Professional Documents
Culture Documents
Design Memorandum
Design Memorandum
'RF1R
*)'3&2035-63*(
3(7521$6 'DWH
'HFHPEHU
5HY 3DJH
'HVLJQ%DVLV0HPRUDQGXP*HQHUDO RI
'(6,*1%$6,60(025$1'80*(1(5$/
)25
*$55$)),1$/'(9(/230(173/$1*)'3
5HYLVLRQ5HFRUGV
,VVXHGIRU,QIRUPDWLRQ '(&
3UHSDUHGE\ 5HYLHZHGE\ $SSURYHGE\
5HYLVLRQ1R
,QLWLDO
,QLW 'DWH ,QLWLDO
,QLW 'DWH ,QLWLDOV 'DWH
$3
$3 '(& %.3+10
%.3
%.3
.3+ '(& 6+
6+ '(&
352-(&7'2&80(176$5(&21752//(''2&80(176
5(9,6,216$5('(127('_,15,*+7+$1'0$5*,1
&ODVV
,QWHUQDO&WUO1R
*$55$)),1$/'(9(/230(173/$1*)'3
'RFXPHQW1R *)'3&2035-63*(
5HYLVLRQ
3DJH RI
'HVLJQ%DVLV0HPRUDQGXP*HQHUDO
5(9,6,21+,6725<
'(& ,VVXHGIRU,QIRUPDWLRQ
,QWHUQDO&WUO1R
*$55$)),1$/'(9(/230(173/$1*)'3
'RFXPHQW1R *)'3&2035-63*(
5HYLVLRQ
3DJH RI
'HVLJQ%DVLV0HPRUDQGXP*HQHUDO
7$%/(2)&217(176
5(9,6,21+,6725<
*(1(5$/
,QWURGXFWLRQ
6FRSH
'HILQLWLRQ
$EEUHYLDWLRQ
8QLWRI0HDVXUHPHQW
%$6,&(1*,1((5,1*'(6,*1'$7$
(QYLURQPHQWDO'DWD
6RLO3DUDPHWHUV
$WPRVSKHULF7HPSHUDWXUH
*URXQG7HPSHUDWXUH
+XPLGLW\
5DLQIDOO
(PLVVLRQV(IIOXHQWV
(QYLURQPHQWDO/LPLWV
1RLVH
/RJLVWLFVDQG7UDQVSRUWDWLRQ
'HVLJQ/LIH
3RZHU
&RGHVDQG6WDQGDUGV
$33(1',&(6
,QWHUQDO&WUO1R
*$55$)),1$/'(9(/230(173/$1*)'3
'RFXPHQW1R *)'3&2035-63*(
5HYLVLRQ
3DJH RI
'HVLJQ%DVLV0HPRUDQGXP*HQHUDO
*(1(5$/
,QWURGXFWLRQ
)LJXUH/RFDWLRQRI*DUUDI)LHOGLQ6RXWKHUQ,UDT6RXUFH3XEOLF'RPDLQ
7ZR SURYHQ IRUPDWLRQ LQ *DUUDI DUH EHLQJ FRQVLGHUHG IRU GHYHORSPHQW QDPHO\ 0LVKULI
DQG<DPDPD*DUUDI2LO)LHOGLVH[SHFWHGWREHGHYHORSHGLQSKDVHV
,QWHUQDO&WUO1R
*$55$)),1$/'(9(/230(173/$1*)'3
'RFXPHQW1R *)'3&2035-63*(
5HYLVLRQ
3DJH RI
'HVLJQ%DVLV0HPRUDQGXP*HQHUDO
7KH 0LVKULI <DPDPDSURGXFWLRQ FDSDFLWLHV ZLOO EH HQKDQFHG LQ SKDVHV E\ DGGLWLRQDO
RLO JDV WUDLQV 7KH QXPEHU DQG FDSDFLW\ RI WKH WUDLQV ZLOO EH JRYHUQHG E\ WKH
SURGXFWLRQ SURILOHV ORJLVWLFV SURFHVVLQJ VFKHPHV DQG HFRQRPLFV RI WKH YDULRXV
GHYHORSPHQWVFHQDULRV
&RQVLGHUDWLRQZDVJLYHQWRWKHEXONZDWHUVHSDUDWLRQIRULQFUHDVHGZDWHUFXWLQZHOOIOXLG
RYHU WKH \HDUV DQG DOVR FRPPRQ DQG QHZ XWLOLWLHV IRU WKH DGGLWLRQDO WUDLQV ZKLOH
HYDOXDWLQJ WKHVH FRQILJXUDWLRQV IRU ))' 7KH RYHUDOO *DUUDI *DV (YDFXDWLRQ 6\VWHP
**(6 FRQVLVWV RI D JDV SURFHVVLQJ IDFLOLW\ DQG DOVR H[SRUW IDFLOLWLHV 7KH JDV
SURFHVVLQJ IDFLOLW\ *33 3K ZLOO WUHDW WKH DVVRFLDWHG JDV SURGXFHG IURP WKH ILUVW
FRPPHUFLDO SURGXFWLRQ )&3 IDFLOLWLHV DQG SURGXFHG GU\ JDV OLTXHILHG SHWUROHXP JDV
/3*DQGFRQGHQVDWHV,QDGGLWLRQFHUWDLQDPRXQWRIJDVWUHDWHGZLOOEHXVHGDVIXHO
JDVIRU)&3*333KIDFLOLWLHVDQGSRZHUSODQW'U\JDVSURGXFHGZLOOEHH[SRUWHGYLD
DQ H[SRUW SLSHOLQH WKDW RULJLQDWHV LQ*DUUDIILHOGIDFLOLW\ DQG HQGV DW D GHVLJQDWHGWLH LQ
SRLQW VSHFLILHG E\ ,UDTL +RVW $XWKRULW\ 7KLV WLHLQ SRLQW LV ORFDWHG DSSUR[LPDWHO\ NP
DZD\IURP*DUUDI)LHOG)DFLOLWLHV3XUSRVH
))'FRQVLVWV
x [.%23'0LVKULI7UDLQV7UDLQ
x [.%23'<DPDPD7UDLQV7UDLQ
x :DWHU,QMHFWLRQ)DFLOLW\
x 3URGXFHG:DWHU7UHDWPHQW
x :DWHU7UHDWPHQW6\VWHP
x UG:DWHU5LYHU,QWDNH6\VWHP
x *DUUDI5LYHU:DWHUXSJUDGH
x 3RZHU*HQHUDWLRQ
x &UXGHRLOVWRUDJH
x $VVRFLDWHG)DFLOLWLHV
6FRSH
7KLV GRFXPHQW RXWOLQHV WKH 'HVLJQ %DVLV IRU WKH SURMHFW IRU *DUUDI )LQDO 'HYHORSPHQW
3ODQ*)'3
,QWHUQDO&WUO1R
*$55$)),1$/'(9(/230(173/$1*)'3
'RFXPHQW1R *)'3&2035-63*(
5HYLVLRQ
3DJH RI
'HVLJQ%DVLV0HPRUDQGXP*HQHUDO
'HILQLWLRQ
)RUWKHSXUSRVHRIWKLVVSHFLILFDWLRQWKHIROORZLQJGHILQLWLRQVVKDOODSSO\
&2168/7$17 3DUW\ ZKLFK FDUULHV RXW DOO RU SDUW RI WKH )URQW (QG
(QJLQHHULQJ 'HVLJQ RI WKH SURMHFW 3766% LV WKH
FRQVXOWDQW
(3&&2175$&725 3DUW\ZKLFKFDUULHVRXWDOORUSDUWRIWKHSURFXUHPHQW
FRQVWUXFWLRQ FRPPLVLLRQLQJ DQG PDQDJHPHQW RI WKH
352-(&7 (3& &2175$&725 LQFOXGHV KLV
DSSURYHG 0$18)$&785(56 6833/,(56
9(1'256DQG68%&2175$&7256
68%&2168/7$17 3DUW\V ZKLFK FDUULHV RXW DOO RU SDUW RI WKH GHWDLOHG
HQJLQHHULQJ RI WKH V\VWHPV DV VSHFLILHG E\ WKH
&2168/7$17
,QWHUQDO&WUO1R
*$55$)),1$/'(9(/230(173/$1*)'3
'RFXPHQW1R *)'3&2035-63*(
5HYLVLRQ
3DJH RI
'HVLJQ%DVLV0HPRUDQGXP*HQHUDO
5HJLRQVDQGRI()&3XEO1RPRQRJUDSK
6KDOO ,QGLFDWHVDPDQGDWRU\UHTXLUHPHQW
6KRXOG ,QGLFDWHVDVWURQJUHFRPPHQGDWLRQWRFRPSO\ZLWKWKH
UHTXLUHPHQWVRIWKLVGRFXPHQW
$EEUHYLDWLRQ
$*$ $PHULFDQ*DV$VVRFLDWLRQ
$16, $PHULFDQ1DWLRQDO6WDQGDUGV,QVWLWXWH
$3, $PHULFDQ3HWUROHXP,QVWLWXWH
$60( $PHULFDQ6RFLHW\RI0HFKDQLFDO(QJLQHHUV
$670 $PHULFDQ6RFLHW\IRU7HVWLQJ0DWHULDOV
%6 %ULWLVK6WDQGDUG
&$ &RUURVLRQDOORZDQFH
&3) &HQWUDO3URFHVVLQJ)DFLOLW\
&3, &RUUXJDWHG3ODWH,QWHUFHSWRU
&6&& &KORULGH6WUHVV&RUURVLRQ&UDFNLQJ
G%$ 'HFLEHOV
'%0 'HVLJQ%DVLV0HPRUDQGXP
'&6 'LVWULEXWHG&RQWURO6\VWHP
'36& 'HYHORSPHQWDQG3URGXFWLRQ6HUYLFH&RQWUDFW
)&3 )LUVW&RPPHUFLDO3URGXFWLRQ
)((' )URQW(QG(QJLQHHULQJ'HVLJQ
))' )LQDO)LHOGV'HYHORSPHQW
*,&& *DUUDI,QWHJUDWHG&RQWURO&HQWUH
*/ *URXQG/HYHO
*25 *DV2LO5DWLR
*,)7 *DUUDI,QWHJUDWHG)DFLOLWLHV7HUPLQDO
,QWHUQDO&WUO1R
*$55$)),1$/'(9(/230(173/$1*)'3
'RFXPHQW1R *)'3&2035-63*(
5HYLVLRQ
3DJH RI
'HVLJQ%DVLV0HPRUDQGXP*HQHUDO
,*33 ,QWHJUDWHG*DV3URFHVVLQJ3ODQW
*36 *OREDO3RVLWLRQLQJ6\VWHP7LPHV\QFKURQL]DWLRQVHUYHU
+$57 +LJKZD\$GGUHVVDEOH5HPRWH7UDQVGXFHU&RPPXQLFDWLRQ3URWRFRO
+,& +\GURJHQLQGXFHGFUDFNLQJ
+9 +LJK9ROWDJH9ROWDJHJUHDWHUWKDQ9$&
+,36 +LJK,QWHJULW\3URWHFWLRQ6\VWHP
,&66 ,QWHJUDWHG&RQWURO$QG6DIHW\6\VWHP
,*) ,QGXFHG*DV)ORWDWLRQ
,0&6 ,QWHJUDWHG0RWRU&RQWURO6\VWHP
.%23' 7KRXVDQG%DUUHOVRI2LOSHU'D\
.%3' 7KRXVDQG%DUUHOVSHU'D\
/$1 /RFDO$UHD1HWZRUN
/3* /LTXLG3HWUROHXP*DV
/9 /RZ9ROWDJH9ROWDJHOHVVWKDQ9$&
0: 0ROHFXODU:HLJKW
173 1HWZRUN7LPH3URWRFRO
3&,+%9 3(7521$6&DULJDOL,UDT+ROGLQJ%9
3,% 3URFHVV,QWHUIDFH%XLOGLQJ
3'3 3UHOLPLQDU\'HYHORSPHQW3ODQW
3,06 3ODQ,QIRUPDWLRQ0DQDJHPHQW6\VWHP
3/$1 3ODQW/RFDO$UHD1HWZRUN
3/'6 3LSHOLQH/HDN'HWHFWLRQ6\VWHP
337 3ODWHDX3URGXFWLRQ7DUJHW
,QWHUQDO&WUO1R
*$55$)),1$/'(9(/230(173/$1*)'3
'RFXPHQW1R *)'3&2035-63*(
5HYLVLRQ
3DJH RI
'HVLJQ%DVLV0HPRUDQGXP*HQHUDO
36/ 3URGXFW6SHFLILFDWLRQ/HYHO36/
3:7 3URGXFHG:DWHU7UHDWPHQW
6&) ³6WDQGDUG&XELF)RRW´ZKHQDSSOLHGWRJDVPHDQVWKHYROXPHRIJDV
WKDWRFFXSLHVRQHFXELFIRRWRIVSDFHPHDVXUHGGU\XQGHUDQ
DEVROXWHSUHVVXUHRIIRXUWHHQSRLQWVL[QLQHVL[SRXQGVSHU
VTXDUHLQFKDQGDWHPSHUDWXUHRIVL[W\GHJUHHV)DKUHQKHLW
6(5 6HTXHQFHRI(YHQWV5HFRUGHU
6,6 6DIHW\,QVWUXPHQWHG6\VWHP
6,7+3 6KXW,Q7XEH+HDG3UHVVXUH
62& 6RXWKHUQ2LO&RPSDQ\,UDTLVWDWHRLOFRPSDQ\XQGHU,UDTL0LQLVWU\
RI2LOWKDWRYHUVHHVK\GURFDUERQGHYHORSPHQWLQ6RXWKHUQ,UDT
62( 6HTXHQFHRI(YHQWV
62+,& 6WUHVV2ULHQWDWHG+\GURJHQ,QGXFHG&UDFNLQJ
66&& 6XOSKLGHVWUHVVFRUURVLRQFUDFNLQJ
672% 6WRFN7DQN2LO%DUUHOV
68% 6WDUW8S%\SDVV
7/$6 7UXFN/RDGLQJ$XWRPDWLRQ6\VWHP
77/5 7DQN7UXFN/RDGLQJ5DFN
8%& 8QLYHUVDO%XLOGLQJ&RGH
8QLWRI0HDVXUHPHQW
$V D UXOH WKH 6, XQLWV ZLOO EH XVHG +RZHYHU IRU VRPH PDLQ SDUDPHWHUV VXFK DV
SUHVVXUH IORZ UDWH DQG WHPSHUDWXUH ERWK 6, DQG ,PSHULDO XQLWV VKDOO EH DGRSWHG WKH
VHFRQGRQHVZLOOEHLQFOXGHGLQEUDFNHWV$VDQH[FHSWLRQIRUWKH6,XQLWIRUSUHVVXUH
EDU VKDOO EH XVHG LQVWHDG RI N3D 006&)' ZLOO EH XVHG IRU K\GURFDUERQ JDV IORZ
)XUWKHUPRUHSLSHVL]HVZLOOEHLQLQFKHVG\QDPLFYLVFRVLW\LQFHQWLSRLVHVDQGNLQHPDWLF
YLVFRVLW\LQFHQWLVWRNHV
7KHIROORZLQJDUHWKHXQLWVRIPHDVXUHPHQWWREHXVHGWKURXJKRXWWKHSURMHFW
,QWHUQDO&WUO1R
*$55$)),1$/'(9(/230(173/$1*)'3
'RFXPHQW1R *)'3&2035-63*(
5HYLVLRQ
3DJH RI
'HVLJQ%DVLV0HPRUDQGXP*HQHUDO
'LPHQVLRQ 8QLWRI0HDVXUHPHQW $EEUHYLDWLRQ
&XUUHQW $PSHUH $
0LOOLPHWHUV 0P
IRUSORWSODQ
/HQJWK
0HWHUV 0
.LORPHWHUV .P
9ROXPH &XELFPHWHUV P
&XELFPHWHUVSHUKRXU PKU
9ROXPHWULF/LTXLG)ORZ5DWH
%DUUHOVSHUGD\ %SG
0LOOLRQVRIVWDQGDUG 006&)'
*DV)ORZ5DWH
FXELFIRRWSHUGD\
0DVV .LORJUDPPDVV .J
0HWULF7RQ WRQ 07
0ROHFXODU)ORZ5DWH .LORPROHSHUKRXU NPROKU
7HPSHUDWXUH 'HJUHHV&HOVLXV GHJ&R&
7HPSHUDWXUH±$EVROXWH 'HJUHHV.HOYLQ .
3LSH'LDPHWHU ,QFKHV ,Q
9HVVHO1R]]OH6L]HV ,QFKHV ,Q
(QWKDOS\ -RXOHRU.LORMRXOH -RUN-
+HDW'XW\ .LORZDWWSHUKRXU N:KU
+HDW7UDQVIHU&RHIILFLHQW NFDOKPGHJ&RU
:P.
.LORZDWW N:
3RZHU
0HJDZDWW 0:
3UHVVXUH .LORSDVFDOV N3D
6SHFLI\JDXJHRUDEVROXWH %DUDEVROXWH EDUD
%DUJDXJH EDUJ
'HQVLW\ .LORJUDPVSHUFXELF NJP
PHWHUV
9LVFRVLW\ &HQWLSRLVH F3
,QWHUQDO&WUO1R
*$55$)),1$/'(9(/230(173/$1*)'3
'RFXPHQW1R *)'3&2035-63*(
5HYLVLRQ
3DJH RI
'HVLJQ%DVLV0HPRUDQGXP*HQHUDO
%$6,&(1*,1((5,1*'(6,*1'$7$
(QYLURQPHQWDO'DWD
7KH FOLPDWH DW WKH IDFLOLW\ LV GHVHUW ZLWK EORZLQJ VDQG DQG DEUDVLYH GXVW ZLWK VKRUW
SHULRGVRIWRUUHQWLDOUDLQV
$OOHTXLSPHQWLVVXLWDEOHIRUDVHYHUHGHVHUWHQYLURQPHQW$OOILHOGHTXLSPHQWLVFDSDEOH
RI RSHUDWLQJ VDWLVIDFWRULO\ DQG ZLWKLQ VSHFLILHG SHUIRUPDQFH OLPLWV IRU WKH JLYHQ VLWH
FRQGLWLRQV
6RLO3DUDPHWHUV
)RU*LIW$UHD
7KH WRS OD\HU IRU P LV PHGLXP WR VWLII VLOW\ FOD\ FRQVLVWLQJ RUJDQLF DQG J\SVLIHUURXV
PDWHULDOVZLWKUXVW\WUDFHVRILURQR[LGHFRPSRXQGV7KHOD\HUH[WHQGLQJEHORZLVVWLIIWR
YHU\ VWLII VLOW\ FOD\ 7KH GU\ GHQVLW\ RI VRLO UDQJHV IURP WR N1P 7KH S+ YDOXH
UDQJHVIURPWR
7KHVRLOLVFRQVLGHUHGWREHYHU\FRUURVLYH
:HOOSDG$UHD
+2/'
$WPRVSKHULF7HPSHUDWXUH
([WUHPH 0HDQ
7DEOH*DUUDI6LWH0RQWKO\$YHUDJH7HPSHUDWXUH
-DQ )HE 0DU $SU 0D\ -XQ -XO $XJ 6HS 2FW 1RY 'HF
R
&
7DEOH*HQHUDO6LWH&RQGLWLRQV
,QWHUQDO&WUO1R
*$55$)),1$/'(9(/230(173/$1*)'3
'RFXPHQW1R *)'3&2035-63*(
5HYLVLRQ
3DJH RI
'HVLJQ%DVLV0HPRUDQGXP*HQHUDO
,WHP 8QLWV 'DWDSURYLGHG
'HVLJQ PD[LPXP DPELHQW WHPSHUDWXUH IRU HOHFWULFDO R
&
DQGLQVWUXPHQWHTXLSPHQWUDWLQJXQGHUVXQVKDGH
0LQLPXPDPELHQWWHPSHUDWXUHIRUDLUFRROHUDQGJDV R
&
WXUELQHGHVLJQ
0LQLPXP DPELHQW WHPSHUDWXUH IRU SXUSRVH RI R
&
HTXLSPHQWZLQWHUL]DWLRQ
0D[LPXPDPELHQWWHPSHUDWXUHIRUDLUFRROHUDQGJDV R
&
WXUELQHGHVLJQ
R
'HVLJQ0D[LPXPDPELHQWWHPSHUDWXUHIRU+9$& &
$OWLWXGHPDVO 0
6RODU5DGLDWLRQ N:P
6HLVPLFORDG ,%&6,7(&/$66'
*URXQG7HPSHUDWXUH
:LQWHU R&#RQHPHWHUEHORZ*/
6XPPHU R&#RQHPHWHUEHORZ*/
+XPLGLW\
%DVHRQDYDLODEOHUHFRUGWKHDYHUDJHKXPLGLW\IRU*DUUDILVDVVWLSXODWHGEHORZ
7DEOH*DUUDI6LWH0RQWKO\$YHUDJH+XPLGLW\
-DQ )HE 0DU $SU 0D\ -XQ -XO $XJ 6HS 2FW 1RY 'HF
'HVLJQUHODWLYHKXPLGLW\
5DLQIDOO
5DLQ\6HDVRQ1RYHPEHU0DUFK
0D[5DLQIDOO PP\HDUPPGD\
7DEOH*DUUDI6LWH0RQWKO\5DLQIDOO
-DQ )HE 0DU $SU 0D\ -XQ -XO $XJ 6HS 2FW 1RY 'HF
0P
,QWHUQDO&WUO1R
*$55$)),1$/'(9(/230(173/$1*)'3
'RFXPHQW1R *)'3&2035-63*(
5HYLVLRQ
3DJH RI
'HVLJQ%DVLV0HPRUDQGXP*HQHUDO
:LQG
6SHHG 0D[5HFRUGNPKU'HVLJQNPKU
([SRVXUH &
6DQG6WRUP
)UHTXHQWLQVXPPHU'XUDWLRQLVIURPVHYHUDOKRXUVWRDERXWDZHHN
(DUWKTXDNHV
(DUWKTXDNH ORDG VKDOO EH FDOFXODWHG LQ DFFRUGDQFH ZLWK ,%& 6HFWLRQ 6LWH
&ODVVIRU6HLVPLF'HVLJQLV&ODVV'
7HUUDLQ
%DVLFDOO\IODWDQGDIDUPODQG
(PLVVLRQV(IIOXHQWV
7KHIDFLOLWLHVVKDOODGKHUHWRWKHODWHVWDSSOLFDEOHFRGHVDQGVWDQGDUGVRQHPLVVLRQVDQG
HIIOXHQWVOHYHOV7KHIROORZLQJ2UGHURI3UHFHGHQFHVKDOOEHDGKHUHGWRWKLVSURMHFW
*RYHUQPHQW/HJLVODWLRQ
,QWHUQDWLRQDO&RGHVDQG6WDQGDUGV
(QYLURQPHQWDO/LPLWV
7KLV VKDOO IROORZ WKH 0LQLVWU\ RI RLO ERRNOHW IRU (QYLURQPHQWDO VWDQGDUGV DV SHU
DWWDFKHGLQ$SSHQGL[
,5$4,$,548$/,7<67$1'$5'
7DEOH 0D[LPXP $OORZDEOH (PLVVLRQ /LPLWV RI $LU 3ROOXWDQWV (PLWWHG IURP
6WDWLRQDU\6RXUFHV
,QWHUQDO&WUO1R
*$55$)),1$/'(9(/230(173/$1*)'3
'RFXPHQW1R *)'3&2035-63*(
5HYLVLRQ
3DJH RI
'HVLJQ%DVLV0HPRUDQGXP*HQHUDO
0D[$OORZDEOH
6XEVWDQFH 6\PERO 6RXUFHV (PLVVLRQ/LPLWV
PJ1P
&RPEXVWLRQVRXUFHV
9LVLEOH(PLVVLRQV
RWKHUVRXUFHV 1RQH
2SDFLW\&DUERQ $OOVRXUFHV
&2
0RQR[LGH $OOVRXUFHV
,QWHUQDO&WUO1R
*$55$)),1$/'(9(/230(173/$1*)'3
'RFXPHQW1R *)'3&2035-63*(
5HYLVLRQ
3DJH RI
'HVLJQ%DVLV0HPRUDQGXP*HQHUDO
0D[$OORZDEOH
6XEVWDQFH 6\PERO 6RXUFHV (PLVVLRQ/LPLWV
PJ1P
0HUFXU\DQGLWV
&RPSRXQGVH[SUHVVHG +J $OOVRXUFHV
DVPHUFXU\
&KURPH &U $OOVRXUFHV
YDQDGLXP 9 $OOVRXUFHV
1LFNHODQGLWV
FRPSRXQGVH[SUHVVHG 1L $OOVRXUFHV
DVQLFNHO
&RSSHUDQGLWV
FRPSRXQGVH[SUHVVHG &X $OOVRXUFHV
DVFXSSHU
$OOVRXUFHV
+\GURJHQVXOSKLGH +6
0DWHULDOSURGXFLQJLQGXVWULHV
&KORULQHZRUNV
&KORULGH &O
RWKHUVRXUFHV
&KORULQHZRUNV
+\GURJHQFKORULGH +&O
RWKHUVRXUFHV
$OOVRXUFHV
+\GURJHQ)OXRULGH +)
$OOVRXUFHV
6LOLFRQIOXRULGH 6L)
)OXRULGHDQGLWV
FRPSRXQGVLQFOXGLQJ+) $OXPLQXP6PHOWHUV
)
6L)H[SUHVVHGDV RWKHUVRXUFHV
IOXRULGH
0DWHULDOSURGXFLQJLQGXVWULHV
)RUPDOGHK\GH &+2
2WKHU6RXUFHV
0DWHULDOSURGXFLQJLQGXVWULHV
&DUERQ &
:DVWHLQFLQHUDWLRQ
7RWDO9RODWLOH2UJDQLF
&RPSRXQGVH[SUHVVHG
92& $OOVRXUFHV
DVWRWDORUJDQLFFDUERQ
72&
'LR[LQV )XUDQV $OOVRXUFHV QJ7(4P
,QWHUQDO&WUO1R
*$55$)),1$/'(9(/230(173/$1*)'3
'RFXPHQW1R *)'3&2035-63*(
5HYLVLRQ
3DJH RI
'HVLJQ%DVLV0HPRUDQGXP*HQHUDO
1RWHV
&RPEXVWLRQ VRXUFH DUH LQWHQGHG WR RYHQV DQG LQFLQHUDWRUV DQG ERLOHUV RLO DQG
SHWURFKHPLFDO LQGXVWULHV SRZHU SODQWV DQG RWKHU LQGXVWULHV HLWKHU LQFOXGH WKH
SURGXFWLRQ RI FRQVWUXFWLRQ PDWHULDOV SURGXFWLRQ SODQWV DQG ODERUDWRULHV DQG
FKHPLFDOSODQWVDQGRWKHUG\HV
7KHFRQFHQWUDWLRQRIDQ\VXEVWDQFHVSHFLILHGLQWKHILUVWFROXPQHPLWWHGIURPDQ\
VRXUFHVSHFLILHGLQWKHWKLUGFROXPQVKDOOQRWDWDQ\SRLQWEHIRUHDGPL[WXUHZLWK
DLUVPRNHRURWKHUJDVHVH[FHHGWKHOLPLWVVSHFLILHGLQWKHIRXUWKFROXPQ
³PJ´PHDQVPLOOLJUDP³QJ´PHDQVQDQRJUDP
³1P´PHDQV QRUPDO FXELF PHWHU EHLQJ WKDW DPRXQW RI JDV ZKLFK ZKHQ GU\
RFFXSLHV D FXELF PHWHU DW D WHPSHUDWXUH RI GHJUHH FHQWLJUDGH DQG DW DQ
DEVROXWHSUHVVXUHRIPLOOLPHWHUVRIPHUFXU\DWP
7KHOLPLWRI³9LVLEOH(PLVVLRQ´GRHVQRWDSSO\WRHPLVVLRQRIZDWHUYDSRUDQGD
UHDVRQDEOHSHULRGIRUFROGVWDUWXSVKXWGRZQRUHPHUJHQF\RSHUDWLRQ
7KH WRWDO FRQFHQWUDWLRQ RI WKH KHDY\ PHWDOV 3E &G &U 1L +J &X $V 6E
PXVWQRWH[FHHGPJ1P
7KH HPLVVLRQ OLPLWV IRU DOO WKH VXEVWDQFHV H[FOXGH ³'LR[LQV DQG )XUDQV´ DUH
FRQGXFWHGDVDGDLO\DYHUDJHYDOXH
³'LR[LQVDQG)XUDQV´$YHUDJHYDOXHVVKDOOEHPHDVXUHGRYHUDVDPSOHSHULRGRI
DPLQLPXPRIKRXUVDQGDPD[LPXPRIKRXUV
$GRSWHG LQ PHDVXULQJ WKH FRQFHQWUDWLRQ RI DQ\ VXEVWDQFH WKH ILUVW FROXPQ WKH
PHWKRG DGRSWHG E\ (3$ DV D ZD\ RI PHDVXULQJ D UHIHUHQFH RU HTXLYDOHQW
PHWKRGVRIPHDVXUHPHQWRIWKHJOREDOUHIHUHQFH
7DEOH 0D[LPXP $OORZDEOH (PLVVLRQ /LPLWV RI $LU 3ROOXWDQWV (PLWWHG IURP
+\GURFDUERQ)XHO&RPEXVWLRQ6RXUFHV
0D[$OORZDEOH
6XEVWDQFH 6\PERO 6RXUFHV (PLVVLRQ/LPLWV
PJ1P
9LVLEOHHPLVVLRQV $OOVRXUFHV
,QWHUQDO&WUO1R
*$55$)),1$/'(9(/230(173/$1*)'3
'RFXPHQW1R *)'3&2035-63*(
5HYLVLRQ
3DJH RI
'HVLJQ%DVLV0HPRUDQGXP*HQHUDO
0D[$OORZDEOH
6XEVWDQFH 6\PERO 6RXUFHV (PLVVLRQ/LPLWV
PJ1P
)XHOFRPEXVWLRQXQLWV
1LWURJHQ2[LGHV *DVIXHO
H[SUHVVHGDV /LTXLGIXHO
12[
QLWURJHQGLR[LGH 7XUELQHXQLWV
12 *DVIXHO
/LTXLGIXHO
6XOSKXU'LR[LGH 62 $OOVRXUFHV
7RWDO6XVSHQGHG
763 $OOVRXUFHV
3DUWLFOHV
&DUERQ0RQR[LGH &2 $OOVRXUFHV
1RWHV
7KHFRQFHQWUDWLRQRIDQ\VXEVWDQFHVSHFLILHGLQWKHILUVWFROXPQHPLWWHGIURPDQ\
VRXUFHVSHFLILHGLQWKHWKLUGFROXPQVKDOOQRWDWDQ\SRLQWEHIRUHDGPL[WXUHZLWK
DLUVPRNHRURWKHUJDVHVH[FHHGWKHOLPLWVVSHFLILHGLQWKHIRXUWKFROXPQ
1P PHDQV QRUPDO FXELF PHWHU EHLQJ WKDW DPRXQW RI JDV ZKLFK ZKHQ GU\
RFFXSLHV D FXELF PHWHU DW D WHPSHUDWXUH RI GHJUHH FHQWLJUDGH DQG DW DQ
DEVROXWHSUHVVXUHRIPLOOLPHWHUVRIPHUFXU\DWP
7KHOLPLWRI³9LVLEOH(PLVVLRQ´GRHVQRWDSSO\WRHPLVVLRQRIZDWHUYDSRUDQGD
UHDVRQDEOHSHULRGIRUFROGVWDUWXSVKXWGRZQRUHPHUJHQF\RSHUDWLRQ
7KH³12[´HPLVVLRQOLPLWRIDQ\H[LVWLQJWXUELQHXQLWVRSHUDWHGE\JDVIXHOSULRU
WRWKHLVVXDQFHDQGDGRSWLRQRIWKLVUHJXODWLRQZLOOEHPJ1P
$GRSWHG LQ PHDVXULQJ WKH FRQFHQWUDWLRQ RI DQ\ VXEVWDQFH WKH ILUVW FROXPQ WKH
PHWKRG DGRSWHG E\ (3$ DV D ZD\ RI PHDVXULQJ D UHIHUHQFH RU HTXLYDOHQW
PHWKRGVRIPHDVXUHPHQWRIWKHJOREDOUHIHUHQFH
1RLVH
7KHVRXQGSUHVVXUHOHYHOVZLWKLQWKH*,)7VKDOOEHLQDFFRUGDQFHZLWKWKHODWHVW26+$
UHJXODWLRQV1RLVHOHYHOVIRULQGLYLGXDOHTXLSPHQWLWHPVZLOOW\SLFDOO\EHOHVVWKDQ'E
$IRUKRXUVSHUGD\H[SRVXUHDWDGLVWDQFHRIRQHPHWHUIURPWKHHTXLSPHQWLWHP
'XULQJHPHUJHQF\QRLVHOHYHOVIRULQGLYLGXDOHTXLSPHQWLWHPVZLOOW\SLFDOO\EHOHVVWKDQ
'E $ RU IRU KRXUV SHU GD\ H[SRVXUH DW D GLVWDQFH RI RQH PHWHU IURP WKH
HTXLSPHQWLWHP
,QWHUQDO&WUO1R
*$55$)),1$/'(9(/230(173/$1*)'3
'RFXPHQW1R *)'3&2035-63*(
5HYLVLRQ
3DJH RI
'HVLJQ%DVLV0HPRUDQGXP*HQHUDO
/RJLVWLFVDQG7UDQVSRUWDWLRQ
7KHFDUJRZHLJKWDQGGLPHQVLRQDOOLPLWDWLRQVD
F 0D[ ZHLJKW DOORZHG SHU D[LDO LV DERXW WRQ IRU VHUYLFH EULGJH IRU VWUXFWXUDO
DQDO\VLV+RZHYHUIRUDFWXDOQHZEULGJHWKHORDGFDQVXVWDLQXSWULSOHWLPHV
G ,W ZLOO EH WKH UHVSRQVLELOLW\ RI WKH (3& &2175$&725 WR HQVXUH WKDW WKH
(TXLSPHQW6.,'6 VKDOO IDOO ZLWKLQ WKH QRUPDO WUDYHO UHVWULFWLRQV (3&
&2175$&725 VKDOO UHFRQILUP ZLWK FRQFHUQHG $XWKRULW\ WR 9HULI\ VKLSSLQJ
UHVWULFWLRQ
'HVLJQ/LIH
'HVLJQOLIHIRUWKHHTXLSPHQWLV\HDUV
7DEOH8WLOLWLHV2SHUDWLQJ 'HVLJQ&RQGLWLRQV
3UHVVXUHEDUJ 7HPSHUDWXUHR&
8WLOLW\ 2SHUDWLQJ 0HFK 2SHUDWLQJ 0HFK
1RUP 0D[ 0LQ 'HVLJQ 1RUP 0D[ 0LQ 'HVLJQ
5DZ:DWHU
)LUH:DWHU
6HUYLFH:DWHU
3RWDEOH:DWHU
'HPLQ:DWHU
,QVWUXPHQW$LU
3ODQW$LU
1LWURJHQ
)XHO*DV03
)XHO*DV/3 $PE
'LHVHO2LO
/3)ODUH $WP $WP
&ROG)ODUH $WP $WP
+7+RW2LO6XSSO\
+7+RW2LO5HWXUQ
,QWHUQDO&WUO1R
*$55$)),1$/'(9(/230(173/$1*)'3
'RFXPHQW1R *)'3&2035-63*(
5HYLVLRQ
3DJH RI
'HVLJQ%DVLV0HPRUDQGXP*HQHUDO
3UHVVXUHEDUJ 7HPSHUDWXUHR&
8WLOLW\ 2SHUDWLQJ 0HFK 2SHUDWLQJ 0HFK
1RUP 0D[ 0LQ 'HVLJQ 1RUP 0D[ 0LQ 'HVLJQ
/7+RW2LO6XSSO\
/7+RW2LO5HWXUQ
3URSDQH5HI+7
3URSDQH5HI/7
3RZHU
9ROWDJH N999
3KDVH 3
)UHTXHQF\ +]
&RGHVDQG6WDQGDUGV
7KHIROORZLQJFRGHV VWDQGDUGVVKDOOEHXVHGWKURXJKRXWWKHGHVLJQIRUWKHIDFLOLWLHV,Q
FDVHRIGLVFUHSDQF\WKHIROORZLQJRUGHURISUHFHGHQFHVKDOOEHIROORZHG
x 5XOHV5HJXODWLRQDQGODZV
x (TXLSPHQWVSHFLILFDWLRQRUGDWDVKHHWV
x 3URMHFWVSHFLILFDWLRQLQFOXGLQJWKLVGRFXPHQWV
x ,QWHUQDWLRQDOFRGHVDQG6WDQGDUG
,Q WKH HYHQW RI DQ\ FRQIOLFW RI GDWD RU UHTXLUHPHQWV LQ DQ\ RI WKH DERYH GRFXPHQWV
ZULWWHQ FODULILFDWLRQV VKDOO EH VRXJKW IURP &203$1< EHIRUH SURFHHGLQJ ,W LV WKH (3&
&2175$&725¶VUHVSRQVLELOLW\WRUHVROYHWKHVHFRQIOLFWVEHIRUHSURFHHGLQJZLWKGHVLJQ
PDQXIDFWXUH RU SXUFKDVH ,Q DQ\ FDVH WKH PRVW VWULQJHQW UHTXLUHPHQW VKDOO SUHYDLO
+RZHYHU&203$1<LQWHUSUHWDWLRQVKDOOEHILQDO
7KHDSSOLFDEOHLQWHUQDWLRQDOVWDQGDUGVDUHOLVWHGEHORZ
3URFHVVDQG0HFKDQLFDO
$16,% 6WHHO3LSH)ODQJHVDQG)ODQJHG)LWWLQJV
$PHULFDQ3HWUROHXP,QVWLWXWH$3,
,QWHUQDO&WUO1R
*$55$)),1$/'(9(/230(173/$1*)'3
'RFXPHQW1R *)'3&2035-63*(
5HYLVLRQ
3DJH RI
'HVLJQ%DVLV0HPRUDQGXP*HQHUDO
$3,53 6L]LQJ 6HOHFWLRQ DQG,QVWDOODWLRQ RI 3UHVVXUH5HOLHYLQJ 'HYLFHV LQ
5HILQHULHV
$3,53 5HFRPPHQGHG3UDFWLFHIRU&ODVVLILFDWLRQRI/RFDWLRQVIRU(OHFWULFDO
,QVWDOODWLRQVDW3HWUROHXP)DFLOLWLHV&ODVVLILHGDV&ODVV,'LYLVLRQ,
DQG'LYLVLRQ
$3,53 *XLGHIRU3UHVVXUH5HOLHYLQJDQG'HSUHVVXULQJ6\VWHP
$3,67' )ODQJHG6WHHO6DIHW\5HOLHI9DOYHV
$3,53 3URFHVV0HDVXUHPHQW,QVWUXPHQWDWLRQ
$3,53 )LUHGKHDWHUVIRUJHQHUDOUHILQHU\VHUYLFHV
$3, 9DOYH,QVSHFWLRQVDQG7HVW
$3, &HQWULIXJDO3XPSVIRU*HQHUDO5HILQHU\6HUYLFH
$3, 6SHFLDO 3XUSRVH *HDU 8QLWV IRU 3HWUROHXP &KHPLFDO DQG *DV
,QGXVWU\6HUYLFHV
$3, 'HVLJQVDQG&RQVWUXFWLRQRI/DUJH:HOGHG/RZ3UHVVXUH6WRUDJH
7DQNV
$3, :HOGHG6WHHO7DQNVIRU2LO6WRUDJH
$3,53 &DWKRGLF3URWHFWLRQRI$ERYH*URXQG6WRUDJH7DQNV
$3, $LU&RROHG+HDW([FKDQJHUV
$3, 0DFKLQHU\3URWHFWLRQ6\VWHPV
,QWHUQDO&WUO1R
*$55$)),1$/'(9(/230(173/$1*)'3
'RFXPHQW1R *)'3&2035-63*(
5HYLVLRQ
3DJH RI
'HVLJQ%DVLV0HPRUDQGXP*HQHUDO
$3, 3RVLWLYH'LVSODFHPHQW3XPSV5HFLSURFDWLQJ
$3, 3RVLWLYH'LVSODFHPHQW3XPSV&RQWUROOHG9ROXPH
$3, 3RVLWLYH'LVSODFHPHQW3XPSV5RWDU\
$3, 3XPSV6KDIW6HDOLQJ6\VWHPVIRU&HQWULIXJDODQG5RWDU\3XPSV
$3,67' 9HQWLQJ$WPRVSKHUHDQG/RZ3UHVVXUH6WRUDJH7DQNV
$3,0306 0HWHULQJ0HDVXUHPHQWRI/LTXLG+&E\7XUELQH0HWHU
$3,- 6SHFLILFDWLRQIRU2LODQG*DV6HSDUDWRUV
$3, 'HVLJQDQG&RQVWUXFWLRQRI/3*,QVWDOODWLRQV
$60(% 3LSH7KUHDGV*HQHUDO3XUSRVH
$60(% 3LSHIODQJHVDQGIODQJHGILWWLQJVVWHHOQLFNHODOOR\DQGRWKHUVSHFLDO
DOOR\V
$60(% &KHPLFDO3ODQWDQG3HWUROHXP5HILQHU\3LSLQJ
$60(6HFW,, 0DWHULDOVSHFLILFDWLRQV
$60(6HFW,; :HOGLQJDQG%UD]LQJ4XDOLILFDWLRQV
$:6 $PHULFDQ:HOGLQJ$VVRFLDWLRQ
$::$ $PHULFDQ:DWHU:RUNV$VVRFLDWLRQ
,QWHUQDO&WUO1R
*$55$)),1$/'(9(/230(173/$1*)'3
'RFXPHQW1R *)'3&2035-63*(
5HYLVLRQ
3DJH RI
'HVLJQ%DVLV0HPRUDQGXP*HQHUDO
%63DUW 6SHFLILFDWLRQ IRU $FFHSWDQFH WHVWV IRU &HQWULIXJDO 0L[HG )ORZ DQG
$[LDO3XPSV
(1 0HWDOOLF3URGXFWV7\SHVRI,QVSHFWLRQ'RFXPHQWV
,623DUW 0HFKDQLFDO9LEUDWLRQ%DODQFH4XDOLW\5HTXLUHPHQWVRI5LJLG5RWRUV
7(0$ 7XEXODU([FKDQJHU0DQXIDFWXUHU¶V$VVRFLDWLRQ
:5& /RFDO 6WUHVVHV LQ &\OLQGULFDO 6KHOOV GXH WR ([WHUQDO ORDGLQJV RQ
1R]]OHV
:5& 3UHFLVLRQ(TXDWLRQVDQG(QKDQFHG'LDJUDPVIRU/RFDO6WUHVVHVLQ
6SKHULFDO DQG &\OLQGULFDO 6KHOOV GXH WR H[WHUQDO ORDGLQJV IRU
LPSOHPHQWDWLRQRI:5&%XOOHWLQ
,QVWUXPHQWDWLRQDQG&RQWUROV
$PHULFDQ*DV$VVRFLDWLRQ$*$
$*$5HSRUW 0HDVXUHPHQWRI*DVWXUELQHPHWHUV
$PHULFDQ6WDQGDUGV
$60(% )DFHWR)DFHDQG(QGWR(QG'LPHQVLRQRI)HUURXV9DOYHV
%ULWLVK6WDQGDUGV
%63DUW 0XOWLSDLU3(,QVXODWHG,QVWUXPHQWDWLRQ&DEOHG
%6 6SHFLILFDWLRQIRU0HWDOOLF&DEOH*ODQG
%6 6SHFLILFDWLRQIRU&RQGXFWRUVLQ,QVXODWHG&DEOHVDQG&RUGV
%6 6SHFLILFDWLRQIRU,QVXODWLQJDQG6KHDWKLQJ0DWHULDOVIRU&DEOHV
,QVWUXPHQWDWLRQ6\VWHPDQG$XWRPDWLRQ6RFLHW\,6$
,6$53± 3UHVVXUL]HG(QFORVXUHV
,QWHUQDO&WUO1R
*$55$)),1$/'(9(/230(173/$1*)'3
'RFXPHQW1R *)'3&2035-63*(
5HYLVLRQ
3DJH RI
'HVLJQ%DVLV0HPRUDQGXP*HQHUDO
,6$± ,QVWUXPHQWDWLRQ6\PEROVDQG,GHQWLILFDWLRQ
,6$± %LQDU\/RJLF'LDJUDPIRU3URFHVV2SHUDWLRQV
,6$± ,QVWUXPHQW/RRS'LDJUDP
$16,,6$6 )ORZ(TXDWLRQIRU6L]LQJRI&RQWURO9DOYHV
$16,,6$6 &RQWURO9DOYH&DSDFLW\7HVW3URFHGXUHV
$16,,6$6 ,QKHUHQW)ORZ&KDUDFWHULVWLFDQG5DQJHDELOLW\RI&RQWURO9DOYHV
$16,,6$6 &RQWURO9DOYH$HURG\QDPLF1RLVH3UHGLFWLRQ
$16,,6$ ± +\GURVWDWLF7HVWLQJRI&RQWURO9DOYHV
6
,QWHUQDWLRQDO2UJDQL]DWLRQIRU6WDQGDUGL]DWLRQ,62
,62 0HDVXUHPHQWRI)OXLG)ORZE\PHDQVRI2ULILFH3ODWHV1R]]OHVDQG
9HQWXUL7XE,QVHUWLQ&LUFXODU&URVV6HFWLRQ&RQGXLWV
(XURSHDQ6WDQGDUGV
(1 /DQGPRELOHVHUYLFH7HFKQLFDOFKDUDFWHULVWLFVDQGWHVWFRQGLWLRQVIRU
UDGLRHTXLSPHQWLQWHQGHGIRUWKHWUDQVPLVVLRQRIGDWDDQGVSHHFK
DQGKDYLQJDQDQWHQQDFRQQHFWLRQ
,QWHUQDO&WUO1R
*$55$)),1$/'(9(/230(173/$1*)'3
'RFXPHQW1R *)'3&2035-63*(
5HYLVLRQ
3DJH RI
'HVLJQ%DVLV0HPRUDQGXP*HQHUDO
(1 (XURSHDQ 6WDQGDUGV IRU (OHFWULFDO $SSDUDWXV IRU H[SORVLYH
$WPRVSKHUH±)ODPH3URRIµG¶
75 6\VWHP UHIHUHQFH GRFXPHQW IRU KDUPRQLVHG XVH RI 'LJLWDO 0RELOH
5DGLR '05 3DUW 7LHU '05 QXPEHU H[SHFWHG WR EH IRU
JHQHUDOKDUPRQLVDWLRQXVHZLWKQRLQGLYLGXDOULJKWVRIRSHUDWLRQ
75 6\VWHP UHIHUHQFH GRFXPHQW IRU KDUPRQLVHG XVH RI 'LJLWDO 0RELOH
5DGLR '05 3DUW 6\VWHP RSHUDWLQJ XQGHU LQGLYLGXDO OLFHQFHV LQ
WKHH[LVWLQJODQGPRELOHVHUYLFHVSHFWUXPEDQGV
,QWHUQDWLRQDO(OHFWURWHFKQLFDO&RPPLVVLRQ,(&
,(& ,QWHUQDWLRQDO6WDQGDUGRI5HVLVWDQFHIRU&RSSHU
,(& (OHFWULFDO$SSDUDWXVIRU([SORVLYH*DV$WPRVSKHUHV
,(& (OHFWULFDO,QVWDOODWLRQLQH[SORVLYHJDVDWPRVSKHUHV
,(& 0HFKDQLFDOVSOLFHVDQGIXVLRQVSOLFHSURWHFWRUVIRURSWLFDOILEUHVDQG
FDEOHV
,(& (OHFWULFDOUHOD\VDOORUQRWKLQJ
,(& &RQGXFWRUVRILQVXODWHGFDEOHV
,(& 6RXQG6\VWHP(TXLSPHQW*HQHUDO
,(& 'HVLJQDQGXVHRI3ULQWHGFLUFXLWERDUGV
,(& )LUHUHVLVWDQFHFKDUDFWHULVWLFVRIHOHFWULFFDEOHV
,(& 7HVWVRQHOHFWULFFDEOHVXQGHUILUHFRQGLWLRQV
,(& $QDORJXH6LJQDOVIRU3URFHVV&RQWURO6\VWHPV
,QWHUQDO&WUO1R
*$55$)),1$/'(9(/230(173/$1*)'3
'RFXPHQW1R *)'3&2035-63*(
5HYLVLRQ
3DJH RI
'HVLJQ%DVLV0HPRUDQGXP*HQHUDO
,(& %DVLFDQG6DIHW\3ULQFLSOHVIRU0DQ0DFKLQH,QWHUIDFH0DUNLQJDQG
,GHQWLILFDWLRQ±LGHQWLILFDWLRQRI&RQGXFWRUVE\&RORXUVRUQXPHUDOV
,(& &ODVVLILFDWLRQRI'HJUHHVRI3URWHFWLRQ3URYLGHGE\WKH(QFORVXUHV
,(& 6L]LQJ(TXDWLRQVIRU,QFRPSUHVVLEOH)OXLGV
,(& 6L]LQJ(TXDWLRQIRU&RPSUHVVLEOH)OXLG
,(& )DFHWR)DFH'LPHQVLRQIRU)ODQJHG*OREH&RQWURO9DOYHV
,(& &RQWURO9DOYH$HURG\QDPLFV1RLVH3UHGLFWLRQ0HWKRG
,(& &RQWURO9DOYH+\GURG\QDPLF1RLVH3UHGLFWLRQ
,(& 7HVW 0HWKRGV IRU ,QVXODWLRQ DQG 6KHDWKV RI (OHFWULF &DEOHV DQG
&RUGV
,(& 5HIHUHQFH7DEOHV±7KHUPRFRXSOHV
,(& (TXLSPHQW5HOLDELOLW\7HVWLQJ
,(& 2SHUDWLQJ&RQGLWLRQIRU,QGXVWULDO3URFHVV0HDVXUHPHQWDQG&RQWURO
(TXLSPHQW
,(& 2SWLFDO)LEHU3DUW±*HQHULF6SHFLILFDWLRQV*HQHUDO
,(& 2SWLFDO)LEHU3DUW±*HQHULF6SHFLILFDWLRQV6HFWLRQ0HDVXULQJ
0HWKRGVIRU'LPHQVLRQV
,(& 3DUW*HQHULF6SHFLILFDWLRQ±%DVLFRSWLFDOFDEOHWHVWSURFHGXUHV
,(& &RPPRQ 7HVW PHWKRGV IRU LQVXODWLQJ DQG VKHDWKLQJ PDWHULDOV RI
HOHFWULFFDEOHV
,(& (OHFWULFDOWHVWPHWKRGVIRUHOHFWULFFDEOHV
,(& (OHFWURPDJQHWLF&RPSDWLELOLW\
,(& )LEUHRSWLFFRPPXQLFDWLRQVV\VWHPGHVLJQ
,QWHUQDO&WUO1R
*$55$)),1$/'(9(/230(173/$1*)'3
'RFXPHQW1R *)'3&2035-63*(
5HYLVLRQ
3DJH RI
'HVLJQ%DVLV0HPRUDQGXP*HQHUDO
,(& )XQFWLRQDO 6DIHW\ RI (OHFWULFDO(OHFWURQLF3URJUDPPDEOH (OHFWURQLF
6DIHW\UHODWHG6\VWHPV
,((( 6XUJH:LWKVWDQG&DSDELOLW\
,((( +DUPRQLFVPLWLJDLWLRQ
,62 4XDOLW\0DQDJHPHQWDQG4XDOLW\6\VWHP(OHPHQWV±*XLGHOLQHV
(,$& 'DWD7HUPLQDO,QWHUIDFH
(,$ %DODQFHG9ROWDJH'LJLWDO,QWHUIDFH
(,$ 3ULYDWH%UDQFK([FKDQJH6ZLWFK
(,$ 7HOHSKRQH,QVWUXPHQW/RRS6LJQDOOLQJ
(,$56 6HULDO,QWHUIDFH
(,$ 'DWD&LUFXLW,QWHUIDFHWR3XEOLF6ZLWFKHG1HWZRUN
(76, 76 (OHFWURPDJQHWLF FRPSDWLELOLW\ DQG 5DGLR VSHFWUXP 0DWWHUV (50
'LJLWDO 3ULYDWH 0RELOH 5DGLR 'SPU XVLQJ )'0$ ZLWK D FKDQQHO
VSDFLQJRIN+]
,787* 'HILQLWLRQ DQG WHVW PHWKRGV IRU WKH UHOHYDQW SDUDPHWHUV RI VLQJOH
PRGHILEUHV±6HULHV*
,787* &KDUDFWHULVWLFVRIDPPPXOWLPRGHJUDGHGLQGH[RSWLFDOILEUH
FDEOH
,787* &KDUDFWHULVWLFVRIDVLQJOHPRGHRSWLFDOILEUHFDEOH±6HULHV*
,QWHUQDO&WUO1R
*$55$)),1$/'(9(/230(173/$1*)'3
'RFXPHQW1R *)'3&2035-63*(
5HYLVLRQ
3DJH RI
'HVLJQ%DVLV0HPRUDQGXP*HQHUDO
,787* 3K\VLFDOHOHFWULFDOFKDUDFWHULVWLFVRIKLHUDUFKLFDOGLJLWDOLQWHUIDFHV
,787* 6\QFKURQRXVIUDPHVWUXFWXUHVXVHGDWDQG
NELWVKLHUDUFKLFDOOHYHOV
,7874 ,6'1XVHUQHWZRUNLQWHUIDFHGDWDOLQNOD\HUVSHFLILFDWLRQ
,787 ,6'135,/D\HU
,787 ,6'1%5,/D\HU
,787/ &RQVWUXFWLRQLQVWDOODWLRQDQGSURWHFWLRQRIFDEOHVDQGRXWVLGHSODQW
,787/ 6KHDWKMRLQWVDQG2UJDQLVDWLRQVRI2SWLFDO)LEHU&DEOHVDQGRXWVLGH
SODQW
$*$ 0HDVXUHPHQWRI*DVE\0XOWLSDWK8OWUDVRQLF0HWHU
,QWHUQDO&WUO1R
*$55$)),1$/'(9(/230(173/$1*)'3
'RFXPHQW1R *)'3&2035-63*(
5HYLVLRQ
3DJH RI
'HVLJQ%DVLV0HPRUDQGXP*HQHUDO
$*$ 0HDVXUHPHQWRI*DV&RULROLV0HWHU
$3,&KDSWHU 0HDVXUHPHQWRI/LTXLG+\GURFDUERQE\&RULROLV0HWHU0HDVXUHPHQW
RI/LTXLG+\GURFDUERQE\8OWUDVRQLF)ORZPHWHUVXVLQJ7UDQVLW7LPH
7HFKQRORJ\
$3,53& 5HFRPPHQGHG3UDFWLFHIRU$QDO\VLV'HVLJQ,QVWDOODWLRQDQG7HVWLQJ
RI%DVLF6XUIDFH6DIHW\6\VWHPVRQ2IIVKRUH3URGXFWLRQ3ODWIRUPV
$3,6WG 0DQXDORI3HWUROHXP0HDVXUHPHQW6WDQGDUGV
$60(% 3LSH)ODQJHVDQG)ODQJHG)LWWLQJV
%6 &RGH RI 3UDFWLFH IRU WKH 6HOHFWLRQ ,QVWDOODWLRQ DQG 0DLQWHQDQFH RI
(OHFWULFDO $SSDUDWXV IRU XVH LQ SRWHQWLDOO\ H[SORVLYH DWPRVSKHUHV
3DUWDQG
%6 6SHFLILFDWLRQIRU,QWULQVLFDOO\6DIH(OHFWULFDO$SSDUDWXVDQG&LUFXLWV
%6,62 75 0HDVXUHPHQW RI )OXLG )ORZ LQ &ORVHG &RQGXLWV ± 0HWKRGV 8VLQJ
7UDQVLW7LPH8OWUDVRQLF)ORZPHWHUV
(3 6DIHW\(QJLQHHULQJLQ)DFLOLWLHV'HVLJQ
,(((& 6WDQGDUG IRU 6XUJH :LWKVWDQG &DSDELOLW\ 6:& 7HVWV IRU 5HOD\V
DQG5HOD\6\VWHPV$VVRFLDWHGZLWK(OHFWULF3RZHU$SSDUDWXV
,62 0HDVXUHPHQWRI)OXLG)ORZ(VWLPDWLRQRI8QFHUWDLQW\RID)ORZ5DWH
0HDVXUHPHQW
,6275 $VVHVVPHQW RI 8QFHUWDLQW\ LQ &DOLEUDWLRQ DQG 8VH RI )ORZ
0HDVXUHPHQW'HYLFHV
(OHFWULFDO
,QWHUQDO&WUO1R
*$55$)),1$/'(9(/230(173/$1*)'3
'RFXPHQW1R *)'3&2035-63*(
5HYLVLRQ
3DJH RI
'HVLJQ%DVLV0HPRUDQGXP*HQHUDO
,(&,QWHUQDWLRQDO(OHFWURWHFKQLFDO&RPPLVVLRQ
,(& 5RWDWLQJ(OHFWULFDO0DFKLQHV
,(& (OHFWULFDO,QGLFDWLQJ,QVWUXPHQWV
,(& +LJK9ROWDJH$&&LUFXLW%UHDNHUV
,(& +LJK9ROWDJHWHVWWHFKQLTXHV
,(& ,QVXODWLRQ&RRUGLQDWLRQ
,(& 'LPHQVLRQVDQGRXWSXWUDWLQJVIUDPHQXPEHUVWR
,(& 'LPHQVLRQVDQGRXWSXWUDWLQJVIUDPHQXPEHUVWR
,(& 3RZHU7UDQVIRUPHUV
,(& $&GLVFRQQHFWRUVDQGHDUWKLQJ6ZLWFKHV
,(& &XUUHQW7UDQVIRUPHUV
,(& 9ROWDJH7UDQVIRUPHUV
,(& 7HVWRQ&DEOH2YHUVKHDWKV
,(& +LJK9ROWDJH6ZLWFKHV
,(& /9)XVHV
,(& 6WHDG\6WDWH&XUUHQW&DOFXODWLRQLQ&DEOHV
,(& /90RWRU6WDUWHUV
,(& $& 0HWDO (QFORVHG VZLWFKJHDU DQG FRQWURO JHDU IRU YROWDJHV
DERYHN9WRN9
,(& /RZYROWDJH6ZLWFKJHDUDQG&RQWUROJHDU$VVHPEOLHV
,(& &RORU,GHQWLILFDWLRQRI,QVXODWHGDQG1RQLQVXODWHG&RUHV
,(& +LJK9ROWDJH$&&RQWDFWRUV
,QWHUQDO&WUO1R
*$55$)),1$/'(9(/230(173/$1*)'3
'RFXPHQW1R *)'3&2035-63*(
5HYLVLRQ
3DJH RI
'HVLJQ%DVLV0HPRUDQGXP*HQHUDO
,(& 7HVW PHWKRGV IRU ,QVXODWLRQ DQG 6KHDWKV RI (OHFWULF &DEOHV DQG
&RUGV
,(& &RPPRQ6SHFLILFDWLRQVIRUKLJKYROWDJHVZLWFKJHDUDQGFRQWUROJHDU
VWDQGDUGV
,(& 7HVWVRQJDVHVHYROYHGGXULQJFRPEXVWLRQRIHOHFWULFFDEOHV
,(& 6KRUW&LUFXLW&XUUHQWV,Q7KUHH3KDVH
,(& /96ZLWFKJHDUDQG&RQWUROJHDU
,(& 0HDVXUHPHQWRIVPRNHGHQVLW\RIFDEOHVXQGHUGHILQHGFRQGLWLRQV
&(, /LJKWQLQJ3URWHFWLRQ
%ULWLVK6WDQGDUGV
%6 ,QVXODWHG FDEOHV XS WR N9 ± $UPRUHG FDEOHV ZLWK WKHUPRVHWWLQJ
LQVXODWLRQ
%6 (OHFWULFDO6XUIDFH+HDWLQJ
%6 &DEOHVZLWK([WUXGHG;/3(RU(35LQVXODWLRQIRUUDWHGYROWDJHV
N9XSWRN9
%6 &DWKRGLF 3URWHFWLRQ 3DUW &RGH RI 3UDFWLFH IRU /DQG DQG
0DULQH$SSOLFDWLRQV
%6 'HVLJQ RI 0HGLXP DQG +LJK YROWDJH VXEVWDWLRQ ,3 ,QWHUQDWLRQDO
3HWUROHXP,QVWLWXWHPRGHOFRGHRIVDIHSUDFWLFH,33DUW
1$&(1DWLRQDO$VVRFLDWLRQRI&RUURVLRQ(QJLQHHUV
1$&(53 0LWLJDWLRQ RI $OWHUQDWLQJ &XUUHQW DQG /LJKWQLQJ (IIHFWV RQ 0HWDOOLF
6WUXFWXUHVDQG&RQWURO6\VWHPV
1$&(53 (OHFWULFDO,VRODWLRQRI&DWKROLFDOO\3URWHFWHG3LSHOLQHV
,QWHUQDO&WUO1R
*$55$)),1$/'(9(/230(173/$1*)'3
'RFXPHQW1R *)'3&2035-63*(
5HYLVLRQ
3DJH RI
'HVLJQ%DVLV0HPRUDQGXP*HQHUDO
1$&(53 'HVLJQLQVWDOODWLRQRSHUDWLRQDQGPDLQWHQDQFHRI,PSUHVVHG&XUUHQW
'HHS*URXQG%HGV
1$&(05 0DWHULDOV IRU XVH LQ +6 ± FRQWDLQLQJ (QYLURQPHQWV LQ 2LO DQG *DV
3URGXFWLRQ
&LYLO
$PHULFDQ&RGHVDQG6WDQGDUGV
$,6& 0DQXDORI6WHHO&RQVWUXFWLRQ/5)'
$6&( 0LQLPXP 'HVLJQ /RDGV IRU %XLOGLQJV DQG 2WKHU 6WUXFWXUHV
$:6' 6WUXFWXUDO:HOGLQJ&RGH6WHHO
$:6' 6WHHO6WUXFWXUDO:HOGLQJ&RGH5HLQIRUFLQJ6WHH
$:64& 6WDQGDUGIRU$:6&HUWLILFDWLRQRI:HOGLQJ,QVSHFWRUV
$670$0 6SHFLILFDWLRQIRU6WUXFWXUDO6WHHO
$670$ 6SHFLILFDWLRQ IRU 3LSH 6WHHO %ODQN DQG +RW'LSSHG =LQF &RDWHG
:HOGHGDQG6HDPOHVV
$670$ 6SHFLILFDWLRQ IRU =LQF +RW'LS *DOYDQL]HG &RDWLQJV RQ ,URQ DQG
6WHHO3URGXFWV
$670$ 6SHFLILFDWLRQ IRU 6WHHO :HOGHG :LUH )DEULF 3ODLQ IRU &RQFUHWH
5HLQIRUFHPHQW
$670$ :HOGHGDQGVHDPOHVV6WHHO3LSH3LOHV
$670$ 6SHFLILFDWLRQ IRU &DUERQ 6WHHO %ROWV DQG 6WXGV SVL 7HQVLOH
6WUHQJWK
,QWHUQDO&WUO1R
*$55$)),1$/'(9(/230(173/$1*)'3
'RFXPHQW1R *)'3&2035-63*(
5HYLVLRQ
3DJH RI
'HVLJQ%DVLV0HPRUDQGXP*HQHUDO
$670 6SHFLILFDWLRQIRU+LJK6WUHQJWK%ROWVIRU6WUXFWXUDO6WHHO-RLQWV
$0
$670$ =LQF&RDWHG6WHHO&KDLQOLQNIHQFHIDEULF
$670 6SHFLILFDWLRQIRU+LJK6WUHQJWK6WHHO%ROWV&ODVVHVDQG
$0 IRU6WUXFWXUDO-RLQWV
$670$ :HOGHGGHIRUPHGVWHHOZLUHIDEULFIRUFRQFUHWHUHLQIRUFHPHQW
$670$ 6SHFLILFDWLRQ)RU&ROG)RUPHG:HOGHGDQG6HDPOHVV&DUERQ6WHHO
6WUXFWXUDO7XELQJLQ5RXQGVDQG6KDSHV
$670$ 'HIRUPHGDQGSODLQELOOHWVWHHOEDUVIRUFRQFUHWHUHLQIRUFHPHQW
$670 6SHFLILFDWLRQIRU5ROOHG6WHHO)ORRU3ODWHV
$0
$670 6SHFLILFDWLRQIRU6WUXFWXUDO6WHHO
$0
$670& 6SHFLILFDWLRQIRUFRQFUHWHDJJUHJDWHV
$670& 6SHFLILFDWLRQIRU/RDG%HDULQJ&RQFUHWH0DVRQU\8QLWV
$670& &RQFUHWH0DVRQU\8QLWV+ROORZ1RQ/RDG%HDULQJ
$670& $JJUHJDWHVIRU0DVRQU\0RUWDU
$670& &RQFUHWH0DVRQU\8QLWV6ROLG/RDG%HDULQJ
$670& 6SHFLILFDWLRQIRU0RUWDUIRU8QLW0DVRQU\
$670& 6WDQGDUG 7HVW 0HWKRG IRU :DWHU6ROXEOH &KORULGH LQ 0RUWDU DQG
&RQFUHWH
$670' 6WDQGDUG6SHFLILFDWLRQIRUFUXVKHGVWRQHFUXVKHGVDJDQGFUXVKHG
JUDYHO IRU 'U\ :DWHU %RXQG %DVH &RXUVHV DQG VXUIDFH FRXUVHV RI
SDYHPHQWV
$670' 6WDQGDUG WHVW PHWKRG IRU 'HQVLW\ RI VRLO LQ SODFH E\ WKH VDQG FRQH
PHWKRG
$670' 6WDQGDUGWHVWPHWKRGIRUPRLVWXUHGHQVLW\UHODWLRQVKLSV
,QWHUQDO&WUO1R
*$55$)),1$/'(9(/230(173/$1*)'3
'RFXPHQW1R *)'3&2035-63*(
5HYLVLRQ
3DJH RI
'HVLJQ%DVLV0HPRUDQGXP*HQHUDO
$670)0 6SHFLILFDWLRQIRU+DUGHQHG6WHHO:DVKHUV
$670) 6WDQGDUG 6SHFLILFDWLRQ IRU $QFKRU %ROWV 6WHHO DQG NVL
<LHOG6WUHQJWK
$&,5 *XLGHWR'XUDEOH&RQFUHWH
$&,5 &KHPLFDO$GPL[WXUHVIRU&RQFUHWH
$&, 6SHFLILFDWLRQVIRU6WUXFWXUDO&RQFUHWHIRU%XLOGLQJV
$&,5 5HFRPPHQGHG3UDFWLFHIRU&RQFUHWH)ORRUDQG6ODE&RQVWUXFWLRQ
$&,5 *XLGHIRU0HDVXULQJ0L[LQJ7UDQVSRUWLQJDQG3ODFLQJ&RQFUHWH
$&,5 3ODFLQJ&RQFUHWHE\3XPSLQJ0HWKRGV
$&,5 +RW:HDWKHU&RQFUHWLQJ
$&, 6WDQGDUG3UDFWLFHIRU&XULQJ&RQFUHWH
$&,5 *XLGHIRU&RQVROLGDWLRQRI&RQFUHWH
$&, 'HWDLOLQJ0DQXDOIRU5HLQIRUFHG&RQFUHWH
$&, %XLOGLQJ&RGH5HTXLUHPHQWVIRU5HLQIRUFHG&RQFUHWH
$&,0 %XLOGLQJ&RGH5HTXLUHPHQWVIRU5HLQIRUFHG&RQFUHWH
$&,0 %XLOGLQJ&RGH5HTXLUHPHQWVIRU6WUXFWXUDO3ODLQ&RQFUHWH
$&,5 $QDO\VLVDQG'HVLJQRI5HLQIRUFHG&RQFUHWH%ULGJH6WUXFWXUHV
$&,5 *XLGHWR)RUPZRUNIRU&RQFUHWH
$&,5 (QYLURQPHQWDO(QJLQHHULQJ&RQFUHWH6WUXFWXUHV
$&,5 'HVLJQRI6ODERQ*UDGH
$&,5 *XLGHWR-RLQW6HDODQWVIRU&RQFUHWH6WUXFWXUHV
$&,5 $*XLGHWRWKHXVHRI:DWHUSURRILQJ'DPSSURRILQJ3URWHFWLYHDQG
'HFRUDWLYH%DUULHU6\VWHPVIRU&RQFUHWH
,QWHUQDO&WUO1R
*$55$)),1$/'(9(/230(173/$1*)'3
'RFXPHQW1R *)'3&2035-63*(
5HYLVLRQ
3DJH RI
'HVLJQ%DVLV0HPRUDQGXP*HQHUDO
$&, 5HFRPPHQGHG 3UDFWLFH IRU $WPRVSKHULF 3UHVVXUH 6WHDP &XULQJ RI
&RQFUHWH
&56, 3ODFLQJ5HLQIRUFLQJ%DUV
&56, 0DQXDORI6WDQGDUG3UDFWLFHXVHGLQFRQMXQFWLRQZLWK$&,
,%& ,QWHUQDWLRQDO%XLOGLQJ&RGH
3,367& 3URFHVV,QGXVWU\3UDFWLFHV6WUXFWXUDO'HVLJQ&ULWHULD
%ULWLVK6WDQGDUGV
%6 6SHFLILFDWLRQIRU+RW5ROOHG6HFWLRQV
%6 6SHFLILFDWLRQRI:HLJKWVIRU%XLOGLQJ0DWHULDOV
%6 6RLOVIRU&LYLO(QJLQHHULQJ3XUSRVHV
%6 7KH'HVLJQDQG7HVWLQJRI6WHHO2YHUKHDG5XQZD\%HDPV
%6 ,620HWULF3UHFLVLRQ+H[DJRQ%ROWV6FUHZVDQG1XWV
%6 ,620HWULF%ODFN+H[DJRQ%ROWV6FUHZVDQG1XWV
%6 &DUERQ6WHHO%DUVIRUWKH5HLQIRUFHPHQWRI&RQFUHWH
%6 6WHHOIDEULFIRUWKH5HLQIRUFHPHQWRI&RQFUHWH
%6 *UDWLQJ
%6 7KH 8VH RI +LJK 6WUHQJWK )ULFWLRQ *ULS %ROWV LQ 6WUXFWXUDO 6WHHO
:RUNV0HWULF6HULHV
%6 &RGHRI3UDFWLFHIRU*URXQG,QYHVWLJDWLRQV
%6 6WUXFWXUDO8VHRI6WHHOZRUNLQ%XLOGLQJ
%6 &RGHRI3UDFWLFHIRU8VHRI0DVRQU\
%6 6SHFLILFDWLRQIRU3UHFDVW&RQFUHWH0DVRQU\8QLWV
%6 /RDGLQJ IRU %XLOGLQJV 3DUW &RGH RI 3UDFWLFH IRU 'HDG DQG
,PSRVHG/RDGV
%6 (DUWK5HWDLQLQJ6WUXFWXUHV
%6 &RGHRI3UDFWLFHIRU)RXQGDWLRQV
%6 'HVLJQRI&RQFUHWH6WUXFWXUHVIRU5HWDLQLQJ$TXHRXV/LTXLGV
,QWHUQDO&WUO1R
*$55$)),1$/'(9(/230(173/$1*)'3
'RFXPHQW1R *)'3&2035-63*(
5HYLVLRQ
3DJH RI
'HVLJQ%DVLV0HPRUDQGXP*HQHUDO
%6 *URXQG$QFKRUDJHV
%6 6WUXFWXUDO8VHRI&RQFUHWH
%6&3 &RGHRI%DVLF'DWDIRU'HVLJQRI%XLOGLQJV&KDSWHU9/RDGLQJ3DUW
:LQG/RDGV
%6(1 ([HFXWLRQRIVSHFLDOJHRWHFKQLFDOZRUN%RUHGSLOHV
%6(1 6SHFLDO*HRWHFKQLFDO:RUNV*URXQG$QFKRUV
%6&3 &RGHRI3UDFWLFHIRU)RXQGDWLRQVIRU0DFKLQHU\
%6(1 6SHFLILFDWLRQ IRU 7ROHUDQFHV RQ 'LPHQVLRQV 6KDSH DQG 0DVV IRU
+RWUROOHG6WHHO3ODWHVPP7KLFNRI$ERYH
%6(1 +RWUROOHG6WHHO(TXDO)ODQJH7HHVZLWK5DGLXVHG5RRWDQG7RHV
%6(1 6SHFLILFDWLRQIRU6WUXFWXUDO6WHHO(TXDODQG8QHTXDO$QJOHV
%6(1 +RWUROOHG3URGXFWVLQ:HOGDEOH)LQH*UDLQ6WUXFWXUDO6WHHO
%6(1 +RW)LQLVKHG6WUXFWXUDO+ROORZ6HFWLRQVRI1RQ$OOR\DQG)LQH*UDLQ
6WUXFWXUDO6WHHOV
%6(1 ([HFXWLRQRI6SHFLDO*HRWHFKQLFDO:RUNV0LUFRSLOHV
3LSLQJ 3LSHOLQH
$PHULFDQ3HWUROHXP,QVWLWXWH$3,
$3,/ 6SHFLILFDWLRQIRU/LQH3LSH
$3,53/: 5HFRPPHQGHG 3UDFWLFH IRU 7UDQVSRUWDWLRQ RI /LQH 3LSH RQ %DUJHV
DQG0DULQH9HVVHOV
$3,53/ 5HFRPPHQGHG3UDFWLFHIRU5DLOURDG7UDQVSRUWDWLRQRI/LQH3LSH
$3,$ 6SHFLILFDWLRQIRU:HOOKHDGDQG&KULVWPDV7UHH(TXLSPHQW
$3, 3LSHOLQH9DOYHV
',62
,QWHUQDO&WUO1R
*$55$)),1$/'(9(/230(173/$1*)'3
'RFXPHQW1R *)'3&2035-63*(
5HYLVLRQ
3DJH RI
'HVLJQ%DVLV0HPRUDQGXP*HQHUDO
$3,)$ )LUH6DIH7HVWRI9DOYHV
$3, )LUH7HVWIRU6RIW6HDWHG4XDUWHUWXUQ9DOYHV
$3, 6WHHO/LQH%ODQNV
$3, 9DOYH,QVSHFWLRQDQG7HVW
$3,53 5HFRPPHQGHG3UDFWLFHIRU6WHHO3LSHOLQHV&URVVLQJ5DLOURDGVDQG
+LJKZD\V
$3, 6WDQGDUGIRU:HOGLQJ3LSHOLQHVDQG5HODWHG)DFLOLWLHV
$60(% /LTXLG7UDQVSRUWDWLRQ6\VWHPVIRU+\GURFDUERQVDQGRWKHU/LTXLGV
$PHULFDQ6RFLHW\RI0HFKDQLFDO(QJLQHHUV$60(
$60(% 3URFHVV3LSLQJ
$60(% *DV7UDQVPLVVLRQDQG'LVWULEXWLRQ3LSLQJ6\VWHPV
$60(% 3LSH)ODQJHVDQG)ODQJHG)LWWLQJV
$60(% )DFWRU\0DGH:URXJKW6WHHO%XWW:HOGLQJ)LWWLQJV
$60(% 0HWDOOLF*DVNHWVIRU3LSH)ODQJHV
$60(% *DVNHWV)ODW1RQPHWDOOLFIRU3LSH)ODQJHV
$60(% %XWW:HOGLQJHQGV
$60(% 9DOYHV)ODQJHG7KUHDGHGDQG:HOGLQJHQGV
$60(% /LQH%ODQNV
$60(% :HOGHGDQG6HDPOHVV:URXJKW6WHHO3LSH
$60(% 6WDLQOHVV6WHHO3LSH
$60(6HFWLRQ9 1RQGHVWUXFWLYH([DPLQDWLRQV
,QWHUQDO&WUO1R
*$55$)),1$/'(9(/230(173/$1*)'3
'RFXPHQW1R *)'3&2035-63*(
5HYLVLRQ
3DJH RI
'HVLJQ%DVLV0HPRUDQGXP*HQHUDO
$60( 6HFWLRQ :HOGLQJDQG%UD]LQJ4XDOLILFDWLRQV
,;
$PHULFDQ6RFLHW\IRU7HVWLQJDQG0DWHULDOV$670
$670$ 6WDQGDUG 7HVW 0HWKRGV DQG 'HILQLWLRQV IRU 0HFKDQLFDO 7HVWLQJ RI
6WHHO3URGXFWV
$670( 1RWFKHG%DU,PSDFW7HVWLQJRI0HWDOOLF0DWHULDOV
$670( 6WDQGDUG 7HVW 0HWKRG IRU 9LFNHUV +DUGQHVV WHVWLQJ RI 0HWDOOLF
0DWHULDOV
$670( 7HVW0HWKRGIRUGHWHUPLQLQJWKH$YHUDJH*UDLQ6L]H
06663 0DUNLQJV\VWHPVIRU9DOYHVILWWLQJVIODQJHVDQGXQLRQ
06663 6SHFLILFDWLRQIRU+LJK7HVW:URXJKW%XWW:HOGLQJ)LWWLQJV
06663 6WHHO3LSHOLQH)ODQJHV
1DWLRQDO$VVRFLDWLRQRI&RUURVLRQ(QJLQHHUV1$&(
1$&(05 0DWHULDOV IRU XVH LQ +6 FRQWDLQLQJ (QYLURQPHQWV LQ RLO DQG JDV
SURGXFWLRQ
,62
1$&(70 6WDQGDUG7HVW0HWKRG/DERUDWRU\7HVWLQJRI0HWDOVIRU5HVLVWDQFH
WR6XOILGH6WUHVV&UDFNLQJLQ+6(QYLURQPHQWV
1$&( 70 6WDQGDUG 7HVW 0HWKRG (YDOXDWLRQ RI 3LSHOLQH DQG 3UHVVXUH 9HVVHO
6WHHOVIRU5HVLVWDQFHWR+\GURJHQ,QGXFHG&UDFNLQJ
,QWHUQDWLRQDO6WDQGDUGV2UJDQL]DWLRQ,62
,62 4XDOLW\0DQDJHPHQWDQG4XDOLW\$VVXUDQFH6WDQGDUGV
,62 3UHSDUDWLRQ RI VWHHO VXEVWUDWHV EHIRUH DSSOLFDWLRQ RI SDLQWV DQG
UHODWHGSURGXFWV9LVXDODVVHVVPHQWRIVXUIDFHFOHDQOLQHVV±3DUW±
,QWHUQDO&WUO1R
*$55$)),1$/'(9(/230(173/$1*)'3
'RFXPHQW1R *)'3&2035-63*(
5HYLVLRQ
3DJH RI
'HVLJQ%DVLV0HPRUDQGXP*HQHUDO
,62 6WHHODQG6WHHO3URGXFWV±,QVSHFWLRQ'RFXPHQWV
,62 1RQGHVWUXFWLYH7HVWLQJ4XDOLILFDWLRQDQGFHUWLILFDWLRQRI3HUVRQQHO
%ULWLVK6WDQGDUGV%6
%63DUW± 7HVWLQJRI9DOYHV
%6 &DWKRGLF 3URWHFWLRQ 3DUW &RGH RI 3UDFWLFH IRU /DQG DQG 0DULQH
2SHUDWLRQ
,QWHUQDO&WUO1R
*$55$)),1$/'(9(/230(173/$1*)'3
'RFXPHQW1R *)'3&2035-63*(
5HYLVLRQ
3DJH $SSHQGL[±$
'HVLJQ%DVLV0HPRUDQGXP*HQHUDO
$33(1',;±$
0,1,675<2)2,/%22./(7)25(19,5210(17$/67$1'$5'6
Ministry of Oil
Studies, Planning & Follow-up Department
Environment Division
Table of Contents:
1. Environmental Standards of Air Pollutants
2. Environmental Standards of Wastewater Effluent
3. Environmental Standards of Soil Pollutants
4. Environmental Standards of Industrial Projects
Environmental Standards of Air Pollutants, which include:
2
Maximum limits allowed for air pollutants:
There are no standards approved for quality of air in Iraq. Therefore, the
maximum limits approved by international organizations, such as the WHO
and EPA are usually adopted.
3
EPA'S NATIONAL AMBIENT AIR QUALITY STANDARDS
4
Each one part per million of the following gases equals the value indicated
opposite each:
CO= 1150 µg/m3
NO= 1230 µg/m3
NO2= 1880 µg/m3
SO2= 2600 µg/m3
O3= 2000 µg/m3
5
ENVIRONMENTAL STANDARDS
FOR WASTEWATER EFFLUENT QUALITY
6
LAW NO.: (25) OF 1967 ON MAINTAINING RIVERS AND
ACCOMPANYING INSTRUCTIONS
7
discharging any kind of wastes to the resource, and are considered as the
maximum level permitted for water resource ingredients.
b. Effluent Water
b.1 Effluent water discharged to a water resource
Schedule No.: (2) enclosed herewith includes the physical, chemical and biological
levels required for the effluent water discharged to resources.
b.4 Specific levels shall be clarified for the effluent water discharged into the
marches provided that para (b-1) above is complied with as regards the poisonous
and hydrocarbon materials.
8
Note: Concentration in mg/l unless otherwise indicated
Sl. Material a-1 a-2 a-3 a-4
No.
1. Color Normal Normal Normal Normal
2. Heat - - - -
3. TSP - - - -
4. PH concentration 8.5-6.5 8.5-6.5 8.5-6.5
5. Dissolved Oxygen ²5 ²5 ²5 -
6. B.O.D.5 ¢5 ¢3 ¢3
7. CO.D.CR207 - - - -
8. Cyanide 0.02 0.02 0.02 0.02
9. Fluoride 0.2 or more as naturally existent in the resource
10. Free Chlorine Trace Trace Trace Trace
11. Chlorides 200 or more 200 naturally 200 existent 200 the
as in resource
12. Phenol 0.005 0.005 0.005 0.005
13. Sulfurs 200 or more 200 naturally 200 existent 200 the
as in resource
14. Nitrate 15 15 15 15
15. Phosphate 0.4 0.4 0.4 0.4
16. Ammonium 1.0 1.0 1.0 -
17. DDT 0 0 0 0
18. Lead 0.05 0.05 0.05 0.05
19. Arsenic 0.05 0.05 0.05 0.05
20. Copper 0.05 0.05 0.05 0.05
21. Nickel 0.1 0.1 0.1 0.1
22. Selenium 0.01 0.01 0.01 0.01
23. Mercury 0,001 0,001 0,001 0,001
24. Cadmium 0.005 0.005 0.005 0.005
25. Zink 0.5 0.5 0.5 0.1
26. Chromium 0.05 0.05 0.05 0.05
27. Aluminum 0.1 0.1 0.5 -
28. Barium 1.0 1.0 1.0 1.0
29. Boron 1.0 1.0 1.0 1.0
30. Cobalt 0.05 0.05 0.05 0.05
31. Iron 0.3 0.3 0.3 0.5
32. Manganese 0.1 0.1 0.1 0.1
33. Silver 0.01 0.01 0.01 0.01
34. Total Hydrocarbons - - - -
& Derivates
35. Sulfide - - - -
36. Ammonium - - - -
37. Ammonium Gas - - - -
38. SO2 - - - -
39. Petroleum Alcohol - - - -
9
40. Carbide Calcium - - - -
41. Organic Solvents - - - -
42. Benzene - - - -
43. Chlorobenzene - - - -
44. TNT - - - -
45. Bromine - - - -
Remark:
a-1 to a-4 are meant as indicated in the water classification paragraph and pertain
to the authority responsible for implementing the regulation (Public Human
Environment Directorate) as a guide.
10
increase over 600mg/l
c. If the fluoride
concentration in the
resource water is less than
200 mg/l, each case shall
be examined separately by
the authority responsible
for application of the
system
12. Phenol 0.01-0.05 5-10
13. Sulfurs a. if the rate of water
quantity discharged into
the water resource is
1:1000 or less, sulfurs
concentration in the
resource may be increased
by 1% of the normal
concentration in the
resource prior to discharge
b. If the rate of water
quantity discharged into
the water resource is more
than 1:1000, sulfurs
concentration in the
discharged water may not
increase over 400mg/l
c. If the sulfurs
concentration in the
resource water is less than
200 mg/l, each case shall
be examined separately by
the authority responsible
for application of the
system
14. Nitrate 50 -
15. Phosphate 3.0 -
16. Ammonium - -
17. DDT 0 -
18. Lead 0.1 0.1
19. Arsenic 0.05 0.05
20. Copper 0.2 -
21. Nickel 0.2 0.1
22. Selenium 0.05 -
23. Mercury 0.005 0.001
24. Cadmium 0.01 0.1
25. Zink 2.0 0.1
26. Chromium 0.1 0.1
11
27. Aluminum 5.0 20
28. Barium 4.0 0.1
29. Boron 1.0 1.0
30. Cobalt 0.5 0.5
31. Iron 2.0 15
32. Manganese 0.5 -
33. Silver 0.05 0.1
34. Total Hydrocarbons Total hydrocarbon
& Derivates materials may be
discharged into water
resources a-1 and a-2
according to the
concentrations and levels
indicated in the above
schedules provided that
such concentrations shall
be measures prior to
mixing same with the
water resource. No
hydrocarbon materials
may be discharged into the
water resources a-3 and a-
4.
First: 10 mg/l according to
the following levels:
a. water discharged into
the resource water is not
less than 1:1000 or less
b. river is in continuous
flow
Second: 5 mg/l according
to the following levels:
a. water discharged into
the resource water is not
less than 1:500 or less
b. river is in continuous
flow
Third: 3 mg/l according to
the following levels:
a. water discharged into
the resource water is not
less than 1:300 or less
b. river is in continuous
flow
35. Sulfide - 3.0
36. Ammonium - 10.0
37. Ammonium Gas - 6.0
38. SO2 - 7.0
12
39. Petroleum Alcohol - Not permitted
40. Carbide Calcium - Not permitted
41. Organic Solvents - Not permitted
42. Benzene - 0.5
43. Chlorobenzene - 0.1
44. TNT - 0.5
45. Bromine - 3-1
Remark:
b-1 to b-4 are meant as indicated in the water classification paragraph and include
the levels which must be complied with by the authority responsible for the
discharge process.
Permitted concentration may be increased at a specific rate in special cases
depending on extent of impact of the required discharge on the respective water
resource.
13
WASTEWATER EFFLUENT STANDARD
WB HANDBOOK
14
SOIL CONTAMINANTS CONCENTRATION, INCLUDING
x Soil Investigation Levels- Australian Criteria
x Contaminants of concern in soil- Dutch Criteria
15
SOIL INVESTIGATION LEVELS (MG/KG)
Metals A B C D
Arsenic (total) 100 400 200 500
Beryllium 20 80 40 100
Cadmium 20 80 40 100
Chromium (III) 12% 48% 24% 60%
Chromium (VI) 100 400 200 500
Cobalt 100 400 200 500
Copper 1000 4000 2000 5000
Lead 300 1200 600 1500
Manganese 1500 6000 3000 7500
Methyl Mercury 10 40 20 50
Mercury (inorganic) 15 60 30 75
Nickel 600 2400 600 3000
Zinc 7000 28000 14000 35000
Organics
Aldrin + Dieldrin 10 40 20 50
Chlordane 50 200 100 250
DDT+DDD+DDE 200 800 400 1000
Heptachlor 10 40 20 50
Polycyclic aromatic 20 80 40 100
Hydrocarbons (PAHs)
Benzo(a)pyrene 1 4 2 5
Phenol 8500 34000 17000 42500
PCBs (Total) 10 40 20 50
16
Petroleum Hydrocarbon
Components
(constituents):
>C16 – C35 Aromatics 90 360 180 450
>C16-C35 Aliphatics 5600 22400 11200 28000
>C35 Aliphatics 56000 224000 112000 280000
OTHER
Boron 3000 12000 6000 15000
Cyanides (Complexed) 500 2000 1000 2500
Cyanides (free) 250 1000 500 1250
17
ENVIRONMENTAL REGULATIONS FOR INDUSTRIAL,
AGRICULTURAL & SERVICE PROJECTS
18
ENVIRONMENTAL REGULATIONS
FOR INDUSTRIAL, AGRICULTURAL & SERVICE PROJECTS 1990
Interpretations
- Site Standards: means the specifications to be taken into consideration
upon selecting an industrial site or activity of any other nature which has a
harmful impact on the environment. Exceeding these site standards leads
to harm to public health and the environment directly or indirectly.
- Environmental Requirements: means additions in work methods and
technological units which must be provided in the activity as part of the
project or the production process which could lead to lessening the
pollution hazards or final elimination.
- Primary design limits: means the primary designs of cities and villages
intended for development by virtue of rural development and settlement
plan.
- River Maintenance Regulation in force: means the River Maintenance
Regulation No.: (25) of 1967 by virtue of the latest amendment officially in
force.
- Levels in force for the surrounding air quality: means air quality levels
by virtue of the latest amendment.
- Prevailing wind direction: means the direction where winds blow from
for the longest period of time during the year according to the other
directions, provided that the angle from which the direction is measured
shall not be less than 45 degrees (i.e. wind direction within an angle of 45
degrees).
- Environmental Classification of Pollution Resources: for the purpose
of facilitating the task of authorities granting approvals to exercising
19
industrial, agricultural or service activities, the following regulation shall be
approved dividing activities into three primary categories; a, b and c in
terms of environmental pollution intensity, as follows:
20
remarkable pollution, small agricultural projects, residential
complexes, hotels and hospitals which result in pollutants of
organic content and can be easily treated by using treatment units,
and therefore can be exercised within and outside the boundaries of
the primary designs, according to the instructions issued by the
technical committee formed by order of the Ministry of Industry
and Military Manufacturing under No.: 27541 on 7.12.1988,
permitting farm owners to construct non-pollutant industries inside
their farms.
Remarks:
1. Any site standards or other environmental requirements may be added as
necessary after informing the Environment Protection and Improvement
Department of same in advance.
2. The site standards or environmental requirements do not conflict with the
licensing authority's requirement for an undertaking from the stakeholders
on the good management, maintenance and proper operation of the
treatment units to lessen the pollution as per the condition of the project
and on bearing the legal consequences if otherwise is proved.
3. The Health Departments in Baghdad and provinces / Environment
Protection and Improvement Divisions shall be advised about the
approvals issued by the central and district authorities to facilitate the
mission of control.
4. All activities covered by these regulations shall be subject to environmental
control by the Environment Protection and Improvement Divisions in
Baghdad and the provinces and shall be furnished as periodic reports to
the Environment Protection and Improvement Department.
21
Development Projects for Chemical, Petrochemical and Petroleum
Industries
Means major plants of high production capacity for the manufacturing and
production of chemical and petrochemical materials beginning from the primary
materials, such as:
Chemical nitrogen or compound fertilizers; chemical pesticides of all kinds; paper
factories; organic or non-organic acid production plants; petrochemical industries
of all forms; oil refineries; oil and natural gas exploration; chlorine gas production
plants.
Environmental Classification:
Environmental polluting activities, category (a)
Site Standards:
1. The allocated site must be away from the primary design boundaries by at
least 15 km. in the direction of the prevailing wind and at least 10 km. for
the other directions.
2. These projects may not be constructed in valleys and narrow natural low
areas, and in leveled lands if the prevailing winds are obstructed by natural
or man-made source (a hill or forests as wind breaker).
3. In cases of extreme necessity a study shall be conducted to assess the
environmental impact of the proposed project by virtue of detailed
particulars.
4. The treated water discharge point shall be specified at a distance of no less
than 5 km from the potable water source.
22
5. Since extraction of oil, gas and ores is related to the nature of the location,
the matter shall be left to the discretion of the concerned authorities in
coordination with the Environment Protection and Improvement
Department.
Environmental Requirements:
1. Integrated units shall be added for the treatment of liquid industrial wastes
to ensure conformity with the Rivers Maintenance Regulation. Treatment
plants shall be determined along with the primary studies of the project by
the supplier company or engineering consultant offices certified in the
country.
2. Units shall be added for the treatment of gaseous and solid emissions to
ensure conformity with the air quality outside the boundaries of the
project with the local specifications of air quality.
3. The implementing entity (or engineering consultant offices certified in the
country) shall be responsible for accuracy of the designs and calculations
for what is indicated in (1&2). The Project Owner or Operator shall be
responsible for efficiency of operation. The treated effluent water shall
conform to the River Maintenance Regulation in Iraq No.: 25 of 1967.
4. Solid wastes shall be treated by ground disposal or incineration. However,
hazardous or poisonous solid wastes are disposed in the ground in the
allocated locations.
5. Environment Protection and Improvement Divisions in Baghdad and the
provinces shall be responsible for environmental follow-up of all pollution
forms resulting from the plants or projects, in addition to efficiency of
treatments and conformity of water and air specifications with the
applicable legislations and standards.
23
6. A fully equipped laboratory shall be provided to conduct tests on industrial
waters after treatment to ensure their conformity with the environmental
standards.
Environmental Classification
Environmental polluting industries, Category (C).
Site Standards
1. Permitted to be constructed within the boundaries of the primary designs
of cities or industrial or service areas or storage areas, and within fuel
stations located in the aforesaid areas.
2. Not permitted to be constructed in the agricultural or residential areas.
3. Permitted to be constructed on highways (outside the boundaries of the
primary designs) and in the fuel sale stations (as integrated stations).
Environmental Requirements
1. Oil traps by virtue of the plan approved by Baghdad Municipality and
Municipality Departments in the provinces.
2. A tank of sufficient capacity to collect consumed engine oils and ensure
that these oils are not leaked with the washing water and dispose of same
as per the official instructions.
3. Clean the oil traps, sedimentation tanks and water networks from mud on
regular intervals to ensure the proper operation of same.
24
4. In case the area has a public sewage network, water can be discharged into
ground tanks the capacity of which conform to the garage capacity and
subsequently into the public sewage.
5. In case the area has no public sewage, water is discharged into ground
tanks constructed for this purpose, whose capacity match the garage
capacity, to be transported to locations determined by the Municipality
Departments.
Environmental Classification
Environmental polluting activities, Category (C).
Site Standards
1. Gas sale squares shall be away from the nearest residential unit by a
distance of at least 100 meters, and fuel sale stations away by at least 40
meters from residential units.
2. The site allocated for construction of fuel sale stations and gas sale squares
shall be away at a distance of at least 100 meters from schools,
kindergartens, nurseries and hospitals.
3. May be constructed on highways, external roads and main streets after
obtaining the approval of the concerned authorities.
4. Washing and lubrication concerns in fuel stations may be constructed on
external roads provided that the said environmental requirements are
provided in the washing and lubrication garages.
25
Environmental Requirements
1. A fence of at least two meters high shall be built for the gas cylinder sale
squares.
2. Safety requirements, especially fire and accidents control to prevent
environmental pollution for the surrounding areas.
3. In case of locations specified for the sale of white oil and gas, requirements
to be provided to collect the leaked oils in accordance with the designs
prepared by the Ministry of Oil.
Environmental Classification
Environmental polluting activities, Category A.
Site Standards
1. The site must be outside the boundaries of primary designs of cities by a
large distance, preferably in the desert. Specific sites shall be allocated for
burial of hazardous wastes.
2. Sites shall be away from water resources by a distance of at least 5 km.
3. Site specifications shall be as follows:
a. Ground water level's depth shall not be less than 10m.
b. Soil nature shall be non-porous silt.
26
c. Area topography shall be observed to ensure that segregated liquids do not
transfer to other areas.
4. The site shall be away from soil erosion and floods resulting from the fall
of large quantities of rain water.
5. Site depth shall be max. 4-5m.
Environmental Requirements
1. A fence shall be constructed around the site with distinctive sign.
2. An appropriate material in terms of cost and wastes shall be selected to
form a lining for the site and prevent materials leakage and ground water
pollution.
3. All security requirements shall be provided to control sudden accidents in
the site which could cause the pollution of the surrounding area.
4. Four monitoring wells shall be drilled for the suction of ground water and
testing of its components to identify extent of pollution across the ground
water and monitor the water levels and decomposition in the site.
5. The site is considered as closed for at least thirty (30) years during which it
shall not be used for any activity.
6. Hazardous and poisonous wastes shall be mixed when they are disposed in
the ground with non-poisonous materials such as carton, paper, wood and
constructional debris wastes.
Environmental Classification
27
Environmental polluting activities, Category (b)
Site Standards
1. Permitted to be constructed within the boundaries of the primary designs
of cities in the industrial zones and storage zones and in the open areas in
case same does not conflict with the proposed uses for such sites by virtue
of the design.
2. Shall be away by at least 100m. from the boundaries of residential areas.
3. Shall be away by at least 50m. from the nearest industrial facility and 250m.
from thermal facility (Standard 1289 of 1988).
4. May be constructed on highways and external roads after obtaining the
approval of the concerned authorities.
Environmental Requirements
1. A fence to be built of at least 2m. high of non-inflammable materials (same
specifications as above), adding bribed wires at top of the fence at 75cm.
high.
2. All safety and fire protection requirements shall be provided and
controlled by virtue of the Iraqi Standard No.: (1435) of 1989.
3. Sensors shall be placed for early warning against leakage cases and increase
of hydrocarbon gases concentration in the surrounding air.
4. Maintain the manual pumps for filling cylinders and spread awareness
among the workers on hazards of leakage from both environmental and
safety aspects.
28