH GRFXPHQWHG LQ D UHSRUW


(1 ( 

$QQH[ =$
LQIRUPDWLYH

&ODXVHV RI WKH (XURSHDQ 6WDQGDUG DGGUHVVLQJ WKH SURYLVLRQV RI WKH (8


&RQVWUXFWLRQ 3URGXFWV 'LUHFWLYH ((& 

=$ 6FRSH DQG UHOHYDQW FKDUDFWHULVWLFV


7KLV (XURSHDQ 6WDQGDUG KDV EHHQ SUHSDUHG XQGHU D PDQGDWH 0 JLYHQ WR &(1 E\ WKH (XURSHDQ
&RPPLVVLRQ DQG WKH (XURSHDQ )UHH 7UDGH $VVRFLDWLRQ

7KH FODXVHV RI WKLV (XURSHDQ 6WDQGDUG VKRZQ LQ WKLV DQQH[ PHHW WKH UHTXLUHPHQWV RI WKH PDQGDWH JLYHQ
XQGHU WKH (8 &RQVWUXFWLRQ 3URGXFWV 'LUHFWLYH  

&RPSOLDQFH ZLWK WKHVH FODXVHV FRQIHUV D SUHVXPSWLRQ RI ILWQHVV RI WKH FRQVWUXFWLRQ SURGXFWV FRYHUHG E\ WKLV
DQQH[ IRU WKH LQWHQGHG XVHV LQGLFDWHG KHUHLQ UHIHUHQFH VKDOO EH PDGH WR WKH LQIRUPDWLRQ DFFRPSDQ\LQJ WKH
&( PDUNLQJ

:$51,1* 2WKHU UHTXLUHPHQWV DQG RWKHU (8 'LUHFWLYHV QRW DIIHFWLQJ WKH ILWQHVV IRU LQWHQGHG XVH
PD\ EH DSSOLFDEOH WR D SURGXFW IDOOLQJ ZLWKLQ WKH VFRSH RI WKLV (XURSHDQ 6WDQGDUG

127( ,Q DGGLWLRQ WR DQ\ VSHFLILF FODXVHV UHODWLQJ WR GDQJHURXV VXEVWDQFHV FRQWDLQHG LQ WKLV VWDQGDUG WKHUH PD\ EH
RWKHU UHTXLUHPHQWV DSSOLFDEOH WR WKH SURGXFWV IDOOLQJ ZLWKLQ LWV VFRSH HJ WUDQVSRVHG (XURSHDQ OHJLVODWLRQ DQG QDWLRQDO
ODZVUHJXODWLRQV DQG DGPLQLVWUDWLYH SURYLVLRQV ,Q RUGHU WR PHHW WKH SURYLVLRQV RI WKH (8 &RQVWUXFWLRQ 3URGXFWV 'LUHFWLYH
WKHVH UHTXLUHPHQWV QHHG DOVR WR EH FRPSOLHG ZLWK ZKHQ DQG ZKHUH WKH\ DSSO\$Q LQIRUPDWLYH GDWDEDVH RI (XURSHDQ DQG
QDWLRQDO SURYLVLRQV RQ GDQJHURXV VXEVWDQFHV LV DYDLODEOH DW WKH &RQVWUXFWLRQ ZHE VLWH RQ (8523$ DFFHVVHG WKURXJK
KWWSHXURSDHXLQWFRPPHQWHUSULVHFRQVWUXFWLRQLQWHUQDOGDQJVXEGDQJPDLQKWP 

7KLV DQQH[ HVWDEOLVKHV WKH FRQGLWLRQV IRU WKH &( PDUNLQJ RI WKH XQGHUJURXQG K\GUDQWV LQWHQGHG IRU WKH XVHV
LQGLFDWHG LQ 7DEOH =$DQG VKRZV WKH UHOHYDQW FODXVHV DSSOLFDEOH

7KLV DQQH[ KDV WKH VDPH VFRSH DV &ODXVH RI WKLV VWDQGDUG


(1 ( 

7DEOH =$² 5HOHYDQW FODXVHV

&RQVWUXFWLRQ SURGXFW 8QGHUJURXQG ILUH K\GUDQWV

,QWHQGHG XVH V  )LUH ILJKWLQJ

5HTXLUHPHQW FODXVHV 0DQGDWHG OHYHOV RU


(VVHQWLDO FKDUDFWHULVWLFV 1RWHV
LQ WKLV VWDQGDUG FODVVHV

2SHUDWLRQDO UHOLDELOLW\

± FRQVWUXFWLRQ WR 

± SUHVVXUHV  3DVVIDLO

± VWHP GULYH 

± GLUHFWLRQ RI FORVXUH 

± QXPEHU RI RSHQLQJ WXUQV  1RQH

± UHVLVWDQFH RI K\GUDQW WR
 9DOXHV
RSHUDWLQJ ORDGV

± UHVLVWDQFH WR GLVLQIHFWLRQ
SURGXFWV 

± K\GUDQWV IRU QRQ SRWDEOH


ZDWHU V\VWHPV  

± K\GUDXOLF FKDUDFWHULVWLFV  7KUHVKROG .Y YDOXH

&RQQHFWLRQ GLPHQVLRQLQJ 

'XUDELOLW\ RI RSHUDWLRQDO &RDWLQJ DQG



UHOLDELOLW\ DJDLQVW FRUURVLRQ WKLFNQHVVLI UHOHYDQW

'XUDELOLW\ RI RSHUDWLRQDO
 3DVVIDLO
UHOLDELOLW\ HQGXUDQFH

 :KHUH UHOHYDQW


(1 ( 

=$ 3URFHGXUH DQG V\VWHP IRU WKH DWWHVWDWLRQ RI FRQIRUPLW\ RI XQGHUJURXQG ILUH
K\GUDQWV
7KH V\VWHP RI DWWHVWDWLRQ RI FRQIRUPLW\ IRU XQGHUJURXQG ILUH K\GUDQWV LQGLFDWHG LQ 7DEOH =$ DV JLYHQ LQ
$QQH[ ,,, RI WKH PDQGDWHLV VKRZQ LQ 7DEOH =$IRU WKH LQGLFDWHG LQWHQGHG XVH

7DEOH =$² $WWHVWDWLRQ RI FRQIRUPLW\ V\VWHP

/HYHO V RU $WWHVWDWLRQ RI


3URGXFW ,QWHQGHG XVH
FODVV HV FRQIRUPLW\ V\VWHP

8QGHUJURXQG ILUH K\GUDQWV )LUH VDIHW\ ± 

6\VWHP 6HH &3' $QQH[ LLL , ZLWKRXW DXGLW WHVWLQJ RI VDPSOHV

7KH SURGXFW FHUWLILFDWLRQ ERG\ ZLOO FHUWLI\ WKH LQLWLDO W\SH WHVWLQJ RI DOO FKDUDFWHULVWLFV JLYHQ LQ 7DEOH =$ LQ
DFFRUGDQFH ZLWK WKH SURYLVLRQV RI  DQG IRU WKH LQLWLDO LQVSHFWLRQ RI WKH IDFWRU\ DQG RI WKH IDFWRU\ SURGXFWLRQ
FRQWURO DQG IRU WKH FRQWLQXRXV VXUYHLOODQFH DVVHVVPHQW DQG DSSURYDO RI WKH IDFWRU\ SURGXFWLRQ FRQWURO VHH
 DOO FKDUDFWHULVWLFV VKDOO EH RI LQWHUHVW WR WKH DSSURYHG ERG\

7KH PDQXIDFWXUHU VKDOO RSHUDWH D IDFWRU\ SURGXFWLRQ FRQWURO V\VWHP LQ DFFRUGDQFH ZLWK WKH SURYLVLRQV RI 
DQGIRU IXUWKHU WHVWLQJ RI VDPSOHV WDNHQ DW WKH IDFWRU\ VKDOO SHUIRUP SURGXFWLRQ WHVWV DFFRUGLQJ WR 

=$ &( PDUNLQJ


7KH PDQXIDFWXUHU RU KLV DXWKRULVHG UHSUHVHQWDWLYH HVWDEOLVKHG ZLWKLQ WKH (($ LV UHVSRQVLEOH IRU WKH DIIL[LQJ RI
WKH &( PDUNLQJ 7KH &( PDUNLQJ V\PERO WR DIIL[ VKDOO EH LQ DFFRUGDQFH ZLWK 'LUHFWLYH (& DQG VKDOO EH
VKRZQ RQ WKH K\GUDQW WRJHWKHU ZLWK WKH LQIRUPDWLRQ VSHFLILHG LQ  ,Q DGGLWLRQWKH &( PDUNLQJ VKDOO DSSHDU
RQ WKH SDFNDJLQJ DQGRU RQ WKH DFFRPSDQ\LQJ FRPPHUFLDO GRFXPHQWV WRJHWKHU ZLWK WKH IROORZLQJ LQIRUPDWLRQ

⎯ LGHQWLILFDWLRQ QXPEHU RI WKH FHUWLILFDWLRQ ERG\DQG

⎯ QDPH RU LGHQWLI\LQJ PDUN RI WKH SURGXFHUVXSSOLHUDQG

⎯ ODVW WZR GLJLWV RI WKH \HDU LQ ZKLFK WKH PDUNLQJ ZDV DIIL[HGDQG

⎯ QXPEHU RI WKH (&FHUWLILFDWH RI FRQIRUPLW\DQG

⎯ QXPEHU RI WKLV VWDQGDUG (1 DQG

⎯ SURGXFW W\SH LHXQGHUJURXQG ILUH K\GUDQW DQG

⎯ LQIRUPDWLRQ UHTXLUHG E\  H[FHSW GLPHQVLRQV UHTXLUHG E\  DQG FRQWDFW ZLWK GULQNLQJ ZDWHU
UHTXLUHG E\ 

)LJXUH =$JLYHV DQ H[DPSOH RI WKH LQIRUPDWLRQ WR EH JLYHQ RQ WKH FRPPHUFLDO GRFXPHQWV


(1 ( 



$Q\&R /WG32%R[ % 



&3'

(1

8QGHUJURXQG ILUH K\GUDQWIODNH JUDSKLWH FDVW LURQ'1 

&DSWLYH REWXUDWRU

6WHP VHDO DQG VWHP GULYH LQ DFFRUGDQFH ZLWK %6

31  

2SHQLQJ WXUQV GHDG WRWDO  DQG

'LUHFWLRQ RI FORVXUH &ORFNZLVH

027 DQG P67 DQG

.Y 

,QOHW DQG RXWOHW FRQQHFWLRQV (1%6 

)LJXUH =$² ([DPSOH &( PDUNLQJ LQIRUPDWLRQ

,Q DGGLWLRQ WR DQ\ VSHFLILF LQIRUPDWLRQ UHODWLQJ WR GDQJHURXV VXEVWDQFHV VKRZQ DERYHWKH SURGXFW VKRXOG DOVR
EH DFFRPSDQLHG ZKHQ DQG ZKHUH UHTXLUHG DQG LQ WKH DSSURSULDWH IRUP E\ GRFXPHQWDWLRQ OLVWLQJ DQ\ RWKHU
OHJLVODWLRQ RQ GDQJHURXV VXEVWDQFHV IRU ZKLFK FRPSOLDQFH LV FODLPHG WRJHWKHU ZLWK DQ\ LQIRUPDWLRQ UHTXLUHG
E\ WKDW OHJLVODWLRQ

127( (XURSHDQ OHJLVODWLRQ ZLWKRXW QDWLRQDO GHURJDWLRQV QHHG QRW EH PHQWLRQHG


(1 ( 

=$ (& FHUWLILFDWH DQG 'HFODUDWLRQ RI FRQIRUPLW\


7KH PDQXIDFWXUHURU KLV DJHQW HVWDEOLVKHG LQ WKH (($VKDOO SUHSDUH DQG UHWDLQ D GHFODUDWLRQ RI FRQIRUPLW\
ZKLFK DXWKRULVHV WKH DIIL[LQJ RI WKH &( PDUNLQJ7KLV GHFODUDWLRQ VKDOO LQFOXGH

⎯ QDPH DQG DGGUHVV RI WKH PDQXIDFWXUHU RU KLV DXWKRUL]HG UHSUHVHQWDWLYH HVWDEOLVKHG LQ WKH (($ DQG
WKH SODFH RI SURGXFWLRQ

127(  7KH PDQXIDFWXUHU PD\ DOVR EH WKH SHUVRQ UHVSRQVLEOH IRU SODFLQJ WKH SURGXFW RQWR WKH (($ PDUNHWLI
KH WDNHV UHVSRQVLELOLW\ IRU &( PDUNLQJ

⎯ GHVFULSWLRQ RI WKH SURGXFW W\SHLGHQWLILFDWLRQXVH DQG D FRS\ RI WKH LQIRUPDWLRQ DFFRPSDQ\LQJ WKH
&( PDUNLQJ

127( :KHUH VRPH RI WKH LQIRUPDWLRQ UHTXLUHG IRU WKH 'HFODUDWLRQ LV DOUHDG\ JLYHQ LQ WKH &( PDUNLQJ
LQIRUPDWLRQ LW GRHV QRW QHHG WR EH UHSHDWHG

⎯ SURYLVLRQV WR ZKLFK WKH SURGXFW FRQIRUPV LH $QQH[ =$ RI WKLV (1 DQG D UHIHUHQFH WR WKH ,77
UHSRUW V DQG IDFWRU\ SURGXFWLRQ FRQWURO UHFRUGV DV DSSURSULDWH

⎯ SDUWLFXODU FRQGLWLRQV DSSOLFDEOH WR WKH XVH RI WKH SURGXFW LI QHFHVVDU\ 

⎯ QDPH DQG DGGUHVV RU LGHQWLILFDWLRQ QXPEHU RI WKH 1RWLILHG 3URGXFW &HUWLILFDWLRQ %RG\

⎯ QDPH RI DQG SRVLWLRQ KHOG E\ WKH SHUVRQ HPSRZHUHG WR VLJQ WKH GHFODUDWLRQ RQ EHKDOI RI WKH
PDQXIDFWXUHU RU RI KLV DXWKRUL]HG UHSUHVHQWDWLYH

7KH GHFODUDWLRQ VKDOO FRQWDLQ D FHUWLILFDWH RI FRQIRUPLW\ ZLWKLQ DGGLWLRQ WR WKH LQIRUPDWLRQ DERYH WKH IROORZLQJ
LQIRUPDWLRQ

⎯ QDPH DQG DGGUHVV RI WKH FHUWLILFDWLRQ ERG\

⎯ FHUWLILFDWH QXPEHU

⎯ FRQGLWLRQV DQG SHULRG RI YDOLGLW\ RI WKH FHUWLILFDWHZKHUH DSSOLFDEOH

⎯ QDPH RIDQG SRVLWLRQ KHOG E\WKH SHUVRQ HPSRZHUHG WR VLJQ WKH FHUWLILFDWH

7KH GHFODUDWLRQ DQG FHUWLILFDWH VKDOO EH SUHVHQWHG LQ WKH ODQJXDJH RU RIILFLDO ODQJXDJHV DFFHSWHG LQ WKH
0HPEHU 6WDWH RI WKH XVH RI WKH SURGXFW


(1 ( 

%LEOLRJUDSK\

>@ (1 9DOYHV ² 7HUPLQRORJ\ ² 3DUW  'HILQLWLRQ RI FRPSRQHQWV RI YDOYHV

>@ (1 9DOYHV ² 7HUPLQRORJ\ ² 3DUW  'HILQLWLRQ RI WHUPV


blank
BS EN
14339:2005
BSI — British Standards Institution
BSI is the independent national body responsible for preparing
British Standards. It presents the UK view on standards in Europe and at the
international level. It is incorporated by Royal Charter.

Revisions
British Standards are updated by amendment or revision. Users of
British Standards should make sure that they possess the latest amendments or
editions.
It is the constant aim of BSI to improve the quality of our products and services.
We would be grateful if anyone finding an inaccuracy or ambiguity while using
this British Standard would inform the Secretary of the technical committee
responsible, the identity of which can be found on the inside front cover.
Tel: +44 (0)20 8996 9000. Fax: +44 (0)20 8996 7400.
BSI offers members an individual updating service called PLUS which ensures
that subscribers automatically receive the latest editions of standards.

Buying standards
Orders for all BSI, international and foreign standards publications should be
addressed to Customer Services. Tel: +44 (0)20 8996 9001.
Fax: +44 (0)20 8996 7001. Email: orders@bsi-global.com. Standards are also
available from the BSI website at http://www.bsi-global.com.
In response to orders for international standards, it is BSI policy to supply the
BSI implementation of those that have been published as British Standards,
unless otherwise requested.

Information on standards
BSI provides a wide range of information on national, European and
international standards through its Library and its Technical Help to Exporters
Service. Various BSI electronic information services are also available which give
details on all its products and services. Contact the Information Centre.
Tel: +44 (0)20 8996 7111. Fax: +44 (0)20 8996 7048. Email: info@bsi-global.com.
Subscribing members of BSI are kept up to date with standards developments
and receive substantial discounts on the purchase price of standards. For details
of these and other benefits contact Membership Administration.
Tel: +44 (0)20 8996 7002. Fax: +44 (0)20 8996 7001.
Email: membership@bsi-global.com.
Information regarding online access to British Standards via British Standards
Online can be found at http://www.bsi-global.com/bsonline.
Further information about BSI is available on the BSI website at
http://www.bsi-global.com.

Copyright
Copyright subsists in all BSI publications. BSI also holds the copyright, in the
UK, of the publications of the international standardization bodies. Except as
permitted under the Copyright, Designs and Patents Act 1988 no extract may be
reproduced, stored in a retrieval system or transmitted in any form or by any
means – electronic, photocopying, recording or otherwise – without prior written
permission from BSI.
This does not preclude the free use, in the course of implementing the standard,
of necessary details such as symbols, and size, type or grade designations. If these
details are to be used for any other purpose than implementation then the prior
BSI written permission of BSI must be obtained.
389 Chiswick High Road Details and advice can be obtained from the Copyright & Licensing Manager.
London Tel: +44 (0)20 8996 7070. Fax: +44 (0)20 8996 7553.
Email: copyright@bsi-global.com.
W4 4AL

You might also like