You are on page 1of 3605

WORKSHOP MANUAL

N SERIES

∗R99.00.01-01-E
PubNo. N∗
THIS MANUAL INCLUDES FOLLOWING SECTIONS:

G. Export 99.00MY
SECTION CONTENTS
0 GENERAL INFORMATION
1 HEATING,VENTILATION AND AIR CONDITIONING
2 FRAME AND CAB
3 STEERING,SUSPENSION WHEELS AND TIRES
4 PROPELLER SHAFT AND AXLE
5 BRAKES
6 ENGINE (4H SERIES)
6 ENGINE (4J SERIES)
7 AUTOMATIC TRANSMISSION (450-43LE)
7 MANUAL TRANSMISSION AND CLUTCH
(MSB TYPE)
7 MANUAL TRANSMISSION AND CLUTCH
(MXA TYPE)
7 MANUAL TRANSMISSION AND CLUTCH
(MBP TYPE)
8 CAB AND CHASSIS ELECTRICAL
(LEFT HAND DRIVE MODEL)
8 CAB AND CHASSIS ELECTRICAL
(RIGHT HAND DRIVE MODEL)
POWER TAKE OFF
THIS MANUAL INCLUDES FOLLOWING SECTIONS:

Europe 00MY
SECTION CONTENTS
0 GENERAL INFORMATION (EUROPE)
1 HEATING,VENTILATION AND AIR CONDITIONING
2 FRAME AND CAB
3 STEERING,SUSPENSION WHEELS AND TIRES
4 PROPELLER SHAFT AND AXLE
5 BRAKES
6 ENGINE (4H SERIES)
6 ENGINE (4J SERIES)
7 MANUAL TRANSMISSION AND CLUTCH
(MSB TYPE)
7 MANUAL TRANSMISSION AND CLUTCH
(MXA TYPE)
7 MANUAL TRANSMISSION AND CLUTCH
(MBP TYPE)
8 CAB AND CHASSIS ELECTRICAL
(LEFT HAND DRIVE MODEL)
8 CAB AND CHASSIS ELECTRICAL
(RIGHT HAND DRIVE MODEL)
THIS MANUAL INCLUDES FOLLOWING SECTIONS:

Europe 01MY
SECTION CONTENTS
0 GENERAL INFORMATION (EUROPE)
1 HEATING,VENTILATION AND AIR CONDITIONING
2 FRAME AND CAB
3 STEERING,SUSPENSION WHEELS AND TIRES
4 PROPELLER SHAFT AND AXLE
5 BRAKES
5A4 ANTI-LOCK BRAKE SYSTEM (ABS)
6 ENGINE (4H SERIES)
6 ENGINE (4J SERIES)
7 MANUAL TRANSMISSION AND CLUTCH
(MSB TYPE)
7 MANUAL TRANSMISSION AND CLUTCH
(MXA TYPE)
7 MANUAL TRANSMISSION AND CLUTCH
(MBP TYPE)
8 CAB AND CHASSIS ELECTRICAL
(LEFT HAND DRIVE MODEL)
8 CAB AND CHASSIS ELECTRICAL
(RIGHT HAND DRIVE MODEL)
8 CAB AND CHASSIS ELECTRICAL
(ANTI-LOCK BRAKE SYSTEM<ABS>SUPPLEMENT)
THIS MANUAL INCLUDES FOLLOWING SECTIONS:

Australia 00MY
SECTION CONTENTS
1 HEATING,VENTILATION AND AIR CONDITIONING
2 FRAME AND CAB
3 STEERING,SUSPENSION WHEELS AND TIRES
4 PROPELLER SHAFT AND AXLE
5 BRAKES
6 ENGINE (4H SERIES)
7 MANUAL TRANSMISSION AND CLUTCH
(MXA TYPE)
7 MANUAL TRANSMISSION AND CLUTCH
(MBP TYPE)
8 CAB AND CHASSIS ELECTRICAL
(RIGHT HAND DRIVE MODEL)
WORKSHOP MANUAL
N-SERIES

POWER TAKE OFF


(with oil pump)

International Service & Parts


Tokyo, Japan
NOTICE

Before using this Workshop Manual to assist you in performing


vehicle service and maintenance operations, it is recommended
that you carefully read and thoroughly understand the
information contained in Section 0A under the headings
“GENERAL REPAIR INSTRUCTIONS” and “HOW TO USE THIS
MANUAL”.

All material contained in this Manual is based on the latest


product information available at the time of publication.
All rights are reserved to make changes at any time without
prior notice.

Applicable Model :
N-Series

This manual is applicable to 1994 year model and later vehicles.


THIS MANUAL INCLUDES THE FOLLOWING SECTIONS:

SECTION NO. CONTENTS


Power Take Off
HOME
POWER TAKE-OFF – 1

POWER TAKE OFF

CONTENTS
PAGE
General Description . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2
On-Vehicle Service. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
Inspection and Supply of The Hydraulic Operating Fluid . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
Supply Procedure of Hydraulic Operating Fluid . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7
If the Dump Rise Operation is Disabled by Itself . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8
Total Replacement of Hydraulic Operating Fluid . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11
Air Bleeding Procedure of Hydraulic Operating Fluid . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12
Control Cable (For Rear Dump Truck). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14
Oil Pump Unit (Replacement) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29
PTO (with Oil Pump) Assembly . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 34
Unit Repair . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 39
Disassembly. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 39
Inspection and Repair. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 44
Reassembly . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 46
Troubleshooting . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 52
Main Data and Specification . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 56
Fixing Torque . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 56
Special Tools . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 57
2 POWER TAKE-OFF

GENERAL DESCRIPTION
The side with an oil pump PTO integrates the PTO The oil pump section consists of the gear pump
and the oil pump and installed in the left side of a part and the hydraulic circuit switching part, and
transmission. The shift rod for switching the "ON" the gear pump section fixs efficiency by selecting
and "OFF" of the hydraulic circuit of the PTO is and assembling the side plate. Further, the
provided at the bottom of the PTO and the oil hydraulic circuit switching portion switches the
pump main unit. three positions of "Up", "Neutral", and "Down" by
The "ON" and "OFF" of the PTO uses a gear slide the spool provided on the rod extension.
system and turn on and off the power by sliding The dump control system uses a cable system.
the output gear.
The idle gear bearing uses a needle bearing and
the output shaft uses a ball bearing to ensure
durability.

CROSS-SECTION VIEW
* This illustration is based on a rear dump truck model.

Idle gear Needle bearing

Output shaft

Output gear
Oil seal (output shaft side)

Oil pump (gear pump section)

PTO oil pump assembled point assembly drawing


PTO side Section A-A, Pump side Section C-C (Illustrated by rotating by 90 degrees counterclockwise)

PTO Rear ball bearing Bolt (oil pump to PTO)


Front ball bearing
Flow control
Shift arm (decompression valve)
Check valve B
(swing check valve)
Control cable C
connector Shift cap
A
A

D
D
Cable C
connector Spool Stopper adapter
Inner rod
Shift rod
Oil seal
O-ring Oil pump
(shift rod side) B
(hydraulic circuit switching section)
PTO oil pump hydraulic switching assembly drawing)
PTO side Section B-B, Pump side Section D-D

281LX00090
POWER TAKE-OFF – 3

HYDRAULIC CIRCUIT DIAGRAM

Dump cylinder

Check valve Flow control valve


(swing check valve) (decompression valve)

Operation lever
(PTO interlocking)

Down Neutral Up

Spool valve

Oil pump

Oil reserve tank

D08LX00103

Dump cylinder

Check valve Flow control valve


(swing check valve) (decompression valve)

Operation lever
(PTO interlocking)
Neutral
Down Up

Spool valve

Oil pump

Oil reserve tank

D08LX00104
4 POWER TAKE-OFF

Dump cylinder

Check valve Flow control valve


(swing check valve) (decompression valve)

Operation lever
(PTO interlocking)
Down
Neutral Up

Spool valve

Oil pump

Oil reserve tank

D08LX00105

SYMBOL FOR HYDRAULIC CIRCUIT

Symbol Meaning of symbol Symbol Meaning of symbol

Check valve (swing check


Spring
valve)
D08LX151 D08LX156

Detent (position stop


Cylinder
system)
D08LX152 D08LX157

Flow control valve


Manual lever (dump lever) (decompression valve)
(internal pilot method)
D08LX153 D08LX158

Hydraulic switching valve


Oil tank
(three-position valve)
D08LX154 D08LX159

Oil pump (unidirectional


flow)
D08LX155
POWER TAKE-OFF – 5

ON-VEHICLE SERVICE
Inspection and Supply of The Hydraulic
Operating Fluid
NOTE:
When inspecting and supplying hydraulic operating fluid,
you might have incurred danger. In that case, inspect and
supply hydraulic operating fluid after having fully checked
safety.

Symptoms Due to Insufficient Hydraulic


Operating Fluid
The following symptoms might have occurred. In that
case, inspect and supply hydraulic operating fluid because
it may be insufficient.
(1) The body (cargo deck) is raised only immediately.
(2) The body (cargo deck) is lugged during rise.
(3) While the body (cargo deck) is being raised, the oil
pump portion causes a large abnormal sound (such as
caterwaul or grate).
(4) After the body (cargo deck) has been raised, it drops
generating a knock.

Preparing for Hydraulic Operating Fluid Supply


If there is loading, pull down the loading. Then supply
hydraulic operating fluid after having safely and more
carefully raised the body (cargo deck) and having firmly
held the body (cargo deck) by the "safety rod" and the
"safety strut" in accordance with the following "How to
raise the body (cargo deck)".

How to Raise the Body (Cargo Deck)


(1) Put a truck at a horizontal place.

NOTE:
Never raise the body (cargo deck) on tilted ground,
soft ground, and unleveled ground. A truck may be
inverted or warp may be generated in functional
components.

At a horizontal place

F05LX00008

(2) Set the shift lever to the "Neutral" position.


Be sure to set
neutral position N.

F05LX00009
6 POWER TAKE-OFF

(3) Firmly actuate the parking brake and apply a scotch to


Release button
the rear tire.
Parking brake lever

F05LX00010

(4) Start the engine and depress the clutch pedal to the
floor. Push in the lock button of the dump lever and
release the lock to set the "Up" position.

NOTE:
"Up" Fully check that there is no person or hindrance
around a truck.
When the dump lever is operated, observe the notes
of the Note label attached to the driver's seat.
Clutch pedal
F05LX00011

(5) When the clutch pedal is slowly returned, the body


(cargo deck) is raised.
• Adjust raised speeds according to the pedal feel of
the accelerator.
• When raising the body (cargo deck), be sure to
check the lock of the dump lever.
Adjust speeds
according to the • After having raised the body (cargo deck), held the
pedal feel. body by the safety rod and the safety strut and
stop the engine.

F05LX00012 NOTE:
Suddenly returning the clutch pedal is very dangerous.
Use the engine at about 1,000 to 1,500 rpm, and do
not perform high-speed rotation, sudden acceleration
and deceleration, and unnecessary idle rotation.

NOTE:
Vertically Raise the body (cargo deck) paying full attention to
as much safety and firmly hold the body (cargo deck) by the
Firmly touch as possible
not to slide. safety rod and safety strut.
Safety Provide slight
strut clearance.
Safety
rod

Scotch

F05LX00015
POWER TAKE-OFF – 7

Oil tank
Supply Procedure of Hydraulic Operating
Fluid
Oil filler port
NOTE:
Be sure to supply a specified amount (check it by the
Oil level level plug) of hydraulic operating fluid using a cleaned
oil supply container paying full attention so that dust
or foreign matter will not be mixed in. After having
supplied oil, firmly tighten each plug.
When replacing the total amount of hydraulic
F05LX00014 operating fluid, request a service network (SS store)
of a body manufacturer.

(1) Remove the oil supply plug and level plug of the oil
Oil filler port tank in the engine stopped state.
(2) While supplying hydraulic operating fluid from the oil
Oil tank filler port, supply it until the hydraulic operating fluid
flows out from the level plug.
Oil level (3) Remove the "Safety strut" once and raise the body
(cargo deck) to the most raised position, then re-hold
it by the "Safety strut and safety rod".
(4) Additionally supply hydraulic operating fluid. When
the hydraulic operating fluid flows out from the level
F08LX00003
plug, install and firmly tighten the level plug and the
oil filler port plug.
(5) After having supplied hydraulic operating fluid,
remove the "Safety strut" and store the "safety rod".
Subsequently firmly drop the body (cargo deck) and
stop the engine.

NOTE:
Supply the hydraulic operating fluid used with
reference to the following table.

Hydraulic Operating Fluid (Turbine Oil)


0 to 30°C: VG32
Manufactured by
ShinMaywa Industries 20°C or more: VG56
Co., Ltd.
less than 10°C: VG22
8 POWER TAKE-OFF

If the Dump Rise Operation is Disabled by


Itself
If the body (cargo deck) is kept being dropped and the
"Rise" operation of the body (cargo deck) is disabled by
itself, inspect the cause of rise disabled, fully identify the
status, and execute maintenance and repair in accordance
with the flowchart of the "Defect 1". Dump body rise
disabled" (Page 52) of Chapter "Troubleshooting".
After maintenance and repair, if there is a hindrance in
subsequent work advance because the "Rise" operation is
disabled by itself or when the hydraulic circuit is in the
following states (1) and (2) after maintenance and repair,
raise the body (cargo deck), take safety measures for
preventing drop, and continue the work according to the
following (item of the existence of hoist or crane
equipment) methods.
(1) The body (cargo deck) rise is disabled due to the air
mixture into the hydraulic circuit resulting from
insufficient hydraulic operating fluid immediately after
repair for oil pump replacement
(2) The body (cargo deck) rise is disabled due to the air
mixture into the hydraulic circuit resulting from
insufficient hydraulic operating fluid immediately after
repair for leak of hydraulic operating fluid.

When hoist or crane equipment is provided

(1) Firmly actuate the parking brake and apply a scotch to


Wire the rear tire.
(2) Set the engine to the stopped state.
(3) Set the dump lever to the "Up" position and apply a
wire with ample strength to the front of the body
(cargo deck).
(4) Slowly hang a wire (tensile strength of 1,000 kg
(9,807N)) by a hoist or crane.
(5) After having drawn up the body (cargo deck) to the
most raised position, prevent the drop of the body
(cargo deck) by the safety rod and the safety strut and
check safety.

NOTE:
For the subsequent work procedure, supply hydraulic
operating fluid or perform air bleeding of the
hydraulic operating fluid in accordance with each
item of the text in the "Supply Procedure of Hydraulic
Operating Fluid" (Page 7) or the "Air Bleeding
F08LX00004
Procedure of Hydraulic Operating Fluid" (Page 12) in
the next chapter.
POWER TAKE-OFF – 9

If neither hoist nor crane is provided

If the body (cargo deck) is kept being dropped and the


"Up" operation of the dump is disabled by itself or if
neither hoist nor crane is provided, raise the body (cargo
deck) according to the following work procedure.

Oil tank Pipe


Low-pressure hose

Piston

High-pressure hose Hoist cylinder

PTO with oil pump

Hydraulic operating Low-pressure hose


fluid container
Oil tank
Pipe
Hydraulic
operating fluid

Piston

Test hose Hoist cylinder


High-pressure hose
Test hose joint
320LX00003

Preparation
(1) Because removal of a spare tire makes work easier
according to a truck, previously check the truck.
(2) Remove the intermediate fixed clip on the truck side
between the oil pump and the oil tank of the low-
pressure side hose and set the low-pressure hose free.
(3) Prepare a cleaned hydraulic operating fluid container
(a 20ll can will do), a funnel, hydraulic operating fluid,
a test hose for a special tool, and a test hose joint.
(4) Prepare the hydraulic operating fluid of about 10ll in
the cleaned hydraulic operating fluid container.

Hydraulic Operating Fluid (Turbine Oil)


0 to 30°C: VG32
Manufactured by
ShinMaywa Industries 20°C or more: VG56
Co., Ltd.
less than 10°C: VG22
10 POWER TAKE-OFF

NOTE:
Carefully control the prepared hydraulic operating
fluid so that dust or foreign matter will not be mixed
in it. Besides, if the dust or foreign matter is mixed in
the hydraulic operating fluid, carefully handle it
because it becomes the first cause of a dump
mechanism fault.

Hydraulic operating Low-pressure hose Work Procedure


fluid container
Oil tank (1) With reference to the piping rough sketch on the
preceding page, remove the low-pressure side hose of
Hydraulic the oil pump and insert the port for removal in the
operating
fluid prepared hydraulic operating fluid container.

NOTE:
Hoist cylinder Be sure to install the hydraulic oil fluid container at a
High-pressure hose higher position than the tank pump. If it is installed
PTO with oil pump at a lower position, the oil pump may be damaged
320LX00004 because the hydraulic operating fluid applied in Item
(4) flows in the hydraulic operating fluid container
Low-pressure hose
and air is mixed in the hose.
To oil tank Funnel
Hydraulic
Insert NOTE:
Test hose When inserting the removed low-pressure hose in the
operating fluid
container hydraulic operating fluid, remove the hose band, be
Hydraulic High-pressure sure to clean the hose port, and handle the hose so
operating fluid hose that dust or foreign matter will not be mixed in the
hydraulic operating fluid.

PTO with oil pump (2) Remove the low-pressure side hose joint of the oil
320LX00005
pump.
(3) Install the test hose and connecting joint on the low-
pressure side of the oil pump.

Joint (low-pressure side): 5-8840-2439-0


Test hose: 5-8840-2435-0

(4) Use the funnel from the fluid container insertion side
of the test hose to fill the hose with the hydraulic
operating fluid and insert the hose port in the
hydraulic operating fluid container.

NOTE:
The test hose is filled with hydraulic operating fluid to
minimize the mixture of air in the hydraulic circuit.
Further, fix the two hoses inserted in the fluid
container not to jump out from the hydraulic
operating fluid.
POWER TAKE-OFF – 11

(5) Start the engine and depress the clutch pedal in the
idling state, then set the dump lever to the "Up"
position.
(6) When slowly releasing the clutch pedal and operating
the oil pump, the body (cargo deck) starts being
raised.

NOTE:
At this time, check that the air mixed in the hydraulic
circuit is discharged in the hydraulic operating fluid as
blow holes.

(7) Raise the body (cargo deck) up to the most raised


position in the idling state and apply the safety rod
and the safety strut to the body (cargo deck). Then
prevent drop and check safety.
(8) After having the body (cargo deck), stop the engine
and remove the test hose installed in Item (3) from the
oil pump, then release it from the fluid container.
(9) Remove the test hose connecting joint from the low-
pressure side of the oil pump and install the joint for
connecting the original low-pressure hose.
(10) Release the low-pressure side hose removed from the
oil pump and soaked in the fluid container in Item (1)
and install it on the low-pressure side of the oil pump
as before, then firmly tighten the hose band.

NOTE:
For the subsequent work procedure, supply hydraulic
operating fluid or perform the air bleeding of
hydraulic operating fluid in accordance with each
item of the text in the "Supply Procedure of Hydraulic
Operating Fluid" (Page 7) or the "Air Bleeding
Procedure of Hydraulic Operating Fluid" (Page 12) in
the next chapter.
Be careful of excessive supply of hydraulic operating
fluid.
If an excessive amount of hydraulic operating fluid
exceeding the specified amount is supplied when
supplying the hydraulic operating fluid at the rise of
the body (cargo deck), the hydraulic circuit will be
filled with the hydraulic operating fluid because the
volume of the fluid in the oil tank is increased more
than necessary at the drop of the body (cargo deck).
According, the body (cargo deck) will not be dropped
from a predetermined place. If it is dropped forcibly,
excessive pressure applies to the hydraulic circuit
(consisting of the hose, pipe, and tank) resulting in its
damage or a leak of oil.

Total Replacement of Hydraulic


Operating Fluid
Request a service network (SS store) of a body
manufacturer of the total replacement of hydraulic
operating fluid.
12 POWER TAKE-OFF

Air Bleeding Procedure of Hydraulic


Operating Fluid
NOTE:
Be sure to supply a specified amount of hydraulic
operating fluid using a cleaned oil supply container
paying full attention so that dust or foreign matter will
not be mixed in. After having supplied oil, firmly
tighten each plug.

[Rear Dump Truck]


<Manufactured by Shin Maywa Industries, Co., Ltd.>
Hydraulic Operating Fluid Supply
(1) Raise the body (cargo deck) in accordance with the
Piston rod "How to raise the body (cargo deck) (Page 5)
3 Oil filler port described previously.
A (2) Remove oil filler plug 1 and level plug 2 of the oil
tank and supply oil from the oil filler port until the
hydraulic operating fluid flows out from level plug 1,
Hoist cylinder
then tighten plug 2.
1 Oil filler port B
(3) Remove oil filler port plug 3 from the cylinder head,
Oil tank
supply the hydraulic operating fluid to "Chamber A"
so that no air will be left to fill the chamber with the
fluid, and tighten oil filler port plug3.
C
Air Bleeding Method
(1) Raise the body (cargo deck) in accordance with the
2 Level plug Oil pump "How to raise the body (cargo deck) (Page 5)
described previously.
(2) At the maximum rise, cylinder shaded portions
"Chamber A" and "Chamber B" shown in the drawing
are fully filled with hydraulic operating fluid and
Section "C" is filled with the hydraulic operating fluid
320LX00006
up to its level position.

NOTE:
Supplying hydraulic operating fluid more than
necessary will cause a fault.
(3) First remove the oil tank oil filler port plug of 1. Then
start the engine, operate the dump lever, and drop
and raise the body (cargo deck) several times.
Consequently, air is naturally released usually.
(4) Tighten the oil tank oil filler port plug of 1.

NOTE:
If the work of Item 2 is performed with plug 1
tightened, air may not be released.
NOTE:
When air is mixed in hydraulic operating fluid and
becomes whitely foamy, the air will not be released.
So raise the body (cargo deck) and remove plugs 1
and 3. When the hydraulic operating fluid is left
alone about for 30 to 60 minutes, the air is naturally
separated. Re-supply oil in accordance with the
procedure of Items (2) and (3) of the "Supply
Procedure of Hydraulic Operating Fluid" (Page 7).
POWER TAKE-OFF – 13

Principles Under Which Air iIs Released


Between "B" and "C"
For Chamber "B" filled with hydraulic operating fluid,
when the body (cargo deck) is dropped, the piston rod is
dropped and the hydraulic operating fluid in "Chamber B"
passes through the oil pump and is returned to the oil
tank. At this time, if air is mixed in, it is discharged from
"Surface C" in the oil tank as blow holes.

Between "A" and "C"


The hydraulic operating fluid pressurized and sent via the
oil pump is sent from "Chamber C" to "Chamber B". The
piston cylinder is raised and the hydraulic operating oil in
"Chamber A" is sent to "Chamber C", and then the air is
discharged for the same reason as between "B" and "C".

[Three-Rotation Dump Truck]


1 Oil filler port <Manufactured by Shin Maywa Industries, Co., Ltd.]
Hydraulic Operating Fluid Supply
(1) Raise the body (cargo deck) in accordance with the
2 Level plug "How to raise the body (cargo deck) (Page 5)
described previously.
(2) Remove oil filler plug 1 and level plug 2 of the oil
Oil tank
tank and supply oil from the oil filler port until the
hydraulic operating fluid flows out from level plug 2,
F08LX00005
then tighten plug 2.

NOTE:
Supplying hydraulic operating fluid more than
necessary will cause a fault.
(3) Set the dump lever to the "Up" position with the
3 Air bleeding plug engine in the idling state.
(4) When loosening the air bleeding plug 3 of the
cylinder about once or twice, air is discharged and
then hydraulic operating fluid is ejected. So quickly
From oil pump
tighten the plug.
(high pressure)
To oil tank NOTE:
When air is mixed in hydraulic operating fluid and
Cylinder main unit Bypass valve becomes whitely foamy, the air is not released. So
raise the body (cargo deck) and leave the hydraulic
F08LX00006
operating fluid alone about for one hour. The air in
the hydraulic operating fluid is naturally separated
and subsequently air can be released.
Even when performing air bleeding work, raise the
body (cargo deck) in accordance with the "How to
Raise The Body (cargo deck") (Page 5) described
previously.
14 POWER TAKE-OFF

CONTROL CABLE (FOR REAR DUMP TRUCK)


REMOVAL AND INSTALLATION

Cable stopper clip 6

Cab inside

Lock button
Oil pump
Dump lever

PTO
6

1 3 4 5 Shift cap

281LX00002

Removal Steps Installation Steps


1. Lock nut (dump lever side) To install, follow the removal steps in the reverse
2. Clip (inside cap) order.
3. Lock nut (PTO side)
4. Special nut
5. Cable holder
6. Control cable
POWER TAKE-OFF – 15

Removal Steps
NOTE:
Because a three-rotation dump truck differs in the
wiring of a control cable from a rear dump truck, refer
to the notes on the replacement and adjustment of
the control cable for the three-rotation dump truck.

1. Lock Nut (Dump Lever Side)


Cab inside
• Set the dump lever to the "Down" position and
Clip firmly lock the lever.
• Loosen the lock nut of the control cable and
remove the cable tip from the boss portion of the
dump lever.
2. Clip (Inside Cab)
• Remove the clip from the instrument panel bottom
Control cable Lock nut inside the cab.
Boss portion
281LX00003

3. Lock Nut (PTO Side)


PTO side
• Loosen the lock nut and move it toward the truck
Control cable
Cable holder front.
Truck front

Lock nut Special nut PTO

281LX00004

4. Special Nut
Lock nut • Loosen the special nut and move it toward the
truck front.

Special nut

281LX00005

5. Cable Holder
Rod end ball portion
Truck front • Remove the bolt and remove the cable holder from
the PTO.
• Move the cable holder to the truck front and
provide clearance between the cable holder and
PTO.
Cable holder Shift rod

PTO
Bolt

281LX00006
16 POWER TAKE-OFF

6. Control Cable
Cable holder Rod end ball portion PTO • Because the tip portion (PTO side) of the control
cable is of a rod end ball type as shown in the
drawing, remove the cable end portion from the
cable connector groove on the PTO side sliding it
along the groove.

Cable connector groove

281LX00007

• Remove the cable holder from the control cable.


Control cable Rod end ball portion • Remove the control cable assembly from the truck.

Lock nut
Cable holder

Special nut
281LX00008

Installation Steps
Control cable Special nut
6. Control Cable
• Set the dump lever to the "Down" position and lock
it.
• Install the control cable assembly in the truck.
• Move the lock nut (PTO side) and special nut of the
Truck front Lock nut cable top the truck front side.

281LX00009

5. Cable Holder
Rod end ball portion
• Assemble the cable holder in the control cable.
Control cable

Cable holder

281LX00010

• Coat the rod end ball of the cable tip with a small
Rod end ball amount of grease and assemble it in the groove of
(apply a small amount of grease)
the control cable connector on the PTO side.

Cable holder Shift rod

Cable connector PTO


281LX00011
POWER TAKE-OFF – 17

• Install the cable holder in the PTO and temporarily


Lock nut Cable holder tighten the bolt.

NOTE:
Tighten the bolt after having adjusted it in
accordance with the work procedure of the "Control
Cable Adjustment" (Page 18) in the next item.

Special nut Bolt PTO

281LX00012

4. Special Nut
Control cable • Tighten the special nut to the cable holder at a
Cable holder
specified torque pressing down the control cable
Truck front L to the PTO side lightly.

Special Nut Torque N·m (kg·m / lb·ft)


147 (15 / 108)
Lock nut Special nut PTO
• At this time, check that the "L" dimension is
281LX00013
34±1 mm (1.339±0.039 inch.)
• If the "L" dimension does not satisfy the specified
value, remove the cable holder from the PTO and
rotate the cable holder to adjust the dimension.

NOTE:
Both "clockwise rotation" and "counterclockwise
rotation" indicate that the cable moves by about 0.75
mm (0.0295 inch) every time the cable holder rotates
by 180 degrees.

• Re-install the cable holder on the PTO and


temporarily tighten the bolt.
3. Lock Nut (PTO Side)
• After having checked the specified value
Lock nut
dimensions of the cable outer threaded portion,
temporarily tighten the lock nut.

NOTE:
Tighten the special nut and lock nut after having
adjusted it in accordance with the work procedure of
Special nut the "Control Cable Adjustment" (Page 18) in the next
item.
281LX00014
18 POWER TAKE-OFF

2. Clip (Cab Inside)


• Draw the control cable in the instrument panel
Clip bottom inside the cab and firmly install the
grommet.
• Firmly install and fix the clip in the cable flange
portion groove.
1. Lock Nut (Dump Lever Side)
• Assemble the control cable tip in the boss portion
Control cable Lock nut
Boss portion
of the dump lever and tighten the lock nut at a
specified torque.
281LX00015

Lock Nut Torque N·m (kg·m / lb·in)


6 (0.6 / 52)

NOTE:
Double nut If the double nut position of the control cable is not
Lock nut fixed, it is fixed to a reference value.
Control Cable Length (Reference) mm(in.)
18±1 (0.709±0.039)

Control cable
Reference value

281LX00016

Spool
Control Cable Adjustment
Shift cap
Inspecting the Amount of Spool Extrusion
After having installed the control cable, inspect the
amount of spool extrusion according to the following
procedure.

Bolt (1) Remove the shift cap tightening bolt of the oil pump
rear and remove the shift cap.
Oil pump rear end

281LX00017

(2) Repeat the "Up" and "Down" operations of the dump


Oil pump lever twice or three times and slowly set the dump
lever to the "Up" position as much as possible.
(3) Measure the amount of spool extrusion of the oil
pump rear and check that it is a specified amount.
24mm Amount of Spool Extrusion mm(in.)
or more
24 (0.945) or more

Spool extrusion
281LX00018
POWER TAKE-OFF – 19

(4) Repeat the "Up" and "Down" operations of the dump


Oil pump lever twice or three times and slowly set the dump
lever to the "Up" position as much as possible.
(5) Measure the amount of spool extrusion of the oil
pump rear and check that it is a specified amount.
2mm Amount of Spool Extrusion mm(in.)
Less than
less than 2 (0.0787)

Spool extrusion
NOTE:
281LX00019
Both amounts of spool extrusion at "Up" and "Down"
shall be within a standard value.

(6) If the amount of spool extrusion is within a specified


Shift cap
dimension, install the shift cap and tighten the bolt at
a specified torque.
Shift Cap Fixing Bolt Torque N·m (kg·m / lb·ft)
24 (2.4 / 17)

NOTE:
Bolt If the groove is not installed facing downward, the
Make groove face water intruded in the shift cap is not ejected but
downward
281LX00020
collected. Rusting and freezing will cause an incorrect
actuation.

Cable holder
Cable Adjustment (PTO Side)
Lock nut If no specified extrusion dimensions can be obtained as a
result of measuring the amount of spool extrusion
described previously, adjust (PTO side) the cable so that
the specified amount of spool extrusion can be obtained
according to the following procedure.
(1) Loosen the lock nut of the control cable.
PTO
Bolt (2) Remove the tightening bolt of the cable holder.

281LX00021

(3) Adjust the cable rotating the cable holder.


PTO
• If the amount of spool extrusion is improper
(insufficient) at "Dump lever Up", rotate the cable
holder toward "Counterclockwise rotation" shown
by the arrow mark of the drawing.
• If the amount of spool extrusion is improper
(excessive) at "Dump lever Down", rotate the cable
holder toward "Clockwise rotation" shown by the
Counterclockwise Clockwise
rotation rotation arrow mark of the drawing.

281LX00022
NOTE:
Both "clockwise rotation" and "counterclockwise
rotation" indicate that the cable moves by about
0.75 mm (0.0295 inch) every time the cable holder
rotates by 180 degrees.
20 POWER TAKE-OFF

(4) If the cable is adjusted in the aforementioned method


and the amount of spool extrusion cannot be
Lock nut Bolt obtained, repeat Items (2) and (3) and adjust the cable
so that the amount of spool extrusion will reach a
specified extrusion dimension.
(5) If a spool extrusion dimension can be obtained,
tighten the cable holder tightening bolt and lock nut at
a specified torque in this order.
Special nut
Cable Holder Bolt Torque N·m (kg·m / lb·ft)
23 (2.3/ 17)
231LX00023

Lock Nut Torque N·m (kg·m / lb·ft)


21 (2.1 / 15)

Operability of the dump lever, rise of the body (cargo


deck), and inspection and adjustment of the rise and fall
reference times

(1) Check that the engine revolution per minute is 1,250


rpm and the rise and fall operations of the body
(cargo deck) are performed within the following
reference times.

Rise Time And Fall Time Sec.


Rise Fall
Single Cab within within 20
Double Cab 20 within 25

(2) Inspection of the dump lever control force and


moderation
• Inspect that the operation of the dump lever can
lightly and smoothly be performed.

Basic Value
(On the Dump Lever Knob) kgf (N)
10 (98)

Direction of forward rotation PTO • When the dump lever is in the "Up" and "Down"
Oil pump positions, inspect that the lock operation can be
performed without a feeling of physical disorder.
(3) After having repeated the "Up" and "Down" positions
of the dump lever and slowly set them to the "Down"
position as much as possible, inspect the shaft
(driving shaft) between the PTO and oil pump.
• Inspect that the shaft (driving shaft) rotates
Direction of
forward or backward.
Shaft (drive shaft)
backward rotation If the shaft slowly rotates backward, it is normal.
231LX00024
POWER TAKE-OFF – 21

Cable Adjustment (Dump Lever Side)


If a defect is found as a result of the inspection of the
Loosen
aforementioned items (1) to (3), adjust the control cable in
Dump lever the dump lever portion inside the cab according to the
following procedure.
1 (1) Set the dump lever to the "Down" position.
Squeeze 2 Dump cable
Pull out (2) Loosen the lock nut of the control cable and adjust the
cable as follows:
231LX00025

When the rise time is improper or when the shaft is


inverted at "Down" time or when the dump lever is hard to
Oil pump Oil pump lock at "Down" time, move the inner cable to Direction (1)
of the drawing.

When the fall time is improper or when the dump lever is


hard to lock at "Up" time or when the shaft rotates forward
at "Down" time, move the inner cable to Direction (2) of
Spool extrusion Spool extrusion the drawing.

NOTE:
231LX00026
If the cable is adjusted on the dump lever side, be
sure to re-inspect the amount of spool extrusion.

(3) After adjustment, tighten the lock nut at a specified


torque.

Lock Nut Torque N·m (kg·m / lb·in)


6 (0.6 / 52)
22 POWER TAKE-OFF

NOTES ON REPLACING AND ADJUSTING CONTROL CABLE FOR


THREE-ROTATION DUMP TRUCK
1. The control cable between the "Dump lever selector main unit and the aforementioned
and selector" of the three-rotation dump truck control cable.
is manufactured by ISUZU MOTORS LIMTED. 3. First adjust the control cable at the dump lever
This control cable is sent for (at replacement) bottom, adjust the control cable in the cable
in the Isuzu Motors Service Network, and holder portion of the PTO (oil pump portion),
because the selector need be disassembled, and check that the shaft (driving shaft) of the
assembled, and adjusted, request a service oil pump will not rotate concurrently. Then
network (SS store) of a body manufacturer of because the adjustment of the selector main
the replacement work. unit is necessary (only at down lever down, the
2. The selector main unit for the three-rotation ejection direction of the cargo deck can be
dump truck and the control cable between the selected. If this adjustment is improper, the
"Selector and PTO (with oil pump) are cargo deck may fall off.), request a service
manufactured by a body manufacturer. network of a body manufacturer of the
Request a service network (SS store) of a body adjustment.
manufacturer of the replacement work of the

Control Cable Rough Layout Drawing for Three-Rotation Dump Truck

Cab

Dump lever

Dump (ejection)
position switching lever

PTO Transmission
Isuzu control cable

Oil pump

Frame

Control cable
(between selector and oil pump)

Selector

F08LX00008
POWER TAKE-OFF – 23

CONTROL CABLE ADJUSTMENT FOR THREE-ROTATION DUMP TRUCK

Cab Inside

Lock button

Dump lever

PTO Oil pump

Control cable

Control cable

Stopper adapter
Cable connector

Inner rod assembly Spool

281LX00028

Truck front
Replacement
Inner rod
(1) The control cable between the "Dump lever and
Shift cap
selector" of the three-rotation dump truck is
manufactured by Isuzu Motors Ltd. This control cable
is sent for (at replacement) in the Isuzu Motors
Bolt
Service Network, and because the selector need be
disassembled, assembled, and adjusted, request a
Spool extrusion PTO tip portion
service network (SS store) of a body manufacturer of
portion the replacement work.
231LX00029
(2) The selector main unit for the three-rotation dump
truck and the control cable between the "Selector and
PTO (with oil pump) are manufactured by a body
manufacturer. Request a service network (SS store) of
a body manufacturer of the replacement work of the
selector main unit and the aforementioned control
cable.
24 POWER TAKE-OFF

Measurement of the Amount of Spool Extrusion


(PTO Tip Portion)
Less than
(1) Remove the shift cap tightening bolt of the PTO tip
7 mm
portion and remove the shift cap.
(2) Operate the dump lever twice or three times and
slowly set it to the "Up" position as much as possible,
then firmly lock the dump lever.
(3) Measure the amount of spool extrusion at "Up" time
at the PTO tip portion and check that it is a basic
231LX00030 value.

Amount of Spool Extrusion mm (in.)


less than 7 (0.276)

(4) Operate the dump lever twice or three times and


slowly set it to the "Down" position as much as
27 mm
possible, then firmly lock the dump lever.
or more (5) Measure the amount of spool extrusion at "Down"
time at the PTO tip portion and check that it is a basic
value.

Amount of Spool Extrusion mm (in.)


27 (1.063) or more

231LX00031
NOTE:
Be sure check that both amounts of spool extrusion
at "Up" and "Down" times are within basic values.

(6) As a result of measurement, if the amount of spool


Truck front extrusion is within a basic value, install the shift cap
Shift cap
and tighten the bolt at a specified torque.
Bolt • Install the shift cap so that the groove on the
locating plane can locate downward.
Shift Cap Bolt Torque N·m ( kg·m / lb·ft)
24 (2.4 / 17)

Make groove face downward NOTE:


If the groove is not installed facing downward, the
231LX00032
water intruded in the shift cap is not ejected but
collected. Rusting and freezing will cause an
incorrect actuation.
POWER TAKE-OFF – 25

Adjustment of the Amount of Spool Extrusion


(Control Cable Adjustment)
NOTE:
As a result of the "Measurement of The Amount of
Spool Extrusion" described previously, if a specified
extrusion dimension cannot be obtained, adjust the
control cables on the dump lever side inside the cab
and the dump lever side according to the following
Control cable
procedure.
Boss portion Lock nut
231LX00033

Control Cable Adjustment (Dump Lever Side Inside Cab)

(1) Operate the dump lever twice or three times with the
engine in the stopped state and slowly set it to the
"Up" position, then firmly lock the dump lever.
(2) Measure the length "L1" on the control cable tip and
Double nut double nut side shown in the drawing and check that
Lock nut it is within the following basic value.

Length "L1" mm (in.)


14±1 (0.55±0.039)

(3) As a result of measurement, if the length "L1" does


Control cable L1 not satisfy a basic value, loosen the lock nut and
adjust the control cable so that the length "L1" will be
231LX00034
set to a specified length "L1", then tighten the lock nut
at a specified torque.

Lock Nut Torque N·m (kg·m / lb·in)


6 (0.6 / 52)

Truck rear
Control Cable Adjustment (Oil Pump Side)
Cable holder (1) Tighten the special nut in the cable holder loosening
Control cable the lock nut, moving it to the truck rear, and lightly
L2
pushing the control cable against the PTO side.
(2) Measure the length "L2" between the outer screw tip
portion and special nut end of the control cable shown
in the drawing and check that it is within a basic value.
Outer threaded
portion
Oil pump Lock nut Length "L2" (Reference) mm (in.)
portion Special nut
24 +1 (0.945 +0.039 )
231LX00035 –0 –0

• As a result of check, if the length "L2" is satisfied,


tighten the lock nut at a specified torque.

Lock Nut Torque N·m ( kg·m / lb·ft)


20 (2.0 / 14)
26 POWER TAKE-OFF

Truck rear 3) As a result of measurement, if the length "L2" does


not satisfy a basic value, adjust the control cable
Cable holder
Control cable according to the following procedure.

Special nut
Lock nut
Oil pump portion
231LX00036

Truck rear 1 Loosen the special nut and move it toward the
truck rear, then set the control cable free.
Cable holder
Control cable 2 Manually holding the control cable, take in and out
L3 the cable to the front and rear. Obtain the length
"L3" and temporarily tighten the special nut
securing the control cable manually.

"L3" = "L2" basic value + Special Nut Thickness (10 mm)


Special nut
Lock nut
Oil pump portion
231LX00037

Truck rear 3 Measure the length "L2" in the state of 2. If the


dimension does not satisfy a basic value, repeat
Cable holder
Control cable Items 2 and 3 and adjust so that the "L2" will be
set to the basic value.
L2 4 After having the length "L2", tighten the special nut
at a specified torque.

Outer threaded Special Nut Torque N·m ( kg·m / lb·ft)


Bolt portion
Special nut
Lock nut 142 (14.5 / 105)
Oil pump portion
281LX00038

5 After having tightened the special nut, tighten the


Special nut lock nut at a specified torque.

Lock Nut Torque N·m ( kg·m / lb·ft)


20 (2.0 / 14)

Oil pump portion Lock nut

281LX00039

(4) After having adjusted the control cable, slowly


operate the dump lever twice or three times and
recheck the spool extrusion dimension.
less than
(Refer to the item of Measurement of The Amount of
7 mm Spool Extrusion on Page 24.)

27 mm
or more

281LX00040
POWER TAKE-OFF – 27

(5) After having completed all measurement and


adjustments, set the dump lever to the "Down"
position and start the engine.

Operability of the Dump Lever, Rise of the Body


(Cargo Deck), and Inspection and Adjustment of
the Rise and Fall Reference Times
(1) Check that the engine revolution per minute is 1,250
rpm and the rise and fall operations of the body
(cargo deck) are performed within the following
reference times.
Rise time = within 20 seconds
Fall time = within 20 seconds

(2) Inspection of the dump lever control force and


moderation
• Inspect that the operation of the dump lever can
lightly and smoothly be performed.
Basic value = less than 10 kgf (98N) on the dump
lever knob

• When the dump lever is in the "Up" and "Down"


positions, inspect that the lock operation can be
performed without a feeling of physical disorder.

Direction of forward (3) After having repeated the "Up" and "Down" positions
PTO
rotation Oil pump of the dump lever and slowly set them to the "Down"
position as much as possible, inspect the shaft
(driving shaft) between the PTO and oil pump.
• Inspect that the shaft (driving shaft) rotates
forward or backward.
If the shaft slowly rotates backward, it is normal.

Shaft (drive shaft)


Direction of backward
rotation
281LX00041
28 POWER TAKE-OFF

(4) If a defect is found as a result of the inspection of the


aforementioned items (1) to (3), adjust the control
Loosen cable in the dump lever portion inside the cab
Dump according to the following procedure.
lever
1 Set the dump lever to the "Down" position.
1 2 Loosen the lock nut of the control cable and adjust
2 Dump
Push in the cable as follows:
Pull out cable

When the rise time is improper or when the dump


lever is hard to lock at "Down" time, move the inner
281LX00042
cable to Direction 2 of the drawing on the preceding
page.

When the fall time is improper or when the dump


lever is hard to lock at "Up" time or when the shaft
rotates forward at "Down" time, move the inner cable
to Direction 1 of the drawing on the preceding page.

NOTE:
If the cable is adjusted on the dump lever side, be
sure to re-inspect the amount of spool extrusion.

After adjustment, tighten the lock nut at a specified


torque.
Lock Nut Torque N·m (kg·m / lb·in)
6 (0.6 / 52)

∗ Selector
The selector is adjusted so that the ejection direction of
the cargo deck can be selected only at dump lever "Down".
If this adjustment is improper, the cargo deck may slide
from the truck at rise. Accordingly, because the
adjustment of the selector main unit is also needed after
the replacement, adjustment, and inspection of the control
cable, request a nearest service network (SS store) of a
body builder of the adjustment.
POWER TAKE-OFF – 29

OIL PUMP UNIT (REPLACEMENT)


REMOVAL AND INSTALLATION

* This illustration is based on a rear dump truck model.

10
9

PTO
6

4 7
5 8

1
3 9

281LX080

Removal Steps Installation Steps


1. Bolt (shift cap) To install, follow the removal steps in the reverse
2. Shift cap order.
3. Bolt (cable holder)
4. Cable holder
5. Control cable
6. Low-pressure hose
7. High-pressure hose
8. Inner rod assembly
9. Bolt (oil pump)
10. Oil pump
30 POWER TAKE-OFF

Removal Steps
Oil pump
NOTE:
Set the dump lever inside the cab to the "Down"
position and check the lever lock.

1. Bolt (Shift Cap)


2. Shift Cap
• Remove the bolt and remove the shift cap from the
oil pump.

Bolt Shift cap


285LX00001

3. Bolt (Cable Holder)


Cable holder
4. Cable Holder
5. Control Cable

NOTE:
Before removing the control cable, be sure to refer to
Control cable Items 3 to 6 of "Removal" of the "Control Cable
Replacement and Adjustment for Rear Dump Truck"
described previously and perform work in accordance
PTO with the items.
Bolt
285LX00002

6. Low-Pressure Hose
Low-pressure
hose • Loosen the hose band and remove the hose from
the oil pump.
7. High-Pressure Hose
• Loosen the hose joint and remove the hose from
the oil pump.

NOTE:
For the high-pressure hose, the joint may not be
High-pressure
hose removed in the oil pump fixed state according to the
285LX00003 type of the truck and equipment. In that case, slightly
loosen the joint to set the state. At the stage where
the rear oil pump is removed (Item 10), remove the
high-pressure hose rotating the oil pump.

Low-pressure hose High-pressure hose NOTE:


Because hydraulic operating fluid flows out when the
Wire Left frame hose is removed, quickly make the hose port face
upward and protect the hose so that dust or foreign
matter will not be mixed in, then fix it to the frame
with a wire.

Truck front

285LX00004
POWER TAKE-OFF – 31

Oil pump
8. Inner Rod Assembly
PTO
• To remove the inner rod assembly, as shown in
the drawing, press the stopper adapter side by a
wrench and insert a Phillips screwdriver (large) in
the groove of the control cable connector. Then
rotate it counterclockwise, loosen it, and remove it.

NOTE:
Inner rod assembly Fixed Be sure to press the stopper adapter side and loosen it
on the control cable connector side. (Press the stopper
adapter side not to rotate the spool valve. Besides, the
281LX00044
three-rotation dump truck is in contrast with this.)
9. Bolt (Oil Pump)
10. Oil Pump
• Remove three oil pump tightening bolts and strike
them with a plastic hammer (or a wooden
hammer) from the truck front side, then remove
the oil pump from the PTO.
• Remove the joint from the oil pump.

NOTE:
PTO Bolt Oil pump If the high-pressure hose could not be removed in
281LX00045 Item 7 described previously, remove the oil pump
from the high-pressure hose rotating the oil pump at
this time.

Installation Steps
10. Oil Pump
PTO 9. Bolt (Oil Pump)
• Fully coat the oil pump shaft tip groove portion
and PTO shaft tip with lithium grease (BESCO L-2
or equivalent).
• Install the oil pump in the joint.

NOTE:
Coat shaft tip Coat shaft tip If the oil pump is rotated and removed from the high-
portion Oil pump portion
with grease. with grease. pressure hose when the oil pump is removed, install
281LX00046 the oil pump in the high-pressure hose rotating the
oil pump and slightly tighten it.
• Align and install the oil pump groove and the shaft
width across flats of the PTO and tighten the bolt
at a specified torque.

PTO Bolt Torque N·m ( kg·m / lb·ft)


53 (5.4 / 39)

NOTE:
Be fully careful so that dust or foreign matter will not
PTO Bolt Oil pump be mixed in from the hose installation port of the oil
281LX00045 pump.
32 POWER TAKE-OFF

Oil pump 8. Inner Rod Assembly


PTO
• Coat the threaded portion of the inner rod
assembly tip with liquid gasket (LOCTITE 242 or
equivalent) and insert and screw the tip from the
front side of the PTO, then tighten it at a specified
torque.
• When tightening the inner rod assembly, insert a
Inner rod assembly
Phillips screwdriver (large) in the control cable
connector groove, press it so that the spool valve
Fixed will not rotate, then apply a wrench to the stopper
281LX00047 adapter on the oil pump side to tighten it.
(Besides, the three-rotation dump truck is in
contrast with this.)

Inner Rod Torque N·m ( kg·m / lb·ft)


19 (1.9 / 14)

Low-pressure 7. High-Pressure Hose


hose • Install the high-pressure hose in the oil pump and
firmly tighten the joint.

NOTE:
If the oil pump is rotated and installed in the high-
pressure hose in Item 10 described previously, firmly
tighten the joint.

High-pressure 6. Low-Pressure Hose


hose
• Install the hose and firmly tighten the hose band.
285LX00003

NOTE:
When installing both the high-pressure and low-
pressure hoses, be fully careful so that dust or foreign
matter will not be mixed in the hose port and oil pump.

Joint Torque N·m ( kg·m / lb·ft)


Item Size Torque
High-pressure side PF1/2 103 (10.5 / 76)
Low-pressure side PF3/4 147 (15 / 108)

* After having tightened the joint using a


recommended value, additionally tighten it if
there is a leak of oil.
5. Control Cable
Cable holder
4. Cable Holder
3. Bolt (Cable Holder)

NOTE:
Install the control cable and cable holder in the PTO in
accordance with Items 6 to 3 of "Installation Steps"
Control cable
(Page 16) of Removal and Installation of Control Cable
for Rear Dump Truck, and after installation, inspect
PTO
Bolt
and adjust the spool amount in accordance with the
285LX00002
"Amount of Spool Extrusion" (Page 18) described
previously.
POWER TAKE-OFF – 33

• After having adjusted the control cable and having


inspected or adjusted the amount of spool
Loosen extrusion, tighten the bolt and the special nut and
Dump lock nut of the control cable at a specified torque.
lever
Tightening Torque N·m ( kg·m / lb·ft)
Bolt 24 (2.4 / 17)
1
2 Dump
Push in Special Nut 206 (21 / 152)
Pull out cable
Lock Nut 21 (2.1 / 15)

281LX00042

Oil pump 2. Shift Cap


1. Bolt (Shift Cap)
• Install the shift cap in the oil pump making its
grooved side face upward and tighten the bolt at a
specified torque
Shift Cap Bolt Torque N·m ( kg·m / lb·ft)
24 (2.4 / 17)

Bolt Shift cap


NOTE:
If the groove is not installed facing downward, the
285LX00001
water intruded in the shift cap is not ejected but
collected. Rusting and freezing will cause an
incorrect actuation.

Supply and Air Bleeding of Hydraulic Operating


Fluid
After having installed the oil pump, supply hydraulic
operating fluid and release air as requested. Supply the
hydraulic operating fluid and release air in accordance
with the "Inspection and Supply of The Hydraulic
Operating Fluid" (Page 5) and the "Air Bleeding Procedure
of Hydraulic Operating Fluid" (Page 12) described
previously.
34 POWER TAKE-OFF

PTO (With OIL PUMP) ASSEMBLY


REMOVAL AND INSTALLATION

10
Oil pump

6 8

5 4 PTO 1 2

281LX00048

Removal Steps Installation Steps


1. Drain plug, filler plug To install, follow the removal steps in the reverse
2. Bolt (shift cap) order.
3. Shift cap
4. Bolt (cable holder) NOTE:
5. Cable holder For the three-rotation dump truck, refer to the
6. Control cable notes of the "Control Cable Adjustment for Three-
7. Low-pressure hose Rotation Dump Truck" (Page 23) in the preceding
8. High-pressure hose chapter before that.
9. Bolt (PTO)
10. PTO (with oil pump)
POWER TAKE-OFF – 35

Removal Steps
Oil pump
NOTE:
Set the dump lever inside the cab to the "Down"
position and check the lever lock.

1. Drain Plug, Filler Plug


• Remove the drain plug and filler plug of the
transmission and remove the transmission oil.
2. Bolt (Shift Cap)
3. Shift Cap
Bolt Shift cap • Remove the bolt and remove the shift cap from the
285LX00001
oil pump.
4. Bolt (Cable Holder)
Cable holder
5. Cable Holder
6. Control Cable

NOTE:
Before removing the control cable, be sure to refer to
Items 3 to 6 of "Removal Steps" (Pages 15 and 16) in
Control cable
the "Removal and Installation of Control Cable for
Rear Dump Truck" in the chapter described previously
PTO and perform work in accordance with the items.
Bolt
285LX00002

Low-pressure 7. Low-Pressure Hose


hose • Loosen the hose band and remove the hose from
the oil pump.
8. High-Pressure Hose
• Loosen the hose joint and remove the hose from
the oil pump.

NOTE:
High-pressure For the high-pressure hose, a part of the joint may
hose not be removed according to the type of the truck
285LX00003 and equipment. In that case, slightly loosen the joint
to set the state. At the stage where the rear PTO is
removed (Item 10), remove the high-pressure hose
rotating the PTO (with oil pump).

Low-pressure hose High-pressure hose NOTE:


Because hydraulic operating fluid flows out when the
Wire Left frame
hose is removed, quickly make the hose port face
upward and protect the hose so that dust or foreign
matter will not be mixed in, then fix it to the frame
with a wire.

Truck front

285LX00004
36 POWER TAKE-OFF

9. Bolt (PTO)
PTO Oil pump 10. PTO (with Oil Pump)
Bolt
• Remove the six tightening bolts around the PTO
and remove the PTO (with oil pump) from the
transmission.

NOTE:
If the high-pressure hose could not be removed in
Item 8 described previously, remove the PTO (with oil
pump) from the high-pressure hose rotating the PTO
281LX00049
at this time.
Besides, because this PTO (with oil pump) weighs
15kg (147N), be fully careful of its drop at attachment
and detachment.

Installation Steps
NOTE:
Before installing the PTO, cleanly remove the liquid
gasket left on the PTO installation side of the
transmission case and clean and degrease the
transmission case by waste cloth so that oil will not
adhere to it.

10. PTO (with Oil Pump)


Apply liquid
• After having cleaned and fully degreased the
gasket
transmission installation side of the PTO, coat it
with liquid gasket (LOCTITE 17430 or equivalent).
281LX00050

NOTE:
PTO Oil pump When removing the PTO side from the high-pressure
Bolt
hose rotating the PTO side at PTO (with oil pump)
removal, install the PTO (with oil pump) in the high-
pressure hose and lightly tighten it.

9. Bolt (PTO)
• Install the PTO (with oil pump) in the transmission
and tighten the bolt at a specified torque.

PTO Bolt Torque N·m ( kg·m / lb·ft)


281LX00049

45 (4.6 / 33)

8. High-Pressure Hose
Low-pressure
hose • Install the high-pressure hose in the oil pump and
firmly tighten the joint.

NOTE:
When the PTO (with oil pump) is installed in the high-
pressure hose rotating the PTO in Item 10 described
previously, firmly tighten the joint.

High-pressure 7. Low-Pressure Hose


hose • Install the hose and firmly tighten the hose band.
285LX00003

NOTE:
When installing the high-pressure hose and the low-
pressure hose, be fully careful so that dust or foreign
matter will not be mixed in the pose port and the oil
pump.
POWER TAKE-OFF – 37

6. Control Cable
Cable holder
5. Cable Holder
4. Bolt (Cable Holder)

NOTE:
Install the control cable and cable holder in the PTO in
accordance with Items 6 to 3 of "Installation Steps"
Control cable
(Pages 16 and 17) in the "Removal and Installation of
Control Cable for Rear Dump Truck", and after
PTO installation inspect and adjust it in accordance with
Bolt
285LX00002
the "Amount of Spool Extrusion" (Page 18).
• After having adjusted the control cable and having
inspected or adjusted the amount of spool
Lock nut Bolt extrusion, tighten the bolt and the special nut and
lock nut of the control cable at a specified torque.
Tightening Torque N·m ( kg·m / lb·ft)
Bolt 24 (2.4 / 17)
Special Nut 147 (15 / 108)
Special nut Lock Nut 20 (2.0 / 14)

281LX00023

Oil pump 3. Shift Cap


2. Bolt (Shift Cap)
• Install the shift cap in the oil pump making its
grooved side face upward and tighten the bolt at a
specified torque.
Shift Cap Bolt Torque N·m ( kg·m / lb·ft)
24 (2.4 / 17)

Bolt Shift cap


285LX00001

1. Drain Plug, Filler Plug


• Firmly tighten the drain plug of the transmission.
• Supply the transmission oil (BESCO gear oil trans-
axle (5W-30) or equivalent) until it flows out from
the filler plug hole and firmly tighten the filler plug.
Amount of Oil (Reference) Liters (US gal / Imp. gal)
5 speed 3.2 (0.85 / 0.70)
6 speed 4.0 (1.06 / 0.88)

Drain Plug and Filler Plug Torque N·m ( kg·m / lb·ft)


49 (5.0 / 36)
38 POWER TAKE-OFF

Supply and Air Bleeding of Hydraulic Operating


Fluid
After having installed the oil pump, supply hydraulic
operating fluid and release air as requested. Supply the
hydraulic operating fluid and release air in accordance
with the "Inspection and Supply of The Hydraulic
Operating Fluid" (Page 5) and the "Air Bleeding Procedure
of the Hydraulic Operating Fluid" (Page 12) described
previously.
POWER TAKE-OFF – 39

UNIT REPAIR
PTO ASSEMBLY
DISASSEMBLY
5

21 2
Oil pump
12
11
Shift cap

28
4 29

10 20
18
9 23
8
24
7

27 22
15 17
25 14 19
26
1 13 16

Cable holder

281LX00051

Disassembly Steps
1. Inner rod assembly 16. Interlock plug
2. Bolt 17. Interlock pin
3. Spring pin 18. Shift rod
4. Idle gear shift 19. Shift arm
5. Idle gear 20. Oil seal (output shaft side)
6. Needle bearing 21. Rear ball bearing
7. Bolt 22. O-ring
8. Case cover 23. Oil seal (shift rod side)
9. Front ball bearing 24. Gear case
10. Output shaft 25. Spring pin
11. Output gear 26. Cable connector
12. Thrust collar 27. Inner rod
13. Spring set bolt 28. Spring pin
14. Spring 29. Stopper adapter
15. Ball
40 POWER TAKE-OFF

Disassembly Steps
1. Inner Rod Assembly
• Press the stopper adapter side by a wrench and
insert a Phillips screwdriver (large) in the groove of
the control cable connector. Then rotate it
counterclockwise, loosen it, and remove it.
Fixed
NOTE:
Be sure to press the stopper adapter side and loosen
Oil pump
Inner rod assembly it on the control cable connector side. (Press the
PTO stopper adapter side not to rotate the spool valve.
Besides, the three-rotation dump truck is in contrast
281LX00052
with this.)
2. Bolt
PTO
• Remove three bolts and separate the oil pump and
PTO striking the oil pump by a plastic hammer (or
wooden hammer).

Oil pump

281LX00053

3. Spring Pin
• Punch the spring pin in the idle gear shaft.
(After having removed the idle gear shaft, punch
the spring pin from the shaft.)

Spring pin Spring pin bar: 9-8529-2201-0

281LX00054

4. Idle Gear Shaft


Idle gear shaft 5. Idle Gear
6. Needle Bearing
• Strike and remove the idle gear shaft and remove
the idle gear, then remove the needle bearing.

Idle gear

281LX00055
POWER TAKE-OFF – 41

7. Bolt
Case cover
8. Case Cover
• Remove the bolt and remove the case cover.

Bolt

281LX00056

9. Front Ball Bearing


10. Output Shaft
• Strike the end face of the output shaft from the
rear side and remove the front ball bearing while it
Front ball bearing is being installed in the output shaft.

Output shaft

281LX00057

• Remove the front ball bearing from the output


shaft.

Front ball bearing

F08LX00002

11. Output Gear


Output gear
12. Thrust Collar
• Remove the output gear and the thrust collar from
Thrust collar the gear case.

NOTE:
Check the orientation of the output gear and the
thrust collar. The side in which the shift arm groove
of the gear and the taper of the thrust collar exist is
the rear side.
Shift arm
281LX00058

13. Spring Set Bolt


14. Spring
15. Ball
Spring set bolt • Remove the spring set bolt and remove the spring
and ball.

Spring

Ball

281LX00059
42 POWER TAKE-OFF

16. Interlock Plug


17. Interlock Pin
• Remove the interlock plug and remove the
Interlock plug interlock pin from the shift arm.

Interlock pin

281LX00060

18. Shift Rod


19. Shift Arm
• Pull out the shift rod to the rear side of the gear
Alignment mark
case and remove the shift arm from the inside of
Alignment the gear case.
mark
NOTE:
When removing the shift arm, be sure to check the
Shift arm installation direction of the arm and apply the
Shift rod assignment mark. In that case, incorrect assembly
281LX00061
can be prevented at subsequent assembly.
20. Oil Seal (Output Shaft Side)
21. Rear Ball Bearing
• Pry the oil seal by a screwdriver and remove it,
then strike the rear ball bearing from the rear side
Rear ball bearing of the gear case and remove it.
Bearing installer : 5-8840-2432-0

281LX00062

22. O-Ring
O-ring • Remove the O-ring from the shift rod hole of the
gear case.

O-ring groove
281LX00063

Oil seal
23. Oil Seal (Shift Rod Side)
• Remove the oil seal from the gear case.
Rear case 24. Gear Case

281LX00064
POWER TAKE-OFF – 43

25. Spring Pin


26. Cable Connector
27. Inner Rod
28. Spring Pin
29. Stopper Adapter
• Remove the cable connector or stopper adapter
from the inner rod as requested.
44 POWER TAKE-OFF

INSPECTION AND REPAIR


Make necessary correction or parts replacement if wear damage, or any other abnormal conditions are
found through inspection.

Gear Case
Gear case • Inspect that there is a crack, a wear, or a scratch in
each portion of the gear case and replace the gear
case if there is a remarkable wear or scratch.

281LX00065

Bearings
• Inspect each bearing, and replace it if the following
Ball bearing Needle bearing defects are found.
(1) The rotation is not smooth.
(2) A remarkable noise is generated.
(3) There is damage or rust in the inner and outer
laces.
(4) There is an abnormal play in the thrust direction.
(5) There is discoloration, remarkable wear, or hitting
on the body of rotation and surface of rotation of
281LX00066 the needle roller.

NOTE:
If the ball bearing is removed, replace it by a new one.

Gears and Thrust Collar


Thrust collar • Inspect the tooth surface of each gear and replace
what has remarkable wear or damage. Further,
correct lightly staged wear or a rough surface with
an oil stone.
• Inspect both surfaces of the thrust collar and
replace the thrust collar if there is a remarkable
Output gear surface roughness or wear.
Idle gear

281LX00067

Shafts
• Inspect the damage and wear on the external
surface of each shaft and the wear and damage of
Idle gear shaft the spline portion and replace them if there are
remarkable.

Output shaft

281LX00068
POWER TAKE-OFF – 45

Inner rod assembly


Shift Mechanism
• Inspect each portion of the shift mechanism and
Shift arm
Shift rod
replace it if there is remarkable damage, deflection,
or staged wear.
Spring set bolt (1) Deflection and wear of the shift rod
Spring (2) Deformation and wear of the shift rod

Ball Shift Arm Thickness mm (in.)


Standard Limit
Interlock pin Interlock plug
9.0 (0.354) 8.5 (0.335)
281LX00069

(3) The backlash or operation between the shift rod


and gear case is not smooth.
(4) Wear of the ball for a detent of the shift rod and
the fatigue of the spring
(5) Wear of the lock pin sliding portion for the lock pin
and plug
(6) Deflection of the inter rod and wear of the cable
connector portion

Oil Seal and O-ring


• Replace the oil seal and O-ring if there is damage,
O-ring
wear, or aging in the lip portion of the oil seal and
Oil seal
the O-ring.

NOTE:
If the PTO is disassembled, replace the oil seal and
the O-ring by new ones in principle. Further, if the oil
seal and the O-ring are removed, they cannot be
reused.
281LX00070

Spring Pin

NOTE:
Be sure to replace the spring pin by a new one.

281LX046
46 POWER TAKE-OFF

REASSEMBLY
* This illustration is based on a rear dump truck model.

19
4 23
Oil pump
13
12
Shift cap

18

21
28
27
20

22
14
6
15
2
16
1

17

3
24
9 7
26 10 5
25
29 8
11
Cable holder

281LX00072

Reassembly Steps
1. Gear case 16. Case cover
2. Oil seal (shift rod side) 17. Bolt
3. O-ring 18. Needle bearing
4. Rear ball bearing 19. Idle gear
5. Shift arm 20. Idle gear shaft
6. Shift rod 21. Spring pin
7. Interlock pin 22. Oil seal (output shaft side)
8. Interlock plug 23. Bolt
9. Ball 24. Inner rod
10. Spring 25. Cable connector
11. Spring set bolt 26. Spring pin
12. Output gear 27. Stopper adapter
13. Thrust collar 28. Spring pin
14. Output shaft 29. Inner rod Assembly
15. Front ball bearing
POWER TAKE-OFF – 47

Reassembly Steps
1. Gear Case
2. Oil Seal (Shift Rod Side)
• Coat the lip portion of the oil seal with lithium
Oil seal
grease (BESCO L-2 or equivalent), the periphery
Gear case portion of the seal with liquid gasket (LOCTITE 518
or equivalent).
• Install the lip portion of the oil seal in the shift rod
side (front side) of the gear case so that the lip
portion will not be damaged.

281LX00073 Oil seal installer : 5-8840-2433-0


3. O-Ring
O-ring • Thinly coat the O-ring and the O-ring groove of the
gear case with lithium grease (BESCO L-2 or
equivalent) and firmly assemble them in the
groove so that there will be no damage and
torsion.

O-ring groove
281LX00063

4. Rear Ball Bearing


• Strike and install the rear ball bearing in the gear
case from the inner side of the case.

Bearing installer : 5-8840-2432-0

Rear ball bearing


281LX00074

5. Shift Arm
• Assemble the shift arm in the gear case.
Alignment mark 6. Shift Rod
• Thinly coat the shift rod with lithium grease
Alignment (BESCO L-2 or equivalent) and insert it in the gear
mark case, then assemble it in the shift arm.

Shift arm NOTE:


Shift rod Align the assembly direction of the shift arm to the
alignment mark at disassembly.
281LX00075
48 POWER TAKE-OFF

• Align the position between the lock pin hole of the


Shift rod shift arm and the lock pin groove of the shift rod.

Alignment mark
Shift arm
Align the position.
281LX00076

7. Interlock Pin
8. Interlock Plug
• Assemble the interlock pin in the shift arm and
Interlock plug coat the interlock plug threaded portion with liquid
gasket (LOCTITE 242 or equivalent), then tighten
the interlock plug at a specified torque.

Interlock Plug Torque N·m ( kg·m / lb·ft)


Interlock pin 60 (6.1 / 44)
281LX00077
NOTE:
After having tightened the interlock plug, do not
move the shift rod. Moving the shift rod may remove
the interlock pin.

9. Ball
10. Spring
11. Spring Set Bolt
Spring set bolt • Assemble the ball and spring in the gear case and
coat the spring set bolt threaded portion with
liquid gasket (LOCTITE 242 or equivalent), then
Spring tighten the spring set bolt.

Set Bolt Torque N·m ( kg·m / lb·ft)


Ball
19 (1.9 / 14)
281LX00078

12. Output Gear


Output gear
13. Thrust Collar
• Assemble the groove (the orientation is the rear
Thrust collar side) of the output gear in the shift arm and
assemble the taper portion of the thrust collar
facing the rear side.

Shift arm
281LX00079
POWER TAKE-OFF – 49

14. Output Shaft


Output shaft
• Insert the output gear engaging its spline and align
the output shaft tip to the inner lace of the rear
Shift arm
bearing, then strike and install the output shaft by
applying a splint to its front side head portion.

Thrust collar

Output gear

281LX00080

15. Front Ball Bearing


• Align the inner lace side of the front ball bearing to
the output shaft and strike and install the outer
side of the bearing aligning it to the gear case.
Front ball bearing
Bearing installer : 5-8840-2432-0

281LX00081

16. Case Cover


Case cover
Bolt
17. Bolt
• Assemble the bolt by coating the match line for the
gear case of the case cover with liquid gasket
(LOCTITE 518 or equivalent) and the bolt threaded
portion with liquid gasket (LOCTITE 242 or
equivalent), then tighten the bolt at a specified
torque.
Case Cover Bolt Torque N·m ( kg·m / lb·ft)
281LX00082
24 (2.4 / 17)

NOTE:
Cleanly remove the liquid gasket adhering to the
cover installation side of the case cover and gear case
and clean and fully degrease the case by waste cloth
so that no oil will adhere to.

18. Needle Bearing


Idle gear Idle gear shaft
19. Idle Gear
• Coat the needle bearing with assembly all amount
of lithium grease (BESCO L-2 or equivalent) and
assemble the needle bearing in the idle gear.
20. Idle Gear Shaft
• Assemble the tooth round portion of the idle gear
facing the front side and assemble the pin hole of
the idle gear shaft facing the front side.
281LX00083
50 POWER TAKE-OFF

21. Spring Pin


• Align the spring pin hole of the gear case and the
pin hole of the idle gear shaft and strike the spring
pin.

NOTE:
Slit
When the slit on the rear side of the idle gear shaft is
set in the vertical direction, the pin hole will be
aligned.
Spring pin
281LX00084

22. Oil Seal (Output Shaft Side)


Oil seal installer
• Coat the oil seal lip portion with lithium grease
(BESCO L-2 or equivalent) and coat the seal
Oil seal guide Oil seal periphery portion with liquid gasket (LOCTITE 518
or equivalent).
• To prevent the seal lip portion from being
damaged, install it in the seal guide and press-fit it
in the gear case by the oil seal installer.

Oil seal installer : 5-8840-2433-0


281LX00085 Oil seal guide : 5-8840-2564-0
23. Bolt
• To install the oil pump in the PTO, fully coat the
shaft tip portion of the PTO and the oil pump shaft
groove portion with the lithium grease (BESCO L-2
or equivalent) for rust prevention.
Coated with
grease

281LX00086

• Align and install the shaft width across flats


PTO portion on the PTO side and the shaft groove on
the oil pump side and tighten the bolt at a
specified torque.
PTO Bolt Torque N·m ( kg·m / lb·ft)
53 (5.4 / 39)

Oil pump

281LX00087

24. Inner rod


25. Cable connector
26. Spring pin
27. Stopper adapter
28. Spring pin
• If the cable connector or stopper adapter is
removed, install it in the inner rod.
POWER TAKE-OFF – 51

29. Inner rod assembly


• Coat the threaded portion of the inner rod tip with
liquid gasket (LOCTITE 242 or equivalent) and
insert and screw it from the front side of the PTO,
and tighten the inner rod assembly at a specified
Fixed torque.

Oil pump
NOTE:
Tighten the inner rod assembly by inserting a Phillips
PTO Inner rod assembly
screwdriver in the groove of the control cable
connector and pressing it, then applying a wrench to
281LX00088
the stopper adapter on the oil pump side. (The three-
rotation dump truck is in contrast with this.)
Inner Rod Torque N·m ( kg·m / lb·ft)
19 (1.9 / 14)
52 POWER TAKE-OFF

TROBLESHOOTING
Inspection Based on Defect Symptoms
Defect 1. The Dump Body Rise is Disabled.

Inspection of oil pump rotation NG Inspection of cable


• Inspect that oil pump shaft (driving shaft) • Inspect that cable is removed or
rotates (see Fig. 2 at bottom of Page 20). disconnected.
Inspection of PTO
OK • Inspect operation of shift rod and spool.
• Inspect operation of shift arm.
• Inspect loss of gear.

Measure amount of spool extrusion. NG • Adjustment of control cable


• Dump lever = "Up" position = Rear dump truck: See Page 18.
Rear dump truck: 24 mm (0.945 inch) or (Three-rotation dump truck: See Page 24. )
more (See Page 18.).
Three-rotation dump truck: less than 7 mm
(0.276 inch) (See Page 24.)

OK

NG
Inspect leak of hydraulic operating fluid. • Repair or replace leaked parts.
• Leak or replace leak of connecting portion.
OK
NG

NG
Inspect amount of hydraulic operating fluid. • Supply specified amount of hydraulic
operating fluid (see Page 7).
OK

Inspection of existence of oil pump discharge


Inspection method
• When engine is in idling rotation state, touch high-pressure hose of oil pump by hand and sense and
compare hose pulsation at dump lever "Up" and "Neutral".

Same touch: Does not sense pulsation. Different touch: Senses pulsation at "Up" (Note).

Replace oil pump. (See Page 29.) There is the possibility of the equipment matter
side. (Hoist cylinder operation error)

NOTE:
For examination by touch on hose, be careful not to mix this pulsation with engine vibration.
POWER TAKE-OFF – 53

Defect 2. The Body (Cargo Deck) is Lugged During Rise.

Inspect air mixture in hydraulic operating NG (Mixture) • Execute air bleeding of hydraulic
fluid. circuit (see Page 12).

OK

NG (Insufficient)
Inspect amount of hydraulic operating • Supply specified amount of hydraulic
fluid. operating fluid (see Page 7).

OK

There is the possibility of the equipment


matter side. (Hinge wear, incorrect
lubrication of rotary portion, body
distortion, and cylinder rod deflection)
• Contact a service plant of a body
builder.

Defect 3. While the Body (Cargo Deck) is Being Raised, The Oil Pump Portion Causes a
Large Abnormal Sound (Such As Caterwaul or Grate).
NG
Inspect amount of hydraulic operating • Supply specified amount of hydraulic
fluid. operating fluid (see Page 7).

OK NG

• Replace oil pump (see Page 29).


Inspection of PTO
• Inspect that gear is damaged.
Inspection of transmission
• Inspect that the 2nd gear of counter
shaft is damaged.
54 POWER TAKE-OFF

Defect 4. The Dump Body is Kept Being Raised or Does Not Drop Intermediately.

NG
Measure amount of spool extrusion. • Adjust control cable.
• Dump lever "Down" position = Rear dump truck: See Page 18.)
Rear dump truck: less than 2 mm (0.079
inch) (See Page 19.)
( Three-rotation dump truck: See Page
25.
)
Three-rotation dump truck: 27 mm (1.063
inch) or more (See Page 24.)

OK

NG (Excessive)
Inspect amount of hydraulic operating • Adjust amount of hydraulic operating
fluid. fluid (see Page 7).

OK

• Replace oil pump (see Page 29).


(Front control valve operation error
inside oil pump)

NG

There is the possibility of the equipment


matter side. (Hoist cylinder, etc.)
• Contact a service plant of a body
builder.

Defect 5. The Fall Speed of The Dump Body is Slow.


(Basic Value: within 20 seconds for single cab, within 25 seconds for double
cab (only for rear dump truck)
NG
Measure amount of spool extrusion. • Adjust control cable.
• Dump lever "Down" position = Rear dump truck: See Page 18.)
Rear dump truck: less than 2 mm (0.079
inch) (See Page 19.)
( Three-rotation dump truck: See Page
25.
)
Three-rotation dump truck: 27 mm (1.063
inch) or more (See Page 24.)

OK

• Replace oil pump (see Page 29).


(Front control valve operation error
inside oil pump)

NG

There is the possibility of the equipment


matter side. (Hoist cylinder, etc.)
• Contact a service plant of a body
builder.
POWER TAKE-OFF – 55

Defect 6. When a Load is Applied, The Dump Body Drops.


NG
Inspect leak of hydraulic operating fluid. • Repair or replace leaked parts.
• Repair or replace leak of connecting
portion.

NG

OK • Supply specified amount of hydraulic


operating fluid (see Page 7).

• Replace oil pump (see Page 29).


(Check valve operation error inside oil
pump)

NG

There is the possibility of the equipment


matter side. (Hoist cylinder, etc.)
• Contact a service plant of a body
builder.
56 POWER TAKE-OFF

MAIN DATA AND SPECIFICATIONS


PTO with Oil Pump Assembly
Item Specification
Allowable maximum output torque N·m/rpm (kg·m/rpm) 98/1000 (10/1000)
Deceleration ratio (speed ratio for engine) 0.678
Direction of rotation (viewed from the rear of the PTO) Clockwise rotation

FIXING TORQUE
N·m (kg·m / lb·ft)

* This illustration is based on a rear dump truck model.

53 (5.4/39)

Oil pump

Shift cap

24 (2.4/17)

24 (2.4/17)

PTO

19 (1.9/14)

60 (6.1/44)
Cable holder
24 (2.4/17)
19 (1.9/14)

281LX00091
POWER TAKE-OFF – 57

SPECIAL TOOLS
Illustration Tool No. Tool Name

9-8529-2201-0 Spring pin bar

901LX084

5-8840-2432-0 Bearing installer

901LX085

5-8840-2433-0 Oil seal installer

901LX086

5-8840-2564-0 Oil seal guide

901LX087

Joint (low-pressure side)


5-8840-2439-0
PF3/4 male screw/PF1/2 nut

901LX088

Test hose (2 m long)


5-8840-2435-0 (Between oil pump and oil container)
Metal cap PF1/2 male screw x 2)

901LX089
MEMO
LGPTO-WE-0091

You are requested to order this manual using the


manual number that is shown above.

This manual is applicable for vehicles in all countries


except the USA and Canada.

All rights reserved. This manual may not be


reproduced in whole or in part, without the
permission in writing of ISUZU MOTORS LIMITED.

Issued by

ISUZU MOTORS LIMITED

INTERNATIONAL SERVICE DEPARTMENT

Tokyo, Japan

First edition Nov., 1999 0911-01K-1


No.LGPTO-WE-0091 PRINTED IN JAPAN
WORKSHOP MANUAL
NHR · NKR · NPR · NQR · NPS

GENERAL INFORMATION

SECTION 0

International Service & Parts


Tokyo, Japan
NOTICE

Before using this Workshop Manual to assist you in performing


vehicle service and maintenance operations, it is recommended
that you carefully read and thoroughly understand the
information contained in Section 0A under the headings
“GENERAL REPAIR INSTRUCTIONS” and “HOW TO USE THIS
MANUAL”.

All material contained in this Manual is based on latest product


information available at the time of publication.
All rights are reserved to make changes at any time without
prior notice.

Applicable Model

N-Series

NHR55 NPR55 NQR66


NHR69 NPR69 NQR70
NKR55 NPR65 NQR71
NKR69 NPR66 NPS66
NKR58 NPR70 NPS71
NKR66 NPR71

This manual is applicable to 1999 year model.


THIS MANUAL INCLUDES THE FOLLOWING SECTIONS:

SECTION NO. CONTENTS

0A General Information

0B Maintenance and Lubrication


HOME

GENERAL INFORMATION 0A–1

SECTION 0A
GENERAL INFORMATION

CONTENTS

PAGE
General Repair Instructions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 0A– 2
How To Use This Manual . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 0A– 3
Identification . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 0A– 6
Lifting Instruction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 0A– 7
Torque Specifications . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 0A– 9
Recommended Liquid Gasket . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 0A–10
Recommended Thread Locking Agent . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 0A–12
0A–2 GENERAL INFORMATION

GENERAL REPAIR INSTRUCTIONS


1. Park the vehicle on level ground and chock 11. Keep fixing nuts and bolts separate.
the front or rear wheels before lifting the Fixing nuts and bolts vary in hardness and
vehicle. design according to installation positions.

2. Use1covers1on1the1vehicle1body, seats, and 12. Clean1all1parts1before1inspection1or


floor1to1prevent1damage1and/or1 reassembly.
contaminations.
13. Clean the oil ports and other openings with
3. Disconnect the grounding cable from the compressed air to make certain that they are
battery before performing service operations. free of dirt and obstructions.
This will prevent cable damage or burning
due to shortcircuiting. 14. Lubricate the rotating and sliding faces of all
moving parts with oil or grease before
4. Raise the vehicle with a jack set against the installation.
axle or the frame.
15. Use1the1recommended1liquid1gasket1to
5. Support the vehicle on chassis stands. prevent1leakage.

6. Handle brake fluid and antifreeze solution 16. Be sure to tighten bolts and nuts to the
with great care. specified torque, using a properly maintained
Spilling these liquids on painted surfaces will torque wrench.
damage the paint.
17. When service operation is completed, make a
7. The use of the proper tool(s) and special final check to be sure service has been done
tool(s) where specified is essential to efficient, properly and problem has been corrected.
reliable, and safe service operations.
18. When1removing1or1replacing1parts1that
8. Always use genuine ISUZU replacement1 require refrigerant to the discharged from the
parts. Air conditioning system, be sure to use the
ACR4 or equivalent to recover and recycle
9. Discard used cotter pins, gasket, O-rings, oil Refrigerant-134a, to promote the movement
seals, lock washers, and self-locking nuts at for the protection of the ozone layer covering
disassembly. the earth.
Normal function of these parts cannot be
guaranteed if they are reused. 19. To1assure1safety, always1slowly1release1air
pressure1from1the1air1tanks1before
10. Keep the disassembled parts neatly in groups. disconnecting1pipes,1hoses1or1other1parts
This1will1facilitate1smooth1and1correct from1any1unit1under1pressure.
reassembly.
GENERAL INFORMATION 0A–3

HOW TO USE THIS MANUAL


1. The “GENERAL INFORMATION” includes items should be read and understood fully
collectively the following items 1 to A which before starting each service operations.
have relations with all the sections. These

1 General Repair Instruction 7 Liquid Gasket Application Procedure


2 How To Use This Manual 8 Maintenance Schedule
3 Model Change Information 9 Recommended Fluids, Lubricants and
4 Lifting Instruction Fuels
5 Torque Specification 0 Oil Viscosity Chart
6 Recommended Liquid Gasket A Lubrication Chart

2. The “SERVICE INFORMATION” at the describes the following information and data
beginning of each service operation section, 1 to 6 necessary for the service operation.

1 Troubleshooting 4 Servicing
2 Main Data and Specifications 5 Fixing Torque
3 Service Standard 6 Special Tools

3. The description of each service operation Disassembly,1Inspection1and1Repair1and


section consists of Removal and Installation, Reassembly.
0A–4 GENERAL INFORMATION

4. Each service operation section begins with a This illustration is useful for finding components,
disassembly view of the unit of equipment service procedure, etc.
(with exception of Inspection and Repair).

Note indicating what model the


illustration is based on.

The1number1represents1the
service1operation1sequence.

Parts within a square frame are to


be removed and installed as a
single unit.

Removal of the parts without


numbers (excluding bolts, nuts,
washers, gaskets, cotteer pins,
etc. ) is unnecessary except when
replacement is needed.
Where1parts1replacement
requires1specific1note,
instructions1are1given1in
“Inspection and Repair”.

Listed here are parts names


arranged in the order of the
service operation procedure, and
used as the title of each service
operation1in1the1detailed
explanation1followed.1
(Parts names are printed in
singular form.)
GENERAL INFORMATION 0A–5

5. Service operation procedure.

Service operation procedure :


When a detailed explanation is
required or when special tools
have to be used in the removal
(and installation) operation,
drawings and symbols are also
given.

This symbol indicates the type of


service operation to be
performed.
A more detailed explanation of
the various symbols follows.

Service operation procedure :


When the removal (and
installation) operation is
uncomplicated, only a removal
number and a parts name are
given.

Special tools are identified with


the tool names and tool numbers.
The drawing illustration shows
how the tool is used.

6. In this manual, the following symbols are


used to give a full understanding of the
service operation to be performed.

... Remove ... Clean

... Install ... Pay close attention

... Disassemble ... Tighten to specified torque

... Reassemble ... Use special tool(s) (Isuzu’s tool(s))

... Align the marks ... Use special tool(s) (parts manufacturer’s tool(s))

... Correct direction ... Lubricate with oil

... Inspect ... Lubricate with grease

... Take measurement ... Apply liquid gasket

... Adjustment

7. The service standard is indicated in terms of considered serviceable. “Limit” indicates the
“Standard” and “Limit”. limit1value1(Correction1or1replacement1is
The “Standard” means the assembly standard necessary when measurement is beyond this
and standard range within which the parts are limit).
0A–6 GENERAL INFORMATION

IDENTIFICATION
Chassis Number:
It is stamped on the front right-hand side face of the
chassis side member.
1: NHR and NKR models with independent front
suspension.
2: NPR, NQR and NPS models with rigid axle front
suspension.

Engine Number:
4J Series Engine
It is stamped on the left side rear of the cylinder body.

4H Series Engine
The engine number is stamped on the right side of
the cylinder body.

Vehicle Identification plate


The vehicle identification plate is attached to the
interior side of the cab side panel on the right side.
GENERAL INFORMATION 0A–7

LIFTING INSTRUCTION
If it is necessary to use a lifting device other than Lifting should only be done at the positions
the original equipment jack, see illustration for indicated to prevent possible damage to the
acceptable lifting points. vehicle.

CAUTION:
Failure to observe the acceptable lift points may result in
unsatisfactory vehicle performance or a durability failure
which may result in loss of control of the vehicle.

Garage Jack and Safety Stand


NHR,NKR,NPR,NQR
Lifting point and supportable point location
NHR,NKR,NPR,NQR

1 3 1 Front axle
2 Side frame front side
3 Rear axle center
4 Side frame rear side
5 Suspension cross member
4
6 Jack up bracket
2

NPS
NPS

1 3

4
2

NHR,NKR
NHR,NKR
(Front
(Front independent
independent suspention)
suspention)
5 3

6
4

Front Side; Lifting Point


Note:
Do not lift or support on engine oil pan.
0A–8 GENERAL INFORMATION

NHR,NKR
(Front independent suspention)

Front Side Supportable Point

NHR,NKR
(Front independent suspention)

Rear Side Lifting Point


Note:
Do not lift or support on rear axle tube.

Rear Side Supportable Point


GENERAL INFORMATION 0A–9

TORQUE SPECIFICATIONS
STANDARD BOLTS

The torque values given in the following table should be applied where a particular torque is not specified.

N·m (kg·m / lb·ft)


N·m kg·cm / lb·in

Strength 4.8 8.8 9.8


Class
Refined Non-Refined
Bolt
Identifi-
cation 4 8 8 9
Bolt
Diameter x No mark
Pitch (mm)

M 6x1.0 6 (60 / 52 7 (75 / 65 –


M 8x1.25 13 (130 / 113 17 (175 / 152 24 (240 / 208
M10x1.25 27 (2.8 / 20) 37 (3.8 / 27) 50 (5.1 / 37)
M12x1.25 61 (6.3 / 45) 76 (7.8 / 56) 95 (9.7 / 70)
M14x1.5 96 (9.8 / 71) 116 (11.9 / 86) 142 (14.5 / 105)
M16x1.5 130 (13.3 / 96) 170 (17.3 / 125) 200 (20.4 / 148)
M18x1.5 188 (19.2 / 139) 244 (24.9 / 180) 287 (29.3 / 212)
M20x1.5 258 (26.3 / 190) 337 (34.4 / 249) 396 (40.4 / 292)
M22x1.5 332 (33.9 / 245) 453 (46.3 / 335) 530 (54.1 / 391)
M24x2.0 449 (45.8 / 331) 570 (58.2 / 421) 692 (70.6 / 511)
*M10x1.5 26 (2.7 / 20) 36 (3.7 / 27) 48 (4.9 / 35)
*M12x1.5 57 (5.8 / 42) 71 (7.2 / 52) 89 (9.1 / 66)
*M14x2.0 89 (9.1 / 66) 110 (11.2 / 81) 133 (13.6 / 98)
*M16x2.0 124 (12.7 / 92) 162 (16.5 / 119) 191 (19.5 / 141)

The asterisk * indicates that the bolts are used for female-threaded parts that are made of soft materials
such as casting, etc.

FLARE NUTS
N·m (kg·m / lb·ft)
Pipe diameter mm (in) Torque Pipe diameter mm (in) Torque

4.76 (0.187) 16 (1.6 / 12) 10.00 (0.394) 54 (5.5 / 40)


6.35 (0.250) 26 (2.7 / 20) 12.00 (0.472) 88 (9.0 / 65)
8.00 (0.315) 44 (4.5 / 33) 15.00 (0.591) 106 (10.8 / 78)
0A–10 GENERAL INFORMATION

RECOMMENDED LIQUID GASKET


TYPE BRAND NAME MANUFACTURER APPLICATION PARTS (EXAMPLE)

RTV* ThreeBond 1207B ThreeBond Engine Oil Seal Retainer


Silicon Base ThreeBond 1207C ThreeBond Engine Oil Pan
ThreeBond 1215 ThreeBond Timing Gear Case
ThreeBond 1216 ThreeBond Cylinder Head Cover
ThreeBond 1281 ThreeBond Fuel Pump
Water Pump
Water Base ThreeBond 1141E ThreeBond Rear Axle
etc.
Solvent ThreeBond 1104 ThreeBond
BelcoBond 4 Isuzu
BelcoBond 401 Isuzu
BelcoBond 402 Isuzu

Anaerobic LOCTITE 515 LOCTITE Engine Oil Seal Retainer


LOCTITE 518 LOCTITE Water Pump
Transaxle
etc.
*RTV: Room Temperature Vulcanizer

NOTE:
1. It is very important that the liquid gaskets listed above or their exact equivalent be used on the vehicle.
2. LOCTITE 515 and LOCTITE 518 harden upon contact with a metal surface.
Do not apply LOCTITE 515 or LOCTITE 518 between two metal surfaces having a clearance of greater
than 0.25 mm (0.001 in). Poor adhesion will result.
3. Be careful to use the specified amount of liquid gasket.
Follow the manufacturer’s instructions at all times.
GENERAL INFORMATION 0A–11

Application Procedure

1. Completely remove lubricant and moisture from the connecting surfaces.


The surfaces must be perfectly dry.
2. Apply specified bead width of liquid gasket to one of the connecting surfaces.

mm (in.)

SCREW JUDGE-
DEPRESSION
HOLE MENT

1~3
(0.04~0.12)

OK

1~3 More than


(0.04~0.12) 2(0.08)

OK
Apply liquid gasket to
Depression the bolt hole interior

Specified
bead width
NG

Example
Anaerobic Type : 2-3mm (0.08-0.12 inch)
Others : 2-6mm (0.08-0.24 inch)

NOTE:
When the application procedures are specified in this Workshop manual, follow them.
0A–12 GENERAL INFORMATION

RECOMMENDED THREAD LOCKING AGENT


TYPE COLOR APPLICATION STEPS
1. Completely remove all lubricant and moisture from the
bolts and the female threaded surfaces of the parts to be
LOCTITE 242 Blue joined.
The surfaces must be perfectly dry.

2. Apply LOCTITE to the bolts.


Apply LOCTITE to at least 1/3 of the
bolt’s threaded area
LOCTITE 262 Red

3. Tighten the bolts to the specified torque.


NOTE:
LOCTITE 271 Red
After tightening, be sure to keep the bolts free from vibration
and torque for at least an hour until LOCTITE hardens.

NOTE:
When the application procedures are specified in this Workshop manual, follow them.
HOME

MAINTENANCE AND LUBRICATION 0B–1

SECTION 0B
MAINTENANCE AND LUBRICATION

CONTENTS

PAGE
Maintenance Schedule (for Europe) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 0B–12
Maintenance Schedule (Except Europe) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 0B–18
Recommended Fluids, Lubricants and Diesel Fuels . . . . . . . . . . . . . . . . . . . . . . . . . . . . 0B–14
Oil Viscosity Chart . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 0B–16
Lubrication Chart . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 0B–18
0B–2 MAINTENANCE AND LUBRICATION

MAINTENANCE SCHEDULE
(For Europe only)
When performing the checks on the following items,
regular inspection items should also be checked.

ABBREVIATIONS USED IN THIS MANUAL

I : Inspect, clean and correct or replace as necessary


A : Adjust
R : Replace or change
T : Tighten to specified torque
L : Lubricate
V ...............................Variation (optional on some models).
OPT ...............................Optional equipment.
4J ...............................For 4JB1-TC engine model.
4H ...............................For 4HE1-TC engine model.
MAINTENANCE AND LUBRICATION 0B–3

Maintenance schedule
Use odometer reading or months whichever comes first

SERVICE INTERVAL: x 1,000 km. 5 10 15 20 25 30 35 40 45 50 55 60 65 70 75 80 85 90 95 100


x 1,000 miles 3 6 9 12 15 18 21 24 27 30 33 36 39 42 45 48 51 54 57 60
or months 3 6 9 12 15 18 21 24 27 30 33 36 39 42 45 48 51 54 57 60

4J ENGINE

*Engine oil – R – R – R – R – R – R – R – R – R – R
*Oil filter – R – R – R – R – R – R – R – R – R – R
Fuel filter – – – R – – – R – – – R – – – R – – – R
*Air cleaner element – I – I – I – I – I – I – I – I – I – I
Idling speed and acceleration – – – I – – – I – – – I – – – I – – – I
Valve clearances – – – – – – – A – – – – – – – A – – – –
Fuel tank cap & fuel pipes for loose
connections or damage – – – – – – – I – – – – – – – I – – – –
Drive belt tension and damage – I – I – I – I – I – I – I – I – I – I
Radiator coolant
(Ethylene glycol antifreeze) – – – – – – – R – – – – – – – R – – – –
*Exhaust pipes and mounting
damage or looseness – – – I – – – I – – – I – – – I – – – I
Cooling system – – – I – – – I – – – I – – – I – – – I
Engine operation condition – I – I – I – I – I – I – I – I – I – I

4H ENGINE

*Engine oil – – R – – R – – R – – R – – R – – R – –
*Oil filter – – R – – R – – R – – R – – R – – R – –
Fuel filter: Main Fuel filter – – – R – – – R – – – R – – – R – – – R
OPT Main Fuel filter and Sub Fuel
filter: With Sub fuel filter – – – – – – – R – – – – – – – R – – – –
*Air cleaner element – I – I – I – R – I – I – I – R – I – I
Idling speed and acceleration – – – I – – – I – – – I – – – I – – – I
Valve clearances – – – – – – – A – – – – – – – A – – – –
Feed pump strainer – – – I – – – I – – – I – – – I – – – I
Fuel tank cap & fuel pipes for loose
connections or damage – – – – – – – I – – – – – – – I – – – –
Drive belt tension and damage – I – I – I – I – I – I – I – I – I – I
Radiator coolant
(Ethylene glycol antifreeze) – – – – – – – R – – – – – – – R – – – –
*Exhaust pipes and mounting
damage or looseness – – – I – – – I – – – I – – – I – – – I
Cooling system – – – I – – – I – – – I – – – I – – – I
Engine operation condition – I – I – I – I – I – I – I – I – I – I

CLUTCH

Clutch fluid – – I – – I – – R – – I – – R – – I – –
Clutch pedal travel and free play – I I I I I I I I I I I I I I I I I I I
0B–4 MAINTENANCE AND LUBRICATION

Maintenance schedule
Use odometer reading or months whichever comes first

SERVICE INTERVAL: x 1,000 km. 5 10 15 20 25 30 35 40 45 50 55 60 65 70 75 80 85 90 95 100


x 1,000 miles 3 6 9 12 15 18 21 24 27 30 33 36 39 42 45 48 51 54 57 60
or months 3 6 9 12 15 18 21 24 27 30 33 36 39 42 45 48 51 54 57 60

TRANSMISSION

*Manual Transmission oil – – I – – I – – R – – I – – R – – I – –


Gear control mechanism for
looseness – – – – – – – I – – – – – – – I – – – –
Gear control cable – – A – – – – – A – – – – – A – – – – –

PROPELLER SHAFT

*Universal joints and sliding sleeve – – L – – – – – L – – – – – L – – – – –


Loose connections – – I – – I – – I – – I – – I – – I – –
Splines for excessive wear – – – – – – – – I – – – – – I – – – – –
Bearings and related parts for
looseness – – – – – – – – I – – – – – I – – – – –
Center bearing – – L – – – – – L – – – – – L – – – – –

REAR AXLE

*Differencial gear oil – – I – – I – – R – – I – – I – – R – –

FRONT AXLE

*Kingpin – L – L – L – L – L – L – L – L – L – L

STEERING

Power steering system oil leakage – I – I – I – I – I – I – I – I – I – I


Power steering fluid – – – – – – – R – – – – – – – R – – – –
*Power steering system for
looseness or damage – I – I – I – I – I – I – I – I – I – I
Fitting of knuckles and front axle
for looseness – I – I – I – I – I – I – I – I – I – I
Steering mechanism for looseness
or damage – – – – – – – I – – – – – – – I – – – –
Ball joint boots for damage
(Independent suspension model
only) – I – I – I – I – I – I – I – I – I – I
Ball joint for excessive play
(Independent suspension model
only) – I – I – I – I – I – I – I – I – I – I
Relay lever shaft for excessive play
(Independent suspension model
ony) – I – I – I – I – I – I – I – I – I – I
Steering wheel play I I I I I I I I I I I I I I I I I I I I
Steering function I I I I I I I I I I I I I I I I I I I I
Wheel alignment – – – – – – – – – – – – – – – I – – – –
Power steering hose – – – – – – – – – – – – – – – R – – – –
MAINTENANCE AND LUBRICATION 0B–5

Maintenance schedule
Use odometer reading or months whichever comes first

SERVICE INTERVAL: x 1,000 km. 5 10 15 20 25 30 35 40 45 50 55 60 65 70 75 80 85 90 95 100


x 1,000 miles 3 6 9 12 15 18 21 24 27 30 33 36 39 42 45 48 51 54 57 60
or months 3 6 9 12 15 18 21 24 27 30 33 36 39 42 45 48 51 54 57 60

SERVICE BRAKES

Brake fluid – – I – – I – – R – – I – – I – – R – –
V Hydro booster fluid (ATF) – – I – – I – – R – – I – – I – – R – –
Brake system for fluid leakage – – I – – I – – I – – I – – I – – I – –
*Brake lining and drum for wear – – I – – I – – I – – I – – I – – I – –
*Disc brake pads and discs for wear – – I – – I – – I – – I – – I – – I – –
Brake pedal travel and free play I I I I I I I I I I I I I I I I I I I I
Pipes and hoses for loose
connections or damage – I – I – I – I – I – I – I – I – I – I

PARKING BRAKE

Parking brake cables – – I – – I – – I – – I – – I – – I – –


Parking brake function – – I – – I – – I – – I – – I – – I – –
Parking brake lever travel – – I – – I – – I – – I – – I – – I – –
Lining for wear – – – – – – – – I – – – – – – – – I – –
Drum for wear or damage – – – – – – – – I – – – – – – – – I – –
Ratchet for wear or damage – – – – – – – – I – – – – – – – – I – –

SUSPENSION

Spring leaves for damage – I – I – I – I – I – I – I – I – I – I


Torsion bar Spring (Independent
suspension model only) – I – I – I – I – I – I – I – I – I – I
Ball joint boots for damage
(Independent suspension model
only) – I – I – I – I – I – I – I – I – I – I
Mount for looseness or damage – I – I – I – I – I – I – I – I – I – I
Shock absorvers for oil leakage – I – I – I – I – I – I – I – I – I – I
Shock absorbers mount for
looseness – I – I – I – I – I – I – I – I – I – I
Ball joint for excessive play
(independent suspension model
only) – – – – – – – I – – – – – – – I – – – –
Upper links (Independent
suspension model only) L L L L L L L L L L L L L L L L L L L L

WHEELS

Wheel pins and nuts – – – T – – – T – – – T – – – T – – – T


Wheel disc for damage – – – I – – – I – – – I – – – I – – – I
Hub bearing grease – – – – – – – R – – – – – – – R – – – –
Tire pressure and damage – I – I – I – I – I – I – I – I – I – I
0B–6 MAINTENANCE AND LUBRICATION

Maintenance schedule
Use odometer reading or months whichever comes first

SERVICE INTERVAL: x 1,000 km. 5 10 15 20 25 30 35 40 45 50 55 60 65 70 75 80 85 90 95 100


x 1,000 miles 3 6 9 12 15 18 21 24 27 30 33 36 39 42 45 48 51 54 57 60
or months 3 6 9 12 15 18 21 24 27 30 33 36 39 42 45 48 51 54 57 60

ELECTRICAL EQUIPMENT

Specific gravity of battery – I – I – I – I – I – I – I – I – I – I


electrolyte

OTHERS

Lights, horn, windshield, wiper and


washer – I – I – I – I – I – I – I – I – I – I
Bolts and nuts on chassis and body – – – – – – – I – – – – – – – I – – – –
MAINTENANCE AND LUBRICATION 0B–7

Maintenance schedule under severe driving conditions

Severe driving conditions


A : Repeated short trips
B : Driving on rough roads
C : Driving on dusty roads
D : Driving extremely cold weather and/or on salted roads

Condition
Item Interval
A B C D A+D

4J Engine oil and oil filter Change every 5,000 km (3,000 miles) ● ●

4H Engine oil and oil filter Change every 7,500 km (4,500 miles) ● ●

Exhaust pipes and mounting Inspect every 10,000 km (6,000 miles) ● ● ●

Air cleaner element Replace every 20,000 km (12,000 miles) ●

Steering system for looseness


Inspect every 5,000 km (3,000 miles) ●
or damage

Universal joints and sliding


Lubricate every 10,000 km (6,000 miles) ●
sleeve grease

Manual transmission and


Change every 20,000 km (12,000 miles) ●
differential gear oil

Brake lining and drum for


Inspect every 10,000 km (6,000 miles) ● ● ●
wear

Disc brake pads and discs


Inspect every 5,000 km (3,000 miles) ● ● ●
for wear
0B–8 MAINTENANCE AND LUBRICATION

MAINTENANCE SCHEDULE
(EXCEPT EUROPE)
When performing the checks on the following items,
regular inspection items should also be checked.

ABBREVIATIONS USED IN THIS MANUAL

I : Inspect, clean and correct or replace as necessary


A : Adjust
R : Replace or change
T : Tighten to specified torque
L : Lubricate
V ...............................Variation (optional on some models).
OPT ...............................Optional equipment.
4JG ...............................For 4JG2 engine model.
4J ...............................For 4J engine models.
4HF1-2 ...............................For 4HF1-2 engine model.
4H ...............................For 4H engine model.
MT ...............................For manual transmission model only.
AT ...............................For automatic transmission model only.
MAINTENANCE AND LUBRICATION 0B–9

Maintenance schedule
Use odometer reading or months whichever comes first

SERVICE INTERVAL: x 1,000 km. 1 5 10 15 20 25 30 35 40 45 50 55 60 65 70 75 80 85 90 95 100


x 1,000 miles 0.6 3 6 9 12 15 18 21 24 27 30 33 36 39 42 45 48 51 54 57 60
or months 1 3 6 9 12 15 18 21 24 27 30 33 36 39 42 45 48 51 54 57 60

4J ENGINE

*Engine oil – R R R R R R R R R R R R R R R R R R R R
*Oil filter – – R – R – R – R – R – R – R – R – R – R
Fuel filter – – – – R – – – R – – – R – – – R – – – R
*Air cleaner element – – I – I – I – I – I – I – I – I – I – I
Idling speed and acceleration – – – – I – – – I – – – I – – – I – – – I
Valve clearances I – – – – – – – A – – – – – – – A – – – –
Fuel tank cap & fuel pipes for loose
connections or damage – – – – – – – – I – – – – – – – I – – – –
OPT 4JG Timing belt – – – – – – – – – – – – – – – – – – – – R
Drive belt tension and damage I – I – I – I – I – I – I – I – I – I – I
Radiator coolant
(Ethylene glycol antifreeze) – – – – – – – – R – – – – – – – R – – – –
*Exhaust pipes and mounting
damage or looseness – – – – I – – – I – – – I – – – I – – – I
Cooling system – – – – I – – – I – – – I – – – I – – – I
Engine operation condition – – I – I – I – I – I – I – I – I – I – I

4H ENGINE

*Engine oil – – R – R – R – R – R – R – R – R – R – R
*Oil filter – – R – R – R – R – R – R – R – R – R – R
Fuel filter: Main Fuel filter – – – – R – – – R – – – R – – – R – – – R
OPT Main Fuel filter and Sub Fuel
filter: With Sub fuel filter – – – – – – – – R – – – – – – – R – – – –
*Air cleaner element – – I – I – I – R – I – I – I – R – I – I
Idling speed and acceleration – – – – I – – – I – – – I – – – I – – – I
Valve clearances I – – – – – – – A – – – – – – – A – – – –
Feed pump strainer (Except 4HF1-2 ) – – – – I – – – I – – – I – – – I – – – I
Fuel tank cap & fuel pipes for loose
connections or damage – – – – – – – – I – – – – – – – I – – – –
Drive belt tension and damage I – I – I – I – I – I – I – I – I – I – I
Radiator coolant
(Ethylene glycol antifreeze) – – – – – – – – R – – – – – – – R – – – –
*Exhaust pipes and mounting
damage or looseness – – – – I – – – I – – – I – – – I – – – I
Cooling system – – – – I – – – I – – – I – – – I – – – I
Engine operation condition – – I – I – I – I – I – I – I – I – I – I

MT CLUTCH

Clutch fluid – – I – I – I – R – I – I – I – R – I – I
Clutch pedal travel and free play – I I I I I I I I I I I I I I I I I I I I
0B–10 MAINTENANCE AND LUBRICATION

Maintenance schedule
Use odometer reading or months whichever comes first

SERVICE INTERVAL: x 1,000 km. 1 5 10 15 20 25 30 35 40 45 50 55 60 65 70 75 80 85 90 95 100


x 1,000 miles 0.6 3 6 9 12 15 18 21 24 27 30 33 36 39 42 45 48 51 54 57 60
or months 1 3 6 9 12 15 18 21 24 27 30 33 36 39 42 45 48 51 54 57 60

TRANSMISSION

* MT Manual Transmission oil – – I – I – I – R – I – I – I – R – I – I


* AT Automatic Transmission fluid – – – – – – – – R – – – – – – – R – – – –
Gear control mechanism for
looseness – – – – – – – – I – – – – – – – I – – – –
Gear control cable – – – – A – – – A – – – A – – – A – – – A

TRANSMISSION WITH TRANSFER


CASE (NPS model only)

*Transmission with transfer case oil – – I – I – I – R – I – I – I – R – I – I


Gear control mechanism for
looseness – – – – – – – – I – – – – – – – I – – – –
Gear control cable – – – – A – – – A – – – A – – – A – – – A

PROPELLER SHAFT

*Universal joints and sliding sleeve – – – – L – – – L – – – L – – – L – – – L


Loose connections – – I – I – I – I – I – I – I – I – I – I
Splines for excessive wear – – – – – – – – I – – – – – – – I – – – –
Bearings and related parts for
looseness – – – – – – – – I – – – – – – – I – – – –
Center bearing – – – – L – – – L – – – L – – – L – – – L

REAR AXLE

*Differencial gear oil – – I – I – I – R – I – I – I – R – I – I

FRONT AXLE

*Kingpin – – L – L – L – L – L – L – L – L – L – L
Differential gear oil
(NPS model only) – – I – I – I – R – I – I – I – R – I – I
MAINTENANCE AND LUBRICATION 0B–11

Maintenance schedule
Use odometer reading or months whichever comes first

SERVICE INTERVAL: x 1,000 km. 1 5 10 15 20 25 30 35 40 45 50 55 60 65 70 75 80 85 90 95 100


x 1,000 miles 0.6 3 6 9 12 15 18 21 24 27 30 33 36 39 42 45 48 51 54 57 60
or months 1 3 6 9 12 15 18 21 24 27 30 33 36 39 42 45 48 51 54 57 60

STEERING

Manual steering gear oil – – – – – – I – – – – – I – – – – – I – –


OPT Power steering system oil
leakage – – I – I – I – I – I – I – I – I – I – I
OPT Power steering fluid – – – – – – – – R – – – – – – – R – – – –
* OPT Power steering system for
looseness or damage – – I – I – I – I – I – I – I – I – I – I
Fitting of knuckles and front axle
for looseness – – I – I – I – I – I – I – I – I – I – I
Steering mechanism for looseness
or damage – – – – – – – – I – – – – – – – I – – – –
Ball joint boots for damage
(Independent suspension model
only) – – I – I – I – I – I – I – I – I – I – I
Ball joint for excessive play
(Independent suspension model
only) – – I – I – I – I – I – I – I – I – I – I
Relay lever shaft for excessive play
(Independent suspension model
ony) – – I – I – I – I – I – I – I – I – I – I
Steering wheel play – I I I I I I I I I I I I I I I I I I I I
Steering function – I I I I I I I I I I I I I I I I I I I I
Wheel alignment – – – – – – – – – – – – – – – – I – – – –
OPT Power steering hose – – – – – – – – – – – – – – – – R – – – –

SERVICE BRAKES

Brake fluid – – I – I – I – R – I – I – I – R – I – I
V Hydro booster fluid (ATF) – – I – I – I – R – I – I – I – R – I – I
Brake system for fluid leakage – – I – I – I – I – I – I – I – I – I – I
*Brake lining and drum for wear – – – – I – – – I – – – I – – – I – – – I
*Disc brake pads and discs for wear – – I – I – I – I – I – I – I – I – I – I
Brake pedal travel and free play I I I I I I I I I I I I I I I I I I I I I
Pipes and hoses for loose
connections or damage – – I – I – I – I – I – I – I – I – I – I

PARKING BRAKE

Parking brake cables – – I – I – I – I – I – I – I – I – I – I


Parking brake function – – I – I – I – I – I – I – I – I – I – I
Parking brake lever travel – – I – I – I – I – I – I – I – I – I – I
Lining for wear – – – – – – – – I – – – – – – – I – – – –
Drum for wear or damage – – – – – – – – I – – – – – – – I – – – –
Ratchet for wear or damage – – – – – – – – I – – – – – – – I – – – –
0B–12 MAINTENANCE AND LUBRICATION

Maintenance schedule
Use odometer reading or months whichever comes first

SERVICE INTERVAL: x 1,000 km. 1 5 10 15 20 25 30 35 40 45 50 55 60 65 70 75 80 85 90 95 100


x 1,000 miles 0.6 3 6 9 12 15 18 21 24 27 30 33 36 39 42 45 48 51 54 57 60
or months 1 3 6 9 12 15 18 21 24 27 30 33 36 39 42 45 48 51 54 57 60

SUSPENSION

Spring leaves for damage – – I – I – I – I – I – I – I – I – I – I


Torsion bar Spring (Independent
suspension model only) – – I – I – I – I – I – I – I – I – I – I
Ball joint boots for damage
(Independent suspension model
only) – – I – I – I – I – I – I – I – I – I – I
Mount for looseness or damage – – I – I – I – I – I – I – I – I – I – I
Spring pin (NPS model only) – – L – L – L – L – L – L – L – L – L – L
Shock absorvers for oil leakage – – I – I – I – I – I – I – I – I – I – I
Shock absorbers mount for
looseness – – I – I – I – I – I – I – I – I – I – I
Ball joint for excessive play
(independent suspension model
only) – – – – – – – – I – – – – – – – I – – – –
Upper links (Independent
suspension model only) – L L L L L L L L L L L L L L L L L L L L

WHEELS

Wheel pins and nuts T – – – T – – – T – – – T – – – T – – – T


Wheel disc for damage – – – – I – – – I – – – I – – – I – – – I
Hub bearing grease – – – – – – – – R – – – – – – – R – – – –
Tire pressure and damage – – I – I – I – I – I – I – I – I – I – I

ELECTRICAL EQUIPMENT

Specific gravity of battery – – I – I – I – I – I – I – I – I – I – I


electrolyte

OTHERS

Lights, horn, windshield, wiper and


washer – – I – I – I – I – I – I – I – I – I – I
Drive shaft dust boots for damage
(NPS model only) – – – – I – – – I – – – I – – – I – – – I
Bolts and nuts on chassis and body I – – – – – – – I – – – – – – – I – – – –
MAINTENANCE AND LUBRICATION 0B–13

Maintenance schedule under severe driving conditions

Severe driving conditions


A : Repeated short trips
B : Driving on rough roads
C : Driving on dusty roads
D : Driving extremely cold weather and/or on salted roads

Condition
Item Interval
A B C D A+D

4J Engine oil:
Change every 2,500 km (1,500 miles) ● ●
with Partial-flow oil filter

4H Engine oil:
Change every 5,000 km (3,000 miles) ● ●
with Partial-flow oil filter

Engine oil filter Replace every 5,000 km (3,000 miles) ● ●

Exhaust pipes and mounting Inspect every 10,000 km (6,000 miles) ● ● ●

Air cleaner element Replace every 20,000 km (12,000 miles) ●

Steering system for looseness


Inspect every 5,000 km (3,000 miles) ●
or damage

Universal joints and sliding


Lubricate every 10,000 km (6,000 miles) ●
sleeve grease

Manual transmission and


Change every 20,000 km (12,000 miles) ●
differential gear oil

Automatic transmission gear


Change every 20,000 km (12,000 miles) ●
fluid

Transmission with transfer


Change every 20,000 km (12,000 miles) ●
case gear oil (NPS model)

Brake lining and drum for


Inspect every 10,000 km (6,000 miles) ● ● ●
wear

Disc brake pads and discs


Inspect every 5,000 km (3,000 miles) ● ● ●
for wear
0B–14 MAINTENANCE AND LUBRICATION
MAINTENANCE AND LUBRICATION 0B–15
0B–16 MAINTENANCE AND LUBRICATION

OIL VISCOSITY CHART


ENGINE OIL
ENGINE OIL VISCOSITY GRADE – AMBIENT TEMPERATURE
[Single grade]
;;;;;;;;;;;;;;;;;;;;;;
;;;;;;;;;;;;;;;;;;;;;;
;;;;;;;;;;;;;;;;;;;;;;
SAE 40, 50
;;;;;;;;;;;;;;;;;;;;;;
;;;;;;;;;;;;;;;;;;;;;;
;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;
;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;
;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;
SAE 30
;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;
;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;
;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;
;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;
;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;
SAE 20, 20W
;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;
;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;

;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;
;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;
;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;
SAE 10W
;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;
;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;

–30°C –25°C –15°C 0°C 15°C 25°C 30°C


–22°F –13°F 5°F 32°F 59°F 77°F 86°F

;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;
;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;
;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;
SAE 10W–30
;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;
;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;

;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;
;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;
;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;
SAE 15W–40, 20W–40, 20W–50
;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;
;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;
DO NOT USE SYNTHETIC OILS.
* At ambient temperatures below –25°C (–13°F), starting aids (oil pan
heater, block heater, etc.) are recommended to prevent hard starting
[Multi grade] and other engine problems.

MANUAL TRANSMISSION AND TRANSFER CASE OIL (ENGINE OIL)


VISCOSITY GRADE – AMBIENT TEMPERATURE

[Single grade]

;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;
;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;
;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;
SAE 40, 50
;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;
;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;
;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;
;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;
;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;
SAE 30
;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;
;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;

–25°C –10°C 5°C 10°C 20°C 35°C


–13°F 14°F 41°F 50°F 68°F 95°F
[Multi grade]
;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;
;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;
;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;
SAE 5W–30
;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;
;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;
;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;
;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;
;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;
;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;
SAE 10W–30
;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;
;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;
;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;
;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;
SAE 15W–40, 20W–40, 20W–50
;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;
ET-12 ;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;
MAINTENANCE AND LUBRICATION 0B–17

FRONT AXLE AND REAR AXLE OIL


GEAR OIL VISCOSITY GRADE – AMBIENT TEMPERATURE
[Single grade]
;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;
;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;
;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;
SAE 140
;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;
;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;
;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;
;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;
;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;
SAE 90
;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;
;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;
;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;
;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;
;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;
SAE 80W
;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;
;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;
;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;
;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;
;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;
SAE 75W
;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;

–25°C –10°C 0°C 15°C 30°C 35°C


–13°F 14°F 32°F 59°F 86°F 95°F
;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;
;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;
;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;
SAE 75W–90
;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;
;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;
;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;
;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;
;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;
SAE 80W–90
;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;
;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;
;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;
;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;
;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;
SAE 80W–140
;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;
;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;;
[Multi grade]
0B–18 MAINTENANCE AND LUBRICATION

LUBRICATION CHART
NHR, NKR (Front Independent Suspension) models
◎ Change W : Wheel bearing grease
○ Check and Replenish or Lubricate C : Multipurpose type grease
E : Engine oil M : MoS2 contained type grease
G : Gear Oil B : Brake fluid
A : Automatic transmission fluid

Steering
gear box
G

Brake and
clutch fluid B C Upper link

Front hub
bearing W W Front hub bearing

Upper link C A OPT Power steering


fluid

E OPT Oil bath type


air cleaner oil
4J Engine E E Transmission

4B Engine E Prop. shaft


M universal joint
Prop. shaft
M universal joint

Prop. shaft
M sliding sleeve
Prop.shaft
center bearing M

Rear hub Prop. shaft


bearing W M universal joint
Differential
gear
G W Rear hub bearing

Every month or 3,000km (2,000 miles)

Every 3 months or 5,000km (3,000 miles)

Every 6 months or 10,000km (6,000 miles)

Every 12 months or 20,000km (12,000 miles)


Every 18 months or 30,000km (18,000 miles)

Every 2 years or 40,000km (24,000 miles)


MAINTENANCE AND LUBRICATION 0B–19

NHR, NKR55, NKR69, NPR55 and NPR69 models


◎ Change W : Wheel bearing grease
○ Check and Replenish or Lubricate C : Multipurpose type grease
E : Engine oil M : MoS2 contained type grease
G : Gear Oil B : Brake fluid
A : Automatic transmission fluid

Steering
gear box G

Brake and
clutch fluid
B C King pin

King pin C W Front hub bearing

Front hub
bearing
W

A OPT Power steering


fluid

E OPT Oil bath type


air cleaner oil
4J Engine E E Transmission

Prop. shaft
M universal joint
Prop. shaft
Prop. shaft
M universal joint
center bearing M
Prop. shaft
M sliding sleeve

Rear hub Prop. shaft


bearing W M universal joint
Differential
G W Rear hub bearing
gear

Every month or 3,000km (2,000 miles)

Every 3 months or 5,000km (3,000 miles)

Every 6 months or 10,000km (6,000 miles)

Every 12 months or 20,000km (12,000 miles)

Every 18 months or 30,000km (18,000 miles)

Every 2 years or 40,000km (24,000 miles)


0B–20 MAINTENANCE AND LUBRICATION

NKR66, NPR66, NPR70, NPR71, NQR66,NQR70 and NQR71 models


◎ Change W : Wheel bearing grease
○ Check and Replenish or Lubricate C : Multipurpose type grease
E : Engine oil M : MoS2 contained type grease
G : Gear Oil B : Brake fluid
A : Automatic transmission fluid

Brake and
clutch fluid B C King pin

King pin C W Front hub bearing

Front hub
bearing
W
Power steering
A fluid

Automatic
A transmission

E Transmission

4H Engine E Prop. shaft


M universal joint

Prop. shaft
V Hydro booster
M universal joint
A
fluid
Prop. shaft
M sliding sleeve
Prop. shaft
center bearing M

Rear hub Prop. shaft


bearing W M universal joint
Differential
gear
G Rear hub bearing

Every month or 3,000km (2,000 miles)

Every 6 months or 10,000km (6,000 miles)

Every 12 months or 20,000km (12,000 miles)

Every 18 months or 30,000km (18,000 miles)

Every 2 years or 40,000km (24,000 miles)


MAINTENANCE AND LUBRICATION 0B–21

NPS66 and NPS71 model


◎ Change W : Wheel bearing grease
○ Check and Replenish or Lubricate C : Multipurpose type grease
E : Engine oil M : MoS2 contained type grease
G : Gear Oil B : Brake fluid
A : Automatic transmission fluid

Brake and
B clutch fluid

Differential
gear G
C King pin

Front hub
W W Front hub bearing
bearing

King pin
A Power steering
C
Prop. shaft
M universal joint
Prop. shaft
M sliding sleeve

4H Engine Transmission with


E transfer case
with partial-flow E
oil filter
Prop. shaft
M universal joint

Prop. shaft
M universal joint
Prop. shaft
center bearing M
Prop. shaft
M sliding sleeve
Rear spring
spring pin
C
Rear spring
C spring pin

Rear hub Prop. shaft


W M universal joint
bearing

Rear hub
Differential
G W bearing
gear

Rear spring Rear spring


shackle pin C C shackle pin

Every 6 months or 10,000km (6,000 miles)

Every 12 months or 20,000km (12,000 miles)


Every 2 years or 40,000km (24,000 miles)
MEMO
LGGEN-WE-9991

You are requested to order this manual using the


manual number that is shown above.

This manual is applicable for vehicles in all countries


except the USA and Canada.

All rights reserved. This manual may not be reproduced


in whole or in part, without the permission in writing
of ISUZU MOTORS LIMITED.

Issued by

ISUZU MOTORS LIMITED

INTERNATIONAL SERVICE DEPARTMENT

Tokyo, Japan

First edition Sept., 1999 9909-01K-1


No.LGGEN-WE-9991 PRINTED IN JAPAN
WORKSHOP MANUAL
NKR · NPR · NQR

GENERAL INFORMATION

SECTION 0

International Service & Parts


Tokyo, Japan
NOTICE

Before using this Workshop Manual to assist you in performing


vehicle service and maintenance operations, it is recommended
that you carefully read and thoroughly understand the
information contained in Section 0A under the headings
“GENERAL REPAIR INSTRUCTIONS” and “HOW TO USE THIS
MANUAL”.

All material contained in this Manual is based on latest product


information available at the time of publication.
All rights are reserved to make changes at any time without
prior notice.

Applicable Model

N-Series

NKR55 NPR55 NQR70


NPR70

This manual is applicable to 2000 year model.


THIS MANUAL INCLUDES THE FOLLOWING SECTIONS:

SECTION NO. CONTENTS

0A General Information

0B Maintenance and Lubrication


HOME

GENERAL INFORMATION 0A–1

SECTION 0A
GENERAL INFORMATION

CONTENTS

PAGE
General Repair Instructions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 0A– 2
How To Use This Manual . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 0A– 3
Identification . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 0A– 6
Lifting Instruction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 0A– 7
Torque Specifications . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 0A– 9
Recommended Liquid Gasket . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 0A–10
Recommended Thread Locking Agent . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 0A–12
0A–2 GENERAL INFORMATION

GENERAL REPAIR INSTRUCTIONS


1. Park the vehicle on level ground and chock 11. Keep fixing nuts and bolts separate.
the front or rear wheels before lifting the Fixing nuts and bolts vary in hardness and
vehicle. design according to installation positions.

2. Use1covers1on1the1vehicle1body, seats, and 12. Clean1all1parts1before1inspection1or


floor1to1prevent1damage1and/or1 reassembly.
contaminations.
13. Clean the oil ports and other openings with
3. Disconnect the grounding cable from the compressed air to make certain that they are
battery before performing service operations. free of dirt and obstructions.
This will prevent cable damage or burning
due to shortcircuiting. 14. Lubricate the rotating and sliding faces of all
moving parts with oil or grease before
4. Raise the vehicle with a jack set against the installation.
axle or the frame.
15. Use1the1recommended1liquid1gasket1to
5. Support the vehicle on chassis stands. prevent1leakage.

6. Handle brake fluid and antifreeze solution 16. Be sure to tighten bolts and nuts to the
with great care. specified torque, using a properly maintained
Spilling these liquids on painted surfaces will torque wrench.
damage the paint.
17. When service operation is completed, make a
7. The use of the proper tool(s) and special final check to be sure service has been done
tool(s) where specified is essential to efficient, properly and problem has been corrected.
reliable, and safe service operations.
18. When1removing1or1replacing1parts1that
8. Always use genuine ISUZU replacement1 require refrigerant to the discharged from the
parts. Air conditioning system, be sure to use the
ACR4 or equivalent to recover and recycle
9. Discard used cotter pins, gasket, O-rings, oil Refrigerant-134a, to promote the movement
seals, lock washers, and self-locking nuts at for the protection of the ozone layer covering
disassembly. the earth.
Normal function of these parts cannot be
guaranteed if they are reused. 19. To1assure1safety, always1slowly1release1air
pressure1from1the1air1tanks1before
10. Keep the disassembled parts neatly in groups. disconnecting1pipes,1hoses1or1other1parts
This1will1facilitate1smooth1and1correct from1any1unit1under1pressure.
reassembly.
GENERAL INFORMATION 0A–3

HOW TO USE THIS MANUAL


1. The “GENERAL INFORMATION” includes 2. The “SERVICE INFORMATION” at the
collectively the following items 1 to A which beginning of each service operation section,
have relations with all the sections. These describes the following information and data
items should be read and understood fully 1 to 6 necessary for the service operation.
before starting each service operations. 1 Troubleshooting
1 General Repair Instruction 2 Main Data and Specifications
2 How To Use This Manual 3 Service Standard
3 Model Change Information 4 Servicing
4 Lifting Instruction 5 Fixing Torque
5 Torque Specification 6 Special Tools
6 Recommended Liquid Gasket
7 Liquid Gasket Application Procedure 3. The description of each service operation
8 Maintenance Schedule section consists of Removal and Installation,
9 Recommended Fluids, Lubricants and Disassembly,1Inspection1and1Repair1and
Fuels Reassembly.
0 Oil Viscosity Chart
A Lubrication Chart

1
2
3
4
5
6
0A–4 GENERAL INFORMATION

4. Each service operation section begins with a


disassembly view of the unit of equipment
(with exception of Inspection and Repair).
This illustration is useful for finding
components, service procedure, etc.

Note indicating what model the


illustration is based on.

The1number1represents1the
service1operation1sequence.

Parts within a square frame are to


be removed and installed as a
single unit.

Removal of the parts without


numbers (excluding bolts, nuts,
washers, gaskets, cotteer pins,
etc. ) is unnecessary except when
replacement is needed.
Where1parts1replacement
requires1specific1note,
instructions1are1given1in
“Inspection and Repair”.

Listed here are parts names


arranged in the order of the
service operation procedure, and
used as the title of each service
operation1in1the1detailed
explanation1followed.1
(Parts names are printed in
singular form.)
GENERAL INFORMATION 0A–5

5. Service operation procedure.

Service operation procedure :


When a detailed explanation is
required or when special tools
have to be used in the removal
(and installation) operation,
drawings and symbols are also
given.

This symbol indicates the type of


service operation to be
performed.
A more detailed explanation of
the various symbols follows.

Service operation procedure :


When the removal (and
installation) operation is
uncomplicated, only a removal
number and a parts name are
given.

Special tools are identified with


the tool names and tool numbers.
The drawing illustration shows
how the tool is used.

6. In this manual, the following symbols are


used to give a full understanding of the
service operation to be performed.

... Remove ... Clean

... Install ... Pay close attention

... Disassemble ... Tighten to specified torque

... Reassemble ... Use special tool(s) (Isuzu’s tool(s))

... Align the marks ... Use special tool(s) (parts manufacturer’s tool(s))

... Correct direction ... Lubricate with oil

... Inspect ... Lubricate with grease

... Take measurement ... Apply liquid gasket

... Adjustment

7. The service standard is indicated in terms of considered serviceable. “Limit” indicates the
“Standard” and “Limit”. limit1value1(Correction1or1replacement1is
The “Standard” means the assembly standard necessary when measurement is beyond this
and standard range within which the parts are limit).
0A–6 GENERAL INFORMATION

IDENTIFICATION
Chassis Number:
It is stamped on the front right-hand side face of the
chassis side member.
1: NKR model with independent front suspension.
2: NKR, NPR and NQR models with rigid axle front
suspension.

Engine Number:
4J Series Engine
It is stamped on the left side rear of the cylinder body.

4H Series Engine
The engine number is stamped on the right side of
the cylinder body.

Vehicle Identification plate


The vehicle identification plate is attached to the
interior side of the cab side panel on the right side.
GENERAL INFORMATION 0A–7

LIFTING INSTRUCTION
If it is necessary to use a lifting device other than Lifting should only be done at the positions
the original equipment jack, see illustration for indicated to prevent possible damage to the
acceptable lifting points. vehicle.

CAUTION:
Failure to observe the acceptable lift points may result in
unsatisfactory vehicle performance or a durability failure
which may result in loss of control of the vehicle.

Garage Jack and Safety Stand


Lifting point and supportable point location
NKR,NPR,NQR
NHR,NKR,NPR,NQR

1 3 1 Front axle
2 Side frame front side
3 Rear axle center
4 Side frame rear side
5 Suspension cross member
4
6 Jack up bracket
2

NHR,NKR
NKR
(Front independent
(Front independent suspention)
suspention)
5 3

6
4

Front Side; Lifting Point


Note:
Do not lift or support on engine oil pan.
0A–8 GENERAL INFORMATION

NHR,NKR
NKR
(Frontindependent
(Front independentsuspention)
suspention)

Front Side Supportable Point

NHR,NKR
NKR
(Frontindependent
(Front independentsuspention)
suspention)

Rear Side Lifting Point


Note:
Do not lift or support on rear axle tube.

Rear Side Supportable Point


GENERAL INFORMATION 0A–9

TORQUE SPECIFICATIONS
STANDARD BOLTS

The torque values given in the following table should be applied where a particular torque is not specified.

N·m (kg·m / lb·ft)


N·m kg·cm / lb·in

Strength 4.8 8.8 9.8


Class
Refined Non-Refined
Bolt
Identifi-
cation 4 8 8 9
Bolt
Diameter x No mark
Pitch (mm)

M 6x1.0 6 (60 / 52 7 (75 / 65 –


M 8x1.25 13 (130 / 113 17 (175 / 152 24 (240 / 208
M10x1.25 27 (2.8 / 20) 37 (3.8 / 27) 50 (5.1 / 37)
M12x1.25 61 (6.3 / 45) 76 (7.8 / 56) 95 (9.7 / 70)
M14x1.5 96 (9.8 / 71) 116 (11.9 / 86) 142 (14.5 / 105)
M16x1.5 130 (13.3 / 96) 170 (17.3 / 125) 200 (20.4 / 148)
M18x1.5 188 (19.2 / 139) 244 (24.9 / 180) 287 (29.3 / 212)
M20x1.5 258 (26.3 / 190) 337 (34.4 / 249) 396 (40.4 / 292)
M22x1.5 332 (33.9 / 245) 453 (46.3 / 335) 530 (54.1 / 391)
M24x2.0 449 (45.8 / 331) 570 (58.2 / 421) 692 (70.6 / 511)
*M10x1.5 26 (2.7 / 20) 36 (3.7 / 27) 48 (4.9 / 35)
*M12x1.5 57 (5.8 / 42) 71 (7.2 / 52) 89 (9.1 / 66)
*M14x2.0 89 (9.1 / 66) 110 (11.2 / 81) 133 (13.6 / 98)
*M16x2.0 124 (12.7 / 92) 162 (16.5 / 119) 191 (19.5 / 141)

The asterisk * indicates that the bolts are used for female-threaded parts that are made of soft materials
such as casting, etc.

FLARE NUTS
N·m (kg·m / lb·ft)
Pipe diameter mm (in) Torque Pipe diameter mm (in) Torque

4.76 (0.187) 16 (1.6 / 12) 10.00 (0.394) 54 (5.5 / 40)


6.35 (0.250) 26 (2.7 / 20) 12.00 (0.472) 88 (9.0 / 65)
8.00 (0.315) 44 (4.5 / 33) 15.00 (0.591) 106 (10.8 / 78)
0A–10 GENERAL INFORMATION

RECOMMENDED LIQUID GASKET


TYPE BRAND NAME MANUFACTURER APPLICATION PARTS (EXAMPLE)

RTV* ThreeBond 1207B ThreeBond Engine Oil Seal Retainer


Silicon Base ThreeBond 1207C ThreeBond Engine Oil Pan
ThreeBond 1215 ThreeBond Timing Gear Case
ThreeBond 1216 ThreeBond Cylinder Head Cover
ThreeBond 1281 ThreeBond Fuel Pump
Water Pump
Water Base ThreeBond 1141E ThreeBond Rear Axle
etc.
Solvent ThreeBond 1104 ThreeBond
BelcoBond 4 Isuzu
BelcoBond 401 Isuzu
BelcoBond 402 Isuzu

Anaerobic LOCTITE 515 LOCTITE Engine Oil Seal Retainer


LOCTITE 518 LOCTITE Water Pump
LOCTITE 5127 LOCTITE Transaxle
etc.
*RTV: Room Temperature Vulcanizer

NOTE:
1. It is very important that the liquid gaskets listed above or their exact equivalent be used on the vehicle.
2. LOCTITE 515 and LOCTITE 518 harden upon contact with a metal surface.
Do not apply LOCTITE 515 or LOCTITE 518 between two metal surfaces having a clearance of greater
than 0.25 mm (0.001 in). Poor adhesion will result.
3. Be careful to use the specified amount of liquid gasket.
Follow the manufacturer’s instructions at all times.
GENERAL INFORMATION 0A–11

Application Procedure

1. Completely remove lubricant and moisture from the connecting surfaces.


The surfaces must be perfectly dry.
2. Apply specified bead width of liquid gasket to one of the connecting surfaces.

mm (in.)

SCREW JUDGE-
DEPRESSION
HOLE MENT

1~3
(0.04~0.12)

OK

1~3 More than


(0.04~0.12) 2(0.08)

OK
Apply liquid gasket to
Depression the bolt hole interior

Specified
bead width
NG

Example
Anaerobic Type : 2-3mm (0.08-0.12 inch)
Others : 2-6mm (0.08-0.24 inch)

NOTE:
When the application procedures are specified in this Workshop manual, follow them.
0A–12 GENERAL INFORMATION

RECOMMENDED THREAD LOCKING AGENT


TYPE COLOR APPLICATION STEPS
1. Completely remove all lubricant and moisture from the
bolts and the female threaded surfaces of the parts to be
LOCTITE 242 Blue joined.
The surfaces must be perfectly dry.

2. Apply LOCTITE to the bolts.


Apply LOCTITE to at least 1/3 of the
bolt’s threaded area
LOCTITE 262 Red

3. Tighten the bolts to the specified torque.


NOTE:
LOCTITE 271 Red
After tightening, be sure to keep the bolts free from vibration
and torque for at least an hour until LOCTITE hardens.

NOTE:
When the application procedures are specified in this Workshop manual, follow them.
HOME

MAINTENANCE AND LUBRICATION 0B–1

SECTION 0B
MAINTENANCE AND LUBRICATION

CONTENTS

PAGE
Maintenance Schedule . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 0B– 2
4JB1-TC engine model (ACEA B2 specification engine oil) . . . . . . . . . . . . . . . . . . . . 0B– 3
4JB1-TC engine model (Engine oil that meets or exceeds ACEA B3 specification) . . 0B– 9
4HE1-TC engine model . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 0B–15
Maintenance schedule under severe driving conditions . . . . . . . . . . . . . . . . . . . . . . 0B–21
Recommended Fluids, Lubricants and Diesel Fuels . . . . . . . . . . . . . . . . . . . . . . . . . . . . 0B–21
Oil Viscosity Chart . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 0B–22
0B–2 MAINTENANCE AND LUBRICATION

MAINTENANCE SCHEDULE
When performing the checks on the following items,
regular inspection items should also be checked.

ABBREVIATIONS USED IN THIS MANUAL

I : Inspect, clean and correct or replace as necessary


A : Adjust
R : Replace or change
T : Tighten to specified torque
L : Lubricate
V ...............................Variation (optional on some models).
OPT ...............................Optional equipment.
4J ...............................For 4JB1-TC engine model.
4H ...............................For 4HE1-TC engine model.
Maintenance schedule: 4JB1-TC engine model (ACEA B2 specification engine oil)
SERVICE INTERVAL:
(Use odometer reading or months x 1000 km 10 20 30 40 50 60 70 80 90 100
Whichever comes first) x 1000 mile 6 12 18 24 30 36 42 48 54 60
4J ENGINE
* Engine oil R R R R R R R R R R or every 6 months
* Engine oil filter R R R R R R R R R R or every 6 months
Fuel filter - R - R - R - R - R or every 12 months
* Air cleaner element I I I R I I I R I I or every 24 months
Idling speed and acceleration - I - I - I - I - I or every 12 months
Valve clearances - - - A - - - A - - or every 24 months
Fuel tank cap and fuel pipes for loose connections - - - I - - - I - - or every 24 months
or damage
Drive belt tension and damage I I I I I I I I I I or every 6 months
Radiator coolant (Ethylene glycol anti-freeze) - - - R - - - R - - or every 24 months
* Exhaust pipes and mountings for looseness or damage - I - I - I - I - I or every 12 months
Cooling system for water leakage - I - I - I - I - I or every 12 months
Engine operation condition I I I I I I I I I I or every 6 months
(I): Inspect and correct or replace as necessary (A): Adjust (R): Replace or change (T): Tighten to specified torque (L): Lubricate
MAINTENANCE AND LUBRICATION 0B–3
Maintenance schedule: 4JB1-TC engine model (ACEA B2 specification engine oil)
SERVICE INTERVAL:
(Use odometer reading or months x 1000 km 10 20 30 40 50 60 70 80 90 100
Whichever comes first) x 1000 mile 6 12 18 24 30 36 42 48 54 60
CLUTCH
Clutch fluid I I I R I I I R I I or every 24 months
Clutch pedal travel and free play I I I I I I I I I I or every 6 months
TRANSMISSION
* Manual transmission oil I I I R I I I R I I or every 24 months
Gear control mechanism for looseness - - - I - - - I - - or every 24 months
Gear control cables - A - A - A - A - A or every 12 months
0B–4 MAINTENANCE AND LUBRICATION

PROPELLER SHAFT
* Universal joints and sliding sleeve grease - L - L - L - L - L or every 12 months
Loose connections I I I I I I I I I I or every 6 months
Splines for excessive wear - - - I - - - I - - or every 24 months
Bearings and related parts for looseness - - - I - - - I - - or every 24 months
Center bearing - L - L - L - L - L or every 12 months
REAR AXLE
* Differential gear oil I I I R I I I R I I or every 24 months
(I): Inspect and correct or replace as necessary (A): Adjust (R): Replace or change (T): Tighten to specified torque (L): Lubricate
Maintenance schedule: 4JB1-TC engine model (ACEA B2 specification engine oil)
SERVICE INTERVAL:
(Use odometer reading or months x 1000 km 10 20 30 40 50 60 70 80 90 100
Whichever comes first) x 1000 mile 6 12 18 24 30 36 42 48 54 60
FRONT AXLE
* Kingpins L L L L L L L L L L or every 6 months
STEERING
Power steering system oil leakage I I I I I I I I I I or every 6 months
* Power steering system for looseness or damage I I I I I I I I I I or every 6 months
Power steering fluid - - - R - - - R - - or every 24 months
Power steering hoses - - - - - - - R - - or every 48 months
Fitting of knuckles and front axle for looseness I I I I I I I I I I or every 6 months
Steering mechanism for looseness or damage - - - I - - - I - - or every 24 months
Ball joints for damage I I I I I I I I I I or every 6 months
(Independent suspension model only)
Ball joints for excessive play I I I I I I I I I I or every 6 months
(Independent suspension model only)
Relay lever shaft for excessive play I I I I I I I I I I or every 6 months
(Independent suspension model only)
Steering wheel play I I I I I I I I I I or every 6 months
(I): Inspect and correct or replace as necessary (A): Adjust (R): Replace or change (T): Tighten to specified torque (L): Lubricate
MAINTENANCE AND LUBRICATION 0B–5
Maintenance schedule: 4JB1-TC engine model (ACEA B2 specification engine oil)
SERVICE INTERVAL:
(Use odometer reading or months x 1000 km 10 20 30 40 50 60 70 80 90 100
Whichever comes first) x 1000 mile 6 12 18 24 30 36 42 48 54 60
Steering function I I I I I I I I I I or every 6 months
Wheel alignment - - - I - - - I - - or every 24 months
SERVICE BRAKES
Brake fluid I I I R I I I R I I or every 24 months
Brake system for fluid leakage I I I I I I I I I I or every 6 months
* Brake linings and drums for wear I I I I I I I I I I or every 6 months
* Disc brake pads and discs for wear I I I I I I I I I I or every 6 months
0B–6 MAINTENANCE AND LUBRICATION

Brake pedal travel and free play I I I I I I I I I I or every 6 months


Pipes and hoses for loose connections or damage I I I I I I I I I I or every 6 months
PARKING BRAKE
Parking brake cables I I I I I I I I I I or every 6 months
Parking brake function I I I I I I I I I I or every 6 months
Parking brake lever travel I I I I I I I I I I or every 6 months
Linings for wear - - - I - - - I - - or every 24 months
Drum for wear or damage - - - I - - - I - - or every 24 months
Ratchet for wear or damage - - - I - - - I - - or every 24 months
(I): Inspect and correct or replace as necessary (A): Adjust (R): Replace or change (T): Tighten to specified torque (L): Lubricate
Maintenance schedule: 4JB1-TC engine model (ACEA B2 specification engine oil)
SERVICE INTERVAL:
(Use odometer reading or months x 1000 km 10 20 30 40 50 60 70 80 90 100
Whichever comes first) x 1000 mile 6 12 18 24 30 36 42 48 54 60
SUSPENSION
Spring leaves for damage I I I I I I I I I I or every 6 months
Torsion bar spring I I I I I I I I I I or every 6 months
(Independent suspension model only)
Ball joint boots for damage I I I I I I I I I I or every 6 months
(Independent suspension model only)
Ball joints for excessive play - - - I - - - I - - or every 24 months
(Independent suspension model only)
Mounts for looseness or damage I I I I I I I I I I or every 6 months
Shock absorbers for oil leakage I I I I I I I I I I or every 6 months
Shock absorbers mount for looseness I I I I I I I I I I or every 6 months
Upper links (Independent suspension model only) L L L L L L L L L L or every 6 months
WHEELS
Wheel pins and nuts - T - T - T - T - T or every 12 months
Wheel discs for damage - I - I - I - I - I or every 12 months
Hub bearings grease - - - R - - - R - - or every 24 months
Tire pressures and damage I I I I I I I I I I or every 6 months
(I): Inspect and correct or replace as necessary (A): Adjust (R): Replace or change (T): Tighten to specified torque (L): Lubricate
MAINTENANCE AND LUBRICATION 0B–7
Maintenance schedule: 4JB1-TC engine model (ACEA B2 specification engine oil)
SERVICE INTERVAL:
(Use odometer reading or months x 1000 km 10 20 30 40 50 60 70 80 90 100
Whichever comes first) x 1000 mile 6 12 18 24 30 36 42 48 54 60
ELECTRICAL EQUIPMENT
Specific gravity of battery electrolyte I I I I I I I I I I or every 6 months
OTHERS
Lights, horn, windshield, wiper and washers I I I I I I I I I I or every 6 months
Bolts and nuts on chassis and body - - - I - - - I - - or every 24 months
(I): Inspect and correct or replace as necessary (A): Adjust (R): Replace or change (T): Tighten to specified torque (L): Lubricate
0B–8 MAINTENANCE AND LUBRICATION
Maintenance schedule: 4JB1-TC engine model (Engine oil that meets or exceeds ACEA B3 specification)
SERVICE INTERVAL:
(Use odometer reading or months x 1000 km 15 30 45 60 75 90 105 120 135 150
Whichever comes first) x 1000 mile 9 18 27 36 45 54 63 72 81 90
4J ENGINE
* Engine oil R R R R R R R R R R or every 9 months
* Engine oil filter R R R R R R R R R R or every 9 months
Fuel filter - R - R - R - R - R or every 18 months
* Air cleaner element I I I R I I I R I I or every 36 months
Idling speed and acceleration - I - I - I - I - I or every 18 months
Valve clearances - - - A - - - A - - or every 36 months
Fuel tank cap and fuel pipes for loose connections - - - I - - - I - - or every 36 months
or damage
Drive belt tension and damage I I I I I I I I I I or every 9 months
Radiator coolant (Ethylene glycol anti-freeze) - - - R - - - R - - or every 36 months
* Exhaust pipes and mountings for looseness or damage - I - I - I - I - I or every 18 months
Cooling system for water leakage - I - I - I - I - I or every 18 months
Engine operation condition I I I I I I I I I I or every 9 months
(I): Inspect and correct or replace as necessary (A): Adjust (R): Replace or change (T): Tighten to specified torque (L): Lubricate
MAINTENANCE AND LUBRICATION 0B–9
Maintenance schedule: 4JB1-TC engine model (Engine oil that meets or exceeds ACEA B3 specification)
SERVICE INTERVAL:
(Use odometer reading or months x 1000 km 15 30 45 60 75 90 105 120 135 150
Whichever comes first) x 1000 mile 9 18 27 36 45 54 63 72 81 90
CLUTCH
Clutch fluid I I I R I I I R I I or every 24 months
Clutch pedal travel and free play I I I I I I I I I I or every 6 months
TRANSMISSION
* Manual transmission oil I I I R I I I R I I or every 24 months
Gear control mechanism for looseness - - - I - - - I - - or every 24 months
Gear control cables - A - A - A - A - A or every 12 months
0B–10 MAINTENANCE AND LUBRICATION

PROPELLER SHAFT
* Universal joints and sliding sleeve grease - L - L - L - L - L or every 12 months
Loose connections I I I I I I I I I I or every 6 months
Splines for excessive wear - - - I - - - I - - or every 24 months
Bearings and related parts for looseness - - - I - - - I - - or every 24 months
Center bearing - L - L - L - L - L or every 12 months
REAR AXLE
* Differential gear oil I I I R I I I R I I or every 24 months
(I): Inspect and correct or replace as necessary (A): Adjust (R): Replace or change (T): Tighten to specified torque (L): Lubricate
Maintenance schedule: 4JB1-TC engine model (Engine oil that meets or exceeds ACEA B3 specification)
SERVICE INTERVAL:
(Use odometer reading or months x 1000 km 15 30 45 60 75 90 105 120 135 150
Whichever comes first) x 1000 mile 9 18 27 36 45 54 63 72 81 90
FRONT AXLE
* Kingpins L L L L L L L L L L or every 9 months
STEERING
Power steering system oil leakage I I I I I I I I I I or every 9 months
* Power steering system for looseness or damage I I I I I I I I I I or every 9 months
Power steering fluid - - - R - - - R - - or every 36 months
Power steering hoses - - - - - - - R - - or every 72 months
Fitting of knuckles and front axle for looseness I I I I I I I I I I or every 9 months
Steering mechanism for looseness or damage - - - I - - - I - - or every 36 months
Ball joints for damage I I I I I I I I I I or every 9 months
(Independent suspension model only)
Ball joints for excessive play I I I I I I I I I I or every 9 months
(Independent suspension model only)
Relay lever shaft for excessive play I I I I I I I I I I or every 9 months
(Independent suspension model only)
Steering wheel play I I I I I I I I I I or every 9 months
(I): Inspect and correct or replace as necessary (A): Adjust (R): Replace or change (T): Tighten to specified torque (L): Lubricate
MAINTENANCE AND LUBRICATION 0B–11
Maintenance schedule: 4JB1-TC engine model (Engine oil that meets or exceeds ACEA B3 specification)
SERVICE INTERVAL:
(Use odometer reading or months x 1000 km 15 30 45 60 75 90 105 120 135 150
Whichever comes first) x 1000 mile 9 18 27 36 45 54 63 72 81 90
Steering function I I I I I I I I I I or every 9 months
Wheel alignment - - - I - - - I - - or every 36 months
SERVICE BRAKES
Brake fluid I I I R I I I R I I or every 36 months
Brake system for fluid leakage I I I I I I I I I I or every 9 months
* Brake linings and drums for wear I I I I I I I I I I or every 9 months
* Disc brake pads and discs for wear I I I I I I I I I I or every 9 months
0B–12 MAINTENANCE AND LUBRICATION

Brake pedal travel and free play I I I I I I I I I I or every 9 months


Pipes and hoses for loose connections or damage I I I I I I I I I I or every 9 months
PARKING BRAKE
Parking brake cables I I I I I I I I I I or every 9 months
Parking brake function I I I I I I I I I I or every 9 months
Parking brake lever travel I I I I I I I I I I or every 9 months
Linings for wear - - - I - - - I - - or every 36 months
Drum for wear or damage - - - I - - - I - - or every 36 months
Ratchet for wear or damage - - - I - - - I - - or every 36 months
(I): Inspect and correct or replace as necessary (A): Adjust (R): Replace or change (T): Tighten to specified torque (L): Lubricate
Maintenance schedule: 4JB1-TC engine model (Engine oil that meets or exceeds ACEA B3 specification)
SERVICE INTERVAL:
(Use odometer reading or months x 1000 km 15 30 45 60 75 90 105 120 135 150
Whichever comes first) x 1000 mile 9 18 27 36 45 54 63 72 81 90
SUSPENSION
Spring leaves for damage I I I I I I I I I I or every 9 months
Torsion bar spring I I I I I I I I I I or every 9 months
(Independent suspension model only)
Ball joint boots for damage I I I I I I I I I I or every 9 months
(Independent suspension model only)
Ball joints for excessive play - - - I - - - I - - or every 36 months
(Independent suspension model only)
Mounts for looseness or damage I I I I I I I I I I or every 9 months
Shock absorbers for oil leakage I I I I I I I I I I or every 9 months
Shock absorbers mount for looseness I I I I I I I I I I or every 9 months
Upper links (Independent suspension model only) L L L L L L L L L L or every 9 months
WHEELS
Wheel pins and nuts - T - T - T - T - T or every 18 months
Wheel discs for damage - I - I - I - I - I or every 18 months
Hub bearings grease - - - R - - - R - - or every 36 months
Tire pressures and damage I I I I I I I I I I or every 9 months
(I): Inspect and correct or replace as necessary (A): Adjust (R): Replace or change (T): Tighten to specified torque (L): Lubricate
MAINTENANCE AND LUBRICATION 0B–13
Maintenance schedule: 4JB1-TC engine model (Engine oil that meets or exceeds ACEA B3 specification)
SERVICE INTERVAL:
(Use odometer reading or months x 1000 km 15 30 45 60 75 90 105 120 135 150
Whichever comes first) x 1000 mile 9 18 27 36 45 54 63 72 81 90
ELECTRICAL EQUIPMENT
Specific gravity of battery electrolyte I I I I I I I I I I or every 9 months
OTHERS
Lights, horn, windshield, wiper and washers I I I I I I I I I I or every 9 months
Bolts and nuts on chassis and body - - - I - - - I - - or every 36 months
(I): Inspect and correct or replace as necessary (A): Adjust (R): Replace or change (T): Tighten to specified torque (L): Lubricate
0B–14 MAINTENANCE AND LUBRICATION
Maintenance schedule: 4HE1-TC engine model
SERVICE INTERVAL:
(Use odometer reading or months km 11250 22500 33750 45000 56250 67500 78750 90000
Whichever comes first) mile 7000 14000 21000 28000 35000 42000 49000 56000
4H ENGINE
* Engine oil - R - R - R - R or every 14 months
* Engine oil filter - R - R - R - R or every 14 months
Fuel filter: Main fuel filter - R - R - R - R or every 14 months
OPT Main fuel filter and Sub fuel filter: with Sub - - - R - - - R or every 28 months
fuel filter
* Air cleaner element I I I R I I I R or every 28 months
Idling speed and acceleration - I - I - I - I or every 14 months
Valve clearances - - - A - - - A or every 28 months
Feed pump strainer - I - I - I - I or every 14 months
Fuel tank cap and fuel pipes for loose connections - - - I - - - I or every 28 months
or damage
Drive belt tension and damage I I I I I I I I or every 7 months
Radiator coolant (Ethylene glycol anti-freeze) - - - R - - - R or every 28 months
* Exhaust pipes and mountings for looseness - I - I - I - I or every 14 months
or damage
Cooling system for water leakage - I - I - I - I or every 14 months
Engine operation condition I I I I I I I I or every 7 months
(I): Inspect and correct or replace as necessary (A): Adjust (R): Replace or change (T): Tighten to specified torque (L): Lubricate
MAINTENANCE AND LUBRICATION 0B–15
Maintenance schedule: 4HE1-TC engine model
SERVICE INTERVAL:
(Use odometer reading or months km 11250 22500 33750 45000 56250 67500 78750 90000
Whichever comes first) mile 7000 14000 21000 28000 35000 42000 49000 56000
CLUTCH
Clutch fluid I I I R I I I R or every 28 months
Clutch pedal travel and free play I I I I I I I I or every 7 months
TRANSMISSION
* Manual transmission oil I I I R I I I R or every 28 months
Gear control mechanism for looseness - - - I - - - I or every 21 months
Gear control cables - A - A - A - A or every 14 months
0B–16 MAINTENANCE AND LUBRICATION

PROPELLER SHAFT
* Universal joints and sliding sleeve grease - L - L - L - L or every 14 months
Loose connections I I I I I I I I or every 7 months
Splines for excessive wear - - - I - - - I or every 28 months
Bearings and related parts for looseness - - - I - - - I or every 28 months
Center bearing - L - L - L - L or every 14 months
REAR AXLE
* Differential gear oil I I I R I I I R or every 28 months
(I): Inspect and correct or replace as necessary (A): Adjust (R): Replace or change (T): Tighten to specified torque (L): Lubricate
Maintenance schedule: 4HE1-TC engine model
SERVICE INTERVAL:
(Use odometer reading or months km 11250 22500 33750 45000 56250 67500 78750 90000
Whichever comes first) mile 7000 14000 21000 28000 35000 42000 49000 56000
FRONT AXLE
* Kingpins L L L L L L L L or every 7 months
STEERING
Power steering system oil leakage I I I I I I I I or every 7 months
* Power steering system for looseness or damage I I I I I I I I or every 7 months
Power steering fluid - - - R - - - R or every 28 months
Power steering hoses - - - - - - - R or every 56 months
Fitting of knuckles and front axle for looseness I I I I I I I I or every 7 months
Steering mechanism for looseness or damage - - - I - - - I or every 28 months
Steering wheel play I I I I I I I I or every 7 months
Steering function I I I I I I I I or every 7 months
Wheel alignment - - - I - - - I or every 28 months
(I): Inspect and correct or replace as necessary (A): Adjust (R): Replace or change (T): Tighten to specified torque (L): Lubricate
MAINTENANCE AND LUBRICATION 0B–17
Maintenance schedule: 4HE1-TC engine model
SERVICE INTERVAL:
(Use odometer reading or months km 11250 22500 33750 45000 56250 67500 78750 90000
Whichever comes first) mile 7000 14000 21000 28000 35000 42000 49000 56000
SERVICE BRAKES
Brake fluid I I I R I I I R or every 28 months
V Hydro booster fluid (ATF) I I I R I I I R or every 28 months
Brake system for fluid leakage I I I I I I I I or every 7 months
* Brake linings and drums for wear I I I I I I I I or every 7 months
* Disc brake pads and discs for wear I I I I I I I I or every 7 months
Brake pedal travel and free play I I I I I I I I or every 7 months
0B–18 MAINTENANCE AND LUBRICATION

Pipes and hoses for loose connections or damage I I I I I I I I or every 7 months


PARKING BRAKE
Parking brake cables I I I I I I I I or every 7 months
Parking brake function I I I I I I I I or every 7 months
Parking brake lever travel I I I I I I I I or every 7 months
Linings for wear - - - I - - - I or every 28 months
Drum for wear or damage - - - I - - - I or every 28 months
Ratchet for wear or damage - - - I - - - I or every 28 months
(I): Inspect and correct or replace as necessary (A): Adjust (R): Replace or change (T): Tighten to specified torque (L): Lubricate
Maintenance schedule: 4HE1-TC engine model
SERVICE INTERVAL:
(Use odometer reading or months km 11250 22500 33750 45000 56250 67500 78750 90000
Whichever comes first) mile 7000 14000 21000 28000 35000 42000 49000 56000
SUSPENSION
Spring leaves for damage I I I I I I I I or every 7 months
Mounts for looseness or damage I I I I I I I I or every 7 months
Shock absorbers for oil leakage I I I I I I I I or every 7 months
Shock absorbers mount for looseness I I I I I I I I or every 7 months
WHEELS
Wheel pins and nuts T T T T T T T T or every 7 months
Wheel discs for damage I I I I I I I I or every 7 months
Hub bearings grease - - - R - - - R or every 28 months
Tire pressures and damage I I I I I I I I or every 7 months
ELECTRICAL EQUIPMENT
Specific gravity of battery electrolyte I I I I I I I I or every 7 months
OTHERS
Lights, horn, windshield, wiper and washers I I I I I I I I or every 7 months
Bolts and nuts on chassis and body - - - I - - - I or every 28 months
(I): Inspect and correct or replace as necessary (A): Adjust (R): Replace or change (T): Tighten to specified torque (L): Lubricate
MAINTENANCE AND LUBRICATION 0B–19
Maintenance schedule under severe driving conditions
Severe driving conditions
A: Repeated short trips
B: Driving on rough roads
C: Driving on dusty roads
D: Driving in extremely cold weather and/or on salted roads

Item Interval Condition

A B C D A+B
0B–20 MAINTENANCE AND LUBRICATION

Engine oil Change every 5,000 km (3,000 miles)

Engine oil filter Replace every 5,000 km (3,000 miles)

Air cleaner element Replace every 20,000 km (12,000 miles)

Exhaust pipes and mountings for looseness or damage Inspect every 10,000 km (6,000 miles)

Manual transmission oil and differential gear oil Change every 20,000 km (12,000 miles)

Universal joints and sliding sleeve grease Lubricate every 10,000 km (6,000 miles)

Kingpins Lubricate every 5,000 km (3,000 miles)

Steering system for looseness or damage Inspect every 5,000 km (3,000 miles)

Brake linings and drums for wear Inspect every 5,000 km (3,000 miles)

Disc brake pads and discs for wear Inspect every 5,000 km (3,000 miles)
MAINTENANCE AND LUBRICATION 0B–21

RECOMMENDED FLUIDS, LUBRICANTS


AND DIESEL FUELS
In order to obtain maximum performance and longest service life from your ISUZU vehicles, it is very
important to select and use correctly best lubricants and diesel fuels.
When lubricating, be sure to use ISUZU genuine lubricants or recommended lubricants listed below,
according to the maintenance schedule for each vehicle model.

GRADE
LUBRICATION/FLUID
ACEA API Other

Diesel engine crankcase B2/B3


E2/E3

Manual transmission B2/B3


Transfer case E2/E3

Differential GL-5

Automatic transmission
Power steering DEXRON II, III
Hydro brake booster

Clutch and brake fluid reservoir Hydraulic brake fluid SAE J1703
FMVSS 116 DOT. 3 or 4 grade

Center bearing NLGI #2 or #3


King pin multi purpose type grease
Upper links or wheel bearing grease

Propeller shaft sliding yoke NLGI #2 or #3


Universal joint multi purpose type grease
(General purpose grease containing molybdenum disulfide
in Molybdenum)

Engine cooling system Good quality ethylene glycol antifreeze


or GM spec. 6038-M or equivalent
0B–22 MAINTENANCE AND LUBRICATION

OIL VISCOSITY CHART


ENGINE OIL
ENGINE OIL VISCOSITY GRADE – AMBIENT TEMPERATURE
[Single grade]
,,,,,,,,,,,,,,,,,,,,,,
,,,,,,,,,,,,,,,,,,,,,,
,,,,,,,,,,,,,,,,,,,,,,
SAE 40, 50
,,,,,,,,,,,,,,,,,,,,,,
,,,,,,,,,,,,,,,,,,,,,,
,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
SAE 30
,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,

,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
SAE 20, 20W
,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,

,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
SAE 10W
,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,

–30°C –25°C –15°C 0°C 15°C 25°C 30°C


–22°F –13°F 5°F 32°F 59°F 77°F 86°F

,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
SAE 10W–30
,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,

,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
SAE 15W–40, 20W–40, 20W–50
,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
DO NOT USE SYNTHETIC OILS.
* At ambient temperatures below –25°C (–13°F), starting aids (oil pan
heater, block heater, etc.) are recommended to prevent hard starting
[Multi grade] and other engine problems.

MANUAL TRANSMISSION AND TRANSFER CASE OIL (ENGINE OIL)


VISCOSITY GRADE – AMBIENT TEMPERATURE

[Single grade]

,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
SAE 40, 50
,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
SAE 30
,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,

–25°C –10°C 5°C 10°C 20°C 35°C


–13°F 14°F 41°F 50°F 68°F 95°F
[Multi grade]
,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
SAE 5W–30
,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
SAE 10W–30
,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
SAE 15W–40, 20W–40, 20W–50
,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
ET-12 ,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
MAINTENANCE AND LUBRICATION 0B–23

FRONT AXLE AND REAR AXLE OIL


GEAR OIL VISCOSITY GRADE – AMBIENT TEMPERATURE
[Single grade]
,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
SAE 140
,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
SAE 90
,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
SAE 80W
,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
SAE 75W
,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,

–25°C –10°C 0°C 15°C 30°C 35°C


–13°F 14°F 32°F 59°F 86°F 95°F
,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
SAE 75W–90
,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
SAE 80W–90
,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
SAE 80W–140
,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
[Multi grade]
LGGEN-WE-0001EU

You are requested to order this manual using the


manual number that is shown above.

This manual is applicable for vehicles in Europe.

All rights reserved. This manual may not be reproduced


in whole or in part, without the permission in writing
of ISUZU MOTORS LIMITED.

Issued by

ISUZU MOTORS LIMITED

INTERNATIONAL SERVICE DEPARTMENT

Tokyo, Japan

First edition April, 2000 0004-01K-1


HOME
HOME
HOME
HOME
HOME
HOME
HOME
HOME
HOME
HOME
HOME
HOME
HOME
HOME
HOME
HOME
HOME
HOME
HOME
HOME
HOME
HOME
HOME
WORKSHOP MANUAL
NKR . NPR . NQR

ANTI-LOCK BRAKE SYSTEM


(ABS)

SECTION 5A4
HOME
ANTI-LOCK BRAKE SYSTEM (ABS) 5A4-1

SECTION 5A4
ANTI-LOCK BRAKE SYSTEM (ABS)
Service Precaution
CAUTION: Always use the correct fastener in the proper location. When you replace a fastener, use ONLY
the exact part number for that application. ISUZU will call out those fasteners that require a replacement
after removal. ISUZU will also call out the fasteners that require thread lockers or thread sealant. UNLESS
OTHERWISE SPECIFIED, do not use supplemental coatings (Paints, greases, or other corrosion inhibitors)
on threaded fasteners or fastener joint interfaces. Generally, such coatings adversely affect the fastener
torque and the joint clamping force, and may damage the fastener. When you install fasteners, use the
correct tightening sequence and specifications. Following these instructions can help you avoid damage to
parts and systems.

CONTENTS

PAGE
Service Precaution .......................................................................................................... 5A4 -1
General Description ........................................................................................................ 5A4 -5
System Components .................................................................................................. 5A4 -6
Electronic Hydraulic Control Unit (EHCU) ................................................................ 5A4 -6
Hydraulic Unit (HU) ..................................................................................................... 5A4 -6
ABS Warning Light ..................................................................................................... 5A4 -6
Wheel Speed Sensor .................................................................................................. 5A4 -6
Normal and Anti-lock Braking.................................................................................... 5A4 -6
Brake Pedal Travel...................................................................................................... 5A4 -7
Acronyms and Abbreviations .................................................................................... 5A4 -7
General Diagnosis ........................................................................................................... 5A4 -7
General Information.................................................................................................... 5A4 -7
ABS Service Precautions ........................................................................................... 5A4 -7
Computer System Service Precautions .................................................................... 5A4 -7
General Service Precautions ..................................................................................... 5A4 -8
Note on Intermittents.................................................................................................. 5A4 -8
Test Driving ABS Complaint Vehicles....................................................................... 5A4 -8
“ABS” Warning Light.................................................................................................. 5A4 -8
Normal Operation ....................................................................................................... 5A4 -8
Basic Diagnostic Flow Chart ..................................................................................... 5A4 -9
Basic Inspection Procedure....................................................................................... 5A4 -9
5A4-2 ANTI-LOCK BRAKE SYSTEM (ABS)

Tech 2 Scan Tool ........................................................................................................ 5A4 -10


Tech 2 Features .......................................................................................................... 5A4 -11
Getting Started ............................................................................................................ 5A4 -11
Operating Procedure (For Example) ......................................................................... 5A4 -12
DTC Modes .................................................................................................................. 5A4 -13
DTC Information Mode ............................................................................................... 5A4 -13
Plotting Snapshot Graph............................................................................................ 5A4 -14
Plotting Graph Flow Chart (Plotting graph after obtaining vehicle information) .. 5A4 -15
Flow Chart for Snapshot Replay (Plotting Graph) ................................................... 5A4 -16
Tech 2 Data Display .................................................................................................... 5A4 -17
Special Function ......................................................................................................... 5A4 -17
EHCU Connector Pin-out Checks.............................................................................. 5A4 -21
Circuit Diagram ........................................................................................................... 5A4 -22
Connector List ............................................................................................................ 5A4 -26
Part Location............................................................................................................... 5A4 -29
Symptom Diagnosis ........................................................................................................ 5A4 -30
Chart A-1 ABS Works Frequently But Vehicle Does Not Decelerate...................... 5A4 -30
Chart TA-1 ABS Works Frequently But Vehicle
Does Not Decelerate (Use TECH 2) ........................................................................... 5A4 -30
Chart A-2 Uneven Braking Occurs While ABS Works ............................................. 5A4 -31
Chart A-3, TA-3 The Wheels Are Locked................................................................... 5A4 -31
Chart A-4 Brake Pedal Feed Is Abnormal ................................................................. 5A4 -32
Chart A-5, TA-5 Braking Sound (From Hydraulic Unit)
Is Heard While Not Braking........................................................................................ 5A4 -33
Diagnostic Trouble Codes .............................................................................................. 5A4 -34
Diagnosis By “ABS” Warning Light Illumination Pattern ............................................ 5A4 -35
Diagnostic Trouble Codes (DTCs)............................................................................. 5A4 -35
Chart B-1-1 With the key in the ON position (Before starting the engine).
Warning light (W/L) is not activated. ......................................................................... 5A4 -39
Chart 1 (DTC 13/C0213) Vehicle Type Error.............................................................. 5A4 -40
Chart 2 (DTC 14/C0214) Low Power Voltage of
Rear Sensor or EHCU Abnormality ........................................................................... 5A4 -40
Chart 3 (DTC 15/C0215) Low Power Voltage OUT of Range ................................... 5A4 -41
Chart 4 (DTC 25/C0225) Exhaust Brake Cut Circuit Abnormality ........................... 5A4 -42
Chart 5 (DTC 33/C0233) Motor Drive Circuit Abnormality ....................................... 5A4 -42
ANTI-LOCK BRAKE SYSTEM (ABS) 5A4-3

Chart 6 (DTC 34/C0234) Abnormal Motor Rotation .................................................. 5A4 -42


Chart 7 (DTC 41/C0241) Solenoid Valve Power Supply Abnormality ..................... 5A4 -43
Chart 8 (DTC 43, 45/C0243, C0245) Solenoid Valve Circuit Abnormality ............... 5A4 -43
Chart 9 (DTC 51/C0251) FL Speed Sensor Circuit Abnormality .............................. 5A4 -43
Chart 10 (DTC 52/C0252) FR Speed Sensor Circuit Abnormality............................ 5A4 -43
Chart 11 (DTC 53/C0253) RL Speed Sensor Circuit Abnormality............................ 5A4 -44
Chart 12 (DTC 54/C0254) RR Speed Sensor Circuit Abnormality ........................... 5A4 -45
Chart 13 (DTC 61/C0261) Abnormal FL Speed Sensor Signal................................. 5A4 -46
Chart 14 (DTC 62/C0262) Abnormal FR Speed Sensor Signal ................................ 5A4 -48
Chart 15 (DTC 63/C0263) Abnormal RL Speed Sensor Signal ................................ 5A4- 50
Chart 16 (DTC 64/C0264) Abnormal RR Speed Sensor Signal................................ 5A4- 51
Chart 17 (DTC 65/C0265) Tire Size Error................................................................... 5A4- 52
Unit Inspection Procedure.............................................................................................. 5A4- 53
Chart C-1-1 FL Speed Sensor Output Inspection Procedure .................................. 5A4- 53
Chart C-1-2 FR Speed Sensor Output Inspection Procedure.................................. 5A4- 54
Chart C-1-3 RL Speed Sensor Output Inspection Procedure.................................. 5A4- 55
Chart C-1-4 RR Speed Sensor Output Inspection Procedure ................................. 5A4- 57
Chart TC-1 Sensor Output Inspection Procedure (Use TECH 2) ............................ 5A4- 58
Electronic Hydraulic Control Unit (EHCU)..................................................................... 5A4- 59
Removal....................................................................................................................... 5A4- 59
Installation................................................................................................................... 5A4- 59
Front Speed Sensor ........................................................................................................ 5A4- 60
Front Speed Sensor and Associated Parts .............................................................. 5A4- 60
Removal....................................................................................................................... 5A4- 60
Inspection and Repair ................................................................................................ 5A4- 60
Installation................................................................................................................... 5A4- 60
Front Speed Sensor Rotor.............................................................................................. 5A4- 61
Front Speed Sensor Rotor and Associated Parts.................................................... 5A4- 61
Removal....................................................................................................................... 5A4- 61
Inspection and Repair ................................................................................................ 5A4- 62
Installation................................................................................................................... 5A4- 62
Rear Speed Sensor ......................................................................................................... 5A4- 63
Rear Speed Sensor and Associated Parts................................................................ 5A4- 63
Removal....................................................................................................................... 5A4- 64
Inspection and Repair ................................................................................................ 5A4- 64
5A4-4 ANTI-LOCK BRAKE SYSTEM (ABS)

Installation................................................................................................................... 5A4- 64
Rear Speed Sensor Rotor ............................................................................................... 5A4- 65
Rear Speed Sensor Rotor and Associated Parts ..................................................... 5A4- 65
Removal....................................................................................................................... 5A4- 65
Inspection and Repair ................................................................................................ 5A4- 65
Installation................................................................................................................... 5A4- 65
Special Tools ................................................................................................................... 5A4- 67
ANTI-LOCK BRAKE SYSTEM (ABS) 5A4-5

General Description determine when a wheel is about to stop turning and


The Anti-lock Brake System (ABS) works on all four adjust brake pressure to maintain best braking.
wheels. A combination of wheel speed sensor and This system helps the drive maintain greater control of
Electronic Hydraulic Control Unit (EHCU) can the vehicle under heavy braking conditions.

9 ABS
TO EHCU
6 DIAG

ENGINE CONTROLLER
OR TO EHCU 5
CAB EXH BRAKE CUT RELAY
4
10

TO EHCU

3 ELECTRONIC HYDRAULIC
EHCU CONTROL UNIT(EHCU)
1 HYDRAULIC UNIT(HU)
2

4
5
8

Legend
(1) Hydraulic Line (7) Load Sensing Proportioning Valve (LSPV)
(2) Electronic Line (8) Battery
(3) Electronic Hydraulic Control Unit (EHCU) (9) ABS Warning Light
(4) Front Wheel Speed Sensor (10) Brake Switch
(5) Rear Wheel Speed Sensor
(6) Diagnosis Connector
5A4-6 ANTI-LOCK BRAKE SYSTEM (ABS)

System Components ABS Warning Light


The Anti-lock Brake System consists of a Electronic
Hydraulic Control Unit (EHCU), four Wheel Speed
Sensors and Warning Light.

Electronic Hydraulic Control Unit (EHCU)


The EHCU consists of Electronic Brake Control
Module (EBCM) and Hydraulic Unit (HU).
The EHCU is located at the frame side, in front of rear
spring bracket.
The EHCU consists of ABS control circuits, fault
detector, and a fail-safe. It drives the hydraulic unit
according to the signal from each sensor, cancelling
ABS to return to normal braking when a malfunction
has occurred in the ABS.
The EHCU is self-diagnosing function which can
indicate faulty circuits during diagnosis.

Vehicles equipped with the Anti-lock Brake System


CONNECTOR has an amber “ABS” warning light in the instrument
panel. The “ABS” warning light will illuminate if a
EHCU malfunction in the Anti-lock Brake System is detected
by the Electronic Hydraulic Control Unit (EHCU). In
case of an electronic malfunction, the EHCU will turn
“ON” the “ABS” warning light and disable the Anti-lock
Tang lock braking function.
The “ABS” light will turn “ON” for 2 seconds after the
ignition switch is to the “ON” position, and then will go
Push
out.
If the “ABS” light comes “ON” and stays “ON” while
Lever driving, the Anti-lock Brake System should be
inspected for a malfunction according to the diagnosis
Move lever outside procedure.

Wheel Speed Sensor


NOTE: It consists of a sensor and a rotor. The sensor is
When disconnecting harness connector from EHCU, attached to the knuckle on the front wheels and to the
push the tang lock of the connector ( portion) and bracket on the brake back plate on the rear wheels.
release the tang lock. Then move the lever. The front speed sensor is coil type and rear is Hall IC
type.
Hydraulic Unit (HU) The sensor rotors press-fitted to front and rear wheel
It consists of a Motor, Plunger Pump, Solenoid Valves hubs output pulse frequency depending on wheel
and Check Valve. rotation.
Solenoid Valves: Reduces or holds the caliper fluid The speed sensors find vehicle speed from its
pressure for each front disc brake or both rear drum frequency.
brakes according to the signal sent from the EHCU.
Reservoir: Temporarily holds the brake fluid that Normal and Anti-lock Braking
returns from the front and rear wheel brake so that Under normal driving conditions, the Anti-lock Brake
pressure of front wheel brake can be reduced System functions the same as a standard power
smoothly. assisted brake system. However, with the detection of
Plunger Pump: Feeds the brake fluid held in the wheel lock-up, a slight bump or kick-back will be felt in
reservoir to the master cylinder. the brake pedal. This pedal “bump” will be followed by
Motor: Drives the pump according to the signal from a series of short pedal pulsations which occurs in rapid
EHCU. Check Valve: Controls the brake fluid flow. succession. The brake pedal pulsation will continue
ANTI-LOCK BRAKE SYSTEM (ABS) 5A4-7

until there is no longer a need for the anti-lock function VDC


or until the vehicle is stopped. A slight ticking or Volts DC
popping noise may be heard during brake applications VAC
when the Anti-lock features is being used.
Volts AC
When the Anti-lock feature is being used, the brake
W/L
pedal may rise even as the brakes are being applied.
Warning Light
This is also normal. Maintaining a consist force on the
pedal will provide the shortest stopping distance. WSS
Wheel Speed Sensor
Brake Pedal Travel
Vehicles equipped with the Anti-lock Brake System General Diagnosis
may be stopped by applying normal force to the brake General Information
pedal. Although there is no need to push the pedal ABS malfunction can be classified into two types,
beyond the point where it stops or holds the vehicle, by those which can be detected by the ABS warning light
applying more force the pedal will continue to travel and those which can be detected as a vehicle
toward the floor. abnormality by the driver.
This extra brake pedal travel is normal. In either case, locate the fault in accordance with the
“BASIC DIAGNOSTIC FLOWCHART” and repair.
Acronyms and Abbreviations Please refer to Section 5A for the diagnosis of
Several acronyms and abbreviations are commonly mechanical troubles such as brake noise, brake judder
used throughout this section: (brake pedal or vehicle vibration felt when braking),
ABS uneven braking, and parking brake trouble.
Anti-lock Brake System
CKT
ABS Service Precautions
Circuit Required Tools and Items:
DLC • Box Wrench
Data Link Connector • Brake Fluid
DTC • Special Tool
Diagnostic Trouble Code Some diagnosis procedures in this section require the
installation of a special tool.
DVM
5-8840-0285-0 (J-39200) High Impedance
Digital Volt Meter (High Impedance Multimeter)
Multimeter
EHCU
When circuit measurements are requested, use a
Electronic Hydraulic Control Unit circuit tester with high impedance.
FL
Front Left Computer System Service Precautions
FR The Anti-lock Brake System interfaces directly with the
Front Right Electronic Hydraulic Control Unit (EHCU) which is a
GEN control computer that is similar in some regards to the
Generator Engine Control Module. These modules are designed
to withstand normal current draws associated with
HU
vehicle operation. However, care must be taken to
Hydraulic Unit avoid overloading any of the EHCU circuits. In testing
MV for opens or shorts, do not ground or apply voltage to
Millivolts any of the circuits unless instructed to do so by the
RL appropriate diagnostic procedure. These circuits
Rear Left should only be tested with a high impedance
multimeter 5-8840-0285-0 (J-39200) or special tools
RR
as described in this section. Power should never be
Rear Right removed or applied to any control module with the
RPS ignition in the “ON” position. Before removing or
Revolution per Second connecting battery cables, fuses or connectors, always
SW turn the ignition switch to the “OFF” position.
Switch
5A4-8 ANTI-LOCK BRAKE SYSTEM (ABS)

General Service Precautions case of such trouble as can be detected by the driver
The following are general precautions which should be as a vehicle symptom, however, it is necessary to give
observed when servicing and diagnosing the Anti-lock a test drive following the test procedure mentioned
Brake System and/or other vehicle systems. Failure to below, thereby reproducing the symptom for trouble
observe these precautions may result in Anti-lock diagnosis on a symptom basis:
Brake System damage. 1. Start the engine and make sure that the “ABS” W/L
• If welding work is to be performed on the vehicle goes OFF. If the W/L remains ON, it means that
using an electric arc welder, the EHCU connector the Diagnostic Trouble Code (DTC) is stored.
should be disconnected before the welding Therefore, read the code and locate the fault.
operation begins. 2. Start the vehicle and accelerate to about 30km/h
• The EHCU connector should never be connected (19 mph) or more.
or disconnected with the ignition “ON”. 3. Slowly brake and stop the vehicle completely.
• The EHCU is not separately serviceable and must 4. Then restart the vehicle and accelerate to about 40
be replaced as assemblies. Do not disassemble km/h (25 mph) or more.
any component which is designated as non- 5. Brake at a time so as to actuate the ABS and stop
serviceable in this Section. the vehicle.
• If only rear wheels are rotated using jacks or drum 6. Be cautious of abnormality during the test. If the
tester, the system will diagnose a speed sensor W/L is actuated while driving, read the DTC and
malfunction and the “ABS” warning light will locate the fault.
illuminate. But actually no trouble exists. After 7. If the abnormality is not reproduced by the test,
inspection stop the engine once and re-start it, then make best efforts to reproduce the situation
make sure that the “ABS” warning light does not reported by the customer.
illuminate. 8. If the abnormality has been detected, repair in
If the battery has been discharged accordance with the “SYMPTOM DIAGNOSIS”.
The engine may stall if the battery has been NOTE:
completely discharged and the engine is started via • Be sure to give a test drive on a wide, even road
jumper cables. This is because the Anti-lock Brake with little traffic.
System (ABS) requires a large quantity of electricity. In
• If an abnormality is detected, be sure to suspend
this case, wait until the battery is recharged, or set the
the test and start trouble diagnosis at once.
ABS to a non-operative state by removing the fuse for
the ABS. After the battery has been recharged, stop
the engine and install the ABS fuse. Start the engine
“ABS” Warning Light
again, and confirm that the ABS warning light does not When ABS trouble occurs and actuates when possible
light. the “ABS” warning light, the trouble code
corresponding to the trouble is stored in the EHCU.
Note on Intermittents Only the ordinary brake system is available when the
ABS is turned OFF. When the “ABS” warning light is
As with virtually any electronic system, it is difficult to
actuated, if the starter switch is set ON after setting it
identify an intermittent failure. In such a case
OFF once, the EHCU checks up on the entire system
duplicating the system malfunction during a test drive
and, if there is no abnormality, judges ABS to work
or a good description of vehicle behavior from the
currently and the warning light works normally even
customer may be helpful in locating a “most likely”
though the trouble code is stored.
failed component or circuit. The symptom diagnosis
chart may also be useful in isolating the failure. Most NOTE: Illumination of the “ABS” warning light indicates
intermittent problems are caused by faulty electrical that anti-lock braking is no longer available. Power
connections or wiring. When an intermittent failure is assisted braking without anti-lock control is still
encountered, check suspect circuits for: available.
• Suspected harness damage.
Normal Operation
• Poor mating of connector halves or terminals not
fully seated in the connector body (backed out). “ABS” Warning Light
• Improperly formed or damaged terminals. When the ignition is first moved from “OFF” to “ON”,
the amber “ABS” warning light will turn “ON” for 2
Test Driving ABS Complaint Vehicles seconds and will turn “OFF”.
In case that there has been an malfunction in the
lighting pattern of “ABS” warning light, the fault can be
located in accordance with the “DIAGNOSIS BY “ABS”
WARNING LIGHT ILLUMINATION PATTERN”. In
ANTI-LOCK BRAKE SYSTEM (ABS) 5A4-9

Basic Diagnostic Flow Chart


Step Action Yes No
1 1. Customer complaint. Go to Step 2 Go to Step 3
2. Questioning to customer.
3. Basic inspection (Refer to “Basic inspection procedure”)
Using TECH 2?
2 Make sure of DTC by TROUBLE CODE. Go to Step 5 Go to Step 4
Is EHCU including DTC?
3 Check if the DTC is stored. Go to Step 5 Go to Step 4
Is EHCU including DTC?
4 Test drive. Go to Step 5 Trouble diagnosis
Is W/L lit? based on symptom
(Refer to
“SYMPTOM
DIAGNOSIS”) Go
to Step 5
5 1. Repair of faulty part. Repeat the Go to Step 6
2. Elimination of DTC. diagnosis of the
3. Inspection of “ABS” W/L illumination pattern with ignition symptom or DTC
SW “ON”. appears again Go
to Step 1
4. Test drive.
Does repeat trouble?
6 1. Reconnect all components and ensure all components Finished Go to Step 6
are properly mounted.
2. Clear diagnostic trouble code.
Was this step finished?

Basic Inspection Procedure


1. Basic Inspection of Service Brake
Step Action Yes No
1 Is the fluid level normal? Go to Step 2 Replenish with
fluid.
Go to Step 2
2 Does fluid leak? Repair. Go to Step 3
Go to Step 3
3 Is the booster functioning normal? Go to Step 4 Repair.
Go to Step 4
4 Is the pad and rotor normal? Go to Step 5 Repair.
Go to Step 5
5 Reconnect all components and ensure all components are Finished Go to Step 5
properly mounted.
Was this step finished?

2. Ground Inspection
Step Action Yes No
1 Are ABS-related ground points ok? Go to Step 2 Repair.
Go to Step 2
2 Reconnect all components and ensure all components are Finished Go to Step 2
properly mounted.
Was this step finished?
5A4-10 ANTI-LOCK BRAKE SYSTEM (ABS)

Tech 2 Scan Tool


From 98 MY, Isuzu dealer service departments are
recommended to use Tech 2. Please refer to Tech 2
scan tool user guide.

Legend
(1) PCMCIA Card (4) DLC Cable
(2) RS 232 Loop Back Connector (5) Tech-2
(3) SAE 16/19 Adapter
ANTI-LOCK BRAKE SYSTEM (ABS) 5A4-11

Tech 2 Features 6. Turn on the vehicle ignition.


1. Tech 2 is a 12 volt system. Do not apply 24 volt. 7. Power the Tech 2 ON and verify the Tech 2 power
2. After connecting and/or installing the Vehicle up display.
Communications Interface (VCI) module, PCMCIA
card and DLC connector to the Tech 2, connect
the tool to the vehicle DLC.

2
3. Make sure the Tech 2 is powered OFF when
removing or installing the PCMCIA card.
4. The PCMCIA card has a capacity of 10 Megabytes
which is 10 times greater than the memory of the
Tech 1 Mass Storage Cartridge.
Tech
5. The Tech 2 has the capability of two snapshots.
6. The PCMCIA card is sensitive to magnetism and
Press [ENTER] to continue.
static electricity, so care should be taken in the Software Version: X.XXX
handling of the card.
7. The Tech 2 can plot a graph when replaying a
snapshot.
8. Always return to the Main Menu by pressing the NOTE: The RS232 Loop back connector is only to use
EXIT key several times before shutting down. for diagnosis of Tech 2. Refer to user guide of the
9. To clear Diagnostic Trouble Codes (DTCs), open Tech 2.
Application Menu and press “F1: Clear DTC Info”.

Getting Started
• Before operating the Isuzu PCMCIA card with the
Tech 2, the following steps must be performed:
1. The Isuzu 2000 Model Year System PCMCIA card
(1) inserts into the Tech 2 (5).
2. Connect the SAE 16/19 adapter (3) to the DLC
cable (4).
3. Connect the DLC cable to the Tech 2 (5).
4. Make sure the vehicle ignition is off.
5. Connect the Tech 2 SAE 16/19 adapter to the
vehicle DLC.
5A4-12 ANTI-LOCK BRAKE SYSTEM (ABS)

Operating Procedure (For Example)


Vehicle Identification
The power up screen is displayed when you power up Select one of the following
the tester with the Isuzu systems PCMCIA card. Follow Vehicle Type (s)
(UE) Rodeo/Amigo, Wizard/MU
the operating procedure below. (TF ) LUV
(N∗) ELF, NPR, NQR
(Off-Road) Industrial Engine

Tech
Press [ENTER] to continue.
Software Version: X.XXX
2 (N∗) ELF, NPR, NQR

(N∗ENTER)

System Selection Menu


( 1 ) 2 0 0 1 ( N∗ ) E L F , N P R , N Q R
3/4

F0: Engine

F1: Chassis
(ENTER) F2: Body

Main Menu

F0: Diagnostics
F1: Code Index
F2: View Capture Data
(F2 ENTER)
F3: Tool Options Vehicle Identification
F4: Download / Upload Help Select one of the following
Chassis
ABS

(F0)

Vehicle Identification
Select one of the following
Model Year(s) 1/2
ABS
(1) 2001
(Y) 2000
(X) 1999 (ABS/ASR ENTER)
(W) 1998

1/4
(1) 2001

(2000, ENTER)
ANTI-LOCK BRAKE SYSTEM (ABS) 5A4-13

Menu
• The following table shows which functions are used Diagnostic Trouble Codes
for the available equipment versions.
F0: Read DTC Info Ordered By Priority

Chassis F1: Clear DTC Information


(Y) 2000 (N∗) ELF, NPR, NQR F2: DTC Information
Electronic System: ABS
F3: Clear & Reset Vehicle Type
Partnumber 8972521653
Identifier 00(2WD)
20(4WD)
40(ABS/ASR)
60(12V vehicle)

Partnumer

Confirm The following is a brief description of each of the sub


menus in DTC Info and DTC. The order in which they
appear here is alphabetical and not necessarily the
way they will appear on the Tech 2.
DTC Modes
DTC Information Mode
Use the DTC info mode to search for a specific type of
Chassis stored DTC information. There are two choices. The
service manual may instruct the techinician to test for
DTCs in a certain manner. Always follow published
F0: Diagnostic Trouble Codes service procedures.
F1: Data Display

F2: Snapshot

F3: Actuator Test

There are two options available in Tech 2 DTC mode


to display the enhanced information available. After
selecting DTC, the following menu appears.
• DTC Info
• Clear Info
5A4-14 ANTI-LOCK BRAKE SYSTEM (ABS)

When CODE “13” is displayed (Vehicle Type Error)


Step Action Value(s) Yes No
1 Check harness. - Erase vehicle Replace the
Is it okay? type with TECH harness.
2 and reread
harness
information.

Diagnostic Trouble Codes


Clear & Reset Vehicle Type

F0: Read DTC Info

F1: Clear DTC Info

F2: DTC Info Do you want clear &


Reset Vehicle Type?

(F3: ENTER)

YES NO

YES: Clear vehicle type and reread vehicle harness


information.
NO: Return

DTC Status

Current Diagnostic Trouble Codes


This selection will display all DTCs that have failed
during the present ignition cycle.

History Diagnostic Trouble Codes


This selection will display only DTCs that are stored in
the EHCU’s history memory.

Plotting Snapshot Graph


This test selects several necessary items from the
data list to plot graphs and makes data comparison on
a long term basis. This test can check ABS
performance and defect by graphing wheel speed
differences between right and left sides, and front and
rear sides obtained from the ABS data list menu.
For trouble diagnosis, you can collect graphic data
(snap shot) directly from the vehicle.
You can replay the snapshot data as needed.
Therefore, accurate diagnosis is possible, even though
the vehicle is not available.
ANTI-LOCK BRAKE SYSTEM (ABS) 5A4-15

Plotting Graph Flow Chart (Plotting graph after obtaining vehicle information)
5A4-16 ANTI-LOCK BRAKE SYSTEM (ABS)

Flow Chart for Snapshot Replay (Plotting Graph)


ANTI-LOCK BRAKE SYSTEM (ABS) 5A4-17

Tech 2 Data Display Special Function


Use the Tech 2 data Values only after the ABS There are 12 different menus available for this test.
Diagnostic System Check has been completed, no The state of each circuit can be tested by using these
DTC(s) were noted, and you have determined that the menus. Especially when DTC cannot be detected, a
on-board diagnostics are functioning properly. Tech 2 faulty circuit can be diagnosed by testing each circuit
values from a properly-running engine may be used for by means of these menus.
comparison with the engine you are diagnosing. Even when DTC has been detected, the circuit tests
using these menus could help discriminate between a
ABS Data mechanical trouble and an electrical trouble.
Ignition SW is “ON” position. In all cases test condition; Engine stops with the key
turned to the “ON” position. To be more specific, the
(For example) test is conducted with the brake pedal stepped on after
stepping once and releasing.
• Engine: Stop
• Ignition SW: ON
• Brake Pedal: ON-OFF-ON
If the Ignition SW was turned OFF or communication
was lost, make sure to apply the brake pedal ON-OFF-
ON once again and then continue the test.

Actuator Test

F0: ABS Relay Test


F1: Return Pump Relay Test
F2: Front Left Solenoid Valve Test
F3: Front Right Solenoid Valve Test
F4: Rear Left Solenoid Valve Test
F5: Rear Right Solenoid Valve Test
F6: ABS Check Light Test
F7: Exhaust Brake Cut Test
5A4-18 ANTI-LOCK BRAKE SYSTEM (ABS)

ABS Warning Lamp ABS Motor


Test condition: Engine stops with the key turned to the Test condition: Engine stops with the key turned to the
“ON” position. To be more specific, the test is “ON” position. To be more specific, the test is
conducted with the brake pedal stepped on after conducted with the brake pedal stepped on after
stepping once and releasing. stepping once and releasing.
• The circuit is normal if the warning light in the meter Make sure of the working sound of the ABS motor.
panel comes on and goes out in accordance with The circuit is normal if the working sound of the ABS
Tech 2’s instruction. motor is made in accordance with Tech 2’s instruction.

Actuator Test Actuator Test

F0: ABS Relay Test F0: ABS Relay Test


F1: Return Pump Relay Test
F2: Front Left Solenoid Valve Test F2: Front Left Solenoid Valve Test
F3: Front Right Solenoid Valve Test F3: Front Right Solenoid Valve Test
F4: Rear Left Solenoid Valve Test F4: Rear Left Solenoid Valve Test
F5: Rear Right Solenoid Valve Test F5: Rear Right Solenoid Valve Test
F6: ABS Check Light Test
F7: Exhaust Brake Cut Test F7: Exhaust Brake Cut Test

ABS Relay Exhaust Brake Cut Relay


Test condition: Engine stops with the key turned to the Test condition: Engine stops with the key turned to the
“ON” position. To be more specific, the test is “ON” position. To be more specific, the test is
conducted with the brake pedal stepped on after conducted with the brake pedal stepped on after
stepping once and releasing. stepping once and releasing.
Make sure of the working sound of the ABS relay. Make sure of the working sound of the exhaust brake
The circuit is normal if the working sound of the ABS cut relay.
relay is made in accordance with Tech 2’s instruction. The circuit is normal if the working sound of the
exhaust brake cut relay is made in accordance with
Tech 2’s instruction.
Actuator Test

Actuator Test
F1: Return Pump Relay Test
F2: Front Left Solenoid Valve Test
F3: Front Right Solenoid Valve Test F0: ABS Relay Test
F4: Rear Left Solenoid Valve Test F1: Return Pump Relay Test
F5: Rear Right Solenoid Valve Test F2: Front Left Solenoid Valve Test
F6: ABS Check Light Test F3: Front Right Solenoid Valve Test
F7: Exhaust Brake Cut Test F4: Rear Left Solenoid Valve Test
F5: Rear Right Solenoid Valve Test
F6: ABS Check Light Test
ANTI-LOCK BRAKE SYSTEM (ABS) 5A4-19

Hold Valve Test Select a Iso Solenoid


Purpose: The purpose of this test is to detect brake from the Front Left Solenoid Valve Test
pipe and valve line harness wire wrong connections Function Menus.
and valve trouble.
This test will help you confirm the result of your repair
service including the removal/reinstallation of brake Front Left Solenoid Valve Test
pipe, valve line harness and valve.

Actuator Test
Dump Solenoid
F0: ABS Relay Test
F1: Return Pump Relay Test

F3: Front Right Solenoid Valve Test


F4: Rear Left Solenoid Valve Test
F5: Rear Right Solenoid Valve Test
F6: ABS Check Light Test
F7: Exhaust Brake Cut Test

3. Press the Hold Valve “ON” Soft Key with the brake
pedal stepped on.
4. Release the brake pedal.
5. Make sure that the Hold Valve “ON” aimed at by
Test conditions: The ignition key is the “ON” position Tech 2 and the wheel locked position are the
with the four wheels lifted up. The brake pedal is same. If different, check brake pipe, valve line
stepped on, released and stepped on again with the harness wiring and H/UNIT. Repair is needed if
parking brake released. abnormality is found.
6. Conduct Step 2 through Step 5 above on all the
Test procedure: four wheels.
1. Connect Tech 2 with the vehicle, and select
Special Function from the menus. CAUTION: When conducting this test, please
observe the following cautions.
2. Select a Hold Valve Menu from the Special
Function Menus. 1. Do not start the engine without fail.
2. Lift up the vehicle at the level floor.
• Secure a clearance from the floor surface
enough to allow the lifted tire to rotate.
Actuator Test
3. Maintain the lift up.
4. Wipe the floor surface to remove water and oil
F0: ABS Relay Test
F1: Return Pump Relay Test so that the surface may become unslippery.
5. Do not load the vehicle.
F3: Front Right Solenoid Valve Test • When lifting up the vehicle, be sure to
F4: Rear Left Solenoid Valve Test
F5: Rear Right Solenoid Valve Test observe the lifting up points. Refer to
F6: ABS Check Light Test vehicle lifting points in 0A section.
F7: Exhaust Brake Cut Test
5A4-20 ANTI-LOCK BRAKE SYSTEM (ABS)

Release Valve Test Select a Dump Solenoid


Purpose: The purpose of this test is to detect brake from the Front Left Solenoid Valve Test
pipe and valve line harness wire wrong connections Function Menus.
and valve trouble.
This test will help you confirm the result of your repair
service including the removal/reinstallation of brake Front Left Solenoid Valve Test
pipe, valve line harness and valve.

Actuator Test
Iso Solenoid
F0: ABS Relay Test
F1: Return Pump Relay Test

F3: Front Right Solenoid Valve Test


F4: Rear Left Solenoid Valve Test
F5: Rear Right Solenoid Valve Test
F6: ABS Check Light Test
F7: Exhaust Brake Cut Test

3. Press the Release Valve “ON” Soft Key with the


brake pedal stepped on.
4. Make sure that the Release Valve “ON” aimed at
by Tech 2 and the wheel released position are the
same. If different, check brake pipe, valve line
Test conditions: The ignition key is in the “ON” position
harness wiring and H/UNIT. Repair is needed if
with the four wheels lifted up. The brake pedal is
abnormality is found.
stepped on, released and stepped on again with the
parking brake released. 5. Conduct Step 2 through Step 5 above on all the
four wheels.
Test procedure:
CAUTION: When conducting this test, please
1. Connect Tech 2 with the vehicle, and select observe the following cautions.
Special Function from the menus.
1. Do not start the engine without fail.
2. Select a Release Valve Menu from the Special 2. Lift up the vehicle at the level floor.
Function Menus. • Secure a clearance from the floor surface
enough to allow the lifted tire to rotate.
3. Maintain the lift up.
Actuator Test 4. Wipe the floor surface to remove water and oil
so that the surface may become unslippery.
F0: ABS Relay Test 5. Do not load the vehicle.
F1: Return Pump Relay Test • When lifting up the vehicle, be sure to
F3: Front Right Solenoid Valve Test observe the lifting up points. Refer to
F4: Rear Left Solenoid Valve Test vehicle lifting points in 0A section.
F5: Rear Right Solenoid Valve Test
F6: ABS Check Light Test
F7: Exhaust Brake Cut Test
ANTI-LOCK BRAKE SYSTEM (ABS) 5A4-21

EHCU Connector Pin-out Checks • Perform checks with high impedance digital
• Disconnect EHCU. multimeter 5-8840-0285-0 (J-39200) or equivalent.

Key Nominal Value


Multimeter Measure
No. Circuit to be Tested Switch (24V Battery Note
Scale/Range between Pin
Position Vehicle)
1 EHCU Power Circuit OFF VDC 3(+)-1(-) 0-0.3V
ON VDC 3(+)-1(-) 9.5-16.5V
(16.5-34V)
OFF VDC 2(+)-1(-) 9.5-16.5V
(16.5-34V)
OFF VDC 24(+)-1(-) 9.5-16.5V
(16.5-34V)
2 EHCU Ground Circuit OFF Ω 1(+)-GND Less than 0.01 Ω
OFF Ω 23(+)-GND Less than 0.01 Ω
3 EXHIN Circuit ON VDC 7(+)-1(-) 9.5-16.5V Engine Run
(16.5-34V)
4 EXHOUT Circuit ON VDC 8(+)-1(-) 9.5-16.5V
(16.5-34V)
OFF VDC 8(+)-1(-) 0-0.3V
5 Brake Switch Signal OFF VDC 16(+)-1(-) 0-0.3V
Circuit
OFF VDC 16(+)-1(-) 9.5-16.5V Apply Brake
(16.5-34V) Pedal
6 ABS W/L Circuit ON VDC 6(+)-1(-) 9.5-16.5V
(16.5-34V)
OFF VDC 6(+)-1(-) 0-0.3V
7 FL Speed Sensor OFF kΩ 10(+)-11(-) 1-2kΩ
OFF kΩ 10(+)-1(-) More than
1000kΩ
OFF VDC 10(+)-11(-) More than 200mV Turn Wheel at
0.5RPS
8 FR Speed Sensor OFF kΩ 32(+)-33(-) 1-2kΩ
OFF kΩ 32(+)-1(-) More than
1000kΩ
OFF VDC 32(+)-33(-) More than 200mV Turn Wheel at
0.5RPS
5A4-22 ANTI-LOCK BRAKE SYSTEM (ABS)

Circuit Diagram-FOR 12VOLT


F-17
STOP LAMP SW ; STOP LAMP
3W 10A 0.5G/Y 1 2 0.5G
B-66 B-66
FL-4
ABS
60A 3R 3R
RELAY ;
EXH.BRAKE F-14
FL-1 5W EXH.BRAKE
MAIN 5 2B/R 15A
80A B-38 0.5LG
8B 8W 2 5W 3W 1
H-6 B-38
H-5
RELAY; 0.5W/L 2 4 40
B-38 B-38

0.5LG/W
CHARGE

FL-2 3 1 2
P-1
KEY SW
BATTERY J-16 J-16 J-16
50A RELAY ;
P-2
RELAY ; TAIL

0.3B
EXH.B/CUT
(ABS) SW ;
ENG.WARMING
0.3B
3W/B

P-5 J-16 J-16 0.5LG/R 2 5 0.3B


B-31 B-31
5 4
0.5LG/B 3 6 0.5BR/R
B-31 B-31
1

0.5LG/B
0.3B 1 4 0.5BR/R

0.5B
H-7 KEY SW B-31 B-31
OFF
0.3B 0.3B
ACC
3W/B 2 B 0.5B/Y
B-67 F-12
ON 3 3B/Y
B-67 GAUGE
ST 0.5LG/B
BACK
10A METER
H-5
ABS
0.5B/Y 36 8 7
B-51 B-51
0.5B/Y

0.5B/Y
0.5LG/B

0.3W/V
0.5W
0.5B/Y
0.5B/Y

5 3 4
B-69 B-35 B-35
2
J-50 RELAY ;
SW ; EXH.BRAKE
ABS IND.
SW ; NEUTRAL
(Neutral=ON) B-35 B-35
B-69
5 2
3
0.5LG/L

J-50
0.3B

IND.LAMP ; 0.5B
1 EXH.BRAKE
0.5LG/L 0.5LG/L 1 10
B-51 B-52
0.5B/G

H-8
0.5LG/R

17

4 5
J-18 J-18 0.5BR/B

RELAY ;
EXH.BRAKE
CONTROL
0.85B

J-18 J-18
0.5LG/W

2 3
0.5LG/B

3
B-18
2B

H-5 DIODE
12 SW ; CLUTCH
0.5LG/B 1 2 0.5LG/R 1 2
B-89 B-89 B-18 B-18

0.3B 0.5B
2B

0.5B

0.85B
FRAME-LH (FRONT) B-1
8 JOINT
3B 2 7 B-29 CONNECTOR 3B 3B
HEADLIGHT BRACKET (LH) B-7
3B 3B 3B
2B 2B 2B
FRAME-LH (CENTER) J-9
ANTI-LOCK BRAKE SYSTEM (ABS) 5A4-23

0.5G 11 0.5G 2 0.5G


H-5 H-16

0.5G

0.5G
3R

STOP STOP
LAMP LAMP
0.5LG (LH) (RH)

0.5G
EHCU ; ABS

16
J-500 STOP LAMP 22 0.5L 2
RL 12V J-500 J-78
SPEED SENSOR
3R 24 (RR,LH)
J-500 MOTOR +B 34 0.5Y 1
RL SIG J-500 J-78
3R 2
J-500 VALVE +B
32 0.5V 1
FL SIG J-500 J-75
0.5BR/R

3B 23
J-500 MOTOR GND SPEED SENSOR
(FRT,LH)
33 0.5R/B 2
3B 1 FL GRD J-500 J-75
J-500 VALVE GND
15
H-8 8
J-500 EXH.B/CUT
OUT 10 0.5P 1
FR SIG J-500 J-74
0.5LG/B 7 SPEED SENSOR
J-500 EXH.B/CUT
(FRT,RH)
0.5BR/R

IN 11 0.5L 2
FR GRD J-500 J-74

0.3W/V 35 6
H-5 J-500 IND.

0.5B/Y 3 21 0.5R 4
J-500 IG RR 12V J-500 J-78
SPEED SENSOR
12 0.5W (RR,RH)
3
H-14 MODE1 RR SIG J-500 J-78
10
0.5BR/R

29 0.3W/B 33
MODE2 J1850 J-500 H-5

2 4 0.3W/G 34 0.3W/G
MODE3 FRASH J-500 H-5
E-9
3B

ALDL
B-79
SW ; THERMO CONNECTOR
(ENG.WARM)
16 15 14 13 12 11 10 9
8 7 6 5 4 3 2 1
E-9
0.5B
0.5B

1
0.3W/B
0.5BR/B 9 0.5BR/B 16
H-14 H-8

0.5BR/B 0.5BR/B
SW ; ACCEL 3
0.5LG/W 2 1 32 0.5LG 0.5LG
B-75 B-75 H-5
0.5LG J-23
DIODE ;
FICD
1 0.5G/O A/C
J-23 COMPRESSOR
J-23
2
0.5LG

0.5L

1 1 1
J-31 J-40 J-41

MAG.VALVE ; VSV ; VSV ;


EXH.BRAKE INT.THROTTLE FICD

J-31 J-40 J-41


2 2 2
0.5B

0.5B

0.5B

3B 3B
3B
2B 2B 0.5B
5A4-24 ANTI-LOCK BRAKE SYSTEM (ABS)

Circuit Diagram-FOR 24VOLT

F-10
STOP LAMP SW ; STOP LAMP
5W 10A 0.5G/Y 1 2 0.5G
B-66 B-66
FL-4
ABS
40A 3R 3R
RELAY ;
EXH.BRAKE F-14
FL-1 EXH.BRAKE
MAIN 5 2B/R 10A 0.5LG/W
60A B-38 0.5LG
8B 8W 2 5W 3W 1
H-6 B-38
H-8
RELAY; 0.5W/R 2 4 8
B-38 B-38

0.5LG/W
CHARGE

FL-2 3 1 2
P-1
KEY SW
BATTERY J-16 J-16 J-16
60A RELAY ;
P-2
TAIL
RELAY ;

0.3B
EXH.B/CUT
SW ;
(ABS)
ENG.WARMING
0.3B
3W/B

J-16 J-16 0.5LG/R 2 5 0.3B


P-3 B-31 B-31
5 4
BATTERY 0.5LG/B 3 6 0.5BR/B
P-4 B-31 B-31
1

0.5LG/B
H-7 0.3B 1 4 0.5BR/B

0.5B
KEY SW B-31 B-31
OFF
0.3B
P-5
ACC
3W/B 2 B 0.5B/Y
B-67 F-12
ON 3 3B/Y
B-67 GAUGE
ST 0.5LG/B
BACK
10A METER
ABS
0.5B/Y 0.5B/Y

0.5B/Y 8 7
B-51 B-51

0.5B/Y

0.3W/V
0.5W
6 0.5B/Y

H-14 H-8 3 4
0.5B
5
0.5P

B-35 B-35
5
2
B-69
E-11 RELAY ;
ABS IND.
SW ; NEUTRAL
SW ; EXH.BRAKE
(Neutral=ON) B-35 B-35
5 2
0.3B

E-11
B-69 IND.LAMP ; 0.5B
1 EXH.BRAKE
0.5B

3
0.5LG/R 0.5LG/R 8 10
B-51 B-52
H-14 H-5
0.5BR/R
0.5LG/R

10 38
0.5B/G

4 5
A/C 0.5G/O
J-18 J-18 COMPRESSOR

RELAY ; 39
0.85B

EXH.BRAKE
CONTROL H-5

J-18 J-18
0.5BR/R
2 3
0.5LG/B

0.5LG/W

1
0.5B

17 B-18
H-8 DIODE
SW ; CLUTCH
0.5LG/B 1 2 0.5LG/R 3 2
B-89 B-89 B-18 B-18

0.3B 0.5B
2B

0.5B

0.85B
FRAME-LH (FRONT) B-1
8 JOINT
3B 2 7 B-29 CONNECTOR 3B 3B
HEADLIGHT BRACKET (LH) B-7
3B 3B 3B
2B 2B 2B
FRAME-LH (CENTER) J-9
ANTI-LOCK BRAKE SYSTEM (ABS) 5A4-25

0.5G 11 0.5G 2 0.5G


H-5 H-16

0.5G

0.5G
3R

STOP STOP
LAMP LAMP
0.5LG (LH) (RH)

0.5G
THERMO SW ;
ENG.WARMING
RELAY ;
0.5BR 1 2
CERAMIC E-86 E-86
HEATER EHCU ; ABS
0.5BR/B

16
J-500 STOP LAMP 22 0.5L 2
RL 12V J-500 J-149
SPEED SENSOR
24 (RR,LH)
J-500 MOTOR +B 34 0.5Y 1
H-200 RL SIG J-500 J-149

2 3R 2
J-500 VALVE +B
32 0.5V 1
0.5BR/B

3B 23 FL SIG J-500 J-75


J-500 MOTOR GND SPEED SENSOR
(FRT,LH)
33 0.5R/B 2
3B 1 FL GRD J-500 J-75
J-500 VALVE GND
0.5BR/B

8
J-500 EXH.B/CUT
OUT 10 0.5P 1
FR SIG J-500 J-74
0.5LG/B 7 SPEED SENSOR
J-500 EXH.B/CUT
(FRT,RH)
11 IN 11 0.5L 2
FR GRD J-500 J-74
3B

H-8
0.3W/V 5 6
H-8 J-500 IND.

0.5B/Y 3 21 0.5R 2
J-500 IG RR 12V J-500 J-148
0.5BR/B SPEED SENSOR
0.5B/Y(NQR) 12 0.5W (RR,RH)
5 4 15 1
J-500 MODE1 RR SIG J-500 J-148
J-15 J-15
0.5B/Y(NQR) 14 29 0.3W/B 33
J-500 MODE2 J1850 J-500 H-5

0.5B/Y(NQR) 17 4 0.3W/G 34 0.3W/G


RELAY ; J-500 MODE3 FRASH J-500 H-5
ENG.WARMING CUT
J-15 J-15 ALDL
C/U ; ENGINE B-79
CONNECTOR
1 2
0.5BR/R

0.5BR/W 18 0.5BR/W 21
H-5 B-233 QWS 16 15 14 13 12 11 10 9
SW ; ACCEL 8 7 6 5 4 3 2 1
0.5LG/W 1 2 32 0.5LG 0.5LG 14 14 0.3Y
B-75 B-75 H-5 B-233 EXH.BRAKE CHECKER B-234
0.5B
0.5B

0.5BR/R
0.5L/W 15 29 0.3L 0.3W/B
4 B-234 FICD DIAG B-234
J-23
DIODE ;
FICD
1 3 0.5L/W 37 0.5LG
J-23 J-23 H-5
J-23
2
0.5L/G

2 6
0.5LG

H-13 H-13
0.5L/G

4 1 1
EX-1 J-31 EX-3

VSV ; MAG.VALVE ; VSV ;


FICD EXH.BRAKE INT.THROTTLE

EX-1 J-31 EX-3


2 2 2
12
0.5B

0.5B

H-13
0.5B

0.5B
3B 3B
3B
0.5B
5A4-26 ANTI-LOCK BRAKE SYSTEM (ABS)

Connector List
ANTI-LOCK BRAKE SYSTEM (ABS) 5A4-27

Connector List
5A4-28 ANTI-LOCK BRAKE SYSTEM (ABS)

Connector List
ANTI-LOCK BRAKE SYSTEM (ABS) 5A4-29

Part Location

FUSE BOX ASM STARTER SW J-148 R/RH


F-12,F-14,F-17 (12V) SENSOR (24V)
F-10,F-12,F-14 (24V) B-35,B-38 RELAY BOX RELAY BOX ASM
J-15 (24V),J-16,J-18 RELAY J-149 R/LH
B-17,B-18,J-23 DIODE SENSOR (24V)
FL-1,FL-2,FL-4 FUSIBLE LINK J-78 R/RH,R/LH
B-233,B-234 ECU (24V) SENSOR (12V)

B-29 JOINT CONNECTOR (24V)


(12V)

H-5~H-8 H-16

J-500 ABS EHCU


J-74 F/RH SENSOR
BATTERY

B-66 STOPLIGHT SW J-9 EARTH ; FRAME


(BRAKE SW)
B-79 ALDL CONNECTOR
B-1 EARTH ; FRAME (FR)
B-7 EARTH ; HEADLIGHT B/T J-75 F/LH SENSOR
B-67 IGNITION SW "A" B-51 ABS WARNING LIGHT (METER)
5A4-30 ANTI-LOCK BRAKE SYSTEM (ABS)

Symptom Diagnosis 5. Braking sound (from Hydraulic Unit) is heard while


The symptoms that cannot be indicated by the warning not braking.
light can be divided in the following five categories: These are all attributable to problems which cannot be
1. ABS works frequently but vehicle does not detected by EHCU self-diagnosis. Use the customer
decelerate. complaint and a test to determine which symptom is
present. Then follow the appropriate flow chart listed
2. Uneven braking occurs while ABS works.
below.
3. The wheels lock during braking.
4. Brake pedal feel is abnormal

Diagnostic Flow Charts


No. Symptom
Without TECH 2 With TECH 2
1 ABS works frequently but vehicle does not decelerate. Chart A-1 Chart TA-1
2 Uneven braking occurs while ABS works. Chart A-2 Chart TA-2
3 The wheels are locked. Chart A-3 Chart TA-3
4 Brake pedal feel is abnormal. Chart A-4 -
5 Braking sound (from Hydraulic Unit) is heard while not Chart A-5 Chart TA-5
braking.

Chart A-1 ABS Works Frequently But Vehicle Does Not Decelerate
Step Action Yes No
1 Is braking force distribution normal between the front and Go to Step 2 Repair brake parts.
rear of the vehicle? Go to Step 6
2 Are axle parts installed normally? Go to Step 3 Repair axle parts.
Go to Step 6
3 Is there play in each wheel speed sensor? Go to Step 4 Repair wheel
speed sensor.
Go to Step 6
4 Is there damage, or powdered iron sticking to each wheel Go to Step 5 Replace sensor or
speed sensor/sensor rotor? sensor rotor.
Go to Step 6
5 Is the output of each wheel speed sensor normal? (Refer to Replace EHCU. Replace wheel
chart C-1 or TC-1) Go to Step 6 speed sensor or
repair harness.
Go to Step 6
6 Reconnect all components and ensure all components are Repeat the “Basic Go to Step 6
properly mounted. diagnostic flow
Was this step finished? chart.”

Chart TA-1 ABS Works Frequently But Vehicle Does Not Decelerate (Use TECH 2)
Step Action Yes No
1 1. Connect TECH 2. Go to Step 2 Replace wheel
2. WHEEL SENSORS make sure of the output conditions speed sensor.
of each sensor. Go to Step 3
Is the output of each sensor normal?
2 Return to Chart A-1. Go to Step 3 Go to Step 2
Was the Chart A-1 finished?
3 Reconnect all components, ensure all components are Repeat the “Basic Go to Step 3
properly mounted. diagnostic flow
Was this step finished? chart.”
ANTI-LOCK BRAKE SYSTEM (ABS) 5A4-31

Chart A-2 Uneven Braking Occurs While ABS Works


Step Action Yes No
1 Is there play in each sensor? Go to Step 2 Repair.
Go to Step 5
2 Damage or powdered iron sticking to each sensor/sensor Go to Step 3 Repair.
rotor? Go to Step 5
3 Is the output of each sensor normal? (Refer to chart C-1 or Go to Step 4 Replace sensor or
TC-1) repair harness.
Go to Step 5
4 Is brake pipe connecting order correct? Replace EHCU. Reconnect brake
Go to Step 5 pipe correctly.
Go to Step 5
5 Reconnect all components, ensure all components are Repeat the “Basic Go to Step 5
properly mounted. diagnostic flow
Was this step finished? chart.”

Chart A-3, TA-3 The Wheels Are Locked


Step Action Yes No
1 Is ABS working? Go to Step 2 Go to Step 4
2 Is vehicle speed under 10 km/h (6mph)? Go to Step 3 Normal.
3 Is sensor output normal? (Chart C-1 or TC-1) Go to Step 4 Replace sensor or
repair harness.
Go to Step 5
4 Is hydraulic unit grounded properly? Replace hydraulic Correct.
unit. Go to Step 5
Go to Step 5
5 Reconnect all components, ensure all components are Repeat the “Basic Go to Step 5
properly mounted. diagnostic flow
Was this step finished? chart.”
5A4-32 ANTI-LOCK BRAKE SYSTEM (ABS)

Chart A-4 Brake Pedal Feed Is Abnormal


Step Action Yes No
1 Is the stop light actuated when the brake pedal is depressed? Go to Step 2 Go to Step 3
2 1. Turn the key off. Go to Step 4 Harness NG
2. Disconnect EHCU connector. between brake SW
3. Measure the voltage between J-500 EHCU connector and EHCU.
terminals 16 and 1, when brake pedal is depressed. Go to Step 7
Is the voltage between 9 - 16 V?
3 Is stop light fuse 12V: F-17, 24V: F-10 normal? Go to Step 5 Replace fuse
12V: F-17,
24V: F-10.
Go to Step 7
4 Is there continuity between J-500 EHCU connector terminal 1 Go to Step 6 Repair body
to body ground? grounded harness.
Go to Step 7
5 Is the brake SW normal? Repair stop light Replace brake
harness. SW.
Go to Step 7 Go to Step 7
6 Is the check harness/connector for suspended Hydraulic system Repair harness.
disconnection? leakage or air entry Go to Step 7
Go to Step 7
7 Reconnect all components, ensure all components are Repeat the “Basic Go to Step 7
properly mounted. and diagnostic flow
Was this step finished? chart.”
ANTI-LOCK BRAKE SYSTEM (ABS) 5A4-33

Chart A-5, TA-5 Braking Sound (From Hydraulic Unit) Is Heard While Not Braking
Step Action Yes No
1 Is this the first time the vehicle is being driven after starting It is self checking Go to Step 2
the engine? sound.
Normal.
2 Is vehicle speed under 10 km/h (6 mph)? It is self checking Go to Step 3
sound.
Normal.
3 Check for the following condition: ABS may Go to Step 4
• At the time of shift down or clutch operation. sometime be
• At the time of low µ drive (ice or snow road) or rough road actuated even
drive. when brake pedal
is not applied.
• At the time of high-speed turn.
• At the time of passing curb.
• At the time of operating electrical equipment switches.
• At the time of racing the engine.
Did it occur under any one condition above?
4 Is there play in each sensor/wheel speed sensor rotor? Go to Step 5 Repair.
Go to Step 7
5 Damage or powdered iron sticking to each sensor/wheel Repair. Go to Step 6
speed sensor rotor? Go to Step 7
6 Is each sensor output normal? (Refer to chart C-1 or TC-1). Check Repair.
harness/connector Go to Step 7
for suspected
disconnection.
If no disconnection
is found, replace
EHCU.
Go to Step 7
7 Reconnect all components, ensure all components are Repeat the “Basic Go to Step 7
properly mounted. diagnostic flow
Was this step finished? chart.”
5A4-34 ANTI-LOCK BRAKE SYSTEM (ABS)

Diagnostic Trouble Codes


Choose and trace an appropriate flowchart by the
numbers listed below to find fault and repair.

Code
Item (except
Flash Serial Diagnosis Wiring) Chart No.
out Communications
12 - Normal - -
13 C0213 Vehicle Type Error EHCU 1
14 C0214 Low Power Voltage of Rear Sensor or ECU
EHCU 2
Abnormality
15 C0215 Low Power Voltage EHCU 3
25 C0225 Exhaust Brake Cut Circuit Abnormality Relay or EHCU 4
33 C0233 Motor Drive Circuit Abnormality EHCU 5
34 C0234 Abnormal Motor Rotation EHCU 6
41 C0241 Solenoid Valve Power Supply Abnormality EHCU 7
43 C0243 Solenoid Valve Circuit Abnormality
EHCU 8
45 C0245 Solenoid Valve Circuit Abnormality
51 C0251 FL Speed Sensor Circuit Abnormality 9
52 C0252 FR Speed Sensor Circuit Abnormality 10
53 C0253 RL Speed Sensor Circuit Abnormality 11
54 C0254 RR Speed Sensor Circuit Abnormality 12
Sensor, EHCU
61 C0261 Abnormal FL Speed Sensor Signal 13
62 C0262 Abnormal FR Speed Sensor Signal 14
63 C0263 Abnormal RL Speed Sensor Signal 15
64 C0264 Abnormal RR Speed Sensor Signal 16
65 C0265 Tire Size Error Tire, Sensor, EHCU 17
* Important: DTC 20 (Reference Voltage High) cannot be indicated by Tech 2. DTC 20 can be indicated and
confirmed by flashing using Diagnosis Switch.
ANTI-LOCK BRAKE SYSTEM (ABS) 5A4-35

Diagnosis BY “ABS” Warning Light ON position or if the warning light is actuated during
Illumination Pattern driving, trouble should be diagnosed on a illumination
In the event that there is abnormality in the “ABS” pattern basis as follows:
warning light illumination pattern while the key is in the

No. Condition “ABS” Warning Light Illumination Pattern Diagnostic


1 Warning light is Normal
actuated normally

2 Warning light is not lit Warning light lighting circuit


trouble→Go to Chart B-1

3 Warning light is Diagnostic trouble codes


actuated while driving are stored.
Display diagnostic trouble
codes and diagnose on a
code basis according to the
flow charts.

Diagnostic Trouble Codes (DTCs)


When the warning light in the meter remains ON, the
EHCU stores the fault identification and disables the
ABS.
1. How to start DTC display:
• Confirm that the vehicle has come to a
complete stop (with the wheels standing still)
and that the brake pedal is not depressed.
(Unless these two conditions are satisfied, DTC
display cannot be started.)
• With the key switch OFF and short B-79
diagnosis connector terminal 12 to ground.
Then turn the key switch ON.
• DTCs can be displayed also by TECH 2.
5A4-36 ANTI-LOCK BRAKE SYSTEM (ABS)

The DLC (for Tech 2) is located behind the driver side lower cluster panel

2. DTC display: 3. How to erase code:


• DTC is displayed by blinking warning light. • Conduct brake switch ON/OFF operation 6 or
• Double-digit display. more times within 3 seconds of self-diagnosis
• First, normal DTC 12 is displayed three times startup.
and then any other DTCs are displayed three • The code cannot be erased if more than 3
times. (If no other DTCs have been stored, the seconds have passed since self-diagnosis
display of DTC 12 will be repeated.) startup, or if self-diagnosis has started with
brake switched on (brake pedal depressed).
• DTCs can be erased also by Tech 2.
ANTI-LOCK BRAKE SYSTEM (ABS) 5A4-37

4. An example of DTC display


Display of DTC 23

After displaying DTC 12 three times, one DTC after The DTC 12 is displayed repeatedly. (display is
another is displayed, starting with the most recent one. discontinued after about 5 minutes)
(However, display is discontinued after about 5
minutes.)
5A4-38 ANTI-LOCK BRAKE SYSTEM (ABS)

5. How to display vehicle model: 6) Illuminating number of times indicates the


1) Turn the key switch OFF. vehicle model.
2) Short the diagnosis connector terminal 12 to
ground. Vehicle model Illuminating number of times
3) Slightly push the brake pedal. NKR, NPR 1
4) Turn the key switch ON. NQR 8
5) ABS warning light illuminates.
ANTI-LOCK BRAKE SYSTEM (ABS) 5A4-39

Chart B-1-1 With the key in the ON position (Before starting the engine). Warning light
(W/L) is not activated.
Step Action Value(s) Yes No
1 Is W/L fuse F-12 disconnected? - Go to Step 5 Go to Step 2
2 Is W/L burnt out? - Go to Step 6 Go to Step 3
3 1. Turn the key off. 12V: 9.5-16.5V Go to Step 4 Go to Step 7
2. Disconnect EHCU connectors. 24V: 16.5-34V
3. Turn the key on.
4. Using DVM, measure the voltage between
J-500 EHCU connector terminals 6 and 1.
Does the DVM display a voltage within the
specified value?
4 Check the continuity between J-500 EHCU - Go to Step 9 Go to Step 8
connector terminal 1 and body ground.
Is there continuity?
5 Replace the fuse. - Go to Step 10 -
Is action complete?
6 Replace the W/L bulb. - Go to Step 10 -
Is action complete?
7 Locate and repair open circuit, poor connection - Go to Step 10 -
or short circuit in the ignition feed circuit.
Is action complete?
8 Locate and repair open circuit, poor connection - Go to Step 10 -
or short circuit in the ground circuit.
Is action complete?
9 1. Check the harness for suspected - Go to Step 10 -
disconnection.
2. If no fault found, replace the EHCU.
Is action complete?
10 1. Reconnect all components, ensure all - Go to “Basic -
components are properly mounted. diagnostic flow
2. Clear diagnostic trouble code. chart.”
Was this step finished?
5A4-40 ANTI-LOCK BRAKE SYSTEM (ABS)

Chart 1 (DTC13/C0213) Vehicle Type Error


Step Action Value(s) Yes No
1 1. Disconnect EHCU connector. NQR: Go to Step 2 Go to Step 5
2. Turn the key on. All terminal
3. Measure the voltage at terminal 14, 15, battery voltage
and 17. NKR, NPR:
All terminal 0V
2 1. Turn the key off and connect EHCU. - Go to Step 3 Replace the
2. Connect the TECH 2. EHCU.
3. Clear the vehicle type. Go to Step 3
4. Does the warning light turn off?
3 Confirm the vehicle type. - Go to Step 4 Replace the
Is the vehicle type okay? EHCU.
Repeat Step 3
4 Clear the DTC. - Troubleshooting -
completed.
5 Repair harness. - Go to Step 3 Replace the
Does the warning light turn off? EHCU.
Go to Step 3

Chart 2 (DTC14/C0214) Low Power Voltage of Rear Sensor or EHCU Abnormality


Step Action Value(s) Yes No
1 Perform chart 11 and 12. - Go to Step 2 Go to Step 1
2 1. Turn the key off. - Go to Step 3 Go to Step 4
2. Disconnect the EHCU connector.
3. Measure continuity between the body
ground and J-500 connector terminal 1, 23.
Is there continuity?
3 1. Connect the EHCU connector. - Go to Step 5 Go to Step 6
2. Clear DTC.
3. Turn the key from off to on and perform
diagnosis procedure.
Does the DTC repeat?
4 Repair the open/short circuit or malfunction at - Go to Step 6 -
connection of connector.
Is this step completed?
5 Replace the EHCU. - Go to Step 6 -
Is this step completed?
6 1. Install all parts. Verify each part is properly - Go to “Basic Go to Step 6
installed. diagnostic flow
2. Clear DTC. chart”.
Is this step completed?
ANTI-LOCK BRAKE SYSTEM (ABS) 5A4-41

Chart 3 (DTC15/C0215) EHCU Voltage OUT of Range


Step Action Value(s) Yes No
1 Is the battery voltage okay? - Go to Step 2 Go to Step 5
2 1. Turn the key off. 12 V vehicle: Go to Step 3 Go to Step 6
2. Disconnect the EHCU connector. 10-16 V
3. Start the engine. 24 V vehicle:
4. Measure voltage between J-500 connector 17-33.5 V
terminal 2 and J-500 connector terminal 1,
23.
Is the voltage within the specified value?
3 Locate the malfunction of connection in the - Go to Step 4 Go to Step 8
circuit.
Is the circuit malfunction specified?
4 Repair the malfunction and perform diagnosis - Go to Step 7 Go to Step 8
procedure.
Does the DTC repeat?
5 Charge or replace the battery. - Go to Step 8 -
Is this step completed?
6 Repair open/short circuit or malfunction at - Go to Step 8 -
connection of connector between J-500
connector terminal 2 and fusible link FL-4.
Is this step completed?
7 Replace the EHCU. - Go to Step 8 -
Is this step completed?
8 1. Install all parts. Verify each part is properly - Go to “Basic Go to Step 8
installed. diagnostec flow
2. Clear DTC. chart”.
Is this step completed?
5A4-42 ANTI-LOCK BRAKE SYSTEM (ABS)

Chart 4 (DTC25/C0225) Exhaust Brake Cut Circuit Abnormality


Step Action Value(s) Yes No
1 1. Disconnect EHCU connector. 12 V vehicle: Go to Step 2 Go to Step 4
2. Start the engine. More than 5 V
3. Measure voltage between EHCU terminals 24 V vehicle:
8 and 1. More than 10 V
Is the voltage within the specified value?
2 Measure voltage between EHCU terminals 7 12 V vehicle: Go to Step 3 Go to Step 6
and 1. More than 5 V
Is the voltage within the specified value? 24 V vehicle:
More than 10 V
3 Short EHCU terminal 8 to 1. - Replace the Replace the
Is the voltage at EHCU terminal 7 less than 1.5 EHCU. exhaust brake
V? cut relay.
4 Measure resistance of the exhaust brake cut 12 V vehicle: Go to Step 5 Replace the
relay coil. 60-120 ohms exhaust brake
24 V vehicle: cut relay.
210-310 ohms
5 Measure voltage at coil power side of relay box 12 V vehicle: Check harness Repair harness
connector. (key at on position) 10-16 V between EHCU and/or power
Is the voltage within the specified value? 24 V vehicle: terminal 8 and line.
20-32 V exhaust brake
cut relay.
Repair as
necessary.
6 Turn the exhaust brake switch on. - Repair harness Go to exhaust
Does the exhaust brake indicator light turn on? of EHCU brake diagnosis
terminal 7. procedure.

Chart 5 (DTC33/C0233) Motor Drive Circuit Abnormality


Step Action Value(s) Yes No
1 1. Disconnect EHCU connector. 12 V vehicle: Go to Step 2 Go to Step 3
2. Measure voltage between EHCU terminals 10-16 V
24 and 1. 24 V vehicle:
Is the voltage within the specified value? 20-32 V
2 Measure continuity between EHCU terminals - Replace the Repair the
23 and 1. EHCU. harness.
Is there continuity?
3 Check the ABS fusible link (12V: 60A, 24V: - Repair the Replace the
40A). harness. ABS fusible link
Is it okay? (12V: 60A,
24V: 40A).

Chart 6 (DTC 34/C0234) Abnormal Motor Rotation


• Replace EHCU.
ANTI-LOCK BRAKE SYSTEM (ABS) 5A4-43

Chart 7 (DTC41/C0241) Solenoid Valve Power Supply Abnormality


Step Action Value(s) Yes No
1 1. Disconnect EHCU connector. 12 V vehicle: Replace the Go to Step 2
2. Measure voltage between EHCU terminals 10-16 V EHCU.
2 and 1. 24 V vehicle:
Is the voltage within the specified value? 20-32 V
2 Check the ABS fusible link (12V: 60A, 24V: - Repair the Replace the
40A). harness. ABS fusible link
Is it okay? (12V: 60A,
24V: 40A).

Chart 8 (DTC 43, 45/C0243, C0245) Solenoid Valve Circuit Abnormality


• Replace EHCU.

Chart 9 (DTC51/C0251) FL Speed Sensor Circuit Abnormality


Step Action Value(s) Yes No
1 1. Disconnect EHCU connector. 1-2 k ohms Replace the Go to Step 2
2. Measure resistance between EHCU EHCU.
terminals 32 and 33.
Is the resistance within the specified value?
2 1. Disconnect the FL speed sensor - Repair the Replace the FL
connector. harness. speed sensor.
2. Measure the FL speed sensor resistance.
Is the resistance okay?

Chart 10 (DTC52/C0252) FR Speed Sensor Circuit Abnormality


Step Action Value(s) Yes No
1 1. Disconnect EHCU connector. 1-2 k ohms Replace the Go to Step 2
2. Measure resistance between EHCU EHCU.
terminals 10 and 11.
Is the resistance within the specified value?
2 1. Disconnect the FR speed sensor - Repair the Replace the FR
connector. harness. speed sensor.
2. Measure the FR speed sensor resistance.
Is the resistance okay?
5A4-44 ANTI-LOCK BRAKE SYSTEM (ABS)

Chart 11 (DTC53/C0253) RL Speed Sensor Circuit Abnormality


Step Action Value(s) Yes No
1 1. Disconnect EHCU connector. - Go to Step 2 Repair the
2. Disconnect RL speed sensor connector. harness.
3. Measure continuity between EHCU
terminal 22 and positive side of chassis
harness connector connected to RL speed
sensor.
Is there continuity?
2 Measure continuity between EHCU terminals - Go to Step 3 Repair the
22 and 1. harness.
Is there continuity?
3 1. Start the engine. Less than 2 V Go to Step 4 Repair the
2. Measure voltage between EHCU terminals harness.
22 and 1.
Is the voltage within the specified value?
4 Measure continuity between EHCU terminal 34 - Go to Step 5 Repair the
and positive side of chassis harness connector harness.
connected to RL speed sensor.
Is there continuity?
5 Measure continuity between EHCU terminals - Go to Step 6 Repair the
34 and 1. harness.
Is there continuity?
6 1. Start the engine. Less than 2 V Go to Step 7 Repair the
2. Measure voltage between EHCU terminals harness.
34 and 1.
Is the voltage within the specified value?
7 Check the RL speed sensor (Refer to chart C- 0.2-4.5 V Replace the Replace the RL
1-3 or TC-1). EHCU. speed sensor.
Does the DVM display a voltage within the
specified value?
ANTI-LOCK BRAKE SYSTEM (ABS) 5A4-45

Chart 12 (DTC54/C0254) RR Speed Sensor Circuit Abnormality


Step Action Value(s) Yes No
1 1. Disconnect EHCU connector. - Go to Step 2 Repair the
2. Disconnect RR speed sensor connector. harness.
3. Measure continuity between EHCU
terminal 21 and positive side of chassis
harness connector connected to RR speed
sensor.
Is there continuity?
2 Measure continuity between EHCU terminals - Go to Step 3 Repair the
21 and 1. harness.
Is there continuity?
3 1. Start the engine. Less than 2 V Go to Step 4 Repair the
2. Measure voltage between EHCU terminals harness.
21 and 1.
Is the voltage within the specified value?
4 Measure continuity between EHCU terminal 12 - Go to Step 5 Repair the
and positive side of chassis harness connector harness.
connected to RR speed sensor.
Is there continuity?
5 Measure continuity between EHCU terminals - Go to Step 6 Repair the
12 and 1. harness.
Is there continuity?
6 1. Start the engine. Less than 2 V Go to Step 7 Repair the
2. Measure voltage between EHCU terminals harness.
12 and 1.
Is the voltage within the specified value?
7 Check the RR speed sensor (Refer to chart c- 0.2-4.5 V Replace the Replace the RR
1-4 or TC-1). EHCU. speed sensor.
Does the DVM display a voltage within the
specified value?
5A4-46 ANTI-LOCK BRAKE SYSTEM (ABS)

Chart 13 (DTC 61/C0261) Abnormal FL Speed Sensor Signal


Step Action Value(s) Yes No
1 Is there play in the FL wheel bearing? - Go to Step 10 Go to Step 2
2 Is there play in the FL speed sensor/sensor - Go to Step 11 Go to Step 3
rotor?
3 Is there powdered iron sticking to FL speed - Go to Step 12 Go to Step 4
sensor/sensor rotor?
4 Check the FL speed sensor. (Refer to Chart C- - Go to Step 5 Go to Step 8
1-1 or TC-1)
Is the FL sensor output normal?
5 Is there a broken tooth or indentation in the - Go to Step 13 Go to Step 6
sensor rotor?
6 Using DVM, measure the resistance between 1000 k ohms or Go to Step 7 Go to Step 9
J-500 EHCU connector terminal 33 and more
ground.
Does the DVM display a resistance within the
specified value?
7 1. Clear diagnostic trouble code. - Go to Step 18 Go to Step 16
2. Test drive and perform system self-check.
Does repeat trouble?
8 Is there damage or indentation in the speed - Go to Step 14 Go to Step 15
sensor?
9 1. Disconnect FL sensor connector. 1000 k ohms or Go to Step 17 Go to Step 14
2. Using DVM, measure the resistance more
between J-75 sensor connector terminal 2
and ground.
Does the DVM display a resistance within the
specified value?
10 Adjust wheel bearing preload. - Go to Step 19 -
Is action complete?
11 Repair or replace speed sensor/sensor rotor. - Go to Step 19 -
Is action complete?
12 Repair speed sensor/sensor rotor. - Go to Step 19 -
Is action complete?
13 Replace sensor rotor. - Go to Step 19 -
Is action complete?
14 Replace FL speed sensor. - Go to Step 19 -
Is action complete?
15 Check the FL speed sensor circuit. Refer to - Verify repair
Chart 9.
Is action complete?
16 Check for a poor connection and an open - Go to Step 19 -
circuit on the harness between EHCU and
sensor connectors.
Refer to “Note on Intermittents” described in
earlier this section.
Is action complete?
ANTI-LOCK BRAKE SYSTEM (ABS) 5A4-47

Step Action Value(s) Yes No


17 1. Locate open circuit, poor connection or - Go to Step 19 Go to Step 19
short circuit on the harness between EHCU
and sensor connectors.
2. Repair the harness.
Is action complete?
18 Replace EHCU. - Go to Step 19 -
Is action complete?
19 1. Reconnect all components, ensure all - Go to “Basic Go to Step 19
components are properly mounted. diagnostic flow
2. Clear diagnostic trouble code. chart.”
Was this step finished?
5A4-48 ANTI-LOCK BRAKE SYSTEM (ABS)

Chart 14 (DTC 62/C0262) Abnormal FR Speed Sensor Signal


Step Action Value(s) Yes No
1 Is there play in the FR wheel bearing? - Go to Step 10 Go to Step 2
2 Is there play in the FR speed sensor/sensor - Go to Step 11 Go to Step 3
rotor?
3 Is there powdered iron sticking to FR speed - Go to Step 12 Go to Step 4
sensor/sensor rotor?
4 Check the FR speed sensor. (Refer to Chart - Go to Step 5 Go to Step 8
C-1-2 or TC-1)
Is the FR sensor output normal?
5 Is there a broken tooth or indentation in the - Go to Step 13 Go to Step 6
sensor rotor?
6 Using DVM, measure the resistance between 1000 k ohms or Go to Step 7 Go to Step 9
J-500 EHCU connector terminal 11 and more
ground.
Does the DVM display a resistance within the
specified value?
7 1. Clear diagnostic trouble code. - Go to Step 18 Go to Step 16
2. Test drive and perform system self-check.
Does repeat trouble?
8 Is there damage or indentation in the speed - Go to Step 14 Go to Step 15
sensor?
9 1. Disconnect FR sensor connector. 1000 k ohms or Go to Step 17 Go to Step 14
2. Using DVM, measure the resistance more
between J-74 sensor connector terminal 2
and ground.
Does the DVM display a resistance within the
specified value?
10 Adjust wheel bearing preload. - Go to Step 19 -
Is action complete?
11 Repair or replace speed sensor/sensor rotor. - Go to Step 19 -
Is action complete?
12 Repair speed sensor/sensor rotor. - Go to Step 19 -
Is action complete?
13 Replace sensor rotor. - Go to Step 19 -
Is action complete?
14 Replace FR speed sensor. - Go to Step 19 -
Is action complete?
15 Check the FR speed sensor circuit. Refer to - Verify repair -
Chart 10.
Is action complete?
16 Check for a poor connection and an open - Go to Step 19 -
circuit on the harness between EHCU and
sensor connectors.
Refer to “Note on Intermittents” described in
earlier this section.
Is action complete?
ANTI-LOCK BRAKE SYSTEM (ABS) 5A4-49

Step Action Value(s) Yes No


17 1. Locate open circuit, poor connection or - Go to Step 19 Go to Step 19
short circuit on the harness between EHCU
and sensor connectors.
2. Repair the harness.
Is action complete?
18 Replace EHCU. - Go to Step 19 -
Is action complete?
19 1. Reconnect all components, ensure all - Go to “Basic Go to Step 19
components are properly mounted. diagnostic flow
2. Clear diagnostic trouble code. chart.”
Was this step finished?
5A4-50 ANTI-LOCK BRAKE SYSTEM (ABS)

Chart 15 (DTC 63/C0263) Abnormal RL Speed Sensor Signal


Step Action Value(s) Yes No
1 Is there play in the RL wheel bearing? - Go to Step 8 Go to Step 2
2 Is there play in the RL speed sensor/sensor - Go to Step 9 Go to Step 3
rotor?
3 Is there powdered iron sticking to RL speed - Go to Step 10 Go to Step 4
sensor/sensor rotor?
4 Check the RL speed sensor. (Refer to Chart C- - Go to Step 5 Go to Step 7
1-3 or TC-1)
Is the RL sensor output normal?
5 Is there a broken tooth or indentation in the - Go to Step 11 Go to Step 6
sensor rotor?
6 1. Clear diagnostic trouble code. - Go to Step 15 Go to Step 14
2. Test drive and perform system self-check.
Does repeat trouble?
7 Is there damage or indentation in the speed - Go to Step 12 Go to Step 13
sensor?
8 Adjust wheel bearing preload. - Go to Step 16 -
Is action complete?
9 Repair or replace speed sensor/sensor rotor. - Go to Step 16 -
Is action complete?
10 Repair speed sensor/sensor rotor. - Go to Step 16 -
Is action complete?
11 Replace sensor rotor. - Go to Step 16 -
Is action complete?
12 Replace RL speed sensor. - Go to Step 16 -
Is action complete?
13 Check the RL speed sensor circuit. Refer to - Verify repair -
Chart 11.
Is action complete?
14 Check for a poor connection and an open - Go to Step 16 -
circuit on the harness between EHCU and
sensor connectors.
Refer to “Note on Intermittents” described in
earlier this section.
Is action complete?
15 Replace EHCU. - Go to Step 16 -
Is action complete?
16 1. Reconnect all components, ensure all - Go to “Basic Go to Step 16
components are properly mounted. diagnostic flow
2. Clear diagnostic trouble code. chart.”
Was this step finished?
ANTI-LOCK BRAKE SYSTEM (ABS) 5A4-51

Chart 16 (DTC 64/C0264) Abnormal RR Speed Sensor Signal


Step Action Value(s) Yes No
1 Is there play in the RR wheel bearing? - Go to Step 8 Go to Step 2
2 Is there play in the RR speed sensor/sensor - Go to Step 9 Go to Step 3
rotor?
3 Is there powdered iron sticking to RR speed - Go to Step 10 Go to Step 4
sensor/sensor rotor?
4 Check the RR speed sensor. (Refer to Chart - Go to Step 5 Go to Step 7
C-1-4 or TC-1)
Is the RR sensor output normal?
5 Is there a broken tooth or indentation in the - Go to Step 11 Go to Step 6
sensor rotor?
6 1. Clear diagnostic trouble code. - Go to Step 15 Go to Step 14
2. Test drive and perform system self-check.
Does repeat trouble?
7 Is there damage or indentation in the speed - Go to Step 12 Go to Step 13
sensor?
8 Adjust wheel bearing preload. - Go to Step 16 -
Is action complete?
9 Repair or replace speed sensor/sensor rotor. - Go to Step 16 -
Is action complete?
10 Repair speed sensor/sensor rotor. - Go to Step 16 -
Is action complete?
11 Replace sensor rotor. - Go to Step 16 -
Is action complete?
12 Replace RR speed sensor. - Go to Step 16 -
Is action complete?
13 Check the RR speed sensor circuit. Refer to - Verify repair -
Chart 12.
Is action complete?
14 Check for a poor connection and an open - Go to Step 16 -
circuit on the harness between EHCU and
sensor connectors.
Refer to “Note on Intermittents” described in
earlier this section.
Is action complete?
15 Replace EHCU. - Go to Step 16 -
Is action complete?
16 1. Reconnect all components, ensure all - Go to “Basic Go to Step 16
components are properly mounted. diagnostic flow
2. Clear diagnostic trouble code. chart.”
Was this step finished?
5A4-52 ANTI-LOCK BRAKE SYSTEM (ABS)

Chart 17 (DTC65/C0265) Tire Size Error


Step Action Value(s) Yes No
1 Does the tire size match the vehicle - Go to Step 2 Replace the
specification? abnormal tire.
2 Check wear and inflation of the tire. - Go to Step 3 Repair or
Are they okay? replace the
abnormal tire.
3 Are the sensor rotors normal? - Go to Step 4 Replace the
abnormal
sensor rotor.
4 Test run the vehicle. - Replace the Recheck the
Does the malfunction repeat. EHCU. DTC.
ANTI-LOCK BRAKE SYSTEM (ABS) 5A4-53

Unit Inspection Procedure DIAGNOSIS” and “DIAGNOSIS BY ‘ABS’ WARNING


This section describes the following inspection LIGHT ILLUMINATION PATTERN”:
procedures referred to during “SYMPTOM

without TECH 2 with TECH 2


Speed Sensor Output Inspection Chart C-1-1 to C-1-4 Chart TC-1

Chart C-1-1 FL Speed Sensor Output Inspection Procedure


Step Action Value(s) Yes No
1 1. Turn the key off. 200 mV or more Go to Step 5 Go to Step 2
2. Disconnect EHCU connector.
3. Jack up the vehicle, with all wheels off the
ground.
4. Measure the AC voltage between J-500
EHCU connector terminals 32 and 33 while
turning FL wheel at a speed of 0.5 RPS.
Does the DVM display a voltage within the
specified value?
2 1. Disconnect FL sensor connector. 1.0-2.0 k ohms Go to Step 4 Go to Step 3
2. Using DVM, measure the resistance
between J-75 sensor connector terminals 1
and 2.
Does the DVM display a resistance within the
specified value?
3 1. Locate open circuit, poor connection or - Go to Step 5 -
short circuit on the harness between EHCU
and sensor connectors.
2. Repair the harness.
Is action complete?
4 Replace FL sensor. - Go to Step 5 -
Is action complete?
5 1. Reconnect all components, ensure all - Go to “Basic Go to Step 5
components are properly mounted. diagnostic flow
2. Clear diagnostic trouble code. chart.”
Was this step finished?
5A4-54 ANTI-LOCK BRAKE SYSTEM (ABS)

Chart C-1-2 FR Speed Sensor Output Inspection Procedure


Step Action Value(s) Yes No
1 1. Turn the key off. 200 mV or more Go to Step 5 Go to Step 2
2. Disconnect EHCU connector.
3. Jack up the vehicle, with all wheels off the
ground.
4. Measure the AC voltage between J-500
EHCU connector terminals 10 and 11 while
turning FR wheel at a speed of 0.5 RPS.
Does the DVM display a voltage within the
specified value?
2 1. Disconnect FR sensor connector. 1.0-2.0 k ohms Go to Step 4 Go to Step 3
2. Using DVM, measure the resistance
between J-74 sensor connector terminals 1
and 2.
Does the DVM display a resistance within the
specified value?
3 1. Locate open circuit, poor connection or - Go to Step 5 -
short circuit on the harness between EHCU
and sensor connectors.
2. Repair the harness.
Is action complete?
4 Replace FR sensor. - Go to Step 5 -
Is action complete?
5 1. Reconnect all components, ensure all - Go to “Basic Go to Step 5
components are properly mounted. diagnostic flow
2. Clear diagnostic trouble code. chart.”
Was this step finished?
ANTI-LOCK BRAKE SYSTEM (ABS) 5A4-55

Chart C-1-3 RL Speed Sensor Output Inspection Procedure


Step Action Value(s) Yes No
1 1. Turn the key off. 0.2-4.5V Go to Step 5 Go to Step 2
2. Disconnect EHCU connector.
3. Jack up the vehicle, with all wheels off the
ground.
4. Connect a 120 ohms resistor between
J-500 EHCU connector terminal 22 and
ground. Apply voltage of 12V to EHCU
connector terminal 22.
5. Using DVM, measure the DC voltage
between J-500 connector terminal 22 and
ground while turning RL wheel at a speed
of 0.5 RPS.
Does the DVM display a voltage within the
specified value?
2 1. Turn the key off. 0.2-4.5V Go to Step 3 Go to Step 4
2. Disconnect RL sensor connector.
3. Connect a 120 ohms resistor between
sensor connector terminal 2 (sensor side)
and ground.
4. Apply 12V voltage at sensor connector
terminal 1 (sensor side).
5. Using DVM, measure the DC voltage
between sensor connector terminal 2
(sensor side) and ground while turning RL
wheel at a speed of 0.5 RPS.
Does the DVM display a voltage within the
specified value?
3 1. Locate open circuit, poor connection short - Go to Step 5 -
circuit on the harness between EHCU and
sensor connectors.
2. Repair the harness.
Is action complete?
4 Replace RL sensor. - Go to Step 5 -
Is action complete?
5 1. Reconnect all components, ensure all - Go to “Basic Go to Step 5
components are properly mounted. diagnostic flow
2. Clear diagnostic trouble code. chart.”
Was this step finished?
5A4-56 ANTI-LOCK BRAKE SYSTEM (ABS)

Legend
(1) Battery (4) Speed Sensor
(2) DVM
(3) Resistor
ANTI-LOCK BRAKE SYSTEM (ABS) 5A4-57

Chart C-1-4 RR Speed Sensor Output Inspection Procedure


Step Action Value(s) Yes No
1 1. Turn the key off. 0.2-4.5V Go to Step 5 Go to Step 3
2. Disconnect EHCU connector.
3. Jack up the vehicle, with all wheels off the
ground.
4. Connect a 120 ohms resistor between
J-500 EHCU connector terminal 21 and
ground.
5. Using DVM, measure the DC voltage
between J-500 connector terminal 21 and
ground while turning RR wheel at a speed
of 0.5 RPS.
Does the DVM display a voltage within the
specified value?
2 1. Turn the key off. 0.2-4.5V Go to Step 3 Go to Step 4
2. Disconnect RR sensor connector.
3. Connect a 120 ohms resistor between
sensor connector terminal 2 (sensor side)
and ground.
4. Apply 12V voltage at sensor connector
terminal 1 (sensor side).
5. Using DVM, measure the DC voltage
between sensor connector terminal 2
(sensor side) and ground while turning RR
wheel at a speed of 0.5 RPS.
Does the DVM display a voltage within the
specified value?
3 1. Locate open circuit, poor connection short - Go to Step 5 -
circuit on the harness between EHCU and
sensor connectors.
2. Repair the harness.
Is action complete?
4 Replace RR sensor. - Go to Step 5 -
Is action complete?
5 1. Reconnect all components, ensure all - Go to “Basic Go to Step 5
components are properly mounted. diagnostic flow
2. Clear diagnostic trouble code. chart.”
Was this step finished?
5A4-58 ANTI-LOCK BRAKE SYSTEM (ABS)

Legend
(1) Battery (4) Speed Sensor
(2) DVM
(3) Resistor

Chart TC-1 Sensor Output Inspection Procedure (Use TECH 2)


Step Action Yes No
1 1. Connect TECH 2. Go to Step 2 Go to Step 6
2. Check the minimum speed of each sensor by WHEEL
SENSORS.
Is the sensor speed more than 5km/h (3mph)?
2 Check the sensor harness for suspected disconnection Replace speed Repair.
(check while shaking harness/connector). sensor. Go to Step 3
Is the sensor harness connection normal? Go to Step 3
3 Check the minimum speed of each sensor by WHEEL Go to Step 4 Go to Step 6
SENSORS.
Is the sensor speed more than 5 km/h (3mph)?
4 Check the sensor rotor. Go to Step 5 Replace sensor
Is the sensor rotor normal? rotor.
Go to Step 5
5 Check the minimum speed of each sensor by WHEEL Repair harness or Go to Step 6
SENSORS. connector between
Is sensor speed more than 5 km/h (3 mph)? EHCU and speed
sensor.
Go to Step 6
6 Reconnect all components, ensure all components are Repeat the “Basic Go to Step 6
properly mounted. diagnostic flow
Was this step finished? chart.”
ANTI-LOCK BRAKE SYSTEM (ABS) 5A4-59

Electronic Hydraulic Control Unit (EHCU)


Removal Installation
1 To install, follow the removal steps in the reverse
order, noting the following points.
NOTE:
• If welding work is to be performed on the vehicle
using an electric arc welder, the EHCU should be
removed from the vehicle before the welding
4 operation begins.
• Do not put a radio equipment etc, that emits strong
radio wave near the EHCU.
• Do not wet the control unit. If wetted, wipe off water
immediately and dry it fully.
5
3 • Never loosen any screw on the control unit.
• Do not paint the control unit.
• Prevent possible electrostatic discharge damage.
• Do not touch the control unit pin type terminal with
2 a metalic tip of a screwdriver or tester.
• Do not apply voltage to the terminal.

Legend
(1) Brake Pipe
(2) EHCU Bracket Fix Bolt & Nut
(3) EHCU Bracket
(4) Harness Connector
(5) EHCU

1. Disconnect battery ground cable.


2. Disconnect brake pipes.
3. Remove EHCU bracket fix bolts & nut.
4. Remove EHCU bracket.
5. Remove EHCU.
5A4-60 ANTI-LOCK BRAKE SYSTEM (ABS)

Front Speed Sensor


Front Speed Sensor and Associated Parts

Legend
(1) Speed Sensor Connector (4) Sensor Fixing Bolt
(2) Sensor Cable Fixing Bolt (5) Speed Sensor
(3) Sensor Cable Fixing Bolt (6) Front

Removal Installation
1. Remove speed sensor connector. 1. Install speed sensor and take care not to hit the
2. Remove sensor cable fixing bolts. speed sensor pole piece during installation.
3. Remove the speed sensor fixing bolt. 2. Install speed sensor fixing bolt and tighten the
4. Remove speed sensor. fixing bolt to the specified torque.
Torque: 22 N⋅⋅m (2.2kgf⋅⋅m/16lb⋅⋅ft)
3. Install speed sensor cable fixing bolts and tighten
Inspection and Repair the fixing bolt to the specified torque.
1. Check the speed sensor pole piece for presence of Torque
foreign materials; remove any dirt, etc. Bolts (2): 22 N⋅⋅m (2.2kgf⋅⋅m/16lb⋅⋅ft)
2. Check the pole piece for damage; replace speed Bolts (3): 45 N⋅⋅m (4.6kgf⋅⋅m/33lb⋅⋅ft)
sensor if necessary. NOTE: Confirm that a white or yellow line marked on
3. Check the speed sensor cable for short or open the cable is not twisted when connecting the speed
circuit, and replace with a new one if necessary. sensor cable.
To check for cable short or open, bend or stretch 4. Connect speed sensor connector.
the cable while checking for continuity.
ANTI-LOCK BRAKE SYSTEM (ABS) 5A4-61

Front Speed Sensor Rotor


Front Speed Sensor Rotor and Associated Parts

Legend
(1) Disk Brake Assembly (6) Hub and Disc Assembly
(2) Hub Cap (7) Speed Sensor Rotor
(3) Cotter Pin (8) Inner Bearing and Outer Bearing
(4) Hub Nut (9) Oil Seal
(5) Washer (10) Spacer

Removal
1. Remove disc brake assembly and support the
caliper assembly so that the brake hose is not
stretched or damaged.
2. Remove hub cap.
3. Remove cotter pin and hub nut.
4. Remove washer.
5. Remove hub and disc assembly.

6. Remove speed sensor rotor.


7. Remove inner bearing, oil seal spacer.
5A4-62 ANTI-LOCK BRAKE SYSTEM (ABS)

Inspection and Repair 4. Install a cotter pin through the nut and knuckle and
1. Check the speed sensor rotor for damage bend it over.
including tooth chipping, and if damaged, replace • If the notch in the nut does not line up with the
the speed sensor rotor. cotter pin hole in the knuckle, tighten the nut
until it does. Do not loosen the nut to line up a
notch and the knuckle hole.
Installation 5. Apply grease into the hub cap and install it.
1. Using a bench press, install speed sensor rotor. • 0.4N (40g/0.09lbf)
2. Install spacer onto the knuckle spindle. 6. Install the disc brake assembly and tighten two
3. Apply grease into the outer and inner bearings and bolts to the specified torque.
install bearings in the hub. • Torque: 221 N⋅⋅m (22.5kgf⋅⋅m/163lb⋅⋅ft)
4. Install oil seal into hub and disc assembly and
install hub and disc assembly on to the knuckle
spindle.

Preload Adjustment
Adjust the wheel bearing as follows:
1. Tighten the nut until you are unable to manually
rotate the hub and disc assembly.
2. Loosen the nut.
3. Attach a spring balancer to one stud. Gradually
retighten the nut until the hub and disc assembly
bearing is adjusted to the specified preload.

• Hub bearing preload


New Hub Bearing 9.8-24.5N (1-2.5kgf/2.2-5.5lbf)
Reused Hub Bearing 4.9-19.6N (0.5-2kgf/1.1-
4.4lbf)
ANTI-LOCK BRAKE SYSTEM (ABS) 5A4-63

Rear Speed Sensor


Rear Speed Sensor and Associated Parts

Legend
(1) Brake Drum (3) Speed Sensor
(2) Speed Sensor Fixing Bolt (4) Speed Sensor Bracket
5A4-64 ANTI-LOCK BRAKE SYSTEM (ABS)

Removal Inspection and Repair


1. Check the speed sensor for presence of foreign
materials; remove any dirt, etc.
2. Check the speed sensor for damage, and replace
the speed sensor if necessary.
3. Check the speed sensor harness for a short or an
open, and replace with a new one if necessary. To
check for harness short or open, bend or stretch
the cable while checking for continuity.

Installation
1. Install speed sensor bracket and tighten the nut to
the specified torque.
Torque:
GVW Range 12,000 lbs. and 14,500 lbs. model
108 N⋅⋅m (11kgf⋅⋅m/80lb⋅⋅ft)
GVW Range 17,950 lbs. model
157 N⋅⋅m (16kgf⋅⋅m/116lb⋅⋅ft)
2. Install the speed sensor and take care not to hit
Legend the speed sensor during installation.
(1) Speed Sensor Connector 3. Install the speed sensor fixing bolt and tighten it to
the specified torque.
(2) Front
Torque: 18 N⋅⋅m (1.8kgf⋅⋅m/13lb⋅⋅ft)
(3) Speed Sensor
4. Install brake drum and tighten bolts to the specified
(4) Rear Axle torque.
Torque: 13 N⋅⋅m (1.3kgf⋅⋅m/9.5lb⋅⋅ft)
1. Disconnect speed sensor connector. 5. Connect speed sensor connector.
2. Remove brake drum. NOTE: Confirm that the harness is not twisted when
3. Remove speed sensor fixing bolt. connecting the speed sensor connector.
4. Remove speed sensor.
5. Remove speed sensor bracket.
ANTI-LOCK BRAKE SYSTEM (ABS) 5A4-65

Rear Speed Sensor Rotor


Rear Speed Sensor Rotor and Associated Parts

Legend
(1) Brake Drum (6) Outer Bearing
(2) Axle Shaft (7) Rear Hub
(3) Outer Oil Seal (8) Speed Sensor Rotor
(4) Lock Washer (9) Inner Bearing
(5) Bearing Nut (10) Inner Oil Seal

Removal Inspection and Repair


1. Remove brake drum. 1. Check the speed sensor rotor for damage
2. Remove axle shaft. including tooth chipping. If damaged, replace
3. Remove outer oil seal, using a screwdriver. speed sensor rotor.
4. Remove lock washer.
5. Remove bearing nut with a hub bearing nut
Installation
wrench. 1. Using a bench press, install speed sensor rotor.
6. Remove hub assembly from axle case. NOTE: Do not reuse the sensor rotor.
2. Install spacer on to the axle case.
7. Remove outer bearing from hub assembly.
3. Apply grease into the outer and inner bearings and
8. Remove speed sensor rotor from hub assembly.
install bearings in the hub.
9. Remove inner bearing and inner oil seal from axle
4. Install outer oil seal into hub.
case.
5A4-66 ANTI-LOCK BRAKE SYSTEM (ABS)

5. Install hub assembly onto the axle case. 6) Rotate the hub several times to the right and
left.
7) Measure the bearing preload a second time.

6. Set the lock nut with the notched line facing out.
Preload Adjustment
1) Turn the hub to the left and right several times 8) Align the axle case groove with the closest
to establish bearing conformity. bearing nut slit.
2) Use the bearing nut wrench to tighten the NOTE: If it is difficult to align the axle case and bearing
bearing nut until the hub can not be manually nut, slightly tighten the bearing nut.
rotated. 7. Install the lock washer with the lock washer tabs
3) Loosen the bearing nut until hub rotates easily. inserted to the axle case grooves.
Install the lock bolts to prevent the bearing nut
from loosening.
Check that the lock washer tabs are inserted to the
axle case grooves.
8. Apply grease to the outer oil seal lip inner and
outer circumferences and install outer oil seal.
9. Clean the axle shaft.
Apply gear oil to the axle shaft spline.
Insert the axle shaft into the axle case.
Take care not to damage the oil seal.
10. Tighten the axle shaft nuts to the specified torque
a little at a time.
Torque: 46 N⋅⋅m (4.7kgf⋅⋅m/34lb⋅⋅ft)
11. Install brake drum.

4) Set the spring balancer to the wheel pin in the


position shown in the illustration.
5) Measure the hub bearing preload by carefully
pulling on the spring balancer and noting the
indicator reading.
Hub Bearing Preload (At Wheel Pin)
42-52 N (4.3-5.3kgf/9.4-11.6lbf)
ANTI-LOCK BRAKE SYSTEM (ABS) 5A4-67

Special Tools
ILLUSTRATION TOOL NO. TOOL NAME

5-8840-0385-0
(J-35616)
Connector test adapter kit

5-8840-0285-0
(J-39200)
High impedance multimeter

(1) PCMCIA Card


(2) RS232 Loop Back
Connector
(3) SAE 16/19 Adapter
(4) DLC Cable
(5) Tech 2
LGBRK-WE-0101

You are requested to order this manual using the


manual number that is shown above.

This manual is applicable for vehicles in all countries


except the USA and Canada.

All rights reserved. This manual may not be


reproduced in whole or in part, without the permission
in writing of ISUZU MOTORS LIMITED.

Issued by
ISUZU MOTORS LIMITED
INTERNATIONAL SERVICE DEPARTMENT

Tokyo, Japan

First edition Jan., 2001


LGBRK-WE-0101 PRINTED IN JAPAN
WORKSHOP MANUAL
NHR • NKR • NPR

ENGINE
4H SERIES

SECTION 6
MEMO
.......................................................................................................................................................................................

.......................................................................................................................................................................................

.......................................................................................................................................................................................

.......................................................................................................................................................................................

.......................................................................................................................................................................................

.......................................................................................................................................................................................

.......................................................................................................................................................................................

.......................................................................................................................................................................................

.......................................................................................................................................................................................

.......................................................................................................................................................................................

.......................................................................................................................................................................................

.......................................................................................................................................................................................

.......................................................................................................................................................................................

.......................................................................................................................................................................................

.......................................................................................................................................................................................

.......................................................................................................................................................................................

.......................................................................................................................................................................................

.......................................................................................................................................................................................

.......................................................................................................................................................................................

.......................................................................................................................................................................................

.......................................................................................................................................................................................

.......................................................................................................................................................................................

.......................................................................................................................................................................................

.......................................................................................................................................................................................

.......................................................................................................................................................................................

.......................................................................................................................................................................................

.......................................................................................................................................................................................

.......................................................................................................................................................................................

.......................................................................................................................................................................................

.......................................................................................................................................................................................

.......................................................................................................................................................................................
NOTICE

Before using this Workshop Manual to assist you in performing


vehicle service and maintenance operations, it is recommended
that you carefully read and thoroughly understand the
information contained in Section 0A under the headings
“GENERAL REPAIR INSTRUCTIONS” and “HOW TO USE THIS
MANUAL”.

All material contained in this Manual is based on latest product


information available at the time of publication.
All rights are reserved to make changes at any time without prior
notice.

Applicable Model :

N Series
NKR66 NPS66 NQR71
NPR66 NPS71
NPR70 NQR66
NPR71 NQR70

This manual is applicable to 1996 year model and later vehicles


except those sold in the United States of America, and Canada.
THIS MANUAL INCLUDES THE FOLLOWING SECTIONS:

SECTION NO. CONTENTS

00 Service Information

6A Engine Mechanical

6A3 Engine (4HF1/4HF1-2/4HE1-T/4HE1-TC/4HG1/4HG1-T)

6B Engine Cooling

6C Fuel System

6D Engine Electrical

6E Emission and Electrical Diagnosis

6F Exhaust

6G Turbocharger
HOME
6(59,&( ,1)250$7,21  ¤ 

6(&7,21
6(59,&(,1)250$7,21

&217(176
3$*(
7URXEOHVKRRWLQJ  
0DLQ'DWDDQG6SHFLILFDWLRQV   
6HUYLFH6WDQGDUG   
6HUYLFLQJ  
)L[LQJ7RUTXH   
6SHFLDO7RROV  
/XEULFDWLQJ6\VWHP  
 ¤  6(59,&( ,1)250$7,21

7528%/(6+227,1*

&217(176
3$*(
+DUG6WDUWLQJ   
6WDUWHU0RWRU,QRSHUDWLYH   
6WDUWHU0RWRU2SHUDWHVEXW(QJLQHGRHVQRWWXUQRYHU  
(QJLQHWXUQVRYHUEXWGRHVQRWVWDUW   
)XHOLVQRWEHLQJGHOLYHUHGWRWKHLQMHFWLRQSXPS   
)XHOLVEHLQJGHOLYHUHGWRWKHLQMHFWLRQSXPS   
4XLFNRQ6WDUW6\VWHP   
8QVWDEOH,GOLQJ   
,QVXIILFLHQW3RZHU  
([FHVVLYH)XHO&RQVXPSWLRQ   
([FHVVLYH2LO&RQVXPSWLRQ  
2YHUKHDWLQJ  
:KLWH([KDXVW6PRNH   
'DUN([KDXVW6PRNH   
2LO3UHVVXUH'RHV1RW5LVH   
$EQRUPDO(QJLQH1RLVH   
(QJLQH.QRFNLQJ   
*DV/HDNDJH1RLVH  
&RQWLQXRV1RLVH   
6ODSSLQJ1RLVH  
(QJLQH&RROLQJ7URXEOH   
6WDUWHU0RWRU'RHV1RW6WRS  
6(59,&( ,1)250$7,21  ¤ 

 +$5'67$57,1*
 67$57(502725,123(5$7,9(
&KHFNSRLQW 3RVVLEOHFDXVH &RUUHFWLRQ
%DWWHU\ /RRVH EDWWHU\ FDEOH WHUPLQDO &OHDQ DQGRU UHWLJKWHQ WKH EDWWHU\

3RRU FRQQHFWLRQV GXH WR UXVWLQJ FDEOH WHUPLQDO

%DWWHU\ GLVFKDUJHG RU ZHDN 5HFKDUJH RU UHSODFH WKH EDWWHU\

)DQ EHOW ORRVH RU EURNHQ $GMXVW RU UHSODFH WKH IDQ EHOW

)XVLEOH OLQN )XVLEOH OLQN VKRUWHG 5HSODFH WKH IXVLEOH OLQN

6WDUWHU VZLWFK 'HIHFWLYH VWDUWHU VZLWFK RU VWDUWHU UHOD\ 5HSODFH WKH VWDUWHU VZLWFK RU WKH

VWDUWHU UHOD\

6WDUWHU PRWRU 'HIHFWLYH PDJQHWLF VZLWFK RU VWDUWHU UHOD\ 5HSDLU RU UHSODFH WKH PDJQHWLF VZLWFK

'HIHFWLYH VWDUWHU PRWRU 5HSDLU RU UHSODFH WKH VWDUWHU PRWRU

 67$57(50272523(5$7(6%87(1*,1('2(6127785129(5
%DWWHU\ /RRVH EDWWHU\ FDEOH WHUPLQDO &OHDQ DQGRU UHWLJKWHQ WKH EDWWHU\

3RRU FRQQHFWLRQV GXH WR UXVWLQJ FDEOH WHUPLQDO

%DWWHU\ GLVFKDUJHG RU ZHDN 5HFKDUJH RU UHSODFH WKH EDWWHU\

)DQ EHOW ORRVH RU EURNHQ $GMXVW RU UHSODFH WKH IDQ EHOW

6WDUWHU PRWRU 'HIHFWLYH SLQLRQ JHDU 5HSODFH WKH SLQLRQ JHDU

'HIHFWLYH PDJQHWLF VZLWFK 5HSDLU RU UHSODFH WKH PDJQHWLF VZLWFK

%UXVK ZHDU :HDN EUXVK VSULQJ 5HSODFH WKH EUXVK DQGRU WKH EUXVK

VSULQJ

(QJLQH 3LVWRQ FUDQN EHDULQJ VHL]XUH RU RWKHU 5HSDLU RU UHSODFH WKH UHODWHG SDUWV

GDPDJH
 ¤  6(59,&( ,1)250$7,21

 (1*,1(7851629(5%87'2(612767$57
&KHFNSRLQW 3RVVLEOHFDXVH &RUUHFWLRQ
(QJLQH VWRS 'HIHFWLYH IXHO FXW VROHQRLG YDOYH 5HSODFH WKH IXHO FXW VROHQRLG YDOYH

PHFKDQLVP

)8(/,6127%(,1*'(/,9(5('727+(,1-(&7,213803
)XHO )XHO WDQN LV HPSW\ )LOO WKH IXHO WDQN

)XHO SLSLQJ &ORJJHG RU GDPDJHG IXHO OLQHV /RRVH IXHO 5HSDLU RU UHSODFH WKH IXHO OLQHV

OLQH FRQQHFWLRQ 5HWLJKWHQ WKH IXHO OLQH FRQQHFWLRQ

)XHO ILOWHU )XHO ILOWHU RYHUIORZ YDOYH GRHV QRW FORVH 5HSDLU RU UHSODFH WKH IXHO ILOWHU

RYHUIORZ YDOYH

&ORJJHG IXHO ILOWHU HOHPHQW 5HSODFH WKH IXHO ILOWHU HOHPHQW RU WKH

ILOWHU FDUWULGJH

)XHO V\VWHP $LU LQ WKH IXHO V\VWHP %OHHG WKH DLU IURP WKH IXHO V\VWHP

)XHO IHHG SXPS 'HIHFWLYH IHHG SXPS 5HSDLU RU UHSODFH WKH IHHG SXPS

)8(/,6%(,1*'(/,9(5('727+(,1-(&7,213803
)XHO 8VH RI WKH ZURQJ IXHO 8VH WKH FRUUHFW IXHO

:DWHU SDUWLFOHV LQ WKH IXHO &KDUJH WKH IXHO

)XHO V\VWHP $LU LQ WKH LQMHFWLRQ SXPS %OHHG WKH DLU IURP WKH IXHO V\VWHP

,QMHFWLRQ QR]]OH ,QMHFWLRQ QR]]OH VWLFNLQJ 5HSODFH WKH LQMHFWLRQ QR]]OH

,QMHFWLRQ QR]]OH LQMHFWLRQ VWDUWLQJ SUHVVXUH $GMXVW RU UHSODFH WKH LQMHFWLRQ QR]]OH

WRR ORZ

,PSURSHU VSUD\ FRQGLWLRQ

,QMHFWLRQ SXPS 'HIHFWLYH IXHO LQMHFWLRQ QR]]OH UHVXOWLQJ LQ WKH 5HSODFH WKH GHOLYHU\ YDOYH

IXHO GULSSDJH DIWHU IXHO LQMHFWLRQ

'HIHFWLYH LQMHFWLRQ SXPS FRQWURO UDFN 5HSDLU RU UHSODFH WKH LQMHFWLRQ SXPS

RSHUDWLRQ FRQWURO UDFN

,QMHFWLRQ SXPS SOXQJHU ZRUQ RU VWXFN 5HSODFH WKH LQMHFWLRQ SXPS SOXQJHU

DVVHPEO\

,QMHFWLRQ SXPS GULYH VKDIW VHL]XUH RU RWKHU 5HSODFH WKH LQMHFWLRQ GULYH VKDIW

GDPDJH

,QMHFWLRQ SXPS JRYHUQRU VSULQJ VHL]XUH 5HSODFH WKH LQMHFWLRQ SXPS JRYHUQRU

VSULQJ
6(59,&( ,1)250$7,21  ¤ 

 48,&.2167$576<67(0
&KHFNSRLQW 3RVVLEOHFDXVH &RUUHFWLRQ
*ORZ SOXJ LQGLFDWRU  'HIHFWLYH )XVLEOH OLQN ZLUH 5HSODFH WKH IXVLEOH OLQN ZLUH
OLJKW GRHV QRW WXUQ RQ  %URNHQ LQGLFDWRU OLJKW IXVH 5HSODFH WKH LQGLFDWRU OLJKW IXVH
 'HIHFWLYH LQGLFDWRU EXOE 5HSODFH WKH LQGLFDWRU OLJKW EXOE

3UHKHDWLQJ V\VWHP  'HIHFWLYH IXVLEOH OLQN ZLUH VKRUWHG 5HSODFH WKH IXVLEOH OLQN ZLUH
GRVH QRW ZRUN  'HIHFWLYH JORZ SOXJ UHOD\ FRQQHFWRU 5HSODFH RU 5HSDLU JORZ SOXJ UHOD\
FRQQHFWRU
 'HIHFWLYH JORZ SOXJ FRQQHFWRU 5HSODFH RU 5HSDLU JORZ SOXJ
FRQQHFWRU
 'HIHFWLYH TXLFNRQ VWDUW WLPHU FRQQHFWRU 5HSODFH RU 5HSDLU TXLFNRQ VWDUW WLPHU
FRQQHFWRU

3UHKHDWLQJ WLPH WR  'HIHFWLYH WKHUPR VZLWFK LQFOXGH 5HSODFH WKHUPR VZLWFK


ORQJ RU WR VKRUW GHIHFWLYH ZLULQJ KDUQHVV
 'HIHFWLYH JORZ SOXJ 5HSODFH JORZ SOXJ
 'HIHFWLYH WLPHU XQLW 5HSODFH WLPHU XQLW
 ¤  6(59,&( ,1)250$7,21

&KHFN LI EDWWHU\ LV QRUPDO WKHQ SHUIRUP WKH IROORZLQJ GLDJQRVLV

67$57(5 '2(6 127 581

&+(&. %$77(5<

&+$5*,1* )$,/85( 25 /,)( %$77(5< ,6 1250$/

&+(&. %$77(5<

&+(&. 7(50,1$/ &211(&7,21

&211(&7,21 )$,/85( 7(50,1$/ &211(&7,21 ,6 1250$/

&/($1 %$77(5< 7(50,1$/6 $1' 5(&211(&7 &+(&. 67$57(5 25 67$57(5 6:,7&+

)$,/85(

5(3$,5 25 5(3/$&(

7851 21 +($' /$03 $1' 67$57(5 6:,7&+

+($' /$03 '2(6 127 &20( 21 +($' /$03 ,//80,1$7(6


25 ,7 ,6 (;75(0(/< '$5.

D ',6&211(&7 67$57(5 &,5&8,7


D /$&. 2) %$77(5< &+$5*,1* E ',6&211(&7 67$57(5 &2,/
E 6+257&,5&8,7 ,1 67$57(5 &2,/ F )$8/7< 67$57(5 6:,7&+
F )$8/7< 67$57(5 3$576
6(59,&( ,1)250$7,21  ¤ 

)$8/7< 0(6+,1* 2) 3,1,21 $1' 5,1* *($5

&+(&. ,) %$77(5< 92/7$*( ,6 35(6(17 $7


0$*1(7,& 6:,7&+ 7(50,1$/ ¦6§ :+(1
67$57(5 6:,7&+ ,6 7851(' 72 ¦67$57 67 §

<(6 12

25

81'(5 7+,6 &21',7,21 &+(&. ,) 92/7$*(


2) &211(&725 %: 21 0$*1(7,& 6:,7&+
2) 5(67$57 5(/$< ,6 1250$/
(;75(0( :($5 2) 67$57(5 6/,',1*
3,1,21 $1' 5,1* 5(6,67$1&( ,6
*($5 /$5*(

<(6 12
5(3$,5 25 5(3/$&( 5(3$,5 25 5(3/$&(
67$57(5 5(3/$&( 67$57(5
5,1* *($5

',6&211(&7,21 25 &+(&. ,) 92/7$*( ,6


)$8/7< &211(&7,21 35(6(17 $7 :,5,1*
%(7:((1 67$57(5 &211(&725 %: 21
6:,7&+ $1' 0$*1(7,& 67$57(5 6:,7&+ 2)
6:,7&+ 5(67$57 5(/$<

5(3$,5

<(6 12

)$8/7< &211(&7,21 2) ',6&211(&7,21 25


67$57(5 6:,7&+ )$8/7< &211(&7,21
%(7:((1 67$57(5
6:,7&+ $1' %$77(5<

5(3/$&( 67$57(5
6:,7&+
5(3$,5
 ¤  6(59,&( ,1)250$7,21

0$*1(7,& 6:,7&+ '2(6 127 23(5$7( 7+28*+


67$57(5 6:,7&+ ,6 7851(' 72 ¦67$57 67 §

&+(&. ,) 92/7$*( ,6 35(6(17 $7 0$*1(7,&


6:,7&+ 7(50,1$/ ¦6§ :+(1 67$57(5 6:,7&+ ,6
7851(' 72 ¦67$57 67 §

<(6
<(6 12

&+(&. *5281' &$%/( &+(&. ,) ,1',&$725 /$03 21


0(7(5 &20(6 21 1250$//<

<(6 12
<(6 12

5(3$,5

&+(&. &217,18,7< ',6&211(&7,21 25


67$57(5 6:,7&+ $1' )$8/7< &211(&7,21
0$*1(7,& 6:,7&+ %(7:((1 %$77(5<
25
7(50,1$/ ¦6§ $1' 67$57(5 6:,7&+

3,1,21 0$*1(7,& 6:,7&+


6/,',1* 25 &2,/ ,6
3$57 '2(6 ',6&211(&7(' 25
5(3$,5
127 029( %851(' 287

&+(&. 67$57(5 )$8/7< &211(&7,21


5(/$< 25 67$57(5 6:,7&+

&+(&. &/87&+ 5(3/$&( 67$57(5


5(3$,5 25 5(3/$&( 67$57(5
67$57 6:,7&+ 6:,7&+
6(59,&( ,1)250$7,21  ¤ 

3,1,21 0(6+(6 :,7+ 5,1* *($5 %87


(1*,1( '2(6 127 581

&+(&. *5281' &$%/(

<(6 12

5(3$,5 25 5(3/$&(
*5281' &$%/(

)$8/7< &211(&7,21 %851('287 ',6&211(&7,21 ',6&211(&7,21 6/,3 2)


2) %586+ $1' 0$*1(7,& 25 '$0$*( 2) 25 '$0$*( 2) 3,1,21
&20087$725 67$57(5 6:,7&+ ),(/' &2,/ $50$785( &2,/ &/87&+

5(3$,5 25 5(3/$&( 67$57(5


 ¤  6(59,&( ,1)250$7,21

8167$%/(,'/,1*
&KHFNSRLQW 3RVVLEOHFDXVH &RUUHFWLRQ
,GOLQJ V\VWHP ,GOLQJ LPSURSHUO\ DGMXVWHG $GMXVW WKH LGOLQJ

)DVW LGOLQJ VSHHG 'HIHFWLYH IDVW LGOLQJ VSHHG FRQWURO GHYLFH 5HSDLU RU UHSODFH WKH IDVW LGOLQJ VSHHG
FRQWURO GHYLFH FRQWURO GHYLFH

$FFHOHUDWRU FRQWURO $FFHOHUDWRU FRQWURO V\VWHP LPSURSHUO\ $GMXVW WKH DFFHOHUDWRU FRQWURO V\VWHP
V\VWHP DGMXVWHG

)XHO V\VWHP )XHO V\VWHP OHDNDJH RU EORFNDJH 5HSDLU RU UHSODFH WKH IXHO V\VWHP

$LU LQ WKH IXHO V\VWHP %OHHG WKH DLU IURP WKH IXHO V\VWHP

:DWHU SDUWLFOHV LQ WKH IXHO V\VWHP &KDQJH WKH IXHO

)XHO ILOWHU &ORJJHG IXHO ILOWHU HOHPHQW 5HSODFH WKH IXHO ILOWHU HOHPHQW RU WKH
IXHO ILOWHU FDUWULGJH

)XHO IHHG SXPS 'HIHFWLYH IXHO IHHG SXPS 5HSDLU RU UHSODFH WKH IXHO IHHG SXPS

,QMHFWLRQ QR]]OH ,QMHFWLRQ QR]]OH VWLFNLQJ 5HSODFH WKH LQMHFWLRQ QR]]OH

,QMHFWLRQ QR]]OH LQMHFWLRQ VWDUWLQJ SUHVVXUH $GMXVW RU UHSODFH WKH LQMHFWLRQ QR]]OH
WRR ORZ
,PSURSHU VSUD\ FRQGLWLRQ

,QMHFWLRQ SXPS 'HIHFWLYH GHOLYHU\ YDOYH UHVXOWLQJ LQ IXHO 5HSODFH WKH GHOLYHU\ YDOYH
GULSSDJH DIWHU IXHO LQMHFWLRQ

,QMHFWLRQ SXPS ,QMHFWLRQ WLPLQJ LPSURSHUO\ DGMXVWHG $GMXVW WKH LQMHFWLRQ WLPLQJ
&RQW©G
,QVXIILFLHQW LQMHFWLRQ YROXPH $GMXVW WKH LQMHFWLRQ YROXPH

'HIHFWLYH LGOH VSULQJ 5HSODFH WKH LGOH VSULQJ

'HIHFWLYH JRYHUQRU OHYHU RSHUDWLRQ 5HSDLU RU UHSODFH WKH JRYHUQRU OHYHU

5HJXODWRU YDOYH LPSURSHUO\ DGMXVWPHQW $GMXVW RU UHSODFH WKH UHJXODWRU YDOYH

%URNHQ SOXQJHU VSULQJ 5HSODFH WKH SOXQJHU VSULQJ

:RUQ SOXQJHU 5HSODFH WKH SOXQJHU DVVHPEO\

:RUQ FDP GLVF 5HSODFH WKH FDP GLVF

9DOYH FOHDUDQFH 9DOYH FOHDUDQFH LPSURSHUO\ DGMXVWHG $GMXVW WKH YDOYH FOHDUDQFH

&RPSUHVVLRQ SUHVVXUH %ORZQ RXW F\OLQGHU KHDG JDVNHW 5HSODFH WKH UHODWHG SDUWV
:RUQ F\OLQGHU OLQHU
3LVWRQ ULQJ VWLFNLQJ EHWZHHQ WKH YDOYH DQG
WKH YDOYH VHDW
6(59,&( ,1)250$7,21  ¤ 

,168)),&,(1732:(5
&KHFNSRLQW 3RVVLEOHFDXVH &RUUHFWLRQ
$LU FOHDQHU &ORJJHG DLU FOHDQHU HOHPHQW &OHDQ RU UHSODFH WKH DLU FOHDQHU
HOHPHQW
)XHO :DWHU SDUWLFOH LQ WKH IXHO 5HSODFH IXHO
)XHO ILOWHU &ORJJHG IXHO ILOWHU HOHPHQW 5HSODFH WKH IXHO ILOWHU HOHPHQW RU WKH
IXHO ILOWHU FDUWULGJH
)XHO IHHG SXPS 'HIHFWLYH IXHO IHHG SXPS 5HSDLU RU UHSODFH WKH IXHO IHHG SXPS
,QMHFWLRQ QR]]OH ,QMHFWLRQ QR]]OH VWLFNLQJ 5HSODFH WKH LQMHFWLRQ QR]]OH
,QMHFWLRQ QR]]OH LQMHFWLRQ VWDUWLQJ SUHVVXUH $GMXVW RU UHSODFH WKH LQMHFWLRQ QR]]OH
WRR ORZ
,PSURSHU VSUD\ FRQGLWLRQ
)XHO LQMHFWLRQ SLSHV )XHO LQMHFWLRQ SLSHV GDPDJHG RU REVWUXFWHG 5HSODFH WKH IXHO LQMHFWLRQ SLSHV
,QMHFWLRQ SXPS 'HIHFWLYH UHJXODWLQJ YDOYH 5HSDLU RU UHSODFH WKH UHJXODWLQJ YDOYH
'HIHFWLYH GHOLYHU\ YDOYH 5HSODFH WKH GHOLYHU\ YDOYH
'HIHFWLYH WLPHU 5HSDLU RU UHSODFH WKH WLPHU
:RUQ FDP GLVN 5HSODFH WKH FDP GLVN
,PSURSHU FRQWURO OHYHU RSHUDWLRQ $GMXVW RU UHSODFH WKH FRQWURO OHYHU
'HIHFWLYH LQMHFWLRQ WLPLQJ $GMXVW WKH LQMHFWLRQ WLPLQJ
5HSDLU RU UHSODFH WKH LQMHFWLRQ SXPS
WLPHU
:HDN JRYHUQRU VSULQJ 5HSODFH WKH JRYHUQRU VSULQJ
:RUQ SOXQJHU 5HSODFH WKH SOXQJHU DVVHPEO\
&RPSUHVVLRQ SUHVVXUH %ORZQ RXW F\OLQGHU KHDG JDVNHW 5HSODFH WKH UHODWHG SDUWV
:RUQ F\OLQGHU OLQHU
3LVWRQ ULQJ VWLFNLQJ
9DOYH FOHDUDQFH 9DOYH FOHDUDQFH LPSURSHUO\ DGMXVWHG $GMXVW WKH YDOYH FOHDUDQFH
9DOYH VSULQJ 9DOYH VSULQJ ZHDN RU EURNHQ 5HSODFH WKH YDOYH VSULQJ
([KDXVW V\VWHP ([KDXVW SLSH FORJJHG &OHDQ WKH H[KDXVW SLSH
)XOO ORDG DGMXVWLQJ 2SHQ DQG LPSURSHUO\ VHW DGMXVWLQJ VFUHZ $GMXVW DQG UHVHDO WKH DGMXVWLQJ VFUHZ
VFUHZ VHDO VHDO
 ¤  6(59,&( ,1)250$7,21

(;&(66,9()8(/&2168037,21
&KHFNSRLQW 3RVVLEOHFDXVH &RUUHFWLRQ
)XHO V\VWHP )XHO OHDNDJH 5HSDLU RU UHSODFH WKH IXHO V\VWHP

UHODWHG SDUWV

$LU FOHDQHU &ORJJHG DLU FOHDQHU HOHPHQW &OHDQ RU UHSODFH WKH DLU FOHDQHU

HOHPHQW

,GOLQJ VSHHG 3RRUO\ DGMXVWHG LGOLQJ VSHHG $GMXVW WKH LGOLQJ VSHHG

,QMHFWLRQ QR]]OH ,QMHFWLRQ QR]]OH LQMHFWLRQ VWDUWLQJ SUHVVXUH $GMXVW RU UHSODFH WKH LQMHFWLRQ QR]]OH

WRR ORZ

,PSURSHU VSUD\ FRQGLWLRQ

)XHO LQMHFWLRQ WLPLQJ )XHO LQMHFWLRQ WLPLQJ LPSURSHUO\ $GMXVW WKH IXHO LQMHFWLRQ WLPLQJ

,QMHFWLRQ SXPS 'HIHFWLYH GHOLYHU\ YDOYH UHVXOWLQJ LV IXHO 5HSODFH WKH GHOLYHU\ YDOYH

GULSSDJH DIWHU IXHO LQMHFWLRQ

9DOYH FOHDUDQFH 9DOYH FOHDUDQFH LPSURSHUO\ DGMXVWHG $GMXVW WKH YDOYH FOHDUDQFH

&RPSUHVVLRQ SUHVVXUH %ORZQ RXW F\OLQGHU KHDG JDVNHW 5HSODFH WKH UHODWHG SDUWV

:RUQ F\OLQGHU OLQHU

3LVWRQ ULQJ VWLFNLQJ

9DOYH VSULQJ 9DOYH VSULQJ ZHDN RU EURNHQ 5HSODFH WKH YDOYH VSULQJ

(;&(66,9(2,/&2168037,21
&KHFNSRLQW 3RVVLEOHFDXVH &RUUHFWLRQ
(QJLQH RLO (QJLQH RLO XQVXLWDEOH 5HSODFH WKH HQJLQH RLO

7RR PXFK HQJLQH RLO &RUUHFW WKH HQJLQH RLO OHYHO

2LO VHDO DQG JDVNHW 2LO OHDNDJH IURP WKH RLOVHDO DQGRU WKH JDVNHW 5HSODFH WKH RLO VHDO DQGRU WKH JDVNHW

$LU EUHDWKHU &ORJJHG DLU EUHDWKHU &OHDQ WKH DLU EUHDWKHU

,QWDNH DQG H[KDXVW :RUQ YDOYH VWHPV DQG YDOYH JXLGHV 5HSODFH WKH LQWDNH DQG H[KDXVW

YDOYH YDOYHV DQG WKH YDOYH JXLGHV


6(59,&( ,1)250$7,21  ¤ 

29(5+($7,1*
&KHFNSRLQW 3RVVLEOHFDXVH &RUUHFWLRQ
&RROLQJ ZDWHU ,QVXIILFLHQW FRROLQJ ZDWHU 5HSOHQLVK WKH FRROLQJ ZDWHU

)DQ FOXWFK 2LO OHDNDJH IURP WKH IDQ FOXWFK 5HSODFH WKH IDQ FOXWFK

)DQ EHOW )DQ EHOW ORRVH RU FUDFNHG FDXVLQJ VOLSSDJH 5HSODFH WKH IDQ EHOW

5DGLDWRU 'HIHFWLYH UDGLDWRU FDS RU FORJJHG UDGLDWRU 5HSODFH WKH UDGLDWRU FDS RU FOHDQ WKH

FRUH UDGLDWRU FRUH

:DWHU SXPS 'HIHFWLYH ZDWHU SXPS 5HSDLU RU UHSODFH WKH ZDWHU SXPS

&\OLQGHU KHDG DQG 'HIHFWLYH VHDOLQJ FDS UHVXOWLQJ LQ ZDWHU 5HSODFH WKH VHDOLQJ FDS

F\OLQGHU ERG\ VHDOLQJ OHDNDJH

FDS

7KHUPRVWDW 'HIHFWLYH WKHUPRVWDW 5HSODFH WKH WKHUPRVWDW

&RROLQJ V\VWHP &RROLQJ V\VWHP FORJJHG E\ IRUHLJQ PDWHULDO &OHDQ WKH IRUHLJQ PDWHULDO IURP WKH

FRROLQJ V\VWHP

)XHO LQMHFWLRQ WLPLQJ )XHO LQMHFWLRQ WLPLQJ LPSURSHUO\ DGMXVWHG $GMXVW WKH IXHO LQMHFWLRQ WLPLQJ

:+,7((;+$867602.(
&KHFNSRLQW 3RVVLEOHFDXVH &RUUHFWLRQ
)XHO :DWHU SDUWLFOHV LQ WKH IXHO 5HSODFH WKH IXHO

)XHO LQMHFWLRQ WLPLQJ 'HOD\HG IXHO LQMHFWLRQ WLPLQJ $GMXVW WKH IXHO LQMHFWLRQ WLPLQJ

&RPSUHVVLRQ SUHVVXUH %ORZQ RXW F\OLQGHU KHDG JDVNHW 5HSODFH WKH UHODWHG SDUWV

:RUQ F\OLQGHU OLQHU

3LVWRQ ULQJ VWLFNLQJ

,QOHW DQG H[KDXVW 'HIHFWLYH YDOYH VHDOHV 5HSODFH WKH YDOYH VHDOHV WKH YDOYHV

YDOYHV :RUQ YDOYHV VWHPV DQG YDOYH JXLGHV DQG WKH YDOYH JXLGHV

9DOYHV VHDOV
 ¤  6(59,&( ,1)250$7,21

'$5.(;+$867602.(
&KHFNSRLQW 3RVVLEOHFDXVH &RUUHFWLRQ
$LU FOHDQHU &ORJJHG DLU FOHDQHU HOHPHQW &OHDQ RU UHSODFH WKH DLU FOHDQHU
HOHPHQW

,QMHFWLRQ QR]]OH ,QMHFWLRQ QR]]OH LQMHFWLRQ VWDUWLQJ SUHVVXUH $GMXVW RU UHSODFH WKH LQMHFWLRQ QR]]OH
WRR ORZ
,PSURSHU VSUD\ FRQGLWLRQ

)XHO LQMHFWLRQ WLPLQJ )XHO LQMHFWLRQ WLPLQJ LPSURSHUO\ DGMXVWHG $GMXVW WKH IXHO LQMHFWLRQ WLPLQJ

,QMHFWLRQ SXPS 'HIHFWLYH GHOLYHU\ YDOYH UHVXOWLQJ LQ IXHO 5HSODFH WKH GHOLYHU\ YDOYH
GULSSDJH DIWHU IXHO LQMHFWLRQ

([FHVVLYH LQMHFWLRQ YROXPH $GMXVW WKH LQMHFWLRQ YROXPH

2,/35(6685('2(61275,6(
&KHFNSRLQW 3RVVLEOHFDXVH &RUUHFWLRQ
(QJLQH RLO ,PSURSHU YLVFRVLW\ HQJLQH RLO 5HSODFH WKH HQJLQH RLO
,QVXIILFLHQW HQJLQH RLO &RUUHFW WKH HQJLQH RLO YROXPH

2LO SUHVVXUH JDXJH RU 'HIHFWLYH RLO SUHVVXUH JDXJH RU XQLW 5HSDLU RU UHSODFH WKH RLO SUHVVXUH
XQLW 'HIHFWLYH LQGLFDWRU OLJKW JDXJH RU XQLW
2LO SUHVVXUH LQGLFDWRU 5HSODFH WKH LQGLFDWRU OLJKW
OLJKW

2LO ILOWHU &ORJJHG RLO ILOWHU HOHPHQW 5HSODFH WKH RLO ILOWHU HOHPHQW RU WKH RLO
ILOWHU FDUWULGJH

5HOLHI YDOYH DQG 5HOLHI YDOYH VWLFNLQJ DQGRU ZHDN E\SDVV 5HSODFH WKH UHOLHI YDOYH DQGRU WKH E\
E\SDVV YDOYH YDOYH VSULQJ SDVV YDOYH VSULQJ

2LO SXPS &ORJJHG RLO SXPS VWUDLQHU &OHDQ WKH RLO SXPS VWUDLQHU

:RUQ RLO SXPS UHODWHG SDUWV 5HSODFH WKH RLO SXPS UHODWHG SDUWV

5RFNHU DUP VKDIW :RUQ URFNHU DUP EXVKLQJ 5HSODFH WKH URFNHU DUP EXVKLQJ

&DPVKDIW :RUQ FDPVKDIW DQG FDPVKDIW EHDULQJ 5HSODFH WKH FDPVKDIW DQG WKH
FDPVKDIW EHDULQJ

&UDQNVKDIW DQG :RUQ FUDQNVKDIW DQG EHDULQJV 5HSODFH WKH FUDQNVKDIW DQGRU WKH
EHDULQJV EHDULQJV
6(59,&( ,1)250$7,21  ¤ 

$%1250$/(1*,1(12,6(
 (1*,1(.12&.,1*
&KHFN WR VHH WKDW WKH HQJLQH KDV EHHQ WKRURXJKO\ ZDUPHG XS EHIRUH EHJLQQLQJ WKH WURXEOHVKRRWLQJ SURFHGXUH

&KHFNSRLQW 3RVVLEOHFDXVH &RUUHFWLRQ


)XHO )XHO XQVXLWDEOH 5HSODFH WKH IXHO

)XHO LQMHFWLRQ WLPLQJ )XHO LQMHFWLRQ WLPLQJ LPSURSHUO\ DGMXVWHG $GMXVW WKH IXHO LQMHFWLRQ WLPLQJ

,QMHFWLRQ QR]]OH ,PSURSHU LQMHFWLRQ QR]]OH VWDUWLQJ SUHVVXUH $GMXVW RU UHSODFH WKH LQMHFWLRQ QR]]OH

DQG VSUD\ FRQGLWLRQ

&RPSUHVVLRQ SUHVVXUH %ORZQ RXW KHDG JDVNHW %URNHQ SLVWRQ ULQJ

5HSODFH WKH KHDG JDVNHW RU WKH SLVWRQ

ULQJ

 *$6/($.$*(12,6(
([KDXVW SLSHV /RRVHO\ FRQQHFWHG H[KDXVW SLSHV 7LJKWHQ WKH H[KDXVW SLSH FRQQHFWLRQV

%URNHQ H[KDXVW SLSHV 5HSODFH WKH H[KDXVW SLSHV

,QMHFWLRQ QR]]OHV /RRVH LQMHFWLRQ QR]]OHV DQG RU JORZ SOXJV 5HSODFH WKH ZDVKHUV

DQGRU JORZ SOXJV 7LJKWHQ WKH LQMHFWLRQ QR]]OHV DQGRU

WKH JORZ SOXJV

([KDXVW PDQLIROG /RRVHO\ FRQQHFWHG H[KDXVW PDQLIROG DQGRU 7LJKWHQ WKH H[KDXVW PDQLIROG

JORZ SOXJV FRQQHFWLRQV

&\OLQGHU KHDG JDVNHW 'DPDJHG F\OLQGHU KHDG JDVNHW 5HSODFH WKH F\OLQGHU KHDG JDVNHW

 &217,1828612,6(
)DQ EHOW /RRVH IDQ EHOW 5HDGMXVW WKH IDQ EHOW WHQVLRQ

&RROLQJ IDQ /RRVH FRROLQJ IDQ 5HWLJKWHQ WKH FRROLQJ IDQ

:DWHU SXPS EHDULQJ :RUQ RU GDPDJHG ZDWHU SXPS EHDULQJ 5HSODFH WKH ZDWHU SXPS EHDULQJ

$OWHUQDWRU RU YDFXXP 'HIHFWLYH DOWHUQDWRU RU YDFXXP SXPS 5HSDLU RU UHSODFH WKH DOWHUQDWRU RU WKH

SXPS YDFXXP SXPS

9DOYH FOHDUDQFH &OHDUDQFH LPSURSHUO\ DGMXVW $GMXVW WKH YDOYH FOHDUDQFH


 ¤  6(59,&( ,1)250$7,21

 6/$33,1*12,6(
&KHFNSRLQW 3RVVLEOHFDXVH &RUUHFWLRQ
9DOYH FOHDUDQFH 9DOYH FOHDUDQFH LPSURSHUO\ DGMXVWHG $GMXVW WKH YDOYH FOHDUDQFH

5RFNHU DUP 'DPDJHG URFNHU DUP 5HSODFH WKH URFNHU DUP

)O\ZKHHO /RRVH IO\ZKHHO EROWV 5HWLJKWHQ WKH IO\ZKHHO EROWV

&UDQNVKDIW DQG WKUXVW :RUQ RU GDPDJHG FUDQNVKDIW DQGRU WKUXVW 5HSODFH WKH FUDQNVKDIW DQGRU WKH

EHDULQJV EHDULQJV WKUXVW EHDULQJV

&UDQNVKDIW DQG :RUQ RU GDPDJHG FUDQNVKDIW DQGRU 5HSODFH WKH FUDQNVKDIW DQGRU WKH

FRQQHFWLQJ URG FRQQHFWLQJ URG EHDULQJV FRQQHFWLQJ URG EHDULQJV

EHDULQJV

&RQQHFWLQJ URG :RUQ RU GDPDJHG FRQQHFWLQJ URG EXVKLQJ 5HSODFH WKH FRQQHFWLQJ URG EXVKLQJ

EXVKLQJ DQG SLVWRQ SLQ DQG SLVWRQ SLQ DQGRU WKH SLVWRQ SLQ

3LVWRQ DQG F\OLQGHU :RUQ RU GDPDJHG SLVWRQ DQG F\OLQGHU OLQHU 5HSODFH WKH SLVWRQ DQG WKH F\OLQGHU

OLQHU )RUHLJQ PDWHULDO LQ WKH F\OLQGHU OLQHU


6(59,&( ,1)250$7,21  ¤ 

(1*,1(&22/,1*7528%/(
&RQGLWLRQ 3RVVLEOHFDXVH &RUUHFWLRQ
(QJLQH RYHUKHDWLQJ /RZ FRRODQW OHYHO 5HSOHQLVK

7KHUPR XQLW IDXOW\ 5HSODFH

)DXOW\ WKHUPRVWDW 5HSODFH

)DXOW\ FRRODQW XQLW 5HSDLU RU UHSODFH

&ORJJHG UDGLDWRU &OHDQ RU UHSODFH

)DXOW\ UDGLDWRU FDS 5HSODFH

/RZ HQJLQH RLO OHYHO RU XVH RI LPSURSHU 5HSOHQLVK RU FKDQJH RLO


HQJLQH RLO 5HSOHQLVK

'DPDJHG F\OLQGHU KHDG JDVNHW 5HSODFH

&ORJJHG H[KDXVW V\VWHP &OHDQ H[KDXVW V\VWHP RU UHSODFH


IDXOW\ SDUWV

/RRVH IDQ EHOW $GMXVW

([FHVVLYH IXHO LQMHFWHG $GMXVW

,PSURSHU LQMHFWLRQ WLPLQJ $GMXVW

(QJLQH RYHUFRROLQJ )DXOW\ WKHUPRVWDW 5HSODFH

7RR ORQJ HQJLQH )DXOW\ WKHUPRVWDW 5HSODFH


ZDUPXS WLPH
7KHUPR XQLW IDXOW\ 5HSODFH
 ¤  6(59,&( ,1)250$7,21

67$57(502725'2(61276723

67$57(5 '2(6 127 6723 7+28*+ 67$57(5

6:,7&+ ,6 5(7851(' 72 ¦21§

',6&211(&7(' 67$57(5 6:,7&+ :,5,1* &211(&725 $1' &+(&. 67$57(5 6:,7&+ 23(5$7,21

&RQQHFWRU
% %
1R

7HUPLQDO
        
67$57(5 1R

6:,7&+ 7HUPLQDO
$&& % 21 67 % 3 3 : :
.(< 326,7,21 1R

2))
/2&.

$&&

21
21

67$57

7+(5( 0867 %( 12 &217,18,7< (;&(37 $%29( /,1(6

<(6 12

0$*1(7,& 6:,7&+ &217$&76 $5( 5(3/$&( 67$57(5 6:,7&+

)86(' $1' 127 029(' 25 $

5(7851 635,1* ,6 %52.(1 25

'(7(5,25$7('

5(3/$&( 0$*1(7,& 6:,7&+


6(59,&( ,1)250$7,21  ¤ 

0$,1'$7$$1'63(&,),&$7,216
0$,1'$7$$1'63(&,),&$7,216
(QJLQH 0RGHO
+) +)
,WHP

(QJLQH W\SH )RXUF\FOH RYHUKHDG FDPVKDIW ZDWHU FRROHG

&RPEXVWLRQ FKDPEHU W\SH 'LUHFW LQMHFWLRQ

&\OLQGHU OLQHU W\SH 'U\ OLQHU VSHFLDO FRPSRXQG PHWDO

7LPLQJ GULYH V\VWHP *HDU GULYH

1R RI F\OLQGHUV  %RUH [ VWURNH PP LQ    u 


   u 
1R RI SLVWRQ ULQJV &RPSUHVVLRQ ULQJV  2LO ULQJ 
 
7RWDO SLVWRQ GLVSODFHPHQW FP LQ  

&RPSUHVVLRQ UDWLR WR   



&RPSUHVVLRQ SUHVVXUH N3D NJ  FP  SVL  USP   ¤     

)XHO LQMHFWLRQ RUGHU       

)XHO LQMHFWLRQ WLPLQJ %7'& GHJ  


ƒ 7DLZDQ RQO\

6SHFLILHG IXHO W\SH 6$( 1R  GLHVHO IXHO

,GOLQJ VSHHG USP  a  07  a  07

9DOYH V\VWHP

9DOYH FOHDUDQFHV $W FROG  ,QWDNH PP LQ  

([KDXVW PP LQ  

9DOYH WLPLQJ $W YDOYH FOHDUDQFHV  PP  LQ

,QWDNH YDOYHV 2SHQ DW %7'& GHJ 

&ORVH DW $%'& GHJ 

([KDXVW YDOYHV 2SHQ DW %%'& GHJ 

&ORVH DW $7'& GHJ 

)XHO V\VWHP

,QMHFWLRQ SXPS W\SH %RVFK LQOLQH W\SH ZLWK %RVFK ¦9(§ GLVWULEXWRU
DXWRPDWLF WLPHU ZLWK DXWRPDWLF WLPHU

3OXQJHU RXWVLGH GLDPHWHU PP LQ    

3OXQJHU OLIW PP LQ    

*RYHUQRU W\SH 5/') PHFKDQLFDO +DOI DOO VSHHG JRYHUQRU


9DULDEOH VSHHG

$XWRPDWLF WLPHU W\SH 6&'0 FHQWULIXJDO +\GUDXOLF VSHHG


IO\ZHLJKW VHQVLQJ W\SH

)XHO IHHG SXPS W\SH 3LVWRQ 9DQH

,QMHFWLRQ QR]]OH W\SH

,QMHFWLRQ QR]]OH W\SH +ROH W\SH ZLWK  RULILFHV



3UHVVXUH 03D NJ  FP  SVL    

3UHVVXUH DGMXVWPHQW 6KLP DGMXVWHG

0DLQ IXHO ILOWHU W\SH 'LVSRVDO VSLQRQ FDUWULGJH DQG UHPRWH


PRXQWHG ZDWHU VHSDUDWRU
 ¤  6(59,&( ,1)250$7,21

(QJLQH 0RGHO
+) +)
,WHP

/XEULFDWLQJ V\VWHP

/XEULFDWLRQ PHWKRG )XOO IORZ SUHVVXUH FLUFXODWLRQ

6SHFLILHG HQJLQH RLO $3, JUDGH &' RU DERYH



2LO SUHVVXUH N3D NJ FP  SVL  USP     

6$( : $3, &' JUDGH

HQJLQH RLO DW ƒ& ƒ)

2LO SXPS W\SH *HDU W\SH

2LO ILOWHU W\SH 6SLQRQ FDUWULGJH

2LO FDSDFLW\ OLW 86  8. JDO    

2LO FRROHU W\SH :DWHU FRROHG

&RROLQJ V\VWHP

5DGLDWRU W\SH &RUUXJDWHG ILQ ZLWK UHVHUYH WDQN

&RRODQW FDSDFLW\ OLW 86  8. JDO    

:DWHU SXPS W\SH &HQWULIXJDO LPSHOOHU 9EHOW GULYH

3XPS WR FUDQNVKDIW VSHHG UDWLR WR      

'HOLYHU\ YROXPH OLW 86  8. JDO PLQ    

3XPS VSHHG DW  USP

:DWHU WHPSHUDWXUH DW ƒ& ƒ)

3XPS EHDULQJ W\SH 'RXEOH URZ VKDIW

7KHUPRVWDW W\SH :D[ SHOOHW

9DOYH LQLWLDO RSHQLQJ WHPSHUDWXUH :LWK MLJJOH YDOYH 3ULPDU\  ‘   

ƒ& ƒ) :LWKRXW MLJJOH YDOYH +HDWHUOHVV

3ULPDU\  ‘   

6HFRQGDU\ ‘   

9DOYH OLIW PP LQ   RU PRUH DW ƒ& ƒ)

$LU FOHDQHU W\SH 'U\ SDSHU HOHPHQW

%DWWHU\ W\SH 9ROWDPSKU '5     SFV

*HQHUDWRU

7\SH $& EUXVK ZLWK ,& UHJXODWRU DQG YDFXXP SXPS

9ROWDJH 9 

'ULYH DQG URWDWLRQ 9EHOW FORFNZLVH YLHZHG IURP WKH GULYH SXOOH\

*URXQG SRODULW\ 1HJDWLYH

0D[LPXP RXWSXW $  DW  USP  DW  USP


)RU 7KDLODQG DQG ,QGRQHVLDQ

 DW  USP  DW  USP

0D[LPXP VSHHG USP  a 


6(59,&( ,1)250$7,21  ¤ 

(QJLQH 0RGHO
+) +)
,WHP

5HJXODWRU

7\SH ,&

5HJXODWLQJ YROWDJH 9   

9DFXXP SXPS

 PP+J  SVL   N3D EXLOGXS WLPH  VHFRQGV RU OHVV DW  USP

 VHFRQGV RU OHVV DW  USP

0D[LPXP YDFXXP  PP+J  SVL   N3D

RU PRUH DW  USP

6WDUWHU PRWRU

7\SH 0DJQHWLF VROHQRLGFRQWUROOHG

0RGHO 6

5DWHG YROWDJH 9 

5DWHG RXWSXW N: 

/RDG FKDUDFWHULVWLFV

7HUPLQDO YROWDJH 9 

/RDG FXUUHQW $ 

7RUTXH 1‡P NJ‡P  OE‡IW    

DW  USP RU PRUH

3UHKHDWLQJ V\VWHP 4XLFN2Q6WDUW 6\VWHP ,,

([KDXVW V\VWHP

3LSH RXWVLGH GLDPHWHU ; WKLFNQHVV

)URQW SLSH PP LQ  [   [ 

0LGGOH SLSH PP LQ  [   [ 

5HDU SLSH PP LQ  [   [ 

6LOHQFHU &LUFXODU VHFWLRQVKHOO FRQVWUXFWLRQ RI WULSOH

7\SH VNLQ DQG HQG SODWHV LQWHUQDO FRQVWUXFWLRQ RI

EDIIOHV DQG SHUIRUDWHG WXEHV

,QVLGH GLDPHWHU PP LQ $SSUR[LPDWHO\  


 ¤  6(59,&( ,1)250$7,21

0$,1'$7$$1'63(&,),&$7,216
*(1(5$/63(&,),&$7,216
(QJLQH 0RGHO
+* +*7
,WHP

(QJLQH W\SH )RXUF\FOH RYHUKHDG FDPVKDIW ZDWHU FRROHG

&RPEXVWLRQ FKDPEHU W\SH 'LUHFW LQMHFWLRQ

&\OLQGHU OLQHU W\SH 'U\ OLQHU VSHFLDO FRPSRXQG PHWDO

7LPLQJ GULYH V\VWHP *HDU GULYH

1R RI F\OLQGHUV  %RUH u VWURNH PP LQ    u 


   u 
1R RI SLVWRQ ULQJV &RPSUHVVLRQ ULQJV  2LO ULQJ 
 
7RWDO SLVWRQ GLVSODFHPHQW FP LQ  

&RPSUHVVLRQ UDWLR WR   



&RPSUHVVLRQ SUHVVXUH N3D NJ  FP  SVL  USP    

)XHO LQMHFWLRQ RUGHU    ¤   

)XHO LQMHFWLRQ WLPLQJ %7'& GHJ   ([FHSW &RORPELD

 )RU &RORPELD

6SHFLILHG IXHO W\SH 6$( 1R  GLHVHO IXHO

,GOLQJ VSHHG USP  a  07  a  07

9DOYH V\VWHP

9DOYH FOHDUDQFHV $W FROG  ,QWDNH PP LQ  

([KDXVW PP LQ  

9DOYH WLPLQJ $W YDOYH FOHDUDQFHV  PP  LQ

,QWDNH YDOYHV 2SHQ DW %7'& GHJ 

&ORVH DW $%'& GHJ 

([KDXVW YDOYHV 2SHQ DW %%'& GHJ 

&ORVH DW $7'& GHJ 

)XHO V\VWHP

,QMHFWLRQ SXPS W\SH %RVFK LQOLQH W\SH ZLWK DXWRPDWLF WLPHU

3OXQJHU RXWVLGH GLDPHWHU PP LQ    

3OXQJHU OLIW PP LQ  

*RYHUQRU W\SH 5/') PHFKDQLFDO 9DULDEOH VSHHG

$XWRPDWLF WLPHU W\SH 6&'0 FHQWULIXJDO IO\ZHLJKW

)XHO IHHG SXPS W\SH 3LVWRQ

,QMHFWLRQ QR]]OH RSHQLQJ

,QMHFWLRQ QR]]OH W\SH +ROH W\SH ZLWK  RULILFHV



3UHVVXUH 03D NJ  FP  SVL     VW    
QG    

3UHVVXUH DGMXVWPHQW 6KLP DGMXVWHG

0DLQ IXHO ILOWHU W\SH 'LVSRVDO VSLQRQ FDUWULGJH DQG UHPRWH


PRXQWHG ZDWHU VHSDUDWRU
6(59,&( ,1)250$7,21  ¤ 

(QJLQH 0RGHO
+* +*7
,WHP

/XEULFDWLQJ V\VWHP

/XEULFDWLRQ PHWKRG )XOO IORZ SUHVVXUH FLUFXODWLRQ

6SHFLILHG HQJLQH RLO $3, JUDGH &' RU DERYH



2LO SUHVVXUH N3D NJ FP  SVL  USP     

6$( : $3, &' JUDGH

HQJLQH RLO DW ƒ& ƒ)

2LO SXPS W\SH *HDU W\SH

2LO ILOWHU W\SH 6SLQRQ FDUWULGJH

2LO FDSDFLW\ OLW 86  8. JDO    

2LO FRROHU W\SH :DWHU FRROHG

&RROLQJ V\VWHP

5DGLDWRU W\SH &RUUXJDWHG ILQ ZLWK UHVHUYH WDQN

&RRODQW FDSDFLW\ OLW 86  8. JDO    

:DWHU SXPS W\SH &HQWULIXJDO LPSHOOHU 9EHOW GULYH

3XPS WR FUDQNVKDIW VSHHG UDWLR WR      

'HOLYHU\ YROXPH OLW 86  8. JDO PLQ    

3XPS VSHHG DW  USP

:DWHU WHPSHUDWXUH DW ƒ& ƒ)

3XPS EHDULQJ W\SH 'RXEOH URZ VKDIW

7KHUPRVWDW W\SH :D[ SHOOHW

9DOYH LQLWLDO RSHQLQJ WHPSHUDWXUH :LWK MLJJOH YDOYH 3ULPDU\  ‘   

ƒ& ƒ) :LWKRXW MLJJOH YDOYH +HDWHUOHVV

3ULPDU\  ‘   

6HFRQGDU\ ‘   

9DOYH OLIW PP LQ   RU PRUH DW ƒ& ƒ)

$LU FOHDQHU W\SH 'U\ SDSHU HOHPHQW RU RLO EDWK

%DWWHU\ W\SH 9ROWDPSKU '5     SFV

*HQHUDWRU

7\SH $& EUXVK ZLWK ,& UHJXODWRU DQG YDFXXP SXPS

9ROWDJH 9   RU 

'ULYH DQG URWDWLRQ 9EHOW FORFNZLVH YLHZHG IURP WKH GULYH SXOOH\

*URXQG SRODULW\ 1HJDWLYH

0D[LPXP RXWSXW $  DW  USP  DW  USP

 DW  USP  9 DW  USP

0D[LPXP VSHHG USP  a 


 ¤  6(59,&( ,1)250$7,21

(QJLQH 0RGHO
+* +*7
,WHP

5HJXODWRU

7\SH ,&

5HJXODWLQJ YROWDJH 9     ‘    

9DFXXP SXPS

N3D  PP+J   SVL EXLOGXS WLPH  VHFRQGV RU OHVV DW  USP

 VHFRQGV RU OHVV DW  USP

0D[LPXP YDFXXP  N3D  PP+J   SVL

RU PRUH DW  USP

6WDUWHU PRWRU

7\SH 0DJQHWLF VROHQRLGFRQWUROOHG

0RGHO 6 5 6  

5DWHG YROWDJH 9   

5DWHG RXWSXW N:   

/RDG FKDUDFWHULVWLFV

7HUPLQDO YROWDJH 9   

/RDG FXUUHQW $   0$; 

7RUTXH 1‡P NJ‡P  OE‡IW   


        

DW  USP DW  USP DW  USP

RU PRUH RU PRUH RU PRUH

3UHKHDWLQJ V\VWHP 4XLFN2Q6WDUW 6\VWHP ,,

([KDXVW V\VWHP

3LSH RXWVLGH GLDPHWHU [ WKLFNQHVV

)URQW SLSH PP LQ  [   [ 

0LGGOH SLSH PP LQ  [   [ 

5HDU SLSH PP LQ  [   [ 

6LOHQFHU W\SH &LUFXODU VHFWLRQVKHOO FRQVWUXFWLRQ RI WULSOH

VNLQ DQG HQG SODWHV LQWHUQDO FRQVWUXFWLRQ RI

EDIIOHV DQG SHUIRUDWHG WXEHV

,QVLGH GLDPHWHU PP LQ $SSUR[LPDWHO\  


6(59,&( ,1)250$7,21  ¤ 

0$,1'$7$$1'63(&,),&$7,216
*(1(5$/63(&,),&$7,216
(QJLQH 0RGHO
+(7 +(7&
,WHP

(QJLQH W\SH )RXUF\FOH RYHUKHDG FDPVKDIW ZDWHU FRROHG

&RPEXVWLRQ FKDPEHU W\SH 'LUHFW LQMHFWLRQ

&\OLQGHU OLQHU W\SH 'U\ OLQHU VSHFLDO FRPSRXQG PHWDO

7LPLQJ GULYH V\VWHP *HDU GULYH

1R RI F\OLQGHUV  %RUH u VWURNH PP LQ    u     u 


1R RI SLVWRQ ULQJV &RPSUHVVLRQ ULQJV  RLO &RPSUHVVLRQ ULQJV  RLO
ULQJ  ULQJ 
 
7RWDO SLVWRQ GLVSODFHPHQW FP LQ  

&RPSUHVVLRQ UDWLR WR    



&RPSUHVVLRQ SUHVVXUH N3D NJ  FP  SVL  USP    

)XHO LQMHFWLRQ RUGHU       

)XHO LQMHFWLRQ WLPLQJ %7'& GHJ  

6SHFLILHG IXHO W\SH 6$( 1R  GLHVHO IXHO

,GOLQJ VSHHG USP  a  07  a  07


 a  $7  a  $7

9DOYH V\VWHP

9DOYH FOHDUDQFHV $W FROG  ,QWDNH PP LQ  

([KDXVW PP LQ  

9DOYH WLPLQJ $W YDOYH FOHDUDQFHV  PP  LQ

,QWDNH YDOYHV 2SHQ DW %7'& GHJ 

&ORVH DW $%'& GHJ 

([KDXVW YDOYHV 2SHQ DW %%'& GHJ 

&ORVH DW $7'& GHJ 

)XHO V\VWHP

,QMHFWLRQ SXPS W\SH %RVFK LQOLQH W\SH ZLWK DXWRPDWLF WLPHU

3OXQJHU RXWVLGH GLDPHWHU PP LQ    

3OXQJHU OLIW PP LQ    

*RYHUQRU W\SH 5/') PHFKDQLFDO 5/'0 PHFKDQLFDO


9DULDEOH VSHHG 9DULDEOH VSHHG

$XWRPDWLF WLPHU W\SH 6&'0 FHQWULIXJDO IO\ZHLJKW

)XHO IHHG SXPS W\SH 3LVWRQ

,QMHFWLRQ QR]]OH RSHQLQJ

,QMHFWLRQ QR]]OH W\SH +ROH W\SH +ROH W\SH


ZLWK  RULILFHV ZLWK  RULILFHV

3UHVVXUH 03D NJ  FP  SVL VW        
QG    

3UHVVXUH DGMXVWPHQW 6KLP DGMXVWHG

0DLQ IXHO ILOWHU W\SH 'LVSRVDO VSLQRQ FDUWULGJH DQG UHPRWH


PRXQWHG ZDWHU VHSDUDWRU
 ¤  6(59,&( ,1)250$7,21

(QJLQH 0RGHO
+(7 +(7&
,WHP

/XEULFDWLQJ V\VWHP

/XEULFDWLRQ PHWKRG )XOO IORZ SUHVVXUH FLUFXODWLRQ

6SHFLILHG HQJLQH RLO $3, JUDGH &' RU DERYH



2LO SUHVVXUH N3D NJ FP  SVL  USP     

6$( : $3, &' JUDGH

HQJLQH RLO DW ƒ& ƒ)

2LO SXPS W\SH *HDU W\SH

2LO ILOWHU W\SH 6SLQRQ FDUWULGJH

2LO FDSDFLW\ OLW 86  8. JDO    

2LO FRROHU W\SH :DWHU FRROHG

&RROLQJ V\VWHP

5DGLDWRU W\SH &RUUXJDWHG ILQ ZLWK UHVHUYH WDQN

&RRODQW FDSDFLW\ OLW 86  8. JDO    

:DWHU SXPS W\SH &HQWULIXJDO LPSHOOHU 9EHOW GULYH

3XPS WR FUDQNVKDIW VSHHG UDWLR WR   

'HOLYHU\ YROXPH OLW 86  8. JDO PLQ    

3XPS VSHHG DW  USP

:DWHU WHPSHUDWXUH DW ƒ& ƒ)

3XPS EHDULQJ W\SH 'RXEOH URZ VKDIW

7KHUPRVWDW W\SH :D[ SHOOHW

:LWKRXW MLJJOH YDOYH :LWK MLJJOH YDOYH

9DOYH LQLWLDO RSHQLQJ WHPSHUDWXUH ƒ& ƒ) 3ULPDU\      ¤ 

     

6HFRQGDU\    

  

9DOYH OLIW PP LQ   RU PRUH   RU PRUH

DW ƒ& ƒ) DW ƒ& ƒ)

$LU FOHDQHU W\SH 'U\ SDSHU HOHPHQW RU ZHW SDSHU HOHPHQW

%DWWHU\ W\SH 0RGHO  9ROWDPSKU '5     SFV '5     SFV

*HQHUDWRU

7\SH $& EUXVK ZLWK ,& UHJXODWRU DQG YDFXXP SXPS

9ROWDJH 9   RU 

'ULYH DQG URWDWLRQ 9EHOW FORFNZLVH YLHZHG IURP WKH GULYH SXOOH\

*URXQG SRODULW\ 1HJDWLYH

0D[LPXP RXWSXW 9  $  USP    DW  'HQVR    DW  +LWDFKL

   DW  +LWDFKL    DW  +LWDFKL

0D[LPXP VSHHG USP  a 


6(59,&( ,1)250$7,21  ¤ 

(QJLQH 0RGHO
+(7 +(7&
,WHP

5HJXODWRU

7\SH ,&

5HJXODWLQJ YROWDJH 9     r    

9DFXXP SXPS

 PP+J  SVL   N3D EXLOGXS WLPH  VHFRQGV RU OHVV DW  USP

 VHFRQGV RU OHVV DW  USP

0D[LPXP YDFXXP PP+J SVL  N3D    

RU PRUH DW  USP

6WDUWHU PRWRU

7\SH 0DJQHWLF VROHQRLGFRQWUROOHG

0RGHO 6$ 5 6$

5DWHG YROWDJH 9   

5DWHG RXWSXW N:   

/RDG FKDUDFWHULVWLFV

7HUPLQDO YROWDJH 9   

/RDG FXUUHQW $   0$; 

7RUTXH 1‡P NJ‡P  OE‡IW   


        
DW  USP DW  USP DW  USP
RU PRUH RU PRUH RU PRUH

3UHKHDWLQJ V\VWHP 4XLFN2Q6WDUW 6\VWHP ,,

([KDXVW V\VWHP

3LSH RXWVLGH GLDPHWHU [ WKLFNQHVV

)URQW SLSH PP LQ  [   [ 

0LGGOH SLSH PP LQ  [   [ 

5HDU SLSH PP LQ  [   [ 

6LOHQFHU W\SH &LUFXODU VHFWLRQVKHOO FRQVWUXFWLRQ RI WULSOH

VNLQ DQG HQG SODWHV LQWHUQDO FRQVWUXFWLRQ RI

EDIIOHV DQG SHUIRUDWHG WXEHV

,QVLGH GLDPHWHU PP LQ $SSUR[LPDWHO\  


 ¤  6(59,&( ,1)250$7,21

6(59,&(67$1'$5'
,WHP 6HUYLFH 6WDQGDUG 6HUYLFH /LPLW

(1*,1(
&RPSUHVVLRQ 3UHVVXUH     RU PRUH
9DULDQFH LQ SUHVVXUH EHWZHHQ    

.3D NJ  FP  SVL  USP WKH F\OLQGHUV OHVV WKDQ      

&</,1'(5+($'
,QOHW DQG ([KDXVW 9DOYH 6HDW 'HSUHVVLRQ
PP LQ  
     

0HDVXUHPHQW VKRXOG EH WDNHQ E\


XVLQJ D QHZ YDOYH

&\OLQGHU +HDG /RZHU )DFH :DUSDJH


PP LQ   RU OHVV  

'R QRW UHJULQG WKH F\OLQGHU KHDG


ORZHU IDFH

0DQLIROG )LWWLQJ )DFH :DUSDJH


PP LQ   RU OHVV  

:DWHU /HDN 7HVW 5HSDLU RU UHSODFH


 WKRVH KDYLQJ ZDWHU
N3D NJ  FP  SVL       PLQXWHV
OHDN

&\OLQGHU +HDG *DVNHW 6HOHFWLRQ


PP LQ +)+)+*7

&\OLQGHU +HDG *DVNHW 6HOHFWLRQ PP LQ


5HPDUNV
7KH JUDGH PDUN RI WKH F\OLQGHU KHDG *DVNHW 7KLFNQHVV
*DVNHW *UDGH 7L PD[
JDVNHW LV VKRZQ E\ VHPLFLUFXODU QRWFKHV 5HIHUHQFH
RQ WKH OHIW VLGH RI WKH IURQW SRUWLRQ RI   
$  
WKH JDVNHW   

  
%  
  

 ¤ 
&  
 ¤ 

+(7+(7&

&\OLQGHU +HDG *DVNHW 6HOHFWLRQ PP LQ

*DVNHW 7KLFNQHVV
*DVNHW *UDGH 7L PD[
5HIHUHQFH

  
$  
  

  
%  
  

 ¤ 
&  
 ¤ 
6(59,&( ,1)250$7,21  ¤ 

,WHP 6HUYLFH 6WDQGDUG 6HUYLFH /LPLW

&$06+$)7
&DP +HLJKW PP LQ        

&DPVKDIW -RXUQDO 8QHYHQ :HDU PP LQ   RU OHVV  

&DPVKDIW -RXUQDO :HDU PP LQ        

&DPVKDIW -RXUQDO DQG %HDULQJ


&OHDUDQFH PP LQ        

&DPVKDIW 5XQ2XW PP LQ   RU OHVV  


DJDLQVW WKH DGMDFHQW MRXUQDO

52&.(5$50$1'52&.(5$506+$)7
5RFNHU $UP 6KDIW :HDU PP LQ  ¤   ¤   

5RFNHU $UP %XVKLQJ :HDU PP LQ  ¤   ¤   

5RFNHU $UP DQG 5RFNHU $UP        
6KDIW &OHDUDQFH PP LQ

5RFNHU $UP 6KDIW 5XQ2XW PP LQ  

5RFNHU $UP 5ROOHU DQG 3LQ


&OHDUQDFH PP LQ        

5ROOHU 6XUIDFH :KHQ WKHUH LV DQ


H[FHVVLYH ZHDU RU
GHIRUPDWLRQ IRXQG
UHSODFH LW
:KHQ LW LV GDPDJHG
RQO\ VOLJKWO\ FRUUHFW
LW ZLWK DQ RLO VWRQH

9$/9(
9DOYH 6WHP :HDU ,QOHW        

PP LQ ([KDXVW        

9DOYH 6WHP DQG 9DOYH ,QOHW        
*XLGH &OHDUDQFH
([KDXVW        
PP LQ
 ¤  6(59,&( ,1)250$7,21

,WHP 6HUYLFH 6WDQGDUG 6HUYLFH /LPLW

9$/9( &217
9DOYH *XLGH DQG &\OLQGHU +HDG      
,QWHUIHUHQFH 3UHVV LW LQ ZLWK WKH YDOYH JXLGH DSSOLHG
PP LQ ZLWK HQJLQH RLO

9DOYH 7KLFNQHVV PP LQ ,QOHW 1RPLQDO VL]H    

([KDXVW 1RPLQDO VL]H    

9DOYH &RQWDFW :LGWK PP LQ ,QOHW 1RPLQDO VL]H    

([KDXVW 1RPLQDO VL]H    

9DOYH *XLGH PP LQ r r
   
8SSHU (QG
+HLJKW

9DOYH 6WHP 6HDO /LS :HDU PP LQ        

9DOYH 6SULQJ 7HQVLRQ 1 NJ  OE  ¤            
6HW OHQJWK  PP  LQ

9DOYH 6SULQJ )UHH +HLJKW PP LQ 1RPLQDO VL]H    

9DOYH 6SULQJ 6TXDUHQHVV PP LQ  

9DOYH &OHDUDQFH $W FROG PP LQ  

9DOYH 6WHP &DS :HDU PP LQ  

5HSODFH LW ZKHQ ZRUQ


RU GHIRUPHG
H[FHVVLYHO\
6(59,&( ,1)250$7,21  ¤ 

,WHP 6HUYLFH 6WDQGDUG 6HUYLFH /LPLW

&</,1'(5%2'<
&\OLQGHU /LQHU %RUH :HDU PP LQ +)
       
+)

+*
       
+*7

+(7
       

c  PP  LQ +(7&

d  PP  LQ
e  PP  LQ
&\OLQGHU /LQHU *UDGH 6HOHFWLRQ +)+)

/LQH &\OLQGHU %RUH 6HUYLFH /LQHU 2XWVLGH


5HPDUNV *UDGH 'LDPHWHU PP LQ *UDGH 'LDPHWHU PP LQ

&\OLQGHU %RUH *UDGH 0DUN 3RVLWLRQ      


 ;
7KH JUDGH PDUN   RU  RI WKH F\OLQGHU      

ERUH LV VWDPSHG RQ WKH SRVLWLRQ MXVW   



EHVLGH HDFK F\OLQGHU RQ WKH XSSHU OHIW VLGH      
;
WKH XSSHU SRUWLRQ RI WKH RLO FRROHU      

LQVWDOODWLRQ IDFH RI WKH F\OLQGHU ERG\   

+*+*7
&\OLQGHU /LQHU *UDGH 0DUN 3RVLWLRQ    ;   

7KH RXWVLGH GLDPHWHU JUDGH PDUN   RU      
 RI WKH F\OLQGHU OLQHU LV VWDPSHG RQ WKH   
SRVLWLRQ DSSUR[LPDWHO\ PP IURP WKH 
     
WRS IDFH RI WKH OLQHU ;
     

  

+(7  +(7&

   ;   



     

  

     
;
     

  

&\OLQGHU /LQHU 3URMHFWLRQ PP LQ       7KHUH PXVW EH D

7KH GLIIHUHQFH LQ WKH F\OLQGHU OLQHU SURMHFWLRQ RQ WKH

SURMHFWLRQ KHLJKW EHWZHHQ DQ\ WZR F\OLQGHU OLQHU

DGMDFHQW F\OLQGHUV PXVW QRW H[FHHG 




&\OLQGHU %RG\ 8SSHU )DFH :DUSDJH


PP LQ   RU OHVV  

'R QRW UHJULQG WKH F\OLQGHU ERG\ XSSHU


IDFH

:DWHU /HDN 7HVW N3D NJ  FP  SVL       PLQXWHV 5HSDLU RU UHSODFH WKRVH
KDYLQJ ZDWHU OHDN
 ¤  6(59,&( ,1)250$7,21

,WHP 6HUYLFH 6WDQGDUG 6HUYLFH /LPLW

&5$1.6+$)7
&UDQNVKDIW -XUQDO DQG &UDQNSLQ
8QHYHQ :HDU PP LQ  

&UDQNVKDIW -RXUQDO 1R    DQG         
:HDU
PP LQ 1R         

&UDQNVKDIW -RXUQDO 1R    DQG         
DQG %HDULQJ
&OHDUDQFH PP LQ 1R         

&UDQNVKDIW -RXUQDO
&UDQNVKDIW -RXUQDO 1R    DQG 
%HDULQJ 6HOHFWLRQ
PP LQ %HDULQJ +RXVLQJ &UDQNVKDIW -RXUQDO &UDQNVKDIW

*UDGH 5HIHUHQFH *UDGH 5HIHUHQFH %HDULQJ


5HPDUNV
0DUN ,QVLGH 'LDPHWHU 0DUN 2XWVLGH 'LDPHWHU &RORU &RGH
&UDQNVKDIW %HDULQJ +RXVLQJ
*UDGH 0DUN 3RVLWLRQ   
 %ODFN
7KH FUDQNVKDIW EHDULQJ      

KRXVLQJ JUDGH PDUNV  RU      
 %URZQ
 DUH VWDPSHG FROOHFWLYHO\   
IRU DOO F\OLQGHUV RQ WKH   
XQGHUVLGH RI WKH OHIW IURQW  %OXH
     
SRUWLRQ RI WKH F\OLQGHU 
     
ERG\  %ODFN
  

&UDQNVKDIW -RXUQDO *UDGH


&UDQNVKDIW -RXUQDO 1R 
0DUN 3RVLWLRQ
%HDULQJ +RXVLQJ &UDQNVKDIW -RXUQDO &UDQNVKDIW
7KH FUDQNVKDIW MRXUQDO
*UDGH 5HIHUHQFH *UDGH 5HIHUHQFH %HDULQJ
JUDGH PDUNV  RU  DUH
0DUN ,QVLGH 'LDPHWHU 0DUN 2XWVLGH 'LDPHWHU &RORU &RGH
VWDPSHG FROOHFWLYHO\ IRU
DOO F\OLQGHUV RQ WKH IURQW   
 %ODFN
VLGH RI WKH FUDQNVKDIW      

1R  EDODQFHU      
 %URZQ
  
&UDQNVKDIW %HDULQJ *UDGH
  
0DUN 3RVLWLRQ  %OXH
     
7KH LGHQWLILFDWLRQ FRORU 
     
FRGH EODFN EURZQ RU EOXH  %ODFN
  
RI WKH FUDQNVKDIW MRXUQDO
EHDULQJ JUDGH PDUN LV
DSSOLHG RQ WKH VLGH RI HDFK
EHDULQJ
6(59,&( ,1)250$7,21  ¤ 

,WHP 6HUYLFH 6WDQGDUG 6HUYLFH /LPLW

&5$1.6+$)7 &217
&UDQNSLQ :HDU +) +* +*7
       

+(7 +(7&  


     

&UDQNVKDIW -RXUQDO %HDULQJ 6SUHDG


 
PP LQ

&UDQNVKDIW (QG 3OD\ PP LQ        

&UDQNVKDIW 5XQ2XW PP LQ   RU OHVV  

&UDQNVKDIW )URQW DQG 5HDU 2LO 6HDO DQG :KHQ WKHUH LV DQ RLO
6OLQJHU :HDU OHDN IRXQG WKH RLO VHDO
DQG VOLQJHU PXVW EH
UHSODFHG DV D VHW
,QVHUW LW VHFXUHO\ ZLWK D
VSHFLDO WRRO

3,6721
3LVWRQ DQG &\OLQGHU /LQHU &OHDUDQFH +)      

PP LQ +*      

+(7      

+(7&      

3LVWRQ *UDGH 6HOHFWLRQ PP LQ 3LVWRQ *UDGH

3LVWRQ
(QJLQH &\OLQGHU /LQHU %RUH 3LVWRQ 2XWVLGH
5HPDUNV 6HUYLFH
PRGHO 'LDPHWHU PP LQ 'LDPHWHU PP LQ
3LVWRQ *UDGH 0DUN 3RVLWLRQ *UDGH

7KH SLVWRQ JUDGH PDUNV LH $ % & +)      

DUH VWDPSHG RQ WKH SLVWRQ XSSHU IDFH +)      

+*      



3LVWRQ 2XWVLGH 'LDPHWHU 0HDVXULQJ +*7      
3RVLWLRQ
  
7DNH PHDVXUHPHQW RI WKH 3LVWRQ DW WKH $;
+(7      
SRVLWLRQ PP  LQ IURP WKH WRS LQ WKH
+(7&      
GLUHFWLRQ RI WKH ORQJHU GLDPHWHU &;
  
 ¤  6(59,&( ,1)250$7,21

,WHP 6HUYLFH 6WDQGDUG 6HUYLFH /LPLW

3,67213,1
3LVWRQ 3LQ :HDU PP LQ +)
+)   
 
+*   
+*7
+(7   
 
+(7&   

3LVWRQ DQG 3LVWRQ 3LQ &OHDUDQFH PP LQ        

&OHDUDQFH VKRXOG EH ZLGH HQRXJK IRU WKH :KHQ DQ DEQRUPDO


SLVWRQ SLQ WR EH LQVHUWHG XQGHU WKH VWULNLQJ VRXQG LV KHDUG
FRQGLWLRQ ZKHUH WKH SLVWRQ LV KHDWHG WR WKH UHSODFH WKH SLVWRQ DQG
WHPSHUDWXUH RI ƒ& WR ƒ& ƒ) WR WKH SLVWRQ SLQ
ƒ) 

3,67215,1*
VW &RPSUHVVLRQ 5LQJ        
+)
QG &RPSUHVVLRQ 5LQJ        
+)
2LO 5LQJ        

VW &RPSUHVVLRQ 5LQJ        


3LVWRQ +*
QG &RPSUHVVLRQ 5LQJ        
5LQJ *DS +*7
2LO 5LQJ        
,QVLGH WKH
VW &RPSUHVVLRQ 5LQJ        
F\OLQGHU
+(7 QG &RPSUHVVLRQ 5LQJ        

PP LQ 2LO 5LQJ        

VW &RPSUHVVLRQ 5LQJ        

QG &RPSUHVVLRQ 5LQJ        


+(7&
UG &RPSUHVVLRQ 5LQJ        

2LO 5LQJ        

VW &RPSUHVVLRQ 5LQJ        


+)
QG &RPSUHVVLRQ 5LQJ        
+)
2LO 5LQJ        

3LVWRQ VW &RPSUHVVLRQ 5LQJ        
5LQJ +*
QG &RPSUHVVLRQ 5LQJ        
3LVWRQ +*7
2LO 5LQJ        
5LQJ
VW &RPSUHVVLRQ 5LQJ        
*URRYH
&OHDUDQFH +(7 QG &RPSUHVVLRQ 5LQJ        

2LO 5LQJ        

PP LQ VW &RPSUHVVLRQ 5LQJ        

QG &RPSUHVVLRQ 5LQJ        


+(7&
UG &RPSUHVVLRQ 5LQJ        

2LO 5LQJ        

7KH GLUHFWLRQ RI WKH SLVWRQ ULQJ FRQQHFWLQJ $OWHUQDWHO\ DW ƒ 'RQ©W SRVLWLRQ WKH
HQG FRQQHFWLQJ HQG LQ WKH VLGH SUHVVXUH
GLUHFWLRQ 3ODFH WKH FRQQHFWLQJ HQG RI WKH
RLO ULQJ DQG WKDW RI WKH H[SDQGHU FRLO DW
ƒ DOWHUQDWHO\
6(59,&( ,1)250$7,21  ¤ 

,WHP 6HUYLFH 6WDQGDUG 6HUYLFH /LPLW

&211(&7,1*52'
&RQQHFWLQJ 5RG 'LVWRUWLRQ   RU OHVV  
$OLJQPHQW
PP LQ 3DUDOOHOLVP   RU OHVV  

&RQQHFWLQJ 5RG 6PDOO (QG PP LQ        
%XVKLQJ DQG 3LVWRQ 3LQ 7KHUH PXVW EH FOHDUDQFH HQRXJK WR URWDWH
&OHDUDQFH WKH SLVWRQ SLQ ZKLOH KROGLQJ LW OLJKWO\ ZLWK LWV
ODUJH HQG IL[HG

&RQQHFWLQJ 5RG %HDULQJ 6SUHDG PP LQ   RU PRUH

&RQQHFWLQJ 5RG %HDULQJ DQG PP LQ        
&UDQNSLQ &OHDUDQFH

&RQQHFWLQJ 5RG %HDULQJ 6HOHFWLRQ ‡ +) ‡ +) ‡ +* ‡ +*7


PP LQ &RQQHFWLQJ 5RG %LJ (QG &UDQNSLQ %LJ (QG

*UDGH 5HIHUHQFH 5HIHUHQFH %HDULQJ &RORU


5HPDUNV 0DUN ,QVLGH 'LDPHWHU 2XWVLGH 'LDPHWHU &RGH
7KH FRQQHFWLQJ URG ELJ HQG LQVLGH      
GLDPHWHU JUDGH PDUNV $ RU % DUH $ *UHHQ
     
VWDPSHG RQ WRS RI WKH F\OLQGHU QXPEHU
     
DOLJQ PDUNV RI WKH ELJ HQG % <HOORZ
     

‡ +(7 ‡ +(7&

      *UHHQ


$
     

     


% <HOORZ
     

7KH GLIIHUHQFH LQ ZHLJKW EHWZHHQ WKH    


FRQQHFWLQJ URG DQG WKH SLVWRQ ZKHQ
DVVHPEOHG 1 JU  OE

)/<:+((/
)O\ZKHHO 7KLFNQHVV PP LQ        
)O\ZKHHO IULFWLRQ VXUIDFH 
FUDQNVKDIW VHWWLQJ IDFH

)ULFWLRQ 6XUIDFH 5XQ2XW PP LQ  

)ULFWLRQ 6XUIDFH 5RXJKQHVV PP LQ   RU OHVV

5LQJ *HDU 7KH WRRWK IDFH EXUU


PXVW EH FKDPIHUHG
5HSODFH RQHV ZKHQ
GDPDJHG H[FHVVLYHO\
 ¤  6(59,&( ,1)250$7,21

,WHP 6HUYLFH 6WDQGDUG 6HUYLFH /LPLW

*($575$,1
7LPLQJ *HDU %DFNODVK *HDU WR *HDU        
,Q WKH GLUHFWLRQ RI D QRUPDO OLQH
+ROG ERWK WKH JHDU WR EH FKHFNHG DQG WKH
PP LQ
DGMRLQLQJ JHDU VWDWLRQDO\

&UDQNVKDIW *HDU DQG &UDQNVKDIW      


,QWHUIHUHQFH PP LQ

&DPVKDIW *HDU DQG &DPVKDIW      


,QWHUIHUHQFH PP LQ

,GOH *HDU 6KDIW :HDU PP LQ        

,GOH *HDU %XVKLQJ :HDU PP LQ        

,GOH *HDU %XVKLQJ DQG ,GOH *HDU        
6KDIW &OHDUDQFH PP LQ

,GOH *HDU (QG 3OD\ PP LQ        

/8%5,&$7,216<67(0
2LO 3XPS *HDU 7HHWK DQG ,QQHU
       
:DOO &OHDUDQFH PP LQ

*HDU DQG 3XPS &RYHU


       
&OHDUDQFH PP LQ

*HDU 6KDIW :HDU PP LQ        

*HDU 6KDIW DQG %XVKLQJ


       
&OHDUDQFH PP LQ

'HOLYHU\ 9ROXPH  


FF FX‡LQ UHY 'HOLYHU\ 3UHVVXUH N3D

 NJFP   SVL
2LO 7HPSHUDWXUH  ‘ ƒ&
 ‘ ƒ)
2LO 9LVFRVLW\ 6$( 

5HOLHI 9DOYH 2SHQLQJ 2LO *DOOHU\     5HIHUHQFH


3UHVVXUH
 2LO 3XPS     5HIHUHQFH
N3D NJFP  SVL
6(59,&( ,1)250$7,21  ¤ 

,WHP 6HUYLFH 6WDQGDUG 6HUYLFH /LPLW

&22/,1*6<67(0
:DWHU ([WHUQDO DSSHDUDQFH &KHFN WKH IROORZLQJ
3XPS ‡ &UDFNV DQG GDPDJHV RI WKH SXPS ERG\
‡ &UDFNV DQG FRUURVLRQ RI WKH LPSHOOHU
‡ :DWHU OHDN IURP WKH VHDO XQLW
:KHQ DQ DEQRUPDO FRQGLWLRQ LV IRXQG UHSODFH WKH ZDWHU
SXPS DV DQ DVVHPEO\

6HDO 8QLW 3XVK WKH IDQ FHQWHU LQ WKH UDGLDO GLUHFWLRQ ZKLOH URWDWLQJ LW
DQG FKHFN WKH VHDO XQLW IRU DQ\ H[FHVVLYH SOD\ RU DEQRUPDO
VRXQG :KHQ WKHUH LV DQ\ DEQRUPDO FRQGLWLRQ IRXQG
UHSODFH WKH ZDWHU SXPS DV DQ DVVHPEO\

'HOLYHU\ 9ROXPH  RU PRUH


OLW 86  8. JDO  PLQ :DWHU 3XPS 6SHHG  USP
:DWHU 7HPSHUDWXUH  ‘ ƒ&
 ‘ ƒ)

)DQ 'ULYH %HOW 7HQVLRQ PP LQ       ž 1HZ EHOW


      ž 5HXVH EHOW
'HSUHVV WKH GULYH EHOW PLGSRUWLRQ
ZLWK D 1 NJ  ,E IRUFH

7KHUPRVWDW 9DOYH ,QLWLDO 2SHQLQJ  ‘   ‘ 


:LWK -LJJOH 7HPSHUDWXUH ƒ& ƒ)
9DOYH
9DOYH /LIW $W ƒ&   RU PRUH
ƒ) PP LQ

7KHUPRVWDW 9DOYH ,QLWLDO 2SHQLQJ 3ULPDU\  ‘   ‘ 


:LWK2XW 7HPSHUDWXUH ƒ& ƒ) 6HFRQGDU\  ‘   ‘ 
-LJJOH
9DOYH /LIW $W ƒ&   RU PRUH
9DOYH
ƒ) PP LQ

5DGLDWRU ([WHUQDO DSSHDUDQFH ‡ &KHFN WKH UDGLDWRU IRU DQ\ FRUURVLRQ ZDWHU OHDN ILQ
GDPDJH RU FORJJLQJ :KHQ WKHUH LV DQ\ DEQRUPDO
FRQGLWLRQ IRXQG FRUUHFW WKH UDGLDWRU RU UHSODFH LW
‡ :KHQ GHWHULRUDWLRQ FUDFNLQJ RU ZDWHU OHDN LV IRXQG
LQ WKH UXEEHU KRVH UHSODFH WKH UXEEHU KRVH

3UHVVXUH 9DOYH 2SHQLQJ  ‘   ‘    ‘ 


3UHVVXUH

N3D NJ FP  SVL

9DFXXP 9DOYH 2SHQLQJ 07          
3UHVVXUH $7          

N3D NJ FP  SVL
 ¤  6(59,&( ,1)250$7,21

,WHP 6HUYLFH 6WDQGDUG 6HUYLFH /LPLW

&22/,1*6<67(0 &217
&RROLQJ )DQ &RROLQJ )DQ 3XOOH\ 07  5RWDWH WKH IDQ E\

6SHHG $7  KDQG DQG ZKHQ

USP LW GRHVQ
W URWDWH

VPRRWKO\ RU ZKHQ
&ROG &RQGLWLRQ %LPHWDO 07  RU ORZHU
WKHUH LV RLO OHDN
ORZHU WKDQ ƒ& ƒ) $7  RU ORZHU
IURP WKH IDQ FOXWFK
USP
UHSODFH WKH IDQ

+RW &RQGLWLRQ %LPHWDO 07  ‘  FOXWFK

KLJKHU WKDQ ƒ& ƒ) $7  ‘ 

USP

  
3XOOH\ 5DWLR

&UDQNVKDIW)DQ

)8(/6<67(0
)XHO )HHG 6XFWLRQ FDSDFLW\ 7KH VXFWLRQ PXVW EH FRPSOHWHG LQ  WLPHV RU OHVV

3XPS 3ULPLQJ 3XPS 6SHHG     WLPHVPLQXWH

3LSH ,QVLGH 'LDPHWHU  PP LQ

6XFWLRQ 3LSH /HQJWK  PP  LQ

6XFWLRQ +HLJKW  PP LQ

,QMHFWLRQ 1HHGOH 9DOYH 6HDW

1R]]OH 3RUWLRQ 2LO 7LJKW VHF  RU PRUH

7LPH UHTXLUHG IRU WKH

SUHVVXUH WR IDOO IURP



 N3D  NJ FP

  SVL WR  N3D



 N3D NJ FP  

SVL

6SUD\ &RQGLWLRQ ‡ 7KH VSUD\ PXVW EH ILQH DQG XQLIRUP

‡ 7KH LQMHFWLRQ PXVW EH GLUHFWHG LQ WKH

FHQWHU GLUHFWLRQ ZLWK QR VWUD\ VSUD\

‡ 7KH VSUD\ IURP HDFK QR]]OH KROH

PXVW EH XQLIRUP
6(59,&( ,1)250$7,21  ¤ 

,WHP 6HUYLFH 6WDQGDUG 6HUYLFH /LPLW

(1*,1((/(&75,&$/
*HQHUDWRU %DOO EHDULQJ :KHQ LW GRHVQ
W URWDWH

VPRRWKO\ RU LV JLYLQJ

RXW DQ DEQRUPDO

VRXQG RU ZKHQ WKHUH

LV DQ RLO OHDN IURP WKH

VHDO UHSODFH LW

6OLS 5LQJ 'LDPHWHU PP LQ 1RPLQDO VL]H   

5RWRU &RLO 5HVLVWDQFH : 1RPLQDO UHVLVWDQFH  :KHQ WKH UHVLVWDQFH

GLIIHUV ODUJHO\ IURP


&RLO ,QVXODWLRQ  RU PRUH

5HVLVWDQFH :
0  YROW PHJJHU WHVWHU
WKH VWDQGDUG YDOXH

RU ZKHQ D SRRU

6WDWRU &RLO 5HVLVWDQFH : 1RPLQDO UHVLVWDQFH  LQVXODWLRQ LV IRXQG

%HWZHHQ FRLO HQG DQG HDFK FRLO HQG UHSODFH LW

&RLO ,QVXODWLRQ  RU PRUH

5HVLVWDQFH :
0  YROW PHJJHU WHVWHU

%UXVK /HQJWK PP LQ 1RPLQDO VL]H    

,& 9ROWDJH 5HFWLILHU 7KH UHFWLILHU LV QRUPDO ZKHQ WKHUH LV :KHQ WKHUH LV

5HJXODWRU FRQWLQXLW\ ZLWK WKH WHVWHU  WHUPLQDO FRQWLQXLW\ LQ ERWK

FRQQHFWHG WR ¦%§ EDWWHU\ WHUPLQDO DQG WKH GLUHFWLRQV RU ZKHQ

 WHUPLQDO WR WKH UHFWLILHU KROGHU DQG ZKHQ WKHUH LV QR FRQWLQXLW\ LQ

WKHUH LV QR FRQWLQXLW\ ZLWK WKHLU FRQQHFWLRQV ERWK GLUHFWLRQV UHSODFH

UHYHUVHG WKH UHFWLILHU

%DWWHU\ 3RZHU 9 +)  +)  +*  +*7!


 ¤ 
/5    9  $
 ¤ 
/5   % 9  $
  
'(162 9  $

+(7  +(7&!
 ¤ 
/5    9  $
  
/5    9  $

2XWSXW &XUUHQW $ USP USP USP

+)  +)  +*  +*7!

/5      

/5   %   

'(162   

+(7  +(7&!

/5      

/5      

3XOOH\ 5DWLR
  
&UDQNVKDIW*HQHUDWRU
 ¤  6(59,&( ,1)250$7,21

,WHP 6HUYLFH 6WDQGDUG 6HUYLFH /LPLW

(1*,1((/(&75,&$/ &217
9DFXXP 3XPS +RXVLQJ ,QVLGH +)‡+)
    5HIHUHQFH
3XPS 'LDPHWHU PP LQ +*‡+*7

9DQH /HQJWK PP LQ +)‡+)


      5HIHUHQFH
+*‡+*7

3HUIRUPDQFHV  USP  VHF RU OHVV


 USP  VHF RU OHVV
7LPH UHTXLUHG IRU WKH
/5    RQO\
SUHVVXUH WR JHW WR
 USP  VHF RU OHVV
N3D  USP  VHF RU OHVV
PP+J  SVL  /5    RQO\
2LO 9LVFRVLW\  6$( 
2LO 7HPSHUDWXUH   ‘ ƒ&  ‘ ƒ)

2LO 3UHVVXUH  N3D  NJ  FP  SVL
7DQN &DSDFLW\  FF  FX‡LQ

&KHFN 9DOYH ‡ $SSO\  ¤  N3D  NJFP  SVL FRPSUHVVG DLU WR SXPS VLGH RI
WKH FKHFN YDOYH
‡ &KHFN IRU DLU OHDNDJH IURP WKH FKHFN YDOYH
‡ ,I WKHUH LV DLU OHDNDJH WKH FKHFN YDOYH PXVW EH UHSODFHG

6WDUWHU &RPPXWDWRU 5XQ2XW


PP LQ   RU OHVV  

&RPPXWDWRU 07    


2XWVLGH
'LDPHWHU PP LQ $7    

0LFD 6HJPHQW 'HSWK


PP LQ        

%UXVK /HQJWK 07    


PP LQ $7    

%UXVK 6SULQJ 07          


7HQVLRQ
1 NJ  OE $7          

/RDG &KDUDFWHULVWLFV
7HUPLQDO 9ROWDJH 9 07 
$7  

/RDG &XUUHQW $ 07 


$7  

7RUTXH 07     RU PRUH

1‡P NJ‡P  OE‡IW $7      RU PRUH

6SHHG USP $7  


07 

7HUPLQDO

$&& % 21 67 % 3 3 : :

/2&.

$&&

21

67$57
6(59,&( ,1)250$7,21  ¤ 

,WHP 6HUYLFH 6WDQGDUG 6HUYLFH /LPLW

(1*,1((/(&75,&$/ &217
3UHKHDWLQJ 7LPH UHTXLUHG IRU WKH 
V\VWHP JORZ LQGLFDWRU WR OLJKW XS $IWHU WKH NH\ VZLWFK LV WXUQHG WR
426,, VHF 21 SRVLWLRQ ZLWKRXW HQJLQH WXUQHG

7LPH UHTXLUHG IRU WKH



VRXUFH YROWDJH WR EH
$IWHU WKH NH\ VZLWFK LV WXUQHG WR
VXSSOLHG WR WKH JORZ SOXJ
21 SRVLWLRQ ZLWKRXW HQJLQH WXUQHG
VHF

*ORZ 5HOD\ &RLO


5HVLVWDQFH : 1RPLQDO UHVLVWDQFH 

7KHUPR 6ZLWFK 2SHUDWLQJ 2)) o 21      


7HPSHUDWXUH ƒ& ƒ) 21 o 2)) /HVV  

*ORZ 3OXJ &RQWLQXLW\ ,I QR FRQWLQXLW\


H[LVWV PXVW EH
UHSODFHG
 ¤  6(59,&( ,1)250$7,21

6(59,&,1*
6HUYLFLQJ UHIHUV WR JHQHUDO PDLQWHQDQFH SURFHGXUHV WR EH SHUIRUPHG E\ TXDOLILHG VHUYLFH SHUVRQQHO

02'(/,'(17,),&$7,21
(QJLQH 6HULDO 1XPEHU
7KH HQJLQH QXPEHU LV VWDPSHG RQ WKH IURQW OHIW KDQG VLGH
RI WKH F\OLQGHU ERG\

WLI

$,5&/($1(5
'U\ 7\SH :DVKDEOH 3DSHU (OHPHQW
(OHPHQW FOHDQLQJ SURFHGXUHV ZLOO YDU\ DFFRUGLQJ WR WKH
FRQGLWLRQ RI WKH HOHPHQW

WLI

'XVW )RXOHG (OHPHQW


5RWDWH WKH HOHPHQW ZLWK \RXU KDQG ZKLOH DSSO\LQJ
FRPSUHVVHG DLU WR WKH LQVLGH RI WKH HOHPHQW 7KLV ZLOO EORZ
WKH GXVW IUHH

&RPSUHVVHG DLU SUHVVXUH PXVW QRW H[FHHG  NJFP 
SVL N3D

WLI

&DUERQ DQG 'XVW )RXOHG (OHPHQW


 3UHSDUH D FOHDQLQJ VROXWLRQ RI ,VX]X *HQXLQH (OHPHQW
&OHDQHU 'RQDOGVRQ ' GLOXWHG ZLWK ZDWHU

 ,PPHUVH WKH HOHPHQW LQ WKH VROXWLRQ IRU WZHQW\ PLQXWHV

WLI
6(59,&( ,1)250$7,21  ¤ 

 5HPRYH WKH HOHPHQW IURP WKH VROXWLRQ DQG ULQVH LW ZHOO


ZLWK UXQQLQJ ZDWHU

:DWHU SUHVVXUH PXVW QRW H[FHHG  NJFP
 SVLN3D 

WLI

 'U\ WKH HOHPHQW LQ D ZHOO YHQWLODWHG DUHD

$Q HOHFWULF IDQ ZLOO KDVWHQ GU\LQJ

&$87,21

'R QRW XVH FRPSUHVVHG DLU RU DQ RSHQ IODPH WR GU\ WKH

HOHPHQW TXLFNO\ 'DPDJH WR WKH HOHPHQW ZLOO UHVXOW

,W ZLOO XVXDOO\ WDNH WZR RU WKUHH GD\V IRU WKH HOHPHQW WR

GU\ FRPSOHWHO\ 7KHUHIRUH LW LV D JRRG LGHD WR KDYH D

VSDUH RQ KDQG WR XVH LQ WKH LQWHULP

WLI

/8%5,&$7,1*6<67(0
0DLQ2LO)LOWHU 'LVSRVDEOH6SLQ2Q&DUWULGJH
(OHPHQW
5HSODFHPHQW 3URFHGXUH

 /RRVHQ WKH XVHG RLO ILOWHU E\ WXUQLQJ LW FRXQWHUFORFNZLVH


ZLWK WKH ILOWHU ZUHQFK
)LOWHU :UHQFK 

 &OHDQ WKH RLO ILOWHU ILWWLQJ IDFH


WLI
7KLV ZLOO DOORZ WKH QHZ RLO ILOWHU WR VHDW SURSHUO\

 $SSO\ D OLJKW FRDW RI HQJLQH RLO WR WKH 2ULQJ

 7XUQ LQ WKH QHZ RLO ILOWHU XQWLO WKH ILOWHU 2ULQJ LV ILWWHG
DJDLQVW WKH VHDOLQJ IDFH

 8VH WKH ILOWHU ZUHQFK WR WXUQ LQ WKH ILOWHU DQ DGGLWLRQDO


RQH IXOO WXUQ

WLI

 &KHFN WKH HQJLQH RLO OHYHO DQG UHSOHQLVK WR WKH


VSHFLILHG OHYHO LI UHTXLUHG

(QJLQH 2LO 5HSOHQLVKPHQW OLW 868. JDO

 

 6WDUW WKH HQJLQH DQG FKHFN IRU RLO OHDNDJH IURP WKH
PDLQ RLO ILOWHU

WLI
 ¤  6(59,&( ,1)250$7,21

(QJLQH2LO5HSODFHPHQW
'UDLQLQJ
 5HPRYH WKH GUDLQ SOXJ WR FRPSOHWHO\ GUDLQ WKH HQJLQH RLO

'R WKLV ZKLOH WKH HQJLQH LV KRW

 5HSODFH WKH GUDLQ SOXJ

 7LJKWHQ WKH GUDLQ SOXJ WR WKH VSHFLILHG WRUTXH

'UDLQ 3OXJ 7RUTXH 1‡P NJ‡POE‡IW

 

WLI

5HSOHQLVKPHQW
 5HPRYH WKH ILOOHU FDS

 3RXU WKH VSHFLILHG HQJLQH RLO LQWR WKH FUDQNFDVH


WKURXJK WKH RLO ILOOHU

 5HSODFH WKH ILOOHU FDS

&UDQNFDVH DQG )LOWHU 2LO &DSDFLW\ OLW 868. JDO

 

WLI

 6WDUW WKH HQJLQH DQG DOORZ LW WR LGOH IRU D IHZ PLQXWHV

 6WRS WKH HQJLQH

 8VH WKH GLSVWLFN WR FKHFN WKH RLO OHYHO

,I WKH RLO OHYHO LV EHORZ WKH ¦0,1§ OLQH DGG RLO WKURXJK
WKH RLO ILOOHU

,I WKH RLO OHYHO LV DERYH WKH ¦0$;§ OLQH GUDLQ RII WKH
H[FHVV RLO WKURXJK WKH GUDLQ SOXJ

WLI

)8(/6<67(0
)XHO)LOWHU
5HSODFHPHQW 3URFHGXUH
 /RRVHQ WKH XVHG IXHO ILOWHU E\ WXUQLQJ LW
FRXQWHUFORFNZLVH ZLWK WKH XQLYHUVDO ILOWHU ZUHQFK

WLI

 &OHDQ WKH XSSHU FRYHU ILWWLQJ IDFH

7KLV ZLOO DOORZ WKH QHZ IXHO ILOWHU WR VHDW SURSHUO\

WLI
6(59,&( ,1)250$7,21  ¤ 

 $SSO\ D OLJKW FRDW RI HQJLQH RLO WR WKH 2ULQJ

 6XSSO\ IXHO WR WKH QHZ IXHO ILOWHU WR IDFLOLWDWH EOHHGLQJ

 7XUQ LQ WKH QHZ IXHO ILOWHU XQWLO WKH ILOWHU 2ULQJ LV ILWWHG
DJDLQVW WKH VHDOLQJ IDFH

%H YHU\ FDUHIXO WR DYRLG IXHO VSLOODJH

 8VH WKH ILOWHU ZUHQFK WR WXUQ LQ WKH IXHO ILOWHU DQ


DGGLWLRQDO  WR  RI D WXUQ

WLI

 2SHUDWH WKH SULPLQJ SXPS WR EOHHG WKH DLU IURP WKH IXHO
OLQH

%OHHGLQJWKH)XHO6\VWHP
‡ /RRVHQ WKH SULPLQJ SXPS FDS d
‡ /RRVHQ WKH DLU EOHHGLQJ SOXJ e
+*7 PRGHO RQO\

‡ 2SHUDWH WKH SULPLQJ SXPS


3XPS WKH SULPHU SXPS XQWLO IXHO IORZ LV IUHH RI DLU
EXEEOHV
([FHSW +*7 PRGHO

‡ 7LJKWHQ WKH DLU EOHHGLQJ SOXJ e


WLI
+*7 PRGHO RQO\

‡ /RRVHQ WKH EOHHGLQJ SOXJ c


‡ 2SHUDWH WKH SULPLQJ SXPS

3XPS WKH SULPHU SXPS XQWLO IXHO IORZ LV IUHH RI DLU


EXEEOHV

‡ 7LJKWHQ WKH EOHHGHU SOXJ c


‡ 2SHUDWH WKH SULPLQJ SXPS

3XPS WKH SULPHU SXPS XQWLO IXHO IORZ LV IUHH RI DLU


EXEEOHV
([FHSW +(7& PRGHO

‡ /RRVHQ WKH EOHHGLQJ SOXJ RQ WKH LQMHFWLRQ SXPS f


+(7& PRGHO RQO\

‡ 2SHUDWH WKH SULPLQJ SXPS


3XPS WKH SULPHU SXPS XQWLO IXHO IORZ LV IUHH RI DLU
EXEEOHV
+(7& PRGHO RQO\

‡ 7LJKWHQ WKH EOHHGLQJ SOXJ RQ WKH LQMHFWLRQ SXPS f


+(7& PRGHO RQO\

‡ /RFN WKH SULPLQJ SXPS FDS d


127(

&KHFN IRU IXHO OHDNDJH IURP DURXQG WKH LQMHFWLRQ SXPS

DQG WKH IXHO ILOWHU


 ¤  6(59,&( ,1)250$7,21

 6WDUW WKH HQJLQH

&UDQN WKH HQJLQH IRU WHQ VHFRQGV RU XQWLO LW VWDUWV

,I WKH HQJLQH GRHV QRW VWDUW DIWHU WHQ VHFRQGV UHSHDW


6WHS 

)RU +(7&
/:WLI

6XE)XHO)LOWHU 'XDO7\SH
5HSODFHPHQW 3URFHGXUH

 /RRVHQ WKH IXHO ILOWHUV E\ WXUQLQJ WKHP FRXQWHUFORFNZLVH


ZLWK WKH XQLYHUVDO ILOWHU ZUHQFK

 &OHDQ WKH XSSHU FRYHU ILWWLQJ IDFHV

7KLV ZLOO DOORZ WKH QHZ IXHO ILOWHUV WR VHDW SURSHUO\

WLI

 $SSO\ D WKLQ FRDW RI HQJLQH RLO WR WKH 2ULQJV

 ,QVWDOO WKH ILOWHU DVVHPEOLHV


&DUHIXOO\ WXUQ HDFK DVVHPEO\ FORFNZLVH XQWLO WKH 2ULQJ
LV ILWWHG DJDLQVW WKH ILOWHU FRYHU VHDOLQJ IDFH

 8VH WKH ILOWHU ZUHQFK WR WXUQ LQ HDFK ILOWHU DVVHPEO\ DQ


DGGLWLRQDO  WR  RI WXUQ

 2SHUDWH WKH SULPLQJ SXPS RQ WKH IXHO ILOWHU WR EOHHG WKH


IXHO V\VWHP
5HIHU WR ¦$,5 %/((',1*§ IRU PRUH GHWDLOHG
LQIRUPDWLRQ
WLI

3UHIXHO)LOWHU:DWHU'UDLQLQJ3URFHGXUH
7KH LQGLFDWRU OLJKW ZLOO FRPH RQ ZKHQ WKH ZDWHU OHYHO LQ WKH
ZDWHU VHSDUDWRU H[FHHGV WKH VSHFLILHG OHYHO

'UDLQ WKH ZDWHU DQG IRUHLJQ PDWHULDO IURP WKH ZDWHU


VHSDUDWRU ZLWK WKH IROORZLQJ SURFHGXUH

 3ODFH WKH HQG RI D YLQ\O KRVH EHQHDWK WKH GUDLQ SOXJ


LQ D FRQWDLQHU

 /RRVHQ WKH DLU LQWDNH SOXJ DQG GUDLQ SOXJ WKHQ GUDLQ
ZDWHU
/;WLI

 $IWHU GUDLQLQJ VHFXUHO\ WLJKWHQ WKH GUDLQ SOXJ DQG DLU


LQWDNH SOXJ

 7KHQ RSHUDWH WKH SULPLQJ SXPS RQ WKH LQMHFWLRQ SXPS


WR EOHHG WKH IXHO V\VWHP

 $IWHU VWDUWLQJ WKH HQJLQH FKHFN WR VHH WKDW QR IXHO


OHDNV IURP WKH GUDLQ SOXJ

WLI
6(59,&( ,1)250$7,21  ¤ 

,QMHFWLRQ1R]]OH
3UHVVXUHDQG6SUD\&RQGLWLRQ&KHFN
 8VH D QR]]OH WHVWHU WR FKHFN WKH LQMHFWLRQ QR]]OH
RSHQLQJ SUHVVXUH

,I WKH RSHQLQJ SUHVVXUH LV DERYH RU EHORZ WKH VSHFLILHG


YDOXH WKH LQMHFWLRQ QR]]OH PXVW EH UHSODFHG RU
DGMXVWHG

5HIHU WR ¦$GMXVWPHQW§
WLI 
,QMHFWLRQ 1R]]OH 2SHQLQJ 3UHVVXUH 0SD NJFP SVL

+)+)+*  

+(7&  

VW  


+*7
QG  

VW  


+(7
QG  

 &KHFN WKH VSUD\ FRQGLWLRQ

5HIHU WR WKH LOOXVWUDWLRQ

6SUD\ &RQGLWLRQ

c &RUUHFW
d ,QFRUUHFW 5HVWULFWLRQV LQ RULILFH
e ,QFRUUHFW 'ULSSLQJ
,I WKH VSUD\ FRQGLWLRQ LV EDG WKH LQMHFWLRQ QR]]OH PXVW
EH UHSODFHG RU DGMXVWHG

5HIHU WR ¦& )8(/ 6<67(0§


WLI

$GMXVWPHQW
 &ODPS WKH LQMHFWLRQ QR]]OH KROGHU c LQ D YLVH d
 8VH D ZUHQFK WR UHPRYH WKH LQMHFWLRQ QR]]OH UHWDLQLQJ
QXW e

WLI
 ¤  6(59,&( ,1)250$7,21

 5HPRYH WKH LQMHFWLRQ QR]]OH KROGHU IURP WKH YLVH

 5HPRYH WKH LQMHFWLRQ QR]]OH f WKH VSDFHU g WKH


VSULQJ VHDW h WKH VSULQJ i DQG WKH DGMXVWLQJ VKLP j
 ,QVWDOO WKH QHZ DGMXVWLQJ VKLP WKH VSULQJ WKH VSULQJ
VHDW WKH VSDFHU WKH LQMHFWLRQ QR]]OH DQG WKH UHWDLQLQJ
QXW

 &ODPS WKH LQMHFWLRQ QR]]OH KROGHU LQ WKH YLVH

 7LJKWHQ WKH LQMHFWLRQ QR]]OH KROGHU UHWDLQLQJ QXW WR WKH


VSHFLILHG WRUTXH

WLI
,QMHFWLRQ 1R]]OH +ROGHU 5HWDLQLQJ
1XW 7RUTXH 1‡P NJ‡POE‡IW

 

 5HPRYH WKH LQMHFWLRQ QR]]OH KROGHU IURP WKH YLVH

 $WWDFK WKH LQMHFWLRQ QR]]OH KROGHU WR WKH LQMHFWLRQ QR]]OH


WHVWHU

 $SSO\ SUHVVXUH WR WKH QR]]OH WHVWHU WR FKHFN WKDW WKH


LQMHFWLRQ QR]]OH RSHQV DW WKH VSHFLILHG SUHVVXUH

,I WKH LQMHFWLRQ QR]]OH GRHV QRW RSHQ DW WKH VSHFLILHG


SUHVVXUH LQVWDOO RU UHPRYH WKH DSSURSULDWH QXPEHU RU
DGMXVWLQJ VKLPV WR DGMXVW LW

5HPRYLQJ RU LQVWDOOLQJ RQH VKLP ZLOO LQFUHDVH RU


GHFUHDVH WKH QR]]OH RSHQLQJ SUHVVXUH DSSUR[LPDWHO\

 NJFP  SVLN3D 

$GMXVWLQJ 6KLP $YDLODELOLW\ PP LQ

5DQJH      

,QFUHPHQW  

7RWDO 1XPEHU RI 6KLPV 

$LU %OHHGLQJ ([FHSW +) PRGHO RQO\

$ERYH ZRUNV UHIHU WR ¦)8(/ 6<67(0§ LQ WKLV VHFWLRQ


6(59,&( ,1)250$7,21  ¤ 

$LU %OHHGLQJ +) PRGHO RQO\

 $FWXDWH WKH SULPLQJ SXPS c WR VHQG WKH DLU LQ WKH IXHO


V\VWHP WR WKH LQMHFWLRQ SXPS

 /RRVHQ WKH VHGLPHQWHU DLU EOHHGLQJ SOXJ d DQG


RSHUDWH WKH SULPLQJ SXPS XQWLO QR EXEEOHV DSSHDU

 7LJKWHQ WKH DLU EOHHGLQJ SOXJ FRPSOHWHO\

 7U\ WR VWDUW WKH HQJLQH ,I WKH HQJLQH LV QRW VWDUWHG ZLWKLQ


 VHFRQGV DLU EOHHGLQJ VKRXOG EH FRQGXFWHG RQFH
DJLDQ

WLI
 &KHFN WKDW WKHUH LV QR IXHO OHDN DQG WKHQ WLJKWHQ WKH
SULPLQJ SXPS FRPSOHWHO\

:DWHU 'UDLQ

,I PRUH ZDWHU WKDQ VSHFLILHG KDV FROOHFWHG WKH ZDUQLQJ OLJKW


LV OLW 8QGHU WKLV FRQGLWLRQ IROORZ WKH IROORZLQJ ZDWHU GUDLQ
SURFHGXUH

 3ODFH D FRQWDLQHU $SSUR[LPDWHO\  OLWHUV FDSDFLW\


EHQHDWK WKH GUDLQ SOXJ RQ WKH VHSDUDWRU

 /RRVHQ WKH GUDLQ SOXJ DQG DLU EOHHGLQJ SOXJ

 $IWHU GUDLQLQJ WLJKWHQ WKH GUDLQ SOXJ

 2SHUDWH WKH SULPLQJ SXPS VHYHUDO WLPHV DJDLQ DQG


FKHFN IRU IXHO OHDN

 7LJKWHQ WKH DLU EOHHGLQJ SOXJ

 0DNH VXUH WKDW WKH ZDUQLQJ OLJKW LQ WKH LQVWUXPHQW SDQHO


LV RII ([FHSW +(7& PRGHO

&22/,1*6<67(0
&RRODQW/HYHO
&KHFN WKH FRRODQW OHYHO DQG UHSOHQLVK WKH UDGLDWRU UHVHUYH
WDQN LI QHFHVVDU\

,I WKH FRRODQW OHYHO IDOOV EHORZ WKH ¦0,1§ OLQH FDUHIXOO\


FKHFN WKH FRROLQJ V\VWHP IRU OHDNDJH 7KHQ DGG HQRXJK
FRRODQW WR EULQJ WKH OHYHO XS WR WKH ¦0$;§ OLQH

WLI

127(

'R QRW RYHUILOO WKH UHVHUYH WDQN

5HPRYH WKH UDGLDWRU ILOOHU FDS RQO\ ZKHQ DEVROXWHO\


QHFHVVDU\

$OZD\V FKHFN WKH FRRODQW OHYHO ZKHQ WKH HQJLQH LV


FROG

$OZD\V UHIHU WR WKH FKDUW DW WKH OHIW WR GHWHUPLQH WKH


FRUUHFW FRROLQJ ZDWHU WR DQWLIUHH]H VROXWLRQ PL[LQJ
UDWLR

WLI
 ¤  6(59,&( ,1)250$7,21

&RROLQJ6\VWHP/HDNDJH,QVSHFWLRQ
&ORJ XS WKH UHVHUYHU WDQN KRVH FDUHIXOO\ DQG FKHFN WKH
FRROLQJ V\VWHP IRU OHDNDJH ZLWK D UDGLDWRU FDS WHVWHU E\

DSSO\LQJ DQ DLU SUHVVXUH RI  N3D  NJFP  SVL IURP
ILOOHU QHFN WR LQVLGH WKH UDGLDWRU

$V WKH UDGLDWRU XSSHU WDQN LV SURYLGHG ZLWK D YDOYH WKH


SUHVVXUH IDLOV WR ULVH KLJKHU WKDQ WKH YDOYH RSHQLQJ
SUHVVXUH XQOHVV WKH KRVH LV FORJJHG XS

WLI

5DGLDWRU9DOYH,QVSHFWLRQ
$SSO\ DLU SUHVVXUH IURP ILOOHU QHFN XVLQJ UDGLDWRU FDS WHVWHU
DQG FKHFN WKH RSHQLQJ SUHVVXUH RI UDGLDWRU YDOYH ,I WKH
YDOYH RSHQLQJ SUHVVXUH LV RXW RI WKH VWDQGDUG YDOXH UDQJH
UHSODFH ZLWK D QHZ UDGLDWRU YDOYH

5DGLDWRU YDOYH RSHQLQJ SUHVVXUH N3D NJFP SVL

       

5HPRYH WKH UDGLDWRU YDOYH DQG FKHFN D QHJDWLYH SUHVVXUH


YDOYH DV WKH FHQWHU RI WKH YDOYH VHDW VLGH ,I WKH QHJDWLYH
SUHVVXUH YDOYH GRHV QRW ZRUN VPRRWKO\ FOHDQ RU UHSODFH
WKH UDGLDWRU YDOYH

5DGLDWRU YDOYH IL[LQJ WRUTXH 1‡P NJ‡POE‡IW

 

&RQGXFW FRROLQJ V\VWHP OHDNDJH FKHFN DIWHU UHLQVWDOOLQJ


WKH UDGLDWRU YDOYH

7KHUPRVWDW 2SHUDWLQJ 7HVW


 &RPSOHWHO\ VXEPHUJH WKH WKHUPRVWDW LQ ZDWHU
 +HDW WKH ZDWHU
6WLU WKH ZDWHU FRQVWDQWO\ WR DYRLG GLUHFW KHDW EHLQJ
DSSOLHG WR WKH WKHUPRVWDW
 &KHFN WKH YDOYH LQLWLDO RSHQLQJ WHPSHUDWXUH

9DOYH ,QLWLDO 2SHQLQJ 7HPSHUDWXUH ƒ& ƒ)

6WDQGDUG

ZLWKRXW 3ULPDU\ YDOYH      


WLI MLJJOH
6HFRQGDU\ YDOYH      
YDOYH

ZLWK MLJJOH YDOYH      

 &KHFN WKH YDOYH OLIW IXOO RSHQLQJ WHPSHUDWXUH

9DOYH /LIW )XOO 2SHQLQJ 7HPSHUDWXUH ƒ& ƒ)

6WDQGDUG

ZLWKRXW MLJJOH YDOYH  

ZLWK MLJJOH YDOYH  

c 7KHUPRPHWHU f 7KHUPRVWDW
d $GLWDWLQJ URG g +HDW
e :RRGHQ SLHFH
6(59,&( ,1)250$7,21  ¤ 

)DQ%HOW
&KHFN WKH GULYH EHOW WHQVLRQ

'HSUHVV WKH GULYH EHOW PLGSRUWLRQ ZLWK D  1  NJ OE


IRUFH

'ULYH %HOW 'HIOHFWLRQ PP LQ

       1HZ EHOW

       5HXVH EHOW

WLI &KHFN WKH GULYH EHOW IRU FUDFNLQJ DQG RWKHU GDPDJH

‡ &UDQNVKDIW GDPSHU SXOOH\

‡ *HQHUDWRU SXOOH\

‡ &RROLQJ IDQ SXOOH\

)DQ%HOW$GMXVWPHQW
)DQ EHOW WHQVLRQ LV DGMXVWHG E\ PRYLQJ WKH JHQHUDWRU

7RUTXH 1‡P NJ‡POE‡IW

c  

d  

e  

,I HTXLSSHG ZLWK $& FRPSUHVVRU ORRVHQ WKH $& GULYH EHOW


WLI
WHQVLRQ SXOOH\ DGMXVW EROW DQG ORFN QXW 7KHQ IUHH WKH $&
GULYH EHOW :KHQ ILQLVKLQJ WKH IDQ EHOW DGMXVWPHQW DGMXVW
WKH $& GULYH EHOW DQG FKHFN WKH EHOW WHQVLRQ

$LU&RQGLWLRQLQJ $& &RPSUHVVRU'ULYH%HOW


&KHFN WKH GULYH EHOW WHQVLRQ

‡ 'HSUHVV WKH GULYH EHOW PLGSRUWLRQ ZLWK D  1 


NJ OE IRUFH

'ULYH %HOW 'HIOHFWLRQ PP LQ

      ž 1HZ EHOW

      ž 5HXVH EHOW

WLI
&KHFN WKH GULYH EHOW IRU FUDFNLQJ DQG RWKHU GDPDJH

$& FRPSUHVVRU GULYH EHOW WHQVLRQ LV DGMXVWHG E\ PRYLQJ


WKH WHQVLRQ SXOOH\

:KHQ ILQLVKLQJ WKH IDQ GULYH EHOW WKHQ DGMXVW WKH $& GULYH
EHOW

/RFNLQJ 1XW 7RUTXH 1‡P NJ‡POE‡IW

 

c $& FRPSUHVVRU SXOOH\

d 7HQVLRQ SXOOH\

e *HQHUDWRU SXOOH\

f &UDQNVKDIW GDPSHU SXOOH\

g 7HQVLRQ SXOOH\ ORFN QXW


 ¤  6(59,&( ,1)250$7,21

(1*,1(&21752/
,GOLQJ6SHHG,QVSHFWLRQ
 6HW WKH YHKLFOH SDUNLQJ EUDNH DQG FKRFN WKH GULYH
ZKHHOV

 3ODFH WKH WUDQVPLVVLRQ LQ QHXWUDO

 6WDUW WKH HQJLQH DQG DOORZ LW WR ZDUP XS

 &KHFN WKDW WKH LGOLQJ FRQWURO NQRE LV LQ WKH HQJLQH LGOLQJ


SRVLWLRQ

 6HW D WDFKRPHWHU WR WKH HQJLQH

 &KHFN WKH HQJLQH LGOLQJ VSHHG

(QJLQH LGOLQJ VSHHG VKRXOG EH DV EHORZ

(QJLQH ,GOLQJ 6SHHG USP

07  a 

$7  a 

,I WKH HQJLQH LGOLQJ VSHHG LV RXWVLGH WKH VSHFLILHG


UDQJH LW PXVW EH DGMXVWHG

,GOLQJ6SHHG$GMXVWPHQW
 /RRVHQ WKH LGOLQJ VHW EROW ORFN QXW RQ WKH LQMHFWLRQ
SXPS

 $GMXVW WKH LGOLQJ VSHHG ZLWK WKH LGOLQJ VHW EROW

 7LJKWHQ WKH ORFN QXW

WLI

,GOLQJ6SHHG&KHFN $GMXVWPHQW
+)PRGHORQO\
 :DUP XS WKH HQJLQH

 0HDVXUH LGOLQJ VSHHG E\ PHDQV RI WDFKRPHWHU

 ,I LGOLQJ VSHHG LV RXW RI WKH VWDQGDUG DGMXVW ZLWK DQ


LGOLQJ DGMXVW EROW LQGLFDWHG E\ DQ DUURZ PDUN 

,GOLQJ VSHHG    USP

WLI

$&&(/(5$725&21752/
$FFHOHUDWRU&RQWURO&DEOH$GMXVWPHQW
 /RRVHQ WKH DFFHOHUDWRU FDEOH FODPS EROW c
 &KHFN WKDW WKH LGOLQJ FRQWURO NQRE LV LQ WKH HQJLQH LGOLQJ
SRVLWLRQ

 +ROG WKH DFFHOHUDWRU OHYHU d LQ WKH IXOO\ FORVHG SRVLWLRQ


DQG VWUHWFK WKH FRQWURO FDEOH e LQ WKH GLUHFWLRQ
LQGLFDWHG E\ WKH DUURZ WR UHPRYH DQ\ VODFN
WLI
6(59,&( ,1)250$7,21  ¤ 

(1*,1(6723&21752/
$GMXVWPHQW
 &KHFN WKDW WKH NH\ VZLWFK LV HLWKHU LQ WKH ¦/2&.§
SRVLWLRQ RU UHPRYHG IURP WKH HQJLQH

 /RRVHQ WKH EROW c


 3XOO WKH IXHO FXW OHYHU d DV IDU DV SRVVLEOH DQG KROG LW
 5HPRYH FDEOH VODFNQHVV $ E\ SXOOLQJ WKH FDEOH LQ WKH
GLUHFWLRQ RI WKH DUURZ LQ WKH LOOXVWUDWLRQ
WLI

 7LJKWHQ WKH EROW c

$FFHOHUDWRU3HGDO$GMXVWPHQW
 3UHVV WKH DFFHOHUDWRU SHGDO WR WKH IORRUERDUG DQG KROG
LW

 8VH WKH VWRSSHU EROW f WR DGMXVW WKH FOHDUDQFH


EHWZHHQ WKH VWRSSHU EROW HQG DQG WKH DFFHOHUDWRU SHGDO
g ORZHU IDFH
$FFHOHUDWRU 3HGDO &OHDUDQFH PP LQ

     

WLI

9$/9(&/($5$1&($'-8670(17
 %ULQJ WKH SLVWRQ LQ HLWKHU WKH 1R F\OLQGHU RU WKH 1R
F\OLQGHU WR 7'& RQ WKH FRPSUHVVLRQ VWURNH E\ WXUQLQJ
WKH FUDQNVKDIW XQWLO WKH FUDQNVKDIW GDPSHU SXOOH\ WLPLQJ
PDUN LV DOLJQHG ZLWK WKH 7'& QRWFKHG OLQH

1RWH

,I WKHUH DUH WZR PDUNV RQ WKH FUDQN SXOOH\ WKH IURQW

VLGH RI PDUN LV IRU VHWWLQJ %7'& ƒ DQG WKH UHDU VLGH

RI PDUN LV IRU VHWWLQJ 7'&

WLI

 7LJKWHQ WKH URFNHU DUP VKDIW EUDFNHW QXWV DQG EROWV WR


WKH VSHFLILHG WRUTXH LQ QXPHULFDO RUGHU D OLWWOH DW D WLPH
DV VKRZQ LQ WKH LOOXVWUDWLRQ

5RFNHU $UP 6KDIW %UDFNHW 1XW DQG

%ROW 7RUTXH 1‡P NJ‡POE‡IW

 1XW  

„ %ROW  

{ %ROW  

WLI
‡ $SSO\ HQJLQH RLO WR WKH WKUHDGHG SRUWLRQ RI WKH QXWV
PDUNHG ZLWK ¦  § DQG WKH EROWV ZLWK ¦„ § VKRZQ LQ WKH
LOOXVWUDWLRQ OHIW DQG WKHQ WLJKWHQ WKHP WR WKH
VSHFLILHG WRUTXH
 ¤  6(59,&( ,1)250$7,21

 &KHFN IRU SOD\ LQ WKH 1R LQWDNH DQG H[KDXVW YDOYH


URFNHU DUPV

,I WKH 1R F\OLQGHU LQWDNH DQG H[KDXVW YDOYH URFNHU


DUPV KDYH SOD\ WKH 1R SLVWRQ LV DW 7'& RQ WKH
FRPSUHVVLRQ VWURNH

,I WKH 1R F\OLQGHU LQWDNH DQG H[KDXVW YDOYH URFNHU


DUPV DUH GHSUHVVHG WKH 1R SLVWRQ LV DW 7'& RQ WKH
FRPSUHVVLRQ VWURNH

WLI

$GMXVW WKH 1R RU WKH 1R F\OLQGHU YDOYH FOHDUDQFH


ZKLOH WKHLU UHVSHFWLYH F\OLQGHUV DUH DW 7'& RQ WKH
FRPSUHVVLRQ VWURNH

9DOYH &OHDUDQFH PP LQ

$W FROG  

 /RRVHQ HDFK YDOYH FOHDUDQFH DGMXVWLQJ VFUHZ DV


VKRZQ LQ WKH LOOXVWUDWLRQ

 ,QVHUW D IHHOHU JDXJH RI WKH DSSURSULDWH WKLFNQHVV


EHWZHHQ WKH URFNHU DUP DQG WKH YDOYH VWHP HQG
WLI

 7XUQ WKH YDOYH FOHDUDQFH DGMXVWLQJ VFUHZ XQWLO D VOLJKW


GUDJ FDQ EH IHOW RQ WKH IHHOHU JDXJH

 7LJKWHQ WKH ORFN QXW VHFXUHO\

 5RWDWH WKH FUDQNVKDIW  GHJUHHV

 5HDOLJQ WKH FUDQNVKDIW GDPSHU SXOOH\ WLPLQJ PDUN ZLWK


WKH 7'& QRWFKHG OLQH

 $GMXVW WKH FOHDUDQFH IRU WKH UHPDLQLQJ YDOYHV DV VKRZQ


LQ WKH LOOXVWUDWLRQ

WLI

,1-(&7,217,0,1*$'-8670(17
,QMHFWLRQ3XPS1RWFKHG/LQH,QVSHFWLRQ
 &KHFN WKH LQMHFWLRQ SXPS EUDFNHW QXWV c IRU
ORRVHQHVV

7LJKWHQ DV UHTXLUHG

 &KHFN WKDW WKH QRWFKHG OLQHV RQ WKH LQMHFWLRQ SXPS


EUDFNHW DQG WKH WLPLQJ JHDU FDVH DUH DOLJQHG

,I WKH QRWFKHG OLQHV DUH QRW DOLJQHG WKH LQMHFWLRQ WLPLQJ


WLI
PXVW EH FKHFNHG

 6RPH WLPH FKHFN LQMHFWLRQ WLPLQJ RQ WKH FUDQN GDPSHU


SXOOH\

,I WKH LQMHFWLRQ WLPLQJ DOLJQHG ZLWK LQ FRUUHFW WKH


LQMHFWLRQ WLPLQJ PXVW EH UHDGMXVWHG
6(59,&( ,1)250$7,21  ¤ 

,QMHFWLRQ7LPLQJ$GMXVWPHQW
 7XUQ WKH FUDQNVKDIW XQWLO WKH WLPLQJ PDUN RQ WKH
FUDQNVKDIW GDPSHU SXOOH\ LV DOLJQHG ZLWK WKH %7'&
LQMHFWLRQ WLPLQJ RI HDFK HQJLQH PRGHO PDUN LQ WKH
LOOXVWUDWLRQ

,QMHFWLRQ 7LPLQJ GHJ

+) +(,7& %7'& 

+* %7'& 

WLI
%7'&  ([FHSW &RORPELD
+*7
%7'&  )RU &RORPELD

+(,7 %7'& 

 5HPRYH WKH WZR IRDP UXEEHUV

 /RRVHQ WKH IRXU LQMHFWLRQ SXPS IL[LQJ QXWV

7KLV ZLOO DOORZ WKH SXPS WR SLYRW

'R QRW EHQG RU VFUDWFK WKH IXHO SLSH

 $OLJQ WKH QRWFKHG OLQH EHWZHHQ WKH LQMHFWLRQ SXPS


EUDFNHW DQG WKH WLPLQJ JHDU FDVH

WLI 0DNH VXUH WKDW WKH WLPLQJ PDUN RQ WKH FUDQN GDPSHU
SXOOH\ LV DOLJQHG ZLWK FRUUHFW LQMHFWLRQ WLPLQJ

WLI

WLI

1RWH

,Q FDVH WKH FUDQN SXOOH\ KDV WZR PDUNV DV LOOXVWUDWHG


? %7'& ƒ PDUN RQ WKH VHFRQG FUHVW DQG @ 7'&
PDUN RQ WKH WKLUG FUHVW DV YLHZHG IURP WKH IURQW VLGH 
EH VXUH WR VHW DW WKH PDUN @ ,I WKHUH DUH WZR GLIIHUHQW
PDUNV RQ RQH DQG VDPH FUHVW VHW DW WKH PDUN ZKLFK
FRPHV VHFRQG ZKHQ URWDWHG LQ WKH QRUPDO GLUHFWLRQ

7KH PDUN ? LV XVHG ZKHQ LQVWDOOLQJ WKH LQMHFWLRQ SXPS


IRU +)

5:WLI
 ¤  6(59,&( ,1)250$7,21

 7LJKWHQ WKH LQMHFWLRQ SXPS IL[LQJ QXWV WR WKH VSHFLILHG


WRUTXH

,QMHFWLRQ 3XPS )L[LQJ 1XW 7RUTXH 1‡P NJ‡POE‡IW

 

WLI

,QMHFWLRQ7LPLQJ&KHFN +)PRGHORQO\
 6HW 1R  &\OLQGHU WR WKH 7'& LQ WKH FRPSUHVVLRQ
VWURNH

 'LVFRQQHFW ,QMHFWLRQ 3LSH

 3XW GRZQ :D[ &6' OHYHU LQVHUW D VSDFHU   


PP   LQ WKLFN EHWZHHQ WKH SOXQJHU DQG
DGMXVW EROW DQG FDQFHO WKH :D[ &6'

/;WLI

 5HPRYH WKH SXPS UHDU SOXJ FRQQHFW D GLDO JDJH DQG


VHW WKH OLIW DW  PP  LQ 

6SHFLDO 7RRO

0HDVXULQJ GHYLFH 

WLI

 6HW WKH FUDQNVKDIW GDPSHU SXOOH\ 7'& PDUN WR WKH


SRLQWHU RU ƒ EHIRUH 7'&

 6HW WKH GLDO JDJH WR WKH ¦§ SRVLWLRQ

 7XUQ WKH FUDQNVKDIW OHIWZLVH DQG ULJKWZLVH D OLWWOH DQG


PDNH VXUH WKDW WKH QHHGOH VWD\V LQ WKH ¦§ SRVLWLRQ

WLI

 7XUQ WKH FUDQNVKDIW LQ WKH QRUPDO GLUHFWLRQ DQG UHDG


WKH PHDVXULQJ GHYLFH©V LQGLFDWLRQ DW WKH ƒ EHIRUH
7'& SRVLWLRQ

127(

$V WKHUH LV QR ƒ PDUN VHW PLGZD\ EHWZHHQ WKH ƒ


DQG ƒ PDUNV

6WDQGDUG YDOXH  PP  LQ

WLI
6(59,&( ,1)250$7,21  ¤ 

,QMHFWLRQ7LPLQJ$GMXVWPHQW
+)PRGHORQO\
,I LQMHFWLRQ WLPLQJ LV RXW RI WKH VSHFLILHG UDQJH IROORZ WKH
IROORZLQJ SURFHGXUH IRU DGMXVWPHQW

 /RRVHQ LQMHFWLRQ SXPS ILL[QJ QXWV DQG EUDFNHW EROW

 $GMXVW WKH PRXQWLQJ DQJOH RI LQMHFWLRQ SXPS

‡ ,I LQMHFWLRQ WLPLQJ LV WRR IDVW EULQJ WKH LQMHFWLRQ


SXPS FORVHU WR WKH HQJLQH

‡ ,I LQMHFWLRQ WLPLQJ LV WRR VORZ SXW WKH LQMHFWLRQ SXPS


WLI
PRUH GLVWDQW IURP WKH HQJLQH

 :KHQ WKH GLDO JDJH KDV LQGLFDWHG WKH VSHFLILHG YDOXH


WLJKWHQ WKH IL[LQJ QXWV DQG EROW WR VSHFLILHG WRUTXH

1XW 7LJKWHQLQJ 7RUTXH 1‡P NJ‡POE‡IW

 

%ROW 7LJKWHQLQJ 7RUTXH 1‡P NJ‡POE‡IW

 

 'LVFRQQHFW WKH GLDO JDJH LQVWDOO DQG WLJKWHQ WKH SOXJ WR


VSHFLILHG WRUTXH 0DNH VXUH RI D FRSSHU ZDVKHU EHLQJ
DWWDFKHG WR WKH SOXJ

3OXJ 7LJKWHQLQJ 7RUTXH 1‡P NJ‡POE‡IW

 

 5HOHDVH WKH ZD[ &6' DQG FRQQHFW WKH LQMHFWLRQ SLSH

3LSH 6OHHYH 1XW 7LJKWHQLQJ 7RUTXH 1‡P NJ‡POE‡IW

 
 ¤  6(59,&( ,1)250$7,21

&2035(66,2135(6685(
0($685(0(17
 6WDUW WKH HQJLQH DQG DOORZ LW WR ZDUP XS

(QJLQH &RRODQW 7HPSHUDWXUH $ERYH ƒ& ƒ)

 6WRS WKH HQJLQH

 5HPRYH WKH IROORZLQJ SDUWV


x *ORZ SOXJV
x ,Q FDVH 9( SXPS
)XHO FXW VROHQRLG FRQQHFWRU
x ,Q FDVH OLQH SXPS
1XPEHU  IXVH LQ IXVH ER[

 6HW WKH DGDSWHU DQG WKH FRPSUHVVLRQ JDXJH WR WKH


1R F\OLQGHU JORZ SOXJ KROH

&RPSUHVVLRQ *DXJH :LWK $GDSWHU  

$GDSWHU 

 &RQQHFW D WDFKRPHWHU DQG FKHFN WKDW HQJLQH FUDQNLQJ


VSHHG LV  USP RU KLJKHU

 7XUQ WKH HQJLQH RYHU ZLWK WKH VWDUWHU PRWRU DQG WDNH
WKH FRPSUHVVLRQ JDXJH UHDGLQJ

WLI
 5HSHDW WKH SURFHGXUH VWHSV  DQG  IRU WKH
UHPDLQLQJ F\OLQGHUV

&RPSUHVVLRQ 3UHVVXUH N3D NJFP SVL DW  USP

6WDQGDUG 0RUH WKDQ  

/LPLW IRU XVH  

9DULDQFH LQ SUHVVXUH
/HVV WKDQ  
EHWZHHQ F\OLQGHUV

,I WKH PHDVXUHG YDOYH LV OHVV WKDQ WKH VSHFLILHG OLPLW DERYH


ZRUNV UHIHU WR ¦7528%/(6+227,1*§ 6HFWLRQ LQ WKLV
PDQXDO

48,&.2167$57,,6<67(0
,QVSHFWLRQ3URFHGXUH
 'LVFRQQHFW WKH WKHUPRVZLWFK FRQQHFWLRQ RQ WKH
WKHUPRVWDW RXWOHW SLSH

 7XUQ WKH NH\ VZLWFK WR WKH ¦21§ SRVLWLRQ

,I WKH 4XLFN216WDUW ,, V\VWHP LV RSHUDWLQJ SURSHUO\


WKH IORZ UHOD\ ZLOO PDNH D FOLFNLQJ VRXQG ZLWKLQ WKUHH
VHFRQGV
WLI
 0HDVXUH WKH JORZ SOXJ WHUPLQDO YROWDJH ZLWK D FLUFXLW
WHVWHU DV VRRQ DV SRVVLEOH DIWHU WXUQLQJ WKH NH\ VZLWFK
WR WKH ¦21§ SRVLWLRQ

 &KHFN WKH JORZ SOXJ KHDWLQJ WLPH

$SSUR[LPDWH *ORZ 3OXJ +HDWLQJ 7LPH VHF


6(59,&( ,1)250$7,21  ¤ 

),;,1*72548(
&</,1'(5+($'+($'*$6.(7$1'+($'&29(5 1‡P NJ‡POE‡IW

WLI
 ¤  6(59,&( ,1)250$7,21

&</,1'(5+($'+($'*$6.(7$1'+($'&29(5 1‡P NJ‡POE‡IW

WLI
6(59,&( ,1)250$7,21  ¤ 

&5$1.6+$)7)/<:+((/'$03(538//(<&211(&7,1*
52'$1'2,/3$1
1‡P NJ‡POE‡IW

WLI
 ¤  6(59,&( ,1)250$7,21

*($575$,1&$06+$)752&.(5$506+$)7)52175(7$,1(5
)/<:+((/+286,1*
1‡P NJ‡POE‡IW

WLI
6(59,&( ,1)250$7,21  ¤ 

,1/(7&29(5$1'(;+$8670$1,)2/' 1‡P NJ‡POE‡IW

WLI
 ¤  6(59,&( ,1)250$7,21

,1/(7&29(5$1'(;+$8670$1,)2/' 1‡P NJ‡POE‡IW

WLI
6(59,&( ,1)250$7,21  ¤ 

785%2&+$5*(5:$7(53,3($1'2,/3,3( 1‡P NJ‡POE‡IW

/;WLI
 ¤  6(59,&( ,1)250$7,21

:$7(53803:$7(5287/(73,3(2,/38032,/&22/(5
$1'2,/),/7(5
1‡P NJ‡POE‡IW

WLI
6(59,&( ,1)250$7,21  ¤ 

*(1(5$72567$57(5$1'*/2:3/8* 1‡P NJ‡POE‡IW

WLI
 ¤  6(59,&( ,1)250$7,21

(1*,1(02817,1* 1‡P NJ‡POE‡IW

WLI
6(59,&( ,1)250$7,21  ¤ 

,1-(&7,213803,1-(&7,213,3($1')8(/3,3( 1‡P NJ‡POE‡IW

WLI
 ¤  6(59,&( ,1)250$7,21

63(&,$/722/6

,WHP
,OOXVWUDWLRQ 3DUW 1R 3DUW 1DPH 5HPDUNV
1R

  2LO ILOWHU ZUHQFK

  &RPSUHVVLRQ JDXJH ZLWK DGDSWHU

  &RPSUHVVLRQ JDXJH DGDSWHU

)RU DQJXODU
  $QJOH JDXJH EROW DQG QXW
WLJKWHQLQJ

  3LVWRQ LQVWDOOHU

  &UDQNVKDIW VWRSSHU

)RU FUDQNVKDIW
  6OLQJHU SXOOHU IURQW DQG UHDU
VOLQJHU UHPRYH

)RU FUDQNVKDIW
IURQW DQG UHDU
  2LO VHDO VHWWLQJ WRRO NLW
RLO VHDO DQG
VOLQJHU LQVWDOO

  &OXWFK SLORW DOLJQHU

  9DOYH VSULQJ FRPSUHVVRU


6(59,&( ,1)250$7,21  ¤ 

,WHP
,OOXVWUDWLRQ 3DUW 1R 3DUW 1DPH 5HPDUNV
1R

  9DOYH JXLGH UHSODFHU

  9DOYH JXLGH VHDO LQVWDOOHU

  6HDOLQJ FXS LQVWDOOHU

  &\OLQGHU OLQHU UHPRYHU


  &\OLQGHU OLQHU UHPRYHU DQNOH
+*

&\OLQGHU /LQHU ,QVWDOOHU


 
+(7 DQG +(7& RQO\

  &UDQNVKDIW JHDU UHPRYHU

  &UDQNVKDIW JHDU LQVWDOOHU

  &RQURG EXVK UHSODFHU

  2LO ILOWHU ZUHQFK :' PRGHO


 ¤  6(59,&( ,1)250$7,21

/8%5,&$7,1*6<67(0
*(1(5$/'(6&5,37,21
/8%5,&$7,1*2,/)/2:

+) 0RGHO
+) 0RGHO
+* 0RGHO
+*7

/:WLI

+(7 0RGHO
+(7& 0RGHO

/:WLI

7KH HQJLQH OXEULFDWLQJ V\VWHP LV D IXOO IORZ W\SH

/XEULFDWLQJ RLO LV SXPSHG IURP WKH RLO SXPS WR WKH F\OLQGHU ERG\ RLO JDOOHU\ WKURXJK WKH RLO ILOWHU DQG WKH RLO FRROHU ,W

LV WKHQ GHOLYHUHG WR WKH YLWDO SDUWV RI WKH HQJLQH IURP WKH F\OLQGHU ERG\ RLO JDOOHU\

2LO MHWV LQVWDOOHG RQ WKH F\OLQGHU ERG\ VSUD\ HQJLQH RLO WR WKH SLVWRQ LQVLGH IDFHV WR DFKLHYH PD[LPXP FRROLQJ HIIHFW
HOME
*(1(5$/ (1*,1( 0(&+$1,&$/ $ ¤ 

6(&7,21$
(1*,1(0(&+$1,&$/

&217(176
3$*(
&\OLQGHU+HDG $ 
9DOYH6SULQJ9DOYH*XLGH2LO6HDO9DOYH9DOYH*XLGH $ 
&DPVKDIW  $ 
5RFNHU$UP$VVHPEO\ $ 
2LO3XPS  $ 
&UDQNVKDIW  $ 
3LVWRQDQG&RQQHFWLQJ5RG $ 
&\OLQGHU%ORFN $ 
$ ¤  *(1(5$/ (1*,1( 0(&+$1,&$/

&</,1'(5+($'

$WLI

127(

‡ 'XULQJ GLVDVVHPEO\ EH VXUH WKDW WKH YDOYH WUDLQ

FRPSRQHQWV DUH NHSW WRJHWKHU DQG LGHQWLILHG VR

WKDW WKH\ FDQ EH UHLQVWDOOHG LQ WKHLU RULJLQDO

ORFDWLRQV

‡ %HIRUH UHPRYLQJ WKH F\OLQGHU KHDG IURP WKH HQJLQH

DQG EHIRUH GLVDVVHPEOLQJ WKH YDOYH PHFKDQLVP

PDNH D FRPSUHVVLRQ WHVW DQG QRWH WKH UHVXOWV

',6$66(0%/<
 *ORZ 3OXJ &RQQHFWRU

 *ORZ 3OXJ

 ,QMHFWLRQ 1R]]OH +ROGHU $VVHPEO\

0DUN WKH QR]]OH KROGHU DVVHPEOLHV ILWWLQJ SRVLWLRQV E\

WDJJLQJ HDFK QR]]OH KROGHU DVVHPEO\ ZLWK WKH F\OLQGHU

QXPEHU IURP ZKLFK LW ZDV UHPRYHG


*(1(5$/ (1*,1( 0(&+$1,&$/ $ ¤ 

 5RFNHU $UP 6KDIW $VVHPEO\

 /RRVHQ WKH URFNHU DUP VKDIW EUDFNHW QXWV DQG EROWV LQ


QXPHULFDO RUGHU D OLWWOH DW D WLPH DQG UHPRYH WKH URFNHU
DUP VKDIW DVVHPEO\ ZLWK WKH FDPVKDIW EUDFNHWV

 /HDYH WKH $ LQGLFDWHG EROW XQUHPRYHG RQ WKLV


RFFDVLRQ VLQFH LW LV WKH URFNHU DUP IL[LQJ EROW

&$87,21

)DLOXUH WR ORRVHQ WKH URFNHU DUP VKDIW EUDFNHW QXWV DQG

EROWV LQ QXPHULFDO RUGHU D OLWWOH DW D WLPH ZLOO DGYHUVHO\

DIIHFW WKH URFNHU DUP VKDIW


$WLI

 9DOYH &DS

&$87,21

7DNH VXIILFLHQW FDUH QRW WR OHW YDOYH FDSV IDOO LQWR WKH

JHDU FDVH RU RLO UHWXUQ KROH

 &DPVKDIW %HDULQJ &DS

 &DPVKDIW %HDULQJ 8SSHU

 &DPVKDIW $VVHPEO\

 &DPVKDIW %HDULQJ /RZHU

,I WKH FDPVKDIW EHDULQJV DUH WR EH UHLQVWDOOHG PDUN WKHLU


ILWWLQJ SRVLWLRQV E\ WDJJLQJ HDFK EHDULQJ ZLWK WKH F\OLQGHU
QXPEHU IURP ZKLFK LW ZDV UHPRYHG

$WLI

 &\OLQGHU +HDG

/RRVHQ WKH F\OLQGHU KHDG EROWV LQ QXPHULFDO RUGHU D OLWWOH DW


D WLPH

&$87,21

)DLOXUH WR ORRVHQ WKH F\OLQGHU KHDG EROWV LQ QXPHULFDO RUGHU


D OLWWOH DW D WLPH ZLOO DGYHUVHO\ DIIHFW WKH F\OLQGHU KHDG ORZHU
VXUIDFH

‡ 5HIHU WR 6HFWLRQ $ ¦&</,1'(5 +($'§

$WLI

&/($1
‡ &\OLQGHU KHDG EROWV

‡ &\OLQGHU KHDG

&DUHIXOO\ UHPRYH DOO YDUQLVK VRRW DQG FDUERQ WR WKH


EDUH PHWDO 'R QRW XVH D PRWRUL]HG ZLUH EUXVK RQ DQ\
JDVNHW VHDOLQJ VXUIDFH
$ ¤  *(1(5$/ (1*,1( 0(&+$1,&$/

,163(&7,21$1'5(3$,5
0DNH WKH QHFHVVDU\ DGMXVWPHQWV UHSDLUV DQG SDUW
UHSODFHPHQWV LI H[FHVVLYH ZHDU RU GDPDJH LV GLVFRYHUHG
GXULQJ LQVSHFWLRQ

‡ &\OLQGHU KHDG JDVNHW DQG PDWLQJ VXUIDFHV IRU OHDNV


FRUURVLRQ DQG EORZE\ ,I WKH JDVNHW KDV IDLOHG
GHWHUPLQH WKH FDXVH

 ,PSURSHU LQVWDOODWLRQ

 /RRVH RU ZDUSHG F\OLQGHU KHDG

 ,QVXIILFLHQW WRUTXH RQ KHDG EROWV

 :DUSHG FDVH VXUIDFH

 &\OLQGHU KHDG EROWV IRU GDPDJHG WKUHDGV RU VWUHWFKLQJ


DQG GDPDJHG KHDGV FDXVHG E\ LPSURSHU XVH RI WRROV

&$87,21

6XVSHFWHG EROWV PXVW EH UHSODFHG

 &\OLQGHU KHDG IRU FUDFNV HVSHFLDOO\ EHWZHHQ YDOYH


VHDWV DQG LQ WKH H[KDXVW SRUWV

 &\OLQGHU KHDG GHFN IRU FRUURVLRQ VDQG SDUWLFOHV LQ


KHDG DQG SRURVLW\

&$87,21

'R QRW DWWHPSW WR ZHOG WKH F\OLQGHU KHDG 5HSODFH LW

&\OLQGHU+HDG/RZHU)DFH:DUSDJH
 8VH D VWUDLJKW HGJH DQG D IHHOHU JDXJH WR PHDVXUH WKH
IRXU VLGHV DQG WKH WZR GLDJRQDOV RI WKH F\OLQGHU KHDG
IDFH

 ,I WKH PHDVXUHG YDOXHV H[FHHG WKH VSHFLILHG OLPLW WKH


F\OLQGHU KHDG PXVW EH UHSODFHG

127(

'R QRW UHJULQG WKH F\OLQGHU KHDG ORZHU IDFH

&\OLQGHU +HDG /RZHU )DFH :DUSDJH PP LQ


$WLI

6WDQGDUG /LPLW

  RU OHVV  

0DQLIROG)LWWLQJ)DFH:DUSDJH
8VH D VWUDLJKW HGJH DQG D IHHOHU JDXJH WR PHDVXUH WKH
PDQLIROG F\OLQGHU KHDG ILWWLQJ IDFH ZDUSDJH

5HJULQG WKH PDQLIROG F\OLQGHU KHDG ILWWLQJ IDFHV LI WKH


PHDVXUHG YDOXH LV JUHDWHU WKDQ WKH VSHFLILHG OLPLW

0DQLIROG )LWWLQJ )DFH :DUSDJH PP LQ

6WDQGDUG /LPLW

  RU OHVV  

$WLI
*(1(5$/ (1*,1( 0(&+$1,&$/ $ ¤ 

([KDXVW0DQLIROG:DUSDJH
8VH D VWUDLJKW HGJH DQG D IHHOHU JDXJH WR PHDVXUH WKH
PDQLIROG F\OLQGHU KHDG ILWWLQJ IDFH ZDUSDJH

,I WKH PHDVXUHG YDOXHV H[FHHG WKH VSHFLILHG OLPLW WKH


PDQLIROG PXVW EH UHSODFHG

([KDXVW 0DQLIROG :DUSDJH PP LQ

6WDQGDUG /LPLW

  RU OHVV  


$WLI

5($66(0%/<
,QVWDOO WKH F\OLQGHU KHDG JDVNHW ZLWK LWV ¦3$57 180%(5§
PDUN IDFLQJ XS DQG WRZDUG WKH OHIW RI WKH HQJLQH

&$87,21

'R QRW UHXVH WKH F\OLQGHU KHDG JDVNHW

$ERYH ZRUNV UHIHU WR ¦&</,1'(5 %/2&.§ VHFWLRQ LQ WKLV


PDQXDO

$WLI

 &\OLQGHU +HDG

 $OLJQ WKH F\OLQGHU ERG\ GRZHOV DQG WKH F\OLQGHU KHDG


GRZHO KROHV

 &DUHIXOO\ SODFH WKH F\OLQGHU KHDG RQ WKH F\OLQGHU KHDG


JDVNHW

 $SSO\ D FRDW RI PRO\EGHQXP GLVXOILGH JUHDVH WR WKH


0 F\OLQGHU KHDG EROW WKUHDGV DQG VHWWLQJ IDFHV DQG
DSSO\ D FRDW RI HQJLQH RLO WR WKH 0 F\OLQGHU KHDG EROW
WKUHDGV DQG VHWWLQJ IDFHV

 8VH WKH DQJXODU WLJKWHQLQJ PHWKRG WR WLJKWHQ WKH EROWV


$WLI
0 WR WKH VSHFLILHG WRUTXH LQ WKUHH VWHSV IROORZLQJ
WKH QXPHULFDO RUGHU VKRZQ LQ WKH LOOXVWUDWLRQ

&\OLQGHU +HDG %ROW 7RUTXH 0  a 

1‡P NJ‡POE‡IW

VW VWHS QG VWHS UG VWHS

    ƒ  ƒ

 7LJKWHQ WKH F\OLQGHU KHDG WR WKH IO\ZKHHO KRXVLQJ EROWV


0 WR WKH VSHFLILHG WRUTXH

&\OLQGHU +HDG %ROW 7RUTXH 0  a 

$WLI 1‡P NJ‡POE‡IW

 
$ ¤  *(1(5$/ (1*,1( 0(&+$1,&$/

 &DPVKDIW %HDULQJ /RZHU

 &DPVKDIW $VVHPEO\

 7XUQ WKH FUDQNVKDIW LQ WKH GLUHFWLRQ RI QRUPDO URWDWLRQ


XQWLO WKH WLPLQJ PDUN RQ WKH FUDQNVKDIW GDPSHU SXOOH\ LV
DOLJQHG ZLWK WKH 7'& QRWFKHG OLQH &RQILUP WKDW WKH
1R  F\OLQGHU SLVWRQ FRPHV WR WKH FRPSUHVVLRQ WRS
GHDG FHQWHU

 $SSO\ HQJLQH RLO WR WKH FDPVKDIW MRXUQDO DQG WKH


FDPVKDIW EHDULQJ VXUIDFHV EHIRUH LQVWDOODWLRQ

 &DUHIXOO\ DOLJQ WKH FDPVKDIW JHDU ¦,§ PDUN DQG WKH


$WLI
F\OLQGHU KHDG XSSHU IDFH VKRZQ LQ WKH LOOXVWUDWLRQ

 &DPVKDIW %HDULQJ 8SSHU

 &DPVKDIW %HDULQJ &DS

 ,QVWDOO WKH EHDULQJ FDSV ZLWK WKH EHDULQJ FDS KHDG PDUN
DUURZ IDFLQJ IRUZDUG

 $SSO\ D FRDW RI HQJLQH RLO WR WKH EHDULQJ FDS EROW DQG


VWXG WKUHDGV

$WLI

 7LJKWHQ WKH EHDULQJ FDS EROWV DQG VWXGV WR WKH VSHFLILHG


WRUTXH

&DPVKDIW %HDULQJ &DS 1XW DQG %ROW 7RUTXH

1‡P NJ‡POE‡IW

 

$WLI

 9DOYH &DS

$SSO\ HQJLQH RLO WR WKH LQVLGH RI WKH YDOYH FDSV DQG LQVWDOO
WKHP WR WKH YDOYH VWHP HQG

&$87,21

7DNH VXIILFLHQW FDUH QRW WR OHW YDOYH FDSV IDOO LQWR WKH

JHDU

$WLI

 5RFNHU $UP 6KDIW $VVHPEO\

 7HPSRUDULO\ WLJKWHQ WKH EROWV PDUNHG ZLWK WKH DUURZ LQ


WKH LOOXVWUDWLRQ

 /RRVHQ WKH URFNHU DUP DGMXVW VFUHZV DQG DSSO\ HQJLQH


RLO WR WKH URFNHU DUP UROOHU SRUWLRQV

 ,QVWDOO WKH URFNHU DUP DVVHPEO\ RQ WKH F\OLQGHU KHDG

$WLI
*(1(5$/ (1*,1( 0(&+$1,&$/ $ ¤ 

 7LJKWHQ WKH URFNHU DUP VKDIW EUDFNHW QXWV DQG EROWV WR


WKH VSHFLILHG WRUTXH LQ QXPHULFDO RUGHU D OLWWOH DW D WLPH
DV VKRZQ LQ WKH LOOXVWUDWLRQ

5RFNHU $UP 6KDIW %UDFNHW 1XW DQG

%ROW 7RUTXH 1‡P NJ‡POE‡IW

 1XW  

„ %ROW  

† %ROW  

$WLI
 $SSO\ HQJLQH RLO WR WKH WKUHDGHG SRUWLRQ RI WKH QXWV
PDUNHG ZLWK ¦ § DQG WKH EROWV ZLWK ¦„§ VKRZQ LQ WKH
LOOXVWUDWLRQ OHIW DQG WLJKWHQ WKHP WR WKH VSHFLILHG WRUTXH

$GMXVW WKH YDOYH FOHDUDQFH

9DOYH &OHDUDQFH PP LQ

$W FROG  

$ERYH ZRUNV UHIHU WR ¦6(59,&,1*§ ¦9$/9( &/($5$1&(


$'-8670(17§ SUHYLRXVO\ VHFWLRQ LQ WKLV PDQXDO

$WLI

 ,QMHFWLRQ 1R]]OH +ROGHU $VVHPEO\

7LJKWHQ WKH QR]]OH KROGHU IODQJH QXWV WR WKH VSHFLILHG


WRUTXH LQ WKH QXPHULFDO RUGHU VKRZQ LQ WKH LOOXVWUDWLRQ

1R]]OH +ROGHU )ODQJH 1XW 7RUTXH 1‡P NJ‡POE‡IW

 

 *ORZ 3OXJ

*ORZ 3OXJ 7RUTXH 1‡P NJ‡POE‡IW

 
$WLI

 *ORZ 3OXJ &RQQHFWRU


$ ¤  *(1(5$/ (1*,1( 0(&+$1,&$/

9$/9(635,1*9$/9(*8,'(2,/6($/9$/9(9$/9(*8,'(

$WLI

',6$66(0%/<
3UHSDUDWLRQ

‡ 5HPRYH DOO WKH SDUWV RQO\ ZLWK WKH F\OLQGHU KHDG


DVVHPEO\ OHIW

$ERYH ZRUNV UHIHU WR ¦&</,1'(5 +($' *$6.(7§


VHFWLRQ $ LQ WKLV PDQXDO

 &RWWHU &ROODU

 3ODFH WKH F\OLQGHU KHDG RQ D IODW ZRRGHQ VXUIDFH

 8VH WKH YDOYH VSULQJ FRPSUHVVRU WR UHPRYH WKH FRWWHU


FROODU

'R QRW DOORZ WKH YDOYH WR IDOO IURP WKH F\OLQGHU KHDG

9DOYH 6SULQJ &RPSUHVVRU 

 6SULQJ 8SSHU 6HDW

 9DOYH 6SULQJ

$WLI
*(1(5$/ (1*,1( 0(&+$1,&$/ $ ¤ 

 ,QWDNH DQG ([KDXVW 9DOYH

,I WKH LQWDNH DQG H[KDXVW YDOYHV DUH WR EH UHLQVWDOOHG PDUN


WKHLU LQVWDOODWLRQ SRVLWLRQV E\ WDJJLQJ HDFK YDOYH ZLWK WKH
F\OLQGHU QXPEHU IURP ZKLFK LW ZDV UHPRYHG

,I WKH LQWDNH DQG H[KDXVW YDOYHV DUH WR EH UHSODFHG WKH


YDOYH JXLGHV PXVW DOVR EH UHSODFHG

$WLI

 9DOYH *XLGH 6HDO

 6SULQJ /RZHU 6HDW

$WLI

,163(&7,21$1'5(3$,5
0DNH WKH QHFHVVDU\ DGMXVWPHQWV UHSDLUV DQG SDUW
UHSODFHPHQWV LI H[FHVVLYH ZHDU RU GDPDJH LV GLVFRYHUHG
GXULQJ LQVSHFWLRQ

9DOYH6SULQJ)UHH+HLJKW
8VH D YHUQLHU FDOLSHU WR PHDVXUH WKH YDOYH VSULQJ IUHH
KHLJKW

,I WKH PHDVXUHG YDOYH LV OHVV WKDQ WKH VSHFLILHG OLPLW WKH


YDOYH VSULQJ PXVW EH UHSODFHG

9DOYH 6SULQJ )UHH +HLJKW PP LQ

+) +) +* +*7

1RPLQDO 6L]H /LPLW


$WLI

   

+(7 +(7&

1RPLQDO VL]H /LPLW

,QWDNH ,QQHU    

,QWDNH 2XWHU    

([KDXVW ,QQHU    

([KDXVW 2XWHU    


$ ¤  *(1(5$/ (1*,1( 0(&+$1,&$/

9DOYH6SULQJ6TXDUHQHVV
8VH D VXUIDFH SODWH DQG D VTXDUH WR PHDVXUH WKH YDOYH
VSULQJ VTXDUHQHVV

,I WKH PHDVXUHG YDOXH H[FHHGV WKH VSHFLILHG OLPLW WKH YDOYH


VSULQJ PXVW EH UHSODFHG

9DOYH 6SULQJ 6TXDUHQHVV PP LQ

/LPLW  

$WLI

9DOYH6SULQJ7HQVLRQ
8VH VSULQJ WHVWHU WR PHDVXUH WKH YDOYH VSULQJ WHQVLRQ

,I WKH PHDVXUHG YDOYH LV OHVV WKDQ WKH VSHFLILHG OLPLW WKH


YDOYH VSULQJ PXVW EH UHSODFHG

9DOYH 6SULQJ 7HQVLRQ 1 NJOE

6HW /HQJWK
6WDQGDUG /LPLW
PP LQ

  
   
$WLI
    

9DOYH*XLGH
&$87,21

7DNLQJ FDUH QRW WR GDPDJH WKH YDOYH VHDW FRQWDFW


VXUIDFH ZKHQ UHPRYLQJ FDUERQ DGKHULQJ WR WKH YDOYH
KHDG

&DUHIXOO\ LQVSHFW WKH YDOYH VWHP IRU VFUDWFKLQJ RU


DEQRUPDO ZHDU ,I WKHVH FRQGLWLRQV DUH SUHVHQW WKH
YDOYH DQG WKH YDOYH JXLGH PXVW EH UHSODFHG DV D VHW

9DOYH6WHPDQG9DOYH*XLGH&OHDUDQFH
0HDVXULQJ 0HWKRG,

 6HW WKH GLDO LQGLFDWRU WR WKH YDOYH VWHP PHDVXULQJ SRLQW

 0RYH WKH YDOYH VWHP HQG IURP VLGH WR VLGH

5HDG WKH GLDO LQGLFDWRU

1RWH WKH WRWDO LQGLFDWRU UHDGLQJ

,I WKH PHDVXUHG YDOXHV H[FHHG WKH VSHFLILHG OLPLW WKH


YDOYH DQG WKH YDOYH JXLGH PXVW EH UHSODFHG DV D VHW

7RWDO 'LDO ,QGLFDWRU 5HDGLQJ


$WLI

9DOYH 6WHP DQG 9DOYH *XLGH &OHDUDQFH PP LQ

9DOYH 6WDQGDUG /LPLW

   


,QWDNH 9DOYH
   

   


([KDXVW 9DOYH
   
*(1(5$/ (1*,1( 0(&+$1,&$/ $ ¤ 

0HDVXULQJ 0HWKRG,,

 0HDVXUH WKH YDOYH VWHP RXWVLGH GLDPHWHU

5HIHU WR WKH ¦9DOYH 6WHP 2XWVLGH 'LDPHWHU§

 8VH D FDOLSHU FDOLEUDWRU RU D WHOHVFRSLQJ JDXJH WR


PHDVXUH WKH YDOYH JXLGH LQVLGH GLDPHWHU

 &DOFXODWH WKH FOHDUDQFH EHWZHHQ WKH YDOYH JXLGH LQVLGH


GLDPHWHU DQG WKH YDOYH VWHP RXWVLGH GLDPHWHU

,I WKH FOHDUDQFH H[FHHGV WKH VSHFLILHG OLPLW WKH YDOYH


DQG WKH YDOYH JXLGH PXVW EH UHSODFHG DV D VHW

$WLI

9DOYH6WHP2XWVLGH'LDPHWHU
0HDVXUH WKH YDOYH VWHP GLDPHWHU DW WKUHH SRLQWV

,I WKH PHDVXUHG YDOYH LV OHVV WKDQ WKH VSHFLILHG OLPLW WKH


YDOYH DQG WKH YDOYH JXLGH PXVW EH UHSODFHG DV D VHW

9DOYH 6WHP 2XWVLGH 'LDPHWHU PP LQ

9DOYH 6WDQGDUG /LPLW

   


,QWDNH 9DOYH
   

$WLI
   
([KDXVW 9DOYH
   

9DOYH*XLGH5HSODFHPHQW
9DOYH*XLGH5HPRYDO
8VH D KDPPHU DQG WKH YDOYH JXLGH UHSODFHU WR GULYH RXW
WKH YDOYH JXLGH IURP WKH F\OLQGHU KHDG ORZHU IDFH

9DOYH *XLGH 5HSODFHU 

$WLI

9DOYH*XLGH,QVWDOODWLRQ
 $SSO\ HQJLQH RLO WR WKH YDOYH JXLGH RXWHU FLUFXPIHUHQFH

 $WWDFK WKH YDOYH JXLGH LQVWDOOHU WR WKH YDOYH JXLGH

9DOYH *XLGH 5HSODFHU 

 8VH D KDPPHU WR GULYH WKH YDOYH JXLGH LQWR SRVLWLRQ


IURP WKH F\OLQGHU KHDG XSSHU IDFH

$WLI
$ ¤  *(1(5$/ (1*,1( 0(&+$1,&$/

 0HDVXUH WKH KHLJKW + RI WKH YDOYH JXLGH XSSHU HQG


IURP WKH F\OLQGHU KHDG XSSHU IDFH

9DOYH *XLGH 8SSHU (QG +HLJKW + PP LQ

 ‘   ‘ 

127(

,I WKH YDOYH JXLGH KDV EHHQ UHPRYHG ERWK WKH YDOYH

DQG WKH YDOYH JXLGH PXVW EH UHSODFHG DV D VHW

$WLI

9$/9($1'9$/9(6($7,16(57
9DOYH7KLFNQHVVDQG'HSUHVVLRQ
 0HDVXUH WKH YDOYH WKLFNQHVV

,I WKH PHDVXUHG YDOXH LV OHVV WKDQ WKH VSHFLILHG OLPLW


WKH YDOYH DQG WKH YDOYH VHDW LQVHUW PXVW EH UHSODFHG DV
D VHW

,QWDNH DQG ([KDXVW 9DOYH 7KLFNQHVV PP LQ

9DOYH 1RPLQDO 6L]H /LPLW


$WLI

,QOHW    

([KDXVW    

 ,QVWDOO WKH QHZ YDOYH ? WR WKH F\OLQGHU KHDG @


 8VH D GHSWK JDXJH RU D VWUDLJKW HGJH ZLWK VWHHO UXOH WR
PHDVXUH WKH YDOYH GHSUHVVLRQ IURP WKH F\OLQGHU KHDG
ORZHU VXUIDFH

,I WKH PHDVXUHG YDOXH H[FHHGV WKH VSHFLILHG OLPLW WKH


YDOYH VHDW LQVHUW DQGRU WKH YDOYH PXVW EH UHSODFHG

,QWDNH DQG ([KDXVW 9DOYH 'HSUHVVLRQ PP LQ

6WDQGDUG /LPLW

       


$WLI

9DOYH&RQWDFW:LGWK
 &KHFN WKH YDOYH FRQWDFW IDFHV IRU URXJKQHVV DQG
XQHYHQQHVV

0DNH VPRRWK WKH YDOYH FRQWDFW VXUIDFHV

 0HDVXUH WKH YDOYH FRQWDFW ZLGWK

,I WKH PHDVXUHG YDOXH H[FHHGV WKH VSHFLILHG OLPLW WKH


YDOYH VHDW LQVHUW PXVW EH FRUUHFWHG RU UHSODFHG

9DOYH &RQWDFW :LGWK PP LQ

9DOYH 1RPLQDO 6L]H /LPLW


$WLI

,QWDNH    

([KDXVW    


*(1(5$/ (1*,1( 0(&+$1,&$/ $ ¤ 

&RQWDFW6XUIDFH$QJOHRQ9DOYH6HDWRQ9DOYH
 0HDVXUH FRQWDFW VXUIDFH DQJOH RQ YDOYH VHDW

 ,I WKH PHDVXUHG YDOXH H[FHHGV WKH OLPLW UHSODFH YDOYH


YDOYH JXLGH DQG YDOYH VHDW DV D VHW

6WDQGDUG 'HJUHHV

ƒ

$WLI

9DOYH6HDW,QVHUW5HSODFHPHQW
9DOYH6HDW,QVHUW5HPRYDO
 $UF ZHOG WKH HQWLUH LQVLGH FLUFXPIHUHQFH ? RI WKH YDOYH
VHDW LQVHUW @
 $OORZ WKH YDOYH VHDW LQVHUW WR FRRO IRU D IHZ PLQXWHV

7KLV ZLOO LQYLWH FRQWUDFWLRQ DQG PDNH UHPRYDO RI WKH


YDOYH VHDW LQVHUW HDVLHU
 8VH D VFUHZGULYHU A WR SU\ WKH YDOYH VHDW LQVHUW IUHH
7DNH FDUH QRW WR GDPDJH WKH F\OLQGHU KHDG B
$WLI

 &DUHIXOO\ UHPRYH FDUERQ DQG RWKHU IRUHLJQ PDWHULDO


IURP WKH F\OLQGHU KHDG LQVHUW ERUH

9DOYH6HDW,QVHUW,QVWDOODWLRQ
 &DUHIXOO\ SODFH WKH DWWDFKPHQW ? KDYLQJ D VPDOOHU
RXWVLGH GLDPHWHU WKDQ WKH YDOYH VHDW LQVHUW RQ WKH
YDOYH VHDW LQVHUW @
127(

7KH VPRRWK VLGH RI WKH DWWDFKPHQW PXVW FRQWDFW WKH

YDOYH VHDW LQVHUW

 8VH D EHQFK SUHVV A WR JUDGXDOO\ DSSO\ SUHVVXUH WR


WKH DWWDFKPHQW DQG SUHVV WKH YDOYH VHDW LQVHUW LQWR
$WLI
SODFH

&$87,21

'R QRW DSSO\ DQ H[FHVVLYH DPRXQW RI SUHVVXUH ZLWK WKH

EHQFK SUHVV 'DPDJH WR WKH YDOYH VHDW LQVHUW ZLOO

UHVXOW

 7KH YDOYH VKRXOG EH ODSSHG EHIRUH ILQDO DVVHPEO\ WR


HQVXUH D JRRG YDOYH VHDO

$ERYH ZRUNV UHIHU WR ¦9DOYH 6HDW ,QVHUW &RUUHFWLRQ§


VHFWLRQ LQ WKLV PDQXDO
$ ¤  *(1(5$/ (1*,1( 0(&+$1,&$/

9DOYH6HDW,QVHUW&RUUHFWLRQ
 5HPRYH WKH FDUERQ IURP WKH YDOYH VHDW LQVHUW VXUIDFH

 8VH D YDOYH FXWWHU ƒ ƒ DQG ƒ EODGHV WR


PLQLPL]H VFUDWFKHV DQG RWKHU URXJK DUHDV 7KLV ZLOO
EULQJ WKH FRQWDFW ZLGWK EDFN WR WKH VWDQGDUG YDOXH

5HPRYH RQO\ WKH VFUDWFKHV DQG URXJK DUHDV 'R QRW


FXW DZD\ WRR PXFK 7DNH FDUH QRW WR FXW DZD\
XQEOHPLVKHG DUHDV RI WKH YDOYH VHDW VXUIDFH

9DOYH 6HDW $QJOH 'HJUHHV


$WLI

q

127(

8VH DQ DGMXVWDEOH YDOYH FXWWHU SLORW

'R QRW DOORZ WKH YDOYH FXWWHU SLORW WR ZREEOH LQVLGH WKH

YDOYH JXLGH

$WLI

 $SSO\ DEUDVLYH FRPSRXQG WR WKH YDOYH VHDW LQVHUW


VXUIDFH

 ,QVHUW WKH YDOYH LQWR WKH YDOYH JXLGH

 7XUQ WKH YDOYH ZKLOH WDSSLQJ LW WR ILW WKH YDOYH VHDW


LQVHUW

 &KHFN WR VHH LI WKH YDOYH FRQWDFW ZLGWK LV FRUUHFW

 &KHFN WR VHH LI WKH YDOYH VHDW LQVHUW VXUIDFH LV LQ


FRQWDFW ZLWK WKH HQWLUH FLUFXPIHUHQFH RI WKH YDOYH

$WLI

5($66(0%/<
 6SULQJ /RZHU 6HDW

 9DOYH *XLGH 6HDO

 $SSO\ D FRDW RI HQJLQH RLO WR WKH YDOYH JXLGH VHDO LQQHU


IDFH

 8VH D YDOYH JXLGH VHDO LQVWDOOHU WR LQVWDOO WKH YDOYH


JXLGH VHDO WR WKH YDOYH JXLGH

9DOYH *XLGH 6HDO ,QVWDOOHU 

$WLI
*(1(5$/ (1*,1( 0(&+$1,&$/ $ ¤ 

 ,QWDNH DQG ([KDXVW 9DOYH

 $SSO\ D FRDW RI HQJLQH RLO WR HDFK YDOYH VWHP EHIRUH


LQVWDOODWLRQ

 ,QVWDOO WKH LQWDNH DQG H[KDXVW YDOYH

 7XUQ WKH F\OLQGHU KHDG XS WR LQVWDOO WKH YDOYH VSULQJ

7DNH FDUH QRW WR DOORZ WKH LQVWDOOHG YDOYHV WR IDOO IUHH

$WLI

 9DOYH 6SULQJ

,QVWDOO WKH YDOYH VSULQJ ZLWK LWV ILQH SLWFKHG RU SDLQWHG HQG
VLGH VRZQ

 6SULQJ 8SSHU 6HDW

$WLI

 &RWWHU &ROODU

 8VH WKH YDOYH VSULQJ FRPSUHVVRU WR SXVK WKH YDOYH


VSULQJ LQWR SRVLWLRQ

9DOYH 6SULQJ &RPSUHVVRU 

 ,QVWDOO WKH FRWWHU FROODU WR WKH YDOYH VWHP

 6HW WKH FRWWHU FROODU E\ WDSSLQJ DURXQG WKH KHDG RI WKH


FROODU ZLWK D UXEEHU KDPPHU

$WLI
$ ¤  *(1(5$/ (1*,1( 0(&+$1,&$/

&$06+$)7

$WLI

',6$66(0%/<
 5RFNHU $UP 6KDIW $VVHPEO\

 9DOYH &DS

 &DPVKDIW %HDULQJ &DS

 &DPVKDIW %HDULQJ 8SSHU

 &DPVKDIW $VVHPEO\

 &DPVKDIW %HDULQJ /RZHU

$ERYH ZRUNV UHIHU WR ¦&</,1'(5 +($'§ VHFWLRQ LQ WKLV


PDQXDO

 &DPVKDIW *HDU

8VH WKH XQLYHUVDO SXOOHU WR SXOO RXW WKH FDPVKDIW JHDU

8QLYHUVDO SXOOHU  

 .H\

$WLI
*(1(5$/ (1*,1( 0(&+$1,&$/ $ ¤ 

,163(&7,21$1'5(3$,5
0DNH WKH QHFHVVDU\ DGMXVWPHQWV UHSDLUV DQG SDUW
UHSODFHPHQWV LI H[FHVVLYH ZHDU RU GDPDJH LV GLVFRYHUHG
GXULQJ LQVSHFWLRQ

&DPVKDIW(QG3OD\
8VH D WKLFNQHVV JDXJH WR PHDVXUH WKH FOHDUDQFH EHWZHHQ
WKH FDPVKDIW JHDU ? DQG WKH FDPVKDIW EUDFNHW @
,I WKH PHDVXUHG YDOXH H[FHHGV WKH VSHFLILHG OLPLW WKH
FDPVKDIW JHDU RU WKH FDPVKDIW PXVW EH UHSODFHG

&DPVKDIW (QG 3OD\ PP LQ

6WDQGDUG /LPLW

  
 
$WLI   

&DPVKDIW-RXUQDO'LDPHWHU
8VH D PLFURPHWHU WR PHDVXUH HDFK FDPVKDIW MRXUQDO
GLDPHWHU LQ WZR GLUHFWLRQV ? DQG @  ,I WKH PHDVXUHG
YDOXH LV OHVV WKDQ WKH VSHFLILHG OLPLW WKH FDPVKDIW PXVW EH
UHSODFHG

&DPVKDIW -RXUQDO 'LDPHWHU PP LQ

6WDQGDUG /LPLW

  
 
$WLI
  

&DP+HLJKW
0HDVXUH WKH FDP KHLJKW ¦+§ ZLWK D PLFURPHWHU ,I WKH
PHDVXUHG YDOXH LV OHVV WKDQ WKH VSHFLILHG OLPLW WKH
FDPVKDIW PXVW EH UHSODFHG

&DP +HLJKW ¦+§ PP LQ

(QJLQH PRGHO 6WDQGDUG /LPLW

2WKHU PRGHO    

+(7
   
+(7&
$WLI

&DPVKDIW5XQ2XW
 0RXQW WKH FDPVKDIW RQ 9EORFNV

 0HDVXUH WKH UXQRXW ZLWK D GLDO LQGLFDWRU

,I WKH PHDVXUHG YDOXH H[FHHGV WKH VSHFLILHG OLPLW WKH


FDPVKDIW PXVW EH UHSODFHG

&DPVKDIW 5XQ2XW PP LQ

/LPLW  

$WLI
$ ¤  *(1(5$/ (1*,1( 0(&+$1,&$/

&DPVKDIWDQG&DPVKDIW%HDULQJ&OHDUDQFH
8VH DQ LQVLGH GLDO LQGLFDWRU WR PHDVXUH WKH FDPVKDIW
EHDULQJ LQVLGH GLDPHWHU

&DPVKDIW %HDULQJ ,QVLGH 'LDPHWHU PP LQ

6WDQGDUG      

,I WKH FOHDUDQFH EHWZHHQ WKH FDPVKDIW EHDULQJ LQVLGH


GLDPHWHU DQG WKH MRXUQDO H[FHHGV WKH VSHFLILHG OLPLW WKH
FDPVKDIW EHDULQJ PXVW EH UHSODFHG
$WLI
&DPVKDIW %HDULQJ &OHDUDQFH PP LQ

6WDQGDUG /LPLW

   


   

5($66(0%/<
 .H\

 &DPVKDIW *HDU

‡ :LWK WKH SURMHFWLRQ RI WKH FDPVKDIW JHDU FHQWHU ERVV


WXUQHG WR WKH FDPVKDIW VLGH VHW LW WR WKH NQRFN SLQ DQG
LQVWDOO WKH FDPVKDIW JHDU

&DPVKDIW *HDU %ROW 7RUTXH 1‡P NJ‡POE‡IW

 

$WLI

 &DPVKDIW %HDULQJ /RZHU

 &DPVKDIW $VVHPEO\

 &DPVKDIW %HDULQJ 8SSHU

 &DPVKDIW %HDULQJ &DS

 9DOYH &DS

 5RFNHU $UP 6KDIW $VVHPEO\

$ERYH ZRUNV UHIHU WR ¦&</,1'(5 +($'§ VHFWLRQ LQ WKLV


PDQXDO
*(1(5$/ (1*,1( 0(&+$1,&$/ $ ¤ 

52&.(5$50$66(0%/<

$WLI

',6$66(0%/<
 5RFNHU $UP 6KDIW $VVHPEO\

 /RRVHQ WKH URFNHU DUP VKDIW EUDFNHW QXWV DQG EROWV LQ


QXPHULFDO RUGHU D OLWWOH DW D WLPH DQG UHPRYH WKH URFNHU
DUP VKDIW DVVHPEO\ ZLWK WKH FDPVKDIW EUDFNHWV

 /HDYH WKH $ LQGLFDWHG EROW XQUHPRYHG RQ WKLV


RFFDVLRQ VLQFH LW LV WKH URFNHU DUP IL[LQJ EROW

&$87,21

)DLOXUH WR ORRVHQ WKH URFNHU DUP VKDIW EUDFNHW QXWV DQG

EROWV LQ QXPHULFDO RUGHU D OLWWOH DW D WLPH ZLOO DGYHUVHO\

DIIHFW WKH URFNHU DUP VKDIW


$WLI
 9DOYH &DS

&$87,21

7DNH VXIILFLHQW FDUH QRW WR OHW YDOYH FDSV IDOO LQWR WKH

JHDU FDVH RU RLO UHWXUQ KROH

 &DPVKDIW %UDFNHW

 5RFNHU $UP

 6SULQJ

 5RFNHU $UP %UDFNHW

 &DPVKDIW %UDFNHW

 5RFNHU $UP 6KDIW


$ ¤  *(1(5$/ (1*,1( 0(&+$1,&$/

,163(&7,21$1'5(3$,5
0DNH WKH QHFHVVDU\ DGMXVWPHQWV UHSDLUV DQG SDUW
UHSODFHPHQWV LI H[FHVVLYH ZHDU RU GDPDJH LV GLVFRYHUHG
GXULQJ LQVSHFWLRQ

5RFNHU$UP6KDIW5XQ2XW
 3ODFH WKH URFNHU DUP VKDIW RQ 9EORFNV

 8VH D GLDO LQGLFDWRU WR PHDVXUH WKH URFNHU DUP VKDIW


FHQWUDO SRUWLRQ UXQRXW
,I WKH UXQRXW LV YHU\ VOLJKW FRUUHFW WKH URFNHU DUP VKDIW
UXQRXW ZLWK D EHQFK SUHVV 7KH URFNHU DUP PXVW EH DW
FROG FRQGLWLRQ
,I WKH PHDVXUHG URFNHU DUP VKDIW UXQRXW H[FHHGV WKH
VSHFLILHG OLPLW WKH URFNHU DUP VKDIW PXVW EH UHSODFHG

5RFNHU $UP 6KDIW 5XQ2XW PP LQ


$WLI

/LPLW  

5RFNHU$UP6KDIW2XWVLGH'LDPHWHU
8VH D PLFURPHWHU WR PHDVXUH WKH URFNHU DUP ILWWLQJ SRUWLRQ
RXWVLGH GLDPHWHU
,I WKH PHDVXUHG YDOXH LV OHVV WKDQ WKH VSHFLILHG OLPLW WKH
URFNHU DUP VKDIW PXVW EH UHSODFHG

5RFNHU $UP 6KDIW 2XWVLGH 'LDPHWHU PP LQ

6WDQGDUG /LPLW

   


   
$WLI

5RFNHU$UP%XVKLQJ,QVLGH'LDPHWHU
8VH HLWKHU D YHUQLHU FDOLSHU RU D GLDO LQGLFDWRU WR PHDVXUH
WKH URFNHU DUP EXVKLQJ LQVLGH GLDPHWHU

5RFNHU $UP %XVKLQJ ,QVLGH 'LDPHWHU PP LQ

6WDQGDUG /LPLW

   


   

5RFNHU $UP DQG 5RFNHU $UP 6KDIW &OHDUDQFH PP LQ

$WLI 6WDQGDUG /LPLW

   


   

&KHFN WR VHH LI WKH URFNHU DUP RLO SRUW LV IUHH RI


REVWUXFWLRQV

,I QHFHVVDU\ XVH FRPSUHVVHG DLU WR FOHDQ WKH URFNHU DUP


RLO SRUW

$WLI
*(1(5$/ (1*,1( 0(&+$1,&$/ $ ¤ 

5RFNHU$UP5ROOHUDQG5RFNHU$UP3LQ
 3DVV D VWULQJ WKURXJK WKH URFNHU DUPUROOHU FOHDUDQFH
DQG PHDVXUH WKH UROOHU SURWUXVLRQ ZKLOH SXOOLQJ ERWK
HQGV RI WKH VWULQJ LQ WKH DUURZLQGLFDWHG GLUHFWLRQV WR
SXVK RXW WKH UROOHU

 0DUN WKH PHDVXULQJ SRLQW DQG GUDZ RXW WKH VWULQJ

0HDVXUH WKH UROOHU SURWUXVLRQ DJDLQ ZKLOH WKH UROOHU LV


SXVKHG LQ

 1RWH WKH GLIIHUHQFH LQ WKH DERYH PHDVXUHPHQWV LV WKH


$WLI
VWDQGDUG UROOHUURFNHU DUP SLQ FOHDUDQFH 6KRXOG WKH
FOHDUDQFH H[FHHG WKH OLPLW UHSODFH WKH URFNHU DUP

5RFNHU $UP 5ROOHU DQG 3LQ &OHDUDQFH PP LQ

6WDQGDUG /LPLW

   


   

9DOYH&DS:HDU
,QVSHFW WKH YDOYH FDS VXUIDFH FRQWDFWLQJ WKH URFNHU DUP
XVLQJ D GLDO JDXJH

,I ZHDU H[FHHGV WKH OLPLW UHSODFH WKH YDOYH FDS ZLWK D QHZ
RQH

9DOYH &DS :RUQ PP LQ

/LPLW  

$WLI

5($66(0%/<

$WLI
$ ¤  *(1(5$/ (1*,1( 0(&+$1,&$/

 5RFNHU $UP 6KDIW

 8VH FRPSUHVVHG DLU WR WKRURXJKO\ FOHDQ WKH URFNHU DUP


VKDIW RLO KROHV
 $SSO\ D FRDW RI HQJLQH RLO WR WKH URFNHU DUP VKDIW
 ,QVWDOO WKH URFNHU DUP VKDIW ZLWK WKH ¦)URQW§ PDUN IDFLQJ
XS DQG WRZDUG WKH IURQW RI WKH HQJLQH

 &DPVKDIW %UDFNHW

,QVWDOO WKH FDPVKDIW EUDFNHW WR WKH URFNHU DUP VKDIW DQG


WHPSRUDULO\ WLJKWHQ WKH FDPVKDIW EUDFNHW IL[LQJ EROW DV
VKRZQ LQ WKH LOOXVWUDWLRQ

$WLI

 5RFNHU $UP

$SSO\ HQJLQH RLO WR WKH URFNHU DUP EXVKLQJ DQG WKH UROOHU
SLQ DQG WKHQ LQVWDOO LW WR WKH URFNHU DUP VKDIW

$WLI

 6SULQJ

,QVHUW WKH VSULQJ HQG LQWR WKH URFNHU DUP

$WLI

 5RFNHU $UP %UDFNHW

 &DPVKDIW %UDFNHW

7HPSRUDULO\ WLJKWHQ WKH FDPVKDIW EUDFNHW IL[LQJ EROW

$WLI

 9DOYH &DS

 5RFNHU $UP 6KDIW $VVHPEO\

$ERYH ZRUNV UHIHU WR ¦&</,1'(5 +($'§ VHFWLRQ LQ WKLV


PDQXDO
*(1(5$/ (1*,1( 0(&+$1,&$/ $ ¤ 

2,/3803

$WLI

',6$66(0%/<
 3RZHU 6WHHULQJ 3XPS ,GOH *HDU &RYHU

 3RZHU 6WHHULQJ 3XPS ,GOH *HDU

$WLI
$ ¤  *(1(5$/ (1*,1( 0(&+$1,&$/

 )O\ZKHHO +RXVLQJ

127(

%H FDUHIXO QRW WR IDLO WR UHPRYH WKH EROWV VKRZQ LQ WKH

LOOXVWUDWLRQ

$WLI

 ,GOH *HDU $

$WLI

 2LO 3XPS $VVHPEO\

$WLI

 'ULYHQ *HDU DQG 6KDIW

$WLI

 &RWWHU 3LQ

 6SULQJ 6HDW

 2LO 5HOLHI 9DOYH 6SULQJ

 2LO 5HOLHI 9DOYH

 3XPS &RYHU

$WLI
*(1(5$/ (1*,1( 0(&+$1,&$/ $ ¤ 

,163(&7,21$1'5(3$,5
0DNH WKH QHFHVVDU\ DGMXVWPHQWV UHSDLUV DQG SDUW
UHSODFHPHQWV LI H[FHVVLYH ZHDU RU GDPDJH LV GLVFRYHUHG
GXULQJ LQVSHFWLRQ

*HDU7HHWKDQG&RYHU,QQHU:DOO&OHDUDQFH
8VH D IHHOHU JDXJH WR PHDVXUH WKH FOHDUDQFH EHWZHHQ WKH
JHDU WHHWK DQG WKH FRYHU LQQHU ZDOO

,I WKH FOHDUDQFH EHWZHHQ WKH JHDU WHHWK DQG WKH FRYHU LQQHU
ZDOO H[FHHGV WKH VSHFLILHG OLPLW WKH RLO SXPS DVVHPEO\
PXVW EH UHSODFHG

*HDU 7HHWK DQG &RYHU ,QQHU :DOO &OHDUDQFH PP LQ

6WDQGDUG /LPLW

$WLI
   
   

*HDUDQG&RYHU&OHDUDQFH
8VH D IHHOHU JDXJH WR PHDVXUH WKH FOHDUDQFH EHWZHHQ WKH
FRYHU DQG WKH JHDU

,I WKH FOHDUDQFH EHWZHHQ WKH JHDU DQG WKH FRYHU H[FHHGV


WKH VSHFLILHG OLPLW WKH RLO SXPS DVVHPEO\ PXVW EH
UHSODFHG

*HDU DQG &RYHU &OHDUDQFH PP LQ

6WDQGDUG /LPLW

$WLI
   
   

'ULYHQ*HDU6KDIWDQG%XVKLQJ&OHDUDQFH
 8VH D PLFURPHWHU WR PHDVXUH WKH JHDU VKDIWV RXWVLGH
GLDPHWHU

*HDU 6KDIW 2XWVLGH 'LDPHWHU PP LQ

6WDQGDUG /LPLW

   


   

$WLI

 8VH DQ LQVLGH GLDO LQGLFDWRU RU LQVLGH PLFURPHWHU WR


PHDVXUH WKH SXPS FRYHU EXVKLQJ LQVLGH GLDPHWHU DQG
WKH F\OLQGHU ERG\ LQVLGH GLDPHWHU
,I FOHDUDQFH EHWZHHQ WKH JHDU VKDIW DQG WKH EXVKLQJ
H[FHHGV WKH VSHFLILHG OLPLW WKH RLO SXPS DVVHPEO\
PXVW EH UHSODFHG
*HDU 6KDIW DQG %XVKLQJ &OHDUDQFH PP LQ

6WDQGDUG /LPLW

   


   
$WLI
$ ¤  *(1(5$/ (1*,1( 0(&+$1,&$/

5($66(0%/<
 3XPS &RYHU

 2LO 5HOLHI 9DOYH

 2LO 5HOLHI 9DOYH 6SULQJ

 6SULJ 6HDW

 &RWWHU 3LQ

$WLI

 'ULYHQ *HDU DQG 6KDIW

$SSO\ WKH HQJLQH RLO WR WKH GULYHQ JHDU VKDIW

$WLI

 2LO 3XPS $VVHPEO\

 &DUHIXOO\ ZLSH DQ\ IRUHLJQ PDWHULDO IURP F\OLQGHU ERG\


UHDU VXUIDFH

 $SSO\ WKH UHFRPPHQGHG OLTXLG JDVNHW 7KUHH %RQG


( RU LWV HTXLYDOHQW WR WKH VKDGHG DUHDV VKRZQ LQ
WKH LOOXVWUDWLRQ

$WLI

&$87,21

%H FDUHIXO WKDW QR OLTXLG JDVNHW JHWV LQWR WKH KROHV LQ


WKH DUURZPDUNHG SRUWLRQ LQ WKH LOOXVWUDWLRQ DQG WKH
LQVLGH RI WKH RLO SXPS FRYHU

 ,QVWDOO WKH RLO SXPS WR WKH F\OLQGHU ERG\

 7LJKWHQ WKH RLO SXPS WR WKH VSHFLILHG WRUTXH

2LO 3XPS %ROW 7RUTXH 1‡P NJ‡POE‡IW

 

$WLI
*(1(5$/ (1*,1( 0(&+$1,&$/ $ ¤ 

 ,GOH *HDU $

 7XUQ WKH FUDQNVKDIW FORFNZLVH VR WKDW WKH HQJDJHPHQW


PDUN RI WKH FUDQNVKDIW JHDU IDFHV WR WKH VKDIW FHQWHU RI
WKH LGOH JHDU $ DQG WKH 1R F\OLQGHU SLVWRQ FRPHV WR
WKH WRS GHDG FHQWHU

 $OLJQ WKH FUDQNVKDIW JHDU ZLWK WKH HQJDJHPHQW PDUN RI


WKH LGOH JHDU DQG LQVWDOO WKH LGOH JHDU $

,GOH *HDU $ %ROW 7RUTXH 1‡P NJ‡POE‡IW

 

$WLI

$WLI

 )O\ZKHHO +RXVLQJ

 &DUHIXOO\ ZLSH DQ\ IRUHLJQ PDWHULDO IURP WKH F\OLQGHU


ERG\ UHDU IDFH

 $SSO\ WKH UHFRPPHQGHG OLTXLG JDVNHW 7KUHH %RQG


& RU LWV HTXLYDOHQW WR WKH VKDGHG DUHDV VKRZQ LQ
WKH LOOXVWUDWLRQ

$WLI

 $OLJQ WKH F\OLQGHU ERG\ NQRFN SLQV ZLWK WKH IO\ZKHHO


KRXVLQJ NQRFN SLQ KROHV

 7LJKWHQ WKH IO\ZKHHO KRXVLQJ EROWV WR WKH VSHFLILHG


WRUTXH VKRZQ LQ WKH LOOXVWUDWLRQ

)O\ZKHHO +RXVLQJ %ROW 7RUTXH 1‡P NJ‡POE‡IW

  

  

†  

$WLI „  

  

  

‡ 7LJKWHQ WKH EROWV PDUNHG ZLWK ¦ § RU ¦ § IURP WKH


LQMHFWLRQ SXPS VLGH DQG WKRVH ZLWK ¦ § IURP WKH
F\OLQGHU ERG\ VLGH

)O\ZKHHO +RXVLQJ %ROW 7RUTXH 1‡P NJ‡POE‡IW

$   

$WLI
$ ¤  *(1(5$/ (1*,1( 0(&+$1,&$/

 3RZHU 6WHHULQJ 3XPS ,GOH *HDU

 $SSO\ WKH HQJLQH RLO WR WKH LGOH JHDU VKDIW

 ,QVWDOO WKH LGOH JHDU VKDIW ? ZLWK WKH LGOH JHDU @ WR WKH
F\OLQGHU ERG\ ¦$§ SRUWLRQ DV VKRZQ LQ WKH LOOXVWUDWLRQ

,GOH *HDU 6KDIW %ROW 7RUTXH 1‡P NJ‡POE‡IW

 

$WLI

$WLI

 3RZHU 6WHHULQJ 3XPS ,GOH *HDU &RYHU

,QVWDOO WKH JHDU FRYHU ZLWK WKH 2ULQJ

*HDU &RYHU %ROW 7RUTXH 1‡P NJ‡POE‡IW

 

$WLI
*(1(5$/ (1*,1( 0(&+$1,&$/ $ ¤ 

&5$1.6+$)7

$WLI
$ ¤  *(1(5$/ (1*,1( 0(&+$1,&$/

',6$66(0%/<
 &\OLQGHU +HDG $VVHPEO\

$ERYH ZRUNV UHIHU WR ¦&</,1'(5 +($'§ VHFWLRQ LQ WKLV


PDQXDO

 &\OLQGHU +HDG *DVNHW

&$87,21

'R QRW UHXVH WKH F\OLQGHU KHDG JDVNHW

 &OXWFK 3UHVVXUH 3ODWH $VVHPEO\

 'ULYHQ 3ODWH

 (QJLQH &RQWURO :LUH

 (QJLQH &RQWURO /HYHU $VVHPEO\

 2LO 3LSH

 2LO )LOWHU $VVHPEO\

 9DFXXP 3XPS 2LO 3LSH

 9DFXXP 3XPS 5XEEHU +RVH

 )DQ %HOW

 *HQHUDWRU

 (QJLQH )RRW

 ,QMHFWLRQ 3XPS $VVHPEO\

 )DQ %HOW $GMXVW 3ODWH

 *HQHUDWRU %UDFNHW

$ERYH ZRUNV UHIHU WR ¦&</,1'(5 %/2&.§ VHFWLRQ LQ WKLV


PDQXDO

 &UDQNVKDIW 'DPSHU 3XOOH\

 8VH WKH FUDQNVKDIW VWRSSHU WR SUHYHQW WKH FUDQNVKDIW


IURP WXUQLQJ

&UDQNVKDIW 6WRSSHU 

 /RRVHQ WKH GDPSHU SXOOH\ EROWV DQG UHPRYH WKH


GDPSHU SXOOH\

$WLI

 &UDQNVKDIW )URQW 2LO 6HDO

&$87,21

%H FDUHIXO QRW WR GDPDJH WKH FUDQNVKDIW RLO VHDO

FRQWDFW VXUIDFH GXULQJ WKH UHPRYDO SURFHGXUH

$WLI
*(1(5$/ (1*,1( 0(&+$1,&$/ $ ¤ 

 &UDQNVKDIW )URQW 6OLQJHU

8VH WKH VOLQJHU SXOOHU WR SXOO RXW WKH VOLQJHU

6OLQJHU 3XOOHU 

127(

,I WKH RLO VHDO KDV EHHQ UHPRYHG ERWK WKH RLO VHDO DQG
VOLQJHU PXVW EH UHSODFHG DV D VHW

$WLI

 )O\ZKHHO $VVHPEO\

 8VH WKH FUDQNVKDIW VWRSSHU WR SUHYHQW WKH FUDQNVKDIW


IURP WXUQLQJ

&UDQNVKDIW 6WRSSHU 

 /RRVHQ WKH IO\ZKHHO EROWV LQ QXPHULFDO RUGHU D OLWWOH DW D


WLPH DV VKRZQ LQ WKH LOOXVWUDWLRQ

 5HPRYH WKH IO\ZKHHO VWRSSHU DQG WKH IO\ZKHHO


DVVHPEO\

$WLI

)RU WKH $7 YHKLFOH ORRVHQHG WKH IO\ZKHHO IL[LQJ EROWV DQG
UHPRYH WKH ZDVKHU WKH IOH[LEOH SODWH WKH IO\ZKHHO DQG WKH
VOHHYH LQ WKLV RUGHU

$WLI

 &UDQNVKDIW 5HDU 2LO 6HDO

&$87,21

%H FDUHIXO QRW WR GDPDJH WKH FUDQNVKDIW RLO VHDO


FRQWDFW VXUIDFH GXULQJ WKH UHPRYDO SURFHGXUH

$WLI

 &UDQNVKDIW 5HDU 6OLQJHU

8VH WKH VOLQJHU SXOOHU WR SXOO RXW WKH VOLQJHU

6OLQJHU 3XOOHU 

 6SDFHU 5XEEHU 1.5 PRGHO RQO\

$WLI
$ ¤  *(1(5$/ (1*,1( 0(&+$1,&$/

 2LO 3DQ

 2LO 3XPS 6WUDLQHU

 :DWHU 3XPS 3XOOH\

 :DWHU 3XPS

$WLI

 )URQW 5HWDLQHU

,QVWDOO WKH WKUHH IURQW UHWDLQHU IL[LQJ EROWV WR WKH IURQW

UHWDLQHU UHSODFHU KROHV DV VKRZQ LQ WKH LOOXVWUDWLRQ DQG

WLJKWHQ WKH EROWV DOWHUQDWHO\ D OLWWOH DW D WLPH

/;WLI

 2LO 7KHUPR 9DOYH +) +) +* +*7

3XOO RXW WKH WKHUPR YDOYH IURP WKH F\OLQGHU ERG\

 %\SDVV 9DOYH +(7 +(7&

3XOO RXW WKH E\SDVV YDOYH IURP WKH F\OLQGHU ERG\

$WLI

 3RZHU 6WHHULQJ 3XPS ,GOH *HDU &RYHU

 3RZHU 6WHHULQJ 3XPS ,GOH *HDU

 )O\ZKHHO +RXVLQJ

 ,GOH *HDU $

 2LO 3XPS $VVHPEO\

$ERYH ZRUNV UHIHU WR ¦2,/ 3803§ VHFWLRQ LQ WKLV PDQXDO


*(1(5$/ (1*,1( 0(&+$1,&$/ $ ¤ 

 &RQQHFWLQJ 5RG &DS

 &RQQHFWLQJ 5RG /RZHU %HDULQJ

 7DNH RXW WKH FRQQHFWLQJ URG EHDULQJ FDS EROWV DQG


UHPRYH WKH EHDULQJ FDS ZLWK WKH ORZHU EHDULQJ

 ,I WKH FRQQHFWLQJ URG ORZHU EHDULQJV DUH WR EH


UHLQVWDOOHG PDUN WKHLU ILWWLQJ SRVLWLRQV E\ WDJJLQJ HDFK
EHDULQJ ZLWK WKH F\OLQGHU QXPEHU IURP ZKLFK LW ZDV
UHPRYHG

$WLI

 3LVWRQ DQG &RQQHFWLQJ 5RG $VVHPEO\

 7R IDFLOLWDWH VPRRWK UHPRYDO RI SLVWRQ UHPRYH FDUERQ


IURP WKH XSSHU SDUW RI WKH F\OLQGHU ZDOO XVLQJ D VFUDSHU
RU HTXLYDOHQW

 5HPRYH WKH SLVWRQ DQG FRQQHFWLQJ URG DVVHPEO\


XSZDUG E\ SXVKLQJ RQ WKH HGJH RI WKH FRQQHFWLQJ URG
ZLWK D KDPPHU KDQGOH RU HTXLYDOHQW

 ,I WKH FRQQHFWLQJ URG EHDULQJ DUH WR EH UHLQVWDOOHG PDUN


WKHLU ILWWLQJ SRVLWLRQV E\ WDJJLQJ HDFK EHDULQJ ZLWK WKH
F\OLQGHU QXPEHU IURP ZKLFK LW ZDV UHPRYHG
$WLI
&$87,21

'R QRW EHQG RU GDPDJH WKH RLOLQJ MHW

127(

:KHQ UHPRYLQJ WKH SLVWRQ DQG FRQQHFWLQJ URG

DVVHPEO\ SXOO WKH FRQQHFWLQJ URG LQ SDUDOOHO ZLWK WKH

F\OLQGHU ERUH

 &UDQNFDVH

 /RRVHQ WKH FUDQNFDVH EROWV LQ QXPHULFDO RUGHU D OLWWOH


DW D WLPH

 ,QVWDOO WKH WKUHH FUDQNFDVH IL[LQJ EROWV 6HH OHIW DUURZ


PDUNV WR WKH FUDQNFDVH UHSODFHU KROHV DV VKRZQ LQ
WKH LOOXVWUDWLRQ DQG WLJKWHQ WKH EROWV DOWHUQDWH D OLWWOH DW
D WLPH

127(

:KHQ UHPRYLQJ WKH FUDQNFDVH EH VXUH WR UHPRYH WKH

RLO SXPS DQG WKH JHQHUDWRU EUDFNHW EHIRUH WKDW


/;WLI

 7KUXVW %HDULQJ /RZHU

 &UDQNVKDIW %HDULQJ /RZHU

$WLI
$ ¤  *(1(5$/ (1*,1( 0(&+$1,&$/

 &UDQNVKDIW $VVHPEO\

 7KUXVW %HDULQJ 8SSHU

 &UDQNVKDIW %HDULQJ 8SSHU

$WLI

 &UDQNVKDIW *HDU

 8VH WKH FUDQNVKDIW JHDU UHPRYHU WR UHPRYH WKH


FUDQNVKDIW JHDU

&UDQNVKDIW *HDU 5HPRYHU 

 5HPRYH WKH FUDQNVKDIW IHDWKHU NH\

 &UDQNVKDIW

$WLI

,163(&7,21$1'5(3$,5
0DNH WKH QHFHVVDU\ DGMXVWPHQWV UHSDLUV DQG SDUW
UHSODFHPHQWV LI H[FHVVLYH ZHDU RU GDPDJH LV GLVFRYHUHG
GXULQJ LQVSHFWLRQ

&UDQNVKDIW(QG3OD\
 6HW WKH GLDO LQGLFDWRU WR WKH FUDQNVKDIW HQG DQG
PHDVXUH WKH HQG SOD\

 ,I WKH PHDVXUHG YDOXH H[FHHGV WKH VSHFLILHG OLPLW WKH


WKUXVW EHDULQJV PXVW EH UHSODFHG

&UDQNVKDIW (QG 3OD\ PP LQ

6WDQGDUG /LPLW

  
 
$WLI   

&5$1.6+$)7$1'%($5,1*
,QVSHFW WKH VXUIDFH RI WKH FUDQNVKDIW MRXUQDOV DQG
FUDQNSLQV IRU H[FHVVLYH ZHDU DQG GDPDJH

,QVSHFW WKH RLO VHDO ILWWLQJ VXUIDFHV IRU H[FHVVLYH ZHDU DQG
GDPDJH

,QVSHFW WKH RLO SRUWV IRU REVWUXFWLRQV


*(1(5$/ (1*,1( 0(&+$1,&$/ $ ¤ 

&UDQNVKDIW5XQ2XW
 6HW D GLDO LQGLFDWRU WR WKH FHQWHU RI WKH FUDQNVKDIW
MRXUQDO

 *HQWO\ WXUQ WKH FUDQNVKDIW LQ WKH QRUPDO GLUHFWLRQ RI


URWDWLRQ

5HDG WKH GLDO LQGLFDWRU DV \RX WXUQ WKH FUDQNVKDIW

,I WKH PHDVXUHG YDOXH H[FHHGV WKH VSHFLILHG OLPLW WKH


FUDQNVKDIW PXVW EH UHSODFHG

&UDQNVKDIW 5XQ2XW PP LQ
$WLI

6WDQGDUG /LPLW

  RU  


OHVV

%HDULQJ6SUHDG
8VH D YHUQLHU FDOLSHU WR PHDVXUH WKH EHDULQJ VSUHDG

,I WKH PHDVXUHG YDOXH LV OHVV WKDQ WKH VSHFLILHG OLPLW WKH


EHDULQJ PXVW EH UHSODFHG

%HDULQJ 6SUHDG PP LQ

/LPLW  

$WLI

&UDQNVKDIW-RXUQDODQG&UDQNSLQ'LDPHWHU
 8VH D PLFURPHWHU WR PHDVXUH WKH FUDQNVKDIW MRXUQDO
GLDPHWHU DFURVV SRLQWV ?  ? DQG @  @
 8VH WKH PLFURPHWHU WR PHDVXUH WKH FUDQNVKDIW MRXUQDO
GLDPHWHU DW WKH WZR SRLQWV A DQG B
 5HSHDW 6WHSV  DQG  WR PHDVXUH WKH FUDQNSLQ
GLDPHWHU

,I WKH PHDVXUHG YDOXHV DUH OHVV WKDQ WKH OLPLW WKH


FUDQNVKDIW PXVW EH UHJURXQG RU UHSODFHG
$WLI

&UDQNVKDIW -RXUQDO DQG


&UDQNSLQ 'LDPHWHU PP LQ

(QJLQH PRGHO 6WDQGDUG /LPLW

1R DQG     


$//
-RXUQDO    

   


$// 1R -RXUQDO
   

([FHSW
   
+(7 &UDQNSLQ
   
+(7&

+(7    


&UDQNSLQ
+(7&    
$ ¤  *(1(5$/ (1*,1( 0(&+$1,&$/

&UDQNVKDIW -RXUQDO DQG


&UDQNSLQ 'LDPHWHU 8QHYHQ :HDU PP LQ

([FHSW
 
+(7 +(7& /LPLW

+(7 +(7&  

&UDQNVKDIW-RXUQDODQG%HDULQJ&OHDUDQFH
 &OHDQ WKH F\OLQGHU ERG\ DQG FUDQNFDVH WKH MRXUQDO
EHDULQJ ILWWLQJ VXUIDFH DQG WKH MRXUQDO EHDULQJV

 ,QVWDOO WKH EHDULQJV WR WKH F\OLQGHU ERG\ DQG FUDQNFDVH

 ,QVWDOO WKH FUDQNFDVH WR WKH F\OLQGHU ERG\

$WLI

 7LJKWHQ WKH FUDQNFDVH WR WKH VSHFLILHG WRUTXH LQ WKH


QXPHULFDO RUGHU VKRZQ LQ WKH LOOXVWUDWLRQ

&UDQNFDVH %ROW 7RUTXH 0 a 1‡P NJ‡POE‡IW

VW VWHS QG VWHS UG VWHS

    ƒ  ƒ

&UDQNFDVH %ROW 7RUTXH 0  a  1‡P NJ‡POE‡IW

 

$WLI

 8VH D GLDO LQGLFDWRU WR PHDVXUH WKH FUDQNVKDIW MRXUQDO


LQVLGH GLDPHWHU

 ,I WKH FOHDUDQFH EHWZHHQ WKH FUDQNVKDIW MRXUQDO DQG WKH


EHDULQJ H[FHHGV WKH VSHFLILHG OLPLW WKH FUDQNVKDIW
PXVW EH HLWKHU UHJURXQG RU UHSODFHG

&UDQNVKDIW -RXUQDO DQG


%HDULQJ &OHDUDQFH PP LQ

6WDQGDUG /LPLW

1R      


DQG  -RXUQDO    

   


1R -RXUQDO
   

 5HPRYH WKH FUDQNFDVH DQG WKH EHDULQJV

8QGHUVL]HG &UDQNVKDIW -RXUQDO %HDULQJ


$YDLODELOLW\ ([FHSW +(7 +(7& PP LQ

   


*(1(5$/ (1*,1( 0(&+$1,&$/ $ ¤ 

&UDQNVKDIW%HDULQJ6HOHFWLRQ
5HIHU WR WKH IROORZLQJ WDEOH ZKHQ UHSODFLQJ WKH FUDQNVKDIW
DQGRU WKH FUDQNVKDIW EHDULQJV

&UDQNVKDIW EHDULQJ VHOHFWLRQ LV EDVHG RQ WKH PHDVXUHG


GLDPHWHUV RI WKH FUDQNVKDIW MRXUQDOV DQG WKH EHDULQJ
KRXVLQJ

0DWFK WKH FUDQNVKDIW EHDULQJ KRXVLQJ JUDGH PDUNV DQG WKH


FUDQNVKDIW MRXUQDO JUDGH PDUNV LQ WKH WDEOH EHORZ WR
GHWHUPLQH WKH FRUUHFW FUDQNVKDIW EHDULQJ VL]H

&UDQNVKDIW%HDULQJ,QVHUW*UDGH0DUN3RVLWLRQ
7KH FUDQNVKDIW EHDULQJ KRXVLQJ JUDGH PDUNV  RU  DUH
VWDPSHG FROOHFWLYHO\ IRU DOO F\OLQGHUV RQ WKH XQGHUVLGH RI
WKH OHIW IURQW SRUWLRQ RI WKH FUDQNFDVH

([DPSOH

    

n n n n n
1R %HDULQJ 1R  %HDULQJ 1R  %HDULQJ 1R  %HDULQJ 1R  %HDULQJ

+RXVLQJ +RXVLQJ +RXVLQJ +RXVLQJ +RXVLQJ

/;WLI

&UDQNVKDIW-RXUQDO*UDGH0DUN3RVLWLRQ
7KH FUDQNVKDIW MRXUQDO JUDGH PDUNV  RU  DUH VWDPSHG
FROOHFWLYHO\ IRU DOO F\OLQGHUV RQ WKH IURQW VLGH RI WKH
FUDQNVKDIW 1R EDODQFHU

7KH FOHDUDQFH EHWZHHQ WKH FUDQNVKDIW MRXUQDO DQG WKH


EHDULQJ PXVW EH WKH VDPH IRU HDFK SRVLWLRQ DIWHU
LQVWDOODWLRQ RI WKH FUDQNVKDIW DQG WKH FUDQNVKDIW EHDULQJV

([DPSOH

    
$WLI
n n n n n
1R 1R 1R 1R 1R

-RXUQDO -RXUQDO -RXUQDO -RXUQDO -RXUQDO

&UDQNVKDIW %HDULQJ &RPELQDWLRQ 5HIHUHQFH PP LQ

%HDULQJ &UDQNVKDIW -RXUQDO &UDQNVKDIW

+RXVLQJ 1R    %HDULQJ 2LO

&OHDUDQFH
*UDGH *UDGH &RORU
'LDPHWHU 'LDPHWHU
0DUN 0DUN &RGH

     


 %ODFN
     
  

  
     
 %URZQ
     

     


 %OXH
     
  

$WLI   
     
 %ODFN
     
$ ¤  *(1(5$/ (1*,1( 0(&+$1,&$/

%HDULQJ &UDQNVKDIW -RXUQDO &UDQNVKDIW

+RXVLQJ 1R %HDULQJ 2LO

&OHDUDQFH
*UDGH *UDGH &RORU
'LDPHWHU 'LDPHWHU
0DUN 0DUN &RGH

     


 %ODFN
     
  

  
     
 %URZQ
     

     


 %OXH
     
  

  
     
 %ODFN
     

&UDQNSLQDQG&RQQHFWLQJ5RG%HDULQJ
&OHDUDQFH
 &OHDQ WKH FUDQNVKDIW WKH FRQQHFWLQJ URG WKH EHDULQJ
FDS DQG WKH EHDULQJV

 ,QVWDOO WKH EHDULQJ WR WKH FRQQHFWLQJ URG DQG WKH


EHDULQJ FDS

 $SSO\ D FRDW RI PRO\EGHQXP GLVXOILGH JUHDVH WR WKH


EHDULQJ FDS EROW WKUHDGV DQG VHWWLQJ IDFHV

 3UHYHQW WKH FRQQHFWLQJ URG IURP PRYLQJ

 7LJKWHQ WKH EHDULQJ FDS WR WKH VSHFLILHG WRUTXH

&RQQHFWLQJ 5RG %HDULQJ


&DS %ROW 7RUTXH 1‡P NJ‡POE‡IW

VW VWHS QG VWHS UG VWHS

  ƒ ƒ

 8VH WKH GLDO LQGLFDWRU WR PHDVXUH WKH FRQQHFWLQJ URG


EHDULQJ LQVLGH GLDPHWHU

&UDQNSLQ DQG &RQQHFWLQJ 5RG


%HDULQJ &OHDUDQFH PP LQ

6WDQGDUG /LPLW

       

 ,I WKH FOHDUDQFH EHWZHHQ WKH PHDVXUHG EHDULQJ LQVLGH


GLDPHWHU DQG WKH FUDQNSLQ H[FHHGV WKH VSHFLILHG OLPLW

$WLI
WKH EHDULQJ DQGRU WKH FUDQNVKDIW PXVW EH UHSODFH RU
UHJURXQG ([FHSW +(7 +(7&

 5HPRYH WKH EHDULQJ FDS DQG WKH EHDULQJV

8QGHUVL]HG &RQQHFWLQJ 5RG


%HDULQJ $YDLODELOLW\ PP LQ

   


*(1(5$/ (1*,1( 0(&+$1,&$/ $ ¤ 

&RQQHFWLQJ5RG%HDULQJ6HOHFWLRQ
5HIHU WR WKH IROORZLQJ WDEOH ZKHQ LQVWDOOLQJ RU UHSODFLQJ WKH
FRQQHFWLQJ URG EHDULQJV

3D\ FORVH DWWHQWLRQ WR WKH VL]H PDUN RQ WKH ELJ HQG RI WKH
FRQQHFWLQJ URG

'R QRW FRQIXVH WKH VL]H PDUN RQ WKH ELJ HQG RI FRQQHFWLQJ
URG ZLWK WKH DOLJQPHQW F\OLQGHU 1R PDUN

$WLI

&RQQHFWLQJ 5RG %HDULQJ &RPELQDWLRQ PP LQ

(QJLQH &RQQHFWLQJ 5RG &RQQHFWLQJ 5RG 2LO


&UDQNSLQ
0RGHO %LJ (QG %HDULQJ &OHDUDQFH

*UDGH &RORU
'LDPHWHU 'LDPHWHU
0DUN &RGH
+)
+)  ¤   ¤    
$ *UHHQ
+*  ¤   ¤    

+*7
 ¤   ¤    
% <HOORZ
 ¤       

 ¤ 
$ *UHHQ
  
+(7  ¤    

+(7&      


  
% <HOORZ
  

$WLI

&OHDUDQFH0HDVXUHPHQWV :LWK
3ODVWLJDJH
&UDQNVKDIW-RXUQDODQG%HDULQJ&OHDUDQFH
 &OHDQ WKH F\OLQGHU ERG\ DQG FUDQNFDVH WKH MRXUQDO
EHDULQJ ILWWLQJ VXUIDFH DQG WKH MRXUQDO EHDULQJV

 ,QVWDOO WKH EHDULQJV WR WKH F\OLQGHU ERG\ DQG FUDQNFDVH

 &DUHIXOO\ SODFH WKH FUDQNVKDIW RQ WKH EHDULQJV

 5RWDWH WKH FUDQNVKDIW DSSUR[LPDWHO\  GHJUHHV WR


VHDW WKH EHDULQJ

$WLI

 3ODFH WKH 3ODVWLJDJH DUURZ RYHU WKH FUDQNVKDIW


MRXUQDO DFURVV WKH IXOO ZLGWK RI WKH EHDULQJ

$WLI
$ ¤  *(1(5$/ (1*,1( 0(&+$1,&$/

 ,QVWDOO WKH FUDQNFDVH WR WKH F\OLQGHU ERG\

$WLI

 7LJKWHQ WKH FUDQNFDVH WR WKH VSHFLILHG WRUTXH LQ WKH


QXPHULFDO RUGHU VKRZQ LQ WKH LOOXVWUDWLRQ

&UDQNFDVH %ROW 7RUTXH 0 a 1‡P NJ‡POE‡IW

VW VWHS QG VWHS UG VWHS

    ƒ  ƒ

&UDQNFDVH %ROW 7RUTXH 0  a  1‡P NJ‡POE‡IW

 ‘   ‘  ‘ 

$WLI
'R QRW DOORZ WKH FUDQNVKDIW WR WXUQ GXULQJ EHDULQJ FDS
LQVWDOODWLRQ DQG WLJKWHQLQJ

 5HPRYH WKH EHDULQJ EHDP DQG WKH FUDQNFDVH ZLWK


EHDULQJV

 &RPSDUH WKH ZLGWK RI WKH 3ODVWLJDJH DWWDFKHG WR HLWKHU


WKH FUDQNVKDIW RU WKH EHDULQJ ZLWK WKH VFDOH SULQWHG RQ
WKH 3ODVWLJDJH FRQWDLQHU

&UDQNVKDIW -RXUQDO DQG %HDULQJ &OHDUDQFH PP LQ

6WDQGDUG /LPLW

1R   DQG    


 -RXUQDO    

   


1R -RXUQDO
   
$WLI

 ,I WKH PHDVXUHG YDOXH H[FHHGV WKH OLPLW SHUIRUP WKH


IROORZLQJ DGGLWLRQDO VWHSV

‡ 8VH D PLFURPHWHU WR PHDVXUH WKH FUDQNVKDIW


RXWVLGH GLDPHWHU

‡ 8VH DQ LQVLGH GLDO LQGLFDWRU WR PHDVXUH WKH EHDULQJ


LQVLGH GLDPHWHU

,I WKH FUDQNVKDIW MRXUQDO DQG EHDULQJ FOHDUDQFH


H[FHHGV WKH OLPLW WKH FUDQNVKDIW DQGRU WKH EHDULQJ
PXVW EH UHJURXQG ([FHSW +(7 +(7& RU
UHSODFHG

8QGHUVL]HG &UDQNVKDIW -RXUQDO


%HDULQJ $YDLODELOLW\ ([FHSW +(7 +(7& PP LQ

   

 5HPRYH WKH FUDQNVKDIW DQG EHDULQJV


*(1(5$/ (1*,1( 0(&+$1,&$/ $ ¤ 

&UDQNSLQDQG&RQQHFWLQJ5RG%HDULQJ
&OHDUDQFH
 &OHDQ WKH FUDQNVKDIW WKH FRQQHFWLQJ URG WKH EHDULQJ
FDS DQG WKH EHDULQJV

 ,QVWDOO WKH EHDULQJ WR WKH FRQQHFWLQJ URG DQG WKH


EHDULQJ FDS

'R QRW DOORZ WKH FUDQNVKDIW WR PRYH ZKHQ LQVWDOOLQJ WKH


EHDULQJ FDS

 3UHYHQW WKH FRQQHFWLQJ URG IURP PRYLQJ

 $WWDFK WKH 3ODVWLJDWH WR WKH FUDQNSLQ


$SSO\ HQJLQH RLO WR WKH 3ODVWLJDWH WR NHHS LW IURP IDOOLQJ

$WLI

 $SSO\ D FRDW RI PRO\EGHQXP GLVXOILGH JUHDVH WR WKH


EHDULQJ FDS EROW WKUHDGV DQG VHWWLQJ IDFHV

 ,QVWDOO WKH EHDULQJ FDS DQG WLJKWHQ LW WR WKH VSHFLILHG


WRUTXH
'R QRW DOORZ WKH FRQQHFWLQJ URG WR PRYH ZKHQ
LQVWDOOLQJ DQG WLJKWHQLQJ WKH EHDULQJ FDS

&RQQHFWLQJ 5RG %HDULQJ

&DS %ROW 7RUTXH 1‡P NJ‡POE‡IW

VW VWHS QG VWHS UG VWHS

$WLI
  ƒ ƒ

 5HPRYH WKH EHDULQJ FDS

 &RPSDUH WKH ZLGWK RI WKH 3ODVWLJDWH DWWDFKHG WR HLWKHU


WKH FUDQNVKDIW RU WKH EHDULQJ DJDLQVW WKH VFDOH SULQWHG
RQ WKH 3ODVWLJDJH FRQWDLQHU

&UDQNSLQ DQG &RQQHFWLQJ 5RG


%HDULQJ &OHDUDQFH PP LQ

6WDQGDUG /LPLW

 ¤   ¤   

 ,I WKH PHDVXUHG YDOXH H[HHGV WKH VSHFLILHG OLPLW


SHUIRUP WKH IROORZLQJ DGGLWLRQDO VWHSV

‡ 8VH D PLFURPHWHU WR PHDVXUH WKH FUDQNSLQ RXWVLGH


GLDPHWHU

‡ 8VH DQ LQVLGH GLDO LQGLFDWRU WR PHDVXUH WKH EHDULQJ


LQVLGH GLDPHWHU
,I WKH FOHDUDQFH EHWZHHQ WKH FUDQNSLQ DQG WKH
EHDULQJ H[FHHGV WKH VSHFLILHG OLPLW WKH FUDQNVKDUIW
DQG  RU WKH EHDULQJ PXVW EH UHJURXQG H[FHSW
+(7 +(7& RU UHSODFHG
$ ¤  *(1(5$/ (1*,1( 0(&+$1,&$/

8QGHUVL]HG &RQQHFWLQJ 5RG

%HDULQJ $YDLODELOLW\ ([FHSW +(7 +(7& PP LQ

   

&UDQNVKDIW5HJULQGLQJ ([FHSW+(7+(
7&
7R HQVXUH FUDQNVKDIW UHOLDELOLW\ SD\ FORVH DWWHQWLRQ WR WKH
IROORZLQJ LWHPV GXULQJ DQG DIWHU WKH FUDQNVKDIW MRXUQDO DQG
FUDQNSLQ UHJULQGLQJ SURFHGXUH

8QGHUVL]HG %HDULQJ $YDLOLDELOLW\ PP LQ

   

&UDQNVKDIW -RXUQDO DQG &UDQNSLQ

*ULQGLQJ /LPLW 5HIHUHQFH PP LQ

1R     


-RXUQDO
1R  

&UDQNSLQ  

&UDQNVKDIW5HJULQGLQJ3URFHGXUH ([FHSW+(
7+(7&
 5HJULQG WKH FUDQNVKDIW MRXUQDOV DQG WKH FUDQNSLQV

 )LOOHW WKH FUDQNVKDIW MRXUQDOV DQG WKH FUDQNSLQ UDGLXVHV


WR D PLQLPXP RI 5  ‘ PP  ‘  LQ 
7KHUH PXVW EH QR VWHSSLQJ DURXQG WKH ILOOHW DUHD

$WLI

 )LQLVK WKH FUDQNVKDIW MRXUQDOV WKH FUDQNSLQV DQG WKH


RLO SRUW FRUQHUV WR D VPRRWK VXUIDFH KDYLQJ D FKDPIHU
UDGLXV RI  PP  LQ 

&UDQNVKDIW -RXUQDO DQG &UDQNSLQ 5RXJKQHVV

 “ RU OHVV

 &KHFN WKH FUDQNVKDIW MRXUQDO DQG FUDQNSLQ FOHDUDQFH


5HIHU WR WKH ¦&UDQNVKDIW -RXUQDO DQG %HDULQJ
&OHDUDQFH§ DQG ¦&UDQNSLQ DQG &RQQHFWLQJ 5RG
%HDULQJ &OHDUDQFH§

 &KHFN WKH FUDQNVKDIW UXQRXW


5HIHU WR WKH ¦&UDQNVKDIW 5XQ2XW§

&$87,21

7KH FUDQNVKDIW IRU +(7 DQG +(7& DUH DSSOLHG


VRIW QLWULGHG VXUIDFH 7DIWULGLQJ 
7KHUHIRUH WKH FUDQNVKDIW IRU +(7 DQG +(7& QRW
FRXOG EH JURXQG
*(1(5$/ (1*,1( 0(&+$1,&$/ $ ¤ 

,QVSHFWLRQSURFHGXUHIRUVRIWQLWULGHG
7DIWULGLQJ FUDQNVKDIW )RU+(7+(7&
 ,QVSHFW WKH FUDQNVKDIW IROORZLQJ SRLQWV

 ([FHVVLYH ZHDU DQG GDPDJH RQ WKH VXUIDFH RI


FUDQNVKDIW MRXUQDOV

 ([FHVVLYH ZHDU DQG GDPDJH RQ WKH VXUIDFH RI


FUDQNSLQ

 ([FHVVLYH ZHDU DQG GDPDJH RQ WKH RLO VHDO ILWWLQJ


VXUIDFH

 ,QVSHFW WKH RLO SRUWV IRH REVWUXFWLRQV

 ,QVSHFW WKH FUDQNVKDIW VRIW QLWULGHG VXUIDFH 7DIWULGLQJ 

7KH VRIW QLWULGHG FUDQNVKDIW KDV EHHQ DSSOLHG WR


LQFUHDVH FUDQNVKDIW VWUHQJWK

%HFDVH RI WKLV LW LV QRW SRVVLEOH WR UHJULQG WKH FUDQNVKDIW


VXUIDFHV

 ,QVSHFWLRQ FRQGLWLRQV

 5HPRYH WKH RLO DQG RWKHU PDWHULDO RQ WKH


FUDQNVKDIW LQVSHFWLRQ DUHD

 7KH SRUWLRQ WR EH WHVWHG PXVW EH KHOG KRUL]RQWDOO\


VR DV QRW OHW WKH WHVW VROXWLRQ IORZ

 7HVW OLTXLG VKRXOG QRW EH DSSOLHG WR WKH


DSSUR[LPDWHO\  PP DUHD DURXQG WKH RLO SRUW  

 ,QVSHFWLRQ PHWKRG

 8VH DQ RUJDQLF FOHDQHU WR WKRURXJKO\ FOHDQ WKH


FUDQNVKDIW 7KHUH PXVW EH QR WUDFHV RI RLO WKH
VXUIDFHV WR EH LQVSHFWHG

 3UHSDUH D    SHUFHQW VROXWLRQ RI DPPRQLXP


FXSULF FKORULGH GLVVROYHG LQ GLVWLOOHG ZDWHU 

 8VH D V\ULQJH WR DSSO\ WKH VROXWLRQ  WR WKH


VXUIDFH WR EH LQVSHFWHG +ROG WKH VXUIDFH WR EH
LQVSHFWHG SHUIHFWO\ KRUL]RQWDO WR SUHYHQW WKH
VROXWLRQ IURP UXQQLQJ

 -XGJHPHQW

 :DLW IRU WKLUW\ WR IRUW\ VHFRQGV ,I WKHUH LV QR


0<WLI
GLVFRORUDWLRQ DIWHU WKLUW\ WR IRUW\ VHFRQGV WKH
FUDQNVKDIW LV XVDEOH ,I GLVFRORUDWLRQ DSSHDUV WKH
VXUIDFH EHLQJ WHVWHG ZLOO EHFRPH WKH FRORU
FRSSHU  WKH FUDQNVKDIW PXVW EH UHSODFHG

 6WHDP FOHDQ WKH FUDQNVKDIW VXUIDFH LPPHGLDWHO\


DIWHU FRPSOHWLQJ WKH LQVSHFWLRQ

1RWH 7KH DPPRQLXP FXSULF FKORULGH VROXWLRQ LV KLJKO\


FRUURVLYH %HFDXVH RI WKLV LW LV LPSHUDWLYH WKDW WKH
VXUIDFHV EHLQJ LQVSHFWHG EH FOHDQHG LPPHGLDWHO\ DIWHU
FRPSOHWLQJ WKH LQVSHFWLRQ
$ ¤  *(1(5$/ (1*,1( 0(&+$1,&$/

5($66(0%/<
 &UDQNVKDIW

 &UDQNVKDIW *HDU

 8VH D SLVWRQ KHDWHU WR KHDW WKH FUDQNVKDIW JHDU WR ƒ


 ƒ& ƒ  ƒ) 

 :LWK WKH DOLJQPHQW PDUN ¦6§ RQ WKH VLGH RI WKH


FUDQNVKDIW JHDU WXUQHG RXWZDUG DOLJQ WKH JURRYH RQ WKH
JHDU VLGH ZLWK WKH FUDQNVKDIW SLQ SRVLWLRQ DQG KDPPHU
LW LQ ZLWK D FUDQNVKDIW JHDU LQVWDOOHU XQWLO LW KLWV WKH
ERWWRP

&$87,21
$WLI
:KHQ KDPPHUHG LQ ZLWK WKH JHDU VODQWHG WKH

FUDQNVKDIW JHDU PD\ EH FDXJKW LQ WKH PLGGOH DQG

FDQQRW EH KDPPHUHG LQ IXOO\ +DPPHU LW LQTXLFNO\

HQRXJK QRW WR DOORZ D VKDIW OLQH DORQJ WKH JHDU DQG WKH

FUDQNVKDIW WR VODQW

&UDQNVKDIW *HDU ,QVWDOOHU 

 &UDQNVKDIW %HDULQJ 8SSHU

:KHQ UHSODFLQJ WKH FUDQNVKDIW RU WKH FUDQNVKDIW EHDULQJ


ZLWK D QHZ RQH VHOHFW WKH FUDQNVKDIW EHDULQJ DFFRUGLQJ WR
WKH UHVSHFWLYH JUDGHV VWDPSHG RQ WKH FUDQNVKDIW DQG WKH
F\OLQGHU ERG\

$ERYH ZRUNV UHIHU WR ¦&5$1.6+$)7§ VHFWLRQ LQ WKLV


PDQXDO

$OO XSSHU EHDULQJV KDYH RLO JURRYHV

 &DUHIXOO\ ZLSH DQ\ IRUHLJQ PDWHULDO IURP WKH XSSHU


EHDULQJ
$WLI

&$87,21

'R QRW DSSO\ HQJLQH RLO WR WKH EHDULQJ EDFN IDFHV DQG

WKH F\OLQGHU ERG\ EHDULQJ ILWWLQJ VXUIDFHV

 /RFDWH WKH SRVLWLRQ PDUN DSSOLHG DW GLVDVVHPEO\ LI WKH


UHPRYHG XSSHU EHDULQJV DUH WR EH UHXVHG

 7KUXVW %HDULQJ 8SSHU

 ,QVWDOO WKH WKUXVW EHDULQJ XSSHU WR WKH IURQW VLGH RI WKH


F\OLQGHU ERG\ 1R MRXUQDO $W WKLV WLPH WKH WKUXVW
EHDULQJ XSSHU PD\ EH SDVWHG WR WKH F\OLQGHU ERG\ ZLWK
JUHDVH +RZHYHU ZLSH RII DQ\ H[FHVVLYH JUHDVH
FOHDQ

 7KH WKUXVW EHDULQJ RLO JURRYHV PXVW EH IDFLQJ WKH


VOLGLQJ IDFHV

$WLI
*(1(5$/ (1*,1( 0(&+$1,&$/ $ ¤ 

 &UDQNVKDIW $VVHPEO\

 $SSO\ DQ DPSOH FRDW RI HQJLQH RLO WR WKH FUDQNVKDIW


MRXUQDOV DQG WKH FUDQNVKDIW EHDULQJ VXUIDFHV EHIRUH
LQVWDOOLQJ WKH FUDQNVKDIW ZLWK WLPLQJ JHDU

 :LWK WKH LQVWDOOHG FUDQNVKDIW SUHVVHG RQ WR WKH UHDU


VLGH LQVWDOO WKH WKUXVW EHDULQJ XSSHU WR WKH UHDU VLGH RI
WKH F\OLQGHU ERG\ 1R MRXUQDO

 7KH WKUXVW EHDULQJ RLO JURRYHV PXVW EH IDFLQJ WKH


VOLGLQJ IDFHV

$WLI

 &UDQNVKDIW %HDULQJ /RZHU

$OO ORZHU EHDULQJV GRHV QRW KDYH RLO JURRYHV

 &DUHIXOO\ ZLSH DQ\ IRUHLJQ PDWHULDO IURP WKH ORZHU


EHDULQJ

&$87,21

'R QRW DSSO\ HQJLQH RLO WR WKH EHDULQJ EDFN IDFHV DQG

WKH FUDQNFDVH EHDULQJ ILWWLQJ VXUIDFHV

 /RFDWH WKH SRVLWLRQ PDUN DSSOLHG DW GLVDVVHPEO\ LI WKH


UHPRYHG ORZHU EHDULQJV DUH WR EH UHXVHG

 7KUXVW %HDULQJ /RZHU

 ,QVWDOO WKH WKUXVW EHDULQJ ORZHU WR WKH UHDU VLGH RI WKH


FUDQNFDVH 1R MRXUQDO

 7KH WKUXVW EHDULQJ RLO JURRYHV PXVW EH IDFLQJ WKH


VOLGLQJ IDFHV

$WLI
$ ¤  *(1(5$/ (1*,1( 0(&+$1,&$/

 &UDQNFDVH

 $SSO\ D  PP  LQFK EHDG RI UHFRPPHQGHG OLTXLG


JDVNHW 7KUHH %RQG & RU LWV HTXLYDOHQW WR WKH
FUDQNFDVH XSSHU VXUIDFH DV VKRZQ LQ WKH LOOXVWUDWLRQ

 &DUHIXOO\ SODFH WKH FUDQNFDVH RQ WKH F\OLQGHU ERG\

‡ ,QVWDOO WKH FUDQNFDVH ZLWKLQ  PLQXWHV DIWHU DSSOLFDWLRQ


RI OLTXLG JDVNHW

$WLI

 7LJKWHQ WKH FUDQNFDVH WR WKH VSHFLILHG WRUTXH LQ WKH


QXPHULFDO RUGHU VKRZQ LQ WKH LOOXVWUDWLRQ

&UDQNFDVH %ROW 7RUTXH 0 a 1‡P NJ‡POE‡IW

VW VWHS QG VWHS UG VWHS

    ƒ  ƒ

&UDQNFDVH %ROW 7RUTXH 0  a  1‡P NJ‡POE‡IW

 

$WLI
$QJOH JDXJH 

 3LVWRQ DQG &RQQHFWLQJ 5RG $VVHPEO\

 &RQQHFWLQJ 5RG %HDULQJ

 &RQQHFWLQJ 5RG &DS

$ERYH ZRUNV UHIHU WR ¦3,6721 $1' &211(&7,1* 52'§


VHFWLRQ LQ WKLV PDQXDO

 2LO 3XPS $VVHPEO\

 ,GOH *HDU $

 )O\ZKHHO +RXVLQJ

 3RZHU 6WHHULQJ 3XPS ,GOH *HDU

 3RZHU 6WHHULQJ 3XPS ,GOH *HDU &RYHU

$ERYH ZRUNV UHIHU WR ¦2,/ 3803§ VHFWLRQ LQ WKLV PDQXDO


*(1(5$/ (1*,1( 0(&+$1,&$/ $ ¤ 

 2LO 7KHUPR 9DOYH +) +) +* +*7

,QVHUW WKH RLO WKHUPR YDOYH LQWR WKH F\OLQGHU ERG\

$WLI

 %\SDVV 9DOYH +(7 +(7&

,QVHUW WKH E\SDVV YDOYH LQWR WKH F\OLQGHU ERG\

$WLI

 )URQW 5HWDLQHU

 &DUHIXOO\ ZLSH DQ\ IRUHLJQ PDWHULDO IURP WKH F\OLQGHU


ERG\ IURQW IDFH

 $SSO\ PPPP EHDG RI WKH UHFRPPHQGHG OLTXLG


JDVNHW 7KUHH %RQG & RU LWV HTXLYDOHQW RQ WKH
JURRYH RI WKH IURQW UHWDLQHU ILWWLQJ VXUIDFH VKRZQ LQ WKH
LOOXVWUDWLRQ

 ,QVWDOO WKH 2ULQJV  SLHFHV WR WKH IURQW UHWDLQHU

‡ ,QVWDOO WKH IURQW UHWDLQHU ZLWKLQ  PLQXWHV DIWHU


DSSOLFDWLRQ RI OLTXLG JDVNHW
$WLI
‡ )RU WKH GLVORFDWLRQ RI OLTXLG JDVNHW UHIHU WR WKH
LOOXVWUDWLRQ

 $OLJQ WKH F\OLQGHU ERG\ NQRFN SLQV ZLWK WKH IURQW


UHWDLQHU NQRFN SLQ KROHV

)URQW 5HWDLQHU %ROW 7RUTXH 1‡P NJ‡POE‡IW

 

$WLI

 :DWHU 3XPS $VVHPEO\

 :DWHU 3XPS 3XOOH\

 2LO 3XPS 6WUDLQHU

 2LO 3DQ

 6SDFHU 5XEEHU 1.5 PRGHO RQO\


$ERYH ZRUNV UHIHU WR ¦&</,1'(5 %/2&.§ VHFWLRQ LQ WKLV
PDQXDO
$ ¤  *(1(5$/ (1*,1( 0(&+$1,&$/

 &UDQNVKDIW 5HDU 6OLQJHU

3UHVV LQ WKH VOLQJHU XVLQJ RLO VHDO VHWWLQJ WRRO NLW

 ,QVHUW WKH VOLQJHU ? LQWR WKH HQG RI DGDSWHU @ DQG


LQVWDOO WKH DGDSWHU RQ WKH FUDQNVKDIW

$WLI

 &RYHU WKH VOHHYH A DQG WLJKWHQ WKH EROW XQWLO WKH VOHHYH
FRPHV WR FRQWDFW WKH DGDSWHU VWRSSHU B

$WLI

 0DNH VXUH RI PHDVXUHPHQWV VSHFLILHG LQ WKH LOOXVWUDWLRQ


DV ZHOO DV RI VOLQJHU GHIOHFWLRQ

$   ‘  PP  ‘  LQ

%   ‘  PP  ‘  LQ

127(

%H VXUH WR UHSODFH WKH VOLQJHU DQG RLO VHDO DV D VHW

2LO 6HDO 6HWWLQJ 7RRO .LW 

5HDU VOLQJHU DQG RLO VHDO VHWWLQJ WRROV

3DUW 1DPH 6WDPS 6OLQJHU 2LO 6HDO

$WLI $GDSWHU 55 { {
6OHHYH 55 { {
2LO VHDO DGDSWHU ULQJ 55 {
&HQWHU EROW  { {
$GDSWHU EROW  { {
$GDSWHU EROW FROODU 55 { {

/;WLI
*(1(5$/ (1*,1( 0(&+$1,&$/ $ ¤ 

 &UDQNVKDIW 5HDU 2LO 6HDO

 $SSO\ HQJLQH RLO WR WKH OLS RI WKH RLO VHDO

 3UHVV LQ WKH RLO VHDO XVLQJ UHDU RLO VHDO VHWWLQJ WRRO NLW
 5HPRYH WKH VOLQJHU VOHHYH DQG LQVHUW WKH RLO VHDO C
LQWR WKH DGDSWHU @
 ,QVWDOO WKH DGDSWHU ULQJ LQWR WKH VOHHYH
 ,QVWDOO WKH RLO VHDO VOHHYH D WR WKH DGDSWHU @ DQG
WLJKWHQ WKH FHQWHU EROW XQWLO WKH VOHHYH FRPHV WR FRQWDFW
WKH DGDSWHU VWRSSHU E
$WLI  :LWK WKH RLO VHDO SUHVVHG LQ PDNH VXUH RI WKH
PHDVXUHPHQWV VSHFLILHG LQ WKH LOOXVWUDWLRQ

&   ‘  PP  ‘  LQ

$WLI

/;WLI

 )O\ZKHHO $VVHPEO\

 $SSO\ PRO\EGHQXP GLVXOILGH JUHDVH WR WKH IO\ZKHHO EROW


WKUHDGV DQG VHWWLQJ IDFHV

)RU $7 UHIHU WR VHFWLRQ $ )O\ZKHHO DQG SLORW


EHDULQJ

 $OLJQ WKH IO\ZKHHO ZLWK WKH FUDQNVKDIW NQRFN SLQ DQG


WHPSRUDULO\ WLJKWHQ WKH IO\ZKHHO EROWV

 8VH WKH FUDQNVKDIW VWRSSHU WR SUHYHQW WKH FUDQNVKDIW


IURP WXUQLQJ

&UDQNVKDIW 6WRSSHU 


$WLI

 ,QVWDOO WKH ZDVKHU DQG WKH IO\ZKHHO EROWV DQG WLJKWHQ WR


WKH VSHFLILHG WRUTXH LQ QXPHULFDO RUGHU VKRZ LQ WKH
LOOXVWUDWLRQ

)O\ZKHHO %ROW 7RUTXH 1‡P NJ‡POE‡IW

VW VWHS QG VWHS

  ƒ  ƒ

 5HPRYH WKH FUDQNVKDIW VWRSSHU


$ ¤  *(1(5$/ (1*,1( 0(&+$1,&$/

 &UDQNVKDIW )URQW 6OLQJHU

3UHVV LQ WKH VOLQJHU XVLQJ RLO VHDO VHWWLQJ WRRO NLW

2LO 6HDO 6HWWLQJ 7RRO .LW 

)URQW VOLQJHU DQG RLO VHDO VHWWLQJ WRROV

3DUW 1DPH 6WDPS 6OLQJHU 2LO 6HDO

$GDSWHU )7 { {
6OHHYH )7 { {
2LO VHDO DGDSWHU ULQJ )7 {
&HQWHU EROW  { {
/;WLI $GDSWHU EROW  { {
 ,QVHUW WKH VOLQJHU ? LQWR WKH HQG RI DGDSWHU @ DQG
LQVWDOO WKH DGDSWHU RQ WKH FUDQNVKDIW

$WLI

 &RYHU WKH VOHHYH A DQG WLJKWHQ WKH EROW XQWLO WKH VOHHYH
FRPHV WR FRQWDFW WKH DGDSWHU VWRSSHU B

$WLI

 0DNH VXUH RI PHDVXUHPHQWV VSHFLILHG LQ WKH LOOXVWUDWLRQ


DV ZHOO DV RI VOLQJHU GHIOHFWLRQ

$   ‘  PP  ‘  LQ

%   ‘  PP  ‘  LQ

127(

%H VXUH WR UHSODFH WKH VOLQJHU DQG RLO VHDO DV D VHW

8VH DERXW PP WKLFNQHVV SODLQ ZDVKHU RQ WKH FHQWHU

EROW

$WLI
*(1(5$/ (1*,1( 0(&+$1,&$/ $ ¤ 

 &UDQNVKDIW )URQW 2LO 6HDO

 $SSO\ HQJLQH RLO WR WKH OLS RI WKH RLO VHDO

 3UHVV LQ WKH RLO VHDO XVLQJ IURQW RLO VHDO VHWWLQJ WRRO NLW

 5HPRYH WKH VOLQJHU VOHHYH DQG LQVHUW WKH RLO VHDO C


LQWR WKH DGDSWHU @
 ,QVWDOO WKH DGDSWHU ULQJ LQWR WKH VOHHYH

 ,QVWDOO WKH RLO VHDO VOHHYH D WR WKH DGDSWHU @ DQG


WLJKWHQ WKH FHQWHU EROW XQWLO WKH VOHHYH FRPHV WR FRQWDFW
WKH DGDSWHU VWRSSHU E
$WLI

 0DNH VXUH RI WKH PHDVXUHPHQWV VSHFLILHG LQ WKH


LOOXVWUDWLRQ

&   ‘  PP  ‘  LQ

$WLI

/;WLI

 &UDQNVKDIW 'DPSHU 3XOOH\

 $SSO\ D FRDW RI HQJLQH RLO WR WKH WKUHDGV RI WKH EROWV

 $OLJQ WKH GDPSHU SXOOH\ ZLWK WKH FUDQNVKDIW NQRFN SLQ


DQG WLJKWHQ WKH EROWV WR WKH VSHFLILHG WRUTXH LQ
QXPHULFDO RUGHU

'DPSHU 3XOOH\ %ROW 7RUTXH 1‡P NJ‡POE‡IW

 

$WLI

 *HQHUDWRU %UDFNHW

 )DQ %HOW $GMXVW 3ODWH

 ,QMHFWLRQ 3XPS $VVHPEO\

 (QJLQH )RRW

 *HQHUDWRU

 )DQ %HOW


$ ¤  *(1(5$/ (1*,1( 0(&+$1,&$/

)DQ%HOW$GMXVWPHQW
 9DFXXP 3XPS 5XEEHU +RVH

 9DFXXP 3XPS 2LO 3LSH

 2LO )LOWHU $VVHPEO\

 2LO 3LSH

 (QJLQH &RQWURO /HYHU $VVHPEO\

 (QJLQH &RQWURO :LUH

 'ULYHQ 3ODWH

 &OXWFK 3UHVVXUH 3ODWH $VVHPEO\

 &\OLQGHU +HDG *DVNHW

$ERYH ZRUNV UHIHU WR ¦&</,1'(5 %/2&.§ VHFWLRQ LQ WKLV

PDQXDO

 &\OLQGHU +HDG $VVHPEO\

$ERYH ZRUNV UHIHU WR ¦&</,1'(5 +($'§ VHFWLRQ LQ WKLV

PDQXDO
*(1(5$/ (1*,1( 0(&+$1,&$/ $ ¤ 

3,6721$1'&211(&7,1*52'

$WLI

',6$66(0%/<
 &\OLQGHU +HDG $VVHPEO\

$ERYH ZRUNV UHIHU WR ¦&</,1'(5 +($'§ VHFWLRQ LQ WKLV

PDQXDO

 &\OLQGHU +HDG *DVNHW

&$87,21

'R QRW UHXVH WKH F\OLQGHU KHDG JDVNHW

 6SDFHU 5XEEHU

 2LO 3DQ
$ ¤  *(1(5$/ (1*,1( 0(&+$1,&$/

 2LO 3XPS 6WUDLQHU

$WLI

 &RQQHFWLQJ 5RG &DS

 7DNH RXW WKH FRQQHFWLQJ URG EHDULQJ FDS EROWV DQG


UHPRYH WKH EHDULQJ FDS ZLWK WKH ORZHU EHDULQJ

 ,I WKH FRQQHFWLQJ URG ORZHU EHDULQJV DUH WR EH


UHLQVWDOOHG PDUN WKHLU ILWWLQJ SRVLWLRQV E\ WDJJLQJ HDFK
EHDULQJ ZLWK WKH F\OLQGHU QXPEHU IURP ZKLFK LW ZDV
UHPRYHG

$WLI

 3LVWRQ DQG &RQQHFWLQJ 5RG $VVHPEO\

 7R IDFLOLWDWH VPRRWK UHPRYDO RI SLVWRQ UHPRYH FDUERQ


IURP WKH XSSHU SDUW RI WKH F\OLQGHU ZDOO XVLQJ D VFUDSHU
RU HTXLYDOHQW

 5HPRYH WKH SLVWRQ DQG FRQQHFWLQJ URG DVVHPEO\


XSZDUG E\ SXVKLQJ RQ WKH HGJH RI WKH FRQQHFWLQJ URG
ZLWK D KDPPHU KDQGOH RU HTXLYDOHQW

 ,I WKH FRQQHFWLQJ URG EHDULQJ DUH WR EH UHLQVWDOOHG PDUN


WKHLU ILWWLQJ SRVLWLRQV E\ WDJJILQJ HDFK EHDULQJ ZLWK WKH
F\OLQGHU QXPEHU IURP ZKLFK LW ZDV UHPRYHG
$WLI

&$87,21

'R QRW EHQG RU GDPDJH WKH RLOLQJ MHW

127(

:KHQ UHPRYLQJ WKH SLVWRQ DQG FRQQHFWLQJ URG

DVVHPEO\ SXOO WKH FRQQHFWLQJ URG LQ SDUDOOHO ZLWK WKH

F\OLQGHU ERUH

 &RQQHFWLQJ 5RG %HDULQJ

,I WKH FRQQHFWLQJ URG EHDULQJV DUH WR EH UHLQVWDOOHG PDUN


WKHLU ILWWLQJ SRVLWLRQV E\ WDJJLQJ HDFK EHDULQJ ZLWK WKH
F\OLQGHU QXPEHU IURP ZKLFK LW ZDV UHPRYHG

$WLI
*(1(5$/ (1*,1( 0(&+$1,&$/ $ ¤ 

 3LVWRQ 5LQJ

 &ODPS WKH FRQQHFWLQJ URG LQ D YLVH

7DNH FDUH QRW WR GDPDJH WKH FRQQHFWLQJ URG

 8VH SLVWRQ ULQJ UHSODFHU WR UHPRYH WKH SLVWRQ ULQJV

'R QRW DWWHPSW WR XVH VRPH RWKHU WRRO WR UHPRYH WKH


SLVWRQ ULQJV 3LVWRQ ULQJ VWUHWFKLQJ ZLOO UHVXOW LQ
UHGXFHG SLVWRQ ULQJ WHQVLRQ

$WLI

 3LVWRQ 3LQ 6QDS 5LQJ

8VH D SDLU RI VQDS ULQJ SOLHUV WR UHPRYH WKH SLVWRQ SLQ VQDS
ULQJV

 3LVWRQ 3LQ

 &RQQHFWLQJ 5RG

 3LVWRQ

7DS WKH SLVWRQ SLQ RXW ZLWK D KDPPHU DQG D EUDVV EDU

,I WKH SLVWRQV DUH WR EH UHLQVWDOOHG PDUN WKHLU LQVWDOODWLRQ


SRVLWLRQV E\ WDJJLQJ HDFK SLVWRQ ZLWK WKH F\OLQGHU QXPEHU
IURP ZKLFK LW ZDV UHPRYHG

$WLI

,163(&7,21$1'5(3$,5
0DNH WKH QHFHVVDU\ DGMXVWPHQWV UHSDLUV DQG SDUW
UHSODFHPHQWV LI H[FHVVLYH ZHDU RU GDPDJH LV GLVFRYHUHG
GXULQJ LQVSHFWLRQ

3LVWRQ*UDGH6HOHFWLRQDQG&\OLQGHU%RUH
0HDVXUHPHQW
5HIHU WR WKH 6HFWLRQ ¦&</,1'(5 %/2&.§ ,WHP ¦&\OLQGHU
/LQHU %RUH 0HDVXUHPHQW§ IRU GHWDLOV RQ SLVWRQ JUDGH
VHOHFWLRQ DQG F\OLQGHU OLQHU ERUH PHDVXUHPHQW

3LVWRQ5LQJ
3LVWRQ5LQJ*DS
 ,QVHUW WKH SLVWRQ ULQJ KRUL]RQWDOO\ LQ WKH SRVLWLRQ LW
ZRXOG DVVXPH LI LW ZHUH LQVWDOOHG WR WKH SLVWRQ LQWR WKH
F\OLQGHU OLQHU ERUH

$WLI
$ ¤  *(1(5$/ (1*,1( 0(&+$1,&$/

 3XVK WKH SLVWRQ ULQJ LQWR WKH F\OLQGHU OLQHU ERUH XQWLO LW
UHDFKHV WKH SRLQW ? ZKHUH WKH F\OLQGHU OLQHU ERUH LV WKH
VPDOOHVW

'R QRW DOORZ WKH SLVWRQ ULQJ WR VODQW WR RQH VLGH RU WKH
RWKHU ,W PXVW EH SHUIHFWO\ KRUL]RQWDO

0HDVXULQJ 3RLQW PP LQ

$SSUR[  

 8VH D IHHOHU JDXJH WR PHDVXUH WKH SLVWRQ ULQJ JDS

$WLI ,I WKH PHDVXUHG YDOYH H[FHHGV WKH VSHFLILHG OLPLW WKH


SLVWRQ ULQJ PXVW EH UHSODFHG

3LVWRQ 5LQJ *DS  +)  +) PP LQ

6WDQGDUG /LPLW

VW FRPSUHVVLRQ   


ULQJ JDS   

QG FRPSUHVVLRQ    


ULQJ JDS    

  
2LO ULQJ JDS
  

3LVWRQ 5LQJ *DS  +*  +*7 PP LQ

6WDQGDUG /LPLW

VW FRPSUHVVLRQ   


ULQJ JDS   

QG FRPSUHVVLRQ    


ULQJ JDS    

  
2LO ULQJ JDS
  

3LVWRQ 5LQJ *DS  +(7 PP LQ

6WDQGDUG /LPLW

VW FRPSUHVVLRQ   


ULQJ JDS   

QG FRPSUHVVLRQ    


ULQJ JDS    

  
2LO ULQJ JDS
  

3LVWRQ 5LQJ *DS  +(7& PP LQ

6WDQGDUG /LPLW

VW FRPSUHVVLRQ   


ULQJ JDS   

QG FRPSUHVVLRQ    


ULQJ JDS    

  
2LO ULQJ JDS
  
*(1(5$/ (1*,1( 0(&+$1,&$/ $ ¤ 

3LVWRQ5LQJDQG3LVWRQ5LQJ*URRYH&OHDUDQFH
 8VH D IHHOHU JDXJH WR PHDVXUH WKH FOHDUDQFH EHWZHHQ
WKH SLVWRQ ULQJ DQG WKH SLVWRQ ULQJ JURRYH DW VHYHUDO
SRLQWV DURXQG WKH SLVWRQ

3LVWRQ 5LQJ DQG 3LVWRQ 5LQJ *URRYH

&OHDUDQFH  +) +) +* +*7 PP LQ

6WDQGDUG /LPLW

VW &RPSUHVVLRQ    


5LQJ    
$WLI

QG &RPSUHVVLRQ   


5LQJ    
   
2LO 5LQJ
  

*URRYH &OHDUDQFH  +(7 +(7& PP LQ

6WDQGDUG /LPLW

VW &RPSUHVVLRQ   


5LQJ    
QG DQG UG    
&RPSUHVVLRQ 5LQJ   

   


2LO 5LQJ
   

 9LVXDOO\ LQVSHFW WKH SLVWRQ ULQJ JURRYHV

,I D SLVWRQ ULQJ JURRYH LV GDPDJHG RU GLVWRUWHG WKH


SLVWRQ PXVW EH UHSODFHG

$WLI

3LVWRQ3LQ
3LVWRQ3LQ'LDPHWHU
8VH D PLFURPHWHU WR PHDVXUH WKH SLVWRQ SLQ RXWVLGH
GLDPHWHU DW VHYHUDO SRLQWV

,I WKH PHDVXUHG YDOXH LV OHVV WKDQ WKH VSHFLILHG OLPLW WKH


SLVWRQ SLQ PXVW EH UHSODFHG

3LVWRQ 3LQ 'LDPHWHU PP LQ

(QJLQH PRGHO 6WDQGDUG /LPLW

([FHSW
   
+(7
   
+(7&

+(7    

+(7&    

3LVWRQ3LQ+ROHDQG3LVWRQ3LQ&OHDUDQFH
8VH DQ LQVLGH GLDO LQGLFDWRU WR PHDVXUH WKH SLVWRQ SLQ KROH
LQ WKH SLVWRQ 

3LVWRQ 3LQ +ROH DQG 3LVWRQ 3LQ &OHDUDQFH PP LQ

6WDQGDUG /LPLW

   


   

$WLI
$ ¤  *(1(5$/ (1*,1( 0(&+$1,&$/

,I DQ LQVLGH GLDO LQGLFDWRU LV QRW DYDLODEOH XVH WKH IROORZLQJ


SURFHGXUH WR FKHFN WKH SLVWRQ SLQ FOHDUDQFH

 8VH D SLVWRQ KHDWHU WR KHDW WKH SLVWRQ WR DSSUR[LPDWHO\


ƒ& ƒ)

 3XVK VWURQJO\ DJDLQVW WKH SLVWRQ SLQ ZLWK \RXU WKXPEV

7KH SLVWRQ SLQ VKRXOG PRYH VPRRWKO\ ZLWK OLWWOH RU QR


UHVLVWDQFH

$WLI

&RQQHFWLQJ5RG
&RQQHFWLQJ5RG$OLJQPHQW
8VH D FRQQHFWLQJ URG DOLJQHU WR PHDVXUH WKH GLVWRUWLRQ DQG
WKH SDUDOOHOLVP EHWZHHQ WKH FRQQHFWLQJ URG ELJ HQG KROH
DQG WKH FRQQHFWLQJ URG VPDOO HQG KROH

,I HLWKHU WKH PHDVXUHG GLVWRUWLRQ RU SDUDOOHOLVP H[FHHGV WKH


VSHFLILHG OLPLW WKH FRQQHFWLQJ URG PXVW EH UHSODFHG

&RQQHFWLQJ 5RG $OLJQPHQW PP LQ

$WLI
3HU /HQJWK RI  

6WDQGDUG /LPLW

'LVWRUWLRQ   

3DUDOOHOLVP RU OHVV 

3LVWRQ3LQDQG&RQQHFWLQJURG6PDOO(QG
%XVKLQJ&OHDUDQFH
8VH D FDOLSHU FDOLEUDWRU DQG D GLDO LQGLFDWRU WR PHDVXUH WKH
FOHDUDQFH EHWZHHQ WKH SLVWRQ SLQ DQG FRQQHFWLQJ URG VPDOO
HQG EXVKLQJ

,I WKH FOHDUDQFH EHWZHHQ WKH SLVWRQ SLQ DQG WKH FRQQHFWLQJ


URG VPDOO HQG EXVKLQJ H[FHHGV WKH VSHFLILHG OLPLW UHSODFH
WKH SLVWRQ SLQ DQGRU WKH FRQQHFWLQJ URG EXVKLQJ

3LVWRQ 3LQ DQG &RQQHFWLQJ 5RG


$WLI 6PDOO (QG %XVKLQJ &OHDUDQFH PP LQ

6WDQGDUG /LPLW

   


   

&RQQHFWLQJ5RG%XVKLQJ5HSODFHPHQW
&RQQHFWLQJ5RG%XVKLQJ5HPRYDO
 6HW WKH FROODU ? WKH FRQQHFWLQJ URG @ DQG WKH FROODU

A WR WKH VHWWLQJ EDU B


&RQQHFWLQJ 5RG %XVKLQJ 5HSODFHU 

 +DQGWLJKWHQ WKH QXW C XQWLO WKHUH LV QR PRUH JDS

$WLI
*(1(5$/ (1*,1( 0(&+$1,&$/ $ ¤ 

 6HW WKH FRQQHFWLQJ URG EXVKLQJ UHSODFHU EDVH D WR WKH


EHQFK SUHVV

 6HW WKH FRQQHFWLQJ URG WR WKH FRQQHFWLQJ URG EXVKLQJ


UHSODFHU EDVH

 7LJKWHQ WKH EROW E


 8VH WKH EHQFK SUHVV WR IRUFH WKH EXVKLQJ IURP WKH
FRQQHFWLQJ URG

$WLI

&RQQHFWLQJ5RG%XVKLQJ,QVWDOODWLRQ
 6HW FRQQHFWLQJ URG EXVKLQJ UHSODFHU EDVH ? WR WKH
EHQFK SUHVV

&RQQHFWLQJ 5RG %XVKLQJ 5HSODFHU 

 6HW WKH FRQQHFWLQJ URG WR WKH FRQQHFWLQJ URG UHSODFHU


EDVH

7KH FRQQHFWLQJ URG PXVW EH SHUIHFWO\ KRUL]RQWDO

 7LJKWHQ WKH EROW @ WR KROG WKH FRQQHFWLQJ URG VPDOO HQG


LQ SODFH
$WLI

 ,QVWDOO WKH WZR FROODUV A DQG WKH QHZ EXVKLQJ B WR WKH


VHWWLQJ EDU C
$OLJQ WKH EXVKLQJ FOLQFK OLQH DQG WKH FROODU VHWWLQJ
PDUNV

7LJKWHQ WKH QXW D


 8VH WKH EHQFK SUHVV WR SUHVV WKH QHZ EXVKLQJ LQWR
SRVLWLRQ LQVLGH WKH FRQQHFWLQJ URG

&KHFN WKDW WKH EXVKLQJ RLO KROHV DQG WKH FRQQHFWLQJ


URG RLO KROHV DUH DOLJQHG

$WLI

 8VH D SLQKROH JULQGHU WR ILQLVK WKH QHZ EXVKLQJ

&RQQHFWLQJ 5RG 6PDOO (QG %XVKLQJ


,QVLGH 'LDPHWHU PP LQ

2WKHUV      

+(7
     
+(7&

$WLI

5($66(0%/<
 3LVWRQ

 3LVWRQ 3LQ 6QDS 5LQJ

8VH D SDLU RI VQDS ULQJ SOLHUV WR LQVWDOO WKH SLVWRQ SLQ VQDS
ULQJ WR WKH SLVWRQ

$WLI
$ ¤  *(1(5$/ (1*,1( 0(&+$1,&$/

 &RQQHFWLQJ 5RG

 &ODPS WKH FRQQHFWLQJ URG LQ D YLVH

7DNH FDUH QRW WR GDPDJH WKH FRQQHFWLQJ URG

 ,QVWDOO WKH FRQQHFWLQJ URG VR WKDW WKH SLVWRQ KHDG IURQW


PDUN ? DQG WKH FRQQHFWLQJ URG IRUJLQJ PDUN
SURMHFWLQJ @ DUH VHW LQ WKH VDPH GLUHFWLRQ

$WLI

 3LVWRQ 3LQ

,I FRXOG QRW EH LQVWDOOHG SLVWRQ SLQ LW LV UHFRPPHQGHG WR


UHPRYH LW E\ IROORZLQJ SURFHGXUH

 8VH D SLVWRQ KHDWHU WR KHDW WKH SLVWRQ WR ƒ&


ƒ) 

 $SSO\ D FRDW RI HQJLQH RLO WR WKH SLVWRQ SLQ

 8VH \RXU ILQJHUV WR IRUFH WKH SLVWRQ SLQ LQWR WKH SLVWRQ
XQWLO LW PDNHV FRQWDFW ZLWK WKH VQDS ULQJ

 &KHFN WR VHH LI WKH FRQQHFWLQJ URG PRYHV VPRRWKO\ RQ


WKH SLVWRQ SLQ
$WLI

 6QDS 5LQJ

 3LVWRQ 5LQJ

 8VH D SLVWRQ ULQJ UHSODFHU WR LQVWDOO WKH WKUHH SLVWRQ


ULQJV
,QVWDOO WKH SLVWRQ ULQJV LQ WKH RUGHU VKRZQ LQ WKH
LOOXVWUDWLRQ

? VW FRPSUHVVLRQ ULQJ

@ QG FRPSUHVVLRQ ULQJ

A UG FRPSUHVVLRQ ULQJ )RU +(7&

B 2LO ULQJ

$WLI

127(

,QVHUW WKH H[SDQGHU FRLO LQWR WKH RLO ULQJ JURRYH VR WKDW

WKHUH LV QR JDS RQ HLWKHU VLGH RI WKH H[SDQGHU FRLO

EHIRUH LQVWDOOLQJ WKH RLO ULQJ

,QVWDOO WKH FRPSUHVVLRQ ULQJV ZLWK WKH VWDPSHG VLGH

IDFLQJ XS

 $SSO\ HQJLQH RLO WR WKH SLVWRQ ULQJ VXUIDFHV

 &KHFN WR VHH LI WKH SLVWRQ ULQJV URWDWH VPRRWKO\ LQ WKH


SLVWRQ ULQJ JURRYHV

$WLI

 &RQQHFWLQJ 5RG %HDULQJ

&DUHIXOO\ ZLSH DQ\ RLO RU RWKHU IRUHLJQ PDWHULDO IURP WKH


FRQQHFWLQJ URG EHDULQJ EDFN IDFH DQG WKH FRQQHFWLQJ URG
EHDULQJ ILWWLQJ VXUIDFH

 3LVWRQ DQG &RQQHFWLQJ 5RG $VVHPEO\

127(

:KHQ LQVWDOOLQJ QHZ FRQQHFWLQJ URG DQGRU FRQQHFWLQJ

URG EHDULQJV UHIHU WR WKH VHOHFWLRQ WDEOH $ERYH ZRUNV

UHIHU WR ¦&5$1.6+$)7§ VHFWLRQ LQ WKLV PDQXDO

$WLI
*(1(5$/ (1*,1( 0(&+$1,&$/ $ ¤ 

 $SSO\ D FRDW RI HQJLQH RLO WR WKH FLUFXPIHUHQFH RI HDFK


SLVWRQ ULQJ DQG SLVWRQ

 3RVLWLRQ WKH SLVWRQ ULQJ JDSV DV VKRZQ LQ WKH


LOOXVWUDWLRQ

? VW FRPSUHVVLRQ ULQJ

@ QG FRPSUHVVLRQ ULQJ

A UG FRPSUHVVLRQ ULQJ +(7& RQO\

B 2LO ULQJ

C &RLO H[SDQGHU

 $SSO\ D FRDW RI PRO\EGHQXP GLVXOILGH JUHDVH WR WKH WZR


SLVWRQ VNLUWV
+:WLI
7KLV ZLOO IDFLOLWDWH VPRRWK EUHDNLQ ZKHQ WKH HQJLQH LV
ILUVW VWDUWHG DIWHU UHDVVHPEO\

 $SSO\ D FRDW RI HQJLQH RLO WR WKH XSSHU EHDULQJ


VXUIDFHV

 $SSO\ D FRDW RI HQJLQH RLO WR WKH F\OLQGHU ZDOO

 3RVLWLRQ WKH SLVWRQ KHDG IURQW PDUN VR WKDW LW LV IDFLQJ


WKH IURQW RI WKH HQJLQH

 8VH WKH SLVWRQ ULQJ FRPSUHVVRU WR FRPSUHVV WKH SLVWRQ


ULQJV

3LVWRQ 5LQJ &RPSUHVVRU 

 8VH D KDPPHU JULS WR SXVK WKH SLVWRQ LQ XQWLO WKH


FRQQHFWLQJ URG PDNHV FRQWDFW ZLWK WKH FUDQNSLQ

$W WKH VDPH WLPH URWDWH WKH FUDQNVKDIW XQWLO WKH


FUDQNSLQ LV DW ERWWRP GHDG FHQWHU

&$87,21

'R QRW EHQG RU GDPDJH WKH RLOLQJ MHW


$WLI

 &RQQHFWLQJ 5RG &DS

 ,QVWDOO WKH FRQQHFWLQJ URG EHDULQJ FDSV

 $OLJQ WKH EHDULQJ FDS F\OLQGHU QXPEHU PDUNV DQG WKH


FRQQHFWLQJ URG F\OLQGHU QXPEHU PDUNV

 $SSO\ D FRDW RI PRO\EGHQXP GLVXOILGH JUHDVH WR WKH


WKUHDGV DQG VHWWLQJ IDFHV RI HDFK FRQQHFWLQJ URG FDS
EROWV

$WLI

 7LJKWHQ WKH FRQQHFWLQJ URG FDSV WR WKH VSHFLILHG


WRUTXH

&RQQHFWLQJ 5RG %HDULQJ &DS

%ROW 7RUTXH 1‡P NJ‡POE‡IW

VW VWHS QG VWHS UG VWHS

  ƒ ƒ

$QJOH JDXJH 

$WLI
$ ¤  *(1(5$/ (1*,1( 0(&+$1,&$/

 2LO 3XPS 6WUDLQHU

 2LO 3DQ

 6SDFHU 5XEEHU 1.5 PRGHO RQO\

 &\OLQGHU +HDG *DVNHW

$ERYH ZRUNV UHIHU WR ¦&</,1'(5 %/2&.§ VHFWLRQ LQ WKLV

PDQXDO

 &\OLQGHU +HDG $VVHPEO\

$ERYH ZRUNV UHIHU WR ¦&</,1'(5 +($'§ VHFWLRQ LQ WKLV

PDQXDO
*(1(5$/ (1*,1( 0(&+$1,&$/ $ ¤ 

&</,1'(5%/2&.

$WLI
$ ¤  *(1(5$/ (1*,1( 0(&+$1,&$/

',6$66(0%/<
 &\OLQGHU +HDG $VVHPEO\

$ERYH ZRUNV UHIHU WR ¦&</,1'(5 +($'§ VHFWLRQ LQ WKLV


PDQXDO

 &\OLQGHU +HDG *DVNHW

&$87,21

'R QRW UHXVH WKH F\OLQGHU KHDG JDVNHW

 &OXWFK 3UHVVXUH 3ODWH $VVHPEO\

 ,QVHUW WKH FOXWFK SLORW D VOLJQHU WR WKH FOXWFK DVVHPEO\

&OXWFK 3LORW $OLJQHU 

 /RRVHQ WKH SUHVVXUH SODWH EROWV LQ QXPHULFDO RUGHU D


OLWWOH DW D WLPH DV VKRZQ LQ WKH LOOXVWUDWLRQ

 5HPRYH WKH SUHVVXUH SODWH DVVHPEO\

$WLI

 'ULYHQ 3ODWH

5HPRYH WKH GULYHQ SODWH ZLWK WKH FOXWFK SLORW DOLJQHU

? &OXWFK SLORW DOLJQHU

@ &OXWFK SUHVVXUH SODWH DVVHPEO\

A 'ULYHQ SODWH

$WLI

 (QJLQH &RQWURO :LUH

 (QJLQH &RQWURO /HYHU $VVHPEO\

 2LO 3LSH

$WLI

 2LO )LOWHU $VVHPEO\

 7DFKRPHWHU 6HQVRU

 )XHO 3LSH %UDFNHW

$WLI
*(1(5$/ (1*,1( 0(&+$1,&$/ $ ¤ 

 9DFXXP 3XPS 2LO 3LSH

 9DFXXP 3XPS 5XEEHU +RVH

 )DQ %HOW

 *HQHUDWRU

$WLI

 (QJLQH )RRW

$WLI

 ,QMHFWLRQ 3XPS $VVHPEO\

 5HPRYH WKH LQMHFWLRQ SXPS EUDFNHW EROWV DQG WKH


LQMHFWLRQ SXPS UHDU EUDFNHW EROWV

 7KHQ UHPRYH WKH LQMHFWLRQ SXPS DVVHPEO\

 ,QMHFWLRQ 3XPS 5XEEHU 6SDFHU

$WLI

 ,GOH 3XOOH\ %UDFNHW ,I HTXLSSHG ZLWK $&

$WLI

 +HDWHU 3LSH

 :DWHU 6XFWLRQ 3LSH

$WLI
$ ¤  *(1(5$/ (1*,1( 0(&+$1,&$/

 2LO &RROHU $VVHPEO\

 5HPRYH WKH RLO FRROHU EROWV

 ,QVWDOO D RLO FRROHU IL[LQJ EROW WR WKH RLO FRROHU UHSODFHU


KROH DV VKRZQ LQ WKH LOOXVWUDWLRQ DQG WLJKWHQ WKH EROW
DOWHUQDWHO\ D OLWWOH DW D WLPH

/;WLI

 )DQ %HOW $GMXVW 3ODWH

$WLI

 *HQHUDWRU %UDFNHW

$WLI

 &RYHU

$WLI

 &UDQNVKDIW 'DPSHU 3XOOH\

 &UDQNVKDIW )URQW 2LO 6HDO

 &UDQNVKDIW )URQW 6OLQJHU

 )O\ZKHHO $VVHPEO\

 &UDQNVKDIW 5HDU 2LO 6HDO

 &UDQNVKDIW 5HDU 6OLQJHU

 6SDFH 5XEEHU 1.5 PRGHO RQO\

 2LO 3DQ

 2LO 3XPS 6WUDLQHU


*(1(5$/ (1*,1( 0(&+$1,&$/ $ ¤ 

 :DWHU 3XPS 3XOOH\

 :DWHU 3XPS

 )URQW 5HWDLQHU

 2LO 7KHUPR 9DOYH

 3RZHU 6WHHULQJ 3XPS ,GOH *HDU &RYHU

 3RZHU 6WHHULQJ 3XPS ,GOH *HDU

 )O\ZKHHO +RXVLQJ

 ,GOH *HDU $

 ,GOH *HDU %

 ,GOH *HDU % 6KDIW

 2LO 3XPS $VVHPEO\

 &RQQHFWLQJ 5RG &DS

 &RQQHFWLQJ 5RG /RZHU %HDULQJ

 3LVWRQ DQG &RQQHFWLQJ 5RG $VVHPEO\

 &UDQNFDVH

 7KUXVW %HDULQJ /RZHU

 &UDQNVKDIW %HDULQJ /RZHU

 &UDQNVKDIW $VVHPEO\

 7KUXVW %HDULQJ 8SSHU

 &UDQNVKDIW %HDULQJ 8SSHU

$ERYH ZRUNV UHIHU WR ¦&5$1.6+$)7§ VHFWLRQ LQ WKLV


PDQXDO

 2LOLQJ -HW

/RRVHQ WKH FKHFN YDOYHV WR UHPRYH ERWK WKH FKHFN YDOYHV


DQG WKH RLOLQJ MHWV

7DNH FDUH QRW WR EHQG RU GDPDJH WKH RLOLQJ MHWV

 &\OLQGHU %ORFN

$WLI

,163(&7,21$1'5(3$,5
0DNH WKH QHFHVVDU\ DGMXVWPHQWV UHSDLUV DQG SDUW
UHSODFHPHQWV LI H[FHVVLYH ZHDU RU GDPDJH LV GLVFRYHUHG
GXULQJ LQVSHFWLRQ

 5HPRYH WKH JDVNHW DQG DQ\ RWKHU PDWHULDO DGKHULQJ WR


WKH XSSHU VXUIDFH RI WKH F\OLQGHU EORFN

%H YHU\ FDUHIXO QRW WR DOORZ DQ\ PDWHULDO WR DFFLGHQWDOO\


GURS LQWR WKH F\OLQGHU EORFN

%H YHU\ FDUHIXO QRW WR VFUWDWFK WKH F\OLQGHU EORFN

 &DUHIXOO\ UHPRYH WKH RLO SXPS 5HDU 2LO 6HDO DQG RLO
SDQ LQVWDOODWLRQ VXUIDFH VHDO

 :LSH WKH F\OLQGHU EORFN FOHDQ


$ ¤  *(1(5$/ (1*,1( 0(&+$1,&$/

&\OLQGHU%RG\8SSHU)DFH:DUSDJH
 5HPRYH WKH F\OLQGHU ERG\ GRZHO

 5HPRYH WKH F\OLQGHU OLQHU

5HIHU WR ¦&\OLQGHU /LQHU 5HSODFHPHQW§

$WLI

 8VH D VWUDLJKW HGJH DQG D IHHOHU JDXJH WR PHDVXUH WKH


IRXU VLGHV DQG WKH WZR GLDJRQDOV RI WKH F\OLQGHU ERG\
XSSHU IDFH

 ,I WKH PHDVXUHG YDOXHV H[FHHG WKH VSHFLILHG OLPLW WKH


F\OLQGHU ERG\ PXVW EH UHSODFHG

&$87,21

'R QRW UHJULQG WKH F\OLQGHU ERG\ XSSHU IDFH

&\OLQGHU %RG\ 8SSHU )DFH :DUSDJH PP LQ

6WDQGDUG /LPLW
$WLI
  RU OHVV  

&\OLQGHU %RG\ +HLJKW + 5HIHUHQFH PP LQ

6WDQGDUG

     

 5HLQVWDOO WKH F\OLQGHU OLQHU

5HIHU WR WKH ¦&\OLQGHU %RG\ %RUH 0HDVXUHPHQW§

 5HLQVWDOO WKH F\OLQGHU ERG\ GRZHO

&\OLQGHU/LQHU%RUH0HDVXUHPHQW
8VH D F\OLQGHU LQGLFDWRU WR PHDVXUH WKH F\OLQGHU ERUH DW
PHDVXULQJ SRLQWV ? @ DQG A LQ WKH $  $ DQG %  %
GLUHFWLRQV RI WKH FUDQNVKDIW

0HDVXULQJ SRLQWV

?  PP  LQ

@  PP  LQ

A  PP  LQ

$WLI ,I WKH PHDVXUHG YDOXH H[FHHGV WKH VSHFLILHG OLPLW WKH


F\OLQGHU OLQHU PXVW EH UHSODFHG

&\OLQGHU /LQHU %RUH PP LQ

6WDQGDUG /LPLW

+)    


+)    

+*    


+*7    

+(7    


+(7&    
*(1(5$/ (1*,1( 0(&+$1,&$/ $ ¤ 

127(

7KH LQVLGH RI WKH GU\ W\SH F\OLQGHU OLQHU LV PDGH RI WKLQ

FDVW LURQ ,W FDQQRW EH UHERUHG RU KRQHG

,I WKH LQVLGH RI WKH F\OLQGHU OLQHU LV VFRUHG RU VFRUFKHG

WKH F\OLQGHU OLQHU PXVW EH UHSODFHG

&\OLQGHU/LQHU3URMHFWLRQ,QVSHFWLRQ
8VH D GLDO JDXJH WR PHDVXUH WKH SURMHFWLRQ RI HDFK
F\OLQGHU

&\OLQGHU /LQHU 3URMHFWLRQ PP LQ

6WDQGDUG

     

7KH GLIIHUHQFH LQ WKH F\OLQGHU OLQHU SURMHFWLRQ KHLJKW


EHWZHHQ DQ\ WZR DGMDFHQW F\OLQGHUV PXVW QRW H[FHHG 
$WLI

PP  LQ 

&\OLQGHU/LQHU5HSODFHPHQW
&\OLQGHU/LQHU5HPRYDO
,I FRXOG QRW EH UHPRYHG F\OLQGHU OLQHU LW LV UHFRPPHQGHG WR
UHPRYH LW E\ IROORZLQJ SURFHGXUH

 ? WR WKH F\OLQGHU OLQHU A


6HW WKH F\OLQGHU OLQHU UHPRYHU

 &KHFN WR VHH LI WKH UHPRYHU VKDIW DQNOH @ LV ILUPO\


JULSSLQJ WKH F\OLQGHU OLQHU ERWWRP HGJH

 6ORZO\ WXUQ WKH UHPRYHU VKDIW KDQGOH B FORFNZLVH WR


SXOO WKH F\OLQGHU OLQHU IUHH

&\OLQGHU /LQHU 5HPRYHU 

&\OLQGHU /LQHU 5HPRYHU $QNOH 

$QNOH  +*

&$87,21

7DNH FDUH QRW WR GDPDJH WKH F\OLQGHU ERG\ XSSHU IDFH


GXULQJ WKH F\OLQGHU OLQHU UHPRYDO SURFHGXUH

$WLI

&\OLQGHU/LQHU*UDGH6HOHFWLRQDQG6WDQGDUG
)LWWLQJ,QWHUIHUHQFH
$FFXUDWHO\ PHDVXUHG ILWWLQJ LQWHUIHUHQFH DQG SURSHU
F\OLQGHU OLQHU JUDGH VHOHFWLRQ DUH H[WUHPHO\ LPSRUWDQW

,I WKH F\OLQGHU OLQHU ILWWLQJ LQWHUIHUHQFH LV WRR VPDOO HQJLQH


FRROLQJ HIILFLHQF\ ZLOO EH DGYHUVHO\ DIIHFWHG

,I WKH F\OLQGHU OLQHU ILWWLQJ LQWHUIHUHQFH LV WRR ODUJH LW ZLOO EH


GLIILFXOW WR LQVHUW WKH F\OLQGHU OLQHU LQWR WKH F\OLQGHU ERG\
$ ¤  *(1(5$/ (1*,1( 0(&+$1,&$/

$ PDUN ZDV VWDPSHG RQ WKH OHIW VLGH RI WKH F\OLQGHU EORFN


GXULQJ SURGXFWLRQ WR LQGLFDWH WKH FRUUHFW OLQHU 7KH OLQHU
JUDGH LH   LV LQGLFDWHG LQ PHWDO VWDPS

&\OLQGHU /LQHU *UDGH

+)  +)

/LQH &\OLQGHU %RUH 6HUYLFH /LQHU 2XWVLGH


*UDGH 'LDPHWHU PP LQ *UDGH 'LDPHWHU PP LQ

     


 ;
     

  
$WLI

     
;
     

  

+*  +*7

     


 ;
     

  

     
;
     

  

+(7  +(7&

     


 ;
     

  

     
;
     

  

7KH F\OLQGHU OLQHU JUDGH LV VWDPSHG RQ WKH RXWVLGH RI WKH


F\OLQGHU OLQHU

&\OLQGHU/LQHU,QVWDOODWLRQ )RU+)+)
+*DQG+*7(QJLQH
 8VH QHZ NHURVHQH RU GLHVHO RLO WR WKRURXJKO\ FOHDQ WKH
F\OLQGHU OLQHUV DQG ERUHV

 8VH FRPSUHVVHG DLU WR EORZ GU\ WKH F\OLQGHU OLQHU DQG


ERUH VXUIDFHV

&$87,21

$OO IRUHLJQ PDWHULDO PXVW EH FDUHIXOO\ UHPRYHG IURP

WKH F\OLQGHU OLQHU DQG WKH F\OLQGHU ERUH EHIRUH

LQVWDOODWLRQ

 ,QVWDOO F\OLQGHU OLQHU SHUSHQGLFXODUO\ WR F\OLQGHU ERUH 'R


QRW JLYH DQ\ H[FHVVLYH IRUFH VXFK DV NQRFNLQJ ZKLOH
LQVHUWLQJ F\OLQGHU OLQHU LQWR F\OLQGHU ERUH

$WLI
*(1(5$/ (1*,1( 0(&+$1,&$/ $ ¤ 

&\OLQGHU/LQHU,QVWDOODWLRQ )RU+(7DQG
+(7&(QJLQH
 &\OLQGHU /LQHU ,QVWDOODWLRQ 8VLQJ 7KH 6SHFLDO 7RRO

‡ 8VH QHZ NHURVHQH RU GLHVHO RLO WR WKRURXJKO\ FOHDQ


WKH F\OLQGHU OLQHUV DQG ERUHV

‡ 8VH FRPSUHVVHG DLU WR EORZGU\ WKH F\OLQGHU OLQHU


DQG ERUH VXUIDFHV

&$87,21

$OO IRUHLJQ PDWHULDO PXVW EH FDUHIXOO\ UHPRYHG IURP


$WLI

WKH F\OLQGHU OLQHU DQG WKH F\OLQGHU ERUH EHIRUH

LQVWDOODWLRQ

‡ ,QVHUW WKH F\OLQGHU OLQHU ? LQWR WKH F\OLQGHU ERG\ @


IURP WKH WRS RI WKH F\OLQGHU ERG\

‡ 6HW WKH F\OLQGHU OLQHU LQVWDOOHU A WR WKH WRS RI WKH


F\OLQGHU OLQHU

&\OLQGHU /LQHU ,QVWDOOHU 

‡ A LV GLUHFWO\ EHQHDWK WKH EHQFK SUHVV VKDIW FHQWHU


B
&$87,21

&KHFN WKDW WKH F\OLQGHU OLQHU LV VHW SHUSHQGLFXODU WR WKH

EHQFK SUHVV DQG WKDW WKHUH LV QR ZREEOH

‡ 8VH WKH EHQFK SUHVV WR DSSO\ D VHDWLQJ IRUFH RI


$WLI  1  NJ OE WR WKH F\OLQGHU OLQHU

‡ $SSO\ D IRUFH RI  1  NJ OE WR


IXOO\ VHDW WKH F\OLQGHU OLQHU

‡ $IWHU LQVWDOOLQJ WKH F\OLQGHU OLQHU PHDVXUH WKH


F\OLQGHU OLQHU SURMHFWLRQ

5HIHU WR ¦&\OLQGHU /LQHU 3URMHFWLRQ ,QVSHFWLRQ§

 &\OLQGHU /LQHU ,QVWDOODWLRQ 8VLQJ 'U\ ,FH

,I WKH F\OLQGHU OLQHU LV D FKURPH SODWHG GU\ W\SH LW LV


DGYLVDEOH WR XVH GU\ LFH GXULQJ WKH LQVWDOODWLRQ
SURFHGXUH

&RROLQJ WKH F\OLQGHU OLQHU ZLWK GU\ LFH ZLOO FDXVH WKH
F\OLQGHU OLQHU WR FRQWUDFW WKXV PDNLQJ LQVWDOODWLRQ
HDVLHU

&$87,21

,W LV LPSRUWDQW WKDW WKH F\OLQGHU OLQHU EH LQVHUWHG WR WKH

F\OLQGHU ERG\ LPPHGLDWHO\ DIWHU LW KDV EHHQ FRROHG

:$51,1*

'U\ LFH PXVW EH XVHG ZLWK JUHDW FDUH &DUHOHVV

KDQGOLQJ RI GU\ LFH FDQ UHVXOW LQ VHYHUH IURVWELWH


$ ¤  *(1(5$/ (1*,1( 0(&+$1,&$/

3,6721*5$'(6(/(&7,21
0HDVXUH WKH F\OLQGHU OLQHU ERUH DIWHU LQVWDOOLQJ WKH F\OLQGHU
OLQHU 7KHQ VHOHFW WKH DSSURSULDWH SLVWRQ JUDGH IRU WKH
LQVWDOOHG F\OLQGHU OLQHU

 0HDVXUH WKH F\OLQGHU OLQHU ERUH

5HIHU WR WKH ¦&\OLQGHU /LQHU %RUH 0HDVXUHPHQW§

0HDVXULQJ 3RLQW ?  PP  LQ


0HDVXULQJ 3RLQW @  PP  LQ

0HDVXULQJ 3RLQW A  PP  LQ

&\OLQGHU /LQHU %RUH PP LQ

6WDQGDUG /LPLW

+)    


$WLI +)    

+*    


+*7    

+(7    


+(7&    

&$87,21

,W LV PRVW LPSRUWDQW WKDW WKH FRUUHFW SLVWRQ JUDGH EH

XVHG )DLOXUH WR VHOHFW WKH FRUUHFW SLVWRQ JUDGH ZLOO

UHVXOW LQ HQJLQH IDLOXUH $OZD\V PHDVXUH WKH F\OLQGHU

ERUH DQG VHOHFW WKH FRUUHFW SLVWRQ JUDGH

 0HDVXUH WKH SLVWRQ RXWVLGH GLDPHWHU 5HIHUHQFH 

3LVWRQ 0HDVXULQJ 3RLQW B  PP  LQ


&\OLQGHU /LQHU DQG 3LVWRQ &OHDUDQFH PP LQ

+)  +)      

+*  +*7      

+(7  +(7&      

$WLI

7KH SLVWRQ JUDGH LH $ % & LV LQGLFDWHG LQ PHWDO VWDPS


RQ WKH SLVWRQ XSSHU IDFH

3LVWRQ *UDGH
3LVWRQ
(QJLQH &\OLQGHU /LQHU 3LVWRQ 2XWVLGH
6HUYLFH
0RGHO %RUH 'LDPHWHU 'LDPHWHU
*UDGH

+)      



+)      

+*      



+*7      
$WLI

  
$;
     
+(7
+(7&      
&;
  
*(1(5$/ (1*,1( 0(&+$1,&$/ $ ¤ 

&$87,21

&\OLQGHU OLQHU NLW FOHDUDQFHV DUH SUHVHW +RZHYHU WKH

F\OLQGHU OLQHU LQVWDOODWLRQ SURFHGXUH PD\ UHVXOW LQ

VOLJKW GHFUHDVHV LQ F\OLQGHU OLQHU FOHDUDQFHV $OZD\V

PHDVXUH WKH F\OLQGHU OLQQHU FOHDUDQFH DIWHU LQVWDOODWLRQ

WR EH VXUH WKDW LW LV FRUUHFW

5($66(0%/<
 &\OLQGHU %ORFN

8VH FRPSUHVVHG DLU WR WKRURXJKO\ FOHDQ WKH LQVLGH DQG


RXWVLGH VXUIDFHV RI WKH F\OLQGHU ERG\ WKH RLO KROHV DQG WKH
ZDWHU MDFNHWV

 2LOLQJ -HW

 ,QVWDOO WKH RLOLQJ MHWV WRJHWKHU ZLWK WKH FKHFN YDOYHV

7DNH FDUH QRW WR GDPDJH WKH RLOLQJ MHW QR]]OHV

 7LJKWHQ WKH FKHFN YDOYHV DQG RLOLQJ MHWV WR WKH VSHFLILHG


WRUTXH

&KHFN 9DOYH DQG 2LOLQJ -HW 7RUTXH 1‡P NJ‡POE‡IW

 

$WLI

 &UDQNVKDIW %HDULQJ 8SSHU

 7KUXVW %HDULQJ 8SSHU

 &UDQNVKDIW $VVHPEO\

 &UDQNVKDIW %HDULQJ /RZHU

 7KUXVW %HDULQJ /RZHU

 &UDQNFDVH

$ERYH ZRUNV UHIHU WR ¦&5$1.6+$)7§ VHFWLRQ LQ WKLV


PDQXDO

 3LVWRQ DQG &RQQHFWLQJ 5RG $VVHPEO\

 &RQQHFWLQJ 5RG %HDULQJ

 &RQQHFWLQJ 5RG &DS

$ERYH ZRUNV UHIHU WR ¦3,6721 $1' &211(&7,1* 52'§


VHFWLRQ LQ WKLV PDQXDO

 2LO 3XPS $VVHPEO\

 ,GOH *HDU % 6KDIW

,GOH *HDU % 6KDIW %ROW 7RUTXH 1‡P NJ‡POE‡IW

 

$SSO\ WKH HQJLQH RLO WR WKH LGOH JHDU VKDIW DIWHU LQVWDOODWLRQ

$WLI
$ ¤  *(1(5$/ (1*,1( 0(&+$1,&$/

 ,GOH *HDU %

7KH IDFH RI WKH LGOH JHDU % ZLWK ORQJHU ERVV VKRXOG EH


SRVLWLRQHG WRZDUG WKH UHDU VLGH VKRZQ LQ WKH LOOXVWUDWLRQ

,GOH *HDU % %ROW 7RUTXH 1‡P NJ‡POE‡IW

 

$WLI

 ,GOH *HDU $

 )O\ZKHHO +RXVLQJ

 3RZHU 6WHHULQJ 3XPS ,GOH *HDU

 3RZHU 6WHHULQJ 3XPS ,GOH *HDU &RYHU

$ERYH ZRUNV UHIHU WR ¦2,/ 3803§ VHFWLRQ LQ WKLV PDQXDO

 2LO 7KHUPR 9DOYH

 )URQW 5HWDLQHU

$ERYH ZRUNV UHIHU WR ¦&5$1.6+$)7§ VHFWLRQ LQ WKLV


PDQXDO

 :DWHU 3XPS $VVHPEO\

 $SSO\ PPPP EHDG RI WKH UHFRPPHQGHG OLTXLG


JDVNHW 7KUHH %RQG & RU LWV HTXLYDOHQW RQ WKH
ZDWHU SXPS ILWWLQJ VXUIDFH

 ,QVWDOO WKH ZDWHU SXPS WR WKH IURQW UHWDLQHU

:DWHU 3XPS %ROW 7RUTXH 1‡P NJ‡POE‡IW

 

‡ ,QVWDOO WKH ZDWHU SXPS ZLWKLQ  PLQXWHV DIWHU DSSOLFDWLRQ


$WLI RI OLTXLG JDVNHW

‡ )RU WKH GLVORFDWLRQ RI OLTXLG JDVNHW UHIHU WR WKH


LOOXVWUDWLRQ

&$87,21

7KH ZDWHU SXPS FODPSLQJ EROW LV DOVR XVHG WR WLJKWHQ

WKH IURQW UHWDLQHU 6R LQVWDOO WKH ZDWHU SXPS EHIRUH

OLTXLG JDVNHW JHWV GU\ LPPHGLDWHO\ DIWHU LQVWDOODWLRQ RI

WKH IURQW UHWDLQHU

 :DWHU 3XPS 3XOOH\

:DWHU 3XPS 3XOOH\ %ROW 7RUTXH 1‡P NJ‡POE‡IW

 

$WLI
*(1(5$/ (1*,1( 0(&+$1,&$/ $ ¤ 

 2LO 3XPS 6WUDLQHU

,QVWDOO WKH 2ULQJ ? WR WKH RLO SXPS VWUDLQHU SLSH DQG LQVWDOO
WKH RLO SXPS VWUDLQHU WR WKH F\OLQGHU ERG\ VKRZQ LQ WKH
LOOXVWUDWLRQ

2LO 3XPS 6WUDLQHU %ROW 7RUTXH 1‡P NJ‡POE‡IW

 

$WLI

 2LO 3DQ

 $SSO\ D  PP LQFK EHDG RI UHFRPPHQGHG OLTXLG


JDVNHW 7KUHH %RQG & RU LWV HTXLYDOHQW WR WKH
VKDGHG DUHDV VKRZQ LQ WKH LOOXVWUDWLRQ

$WLI

$WLI

 7LJKWHQ WKH RLO SDQ QXWV DQG EROWV WR WKH VSHFLILHG


WRUTXH LQ WKH QXPHULFDO RUGHU DV VKRZQ LQ WKH
LOOXVWUDWLRQ

PDUNV DUH ORFDWHG RQ QXW SRVLWLRQV

2LO 3DQ 1XWV DQG %ROWV 7RUTXH 1‡P NJ‡POE‡IW

 

$WLI
$ ¤  *(1(5$/ (1*,1( 0(&+$1,&$/

 6SDFHU 5XEEHU 1.5 PRGHO RQO\

6SDFHU 5XEEHU %ROW 7RUTXH 1‡P NJ‡POE‡IW

 

 &UDQNVKDIW 5HDU 6OLQJHU

 &UDQNVKDIW 5HDU 2LO 6HDO

 )O\ZKHHO $VVHPEO\

 &UDQNVKDIW )URQW 6OLQJHU

 &UDQNVKDIW )URQW 2LO 6HDO

 &UDQNVKDIW 'DPSHU 3XOOH\

$ERYH ZRUNV UHIHU WR ¦&5$1.6+$)7§ VHFWLRQ LQ WKLV


PDQXDO

 &RYHU

&RYHU %ROW 7RUTXH 1‡P NJ‡POE‡IW

 

$WLI

 *HQHUDWRU %UDFNHW

*HQHUDWRU %UDFNHW %ROW 7RUTXH 1‡P NJ‡POE‡IW

 

$WLI

 )DQ %HOW $GMXVW 3ODWH

,QVWDOO WKH DGMXVW SODWH DQG WHPSRUDULO\ WLJKWHQ WKH DGMXVW


SODWH EROW

$WLI
*(1(5$/ (1*,1( 0(&+$1,&$/ $ ¤ 

 2LO &RROHU $VVHPEO\

 $SSO\  PP   PP EHDG RI WKH UHFRPPHQGHG OLTXLG


JDVNHW 7KUHH %RQG & RU LWV HTXLYDOHQW RQ WKH RLO
FRROHU ILWWLQJ VXUIDFH

 $SSO\ D FRDW RI HQJLQH RLO WR WKH 2ULQJV  SLHFHV DQG


LQVWDOO WKH 2ULQJV WR WKH RLO FRROHU

$WLI

127(

7DNH FDUH WKDW WKH 2ULQJ LV QRW VPHDUHG ZLWK OLTXLG


JDVNHW

‡ ,QVWDOO LW ZLWKLQ  PLQXWHV DIWHU DSSOLFDWLRQ RI OLTXLG


JDVNHW

‡ )RU WKH GLVORFDWLRQ RI OLTXLG JDVNHW UHIHU WR WKH


LOOXVWUDWLRQ

 7LJKWHQ WKH RLO FRROHU EROWV DQG QXW WR WKH VSHFLILHG


WRUTXH D OLWWOH DW D WLPH LQ WKH VHTXHQFH VKRZQ LQ WKH
LOOXVWUDWLRQ
/;WLI

2LO &RROHU %ROW DQG 1XW 7RUTXH 1‡P NJ‡POE‡IW

 

 :DWHU 6XFWLRQ 3LSH

 $SSO\  PP   PP EHDG RI WKH UHFRPPHQGHG OLTXLG


JDVNHW 7KUHH %RQG & RU LWV HTXLYDOHQW RQ WKH
JURRYH RI WKH ZDWHU VXFWLRQ SLSH ILWWLQJ VXUIDFH

 ,QVWDOO WKH ZDWHU VXFWLRQ SLSH WR WKH RLO FRROHU

‡ )RU WKH GLVORFDWLRQ RI OLTXLG JDVNHW UHIHU WR WKH


LOOXVWUDWLRQ

$WLI

:DWHU 6XFWLRQ 3LSH %ROW DQG


1XWV 7RUTXH 1‡P NJ‡POE‡IW

 

127(

,QVWDOO WKH ZDWHU VXFWLRQ SLSH LPPHGLDWHO\ DIWHU WKH


LQVWDOODWLRQ RI WKH RLO FRROHU

$WLI
$ ¤  *(1(5$/ (1*,1( 0(&+$1,&$/

 +HDWHU 3LSH

 ,QVWDOO WKH 2ULQJ WR WKH KHDWHU SLSH

 ,QVWDOO WKH KHDWHU SLSH WR WKH RLO FRROHU

+HDWHU 3LSH %ROW 7RUTXH 1‡P NJ‡POE‡IW

 

$WLI

 ,GOH 3XOOH\ %UDFNHW ,I HTXLSSHG ZLWK $&

,GOH 3XOOH\ %UDFNHW %ROW 7RUTXH 1‡P NJ‡POE‡IW

 

$WLI

 ,QMHFWLRQ 3XPS 5XEEHU 6SDFHU

6WLFN WKH UXEEHU VSDFHU WR WKH ORFDWLRQ LQGLFDWHG LQ WKH


LOOXVWUDWLRQ ZLWK SUHVVXUH VHQVLWLYH DGKHVLYH GRXEOH FRDWHG
WDSH

$WLI

 ,QMHFWLRQ 3XPS $VVHPEO\ ([FHSW +)

 7XUQ WKH FUDQNVKDIW XQWLO WKH WLPLQJ PDUN RQ WKH


FUDQNVKDIW GDPSHU SXOOH\ LV DOLJQHG ZLWK ¦ƒ§ OLQH

127(

%7'& ƒ WR EH DOLJQHG ZLWK KHUH LV DQ DQJOH DW ZKLFK


WKH LQMHFWLRQ SXPS LV LQVWDOOHG DQG KDV QRWKLQJ WR GR
ZLWK WKH LQMHFWLRQ WLPLQJ

 5HPRYH WKH LQVSHFWLRQ KROH SOXJ IURP WKH F\OLQGHU


ERG\

 ,QVWDOO WKH 2ULQJ WR WKH LQMHFWLRQ SXPS EUDFNHW


$WLI

 $OLJQ WKH LQMHFWLRQ SXPS EUDFNHW VOLW ZLWK WKH WLPHU VOLW

 ,QVWDOO WKH LQMHFWLRQ SXPS DVVHPEO\ WR WKH F\OLQGHU


ERG\

127(

:KHQ WKH LQMHFWLRQ SXPS KDV D SRRU JHDU HQJDJHPHQW


ZKLOH LQVWDOOLQJ WKH DVVHPEO\ WR WKH F\OLQGHU ERG\
LQVHUW D VFUHZGULYHU LQWR WKH VOLW RQ WKH WLPHU SHULSKHUDO
ZLWK WKH SXPS EUDFNHW VOLW XVHG DV D JXLGH DQG PRYH
LW XS DQG GRZQ WR JHW LW LQWR IRUFLEO\

$WLI
*(1(5$/ (1*,1( 0(&+$1,&$/ $ ¤ 

 $IWHU LQVWDOODWLRQ RI WKH LQMHFWLRQ SXPS WKH LQMHFWLRQ


WLPLQJ FDQ EH FKHFNHG WKURXJK WKH WLPLQJ FKHFN KROH
SURYLGHG WR WKH LQMHFWLRQ SXPS EUDFNHW

6HW WKH 1R F\OLQGHU WR %7'& ,QMHFWLRQ WLPLQJ RI HDFK


HQJLQH PRGHO RQ WKH FRPSUHVVLRQ VWURNH :KHQ WKH
SRLQWHU RI WKH WLPLQJ FKHFN KROH FRPHV LQ OLQH ZLWK WKH
PDUN RQ WKH WLPHU SHULSKHU\ RI WKH LQMHFWLRQ SXPS DV
VKRZQ LQ WKH LOOXVWUDWLRQ WKH LQMHFWLRQ WLPLQJ LV QRUPDO

$IWHU FRPSOHWLRQ RI WKH LQMHFWLRQ WLPLQJ FKHFN WLJKWHQ


WKH FKHFN KROH SOXJ WR WKH VSHFLILHG WRUTXH
$WLI

,QMHFWLRQ 7LPLQJ GHJ

+) +(7& %7'& 

+* %7'& 

+*7 %7'&  ([FHSW &RORPELD


%7'&  )RU &RORPELD

+(7 %7'& 

5:WLI

 7XUQ WKH FUDQNVKDIW XQWLO WKH WLPLQJ PDUN RQ WKH


FUDQNVKDIW GDPSHU SXOOH\ LV DOLJQHG ZLWK ¦ƒ§ OLQH

127,&( 3RVLWLRQ LQ LWV QRUPDO URWDWLQJ GLUHFWLRQ


IRU +(7& RQO\

$WLI

 $GMXVW LQMHFWLRQ SXPS GRZQZDUG VR WKDW WKH ¦ƒ§ FRPHV


WR SRVWLRQ LQ WKH WLPLQJ FKHFN KROH

IRU +(7& RQO\

127(

:KHQ HYHU WKH LQMHFWLRQ SXPS LV UHSODFHG EH VXUH WR


DGMXVW WKH LQMHFWLRQ WLPLQJ IRU WKH GHWDLOV RI WKH
DGMXVWPHQW UHIHU WR WKH ¦6(&7,21  6(59,&,1*
,1-(&7,21 7,0,1* ,163(&7,21 $1' $'-8670(17§

1RWH
5:WLI
,Q FDVH WKH FUDQN SXOOH\ KDV WZR PDUNV DV LOOXVWUDWHG
c %7'& ƒ PDUN RQ WKH VHFRQG FUHVW DQG d 7'&
PDUN RQ WKH WKLUG FUHVW DV YLHZHG IURP WKH IURQW VLGH 
EH VXUH WR VHW DW WKH PDUN d ,I WKHUH DUH WZR GLIIHUHQW
PDUNV RQ RQH DQG VDPH FUHVW VHW DW WKH PDUN ZKLFK
FRPHV VHFRQG ZKHQ URWDWHG LQ WKH QRUPDO GLUHFWLRQ

7KH PDUN c LV XVHG ZKHQ LQVWDOOLQJ WKH LQMHFWLRQ SXPS


IRU +)

5:WLI
$ ¤  *(1(5$/ (1*,1( 0(&+$1,&$/

 7LJKWHQ WKH LQMHFWLRQ SXPS EUDFNHW QXWV DQG EROWV WR


WKH VSHFLILHG WRUTXH
,QMHFWLRQ 3XPS %UDFNHW 1XW DQG
%ROW 7RUTXH 1‡P NJ‡POE‡IW
 
 ,QVWDOO WKH LQMHFWLRQ SXPS UHDU EUDFNHW
,QMHFWLRQ 3XPS 5HDU %UDFNHW
%ROW 7RUTXH 1‡P NJ‡POE‡IW
$WLI
 
 ,QVWDOO WKH LQVSHFWLRQ KROH SOXJ
,QVSHFWLRQ +ROH 3OXJ 7RUTXH 1‡P NJ‡POE‡IW
 

 ,QMHFWLRQ 3XPS $VVHPEO\ +) PRGHO RQO\

 7XUQ WKH FUDQNVKDIW WR VHW 1R F\OLQGHU WR ƒ EHIRUH


7'& LQ LWV FRPSUHVVLRQ VWURNH
ƒ LV D SXPS LQVWDOOLQJ DOLJQPHQW DQJOH QRW UHODWHG WR
LQMHFWLRQ WLPLQJ

$WLI

 ,QVWDOO 2ULQJ WR WKH LQMHFWLRQ SXPS


 $SSO\ SDLQW RQ WKH z = PDUNHG VLGH RI WKH LQMHFWLRQ
SXPS JHDU
 $OLJQ WKH SXPS EUDFNHW PDUN ZLWK WKH WRRWK XQGHU VLGH
RI WKH SXPS MXVW EHIRUH WKH z = PDUNHG WRRWK
 ,QVHUW WKH SXPS XVLQJ WKH EORFN VLGH RI VWXG EROW DV D
JXLGH

$WLI

 $IWHU LQVWDOOLQJ WKH LQMHFWLRQ SXPS UHPRYH WKH


WDFKRPHWHU VHQVRU IURP WKH KRXVLQJ DQG PDNH VXUH
WKDW WKH SDLQWHG JHDU LV DW WKH FHQWHU RI WKH VHQVRU
PRXQWLQJ KROH
 7LJKWHQ LQMHFWLRQ SXPS FODPSLQJ EROW DQG QXW WR
VSHFLILHG WRUTXH
%ROW 7LJKWHQLQJ 7RUTXH 1‡P NJ‡POE‡IW
 

$WLI
1XW 7LJKWHQLQJ 7RUTXH 1‡P NJ‡POE‡IW
 
 :LWK UHIHUHQFH WR ,QMHFWLRQ 7LPLQJ &KHFN
$GMXVWPHQW VHW 1R  &\OLQGHU WR ƒ EHIRUH LWV 7'&
*(1(5$/ (1*,1( 0(&+$1,&$/ $ ¤ 

1RWH

,Q FDVH WKH FUDQN SXOOH\ KDV WZR PDUNV DV LOOXVWUDWHG


c %7'& ƒ PDUN RQ WKH VHFRQG FUHVW DQG d 7'&
PDUN RQ WKH WKLUG FUHVW DV YLHZHG IURP WKH IURQW VLGH 
EH VXUH WR VHW DW WKH PDUN d ,I WKHUH DUH WZR GLIIHUHQW
PDUNV RQ RQH DQG VDPH FUHVW VHW DW WKH PDUN ZKLFK
FRPHV VHFRQG ZKHQ URWDWHG LQ WKH QRUPDO GLUHFWLRQ

5:WLI

,QMHFWLRQ7LPLQJ&KHFN +)PRGHORQO\
 6HW 1R  &\OLQGHU WR WKH 7'& LQ WKH FRPSUHVVLRQ
VWURNH

 'LVFRQQHFW ,QMHFWLRQ 3LSH

 3XW GRZQ :D[ &6' OHYHU LQVHUW D VSDFHU   


PP   LQ WKLFN EHWZHHQ WKH SOXQJHU DQG
DGMXVW EROW DQG FDQFHO WKH :D[ &6'

/;WLI

 5HPRYH WKH SXPS UHDU SOXJ FRQQHFW D GLDO JDJH DQG


VHW WKH OLIW DW  PP  LQ 

6SHFLDO 7RRO

0HDVXULQJ GHYLFH 

$WLI

 6HW WKH FUDQNVKDIW GDPSHU SXOOH\ 7'& PDUN WR WKH


SRLQWHU RU ƒ EHIRUH 7'&

 6HW WKH GLDO JDJH WR WKH ¦§ SRVLWLRQ

 7XUQ WKH FUDQNVKDIW OHIWZLVH DQG ULJKWZLVH D OLWWOH DQG


PDNH VXUH WKDW WKH QHHGOH VWD\V LQ WKH ¦§ SRVLWLRQ

$WLI

 7XUQ WKH FUDQNVKDIW LQ WKH QRUPDO GLUHFWLRQ DQG UHDG


WKH PHDVXULQJ GHYLFH©V LQGLFDWLRQ DW WKH ƒ EHIRUH
7'& SRVLWLRQ

127(

$V WKHUH LV QR ƒ PDUN VHW PLGZD\ EHWZHHQ WKH ƒ


DQG ƒ PDUNV

6WDQGDUG YDOXH  PP  LQ

$WLI
$ ¤  *(1(5$/ (1*,1( 0(&+$1,&$/

,QMHFWLRQ7LPLQJ$GMXVWPHQW
+)PRGHORQO\
,I LQMHFWLRQ WLPLQJ LV RXW RI WKH VSHFLILHG UDQJH IROORZ WKH
IROORZLQJ SURFHGXUH IRU DGMXVWPHQW

 /RRVHQ LQMHFWLRQ SXPS ILL[QJ QXWV DQG EUDFNHW EROW

 $GMXVW WKH PRXQWLQJ DQJOH RI LQMHFWLRQ SXPS

‡ ,I LQMHFWLRQ WLPLQJ LV WRR IDVW EULQJ WKH LQMHFWLRQ


SXPS FORVHU WR WKH HQJLQH

‡ ,I LQMHFWLRQ WLPLQJ LV WRR VORZ SXW WKH LQMHFWLRQ SXPS


$WLI
PRUH GLVWDQW IURP WKH HQJLQH

 :KHQ WKH GLDO JDJH KDV LQGLFDWHG WKH VSHFLILHG YDOXH


WLJKWHQ WKH IL[LQJ QXWV DQG EROW WR VSHFLILHG WRUTXH

1XW 7LJKWHQLQJ 7RUTXH 1‡P NJ‡POE‡IW

 

%ROW 7LJKWHQLQJ 7RUTXH 1‡P NJ‡POE‡IW

 

 'LVFRQQHFW WKH GLDO JDJH LQVWDOO DQG WLJKWHQ WKH SOXJ WR


VSHFLILHG WRUTXH 0DNH VXUH RI D FRSSHU ZDVKHU EHLQJ
DWWDFKHG WR WKH SOXJ

3OXJ 7LJKWHQLQJ 7RUTXH 1‡P NJ‡POE‡IW

 

 5HOHDVH WKH ZD[ &6' DQG FRQQHFW WKH LQMHFWLRQ SLSH

3LSH 6OHHYH 1XW 7LJKWHQLQJ 7RUTXH 1‡P NJ‡POE‡IW

 

1RWH

,I WKHUH DUH WZR PDUNV RQ WKH FUDQN SXOOH\ WKH IURQW

VLGH RI PDUN LV IRU VHWWLQJ %7'& ƒ DQG WKH UHDU VLGH

RI PDUN LV IRU VHWWLQJ 7'&


*(1(5$/ (1*,1( 0(&+$1,&$/ $ ¤ 

 (QJLQH )RRW

(QJLQH )RRW %ROW 7RUTXH 1‡P NJ‡POE‡IW

 

$WLI

 *HQHUDWRU

127(

%HIRUH WLJKWHQLQJ WKH JHQHUDWRU VHFXUHO\ WLJKWHQ LW

WHPSRUDULO\ LQ DGYDQFH DIWHU DGMXVWLQJ WKH IDQ EHOW

3XW WKH ORZHU IL[LQJ EROW WKURXJK IURP WKH UHDU VLGH DQG

WLJKWHQ LW ZLWK WKH QXW RQ WKH IURQW VLGH DV VKRZQ LQ WKH

LOOXVWUDWLRQ

$WLI

 )DQ %HOW

&KHFN WKH GULYH EHOW WHQVLRQ

'HSUHVV WKH GULYH EHOW PLGSRUWLRQ ZLWK D  NJ  OE

 1 IRUFH

'ULYH %HOW 'HIOHFWLRQ PP LQ

       1HZ EHOW


       5HXVH EHOW

&KHFN WKH GULYH EHOW IRU FUDQNLQJ DQG RWKHU GDPDJH

$WLI

)DQ%HOW$GMXVWPHQW
)DQ EHOW WHQVLRQ LV DGMXVWHG E\ PRYLQJ WKH DOWHUQDWRU

7RUTXH 1‡P NJ‡POE‡IW

?  

@  

A  

$WLI

 9DFXXP 3XPS 5XEEHU +RVH

 9DFXXP 3XPS 2LO 3LSH

&\OLQGHU %RG\ 6LGH 1‡P NJ‡POE‡IW

 

*HQHUDWRU 6LGH 1‡P NJ‡POE‡IW

 

 )XHO 3LSH %UDFNHW

$WLI
$ ¤  *(1(5$/ (1*,1( 0(&+$1,&$/

 7DFKRPHWHU 6HQVRU

7DFKRPHWHU %ROW 7RUTXH 1‡P NJ‡POE‡IW

 

$WLI

 2LO )LOWHU $VVHPEO\

2LO )LOWHU %ROW 7RUTXH 1‡P NJ‡POE‡IW

 

 2LO 3LSH

2LO 3LSH -RLQW %ROW 7RUTXH 1‡P NJ‡POE‡IW

 

$WLI

 (QJLQH &RQWURO /HYHU $VVHPEO\

(QJLQH &RQWURO /HYHU %ROW 7RUTXH 1‡P NJ‡POE‡IW

 

 (QJLQH &RQWURO :LUH

$WLI

 'ULYHQ 3ODWH

8VH WKH FOXWFK SLORW DOLJQHU WR LQVWDOO WKH GULYHQ SODWH

&OXWFK 3LORW $OLJQHU 

? &OXWFK SLORW DOLJQHU

@ &OXWFK SUHVVXUH SODWH DVVHPEO\

A 'ULYHQ SODWH

$WLI

&OXWFK 3UHVVXUH 3ODWH $VVHPEO\

 $OLJQ WKH FOXWFK SUHVVXUH SODWH ZLWK WKH IO\ZKHHO NQRFN


SLQ

 7LJKWHQ WKH SUHVVXUH SODWH EROWV WR WKH VSHFLILHG WRUTXH


LQ QXPHULFDO RUGHU

&OXWFK 3UHVVXUH 3ODWH %ROW 7RUTXH 1‡P NJ‡POE‡IW

 

$WLI
*(1(5$/ (1*,1( 0(&+$1,&$/ $ ¤ 

 &\OLQGHU +HDG *DVNHW

 :KHQ DQ\ RI WKH F\OLQGHU EORFN FUDQNVKDIW FUDQNVKDIW


EHDULQJ FRQQHFWLQJ URG FRQQHFWLQJ URG EHDULQJ DQG
SLVWRQ LV UHSODFHG ZLWK D QHZ RQH F\OLQGHU KHDG JDVNHW
WKLFNQHVV VKRXOG EH GHWHUPLQHG QHZO\

 :KHQ UHSODFLQJ WKH F\OLQGHU KHDG JDVNHW DORQH ZLWKRXW


UHSODFLQJ DQ\ RI WKH SDUWV PHQWLRQHG LQ  DERYH WKH
JDVNHW WR EH XVHG VKRXOG EH WKH VDPH JUDGH DV WKH
RQH XVHG EHIRUH

 &RUUHFW F\OLQGHU KHDG JDVNHW WKLFNQHVV LV LPSRUWDQW


,QVWDOOLQJ WKH ZURQJ WKLFNQHVV JDVNHW FDQ UHVXOW LQ
JUHDWO\ UHGXFHG HQJLQH SHUIRUPDQFH

 7KHUH DUH WKUHH F\OLQGHU KHDG JDVNHWV DYDLODEOH

3LVWRQ +HDG 3URMHFWLRQ 0HDVXUHPHQW

‡ 6HOHFW D F\OLQGHU KHDG JDVNHW

‡ &OHDQ WKRURXJKO\ WKH WRS IDFHV RI WKH SLVWRQ KHDG DQG


WKH F\OLQGHU ERG\

$WLI

‡ 8VH WKH GLDO JDXJH WR PHDVXUH WKH SLVWRQ KHDG


SURMHFWLRQ 7DNH PHDVXUHPHQWV DW WZR ORFDWLRQV IRU
HDFK F\OLQGHU

‡ 7KH PHDVXUHPHQW SRLQWV RI WKH SLVWRQ KHDG DQG WKH


UHIHUHQFH SRLQW RI WKH F\OLQGHU ERG\ DUH VKRZQ LQ WKH
LOOXVWUDWLRQ OHIW

0HDVXUHPHQW SRLQWV 3RLQWV * DQG * RI WKH SLVWRQ


KHDG

5HIHUHQFH SRLQW 3RLQW 5 RQ WKH WRS IDFH RI WKH


F\OLQGHU ERG\

127(

1RWH WKDW WKHUH DUH WKUHH W\SHV RI D F\OLQGHU KHDG

JDVNHW DYDLODEOH DV VKRZQ LQ WKH WDEOH EHORZ

DFFRUGLQJ WR WKH SLVWRQ SURMHFWLRQ

‡ )RU HDFK F\OLQGHU FDOFXODWH WKH DYHUDJH YDOXH 7L RI


WKH SLVWRQ SURMHFWLRQ

‡ )LQG WKH PD[LPXP YDOXH 7LPD[ RI WKH DYHUDJH YDOXH


7L RI HDFK F\OLQGHU

‡ %DVHG RQ WKH 7LPD[ REWDLQHG VHOHFW D JDVNHW RI WKH


DSSURSULDWH JUDGH
$WLI
$ ¤  *(1(5$/ (1*,1( 0(&+$1,&$/

+)+)+*7
&\OLQGHU +HDG *DVNHW 6HOHFWLRQ PP LQ

*DVNHW 7KLFNQHVV
*DVNHW *UDGH 7L PD[
5HIHUHQFH

  
$  
  

  
%  
  

  
$WLI
&  
  

+(7+(7&
&\OLQGHU +HDG *DVNHW 6HOHFWLRQ PP LQ

*DVNHW 7KLFNQHVV
*DVNHW *UDGH 7L PD[
5HIHUHQFH

  
$  
  

  
%  
  

  
&  
  

‡ $SSO\ D  PP  LQFK EHDG RU UHFRPPHQGHG OLTXLG


JDVNHW RU LWV HTXLYDOHQW WR WKH VKDGHG DUHDV VKRZQ LQ
WKH LOOXVWUDWLRQ

$WLI

‡ ,QVWDOO WKH F\OLQGHU KHDG JDVNHW ZLWK LWV ¦3$57


180%(5§ PDUN IDFLQJ XS DQG WRZDUG WKH OHIW RI WKH
HQJLQH

&$87,21

'R QRW UHXVH WKH F\OLQGHU KHDG JDVNHW

 &\OLQGHU +HDG $VVHPEO\

$ERYH ZRUNV UHIHU WR ¦&</,1'(5 +($'§ VHFWLRQ $ LQ


WKLV PDQXDO

$WLI
HOME
(1*,1( $ ¤ 

6(&7,21$
(1*,1(
+)+)+(7+(7&+*+*7

&217(176
3$*(
*HQHUDO'HVFULSWLRQ $ 
(QJLQH0RXQW 5+/+  $ 
&\OLQGHU+HDG&RYHU  $ 
,QOHW&RYHU,QOHW&DVH  $ 
([KDXVW0DQLIROG $ 
7LPLQJ*HDU5HSODFHPHQW  $ 
9DOYH*XLGH6HDO 9DOYH6SULQJ  $ 
5RFNHU$UP6KDIW$VVHPEO\ $ 
&DPVKDIW$VVHPEO\  $ 
&\OLQGHU+HDG $ 
&LUFXPIHUHQFH3DUWV2I&\OLQGHU+HDG $ 
2LO)LOWHU$VVHPEO\  $ 
2LO)LOWHU&DUWULGJH  $ 
2LO&RROHU  $ 
2LO3DQ  $ 
2LO3XPS$VVHPEO\  $ 
2LO5HOLHI9DOYH $ 
3LVWRQ3LVWRQ5LQJ3LVWRQ3LQDQG&RQQHFWLQJ5RG  $ 
)O\ZKHHODQG3LORW%HDULQJ  $ 
&UDQNVKDIW)URQW2LO6HDO $ 
&UDQNVKDIW5HDU2LO6HDO $ 
&UDQNVKDIW $ 
&\OLQGHU%ORFN $
(QJLQH$VVHPEO\ $
$ ¤  (1*,1(

*(1(5$/'(6&5,37,21
7KH HQJLQH LV D IRXUF\FOH IRXUF\OLQGHU LQOLQH GLUHFW FOHDQQHVV HFRQRP\ DQG GXUDELOLW\ ,WV WRUTXH
IXHO LQMHFWLRQ W\SH GLHVHO HQJLQH ZLWK WKH SLVWRQ FKDUDFWHULVWLFV SURPLVH G\QDPLF ULGH DW KLJK VSHHG
GLVSODFHPHQW RI  FF ,W IHDWXUHV D JHDU GULYHQ KLJK SRZHU DW ORZ VSHHG DQG VPRRWK DQG FRQWLQXRXV
2+& RYHUKHDG FDPVKDIW WLPLQJ WUDLQ DQG WKH XQLTXH WRUTXH DW PHGLXP WR KLJK UDQJHV
PHFKDQLVPV DQG V\VWHPV GHVLJQHG IRU RXWVWDQGLQJ

5,*+76,'(9,(: /,)76,'(9,(:

$WLI $WLI

$WLI $WLI
(1*,1( $ ¤ 

)RU +*7 )RU +*7

)/;WLI )/;WLI

)RU +*7

)/;WLI
$ ¤  (1*,1(

&</,1'(5+($'
‡ 7KH F\OLQGHU KHDG LV PDGH RI FDVW LURQ DQG KDV D

FURVVIORZ OD\RXW ZLWK WKH LQWDNH V\VWHP LQ WKH OHIW VLGH

DQG WKH H[KDXVW V\VWHP LQ WKH ULJKW VLGH GHVLJQHG WR

UHGXFH UHVLVWDQFH LQ WKH LQWDNH DQG H[KDXVW V\VWHPV

‡ 7KH YDOYH GLDPHWHU LV LQFUHDVHG WR RIIVHW WKH PDVV RI

WKH YDOYH RSHUDWLQJ V\VWHP UHGXFHG E\ WKH LQWURGXFWLRQ

RI WKH 2+& PHFKDQLVP

,Q DGGLWLRQ WKH LQWDNH DQG H[KDXVW SRUWV DUH SXW LQ D

VPRRWKHU DQG OHVV UHVLVWDQW OD\RXW WR HQKDQFH LQWDNH

DQG H[KDXVW HIILFLHQF\

‡ 7KH F\OLQGHU KHDG JDVNHW LV RI WKH ODPLQDWHG VWHHO RI

OHDVW IDWLJXH LQ FRPELQDWLRQ ZLWK WKH DQJXODU F\OLQGHU

KHDG EROW WLJKWHQLQJ PHWKRG HTXDOO\ GHVLJQHG WR

LQFUHDVH UHOLDELOLW\ DJDLQVW JDV DQG ZDWHU OHDNDJH LQ

DGGLWLRQ VHOHFWLYH DVVHPEO\ RI JDVNHWV RI YDULRXV

WKLFNQHVVHV PLQLPL]HV WKH ZDVWHG VSDFH EHWZHHQ WKH

SLVWRQ DQG WKH F\OLQGHU KHDG WR PDLQWDLQ SHUIRUPDQFH

DW D KLJK OHYHO

‡ 7KH F\OLQGHU KHDG FRYHU LV PDGH RI DOXPLQXP WR

UHGXFH QRLVH

$WLI

&</,1'(5%/2&.
‡ 7KH F\OLQGHU EORFN LV PDGH RI FDVW LURQ KDYLQJ GU\

F\OLQGHU OLQHU DQG ILYH EHDULQJV

7KH EHDULQJ FDS KDV D ODGGHU IUDPH FRQVWUXFWLRQ

LQWHJUDWLQJ WKH FUDQNFDVH WR LQFUHDVH ULJLGLW\

‡ 7KH F\OLQGHU OLQHU LV PDGH RI WKLQ LURQ SOXV VSHFLDO

DOOR\V DQG LV FRPELQHG ZLWK WKH FKURPHSODWHG SLVWRQ

ULQJ WR HQVXUH JRRG UHVLVWDQFH DJDLQVW ZHDU

‡ 7KH RLO SDQ LV PDGH RI YLEUDWLRQGDPSLQJ VWHHO WR

UHGXFH QRLVH

$WLI
(1*,1( $ ¤ 

3,6721&211(&7,1*52'$1'
&5$1.6+$)7
‡ 7KH SLVWRQ LV PDGH RI DOXPLQXP DOOR\ $ ULQJ WULJJHU LV
FDVW LQWR WKH WRS ULQJ JURRYH DQG FKURPH SODWLQJ LV
DSSOLHG WR IRXU VLGHV RI WKH WRS ULQJ WR HQVXUH VXIILFLHQW
VWUHQJWK DQG ZHDU UHVLVWDQFH RI WKH ULQJ DQG WKH ULQJ
JURRYH 7KH SLVWRQ ERWWRP KDV D WKHUPDO IORZ VKDSH WR
LQFUHDVH FRROLQJ HIILFLHQF\ RI WKH RLO MHW 7KLV GHVLJQ
UHGXFHV WKHUPDO ORDG ZKLOH LQFUHDVLQJ ULJLGLW\ VHH
$WLI ILJXUH 

‡ 7KH FRPEXVWLRQ FKDPEHU KDV D VTXDUH VKHOI RI SURYHQ


SHUIRUPDQFH WR HQVXUH RXWVWDQGLQJ VWDELOLW\ LQ H[KDXVW
JDV FRQWURO VHH ILJXUH 

‡ 7KH DXWRWKHUPDWLF SLVWRQ DQG RIIVHW SLVWRQ SLQ UHGXFHV


SLVWRQ IODSSLQJ DQG RWKHU QRLVH

‡ 7KH FUDQNVKDIW LV PDGH RI FDVW FDUERQ VWHHO ZLWK ILYH


EHDULQJV DQG HLJKW FRXQWHUZHLJKWV WR UHGXFH UHYROXWLRQ
ORDG WR WKH EHDULQJ 7KH ODGGHU IUDPH GHVLJQ WKDW
LQWHJUDWHV WKH EHDULQJ FDS DQG WKH FUDQNFDVH
LQFUHDVHV EHDULQJ ULJLGLW\ 7KH DQJXODU WLJKWHQLQJ

$WLI
PHWKRG RI WKH EHDULQJ EROW IXUWKHU LQFUHDVHV UHOLDELOLW\
DQG GXUDELOLW\

‡ 7KH FRQQHFWLQJ URG LV PDGH RI FDVW FDUERQ VWHHO DQG


WKH FDS LV EROWHG E\ DQJXODU WLJKWHQLQJ PHWKRG WR
PDLQWDLQ UHOLDELOLW\

‡ 7KH EHDULQJ DV ZHOO DV WKH FUDQN MRXUQDO DQG FUDQN SLQ


EHDULQJV DUH PDGH RI .HOPHW PHWDO

2LO FOHDUDQFH LV FRQWUROOHG DFFXUDWHO\ WKURXJK VHOHFWLYH


DVVHPEO\ E\ WKLFNQHVV WR UHGXFH QRLVH DQG LQFUHDVH
UHOLDELOLW\

‡ 7KH FUDQNVKDIW KDV WKH D[LDO W\SH RLO VHDO WKDW


GUDVWLFDOO\ LPSURYHV GXUDELOLW\ DQG UHOLDELOLW\

&RPSDUHG ZLWK WKH FRQYHQWLRQDO UDGLDO W\SH OLSV LQ D


UDGLDO RULHQWDWLRQ  WKH D[LDO W\SH RLO VHDO KDV OLSV LQ DQ
D[LDO RULHQWDWLRQ WR PLQLPL]H OLS ZHDU ,W DOVR SUHFOXGHV
OLS SHHOLQJ DQG GDPDJH VSULQJ GLVORFDWLRQ DQG RWKHU
SUREOHPV DVVRFLDWHG ZLWK WKH UDGLDO W\SH RLO VHDO VHH
ILJXUH 

$WLI
$ ¤  (1*,1(

9$/9(75$,1
‡ 7KH JHDU WUDLQ LV ORFDWHG DW WKH HQG RI WKH F\OLQGHU EORFN
WR PLQLPL]H LQIOXHQFH RI WKH WRUVLRQDO YLEUDWLRQ RI WKH
FUDQNVKDIW DQG WKH UDGLDQW VRXQG 1RLVH LV IXUWKHU
UHGXFHG WR WKH VDPH OHYHO DV D WLPLQJ EHOW GULYHQ
V\VWHP E\ LQWHJUDWLQJ WKH FUDQN JHDU ZLWK WKH
FUDQNVKDIW E\ VKULQN ILW DQG E\ FDUHIXO WXUQLQJ RI WKH
JHDU SUHFLVLRQ WHHWK FRQWDFW UDWLR RI JHDU EDFNODVK
EHDULQJ ULJLGLW\ QHXWUDO IUHTXHQF\ HWF 6HH ILJXUH 

‡ *HDUV DUH RI WKH IRUJHG W\SH *HDUV DUH WXIIWULGHG WR


VHFXUH VXIILFLHQW GXUDELOLW\

‡ 7KH FDPVKDIW LV PDGH RI FDUERQ VWHHO ZLWK ILYH


EHDULQJV 7KH FDP©V QRVH DQG WKH MRXUQDO DUH
LQGXFWLRQKDUGHQHG WR VHFXUH VXIILFLHQW GXUDELOLW\

‡ 7KH FDP KDV D )RXULHUG\QH SURILOH WR PD[LPL]H WKH


LQWDNH DQG H[KDXVW YDOYH OLIWV DQG WKH YDOYH RSHQLQJ
DQG FORVLQJ WLPLQJ LV RSWLPL]HG WR LQFUHDVH LQWDNH DQG
H[KDXVW HIILFLHQF\

‡ 7KH YDOYH VSULQJ LV D VLQJOH VSULQJ KDYLQJ DQ


HJJVKDSHG FURVV VHFWLRQ WR UHGXFH ZHLJKW ZKLOH
$WLI UHGXFLQJ VWUHVV &RXSOHG ZLWK WKH XQLTXH FDP SURILOH
WKH VSULQJ LQFUHDVHV WKH MXPSDQG ERXQFHIUHH OLPLW DW
KLJKVSHHG RSHUDWLRQ WR SURYLGH UHVHUYH
FKDUDFWHULVWLFV

‡ 7KH URFNHU DUP LV PDGH RI GLHFDVW DOXPLQXP DQG LV RI


WKH FHQWHU SLYRW W\SH KDYLQJ D UROOHU 7KLV LQFUHDVHV
UHOLDELOLW\ ZKLOH UHGXFLQJ IULFWLRQ DQG FRQWULEXWHV WR
LQFUHDVHG SRZHU RXWSXW DQG IXHO HIILFLHQF\ 6HH ILJXUH 

‡ 7KH URFNHU VKDIW LV FKURPH SODWHG WR VHFXUH VXIILFLHQW


GXUDELOLW\

$WLI
(1*,1( $ ¤ 

)8(/6<67(0
‡ 7KH LQMHFWLRQ SXPS LV RI %RVFK $ W\SH ZLWK WKH SOXQJHU
RXWVLGH GLDPHWHU RI PP DQG FDP OLIW RI PP

7KH SOXQJHU KDV D VSHFLDO QRWFK IRU DGYDQFLQJ WKH


WLPLQJ DW VWDUWLQJ

‡ 7KH JRYHUQRU LV RI D PHFKDQLFDO 5/' W\SH WR HQVXUH


VXVWDLQHG SRZHU DW KLJK VSHHG

‡ 7KH WLPHU LV RI WKH 6&'0 HFFHQWULF W\SH

‡ 7KH LQMHFWLRQ QR]]OH LV RI WKH 3 W\SH WR EULQJ LW DV


WHFKQLFDOO\ FORVH DV SRVVLEOH WR WKH FHQWHU RI WKH
FRPEXVWLRQ FKDPEHU 7KH QR]]OH LQFOLQDWLRQ LV DOVR
UHGXFHG WR PLQLPXP WR LQFUHDVH FRPEXVWLRQ HIILFLHQF\
7KH QR]]OH KDV IRXU MHWV DQG WKH YDOYH RSHQLQJ

SUHVVXUH LV VHW DW NJFP  SVL  N3D
6HH ILJXUH 

‡ 7KH LQMHFWLRQ SLSH LV ODLG LQ VXFK D ZD\ WKDW WKH RYHUDOO


OHQJWK LV PLQLPL]HG WR HQKDQFH SHUIRUPDQFH

$WLI

,17$.($1'(;+$8676<67(06
‡ 7KH UHVLQPDGH LQWDNH PDQLIROG LV RI WKH FRYHU W\SH
KDYLQJ DQ LQQHU FRYHU PDGH RI UXEEHU DQG VWHHO 7KLV
GHVLJQ HIIHFWLYHO\ UHGXFHV UDGLDQW VRXQG DQG
WUDQVPLWWHG VRXQG

‡ 7KH LQWDNH PDQLIROG KDV D VWUDLJKWHQLQJ YDQH LQVLGH WR


VWDELOL]H VZLUO DQG LPSURYH SHUIRUPDQFH ,W DOVR
FRQWDLQV D EXLOWLQ 3RVLWLYH &UDQNFDVH 9HQWLODWLRQ 3&9
YDOYH WR PLQLPL]H WKH RYHUDOO VL]H 6HH ILJXUH 
$WLI
‡ 7KH H[KDXVW PDQLIROG LV PRGH RI FDVW LURQ DQG
KHDWUHVLVWLQJ DOOR\V 3RUWV DUH VKDSHG FDUHIXOO\ WR
PLQLPL]H H[KDXVW UHVLVWDQFH
$ ¤  (1*,1(

/8%5,&$7,216<67(0
‡ 7KH RLO SXPS LV GULYHQ E\ WKH FUDQN JHDU GLUHFWO\ WR
LQFUHDVH GXUDELOLW\ ZKLOH PDLQWDLQLQJ VXIILFLHQW GHOLYHU\
7KH SXPS ERG\ LV SDUWLDOO\ LQWHJUDWHG ZLWK WKH F\OLQGHU
EORFN WR UHGXFH WKH RYHUDOO VL]H DQG ZHLJKW 6HH ILJXUH

‡ 7KH RLO ILOWHU LV RI WKH FDUWULGJH W\SH LQWHJUDWLQJ WKH


IXOOIORZ ILOWHU DQG E\SDVV ILOWHU DV D VLQJOH XQLW 7KLV
SUHVHQWV VHYHUDO DGYDQJDWHV VXFK DV DQ H[WHQGHG
LQWHUYDO EHWZHHQ RLO H[FKDQJHV DQG JUHDWHU HDVH RI
$WLI PDLQWHQDQFH UHVXOWLQJ LQ FRVW UHGXFWLRQ 7KH E\SDVV
YDOYH LV ILWWHG WR WKH ERG\ LWVHOI WR DYRLG IORZ RI IRUHLJQ
PDWWHU GXH WR E\SDVVLQJ RI RLO WKHUHE\ PDLQWDLQLQJ
VXIILFLHQW UHOLDELOLW\

‡ 7KH RLO FRROHU LV RI D ODUJHFDSDFLW\ ZDWHUFRROHG DQG


PXOWLSOHSDUWLWLRQ W\SH EXLOW LQWR WKH VLGH RI WKH F\OLQGHU
EORFN 7KLV GHVLJQ PDLQWDLQV QHFHVVDU\ VWDELOLW\ LQ RLO
WHPSHUDWXUH ,W DOVR KDV D E\SDVV YDOYH WR PLQLPL]H
GHOD\ RI WKH RLO JDOOHU\ SUHVVXUH EXLOGXS IRU FROG
VWDUWLQJ

&22/,1*6<67(0
‡ 7KH ZDWHU SXPS LV GULYHQ E\ D 9EHOW DQG WKH SXPS
ERG\ LV PDGH RI GLHFDVW DOXPLQXP 3DUW RI WKH
VZLUOFKDPEHU LV EXLOW LQWR WKH HQJLQH IURQW FRYHU WR
UHGXFH WKH RYHUDOO VL]H DQG ZHLJKW

$ VLQWHUHG FDUERQ W\SH VHDO XQLW LV FKRVHQ WR VHFXUH


UHOLDELOLW\ 7KH VKDIW EHDULQJ FRPELQHV UROOHU EHDULQJ
DQG EDOO EHDULQJ WR PDLQWDLQ QHFHVVDU\ GXUDELOLW\ 7KH
RXWOHW IRU GUDLQLQJ LV ORFDWHG EHKLQG WKH SXOOH\ WR
SUHYHQW GXVW IURP HQWHULQJ WKH V\VWHP DV PXFK DV
SRVVLEOH 6HH ILJXUH

‡ 7KH FRROLQJ IDQ RSHUDWLRQ LV UHJXODWHG E\ D


WHPSHUDWXUHVHQVLWLYH FOXWFK WR HQKDQFH IXHO HIILFLHQF\
ZKLOH UHGXFLQJ QRLVH

$WLI
(1*,1( $ ¤ 

,03257$1723(5$7,216

 $[LDO 7\SH 2LO 6HDO


‡ $V FUDQNVKDIW IURQW DQG UHDU RLO VHDOV DUH ERWK D[LDO W\SH DWWHQWLRQ PXVW EH SDLG WR WKH IROORZLQJ

ZKHQ UHSODFLQJ UHSODFH RLO VHDO DQG VOLQJHU DV D VHW

‡ %H VXUH WR XVH WKH VSHFLDO WRRO FRUUHFWO\ VLQFH RLO VHDO DQG VOLQJHU PXVW EH VHW DFFXUDWHO\ LQ WKHLU
ORQJLWXGLQDO GLUHFWLRQ

 9DOYH &DS
‡ $V LQWDNH DQG H[KDXVW YDOYHV KDYH FDSV WDNH VXIILFLHQW FDUH QRW WR OHW WKHP IDOO LQWR WKH JHDU FDVH
RU RLO UHWXUQ KROH GXULQJ GLVDVVHPEO\ RU UHDVVHPEO\

 $SSOLFDWLRQ RI /LTXLG *DVNHW


‡ 2LO SDQ FUDQNFDVH RLO FRROHU UHWDLQHU IURQW DQG ZDWHU SXPS DUH QRW VHDOHG ZLWK VKHHW JDVNHW EXW
ZLWK OLTXLG JDVNHW RQO\

‡ 3ULRU WR DSSOLFDWLRQ EH VXUH WR UHPRYH ROG KDUGHQHG OLTXLG JDVNHW RU RLO IURP WKRVH VXUIDFHV WR
ZKLFK QHZ JDVNHW ZLOO EH DSSOLHG )XUWKHU LI WKH ROG JDVNHW FDQ KDUGO\ EH UHPRYHG PDVN VXFK
VXUIDFHV ZLWK JDVNHW UHPRYHU 7KUHH %RQG 3$1'2' ,68=8 *HQXLQH 3DUWV 1R
 RU HTXLYDOHQW LQ DFFRUGDQFH ZLWK WKH LQVWUXFWLRQV PDQXDO

‡ /LTXLG JDVNHW VKRXOG EH DSSOLHG HYHQO\ VR WKDW QR EUHDNV DQG RPLVVLRQV PD\ EH PDGH )XUWKHU
ZKHUH 2ULQJ LV XVHG VKRXOG QRW EH H[SRVHG WR OLTXLG JDVNHW

 3ODVWLF5HJLRQ $QJXODU 1XW %ROW 7LJKWHQLQJ 0HWKRG


‡ &ODPSLQJ EROWV RI FRQQHFWLQJ URG DQG F\OLQGHU KHDG 0 RQO\ DUH WLJKWHQHG E\ SODVWLF UHJLRQ
DQJXODU QXW DQG EROW WLJKWHQLQJ PHWKRG 7KLV PHWKRG LV DSSOLHG ZLWK EROW WKUHDGV DQG VHWWLQJ IDFHV
FRDWHG ZLWK PRO\EGHQXP GLVXOILGH JUHDVH
$ ¤  (1*,1(

(1*,1(02817 5+/+

$WLI

5(029$/
3UHSDUDWLRQ

‡ 'LVFRQQHFW EDWWHU\ JURXQG FDEOH

‡ 7LOW WKH FDE

 7UDQVPLVVLRQ 3DQHO 07 RQO\

 )DQ *XLGH

5HPRYH WKH IDQ JXLGH DQG KDQJ LW RQ WKH IDQ VLGH


(1*,1( $ ¤ 

 (QJLQH 0RXQW

 +DQJ WKH HQJLQH E\ WKH KRLVW EHIRUH GLVPRXQWLQJ WKH


HQJLQH PRXQW

 5HPRYH WKH QXWV WKDW IL[ WKH HQJLQH IRRW DQG WKH HQJLQH
PRXQW

 5HPRYH WKH IL[LQJ EROWV RQ WKH FKDVVLV IUDPH VLGH RI


WKH HQJLQH PRXQW

 +RLVW WKH HQJLQH DVVHPEO\ D OLWWOH DQG GLVPRXQW WKH


HQJLQH PRXQW

$WLI

,167$//$7,21
 (QJLQH 0RXQW

7LJKWHQ WKH IL[LQJ EROWV WR WKH VSHFLILHG WRUTXH

&KDVVLV )UDPH 6LGH %ROW 7RUTXH 1‡P NJ‡POE‡IW

 

(QJLQH )RRW 6LGH 1XW 7RUTXH 1‡P NJ‡POE‡IW

 

 )DQ *XLGH

 7UDQVPLVVLRQ 3DQHO 07 RQO\

 &RQQHFW WKH QHJDWLYH EDWWHU\ FDEOH

 /RZHU WKH FDE

 6WDUW WKH HQJLQH DQG FKHFN IRU DQ\ DEQRUPDO


FRQGLWLRQV ZLWK WKH HQJLQH PRXQW
$ ¤  (1*,1(

&</,1'(5+($'&29(5

$WLI

5(029$/
3UHSDUDWLRQ

‡ 'LVFRQQHFW EDWWHU\ JURXQG FDEOH

‡ 7LOW WKH FDE

 1R]]OH &RYHU

 &\OLQGHU +HDG &RYHU

 &\OLQGHU +HDG &RYHU *DVNHW

 5XEEHU 3OXJ
(1*,1( $ ¤ 

,167$//$7,21
 5XEEHU 3OXJ

 $SSO\ D PPPP EHDG RI WKH UHFRPPHQGHG OLTXLG


JDVNHW 7KUHH %RQG % RU LWV HTXLYDOHQW WR WKH
F\OLQGHU KHDG IURQW DQG UHDU SOXJ DUFK

 ,QVWDOO WKH UXEEHU SOXJV WR WKH F\OLQGHU KHDG XSSHU


IDFHV

 $SSO\ D PPPP EHDG RI WKH UHFRPPHQGHG OLTXLG


JDVNHW 7KUHH %RQG % RU LWV HTXLYDOHQW WR WKH
$WLI
UXEEHU SOXJV DQG F\OLQGHU KHDG XSSHU IDFHV 5HIHU WR
WKH LOOXVWUDWLRQ

,QVWDOO WKH F\OLQGHU KHDG FRYHU ZLWKLQ  PLQXWHV DIWHU


DSSOLFDWLRQ RI OLTXLG JDVNHW

 &\OLQGHU +HDG &RYHU *DVNHW

,QVWDOO WKH JDVNHW WR WKH F\OLQGHU KHDG FRYHU

 &\OLQGHU +HDG &RYHU

 ,QVWDOO WKH F\OLQGHU KHDG FRYHU

 7LJKWHQ WKH F\OLQGHU KHDG FRYHU QXWV DQG EROWV WR WKH


VSHFLILHG WRUTXH LQ WKH QXPHULFDO RUGHU VKRZQ LQ WKH
LOOXVWUDWLRQ

&\OLQGHU +HDG &RYHU 1XW DQG


%ROW 7RUTXH 1‡P NJ‡POE‡IW

 

 1R]]OH &RYHU

‡ &RQQHFW WKH QHJDWLYH EDWWHU\ FDEOH

‡ /RZHU WKH FDE

‡ 6WDUW HQJLQH DQG FKHFN IRU RLO OHDNDJH FDUHIXOO\

$WLI
$ ¤  (1*,1(

,1/(7&29(5,1/(7&$6(

$WLI

5(029$/
3UHSDUDWLRQ
‡ 'LVFRQQHFW EDWWHU\ JURXQG FDEOH

‡ 7LOW WKH FDE

 ,QWDNH $LU 'XFW

 5HPRYH WKH FOLSV DW WKH FRQQHFWLRQV ZLWK WKH LQOHW


FRYHU DQG ZLWK WKH DLU FOHDQHU

 5HPRYH WKH LQWDNH DLU GXFW ZLWK WKH FRQQHFWRU KRVH


DWWDFKHG

 9DFXXP +RVH

 1R]]OH &RYHU
(1*,1( $ ¤ 

 /HDN RII 3LSH

$WLI

 )XHO 3LSH

'R QRW DSSO\ H[FHVVLYH IRUFH WR WKH IXHO SLSHV

$WLI

 3RVLWLYH &UDQNFDVH 9HQWLODWLRQ 3&9 +RVH

'LVFRQQHFW WKH 3&9 KRVH IURP LQOHW FRYHU

$WLI

 )XHO ,QMHFWLRQ

 /RRVHQ WKH LQMHFWLRQ SLSH VOHHYH QXWV c


 'R QRW DSSO\ H[FHVVLYH IRUFH WR WKH LQMHFWLRQ SLSHV g
 /RRVHQ WKH LQMHFWLRQ SLSHV FOLSV e
 5HPRYH WKH LQMHFWLRQ SLSH DVVHPEO\

3OXJ WKH GHOLYHU\ YDOYH KROGHU d SRUWV DQG QR]]OH


KROGHU f SRUWV ZLWK FDSV WR SUHYHQW WKH HQWU\ RI IRUHLJQ
PDWHULDO

$WLI
$ ¤  (1*,1(

 (QJLQH +DUQHVV

'LVFRQQHFW WKHUPRPHWHU XQLW WKHUPR VZLWFK WDFKRPHWHU


VHQVRU DQG JORZ SOXJ KDUQHVV FRQQHFWRUV DQG VHSDUDWH
KDUQHVV IURP FOLSV

$WLI

 2LO /HYHO *DXJH *XLGH 7XEH

5HPRYH WKH JXLGH WXEH IL[LQJ EROW DQG SXOO RXW WKH JXLGH
WXEH

$WLI

 ,QOHW &RYHU

 ,QOHW &DVH

5HPRYH WKH LQOHW FDVH ZKLOH UHPRYLQJ WKH OLTXLG JDVNHW

$WLI

,167$//$7,21
 ,QOHW &DVH

 $SSO\  PP PP EHDG RI WKH UHFRPPHQGHG OLTXLG


JDVNHW 7KUHH %RQG & RU LWV HTXLYDOHQW RQ WKH
JURRYH RI WKH LQOHW FDVH ILWWLQJ VXUIDFHV VKRZQ LQ WKH
LOOXVWUDWLRQ

‡ &OHDQ WKH LQOHW FDVH ILWWLQJ VXUIDFH RI WKH F\OLQGHU KHDG

 ,QVWDOO WKH LQOHW FDVH WR WKH F\OLQGHU KHDG

‡ ,QVWDOO WKH LQOHW FDVH ZLWKLQ  PLQXWHV DIWHU DSSOLFDWLRQ


RI OLTXLG JDVNHW

 7LJKWHQ WKH LQOHW FDVH WR WKH VSHFLILHG WRUTXH


$WLI

,QOHW &DVH 1XWV DQG %ROWV 7RUTXH 1‡P NJ‡POE‡IW

 
(1*,1( $ ¤ 

 ,QOHW &RYHU

 $WWDFK KDUQHVV FOLSV c h DQG i DQG WLJKWHQ WKH


LQOHW FRYHU EROWV DQG QXWV WR WKH VSHFLILHG WRUTXH LQ WKH
QXPHULFDO RUGHU VKRZQ LQ WKH LOOXVWUDWLRQ

  PDUNV DUH ORFDWHG RQ WKH QXW SRVLWLRQV

,QOHW &RYHU %ROW DQG 1XW 7RUTXH 1‡P NJ‡POE‡IW

 

$WLI

 2LO /HYHO *DXJH *XLGH 7XEH

 ,QVWDOO WKH 2ULQJV WR WKH JXLGH WXEH ORZHU SRUWLRQ DQG


LQVHUW WKH JXLGH WXEH FRPSOHWHO\ WR WKH F\OLQGHU ERG\

 7LJKWHQ WKH JXLGH WXEH EROW WR WKH VSHFLILHG WRUTXH

*XLGH 7XEH %ROW 7RUTXH 1‡P NJ‡POE‡IW

 

$WLI

 (QJLQH +DUQHVV

&RQQHFW WKHUPRPHWHU XQLW WKHUPR VZLWFK WDFKRPHWHU


VHQVRU DQG JORZ SOXJ KDUQHVV FRQQHFWRU DQG IDVWHQ WKH
HQJLQH KDUQHVV ZLWK FOLSV

$WLI

 )XHO ,QMHFWLRQ 3LSH $VVHPEO\

 ,QVWDOO WKH LQMHFWLRQ SLSH DVVHPEO\ DQG WHPSRUDULO\


WLJKWHQ WKH LQMHFWLRQ SLSH VOHHYH QXWV

 6HW WKH FOLSV LQ WKH SUHVFULEHG SRVLWLRQ VKRZQ LQ WKH


LOOXVWUDWLRQ

&$87,21

0DNH DEVROXWHO\ VXUH WKDW WKH FOLS LV FRUUHFWO\

SRVLWLRQHG

$Q LPSURSHUO\ SRVLWLRQHG FOLS ZLOO UHVXOW LQ LQMHFWLRQ

SLSH EUHDNDJH DQG IXHO SXOVLQJ QRLVH

&OLS 6FUHZ 7RUTXH 1‡P NJ‡POE‡LQ

 

 7LJKWHQ WKH LQMHFWLRQ SLSH VOHHYH QXWV WR WKH VSHFLILHG


WRUTXH

,QMHFWLRQ 3LSH 6OHHYH 1XW 7RUTXH 1‡P NJ‡POE‡IW

 

$WLI
$ ¤  (1*,1(

)XHO ,QMHFWLRQ 3LSH $VVHPEO\ +) PRGHO RQO\

 ,QVWDOO WKH LQMHFWLRQ SLSH DVVHPEO\ DQG WHPSRUDULO\


WLJKWHQ WKH LQMHFWLRQ SLSH VOHHYH QXWV

 6HW WKH FOLSV LQ WKH SUHVFULEHG SRVLWLRQ VKRZQ LQ WKH


LOOXVWUDWLRQ

&$87,21

0DNH DEVROXWHO\ VXUH WKDW WKH FOLS LV FRUUHFWO\


SRVLWLRQHG

$Q LPSURSHUO\ SRVLWLRQHG FOLS ZLOO UHVXOW LQ LQMHFWLRQ


SLSH EUHDNDJH DQG IXHO SXOVLQJ QRLVH

&OLS 6FUHZ 7RUTXH 1‡P NJ‡POE‡LQ

 

 7LJKWHQ WKH LQMHFWLRQ SLSH VOHHYH QXWV WR WKH VSHFLILHG


WRUTXH

,QMHFWLRQ 3LSH 6OHHYH 1XW 7RUTXH 1‡P NJ‡POE‡IW

 

$WLI

 3RVLWLYH &UDQNFDVH 9HQWLODWLRQ 3&9 +RVH

$WLI

 )XHO 3LSH

'R QRW DSSO\ H[FHVVLYH IRUFH WR WKH IXHO SLSH

)XHO 3LSH -RLQW %ROW c 7RUTXH 1‡P NJ‡POE‡IW

 

)XHO 3LSH -RLQW %ROW d 7RUTXH 1‡P NJ‡POE‡IW

 

&OLS 6FUHZ 7RUTXH 1‡P NJ‡POE‡LQ

 

$WLI
(1*,1( $ ¤ 

 /HDN 2II 3LSH

/HDN2II 3LSH -RLQW %ROW 7RUTXH 1‡P NJ‡POE‡LQ

 

 1R]]OH &RYHU

 9DFXXP +RVH

 ,QWDNH $LU 'XFW

‡ &RQQHFW WKH QHJDWLYH EDWWHU\ FDEOH

‡ /RZHU WKH FDE


$WLI
‡ 6WDUW HQJLQH DQG FKHFN IRU IXHO OHDNDJH FDUHIXOO\
$ ¤  (1*,1(

(;+$8670$1,)2/'

$WLI

5(029$/
3UHSDUDWLRQ

‡ 'LVFRQQHFW EDWWHU\ JURXQG FDEOH

‡ 7LOW WKH FDE

 $LU &RQGLWLRQLQJ $& &RPSUHVVRU ,I HTXLSSHG ZLWK


$&

 'LVFRQQHFW PDJQHWLF FOXWFK KDUQHVV FRQQHFWRU

 'LVPRXQW WKH FRPSUHVVRU WRJHWKHU ZLWK WKH KRVHV IURP


WKH $& FRPSUHVVRU EUDFNHW DQG IDVWHQ LW WR WKH
DSSURSULDWH ORFDWLRQ ZLWK D ZLUH
(1*,1( $ ¤ 

 $& &RPSUHVVRU %UDFNHW ,I HTXLSSHG ZLWK $&

 )URQW ([KDXVW 3LSH

 +HDW 3URWHFWRU

 ([KDXVW 0DQLIROG

 ([KDXVW *DVNHW

,167$//$7,21
 ([KDXVW *DVNHW

,QVHUW WKH JDVNHW LQWR WKH VWXG SURYLGHG WR WKH F\OLQGHU KHDG
ZLWK WKH SURMHFWLRQ RI WKH JDVNHW RQ WKLV VLGH 

$WLI

 ([KDXVW 0DQLIROG

 e H[KDXVW PDQLIROG
,QVWDOO H[KDXVW PDQLIROG JDVNHWV

d GLVWDQFH SLHFHV i GLVK ZDVKHUV g DQG QXWV f WR


WKH VWXG EROWV VKRZQ LQ WKH LOOXVWUDWLRQ

$WLI

 7LJKWHQ WKH QXWV WR WKH VSHFLILHG WRUTXH LQ WKH


QXPHULFDO RUGHU VKRZQ LQ WKH LOOXVWUDWLRQ

([KDXVW 0DQLIROG 1XW 7RUTXH 1‡P NJ‡POE‡IW

 

$WLI

 +HDW 3URWHFWRU

+HDW 3URWHFWRU %ROW 7RUTXH 1‡P NJ‡POE‡IW

 

 )URQW ([KDXVW 3LSH

([KDXVW 0DQLIROG 6LGH 1‡P NJ‡POE‡IW

 

([KDXVW %UDNH 6LGH 1‡P NJ‡POE‡IW


$WLI

 
$ ¤  (1*,1(

 $LU &RQGLWLRQLQJ $& &RPSUHVVRU %UDFNHW ,I


HTXLSSHG ZLWK $&

7LJKWHQ IL[LQJ EROWV WR WKH VSHFLILHG WRUTXH

$& &RPSUHVVRU %UDFNHW %ROW 7RUTXH 1‡P NJ‡POE‡IW

 

/9WLI

 $& &RPSUHVVRU ,I HTXLSSHG ZLWK $&

 7LJKWHQ IL[LQJ EROWV WR WKH VSHFLILHG WRUTXH

$& &RPSUHVVRU %ROW 7RUTXH 1‡P NJ‡POE‡IW

 

1RWH

:KHQ WLJKWHQLQJ WKH FRPSUHVVRU IL[LQJ EROWV WLJKWHQ


ILUVW WKH  EROWV RQ WKH UHDU VLGH DQG WKHQ WKH
UHPDLQLQJ  RQ WKH IURQW
/9WLI

 ,QVWDOO GULYH EHOW DGMXVW EHOW WHQVLRQ E\ DGMXVWLQJ EROW


DQG WLJKWHQ ORFNLQJ QXW WR WKH VSHFLILHG WRUTXH

 'HSUHVV WKH GULYH EHOW PLGSRUWLRQ ZLWK D 1


NJ,E IRUFH

'ULYH %HOW 'HIOHFWLRQ PP LQ

       1HZ EHOW


       5HXVH EHOW

/RFNLQJ 1XW 7RUTXH 1‡P NJ‡POE‡IW

$WLI
 

‡ &RQQHFW WKH QHJDWLYH EDWWHU\ FDEOH

‡ /RZHU WKH FDE

‡ 6WDUW HQJLQH DQG FKHFN IRU JDV OHDNDJH FDUHIXOO\


(1*,1( $ ¤ 

7,0,1**($55(3/$&(0(17

$WLI
$ ¤  (1*,1(

5(029$/
3UHSDUDWLRQ

‡ 'LVFRQQHFW EDWWHU\ JURXQG FDEOH

‡ 7LOW WKH FDE

‡ 'UDLQ FRRODQW DQG HQJLQH RLO

 (QJLQH $VVHPEO\

$ERYH ZRUNV UHIHU WR ¦(1*,1( $66(0%/<§ VHFWLRQ LQ WKLV


PDQXDO

 1R]]OH &RYHU

 &\OLQGHU +HDG &RYHU

 +HDG &RYHU *DVNHW

 5RFNHU $UP 6KDIW $VVHPEO\

 /RRVHQ WKH URFNHU DUP VKDIW EUDFNHW QXWV DQG EROWV LQ


QXPHULFDO RUGHU D OLWWOH DW D WLPH DQG UHPRYH WKH URFNHU
DUP VKDIW DVVHPEO\ ZLWK WKH FDPVKDIW EUDFNHWV

 /HDYH WKH $ LQGLFDWHG EROW XQUHPRYHG RQ WKLV


RFFDVLRQ VLQFH LW LV WKH URFNHU DUP IL[LQJ EROW

&$87,21

)DLOXUH WR ORRVHQ WKH URFNHU DUP VKDIW EUDFNHW QXWV DQG

EROWV LQ QXPHULFDO RUGHU D OLWWOH DW D WLPH ZLOO DGYHUVHO\

DIIHFW WKH URFNHU DUP VKDIW


$WLI

 9DOYH &DS

&$87,21

7DNH VXIILFLHQW FDUH QRW WR OHW YDOYH FDSV IDOO LQWR WKH

JHDU FDVH RU RLO UHWXUQ KROH

 &DPVKDIW %HDULQJ &DS

 &DPVKDIW %HDULQJ 8SSHU

 &DPVKDIW $VVHPEO\

 &DPVKDIW %HDULQJ /RZHU

,I WKH FDPVKDIW EHDULQJV DUH WR EH UHLQVWDOOHG PDUN WKHLU


ILWWLQJ SRVLWLRQV E\ WDJJLQJ HDFK EHDULQJ ZLWK WKH F\OLQGHU
QXPEHU IURP ZKLFK LW ZDV UHPRYHG

 &\OLQGHU +HDG $VVHPEO\

$ERYH ZRUNV UHIHU WR ¦&</,1'(5 +($'§ VHFWLRQ LQ WKLV


PDQXDO
$WLI
(1*,1( $ ¤ 

 &\OLQGHU +HDG *DVNHW

&$87,21

'R QRW UHXVH WKH F\OLQGHU KHDG JDVNHW

$WLI

 &OXWFK 3UHVVXUH 3ODWH $VVHPEO\

 ,QVHUW WKH FOXWFK SLORW DOLJQHU WR WKH FOXWFK DVVHPEO\

&OXWFK 3LORW $OLJQHU 

 /RRVHQ WKH SUHVVXUH SODWH EROWV LQ QXPHULFDO RUGHU D


OLWWOH DW D WLPH DV VKRZQ LQ WKH LOOXVWUDWLRQ

 5HPRYH WKH SUHVVXUH SODWH DVVHPEO\

$WLI

 'ULYHQ 3ODWH

5HPRYH WKH GULYHQ SODWH ZLWK WKH FOXWFK SLORW DOLJQHU

c &OXWFK SLORW DOLJQHU

d &OXWFK SUHVVXUH SODWH DVVHPEO\

e 'ULYHQ SODWH

$WLI

 (QJLQH &RQWURO :LUH

 (QJLQH &RQWURO /HYHU $VVHPEO\

 2LO 3LSH

$WLI

 ,QMHFWLRQ 3XPS $VVHPEO\

 5HPRYH WKH LQMHFWLRQ SXPS EUDFNHW EROWV DQG WKH


LQMHFWLRQ SXPS UHDU EUDFNHW EROWV

 7KHQ UHPRYH WKH LQMHFWLRQ SXPS DVVHPEO\

$WLI
$ ¤  (1*,1(

 )O\ZKHHO $VVHPEO\

 8VH WKH FUDQNVKDIW VWRSSHU WR SUHYHQW WKH FUDQNVKDIW


IURP WXUQLQJ

&UDQNVKDIW 6WRSSHU 

 /RRVHQ WKH IO\ZKHHO EROWV LQ QXPHULFDO RUGHU D OLWWOH DW D


WLPH DV VKRZQ LQ WKH LOOXVWUDWLRQ

 5HPRYH WKH IO\ZKHHO VWRSSHU DQG WKH IO\ZKHHO


DVVHPEO\

$WLI

)RU WKH $7 YHKLFOH DIWHU ORRVHQLQJ WKH IO\ZKHHO IL[LQJ EROW
UHPRYH WKH ZDVKHU WKH IOH[LEOH SODWH WKH IO\ZKHHO DQG WKH
VOHHYH LQ WKLV RUGHU

$WLI

 &UDQNVKDIW 5HDU 2LO 6HDO

&$87,21

%H FDUHIXO QRW WR GDPDJH WKH FUDQNVKDIW RLO VHDO


FRQWDFW VXUIDFH GXULQJ WKH UHPRYDO SURFHGXUH

$WLI

 &UDQNVKDIW 5HDU 6OLQJHU

8VH WKH VOLQJHU SXOOHU WR SXOO RXW WKH VOLQJHU

6OLQJHU 3XOOHU 

 6SDFHU 5XEEHU 1.5 PRGHO RQO\

)RU WKH :' PRGHO YHKLFOH UHPRYH WKH VWLIIHQHU EHIRUH


UHPRYLQJ WKH VSDFHU UXEEHU

$WLI

 2LO 3DQ


(1*,1( $ ¤ 

 3RZHU 6WHHULQJ 3XPS ,GOH *HDU &RYHU

 3RZHU 6WHHULQJ 3XPS ,GOH *HDU

$WLI

 )O\ZKHHO +RXVLQJ

127(

%H FDUHIXO QRW WR IDLO WR UHPRYH WKH EROWV VKRZQ LQ WKH

LOOXVWUDWLRQ

$WLI

 ,GOH *HDU $

 ,GOH *HDU %

 ,GOH *HDU % VKDIW

$WLI

,163(&7,21
,GOH *HDU %DFNODVK 0HDVXUHPHQW

 6HW D GLDO LQGLFDWRU WR WKH WLPLQJ JHDU WR EH PHDVXUHG

+ROG ERWK WKH JHDU WR EH FKHFNHG DQG WKH DGMRLQLQJ


JHDU VWDWLRQDU\

 0RYH WKH JHDU WR EH FKHFNHG ULJKW DQG OHIW DV IDU DV


SRVVLEOH 7DNH WKH GLDO LQGLFDWRU UHDGLQJ

7LPLQJ *HDU %DFNODVK *HDU WR *HDU PP LQ

$WLI
6WDQGDUG /LPLW

 a 
 
 a 
$ ¤  (1*,1(

,GOHU *HDU (QG 3OD\ 0HDVXUHPHQW

,QVHUW D IHHOHU JDXJH EHWZHHQ WKH LGOHU JHDU DQG WKH WKUXVW
FROODU WR PHDVXUH WKH JDS DQG GHWHUPLQH WKH LGOHU JHDU HQG
SOD\

,I WKH PHDVXUHG YDOXH H[FHHGV WKH VSHFLILHG OLPLW WKH


WKUXVW FROODU PXVW EH UHSODFHG

,GOHU *HDU (QG 3OD\ PP LQ

6WDQGDUG /LPLW

  
 
$WLI
  

,GOHU *HDU 6KDIW 2XWVLGH 'LDPHWHU

8VH D PLFURPHWHU WR PHDVXUH WKH LGOHU JHDU VKDIW RXWVLGH


GLDPHWHU

,I WKH PHDVXUHG YDOXH LV OHVV WKDQ WKH VSHFLILHG OLPLW WKH


LGOHU JHDU PXVW EH UHSODFHG

,GOHU *HDU 6KDIW 2XWVLGH 'LDPHWHU PP LQ

6WDQGDUG /LPLW

  
 
  
$WLI

,GOHU *HDU ,QVLGH 'LDPHWHU

8VH DQ LQVLGH GLDO LQGLFDWRU RU DQ LQVLGH PLFURPHWHU WR


PHDVXUH WKH LGOHU JHDU LQVLGH GLDPHWHU

,GOHU *HDU ,QVLGH GLDPHWHU PP LQ

6WDQGDUG /LPLW

   


   

,I WKH FOHDUDQFH EHWZHHQ WKH LGOHU JHDU VKDIW RXWVLGH

$WLI
GLDPHWHU DQG WKH LGOHU JHDU LQVLGH GLDPHWHU H[FHHGV WKH
OLPLW WKH LGOHU JHDU PXVW EH UHSODFHG

,GOHU *HDU 6KDIW DQG ,GOHU *HDU FOHDUDQFH PP LQ

6WDQGDUG /LPLW

   


   

,167$//$7,21
 ,GOHU *HDU % 6KDIW

,GOH *HDU % 6KDIW %ROW 7RUTXH 1‡P NJ‡POE‡IW

 

$SSO\ WKH HQJLQH RLO WR WKH LGOH JHDU VKDIW DIWHU LQVWDOODWLRQ

$WLI
(1*,1( $ ¤ 

 ,GOH *HDU %

7KH IDFH RI WKH LGOH JHDU % ZLWK ORQJHU ERVV VKRXOG EH


SRVLWLRQHG WRZDUG WKH UHDU VLGH VKRZQ LQ WKH LOOXVWUDWLRQ

,GOH *HDU % %ROW 7RUTXH 1‡P NJ‡POE‡IW

 

$WLI

 ,GOH *HDU $

 7XUQ WKH FUDQNVKDIW FORFNZLVH VR WKDW WKH HQJDJHPHQW


PDUN RI WKH FUDQNVKDIW JHDU IDFHV WR WKH VKDIW FHQWHU RI
WKH LGOH JHDU $ DQG WKH 1R F\OLQGHU SLVWRQ FRPHV WR
WKH WRS GHDG FHQWHU

 $OLJQ WKH FUDQNVKDIW JHDU ZLWK WKH HQJDJHPHQW PDUN RI


WKH LGOH JHDU DQG LQVWDOO WKH LGOH JHDU $

,GOH *HDU $ %ROW 7RUTXH 1‡P NJ‡POE‡IW

 

$WLI

$WLI

 )O\ZKHHO +RXVLQJ

 &DUHIXOO\ ZLSH DQ\ IRUHLJQ PDWHULDO IURP WKH F\OLQGHU


ERG\ UHDU IDFH

 $SSO\ WKH UHFRPPHQGHG OLTXLG JDVNHW 7KUHH %RQG


& RU LWV HTXLYDOHQW WR WKH VKDGHG DUHDV VKRZQ LQ
WKH LOOXVWUDWLRQ

$WLI
$ ¤  (1*,1(

 $OLJQ WKH F\OLQGHU ERG\ NQRFN SLQV ZLWK WKH IO\ZKHHO


KRXVLQJ NQRFN SLQ KROHV

 7LJKWHQ WKH IO\ZKHHO KRXVLQJ EROWV WR WKH VSHFLILHG


WRUTXH VKRZQ LQ WKH LOOXVWUDWLRQ

)O\ZKHHO +RXVLQJ %ROW 7RUTXH 1‡P NJ‡POE‡IW

  

   

†  

$WLI „  

  

  

‡ 7LJKWHQ WKH EROWV PDUNHG ZLWK   IURP WKH


 RU 
LQMHFWLRQ SXPS VLGH DQG WKRVH ZLWK   IURP WKH
F\OLQGHU ERG\ VLGH

)O\ZKHHO +RXVLQJ %ROW 7RUTXH 1‡P NJ‡POE‡IW

$   

$WLI

 3RZHU 6WHHULQJ 3XPS ,GOH *HDU

 $SSO\ WKH HQJLQH RLO WR WKH LGOH JHDU VKDIW


 ,QVWDOO WKH LGOH JHDU VKDIW c ZLWK WKH LGOH JHDU d WR WKH
F\OLQGHU ERG\ $ SRUWLRQ DV VKRZQ LQ WKH LOOXVWUDWLRQ

,GOH *HDU 6KDIW %ROW 7RUTXH 1‡P NJ‡POE‡IW

 

$WLI

$WLI

 3RZHU VWHHULQJ 3XPS ,GOH *HDU &RYHU

,QVWDOO WKH JHDU FRYHU ZLWK WKH 2ULQJ

*HDU &RYHU %ROW 7RUTXH 1‡P NJ‡POE‡IW

 

$WLI
(1*,1( $ ¤ 

 2LO 3DQ

 6SDFHU 5XEEHU 1.5 PRGHO RQO\

$ERYH ZRUNV UHIHU WR ¦2,/ 3$1§ VHFWLRQ LQ WKLV PDQXDO

 &UDQNVKDIW 5HDU 6OLQJHU

 &UDQNVKDIW 5HDU 2LO 6HDO

 )O\ZKHHO $VVHPEO\

$ERYH ZRUNV UHIHU WR ¦&5$1.6+$)7 5($5 2,/ 6($/§


VHFWLRQ LQ WKLV PDQXDO

 ,QMHFWLRQ 3XPS $VVHPEO\

$ERYH ZRUNV UHIHU WR ¦,1-(&7,21 3803 $66(0%/<§


VHFWLRQ LQ WKLV PDQXDO

 2LO 3LSH

2LO 3LSH -RLQW %ROW 7RUTXH 1‡P NJ‡POE‡IW

 

$WLI

 (QJLQH &RQWURO /HYHU $VVHPEO\

(QJLQH &RQWURO /HYHU EROW 7RUTXH 1‡P NJ‡POE‡IW

 

 (QJLQH &RQWURO :LUH

$WLI

 'ULYHQ 3ODWH

8VH WKH FOXWFK SLORW DOLJQHU WR LQVWDOO WKH GULYHQ SODWH

&OXWFK 3LORW $OLJQHU 

? &OXWFK SLORW DOLJQHU

@ &OXWFK SUHVVXUH SODWH DVVHPEO\

A 'ULYHQ SODWH

$WLI
$ ¤  (1*,1(

 &OXWFK 3UHVVXUH 3ODWH $VVHPEO\

 $OLJQ WKH FOXWFK SUHVVXUH SODWH ZLWK WKH IO\ZKHHO NQRFN


SLQ

 7LJKWHQ WKH SUHVVXUH SODWH EROWV WR WKH VSHFLILHG WRUTXH


LQ QXPHULFDO RUGHU

&OXWFK 3UHVVXUH 3ODWH %ROW 7RUTXH 1‡P NJ‡POE‡IW

 

$WLI

 &\OLQGHU +HDG *DVNHW

$ERYH ZRUNV UHIHU WR ¦&</,1'(5 +($' *$6.(7§ VHFWLRQ


LQ WKLV PDQXDO

 &\OLQGHU +HDG $VVHPEO\

$ERYH ZRUNV UHIHU WR ¦&</,1'(5 +($' *$6.(7§ VHFWLRQ


LQ WKLV PDQXDO

 &DPVKDIW %HDULQJ /RZHU

 &DPVKDIW $VVHPEO\

 &DPVKDIW %HDULQJ 8SSHU

 &DPVKDIW %HDULQJ &DS

 9DOYH &DS

 5RFNHU $UP 6KDIW $VVHPEO\

$ERYH ZRUNV UHIHU WR ¦&$06+$)7 $66(0%/<§ VHFWLRQ LQ


WKLV PDQXDO

 +HDG &RYHU *DVNHW

 &\OLQGHU +HDG &RYHU

$ERYH ZRUNV UHIHU WR ¦&</,1'(5 +($' &29(5§ VHFWLRQ


LQ WKLV PDQXDO

 1R]]OH &RYHU

 (QJLQH $VVHPEO\

$ERYH ZRUNV UHIHU WR ¦(1*,1( $66(0%/<§ VHFWLRQ LQ WKLV


PDQXDO
(1*,1( $ ¤ 

9$/9(*8,'(6($/ 9$/9(635,1*

$WLI
$ ¤  (1*,1(

5(029$/
3UHSDUDWLRQ

‡ 'LVFRQQHFW EDWWHU\ JURXQG FDEOH

‡ 7LOW WKH FDE

 1R]]OH &RYHU

 /HDN 2II 3LSH

 ,QMHFWLRQ 3LSH

‡ /RRVHQ WKH LQMHFWLRQ SLSH VOHHYH QXWV ?


'R QRW DSSO\ H[FHVVLYH IRUFH WR WKH LQMHFWLRQ SLSHV C
‡ /RRVHQ WKH LQMHFWLRQ SLSHV FOLSV A
5HPRYH WKH LQMHFWLRQ SLSH DVVHPEO\

3OXJ WKH GHOLYHU\ YDOYH KROGHU @ SRUWV DQG QR]]OH


KROGHU B SRUWV ZLWK FDSV WR SUHYHQW WKH HQWU\ RI IRUHLJQ
PDWHULDO

$WLI

 *ORZ 3OXJ &RQQHFWRU

 *ORZ 3OXJ

 ,QMHFWLRQ 1R]]OH +ROGHU $VVHPEO\

0DUN WKH QR]]OH KROGHU DVVHPEOLHV ILWWLQJ SRVLWLRQV E\

WDJJLQJ HDFK QR]]OH KROGHU DVVHPEO\ ZLWK WKH F\OLQGHU

QXPEHU IURP ZKLFK LW ZDV UHPRYHG

 &\OLQGHU +HDG &RYHU

 &\OLQGHU +HDG &RYHU *DVNHW

$WLI

 5RFNHU $UP 6KDIW $VVHPEO\

$ERYH ZRUNV UHIHU WR ¦52&.(5 $50 6+$)7 $66(0%/<§

VHFWLRQ LQ WKLV PDQXDO

 9DOYH &DS

 &DPVKDIW %HDULQJ &DS

 &DPVKDIW %HDULQJ 8SSHU

 &DPVKDIW $VVHPEO\

 &DPVKDIW %HDULQJ /RZHU

‡ ,I WKH FDPVKDIW EHDULQJV DUH WR EH UHLQVWDOOHG PDUN

WKHLU ILWWLQJ SRVLWLRQV E\ WDJJLQJ HDFK EHDULQJ ZLWK WKH

F\OLQGHU QXPEHU IURP ZKLFK LW ZDV UHPRYHG

$WLI
(1*,1( $ ¤ 

 &RWWHU &ROODU

 6SULQJ 8SSHU 6HDW

 9DOYH 6SULQJ

‡ $SSO\ FRPSUHVVHG DLU WR F\OLQGHU IURP WKH JORZ SOXJ


KROH WR KROG WKH YDOYH LQ SODFH

‡ 8VLQJ VSHFLDO WRRO FRPSUHVV YDOYH VSULQJ DQG UHPRYH


FRWWHU FROODU

9DOYH 6SULQJ &RPSUHVVRU 

$WLI

 9DOYH *XLGH 6HDO

$WLI

,167$//$7,21
 9DOYH *XLGH 6HDO

‡ $SSO\ D FRDW RI HQJLQH RLO WR WKH YDOYH JXLGH VHDO LQQHU


IDFH

‡ 8VH D YDOYH JXLGH VHDO LQVWDOOHU WR LQVWDOO WKH YDOYH


JXLGH VHDO WR WKH YDOYH JXLGH

9DOYH *XLGH 6HDO ,QVWDOOHU 

$WLI

 9DOYH 6SULQJ

,QVWDOO WKH YDOYH VSULQJ ZLWK LWV ILQH SLWFKHG RU SDLQWHG HQG
VLGH GRZQ

 6SULQJ 8SSHU 6HDW

$WLI

 &RWWHU &ROODU

 8VH WKH YDOYH VSULQJ FRPSUHVVRU WR SXVK WKH YDOYH


VSULQJ LQWR SRVLWLRQ

9DOYH 6SULQJ &RPSUHVVRU 

 ,QVWDOO WKH FRWWHU FROODU WR WKH YDOYH VWHP

 6HW WKH FRWWHU FROODU E\ WDSSLQJ DURXQG WKH KHDG RI WKH


FROODU ZLWK D UXEEHU KDPPHU

 &DPVKDIW %HDULQJ /RZHU

$WLI
$ ¤  (1*,1(

 &DPVKDIW $VVHPEO\

 &DPVKDIW %HDULQJ 8SSHU

 &DPVKDIW %HDULQJ &DS

 9DOYH &DS

$ERYH ZRUNV UHIHU WR ¦&$06+$)7 $66(0%/<§ VHFWLRQ LQ


WKLV PDQXDO

 5RFNHU $UP VKDIW $VVHPEO\

$ERYH ZRUNV UHIHU WR ¦52&.(5 $50 6+$)7 $66(0%/<§


VHFWLRQ LQ WKLV PDQXDO

 +HDG &RYHU *DVNHW

 &\OLQGHU +HDG &RYHU

$ERYH ZRUNV UHIHU WR ¦&</,1'(5 +($' &29(5§ VHFWLRQ


LQ WKLV PDQXDO

 ,QMHFWLRQ 1R]]OH +ROGHU $VVHPEO\

7LJKWHQ WKH QR]]OH KROGHU IODQJH QXWV WR WKH VSHFLILHG


WRUTXH LQ WKH QXPHULFDO RUGHU VKRZQ LQ WKH LOOXVWUDWLRQ

1R]]OH +ROGHU )ODQJH 1XW 7RUTXH 1‡P NJ‡POE‡IW

 

$WLI

 *ORZ 3OXJ

*ORZ 3OXJ 7RUTXH 1‡P NJ‡POE‡IW

 

 *ORZ 3OXJ &RQQHFWRU

$WLI

 ,QMHFWLRQ 3LSH

 /HDN 2II 3LSH

$ERYH ZRUNV UHIHU WR ¦,1-(&7,21 3803 $66(0%/<§


VHFWLRQ LQ WKLV PDQXDO

 1R]]OH &RYHU

‡ &RQQHFW WKH QHJDWLYH EDWWHU\ FDEOH

‡ /RZHU WKH FDE

‡ 6WDUW HQJLQH DQG FKHFN IRU IXHO OHDNDJH FDUHIXOO\

$WLI
(1*,1( $ ¤ 

52&.(5$506+$)7$66(0%/<

$WLI

5(029$/
3UHSDUDWLRQ

‡ 'LVFRQQHFW EDWWHU\ JURXQG FDEOH

‡ 7LOW WKH FDE

 1R]]OH &RYHU

 &\OLQGHU +HDG &RYHU

 &\OLQGHU +HDG &RYHU *DVNHW

 5RFNHU $UP 6KDIW $VVHPEO\

 /RRVHQ WKH URFNHU DUP VKDIW EUDFNHW QXWV DQG EROWV LQ


QXPHULFDO RUGHU D OLWWOH DW D WLPH DQG UHPRYH WKH URFNHU
DUP VKDIW DVVHPEO\ ZLWK WKH FDPVKDIW EUDFNHWV

 /HDYH WKH $ LQGLFDWHG EROW XQUHPRYHG RQ WKLV


RFFDVLRQ VLQFH LW LV WKH URFNHU DUP IL[LQJ EROW

&$87,21

)DLOXUH WR ORRVHQ WKH URFNHU DUP VKDIW EUDFNHW QXWV DQG

EROWV LQ QXPHULFDO RUGHU D OLWWOH DW D WLPH ZLOO DGYHUVHO\

DIIHFW WKH URFNHU DUP VKDIW


$WLI
$ ¤  (1*,1(

,167$//$7,21
 5RFNHU $UP 6KDIW $VVHPEO\

 6OLJKWO\ ORRVHQ WKH EROWV PDUNHG ZLWK WKH DUURZ LQ WKH


LOOXVWUDWLRQ

 /RRVHQ WKH URFNHU DUP DGMXVW VFUHZV DQG DSSO\ HQJLQH


RLO WR WKH URFNHU DUP UROOHU SRUWLRQV

 ,QVWDOO WKH URFNHU DUP DVVHPEO\ RQ WKH F\OLQGHU KHDG

 7LJKWHQ WKH URFNHU DUP VKDIW EUHDNHU QXWV DQG EROWV WR


WKH VSHFLILHG WRUTXH LQ QXPHULFDO RUGHU D OLWWOH DW D WLPH
$WLI
DV VKRZQ LQ WKH LOOXVWUDWLRQ

5RFNHU $UP 6KDIW %UDFNHW 1XW DQG


%ROW 7RUTXH 1‡P NJ‡POE‡IW

 1XW  

„ %ROW  

† %ROW  

 $SSO\ HQJLQH RLO WR WKH WKUHDGHG SRUWLRQ RI WKH QXWV


PDUNHG ZLWK ¦ § DQG WKH EROWV ZLWK ¦„§ VKRZQ LQ WKH
LOOXVWUDWLRQ OHIW DQG WKHQ WLJKWHQ WKHP WR WKH VSHFLILHG
$WLI
WRUTXH

$GMXVW WKH YDOYH FOHDUDQFH

9DOYH &OHDUDQFH PP LQ

$W FROG  

$ERYH ZRUNV UHIHU WR ¦6(59,&,1*§ 9$/9( &/($5$1&(


$'-8670(17 SUHYLRXVO\ VHFWLRQ LQ WKLV PDQXDO
 +HDG &RYHU *DVNHW

,QVWDOO WKH JDVNHW WR WKH F\OLQGHU KHDG FRYHU

$WLI

 &\OLQGHU +HDG &RYHU

 ,QVWDOO WKH F\OLQGHU KHDG FRYHU

 7LJKWHQ WKH F\OLQGHU KHDG FRYHU QXWV DQG EROWV WR WKH


VSHFLILHG WRUTXH LQ WKH QXPHULFDO RUGHU VKRZQ LQ WKH
LOOXVWUDWLRQ

&\OLQGHU +HDG &RYHU 1XW DQG

%ROW 7RUTXH 1‡P NJ‡POE‡IW

 

 1R]]OH &RYHU

‡ &RQQHFW WKH EDWWHU\ JURXQG FDEOH

‡ /RZHU WKH FDE

‡ 6WDUW WKH HQJLQH DQG FKHFN IRU WKH RLO OHDNDJH FDUHIXOO\

$WLI
(1*,1( $ ¤ 

&$06+$)7$66(0%/<

$WLI

5(029$/
3UHSDUDWLRQ

‡ 'LVFRQQHFW EDWWHU\ JURXQG FDEOH

‡ 7LOW WKH FDE

 1R]]OH &RYHU

 &\OLQGHU +HDG &RYHU

 &\OLQGHU +HDG &RYHU *DVNHW


$ ¤  (1*,1(

 5RFNHU $UP 6KDIW $VVHPEO\

$ERYH ZRUNV UHIHU WR ¦52&.(5 $50 6+$)7 $66(0%/<§


VHFWLRQ LQ WKLV PDQXDO

 9DOYH &DS

 &DPVKDIW %HDULQJ &DS

 &DPVKDIW %HDULQJ 8SSHU

 &DPVKDIW $VVHPEO\

 &DPVKDIW %HDULQJ /RZHU

‡ ,I WKH FDPVKDIW EHDULQJV DUH WR EH UHLQVWDOOHG PDUN


WKHLU ILWWLQJ SRVLWLRQV E\ WDJJLQJ HDFK EHDULQJ ZLWK WKH
F\OLQGHU QXPEHU IURP ZKLFK LW ZDV UHPRYHG

$WLI

,167$//$7,21
 &DPVKDIW %HDULQJ /RZHU

 &DPVKDIW $VVHPEO\

 7XUQ WKH FUDQNVKDIW LQ WKH GLUHFWLRQ RI QRUPDO URWDWLRQ


XQWLO WKH WLPLQJ PDUN RQ WKH FUDQNVKDIW GDPSHU SXOOH\ LV
DOLJQHG ZLWK WKH 7'& QRWFKHG OLQH

 $SSO\ HQJLQH RLO WR WKH FDPVKDIW MRXUQDO DQG WKH


FDPVKDIW EHDULQJ VXUIDFHV EHIRUH LQVWDOODWLRQ

 &DUHIXOO\ DOLJQ WKH FDPVKDIW JHDU ¦,§ PDUN DQG WKH


F\OLQGHU KHDG XSSHU IDFH VKRZQ LQ WKH LOOXVWUDWLRQ
$WLI

 &DPVKDIW %HDULQJ 8SSHU

 &DPVKDIW %HDULQJ &DS

‡ ,QVWDOO WKH EHDULQJ FDSV ZLWK WKH EHDULQJ FDS KHDG PDUN
DUURZ IDFLQJ IRUZDUG

‡ $SSO\ D FRDW RI HQJLQH RLO WR WKH EHDULQJ FDS EROW DQG


VWXG WKUHDGV

$WLI

‡ 7LJKWHQ WKH EHDULQJ FDS EROWV DQG VWXGV WR WKH VSHFLILHG


WRUTXH

&DPVKDIW %HDULQJ &DS 1XW DQG


%ROW 7RUTXH 1‡P NJ‡POE‡IW

 

$WLI
(1*,1( $ ¤ 

 9DOYH &DS

 $SSO\ HQJLQH RLO WR WKH LQVLGH RI WKH YDOYH FDSV DQG

LQVWDOO WKHP WR WKH YDOYH VWHP HQG

&$87,21

7DNH VXIILFLHQW FDUH QRW WR OHW YDOYH FDSV IDOO LQWR WKH

JHDU

$WLI

 5RFNHU $UP 6KDIW $VVHPEO\

$ERYH ZRUNV UHIHU WR ¦52&.(5 $50 6+$)7 $66(0%/<§

VHFWLRQ LQ WKLV PDQXDO

 &\OLQGHU +HDG &RYHU *DVNHW

 &\OLQGHU +HDG &RYHU

$ERYH ZRUNV UHIHU WR ¦&</,1'(5 +($' &29(5§ VHFWLRQ

LQ WKLV PDQXDO

 1R]]OH &RYHU

‡ &RQQHFW WKH EDWWHU\ JURXQG FDEOH

‡ /RZHU WKH FDE

‡ 6WDUW HQJLQH DQG FKHFN IRU RLO OHDNDJH FDUHIXOO\


$ ¤  (1*,1(

&</,1'(5+($'
(QJLQHULJKWVLGH

$WLI

5(029$/
3UHSDUDWLRQ

‡ 'LVFRQQHFW EDWWHU\ JURXQG FDEOH

‡ 7LOW WKH FDE

‡ 'UDLQ FRRODQW

 )URQW ([KDXVW 3LSH

 $LU &RQGLWLRQLQJ $& &RPSUHVVRU 'ULYH %HOW ,I


HTXLSSHG ZLWK $&

 $& &RPSUHVVRU ,I HTXLSSHG ZLWK $&

 'LVFRQQHFW PDJQHWLF FOXWFK KDUQHVV FRQQHFWRU

 'LVPRXQW WKH FRPSUHVVRU WRJHWKHU ZLWK WKH KRVHV IURP


WKH $& FRPSUHVVRU EUDFNHW DQG IDVWHQ LW ZLWK D ZLUH WR
WKH DSSURSULDWH ORFDWLRQ
(1*,1( $ ¤ 

(QJLQHOHIWVLGH

$WLI
$ ¤  (1*,1(

5(029$/
 ,QWDNH $LU 'XFW
 5HPRYH WKH FOLSV DW WKH FRQQHFWLRQV ZLWK WKH LQOHW
FRYHU DQG ZLWK WKH DLU FOHDQHU

 5HPRYH WKH LQWDNH DLU GXFW ZLWK WKH FRQQHFWLQJ KRVHV


DWWDFKHG

 9DFXXP +RVH
 1R]]OH &RYHU
 /HDN 2II 3LSH
 )XHO 3LSH
 )XHO ILOWHU %UDFNHW
 :DWHU %\SDVV +RVH
 3RVLWLYH &UDQNFDVH 9HQWLODWLRQ 3&9 +RVH

$WLI

 ,QMHFWLRQ 3LSH
 /RRVHQ WKH LQMHFWLRQ SLSH VOHHYH QXWV ?
'R QRW DSSO\ H[FHVVLYH IRUFH WR WKH LQMHFWLRQ SLSHV C
 /RRVHQ WKH LQMHFWLRQ SLSHV FOLSV A
 5HPRYH WKH LQMHFWLRQ SLSH DVVHPEO\

3OXJ WKH GHOLYHU\ YDOYH KROGHU @ SRUWV DQG QR]]OH


KROGHU B SRUWV ZLWK FDSV WR SUHYHQW WKH HQWU\ RI IRUHLJQ
PDWHULDO

$WLI

 (QJLQH +DUQHVV


'LVFRQQHFW WKHUPRPHWHU XQLW WKHUPR VZLWFK WDFKRPHWHU
VHQVRU DQG JORZ SOXJ KDUQHVV FRQQHFWRUV DQ VHSDUDWH
KDUQHVV IURP FOLSV

$WLI
(1*,1( $ ¤ 

 2LO /HYHO *DXJH *XLGH 7XEH

5HPRYH WKH JXLGH WXEH IL[LQJ EROW DQG SXOO RXW WKH JXLGH

WXEH

$WLI

&\OLQGHUKHDGVLGH

$WLI

5(029$/
 5DGLDWRU 8SSHU +RVH

 &RRODQW 5HVHUYH 7DQN +RVH%\SDVV +RVH

 &\OLQGHU +HDG &RYHU

 &\OLQGHU +HDG &RYHU *DVNHW


$ ¤  (1*,1(

 *ORZ 3OXJ &RQQHFWRU

 ,QMHFWLRQ 1R]]OH +ROGHU $VVHPEO\

0DUN WKH QR]]OH KROGHU DVVHPEOLHV ILWWLQJ SRVLWLRQV E\


WDJJLQJ HDFK QR]]OH KROGHU DVVHPEO\ ZLWK WKH F\OLQGHU
QXPEHU IURP ZKLFK LW ZDV UHPRYHG

$WLI

 5RFNHU $UP 6KDIW $VVHPEO\

 9DOYH &DS

 &DPVKDIW %HDULQJ &DS

 &DPVKDIW %HDULQJ 8SSHU

 &DPVKDIW $VVHPEO\

 &DPVKDIW %HDULQJ /RZHU

$ERYH ZRUNV UHIHU WR ¦52&.(5 $50 6+$)7 $66(0%/<


$1' &$06+$)7 $66(0%/<§ VHFWLRQ LQ WKLV PDQXDO

 &\OLQGHU +HDG $VVHPEO\

/RRVHQ WKH F\OLQGHU KHDG EROWV LQ QXPHULFDO RUGHU D OLWWOH DW


D WLPH

&$87,21

)DLOXUH WR ORRVHQ WKH F\OLQGHU KHDG EROWV LQ QXPHULFDO

RUGHU D OLWWOH DW D WLPH ZLOO DGYHUVHO\ DIIHFW WKH F\OLQGHU

KHDG ORZHU VXUIDFH

 &\OLQGHU +HDG *DVNHW

&$87,21

$WLI
'R QRW UHXVH WKH F\OLQGHU KHDG JDVNHW

,167$//$7,21
 &\OLQGHU +HDG *DVNHW

 :KHQ DQ\ RI WKH F\OLQGHU EORFN FUDQNVKDIW FUDQNVKDIW


EHDULQJ FRQQHFWLQJ URG FRQQHFWLQJ URG EHDULQJ DQG
SLVWRQ LV UHSODFHG ZLWK D QHZ RQH F\OLQGHU KHDG JDVNHW
WKLFNQHVV DKROG EH GHWHUPLQHG QHZO\

 :KHQ UHSODFLQJ WKH F\OLQGHU KHDG JDVNHW DORQH ZLWKRXW


UHSODFLQJ DQ\ RI WKH SDUWV PHQWLRQHG LQ  DERYH WKH
JDVNHW WR EH XVHG VKRXOG EH WKH VDPH JUDGH DV WKH
RQH XVHG EHIRUH

 &RUUHFW F\OLQGHU KHDG JDVNHW WKLFNQHVV LV LPSRUWDQW


,QVWDOOLQJ WKH ZURQJ WKLFNQHVV JDVNHW FDQ UHVXOW LQ
JUHDWO\ UHGXFHG HQJLQH SHUIRUPDQFH

 7KHUH DUH WKUHH F\OLQGHU KHDG JDVNHWV DYDLODEOH


(1*,1( $ ¤ 

3LVWRQ +HDG 3URMHFWLRQ 0HDVXUHPHQW

‡ 6HOHFW D F\OLQGHU KHDG JDVNHW

‡ &OHDQ WKRURXJKO\ WKH WRS IDFHV RI WKH SLVWRQ KHDG DQG


WKH F\OLQGHU ERG\

‡ 8VH WKH GLDO JDXJH WR PHDVXUH WKH SLVWRQ KHDG


SURMHFWLRQ 7DNH PHDVXUHPHQWV DW WZR ORFDWLRQ IRU
HDFK F\OLQGHU

‡ 7KH PHDVXUHPHQW SRLQWV RI WKH SLVWRQ KHDG DQG WKH


UHIHUHQFH SRLQW RI WKH F\OLQGHU ERG\ DUH VKRZQ LQ WKH
LOOXVWUDWLRQ OHIW
$WLI
0HDVXUHPHQW SRLQWV  3RLQWV * DQG * RI WKH SLVWRQ KHDG

5HIHUHQFH SRLQW  3RLQW 5 RQ WKH WRS IDFH RI WKH


F\OLQGHU ERG\

127(

1RWH WKDW WKHUH DUH WKUHH W\SHV RI D F\OLQGHU KHDG

JDVNHW DYDLODEOH DV EHORZ DFFRUGLQJ WR WKH SLVWRQ

SURMHFWLRQ

‡ )RU HDFK F\OLQGHU FDOFXODWH WKH DYHUDJH YDOXH 7L RI


WKH SLVWRQ SURMHFWLRQ

‡ )LQG WKH PD[LPXP YDOXH 7LPD[ RI WKH DYHUDJH RI


HDFK F\OLQGHU
$WLI

‡ %DVHG RQ WKH 7LPD[ REWDLQHG VHOHFW D JDVNHW RI WKH


DSSURSULDWH JUDGH

+)+)+*7

&\OLQGHU +HDG *DVNHW 6HOHFWLRQ PP LQ

*DVNHW 7KLFNQHVV
*DVNHW *UDGH 7L PD[
5HIHUHQFH

  
$  
  

  
%  
$WLI
  

  
&  
  

+(7+(7&

&\OLQGHU +HDG *DVNHW 6HOHFWLRQ PP LQ

*DVNHW 7KLFNQHVV
*DVNHW *UDGH 7L PD[
5HIHUHQFH

  
$  
  

  
%  
  

  
&  
  
$ ¤  (1*,1(

 $SSO\ D PP  LQFK EHDG RU UHFRPPHQGHG OLTXLG


JDVNHW 7KUHH %RQG & RU LWV HTXLYDOHQW WR WKH
VKDGHG DUHDV VKRZQ LQ WKH LOOXVWUDWLRQ

$WLI

 ,QVWDOO WKH F\OLQGHU KHDG JDVNHW ZLWK LWV ¦3$57


180%(5§ PDUN IDFLQJ XS DQG WRZDUG WKH OHIW RI WKH
HQJLQH

&$87,21

'R QRW UHXVH WKH F\OLQGHU KHDG JDVNHW

$WLI

 &\OLQGHU +HDG $VVHPEO\

 $OLJQ WKH F\OLQGHU ERG\ GRZHOV DQG WKH F\OLQGHU KHDG


GRZHO KROHV

 &DUHIXOO\ SODFH WKH F\OLQGHU KHDG RQ WKH F\OLQGHU KHDG


JDVNHW

 $SSO\ D FRDW RI PRO\EGHQXP GLVXOILGH JUHDVH WR WKH


0 F\OLQGHU KHDG EROW WKUHDGV DQG VHWWLQJ IDFHV DQG
DSSO\ D FRDW RI HQJLQH RLO WR WKH 0 F\OLQGHU KHDG EROW
WKUHDGV DQG VHWWLQJ IDFHV

 8VH WKH DQJXODU WLJKWHQLQJ PHWKRG WR WLJKWHQ WKH EROWV


$WLI
0 WR WKH VSHFLILHG WRUTXH LQ WKUHH VWHSV IROORZLQJ
WKH QXPHULFDO RUGHU VKRZQ LQ WKH LOOXVWUDWLRQ

&\OLQGHU +HDG %ROW 7RUTXH

0  a  1‡P NJ‡POE‡IW

VW 6WHS QG 6WHS UG 6WHS

    ƒ  ƒ

 7LJKWHQ WKH F\OLQGHU KHDG WR WKH IO\ZKHHO KRXVLQJ EROWV


0 WR WKH VSHFLILHG WRUTXH

&\OLQGHU +HDG %ROW 7RUTXH


$WLI 0  a  1‡P NJ‡POE‡IW

 
(1*,1( $ ¤ 

 &DPVKDIW %HDULQJ /RZHU

 &DPVKDIW $VVHPEO\

 &DPVKDIW %HDULQJ 8SSHU

 &DPVKDIW %HDULQJ &DS

 9DOYH &DS

$ERYH ZRUNV UHIHU WR ¦&$06+$)7 $66(0%/<§ VHFWLRQ LQ


WKLV PDQXDO

 5RFNHU $UP 6KDIW $VVHPEO\

$ERYH ZRUNV UHIHU WR ¦52&.(5 $50 6+$)7 $66(0%/<§


VHFWLRQ LQ WKLV PDQXDO

 ,QMHFWLRQ 1R]]OH +ROGHU $VVHPEO\

7LJKWHQ WKH QR]]OH KROGHU IODQJH QXWV WR WKH VSHFLILHG


WRUTXH LQ WKH QXPHULFDO RUGHU VKRZQ LQ WKH LOOXVWUDWLRQ

1R]]OH +ROGHU )ODQJH 1XW 7RUTXH 1‡P NJ‡POE‡IW

 

 *ORZ 3OXJ &RQQHFWRU

 +HDG &RYHU *DVNHW

,QVWDOO WKH JDVNHW WR WKH F\OLQGHU KHDG FRYHU


$WLI
 &\OLQGHU +HDG &RYHU

$ERYH ZRUNV UHIHU WR ¦&</,1'(5 +($' &29(5§ VHFWLRQ


LQ WKLV PDQXDO

 &RRODQW 5HVHUYH 7DQN +RVH%\SDVV +RVH

 5DGLDWRU 8SSHU +RVH

,167$//$7,21
(QJLQHOHIWVLGH
 2LO /HYHO *DXJH *XLGH 7XEH

 ,QVWDOO WKH 2ULQJV WR WKH JXLGH WXEH ORZHU SRUWLRQ DQG


LQVHUW WKH JXLGH WXEH FRPSOHWHO\ WR WKH F\OLQGHU ERG\

 7LJKWHQ WKH JXLGH WXEH EROW WR WKH VSHFLILHG WRUTXH

*XLGH 7XEH %ROW 7RUTXH 1‡P NJ‡POE‡LQ

 

$WLI

 (QJLQH +DUQHVV

&RQQHFW WKHUPRPHWHU XQLW WKHUPR VZLWFK WDFKRPHWHU


VHQVRU DQG JORZ SOXJ KDUQHVV FRQQHFWRU DQG IDVWHQ WKH
HQJLQH KDUQHVV ZLWK FOLSV

$WLI
$ ¤  (1*,1(
 )XHO ,QMHFWLRQ 3LSH $VVHPEO\
$ERYH ZRUNV UHIHU WR ¦,1-(&7,21 3803 $66(0%/<§
VHFWLRQ LQ WKLV PDQXDO

 3RVLWLYH &UDQNFDVH 9HQWLODWLRQ 3&9 +RVH


 :DWHU %\SDVV +RVH
 )XHO )LOWHU %UDFNHW
)XHO )LOWHU %UDFNHW 7RUTXH 1‡P NJ‡POE‡IW

 

 )XHO 3LSH
'R QRW DSSO\ H[FHVVLYH IRUFH WR WKH IXHO SLSH

)XHO 3LSH -RLQW %ROW ? 7RUTXH 1‡P NJ‡POE‡IW

 

)XHO 3LSH -RLQW %ROW @ 7RUTXH 1‡P NJ‡POE‡IW

 

&OLS 6FUHZ 7RUTXH 1‡P NJ‡POE‡LQ

 

$WLI

 /HDN 2II 3LSH


/HDNRII 3LSH -RLQW %ROW 7RUTXH 1‡P .J‡POE‡LQ

 

 1R]]OH &RYHU
 9DFXXP +RVH
 ,QWDNH $LU 'XFW

$WLI
(1*,1( $ ¤ 

,167$//$7,21
(QJLQHULJKWVLGH
 $LU &RQGLWLRQLQJ $& &RPSUHVVRU ,I HTXLSSHG ZLWK
$&

7LJKWHQ IL[LQJ EROWV WR WKH VSHFLILHG WRUTXH


$& &RPSUHVVRU %ROW 7RUTXH 1‡P NJ‡POE‡IW

 

1RWH

:KHQ WLJKWHQLQJ WKH FRPSUHVVRU IL[LQJ EROWV WLJKWHQ


ILUVW WKH  EROWV RQ WKH UHDU VLGH DQG WKHQ WKH

/9WLI
UHPDLQLQJ  RQ WKH IURQW VLGH

 $& &RPSUHVVRU 'ULYH %HOW ,I HTXLSSHG ZLWK $&

 ,QVWDOO GULYH EHOW DGMXVW EHOW WHQVLRQ E\ DGMXVWLQJ EROW


DQG WLJKWHQ ORFNLQJ QXW WR WKH VSHFLILHG WRUTXH

 'HSUHVV WKH GULYH EHOW PLGSRUWLRQ ZLWK D NJ


OE1 IRUFH

'ULYH %HOW 'HIOHFWLRQ PP LQ

      1HZ EHOW


      5HXVH EHOW

$WLI /RFNLQJ 1XW 7RUTXH 1‡P NJ‡POE‡IW

 

 )URQW ([KDXVW 3LSH

([KDXVW 0DQLIROG 6LGH 7RUTXH 1‡P NJ‡POE‡IW

 

([KDXVW %UDNH 6LGH 1‡P NJ‡POE‡IW

 

‡ &RQQHFW WKH QHJDWLYH EDWWHU\ FDEOH

‡ /RZHU WKH FDE

‡ 6WDUW HQJLQH DQG FKHFN IRU RLO IXHO DQG ZDWHU OHDNDJH
FDUH IXOO\
$ ¤  (1*,1(

&,5&80)(5(1&(3$5762)&</,1'(5+($'

$WLI

5(029$/
3UHSDUDWLRQ
‡ 'LVFRQQHFW EDWWHU\ JURXQG FDEOH

‡ 7LOW WKH FDE

‡ 'UDLQ FRRODQW

‡ 5HPRYH HDFK SDUW IURP WKH F\OLQGHU KHDG DVVHPEO\

)RU GHWDLOV UHIHU WR WKH ¦&</,1'(5 +($'§ LQ WKLV

VHFWLRQ
(1*,1( $ ¤ 

 ,QOHW &RYHU,QOHW &DVH

 $LU &RQGLWLRQLQJ $& &RPSUHVVRU %UDFNHW ,I


HTXLSSHG ZLWK $&

 +HDW 3URWHFWRU

 ([KDXVW 0DQLIROG

 ([KDXVW *DVNHW

 :DWHU 2XWOHW 3LSH

 7KHUPRVWDW

/9WLI

 ,GOH *HDU & &RYHU

7DS WKH RXWVLGH RI WKH VHDOLQJ FXS ZLWK D VFUHZGULYHU


WR GHIRUP RQH HQG RI LW DQG GUDZ LW RXW ZLWK SOLHUV

 ,GOH *HDU &

 *ORZ 3OXJ

$WLI

 )XHO )LOWHU %UDFNHW

 (QJLQH +DQJHU

$WLI

,167$//$7,21
 (QJLQH +DQJHU

 )XHO )LOWHU %UDFNHW

)XHO )LOWHU %UDFNHW %ROW 7RUTXH 1‡P NJ‡POE‡IW

 

 *ORZ 3OXJ

*ORZ 3OXJ 7RUTXH 1‡P NJ‡POE‡IW

 
$ ¤  (1*,1(

 ,GOH *HDU &

 $SSO\ HQJLQH RLO WR WKH LGOH JHDU VKDIW EXVKLQJ DQG LGOH
JHDU EHIRUH LQVWDOODWLRQ

 ,QVWDOO WKH LGOH JHDU ZLWK WKH ERVV VLGH IDFLQJ WR WKH
FDPVKDIW DV VKRZQ LQ WKH LOOXVWUDWLRQ

,GOH *HDU & %ROW 7RUTXH 1‡P NJ‡POE‡IW

 

$WLI

 ,GOH *HDU & &RYHU

 $SSO\ WKH UHFRPPHQGHG OLTXLG JDVNHW /2&7,7( 


RU LWV HTXLYDOHQW WR WKH RXWVLGH RI WKH VHDOLQJ FXS DQG
LQVWDOO LW WR WKH F\OLQGHU KHDG

 8VH WKH VHDOLQJ FXS LQVWDOOHU DQG D KDPPHU WR GULYH WKH


VHDOLQJ FXS LQWR SRVLWLRQ IURP WKH F\OLQGHU KHDG VLGH DV
VKRZQ LQ WKH LOOXVWUDWLRQ

6HDOLQJ &XS ,QVWDOOHU 

$WLI

 7KHUPRVWDW

,QVWDOO WKH JDVNHWV WR WKH WKHUPRVWDW DQG LQVWDOO WKHP WR WKH


F\OLQGHU KHDG DV VKRZQ LQ WKH LOOXVWUDWLRQ

$WLI

 :DWHU 2XWOHW 3LSH

:DWHU 2XWOHW 3LSH %ROW 7RUTXH 1‡P NJ‡POE‡IW

 

$WLI

 ([KDXVW *DVNHW

,QVHUW WKH JDVNHW LQWR WKH VWXG SURYLGHG WR WKH F\OLQGHU KHDG
ZLWK WKH SURMHFWLRQ RI WKH JDVNHW RQ WKLV VLGH 

$WLI
(1*,1( $ ¤ 

 ([KDXVW 0DQLIROG

 ,QVWDOO H[KDXVW PDQLIROG JDVNHWV A H[KDXVW PDQLIROG

@ GLVWDQFH SLHFHV E GLVK ZDVKHUV C DQG QXWV B WR


WKH VWXG EROWV VKRZQ LQ WKH LOOXVWUDWLRQ

$WLI

 7LJKWHQ WKH QXWV WR WKH VSHFLILHG WRUTXH LQ WKH


QXPHULFDO RUGHU VKRZQ LQ WKH LOOXVWUDWLRQ

([KDXVW 0DQLIROG 1XW 7RUTXH 1‡P NJ‡POE‡IW

 

$WLI

/;WLI

 +HDW 3URWHFWRU

+HDW 3URWHFWRU %ROW 7RUTXH 1‡P NJ‡POE‡LQ

 

$WLI

 $LU &RQGLWLRQLQJ $& &RPSUHVVRU %UDFNHW


,I HTXLSSHG ZLWK $&

7LJKWHQ IL[LQJ EROWV WR WKH VSHFLILHG WRUTXH

$& &RPSUHVVRU %UDFNHW

%ROW 7RUTXH 1‡P NJ‡POE‡IW

 

/9WLI
$ ¤  (1*,1(

 ,QOHW &RYHU,QOHW &DVH

 $SSO\ PPPP  LQ EHDG RI WKH


UHFRPPHQGHG OLTXLG JDVNHW 7KUHH %RQG & RU LWV
HTXLYDOHQW RQ WKH JURRYH RI WKH LQOHW FDVH ILWWLQJ
VXUIDFHV VKRZQ LQ WKH LOOXVWUDWLRQ

‡ &OHDQ WKH LQOHW FDVH ILWWLQJ VXUIDFH RI WKH F\OLQGHU KHDG

 ,QVWDOO WKH LQOHW FDVH WR WKH F\OLQGHU KHDG

‡ ,QVWDOO WKH LQOHW FDVH ZLWKLQ  PLQXWHV DIWHU DSSOLFDWLRQ


RI OLTXLG JDVNHW

$WLI

‡ $WWDFK KDUQHVV FOLSV ? D DQG E DQG WLJKWHQ WKH


LQOHW FRYHU EROWV DQG QXWV WR WKH VSHFLILHG WRUTXH LQ WKH
QXPHULFDO RUGHU VKRZQ LQ WKH LOOXVWUDWLRQ

‡  PDUNV DUH ORFDWHG RQ QXW SRVLWLRQV

,QOHW &RYHU %ROW DQG 1XW 7RUTXH 1‡P NJ‡POE‡IW

 

5HIHUULQJ WR ¦&</,1'(5 +($'§ LQ WKLV VHFWLRQ LQVWDOO WKH


UHPDLQLQJ SDUWV

$WLI
(1*,1( $ ¤ 

2,/),/7(5$66(0%/<

$WLI

5(029$/
3UHSDUDWLRQ

‡ 'LVFRQQHFW EDWWHU\ JURXQG FDEOH

‡ 3ODFH D UHFHSWDFOH EHQHDWK WKH RLO ILOWHU WR FRQWDLQ WKH

GUDLQHG RLO

 2LO 3LSH

 2LO 3UHVVXUH 6ZLWFK

 2LO )LOWHU %RG\

 2ULQJ

,163(&7,21
2LO )LOWHU &RYHU

 &KHFN WKH SDUWLDO ILOWHU RULILFH IRU DQ\ FORJJLQJ

 6HQG DLU LQWR WKH DUURZPDUNHG KROH LQ WKH LOOXVWUDWLRQ

DQG FKHFN WR VHH LI WKH DLU EORZV RXW IURP WKH VPDOO

KROHV LQ WKH FHQWHU VOHHYH

$WLI

,167$//$7,21
 25LQJ

$SSO\ D FRDW RI HQJLQH RLO WR WKH 2ULQJV DQG LQVWDOO WKHP WR

WKH F\OLQGHU ERG\

$WLI
$ ¤  (1*,1(

 2LO )LOWHU %RG\

2LO )LOWHU &RYHU %ROW 7RUTXH 1‡P NJ‡POE‡IW

 

$WLI

 2LO 3UHVVXUH 6ZLWFK

 $SSO\ WKH UHFRPPHQGHG OLTXLG JDVNHW /2&7,7( 


RU LWV HTXLYDOHQW WR DW OHDVW  RI WKH RLO SUHVVXUH
VZLWFK WKUHDGHG DUHDV

 ,QVWDOO WKH RLO SUHVVXUH VZLWFK WR WKH RLO ILOWHU FRYHU

2LO 3UHVVXUH 6ZLWFK 7RUTXH 1‡P NJ‡POE‡LQ

 

 2LO 3LSH

$WLI 2LO 3LSH -RLQW %ROW 7RUTXH 1‡P NJ‡POE‡IW

 

‡ &RQQHFW EDWWHU\ JURXQG FDEOH

‡ 6WDUW HQJLQH DQG FKHFN IRU RLO OHDNDJH FDUHIXOO\


(1*,1( $ ¤ 

2,/),/7(5&$575,'*(

$WLI

5(029$/
3UHSDUDWLRQ

‡ 'LVFRQQHFW EDWWHU\ JURXQG FDEOH

‡ 3ODFH D UHFHSWDFOH EHQHDWK WKH RLO ILOWHU WR FRQWDLQ WKH


GUDLQHG RLO

 2LO )LOWHU &DUWULGJH

8VH DQ RLO ILOWHU ZUHQFK WR UHPRYH WKH RLO ILOWHU FDUWULGJH

2LO )LOWHU :UHQFK 

 :' PRGHO

$WLI

,167$//$7,21
 2LO )LOWHU &DUWULGJH

 &OHDQ WKH RLO ILOWHU ILWWLQJ IDFH

 $SSO\ D OLJKW FRDW RI HQJLQH RLO WR WKH 2ULQJ

 7XUQ LQ WKH QHZ RLO ILOWHU XQWLO WKH ILOWHU 2ULQJ LV ILWWHG
DJDLQVW WKH VHDOLQJ IDFH

 8VH DQ RLO ILOWHU ZUHQFK WR LQVWDOO WKH QHZ RLO ILOWHU


FDUWULGJH

2LO )LOWHU :UHQFK 


$WLI

 :' PRGHO

1‡P NJ‡POE‡IW

 
$ ¤  (1*,1(

2,/&22/(5

$WLI
(1*,1( $ ¤ 

$WLI
$ ¤  (1*,1(

5(029$/
3UHSDUDWLRQ

‡ 'LVFRQQHFW WKH EDWWHU\ JURXQG FDEOH

‡ 'UDLQ FRRODQW

 9DFXXP +RVH

 2LO /HYHO *XLGH 7XEH

5HPRYH WKH JXLGH WXEH IL[LQJ EROW DQG SXOO RXW WKH JXLGH

WXEH

 ,QWDNH $LU 'XFW

 (QJLQH 6WRS &DEOH

/RRVHQ WKH ORFNLQJ QXW DW WKH EUDFNHW DQG GLVFRQQHFW

HQJLQH VWRS FDEOH IURP LQMHFWLRQ SXPS VWRS OHYHU

$WLI

 $FFHOHUDWRU &RQWURO &DEOH

/RRVHQ WKH ORFNLQJ QXW DW WKH EUDFNHW DQG GLVFRQQHFW

DFFHOHUDWRU FRQWURO FDEOH IURP LQMHFWLRQ SXPS FRQWURO OHYHU

$WLI

$WLI

 (QJLQH &RQWURO &DEOH

 (QJLQH &RQWURO /HYHU

 2LO 3LSH

 )XHO 5HWXUQ +RVH

 )XHO )HHG +RVH

'LVFRQQHFW IXHO KRVH IURP LQMHFWLRQ SXPS VLGH DQG WDNH

FDUH QRW WR VSLOO DQG HQWHU GXVW

 1R]]OH &RYHU

$WLI
(1*,1( $ ¤ 

$WLI

 /HDN 2II 3LSH

 )XHO 3LSH

 3RVLWLYH &UDQNFDVH 9HQWLODWLRQ 3&9 +RVH

 :DWHU %\SDVV +RVH

 ,QMHFWLRQ 3LSH

 ,QMHFWLRQ 3XPS $VVHPEO\


$ERYH ZRUNV UHIHU WR ¦,1-(&7,21 3803 $66(0%/<§
VHFWLRQ LQ WKLV PDQXDO

 ,QMHFWLRQ 3XPS 5XEEHU 6SDFHU IRU +)+*7+(7

 $LU &RQGLWLRQLQJ $& 'ULYH %HOW ,I HTXLSSHG ZLWK $&

 ,GOH 3XOOH\ %UDFNHW ,I HTXLSSHG ZLWK $&

$IWHU UHPRYDO RI WKH $& GULYH EHOW UHPRYH WKH  EUDFNHW


IL[LQJ EROWV 7KHQ UHPRYH WKH EUDFNHW ZLWK WKH WHQVLRQHU
DQG WKH LGOHU DWWDFKHG

 +HDWHU +RVH

 5DGLDWRU /RZHU +RVH

$WLI

 +HDWHU 3LSH

 :DWHU 6XFWLRQ 3LSH

$WLI

 2LO &RROHU $VVHPEO\

 5HPRYH WKH RLO FRROHU EROWV

 ,QVWDOO D RLO FRROHU IL[LQJ EROW WR WKH RLO FRROHU UHSODFH


KROH DV VKRZQ LQ WKH LOOXVWUDWLRQ DQG WLJKWHQ WKH EROW
DOWHUQDWHO\ D OLWWOH DW D WLPH

 25LQJ

/;WLI
$ ¤  (1*,1(

',6$66(0%/<
2LO&RROHU$VVHPEO\
 (OHPHQW IL[LQJ EROWV

 (OHPHQW

 25LQJ

$WLI

5($66(0%/<
 25LQJ

$SSO\ D FRDW RI HQJLQH RLO WR WKH 2ULQJV DQG LQVWDOO WKH 2


ULQJV WKH RLO FRROHU

 (OHPHQW
 (OHPHQW IL[LQJ EROWV
1‡P NJ‡POE‡IW

 

$WLI

,167$//$7,21
 25LQJ

 2LO &RROHU $VVHPEO\

 $SSO\ PPPP  LQ EHDG RI WKH


UHFRPPHQGHG OLTXLG JDVNHW 7KUHH %RQG & RU LWV
HTXLYDOHQW RQ WKH RLO FRROHU ILWWLQJ VXUIDFH

 $SSO\ D FRDW RI HQJLQH RLO WR WKH 2ULQJV  SLHFHV DQG


LQVWDOO WKH 2ULQJV WR WKH RLO FRROHU

$WLI

127(

7DNH FDUH WKDW WKH 2ULQJ LV QRW VPHDUHG ZLWK OLTXLG


JDVNHW

‡ ,QVWDOO WKH RLO FRROHU ZLWKLQ  PLQXWHV DIWHU DSSOLFDWLRQ RI


OLTXLG JDVNHW

‡ )RU WKH GLVORFDWLRQ RI OLTXLG JDVNHW UHIHU WR WKH


LOOXVWUDWLRQ

 7LJKWHQ WKH RLO FRROHU EROWV DQG QXW WR WKH VSHFLILHG


WRUTXH D OLWWOH DW D WLPH LQ WKH VHTXHQFH VKRZQ LQ WKH
LOOXVWUDWLRQ
/;WLI

2LO &RROHU %ROW DQG 1XW 7RUTXH 1‡P NJ‡POE‡IW

 

 :DWHU 6XFWLRQ 3LSH

 $SSO\ PPPP EHDG RI WKH UHFRPPHQGHG OLTXLG


JDVNHW 7KUHH %RQG & RU LWV HTXLYDOHQW RQ WKH
JURRYH RI WKH ZDWHU VXFWLRQ SLSH ILWWLQJ VXUIDFH

 ,QVWDOO WKH ZDWHU VXFWLRQ SLSH WR WKH RLO FRROHU

‡ )RU WKH GLVORFDWLRQ RI OLTXLG JDVNHW UHIHU WR WKH


LOOXVWUDWLRQ
$WLI
(1*,1( $ ¤ 

:DWHU 6XFWLRQ 3LSH %ROW 7RUTXH 1‡P NJ‡POE‡IW

 

127(

,QVWDOO WKH ZDWHU VXFWLRQ SLSH LPPHGLDWHO\ DIWHU WKH


LQVWDOODWLRQ RI WKH RLO FRROHU

$WLI

 +HDWHU 3LSH

 ,QVWDOO WKH 2ULQJ WR WKH KHDWHU SLSH

 ,QVWDOO WKH KHDWHU SLSH WR WKH RLO FRROHU

+HDWHU 3LSH %ROW 7RUTXH 1‡P NJ‡POE‡IW

 

$WLI

 5DGLDWRU /RZHU +RVH

 +HDWHU +RVH

$WLI

 ,GOH 3XOOH\ %UDFNHW ,I HTXLSSHG ZLWK $&

,GOH 3XOOH\ %UDFNHW %ROW 7RUTXH 1‡P NJ‡POE‡IW

 

$WLI
$ ¤  (1*,1(

 $LU &RQGLWLRQLQJ $& 'ULYH %HOW ,I HTXLSSHG ZLWK $&

‡ ,QVWDOO GULYH EHOW DGMXVW EHOW WHQVLRQ E\ DGMXVWLQJ EROW


DQG WLJKWHQ ORFNLQJ QXW WR WKH VSHFLILHG WRUTXH

‡ 'HSUHVV WKH GULYH EHOW PLGSRUWLRQ ZLWK D NJ


OE1 IRUFH

'ULYH %ROW 'HIOHFWLRQ PP LQ

       1HZ EHOW


       5HXVH EHOW

$WLI /RFNLQJ 1XW 7RUTXH 1‡P NJ‡POE‡IW

 

 ,QMHFWLRQ 3XPS 5XEEHU 6SDFHU +)+*7+(7

 ,QMHFWLRQ 3XPS $VVHPEO\

 ,QMHFWLRQ 3LSH

 :DWHU %\SDVV +RVH

 3RVLWLYH &UDQNFDVH 9HQWLODWLRQ 3&9 +RVH

 )XHO 3LSH

 /HDN 2II 3LSH

 1R]]OH &RYHU

 )XHO )HHG +RVH

 )XHO 5HWXUQ +RVH

$LU %OHHGLQJ

$ERYH ZRUNV UHIHU WR ¦,1-(&7,21 3803 $66(0%/<§


VHFWLRQ LQ WKLV PDQXDO

 2LO 3LSH

 (QJLQH &RQWURO /HYHU $VVHPEO\

(QJLQH &RQWURO /HYHU %ROW 7RUTXH 1‡P NJ‡POE‡IW

 

$WLI

 (QJLQH &RQWURO &DEOH

$WLI
(1*,1( $ ¤ 

 $FFHOHUDWRU &RQWURO &DEOH

 &KHFN WR VHH LI WKH LGOLQJ FRQWURO NQRE LV WXUQHG WR WKH


XWPRVW OLPLW WR WKH OHIW

 ,QVWDOO WKH HQG WLS RI WKH FDEOH WR WKH HQJLQH FRQWURO


OHYHU

 :LWK WKH RXWHU FDEOH SXOOHG WRZDUG WKH IURQW RI WKH


YHKLFOH SURYLGH WKH HQJLQH FRQWURO ZLUH DQG WKH LQQHU
FDEOH ZLWK WKH DSSURSULDWH SOD\ 7KHQ IDVWHQ WKH FODPS
ZLWK D QXW

 &KHFN WR VHH LI WKH FRQWURO OHYHU RI WKH LQMHFWLRQ SXPS LV


$WLI
VHW DW WKH LGOLQJ SRVLWLRQ ZLWK WKH OHYHU DWWDFKHG WR WKH
VWRSSHU EROW 

$WLI

 (QJLQH 6WRS &DEOH

 ,QVWDOO WKH HQG WLS RI WKH FDEOH WR WKH HQJLQH VWRS OHYHU

 3XOO WKH FDEOH WRZDUG WKH UHDU RI WKH YHKLFOH DQG IDVWHQ
WKH FODPS ZLWK D QXW DW WKH SRVLWLRQ ZKHUH WKH OHYHU
VWRSV

$WLI

$WLI

 ,QWDNH $LU 'XFW

 2LO /HYHO *DXJH *XLGH 7XEH

 ,QVWDOO WKH 2ULQJV WR WKH JXLGH WXEH ORZHU SRUWLRQ DQG


LQVHUW WKH JXLGH WXEH FRPSOHWHO\ WR WKH F\OLQGHU ERG\

 7LJKWHQ WKH JXLGH WXEH EROW WR WKH VSHFLILHG WRUTXH

*XLGH 7XEH %ROW 7RUTXH 1‡P NJ‡POE‡LQ

 

$WLI
$ ¤  (1*,1(

 9DFXXP +RVH

‡ 3RXU FRRODQW LQWR UDGLDWRU

‡ &RQQHFW EDWWHU\ JURXQG FDEOH

‡ 6WDUW HQJLQH DQG FKHFN IRU RLO DQG ZDWHU OHDNDJH

FDUHIXOO\
(1*,1( $ ¤ 

2,/3$1

$WLI

5(029$/
3UHSDUDWLRQ

‡ 'LVFRQQHFW EDWWHU\ JURXQG FDEOH

‡ /LIW XS FDU

‡ 'UDLQ HQJLQH RLO

 6SDFHU 5XEEHU 1.5 PRGHO RQO\

‡ )RU WKH :' PRGHO YHKLFOH UHPRYH WKH VWLIIHQHU


EHIRUH UHPRYLQJ WKH VSDFHU UXEEHU

 2LO 3DQ

,167$//$7,21
 2LO 3DQ

 $SSO\ D PP  LQFK EHDG RI UHFRPPHQGHG OLTXLG


JDVNHW 7KUHH %RQG & RU LWV HTXLYDOHQW WR WKH
VKDGHG DUHDV VKRZQ LQ WKH LOOXVWUDWLRQ

$WLI
$ ¤  (1*,1(

$WLI

([FHSW +(7 +(7&  7LJKWHQ WKH RLO SDQ QXWV DQG EROWV WR WKH VSHFLILHG
WRUTXH LQ WKH QXPHULFDO RUGHU DV VKRZQ LQ WKH
LOOXVWUDWLRQ

PDUNV DUH ORFDWHG RQ QXW SRVLWLRQV

2LO 3DQ 1XWV DQG %ROWV 7RUTXH 1‡P NJ‡POE‡IW

2WKHUV  
+(7  
+(7&   IRU VWDU PDUN

$WLI

)RU +(7 +(7&

/;WLI
(1*,1( $ ¤ 

 6SDFHU 5XEEHU 1.5 PRGHO RQO\

6SDFHU 5XEEHU %ROWV 7RUTXH 1‡P NJ‡POE‡IW

 

‡ )RU WKH :' PRGHO YHKLFOH WLJKWHQ WKH VSDFHU UXEEHU


WRJHWKHU ZLWK WKH VWLIIHQHU

&\OLQGHU %RG\ 5+ 6LGH 1‡P NJ‡POE‡IW

 

&\OLQGHU %RG\ /+ 6LGH 1‡P NJ‡POE‡IW


$WLI

 

)O\ZKHHO +RXVLQJ 6LGH 1‡P NJ‡POE‡IW

 

‡ 3RXU HQJLQH RLO LQWR HQJLQH

‡ &RQQHFW EDWWHU\ JURXQG FDEOH

‡ 6WDUW HQJLQH DQG FKHFN IRU RLO OHDNDJH IURP RLO SDQ
$ ¤  (1*,1(

2,/3803$66(0%/<

$WLI
(1*,1( $ ¤ 

5(029$/
3UHSDUDWLRQ

‡ 'LVFRQQHFW EDWWHU\ JURXQG FDEOH

‡ 7LOW WKH FDE

‡ 'UDLQ FRRODQW DQG HQJLQH RLO


 (QJLQH $VVHPEO\

$ERYH ZRUNV UHIHU WR (1*,1( $66(0%/< VHFWLRQ LQ WKLV


PDQXDO
 1R]]OH &RYHU

 &\OLQGHU +HDG &RYHU

 +HDG &RYHU *DVNHW

 5RFNHU $UP 6KDIW $VVHPEO\

 9DOYH &DS

 &DPVKDIW %HDULQJ &DS

 &DPVKDIW %HDULQJ 8SSHU

 &DPVKDIW $VVHPEO\

 &DPVKDIW %HDULQJ /RZHU

$ERYH ZRUNV UHIHU WR 52&.(5 $50 6+$)7 $66(0%/<


$1' &$06+$)7 $66(0%/< VHFWLRQ LQ WKLV PDQXDO
 &\OLQGHU +HDG $VVHPEO\

$ERYH ZRUNV UHIHU WR &</,1'(5 +($' VHFWLRQ LQ WKLV


PDQXDO

 &\OLQGHU +HDG *DVNHW

&$87,21

'R QRW UHXVH WKH F\OLQGHU KHDG JDVNHW

$WLI

 &OXWFK 3UHVVXUH 3ODWH $VVHPEO\

 'ULYHQ 3ODWH

$ERYH ZRUNV UHIHU WR 7,0,1* *($5 5(3/$&(0(17


VHFWLRQ LQ WKLV PDQXDO
 (QJLQH &RQWURO :LUH

 (QJLQH &RQWURO /HYHU $VVHPEO\

 2LO 3LSH

$WLI
$ ¤  (1*,1(

 ,QMHFWLRQ 3XPS $VVHPEO\

 5HPRYH WKH LQMHFWLRQ SXPS EUDFNHW EROWV DQG WKH


LQMHFWLRQ SXPS UHDU EUDFNHW EROWV

 7KHQ UHPRYH WKH LQMHFWLRQ SXPS DVVHPEO\

$WLI

 )O\ZKHHO $VVHPEO\

 &UDQNVKDIW 5HDU 2LO 6HDO

 &UDQNVKDIW 5HDU 6OLQJHU

$ERYH ZRUNV UHIHU WR ¦&5$1.6+$)7 5($5 2,/ 6($/§


VHFWLRQ LQ WKLV PDQXDO

 6SDFHU 5XEEHU 1.5 PRGHO RQO\

)RU WKH :' PRGHO YHKLFOH UHPRYH WKH VWLIIHQHU EHIRUH


UHPRYLQJ WKH VSDFHU UXEEHU

 2LO 3DQ

 3RZHU 6WHHULQJ 3XPS ,GOH *HDU &RYHU

 3RZHU 6WHHULQJ 3XPS ,GOH *HDU

 )O\ZKHHO +RXVLQJ

127(

%H FDUHIXO QRW WR IDLO WR UHPRYH WKH EROWV VKRZQ LQ WKH


LOOXVWUDWLRQ

$WLI

 ,GOH *HDU $

$WLI
(1*,1( $ ¤ 

 2LO 3XPS $VVHPEO\

$WLI

,167$//$7,21
 2LO 3XPS $VVHPEO\

 &DUHIXOO\ ZLSH DQ\ IRUHLJQ PDWHULDO IURP WKH F\OLQGHU


ERG\ UHDU VXUIDFH

 $SSO\ WKH UHFRPPHQGHG OLTXLG JDVNHW 7KUHH %RQG


( RU LWV HTXLYDOHQW WR WKH VKDGHG DUHDV VKRZQ LQ
WKH LOOXVWUDWLRQ

$WLI

&$87,21

%H FDUHIXO WKDW QR OLTXLG JDVNHW JHWV LQWR WKH KROHV LQ


WKH DUURZPDUNHG SRUWLRQ LQ WKH LOOXVWUDWLRQ DQG WKH
LQVLGH RI WKH RLO SXPS FRYHU

 ,QVWDOO WKH RLO SXPS WR WKH F\OLQGHU ERG\

 7LJKWHQ WKH RLO SXPS WR WKH VSHFLILHG WRUTXH

2LO 3XPS %ROW 7RUTXH 1‡P NJ‡POE‡IW

 

$WLI

 ,GOH *HDU $

 7XUQ WKH FUDQNVKDIW FORFNZLVH VR WKDW WKH HQJDJHPHQW


PDUN RI WKH FUDQNVKDIW JHDU IDFHV WR WKH VKDIW FHQWHU RI
WKH LGOH JHDU $ DQG WKH 1R F\OLQGHU SLVWRQ FRPHV WR
WKH WRS GHDG FHQWHU

 $OLJQ WKH FUDQNVKDIW JHDU ZLWK WKH HQJDJHPHQW PDUN RI


WKH LGOH JHDU DQG LQVWDOO WKH LGOH JHDU $

,GOH *HDU $ %ROW 7RUTXH 1‡P NJ‡POE‡IW

 

$WLI

$WLI
$ ¤  (1*,1(

 )O\ZKHHO +RXVLQJ

 3RZHU 6WHHULQJ 3XPS ,GOH *HDU

 3RZHU 6WHHULQJ 3XPS ,GOH *HDU &RYHU

$ERYH ZRUNV UHIHU WR ¦7,0,1* *($5 5(3/$&(0(17§

VHFWLRQ LQ WKLV PDQXDO

 2LO 3DQ

 6SDFHU 5XEEHU 1.5 PRGH

$ERYH ZRUNV UHIHU WR ¦2,/ 3$1§ VHFWLRQ LQ WKLV PDQXDO

 &UDQNVKDIW 5HDU 6OLQJHU

 &UDQNVKDIW 5HDU 2LO 6HDO

 )O\ZKHHO $VVHPEO\

$ERYH ZRUNV UHIHU WR ¦&5$1.6+$)7 5($5 2,/ 6($/§

VHFWLRQ LQ WKLV PDQXDO

 ,QMHFWLRQ 3XPS $VVHPEO\

$ERYH ZRUNV UHIHU WR ¦,1-(&7,21 3803 $66(0%/<§

VHFWLRQ LQ WKLV PDQXDO

 2LO 3LSH

 (QJLQH &RQWURO /HYHU $VVHPEO\

 (QJLQH &RQWURO :LUH

$ERYH ZRUNV UHIHU WR ¦,1-(&7,21 3803 $66(0%/<§

VHFWLRQ LQ WKLV PDQXDO

 'ULYHQ 3ODWH

 &OXWFK 3UHVVXUH 3ODWH $VVHPEO\ 07 RU )OH[LEOH 3ODWH


$7

$ERYH ZRUNV UHIHU WR ¦7,0,1* *($5 5(3/$&(0(17§

VHFWLRQ LQ WKLV PDQXDO

 &\OLQGHU +HDG *DVNHW

$ERYH ZRUNV UHIHU WR ¦&</,1'(5 +($'§ VHFWLRQ LQ WKLV

PDQXDO

 &\OLQGHU +HDG $VVHPEO\

$ERYH ZRUNV UHIHU WR ¦&</,1'(5 +($'§ VHFWLRQ LQ WKLV

PDQXDO

 &DPVKDIW %HDULQJ /RZHU

 &DPVKDIW $VVHPEO\

 &DPVKDIW %HDULQJ 8SSHU

 &DPVKDIW %HDULQJ &DS

 9DOYH &DS

$ERYH ZRUNV UHIHU WR ¦&$06+$)7 $66(0%/<§ VHFWLRQ LQ

WKLV PDQXDO

 5RFNHU $UP 6KDIW $VVHPEO\

$ERYH ZRUNV UHIHU WR ¦52&.(5 $50 6+$)7 $66(0%/<§

VHFWLRQ LQ WKLV PDQXDO

 +HDG &RYHU *DVNHW

 &\OLQGHU +HDG &RYHU

$ERYH ZRUNV UHIHU WR ¦&</,1'(5 +($' &29(5§ VHFWLRQ

LQ WKLV PDQXDO

 1R]]OH &RYHU

 (QJLQH $VVHPEO\

$ERYH ZRUNV UHIHU WR ¦(1*,1( $66(0%/<§ VHFWLRQ LQ WKLV

PDQXDO
(1*,1( $ ¤ 

2,/5(/,()9$/9(
5(029$/
 2LO 5HOLHI 9DOYH

$WLI

,163(&7,21$1'5(3$,5
0DNH WKH QHFHVVDU\ DGMXVWPHQWV UHSDLUV DQG SDUW
UHSODFHPHQWV LI H[FHVVLYH ZHDU RU GDPDJH LV GLVFRYHUHG
GXULQJ LQVSHFWLRQ

9DOYH

3XVK WKH YDOYH ZLWK D VFUHZGULYHU WR FKHFN LW IRU ELQGLQJ

:KHQ WKH YDOYH LV ELQGLQJ UHSODFH WKH UHOLHI YDOYH ZLWK D


QHZ RQH

6SULQJ

%ORZ WKH YDOYH DQG FKHFN LW IRU DLU OHDN :KHQ WKHUH LV DQ\
DLU OHDN LQ WKH YDOYH UHSODFH LW ZLWK D QHZ RQH

$WLI

,167$//$7,21
 2LO 5HOLHI 9DOYH

2LO 5HOLHI 9DOYH 7RUTXH 1‡P NJ‡POE‡IW

 

$WLI
$ ¤  (1*,1(

3,67213,67215,1*3,67213,1$1'&211(&7,1*52'

$WLI

5(029$/
3UHSDUDWLRQ

‡ 'LVFRQQHFW EDWWHU\ JURXQG FDEOH

‡ 7LOW WKH FDE

‡ 'UDLQ FRRODQW DQG HQJLQH RLO

 1R]]OH &RYHU

 6SDFHU 5XEEHU 1.5 PRGHO RQO\

)RU WKH :' PRGHO YHKLFOH UHPRYH WKH VWLIIHQHU EHIRUH

UHPRYLQJ WKH VSDFHU UXEEHU


(1*,1( $ ¤ 

 2LO 3DQ

 2LO 3XPS 6WUDLQHU

 &\OLQGHU +HDG &RYHU

 &\OLQGHU +HDG &RYHU *DVNHW

$WLI

 5RFNHU $UP 6KDIW $VVHPEO\

$ERYH ZRUNV UHIHU WR ¦52&.(5 $50 6+$)7 $66(0%/<§


VHFWLRQ LQ WKLV PDQXDO

 9DOYH &DS

&$87,21

7DNH VXIILFLHQW FDUH QRW WR OHW YDOYH FDSV IDOO LQWR WKH

JHDU FDVH RU RLO UHWXUQ KROH

 &DPVKDIW %HDULQJ &DS

 &DPVKDIW %HDULQJ 8SSHU

 &DPVKDIW $VVHPEO\

 &DPVKDIW %HDULQJ /RZHU

$ERYH ZRUNV UHIHU WR ¦&$06+$)7 $66(0%/<§ VHFWLRQ LQ


WKLV PDQXDO

 &\OLQGHU +HDG $VVHPEO\

$ERYH ZRUNV UHIHU WR ¦&</,1'(5 +($'§ VHFWLRQ LQ WKLV


PDQXDO

 &\OLQGHU +HDG *DVNHW

&$87,21

'R QRW UHXVH WKH F\OLQGHU KHDG JDVNHW

$WLI

 &RQQHFWLQJ 5RG &DS

 7DNH RXW WKH FRQQHFWLQJ URG EHDULQJ FDS EROWV DQG


UHPRYH WKH EHDULQJ FDS ZLWK WKH ORZHU EHDULQJ

 ,I WKH FRQQHFWLQJ URG ORZHU EHDULQJV DUH WR EH


UHLQVWDOOHG PDUN WKHLU ILWWLQJ SRVLWLRQV E\ WDJJLQJ HDFK
EHDULQJ ZLWK WKH F\OLQGHU QXPEHU IURP ZKLFK LW ZDV
UHPRYHG

$WLI
$ ¤  (1*,1(

 3LVWRQ DQG &RQQHFWLQJ 5RG $VVHPEO\

 7R IDFLOLWDWH VPRRWK UHPRYDO RI SLVWRQ UHPRYH FDUERQ


IURP WKH XSSHU SDUW RI WKH F\OLQGHU ZDOO XVLQJ D VFUDSHU
RU HTXLYDOHQW

 5HPRYH WKH SLVWRQ DQG FRQQHFWLQJ URG DVVHPEO\


XSZDUG E\ SXVKLQJ RQ WKH HGJH RI WKH FRQQHFWLQJ URG
ZLWK D KDPPHU KDQGOH RU HTXLYDOHQW

 ,I WKH FRQQHFWLQJ URG EHDULQJ DUH WR EH UHLQVWDOOHG PDUN


WKHLU ILWWLQJ SRVLWLRQV E\ WDJJLQJ HDFK EHDULQJ ZLWK WKH
F\OLQGHU QXPEHU IURP ZKLFK LW ZDV UHPRYHG
$WLI
&$87,21

'R QRW EHQG RU GDPDJH WKH RLOLQJ MHW

127(

:KHQ UHPRYLQJ WKH SLVWRQ DQG FRQQHFWLQJ URG

DVVHPEO\ SXOO WKH FRQQHFWLQJ URG LQ SDUDOOHO ZLWK WKH

F\OLQGHU ERUH

,167$//$7,21
 3LVWRQ DQG &RQQHFWLQJ 5RG $VVHPEO\

127(

:KHQ LQVWDOOLQJ QHZ FRQQHFWLQJ URG DQGRU FRQQHFWLQJ

URG EHDULQJV UHIHU WR WKH VHOHFWLRQ WDEOH $ERYH ZRUNV

UHIHU WR ¦&5$1.6+$)7§ VHFWLRQ $ LQ WKLV PDQXDO

 $SSO\ D FRDW RI HQJLQH RLO WR WKH FLUFXPIHUHQFH RI HDFK


SLVWRQ ULQJ DQG SLVWRQ

 3RVLWLRQ WKH SLVWRQ ULQJ JDSV DV VKRZQ LQ WKH


LOOXVWUDWLRQ

c VW FRPSUHVVLRQ ULQJ

d QG FRPSUHVVLRQ ULQJ

e UG FRPSUHVVLRQ ULQJ +(7& RQO\

f 2LO ULQJ

g &RLO H[SDQGHU

 $SSO\ D FRDW RI PRO\EGHQXP GLVXOILGH JUHDVH WR WKH WZR


SLVWRQ VNLUWV
+:WLI
7KLV ZLOO IDFLOLWDWH VPRRWK EUHDNLQ ZKHQ WKH HQJLQH LV
ILUVW VWDUWHG DIWHU UHDVVHPEO\

 $SSO\ D FRDW RI HQJLQH RLO WR WKH XSSHU EHDULQJ


VXUIDFHV

 $SSO\ D FRDW RI HQJLQH RLO WR WKH F\OLQGHU ZDOO

 3RVLWLRQ WKH SLVWRQ KHDG IURQW PDUN VR WKDW LW LV IDFLQJ


WKH IURQW RI WKH HQJLQH
(1*,1( $ ¤ 

 8VH WKH SLVWRQ ULQJ FRPSUHVVRU WR FRPSUHVV WKH SLVWRQ


ULQJV

3LVWRQ 5LQJ &RPSUHVVRU 

 8VH D KDPPHU JULS WR SXVK WKH SLVWRQ LQ XQWLO WKH


FRQQHFWLQJ URG PDNHV FRQWDFW ZLWK WKH FUDQNSLQ

$W WKH VDPH WLPH URWDWH WKH FUDQNVKDIW XQWLO WKH


FUDQNSLQ LV DW ERWWRP GHDG FHQWHU

&$87,21

'R QRW EHQG RU GDPDJH WKH RLOLQJ MHW

$WLI

 &RQQHFWLQJ 5RG &DS

 ,QVWDOO WKH FRQQHFWLQJ URG EHDULQJ FDSV

 $OLJQ WKH EHDULQJ FDS F\OLQGHU QXPEHU PDUNV DQG WKH


FRQQHFWLQJ URG F\OLQGHU QXPEHU PDUNV

 $SSO\ D FRDW RI PRO\EGHQXP GLVXOILGH JUHDVH WR WKH


WKUHDGV DQG VHWWLQJ IDFHV RI HDFK FRQQHFWLQJ URG FDS
EROWV

$WLI

 7LJKWHQ WKH FRQQHFWLQJ URG FDSV WR WKH VSHFLILHG


WRUTXH

&RQQHFWLQJ 5RG %HDULQJ &DS

%ROW 7RUTXH 1‡P NJ‡POE‡IW

VW VWHS QG VWHS UG VWHS

  ƒ ƒ

$QJOH JDXJH  

$WLI

 &\OLQGHU +HDG *DVNHW

$ERYH ZRUNV UHIHU WR ¦&</,1'(5 +($'§ VHFWLRQ LQ WKLV


PDQXDO

 &\OLQGHU +HDG $VVHPEO\

$ERYH ZRUNV UHIHU WR ¦&</,1'(5 +($'§ VHFWLRQ LQ WKLV


PDQXDO

 &DPVKDIW %HDULQJ /RZHU

 &DPVKDIW $VVHPEO\

 &DPVKDIW %HDULQJ 8SSHU

 &DPVKDIW %HDULQJ &DS

 9DOYH &DS

$ERYH ZRUNV UHIHU WR ¦&$06+$)7 $66(0%/<§ VHFWLRQ LQ


WKLV PDQXDO

 5RFNHU $UP 6KDIW $VVHPEO\

$ERYH ZRUNV UHIHU WR ¦52&.(5 $50 6+$)7 $66(0%/<§


VHFWLRQ LQ WKLV PDQXDO

 &\OLQGHU +HDG *DVNHW

$ERYH ZRUNV UHIHU WR ¦&</,1'(5 +($'§ VHFWLRQ LQ WKLV


PDQXDO
$ ¤  (1*,1(

 &\OLQGHU +HDG &RYHU

$ERYH ZRUNV UHIHU WR ¦&</,1'(5 +($' &29(5§ VHFWLRQ


LQ WKLV PDQXDO

 2LO 3XPS 6WUDLQHU

,QVWDOO WKH 2ULQJ c WR WKH RLO SXPS VWUDLQHU SLSH DQG LQVWDOO
WKH RLO SXPS VWUDLQHU WR WKH F\OLQGHU ERG\ VKRZQ LQ WKH
LOOXVWUDWLRQ

2LO 3XPS 6WUDLQHU %ROW 7RUTXH 1‡P NJ‡POE‡IW

 

$WLI

 2LO 3DQ

 6SDFHU 5XEEHU 1.5 PRGHO RQO\

$ERYH ZRUNV UHIHU WR ¦2,/ 3$1§ VHFWLRQ LQ WKLV PDQXDO

 1R]]OH &RYHU

‡ 3RXU HQJLQH RLO DQG FRRODQW LQWR HQJLQH

‡ &RQQHFW EDWWHU\ JURXQG FDEOH

‡ 6WDUW HQJLQH DQG FKHFN IRU FRRODQW DQG RLO OHDNDJH


(1*,1( $ ¤ 

)/<:+((/$1'3,/27%($5,1*

$WLI

5(029$/
3UHSDUDWLRQ

‡ 'LVFRQQHFW EDWWHU\ JURXQG FDEOH

 7UDQVPLVVLRQ 3DQHO 07 PRGHO RQO\

 6WDUWHU

 'LVFRQQHFW WKH EDWWHU\ FDEOH DW WKH VWDUWHU PRWRU

 5HPRYH WKH VWDUWHU DVVHPEO\ IURP IO\ZKHHO KRXVLQJ

$WLI
$ ¤  (1*,1(

 7UDQVPLVVLRQ $VVHPEO\

$ERYH ZRUNV UHIHU WR ¦(1*,1( $66(0%/<§ VHFWLRQ LQ WKLV


PDQXDO

 &OXWFK 3UHVVXUH 3ODWH $VVHPEO\

 ,QVHUW WKH FOXWFK SLORW DOLJQHU WR WKH FOXWFK DVVHPEO\

&OXWFK 3LORW $OLJQHU 

 /RRVHQ WKH SUHVVXUH SODWH EROWV LQ QXPHULFDO RUGHU D


OLWWOH DW D WLPH DV VKRZQ LQ WKH LOOXVWUDWLRQ

 5HPRYH WKH SUHVVXUH SODWH DVVHPEO\

$WLI

 'ULYHQ 3ODWH

5HPRYH WKH GULYHQ SODWH ZLWK WKH FOXWFK SLORW DOLJQHU

c &OXWFK SLORW DOLJQHU

d &OXWFK SUHVVXUH SODWH DVVHPEO\

e 'ULYHQ SODWH

$WLI

 :DVKHU

 )O\ZKHHO

 8VH WKH FUDQNVKDIW VWRSSHU WR SUHYHQW WKH FUDQNVKDIW


IURP WXUQLQJ

&UDQNVKDIW 6WRSSHU 

 /RRVHQ WKH IO\ZKHHO EROWV LQ QXPHULFDO RUGHU D OLWWOH DW D


WLPH DV VKRZQ LQ WKH LOOXVWUDWLRQ

 5HPRYH WKH IO\ZKHHO VWRSSHU DQG WKH IO\ZKHHO


DVVHPEO\

)RU WKH $7 YHKLFOH ORRVHQ ILUVW WKH IO\ZKHHO IL[LQJ EROW DQG
$WLI

WKHQ UHPRYH WKH ZDVKHU WKH IOH[LEOH SODWH WKH IO\ZKHHO DQG
WKH VOHHYH LQ WKLV RUGHU

 6QDS 5LQJ

8VH D VQDS ULQJ SOLHUV WR UHPRYH WKH VQDS ULQJ IURP WKH
IO\ZKHHO

 3LORW %HDULQJ

$WLI
(1*,1( $ ¤ 

,163(&7,21$1'5(3$,5
)O\ZKHHO
 ,QVSHFW WKH IO\ZKHHO IULFWLRQ VXUIDFH IRU H[FHVVLYH ZHDU
DQG KHDW FUDFNV

 0HDVXUH WKH IO\ZKHHO WKLFNQHVV W EHWZHHQ WKH


IO\ZKHHO IULFWLRQ VXUIDFH DQG FUDQNVKDIW VHWWLQJ IDFH

,I WKH PHDVXUHG YDOXH LV EHWZHHQ WKH VWDQGDUG DQG WKH


VSHFLILHG OLPLW WKH IO\ZKHHO PD\ EH UHJURXQG

,I WKH PHDVXUHG YDOXH H[FHHGV WKH VSHFLILHG OLPLW WKH


$WLI
IO\ZKHHO PXVW EH UHSODFHG

)O\ZKHHO 7KLFNQHVV W PP LQ

(QJLQH PRGHO 6WDQGDUG /LPLW

  
2WKHUV  
  

  
+(7 +*7&  
 
)O\ZKHHO )ULFWLRQ 6XUIDFH 5RXJKQHVV PP LQ

/HVV WKDQ  

5LQJ *HDU
,QVSHFW WKH ULQJ JHDU

,I WKH ULQJ JHDU WHHWK DUH EURNHQ RU H[FHVVLYHO\ ZRUQ WKH


ULQJ JHDU PXVW EH UHSODFHG

5LQJ *HDU 5HSODFHPHQW

5HPRYDO
6WULNH DURXQG WKH HGJHV RI WKH ULQJ JHDU ZLWK D KDPPHU
DQG FKLVHO WR UHPRYH LW

$WLI

,QVWDOODWLRQ
 +HDW WKH ULQJ JHDU HYHQO\ ZLWK D JDV EXUQHU WR LQYLWH
WKHUPDO H[SDQVLRQ

 ,QVWDOO WKH ULQJ JHDU ZKHQ LW LV VXIILFLHQWO\ KHDWHG

7KH ULQJ JHDU PXVW EH LQVWDOOHG ZLWK WKH FKDPIHU IDFLQJ


WKH FOXWFK

3LORW %HDULQJ
&KHFN WKH SLORW EHDULQJ IRU ZHDU RU GDPDJH DQG UHSODFH
ZLWK D QHZ RQH LI DQ\ DEQRUPDO FRQGLWLRQ LV QRWLFHDEOH

$WLI
$ ¤  (1*,1(

,167$//$7,21
 3LORW %HDULQJ

 6QDS 5LQJ

 )O\ZKHHO $VVHPEO\

 :DVKHU

 $OLJQ WKH IO\ZKHHO ZLWK WKH FUDQNVKDIW NQRFN SLQ DQG


WHPSRUDULO\ WLJKWHQ WKH IO\ZKHHO EROWV
 8VH WKH FUDQNVKDIW VWRSSHU WR SUHYHQW WKH FUDQNVKDIW
IURP WXUQLQJ

&UDQNVKDIW VWRSSHU

 ,QVWDOO WKH ZDVKHU DQG WKH IO\ZKHHO EROWV DQG WLJKWHQ WR


$WLI
WKH VSHFLILHG WRUTXH LQ QXPHULFDO RUGHU VKRZ LQ WKH
LOOXVWUDWLRQ

)O\ZKHHO %ROW WRUTXH 1‡P NJ‡POE‡IW

VW VWHS QG VWHS

  ƒƒ

 5HPRYH WKH FUDQNVKDIW VWRSSHU

 'ULYHQ 3ODWH

8VH WKH FOXWFK SLORW DOLJQHU WR LQVWDOO WKH GULYHQ SODWH

&OXWFK 3LORW $OLJQHU 

c &OXWFK SLORW DOLJQHU

d &OXWFK SUHVVXUH SODWH DVVHPEO\

e 'ULYHQ SODWH

$WLI

 &OXWFK 3UHVVXUH 3ODWH $VVHPEO\

 $OLJQ WKH FOXWFK SUHVVXUH SODWH ZLWK WKH IO\ZKHHO NQRFN


SLQ

 7LJKWHQ WKH SUHVVXUH SODWH EROWV WR WKH VSHFLILHG WRUTXH


LQ QXPHULFDO RUGHU

&OXWFK 3UHVVXUH 3ODWH %ROW 7RUTXH 1‡P NJ‡POE‡IW

 

$WLI

)RU $7 PRGHO

 $OLJQ WKH NQRFN SLQ RQ WKH FUDQNVKDIW WR LQVWDOO WKH


IO\ZKHHO

 ,QVWDOO WKH IOH[LEOH SODWH ZLWK DOLJQPHQW PDUN  PP


GLDPHWHU GHQW RQ WKH IO\ZKHHO DQG  PP GLDPHWHU ZKLWH
SDLQW RQ WKH IOH[LEOH SODWH DQG ZDVKHU

 $SSO\ PRO\EGHQXP GLVXOILGH JUHDVH WR WKH EROW WKUHDG


DQG VHDW WR LQVWDOO WKH IO\ZKHHO IL[LQJ KROH

7LJKWHQ EROW WR WZR VWDJH WLJKWHQLQJ PHWKRG LQ WKH


QXPHULFDO RUGHU

/;WLI
VW VWHS  1‡P  ,EIW

QG VWHS    GHJUHHV


(1*,1( $ ¤ 

 7UDQVPLVVLRQ $VVHPEO\

$ERYH ZRUNV UHIHU WR ¦(1*,1( $66(0%/<§ VHFWLRQ LQ WKLV


PDQXDO

 6WDUWHU

6WDUWHU %ROW 7RUTXH 1‡P NJ‡POE‡IW

 

 7UDQVPLVVLRQ 3DQHO 07 PRGHO RQO\

‡ &RQQHFW WKH EDWWHU\ JURXQG FDEOH

$WLI
$ ¤  (1*,1(

&5$1.6+$)7)52172,/6($/

$WLI

5(029$/
3UHSDUDWLRQ

‡ 'LVFRQQHFW EDWWHU\ JURXQG FDEOH

‡ 7LOW WKH FDE

‡ 'UDLQ FRRODQW

 7UDQVPLVVLRQ 3DQHO
07 PRGHO RQO\
(1*,1( $ ¤ 

 6WDUWHU

‡ 'LVFRQQHFW WKH EDWWHU\ FDEOH DW WKH VWDUWHU PRWRU

‡ 5HPRYH WKH VWDUWHU DVVHPEO\ IURP IO\ZKHHO KRXVLQJ

 5DGLDWRU 8SSHU +RVH

 &RRODQW 5HVHUYH 7DQN +RVH%\SDVV +RVH

 5DGLDWRU /RZHU +RVH

 5DGLDWRU ZLWK *XLGH

)RU WKH $7 PRGHO YHKLFOH UHPRYH WKH RLO FRROHU SLSH ILUVW

$WLI

 )DQ $VVHPEO\

 )DQ %HOW

$WLI

 &UDQNVKDIW 'DPSHU 3XOOH\

 8VH WKH FUDQNVKDIW VWRSSHU WR SUHYHQW WKH FUDQNVKDIW


IURP WXUQLQJ

&UDQNVKDIW 6WRSSHU 

 /RRVHQ WKH GDPSHU SXOOH\ EROWV DQG UHPRYH WKH


GDPSHU SXOOH\

$WLI

 &UDQNVKDIW )URQW 2LO 6HDO

&$87,21

%H FDUHIXO QRW WR GDPDJH WKH FUDQNVKDIW RLO VHDO


FRQWDFW VXUIDFH GXULQJ WKH UHPRYDO SURFHGXUH

$WLI
$ ¤  (1*,1(

 &UDQNVKDIW )URQW 6OLQJHU

8VH WKH VOLQJHU SXOOHU WR SXOO RXW WKH VOLQJHU

6OLQJHU 3XOOHU 

$WLI

,167$//$7,21
 &UDQNVKDIW )URQW 6OLQJHU

3UHVV LQ WKH VOLQJHU XVLQJ RLO VHDO VHWWLQJ WRRO NLW

2LO 6HDO 6HWWLQJ 7RRO .LW 

)URQW VOLQJHU DQG RLO VHDO VHWWLQJ WRROV

3DUW 1DPH 6WDPS 6OLQJHU 2LO 6HDO

$GDSWHU )7 { {
6OHHYH )7 { {
2LO VHDO DGDSWHU ULQJ )7 {
&HQWHU EROW  { {
/;WLI
$GDSWHU EROW  { {
 ,QVHUW WKH VOLQJHU c LQWR WKH HQG RI DGDSWHU d DQG
LQVWDOO WKH DGDSWHU RQ WKH FUDQNVKDIW

$WLI

 &RYHU WKH VOHHYH e DQG WLJKWHQ WKH EROW XQWLO WKH VOHHYH
FRPHV WR FRQWDFW WKH DGDSWHU VWRSSHU f

$WLI
(1*,1( $ ¤ 

 :LWK WKH VOLQJHU SUHVVHG LQ PDNH VXUH RI


PHDVXUHPHQWV VSHFLILHG LQ WKH LOOXVWUDWLRQ DV ZHOO DV RI
VOLQJHU GHIOHFWLRQ

$   ‘ PP  ‘  LQ

%   ‘ PP  ‘  LQ

127(

%H VXUH WR UHSODFH WKH VOLQJHU DQG RLO VHDO DV D VHW

8VH DERXW  PP WKLFNQHVV SODLQ ZDVKHU RQ WKH FHQWHU

EROW

$WLI

 &UDQNVKDIW )URQW 2LO 6HDO

 $SSO\ HQJLQH RLO WR WKH OLS RI WKH RLO VHDO

 3UHVV LQ WKH RLO VHDO XVLQJ WKH IURQW RLO VHDO VHWWLQJ WRRO
NLW

‡ 5HPRYH WKH VOLQJHU VOHHYH DQG LQVHUW WKH RLO VHDO g


LQWR WKH DGDSWHU d
‡ ,QVWDOO WKH RLO VHDO VOHHYH h WR WKH DGDSWHU d DQG
WLJKWHQ WKH FHQWHU EROW XQWLO WKH VOHHYH FRPHV WR FRQWDFW
WKH DGDSWHU VWRSSHU i
$WLI

‡ :LWK WKH RLO VHDO SUHVVHG LQ PDNH VXUH RI WKH


PHDVXUHPHQWV VSHFLILHG LQ WKH LOOXVWUDWLRQ

&   ‘  PP  ‘  LQ

127(

%H VXUH WR UHSODFH WKH VOLQJHU DQG RLO VHDO DV D VHW

8VH DERXW  PP WKLFNQHVV SODLQ ZDVKHU RQ WKH FHQWHU

EROW

$WLI

 &UDQNVKDIW 'DPSHU 3XOOH\

 $SSO\ D FRDW RI HQJLQH RLO WR WKH WKUHDGV RI WKH EROWV

 $OLJQ WKH GDPSHU SXOOH\ ZLWK WKH FUDQNVKDIW NQRFN SLQ


DQG WLJKWHQ WKH EROWV WR WKH VSHFLILHG WRUTXH LQ
QXPHULFDO RUGHU

'DPSHU 3XOOH\ %ROW 7RUTXH 1‡P NJ‡POE‡IW

 

$WLI

 )DQ %HOW

&KHFN WKH GULYH EHOW WHQVLRQ

'HSUHVV WKH GULYH EHOW PLGSRUWLRQ ZLWK D 1 NJ,E


IRUFH

'ULYH %HOW 'HIOHFWLRQ PP LQ

       1HZ EHOW


       5HXVH EHOW

&KHFN WKH GULYH EHOW IRU FUDQNLQJ DQG RWKHU GDPDJH


$WLI
$ ¤  (1*,1(

)DQ %HOW $GMXVWPHQW

)DQ EHOW WHQVLRQ LV DGMXVWHG E\ PRYLQJ WKH JHQHUDWRU

7RUTXH 1‡P NJ‡POE‡IW

c  

d  

e  

$WLI

 )DQ $VVHPEO\

)DQ %ROW 7RUTXH 1‡P NJ‡POE‡IW

 

$WLI

 5DGLDWRU ZLWK *XLGH

5DGLDWRU %ROW 7RUTXH 1‡P NJ‡POE‡IW

 

 5DGLDWRU /RZHU +RVH

 &RRODQW UHVHUYH 7DQN +RVH%\SDVV +RVH

 5DGLDWRU 8SSHU +RVH

$WLI

 6WDUWHU

6WDUWHU %ROW 7RUTXH 1‡P NJ‡POE‡IW

 

 7UDQVPLVVLRQ 3DQHO
07 PRGHO RQO\

‡ &RQQHFW EDWWHU\ JURXQG FDEOH

‡ 3RXU HQJLQH FRRODQW LQWR HQJLQH

$WLI
(1*,1( $ ¤ 

&5$1.6+$)75($52,/6($/

$WLI

5(029$/
3UHSDUDWLRQ

‡ 'LVFRQQHFW EDWWHU\ JURXQG FDEOH

 7UDQVPLVVLRQ 3DQHO 07 PRGHO RQO\

 6WDUWHU

 'LVFRQQHFW WKH EDWWHU\ FDEOH DW WKH VWDUWHU PRWRU

 5HPRYH WKH VWDUWHU DVVHPEO\ IURP IO\ZKHHO KRXVLQJ

 7UDQVPLVVLRQ $VVHPEO\

$ERYH ZRUNV UHIHU WR ¦(1*,1( $66(0%/<§ VHFWLRQ LQ WKLV


PDQXDO

$WLI
$ ¤  (1*,1(

 &OXWFK 3UHVVXUH 3ODWH $VVHPEO\

 'ULYHQ 3ODWH

 )O\ZKHHO $VVHPEO\

$ERYH ZRUNV UHIHU WR ¦)/<:+((/ $1' 3,/27 %($5,1*§

VHFWLRQ LQ WKLV PDQXDO

)RU WKH $7 YHKLFOH ORRVHQ WKH IO\ZKHHO IL[LQJ EROW DQG WKHQ

UHPRYH WKH ZDVKHU WKH IOH[LEOH SODWH WKH IO\ZKHHO DQG WKH

VOHHYH LQ WKLV RUGHU

$WLI

 &UDQNVKDIW 5HDU 2LO 6HDO

&$87,21

%H FDUHIXO QRW WR GDPDJH WKH FUDQNVKDIW RLO VHDO

FRQWDFW VXUIDFH GXULQJ WKH UHPRYDO SURFHGXUH

$WLI

 &UDQNVKDIW 5HDU 6OLQJHU

8VH WKH VOLQJHU SXOOHU WR SXOO RXW WKH VOLQJHU

6OLQJHU 3XOOHU 

$WLI
(1*,1( $ ¤ 

,167$//$7,21
 &UDQNVKDIW 5HDU 6OLQJHU

3UHVV LQ WKH VOLQJHU XVLQJ RLO VHDO VHWWLQJ WRRO NLW

‡ ,QVHUW WKH VOLQJHU ? LQWR WKH HQG RI DGDSWHU @ DQG


LQVWDOO WKH DGDSWHU RQ WKH FUDQNVKDIW

$WLI

‡ &RYHU WKH VOHHYH A DQG WLJKWHQ WKH EROW XQWLO WKH VOHHYH
FRPHV WR FRQWDFW WKH DGDSWHU VWRSSHU B

$WLI
‡ 0DNH VXUH RI PHDVXUHPHQWV VSHFLILHG LQ WKH LOOXVWUDWLRQ
DV ZHOO DV RI VOLQJHU GHIOHFWLRQ

$  ‘ PP  ‘  LQ

%  ‘ PP  ‘  LQ

127(

%H VXUH WR UHSODFH WKH VOLQJHU DQG RLO VHDO DV D VHW

2LO 6HDO 6HWWLQJ 7RRO .LW 

5HDU VOLQJHU DQG RLO VHDO VHWWLQJ WRROV

3DUW 1DPH 6WDPS 6OLQJHU 2LO 6HDO

$GDSWHU 55 { {
$WLI
6OHHYH 55 { {
2LO VHDO DGDSWHU ULQJ 55 {
&HQWHU EROW  { {
$GDSWHU EROW  { {
$GDSWHU EROW FROODU 55 { {

/;WLI
$ ¤  (1*,1(

 &UDQNVKDIW 5HDU 2LO 6HDO

 $SSO\ HQJLQH RLO WR WKH OLS RI WKH RLO VHDO

 3UHVV LQ WKH RLO VHDO XVLQJ UHDU RLO VHDO VHWWLQJ WRRO NLW

‡ 5HPRYH WKH VOLQJHU VOHHYH DQG LQVHUW WKH RLO VHDO C


LQWR WKH DGDSWHU @
‡ ,QVWDOO WKH DWDSWHU ULQJ LQWR WKH VOHHYH

‡ ,QVWDOO WKH RLO VHDO VOHHYH D WR WKH DGDSWHU @ DQG


WLJKWHQ WKH FHQWHU EROW XQWLO WKH VOHHYH FRPHV WR FRQWDFW
WKH DGDSWHU VWRSSHU E
$WLI

‡ 0DNH VXUH RI WKH PHDVXUHPHQWV VSHFLILHG LQ WKH


LOOXVWUDWLRQ

&   ‘ PP  ‘  LQ

/;WLI

 )O\ZKHHO $VVHPEO\

 $SSO\ D FRDW RI PRO\EGHQXP GLVXOILGH JUHDVH WR WKH


IO\ZKHHO EROW WKUHDGV DQG VHWWLQJ IDFHV

 $OLJQ WKH IO\ZKHHO ZLWK WKH FUDQNVKDIW NQRFN SLQ DQG


WHPSRUDULO\ WLJKWHQ WKH IO\ZKHHO EROWV

 8VH WKH FUDQNVKDIW VWRSSHU WR SUHYHQW WKH FUDQNVKDIW


IURP WXUQLQJ

&UDQNVKDIW 6WRSSHU 

 ,QVWDOO WKH ZDVKHU DQG WKH IO\ZKHHO EROWV DQG WLJKWHQ WR


WKH VSHFLILHG WRUTXH LQ QXPHULFDO RUGHU VKRZ LQ WKH
$WLI
LOOXVWUDWLRQ

)O\ZKHHO %ROW 7RUTXH 1‡P NJ‡POE‡IW

VW VWHS QG VWHS

  ƒƒ

 5HPRYH WKH FUDQNVKDIW VWRSSHU

 'ULYHQ 3ODWH

 &OXWFK 3UHVVXUH 3ODWH $VVHPEO\

$ERYH ZRUNV UHIHU WR ¦)/<:+((/ $1' 3,/27 %($5,1*§


VHFWLRQ LQ WKLV PDQXDO
(1*,1( $ ¤ 

)RU $7 PRGHO

 $OLJQ WKH NQRFN SLQ RQ WKH FUDQNVKDIW WR LQVWDOO WKH


IO\ZKHHO

 ,QVWDOO WKH IOH[LEOH SODWH ZLWK DOLJQPHQW PDUN  PP


GLDPHWHU GHQW RQ WKH IO\ZKHHO DQG  PP GLDPHWHU ZKLWH
SDLQW RQ WKH IOH[LEOH SODWH DQG ZDVKHU

 $SSO\ PRO\EGHQXP GLVXOILGH JUHDVH WR WKH EROW WKUHDG


DQG VHDW WR LQVWDOO WKH IO\ZKHHO IL[LQJ KROH

7LJKWHQ EROW WR WZR VWDJH WLJKWHQLQJ PHWKRG LQ WKH


QXPHULFDO RUGHU

VW VWHS  1‡P  ,EIW


/;WLI

QG VWHS    GHJUHHV

 7UDQVPLVVLRQ $VVHPEO\

$ERYH ZRUNV UHIHU WR ¦(1*,1( $66(0%/<§ VHFWLRQ LQ WKLV


PDQXDO

 6WDUWHU

6WDUWHU %ROW 7RUTXH 1‡P NJ‡POE‡IW

 

 7UDQVPLVVLRQ 3DQHO 07 PRGHO RQO\

‡ &RQQHFW WKH EDWWHU\ JURXQG FDEOH

$WLI
$ ¤  (1*,1(

&5$1.6+$)7

$WLI
(1*,1( $ ¤ 

5(029$/
3UHSDUDWLRQ

‡ 'LVFRQQHFW EDWWHU\ JURXQG FDEOH

‡ 7LOW WKH FDE

‡ 'UDLQ FRRODQW DQG HQJLQH RLO

 (QJLQH $VVHPEO\

$ERYH ZRUNV UHIHU WR ¦(1*,1( $66(0%/<§ VHFWLRQ LQ WKLV

PDQXDO

 1R]]OH &RYHU

 &\OLQGHU +HDG &RYHU

 &\OLQGHU +HDG &RYHU *DVNHW

 5RFNHU $UP 6KDIW $VVHPEO\

$ERYH ZRUNV UHIHU WR ¦52&.(5 $50 6+$)7 $66(0%/<§

VHFWLRQ LQ WKLV PDQXDO

 9DOYH &DS

 &DPVKDIW %HDULQJ &DS

 &DPVKDIW %HDULQJ 8SSHU

 &DPVKDIW $VVHPEO\

 &DPVKDIW %HDULQJ /RZHU

$ERYH ZRUNV UHIHU WR ¦&$06+$)7 $66(0%/<§ VHFWLRQ LQ

WKLV PDQXDO

 &\OLQGHU +HDG $VVHPEO\

$ERYH ZRUNV UHIHU WR ¦&</,1'(5 +($'§ VHFWLRQ LQ WKLV

PDQXDO

 &\OLQGHU +HDG *DVNHW

&$87,21

'R QRW UHXVH WKH F\OLQGHU KHDG JDVNHW

$WLI

 &OXWFK 3UHVVXUH 3ODWH $VVHPEO\

 'ULYHQ 3ODWH

$ERYH ZRUNV UHIHU WR ¦)/<:+((/ $1' 3,/27 %($5,1*§

VHFWLRQ LQ WKLV PDQXDO

 (QJLQH &RQWURO :LUH

 (QJLQH &RQWURO /HYHU $VVHPEO\

 2LO 3LSH

$WLI

 2LO )LOWHU $VVHPEO\


$ ¤  (1*,1(

 9DFXXP 3XPS 2LO 3LSH

 9DFXXP 3XPS 5XEEHU +RVH

 )DQ %HOW

 *HQHUDWRU

$WLI

 (QJLQH )RRW

$WLI

 ,QMHFWLRQ 3XPS $VVHPEO\

 5HPRYH WKH LQMHFWLRQ SXPS EUDFNHW EROWV DQG WKH


LQMHFWLRQ SXPS UHDU EUDFNHW EROWV

 7KHQ UHPRYH WKH LQMHFWLRQ SXPS DVVHPEO\

$WLI

 )DQ %HOW $GMXVW 3ODWH

$WLI

 *HQHUDWRU %UDFNHW

$WLI
(1*,1( $ ¤ 

 &UDQNVKDIW 'DPSHU 3XOOH\

 8VH WKH FUDQNVKDIW VWRSSHU WR SUHYHQW WKH FUDQNVKDIW


IURP WXUQLQJ

&UDQNVKDIW 6WRSSHU

 /RRVHQ WKH GDPSHU SXOOH\ EROWV DQG UHPRYH WKH


GDPSHU SXOOH\

$WLI

 &UDQNVKDIW )URQW 2LO 6HDO

 &UDQNVKDIW )URQW 6OLQJHU

$ERYH ZRUNV UHIHU WR ¦&5$1.6+$)7 )5217 2,/ 6($/§


VHFWLRQ LQ WKLV PDQXDO

 )O\ZKHHO $VVHPEO\

 8VH WKH FUDQNVKDIW VWRSSHU WR SUHYHQW WKH FUDQNVKDIW


IURP WXUQLQJ

&UDQNVKDIW 6WRSSHU

 /RRVHQ WKH IO\ZKHHO EROWV LQ QXPHULFDO RUGHU D OLWWOH DW D


WLPH DV VKRZQ LQ WKH LOOXVWUDWLRQ

 5HPRYH WKH IO\ZKHHO VWRSSHU DQG WKH IO\ZKHHO


DVVHPEO\

$WLI

)RU WKH $7 YHKLFOH ORRVHQ ILUVW WKH IO\ZKHHO IL[LQJ EROW DQG
WKHQ UHPRYH WKH ZDVKHU WKH IOH[LEOH SODWH WKH IO\ZKHHO DQG
WKH VOHHYH LQ WKLV RUGHU

$WLI

 &UDQNVKDIW 5HDU 2LO 6HDO

 &UDQNVKDIW 5HDU 6OLQJHU

$ERYH ZRUNV UHIHU WR ¦&5$1.6+$)7 5($5 2,/ 6($/§


VHFWLRQ LQ WKLV PDQXDO

 6SDFHU 5XEEHU 1.5 PRGHO RQO\

)RU WKH :' PRGHO YHKLFOH UHPRYH WKH VWLIIHQHU EHIRUH


UHPRYLQJ WKH VSDFHU UXEEHU

 2LO 3DQ


$ ¤  (1*,1(

 2LO 3XPS 6WUDLQHU

 :DWHU 3XPS 3XOOH\

 :DWHU 3XPS

$WLI

 )URQW 5HWDLQHU

,QVWDOO WKH WKUHH IURQW UHWDLQHU IL[LQJ EROWV WR WKH IURQW

UHWDLQHU UHSODFHU KROHV DV VKRZQ LQ WKH LOOXVWUDWLRQ DQG

WLJKWHQ WKH EROWV DOWHUQDWHO\ D OLWWOH DW D WLPH

/;WLI

 2LO 7KHUPR 9DOYH +) +) +* +*7

3XOO RXW WKH WKHUPR YDOYH IURP WKH F\OLQGHU ERG\

$WLI

 %\SDVV 9DOYH +(7 +(7&

3XOO RXW WKH E\SDVV YDOYH IURP WKH F\OLQGHU ERG\

$WLI
(1*,1( $ ¤ 

 3RZHU 6WHHULQJ 3XPS ,GOH *HDU &RYHU

 3RZHU 6WHHULQJ 3XPS ,GOH *HDU

 )O\ZKHHO +RXVLQJ

 ,GOH *HDU $

 2LO 3XPS $VVHPEO\

$ERYH ZRUNV UHIHU WR ¦7,0,1* *($5 5(3/$&(0(17§


VHFWLRQ LQ WKLV PDQXDO

 &RQQHFWLQJ 5RG &DS

 &RQQHFWLQJ 5RG /RZHU %HDULQJ

 3LVWRQ DQG &RQQHFWLQJ 5RG $VVHPEO\

$ERYH ZRUNV UHIHU WR ¦3,6721 $1' &211(&7,1* 52'§


VHFWLRQ LQ WKLV PDQXDO

 &UDQNFDVH

 /RRVHQ WKH FUDQNFDVH EROWV LQ QXPHULFDO RUGHU D OLWWOH


DW D WLPH

 ,QVWDOO WKH WKUHH FUDQNFDVH IL[LQJ EROWV 6HH OHIW DUURZ


PDUNV WR WKH FUDQNFDVH UHSODFHU KROHV DV VKRZQ LQ
WKH LOOXVWUDWLRQ DQG WLJKWHQ WKH EROWV DOWHUQDWH D OLWWOH DW
D WLPH

127(

:KHQ UHPRYLQJ WKH FUDQNFDVH EH VXUH WR UHPRYH WKH

RLO SXPS DQG WKH JHQHUDWRU EUDFNHW EHIRUH WKDW


/;WLI

 7KUXVW %HDULQJ /RZHU

 &UDQNVKDIW %HDULQJ /RZHU

$WLI

 &UDQNVKDIW $VVHPEO\

 7KUXVW %HDULQJ 8SSHU

 &UDQNVKDIW %HDULQJ 8SSHU

$WLI
$ ¤  (1*,1(

 &UDQNVKDIW *HDU

 8VH WKH FUDQNVKDIW JHDU UHPRYHU WR UHPRYH WKH


FUDQNVKDIW JHDU

&UDQNVKDIW *HDU 5HPRYHU 

 5HPRYH WKH FUDQNVKDIW IHDWKHU NH\

 &UDQNVKDIW

$WLI

,167$//$7,21
 &UDQNVKDIW

 &UDQNVKDIW *HDU

 8VH D SLVWRQ KHDWHU WR KHDW WKH FUDQNVKDIW JHDU WR ƒ


 ƒ& ƒ  ƒ) 

 :LWK WKH DOLJQPHQW PDUN ¦6§ RQ WKH VLGH RI WKH


FUDQNVKDIW JHDU WXUQHG RXWZDUG DOLJQ WKH JURRYH RQ WKH
JHDU VLGH ZLWK WKH FUDQNVKDIW SLQ SRVLWLRQ DQG KDPPHU
LW LQ ZLWK D FUDQNVKDIW JHDU LQVWDOOHU XQWLO LW KLWV WKH
ERWWRP

&$87,21
$WLI
:KHQ KDPPHUHG LQ ZLWK WKH JHDU VODQWHG WKH

FUDQNVKDIW JHDU PD\ EH FDXJKW LQ WKH PLGGOH DQG

FDQQRW EH KDPPHUHG LQ IXOO\ *HDU LW LQ TXLFNO\ HQRXJK

QRW WR DOORZ D VKDIW OLQH DORQJ WKH JHDU DQG WKH

FUDQNVKDIW WR VODQW

&UDQNVKDIW *HDU ,QVWDOOHU

 &UDQNVKDIW %HDULQJ 8SSHU

:KHQ UHSODFLQJ WKH FUDQNVKDIW RU WKH FUDQNVKDIW EHDULQJ


ZLWK D QHZ RQH VHOHFW WKH FUDQNVKDIW EHDULQJ DFFRUGLQJ WR
WKH UHVSHFWLYH JUDGHV VWDPSHG RQ WKH FUDQNVKDIW DQG WKH
F\OLQGHU ERG\

5HIHU WR WKH ¦&5$1.6+$)7§ LQ WKLV VHFWLRQ $

$OO XSSHU EHDULQJV KDYH RLO JURRYHV

 &DUHIXOO\ ZLSH DQ\ IRUHLJQ PDWHULDO IURP WKH XSSHU


EHDULQJ

$WLI

&$87,21

'R QRW DSSO\ HQJLQH RLO WR WKH EHDULQJ EDFN IDFHV DQG

WKH F\OLQGHU ERG\ EHDULQJ ILWWLQJ VXUIDFHV

 /RFDWH WKH SRVLWLRQ PDUN DSSOLHG DW GLVDVVHPEO\ LI WKH


UHPRYHG XSSHU EHDULQJV DUH WR EH UHXVHG
(1*,1( $ ¤ 

 7KUXVW %HDULQJ 8SSHU

,QVWDOO WKH WKUXVW EHDULQJ XSSHU WR WKH IURQW VLGH RI WKH


F\OLQGHU ERG\ 1R MRXUQDO $W WKLV WLPH WKH WKUXVW EHDULQJ
XSSHU PD\ EH SDVWHG WR WKH F\OLQGHU ERG\ ZLWK JUHDVH
+RZHYHU EH VXUH WR ZLSH RII DQ\ H[FHVVLYH JUHDVH

&$87,21

7KH WKUXVW EHDULQJ RLO JURRYHV PXVW EH IDFLQJ WKH

VOLGLQJ IDFHV

$WLI

 &UDQNVKDIW $VVHPEO\

$SSO\ DQ DPSOH FRDW RI HQJLQH RLO WR WKH FUDQNVKDIW MRXUQDOV


DQG WKH FUDQNVKDIW EHDULQJ VXUIDFHV EHIRUH LQVWDOOLQJ WKH
FUDQNVKDIW ZLWK WLPLQJ JHDU

‡ :KLOH SUHVVLQJ RQ WKH LQVWDOOHG FUDQNVKDIW WRZDUG WKH


UHDU VLGH LQVHUW WKH WKUXVW EHDULQJ XSSHU LQWR WKH UHDU
VLGH RI WKH F\OLQGHU ERG\ 1R MRXUQDO

7KH WKUXVW EHDULQJ RLO JURRYHV PXVW EH IDFLQJ WKH

VOLGLQJ IDFHV

 &UDQNVKDIW %HDULQJ /RZHU


$WLI
$OO ORZHU EHDULQJV GRHV QRW KDYH RLO JURRYHV

 &DUHIXOO\ ZLSH DQ\ IRUHLJQ PDWHULDO IURP WKH ORZHU


EHDULQJ

&$87,21

'R QRW DSSO\ HQJLQH RLO WR WKH EHDULQJ EDFN IDFHV DQG

WKH FUDQNFDVH EHDULQJ ILWWLQJ VXUIDFHV

 /RFDWH WKH SRVLWLRQ PDUN DSSOLHG DW GLVDVVHPEO\ LI WKH


UHPRYHG ORZHU EHDULQJV DUH WR EH UHXVHG

 7KUXVW %HDULQJ /RZHU

,QVWDOO WKH WKUXVW EHDULQJ ORZHU WR WKH UHDU VLGH RI WKH


FUDQNFDVH 1R MRXUQDO

7KH WKUXVW EHDULQJ RLO JURRYHV PXVW EH IDFLQJ WKH

VOLGLQJ IDFHV

$WLI
$ ¤  (1*,1(

 &UDQNFDVH

 $SSO\ D PP  LQFK EHDG RI UHFRPPHQGHG OLTXLG


JDVNHW 7KUHH %RQG & RU LWV HTXLYDOHQW WR WKH
FUDQNFDVH XSSHU VXUIDFH DV VKRZQ LQ WKH LOOXVWUDWLRQ

 &DUHIXOO\ SODFH WKH FUDQNFDVH RQ WKH F\OLQGHU ERG\

‡ ,QVWDOO WKH FUDQNFDVH ZLWKLQ  PLQXWHV DIWHU DSSOLFDWLRQ


RI OLTXLG JDVNHW

$WLI

 7LJKWHQ WKH FUDQNFDVH WR WKH VSHFLILHG WRUTXH LQ WKH


QXPHULFDO RUGHU VKRZQ LQ WKH LOOXVWUDWLRQ

&UDQNFDVH %ROW 7RUTXH 0 a  1‡P NJ‡POE‡IW

VW VWHS QG VWHS UG VWHS

    ƒ  ƒ

&UDQNFDVH %ROW 7RUTXH 0  a  1‡P NJ‡POE‡IW

 

$WLI
$QJOH JDXJH 

 3LVWRQ DQG &RQQHFWLQJ 5RG $VVHPEO\

 &RQQHFWLQJ 5RG %HDULQJ

 &RQQHFWLQJ 5RG &DS

$ERYH ZRUNV UHIHU WR ¦3,6721 $1' &211(&7,1* 52'§


VHFWLRQ LQ WKLV PDQXDO

 2LO 3XPS $VVHPEO\

 ,GOH *HDU $

$ERYH ZRUNV UHIHU WR ¦2,/ 3803 $66(0%/<§ VHFWLRQ LQ


WKLV PDQXDO
(1*,1( $ ¤ 

 )O\ZKHHO +RXLVQJ

 3RZHU 6WHHULQJ 3XPS ,GOH *HDU

 3RZHU 6WHHULQJ 3XPS ,GOH *HDU &RYHU

 2LO 7KHUPR 9DOYH

$ERYH ZRUNV UHIHU WR ¦7,0,1* *($5 5(3/$&(0(17§


VHFWLRQ LQ WKLV PDQXDO

 )URQW 5HWDLQHU

 &DUHIXOO\ ZLSH DQ\ IRUHLJQ PDWHULDO IURP WKH F\OLQGHU


ERG\ IURQW IDFH

 $SSO\ PPPP EHDG RI WKH UHFRPPHQGHG OLTXLG


JDVNHW 7KUHH %RQG & RU LWV HTXLYDOHQW RQ WKH
JURRYH RI WKH IURQW UHWDLQHU ILWWLQJ VXUIDFH VKRZQ LQ WKH
LOOXVWUDWLRQ

 ,QVWDOO WKH 2ULQJV  SLHFHV WR WKH IURQW UHWDLQHU

‡ ,QVWDOO WKH IURQW UHWDLQHU ZLWKLQ  PLQXWHV DIWHU


DSSOLFDWLRQ RI OLTXLG JDVNHW
$WLI
‡ )RU WKH GLVORFDWLRQ RI OLTXLG JDVNHW UHIHU WR WKH
LOOXVWUDWLRQ

 $OLJQ WKH F\OLQGHU ERG\ NQRFN SLQV ZLWK WKH IURQW


UHWDLQHU NQRFN SLQ KROHV

)URQW 5HWDLQHU %ROW 7RUTXH 1‡P NJ‡POE‡IW

 

$WLI

 :DWHU 3XPS $VVHPEO\

 $SSO\ PPPP EHDG RI WKH UHFRPPHQGHG OLTXLG


JDVNHW 7KUHH %RQG & RU LWV HTXLYDOHQW RQ WKH
ZDWHU SXPS ILWWLQJ VXUIDFH

 ,QVWDOO WKH ZDWHU SXPS WR WKH IURQW UHWDLQHU

:DWHU 3XPS %ROW 7RUTXH 1‡P NJ‡POE‡IW

 

‡ ,QVWDOO WKH ZDWHU SXPS ZLWKLQ  PLQXWHV DIWHU DSSOLFDWLRQ

$WLI
RI OLTXLG JDVNHW

‡ )RU WKH GLVORFDWLRQ RI OLTXLG JDVNHW UHIHU WR WKH


LOOXVWUDWLRQ

&$87,21

7KH ZDWHU SXPS FODPSLQJ EROW LV DOVR XVHG WR WLJKWHQ

WKH IURQW UHWDLQHU 6R LQVWDOO WKH ZDWHU SXPS EHIRUH

OLTXLG JDVNHW JHWV GU\ LPPHGLDWHO\ DIWHU LQVWDOODWLRQ RI

WKH IURQW UHWDLQHU


$ ¤  (1*,1(

 :DWHU 3XPS 3XOOH\

:DWHU 3XPS 3XOOH\ %ROW 7RUTXH 1‡P NJ‡POE‡IW

 

$WLI

 2LO 3XPS 6WUDLQHU

,QVWDOO WKH 2ULQJ ? WR WKH RLO SXPS VWUDLQHU SLSH DQG LQVWDOO
WKH RLO SXPS VWUDLQHU WR WKH F\OLQGHU ERG\ VKRZQ LQ WKH
LOOXVWUDWLRQ

2LO 3XPS 6WUDLQHU %ROW 7RUTXH 1‡P NJ‡POE‡IW

  

$WLI

 2LO 3DQ

 6SDFHU 5XEEHU 1.5 PRGHO RQO\

$ERYH ZRUNV UHIHU WR ¦2,/ 3$1§ VHFWLRQ LQ WKLV PDQXDO

 &UDQNVKDIW 5HDU 6OLQJHU

 &UDQNVKDIW 5HDU 2LO 6HDO

$ERYH ZRUNV UHIHU WR ¦&5$1.6+$)7 5($5 2,/ 6($/§


VHFWLRQ LQ WKLV PDQXDO

 )O\ZKHHO $VVHPEO\

 $OLJQ WKH IO\ZKHHO ZLWK WKH FUDQNVKDIW NQRFN SLQ DQG


WHPSRUDULO\ WLJKWHQ WKH IO\ZKHHO EROWV

 8VH WKH FUDQNVKDIW VWRSSHU WR SUHYHQW WKH FUDQNVKDIW


IURP WXUQLQJ

&UDQNVKDIW 6WRSSHU 

$WLI
 ,QVWDOO WKH ZDVKHU DQG WKH IO\ZKHHO EROWV DQG WLJKWHQ WR
WKH VSHFLILHG WRUTXH LQ QXPHULFDO RUGHU VKRZ LQ WKH
LOOXVWUDWLRQ

)O\ZKHHO %ROW 7RUTXH 1‡P NJ‡POE‡IW

VW VWHS QG VWHS

  ƒ ƒ

 5HPRYH WKH FUDQNVKDIW VWRSSHU


(1*,1( $ ¤ 

)RU $7 PRGHO

 $OLJQ WKH NQRFN SLQ RQ WKH FUDQNVKDIW WR LQVWDOO WKH


IO\ZKHHO

 ,QVWDOO WKH IOH[LEOH SODWH ZLWK DOLJQPHQW PDUN  PP


GLDPHWHU GHQW RQ WKH IO\ZKHHO DQG  PP GLDPHWHU ZKLWH
SDLQW RQ WKH IOH[LEOH SODWH DQG ZDVKHU

 $SSO\ PRO\EGHQXP GLVXOILGH JUHDVH WR WKH EROW WKUHDG


DQG VHDW WR LQVWDOO WKH IO\ZKHHO IL[LQJ KROH

7LJKWHQ EROW WR WZR VWDJH WLJKWHQLQJ PHWKRG LQ WKH


QXPHULFDO RUGHU

/;WLI
VW VWHS  1‡P  ,EIW

QG VWHS    GHJUHHV

 &UDQNVKDIW )URQW 6OLQJHU

 &UDQNVKDIW )URQW 2LO 6HDO

$ERYH ZRUNV UHIHU WR ¦&5$1.6+$)7 )5217 2,/ 6($/§


VHFWLRQ LQ WKLV PDQXDO

 &UDQNVKDIW 'DPSHU 3XOOH\

 $SSO\ D FRDW RI HQJLQH RLO WR WKH WKUHDGV RI WKH EROWV

 $OLJQ WKH GDPSHU SXOOH\ ZLWK WKH FUDQNVKDIW NQRFN SLQ


DQG WLJKWHQ WKH EROWV WR WKH VSHFLILHG WRUTXH LQ
QXPHULFDO RUGHU

'DPSHU 3XOOH\ %ROW 7RUTXH 1‡P NJ‡POE‡IW

 

$WLI

 *HQHUDWRU %UDFNHW

*HQHUDWRU %UDFNHW %ROW 7RUTXH 1‡P NJ‡POE‡IW

 

$WLI

 )DQ %HOW $GMXVW 3ODWH

,QVWDOO WKH DGMXVW SODWH DQG WHPSRUDULO\ WLJKWHQ WKH DGMXVW


SODWH EROW

$WLI

 ,QMHFWLRQ 3XPS $VVHPEO\

$ERYH ZRUNV UHIHU WR ¦,1-(&7,21 3803 $66(0%/<§


VHFWLRQ & LQ WKLV PDQXDO
$ ¤  (1*,1(

 (QJLQH )RRW

(QJLQH )RRW %ROW 7RUTXH 1‡P NJ‡POE‡IW

 

$WLI

 *HQHUDWRU

127(

:KHQ WLJKWHQLQJ WKH JHQHUDWRU WLJKWHQ LQ DGYDQFH WKH

IDQ EHOW WHPSRUDULO\ DIWHU LWV DGMXVWPHQW

‡ ,QVHUW WKURXJK WKH ORZHU IL[LQJ EROW IURP WKH UHDU VLGH DV
VKRZQ LQ WKH LOOXVWUDWLRQ DQG WLJKWHQ LW ZLWK D QXW RQ WKH
IURQW VLGH

$WLI

 )DQ %HOW

&KHFN WKH GULYH EHOW WHQVLRQ

'HSUHVV WKH GULYH EHOW PLGSRUWLRQ ZLWK D 1 NJ,E


IRUFH

'ULYH %HOW 'HIOHFWLRQ PP LQ

       1HZ EHOW


       5HXVH EHOW

&KHFN WKH GULYH EHOW IRU FUDQNLQJ DQG RWKHU GDPDJH


$WLI

)DQ %HOW $GMXVWPHQW

)DQ EHOW WHQVLRQ LV DGMXVWHG E\ PRYLQJ WKH JHQHUDWRU

7RUTXH 1‡P NJ‡POE‡IW

?  

@  

A  

$WLI

 9DFXXP 3XPS 5XEEHU +RVH

 9DFXXP 3XPS 2LO 3LSH

&\OLQGHU %RG\ 6LGH 1‡P NJ‡POE‡IW

 

*HQHUDWRU 6LGH 1‡P NJ‡POE‡IW

 

$WLI
(1*,1( $ ¤ 

 2LO )LOWHU $VVHPEO\

2LO )LOWHU %ROW 7RUTXH 1‡P NJ‡POE‡IW

 

$WLI

 2LO 3LSH

2LO 3LSH -RLQW %ROW 7RUTXH 1‡P NJ‡POE‡IW

 

$WLI

 (QJLQH &RQWURO /HYHU $VVHPEO\

(QJLQH &RQWURO /HYHU %ROW 7RUTXH 1‡P NJ‡POE‡IW

 

 (QJLQH &RQWURO :LUH

$WLI

 'ULYHQ 3ODWH

 &OXWFK 3UHVVXUH 3ODWH $VVHPEO\

$ERYH ZRUNV UHIHU WR ¦)/<:+((/ $1' 3,/27 %($5,1*§


VHFWLRQ LQ WKLV PDQXDO

 &\OLQGHU +HDG *DVNHW

$ERYH ZRUNV UHIHU WR ¦&</,1'(5 +($'§ VHFWLRQ LQ WKLV


PDQXDO

 &\OLQGHU +HDG $VVHPEO\

$ERYH ZRUNV UHIHU WR ¦&</,1'(5 +($'§ VHFWLRQ LQ WKLV


PDQXDO

 &DPVKDIW %HDULQJ /RZHU

 &DPVKDIW $VVHPEO\

 &DPVKDIW %HDULQJ 8SSHU

 &DPVKDIW %HDULQJ &DS

 9DOYH &DS

$ERYH ZRUNV UHIHU WR ¦&$06+$)7 $66(0%/<§ VHFWLRQ LQ


WKLV PDQXDO

 5RFNHU $UP 6KDIW $VVHPEO\

$ERYH ZRUNV UHIHU WR ¦52&.(5 $50 6+$)7 $66(0%/<§


VHFWLRQ LQ WKLV PDQXDO
$ ¤  (1*,1(

 +HDG &RYHU *DVNHW

$ERYH ZRUNV UHIHU WR ¦&</,1'(5 +($'§ VHFWLRQ LQ WKLV

PDQXDO

 &\OLQGHU +HDG &RYHU

$ERYH ZRUNV UHIHU WR ¦52&.(5 $50 6+$)7 $66(0%/<§

VHFWLRQ LQ WKLV PDQXDO

 1R]]OH &RYHU

 (QJLQH $VVHPEO\

$ERYH ZRUNV UHIHU WR ¦(1*,1( $66(0%/<§ VHFWLRQ LQ WKLV

PDQXDO
(1*,1( $ ¤ 

&</,1'(5%/2&.

$WLI
$ ¤  (1*,1(

5(029$/
3UHSDUDWLRQ

‡ 'LVFRQQHFW EDWWHU\ JURXQG FDEOH

‡ 7LOW WKH FDE

‡ 'UDLQ FRRODQW DQG HQJLQH RLO

 (QJLQH $VVHPEO\

$ERYH ZRUNV UHIHU WR ¦(1*,1( $66(0%/<§ VHFWLRQ LQ WKLV


PDQXDO

 1R]]OH &RYHU

 &\OLQGHU +HDG &RYHU

 &\OLQGHU +HDG &RYHU *DVNHW

 5RFNHU $UP VKDIW $VVHPEO\

$ERYH ZRUNV UHIHU WR ¦52&.(5 $50 6+$)7 $66(0%/<§


VHFWLRQ LQ WKLV PDQXDO

 9DOYH &DS

&$87,21

7DNH VXIILFLHQW FDUH QRW WR OHW YDOYH FDSV IDOO LQWR WKH

JHDU FDVH RU RLO UHWXUQ KROH

 &DPVKDIW %HDULQJ &DS

 &DPVKDIW %HDULQJ 8SSHU

 &DPVKDIW $VVHPEO\

 &DPVKDIW %HDULQJ /RZHU

$ERYH ZRUNV UHIHU WR ¦&$06+$)7 $66(0%/<§ VHFWLRQ LQ


WKLV PDQXDO

 &\OLQGHU +HDG $VVHPEO\

$ERYH ZRUNV UHIHU WR ¦&</,1'(5 +($'§ VHFWLRQ LQ WKLV


PDQXDO

 &\OLQGHU +HDG *DVNHW

  &OXWFK 3UHVVXUH 3ODWH $VVHPEO\

 ,QVHUW WKH FOXWFK SLORW DOLJQHU WR WKH FOXWFK DVVHPEO\

&OXWFK 3LORW $OLJQHU 

 /RRVHQ WKH SUHVVXUH SODWH EROWV LQ QXPHULFDO RUGHU D


OLWWOH DW D WLPH DV VKRZQ LQ WKH LOOXVWUDWLRQ

 5HPRYH WKH SUHVVXUH SODWH DVVHPEO\

)RU WKH $7 YHKLFOH ORRVHQ ILUVW WKH IO\ZKHHO IL[LQJ EROW DQG
WKHQ UHPRYH WKH ZDVKHU WKH IOH[LEOH SODWH WKH IO\ZKHHO DQG
WKH VOHHYH LQ WKLV RUGHU

$WLI

 'ULYHQ 3ODWH

5HPRYH WKH GULYHQ SODWH ZLWK WKH FOXWFK SLORW DOLJQHU

? &OXWFK SLORW DOLJQHU

@ &OXWFK SUHVVXUH SODWH DVVHPEO\

A 'ULYHQ SODWH

$WLI
(1*,1( $ ¤ 

 (QJLQH &RQWURO :LUH

 (QJLQH &RQWURO /HYHU $VVHPEO\

 2LO 3LSH

$WLI

 2LO )LOWHU $VVHPEO\

 7DFKRPHWHU 6HQVRU

 )XHO 3LSH %UDFNHW

$WLI

 9DFXXP 3XPS 2LO 3LSH

 9DFXXP 3XPS 5XEEHU +RVH

 )DQ %HOW

 *HQHUDWRU

$WLI

 (QJLQH )RRW

$WLI

 ,QMHFWLRQ 3XPS $VVHPEO\

 5HPRYH WKH LQMHFWLRQ SXPS EUDFNHW EROWV DQG WKH


LQMHFWLRQ SXPS UHDU EUDFNHW EROWV

 7KHQ UHPRYH WKH LQMHFWLRQ SXPS DVVHPEO\

 ,QMHFWLRQ 3XPS 5XEEHU 6SDFHU

$WLI
$ ¤  (1*,1(

 ,GOH 3XOOH\ %UDFNHW ,I HTXLSSHG ZLWK $&

$WLI

 +HDWHU 3LSH

 :DWHU 6XFWLRQ 3LSH

$WLI

 2LO &RROHU $VVHPEO\

 5HPRYH WKH RLO FRROHU EROWV

 ,QVWDOO D RLO FRROHU IL[LQJ EROW WR WKH RLO FRROHU UHSODFHU


KROH DV VKRZQ LQ WKH LOOXVWUDWLRQ DQG WLJKWHQ WKH EROW
DOWHUQDWHO\ D OLWWOH DW D WLPH

/;WLI

 )DQ %HOW $GMXVW 3ODWH

$WLI

 *HQHUDWRU %UDFNHW

$WLI
(1*,1( $ ¤ 

 &RYHU

$WLI

 &UDQNVKDIW 'DPSHU 3XOOH\

 8VH WKH FUDQNVKDIW VWRSSHU WR SUHYHQW WKH FUDQNVKDIW


IURP WXUQLQJ

&UDQNVKDIW 6WRSSHU 

 /RRVHQ WKH GDPSHU SXOOH\ EROWV DQG UHPRYH WKH


GDPSHU SXOOH\

$WLI

 &UDQNVKDIW )URQW 2LO 6HDO

 &UDQNVKDIW )URQW 6OLQJHU

$ERYH ZRUNV UHIHU WR ¦&5$1.6+$)7 )5217 2,/ 6($/§


VHFWLRQ LQ WKLV PDQXDO

 )O\ZKHHO $VVHPEO\

 8VH WKH FUDQNVKDIW VWRSSHU WR SUHYHQW WKH FUDQNVKDIW


IURP WXUQLQJ

&UDQNVKDIW 6WRSSHU 

 /RRVHQ WKH IO\ZKHHO EROWV LQ QXPHULFDO RUGHU D OLWWOH DW D


WLPH DV VKRZQ LQ WKH LOOXVWUDWLRQ

 5HPRYH WKH IO\ZKHHO VWRSSHU DQG WKH IO\ZKHHO


DVVHPEO\

$WLI

)RU WKH $7 YHKLFOH ORRVHQ ILUVW WKH IO\ZKHHO IL[LQJ EROW DQG
WKHQ UHPRYH WKH ZDVKHU WKH IOH[LEOH SODWH WKH IO\ZKHHO DQG
WKH VOHHYH LQ WKLV RUGHU

$WLI
$ ¤  (1*,1(

 &UDQNVKDIW 5HDU 6HDO

 &UDQNVKDIW 5HDU 6OLQJHU

$ERYH ZRUNV UHIHU WR ¦&5$1.6+$)7 5($5 2,/ 6($/§

VHFWLRQ LQ WKLV PDQXDO

 6SDFHU 5XEEHU 1.5 PRGHO RQO\

)RU WKH :' PRGHO YHKLFOH UHPRYH WKH VWLIIHQHU EHIRUH

UHPRYLQJ WKH VSDFHU UXEEHU

 2LO 3DQ

 2LO 3XPS 6WUDLQHU

 :DWHU 3XPS 3XOOH\

 :DWHU 3XPS

$WLI

 )URQW 5HWDLQHU

,QVWDOO WKH WKUHH IURQW UHWDLQHU IL[LQJ EROWV WR WKH IURQW

UHWDLQHU UHSODFHU KROHV DV VKRZQ LQ WKH LOOXVWUDWLRQ DQG

WLJKWHQ WKH EROWV DOWHUQDWHO\ D OLWWOH DW D WLPH

O[WLI

 2LO 7KHUPR 9DOYH +) +) +* +*7

3XOO RXW WKH WKHUPR YDOYH IURP WKH F\OLQGHU ERG\

$WLI

 %\SDVV 9DOYH +(7 +(7&

3XOO RXW WKH E\SDVV YDOYH IURP WKH F\OLQGHU ERG\

$WLI
(1*,1( $ ¤ 

 3RZHU 6WHHULQJ 3XPS ,GOH *HDU &RYHU

 3RZHU 6WHHULQJ 3XPS ,GOH *HDU

$WLI

 )O\ZKHHO +RXVLQJ

127(

%H FDUHIXO QRW WR IDLO WR UHPRYH WKH EROWV VKRZQ LQ WKH

LOOXVWUDWLRQ

$WLI

 ,GOH *HDU $

$WLI

 ,GOH *HDU %

 ,GOH *HDU % 6KDIW

$WLI

 2LO 3XPS $VVHPEO\

$WLI
$ ¤  (1*,1(

 &RQQHFWLQJ 5RG &DS

 &RQQHFWLQJ 5RG /RZHU %HDULQJ

 3LVWRQ DQG &RQQHFWLQJ 5RG $VVHPEO\

$ERYH ZRUNV UHIHU WR ¦3,6721 $1' &211(&7,1* 52'§


VHFWLRQ LQ WKLV PDQXDO

 &UDQNFDVH

 /RRVHQ WKH FUDQNFDVH EROWV LQ QXPHULFDO RUGHU D OLWWOH


DW D WLPH

 ,QVWDOO WKH WKUHH FUDQNFDVH IL[LQJ EROWV 6HH OHIW DUURZ


PDUNV WR WKH FUDQNFDVH UHSODFHU KROHV DV VKRZQ LQ
WKH LOOXVWUDWLRQ DQG WLJKWHQ WKH EROWV DOWHUQDWH D OLWWOH DW
D WLPH

127(

:KHQ UHPRYLQJ WKH FUDQNFDVH EH VXUH WR UHPRYH WKH

RLO SXPS DQG WKH JHQHUDWRU EUDFNHW EHIRUH WKDW


/;WLI

 7KUXVW %HDULQJ /RZHU

 &UDQNVKDIW %HDULQJ /RZHU

$WLI

 &UDQNVKDIW $VVHPEO\

 7KUXVW %HDULQJ 8SSHU

 &UDQNVKDIW %HDULQJ 8SSHU

$WLI

 2LOLQJ -HW

/RRVHQ WKH FKHFN YDOYHV WR UHPRYH ERWK WKH FKHFN YDOYHV


DQG WKH RLOLQJ MHWV

7DNH FDUH QRW WR EHQG RU GDPDJH WKH RLOLQJ MHWV

 &\OLQGHU %ORFN

$WLI
(1*,1( $ ¤ 

,167$//$7,21
 &\OLQGHU %ORFN

8VH FRPSUHVVHG DLU WR WKRURXJKO\ FOHDQ WKH LQVLGH DQG


RXWVLGH VXUIDFHV RI WKH F\OLQGHU ERG\ WKH RLO KROHV DQG WKH
ZDWHU MDFNHWV

 2LOLQJ -HW

 ,QVWDOO WKH RLOLQJ MHWV WRJHWKHU ZLWK WKH FKHFN YDOYHV

7DNH FDUH QRW WR GDPDJH WKH RLOLQJ MHW QR]]OHV

 7LJKWHQ WKH FKHFN YDOYHV DQG RLOLQJ MHWV WR WKH VSHFLILHG


WRUTXH

&KHFN 9DOYH DQG 2LOLQJ -HW 7RUTXH 1‡P NJ‡POE‡IW

 

$WLI

 &UDQNVKDIW %HDULQJ 8SSHU

:KHQ UHSODFLQJ WKH FUDQNVKDIW RU WKH FUDQNVKDIW EHDULQJ


ZLWK D QHZ RQH VHOHFW WKH FUDQNVKDIW EHDULQJ DFFRUGLQJ WR
WKH UHVSHFWLYH JUDGHV VWDPSHG RQ WKH FUDQNVKDIW DQG WKH
F\OLQGHU ERG\

5HIHU WR WKH ¦&5$1.6+$)7§ LQ VHFWLRQ $

$OO XSSHU EHDULQJV KDYH RLO JURRYHV

 &DUHIXOO\ ZLSH DQ\ IRUHLJQ PDWHULDO IURP WKH XSSHU


EHDULQJ

$WLI

&$87,21

'R QRW DSSO\ HQJLQH RLO WR WKH EHDULQJ EDFN IDFHV DQG

WKH F\OLQGHU ERG\ EHDULQJ ILWWLQJ VXUIDFH

 /RFDWH WKH SRVLWLRQ PDUN DSSOLHG DW GLVDVVHPEO\ LI WKH


UHPRYHG XSSHU EHDULQJV DUH WR EH UHXVHG

 7KUXVW %HDULQJ 8SSHU

,QVWDOO WKH WKUXVW EHDULQJ XSSHU WR WKH IURQW VLGH RI WKH


F\OLQGHU ERG\ 1R MRXUQDO $W WKLV WLPH WKH WKUXVW EHDULQJ
XSSHU PD\ EH SDVWHG WR WKH F\OLQGHU ERG\ ZLWK JUHDVH
+RZHYHU EH VXUH WR ZLSH RII QD\ H[FHVVLYH JUHDVH

7KH WKUXVW EHDULQJ RLO JURRYHV PXVW EH IDFLQJ WKH

VOLGLQJ IDFHV

$WLI
$ ¤  (1*,1(

 &UDQNVKDIW $VVHPEO\

$SSO\ DQ DPSOH FRDW RI HQJLQH RLO WR WKH FUDQNVKDIW MRXUQDOV


DQG WKH FUDQNVKDIW EHDULQJ VXUIDFHV EHIRUH LQVWDOOLQJ WKH
FUDQNVKDIW ZLWK WLPLQJ JHDU

 &UDQNVKDIW %HDULQJ /RZHU

$OO ORZHU EHDULQJV GRHV QRW KDYH RLO JURRYHV

 &DUHIXOO\ ZLSH DQ\ IRUHLJQ PDWHULDO IURP WKH ORZHU


EHDULQJ

&$87,21

'R QRW DSSO\ HQJLQH RLO WR WKH EHDULQJ EDFN IDFHV DQG
$WLI

WKH FUDQNFDVH EHDULQJ ILWWLQJ VXUIDFHV

 /RFDWH WKH SRVLWLRQ PDUN DSSOLHG DW GLVDVVHPEO\ LI WKH


UHPRYHG ORZHU EHDULQJV DUH WR EH UHXVHG

 7KUXVW %HDULQJ /RZHU

,QVWDOO WKH WKUXVW EHDULQJ ORZHU WR WKH UHDU VLGH RI WKH


FUDQNFDVH 1R MRXUQDO

7KH WKUXVW EHDULQJ RLO JURRYHV PXVW EH IDFLQJ WKH

VOLGLQJ IDFHV

$WLI

 &UDQNFDVH

 $SSO\ D PP  LQFK EHDG RI UHFRPPHQGHG OLTXLG


JDVNHW 7KUHH %RQG & RU LWV HTXLYDOHQW WR WKH
FUDQNFDVH XSSHU VXUIDFH DV VKRZQ LQ WKH LOOXVWUDWLRQ

 &DUHIXOO\ SODFH WKH FUDQNFDVH RQ WKH F\OLQGHU ERG\

‡ ,QVWDOO WKH FUDQNFDVH ZLWKLQ  PLQXWHV DIWHU DSSOLFDWLRQ


RI OLTXLG JDVNHW

$WLI
(1*,1( $ ¤ 

 7LJKWHQ WKH FUDQNFDVH WR WKH VSHFLILHG WRUTXH LQ WKH


QXPHULFDO RUGHU VKRZQ LQ WKH LOOXVWUDWLRQ

&UDQNFDVH %ROW 7RUTXH 0 a  1‡P NJ‡POE‡IW

VW VWHS QG VWHS UG VWHS

    ƒ  ƒ

&UDQNFDVH %ROW 7RUTXH 0  a  1‡P NJ‡POE‡IW

 

$WLI
$QJOH JDXJH 

 3LVWRQ DQG &RQQHFWLQJ 5RG $VVHPEO\

 &RQQHFWLQJ 5RG %HDULQJ

 &RQQHFWLQJ 5RG &DS

$ERYH ZRUNV UHIHU WR ¦3,6721 $1' &211(&7,1* 52'§


VHFWLRQ LQ WKLV PDQXDO

 2LO 3XPS $VVHPEO\

$ERYH ZRUNV UHIHU WR ¦2,/ 3803 $66(0%/<§ VHFWLRQ LQ


WKLV PDQXDO

 ,GOH *HDU % 6KDIW

,GOH *HDU % 6KDIW %ROW 7RUTXH 1‡P NJ‡POE‡IW

 

$SSO\ WKH HQJLQH RLO WR WKH LGOH JHDU VKDIW DIWHU LQVWDOODWLRQ

$WLI

 ,GOH *HDU %

7KH IDFH RI WKH LGOH JHDU % ZLWK ORQJHU ERVV VKRXOG EH


SRVLWLRQHG WRZDUG WKH UHDU VLGH VKRZQ LQ WKH LOOXVWUDWLRQ

,GOH *HDU % %ROW 7RUTXH 1‡P NJ‡POE‡IW

 

$WLI

 ,GOH *HDU $

 7XUQ WKH FUDQNVKDIW FORFNZLVH VR WKDW WKH HQJDJHPHQW


PDUN RI WKH FUDQNVKDIW JHDU IDFHV WR WKH VKDIW FHQWHU RI
WKH LGOH JHDU $ DQG WKH 1R F\OLQGHU SLVWRQ FRPHV WR
WKH WRS GHDG FHQWHU

 $OLJQ WKH FUDQNVKDIW JHDU ZLWK WKH HQJDJHPHQW PDUN RI


WKH LGOH JHDU DQG LQVWDOO WKH LGOH JHDU $

,GOH *HDU $ %ROW 7RUTXH 1‡P NJ‡POE‡IW

 

$WLI
$ ¤  (1*,1(

$WLI

 )O\ZKHHO +RXVLQJ

 &DUHIXOO\ ZLSH DQ\ IRUHLJQ PDWHULDO IURP WKH F\OLQGHU


ERG\ UHDU IDFH

 $SSO\ WKH UHFRPPHQGHG OLTXLG JDVNHW 7KUHH %RQG


& RU LWV HTXLYDOHQW WR WKH VKDGHG DUHDV VKRZQ LQ
WKH LOOXVWUDWLRQ

$WLI

 $OLJQ WKH F\OLQGHU ERG\ NQRFN SLQV ZLWK WKH IO\ZKHHO


KRXVLQJ NQRFN SLQ KROHV

 7LJKWHQ WKH IO\ZKHHO KRXVLQJ EROWV WR WKH VSHFLILHG


WRUTXH VKRZQ LQ WKH LOOXVWUDWLRQ

)O\ZKHHO +RXVLQJ %ROW 7RUTXH 1‡P NJ‡POE‡IW

  

  

†  

$WLI „  

  

  

‡ 7LJKWHQ WKH EROWV PDUNHG ZLWK   IURP WKH


 RU 
LQMHFWLRQ SXPS VLGH DQG WKRVH ZLWK   IURP WKH
F\OLQGHU ERG\ VLGH

)O\ZKHHO +RXVLQJ %ROW 7RUTXH 1‡P NJ‡POE‡IW

$   

$WLI

 3RZHU 6WHHULQJ 3XPS ,GOH *HDU

 $SSO\ WKH HQJLQH RLO WR WKH LGOH JHDU VKDIW

 ,QVWDOO WKH LGOH JHDU VKDIW ? ZLWK WKH LGOH JHDU @ WR WKH
F\OLQGHU ERG\ $ SRUWLRQ DV VKRZQ LQ WKH LOOXVWUDWLRQ

,GOH *HDU 6KDIW %ROW 7RUTXH 1‡P .J‡POE‡IW

 

$WLI
(1*,1( $ ¤ 

$WLI

 3RZHU 6WHHULQJ 3XPS ,GOH *HDU &RYHU

,QVWDOO WKH JHDU FRYHU ZLWK WKH 2ULQJ

*HDU &RYHU %ROW 7RUTXH 1‡P NJ‡POE‡IW

 

$WLI

 2LO 7KHUPR 9DOYH +) +) +* +*7

,QVHUW WKH RLO WKHUPR YDOYH LQWR WKH F\OLQGHU ERG\

$WLI

 %\SDVV 9DOYH +(7 +(7&

,QVHUW WKH E\SDVV YDOYH LQWR WKH F\OLQGHU ERG\

$WLI
$ ¤  (1*,1(

 )URQW 5HWDLQHU

 &DUHIXOO\ ZLSH DQ\ IRUHLJQ PDWHULDO IURP WKH F\OLQGHU


ERG\ IURQW IDFH

 $SSO\ D PPPP  LQ EHDG RI WKH


UHFRPPHQGHG OLTXLG JDVNHW 7KUHH %RQG & RU LWV
HTXLYDOHQW RQ WKH JURRYH RI WKH IURQW UHWDLQHU ILWWLQJ
VXUIDFH VKRZQ LQ WKH LOOXVWUDWLRQ

 ,QVWDOO WKH 2ULQJV  SLHFHV WR WKH IURQW UHWDLQHU

‡ ,QVWDOO WKH IURQW UHWDLQHU ZLWKLQ  PLQXWHV DIWHU


DSSOLFDWLRQ RI WKH OLTXLG JDVNHW
$WLI
‡ )RU WKH GLVORFDWLRQ RI OLTXLG JDVNHW UHIHU WR WKH
LOOXVWUDWLRQ

 $OLJQ WKH F\OLQGHU ERG\ NQRFN SLQV ZLWK WKH IURQW


UHWDLQHU NQRFN SLQ KROHV

)URQW 5HWDLQHU %ROW 7RUTXH 1‡P NJ‡POE‡IW

 

$WLI

 :DWHU 3XPS $VVHPEO\

 $SSO\ PPPP EHDG RI WKH UHFRPPHQGHG OLTXLG


JDVNHW 7KUHH %RQG & RU LWV HTXLYDOHQW RQ WKH
ZDWHU SXPS ILWWLQJ VXUIDFH

 ,QVWDOO WKH ZDWHU SXPS WR WKH IURQW UHWDLQHU

:DWHU 3XPS %ROW 7RUTXH 1‡P NJ‡POE‡IW

 

‡ ,QVWDOO WKH ZDWHU SXPS ZLWKLQ  PLQXWHV DIWHU DSSOLFDWLRQ

$WLI
RI OLTXLG JDVNHW

‡ )RU WKH GLVORFDWLRQ RI OLTXLG JDVNHW UHIHU WR WKH


LOOXVWUDWLRQ

&$87,21

7KH ZDWHU SXPS FODPSLQJ EROW LV DOVR XVHG WR WLJKWHQ

WKH IURQW UHWDLQHU 6R LQVWDOO WKH ZDWHU SXPS EHIRUH

OLTXLG JDVNHW JHWV GU\ LPPHGLDWHO\ DIWHU LQVWDOODWLRQ RI

WKH IURQW UHWDLQHU

 :DWHU 3XPS 3XOOH\

:DWHU 3XPS 3XOOH\ %ROW 7RUTXH 1‡P NJ‡POE‡IW

 

$WLI
(1*,1( $ ¤ 

 2LO 3XPS 6WUDLQHU

,QVWDOO WKH 2ULQJ ? WR WKH RLO SXPS VWUDLQHU SLSH DQG LQVWDOO
WKH RLO SXPS VWUDLQHU WR WKH F\OLQGHU ERG\ VKRZQ LQ WKH
LOOXVWUDWLRQ

2LO 3XPS 6WUDLQHU %ROW 7RUTXH 1‡P NJ‡POE‡IW

 

$WLI

 2LO 3DQ

 $SSO\ D PP  LQFK EHDG RI UHFRPPHQGHG OLTXLG


JDVNHW 7KUHH %RQG & RU LWV HTXLYDOHQW WR WKH
VKDGHG DUHDV VKRZQ LQ WKH LOOXVWUDWLRQ

$WLI

$WLI

([FHSW +(7 +(7&  7LJKWHQ WKH RLO SDQ QXWV DQG EROWV WR WKH VSHFLILHG
WRUTXH LQ WKH QXPHULFDO RUGHU DV VKRZQ LQ WKH LOOXVWUDWLRQ

PDUNV DUH ORFDWHG RQ QXW SRVLWLRQV

2LO 3DQ 1XWV DQG %ROWV 7RUTXH 1‡P NJ‡POE‡IW

2WKHUV  

+(7  
+(7&   IRU VWDU PDUN

$WLI

$WLI
$ ¤  (1*,1(

)RU +(7 +(7&

/;WLI

 6SDFHU 5XEEHU 1.5 PRGHO RQO\

6SDFHU 5XEEHU %ROW 7RUTXH 1‡P NJ‡POE‡IW

 

‡ )RU WKH :' PRGHO YHKLFOH WLJKWHQ WKH VSDFHU UXEEHU


WRJHWKHU ZLWK WKH VWLIIHQHU

&\OLQGHU %RG\ 5+ 6LGH 1‡P NJ‡POE‡IW

 

&\OLQGHU %RG\ /+ 6LGH 1‡P NJ‡POE‡IW

 

)O\ZKHHO +RXVLQJ 6LGH 1‡P NJ‡POE‡IW


$WLI

 

 &UDQNVKDIW 5HDU 6OLQJHU

 &UDQNVKDIW 5HDU 2LO 6HDO

$ERYH ZRUNV UHIHU WR ¦&5$1.6+$)7 5($5 2,/ 6($/§


VHFWLRQ LQ WKLV PDQXDO

 )O\ZKHHO $VVHPEO\

 $OLJQ WKH IO\ZKHHO ZLWK WKH FUDQNVKDIW NQRFN SLQ DQG


WHPSRUDULO\ WLJKWHQ WKH IO\ZKHHO EROWV

 8VH WKH FUDQNVKDIW VWRSSHU WR SUHYHQW WKH FUDQNVKDIW


IURP WXUQLQJ

&UDQNVKDIW 6WRSSHU

 ,QVWDOO WKH ZDVKHU DQG WKH IO\ZKHHO EROWV DQG WLJKWHQ WR


WKH VSHFLILHG WRUTXH LQ WKH QXPHULFDO RUGHU VKRZ LQ WKH
LOOXVWUDWLRQ

)O\ZKHHO %ROW 7RUTXH 1‡P NJ‡POE‡IW


$WLI

VW VWHS QG VWHS

  ƒ  ƒ

 5HPRYH WKH FUDQNVKDIW VWRSSHU


(1*,1( $ ¤ 

)RU $7 PRGHO

 $OLJQ WKH NQRFN SLQ RQ WKH FUDQNVKDIW WR LQVWDOO WKH


IO\ZKHHO

 ,QVWDOO WKH IOH[LEOH SODWH ZLWK DOLJQPHQW PDUN  PP


GLDPHWHU GHQW RQ WKH IO\ZKHHO DQG  PP GLDPHWHU ZKLWH
SDLQW RQ WKH IOH[LEOH SODWH DQG ZDVKHU

 $SSO\ PRO\EGHQXP GLVXOILGH JUHDVH WR WKH EROW WKUHDG


DQG VHDW WR LQVWDOO WKH IO\ZKHHO IL[LQJ KROH

7LJKWHQ EROW WR WZR VWDJH WLJKWHQLQJ PHWKRG LQ WKH


QXPHULFDO RUGHU
VW
 VWHS  1‡P  ,EIW
QG
 VWHS    GHJUHHV

 &UDQNVKDIW )URQW 6OLQJHU

 &UDQNVKDIW )URQW 2LO 6HDO

$ERYH ZRUNV UHIHU WR ¦&5$1.6+$)7 )5217 2,/ 6($/§


VHFWLRQ LQ WKLV PDQXDO

 &UDQNVKDIW 'DPSHU 3XOOH\

 $SSO\ D FRDW RI WKH HQJLQH RLO WR WKH WKUHDGV RI WKH


EROWV

 $OLJQ WKH GDPSHU SXOOH\ ZLWK WKH FUDQNVKDIW NQRFN SLQ


DQG WLJKWHQ WKH EROWV WR WKH VSHFLILHG WRUTXH LQ WKH
QXPHULFDO RUGHU

'DPSHU 3XOOH\ %ROW 7RUTXH 1‡P NJ‡POE‡IW

 

$WLI

 &RYHU

&RYHU %ROW 7RUTXH 1‡P NJ‡POE‡LQ

 

$WLI

 *HQHUDWRU %UDFNHW

*HQHUDWRU %UDFNHW %ROW 7RUTXH 1‡P NJ‡POE‡IW

 

$WLI
$ ¤  (1*,1(

 )DQ %HOW $GMXVW 3ODWH

,QVWDOO WKH DGMXVW SODWH DQG WHPSRUDULO\ WLJKWHQ WKH DGMXVW


SODWH EROW

$WLI

 2LO &RROHU $VVHPEO\

 $SSO\ PPPP EHDG RI WKH UHFRPPHQGHG OLTXLG


JDVNHW 7KUHH %RQG & RU LWV HTXLYDOHQW RQ WKH RLO
FRROHU ILWWLQJ VXUIDFH

 $SSO\ D FRDW RI HQJLQH RLO WR WKH 2ULQJV  SLHFHV DQG


LQVWDOO WKH 2ULQJV WR WKH RLO FRROHU

$WLI

127(

7DNH FDUH WKDW WKH 2ULQJ GRHV QRW JHW VPHDUHG ZLWK
OLTXLG JDVNHW

‡ ,QVWDOO WKH RLO FRROHU ZLWKLQ  PLQXWHV DIWHU DSSOLFDWLRQ RI


WKH OLTXLG JDVNHW
‡ )RU WKH GLVORFDWLRQ RI WKH OLTXLG JDVNHW UHIHU WR WKH
LOOXVWUDWLRQ

 7LJKWHQ WKH RLO FRROHU EROWV DQG QXW WR WKH VSHFLILHG


WRUTXH D OLWWOH DW D WLPH LQ WKH VHTXHQFH VKRZQ LQ WKH
LOOXVWUDWLRQ
/;WLI
2LO &RROHU %ROW DQG 1XW 7RUTXH 1‡P NJ‡POE‡IW

 

 :DWHU 6XFWLRQ 3LSH

 $SSO\ D PPPP EHDG RI WKH UHFRPPHQGHG OLTXLG


JDVNHW 7KUHH %RQG & RU LWV HTXLYDOHQW RQ WKH
JURRYH RI WKH ZDWHU VXFWLRQ SLSH ILWWLQJ VXUIDFH

 ,QVWDOO WKH ZDWHU VXFWLRQ SLSH WR WKH RLO FRROHU


‡ )RU WKH GLVORFDWLRQ RI OLTXLG JDVNHW UHIHU WR WKH
LOOXVWUDWLRQ

$WLI
(1*,1( $ ¤ 

:DWHU 6XFWLRQ 3LSH %ROW DQG

1XWV 7RUTXH 1‡P NJ‡POE‡IW

 

127(

,QVWDOO WKH ZDWHU VXFWLRQ SLSH LPPHGLDWHO\ DIWHU WKH


LQVWDOODWLRQ RI WKH RLO FRROHU

$WLI

 +HDWHU 3LSH

 ,QVWDOO WKH 2ULQJ WR WKH KHDWHU SLSH

 ,QVWDOO WKH KHDWHU SLSH WR WKH RLO FRROHU

+HDWHU 3LSH %ROW 7RUTXH 1‡P NJ‡POE‡IW

 

$WLI

 ,GOH 3XOOH\ %UDFNHW ,I HTXLSSHG ZLWK $&

,GOH 3XOOH\ %UDFNHW %ROW 7RUTXH 1‡P NJ‡POE‡IW

 

$WLI

 ,QMHFWLRQ 3XPS 5XEEHU 6SDFHU

 ,QMHFWLRQ 3XPS $VVHPEO\

$ERYH ZRUNV UHIHU WR ¦,1-(&7,21 3803 $66(0%/<§


VHFWLRQ LQ WKLV PDQXDO

 (QJLQH )RRW

(QJLQH )RRW %ROW 7RUTXH 1‡P NJ‡POE‡IW

 

$WLI
$ ¤  (1*,1(

 *HQHUDWRU

127(

:KHQ WLJKWHQLQJ WKH JHQHUDWRU WLJKWHQ LQ DGYDQFH WKH

IDQ EHOW WHPSRUDULO\ DIWHU LWV DGMXVWPHQW

‡ ,QVHUW WKURXJK WKH ORZHU IL[LQJ EROW IURP WKH UHDU VLGH DV
VKRZQ LQ WKH LOOXVWUDWLRQ DQG WLJKWHQ LW ZLWK D QXW RQ WKH
IURQW VLGH

$WLI

 )DQ %HOW

&KHFN WKH GULYH EHOW WHQVLRQ

'HSUHVV WKH GULYH EHOW PLGSRUWLRQ ZLWK D 1 NJ,E


IRUFH

'ULYH %HOW 'HIOHFWLRQ PP LQ

       1HZ EHOW


       5HXVH EHOW

&KHFN WKH GULYH EHOW IRU FUDQNLQJ DQG RWKHU GDPDJH

$WLI

)DQ %HOW $GMXVWPHQW

)DQ EHOW WHQVLRQ LV DGMXVWHG E\ PRYLQJ WKH JHQHUDWRU

7RUTXH 1‡P NJ‡POE‡IW

?  

@  

A  

$WLI
(1*,1( $ ¤ 

 9DFXXP 3XPS 5XEEHU +RVH

 9DFXXP 3XPS 2LO 3LSH

&\OLQGHU %RG\ 6LGH 1‡P NJ‡POE‡IW

 

*HQHUDWRU 6LGH 1‡P NJ‡POE‡IW

 

 )XHO 3LSH %UDFNHW

$WLI

 7DFKRPHWHU 6HQVRU

7DFKRPHWHU %ROW 7RUTXH 1‡P NJ‡POE‡LQ

 

$WLI

 2LO )LOWHU $VVHPEO\

2LO )LOWHU %ROW 7RUTXH 1‡P NJ‡POE‡IW

 

 2LO 3LSH

2LO 3LSH -RLQW %ROW 7RUTXH 1‡P NJ‡POE‡IW

 

$WLI

 (QJLQH &RQWURO /HYHU $VVHPEO\

(QJLQH &RQWURO /HYHU %ROW 7RUTXH 1‡P NJ‡POE‡IW

 

 (QJLQH &RQWURO :LUH

$WLI

 'ULYHQ 3ODWH

8VH WKH FOXWFK SLORW DOLJQHU WR LQVWDOO WKH GULYHQ SODWH

&OXWFK 3LORW $OLJQHU 

? &OXWFK SLORW DOLJQHU

@ &OXWFK SUHVVXUH SODWH DVVHPEO\

A 'ULYHQ SODWH

$WLI
$ ¤  (1*,1(

 &OXWFK 3UHVVXUH 3ODWH $VVHPEO\

 $OLJQ WKH FOXWFK SUHVVXUH SODWH ZLWK WKH IO\ZKHHO NQRFN


SLQ

 7LJKWHQ WKH SUHVVXUH SODWH EROWV WR WKH VSHFLILHG WRUTXH


LQ QXPHULFDO RUGHU

&OXWFK 3UHVVXUH 3ODWH %ROW 7RUTXH 1‡P NJ‡POE‡IW

 

 &\OLQGHU +HDG *DVNHW

$WLI  &\OLQGHU +HDG $VVHPEO\

$ERYH ZRUNV UHIHU WR ¦&</,1'(5 +($'§ VHFWLRQ LQ WKLV


PDQXDO

 &DPVKDIW %HDULQJ /RZHU

 &DPVKDIW $VVHPEO\

 &DPVKDIW %HDULQJ 8SSHU

 &DPVKDIW %HDULQJ &DS

 9DOYH &DS

$ERYH ZRUNV UHIHU WR ¦&$06+$)7 $66(0%/<§ VHFWLRQ LQ


WKLV PDQXDO

 5RFNHU $UP 6KDIW $VVHPEO\

$ERYH ZRUNV UHIHU WR ¦52&.(5 $50 6+$)7 $66(0%/<§


VHFWLRQ LQ WKLV PDQXDO

 +HDG &RYHU *DVNHW

$ERYH ZRUNV UHIHU WR ¦&</,1'(5 +($'§ VHFWLRQ LQ WKLV


PDQXDO

 &\OLQGHU +HDG &RYHU

 ,QVWDOO WKH F\OLQGHU KHDG FRYHU

 7LJKWHQ WKH F\OLQGHU KHDG FRYHU QXWV DQG EROWV WR WKH


VSHFLILHG WRUTXH LQ WKH QXPHULFDO RUGHU VKRZQ LQ WKH
LOOXVWUDWLRQ

&\OLQGHU +HDG &RYHU 1XW DQG

%ROW 7RUTXH 1‡P NJ‡POE‡IW

 

 1R]]OH &RYHU

 (QJLQH $VVHPEO\

$ERYH ZRUNV UHIHU WR ¦(1*,1( $66(0%/<§ VHFWLRQ LQ WKLV


PDQXDO

$WLI
(1*,1( $ ¤ 

(1*,1($66(0%/<
7UDQVPLVVLRQVLGH

$WLI
$ ¤  (1*,1(

5(029$/
3UHSDUDWLRQ

‡ 'LVFRQQHFW EDWWHU\ JURXQG FDEOH

‡ 7LOW WKH FDE

‡ 7UDQVPLVVLRQ FRYHU

‡ 'UDLQ FRRODQW

0DQXDO7UDQVPLVVLRQ
 3URSHOOHU VKDIW $VVHPEO\

 3XW LQ DGYDQFH DQ DOLJQPHQW PDUN WR WKH GUXP DQG WKH


IODQJH \RNH

 3XW WKH GUXP DQG WKH IODQJH \RNH DVLGH DQG KDQJ WKHP
ZLWK D ZLUH VR WKDW WKH\ GR QRW LQWHUIHUH ZLWK VHUYLFLQJ
ZRUN

 &DU 6SHHG &HQVHU &RQQHFWRU

 1HXWUDO 6ZLWFK &RQQHFWRU

 %DFNXS /DPS &RQQHFWRU

 +DUQHVV &RQQHFWRU

5HPRYH WKH FRQQHFWRUV IURP WKH KDUQHVV EUDFNHW $W WKDW


WLPH WDNH FDUH QRW WR FDXVH DQ\ GDPDJHV WR WKH FOLSV

$WLI

 3DUNLQJ %UDNH &DEOH

5HPRYH WKH FOLS DQG VOLGH WKH FRYHU SURYLGHG LQ WKH PLGGOH
RI WKH FDEOH 7KHQ ORRVHQ WKH ORQJHU QXW RQ WKH IURQW VLGH
RI WKH YHKLFOH WR GLVFRQQHFW WKH SDUNLQJ EUDNH FDEOH

 6KLIW &DEOH

 6HOHFW &DEOH

$WLI

 &OXWFK 6ODYH &\OLQGHU

 'LVFRQQHFW WKH FOXWFK UHWXUQ VSULQJ IURP WKH FOXWFK


VODYH F\OLQGHU

 5HPRYH WKH VODYH F\OLQGHU IURP WKH FOXWFK VKLIW IRUN

 6WDUWHU (DUWK &DEOH

 6WDUWHU

 'LVFRQQHFW WKH EDWWHU\ FDEOH DW WKH VWDUWHU PRWRU

 5HPRYH WKH VWDUWHU DVVHPEO\ IURP IO\ZKHHO KRXVLQJ

$WLI
(1*,1( $ ¤ 

 7UDQVPLVVLRQ 0RXQWLQJ 1XW

 &KHFN WKDW WKH HQJLQH OLIWLQJ LV VHFXUHO\ VXSSRUWLQJ WKH


HQJLQH

 5HPRYH WKH HQJLQH UHDU PRXQWLQJ EUDFNHW QXWV IURP


WKH 1R FURVVPHPEHU

 7UDQVPLVVLRQ $VVHPEO\

5HPRYH WKH WUDQVPLVVLRQ QXWV DQG EROWV IURP WKH IO\ZKHHO


KRXVLQJ

‡ 5HPRYH WKH WUDQVPLVVLRQ E\ SXOOLQJ LW WRZDUG WKH UHDU


RI WKH YHKLFOH ZKLOH VORZO\ ORZHULQJ WKH WUDQVPLVVLRQ
MDFN

$XWRPDWLF7UDQVPLVVLRQ
‡ 'UDLQ $XWRPDWLF WUDQVPLVVLRQ IOXLG

 3URSHOOHU 6KDIW $VVHPEO\

 3XW DQ DOLJQPHQW PDUN LQ DGYDQFH WR WKH GUXP DQG WKH


IODQJH \RNH

 3XW WKH GUXP DQG WKH IODQJH \RNH DVLGH DQG KDQJ WKHP
ZLWK D ZLUH VR WKDW WKH\ GR QRW LQWHUIHUH ZLWK VHUYLFLQJ
ZRUN

 3DUNLQJ %UDNH &DEOH

5HPRYH WKH FOLS DQG VOLGH WKH FRYHU SURYLGHG LQ WKH PLGGOH
RI WKH FDEOH 7KHQ ORRVHQ WKH ORQJHU QXW RQ WKH IURQW VLGH
RI WKH YHKLFOH WR GLVFRQQHFW WKH SDUNLQJ EUDNH FDEOH

$WLI

 &RQWURO &DEOH

 'LVFRQQHFW WKH FRQWURO FDEOH IURP WKH OHYHU

 5HPRYH WKH FRQWURO FDEOH EUDFNHW IURP WKH


WUDQVPLVVLRQ

$WLI
$ ¤  (1*,1(

 2LO /HYHO *DXJH

 5HPRYH WKH IL[LQJ EROWV RI WKH RLO ILOOHU DQG WKH


SURWHFWRU

 5HPRYH WKH RLO ILOOHU EROW

 5HPRYH WKH EROW WKDW WLJKWHQV WKH RLO ILOOHU DQG WKH
KRXVLQJ

$WLI

 +DUQHVV &RQQHFWRU

 'LVFRQQHFW WKH VSHHGRPHWHU VHQVRU KDUQHVV


FRQQHFWRU

 5HPRYH WKH FRQQHFWRU SURWHFWRU

 5HPRYH WKH LQKLELWRU VZLWFK DQG GLVFRQQHFW WKH


VROHQRLG KDUQHVV FRQQHFWRU

 'LVFRQQHFW WKH $7 YHKLFOH VSHHG VHQVRU KDUQHVV


FRQQHFWRU

$WLI

 'LVFRQQHFW WKH KDUQHVV FRQQHFWRU IURP WKH


WUDQVPLVVLRQ XSSHU EUDFNHW

$WLI

 $7) &RROHU 3LSH

'LVFRQQHFW WKH KDUQHVV FRQQHFWRU IURP WKH WUDQVPLVVLRQ


XSSHU EUDFNHW

 6WDUWHU

 'LVFRQQHFW WKH EDWWHU\ FDEOH DW WKH VWDUWHU PRWRU

 5HPRYH WKH VWDUWHU DVVHPEO\ IURP IO\ZKHHO KRXVLQJ

$WLI

 8QGHU &RYHU

 7RUTXH &RQYHUWHU %ROW

 5HPRYH WKH XQGHU FRYHU IURP WKH ORZHU VHFWLRQ RI WKH


KRXVLQJ

 5HPRYH WKH  WRUTXH FRQYHUWHU EROWV ZKLOH WXUQLQJ WKH


IO\ZKHHO

$WLI
(1*,1( $ ¤ 

 7UDQVPLVVLRQ 0RXQWLQJ 1XW

 &KHFN WKDW WKH HQJLQH OLIWLQJ LV VHFXUHO\ VXSSRUWLQJ WKH


HQJLQH

 5HPRYH WKH HQJLQH UHDU PRXQWLQJ EUDFNHW QXWV IURP


WKH 1R FURVVPHPEHU

 7UDQVPLVVLRQ $VVHPEO\

 5HPRYH WKH WUDQVPLVVLRQ QXWV DQG EROWV IURP WKH


IO\ZKHHO KRXVLQJ

 5HPRYH WKH WUDQVPLVVLRQ E\ SXOOLQJ LW WRZDUG WKH UHDU


RI WKH YHKLFOH ZKLOH VORZO\ ORZHULQJ WKH WUDQVPLVVLRQ
$WLI
MDFN

127(

+ROG XS D OLWWOH WKH IURQW VHFWLRQ RI WKH WUDQVPLVVLRQ VR

WKDW WKH WRUTXH FRQYHUWHU GRHV QRW JHW RII

(QJLQHOHIWVLGH

$WLI
$ ¤  (1*,1(

$WLI
(1*,1( $ ¤ 

5(029$/
 ,QWDNH $LU 'XFW

 +HDWHU +RVH

 9DFXXP +RVH

 (QJLQH 6WRS &DEOH

/RRVHQ ORFNLQJ QXW DW EUDFNHW DQG GLVFRQQHFW HQJLQH VWRS

FDEOH IURP LQMHFWLRQ SXPS VWRS OHYHU

 $FFHOHUDWRU &RQWURO &DEOH

/RRVHQ ORFNLQJ QXW DW EUDFNHW DQG GLVFRQQHFW DFFHOHUDWRU

FRQWURO FDEOH IURP LQMHFWLRQ SXPS FRQWURO OHYHU

 )XHO 5HWXUQ +RVH

 )XHO )HHG +RVH

'LVFRQQHFW IXHO KRVH IURP LQMHFWLRQ SXPS VLGH DQG WDNH

FDUH QRW WR VSLOO DQG HQWHU GXVW

(QJLQHIURQWVLGH

$WLI
$ ¤  (1*,1(

5(029$/
 5DGLDWRU 8SSHU +RVH

 &RRODQW 5HVHUYH 7DQN +RVH%\SDVV +RVH

 5DGLDWRU /RZHU +RVH

 )DQ *XLGH

 5DGLDWRU

)RU WKH $7 PRGHO YHKLFOH UHPRYH WKH RLO FRROHU SLSH

 )DQ

(QJLQHULJKWVLGH

$WLI

5(029$/
 )URQW ([KDXVW 3LSH

 3RZHU 6WHHULQJ 3XPS

5HPRYH WKH SRZHU VWHHULQJ SXPS IURP WKH HQJLQH VLGH


ZLWK WKH EUDFNHW DWWDFKHG DQG IDVWHQ LW ZLWK D ZLUH WR WKH
DSSURSULDWH ORFDWLRQ WRJHWKHU ZLWK WKH KRVHV

 $LU &RQGLWLRQLQJ $& &RPSUHVVRU ,I HTXLSSHG ZLWK


$&

 5HPRYH WKH $& FRPSUHVVRU GULYH EHOW

 'LVPRXQW WKH FRPSUHVVRU IURP WKH $& FRPSUHVVRU


EUDFNHW DQG IDVWHQ LW ZLWK D ZLUH WR WKH DSSURSULDWH
ORFDWLRQ WRJHWKHU ZLWK WKH KRVHV
(1*,1( $ ¤ 

 $&* 9DFXXP +RVH

'LVFRQQHFW WKH YDFXXP KRVHV IURP YDFXXP SXPS VLGH

 $&* +DUQHVV

'LVFRQQHFW WKH % WHUPLQDO FDEOH DQG KDUQHVV FRQQHFWRU


IURP JHQHUDWRU

(QJLQHPRXQWLQJVLGH

$WLI

5(029$/
 (QJLQH 0RXQW

$WWDFK OLIWLQJ ZLUHV WR WKH HQJLQH OLIWLQJ KDQJHUV DQG VOLJKWO\


UDLVH WKH HQJLQH

5HPRYH WKH HQJLQH PRXQWLQJ UXEEHU QXWV DWWDFKLQJ WKH


HQJLQH PRXQWLQJ FURVVPHPEHUV

$WLI

 (QJLQH $VVHPEO\

 0DNH VXUH WKDW WKH FRQQHFWLQJ SLSHV KRVHV DQG


FDEOHV KDYH DOO EHHQ UHPRYHG IURP WKH HQJLQH

 2SHUDWH WKH KRLVW WR VORZO\ UDLVH WKH HQJLQH XQWLO LW LV


FOHDU RI WKH FKDVVLV IUDPH

$WLI
$ ¤  (1*,1(

 5RWDWH WKH HQJLQH  GHJUHHV

 &RQWLQXH WR OLIW WKH HQJLQH IURP WKH FKDVVLV

 &DUHIXOO\ PRYH WKH KRLVW DQG HQJLQH

 6HW WKH HQJLQH RQ DQ HQJLQH VWDQG

$WLI

,167$//$7,21
(QJLQHPRXQWLQJVLGH
 (QJLQH $VVHPEO\

 $WWDFK D OLIWLQJ ZLUH WR WKH HQJLQH OLIWLQJ KDQJHUV

 2SHUDWH WKH KRLVW WR SRVLWLRQ WKH HQJLQH DERYH WKH


FKDVVLV IUDPH

 &DUHIXOO\ ORZHU WKH HQJLQH XQWLO LW LV MXVW DERYH WKH


FKDVVLV IUDPH

$WLI

 5RWDWH WKH HQJLQH ƒ WR SRVLWLRQ LW IRU ILQDO LQVWDOODWLRQ

 &DUHIXOO\ VHW WKH HQJLQH WR WKH FKDVVLV

7KH IURQW RI WKH HQJLQH VKRXOG EH KHOG KLJKHU WKDQ WKH


UHDU DW WKLV WLPH

%H FDUHIXO QRW WR GDPDJH WKH H[SRVHG SDUWV

$WLI

 /RZHU WKH HQJLQH XQWLO LW FRQWDFWV WKH HQJLQH PRXQWLQJ


FURVVPHPEHU

 6HW WKH HQJLQH PRXQWLQJ UXEEHUV WR WKH HQJLQH


PRXQWLQJ FURVVPHPEHU

 7HPSRUDULO\ WLJKWHQ WKH HQJLQH PRXQWLQJ UXEEHU EROWV

7KH EROWV ZLOO EH ILQDOO\ WLJKWHQHG DIWHU WKH WUDQVPLVVLRQ


KDV EHHQ LQVWDOOHG WR WKH HQJLQH DQG WKH HQJLQH UHDU
PRXQWLQJ EUDFNHW DQG WKH 1R FURVVPHPEHU
FRQQHFWHG

 (QJLQH 0RXQW
$WLI
,QVWDOO WKH HQJLQH PRXQW ZLWK LW VHW WR WKH KROHV RI WKH
HQJLQH PRXQW FURVVPHPEHU 7KHQ WLJKWHQ LW WR WKH
VSHFLILHG WRUTXH

0RXQWLQJ 5XEEHU 1XW 7RUTXH 1‡P NJ‡POE‡IW

 
(1*,1( $ ¤ 

,167$//$7,21
(QJLQHULJKWVLGH
 $&* +DUQHVV

 $&* 9DFXXP +RVH

 &RQQHFW WKH % WHUPLQDO FDEOH DQG WKH KDUQHVV


FRQQHFWRU

 &RQQHFW WKH YDFXXP KRVHV WR WKH YDFXXP SXPS

$WLI

 $LU &RQGLWLRQLQJ $& &RPSUHVVRU

‡ 7LJKWHQ WKH IL[LQJ EROWV WR WKH VSHFLILHG WRUTXH

$& &RPSUHVVRU %ROW 7RUTXH 1‡P NJ‡POE‡IW

 

127(

:KHQ WLJKWHQLQJ WKH FRPSUHVVRU IL[LQJ EROWV WLJKWHQ


WKH ILUVW  EROWV RQ WKH UHDU VLGH DQG WKHQ WKH
UHPDLQLQJ  RQ WKH IURQW

/9WLI

‡ ,QVWDOO WKH GULYH EHOW DGMXVW EHOW WHQVLRQ E\ DGMXVWLQJ EROW


DQG WLJKWHQ WKH ORFNLQJ QXW WR WKH VSHFLILHG WRUTXH
‡ 'HSUHVV WKH GULYH EHOW PLGSRUWLRQ ZLWK D  NJ
OE1 IRUFH

'ULYH %ROW 'HIOHFWLRQ PP LQ

       1HZ EHOW


       5HXVH EHOW

/RFNLQJ 1XW 7RUTXH 1‡P NJ‡POE‡IW

$WLI
 

 3RZHU 6WHHULQJ 3XPS

? %ROW 7RUTXH 1‡P NJ‡POE‡IW

 

@ %ROW 7RUTXH 1‡P NJ‡POE‡IW

 

 )URQW ([KDXVW 3LSH

([KDXVW 0DQLIROG 6LGH 1‡P NJ‡POE‡IW


$WLI

 

([KDXVW %UDNH 6LGH 1‡P NJ‡POE‡IW

 

&\OLQGHU %RG\ VLGH 1‡P NJ‡POE‡IW

 
$ ¤  (1*,1(

,167$//$7,21
(QJLQHIURQWVLGH
 )DQ

)DQ %ROW 7RUTXH 1‡P NJ‡POE‡IW

 

$WLI

 5DGLDWRU

5DGLDWRU %UDFNHW %ROW 7RUTXH 1‡P NJ‡POE‡IW

 

 )DQ *XLGH

 5DGLDWRU /RZHU +RVH

 &RRODQW 5HVHUYH 7DQN +RVH%\SDVV +RVH

 5DGLDWRU 8SSHU +RVH

$WLI

,167$//$7,21
(QJLQHOHIWVLGH
 )XHO )HHG +RVH

 )XHO 5HWXUQ +RVH

$LU %OHHGLQJ

 /RRVHQ WKH SULPLQJ SXPS FDS @ DW WKH VLGH RI WKH


LQMHFWLRQ SXPS

 /RRVHQ WKH EOHHGHU YDOYH ? +) DW WKH WRS RI WKH


IXHO ILOWHU

 2SHUDWH WKH SULPLQJ SXPS WR EOHHG WKH DLU IURP WKH


LQMHFWLRQ SXPS

$WLI  5HWLJKWHQ WKH EOHHGHU YDOYH

 2SHUDWH WKH SULPLQJ SXPS

&KHFN IRU IXHO OHDNDJH IURP DURXQG WKH LQMHFWLRQ SXPS


DQG WKH IXHO ILOWHU

 /RFN WKH SULPLQJ SXPS FDS WR WKH LQMHFWLRQ SXPS

)RU +(7&

$WLI
(1*,1( $ ¤ 

 $FFHOHUDWRU &RQWURO &DEOH

 &KHFN WR VHH LI WKH LGOLQJ FRQWURO NQRE LV WXUQHG WR WKH


H[WUHPH OHIW

 $WWDFK WKH HQG WLS RI WKH FDEOH WR WKH HQJLQH FRQWURO


OHYHU

 3XOO WKH RXWHU FDEOH WRZDUG WKH IURQW RI WKH YHKLFOH DQG
SURYLGH WKH HQJLQH FRQWURO ZLUH DQG WKH LQQHU FDEOH ZLWK
DQ DSSURSULDWH SOD\ EHIRUH IDVWHQLQJ WKH FODPS ZLWK D
QXW

 &KHFN WR VHH LI WKH FRQWURO OHYHU RI WKH LQMHFWLRQ SXPS LV


$WLI
DW WKH LGOH SRVLWLRQ ZLWK WKH OHYHU LQ WRXFK ZLWK WKH
VWRSSHU EROW 

$WLI

 (QJLQH 6WRS &DEOH

 $WWDFK WKH HQG WLS RI WKH FDEOH WR WKH HQJLQH VWRSSHU


OHYHU

 3XOO WKH FDEOH WRZDUG WKH UHDU VLGH RI WKH YHKLFOH DQG
IDVWHQ WKH FODPS ZLWK D QXW DW WKH SRVLWLRQ ZKHUH WKH
OHYHU VWRSV

 9DFXXP +RVH

$WLI

$WLI

 +HDWHU +RVH

,QVWDOO WKH KRVH ZLWK LWV PDUN WXUQHG XS

 ,QWDNH $LU 'XFW

$WLI
$ ¤  (1*,1(

,167$//$7,21
$XWRPDWLF7UDQVPLVVLRQ
 7UDQVPLVVLRQ $VVHPEO\

)DVWHQ WKH WUDQVPLVVLRQ WR WKH WUDQVPLVVLRQ MDFN ZLWK D


FKDLQ LQ WKH VDPH PDQQHU DV ZKHQ GLVPRXQWLQJ LW DQG
WLJKWHQ WKH FOXWFK KRXVLQJ FODPSLQJ EROW WR WKH VSHFLILHG
WRUTXH

5HIHU WR WKH LOOXVWUDWLRQ EHORZ

$WLI

 7UDQVPLVVLRQ 0RXQWLQJ 1XW

7UDQVPLVVLRQ 0RXQWLQJ 1XW 7RUTXH 1‡P NJ‡POE‡IW

 

 7RUTXH &RYHU IRU %ROW

1‡P NJ‡POE‡IW

 

 8QGHU &RYHU

8QGHU &RYHU %ROW 7RUTXH 1‡P NJ‡POE‡LQ

 
(1*,1( $ ¤ 

 6WDUWHU

5HIHU WR WKH SUHFHGLQJ SDJH

 $7) &RROHU 3LSH

1‡P NJ‡POE‡IW

 

 +DUQHVV &RQQHFWRU

 2LO /HYHO *DXJH

1‡P NJ‡POE‡LQ

 

 &RQWURO &DEOH

 3DUNLQJ %UDNH &DEOH

 :LWK WKH ORFN QXW  RI WKH SDUNLQJ EUDNH VLGH FDEOH


WLJKWHQHG WR WKH OLPLW URWDWH WKH QXW  WR FRQQHFW LW
ZLWK WKH IURQW VLGH FDEOH

 $IWHU WLJKWHQLQJ WKH IURQW VLGH QXW  WR WKH OLPLW IDVWHQ


WKH SDUNLQJ EUDNH FDEOH ZLWK WKH ORFN QXW  

 3XOO WKH SDUNLQJ EUDNH OHYHU WR WKH OLPLW ZLWK WKH


RSHUDWLQJ IRUFH RI DERXW NJ DW WKH KDQG  DQG DGMXVW
WKH OHYHU ZLWK WKH OHYHU DGMXVWLQJ QXW VR WKDW WKH QXPEHU
RI QRWFKHV EHFRPHV  WR  QRWFKHV
$WLI
 3URSHOOHU 6KDIW $VVHPEO\

3URSHOOHU 6KDIW %ROW 7RUTXH 1‡P NJ‡POE‡IW

 
$ ¤  (1*,1(

,167$//$7,21
0DQXDO7UDQVPLVVLRQ
 7UDQVPLVVLRQ $VVHPEO\

)DVWHQ WKH WUDQVPLVVLRQ WR WKH WUDQVPLVVLRQ MDFN ZLWK D


FKDLQ LQ WKH VDPH PDQQHU DV ZKHQ GLVPRXQWLQJ LW DQG
WLJKWHQ WKH FOXWFK KRXVLQJ FODPSLQJ EROW WR WKH VSHFLILHG
WRUTXH

5HIHU WR WKH LOOXVWUDWLRQ EHORZ

$WLI

 7UDQVPLVVLRQ 0RXQWLQJ 1XW

7UDQVPLVVLRQ 0RXQWLQJ 1XW 7RUTXH 1‡P .J‡POE‡IW

 

 6WDUWHU

 6WDUWHU (DUWK &DEOH

5HIHU WR WKH SUHFHGLQJ SDJH

 &OXWFK 6ODYH &\OLQGHU

 ,QVWDOO WKH FOXWFK VODYH F\OLQGHU

6ODYH &\OLQGHU %ROWV 7RUTXH 1‡P .J‡POE‡IW

 

 ,QVWDOO WKH FOXWFK UHWXUQ VSULQJ WR WKH FOXWFK VKLIW IRUN


(1*,1( $ ¤ 

 6HOHFW &DEOH

 6KLIW &DEOH

 3DUNLQJ %UDNH &DEOH

 :LWK WKH ORFN QXW  RI WKH SDUNLQJ EUDNH VLGH FDEOH


WLJKWHQHG WR WKH OLPLW URWDWH WKH QXW  WR FRQQHFW LW
ZLWK WKH IURQW VLGH FDEOH

 $IWHU WLJKWHQLQJ WKH IURQW VLGH QXW  WR WKH OLPLW IDVWHQ


WKH SDUNLQJ EUDNH FDEOH ZLWK WKH ORFN QXW  

 3XOO WKH SDUNLQJ EUDNH OHYHU WR WKH OLPLW ZLWK WKH


RSHUDWLQJ IRUFH RI DERXW  NJ DW WKH KDQG  DGMXVW WKH
OHYHU ZLWK WKH OHYHU DGMXVWLQJ QXW VR WKDW WKH QXPEHU RI
QRWFKHV EHFRPHV  WR  QRWFKHV
$WLI
 +DUQHVV &RQQHFWRU

 %DFNXS /DPS &RQQHFWRU

 1HXWUDO 6ZLWFK &RQQHFWRU

 &DU 6SHHG 6HQVRU &RQQHFWRU

 3URSHOOHU 6KDIW $VVHPEO\

3URSHOOHU 6KDIW %ROW 7RUTXH 1‡P NJ‡POE‡IW

 

(QJLQH :DUP8S

$IWHU FRPSOHWLQJ WKH UHTXLUHG PDLQWHQDQFH SURFHGXUHV


VWDUW WKH HQJLQH DQG DOORZ LW WR ZDUP XS 7KHQ FKHFN WKH
IROORZLQJ

 (QJLQH LGOLQJ VSHHG

5HIHU WR 6HUYLFLQJ IRU WKH LGOLQJ VSHHG DGMXVWPHQW


SURFHGXUH

 (QJLQH QRLVH OHYHO

 (QJLQH RLO FRRODQW DQG IXHO OHDNDJH

 (QJLQH FRQWURO FDEOH RSHUDWLRQ

 &OXWFK HQJDJHPHQW

 ,QGLFDWRU ZDUQLQJ OLJKW RSHUDWLRQ


HOME
(1*,1( &22/,1* % ¤ 

6(&7,21%
(1*,1(&22/,1*

&217(176
3$*(
*HQHUDO'HVFULSWLRQ % 
2Q9HKLFOH6HUYLFH  % 
:DWHU3XPS % 
7KHUPRVWDW  % 
5DGLDWRU  % 
'ULYH%HOW$GMXVWPHQW  % 

*(1(5$/'(6&5,37,21

&/7WLI

7KH HQJLQH FRROLQJ V\VWHP FRQVLVWV RI WKH UDGLDWRU WKH :KHQ WKH FRRODQW WHPSHUDWXUH UHDFKHV ƒ& ƒ) 
ZDWHU SXPS WKH FRROLQJ IDQ DQG WKH WKHUPRVWDWV WKH WKHUPRVWDW ZLOO EHJLQ WR RSHQ DQG D JUDGXDOO\

7R TXLFNO\ LQFUHDVH FROG HQJLQH FRRODQW WHPSHUDWXUH LQFUHDVLQJ DPRXQW RI FRRODQW ZLOO FLUFXODWH WKURXJK WKH

IRU VPRRWK HQJLQH RSHUDWLRQ WKH FRRODQW LV FLUFXODWHG UDGLDWRU

E\ WKH ZDWHU SXPS DQG WKHUPRVWDWV WKURXJK WKH E\ 7KH WKHUPRVWDWV ZLOO EH IXOO\ RSHQ ZKHQ WKH FRRODQW
SDVV KRVH DQG EDFN WR WKH F\OLQGHU ERG\ 7KH FRRODQW WHPSHUDWXUH UHDFKHV ƒ& ƒ)  $OO RI WKH FRRODQW
GRHV QRW FLUFXODWH WKURXJK WKH UDGLDWRU LV QRZ FLUFXODWLQJ WKURXJK WKH UDGLDWRU IRU HIIHFWLYH
HQJLQH FRROLQJ
% ¤  (1*,1( &22/,1*

(QJLQH FRRODQW FKDQJH SURFHGXUH  $IWHU ILOOLQJ WKH V\VWHP WR WKH IXOO SXOO RXW WKH ILOOLQJ

 7R FKDQJH HQJLQH FRRODQW PDNH VXUH WKDW WKH KRVH DQG FKHFN WR VHH LI DLU WUDSSHG LQ WKH V\VWHP

HQJLQH LV FRRO LV GLVORGJHG DQG WKH FRRODQW OHYHO JRHV GRZQ

6KRXOG WKH FRRODQW OHYHO JR GRZQ UHSHDW WRSSLQJ


:$51,1*
XS XQWLO WKHUH LV QR PRUH GURS LQ WKH FRRODQW OHYHO
:KHQ WKH FRRODQW LV KHDWHG WR D KLJK
 $IWHU GLUHFWO\ ILOOLQJ WKH UDGLDWRU ILOO WKH UHVHUYRLU WR
WHPSHUDWXUH EH VXUH QRW WR ORRVHQ RU UHPRYH
WKH PD[LPXP OHYHO
WKH UDGLDWRU FDS 2WKHUZLVH \RX PLJKW JHW
 ,QVWDOO DQG WLJKWHQ UDGLDWRU FDS DQG VWDUW WKH
VFDOGHG E\ KRW YDSRU RU ERLOLQJ ZDWHU 7R RSHQ
HQJLQH $IWHU LGOLQJ IRU  WR  PLQXWHV VWRS WKH
WKH UDGLDWRU FDS SXW D SLHFH RI WKLFN FORWK RQ
HQJLQH DQG UHRSHQ UDGLDWRU FDS ,I WKH ZDWHU OHYHO LV
WKH FDS DQG ORRVHQ WKH FDS VORZO\ WR UHGXFH WKH
ORZHU UHSOHQLVK
SUHVVXUH ZKHQ WKH FRRODQW KDV EHFRPH FRROHU

 2SHQ UDGLDWRU FDS DQG GUDLQ WKH FRROLQJ V\VWHP E\ :$51,1*

ORRVHQLQJ WKH GUDLQ YDOYH RQ WKH UDGLDWRU DQG RQ WKH :KHQ WKH FRRODQW LV KHDWHG WR D KLJK
F\OLQGHU ERG\ WHPSHUDWXUH EH VXUH QRW WR ORRVHQ RU UHPRYH

127( WKH UDGLDWRU FDS 2WKHUZLVH \RX PLJKW JHW


VFDOGHG E\ KRW YDSRU RU ERLOLQJ ZDWHU 7R RSHQ
)RU EHVW UHVXOW LW LV VXJJHVWHG WKDW WKH HQJLQH
WKH UDGLDWRU FDS SXW D SLHFH RI WKLFN FORWK RQ
FRROLQJ V\VWHP EH IOXVKHG DW OHDVW RQFH D \HDU
WKH FDS DQG ORRVHQ WKH FDS VORZO\ WR UHGXFH
,W LV DGYLVDEOH WR IODVK WKH LQWHULRU RI WKH FRROLQJ
WKH SUHVVXUH ZKHQ WKH FRRODQW KDV EHFRPH
V\VWHP LQFOXGLQJ WKH UDGLDWRU EHIRUH XVLQJ DQWL
FRROHU
IUHH]H HWK\OHQHJO\FRO EDVHG 
 $IWHU WLJKWHQLQJ UDGLDWRU FDS ZDUP XS WKH HQJLQH
5HSODFH GDPDJHG UXEEHU KRVHV DV WKH HQJLQH
DW DERXW  USP
DQWLIUHH]H FRRODQW LV OLDEOH WR OHDN RXW HYHQ
6HW KHDWHU DGMXVWPHQW WR WKH KLJKHVW WHPSHUDWXUH
PLQRU FUDFNV
SRVLWLRQ DQG OHW WKH FRRODQW FLUFXODWH DOVR LQWR
,VX]X UHFRPPHQGV WR XVH ,VX]X JHQXLQH DQWL
KHDWHU ZDWHU V\VWHP
IUHH]H HWK\OHQHJO\FRO EDVHG RU HTXLYDOHQW IRU
 &KHFN WR VHH WKH WKHUPRVWDW KDV RSHQHG WKURXJK
WKH FRROLQJ V\VWHP DQG QRW DGG DQ\ LQKLELWRUV
WKH QHHGOH SRVLWLRQ RI ZDWHU WKHUPRPHWHU FRQGXFW
RU DGGLWLYHV
D PLQXWH LGOLQJ DJDLQ DQG VWRS WKH HQJLQH
&$87,21
 :KHQ WKH HQJLQH KDV EHHQ FRROHG FKHFN ILOOHU
$ IDLOXUH WR FRUUHFWO\ ILOO WKH HQJLQH FRROLQJ
QHFN IRU ZDWHU OHYHO DQG UHSOHQLVK LI UHTXLUHG
V\VWHP LQ FKDQJLQJ RU WRSSLQJ XS FRRODQW PD\
6KRXOG H[WUHPH VKRUWDJH RI FRRODQW LV IRXQG
VRPHWLPHV FDXVH WKH FRRODQW WR RYHUIORZ IURP
FKHFN WKH FRRODQW V\VWHP DQG UHVHUYRLU WDQN KRVH
WKH ILOOHU QHFN HYHQ EHIRUH WKH HQJLQH DQG
IRU OHDNDJH
UDGLDWRU DUH FRPSOHWHO\ IXOO
 )LOO WKH FRRODQW LQWR WKH UHVHUYRLU WDQN XS WR ¦0$;§
,I WKH HQJLQH UXQV XQGHU WKLV FRQGLWLRQ
OLQH
VKRUWDJH RI FRRODQW PD\ SRVVLEO\ UHVXOW LQ
HQJLQH RYHUKHDWLQJ 7R DYRLG VXFK WURXEOH WKH
IROORZLQJ SUHFDXWLRQV VKRXOG EH WDNHQ LQ ILOOLQJ
WKH V\VWHP

 7R UHILOO HQJLQH FRRODQW SRXU FRRODQW XS WR ILOOHU

QHFN XVLQJ D ILOOLQJ KRVH ZKLFK LV VPDOOHU LQ RXWVLGH

GLDPHWHU RI WKH ILOOHU QHFN 2WKHUZLVH DLU EHWZHHQ

WKH ILOOHU QHFN DQG WKH ILOOLQJ KRVH ZLOO EORFN HQWU\

SUHYHQWLQJ WKH V\VWHP IURP FRPSOHWHO\ ILOOLQJ XS

 .HHS D ILOOLQJ UDWH RI  OLWHUPLQ RU OHVV )LOOLQJ RYHU

WKLV PD[LPXP UDWH PD\ IRUFH DLU LQVLGH WKH HQJLQH

DQG UDGLDWRU

$QG DOVR WKH FRRODQW RYHUIORZ ZLOO LQFUHDVH PDNLQJ

LW GLIILFXOW WR GHWHUPLQH ZKHWKHU RU QRW WKH V\VWHP LV

FRPSOHWHO\ IXOO
(1*,1( &22/,1* % ¤ 

:$7(53803
7KH FRRODQW SXPS LV D FHQWULIXJDO LPSHOOHU W\SH DQG LV
GULYHQ E\ 9 W\SH GULYH EHOW

%WLI

7+(50267$7
7KH WKHUPRVWDW LV D ZD[ SHOOHW W\SH ZLWK D MLJJOH YDOYH DQG
LV LQVWDOOHG LQ WKH RXWOHW SLSH

%WLI

%WLI

5$',$725
7KH UDGLDWRU LV D WXEH W\SH ZLWK FRUUXJDWHG ILQV ,Q RUGHU WR
UDLVH WKH ERLOLQJ SRLQW RI FRRODQW WKH UDGLDWRU LV DGMXVWHG
WKURXJK D YDOYH ILWWHG WR WKH XSSHU WDQN WR D SUHVVXUH UDQJH

RI    N3D    NJFP  7KH FDS ILWWHG WR WKH
F\OLQGHU KHDG WKHUPRVWDW KRXVLQJ KDV RQO\ D ZDWHU VXSSO\
IXQFWLRQ

%WLI
% ¤  (1*,1( &22/,1*

$17,)5((=(62/87,21
‡ 5HODWLRQ EHWZHHQ 0L[LQJ UDWLR DQG )UHH]LQJ SRLQW
)UHH]LQJ WHPSHUDWXUH RI WKH HQJLQH FRRODQW YDULHV ZLWK
WKH UDWLR RI DQWLIUHH]H VROXWLRQ LQ ZDWHU
3URSHU PL[LQJ UDWLR FDQ EH GHWHUPLQHG E\ UHIHUULQJ WR
WKH FKDUW 6XSSOHPHQWDO LQKLELWRUV RU DGGLWLYHV FODLPLQJ
WR LQFUHDVH FRROLQJ FDSDELOLW\ WKDW KDYH QRW EHHQ
VSHFLILFDOO\ DSSURYHG E\ ,VX]X DUH QRW UHFRPPHQGHG
IRU DGGLWLRQ WR WKH FRROLQJ V\VWHP
‡ &DOFXODWLRQ RI PL[LQJ UDWLR
0L[LQJ UDWLR
%WLI

$QWLIUHH]H VROXWLRQ /LWTW


$QWLIUHH]H VROXWLRQ /LWTW  ZDWHU /LWTW
1RWH
$QWLIUHH]H VROXWLRQ  :DWHU  OLW
7RWDO FRROLQJ V\VWHP
FDSDFLW\
,Q FDVH RI  OLW WRWDO FRROLQJ V\VWHP FDSDFLW\
0L[LQJ $QWLIUHH]H :DWHU OLW
VROXWLRQ
UDWLR  OLW LPSTW86TW LPSTW86 TW
    
    
    
    
    
    
    
    
    
    
    
‡ 0L[LQJ UDWLR
&KHFN WKH VSHFLILF JUDYLW\ RI HQJLQH FRRODQW LQ WKH
FRROLQJ V\VWHP LQ WHPSHUDWXUH UDQJHV IURP ƒ& WR ƒ&
XVLQJ D VXFWLRQ W\SH K\GURPHWHU WKHQ GHWHUPLQH WKH
PL[LQJ UDWLR RI WKH FRRODQW E\ UHIHULQJ WR WKH WDEOH DW
OHIW

%WLI
(1*,1( &22/,1* % ¤ 

219(+,&/(6(59,&(
:$7(53803

%WLI

5(029$/
3UHSDUDWLRQ

‡ 'LVFRQQHFW EDWWHU\ JURXQG FDEOH

‡ 'UDLQ FRRODQW

‡ 7LOW WKH FDE

 5DGLDWRU /RZHU +RVH

'LVFRQQHFW UDGLDWRU /RZHU KRVH IURP UDGLDWRU

 )DQ *XLGH

%WLI

 )DQ

 )DQ %HOW

 :DWHU 3XPS 3XOOH\

 :DWHU 3XPS $VVHPEO\

%WLI
% ¤  (1*,1( &22/,1*

,163(&7,21
0DNH WKH QHFHVVDU\ DGMXVWPHQWV UHSDLUV DQG SDUW
UHSODFHPHQWV LI H[FHVVLYH ZHDU RU GDPDJH LV GLVFRYHUHG
GXULQJ LQVSHFWLRQ

:DWHU 3XPS $VVHPEO\

 &KHFN WKH SXPS ERG\ IRU FUDFN DQG GDPDJH

 &KHFN WKH LPSHOOHU IRU FUDFN DQG FRUURVLRQ

 &KHFN WKH VHDO XQLW OHDNDJH

 ,I WKHUH LV DQ\ DEQRUPDO FRQGLWLRQ UHSODFH WKH ZDWHU


SXPS DV DQ DVVHPEO\

%WLI

%HDULQJ 8QLW

 5RWDWH WKH IDQ FHQWHU ZKLOH SXVKLQJ LW WRZDUG WKH


UDGLXV DQG FKHFN WR VHH LI WKHUH LV DQ\ H[FHVVLYH SOD\
RU QRLVH

 :KHQ WKHUH LV DQ\ H[FHVVLYH SOD\ RU QRLVH IRXQG


UHSODFH LW DV D ZDWHU SXPS DVVHPEO\

%WLI

,167$//$7,21
 :DWHU 3XPS $VVHPEO\

 $SSO\ PPPP EHDG RI WKH UHFRPPHQGHG OLTXLG


JDVNHW 7KUHH %RQG & RU LWV HTXLYDOHQW RQ WKH
ZDWHU SXPS ILWWLQJ VXUIDFH

 ,QVWDOO WKH ZDWHU SXPS WR WKH IURQW UHWDLQHU

:DWHU 3XPS %ROW 7RUTXH 1±P NJ±POE±IW

 

‡ ,QVWDOO WKH ZDWHU SXPS ZLWKLQ  PLQXWHV DIWHU DSSOLFDWLRQ

%WLI
RI OLTXLG JDVNHW

‡ )RU WKH GLVORFDWLRQ RI OLTXLG JDVNHW UHIHU WR WKH


LOOXVWUDWLRQ

&$87,21

7KH ZDWHU SXPS FODPSLQJ EROW LV DOVR XVHG WR WLJKWHQ

WKH IURQW UHWDLQHU 6R LQVWDOO WKH ZDWHU SXPS EHIRUH

OLTXLG JDVNHW JHWV GU\ LPPHGLDWHO\ DIWHU LQVWDOODWLRQ RI

WKH IURQW UHWDLQHU


(1*,1( &22/,1* % ¤ 

 :DWHU 3XPS 3XOOH\

:DWHU 3XPS 3XOOH\ %ROW 7RUTXH 1±P NJ±POE±IW

 

%WLI

 )DQ %HOW

&KHFN WKH GULYH EHOW WHQVLRQ

'HSUHVV WKH GULYH EHOW PLGSRUWLRQ ZLWK D NJ OE1


IRUFH

'ULYH %HOW 'HIOHFWLRQ PP LQ

}
}
      1HZ EHOW
      5HXVH EHOW

&KHFN WKH GULYH EHOW IRU FUDQNLQJ DQG RWKHU GDPDJH

%WLI

)DQ %HOW $GMXVWPHQW

)DQ EHOW WHQVLRQ LV DGMXVWHG E\ PRYLQJ WKH JHQHUDWRU

7RUTXH 1±P NJ±POE±IW

?  

@  

A  

%WLI

 )DQ

)DQ %ROW 7RUTXH 1±P NJ±POE±IW

 

 )DQ *XLGH

 5DGLDWRU /RZHU +RVH

‡ 3RXU FRRODQW LQWR UDGLDWRU

‡ &RQQHFW EDWWHU\ JURXQG FDEOH

‡ 6WDUW HQJLQH DQG FKHFN IRU ZDWHU OHDNDJH FDUHIXOO\


% ¤  (1*,1( &22/,1*

7+(50267$7

%WLI

5(029$/
3UHSDUDWLRQ

‡ 'LVFRQQHFW EDWWHU\ JURXQG FDEOH

‡ 'UDLQ FRRODQW

 5DGLDWRU 8SSHU +RVH

'LVFRQQHFW UDGLDWRU XSSHU KRVH IURP UDGLDWRU

 :DWHU 2XWOHW 3LSH

5HPRYH PRXQWLQJ EROW DQG UHPRYH RXWOHW SLSH WRJHWKHU

ZLWK UDGLDWRU XSSHU KRVH

 7KHUPRVWDW

,163(&7,21
0DNH WKH QHFHVVDU\ DGMXVWPHQWV UHSDLUV DQG SDUW

UHSODFHPHQWV LI H[FHVVLYH ZHDU RU GDPDJH LV GLVFRYHUHG

GXULQJ LQVSHFWLRQ
(1*,1( &22/,1* % ¤ 

2SHUDWLQJ 7HVW

 &RPSOHWHO\ VXEPHUJH WKH WKHUPRVWDW LQ ZDWHU

 +HDW WKH ZDWHU

6WLU WKH ZDWHU FRQVWDQWO\ WR DYRLG GLUHFW KHDW EHLQJ


DSSOLHG WR WKH WKHUPRVWDW

 &KHFN WKH YDOYH LQLWLDO RSHQLQJ WHPSHUDWXUH

9DOYH ,QLWLDO 2SHQLQJ 7HPSHUDWXUH ƒ& ƒ)

6WDQGDUG

ZLWKRXW MLJJOH 3ULPDU\ YDOYH  


%WLI

YDOYH
6HFRQGDU\ YDOYH  

ZLWK MLJJOH YDOYH  

 &KHFN WKH YDOYH OLIW IXOO RSHQLQJ WHPSHUDWXUH

9DOYH /LIW )XOO 2SHQLQJ 7HPSHUDWXUH ƒ& ƒ)

6WDQGDUG

ZLWKRXW MLJJOH YDOYH  

ZLWK MLJJOH YDOYH  

? 7KHUPRPHWHU
@ $JLWDWLQJ URG
A :RRGHQ SLHFH
B 7KHUPRVWDW
C +HDW

,167$//$7,21
 7KHUPRVWDW

,QVWDOO WKH JDVNHWV WR WKH WKHUPRVWDWV DQG WKH WKHUPRVWDWV


WR WKH F\OLQGHU KHDG DV VKRZQ LQ WKH LOOXVWUDWLRQ

%WLI

 :DWHU 2XWOHW 3LSH

,QVWDOO WKH ZDWHU RXWOHW SLSH ZLWK WKHUPRVWDW WR WKH F\OLQGHU


KHDG

7LJKWHQ WKH ZDWHU RXWOHW SLSH EROWV WR WKH VSHFLILHG WRUTXH

:DWHU 2XWOHW 3LSH %ROW 7RUTXH 1±P NJ±POE±IW

 

 5DGLDWRU 8SSHU

‡ &RQQHFW EDWWHU\ JURXQG FDEOH


%WLI
‡ 3RXU FRRODQW

‡ 6WDUW WKH HQJLQH DQG FKHFN FRRODQW OHDNDJH


% ¤  (1*,1( &22/,1*

5$',$725

%WLI

5(029$/
‡ 'LVFRQQHFW EDWWHU\ JURXQG FDEOH

‡ 7LOW WKH FDE

‡ /RRVHQ GUDLQ SOXJ WR GUDLQ FRRODQW

 5DGLDWRU 8SSHU +RVH

 5DGLDWRU /RZHU +RVH

'LVFRQQHFW XSSHU KRVH DQG ORZHU KRVH IURP WKH UDGLDWRU

 &RRODQW 5HVHUYH 7DQN +RVH

%WLI
(1*,1( &22/,1* % ¤ 

 )DQ *XLGH

 5DGLDWRU

 5HPRYH XSZDUG WKH UDGLDWRU DVVHPEO\ ZLWK KRVH


WDNLQJ FDUH QRW WR GDPDJH WKH UDGLDWRU FRUH E\ IDQ
EODGH

 )RU WKH $7 PRGHO YHKLFOH UHPRYH WKH RLO FRROHU SLSH

%WLI

,163(&7,21
5DGLDWRU 9DOYH &KHFN

 $SSO\ DLU SUHVVXUH IURP ILOOHU QHFN XVLQJ UDGLDWRU FDS


WHVWHU DQG FKHFN WKH RSHQLQJ SUHVVXUH RI UDGLDWRU
YDOYH ,I WKH YDOYH RSHQLQJ SUHVVXUH LV RXW RI WKH
VWDQGDUG YDOXH UDQJH UHSODFH ZLWK D QHZ UDGLDWRU
YDOYH
 
5DGLDWRU 9DOYH 2SHQLQJ 3UHVVXUH N3D NJFP SVL

       

 5HPRYH WKH UDGLDWRU YDOYH DQG FKHFN D QHJDWLYH


SUHVVXUH YDOYH DV WKH FHQWHU RI WKH YDOYH VHDW VLGH ,I
WKH QHJDWLYH SUHVVXUH YDOYH GRHV QRW ZRUN VPRRWKO\
FOHDQ RU UHSODFH WKH UDGLDWRU YDOYH

5DGLDWRU 9DOYH )L[LQJ 7RUTXH 1±P NJ±POE IW

 

 &RQGXFW FRROLQJ V\VWHP OHDNDJH FKHFN DIWHU


UHLQVWDOOLQJ WKH UDGLDWRU YDOYH

&RROLQJ 6\VWHP /HDNDJH &KHFN

 &ORJ XS WKH UHVHUYHU WDQN KRVH FDUHIXOO\ DQG FKHFN WKH


FRROLQJ V\VWHP IRU OHDNDJH ZLWK D UDGLDWRU FDS WHVWHU E\
DSSO\LQJ DQ DLU SUHVVXUH RI  N3D

 NJFP  SVL IURP ILOOHU QHFN WR LQVLGH WKH UDGLDWRU

 $V WKH UDGLDWRU XSSHU WDQN LV SURYLGHG ZLWK D YDOYH WKH


SUHVVXUH IDLOV WR ULVH KLJKHU WKDQ WKH YDOYH RSHQLQJ
SUHVVXUH XQOHVV WKH KRVH LV FORJJHG XS

%WLI
% ¤  (1*,1( &22/,1*

5DGLDWRU &RUH

 'HIRUPHG UDGLDWRU ILQV FRXOG UHGXFH UDGLDWLRQ HIIHFWV


UHVXOWLQJ LQ RYHUKHDW 6WUDLJKWHQ WKH ILQV ,Q VXFK D
FDVH WDNH FDUH QRW WR GDPDJH WKH ILQ URRWV

 5HPRYH GXVW DQG RWKHU IRUHLJQ PDWHULDOV

)OXVKLQJ WKH 5DGLDWRU

:DVK WKH LQVLGH RI UDGLDWRU DQG WKH FRRODQW SDVVDJH ZLWK


ZDWHU DQG QHXWUDO GHWHUJHQW 5HPRYH DOO VFDOHV DQG UXVW

,167$//$7,21
 5DGLDWRU

:LWK GXH DWWHQWLRQ SDLG QRW WR GDPDJH WKH UDGLDWRU FRUH E\


WKH IDQ EODGHV LQVWDOO WKH ERWK EUDFNHWV RI WKH UDGLDWRU WR
WKH EUDFNHWV RQ WKH IUDPH DV VKRZQ LQ WKH LOOXVWUDWLRQ

 )DQ *XLGH

 &RRODQW 5HVHUYH 7DQN +RVH

 5DGLDWRU /RZHU +RVH

 5DGLDWRU 8SSHU +RVH


%WLI

‡ &RQQHFW EDWWHU\ JURXQG FDEOH

‡ 3RXU FRRODQW

‡ 3RXU FRRODQW XS WR ILOOHU QHFN RI RXWOHW SLSH DQG XS WR


0$; PDUN RI UHVHUYH WDQN

‡ 6WDUW HQJLQH WR ZDUP XS DQG FKHFN IRU FRRODQW OHYHO


5HSOHQLVK FRRODQW LI LW GRHV QRW UHDFK WKH RXWOHW SLSH
ILOOHU QHFN DQG WLJKWHQ WKH FDS FRPSOHWHO\

%WLI
(1*,1( &22/,1* % ¤ 

'5,9(%(/7$'-8670(17

%WLI

,163(&7,21
&KHFN GULYH EHOWV IRU ZHDU RU GDPDJH DQG UHSODFH ZLWK
QHZ RQHV DV QHFHVVDU\ &KHFN EHOWV IRU WHQVLRQ DQG
DGMXVW DV QHFHVVDU\

 &KHFN GULYH EHOWV WHQVLRQ

 3XVK WKH PLGGOH RI EHOWV ZLWK D IRUFH RI 1

NJ ,E DQG FKHFN HDFK EHOW IRU GHIOHFWLRQ

 6WDQGDUG GHIOHFWLRQ

)DQ 'ULYH %HOW 'HIOHFWLRQ PP LQ

}
%WLI

}
      1HZ EHOW
      5HXVH EHOW

$& 'ULYH %HOW 'HIOHFWLRQ PP LQ

}
}
      1HZ EHOW
      5HXVH EHOW
% ¤  (1*,1( &22/,1*

7(16,21$'-8670(17
5HIHUWRWKHLOOXVWUDWLRQRQWKHSUHYLRXVSDJH
 *HQHUDWRU :DWHU 3XPS 3XOOH\ 'ULYH %HOW
 /RRVHQ WKH $LU &RQGLWLRLQLQJ $& GULYH EHOW WHQVLRQ
SXOOH\ DGMXVW EROW DQG ORFN QXW B 7KHQ IUHH WKH $&
GULYH EHOW
 /RRVHQ WKH DGMXVW SODWH ORFN QXW @  WKH IL[LQJ EROW ? 
DQG WKH IL[LQJ EROWV A RQ WKH ORZHU VLGH RI WKH
JHQHUDWRU
 5RWDWH WKH DGMXVW EROW WR DGMXVW WKH EHOW
 $IWHU DGMXVWPHQW WLJKWHQ HDFK VHFWLRQ WR WKH VSHFLILHG
WRUTXH
7RUTXH 1±P NJ±POE±IW
?  
@  
A  
 $GMXVW WKH $& GULYH EHOW WHQVLRQ
 $& &RPSUHVVRU 'ULYH %HOW
 /RRVHQ WKH WHQVLRQ SXOOH\ ORFN QXW B DQG URWDWH WKH
DGMXVW EROW WR DGMXVW WKH EHOW
:KHQ ILQLVKLQJ WKH IDQ GULYH EHOW DGMXVWPHQW WKHQ
DGMXVW WKH $& GULYH EHOW
 $IWHU DGMXVWPHQW WLJKWHQ WKH ORFN QXW B WR WKH
VSHFLILHG WRUTXH
/RFN 1XW B 7RUTXH 1±P NJ±POE±IW
 
HOME

FUEL SYSTEM 6C – 1

SECTION 6C
FUEL SYSTEM

CONTENTS
PAGE
General Description....................................................................................................... 6C - 2
On-Vehicle Service ........................................................................................................ 6C - 8
Fuel Filter Assembly (Except 4HF1-2 model) .......................................................... 6C - 8
Fuel Filter Assembly (4HF1-2 model only)............................................................... 6C - 12
Injection Nozzle Assembly........................................................................................ 6C - 14
Injection Pump Assembly (Except 4HF1-2 model).................................................. 6C - 33
Injection Pump Assembly (4HF1-2 model only) ...................................................... 6C - 39
Injection Timing Adjustment..................................................................................... 6C - 44
Injection Pump Data .................................................................................................. 6C - 48
Aneroid Compensator Adjustment .......................................................................... 6C - 75
Fuel Tank .................................................................................................................... 6C - 76
Fuel Gauge Unit ......................................................................................................... 6C - 78
Accelerator Control ....................................................................................................... 6C - 79
Accelerator Control Cable ........................................................................................ 6C - 79
Accelerator Pedal ...................................................................................................... 6C - 81
Idling Control Cable .................................................................................................. 6C - 82
Air Cleaner Element .................................................................................................. 6C - 84
6C – 2 FUEL SYSTEM

GENERAL DESCRIPTION
When working on the fuel system, there are several Pre-Fuel Filter
things to keep in mind: When the condensed water in the pre-fuel filter
• Any time the fuel system is being worked on, (water separator) comes to the warning level
disconnect the negative battery cable except for indicated on its plastic body, drain the fluid
those tests where battery voltage is required. immediately from the drain plug located bottom of
• Always keep a dry chemical (Class B) fire water separator.
extinguisher near the work area.
• Replace all pipes with the same pipe and Injection Pump
fittings that were removed. The fuel injection system includes a fuel tank, fuel
Clean and inspect “O” rings. Replace where hoses and lines, a fuel/water separator, fuel filters,
required. a fuel pump, a Bosch-type in-line fuel injection
• Always relieve the line pressure before pump with an internal governor, delivery valves,
servicing any fuel system components. fuel injection lines and for fuel injection nozzles.
• Do not attempt repairs on the fuel system until The fuel pump, injection pump and the nozzle are
you have read the instructions and checked the manufactured by ZEXEL corporation, but serviced
pictures relating to that repair. by Bosch.
Remove the injection pump and governor
assembly as a unit to have it services. Do not open
DESCRIPTION
or break any seals on the pump or the warranty is
Fuel Filters void. The injection pump has an identification plate
attached to the pump body.
The Purpose of the fuel filters is to clean the fuel of
any dirt particles that can cause wear on the fuel
injection nozzle’s sliding surface; and to separate
any water from the fuel, which is ever-present from
the condensation in the fuel tank. The pre-fuel filter
(water separator) is located between the fuel tank
and the injection pump. The secondary fuel filter is
located between the fuel pump and the injection
pump.
FUEL SYSTEM 6C – 3

FUEL FLOW

6C-3-1.tif

040LX005.tif
6C – 4 FUEL SYSTEM

Aneroid Compensator Function


The bellows in the aneroid compensator is provided with an
initial set force by the aneroid compensator spring (10) and
is compressed by the push rod C (11). As the atmospheric
pressure drops, the bellows (9) begins to expand against
the force of the aneroid compensator spring (10), which in
turn causes the push rod B (13), through the push rod C
(11) and the boost compensator lever (12)F, to move to the
left.
Then the push rod B (13) comes into contact with the U-
shaped lever (16) and, as the expanding bellows over
come the force of the cancel spring installed on the U-
shaped lever (16), causes the U-shaped lever to turn
clockwise. Because the bottom of the sensor lever (15) is
in touch with the torque cam (51), the torque cam (51) then
works as a pivot on which the top of the sensor lever (15)
moves to the right together with the U-shaped lever (16). At
the same time, the control rack (19), which is hooked on
the sensor lever (15), moves toward the governor to
reduce fuel injection.

6C-4-1.tif
FUEL SYSTEM 6C – 5

BRIEF EXPLANATION OF EMISSION AND


ELECTRICAL CONTROL SYSTEM
MITICS (Mechanically Integrated Timing and
Injection Control System)
4HE1-TC
The Mechanically Integrated Timing and Injection rate Control
System(MITICS) utilizes mechanical control, in comparison
with TICS systems, which utilize electronic control.
MITICS is equipped with the RLD-M type governor, which
contains a pre-stroke control mechanism. With this, pre-stroke
position (ie., beginning of static injection) can be varied to
control injection timing and injection rate (i.e., the fuel injection
quantity injected from the nozzle per cam angle degree).
This enables high injection rates1 in the low and medium
speed ranges through a short injection interval, thus
contributing to higher engine torque and cleaner exhaust.
MITICS was developed in response to the demands of medium
sized diesel engines for low cost, low fuel consumption, high
output and cleaner emissions.

High injection rates using a short injection interval.


• The speed at which the injection pump plunger rises
slows as engine speed decreases and the pressure
inside the injection pipe decreases. Because of this,
the nozzle spray deteriorates and makes it impossible
to obtain the proper fuel - air mixture.
To obtain the proper mixture at low and medium
speeds, it is necessary to increase the pressure inside
the injection pipes using a short injection interval.

040LW006.tif

• The left hand figure shows plunger speed and cam lift
in relation to cam angle. It can be seen from the graph
that plunger speed increases together with cam lift.
MITICS varies the beginning of injection position at low
and medium speeds so that injection occurs when the
plunger speed increases during the latter half of cam
lift (shown by the bold line). At high speeds, injection is
performed when the plunger speed decreases during
the first half of cam lift to prevent an excessive
increase in injection pipe pressure.
040LW007-1.tif This enables high pressures at low and medium
speeds with a fast plunger speed. Thus, a fine fuel oil
spray is injected into the cylinder from the nozzles
within a short time to provide the proper mixture for
combustion, helping to increase torque and keep
exhaust emissions clean.
6C – 6 FUEL SYSTEM

GOVERNOR (MODEL RLD-M)


4HE1-TC
The RLD-J type governor can be used with the MI, MITICS
injection pumps, and was designed to have better control
and endurance than the previous RLD type governor.
Although the basic construction is identical to that of the
RLD type governor, the RLD-M type is larger to match the
applicable pumps’ larger size.

FEATURES
1. Variable speed control governor with decreased lever
reaction force
As with the previous RLD type governor, RLD-M governor
control is accomplished using the speed control lever to
change the fulcrum of the internal link mechanism.
Consequently, as the reaction force of the governor spring
does not act directly on the speed control lever, only a very
small lever reaction force is exerted on the accelerator
6C-6-1.tif pedal.

2. Set torque characteristics through internal torque cam


At full load, the tip of the sensor lever traces the face of the
torque cam to determine the full load rack position and
control the full load injection quantity.
Consequently, the torque characteristics demanded by the
engine can be freely set by changing the shape of the
torque cam face.

6C-6-2.tif

3. Improved control through internal guide plate


When the speed control lever is operated, the 2nd
supporting lever’s pin moves along the guide plate. The
floating lever connected to the pin thus moves to change
the ball joint fulcrum positions. In the intermediate to high
speed ranges, the guide plate causes the floating lever to
move to increase the lever ratio continuously from 1.1
(idling) - 6 (full speed). This increase in the lever ratio in the
intermediate to high speed range improves speed droop.

6C-6-3.tif
FUEL SYSTEM 6C – 7

INJECTION NOZZLE
A Bosch hole type injection nozzle is used. It consists of
the nozzle body and the needle valve assembly.
The injection nozzle assembly sprays pressurized fuel from
the injection pump into the combustion chamber through
the nozzle body injection orifice.

6C-7-1.tif

FUEL FILTER AND WATER SEPARATOR


A cartridge type fuel filter and a water separator are used
along with the in-line type injection pump.
As the inside of the injection pump is lubricated by the fuel
which it is pumping, the fuel must be perfectly clean. The
fuel filter and the water separator remove water particles
and other foreign material from the fuel before it reaches
the injection pump.
The water separator has an internal float. When the float
reaches the specified level, a warning light comes on to
remind you to drain the water from the separator.

6C-7-2.tif
6C – 8 FUEL SYSTEM

ON-VEHICLE SERVICE
FUEL FILTER ASSEMBLY (Except 4HF1-2 model)

6C-8-1.tif

REMOVAL
Preparation
• Disconnect battery ground cable.
• Tilt the cab
1. Fuel Pipe
2. Fuel Filter Assembly

INSTALLATION
2. Fuel Filter Assembly
Fuel Filter Bracket Torque N∙m (kg∙m/lb∙ft)
34 (3.5/25)

1. Fuel Pipe
Fuel Pipe Joint Bolt Torque N∙m (kg∙m/lb∙ft)
23 (2.4/17)
FUEL SYSTEM 6C – 9

Air Bleeding
• Loosen the priming pump cap !.
• Loosen the air bleeding plug; ".
(4HG1-T model only)
• Operate the priming pump.
Pump the primer pump until fuel flow is free of air
bubbles.
(Except 4HG1-T model)
For 4HE1-TC • Tighten the air bleeding plug ".
(4HG1-T model only)
080LW001-1.tif
• Loosen the bleeding plug #.
• Operate the priming pump.
Pump the primer pump until fuel flow is free of air
bubbles.
• Tighten the bleeder plug #.
• Operate the priming pump.
Pump the primer pump until fuel flow is free of air
bubbles.
(Except 4HE1-TC model)
• Loosen the bleeding plug on the injection pump $.
(4HE1-TC model only)
• Operate the priming pump.
Pump the primer pump until fuel flow is free of air
bubbles.
(4HE1-TC model only)
• Tighten the bleeding plug on the injection pump $.
(4HE1-TC model only)
• Lock the priming pump cap !.
NOTE:
Check for fuel leakage from around the injection pump
and the fuel filter.

CARTRIDGE REPLACEMENT

REMOVAL
Replacement Procedure
1. Loosen the used fuel filter by turning it
counterclockwise with the filter wrench.

6C-8-3.tif
6C – 10 FUEL SYSTEM

INSTALLATION
1. Clean the upper cover fitting face.
This will allow the new fuel filter to seat properly.

6c-8-4.tif

2. Apply a light coat of engine oil to the O-ring.


3. Supply fuel to the new fuel filter to facilitate bleeding.
4. Turn in the new fuel filter until the filter O-ring is fitted
against the sealing face.
Be very careful to avoid fuel spillage.
5. Use the filter wrench to turn in the fuel filter an
additional 1/3 to 2/3 of a turn.

6C-10-1.tif

6. Operate the priming pump to bleed the air from the fuel
line.
Refer to “FUEL FILTER ASSEMBLY” for more detailed
information.
7. Start the engine.
Crank the engine for ten seconds or until it starts.
If the engine does not start after ten seconds, repeat
Step 6.

DRAINING THE PRE-FUEL FILTER


1. Loosen the air bleeding plug and drain plug by turning
them counterclockwise.
2. Drain approximately 0.1 liters (3.4 oz) of water.
3. Securely tighten the drain plug.
4. Operate the primer pump on the fuel pump to bleed the
fuel system.
5. Tighten the air bleeding plug.
6. Start the engine and check to be sure no fuel is leaking
from the drain plug.
7. Make sure that the warning light in the instrument
panel is off.
(Except 4HE1-TC)

6C-10-2.tif
FUEL SYSTEM 6C – 11

041LX001.tif
6C – 12 FUEL SYSTEM

FUEL FILTER ASSEMBLY (4HF1-2 model only)

6C-11-1.tif

REMOVAL
Preparation
• Disconnect battery ground cable.
1. Filler cap
2. Lead switch wiring connector
3. Fuel hose
• Draw out inlet and outlet hoses from the fuel filter and
cork the hoses to prevent fuel outflow.
6C-11-2.tif
4. Fuel filter installing bolt
5. Fuel filter assembly

INSTALLATION
5. Fuel filter assembly
4. Fuel filter installing bolt
3. Fuel hose
• Connect the inlet hose and outlet hose.
2. Lead switch wiring connector
1. Filler cap
FUEL SYSTEM 6C – 13

CARTRIDGE REPLACEMENT
Removal
1) Remove the cartridge using a filter wrench.
Special Tool
Filter wrench: 5-8840-0253-0
2) Remove the sedimenter/center.

6C-12-1.tif

Reassembly
1) Fit the sedimenter/center in a new cartridge.
2) Clean the cartridge mounting surface of the filter body
so that the new cartridge can be seated completely.
3) Apply engine oil thinly to the new cartridge O-ring.
4) Fill the new cartridge with light oil to facilitate air
bleeding.
5) Tighten the cartridge until the O-ring comes into
contact with the sealing surface. Sufficient care should
6C-12-2.tif be taken not to spill the light oil.
Give 1/3 to 2/3 of a turn using a filter wrench.
Special Tool
Filter wrench: 5-8840-0253-0

Air Bleeding
1) Actuate the priming pump 1 to send the air in the fuel
system to the injection pump.
2) Loosen the sedimenter air bleeding plug 2 and operate
the priming pump until no bubbles appear.
3) Tighten the air bleeding plug completely.
4) Try to start the engine. If the engine is not started within
10 seconds, air bleeding should be conducted once
again.
6C-12-3.tif 5) Check that there is no fuel leak, and then tighten the
priming pump completely.

Water Drain
If more than specified has collected, the warning light is lit.
Under this condition, follow the following water drain
procedure:
1) Place a container (Approximately 0.2 liters capacity)
beneath the drain plug on the separator.
2) Loosen the drain plug and air bleeding plug.
3) After draining, tighten the drain plug.
4) Operate the priming pump several times again and
check for fuel leak.
5) Tighten the air bleeding plug.
6) Make sure that the warning light in the instrument panel
is off.
6C – 14 FUEL SYSTEM

INJECTION NOZZLE ASSEMBLY

6C-13-1.tif

REMOVAL
Preparation
• Disconnect battery ground cable.
• Tilt the cab.
1. Nozzle Cover
2. Leak-Off Pipe
FUEL SYSTEM 6C – 15

6C-14-1.tif
6C – 16 FUEL SYSTEM

3. Fuel Injection
1) Loosen the injection pipe sleeve nuts #.
Do not apply excessive force to the injection pipes %.
2) Loosen the injection pipes clips ".
3) Remove the injection pipe assembly.
Plug the delivery valve holder ! ports and nozzle
holder $ ports with caps to prevent the entry of foreign
material.

6C-15-1.tif

4. Injection Nozzle Assembly


Mark the nozzle holder assemblies fitting positions by
tagging each nozzle holder assembly with the cylinder
number from which it was removed.

6C-15-2.tif

INSPECTION
Before disassembling the injection nozzle assembly, check
nozzle opening pressure, spray pattern, chatter and oil
leakage.

Opening Pressure
Use a nozzle tester to check the injection nozzle opening
pressure.
If the opening pressure is above or below the specified
value, the injection nozzle must be replaced or adjusted.
2
Injection Nozzle Opening Pressure Mpa (kg/cm /psi)
4HF1/4HF1-2/4HG1 18.14 (185/2,631)
4HE1-TC 21.57 (220/3,128)
1st 18.1 (185/2,631)
6C-15-3.tif 4HG1-T
2nd 21.1 (215/3,057)
1st 17.65 (180/2,560)
4HE1-T
2nd 21.57 (220/3,128)

Spray Pattern
Check the spray pattern
Refer to the illustration.
Spray Condition
• Correct
• Incorrect (Restrictions in orifice)
• Incorrect (Dripping)
If the spray condition is bad, the injection nozzle must be
replaced or adjusted.
6C-15-4.tif
FUEL SYSTEM 6C – 17

Leakage
Hold the tester handle to about 2070 kPa (300 psi) below
the opening pressure. If no drops of fuel fall from the
nozzle tip within 10 seconds, the nozzle is not leaking

Chatter
An easily audible chatter at all pump lever speeds should
be heard.
WARNING:
TEST FLUID FROM THE INJECTION NOZZLE WILL
SPRAY OUT UNDER GREAT PRESSURE. IT CAN
EASILY PUNCTURE A PERSON’S SKIN. KEEP YOUR
HANDS AWAY FROM THE INJECTION NOZZLE
TESTER AT ALL TIMES.

DISASSEMBLY
Clamp the injection nozzle holder in a vice.
1. Flange

6C-16-1.tif

2. Retaining Nut
Use a wrench to remove the injection nozzle retainer nut.

6C-16-2.tif
6C – 18 FUEL SYSTEM

3. Injection Nozzle
Keep the nozzle along with the needle valve separately to
maintain the original nozzle to needle valve combination.
4. Spacer
5. Spring Seat
6. Nozzle Spring
7. Adjusting Shim
Keep the adjusting shims in the original groups to hold the
initial shim to nozzle spring combination.
6C-17-1.tif 8. Nozzle Holder Body
CAUTION
• Wash all the parts removed and arrange them on a
cylinder basis, care should be taken not to miss
any parts.
• Soak the nozzle ASM in a parts receptacle filled
with light oil.
• Care should be taken not to miss shim, if used.

INSPECTION
Injection Nozzle Needle
1) Remove the nozzle from the nozzle body.
2) Carefully wash the nozzle needle and the nozzle body
in clean diesel fuel.
3) Check that the nozzle needle moves smoothly inside
the injection nozzle body.
If the nozzle does not move smoothly, it must be
6C-17-2.tif repaired (See “Nozzle Lapping Procedure” below).

Nozzle Lapping Procedure


1) Lap the nozzle needle # and the nozzle body ! by
applying a compound of oxidized chrome and animal
oil ".
NOTE:
Do not apply an excessive amount of the oxidized
chrome and animal oil compound to the injection
needle valve seat area.
2) Carefully wash the needle valve and the nozzle body in
6C-17-3.tif
clean diesel fuel after lapping.
FUEL SYSTEM 6C – 19

Nozzle Body and Needle Valve


Check the nozzle body and the needle valve for damage
and deformation.
The nozzle and body assembly must be replaced if either
of these two conditions are discovered during inspection.
NOTE:
New nozzles must be cleaned in a solvent to remove
protective coating.
The nozzle body and needle must always be replace as
6C-18-1.tif
an assembly.

REASSEMBLY
8. Nozzle Holder Body
7. Adjusting Shim
6. Nozzle Spring
5. Spring Seat
4. Spacer

6C-18-2.tif

3. Injection Nozzle
Install the nozzle dowel pin with it set to the dowel hose of
the nozzle holder body.

6C-18-3.tif

2. Retaining Nut
Clamp the injection nozzle holder in a vice.
Tighten the injection nozzle holder retaining nut to the
specified torque.
Injection Nozzle Holder Retaining
Nut Torque N∙m (kg∙m/lb∙ft)
34 (3.5/25)

Remove the injection nozzle holder from the vice.


6C-18-4.tif 1. Flange
6C – 20 FUEL SYSTEM

ADJUSTMENT OF INJECTION STARTING


PRESSURE
After reassemble of the injection nozzle, recheck the
opening pressure and spray condition.

Opening Pressure
Attach the injection nozzle holder to the injection nozzle
tester.
6C-19-1.tif Apply pressure to the nozzle tester to check that the
injection nozzle opens at the specified pressure.
If the injection nozzle does not open at the specified
pressure, install or remove the appropriate number of
adjusting shims to adjust it.
2
Injection Nozzle Opening Pressure Kpa (kg/cm /psi)
18,142 (185/2,631)

Opening Pressure Adjustment


1) Clamp the injection nozzle holder # in a vise !.
2) Use a wrench to remove the injection nozzle retaining
nut ".

6C-19-2.tif
FUEL SYSTEM 6C – 21

3) Remove the injection nozzle holder from the vise.


4) Remove the injection nozzle $, the spacer %, the
spring seat & the spring ' and the adjusting shim (.
5) Install the new adjusting shim, the spring, the sprig
seat, the spacer, the injection nozzle, and the retaining
nut.
6) Clamp the injection nozzle holder in the vise.
7) Tighten the injection nozzle holder retaining nut to the
specified torque.
6C-20-1.tif
Injection Nozzle Holder Retaining
Nut Torque N∙m (kg∙m/lb∙ft)
34 (3.5/25)

8) Remove the injection nozzle holder from the vise.


9) Attach the injection nozzle holder to the injection nozzle
tester.
10) Apply pressure to the nozzle tester to check that the
injection nozzle opens at the specified pressure.
If the injection nozzle does not open at the specified
pressure, install or remove the appropriate number or
adjusting shims to adjust it.
Removing or installing one shim will increase or
decrease the nozzle opening pressure approximately
2
3.77 kg/cm (53.6 psi/370 kPa).
Adjusting Shim Availability mm(in)
Range 0.5 - 1.5 (0.02 - 0.06)
Increment 0.025 (0.001)
Total Number of Shims 41

Spray Pattern
Check the spray condition.
Refer to the illustration.
Spray Condition
• Correct
• Incorrect (Restrictions in orifice)
• Incorrect (Dripping)
If the spray condition is bad, the injection nozzle must be
replaced or adjusted.
6C-20-2.tif
Refer to “Adjustment”.
Note:
Adjust the nozzle in a well ventilated area. Do not
inhale oil or spray injected from the nozzle.
6C – 22 FUEL SYSTEM

4-1 Injection Nozzle (Two spring nozzle holder)


(4HG1-T, 4HE1-T only)

The two-spring nozzle holder has been developed to


reduce NOx (Nitrogen Oxides) and particulates from direct
injection diesel engine exhaust.

Disassembly
1. Retaining nut
2. Nozzle & pin
3. Spacer & pin
4. Lift piece
5. Spring seat
6. Push rod
7. Shim (Second nozzle opening pressure adjustment)
8. Second spring
9. Collar
10. Spring seat
11. First spring
12. Shim (First nozzle opening pressure adjustment)
13. Nozzle holder body
14. Eye bolt
15. Gasket
080LX002.tif

(1) Before disassembly remove carbon deposit from


nozzle and nozzle holder using a wire brush and wash
the outside nozzle holder assembly.
Caution:
Do not touch nozzle holes with the wire brush
during cleaning it.
(2) Disassemble the nozzle holder assembly to numerical
order.
FUEL SYSTEM 6C – 23

REASSEMBLY AND OPENING


PRESSURE ADJUSTMENT
1. Nozzle holder body
2. Shim (First opening pressure adjustment)
3. First spring
4. Spring seat
5. Collar
6. Second spring
7. Push rod
8. Shim (Second opening pressure adjustment)
9. Spring seat
10. Lift piece
11. Spacer & pin
12. Nozzle & pin
13. Retaining nut
14. Gasket
15. Eye bolt

The nozzle holder is adjusted as the components are


reassembled in the sequence above.
As adjustment of the two-spring nozzle holder is made in
080LX003.tif
hundredths of a millimeter, clean the parts thoroughly in
light oil to completely remove any dirt or foreign matter.

REASSEMBLY AND ADJUSTMENT PROCEDURE


1 First nozzle opening pressure adjustment Adjust the first nozzle opening pressure using the shim.

2 Full needle valve lift confirmation Confirm the full needle valve lift in accordance with the
closed method.

3 Pre-lift confirmation Confirm pre-lift in accordance with the closed method.


CAUTION:
If not as specified, replace the nozzle assembly, lift
piece, pins and spacer using the nozzle service kit.

4 Second nozzle opening pressure Confirm the second nozzle opening pressure in accordance
confirmation with the closed method.

5 Second nozzle opening pressure Adjust the second nozzle opening pressure using the shim.
adjustment

6 Confirm the condition of the fuel spray with the nozzle and
Final inspection nozzle holder assembled.
6C – 24 FUEL SYSTEM

First nozzle opening pressure adjustment


1. Clamp the nozzle holder in a vise.

040MV015.tif

2. Install the shim, first spring and spring seat in the


nozzle holder.

040MV016.tif

3. Install the collar, second spring, shim, spring seat and


pushrod in the nozzle holder.

040MV017.tif

4. Install the pins, lift piece and spacer in the nozzle


holder.

040MV018.tif

5. Install the pins in the spacer.


6. Install the nozzle on the spacer.

040MV019.tif
FUEL SYSTEM 6C – 25

7. Hand-tighten the adjustment retaining nut together with


the gasket to the nozzle holder.
Retaining nut: 157892-3200 (ZEXEL)
Gasket: 157892-5100 (ZEXEL)

040MV010.tif

8. Tighten the adjustment retaining nut to the specified


torque.
Torque: 29 - 39 N∙m (3.0 - 4.0 kg∙m)

040MV014-1.tif

9. Set the nozzle holder to the nozzle tester.


10. Operate the nozzle tester and measure the first nozzle
opening pressure.
11. If the first nozzle opening pressure is not as specified,
disassemble the nozzle holder and replace the shim
until the pressure is as specified.
CAUTION:
Use a micrometer to measure shim thickness.

040MV030.tif

• First nozzle opening pressure adjusting shims


Part No. (ZEXEL) Thickness (mm)
150538-9800 0.40
150538-9900 0.50
150539-0000 0.52
150539-0100 0.54
150539-0200 0.56
150539-0300 0.58
150539-0400 0.60
040LX010.tif
150539-0500 0.70
6C – 26 FUEL SYSTEM

Full needle valve lift confirmation


1. Install the gasket and plug on the adjustment retaining
nut.
Gasket: 026508-1140 (ZEXEL)
Plug: 157892-1600 (ZEXEL)

040MV013.tif

2. Position the nozzle holder with the nozzle facing down


and install the dial gauge holder on the nozzle holder.
Dial gauge holder: 157892-5000 (ZEXEL)

040MV012.tif

3. Install the nut on the dial gauge holder.


Nut: 157892-1000 (ZEXEL)

040MV011.tif

4. Install the pin to the dial gauge.


Note:
The lengths of the pins do not include the threaded
portions.
Pin (λ=100 mm): 157892-5200 (ZEXEL)
Dial gauge: 157954-3800 (ZEXEL)

040MV029.tif
FUEL SYSTEM 6C – 27

5. Secure the dial gauge to the nozzle holder using the


nut so that the pin contacts the tip of the first spring
seat.
CAUTION:
• Secure the dial gauge so that a stroke of 2 mm can
be measured.
• Do not over-tighten the nut as the dial gauge shaft
may jam. (Confirm from the dial gauge that the
shaft moves smoothly.)

040MV009.tif

6. Set the nozzle holder to the nozzle tester and put


needle to zero on the dial gauge.
7. Operate the nozzle tester to bleed any air from inside
the retaining nut and to confirm that no fuel leaks.

040MV030.tif

8. Operate the nozzle tester and increase the in-line


2
pressure to 34.3 - 44.1 MPa (350 - 450 kg/cm ) so that
the nozzle’s needle valve moves through its full lift.
Record full lift ‘L’. (Read dial gauge)
Note:
The above operation is used to determine whether
the nozzle seat is worn and whether the nozzle
assembly is in good condition.

040MV008.tif
6C – 28 FUEL SYSTEM

Pre-lift confirmation
1. With the needle valve at full lift, release the nozzle
tester handle.
Note:
The in-line pressure will decrease and needle valve
lift (as indicated on the dial gauge) will also
decrease a little.

040MV007.tif

040MV006.tif

2. Read the needle valve lift ‘λ’ from the dial gauge
indication (once the needle valve has descended when
the second spring has stopped operating). Refer to the
pre-lift measuring point for ‘λ’.
Pre-lift measuring point:
Read the dial gauge at first nozzle opening pressure
2
+approx 1 MPa (10 kg/cm ).
Note:
This point can be found while the pressure is
decreasing.
040MV025-1.tif

3. Confirm that pre-lift ‘λ’ is as specified.


Pre-lift mm
4HG1-T 0.04
4HE1-T 0.10

040MV005.tif

4. If pre-lift is not as specified, replace the pins, lift piece,


spacer and nozzle assembly as a set with the service
kit.
Service kit: ZEXEL
4HG1-T 105019-2310
4HE1-T 105019-1070

040MV031.tif
FUEL SYSTEM 6C – 29

Second nozzle opening pressure confirmation


1. After pre-lift confirmation, operate the nozzle tester to
increase in-line pressure to 34.3 - 44.1 MPa (350 - 450
2
kg/cm ) so that the nozzle’s needle valve moves
through its full lift.

040MV030.tif

2. Release the nozzle tester handle so that in-line


pressure decreases.
Note:
The in-line pressure will decrease and needle valve
lift (as indicated on the dial gauge) will also
decrease a little.

040MV022.tif

3. Then, read the pressure gauge indication (second


nozzle opening pressure) the instant that the dial gauge
indicates the specified needle valve lift (usually pre-lift λ
+ 0.05 mm).

040MV024.tif

040MV026.tif
6C – 30 FUEL SYSTEM

Second nozzle opening pressure adjustment


If the second nozzle opening pressure is not as specified,
disassemble the nozzle from the nozzle holder and replace
the shim until the pressure is as specified.
CAUTION:
• Because the second opening pressure changes
when the first opening pressure changes, the
second opening pressure must be adjusted when
the first opening pressure changes.
• Use a micrometer to measure shim thickness.
040MV017.tif

• Second nozzle opening pressure adjusting shims


Part No. (ZEXEL) Thickness (mm)
150591-4000 0.40
150591-5000 0.50
150591-5200 0.52
150591-5400 0.54
150591-5600 0.56
150591-5800 0.58
150591-5900 0.59

040LX009.tif

Final inspection
1. Remove the dial gauge, nut and dial gauge holder.

040MV028.tif

2. Remove the adjustment retaining nut and gasket.


3. Install the original retaining nut, confirm that the pins
are inserted fully into the nozzle, and then hand-tighten
the retaining nut. Then, tighten the original retaining nut
to the specified torque.
Torque: 59 - 79 N∙m (6.0 - 8.0 kg∙m)

040MV014-1.tif

4. Set the nozzle holder to the nozzle tester and check


first nozzle opening pressure, spray condition, seat oil
tightness and each part for oil leaks.
5. When replacing the nozzle, replace the nozzle, lift
piece, pins and spacer as a set with the nozzle service
kit.
CAUTION:
Pre-lift will not be as specified if only the nozzle is
replaced.

040MV030.tif
FUEL SYSTEM 6C – 31

INSTALLATION
4. Injection Nozzle Assembly
1) Install a new injection nozzle gasket and O-ring to the
nozzle holder, and then install the nozzle holder to the
cylinder head as shown in the illustration.

6C-30-1.tif

2) Tighten the nozzle holder flange nuts to the specified


torque in the numerical order.
Nozzle Holder Flange Nuts Torque N∙m (kg∙m/lb∙ft)
19 (1.9/14)

6C-30-2.tif

3. Fuel Injection Pipe


1) Install the injection pipe assembly and temporarily
tighten the injection pipe sleeve nuts.
2) Set the clips in the prescribed position shown in the
illustration.
CAUTION:
Make absolutely sure that the clip is correctly
positioned.
An improperly positioned clip will result in injection
pipe breakage and fuel pulsing noise.
Clip Screw Torque N∙m (kg∙m/lb∙in)
3 (0.3/26)

3) Tighten the injection pipe sleeve nuts to the specified


torque.
Injection Pipe Sleeve Nut Torque N∙m (kg∙m/lb∙ft)
29 (3/22)

6C-30-3.tif
6C – 32 FUEL SYSTEM

Fuel Injection Pipe (4HF1-2 model only)


1) Connect Injectin Pipe and fix with clips as illustrated.
Injection Pipe Tightening Torque N∙m (kg∙m/lb∙ft)
29 (3.0/22)

Clip Tightening Torque N∙m (kg∙m/lb∙in)


3 (0.3/26)

6C-31-1.tif

2. Leak Off Pipe


Leak-Off Pipe Joint Bolt Torque N∙m (kg∙m/lb∙in)
13 (1.3/113)

1. Nozzle Cover
• Connect battery ground cable.

6C-31-2.tif
FUEL SYSTEM 6C – 33

INJECTION PUMP ASSEMBLY (Except 4HF1-2 model)

6C-32-1.tif
6C – 34 FUEL SYSTEM

REMOVAL
Preparation
• Disconnect battery ground cable
• Drain coolant
1. Intake Air Duct
2. Vacuum Hose
3. Oil Level Guide Tube
• Remove the guide tube fixing bolt and pull out the
guide tube.

6C-33-1.tif

4. Engine Stop Cable


• Loosen locking nut at bracket and disconnect.
• Engine stop cable from injection pump stop lever.

6C-33-2.tif

For 4HE1-TC

6C-33-3.tif

5. Accelerator Control Cable


• Loosen locking nut at bracket and disconnect
accelerator control cable from injection pump control
lever.

6C-33-4.tif
FUEL SYSTEM 6C – 35

6C-34-1.tif

6. Engine Control Wire


7. Engine Control Lever
8. Oil Pipe
9. Fuel Return Hose
10.Fuel Feed Hose
• Disconnect fuel hose from injection pump side and
take care not to spill and enter dust.
11 Nozzle Cover

6C-34-2.tif

12. Leak-Off Pipe


13. Fuel Pipe
14. Fuel Filter Assembly

15. PCV Hose

6C-34-3.tif

16. Injection Pipe


• Loosen the injection pipe sleeve nuts #.
Do not apply excessive force to the injection pipes %.
• Loosen the injection pipes clips ".
• Remove the injection pipe assembly.
Plug the delivery valve holder ! ports and nozzle
holder $ ports with caps to prevent the entry of foreign
material.

6C-34-4.tif
6C – 36 FUEL SYSTEM

17. Injection Pump Assembly


1) Remove the injection pump bracket bolts and the
injection pump rear bracket bolts.
2) Then remove the injection pump assembly.

6C-35-1.tif

18. Injection Pump Rubber Spacer


(For 4HF1/4HG1/4HE1-T)

6C-35-2.tif

INSTALLATION
18. Injection Pump Rubber Spacer
Stick the rubber spacer to the location indicated in the
illustration with pressure sensitive adhesive double coated
tape. (4HF1/4HG1/4HE1-T Engine)

6C-35-3.tif

17. Injection Pump Assembly


1) Turn the crankshaft until the timing mark on the
crankshaft damper pulley is aligned with “13°” line.
2) Check the No.1 cylinder intake and exhaust valve
rocker arms for any play.
If the No.1 cylinder intake and exhaust valve rocker
arms are depressed the No.4 piston is at on the
compression stroke.
Rotate the crankshaft one full turn (360 degrees) and
realign the crankshaft damper pulley timing mark with
6C-35-4.tif
the “13°” line.
NOTE:
BTDC 13° to be aligned with here is an angle at which
the injection pump is installed, and has nothing to do
with the injection timing.
• Remove the inspection hole plug from the cylinder
body.
• Install the O-ring to the injection pump bracket.
FUEL SYSTEM 6C – 37

3) Align the injection pump bracket slit with the timer slit.
4) Install the injection pump assembly to the cylinder
body.
NOTE:
When the injection pump has a poor gear engagement
while installing the assembly to the cylinder body,
insert a screwdriver into the slit on the time peripheral
with the pump bracket slit used as a guide, and move
it up and down to get it into forcibly.

6C-36-1.tif

5) After installing the injection pump, the injection timing


can be checked through the timing check hole provided
at the injection pump bracket.
Set the No.1 cylinder to the BTDC (injection timing of
engine mode) on the compression stroke. When the
pointer of the timing check hole comes in line with the
mark on the timer periphery of the injection pump as
shown in the illustration, the injection timing is normal.
After completion of the injection timing check, tighten
the check hole plug to the specified torque.
6C-36-2.tif

Injection Timing deg


4HF1: 4HE1-TC BTDC 8
4HG1 BTDC 9
BTDC 7 (Except Colombia)
4HG1-T
BTDC 9 (For Colombia)
4HE1-T BTDC 7

140RW080.tif

6) Turn the crankshaft until the timing mark on the


crankshaft damper pulley is aligned with “8°” line
NOTE:
Position in its normal rotating direction. (for 4HE1-TC
only)

6C-36-4.tif

7) Adjust injection pump downward so that the “8°” comes


to position in the timing check hole.
(for 4HE1-TC only)
NOTE:
Whenever the injection pump is replaced, be sure to
adjust the injection timing. For the details of the
adjustment, refer to the “SECTION 00 SERVICING:
INJECTION TIMING INSPECTION AND ADJUSTMENT”.

140RW079.tif
6C – 38 FUEL SYSTEM

8) Tighten the injection pump bracket nuts and bolts to


the specified torque.
Injection Pump Bracket Nut and
Bolt Torque N∙m (kg∙m/lb∙ft)
48 (4.9/35)

9) Install the injection pump rear bracket.


Injection Pump Rear Bracket
Bolt Torque N∙m (kg∙m/lb∙ft)
6C-37-1.tif 48 (4.9/35)

10) Install the inspection hole plug.


Inspection Hole Plug Torque N∙m (kg∙m/lb∙ft)
48 (4.9/35)

Note:
In case the crank pulley has two marks as illustrated,
# BTDC 49° mark on the second crest and ! TDC
mark on the third crest (as viewed from the front side),
be sure to set at the mark !. (If there are two different
marks on one and same crest, set at the mark which
comes second when rotated in the normal direction.)
The mark # is used when installing the injection
pump for 4HF1-2.

012RW133.tif

16. Fuel Injection Pipe


1) Install the injection pipe assembly and temporarily
tighten the injection pipe sleeve nuts.
2) Set the clips in the prescribed position shown in the
illustration.
CAUTION:
Make absolutely sure that the clip is correctly
positioned.
An improperly positioned clip will result in injection
pipe breakage and fuel pulsing noise.
Clip Screw Torque N∙m (kg∙m/lb∙in)
3 (0.3/26)

3) Tighten the injection pipe sleeve nuts to the specified


torque.
Injection Pipe Sleeve Nut Torque N∙m (kg∙m/lb∙ft)
29 (3/22)

15. PCV Hose


14. Fuel Filter
Fuel Filter Bracket Bolt Torque N∙m (kg∙m/lb∙ft)
040LX020.tif

34 (3.5/25)
FUEL SYSTEM 6C – 39

INJECTION PUMP ASSEMBLY (4HF1-2 model only)

6C-38-1.tif

INSTALLATION
1) Turn the crankshaft to set No. 1 cylinder to 49° before
TDC in its compression stroke.
(49° is a pump assembling angle, not related to
injection timing.)

6C-38-2.tif

2) Install O-ring to the injection pump.


3) Apply paint on the ) (Z) marked side of the injection
pump gear.
4) Align the pump bracket mark with the tooth (under side
of the pump) just before the ) (Z) marked tooth.
5) Insert the pump using the block side of stud bolt as a
guide.

6C-38-3.tif
6C – 40 FUEL SYSTEM

6) After installing the injection pump, remove the


tachometer sensor from the housing, and make sure
that the painted gear is at the center of the sensor
mounting hole.
7) Tighten injectin pump clamping bolt and nut to
specified torque:
Bolt Tightening Torque N∙m (kg∙m/lb∙ft)
48 (4.9/35)

6C-39-1.tif
Nut Tightening Torque N∙m (kg∙m/lb∙ft)
24 (2.4/17)

8) With reference to Injection Timing Check &


Adjustment, set No. 1 Cylinder to 12° before its TDC.

Note:
In case the crank pulley has two marks as illustrated,
# BTDC 49° mark on the second crest and TDC mark
on the third crest (as viewed from the front side), be
sure to set at the mark !. (If there are two different
marks on one and same crest, set at the mark which
comes second when rotated in the normal direction.)

012RW133.tif

Injection Pipe (4HF1-2 model only)


1) Connect Injection Pipe and fix with clips as illustrated.
Injection Pipe Tightening Torque N∙m (kg∙m/lb∙ft)
29 (3.0/22)

Clip Tightening Torque N∙m (kg∙m/lb∙in)


3 (0.3/26)

6C-39-3.tif
FUEL SYSTEM 6C – 41

13. Fuel Pipe


Do not apply excessive force to the fuel pipe.
Fuel Pipe Joint Bolt # Torque N∙m (kg∙m/lb∙ft)
41 (4.2/30)

Fuel Pipe Joint Bolt ! Torque N∙m (kg∙m/lb∙ft)


23 (2.3/17)

Clip Screw Torque N∙m (kg∙m/lb∙in)


4 (0.4/35)

6C-40-1.tif

12. Leak Off Pipe


Leak-Off Pipe Joint Bolt Torque N∙m (kg∙m/lb∙in)
13 (1.3/113)

11. Nozzle Cover


10. Fuel Feed Hose
9. Fuel Return Hose

6C-40-2.tif

Air Bleeding
1) Loosen the priming pump cap ! at the side of the
injection pump.
2) Loosen the bleeder valve # at the top of the fuel filter.
3) Operate the priming pump to bleed the air from the
injection pump.
4) Retighten the bleeder valve.
5) Operate the priming pump.
6C-40-3.tif
Check for fuel leakage from around the injection pump
and the fuel filter.
6) Lock the priming cap to the injection pump.

For 4HE1-TC
080LW001-1.tif
6C – 42 FUEL SYSTEM

Air Bleeding (4HF1-2 model only)


1) Actuate the priming pump # to send the air in the fuel
system to the injection pump.
2) Loosen the sedimenter air bleeding plug ! and
operate the priming pump until no bubbles appear.
3) Tighten the air bleeding plug completely.
4) Try to start the engine. If the engine is not started within
10 seconds, air bleeding should be conducted once
again.
6C-41-1.tif
5) Check that there is not fuel leak, and then tighten the
priming pump completely.

8. Oil Pipe
Oil Pipe Joint Bolt Torque N∙m (kg∙m/lb∙ft)
17 (1.7/12)

6C-41-2.tif

7. Engine Control Lever Assembly


Engine Control Lever Bolt Torque N∙m (kg∙m/lb∙ft)
24 (2.4/17)

6. Engine Control Wire

6C-41-3.tif

6C-41-4.tif
FUEL SYSTEM 6C – 43

5. Accelerator Control Cable


1) Check to see if the idling control knob is turned to the
extreme left.
2) Attach the tip end of the cable to the engine control
lever.
3) Pull the outer cable toward the front side of the vehicle,
and provide the engine control wire and the inner cable
with an appropriate play before fastening the clamp
with a nut.
4) Check to see if the injection pump control lever is at the
6C-42-1.tif
idling position (with the lever in touch with the stopper
bolt).

4. Engine Stop Cable


1) Attach the end tip of the cable to the engine stop lever.
2) Pull the cable toward the rear side of the vehicle, and
fasten the clamp with a nut at the position where the
lever stops.

6C-42-2.tif

3. Oil Level Gauge Guide Tube


1) Install the O-rings to the guide tube lower portion and
insert the guide tube completely to the cylinder body.
2) Tighten the guide tube bolt to the specified torque.
Guide Tube Bolt Torque N∙m (kg∙m/lb∙in)
13 (1.3/113)

2. Vacuum Hose

6C-42-3.tif
1. Intake Air Duct
• Pour coolant into radiator.
• Connect battery ground cable.
• Start engine and check for oil and fuel leakage
carefully.
6C – 44 FUEL SYSTEM

INJECTION TIMING ADJUSTMENT


Injection Pump Notched Line Inspection
1) Check the injection pump bracket nuts # for
looseness.
Tighten as required.
2) Check that the notched lines ! on the injection pump
bracket and the timing gear case are aligned.
If the notched lines are not aligned, the injection timing
6C-43-1.tif
must be checked.
3) Same time, check injection timing on the crank damper
pulley. If the injection timing aligned with incorrect, the
injection timing must be readjusted.

6C-43-2.tif

Injection Timing Adjustment (Except 4HF1-2


model)
1) Turn the crankshaft until the timing mark on the
crankshaft damper pulley is aligned with the injection
timing of each engine mode mark in the illustration.
Injection Timing deg
4HF1 : 4HE1-TC BTDC 8
4HG1 BTDC 9
4HG1-T : 4HE1-T BTDC 7
6C-43-3.tif

2) Remove the two foam rubbers.


3) Loosen the four injection pump fixing nuts #.
This will allow the pump to pivot.
Do not bend or scratch the fuel pipe.
4) Aligne the notched line between the injection pump
bracket and the timing gear case.
Make sure that the timing mark on the crank damper
pulley is aligned with correct injection timing.

6C-43-4.tif
FUEL SYSTEM 6C – 45

6C-44-1.tif

5) Tighten the injection pump fixing nuts # to the


specified torque.
Injection Pump Fixing Nut Torque N∙m (kg∙m/lb∙ft)
25 (2.6/19)

Note:
If there are two marks on the crank pulley, the front
side of mark is for setting BTDC 49° and the rear side
of mark is for setting TDC.
6C-44-2.tif

Idling Speed Adjustment (Except 4HF1-2 model)


1. Idling Rotation Check
1) Idle the engine.
2) Measure the number of the idling rotations with a
tachometer.
3) When the number of the idling rotations is outside
the specified value, adjust it with the idling adjust
bolt (arrow-marked).
Number of idling rotations:
6C-44-3.tif
550 to 600 rpm (at M/T standard)
640 to 690 rpm (at A/T standard)
(4HE1-TC)
775 to 825 rpm (at M/T and A/T standard)
6C – 46 FUEL SYSTEM

Injection Timing Check (4HF1-2 model only)


1) Set No. 1 Cylinder to the TDC in the compression
stroke.
2) Disconnect Injection Pipe.
3) Put down Wax CSD lever, insert a spacer (10 ~ 12
mm/0.39 ~ 0.47 in) thick between the plunger and
adjust bolt, and cancel the Wax CSD.

080LX001.tif

4) Remove the pump rear plug, connect a dial gage and


set the lift at 1 mm (0.039 in).
Special Tool
Measuring device: 5-9940-0145-0

6C-45-2.tif

5) Set the crankshaft damper pulley TDC mark to the


pointer or 45° before TDC.
6) Set the dial gage to the “0” position.
7) Turn the crankshaft leftwise and rightwise a little and
make sure that the needle stays in the “0” position.

6C-45-3.tif

8) Turn the crankshaft in the normal direction and read


the measuring device’s indication at the 12° before
TDC position.
NOTE:
As there is no 12° mark, set midway between the 11°
and 13° marks.
Standard value: 0.5 mm (0.0197 in)

6C-45-4.tif

Note:
In case the crank pulley has two marks as illustrated,
# BTDC 49° mark on the second crest and ! TDC
mark on the third crest (as viewed from the front side),
be sure to set at the mark !. (If there are two different
marks on one and same crest, set at the mark which
comes second when rotated in the normal direction.)
The mark # is used when installing the injection
pump for 4HF1-2.
012RW133.tif
FUEL SYSTEM 6C – 47

Injection Timing Adjustment


(4HF1-2 model only)
If injection timing is out of the specified range, follow the
following procedure for adjustment:
1) Loosen injection pump fixing nuts and bracket bolt.
2) Adjust the mounting angle of injection pump:
• If injection timing is too fast, bring the injection pump
closer to the engine.
• If injection timing is too slow, put the injection pump
6C-46-1.tif
more distant from the engine.
3) When the dial gage has indicated the specified value,
tighten the fixing nuts and bolt to specified torque.
Nut Tightening Torque N∙m (kg∙m/lb∙ft)
24 (2.4/17)

Bolt Tightening Torque N∙m (kg∙m/lb∙ft)


48 (4.9/35)

4) Disconnect the dial gage, install and tighten the plug to


specified torque. (Make sure of a coper washer being
attached to the plug)

Plug Tightenng Torque N∙m (kg∙m/lb∙ft)


17 (1.7/12)

5) Release the wax CSD and connect the injection pipe.


Pipe Sleeve Nut Tightening
Torque N∙m (kg∙m/lb∙ft)
29 (3.0/22)

IDLING SPEED CHECK & ADJUSTMENT (4HF1-2


model only)
1) Warm up the engine.
2) Measure idling speed by means of tachometer.
3) If idling speed is out of the standard, adjust with an
idling adjust bolt (indicated by and arrow mark).
Idling speed: 575 - 625 rpm

6C-46-2.tif
6C – 48 FUEL SYSTEM

INJECTION PUMP DATA


INJECTION VOLUME ADJUSTMENT
TEST CONDITIONS
4HF1 Engine

Item Condition
Injection nozzle and holder assembly ZEXEL Part No.: 105118-6050
Injection nozzle ZEXEL Part No.: 105017-1860
Nozzle holder ZEXEL Part No.: 105048-3673
Injection nozzle opening 185 (2,631/18,142)
2
pressure kg/cm (psi/kPa)
Injection line dimensions
Inside diameter mm (in) 2.0 (0.079)
Outside diameter mm (in) 6.0 (0.236)
Length mm (in) 500 (19.7)
2
Fuel delivery pressure kg/cm (psi/kPa) 1.6 (22.75/156.9)
Test fuel SAE Standard Test Diesel Fuel (SAE J967d)
ISO Standard Test Diesel Fuel (ISO 4113)
Test fuel temperature °C (°F) 40 - 45 (104 - 113)
Identification numbers 101401-7070
101401-7060
101401-7090
101401-7311

IDENTIFICATION PLATE AND NUMBER


Use the data following the injection pump identification
number to adjust the injection volume.

6C-47-1.tif
FUEL SYSTEM 6C – 49

INJECTION VOLUME AND GOVERNOR PERFORMANCE DIAGRAM


Identification Numbers : 101401-7070/101401-7060
[4HF1 Engine]
Pre-stroke : No. 1 plunger 4.1 ± 0.05 mm
Injection order : 1 - 3 - 4 - 2 (interval 90° ± 30') Plungers are numbered from the Governor side
Tappet clearance : Bolt adjustment type : More than 0.3 mm for all cylinders.
: Shim adjustment type : Manually rotate the camshaft 2-3 times and
confirm that it rotates smoothly.

Injection Volume

Adjusting Pump speed Injection volume Variance


Remarks
point (r.p.m.) (cc/1000 strokes) (%)
960 61 ± 1.6 ±4 Basic
H 285 16 ± 1.3 ±10.0
A 960 61 ± 1 - Basic
B 1,600 (62) ± 2 -
C 500 (60.5) ± 2 -
+ 16
I 150 (82) − 0 -

Timing Advance Specification

1,050 1,600
Pump Speed (r.p.m.) 1,000
or less or more
0.5 Finish
Degree for Angle of Lead (deg.) Start
or less 5 ± 0.5
6C – 50 FUEL SYSTEM

Governor Adjustment

B06LT001-1.tif
FUEL SYSTEM 6C – 51

INJECTION VOLUME AND GOVERNOR PERFORMANCE DIAGRAM


Identification Numbers : 101401-7090
[4HF1 Engine]
Pre-stroke : No. 1 plunger 4.1 ± 0.05 mm
Injection order : 1 - 3 - 4 - 2 (interval 90° ± 30') Plungers are numbered from the Governor side
Tappet clearance : Bolt adjustment type : More than 0.3 mm for all cylinders.
: Shim adjustment type : Manually rotate the camshaft 2-3 times and
confirm that it rotates smoothly.

Injection Volume

Adjusting Pump speed Injection volume Variance


Remarks
point (r.p.m.) (cc/1000 strokes) (%)
960 61 ± 1.6 ±4 Basic
H 285 16 ± 1.3 ±10.0
A 960 61 ± 1 - Basic
B 1,600 (62) ± 2 -
C 500 (60.5) ± 2 -
+ 16
I 150 (82) − 0 -

Timing Advance Specification

1,050 1,600
Pump Speed (r.p.m.) 1,000
or less or more
0.5 Finish
Degree for Angle of Lead (deg.) Start
or less 5 ± 0.5
6C – 52 FUEL SYSTEM

Governor Adjustment

B06LT002-1.tif
FUEL SYSTEM 6C – 53

INJECTION VOLUME AND GOVERNOR PERFORMANCE DIAGRAM


Identification Numbers : 101401-7311
[4HF1 Engine]
Pre-stroke : No. 1 plunger 4.1 ± 0.05 mm
Injection order : 1 - 3 - 4 - 2 (interval 90° ± 30') Plungers are numbered from the Governor side
Tappet clearance : Bolt adjustment type : More than 0.3 mm for all cylinders.
: Shim adjustment type : Manually rotate the camshaft 2-3 times and
confirm that it rotates smoothly.

Injection Volume

Adjusting Pump speed Injection volume Variance


Remarks
point (r.p.m.) (cc/1000 strokes) (%)
960 61 ± 1.6 ±4 Basic
H 285 16 ± 1.3 ±10.0
A 960 65 ± 1 - Basic
B 1,600 (62) ± 2 -
C 500 (63.5) ± 2 -
+ 16
I 150 (82) − 0 -

Timing Advance Specification

1,600
Pump Speed (r.p.m.) 1,000
or more
0.5 Finish
Degree for Angle of Lead (deg.)
or less 5 ± 0.5
6C – 54 FUEL SYSTEM

Governor Adjustment

027LT003.tif 027LT002.tif

B06LT001-1.tif
FUEL SYSTEM 6C – 55

INJECTION VOLUME ADJUSTMENT


TEST CONDITIONS
4HF1-2 (Bosch distributor type)

Item Condition
Injection nozzle and holder assembly ZEXEL Part No.: -
Injection nozzle ZEXEL Part No.: 105780-0060
Nozzle holder ZEXEL Part No.: 105780-2150
Injection nozzle opening
2 133 (1,891 / 1,304)
pressure kg/cm (psi/kPa)
Injection line dimensions
Inside diameter mm (in) 2.0 (0.079)
Outside diameter mm (in) 6.0 (0.236)
Length mm (in) 450 (17.7)
2
Fuel delivery pressure kg/cm (psi/kPa) 0.2 (2.84/19.6)
Test fuel SAE Standard Test Diesel Fuel (SAE J967d)
ISO Standard Test Diesel Fuel (ISO 4113)
Test fuel temperature °C (°F) 40 - 45 (104 - 113)
Identification numbers 104742-1630

IDENTIFICATION PLATE AND NUMBER


Use the data following the injection pump identification
number to adjust the injection volume.

6C-54-1.tif
6C – 56 FUEL SYSTEM

INJECTION VOLUME AND GOVERNOR PERFORMANCE DIAGRAM


Identification Numbers : 104742-1630
[4HF1-2 Engine]
Pre-stroke : No. 1 plunger 0.45 ± 0.05 mm
Injection order : 1 - 3 - 4 - 2 (interval 90° ± 30') Plungers are numbered from the Governor side
Injection Volume
Pump speed Injection volume Uneven amplitude Oil temperature
3 3 Remarks
(r.p.m.) (mm /strokes) (mm /strokes) (°C)
500 (48.2 ± 4.5) - 48 ± 2
960 60.3 ± 1.0 5.0 50 ± 2 Basic
1280 (63.9 ± 3.5) - 50 ± 2
1600 (61.4 ± 4.5) - 50 ± 2
1925 17.9 ± 3.0 5.5 50 ± 2 Basic
300 10.1 ± 2.0 2.0 48 ± 2 Basic
150 37.0 ± 10 - 48 ± 2

Timing Advance Specification

Pump Speed (r.p.m.) 1,100 1,280 1,600 1,800

Degree for Angle of Lead (deg.) 0.7 2.8 6.2 Finish


6.5
Governor Adjustment (4HF1-2)

040LX007.tif

040LX006.tif

040LX008.tif
FUEL SYSTEM 6C – 57

INJECTION VOLUME ADJUSTMENT


TEST CONDITIONS
4HG1 Engine

Item Condition
Injection nozzle and holder assembly ZEXEL Part No.: 105118-6041
Injection nozzle ZEXEL Part No.: 105017-1850
Nozzle holder ZEXEL Part No.: 105048-3673
Injection nozzle opening
2 185 (2,631/18,142)
pressure kg/cm (psi/kPa)
Injection line dimensions
Inside diameter mm (in) 2.0 (0.079)
Outside diameter mm (in) 6.0 (0.236)
Length mm (in) 600 (23.6)
2
Fuel delivery pressure kg/cm (psi/kPa) 1.6 (22.75/156.9)
Test fuel SAE Standard Test Diesel Fuel (SAE J967d)
ISO Standard Test Diesel Fuel (ISO 4113)
Test fuel temperature °C (°F) 40 - 45 (104 - 113)
Identification numbers 101401-7430
101401-7440

IDENTIFICATION PLATE AND NUMBER


Use the data following the injection pump identification
number to adjust the injection volume.

6C-56-1.tif
6C – 58 FUEL SYSTEM

INJECTION VOLUME AND GOVERNOR PERFORMANCE DIAGRAM


Identification Numbers : 101401-7430
[4HG1 Engine] : 101401-7440
Pre-stroke : No. 1 plunger 4.1 ± 0.05 mm
Injection order : 1 - 3 - 4 - 2 (interval 90° ± 30') Plungers are numbered from the Governor side
Tappet clearance : Bolt adjustment type : More than 0.3 mm for all cylinders.
: Shim adjustment type : Manually rotate the camshaft 2-3 times and
confirm that it rotates smoothly.

Injection Volume

Adjusting Pump speed Injection volume Variance


Remarks
point (r.p.m.) (cc/1000 strokes) (%)
1,310 70.5 ± 1.6 ±4 Basic
H 315 10 ± 1.3 ±10.0
A 1,310 70.5 ± 1 - Basic
B 1,600 (75.5) ± 2 -
C 520 (64) ± 2 -
D 960 (70.5) ±2
−0 -
+ 16
I 150 (95) − 0 -

Timing Advance Specification

1,050 1,600
Pump Speed (r.p.m.) 1,000
or less or more
0.5 Finish
Degree for Angle of Lead (deg.) Start
or less 5 ± 0.5
FUEL SYSTEM 6C – 59

Governor Adjustment

040LW026.tif
040LW016.tif

040LW012.tif
040LW029.tif 040LW030.tif

040LW013.tif
6C – 60 FUEL SYSTEM

INJECTION VOLUME ADJUSTMENT


TEST CONDITIONS
4HG1-T

Item Condition
Injection nozzle and holder assembly ZEXEL Part No.: 105118-7541
Injection nozzle ZEXEL Part No.: 105017-2650
Nozzle holder ZEXEL Part No.: 105048-4280
Injection nozzle opening
2 184 (2,616/18,044)
pressure kg/cm (psi/kPa)
Injection line dimensions
Inside diameter mm (in) 2.2 (0.086)
Outside diameter mm (in) 6.0 (0.236)
Length mm (in) 600 (23.6)
2
Fuel delivery pressure kg/cm (psi/kPa) 2.6 (36.97/254.9)
Test fuel SAE Standard Test Diesel Fuel (SAE J967d)
ISO Standard Test Diesel Fuel (ISO 4113)
Test fuel temperature °C (°F) 40 - 45 (104 - 113)
Identification numbers 101401-7452

IDENTIFICATION PLATE AND NUMBER


Use the data following the injection pump identification
number to adjust the injection volume.

6C-59-1.tif
FUEL SYSTEM 6C – 61

INJECTION VOLUME AND GOVERNOR PERFORMANCE DIAGRAM


Identification Numbers : 101401-7452
[4HG1-T Engine]
Pre-stroke : No. 1 plunger 3.8 ± 0.05 mm
Injection order : 1 - 3 - 4 - 2 (interval 90° ± 30') Plungers are numbered from the Governor side
Tappet clearance : Shim adjustment type : Manually rotate the camshaft 2-3 times and
confirm that it rotates smoothly.
: Bolt adjustment type : More than 0.3 mm for all cylinders.

Injection Volume

Rack Pump Injection q’ty Max var


Adjusting 3
Position Speed (cm /1000 bet. cyl. Fixed Remarks
point
(mm) (rpm) strokes) (%)
11.5 1000 73.5 ± 1.6 ±4 Rack Basic
(Measure)
H Approx. 8.9 315 ±10 Rack
± 1.3
Basic Boost press. kPa (mmHg)
A R1 (11.5) 1000 73.5 ± 1 - Lever
Above 62.0 (Above 465)
Boost press. kPa (mmHg)
B R1 +1.0 1500 (78.5) ± 2 - Lever
Above 62.0 (Above 465)
Boost press.
C R2 –0.8 500 (66.5) ± 2 - Lever
0
(Measure) Boost press.
I - 150 - Lever
± 16 0
Confirm that the timing of is
advanced 1°±30’ from A.

Timing Advance Specification

Pump speed Below


N1 N3
(rpm) (N1 + 50)
Advance Below Finish
Start
angle (°) 0.5 4.0 ± 0.5
6C – 62 FUEL SYSTEM

Governor Adjustment (4HG1-T)

040LX014.tif

040LX011.tif

040LX015.tif

040LX012.tif

040LX013.tif
040LX003.tif
FUEL SYSTEM 6C – 63

INJECTION VOLUME ADJUSTMENT


TEST CONDITIONS
4HE1-T

Item Condition
Injection nozzle and holder assembly ZEXEL Part No.: 105048-3831
Injection nozzle ZEXEL Part No.: 105017-1840
Nozzle holder ZEXEL Part No.: 105048-3831
Injection nozzle opening
2 185 (2,631/18,142)
pressure kg/cm (psi/kPa)
Injection line dimensions
Inside diameter mm (in) 2.0 (0.079)
Outside diameter mm (in) 6.0 (0.236)
Length mm (in) 600 (23.6)
2
Fuel delivery pressure kg/cm (psi/kPa) 2.6 (36.97/254.9)
Test fuel SAE Standard Test Diesel Fuel (SAE J967d)
ISO Standard Test Diesel Fuel (ISO 4113)
Test fuel temperature °C (°F) 40 - 45 (104 - 113)
Identification numbers 101401-7410
101401-7420
101401-7273

IDENTIFICATION PLATE AND NUMBER


Use the data following the injection pump identification
number to adjust the injection volume.

6C-62-1.tif
6C – 64 FUEL SYSTEM

INJECTION VOLUME AND GOVERNOR PERFORMANCE DIAGRAM


Identification Numbers : 101401-7410/101401-7420/101401-7273
[4HE1-T Engine]
Pre-stroke : No. 1 plunger 3.8 ± 0.05 mm
Injection order : 1 - 3 - 4 - 2 (interval 90° ± 30') Plungers are numbered from the Governor side
Tappet clearance : Bolt adjustment type : More than 0.3 mm for all cylinders.
: Shim adjustment type : Manually rotate the camshaft 2-3 times and
confirm that it rotates smoothly.

Injection Volume

Adjusting Pump speed Injection volume Variance


Remarks
point (r.p.m.) (cc/1000 strokes) (%)
1,160 96.5 ± 1.6 ±4 Basic
H 375 14.5 ± 1.3 ±10.0
Z 375 - - Basic
A 1,160 96.5 ± 1 -
B 1,450 (97) ± 2 -
C 700 (81) ± 2 -
I 150 (100) + 18
− 0
-

Timing Advance Specification

1,185 1,450
Pump Speed (r.p.m.) 1,135
or less or more
0.5 Finish
Degree for Angle of Lead (deg.) Start
or less 4.8 ± 0.5
FUEL SYSTEM 6C – 65

Governor Adjustment

040LW024.tif
040LW017.tif

040LW014.tif 040LW027.tif 040LW030.tif

040LW015.tif
6C – 66 FUEL SYSTEM

INJECTION VOLUME ADJUSTMENT


TEST CONDITIONS
4HE1-TC Engine

Item Condition
Injection nozzle and holder assembly ZEXEL Part No.: 105118-6460
Injection nozzle ZEXEL Part No.: 105017-2180
Nozzle holder ZEXEL Part No.: 105048-3673
Injection nozzle opening
2 185 (2,631/18,142)
pressure kg/cm (psi/kPa)
Injection line dimensions
Inside diameter mm (in) 3.0 (0.118)
Outside diameter mm (in) 8.0 (0.315)
Length mm (in) 600 (23.6)
2
Fuel delivery pressure kg/cm (psi/kPa) 2.6 (36.97/254.9)
Test fuel SAE Standard Test Diesel Fuel (SAE J967d)
ISO Standard Test Diesel Fuel (ISO 4113)
Test fuel temperature °C (°F) 40 - 45 (104 - 113)
Identification numbers 107492-1023
107492-1062
107492-1032
107492-1100
107492-1110
107492-1120
107492-1130
897212-9350 (ISUZU NO.)

IDENTIFICATION PLATE AND NUMBER


Use the data following the injection pump identification
number to adjust the injection volume.

6C-65-1.tif
FUEL SYSTEM 6C – 67

INJECTION VOLUME AND GOVERNOR PERFORMANCE DIAGRAM


Identification Numbers : 107492-1110
[4HE1-TC Engine]
Pre-stroke : No. 1 plunger 4.0 ± 0.03 mm
Injection order : 1 - 3 - 4 - 2 (interval 90° ± 15') Plungers are numbered from the Governor side
Tappet clearance : Bolt adjustment type : More than 0.3 mm for all cylinders.
: Shim adjustment type : Manually rotate the camshaft 2-3 times and
confirm that it rotates smoothly.

Injection Volume

Adjusting Pump speed Injection volume Variance


Remarks
point (r.p.m.) (cc/1000 strokes) (%)
1000 82.5 ± 1.6 ± 4 Basic
H 400 19 ± 1.5 ± 14
Z 500 - -
A 1000 82.5 ± 1 - Basic
B 1,450 (92.5) ± 2 -
C 500 (67) -
D 1,450 (89.5) -
I 150 (220) -
6C – 68 FUEL SYSTEM

Governor Adjustment

040LX018.tif

040LX017.tif

040LX019.tif

040LW021.tif

040LW028.tif
FUEL SYSTEM 6C – 69

INJECTION VOLUME AND GOVERNOR PERFORMANCE DIAGRAM


Identification Numbers : 107492-1023 / 107492-1100
[4HE1-TC Engine]
Pre-stroke : No. 1 plunger 4.0 ± 0.03 mm
Injection order : 1 - 3 - 4 - 2 (interval 90° ± 15') Plungers are numbered from the Governor side
Tappet clearance : Bolt adjustment type : More than 0.3 mm for all cylinders.
: Shim adjustment type : Manually rotate the camshaft 2-3 times and
confirm that it rotates smoothly.

Injection Volume

Adjusting Pump speed Injection volume Variance


Remarks
point (r.p.m.) (cc/1000 strokes) (%)
1,000 107.5 ± 1.6 ±4 Basic
H 400 22 ± 1.5 ±10.0
Z 510 - - Basic
A 1,000 107.5 ± 1 -
B 1,200 (112.5) ± 2 -
C 500 (78) -
D 1,200 (103) -
I 150 (235) -
6C – 70 FUEL SYSTEM

Governor Adjustment

ipf

040LW025.tif

040LW020.tif

040LW010.tif

040LW028.tif 040LW031.tif

040LW022.tif
FUEL SYSTEM 6C – 71

INJECTION VOLUME AND GOVERNOR PERFORMANCE DIAGRAM


Identification Numbers : 107492-1062 / 107492-1120 / 897212-9350 (ISUZU NO.)
[4HE1-TC Engine]
Pre-stroke : No. 1 plunger 4.0 ± 0.03 mm
Injection order : 1 - 3 - 4 - 2 (interval 90° ± 15')-Plungers are numbered from the Governor side
Tappet clearance : Bolt adjustment type : More than 0.3 mm for all cylinders.
: Shim adjustment type : Manually rotate the camshaft 2-3 times and
confirm that it rotates smoothly.

Injection Volume

Adjusting Pump speed Injection volume Variance


Remarks
point (r.p.m.) (cc/1000 strokes) (%)
1,000 107.5 ± 1.6 ± 4 Basic
H 400 22 ± 1.5 ± 14
Z 510 - - Basic
A 1,000 107.5 ± 1 -
B 1,400 (121.5) ± 2 -
C 500 (78) ± 2 -
D 1,400 (113) -
I 150 (235) -
6C – 72 FUEL SYSTEM

Governor Adjustment

040LW019.tif 040LW025.tif

040LW010.tif
040LW023.tif

040LW028.tif
FUEL SYSTEM 6C – 73

INJECTION VOLUME AND GOVERNOR PERFORMANCE DIAGRAM


Identification Numbers : 10749-1032 / 107492-1130
[4HE1-TC Engine]
Pre-stroke : No. 1 plunger 4.0 ± 0.03 mm
Injection order : 1 - 3 - 4 - 2 (interval 90° ± 15') Plungers are numbered from the Governor side
Tappet clearance : Bolt adjustment type : More than 0.3 mm for all cylinders.
: Shim adjustment type : Manually rotate the camshaft 2-3 times and
confirm that it rotates smoothly.

Injection Volume

Adjusting Pump speed Injection volume Variance


Remarks
point (r.p.m.) (cc/1000 strokes) (%)
900 78 ± 1.6 ± 4 Basic
H 400 19 ± 1.5 ± 14
Z 500 - - Basic
A 900 78 ± 1 -
B 1,450 (98.5) ± 2 -
C 500 (67.5) -
D 1,450 (91.5) -
E 700 (78) -
I 150 (220) -
6C – 74 FUEL SYSTEM

Governor Adjustment

040LW025.tif
040LW018.tif

040LW011.tif 040LW028.tif 040LW031.tif

040LW021.tif
FUEL SYSTEM 6C – 75

ANEROID COMPENSATOR ADJUSTMENT

6C-74-1.tif
6C – 76 FUEL SYSTEM

FUEL TANK

6C-75-1.tif

REMOVAL
Preparation
• Disconnect battery ground cable.
• Loosen fuel filler cap.
• Drain fuel from drain plug.
• After the drain fuel, tighten the drain plug to the
specified torque.
N∙m (kg∙m/lb∙ft)
29 (3/22)

1. Evapo Fuel Hose


2. Fuel Feed Hose
3. Fuel Return Hose
• Plugging the return hose to prevent fuel from getting
spilt, tie it to the fame with the plugged end up.
4. Fuel Gauge Unit Connector
• Remove the fuel gauge unit connector.
5. Band
• Remove the nut of the fuel tank fixing band, and then
remove the band end on the frame side.
FUEL SYSTEM 6C – 77

6. Fuel Tank
• Pull out the fuel tank to the outside.
NOTE:
When it is not possible to pull out the fuel tank,
remove the bracket and then draw out the fuel tank
downward.

INSTALLATION
6. Fuel Tank
NOTE:
When the bracket was removed to take off the fuel
tank, install the bracket to the frame and tighten it to
the specified torque.
N∙m (kg∙m/lb∙ft)
55 (5.6/41)

Also, when mounting the fuel tank to the bracket, place


the packing section attached to the fuel tank securely
on the bracket.
5. Band
• Tighten the band to the specified torque
N∙m (kg∙m/lb∙in)
12 (1.2/104)

4. Fuel Gauge Unit Connector


• Connect the fuel gauge unit connector.
3. Fuel Return Hose
2. Fuel Feed Hose
• Set the hose to the pipe more than 25mm deep.
1. Evapo Fuel Hose
• Fill the fuel to the fuel tank.
• Connect battery ground cable.
6C – 78 FUEL SYSTEM

FUEL GAUGE UNIT

6C-77-1.tif

REMOVAL
Preparation: Disconnect Battery ground cable.
1. Fuel Gauge Unit Connector
• Disconnect fuel gauge unit connector from fuel gauge
unit.
2. Fuel Gauge Unit
• Remove fuel gauge unit fixing screw and fuel gauge
unit.
NOTE:
• After removing fuel gauge unit, cover fuel tank with
waste to prevent any dust entering

INSTALLATION
2. Fuel Gauge Unit
1. Fuel Gauge Unit Connector
• Connect the wiring connector to the fuel gauge unit.
FUEL SYSTEM 6C – 79

ACCELERATOR CONTROL
ACCELERATOR CONTROL CABLE

6C-78-1.tif

REMOVAL
1. Adjust Nut
• Loosen the adjust nut on the cable bracket mounted.
2. Accelerator Control Wire (Injection pump side)
• Remove the control wire from injection pump control
lever.
3. Accelerator Control Wire (Accelerator pedal side)
• Remove the Accelerator control wire from accelerator
pedal.
4. Accelerator Control Cable
• Pull out the wire to the chassis side through the
grommet hole of the floor board, and remove the
control cable.

INSPECTION
Check the following items, and replace the control cable if
any abnormality is found.
• The control cable should move smoothly.
• The control cable should not be bent or kinked.
• The control cable should be free of damage and
corrosion.
6C – 80 FUEL SYSTEM

INSTALLATION
5. Accelerator Control Cable
• Take care that the core wire of the cable does not get
damaged or inded.
• Put the cable through the grommet hole from under the
floor.
• Set the groove of the grommet securely into the floor
panel.
4. Accelerator Control Wire (Accelerator Pedal side)
• Connect the accelerator control wire to Accelerator
pedal.
3. Cable Clips
• Install the cable clip to chassis frame.
• Tighten the cable clips to the specified torque
N∙m (kg∙m/lb∙ft)
16 (1.6/12)

2. Accelerator Control Wire


1. Adjust Nut
• Attach the end tip of the wire to the engine control
lever.
• Pull the outer cable gently toward the front of the
vehicle, and provide the engine control wire and the
accelerator control wire an appropriate play before
fastening the clamp with a nut.
N∙m (kg∙m/lb∙in)
8 (0.8/69)

• Check to see if the injection pump lever is at the idle


position (with the lever in touch with the stopper bolt).
• Connect the battery ground cable.
• Check to see if the accelerator pedal fully is in the
range of 5 to 10mm above the pedal pad.
• Press down on the accelerator pedal fully, and check to
see if the engine rotates at the maximum speed with
the linkage in the smooth operation.
• In the operating range of the accelerator pedal, check
to see if the accelerator pedal and the injection pump
lever return without fail to the original positions.
FUEL SYSTEM 6C – 81

ACCELERATOR PEDAL

6C-80-1.tif

REMOVAL
1. Switch Connector
2. Accelerator Control Cable.
• Remove control cable from Accelerator pedal bracket.
3. Idling Control Cable
• Remove control cable from accelerator pedal bracket.
4. Accelerator Pedal Assembly
• Remove accelerator pedal assembly from brake pedal
bracket.

INSTALLATION
4. Accelerator Pedal Assembly
• Apply grease to the sliding portion, and install it to the
brake pedal bracket.
3. Idling Control Cable
• Install the idling control cable to the lever of the
accelerator pedal bracket.
2. Accelerator Control Cable
• After confirming that the idling control knob is turned
fully to the left, install the accelerator control cable.
1. Switch Connector

6C-80-2.tif
6C – 82 FUEL SYSTEM

IDLING CONTROL CABLE

6C-81-1.tif

REMOVAL
1. Idling Control Knob
• Loosen the idling control knob screw and remove the
knob from cable.
2. Idling Control Cable Nut
3. Wave Washer
4. Idling Control Cable
• Remove control cable from accelerator pedal bracket.

INSTALLATION
4. Idling Control Cable
• Install control cable to Accelerator pedal bracket.
3. Wave Washer
2. Idling Control Cable Nut
• Insert the idling control cable into the specified hole of
the instrument panel.
• Install the washer to the cable, and tighten it with a nut.
FUEL SYSTEM 6C – 83

1. Idling Control Knob


• Insert the idling control knob into the cable, and tighten
the screw.

Inspection:
• With the idling control knob not in use, check to see if
the injection pump lever is at the idle position (with the
lever in contact with the stopper bolt).
• With the idling control knob turned fully to the right,
check to see if the number of the engine idling rotations
gets to 1,500 rpm or more.
6C – 84 FUEL SYSTEM

AIR CLEANER ELEMENT

6C-83-1.tif

REMOVAL
1. Cover Wing Nut
2. End Cover
3. Filter Wing Nut
4. Air Cleaner Element

Clean
• Wipe out the inside of the Air cleaner assembly
• Wipe off the Cover

Inspection
• The air filter with a light for fears or holes.

6C-83-2.tif

Cleaning Method
Dust Fouled Element
Rotate the element with your hand while applying
compressed air to the inside of the element. This will blow
the dust free.
2
Compressed air pressure Kpa (Kg/cm /Psi)
392 - 490 (4 - 5/57 - 71)

6C-83-3.tif CAUTION
Do not bang the element against another object in an
attempt to clean it. Damage to the element will result.
FUEL SYSTEM 6C – 85

Carbon and Dust Fouled Element


1. Prepare a cleaning solution of Isuzu Genuine Element
Cleaner (Donaldson D1400) diluted with water.
2. Submerge the element in the solution for twenty
minutes.

6C-84-1.tif

3. Remove the element from the solution and rinse it well


with running water.
Water pressure must not exceed 274 Kpa (2.8
2
kg/cm /40 Psi)

6C-84-2.tif

4. Dry the element in a well ventilated area.


An electric fan will hasten drying.
NOTE:
Do not use compressed air or an open flame to dry the
element quickly. Damage to the element will result.
It will usually take two or three days for the element to
dry completely. Therefore, it is a good idea to have a
spare on hand to use in the interim.

6C-84-3.tif

INSTALLATION
4. Air Cleaner Element
3. Filter Wing Nut
2. End Cover
1. Cover Wing Nut
6C – 86 FUEL SYSTEM

MEMO
.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................
HOME
(1*,1( (/(&75,&$/ ' ¤ 

6(&7,21'
(1*,1((/(&75,&$/

&217(176
3$*(
%DWWHU\  6HFWLRQ'
6WDUWLQJ6\VWHP 6HFWLRQ'
&KDUJLQJ6\VWHP  6HFWLRQ'
426,,3UHKHDWLQJ6\VWHP  6HFWLRQ'

6(&7,21'
%$77(5<

&217(176
3$*(
*HQHUDO'HVFULSWLRQ ' 
'LDJQRVLV ' 
2Q9HKLFOH6HUYLFH  ' 
%DWWHU\&KDUJLQJ ' 
-XPS6WDUWLQJ  ' 
5HPRYDODQG,QVWDOODWLRQRI7KH%DWWHU\  ' 
0DLQ'DWDDQG6SHFLILFDWLRQV  ' 

*(1(5$/'(6&5,37,21
7KHUH DUH VL[ EDWWHU\ IOXLG FDSV DW WKH WRS RI WKH EDWWHU\  7KH EDWWHU\ SURWHFWV LWVHOI DJDLQVW RYHUFKDUJLQJ

7KH EDWWHU\ LV FRPSOHWHO\ VHDOHG H[FHSW IRU WKH VL[ 7KH EDWWHU\ ZLOO UHIXVH WR DFFHSW DQ H[FHVVLYH
VPDOO YHQW KROHV DW WKH VLGH 7KHVH YHQW KROHV SHUPLW FKDUJH
WKH HVFDSH RI VPDOO DPRXQWV RI JDV JHQHUDWHG E\ WKH $ FRQYHQWLRQDO EDWWHU\ ZLOO DFFHSW DQ H[FHVVLYH
EDWWHU\ FKDUJH UHVXOWLQJ LQ JDVVLQJ DQG ORVV RI EDWWHU\
7KLV W\SH RI EDWWHU\ KDV WKH IROORZLQJ DGYDQWDJHV RYHU IOXLG
FRQYHQWLRQDO EDWWHULHV
 7KH EDWWHU\ LV PXFK OHVV YXOQHUDEOH WR VHOI
 7KHUH LV QR QHHG WR DGG ZDWHU GXULQJ WKH HQWLUH GLVFKDUJH WKDQ D FRQYHQWLRQDO W\SH EDWWHU\
VHUYLFH OLIH RI WKH EDWWHU\
' ¤  (1*,1( (/(&75,&$/

',$*126,6
 9,68$/,163(&7,21
,QVSHFW WKH EDWWHU\ IRU REYLRXV SK\VLFDO GDPDJH VXFK DV D
FUDFNHG RU EURNHQ FDVH ZKLFK ZRXOG SHUPLW HOHFWURO\WH
ORVV

5HSODFH WKH EDWWHU\ LI REYLRXV SK\VLFDO GDPDJH LV


GLVFRYHUHG GXULQJ LQVSHFWLRQ

&KHFN IRU DQ\ RWKHU SK\VLFDO GDPDJH DQG FRUUHFW LW DV


QHFHVVDU\ ,I QRW SURFHHG WR 6WHS 

 +<'520(7(5&+(&.
7KHUH LV D EXLOWLQ K\GURPHWHU &KDUJH WHVW LQGLFDWRU DW WKH
WRS RI WKH EDWWHU\ ,W LV GHVLJQHG WR EH XVHG GXULQJ
GLDJQRVWLF SURFHGXUHV

%HIRUH WU\LQJ WR UHDG WKH K\GURPHWHU FDUHIXOO\ FOHDQ WKH


XSSHU EDWWHU\ VXUIDFH

,I \RXU ZRUN DUHD LV SRRUO\ OLW DGGLWLRQDO OLJKW PD\ EH


QHFHVVDU\ WR UHDG WKH K\GURPHWHU

D %/8( 5,1* 25 '27 9,6,%/(  *R WR 6WHS 


'WLI
E %/8( 5,1* 25 '27 127 9,6,%/(  *R WR 6WHS 

 )/8,'/(9(/&+(&.
7KH IOXLG OHYHO VKRXOG EH EHWZHHQ WKH XSSHU OHYHO OLQH DQG
ORZHU OHYHO OLQH RQ VLGH RI WKH EDWWHU\

D &255(&7 )/8,' /(9(/  &KDUJH WKH EDWWHU\

E %(/2: /2:(5 /(9(/  5HSODFH EDWWHU\

 92/7$*(&+(&.
 3XW YROWPHWHU WHVW OHDGV WR EDWWHU\ WHUPLQDOV

D 92/7$*( ,6 9 25 $%29(  *R WR 6WHS 

E 92/7$*( ,6 81'(5 9  *R WR SURFHGXUH 


EHORZ

 'HWHUPLQH IDVW FKDUJH DPSHUDJH IURP VSHFLILFDWLRQ


6HH 0DLQ 'DWD DQG VSHFLILFDWLRQV LQ WKLV VHFWLRQ 

)DVW FKDUJH EDWWHU\ IRU  PLQXWHV DW DPSHUDJH UDWH QR


KLJKHU WKDQ VSHFLILHG YDOXH

7DNH YROWDJH DQG DPSHUDJH UHDGLQJV DIWHU FKDUJH

D 92/7$*( ,6 $%29( 9 $7 %(/2:  2)


$03(5$*( 5$7(  5HSODFH EDWWHU\

E 92/7$*( ,6 $%29( 9 $7 $%29(  2)


$03(5$*( 5$7(  'URS FKDUJLQJ YROWDJH WR 9
DQG FKDUJH IRU  KRXUV

7KHQ JR WR 6WHS 

F 92/7$*( ,6 %(7:((1 9 $1' 9  &RQWLQXH


FKDUJLQJ DW WKH VDPH UDWH IRU DQ DGGLWLRQDO 
KRXUV 7KHQ JR WR 6WHS 

G 92/7$*( ,6 %(/2: 9  5HSODFH EDWWHU\


(1*,1( (/(&75,&$/ ' ¤ 

 /2$'7(67
 &RQQHFW D YROWPHWHU DQG D EDWWHU\ ORDG WHVWHU DFURVV
WKH EDWWHU\ WHUPLQDOV

 $SSO\  DPSHUH ORDG IRU  VHFRQGV WR UHPRYH


VXUIDFH FKDUJH IURP WKH EDWWHU\

5HPRYH ORDG

 :DLW  VHFRQGV WR OHW EDWWHU\ UHFRYHU 7KHQ DSSO\


VSHFLILHG ORDG IURP VSHFLILFDWLRQV 6HH 0DLQ 'DWD DQG
6SHFLILFDWLRQV LQ WKLV VHFWLRQ 

5HDG YROWDJH DIWHU  VHFRQGV WKHQ UHPRYH ORDG

D 92/7$*( '2(6 127 '523 %(/2: 7+(


0,1,080 /,67(' ,1 )2//2:,1* 7$%/(  7KH
EDWWHU\ LV JRRG DQG VKRXOG EH UHWXUQHG WR VHUYLFH

E 92/7$*( ,6 /(66 7+$1 0,1,080 /,67(' 


5HSODFH EDWWHU\

(67,0$7('
0,1,080
7(03(5$785(
92/7$*(
ƒ) ƒ&

  

  

  

  

  

  

  

  

7KH EDWWHU\ WHPSHUDWXUH PXVW EH HVWLPDWHG E\ IHHO DQG


E\ WKH WHPSHUDWXUH WKH EDWWHU\ KDV EHHQ H[SRVHG WR IRU
WKH SUHFHGLQJ IHZ KRXUV
' ¤  (1*,1( (/(&75,&$/

219(+,&/(6(59,&(
%$77(5<&+$5*,1*
2EVHUYH WKH IROORZLQJ VDIHW\ SUHFDXWLRQV ZKHQ FKDUJLQJ

WKH EDWWHU\

 1HYHU DWWHPSW WR FKDUJH WKH EDWWHU\ ZKHQ WKH IOXLG OHYHO

LV EHORZ WKH ORZHU OHYHO OLQH RQ WKH VLGH RI WKH EDWWHU\

,Q WKLV FDVH WKH EDWWHU\ PXVW EH UHSODFHG

 3D\ FORVH DWWHQWLRQ WR WKH EDWWHU\ GXULQJ WKH FKDUJLQJ

SURFHGXUH

%DWWHU\ FKDUJLQJ VKRXOG EH GLVFRQWLQXHG RU WKH UDWH RI

FKDUJH UHGXFHG LI WKH EDWWHU\ IHHOV KRW WR WKH WRXFK

%DWWHU\ FKDUJLQJ VKRXOG EH GLVFRQWLQXHG RU WKH UDWH RI

FKDUJH UHGXFHG LI WKH EDWWHU\ EHJLQV WR JDV RU VSHZ

HOHFWURO\WH IURP WKH YHQW KROHV

 ,Q RUGHU WR PRUH HDVLO\ YLHZ WKH K\GURPHWHU EOXH GRW RU

ULQJ LW PD\ EH QHFHVVDU\ WR MLJJOH RU WLOW WKH EDWWHU\

 %DWWHU\ WHPSHUDWXUH FDQ KDYH D JUHDW HIIHFW RQ EDWWHU\

FKDUJLQJ FDSDFLW\

 7KH VHDOHG EDWWHU\ XVHG RQ WKLV YHKLFOH PD\ EH HLWKHU

TXLFNFKDUJHG RU VORZFKDUJHG LQ WKH VDPH PDQQHU DV

RWKHU EDWWHULHV

:KLFKHYHU PHWKRG \RX GHFLGH WR XVH EH VXUH WKDW \RX

FRPSOHWHO\ FKDUJH WKH EDWWHU\ 1HYHU SDUWLDOO\ FKDUJH

WKH EDWWHU\

-80367$57,1*
-80367$57,1*:,7+$1$8;,/,$5<
%2267(5 %$77(5<
&$87,21

1HYHU SXVK RU WR WKH YHKLFOH LQ DQ DWWHPSW WR VWDUW LW

6HULRXV GDPDJH WR WKH HPLVVLRQ V\VWHP DV ZHOO DV

RWKHU YHKLFOH SDUWV ZLOO UHVXOW

7UHDW ERWK WKH GLVFKDUJHG EDWWHU\ DQG WKH ERRVWHU

EDWWHU\ ZLWK JUHDW FDUH ZKHQ XVLQJ MXPSHU FDEOHV

&DUHIXOO\ IROORZ WKH MXPS VWDUWLQJ SURFHGXUH EHLQJ

FDUHIXO DW DOO WLPHV WR DYRLG VSDUNLQJ

:$51,1*

)DLOXUH WR FDUHIXOO\ IROORZ WKH MXPS VWDUWLQJ SURFHGXUH

FRXOG UHVXOW LQ WKH IROORZLQJ

 VHULRXV SHUVRQDO LQMXU\ SDUWLFXODUO\ WR \RXU H\HV

 3URSHUW\ GDPDJH IURP D EDWWHU\ H[SORVLRQ EDWWHU\

DFLG RU DQ HOHFWULFDO ILUH

 'DPDJH WR WKH HOHFWURQLF FRPSRQHQWV RI RQH RU

ERWK YHKLFOHV SDUWLFXODUO\


(1*,1( (/(&75,&$/ ' ¤ 

1HYHU H[SRVH WKH EDWWHU\ WR DQ RSHQ IODPH RU HOHFWULFDO


VSDUN *DV JHQHUDWHG E\ WKH EDWWHU\ PD\ FDWFK ILUH RU
H[SORGH

5HPRYH DQ\ ULQJV ZDWFKHV RU RWKHU MHZHOU\ EHIRUH


ZRUNLQJ DURXQG WKH EDWWHU\ 3URWHFW \RXU H\HV E\ ZHDULQJ
DQ DSSURYHG VHW RI JRJJOHV

1HYHU DOORZ EDWWHU\ IOXLG W FRPH LQ FRQWDFW ZLWK \RXU H\HV RU


VNLQ

1HYHU DOORZ EDWWHU\ IOXLG WR FRPH LQ FRQWDFW ZLWK IDEULFV RU


SDLQWHG VXUIDFHV

%DWWHU\ IOXLG LV D KLJKO\ FRUURVLYH DFLG

6KRXOG EDWWHU\ IOXLG FRPH LQ FRQWDFW ZLWK \RXU H\HV VNLQ


IDEULF RU D SDLQWHG VXUIDFH LPPHGLDWHO\ DQG WKRURXJKO\
ULQVH WKH DIIHFWHG DUHD ZLWK FOHDQ WDS ZDWHU

1HYHU DOORZ PHWDO WRROV RU MXPSHU FDEOHV WR FRPH LQ


FRQWDFW ZLWK WKH SRVLWLYH EDWWHU\ WHUPLQDO RU DQ\ RWKHU
PHWDO VXUIDFH RI WKH YHKLFOH 7KLV ZLOO SURWHFW DJDLQVW D
VKRUW FLUFXLW

$OZD\V NHHS EDWWHULHV RXW RI WKH UHDFK RI \RXQJ FKLOGUHQ

-80367$57,1*352&('85(
 6HW WKH YHKLFOH SDUNLQJ EUDNH

,I WKH YHKLFOH LV HTXLSSHG ZLWK DQ DXWRPDWLF


WUDQVPLVVLRQ SODFH WKH VHOHFWRU OHYHU LQ WKH ¦3$5.§
SRVLWLRQ

,I WKH YHKLFOH LV HTXLSSHG ZLWK D PDQXDO WUDQVPLVVLRQ


SODFH WKH VKLIW OHYHU LQ WKH ¦1(875$/§ SRVLWLRQ

7XUQ ¦2))§ WKH LJQLWLRQ

7XUQ ¦2))§ DOO OLJKWV DQG DQ\ RWKHU DFFHVVRU\ UHTXLULQJ


HOHFWULFDO SRZHU

 /RRN DW WKH EXLOWLQ K\GURPHWHU

,I WKH LQGLFDWLRQ DUHD RI WKH EXLOWLQ K\GURPHWHU LV


FRPSOHWHO\ FOHDU GR QRW WU\ WR MXPS VWDUW

 $WWDFK WKH HQG RI RQH MXPSHU FDEOH WR WKH SRVLWLYH


WHUPLQDO RI WKH ERRVWHU EDWWHU\

$WWDFK WKH RWKHU HQG RI WKH VDPH FDEOH WR WKH SRVLWLYH


WHUPLQDO RI WKH GLVFKDUJHG EDWWHU\

'R QRW DOORZ WKH YHKLFOHV WR WRXFK HDFK RWKHU

7KLV ZLOO FDXVH D JURXQG FRQQHFWLRQ HIIHFWLYHO\


QHXWUDOL]LQJ WKH FKDUJLQJ SURFHGXUH

%H VXUH WKDW WKH ERRVWHU EDWWHU\ KDV D  YROW UDWLQJ

 $WWDFK RQH HQG RI WKH UHPDLQLQJ FDEOH WR WKH QHJDWLYH


WHUPLQDO RI WKH ERRVWHU EDWWHU\

$WWDFK WKH RWKHU HQG RI WKH VDPH FDEOH WR D VROLG


HQJLQH JURXQG VXFK DV WKH $& FRPSUHVVRU EUDFNHW RU
WKH JHQHUDWRU PRXQWLQJ EUDFNHW RI WKH YHKLFOH ZLWK WKH
GLVFKDUJHG EDWWHU\

7KLV JURXQG FRQQHFWLRQ PXVW EH DW OHDVW  PP 


LQ IURP WKH EDWWHU\ RI WKH YHKLFOH ZKRVH EDWWHU\ LV
EHLQJ FKDUJHG
' ¤  (1*,1( (/(&75,&$/

:$51,1*

1HYHU DWWDFK WKH HQG RI WKH MXPSHU FDEOH GLUHFWO\ WR WKH

QHJDWLYH WHUPLQDO RI WKH GHDG EDWWHU\

 6WDUW WKH HQJLQH RI WKH YHKLFOH ZLWK WKH JRRG EDWWHU\

0DNH VXUH WKDW DOO XQQHFHVVDU\ HOHFWULFDO DFFHVVRULHV


KDYH EHHQ WXUQHG ¦2))§

 6WDUW WKH HQJLQH RI WKH YHKLFOH ZLWK WKH GHDG EDWWHU\

 7R UHPRYH WKH MXPSHU FDEOHV IROORZ WKH DERYH


GLUHFWLRQV LQ WKH UHYHUVH RUGHU

%H VXUH WR ILUVW GLVFRQQHFW WKH QHJDWLYH FDEOH IURP WKH


YHKLFOH ZLWK WKH GLVFKDUJHG EDWWHU\

5(029$/$1',167$//$7,212)7+(
%$77(5<
5(029$/
 1HJDWLYH FDEOH

 3RVLWLYH FDEOH

 5HWDLQHU VFUHZ DQG URGV

 5HWDLQHU

 %DWWHU\

'WLI

,167$//$7,21
7R LQVWDOO WKH EDWWHU\ IROORZ WKH UHPRYDO SURFHGXUH LQ WKH
UHYHUVH RUGHU QRWLQJ WKH IROORZLQJ SRLQWV

 0DNH VXUH WKDW WKH URG LV KRRNHG RQ WKH ERG\ VLGH

0$,1'$7$$1'63(&,),&$7,216
'(/&2
0RGHO -,6 '5 '5 '5  

9ROWDJH 9     

&ROG&UDQNLQJ 3HUIRUPDQFH $PS     

5HVHUYH &DSDFLW\ 0LQ     


67$57,1* 6<67(0 ' ¤ 

6(&7,21'
67$57,1*6<67(0

&217(176
3$*(
*HQHUDO'HVFULSWLRQ ' 
2Q9HKLFOH6HUYLFH  ' 
8QLW5HSDLU ' 
5HDVVHPEO\ '

*(1(5$/'(6&5,37,21
67$57,1*&,5&8,7
7KH FUDQNLQJ V\VWHP FRQVLVWV RI D EDWWHU\ VWDUWHU FRPSRQHQWV DUH FRQQHFWHG DV VKRZQ LQ )LJXUH )RU

VWDUWHU VZLWFK VWDUWHU UHOD\ HWF DQG WKHVH PDLQ GHWDLOV RI WKH VWDUWLQJ FLUFXLW

'WLI
' ¤  67$57,1* 6<67(0

67$57(5
7KH VWDUWLQJ V\VWHP HPSOR\V D PDJQHWLF W\SH UHGXFWLRQ

VWDUWHU LQ ZKLFK WKH PRWRU VKDIW LV DOVR XVHG DV D SLQLRQ

VKDIW :KHQ WKH VWDUWHU VZLWFK LV WXUQHG RQ WKH FRQWDFWV RI

PDJQHWLF VZLWFK DUH FORVHG DQG WKH DUPDWXUH URWDWHV $W

WKH VDPH WLPH WKH SOXQJHU LV DWWUDFWHG DQG WKH SLQLRQ LV

SXVKHG IRUZDUG E\ WKH VKLIW OHYHU WR PHVK ZLWK ULQJ JHDU

7KHQ WKH ULQJ JHDU UXQV WR VWDUW WKH HQJLQH :KHQ WKH

HQJLQH VWDUWV DQG WKH VWDUWHU VZLWFK LV WXUQHG RII WKH

SOXQJHU UHWXUQV WKH SLQLRQ LV GLVHQJDJHG IURP ULQJ JHDU

DQG WKH DUPDWXUH VWRSV URWDWLRQ :KHQ WKH HQJLQH VSHHG

LV KLJKHU WKDQ WKH SLQLRQ WKH SLQLRQ LGOHV VR WKDW WKH

DUPDWXUH LV QRW GULYHQ

67$57,1*&,5&8,7

'WLI
67$57,1* 6<67(0 ' ¤ 

67$57,1*02725

'WLI 'WLI
' ¤  67$57,1* 6<67(0

219(+,&/(6(59,&(
67$57(5

'WLI

5(029$/
3UHSDUDWLRQ

‡ %DWWHU\ JURXQG FDEOH ERWK EDWWHULHV

 6WDUWHU (DUWK &DEOH

‡ 'LVFRQQHFW WKH VWDUWHU HDUWK FDEOH DW WKH VWDUWHU PRWRU

‡ 'LVFRQQHFW WKH IURQW IUDPH KDUQHVV FRQQHFWRU


VRPHZKHUH QHDU WKH FRQWURO ER[ RI WKH WUDQVPLVVLRQ
UHPRYH HDFK FOLS WKDW IDVWHQV WKH KDUQHVV

'WLI

 6WDUWHU $VVHPEO\

‡ 5HPRYH WKH VWDUWHU DVVHPEO\ IURP IO\ZKHHO KRXVLQJ

 6WDUWHU :LULQJ &RQQHFWRU

'WLI
67$57,1* 6<67(0 ' ¤ 

,167$//$7,21
 6WDUWHU :LULQJ &RQQHFWRU

'WLI

 6WDUWHU $VVHPEO\

‡ ,QVWDOO WKH VWDUWHU WR WKH IO\ZKHHO KRXVLQJ

6WDUWHU %ROW 7RUTXH 1±P NJ±POE±IW

 

 6WDUWHU (DUWK &DEOH

‡ &RQQHFW WKH HDUWK FDEOH WR WKH VWDUWHU PRWRU

‡ &RQQHFW WKH EDWWHU\ JURXQG FDEOH

'WLI
' ¤  67$57,1* 6<67(0

81,75(3$,5
6

'WLI
67$57,1* 6<67(0 ' ¤ 

',6$66(0%/<
 /HDG :LUH 1XW

'LVFRQQHFW WKH OHDG ZLUH DW WKH PDJQHWLF VZLWFK

'WLI

 7KURXJK %ROW

 5HDU &RYHU

5HPRYH WKH WKURXJK EROWV WKHQ UHPRYH WKH UHDU FRYHU

'WLI

 %UXVK +ROGHU

 $UPDWXUH

 <RNH

5HPRYH WKH EUXVK KROGHU DQG SXOO WKH DUPDWXUH DVVHPEO\

IURP WKH \RNH

'WLI

5HPRYH WKH IRXU EUXVKHV IURP WKH EUXVK KROGHUV

'WLI

5HPRYH WKH \RNH DORQJ ZLWK WKH DUPDWXUH DQG WKH EUXVK

KROGHU IURP WKH GULYH KRXVLQJ

5HPRYH WKH EUXVKHV DQG FRPPXWDWRU FDUHIXOO\ VR DV QRW WR

DOORZ WKHP LQ FRQWDFW ZLWK WKH DGMDFHQW SDUWV

'WLI
' ¤  67$57,1* 6<67(0

 %ROW

 7RUVLRQ 6SULQJ

 0DJQHWLF 6ZLWFK $VVHPEO\

5HPRYH WKH PDJQHWLF VZLWFK EROWV WKHQ UHPRYH WKH VZLWFK


IURP WKH VKLIW OHYHU

'WLI

5HPRYH WKH WRUVLRQ VSULQJ IURP WKH PDJQHWLF VZLWFK

'WLI  'XVW &RYHU

 6KLIW /HYHU

 %HDULQJ 5HWDLQHU

 &OXWFK $VVHPEO\

 5HPRYH WKH EHDULQJ UHWDLQHU

 5HPRYH WKH FOXWFK DVVHPEO\ IURP WKH JHDU FDVH

'WLI

 %HDULQJ +ROGHU

 %DOO %HDULQJ

 3LQLRQ 6WRSSHU &OLS

 3LQLRQ 6WRSSHU

 5HWXUQ 6SULQJ

 3LQLRQ 6KDIW

 3LQLRQ &OXWFK

8VH D VFUHZGULYHU WR UHPRYH WKH VWRSSHU FOLS 7KHQ


GLVDVVHPEOH WKH FOXWFK DVVHPEO\

'WLI
67$57,1* 6<67(0 ' ¤ 

6$

'WLI
' ¤  67$57,1* 6<67(0

,163(&7,21$1'5(3$,5
0DNH WKH QHFHVVDU\ DGMXVWPHQWV UHSDLUV DQG SDUW
UHSODFHPHQWV LI H[FHVVLYH ZHDU RU GDPDJH LV GLVFRYHUHG
GXULQJ LQVSHFWLRQ

$50$785(
 0HDVXUH WKH FRPPXWDWRU UXQRXW

5HSODFH WKH FRPPXWDWRU LI WKH PHDVXUHG UXQRXW


H[FHHGV WKH VSHFLILHG OLPLW

&RPPXWDWRU 5XQ2XW PP LQ

6WDQGDUG /LPLW

  RU OHVV  

'WLI

 &KHFN WKH FRPPXWDWRU PLFD VHJPHQWV IRU H[FHVVLYH


ZHDU

 0HDVXUH WKH PLFD VHJPHQW GHSWK

0LFD 6HJPHQW 'HSWK PP LQ

6WDQGDUG /LPLW

       

,I WKH PLFD VHJPHQW GHSWK LV OHVV WKDQ WKH VWDQGDUG EXW


PRUH WKDQ WKH OLPLW WKH FRPPXWDWRU PD\ EH UHJURXQG

'WLI ,I WKH PLFD VHJPHQW GHSWK LV OHVV WKDQ WKH OLPLW WKH
FRPPXWDWRU PXVW EH UHSODFHG

 0HDVXUH WKH FRPPXWDWRU RXWVLGH GLDPHWHU

&RPPXWDWRU 2XWVLGH 'LDPHWHU PP LQ

<RNH
0RGHO 6WDQGDUG /LPLW
'LDPHWHU

6& —    

6& —    

,I WKH PHDVXUHG RXWVLGH GLDPHWHU LV OHVV WKDQ WKH


VSHFLILHG OLPLW WKH FRPPXWDWRU PXVW EH UHSODFHG
'WLI

 7HVW WKH DUPDWXUH IRU VKRUW FLUFXLWLQJ

D 3ODFH WKH DUPDWXUH LQ D JURZOHU WHVWHU

E +ROG D KDFNVDZ EODGH DJDLQVW WKH DUPDWXUH FRUH

,I WKH DUPDWXUH KDV D VKRUW FLUFXLW WKH KDFNVDZ


EODGH ZLOO YLEUDWH

5HSODFH WKH DUPDWXUH LI WKHUH LV D VKRUW FLUFXLW

'WLI
67$57,1* 6<67(0 ' ¤ 

 8VH D FLUFXLW WHVWHU WR FKHFN WKH DUPDWXUH IRU


JURXQGLQJ

 +ROG RQH SUREH RI WKH FLUFXLW WHVWHU DJDLQVW WKH


FRPPXWDWRU VHJPHQW

 +ROG WKH RWKHU FLUFXLW WHVWHU SUREH DJDLQVW WKH


DUPDWXUH FRUH

,I WKH FLUFXLW WHVWHU LQGLFDWHV FRQWLQXLW\ WKH DUPDWXUH LV


JURXQGHG

7KH DUPDWXUH PXVW EH UHSODFHG

'WLI

 8VH WKH FLUFXLW WHVWHU WR FKHFN WKH DUPDWXUH IRU


FRQWLQXLW\

 +ROG WKH FLUFXLW WHVWHU SUREHV DJDLQVW WZR DUPDWXUH


FRUH VHJPHQWV

 5HSHDW 6WHS  DW GLIIHUHQW VHJPHQWV RI WKH


DUPDWXUH FRUH

7KHUH VKRXOG EH FRQWLQXLW\ EHWZHHQ DOO VHJPHQWV RI WKH


DUPDWXUH FRUH

,I WKHUH LV QRW WKH DUPDWXUH PXVW EH UHSODFHG

'WLI

<2.(
 8VH D FLUFXLW WHVWHU WR FKHFN WKH ILHOG ZLQGLQJ JURXQG

 +ROG RQH FLUFXLW WHVWHU SUREH DJDLQVW WKH ILHOG


ZLQGLQJ HQG RU EUXVK

 +ROG WKH RWKHU FLUFXLW WHVWHU SUREH DJDLQVW WKH EDUH


VXUIDFH RI WKH \RNH ERG\

7KHUH VKRXOG EH QR FRQWLQXLW\

,I WKHUH LV FRQWLQXLW\ WKH ILHOG FRLO LV JURXQGHG

7KH \RNH PXVW EH UHSODFHG


'WLI

 8VH WKH FLUFXLW WHVWHU WR FKHFN WKH ILHOG ZLQGLQJ


FRQWLQXLW\

 +ROG RQH FLUFXLW WHVWHU SUREH DJDLQVW WKH ¦&§


WHUPLQDO OHDG ZLUH

 +ROG WKH RWKHU FLUFXLW WHVWHU SUREH DJDLQVW WKH ILHOG


ZLQGLQJ EUXVK

7KHUH VKRXOG EH FRQWLQXLW\

,I WKHUH LV QR FRQWLQXLW\ WKH \RNH PXVW EH UHSODFHG

'WLI
' ¤  67$57,1* 6<67(0

%586+$1'%586++2/'(5
 8VH D YHUQLHU FDOLSHU WR PHDVXUH WKH EUXVK OHQJWK IRXU
EUXVKHV 

5HSODFH WKH EUXVKHV DV D VHW LI RQH RU PRUH RI WKH


EUXVK OHQJWK LV OHVV WKDQ WKH VSHFLILHG OLPLW

%UXVK /HQJWK PP LQ

<RNH
0RGHO 6WDQGDUG /LPLW
'LDPHWHU

'WLI
6 —    

6 —    

 8VH D FLUFXLW WHVWHU WR FKHFN WKH EUXVK KROGHU


LQVXODWLRQ

7RXFK RQH SUREH WR WKH KROGHU SODWH DQG WKH RWKHU


SUREH WR WKH SRVLWLYH EUXVK KROGHU

7KHUH VKRXOG EH QR FRQWLQXLW\

 ,QVSHFW WKH EUXVKHV IRU H[FHVVLYH ZHDU

,I WKH QHJDWLYH EUXVKHV KDYH H[FHVVLYH ZHDU WKH HQWLUH


EUXVK KROGHU DVVHPEO\ PXVW EH UHSODFHG

,I WKH SRVLWLYH EUXVKHV KDYH H[FHVVLYH ZHDU RQO\ WKH


EUXVKHV PXVW EH UHSODFHG
'WLI

 8VH D SDLU RI VLGH FXWWHUV WR FXW WKH OHDG ZLUH IURP


WKH EUXVK

 )LOH DZD\ DQ\ IRUHLJQ PDWHULDO FOLQJLQJ WR WKH HGJH


RI WKH OHDG ZLUH

 5HPRYH WKH EUXVKHV IURP WKH EUXVK KROGHU

 ,QVWDOO WKH QHZ EUXVKHV

'WLI

 6WUDLJKWHQ WKH EHQW SRUWLRQ RI WKH FOLS

 )LOH DZD\ DQ\ IRUHLJQ PDWHULDO FOLQJLQJ WR WKH FOLS


VXUIDFH

'WLI
67$57,1* 6<67(0 ' ¤ 

 3ODFH WKH OHDG ZLUH LQ WKH FOLS

 %HQG WKH FOLS VKXW

 6ROGHU WKH EUXVK OHDG

 5HSHDW WKH SURFHGXUH IRU HDFK RI WKH EUXVKHV

'WLI

29(55811,1*&/87&+
 ,QVSHFW WKH RYHUUXQQLQJ FOXWFK JHDU WHHWK IRU H[FHVVLYH
ZHDU DQG GDPDJH

5HSODFH WKH RYHUUXQQLQJ FOXWFK LI QHFHVVDU\

 5RWDWH WKH SLQLRQ FORFNZLVH

,W VKRXOG WXUQ VPRRWKO\

 7U\ WR URWDWH WKH SLQLRQ LQ WKH RSSRVLWH GLUHFWLRQ

7KH SLQLRQ VKRXOG ORFN

'WLI

%$//%($5,1*
,QVSHFW WKH EHDULQJV IRU H[FHVVLYH ZHDU DQG GDPDJH

5HSODFH WKH EHDULQJV LI QHFHVVDU\

'WLI

0$*1(7,&6:,7&+
7KH IROORZLQJ WHVWV PXVW EH SHUIRUPHG ZLWK WKH VWDUWHU
PRWRU IXOO\ DVVHPEOHG

7KH \RNH OHDG ZLUH PXVW EH GLVFRQQHFWHG IURP WKH ¦&§


WHUPLQDO

7R SUHYHQW FRLO EXUQLQJ FRPSOHWH HDFK WHVW DV TXLFNO\ DV


SRVVLEOH ZLWKLQ WKUHH WR ILYH VHFRQGV 

7HPSRUDULO\ FRQQHFW WKH PDJQHWLF VZLWFK EHWZHHQ WKH


FOXWFK DQG WKH KRXVLQJ DQG UXQ WKH IROORZLQJ WHVW

&RPSOHWH HDFK WHVW ZLWKLQ WKUHH WR ILYH VHFRQGV

 3XOO2XW 7HVW

&RQQHFW WKH EDWWHU\ QHJDWLYH WHUPLQDO ZLWK WKH PDJQHWLF


VZLWFK ERG\ DQG WKH & WHUPLQDO :KHQ FXUUHQW LV DSSOLHG WR
WKH  WHUPLQDO IURP WKH EDWWHU\ SRVLWLYH WHUPLQDO WKH SLQLRQ
VKRXOG IOXWWHU

'WLI
' ¤  67$57,1* 6<67(0

 +ROGLQ 0DLQWHQDQFH 7HVW

'LVFRQQHFW WKH OHDG DW WKH & WHUPLQDO 7KH SLQLRQ VKRXOG

FRQWLQXH WR IOXWWHU

'WLI

 5HWXUQ 7HVW

&RQQHFW WKH EDWWHU\ QHJDWLYH OHDGV WR WKH VWDUWHU ERG\ DQG

WKH  WHUPLQDO

&RQQHFW WKH EDWWHU\ SRVLWLYH OHDG DW WKH & WHUPLQDO

7KH SLQLRQ VKRXOG UHWXUQ WR LWV KRPH SRVLWLRQ

'WLI
67$57,1* 6<67(0 ' ¤ 

5($66(0%/<
6

'WLI
' ¤  67$57,1* 6<67(0

5($66(0%/<
 *HDU &DVH

 0DJQHWLF 6ZLWFK $VVHPEO\

 7RUVLRQ 6SULQJ

 6KLIW /HYHU

 $WWDFK WKH WRUVLRQ VSULQJ WR WKH KROH LQ WKH PDJQHWLF


VZLWFK DV LOOXVWUDWHG

 ,QVHUW WKH VKLIW OHYHU LQWR WKH SOXQJHU KROH RI WKH


PDJQHWLF VZLWFK
'WLI

 'XVW &RYHU

,QVWDOO WKH GXVW FRYHU

 %ROW

,QVWDOO WKH PDJQHWLF VZLWFK DVVHPEO\ LQ WKH JHDU FDVH DQG


WLJKWHQ WKH EROW WR WKH VSHFLILHG WRUTXH

*HDU &DVH %ROW 7RUTXH 1±P NJ±POE±LQ

 

'WLI

 3LQLRQ &OXWFK

 3LQLRQ 6KDIW

$SSO\ D FRDW RI JUHDVH WR WKH SLQLRQ FOXWFK JHDU DQG LQVWDOO


WKH SLQLRQ DVVHPEO\ WR WKH DUPDWXUH VKDIW

 5HWXUQ 6SULQJ

 3LQLRQ 6WRSSHU

 3LQLRQ 6WRSSHU &OLS

'WLI

 %DOO %HDULQJ

 %HDULQJ +ROGHU

 &OXWFK $VVHPEO\

 %HDULQJ 5HWDLQHU

 $UPDWXUH

 <RNH

 %UXVK +ROGHU

 7ZLVW WKH KROGHU VSULQJ DQG KROG LW

 ,QVWDOO WKH EUXVK WR WKH EUXVK KROGHU

 5HSHDW VWHS  DQG  IRU WKH UHDPLQJ KROGHUV

'WLI
67$57,1* 6<67(0 ' ¤ 

 ,QVWDOO WKH EUXVK KROGHU DVVHPEO\ WR WKH \RNH

7DNH FDUH QRW WR GDPDJH WKH FRPPXWDWRU IDFH DQG WKH


EUXVKHV

'WLI

 5HDU &RYHU

 7KURXJK %ROW

,QVWDOO WKH WKURXJK EROWV LQ WKH UHDU FRYHU DQG WLJKWHQ WKHP
WR WKH VSHFLILHG WRUTXH

7KURXJK %ROW 7RUTXH 1±P NJ±POE±LQ

 

'WLI

 /HDG :LUH 1XW

&RQQHFW WKH OHDG ZLUH LQ WKH PDJQHWLF VZLWFK DQG WLJKWHQ


WKH WHUPLQDO QXW WR WKH VSHFLILHG WRUTXH

/HDG :LUH 7HUPLQDO 1XW 7RUTXH 1±P NJ±POE±LQ

 

'WLI

3LQLRQ-XPSRXWGLPHQVLRQ
‡ &RQQHFW WKH  FDEOH RI EDWWHU\ WR WHUPLQDO 6 DQG WKH
 FDEOH WR WHUPLQDO 0 7XUQ WKH VZLWFK RQ DQG
PHDVXUH SLQLRQ WUDYHO GLPHQVLRQ ¦/§ LQ WKUXVW GLUHFWLRQ
IURP WKH MXPSRXW SRVLWLRQ

,Q PHDVXULQJ WKH GLPHQVLRQ SXOO WKH SLQLRQ RXW D OLWWOH LQ WKH


DUURZ GLUHFWLRQ

PP LQ

'LPHQVLRQ 6WDQGDUG
'WLI

/      

,I WKH PHDVXUHG YDOXH LV RXW RI VWDQGDUG DGMXVW WKH RI


VKLPV
' ¤  67$57,1* 6<67(0

6$

'WLI

5($66(0%/<
)RU UHDVVHPEO\ UHIHU WR 6
&+$5*,1* 6<67(0 ' ¤ 

6(&7,21'
&+$5*,1*6<67(0

&217(176
3$*(
*HQHUDO'HVFULSWLRQ ' 
'LDJQRVLV ' 
2Q9HKLFOH6HUYLFH  ' 
8QLW5HSDLU ' 
5HDVVHPEO\ '

*(1(5$/'(6&5,37,21
7KH FKDUJLQJ V\VWHP LV WKH ,& LQWHJUDO UHJXODWRU 7KH JHQHUDWRU GRHV QRW UHTXLUH SDUWLFXODU PDLQWHQDQFH

FKDUJLQJ V\VWHP DQG LWV PDLQ FRPSRQHQWV DUH VXFK DV YROWDJH DGMXVWPHQW 7KH UHFWLILHU DFRQQHFWHG

FRQQHFWHG DV VKRZQ LQ )LJXUH WR WKH VWDWRU FRLO KDV QLQH GLRGHV WR WUDQVIRUP $&

7KH UHJXODWRU LV D VROLG VWDWH W\SH DQG LW LV PRXQWHG YROWDJH LQWR '& YROWDJH 7KLV '& YROWDJH LV

DORQJ ZLWK WKH EUXVK KROGHU DVVHPEO\ LQVLGH WKH FRQQHFWHG WR WKH RXWSXW WHUPLQDO RI JHQHUDWRU

JHQHUDWRU LQVWDOOHG RQ WKH UHDU HQG FRYHU

'WLI
' ¤  &+$5*,1* 6<67(0

'WLI
&+$5*,1* 6<67(0 ' ¤ 

',$*126,6
*(1(5$/219(+,&/(,163(&7,21
7KH RSHUDWLQJ FRQGLWLRQ RI FKDUJLQJ V\VWHP LV LQGLFDWHG E\

WKH FKDUJH ZDUQLQJ ODPS 7KH ZDUQLQJ ODPS FRPHV RQ

ZKHQ WKH VWDUWHU VZLWFK LV WXUQHG WR ¦21§ SRVLWLRQ 7KH

FKDUJLQJ V\VWHP RSHUDWHV QRUPDOO\ LI WKH ODPS JRHV RII

ZKHQ WKH HQJLQH VWDUWV ,I WKH ZDUQLQJ ODPS VKRZV

DEQRUPDOLW\ RU LI XQGHUFKDUJHG RU RYHUFKDUJHG EDWWHU\

FRQGLWLRQ LV VXVSHFWHG SHUIRUP GLDJQRVLV E\ FKHFNLQJ WKH

FKDUJLQJ V\VWHP DV IROORZV

'WLI

 &KHFN YLVXDOO\ WKH EHOW DQG ZLULQJ FRQQHFWRU

 :LWK WKH HQJLQH LQ VWRS VWDWXV WXUQ WKH VWDUWHU VZLWFK WR

¦21§ SRVLWLRQ DQG REVHUYH WKH ZDUQLQJ ODPS

‡ ,I ODPS GRHV QRW FRPH RQ

'LVFRQQHFW ZLULQJ FRQQHFWRU IURP JHQHUDWRU DQ

JURXQG WKH WHUPLQDO ¦/§ RQ FRQQHFWRU VLGH

‡ ,I ODPS FRPHV RQ

5HSDLU RU UHSODFH WKH JHQHUDWRU


' ¤  &+$5*,1* 6<67(0

219(+,&/(6(59,&(
*(1(5$725

'WLI

5(029$/
3UHSDUDWLRQ

‡ %DWWHU\ JURXQG FDEOH

‡ 7LOW WKH FDE

 $& &RPSUHVVRU 'ULYH %HOW ,I HTXLSSHG ZLWK $&

 $& &RPSUHVVRU ,I HTXLSSHG ZLWK $&


‡ $IWHU GLVFRQQHFWLQJ WKH $& FRPSUHVVRU KDUQHVV

FRQQHFWRU GHPRXQW WKH FRPSUHVVRU IURP WKH $&

FRPSUHVVRU EUDFNHW DQG IDVWHQ LW ZLWK D ZLUH WR DQ

DSSURSULDWH ORFDWLRQ WRJHWKHU ZLWK WKH KRVHV

 9DFXXP 3XPS 2LO 3LSH

 9DFXXP 3XPS 5XEEHU +RVH

 9DFXXP +RVH

 $&* +DUQHVV
'LVFRQQHFW WKH % WHUPLQDO FDEOH DQG KDUQHVV FRQQHFWRU

IURP JHQHUDWRU

 )DQ %HOW

 *HQHUDWRU

 $GMXVW 3ODWH
&+$5*,1* 6<67(0 ' ¤ 

,167$//$7,21
 $GMXVW 3ODWH

,QVWDOO WKH DGMXVW SODWH DV VKRZQ LQ WKH LOOXVWUDWLRQ

'WLI

 *HQHUDWRU

1RWH

%HIRUH WLJKWHQLQJ WKH JHQHUDWRU WLJKWHQ LQ DGYDQFH WKH

IDQ EHOW WHPSRUDULO\ DIWHU LWV DGMXVWPHQW

‡ ,QVHUW WKH ORZHU IL[LQJ EROW IURP WKH UHDU VLGH DV VKRZQ
LQ WKH LOOXVWUDWLRQ DQG WLJKWHQ LW ZLWK D QXW RQ WKH IURQW
VLGH

'WLI

 )DQ %HOW

&KHFN WKH GULYH EHOW WHQVLRQ

'HSUHVV WKH GULYH EHOW PLGSRUWLRQ ZLWK D  NJ

 OE 1 IRUFH

'ULYH %HOW 'HIOHFWLRQ PP LQ

      ±±± 1HZ EHOW


      ±±± 5HXVH EHOW

&KHFN WKH GULYH EHOW IRU FUDQNLQJ DQG RWKHU GDPDJH

'WLI

)DQ%HOW$GMXVWPHQW
)DQ EHOW WHQVLRQ LV DGMXVWHG E\ PRYLQJ WKH JHQHUDWRU

7RUTXH 1±P NJ±POE±IW

?  

@  

A  

 $&* +DUQHVV
'WLI
 9DFXXP +RVH
' ¤  &+$5*,1* 6<67(0

 9DFXXP 3XPS 5XEEHU +RVH

 9DFXXP 3XPS 2LO 3LSH

&\OLQGHU %RG\ 6LGH 1±P NJ±POE±IW

 

*HQHUDWRU 6LGH 1±P NJ±POE±IW

 

'WLI

 $& &RPSUHVVRU ,I HTXLSSHG ZLWK $&

‡ 7LJKWHQ IL[LQJ EROWV WR WKH VSHFLILHG WRUTXH

$& &RPSUHVVRU %ROW 7RUTXH 1±P NJ±POE±IW

 

1RWH

:KHQ LQVWDOOLQJ WKH FRPSUHVVRU IL[LQJ EROWV WLJKWHQ


ILUVW WKH  EROWV RQ WKH UHDU VLGH DQG WKHQ WKH
UHPDLQLQJ  RQ WKH IURQW VLGH

'WLI

 $& &RPSUHVVRU 'ULYH %HOW ,I HTXLSSHG ZLWK $&

‡ ,QVWDOO GULYH EHOW DGMXVW EHOW WHQVLRQ E\ DGMXVWLQJ EROW


DQG WLJKWHQ ORFNLQJ QXW WR WKH VSHFLILHG WRUTXH

‡ 'HSUHVV WKH GULYH EHOW PLGSRUWLRQ ZLWK D  NJ

 OE 1 IRUFH

'ULYH %HOW 'HIOHFWLRQ PP LQ

      ±±±1HZ EHOW


      ±±±5HXVH EHOW

/RFNLQJ 1XW 7RUTXH 1±P NJ±POE±IW

'WLI
 

‡ &RQQHFW WKH QHJDWLYH EDWWHU\ FDEOH

‡ /RZHU WKH FDE


&+$5*,1* 6<67(0 ' ¤ 

81,75(3$,5

'WLI
' ¤  &+$5*,1* 6<67(0

',6$66(0%/<
 9DFXXP 3XPS $VVHPEO\

 /RRVHQ WKH YDFXXP SXPS IL[LQJ EROWV

 6XSSRUW WKH YDFXXP SXPS FHQWHU SODWH

 &DUHIXOO\ UHPRYH WKH YDFXXP SXPS

'WLI

 7KURXJK %ROW

 5RWRU DQG )URQW &RYHU $VVHPEO\

 6WDWRU DQG 5HDU &RYHU $VVHPEO\

 /RRVHQ WKH WKURXJK EROWV

 5HPRYH WKH URWRU DQG IURQW FRYHU DVVHPEO\ IURP WKH


VWDWRU DQG UHDU FRYHU DVVHPEO\

'R QRW DOORZ WKH VWDWRU WR VHSDUDWH IURP WKH UHDU FRYHU

7DNH FDUH QRW WR GDPDJH WKH RLO VHDO

7DSH WKH URWRU VSOLQHV WR SURWHFW WKHP IURP GDPDJH

'WLI

 3XOOH\ 1XW

 3XOOH\

 )DQ

 6SDFHU

 5RWRU

 &DUHIXOO\ FODPS WKH URWRU DVVHPEO\ LQ D YLFH

 /RRVHQ WKH SXOOH\ QXW?


 5HPRYH WKH SXOOH\ @ WKH IDQ A WKH VSDFHU B WKH
IURQW FRYHU C DQG WKH URWRU D
'WLI

 )URQW &RYHU

 %HDULQJ 5HWDLQHU

 )URQW %DOO %HDULQJ

 5HDU %DOO %HDULQJ

 7HUPLQDO 1XW DQG %ROW

'WLI

 6WDWRU

 /RRVHQ WKH WHUPLQDO QXWV DQG EROWV

 5HPRYH WKH OHDG ZLUH WKH LQVXODWRUV DQG WKH ZDVKHUV

 5HPRYH WKH VWDWRU DQG WKH ,& UHJXODWRU DVVHPEO\ IURP


WKH UHDU FRYHU

'WLI
&+$5*,1* 6<67(0 ' ¤ 

 )DQ JXLGH

 5HFWLILHU

 %UXVK DQG ,& 5HJXODWRU

'LVFRQQHFW WKH VWDWRU FRLO OHDGV EHWZHHQ HDFK UHFWLILHU DQG


WKH 1WHUPLQDO E\ PHOWLQJ WKH VROGHU FRQQHFWLRQ

127(

+ROG WKH OHDG ZLUH EHWZHHQ WKH VROGHU DQG WKH UHFWLILHU

ZLWK D SDLU RI ORQJ QRVH SOLHUV

7KLV ZLOO SUHYHQW KHDW WUDQVIHU DQG UHVXOWDQW GDPDJH WR WKH


UHFWLILHU
'WLI

5HIHU WR ¦,163(&7,21 $1' 5(3$,5§ IRU WKH ,& UHJXODWRU


WKH UHFWLILHU WKH EUXVK KROGHU DQG WKH FRQGHQVHU
UHSODFHPHQW SURFHGXUHV

 5HDU &RYHU

'WLI

,163(&7,21$1'5(3$,5
0DNH WKH QHFHVVDU\ DGMXVWPHQWV UHSDLUV DQG SDUW
UHSODFHPHQWV LI H[FHVVLYH ZHDU RU GDPDJH LV GLVFRYHUHG
GXULQJ LQVSHFWLRQ

52725
 ,QVSHFW WKH VOLS ULQJ IDFHV IRU GLUW DQG SLWWLQJ

:LSH DZD\ DQ\ GLUW ZLWK D FOHDQ FORWK VRDNHG LQ


DOFRKRO

8VH D KDQG JULQGHU WR UHPRYH SLWWLQJ

 0HDVXUH WKH VOLS ULQJ GLDPHWHU

6OLS 5LQJ 'LDPHWHU PP LQ

6WDQGDUG /LPLW

'WLI
   

,I WKH VOLS ULQJ GLDPHWHU LV OHVV WKDQ WKH VSHFLILHG OLPLW WKH
VOLS ULQJV PXVW EH UHSODFHG

 0HDVXUH WKH URWRU FRLO UHVLVWDQFH

5RWRU &RLO 5HVLVWDQFH DW ƒ& ƒ) RKPV

6WDQGDUG 

'WLI
' ¤  &+$5*,1* 6<67(0

 &KHFN IRU FRQWLQXLW\ EHWZHHQ WKH VOLS ULQJV DQG WKH


URWRU FRUH RU VKDIW

,I WKHUH LV FRQWLQXLW\ WKH HQWLUH URWRU DVVHPEO\ PXVW EH


UHSODFHG

'WLI

 5HDU EDOO EHDULQJ

‡ &KHFN WR VHH LI WKH EDOO EHDULQJV URWDWH OLJKWO\ ZLWK QR


QRLVH KHDUG
‡ $V WKH UHVXOW RI LQVSHFWLRQ LW LV IRXQG WKDW WKH EDOO
EHDULQJ GR QRW URWDWH OLJKWO\ RU DQ\ QRLVHV DUH KHDUG
UHSODFH WKHP ZLWK QHZ RQHV

3UHVVLQ PHDVXUHPHQW / ZKHQ


FKDQJLQJ EHDULQJV PP LQ

6WDQGDUG      

'WLI

67$725
 &KHFN IRU FRQWLQXLW\ DFURVV WKH VWDWRU FRLOV

,I WKHUH LV QR FRQWLQXLW\ WKH VWDWRU FRLOV PXVW EH


UHSODFHG

5HVLVWDQFH %HWZHHQ 7KH &RLO (QG ¦1§ $QG


7KH (DFK &RLO (QGV 5HIHUHQFH RKPV

6WDQGDUG 

'WLI

 &KHFN IRU FRQWLQXLW\ EHWZHHQ HDFK VWDWRU FRLO DQG WKH


VWDWRU FRUH

,I WKHUH LV FRQWLQXLW\ WKH VWDWRU FRLOV PXVW EH UHSODFHG

'WLI

5(&7,),(5,&5(*8/$725$1'%586+
+2/'(5$66(0%/<
'LVDVVHPEO\
 'LVFRQQHFW WKH ,& UHJXODWRU DQG WKH UHFWLILHU E\ PHOWLQJ
WKH VROGHU FRQQHFWLRQV

 /RRVHQ WKH WHUPLQDO EROW WR UHPRYH WKH UHFWLILHU

'WLI
&+$5*,1* 6<67(0 ' ¤ 

 'LVFRQQHFW WKH ,& UHJXODWRU WKH EUXVK KROGHU DQG WKH


FRQGHQVHU E\ PHOWLQJ WKH VROGHU FRQQHFWLRQV

 5HPRYH WKH ,& UHJXODWRU IURP WKH WHUPLQDO SODWHV

 5HPRYH WKH VWXG EROWV IURP WKH WHUPLQDO SODWH

127(

,I WKH EUXVKHG EUXVK KROGHU DQG WKH FRQGHQVHU WR EH

UHXVHG GR QRW UHPRYH WKH VWXG EROWV

 5HPRYH WKH EUXVK KROGHU IURP WKH WHUPLQDO SODWH

,QVSHFWLRQ
%UXVK

(DFK EUXVK KDV D OLQH WR LQGLFDWH ZKHWKHU RU QRW WKH EUXVK


LV VHUYLFHDEOH

,I WKH OLQH LV QRW YLVLEOH WKH EUXVK PXVW EH UHSODFHG

%UXVK /HQJWK 5HIHUHQFH PP LQ

6WDQGDUG /LPLW

   

'WLI

5HFWLILHU

 &KHFN IRU FRQWLQXLW\ ZLWK D FLUFXLW WHVWHU EHWZHHQ WKH


EDWWHU\ DQG HDFK RI WKH WKUHH VWDWRU FRLO OHDG WHUPLQDOV

,I WKHUH LV FRQWLQXLW\ IURP EDWWHU\ WR HDFK RI WKH WKUHH


VWDWRU FRLO OHDG WHUPLQDOV WKH UHFWLILHU LV QRUPDO

,I WKHUH LV QR FRQWLQXLW\ WKH UHFWLILHU PXVW EH UHSODFHG

&KHFN IRU FRQWLQXLW\ ZLWK D FLUFXLW WHVWHU EHWZHHQ WKH


HDUWK DQG HDFK RI WKH WKUHH VWDWRU FRLO OHDG WHUPLQDOV

,I WKHUH LV FRQWLQXLW\ IURP HDFK RI WKH WKUHH VWDWRU FRLO


OHDG WHUPLQDOV WR HDUWK WKH UHFWLILHU LV QRUPDO
'WLI
,I WKHUH LV QR FRQWLQXLW\ WKH UHFWLILHU PXVW EH UHSODFHG

 5HYHUVH WKH SRODULW\ RI WKH WHVW SUREHV

,I WKHUH LV QR FRQWLQXLW\ WKH UHFWLILHU LV QRUPDO

,I WKHUH LV FRQWLQXLW\ WKH UHFWLILHU PXVW EH UHSODFHG

'WLI

,& 5HJXODWRU

7KH ,& UHJXODWRU PD\ EH WHVWHG ZLWK HLWKHU D FLUFXLW WHVWHU RU


SDLU RI VWDQGDUG YROWPHWHUV

5HIHU WR WKH LOOXVWUDWLRQ

? &LUFXLW WHVWHU RU YROWPHWHU UDQJH LV IURP  WR  YROWV


LQ  YROW LQFUHPHQWV

@ 7ZR WZHOYH YROW EDWWHULHV DUH UHTXLUHG

A 1RWH WKH YDULDEOH UHVLVWRU

B 7KLV UHVLVWRU LV UDWHG DW  ZDWWV RKPV


'WLI
' ¤  &+$5*,1* 6<67(0

7HVWLQJ WKH ,& 5HJXODWRU


5HIHU WR WKH ZLULQJ GLDJUDP ZKHQ WHVWLQJ WKH ,& UHJXODWRU

 &RQQHFW WKH EDWWHULHV LQ VHULHV

 0HDVXUH WKH EDWWHU\ SRZHU YROWDJH 

%DWWHU\ 3RZHU 9

  

 &RQQHFW WKH FLUFXLW WHVWHU ? RU YROWPHWHU 9 DV


VKRZQ LQ WKH LOOXVWUDWLRQ
'WLI
 6HW WKH YDULDEOH UHVLVWRU A WR ]HUR
 6ORZO\ LQFUHDVH WKH UHVLVWDQFH RI WKH YDULDEOH UHVLVWRU
WRZDUG WKH EXLOGXS SRLQW

0HDVXUH WKH YROWDJH EHWZHHQ ( DQG )

$V ORQJ DV WKH UHVLVWDQFH LV EHORZ WKH EXLOGXS SRLQW


WKH YROWDJH UHDGLQJ VKRXOG EH VWDEOH DQG OHVV WKDQ WZR
YROWV

:KHQ WKH UHVLVWDQFH H[FHHGV WKH EXLOGXS SRLQW WKH


YROWDJH UHDGLQJ VKRXOG EH WZR YROWV RU JUHDWHU

,I WKH YROWDJH GRHV QRW H[FHHG WZR YROWV DIWHU UHDFKLQJ


WKH EXLOGXS SRLQW WKH ,& UHJXODWRU PXVW EH UHSODFHG

 5HWXUQ WKH YDULDEOH UHVLVWRU A WR ]HUR


 &RQQHFW WKH FLUFXLW WHVWHU RU YROWPHWHU 9 DV VKRZQ LQ
WKH LOOXVWUDWLRQ

 0HDVXUH WKH YROWDJH DW WHUPLQDOV 6 / DQG (

 6ORZO\ LQFUHDVH WKH UHVLVWDQFH RI WKH YDULDEOH UHVLVWRU

1RWH WKH SRLQW DW ZKLFK WKH YROWDJH TXLFNO\ EXLOGV XS WR


EHWZHHQ  DQG  YROWV

7KLV ZLOO LQGLFDWH WKH SRLQW DW ZKLFK WKH YROWDJH


UHJXODWRU EHJLQV WR IXQFWLRQ

,I WKH PHDVXUHG YROWDJH LV RXWVLGH WKH VSHFLILHG UDQJH


WKH YROWDJH UHJXODWRU PXVW EH UHSODFHG

 5HSHDW 6WHSV  WKURXJK  WR PHDVXUH WKH YROWDJH


EHWZHHQ WHUPLQDOV % / DQG (

5HIHU WR WKH ZLULQJ GLDJUDP

7KH UHJXODWRU YROWDJH VKRXOG EH EHWZHHQ  DQG 


YROWV KLJKHU WKDQ WKH PHDVXUHG YROWDJH

,I WKH UHJXODWRU YROWDJH LV RXWVLGH WKLV UDQJH WKH YROWDJH


UHJXODWRU PXVW EH UHSODFHG

'WLI
&+$5*,1* 6<67(0 ' ¤ 

5HDVVHPEO\
 ,QVWDOO WKH EUXVK KROGHU DQG WKH VWXG EROWV WR WKH

WHUPLQDO SODWH

&KHFN WKDW WKH VWXG EROWV ILW SURSHUO\

 $WWDFK WKH ,& UHJXODWRU WR WKH WHUPLQDO SODWH

 6ROGHU WKH ,& UHJXODWRU WKH EUXVK KROGHU DQG WKH

FRQGHQVHU

7DNH FDUH QRW WR KHDW WKH ,& UHJXODWRU

2YHUKHDWLQJ ZLOO UHVXOWLQJ GDPDJH WR WKH ,& UHJXODWRU


'WLI

 6HW WKH UHFWLILHU WR WKH ,& UHJXODWRU DVVHPEO\

 6ROGHU UHFWLILHU DQG ,& UHJXODWRU

7DNH FDUH QRW WR KHDW WKH ,& UHJXODWRU

2YHUKHDWLQJ ZLOO UHVXOWLQJ GDPDJH WR WKH UHFWLILHUV DQG

WKH ,& UHJXODWRU

 7LJKWHQ WKH UHFWLILHU WHUPLQDO EROW

2,/6($/
&KHFN WKH UHDU FRYHU RLO VHDO ERUH IRU RLO OHDNDJH

2LO6HDO5HSODFHPHQW
 8VH D VFUHZGULYHU WR UHPRYH WKH RLO VHDO IURP WKH UHDU

FRYHU VLGH

7DNH FDUH QRW WR GDPDJH WKH RLO VHDO ERUH

 'LVFDUG WKH XVHG RLO VHDO

 8VH WKH RLO VHDO LQVWDOOHU WR LQVWDOO WKH QHZ RLO VHDO

'WLI
' ¤  &+$5*,1* 6<67(0

9$&8803803
'LVDVVHPEO\
 5HPRYH WKH FHQWHU SODWH IURP WKH YDFXXP SXPS
KRXVLQJ

 5HPRYH WKH YDFXXP SXPS URWRU DQG WKH YDQHV IURP


WKH KRXVLQJ

'WLI

,QVSHFWLRQDQG5HSDLU
9DFXXP 3XPS +RXVLQJ DQG &HQWHU 3ODWH
,QVSHFW WKH YDFXXP SXPS KRXVLQJ DQG WKH FHQWHU SODWH IRU
H[FHVVLYH ZHDU DEUDVLRQ DQG VFRULQJ

,I DQ\ RI WKHVH FRQGLWLRQV DUH SUHVHQW WKH YDFXXP SXPS


KRXVLQJ DQG FHQWHU SODWH PXVW EH UHSODFHG

,QVSHFW WKH YDFXXP SXPS KRXVLQJ LQVLGH IRU ZHDU DQG


GDPDJH

,I WKH PHDVXUHG LQVLGH GLDPHWHU LV RXWVLGH WKH VSHFLILHG


'WLI
UDQJH UHSODFH WKH YDFXXP SXPS KRXVLQJ

9DFXXP 3XPS +RXVLQJ ,QVLGH


'LDPHWHU 5HIHUHQFH PP LQ

6WDQGDUG      

9DQH
,QVSHFW WKH YDQHV IRU H[FHVVLYH ZHDU DQG GDPDJH

5HSODFH DOO IRXU YDQHV LI HLWKHU RI WKHVH FRQGLWLRQV DUH


SUHVHQW

1HYHU UHSODFH RQO\ RQH YDQH

9DQH /HQJWK 5HIHUHQFH PP LQ

6WDQGDUG  

5RWRU
'WLI
 ,QVSHFW WKH URWRU IRU H[FHVVLYH ZHDU DEUDVLRQ DQG
VFRULQJ

3D\ SDUWLFXODU DWWHQWLRQ WR WKH LQWHUQDO VSOLQH

5HSODFH WKH URWRU LI DQ\ RI WKHVH FRQGLWLRQV DUH SUHVHQW

 ,QVSHFW WKH JHQHUDWRU URWRU VKDIW VSOLQHV IRU EDFNODVK

5HSODFH WKH URWRU LI EDFNODVK LV SUHVHQW


&+$5*,1* 6<67(0 ' ¤ 

&KHFN 9DOYH
 &DUHIXOO\ IRUFH WKH YDOYH IURP WKH ¦%§ VLGH DV VKRZQ LQ
WKH LOOXVWUDWLRQ

7KH YDOYH PXVW PRYH VPRRWKO\

,I LW GRHV QRW WKH FKHFN YDOYH PXVW UHSODFHG

 $SSO\ FRPSUHVVHG DLU WR WKH ¦$§ VLGH



$LU 3UHVVXUH N3D NJFP SVL

       

'WLI
&KHFN IRU DLU OHDNDJH IURP WKH FKHFN YDOYH

,I WKHUH LV DLU OHDNDJH WKH YDOYH PXVW EH UHSODFHG

5HDVVHPEO\
 ,QVWDOO WKH YDQHV WR WKH URWRU VOLWV

7KH URXQGHG VLGH RI WKH YDQHV PXVW EH IDFLQJ WKH URWRU


KRXVLQJ

'WLI

 ,QVWDOO WKH URWRU ZLWK WKH FRQFDYH VLGH IDFLQJ WKH FHQWHU
SODWH

'WLI

 ,QVWDOO WKH FHQWHU SODWH WR WKH URWRU KRXVLQJ


%H VXUH WR XVH D QHZ 2ULQJV

'WLI
' ¤  &+$5*,1* 6<67(0

5($66(0%/<

'WLI
&+$5*,1* 6<67(0 ' ¤ 

5($66(0%/<
 5HDU &RYHU

 %UXVK DQG ,& 5HJXODWRU

 5HFWLILHU

 )DQ *XLGH

 6WDWRU

 6ROGHU WRJHWKHU WKH UHFWLILHU DQG VWDWRU OHDGV

+ROG WKH UHFWLILHU OHDG QHDU WKH UHFWLILHU ZLWK D SDLU RU

'WLI
ORQJQRVH SOLHUV WR SURWHFW WKH UHFWLILHU IURP KHDW

&RPSOHWH WKH VROGHULQJ SURFHGXUH DV TXLFNO\ DV


SRVVLEOH

 ,QVWDOO WKH ,& UHJXODWRUVWDWRU DVVHPEOLHV WR WKH UHDU


FRYHU

%H DEVROXWHO\ VXUH WKDW WKH ZDVKHUV DQG WKH LQVXODWRUV


DUH UHLQVWDOOHG WR WKHLU RULJLQDO SRVLWLRQV

+ROG WKH VWDWRU FRLO DJDLQVW WKH UHDU FRYHU

 7HUPLQDO 1XW DQG %ROW

 5RWRU

 5HDU %DOO %HDULQJ

 )URQW &RYHU

 )URQW %DOO %HDULQJ

 %HDULQJ 5HWDLQHU

 6SDFHU

 )DQ

 3XOOH\

 3XOOH\ 1XW

 &DUHIXOO\ FODPS WKH URWRU DQG FRYHU DVVHPEO\ LQ D YLVH

 ,QVWDOO WKH SXOOH\ DQG WKH SXOOH\ QXW

 7LJKWHQ WKH SXOOH\ WR WKH VSHFLILHG WRUTXH

3XOOH\ 1XW 7RUTXH 1±P NJ±POE±IW

 

127(
'WLI
7DNH FDUH QRW WR GDPDJH WKH URWRU ZKHQ FODPSLQJ LW LQ

D YLVH
' ¤  &+$5*,1* 6<67(0

 6WDWRU DQG 5HDU &RYHU $VVHPEO\

 5RWRU DQG )URQW &RYHU $VVHPEO\

 7KURXJK %ROW

 3UHSDUH D EUXVK KROGLQJ ZLUH RU D SLQ

 6HW WKH KROGLQJ ZLUH RU WKH SLQ WR WKH EUXVKHV IURP WKH
YDFXXP SXPS VLGH

'WLI

 3XVK WKH EUXVKHV LQWR WKH KROGHU

 %HQG WKH ZLUH HQG WR KROG WKH EUXVKHV

,I WKH KROGLQJ ZLUH GRHV QRW KROG WKH EUXVKHV SURSHUO\


WKH EUXVKHV ZLOO EH GDPDJHG

'WLI

 7DSH WKH URWRU VKDIW VSOLQH

7KLV ZLOO SUHYHQW RLO VHDO GDPDJHG

'WLI

 3ODFH WKH EHDULQJ UHWDLQHU ULQJ

5LQJ SURMHFWLRQ PXVW EH OHVV WKDQ  PP  LQ

'WLI
&+$5*,1* 6<67(0 ' ¤ 

 ,QVWDOO WKH IURQW FRYHU DQG URWRU DVVHPEO\ WR WKH UHDU


FRYHU

7DNH FDUH QRW WR GDPDJH WKH URWRU WKH FRLO OHDGV WKH
RLO VHDO OLS DQG WKH VSOLQHV

 3ODFH WKH JXLGH EDU LQWR WKH UHDU FRYHU EUDFNHW KROH

$OLJQ WKH IURQW FRYHU EUDFNHW KROH ZLWK WKH JXLGH EDU

 ,QVWDOO WKH WKURXJK EROWV

 7LJKWHQ WKH WKURXJK EROWV WR WKH VSHFLILHG WRUTXH

7KURXJK %ROW 7RUTXH 1±P NJ±POE±LQ

'WLI  

 &DUHIXOO\ UHPRYH WKH KROGLQJ ZLUH IURP WKH UHDU FRYHU

 9DFXXP 3XPS $VVHPEO\

 3RVLWLRQ WKH SXPS URWRU WRJHWKHU ZLWK WKH SXPS KRXVLQJ


RQ WKH FHQWHU SODWH

7KH URWRU VHUUDWHG VLGH PXVW EH IDFLQJ XS

 5RWDWH WKH URWRU WR DOLJQ WKH URWRU ERUH ZLWK WKH FHQWHU
SODWH ERUH

'WLI

 ,QVWDOO WKH KRXVLQJ WKH URWRU DQG WKH FHQWHU SODWH

7KH 2ULQJ PXVW QRW EH SURMHFWLQJ EH\RQG WKH FHQWHU


SODWH VORW

7DNH FDUH QRW WR VFUDWFK WKH YDQHV

 7XUQ WKH KRXVLQJ WR DOLJQ LW ZLWK WKH FHQWHU SODWH

 7LJKWHQ WKH YDFXXP SXPS IL[LQJ EROWV

9DFXXP 3XPS )L[LQJ %ROW 7RUTXH 1±P NJ±POE±LQ

 

 $GG FF RI HQJLQH RLO WKURXJK WKH ILOOHU SRUW

 &KHFN WKDW WKH JHQHUDWRU VSLQV VPRRWKO\ E\ WXUQLQJ LW


ZLWK \RXU KDQG
' ¤  &+$5*,1* 6<67(0

,QVSHFWLRQ
3HUIRUPDQFHWHVW
 *HQHUDWRU

‡ &RQQHFW WKH JHQHUDWRU DV VKRZQ LQ WKH LOOXVWUDWLRQ

‡ 8VH D IXOO\ FKDUJHG EDWWHU\ WR FRQGXFW WKH


PHDVXUHPHQW ZLWK WKH FXUUHQW RXWSXWWHG IURP WKH
EDWWHU\ WHUPLQDOV DW $ RU OHVV

1RWH ZKHQ FRQGXFWLQJ WKH SHUIRUPDQFH WHVW


'WLI
)RU WKH FRQQHFWLRQ EHWZHHQ WKH JHQHUDWRU % WHUPLQDO

DQG WKH EDWWHU\  WHUPLQDO DQG EHWZHHQ WKH ( WHUPLQDO

DQG WKH EDWWHU\  WHUPLQDO XVH D OHDG ZLUH ZLWK D



FURVV VHFWLRQ RI  PP DQG WKH OHQJWK RI  P RU OHVV

 $GMXVWLQJ YROWDJH PHDVXUHPHQW

‡ 2SHQ 6: DQG FORVH 6:

‡ :LWK WKH QXPEHU RI WKH JHQHUDWRU URWDWLRQV UDLVHG XS WR


LWV UDWHG URWDWLRQV RI  USP PHDVXUH WKH DGMXVWLQJ
YROWDJH

$GMXVWLQJ YROWDJH   9

‡ &KHFN WR VHH LI WKH IOXFWXDWLRQ LQ WKH DGMXVWLQJ YROWDJH


LV QRW FDXVHG E\ WKH LQFUHDVHG QXPEHU RI URWDWLRQV

 0HDVXUHPHQW RI WKH QXPEHU RI URWDWLRQV DW 9

‡ 2SHQ 6: DQG FORVH 6:


'WLI

‡ ,QFUHDVH WKH QXPEHU RI WKH JHQHUDWRU URWDWLRQV


JUDGXDOO\ XQWLO WKH UHDGLQJ RI WKH YROWPHWHU LQGLFDWHV
9 0HDVXUH WKH QXPEHU RI URWDWLRQV DW WKLV WLPH

 2XWSXW FXUUHQW PHDVXUHPHQW

‡ 6HW WKH UHVLVWDQFH RI WKH YDULDEOH UHVLVWRU DW WKH


PLQLPXP DQG URWDWH WKH JHQHUDWRU ZLWK 6: DQG 6:
FORVHG

‡ :KLOH NHHSLQJ WKH YROWDJH VWHDG\ DW 9 DIWHU DGMXVWLQJ


WKH YDULDEOH UHVLVWRU UHDG WKH LQGLFDWHG YDOXH RI WKH
DPPHWHU DW WKH JHQHUDWRU URWDWLRQ RI  USP

&XUUHQW DW 9 ZLWK  USP $ RU PRUH IRU $


VSHFLILFDWLRQ

&XUUHQW DW 9 ZLWK  USP $ RU PRUH IRU $


'WLI
VSHFLILFDWLRQ

 8QLW WHVW RI YDFXXP SXPS

‡ :LWK D SLSH DUUDQJHPHQW DV VKRZQ LQ WKH LOOXVWUDWLRQ


XVH WKH YDFXXP SXPS WHVWHU WR FRQGXFW WKH
PHDVXUHPHQW

'WLI
&+$5*,1* 6<67(0 ' ¤ 

‡ 3RXU DERXW  OLWHU RI HQJLQH RLO LQWR WKH YDFXXP SXPS


WHVWHU

‡ ,QFUHDVH WKH JHQHUDWRU URWDWLRQV JUDGXDOO\ DQG FKHFN


WR VHH LI WKH HQJLQH RLO LV IXOO\ FLUFXODWHG E\ GLVFKDUJLQJ
RLO IURP WKH H[KDXVW VLGH RI WKH YDFXXP SXPS

‡ &ORVH WKH UHOHDVH YDOYH DQG PHDVXUH WKH ¦YDFXXP


FKDUDFWHULVWLF§ DQG WKH ¦YDFXXP GURS FKDUDFWHULVWLF DLU
WLJKW FKDUDFWHULVWLF § 7KHQ FKHFN WKH REWDLQHG YDOXHV
EDVHG RQ WKH WDEOH OHIW

'WLI

/:WLI

'WLI

'WLI
' ¤  &+$5*,1* 6<67(0

 2QYHKLFOH WHVW RI WKH YDFXXP SXPS

‡ ,QVWDOO WKH JHQHUDWRU WR WKH HQJLQH

‡ :LWK WKH HQJLQH LGOLQJ FKHFN WR VHH LI RLO LV EHLQJ

GLVFKDUJHG VXIILFLHQWO\ IURP WKH H[KDXVW VLGH RI WKH

YDFXXP SXPS

‡ ,GOH WKH HQJLQH XQWLO WKH HQJLQH RLO WHPSHUDWXUH JHWV WR

WKH UDQJH RI  WR ƒ&

‡ &RQQHFW WKH SLSH RQO\ WR WKH VXFWLRQ VLGH RI WKH YDFXXP

SXPS WHVWHU DQG FRQGXFW WKH WHVW LQ WKH VDPH PDQQHU

DV LQ WKH XQLW WHVW :KHQ WKH UHVXOWLQJ YDOXH LV RXWVLGH


'WLI
WKH VSHFLILHG UDQJH UHFKHFN WKH YDFXXP SXPS
426 ,, 35(+($7,1* 6<67(0 ' ¤ 

6(&7,21'
426,,35(+($7,1*6<67(0

&217(176
3$*(
*HQHUDO'HVFULSWLRQ ' 
6WDUWLQJ&LUFXLW'LDJUDP 5HIHUHQFH  ' 
,QVSHFWLRQDQG5HSDLU  ' 
7URXEOHVKRRWLQJ ' 

*(1(5$/'(6&5,37,21
426 ,, SUHKHDWLQJ V\VWHP IHDWXUHV D TXLFNRQ JORZ :LWK WKH HPSOR\PHQW RI WKH WKHUPRVHQVRU WKH JORZ
SOXJ ZLWK WKHUPRPHWHU FRQWURO RI WKH JORZLQJ WLPH DQG WLPH FKDQJHV DFFRUGLQJ WR WKH HQJLQH FRRODQW
WKH DIWHUJORZ WLPH IXQFWLRQ WHPSHUDWXUH WKXV DOORZLQJ RSWLPXP VWDUWLQJ FRQGLWLRQV

7KH V\VWHP FRQVLVWV RI D WLPHU LQGLFDWRU ODPS WR EH REWDLQHG

WKHUPRVHQVRU UHOD\ DQG WHPSHUDWXUH VHOIFRQWURO W\SH 7KH DIWHUJORZ WLPH IXQFWLRQ LV FRQWUROOHG E\
JORZ SOXJ  SFV  WKHUPRVHQVRU
' ¤  426 ,, 35(+($7,1* 6<67(0

48,&.2167$57,, 426,,

'WLI
426 ,, 35(+($7,1* 6<67(0 ' ¤ 

67$57,1*&,5&8,7',$*5$0 5()(5(1&(

'WLI
' ¤  426 ,, 35(+($7,1* 6<67(0

,163(&7,21$1'5(3$,5
0DNH WKH QHFHVVDU\ DGMXVWPHQWV UHSDLUV DQG SDUW

UHSODFHPHQWV LI H[FHVVLYH ZHDU RU GDPDJH LV GLVFRYHUHG

GXULQJ LQVSHFWLRQ

48,&.2167$57,, 426,,
6\VWHP
 'LVFRQQHFW WKH FRQQHFWRU RI WKH WKHUPR VZLWFK

'WLI

 6HW WKH YROWDJH PHWHU LQ FRQQHFWLRQ DV VKRZQ LQ WKH

LOOXVWUDWLRQ

 7XUQ WKH NH\ VZLWFK WR ¦21§ SRVLWLRQ ZLWKRXW HQJLQH

WXUQHG DQG FKHFN WKH IROORZLQJ LWHPV

*ORZ ,QGLFDWRU /LJKWLQJ 7LPH 6HFRQGV

6WDQGDUG 

3RZHU 6RXUFH 9ROWDJH ,QGLFDWLQJ 7LPH 6HFRQGV

6WDQGDUG 

'WLI

:KHQ DEQRUPDO FKHFN WKH 426 WLPHU WKH JORZ UHOD\

DQG WKH WKHUPR VZLWFK

:KHQ QRUPDO FKHFN WKH JORZ SOXJ

7LPHU
 'LVFRQQHFW WKH FRQQHFWRU RI WKH WKHUPR VZLWFK

 6HW WKH YROWDJH PHWHU LQ FRQQHFWLRQ DV VKRZQ WKH

LOOXVWUDWLRQ ZLWK FRQQHFWRU FRQQHFWHG

 7XUQ WKH NH\ VZLWFK WR ¦21§ SRVLWLRQ ZLWKRXW HQJLQH

WXUQHG DQG FKHFN WKH IROORZLQJ

 9ROWV ,QGLFDWLQJ 7LPH 6HFRQGV

6WDQGDUG 

'WLI
426 ,, 35(+($7,1* 6<67(0 ' ¤ 

*/2:3/8*5(/$<
/RFDWLRQ

'WLI

6SHFLILFDWLRQ
0HDVXUH WKH JORZ UHOD\ UHVLVWDQFH EHWZHHQ WKH WHUPLQDO f
DQG WKH g ZLWK D FLUFXLW WHVWHU
,I WKH PHDVXUHG UHVLVWDQFH LV RXWVLGH WKH VSHFLILHG UDQJH
WKH JORZ UHOD\ PXVW EH UHSODFHG

*ORZ 5HOD\ 5HVLVWDQFH 5HIHUHQFH RKPV

6WDQGDUG 

'WLI

7+(5026:,7&+
6SHFLILFDWLRQ
2SHUDWLQJ 7HPSHUDWXUH ƒ& ƒ)

2)) o 21      

21 o 2)) 2YHU  

'WLI

‡ %HIRUH LQVWDOOLQJ WKH WKHUPRVZLWFK DSSO\ /2&7,7(


 RU LWV HTXLYDOHQW WR WKH SRUWLRQ VKRZQ LQ WKH
LOOXVWUDWLRQ

'WLI
' ¤  426 ,, 35(+($7,1* 6<67(0

*ORZ SOXJ FKHFN

‡ 8VH WKH FLUFXLW WHVWHU WR PHDVXUH WKH FRQWLQXLW\ RI WKH


JORZ SOXJ

‡ :KHQ WKH REWDLQHG YDOXH LV RXWVLGH WKH VSHFLILHG


UDQJH UHSODFH WKH JORZ SOXJ ZLWK D QHZ RQH

*ORZ SOXJ UHVLVWDQFH $ERXW  : DW URRP WHPSHUDWXUH


127(

:KHQ FKDQJLQJ JORZ SOXJV XVH D VHW RI  JORZ SOXJV

RI WKH VDPH PDQXIDFWXUH

'WLI

‡ 1RWH WKDW DQ LGHQWLILFDWLRQ PDUN LV SURYLGHG WR SUHYHQW


DQ\ SRVVLEOH IDXOW\ DVVHPEO\

7\SH 5DWHG 9ROWDJH 9 7RWDO OHQJWK PP LQ

6WDQGDUG   

'WLI

4267,0(5
7LPHU 6SHFLILFDWLRQ

1R &RQQHFWLRQ WR

 6WDUWHU 6:§21§

 

 7KHUPR 6:

 6WDUWHU 6: ¦67§
'WLI

 *ORZ UHOD\

 (DUWK JURXQG

 ,QGLFDWRU ODPS
426 ,, 35(+($7,1* 6<67(0 ' ¤ 

7528%/(6+227,1*
&LUFXLWGLDJUDP

'WLI

1RWH

{
$ ILJXUH LQ D FLUFOH ¦ § VKRZV D WHUPLQDO 1R

$ ILJXUH LQ D VTXDUH ¦† § VKRZV D FLUFXLW 1R


' ¤  426 ,, 35(+($7,1* 6<67(0

:KHQWKHFRROLQJZDWHUWHPSHUDWXUHLVEHORZƒ&
&RQGLWLRQ 3RVVLEOH FDXVH &LUFXLW
7KH JORZ UHOD\ GRHV QRW WXUQ c 'HIHFWLYH FRQQHFWLRQ LQ IXVLEOH OLQN EHWZHHQ EDWWHU\ DQG 
RQ VWDUWHU VZLWFK

d 'HIHFWLYH FRQQHFWLRQ RU EURNHQ ZLUH LQ VWDUWHU VZLWFK FLUFXLW

e
<
'HIHFWLYH FRQQHFWLRQ RU EURNHQ ,WHPV  DQG  DERYH 
ZLUH LQ IXVH 1R FRLQFLGH ZLWK WURXEOHV

f 'HIHFWLYH VWDUWHU VZLWFK LQ RWKHU FLUFXLWV

g 'HIHFWLYH FRQQHFWLRQ RI JORZ UHOD\ WHUPLQDO 

h %URNHQ ZLUH LQ JORZ UHOD\ H[FLWDWLRQ FRLO

i %URNHQ ZLUH LQ WKH FLUFXLW EHWZHHQ JORZ UHOD\ DQG WLPHU 

j 'HIHFWLYH JORZ UHOD\ 7KHUH LV QR FRQWLQXLW\ LQ PDLQ


FRQQHFWLRQ

k 'HIHFWLYH FRQQHFWLRQ LQ 426 WLPHU

'HIHFWLYH 426 WLPHU

l 'HIHFWLYH JURXQG FLUFXLW LQ 426 WLPHU 

 'HIHFWLYH WKHUPRVZLWFK 7KH WKHUPRVZLWFK GRHV QRW WXUQ


RII HYHQ ZKHQ ZDWHU WHPSHUDWXUH LV EHORZ ]HUR

 'HIHFWLYH JURXQG FLUFXLW LQ WKHUPRVZLWFK 

*ORZ UHOD\ WXUQV RQ EXW GRHV c 'HIHFWLYH FRQQHFWLRQ RI IXVLEOH OLQN EHWZHHQ EDWWHU\ DQG 
QRW JHW SUHKHDWHG VWDUW VZLWFK

d 'HIHFWLYH FRQQHFWLRQ RI JORZ UHOD\ PDLQ OLQN WHUPLQDO


FRQQHFWRU RU EURNHQ ZLUH LQ SUHKHDWLQJ FLUFXLW

e 'HIHFWLYH FRQQHFWLRQ RI SOXJ FRQQHFWRU ZLWK SUHKHDWLQJ 


FLUFXLW

*ORZ UHOD\ UHPDLQV RQ DQG c 'HIHFWLYH 426 WLPHU


GRHV QRW WXUQ RII

d &LUFXLW LV VKRUWHG WR JURXQG EHWZHHQ 426 WLPHU WHUPLQDO g 


DQG JORZ UHOD\

e 'HIHFWLYH JORZ UHOD\

,QGLFDWRU ODPS GRHV QRW OLJKW c 'HIHFWLYH 426 WLPHU


RQ

d %URNHQ ZLUH LQ EXOE 

e %URNHQ ZLUH LQ LQGLFDWRU ODPS KDUQHVV

:KHQWKHFRROLQJZDWHUWHPSHUDWXUHLVRYHUƒ&
&RQGLWLRQ 3RVVLEOH FDXVH &LUFXLW
,QGLFDWRU ODPS GRHV QRW OLJKW c 'HIHFWLYH 426 WLPHU
RQ

d %URNHQ ZLUH LQ EXOE 

,QGLFDWRU ODPS OLJKWV RQ IRU D c 'HIHFWLYH WKHUPRVZLWFK RU EURNHQ ZLUH LQ WKHUPRVZLWFK 


ORQJ WLPH FLUFXLW ,QGLFDWRU OLJKWV RQ IRU DERXW  VHF

d 'HIHFWLYH 426 WLPHU

*ORZ UHOD\ LV UHDG\ WR WXUQ RQ c &LUFXLW LV VKRUWHG WR JURXQG EHWZHHQ WHUPLQDO g DQG JORZ 
RU UHPDLQV RQ UHOD\
HOME
(0,66,21 $1' (/(&75,&$/ ',$*126,6 ( ¤ 

6(&7,21( +(77&+*72QO\
(0,66,21$1'(/(&75,&$/',$*126,6
&$87,21
:KHQ IDVWHQHUV DUH UHPRYHG DOZD\V UHLQVWDOO WKHP DW WKH VDPH ORFDWLRQ IURP ZKLFK WKH\ ZHUH UHPRYHG ,I D
IDVWHQHU QHHGV WR EH UHSODFHG XVH WKH FRUUHFW SDUW QXPEHU IDVWHQHU IRU WKDW DSSOLFDWLRQ ,I WKH FRUUHFW SDUW QXPEHU
IDVWHQHU LV QRW DYDLODEOH D IDVWHQHU RI HTXDO VL]H DQG VWUHQJWK IRU VWURQJHU PD\ EH XVHG )DVWHQHUV WKDW DUH QRW
UHXVHG DQG WKRVH UHTXLULQJ WKUHDG ORFNLQJ FRPSRXQG ZLOO EH FDOOHG RXW 7KH FRUUHFW WRUTXH YDOXHV PXVW EH XVHG
ZKHQ LQVWDOOLQJ IDVWHQHUV WKDW UHTXLUH LW ,I WKH DERYH FRQGLWLRQV DUH QRW IROORZHG SDUWV RU V\VWHP GDPDJH FRXOG
UHVXOW

&217(176
68%-(&7 3$*(
*(1(5$/'(6&5,37,21  ( 
127(6)25:25.,1*21(/(&75,&$/,7(0 ( 
6<0%2/6$1'$%%5(9,$7,216  ( 
&211(&725,163(&7,1*352&('85( ( 
3$576)25(/(&75,&$/&,5&8,7  ( 

',$*126,6 +(77&21/<  ( 


675$7(*<%$6('',$*1267,&6  ( 
*(1(5$/6(59,&(,1)250$7,21  ( 
21%2$5'',$*1267,& 2%'  ( 
5($',1*',$*1267,&7528%/(&2'(686,1*$7(&+2527+(5
6&$1722/ ( 
7<3,&$/6&$1'$7$9$/8(6  ( 
7528%/(6+227,1*  ( 
6(/)',$*126,6)81&7,216  ( 
',$*126,67528%/(&2'(/,67  ( 
/2&$7,212)6(1625$1'6:,7&+  ( 
3$576/2&$7,21  ( 
(1*,1(&21752/02'8/( (&0  ( 
&+$572)(&0,1387287387 ( 
/2&$7,212)7+((&0&211(&725  ( 
/2&$7,212)'/& ( 
%5,()(;3/$1$7,212)(0,66,21$1'(/(&75,&$/&21752/6<67(0 ( 
0,7,&6 0(&+$1,&$//<,17(*5$7('7,0,1*$1',1-(&7,21&21752/
6<67(0  ( 
*29(5125 02'(/5/'0  ( 
(*5 (;+$867*$65(&,5&8/$7,21 6<67(0 ( 
( ¤  (0,66,21 $1' (/(&75,&$/ ',$*126,6

966 9$5,$%/(6:,5/6<67(0  ( 


(&06<67(0:,5,1*',$*5$0 ( 
$8;,/,$5<(1*,1(&21752/6<67(0  ( 
969&,5&8,7 ( 
(;+$867%5$.($1':$5083&21752/  ( 
'7&3(&76(1625&,5&8,7+,*+92/7$*( ( 
'7&3(&76(1625&,5&8,7/2:92/7$*(  ( 
'7&35$&.6(1625&,5&8,7/2:92/7$*(  ( 
'7&35$&.6(1625&,5&8,7+,*+92/7$*( ( 
'7&362/(12,'6:,7&+&21752/&,5&8,7/2:92/7$*(  ( 
'7&362/(12,'6:,7&+&21752/&,5&8,7+,*+92/7$*(  ( 
'7&34:65(/$<&21752/&,5&8,7+,*+92/7$*( ( 
'7&3(*5(95962/(12,'&,5&8,7/2:92/7$*(  ( 
'7&3(*5(95962/(12,'&,5&8,7+,*+92/7$*( ( 
'7&3966&21752/&,5&8,7/2:92/7$*( ( 
'7&3966&21752/&,5&8,7+,*+92/7$*(  ( 
'7&3(*548,&.&87969&21752/&,5&8,7/2:92/7$*(  ( 
'7&3(*548,&.&87969&21752/&,5&8,7+,*+92/7$*(  ( 
'7&34265(/$<&21752/&,5&8,7/2:92/7$*( ( 
'7&34265(/$<&21752/&,5&8,7+,*+92/7$*(  ( 
'7&3$1(52,'&203(16$725969&21752/&,5&8,7
/2:92/7$*( ( 
'7&3$1(52,'&203(16$725969&21752/&,5&8,7
+,*+92/7$*(  (
'7&3(1*,1(63(('6(1625&,5&8,7/2:92/7$*(  (
'7&3((3520(5525  (
'7&3%$520(75,&35(6685(6(1625&,5&8,7(5525  (
:,7+287',$*126,67528%/(&2'(  (
(1*,1(+817,1* (
67$5783)$,/85(  (
:+,7(602.( (;&(66,9(  (
%/$&.602.( (;&(66,9(  (
/$&.2)32:(5  (
+,*+,'/((1*,1(63((' (
62/(12,'6:,7&+0$/)81&7,21 (
(;+$867%5$.(0$/)81&7,21  (
(*56<67(00$/)81&7,21  (
9666<67(00$/)81&7,21 (
$1(52,'&203(16$7250$/)81&7,21  (
(0,66,21 $1' (/(&75,&$/ ',$*126,6 ( ¤ 

4:66<67(00$/)81&7,21  (


),&'6<67(00$/)81&7,21  (
63(&,$/722/6  (

',$*126,6 +*721/<  (


675$7(*<%$6('',$*1267,&6  (
*(1(5$/6(59,&(,1)250$7,21 (
7528%/(6+227,1*  (
6(/)',$*126,6)81&7,216  (
',$*126,67528%/(&2'( '7& /,67 (
/2&$7,212)6(1625$1'6:,7&+  (
3$576/2&$7,21  (
(1*,1(&21752/02'8/( (&0  (
&+$572)(&0,1387287387 (
/2&$7,212)7+((&0&211(&725  (
/2&$7,212)'/& (
(&06<67(0:,5,1*',$*5$0 (
$8;,/,$5<(1*,1(&21752/6<67(0  (
969&,5&8,7 (
(;+$867%5$.(&21752/  (
'7&(&76(1625&,5&8,7+,*+92/7$*(  (
'7&(&76(1625&,5&8,7/2:92/7$*( (
'7&5$&.6(1625&,5&8,7/2:92/7$*(  (
'7&5$&.6(1625&,5&8,7+,*+92/7$*(  (
'7&(*596962/(12,'&,5&8,7/2:92/7$*(  (
'7&(*596962/(12,'&,5&8,7+,*+92/7$*( (
'7&4265(/$<&21752/&,5&8,7/2:92/7$*(  (
'7&4265(/$<&21752/&,5&8,7+,*+92/7$*( (
'7&((3520(5525  (
:,7+287',$*126,67528%/(&2'(  (
67$5783)$,/85( 4262QO\  (
%/$&.602.( (;&(66,9(  (
/$&.2)32:(5  (
(;+$867%5$.(0$/)81&7,21 ([KDXVW%UDNH2QO\  (
(*56<67(00$/)81&7,21  (
63(&,$/722/6  (
( ¤  (0,66,21 $1' (/(&75,&$/ ',$*126,6

*(1(5$/'(6&5,37,21
7KH HPLVVLRQ DQG HOHFWULFDO FRQWURO V\VWHP RSHUDWHV RQ 7KH KDUQHVV XVH D VSOLW FRUUXJDWHG WXEH WR SURWHFW WKH
D WZHQW\ IRXU YROW SRZHU VXSSO\ ZLWK QHJDWLYH JURXQG ZLUHV IURP WKH HOHPHQWV (DFK FLUFXLW FRQVLVWV RI WKH
SRODULW\ (DFK ZLUH LQ WKH YHKLFOH LV RI D VSHFLILF VL]H IROORZLQJ
DQG KDV DQ LGHQWLI\LQJ FRORUHG LQVXODWLRQ ‡ 3RZHU VRXUFH  WKH EDWWHU\ DQG WKH DOWHUQDWRU
7KHVH FRORUV DUH LQGLFDWHG LQ ZLULQJ GLDJUDPV DQG ZLOO ‡ :LUHV  7R FDUU\ HOHFWULFDO FXUUHQW WKURXJK WKH FLUFXLW
KHOS LQ WUDFLQJ FLUFXLWV DQG PDNLQJ SURSHU FRQQHFWLRQV
‡ )XVHV  7R SURWHFW WKH FLUFXLW DJDLQVW FXUUHQW
:LUH VL]H LV GHWHUPLQHG E\ ORDG FDSDFLW\ DQG FLUFXLW
RYHUORDG
OHQJWK 6RPH ZLUHV DUH JURXSHG WRJHWKHU DQG WDSHG
‡ 5HOD\V  7R SURWHFW YROWDJH GURS EHWZHHQ WKH EDWWHU\
6XFK D JURXSLQJ RI ZLUHV LV FDOOHG D KDUQHVV
DQG WKH FLUFXLW SDUWV DQG WR SURWHFW WKH VZLWFK SRLQWV
DJDLQVW EXUQLQJ

‡ 6ZLWFKHV  7R RSHQ DQG FORVH WKH FLUFXLW

‡ /RDG  $Q\ GHYLFH VXFK DV D OLJKW RU D PRWRU ZKLFK


FRQYHUWV WKH HOHFWULFDO FXUUHQW LQWR XVHIXO ZRUN

‡ *URXQG  7R DOORZ WKH FXUUHQW WR IORZ EDFN WR WKH


SRZHU VRXUFH

,Q WKLV PDQXDO VXFK HOHFWULFDO GHYLFH LV FODVVLILHG E\ V\VWHP )RU PDMRU SDUWV VKRZQ RQ WKH FLUFXLW EDVHG RQ WKH
FLUFXLW GLDJUDP IRU HDFK V\VWHP LQVSHFWLRQ DQG UHPRYDO DQG LQVWDOODWLRQ SURFHGXUHV DUH GHWDLOHG

127(6)25:25.,1*21(/(&75,&$/,7(06
%$77(5<&$%/(
'LVFRQQHFWLQJ WKH %DWWHU\ &DEOH

 $OO VZLWFKHV VKRXOG EH LQ WKH 2)) SRVLWLRQ

 'LVFRQQHFW WKH EDWWHU\ JURXQG FDEOH

 'LVFRQQHFW WKH EDWWHU\ SRVLWLYH FDEOH

 'LVFRQQHFW WKH EDWWHU\ FDEOH c


&$87,21

,W LV LPSRUWDQW WKDW WKH EDWWHU\ JURXQG FDEOH EH

GLVFRQQHFWHG ILUVW

'LVFRQQHFWLQJ WKH EDWWHU\ SRVLWLYH FDEOH ILUVW


/:WLI

FDQ UHVXOW LQ D VKRUW FLUFXLW


&RQQHFWLQJ WKH %DWWHU\ &DEOH

)ROORZ WKH GLVFRQQHFWLQJ SURFHGXUH LQ WKH UHYHUVH


RUGHU

&$87,21

&OHDQ WKH EDWWHU\ WHUPLQDO DQG DSSO\ D OLJKW

FRDW RI JUHDVH WR SUHYHQW WHUPLQDO FRUURVLRQ

&RQQHFWLQJ+DQGOLQJ
'LVFRQQHFWLQJ 7KH &RQQHFWRUV

6RPH FRQQHFWRUV KDYH D WDQJ ORFN WR KROG WKH


FRQQHFWRUV WRJHWKHU GXULQJ YHKLFOH RSHUDWLRQ
6RPH WDQJ ORFNV DUH UHOHDVHG E\ SXOOLQJ WKHP

/:WLI
WRZDUGV \RX c
2WKHU WDQJ ORFNV DUH UHOHDVHG E\ SUHVVLQJ WKHP
IRUZDUG d
'HWHUPLQH ZKLFK W\SH RI WDQJ ORFN LV RQ WKH
FRQQHFWRU EHLQJ KDQGOHG
)LUPO\ JUDVS ERWK VLGHV PDOH DQG IHPDOH RI WKH
FRQQHFWRU
(0,66,21 $1' (/(&75,&$/ ',$*126,6 ( ¤ 

5HOHDVH WKH WDQJ ORFN DQG FDUHIXOO\ SXOO WKH WZR &RQQHFWRU ,QVSHFWLRQ
KDOYHV RI WKH FRQQHFWRU DSDUW 8VH D FLUFXLW WHVWHU WR FKHFN WKH FRQQHFWRU IRU
FRQWLQXLW\ ,QVHUW WKH WHVW SUREHV IURP WKH
FRQQHFWRU ZLUH VLGH

2.
c
d

(WLI
7HVW SUREH

1HYHU SXOO RQ WKH ZLUHV WR VHSDUDWH WKH FRQQHFWRUV


(WLI
7KLV ZLOO UHVXOW LQ ZLUH EUHDNDJH

1HYHU LQVHUW WKH FLUFXLW WHVWHU WHVW SUREHV LQWR WKH


FRQQHFWRU RSHQ HQG WR WHVW WKH FRQWLQXLW\ %URNHQ
RU RSHQ FRQQHFWRU WHUPLQDOV ZLOO UHVXOW

12

7HVW SUREH

WLI

&RQQHFWLQJ WKH &RQQHFWRU


)LUPO\ JUDVS ERWK VLGHV PDOH DQG IHPDOH RI WKH
(WLI

FRQQHFWRU %H VXUH WKDW WKH FRQQHFWRU SLQV DQG SLQ


KROHV PDWFK %H VXUH WKDW ERWK VLGHV RI WKH :DWHUSURRI &RQQHFWRU ,QVSHFWLRQ
FRQQHFWRU DUH DOLJQHG ZLWK HDFK RWKHU )LUPO\ EXW ,W LV QRW SRVVLEOH WR LQVHUW WKH WHVW SUREHV LQWR WKH
FDUHIXOO\ SXVK WKH WZR VLGHV RI WKH FRQQHFWRU FRQQHFWRU ZLUH VLGH RI D ZDWHUSURRI FRQQHFWRU
WRJHWKHU XQWLO D GLVWLQFW FOLFN LV KHDUG 8VH RQH VLGH RI D FRQQHFWRU  ZLWK LWV ZLUHV FXW WR
PDNH WKH WHVW &RQQHFW WKH WHVW FRQQHFWRU  WR
WKH FRQQHFWRU WR EH WHVWHG &RQQHFW WKH WHVW
SUREHV WR WKH FXW ZLUHV WR FKHFN WKH FRQQHFWRU
12 FRQWLQXLW\

d
2.

(WLI

7HVW SUREH

(WLI
( ¤  (0,66,21 $1' (/(&75,&$/ ',$*126,6

&RQQHFWRU3LQ5HPRYDO 7DQJ ORFN :LUH

&RQQHFWRU +RXVLQJ 7DQJ /RFN 7\SH


 ,QVHUW D VOHQGHU VKDIW LQWR WKH FRQQHFWRU
KRXVLQJ RSHQ HQG

 3XVK WKH WDQJ ORFN XS LQ WKH GLUHFWLRQ RI WKH


DUURZ LQ WKH LOOXVWUDWLRQ  3XOO WKH ZLUH ZLWK SLQ
IUHH IURP WKH ZLUH VLGH RI WKH FRQQHFWRU

6OHQGHU VKDIW
7DQJ ORFN
3LQ

(WLI

3DUWV +DQGOLQJ
%H FDUHIXO ZKHQ KDQGOLQJ HOHFWULFDO SDUWV 7KH\
VKRXOG QRW EH GURSSHG RU WKURZQ EHFDXVH VKRUW
FLUFXLW RU RWKHU GDPDJH PD\ UHVXOW

+RXVLQJ RSHQ SDG 3LQ :LUH

(WLI

3LQ 7DQJ /RFN 7\SH


 ,QVHUW D VOHQGHU VKDIW LQWR WKH &RQQHFWRU
KRXVLQJ RSHQ HQG

 3XVK WKH WDQJ ORFN IODW WRZDUG WKH ZLUH VLGH RI


WKH FRQQHFWRU  3XOO WKH ZLUH ZLWK SLQ IUHH IURP
WKH ZLUH VLGH RI WKH FRQQHFWRU

6OHQGHU VKDIW WLI

7DQJ ORFN
:LUH
&DEOH +DUQHVV
:KHQ LQVWDOOLQJ WKH SDUWV EH FDUHIXO QRW WR SLQFK RU
ZHGJH WKH ZLULQJ KDUQHVV

$OO HOHFWULFDO FRQQHFWLRQV PXVW EH NHSW FOHDQ DQG


WLJKW

+RXVLQJ RSHQ SDG 3LQ

(WLI

&RQQHFWRU 3LQ ,QVHUWLRQ


 &KHFN WKDW WKH WDQJ ORFN LV IXOO\ XS

 ,QVHUW WKH SLQ IURP WKH FRQQHFWRU ZLUH VLGH

3XVK WKH SLQ LQ XQWLO WKH WDQJ ORFN FORVHV ILUPO\

 *HQWO\ SXOO RQ WKH ZLUHV WR PDNH VXUH WKDW WKH


FRQQHFWRU SLQ LV ILUPO\ VHW LQ SODFH
(WLI
(0,66,21 $1' (/(&75,&$/ ',$*126,6 ( ¤ 

63/,&,1*:,5( ‡ 2SHQ WKH FULPSLQJ WRRO WR LWV IXOO ZLGWK DQG UHVW
RQH KDQGOH RQ D ILUP IODW VXUIDFH
 2SHQ WKH +DUQHVV ౠ&HQWHU WKH EDFN RI WKH VSOLFH FOLS RQ WKH SURSHU
,I WKH KDUQHVV LV WDSHG UHPRYH WKH WDSH 7R DYRLG DQYLO DQG FORVH WKH FULPSLQJ WRRO WR WKH SRLQW
ZLUH LQVXODWLRQ GDPDJH XVH D VHZLQJ VHDP ZKHUH WKH EDFN RI WKH VSOLFH FOLS WRXFKHV WKH
ULSSHU DYDLODEOH IURP VHZLQJ VXSSO\ VWRUHV WR FXW ZLQJV RI WKH FOLS
RSHQ WKH KDUQHVV ‡ 0DNH VXUH WKDW WKH FOLS DQG ZLUHV DUH VWLOO LQ WKH
,I WKH KDUQHVV KDV D EORFN SODVWLF FRQGXLW VLPSO\ FRUUHFW SRVLWLRQ WKHQ DSSO\ VWHDG\ SUHVVXUH
SXOO RXW WKH GHVLUHG ZLUH XQWLO WKH FULPSLQJ WRRO FORVHV

 &XW WKH ZLUH


:LQJV RI FOLS WRXFKLQJ
%HJLQ E\ FXWWLQJ DV OLWWOH ZLUH RII WKH KDUQHVV DV
IRUPHU
SRVVLEOH <RX PD\ QHHG WKH H[WUD OHQJWK RI ZLUH
ODWHU LI \RX GHFLGH WR FXW PRUH ZLUH RII WR FKDQJH
WKH ORFDWLRQ RI D VSOLFH <RX PD\ KDYH WR DGMXVW
VSOLFH ORFDWLRQV WR PDNH FHUWDLQ WKDW HDFK VSOLFH LV
DW OHDVW LQ  PP DZD\ IURP RWKHU VSOLFHV
KDUQHVV EUDQFKHV RU FRQQHFWRUV

 6WULS WKH LQVXODWLRQ


%DFN RI FOLS FHQWHUHG
:KHQ UHSODFLQJ D ZLUH XVH D ZLUH RI WKH VDPH VL]H RQ DQYLO
DV WKH RULJLQDO ZLUH &KHFN WKH VWULSSHG ZLUH IRU
(WLI

QLFNV RU FXW VWDQGV ,I WKH ZLUH LV GDPDJHG UHSHDW


WKH SURFHGXUH RQ D QHZ VHFWLRQ RI ZLUH 7KH WZR %HIRUH FULPSLQJ WKH HQGV RI WKH FOLS EH VXUH WKDW
VWULSSHG ZLUH HQGV VKRXOG EH HTXDO LQ OHQJWK ‡ 7KH ZLUHV H[WHQG EH\RQG WKH FOLS LQ HDFK
GLUHFWLRQ
 &ULPS WKH :LUHV
‡ 1R VWDQGV RI ZLUH DUH FXW ORRVH DQG
6HOHFW WKH SURSHU FOLS WR VHFXUH WKH VSOLFH 7R
‡ 1R LQVXODWLRQ LV FDXJKW XQGHU WKH FOLS
GHWHUPLQH WKH SURSHU FOLS VL]H IRU WKH ZLUH EHLQJ
VSOLFHG IROORZ WKH GLUHFWLRQV LQFOXGHG ZLWK \RXU &ULPS WKH VSOLFH DJDLQ RQFH RQ HDFK HQG 'R QRW

FOLSV 6HOHFW WKH FRUUHFW DQYLO RQ WKH FULPSHU 2Q OHW WKH FULPSLQJ WRRO H[WHQG EH\RQG WKH HGJH RI WKH

PRVW FULPSHUV \RXU FKRLFH LV OLPLWHG WR HLWKHU D FOLS RU \RX PD\ GDPDJH RU QLFN WKH ZLUHV

VPDOO RU ODUJH DQYLO 2YHUODS WKH WZR VWULSSHG ZLUH 6SOLFH FOLS
HQGV DQG KROG WKHP EHWZHHQ \RXU WKXPE DQG
IRUHILQJHU 7KHQ FHQWHU WKH VSOLFH FOLS XQGHU WKH
VWULSSHG ZLUHV DQG KROG LW LQ SODFH
$OLJQ WRRO ZLWK HGJH
RI FOLS WR FULPS HQGV
2YHU ODS EDUH ZLUHV RI VSOLFH

(WLI

6SOLFH FOLS

(WLI
( ¤  (0,66,21 $1' (/(&75,&$/ ',$*126,6

 6ROGHU
*RRG 5ROOHG %DG )ODJHG
$SSO\  URVLQ FRUH FROGHU WR WKH RSHQLQJ LQ WKH

EDFN RI WKH FOLS )ROORZ WKH PDQXIDFWXUHU


V

LQVWUXFWLRQV IRU WKH VROGHU HTXLSPHQW \RX DUH XVLQJ

WLI 

,I WKH ZLUH GRHV QRW EHORQJ LQ D FRQGXLW RU RWKHU

KDUQHVV FRYHULQJ WDSH WKH ZLUH DJDLQ 8VH D

ZLQGLQJ PRWLRQ WR FRYHU WKH ILUVW SLHFH RI WDSH

WLI
 7DSH WKH 6SOLFH

&HQWHU DQG UROO WKH VSOLFLQJ WDSH 7KH WDSH VKRXOG

FRYHU WKH HQWLUH VSOLFH 5ROO RQ HQRXJK WDSH WR

GXSOLFDWH WKH WKLFNQHVV RI WKH LQVXODWLRQ RQ WKH

H[LVWLQJ ZLUHV 'R QRW IODJ WKH WDSH )ODJJHG WDSH

PD\ QRW SURYLGH HQRXJK LQVXODWLRQ DQG WKH IODJJHG

HQGV ZLOO WDQJOH ZLWK WKH RWKHU ZLUHV LQ WKH KDUQHVV

WLI
(0,66,21 $1' (/(&75,&$/ ',$*126,6 ( ¤ 

6<0%2/6$1'$%%5(9,$7,216
6\PEROV

)07WLI
( ¤  (0,66,21 $1' (/(&75,&$/ ',$*126,6

$EEUHYLDWLRQV
$EEUHYLDWLRQ 0HDQLQJ $EEUHYLDWLRQ 0HDQLQJ

$& $LU &RQGLWLRQHU 2%' %2$5' 'LDJQRVWLF

$&& $FFHVVRU\ 2)) 7XUQ 2II 6ZLWFK/DPS

$&7 $FWXDWRU 21 7XUQ 2Q 6ZLWFK/DPS

$66,7 $VVLVWDQW 237 2SWLRQ

%$77 %DWWHU\ 3%5$.( 3DUNLQJ %UDNH


3*1' 3RZHU *URXQG 7R %RG\ (DUWK

&$6 &DE $LU 6XVSHQVLRQ 3,1 3LQ RU 7HUPLQDO

&$6 &8 &DE $LU 6XVSHQVLRQ &RQWURO 8QLW 3/ 3LORW :DUQLQJ /DPS

&&6 &RPELQHG &KDUJLQJ 6\VWHP 35(66 3UHVVXUH

&211 &RQQHFWRU 37 3RZHU 7UDLQ

&8 &RQWURO 8QLW 372 3RZHU 7DNH 2II

'& 'LUHFW &XUUHQW 4 $'-8670(17 ,QMHFWLRQ 4XDQWLW\ $GMXVWPHQW

'&211 'LDJQRVLV &RQQHFWRU 426 4XLFN 2Q 6WDUW

'7& 'LDJQRVWLF 7URXEOH &RGH 4:6 4XLFN :DUP 6\VWHP

(& (OHFWULFDO &RQWURO *RYHUQRU 5+ 5LJKW +DQG 6LGH

(&0 (QJLQH &RQWURO 0RGXOH 5+' 5LJKW +DQG 'ULYH

(&7 (QJLQH &RRODQW 7HPSHUDWXUH 5/ 5HOD\

(*5 ([KDXVW *DV 5HFLUFXODWLRQ 55 5HDU

(+ (OHFWULFDO $QG +\GUDXOLF 7LPHU


(;+ ([KDXVW 6$6% 6KRFN $EVRUEHU

(959 (OHFWURQLF 9DFXXP 5HJXODWLQJ 9DOYH 6,* 6LJQDO


66 6SHHG 6HQVRU

),&' )DVW ,GOH &RQWURO 'HYLFH 66 &8 6SHHG 6HQVRU &RQWURO 8QLW

)57 )URQW 67' 6WDQGDUG


6863 6XVSHQVLRQ

*1' *URXQG %RG\ (DUWK 6: 6ZLWFK

,( ,68=8 (FRQRP\ 6\VWHP 7&9 7UDLOHU &RFN 9DOYH

,1 ,QOHW ,QWDNH 7,&6 7LPLQJ $QG ,QMHFWLRQ 5DWH &RQWURO

,9(6 ,68=8 9DULDEOH (OHFWULF $QG 6\VWHP

(FRQRP\ 6ZLUO
9*6 9DULDEOH *HRPHWU\ 7XUERFKDUJLQJ

/+ /HIW +DQG 6LGH 6\VWHP

/+' /HIW +DQG 'ULYH 966 9DULDEOH 6ZLUO 6\VWHP


969 9DFXXP 6ZLWFKLQJ 9DOYH

0$* 0DJQHWLF
0(&211 0HPRU\ (UDVHU &RQQHFWRU :/ :DUQLQJ /DPS

0,/ 0DOIXQFWLRQ ,QGLFDWRU /DPS : :LWK

09 0DJQHWLF 9DOYH :2 :LWKRXW

1 1HXWUDO 7UDQVPLVVLRQ *HDU


17'& 1XPEHUV 7RS 'HDG &HQWHU
15 1RLVH 5HGXFHU
(0,66,21 $1' (/(&75,&$/ ',$*126,6 ( ¤ 

&211(&725,163(&7,1*352&('85(
&RQQHFWRULQVSHFWLQJSURFHGXUH

)ORZ&QWUWLI
( ¤  (0,66,21 $1' (/(&75,&$/ ',$*126,6

3$576)25(/(&75,&$/&,5&8,7
:LULQJ
:LUH &RORU

$OO ZLUHV KDYH FRORUFRGHG LQVXODWLRQ

6LQJOH &RORU
:LUHV EHORQJLQJ WR D V\VWHP
V PDLQ KDUQHVV ZLOO

KDYH D VLQJOH FRORU :LUHV EHORQJLQJ WR D V\VWHP


V

VXE FLUFXLWV ZLOO KDYH D FRORUHG VWULSH 6WULSHG ZLUHV

XVH WKH IROORZLQJ FRGH WR VKRZ ZLUH VL]H DQG

FRORUV

([DPSOH  * 5 &RORUHG 6WULSH

(WLI

5HG 6WULSH FRORU

*UHHQ %DVH FRORU

:LUH VL]H  PP

$EEUHYLDWLRQV DUH XVHG WR LQGLFDWH ZLUH FRORU ZLWKLQ

D FLUFXLW GLDJUDP

5HIHU WR WKH IROORZLQJ WDEOH

)+9WLI

:LUH &RORU &RGLQJ

&RORUFRGLQJ 0HDQLQJ &RORUFRGLQJ 0HDQLQJ

% %ODFN %U %URZQ

: :KLWH /J /LJKW JUHHQ

5 5HG *U *UD\

* *UHHQ 3 3LQN

< <HOORZ 6E 6N\ EOXH

/ %OXH 9 9LROHW

2 2UDQJH
(0,66,21 $1' (/(&75,&$/ ',$*126,6 ( ¤ 

6WULSH &RORU &RGLQJ

&RORUFRGH %DVH &RORU 6WULSH &RORU

/% %OXH %ODFN

2% 2UDQJH %ODFN

3% 3LQN %ODFN

3* 3LQN *UHHQ

3/ 3LQN %OXH

5< 5HG <HOORZ

95 9LROHW 5HG

9: 9LROHW :KLWH

<% <HOORZ %ODFN

<% <HOORZ *UHHQ

<9 <HOORZ 9LROHW

:LUH 6L]H

7KH VL]H RI ZLUH XVHG LQ D FLUFXLW LV GHWHUPLQHG E\ 2XWVLGH GLDPHWHU

WKH DPRXQW RI FXUUHQW DPSHUDJH  WKH OHQJWK RI WKH


FLUFXLW DQG WKH YROWDJH GURS DOORZHG 7KH IROORZLQJ
ZLUH VL]H DQG ORDG FDSDFLW\ VKRZQ EHORZ DUH
VSHFLILHG E\ -,6 -DSDQHVH ,QGXVWULDO 6WDQGDUG
1RPLQDO VL]H PHDQV DSSUR[LPDWH FURVV VHFWLRQDO
DUHD

&URVV VHFWLRQDO DUHD

(WLI

&URVV VHFWLRQDO DUHD 2XWVLGH GLDPHWHU


1RPLQDO VL]H  $OORZDEOH FXUUHQW $
PP PP

   

   

   

   

   

   

   

   

   

   
( ¤  (0,66,21 $1' (/(&75,&$/ ',$*126,6

',$*126,6 +(77&2QO\
675$7(*<%$6('',$*1267,&6
6WUDWHJ\%DVHG 'LDJQRVWLFV ,QWHUPLWWHQWV

7KH VWUDWHJ\EDVHG GLDJQRVWLF LV D XQLIRUP &RQGLWLRQV WKDW DUH QRW DOZD\V SUHVHQW DUH FDOOHG
DSSURDFK WR UHSDLU DOO (OHFWULFDO(OHFWURQLF (( LQWHUPLWWHQWV 7R UHVROYH LQWHUPLWWHQWV SHUIRUP WKH
V\VWHPV 7KH GLDJQRVWLF IORZ FDQ DOZD\V EH XVHG IROORZLQJ VWHSV
WR UHVROYH DQ (( V\VWHP SUREOHP DQG LV D VWDUWLQJ  2EVHUYH KLVWRU\ '7&V '7& PRGHV
SRLQW ZKHQ UHSDLUV DUH QHFHVVDU\ 7KH IROORZLQJ
 (YDOXDWH WKH V\PSWRPV DQG WKH FRQGLWLRQV
VWHSV ZLOO LQVWUXFW WKH WHFKQLFLDQ KRZ WR SURFHHG
GHVFULEHG E\ WKH FXVWRPHU
ZLWK D GLDJQRVLV
 8VH D FKHFN VKHHW RU RWKHU PHWKRG WR LGHQWLI\
 9HULI\ WKH FXVWRPHU FRPSODLQW
WKH FLUFXLW RU HOHFWULFDO V\VWHP FRPSRQHQW
‡ 7R YHULI\ WKH FXVWRPHU FRPSODLQW WKH
 )ROORZ WKH VXJJHVWLRQV IRU LQWHUPLWWHQW
WHFKQLFLDQ VKRXOG NQRZ WKH QRUPDO
GLDJQRVLV IRXQG LQ WKH VHUYLFH GRFXPHQWDWLRQ
RSHUDWLRQ RI WKH V\VWHP
0RVW VFDQ WRRO VXFK DV WKH 7HFK ,, KDYH GDWD
 3HUIRUP SUHOLPLQDU\ FKHFNV
FDSWXULQJ FDSDELOLWLHV WKDW FDQ DVVLVW LQ GHWHFWLQJ
‡ &RQGXFW D WKRURXJK YLVXDO LQVSHFWLRQ LQWHUPLWWHQWV
‡ 5HYLHZ WKH VHUYLFH KLVWRU\ 1R 7URXEOH )RXQG
‡ 'HWHFW XQXVXDO VRXQGV RU RGRUV 7KLV FRQGLWLRQ H[LVWV ZKHQ WKH YHKLFOH LV IRXQG WR
‡ *DWKHU GLDJQRVWLF WURXEOH FRGH LQIRUPDWLRQ RSHUDWH QRUPDOO\ 7KH FRQGLWLRQ GHVFULEHG E\ WKH
WR DFKLHYH DQ HIIHFWLYH UHSDLU FXVWRPHU PD\ EH QRUPDO 9HULI\ WKH FXVWRPHU

 &KHFN EXOOHWLQV DQG RWKHU VHUYLFH LQIRUPDWLRQ FRPSODLQW DJDLQVW DQRWKHU YHKLFOH WKDW LV RSHUDWLQJ
QRUPDOO\ 7KH FRQGLWLRQ PD\ EH LQWHUPLWWHQW 9HULI\
‡ 7KLV LQFOXGHV YLGHRV QHZVOHWWHUV HWF
WKH FRPSODLQW XQGHU WKH FRQGLWLRQV GHVFULEHG E\
 5HIHU WR VHUYLFH LQIRUPDWLRQ PDQXDO V\VWHP
WKH FXVWRPHU EHIRUH UHOHDVLQJ WKH YHKLFOH
FKHFN V 
 5HH[DPLQH WKH FRPSODLQW
‡ ¦6\VWHP FKHFNV§ FRQWDLQ LQIRUPDWLRQ RQ D
:KHQ WKH &RPSODLQW FDQQRW EH VXFFHVVIXOO\
V\VWHP WKDW PD\ QRW EH VXSSRUWHG E\ RQH
IRXQG RU LVRODWHG D UHHYDOXDWLRQ LV QHFHVVDU\
RU PRUH '7&V
7KH FRPSODLQW VKRXOG EH UHYHULILHG DQG FRXOG
6\VWHP FKHFNV YHULI\ SURSHU RSHUDWLRQ RI
EH LQWHUPLWWHQW DV GHILQHG LQ ,QWHUPLWWHQWV RU
WKH V\VWHP 7KLV ZLOO OHDG WKH WHFKQLFLDQ LQ
FRXOG EH QRUPDO
DQ RUJDQL]HG DSSURDFK WR GLDJQRVWLFV
 5HSDLU DQG YHULI\
 5HIHU WR VHUYLFH GLDJQRVWLFV
$IWHU LVRODWLQJ WKH FDXVH WKH UHSDLUV VKRXOG EH
'LDJQRVWLF 7URXEOH &RGH '7& 6WRUHG
PDGH
)ROORZ WKH GHVLJQDWHG '7& FKDUW H[DFWO\ WR PDNH
9DOLGDWH IRU SURSHU RSHUDWLRQ DQG YHULI\ WKDW WKH
DQ HIIHFWLYH UHSDLU
V\PSWRP KDV EHHQ FRUUHFWHG 7KLV PD\ LQYROYH
1R '7&
URDG WHVWLQJ RU RWKHU PHWKRGV WR YHULI\ WKDW WKH
6HOHFW WKH V\PSWRP IURP WKH V\PSWRP WDEOHV FRPSODLQW KDV EHHQ UHVROYHG XQGHU WKH
)ROORZ WKH GLDJQRVWLF SDWKV RU VXJJHVWLRQV WR IROORZLQJ FRQGLWLRQV
FRPSOHWH WKH UHSDLU <RX PD\ UHIHU WR WKH
‡ &RQGLWLRQV QRWHG E\ WKH FXVWRPHU
DSSOLFDEOH FRPSRQHQWV\VWHP FKHFN LQ WKH V\VWHP
‡ ,I D '7& ZDV GLDJQRVHG YHULI\ D UHSDLU E\
FKHFNV
GXSOLFDWLQJ FRQGLWLRQV SUHVHQW DFFRUGLQJ WR
1R 0DWFKLJ 6\PSWRP
FXVWRPHU FRPSODLQW
 $QDO\]H WKH FRPSODLQW
9HULI\LQJ 9HKLFOH 5HSDLU
 'HYHORS D SODQ IRU GLDJQRVWLFV
9HULILFDWLRQ RI WKH YHKLFOH UHSDLU ZLOO EH PRUH
 8WLOL]H WKH ZLULQJ GLDJUDPV DQG WKH WKHRU\ RI FRPSUHKHQVLYH IRU YHKLFOHV ZLWK 2%' V\VWHP
RSHUDWLRQ GLDJQRVWLFV )ROORZLQJ D UHSDLU WKH WHFKQLFLDQ
&DOO WHFKQLFDO DVVLVWDQFH IRU VLPLODU FDVHV ZKHUH VKRXOG SHUIRUP WKH IROORZLQJ VWHSV
UHSDLU KLVWRU\ PD\ EH DYDLODEOH &RPELQH WHFKQLFLDQ ,03257$17
NQRZOHGJH ZLWK HIILFLHQW XVH RI WKH DYDLODEOH
)ROORZ WKH VWHSV EHORZ ZKHQ \RX YHULI\ UHSDLUV
VHUYLFH LQIRUPDWLRQ
RQ ERDUG GLDJQRVWLF V\VWHPV )DLOXUH WR IROORZ
WKHVH VWHSV FRXOG UHVXOW LQ XQQHFHVVDU\
UHSDLUV
(0,66,21 $1' (/(&75,&$/ ',$*126,6 ( ¤ 

 5HYLHZ DQG UHFRUG WKH )DLOXUH 5HFRUGV IRU WKH


'7& ZKLFK KDV EHHQ GLDJQRVHG

 &OHDU WKH '7& 6 

 2SHUDWH WKH YHKLFOH ZLWKLQ FRQGLWLRQV DFFRUGLQJ


WR FXVWRPHU FRPSODLQW

 0RQLWRU WKH 'LDJQRVWLF 7URXEOH &RGH '7&


VWDWXV LQIRUPDWLRQ IRU WKH VSHFLILF '7& ZKLFK
KDV EHHQ GLDJQRVHG XQWLO WKH GLDJQRVWLF WHVW
DVVRFLDWHG ZLWK WKDW '7& UXQV
( ¤  (0,66,21 $1' (/(&75,&$/ ',$*126,6

*(1(5$/6(59,&(,1)250$7,21
2Q %RDUG 'LDJQRVWLF 2%' 6HUYLFHDELOLW\ ,VVXHV 9LVXDO3K\VLFDO (QJLQH &RPSDUWPHQW ,QVSHFWLRQ

7KH OLVW RI QRQYHKLFOH IDXOWV WKDW FRXOG DIIHFW WKH 3HUIRUP D FDUHIXO YLVXDO DQG SK\VLFDO HQJLQH
SHUIRUPDQFH RI WKH 2%' V\VWHP KDV EHHQ FRPSDUWPHQW LQVSHFWLRQ ZKHQ SHUIRUPLQJ DQ\
FRPSOLHG 7KHVH QRQYHKLFOH IDXOWV YDU\ IURP GLDJQRVWLF SURFHGXUH RU GLDJQRVLQJ WKH FDXVH RI DQ
HQYLURQPHQWDO FRQGLWLRQV WR WKH TXDOLW\ RI IXHO XVHG HPLVVLRQ WHVW IDLOXUH 7KLV FDQ RIWHQ OHDG WR

7KH LOOXPLQDWLRQ RI WKH 0DOIXQFWLRQ ,QGLFDWRU /DPS UHSDLULQJ D SUREOHP ZLWKRXW IXUWKHU VWHSV 8VH WKH

0,/ ¦&KHFN (QJLQH§ ODPS GXH WR D QRQYHKLFOH IROORZLQJ JXLGHOLQHV ZKHQ SHUIRUPLQJ D

IDXOW FRXOG OHDG WR PLVGLDJQRVLV RI WKH YHKLFOH YLVXDOSK\VLFDO LQVSHFWLRQ

LQFUHDVHG ZDUUDQW\ H[SHQVH DQG FXFWRPHU ‡ ,QVSHFWLRQ DOO YDFXXP KRVHV IRU SXQFKHV FXWV
GLVVDWLVIDFWLRQ 7KH IROORZLQJ OLVW RI QRQYHKLFOH GLVFRQQHFWV DQG FRUUHFW URXULQJ
IDXOWV GRHV QRW LQFOXGH HYHU\ SRVVLEOH IDXOW DQG PD\ ‡ ,QVSHFW KRVHV WKDW DUH GLIILFXOW WR VHH EHKLQG
QRW DSSO\ HTXDOO\ WR DOO SURGXFW OLQHV RWKHU FRPSRQHQWV

‡ ,QVSHFW DOO ZLUHV LQ D HQJLQH FRPSDUWPHQW IRU


3RRU 9HKLFOH 0DLQWHQDQFH SURSHU FRQQHFWLRQV EXUQHG RU FKDIHG VSRWV

7KH VHQVLWLYLW\ RI 2%' GLDJQRVWLFV ZLOO FDXVH WKH SLQFKHG ZLUHV FRQWDFW ZLWK VKDUS HGJHV RU

0,/ WR WXUQ RQ LI WKH YHKLFOH LV QRW PDLQWDLQHG FRQWDFW ZLWK KRW H[KDXVW PDQLIROGV RU SLSHV

SURSHUO\ 5HVWULFWHG DLU ILOWHUV IXHO ILOWHUV DQG


FUDQNFDVH GHSRVLWV GXH WR ODFN RI RLO FKDQJHV RU %DVLF .QRZOHGJH RI 7RROV 5HTXLUHG
LPSURSHU RLO YLVFRVLW\ FDQ WULJJHU DFWXDO YHKLFOH
127(
IDXOWV WKDW ZHUH QRW SUHYLRXVO\ PRQLWRUHG SULRU WR
/DFN RI EDVLF NQRZOHGJH RI WKLV SRZHUWUDLQ
2%' 3RRU YHKLFOH PDLQWHQDQFH FDQ QRW EH
ZKHQ SHUIRUPLQJ GLDJQRVWLF SURFHGXUHV FRXOG
FODVVLILHG DV D ¦QRQYHKLFOH IDXOW§ EXW ZLWK WKH
UHVXOW LQ DQ LQFRUUHFW GLDJQRVLV RU GDPDJH WR
VHQVLWLYLW\ RI 2%' GLDJQRVWLFV YHKLFOH PDLQWHQDQFH
SRZHUWUDLQ FRPSRQHQWV 'R QRW DWWHPSW WR
VFKHGXOHV PXVW EH PRUH FORVHO\ IROORZHG
GLDJQRVH D SRZHUWUDLQ SUREOHP ZLWKRXW WKLV
EDVLF NQRZOHGJH
0DLQWHQDQFH 6FKHGXOH
$ EDVLF XQGHUVWDQGLQJ RI KDQG WRROV LV QHFHVVDU\
5HIHU WR WKH PDLQWHQDQFH 6FKHGXOH WR HIIHFWLYHO\ XVH WKLV VHFWLRQ RI WKH 6HUYLVH
0DQXDO
(0,66,21 $1' (/(&75,&$/ ',$*126,6 ( ¤ 

21%2$5'',$*1267,& 2%'
2Q%RDUG 'LDJQRVWLF 7HVWV IROORZLQJ D FROG HQJLQH VWDUWXS

$ GLDJQRVWLF WHVW LV D VHULHV RI VWHSV WKH UHVXOW RI $ WULS WKHQ LV GHILQHG DV D NH\ RQUXQNH\ RII F\FOH

ZKLFK LV D SDVV RU IDLO UHSRUWHG WR WKH GLDJQRVWLF LQ ZKLFK WKH YHKLFOH ZDV RSHUDWHG LQ VXFK D ZD\ DV

H[HFXWLYH :KHQ D GLDJQRVWLF WHVW UHSRUWV D SDVV WR VDWLVI\ WKH HQDEOHV FULWHULD IRU D JLYHQ GLDJQRVWLF

UHVXOW WKH GLDJQRVWLF H[HFXWLYH UHFRUGV WKH DQG WKLV GLDJQRVWLF ZLOO FRQVLGHU WKLV F\FOH WR EH

IROORZLQJ GDWD RQH WULS +RZHYHU DQRWKHU GLDJQRVWLF ZLWK D

GLIIHUHQW VHW RI HQDEOH FULWHULD ZKLFK ZHUH QRW PHW


‡ 7KH GLDJQRVWLF WHVW KDV EHHQ FRPSOHWHG VLQFH

GXULQJ WKLV GULYLQJ HYHQW ZRXOG QRW FRQVLGHU LW D


WKH ODVW LJQLWLRQ F\FOH

WULS 1R WULS ZLOO RFFXU IRU WKDW SDUWLFXODU GLDJQRVWLF


‡ 7KH GLDJQRVWLF WHVW KDV SDVVHG GXULQJ WKH

XQWLO WKH YHKLFOH LV GULYHQ LQ VXFK D ZD\ DV WR PHHW


FXUUHQW LJQLWLRQ F\FOH

DOO WKH HQDEOH FULWHULD


‡ 7KH IDXOW LGHQWLILHG E\ WKH GLDJQRVWLF WHVW LV QRW

FXUUHQWO\ DFWLYH
'LDJQRVWLF ,QIRUPDWLRQ
:KHQ D GLDJQRVWLF WHVW UHSRUWV D IDLO UHVXOW WKH
7KH GLDJQRVWLF FKDUWV DQG IXQFWLRQDO FKHFNV DUH
GLDJQRVWLF H[HFXWLYH UHFRUGV WKH IROORZLQJ GDWD
GHVLJQHG WR ORFDWH D IDXOI\ FLUFXLW RU FRPSRQHQW
‡ 7KH GLDJQRVWLF WHVW KDV EHHQ FRPSOHWHG VLQFH
WKURXJK D SURFHVV RI ORJLFDO GHFLVLRQV 7KH FKDUWV
WKH ODVW LJQLWLRQ F\FOH
DUH SUHSDUHG ZLWK WKH UHTXLUHPHQW WKDW WKH YHKLFOH
‡ 7KH IDXOW LGHQWLILHG E\ WKH GLDJQRVWLF WHVW LV
IXQFWLRQHG FRUUHFWO\ DW WKH WLPH RI DVVHPEO\ DQG
FXUUHQWO\ DFWLYH
WKDW WKHUH DUH QRW PXOWLSOH IDXOWV SUHVHQW
‡ 7KH IDXOW KDV EHHQ DFWLYH GXULQJ WKLV LJQLWLRQ
7KHUH LV D FRQWLQXRXV VHOIGLDJQRVLV RQ FHUWDLQ
F\FOH
FRQWURO IXQFWLRQV 7KLV GLDJQRVWLF FDSDELOLW\ LV
‡ 7KH RSHUDWLQJ FRQGLWLRQV DW WKH WLPH RI WKH
FRPSOHPHQWHG E\ WKH GLDJQRVWLF SURFHGXUHV
IDLOXUH
FRQWDLQHG LQ WKLV PDQXDO 7KH ODQJXDJH RI

&RPPRQ 2%' 7HUPV FRPPXQLFDWLQJ WKH VRXUFH RI WKH PDOIXQFWLRQ LV D

V\VWHP RI GLDJQRVWLF WURXEOH FRGHV :KHQ D


'LDJQRVWLF
PDOIXQFWLRQ LV GHWHFWHG E\ WKH FRQWURO PRGXOH D
:KHQ XVHG DV D QRXQ WKH ZRUG GLDJQRVWLF UHIHUV
GLDJQRVWLF WURXEOH FRGH LV VHW DQG WKH 0DOIXQFWLRQ
WR DQ\ RQERDUG WHVW UXQ E\ WKH YHKLFOH
V 'LDJQRVWLF
,QGLFDWRU /DPS 0,/ LV LOOXPLQDWHG
0DQDJHPHQW 6\VWHP $ GLDJQRVWLF LV VLPSO\ D WHVW

UXQ RQ D V\VWHP RU FRPSRQHQW WR GHWHUPLQH LI WKH 'DWD /LQN &RQQHFWRU '/&


V\VWHP RU FRPSRQHQW LV RSHUDWLQJ DFFRUGLQJ WR
7KH SURYLVLRQ IRU FRPPXQLFDWLRQ ZLWK WKH FRQWURO

VSHFLILFDWLRQ
PRGXOH LV WKH 'DWD /LQN &RQQHFWRU '/&  ,W LV

ORFDWHG DW QHDU WKH $ SRVW RI GULYHU VLGH 7KH '/&


(QDEOH &ULWHULD
LV XVHG WR FRQQHFW WR D VFDQ WRRO 6RPH FRPPRQ
7KH WHUP ¦HQDEOH FULWHULD§ LV HQJLQHHULQJ ODQJXDJH
XVHV RI WKH VFDQ WRRO DUH OLVWHG EHORZ
IRU WKH FRQGLWLRQV QHFHVVDU\ IRU D JLYHQ GLDJQRVWLF
‡ ,GHQWLI\LQJ VWRUHG 'LDJQRVWLF 7URXEOH &RGHV
WHVW WR UXQ (DFK GLDJQRVWLF KDV D VSHFLILF OLVW RI
'7&V 
FRQGLWLRQV ZKLFK PXVW EH PHW EHIRUH WKH GLDJQRVWLF
‡ &OHDULQJ '7&V
ZLOO UXQ ¦(QDEOH FULWHULD§ LV DQRWKHU ZD\ RI VD\LQJ
‡ 5HDGLQJ VHULDO GDWD
¦FRQGLWLRQV UHTXLUHG§

'HFLPDO%LQDU\+H[DGHFLPDO &RQYHUVLRQV
7ULS
$OO VFDQ WRRO PDQXIDFWXUH ZLOO GLVSOD\ D YDULHW\ RI
7HFKQLFDOO\ D WULS LV D NH\ RQUXQNH\ RII F\FOH LQ
YHKLFOH LQIRUPDWLRQ ZKLFK ZLOO DLG LQ UHSDLULQJ WKH
ZKLFK DOO WKH HQDEOH FULWHULD IRU D JLYHQ GLDJQRVWLF
YHKLFOH 6RPH VFDQ WRROV ZLOO GLVSOD\ HQFRGHG
DUH PHW DOORZLQJ WKH GLDJQRVWLF WR UXQ
PHVVDJHV ZKLFK ZLOO DLG LQ GHWHUPLQLQJ WKH QDWXUH
8QIRUWXQDWHO\ WKLV FRQFHSW LV QRW TXLWH WKDW VLPSOH
RI WKH FRQFHUQ 7KH PHWKRG RI HQFRGLQJ LQYROYHV
$ WULS LV RIILFLDO ZKHQ DOO WKH HQDEOH FULWHULD IRU D
WKH XVH RI D WZR DGGLWLRQDO QXPEHULQJ V\VWHPV
JLYHQ GLDJQRVWLF DUH PHW %XW EHFDXVH WKH HQDEOH
%LQDU\ DQG +H[DGHFLPDO
FULWHULD YDU\ IURP RQH GLDJQRVWLF WR DQRWKHU WKH
7KH ELQDU\ QXPEHU V\VWHP KDV D EDVH RI WZR
GHILQLWLRQ RI WULS YDULHV DV ZHOO 6RPH GLDJQRVWLF DUH
QXPEHUV (DFK GLJLWV LV HLWKHU D  RU D  $ ELQDU\
UXQ ZKHQ WKH YHKLFOH LV DW RSHUDWLQJ WHPSHUDWXUH
QXPEHU LV DQ HLJKW GLJLW QXPEHU DQG LV UHDG IURP
VRPH ZKHQ WKH YHKLFOH ILUVW VWDUW XS VRPH UHTXLUH
ULJKW WR OHIW (DFK GLJLW KDV D SRVLWLRQ QXPEHU ZLWK
WKDW WKH YHKLFOH EH FUXLVLQJ DW D VWHDG\ KLJKZD\
WKH IDUWKHVW ULJKW EHLQJ WKH  SRVLWLRQ DQG WKH
VSHHG VRPH UXQ RQO\ ZKHQ WKH YHKLFOH LV LGOH
IDUWKHVW OHIW EHLQJ WKH  SRVLWLRQ 7KH  SRVLWLRQ
6RPH UXQ RQO\ LPPHGLDWHO\
ZKHQ GLVSOD\HG E\ D  LQGLFDWHV  LQ GHFLPDO
( ¤  (0,66,21 $1' (/(&75,&$/ ',$*126,6

(DFK SRVLWLRQ WR WKH OHIW LV GRXEOH WKH SUHYLRXV


SRVLWLRQ DQG DGGHG WR DQ\ RWKHU SRVLWLRQ YDOXHV
PDUNHG DV D 

$ KH[DGHFLPDO V\VWHP LV FRPSRVHG RI  GLIIHUHQW


DOSKD QXPHULF FKDUDFWHUV 7KH DOSKD QXPHULF
FKDUDFWHUV XVHG DUH QXPEHUV  WKURXJK  DQG
OHWWHUV $ WKURXJK ) 7KH KH[DGHFLPDO V\VWHP LV WKH
PRVW QDWXUDO DQG FRPPRQ DSSURDFK IRU VFDQ WRRO
PDQXIDFWXUHV WR GLVSOD\ GDWD UHSUHVHQWHG E\ ELQDU\
QXPEHUV DQG GLJLWDO FRGH

9HULI\LQJ 9HKLFOH 5HSDLU

9HULILFDWLRQ RI YHKLFOH UHSDLU ZLOO EH PRUH


FRPSUHKHQVLYH IRU YHKLFOH ZLWK 2%' V\VWHP
GLDJQRVWLF )ROORZLQJ D UHSDLU WKH WHFKQLFLDQ VKRXOG
SHUIRUP WKH IROORZLQJ VWHSV

 5HYLHZ DQG UHFRUG WKH )DLO 5HFRUGV IRU WKH


'7& ZKLFK KDV EHHQ GLDJQRVHG

 &OHDU '7& V 

 2SHUDWH WKH YKLFOH ZLWKLQ FRQGLWLRQV QRWHG LQ


WKH )DLO 5HFRUGV

 0RQLWRU WKH '7& VWDWXV LQIRUPDWLRQ IRU WKH


VSHFLILF '7& ZKLFK KDV EHHQ GLDJQRVHG XQWLO
WKH GLDJQRVWLF WHVW DVVRFLDWHG ZLWK WKDW '7&
UXQV

)ROORZLQJ WKHVH VWHSV DUH YHU\ LPSRUWDQW LQ


YHULI\LQJ UHSDLUV RQ 2%' V\VWHPV )DLOXUH WR IROORZ
WKHVH VWHSV FRXOG UHVXOW LQ XQQHFHVVDU\ UHSDLUV

21%2$5' ',$*1267,& 2%' 6\VWHP &KHFN

2%' 6\VWHP VKRXOG EH FKHFNHG DV IROORZV

 :KHQ ,JQLWLRQ NH\ LV WXUQHG IURP WKH ¦2))§ WR


WKH ¦21§ SRVLWLRQ PDNH VXUH WKDW 0,/ LV OLW IRU
 VHF WR  VHF

 &RQQHFW 6FDQ 7RRO DQG FKHFN WR VHH LI 0,/ LV


DOZD\V OLW

,I VR 2%' 6\VWHP LV QRUPDO


(0,66,21 $1' (/(&75,&$/ ',$*126,6 ( ¤ 

5($',1*',$*1267,&7528%/(&2'(686,1*$7(&+2527+(5
6&$1722/
7KH SURFHGXUH IRU UHDGLQJ GLDJQRVWLF WURXEOH FRGHV LV ,QIRUPDWLRQ§ IXQFWLRQ :KHQ FOHDULQJ '7&V IROORZ
WR EH XVHG D GLDJQRVWLF VFDQ WRRO :KHQ UHDGLQJ '7&V LQVWUXFWLRQV VXSSOLHG E\ WKH WRRO PDQXIDFWXUHU
IROORZ LQVWUXFWLRQV VXSSOLHG E\ WRRO PDQXIDFWXUHU :KHQ D VFDQ WRRO LV QRW DYDLODEOH '7&V FDQ DOVR EH
FOHDUHG E\ GLVFRQQHFWLQJ RQH RI WKH IROORZLQJ VRXUFHV
&OHDULQJ'LDJQRVWLF7URXEOH&RGHV IRU DW OHDVW WKLUW\  VHFRQGV

,03257$17 'R QRW FOHDU '7&V XQOHVV GLUHFWHG WR 127( 7R SUHYHQW V\VWHP GDPDJH WKH LJQLWLRQ

GR VR E\ WKH VHUYLFH LQIRUPDWLRQ SURYLGHG IRU HDFK NH\ PXVW EH ¦2))§ ZKHQ GLVFRQQHFWLQJ RU

GLDJQRVWLF SURFHGXUH :KHQ '7&V DUH FOHDUHG WKH UHFRQQHFWLQJ EDWWHU\ SRZHU

)UHH]H )UDPH DQG )DLOXUH 5HFRUG GDWD ZKLFK PD\ ‡ 7KH SRZHU VRXUFH WR WKH FRQWURO PRGXOH ([DPSOHV
KHOS GLDJQRVH DQ LQWHUPLWWHQW IDXOW ZLOO DOVR EH IXVH SLJWDLO DW EDWWHU\ (&0 FRQQHFWRUV HWF
HUDVHG IURP PHPRU\
‡ 7KH QHJDWLYH EDWWHU\ FDEOH 'LVFRQQHFWLQJ WKH
,I WKH IDXOW WKDW FDXVHG WKH '7& WR EH VWRUHG LQWR QHJDWLYH EDWWHU\ FDEOH ZLOO UHVXOW LQ WKH ORVV RI RWKHU
PHPRU\ KDV EHHQ FRUUHFWHG WKH 'LDJQRVWLF ([HFXWLYH RQERDUG PHPRU\ GDWD VXFK DV SUHVHW UDGLR WXQLQJ 
ZLOO EHJLQ WR FRXQW WKH ¦ZDUPXS§ F\FOHV ZLWK QR IXUWKHU
IDXOWV GHWHFWHG WKH '7& ZLOO DXWRPDWLFDOO\ EH FOHDUHG
7HFK  6FDQ 7RRO
IURP WKH (QJLQH &RQWURO 0RGXOH (&0 PHPRU\
)URP  0< ,VX]X 'HDOHU VHUYLFH GHSDUWPHQWV DUH
7R FOHDU 'LDJQRVWLF 7URXEOH &RGHV '7&V  XVH WKH
UHFRPPHQGHG WR XVH 7HFK  5HIHU WR 7HFK  VFDQ
GLDJQRVWLF VFDQ WRRO ¦FOHDU '7&V§ RU ¦FOHDU
WRRO XVHU JXLGH

 3&0&,$ &DUG  '/& &DEOH

 56  /RRS %DFN &RQQHFWRU  7HFK

 6$(  $GDSWHU

5:WLI
( ¤  (0,66,21 $1' (/(&75,&$/ ',$*126,6

*HWWLQJ6WDUWHG 2SHUDWLQJ3URFHGXUH )RUH[DPSOH


‡ %HIRUH RSHUDWLQJ WKH ,VX]X 3&0&,$ FDUG ZLWK WKH 7KH SRZHU XS VFUHHQ LV GLVSOD\HG ZKHQ \RX SRZHU XS
7HFK  WKH IROORZLQJ VWHSV PXVW EH SHUIRUPHG WKH WHVWHU ZLWK WKH ,VX]X V\VWHPV 3&0&,$ FDUG )ROORZ

 7KH ,VX]X  6\VWHP 3&0&,$ FDUG  LQVHUWV WKH RSHUDWLQJ SURFHGXUH EHORZ

LQWR WKH WHFK   

 &RQQHFW WKH 6$(  DGDSWHU  WR WKH '/&


FDEOH  

 &RQQHFW WKH '/& FDEOH WR WKH 7HFK   

 0DNH VXUH WKH YHKLFOH LJQLWLRQ NH\ LV RII

 &RQQHFW WKH 7HFK  6$(  DGDSWHU WR WKH


YHKLFOH $/'/'/&

 7KH YHKLFOH LJQLWLRQ WXUQV RQ

 9HULI\ WKH 7HFK  SRZHU XS GLVSOD\

5:WLI

127,&( 7KH 56 /RRS EDFN FRQQHFWRU LV RQO\

WR XVH IRU GLDJQRVLV RI 7HFK  DQG UHIHU WR XVHU

JXLGH RI WKH 7HFK 

/:WLI
(0,66,21 $1' (/(&75,&$/ ',$*126,6 ( ¤ 

‡ 7KH IROORZLQJ WDEOH VKRZV ZKLFK IXQFWLRQV DUH XVHG

WKH DYDLODEOH HTXLSPHQW YHUVLRQV

/:WLI

/:WLI
( ¤  (0,66,21 $1' (/(&75,&$/ ',$*126,6

/:WLI

/:WLI
(0,66,21 $1' (/(&75,&$/ ',$*126,6 ( ¤ 

7<3,&$/6&$1'$7$9$/8(6 WRRO FDQ UHVXOW LQ PLVGLDJQRVLV DQG XQQHFHVVDU\


UHSODFHPHQW RI SDUWV

8VH WKH 7\SLFDO 6FDQ 'DWD 9DOXHV 7DEOH RQO\ DIWHU WKH 2QO\ WKH SDUDPHWHUV OLVWHG EHORZ DUH UHIHUUHG WR LQ WKLV
2Q%RDUG 'LDJQRVWLF 6\VWHP &KHFN KDV EHHQ VHUYLFH PDQXDO IRU XVH LQ GLDJQRVLV )RU IXUWKHU
FRPSOHWHG QR GLDJQRVWLF WURXEOH FRGHV ZHUH QRWHG LQIRUPDWLRQ RQ XVLQJ WKH VFDQ WRRO WR GLDJQRVH WKH
DQG \RX KDYH GHWHUPLQHG WKDW WKH RQERDUG GLDJQRVWLFV HQJLQH FRQWURO PRGXOH DQG UHODWHG VHQVRUV UHIHU WR WKH
DUH IXQFWLRQLQJ SURSHUO\ 6FDQ WRRO YDOXHV IURP D DSSOLFDEOH UHIHUHQFH VHFWLRQ OLVWHG EHORZ ,I DOO YDOXHV
SURSHUO\UXQQLQJ HQJLQH PD\ EH XVHG IRU FRPSDULVRQ DUH ZLWKLQ WKH W\SLFDO UDQJH GHVFULEHG EHORZ UHIHU WR
ZLWK WKH HQJLQH \RX DUH GLDJQRVLQJ 7KH W\SLFDO VFDQ WKH V\PSWRPV VHFWLRQ IRU GLDJQRVLV
GDWD YDOXHV UHSUHVHQW YDOXHV WKDW ZRXOG EH VHHQ RQ D
QRUPDOO\UXQQLQJ HQJLQH
7HVW&RQGLWLRQV
1RWH $ VFDQ WRRO WKDW GLVSOD\V IDXOW\ GDWD VKRXOG
QRW EH XVHG DQG WKH SUREOHP VKRXOG EH UHSRUWHG WR (QJLQH UXQQLQJ ORZHU UDGLDWRU KRVH KRW WUDQVPLVVLRQ
WKH VFDQ WRRO PDQXIDFWXUHU 8VH RI D IDXOW\ VFDQ LQ SDUN RU QHXWUDO FORVHG ORRS DFFHVVDULHV RII EUDNH
QRW DSSOLHG DQG DLU FRQGLWLRQLQJ RII

'$7$/,67 7<3,&$/'$7$
7(&+  675,1* 7<3,&$/ '$7$ 9$/8(6 ,'/(

,JQLWLRQ 6ZLWFK 2Q2II 2Q

6WDUWHU 6ZLWFK 2Q2II 2II

([KDXVW %UHDN 6ZLWFK 2Q2II 2II

7UDQVPLVVLRQ *HDU 3RVLWLRQ 6ZLWFK 1 07 RQO\

7UDQVPLVVLRQ 6SHF 6HOHFW 6ZLWFK $707 $XWRPDWLF 7UDQV

(QJLQH 6SHF 6HOHFW 6ZLWFK 61 6

,$7 6ZLWFK <HV1R DQG +LJK/RZ +LJK

(*5966 6\VWHP <HV1R <HV

5DFN 6HQVRU 9ROWDJH 9 

(QJLQH &RRODQW 7HPS 9 

(QJLQH &RRODQW 7HPS ) ƒ&  

(QJLQH 6SHHG USP 

%DURPHWULF 3UHVVXUH 9 

%DURPHWULF 3UHVVXUH PP+J 


( ¤  (0,66,21 $1' (/(&75,&$/ ',$*126,6

7528%/(6+227,1*
&DXWLRQWDNHQLQLQVSHFWLQJ
 ,Q LQVSHFWLQJ V\VWHP ZULWH GRZQ VHOIGLDJQRVLV FRGHV E\ D PHPRU\ FOHDU VZLWFK GRXEO\ LQVSHFW
FRGH WR EH LQGLFDWHG HVSHFLDOO\ ZKHQ SOXUDO VHOI DEQRUPDO SODFH DV LQGLFDWHG LQ VHOIGLDJQRVLV FRGH
GLDJQRVLV FRGHV DUH LQGLFDWHG 6HOIGLDJQRVLV FRGH PHDQV ¨:DUQLQJ© 0DNH VXUH
 %HIRUH HOLPLQDWLQJ WKH LQGLFDWHG VHOIGLDJQRVLV WR LQVSHFW DEQRUPDO VHFWLRQ

,QVSHFWLRQSURFHGXUHIORZFKDUW

)ORZFKDUWWLI

127(

3OHDVH QRWH WKDW VRPH LWHPV RI VHOIGLDJQRVLV FRGH


PD\ QRW EH JHQHUDWHG XQOHVV WKH HQJLQH LV ZDUPHG
XS RU XQOHVV WKH YHKLFOH LV GULYHQ XQGHU ORDG
(0,66,21 $1' (/(&75,&$/ ',$*126,6 ( ¤ 

6(/)',$*126,6)81&7,216
 0HPRUL]DWLRQ RI VHOIGLDJQRVLV FRGH  (OLPLQDWLRQ RI VHOIGLDJQRVLV FRGH

7KH VHOIGLDJQRVLV FRGH LQGLFDWHG ZLOO EH 7KH VHOIGLDJQRVLV FRGH PHPRUL]HG LQ WKH
PHPRUL]HG LQ (OHFWURQLFDOO\ (UDVDEOH ((3520 ZLWK LQ WKH (&0 FDQ EH HOLPLQDWHG RQO\
3URJUDPPDEOH 5HDG 2QO\ 0HPRU\ ((3520 ZLWK E\ 6FDQ 7RRO RU WKH RSHUDWLRQ RI WKH PHPRU\ FOHDU
LQ WKH (QJLQH &RQWURO 0RGXOH (&0  $FFRUGLQJO\ VZLWFK
HYHQ LI WKH VWDUWHU VZLWFK WXUQV RII RU WKH (&0 LV 7KH HOLPLQDWLRQ PHWKRG PHPRU\ FOHDU VZLWFK ZLOO
UHPRYHG IURP WKH YHKLFOH WKH PHPRUL]HG VHOI EH GHVFULEHG EHORZ
GLDJQRVLV FRGH ZLOO QRW EH HOLPLQDWHG
 7XUQ 2)) LJQLWLRQ VZLWFK
8QOHVV DQ HOLPLQDWLRQ SURFHGXUH LV WDNHQ WKH
 8VH N : UHVLVWDQFH DQG PDNH VKRUW FLUFXLW
VHOIGLDJQRVLV FRGH ZLOO UHPDLQ LQ PHPRU\ 7KH
RQ PHPRU\ FOHDU VZLWFK
PHPRU\ ZLOO EH HOLPLQDWHG RQO\ E\ D PHPRU\
 7XUQ 21 LJQLWLRQ VZLWFK 7KH LQGLFDWLRQ ODPS
FOHDU VZLWFK
WXUQ RQ OLJKWLQJ FRQWLQXRXVO\ DIWHU WKUHH
VHFRQGV IODVKLQJ WKH LQGLFDWLRQ ODPS

 7XUQ 2)) LJQLWLRQ VZLWFK

 5HPRYH VKRUWDJH UHVLVWDQFH IURP PHPRU\


FOHDU VZLWFK

/RFDWLRQRIWKHPHPRU\FOHDUVZLWFK
/RFDWLRQ RI WKH PHPRU\ FOHDU VZLWFK '$7$ /,1. &211(&725

/;WLI
( ¤  (0,66,21 $1' (/(&75,&$/ ',$*126,6

/;WLI

+RZ WR UHDG IODVKLQJ RI WKH LQGLFDWRU ODPS x 'LDJQRVWLF 7URXEOH &RGH '7& RXWSXWWLQJ LV GRQH LQ

7KH WZRGLJLW VHOIGLDJQRVLV FRGH IODVKHV VWDUWLQJ IURP GHFUHDVLQJO\ RUGHU RI '7& QXPEHU

WHQ©V ILJXUH WR LQGLFDWH WKH VHOIGLDJQRVLV FRGH x ,QGLFDWLRQ LV FKDQJHG RYHU RQ FRPSOHWLRQ RI RXWSXW
'7& LQGLFDWLRQ
3OHDVH UHDG WKH VHOIGLDJQRVLV FRGH IURP WKH IODVKLQJ
x '7& LQGLFDWRU LV VWRSSHG ZLWK GLDJQRVWLF VZLWFK
,I WKH SOXUDO VHOIGLDJQRVLV FRGHV DUH LQGLFDWHG WKH
EHLQJ RII
VDPH VHOIGLDJQRVLV FRGH LV IODVKHG UHSHDWHGO\ LQ VWHSV
x :KHQ WKHUH LV QR '7& RXWSXW ¦§ LV RXWSXWWHG LQ
RI WKUHH WLPHV
QRUPDO '7& FRGH
3OHDVH UHDG LW FRUUHFWO\
x $IWHU LQGLFDWLQJ  WLPHV SHDU  '7& VKLIW LV
FRQGXFWHG WR WKH QH[W '7& $IWHU PDNLQJ D URXQG
WKH LQGLFDWLRQV DUH UHSHDWHG DJDLQ
x ,Q FDVH RI WKH VDPH GLDJQRVWLF FRGH LW LV XVHG 
'7&  WLPHV LQGLFDWLRQ

([DPSOH 'LDJQRVLV 7URXEOH &RGH 2XWSXW

/:WLI
(0,66,21 $1' (/(&75,&$/ ',$*126,6 ( ¤ 

)ODVKLQJ RI ,QGLFDWRU /DPS

/;WLI

/;WLI
( ¤  (0,66,21 $1' (/(&75,&$/ ',$*126,6

',$*126,67528%/(&2'(/,67
'7& 7(&+  675,1*
3 5DFN 6HQVRU &LUFXLW /RZ

3 5DFN 6HQVRU &LUFXLW +LJK

3 (QJLQH &RRODQW 7HPSHUDWXUH (&7 6HQVRU &LUFXLW +LJK

3 (&7 6HQVRU &LUFXLW /RZ

3 ([KDXVW *DV 5HFLUFXODWLRQ (*5 (OHFWURQLF 9DFXXP 5HJXODWLQJ 9DOYH (959 6ROHQRLG
&LUFXLW /RZ

3 (*5 (959 6ROHQRLG &LUFXLW +LJK

3 4XLFN 2Q 6WDUW 426 5HOD\ &RQWURO &LUFXLW /RZ

3 426 5HOD\ &RQWURO &LUFXLW +LJK

3 0DJQHWLF 6ZLWFK &RQWURO &LUFXLW /RZ

3 0DJQHWLF 6ZLWFK &RQWURO &LUFXLW +LJK

3 4XLFN :DUP 6\VWHP 4:6 5HOD\ &RQWURO &LUFXLW +LJK

3 9DULDEOH 6ZLUO 6\VWHP 966 &RQWURO &LUFXLW /RZ

3 966 &RQWURO &LUFXLW +LJK

3 $QHURLG &RPSHQVDWRU 9DFXXP 6ZLWFKLQJ 9DOYH 969 &RQWURO &LUFXLW /RZ

3 (*5 4XLFN &XW 969 &RQWURO &LUFXLW /RZ

3 (*5 4XLFN &XW 969 &RQWURO &LUFXLW +LJK

3 $QHURLG &RPSHQVDWRU 969 &RQWURO &LUFXLW +LJK

3 (QJLQH 6SHHG 6HQVRU &LUFXLW /RZ

3 %DURPHWULF 6HQVRU &LUFXLW (UURU

3 (OHFWURQLFDOO\ (UDVDEOH 3URJUDPPDEOH 5HDG 2QO\ 0HPRU\ ((3520 (UURU

(TXLSSHG ZLWK (*5 DQG 966


(0,66,21 $1' (/(&75,&$/ ',$*126,6 ( ¤ 

(UURU &ODVVLILHG 7URXEOH 'LDJQRVWLF &RQGLWLRQ 5HWXUQ %DFN 8S -XGJLQJ


&RGH &RQGLWLRQ 7LPH
5HOD\ 4:6

:KHQ
4:6 5/
% VKRUW 3 2XWSXW 75 0RQLWRU IRUZDUG  VHF
1RQ&RQWLQXLW\
QRUPDO


+DUQHVV 2SHQ
969 966

3 :KHQ
*1' VKRUW 966 969
2XWSXW 75 0RQLWRU IRUZDUG  VHF
2XWSXW VWRS
QRUPDO

% VKRUW 3
969 $1(&21

+DUQHVV 2SHQ
3 :KHQ
*1' VKRUW $1(&21 969
2XWSXW 75 0RQLWRU IRUZDUG  VHF
2XWSXW VWRS
QRUPDO
% VKRUW 3
969 (*5 4XLFN


+DUQHVV 2SHQ (959 (*5
3 :KHQ
*1' VKRUW 969 (*5 4XLFN &XW
2XWSXW 75 0RQLWRU IRUZDUG  VHF
7KH DERYH RXWSXW
QRUPDO
VWRSV
% VKRUW 3
$WPRVSKHULF 3UHVVXUH 6HQVRU

(959 (*5
969 (*5 4XLFN
9 PP+J RU ORZHU :KHQ &XW
2XWSXW $EQRUPDO 3 RU 9 PP+J RU IRUZDUG 7KH DERYH RXWSXW  VHF
KLJKHU GHWHFWHG QRUPDO VWRSV
$1(&21 969 LV
DFWXDWHG

&KHFN ZKHQ (&0 LV :KHQ 7URXEOH &RGH RWKHU


(&0 ((3520
3 VWDUWHG DQG ZKHQ 7URXEOH IRUZDUG WKDQ  ((3520
HUURU
&RGH LV ZULWWHQ QRUPDO HUURU QRW LQGLFDWHG
( ¤  (0,66,21 $1' (/(&75,&$/ ',$*126,6

7URXEOH 5HWXUQ -XGJLQJ


(UURU &ODVVLILHG 'LDJQRVWLF &RQGLWLRQ %DFN 8S
&RGH &RQGLWLRQ 7LPH
1R KLVWRU\ RI WKLV
1RUPDO 3 1R RWKHU WURXEOH FRGH 
GLDJQRVLV UHFRUGHG

5DFN 9ROWDJH 9 RU (959 (*5

ORZHU (QJLQH VSHHG 969 (*5 4XLFN &XW

+DUQHVV 2SHQ aUSP DQG ZDWHU 969 966


3  VHF
5DFN 6HQVRU

*1' VKRUW 7HPS ƒ& RU KLJKHU DUH 7KH DERYH RXWSXWV

GHWHFWHG IRU  VHF :KHQ VWRS

UXQQLQJ IRUZDUG 5/ 4:6 1RQ


QRUPDO FRQWLQXLW\ ,GOH
SRVLWLRQ RXWSXW VWRS
9 VKRUW
9 RU KLJKHU 5DFN 7KH DERYH RXWSXWV
5DFN 6HQVRU 3  VHF
9ROWDJH GHWHFWHG VWRS 5DFN /HDUQLQJ
3RZHU 9ROWDJH
YDOYH 

(959 (*5
:DWHU 7HPS 6HQVRU

969 (*5 4XLFN &XW


+DUQHVV 2SHQ 3 969 966
% VKRUW
ƒ& N: RU ORZHU :KHQ
09 7LPLQJ $GYDQFH

RU ƒ& N: RU
7KH DERYH RXWSXWV
IRUZDUG  VHF
VWRS
KLJKHU GHWHFWHG QRUPDO
969 $1(&21 LV
3 DFWXDWHG
*1' VKRUW
426 ƒ& RU ORZHU
FRQWURO
(959 (*5

+DUQHVV 2SHQ
(959 (*5
3 :KHQ
*1' VKRUW 969 (*5 4XLFN &XW
2XWSXW 75 0RQLWRU IRUZDUG  VHF
7KH DERYH RXWSXWV
QRUPDO
% VKRUW 3 VWRS
9ROXPH 7LPLQJ 5HOD\ 426

+DUQHVV 2SHQ
3 :KHQ
*1' VKRUW 426 5/ 1RQ
2XWSXW 75 0RQLWRU IRUZDUG  VHF
FRQWLQXLW\
QRUPDO
% VKRUW 3

+DUQHVV 2SHQ 3


0DJQHWLF

:KHQ
7LPLQJ $GYDQFH 09
2XWSXW 75 0RQLWRU IRUZDUG  VHF
RXWSXW VWRS
*1' VKRUW QRUPDO
3
% VKRUW

(959 (*5
969 (*5 4XLFN &XW
969 966
5/ 4:6
(QJLQH VSHHG  5DFN :KHQ
+DUQHVV 2SHQ
*1' VKRUW
3 9ROWDJH t 9 d  LV IRUZDUG
7KH DERYH RXWSXWV
,GOLQJ SRVLWLRQ RXWSXW
 VHF
GHWHFWHG QRUPDO
VWRS ZKHQ 70 326
6: RXWSXWWHG
969 $1(&21 LV
DFWXDWHG

(TXLSSHG ZLWK (*5 DQG 966


(0,66,21 $1' (/(&75,&$/ ',$*126,6 ( ¤ 

/2&$7,212)6(1625$1'6:,7&+

/:WLI
( ¤  (0,66,21 $1' (/(&75,&$/ ',$*126,6

/:WLI
(0,66,21 $1' (/(&75,&$/ ',$*126,6 ( ¤ 

3$576/2&$7,21

(WLI
( ¤  (0,66,21 $1' (/(&75,&$/ ',$*126,6

(1*,1(&21752/02'8/( (&0
$SSHDUDQFHRI(&0

/:WLI
(0,66,21 $1' (/(&75,&$/ ',$*126,6 ( ¤ 

&+$572)(1*,1(&21752/02'8/( (&0 ,1387287387


(TXLSSHG ZLWKRXW (TXLSSHG ZLWK
(*5 DQG 966 (*5 DQG 966

&RQQHFWRU 663(& 163(& 663(&


&RQQHFWRU &RQQHFWRU QDPH
QXPEHU 07 $7 07 $7

 &KHFNHU 6,* 6HULDO &RPPXQLFDWLRQ { { { { {


 ,QWDNH 7HPSHUDWXUH 6ZLWFK { { {
 (QJLQH 7\SH {
 1RW EH XVHG     

 7UDQVPLVVLRQ 7\SH { {
 5DFN 6HQVRU 9 { { { { {
 5DFN 6HQVRU 6,* { { { { {
 %DWWHU\  { { { { {
 ,JQLWLRQ .H\ { { { { {
 1RW EH XVHG     

 7LPLQJ $GYDQFH 6ROHQRLG 6ZLWFK 5HOD\ { { { { {


 1RW EH XVHG     

 (OHFWULF 9DFXXP 5HJXODWLQJ 9DOYH 3RZHU 6XSSO\ u u { { {


&RQQHFWRU  SLQ

 (OHFWULF 9DFXXP 5HJXODWLQJ 9DOYH *1' u u { { {


 &KHFNHU *1' { { { { {
 'LDJ &RQWURO { { { { {
 1RW EH XVHG     

 1RW EH XVHG     

 1RW EH XVHG     

 1RW EH XVHG     

 5DFN 6HQVRU *1' { { { { {


 (&0 *1' { { { { {
 1RW EH XVHG     

 1RW EH XVHG     

 1RW EH XVHG     

 1RW EH XVHG     

 7UDQVPLVVLRQ 3RVLWLRQ 6ZLWFK {


 1RW EH XVHG     

 1RW EH XVHG     

 ),&' 0DJQHWLF 9DOYH 3RZHU 6XSSO\ { { { { {


( ¤  (0,66,21 $1' (/(&75,&$/ ',$*126,6

(TXLSSHG ZLWKRXW (TXLSSHG ZLWK


(*5 DQG 966 (*5 DQG 966

&RQQHFWRU 663(& 163(& 663(&


&RQQHFWRU &RQQHFWRU QDPH
QXPEHU 07 $7 07 $7

 (*5 &XW 0DJQHWLF 9DOYH 3RZHU 6XSSO\ u u { { {


 *ORZ 5HOD\ { { { { {
 *ORZ ,QGLFDWRU /DPS { { { { {
 5DFN ,GOH 3RVLWLRQ 2XW 3XW { {
 1RW EH XVHG     

 1RW EH XVHG     

 (QJLQH &RRODQW 7HPSHUDWXUH 6HQVRU *1' { { { { {


 (QJLQH &RRODQW 7HPSHUDWXUH 6HQVRU 6,* { { { { {
 (QJLQH 5HYRODWLRQ 6HQVRU *1' { { { { {
 (QJLQH 5HYRODWLRQ 6HQVRU 6,* { { { { {
&RQQHFWRU  SLQ

 966 0DJQHWLF 9DOYH 3RZHU 6XSSO\ u u { { {


 4:6 5HOD\ { { { { {
 $QHURLG &RPSHQVDWRU 0DJQHWLF 9DOYH { { { { {
 1RW EH XVHG     

 1RW EH XVHG     

 1RW EH XVHG     

 1RW EH XVHG     

 6WDUWHU 6ZLWFK { { { { {
 ([KDXVW %UDNH 6WDWXV 6ZLWFK { { { { {
 1RW EH XVHG     

 1RW EH XVHG     

 1RW EH XVHG     

1RWH 7KH PHDQLQJ RI V\PERO PDUNV DUH

{  &RQQHFW

%/$1.  1RW

u  1RW &RQQHFW
(0,66,21 $1' (/(&75,&$/ ',$*126,6 ( ¤ 

/RFDWLRQRIWKH(QJLQH&RQWURO0RGXOH (&0 &RQQHFWRU

/:WLI

/RFDWLRQRI'DWD/LQN&RQQHFWRU '/&

/;WLI

/;WLI
( ¤  (0,66,21 $1' (/(&75,&$/ ',$*126,6

%5,()(;3/$1$7,212)(0,66,21$1'
(/(&75,&$/&21752/6<67(0
0,7,&6 0HFKDQLFDOO\,QWHJUDWHG x 7KH OHIW KDQG ILJXUH VKRZV SOXQJHU VSHHG DQG
FDP OLIW LQ UHODWLRQ WR FDP DQJOH ,W FDQ EH VHHQ
7LPLQJDQG,QMHFWLRQ&RQWURO IURP WKH JUDSK WKDW SOXQJHU VSHHG LQFUHDVHV
6\VWHP WRJHWKHU ZLWK FDP OLIW

0,7,&6 YDULHV WKH EHJLQQLQJ RI LQMHFWLRQ


7KH 0HFKDQLFDOO\ ,QWHJUDWHG 7LPLQJ DQG ,QMHFWLRQ
SRVLWLRQ DW ORZ DQG PHGLXP VSHHGV VR WKDW
UDWH &RQWURO 6\VWHP 0,7,&6 XWLOL]HV PHFKDQLFDO
LQMHFWLRQ RFFXUV ZKHQ WKH SOXQJHU VSHHG
FRQWURO LQ FRPSDULVRQ ZLWK 7,&6 V\VWHPV ZKLFK
LQFUHDVHV GXULQJ WKH ODWWHU KDOI RI FDP OLIW
XWLOL]H HOHFWURQLF FRQWURO
VKRZQ E\ WKH EROG OLQH 
0,7,&6 LV HTXLSSHG ZLWK WKH 5/'0 W\SH JRYHUQRU
$W KLJK VSHHGV LQMHFWLRQ LV SHUIRUPHG ZKHQ
ZKLFK FRQWDLQV D SUHVWURNH FRQWURO PHFKDQLVP
WKH SOXQJHU VSHHG GHFUHDVHV GXULQJ WKH ILUVW
:LWK WKLV SUHVWURNH SRVLWLRQ LH EHJLQQLQJ RI
KDOI RI FDP OLIW WR SUHYHQW DQ H[FHVVLYH
VWDWLF LQMHFWLRQ FDQ EH YDULHG WR FRQWURO LQMHFWLRQ
LQFUHDVH LQ LQMHFWLRQ SLSH SUHVVXUH
WLPLQJ DQG LQMHFWLRQ UDWH LH WKH IXHO LQMHFWLRQ
7KLV HQDEOHV KLJK SUHVVXUHV DW ORZ DQG
TXDQWLW\ LQMHFWHG IURP WKH QR]]OH SHU FDP DQJOH
PHGLXP VSHHGV ZLWK D IDVW SOXQJHU VSHHG
GHJUHH 
7KXV D ILQH IXHO RLO VSUD\ LV LQMHFWHG LQWR WKH
7KLV HQDEOHV KLJK LQMHFWLRQ UDWHV LQ WKH ORZ DQG
F\OLQGHU IURP WKH QR]]OHV ZLWKLQ D VKRUW WLPH WR
PHGLXP VSHHG UDQJHV WKURXJK D VKRUW ,QMHFWLRQ
SURYLGH WKH SURSHU PL[WXUH IRU FRPEXVWLRQ
LQWHUYDO WKXV FRQWULEXWLQJ WR KLJKHU HQJLQH WRUTXH
KHOSLQJ WR LQFUHDVH WRUTXH DQG NHHS H[KDXVW
DQG FOHDQHU H[KDXVW
HPLVVLRQV FOHDQ
0,7,&6 ZDV GHYHORSHG LQ UHVSRQVH WR WKH
GHPDQGV RI PHGLXP VL]HG GLHVHO HQJLQHV IRU ORZ
FRVW ORZ IXHO FRQVXPSWLRQ KLJK RXWSXW DQG FOHDQHU
HPLVVLRQV

+LJK LQMHFWLRQ UDWHV XVLQJ D VKRUW LQMHFWLRQ LQWHUYDO

x 7KH VSHHG DW ZKLFK WKH LQMHFWLRQ SXPS SOXQJHU


ULVHV VORZV DV HQJLQH VSHHG GHFUHDVHV DQG WKH
SUHVVXUH LQVLGH WKH LQMHFWLRQ SLSH GHFUHDVHV

%HFDXVH RI WKLV WKH QR]]OH VSUD\ GHWHULRUDWHV


DQG PDNHV LW LPSRVVLEOH WR REWDLQ WKH SURSHU
IXHO  DLU PL[WXUH

7R REWDLQ WKH SURSHU PL[WXUH DW ORZ DQG /:WLI

PHGLXP VSHHGV LW LV QHFHVVDU\ WR LQFUHDVH WKH


SUHVVXUH LQVLGH WKH LQMHFWLRQ SLSHV XVLQJ D VKRUW
LQMHFWLRQ LQWHUYDO

/:WLI
(0,66,21 $1' (/(&75,&$/ ',$*126,6 ( ¤ 

*29(5125 02'(/5/'0
7KH 5/'- W\SH JRYHUQRU FDQ EH XVHG ZLWK WKH 0,
0,7,&6 LQMHFWLRQ SXPSV DQG ZDV GHVLJQHG WR KDYH
EHWWHU FRQWURO DQG HQGXUDQFH WKDQ WKH SUHYLRXV
5/' W\SH JRYHUQRU

$OWKRXJK WKH EDVLF FRQVWUXFWLRQ LV LGHQWLFDO WR WKDW


RI WKH 5/' W\SH JRYHUQRU WKH 5/'0 W\SH LV ODUJHU
WR PDWFK WKH DSSOLFDEOH SXPSV© ODUJHU VL]H

)($785(6
(WLI

 9DULDEOH VSHHG FRQWURO JRYHUQRU ZLWK


 ,PSURYHG FRQWURO WKURXJK LQWHUQDO JXLGH SODWH
GHFUHDVHG OHYHU UHDFWLRQ IRUFH
:KHQ WKH VSHHG FRQWURO OHYHU LV RSHUDWHG WKH QG
$V ZLWK WKH SUHYLRXV 5/' W\SH JRYHUQRU 5/'0
VXSSRUWLQJ OHYHU©V SLQ PRYHV DORQJ WKH JXLGH SODWH
JRYHUQRU FRQWURO LV DFFRPSOLVKHG XVLQJ WKH VSHHG
7KH IORDWLQJ OHYHU FRQQHFWHG WR WKH SLQ WKXV PRYHV
FRQWURO OHYHU WR FKDQJH WKH IXOFUXP RI WKH LQWHUQDO
WR FKDQJH WKH EDOO MRLQW IXOFUXP SRVLWLRQV
OLQN PHFKDQLVP
,Q WKH LQWHUPHGLDWH WR KLJK VSHHG UDQJHV WKH JXLGH
&RQVHTXHQWO\ DV WKH UHDFWLRQ IRUFH RI WKH JRYHUQRU
SODWH FDXVHV WKH IORDWLQJ OHYHU WR PRYH WR LQFUHDVH
VSULQJ GRHV QRW DFW GLUHFWO\ RQ WKH VSHHG FRQWURO
WKH OHYHU UDWLR FRQWLQXRXVO\ IURP  LGOLQJ   IXOO
OHYHU RQO\ D YHU\ VPDOO OHYHU UHDFWLRQ IRUFH LV
VSHHG  7KLV LQFUHDVH LQ WKH OHYHU UDWLR LQ WKH
H[HUWHG RQ WKH DFFHOHUDWRU SHGDO
LQWHUPHGLDWH WR KLJK VSHHG UDQJH LPSURYHV VSHHG
GURRS

(WLI

 6HW WRUTXH FKDUDFWHULVWLFV WKURXJK LQWHUQDO (WLI

WRUTXH FDP
 7LPLQJ $GYDQFH &RQWURO
$W IXOO ORDG WKH WLS RI WKH VHQVRU OHYHU WUDFHV WKH
7LPLQJ DGYDQFH FRQWURO LV PHDVXULQJ WKH (&7 WR
IDFH RI WKH WRUTXH FDP WR GHWHUPLQH WKH IXOO ORDG
FDOFXODWH GULYH FXUUHQW RI WKH VROHQRLG VZLWFK IRU
UDFN SRVLWLRQ DQG FRQWURO WKH IXOO ORDG LQMHFWLRQ
WKH LQMHFWLRQ WLPLQJ DGYDQFH
TXDQWLW\
7KH LQMHFWLRQ WLPLQJ LV FRQWUROOHG E\ DFFRUGLQJ WR
&RQVHTXHQWO\ WKH WRUTXH FKDUDFWHULVWLFV GHPDQGHG
WKH (&7 ZKHQ HQJLQH LV VWDUWHG
E\ WKH HQJLQH FDQ EH IUHHO\ VHW E\ FKDQJLQJ WKH
 6ROHQRLG 6ZLWFK
VKDSH RI WKH WRUTXH FDP IDFH
7KH VROHQRLG VZLWFK LV LQVWDOOHG RQ WKH WRS RI WKH
LQMHFWLRQ SXPS WR SXVK WKH DGYDQFH OHYHU LQ WKH
LQMHFWLRQ SXPS ZKHQ  RU  YROWV LV VXSSOLHG

,Q WKLV FRQGLWLRQ WKH LQMHFWLRQ WLPLQJ LV DQ DGGLWLRQDO

 GHJUHH %7'& IURP QRDPDO LQMHFWLRQ WLPLQJ

,I WKHUH LV VRPH WURXEOH IRU HOHFWULFLW\ FXUUHQW LW ZLOO


VHW WKH '7&3 RU 3

5HIHU WR WKH '7& FKDUW

,I UHPRYH WKH VROHQRLG VZLWFK LW FDQ QRW EH


UHLQVWDOOHG EHFDXVH LW LV QHFHVVHUU\ WR UHDGMXVW
DGYDQFH YDOXH RQ WKH LQMHFWLRQ SXPS WHVWHU
( ¤  (0,66,21 $1' (/(&75,&$/ ',$*126,6

/< /<

(*5 ([KDXVW*DV5HFLUFXODWLRQ 6<67(0


(*53XUSRVH 5DFN6HQVRU
7KH H[KDXVW JDV UHFLUFXODWLRQ (*5 V\VWHP LV XVH 7KH UDFN VHQVRU LV HQJDJHG ZLWK WLS RI LQMHFWLRQ SXPS
WR UHGXFH HPLVVLRQ OHYHOV RI WKH R[GHV RI QLWURJHQ UDFN
12[  7KH 12[ HPLVVLRQ OHYHOV DUH FDXVHG E\ D 7KH UDFN VHQVRU VLJQDO ZLOO VHQG GXULQJ YHKLFOH
KLJK FRPEXVWLRQ WHPSHUUDWXUH 7KH (*5 V\VWHP RSHUDWLQJ WR WKH (&0 WKH (&0 FDOFXODWH WRJHWKHU ZLWK
ORZHUV WKH 12[ HPLVVLRQ OHYHOV E\ GHFUHDVLQJ WKH RWKHU VHQVRU©V VLJQDO WKH (&0 RXWSXW DFWLYDWLRQ VLJQDO
FRPEXVWLRQ WHPSHUDWXUH IRU (959

(*5FRQWURO $WPRVSKHULF3UHVVXUH6HQVRU
7KH PDLQ HOHPHQW RI WKH V\VWHP LV WKH (*5 YDOYH 7KH DWPRVSKHULF SUHVVXUH FHQVRU LV EXLOWLQ WKH (&0
7KH (*5 YDOYH IHHGV VPDOO DPRXQWV RI WKH H[KDXVW 7KH (959 DFWLYLW\ ZLOO EH VWRSSHG ZKHQ WKH
JDV EDFN LQWR WKH LQWDNH PDQLIROG DWPRVSKHULF SUHVVXUH ZLOO FRPHV EHORZ WKH VHWWLQJ
7KH (*5 YDOYH LV FRQWUROOHG E\ WKH (&0 DQG WKH SUHVVXUH
(&0 XVHV LQIRUPDWLRQ IURP WKH IROORZLQJ VHQVRUV
WR FRQWURO WKH (*5 YDOYH
([KDXVW%UDNH6ZLWFK
‡ (QJLQH FRRODQW WHPSHUDWXUH (7& VHQVRU

‡ (QJLQH VSHHG VHQVRU 7KH H[KDXVW EUDNH VZLWFK LV HTXLSSHG RQ WKH VWHHULQJ

‡ 5DFN VHQVRU FROXPQ

‡ ([KDXVW EUDNH VZLWFK FRQGLWLRQ 7KH H[KDXVW EUDNH VZLWFK LV FRQWUROOHG E\ YHKLFOH
RSHUDWRU ZKHQ GXULQJ WKH YHKLFOH RSHUDWLQJ WKH YHKLFOH
‡ $WPRVSKHULF SUHVVXUH VHQVRU
RSHUDWRU ZLOO GHPDQG WR DSSO\ WKH H[KDXVW EUDNH IRU
DVVLVW WKH PDLQ EUDNH V\VWHP
(*5YDOYH2SHUDWLRQDQG5HVXOWVRI
,QFRUUHFW2SHUDWLRQ (*5TXLFNFXWFRQWURO
7KH (*5 YDOYH LV GHVLJQHG WR DFFXUDWHO\ VXSSO\
'XULQJ WKH 969 DFWLRQ ZKHQ WKH (959 GULYH FXUUHQW
(*5 WR WKH HQJLQH LQGHSHQGHQW RI KH LQWDNH
ZLOO FRPHV RYHU WKH VHWWLQJ YDOYH WKH GULYH FXUUHQW ZLOO
PDQLIROG
GHFLGH UHODWLRQ RI WKH HQJLQH ORDG DQG VSHHG
7KH (*5 YDOYH FRQWUROV (*5 IORZ IURP WKH H[KDXVW LPPHGLDWH VWRS WKH 969
PDQLIROG WR WKH LQWDNH PDQLIROG WKURXJK WKH 969
5HVXOW RI WKLV DFWLRQ ZLOO UHGXFH WKH 30 3DUWLFXODWH
9DFXXP 6ZLWFKLQJ 9DOYH ZLWK D (&0 FRQWUROOHG
0DWHU 
(959 (OHFWULFDO 9DULDEOH 5HJXODWLQJ 9DOYH 

7KH (&0 PRQLWRUV UHODWHG VHQVRU RU VZLWFK


FRQGLWLRQ LI (959 VROHQLRLG KDV LQFRUUHFW
RSHUDWLRQ '7& 3 RU 3 ZLOO EH VHW

,I '7&V 3 3 3 33 3 3 RU 3


DUH VHW UHIHU WR WKH '7& FKDUWV
(0,66,21 $1' (/(&75,&$/ ',$*126,6 ( ¤ 

(959FRQWURO $OVR VWRS WKH (959 GULYH IRU VWRS WKH (*5 V\VWHP
XQGHU IROORZLQJ FRQGLWLRQV
7KH (*5 LV FRQWUROOHG XQGHU QRUPDO WHPSHUWXUH :KHQ XQGHU ORZ WHPSHUDWXUH RI WKH (&7
ZLWK VHSDUDWH VWDJH E\ WKH (&7 RI HQJLQH FRQGLWLRQ
:KHQ DFWLQJ WKH 4:6 V\VWHP
(&0 UHIHU WR (*5 DFWLRQ PDS WR GHPDQG WKH
:KHQ DFWLQJ WKH H[KDXVW EUDNH
(959 GULYH FXUUHQW DOVR (&0 FRQWUROV DJUHH
:KHQ WKH DWRPVSKHULF SUHVVXUH FRPHV XQGHU
(959 GULYH FXUUHQW DQG (959 DFWXDO GULYH FXUUHQW
VHWWLQJ WKH SUHVVXUH YDOYH
HDFK RWKHU 

2WKHUZLVH WKH (&0 WUDQVLWLRQDO VWDJH FRQWUROV IRU


FXUUHQW RI (959 ZKHQ (*5 LV FRQWUROOHG PRYLQJ
2)) DUHD WR 21 DUHD RQ WKH (*5 DFWLRQ PDS

966 9DULDEOH6ZLUO6\VWHP
7KH 9DULDEOH 6ZLUO 6\VWHP 966 LV GHVLJQHG WR LQOHW WR WKH VXESRUW DQG WKH YDOYH LQ WXUQ LV WXUQHG
DGMXVW WKH LQWHQVLW\ RI VZLUO E\ DOORZLQJ RU QRW RQ DQG RII E\ FRPSXWHU VLJQDOV ZKLFK DUH
DOORZLQJ DLU WR IORZ WKURXJK D VXESRUW RU E\SDVV GHSHQGHQW RQ HQJLQH VSHHG ORDG DQG FRRODQW
WKH UXQV LQ SDUDOOHO ZLWK WKH LQWDNH SRUW IRU HDFK WHPSHUDWXUH %DVLFDOO\ WKH DLU LV FXW RII DW ORZ
F\OLQGHU 7KH VZLUO LQWHQVLILHV ZKHQ WKHUH LV QR DLU VSHHGV WR PDLQWDLQ KLJK VZLUO DQG LV DOORZHG WR IORZ
IORZ WKURXJK WKH VXESRUW DQG YLFH YHUVD DW KLJK VSHHGV WR PDLQWDLQ ORZ VZLUO

7KH DLU IORZ LV FRQWUROOHG E\ WKH RQRII YDOYH DW WKH

9$5,$%/(6:,5/6<67(0 (TXLSSHGZLWK(*5DQG966

/:WLI
( ¤  (0,66,21 $1' (/(&75,&$/ ',$*126,6

(1*,1(&21752/02'8/( (&0 6<67(0:,5,1*',$*5$0


8QWLO0RGHO<HDU

/:WLI
(0,66,21 $1' (/(&75,&$/ ',$*126,6 ( ¤ 

(1*,1(&21752/02'8/( (&0 6<67(0:,5,1*',$*5$0


)URP0RGHO<HDU

/;WLI
( ¤  (0,66,21 $1' (/(&75,&$/ ',$*126,6

$8;,/,$5<(1*,1(&21752/6<67(0
(TXLSSHGZLWK([KDXVW*DV5HFLUFXODWLRQDQG9DULDEOH6ZLUO6\VWHP

/:WLI
(0,66,21 $1' (/(&75,&$/ ',$*126,6 ( ¤ 

$8;,/,$5<(1*,1(&21752/6<67(0
(TXLSSHGZLWKRXW([KDXVW*DV5HFLUFXODWLRQDQG9DULDEOH6ZLUO6\VWHP

/:WLI
( ¤  (0,66,21 $1' (/(&75,&$/ ',$*126,6

9$&8806:,7&+,1*9$/9( 969 &,5&8,7


(TXLSSHGZLWK([KDXVW*DV5HFLUFXODWLRQDQG9DULDEOH6ZLUO6\VWHP

/:WLI
(0,66,21 $1' (/(&75,&$/ ',$*126,6 ( ¤ 

9$&8806:,7&+,1*9$/9( 969 &,5&8,7


(TXLSSHGZLWKRXW([KDXVW*DV5HFLUFXODWLRQDQG9DULDEOH6ZLUO6\VWHP

/:WLI
( ¤  (0,66,21 $1' (/(&75,&$/ ',$*126,6

(;+$867%5$.($1'(1*,1(:$5083&21752/

 %DWWHULHV  &OXWFK 6ZLWFK 07 RQO\  (QJLQH &RRODQW 7HPSHUDWXUH
 )XVLEOH /LQN :LUH  $FFHOHUDWRU 6ZLWFK 6HQVRU
 &KDUJH 5HOD\  0DJQHWLF 9DOYH ([KDXVW %UDNH  (&0
 )XVH  9DFXXP 3XPS  9DFXXP &KDPEHU ,QWDNH 7KURWWOH
 ([KDXVW %UDNH 5HOD\  9DFXXP 7DQN  ,QWDNH WKURWWOH
 ([KDXVW %UDNH 6ZLWFK  9DFXXP &KDPEHU ([KDXVW %UDNH  0DJQHWLF 9DOYH ,QWDNH 7KURWWOH
 ,QGLFDWRU /LJKW  ([KDXVW %UDNH 9DOYH
 'LRGH  .H\ 6ZLWFK
 ([KDXVW %UDNH &RQWURO 5HOD\  (QJLQH :DUPLQJXS 6ZLWFK
 1HXWUDO 6ZLWFK 07  (QJLQH :DUPLQJ &XW 5HOD\
,QKLELWRU 6ZLWFK $7

$7 $XWRPDWLF 7UDQVPLVVLRQ


07 0DQXDO 7UDQVPLVVLRQ

/:WLI
(0,66,21 $1' (/(&75,&$/ ',$*126,6 ( ¤ 

'7&3(1*,1(&22/$177(03(5$785 (&7 6(1625&,5&8,7+,*+


92/7$*(

/:WLI
( ¤  (0,66,21 $1' (/(&75,&$/ ',$*126,6

$SSHDUDQFHRIZDWHUWHPSHUDWXUHVHQVRUDQGFRQQHFWRUSLQDVVLJQPHQW

/:WLI /:WLI
)LJXUH 7HPSHUDWXUH VHQVRU )LJXUH &RQQHFWRU SLQ DVVLJQPHQW

&RQQHFWRU 1R 6LJQDO

 7KHUPLVWRU IRU HQJLQH


 7KHUPLVWRU IRU HQJLQH
 7KHUPLVWRU IRU PHWHU

0HDVXUHUHVLVWDQFHDW(QJLQH&RRODQW7HPSHUDWXUH (&7 VHQVRU

/:WLI

&$87,21

:KHQ PHDVXULQJ UHVLVWDQFH ZLWK D FLUFXLW WHVWHU EH FDUHIXO QRW WR GDPDJH RU GHIRUP WKH WHUPLQDOV

5HVLVWDQFH YDOXH

5HVLVWDQFH 7HPSHUDWXUH
,QVSHFWLRQ 3RLQW 5HIHUHQFH
9DOXH RQ VHQVRU
&RQQHFWRU 3LQ 1R

 SLQ  mo  f  7KHUPLVWRU IRU (1*,1( mo 7KHUPLVWRU IRU PHWHU


%ODFN  mo  :
 N  ƒ& 7KHUPLVWRU IRU (1*,1(

 :  ƒ&

 mo %RG\ f  7KHUPLVWRU IRU (1*,1( mo %RG\


 mo  f  7KHUPLVWRU IRU (1*,1( mo 7KHUPLVWRU IRU PHWHU
 mo %RG\  :  ƒ& 7KHUPLVWRU IRU PHWHU (1*,1(

 mo %RG\ f  7KHUPLVWRU IRU (&0 mo %RG\


1RWH 5HVLVWDQFH YDOXH LV GLIIHUHQFH DFFRUGLQJ WR WKH WHPSHUDWXUH RI WHPSHUDWXUH VHQVRU
(0,66,21 $1' (/(&75,&$/ ',$*126,6 ( ¤ 

6WHS $FWLRQ 9DOXH V <HV 1R

 :DV WKH ¦RQERDUG GLDJQRVWLF 2%' V\VWHP FKHFN§  *R WR 6WHS  *R WR VHOI GLDJ
SHUIRUPHG" V\VWHP FKHFN

  ,JQLWLRQ ¦2))§ ƒ) *R WR 6WHS  *R WR 6WHS 


 'LVFRQQHFW (&7 VHQVRU HOHFWULFDO FRQQHFWRU ƒ&
 -XPSHU WKH (&7 VHQVRU VLJQDO FLUFXLW DQG WKH (&7
VHQVRU JURXQG FLUFXLW WRJHWKHU DW WKH (&7 VHQVRU
KDUQHVV FRQQHFWRU

 2EVHUYH WKH ¦(QJLQH FRRO WHPS§ GLVSOD\ RQ WKH VFDQ


WRRO
,V WKH ¦(QJLQH FRRO WHPS§ DW WKH VSHFLILHG YDOXH"

  ,JQLWLRQ ¦2))§ ƒ) *R WR 6WHS  *R WR 6WHS 


 -XPSHU WKH (&7 VLJQDO FLUFXLW DW WKH (&7 VHQVRU ƒ&
KDUQHVV FRQQHFWRU WR FKDVVLV JURXQG

 2EVHUYH WKH ¦(QJLQH FRRO WHPS§ GLVSOD\ RQ WKH VFDQ


WRRO
,V WKH ¦(QJLQH FRRO WHPS§ DW WKH VSHFLILHG YDOXH"

 &KHFN IRU SRRU FRQQHFWLRQ DW WKH (&7 VHQVRU DQG  *R WR 6WHS  *R WR 6WHS 
UHSODFH WHUPLQDOV LI QHFHVVDU\
'LG DQ\ WHUPLQDOV UHTXLUH UHSODFHPHQW"

  ,JQLWLRQ ¦2))§  *R WR 6WHS  *R WR 6WHS 


 'LVFRQQHFW WKH (&0 DQG FKHFN WKH (&7 VHQVRU
JURXQG FLUFXLW IRU DQ RSHQ

 ,I WKH (&7 VHQVRU JURXQG FLUFXLW LV RSHQ UHSDLU LW DV


QHFHVVDU\
:DV WKH (&7 VHQVRU JURXQG FLUFXLW RSHQ"

  ,JQLWLRQ ¦2))§  *R WR 6WHS  *R WR 6WHS 


 'LVFRQQHFW WKH (&0 DQG FKHFN WKH (&7 VHQVRU VLJQDO
FLUFXLW IRU DQ RSHQ

 ,I WKH (&7 VLJQDO FLUFXLW LV RSHQ UHSDLU LW DV


QHFHVVDU\
:DV WKH (&7 VHQVRU VLJQDO FLUFXLW RSHQ"

 &KHFN IRU SRRU VHQVRU JURXQG RU (&7 VHQVRU VLJQDO  *R WR 6WHS  *R WR 6WHS 
FLUFXLW WHUPLQDO FRQQHFWLRQ DW WKH (&8 DQG UHSODFH
WHUPLQDO V LI QHFHVVDU\
'LG DQ\ RI WKH WHUPLQDOV QHHG WR EH UHSODFHG"

  ,JQLWLRQ ¦2))§  *R WR 6WHS  

 5HSODFH WKH (&7 6HQVRU


,V WKH DFWLRQ FRPSOHWH"

  5HSODFH WKH (&0  *R WR 6WHS  


,V WKH DFWLRQ FRPSOHWH"

  5HFRQQHFW DOO WKH FRQQHFWRUV UHPRYHG  *R WR 6WHS  *R WR 6WHS 

 ,JQLWLRQ ¦21§ (QJLQH ¦2))§


,V '7&  DOO ULJKW XQGHU 6FDQ 7RRO &KHFN"

 ,V DQ\ FXUUHQW WURXEOH RWKHU WKDQ '7&  GLVSOD\HG E\  *R WR WURXEOH 7URXEOH FRGH
VFDQ WRRO" FRGH VHFWLRQ FOHDU
( ¤  (0,66,21 $1' (/(&75,&$/ ',$*126,6

'7&3(1*,1(&22/$177(03(5$785( (&7 6(1625&,5&8,7/2:


92/7$*(

/:WLI
(0,66,21 $1' (/(&75,&$/ ',$*126,6 ( ¤ 

$SSHDUDQFHRIZDWHUWHPSHUDWXUHVHQVRUDQGFRQQHFWRUSLQDVVLJQPHQW

/:WLI /:WLI
)LJXUH 7HPSHUDWXUH VHQVRU )LJXUH &RQQHFWRU SLQ DVVLJQPHQW

&RQQHFWRU 1R 6LJQDO

 7KHUPLVWRU IRU HQJLQH


 7KHUPLVWRU IRU HQJLQH
 7KHUPLVWRU IRU PHWHU

0HDVXUHUHVLVWDQFHDW(QJLQH&RRODQW7HPSHUDWXUH (&7 VHQVRU

/:WLI

&$87,21

:KHQ PHDVXULQJ UHVLVWDQFH ZLWK D FLUFXLW WHVWHU EH FDUHIXO QRW WR GDPDJH RU GHIRUP WKH WHUPLQDOV

5HVLVWDQFH YDOXH

,QVSHFWLRQ 3RLQW 5HVLVWDQFH 7HPSHUDWXUH


5HIHUHQFH
&RQQHFWRU 3LQ 1R 9DOXH RQ VHQVRU

 SLQ  mo  f  7KHUPLVWRU IRU (1*,1( mo 7KHUPLVWRU IRU PHWHU


%ODFN  mo   N :  ƒ& 7KHUPLVWRU IRU (1*,1(

 :  ƒ&

 mo %RG\ f  7KHUPLVWRU IRU (1*,1( mo %RG\


 mo  f  7KHUPLVWRU IRU (1*,1( mo 7KHUPLVWRU IRU PHWHU

 mo %RG\  :  ƒ& 7KHUPLVWRU IRU PHWHU (1*,1(

 mo %RG\ f  7KHUPLVWRU IRU (&0 mo %RG\


1RWH 5HVLVWDQFH YDOXH LV GLIIHUHQFH DFFRUGLQJ WR WKH WHPSHUDWXUH RI WHPSHUDWXUH VHQVRU
( ¤  (0,66,21 $1' (/(&75,&$/ ',$*126,6

6WHS $FWLRQ 9DOXH V <HV 1R

 :DV WKH ¦RQERDUG GLDJQRVWLF 2%' V\VWHP FKHFN§  *R WR 6WHS  *R WR VHOI GLDJ
SHUIRUPHG" V\VWHP FKHFN

  ,JQLWLRQ ¦2))§  *R WR 6WHS  *R WR 6WHS 

 'LVFRQQHFW WKH (&7 VHQVRU

 ,JQLWLRQ ¦21§ (QJLQH ¦2))§

 6HH VFDQ 7RRO 'LVSOD\ DQG ,JQRUH WURXEOH FRGH 

 'RHV FRGH  VWLOO UHPDLQ IDXOW\"

  ,JQLWLRQ ¦2))§  *R WR 6WHS  *R WR 6WHS 

 &KHFN &RQQHFWRU (&7 6HQVRU +DUQHVV IRU


LQWHUWHUPLQDO VKRUW

 5HSDLU LI QHFHVVDU\
:DV (&7 6HQVRU FRQQHFWRU VKRUWHG"

  ,JQLWLRQ ¦2))§  *R WR 6WHS  *R WR 6WHS 

 &KHFN WKH (&0 FRQQHFWRU WHUPLQDO VKRUW"

 5HSDLU LI QHFHVVDU\
:DV (&0 WHUPLQDO VKRUWHG"

  'LVFRQQHFW WKH (&0  *R WR 6WHS  *R WR 6WHS 

 &KHFN LI (&7 VHQVRU VLJQDO FLUFXLW IRU D VKRUW WR JURXQG


RU D VKRUW WR JURXQG FLUFXLW

 5HSDLU LI QHFHVVDU\
,V (&7 VHQVRU VLJQDO FLUFXLW VKRUWHG WR JURXQG

  ,JQLWLRQ ¦2))§  *R WR 6WHS  

 5HSODFH WKH (&7 6HQVRU


,V WKH DFWLRQ FRPSOHWH"

  5HSODFH WKH (&0  *R WR 6WHS  


,V WKH DFWLRQ FRPSOHWH"

  5HFRQQHFW DOO WKH FRQQHFWRUV UHPRYHG  *R WR 6WHS  *R WR 6WHS 

 ,JQLWLRQ ¦21§ (QJLQH ¦2))§


,V '7&  DOO ULJKW XQGHU 6FDQ 7RRO &KHFN"

 ,V DQ\ FXUUHQW WURXEOH RWKHU WKDQ '7&  GLVSOD\HG E\  *R WR WURXEOH 7URXEOH


VFDQ WRRO" FRGH VHFWLRQ FRGH FOHDU
(0,66,21 $1' (/(&75,&$/ ',$*126,6 ( ¤ 

'7&35$&.6(1625&,5&8,7/2:92/7$*(

/:WLI
( ¤  (0,66,21 $1' (/(&75,&$/ ',$*126,6

/RFDWLRQRI5DFNVHQVRUFRQQHFWRU

/:WLI

&RQQHFWRUQDPHRI5DFNVHQVRU

/:WLI

127( 0DUN ¦ § RQ FRQQHFWRU ZKLFK LV SOXJJHG WKHUHIRUH VKRXOG EH FRQILUPHG WR EH SOD\HG

5HODWLRQEHWZHHQFRQQHFWRUQXPEHUDQGVLJQDOQDPH

&RQQHFWRU 1R 6LJQDO QDPH :LUH FRORU

 5DFN VHQVRU 26& 5


 5DFN VHQVRU 0'/ :
 5DFN VHQVRU *1' %
(0,66,21 $1' (/(&75,&$/ ',$*126,6 ( ¤ 

6WHS $FWLRQ 9DOXH V <HV 1R

 :DV WKH ¦RQERDUG GLDJQRVWLF 2%' V\VWHP FKHFN§  *R WR 6WHS  *R WR VHOI GLDJ
SHUIRUPHG" V\VWHP FKHFN

  &KHFN KDUQHVV VLGH SRZHU VRXUFH FLUFXLW DQG VLJQDO  *R WR 6WHS  *R WR 6WHS 
FLUFXLW IRU *1' VKRUW

 5HSDLU LI QHFHVVDU\

 +DV '7& EHHQ FRUUHFWHG"

 'LVFRQQHFW 6HQVRU &RQQHFWRU  *R WR 6WHS  *R WR 6WHS 


-XPSHU 5$&. DQG 5$&. VLJ
)UHH IURP WURXEOH QRZ"
,JQRUH FRGH 

  $SSO\ 9 WR 5$&. 7(50,1$/ 9 *R WR 6WHS  *R WR 6WHS 


0HDVXUH 5$&. 6,* 9ROWDJH ,GOLQJ
,V 5$&. 6,* 92/7$*( DV VSHFLILHG" VSHHG

  &KHFN 5DFN 6HQVRU +DUQHVV 6LJQDO &LUFXLW DQG SRZHU  *R WR 6WHS  *R WR 6WHS 
VRXUFH IRU *1' VKRUW &KHFN VLJQDO FLUFXLW IRU
GLVFRQQHFW

 5HSDLU LI QHFHVVDU\

 )UHH IURP WURXEOH QRZ"

  &KHFN KDUQHVV VLJQDO FLUFXLW DQG SRZHU VRXUFH FLUFXLW  *R WR 6WHS  *R WR 6WHS 
IRU GLVFRQQHFW

 5HSDLU LI QHFHVVDU\

 )UHH IURP WURXEOH QRZ"

  &KHFN WKH LURQ FRUH RI 5$&. 6HQVRU IRU GDPDJH  *R WR 6WHS  *R WR 6WHS 
VHL]XUH DQG ZHDU

 $IWHU FKHFN UHSDLU LI QHFHVVDU\


:DV WKHUH DQ\ WURXEOH LQ WKH LURQ FRUH 5$&. HQG
LQVLGH 5$&. 6HQVRU"

 5HSODFHG 5$&. 6HQVRU"  *R WR 6WHS  

  5HSODFH WKH (&0  *R WR 6WHS  


,V WKH DFWLRQ FRPSOHWH"

  5HFRQQHFW DOO WKH FRQQHFWRUV UHPRYHG  *R WR 6WHS  *R WR 6WHS 

 ,JQLWLRQ 21 (QJLQH ¦2))§


,V '7&  DOO ULJKW XQGHU 6FDQ 7RRO &KHFN"

 ,V DQ\ FXUUHQW WURXEOH RWKHU WKDQ '7&  GLVSOD\HG E\  *R WR WURXEOH 7URXEOH FRGH
VFDQ WRRO" FRGH VHFWLRQ FOHDU
( ¤  (0,66,21 $1' (/(&75,&$/ ',$*126,6

'7&35$&.6(1625&,5&8,7+,*+92/7$*(

/:WLI
(0,66,21 $1' (/(&75,&$/ ',$*126,6 ( ¤ 

/RFDWLRQRI5DFNVHQVRUFRQQHFWRU

/:WLI

&RQQHFWRUQDPHRI5DFNVHQVRU

/:WLI

127( 0DUN ¦ ¦ RQ FRQQHFWRU ZKLFK LV SOXJJHG WKHUHIRUH VKRXOG EH FRQILUPHG WR EH SOD\HG

5HODWLRQEHWZHHQFRQQHFWRUQXPEHUDQGVLJQDOQDPH

&RQQHFWRU 1R 6LJQDO QDPH :LUH FRORU

 5DFN VHQVRU 26& 5


 5DFN VHQVRU 0'/ :
 5DFN VHQVRU *1' %
( ¤  (0,66,21 $1' (/(&75,&$/ ',$*126,6

6WHS $FWLRQ 9DOXH V <HV 1R

 :DV WKH ¦RQERDUG GLDJQRVWLF 2%' V\VWHP FKHFN§  *R WR 6WHS  *R WR VHOI GLDJ
SHUIRUPHG" V\VWHP FKHFN

 5HPRYH 6HQVRU &RQQHFWRU  *R WR 6WHS  *R WR 6WHS 


+DV '7& EHHQ FRUUHFWHG" ,JQRUH '7&

  -XPS EHWZHHQ +DUQHVV VLJQDO 7HUPLQDO DQG *1'  *R WR 6WHS  *R WR 6WHS 


WHUPLQDO DW WKH 6HQVRU VLGH RI &RQQHFWRU

 ,JQLWLRQ ¦21§
+DV '7& EHHQ FRUUHFWHG"

  &KHFN 6HQVRU &RQQHFWRU IRU LQWHU WHUPLQDO VKRUW  *R WR 6WHS  *R WR 6WHS 


$IWHU FKHFN UHSDLU LI QHFHVVDU\
:DV &RQQHFWRU 7HUPLQDO VKRUWHG"

  &KHFN *1' &LUFXLW IRU GLVFRQQHFW  *R WR 6WHS  *R WR 6WHS 


$IWHU FKHFN UHSDLU LI QHFHVVDU\
,V *1' FLUFXLW GLVFRQQHFW"

  &KHFN 6HQVRU +DUQHVV VLJQDO FLUFXLW DQG SRZHU  *R WR 6WHS  *R WR 6WHS 


VRXUFH FLUFXLW IRU VKRUW
$IWHU FKHFN UHSDLU LI QHFHVVDU\
:DV +DUQHVV VKRUWHG"

  &KHFN +DUQHVV VLJQDO FLUFXLW DQG SRZHU VRXUFH IRU  *R WR 6WHS  *R WR 6WHS 
VKRUW
$IWHU FKHFN UHSDLU LI QHFHVVDU\
:DV +DUQHVV VKRUWHG"

  $SSO\ 9 WR 5$&. 7(50,1$/ 9 *R WR 6WHS  *R WR 6WHS 

 0HDVXUH 5$&. 6,* 9ROWDJH ,GOLQJ

,V 5$&. 6,* 92/7$*( DV VSHFLILHG" VSHHG

  &KHFN WKH LURQ FRUH RI 5$&. 6HQVRU IRU GDPDJH  *R WR 6WHS  *R WR 6WHS 
VHL]XUH DQG ZHDU

 $IWHU FKHFN UHSDLU LI QHFHVVDU\


:DV WKHUH DQ\ WURXEOH LQ WKH LURQ FRUH 5$&. HQG
LQVLGH 5$&. 6HQVRU"

 5HSODFHG VHQVRU  *R WR 6WHS  


:DV 6HQVRU UHSODFHG"

 5HSODFH WKH (&0  *R WR 6WHS  


,V WKH DFWLRQ FRPSOHWH"

  5HFRQQHFW DOO WKH FRQQHFWRUV UHPRYHG  *R WR 6WHS  *R WR 6WHS 

 ,JQLWLRQ ¦21§ (QJLQH ¦2))§


,V '7& DOO ULJKW XQGHU 6FDQ 7RRO &KHFN"

 ,V DQ\ FXUUHQW WURXEOH RWKHU WKDQ '7&  GLVSOD\HG E\  *R WR WURXEOH 7URXEOH FRGH
VFDQ WRRO" FRGH VHFWLRQ FOHDU
(0,66,21 $1' (/(&75,&$/ ',$*126,6 ( ¤ 

'7&362/(12,'6:,7&+&21752/&,5&8,7/2:92/7$*(

/<
( ¤  (0,66,21 $1' (/(&75,&$/ ',$*126,6

/RFDWLRQRIUHOD\

/:WLI
(0,66,21 $1' (/(&75,&$/ ',$*126,6 ( ¤ 

,QVSHFWLRQIRU7LPLQJ$GYDQFH6ROHQRLG6ZLWFKFXWUHOD\

/:WLI WLI )+9WLI

5HVLVWDQFHYDOXH

,QVSHFWLRQ 3RLQW 5HVLVWDQFH 5HIHUHQFH

,QVSHFWLRQ  mo  : IRU  YROW


 WR 
UHOD\ XQLW : IRU  YROW
 WR 

 mo  f 1RW EH VXSSOLHG HOHFWULFLW\

%HORZ  : %H VXSSOLHG HOHFWULFLW\

 mo  %HORZ  : %H VXSSOLHG HOHFWULFLW\

f 1RW EH VXSSOLHG HOHFWULFLW\


( ¤  (0,66,21 $1' (/(&75,&$/ ',$*126,6

6WHS $FWLRQ 9DOXH V <HV 1R

 :DV WKH ¦RQERDUG GLDJQRVWLF 2%' V\VWHP FKHFN§  *R WR 6WHS  *R WR VHOI GLDJ
SHUIRUPHG" V\VWHP FKHFN

  ,JQLWLRQ ¦2))§ (QJLQH ¦21§  *R WR 6WHS  *R WR 6WHS 

 -XPSHU WKH PDJQHWLF VZLWFK 5HOD\ JURXQG FLUFXLW DW


WKH 5HOD\ FRQQHFWRU WR FKDVVLV JURXQG

 2EVHUYH WKH ¦5HOD\ VROHQRLG VZLWFK§ FLUFXLW RSHQ


VWDWXV RQ WKH VFDQ WRRO
+DV '7& EHHQ FRUUHFWHG"

  &KHFN IRU SRRU FRQQHFWRU DW WKH 5HOD\ FRQQHFWRU DQG  *R WR 6WHS  *R WR 6WHS 
UHSODFH WKH WHUPLQDOV LI QHFHVVDU\
'LG DQ\ WHUPLQDOV UHTXLUH UHSODFHPHQW"

  &KHFN WKH 5HOD\ JURXQG FLUFXLW IRU DQ RSHQ  *R WR 6WHS  *R WR 6WHS 

 ,I WKH 5HOD\ JURXQG FLUFXLW LV RSHQ UHSDLU LW DV


QHFHVVDU\
:DV WKH 5HOD\ JURXQG FLUFXLW RSHQ"

  ,JQLWLRQ ¦2))§ ZLWK VFDQ WRRO GLVFRQQHFWHG 9 RU *R WR 6WHS  *R WR 6WHS 

 'LVFRQQHFW WKH 6ROHQRLG VZLWFK 5HOD\ FRQQHFWRU OLJKW ¦21§


IRU  9ROW
 $SSO\ D FLUFXLW WHVWHU ZLWK YROWDJH UDQJH RU D WHVW OLJKW
WR WKH RXWSXW OLQH IRU WKH 5HOD\ 9 RU
OLJKW ¦21§
 ,JQLWLRQ ¦21§ 0HDVXUH WKH YROWDJH RU FKHFN WKH WHVW
IRU  9ROW
OLJKW ¦21§ ,JQLWLRQ ¦2))§

  ,JQLWLRQ ¦21§  *R WR 6WHS  *R WR 6WHS 

 'LVFRQQHFW (&0 DQG FKHFN IRU WKH 5HOD\ VLJQDO


FLUFXLW WHUPLQDO FRQQHFWRU DW WKH (&0 DQG FOHDQ RU
UHSODFH WHUPLQDO LI QHFHVVDU\
'LG DQ\ WHUPLQDOV QHHG WR EH UHSDLUHG"

  &KHFN WKH 5HOD\ VLJQDO FLUFXLW IRU DQ RSHQ  *R WR 6WHS  *R WR 6WHS 

 ,I WKH 5HOD\ VLJQDO FLUFXLW LV RSHQ UHSDLU LW DV


QHFHVVDU\
:DV WKH 5HOD\ VLJQDO FLUFXLW RSHQ"

  'LVFRQQHFW WKH 5HOD\ a : *R WR 6WHS  *R WR 6WHS 

 0HDVXUH WKH UHVLVWDQFH EHWZHHQ WKH FRLO FLUFXLW IRU  9ROW

WHUPLQDOV RI WKH 5HOD\ a :


,V WKH UHVLVWDQFH ZLWKLQ VSHFLILF YDOXH" IRU  9ROW

  5HSODFH WKH 5HOD\  *R WR 6WHS  


,V WKH DFWLRQ FRPSOHWH"

  5HSODFH WKH (&0  *R WR 6WHS  


,V WKH DFWLRQ FRPSOHWH"

  5HFRQQHFW DOO WKH FRQQHFWRUV UHPRYHG  *R WR 6WHS  *R WR 6WHS 

 ,JQLWLRQ ¦21§ (QJLQH ¦2))§

 ,JQLWLRQ ¦2))§ DIWHU  VHF

 ,QVWDOO 6FDQ WRRO


,V '7&  DOO ULJKW XQGHU 6FDQ 7RRO &KHFN"

 ,V DQ\ RWKHU WURXEOH WKHP  GLVSOD\HG E\ VFDQ WRRO"  *R WR WURXEOH 7URXEOH FRGH
FRGH VHFWLRQ FOHDU
(0,66,21 $1' (/(&75,&$/ ',$*126,6 ( ¤ 

'7&362/(12,'6:,7&+&21752/&,5&8,7+,*+92/7$*(

/<
( ¤  (0,66,21 $1' (/(&75,&$/ ',$*126,6

/RFDWLRQRIUHOD\

/:WLI
(0,66,21 $1' (/(&75,&$/ ',$*126,6 ( ¤ 

,QVSHFWLRQIRU7LPLQJ$GYDQFH6ROHQRLG6ZLWFKFXWUHOD\

/:WLI WLI )+9WLI

5HVLVWDQFHYDOXH

,QVSHFWLRQ 3RLQW 5HVLVWDQFH 5HIHUHQFH

,QVSHFWLRQ  mo  : IRU  YROW


 WR 
UHOD\ XQLW : IRU  YROW
 WR 

 mo  f 1RW EH VXSSOLHG HOHFWULFLW\

%HORZ  : %H VXSSOLHG HOHFWULFLW\

 mo  %HORZ  : %H VXSSOLHG HOHFWULFLW\

f 1RW EH VXSSOLHG HOHFWULFLW\


( ¤  (0,66,21 $1' (/(&75,&$/ ',$*126,6

6WHS $FWLRQ 9DOXH V <HV 1R

 :DV WKH ¦RQERDUG GLDJQRVWLF 2%' V\VWHP FKHFN§  *R WR 6WHS  *R WR VHOI GLDJ
SHUIRUPHG" V\VWHP FKHFN

  ,JQLWLRQ ¦2))§ ZLWK VFDQ WRRO GLVFRQQHFWHG 9 RU *R WR 6WHS  *R WR 6WHS 

 'LVFRQQHFW WKH 5HOD\ VROHQRLG VZLWFK IURP WKH 5HOD\ OLJKW ¦21§

ER[ IRU  9ROW

 $SSO\ D FLUFXLW WHVWHU ZLWK WKH YROWDJH UDQJH RU D WHVW


9 RU
OLJKW WR WKH RXWSXW FLUFXLW IRU WKH 5HOD\
OLJKW ¦21§
 ,JQLWLRQ ¦21§ (QJLQH ¦2))§
IRU  9ROW
,V YROWDJH DV SUHVFULEHG RU LV WHVW /LJKW OLW XQWLOV 
VHF"

  ,JQLWLRQ ¦2))§  *R WR 6WHS  *R WR 6WHS 

 &KHFN LI WKHUH LV QR VKRUW EHWZHHQ 5HOD\ %R[


7HUPLQDOV

 5HSDLU LI QHFHVVDU\
6KRUWHG EHWZHHQ 5HOD\ %R[ 7HUPLQDOV"

  'LVFRQQHFW WKH (&0  *R WR 6WHS  *R WR 6WHS 

 &KHFN LI 5HOD\ 6LJ &LUFXLW IRU D VKRUW WR &KDVVLV*1'


RU VKRUW WR YROWDJH

 5HSDLU LI QHFHVVDU\
:DV 5HOD\ VLJQDO FLUFXLW VKRUWHG"

  'LVFRQQHFW WKH 5HOD\ a : *R WR 6WHS  *R WR 6WHS 

 0HDVXUH WKH UHVLVWDQFH EHWZHHQ WKH FRLO FLUFXLW IRU  9ROW

WHUPLQDO RI WKH 5HOD\ a :


,V WKH UHVLVWDQFH ZLWK LQ VSHFLILF YDOYH IRU  9ROW

  ,JQLWLRQ ¦2))§  *R WR 6WHS  

 5HSODFH WKH 5HOD\


,V WKH DFWLRQ FRPSOHWH"

  ,JQLWLRQ ¦21§  *R WR 6WHS  

 5HSODFH WKH (&0


,V WKH DFWLRQ FRPSOHWH"

  5HFRQQHFW DOO WKH FRQQHFWRUV UHPRYHG  *R WR 6WHS  *R WR 6WHS 

 ,JQLWLRQ ¦21§ (QJLQH 2)) DQG ,JQLWLRQ RII DIWHU VHF

 ,QVWDOO 6FDQ WRRO

 ,JQLWLRQ ¦21§ (QJLQH ¦2))§


,V '7&  DOO ULJKW XQGHU 6FDQ 7RRO &KHFN"

 ,V DQ\ FXUUHQW WURXEOH RWKHU WKDQ '7&  GLVSOD\HG E\  *R WR WURXEOH 7URXEOH


VFDQ WRRO" FRGH VHFWLRQ FRGH FOHDU
(0,66,21 $1' (/(&75,&$/ ',$*126,6 ( ¤ 

'7&348,&.:$506<67(0 4:6 5(/$<&21752/&,5&8,7+,*+


92/7$*(

/:WLI
( ¤  (0,66,21 $1' (/(&75,&$/ ',$*126,6

/RFDWLRQRIUHOD\

/:WLI
(0,66,21 $1' (/(&75,&$/ ',$*126,6 ( ¤ 

,QVSHFWLRQIRU4XLFN:DUP6\VWHP 4:6 FXWUHOD\

/; WLI )+9WLI

5HVLVWDQFHYDOXH

,QVSHFWLRQ 3RLQW 5HVLVWDQFH 5HIHUHQFH

,QVSHFWLRQ  mo  : IRU  YROW


 WR 
UHOD\ XQLW : IRU  YROW
 WR 

 mo  f 1RW EH VXSSOLHG HOHFWULFLW\

%HORZ  : %H VXSSOLHG HOHFWULFLW\

 mo  %HORZ  : %H VXSSOLHG HOHFWULFLW\

f 1RW EH VXSSOLHG HOHFWULFLW\


( ¤  (0,66,21 $1' (/(&75,&$/ ',$*126,6

6WHS $FWLRQ 9DOXH V <HV 1R

 :DV WKH ¦RQERDUG GLDJQRVWLF 2%' V\VWHP FKHFN§  *R WR 6WHS  *R WR VHOI GLDJ
SHUIRUPHG" V\VWHP FKHFN

 8VLQJ WKH '90 FKHFN WKH UHVLVWDQFH RI LQWHU ¦§ ¦§ a : *R WR 6WHS  *R WR 6WHS 
WHUPLQDO IRU  9ROW
'RHV WKH '90 UHDG WKH IROORZLQJ 9DOXH" a :
IRU  9ROW

  ,JQLWLRQ ¦2))§  *R WR 6WHS  *R WR 6WHS 

 'LVFRQQHFW WKH (&0 FRQQHFWRU IURP (&0

 &KHFN WKH VKRUW WR YROWDJH RI 5HOD\ FLUFXLW EHWZHHQ WKH


(&0 DQG 5HOD\ FRQQHFWRU

 5HSDLU LI QHFHVVDU\
+DV '7&  EHHQ FRUUHFWHG"

 5HSODFH WKH 5HOD\  *R WR 6WHS  


,V WKH DFWLRQ FRPSOHWH"

 5HSODFH WKH (&0  *R WR 6WHS  


,V WKH DFWLRQ FRPSOHWH"

  5HFRQQHFW DOO WKH FRQQHFWRUV UHPRYHG  *R WR 6WHS  *R WR 6WHS 

 ,JQLWLRQ ¦21§ (QJLQH ¦2))§


,V '7&  DOO ULJKW XQGHU 6FDQ 7RRO &KHFN"

 ,V DQ\ FXUUHQW WURXEOH RWKHU WKDQ '7&  GLVSOD\HG E\  *R WR WURXEOH 7URXEOH FRGH
VFDQ WRRO" FRGH VHFWLRQ FOHDU
(0,66,21 $1' (/(&75,&$/ ',$*126,6 ( ¤ 

'7&3(;+$867*$65(&,5&8/$7,21 (*5 (/(&7521,&9$&880


5(*8/$7,1*9$/9( (959 62/(12,'&21752//2:92/7$*(

/:WLI
( ¤  (0,66,21 $1' (/(&75,&$/ ',$*126,6

$SSHDUDQFHRI(OHFWURQLF9DFXXP5HJXODWLQJ9DOYH (959 ([KDXVW*DV5HFLUFXODWLRQ


(*5 VHQVRUDQGFRQQHFWRUQDPH

)LJXUH (959(*5 /:WLI


)LJXUH (959(*5 FRQQHFWRU /:WLI

&RQQHFWRU 1R 6LJQDO

 *1'
 6,*

0HDVXUHUHVLVWDQFHDW(959(*5

/<

&$87,21

:KHQ PHDVXULQJ UHVLVWDQFH ZLWK D FLUFXLW WHVWHU EH FDUHIXO QRW WR GDPDJH RU GHIRUP WKH WHUPLQDOV

5HVLVWDQFH YDOXH

,QVSHFWLRQ 3RLQW 5HVLVWDQFH 9DOXH

&RQQHFWRU 3LQ 1R :


N
5HIHUHQFH

 SLQ  mo  ‘ IRU  YROW 6,* mo *1'


%ODFN ‘ IRU  YROW

 mo %RG\ f 6,* mo %RG\


1RWH 5HVLVWDQFH YDOXH LV GLIIHUHQFH DFFRUGLQJ WR WKH HQJLQH WHPSHUDWXUH FRQGLWLRQ RI HQJLQH
ZDUPLQJ XS
(0,66,21 $1' (/(&75,&$/ ',$*126,6 ( ¤ 

6WHS $FWLRQ 9DOXH V <HV 1R

 :DV WKH ¦RQERDUG GLDJQRVWLF 2%' V\VWHP FKHFN§  *R WR 6WHS  *R WR VHOI GLDJ
SHUIRUPHG" V\VWHP FKHFN

  ,JQLWLRQ ¦2))§  *R WR 6WHS  *R WR 6WHS 

 'LVFRQQHFW WKH (959 IURP WKH ZLULQJ KDUQHVV


FRQQHFWRU

 &KHFN WKH (959 VLJQDO FLUFXLW EHWZHHQ WKH (959


FRQQHFWRU DQG WKH (&0 IRU WKH IROORZLQJ FRQGLWLRQ

$ VKRUW WR JURXQG

$Q RSHQ FLUFXLW

 5HSDLU LI QHFHVVDU\
+DV '7& EHHQ FRUUHFWHG"

 8VLQJ WKH '90 FKHFN WKH UHVLVWDQFH RI WKH (959  : *R WR 6WHS  *R WR 6WHS 
'RHV WKH '90 UHDG WKH IROORZLQJ 9DOXH" IRU  9ROW
 :
IRU  9ROW

  ,JQLWLRQ ¦2))§  *R WR 6WHS  *R WR 6WHS 

 &KHFN DQ RSHQ FLUFXLW RI WKH (959 JURXQG FLUFXLW


EHWZHHQ WKH (&0 DQG (959 FRQQHFWRU

 5HSDLU LI QHFHVVDU\
+DV '7& EHHQ FRUUHFWHG"

 5HSODFH WKH (959  *R WR 6WHS  *R WR 6WHS 


,V WKH DFWLRQ FRPSOHWH"

 5HSODFH WKH (&0  *R WR 6WHS  


,V WKH DFWLRQ FRPSOHWH"

  5HFRQQHFW DOO WKH FRQQHFWRUV UHPRYHG  *R WR 6WHS  *R WR 6WHS 

 ,JQLWLRQ ¦21§ (QJLQH ¦2))§


,V '7& DOO ULJKW XQGHU 6FDQ 7RRO &KHFN"

 ,V DQ\ FXUUHQW WURXEOH RWKHU WKDQ '7& GLVSOD\HG E\  *R WR WURXEOH 7URXEOH FRGH
VFDQ WRRO" FRGH VHFWLRQ FOHDU
( ¤  (0,66,21 $1' (/(&75,&$/ ',$*126,6

'7&3(;+$867*$65(&,5&85$7,21 (*5 (/(&7521,&9$&880


5(*8/$7,1*9$/9( (959 62/(12,'&21752/+,*+92/7$*(

/:WLI
(0,66,21 $1' (/(&75,&$/ ',$*126,6 ( ¤ 

$SSHDUDQFHRI(OHFWURQLF9DFXXP5HJXODWLQJ9DOYH (959 ([KDXVW*DV5HFLUFXODWLRQ


(*5 DQGFRQQHFWRUQDPH

/:WLI /:WLI
)LJXUH (959(*5 )LJXUH (959(*5 FRQQHFWRU

&RQQHFWRU 1R 6LJQDO

 *1'
 6,*

0HDVXUHUHVLVWDQFHDW(959(*5

/<

&$87,21

:KHQ PHDVXULQJ UHVLVWDQFH ZLWK D FLUFXLW WHVWHU EH FDUHIXO QRW WR GDPDJH RU GHIRUP WKH WHUPLQDOV

5HVLVWDQFH YDOXH

,QVSHFWLRQ 3RLQW 5HVLVWDQFH 9DOXH

&RQQHFWRU 3LQ 1R :


N
5HIHUHQFH

 SLQ  mo  ‘ IRU  YROW 6,* mo *1'


%ODFN ‘ IRU  YROW

 mo %RG\ f 6,* mo %RG\


1RWH 5HVLVWDQFH YDOXH LV GLIIHUHQFH DFFRUGLQJ WR WKH HQJLQH WHPSHUDWXUH FRQGLWLRQ RI HQJLQH
ZDUPLQJ XS
( ¤  (0,66,21 $1' (/(&75,&$/ ',$*126,6

6WHS $FWLRQ 9DOXH V <HV 1R

 :DV WKH ¦RQERDUG GLDJQRVWLF 2%' V\VWHP FKHFN§  *R WR 6WHS  *R WR VHOI GLDJ
SHUIRUPHG" V\VWHP FKHFN

  ,JQLWLRQ ¦2))§  *R WR 6WHS  *R WR 6WHS 

 'LVFRQQHFW WKH (959 IURP WKH ZLULQJ KDUQHVV


FRQQHFWRU

 &KHFN D VKRUW WR YROWDJH RI WKH (959 VLJQDO FLUFXLW


DQG *1' FLUFXLW EHWZHHQ WKH (959 FRQQHFWRU DQG WKH
(&0

 5HSDLU LI QHFHVVDU\
+DV '7& EHHQ FRUUHFWHG"

  ,JQLWLRQ ¦2))§  *R WR 6WHS  *R WR 6WHS 

 'LVFRQQHFW WKH (&0 FRQQHFWRU IURP (&0

 &KHFN WKH VKRUW WR YROWDJH RI (959 FLUFXLW EHWZHHQ


WKH (&0 DQG (959 FRQQHFWRU

 5HSDLU LI QHFHVVDU\
+DV '7& EHHQ FRUUHFWHG"

 5HSODFH WKH (&0 *R WR 6WHS  


,V WKH DFWLRQ FRPSOHWH"

  5HFRQQHFW DOO WKH FRQQHFWRUV UHPRYHG  *R WR 6WHS  *R WR 6WHS 

 ,JQLWLRQ ¦21§ (QJLQH ¦2))§


,V '7& DOO ULJKW XQGHU 6FDQ 7RRO &KHFN"

 ,V DQ\ FXUUHQW WURXEOH RWKHU WKDQ '7& GLVSOD\HG E\  *R WR WURXEOH 7URXEOH FRGH
VFDQ WRRO" FRGH VHFWLRQ FOHDU
(0,66,21 $1' (/(&75,&$/ ',$*126,6 ( ¤ 

'7&39$5,$%/(6:,5/6<67(0 966 &21752/&,5&8,7/2:


92/7$*(

/:WLI
( ¤  (0,66,21 $1' (/(&75,&$/ ',$*126,6

$SSHDUDQFHRI969IRU966DQGFRQQHFWRUQDPH

/:WLI
)LJXUH 969 IRU 966 )LJXUH 969 FRQQHFWRU /<

&RQQHFWRU 1R 6LJQDO

 6,*
 *1'

0HDVXUHUHVLVWDQFHDW969IRU966

/:WLI

&$87,21

:KHQ PHDVXULQJ UHVLVWDQFH ZLWK D FLUFXLW WHVWHU EH FDUHIXO QRW WR GDPDJH RU GHIRUP WKH WHUPLQDOV

5HVLVWDQFH YDOXH

,QVSHFWLRQ 3RLQW 5HVLVWDQFH 9DOXH

&RQQHFWRU 3LQ 1R :


N
5HIHUHQFH

 SLQ  mo   WR  IRU  YROW 6,* mo *1'


*UD\  WR  IRU  YROW

 mo %RG\ f 6,* mo %RG\


1RWH 5HVLVWDQFH YDOXH LV GLIIHUHQFH DFFRUGLQJ WR WKH HQJLQH WHPSHUDWXUH FRQGLWLRQ RI HQJLQH
ZDUPLQJ XS
(0,66,21 $1' (/(&75,&$/ ',$*126,6 ( ¤ 

6WHS $FWLRQ 9DOXH V <HV 1R

 :DV WKH ¦RQERDUG GLDJQRVWLF 2%' V\VWHP FKHFN§  *R WR 6WHS  *R WR VHOI GLDJ
SHUIRUPHG" V\VWHP FKHFN

  ,JQLWLRQ ¦2))§  9ROW *R WR 6WHS  *R WR 6WHS 

 'LVFRQQHFW WKH 969 IURP WKH ZLULQJ KDUQHVV RU

FRQQHFWRU  9ROW

 ,JQLWLRQ ¦21§ (QJLQH ¦2))§

 8VLQJ WKH 'LJLWDO 9ROWPHWHU '90  FKHFN IRU YROWDJH


RQ WKH ¦,&§ RI WKH 969 KDUQHVV FRQQHFWRU
'RHV WKH '90 UHDG WKH IROORZLQJ YDOXH"

  &KHFN WKH VXVSHFW FLUFXLW EHWZHHQ WKH 969 FRQQHFWRU  *R WR 6WHS  


DQG ¦(QJLQH ,JQLWLRQ§
)XVH IRU WKH IROORZLQJ FRQGLWLRQ

$ VKRUW WR JURXQG

$Q RSHQ FLUFXLW

 5HSDLU LI QHFHVVDU\
+DV '7&  EHHQ FRUUHFWHG"

 8VLQJ WKH '90 FKHFN WKH UHVLVWDQFH RI WKH 969  a  : *R WR 6WHS  *R WR 6WHS 
'RHV WKH '90 UHDG WKH IROORZLQJ 9DOXH" IRU  9ROW
 a  :
IRU  9ROW

  ,JQLWLRQ ¦2))§  *R WR 6WHS  *R WR 6WHS 

 'LVFRQQHFW WKH (&0 FRQQHFWRU IURP (&0

 &KHFN WKH 969 FLUFXLW EHWZHHQ WKH (&8 DQG 969


FRQQHFWRU

$ VKRUW WR JURXQG

$Q RSHQ FLUFXLW

 5HSDLU LI QHFHVVDU\
+DV '7&  EHHQ FRUUHFWHG"

 5HSODFH WKH 969  *R WR 6WHS  


,V WKH DFWLRQ FRPSOHWH"

 5HSODFH WKH (&0  *R WR 6WHS  


,V WKH DFWLRQ FRPSOHWH"

  5HFRQQHFW DOO WKH FRQQHFWRUV UHPRYHG  *R WR 6WHS  *R WR 6WHS 

 ,JQLWLRQ ¦21§ (QJLQH ¦2))§


,V '7&  DOO ULJKW XQGHU 6FDQ 7RRO &KHFN"

 ,V DQ\ FXUUHQW WURXEOH RWKHU WKDQ '7&  GLVSOD\HG E\  *R WR WURXEOH 7URXEOH FRGH
VFDQ WRRO" FRGH VHFWLRQ FOHDU
( ¤  (0,66,21 $1' (/(&75,&$/ ',$*126,6

'7&39$5,$%/(6:,5/6<67(0 966 &21752/&,5&8,7+,*+


92/7$*(

/:WLI
(0,66,21 $1' (/(&75,&$/ ',$*126,6 ( ¤ 

$SSHDUDQFHRI969IRU966DQGFRQQHFWRUQDPH

)LJXUH 969 IRU 966 )LJXUH 969 FRQQHFWRU


/:WLI /<

&RQQHFWRU 1R 6LJQDO

 6,*
 *1'

0HDVXUHUHVLVWDQFHDW969IRU966

/:WLI

&$87,21

:KHQ PHDVXULQJ UHVLVWDQFH ZLWK D FLUFXLW WHVWHU EH FDUHIXO QRW WR GDPDJH RU GHIRUP WKH WHUPLQDOV

5HVLVWDQFH YDOXH

,QVSHFWLRQ 3RLQW 5HVLVWDQFH 9DOXH

&RQQHFWRU 3LQ 1R :


N
5HIHUHQFH

 SLQ  mo   WR  IRU  YROW 6,* mo *1'


*UD\  WR  IRU  YROW

 mo %RG\ f 6,* mo %RG\


1RWH 5HVLVWDQFH YDOXH LV GLIIHUHQFH DFFRUGLQJ WR WKH HQJLQH WHPSHUDWXUH FRQGLWLRQ RI HQJLQH
ZDUPLQJ XS
( ¤  (0,66,21 $1' (/(&75,&$/ ',$*126,6

6WHS $FWLRQ 9DOXH V <HV 1R

 :DV WKH ¦RQERDUG GLDJQRVWLF 2%' V\VWHP FKHFN§  *R WR 6WHS  *R WR VHOI GLDJ
SHUIRUPHG" V\VWHP FKHFN

 8VLQJ WKH '90 FKHFN WKH UHVLVWDQFH RI WKH 969  a  : *R WR 6WHS  *R WR 6WHS 
'RHV WKH '90 UHDG WKH IROORZLQJ 9DOXH" IRU  9ROW
 a  :
IRU  9ROW

  ,JQLWLRQ ¦2))§  *R WR 6WHS  *R WR 6WHS 

 'LVFRQQHFW WKH (&0 FRQQHFWRU IURP (&0

 &KHFN WKH VKRUW WR YROWDJH RI 969 FLUFXLW EHWZHHQ WKH


(&0 DQG 969 FRQQHFWRU

 5HSDLU LI QHFHVVDU\
+DV '7&  EHHQ FRUUHFWHG"

 5HSODFH WKH 969  *R WR 6WHS  


,V WKH DFWLRQ FRPSOHWH"

 5HSODFH WKH (&0  *R WR 6WHS  


,V WKH DFWLRQ FRPSOHWH"

  5HFRQQHFW DOO WKH FRQQHFWRUV UHPRYHG  *R WR 6WHS  *R WR 6WHS 

 ,JQLWLRQ ¦21§ (QJLQH ¦2))§


,V '7&  DOO ULJKW XQGHU 6FDQ 7RRO &KHFN"

 ,V DQ\ FXUUHQW WURXEOH RWKHU WKDQ '7&  GLVSOD\HG E\  *R WR WURXEOH 7URXEOH FRGH
VFDQ WRRO" FRGH VHFWLRQ FOHDU
(0,66,21 $1' (/(&75,&$/ ',$*126,6 ( ¤ 

'7&3(;+$867*$65(&,5&8/$7,21 (*5 48,&.&879$&880


6:,7&+,1*9$/9( 969 &21752/&,5&8,7/2:92/7$*(

/:
( ¤  (0,66,21 $1' (/(&75,&$/ ',$*126,6

$SSHDUDQFHRI9DFXXP6ZLWFKLQJ9DOYH 969 ([KDXVW*DV5HFLUFXODWLRQ (*5 &87


DQGFRQQHFWRUQDPH

/:
)LJXUH 969(*5 &87 /:WLI
)LJXUH 969(*5 &87 FRQQHFWRU

&RQQHFWRU 1R 6LJQDO

 6,*
 *1'

0HDVXUHUHVLVWDQFHDW969(*5&87

/:WLI

&$87,21

:KHQ PHDVXULQJ UHVLVWDQFH ZLWK D FLUFXLW WHVWHU EH FDUHIXO QRW WR GDPDJH RU GHIRUP WKH WHUPLQDOV

5HVLVWDQFH YDOXH

,QVSHFWLRQ 3RLQW 5HVLVWDQFH 9DOXH

&RQQHFWRU 3LQ 1R :


N
5HIHUHQFH

 SLQ  mo   WR  IRU  YROW 6,* mo *1'


%ODFN  WR  IRU  YROW

 mo %RG\ f 6,* mo %RG\


1RWH 5HVLVWDQFH YDOXH LV GLIIHUHQFH DFFRUGLQJ WR WKH HQJLQH WHPSHUDWXUH FRQGLWLRQ RI HQJLQH
ZDUPLQJ XS
(0,66,21 $1' (/(&75,&$/ ',$*126,6 ( ¤ 

6WHS $FWLRQ 9DOXH V <HV 1R

 :DV WKH ¦RQERDUG GLDJQRVWLF 2%' V\VWHP FKHFN§  *R WR 6WHS  *R WR VHOI GLDJ
SHUIRUPHG" V\VWHP FKHFN

  ,JQLWLRQ ¦©2))§  9ROW *R WR 6WHS  *R WR 6WHS 

 'LVFRQQHFW WKH 969 IURP WKH ZLULQJ KDUQHVV RU

FRQQHFWRU  9ROW

 ,JQLWLRQ ¦21§ (QJLQH ¦2))§

 8VLQJ WKH 'LJLWDO 9ROWPHWHU '90  FKHFN IRU YROWDJH


RQ WKH ¦,&§ RI WKH 969 KDUQHVV FRQQHFWRU
'RHV WKH '90 UHDG WKH IROORZLQJ YDOXH"

  &KHFN WKH VXVSHFW FLUFXLW EHWZHHQ WKH 969 FRQQHFWRU  *R WR 6WHS  


DQG ¦(QJLQH ,JQLWLRQ§
)XVH IRU WKH IROORZLQJ FRQGLWLRQ

$ VKRUW WR JURXQG

$Q RSHQ FLUFXLW

 5HSDLU LI QHFHVVDU\
+DV '7&  EHHQ FRUUHFWHG"

 8VLQJ WKH '90 FKHFN WKH UHVLVWDQFH RI WKH 969  a  : *R WR 6WHS  *R WR 6WHS 
'RHV WKH '90 UHDG WKH IROORZLQJ 9DOXH" IRU  9ROW
 a  :
IRU  9ROW

  ,JQLWLRQ ¦2))§  *R WR 6WHS  *R WR 6WHS 

 'LVFRQQHFW WKH (&0 FRQQHFWRU IURP (&0

 &KHFN WKH 969 FLUFXLW EHWZHHQ WKH (&0 DQG 969


FRQQHFWRU

$ VKRUW WR JURXQG

$Q RSHQ FLUFXLW

 5HSDLU LI QHFHVVDU\
+DV '7&  EHHQ FRUUHFWHG"

 5HSODFH WKH 969  *R WR 6WHS  


,V WKH DFWLRQ FRPSOHWH"

 5HSODFH WKH (&0  *R WR 6WHS  


,V WKH DFWLRQ FRPSOHWH"

  5HFRQQHFW DOO WKH FRQQHFWRUV UHPRYHG  *R WR 6WHS  *R WR 6WHS 

 ,JQLWLRQ ¦21§ (QJLQH ¦2))§


,V '7&  DOO ULJKW XQGHU 6FDQ 7RRO &KHFN"

 ,V DQ\ FXUUHQW WURXEOH RWKHU WKDQ '7&  GLVSOD\HG E\  *R WR WURXEOH 7URXEOH FRGH
VFDQ WRRO" FRGH VHFWLRQ FOHDU
( ¤  (0,66,21 $1' (/(&75,&$/ ',$*126,6

'7&3(;+$867*$65(&,5&8/$7,21 (*5 48,&.&879$&880


6:,7&+,1*9$/9( 969 &21752/&,5&8,7+,*+92/7$*(

/:WLI
(0,66,21 $1' (/(&75,&$/ ',$*126,6 ( ¤ 

$SSHDUDQFHRI9DFXXP6ZLWFKLQJ9DOYH 969 ([KDXVW*DV5HFLUFXODWLRQ (*5 &87


VHQVRUDQGFRQQHFWRUQDPH

/:WLI /:WLI
)LJXUH 969(*5 &87 )LJXUH 969(*5 &87 FRQQHFWRU

&RQQHFWRU 1R 6LJQDO

 6,*
 *1'

0HDVXUHUHVLVWDQFHDW969(*5&87

/:WLI

&$87,21

:KHQ PHDVXULQJ UHVLVWDQFH ZLWK D FLUFXLW WHVWHU EH FDUHIXO QRW WR GDPDJH RU GHIRUP WKH WHUPLQDOV

5HVLVWDQFH YDOXH

,QVSHFWLRQ 3RLQW 5HVLVWDQFH 9DOXH

&RQQHFWRU 3LQ 1R :


N
5HIHUHQFH

 SLQ  mo   WR  IRU  YROW 6,* mo *1'


%ODFN  WR  IRU  YROW

 mo %RG\ f 6,* mo %RG\


1RWH 5HVLVWDQFH YDOXH LV GLIIHUHQFH DFFRUGLQJ WR WKH HQJLQH WHPSHUDWXUH FRQGLWLRQ RI HQJLQH
ZDUPLQJ XS
( ¤  (0,66,21 $1' (/(&75,&$/ ',$*126,6

6WHS $FWLRQ 9DOXH V <HV 1R

 :DV WKH ¦RQERDUG GLDJQRVWLF 2%' V\VWHP FKHFN§  *R WR 6WHS  *R WR VHOI GLDJ
SHUIRUPHG" V\VWHP FKHFN

 8VLQJ WKH '90 FKHFN WKH UHVLVWDQFH RI WKH 969  a  : *R WR 6WHS  *R WR 6WHS 
'RHV WKH '90 UHDG WKH IROORZLQJ 9DOXH" IRU  9ROW
 a  :
IRU  9ROW

  ,JQLWLRQ ¦2))§  *R WR 6WHS  *R WR 6WHS 

 'LVFRQQHFW WKH (&0 FRQQHFWRU IURP (&0

 &KHFN WKH VKRUW WR YROWDJH RI 969 FLUFXLW EHWZHHQ WKH


(&0 DQG 969 FRQQHFWRU

 5HSDLU LI QHFHVVDU\
+DV '7&  EHHQ FRUUHFWHG"

 5HSODFH WKH 969  *R WR 6WHS  


,V WKH DFWLRQ FRPSOHWH"

 5HSODFH WKH (&0  *R WR 6WHS  


,V WKH DFWLRQ FRPSOHWH"

  5HFRQQHFW DOO WKH FRQQHFWRUV UHPRYHG  *R WR 6WHS  *R WR 6WHS 

 ,JQLWLRQ ¦21§ (QJLQH ¦2))§


,V '7&  DOO ULJKW XQGHU 6FDQ 7RRO &KHFN"

 ,V DQ\ FXUUHQW WURXEOH RWKHU WKDQ '7&  GLVSOD\HG E\  *R WR WURXEOH 7URXEOH FRGH
VFDQ WRRO" FRGH VHFWLRQ FOHDU
(0,66,21 $1' (/(&75,&$/ ',$*126,6 ( ¤ 

'7&348,&.2167$57 426 5(/$<&21752/&,5&8,7/2:


92/7$*(

/:WLI
( ¤  (0,66,21 $1' (/(&75,&$/ ',$*126,6

/RFDWLRQRIUHOD\

/:WLI
(0,66,21 $1' (/(&75,&$/ ',$*126,6 ( ¤ 

,QVSHFWLRQIRUTXLFNRQVWDUW 426 SRZHUFXWUHOD\

/:WLI /:WLI

5HVLVWDQFH YDOXH
,QVSHFWLRQ 3RLQW 5HVLVWDQFH 5HIHUHQFH

,QVSHFWLRQ  mo  : IRU  YROW



UHOD\ XQLW  : IRU  YROW
f 1RW EH VXSSOLHG HOHFWULFLW\ WR FRLO
 mo 
%HORZ  : %H VXSSOLHG HOHFWULFLW\ WR FRLO
( ¤  (0,66,21 $1' (/(&75,&$/ ',$*126,6

6WHS $FWLRQ 9DOXH V <HV 1R

 :DV WKH ¦RQERDUG GLDJQRVWLF 2%' V\VWHP FKHFN§  *R WR 6WHS  *R WR VHOI GLDJ
SHUIRUPHG" V\VWHP FKHFN

  ,JQLWLRQ ¦2))§  9ROW *R WR 6WHS  *R WR 6WHS 

 'LVFRQQHFW WKH 5HOD\ IURP WKH 5HOD\ ER[ FRQQHFWRU RU


 9ROW
 ,JQLWLRQ ¦21§ (QJLQH ¦2))§

 8VLQJ WKH 'LJLWDO 9ROWPHWHU '90  FKHFN IRU YROWDJH


RQ WKH ¦+%2/§ WHUPLQDO RI WKH 5HOD\ %R[ &RQQHFWRU
'RHV WKH '90 UHDG WKH IROORZLQJ YDOXH"

  &KHFN WKH VXVSHFW FLUFXLW EHWZHHQ WKH 5HOD\  *R WR 6WHS  *R WR 6WHS 


FRQQHFWRU
)XVH IRU WKH IROORZLQJ FRQGLWLRQ

$ VKRUW WR JURXQG

$Q RSHQ FLUFXLW

 5HSDLU LI QHFHVVDU\
+DV '7&  EHHQ FRUUHFWHG"

 8VLQJ WKH '90 FKHFN WKH UHVLVWDQFH RI LQWHU ¦§ ¦§  : *R WR 6WHS  *R WR 6WHS 
5HOD\ WHUPLQDO IRU  9ROW
'RHV WKH '90 UHDG WKH IROORZLQJ 9DOXH"  :
IRU  9ROW

  ,JQLWLRQ ¦2))§  *R WR 6WHS  *R WR 6WHS 

 'LVFRQQHFW WKH (&0 FRQQHFWRU IURP (&0

 &KHFN WKH 969 FLUFXLW EHWZHHQ WKH (&8 DQG 5HOD\


FRQQHFWRU

$ VKRUW WR JURXQG

$Q RSHQ FLUFXLW

 5HSDLU LI QHFHVVDU\
+DV '7&  EHHQ FRUUHFWHG"

 5HSODFH WKH 5HOD\  *R WR 6WHS  


,V WKH DFWLRQ FRPSOHWH"

 5HSODFH WKH (&0  *R WR 6WHS  


,V WKH DFWLRQ FRPSOHWH"

  5HFRQQHFW DOO WKH FRQQHFWRUV UHPRYHG  *R WR 6WHS  *R WR 6WHS 

 ,JQLWLRQ ¦21§ (QJLQH ¦2))§


,V '7&  DOO ULJKW XQGHU 6FDQ 7RRO &KHFN"

 ,V DQ\ FXUUHQW WURXEOH RWKHU WKDQ '7&  GLVSOD\HG E\  *R WR WURXEOH 7URXEOH FRGH
VFDQ WRRO" FRGH VHFWLRQ FOHDU
(0,66,21 $1' (/(&75,&$/ ',$*126,6 ( ¤ 

'7&348,&.2167$57 426 5(/$<&21752/&,5&8,7+,*+92/7$*(

/:WLI
( ¤  (0,66,21 $1' (/(&75,&$/ ',$*126,6

/RFDWLRQRIUHOD\

/:WLI
(0,66,21 $1' (/(&75,&$/ ',$*126,6 ( ¤ 

,QVSHFWLRQIRU4XLFN2Q6WDUW 426 SRZHUFXWUHOD\

/:WLI /:WLI

5HVLVWDQFH YDOXH
,QVSHFWLRQ 3RLQW 5HVLVWDQFH 5HIHUHQFH

,QVSHFWLRQ  mo  : IRU  YROW



UHOD\ XQLW  : IRU  YROW
f 1RW EH VXSSOLHG HOHFWULFLW\ WR FRLO
 mo 
%HORZ  : %H VXSSOLHG HOHFWULFLW\ WR FRLO
( ¤  (0,66,21 $1' (/(&75,&$/ ',$*126,6

6WHS $FWLRQ 9DOXH V <HV 1R

 :DV WKH ¦RQERDUG GLDJQRVWLF 2%' V\VWHP FKHFN§  *R WR 6WHS  *R WR VHOI GLDJ
SHUIRUPHG" V\VWHP FKHFN

 8VLQJ WKH '90 FKHFN WKH UHVLVWDQFH RI WKH 5HOD\  : *R WR 6WHS  *R WR 6WHS 
'RHV WKH '90 UHDG WKH IROORZLQJ 9DOXH" IRU  9ROW
 :
IRU  9ROW

  ,JQLWLRQ ¦2))§  *R WR 6WHS  *R WR 6WHS 

 'LVFRQQHFW WKH (&0 FRQQHFWRU IURP (&0

 &KHFN WKH VKRUW WR YROWDJH RI 5HOD\ FLUFXLW EHWZHHQ


WKH (&0 DQG 5HOD\ FRQQHFWRU

 5HSDLU LI QHFHVVDU\
+DV '7&  EHHQ FRUUHFWHG"

 5HSODFH WKH 969  *R WR 6WHS  


,V WKH DFWLRQ FRPSOHWH"

 5HSODFH WKH (&0  *R WR 6WHS  


,V WKH DFWLRQ FRPSOHWH"

  5HFRQQHFW DOO WKH FRQQHFWRUV UHPRYHG  *R WR 6WHS  *R WR 6WHS 

 ,JQLWLRQ ¦21§ (QJLQH ¦2))§


,V '7&  DOO ULJKW XQGHU 6FDQ 7RRO &KHFN"

 ,V DQ\ FXUUHQW WURXEOH RWKHU WKDQ '7&  GLVSOD\HG E\  *R WR WURXEOH 7URXEOH FRGH
VFDQ WRRO" FRGH VHFWLRQ FOHDU
(0,66,21 $1' (/(&75,&$/ ',$*126,6 ( ¤ 

'7&3$1(52,'&203(16$7259$&8806:,7&+,1*9$/9( 969
&21752/&,5&8,7/2:92/7$*(

/:WLI
( ¤  (0,66,21 $1' (/(&75,&$/ ',$*126,6

$SSHDUDQFHRI9DFXXP6ZLWFKLQJ9DOYH 969 $QHURLGFRPSHQVDWRUDQGFRQQHFWRU


QDPH

/:WLI
)LJXUH 969$QHURLG FRPSHQVDWRU )LJXUH 969$QHURLG FRPSHQVDWRU /<

FRQQHFWRU

&RQQHFWRU 1R 6LJQDO

 6,*
 *1'

0HDVXUHUHVLVWDQFHDW969$QHURLGFRPSHQVDWRU

/:WLI

&$87,21

:KHQ PHDVXULQJ UHVLVWDQFH ZLWK D FLUFXLW WHVWHU EH FDUHIXO QRW WR GDPDJH RU GHIRUP WKH WHUPLQDOV

5HVLVWDQFH YDOXH

,QVSHFWLRQ 3RLQW 5HVLVWDQFH 9DOXH

&RQQHFWRU 3LQ 1R :


N
5HIHUHQFH

 SLQ  mo   WR  IRU  YROW 6,* mo *1'


*UD\  WR  IRU  YROW

 mo %RG\ f 6,* mo %RG\


1RWH 5HVLVWDQFH YDOXH LV GLIIHUHQFH DFFRUGLQJ WR WKH HQJLQH WHPSHUDWXUH FRQGLWLRQ RI HQJLQH
ZDUPLQJ XS
(0,66,21 $1' (/(&75,&$/ ',$*126,6 ( ¤ 

6WHS $FWLRQ 9DOXH V <HV 1R

 :DV WKH ¦RQERDUG GLDJQRVWLF 2%' V\VWHP FKHFN§  *R WR 6WHS  *R WR VHOI GLDJ
SHUIRUPHG" V\VWHP FKHFN

  ,JQLWLRQ ¦2))§  9ROW *R WR 6WHS  *R WR 6WHS 

 'LVFRQQHFW WKH 969 IURP WKH ZLULQJ KDUQHVV RU

FRQQHFWRU  9ROW

 ,JQLWLRQ ¦21§ (QJLQH ¦2))§

 8VLQJ WKH 'LJLWDO 9ROWPHWHU '90  FKHFN IRU YROWDJH


RQ WKH ¦,&§ RI WKH 969 KDUQHVV FRQQHFWRU
'RHV WKH '90 UHDG WKH IROORZLQJ YDOXH"

  &KHFN WKH VXVSHFW FLUFXLW EHWZHHQ WKH 969 FRQQHFWRU  *R WR 6WHS  *R WR 6WHS 
DQG ¦(QJLQH ,JQLWLRQ§
)XVH IRU WKH IROORZLQJ FRQGLWLRQ

$ VKRUW WR JURXQG

$Q RSHQ FLUFXLW

 5HSDLU LI QHFHVVDU\
+DV '7&  EHHQ FRUUHFWHG"

 8VLQJ WKH '90 FKHFN WKH UHVLVWDQFH RI WKH 969  a  : *R WR 6WHS  *R WR 6WHS 
'RHV WKH '90 UHDG WKH IROORZLQJ 9DOXH" IRU  9ROW
 a  :
IRU  9ROW

  ,JQLWLRQ ¦2))§  *R WR 6WHS  *R WR 6WHS 

 'LVFRQQHFW WKH (&0 FRQQHFWRU IURP (&0

 &KHFN WKH 969 FLUFXLW EHWZHHQ WKH (&0 DQG 969


FRQQHFWRU

$ VKRUW WR JURXQG

$Q RSHQ FLUFXLW

 5HSDLU LI QHFHVVDU\
+DV '7&  EHHQ FRUUHFWHG"

 5HSODFH WKH 969  *R WR 6WHS  


,V WKH DFWLRQ FRPSOHWH"

 5HSODFH WKH (&0  *R WR 6WHS  


,V WKH DFWLRQ FRPSOHWH"

  5HFRQQHFW DOO WKH FRQQHFWRUV UHPRYHG  *R WR 6WHS  *R WR 6WHS 

 ,JQLWLRQ ¦21§ (QJLQH ¦2))§


,V '7&  DOO ULJKW XQGHU 6FDQ 7RRO &KHFN"

 ,V DQ\ FXUUHQW WURXEOH RWKHU WKDQ '7&  GLVSOD\HG E\  *R WR WURXEOH 7URXEOH FRGH
VFDQ WRRO" FRGH VHFWLRQ FOHDU
( ¤  (0,66,21 $1' (/(&75,&$/ ',$*126,6

'7&3$1(52,'&203(16$7259$&8806:,7&+,1*9$/9( 969
&21752/&,5&8,7+,*+92/7$*(

/:WLI
(0,66,21 $1' (/(&75,&$/ ',$*126,6 ( ¤ 

$SSHDUDQFHRI9DFXXP6ZLWFKLQJ9DOYH 969 $PHURLGFRPSHQVDWRUDQGFRQQHFWRU


QDPH

/:WLI /<
)LJXUH 969$QHURLG &RPSHQVDWRU )LJXUH 969$QHURLG FRPSHQVDWRU

&RQQHFWRU 1R 6LJQDO

 6,*
 *1'

0HDVXUHUHVLVWDQFHDW969$QHURLGFRPSHQVDWRU

/:WLI

&$87,21

:KHQ PHDVXULQJ UHVLVWDQFH ZLWK D FLUFXLW WHVWHU EH FDUHIXO QRW WR GDPDJH RU GHIRUP WKH WHUPLQDOV

5HVLVWDQFH YDOXH

,QVSHFWLRQ 3RLQW 5HVLVWDQFH 9DOXH

&RQQHFWRU 3LQ 1R :


N
5HIHUHQFH

 SLQ  mo   WR  IRU  YROW 6,* mo *1'


*UHHQ  WR  IRU  YROW

 mo %RG\ f 6,* mo %RG\


1RWH 5HVLVWDQFH YDOXH LV GLIIHUHQFH DFFRUGLQJ WR WKH HQJLQH WHPSHUDWXUH FRQGLWLRQ RI HQJLQH
ZDUPLQJ XS
( ¤  (0,66,21 $1' (/(&75,&$/ ',$*126,6

6WHS $FWLRQ 9DOXH V <HV 1R

 8VLQJ WKH '90 FKHFN WKH UHVLVWDQFH RI WKH 969  a  : *R WR 6WHS  *R WR 6WHS 
'RHV WKH '90 UHDG WKH IROORZLQJ 9DOXH" IRU  9ROW
 a  :
IRU  9ROW

  ,JQLWLRQ ¦2))§  *R WR 6WHS  *R WR 6WHS 

 'LVFRQQHFW WKH (&0 FRQQHFWRU IURP (&0

 &KHFN WKH VKRUW WR YROWDJH RI 969 FLUFXLW EHWZHHQ WKH


(&0 DQG 969 FRQQHFWRU

 5HSDLU LI QHFHVVDU\

 &OHDU WURXEOH FRGH E\ 6FDQ 7RRO

 ,JQLWLRQ ¦21§ (QJLQH ¦21§

 'RHV WKH 0,/ EOLQN"

 5HSODFH WKH 969  *R WR 6WHS  


,V WKH DFWLRQ FRPSOHWH"

 5HSODFH WKH (&0  *R WR 6WHS  


,V WKH DFWLRQ FRPSOHWH"

  5HFRQQHFW DOO WKH FRQQHFWRUV UHPRYHG  *R WR 6WHS  *R WR 6WHS 

 ,JQLWLRQ ¦21§ (QJLQH ¦2))§


&OHDU WURXEOH FRGH E\ 6FDQ 7RRO

 ,JQLWLRQ ¦21§ (QJLQH ¦21§

 'RHV WKH 0,/ EOLQN"

 &RQQHFW 6FDQ 7RRO  *R WR WURXEOH 7URXEOH FRGH


,V DQ\ FXUUHQW WURXEOH RWKHU WKDQ '7&  GLVSOD\HG E\ FRGH VHFWLRQ FOHDU
VFDQ WRRO"
(0,66,21 $1' (/(&75,&$/ ',$*126,6 ( ¤ 

'7&3(1*,1(63(('6(1625&,5&8,7/2:92/7$*(

/:WLI
( ¤  (0,66,21 $1' (/(&75,&$/ ',$*126,6

$SSHDUDQFHRI(QJLQH6SHHGVHQVRUDQGFRQQHFWRUQDPH

/:WLI /:WLI
)LJXUH (QJLQH 6SHHG VHQVRU )LJXUH (QJLQH 6SHHG VHQVRU FRQQHFWRU

&RQQHFWRU 1R 6LJQDO
 *1'
 6,*
0HDVXUHUHVLVWDQFHDW(QJLQH6SHHGVHQVRU

/:WLI

&$87,21

:KHQ PHDVXULQJ UHVLVWDQFH ZLWK D FLUFXLW WHVWHU EH FDUHIXO QRW WR GDPDJH RU GHIRUP WKH WHUPLQDOV

5HVLVWDQFH YDOXH

,QVSHFWLRQ 3RLQW 5HVLVWDQFH 9DOXH


N: 5HIHUHQFH
&RQQHFWRU 3LQ 1R
 SLQ  mo  ‘ 6,* mo *1'
%ODFN  mo %RG\ f 6,* mo %RG\
1RWH 5HVLVWDQFH YDOXH LV GLIIHUHQFH DFFRUGLQJ WR WKH HQJLQH WHPSHUDWXUH FRQGLWLRQ RI HQJLQH
ZDUPLQJ XS
(0,66,21 $1' (/(&75,&$/ ',$*126,6 ( ¤ 

/RFDWLRQRIIXVH

/:WLI
( ¤  (0,66,21 $1' (/(&75,&$/ ',$*126,6

6WHS $FWLRQ 9DOXH V <HV 1R

  ,JQLWLRQ ¦21§ (QJLQH ¦2))§  *R WR 6WHS  *R WR 6WHS 

 &RQQHFW D YROWPHWHU WR WKH (&0 FRQQHFWRU WHUPLQDOV


(1*,1( DQG (1*,1(
,V WKH YROWDJH 9"

  ,JQLWLRQ ¦21§ (QJLQH ¦21§  *R WR 6WHS  *R WR 6WHS 

 &RQQHFW D YROWPHWHU WR WKH (&0 FRQQHFWRU WHUPLQDOV


(1*,1( DQG (1*,1( 
,V WKH YROWDJH XQGHU WKH UDQJH RI 9 $&
LQWHUPLWWHQWO\ ZKHQ WKH HQJLQH VSHHG LV DERXW
530" 'RHV WKH 9ROWDJH LQFUHDVH DV WKH HQJLQH
VSHHG LV LQFUHDVHG"

 &KHFN IRU SRRU VHQVRU JURXQG RU VHQVRU VLJQDO FLUFXLW  *R WR 6WHS  *R WR 6WHS 
WHUPLQDO FRQQHFWLRQ DQG WHUPLQDO VKRUWHG DW WKH (&0 DQG
UHSODFH WHUPLQDO V LI QHFHVVDU\
'LG DQ\ RI WKH WHUPLQDOV QHHG WR EH UHSODFHG"

  &KHFN VHQVRU VLJQDO FLUFXLW IRU GLVFRQQHFWLRQ DQG  *R WR 6WHS  *R WR 6WHS 


SRZHU VRXUFH IRU VKRUW

 &KHFN VHQVRU *1' FLUFXLW IRU GLVFRQQHFWLRQ DQG


SRZHU VRXUFH IRU VKRUW
5HSDLU LI QHFHVVDU\ ZDV UHSDLU QHHGHG"

  &KHFN VLJQDO FLUFXLW IRU *1' VKRUW  *R WR 6WHS  *R WR 6WHS 

 5HSDLU LI QHFHVVDU\
:DV UHSDLU QHHGHG"

 5HSODFHG VHQVRU  *R WR 6WHS  


:DV VHQVRU UHSODFHG"

 5HSODFH WKH (&0  *R WR 6WHS  


,V WKH DFWLRQ FRPSOHWH"

  5HFRQQHFW DOO WKH FRQQHFWRUV UHPRYHG  *R WR 6WHS  *R WR 6WHS 

 ,JQLWLRQ ¦21§ (QJLQH ¦2))§

 &RQQHFW WKH 6FDQ 7RRO

 ,JQLWLRQ ¦21§ (QJLQH ¦2))§

 0DNH 6FDQ 7RRO LQGLFDWH HQJLQH VSHHG


,V D VSHHG UDQJH RI  USP WR  USP LQGLFDWHG ZLWK
WKH HQJLQH LGOLQJ DFFHO RII "
$QG DV HQJLQH VSHHG ULVHV ZLWK DFFHO RQ GRHV WKH
LQGLFDWHG YDOXH ULVH"

 ,V DQ\ FXUUHQW WURXEOH RWKHU WKDQ '7&  GLVSOD\HG E\  *R WR WURXEOH 7URXEOH FRGH
VFDQ WRRO" FRGH VHFWLRQ FOHDU
(0,66,21 $1' (/(&75,&$/ ',$*126,6 ( ¤ 

'7&3(/(&7521,&$//<(5$6$%/(352*5$00$%/(5($'21/<
0(025< ((3520 (5525
6WHS $FWLRQ 9DOXH V <HV 1R

 :DV WKH ¦RQERDUG GLDJQRVWLF 2%' V\VWHP FKHFN§  *R WR 6WHS  *R WR VHOI GLDJ
SHUIRUPHG" V\VWHP FKHFN

 5HSODFH WKH (&0  *R WR 6WHS  


,V WKH DFWLRQ FRPSOHWH"

  5HFRQQHFW DOO WKH FRQQHFWRUV UHPRYHG  *R WR 6WHS  *R WR 6WHS 

 ,JQLWLRQ ¦21§ (QJLQH ¦2))§


,V '7&  DOO ULJKW XQGHU 6FDQ 7RRO &KHFN"

 ,V DQ\ FXUUHQW WURXEOH RWKHU WKDQ '7&  GLVSOD\HG E\  *R WR WURXEOH 7URXEOH FRGH
VFDQ WRRO" FRGH VHFWLRQ FOHDU
( ¤  (0,66,21 $1' (/(&75,&$/ ',$*126,6

'7&3%$520(75,&35(6685(6(1625&,5&8,7(5525
6WHS $FWLRQ 9DOXH V <HV 1R

 :DV WKH ¦RQERDUG GLDJQRVWLF 2%' V\VWHP FKHFN§  *R WR 6WHS  *R WR VHOI GLDJ
SHUIRUPHG" V\VWHP FKHFN

 5HSODFH WKH (&0  *R WR 6WHS  


,V WKH DFWLRQ FRPSOHWH"

  5HFRQQHFW DOO WKH FRQQHFWRUV UHPRYHG  *R WR 6WHS  *R WR 6WHS 

 ,JQLWLRQ ¦21§ (QJLQH ¦2))§


,V '7&  DOO ULJKW XQGHU 6FDQ 7RRO &KHFN"

 ,V DQ\ FXUUHQW WURXEOH RWKHU WKDQ '7&  GLVSOD\HG E\  *R WR WURXEOH 7URXEOH FRGH
VFDQ WRRO" FRGH VHFWLRQ FOHDU
(0,66,21 $1' (/(&75,&$/ ',$*126,6 ( ¤ 

:,7+287',$*126,67528%/(&2'(
,1752'8&7,21
,I WKHUH RFFXUV D PDOIXQFWLRQ DOWKRXJK QR 'LDJQRVWLF 7URXEOH &RGH '7& LV JHQHUDWHG WKHQ LQVSHFW DQG UHSDLU WKH
V\VWHP LQ DFFRUGDQFH ZLWK WKH IORZFKDUWV JLYHQ RQ WKH IROORZLQJ SDJHV

:KHQ D 'LDJQRVWLF 7URXEOH &RGH '7& LV SURGXFHG LQVSHFW DQG UHSDLU V\VWHP ZLWK UHIHUHQFH WR ¦(0,66,21 $1'
(/(&75,&$/ ',$*126,6§
( ¤  (0,66,21 $1' (/(&75,&$/ ',$*126,6

(1*,1(+817,1*

IORZ(QJLQHWLI
(0,66,21 $1' (/(&75,&$/ ',$*126,6 ( ¤ 

67$5783)$,/85(

)ORZ$6WDUWXSWLI
( ¤  (0,66,21 $1' (/(&75,&$/ ',$*126,6

)ORH%6WDUWXSWLI

127( 

7KH FRQGLWLRQ RI WKH V\VWHP LQ ZKLFK WKH PDOIXQFWLRQ KDV RFFXUUHG VKRXOG EH FKHFNHG E\ PDNLQJ
FRPSDULVRQV EHWZHHQ WKH YHKLFOH (QJLQH &RQWURO 0RGXOH (&0 DQG WKH FKHFNLQJ (&0
(0,66,21 $1' (/(&75,&$/ ',$*126,6 ( ¤ 

:+,7(602.( (;&(66,9(

)ORZV:KLWHVPRNHWLI
( ¤  (0,66,21 $1' (/(&75,&$/ ',$*126,6

)ORZV:KLWHVPRNHWLI

127( 

¦)ROORZ '7&    § PHDQV WR UHIHU ¦:RUNVKRS 0DQXDO (0,66,21 $1' (/(&75,&$/ ',$*126,6
+( ( 6HFWLRQ RI 'LDJQRVLV 7URXEOH &RGH '7&    § IRU RWKHU '7& FRGH IROORZ FRQFHUQHG
'7& VHFWLRQV

127( 

7XUQ WKH LJQLWLRQ NH\ IURP WKH ¦2))§ SRVLWLRQ WR WKH ¦21§ SRVLWLRQ WR SXW RQ WKH VROHQRLG VZLWFK DWWDFKHG
WR WKH LQMHFWLRQ SXPS $IWHU WKH VROHQRLG VZLWFK EHLQJ RQ IRU  FRQVHFXWLYH VHFRQGV FKHFN IURP WKH
RXWVLGH RI WKH YHKLFOH LI WKH UHOHDVH VRXQG RI WKH VROHQRLG VZLWFK LV KHDUG

127( 

7KH FRQGLWLRQ RI WKH V\VWHP LQ ZKLFK WKH PDOIXQFWLRQ KDV RFFXUUHG VKRXOG EH FKHFNHG E\ PDNLQJ
FRPSDULVRQV EHWZHHQ WKH YHKLFOH (QJLQH &RQWURO 0RGXOH (&0 DQG WKH FKHFNLQJ (&0
(0,66,21 $1' (/(&75,&$/ ',$*126,6 ( ¤ 

%/$&.602.( (;&(66,9(

)ORZ$%ODFNWLI
( ¤  (0,66,21 $1' (/(&75,&$/ ',$*126,6

)ORZ%%ODFNWLI

127( 

7KH FRQGLWLRQ RI WKH V\VWHP LQ ZKLFK WKH PDOIXQFWLRQ KDV RFFXUUHG VKRXOG EH FKHFNHG E\ PDNLQJ
FRPSDULVRQV EHWZHHQ WKH YHKLFOH (QJLQH &RQWURO 0RGXOH (&0 DQG WKH FKHFNLQJ (&0

127( 

5HIHU WR D WURXEOH FRGH IRU D VXSSOLHU©V FKHFN LI DYDLODEOH

 (TXLSSHG ZLWKRXW ([KDXVW *DV 5HFLUFXODWLRQ (*5 DQG 9DULDEOH 6ZLUO 6\VWHP 966 
(0,66,21 $1' (/(&75,&$/ ',$*126,6 ( ¤ 

/$&.2)32:(5

)ORZ$/DFNRIWLI
( ¤  (0,66,21 $1' (/(&75,&$/ ',$*126,6

)ORZ%/DFNRIWLI

127( 

7KH FRQGLWLRQ RI WKH V\VWHP LQ ZKLFK WKH PDOIXQFWLRQ KDV RFFXUUHG VKRXOG EH FKHFNHG E\ PDNLQJ
FRPSDULVRQV EHWZHHQ WKH YHKLFOH (QJLQH &RQWURO 0RGXOH (&0 DQG WKH FKHFNLQJ (&0

 (TXLSSHG ZLWKRXW ([KDXVW *DV 5HFLUFXODWLRQ (*5 DQG 9DULDEOH 6ZLUO 6\VWHP 966 
(0,66,21 $1' (/(&75,&$/ ',$*126,6 ( ¤ 

+,*+,'/((1*,1(63(('

)ORZ+LJKLGOHWLI
( ¤  (0,66,21 $1' (/(&75,&$/ ',$*126,6

62/(12,'6:,7&+0$/)81&7,21

)ORZV6ROHQRLGWLI

,163(&7,21
6ROHQRLG 6ZLWFK
'LVFRQQHFW WKH FRQQHFWRU RQ WKH VROHQRLG VZLWFK

$SSO\  YROWV RU  YROWV '& WR WKH VROHQRLG VZLWFK DQG KHDU WKH WRXFKLQJ QRLVH EHWZHHQ VROHQRLG VZLWFK DQG

DGYDQFH OHYHU LQ WKH LQMHFWLRQ SXPS

,I FDQ QRW KHDU WKH WRXFKLQJ QRLVH GR QRW UHPRYH WKH VROHQRLGV VZLWFK DQG FRQWDFW LQMHFWLRQ SXPS VHUYLFH VKRS WR

UHSDLU LW
(0,66,21 $1' (/(&75,&$/ ',$*126,6 ( ¤ 

(;+$867%5$.(0$/)81&7,21

)ORZV([KDXVW%NWLI
( ¤  (0,66,21 $1' (/(&75,&$/ ',$*126,6

)ORZV4:6V\V&KHFNWLI
(0,66,21 $1' (/(&75,&$/ ',$*126,6 ( ¤ 

)ORZV4:6V\V&KHFNWLI
( ¤  (0,66,21 $1' (/(&75,&$/ ',$*126,6

,163(&7,21 8QLW

$SSO\ D QHJDWLYH SUHVVXUH RI  N3D   N3D


 ([KDXVW%UDNH0DJQHWLF9DOYH ^ PP+J   PP+J` WR WKH SRZHU FKDPEHU
E\ PHDQV RI D YDFXXP SXPS DQG PDNH VXUH RI
,QVSHFWLRQ
WKH VPRRWK RSHQLQJFORVLQJ RI WKH H[KDXVW EUDNH
&RQQHFW WKH PDJQHWLF YDOYH FRQQHFWRU WHUPLQDO
YDOYH
1R DQG 1R WR  WHUPLQDO DQG  WHUPLQDO RI
EDWWHU\ UHVSHFWLYHO\ DQG FKHFN WKH FRQWLQXLW\
EHWZHHQ WKH SRUWV

/:WLI

$SSO\ D QHJDWLYH SUHVVXUH RI    N3D ^


  PP+J` WR WKH SRZHU FKDPEHU XVLQJ D
YDFXXP SXPS DQG PDNH VXUH WKH DYHUDJH RI
PHDVXUHPHQWV DW 3RLQW $ DQG 3RLQW % RI WKH
FOHDUDQFH EHWZHHQ YDOYH DQG ERG\ LV DV IROORZV

 PP   PP 0LQLPXP PP

,I WKH FOHDUDQFH LV RXW RI WKLV UDQJH DGMXVW ZLWK WKH


DGMXVWLQJ EROW
/:WLI

&$87,21 :KHQ PHDVXULQJ UHVLVWDQFH ZLWK D

FLUFXLW WHVWHU EH FDUHIXO QRW WR GDPDJH RU

GHIRUP WKH WHUPLQDOV

 ([KDXVW7KURWWOH9DOYH
:RUNLQJ

$FWXDWH WKH H[KDXVW EUDNH ZLWK WKH HQJLQH LGOLQJ


DQG PDNH VXUH WKDW \RX KHDU WKH YDOYH VWULNH RQ
WKH VWRSSHU

/:WLI

 ,QWDNH7KURWWOH9DOYH
:RUNLQJ

'LVFRQQHFW WKH YDFXXP KRVH IURP WKH DFWXDWRU DQG WU\


WR PRYH WKH URG E\ KDQG PDNLQJ VXUH RI WKH VPRRWK
PRYH RI WKH URG

/:WLI
(0,66,21 $1' (/(&75,&$/ ',$*126,6 ( ¤ 

 9DFXXP6ZLWFKLQJ9DOYH,QWDNH  $FFHOHUDWRU6ZLWFK
7KURWWOH SROHFRQQHFWRUW\SH
,QVSHFWLRQ ,QVSHFWLRQ

&RQQHFW WKH YDFXXP VZLWFKLQJ YDOYH FRQQHFWRU  &KHFN WKH FRQWLQXLW\ EHWZHHQ WKH VZLWFK
WHUPLQDOV 1R DQG 1R WR  WHUPLQDO DQG  FRQQHFWRU WHUPLQDOV
WHUPLQDOV RI EDWWHU\ UHVSHFWLYHO\ DQG FKHFN WKH
&$87,21 :KHQ PHDVXULQJ UHVLVWDQFH ZLWK D
FRQWLQXLW\ EHWZHHQ WKH SRUWV
FLUFXLW WHVWHU EH FDUHIXO QRW WR GDPDJH RU
,I WKH FKHFN UHVXOW LV DEQRUPDO UHSDLU RU UHSODFH
GHIRUP WKH WHUPLQDOV
WKH YDOYH

 &KHFN WKH VPRRWK PRYH RI WKH SXVKURG ,I WKH


FKHFN UHVXOW LV DEQRUPDO UHSDLU RU UHSODFH WKH
SXVKURG

/:WLI

/:WLI

5HPRYDO

 $FFHOHUDWRU 6ZLWFK
'LVFRQQHFW WKH FRQQHFWRU
/RRVHQ WKH ORFN QXW
7XUQ WKH VZLWFK WR UHPRYH

5H LQVWDOODWLRQ

7R LQVWDOO IROORZ WKH UHPRYDO SURFHGXUH LQ UHYHUVH


RUGHU

 'ULYH WKH WKUHDGHG SDUW RI WKH VZLWFK XQWLO LWV


HQG VXUIDFH EHFRPHV IOXVK ZLWK WKDW RI WKH
EUDFNHW VLGH RI QXW

 7LJKWHQ WKH ORFN QXW

7LJKWHQLQJ WRUTXH  1±P ^ NJ±FP`


( ¤  (0,66,21 $1' (/(&75,&$/ ',$*126,6

(*56<67(00$/)81&7,21

)ORZV(*5WLI
(0,66,21 $1' (/(&75,&$/ ',$*126,6 ( ¤ 

,163(&7,21 &RQQHFW EDWWHU\ YROWDJH EHWZHHQ (959 FRQQHFWRU


WHUPLQDOV DQG PDNH VXUH RI WKH FRQWLQXLW\ EHWZHHQ
 7KHUPRVHQVRU (QJLQH&RRODQW WKH SRUWV

7HPSHUDWXUH
6RDN WKH WHPSHUDWXUH VHQVLWLYH SDUW RI D
WKHUPRVHQVRU LQ WKH ZDWHUDQG ZKLOH FKDQJLQJ WKH
ZDWHU WHPSHUDWXUH PDNH VXUH WKH UHVLVWDQFH LV
FKDQJHG DV WKH IROORZLQJ JUDSK VKRZV

/:WLI

 $LUWLJKW &KHFN

$SSO\ QHJDWLYH SUHVVXUH WR WKH QHJDWLYH SUHVVXUH


LQSXW SRUW DV LOOXVWUDWHG RQ WKH OHIW
/:WLI

$OWKRXJK WKHUH LV OHDNDJH LW LV QR SUREOHP LI WKH


QHJDWLYH SUHVVXUH ULVHV WR  PP+J  N3D
RU PRUH

/:WLI
/:WLI

 (OHFWURQLF9DFXXP5HJXODWLQJ9DOYH  :RUNLQJ &KHFN

(959  (TXLSSHGZLWK([KDXVW*DV $SSO\ SRZHUYROWDJH EHWZHHQ WKH WHUPLQDOV WKHUH


5HFLUFXODWLRQ (*5 DQG9DULDEOH6ZLUO LV QR SUREOHP LI WKH QHJDWLYH SUHVVXUH GRHV QRW

6\VWHP 966 ULVH ZKHQ DSSOLHG WR WKH LQSXW SRUW

 5HVLVWDQFH &KHFN
&$87,21 :KHQ PHDVXULQJ UHVLVWDQFH ZLWK D
&KHFN WKH UHVLVWDQFH EHWZHHQ WKH (959 FLUFXLW WHVWHU EH FDUHIXO QRW WR GDPDJH RU
FRQQHFWRU WHUPLQDOV XVLQJ D FLUFXLW WHVWHU GHIRUP WKH WHUPLQDOV
&ROG 5HVLVWDQFH ‘ :

/:WLI
( ¤  (0,66,21 $1' (/(&75,&$/ ',$*126,6

 ([KDXVW*DV5HFLUFXODWLRQ (*5 9DOYH &KHFN WR VHH LI (*5 YDOYH LV QRUPDOO\ DFWXDWHG

(TXLSSHGZLWK(*5DQG9DULDEOH6ZLUO XQGHU WKH IROORZLQJ FRQGLWLRQV


4:6 RII $IWHU ZDUPLQJ XS
6\VWHP 966
(QJLQH FRRODQW WHPS  ƒ& RU KLJKHU
:LWK QHJDWLYH SUHVVXUH DSSOLHG WR WKH GLDSKUDJP
FKDPEHU PDNH VXUH WKDW WKH YDOYH LV VPRRWKO\
DFWXDWHG WR PDNH WKH DUHD EHWZHHQ  DQG 
YHQWLODWHG
6WDUWXS $ERXW  PP+J ‘  PP+J

/:WLI
(0,66,21 $1' (/(&75,&$/ ',$*126,6 ( ¤ 

9$5,$%/(6:,5/6<67(0 966 6<67(00$/)81&7,21 (TXLSSHGZLWK


([KDXVWJDVUHFLUFXODWLRQDQG966

)ORZV966\VWLI
( ¤  (0,66,21 $1' (/(&75,&$/ ',$*126,6

966 9$5,$%/(6:,5/6<67(0
7KH 9DULDEOH 6ZLUO 6\VWHP 966 LV GHVLJQHG WR DGMXVW LQOHW WR WKH VXESRUW DQG WKH YDOYH LQ WXUQ LV WXUQHG RQ
WKH LQWHQVLW\ RI VZLUO E\ DOORZLQJ RU QRW DOORZLQJ DLU WR DQG RII E\ FRPSXWHU VLJQDOV ZKLFK DUH GHSHQGHQW RQ
IORZ WKURXJK D VXESRUW RU E\SDVV WKH UXQV LQ SDUDOOHO HQJLQH VSHHG ORDG DQG FRRODQW WHPSHUDWXUH %DVLFDOO\
ZLWK WKH LQWDNH SRUW IRU HDFK F\OLQGHU 7KH VZLUO WKH DLU LV FXW RII DW ORZ VSHHGV WR PDLQWDLQ KLJK VZLUO
LQWHQVLILHV ZKHQ WKHUH LV QR DLU IORZ WKURXJK WKH VXE DQG LV DOORZHG WR IORZ DW KLJK VSHHGV WR PDLQWDLQ ORZ
SRUW DQG YLFH YHUVD VZLUO
7KH DLU IORZ LV FRQWUROOHG E\ WKH RQRII YDOYH DW WKH

9$5,$%/(6:,5/6<67(0 (TXLSSHGZLWK([KDXVWJDVUHFLUFXODWLRQ (*5 DQG966

/:WLI
(0,66,21 $1' (/(&75,&$/ ',$*126,6 ( ¤ 

,163(&7,21 &RQQHFW EDWWHU\ YROWDJH EHWZHHQ 969 FRQQHFWRU


WHUPLQDOV DQG PDNH VXUH RI WKH FRQWLQXLW\ EHWZHHQ

 7KHUPRVHQVRU (QJLQHFRRODQW WKH SRUWV

WHPSHUDWXUH
6RDN WKH WHPSHUDWXUH VHQVLWLYH SDUW RI D
WKHUPRVHQVRU LQ WKH ZDWHU DQG ZKLOH FKDQJLQJ WKH
ZDWHU WHPSHUDWXUH PDNH VXUH WKH UHVLVWDQFH LV
FKDQJHG DV WKH IROORZLQJ JUDSK VKRZV

/:WLI

 $LUWLJKW &KHFN

$SSO\ QHJDWLYH SUHVVXUH WR WKH QHJDWLYH SUHVVXUH


LQSXW SRUW DV LOOXVWUDWHG RQ WKH OHIW
/:WLI
$OWKRXJK WKHUH LV OHDNDJH LW LV QR SUREOHP LI WKH
QHJDWLYH SUHVVXUH ULVHV WR  PP+J  N3D
RU PRUH

/:WLI /:WLI

 9DFXXP6ZLWFKLQJ9DOYH 969  :RUNLQJ &KHFN

 5HVLVWDQFH &KHFN $SSO\ SRZHUYROWDJH EHWZHHQ WKH WHUPLQDOV WKHUH

&KHFN WKH UHVLVWDQFH EHWZHHQ WKH 969 FRQQHFWRU LV QR SUREOHP LI WKH QHJDWLYH SUHVVXUH GRHV QRW

WHUPLQDOV XVLQJ D FLUFXLW WHVWHU ULVH ZKHQ DSSOLHG WR WKH LQSXW SRUW

&ROG 5HVLVWDQFH    : IRU  YROW &$87,21 :KHQ PHDVXULQJ UHVLVWDQFH ZLWK D


    : IRU  YROW FLUFXLW WHVWHU EH FDUHIXO QRW WR GDPDJH RU

GHIRUP WKH WHUPLQDOV

/:WLI
( ¤  (0,66,21 $1' (/(&75,&$/ ',$*126,6

$1(52,'&203(16$7250$/)81&7,21

)ORZV$QHURLGWLI
(0,66,21 $1' (/(&75,&$/ ',$*126,6 ( ¤ 

,163(&7,21 &RQQHFW EDWWHU\ YROWDJH EHWZHHQ 969 FRQQHFWRU


WHUPLQDOV DQG PDNH VXUH RI WKH FRQWLQXLW\ EHWZHHQ

 7KHUPRVHQVRU (QJLQHFRRODQW WKH SRWV

WHPSHUDWXUH (&7
6RDN WKH WHPSHUDWXUH VHQVLWLYH SDUW RI D
WKHUPRVHQVRU LQ WKH ZDWHU DQG ZKLOH FKDQJLQJ WKH
ZDWHU WHPSHUDWXUH PDNH VXUH WKH UHVLVWDQFH LV
FKDQJHG DV WKH IROORZLQJ JUDSK VKRZV

/:WLI

 $LUWLJKW &KHFN

$SSO\ QHJDWLYH SUHVVXUH WR WKH QHJDWLYH SUHVVXUH


LQSXW SRUW DV LOOXVWUDWHG RQ WKH OHIW
/:WLI
$OWKRXJK WKHUH LV OHDNDJH LW LV QR SUREOHP LI WKH
QHJDWLYH SUHVVXUH ULVHV WR  PP+J  N3D
RU PRUH

/:WLI /:WLI

 9DFXXP 6ZLWFKLQJ 9DOYH 969  :RUNLQJ &KHFN


 5HVLVWDQFH &KHFN $SSO\ SRZHUYROWDJH EHWZHHQ WKH WHUPLQDOV WKHUH
&KHFN WKH UHVLVWDQFH EHWZHHQ WKH 969 FRQQHFWRU LV QR SUREOHP LI WKH QHJDWLYH SUHVVXUH GRHV QRW
WHUPLQDOV XVLQJ D FLUFXLW WHVWHU ULVH ZKHQ DSSOLHG WR WKH LQSXW SRUW

&ROG 5HVLVWDQFH    : IRU  9ROW &$87,21 :KHQ PHDVXULQJ UHVLVWDQFH ZLWK D


    : IRU  9ROW
FLUFXLW WHVWHU EH FDUHIXO QRW WR GDPDJH RU
GHIRUP WKH WHUPLQDOV

/:WLI
( ¤  (0,66,21 $1' (/(&75,&$/ ',$*126,6

 $FWXDWRU  $QHURLG FRPSHQVDWRU $FWXDWRU

'LDSKUDJP LV EXLOW LQ WKH DFWXDWRU E\ ZKLFK WKH 7KH OLQN RI WKH DFWXDWRU IRU WKH DQHURLG
LQVLGH RI WKH DFWXDWRU LV GLYLGHG LQWR WZR FRPSHQVDWRU LV FRQQHFWHG WR IXOO ORDG VHW OHYHU
DWPRVSKHULF URRP DQG QHJDWLYH SUHVVXUH URRP 7KH IXOO ORDG VHW OHYHU LV FRQQHFWHG WR D 8OHYHU
:KHQ WKH DWPRVSKHULF VHQVRU EXLOW LQ (QJLQH
&RQWURO 0RGXOH (&0 PDNHV WKH DFWXDWRU ZRUN
WKH IXOO ORDG VHW OHYHU DQG 8OHYHU DUH URWDWHG WR D
VSHFLILHG SRVLWLRQ VR WKDW WKH FRQWURO UDFN LV GUDZQ
LQ WKH GLUHFWLRQ RI UHGXFLQJ IXHO LQMHFWLRQ DPRXQW

/:WLI

/:WLI
(0,66,21 $1' (/(&75,&$/ ',$*126,6 ( ¤ 

48,&.:$506<67(00$/)81&7,21

)ORZV4:6WLI
( ¤  (0,66,21 $1' (/(&75,&$/ ',$*126,6

)ORZV4:6V\V&KHFNWLI
(0,66,21 $1' (/(&75,&$/ ',$*126,6 ( ¤ 

,163(&7,21
 ([KDXVW7KURWWOH9DOYH
:RUNLQJ

$FWXDWH WKH H[KDXVW EUDNH ZLWK WKH HQJLQH LGOLQJ


DQG PDNH VXUH WKDW \RX KHDU WKH YDOYH VWULNH RQ
WKH VWRSSHU

8QLW

DSSO\ D QHJDWLYH SUHVVXUH RI  N3Da  N3D


^ PP+J a  PP+J` WR WKH SRZHU FKDPEHU
E\ PHDQV RI D YDFXXP SXPS DQG PDNH VXUH RI
/:WLI
WKH VPRRWK RSHQLQJFORVLQJ RI WKH H[KDXVW EUDNH
YDOYH
 ([KDXVW%UDNH0DJQHWLF9DOYH
,QVSHFWLRQ

&RQQHFW WKH PDJQHWLF YDOYH FRQQHFWRU WHUPLQDO


1R DQG 1R WR  WHUPLQDO DQG  WHUPLQDO RI
EDWWHU\ UHVSHFWLYHO\ DQG FKHFN WKH FRQWLQXLW\
EHWZHHQ WKH SRUWV

/:WLI

$SSO\ D QHJDWLYH SUHVVXUH RI a  N3D ^


 a  PP+J` WR WKH SRZHU FKDPEHU XVLQJ D
YDFXXP SXPS DQG PDNH VXUH WKH DYHUDJH RI
PHDVXUHPHQWV DW 3RLQW $ DQG 3RLQW % RI WKH
FOHDUDQFH EHWZHHQ YDOYH DQG ERG\ LV DV IROORZV

 PP   PP 0LQLPXP  PP

,I WKH FOHDUDQFH LV RXW RI WKLV UDQJH DGMXVW ZLWK WKH


DGMXVWLQJ EROW

/:WLI

 $FFHOHUDWRU6ZLWFK
SROHFRQQHFWRUW\SH
,QVSHFWLRQ

 &KHFN WKH FRQWLQXLW\ EHWZHHQ WKH VZLWFK


FRQQHFWRU WHUPLQDOV

 &KHFN WKH VPRRWK PRYH RI WKH SXVKURG ,I WKH


FKHFN UHVXOW LV DEQRUPDO UHSDLU RU UHSODFH WKH
/:WLI SXVKURG

 ,QWDNH7KURWWOH9DOYH &$87,21 :KHQ PHDVXULQJ UHVLVWDQFH ZLWK D

FLUFXLW WHVWHU EH FDUHIXO QRW WR GDPDJH RU


:RUNLQJ
GHIRUP WKH WHUPLQDOV
'LVFRQQHFW WKH YDFXXP KRVH IURP WKH DFWXDWRU
DQG WU\ WR PRYH WKH URG E\ KDQG PDNLQJ VXUH RI
WKH VPRRWK PRYH RI WKH URG
( ¤  (0,66,21 $1' (/(&75,&$/ ',$*126,6

/:WLI

 9DFXXP6ZLWFKLQJ9DOYH,QWDNH
7KURWWOH
/:WLI

,QVSHFWLRQ

5HPRYDO &RQQHFW WKH YDFXXP VZLWFKLQJ YDOYH FRQQHFWRU


 $FFHOHUDWRU 6ZLWFK WHUPLQDOV 1R DQG 1R WR  WHUPLQDO DQG 
'LVFRQQHFW WKH FRQQHFWRU WHUPLQDOV RI EDWWHU\ UHVSHFWLYHO\ DQG FKHFN WKH
/RRVHQ WKH ORFN QXW FRQWLQXLW\ EHWZHHQ WKH SRUWV
7XUQ WKH VZLWFK WR UHPRYH ,I WKH FKHFN UHVXOW LV DEQRUPDO UHSDLU RU UHSODFH
WKH YDOYH
5HLQVWDOODWLRQ

7R LQVWDOO IROORZ WKH UHPRYDO SURFHGXUH LQ UHYHUVH


RUGHU

 'ULYH WKH WKUHDGHG SDUW RI WKH VZLWFK XQWLO LWV


HQG VXUIDFH EHFRPHV IOXVK ZLWK WKDW RI WKH
EUDFNHW VLGH RI QXW

 7LJKWHQ WKH ORFN QXW

7LJKWHQLQJ WRUTXH  1±P ^ NJ±FP`

 7KHUPRVHQVRU (QJLQHFRRODQW
WHPSHUDWXUH
6RDN WKH WHPSHUDWXUH VHQVLWLYH SDUW RI D
WKHUPRVHQVRU LQ WKH ZDWHU DQG ZKLOH FKDQJLQJ WKH
ZDWHU WHPSHUDWXUH PDNH VXUH WKH UHVLVWDQFH LV
FKDQJHG DV WKH IROORZLQJ JUDSK VKRZV

/:WLI

&$87,21 :KHQ PHDVXULQJ UHVLVWDQFH ZLWK D

FLUFXLW WHVWHU EH FDUHIXO QRW WR GDPDJH RU

GHIRUP WKH WHUPLQDOV

/:WLI
(0,66,21 $1' (/(&75,&$/ ',$*126,6 ( ¤ 

)$67,'/(&21752/'(9,&( ),&' 6<67(00$/)81&7,21

)ORZV),&'WLI
( ¤  (0,66,21 $1' (/(&75,&$/ ',$*126,6

,163(&7,21 &$87,21 :KHQ PHDVXULQJ UHVLVWDQFH ZLWK D

FLUFXLW WHVWHU EH FDUHIXO QRW WR GDPDJH RU

 9DFXXP6ZLWFKLQJ9DOYH 969 GHIRUP WKH WHUPLQDOV

 5HVLVWDQFH &KHFN
 :RUNLQJ &KHFN
&KHFN WKH UHVLVWDQFH EHWZHHQ WKH 969 FRQQHFWRU $SSO\ SRZHUYROWDJH EHWZHHQ WKH WHUPLQDOV WKHUH
WHUPLQDOV XVLQJ D FLUFXLW WHVWHU LV QR SUREOHP LI WKH QHJDWLYH SUHVVXUH GRHV QRW
&ROG 5HVLVWDQFH    : IRU  9ROW ULVH ZKHQ DSSOLHG WR WKH LQSXW SRUW
    : IRU  9ROW

/:WLI

&RQQHFW EDWWHU\ YROWDJH EHWZHHQ 969 FRQQHFWRU


WHUPLQDOV DQG PDNH VXUH RI WKH FRQWLQXLW\ EHWZHHQ
WKH SRUWV

/:WLI

 'LDSKUDJP LV EXLOW LQ WKH DFWXDWRU E\ ZKLFK WKH


LQVLGH RI WKH DFWXDWRU LV GLYLGHG LQWR WZR
DWPRVSKHULF URRP DQG QHJDWLYH SUHVVXUH
URRP

/:WLI

 $LUWLJKW &KHFN

$SSO\ QHJDWLYH SUHVVXUH WR WKH QHJDWLYH SUHVVXUH


LQSXW SRUW DV LOOXVWUDWHG RQ WKH OHIW

$OWKRXJK WKHUH LV OHDNDJH LW LV QR SUREOHP LI WKH


QHJDWLYH SUHVVXUH ULVHV WR  PP+J  N3D
RU PRUH
/:WLI

/:WLI
(0,66,21 $1' (/(&75,&$/ ',$*126,6 ( ¤ 

 )DVW ,GOH &RQWURO 'HYLFH ),&' DFWXDWRU OLQN LV  7KH OLQN RI WKH DFWXDWRU IRU WKH DQHURLG
FRQQHFWHG WR ),&' OHYHU VHWWLQJ VSHHG FRQWURO FRPSHQVDWRU LV FRQQHFWHG WR IXOO ORDG VHW
OHYHU DW D VSHFLILHG VSHHG ZKHQ ),&' LV DW OHYHU 7KH IXOO ORDG VHW OHYHU LV FRQQHFWHG WR D
ZRUN DW WKH WLPH RI LGOLQJ 8OHYHU :KHQ WKH DWPRVSKHULF VHQVRU EXLOW LQ
(QJLQH &RQWURO 0RGXOH (&0 PDNHV WKH
DFWXDWRU ZRUN WKH IXOO ORDG VHW OHYHU DQG 8
OHYHU DUH URWDWHG WR D VSHFLILHG SRVLWLRQ VR WKDW
WKH FRQWURO UDFN LV GUDZQ LQ WKH GLUHFWLRQ RI
UHGXFLQJ IXHO LQMHFWLRQ DPRXQW

/:WLI

/:WLI
( ¤  (0,66,21 $1' (/(&75,&$/ ',$*126,6

63(&,$/722/6

5:WLI

/HJHQG  6$(  $GDSWHU

 3&0&,$ &DUG  '/& &DEOH

 56 /RRS %DFN &RQQHFWRU  7(&+


(0,66,21 $1' (/(&75,&$/ ',$*126,6 ( ¤ 

722/ 12
,//8675$7,21
722/ 1$0(



- 

+LJK ,PSHGDQFH
0XOWLPHWHU
'LJLWDO 9ROWPHWHU
'90
(WLI

 3&0&,$ &DUG
 56 /RRS %DFN
 6$(  $GDSWHU
 '/& &DEOH
 7(&+

(WLI



- $

9DFXXP 3XPS ZLWK


*DXJH

(WLI
( ¤  (0,66,21 $1' (/(&75,&$/ ',$*126,6

',$*126,6 +*72QO\
675$7(*<%$6('',$*1267,&6
6WUDWHJ\%DVHG 'LDJQRVWLFV ,QWHUPLWWHQWV
7KH VWUDWHJ\EDVHG GLDJQRVWLF LV D XQLIRUP &RQGLWLRQV WKDW DUH QRW DOZD\V SUHVHQW DUH FDOOHG
DSSURDFK WR UHSDLU DOO (OHFWULFDO(OHFWURQLF (( LQWHUPLWWHQWV 7R UHVROYH LQWHUPLWWHQWV SHUIRUP WKH
V\VWHPV 7KH GLDJQRVWLF IORZ FDQ DOZD\V EH XVHG IROORZLQJ VWHSV
WR UHVROYH DQ (( V\VWHP SUREOHP DQG LV D VWDUWLQJ  (YDOXDWH WKH V\PSWRPV DQG WKH FRQGLWLRQV
SRLQW ZKHQ UHSDLUV DUH QHFHVVDU\ 7KH IROORZLQJ GHVFULEHG E\ WKH FXVWRPHU
VWHSV ZLOO LQVWUXFW WKH WHFKQLFLDQ KRZ WR SURFHHG  8VH D FKHFN VKHHW RU RWKHU PHWKRG WR LGHQWLI\
ZLWK D GLDJQRVLV WKH FLUFXLW RU HOHFWULFDO V\VWHP FRPSRQHQW
 9HULI\ WKH FXVWRPHU FRPSODLQW  )ROORZ WKH VXJJHVWLRQV IRU LQWHUPLWWHQW
x 7R YHULI\ WKH FXVWRPHU FRPSODLQW WKH GLDJQRVLV IRXQG LQ WKH VHUYLFH GRFXPHQWDWLRQ
WHFKQLFLDQ VKRXOG NQRZ WKH QRUPDO
RSHUDWLRQ RI WKH V\VWHP 1R 7URXEOH )RXQG

 3HUIRUP SUHOLPLQDU\ FKHFNV 7KLV FRQGLWLRQ H[LVWV ZKHQ WKH YHKLFOH LV IRXQG WR

x &RQGXFW D WKRURXJK YLVXDO LQVSHFWLRQ RSHUDWH QRUPDOO\ 7KH FRQGLWLRQ GHVFULEHG E\ WKH
FXVWRPHU PD\ EH QRUPDO 9HULI\ WKH FXVWRPHU
x 5HYLHZ WKH VHUYLFH KLVWRU\
FRPSODLQW DJDLQVW DQRWKHU YHKLFOH WKDW LV RSHUDWLQJ
x 'HWHFW XQXVXDO VRXQGV RU RGRUV
QRUPDOO\ 7KH FRQGLWLRQ PD\ EH LQWHUPLWWHQW 9HULI\
x *DWKHU GLDJQRVWLF WURXEOH FRGH LQIRUPDWLRQ WKH FRPSODLQW XQGHU WKH FRQGLWLRQV GHVFULEHG E\
WR DFKLHYH DQ HIIHFWLYH UHSDLU WKH FXVWRPHU EHIRUH UHOHDVLQJ WKH YHKLFOH
 &KHFN EXOOHWLQV DQG RWKHU VHUYLFH LQIRUPDWLRQ  5HH[DPLQH WKH FRPSODLQW
x 7KLV LQFOXGHV YLGHRV QHZVOHWWHUV HWF :KHQ WKH &RPSODLQW FDQQRW EH VXFFHVVIXOO\
 5HIHU WR VHUYLFH LQIRUPDWLRQ PDQXDO V\VWHP IRXQG RU LVRODWHG D UHHYDOXDWLRQ LV QHFHVVDU\
FKHFN V  7KH FRPSODLQW VKRXOG EH UHYHULILHG DQG FRXOG
x ¦6\VWHP FKHFNV§ FRQWDLQ LQIRUPDWLRQ RQ D EH LQWHUPLWWHQW DV GHILQHG LQ ,QWHUPLWWHQWV RU
V\VWHP WKDW PD\ QRW EH VXSSRUWHG E\ RQH FRXOG EH QRUPDO
RU PRUH '7&V  5HSDLU DQG YHULI\
6\VWHP FKHFNV YHULI\ SURSHU RSHUDWLRQ RI $IWHU LVRODWLQJ WKH FDXVH WKH UHSDLUV VKRXOG EH
WKH V\VWHP 7KLV ZLOO OHDG WKH WHFKQLFLDQ LQ PDGH
DQ RUJDQL]HG DSSURDFK WR GLDJQRVWLFV 9DOLGDWH IRU SURSHU RSHUDWLRQ DQG YHULI\ WKDW
 5HIHU WR VHUYLFH GLDJQRVWLFV WKH V\PSWRP KDV EHHQ FRUUHFWHG 7KLV PD\
LQYROYH URDG WHVWLQJ RU RWKHU PHWKRGV WR YHULI\
'LDJQRVWLF 7URXEOH &RGH '7& 6WRUHG WKDW WKH FRPSODLQW KDV EHHQ UHVROYHG XQGHU
)ROORZ WKH GHVLJQDWHG '7& FKDUW H[DFWO\ WR PDNH WKH IROORZLQJ FRQGLWLRQV
DQ HIIHFWLYH UHSDLU x &RQGLWLRQV QRWHG E\ WKH FXVWRPHU
x ,I D '7& ZDV GLDJQRVHG YHULI\ D UHSDLU E\
1R '7&
GXSOLFDWLQJ FRQGLWLRQV SUHVHQW DFFRUGLQJ WR
6HOHFW WKH V\PSWRP IURP WKH V\PSWRP WDEOHV
FXVWRPHU FRPSODLQW
)ROORZ WKH GLDJQRVWLF SDWKV RU VXJJHVWLRQV WR
FRPSOHWH WKH UHSDLU <RX PD\ UHIHU WR WKH 9HULI\LQJ 9HKLFOH 5HSDLU
DSSOLFDEOH FRPSRQHQWV\VWHP FKHFN LQ WKH V\VWHP 9HULILFDWLRQ RI WKH YHKLFOH UHSDLU ZLOO EH PRUH
FKHFNV FRPSUHKHQVLYH IRU YHKLFOHV ZLWK VHOI GLDJQRVWLF
V\VWHP GLDJQRVWLFV )ROORZLQJ D UHSDLU WKH
1R 0DWFKLJ 6\PSWRP
WHFKQLFLDQ VKRXOG SHUIRUP WKH IROORZLQJ VWHSV
 $QDO\]H WKH FRPSODLQW
,03257$17
 'HYHORS D SODQ IRU GLDJQRVWLFV
)ROORZ WKH VWHSV EHORZ ZKHQ \RX YHULI\
 8WLOL]H WKH ZLULQJ GLDJUDPV DQG WKH WKHRU\ RI
UHSDLUV RQ VHOI GLDJQRVWLF V\VWHPV )DLOXUH WR
RSHUDWLRQ
IROORZ WKHVH VWHSV FRXOG UHVXOW LQ XQQHFHVVDU\
&DOO WHFKQLFDO DVVLVWDQFH IRU VLPLODU FDVHV ZKHUH
UHSDLUV
UHSDLU KLVWRU\ PD\ EH DYDLODEOH &RPELQH
 5HYLHZ DQG UHFRUG WKH )DLOXUH 5HFRUGV IRU WKH
WHFKQLFLDQ NQRZOHGJH ZLWK HIILFLHQW XVH RI WKH
'7& ZKLFK KDV EHHQ GLDJQRVHG
DYDLODEOH VHUYLFH LQIRUPDWLRQ
 &OHDU WKH '7&V
 2SHUDWH WKH YHKLFOH ZLWKLQ FRQGLWLRQV
DFFRUGLQJ WR FXVWRPHU FRPSODLQW
(0,66,21 $1' (/(&75,&$/ ',$*126,6 ( ¤ 

 0RQLWRU WKH 'LDJQRVWLF 7URXEOH &RGH '7&


VWDWXV LQIRUPDWLRQ IRU WKH VSHFLILF '7& ZKLFK
KDV EHHQ GLDJQRVHG XQWLO WKH GLDJQRVWLF WHVW
DVVRFLDWHG ZLWK WKDW '7& UXQV

*(1(5$/6(59,&(,1)250$7,21
9LVXDO3K\VLFDO (QJLQH &RPSDUWPHQW ,QVSHFWLRQ 6(/) ',$*1267,& 6\VWHP &KHFN

3HUIRUP D FDUHIXO YLVXDO DQG SK\VLFDO HQJLQH 6HOI 'LDJQRVWLF 6\VWHP VKRXOG EH FKHFNHG DV
FRPSDUWPHQW LQVSHFWLRQ ZKHQ SHUIRUPLQJ DQ\ IROORZV
GLDJQRVWLF SURFHGXUH RU GLDJQRVLQJ WKH FDXVH RI  :KHQ ,JQLWLRQ NH\ LV WXUQHG IURP WKH ¦2))§ WR
DQ HPLVVLRQ WHVW IDLOXUH 7KLV FDQ RIWHQ OHDG WR WKH ¦21§ SRVLWLRQ PDNH VXUH WKDW 0DOIXQFWLRQ
UHSDLULQJ D SUREOHP ZLWKRXW IXUWKHU VWHSV 8VH WKH ,QGLFDWRU /DPS 0,/ LV OLW IRU  VHF WR 
IROORZLQJ JXLGHOLQHV ZKHQ SHUIRUPLQJ D VHF
YLVXDOSK\VLFDO LQVSHFWLRQ  &RQQHFW 6FDQ 7RRO DQG FKHFN WR VHH LI 0,/ LV
x ,QVSHFWLRQ DOO YDFXXP KRVHV IRU SXQFKHV DOZD\V OLW
FXWV GLVFRQQHFWV DQG FRUUHFW URXULQJ ,I VR 6HOI 'LDJQRVWLF 6\VWHP LV QRUPDO
x ,QVSHFW KRVHV WKDW DUH GLIILFXOW WR VHH EHKLQG
RWKHU FRPSRQHQWV
x ,QVSHQW DOO ZLUHV LQ D HQJLQH FRPSDUWPHQW IRU
SURSHU FRQQHFWLRQV EXUQHG RU FKDIHG VSRWV
SLQFKHG ZLUHV FRQWDFW ZLWK VKDUS HGJHV RU FRQWDFW
ZLWK KRW H[KDXVW PDQLIROGV RU SLSHV

%DVLF .QRZOHGJH RI 7RROV 5HTXLUHG

127(

/DFN RI EDVLF NQRZOHGJH RI WKLV SRZHUWUDLQ

ZKHQ SHUIRUPLQJ GLDJQRVWLF SURFHGXUHV FRXOG

UHVXOW LQ DQ LQFRUUHFW GLDJQRVLV RU GDPDJH WR

SRZHUWUDLQ FRPSRQHQWV 'R QRW DWWHPSW WR

GLDJQRVH D SRZHUWUDLQ SUREOHP ZLWKRXW WKLV

EDVLF NQRZOHGJH

$ EDVLF XQGHUVWDQGLQJ RI KDQG WRROV LV QHFHVVDU\


WR HIIHFWLYHO\ XVH WKLV VHFWLRQ RI WKH 6HUYLVH
0DQXDO
( ¤  (0,66,21 $1' (/(&75,&$/ ',$*126,6

7528%/(6+227,1*
&DXWLRQWDNHQLQLQVSHFWLQJ
 ,Q LQVSHFWLQJ V\VWHP ZULWH GRZQ 'LDJQRVWLF  %HIRUH HOLPLQDWLQJ WKH LQGLFDWHG '7& E\ D
7URXEOH &RGH '7& WR EH LQGLFDWHG PHPRU\ FOHDU VZLWFK GRXEO\ LQVSHFW DEQRUPDO
HVSHFLDOO\ ZKHQ SOXUDO VHOIGLDJQRVLV FRGHV SODFH DV LQGLFDWHG LQ '7&
DUH LQGLFDWHG

,QVSHFWLRQSURFHGXUHIORZFKDUW 'LDJQRVWLF6\VWHP&KHFN

IORZFKDUWBWLI

127(

3OHDVH QRWH WKDW VRPH LWHPV RI '7& PD\ QRW EH

JHQHUDWHG XQOHVV WKH HQJLQH LV ZDUPHG XS RU

XQOHVV WKH YHKLFOH LV GULYHQ XQGHU ORDG


(0,66,21 $1' (/(&75,&$/ ',$*126,6 ( ¤ 

6(/)',$*126,6)81&7,216
 0HPRUL]DWLRQRIGLDJQRVWLFWURXEOH  (OLPLQDWLRQRIGLDJQRVWLFWURXEOHFRGH
FRGH 7KH '7& PHPRUL]HG LQ WKH ((3520 ZLWK LQ WKH

7KH VHOIGLDJQRVLV FRGH LQGLFDWHG ZLOO EH (&0 FDQ EH HOLPLQDWHG RQO\ E\ WKH RSHUDWLRQ RI

PHPRUL]HG LQ (OHFWURQLFDOO\ (UDVDEOH WKH PHPRU\ FOHDU VZLWFK

3URJUDPPDEOH 5HDG 2QO\ 0HPRU\ ((3520 7KH HOLPLQDWLRQ PHWKRG PHPRU\ FOHDU VZLWFK ZLOO

ZLWK LQ WKH (QJLQH &RQWURO 0RGXOH (&0  EH GHVFULEHG EHORZ

$FFRUGLQJO\ HYHQ LI WKH VWDUWHU VZLWFK WXUQV RII RU  7XUQ 2)) LJQLWLRQ VZLWFK
WKH (&0 LV UHPRYHG IURP WKH YHKLFOH WKH  8VH N : UHVLVWDQFH DQG PDNH VKRUW FLUFXLW
PHPRUL]HG VHOIGLDJQRVLV FRGH ZLOO QRW EH RQ PHPRU\ FOHDU VZLWFK
HOLPLQDWHG  7XUQ 21 LJQLWLRQ VZLWFK 7KH LQGLFDWLRQ ODPS
8QOHVV DQ HOLPLQDWLRQ SURFHGXUH LV WDNHQ WKH WXUQ RQ OLJKWLQJ FRQWLQXRXVO\ DIWHU WKUHH
GLDJQRVWLF WURXEOH FRGH '7& ZLOO UHPDLQ LQ VHFRQGV IODVKLQJ WKH LQGLFDWLRQ ODPS
PHPRU\ 7KH PHPRU\ ZLOO EH HOLPLQDWHG RQO\  7XUQ 2)) LJQLWLRQ VZLWFK
E\ D PHPRU\ FOHDU VZLWFK  5HPRYH VKRUWDJH UHVLVWDQFH IURP PHPRU\
FOHDU VZLWFK

/RFDWLRQRIWKHPHPRU\FOHDUVZLWFK
/RFDWLRQ RI WKH PHPRU\ FOHDU VZLWFK ',$*126,6 &211(&725

/;WLI
( ¤  (0,66,21 $1' (/(&75,&$/ ',$*126,6

+RZ WR UHDG IODVKLQJ RI WKH LQGLFDWRU ODPS x 'LDJQRVWLF 7URXEOH &RGH '7& RXWSXWWLQJ LV

7KH WZRGLJLW GLDJQRVLV FRGH IODVKHV VWDUWLQJ IURP GRQH LQ GHFUHDVLQJO\ RUGHU RI '7& QXPEHU

WHQ©V ILJXUH WR LQGLFDWH WKH GLDJQRVLV FRGH x ,QGLFDWLRQ LV FKDQJHG RYHU RQ FRPSOHWLRQ RI
3OHDVH UHDG WKH GLDJQRVLV FRGH IURP WKH IODVKLQJ RXWSXW '7& LQGLFDWLRQ
,I WKH SOXUDO GLDJQRVLV FRGHV DUH LQGLFDWHG WKH x '7& LQGLFDWRU LV VWRSSHG ZLWK GLDJQRVWLF
VDPH GLDJQRVLV FRGH LV IODVKHG UHSHDWHGO\ LQ VWHSV VZLWFK EHLQJ RII
RI WKUHH WLPHV
x :KHQ WKHUH LV QR '7& RXWSXW  LV
3OHDVH UHDG LW FRUUHFWO\
RXWSXWWHG LQ QRUPDO '7& FRGH

x $IWHU LQGLFDWLQJ  WLPHV SHDU  '7& VKLIW LV


FRQGXFWHG WR WKH QH[W '7& $IWHU PDNLQJ D
URXQG WKH LQGLFDWLRQV DUH UHSHDWHG DJDLQ

x ,Q FDVH RI WKH VDPH GLDJQRVWLF FRGH LW LV XVHG


 '7&  WLPHV LQGLFDWLRQ

([DPSOH 'LDJQRVLV 7URXEOH &RGH 2XWSXW

/;WLI

)ODVKLQJ RI ,QGLFDWRU /DPS

/;WLI
(0,66,21 $1' (/(&75,&$/ ',$*126,6 ( ¤ 

',$*126,67528%/(&2'( '7& /,67


'7& 7(&+  675,1*
 5DFN 6HQVRU &LUFXLW /RZ 9ROWDJH

 5DFN 6HQVRU &LUFXLW +LJK 9ROWDJH

 (QJLQH &RRODQW 7HPSHUDWXUH (&7 6HQVRU &LUFXLW +LJK 9ROWDJH

 (&7 6HQVRU &LUFXLW /RZ 9ROWDJH

 ([KDXVW *DV 5HFLUFXODWLRQ (*5 9DFXXP 6ZLWFKLQJ 9DOYH 969 6ROHQRLG &LUFXLW /RZ
9ROWDJH

 (*5 969 6ROHQRLG &LUFXLW +LJK 9ROWDJH

 (OHFWURQLFDOO\ (UDVDEOH 3URJUDPPDEOH 5HDG 2QO\ 0HPRU\ ((3520 (UURU


( ¤  (0,66,21 $1' (/(&75,&$/ ',$*126,6

(UURU &ODVVLILHG 7URXEOH 'LDJQRVWLF &RQGLWLRQ 5HWXUQ %DFN 8S -XGJLQJ


&RGH &RQGLWL 7LPH
1R KLVWRU\ RI WKLV
1RUPDO  1R RWKHU WURXEOH FRGH 
GLDJQRVLV UHFRUGHG

5DFN 9ROWDJH 9 RU


ORZHU (QJLQH VSHHG
+DUQHVV 2SHQ aUSP DQG ZDWHU
  VHF
5DFN 6HQVRU

*1' VKRUW 7HPS ƒ& RU KLJKHU DUH


969 (*5
GHWHFWHG IRU  VHF :KHQ
2XWSXW VWRS
UXQQLQJ IRUZDUG
5DFN /HDUQLQJ
QRUPDO
YDOYH 
9 VKRUW
9 RU KLJKHU 5DFN
5DFN 6HQVRU   VHF
9ROWDJH GHWHFWHG
3RZHU 9ROWDJH
:DWHU 7HPS 6HQVRU

+DUQHVV 2SHQ

% VKRUW
ƒ& N : RU ORZHU :KHQ
RU ƒ& N : RU IRUZDUG
969 (*5
2XWSXW VWRS
 VHF
KLJKHU GHWHFWHG QRUPDO

*1' VKRUW 


969 (*5

+DUQHVV 2SHQ
 :KHQ
*1' VKRUW 969 (*5
2XWSXW 75 0RQLWRU IRUZDUG  VHF
2XWSXW VWRS
QRUPDO
% VKRUW 

7URXEOH &RGH
&KHFN ZKHQ (&0 LV :KHQ
(&0 ((3520 RWKHU WKDQ 
 VWDUWHG DQG ZKHQ IRUZDUG
HUURU ((3520 HUURU
7URXEOH &RGH LV ZULWWHQ QRUPDO
QRW LQGLFDWHG
(0,66,21 $1' (/(&75,&$/ ',$*126,6 ( ¤ 

/2&$7,212)6(1625$1'6:,7&+

/;WLI
( ¤  (0,66,21 $1' (/(&75,&$/ ',$*126,6

/;WLI
(0,66,21 $1' (/(&75,&$/ ',$*126,6 ( ¤ 

3$576/2&$7,21

(WLI
( ¤  (0,66,21 $1' (/(&75,&$/ ',$*126,6

(1*,1(&21752/02'8/( (&0
$SSHDUDQFHRI(&0

/:WLI
(0,66,21 $1' (/(&75,&$/ ',$*126,6 ( ¤ 

&+$572)(1*,1(&21752/02'8/( (&0 ,1387287387


&RQQHFWRU &RQQHFWRU
&RQQHFWRU QDPH &RQQHFWRU QDPH
QXPEHU QXPEHU

$ &+(&.(5 % 969  (*5

$ 1RW XVHG % */2: 5(/$<

$ 426 :*ORZ RQO\ % */2: ,1' /$03

$ 1RW XVHG % 1RW XVHG

$ 1RW XVHG % 1RW XVHG

$ 5$&. % 1RW XVHG

$ 5$&. 6,* % 7+(502 

$ %$77(5< % 7+(502 

$ ,*.%< % (1*,1( 

$ 1RW XVHG % (1*,1( 

$ 1RW XVHG % 1RW XVHG

$ 1RW XVHG % 1RW XVHG

$ 1RW XVHG % 1RW XVHG

$ 1RW XVHG % 1RW XVHG

$ &+(&.(5 *1' % 1RW XVHG

$ ',$* % 1RW XVHG

$ 1RW XVHG % 1RW XVHG

$ 1RW XVHG % 67$57(5

$ 1RW XVHG % (;+ %5$.(

$ 1RW XVHG % 1RW XVHG

$ 5$&. % 1RW XVHG

$ *1' % 1RW XVHG

$ 1RW XVHG

$ 1RW XVHG

$ 1RW XVHG

$ 1RW XVHG

$ 1RW XVHG

$ 1RW XVHG

$ 1RW XVHG

$ 1RW XVHG


( ¤  (0,66,21 $1' (/(&75,&$/ ',$*126,6

/2&$7,212)7+((1*,1(&21752/02'8/( (&0 &211(&725

/:WLI

/2&$7,212)'$7$/,1.&211(&725 '/&

/;WLI
(0,66,21 $1' (/(&75,&$/ ',$*126,6 ( ¤ 

(1*,1(&21752/02'8/( (&0 6<67(0:,5,1*',$*5$0

/;WLI
( ¤  (0,66,21 $1' (/(&75,&$/ ',$*126,6

$8;,/,$5<(1*,1(&21752/6<67(0 (TXLSSHGZLWK([KDXVWJDV
UHFLUFXODWLRQ (*5

/;WLI
(0,66,21 $1' (/(&75,&$/ ',$*126,6 ( ¤ 

9$&8806:,7&+,1*9$/9( 969 &,5&8,7 (TXLSSHGZLWK([KDXVWJDV


UHFLUFXODWLRQ (*5

/;WLI
( ¤  (0,66,21 $1' (/(&75,&$/ ',$*126,6

(;+$867%5$.(&21752/

/;WLI
(0,66,21 $1' (/(&75,&$/ ',$*126,6 ( ¤ 

'7&(1*,1(&22/$177(03(5$785( (&7 6(1625&,5&8,7+,*+


92/7$*(

/;WLI
( ¤  (0,66,21 $1' (/(&75,&$/ ',$*126,6

$SSHDUDQFHRIZDWHUWHPSHUDWXUHVHQVRUDQGFRQQHFWRUSLQDVVLJQPHQW

/:WLI /:WLI
)LJXUH 7HPSHUDWXUH VHQVRU )LJXUH &RQQHFWRU SLQ DVVLJQPHQW

&RQQHFWRU 1R 6LJQDO

 7KHUPLVWRU IRU HQJLQH


 7KHUPLVWRU IRU HQJLQH
 7KHUPLVWRU IRU PHWHU

0HDVXUHUHVLVWDQFHDW(QJLQH&RRODQW7HPSHUDWXUH (&7 VHQVRU

/:WLI

&$87,21

:KHQ PHDVXULQJ UHVLVWDQFH ZLWK D FLUFXLW WHVWHU EH FDUHIXO QRW WR GDPDJH RU GHIRUP WKH WHUPLQDOV

5HVLVWDQFH YDOXH

,QVSHFWLRQ 3RLQW 5HVLVWDQFH 7HPSHUDWXUH


5HIHUHQFH
&RQQHFWRU 3LQ 1R 9DOXH RQ VHQVRU

 SLQ  mo  f  7KHUPLVWRU IRU (1*,1( mo 7KHUPLVWRU IRU PHWHU


%ODFN  mo  :
 N  ƒ& 7KHUPLVWRU IRU (1*,1(

 :  ƒ&

 mo %RG\ f  7KHUPLVWRU IRU (1*,1( mo %RG\


 mo  f  7KHUPLVWRU IRU (1*,1( mo 7KHUPLVWRU IRU PHWHU

 mo %RG\  :  ƒ& 7KHUPLVWRU IRU PHWHU (1*,1(

 mo %RG\ f  7KHUPLVWRU IRU (&0 mo %RG\


1RWH 5HVLVWDQFH YDOXH LV GLIIHUHQFH DFFRUGLQJ WR WKH WHPSHUDWXUH RI WHPSHUDWXUH VHQVRU
(0,66,21 $1' (/(&75,&$/ ',$*126,6 ( ¤ 

6WHS $FWLRQ 9DOXH V <HV 1R

 :DV WKH ¦'LDJQRVWLF V\VWHP FKHFN§  *R WR 6WHS  *R WR VHOI


SHUIRUPHG" GLDJQRVWLF
V\VWHP FKHFN

  ,JQLWLRQ ¦2))§  *R WR 6WHS  *R WR 6WHS 

 'LVFRQQHFW (&7 VHQVRU HOHFWULFDO FRQQHFWRU

 -XPSHU WKH (&7 VHQVRU VLJQDO FLUFXLW DQG WKH (&7


VHQVRU JURXQG FLUFXLW WRJHWKHU DW WKH (&7 VHQVRU
KDUQHVV FRQQHFWRU

 'RHV LQGLFDWH '7& "

  ,JQLWLRQ ¦2))§  *R WR 6WHS  *R WR 6WHS 

 -XPSHU WKH (&7 VLJQDO FLUFXLW DW WKH (&7 VHQVRU


KDUQHVV FRQQHFWRU WR FKDVVLV JURXQG

 'RHV LQGLFDWH '7& "

 &KHFN IRXU SRRU FRQQHFWLRQ DW WKH (&7 VHQVRU DQG  *R WR 6WHS  *R WR 6WHS 
UHSODFH WHUPLQDOV LI QHFHVVDU\
'LG DQ\ WHUPLQDOV UHTXLUH UHSODFHPHQW"

  ,JQLWLRQ ¦2))§  *R WR 6WHS  *R WR 6WHS 

 'LVFRQQHFW WKH (&0 DQG FKHFN WKH (&7 VHQVRU


JURXQG FLUFXLW IRU DQ RSHQ

 ,I WKH (&7 VHQVRU JURXQG FLUFXLW LV RSHQ UHSDLU LW DV


QHFHVVDU\
:DV WKH (&7 VHQVRU JURXQG FLUFXLW RSHQ"

  ,JQLWLRQ ¦2))§  *R WR 6WHS  *R WR 6WHS 

 'LVFRQQHFW WKH (&0 DQG FKHFN WKH (&7 VHQVRU


VLJQDO FLUFXLW IRU DQ RSHQ

 ,I WKH (&7 VLJQDO FLUFXLW LV RSHQ UHSDLU LW DV


QHFHVVDU\
:DV WKH (&7 VHQVRU VLJQDO FLUFXLW RSHQ"

 &KHFN IRU SRRU VHQVRU JURXQG RU (&7 VHQVRU VLJQDO  *R WR 6WHS  *R WR 6WHS 
FLUFXLW WHUPLQDO FRQQHFWLRQ DW WKH (&8 DQG UHSODFH
WHUPLQDO V LI QHFHVVDU\
'LG DQ\ RI WKH WHUPLQDOV QHHG WR EH UHSODFHG"

  ,JQLWLRQ ¦2))§  *R WR 6WHS  

 5HSODFH WKH (&7 6HQVRU


,V WKH DFWLRQ FRPSOHWH"

  5HSODFH WKH (&0  *R WR 6WHS  


,V WKH DFWLRQ FRPSOHWH"

  5HFRQQHFW DOO WKH FRQQHFWRUV UHPRYHG  *R WR 6WHS  *R WR 6WHS 

 ,JQLWLRQ ¦21§ (QJLQH ¦2))§


'RHV '7&  FRPH QRUPDO FRQGLWLRQ"

 ,V DQ\ FXUUHQW WURXEOH RWKHU WKDQ '7&  GLVSOD\HG E\  *R WR WURXEOH 7URXEOH FRGH
LQGLFDWRU OLJKW" FRGH VHFWLRQ FOHDU
( ¤  (0,66,21 $1' (/(&75,&$/ ',$*126,6

'7&(1*,1(&22/$177(03(5$785( (&7 6(1625&,5&8,7/2:


92/7$*(

/;WLI
(0,66,21 $1' (/(&75,&$/ ',$*126,6 ( ¤ 

$SSHDUDQFHRIZDWHUWHPSHUDWXUHVHQVRUDQGFRQQHFWRUSLQDVVLJQPHQW

/:WLI /:WLI
)LJXUH 7HPSHUDWXUH VHQVRU )LJXUH &RQQHFWRU SLQ DVVLJQPHQW

&RQQHFWRU 1R 6LJQDO

 7KHUPLVWRU IRU HQJLQH


 7KHUPLVWRU IRU HQJLQH
 7KHUPLVWRU IRU PHWHU

0HDVXUHUHVLVWDQFHDW(QJLQH&RRODQW7HPSHUDWXUH (&7 VHQVRU

/:WLI

&$87,21

:KHQ PHDVXULQJ UHVLVWDQFH ZLWK D FLUFXLW WHVWHU EH FDUHIXO QRW WR GDPDJH RU GHIRUP WKH WHUPLQDOV

5HVLVWDQFH YDOXH

,QVSHFWLRQ 3RLQW 5HVLVWDQFH 7HPSHUDWXUH


5HIHUHQFH
&RQQHFWRU 3LQ 1R 9DOXH RQ VHQVRU

 SLQ  mo  f  7KHUPLVWRU IRU (1*,1( mo 7KHUPLVWRU IRU PHWHU


%ODFN  mo  :
 N  ƒ& 7KHUPLVWRU IRU (1*,1(

 :  ƒ&

 mo %RG\ f  7KHUPLVWRU IRU (1*,1( mo %RG\


 mo  f  7KHUPLVWRU IRU (1*,1( mo 7KHUPLVWRU IRU PHWHU

 mo %RG\  :  ƒ& 7KHUPLVWRU IRU PHWHU (1*,1(

 mo %RG\ f  7KHUPLVWRU IRU (&0 mo %RG\


1RWH 5HVLVWDQFH YDOXH LV GLIIHUHQFH DFFRUGLQJ WR WKH WHPSHUDWXUH RI WHPSHUDWXUH VHQVRU
( ¤  (0,66,21 $1' (/(&75,&$/ ',$*126,6

6WHS $FWLRQ 9DOXH V <HV 1R

 :DV WKH ¦'LDJQRVWLF V\VWHP FKHFN§  *R WR 6WHS  *R WR VHOI


SHUIRUPHG" GLDJQRVWLF
V\VWHP FKHFN

  0HPRU\ '7& WR (&0  *R WR 6WHS  *R WR 6WHS 

 &OHDU '7&

 ,JQLWLRQ ¦2))§

 'LVFRQQHFW WKH (&7 VHQVRU

 ,JQLWLRQ ¦21§ (QJLQH ¦2))§

 'RHV LQGLFDWH '7& " ,JQRUH '7& 

  ,JQLWLRQ ¦2))§  *R WR 6WHS  *R WR 6WHS 

 &KHFN &RQQHFWRU (&7 6HQVRU +DUQHVV IRU


LQWHUWHUPLQDO VKRUW

 5HSDLU LI QHFHVVDU\
:DV (&7 6HQVRU FRQQHFWRU VKRUWHG"

  ,JQLWLRQ ¦2))§  *R WR 6WHS  *R WR 6WHS 

 &KHFN WKH (&0 FRQQHFWRU WHUPLQDO VKRUW"

 5HSDLU LI QHFHVVDU\
:DV (&0 WHUPLQDO VKRUWHG"

  'LVFRQQHFW WKH (&0  *R WR 6WHS  *R WR 6WHS 

 &KHFN LI (&7 VHQVRU VLJQDO FLUFXLW IRU D VKRUW WR


JURXQG RU D VKRUW WR JURXQG FLUFXLW

 5HSDLU LI QHFHVVDU\
,V (&7 VHQVRU VLJQDO FLUFXLW VKRUWHG WR JURXQG

  ,JQLWLRQ ¦2))§  *R WR 6WHS  

 5HSODFH WKH (&7 6HQVRU


,V WKH DFWLRQ FRPSOHWH"

  5HSODFH WKH (&0  *R WR 6WHS  


,V WKH DFWLRQ FRPSOHWH"

  5HFRQQHFW DOO WKH FRQQHFWRUV UHPRYHG  *R WR 6WHS  *R WR 6WHS 

 ,JQLWLRQ ¦21§ (QJLQH ¦2))§


'RHV '7&  FRPH QRUPDO FRQGLWLRQ"

 ,V DQ\ FXUUHQW WURXEOH RWKHU WKDQ '7&  GLVSOD\HG E\  *R WR WURXEOH 7URXEOH FRGH
LQGLFDWRU OLJKW" FRGH VHFWLRQ FOHDU
(0,66,21 $1' (/(&75,&$/ ',$*126,6 ( ¤ 

'7&5$&.6(1625&,5&8,7/2:92/7$*(

/;WLI
( ¤  (0,66,21 $1' (/(&75,&$/ ',$*126,6

/RFDWLRQRI5DFNVHQVRUFRQQHFWRU

/:WLI

&RQQHFWRUQDPHRI5DFNVHQVRU

WLI

127( 0DUN ¦ § RQ FRQQHFWRU ZKLFK LV SOXJJHG WKHUHIRUH VKRXOG EH FRQILUPHG WR EH SOD\HG

5HODWLRQ EHWZHHQ FRQQHFWRU QXPEHU DQG VLJQDO QDPH

&RQQHFWRU 1R 6LJQDO QDPH :LUH FRORU

 5DFN VHQVRU 26& 5


 5DFN VHQVRU *1' :
 5DFN VHQVRU 0'/ %
(0,66,21 $1' (/(&75,&$/ ',$*126,6 ( ¤ 

6WHS $FWLRQ 9DOXH V <HV 1R

 :DV WKH ¦'LDJQRVWLF V\VWHP FKHFN§  *R WR 6WHS  *R WR


SHUIRUPHG" GLDJQRVWLF
V\VWHP FKHFN

  &KHFN KDUQHVV VLGH SRZHU VRXUFH FLUFXLW DQG VLJQDO  *R WR 6WHS  *R WR 6WHS 
FLUFXLW IRU *1' VKRUW

 5HSDLU LI QHFHVVDU\

 +DV '7& EHHQ FRUUHFWHG"

 'LVFRQQHFW 6HQVRU &RQQHFWRU  *R WR 6WHS  *R WR 6WHS 


-XPSHU 5$&. DQG 5$&. VLJ
)UHH IURP WURXEOH QRZ"
,JQRUH FRGH 

  $SSO\ 9 WR 5$&. 7(50,1$/ 9 *R WR 6WHS  *R WR 6WHS 


0HDVXUH 5$&. 6,* 9ROWDJH ,GOLQJ
,V 5$&. 6,* 92/7$*( DV VSHFLILHG" VSHHG

  &KHFN 5DFN 6HQVRU +DUQHVV 6LJQDO &LUFXLW DQG SRZHU  *R WR 6WHS  *R WR 6WHS 
VRXUFH IRU *1' VKRUW &KHFN VLJQDO FLUFXLW IRU
GLVFRQQHFW

 5HSDLU LI QHFHVVDU\

 )UHH IURP WURXEOH QRZ"

  &KHFN KDUQHVV VLJQDO FLUFXLW DQG SRZHU VRXUFH FLUFXLW  *R WR 6WHS  *R WR 6WHS 
IRU GLVFRQQHFW

 5HSDLU LI QHFHVVDU\

 )UHH IURP WURXEOH QRZ"

  &KHFN WKH LURQ FRUH RI 5$&. 6HQVRU IRU GDPDJH  *R WR 6WHS  *R WR 6WHS 
VHL]XUH DQG ZHDU

 $IWHU FKHFN UHSDLU LI QHFHVVDU\


:DV WKHUH DQ\ WURXEOH LQ WKH LURQ FRUH 5$&. HQG
LQVLGH 5$&. 6HQVRU"

 5HSODFHG 5$&. 6HQVRU"  *R WR 6WHS  

  5HSODFH WKH (&0  *R WR 6WHS  


,V WKH DFWLRQ FRPSOHWH"

  5HFRQQHFW DOO WKH FRQQHFWRUV UHPRYHG  *R WR 6WHS  *R WR 6WHS 

 ,JQLWLRQ ¦21§ (QJLQH ¦2))§


,V '7&  DOO ULJKW XQGHU 6FDQ 7RRO &KHFN"

 ,V DQ\ FXUUHQW WURXEOH RWKHU WKDQ '7&  GLVSOD\HG E\  *R WR WURXEOH 7URXEOH FRGH
VFDQ WRRO" FRGH VHFWLRQ FOHDU
( ¤  (0,66,21 $1' (/(&75,&$/ ',$*126,6

'7&5$&.6(1625&,5&8,7+,*+92/7$*(

/;WLI
(0,66,21 $1' (/(&75,&$/ ',$*126,6 ( ¤ 

/RFDWLRQRI5DFNVHQVRUFRQQHFWRU

/:WLI

&RQQHFWRUQDPHRI5DFNVHQVRU

WLI

127( 0DUN ¦ § RQ FRQQHFWRU ZKLFK LV SOXJJHG WKHUHIRUH VKRXOG EH FRQILUPHG WR EH SOD\HG

5HODWLRQ EHWZHHQ FRQQHFWRU QXPEHU DQG VLJQDO QDPH

&RQQHFWRU 1R 6LJQDO QDPH :LUH FRORU

 5DFN VHQVRU 26& 5


 5DFN VHQVRU *1' %
 5DFN VHQVRU 0'/ :
( ¤  (0,66,21 $1' (/(&75,&$/ ',$*126,6

6WHS $FWLRQ 9DOXH V <HV 1R

 :DV WKH ¦'LDJQRVWLF V\VWHP FKHFN§  *R WR 6WHS  *R WR


SHUIRUPHG" GLDJQRVWLF
V\VWHP FKHFN

 5HPRYH 6HQVRU &RQQHFWRU  *R WR 6WHS  *R WR 6WHS 


+DV '7& EHHQ FRUUHFWHG" ,JQRUH '7& 

  -XPSHU +DUQHVV VLJQDO 7HUPLQDO DQG *1' WHUPLQDO DW  *R WR 6WHS  *R WR 6WHS 


WKH 6HQVRU VLGH RI &RQQHFWRU

 ,JQLWLRQ ¦21§
+DV '7& EHHQ FRUUHFWHG"

  &KHFN 6HQVRU &RQQHFWRU IRU LQWHU WHUPLQDO VKRUW  *R WR 6WHS  *R WR 6WHS 


$IWHU FKHFN UHSDLU LI QHFHVVDU\
:DV &RQQHFWRU 7HUPLQDO VKRUWHG"

  &KHFN *1' &LUFXLW IRU GLVFRQQHFW  *R WR 6WHS  *R WR 6WHS 


$IWHU FKHFN UHSDLU LI QHFHVVDU\
,V *1' FLUFXLW GLVFRQQHFW"

  &KHFN 6HQVRU +DUQHVV VLJQDO FLUFXLW DQG SRZHU  *R WR 6WHS  *R WR 6WHS 


VRXUFH FLUFXLW IRU VKRUW
$IWHU FKHFN UHSDLU LI QHFHVVDU\
:DV +DUQHVV VKRUWHG"

  &KHFN +DUQHVV VLJQDO FLUFXLW DQG SRZHU VRXUFH IRU  *R WR 6WHS  *R WR 6WHS 
VKRUW
$IWHU FKHFN UHSDLU LI QHFHVVDU\
:DV +DUQHVV VKRUWHG"

  $SSO\ 9 WR 5$&. 7(50,1$/ 9 *R WR 6WHS  *R WR 6WHS 

 0HDVXUH 5$&. 6,* 9ROWDJH ,GOLQJ

,V 5$&. 6,* 92/7$*( DV VSHFLILHG" VSHHG

  &KHFN WKH LURQ FRUH RI 5$&. 6HQVRU IRU GDPDJH  *R WR 6WHS  *R WR 6WHS 
VHL]XUH DQG ZHDU

 $IWHU FKHFN UHSDLU LI QHFHVVDU\


:DV WKHUH DQ\ WURXEOH LQ WKH LURQ FRUH 5$&. HQG
LQVLGH 5$&. 6HQVRU"

 5HSODFHG VHQVRU  *R WR 6WHS  


:DV 6HQVRU UHSODFHG"

 5HSODFH WKH (&0  *R WR 6WHS  


,V WKH DFWLRQ FRPSOHWH"

  5HFRQQHFW DOO WKH FRQQHFWRUV UHPRYHG  *R WR 6WHS  *R WR 6WHS 

 ,JQLWLRQ ¦21§ (QJLQH ¦2))§


,V '7& DOO ULJKW XQGHU 6FDQ 7RRO &KHFN"

 ,V DQ\ FXUUHQW WURXEOH RWKHU WKDQ '7&  GLVSOD\HG E\  *R WR WURXEOH 7URXEOH FRGH
LQGLFDWRU OLJKW" FRGH VHFWLRQ FOHDU
(0,66,21 $1' (/(&75,&$/ ',$*126,6 ( ¤ 

'7&(;+$867*$65(&,5&8/$7,21 (*5 9$&8806:,7&+,1*


9$/9( 969 62/(12,'&21752//2:92/7$*(

/;WLI
( ¤  (0,66,21 $1' (/(&75,&$/ ',$*126,6

$SSHDUDQFHRI9DFXXP6ZLWFKLQJ9DOYH 969 ([KDXVW*DV5HFLUFXODWLRQ (*5


FRQQHFWRU

/:WLI /;WLI
)LJXUH 969(*5 )LJXUH 969(*5 FRQQHFWRU

&RQQHFWRU 1R 6LJQDO

 *1'
 6,*

0HDVXUHUHVLVWDQFHDW969(*5

/:WLI

&$87,21

:KHQ PHDVXULQJ UHVLVWDQFH ZLWK D FLUFXLW WHVWHU EH FDUHIXO QRW WR GDPDJH RU GHIRUP WKH WHUPLQDOV

5HVLVWDQFH YDOXH

,QVSHFWLRQ 3RLQW 5HVLVWDQFH 9DOXH

&RQQHFWRU 3LQ 1R :



5HIHUHQFH

 SLQ  mo     IRU  YROW 6,* mo *1'


%ODFN    IRU  YROW

 mo %RG\ f 6,* mo %RG\


1RWH 5HVLVWDQFH YDOXH LV GLIIHUHQFH DFFRUGLQJ WR WKH HQJLQH WHPSHUDWXUH FRQGLWLRQ RI HQJLQH
ZDUPLQJ XS
(0,66,21 $1' (/(&75,&$/ ',$*126,6 ( ¤ 

6WHS $FWLRQ 9DOXH V <HV 1R

 :DV WKH ¦'LDJQRVWLF V\VWHP FKHFN§  *R WR 6WHS  *R WR


SHUIRUPHG" GLDJQRVWLF
V\VWHP FKHFN

  ,JQLWLRQ ¦2))§  9ROW *R WR 6WHS  *R WR 6WHS 

 'LVFRQQHFW WKH 969 IURP WKH ZLULQJ KDUQHVV  9ROW

FRQQHFWRU

 ,JQLWLRQ ¦21§ (QJLQH ¦2))§

 8VLQJ WKH 'LJLWDO 9ROWPHWHU '90  FKHFN IRU YROWDJH


RQ WKH ¦3RZHU VXSSO\ VLGH WHUPLQDO§ RI WKH 969
KDUQHVV FRQQHFWRU
'RHV WKH '90 UHDG WKH IROORZLQJ YDOXH"

  &KHFN WKH VXVSHFW FLUFXLW EHWZHHQ WKH 969 FRQQHFWRU  *R WR 6WHS  


DQG ¦(QJLQH ,JQLWLRQ§
)XVH IRU WKH IROORZLQJ FRQGLWLRQ

$ VKRUW WR JURXQG

$Q RSHQ FLUFXLW

 5HSDLU LI QHFHVVDU\
+DV '7&  EHHQ FRUUHFWHG"

 8VLQJ WKH '90 FKHFN WKH UHVLVWDQFH RI WKH 969  a  : *R WR 6WHS  *R WR 6WHS 
'RHV WKH '90 UHDG WKH IROORZLQJ 9DOXH"  a  :
  ,JQLWLRQ ¦2))§  *R WR 6WHS  *R WR 6WHS 

 'LVFRQQHFW WKH (&0 FRQQHFWRU IURP (&0

 &KHFN WKH 969 FLUFXLW EHWZHHQ WKH (&8 DQG 969


FRQQHFWRU

$ VKRUW WR JURXQG

$Q RSHQ FLUFXLW

 5HSDLU LI QHFHVVDU\
+DV '7&  EHHQ FRUUHFWHG"

 5HSODFH WKH 969  *R WR 6WHS  


,V WKH DFWLRQ FRPSOHWH"

 5HSODFH WKH (&0  *R WR 6WHS  


,V WKH DFWLRQ FRPSOHWH"

  5HFRQQHFW DOO WKH FRQQHFWRUV UHPRYHG  *R WR 6WHS  *R WR 6WHS 

 ,JQLWLRQ ¦21§ (QJLQH ¦2))§


'RHV '7&  FRPH QRUPDO FRQGLWLRQ"

 ,V DQ\ FXUUHQW WURXEOH RWKHU WKDQ '7&  GLVSOD\HG E\  *R WR WURXEOH 7URXEOH FRGH
LQGLFDWRU OLJKW" FRGH VHFWLRQ FOHDU
( ¤  (0,66,21 $1' (/(&75,&$/ ',$*126,6

'7&(;+$867*$65(&,5&8/$7,21 (*5 9$&8806:,7&+,1*


9$/9( 969 62/(12,'&21752/+,*+92/7$*(

/;WLI
(0,66,21 $1' (/(&75,&$/ ',$*126,6 ( ¤ 

$SSHDUDQFHRI9DFXXP6ZLWFKLQJ9DOYH 969 ([KDXVW*DV5HFLUFXODWLRQ (*5


FRQQHFWRU

/:WLI /;WLI
)LJXUH 969(*5 )LJXUH 969(*5 FRQQHFWRU

&RQQHFWRU 1R 6LJQDO

 *1'
 6,*

0HDVXUHUHVLVWDQFHDW969(*5

/:WLI

&$87,21

:KHQ PHDVXULQJ UHVLVWDQFH ZLWK D FLUFXLW WHVWHU EH FDUHIXO QRW WR GDPDJH RU GHIRUP WKH WHUPLQDOV

5HVLVWDQFH YDOXH

,QVSHFWLRQ 3RLQW 5HVLVWDQFH 9DOXH

&RQQHFWRU 3LQ 1R :



5HIHUHQFH

 SLQ  mo     IRU  YROW 6,* mo *1'


%ODFN    IRU  YROW

 mo %RG\ f 6,* mo %RG\


1RWH 5HVLVWDQFH YDOXH LV GLIIHUHQFH DFFRUGLQJ WR WKH HQJLQH WHPSHUDWXUH FRQGLWLRQ RI HQJLQH
ZDUPLQJ XS
( ¤  (0,66,21 $1' (/(&75,&$/ ',$*126,6

6WHS $FWLRQ 9DOXH V <HV 1R

 :DV WKH ¦'LDJQRVWLF V\VWHP FKHFN§  *R WR 6WHS  *R WR

SHUIRUPHG" GLDJQRVWLF

V\VWHP FKHFN

 8VLQJ WKH '90 FKHFN WKH UHVLVWDQFH RI WKH 969  a  : *R WR 6WHS  *R WR 6WHS 

'RHV WKH '90 UHDG WKH IROORZLQJ 9DOXH"  a  :


  ,JQLWLRQ ¦2))§  *R WR 6WHS  *R WR 6WHS 

 'LVFRQQHFW WKH (&0 FRQQHFWRU IURP (&0

 &KHFN WKH VKRUW WR YROWDJH RI 969 FLUFXLW EHWZHHQ WKH

(&0 DQG 969 FRQQHFWRU

 5HSDLU LI QHFHVVDU\

+DV '7&  EHHQ FRUUHFWHG"

 5HSODFH WKH 969  *R WR 6WHS  

,V WKH DFWLRQ FRPSOHWH"

 5HSODFH WKH (&0  *R WR 6WHS  

,V WKH DFWLRQ FRPSOHWH"

  5HFRQQHFW DOO WKH FRQQHFWRUV UHPRYHG  *R WR 6WHS  *R WR 6WHS 

 ,JQLWLRQ ¦21§ (QJLQH ¦2))§

'RHV '7&  FRPH QRUPDO FRQGLWLRQ"

 ,V DQ\ FXUUHQW WURXEOH RWKHU WKDQ '7&  GLVSOD\HG E\  *R WR WURXEOH 7URXEOH FRGH

LQGLFDWRU OLJKW" FRGH VHFWLRQ FOHDU


(0,66,21 $1' (/(&75,&$/ ',$*126,6 ( ¤ 

'7&48,&.2167$57 426 5(/$<&21752/&,5&8,7/2:


92/7$*(

/;WLI
( ¤  (0,66,21 $1' (/(&75,&$/ ',$*126,6

/RFDWLRQRIUHOD\

/:WLI
(0,66,21 $1' (/(&75,&$/ ',$*126,6 ( ¤ 

,QVSHFWLRQIRUSUHVWURNHSRZHUFXWUHOD\

/:WLI /:WLI

5HVLVWDQFHYDOXH

,QVSHFWLRQ SRLQW 5HVLVWDQFH 5HIHUHQFH

,QVSHFWLRQ  mo  : IRU  YROW



UHOD\ XQLW : IRU  YROW


 mo  f 1RW EH VXSSOLHG HOHFWULFLW\ WR FRLO

%HORZ  : %H VXSSOLHG HOHFWULFLW\ WR FRLO


( ¤  (0,66,21 $1' (/(&75,&$/ ',$*126,6

6WHS $FWLRQ 9DOXH V <HV 1R

 :DV WKH ¦'LDJQRVWLF V\VWHP FKHFN§  *R WR 6WHS  *R WR


SHUIRUPHG" GLDJQRVWLF
V\VWHP FKHFN

  ,JQLWLRQ ¦2))§  9ROW *R WR 6WHS  *R WR 6WHS 

 'LVFRQQHFW WKH 5HOD\ IURP WKH 5HOD\ ER[ FRQQHFWRU RU


 9ROW
 ,JQLWLRQ ¦21§ (QJLQH ¦2))§

 8VLQJ WKH 'LJLWDO 9ROWPHWHU '90  FKHFN IRU YROWDJH


RQ WKH ¦3RZHU VXSSO\ VLGH WHUPLQDO§ WHUPLQDO RI WKH
5HOD\ %R[ &RQQHFWRU
'RHV WKH '90 UHDG WKH IROORZLQJ YDOXH"

  &KHFN WKH VXVSHFW FLUFXLW EHWZHHQ WKH 5HOD\  *R WR 6WHS  


FRQQHFWRU
)XVH IRU WKH IROORZLQJ FRQGLWLRQ

$ VKRUW WR JURXQG

$Q RSHQ FLUFXLW

 5HSDLU LI QHFHVVDU\
+DV '7&  EHHQ FRUUHFWHG"

 8VLQJ WKH '90 FKHFN WKH UHVLVWDQFH RI LQWHU ¦§ ¦§ : *R WR 6WHS  *R WR 6WHS 
5HOD\ WHUPLQDO IRU  9ROW
'RHV WKH '90 UHDG WKH IROORZLQJ 9DOXH"  :
IRU  9ROW

  ,JQLWLRQ ¦2))§  *R WR 6WHS  *R WR 6WHS 

 'LVFRQQHFW WKH (&0 FRQQHFWRU IURP (&0

 &KHFN WKH 5HOD\ FLUFXLW EHWZHHQ WKH (&8 DQG 5HOD\


FRQQHFWRU

$ VKRUW WR JURXQG

$Q RSHQ FLUFXLW

 5HSDLU LI QHFHVVDU\
+DV '7&  EHHQ FRUUHFWHG"

 5HSODFH WKH 5HOD\  *R WR 6WHS  


,V WKH DFWLRQ FRPSOHWH"

 5HSODFH WKH (&0  *R WR 6WHS  


,V WKH DFWLRQ FRPSOHWH"

  5HFRQQHFW DOO WKH FRQQHFWRUV UHPRYHG  *R WR 6WHS  *R WR 6WHS 

 ,JQLWLRQ ¦21§ (QJLQH ¦2))§


'RHV '7&  FRPH QRUPDO FRQGLWLRQ"

 ,V DQ\ FXUUHQW WURXEOH RWKHU WKDQ '7&  GLVSOD\HG E\  *R WR WURXEOH 7URXEOH FRGH
LQGLFDWRU OLJKW" FRGH VHFWLRQ FOHDU
(0,66,21 $1' (/(&75,&$/ ',$*126,6 ( ¤ 

'7&48,&.2167$57 426 5(/$<&21752/&,5&8,7+,*+


92/7$*(

/;WLI
( ¤  (0,66,21 $1' (/(&75,&$/ ',$*126,6

/RFDWLRQRIUHOD\

/:WLI
(0,66,21 $1' (/(&75,&$/ ',$*126,6 ( ¤ 

,QVSHFWLRQIRU4XLFN2Q6WDUW 426 SRZHUFXWUHOD\

/:WLI /:WLI

5HVLVWDQFHYDOXH

,QVSHFWLRQ SRLQW 5HVLVWDQFH 5HIHUHQFH

,QVSHFWLRQ  mo   : IRU  YROW


UHOD\ XQLW  : IRU  YROW
 mo  f 1RW EH VXSSOLHG HOHFWULFLW\ WR FRLO

%HORZ  : %H VXSSOLHG HOHFWULFLW\ WR FRLO


( ¤  (0,66,21 $1' (/(&75,&$/ ',$*126,6

6WHS $FWLRQ 9DOXH V <HV 1R

 :DV WKH ¦'LDJQRVWLF V\VWHP FKHFN§  *R WR 6WHS  *R WR


SHUIRUPHG" GLDJQRVWLF
V\VWHP FKHFN

 8VLQJ WKH '90 FKHFN WKH UHVLVWDQFH EHWZHHQ WHUPLQDO : *R WR 6WHS  *R WR 6WHS 
QXPEHU  DQG  RI WKH 5HOD\ IRU  9ROW
'RHV WKH '90 UHDG WKH IROORZLQJ 9DOXH"  :
IRU  9ROW

  ,JQLWLRQ ¦2))§  *R WR 6WHS  *R WR 6WHS 

 'LVFRQQHFW WKH (&0 FRQQHFWRU IURP (&0

 &KHFN WKH VKRUW WR YROWDJH RI 5HOD\ FLUFXLW EHWZHHQ


WKH (&0 DQG 5HOD\ FRQQHFWRU

 5HSDLU LI QHFHVVDU\
+DV '7&  EHHQ FRUUHFWHG"

 5HSODFH WKH 5HOD\  *R WR 6WHS  


,V WKH DFWLRQ FRPSOHWH"

 5HSODFH WKH (&0  *R WR 6WHS  


,V WKH DFWLRQ FRPSOHWH"

  5HFRQQHFW DOO WKH FRQQHFWRUV UHPRYHG  *R WR 6WHS  *R WR 6WHS 

 ,JQLWLRQ ¦21§ (QJLQH ¦2))§


'RHV '7&  FRPH QRUPDO FRQGLWLRQ"

 ,V DQ\ FXUUHQW WURXEOH RWKHU WKDQ '7&  GLVSOD\HG E\  *R WR WURXEOH 7URXEOH FRGH
LQGLFDWRU OLJKW" FRGH VHFWLRQ FOHDU
(0,66,21 $1' (/(&75,&$/ ',$*126,6 ( ¤ 

'7&(/(&7521,&$//<(5$6$%/(352*5$00$%/(5($'21/<
0(025< ((3520 (5525
6WHS $FWLRQ 9DOXH V <HV 1R

 :DV WKH ¦'LDJQRVWLF V\VWHP FKHFN§  *R WR 6WHS  *R WR

SHUIRUPHG" GLDJQRVWLF

V\VWHP FKHFN

 5HSODFH WKH (&0  *R WR 6WHS  

,V WKH DFWLRQ FRPSOHWH"

  5HFRQQHFW DOO WKH FRQQHFWRUV UHPRYHG  *R WR 6WHS  *R WR 6WHS 

 ,JQLWLRQ ¦21§ (QJLQH ¦2))§

,V '7&  DOO ULJKW XQGHU 6FDQ 7RRO &KHFN"

 ,V DQ\ FXUUHQW WURXEOH RWKHU WKDQ '7&  GLVSOD\HG E\  *R WR WURXEOH 7URXEOH FRGH

LQGLFDWRU OLJKW" FRGH VHFWLRQ FOHDU


( ¤  (0,66,21 $1' (/(&75,&$/ ',$*126,6

:,7+287',$*126,67528%/(&2'(
,1752'8&7,21
,I WKHUH RFFXUV D PDOIXQFWLRQ DOWKRXJK QR 'LDJQRVWLF 7URXEOH &RGH '7& LV JHQHUDWHG WKHQ LQVSHFW DQG UHSDLU WKH
V\VWHP LQ DFFRUGDQFH ZLWK WKH IORZFKDUWV JLYHQ RQ WKH IROORZLQJ SDJHV

:KHQ D 'LDJQRVWLF 7URXEOH &RGH '7& LV SURGXFHG LQVSHFW DQG UHSDLU V\VWHP ZLWK UHIHUHQFH WR ¦(0,66,21 $1'
(/(&75,&$/ ',$*126,6§
(0,66,21 $1' (/(&75,&$/ ',$*126,6 ( ¤ 

67$5783)$,/85( 4XLFN2Q6WDUWRQO\

)ORZWLI
( ¤  (0,66,21 $1' (/(&75,&$/ ',$*126,6

IORZ%6WDUWXSWLI

127( 

7KH FRQGLWLRQ RI WKH V\VWHP LQ ZKLFK WKH PDOIXQFWLRQ KDV RFFXUUHG VKRXOG EH FKHFNHG E\ PDNLQJ
FRPSDULVRQV EHWZHHQ WKH YHKLFOH (QJLQH &RQWURO 0RGXOH (&0 DQG WKH FKHFNLQJ (&0
(0,66,21 $1' (/(&75,&$/ ',$*126,6 ( ¤ 

%/$&.602.( (;&(66,9(

)ORZWLI
( ¤  (0,66,21 $1' (/(&75,&$/ ',$*126,6

IORZ%%ODFNWLI

127( 

7KH FRQGLWLRQ RI WKH V\VWHP LQ ZKLFK WKH PDOIXQFWLRQ KDV RFFXUUHG VKRXOG EH FKHFNHG E\ PDNLQJ
FRPSDULVRQV EHWZHHQ WKH YHKLFOH (QJLQH &RQWURO 0RGXOH (&0 DQG WKH FKHFNLQJ (&0

127( 

5HIHU WR D WURXEOH FRGH IRU D VXSSOLHU©V FKHFN LI DYDLODEOH


(0,66,21 $1' (/(&75,&$/ ',$*126,6 ( ¤ 

/$&.2)32:(5

)ORZWLI
( ¤  (0,66,21 $1' (/(&75,&$/ ',$*126,6

IORZ%/DFNRIWLI

127( 

7KH FRQGLWLRQ RI WKH V\VWHP LQ ZKLFK WKH PDOIXQFWLRQ KDV RFFXUUHG VKRXOG EH FKHFNHG E\ PDNLQJ
FRPSDULVRQV EHWZHHQ WKH YHKLFOH (QJLQH &RQWURO 0RGXOH (&0 DQG WKH FKHFNLQJ (&0
(0,66,21 $1' (/(&75,&$/ ',$*126,6 ( ¤ 

(;+$867%5$.(0$/)81&7,21 ([KDXVW%UDNHRQO\

IORZV([KDXVW%NWLI
( ¤  (0,66,21 $1' (/(&75,&$/ ',$*126,6

IORZV4:6V\V&KHFNWLI
(0,66,21 $1' (/(&75,&$/ ',$*126,6 ( ¤ 

IORZV4:6V\V&KHFNWLI
( ¤  (0,66,21 $1' (/(&75,&$/ ',$*126,6

,163(&7,21 8QLW

$SSO\ D QHJDWLYH SUHVVXUH RI  N3D   N3D


 ([KDXVW%UDNH0DJQHWLF9DOYH ^ PP+J   PP+J` WR WKH SRZHU FKDPEHU
E\ PHDQV RI D YDFXXP SXPS DQG PDNH VXUH RI
,QVSHFWLRQ
WKH VPRRWK RSHQLQJFORVLQJ RI WKH H[KDXVW EUDNH
&RQQHFW WKH PDJQHWLF YDOYH FRQQHFWRU WHUPLQDO
YDOYH
1R DQG 1R WR  WHUPLQDO DQG  WHUPLQDO RI
EDWWHU\ UHVSHFWLYHO\ DQG FKHFN WKH FRQWLQXLW\
EHWZHHQ WKH SRUWV

/:WLI

$SSO\ D QHJDWLYH SUHVVXUH RI    N3D ^


  PP+J` WR WKH SRZHU FKDPEHU XVLQJ D
YDFXXP SXPS DQG PDNH VXUH WKH DYHUDJH RI
PHDVXUHPHQWV DW 3RLQW $ DQG 3RLQW % RI WKH
FOHDUDQFH EHWZHHQ YDOYH DQG ERG\ LV DV IROORZV
 PP   PP 0LQLPXP PP
,I WKH FOHDUDQFH LV RXW RI WKLV UDQJH DGMXVW ZLWK WKH
DGMXVWLQJ EROW
/:WLI

&$87,21 :KHQ PHDVXULQJ UHVLVWDQFH ZLWK D

FLUFXLW WHVWHU EH FDUHIXO QRW WR GDPDJH RU

GHIRUP WKH WHUPLQDOV

 ([KDXVW7KURWWOH9DOYH
:RUNLQJ

$FWXDWH WKH H[KDXVW EUDNH ZLWK WKH HQJLQH LGOLQJ


DQG PDNH VXUH WKDW \RX KHDU WKH YDOYH VWULNH RQ
WKH VWRSSHU

/:WLI

 ,QWDNH7KURWWOH9DOYH
:RUNLQJ

'LVFRQQHFW WKH YDFXXP KRVH IURP WKH DFWXDWRU


DQG WU\ WR PRYH WKH URG E\ KDQG PDNLQJ VXUH RI
WKH VPRRWK PRYH RI WKH URG

/:WLI
(0,66,21 $1' (/(&75,&$/ ',$*126,6 ( ¤ 

(;+$867*$65(&,5&8/$7,21 (*5  $FFHOHUDWRU 6ZLWFK

6<67(00$/)81&7,21 9DFXXP SROH FRQQHFWRU W\SH

6ZLWFKLQJ9DOYH,QWDNH7KURWWOH ,QVSHFWLRQ

 &KHFN WKH FRQWLQXLW\ EHWZHHQ WKH VZLWFK


,QVSHFWLRQ
FRQQHFWRU WHUPLQDOV
&RQQHFW WKH YDFXXP VZLWFKLQJ YDOYH FRQQHFWRU
WHUPLQDOV 1R DQG 1R WR  WHUPLQDO DQG  &$87,21 :KHQ PHDVXULQJ UHVLVWDQFH ZLWK D
WHUPLQDOV RI EDWWHU\ UHVSHFWLYHO\ DQG FKHFN WKH FLUFXLW WHVWHU EH FDUHIXO QRW WR GDPDJH RU
FRQWLQXLW\ EHWZHHQ WKH SRUWV GHIRUP WKH WHUPLQDOV
,I WKH FKHFN UHVXOW LV DEQRUPDO UHSDLU RU UHSODFH
WKH YDOYH  &KHFN WKH VPRRWK PRYH RI WKH SXVKURG ,I WKH
FKHFN UHVXOW LV DEQRUPDO UHSDLU RU UHSODFH WKH
SXVKURG

/:WLI

/:WLI

5HPRYDO

 $FFHOHUDWRU 6ZLWFK
'LVFRQQHFW WKH FRQQHFWRU
/RRVHQ WKH ORFN QXW
7XUQ WKH VZLWFK WR UHPRYH

5H LQVWDOODWLRQ

7R LQVWDOO IROORZ WKH UHPRYDO SURFHGXUH LQ UHYHUVH


RUGHU

 'ULYH WKH WKUHDGHG SDUW RI WKH VZLWFK XQWLO LWV


HQG VXUIDFH EHFRPHV IOXVK ZLWK WKDW RI WKH
EUDFNHW VLGH RI QXW

 7LJKWHQ WKH ORFN QXW

7LJKWHQLQJ WRUTXH  1±P ^ NJ±±FP`


( ¤  (0,66,21 $1' (/(&75,&$/ ',$*126,6

(;+$867*$65(&,5&8/$7,21 (*5 6<67(00$/)81&7,21

)ORZWLI
(0,66,21 $1' (/(&75,&$/ ',$*126,6 ( ¤ 

,163(&7,21 &RQQHFW EDWWHU\ YROWDJH EHWZHHQ 969 FRQQHFWRU


WHUPLQDOV DQG PDNH VXUH RI WKH FRQWLQXLW\ EHWZHHQ
 7KHUPRVHQVRU (QJLQHFRRODQW WKH SRUWV

WHPSHUDWXUH
6RDN WKH WHPSHUDWXUH VHQVLWLYH SDUW RI D
WKHUPRVHQVRU LQ WKH ZDWHUDQG ZKLOH FKDQJLQJ WKH
ZDWHU WHPSHUDWXUH PDNH VXUH WKH UHVLVWDQFH LV
FKDQJHG DV WKH IROORZLQJ JUDSK VKRZV

/:WLI

 $LUWLJKW &KHFN

$SSO\ QHJDWLYH SUHVVXUH WR WKH QHJDWLYH SUHVVXUH


LQSXW SRUW DV LOOXVWUDWHG RQ WKH OHIW
/:WLI

$OWKRXJK WKHUH LV OHDNDJH LW LV QR SUREOHP LI WKH


QHJDWLYH SUHVVXUH ULVHV WR  PP+J  N3D
RU PRUH

/:WLI

/:WLI

 :RUNLQJ &KHFN

 9DFXXP6ZLWFKLQJ9DOYH 969 $SSO\ SRZHUYROWDJH EHWZHHQ WKH WHUPLQDOV WKHUH


 5HVLVWDQFH &KHFN LV QR SUREOHP LI WKH QHJDWLYH SUHVVXUH GRHV QRW

&KHFN WKH UHVLVWDQFH EHWZHHQ WKH 969 FRQQHFWRU ULVH ZKHQ DSSOLHG WR WKH LQSXW SRUW

WHUPLQDOV XVLQJ D FLUFXLW WHVWHU


&ROG 5HVLVWDQFH  : IRU  YROW PRGHO &$87,21 :KHQ PHDVXULQJ UHVLVWDQFH ZLWK D

  : IRU  YROW PRGHO


FLUFXLW WHVWHU EH FDUHIXO QRW WR GDPDJH RU

GHIRUP WKH WHUPLQDOV

/:WLI
( ¤  (0,66,21 $1' (/(&75,&$/ ',$*126,6

 ([KDXVW*DV5HFLUFXODWLRQ (*5 9DOYH &KHFN WR VHH LI (*5 YDOYH LV QRUPDOO\ DFWXDWHG


XQGHU WKH IROORZLQJ FRQGLWLRQV
:LWK QHJDWLYH SUHVVXUH DSSOLHG WR WKH GLDSKUDJP
(QJLQH FRRODQW WHPS  ƒ& RU KLJKHU
FKDPEHU PDNH VXUH WKDW WKH YDOYH LV VPRRWKO\
DFWXDWHG WR PDNH WKH DUHD EHWZHHQ  DQG 
YHQWLODWHG
6WDUWXS $ERXW  PP+J ‘  PP+J

/:WLI
(0,66,21 $1' (/(&75,&$/ ',$*126,6 ( ¤ 

63(&,$/722/6
722/ 12
,//8675$7,21
722/ 1$0(



- 

+LJK ,PSHGDQFH
0XOWLPHWHU
'LJLWDO 9ROWPHWHU
'90
(WLI



- $

9DFXXP 3XPS ZLWK


*DXJH

(WLI
HOME
(1*,1( (;+$867 ) ¤ 

6(&7,21)
(;+$867
&$87,21
([KDXVW V\VWHP FRPSRQHQWV PXVW KDYH HQRXJK GDPDJH WR WKH SDVVHQJHU FRPSDUWPHQW LQVXODWLRQ

FOHDUDQFH IURP WKH XQGHUERG\ WR SUHYHQW DQG WULP PDWHULDOV

RYHUKHDWLQJ RI WKH IORRU SDQ DQG SRVVLEOH

&217(176
3$*(
*HQHUDO'HVFULSWLRQ ) 
*DVNHW ) 
2Q9HKLFOH6HUYLFH  ) 
)URQW([KDXVW3LSH  ) 
) ¤  (1*,1( (;+$867

*(1(5$/'(6&5,37,21

/;WLI

7KH YHKLFOH LV HTXLSSHG ZLWK D VLQJOH KRUL]RQWDO H[KDXVW


V\VWHP ZKLFK FRQVLVWV RI D IURQW H[KDXVW SLSH ZLWK D KHDW
VKLHOG DWWDFKHG D PDLQ H[KDXVW SLSH D VLOHQFHU ZLWK
FDWDO\WLF FRQYHUWHU DQG D WDLO SLSH

$Q HQJLQH H[KDXVW EUDNH LV DWWDFKHG EHWZHHQ WKH IURQW


H[KDXVW SLSH DQG WKH H[KDXVW PDQLIROG

7KH H[KDXVW EUDNH ZKHQ WXUQHG RQ UHVWULFWV WKH IORZ RI


H[KDXVW JDVHV DQG WKHUHE\ VORZV WKH HQJLQH

%H VXUH WKH H[KDXVW EUDNH V\VWHP LV WXUQHG RII EHIRUH


SHUIRUPLQJ DQ\ H[KDXVW V\VWHP GLDJQRVLV

*$6.(7
7KH JDVNHW PXVW EH UHSODFHG ZKHQHYHU D QHZ H[KDXVW
SLSH PXIIOHU RU H[KDXVW WKURWWOH LV LQVWDOOHG

7+5(( :$< &$7$/<7,& &219(57(5

7KH WKUHH ZD\ FDWDO\WLF FRQYHUWHU LV DQ HPLVVLRQ FRQWURO


GHYLFH DGGHG WR WKH H[KDXVW V\VWHP WR UHGXFH SROOXWDQWV
IURP WKH H[KDXVW JDV VWUHDP

&$87,21

‡ 7KH FDWDO\WLF FRQYHUWHU UHTXLUHV WKH XVH RI

XQOHDGHG IXHO RQO\

3HULRGLF PDLQWHQDQFH RI WKH H[KDXVW V\VWHP LV QRW


UHTXLUHG ,I WKH YHKLFOH LV UDLVHG IRU RWKHU VHUYLFH LW LV
DGYLVDEOH WR FKHFN WKH FRQGLWLRQ RI WKH FRPSOHWH H[KDXVW
/;WLI
V\VWHP

$ GXDO EHG PRQROLWK FDWDO\WLF FRQYHUWHU LV XVHG LQ


FRPELQDWLRQ ZLWK WKUHH ZD\ FDWDO\WLF FRQYHUWHU

&DWDO\WLF 7\SHV

7KUHH ZD\ 5HGXFWLRQ2[LGDWLRQ FDWDO\VW

7KH FDWDO\VW FRDWLQJ RQ WKH WKUHH ZD\ UHGXFWLRQ FRQYHUWHU


FRQWDLQV SODWLQXP DQG UKRGLXP ZKLFK ORZHUV WKH OHYHOV RI
QLWURJHQ R[LGHV 12[ DV ZHOO DV K\GURFDUERQV +& DQG
FDUERQ PRQR[LGH &R 
(1*,1( (;+$867 ) ¤ 

219(+,&/(6(59,&(
5DWWOHV DQG QRLVH YLEUDWLRQV LQ WKH H[KDXVW V\VWHP DUH  &KHFN FODPSV DQG UXEEHUV IRU ZHDNQHVV FUDFNV
XVXDOO\ FDXVHG E\ PLVDOLJQPHQW RI SDUWV :KHQ RU GDPDJH
DOLJQLQJ WKH V\VWHP OHDYH DOO EROWV RU QXWV ORRVH XQWLO DOO  &KHFN IRU GHQWV RU GDPDJH DQG IRU DQ\ KROHV RU
SDUWV DUH SURSHUO\ DOLJQHG WKHQ WLJKWHQ ZRUNLQJ IURP FUDFNV FDXVHG E\ FRUURVLRQ
IURQW WR UHDU

 &KHFN FRQQHFWLRQV IRU ORRVHQHVV RU GDPDJH


HVSHFLDOO\ IRU H[KDXVW JDV OHDNDJH

)5217(;+$8673,3(

)WLI

5(029$/
3UHSDUDWLRQ

‡ %DWWHU\ QHJDWLYH FDEOH

 )URQW ([KDXVW 3LSH , ([KDXVW PDQLIROG VLGH

‡ 5HPRYH WKUHH QXWV IURP IURQW H[KDXVW SLSH , H[KDXVW


PDQLIROG VLGH

‡ 5HPRYH WKH EROW IURP PRXQWLQJ EUDFNHW HQJLQH ULJKW


VLGH

‡ 5HPRYH IRXU EROWV DQG QXWV IURP IURQW H[KDXVW SLSH ,,


H[KDXVW EUDNH VLGH

)WLI

 )URQW ([KDXVW 3LSH ,, H[KDXVW EUDNH VLGH


) ¤  (1*,1( (;+$867

,167$//$7,21
 )URQW ([KDXVW 3LSH ,, H[KDXVW EUDNH VLGH

([KDXVW %UDNH 8QLW IL[LQJ %ROW 7RUTXH 1±P NJ±POE±IW

 

 )URQW ([KDXVW 3LSH , H[KDXVW PDQLIROG VLGH

([KDXVW 3LSH ,, VLGH 1±P NJ±POE±IW

 

0RXQWLQJ %UDFNHW %ROW 7RUTXH 1±P NJ±POE±IW

 

0DQLIROG )L[LQJ 1XW 7RUTXH 1±P NJ±POE±IW

 

‡ &RQQHFW EDWWHU\ JURXQG FDEOH

‡ 6WDUW HQJLQH DQG FKHFN IRU H[KDXVW JDV OHDNDJH IURP


H[KDXVW SLSHV
)WLI
HOME
785%2&+$5*(5 * ¤ 

6(&7,21*
785%2&+$5*(5

&217(176
3$*(
*HQHUDO'HVFULSWLRQ * 
2Q9HKLFOH6HUYLFH  * 
&KDUJH$LU3LSH * 
,QWDNH0DQLIROG  * 
7XUERFKDUJHU  * 
,QVSHFWLRQDQG5HSDLU  * 
2LO/HDNDJH&KHFN * 
([KDXVW0DQLIROG * 
7XUERFKDUJHU7XUELQH+RXVLQJ5HSODFHPHQW )RU+*7PRGHO  * 
&KDUJH$LU&RROHU  *
* ¤  785%2&+$5*(5

*(1(5$/'(6&5,37,21
785%2&+$5*(5

*WLI

*DUUHWW WXUERFKDUJHU FRPSRQHQWV DUH FRQVWLWXWHG WKH 7KH WXUERFKDUJHU LQFUHDVH DLU LQWDNH HIILFLHQF\ WKH
&HQWHU +RXVLQJ DQG 5RWDWLQJ $VVHPEO\ &+5$  WKH UHVXOWV LQ LQFUHDVHG HQJLQH SRZHU UHGXFHG IXHO
FRPSUHVVRU KRXVLQJ DQG WKH WXUELQH KRXVLQJ FRQVXPSWLRQ DQG PLQLPDO HQJLQH QRLVH

5RWDWLQJ SDUWV LQFOXGH WKH WXUELQH VKDIW WKH 7XUERFKDUJHU URWDWLQJ SDUWV RSHUDWH DW YHU\ KLJK
FRPSUHVVRU ZKHHO WKH VKDIW EHDULQJV WKH WKUXVW VSHHGV DQG WHPSHUDWXUHV 7KH SDUWV PDWHULDOV KDYH
EHDULQJV DQG WKH RLO VHDO ULQJV 7KHVH SDUWV DUH EHHQ FDUHIXOO\ VHOHFWHG DQG PDFKLQHG WR H[WUHPHO\
VXSSRUWHG E\ WKH FHQWHU KRXVLQJ KLJK SUHFLVLRQ

7KH WXUERFKDUJHU EHDULQJ DQG WXUELQH VKDIW DUH 7KH WXUERFKDUJHU IRU +*7 (QJLQH KDV D XQLW
OXEULFDWHG ZLWK HQJLQH RLO DQG DW WKH VDPH WLPH DUH FRQVWUXFWLRQ RI WXUELQH KRXVLQJ DQG H[KDXVW PDQLIROG
FRROHG ZLWK HQJLQH FRRODQW WR LPSURYH WKHLU GXUDELOLW\
785%2&+$5*(5 * ¤ 

219(+,&/(6(59,&(

*WLI

/;WLI
* ¤  785%2&+$5*(5

&+$5*($,53,3(
5(029$/
 &RQQHFWLQJ KRXVH FODPSV

 &RQQHFWLQJ KRVHV

 %UDFNHW EROWV DQG ZDVKHUV DQG FKDUJH DLU SLSH

 &ODPSV

 &RQQHFWLQJ KRVH

 %UDFNHW DFFHOHUDWRU FDEOH

 %UDFNHW HQJLQH VWRS FDEOH DQG YDFXXP KRVH

 (QJLQH KDUQHVV FRQQHFWRU

 &KDUJH DLU SLSH

*WLI  *DVNHW

&$87,21

‡ +RVHV IRU GHWHULRUDWLRQ RU GDPDJH

‡ &KDUJH DLU SLSHV IRU GDPDJH

,167$//$7,21
 *DVNHW WR WKH LQWDNH PDQLIROG

 &KDUJH DLU SLSH

 (QJLQH KDUQHVV FRQQHFWRU

 %UDFNHW HQJLQH VWRS FDEOH DQG YDFXXP KRVH

 %UDFNHW DFFHOHUDWRU FDEOH

 &RQQHFWLQJ KRVH

 &ODPSV

 &KDUJH DLU SLSH DQG EUDFNHW EROWV

 &RQQHFWLQJ KRVHV

 &ODPSV

,17$.(0$1,)2/'
5(029$/
 3&9 KRVH

 $FFHOHUDWRU FDEOH LQMHFWLRQ SXPS VLGH

 &RQQHFWLQJ KRVH

 %UDFNHW DFFHOHUDWRU FDEOH

 %UDFNHW HQJLQH VWRS FDEOH DQG YDFXXP KRVH

 (QJLQH KDUQHVV FRQQHFWRU


*WLI

 &KDUJH DLU SLSH

 *DVNHW

 ,QMHFWLRQ SLSH

 ,QWDNH PDQLIROG

 *DVNHW DQG GLVFDUG


785%2&+$5*(5 * ¤ 

,167$//$7,21
 ,QWDNH PDQLIROG

7LJKWHQ

,QWDNH PDQLIROG 1±P NJ±P,E±IW

   

 ,QMHFWLRQ SLSH

7LJKWHQ

)XHO LQMHFWRU OLQH QXWV 1±P NJ±P,E±IW

   

 *DVNHW

 &KDUJH DLU SLSH

 (QJLQH KDUQHVV FRQQHFWRU

 %UDFNHW HQJLQH VWRS FDEOH DQG YDFXXP KRVH

 %UDFNHW DFFHOHUDWRU FDEOH

 &RQQHFWLQJ KRVH

 $FFHOHUDWRU FDEOH LQMHFWLRQ SXPS VLGH

 3&9 KRVH

785%2&+$5*(5
5HIHU WR ¦6WDWHPHQW RQ &OHDQOLQHVV DQG &DUH§ SUHYLRXVO\ LQ
WKLV VHFWLRQ

5(029$/
 7XUERFKDUJHU DLU LQOHW SLSH

 7XUERFKDUJHU LQWDNH SLSH

 &RQQHFWLQJ KRVH
*WLI
 ([KDXVW JDV UHFLUFXODWLRQ (*5 SLSH

 +HDW VKLHOG EROW

 :DWHU IHHG DQG GUDLQ OLQHV

 2LO IHHG OLQH

 2LO GUDLQ OLQH

 ([KDXVW SLSH WR H[KDXVW DGDSWHU QXWV

 ([KDXVW DGDSWHU WR WXUERFKDUJHU QXWV

 7XUERFKDUJHU WR H[KDXVW PDQLIROG QXWV

&$87,21

7KH WXUERFKDUJHU IRU +*7 (QJLQH KDV D XQLW


FRQVWUXFWLRQ RI WXUELQ KRXVLQJ DQG H[KDXVW PDQLIROG
* ¤  785%2&+$5*(5

,163(&7,21$1'5(3$,5
&$87,21

‡ 7XUERFKDUJHU KRXVLQJ IRU FUDFNV RU GDPDJH

‡ *DVNHW VXUIDFHV IRU GDPDJH

‡ 6HDOV DQG JDVNHWV IRU GDPDJH

‡ 7XUELQH DQG FRPSUHVVRU EODGHV IRU GDPDJH RU

FDUERQ EXLOGXS

‡ $LU DQG H[KDXVW H[LW RSHQLQJV IRU RLO RU ZHWQHVV

‡ )RU JULQGLQJ RU URXJKQHVV ZKHQ VSLQQLQJ WXUELQH

DQG FRPSUHVVRU ZKHHOV E\ KDQG

‡ )RU HYLGHQFH RI WXUELQH RU FRPSUHVVRU EODGHV

FRQWDFWLQJ WKH VKURXG RU KRXVLQJ ,I DQ\ RI WKH

DERYH FRQGLWLRQV H[LVW WKH WXUERFKDUJHU PXVW EH

UHSODFHG RU UHSDLUHG E\ DQ DXWKRUL]HG UHSDLU

IDFLOLW\

3/$<,15$',$/&/($5$1&(
0RYLQJ WKH URWRU LQ WKH UDGLDO FOHDUDQFH PHDVXUH WKH SOD\
E\ D GLDO JDJH
‡ 0HDVXUH WKH SOD\ DW VHYHUDO SRLQWV ZKLOH OHWWLQJ WKH
URWRU UHYROYH
‡ 8VH RQO\ WKH IODW GLDO JDJH DWWDFKPHQW 'R QRW XVH WKH
SRLQWHG RQH
‡ $WWDFK WKH WXUERFKDUJHU DQG GLDO JDJH ILUPO\

3OD\ LQ UDGLDO FOHDUDQFH PP LQ

6WDQGDUG /LPLW
*WLI

   


   

,I H[FHVVLYH UHSODFH WKH WXUERFKDUJHU

3/$<,1$;,$/&/($5$1&(
0RYLQJ WKH URWRU LQ WKH D[LDO FOHDUDQFH PHDVXUH WKH SOD\
E\ D GLDO JDJH
‡ 0HDVXUH WKH SOD\ DW VHYHUDO SRLQWV ZKLOH OHWWLQJ WKH
URWRU UHYROYH
‡ $WWDFK WKH WXUERFKDUJHU DQG GLDO JDJH ILUPO\

3OD\ LQ D[LDO FOHDUDQFH PP LQ

6WDQGDUG /LPLW

   


   
*WLI

,I H[FHVVLYH UHSODFH WKH WXUERFKDUJHU

2SHUDWLRQRIZDLVWJDWH
‡ 'LVFRQQHFW KRVH @ IURP ZDLVW JDWH ? DQG LQVWDOO
SUHVVXUH JDXJH A DV VKRZQ LQ WKH ILJXUH
‡ :LWK WKH HQJLQH VWRSSHG RSHUDWH WKH SUHVVXUH JDXJH
SXPS WR DSSO\ SUHVVXUH WR WKH ZDLVW JDWH IRU FKHFN WKH
ZDLVW JDWH IXQFWLRQ

*WLI
785%2&+$5*(5 * ¤ 

2,//($.$*(&+(&.
 5HPRYH WKH FKDUJH DLU SLSH FRQQHFWLQJ KRVH WR WKH
FRPSUHVVRU VLGH RI WKH WXUERFKDUJHU

 &OHDQ WKH DUHD DURXQG WKH FRPSUHVVRU ZKHHO

 5HPRYH WKH EORZE\ KRVH

 6WDUW WKH HQJLQH DQG OHW LGOH 5HY WKH HQJLQH DQG KROG
DW ZLGH RSHQ WKURWWOH :27 IRU ILYH VHFRQGV WKHQ
UHOHDVH DQG OHW LGOH IRU ILYH VHFRQGV 5HSHDW WKLV F\FOH
IRU D WRWDO RI ILYH WLPHV WKHQ OHW WKH HQJLQH LGOH VWHDG\
IRU ILYH PLQXWHV

 6KXW RII WKH HQJLQH

 &KHFN WKH FRPSUHVVRU DUHD IRU DQ RLO VWUHDP

&$87,21

‡ $ VWUHDP RI RLO LQGLFDWHV D SRVVLEOH GHIHFWLYH


WXUERFKDUJHU ,I PLVW RU VSUD\ LV SUHVHQW KRZHYHU
WKLV LV QRUPDO DQG LV 127 LQGLFDWLYH RI D
WXUERFKDUJHU SUREOHP

 ,I WKH WXUERFKDUJHU LV VXVSHFW UHIHU WR WKH RQYHKLFOH


VHUYLFH SURFHGXUHV LQ WKLV VHFWLRQ

,167$//$7,21
 ([KDXVW PDQLIROG WR WXUERFKDUJHU

 1HZ JDVNHW DQG WXUERFKDUJHU WR H[KDXVW PDQLIROG

7LJKWHQ

7XUERFKDUJHU 1±P NJ±P,E±IW

   

*WLI

 &\OLQGHU KHDG WR WXUELQKRXVLQJ DQG H[KDXVW PDQLIROG


+*7

([KDXVW PDQLIROG 1±P NJ±P,E±IW

   

/;WLI
* ¤  785%2&+$5*(5

 7XUERFKDUJHU WR H[KDXVW DGDSWHU

7LJKWHQ

([KDXVW DGDSWHU 1±P NJ±P,E±IW

   

 ([KDXVW SLSH WR H[KDXVW DGDSWHU

7LJKWHQ

([KDXVW SLSH 1±P NJ±P,E±IW

*WLI
   

 7XUERFKDUJHU RLO GUDLQ OLQH

7LJKWHQ

2LO GUDLQ OLQH 1±P NJ±P,E±IW

7XUERFKDUJHU    

&\OLQHU ERG\    

 7XUERFKDUJHU RLO VXSSO\ OLQH WR WXUERFKDUJHU

7LJKWHQ

2LO VXSSO\ OLQH 1±P NJ±P,E±IW

   

 :DWHU VXSSO\ DQG GUDLQ OLQHV

7LJKWHQ

:DWHU VXSSO\ 1±P NJ±P,E±IW

   

 +HDW VKLHOG WR H[KDXVW DGDSWHU

 &KDUJH DLU SLSH FRQQHFWLQJ KRVHV DQG FODPSV WR


WXUERFKDUJHU

 $LU LQOHW SLSH WR WXUERFKDUJHU

 )LW WKH FRQQHFWLQJ KRVH RYHU WKH SLSH WR LWV SURMHFWLQJ
SDUW +*7

 $OLJQ FRQQHFWLQJ KRVH DQG SLSH PDUNV ZLWK HDFK RWKHU
+*7

/;WLI
785%2&+$5*(5 * ¤ 

(;+$8670$1,)2/'
5(029$/
 7XUERFKDUJHU DV RXWOLQHG SUHYLRXVO\ LQ WKLV VHFWLRQ

 +HDW VKLHOG

 ([KDXVW PDQLIROG %ROWV QXWV DQG ZDVKHUV

 ([KDXVW PDQLIROG

 *DVNHWV

&$87,21
*WLI

‡ ([KDXVW PDQLIROG DQG F\OLQGHU KHDG IRU FUDFNV RU

GDPDJH WR JDVNHW VXUIDFHV

,167$//$7,21
 *DVNHWV

 ([KDXVW PDQLIROG

 :DVKHUV QXWV DQG EROWV

7LJKWHQ

([KDXVW PDQLIROG 1±P NJ±P,E±IW

   

 +HDW VKLHOG

 7XUERFKDUJHU DV RXWOLQHG SUHYLRXVO\ LQ WKLV VHFWLRQ

785%2&+$5*(5785%,1(+286,1*
5(3/$&(0(17 )RU+*7PRGHO
&KDQJLQJWKHWXUELQHKRXVLQJRIWKHWXUERFKDUJHU
LQWHJUDWHGZLWKWKHH[KDXVWPDQLIROG
,163(&7,21
%HIRUH UHSODFLQJ WKH WXUELQH KRXVLQJ PDNH VXUH WKHUH DUH QR
DEQRUPDOLWLHV LQ RWKHU SDUWV

1RWH

‡ ,W LV QRUPDO WR ILQG VRPH RLO LQVLGH WKH FRPSUHVVHG

DLU GXFW 7KH RLO LV WR OXEULFDWH WKH WXUELQH VKDIW

DQG DV ORQJ DV WKH H[KDXVW LV QRW DEQRUPDOO\ ZKLWH

LQ FRORU WKLV GRHV QRW LQGLFDWH D SUREOHP

/;WLI

 0DNH VXUH WKH SDUWV KDYH QR FUDFNV LPSHGHG


PRYHPHQW GDPDJH RU GLVWRUWLRQ RI VKDSH WKDW WKHUH LV
QR RLO OHDNDJH IURP WKH VHDO DQG WKDW WKHUH LV QR JDV
OHDNDJH

 7XUQ WKH URWRU WR VHH LI LW URWDWHV VPRRWKO\ DOVR


FKHFNLQJ WKH URWDWLRQ GLUHFWLRQ DV ZHOO DV WKH DPRXQW RI
VODFN

5HIHU WR WKH VHSDUDWH UHIHUHQFH VKHHW IRU WKH SURSHU


DPRXQW RI VODFN

,I WKHUH LV DQ DEQRUPDOLW\ LQ DQ\ RI WKH DERYH \RX ZLOO


KDYH WR FKDQJH WKH WXUERFKDUJHU DV D XQLW
* ¤  785%2&+$5*(5

',6$66(0%/<
 6HSDUDWH WKH HQG RI WKH DFWXDWRU URG ? IURP WKH ( 5LQJ

@ WKHQ UHPRYH WKH FUDQN A IURP WKH HQG RI WKH URG ?


 5HPRYH WKH WXUELQH KRXVLQJ WLHGRZQ EROWV E
 6HSDUDWH WKH WXUELQH KRXVLQJ IURP WKH VHQVRU KRXVLQJ

1RWH

‡ %H FDUHIXO QRW WR VFUDWFK WKH WXUELQH EODGHV ZKHQ

UHPRYLQJ SDUWV

,QVSHFWLQJ WKH FHQWHU KRXVLQJ DVVHPEO\

&KHFN WKDW QRQH RI WKH EODGHV LV EHQW FUDFNHG RU


/;WLI

VFUDWFKHG 0DNH VXUH WKHUH DUH QR REVWUXFWLRQV WKDW ZRXOG


LQWHUIHUH ZLWK WKH PRYHPHQW RI WKH EODGHV RU ZLWK PRXQWLQJ
WKH QHZ KRXVLQJ 5HPRYH DQ\ H[FHVV FDUERQ RU RLO

5(3/$&,1*3$576
:KHQ UHDVVHPEOLQJ EH VXUH WR UHSODFH WKH IROORZLQJ SDUWV
8VH RQO\ JHQXLQH ,VX]X SDUWV

 ( 5LQJ @
 7XUELQH KRXVLQJ WLHGRZQ EROWV E
 7XUELQH KRXVLQJ FODPS D
 $GDSWHU QXW

 $GDSWHU VWXG C

/;WLI

&/($1,1*
7KRURXJKO\ FOHDQ RII WKH RLO DQG FDUERQ IURP DEXWWLQJ
VXUIDFHV WKH RLO SDVVDJHV IODQJH VXUIDFHV DLU DQG
H[KDXVW GXFWV HWF $OZD\V DLUGU\ WKH SDUWV DIWHU FOHDQLQJ

$66(0%/<
 ,QVHUW WKH VHQVRU KRXVLQJ LQWR WKH WXUELQH KRXVLQJ

1RWH

‡ :KHQ LQVHUWLQJ WKH VHQVRU KRXVLQJ PDNH VXUH LW ZLOO

QRW LPSHGH WKH PRYHPHQW RI WKH WXUELQH EODGHV

 $SSO\ PRO\EGHQXP GLVXOILGH WR WKH WKUHDG DQG


XQGHUVLGH RI WKH KHDG RI HDFK EROW ?
 7HPSRUDULO\ VHFXUH WKH VHQVRU KRXVLQJ LQ SODFH ZLWK
WKH FODPS @

/;WLI
785%2&+$5*(5 * ¤ 

 &RQQHFW WKH RLO VLGH RI WKH VHQVRU KRXVLQJ ? DQG WKH


(*5FRQQHFWLRQ VLGH RI WKH H[KDXVW PDQLIROG @ WR WKH
DQJOH VHWWLQJ JDXJH WKHQ WLJKWHQ WKH EROW WR VHFXUH WKH
JDXJH LQ SODFH 7KH DQJOH RI WKH VHQVRU KRXVLQJ DQG
WXUELQH KRXVLQJ ZLOO EH VHW ZLWK WKH XVH RI WKLV JDXJH 

7XUERFKDUJHU KRXVLQJ VHWWLQJ JDXJH 

? 0 [ 3 

@ 0 [ 3 

/;WLI  7R JLYH WKH VHQVRU KRXVLQJ VRPH VODFN ORRVHQ WKH EROW
RQ VLGH ? E\ KDOI D WXUQ
 7LJKWHQ WKH WXUELQH KRXVLQJ WLHGRZQ EROWV WR WKH
VSHFLILHG WRUTXH

7LJKWHQLQJ WRUTXH RI
KRXVLQJ WLHGRZQ EROWV 1P NJPOEIW

   

 5HPRYH WKH EROW WKDW VHFXUHV WKH SUHVVXUH JDXJH WKHQ


UHPRYH WKH JDXJH

 0DQXDOO\ WXUQ WKH URWRU FORFNZLVH WR EH VXUH LW LW URWDWHV


VPRRWKO\ &KHFN IRU DEQRUPDO QRLVH GUDJ HWF

 $WWDFK WKH HQG RI WKH DFWXDWRU URG ? WR WKH FUDQN DW WKH


ZDLVW JDWH A DQG VHFXUH ZLWK WKH ( 5LQJ @

/;WLI

 ,QGLFDWH RQ WKH QDPHSODWH WKDW SDUWV ZHUH UHSODFHG

 3RXU FOHDQ RLO WKURXJK WKH RLO ILOOHU SRUW WR SUHYHQW


FRUURVLRQ

 6HDO WKH DLU DQG H[KDXVW GXFWV RI WKH WXUERFKDUJHU DV


ZHOO DV WKH ZDWHU DQG RLO ILOOHU SRUWV WR SUHYHQW IRUHLJQ
PDWWHU IURP HQWHULQJ

/;WLI

)ROORZ WKH DVVHPEO\ GLUHFWLRQV WR UHDWWDFK WR WKH HQJLQH


* ¤  785%2&+$5*(5

&+$5*($,5&22/(5

*WLI
785%2&+$5*(5 * ¤ 

5(029$/
‡ 'LVFRQQHFW WKH EDWWHU\ JURXQG FDEOHV

‡ 'UDLQ WKH HQJLQH FRRODQW

 /RZHU UDGLDWRU KRVHV

 8SSHU UDGLDWRU KRVHV

 +HDWHU KRVH EUDFNHW

 5XEEHU 5LQJ EHOOPRXWK WR VKURXG

 )DQ VKURXG DVVHPEO\

 )OH[LEOH KRVH /+


*WLI

 )OH[LEOH KRVH 5+

 6WD\ UDGLDWRU VXSSRUW

 &KDUJH DLU FRROHU

 5HVHUYH WDQN KRVH

 $LU GXFW SDQHO

 *XLGH SDQHO

 0RXQW QXW DQG FXVKLRQ UXEEHU

 5DGLDWRU DVVHPEO\

*WLI

,167$//$7,21
 5DGLDWRU DVVHPEO\

 0RXQW QXW DQG FXVKLRQ UXEEHU

 *XLGH SDQHO

 $LU GXFW SDQHO

 5HVHUYH WDQN KRVH

 &KDUJH DLU FRROHU

 6WD\ UDGLDWRU VXSSRUW

 )OH[LEOH KRVH 5+


*WLI

 )OH[LEOH KRVH /+

 )DQ VKURXG DVVHPEO\

 5XEEHU 5LQJ

 +HDWHU KRVH EUDFNHW

 8SSHU UDGLDWRU KRVHV

 /RZHU UDGLDWRU KRVHV

RU EUDFNHWV WKDW ZHUH UHPRYHG

‡ )LOO WKH V\VWHP ZLWK QHZ HQJLQH FRRODQW DV GHVFULEHG LQ


&22/,1* 6<67(0 6(& % RI WKLV PDQXDO 7KHQ
FKHFN WKH V\VWHP IRU OHDNV

‡ %DWWHU\ JURXQG FDEOHV


LG4H-WE-9691

You are requested to order this manual using the


manual number that is shown above.

This manual is applicable for vehicles in all countries


except the USA and Canada.

All rights reserved. This manual may not be


reproduced in whole or in part, without the permission
in writing of ISUZU MOTORS LIMITED.

Issued by
ISUZU MOTORS LIMITED
INTERNATIONAL SERVICE DEPARTMENT

Tokyo, Japan

First edition Feb., 1999 9911-13K-1


No. HGSTG-WE-661 PRINTED IN JAPAN
WORKSHOP MANUAL
NHR • NKR • NPR

ENGINE
4J SERIES

SECTION 6
MEMO
.......................................................................................................................................................................................

.......................................................................................................................................................................................

.......................................................................................................................................................................................

.......................................................................................................................................................................................

.......................................................................................................................................................................................

.......................................................................................................................................................................................

.......................................................................................................................................................................................

.......................................................................................................................................................................................

.......................................................................................................................................................................................

.......................................................................................................................................................................................

.......................................................................................................................................................................................

.......................................................................................................................................................................................

.......................................................................................................................................................................................

.......................................................................................................................................................................................

.......................................................................................................................................................................................

.......................................................................................................................................................................................

.......................................................................................................................................................................................

.......................................................................................................................................................................................

.......................................................................................................................................................................................

.......................................................................................................................................................................................

.......................................................................................................................................................................................

.......................................................................................................................................................................................

.......................................................................................................................................................................................

.......................................................................................................................................................................................

.......................................................................................................................................................................................

.......................................................................................................................................................................................

.......................................................................................................................................................................................

.......................................................................................................................................................................................

.......................................................................................................................................................................................

.......................................................................................................................................................................................

.......................................................................................................................................................................................
NOTICE

Before using this Workshop Manual to assist you in performing


vehicle service and maintenance operations, it is recommended
that you carefully read and thoroughly understand the
information contained in Section 0A under the headings
“GENERAL REPAIR INSTRUCTIONS” and “HOW TO USE THIS
MANUAL”.

All material contained in this Manual is based on the latest


product information available at the time of publication.
All rights are reserved to make changes at any time without prior
notice.

Applicable Model : NHR55. NKR55. NPR55. NPR69

This manual is applicable to 1994 year model and later vehicles.


THIS MANUAL INCLUDES THE FOLLOWING SECTIONS:

SECTION NO. CONTENTS

00 Service Information

6A Engine Mechanical

6A1 4JB1/4JB1T/4JB1-TC/4JG2 Engine

6B Engine Cooling

6C Fuel System

6D Engine Electrical

6E Exhaust Gas Recirculation (EGR) System

6F Exhaust

6G Turbocharger
HOME

SERVICE INFORMATION 00 – 1

SECTION 00
SERVICE INFORMATION

CONTENTS
PAGE
Troubleshooting .............................................................................................................. 00 - 2
Main Data and Specifications ......................................................................................... 00 - 30
Service Standard ............................................................................................................. 00 - 34
Servicing........................................................................................................................... 00 - 38
Fixing Torque ................................................................................................................... 00 - 51
Special Tools.................................................................................................................... 00 - 60
00 – 2 SERVICE INFORMATION

TROUBLESHOOTING

CONTENTS

PAGE
Hard Starting .................................................................................................................... 00 - 3
Starter Inoperative....................................................................................................... 00 - 3
Starter Motor Operates but Engine Does Not Turn Over ......................................... 00 - 3
Engine Turns Over but Does Not Start ...................................................................... 00 - 4
Quick-on Start System ................................................................................................ 00 - 5
Unstable Idling ................................................................................................................. 00 - 6
Insufficient Power............................................................................................................ 00 - 7
Excessive Fuel Consumption ......................................................................................... 00 - 9
Excessive Oil Consumption............................................................................................ 00 - 9
Overheating...................................................................................................................... 00 - 10
White Exhaust Smoke ..................................................................................................... 00 - 10
Dark Exhaust Smoke ....................................................................................................... 00 - 11
Oil Pressure Does Not Rise ............................................................................................ 00 - 11
Abnormal Engine Noise .................................................................................................. 00 - 12
Engine Knocking ......................................................................................................... 00 - 12
Gas Leakage Noise...................................................................................................... 00 - 12
Continuous Noise........................................................................................................ 00 - 12
Slapping Noise............................................................................................................. 00 - 13
Engine Cooling Trouble .................................................................................................. 00 - 14
Engine Electrical Part Trouble........................................................................................ 00 - 15
Turbocharger ................................................................................................................... 00 - 20
Lubrication Chart............................................................................................................. 00 - 29
SERVICE INFORMATION 00 – 3

1. HARD STARTING

1. STARTER INOPERATIVE

Checkpoint Possible cause Correction


Battery Loose battery cable terminal poor Clean and/or retighten the battery
connections due to rusting cable terminal

Battery discharged or weak Recharge or replace the battery

Fan belt loose or broken Adjust or replace the fan belt

Fusible link Fusible link shorted Replace the fusible link

Starter switch Defective starter switch or starter relay Replace the starter switch or the
Starter relay

Starter motor Defective magnetic switch or starter relay Repair or replace the magnetic switch

Defective starter motor Repair or replace the starter motor

2. STARTER MOTOR OPERATES BUT ENGINE DOES NOT TURN OVER


Battery Loose battery cable terminal Clean and/or retighten the battery
cable terminal

Poor connections due to rusting Recharge or replace the battery

Battery discharged or weak Recharge or replace the battery

Fan belt loose or broken Adjust or replace the fan belt

Starter Defective pinion gear Replace the pinion gear

Defective magnetic switch Repair or replace the magnetic switch

Brush wear, Weak brush spring Replace the brush and/or the brush
spring

Engine Piston, crank bearing seizure, or other Repair or replace the related parts
damage
00 – 4 SERVICE INFORMATION

3. ENGINE TURNS OVER BUT DOES NOT START

Checkpoint Possible cause Correction


Engine stop Defective fuel cut solenoid valve Replace the fuel cut solenoid valve
mechanism

FUEL IS NOT BEING DELIVERED TO THE INJECTION PUMP


Fuel Fuel tank is empty Fill the fuel tank

Fuel piping Clogged or damaged fuel lines. Loose fuel Repair or replace the fuel lines
line connection Retighten the fuel line connection

Fuel filter Fuel filter overflow valve does not close Repair or replace the fuel filter
overflow valve

Clogged fuel filter element Replace the fuel filter element or the
filter cartridge

Fuel system Air in the fuel system Bleed the air from the fuel system

Fuel feed pump Defective feed pump Repair or replace the feed pump

FUEL IS BEING DELIVERED TO THE INJECTION PUMP


Fuel Use of the wrong fuel Use the correct fuel

Water particles in the fuel Change the fuel

Fuel system Air in the injection pump Bleed the air from the fuel system

Injection nozzle Injection nozzle sticking

Injection nozzle injection starting pressure Adjust or replace the injection nozzle
too low
Improper spray condition

Injection pump Defective fuel injection nozzle resulting in the Replace the delivery valve
fuel drippage after fuel injection

Defective injection pump control rack Repair or replace the injection pump
operation control rack

Injection pump plunger worn or stuck Replace the injection pump plunger
assembly

Injection pump drive shaft seizure or other Replace the injection drive shaft
damage

Injection pump governor spring seizure Replace the injection pump governor
spring
SERVICE INFORMATION 00 – 5

4. QUICK-ON START SYSTEM


PREPARATION
1 Disconnect the thermoswitch connector.
2. Determine whether or not the glow plugs are receiving power.
a) Make sure that the starter switch is “OFF”.
b) Connect a voltmeter between one of the glow plugs and the cylinder wall.
c) Move the starter switch to the “ON” position.
The voltmeter needle will show the souse voltage (12V) if the glow plugs are receiving power.
If the voltmeter needle does not move, the glow plugs are not receiving power.
3. Perform the troubleshooting procedure.

GLOW PLUGS ARE RECEIVING POWER

Checkpoint Possible cause Correction


Glow plug indicator Defective indicator light bulb Replace the indicator light bulb
light does not turn on

Quick-on start timer Defective quick-on start timer Replace the quick-on start timer

Glow plug indicator Defective quick-on start timer Replace the quick-on start timer
light turns on the 0.3
seconds

Glow plug indicator Return the starter switch to the “ON” position Replace the quick-on start timer
light turns on for 3.5 from the “START” position after the engine
seconds starts if the glow plug relay remains on less
than 14 seconds, the quick-on start timer is
defective

Move the starter switch from the “OFF” Replace the quick-on start timer
position to the “ON” position if the glow plug
relay remains on less than 14 seconds, the
quick-on start timer is defective

Thermoswitch Defective thermoswitch Replace the thermoswitch

Glow plug continuity No glow plug continuity Replace the glow plugs

GLOW PLUGS ARE NOT RECEIVING POWER


Glow plug indicator Broken indicator light fuse Replace the fuse
light does not turn on

Quick-on start timer Defective quick-on start timer Replace the quick-on start timer
00 – 6 SERVICE INFORMATION

GLOW PLUGS ARE NOT RECEIVING POWER (Cont’d)

Checkpoint Possible cause Correction


Glow plug indicator Defective glow plug relay Replace the glow plug relay
light turns on for 3.5 The glow plug relay does not turn on after the
seconds starter switch is moved from the “OFF”
position to the “ON” position

Defective quick-on start timer Replace the quick-on start timer

Defective glow plug relay wiring harness Repair or replace the wiring harness

Defective fusible link or wiring harness Replace the fusible link or the wiring
The glow plug relay turns on when the starter harness
switch is moved from the “OFF” position to
the “ON” position

2. UNSTABLE IDLING

Checkpoint Possible cause Correction


Idling system Idling improperly adjusted Adjust the idling

Fast idling speed Defective fast idling speed control device Repair or replace the fast idling speed
control device

Accelerator control Accelerator control system improperly Adjust the accelerator control system
system adjusted

Fuel system Fuel system leakage or blockage Repair or replace the fuel system

Air in the fuel system Bleed the air from the fuel system

Water particles in the fuel system Change the fuel

Fuel filter Clogged fuel filter element Replace the fuel filter element or the
fuel filter cartridge

Fuel feed pump Defective fuel feed pump Repair or replace the fuel feed pump

Injection nozzle Injection nozzle sticking Replace the injection nozzle

Injection nozzle injection starting pressure Adjust or replace the injection nozzle
too low
Improper spray condition

Injection pump Defective delivery valve resulting in fuel Replace the delivery valve
drippage after fuel injection
SERVICE INFORMATION 00 – 7

Checkpoint Possible cause Correction


Injection pump Injection timing improperly adjusted Adjust the injection timing
(Cont’d)
Insufficient injection volume Adjust the injection volume

Defective idle spring Replace the idle spring

Defective governor lever operation Repair or replace the governor lever

Regulator valve improperly adjustment Adjust or replace the regulator valve

Broken plunger spring Replace the plunger spring

Worn plunger Replace the plunger assembly

Worn cam disc Replace the cam disc

Valve clearance Valve clearance improperly adjusted Adjust the valve clearance

Compression pressure Blown out cylinder head gasket. Worn Replace the related parts
cylinder liner.
Piston ring sticking

3. INSUFFICIENT POWER

Checkpoint Possible cause Correction


Air cleaner Clogged air cleaner element Clean or replace the air cleaner
element

Fuel Water particle in the fuel Replace fuel

Fuel filter Clogged fuel filter element Replace the fuel filter element or the
fuel filter cartridge

Fuel feed pump Defective fuel feed pump Repair or replace the fuel feed pump

Injection nozzle Injection nozzle sticking Replace the injection nozzle

Injection nozzle injection starting pressure Adjust or replace the injection nozzle
too low
Improper spray condition

Fuel injection pipes Fuel injection pipes damaged or obstructed Replace the fuel injection pipes
00 – 8 SERVICE INFORMATION

Checkpoint Possible cause Correction


Injection pump Defective regulating valve Repair or replace the regulating valve

Defective delivery valve Replace the delivery valve

Defective timer Repair or replace the timer

Worn cam disc Replace the cam disc

Improper control lever operation Adjust or replace the control lever

Defective injection timing Adjust the injection timing


Repair or replace the injection pump
timer

Weak governor spring Replace the governor spring

Worn plunger Replace the plunger assembly

Compression pressure Blown out cylinder head gasket. Worn Replace the related parts
cylinder liner.
Piston ring sticking

Valve clearance Valve clearance improperly adjusted Adjust the valve clearance

Valve spring Valve spring weak or broken Replace the valve spring

Exhaust system Exhaust pipe clogged Clean the exhaust pipe

Full load adjusting Open and improperly set adjusting screw Adjust and reseal the adjusting screw
screw seal seal
SERVICE INFORMATION 00 – 9

4. EXCESSIVE FUEL CONSUMPTION

Checkpoint Possible cause Correction


Fuel system Fuel leakage Repair or replace the fuel system
related parts

Air cleaner Clogged air cleaner element Clean or replace the air cleaner
element

Idling speed Poorly adjusted idling speed Adjust the idling speed

Injection nozzle Injection nozzle injection starting pressure Adjust or replace the injection nozzle
too low
Improper spray condition

Fuel injection timing Fuel injection timing improperly Adjust the fuel injection timing

Injection pump Defective Delivery valve resulting is fuel Replace the delivery valve
drippage after fuel injection

Valve clearance Valve clearance improperly adjusted Adjust the valve clearance

Compression pressure Blown out cylinder head gasket. Worn Replace the related parts
cylinder liner.
Piston ring sticking

Valve spring Valve spring weak or broken Replace the valve spring

5. EXCESSIVE OIL CONSUMPTION

Checkpoint Possible cause Correction


Engine oil Engine oil unsuitable Replace the engine oil
Too much engine oil Correct the engine oil level

Oil seal and gasket Oil leakage from the oil seal and/or the Replace the oil seal and/or the gasket
gasket

Air breather Clogged air breather Clean the air breather

Intake and exhaust Worn valve stems and valve guides Replace the intake and exhaust
valve valves and the valve guides
00 – 10 SERVICE INFORMATION

6. OVERHEATING

Checkpoint Possible cause Correction


Cooling water Insufficient cooling water Replenish the cooling water

Fan clutch Oil leakage from the fan clutch Replace the fan clutch

Fan belt Fan belt loose or cracked causing slippage Replace the fan belt

Radiator Defective radiator cap or clogged radiator Replace the radiator cap or clean the
core radiator core

Water pump Defective water pump Repair or replace the water pump

Cylinder head and Defective sealing cap resulting in water Replace the sealing cap
cylinder body sealing leakage
cap

Thermostat Defective thermostat Replace the thermostat

Cooling system Cooling system clogged by foreign material Clean the foreign material from the
cooling system

Fuel injection timing Fuel injection timing improperly adjusted Adjust the fuel injection timing

7. WHITE EXHAUST SMOKE

Checkpoint Possible cause Correction


Cooling water Insufficient cooling water Replace the cooling water

Fuel Water particles in the fuel Replace the fuel

Fuel injection timing Delayed fuel injection timing Adjust the fuel injection timing

Compression pressure Blown out cylinder head gasket. Worn Replace the related parts
cylinder liner.
Piston ring sticking

Inlet and exhaust valve Defective valve seals. Replace the valve seals, the valves,
Valves seals Worn valves stems and valve guides and the valve guides
SERVICE INFORMATION 00 – 11

8. DARK EXHAUST SMOKE

Checkpoint Possible cause Correction


Air cleaner Clogged air cleaner element Clean or replace the air cleaner
element

Injection nozzle Injection nozzle injection starting pressure Adjust or replace the injection nozzle
too low
Improper spray condition

Fuel injection timing Fuel injection timing improperly adjusted Adjust the fuel injection timing

Injection pump Defective delivery valve resulting in fuel Replace the delivery valve
drippage after fuel injection

Excessive injection volume Adjust the injection volume

9. OIL PRESSURE DOES NOT RISE

Checkpoint Possible cause Correction


Engine oil Improper viscosity engine oil. Replace the engine oil
Insufficient engine oil Correct the engine oil volume

Oil pressure gauge or Defective oil pressure gauge or unit Repair or replace the oil pressure
unit gauge or unit
Oil pressure indicator Defective indicator light Replace the indicator light
light

Oil filter Clogged oil filter element Replace the oil filter element or the oil
filter cartridge

Relief valve and by- Relief valve sticking and/or weak by-pass Replace the relief valve and/or the by-
pass valve valve spring pass valve spring

Oil pump Clogged oil pump strainer Clean the oil pump strainer

Worn oil pump related parts Replace the oil pump related parts

Rocker arm shaft Worn rocker arm bushing Replace the rocker arm bushing

Camshaft Worn camshaft and camshaft bearing Replace the camshaft and the
camshaft bearing

Crankshaft and Worn crankshaft and bearings Replace the crankshaft and/or the
bearings bearings
00 – 12 SERVICE INFORMATION

10. ABNORMAL ENGINE NOISE

1. ENGINE KNOCKING
Check to see that the engine has been thoroughly warmed up before beginning the troubleshooting procedure.

Checkpoint Possible cause Correction


Fuel Fuel unsuitable Replace the fuel

Fuel injection timing Fuel injection timing improperly adjusted Adjust the fuel injection timing

Injection nozzle Improper injection nozzle starting pressure Adjust or replace the injection nozzle
and spray condition

Compression pressure Blown out head gasket Replace the head gasket or the piston
ring
Broken piston ring

2. GAS LEAKAGE NOISE


Exhaust pipes Loosely connected exhaust pipes. Broken Tighten the exhaust pipe connections
exhaust pipes Replace the exhaust pipes

Injection nozzles Loose injection nozzles and/or glow plugs Replace the washers
and/or glow plugs Tighten the injection nozzles and/or
the glow plugs

Exhaust manifold Loosely connected exhaust manifold and/or Tighten the exhaust manifold
glow plugs connections

Cylinder head gasket Damaged cylinder head gasket Replace the cylinder head gasket

3. CONTINUOUS NOISE
Fan belt Loose fan belt Readjust the fan belt tension

Cooling fan Loose cooling fan Retighten the cooling fan

Water pump bearing Worn or damaged water pump bearing Replace the water pump bearing

Generator or vacuum Defective generator or vacuum pump Repair or replace the generator or the
pump vacuum pump

Valve clearance Clearance improperly adjust Adjust the valve clearances


SERVICE INFORMATION 00 – 13

4. SLAPPING NOISE

Checkpoint Possible cause Correction


Valve clearance Valve clearance improperly adjusted Adjust the valve clearance

Rocker arm Damaged rocker arm Replace the rocker arm

Flywheel Loose flywheel bolts Retighten the flywheel bolts

Crankshaft and thrust Worn or damaged crankshaft and/or thrust Replace the crankshaft and/or the
bearings bearings thrust bearings

Crankshaft and Worn or damaged crankshaft and/or Replace the crankshaft and/or the
connecting rod connecting rod bearings connecting rod bearings
bearings

Connecting rod Worn or damaged connecting rod bushing Replace the connecting rod bushing
bushing and piston pin and piston pin and/or the piston pin

Piston and cylinder Worn or damaged piston and cylinder liner. Replace the piston and the cylinder
liner liner.
00 – 14 SERVICE INFORMATION

11. ENGINE COOLING TROUBLE

Checkpoint Possible cause Correction


Engine overheating Low coolant level Replenish

Thermo unit faulty Replace

Faulty thermostat Replace

Faulty coolant unit Repair or replace

Clogged radiator Clean or replace

Faulty radiator cap Replace

Low engine oil level or use of improper Replenish or change oil


engine oil Replenish

Damaged cylinder head gasket Replace

Clogged exhaust system Clean exhaust system or replace


faulty parts

Loose fan belt Adjust

Excessive fuel injected Adjust

Improper injection timing Adjust

Engine overcooling Faulty thermostat Replace

Too long engine Faulty thermostat Replace


warm-up time
Thermo unit faulty Replace
SERVICE INFORMATION 00 – 15

12. ENGINE ELECTRICAL PART TROUBLE

STARTER DOES NOT RUN

CHECK BATTERY

CHARGING FAILURE OR LIFE BATTERY IS NORMAL

CHECK BATTERY

CHECK TERMINAL CONNECTION

CONNECTION FAILURE TERMINAL CONNECTION IS NORMAL

CLEAN BATTERY TERMINALS, AND RECONNECT CHECK STARTER OR STARTER SWITCH

FAILURE

REPAIR OR REPLACE

TURN ON HEAD LAMP AND STARTER SWITCH

HEAD LAMP DOES NOT COME ON HEAD LAMP ILLUMINATES


OR IT IS EXTREMELY DARK

a) DISCONNECT STARTER CIRCUIT


a) LACK OF BATTERY CHARGING b) DISCONNECT STARTER COIL
b) SHORT-CIRCUIT IN STARTER OIL c) FAULTY STARTER SWITCH
c) FAULTY STARTER PARTS
00 – 16 SERVICE INFORMATION

FAULTY MESHING OF PINION AND RING GEAR

CHECK IF BATTERY VOLTAGE IS PRESENT AT


MAGNETIC SWITCH TERMINAL “S” WHEN
STARTER SWITCH IS TURNED TO “START (ST)”

YES NO

OR
UNDER THIS CONDITION, CHECK IF VOLTAGE
OF CONNECTOR 3BW ON MAGNETIC SWITCH
OF RESTART RELAY IS NORMAL
EXTREME WEAR OF STARTER SLIDING
PINION AND RING RESISTANCE IS
GEAR LARGE

YES NO
REPAIR OR REPLACE REPAIR OR REPLACE
STARTER, REPLACE STARTER
RING GEAR
DISCONNECTION OR CHECK IF VOLTAGE IS
FAULTY CONNECTION PRESENT AT WIRING
BETWEEN STARTER CONNECTOR 3BW ON
SWITCH AND MAGNETIC STARTER SWITCH OF
SWITCH RESTART RELAY

REPAIR

YES NO

FAULTY CONNECTION OF DISCONNECTION OR


STARTER SWITCH FAULTY CONNECTION
BETWEEN STARTER
SWITCH AND BATTERY

REPLACE STARTER
SWITCH
REPAIR
SERVICE INFORMATION 00 – 17

MAGNETIC SWITCH DOES NOT OPERATE THOUGH


STARTER SWITCH IS TURNED TO “START (ST)”

CHECK IF VOLTAGE IS PRESENT AT MAGNETIC


SWITCH TERMINAL “S” WHEN STARTER SWITCH IS
TURNED TO “START (ST)”

YES
YES NO

CHECK GROUND CABLE CHECK IF INDICATOR LAMP ON


METER COMES ON NORMALLY

YES NO
YES NO

REPAIR
CHECK CONTINUITY DISCONNECTION OR
STARTER SWITCH AND FAULTY CONNECTION
OR MAGNETIC SWITCH BETWEEN BATTERY
TERMINAL “S” AND STARTER SWITCH

PINION MAGNETIC SWITCH


SLIDING OR COIL IS
PART DOES DISCONNECTED OR REPAIR
NOT MOVE BURNED OUT
CHECK STARTER FAULTY CONNECTION
RELAY OR STARTER SWITCH

REPAIR OR REPLACE STARTER CHECK CLUTCH REPLACE STARTER


START SWITCH
00 – 18 SERVICE INFORMATION

PINION MESHES WITH RING GEAR BUT


ENGINE DOES NOT RUN

CHECK GROUND CABLE

YES NO

REPAIR OR REPLACE
GROUND CABLE

FAULTY CONNECTION BURNED-OUT DISCONNECTION DISCONNECTION SLIP OF


OF BRUSH AND MAGNETIC OR DAMAGE OF OR DAMAGED OF PINION
COMMUTATOR STARTER SWITCH FIELD COIL ARMATURE COIL CLUTCH

REPAIR OR REPLACE STARTER


SERVICE INFORMATION 00 – 19

STARTER DOES NOT STOP THOUGH STARTER


SWITCH IS RETURNED TO “ON” FROM “START”

DISCONNECTED STARTER SWITCH WIRING CONNECTOR, AND CHECK STARTER SWITCH OPERATION.

KEY BATTERY IGNITION BATTERY ACCESSORIES IGNITION STARTER


POSITION B1 IG1 B2 ACC IG2 ST
LOCK
OFF
ACC
ON
START

THERE MUST BE NO CONTINUITY EXCEPT ABOVE LINES.

YES NO

MAGNETIC SWITCH CONTACTS ARE REPLACE STARTER SWITCH


FUSED AND NOT MOVED, OR A
RETURN SPRING IS BROKEN OR
DETERIORATED

REPLACE MAGNETIC SWITCH


00 – 20 SERVICE INFORMATION

13. TURBOCHARGER
1) ENGINE HAS LESS THAN NORMAL POWER

Checkpoint Trouble Cause Countermeasure

NG
Air cleaner Restricted Clean or replace

OK

NG
Intake pipe and hose Restricted Clean or replace

OK

NG
Compressor/Intake manifold Loose (Leaking) Repair

OK

NG
Exhaust manifold/turbine inlet Loose (Leaking) Repair

OK

NG
Exhaust piping and silencers Restricted Clean or replace

OK

NG
Air breather Restricted Clean or replace

OK

Boost compensator NG
Defective Repair or replace
(Injection pump)

Continued on the next page


SERVICE INFORMATION 00 – 21

Checkpoint Trouble Cause Countermeasure

Continued from the previous page


OK

NG
Compressor wheel Impact damage Replace

OK

NG
Turbine wheel Impact damage Replace

NG
Carbon build-up Replace

OK

NG
Rotating assembly Dragging or seized Replace
00 – 22 SERVICE INFORMATION

2) BLUE OR BLACK SMOKE

Checkpoint Trouble Cause Countermeasure

NG
Air cleaner or intercooler Restricted Clean, repair, or replace

OK

NG
Turbocharger oil seal Leakage Replace

OK

NG
Turbocharger oil drain pipe Restricted Repair or replace

OK

NG
Air breather Restricted Clean

OK

NG
Boost compensator Defective Repair or replace
(Injection pump)

OK

NG
Compressor wheel Impact damage Replace

OK

NG
Turbine wheel Impact damage Replace

Continued on the next page


SERVICE INFORMATION 00 – 23

Checkpoint Trouble Cause Countermeasure

Continued from the previous page


OK

NG
Center housing oil drain passage Restricted Clean or replace
00 – 24 SERVICE INFORMATION

3) EXCESSIVE OIL CONSUMPTION

Checkpoint Trouble Cause Countermeasure

NG
Air breather Restricted Clean

OK

Boost compensator NG
Defective Repair or replace
(Injection pump)

OK

NG
Turbocharger oil seal Leakage Replace

OK

NG
Turbocharger oil drain pipe Restricted Clean or replace

OK

NG
Turbine wheel Impact damage Replace

OK

NG
Compressor wheel Impact damage Replace

OK

NG
Oil pressure Excessive Repair

Continued on the next page


SERVICE INFORMATION 00 – 25

Checkpoint Trouble Cause Countermeasure

Continued from the previous page


OK

Center housing oil drain passage NG


Restricted Clean or replace
00 – 26 SERVICE INFORMATION

4) EXCESSIVE TURBOCHARGER NOISE

Checkpoint Trouble Cause Countermeasure

Intake and exhaust NG


Restricted Repair
system joints

OK

Intake and exhaust system NG


Damaged Replace
gaskets

OK

NG
Turbocharger rotating parts Rough rotation Replace

NG
Compressor wheel Rubbing against housing Repair or replace

NG
Damaged Replace

OK

NG
Turbine wheel Rubbing against housing Repair or replace

NG
Damaged Replace

NG
Carbon deposits Clean or replace

Continued on the next page


SERVICE INFORMATION 00 – 27

Checkpoint Trouble Cause Countermeasure

Continued from the previous page


OK

NG
Oil level Too low Correct

NG
Contaminated Replace oil

OK

NG
Turbocharger oil feed pipe Restricted Repair or replace

OK

NG
Turbine housing Carbon deposits Clean

OK

NG
Compressor housing Dirty Clean

OK

NG
Turbine shaft bearings Worn Replace
00 – 28 SERVICE INFORMATION

5) EXCESSIVE ROTATING PART WEAR

Checkpoint Trouble Cause Countermeasure

NG
Engine oil Contaminated Change

NG
Wrong grade or type Change

OK

NG
Turbocharger oil feed pipe Restricted Clean or replace

OK

NG
Turbocharger oil seal Defective Replace

OK

NG
Center housing oil Restricted Clean or replace
drain passage

OK

NG
Turbine shaft Oil sludge and coking Replace

OK

NG
Engine lubrication system Inadequate oil supply Correct
SERVICE INFORMATION 00 – 29

LUBRICATION CHART
4JB1, 4JB1TC, 4JG2, Oil Filter & Oil Cooler

2
kPa (Kg/cm /psi)
! Oil filter relief valve opening pressure : 559 - 0618 (5.7 - 6.3/81 - 90)
" Oil cooler safety valve opening pressure : 314 - 373 (3.2 - 3.8/46 - 54)
# Oil filter safety valve opening pressure : 78 - 118 (0.8 - 1.2/11 - 19)
$ Oil pressure switch opening pressure : 29.4 - 49.0 (0.3 - 0.5/4.3 - 7.1)
Lubu Chart 5J.tif

The 4J Series engine lubricating system is a full flow type.


Lubricating oil is pumped from the oil pump to the cylinder body oil gallery through the oil cooler and the oil filter
(replaceable type oil filters have on oil cooler). It is then delivered to the vital parts of the engine from the cylinder
body oil gallery.
00 – 30 SERVICE INFORMATION

MAIN DATA AND SPECIFICATIONS


MAIN DATA AND SPECIFICATIONS
Engine Model 4JB1 / 4JB1T / 4JB1TC 4JG2 (G. EXP & EC)
Item
Engine type Four-cycle, overhead valve, water cooled
Combustion chamber type Direct injection In direct injection
Cylinder liner type Dry type, chrome plated, stainless steel tube
Timing train system Gear drive Gear and Belt Drive
No. of cylinders - Bore x stroke mm (in) 4 - 93 x 102 4 - 95.4 x 107
(3.66 x 4.02) (3.76 x 4.21)
No. of piston rings Compression rings: 2 / Oil ring: 1
3 3
Total piston displacement cm (in ) 2,771 (169.0) 3,059 (186.6)
Compression ratio (to 1) 18.2 (4JB1) 20.1
18.1 (4JB1T/4JB1TC)
2
Compression pressure kPa (kg/cm /psi) 3,038 (31 / 441) 3,334 (34 / 483.8)
(For EC 2,363 (24.1 / 531))
Engine weight (Dry) N (kg/lb) Approximately Approximately
2,245 (229 / 505) (4JB1) 2,403 (245 / 540)
2,511 (256 / 564)
(4JB1T/4JB1TC)
Fuel injection order 1-3-4-2
Fuel injection timing deg BTDC 14 (4JB1) ATDC 1 (Belt ’91/542A)
BTDC 12 (’91/542A) (4JB1) TDC 0° (Belt ’91/542B)
BTDC 11 (4JB1T) ATDC 2 (Gear ’91/542A)
BTDC 4 (4JB1TC)
Specified fuel type SAE No. 2 diesel fuel
Idling speed rpm 750 - 790 700 – 740
Valve clearances (At cold): Intake mm(in) 0.40 (0.016)
Exhaust mm(in) 0.40 (0.016)
Valve clearances (At hot): Intake mm(in) 0.45 (0.018)
Exhaust mm(in) 0.45 (0.018)
Intake valves Open at (BTDC) deg 24.5
Close at (ATDC) deg 55.5
Exhaust valves Open at (BTDC) deg 54
Close at (ATDC) deg 26

NOTE: G.EXP : General Export Model


EC : European Countries
Emission Gas Control Standard
’91/542A : Euro 1
’91/542B : Euro 2
SERVICE INFORMATION 00 – 31

Engine Model 4JB1 / 4JB1T / 4JB1TC 4JG2 (G. EXP & EC)
Item
Lubricating system
Lubrication method Pressurized circulation
Specified engine oil (API grade) CC (4JB1) CC
CD (4JB1T/4JB1TC)
Oil pump type Gear
Oil filter type Disposable cartridge (Spin-on) Paper element
Oil capacity (Including oil filter)
lit (US/UK gal) 6.6 - 7.1 (1.74 - 1.87/2.62 - 2.82)
(For EC 6.2 - 8.2 (2.17 - 1.64 / 1.36 - 1.80))
Oil cooler type Water cooled
Fuel system
Injection pump type Bosch distributor
Governor type Mechanical (Partially variable speed) (For EC Variable speed)
Injection nozzle type Hole Pinttle
2
Injection nozzle kPa (kg/cm /psi) 18,142 (185 / 2,631) 14,710 (150/2,133)
opening pressure (4JB1/4JB1T)
1st: 19,500 (199 / 2,830)
2nd: 26,500 (270 / 3,840)
(4JB1TC)
Main fuel filter type Cartridge paper element and water separator
Air cleaner type Dry paper element
Generator capacity V-A (W) 12 - 40 (480) and 12 - 50 (600) 12 - 50 (600)
(For EC 12 - 60 (720))
Starter motor output V-kW 12 - 2.0 and 12 - 2.2 12 - 2.2
(For EC 12 - 2.0)
Turbocharger IHI RHB5 (4JB1T)
IHI RHF4 (4JB1TC)
00 – 32 SERVICE INFORMATION

Engine Cooling

Cooling system Coolant forced circulation


Radiator (2 tube in row) Tube type Corrugated
Heat radiation capacity kcal/h 71400
2 2
Heat radiation area m (ft ) 11.78 (126.8)
2 2
Front area m (ft ) 0.216 (2.325)
Dry weight N (Kg/lb) 105 (10.7/23.6)
Radiator cap
2
Valve opening pressure kPa (Kg/cm /psi) 88.2 - 116.7 (0.899 - 1.199/12.78 - 17.05)
Coolant capacity lit (Imp.qt./US qt.) 3.1 (2.73/3.28)
(For EC 5.8 (5.1/6.13))
Coolant pump
Pulley type Centrifugal impeller type
Pulley ratio 1.2
Thermostat type wax pellet with jiggle valve.
Without jiggle valve (Thailand only)
Valve opening °C (°F) 82 (180)
Valve full open °C (°F) 95 (203)
Coolant total capacity Iit (Imp.qt./US qt.) 10 (8.80/10.57) (For EC 7.3 (6.42/7.71))

Starting System
Manufacturer DENSO
Engine Model 4JB1 / 4JB1T / 4JB1TC 4JG2 (G.EXP & EC)
Rating
Voltage V 12
Output kW 2.0 2.2
Time Sec 30
Number of tooth of pinion 9
Rotating direction (as viewed from pinion) Clockwise
Weight (approx.) kg 4.6 5.4
No-load characteristics
Voltage/current V/A 11.5/100 or less
Speed rpm 3700 or more
Load characteristics
Voltage/current V/A 7.5/500 or less
Torque N•m(Kg•m/lb•ft) 13.7 (1.4/10.1)
Speed rpm 1200 or more 1400 or more
Locking characteristics
Voltage/current V/A 2.4/800 or less 2.0/850 or less
Torque N•m(Kg•m/lb•ft) 18 (1.8/13) or more 16 (1.6/12) or more
SERVICE INFORMATION 00 – 33

Charging System
Manufacturer HITACHI LR150-449B DENSO
Rated voltage V 12 12
Rated output A 50 40
Rotating direction
Clockwise Clockwise
(As viewed from pulley)
Pulley effective diameter mm (in) 80 (3.15) 82 (3.23)
Weight (with pump) kg (lb) 6.0 (13.27) 6.7 (14.77)
4JB1TC for G.E 4JB1TC for Thailand
4JB1TC for EC
00 – 34 SERVICE INFORMATION

SERVICE STANDARD
Engine Mechanical mm (in)

Service standard Service limit


Parts Items 4JB1 / 4JB1T / 4JB1 / 4JB1T / Remarks
4JG2 4JG2
4JB1TC 4JB1TC
Cylinder Cylinder head deck, and
Head exhaust manifold mating 0.05 (0.002) or less 0.2 (0.0079)
surface for flatness
Cannot be
Cylinder head height 92.0 (3.622) 91.55 (3.6043) Reground

Cylinder Head Lower Face 0.05 (0.002)or less 0.20 (0.008)


Warpage.

Manifold Warpage. 0.05 (0.002) or less 0.20 (0.008)

Hot plug sinking - 0.02 (0.0008)

Hot plug exert pressure 4,500 – 5,500 kg


(9922.5 - 12127.5 lbs) -
Valve Free height 48.0 (1.891) 47.10 (1.856)
Spring
Squareness - 1.7 (0.067)

Spring tension N (kg/lb) 296 (30.2/66.4) 257.9 (26.3/57.9) At installed


height
38.9 (1.531)
Valve Diameter Valve Stem
and IN 7.946 - 7.961 7.880 (0.3102)
Valve (0.3128 - 0.3134)
Guide EX 7.921 - 7.936 7.850 (0.3090)
(0.3118 - 0.3124)
Valve and valve guide
clearance IN 0.039 - 0.069 0.200 (0.0079)
(0.0015 - 0.0027)
EX 0.064 - 0.096 0.250 (0.0098)
(0.0025 - 0.0038)
Valve guide upper end
height (Measured from the 13.0 (0.512) -
Cylinder head upper face)

Valve guide margin 1.1 (0.0433) 1.6 (0.0630)

Valve thickness IN 1.41 (0.0556) 1.79 (0.0705) 1.1 (0.0433) 1.5 (0.06)

EX 1.39 (0.0547) 1.83 (0.0720) 1.1 (0.0433) 1.5 (0.06)

Valve seat contact surface 45°


angle

Valve seat contact width


IN 1.7 (0.0669) 2.2 (0.0866)

EX 2.0 (0.0787) 2.5 (0.0984)


SERVICE INFORMATION 00 – 35

mm (in)
Service standard Service limit
Parts Items 4JB1 / 4JB1T / 4JB1 / 4JB1T / Remarks
4JG2 4JG2
4JB1TC 4JB1TC
Push rod Curvature - 0.4 (0.0157) or less
Camshaft End play 0.08 (0.0031) 0.2 (0.0079)

Cam lobe height 42.02 (1.6543) 41.65 (1.6397)

Journal diameter 49.945 - 49.975(1.9663-1.9675) 49.60 (1.9527)

Runout 0.02 (0.0008) or less 0.10 (0.0039)

Camshaft bearing inside 50.000 - 50.030 50.08(1.9716)


diameter (1.9685 - 1.9697)

Camshaft oil clearance 0.025 - 0.085 0.12 (0.0047)


(0.0098 - 0.00334)
Tappet Outside diameter 12.97 - 12.99 (0.5106 - 0.5114) 12.95 (0.5098)

Oil clearance
(Between tappet and 0.03 (0.0118) 0.10 (0.0039)
cylinder body)
Rocker Rocker shaft outside 18.98 - 19.00 18.90 (0.7440)
arm diameter (0.7472 - 0.7480)
Assembly
Rocker arm inside 19.036 - 19.060 19.10 (0.7520)
diameter (0.7494 - 0.7504)

Oil clearance 0.06 - 0.08


(Between rocker arm and (0.00235 - 0.00315) 0.10 (0.004)
rocker shaft)

Rocker shaft runout - 0.2 (0.0079) or less


Oil pump Oil clearance 0.14 (0.0055) 0.13 - 0.14 0.20 (0.0079) 0.15 (0.0059)
Body and gear (0.0051-0.0055)
Body cover and gear 0.06 (0.0024) 0.02 - 0.07 0.15 (0.0059)
(0.0008-0.0028)
Crankshaft Thrust clearance 0.10 (0.0039) 0.30 (0.018)

Main bearing clearance 0.031-0.063 0.035-0.080 0.11


(Between main bearing (0.0012-0.0025) (0.0014-0.0032) (0.0043)
and Crankshaft)

Crankshaft runout 0.05 (0.00197) or less 0.08 (0.0031)

Main journal diameter 69.917 - 69.932 (2.7526 - 2.7532) 69.91 (2.7524)

Crankshaft pin diameter 52.915 - 52.930 (2.0833 - 2.0839) 52.90 (2.0827)

Crankshaft Journal and 0.05 (0.002) or less 0.08 (0.003)


Crank Pin uneven wear

Crank Pin and Bearing 0.029 - 0.066 (0.0011 - 0.0026) 0.100 (0.0039)
Clearance.
00 – 36 SERVICE INFORMATION

mm (in)
Service standard Service limit
Parts Items 4JB1 / 4JB1T / 4JB1 / 4JB1T / Remarks
4JG2 4JG2
4JB1TC 4JB1TC
Piston, Piston diameter 95.365 - 95.404 92.985 - 93.024 -
Piston (3.7545-3.9039) (3.6600-3.6623)
pin, Piston Clearance 0.047 - 0.065 0.025 - 0.045 -
Piston (Between piston and (0.0019-0.0026) (0.0010-0.0018)
ring and Cylinder liner)
Connect-
ing rod Piston ring gap 1st 0.20 - 0.35 0.20 - 0.40 1.5 (0.0591)
(0.0079 – (0.0079 –
0.0138) 0.0157)

2nd 0.37 - 0.52 0.20 - 0.40 1.5 (0.0591)


(0.0146 - (0.0079 -
0.0205) 0.00157)

Oil 0.20 - 0.40 0.10 - 0.30 1.5 (0.0591)


(0.0079 - (0.0039 -
0.00157) 0.0118)

Piston ring clearance 1st 0.09 - 0.13 0.090 - 0.125


(0.0035 - (0.0035 -
0.0051) 0.0049)

2nd 0.05 - 0.09 0.050 - 0.075 0.15 (0.0059)


(0.002 - (0.0020 -
0.0035) 0.0030)

Oil 0.03 - 0.07 0.15 (0.0059)


(0.0012 - 0.0028)
Piston pin diameter 33.995 - 34.000 30.995 - 31.000 33.970 30.970
(1.3384-1.3386) (1.2202-1.2204) (1.3374) (1.2190)

Fitting interference 0.008 - 0.020 0.05 (0.0020)


(Between connecting (0.0003 - 0.0008)
rod and piston pin)

Fitting interference 0.002 - 0.015 0.04 (0.0016)


(Between piston and (0.0001 - 0.0006)
piston pin)

Connecting rod
alignment Bend 0.08 (0.0031) or less 0.20 (0.0079) Per 100
(3.94)

Twist 0.05 (0.0020) or less 0.15 (0.0059) Per 100


(3.94)
Piston pin and Connecting 0.008 - 0.020 0.050 (0.0020)
Rod Bushing Clearance (0.0003 - 0.0008)

Connecting rod thrust 0.230 (0.0091) 0.35 (0.0138)


clearance

Oil clearance 0.029 -0.083 0.029 - 0.066 0.100 (0.0039)


(Between crank pin and (0.0014 - (0.0011 -
Connecting rod) 0.0033) 0.0026)
SERVICE INFORMATION 00 – 37

mm (in)
Service standard Service limit
Parts Items 4JB1 / 4JB1T / 4JB1 / 4JB1T / Remarks
4JG2 4JG2
4JB1TC 4JB1TC
Cylinder Warpage - 0.20 (0.0079)
Block (Upper surface of the
cylinder block)

Cylinder bore diameter 97.000 - 97.040 95.011 - 95.040


(3.8189 - (3.7406 -
3.8205) 3.7417)

Cylinder liner projection 0.0-0.1


(0.00-0.0039)

Cylinder liner inside 95.420 - 95.460 93.020 - 93.060


diameter (3.7567 - (3.6622 -
3.7583) 3.6638)

Cylinder liner outside 97.011-97.050 95.011 - 95.050


diameter (3.8193 - (3.7405 -
3.8209) 3.7421)
00 – 38 SERVICE INFORMATION

SERVICING
Servicing refers to general maintenance procedures to be
performed by qualified service personnel.

MODEL IDENTIFICATION
Engine Serial Number
The engine number is stamped on the front left hand side
of the cylinder body.

0038-1.tif

AIR CLEANER
Dry Type Paper Element
Element cleaning procedures will vary according to the
condition of the element.

Dust fouled Element


Rotate the element with your hand while applying
compressed air to the inside of the element. This will
blow the dust free.

2
Compressed air pressure kPa (kg/cm /Psi)
392 - 490 (4 - 5/57 - 71)

0038-2.tif
CAUTION
Do not bang the element against another object in an
attempt to clean it. Damage to the element will result.

Carbon and Dust Fouled Element


1. Prepare a cleaning solution of Isuzu Genuine Element
Cleaner (Donaldson D1400) diluted with water.
2. Submerge the element in the solution for twenty
minutes.

0038-3.tif
SERVICE INFORMATION 00 – 39

3. Remove the element from the solution and rinse it


well with running water.
2
Water pressure must not exceed 274 kPa (2.8 kg/cm
/40Psi)

0039-1.tif

4. Dry the element in a well ventilated area.


An electric fan will hasten drying.

NOTE:
Do not use compressed air or an open flame to dry
the element quickly. Damage to the element will
result. It will usually take two or three days for the
element to dry completely. Therefore, it is a good idea
to have a spare on hand to use in the interim.
0039-2.tif

LUBRICATING SYSTEM
Main Oil Filter (Cartridge Type Paper Element)
Replacement Procedure
1. Loosen the used oil filter by turning it
counterclockwise with the filter wrench.
2. Clean the oil filter fitting face.
This will allow the new oil filter to seat properly.
3. Apply a light coat of engine oil to the O-ring.
4. Turn in the new oil filter until the filter O-ring is fitted
against the sealing face.
5. Use the filter wrench to turn in the filter an additional 1
and 1/4 turns.
Filter Wrench : 5-8840-0200-0 (89mm/3.5in)
5-8840 0202-0 (106mm/4.2in)
050LX001.tif 5-8840-2209-0 (100.6mm/4.0in)

6. Check the engine oil level and replenish to the


specified level if required.
Replenishment Engine Oil lit (Imp qt/US qt)
0.7 (0.62/0.74)

7. Start the engine and check for oil leakage from the
main oil filter.

0039-4.tif
00 – 40 SERVICE INFORMATION

FUEL SYSTEM
Fuel Filter
Replacement Procedure
1. Loosen the used fuel filter by turning it
counterclockwise with the filter wrench.
Filter Wrench: 5-8840-0253-0 (J-22700)

0040-1.tif

2. Clean the filter cover fitting faces.


This will allow the new fuel filter to seat properly.

0040-2.tif

3. Turn in the fuel filter until the sealing face comes in


contact.
4. Turn in the fuel filter an additional 2/3 of a turn with a
filter wrench.
Filter Wrench: 5-8840-0253-0 (J-22700)

0040-3.tif

5. Loosen the bleeder plug on the injection pump


overflow valve.
6. Operate the priming pump until fuel begins to flow
from the fuel filter.
7. Retighten the bleeder plug.
8. Operate the priming pump several times and check
for fuel leakage.
NOTE:
The use of an ISUZU genuine fuel filter is strongly
recommended.
0040-4.tif

Fuel Filter Water Draining Procedure


The indicator light will come on when the water level in
the water separator exceeds the specified level.
Drain the water and foreign material from the water
separator with the following procedure.

0041-1.tif
SERVICE INFORMATION 00 – 41

1. Find a safe place to park the vehicle.


2. Open the engine hood and place a container
(Approximately 0.2 liter capacity) at the end of the
vinyl hose beneath the drain plug on the separator.
3. Loosen the drain plug by turning it counterclockwise
(Approximately 5 turns) and operate the priming pump
up and down about 10 times until water is drained
approximately 0.1 liter.
4. After draining, securely tighten the drain plug by
turning it clockwise and operate the priming pump
0041-2.tif manually up and down several times.
5. After starting the engine, check to see that there is no
fuel leak from the drain plug. Also check to see that
the fuel filter water indicator light has turned off.
If water separator requires frequent draining, have the
fuel tank drained for removal of water at your Isuzu
Dealer.
Air Bleeding
1. Loosen the bleeder screw on the injection pump
overflow valve.
2. Operate the priming pump until fuel mixed with foam
flows from the bleeder screw.
3. Tighten the bleeder screw.
4. Operate the priming pump several times and check
for fuel leakage.

0041-3.tif

COOLING SYSTEM
Coolant Level
Check the coolant level and replenish the radiator reserve
tank as necessary.
If the coolant level falls below the “MIN” line, carefully
check the cooling system for leakage. Then add enough
coolant to bring the level up to the “MAX” line.

0041-4.tif

Engine coolant change procedure


1. To change engine coolant, make sure that the engine
is cool.
WARNING:
When the coolant is heated to a high
temperature, be sure not to loosen or remove
the radiator cap. Otherwise you might get
scalded by hot vapor or boiling water. To open
the radiator cap, put a piece of thick cloth on the
0042-1.tif
cap and loosen the cap slowly to reduce the
pressure when the coolant has become cooler.
2 Open radiator cap and drain the cooling system by
loosening the drain valve on the radiator and on the
cylinder body.
00 – 42 SERVICE INFORMATION

NOTE:
For best result it is suggested that the engine
cooling system be flushed at least once a year.
it is advisable to flush the interior of the cooling
system including the radiator before using anti-
freeze (ethylene-glycol based).
Replace damaged rubber hoses as the engine
anti-freeze coolant is liable to leak out even
minor cracks. Isuzu recommends to use lsuzu
genuine anti-freeze (ethylene-glycol based) or
equivalent, for the cooling system and not add
any inhibitors or additives.
CAUTION:
A failure to correctly fill the engine cooling
system in changing or topping up coolant may
sometimes cause the coolant to overflow from
the filler neck even before the engine and
radiator are completely full. If the engine runs
under this condition, shortage of coolant may
possibly result in engine overheating. To avoid
such trouble, the following precautions should
be taken in filling the system.
3 To refill engine coolant, pour coolant up to filler neck
using a filling hose which is smaller in outside
diameter of the filler neck.
Othewise air between the filler neck and the filling
hose will block entry, preventing the system from
completely filling up.
4 Keep a filling rate of 9 liter/min. or less. Filling over
this maximum rate may force air inside the engine
and radiator. And also, the coolant overflow will
increase, making it difficult to determine, whether or
not the system is completely full.
5 After filling the system to the full, pull out the filling
hose and check to see if air trapped in the system is
dislodged and the coolant level goes down. Should
the coolant level go down, repeat topping-up until
there is no more drop in the coolant level.
6 After directly filling the radiator, fill the reservoir to the
maximum level.
7 Install and tighten radiator cap and start the engine.
After idling for 2 to 3 minutes, stop the engine and
reopen radiator cap. If the water level is lower,
replenish.
WARNING:
When the coolant is heated to a high
temperature, be sure not to loosen or remove
the radiator cap. Otherwise you might get
scalded by hot vapor or boiling water. To open
the radiator cap, put a piece of thick cloth on the
cap and loosen the cap slowly to reduce the
pressure when the coolant has become cooler.
8 After tightening radiator cap, warm up the engine at
about 2,000 rpm. Set heater adjustment to the
highest temperature position, and let the coolant
circulate also into heater water system.
9 Check to see the thermostat has opened through the
SERVICE INFORMATION 00 – 43

needle position of water thermomete, conduct a


5 minutes idling again and stop the engine.
10 When the engine has been cooled, check filler neck
for water level and replenish if required. Should
extreme shortage of coolant is found, Check the
coolant system and reservoir tank hose for leakage.
11 Fill the coolant into the reservoir tank up to “MAX”
line.
Cooling System Inspection
Install a radiator filler cap tester to the radiator. Apply testing
pressure to the cooling system to check for leakage.
The testing pressure must not exceed the specified pressure.
2
Testing Pressure kPa (Kg/cm /psi)
147 (1.5/21)

0042-2.tif

Radiator Cap Inspection


The radiator filler cap is designed to maintain coolant
2
pressure in the cooling system at 1.05 kg/cm (15 psi / 103
kPa). Check the radiator filler cap with a radiator filler cap
tester. The radiator filler cap must be replaced if it fails to
hold the specified pressure during the test procedure.
Radiator Filler Cap Pressure
2
Pressure Valve kPa (Kg/cm /psi)
88 - 118 (0.9 - 1.2/12.8 - 17.1)
2
0042-3.tif
Negative Valve (Reference) kPa (Kg/cm /psi)
1.0 - 13.9 (0.01 - 0.04/0.14 - 0.57)

Thermostat Operating Test


1. Completely submerge the thermostat in water.
2. Heat the water.
Stir the water constantly by suitable wood bar (2) to
avoid direct heat being applied use wood plate (3) to
the thermostat.
3. Check the thermostat initial opening temperature.
Thermostat Initial
Opening Temperature °C (°F)
82 (180)
0042-4.tif

4. Check the thermostat full opening temperature.


Thermostat Full
Opening Temperature °C (°F)
95 (203)

Valve Lift at Fully Open Position mm (in)


10 (0.39)
00 – 44 SERVICE INFORMATION

Drive Belt Adjustment


Depress the drive belt mid portion with a 98N (10 kg/22
lb) force.
Drive Belt Deflection mm (in)
10 (0.39)

Check the drive belt for cracking and other damage.


1. Crankshaft damper pulley
2. Generator pulley
0043-1.tif
3. Cooling fan pulley
4. Oil pump pulley or idler pulley
5. Compressor pulley or idle pulley

Cooling Fan Pulley Drive Belt


Fan belt tension is adjusted by moving the generator.
Depress the drive belt mid portion with a 98N (10 kg/22
lb) force.
1. Crankshaft damper pulley
2. Generator pulley
3. Cooling fan pulley

0043-2.tif

Compressor Pulley Drive Belt


Move the idler pulley as required to adjust the compressor
drive belt tension.
If the vehicle is equipped with power steering, move the
oil pump as required.
Depress the drive belt mid portion with a 98N (10 kg/22
lb) force.
Belt Deflection mm (in)
14 - 17 (0.55 - 0.67)
0043-3.tif

1. Crankshaft damper pulley


2. Oil pump pulley or idler pulley

Power Steering Oil Pump Pulley Drive Belt


Move the oil pump as required to adjust the oil pump drive
belt tension.
On air conditioner equipped models, both drive belts
pulley must always be replaced as a set.
Depress the drive belt mid portion with a 98N (10 kg/22
lb) force.
Belt Deflection mm (in)
14 - 17 (0.55 - 0.67)
0043-4.tif

1. Crankshaft damper pulley


2. Oil pump pulley
3. Compressor pulley or idler pulley
SERVICE INFORMATION 00 – 45

ENGINE CONTROL
Idling Speed Inspection
1. Set the vehicle parking brake and choke the drive
wheels.
2. Place the transmission in neutral.
3. Start the engine and allow it to warm up.
4. Disconnect the engine control cable from the control
lever.
5. Set a tachometer to the engine.
6. Check the engine idling speed.
If the engine idling speed is outside the specified
range, it must be adjusted.
Engine Idling Speed rpm
4JB1 / 4JB1T / 4JB1TC 750 - 790
4JG2 700 - 740

Idling Speed Adjustment


1. Loosen the idling set bolt lock nut on the injection
pump idling set bolt.
2. Adjust the idling speed to the specified range by
turning the idling set bolt.
3. Lock the idling set bolt with the idling set bolt lock nut.
4. Check that the idling control cable is tight (free of
slack).
If required, remove the slack from the cable.
0044-1.tif

Accelerator Control Cable Adjustment


1. Loosen the accelerator cable clamp bolt.
2. Check that the idling control knob on the instrument
panel is in the engine idling position.
3. Hold the accelerator lever in the fully closed position
and stretch the control cable in the direction indicated
by the arrow to remove any slack.

Accelerator Pedal Adjustment


1. Loosen the lock nut.
2. Adjust bolt height from floor.
Adjust Bolt Height A mm (in)
18 - 28 (0.71 - 1.1)

0044-2.tif
00 – 46 SERVICE INFORMATION

1. Hold the accelerator pedal pad securely by hand, and


give it a full stroke.
2. Adjust the stopper bolt so that the clearance between
the pad stopper bolt and the rear side of the pad
becomes the specified length.
mm (in)
0 - 2 (0 - 0.079)

3. Check to see if the accelerator pedal play is in the


0045-1.tif
range of 5 to 10mm above the pedal pad.
4. Press down on the accelerator pedal fully and check
to see if the engine rotates at its maximum speed with
each of the linkage in the smooth operation.
5. In the operating range of accelerator pedal and the
injection pump lever returns to their respective original
positions without fail.

VALVE CLEARANCE ADJUSTMENT


1. Bring the piston in either the No. 1 cylinder or the No.
4 cylinder to TDC on the compression stroke by
turning the crankshaft until the crankshaft damper
pulley TDC line is aligned with the timing pointer.

0045-2.tif

2. Check the rocker arm shaft bracket nuts for


looseness.
Tighten any loose rocker arm shaft bracket nuts
before adjusting the valve clearance.
Rocker Arm Shaft
Bracket Nut Torque N∙m (kg∙m/lb∙ft)
54 (5.5/40)

0045-3.tif

3. Check for play in the No. 1 intake and exhaust valve


push rods.
If the No. 1 cylinder intake and exhaust valve push
rods have play, the No. 1 piston is at TDC on the
compression stroke.
If the No. 1 cylinder intake and exhaust valve push
rods are depressed, the No. 4 piston is at TDC on the
compression stroke.

0045-4.tif
SERVICE INFORMATION 00 – 47

Adjust the No. 1 or the No. 4 cylinder valve clearance


while their respective cylinders are at TDC on the
compression stroke.
Valve Clearance (At Cold) mm (in)
0.4 (0.016)
4. Loosen each valve clearance adjusting screw as
shown in the illustration.
5. Insert a feeler gauge of the appropriate thickness
between the rocker arm and the valve stem end.
0046-1.tif

6. Turn the valve clearance adjusting screw until a slight


drag can be felt on the feeler gauge.
7. Tighten the lock nut securely.
8. Rotate the crankshaft 360°.
9. Realign the crankshaft damper pulley TDC notched
line with the timing pointer.
10. Adjust the clearance for the remaining valves as
shown in the illustration.

0046-2.tif

INJECTION TIMING ADJUSTMENT


1. Check that the notched line on the injection pump
flange is aligned with the front plate or the timing gear
case notched line.

0046-3.tif

2. Bring the piston in the No. ! cylinder to TDC 1 on the


compression stroke by turning the crankshaft until the
crankshaft pulley TDC line is aligned with the timing
mark ".
Note:
Check for play in the No. 1 intake and exhaust valve
push rods.
If the No. 1 cylinder intake and exhaust valve push
rods have play, the No. 1 piston is at TDC on the
compression stroke.
0046-4.tif

3. Disconnect the injection pipe from the injection pump.


4. Remove one bolt from the distributor head.
5. Insert a screwdriver into a hole in the fast idle lever
and turn the lever to release the W-C.S.D. function. (If
so equipped)
6. Install the static timing gauge #.
The probe of the gauge should be depressed inward
approximately 2 mm (0.079 in).
Static Timing Gauge : 5-8840-0145-0 (J-28827)
0046-5.tif
00 – 48 SERVICE INFORMATION

7. Rotate the crankshaft to bring the piston in the No. 1


cylinder to a point 30 - 40° BTDC.
8. Set the timing gauge needle to zero.
9. Move the crankshaft pulley slightly in both directions
to check that the gauge indication is stable.

0047-1.tif

10. Turn the crankshaft clockwise and read the gauge


indication when the crankshaft pulley timing mark is
aligned with the pointer.
mm (in)
4JB1 BTDC 14°
4JB1T BTDC 11°
4JB1TC BTDC 4°
4JG2 ATDC 2°
0047-2.tif
Standard Reading mm (in)
0.5 (0.02)

If the injection timing is outside the specified range,


continue with the following steps.

11. Loosen the injection pump fixing nuts and bracket


bolts.
12. Adjust the injection pump setting angle.
When large than When smaller than
standard value standard value
Gear drive A B

A : Move the injection pump toward the engine.


B : Move the injection pump away from the engine.
0047-3.tif Tighten the pump fixing nut, adjust bolt and pump
distributor head plug to the specified torque.
Pump Fixing Bolt N∙m (kg∙m/lb∙ft)
24 (2.4/17)

Adjust Bolt N∙m (kg∙m/lb∙ft)


19 (1.9/14)

Injection Pump
Distributor Head Plug N∙m (kg∙m/lb∙ft)
17 (1.7/12)

CAUTION
• When installing the distributor head/plug, be sure
to use new copper washer.
SERVICE INFORMATION 00 – 49

COMPRESSION PRESSURE MEASURE-


MENT
1. Start the engine and allow it to idle until the coolant
temperature reaches 70 - 80°C (158 - 176°F).
2. Remove the following parts.
* Glow plugs
* Fuel cut solenoid connector
* QOS (Quick-On Start System) fusible link wire at
0048-1.tif the connector.
3. Set the adapter and compression gauge to the No. 1
cylinder glow plug hole.
Compression Gauge
(with Adapter): 5-8840-2008-0 (J-29762)
Adapter: 5-8531-7001-0
4. Turn the engine over with the starter motor and take
the compression gauge reading.
2
Compression Pressure at 200 rpm kPa (Kg/cm /psi)
Standard Limit
4JB1 3,038 (31/441) 2,157 (22/313)
4JG2 3,334 (34/484) 2,452 (25/356)

5. Repeat the procedure (Steps 3 and 4) for the


remaining cylinders.
0048-2.tif
If the measured value is less than the specified limit,
refer to “Troubleshooting” in this Manual.

QUICK-ON START II SYSTEM


(4JB1 / 4JB1T / 4JB1TC only)
Quick-On Start System Inspection Procedure
1. Disconnect the thermo-sensor connection on the
thermostat outlet pipe.
2. Turn the starter switch to the “ON” position.
If the Quick-On Start II System is operating properly,
the glow relay will make a clicking sound within 15
0048-3.tif
seconds after the starter switch is turned on.
3. Measure the glow plug terminal voltage with a circuit
tester immediately after turning the starter switch to
the “ON” position.
Glow Plug Terminal Voltage V
Approx. 11

0048-4.tif
00 – 50 SERVICE INFORMATION

QUICK-ON START III SYSTEM


(4JG2 only)
Quick-On Start System Inspection Procedure
1. Disconnect the thermo-sensor connection on the
thermostat outlet pipe.
2. Turn the starter switch to the “ON” position.
If the Quick-On Start III System is operating properly,
the glow relay will make a clicking sound within seven
0049-1.tif
seconds after the starter switch is turned on.

3. Measure the glow plug terminal voltage with a circuit


tester immediately after turning the starter switch to
the “ON” position.
Glow Plug Terminal Voltage V
8–9

NOTE:
Electrical power to the quick-on start system will be
cut after the starter has remained in the “ON”
0049-2.tif position for twenty seconds.
Turn the starter switch to the “OFF” position and
back to the “ON” position.
This will reset the Quick-On Start III System.
SERVICE INFORMATION 00 – 51

FIXING TORQUE
CYLINDER HEAD COVER, CYLINDER HEAD ROCKER,
SHAFT BRAKER N∙m (kg∙m/lb∙ft)

011LX002.tif
00 – 52 SERVICE INFORMATION

Crankshaft, Bearing Cap, Connecting Rod Bearing Cap, Crankshaft Damper


Pulley, Flywheel, Oil Pan N∙m (kg∙m/lb∙ft)

0051-1.tif
SERVICE INFORMATION 00 – 53

Timing Pulley Housing, Timing Pulley, Timing Gear,


Camshaft Oil Seal Retainer N∙m (kg∙m/lb∙ft)

014LX001.tif
00 – 54 SERVICE INFORMATION

Cooling System and Lubrication System N∙m (kg∙m/lb∙ft)


SERVICE INFORMATION 00 – 55

Intake Manifold, Exhaust Manifold, Exhaust Pipe N∙m (kg∙m/lb∙ft)

150LX004.tif
00 – 56 SERVICE INFORMATION

N∙m (kg∙m/lb∙ft)

036LX003.tif
SERVICE INFORMATION 00 – 57

Engine Electricals N∙m (kg∙m/lb∙ft)

0056-1.tif
00 – 58 SERVICE INFORMATION

Engine Fuel N∙m (kg∙m/lb∙ft)

0057-1.tif
SERVICE INFORMATION 00 – 59

Engine Mounting Bracket N∙m (kg∙m/lb∙ft)

0058-1.tif
00 – 60 SERVICE INFORMATION

SPECIAL TOOLS
ILLUSTRATION TOOL NO. TOOL NAME

5-8840-2035-0 Crank Timing Pulley (4JG2 Belt Drive only)

5-8840-0200-0 Oil Filter Wrench (89.0 mm/3.5 in)

5-8840-0202-0 Oil Filter Wrench (106.0 mm/4.2 in)

5-8840-2209-0 Oil Filter Wrench (100.6 mm/4.0 in)

9-8523-1423-0 (J-29760) Valve Spring Compressor

5-8840-2033-0 Oil Seal Installer

5-8840-9018-0 Piston Ring Compressor

5-8840-2093-0 Tacho Meter

9-8523-1212-0 Valve Guide Replacer

Camshaft Timing Pulley Remover


5-8840-0086-0
(4JG2 Belt Drive only)

5-8840-0199-0 Rubber Hardness Tester


SERVICE INFORMATION 00 – 61

SPECIAL TOOLS (CONT.1)


ILLUSTRATION TOOL NO. TOOL NAME

5-8840-2675-0 Compression gauge

5-8531-7001-0 Gauge Adapter

5-8531-7002-0 Gauge Adapter

5-8840-0145-0 Measuring Device

Crankshaft Timing Pulley Installer


5-8522-0024-0
(4JG2 Belt Drive only)

5-8840-0266-0 Angle Gauge

5-8840-9016-0 Injection Nozzle Tester

5-8840-2034-0 Nozzle Holder Remover (4JB1 only)

5-8840-2038-0 Camshaft Bearing Replacer

Front Oil Seal Installer


5-8840-2036-0
(4JB1, 4JG2, Gear Drive only)
00 – 62 SERVICE INFORMATION

SPECIAL TOOLS (CONT.2)


LLUSTRATION TOOL NO. TOOL NAME

5-8840-0259-0 Nozzle Holder Wrench (4JG2 only)

5-8840-0253-0 (J-22700) Fuel Filter Wrench

5-8840-2362-0 Front Oil Seal Remover (4JG2, Belt Drive only)

5-8840-2361-0 Front Oil Seal Installer (4JG2, Belt Drive only)

5-8840-2360-0 Rear Oil Seal Remover

5-8840-2359-0 Rear Oil Seal Installer

5-8840-2040-0 Cylinder Liner Installer (4JB1 only)

5-8840-2313-0 Cylinder Liner Installer (4JG2 only)

5-8840-2039-0 Cylinder Liner Remover (4JB1 only)

5-8840-2304-0 Cylinder Liner Remover Ankle (4JG2 only)

5-8840-2000-0 Pilot Bearing Remover

5-8840-0019-0 Sliding Hammer

5-8522-0024-0 Pilot Bearing Installer


SERVICE INFORMATION 00 – 63

MEMO
.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................
HOME

GENERAL ENGINE MECHANICAL 6A – 1

SECTION 6A
GENERAL ENGINE MECHANICAL

CONTENTS
PAGE
Cylinder Head................................................................................................................. 6A - 2
Valve Spring, Valve Guide Oil Seal, Valve Guide, Push Rod ..................................... 6A - 10
Camshaft, Tappet........................................................................................................... 6A - 17
Rocker Arm Assembly................................................................................................... 6A - 24
Oil Pump ......................................................................................................................... 6A - 27
Crankshaft ...................................................................................................................... 6A - 31
Piston and Connecting Rod.......................................................................................... 6A - 47
Cylinder Block................................................................................................................ 6A - 56
6A – 2 GENERAL ENGINE MECHANICAL

CYLINDER HEAD

Disassembly steps
1. Thermostat housing Assembly
2. Injection nozzle holder (4JG2)
2a. Injection nozzle holder (4JB1・
(4JB1)
4JB1TC)
3. Glow plug and plug connector
(4JG2)
3a. Glow plug and plug connector
(4JB1・4JB1TC)
4. Rocker arm shaft and rocker arm
5. Push rod
6. Cylinder head
Reassembly steps
To reassemble, follow the
disassembly steps in the reverse
order.

6A-2-1.tif

NOTE:
• During disassembly, be sure that the valve train
components are kept together and identified so
that they can be re-installed in their original
locations.
• Before removing the cylinder head from the engine
and before disassembling the valve mechanism,
make a compression test and note the results.

DISASSEMBLY
1. Thermostat Housing Assembly
2. Injection Nozzle Holder (4JG2)
2a. Injection Nozzle Holder (4JB1, 4JB1TC)
1) Remove the nozzle holder bracket nuts.

6A-2-2.tif
GENERAL ENGINE MECHANICAL 6A – 3

2) Use the nozzle holder remover and the sliding


hammer to remove the nozzle holder together with
the holder bracket.
Nozzle Holder Remover: 5-8840-2034-0
Sliding Hammer: 5-8840-0019-0

6A-3-1.tif

3. Glow Plug and Glow Plug Connector (4JG2)


3a. Glow Plug and Glow Plug Connector (4JB1,
4JB1TC)
4. Rocker Arm Shaft and Rocker Arm
5. Push Rod
6. Cylinder Head
• Loosen the cylinder head bolts a little at a time in
the numerical order shown in the illustration.
NOTE:
Failure to loosen the cylinder head bolts a little at
a time in numerical order will adversely effect the
cylinder head lower surface.

CLEAN
6A-3-2.tif

• Cylinder head bolts


• Cylinder head
Carefully remove all varnish, soot and carbon to
the bare metal. Do not use a motorized wire brush
on any gasket sealing surface.

INSPECTION AND REPAIR


Make the necessary adjustments, repairs, and part
replacements if excessive wear or damage is discovered
during inspection.
• Cylinder head gasket and mating surfaces for leaks,
corrosion and blow-by. If the gasket has failed,
determine the cause;
- Improper installation
- Loose or warped cylinder head
- Insufficient torque on head bolts
- Warped case surface
1. Cylinder head bolts for damaged threads or stretching
and damaged heads caused by improper use of tools.
CAUTION:
Suspected bolts must be replaced.
2. Cylinder head for cracks, especially between valve
seats and in the exhaust ports.
3. Cylinder head deck for corrosion, sand particles in
head and porosity.
6A – 4 GENERAL ENGINE MECHANICAL

CAUTION:
Do not attempt to weld the cylinder head. Replace it.
4. Cylinder head deck, intake and exhaust manifold
mating surfaces for flatness.
These surfaces may be re-conditioned by milling
(except cylinder head lower face). If the surfaces are
“out of flat” by more than specification, the surface
should be grinded to within specifications. If more than
limit of specification, it should be replaced.
NOTE:
6A-4-1.tif
The cylinder head lower face cannot be reground.
mm (in)
Standard Limit
Cylinder Head
0.05 (0.002)
Lower Face 0.20 (0.0079)
or less
Warpage
Cylinder Head
92 (3.622) 91.55 (3.6043)
Height

5. Water jacket sealing plugs seating surfaces.


6. Use a straight edge and a feeler gauge to measure the
manifold cylinder head lifting face warpage.
Regrind the exhaust manifold cylinder head lifting
surfaces if the measured values are between the
specified limit and the standard.
If the measured values exceed the specified limit, the
manifold must be replaced.
Exhaust Manifold Warpage mm (in)
Standard Limit
0.05 (0.002) or less 0.20 (0.0079)
6A-4-2.tif

Hot plug depression (4JG2 only)


1. Clean the cylinder head lower side, taking care not to
damage the hot plug surfaces.
2. Use a straight edge and feeler gauge to measure hot
plug depression in a straight line from the No. 1 hot
plug to the No. 4 hot plug.
If the measured value exceeds the limit, the hot plugs
must be replaced.
Depression Limit mm (in)
6A-4-3.tif 0.02 (0.0008)
GENERAL ENGINE MECHANICAL 6A – 5

Hot plug removal (4JG2 only)


1. Insert a 3.0 - 5.0 (0.12 - 0.20.) diameter bar into the
nozzle holder fitting hole unit it makes contact with the
hot plug.
2. Lightly tap the bar with a hammer to drive the hot plug
free.
If the measured value exceeds the limit, the hot plugs
must be replaced.

6A-4-4.tif

Combustion chamber inspection (4JG2 only)


1. Remove the carbon adhering to the inside of the
combustion chamber. Take care not to damage the
hot plug fitting positions.
2. Inspect the inside of the combustion chamber, the hot
plug, and the hot plug machined faces for cracking
and other damage.
If cracking or damage is present, the cylinder head
must be replaced.
6A-5-1.tif NOTE:
Be absolutely certain that there are no scratches or
protuberance on the combustion chamber surfaces
which will be in contact with the hot plug after it is
installed. There flaws will prevent the hot plug from
seating correctly.

Hot plug inspection


Inspection the hot plugs for excessive wear and other
damage. Replace the hot plugs if either of these
conditions are discovered.

Hot plug installation (4JG2 only)


1. Align the hot plug knock ball ! with the cylinder head
groove " and tap it temporarily into position with a
plastic hammer.

6A-5-2.tif

2. Place an appropriate metal plate # thick over the hot


plug upper surface $
3. Use a press % to exert a pressure of 44130 - 53937N
(4500 - 5500 kg/9923 - 12128 lbs.) on the metal plate
covering the hot plug upper surface. This will drive the
hot plug into position.
4. Lightly tap the hot plug heads to make sure that they
are firmly seated.
5. Repeat the procedure Steps 1-4 for the remaining hot
plugs.
6A-5-3.tif
6A – 6 GENERAL ENGINE MECHANICAL

CAUTION:
Do not apply pressure greater than that specified.
Damage to the cylinder head will result.
6. Use a surface grinder to grind off any hot plug surface
protuberances.
The hot plug surfaces must be perfectly flush with the
cylinder head.
7. After grinding, make sure that the hot plug surfaces
are completely free of protuberances.
The hot plug surfaces must also be free of
depressions.

Once again, lightly tap the hot plug heads to make sure
that they are firmly seated.

6A-6-1.tif

Heat shield removal (4JG2 only)


After removing the hot plugs, use a hammer ! and a
brass bar " to lightly tap the lower side of the heat shield
# and drive it free.

6A-6-2.tif

Heat shield installation (4JG2 only)


Install the heat shield washer and the heat shield to the
cylinder head from the nozzle holder installation hole side.
Lightly tap the flange into place with a brass bar.
The heat shield flange side must be facing up.
NOTE:
Always install a new heat shield. Never reuse the old
heat shield.

6A-6-3.tif

REASSEMBLY
6. Cylinder Head
1) Hot plug
• Set the nock ball in the positioning groove on the
cylinder head side according to the order of the
cylinders, and hit it lightly with a plastic hammer.
GENERAL ENGINE MECHANICAL 6A – 7

NOTE:
After being pressed into the cylinder head, the hot
plugs were provided with surface grinding.
Accordingly, their dimensions are different
individually among them, and take care not confuse
the order of the cylinders.

When replacing the hot plug with new one:


When assembling a new hot plug, set the knock ball in the
positioning groove on the cylinder side and hit it lightly with
a plastic hammer until the hot plug is set in stably.
With patch attached to the hot plug to prevent it from
being damaged, press it in with a force of 4.5 to 5.5 ton
applied.
After pressing the hot plug, grind its surface to the cylinder
head.
And finally, hit the hot plug lightly with a plastic hammer
and check it for any excessive sinking, protrusion or
backlash.

2) Valve Seat Insert Installation


1. Carefully place the attachment ! (having a smaller
outside diameter than the valve seat insert) on the
valve seat insert ".

NOTE:
The smooth side of the attachment must contact the
valve seat insert.

2. Use the bench press # to gradually apply pressure to


6A-7-1.tif the attachment and press the valve seat insert into
place.

NOTE:
Do not apply an excessive amount of pressure with
the bench press. Damage to the valve seat will
result.
Measure the height of the valve guide upper end from the
upper face of the cylinder head.

Valve Guide Upper End Height (H) (Reference) mm (in)


13 (0.51)
6A-7-2.tif
NOTE:
If the valve guide has been removed, both the valve
and the valve guide must be replaced as a set.
6A – 8 GENERAL ENGINE MECHANICAL

3) Spring lower seat


4) Valve stem oil seal
• Install a new oil controller in the valve.
• Guide using special tool
Oil seal installer: 5-8840-2003-0
5) Valve
• Apply engine oil to the outside of the valve stem before
installing it.

6A-7-3.tif

6) Valve Spring
• Attach the valve spring to the upper spring seat.

CAUTION
• The painted area of the valve spring should be
facing downward.
• Apply compressed air to cylinder from the glow
plug hole to hold the valve in place.
• Install split collar by special tool.
Valve spring compressor: 9-8523-1423-0 (J-29760)
6A-8-1.tif

7) Split Collar
• Use a spring compressor to push the valve spring into
position.
• Install the spring seat split collar.
• Set the split collar by tapping lightly around the head of
the collar with a rubber hammer.
Valve spring compressor: 9-8523-1423-0 (J-29760)
5. Push Rod
4. Rocker Arm Shaft and Rocker Arm
6A-8-2.tif
• Tighten rocker arm shaft fixing bolts
N∙m (kg∙m/lb∙ft)
54 (5.5/40)

3a. Glow Plug and Glow Plug Connector (4JB1/4JB1T


only)
3. Glow Plug and Glow Plug Connector
• Tighten glow plugs
N∙m (kg∙m/lb∙ft)
23 (2.3/17)
GENERAL ENGINE MECHANICAL 6A – 9

2a. Injection Nozzle Holder (4JB1/4JB1T/4JB1TC only)


1) Install the injection nozzle gasket ! and the O-ring "
to the injection nozzle holder #.
Be sure that the O-ring fits snugly in the injection
nozzle groove.
2) Apply engine oil to the cylinder head nozzle holder
hole.
3) Install the nozzle holder together with the nozzle holder
bracket $ to the cylinder head.
6A-8-3.tif N∙m (kg∙m/lb∙ft)
37 (3.8/27)

2. Injection Nozzle (4JG2 only)


• Lightly tighten the holder nut to suck extent that the
nozzle holder can turn one word and one word.
• Set positioning confirmation drilled hole (ø2) within a
nozzle turning angle of ±5° against the cylinder head-
side positioning boss.
• Apply a wrench as illustrated and tighten the holder nut
to the specified torque using a special tool.
CAUTION
• After tightening the holder nut, make sure that the
040LX016.tif
drilled hole makes ±5° or smaller with the cylinder
head-side positioning boss.
• When mounting leak off pipe, injection nozzle and
pipe, clean then with air so that dust may not
enter.

Nozzle Fixing Torque N∙m (kg∙m/lb∙ft)


64 (6.5/47)

Wrench: Nozzle holder 5-8840-0259-0

6A-9-1.tif

1. Thermostat Housing Assembly


• Tighten thermostat housing assembly fixing bolt.
N∙m (kg∙m/lb∙ft)
19 (1.9/14)
6A – 10 GENERAL ENGINE MECHANICAL

VALVE SPRING, VALVE GUIDE OIL SEAL, VALVE GUIDE, PUSH ROD

6A-10-1.tif

DISASSEMBLY
1. Rocker Arm Assembly
2. Split Collar
Using special Tool, compress valve spring
Valve spring compressor: 9-8523-1423-0 (J-29760)
3. Valve Spring
4. Valve
5. Valve Guide Oil Seal
6. Valve Guide
Valve Guide Replacer: 9-8523-1212-0

6A-10-2.tif
GENERAL ENGINE MECHANICAL 6A – 11

INSPECTION AND REPAIR


Make the necessary adjustments, repairs, and part
replacements if excessive wear or damage is discovered
during inspection.

Valve spring
CAUTION:
Visually inspect the valve springs and replace them if
damage or abnormal wear is evident.
1. Free height
• Measure the free height of the springs. The springs
must be replaced if the height is below the specified
limit.

6A-11-1.tif
Free Height mm (in)
Standard Limit
48.0 (1.891) 47.100 (1.8560)

2. Squareness
• Measure the valve spring squareness with a steel
square.
• Replace the valve springs if the measured value
exceeds the specified limit.
Limit mm (in)
1.7 (0.067)

6A-11-2.tif

3. Spring tension
• Use spring tester to compress the springs to the
installed height. Measure the compressed spring
tension.
Replace the springs if the measured tension is below
the specified limit.
Tension N (kg/lb)
At installed height Standard Limit
38.9 mm (1.5 in) 296.2 (30.2/66.6) 257.9 (26.3/57.9)
6A-11-3.tif

Valve Guide
CAUTION:
Taking care not to damage the valve seat contact
surface, when removing carbon adhering to the valve
head.
Carefully inspect the valve stem for scratching or
abnormal wear. If these conditions are present, the
valve and the valve guide must be replaced as a set.
6A – 12 GENERAL ENGINE MECHANICAL

1. Valve Guide Clearance


• Measure the valve stem diameter with a micrometer.
If the valve stem diameter is less than the specified
limit, the valve and the valve guide must be replaced
as a set.
mm (in)
Standard Limit
7.946 - 7.961 7.880
Inlet
Diameter of (0.3128 - 0.3134) (0.310.2)
6A-12-1.tif
Valve stem 7.921 - 7.936 7.850
Exhaust
(0.3118 - 0.3124) (0.3091)

• Measure the inside diameter of the valve guide with a


micrometer.
• Subtract the measured outer diameter of the valve
stem from the measured inner diameter of the valve
guide. If the valve exceeds of the valve guide.
If the valve exceeds the specified limit, the valve and
the valve guide must be replaced as a set.
Valve Guide Clearance mm (in)
Standard Limit
0.039 - 0.069 0.200
Inlet clearance
(0.0015 - 0.0027) (0.0079)
0.064 - 0.096 0.250
Exhaust clearance
(0.0025 - 0.0038) (0.0098)
GENERAL ENGINE MECHANICAL 6A – 13

Valve Guide Replacement


1. Using special tool, drive out the valve guide from the
combustion chamber side.
Valve guide replacer: 9-8523-1212-0

6A-13-1.tif

2. Apply engine oil to the outside of the valve guide.


Using special tool, drive in a new valve guide from
cylinder head upper face side, and check the valve
guide height.
Valve guide replacer: 9-8523-1212-0
Height mm (in)
13 (0.51)

NOTE:
6A-13-2.tif If the valve guide has been removed, both the valve
and the valve guide must be replaced as a set.

Valve Thickness
1. Measure the valve thickness
2. If the measured value is less than the specified limit
the valve and the valve guide must be replaced as a
set.
Valve Thickness mm (in)
Standard Limit
4JB1 Inlet 1.79 (0.0705)
4JB1T 1.5 (0.06)
6A-13-3.tif
4JB1TC Exhaust 1.83 (0.0720)
Inlet 1.41 (0.0555)
4JG2 1.1 (0.043)
Exhaust 1.39 (0.0547)

Contact surface angle on valve seat on valve


1. Measure contact surface angle on valve seat.
2. If the measured value exceeds the limit, replace valve
guide and valve seat as a set.
Standard Degrees
45°

6A-13-4.tif
6A – 14 GENERAL ENGINE MECHANICAL

Valve depression
1. Install the valve (1) to the cylinder head (2).
2. Use a depth gauge or a straight edge with steel rule to
measure the valve depression from the cylinder head
lower surface.
If the measured value exceeds the specified limit, the
valve seat insert must be replaced.
Valve Depression mm (in)
Standard Limit
6A-14-1.tif 4JB1 Inlet 0.73 (0.029) 1.28 (0.050)
4JB1T
4JB1TC Exhaust 0.70 (0.028) 1.20 (0.047)
Inlet
4JG2 1.1 (0.043) 1.6 (0.063)
Exhaust

Valve Contact Width


1. Check the valve contact faces for roughness and
unevenness. Make smooth the valve contact surfaces.
2. Measure the valve contact width.
If the measured value exceeds the specified limit, the
valve seat insert must be replaced.
Contact Width mm (in)
Standard Limit
Inlet 1.7 (0.0670) 2.2 (0.0866)
6A-14-2.tif
Exhaust 2.0 (0.0788) 2.5 (0.0984)

Valve Seat Insert Replacement


Valve Seat Insert Removal
1. Arc weld the tire inside circumference ! of the valve
seat insert ".
2. Allow the valve seat insert to cool for a few minutes.
This will invite contraction and make removal of the
valve seat insert easier.
3. Use a screwdriver # to pry the valve seat insert free.
Take care not to damage the cylinder head $.
6A-14-3.tif
4. Carefully remove carbon and other foreign material
from the cylinder head insert bore.

Valve Seat Insert Installation


1. Carefully place the attachment ! (having a smaller
outside diameter than the valve seat insert) on the
valve seat insert ".
NOTE:
The smooth side of the attachment must contact the
valve seat insert.
2. Use a bench press # to gradually apply pressure to
the attachment and press the valve seat insert into
place.
6A-14-4.tif
GENERAL ENGINE MECHANICAL 6A – 15

NOTE:
Do not apply an excessive amount of pressure with
the bench press. Damage to the valve seat insert will
result.

Valve Seat Insert Correction


1. Remove the carbon from the valve seat insert surface.
2. Use a valve cutter (15°, 45°, and 75° blades) to
minimize scratches and other rough areas, this will
bring the contact width back to the standard value.
Remove only the scratches and rough areas. Do not
cut away too much. Take care not to cut away
unblemished area of the valve seat surface.

6A-15-1.tif

Valve Seat Angle degree


45°

NOTE:
Use an adjustable valve cutter pilot.
Do not allow the valve cutter pilot to wobble inside the
valve guide.
3. Apply abrasive compound to the valve seat insert
surface.
6A-15-2.tif 4. Insert the valve into the valve guide.
5. Turn the valve while tapping it to fit the valve seat
insert.
6. Check that the valve contract width is correct.
7. Check that the valve seat insert surface is in contact
with the entire circumference of the valve.

6A-15-3.tif

Push Rod Curvature


1. Lay the push rod on a surface plate.
2. Roll the push rod along the surface plate and measure
the push rod curvature with a thickness gauge.
If the measure value exceeds the specified limit, the
push rod must be replaced.
Push Rod Curvature Limit mm (in)
0.4 (0.0157) or less
6A-15-4.tif
3. Visually inspect both ends of the push rod for
excessive wear and damage. The push rod must be
replaced if these conditions are discovered during
inspection.
6A – 16 GENERAL ENGINE MECHANICAL

REASSEMBLY
6. Valve Guide
• Apply engine oil to the outside of the valve guide.
Using special tool, drive in a new valve guide from the
rocker arm shaft side.
Valve guide replacer: 9-8523-1212-0
5. Valve Guide Oil Seal
• Using special tool, drive in a new oil seal
Oil special tool, drive in a new oil seal
Oil seal installer: 5-8840-2033-0
6A-16-1.tif
4. Valve
• Apply engine oil to the outside of the valve stem.

3. Valve Spring
• Attach the valve seat to the upper spring seat. The
painted area of the valve spring should be facing
downward.

6A-16-2.tif

2. Split Collar
• Use a spring compressor to push the valve spring into
position.
• Install the spring seat split collar.
• Set the split collar by tapping lightly around the head of
the collar with a rubber hammer.
Valve spring compressor: 9-8523-1423-0 (J-29760)

6A-16-3.tif

1. Rocker Arm Assembly


N∙m (kg∙m/lb∙ft)
54 (5.5/40)

6A-16-4.tif
GENERAL ENGINE MECHANICAL 6A – 17

CAMSHAFT, TAPPET

6A-17-1.tif

DISASSEMBLY
1. Cylinder Head Assembly
2. Flywheel
3. Cylinder Block Rear Plate
4. Oil Pan Assembly
5. Oil Pump Assembly
6. Camshaft Timing Gear (Gear Drive Model)
• Remove the camshaft timing gear bolt from the
camshaft.
NOTE:
Hold the camshaft stationary to prevent the camshaft
from turning.
• Use the universal puller ! to pull out the camshaft
timing gear ".
• Universal Puller: 5-8521-0002-0
6A-17-2.tif
Remove the thrust plate #.
6A – 18 GENERAL ENGINE MECHANICAL

6a. Camshaft Timing Pulley (Belt Drive Model)


• Use the timing pulley puller " to remove the pulley.
Timing Pulley Puller: 5-8840-0086-0
• Remove the stopper bolt.
7. Camshaft Thrust Plate (Gear Drive Model)
7a. Camshaft Pulley Center (Belt Drive Model)
8. Camshaft
9. Tappet

6A-18-1.tif

INSPECTION AND REPAIR


Make the necessary adjustment, repairs, and part
replacements if excessive wear or damage is discovered
during inspection.

1. Measure the Camshaft Thrust Clearance


• Use a dial indicator to measure the camshaft end play.
This must be done before removing the camshaft
gear.
If the camshaft end play exceeds the specified limit,
the thrust plate must be replaced.
Camshaft End Play mm (in)
Standard Limit
0.08 (0.0031) 0.2 (0.0079)
6A-18-2.tif

2. Camshaft Journal Diameter


• Use a micrometer to measure each camshaft journal
diameter in two directions ! and ". If the measured
value is less than the specified limit, the camshaft
must be replaced.
Journal Diameter mm (in)
Standard Limit
49.945 - 49.975 (1.9663 - 1.9675) 49.60 (1.9528)

6A-18-3.tif

3. Cam Height
• Measure the cam height H with a micrometer. If the
measured value is less than the specified limit, the
camshaft must be replaced.
Cam Height mm (in)
Standard Limit
42.02 (1.6543) 41.65 (1.6398)

6A-18-4.tif
GENERAL ENGINE MECHANICAL 6A – 19

4. Camshaft Run-Out
• Mount the camshaft on V-blocks.
• Measure the run-out with a dial indicator.
If the measured value exceeds the specified limit, the
camshaft must be replaced.
Run-Out mm (in)
Standard Limit
0.02 (0.008) or less 0.10 (0.0039)

6A-19-1.tif

5. Camshaft and Camshaft Bearing Clearance


• Use an inside dial indicator to measure the camshaft
bearing inside diameter.
Camshaft Bearing Inside Diameter mm (in)
Standard Limit
50.00 - 50.03
50.08 (1.9716)
(1.9685 - 1.9696)

Camshaft Bearing Clearance mm (in)


6A-19-2.tif Standard Limit
0.025 - 0.085
0.12 (0.005)
(0.0010 - 0.0033)

• If the clearance between the camshaft bearing inside


diameter and the journal exceeds the specified limit,
the camshaft bearing must be replaced.

Camshaft Bearing Replacement


Camshaft Bearing Removal
1. Remove the cylinder body plug plate.
2. Use the bearing replacer to remove the camshaft
bearing.
Bearing Replacer: 5-8840-2038-0

6A-19-3.tif

Camshaft Bearing Installation


1. Align the bearing oil holes with the cylinder body oil
holes.
2. Use the replacer to install the camshaft bearing.
Bearing Replacer: 5-8840-2038-0

6A-19-4.tif
6A – 20 GENERAL ENGINE MECHANICAL

TAPPET
Visually inspect the tappet camshaft contact surfaces for
pitting, cracking, and other abnormal conditions. The
tappet must be replaced if any of these conditions are
present.
Refer to the illustration at the left.
! Normal contact
" Cracking
6A-20-1.tif
# Pitting
$ Irregular contact
% Irregular contact
NOTE:
The tappet surfaces are spherical. Do not attempt to
grind them with an oil stone or similar tool in an effort
to repair the tappet. If the tappet is damaged, it must
be replaced.

Tappet Outside Diameter


1. Measure the tappet outside diameter with a
micrometer. If the measured value is less than the
specified limit, the tappet must be replaced.
Tappet Outside Diameter mm (in)
Standard Limit
12.97 - 12.99 12.95 (0.509)
(0.510 - 0.511)

6A-20-2.tif

2. Measure the inside diameter tappet on the cylinder


block and calculate the clearance.
If the clearance exceeds the limit, replace tappet
or/and cylinder block.
Tappet and Cylinder Body Clearance mm (in)
Standard Limit
0.03 (0.001) 0.10 (0.004)

6A-20-3.tif

REASSEMBLY
9. Tappet
1) Apply a coat of engine oil to the tappet 1 and the
cylinder body tappet insert holes 2.
2) Locate the position mark applies at disassembly (if the
tappet is to be reused).
NOTE:
The tappet must be installed before the camshaft.
6A-20-4.tif
GENERAL ENGINE MECHANICAL 6A – 21

8. Camshaft
1) Apply a coat of engine oil to the camshaft and the
camshaft bearings.
2) Install the camshaft to the cylinder body.
Take care not damage the camshaft bearings.

6A-21-1.tif

7a. Camshaft Timing Pulley Center (Belt Drive Model)


• Apply engine oil to the oil seal lip portion of the oil seal
retainer.
• Apply the recommended liquid gasket or its equivalent
to the retainer.
• Install the oil seal retainer to the cylinder body.
• Tighten the retainer bolts to the specified torque.
Oil Seal Retainer Bolt Torque N∙m (kg∙m/lb∙ft)
19 (1.9/14)
6A-21-2.tif

• Align the camshaft timing pulley center with the


camshaft key.
• Tighten the timing pulley bolts to the specified torque.
Timing Pulley Bolt Torque N∙m (kg∙m/lb∙in)
8 (0.8/69)

6A-21-3.tif

7. Camshaft Thrust Plate (Gear Drive Model)


Install the thrust plate to the cylinder body and tighten the
thrust plate bolts to specified torque.
Thrust Plate Bolt Torque N∙m (kg∙m/lb∙ft)
18 (1.8/13)

6A-21-4.tif

6a. Camshaft Timing Pulley (Belt Drive Model)


• Prevent the camshaft from turning when tightening the
timing center bolt.
• Tighten the timing pulley center bolt to the specified
torque.
Center Bolt Torque N∙m (kg∙m/lb∙ft)
64 (6.5/47)

6A-21-5.tif
6A – 22 GENERAL ENGINE MECHANICAL

6. Camshaft Timing Gear (Gear Drive Model)


1) Install the camshaft timing gear to the camshaft.
The timing gear mark (“Y-Y”) must be facing outward.
2) Tighten the timing gear to the specified torque
Timing Gear Bolt Torque N∙m (kg∙m/lb∙ft)
64 (6.5/47)

6A-22-1.tif

5. Oil Pump Assembly


4. Oil Pan Assembly
Above works refer to “OIL PUMP” Section in this manual.
3. Cylinder Block Rear Plate
• Tighten cylinder block rear plate fixing bolts to the
specified torque.
Rear Plate Bolt Torque N∙m (kg∙m/lb∙ft)
82 (8.4/61)

2. Flywheel
• Apply engine oil to fixing bolts.
• Tighten the flywheel bolts to the specified torque in two
steps using the Angular Tightening Method.
Follow the numerical order shown in the illustration.
Flywheel Bolt Torque N∙m (kg∙m/lb∙ft)
1st Step (Snug Torque) 2nd Step (Final Torque)
59 (6.0/43) 60° - 90°

6A-22-2.tif

1. Cylinder Head Assembly


1) Hot plug
• Set the nock ball in the positioning groove on the
cylinder head side according to the order of the
cylinders, and hit it lightly with a plastic hammer.
NOTE:
After being pressed into the cylinder head, the hot
plugs were provided with surface grinding.
Accordingly, their dimensions are different
individually among them, and take care not confuse
the order of the cylinders.
GENERAL ENGINE MECHANICAL 6A – 23

When replacing the hot plug with new one:


When assembling a new hot plug, set the knock ball in the
positioning groove on the cylinder side and hit it lightly with
a plastic hammer until the hot plug is set in stably.
With patch attached to the hot plug to prevent it from
being damaged, press it in with a force of 4.5 ~ 5.5 ton
applied.
2) Valve Seat Insert Installation
1. Carefully place the attachment ! (having a smaller
outside diameter than the valve seat insert) on the
valve seat insert ".
NOTE:
The smooth side of the attachment must contact the
valve seat insert.
2. Use the bench press # to gradually apply pressure to
the attachment and press the valve seat insert into
6A-23-1.tif
place.

NOTE:
Do not apply an excessive amount of pressure with
the bench press. Damage to the valve seat insert will
result.
Measure the height of the valve guide upper end from
the upper face of the cylinder head.
Valve Guide Upper End Height (H) (Reference) mm (in)
13 (0.51)

6A-23-2.tif NOTE:
If the valve guide has been removed, both the valve
and the valve guide must be replaced as a set.
3) Spring Lower Seat
4) Valve Stem Oil Seal
5) Valve
6) Valve Spring
7) Split Collar
Above works refer to “VALVE” Section in this manual.
6A – 24 GENERAL ENGINE MECHANICAL

ROCKER ARM ASSEMBLY

6A-24-1.tif

DISASSEMBLY
1. Rocker Arm Shaft Assembly
2. Rocker Arm Shaft Snap Ring
3. Rocker Arm
4. Rocker Arm Shaft Bracket
5. Rocker Arm
6. Rocker Arm Shaft Spring
7. Rocker Arm Shaft

INSPECTION AND REPAIR


Make the necessary adjustment, repairs, and part
replacements if excessive wear or damage is discovered
during inspection.

Use a micrometer to measure the rocker shaft outside


diameter at the point where the rocker arm moves on the
rocker shaft.
Replace the rocker shaft if the diameter exceeds the
specified limit.
mm (in)
Standard Limit
18.98 - 19.00
18.9 (0.744)
(0.7472 - 0.7480)
6A-24-2.tif
GENERAL ENGINE MECHANICAL 6A – 25

Oil Clearance
1. Use either a vernier caliper or a dial indicator to
measure the rocker arm inside diameter.
Rocker Arm Inside Diameter mm (in)
Standard Limit
19.036 - 19.060
19.100 (0.7519)
(0.7494 - 0.7503)

2. Measure the rocker arm shaft outside diameter.


6A-25-1.tif If the measured value exceeds the specified limit,
replace either the rocker arm or the rocker arm shaft.
Rocker Arm and
Rocker Shaft Clearance mm (in)
Standard Limit
0.06 - 0.08
0.10 (0.0039)
(0.0024 - 0.0031)

3. Check that the rocker arm oil port is free is


obstructions.
If necessary, use compressed air to clean the rocker
arm oil port.

6A-25-2.tif

Rocker Arm Correction


Inspection the rocker arm valve stem contact surface for
step wear ! and scoring ".
If the contact surfaces have light step wear or scoring,
they may be honed with an oil stone.
If the step wear or scoring is severe, the rocker arm must
be replaced.

6A-25-3.tif
6A – 26 GENERAL ENGINE MECHANICAL

Rocker Arm Shaft Run-Out


1. Place the rocker arm shaft on a V-block.
2. Use a dial indicator to measure the rocker arm shaft
central portion run-out.
If the run-out is very slight, correct the rocker arm shaft
run-out with a bench press. The rocker arm must be at
cold condition.
If the measured rocker arm shaft run-out exceeds the
specified limit, the rocker arm shaft must be replaced.
Rocker Arm Shaft Run-Out mm (in)
6A-26-1.tif
Limit
4JB1 / 4JB1T / 4JB1TC
0.2 (0.008)
4JG2

REASSEMBLY
7. Rocker Arm Shaft
• Apply a light coat of engine oil to the rocker arm
shafts.
• Position the rocker arm shaft with the large oil hole
(4ø) facing the front of the engine.
• Install the rocker shaft together with the rocker arm,
the rocker arm shaft bracket, and the spring.
6. Rocker Arm Shaft Spring
6A-26-2.tif
5. Rocker Arm
4. Rocker Arm Shaft Bracket
3. Rocker Arm
2. Rocker Arm Shaft Snap Ring

1. Rocker Arm Shaft Assembly


• Install the rocker arm shaft assembly in cylinder head.
• Tighten the rocker arm shaft fixing bolts to the
specified torque.

6A-26-3.tif
GENERAL ENGINE MECHANICAL 6A – 27

OIL PUMP

Disassembly steps
1. Vacuum pump oil hose
2. Stiffener and space rubber
3. Oil pan Assembly
4. Oil pump Assembly
5. Strainer
6. Pump cover
7. Driven gear
8. Oil pump body

6A-27-1.tif

DISASSEMBLY
1. Vacuum Pump Oil Hose
• Remove the oil hose ! from oil pan.
2. Stifner & Space Rubber
• Remove the stiffener from of the oil pan left & right
side.
• Take out space rubber.
3. Oil Pan Assembly

6A-27-2.tif
6A – 28 GENERAL ENGINE MECHANICAL

4. Oil Pump Assembly


5. Strainer
6. Pump Cover
7. Driven Gear
8. Oil Pump Body

INSPECTION AND REPAIR


Make the necessary adjustment, repairs, and part
replacements if excessive wear or damage is discovered
during inspection.

Body and gears


The pump assembly must be replaced if one or more of
the conditions below is discovered during inspection.
• Badly worn or damaged driven gear guide.
• Badly worn or damaged gear teeth.

Gear Teeth and Body Inner Wall Clearance


• Use a feeler gauge to measure the clearance between
the gear teeth and the body inner wall.
• If the clearance between the gear teeth and the body
inner wall exceeds the specified limit, either the gear
or the body must be replaced.
Gear Teeth and Body
Internal Wall Clearance mm (in)
Standard Limit
6A-28-1.tif 0.14 (0.0055) 0.20 (0.0079)

Gear and Body Clearance


• Use a feeler gauge to measure the clearance between
the body and the gear.
• If the clearance between the gear and the body
exceeds the specified limit, the body must be
replaced.
Gear and Body Clearance mm (in)
Standard Limit
0.06 (0.024) 0.15 (0.0059)
6A-28-2.tif
GENERAL ENGINE MECHANICAL 6A – 29

REASSEMBLY
8. Oil Pump Body
7. Driven Gear
6 Pump Cover
5. Strainer
• Install the strainer assembly and tighten the strainer
assembly fixing bolts.
N∙m (kg∙m/lb∙ft)
16 (1.6/12)

6A-29-1.tif

4. Oil Pump Assembly


• Apply molybdenum mixed engine oil to drive gear of
camshaft and driven gear of oil pump.
• Tighten the oil pump fixing bolt to the specified torque.
N∙m (kg∙m/lb∙ft)
19 (1.9/14)

3. Oil Pan Assembly


• Apply the recommended liquid gasket or its equivalent
to the No. 5 bearing cap arches, the grooves, the
cylinder block and the timing gear case filting face at
the positions shown in the illustration.

6A-29-2.tif

• Fit the gasket rear lipped portion into the No. 5 groove.
• Be absolutely sure that the lipped portion is fitted
snugly into the groove.
• Install the oil pan to the cylinder body.
• Tighten the oil pan bolts to the specified torque.
Oil Pan Bolt Torque N∙m (kg∙m/lb∙ft)
19 (1.9/14)

6A-29-3.tif
6A – 30 GENERAL ENGINE MECHANICAL

2. Stiffener & Space Rubber


• Install the space rubber.
• Install the stiffener tighten to the specified torque.
Engine Body Side N∙m (kg∙m/lb∙ft)
37 (3.8/27)

Clutch Housing Side N∙m (kg∙m/lb∙ft)


78 (8.0/58)

1. Vacuum Pump Oil Hose


• Install the oil hose to oil pan.
GENERAL ENGINE MECHANICAL 6A – 31

CRANKSHAFT

Disassembly steps
1. Cylinder head Assembly and
gasket
2. Oil pan Assembly
3. Timing gear
3a. Timing Belt and Pulley
4. Front oil seal
5. Timing gear housing
5a 5a. Timing pulley housing
6. Oil pump Assembly
7. Piston cooling oil pipe
8. Piston and connecting rod
9. Flywheel
10. Cylinder block rear plate
11. Crankshaft rear oil seal
12. Main bearing cap
13. Crankshaft
Reassembly steps
To reassemble, follow the
disassembly steps in the reverse
order.

6A-31-1.tif

DISASSEMBLY
1. Cylinder Head Assembly and Gasket
2. Oil Pan Ambly
3. Timing Gear (Gear Drive Model)
3a. Timing Belt and Pulley (Belt Drive Model)
4. Front Oil Seal
• With the oil seal pushed in deep, install the special tool
as shown in the illustration to remove the oil seal.
Remover: 5-8840-2362-0
6A – 32 GENERAL ENGINE MECHANICAL

5. Timing Gear Housing


5a.Timing Pulley Housing
6. Oil Pump Assembly
7. Piston Cooling Oil Pipe
8. Piston and Connecting Rod
9. Flywheel
10. Cylinder Block Rear Plate

11. Crankshaft Rear Oil Seal (Gear and Belt Drive Model)
• With the oil seal pushed in deep, install the special tool
as shown in the illustration to remove the oil seal.
Remover: Rear Oil Seal 5-8840-2360-0
NOTE:
Take care not to damage sealing surface of rear plate
and crankshaft when removing oil seal.
12. Main Bearing Cap
13. Crankshaft
6A-32-1.tif

INSPECTION AND REPAIR


Make the necessary adjustments, repairs, and part
replacements if excessive wear or damage is discovered
during inspection.

1. Crankshaft
Thrust clearance
Set the dial indicator as shown in the illustration and
measure the crankshaft thrust clearance.
If the thrust clearance exceeds the specified limit, replace
the thrust bearing as a set.
Thrust clearance mm (in)
Standard Limit
0.10 (0.0039) 0.30 (0.0118)
6A-32-2.tif
GENERAL ENGINE MECHANICAL 6A – 33

2. Main bearing clearance


1) Remove the main bearing caps in the sequence
shown in the illustration.
Arrange the removed main bearing caps in the cylinder
number order.
2) Remove the crankshaft. Remove the main bearings.
3) Clean the upper and lower bearings as well as the
crankshaft main journal.
4) Check the bearings for damage or excessive wear.
The bearings must be replace as a set if damage or
6A-33-1.tif
excessive wear is discovered during inspection.
5) Set the upper bearings and the thrust washers to their
original positions. Carefully install the crankshaft.
6) Set the lower bearings to the bearing cap original
position.
7) Apply plastigage to the crankshaft journal unit as
shown in the illustration.
8) Install the main bearing caps. Apply engine oil to the
bolt threads and the seats. Tighten the bolts to the
specified torque.
N∙m (kg∙m/lb∙ft)
167 (17/123)
6A-33-2.tif

NOTE:
Do not allow the crankshaft to rotate.
9) Remove the main bearing caps.
10) Measure the plastigage width and determine the oil
clearance. If the oil clearance exceeds the specified
limit, replace the main bearings as a set and/or
replace the crankshaft.
11) Clean the plastigage from the bearings and the
crankshaft.
12) Remove the crankshaft and the bearings.
6A-33-3.tif
Oil Clearance mm (in)
Standard Limit
4JB1
0.035 - 0.080
/4JB1T
(0.0014 - 0.0036)
4JB1TC 0.11 (0.0043)
0.031 - 0.063
4JG2
(0.0012 - 0.0025)
6A – 34 GENERAL ENGINE MECHANICAL

3. Run-out
1) Carefully set the crankshaft on the V-blocks.
Slowly rotate the crankshaft and measure the runout.
If the crankshaft runout exceeds the specified limit, the
crankshaft must be replaced.
Run-Out mm (in)
Standard Limit
0.05 (0.0020)
0.08 (0.0031)
or less
6A-34-1.tif

Measure the diameter and the uneven wear of main


journal and crank pin.
If the crankshaft wear exceeds the specified limit,
crankshaft must be replaced.
mm (in)
Standard Limit
Main journal 69.917-69.932 69.91 (2.7524)
diameter (2.7526 - 2.7532)
Crank pin 52.915 - 52.930 52.90 (2.0843)
6A-34-2.tif
diameter (2.0833)
Uneven wear 0.05 (0.0020) 0.08 (0.0031)
limit or less

Crankshaft inspection
Inspect the surface of the crankshaft journals and crank
pins for excessive wear and damage.
Inspect the oil seal fitting surfaces for excessive wear and
damage.
Inspect the oil ports for obstructions.

Crankshaft tufftriding inspection


The portion to be tested must be held horizontally so as
not let the test solution flow.
Test liquid should not be applied to the area around the oil
port.
The sliding surface of the pin or journal.
Approximately 10mm
NOTE:
To increase crankshaft strength, Tufftride Method
(Soft nitriding) has been applied. Because of this, it is
6A-34-3.tif
not possible to regrind the crankshaft surfaces.
1. Use an organic cleaner to thoroughly clean the
crankshaft. There must be no traces of oil the surfaces
to be inspected.
2. Prepare a 5-10% solution of ammonium cupric
chloride (dissolved in distilled water).
GENERAL ENGINE MECHANICAL 6A – 35

3. Use a syringe to apply the solution to the surface to be


inspected.
Hold the surface to be inspected perfectly horizontal to
prevent the solution from running.
NOTE:
Do not allow the solution to come in contact with the
oil ports and their surrounding area.
Testing
1. Wait for thirty to forty seconds.
If there is no discoloration after thirty or forty seconds,
the crankshaft is usable.
If discoloration appears (the surface being tested will
become the color copper), the crankshaft must be
replaced.
2. Steam clean the crankshaft surface immediately after
completing the test.
NOTE:
The ammonium cupric chloride solution is highly
corrosive. Because of this, it is imperative that the
surfaces being tested be cleaned immediately after
completing the test.

CRANKSHAFT BEARING SELECTION


When installing new crankshaft bearings or replacing old
bearings, refer to the selection table.

6A-35-1.tif

NOTE:
Please note that some Crankshaft No. 4 journals made
during a limited production period have their number
(No. 4) marked on either their front or rear side of
webs as shown below.

6A-35-2.tif

NOTE:
Although all upper journal bearings (cylinder body
side) have oil grooves and holes, all lower bearings
(bearing cap side) have no groove and hole.
Play close attention to the distinction during the
installation procedure.

6A-35-3.tif
6A – 36 GENERAL ENGINE MECHANICAL

Main Bearing Crankshaft Crankshaft


Bore Diameter mm (in.) Main Journal Diameter mm (in.) Oil Clearance
Bearing
mm (in.)
Size Mark Inside Diameter Size Mark Outside Diameter Size Mark

69.927~69.942 0.035~0.061
1 or - Black
(2.7530~2.7536) (0.0014~0.0024)
73.987~74.000 69.922~69.927 0.032~0.058
1 2 or -
(2.9129~2.9134) (2.7528~2.7530) (0.0013~0.0023)
Blue
69.917~69.922 0.037~0.063
3 or -
(2.7526~2.7528) (0.0015~0.0025)
69.927~69.942 0.031~0.056
1 or -
(2.7530~2.7536) (0.0012~0.0022)
Green
73.975~73.987 69.922~69.927 0.036~0.048
2 2 or -
(2.9124~2.9129) (2.7528~2.7530) (0.0014~0.0019)
69.917~69.922 0.033~0.058
3 or - Black
(2.7526~2.7528) (0.0013~0.0023)

REASSEMBLY
13. Crankshaft
• Install the main bearings to the cylinder body and the
main bearing caps.
• Be sure that they are positioned correctly.
• Apply new engine oil to the upper and lower main
bearing faces.
• Carefully mount the crankshaft.
• Apply engine oil to the thrust washer.
6A-36-1.tif

• Assemble the thrust washer to the No.3 bearing


journal. The oil grooves must face the crankshaft.

6A-36-2.tif
GENERAL ENGINE MECHANICAL 6A – 37

12. Main Bearing Cap


• Apply the recommended liquid gasket or its equivalent
to the No. 5 crankshaft bearing cap ! as shown in the
illustration.
• Install the arch gasket " to the No. 5 bearing cap.
Use your fingers to push the arch gasket into the
bearing cap groove.

6A-37-1.tif

NOTE:
Be sure that the bearing cap fitting surface is
completely free of oil before applying the liquid
gasket.
Do not allow the liquid gasket to obstruct the cylinder
thread holes and bearings.

6A-37-2.tif

• Install the bearing caps with the bearing cap head


arrow mark facing the front of the engine.
• Apply engine oil to the crankshaft bearing cap bolts.
• Tighten the crankshaft bearing cap bolts to the
specified torque a little at a time in the sequence
shown in the illustration.
N∙m (kg∙m/lb∙ft)
167 (17.0/123)

6A-37-3.tif NOTE:
Check to see that the crankshaft turns smoothly by
rotating it manually.
6A – 38 GENERAL ENGINE MECHANICAL

11. Crankshaft Rear Oil Seal (Gear and Belt Drive Model)
Use the oil seal installer to install the oil seal to the cylinder
body.
Installer: Rear Oil Seal 5-8840-2359-0
NOTES:
Wipe off rust and scraps clean from the press-in
portion of the oil seal.
Take note of the press-in direction of the oil seal.
1) Install the adapter of the special tool to the rear end of
6A-38-1.tif
the crankshaft with two bolts.
2) Install the oil seal to the outer circumference of the
adapter.
3) Insert the slave into the adapter portion, and tighten it
in with the bolt (M12 x 1.75L=70) until the adapter
section hits the slave.
4) Remove the adapter and the slave.
5) After installing the oil seal, check the measurement of
the oil seal.
Standard mm (in)
12.2 - 12.8 (0.48 - 0.50)

10. Cylinder Block Rear Plate


Align the rear plate with the cylinder body knock pins.
Tighten the rear plate to the specified torque
N∙m (kg∙m/lb∙ft)
82 (8.4/61)

9. Flywheel
1) Thoroughly clean the remove the oil from the threads
of crankshaft.
2) Mount the flywheel on the crankshaft and then install
the washer.
3) Apply a coat of engine oil to the threads of the flywheel
bolts.
4) Align the flywheel with the crankshaft dowel pin.
5) Tighten the flywheel bolts to the specified torque in two
steps using the Angular Tightening Method.
6A-38-2.tif
Follow the numerical order shown in the illustration.
Flywheel Bolt Torque N∙m (kg∙m/lb∙ft)
1st Step 2nd Step
59 (6.0/43) 60° - 90°

8. Piston and Connecting Rod


7. Piston Cooling Oil Pipe
GENERAL ENGINE MECHANICAL 6A – 39

6. Oil Pump Assembly


Above works refer to “PISTON AND CONNECTING ROD”
Section in this manual.
5a. Timing Pulley Housing
1) Install the timing pulley housing to the cylinder body.
NOTE:
Take care not to twist the front oil seal.
2) Tighten the timing pulley housing bolt together with the
timing pulley housing gasket to the specified torque.
N∙m (kg∙m/lb∙ft)
19 (1.9/14)

3) Cut away the gasket protruding above the fitting


surfaces (as shown in the illustration)
6A-39-1.tif

5. Timing Gear Housing


1) Install the timing gear housing to the cylinder body.
2) Tighten the timing gear housing bolt together with the
timing gear housing gasket to the specified torque.
N∙m (kg∙m/lb∙ft)
19 (1.9/14)

3) Cut away the gasket protruding above the fitting


surface (as shown in the illustration).
4. Front Oil Seal (Gear Drive Model)
• Install oil seal using special tool.
Installer: 5-8840-2061-0

6A-39-2.tif

4. Front Oil Seal (Belt Drive Model)


• Install oil seal using special tool.
Installer: 5-8840-2361-0
NOTE:
Wipe off rust and scraps clean from the press-in
portion of the oil seal.
Take note of the press-in direction of the oil seal.
1) With the oil seal attached to the sleeve, put it in the
front end of the crankshaft.
6A-39-3.tif 2) With the edge of the oil seal attached securely to the
crankshaft, tighten it with the center bolt until the
sleeve hits securely against the reference plane at the
front end of the crankshaft.
3) Remove the sleeve.
6A – 40 GENERAL ENGINE MECHANICAL

4) After pressing in the oil seal, check the measurement


of the oil seal.
Standard mm (in)
0.6 - 1.2 (0.024 - 0.047)
3a. Timing Belt and Pulley (Belt Drive Model)
7) Camshaft Timing Pulley
• Apply engine oil to the oil seal lip portion of the oil seal
retainer.
• Apply the recommended liquid gasket or its equivalent
to the retainer.
• Install the oil seal retainer to the cylinder body.
• Tighten the retainer bolts to the specified torque.
Oil Seal Retainer Bolt Torque N∙m (kg∙m/lb∙ft)
6A-40-1.tif 19 (1.9/14)

• Align the camshaft timing pulley center with the


camshaft key.
• Tighten the timing pulley bolts to the specified torque.
Timing Pulley Bolt Torque N∙m (kg∙m/lb∙in)
8 (0.8/69)

6A-40-2.tif

• Prevent the camshaft from turning when tightening the


timing center bolt.
• Tighten the timing pulley center bolt to the specified
torque.
Center Bolt Torque N∙m (kg∙m/lb∙ft)
64 (6.5/47)

• Install the crank pulley.


• Install the idle pulley and idler pulley.
6A-40-3.tif N∙m (kg∙m/lb∙ft)
76 (7.8/56)

• Install the injection pump assembly and install timing


pulley.
• Align the timing pulley with the pump shaft key.
• Install the stopper bolt to the timing pulley.
This will prevent the timing pulley from moving.
• Tighten the timing pulley nut to the specified torque.
Injection Pump Timing Pulley Nut Torque
N∙m (kg∙m/lb∙ft)
64 (6.5/47)
6A-40-4.tif

• Remove the stopper bolt from the injection timing.


GENERAL ENGINE MECHANICAL 6A – 41

6) Timing Belt
NOTE:
• When the timing belt is removed, be sure to replace it
with a new one.
• The tension of the timing belt may be affected by the
changes in temperature. Be sure to install it while the
engine cold.
• When the timing belt is bent forcibly, the cord may got
snapped, thus resulting in the reduced strength. Do
not bend it unnecessarily.

! Check that the stopper bolts are properly installed to


the camshaft timing pulley and the injection pump
timing pulley.
" Check that the timing pulley housing mark and the
crankshaft timing pulley mark are aligned.
The No. 1 cylinder should be at TDC on the
compression stroke.
Rotate the crankshaft damper pulley clockwise to align
the marks.

6A-41-1.tif

# Install the timing belt to the crankshaft timing pulley !,


the camshaft timing pulley ", the tensioner idler #,
and the injection timing pulley $.
Follow the numerical order.
$ Install the timing belt tensioner % to the timing pulley
housing.
% Temporarily tighten the tensioner bolt.
The tensioner should move freely
NOTE:
6A-41-2.tif The timing belt is easily damaged. Be careful.

NOTE:
After completion of the installation of the timing belt,
check to see if the alignment mark of the crankshaft
timing pulley is in line with the alignment mark
provided on the housing.
• When the alignment marks are not in line with each
other, set them together and reinstall the timing belt.

6A-41-3.tif & Set the tensioner adjusting lever to the timing pulley
housing.
' Remove the stopper bolts from the camshaft timing
pulley and the injection pump timing pulley.
( Attach the spring balancer.
) Adjust the timing belt tension by pulling straight down
on the spring balancer with the specified force.
Tension Adjusting Lever Force N (kg/lb)
98 - 118 (10 - 12/22 - 26)
6A-42-1.tif
6A – 42 GENERAL ENGINE MECHANICAL

NOTE:
Timing belt tension must be adjusted.
Failure to adjust the timing belt tension will result in
timing belt damage.
* Tighten the tension bolt.
11 Rotate the crankshaft 45 degrees counterclockwise.
NOTE:
Never rotate the crankshaft clockwise when adjusting
the timing belt.

6A-42-2.tif

12 Readjust the timing belt tension.


Refer to Step 9
This will remove any remaining timing belt slack.
13 Tighten the tensioner bolt to the specified torque.

Tensioner Bolt Torque N∙m (kg∙m/lb∙ft)


76 (7.7/56)

6A-42-3.tif

14 Tighten the tension adjusting lever nut and bolt.

NOTE:
If on-vehicle timing belt replacement is performed, the
crankshaft must not be allowed to turn.
If the crankshaft is allowed to turn, piston and valve
damage will result.

6A-42-4.tif

5) Flange: Camshaft Pulley


4) Flange: Injection Pump Pulley
• Install the timing pulley flange to the camshaft and
injection pump timing pulley.
• Tighten the timing pulley flange bolts to the specified
torque.
Timing Pulley Flange Bolt Torque N∙m (kg∙m/lb∙ft)
19 (1.9/14)

6A-43-1.tif
GENERAL ENGINE MECHANICAL 6A – 43

3) Timing Pulley Lower Cover


• Apply the recommended liquid gasket or its equivalent
to the timing pulley lower cover.
• Install the lower cover to the timing pulley housing.
• Use the lower cover guide bolts to prevent the liquid
gasket from running.
2) Timing Pulley Upper Cover
• Install the upper cover to the lower cover and the
pulley housing.

6A-43-2.tif

• Tighten the timing pulley cover bolts to the specified


torque a little at a time.
Timing Pulley Cover Bolt Torque N∙m (kg∙m/lb∙ft)
8 (0.81/6)

• Remove the lower cover guide pin.


Crankshaft Center Pulley Torque N∙m (kg∙m/lb∙ft)
206 (21/152)

6A-43-3.tif

1) Crankshaft Damper Pulley


• Install the damper pulley and tighten bolts to the
specified torque.
Pulley Bolts Torque N∙m (kg∙m/lb∙ft)
19 (1.9/14)

6A-43-4.tif

3. Timing Gear (Gear Drive Model)


11) Crank Shaft Gear
! Install the crankshaft gear.
" Use the crankshaft gear installer ! to install the
crankshaft gear ".
The crankshaft gear timing mark (“X – X”) must be
facing outward.
Crankshaft Gear Installer: 9-8522-0020-0

6A-43-5.tif
6A – 44 GENERAL ENGINE MECHANICAL

10) Crankshaft Timing Gear


! Install the camshaft timing gear to the camshaft.
The timing gear mark (“Y – Y”) must be facing
outward.
" Tighten the timing gear to the specified torque.
N∙m (kg∙m/lb∙ft)
64 (6.5/47)

6A-44-1.tif

9) Idle Gear
! Apply engine oil to the idle gear and the idler gear
shaft.
The idler shaft oil hole must be facing up.
" Position the idler gear setting marks “X” and “Y” so
that they are facing the front of the engine.

6A-44-2.tif

# Align the idler gear “X” setting mark with the


crankshaft timing gear ! “X – X” setting mark.
$ Align the idler gear “Y” setting mark with the camshaft
timing gear ! “Y – Y” setting mark.
% Install the thrust collar and bolts to the cylinder body
through the shaft.
The thrust collar oil hole must be facing up, and the
thrust collar chamfered must be outward.
& Tighten the idler gear bolt to the specified torque.
6A-44-3.tif N∙m (kg∙m/lb∙ft)
19 (1.9/14)

8) Idler Gear “B” and Shaft


! Apply engine oil to the idler gear and the idler gear
shaft.
" Align the idler gear “B” # “Z” setting mark with the
idler gear “A” $ “Z-Z” setting mark.
# Tighten the idler gear bolt to the specified torque.
N∙m (kg∙m/lb∙ft)
76 (7.7/56)

6A-44-4.tif
GENERAL ENGINE MECHANICAL 6A – 45

7) Injection Pump
! Install the O-ring ! to the injection pump flange ".
" Install the injection pump to the timing gear case.
Align the idler gear “B” # “V-V” mark.

6A-44-5.tif

# Temporarily tighten the six injection pump nuts %.


The injection pump nuts will be finally tightened after
the injection pump rear bracket bolts.

6A-45-1.tif

$ Install the injection pump rear bracket & and the rear
bracket bolts ' to the cylinder body.
% Install the rear bracket bolts ( to the injection pump
bracket ).
Do not tighten the bolts.
The rear bracket bolts ' and ( will be finally
tightened to the specified torque.
N∙m (kg∙m/lb∙ft)
19 (1.9/14)
040LV001.tif

6) Timing Gear Oil Pipe


! Install the oil pipe to the timing gear case and idler
gear “A”.
" Tighten the oil pipe eye bolt ! and bolt " to the
specified torque.
N∙m (kg∙m/lb∙ft)
13 (1.3/9)

6A-45-3.tif

5) Timing Gear Case Cover


! Align the gear case with the timing gear case knock
pin and then install the timing gear case cover.
" Tighten the gear case cover bolts to the specified
torque.
N∙m (kg∙m/lb∙in)
8 (0.8/69)

6A-45-4.tif
6A – 46 GENERAL ENGINE MECHANICAL

4) Crankshaft Damper Pulley


Tighten the crankshaft damper pulley bolt to the
specified torque.
NOTE:
Hold the flywheel ring gear stationary to prevent the
crankshaft from turning when tightening the damper
pulley.
N∙m (kg∙m/lb∙ft)
206 (21/152)
6A-45-5.tif

3) Cooling Fan Assembly


• Mount fan pulley, distance piece, and cooling fan asm
(in this order) on the water pump, and tighten to the
specified torque.
N∙m (kg∙m/lb∙in)
8 (0.8/69)

2) AC Generator, Power Steering Pump Drive Belt


• Install AC Generator, Power Steering pump drive belt
and adjust belt tension.
• Depress the drive belt mid-portion with a 98 N (10
kg/22 lb) force.
Drive Belt Deflection mm (in)
8 (0.31) - 12 (0.47)

• Tighten the idler lock nut to the specified torque.


N∙m (kg∙m/lb∙ft)
27 (2.8/20)

1) Fan Shroud
• Install the fan shroud and reservoir tank hose.
• Pour coolant
• Start the engine and check coolant leakage.
2. Oil Pan Assembly
Above works refer to “OIL PUMP” Section in this manual.
1. Cylinder Head Assembly and Gasket
• Piston Head Projection Measurement Point
• Cylinder Head Assembly
• Push Rod
• Rocker Arm Shaft Assembly
Valve clearance adjustment.
Above works refer to “CYLINDER BLOCK” Section in this
manual.
GENERAL ENGINE MECHANICAL 6A – 47

PISTON AND CONNECTING ROD

Disassembly steps
1. Cylinder head Assembly
2. Oil pan Assembly
3. Oil pump Assembly
4. Piston cooling oil pipe
5. Connecting rod bearing cap
6. Piston and connecting rod
7. Piston ring
8. Piston pin snap ring
9. Piston pin
10. Piston
11. Connecting rod

Reassembly steps
To reassemble, follow the
disassembly steps in the reverse
order.

6A-47-1.tif

DISASSEMBLY
1. Cylinder Head Assembly
2. Oil Pan Assembly
3. Oil Pump Assembly
4. Piston Cooling Oil Pipe
5. Connecting Rod Bearing Cap
6. Piston and Connecting Rod
• Remove carbon deposits from the upper portion of the
cylinder wall with a scraper before removing the piston
and connecting rod.
6A – 48 GENERAL ENGINE MECHANICAL

7. Piston Ring
Remove the piston rings with a piston ring expander.
Arrange the removed piston rings in the cylinder number
order.

6A-48-1.tif

8. Piston Pin Snap Ring


• Use a pair of pliers to remove the piston pin snap
rings.
9. Piston Pin
NOTE:
Keep the parts removed from each cylinder separate.
All parts must be reinstalled in their original positions.
10. Piston
11. Connecting Rod
6A-48-2.tif

INSPECTION AND REPAIR


PISTON AND PISTON RING
Pistons
Carefully clean away all the carbon adhering to the piston
head and the piston ring grooves.
NOTE:
Never use a wire brush to clean the pistons. Damage will
result.
Visually check each piston for cracking, scoring, and other
signs of excessive wear.
If any of the above conditions are present, the piston must
be replaced.

Piston Diameter
1. Measure the piston outside diameter with micrometer
at the piston grading position.
Piston Grading Position mm (in)
4JB1 / 4JB1T / 4JB1TC 74 (2.913)
4JG2 71.00 (2.797)

6A-48-3.tif
GENERAL ENGINE MECHANICAL 6A – 49

4JB1 / 4JB1T / 4JB1TC mm (in)


Size Mark Outside Diameter
A 92.985 - 92.994 (3.6608 - 3.6612)
B 92.995 - 93.004 (3.6612 - 3.6616)
C 93.005 - 93.014 (3.6616 - 3.6620)
D 93.015 - 93.024 (3.6620 - 3.6624)

4JG2 mm (in)
6A-49-1.tif
Size Mark Outside Diameter
A 95.365 - 95.374 (3.7545 - 3.7549)
B 95.375 - 95.384 (3.7549 - 3.7553)
C 95.385 - 95.394 (3.7553 - 3.7557)
D 95.395 - 95.404 (3.7557 - 3.7561)

The grading position for piston outside diameter is


represented by the ‘G’ as shown in Figure.
Measure the cylinder bore inside diameter (refer to
“inspection of the cylinder Block” in this Section).
If the piston clearance does not conform to the specified
valve, the piston and/or cylinder liners must be replaced.
Piston Clearance mm (in)
4JB1 / 4JB1T / 4JB1TC 0.061 (0.0024)
4JG2 0.066 (0.0026)

Selection method of piston grade for service parts.


If you find piston grade A from size mark or piston outside
diameter measurement result, you will select AX for
service piston grade.
The stamped piston grade on the head of piston for
service parts.
Service piston grade
Piston Size Mark Service Parts Grade
A AX
B AX
C CX
D CX

Service piston diameter mm (in)


Piston Grade 4JB1 / 4JB1T / 4JB1TC
AX 92.989 - 93.004 (3.6610 - 3.6616)
CX 93.005 - 93.020 (3.6616 - 3.6622)

Piston Grade 4JG2


AX 95.369 - 95.384 (3.7547 - 3.7553)
CX 95.385 - 95.400 (3.7553 - 3.7559)
6A – 50 GENERAL ENGINE MECHANICAL

NOTE:
It is most important that the correct piston grade be
used. Failure to select the correct piston grade will
result in engine failure. Always measure the cylinder
bore and select the correct piston grade.

Piston rings
Any worn or damaged part discovered during engine
overhaul must be replaced with a new one.
1. Ring end gap measurement
• Insert the piston ring into the bore.
• Push the ring by the piston, at a right angle to the wall,
into the point ring at which the cylinder bore diameter
is the smallest.

6A-50-1.tif

• The top mark of the piston ring are shown in the


illustration.
4JB1 / 4JB1T / 4JB1TC mm.(in)
Standard Limit
Compression 1st 0.20 - 0.40
ring (0.0079 - 0.0157)
2nd 0.20 - 0.40 1.5
(0.0079- 0.0157) (0.059)
0.10 - 0.30
6A-50-2.tif
Oil ring
(0.0039 - 0.0118)

4JG2 mm.(in)
Standard Limit
Compression 1st 0.20 - 0.35
ring (0.0079 - 0.0138)
2nd 0.37 - 0.52 1.5
(0.0146 - 0.0205) (0.059)
0.20 - 0.40
Oil ring
(0.0079 - 0.0157)

2. Measure the clearance between the piston ring groove


and the piston ring with a feeler gauge. If the piston
ring groove/piston ring clearance exceeds the
specified limit, the piston must be replaced.
4JB1 / 4JB1T / 4JB1TC mm (in)
Standard Limit
Compression 1st 0.090 - 0.125
ring (0.0035 - 0.0049)
2nd 0.050 - 0.075 0.15
6A-50-3.tif
(0.0020 - 0.0030) (0.0059)
0.03 - 0.07
Oil ring
(0.0012 - 0.0028)
GENERAL ENGINE MECHANICAL 6A – 51

4JG2 mm (in)
Standard Limit
Compression 1st 0.09-0.13
ring (0.0035 - 0.0051)
2nd 0.05 - 0.07 0.15
(0.0020 - 0.0028) (0.0059)
0.03-0.07
Oil ring
(0.0012-0.0028)

Piston pin
Visually inspect the piston pin for cracks, flaws, and other
damage and replace if necessary.
1. Use a micrometer to measure the piston pin outside
diameter in both directions at three different positions.
If the measurement exceed the specified limit the
piston pin must be replaced.
Piston pin outside diameter mm (in)
Standard Limit
6A-51-1.tif 4JB1 /
30.995 - 31.000
4JB1T 30.970 (1.2190)
(1.2202 - 1.2204)
4JB1TC
33.995 - 34.000
4JG2 33.970 (1.3374)
(1.3384 - 1.3386)

2. Measure the inside diameter of the connecting rod


small end. If the clearance between the small end and
pin does not conform to the specified value, the
connecting rod or bushing and pin must be replaced.
mm (in)
Standard Limit
0.008 - 0.020 0.05
Clearance
(0.0003 - 0.0008) (0.0020)

3. Insert the piston pin into the piston and rotate it. If the
6A-51-2.tif
pin rotates smoothly with no backlash, the clearance is
normal. If there is backlash or roughness, measure the
clearance. If the clearance exceeds the specified limit,
the piston and the piston pin must be replaced.
mm (in)
Standard Limit
0.002 - 0.004 0.04
Clearance
(0.00008 - 0.00016) (0.0016)
6A – 52 GENERAL ENGINE MECHANICAL

Bushing replacement
Removal: Use a suitable bar and bench press or
hammer.
Installation: Use a suitable bar and bench press.

NOTE:
Align the bushing with the connecting rod oil port.
After installing a new bushing, finish the bushing bore
with a pin hole grinder.

6A-52-1.tif

Connecting rods
1. Check the connecting rod alignment with a connecting
rod aligner.
If either the bend or the twist exceeds the specified
limit, the connecting rod must be replaced.
mm (in)
Standard Limit
Bend per 100 (3.94) 0.08 (0.0031) or less 0.20 (0.0079)

6A-52-2.tif
Twist per 100 (3.94) 0.05 (0.0020) or less 0.15 (0.0059)

2. Measure the connecting rod thrust clearance.


Use a feeler gauge to measure the thrust clearance at
the big end of the connecting rod.
If the clearance exceeds the specified limit, the
connecting rod must be replaced.
Thrust Clearance mm (in)
Standard Limit
0.230 (0.0091) 0.350 (0.0138)

6A-52-3.tif

3. Measure the oil clearance between the connecting rod


and the crankshaft by:
1) Remove the connecting rod cap nuts and the rod
caps.
Arrange the removed rod caps in the cylinder
number order.
2) Clean the rod bearings and the crankshaft pins.
3) Carefully check the rod bearings.
If even one bearing is found to be damaged or
badly worn, the entire bearing assembly must be
6A-52-4.tif
replaced as a set. Reinstall the bearings in their
original positions.
Apply plastigage to the crank pin.
4) Reinstall the rod caps to their original positions
GENERAL ENGINE MECHANICAL 6A – 53

5) Tighten the cap nuts in 2 steps, using angular


tightening method as shown in the following
specifications. (4JG2)
4JG2 N∙m (kg∙m/lb∙ft)
1st Steps 2nd Step
29 (3.0/22) 45° - 75°

4JA1, 4JB1, 4JB1TC N∙m (kg∙m/lb∙ft)


83 (8.5/61)

NOTE:
Do not allow the crankshaft to rotate.

6) Remove the rod caps.


7) Measure the width of the plastigage and determine
the oil clearance. If the oil clearance exceeds the
limit, replace the rod bearings as a set.
8) Clean the plastigage from the bearings and the
crankshaft pins.
Crankshaft Journal and Bearing Clearance mm (in)
Standard Limit
4JB1 /
6A-53-1.tif 0.029 - 0.066
4JB1T /
(0.0011 - 0.0026)
4JB1TC 0.100 (0.0039)
0.029 - 0.083
4JG2
(0.0011 - 0.0033)

REASSEMBLY
11. Connecting Rod
10. Piston
9. Piston Pin
Apply a cost of engine oil to the piston pin and the piston
pin hole.
8. Piston Pin Snap Ring
Apply a thin coat of engine oil to the piston pin.
Try to insert the piston pin into the piston pin hole with
normal finger pressure.
Weigh each piston and connecting rod assembly.
Select piston and connecting rod combinations so that the
weight variation of the different assemblies a held within
the specified limits.
g (oz)
Variance in weight Less than 3
after assembly (0.1058)

NOTE:
When changing piston/connecting rod combinations,
do not change the piston/piston pin combination
6A – 54 GENERAL ENGINE MECHANICAL

• Attach the piston to the connecting rod with the piston


front mark and the connecting rod ISUZU mark on the
same side.

6A-54-1.tif

7. Piston Ring
• Install the piston rings with the piston ring expander.
The compression ring must be set with the 1N, 2N
mark (4JG2) facing up.
• Discrimination mark is painted as shown in the
illustration.

6A-54-2.tif

• Install piston rings in the following sequence.


1) Oil ring
! Expander ring
" Upper side rail
# Lower side rail
2) 2nd compression ring
3) 1st compression ring
• The compression ring must be set with the 1N or 2N
mark (4JG2) facing up.
6A-54-3.tif

• 1st compression ring: 1N (4JG2), N (4JB1)


• 2nd compression ring: 2N (4JG2), N (4JB1)
• After installation, apply engine oil to the entire
circumference of the piston rings.
Check to see that all the rings rotate smoothly.
• Insert the bearings into the connecting rods and caps.
Apply new engine oil to the bearing faces.
Cap side bearings have no oil hole.
Conn rod side bearings oil hole should be aligned with
6A-54-4.tif
oil hole on the conn rod.
GENERAL ENGINE MECHANICAL 6A – 55

6. Piston and Connecting Rod


• Apply engine oil to the cylinder bores, the connecting
rod bearings and the crankshaft pins.
• Check to see that the piston ring end gaps are
correctly positioned.
• Insert the piston/connecting rod assemblies into each
cylinder with the piston ring compressor.
• The front marks must be facing the front of the engine.
5. Connecting Rod Bearing Cap
• Tighten the cap nuts in 2 steps, using angular
6A-55-1.tif
tightening method as shown in the following
specifications.
4JG2 N∙m (kg∙m/lb∙ft)
1st Steps 2nd Step
29 (3.0/22) 45° - 75°

4JA1, 4JB1, 4JB1TC N∙m (kg∙m/lb∙ft)


83 (8.5/61)

After tightening the cap nuts, check to see that the


crankshaft rotates smoothly.

4. Piston Cooling Oil Pipe


• Install the piston cooling oil pipe to the cylinder body.
• Tighten the oil pipe bolts and relief valve to the
specified torque.
Oil Pipe Bolt Torque N∙m (kg∙m/lb∙ft)
(1) M8 x 1.25 19 (1.9/14)

N∙m (kg∙m/lb∙in)
(2) M6 x 1.00 8 (0.8/69)
6A-55-2.tif

Oil Pressure Regulating


Valve Torque N∙m (kg∙m/lb∙ft)
(3) M16 x 1.5 29 (3.0/22)

NOTE:
Check that there is no interference between the piston
and the oiling jet pipe by slowly rotating the
crankshaft.
3. Oil Pump Assembly
2. Oil Pan Assembly
Above works refer to “OIL PUMP” Section in this manual.
1. Cylinder Head Assembly
• Piston Head Projection Measurement Point
• Cylinder Head ASM
• Push Rod
• Rocker Arm Shaft ASM
Valve clearance adjustment.
Above works refer to “CYLINDER BLOCK” Section in this
manual.
6A – 56 GENERAL ENGINE MECHANICAL

CYLINDER BLOCK

Disassembly steps
1. Cylinder head Assembly and
gasket
2. Oil pan Assembly
3. Timing gear
3a. Timing belt and pulley
4. Front oil seal
5. Timing gear housing
5a 5a. Timing pulley housing
6. Oil pump Assembly
7. Piston cooling oil pipe
8. Piston and connecting rod
9. Flywheel
10. Cylinder block rear plate
11. Crankshaft rear oil seal
12. Main bearing cap
13. Crankshaft
14. Camshaft
15. Tappet
16. Cylinder block

Reassembly steps
To reassemble, follow the
disassembly steps in the reverse
order.

6A-56-1.tif

DISASSEMBLY
1. Cylinder Head Assembly and Gasket
2. Oil Pan Assembly
3. Timing Gear
3a. Timing Belt and Pulley
4. Front Oil Seal (Belt Drive Model)
5. Timing Gear Housing
5a. Timing Pulley Housing
6. Oil Pump Assembly
GENERAL ENGINE MECHANICAL 6A – 57

7. Piston Cooling Oil Pipe


8. Piston and Connecting Rod
9. Flywheel
10. Cylinder Block Rear Plate
11. Crankshaft Rear Oil Seal
12. Main Bearing Cap
13. Crankshaft
14. Camshaft
15. Tappet
16. Cylinder Block

INSPECTION AND REPAIR


Make the necessary adjustments, repairs, and part
replacements if excessive wear or damage is discovered
during inspection.
1. Remove the gasket and any other material adhering
the upper surface of the cylinder block.
Be very careful not to allow any material to accidental
drop into the cylinder block.
Be very careful not to scratch the cylinder block.
2. Carefully remove the oil pump, Rear Seal retainer and
oil pan installation surface seal.
3. Wipe the cylinder block clean.

Cylinder Liner Projection Inspection


1. Hold a straight edge ! along the top edge of the
cylinder liner to be measured.
2. Use a feeler gauge " to measure each cylinder line
projection.
The difference in the cylinder liner projection height
between any two adjacent cylinders must not exceed
0.03 mm (0.0012 in).
Standard mm (in)
6A-57-1.tif
0.0 - 0.1 (0.0000 - 0.0039)

Flatness
1. Remove the cylinder body dowel.
2. Set the cylinder liner remover to the cylinder liner.
3. Check that the remover shaft ankle is firmly gripping
the cylinder liner bottom edge.
4. Slowly turn the remover shaft handle counterclockwise
to pull the cylinder liner free.
Cylinder Liner Remover Ankle: 5-8840-2304-0 (4JG2)
5-8840-2039-0
6A-57-2.tif
(4JB1/4JB1T/4JB1TC)
NOTE:
Take care not to damage the cylinder body upper
during the cylinder liner removal procedure.
6A – 58 GENERAL ENGINE MECHANICAL

5. Use a straight edge ! and a feeler gauge " to


measure the four sides and the two diagonals of the
cylinder body upper face.
If the measured values exceeds the limit, the cylinder
body must be replaced.

6A-58-1.tif

Cylinder Liner Bore Measurement


Use a cylinder indicator to measure the cylinder liner bore
at measuring point ! in the thrust " - " and axial #
direction of the crankshaft.
Measuring Point ! 20mm (0.79 in)
If the measured value exceeds the specified limit, the
cylinder liner must be replaced.
NOTE:
The inside of the dry type cylinder liner is chrome
6A-58-2.tif
plated. It cannot be rebored or honed.
If the inside of the cylinder liner is scored or
scorched, the cylinder liner must be replaced.

Cylinder Liner Grade Selection


Measure the cylinder body inside diameter and select the
appropriate cylinder liner grade.
Standard Lifting Interference mm (in)
0.01 - 0.019 (0.0004 - 0.0007)

If the cylinder liner fitting interference is too small, engine


cooling efficiency will be adversely effected.
If the cylinder liner fitting interference is too large, it will be
6A-58-3.tif
difficult to insert the cylinder liner into the cylinder body.

6A-58-4.tif
GENERAL ENGINE MECHANICAL 6A – 59

Cylinder Body Bore Measurement


1) Take measurements at measuring point (A) across
positions ! - !, " - ", # - #, and $ - $.
Measuring Point (A) 98mm (3.86 in).
2) Calculate the average value of the four measurements
to determine the correct cylinder grade.
3) Consult the following table with the resultant diameter
for the correct liner application.

6A-59-1.tif

6A-59-2.tif

Selection method of cylinder liner and piston grade for


service parts.
The production line stamped cylinder liner grade on the
top of cylinder body, the cylinder liner outside diameter
grade 1, 2, 3, 4.
If you find cylinder liner outside diameter grade 1 and
piston outside diameter B on the cylinder body or result of
measurement for each parts, you will select service parts
grade for cylinder liner 1, AX grade and for piston AX
grade.
The stamping grade code on the service parts are;
For cylinder liner grade stamped on the outside of cylinder
liner.
For piston grade stamped on the head of piston.

4JB1 / 4JB1T / 4JB1TC mm (in)


Liner Liner
Cylinder bore Liner outside
outside bore Service liner bore measurement
diameter average diameter
Grade Grade

95.001 - 95.010 95.011 - 95.020 AX 93.035 (3.6628) - 93.050 (3.6634)


1
(3.7402 - 3.7406) (3.7406 - 3.7409) CX 93.051 (3.6634) - 93.066 (3.6640)

95.011 - 95.020 95.021 - 95.030 AX 93.035 (3.6628) - 93.050 (3.6634)


2
(3.7406 - 3.7409) (3.7410 - 3.7413) CX 93.051 (3.6634) - 93.066 (3.6640)

95.021 - 95.030 95.031 - 95.040 AX 93.035 (3.6628) - 93.050 (3.6634)


3
(3.7410 - 3.7413) (3.7414 - 3.7417) CX 93.051 (3.6634) - 93.066 (3.6640)

95.031 - 95.040 95.041 - 95.050 AX 93.035 (3.6628) - 93.050 (3.6634)


4
(3.7414 - 3.7417) (3.7418 - 3.7421) CX 93.051 (3.6634) - 93.066 (3.6640)
6A – 60 GENERAL ENGINE MECHANICAL

4JG2 mm (in)
Liner Liner
Cylinder bore Liner outside
outside bore Service liner bore measurement
diameter average diameter
Grade Grade

97.001 - 97.010 97.011 - 97.020 AX 95.435 (3.7573) - 95.450 (3.7579)


1
(3.8189 - 3.8193) (3.8193 - 3.8197) CX 95.451 (3.7579) - 95.466 (3.7585)

97.011 - 97.020 97.021 - 97.030 AX 95.435 (3.7573) - 95.450 (3.7579)


2
(3.8193 - 3.8197) (3.8197 - 3.8201) CX 95.451 (3.7579) - 95.466 (3.7585)

97.021 - 97.030 97.031 - 97.040 AX 95.435 (3.7573) - 95.450 (3.7579)


3
(3.8197 - 3.8201) (3.8201 - 3.8205) CX 95.451 (3.7579) - 95.466 (3.7585)

97.031 - 97.040 97.041 - 97.050 AX 95.435 (3.7573) - 95.450 (3.7579)


4
(3.8201 - 3.8205) (3.8205 - 3.8209) CX 95.451 (3.7579) - 95.466 (3.7585)

NOTE:
It is most important that the correct piston grade be
used. Failure to select the correct piston grade will
result in engine failure. Always measure the cylinder
bore and select the correct piston grade.
Cylinder liner kit clearances are preset. However, the
cylinder liner installation procedure may result in
slight decreases in cylinder liner clearances. Always
measure the cylinder liner clearance after installation
to be sure that it is correct.

Cylinder Liner Installation


1. Cylinder Liner Installation Using The Special Tool.
1) Use new kerosene or diesel oil to thoroughly clean
the cylinder liners and bores.
2) Use compressed air to blow-dry the cylinder liner
and bore surfaces.
Cylinder Liner Installer: 5-8840-2313-0 (4JG2)
: 5-8840-2040-0 (4JB1 / 4JB1T/
4JB1TC)
6A-60-1.tif
NOTE:
All foreign material must be carefully removed from
the cylinder liner and the cylinder bore before
installation.

3) Insert the cylinder liner ! into the cylinder body "


from the top of the cylinder body.

6A-60-2.tif
GENERAL ENGINE MECHANICAL 6A – 61

4) Set the cylinder liner installer 3 to the top of the


cylinder liner.
Position the cylinder body so that the installer
center is directly beneath the bench press shaft
center 4.
Cylinder Liner Installer: 5-8840-2313-0 (4JG2)
: 5-8840-2040-0 (4JB1/4JB1T/
4JB1TC)
NOTE:
Check that the cylinder liner is set perpendicular to
the bench press and that there is no wobble.
5) Use the bench press to apply a seating force of 500 kg
(1,102.5 lb/4,900 N) to the cylinder liner.
6) Apply a force 2,500 kg (5,512.5 lb/24,500 N) to fully
seat the cylinder liner.
7) After installing the cylinder liner, measure the cylinder
liner projection.
8) After installing the cylinder liner, measure the cylinder
liner projection.
Refer to “Cylinder Liner Projection Inspection” in this
Section.
Measure the cylinder liner bore inside diameter and
select the appropriate piston grade.

REASSEMBLY
16. Cylinder Block
15. Tappet
14. Camshaft
• Apply a coat of engine oil to the tappet and the cylinder
body tappet insert holes.
• Locate the position mark applied at disassembly (if the
tappet is to be reused).
• Apply a coat of engine oil to the camshaft and the
camshaft bearings.
• Install the camshaft to the cylinder body.
Take care not to damage the camshaft bearings.

6A-61-1.tif

13. Crankshaft
12. Main Bearing Cap
11. Crankshaft Rear Oil Seal
10. Cylinder Block Rear Plate
9. Flywheel
Above works refer to “CRANKSHAFT” Section in this
manual.
6A – 62 GENERAL ENGINE MECHANICAL

8. Piston and Connecting Rod


1) Try to insert the piston pin into the piston pin hole with
normal finger pressure.
Weigh each piston and connecting rod assembly.
Select piston and connecting rod combinations so that
the weight variation of the different assemblies is held
within the specified limits.
g (oz)
Variance in weight Less than 3
after assembly (0.1058)

2) Clamp the connecting rod in a vise.


Take care not to damage the connecting rod.
3) Use a pair of pliers to install the piston pin snap ring to
the piston.
NOTE:
6A-62-1.tif
When changing piston/connecting rod combinations,
do not change the piston/piston pin combination.

4) Install the piston to the connecting rod.


The piston head front mark ! and the connecting rod
“ISUZU” casting mark " must be facing the same
direction.

6A-62-2.tif

5) Apply a coat of engine oil to the piston pin and the


piston pin hole.
Use your fingers to force the piston pin into the piston
until it makes contact with the snap ring.

6A-62-3.tif

6) Use your fingers to force the piston pin snap ring into
the piston snap ring groove.
Check that the connecting rod moves smoothly on the
piston pin.

6A-62-4.tif
GENERAL ENGINE MECHANICAL 6A – 63

7) Install the piston rings with the piston ring expander.


The compression ring must be set with the 1N, 2N
mark (4JG2) facing up.
Discrimination mark is painted as shown in the
illustration.

6A-63-1.tif

8) Use a piston ring replacer to install the three piston


rings.
Piston Ring Replacer:
Install the piston rings in the numerical order shown in
the illustration.
! Oil ring
" 2nd compression ring
# 1st compression ring

6A-63-2.tif

NOTE:
Install the compression rings with the stamped side
facing up.
Insert the expander coil into the oil ring groove so that
there is no gap on either side of the expander coil
before installing the oil ring.

6A-63-3.tif

9) Apply engine oil to the piston ring surfaces.


10) Check that the piston rings rotate smoothly in the
piston ring grooves.

11) Position the piston ring gaps as shown in the


illustration.

6A-63-4.tif
6A – 64 GENERAL ENGINE MECHANICAL

12) Carefully wipe any oil or other foreign material from


connect rod bearing back face and the connecting rod
bearing fitting surface.
13) Apply a coat of engine oil to the upper bearing
surfaces.
Apply a coat of engine oil to the cylinder wall.

6A-64-1.tif

14) Position the piston head from mark so that it is facing


the front of engine.
Use the piston ring compressor to compress the piston
rings.
Piston Ring Compressor: 5-8840-9018-0 (J-8037)
15) Use a hammer grip to push the piston in until the
connecting rod makes contact with the crankpin.
At the same time, rotate the crankshaft until the
crankpin is at BDC.

6A-64-2.tif

16) Position the bearing cap front mark so that it is facing


the front of the engine.
17) Install the connecting rod bearing caps.
Align the bearing cap cylinder number marks and the
connecting rod cylinder number marks.

6A-64-3.tif

18) Apply a coat of engine oil to the threads and setting


faces of each connecting rod cap bolt.
19) Tighten the connecting rod bearing cap bolts to the
specified torque in two steps using the Angular
Tightening Method.
Connecting Rod Bearing Cap Bolt
Torque N∙m (kg∙m/lb∙ft)
1st Step 2nd Step
4JG2 29 (3.0/22) 45° - 75°
6A-64-4.tif
4JB1/4JB1TC 83 (8.5/61)

NOTE
Check to see that the crankshaft turns smoothly by
rotating it manually.
GENERAL ENGINE MECHANICAL 6A – 65

7. Piston Cooling Oil Pipe


1) Fix the oil jet pipes with knock pins on the cylinder
block.
2) Install the oil pipe for piston cooling in the cylinder
block, tightening a relief valve ! and four joint bolts "
to the specified torque.
Oil pipe fixing bolts N∙m (kg∙m/lb∙ft)
M8: 19 (1.9/14)
M6: 8 (0.8/69 lb∙in.)
6A-65-1.tif

Relief valve fixing bolt N∙m (kg∙m/lb∙ft)


29 (3.0/22)

CAUTION:
After installed the piston assembly. Check and see
that there is appropriate clearance between pistons
and oil jet pipes by rotating crankshaft slowly.
6. Oil Pump Assembly
Above works refer to “OIL PUMP” Section in this manual.
5a. Timing Pulley Housing
5. Timing Gear Housing
4. Front Oil Seal (Belt Drive Model)
3a. Timing Belt and Pulley
6) Camshaft Timing Pulley
5) Timing Belt
4) Flange: Camshaft Pulley
3) Timing Pulley Lower Cover
2) Timing Pulley Upper Cover
1) Crankshaft Damper Pulley
3. Timing Gear (Gear Drive Model)
11) Crankshaft Gear
10) Crankshaft Timing Gear
9) Idle Gear
8) Idler Gear "B" and Shaft
7) Injection Pump
6) Timing Gear Oil Pipe
5) Timing Gear Case Cover
4) Crankshaft Damper Pulley
3) Cooling Fan Assembly
2) AC Generator, Power Steering Pump Drive Belt
1) Fan Shroud
Above works refer to “CRANKSHAFT” Section in this
manual.
6A – 66 GENERAL ENGINE MECHANICAL

2. Oil Pan Assembly


Above works refer to “OIL PUMP” Section in this
manual.

1. Cylinder Head Assembly and Gasket


! Cylinder head gasket is determined by the piston
head projection from the cylinder body upper
surface, in order to improve engine performance.
Three types of gasket are provided by the
difference of thickness. Select the adequate one
out of three grades of gasket, according to the
following procedure.
Before measurement, clear off carbon from the
piston head and cylinder body surface and also
6A-66-1.tif clean the place where a gasket was installed.

Piston Head Projection Measurement Point


" Use a dial indicator to measure the piston
projection amount.
# Refer to the illustration for the piston head
projection measuring positions.
All measuring positions should be as close as
possible to the cylinder liner.
$ Measure the points ! " # $ and obtain two
difference ! - " and # - $ on each cylinder.
6A-66-2.tif
Calculate the average value of the piston head
projection on each cylinder.
% Obtain the maximum value in the four cylinders.
& Determine the gasket grade required to the
maximum value described above in accordance
with the following table.

4JB1 / 4JB1T / 4JB1TC


Cylinder Head Gasket Thickness mm (in)
Gasket
Gasket Grade Piston
Thickness
Mark Projection
(Reference)
0.758-0.813
A 1.60 (0.0630)
(0.030-0.032)
0.813-0.859
B 1.65 (0.0650)
(0.032-0.034)
6A-66-3.tif

0.859-0.914
C 1.70(0.0670)
(0.034-0.036)

NOTE:
The difference between the highest measured piston
head projection and the lowest measured piston head
projection must not exceed 1.0mm (0.039 in).
GENERAL ENGINE MECHANICAL 6A – 67

4JG2 Cylinder Head Gasket Thickness mm (in)


Grade Average Piston Gasket
mark projection thickness
0. 658-0.713 1.60
A
(0.0259-0.0281) (0.0630)
0.713-0.759 1.65
B
(0.0281-0.0299) (0.0650)
0.759-0.814 1.70
C
6A-67-1.tif
(0.0299-0.0320) (0.0670)

NOTE:
The difference between the highest measured piston
head projection and the lowest measured piston head
projection must not exceed 1.0mm (0.039 in).

Cylinder Head Assembly


! Install the dowel in cylinder block.
" Install the cylinder head gasket with top mark up.
# Clean up cylinder head lower surface and cylinder
body upper surface.
$ Install the cylinder head as softly.
% Apply molybdenum disulfide grease to screw and seat
of cylinder head bolts.
& Tighten the cylinder head bolts to the specific torque in
6A-67-2.tif
three step following the numerical and shown in the
illustration.
Cylinder Head Bolts Torque N∙m (kg∙m/lb∙ft)
1st Step 2nd Step 3rd Step
49 (5.0/36) 60° - 75° 60° - 75°

Push Rod
• Apply engine oil to push rod and into the cylinder head.

Rocker Arm Shaft Assembly


! Loosen all adjusting screws.
" Position the rocker arm shaft with the large oil hole
(4ø) facing the front of the engine.

6A-67-3.tif
6A – 68 GENERAL ENGINE MECHANICAL

# Tighten the rocker arm shaft bracket bolts to the


specified torque in the numerical order shown in the
illustration.
Rocker Arm Shaft Bracket Bolt Torque N∙m (kg∙m/lb∙ft)
54 (5.5/40)

• Valve clearance adjustment.

6A-68-1.tif
HOME

4JB1/4JB1T/4JB1TC/4JG2 – ENGINE 6A1 – 1

SECTION 6A1
4JB1/4JB1T/4JB1TC/4JG2-ENGINE

CONTENTS
PAGE
General Description.................................................................................................... 6A1- 2
Engine Mount (RH)...................................................................................................... 6A1- 4
Engine Mount (LH) ...................................................................................................... 6A1- 6
Inlet Manifold............................................................................................................... 6A1- 8
Exhaust Manifold ........................................................................................................ 6A1- 10
Oil Cooler..................................................................................................................... 6A1- 12
Oil Filter Cartridge ...................................................................................................... 6A1- 14
Cylinder Head Cover................................................................................................... 6A1- 15
Rocker Arm Shaft Assembly...................................................................................... 6A1- 17
Valvestem Oil Controller and Valve Spring .............................................................. 6A1- 20
Timing Gear................................................................................................................. 6A1- 23
Timing Belt .................................................................................................................. 6A1- 30
Cylinder Head Assembly and Gasket........................................................................ 6A1- 37
Oil Pan ......................................................................................................................... 6A1- 48
Oil Pump Assembly .................................................................................................... 6A1- 51
Piston, Piston Ring and Connecting Rod ................................................................ 6A1- 54
Camshaft and Tappet ................................................................................................. 6A1- 63
Crankshaft Front Oil Seal (Gear Drive Type) ............................................................ 6A1- 71
Crankshaft Front Oil Seal (Belt Drive Type) ............................................................. 6A1- 73
Crankshaft Rear Oil Seal (Gear & Belt Drive Type).................................................. 6A1- 76
Flywheel and Pilot Bearing ........................................................................................ 6A1- 83
Crankshaft and Main Bearings .................................................................................. 6A1- 85
Engine Assembly ........................................................................................................ 6A1- 96
6A1 – 2 4JB1/4JB1T/4JB1TC/4JG2 - ENGINE

GENERAL DESCRIPTION

6A1-2-1.tif

4JB1-TC

F06LX002.tif F06LX005.tif
4JB1/4JB1T/4JB1TC/4JG2 – ENGINE 6A1 – 3

The 4JB1 Model engine employs a square troidal type Take care not to damage the oiling jet when removing
combustion chamber provided with a fence around it. or installing the piston and the connecting assembly.
These designs employed allow a superior fuel The 4JG2 engine use a single spring pintle type
economy over a wide range of driving conditions. injection nozzle.
The 4JG2 Model engine employs, for its combustion The 4JB1 Model employs a direct injection type engine
chamber, the RECARD Comet V Type swirl provided with a nozzle with four holes, which makes it
combustion chamber which provides a superior driving possible to obtain an excellent mixing ratio of intake air
performance, fuel economy and silent combustion over and fuel spray.
a wide range of driving conditions. 4JB1-TC engine has two springs injection nozzle
For the cylinder head gasket steel sheets, laminated system for efficient control.
steel sheets are employed. The turbocharger increase air intake efficiency, the
Three grades of the gaskets according to the piston results in increased engine power, reduced fuel
head projection measured from the cylinder block are consumption and minimal engine noise.
employed to minimize the fluctuation of the engine Turbocharger rotating parts operate at very high
compression ratio. speeds and temperatures. The parts materials have
The Angular Tightening Method is employed to tighten been carefully selected and machined to extremely
the cylinder head fixing bolts, connecting rod fixing high precision.
bolts and flywheel fixing bolts. The 4JB1 Model engine employs the QOS II
The chrome-plated steel dry type (Chromard) cylinder preheating system which features a quick-on glow to
liners provide the highest durability. control the glow time and the afterglow time by the
Auto-thermic pistons with cast steel struts are used to thermometer.
reduce thermal expansion and resulting engine noise The 4JG2 engine employs the QOS III system which
experienced while the engine is cold. allows the most suitable starting conditions for the
The tufftrided crankshaft has a long service life. glow time to change according to the engine water
Because it is tufftrided, it cannot be reground. temperature, and the optimum for the glow time to
The crankshaft main bearings and the connecting rod change according to the engine water temperature,
bearings are of aluminum alloy. These bearings are and the optimum changes according to the water
especially vulnerable to foreign materials such as metal temperature immediately after the start of the engine.
scraps. It is very important to keep the oil ports and The belt-driven type timing drive belt of the 4JG2
other related surfaces clean and free of foreign Model engine is a very important functional part, and
materials. requires the specified maintenance.
The tufftriding treatment (nitriding treatment) of the
crankshaft for the increased strength eliminates the
regrinding of crankpins and journals.
An oiling jet device for piston cooling is provided in the
lubricating oil circuit which runs through the check
valve from the cylinder block oil gallery.
6A1 – 4 4JB1/4JB1T/4JB1TC/4JG2 - ENGINE

ENGINE MOUNT (RH)

Rigid sus

6A1-4-1.tif

REMOVAL
Preparation:
• Disconnect battery ground cable.
1. Fan Shroud
• Remove reservoir tank hose and fan shroud.
2. Fan Belt
• Remove adjust plate lock bolt.
• Loosen generator fixing bolt then remove fan belt.

6A1-4-2.tif

3. Support Rubber
• Remove two fixing nuts at the crossmember side.

6A1-4-3.tif
4JB1/4JB1T/4JB1TC/4JG2 – ENGINE 6A1 – 5

• Separate the generator from the engine.


• Remove the support rubber nut from engine foot side.
• Remove the support rubber while raising the engine.

6A1-5-1.tif

INSTALLATION
3. Support Rubber
• Install the support rubber while raising the engine.
• Tighten the fixing nuts to the specified torque.
Engine foot side N∙m(kg∙m/lb∙ft)
82(8.4/61)

Crossmember side N∙m(kg∙m/lb∙ft)


40(4.1/30)

2. Fan Belt
• Install the fan belt.
• Depress the fan belt mid-portion with a 98N
(10kg/22lb) force.
• Tighten the fixing bolt to the specified torque.

Adjust plate lock bolt N∙m(kg∙m/lb∙ft)


19(1.9/14)

Generator fixing bolt N∙m(kg∙m/lb∙ft)


6A1-5-2.tif

40(4.1/30)

1. Fan Shroud
• Install the fan shroud and clip the reservoir tank hose.
6A1 – 6 4JB1/4JB1T/4JB1TC/4JG2 - ENGINE

ENGINE MOUNT (LH)

Rigid sus

6A1-6-1.tif

REMOVAL
Preparation:
• Disconnect battery ground cable.
1. Air Intake Duct
• Remove the intake duct.
2. Fan Shroud
• Remove reservoir tank hose and fan shroud.

6A1-6-2.tif

3. Support Rubber
• Remove two fixing bolts at the crossmember side.

6A1-6-3.tif
4JB1/4JB1T/4JB1TC/4JG2 – ENGINE 6A1 – 7

• Remove the support rubber nut from engine foot side.


• Remove the support rubber while raising the engine.

6A1-7-1.tif

INSTALLATION
3. Support Rubber
• Install the support rubber while raising the engine.
• Tighten the fixing nuts to the specified torque.

Engine foot side N∙m (kg∙m/lb∙ft)


82 (8.4/61)

Crossmember side N∙m (kg∙m/lb∙ft)


6A1-7-2.tif

40 (4.1/30)

2. Fan shroud
• Install the fan shroud and clip the reservoir tank hose.
1. Air Intake Duct
• Install the air intake duct.
• Connect battery ground cable.

6A1-7-3.tif
6A1 – 8 4JB1/4JB1T/4JB1TC/4JG2 - ENGINE

INLET MANIFOLD

Removal steps
1. Vacuum hose
2. Air intake duct
3. PCV hose
4. Injection pipe
5. Oil level gauge guide tube
6. Oil cooler water pipe (Oil
Cooler Model)
7. Inlet manifold

Installation steps
To install, follow the removal
steps in the reverse order.

6A1-8-1.tif

REMOVAL
Preparation:
• Disconnect battery ground cable.
• Drain coolant.
1. Vacuum Hose
2. Air Intake Duct
3. PCV Hose
4. Injection Pipe
• Release injection pipe clip.
• Loosen the flare nut on the injection pump side.
• Loosen the flare nut on the injection nozzle side,
disconnect and put a side the pipe.

6A1-8-2.tif

5. Oil Level Gauge Guide Tube


• Remove the fixing bolt and remove level gauge guide
tube.
4JB1/4JB1T/4JB1TC/4JG2 – ENGINE 6A1 – 9

6. Oil Cooler Water Pipe (Oil Cooler Model)


• Remove the water pipe bracket bolt.
• Remove the inlet manifold fixing nut.
7. Inlet Manifold
• Remove the manifold fixing bolt and nut.

6A1-9-1.tif

INSTALLATION
7. Inlet Manifold
• Tighten the fixing bolts and nuts to the specified
torque.
Bolt & Nut N∙m(kg∙m/lb∙ft)
19(1.9/14)

6. Oil Cooler Water Pipe (Oil Cooler Model)


• Install the water pipe and tighten the manifold with
water pipe.
• Tighten the pipe bracket bolt of cylinder head rear
side.
5. Oil Level Gauge Guide Tube
• Install the guide tube and tighten the manifold with
guide tube.

6A1-9-2.tif

4. Injection Pipe
• Connect the injection pipe and tighten flare nut to the
specified torque.
Flare nut torque N∙m(kg∙m/lb∙ft)
29(3.0/22)

• Install the pipe clip to the original position.


3. PCV Hose
2. Air Intake Duct
6A1-9-3.tif 1. Vacuum Hose
• Connect the battery ground cable.
• Pour coolant.
• Start the engine and check coolant leakage.
6A1 – 10 4JB1/4JB1T/4JB1TC/4JG2 - ENGINE

EXHAUST MANIFOLD

6A1-10-1.tif

REMOVAL
Preparation:
• Disconnect battery ground cable.
1. Vacuum Hose (Exhaust Brake Model)
• Remove the vacuum actuator hose.
2. Front Exhaust Pipe Nut
• Remove the fixing nuts from exhaust manifold side.
3. Front Exhaust Pipe Stay Bolt

6A1-10-2.tif

4. Heat Protector
5. Exhaust Manifold
• Remove the manifold bolt and nut, then remove the
manifold and gasket.
4JB1/4JB1T/4JB1TC/4JG2 – ENGINE 6A1 – 11

INSTALLATION
5. Exhaust Manifold
• Tighten the fixing nuts and bolts to the specified
torque.
Manifold Bolt Torque N∙m(kg∙m/lb∙ft)
26 (2.7/20)

4. Heat Protector
• Remove the heat protector and tighten to the specified
torque.
Heat Protector Bolt Torque N∙m(kg∙m/lb∙ft)
19 (1.9/14)

3. Front Exhaust Pipe Stay Bolt


• Tighten the fixing bolts to the specified torque.
Stay Bolt Torque N∙m(kg∙m/lb∙ft)
40 (4.1/30)

2. Front Exhaust Pipe Nut


• Tighten the fixing nuts to the specified torque.
Without Exhaust Brake N∙m(kg∙m/lb∙ft)
69 (7/51)

With Exhaust Brake N∙m(kg∙m/lb∙ft)


69 (7/51)

1. Vacuum Hose (Exhaust Brake Model)


• Install the two hose a vacuum actuator.
• Connect battery ground cable.
• Start the engine and check coolant leakage.
6A1 – 12 4JB1/4JB1T/4JB1TC/4JG2 - ENGINE

OIL COOLER (Oil Cooler Model)

6A1-12-1.tif

REMOVAL
Preparation:
• Disconnect battery ground cable
• Drain coolant
• Put rag to beneath side of oil cooler to prevent oil
leaking.
1. Water Hose
• Disconnect water inlet and outlet hose.
2. Oil Cooler Fixing Bolt
3. Oil Cooler
4JB1/4JB1T/4JB1TC/4JG2 – ENGINE 6A1 – 13

INSPECTION
Relief Valve
1. Attach an oil pressure gauge to the oil gallery near the
oil filter.
2. Start the engine to check the relief valve opening
pressure.
2
Relief Valve Opening Pressure kPa (kg/cm /psi)
Type1 559-618 (5.7-6.3/81.0-89.6)
6A1-13-1.tif
Type2 422-461 (4.3-4.7/61.1-66.8)

Oil Cooler
Check for water leakage at the water passage.
1. Plug one side of the oil cooler water passage.
2. Submerge the oil cooler in water.
2
3. Apply compressed air (2 kg/cm (28.5psi/196.0kPa)) to
the other side of the oil cooler water passage.
If air bubbles rise to the surface, there is water
leakage.

6A1-13-2.tif

INSTALLATION
3. Oil Cooler
• Install the O-ring to oil filter body and set the oil cooler.
2. Oil Cooler Fixing Bolt
Oil Cooler Bolt Torque N∙m (kg∙m/lb∙ft)
29 (3.0/22)

1. Water Hose
6A1-13-3.tif • Connect water hose.
6A1 – 14 4JB1/4JB1T/4JB1TC/4JG2 - ENGINE

OIL FILTER CARTRIDGE

6A1-14-1.tif

REMOVAL
• Place a receptacle beneath the oil filter to contain the
drained oil.
• Remove the oil filter cartridge using filter wrench.
Filter wrench: 5-8840-0200-0

6A1-14-2.tif

INSTALLATION
• Lightly oil the O-ring of oil filter cartridge.
• Turn in the new oil filter cartridge by hand until the
sealing face is fiffted against the O-ring.
• Use the filter wrench to turn in the oil filter and
additional one and 1.1/8 turns.
• Start the engine and check for oil leakage from oil
filter.
4JB1/4JB1T/4JB1TC/4JG2 – ENGINE 6A1 – 15

CYLINDER HEAD COVER

Removal steps
1. PCV hose
2. Cylinder head cover

Installation steps
To install, follow the removal steps in
the reverse order.

6A1-15-1.tif

REMOVAL
Preparation:
• Disconnect battery ground cable.
1. PCV Hose
• Disconnect the PCV hose from intake pipe side.
2. Cylinder Head Cover

INSTALLATION
6A1-15-2.tif

2. Cylinder Head Cover


• Apply engine oil to the rocker arms and the valve
springs.
• Install the cylinder head cover gasket to the cylinder
head cover.
• The gasket must be perfectly smooth with no loose
areas.
• Tighten the cylinder head cover nuts to the specified
torque.
N∙m (kg∙m/lb∙ft)
13 (1.3/9)
6A1 – 16 4JB1/4JB1T/4JB1TC/4JG2 - ENGINE

1. PCV Hose
• Connect the PCV hose to the intake pipe.
• Connect battery ground cable.
4JB1/4JB1T/4JB1TC/4JG2 – ENGINE 6A1 – 17

ROCKER ARM SHAFT ASSEMBLY

Removal steps
1. PCV hose
2. Cylinder head cover
3. Rocker arm shaft Assembly

Installation steps
To install, follow the removal steps in
the reverse order.

6A1-17-1.tif

REMOVAL
Preparation:
• Disconnect battery ground cable.
1. PCV Hose
2. Cylinder Head Cover
3. Rocker Arm Shaft Assembly
• Loosen bolts and nuts of rocker shaft bracket by turns
and remove rocker shaft assembly.

6A1-17-2.tif

INSTALLATION
3. Rocker Arm Shaft Assembly
• Install rocker arm shaft with larger oil hole (φ4) to the
front of engine.
• Align fixing bolt with nut of rocker arm shaft and
tighten fixing bolts to the specified torque.
N∙m (kg∙m/lb∙ft)
54 (5.5/40)

6A1-17-3.tif
6A1 – 18 4JB1/4JB1T/4JB1TC/4JG2 - ENGINE

Valve Clearance Adjustment


! Bring the piston in either the No.1 cylinder or the No.4
cylinder to TDC on the compression stroke by turning
the crankshaft until the crankshaft damper pulley TDC
line is aligned with the timing pointer.

6A1-18-1.tif

" Check the rocker arm shaft bracket nuts for


looseness.
Tighten any loose rocker arm shaft bracket nuts
before adjusting the valve clearance.
Rocker Arm Shaft Bracket Nut Torque N∙m (kg∙m/lb∙ft)
54 (5.5/40)

6A1-18-2.tif

# Check for play in the No.1 intake and exhaust valve


push rods.
If the No.1 cylinder intake and exhaust valve push rods
have play, the No.1 piston is at TDC on the
compression stroke.
If the No.1 cylinder intake and exhaust valve push rods
are depressed, the No.4 piston is at TDC on the
compression stroke.

6A1-18-3.tif

Adjust the No.1 or the No.4 cylinder valve clearances


while their respective cylinders are at TDC on the
compression stroke.
Valve Clearance (At Cold) mm (in)
0.4 (0.016)

$ Loosen each valve clearance adjusting screw as


shown in the illustration.
% Insert a feeler gauge of the appropriate thickness
between the rocker arm and the valve stem end.
6A1-18-4.tif

& Turn the valve clearance adjusting screw until a slight


drag can be felt on the feeler gauge.
' Tighten the lock nut securely.
( Rotate the crankshaft 360°.
) Realign the crankshaft damper pulley TDC notched
line with the timing pointer.
* Adjust the clearances for the remaining valves as
shown in the illustration.

6A1-18-5.tif
4JB1/4JB1T/4JB1TC/4JG2 – ENGINE 6A1 – 19

2. Cylinder Head Cover


• Install cylinder head cover and tighten bolts to the
specified torque.
N∙m (kg∙m/lb∙in)
13 (1.3/113)

1. PCV Hose
• Connect battery ground cable.
6A1 – 20 4JB1/4JB1T/4JB1TC/4JG2 - ENGINE

VALVESTEM OIL CONTROLLER & VALVE SPRING

Removal steps
1. Cylinder head cover
2. Rocker arm shaft Assembly
3. Valve spring
4. Valve guide oil seal

Installation steps
To install, follow the removal
steps in the reverse order.

6A1-20-1.tif

REMOVAL
Preparation:
• Disconnect battery ground cable.
1. Cylinder Head Cover
2. Rocker Arm Shaft Assembly
• Loosen bolts and nuts of rocker shaft
• Bracket by turns and removal rocker shaft assembly.

3. Valve Spring
• Apply compressed air to cylinder from the glow plug
hole hold the valve in place.
• Using special tool, compress valve spring and removal
split collar.
Valve spring compressor: 9-8523-1423-0 (J-29760)

6A1-20-2.tif

CAUTION
• Put removed valve springs in the order of cylinder
number.
4JB1/4JB1T/4JB1TC/4JG2 – ENGINE 6A1 – 21

4. Valve Guide Oil Seal


• Removal valve guide oil seal by pliers.
CAUTION
• Removed oil controller should not be reused.

6A1-21-1.tif

INSTALLATION
4. Valve Guide Oil Seal
• Install new valve guide oil seal in valve.
• Guide using special tool.
Special tool: 5-8840-2033-0
3. Valve Spring
• Attach the valve spring to the upper spring seat.

6A1-21-2.tif

CAUTION
• The painted area of the valve spring should be facing
toward.
• Apply compressed air to cylinder from the glow plug
hole to hold the valve in place.
• Install split collar by special tool.
Valve spring compressor: 9-8523-1423-0 (J-29760)

6A1-21-3.tif

2. Rocker Shaft Assembly


• Install rocker arm shaft with a larger oil hole (φ4) to the
front of engine.
• Align fixing bolt with not of rocker arm shaft and
tighten fixing bolt to the specified torque.
N∙m (kg∙m/lb∙ft)
54 (5.5/40)

• Valve clearance adjustment


6A1-21-4.tif
6A1 – 22 4JB1/4JB1T/4JB1TC/4JG2 - ENGINE

Valve Clearance Adjustment


Above works refer to “ROCKER ARM SHAFT
ASSEMBLY” Section in this manual.

1. Cylinder Head Cover


• Apply engine oil to the rocker arms and the valve
spring.
• Install the cylinder head cover gasket to the cylinder
head cover.
The gasket must be perfectly smooth with no loose
areas.
• Install cylinder head cover and tighten bolt to the
specified torque.
Head Cover Bolt Torque N∙m (kg∙m/lb∙in)
6A1-22-1.tif

13 (1.3/113)

• Connected PCV hose.


• Connect battery ground cable.
4JB1/4JB1T/4JB1TC/4JG2 – ENGINE 6A1 – 23

TIMING GEAR (4JB1, 4JB1TC, 4JG2 Gear Type)

6A1-23-1.tif

REMOVAL
Preparation:
• Disconnect battery ground cable.
• Drain coolant.
1. Fan Shroud
2. Power Steering Pump Drive Belt (P/S Model)
• Loosen power steering pump mounting bolt and adjust
bolt, and remove the drive belt.
3. AC Generator Drive Belt
• Loosen AC Generator mounting bolt (under side) and
adjust plate lock bolt, and remove the drive belt.
4. Cooling Fan Assembly
• Remove clamp nut, and remove cooling fan assembly,
distant pipe, and fan pulley.
5. Crankshaft Damper Pulley
6. Noise Shield Cover
6A1 – 24 4JB1/4JB1T/4JB1TC/4JG2 - ENGINE

7. Noise Cover Spacer


8. Timing Gear Case Cover
9. Oil Pipe
10. Idler Gear
1) Measure the camshaft timing gear backlash and the
crankshaft timing gear backlash before removing the
idler gear.
2) Measure the idler gear end play before removing the
idler gear.
NOTE:
Refer to the following items for details on the
backlash and end play measurement procedures.

6A1-24-1.tif

Timing Gear Backlash Measurement


1) Set a dial indicator to the timing gear to measured.
Hold both the gear to be checked and the adjoining
gear stationary.
2) Move the gear to be checked as far as possible to
both the right and the left.
Take the dial indicator reading.
If the measured value exceeds the specified limit, the
timing gear must be replaced.
6A1-24-2.tif
Timing Gear Backlash mm (in)
Standard Limit
0.10-0.17 (0.0039-0.0067) 0.30 (0.012)

Idler Gear "A" End Play Measurement


Insert a feeler gauge between the idler gear and the thrust
collar to measure the gap and determine the idler gear
end play.
If the measured value exceeds the specified limit, the
thrust collar must be replaced.
Idle Gear End Play mm (in)
Standard Limit
6A1-24-3.tif 0.07 (0.0028) 0.2 (0.0079)
4JB1/4JB1T/4JB1TC/4JG2 – ENGINE 6A1 – 25

11. Idle Gear


12. Injection Pump
1) Remove the six injection pump bracket bolts ! from
the timing gear case.

6A1-25-1.tif

2) Remove the injection pump rear bracket bolts " from


the injection pump bracket #.
3) Remove the injection pump rear bracket bolts $ and
the bracket % from the cylinder body.
4) Pull the injection pump along with the injection pump
timing gear free toward the rear of the engine.
NOTE:
Plug the injection pump delivery holder ports with the
shipping caps (or the equivalent) to prevent the entry
of foreign material.
040LV002.tif

13. Camshaft Timing Gear


1) Use a dial indicator to measure the camshaft end play.
This must be done before removing the camshaft
gear.
If the camshaft end play exceeds the specified limit,
the thrust plate must be replaced.
Camshaft End Play mm (in)
Standard Limit
0.050-0.114
0.2 (0.008)
6A1-25-3.tif
(0.002-0.0044)

2) Remove the camshaft timing gear bolt from the


camshaft.
NOTE:
Hold the camshaft stationary to prevent the camshaft
from turning.
3) Use the universal puller ! to pull out the camshaft
timing gear ".
Universal Puller: 5-8521-0002-0
4) Remove the thrust plate #.
6A1-25-4.tif

14. Crankshaft Gear


6A1 – 26 4JB1/4JB1T/4JB1TC/4JG2 - ENGINE

INSTALLATION
14 Crankshaft Gear
1) Install the crankshaft gear.
2) Use the crankshaft gear installer ! to install the
crankshaft gear ".
The crankshaft gear timing mark ("X-X") must be
facing outward.
Crankshaft Gear Installer: 9-8522-0020-0
6A1-26-1.tif

13. Camshaft Timing Gear


1) Install the thrust plate to the cylinder body.
2) Tighten the thrust plate bolts to the specified torque.
N∙m (kg∙m/lb∙ft)
18 (1.8/13)

3) Install the camshaft timing gear to the camshaft.


The timing gear mark ("Y-Y") must be facing outward.
4) Tighten the timing gear to the specified torque.
6A1-26-2.tif
N∙m (kg∙m/lb∙ft)
64 (6.5/47)

12. Injection Pump


1) Install the O-ring ! to the injection pump flange ".
2) Install the injection pump to the timing gear case.
Align the idler gear "B" # "V-V" mark with the injection
pump timing gear $ "V" mark.

6A1-27-2.tif

3) Temporarily tighten the six injection pump nuts %.


The injection pump nuts will be finally tightened after
the injection pump rear bracket bolts.

6A1-27-3.tif
4JB1/4JB1T/4JB1TC/4JG2 – ENGINE 6A1 – 27

4) Install the injection pump rear bracket & and the rear
bracket bolts ' to the cylinder body.
5) Install the rear bracket bolts ( to the injection pump
bracket ).
Do not tighten the bolts.
The rear bracket bolts ' and ( will be finally
tightened to the specified torque after tighten the
injection pump nuts.

040LV001

6) Tighten the injection pump nuts to the specified torque.


N∙m (kg∙m/lb∙ft)
19 (1.9/14)

7) Tighten the injection pump bracket bolts to the


specified torque.
N∙m (kg∙m/lb∙ft)
19 (1.9/14)

11. Idler Gear


1) Apply engine oil to the idler gear and the idler gear
shaft.
The idler gear shaft oil hole must be facing up.
2) Position the idler gear setting marks "X" and "Y" so
that they are facing the front of the engine.

6A1-26-3.tif

3) Align the idler gear "X" setting mark with the


crankshaft timing gear ! "X-X" setting mark.
4) Align the idler gear "Y" setting mark with the camshaft
timing gear " "Y-Y" setting mark.
5) Install the thrust collar and bolts to the cylinder body
through the shaft.
The thrust collar oil hole must be facing up, and the
thrust collar chamfered must be outward.
6) Tighten the idler gear bolt to the specified torque.
N∙m (kg∙m/lb∙ft)
6A1-26-4.tif

19 (1.9/14)
6A1 – 28 4JB1/4JB1T/4JB1TC/4JG2 - ENGINE

10. Idler Gear


1) Apply engine oil to the idler gear and the idler gear
shaft.
2) Align the idler gear "B" # "Z" setting mark with the
idler gear "A" $ "Z-Z" setting mark.
3) Tighten the idler gear bolt to the specified torque.
N∙m (kg∙m/lb∙ft)
76 (7.7/56)

6A1-27-1.tif

9. Oil Pipe
1) Install the oil pipe to the timing gear case and idler
gear "A".
2) Tighten the oil pipe eye bolt ! and bolt " to the
specified torque.
Oil Pipe Eye Bolt Torque N∙m (kg∙m/lb∙ft)
13 (1.3/9)

6A1-28-1.tif

8. Timing Gear Case Cover


1) Align the gear case with the timing gear case knock
pin and then install the timing gear case cover.
2) Tighten the gear case cover bolts to the specified
torque.
7. Noise Cover Spacer
6. Noise Shield Cover

6A1-28-2.tif

5. Crankshaft Damper Pulley


Tighten the crankshaft damper pulley bolt to the specified
torque.
NOTE:
Hold the flywheel ring gear stationary to prevent the
crankshaft from turning when tightening the damper
pulley.
Pulley Boss Bolt Torque N∙m (kg∙m/lb∙ft)
206 (21/152)
6A1-28-3.tif

4. Cooling Fan Assembly


• Mount fan pulley, distance piece, and cooling fan
assembly (in this order) on the water pump, and
tighten to the specified torque.
N∙m (kg∙m/lb∙in)
8 (0.8/69)
4JB1/4JB1T/4JB1TC/4JG2 – ENGINE 6A1 – 29

3. AC Generator Drive Belt


• Install AC Generator drive belt and adjust belt tension.
• Depress the drive belt mid-portion with a 98N
(10kg/22lb) force.
Drive Belt Deflection mm (in)
8 (0.31) - 12 (0.47)

• Tighten the idler lock nut to the specified torque.


N∙m (kg∙m/lb∙ft)
27 (2.8/20)

2. Power Steering Pump Drive Belt (P/S Model)


• Install Power Steering pump drive belt and adjust belt
tension.
• Depress the drive belt mid-portion with a 98N
(10kg/22lb) force.
Drive Belt Deflection mm (in)
8 (0.31)-12(0.47)

• Tighten the idler lock nut to the specified torque.


N∙m (kg∙m/lb∙ft)
27 (2.8/20)

1. Fan shroud
• Install the fan shroud and reservoir tank hose.
• Pour coolant
• Start the engine and check coolant leakage.
6A1 – 30 4JB1/4JB1T/4JB1TC/4JG2 - ENGINE

TIMING BELT (4JG2 Belt Type)

6A1-30-1.tif

REMOVAL
Preparation:
• Disconnect battery ground cable.
• Drain coolant.
1. Cooling Fan Assembly
• Remove clamp nut, and remove cooling fan asm,
distant pipe, and fan pulley.
2. Fan Shroud
6A1-30-2.tif • Removal reservoir tank hose and fan shroud.
3. Power Steering Pump Drive Belt (P/S Model)
• Loosen power steering pump idle pulley lock nut and
adjust bolt, and remove the drive belt.
4. A/C Compressor Drive Belt (A/C Model)
• Loosen A/C compressor idle pulley lock nut and adjust
bolt, and remove the drive belt.

6A1-30-3.tif
4JB1/4JB1T/4JB1TC/4JG2 – ENGINE 6A1 – 31

5. AC Generator Drive Belt


• Loosen AC Generator mounting bolt (under side) and
adjust plate lock bolt, and remove the drive belt.

6A1-31-1.tif

6. Power Steering Pump Bracket Assembly (P/S Model)


• Loosen power steering oil pipe bracket and clip.
• Remove power steering pump bracket assembly and
hang the power steering pump bracket assembly.

6A1-31-2.tif

7. Crankshaft Damper Pulley

6A1-31-3.tif

8. Timing Pulley Upper Cover


9. Timing Pulley Lower Cover

6A1-31-4.tif

10. Flange; Camshaft Pulley


6A1 – 32 4JB1/4JB1T/4JB1TC/4JG2 - ENGINE

11. Timing Belt


• Prepare a fixing bolt (M8x40, P=1.25)
• Turn crankshaft timing pulley in the normal direction
pulley side mark to timing pulley housing side mark.
• Make sure that the camshaft pulley and injection
timing pulley fixing bolt holes are set to each other.
Then fit in a fixing bolt and lightly tighten.
• No.1 cylinder should be at top dead center.
If the fixing bolt holes are not set (No.4 cylinder is at
6A1-32-1.tif
top dead center) give another turn.
• Remove tensioner and timing belt.

WARNING
IF CRANKSHAFT AND CAMSHAFT AND TURNED
WITH TIMING BELT BEING NOT MOUNTED, PISTON
AND VALVE WILL INTERFERE WITH EACH OTHER.
THEREFORE, THE SHAFTS MUST NOT BE TURNED.

6A1-32-2.tif

INSTALLATION
11. Timing Belt
• When removing the belt, make sure the marks on the
bolt fixed camshaft, injection pulley and crankshaft
timing pulley are set to each other.
CAUTION
Do not turn crankshaft because otherwise piston and
valve will interfere with each other.
6A1-32-3.tif

CAUTION
For accurate mounting, be sure to mount the belt in
the direction that letters on the belt are readable.

6A1-32-4.tif
4JB1/4JB1T/4JB1TC/4JG2 – ENGINE 6A1 – 33

• Mount new timing belt on pulleys in the following steps.


Crankshaft timing pulley ! → camshaft
Timing pulley " → Idle pulley # → Injection
Pump pulley $ → tensioner %
• Set the belt on crankshaft timing pulley and hold with
one hand.
• Stretch and pass the belt round each pulley with the
other hand.
• After passing it round injection pump pulley, install
6A1-33-1.tif
tensioner while taking care not to slacken the belt.

CAUTION
• On completion of belt passing, make sure that the
setting mark on crankshaft timing pulley is set.
• If not set, reset the mark and repeat the belt passing.
• Remove tension adjust, lever mounting bolt, and
loosen the fulcrum bolt to such extent that the lever is
movable.
• Hung a spring balance from the end hole of tension
adjust lever, and with the balance pulled down with
9kg., loosen once the tensioner mounting bolt and
6A1-33-2.tif
there retighten it.
• Turn the crankshaft by 45° counterclockwise to shift
belt slackness on to the tensioner.
• Again hang the spring balance from the end hole of
tension adjust lever and pull it down with the specified
force. Under this condition, loosen tensioner mounting
bolt to absorb belt slackness and retighten is to
specified torque.
Belt N∙(kg/lb)
Tension 98 - 118 (10 - 12/22 - 26)
6A1-33-3.tif

Bolt N∙m (kg∙m/lb∙ft)


76 (7.8/56)

• Fix the tension adjust lever.

6A1-33-4.tif
6A1 – 34 4JB1/4JB1T/4JB1TC/4JG2 - ENGINE

CAUTION
• In case where the timing belt has been replaced with
the actuation of warning light, put off the light with
change over switch on the reverse side of meter.
• Refer to Chassis Electrical in Section 8.
• Tighten the tension adjusting lever nut and bolt.

6A1-34-1.tif

10. Flange; Camshaft Pulley


• Install the timing pulley flange ! to the camshaft
timing pulley ".
Flange Bolts Torque N∙m (kg∙m/lb∙ft)
19 (1.9/14)

6A1-34-2.tif

9. Timing Pulley Lower Cover


• Install timing pulley lower cover and tighten bolt to the
specified torque.
Cover Bolts Torque N∙m (kg∙m/lb∙in)
8 (0.8/69)

6A1-34-3.tif

8. Timing Pulley Upper Cover


• Install timing pulley upper cover and tighten bolt to the
specified torque.
Cover Bolts Torque N∙m (kg∙m/lb∙in)
8 (0.8/69)

6A1-34-4.tif

7. Crankshaft Damper Pulley


• Install crankshaft damper pulley and tighten bolt to the
specified torque.
N∙m (kg∙m/lb∙ft)
19 (1.9/14)

6A1-34-5.tif
4JB1/4JB1T/4JB1TC/4JG2 – ENGINE 6A1 – 35

6. Power Steering Pump Bracket Assembly (P/S Model)


• Install the pipe bracket & clip and tighten bolts to the
specified torque.
Pipe Bracket Bolts Torque N∙m (kg∙m/lb∙ft)
19 (1.9/14)

Pipe Clip Bolts Torque N∙m (kg∙m/lb∙in)


10 (1.0/87)

6A1-35-1.tif
• Install the P/S pump & bracket assembly.
10M bolts N∙m (kg∙m/lb∙ft)
40 (4.1/30)

8M bolts N∙m (kg∙m/lb∙ft)


19 (1.9/14)

Lock nut N∙m (kg∙m/lb∙ft)


27 (2.8/20)

5. AC Generator Drive Belt


• Install AC Generator drive belt and adjust belt tension.
• Depress the drive belt mid-portion with a 98N
(10kg/22lb) force.
Drive Belt Deflection mm (in)
8 (0.31) - 12(0.47)

• Install fixing bolt and tighten bolts to the specified


torque.
6A1-35-2.tif Generator Fixing Bolt N∙m (kg∙m/lbvft)
40 (4.1/30)

Adjust Plate Fixing Bolt N∙m (kg∙m/lb∙ft)


19 (1.9/14)

4. A/C Compressor Drive Belt (A/C type)


• Install A/C compressor drive belt and adjust belt
tension.
• Depress the drive belt mid-portion with a 98N
(10kg/22lb) force.
Drive Belt Deflection mm (in)
8 (0.31) - 12 (0.47)

• Tighten the idler lock nut to the specified torque.


N∙m (kg∙m/lb∙ft)
27 (2.8/20)
6A1 – 36 4JB1/4JB1T/4JB1TC/4JG2 - ENGINE

3. Power Steering Pump Drive Belt (P/S pump model)


• Install PS pump drive belt and adjust belt tension.
• Depress the drive belt mid-portion with a 98N
(10kg/22lb) force.
Drive Belt Deflection mm (in)
8 (0.31) - 12 (0.47)

• Tighten the idler lock nut to the specified torque.


N∙m (kg∙m/lb∙ft)
6A1-36-1.tif
27 (2.8/20)

2. Fan Shroud
• Install the fan shroud and reservoir tank hose.

1. Cooling Fan Assembly


• Mount fan pulley, distance piece, and cooling fan asm
(in this order) on the water pump, and tighten to the
specified torque.
N∙m (kg∙m/lb∙in)
8 (0.8/69)

• Connect battery ground cable.


• Pour coolant.
• Start the engine and check coolant leakage.
4JB1/4JB1T/4JB1TC/4JG2 – ENGINE 6A1 – 37

CYLINDER HEAD ASSEMBLY AND GASKET

Removal steps
1. Radiator hose upper
2. Heater hose
3. A/C Compressor drive
belt
4. Engine harness
5. Air intake duct
6. Injection pipe
7. Leak off pipe
8. PCV hose
9. Glow plug harness
10. Oil level gauge guide
tube
11. Oil cooler water pipe
12. A/C Compressor
Assembly
13. Vacuum actuator hose
14. Front exhaust pipe
15. By-pass hose
16. Cylinder head cover
17. Rocker arm shaft
18. Push rod
19. Cylinder head
Assembly
20. Cylinder head gasket

Installation steps
To install, follow the
removal steps in the
reverse order.
6A1-37-1.tif

REMOVAL
Preparation:
• Disconnect battery ground cable.
• Drain coolant from the radiator and engine.
1. Radiator Hose Upper
• Disconnect upper radiator hose from engine side.
6A1 – 38 4JB1/4JB1T/4JB1TC/4JG2 - ENGINE

2. Heater Hose
• Disconnect heater hose from heater pipe.
3. A/C Compressor Drive Belt
• Loosen idler lock nut.
• Loosen adjust bolt and remove drive belt.
4. Engine Harness
• Disconnect harness connectors from units on
thermostat housing.
5. Air Intake Duct
• Remove the clip and air intake duct.

6A1-38-1.tif

6. Injection Pipe
• Release injection pipe clip.
• Remove flare nut injection pump side.
• Remove flare nut injection nozzle side and remove
injection pipe.
NOTE:
Plug the injection nozzle holder and the delivery
holder to prevent the entry of foreign matters into
them.
7. Leak Off Pipe
• Remove the leak off pipe side of leak off hose.
8. PCV Hose
• Remove the PCV hose from air intake pipe.

6A1-38-2.tif
4JB1/4JB1T/4JB1TC/4JG2 – ENGINE 6A1 – 39

9. Glow Plug Harness


10. Oil Level Gauge Guide Tube
• Remove the guide tube from cylinder head.

6A1-39-1.tif

11. Oil Cooler Water Pipe (Oil Cooler Model)


• Remove the pipe fixing bolt of cylinder head rear side.
• Remove the oil cooler water pipe fixing nut from inlet
manifold.

6A1-39-2.tif

12. A/C Compressor Assembly (A/C Model)


• Remove the clutch harness connector.
• Remove the A/C compressor fixing bolts and
temporally tighten the A/C compressor to chassis
frame side use the wire.

6A1-39-3.tif

13. Vacuum Actuator Hose (Exhaust Brake Model)


• Remove the vacuum hoses from vacuum actuator.

6A1-39-4.tif

14. Front Exhaust Pipe


• Remove the exhaust pipe fixing bolts from exhaust
manifold.
• Remove the exhaust pipe stay bolt.
6A1 – 40 4JB1/4JB1T/4JB1TC/4JG2 - ENGINE

15. By-pass Hose


16. Cylinder Head Cover

6A1-40-1.tif

17. Rocker Arm Shaft


• Loosen the rocker arm shaft bracket bolts a little at a
time in the numerical order shown in the illustration.
NOTE:
Failure to loosen the rocker arm shaft bracket bolts a
little at a time in numerical order will adversely effect
the rocker arm shaft.
18. Push Rod

6A1-40-2.tif

19. Cylinder Head Assembly


• Loosen the cylinder head bolts a little at a time in the
numerical order shown in the illustration.
NOTE:
Failure to loosen the cylinder head bolts a little at a
time in numerical order will adversely effect the
cylinder head lower surface.
20. Cylinder Head gasket
• Remove the cylinder head gasket and dowel.
6A1-40-3.tif
4JB1/4JB1T/4JB1TC/4JG2 – ENGINE 6A1 – 41

INSTALLATION
20. Cylinder Head Gasket
Cylinder head gasket is determined by the piston head
projection from the cylinder body upper surface, in order to
improve engine performance.
Three types of gasket are provided by the difference of
thickness. Select the adequate one out of three grades of
gasket, according to the following procedure.
Before measurement, clear off carbon from the piston
6A1-41-1.tif
head and cylinder body surface and also clean the place
where a gasket was installed.

Piston Head Projection Measurement Point


1) Use a dial indicator to measure the piston projection
amount.
2) Refer to the illustration for the piston head projection
measuring positions.
All measuring positions should be as close as possible
to the cylinder liner.
3) Measure the points !"#$ and obtain two
differences !-" and #-$ on each cylinder.
Calculate the average value of the piston head
6A1-41-2.tif
projection on each cylinder.
4) Obtain the maximum value in the four cylinders.
5) Determine the gasket grade required to the maximum
value described above in accordance with the
following table.

4JB1/4JB1T/4JB1TC Cylinder Head Gasket Thickness


mm (in)
Gasket Grade Mark Piston Gasket Thickness
Projection (Reference)
0.758 - 0.813 1.60
A
(0.030 - 0.032) (0.0630)
0.813 - 0.859 1.65
B
(0.032 - 0.034) (0.0650)
6A1-41-3.tif 0.859 - 0.914 1.70
C
(0.034 - 0.036) (0.0670)

NOTE:
The difference between the highest measured piston
head projection and the lowest measured piston head
projection must not exceed 1.0 mm(0.039 in).
6A1 – 42 4JB1/4JB1T/4JB1TC/4JG2 - ENGINE

4JG2 Cylinder Head Gasket Thickness mm (in)


Piston Gasket Thickness
Gasket Grade Mark
Projection (Reference)
0.658 - 0.713 1.60
A
(0.026 - 0.028) (0.0630)
0.713 - 0.759 1.65
B
(0.028 - 0.030) (0.0650)
0.759 - 0.814 1.70
C
6A1-42-1.tif
(0.030 - 0.032) (0.0670)

NOTE:
The difference between the highest measured piston
head projection and the lowest measured piston head
projection must not exceed 1.0 mm (0.039 in).

19. Cylinder Head Assembly


1) Install the dowel in cylinder block.
2) Install the cylinder head gasket with top mark up.
3) Clean up cylinder head lower surface and cylinder
body upper surface.
4) Install the cylinder head as softly.
5) Apply engine oil to screw and seat of cylinder head
bolts.
6) Tighten the cylinder head bolts to the specified torque
6A1-42-2.tif
in three steps following the numerical order shown in
the illustration.
Cylinder Head bolts Torque N∙m (kg∙m/lb∙ft)
1st Step 2nd Step 3rd Step
49 (5.0/36) 60 - 75° 60 - 75°

18. Push Rod


• Apply engine oil to push rod and in to the cylinder
head.

17. Rocker Arm shaft


1) Loosen all adjusting screws.
2) Position the rocker arm shaft with the large oil hole
(4ø) facing the front of the engine.

6A1-42-3.tif
4JB1/4JB1T/4JB1TC/4JG2 – ENGINE 6A1 – 43

3) Tighten the rocker arm shaft bracket bolts to the


specified torque in the numerical order shown in the
illustration.
Rocker Arm Shaft Bracket Bolt Torque N∙m (kg∙m/lb∙ft)
54 (5.5/40)

• Valve clearance adjustment.

6A1-43-1.tif
6A1 – 44 4JB1/4JB1T/4JB1TC/4JG2 - ENGINE

Valve Clearance Adjustment


Above works refer to “ROCKER ARM SHAFT
ASSEMBLY” Section in this manual.
16. Cylinder Head Cover
• Apply engine oil to the rocker arms and the valve
spring.
• Install the cylinder head cover gasket to the cylinder
head cover.
• The gasket must be perfectly smooth with no loose
areas.
• Tighten the cylinder head cover nuts to the specified
torque in the numerical order shown in the illustration.
Cylinder Head Cover Torque N∙m (kg∙m/lb∙in)
6A1-44-1.tif
13 (1.3/113)

15. By-Pass Hose


14. Front Exhaust Pipe
• Install the pipe to manifold and tighten bolts and nuts
to the specified torque.
W/Exhaust Brake Manifold Nut Torque N∙m (kg∙m/lb∙ft)
37 (3.8/27)

WO/Exhaust Brake
Manifold Nut Torque N∙m (kg∙m/lb∙ft)
6A1-44-2.tif
40 (4.1/30)

Pipe Stay Bolts Torque N∙m (kg∙m/lb∙ft)


40 (4.1/30)

13. Vacuum Actuator Hose (Exhaust Brake Model)


• Install the vacuum hose to the vacuum actuator.

6A1-44-3.tif

12. A/C Compressor Assembly (A/C Model)


• Install the A/C compressor fixing bolts and tighten
bolts to the specified torque.
Compressor Bolts Torque N∙m (kg∙m/lb∙ft)
37 (3.8/27)

6A1-44-4.tif
4JB1/4JB1T/4JB1TC/4JG2 – ENGINE 6A1 – 45

11. Oil Cooler Water Pipe (Oil Cooler Model)


• Install the water pipe bolt and tighten bolt to the
specified torque.
Water Pipe Nut Torque N∙m (kg∙m/lb∙ft)
19 (1.9/14)

Pipe Bracket Bolt Torque N∙m (kg∙m/lb∙ft)


40 (4.1/30)

6A1-45-1.tif

10. Oil Level Gauge Guide Tube


• Install the guide tube bolt and tighten bolt to the
specified torque.
Guide Tube Bolt Torque N∙m(kg∙m/lb∙ft)
19 (1.9/14)

9. Glow Plug Harness

6A1-45-2.tif

8. PCV Hose
7. Leak Off Pipe
• Mount using a new copper washer.

6A1-45-3.tif

6. Injection Pipe
• Install the flare nut to injection pump side.
• Install the flare nut to injection nozzle side.
• Tighten the flare nut to the specified torque.
Flare Nut torque N∙m (kg∙m/lb∙ft)
29 (3.0/22)

• Fit pipe clip in specified torque.

6A1-45-4.tif
6A1 – 46 4JB1/4JB1T/4JB1TC/4JG2 - ENGINE

5. Air Intake Duct


4. Engine Harness
• Connect the thermo-sensor harness and thermo-meter
unit harness.

6A1-46-1.tif

3. A/C Compressor Drive Belt (A/C Model)


Check drive belts for wear or damage, and replace with
new ones as necessary. Check belts for tension, and
adjust as necessary.
• Check drive belts tension.
• Push the middle of belts with a force of 10kg and
check each bolt for deflection.
• Standard deflection
mm (in)
6A1-46-2.tif Initial tension
AC generator & fan pulley drive belt
A/C compressor drive belt 8 - 12 (0.31 - 0.47)
P/S pump drive belt

TENSION ADJUSTMENT
P/S oil pump and A/C compressor pulley belt
• With P/S pump lock bolt loose, adjust belt tension with
adjust belt.
Cooling fan pulley belt
• With AC Generator mounting and lock bolts loose,
adjust belt tension with adjuster's adjust bolt.

6A1-46-3.tif

Torque Standard N∙m (kg∙m/lb∙ft)


AC generator fixing bolt 40 (4.1/30)
Adjust plate fixing bolt 19 (1.9/14)
Adjust plate lock bolt 19 (1.9/14)

6A1-46-4.tif
4JB1/4JB1T/4JB1TC/4JG2 – ENGINE 6A1 – 47

2. Heater Hose
• Connect the heater hose them tighten clip securely.
1. Radiator Hose Upper
• Connect the radiator hose them tighten clip securely.
• Pour coolant
• Connect battery ground cable.
• Start the engine and check coolant leakage.
6A1 – 48 4JB1/4JB1T/4JB1TC/4JG2 - ENGINE

OIL PAN

Removal steps
1. Vacuum pump oil hose
2. Engine mount bolts
3. Stiffener and space rubber
4. Oil pan Assembly

Installation steps
To install, follow the removal
steps in the reverse order.

6A1-48-1.tif

REMOVAL
Preparation:
• Disconnect battery ground cable.
• Lift up car.
• Drain engine oil.
NOTE
Install drain plug with new gasket.
N∙m(kg∙m/lb∙ft)
44 (4.5/33)

1. Vacuum Pump Oil Hose


• Remove oil hose ! from oil pan.

6A1-48-2.tif
4JB1/4JB1T/4JB1TC/4JG2 – ENGINE 6A1 – 49

2. Engine Mount Bolts


• Remove the engine mount bolts right & left side.

6A1-49-1.tif

3. Stiffener & Space Rubber


• Remove the exhaust pipe bracket.
• Remove the stiffener from of the oil pan left & right
side.
• Take out space rubber.

6A1-49-2.tif

4. Oil Pan Assembly


• Raising the engine about 50mm.
• Remove the oil pan from cylinder block.
6A1 – 50 4JB1/4JB1T/4JB1TC/4JG2 - ENGINE

INSTALLATION
4. Oil Pan Assembly
• Apply the recommended liquid gasket or its equivalent
to the No.5 bearing cap arches, the grooves, and the
timing gear case arches at the positions shown in the
illustration.

6A1-50-1.tif

• Fit the gasket rear lipped portion into the No.5 groove.
• Be absolutely sure that the lipped portion in fitted
snugly in to the groove.
• Install the oil pan to the cylinder body.
• Tighten the oil pan bolts to the specified torque.
Oil Pan Bolt Torque N∙m (kg∙m/lb∙ft)
19 (1.9/14)

6A1-50-2.tif

3. Stiffener and Space Rubber


• Install the space rubber.
• Install the stiffener left side and right side tighten bolt
to the specified torque.
Engine body Side N∙m (kg∙m/lb∙ft)
37 (3.8/27)

Clutch Housing Side N∙m (kg∙m/lb∙ft)


78 (8.0/58)

• Install exhaust pipe bracket.


2. Engine Mount Bolts
• Install the mount bolts and tighten to the specified
torque.
Mount Bolt Torque N∙m (kg∙m/lb∙ft)
40 (4.1/30)

• Install the oil hose to oil pan.


1. Vacuum Pump Oil Hose
• Pour engine oil
• Connect battery ground cable.
• Start the engine and check coolant leakage.
4JB1/4JB1T/4JB1TC/4JG2 – ENGINE 6A1 – 51

OIL PUMP ASSEMBLY

Removal steps
1. Vacuum pump oil hose
2. Engine mount bolts
3. Stiffener and space rubber
4. Oil pan Assembly
5. Oil pump Assembly

Installation steps
To install, follow the removal
steps in the reverse order.

6A1-51-1.tif

REMOVAL
Preparation:
• Disconnect battery ground cable.
• Lift up car.
• Drain engine oil.
NOTE
Install drain plug with new washer.
N∙m(kg∙m/lb∙ft)
44 (4.5/33)

1. Vacuum Pump Oil Hose


• Remove the oil hose ! from oil pan.

6A1-51-2.tif
6A1 – 52 4JB1/4JB1T/4JB1TC/4JG2 - ENGINE

2. Engine Mount Bolts


• Remove the engine mount bolts right & left side.

6A1-52-1.tif

3. Stiffener & Space Rubber


• Remove the exhaust pipe bracket.
• Remove the stiffener from of the oil pan left & right
side.
• Take out space rubber.

6A1-52-2.tif

4. Oil Pan Assembly


• Raise the engine about 50mm.
• Remove the oil pan from cylinder block.
5. Oil Pump Assembly
• Remove the oil pump from cylinder block.
4JB1/4JB1T/4JB1TC/4JG2 – ENGINE 6A1 – 53

INSTALLATION
• Prepare a solution of 80% engine oil and 20%
molybdenum disulfide.
• Apply and ample coat of the solution to the teeth of the
oil pump pinion.
5. Oil Pump Assembly
• Apply engine oil to oil pipe O-ring and insert the O-ring
in O-ring hold on cylinder block.
• Install oil pump asm with oil pipe in cylinder block and
tighten fixing bolts to the specified torque.
N∙m (kg∙m/lb∙ft)
19 (1.9/14)

• Tighten sleeve nut to the specified torque.


6A1-53-1.tif N∙m (kg∙m/lb∙ft)
25 (2.5/18)

4. Oil Pan Assembly


3. Stiffener & Space Rubber
2. Engine Mount Bolts
1. Vacuum Pump Oil Hose
Above works refer to “OIL PAN” Section in this manual.
6A1 – 54 4JB1/4JB1T/4JB1TC/4JG2 - ENGINE

PISTON, PISTON RING AND CONNECTING ROD

6A1-45-1.tif

REMOVAL
Preparation:
• Disconnect battery ground cable
• Drain coolant
• Drain engine oil
NOTE
• Install drain plug with new washer.
N∙m (kg∙m/lb∙ft)
44 (4.5/33)

1. Cylinder Head Assembly


1) Radiator hose upper
2) Heater hose
3) A/C compressor drive belt
4) Engine harness
5) Air intake duct
4JB1/4JB1T/4JB1TC/4JG2 – ENGINE 6A1 – 55

6) Injection pipe
7) Leak off pipe
8) PCV hose
9) Glow plug harness
10) Oil level gauge guide tube
11) Oil cooler water pipe (Oil Cooler Model)
12) A/C compressor assembly (A/C Model)
13) Vacuum actuator hose (Exhaust Brake Model)
14) Front exhaust pipe
15) By-pass hose
16) Cylinder head cover
17) Rocker arm shaft
18) Push rod
19) Cylinder head assembly
20) Cylinder head gasket
Above works refer to “CYLINDER HEAD ASSEMBLY
AND GASKET” Section in this manual.
2. Oil Pan Assembly
1) Vacuum pump oil hose
2) Engine mount bolt
3) Stiffener and spacer rubber
4) Oil pan
Above works refer to “OIL PAN” Section in this
manual.
3. Oil Pump Assembly
4. Piston Cooling Oil Pipe
• Remove the relief valve and oil pipe.

6A1-55-1.tif

5. Connecting Rod Bearing Cap


• If the connecting rod lower bearings are to be
reinstalled, mark their fitting positions by tagging each
bearing with the cylinder number from which it was
removed.

6A1-55-2.tif
6A1 – 56 4JB1/4JB1T/4JB1TC/4JG2 - ENGINE

6. Piston and Connecting Rod Assembly


1) Remove carbon deposits from the upper portion of the
cylinder wall with a scraper before removing the piston
and connecting rod.

6A1-56-1.tif

2) Move the piston to the top of the cylinder and tap it


with a hammer grip or similar object from the
connecting rod lower side to drive it out.

6A1-56-2.tif

3) If the connecting rod upper bearings are to be


reinstalled, mark their fitting positions by tagging each
bearing with the cylinder number from which it was
removed.

6A1-56-3.tif

4) Clamp the connecting rod in a vise.


Take care not to damage the connecting rod.
Use a piston ring replacer to remove the piston rings.
Piston Ring Replacer
Do not attempt to use some other tool to remove the
piston rings. Piston ring stretching will result in
reduced piston ring tension.

6A1-56-4.tif

5) Use a pair of pliers to remove the piston pin snap


rings.

6A1-56-5.tif
4JB1/4JB1T/4JB1TC/4JG2 – ENGINE 6A1 – 57

6) Tap the piston pin out with a hammer and a brass bar.
If the pistons and piston pins are to be reinstalled,
mark their installation positions by tagging each piston
and piston pin with the cylinder number from which it
was removed.

6A1-57-1.tif

INSTALLATION
6. Piston and Connecting Rod Assembly
1) Try to insert the piston pin into the piston pin hole with
normal finger pressure.
Weigh each piston and connecting rod assembly.
Select piston and connecting rod combinations so that
the weight variation of the different assemblies is held
within the specified limits.

g(oz)
Variance in weight Less than
after assembly 3(0.1058)

2) Clamp the connecting rod in a vise.


Take care not to damage the connecting rod.
3) Use a pair of pliers to install the piston pin snap ring to
the piston.
NOTE:
6A1-57-2.tif
When changing piston/connecting rod combinations,
do not change the piston/piston pin combination.

4) Install the piston to the connecting rod.


The piston head front mark ! and the connecting rod
"ISUZU" casting mark " must be facing the same
direction.

6A1-57-3.tif
6A1 – 58 4JB1/4JB1T/4JB1TC/4JG2 - ENGINE

5) Apply a coat of engine oil to the piston pin and the


piston pin hole.
Use your fingers to force the piston pin into the piston
until it makes contact with the snap ring.

6A1-58-1.tif

6) Use your fingers to force the piston pin snap ring into
the piston snap ring groove.
Check that the connecting rod moves smoothly on the
piston pin.

6A1-58-2.tif

7) Install the piston rings with the piston ring expander.


The compression ring must be set with the 1N, 2N
mark facing up.
Discrimination mark is painted as shown in the
illustration.

6A1-58-3.tif

8) Use a piston ring replacer to install the three piston


rings.
Piston Ring Replacer
Install the piston rings in the numerical order shown in
the illustration.
! Oil ring
" 2nd compression ring
# 1st compression ring

6A1-58-4.tif

NOTE:
Install the compression rings with the stamped side
facing up.
Insert the expander coil into the oil ring groove so that
there is no gap on either side of the expander coil
before installing the oil ring.

6A1-58-5.tif
4JB1/4JB1T/4JB1TC/4JG2 – ENGINE 6A1 – 59

9) Apply engine oil to the piston ring surfaces.


10) Check that the piston rings rotate smoothly in the
piston ring grooves.
11) Position the piston ring gaps as shown in the
illustration.

6A1-59-1.tif

12) Carefully wipe any oil or other foreign material from the
connecting rod bearing back face and the connecting
rod bearing fitting surface.
13) Apply a coat of engine oil to the upper bearing
surfaces.
Apply a coat of engine oil the cylinder wall.

6A1-59-2.tif

14) Position the piston head front mark so that it is facing


the front of the engine.
Use the piston ring compressor to compress the piston
rings.
Piston Ring Compressor: 5-8840-9018-0(J-8037)
15) Use a hammer grip to push the piston in until the
connecting rod makes contact with the crankpin.
At the same time, rotate the crankshaft until the
crankpin is at BDC.

6A1-59-3.tif

5. Connecting Rod Bearing Cap


1) Position the bearing cap front mark so that it is facing
the front of the engine.
2) Install the connecting rod bearing caps.
Align the bearing cap cylinder number marks and the
connecting rod cylinder number marks.

6A1-59-4.tif
6A1 – 60 4JB1/4JB1T/4JB1TC/4JG2 - ENGINE

3) Apply a coat of engine oil to the threads and setting


faces of each connecting rod cap bolt.
4) Tighten the connecting rod bearing cap bolts to the
specified torque in two steps using the Angular
Tightening Method.
Connecting Rod Bearing Cap Bolt Torque N∙m (kg∙m/lb∙ft)
1st Step 2nd Step
29 (3.0/22) 45° - 60°

6A1-60-1.tif NOTE
Check to see that the crankshaft turns smoothly by
rotating it manually.

4. Piston Cooling Oil Pipe


1) Install the piston cooling oil pipe to the cylinder body.
2) Tighten the oil pipe bolts and relief valve to the
specified torque.
Oil Pipe Bolt Torque N∙m (kg∙m/lb∙ft)
! M8x1.25 19 (1.9/14)

N∙m (kg∙m/lb∙in)
" M6x1.00 8 (0.8/69)
6A1-60-2.tif

Oil Pressure Regulating Valve Torque N∙m (kg∙m/lb∙ft)


# M6x1.5 29 (3.0/22)

NOTE:
Check that there is no interference between the piston
and the oiling jet pipe by slowly rotating the
crankshaft.

3. Oil Pump Assembly


Above works refer to “OIL PUMP” Section in this manual.

2. Oil Pan Assembly


1) Apply the recommended liquid gasket or its equivalent
to the No.5 bearing cap arches, the grooves, and the
timing gear case arches at the positions shown in the
illustration.
4JB1/4JB1T/4JB1TC/4JG2 – ENGINE 6A1 – 61

2) Fit the gasket rear lipped portion into the No.5 groove.
Be absolutely sure that the lipped portion is fitted
snugly into the groove.
3) Install the oil pan to the cylinder body.
• Tighten the oil pan bolts to the specified torque.
Oil Pan Bolts Torque N∙m (kg∙m/lb∙ft)
19 (1.9/14)

6A1-60-1.tif

4) Install the space rubber and stiffener (right & left side)
then tighten bolts to the specified torque.
Engine Body Side Stiffener Bolts Torque N∙m (kg∙m/lb∙ft)
37 (3.8/27)

Clutch Housing Side Stiffener Bolts TorqueN∙m (kg∙m/lb∙ft)


78 (8.0/58)

5) Install the exhaust pipe bracket.


6A1-60-2.tif

6) Install the support rubber and tighten nuts to the


specified torque.
Support Rubber Nut Torque N∙m (kg∙m/lb∙ft)
40 (4.1/30)

6A1-60-3.tif

7) Install the vacuum pump oil hose ! to oil pan.

6A1-60-4.tif
6A1 – 62 4JB1/4JB1T/4JB1TC/4JG2 - ENGINE

1. Cylinder Head ASM


1) Cylinder head gasket
2) Cylinder head assembly
3) Push rod
4) Rocker arm shaft
5) Valve clearance adjustment
6) Cylinder head cover
7) By-pass hoses
8) Front exhaust pipe
9) Vacuum actuator hose (Exhaust Brake Model)
10) A/C compressor assembly (A/C Model)
11) Oil cooler water pipe (Oil Cooler Model)
12) Oil level gauge guide tube
13) Glow plug harness
14) PCV hose
15) Leak off pipe
16) Injection pipe
17) Air intake duct
18) Engine harness
19) A/C compressor drive belt (With A/C Model)
20) Heater hose
Above works refer to “CYLINDER HEAD ASSEMBLY
AND GASKET” Section in this manual.
4JB1/4JB1T/4JB1TC/4JG2 – ENGINE 6A1 – 63

CAMSHAFT AND TAPPET

Removal steps
1. Transmission and clutch
Assembly
2. Engine Assembly
3. Cylinder head Assembly and
gasket
4. Timing gear
(Gear drive model)
4a. Timing belt
(Belt drive model)
5. Oil pan
6. Oil pump
7. Camshaft and tappets

Installation steps
To install, follow the removal
steps in the reverse order.

6A1-63-1.tif

REMOVAL
Preparation:
• Disconnect battery ground cable.
• Drain coolant.
• Drain engine oil.
NOTE
Install drain plug with new washer.
Drain Plug Torque N∙m (kg∙m/lb∙ft)
83 (8.5/61)
6A1 – 64 4JB1/4JB1T/4JB1TC/4JG2 - ENGINE

1. Transmission and Clutch Assembly


1) Transmission
2) Clutch

2. Engine Assembly
1) Radiator assembly
2) Intake air duct
3) Heater hose
4) Engine control cable
5) Glow plug harness
6) Fuel hose
7) Oil pressure switch harness
8) A/C compressor assembly (A/C Model)
9) Power steering pump & bracket assembly (Power
steering Model)
10) Actuator vacuum hose (Exh. Brake Model)
11) Vacuum pump hose (Exh. Brake Model)
12) Front exhaust pipe
13) Support rubber
14) Engine assembly
Above works refer to “ENGINE ASSEMBLY” Section in
this manual.

3. Cylinder Head Assembly and Gasket


1) Injection pipe
2) Leak off pipe
3) PCV hose
4) Glow plug harness
5) Oil level gauge guide tube
6) Oil cooler water pipe (Oil Cooler Model)
7) By-pass hose
8) Cylinder head cover
9) Rocker arm shaft
10) Push rod
11) Cylinder head assembly
12) Cylinder head gasket
Above works refer to “CYLINDER HEAD ASSEMBLY
AND GASKET” Section in this manual.

4. Timing Gear (Gear Drive Model)


1) Cooling fan assembly
2) Crankshaft damper pulley
3) Noise shield cover
4) Noise cover spacer
5) Timing gear case cover
6) Camshaft timing gear
Above works refer to “TIMING GEAR (Gear Type)”
Section in this manual.
4JB1/4JB1T/4JB1TC/4JG2 – ENGINE 6A1 – 65

4a. Timing Belt (Belt Drive Model)


1) Cooling fan assembly
2) Crankshaft damper pulley
3) Timing pulley upper cover
4) Timing pulley lower cover
5) Flange: camshaft pulley
6) Flange: injection pump pulley
7) Timing belt
Above works refer to “TIMING BELT (Belt Type)”
Section in this manual.
8) Camshaft timing pulley
• Use a dial indicator to measure the camshaft end play.
This must be done before removing the oil pump.
If the camshaft end play exceeds the specified limit,
the camshaft and/or the driven gear must be replaced.
Camshaft End Play mm(in)
Standard Limit
0.08 (0.003) 0.20 (0.008)
6A1-65-1.tif

• Install the stopper bolt ! to the timing pulley to


prevent the pulley from turning.
• Loosen the center bolt.

6A1-65-2.tif

• Use the timing pulley puller " to remove the pulley.


Timing Pulley Puller: 5-8840-0086-0
• Remove the stopper bolt.

6A1-65-3.tif
6A1 – 66 4JB1/4JB1T/4JB1TC/4JG2 - ENGINE

• Remove the center bolt and remove the timing pulley


with pulley center.

6A1-66-1.tif

• Remove the oil seal retainer.

6A1-66-2.tif

5. Oil Pan Assembly


• Disconnect vacuum pump oil hose ! from oil pan.

6A1-66-3.tif

• Remove the stiffener and space rubber from oil pan


both side.
• Remove the oil pan bolts and remove oil pan from
cylinder body.

6A1-66-4.tif

6. Oil Pump Assembly


• Remove the oil pump assembly from cylinder body.

6A1-66-5.tif
4JB1/4JB1T/4JB1TC/4JG2 – ENGINE 6A1 – 67

7. Camshaft and Tappets


• Remove the camshaft from cylinder body.
• Take care not to damage the camshaft bearings.

6A1-67-1.tif

• Take out the tappets from cylinder body.

6A1-67-2.tif
6A1 – 68 4JB1/4JB1T/4JB1TC/4JG2 - ENGINE

INSTALLATION
7. Camshaft and Tappets
• Apply a coat of engine oil to the tappet and the cylinder
body tappet insert holes.
• Locate the position mark applied at disassembly (if the
tappet is to be reused).
NOTE:
The tappet must be installed before the camshaft.
• Apply a coat of engine oil to the camshaft and the
camshaft bearings.
• Install the camshaft to the cylinder body.
Take care not to damage the camshaft bearings.

6A1-68-1.tif

6. Oil Pump Assembly


• Prepare a solution of 80% engine oil and 20%
molybdenum disulfide.
• Apply and ample coat of the solution to the teeth of the
oil pump pinion.
• Apply engine oil to oil pipe O-ring and insert the O-ring
in O-ring hold on cylinder block.
• Install oil pump asm with oil pipe in cylinder block and
tighten fixing bolts to the specified torque.
Oil Pump Bolt Torque N∙m (kg∙m/lb∙ft)
6A1-68-2.tif

19 (1.9/14)

• Tighten sleeve nut to the specified torque.


Sleeve Nut Torque N∙m (kg∙m/lb∙ft)
25 (2.5/18)

5. Oil Pan Assembly


Above works refer to “OIL PAN” Section in this manual.

4a. Timing Belt


8) Camshaft timing pulley
7) Timing belt
6) Flange: injection pump pulley
5) Flange: camshaft pulley
4) Timing pulley lower cover
3) Timing pulley upper cover
2) Crankshaft damper pulley
1) Cooling fan assembly
Above works refer to “TIMING BELT (Belt Type)”
Section in this manual.
4JB1/4JB1T/4JB1TC/4JG2 – ENGINE 6A1 – 69

4. Timing Gear (Gear Type)


6) Camshaft timing gear
5) Timing gear case cover
4) Noise cover spacer
3) Noise shield cover
2) Crankshaft damper pulley
1) Cooling fan assembly
Above works refer to “TIMING GEAR (Gear Type)”
Section in this manual.

3. Cylinder Head Assembly and Gasket


12) Cylinder head gasket
Piston Head Projection Measurement Point
11) Cylinder head assembly
10) Push rod
9) Rocker arm shaft
Valve Clearance Adjustment
8) Cylinder head cover
7) By-pass hose
6) Oil cooler water pipe (Oil cooler Model)
5) Oil level gauge guide tube
4) Glow plug harness
3) PCV hose
2) Fuel leak off pipe
1) Injection pipe
Above works refer to “CYLINDER HEAD ASSEMBLY
AND GASKET” Section in this manual.

2. Engine Assembly
14) Engine assembly
13) Support rubber
12) Front exhaust pipe
11) Vacuum pump hose
10) Actuator vacuum hose
9) Power steering pump & bracket assembly (With Power
Steering Model)
8) A/C compressor assembly (A/C Model)
7) Oil pressure switch harness
6) Fuel hose
5) Glow plug harness
4) Engine control cable
3) Heater hose
2) Intake air duct
1) Radiator assembly
6A1 – 70 4JB1/4JB1T/4JB1TC/4JG2 - ENGINE

1. Transmission and Clutch Assembly


2) Clutch
1) Transmission
Above works refer to “ENGINE ASSEMBLY” Section in
this manual.
• Connect the battery ground cable.
• Pour coolant
• Pour engine oil
• Start the engine and check coolant leakage.
4JB1/4JB1T/4JB1TC/4JG2 – ENGINE 6A1 – 71

CRANKSHAFT FRONT OIL SEAL (Gear Drive Type)

Removal steps
1. Fan shroud
2. Power steering pump drive belt
3. AC generator drive belt
4. Cooling fan Assembly
5. Crankshaft damper pulley
6. Front oil seal

Installation steps
To install, follow the removal steps
in the reverse order.

6A1-71-1.tif

REMOVAL
Preparation:
• Disconnect battery ground cable.
• Drain coolant.
1. Fan Shroud
2. Power Steering Pump Drive Belt
• Loosen power steering pump mounting bolt and adjust
bolt, and remove the drive belt.
3. AC Generator Drive Belt
• Loosen AC Generator mounting bolt (under side) and
adjust plate lock bolt, and remove the drive belt.
4. Cooling Fan Assembly
• Remove clamp nut, and remove cooling fan assembly,
distant pipe, and fan pulley.
5. Crankshaft Damper Pulley
6A1 – 72 4JB1/4JB1T/4JB1TC/4JG2 - ENGINE

6. Front Oil Seal


• Use a plastic hammer and a screwdriver to top around
the oil seal to free it from the gear case cover.
Take care not to damage the oil seal fitting surfaces.

6A1-72-1.tif

INSTALLATION
6. Front Oil Seal
• Use the installer to install the front oil seal ! to the
gear case cover ".
Oil Seal Installer: 5-8840-2061-0
Note the oil seal installation depth # shown in the
illustration.
Depth # = 1 mm (0.039 in.)
6A1-72-2.tif

5. Crankshaft Damper Pulley


Tighten the crankshaft damper pulley bolt to the specified
torque.
NOTE:
Hold the flywheel ring gear stationary to prevent the
crankshaft from turning when tightening the damper
pulley.
Pulley Boss Bolt Torque N∙m (kg∙m/lb∙ft)
206 (21/152)
6A1-72-3.tif

4. Cooling Fan Assembly


• Mount fan pulley, distance piece, and cooling fan asm
(in this order) on the water pump, and tighten to the
specified torque.
N∙m (kg∙m/lb∙in)
8 (0.8/69)

3. AC Generator Drive Belt


• Install AC Generator drive belt and adjust belt tension.
• Refer to Drive Belt Adjustment in this section.
2. Power Steering Pump Drive Belt
• Install power steering pump drive belt and adjust belt
tension.
• Refer to “Drive Belt Adjustment” in this section.
1. Fan Shroud
• Install the fan shroud and reservoir tank hose.
• Pour coolant
• Start the engine and check coolant leakage.
4JB1/4JB1T/4JB1TC/4JG2 – ENGINE 6A1 – 73

CRANKSHAFT FRONT OIL SEAL (Belt Drive Type)

6A1-73-1.tif

REMOVAL
Preparation:
• Disconnect battery ground cable.
• Drain coolant.
1. Cooling Fan Assembly
2. Fan Shroud
3. Power Steering Pump Drive Belt (P/S Model)
4. A/C Compressor Drive Belt (A/C Model)
5. AC Generator Drive Belt
6. Power Steering Pump Bracket Assembly (P/S Model)
7. Crankshaft Damper Pulley
8. Timing Pulley Upper Cover
9. Timing Pulley Lower Cover
10. Flange; Camshaft Pulley
11. Timing Belt
Above works refer to “TIMING BELT (Belt Type)” Section
in this manual.
6A1 – 74 4JB1/4JB1T/4JB1TC/4JG2 - ENGINE

12. Crankshaft Pulley Center


• Remove the pulley center by using special tool.
Remover: 5-8840-0161-0
13. Crankshaft Timing Pulley
14. Front Oil Seal
• Remove the oil seal by using special tool.
• With the oil seal pushed in deep, install the special tool
as shown in the illustration to remove the oil seal.
Front oil seal remover: 5-8840-2362-0
NOTE:
Take care not to damage sealing surface of front plate
and crankshaft when removing oil seal.

6A1-74-1.tif

INSTALLATION
14. Front Oil Seal
• Install the oil seal by using special tool.
Installer: Front oil seal: 5-8840-2361-0
1) With the sleeve attached to the oil seal, put it in the
front end of the crankshaft.
2) With the edge portion of the oil seal attached securely
to the crankshaft, tighten it with the center bolt until the
sleeve hits securely against the reference plane at the
6A1-74-2.tif
front end of the crankshaft.
3) Remove the sleeve.
4) After pressing in the seal, check the measurement of
the oil seal.
Standard mm (in)
0.6 - 1.2 (0.024 - 0.047)

NOTE:
• Install the oil seal after assembling the timing
pulley housing.
• The lip portion of the oil seal is applied with oil.
• Take note of the press-in direction of the oil seal.

13. Crankshaft Timing Pulley

12. Crankshaft Pulley Center


• Install the timing pulley center and tighten bolt to the
specified torque.
Pulley Center Bolt Torque N∙m (kg∙m/lb∙ft)
206 (21/152)

6A1-74-3.tif
4JB1/4JB1T/4JB1TC/4JG2 – ENGINE 6A1 – 75

11. Timing Belt


10. Flange; Camshaft Pulley
9. Timing Pulley Lower Cover
8. Timing Pulley Upper Cover
7. Crankshaft Damper Pulley
6. Power Steering Pump Bracket Assembly (P/S Model)
5. AC Generator Drive Belt
4. A/C Compressor Drive Belt (A/C Model)
3. Power Steering Pump Drive Belt (P/S pump Model)
2. Fan Shroud
1. Cooling Fan Assembly
Above works refer to “TIMING BELT (Belt Type)” Section
in this manual.
6A1 – 76 4JB1/4JB1T/4JB1TC/4JG2 - ENGINE

CRANKSHAFT REAR OIL SEAL (Gear & Belt Drive Type)

Removal steps
1. Transmission and clutch Assembly
2. Flywheel
3. Rear oil seal

Installation steps
To install, follow the removal steps in the
reverse order.

6A1-76-1.tif

REMOVAL
Preparation:
• Disconnect battery ground cable
1. Transmission and Clutch Assembly
• Raise vehicle and support with suitable safely.
1) Transmission
! Transmission
• Reference mark the flange yoke to the parking brake
drum.
• Disconnect the propeller shaft at flange yoke.
• Put aside the propeller shaft and tie it to the frame so
that it does not interface with servicing work.

6A1-76-2.tif

" Parking Brake Cable


• Move the joint cover.
• Disconnect the joint bolt.
• Remove the clip then disconnect the cable from the
bracket.

6A1-76-3.tif
4JB1/4JB1T/4JB1TC/4JG2 – ENGINE 6A1 – 77

# Wiring Connector
• Disconnect the wiring connectors from the car speed
sensor, the neutral switch and the back-up light switch.
$ Shift Cable and Select Cable
• Disconnect the shift cable and select cable on the
transmission side.

6A1-77-1.tif

% Clutch Slave Cylinder


• Remove the clutch pipe fixing clips and the clip
bracket (Right hand drive models only).

6A1-77-2.tif

• Remove the slave cylinder assembly with the flexible


hose attached, and then tie it to the frame so that it
does not interface with servicing work.

6A1-77-3.tif

& Exhaust Brake Assembly


' Front Exhaust Pipe

6A1-77-4.tif
6A1 – 78 4JB1/4JB1T/4JB1TC/4JG2 - ENGINE

( Transmission Assembly
NOTE:
The exhaust pipe bracket, the gear control bracket
and the clips are sometimes installed in the wrong
position or direction confusedly. To prevent incorrect
installation of these parts, put a correct installation
mark on them.
• Support the transmission with mission jack.

CAUTION:
To prevent the falling of the transmission, tie it firmly
to the jack with a chain or belt.
Do not allow transmission to hang unsupported from
clutch. Damage to the clutch assembly will result.

6A1-78-1.tif

• Remove the nuts of the transmission mounting bracket


on the crossmember side.
• Engine and transmission angles may need to be
adjusted for removal.
• Hold the rear section of the engine by the jack or hoist.

CAUTION:
When lifting the engine by the jack, use wood blockes
to prevent any possible damage to the oil pan.
• Remove transmission fastening bolts.
• Pull out the transmission assembly rearward.
) Mounting Bracket
4JB1/4JB1T/4JB1TC/4JG2 – ENGINE 6A1 – 79

2) Clutch
• Raise vehicle and support with suitable safety stands.

CAUTION:
Do not let clutch fluid remain on a painted surface,
Wash it off immediately.

! Pressure Plate Assembly


" Driven Plate Assembly
• Use the pilot aligner to prevent the driven plate
assembly from falling free.
Pilot Aligner: 5-5825-3001-0
• Mark the flywheel and pressure plate lug for alignment
when installing.
• Loosen the pressure plate assembly fixing bolts.

2. Flywheel
6A1-79-1.tif

3. Rear Oil Seal


• With the oil seal pushed in deep, install the special tool
as shown in the illustration to remove the oil seal.
• Rear oil seal Remove: 5-8840-2360-0

NOTE:
Take care not to damage the crankshaft or oil seal
retainer when removing oil seal.

6A1-79-2.tif
6A1 – 80 4JB1/4JB1T/4JB1TC/4JG2 - ENGINE

INSTALLATION
3. Rear Oil Seal
• Use the oil seal installer the oil seal to the cylinder
body.
Rear oil seal Install: 5-8840-2359-0

NOTE:
Wipe off rust and scraps clean from the press-in
portion of the oil seal.
6A1-80-1.tif
Take note of the press-in direction of the oil seal.
1) Install the adapter of the special tool to the rear end of
the crankshaft with two bolts.
2) Install the oil seal to the outer circumference of the
adapter.
3) Insert the sleeve into the adapter portion, and tighten it
in with the bolt (M12x1.75L=70) until the adapter
section hits the sleeve.
4) Remove the adapter and the sleeve.
5) After installing the oil seal, check the measurement of
the oil seal.
Standard mm (in)
12.2 - 12.8 (0.48 - 0.50)

2. Flywheel
• Apply engine oil to fixing bolts.
• Tighten the flywheel bolts to the specified torque in two
steps using the Angular Tightening Method.
Follow the numerical order shown in the illustration.
Flywheel Bolt Torque N∙m (kg∙m/lb∙ft)
1st Step 2nd Step
59 (6.0/43) 60° - 90°
6A1-80-2.tif
1. Transmission and Clutch Assembly
2) Clutch

" Driven Plate Assembly


• Apply multi-purpose with MOS2 type grease to the
driven plate hub spline.
• Use the pilot aligner to install the driven plate
assembly.
Pilot Aligner: 5-5825-3001-0

6A1-80-3.tif
4JB1/4JB1T/4JB1TC/4JG2 – ENGINE 6A1 – 81

! Pressure Plate Assembly


• Tighten pressure plate assembly fixing bolts in
numerical order.
Pressure Plate Fixing Bolt Torque N∙m (kg∙m/lb∙ft)
18 (1.8/13)

• Remove the pilot aligner.

NOTE:
6A1-81-1.tif
In case a new pressure plate assembly is mounted,
after tightening a pressure plate at the specified
torque, be sure to remove the wiring for protection of
a diaphragm spring.
1) Transmission
) Mounting Bracket
Mounting Bracket Nuts Torque N∙m (kg∙m/lb∙ft)
69 (7.0/51)

( Transmission Assembly
• Support the transmission with mission jack.
CAUTION:
To prevent the falling of the transmission, tie it
securely to the jack with a chain or belt.
• Shift transmission into high gear.
• Align transmission with engine slope.
• Turn output parking brake drum to aid clutch spring
engagement.
6A1-81-2.tif

Clutch Housing to Flywheel


Hosing Bolts Torque N∙m (kg∙m/lb∙ft)
M10 : 46 (4.7/34)
M12 : 91 (9.3/67)

• Raise engine and transmission up into rear


transmission mount.
Engine Rear Mounting Nuts
and Bolts Torque N∙m (kg∙m/lb∙ft)
M10 : 40 (4.1/30)
M12 : 69 (7.0/51)

6A1-81-3.tif
6A1 – 82 4JB1/4JB1T/4JB1TC/4JG2 - ENGINE

' Front Exhaust Pipe


Front Exhaust Pipe Bolts Torque N∙m (kg∙m/lb∙ft)
37 (3.8/27)

& Exhaust Brake Assembly


Exhaust Brake Bolts Torque N∙m (kg∙m/lb∙ft)
17 (1.8/12)

% Clutch Slave Cylinder


Slave Cylinder Bolts Torque N∙m (kg∙m/lb∙ft)
19 (1.9/14)

• Perform slave cylinder adjustment before installation


of the return spring.
a) Loosen the lock nut of the push rod.
b) Turn the adjust nut until it reaches the shift fork.
c) Back off the adjust nut 1.5 turns. (shift fork free
play Approximately 2 mm/0.1 in).
d) Tighten the lock nut.
Push Rod Lock Nut Torque N∙m (kg∙m/lb∙ft)
16 (1.6/12)

$ Shift Cable and Select Cable


# Wiring Connector
• Color of Connector
Back-up Light Switch: Brown
Neutral Switch: Gray
" Parking Brake Cable
! Propeller Shaft
• Line up reference mark.
Propeller Shaft Nuts Torque N∙m (kg∙m/lb∙ft)
66 (6.7/48)

• Connect battery ground cable.


4JB1/4JB1T/4JB1TC/4JG2 – ENGINE 6A1 – 83

FLYWHEEL AND PILOT BEARING

Removal steps
1. Transmission and clutch Assembly
2. Pilot bearing
3. Flywheel

Installation steps
To install, follow the removal steps in the
reverse order.

6A1-83-1.tif

REMOVAL
Preparation:
• Disconnect battery ground cable.
1. Transmission and Clutch Assembly
1) Transmission
2) Clutch
Above works refer to “ENGINE ASSEMBLY” Section in
this manual.

2. Pilot Bearing
• Remove pilot bearing using remover.
Pilot Bearing Puller: 5-8840-2000-0
Sliding hammer: 5-8840-0019-0
3. Flywheel
• Set the flywheel stopper.
• Loosen flywheel fixing bolts then remove the flywheel.

6A1-83-2.tif
6A1 – 84 4JB1/4JB1T/4JB1TC/4JG2 - ENGINE

INSTALLATION
3. Flywheel
• Apply engine oil to fixing bolts.
• Tighten the flywheel bolts to the specified torque in two
steps using the Angular Tightening Method.
Follow the numerical order shown in the illustration.
Flywheel Bolt Torque N∙m (kg∙m/lb∙ft)
1st Step 2nd Step
6A1-84-1.tif
59 (6.0/43) 60° - 90°

2. Pilot Bearing
• Install the pilot bearing using installer.
Pilot bearing Installer: 5-8522-0024-0

6A1-84-2.tif

1. Transmission and Clutch Assembly


2) Clutch
1) Transmission
Above works refer to “ENGINE ASSEMBLY” Section in
this manual.
4JB1/4JB1T/4JB1TC/4JG2 – ENGINE 6A1 – 85

CRANKSHAFT AND MAIN BEARINGS

10a

Removal steps
1. Transmission and clutch Assembly
2. Engine Assembly
3. Cylinder head Assembly and
gasket
4. Timing gear (Gear drive model)
4a. Timing belt (Belt drive model)
5. Oil pan Assembly
6. Oil pump Assembly
7. Piston cooling oil pipe
8. Piston and connecting rod
Assembly
9. Front oil seal
10. Timing gear housing
10a. Timing pulley housing
11. Water pump Assembly
12. Flywheel and rear plate
8 13. Rear oil seal
14. Crankshaft and main bearing

Installation steps
To install, follow the removal steps in
the reverse order.

6A1-85-1.tif
6A1 – 86 4JB1/4JB1T/4JB1TC/4JG2 - ENGINE

REMOVAL
Preparation:
• Disconnect battery ground cable.
• Drain coolant from the radiator and engine.
1. Transmission and Clutch Assembly
1) Transmission
2) Clutch
Above works refer to “ENGINE ASSEMBLY” Section in
this manual.
2. Engine Assembly
1) Radiator assembly
2) Intake air duct
3) Heater hose
4) Engine control cable
5) Glow plug harness
6) Fuel hose
7) Oil pressure switch harness
8) A/C compressor assembly
9) Power steering pump bracket assembly (Power
Steering Model)
10) Actuator vacuum hose (Exh. Brake Model)
11) Vacuum pump hose (Exh. Brake Model)
12) Front exhaust pipe
13) Support rubber
14) Engine assembly
Above works refer to “ENGINE ASSEMBLY” Section in
this manual.
3. Cylinder Head Assembly and Gasket
1) Injection pipe
2) Leak off pipe
3) PCV hose
4) Glow plug harness
5) Oil level gauge guide tube
6) Oil cooler water pipe (Oil Cooler Model)
7) By-pass hose
8) Cylinder head cover
9) Rocker arm shaft
10) Push rod
11) Cylinder head assembly
12) Cylinder head gasket
Above works refer to “CYLINDER HEAD ASSEMBLY
AND GASKET” Section in this manual.
4JB1/4JB1T/4JB1TC/4JG2 – ENGINE 6A1 – 87

4. Timing Gear (Gear Drive Model)


1) Cooling fan assembly
2) Crankshaft damper pulley
3) Noise shield cover
4) Noise cover spacer
5) Timing gear case cover
6) Oil pipe
7) Idle gear
8) Idle gear “B" and shaft
9) Injection pump
10) Camshaft timing gear
Above works refer to “TIMING GEAR (Gear Type)”
Section in this manual.
11) Crankshaft gear
• Use the crankshaft timing gear remover ! to remove
the crankshaft gear ".
Crankshaft Timing Gear Remover: 5-8840-2057-0

6A1-87-1.tif

4a. Timing Belt (Belt Drive Model)


1) Cooling fan assembly
2) Crankshaft damper pulley
3) Timing pulley upper cover
4) Timing pulley lower cover
5) Flange: camshaft pulley
6) Flange: injection pump pulley
7) Timing belt
Above works refer to “TIMING BELT (Belt Type)”
Section in this manual.
8) Crankshaft timing pulley center
• Use the fixing wrench to prevent the crankshaft from
turning.
Fixing Wrench: 5-8840-0161-0
• Remove the timing pulley center from the crankshaft.

6A1-87-2.tif
6A1 – 88 4JB1/4JB1T/4JB1TC/4JG2 - ENGINE

9) Crankshaft timing pulley


• Block the crankshaft with a piece of hard wood.
• Use the crankshaft timing pulley puller to remove the
timing pulley.
Crankshaft Timing Pulley Puller: 5-8840-2035-0

6A1-88-1.tif

10) Injection pump timing pulley


11) Injection pump
Above works refer to “CYLINDER BLOCK
ASSEMBLY” Section in this manual.
12) Camshaft timing pulley
5. Oil Pan Assembly
6. Oil Pump Assembly
Above works refer to “CAMSHAFT AND TAPPET” Section
in this manual.
7. Piston Cooling Oil Pipe
• Remove the oil pipe from cylinder block.

6A1-88-2.tif

8. Piston and Connecting Rod Assembly


• If the connecting rod lower bearings are to be
reinstalled, mark their fitting positions by tagging each
bearing with the cylinder number from which it was
removed.

6A1-88-3.tif

• Remove carbon deposits from the upper portion of the


cylinder wall with a scraper before removing the piston
and connecting rod.
Move the piston to the top of the cylinder and tap it
with a hammer grip or similar object from the
connecting rod lower side to drive it out.

6A1-88-4.tif
4JB1/4JB1T/4JB1TC/4JG2 – ENGINE 6A1 – 89

• If the connecting rod upper bearings are to be


reinstalled, mark their fitting positions by tagging each
bearing with the cylinder number from which it was
removed.

6A1-89-1.tif

9. Front Oil Seal (Belt Drive Model)


• With the oil seal pushed in deep, install the special tool
as shown in the illustration to remove the oil seal.
Front Oil Seal Remover: 5-8840-2362-0

6A1-89-2.tif

10. Timing Gear Housing


10a. Timing Pulley Housing
11. Water Pump Assembly
12. Flywheel and Cylinder Body Rear Plate
• Set the flywheel stopper.
• Loosen the flywheel fixing bolts then remove the
flywheel.
• Remove the cylinder block rear plate.
13. Rear Oil Seal (Gear and Belt Drive Model)
• With the oil seal pushed in deep, install the special tool
as shown in the illustration to remove the oil seal.
Rear Oil Seal Remover: 5-8840-2360-0
NOTE:
Take care not to damage sealing surface of front plate
and crankshaft when removing oil seal.

6A1-89-3.tif

14. Crankshaft and Main Bearing


1) Remove the main bearing caps and thrust washer.
2) Remover the crankshaft with care.
3) Remove the crankshaft upper bearing.

6A1-89-4.tif
6A1 – 90 4JB1/4JB1T/4JB1TC/4JG2 - ENGINE

INSTALLATION
14. Crankshaft and Main Bearings
• The crankshaft upper bearings have an oil hole and an
oil groove. The lower bearings do not…
• Install main bearings in the cylinder body and main
bearing cap respectively.
• Apply new engine oil to upper and lower main
bearings.
• Make sure that main bearing are in correct position.
6A1-90-1.tif

• Carefully wipe any foreign material from the upper


bearing.
• Install the main bearings to the cylinder body and the
main bearing caps.
NOTE:
Do not apply engine oil to the bearing back faces and
the cylinder body bearing fitting surfaces.
• Be sure that they are positioned correctly.
• Apply new engine oil to the upper and lower main
bearing faces.
6A1-90-2.tif

• Carefully mount the crankshaft.


• Apply engine oil to the thrust washer.
• Install thrust washer on No.3 journal.
Oil grooves in thrust washer must face the crankshaft.

6A1-90-3.tif

• Apply the recommended liquid gasket or its equivalent


to the No.5 crankshaft bearing cap cylinder body fitting
surfaces at points and shown in the illustration.
NOTE:
Be sure that the bearing cap fitting surface is
completely free of oil before applying the liquid
gasket.
Do not allow the liquid gasket to obstruct the cylinder
thread holes and bearings.

6A1-90-4.tif
4JB1/4JB1T/4JB1TC/4JG2 – ENGINE 6A1 – 91

• Install the bearing caps with the bearing cap head


arrow mark facing the front of the engine.
• Apply engine oil to the front of the engine.
• Tighten the crankshaft bearing cap bolts to the
specified torque a little at a time in the sequence
shown in the illustration.
N∙m (kg∙m/lb∙ft)
167 (17.0/123)

6A1-91-1.tif NOTE:
Check to see that the crankshaft turns smoothly by
rotating it manually.

13. Crankshaft Rear Oil Seal


Use the oil seal installer to install the oil seal to the cylinder
body.
Rear Oil Seal Installer: 5-8840-2361-0
NOTE:
Wipe off rust and scraps clean from the press-in
portion of the oil seal.
Take note of the press-in direction of the oil seal.
1) Install the adapter of the special tool to the rear end of
6A1-91-2.tif
the crankshaft with two bolts.
2) Install the oil seal to the outer circumference of the
adapter.
3) Insert the slave into the adapter portion, and tighten it
in with the bolt (M12x1.75L=70) until the adapter
section hits the slave.
4) Remove the adapter and the slave.
5) After installing the oil seal, check the measurement of
the oil seal.
Standard mm (in)
12.2 - 12.8 (0.48 - 0.50)

12. Flywheel and Cylinder Body Rear Plate


• Align the rear plate with the cylinder body knock pins.
• Tighten the rear plate to the specified torque.
Rear Plate Bolts Torque N∙m (kg∙m/lb∙ft)
82 (8.4/61)

6A1-92-3.tif
6A1 – 92 4JB1/4JB1T/4JB1TC/4JG2 - ENGINE

• Block the crankshaft with a piece of hard wood to


prevent the flywheel form turning.
• Apply a coat of engine oil to the threads of the flywheel
bolts.
• Align the flywheel with the crankshaft dowel pin.
• Tighten the flywheel bolts to the specified torque in two
steps using the Angular Tightening Method.
Follow the numerical order shown in the illustration.
Flywheel Bolt Torque N∙m (kg∙m/lb∙ft)
1st Step 2nd Step
6A1-92-1.tif

59 (6.0/43) 60° - 90°

11. Water Pump Assembly


• Fit the O-ring to the water pump body.
• Remove the water pump assembly and tighten bolts to
the specified torque.
Water Pump Bolt Torque N∙m (kg∙m/lb∙in)
20 (2.0/14)

6A1-92-2.tif

10a. Timing Pulley Housing


• Install the timing pulley housing the cylinder body.
Take care not to twist the front oil seal.
• Tighten the timing pulley housing together with the
timing pulley housing gasket to the specified torque.
Timing Pulley Housing Bolt Torque N∙m (kg∙m/lb∙ft)
19 (1.9/14)

• Cut away the flash from the gasket.


6A1-92-3.tif

10. Timing Gear Housing


• Install the timing gear housing the cylinder body.
• Tighten the timing gear housing together with the
timing gear housing gasket to the specified torque.
Timing Gear Housing Bolt Torque N∙m (kg∙m/lb∙ft)
19 (1.9/14)

• Cut away the flash from the gasket.

9. Front Oil Seal (Belt Drive Model)


• Install oil seal using special tool.
Front Oil Seal Installer: 5-8840-2361-0
Notes:
Wipe off rust and scraps clean from the press-in
portion of the oil seal.
Take note of the press-in direction of the oil seal.
1) With the oil seal attached to the sleeve, put it in the
front end of the crankshaft.
6A1-92-4.tif
4JB1/4JB1T/4JB1TC/4JG2 – ENGINE 6A1 – 93

2) With the edge of the oil seal attached securely to the


crankshaft, tighten it with the center bolt until the
sleeve hits securely against the reference plane at the
front end of the crankshaft.
3) Remove the sleeve.
4) After pressing in the oil seal, check the measurement
of the oil seal.
Standard mm (in)
0.6 - 1.2 (0.024 - 0.047)
8. Piston and Connecting Rod Assembly
7. Piston Cooling Oil Pipe
Above works refer to “PISTON” Section in this manual.
6. Oil Pump Assembly
5. Oil Pan Assembly
Above works refer to “OIL PUMP AND OIL PAN” Section
in this manual.
4a. Timing Belt (Belt Drive Model)
12) Camshaft timing pulley
Above works refer to “CAMSHAFT AND TAPPET”
Section in this manual.
11) Injection pump
10) Injection pump timing pulley
Above works refer to “CYLINDER BLOCK
ASSEMBLY” Section in this manual.
9) Crankshaft timing pulley
• Use the crankshaft timing pulley installer to install the
timing pulley.
• The timing pulley flange must be facing the cylinder
body.
Crankshaft Timing Pulley Installer: 5-8522-0020-0

6A1-93-1.tif

8) Crankshaft timing pulley center


• Install the crankshaft pulley center.
• Use the fixing wrench to prevent the crankshaft from
turning.
Fixing Wrench: 5-8840-0161-0
• Tighten the crankshaft pulley center bolt to the
specified torque.
Crankshaft Pulley Center Bolt Torque N∙m (kg∙m/lb∙ft)
206 (21/152)
6A1-93-2.tif

7) Timing belt
6) Flange: camshaft pulley
5) Flange: injection pump pulley
4) Timing pulley lower cover
3) Timing pulley upper cover
6A1 – 94 4JB1/4JB1T/4JB1TC/4JG2 - ENGINE

2) Crankshaft damper pulley


1) Cooling fan assembly
Above works refer to “TIMING GEAR (Belt Type)”
Section in this manual.
4. Timing Gear (Gear Drive Model)
11) Crankshaft gear
• Install the crankshaft gear.
• Use the crankshaft gear installer ! to install the
crankshaft gear ".
• The crankshaft gear timing mark ("X-X") must be
facing outward.
Crankshaft Gear Installer: 9-8522-0020-0

6A1-94-1.tif

10) Camshaft timing gear


9) Injection pump
8) Idler gear "B" and shaft
7) Idle gear
6) Timing gear oil pipe
5) Timing gear case cover
4) Noise cover spacer
3) Noise shield cover
2) Crankshaft damper pulley
1) Cooling fan assembly
Above works refer to “TIMING GEAR (Gear Type)”
Section in this manual.

3. Cylinder Head Assembly and Gasket


12) Cylinder head gasket
11) Cylinder head assembly
10) Push rod
9) Rocker arm shaft assembly
Valve Clearance Adjustment
8) Cylinder head cover
7) By-pass hose
6) Oil cooler water pipe (Oil Cooler Model)
5) Oil level gauge guide tube
4) Glow plug harness connector
3) PCV hose
2) Fuel leak off pipe
1) Injection pipe
Above works refer to “CYLINDER HEAD ASSEMBLY
AND GASKET” Section in this manual.
4JB1/4JB1T/4JB1TC/4JG2 – ENGINE 6A1 – 95

2. Engine Assembly
13) Support rubber
12) Front exhaust pipe
11) Vacuum pump hose
10) Actuator vacuum hose (Exhaust Brake Model)
9) Power steering pump & bracket assembly (Power
Steering Model)
8) A/C compressor assembly (A/C Model)
7) Oil pressure switch harness
6) Fuel hose
5) Glow plug harness
4) Engine control cable
3) Heater hose
2) Intake air duct
1) Radiator assembly
Above works refer to “ENGINE ASSEMBLY” Section in
this manual.

1. Transmission and Clutch Assembly


2) Clutch
1) Transmission
Above works refer to “ENGINE ASSEMBLY” Section in
this manual.
6A1 – 96 4JB1/4JB1T/4JB1TC/4JG2 - ENGINE

ENGINE ASSEMBLY

Removal steps
1. Transmission and clutch Assembly
2. Radiator Assembly
3. Intake air duct
4. Heater hose
5. Engine control cable
6. Glow plug harness
7. Fuel hose
8. Oil pressure switch harness
9. A/C Compressor Assembly.
(A/C model)
10. Power steering pump & bracket
Assembly
(Power steering model)
11. Actuator vacuum hose
(Exhaust brake model)
12. Vacuum pump hose
13. Front exhaust pipe
14. Support rubber
15. Engine Assembly

Installation steps
To install, follow the removal steps in
the reverse order.

6A1-96-1.tif

REMOVAL
Preparation:
• Disconnect Battery Ground Cable
• Drain Coolant
4JB1/4JB1T/4JB1TC/4JG2 – ENGINE 6A1 – 97

1. Transmission and Clutch Assembly


• Raise vehicle and support with suitable safely.
1) Transmission
! Propeller Shaft
• Reference mark the flange yoke to the parking brake
drum.
• Disconnect the propeller shaft at flange yoke.
• Put aside the propeller shaft and tie it to the frame so
that it does not interface with servicing work.

6A1-97-1.tif

" Parking Brake Cable


• Move the joint cover.
• Disconnect the joint bolt.
• Remove the clip then disconnect the cable from the
bracket.

6A1-97-2.tif

# Wiring Connector
• Disconnect the wiring connectors from the car speed
sensor, the neutral switch and the back-up light switch.
$ Shift Cable and Select Cable
• Disconnect the shift cable and select cable on the
transmission side.

6A1-97-3.tif
6A1 – 98 4JB1/4JB1T/4JB1TC/4JG2 - ENGINE

% Clutch Slave Cylinder


• Remove the clutch pipe fixing clips and the clip
bracket (Right hand drive models only).

6A1-98-1.tif

• Remove the slave cylinder assembly with the flexible


hose attached, and then tie it to the frame so that it
does not interface with servicing work.

6A1-98-2.tif

& Exhaust Brake Assembly


' Front Exhaust Pipe

6A1-98-3.tif

( Transmission Assembly
NOTE:
The exhaust pipe bracket, the gear control bracket
and the clips are sometimes installed in the wrong
position or direction confusedly. To prevent incorrect
installation of these parts, put a correct installation
mark on them.
• Support the transmission with mission jack.
CAUTION:
To prevent the falling of the transmission, tie it firmly
to the jack with a chain or belt.
Do not allow transmission to hang unsupported from
clutch. Damage to the clutch assembly will result.

6A1-98-4.tif
4JB1/4JB1T/4JB1TC/4JG2 – ENGINE 6A1 – 99

• Remove the nuts of the transmission mounting bracket


on the crossmember side.
• Engine and transmission angles may need to be
adjusted for removal.
• Hold the rear section of the engine by the jack or hoist.
CAUTION:
When lifting the engine by the jack, use wood blocks
to prevent any possible damage to the oil pan.
• Remove transmission fastening bolts.
• Pull out the transmission assembly rearward.
) Mounting Bracket
2) Clutch
• Raise vehicle and support with suitable safety stands.
CAUTION:
Do not let clutch fluid remain on a painted surface,
Wash it off immediately.
! Pressure Plate Assembly
" Driven Plate Assembly
• Use the pilot aligner to prevent the driven plate
assembly from falling free.
Pilot Aligner: 5-5825-3001-0
• Mark the flywheel and pressure plate lug for alignment
when installing.
• Loosen the pressure plate assembly fixing bolts.

6A1-99-1.tif
6A1 – 100 4JB1/4JB1T/4JB1TC/4JG2 - ENGINE

2. Radiator Assembly
1) Remove the radiator hose upper and lower.
2) Remove the reservoir tank hose
3) Remove the cushion rubbers on both sides.
4) Remove the radiator stay.

6A1-100-1.tif

3. Intake Air Duct


4. Heater Hose
5. Engine Control Cable
• Loosen the locking nut at the bracket and disconnect
accelerator cable from injection pump control lever.
6. Glow Plug Harness
7. Fuel Hose
• Remove the fuel inlet hose and fuel return hose.
8. Oil Pressure Switch Harness
6A1-100-2.tif

9. A/C Compressor Assembly


• Loosen the idler pulley lock nut.
• Loosen the adjust bolt then remove the drive belt.

6A1-100-3.tif

• Disconnect magnetic clutch harness connector.


• Remove the A/C compressor fixing bolts and
temporally tighten the A/C compressor to chassis
frame side use the wire.

6A1-100-4.tif
4JB1/4JB1T/4JB1TC/4JG2 – ENGINE 6A1 – 101

10. Power Steering Pump & Bracket Assembly (Power


Steering Model)
1) Loosen the idler pulley lock nut.
2) Loosen the adjust bolt then remove the drive belt.
3) Remove the pipe bracket fixing bolt and clip.
4) Remove the power steering pump fixing bolts pump to
chassis frame side use the wire.

6A1-101-1.tif

11. Actuator Vacuum Hose (Exh. Brake Model)


• Disconnect the vacuum hose from actuator side.

6A1-101-2.tif

12. Vacuum Pump Hose (Exh. Brake Model)


• Disconnect the vacuum hose from vacuum tank side
and magnetic valve side.

6A1-101-3.tif

13. Front Exhaust Pipe


• Remove the exhaust pipe fixing bolts from exhaust
manifold.
• Remove the exhaust pipe stay bolt.
• Remover the fixing nuts from front pipe.

6A1-101-4.tif

14. Support Rubber


1) Right Hand
• Remove two fixing nuts at the crossmember side.

6A1-101-5.tif
6A1 – 102 4JB1/4JB1T/4JB1TC/4JG2 - ENGINE

2) Left Hand
• Remove two fixing nuts at the crossmember side.
15. Engine Assembly
1) Lift engine carefully by using hoist.
2) Lift front part of engine higher than rear part of it.
3) Take out engine assembly taking care not to damage
full pipes, brake pipes and etc.

6A1-102-1.tif
4JB1/4JB1T/4JB1TC/4JG2 – ENGINE 6A1 – 103

INSTALLATION
15. Engine Assembly
• Position engine mountings by using hoist.
14. Support Rubber
• After all fixing bolts (left:two bolts, right:two bolts) were
inserted to every holes, and engine asm and tighten
fixing bolts to the specified torque.
N∙m (kg∙m/lb∙ft)
40 (4.1/30)

6A1-103-1.tif

13. Front Exhaust Pipe


• Connect the exhaust pipe and tighten nut to the
specified torque.
Exhaust Pipe Nut Torque N∙m (kg∙m/lb∙ft)
69 (7.0/51)

• Install the exhaust pipe stay and tighten bolt nut to the
specified torque.
Stay Bolt Nut Torque N∙m (kg∙m/lb∙ft)
6A1-103-2.tif
40 (4.1/30)

12. Vacuum Pump Hose (Exh. Brake Model)


• Connect the vacuum hose to vacuum tank side and
magnetic valve side.

6A1-103-3.tif

11. Actuator Vacuum Hose (Exh. Brake Model)


• Connect the vacuum hose to actuator.

6A1-103-4.tif
6A1 – 104 4JB1/4JB1T/4JB1TC/4JG2 - ENGINE

10. Power Steering Pump & Bracket Assembly (Power


Steering Model)
• Install the power steering pump and pipe bracket then
tighten bolts to the specified torque.
Pump Bolts Torque N∙m (kg∙m/lb∙ft)
19 (1.9/14)

Pipe Bracket Bolts Torque N∙m (kg∙m/lb∙ft)


19 (1.9/14)
6A1-104-1.tif

Clip Bolt Torque N∙m (kg∙m/lb∙in)


10 (1.0/87)

• Install Power Steering pump drive belt and adjust belt


tension.
Check drive belts for wear or damage, and replace
with new ones as necessary.
Check belts for tension, and adjust as necessary.
• Push the middle of belts with a force of 10kg and
check each bolt for deflection.
• Standard deflection
mm (in)
6A1-104-2.tif Initial tension
P/S pump drive belt 8 - 12 (0.31 - 0.47)

• P/S pump lock bolt loose, adjust belt tension with


adjust belt.
Idler Lock Nut Torque N∙m (kg∙m/lb∙ft)
27 (2.8/20)

6A1-104-3.tif

9. A/C Compressor Assembly (A/C Model)


• Install the A/C compressor fixing bolts and tighten
bolts to the specified torque.
Compressor Fixing Bolts Torque N∙m (kg∙m/lb∙ft)
37 (3.8/27)

• Connect the magnetic clutch harness connector.

6A1-104-4.tif
4JB1/4JB1T/4JB1TC/4JG2 – ENGINE 6A1 – 105

• Install A/C compressor drive belt and adjust belt


tension.
Check drive belts for wear or damage, and replace
with new ones as necessary. Check belts for tension,
and adjust as necessary.
• Push the middle of belts with a force of 10kg and
check each bolt for deflection.
• Standard deflection
mm (in)

6A1-105-1.tif
Initial tension
A/C compressor drive belt 8 - 12(0.31 - 0.47)

• A/C compressor pulley lock bolt loose, adjust belt


tension with adjuster's adjust bolt.
Idler Lock Nut Torque N∙m (kg∙m/lb∙ft)
27 (2.8/20)

8. Oil Pressure Switch Harness


• Connect the oil pressure switch harness connector.
7. Fuel Hose
• Connect the fuel feed hose and return hose then
tighten clip securely.
6. Glow Plug Harness
• Install the harness connector then tighten bolt
securely.
5. Engine Control Cable
1) Install the control wire to the engine control lever.
2) Hold accelerator lever in the fully closed position and
stretch the control cable in the direction indicated by
the arrow to remove any slack.
3) Tighten the accelerator cable bracket bolt.

6A1-105-2.tif
6A1 – 106 4JB1/4JB1T/4JB1TC/4JG2 - ENGINE

4. Heater Hose
• Connect the heater hose then tighten clip securely.
3. Intake Air Duct
• Connect the air duct then tighten clip securely.

6A1-106-1.tif

2. Radiator Assembly
1) Install the cushion rubber on both sides.
2) Install the radiator stay
3) Connect the radiator hose upper and lower.
4) Connect the reservoir tank hose.

6A1-106-2.tif

1. Transmission and Clutch Assembly


2) Clutch
" Driven Plate Assembly
• Apply multi-purpose with MOS2 type grease to the
driven plate hub spline.
• Use the pilot aligner to install the driven plate
assembly.
Pilot Aligner: 5-5825-3001-0

6A1-106-3.tif

! Pressure Plate Assembly


• Tighten pressure plate assembly fixing bolts in
numerical order.
Pressure Plate Fixing Bolt Torque N∙m (kg∙m/lb∙ft)
18 (1.8/13)

• Remove the pilot aligner.

NOTE:
6A1-106-4.tif
In case a new pressure plate assembly is mounted,
after tightening a pressure plate at the specified
torque, be sure to remove the wiring for protection of
a diaphragm spring.
4JB1/4JB1T/4JB1TC/4JG2 – ENGINE 6A1 – 107

1) Transmission
) Mounting Bracket
Mounting Bracket Nuts Torque N∙m (kg∙m/lb∙ft)
69 (7.0/51)

( Transmission Assembly
• Support the transmission with mission jack.
CAUTION:
To prevent the falling of the transmission, tie it
securely to the jack with a chain or belt.
• Shift transmission into high gear.
• Align transmission with engine slope.
• Turn output parking brake drum to aid clutch spring
engagement.
6A1-107-1.tif

Clutch Housing to Flywheel


Housing Bolts Torque N∙m (kg∙m/lb∙ft)
M10 : 46(4.7/34)
M12 : 91(9.3/67)

• Raise engine and transmission up into rear


transmission mount.
Engine Rear Mounting Nuts
and Bolts Torque N∙m (kg∙m/lb∙ft)
M10 : 40(4.1/30)
M12 : 69(7.0/51)

6A1-107-2.tif
6A1 – 108 4JB1/4JB1T/4JB1TC/4JG2 - ENGINE

' Front Exhaust Pipe


Front Exhaust Pipe Bolts Torque N∙m (kg∙m/lb∙ft)
37 (3.8/27)

& Exhaust Brake Assembly


Exhaust Brake Bolts Torque N∙m (kg∙m/lb∙ft)
1 7(1.8/12)

% Clutch Slave Cylinder


Slave Cylinder Bolts Torque N∙m (kg∙m/lb∙ft)
19 (1.9/14)

• Perform slave cylinder adjustment before installation


of the return spring.
a) Loosen the lock nut of the push rod.
b) Turn the adjust nut until it reaches the shift fork.
c) Back off the adjust nut 1.5 turns. (shift fork free
play Approximately 2 mm/0.1 in).
d) Tighten the lock nut.
Push Rod Lock Nut Torque N∙m (kg∙m/lb∙ft)
16 (1.6/12)

$ Shift Cable and Select Cable


# Wiring Connector
• Color of Connector
Back-up Light Switch: Brown
Neutral Switch: Gray
" Parking Brake Cable
! Propeller Shaft
• Line up reference mark.
Propeller Shaft Nuts Torque N∙m (kg∙m/lb∙ft)
66 (6.7/48)

• Connect the battery ground cable


• Pour coolant
• Start the engine and check coolant leakage
HOME

ENGINE COOLING 6B - 1

SECTION 6B
ENGINE COOLING

CONTENTS
PAGE
General Description......................................................................................................... 6B - 1
On-Vehicle Service .......................................................................................................... 6B - 6
Water Pump.................................................................................................................. 6B - 6
Thermostat ................................................................................................................... 6B -10
Radiator ........................................................................................................................ 6B -12
Drive Belt Adjustment ................................................................................................. 6B -15

GENERAL DESCRIPTION

6B-1-1.tif
6B - 2 ENGINE COOLING

The cooling system is a pressurized coolant forced circulation


type which consists of water pump, thermostat cooling fan,
radiator and other components. The circulating coolant cools
the lubricating oil in the oil filter and turbocharger.

WATER PUMP
The coolant pump is a centrifugal impeller type and is driven by
V type drive belt.
The water pump is not disassembled type.

6B-2-1.tif

THERMOSTAT
The thermostat is a wax pellet type with a juggle valve and is
installed in the thermostat housing.

6B-2-2.tif

RADIATOR
The radiator is a tube type with corrugated fins. In order to
raise the boiling point of coolant, the radiator is adjusted
through a valve fitted to the upper tank to a pressure range of
2
93 - 123 kPa (0.95 - 1.25 kg/cm ). The cap fitted to the cylinder
head thermostat housing has only a water supply function.

6B-2-3.tif
ENGINE COOLING 6B - 3

Engine coolant change procedure


1. To change engine coolant, make sure that the engine is
cool.
WARNING:
When the coolant is heated to a high temperature, be
sure not to loosen or remove the radiator cap.
Otherwise you might get scalded by hot vapor or
boiling water. To open the radiator cap, put a piece of
thick cloth on the cap and loosen the cap slowly to
reduce the pressure when the coolant has become
cooler.
2. Open radiator cap and drain the cooling system by
loosening the drain valve on the radiator and on the
cylinder body.
NOTE:
For best result it is suggested that the engine cooling
system be flushed at least once a year. It is advisable
to flush the interior of the cooling system including the
radiator before using anti-freeze (ethylene-glycol
based).
Replace damaged rubber hoses as the engine anti-
freeze coolant is liable to leak out even minor cracks.
Isuzu recommends to use Isuzu genuine anti-freeze
(ethylene-glycol based) or equivalent, for the cooling
system and not add any inhibitors or additives.
CAUTION:
A failure to correctly fill the engine cooling system in
changing or topping up coolant may sometimes cause
the coolant to overflow from the filler neck even before
the engine and radiator are completely full.
If the engine runs under this condition, shortage of
coolant may possibly result in engine overheating. To
avoid such trouble, the following precautions should
be taken in filling the system.
3. To refill engine coolant, pour coolant up to filler neck using
a filling hose which is smaller in outside diameter of the
filler neck.
Otherwise air between the filler neck and the filling hose
will block entry, preventing the system from completely
filling up.
4. Keep a filling rate of 9 liter/min. or less. Filling over this
maximum rate may force air inside the engine and radiator.
And also, the coolant overflow will increase, making it
difficult to determine, whether or not the system is
completely full.
5. After filling the system to the full, pull out the filling hose
and check to see if air trapped in the system is dislodged
and the coolant level goes down. Should the coolant level
go down, repeat topping-up until there is no more drop in
the coolant level.
6. After directly filling the radiator, fill the reservoir to the
maximum level.
6B - 4 ENGINE COOLING

7. Install and tighten radiator cap and start the engine. After
idling for 2 to 3 minutes, stop the engine and reopen
radiator cap. If the water level is lower, replenish.
WARNING:
When the coolant is heated to a high temperature, be
sure not to loosen or remove the radiator cap.
Otherwise you might get scalded by hot vapor or
boiling water. To open the radiator cap, put a piece of
thick cloth on the cap and loosen the cap slowly to
reduce the pressure when the coolant has become
cooler.
8. After tightening radiator cap, warm up the engine at about
2,000 rpm.
Set heater adjustment to the highest temperature position,
and let the coolant circulate also into heater water system.
9. Check to see the thermostat has opened through the
needle position of water thermometer, conduct a
5 minutes idling again and stop the engine.
10. When the engine has been cooled, check filler neck for
water level and replenish if required. Should extreme
shortage of coolant is found, check the coolant system and
reservoir tank hose for leakage.
11. Fill the coolant into the reservoir tank up to “MAX” line.
ENGINE COOLING 6B - 5

ANTI-FREEZE SOLUTION
• Relation between Mixing ratio and Freezing point
Freezing temperature of the engine coolant varies with
the ratio of anti-freeze solution in water.
Proper mixing ratio can be determined by referring to
the chart. Supplemental inhibitors or additives claiming
to increase cooling capability that have not been
specifically approved by Isuzu are not recommended
for addition to the cooling system.
6B-4-1.tif
• Calculation of mixing ratio

Mixing ratio
Anti-freeze solution (Lit/qt.)
=
Anti-freeze solution (Lit/qt.) + Water (Lit/qt.)

Note: Anti-freeze solution + Water = 10 lit


Total cooling system capacity.
In case of 6.8 lit total cooling system capacity

Anti-freeze
Mixing Water:
solution:
ratio (%) lit. (imp. qt/U.S. qt)
lit. (imp. qt./U.S. qt)
0 0 0 10 (8.80/10.57)
5 0.5 (0.44/0.53) 9.5 (8.36/10.04)
10 1.0 (0.88/1.06) 9.0 (7.92/9.51)
15 1.5 (1.32/1.59) 8.5 (7.48/8.98)
20 2.0 (1.76/2.11) 8.0 (7.04/8.45)
25 2.5 (2.20/2.64) 7.5 (6.60/7.93)
30 3.0 (2.64/3.17) 7.0 (6.16/7.40)
35 3.5 (3.08/3.70) 6.5 (5.72/6.87)
40 4.0 (3.52/4.23) 6.0 (5.28/6.34)
45 4.5 (3.96/4.76) 5.5 (4.84/5.81)
50 5.0 (4.40/5.28) 5.0 (4.40/5.28)

• Mixing ratio
Check the specific gravity of engine coolant in the
cooling system in temperature ranges from 0° to 50°C
using a suction type hydrometer, then determine the
mixing ratio of the coolant by referring to the table at
left.

6B-4-2.tif
6B - 6 ENGINE COOLING

ON-VEHICLE SERVICE
WATER PUMP

Removal steps
1. Fan shoroud
2. Cooling fan Assembly
3. Power steering pump drive
belt
4. A/C compressor drive belt
5. AC generator drive belt
6. Crankshaft damper pulley
7. Timing pulley upper cover
8. Timing pulley lower cover
9. Water pump Assembly

Installation steps
To install, follow the removal
steps in the reverse order.

6B-5-1.tif

REMOVAL
Preparation:
• Disconnect battery ground cable.
• Drain coolant
1. Fan Shroud
• Remove the reservoir tank hose, bypass hose and fan
guide.
2. Cooling Fan Assembly
• Remove lock nut and take out cooling fan assembly.
3. Power Steering Pump Drive Belt
• Loosen the idler pulley lock nut and loosen adjust bolt,
and remove the drive belt.

6B-5-2.tif

4. A/C Compressor Drive Belt


• Loosen A/C compressor idler pulley lock nut and
adjust bolt and remove the drive belt.

6B-5-3.tif
ENGINE COOLING 6B - 7

5. AC Generator Drive Belt


• Loosen AC Generator mounting bolt (under side) and
adjust plate lock bolt, and remove the drive belt.

6B-6-1.tif

6. Crankshaft Damper Pulley

6B-6-2.tif

7. Timing Pulley Upper Cover


8. Timing Pulley Lower Cover
9. Water Pump Assembly
• Remove the O-ring

6B-6-3.tif

INSPECTION
Make necessary parts replacement if extreme wear or
damage is found during inspection. Should any of the
following problems occur, the entire water pump
assembly must be replaced.
• Cracks in the coolant pump body
• Coolant leakage from the seal unit
• Play or abnormal noise in the bearing
• Cracks or corrosion in the impeller
6B - 8 ENGINE COOLING

INSTALLATION
9. Water Pump Assembly
• Set O-ring in water pump body groove.
• Install water pump assembly, and tighten to specified
torque.
Pump Fixing Bolt Torque N∙m (Kg∙m/lb∙ft)
20 (2.0/14)

6B-7-1.tif 8. Timing Pulley Lower Cover


• Install timing pulley lower cover, and tighten to
specified torque.
Cover Fixing Bolts Torque N∙m (Kg∙m/lb∙in)
8 (0.8/69)

7. Timing Pulley Upper Cover


• Install timing upper cover, and tighten to specified
torque.
Cover Fixing Bolts Torque N∙m (Kg∙m/lb∙in)
8 (0.8/69)

6. Crankshaft Damper Pulley


• Install crankshaft damper pulley, and tighten to
specified torque.
Pulley Bolt Torque N∙m (Kg∙m/lb∙in)
19 (1.9/14)

5. AC Generator Drive Belt


4. A/C Compressor Drive Belt
3. Power Steering Pump Drive Belt
• Install the drive belts and adjust belt
Check drive belts for wear or damage, and replace
with new ones as necessary. Check belts for tension,
and adjust as necessary.
• Push the middle of belts with a force of 98 N
(10 kg/22 lb) and check each bolt for deflection.
6B-7-2.tif • Standard deflection
mm (in)

Initial tension
AC Generator drive belt
8 – 12
A/C compressor drive belt
(0.31-0.47)
Power Steering drive belt

6B-7-3.tif
ENGINE COOLING 6B - 9

Generator Fixing Belt Torque N∙m (Kg∙m/lb∙ft)


40 (4.1/30)

Adjust Plate Fixing Belt Torque N∙m (Kg∙m/lb∙ft)


19 (1.9/14)

A/C Idler Pulley Lock Nut Torque N∙m (Kg∙m/lb∙ft)


27 (2.8/20)
6B-8-1.tif
P/S Idler Pulley Lock Nut Torque N∙m (Kg∙m/lb∙ft)
27 (2.8/20)

2. Cooling Fan Assembly


• Mount fan pulley and cooling fan assembly on the
water pump and tighten to the specified torque.
Fan Pulley Nut Torque N∙m (Kg∙m/lb∙in)
8 (0.8/69)

1. Fan Shroud
• Install the fan shroud and reservoir tank hose and
bypass hose.
• Connect the battery ground cable.
• Pour coolant.
• Start the engine and check coolant leakage.

6B-8-2.tif
6B - 10 ENGINE COOLING

THERMOSTAT

6B-9-1.tif

REMOVAL
Preparation:
• Disconnect battery ground cable.
• Drain coolant from the radiator and engine.
1. Switch Harness
2. Outlet Pipe
• Remove mounting bolt and remove outlet pipe
together with radiator hose.
3. Gasket
4. Thermostat

INSPECTION
Submerge the thermostat assembly in the water.
Place wooden blocks on the bottom of the water container.
Not to directly heat the thermostat.
Gradually increase the water temperature. Stir the water so
that the entire water is same temperature.
• Make sure that primary valve begins to open at the
specified temperature.
Valve Opening Temperature °C (°F)
6B-9-2.tif
82 (180)

• Make sure that secondary valve opens fully at the


specified temperature.
Valve Full Open Temperature °C (°F)
95 (203)

Make necessary repair and parts replacement if extreme wear


or damage is found during inspection.
ENGINE COOLING 6B - 11

INSTALLATION
4. Thermostat
3. Gasket
2. Outlet Pipe
• Connect outlet pipe and tighten bolts to the specified
torque.
N∙m (Kg∙m/lb∙ft)
19 (1.9/14)
6B-10-1.tif

1. Switch Harness
• Install switch harness.
• Install battery ground cable.
• Pour coolant.
• Start the engine and check coolant leakage.
6B - 12 ENGINE COOLING

RADIATOR

6B-11-1.tif

REMOVAL
Preparation:
• Disconnect battery ground cable.
• Loosen drain plug to drain coolant.
1. Reservoir Tank Hose & Bypass Hose
• Disconnect the hose from radiator.
2. Radiator Hose
• Disconnect lower hose and upper hose from the
engine.
3. Air Intake Duct
4. Radiator Stay
5. Condenser
• Remove the condenser from radiator and temporarily
tighten the condenser to cab body front side, use the
wire.
6. Cushion Rubber
• Remove cushion rubbers on both sides of the bottom.
ENGINE COOLING 6B - 13

7. Radiator Assembly
• Remove upward the radiator assembly with hose,
taking care not to damage the radiator core by fan
blade.

INSPECTION
Radiator Valve
• Apply air pressure from filler neck using radiator cap
tester and check the opening pressure of radiator
valve. If the valve opening pressure is out of the
standard value range, replace with a new radiator
valve.
2
Radiator valve opening pressure kPa (kg/cm /psi)
93 - 123 (0.95 - 1.25/13.5 - 17.8)

• Remove the radiator valve and check a negative


pressure valve as the center of the valve seat side. If
the negative pressure valve does not work smoothly,
clean or replace the radiator valve.
Radiator valve fixing torque N∙m (kg∙m/lb ft)
6 (0.6/4)

• Conduct cooling system leakage check after


reinstalling the radiator valve.

Radiator Core
• Deformed radiator fins could reduce radiation effects,
resulting in overheat. Straighten the fins. In such a
case, take care not to damage the fin roots.
• Remove dust and other foreign materials.

Flushing the Radiator


• Wash the inside of radiator and the coolant passage
with water and neutral detergent. Remove all scales
and rust.

Checking for Coolant Leakage


• Clog up the reserver tank hose carefully and check the
cooling system for leakage with a radiator cap tester
2
by applying an air pressure of 147 kPa (1.5 kg/cm /21
psi) from filler neck to inside the radiator.
• As the radiator upper tank is provided with a valve, the
pressure fails to rise higher than the valve opening
pressure unless the hose is clogged up.

6B-12-1.tif
6B - 14 ENGINE COOLING

INSTALLATION
7. Radiator Assembly
• Install the radiator
6. Cushion Rubber
• Install cushion rubbers on both sides of radiator
bottom.
• Install radiator assembly with hose, taking care not to
damage the radiator core by a fan blade.
5. Condenser
4. Radiator Stay
3. Air Intake Duct
6B-13-1.tif
• Connect the Duct and tighten clip securely.
2. Radiator Hose
• Connect inlet hose and outlet hose to the engine.
• Connect battery ground cable.
• Pour coolant
• Pour coolant up to filler neck of radiator, and up to
MAX mark of reservoir tank.
1. Reservoir Tank Hose & Bypass Hose
• Start engine to warm up, and check for coolant level.
ENGINE COOLING 6B - 15

DRIVE BELT ADJUSTMENT

6B-14-1.tif

INSPECTION
Check drive belts for wear or damage, and replace with
new ones as necessary. Check belts for tension, and
adjust as necessary.
• Check drive belts tension.
• Push the middle of belts with a force of 98 N
(10 kg/22 lb) and check each bolt for deflection.
• Standard deflection
6B-14-2.tif

mm (in)
Tension at readjustment
AC generator & fan pulley
drive belt
8 ~ 12 (0.31 ~ 0.47)
A/C compressor drive belt
P/S pump drive belt

6B-14-3.tif
6B - 16 ENGINE COOLING

TENSION ADJUSTMENT
1. Cooling Fan Pulley Belt
• With AC Generator mounting and lock bolts loose,
adjust belt tension with adjuster's adjust bolt.
Tighten bolt to the specified torque
Generator Fixing Bolt Torque N∙m (Kg∙m/lb∙ft)
40 (4.1/30)

Adjust Plate Fixing Bolt Torque N∙m (Kg∙m/lb∙ft)


19 (1.9/14)

2. P/S Oil Pump and A/C Compressor Pulley Belt


• With P/S pump lock bolt loose, adjust belt tension with
adjust belt.
Tighten lock nut to the specified torque.
Lock Nut Torque N∙m (Kg∙m/lb∙ft)
27 (2.8/20)
HOME

ENGINE FUEL 6C - 1

SECTION 6C
ENGINE FUEL

CONTENTS
PAGE
General Description....................................................................................................... 6C - 2
On-Vehicle Service ........................................................................................................ 6C - 7
Fuel Filter Assembly.................................................................................................. 6C - 7
Fuel Filter Cartrige..................................................................................................... 6C - 8
Injection nozzle.......................................................................................................... 6C - 9
Injection Pump Assembly (Gear Drive Type) .......................................................... 6C - 26
Injection Pump Assembly (Belt Drive Type)............................................................ 6C - 31
Injection Timing Adjustment..................................................................................... 6C - 41
Adjustment of Idling Speed ...................................................................................... 6C - 42
Injection Pump Data .................................................................................................. 6C - 43
Injection Volume and Governor Performance Diagram ......................................... 6C - 45
Fuel Tank.................................................................................................................... 6C - 55
Fuel Gauge Unit ......................................................................................................... 6C - 57
Accelerator Control ....................................................................................................... 6C - 58
Accelerator Control Cable ........................................................................................ 6C - 58
Accelerator Pedal ...................................................................................................... 6C - 60
Idling Control Cable .................................................................................................. 6C - 62
Air Cleaner Element .................................................................................................. 6C - 64
6C - 2 ENGINE FUEL

GENERAL DESCRIPTION
When working on the fuel system, there are Clean and inspect "O" rings. Replace where
several things to keep in mind: required.
• Any time the fuel system is being worked on, • Always relieve the line pressure before
disconnect the negative battery cable except servicing any fuel system components.
for those tests where battery voltage is • Do not attempt repairs on the fuel system until
required. you have read the instructions and checked
• Always keep a dry chemical (Class B) fire the pictures relating to that repairs.
extinguisher near the work area.
• Replace all pipes with the same pipe and
fittings that were removed.
ENGINE FUEL 6C - 3

FUEL FLOW

6C-2-1.tif

The fuel system consists of the fuel tank, the water Fuel, fed by the injection pump plunger, is delivered to
separator, the fuel filter, the injection pump, and the the injection nozzle in the measured volume at the
injection nozzle. optimum timing for efficient engine operation.
The fuel from the fuel tank passes through the water
separator and the fuel filter where water particles and
other foreign material are removed from the fuel.
6C - 4 ENGINE FUEL

INJECTION PUMP

6C-3-1.tif

6C-3-2.tif

A Bosch Distributor Type Injection Pump is used. A The injection pump is compact, light weight, and
single reciprocating/revolving plunger delivers the fuel provides reliable high-speed operation.
uniformly to the injection nozzles, regardless of the An aneroid compensator is available as an option for
number of cylinders. vehicles to be operated at high altitudes. It adjusts the
The governor, the injection timer, and the feed pump fuel and air mixing ratio.
are all contained in the injection pump housing.
ENGINE FUEL 6C - 5

FUEL FILTER AND WATER SEPARATOR

6C-4-1.tif 6C-4-2.tif

A cartridge type fuel filter and a water separator are The water separator has an internal float. When the
used along with the VE type injection pump. float reaches the specified level, a warning light
As the inside of the injection pump is lubricated by the comes on to remind you to drain the water from the
fuel which it is pumping, the fuel must be perfectly water separator.
clean. The fuel filter and the water separator remove A diaphragm type priming pump is installed at the top
water particles and other foreign material from the fuel of the water separator. It is used during the water
before it reaches the injection pump. draining and the air bleeding procedures.
6C - 6 ENGINE FUEL

INJECTION NOZZLE

6C-5-1.tif

For 4J Series diesel engines, there are two types 4JB1-TC Engine
available: Direct injection engine (4JB1/4JB1T) and The two-spring nozzle holder has been developed to
Indirect injection engine (4JG2). Accordingly, the reduce NOx (Nitrogen Oxides) and particulates from
injection nozzles to be used are different depending on direct injection diesel engine exhaust.
the type of the engine and the combustion chamber.
The injection nozzle sprays pressurized fuel from the
injection pump into the combustion chamber through
the injection nozzle orifices.
4JB1 engines employ a hole type nozzle with four
injection orifices. The nozzle is made up of the nozzle
body and the needle valve assembly.
Pressurized fuel from the injection pump is sprayed by
the injection nozzle into the combustion chamber
through the nozzle body orifices.
ENGINE FUEL 6C - 7

ON-VEHICLE SERVICE
FUEL FILTER ASSEMBLY

6C-6-1.tif

REMOVAL
Preparation
• Disconnect battery ground cable.
1. Fuel Filler Cap
2. Fuel Hose
• Disconnect fuel hose from filter body.
Plug the hose ends to prevent fuel spillage.
3. Fuel Filter Assembly
• Remove the fixing bolts on fuel filter bracket.

INSTALLATION
3. Fuel Filter Assembly
• Install the fuel filter bracket then tighten fixing bolt.
2. Fuel Hose
• Connect hoses to filter body.
1. Fuel Filler Cap
• Connect the battery ground cable.
• Feed fuel to the injection pump by means of the
priming, and bleed the fuel system.
6C - 8 ENGINE FUEL

FUEL FILTER CARTRIDGE


REMOVAL
• Remove the cartridge using a filter wrench.
Filter wrench: 5-8840-0253-0 (J-22700)

INSTALLATION
• Clean the cartridge mounting surface of filter body so
that the cartridge can be securely.
Apply engine oil thinly to new cartridge O-ring.
• To facilitate bleeding, fill the new cartridge with light oil.
• Tighten the cartridge until O-ring comes in contact with
the sealing, taking care not to spill the light oil.
• Retighten 1/3~ 2/3 using a filter wrench.
6C-7-1.tif
Filter wrench: 5-8840-0253-0 (J-22700)

Bleeding
• Operate priming pump to send the air in the fuel
system to the injection pump.
• Loosen injection pump bleeding plug, and operate the
priming pump until no bubble is made.
• Tighten the bleeding plug.
• Start the engine, and if it is not started in 10 seconds
or less, repeat the bleeding steps.
• Make sure of no fuel leakage, and tighten the priming
pump.
6C-7-2.tif

Draining
• When the water in the sedimentor reaches the
specified volume, warning light is actuated.
In this case, follow the draining steps below.
• Set a vinyl hose over the drain plug.
• Loosen the drain plug.
• To drain the water, operate the priming pump several
times.
• After draining, tighten the drain plug.
• Operate the priming pump several times to check for
fuel leakage.
• Check and see the warning light is off.
ENGINE FUEL 6C - 9

INJECTION NOZZLE

Removal steps
1. Injection pipe
2. Leak off pipe or hose
3. Injection nozzle

Installation steps
To install, follow the removal steps in
the reverse order.

6C-8-1.tif

REMOVAL
Preparation:
• Disconnect battery ground cable.
1. Injection Pipe
• Release injection pipe clip.
• Loosen the flare nut on the injection pump side.
• Loosen the flare nut on the injection nozzle side,
disconnect and put aside the pipe.
2. Leak off Pipe or Hose
3. Injection Nozzle

INSPECTION
• Set the nozzle in a nozzle tester.
Check there is no fuel leak in the nozzle seal when a
2
fuel pressure of kg/cm is applied.
If there is leak, replace.
6C - 10 ENGINE FUEL

DISASSEMBLY (4JG2 Engine)


• Grip nozzle holder with a vise, loosen retaining nut and
disassemble.
• Loosen holder nut and remove the nozzle.

6C-9-1.tif

CAUTION
• Be careful not to damage the needle valve.
• Remove spacer, positioning pin, and push rod.
• Remove spring and adjusting shim.

6C-9-2.tif

CAUTION
• Wash all the parts removed and arrange them on a
cylinder basis, care should be taken not to miss any
parts.
• Soak the nozzle assembly in a parts receptacle filled
with light oil.
• Care should be taken not to miss shim, if used.

6C-9-3.tif

INSPECTION (4JG2 Engine)


Nozzle
• Soak the nozzle removed in clean light oil, wash
nozzle body and needle valve separately, and check
and see that the needle valve slide smoothly in the
nozzle body.

6C-9-4.tif

6C-9-5.tif
ENGINE FUEL 6C - 11

CAUTION
• If the needle valve does not slide smoothly repair or
replace with a new nozzle assembly.
Nozzle lapping procedure
• Apply thinly a compound (Chrome oxide kneaded with
an animal oil) to the seat of needle valve and lap.

6C-10-1.tif

CAUTION
• Excess compound may cause worn needle valve, and
be sure to wash out the compound after lapping.
Nozzle body & needle
• Check nozzle body and end for seizure.
If significantly seized, replace as a nozzle assembly
basis. Also replace as a nozzle assembly basis, if
needle valve end is deformed or seized.

6C-10-2.tif

CAUTION
• If either nozzle body or needle valve is faulty, replace
with a new nozzle assembly.

6C-10-3.tif

REASSEMBLY (4JG2 Engine)


To reassemble, follow the removal steps in the reverse order,
noting the following point.

CAUTION
• Be careful to fit spacer because positioning pins are
set off.

6C-10-4.tif
6C - 12 ENGINE FUEL

• Install retaining nut and tighten nut to the specified


torque.
N∙m (Kg∙m/lb∙ft)
39 (4.0/32)

6C-11-1.tif

ADJUSTMENT OF INJECTION OPENING


PRESSURE (4JG2 Engine)
• Set nozzle holder assembly on a nozzle tester.
• Apply hydraulic pressure by operating tester handle,
and make sure fuel cam be injected under the
following pressure.
2
Kpa (Kg/cm /psi)
14,710 (150/2,133)
6C-11-2.tif

CAUTION
• If not injected under the specified pressure, adjust with
adjusting shim.
Ref. Types are available in the 1.0 mm - 1.75 mm
thickness range (on a 0.01 mm basis).
• Unless extremely deformed spray in seen, there is no
problem.
CAUTION
• The spray condition, when judged with a nozzle tester,
is deemed as normal so long as the spray form is not
excessively deformed.

6C-11-3.tif

Oil tight test (4JG2 Engine)


1) After completion of the adjustment of injection
pressure, wipe off light oil at the tip of the nozzle with
waste.
2
2) With pressure 1,961 Kpa (20 kg/cm /284 psi) less than
the specified injection pressure applied, check to see if
an oil drop trickles off the tip of the nozzle within 10
seconds after application of pressure. (There is no
problem with the nozzle when oil gathers at the tip, but
6C-11-4.tif
does not drop off.)
3) When an oil drop trickles, clean the nozzle thoroughly.
Then reassemble it to check for any dropping of oil.
When oil still drops, change it with a new one.
ENGINE FUEL 6C - 13

INSTALLATION (4JG2 Engine)


CAUTION
• Nozzle and assembling should be as illustrated.
• Use new heat shield and new corrugated washer.

6C-12-1.tif

3. Injection Nozzle (4JG2 only)


• Lightly tighten the holder nut to suck extent that the
nozzle holder can turn one word and one word.
• Set positioning confirmation drilled hole (φ2) within a
nozzle turning angle of ±5° against the cylinder head-
side positioning boss.
• Apply a wrench as illustrated and tighten the holder nut
to the specified torque using a special tool.

CAUTION
040LX016.tif • After tightening the holder nut, make sure that the
drilled hole makes ±5° or smaller with the cylinder
head-side positioning boss.
• When mounting leak off pipe, injection nozzle and
pipe, clean then with air so that dust may not
enter.

Nozzle Fixing Torque N∙m (Kg∙m/lb∙ft)


64 (6.5/47)

Wrench: nozzle holder 5-8840-0259-0


6C-12-3.tif

2. Leak Off Pipe


• Mount using a new copper washer
• Tighten nut to the specified torque.
Pipe Nut Torque N∙m (Kg∙m/lb∙ft)
29 (3.0/22)

1. Injection Pipe
• Connect injection pipe to nozzle holder.
• Tighten the injection pump side.
Sleeve Nut Torque N∙m (Kg∙m/lb∙ft)
29 (3.0/22)

• Fit pipe clip in specified position.


6C - 14 ENGINE FUEL

4-1 Injection Nozzle (Two spring nozzle holder)


(4JB1-TC only)
The two-spring nozzle holder has been developed to
reduce NOx (Nitrogen Oxides) and particulates from direct
injection diesel engine exhaust.

DISASSEMBLY
1. Retaining nut
2. Nozzle & pin
3. Spacer & pin
4. Lift piece
5. Spring seat
6. Push rod
7. Shim (Second nozzle opening pressure adjustment)
8. Second spring
9. Collar
10. Spring seat
11. First spring
12. Shim (First nozzle opening pressure adjustment)
13. Nozzle holder body
14. Eye bolt
15. Gasket
080LX002.tif

(1) Before disassembly remove carbon deposit from


nozzle and nozzle holder using a wire brush and wash
the outside nozzle holder assembly.
Caution:
Do not touch nozzle holes with the wire brush
during cleaning it.
(2) Disassemble the nozzle holder assembly to numerical
order.
ENGINE FUEL 6C - 15

REASSEMBLY AND OPENING


PRESSURE ADJUSTMENT (4JB1-TC
only)
1. Nozzle holder body
2. Shim (First opening pressure adjustment)
3. First spring
4. Spring seat
5. Collar
6. Second spring
7. Push rod
8. Shim (Second opening pressure adjustment)
9. Spring seat
10. Lift piece
11. Spacer & pin
12. Nozzle & pin
13. Retaining nut
14. Gasket
15. Eye bolt

080LX003.tif The nozzle holder is adjusted as the components are


reassembled in the sequence above.
As adjustment of the two-spring nozzle holder is made in
hundredths of a millimeter, clean the parts thoroughly in light oil
to completely remove any dirt or foreign matter.

REASSEMBLY AND ADJUSTMENT PROCEDURE


1 First nozzle opening pressure adjustment Adjust the first nozzle opening pressure using the shim.

2 Full needle valve lift confirmation Confirm the full needle valve lift in accordance with the
closed method.

3 Pre-lift confirmation Confirm pre-lift in accordance with the closed method.

CAUTION:
If not as specified, replace the nozzle assembly, lift
piece, pins and spacer using the nozzle service kit.

4 Second nozzle opening pressure Confirm the second nozzle opening pressure in accordance
confirmation with the closed method.

5 Second nozzle opening pressure Adjust the second nozzle opening pressure using the shim.
adjustment

6 Confirm the condition of the fuel spray with the nozzle and
Final inspection nozzle holder assembled.
6C - 16 ENGINE FUEL

First nozzle opening pressure adjustment


1. Claim the nozzle holder in a vise.

040MV015.tif

2. Install the shim, first spring and spring seat in the


nozzle holder.

040MV016.tif

3. Install the collar, second spring, shim, spring seat and


pushrod in the nozzle holder.

040MV017.tif

4. Install the pins, lift piece and spacer in the nozzle


holder.

040MV018.tif

5. Install the pins in the spacer.


6. Install the nozzle on the spacer.

040MV019.tif
ENGINE FUEL 6C - 17

7. Hand-tighten the adjustment retaining nut together


with the gasket to the nozzle holder.
Retaining nut: 5-8677-7140-0
Gasket: 5-8677-7139-0

040MV010.tif

8. Tighten the adjustment retaining nut to the specified


torque.
Torque: 29 - 39 N∙m (3.0 - 4.0 kg∙m)

040MV014-1.tif

9. Set the nozzle holder to the nozzle tester.


10. Operate the nozzle tester and measure the first nozzle
opening pressure.
11. If the first nozzle opening pressure is not as specified,
disassemble the nozzle holder and replace the shim
until the pressure is as specified.

CAUTION:
Use a micrometer to measure shim thickness.

040MV030.tif

• First nozzle opening pressure adjusting shims


Parts No. Thickness (mm)
1-1534-9042-0 0.40
1-1534-9043-0 0.50
1-1534-9044-0 0.52
1-1534-9045-0 0.54
1-1534-9046-0 0.56
040LX010.tif
1-1534-9047-0 0.58
1-1534-9048-0 0.60
1-1534-9049-0 0.70
6C - 18 ENGINE FUEL

Full needle valve lift confirmation


1. Install the gasket and plug on the adjustment retaining
nut.
Gasket: 8-9722-7602-0
Plug: 5-8677-7141-0

040MV013.tif

2. Position the nozzle holder with the nozzle facing down


and install the dial gauge holder on the nozzle holder.
Dial gauge holder: 5-8677-7142-0

040MV012.tif

3. Install the nut on the dial gauge holder.


Nut: 5-8677-7143-0

040MV011.tif

4. Install the pin to the dial gauge.

Note:
The lengths of the pins do not include the
threaded portions.
Pin (liter=100 mm): 5-8677-7144-0
Dial gauge: 1-8531-7015-0

040MV029.tif
ENGINE FUEL 6C - 19

5. Secure the dial gauge to the nozzle holder using the


nut so that the pin contacts the tip of the first spring
seat.

CAUTION:
• Secure the dial gauge so that a stroke of 2 mm can
be measured.
• Do not over-tighten the nut as the dial gauge shaft
may jam. (Confirm from the dial gauge that the
shaft moves smoothly.)

040MV009.tif

6. Set the nozzle holder to the nozzle tester and put


needle to zero on the dial gauge.
7. Operate the nozzle tester to bleed any air from inside
the retaining nut and to confirm that no fuel leaks.

040MV030.tif

8. Operate the nozzle tester and increase the in-line


2
pressure to 34.3 - 44.1 MPa (350 - 450 kg/cm ) so that
the nozzle’s needle valve moves through its full lift.
Record full lift ‘L’. (Read dial gauge)
Note:
The above operation is used to determine whether
the nozzle seat is worn and whether the nozzle
assembly is in good condition.

040MV008.tif
6C - 20 ENGINE FUEL

Pre-lift confirmation
1. With the needle valve at full lift, release the nozzle
tester handle.

Note:
The in-line pressure will decrease and needle
valve lift (as indicated on the dial gauge) will also
decrease a little.

040MV007.tif

040MV006.tif

2. Read the needle valve lift ‘liter’ from the dial gauge
indication (once the needle valve has descended when
the second spring has stopped operating). Refer to the
pre-lift measuring point for ‘liter’.
Pre-lift measuring point:
Read the dial gauge at first nozzle opening pressure +approx 1
2
MPa (10 kg/cm ).
Note:
This point can be found while the pressure is
decreasing.
040MV025-1.tif

3. Confirm that pre-lift ‘liter’ is as specified.


Pre-lift mm
0.04

040MV005.tif

4. If pre-lift is not as specified, replace the pins, lift piece,


spacer and nozzle assembly as a set with the service
kit.
Service kit:
8-9720-3470-1

040MV031.tif
ENGINE FUEL 6C - 21

Second nozzle opening pressure confirmation


1. After pre-lift confirmation, operate the nozzle tester to
increase in-line pressure to 34.3 - 44.1 MPa (350 - 450
2
kg/cm ) so that the nozzle’s needle valve moves
through its full lift.

040MV030.tif

2. Release the nozzle tester handle so that in-line


pressure decreases.
Note:
The in-line pressure will decrease and needle
valve lift (as indicated on the dial gauge) will also
decrease a little.

040MV022.tif

3. Then, read the pressure gauge indication (second


nozzle opening pressure) the instant that the dial
gauge indicates the specified needle valve lift (usually
pre-lift liter + 0.05 mm).

040MV024.tif

040MV026.tif
6C - 22 ENGINE FUEL

Second nozzle opening pressure adjustment


If the second nozzle opening pressure is not as specified,
disassemble the nozzle from the nozzle holder and
replace the shim until the pressure is as specified.
CAUTION:
• Because the second opening pressure changes
when the first opening pressure changes, the
second opening pressure must be adjusted when
the first opening pressure changes.
• Use a micrometer to measure shim thickness.
040MV017.tif

• Second nozzle opening pressure adjusting shims


Part No. Thickness (mm)
8-9711-6034-0 0.40
8-9711-6035-0 0.50
8-9711-6037-0 0.52
8-9711-6039-0 0.54
8-9711-6041-0 0.56
8-9711-6043-0 0.58
8-9711-6044-0 0.59

040LX009.tif

Final inspection
1. Remove the dial gauge, nut and dial gauge holder.

040MV028.tif

2. Remove the adjustment retaining nut and gasket.


3. Install the original retaining nut, confirm that the pins
are inserted fully into the nozzle, and then hand-tighten
the retaining nut. Then, tighten the original retaining
nut to the specified torque.
Torque: 59 - 79 N∙m (6.0 - 8.0 kg∙m)

040MV014-1.tif

4. Set the nozzle holder to the nozzle tester and check


first nozzle opening pressure, spray condition, seat oil
tightness and each part for oil leaks.
5. When replacing the nozzle, replace the nozzle, lift
piece, pins and spacer as a set with the nozzle service
kit.
CAUTION:
Pre-lift will not be as specified if only the nozzle is
replaced.

040MV030.tif
ENGINE FUEL 6C - 23

DISASSEMBLY (4JBI/4JB1T Engine)


1. Retaining Nut
2. Injection Nozzle
1) Remove the nozzle assemblies from the nozzle
holders.
Tag the nozzle assemblies and the nozzle holders to
ensure that they are reinstalled in their original
positions.
The nozzle assembly and nozzle holder combinations
must not be interchanged.
2) Immerse the injection nozzle in a tool tray filled with
clean diesel oil to protect them from dust.
3. Spacer
4. Spring Seat
5. Spring
6. Adjusting Shim
7. Nozzle Holder

6C-22-1.tif

6C-22-2.tif

INSPECTION AND REPAIR (4JB1/4JB1 T


Engine)
Make the necessary adjustments, repairs, and part
replacements if excessive wear or damage is discovered
during inspection.

Inspection Nozzle Needle Inspection


1. Remove the needle from the nozzle body.
2. Carefully wash the nozzle needle and the nozzle body
in clean diesel fuel.
3. Check that the nozzle needle moves smoothly inside
the injection nozzle body.
If the nozzle needle does not move smoothly, it must
be repaired (See "Nozzle Lapping Procedure" belows).

6C-22-3.tif
6C - 24 ENGINE FUEL

Nozzle Lapping Procedure


1. Lap the nozzle needle ! and the nozzle body " by
applying a compound of oxidized chrome and animal
oil #.
NOTE:
Do not apply an excessive amount of the oxidized
chrome and animal oil compound to the injection
needle valve seat area. Applying too much compound
will cause the injection nozzle needle and the injection
nozzle body cavity to wear excessively.
6C-23-1.tif
2. Carefully wash the needle valve and the nozzle body in
clean diesel fuel after lapping.

Nozzle Body and Needle Valve Inspection


Check the nozzle body and the needle valve for damage
and deformation.
The nozzle and body assembly must be replaced if either
of these two conditions are discovered during inspection.

6C-23-2.tif

Reassembly
7. Nozzle Holder
6. Adjusting Shim
5. Spring
4. Spring Seat
3. Spacer
2. Injection Nozzle
1. Retaining Nut
Tighten the retaining nut to the specified torque.
N∙m (Kg∙m/lb∙ft)
34 (3.5/25)

6C-23-3.tif
ENGINE FUEL 6C - 25

Injection Nozzle Adjustment


1) Attach the injection nozzle holder to the injection
nozzle tester.
2) Apply pressure to the nozzle tester to check that the
injection nozzle opens at the specified pressure.
2
kPa (kg/cm /psi)
18,142 (185/2630)

If the injection nozzle does not open at the specified


6C-24-1.tif pressure, install or remove the appropriate number of
adjusting shims to adjust it.

Adjusting Shim Availability mm (in)


Range 0.50 - 1.50 (0.02 - 0.06)
Increment 0.025 (0.001)
Total No. of Shims 40

Removing or installing one shim will increase of decrease


the nozzle opening pressure approximately 369.46 kPa
2
(3.77 kg/cm /53.6 psi).

WARNING:
TEST FLUID FROM THE INJECTION NOZZLE WILL SPRAY
OUT UNDER GREAT PRESSURE. IT CAN EASILY
PUNCTURE A PRESON'S SKIN. KEEP YOUR HANDS
AWAY FROM THE INJECTION NOZZLE TESTER AT ALL
THE TIMES.

INSTALLATION (4JB1/4JB1T Engine)


3. Injection Nozzle
1) Install the injection nozzle gasket ! and the O-ring "
to the injection nozzle holder #.
Be sure that the O-ring fits snugly in the injection
nozzle groove.
2) Apply engine oil to the cylinder head nozzle holder
hole.
3) Install the nozzle holder together with the nozzle holder
bracket $ to the cylinder head.
N∙m (Kg∙m/lb∙ft)
6C-24-2.tif

37 (3.8/27)

2. Leak Off Hose


1. Injection Pipe

6C-24-3.tif
6C - 26 ENGINE FUEL

INJECTION PUMP ASM (4JB1/4JB1T, 4JG2 Gear Drive Type)

6C-25-1.tif

REMOVAL
Preparation:
• Disconnect battery ground cable.
• Drain coolant.
1. Cooling Fan Assembly
• Remove clamp nut, and remove cooling fan assembly,
distant pipe, and fan pulley.
2. Fan Shroud
3. Power Steering Pump Drive Belt (P/S Model)
• Loosen Power Steering pump mounting bolt and
adjust bolt, and remove the drive belt.
4. A/C Compressor Drive Belt (A/C Model)
• Loosen A/C compressor idler pulley lock nut, adjust
bolt and remove the drive belt.
ENGINE FUEL 6C - 27

5. AC Generator Drive Belt


• Loosen AC generator mounting bolt (under side) and
adjust plate lock bolt, and remove the drive belt.
6. Noise Shield Cover
7. Noise Cover Spacer
8. Air Intake Duct

6C-26-1.tif

9. Injection Pump Control Cable


• Removal the control cable bracket bolt and remove the
control lever side.
10. Fuel Hose
• Disconnect the fuel feed hose and fuel return hose.
11. CSD (Cold Starting Device) Water Hose
• Disconnect the water hose from injection pump side.

6C-26-2.tif

12. Injection Pump Harness


• Remove the tachometer sensor (with tachometer)
CSD solenoid, fuel cut solenoid.
13. Injection Pipe
• Release pipe clip.
• Remove the flare nut on the pump side.
• Remove the flare nut on the injection nozzle side, and
remove the injection pipe.

6C-26-3.tif CAUTION
• Be sure to plug the injection nozzle holder and delivery
holder to prevent the entry of foreign matter.

14. Injection Pump Assembly


• Remove pump mounting nut
• Loosen injection pump rear bracket adjuster lock bolt.
• Remove the mounting bolt on the engine side, and pull
out the pump from the engine.

NOTE:
Plug the injection pump delivery holder parts with the
shipping caps (or the equivalent) to prevent the entry
6C-26-4.tif
of foreign materials.
6C - 28 ENGINE FUEL

INSTALLATION
14. Injection Pump Assembly
1. Timing gear case a camshaft timing gear side c
injection pump timing gear side check holde cover.
2. Turn the crankshaft clockwise to see the TDC mark of
the crank pulley to the pointer, and then bring the No.
1 cylinder to the TDC on the compression stroke.

6C-27-1.tif

3. Look in through the check hole on the crankshaft


timing gear side and check to see if the “O” mark on
the timing gear is in line with the pointer of the check
hole.
4. In the condition above with the injection pump gear
mark “O” set to the pointer of the check hole, install
the injection pump assembly.
• Install the injection pump fixing bolts and tighten them
to the specified torque.
Pump Bolts Torque N∙m (Kg∙m/lb∙ft)
6C-27-2.tif
15 (1.5/11)

13. Injection Pipe


• Connect the pump side and nozzle side of the pipe,
and tighten securely.
• Install clip where it was.
Sleeve Nut Torque N∙m (Kg∙m/lb∙ft)
29 (3.0/22)

12. Injection Pump Harness


• Mount engine harness and connect it to switches.
6C-27-3.tif

11. CSD Water Hose


• Connect the water hose and tighten clip securely.

6C-27-4.tif
ENGINE FUEL 6C - 29

10. Fuel Hose


• Connect the fuel feed hose and fuel return hose.
• Connect the leak off hose.
9. Injection Pump Control Cable
1) Install the control wire to the engine control lever.
2) Hold the accelerator lever in the fully closed position
and stretch the control cable in the direction indicated
by the arrow to remove any slack.
3) Tighten the accelerator cable bracket bolt.
6C-28-1.tif 8. Air Intake Duct

7. Noise Cover Spacer


6. Noise Shield Cover

6C-28-2.tif

5. AC Generator Drive Belt


• Install AC generator drive belt and adjust belt tension.
• Depress the drive belt mid-portion with a 98 N (10
kg/22 lb) force.
Drive Belt Deflection mm (in)
8 (0.31) - 10 (0.39)

• Install fixing bolt and tighten bolts to the specified


torque.
6C-28-3.tif

Generator Fixing Bolt N∙m (Kg∙m/lb∙ft)


40 (4.1/30)

Adjust Plate Fixing Bolt N∙m (Kg∙m/lb∙ft)


19 (1.9/14)

6C-28-4.tif
6C - 30 ENGINE FUEL

4. A/C Compressor Drive Belt (A/C Model)


• Install A/C compressor drive belt and adjust belt
tension.
• Depress the drive belt mid-portion with a 98N (10
kg/22 lb) force.
Drive Belt Deflection mm (in)
8 (0.31) - 10 (0.39)

• Tighten the idler lock nut to the specified torque


N∙m (Kg∙m/lb∙ft)
27 (2.8/20)

3. Power Steering Pump Drive Belt (P/S Model)


• Install P.S pump drive belt and adjust belt tension.
• Depress the drive belt mid-portion with a 98 N (10 kg/
22 lb) force.
Drive Belt Deflection mm (in)
8 (0.31) - 10 (0.39)

• Tighten the idler lock nut to the specified torque.


N∙m (Kg∙m/lb∙ft)
27 (2.8/20)

2. Fan Shroud
• Install the fan shroud and reservoir tank hose.
1. Cooling Fan Assembly
• Mount fan pulley, distance piece, and cooling fan
assembly (in this order) on the water pump, and
tighten to the specified torque.
N∙m (Kg∙m/lb∙in)
8 (0.8/69)

6C-29-1.tif • Connect battery ground cable.


• Pour coolant.
ENGINE FUEL 6C - 31

INJECTION PUMP ASSEMBLY (4JG2 Belt Drive Type)

Removal steps
1. Cooling fan Assembly
2. Fan shroud
3. Power steering pump drive belt
4. A/C compressor drive belt
5. AC generator drive belt
6. Power steering pump & bracket
Assembly
7. Crankshaft damper pulley
8. Timing pulley upper cover
9. Timing pulley lower cover
10. Flange; Camshaft pulley
11. Timing belt
12. Injection pump timing pulley
13. Air intake duct
14. Injection pump control cable
15. Fuel hose
16. CSD water hose
17. Injection pump hearness
18. Injection pipe
19. Injection pump Assembly

Installation steps
To install, follow the removal
steps in the reverse order.

6C-30-1.tif

REMOVAL
Preparation:
• Disconnect battery ground cable.
• Drain coolant
1. Cooling Fan Assembly
• Remove clamp nut, and remove cooling fan assembly,
distant pipe, and fan pulley.
2. Fan Shroud
6C-30-2.tif • Removal reservoir tank hose and fan shroud.
3. Power Steering Pump Drive Belt (P/S Model)
• Loosen power steering pump idle pulley lock nut and
adjust bolt, and remove the drive belt.
6C - 32 ENGINE FUEL

4. A/C Compressor Drive Belt (A/C Model)


• Loosen A/C compressor idler pulley lock nut, adjust
bolt, and remove the drive belt.

6C-31-1.tif

5. AC Generator Drive Belt


• Loosen AC generator mounting bolt (under side) and
adjust plate lock bolt, and remove the drive belt.

6C-31-2.tif

6. Power Steering Pump & Bracket Assembly (P/S Model)


• Loosen power steering oil pipe bracket and clip.
• Remove P/S pump bracket assembly and hang the
P/S pump bracket assembly.

6C-31-3.tif

7. Crankshaft Dumper Pulley

6C-31-4.tif
ENGINE FUEL 6C - 33

8. Timing Pulley Upper Cover


9. Timing Pulley Lower Cover

6C-32-1.tif

10. Flange; Camshaft Pulley

6C-32-2.tif

11. Timing Belt


• Prepare a fixing bolt (M8 x 40, P=1.25)
• Turn crankshaft timing pulley in the normal direct
pulley side mark to timing pulley housing side mark.
• Make sure that the camshaft pulley and injection
timing pulley fixing bolt holes are set to each other.
Then Fit in a fixing bolt and lightly tighten.
• No. 1 cylinder should be at top dead center.
If the fixing bolt holes are not set (No. 4 cylinder is at
top dead center) give another turn.
6C-32-3.tif
• Remove tensioner and timing belt.

WARNING
• If crankshaft and camshaft and turned with timing
belt being not mounted, piston and valve will
interfere with each other. Therefore, the shafts
must not be turned.

6C-32-4.tif
6C - 34 ENGINE FUEL

12. Injection Pump Timing Pulley


• Install the stopper bolt ! to the timing pulley to
prevent it from turning.

6C-33-1.tif

• Use the timing pulley puller " to remove the injection


pump timing pulley.
Timing Pulley Puller: 5-8840-0086-0
• Remove the stopper bolt.

6C-33-2.tif

13. Air Intake Duct

14. Injection Pump Control Cable


• Remove the control cable bracket bolt and remove the
control lever side.
15. Fuel Hose
• Disconnect the fuel feed hose and fuel return hose.

6C-33-3.tif

16. CSD Water Hose


17. Injection Pump Harness
18. Injection Pipe
19. Injection Pump Assembly
• Remove the pump bracket bolt engine side.
• Remove the adjust lock bolt.
• Remove the injection pump fixing bolt and take out
injection pump.
ENGINE FUEL 6C - 35

INSTALLATION
19. Injection Pump Assembly
• Put the timing pulley housing side and injection pump
side setting marks together, and temporarily tighten.
• After adjusting injection timing retighten.
• Mount rear bracket on cylinder block and tighten to the
specified torque.
N∙m (Kg∙m/lb∙ft)
6C-34-1.tif 19 (1.9/14)

• Install adjust lock bolt and lightly tighten.


• After adjusting injection timing, retighten.

18. Injection Pipe


• Connect the pump side and nozzle side of the pipe,
and tighten securely.
• Install clip where it was.
Sleeve Nut Torque N∙m (Kg∙m/lb∙ft)
29 (3.0/22)

17. Injection Pump Harness


• Mount engine harness and connect it to switches.
6C-34-2.tif

16. CSD Water Hose


• Connect the water hose and tighten clip securely.

6C-34-3.tif

15. Fuel Hose


• Connect the fuel feed hose and fuel return hose.
• Connect the rear off hose.

14. Injection Pump Control Cable


1) Install the Control wire to the engine control lever.
2) Hold the accelerator lever ! in the fully closed
position and stretch the control cable " in the
direction indicated by the arrow to remove any slack.
3) Tighten the accelerator cable bracket bolt.
6C-34-4.tif
6C - 36 ENGINE FUEL

13. Air Intake Duct


• Connect the air intake duct and tighten clip securely.

12. Injection Pump Timing Pulley


• Align the timing pulley with the pump shaft key.
• Install the stopper bolt to the timing pulley.
This will prevent the timing pulley from moving.
• Tighten the timing pulley nut to the specified torque.

Injection Pump Timing Pulley Nut Torque N∙m (Kg∙m/lb∙ft)


64 (6.5/47)

6C-35-1.tif
• Remove the stopper bolt from the injection timing
pulley.

11. Timing Belt


• When removing the belt, make sure the marks on the
bolt fixed camshaft, injection pulley and crankshaft
timing pulley are set to each other.

CAUTION
• Do not turn crankshaft because otherwise piston and
valve will interfere with each other.

6C-35-2.tif

CAUTION
• For accurate mounting, be sure to mount the belt in
the direction that letters on the belt are readable.

6C-35-3.tif
ENGINE FUEL 6C - 37

• Mount new timing belt on pulleys in the following steps.


Crankshaft timing pulley ! camshaft
Timing pulley." Idle pulley # Injection
Pump pulley $ tensioner %
• Set the belt on crankshaft timing pulley and hold with
one hand.
• Stretch and pass the belt round each pulley with the
other hand.
• After passing it round injection pump pulley,
6C-36-1.tif install tensioner while taking care not to slacken the
belt.

CAUTION
• On completion of belt passing, make sure that the
setting mark on crankshaft timing pulley is set.
• If not set, reset the mark and repeat the belt passing.
• Remove tension adjust, lever mounting bolt, and
loosen the fulcrum bolt to such extent that the lever is
movable.
• Hung a spring balance from the end hole of tension
adjust lever, and with the balance pulled down with 88
6C-36-2.tif
N (9Kg/20 lb)., loosen once the, tensioner mounting
bolt and there retighten it.
• Turn the crankshaft by 45° counterclockwise to shift
belt slackness on the tensioner.
• Again hand the spring balance from the end hole of
tension adjust lever and pull it down with the specified
force. Under this condition, loosen tensioner mounting
bolt to absorb belt slackness and retighten is to
specified torque.

Belt Tension N (Kg/lb)


6C-36-3.tif
98 ~ 118 (10 ~ 12/22 ~ 26)

Bolt Torque N∙m (Kg∙m/lb∙ft)


76 (7.8/56)

• Fix the tension adjust lever.

6C-36-4.tif
6C - 38 ENGINE FUEL

CAUTION
• In case where the timing belt has been replaced with
the actuation of warning light, put off the light with
change over switch on the reverse side of meter.
• Refer to Chassis Electrical in Seetion 8 .
• Tighten the tension adjusting lever nut and bolt.

6C-37-1.tif

10. Flange; Camshaft Pulley


• Install the timing pulley flange ! to the camshaft ".
• Tighten the timing pulley flange bolts to the specified
torque.
N∙m (Kg∙m/lb ft)
19 (1.9/14)

9. Timing Pulley Lower Cover


• Install timing pulley lower cover and tighten bolt to the
6C-37-2.tif specified torque.
N∙m (Kg∙m/lb in)
8 (0.8/69)

8. Timing Pulley Upper Cover


• Install timing pulley upper cover and tighten bolt to the
specified torque.
N∙m (Kg∙m/lb in)
8 (0.8/69)

7. Crankshaft Damper Pulley


• Install crankshaft damper pulley and tighten bolt to the
specified torque.
N∙m (Kg∙m/lb ft)
19 (1.9/14)

6. Power Steering Pump & Bracket Assembly (P/S Model)


• Install the pipe bracket, clip and tighten bolts to the
specified torque.
Pipe bracket bolts N∙m (Kg∙m/lb ft)
19 (1.9/14)

Pipe clip bolts N∙m (Kg∙m/lb ft)


10 (1.0/7)

6C-37-3.tif
ENGINE FUEL 6C - 39

• Install the Power Steering pump & bracket assembly.


10M bolts N∙m (Kg∙m/lb ft)
40 (4.1/30)

8M bolts N∙m (Kg∙m/lb ft)


19 (1.9/14)

Lock nut N∙m (Kg∙m/lb ft)


27 (2.8/20)

5. AC Generator Drive Belt


• Install AC generator drive belt and adjust belt tension.
• Depress the drive belt mid-portion with a 98N (10 kg/
22 lb) force.

Drive Belt Deflection mm (in)


8 (0.31) - 10 (0.39)

• Install fixing bolt and tighten bolts to the specified


torque.
6C-38-1.tif

Generator fixing Bolt N∙m (Kg∙m/lb ft)


40 (4.1/30)

Adjust Plate Fixing Bolt N∙m (Kg∙m/lb ft)


19 (1.9/14)

4. A/C Compressor Drive Belt (A/C Model)


• Install A/C compressor drive belt and adjust belt
tension.
6C-38-2.tif
• Depress the drive belt mid-portion with a 98N (10
kg/22lb) force.

Drive Belt Deflection mm (in)


8 (0.31) - 10 (0.39)

• Tighten the idler lock nut to the specified torque.


N∙m (Kg∙m/lb ft)
27 (2.8/20)
6C - 40 ENGINE FUEL

3. Power Steering Pump Drive Belt (P/S Model)


• Install power steering pump drive belt and adjust belt
tension.
• Depress the drive belt mid-portion with a 98N (10
kg/22 lb) force.
Drive Belt Deflection mm (in)
8 (0.31) - 10 (0.39)

• Tighten the idler lock nut to the specified torque.


N∙m (Kg∙m/lb ft)
27 (2.8/20)

2. Fan Shroud
• Install the fan shroud and reservoir tank hose.
1. Cooling Fan Assembly
• Mount fan pulley, distance piece, and cooling fan
assembly (in this order) on the water pump, and
tighten to the specified torque.
N∙m (Kg∙m/lb in)
8 (0.8/69)

6C-39-1.tif • Connect battery ground cable.


• Pour coolant.
• Start the engine and check coolant leakage.
ENGINE FUEL 6C - 41

INJECTION TIMING ADJUSTMENT


• Set No. 1 cylinder to top dead center.
• Remove injection pump distributor head plug.
• Cancel wax CSD with the handle of a screw driver.
• Fit a dial gauge and set lift to 2 mm.

Measuring device: 5-8840-0145-0


• Set crankshaft damper pulley top dead center mark
about 45° before top dead center from the pointer.
6C-40-1.tif
• Set dial gauge in the "0" position.
• Turn the crankshaft a little right wise and left wise and
see if the pointer is stable in the "0" position.
• Turn the crankshaft in the normal direction and read
the measuring device's indication at as follows.
4JB1 BTDC 14°, BTDC 12° (’91/
542A)
4JB1T BTDC11°
4JB1TC BTDC4°
6C-40-2.tif 4JG2 (Belt Drive Type) ATDC 1° (’91/ 542A)
TDC 0° (’91/ 542B)
" (Gear Drive Type) ATDC 2° (’91/ 542A)

Measuring Device's Indication mm (in)


Standard 0.5 (0.0197)

• If it reads abnormal, loosen injection pump fixing nut


and pump bracket adjust bolt, make adjustment by
changing the pump mounting angle, and tighten the
nut and bolt to the specified torque where the dial
indicates the specified valve.
Pump fixing nut N∙m (Kg∙m/lb∙ft)

6C-40-3.tif
24 (2.4/17)

Adjust bolt N∙m (Kg∙m/lb∙ft)


19 (1.9/14)

• Remove the measuring device and tighten the


distributor head plug to the specified torque.
N∙m (Kg∙m/lb∙ft)
17 (1.7/12)

CAUTION
6C-40-4.tif
• When installing the distributor head plug, be sure to
use new copper washer.
• Connect injection pipe.
• Fit pipe clip where specified.
6C - 42 ENGINE FUEL

Adjustment of Idling Speed


1) Pull the parking brake and lock the wheels.
2) Set the transmission gear to the neutral position.
3) Start the engine and idle it until the water temperature
gets to 70 to 80°C (158 to176°F).
4) Turn back the idling control button, and remove the
control cable from the control lever (injection pump)
5) Set the engine tachometer.
6C-41-1.tif
6) Check the idling rotation.
When the idling rotation is outside the range of the
specified value, adjust it correctly.

Specified value (rpm) = 750 - 790 (4JB1)


700 - 740 (4JG2)

(1) Loosen the lock nut of the idling set bolt.


(2) Rotate the idling set bolt to set the idling rotation to the
specified value.
(3) Tighten the lock knut to lock the set bolt.
(4) Check the tension of the control cable, and remove
any slackening as required.

6C-41-2.tif
ENGINE FUEL 6C - 43

INJECTION PUMP DATA


TEST CONDITIONS
Items Conditions
Engine Type 4JB1(Gear) 4JG2(Belt) 4JB1(Gear) 4JG2(Gear) 4JB1TC 4JB1T
(For '91/542B) (For '91/542A) (For '91/542A)
Euro 2 Euro 1 Euro 1
Injection Nozzle
ZEXEL Part Number 105780-0000 105780-0000 105780-0060 105780-0060 105780-0060
Bosch Type Number DN12SD12T DN12SD12 DN00SD1510 
Injection Nozzle holder
ZEXEL Part Number 105780-2080 105780-2080 105780-2150 105780-2150 105780-2150
Bosch Type Number EF8511/9 EF8511/9   
Injection Nozzle MPa(kg/cm2/psi) 14.7 (150 / 2,133) 13.0(133 / 1,891)
Opening Pressure
Injection Line dimensions mm(in)
Inside Diameter 2 (0.079)
Outside Diameter 6 (0.236)
Length 840 (33.1) 450 (17.7)
Fuel delivery Pressure kPa(kg/cm2/psi) 20 (0.2 / 2.84)
Test Fuel SAE Standard Test Diesel Fuel (SAE967D)
ISO Standard Test Diesel Fuel (ISO4113)
Test Fuel Temperature °C (°F) 48 - 52 (118-126)
Identification Numbers 104746-1230 196000-1042 104742-1451 104746-1222 104746-6601 104746-6311
104746-1240 104742-1461
104746-1250 104742-1471 104746-1211 104766-6620 104746-6380
104746-1260 104742-1480 4JG2 (Belt) 104746-6670
104746-1270 104742-1490 (For +91/542A)
104746-1280
104746-1290
104746-1370

Note:
'91/542A ; Euro 1
'91/542B ; Euro 2
6C - 44 ENGINE FUEL

IDENTIFICATION PLATE AND NUMBER


Use the data following the injection pump identification number
to adjust the injection volume.

F06LV002.tif

F06LV001.tif

F06LW002.tif
ENGINE FUEL 6C - 45

INJECTION VOLUME AND GOVERNOR PERFORMANCE DIAGRAM

Engine ; 4JB1
Injection pump assembly No. ; 8943616830 (104741-6410)
8943616850 (104741-6430)

Adjustment specification of injection


volume
Average
Pump Uneven Oil
injection
rotation amplitude temperature Remarks
quantity 3
rpm mm /ST °C
mm3/ST
500 (38.6) 48±2
700 34.9±2.5 50±2
1000 42.1±1.0 4.0 50±2 Standard
1450 44.5±2.5 50±2
1800 47.6±3.0 60±2
2100 12.9±3.0 4.0 52±2
390 6.7±3.0 2.0 48±2
100 60 - 100 48±2

6C-44-1.tif

Adjustment specification of timer and


pump case pressure
Air pressure
Timer piston
Pump of pump
stroke mm
rotation kPa (kg/cm2) Standard
rpm Solenoid timer Solenoid timer
ON OFF ON OFF
700 Over 0.5 — — —
1300 — 1.4±0.4 — —
490±20
1600 — 3.9±2 — Standard
(5.0±0.2)
+ 0.4
1950 — 7.0 − 0.3 — —

6C-44-2.tif

Adjustment specification of aneroid


compensator
Air
Pump pressure Amount of Rate of
Altitude
rotation difference reduction reduction
m
rpm kPa mm3/ST %
(mmHg)
0 0 0 0
-5.9±3.3 Inflation Inflation
(500)
1000 (-44±3) point point
-21.9
2000 -4.6±1 -11±3
(-164)

6C-44-3.tif
6C - 46 ENGINE FUEL

Engine ; 4JB1
Injection pump identification No. ; 104746-1230, 1240, 1250, 1260, 1280, 1290, 1370

Injection volume adjustment

Adjustment specification of injection


volume
Average
Pump Uneven Oil
injection
rotation amplitude temperature Remarks
quantity 3
(rpm) (mm /ST) (°C)
(mm3/ST)
500 (38.6) 48±2
700 34.9±2.5 50±2
1000 42.1±1.0 4.0 50±2 Standard
1450 44.5±2.5 50±2
1800 47.6±3.0 50±2
2100 12.9±3.0 4.0 52±2
390 6.7±2.0 2.0 48±2
100 60 - 100 48±2

F06LV019.tif

Timer adjustment

Adjustment specification of timer and


pump case pressure
Timer At pressure
Pump piston of pump
rotation stroke (mm) (MPa (kg/cm2)) Standard
(rpm) Solenoid timer Solenoid timer
ON OFF ON OFF
700 Over 0.5 — — —
1300 — 1.4±0.4 — —
0.49±0.02
1600 — 3.9±2 — Standard
(5.0±0.2)
+ 0.4
1950 — 7.0 − 0.3 — —
F06LV020.tif

Adjustment specification of aneroid


compensator (For 104746-1230,14746-
1280)
Pump Air pressure
Amount of Rate of
Altitude difference
rotation reduction reduction
(m) kPa
(rpm) (mm3/ST) (%)
(mmHg)
0 0 0 0
-5.9±3.3 Inflation Inflation
(500)
1000 (-44±25) point point
-21.9
2000 -4.6±1 -11±3 F06LV004.tif
(-164)
ENGINE FUEL 6C - 47

Engine ; 4JG2 (For ’91/542B) (Belt drive)


Injection pump assembly No. ; 897138-8422 (196000-1042)

Adjustment specification of injection


volume
Average
Pump Uneven
injection
rotation amplitude Remarks
quantity
rpm mm3/ST
mm3/ST
100 78±12
350 64±6.0
500 52±3.0
720 55.9±3.4
1000 62.6±1.0 4.0
1250 60.9±3.5
1700 574±3.5 4.0
2100 13±5.0
2250 Below 5.0
F06LV005.tif 360 15.9±3.0 2.5
550 Below 3.0

F06LV006.tif

F06LV007.tif

F06LV004.tif

6C-46-3.tif F06LV008.tif
6C - 48 ENGINE FUEL

Engine ; 4JB1 (For ’91/542A) (Gear drive)


Injection pump identification No. ; 104742-1451, 1461, 1471

Injection volume adjustment


Adjustment specification of injection
volume
Average
Pump Uneven Oil
injection
rotation amplitude temperature Remarks
quantity 3
(rpm) (mm /ST) (°C)
(mm3/ST)
500 (29.7±4.5) 48±2
1000 (46.4±3.5) 50±2
1150 47.6±1.0 3.5 50±2 Standard
1800 (55.5 +− 0.4
6.0 ) 50±2
2100 14.9±3.0 4.0 52±2 Standard
375 7.3±2.0 2.0 48±2 Standard
100 (60 - 100) 48±2

F06LV021.tif

Timer adjustment

Adjustment specification of timer and


pump case pressure
Timer At pressure
Pump piston of pump
rotation stroke (mm) (MPa (kg/cm2)) Remarks
(rpm) Solenoid timer Solenoid timer
ON OFF ON OFF
700 Over 0.5 — — —
1400 — 1.5±0.4 — —
0.53±0.02
1600 — 3.0±0.2 — Standard
(5.4±0.2)
+ 0.4
2100 — 5.7 − 0.3 — —
F06LV022.tif

Adjustment specification of aneroid


compensator (For 104742-1471)
Pump Air pressure
Amount of Rate of
Altitude difference
rotation reduction reduction
(m) kPa
(rpm) (mm3/ST) (%)
(mmHg)
0 0 0 0
-5.9±3.3 Inflation Inflation
(500)
1150 (-44±25) point point
-21.9
2000 (-5.2±1.3) (-11±3)
(-164) F06LV004.tif
ENGINE FUEL 6C - 49

Engine ; 4JB1 (For ’91/542A) (Gear drive)


Injection pump identification No. ; 104742-1480, 1490

Injection volume adjustment Adjustment specification of injection


volume
Average
Pump Uneven Oil
injection
rotation amplitude temperature Remarks
quantity
(rpm) (mm3/ST) (°C)
(mm3/ST)
500 (29.7±4.5) 48±2
1000 (46.4±3.5) 50±2
1150 47.6±1.0 3.5 50±2 Standard
1800 (55.5 +− 0.4
6.0 ) 50±2
2100 14.9±3.0 4.0 52±2 Standard
375 7.3±2.0 2.0 48±2 Standard
100 (60 - 100) 48±2

F06LV021.tif

Timer adjustment

Adjustment specification of timer and


pump case pressure
Pump Timer At pressure
rotation piston of pump Remarks
(rpm) stroke (mm) (MPa (kg/cm2))
1400 (1.5±0.4) —
0.53±0.02
1600 3.0±0.2 Standard
(5.4±0.2)
2100 5.7 +− 0.4
0.3

F06LV023.tif

F06LV004.tif
6C - 50 ENGINE FUEL

Engine ; 4JG2 (For ’91/542A) (Gear drive)


Injection pump identification No. ; 104746-1222

Injection volume adjustment


Adjustment specification of injection
volume
Average
Pump Uneven Oil
injection
rotation amplitude temperature Remarks
quantity 3
(rpm) (mm /ST) (°C)
(mm3/ST)
500 (51.6) 48±2
1000 52.0±1.0 50±2 Standard
1440 (49.2) 3.5 50±2
1800 (51.0) 50±2
2100 19.6±3.0 5.5 52±2
360 13.2±2.0 2.0 48±2
100 (80 - 120) 48±2

F06LV024.tif

Timer adjustment
Adjustment specification of timer and
pump case pressure
Pump Timer At pressure
rotation piston of pump Remarks
(rpm) stroke (mm) (MPa (kg/cm2))
+ 0.8
500 0.5 − 0.4

0.402±0.029
1000 3.1±0.2 Standard
(4.1±0.3)
1440 5.3±0.4
+ 0.4
1950 7.8 − 0.3

F06LV025.tif

Cold start device adjustment

F06LV026.tif

F06LV004.tif
ENGINE FUEL 6C - 51

Engine ; 4JG2 (For ’91/542A) (Belt drive)


Injection pump identification No. ; 104746-1211

Adjustment specification of injection


Injection volume adjustment volume
Average
Pump Uneven Oil
injection
rotation amplitude temperature Remarks
quantity 3
(rpm) (mm /ST) (°C)
(mm3/ST)
500 (53.7) 48±2
1000 56.0±1.0 3.5 50±2 Standard
1440 (53.3) 50±2
1800 (54.3) 50±2
2100 19.6±3.0 5.5 52±2
360 13.2±2.0 2.0 48±2
100 (80 - 120) 48±2

F06LV027.tif

Timer adjustment
Adjustment specification of timer and
pump case pressure
Pump Timer At pressure
rotation piston of pump Remarks
(rpm) stroke (mm) (MPa (kg/cm2))
+ 0.4
500 0.5 − 0.3

0.402±0.029
1000 3.1±0.2 Standard
(4.1±0.3)
1440 5.3±0.4
7.8 +− 0.4
0.8
1950

F06LV028.tif

Cold start device adjustment

F06LV004.tif
F06LV029.tif
6C - 52 ENGINE FUEL

Engine ; 4JB1T
Injection pump identification No. ; 104746-6311, 104746-6380

Injection volume adjustment


Adjustment specification of injection
volume
Average Boost
Pump Uneven Oil
injection pressure
rotation amplitude temperature Remarks
quantity (kPa
(rpm) (mm3/ST) (°C)
(mm3/ST) (kg/cm2))
500 (37.0±4.0) — 0 48±2
750 46.9±1.0 3.5 33.3 (0.34) 50±2 Standard
1150 (60.7±3.5) — 72.0 (0.73) 50±2
1250 61.6±1.0 5.0 72.0 (0.73) 50±2 Standard
1250 (54.7±3.5) — 0 50±2
1900 (65.6±4.0) — 72.0 (0.73) 50±2
2100 24.8±3.0 4.5 72.0 (0.73) 52±2 Standard
375 9.0±2.0 2.0 0 48±2 Standard
100 60 +− 400 — 0 48±2

F06LW001.tif

Timer adjustment

Adjustment specification of timer and


pump case pressure
Timer At pressure
Pump piston of pump Boost
stroke (mm) (MPa (kg/cm2)) Pressure
rotation Remarks
kPa
(rpm) Solenoid timer Solenoid timer
(kg/cm2)
ON OFF ON OFF
750 Over 0.5 — — — 72.0 (0.73)
1600 — 1.8±0.4 — — 72.0 (0.73)
618
1900 — 3.7±0.2 — 72.0 (0.73) Standard
(6.3±0.2)
F06LW003.tif + 0.4
2400 — 7.0 − 0.3 — — 72.0 (0.73)

F06LW004.tif
ENGINE FUEL 6C - 53

Engine ; 4JB1T
Injection pump identification No. ; 104746-6670

Injection volume adjustment


Adjustment specification of injection
volume
Average Boost
Pump Uneven Oil
injection pressure
rotation amplitude temperature Remarks
quantity (kPa
(rpm) (mm3/ST) (°C)
(mm3/ST) (kg/cm2))
500 (33.9±4.0) — 0 48±2
750 43.8±1.0 3.5 33.3 (0.34) 50±2 Standard
1150 (57.6±3.5) — 72.0 (0.73) 50±2
1250 58.5±1.0 5.0 72.0 (0.73) 50±2 Standard
1250 (51.6±3.5) — 0 50±2
1900 (62.5±4.0) — 72.0 (0.73) 50±2
2100 24.8±3.0 4.5 72.0 (0.73) 52±2 Standard
375 9.0±2.0 2.0 0 48±2 Standard
100 60 +− 400 — 0 48±2

F06LX014.tif

Timer adjustment

Adjustment specification of timer and


pump case pressure
Timer At pressure
Pump piston of pump Boost
stroke (mm) (MPa (kg/cm2)) Pressure
rotation Remarks
kPa
(rpm) Solenoid timer Solenoid timer
(kg/cm2)
ON OFF ON OFF
750 Over 0.5 — — — 72.0 (0.73)
1600 — 1.8±0.4 — — 72.0 (0.73)
618
1900 — 3.7±0.2 — 72.0 (0.73) Standard
(6.3±0.2)
7.0 +− 0.3
0.4
F06LW003.tif 2400 — — — 72.0 (0.73)

F06LW004.tif
6C - 54 ENGINE FUEL

Engine ; 4JB1TC
Injection pump identification No. ; 104746-6601

Injection volume adjustment


Adjustment specification of injection
volume
Average Boost
Pump Uneven Oil
injection pressure
rotation amplitude temperature Remarks
quantity (kPa
(rpm) (mm3/ST) (°C)
(mm3/ST) (kg/cm2))
500 60.5±1.0 5.0 0 48±2 Standard
800 67.4±1.0 5.5 52.0 (0.531) 50±2 Standard
800 76.8±1.0 6.0 80.0 (0.821) 50±2 Standard
1000 (83.8±6.5) 80.0 (0.821) 50±2
1250 (91.5±6.5) 80.0 (0.821) 50±2
1700 (105.7±6.5) 80.0 (0.821) 50±2
2075 34.0±3.0 7.0 80.0 (0.821) 52±2 Standard
375 13.9±2.0 2.0 0 48±2 Standard
100 60 +40
− 0 0 48±2

040LX001.tif

Timer adjustment

Adjustment specification of timer and


pump case pressure
Pump Timer Boost
At pressure
piston Pressure
rotation of pump Remarks
stroke (mm) kPa
(rpm) (MPa (kg/cm2))
(kg/cm2)
1020 Below 0.5 80.0 (0.82)
1350 1.8±0.2 471±29 (4.8±0.3) 80.0 (0.82) Standard
1500 (3.0±0.4) 80.0 (0.82)
+ 0.4
1800 4.5 − 0.3 80.0 (0.82)

040LX002.tif

Potentiometer adjustment
Average Boost
Pump Out-put
injection Pressure
speed voltage Remarks
quantity kPa
(r/min) (V)
(mm3/st) (kg/cm2)
1080 3.56±0.03 27.5±2.0 0 Standard
375 (0.93±0.45) 13.9±2.0 0 Standard

F06LW004.tif
ENGINE FUEL 6C - 55

FUEL TANK

6C-54-1.tif

REMOVAL
Preparation:
• Disconnect battery ground cable.
• Loosen fuel filler cap.
• Drain fuel from drain plug.
• After the drain fuel, tighten the drain plug to the
specified torque.
N∙m (Kg∙m/lb∙ft)
29 (3/22)

1. Evapo Fuel Hose


2. Fuel Feed Hose
3. Fuel Return Hose
• Plug the hose to prevent fuel from getting spilt, and tie
it to the frame with the plugged end up.
4. Fuel Gauge Unit Connector
• Remove the connector of the fuel gauge.
5. Band
• Remove the nut of the fuel tank fixing band, and then
remove the band end on the frame side.
6C - 56 ENGINE FUEL

6. Fuel Tank
• Pull out the fuel tank to the outside.
Note:
When it is not possible to pull out the fuel tank,
remove the bracket and then draw out the fuel tank
downward.

INSTALLATION
6. Fuel Tank
Note:
When the bracket was removed to take off the fuel
tank, install the bracket to the frame and tighten it to
the specified torque.
N∙m (Kg∙m/lb∙ft)
55 (5.6/41)

When mounting the fuel tank on the bracket, be sure


to place the packing section pasted on the fuel tank
securely on the bracket.
5. Band
• Tighten the band to the specified torque
N∙m (Kg∙m/lb∙ft)
12 (1.2/104)

4. Fuel Gauge Unit Connector


• Connect the fuel gauge unit connector.
3. Fuel Return Hose
2. Fuel Feed Hose
• Set the hose to the pipe more than 25 mm (0.98 in)
deep.
1. Evapo Fuel Hose
• Fill the fuel to the fuel tank.
• Connect battery ground cable.
ENGINE FUEL 6C - 57

FUEL GAUGE UNIT

6C-56-1.tif

REMOVAL
Preparation: Disconnect Battery ground cable.
1. Fuel Gauge Unit Connector
• Disconnect fuel gauge unit connector from fuel gauge
unit.
2. Fuel Gauge Unit
• Remove fuel gauge unit fixing screw and fuel gauge
unit.
NOTE:
• After removing fuel gauge unit, cover fuel tank with
waste to prevent any dust entering.

INSTALLATION
2. Fuel Gauge Unit
1. Fuel Gauge Unit Connector
• Connect the wiring connector to the fuel gauge unit.
6C - 58 ENGINE FUEL

ACCELERATOR CONTROL
ACCELERATOR CONTROL CABLE

6C-57-1.tif

REMOVAL
1. Adjust Nut
• Loosen the adjust nut on the cable bracket mounted
on the inlet manifold.
2. Accelerator Control Wire (Injection Pump Side)
• Remove the control wire from injection pump control
lever.
3. Accelerator Control Wire (Accelerator Pedal Side)
• Remove the accelerator control wire from accelerator
pedal.
4. Accelerator Control Cable
• Remove the cable clip from intake manifold duct.
• Remove the cable clip from chassis frame.
• Pull out the wire to the chassis side through the
grommet hole of the floor board, and remove the
control cable.
ENGINE FUEL 6C - 59

INSPECTION
Check the following items, and replace the control cable if
any abnormality is found.
• The control cable should move smoothly.
• The control cable should not be bent or kinked.
• The control cable should be free of damage and
corrosion.

INSTALLATION
4. Accelerator Control Cable
• Take care that the core wire of the cable does not get
damaged or kinked.
• Pull the cable through the grommet hole from under
the floor.
• Set the groove of the grommet securely into the floor
panel.
• Lower the cab.
3. Accelerator Control Wire (Accelerator pedal side)
• Connect the accelerator control wire to the accelerator
pedal.
• Check to see if the idling control knob is fully turned to
the left.
• Tilt up the cab.

6C-58-1.tif

2. Accelerator Control Wire (Injection pump side)


• Install the tip end of the wire to the engine control
lever.
1. Lock Bolt
• With the accelerator control lever attached to the
stopper bolt, pull the cable lightly toward the front of
the axis and fasten the cable bracket with the lock bolt.
• Check to see if the injection pump lever is at the idle
position (with the lever in touch with the stopper bolt).
• Connect the battery ground cable.
6C-58-2.tif • Lower the cab.
• Check to see if the accelerator pedal play is in the
range of 5 ~ 10 mm above the pedal pad.
• Press down on the accelerator pedal fully, and check
to see if the engine rotates at the maximum speed with
the linkage in the smooth operation.
• In the operating range of the accelerator pedal, check
to see if the accelerator pedal and the injection pump
lever return without fail to their original positions
respectively.
6C - 60 ENGINE FUEL

ACCELERATOR PEDAL

6C-59-1.tif

REMOVAL
1. Idle Switch Connector
2. Accelerator Control Cable
• Remove control cable from Accelerator pedal bracket.
3. Idling Control Cable
• Remove control cable from accelerator pedal bracket.
4. Accelerator Pedal Assembly
• Remove accelerator pedal assembly from brake pedal
bracket.

INSTALLATION
4. Accelerator Pedal Assembly
• Apply the sliding section with grease, and install it to
the brake pedal bracket.
3. Idling Control Cable
• Install the cable to the lever of the accelerator pedal
bracket.
2. Accelerator Control Cable
• After confirming that the idling control knob is fully
turned to the left, install the accelerator control cable.
1. Idle Switch Connector

6C-59-2.tif
ENGINE FUEL 6C - 61

Adjustment of the press-down amount of


the accelerator pedal
• After installing each cable, give a full stroke to the
accelerator pedal while pushing the accelerator pedal
pad by hand.
• Adjust the stopper bolt so that the clearance between
the pedal pad stopper bolt and the back of the pad
becomes 0 ~ 2 mm (0 ~0.079 in.), and tighten the lock
nut to the specified torque.
6C-60-1.tif
N∙m (Kg∙m/lb∙ft)
7.4 (0.75/65)

• Check to see if the accelerator pedal play is in the


range of 5 ~ 10 mm (0.2 ~ 0.4 in.) above the pedal
pad.
• Press down on the accelerator pedal fully, and check
to see if the engine rotates at the maximum speed with
the linkage in the smooth operation.
• In the operating range of the accelerator pedal, check
to see if the accelerator pedal and the injection pump
lever return without fail to their original positions
respectively.
6C-60-2.tif
6C - 62 ENGINE FUEL

IDLING CONTROL CABLE

6C-61-1.tif

REMOVAL
1. Idling Control Knob
• Loosen the idling control knob screw and remove the
knob from cable.
2. Idling Control Cable Nut
3. Wave Washer
4. Idling Control Cable
• Remove control cable from accelerator pedal bracket.

INSTALLATION
4. Idling Control Cable.
• Install Control Cable to Accelerator pedal bracket.
3. Wave Washer
2. Idling Control Cable Nut
• Insert the idling control cable into the specified hole of
the instrument panel.
• Install the washer to the cable, and tighten it with the
nut.
ENGINE FUEL 6C - 63

1. Idling Control Knob


• Insert the idling control knob into the cable, and tighten
the screw.
Inspection:
• With the idling control knob not in use, check to see if
the injection pump lever is at the idle position (with the
lever in contact with the stopper bolt).
• With the idling control knob turned fully to the right,
check to see if the engine idles up to 1,500 rpm or
more.
6C - 64 ENGINE FUEL

AIR CLEANER ELEMENT

6C-63-1.tif

REMOVAL
1. Cover Wing Nut
2. End Cover
3. Filter Wing Nut
4. Air Cleaner Element

Clean
• Wipe out the inside of the Air Cleaner assembly.
• Wipe off the Cover
Inspection
• The air filter with a light for fears rears or holes.

6C-63-2.tif

Cleaning Method
Dust Fouled Element
Rotate the element with your hand while applying compressed
air to the inside of the element. This will blow the dust free.
2
Compressed air pressure kPa (kg/cm /psi)
392 - 490 (4 - 5/57 - 71)

CAUTION
6C-63-3.tif
Do not bang the element against another object in an
attempt to clean it. Damage to the element will result.
ENGINE FUEL 6C - 65

Carbon and Dust Fouled Element


1. Prepare a cleaning solution of Isuzu Genuine Element
Cleaner (Donaldson D1400) diluted with water.
2. Submerge the element in the solution for twenty
minutes.

6C-64-1.tif

3. Remove the element from the solution and rinse it well


with running water.
Water pressure must not exceed 274 Kpa
2
(2.8 kg/cm /40 psi).

6C-64-2.tif

4. Dry the element in a well ventilated area.


An electric fan will hasten drying.

NOTE:
Do not use compressed air or an open flame to dry the
element quickly. Damage to the element will result. It
will usually take two or three days for the element to
dry completely. Therefore, it is a good idea to have a
spare on hand to use in the interim.

6C-64-3.tif

INSTALLATION
4. Air Cleaner Element
3. Filter Wing Nut
2. End Cover
1. Cover Wing Nut
6C - 66 ENGINE FUEL

MEMO
.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................
HOME

ENGINE ELECTRICAL 6D1 – 1

SECTION 6D
ENGINE ELECTRICAL

CONTENTS
PAGE
Battery ........................................................................................................................... 6D1
Starting System ............................................................................................................ 6D2
Charging System .......................................................................................................... 6D3
QOS-II Preheating System ........................................................................................... 6D6
QOS-III Preheating System .......................................................................................... 6D7

SECTION 6D1
BATTERY

CONTENTS
PAGE
General Description...................................................................................................... 6D1-2
Diagnosis....................................................................................................................... 6D1-2
On-Vehicle Service ....................................................................................................... 6D1-4
Battery Charging....................................................................................................... 6D1-4
Jump Starting ........................................................................................................... 6D1-5
Removal and Installation of Battery........................................................................ 6D1-7
Main Data and Specifications ...................................................................................... 6D1-7
6D1 – 2 ENGINE ELECTRICAL

GENERAL DESCRIPTION
There are six battery fluid caps at the top of the battery. 2. The battery protects itself against overcharging.
these are covered by a paper label. The battery will refuse to accept an excessive
The battery is completely sealed except for the six charge.
small vent holes at the side. these vent holes permit (A conventional battery will accept an excessive
the escape of small amounts of gas generated by the charge, resulting in gassing and loss of battery
battery. fluid.)
This type of battery has the following advantages over 3. The battery is much less vulnerable to self
conventional batteries. discharge than a conventional type battery.
1. There is no need to add water during the entire
service life of the battery.

DIAGNOSIS
1. VISUAL INSPECTION
Inspect the battery for obvious physical damage, such as a
cracked or broken case, which would permit electrolyte
loss.
Replace the battery if obvious physical damage is
discovered during inspection.
Check for any other physical damage and correct it as
necessary. If not, proceed to Step 2.

2. FLUID LEVEL CHECK


The fluid level should be between the upper level line and
lower level line on side of the battery.
a. CORRECT FLUID LEVEL - Charge the battery.
b. BELOW LOWER LEVEL - Replace battery.

3. VOLTAGE CHECK
(1) Put voltmeter test leads to battery terminals.
a. VOLTAGE IS 12.4V OR ABOVE – Battery
condition OK.
6D1-2-1.tif
b. VOLTAGE IS UNDER 12.4V - Go to procedure (2)
below.
(2) Determine fast charge amperage from specification
(See Main Data and Specifications in this section).
Fast charge battery for 30 minutes at amperage rate
no higher than specified value.
Take voltage and amperage readings after charge.
a. VOLTAGE IS ABOVE 16V AT BELOW 1/3 OF
AMPERAGE RATE - Replace battery.
b. VOLTMETER IS ABOVE 16V AT ABOVE 1/3 OF
AMPERAGE RATE - Drop charging voltage to 15V
and charge for 10 - 15 hours.
c. VOLTAGE IS BETWEEN 12V AND 16V -
Continue charging at the same rate for an
additional 3-3.5 hours.
d. VOLTAGE IS BELOW 12V - Replace battery.
ENGINE ELECTRICAL 6D1 – 3

4. LOAD TEST
(1) Connect a voltmeter and a battery load tester across
the battery terminals.
(2) Apply 300 ampere load for 15 seconds to remove
surface charge from the battery.
Remove load.
(3) Wait 15 seconds to let battery recover. Then apply
specified load from specifications (See Main Data and
Specifications in this section).
Read voltage after 15 seconds, then remove load.
a. VOLTAGE DOES NOT DROP BELOW THE
MINIMUM LISTED IN FOLLOWING TABLE - The
battery is good and should be returned to service.
b. VOLTAGE IS LESS THAN MINIMUM LISTED -
Replace battery.

ESTIMATED TEMPERATURE
MINIMUM VOLTAGE
°F °C
70 21 9.6
60 16 9.5
50 10 9.4
40 4 9.3
30 -1 9.1
20 -7 8.9
10 -12 8.7
0 -18 8.5
The battery temperature must be estimated by feel and by the
temperature the battery has been exposed to for the
preceding few hours.
6D1 – 4 ENGINE ELECTRICAL

ON-VEHICLE SERVICE
BATTERY CHARGING
Observe the following safety precautions when charging
the battery:
1. Never attempt to charge the battery when the fluid
level is below the lower level line on the side of the
battery. In this case, the battery must be replaced.
2. Pay close attention to the battery during the charging
procedure.
Battery charging should be discontinued or the rate of
charge reduced if the battery feels hot to the touch.
Battery charging should be discontinued or the rate of
charge reduced if the battery begins to gas or spew
electrolyte from the vent holes.
3. In order to more easily view the hydrometer blue dot or
ring, it may be necessary to jiggle or tilt the battery.
4. Battery temperature can have a great effect on battery
charging capacity.
5. The sealed battery used on this vehicle may be either
quick-charged or slow-charged in the same manner as
other batteries.
Whichever method you decide to use, be sure that you
completely charge the battery. Never partially charge
the battery.
ENGINE ELECTRICAL 6D1 – 5

JUMP STARTING
JUMP STARTING WITH AN AUXILIARY
(BOOSTER) BATTERY
CAUTION:
Never push or tow the vehicle in an attempt to start it.
Serious damage to the emission system as well as
other vehicle parts will result.
Treat both the discharged battery and the booster
battery with great care when using jumper cables.
Carefully follow the jump starting procedure, being
careful at all times to avoid sparking.

WARNING:
Failure to carefully follow the jump starting procedure
could result in the following:
1. Serious personal injury, particularly to your eyes.
2. Property damage from a battery explosion, battery
acid, or an electrical fire.
3. Damage to the electronic components of one or
both vehicles particularly.

Never expose the battery to an open flame or


electrical spark. Gas generated by the battery may
catch fire or explode.
Remove any rings, watches, or other jewelry before
working around the battery. Protect your eyes by
wearing an approved set of goggles.
Never allow battery fluid to come in contact with your
eyes or skin.
Never allow battery fluid to come in contact with
fabrics or painted surfaces.
Battery fluid is a highly corrosive acid.
Should battery fluid come in contact with your eyes,
skin, fabric, or a painted surface, immediately and
thoroughly rinse the affected area with clean tap
water.
Never allow metal tools or jumper cables to come in
contact with the positive battery terminal, or any other
metal surface of the vehicle. This will protect against
a short circuit.
Always keep batteries out of the reach of young
children.
6D1 – 6 ENGINE ELECTRICAL

JUMP STARTING PROCEDURE


1. Set the vehicle parking brake.
If the vehicle is equipped with an automatic
transmission, place the selector lever in the "PARK"
position.
If the vehicle is equipped with a manual transmission
place the shift lever in the "NEUTRAL" position.
Turn "OFF" the ignition.
Turn "OFF" all lights and any other accessory requiring
electrical power.
2. Look at the built-in hydrometer.
If the indication area of the built-in hydrometer is
completely clear, do not try to jump start.
3. Attach the other end of the same cable to the positive
terminal of the discharged battery.
Attach the end of one jumper cable to the positive
terminal of the booster battery.
Do not allow the vehicles to touch each other.
This will cause a ground connection, effectively
neutralizing the charging procedure.
Be sure that the booster battery has a 12 volt rating.
4. Attach one end of the remaining cable to the negative
terminal of the booster battery.
Attach the other end of the same cable to a solid
engine ground (such as the A/C compressor bracket
or the generator mounting bracket) of the vehicle with
the discharged battery.
This ground connection must be at least 450 mm (18
in) from the battery of the vehicle whose battery is
being charged.
ENGINE ELECTRICAL 6D1 – 7

WARNING:
Never attach the end of the jumper cable directly to
the negative terminal of the dead battery.

5. Start the engine of the vehicle with the good battery.


Make sure that all unnecessary electrical accessories
have been turned "OFF".
6. Start the engine of the vehicle with the dead battery.
7. To remove the jumper cables, follow the above
directions in the reverse order.
Be sure to first disconnect the negative cable from the
vehicle with the discharged battery.

REMOVAL AND INSTALLATION OF THE


BATTERY

REMOVAL
1. All switches should be in the "OFF" position.
2. Disconnect the battery ground cable.
3. Disconnect the battery positive cable.
4. Disconnect the battery cable.

CAUTION:
It is important that the battery ground cable be
6D1-7-1.tif disconnected first.
Disconnecting the battery positive cable first can
result in a short circuit.

INSTALLATION
To install the battery, follow the removal procedure in the
reverse order, noting the following points:
1. Make sure that the rod is hooked on the body side.

MAIN DATA AND SPECIFICATIONS


Model (JIS) 115E41R-MF 130E41R-MF 95D31R-MF 80D26R-MF
Voltage (V) 12 12 12 12
Cold-Cranking Performance (Amp) 651 799 622 582
Reserve Capacity (Min) 212 229 159 133
Load Test (Amp) 325 400 310 290
Fast Charge Maximum Amperage (Amp) 20 20 20 20
BCI Group No. - - 27 24
Overall Dimension L×W×H (mm) 410×178×213 410×178×213 - -
6D1 – 8 ENGINE ELECTRICAL

MEMO
.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................
STARTING SYSTEM 6D2 – 1

SECTION 6D2
STARTING SYSTEM
CONTENTS
PAGE
General Description....................................................................................................... 6D2 - 1
On-Vehicle Service .................................................................................................... 6D2 - 3
Unit Repair...................................................................................................................... 6D2 - 5

GENERAL DESCRIPTION
STARTING CIRCUIT
The cranking system consists of a battery, starter, components are connected as shown in Figure. For
starter switch, starter relay, etc. and these main details of the starting circuit.

6D2-1-1.tif

STARTER
The starting system employs a magnetic type reduction
starter in which the motor shaft is also used as a pinion
shaft. When the starter switch is turned on, the contacts
of magnetic switch are closed, and the armature rotates.
At the same time, the plunger is attracted, and the pinion
is pushed forward by the shift lever to mesh with ring gear.
Then, the ring gear runs to start the engine. When the
engine starts and the starter switch is turned off, the
plunger returns, the pinion is disengaged from ring gear,
and the armature stops rotation. When the engine speed
is higher than the pinion, the pinion idles, so that the
armature is not driven.
6D2 – 2 STARTING SYSTEM

STARTING CIRCUIT

6D2-2-1.tif
STARTING SYSTEM 6D2 – 3

ON-VEHICLE SERVICE

6D2-3-1.tif

REMOVAL
Preparation
• Disconnect Battery Ground Cable.
1. "50" Terminal
2. "30" Terminal
3. Earth Cable Terminal
4. Starter Assembly
5. Spacer (4JB1, Except cold area)
6D2-3-2.tif

INSTALLATION
5. Spacer (4JB1, Except cold area)
4. Starter Assembly
• Tighten the fixing bolt and nut to the specified torque
Starter Bolts and Nuts Torque N∙m (Kg∙m/lb∙ft)
81 (8.3 / 60)

3. Earth Cable Terminal


• Connect the earth cable terminal.
6D2 – 4 STARTING SYSTEM

2. "30" Terminal
• Connect the harness connector.
1. "50" Terminal
• Connect the battery cable terminal with starter switch
harness terminal, then tighten nut to the specified
torque.
Fixing Nut Torque N∙m (Kg∙m/lb∙in)
9 (0.9/78)

• Connect the battery cable.


STARTING SYSTEM 6D2 – 5

UNIT REPAIR

6D2-5-1.tif

DISASSEMBLY
1. Lead Wire
Disconnect the lead wire from the magnetic switch.

6D2-5-2.tif

2. Through Bolt
Remove the through bolts from the yoke.

6D2-5-3.tif
6D2 – 6 STARTING SYSTEM

3. Yoke Assembly
Separate the yoke from the solenoid switch.
4. Yoke Cover

6D2-6-1.tif

5. Brush and Brush Holder


Remove (pull out) the brushes and the brush holder from
the armature with a pair of long-nose pliers.
6. Armature
7. Drive Side Housing

6D2-6-2.tif
STARTING SYSTEM 6D2 – 7

8. Overrunning Clutch
Remove the overrunning clutch from the housing.

6D2-7-1.tif

9. Return Spring
Remove the return spring from magnetic switch.

6D2-7-2.tif

10. Steel Ball


Remove the steel ball from the overrunning clutch.

6D2-7-3.tif

11. Idle Pinion


Remove the idle pinion from housing.

6D2-7-4.tif

12. Retainer
Remove the retainer from housing.
13. Roller
14. Magnetic Switch

6D2-7-5.tif
6D2 – 8 STARTING SYSTEM

INSPECTION AND REPAIR


Make necessary correction or parts replacement if wear,
damage or any other abnormal condition are found
through inspection.

ARMATURE
Check the commutator for run-out and replace if the
amount of run-out exceeds the limit.
Run-out test mm (in.)
kw Standard Limit
2.2
0.02 (0.0008) 0.05 (0.0020)
2.0
6D2-8-1.tif

Check the mica segment for wear.


Depth of mica segment mm (in.)
kw Standard Limit
2.2
0.7 - 0.9 (0.028 - 0.035) 0.20 (0.008)
2.0

6D2-8-2.tif

Check the commutator outer diameter.


Commutator outer diameter mm (in.)
kw Standard Limit
2.2
35.00 (1.378) 34.00 (1.339)
2.0

6D2-8-3.tif

Armature short circuit test


Check the armature for short circuit by placing it on a
growler tester. Hold a piece of hacksaw blade against the
armature core while slowly rotating the armature. A short-
circuited armature will cause the blade to vibrate and to be
attracted by the core. If the hacksaw blade is attracted or
vibrates, the armature, is short circuited, and must be
replaced.

6D2-8-4.tif
STARTING SYSTEM 6D2 – 9

Armature ground test


Touch one probe of a circuit tester to the commutator
segment and the other to the armature core. There
should be no continuity. If there is a continuity, the
armature is grounded. Replace the armature if it is
grounded.

6D2-9-1.tif

Armature continuity test


Connect the probes of a circuit tester across the 2
segments. There should be continuity at any test points.
Replace if it is open-circuited.

6D2-9-2.tif

YOKE
Field winding ground test
Using circuit tester, touch one probe to the field winding
end or brush and the other to the bare surface of yoke
body.
There should be no continuity. If the tester indicates a
continuity, the field coil is grounded and yoke assembly
should be replaced.

6D2-9-3.tif

Field winding continuity test


Using a circuit tester, touch one probe to the "C" terminal
lead wire and the other to the brush. There should be
continuity. Replace the yoke if it is open.

6D2-9-4.tif
6D2 – 10 STARTING SYSTEM

BRUSH AND BRUSH HOLDER


Measure the brush length and replace if it is worn beyond
the service limit.
Brush length mm (in.)
kw Standard Limit
2.2 14.5 (0.57)
10 (0.39)
2.0 16 (0.63)
6D2-10-1.tif

Brush holder insulation test


Using a circuit tester, check the brush holder insulation.
Touch one probe to the holder plate and the other to the
positive brush holder. There should be no continuity.

6D2-10-2.tif

OVERRUNNING CLUTCH
Inspect the teeth of pinion for wear and damage.
Replace if it damaged.
Rotate the pinion in direction of rotation (clockwise).
It should rotate smoothly. But in opposite direction, it
should be locked.

6D2-10-3.tif

BEARING
Check the bearings for wear and damage. If the bearings
are noisy during operation, they should be replaceds.

6D2-10-4.tif
STARTING SYSTEM 6D2 – 11

REASSEMBLY
To install, follow the removal steps in the reverse order,
noting the following points:

• Magnetic Switch
• Idle Gear
• Clutch assembly
• Housing
1) Install the clutch asm to the magnetic switch.
2) Install the idle gear and housing.
Note:
Do not fail to assemble the steel ball and the spring
between the clutch and magnetic switch.
6D2-11-1.tif Assemble the roller to the idle gear in advance.
6D2 – 12 STARTING SYSTEM

MAGNETIC SWITCH
Temporarily connect the solenoid switch between the
clutch and the housing and run the following tests.
Complete each test within three to five seconds.
1. Pull-in test
Connect the battery negative terminal with the solenoid
switch body and the M terminal. When current is applied
to the 50 terminal from the battery positive terminal, the
pinion should flutter.
6D2-12-1.tif

2. Hold-in test
Disconnect the lead at the M terminal. The pinion should
continue to flutter.

6D2-12-2.tif

3. Return test
Connect the battery negative terminal to the 50 terminal
and the body. Connect the battery positive terminal to the
M terminal. The pinion will flutter. When the lead to the
50 terminal is disconnected, the pinion should immediately
return to its stationary positions.

6D2-12-3.tif

4. Current value
• Make connections as shown in the illustration, and
measure the current value.
Standard = 120 A or less
Note:
For a battery, be sure to use one fully charged.
For lead wires, use thick ones since a large amount of
current flows through them.

6D2-12-4.tif
CHARGING SYSTEM 6D3 – 1

SECTION 6D3
CHARGING SYSTEM

CONTENTS
PAGE
General Description....................................................................................................... 6D3 - 1
Diagnosis........................................................................................................................ 6D3 - 4
On-Vehicle Service ........................................................................................................ 6D3 - 5
Unit Repair...................................................................................................................... 6D3 - 9

GENERAL DESCRIPTION
The charging system is the IC integral regulator The generator does not require particular maintenance
charging system and its main components are such as voltage adjustment. The rectifier connected to
connected as shown in Figure. the stators coil has nine diodes to transform A.C.
The regulator is a solid state type and it is mounted voltage into D.C. voltage. This D.C. voltage is
along with the brush holder assembly inside the connected to the output terminal of generator.
generator installed on the rear end cover.
6D3 – 2 CHARGING SYSTEM

Generator

6D3-2-1.tif

6D3-2-2.tif
CHARGING SYSTEM 6D3 – 3

CHARGING CIRCUIT

6D3-3-1.tif
6D3 – 4 CHARGING SYSTEM

DIAGNOSIS
GENERAL ON-VEHICLE INSPECTION
The operating condition of charging system is indicated by
the charge warning lamp. The warning lamp comes on
when the starter switch is turned on "ON" position. The
charging system operates normally if the lamp goes off
when the engine starts. If the warning lamp shows
abnormality or if undercharged or overcharged battery
condition is suspected, perform diagnosis by checking the
charging system as follows:

6D3-4-1.tif

1. Check visually the belt and wiring connector.


2. With the engine in stop status, turn the starter switch
to "ON" position and observe the warning lamp.
• If lamp does not come on:
Disconnect wiring connector from generator, and
ground the terminal "L" on connector side.
• If lamp comes on:
Repair or replace the generator.
CHARGING SYSTEM 6D3 – 5

ON-VEHICLE SERVICE
GENERATOR

6D3-5-1.tif

REMOVAL
Preparation
• Disconnect battery ground cable.
1. A/C Compressor Drive Belt (A/C Model)
• Loosen the idler pulley lock nut
• Loosen the adjust bolt and remove the drive belt.
2. A/C Compressor Assembly (A/C Model)
• Disconnect the clutch harness connector.
• Remove the A/C compressor fixing bolts and
temporarily tighten the A/C compressor to chassis
frame side use the wire.
6D3 – 6 CHARGING SYSTEM

3. Harness Connector (A/C Model)


• Disconnect the "L", "S", "IG" terminal.
• Disconnect the "B" terminal.

4. Vacuum Hose (EXH. Brake Model)


• Remove the vacuum hose to vacuum tank and
exhaust actuator.
5. Oil Hose
• Remove the oil hose from oil pan.
• Remove the oil hose of vacuum pump side.
6. AC Generator Drive Belt
• Loosen the adjust plate fixing bolt.
• Remove the adjust bolt.
6D3-6-1.tif • Loosen the AC Generator fixing bolt then remove the
fan belt.

7. Power Steering Oil Pipe Bracket (P/S Model)


• Remove the oil pressure pipe bracket fixing bolt and
pipe clip bolt.
• Remove the oil suction pipe clip bolt.
8. AC Generator Fixing Bolts
9. AC Generator Assembly

6D3-6-2.tif

INSTALLATION
9. AC Generator Assembly
• Set the AC generator.
8. AC Generator Fixing Bolts
• Temporary install the AC generator fixing bolt.

7. Power Steering Oil Pipe Bracket (P/S Model)


• Install the oil pipe bracket and tighten bolts to the
specified torque.
Pipe Bracket Bolt torque N∙m (kg∙m/lb∙ft)
19 (1.9/14)

6D3-6-3.tif
CHARGING SYSTEM 6D3 – 7

• Install the suction pipe clip bolt and tighten bolt to the
specified torque.
Pipe Clip Bolt torque N∙m (kg∙m/lb∙in)
10 (1.0/87)

• Install the pressure pipe and suction pipe clip bolt,


then tighten bolt to the specified torque.
Pipe Clip Bolt Torque N∙m (kg∙m/lb∙in)
10 (1.0/87)

6. AC Generator Drive Belt


• Install the AC Generator drive belt and adjust belt
tension.
• Depress the drive belt mid-portion with a 98N
(10kg/22lb) force.
Drive Belt Deflection mm (in)
8 (0.31) - 10 (0.39)

• Install the fixing bolt and tighten bolt to the specified


6D3-7-1.tif torque.

Generator Fixing Bolt Torque N∙m (kg∙m/lb∙ft)


40 (4.1/30)

Adjust Plate Fixing Bolt Torque N∙m (kg∙m/lb∙ft)


19 (1.9/14)

6D3-7-2.tif

5. Oil Hose
• Install the oil hose ! to vacuum pump.
• Install the oil hose " to oil pan.

4. Vacuum Hose (EXH. Brake Model)


• Install the vacuum hose to vacuum tank and exhaust
actuator.

3. Harness Connector (A/C Model)


6D3-7-3.tif
• Connect the "L", "S", "IG" terminal and "B" terminal
connectors.
6D3 – 8 CHARGING SYSTEM

2. A/C compressor Assembly (A/C Model)


• Install the compressor assembly and tighten bolts to
the specified torque.
Compressor Bolt Torque N∙m (kg∙m/lb∙ft)
19 (1.9/14)

• Connect the magnetic switch harness connector.

6D3-8-1.tif

1. A/C compressor Drive Belt (A/C Model)


• Install A/C compressor drive belt and adjust belt
tension.
• Depress the drive belt and mid-portion with a 98N (10
kg/ 22 lb) force.
Drive Belt Deflection mm (in)
8 (0.31) - 10 (0.39)

• Tighten the idler lock nut to the specified torque.


6D3-8-2.tif

Idle Pulley Lock Nut Torque N∙m (kg∙m/lb∙ft)


27 (2.8/20)

• Connect the battery ground cable.

6D3-8-3.tif
CHARGING SYSTEM 6D3 – 9

UNIT REPAIR

6D3-9-1.tif

DISASSEMBLY
1. Vacuum Pump
• Dram fluid from discharged port.
• Remove the vacuum pump fixing bolts. Hold the
center plate and remove the vacuum pump
horizontally in direction in line with the rotor shaft.
2. Read Wire
3. Through Bolts
6D3-9-2.tif

4. Rotor and Front Cover Assembly


5. Stator and Rear Cover Assembly
• Insert a driver into the clearance between the front
cover and the stator core, and remove the assembly.
NOTE:
Take care not to damage the stator coil with the
driver. When the assembly will not come off, hold
down the rear cover and hit the end face of the shaft
gently with a plastic hammer to detach it.
6D3-9-3.tif
6D3 – 10 CHARGING SYSTEM

6. Rotor
• With the rotor gripped with a vise, remove the pulley
nut !, and then take off the pulley ", fan #, front
cover $ and the rotor %.

6D3-10-1.tif

7. Rear Bearing
8. Terminal Bolt and Nut
9. Rear Cover
• Remove the nuts fixing the B terminal and diode
holder.
Separate the stator and rear cover.
Note the position of insulation washers to ensure
reassembly into original position.
10. Stator
11. Diode
• Separate the diodes from the stator by melting away
6D3-10-2.tif solder on stator coil and diode.
When melting solder, hold the lead wire with long nose
pliers to prevent heat from being transferred to the
diodes.

12. IC Regulator Assembly


• Separate the IC regulator from the diode by melting
away solder on IC regulator holder plate and removing
the nut.

6D3-10-3.tif

13. Brush Holder


• Remove the serrated bolts and melt away solder on IC
regulator.
• Do not remove the serrated bolts unless the
replacement of brush or condenser.
To install, follow the removal steps in the reverse
order.

INSPECTION AND REPAIR


6D3-10-4.tif
Repair or replace necessary parts if extreme wear or
damage is found during inspection.
CHARGING SYSTEM 6D3 – 11

ROTOR
1. Check the rotor slip ring surfaces for contamination and
roughness. If rough, polish with #500-600 sandpaper.
2. Measure the slip ring diameter, and replace if it
exceeds the limit.
mm (in)
Standard Limit
34.6 (1.36) 33.6 (1.32)
6D3-11-1.tif

3. Check for continuity between slip rings, and replace if


there is no continuity.

6D3-11-2.tif

4. Check for continuity between slip ring and rotor core or


slip ring and rotor shaft.
In case of continuity, replace the rotor assembly.

6D3-11-3.tif

Rear Ball Bearing


Check to see if the ball bearing rotates smoothly with no
noises.
When it does not rotate smoothly or any noises are heard,
replace it with a new one.
When installing the bearing, press it in with the stopper ring
turned to the spline side, while pushing the bearing inner ring.
Bearing press-in measurement: L mm (in)
Standard 41.8 - 42.0 (1.64 - 1.65)
6D3-11-4.tif

STATOR COIL
1. Check for continuity between respective phases.
In case of no continuity, replace the stator.

6D3-11-5.tif
6D3 – 12 CHARGING SYSTEM

2. Check for continuity across one of the stator coils and


stator core. If a continuity exists, replace the coil.

6D3-12-1.tif

DIODE
1. Check for continuity across the terminal (example:
across BAT and U). If a continuity exists, the diode is
in satisfactory condition. If no continuity exists the
diode is defective.
2. Make a test with the polarities reversed. If no
continuity exists, the diode is in satisfactory condition.
If a continuity exists at any point, the diode is defective
and should be replaced.
6D3-12-2.tif Auxiliary diodes are not provided with the terminal and
continuity test should be made across the terminals of
the conventional diodes.

- side diode check


Across terminals BAT (Positive side (+) diodes)
Tester pin Positive side Negative side
Positive side No continuity
U.V.W
Negative side Continuity
+ side diode check
Across terminals E (Negative side (+) diodes)
6D3-12-3.tif Tester pin Positive side Negative side
Positive side Continuity
U.V.W
Negative side No continuity

BRUSH
Measure length of brushes.
Brush length (L)
mm (in)
Standard Limit
20 (0.79) 6 (0.24)

Brushes are provided with a line which indicates the limit


of usage.
6D3-12-4.tif
CHARGING SYSTEM 6D3 – 13

IC REGULATOR
Measuring instruments is necessary.
Take the following measurements with the instruments
connected as shown in the illustration.

V1 Voltage at BAT1 V
Standard 10 - 13

V2 Voltage across F-E V


Standard Limit
2 or less 2 or more

Take measurement with `S' terminal disconnected.


V3 Measure the voltage at BAT1 - BAT2. V
6D3-13-1.tif
Standard 20 - 26

• Measurement the voltage across the E-F while varying


resistance gradually from zero using variable resistor.
Then check that voltage increases from 2V to 10 - 13.
If increase in voltage is interrupted at any point,
replace the regulator.
• V4 Measure the voltage across the intermediate tap on
variable resistor and `E' terminal without actuating the
variable resistor.
V
6D3-13-2.tif Standard voltage at 20°C (68°F) 14.0 - 14.9

If measured value deviates from the standard, replace


the regulator.

Check the following with the instrument connected as


illustrated.
Measure the voltage across the terminals B and E by
gradually increasing voltage with variable resistor RV.
Check to see if voltage increases from lower than 2V to
range from 10 to 13 volts.
If the voltage does not vary, the regulator is defective and
should be replaced.
Check the voltage across the intermediate tap of the
variable resistor and terminal E without actuating the
variable resistor.
V
Standard voltage at 20°C (68°F) 14.5 - 16.9

If measured voltage deviates from the standard value,


replace the regulator.
6D3 – 14 CHARGING SYSTEM

VACUUM PUMP
Visual check
• Inspect the following parts for wear, damage or other
abnormal conditions.

Disassembly of Vacuum pump


• For the center plate, rotor and vane in the mentioned.

6D3-14-1.tif

Housing
• Measure the inside diameter of housing and place if it
exceed the standard.
mm (in)
57.0 - 57.1
Standard
(2.244 - 2.248)

Vane
Measure the length of vanes
6D3-14-2.tif
mm (in)
Standard 12.5 - 13.5 (0.492 - 0.531)

Check Valve
1. Apply a light pressure onto the "B" side of valve with a
screw driver and check that valve operates smoothly.
2
2. Apply compressed air 1 - 5 kg/cm onto "A" side of
valve and check if there is air leak.

6D3-14-3.tif

Reassembly of vacuum pump


1. Position the rotor, with the serrated boss turned up, on
the center plate and housing.
Align the holes in center plate and rotor.
2. Install vanes into slits in rotor.
The vanes should be installed with chamfered side
turned outward.
3. Install the O-ring and center plate

6D3-14-4.tif
CHARGING SYSTEM 6D3 – 15

REASSEMBLY
13. Brush Holder
12. IC Regulator Assembly
• Hold the brush in the holder as shown in the illustration
and solder the lead wire.
• Put the IC regulator on the brush holder and press the
bolt.
Bushing and connecting plate must be installed when
pressing the bolt.
6D3-15-1.tif

6D3-15-2.tif

11. Diode
• Connect the terminals by fixing the rivet at 1 and
soldering the terminal at 2.

6D3-15-3.tif

10. Stator
• When connecting stator coil leads and diode leads
using solder, use long-nose pliers and finish the work
as quickly as possible to prevent the heat from being
transferred to the diodes.
9. Rear Cover
8. Terminal Bolt and Nut
7. Rear Bearing

6D3-15-4.tif

6. Rotor
• Cover vice with copper plates, clamp the rotor with the
vice, and tighten nut to the specified torque.
Pulley Nut Torque N∙m (kg∙m/lb∙ft)
90 (9.2/67)

6D3-15-5.tif
6D3 – 16 CHARGING SYSTEM

5. Stator and Rear Cover Assembly


4. Rotor and Front Cover Assembly

3. Through Bolts
• Place guide bar through the holes in front cover and
rear cover flange for alignment, then install the through
bolts.
• Tighten the through bolts to the specified torque
Through Bolts Torque N∙m (kg∙m/lb∙in)
3.5 (0.36/31)

6D3-16-1.tif

2. Read wire
1. Vacuum Pump
• Install and mount the housing to the generator using 3
bolts.
• Pour engine oil (5 cc or so) in through the filler port,
then check that generator pulley can be turned
smoothly with hand.
• Tighten the pump fixing bolts to the specified torque.
Pump Fixing Bolts Torque N∙m (kg∙m/lb∙in)
3.5 (0.36/31)
6D3-16-2.tif

• Pour engine oil (5 cc or so) throuh the filler port, and


then check the pulley for smooth rotation.
CHARGING SYSTEM 6D3 – 17

UNIT REPAIR

6D3-17-1.tif

DISASSEMBLY
1. Removal of Through Bolts
Remove the three through bolts.

6D3-17-2.tif

2. Separation of Drive End Frame and Rear End Frame &


Stator
As illustrated, put a screw-driver into the notched part of
the drive end frame and separate the rear end frame and
stator from the drive end frame.
NOTE:
Be careful not to put in a screw-driver to excess so as
to prevent the stator coil from being scratched.

6D3-17-3.tif
6D3 – 18 CHARGING SYSTEM

3. Separation of Pulley, Fan, Drive End Frame, and Rotor


Fix the rotor in a lock vice, and after removing the lock nut
separate the pulley, fan, drive end frame, and rotor.
NOTE:
Be sure to fix the rotor through cloth in a vice.

6D3-18-1.tif

4. Removal of Bearing (on the Drive End Frame Side)


• Remove the ball bearing fixing screw.

6D3-18-2.tif

• As shows in the illustration, make the drive end frame


parallel to a block, and then push out the bearing with
a press through a jig.

6D3-18-3.tif

5. Separation of Rear End Frame and Rectifier & Stator


Remove the nuts M5 and M6, and separate the rectifier
and stator from the rear end frame.

6D3-18-4.tif

6. Separation of Rectifier and Stator


Disconnect the stator lead wire from the rectifier by means
of a soldering copper to separate the rectifier and stator
from each other.
NOTE:
Since the rectifier a low resistance to heat, the work
should be done quickly using radio pliers to absorb
heat.

6D3-18-5.tif
CHARGING SYSTEM 6D3 – 19

Tighten the lightly with 7. Removal of Bearing (on the Rear Side) [Only for
a vise with care not to
cause any damage.
Replace.]
Take out the bearing with a puller.
Insert it to see whether replacement is needed.
NOTE:
Conduct the bearing inspection mentioned below and
determine whether or not the bearing be replaced.

6D3-19-1.tif

INSPECTION AND REPAIR


NOTE:
Standard values and limits vary with alternators, and
therefore, maintenance standards for each part
should be followed.

1) Fan
Check to see whether it is deformed.
2) Bearing
Turn it by hand to check for smooth and noiseless
turning.
3) Stator
• Resistance between phases (neutral point and each
phase lead wire) should be 1Ω or less.
• Insulation resistance between the core and stator coil
6D3-19-2.tif
should be 0.1MΩ or more by a 500V megohmmeter.
NOTE:
If there is no continuity, the connection of lead wire
should be checked as the disconnected stator coil
cannot be considered.

4) Rotor
• Resistance between slip rings as shows in the
illustration, about 4Ω.
• Insulation resistance between slip ring and ball core:
0.1MΩ or more by 500V megohmmeter.
• Check slip rings for surface. If staind or rough, use
sand paper (#300 - #500).

6D3-19-3.tif
6D3 – 20 CHARGING SYSTEM

In this case, the slip ring can be used until its outer
diameter becomes 0.4mm shorter than the initial size.

6D3-20-1.tif

5) Rectifier
Conduct a rectifier continuity test using the KΩ range
of a circuit tester.
Specifically, change polarity between the rectifier and
holder fin, making sure that there continuity in either
one direction only. (There should not be continuity in
the other direction.)
NOTE:
It is impossible to judge a rectifier by the resistance in
the direction of easy flow. Because of diode’s
6D3-20-2.tif
characteristics, the current in the direction of easy
flow changes greatly depending on the power source
voltage.
Therefore, a tester’s indication varies depending on
its type and resistance range variation.
Accordingly, it must be regarded as a criterion that
there is a wide difference between the resistances
easy flow and the other direction.
Never use a 500V megohmmeter for such a continuity
test, since the rectifier may be damaged.

6) Brush
Measure the protruding length from the brush holder.
mm (in)
Standard Limit
12.5 (0.492) 5.5 (0.217)

6D3-20-3.tif
CHARGING SYSTEM 6D3 – 21

REASSEMBLY

Follow the same procedure as for disassembly in the


opposite order, paying special attention to the following
points:
• Brush
When fitting a new brush, be sure to see it so that the
free end of it is projecting 12.5mm (0.49 in) from the
holder.

6D3-21-1.tif

• Rotor
Be sure to fit it after brush is supported by the brush
holder.
Otherwise, the rotor cannot be fitted or the brush may
be broken.

6D3-21-2.tif

Output Characteristic
As alternator speed increases, the output gradually
increases as shows in the illustration.
In other words, when alternator speed exceeds a certain
limit to cause to enlarge output current, supply capacity will
further increase owing to the neutral point diodes.

6D3-21-3.tif
6D3 – 22 CHARGING SYSTEM

MEMO
.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................
QOSII PREHEATING SYSTEM 6D6 – 1

SECTION 6D6
QOSII PREHEATING SYSTEM
(4JB1/4JB1T/4JB1TC ONLY)

CONTENTS
PAGE
General Description....................................................................................................... 6D6 - 1
System Diagram............................................................................................................. 6D6 - 2
Inspection on QOS II system Operation ...................................................................... 6D6 - 3
QOSII System Troubleshooting.................................................................................... 6D6 - 4

GENERAL DESCRIPTION
QOS II preheating system features a quick-on glow With the employment of the thermoswitch, the glow
plug with thermometer control of the glowing time and time changes according to the engine coolant
the afterglow time function. temperature, thus allowing optimum starting conditions
The system consists of a controller, indicator lamp, to be obtained.
thermoswitch, relay, and glow plug ( 4 pcs).
6D6 – 2 QOSII PREHEATING SYSTEM

SYSTEM DIAGRAM

6D6-2-1.tif

QOS II Timing Chart

6D6-2-2.tif
QOSII PREHEATING SYSTEM 6D6 – 3

Inspection on QOSII System Operation


THERMO SWITCH
The thermo switch is located on the water outlet pipe.

6D6-3-1.tif

Use a circuit tester to check the thermo switch for continuity.

OFF!ON : 7-13°C (44.6-55.4°F)


ON!OFF : Below 3°C (37.4°F)
10°C ON
OFF
3°C

6D6-3-2.tif

GLOW PLUG
Use a circuit tester to test the glow plugs for continuity.
Glow Plug Resistance (Reference) Ohms
Conventional model Approximately 1.5
Quick on start model Approximately 0.9

6D6-3-3.tif
6D6 – 4 QOSII PREHEATING SYSTEM

QOSII SYSTEM TROUBLESHOOTING

6D6-4-1.tif

Problems when the water temperature of the engine is 0°C below.

Condition Cause Circuit


Glow plug relay will Bad connection of FLW between battery and starter. 3
not be lit.
Bad connection or disconnection of starter SW circuit
Bad connection or disconnection Malfunction of other
of Fuse No . 8 circuits occurred 2
simultaneously.
Bad starter awitch.
Bad connection of glow plug relay terminal. 1
Disconnection of glow plug relay excitation coil.
Disconnection of circuit between glow plug relay and timer. 6
Bad glow relay. (The main contact does not pass electricity.)
Bad connection of timer.
Bad timer.
Bad earth circuit of timer. 7
Bad thermoswitch. (It remains ON even in water temperature below 0°C.)
Earth short-circuiting of thermo SW. 7
QOSII PREHEATING SYSTEM 6D6 – 5

Condition Cause Circuit


Through glow plug Bad connection of FLW between battery and glow relay. 1
relay turns ON,
Bad connection or disconnection in preheating circuit of glow relay main contact
preheating is not
terminal connector.
done.
Bad connection between plug connector and preheating circuit 9
Glow plug relay Bad timer.
turns ON, but does
Bad timer. Short circuiting in circuit or earth between 5 terminal and glow relay. 6
not go OFF.
Bad glow relay.
Indication lamp is Bad timer.
not lit.
Burning-out of light bulb. 8

Note: Circuit No. in rectangle is shown in the previous pre-heating chart.

2) Problems when the time water temperature of the engine is 0°C or above.

Condition Cause Circuit


Indicator lamp is Bad timer
not lit
Burning-out of bulb. 8
Turn glow relay Bad thermoswitch or disconnection of thermo SW circuit. 4
ON. (Indicator will light up for 3.5 seconds.)
Bad timer.
Bad timer. Short-circuiting in circuit or earth between terminals 5 and glow relay.

Note: Circuit No. in rectangle is shown in the previous pre-heating chart.

3) Burning-out of glow plug


When only one line is burned out, it has no effect on the start up of the engine. Even if one line is burned
out, judging from the characteristics of the glow plug, the impressed voltage will change only slightly.
Therefore, no judgment can be made by normal testing while the glow plug is installed. In order to check
for disconnections and burn-outs, the glow plugs will have to be removed from the connectors and checked
one by one for continuity.
6D6 – 6 QOSII PREHEATING SYSTEM

MEMO
.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................
QOSIII PREHEATING SYSTEM 6D7 – 1

SECTION 6D7
QOSIII PREHEATING SYSTEM
(4JG2 ONLY)

CONTENTS
PAGE
General Description....................................................................................................... 6D7 - 1
System Diagram............................................................................................................. 6D7 - 2
Inspection on QOS III system Operation ..................................................................... 6D7 - 5

GENERAL DESCRIPTION
QOS III preheating system features a quick-on glow With the employment of the thermoswitch, the glow
plug with thermometer control of the glowing time and time changes according to the engine coolant
the afterglow time function. temperature, thus allowing optimum starting conditions
to be obtained.
The system consists of a controller, indicator lamp,
thermosensor, vehicle speedsensor, dropping resistor, The afterglow time function is controlled by
relay (2 pcs), and temperature self-control type glow thermosensor, vehicle speed sensor, and the engine
plug (4 pcs) runstall sensor (charge relay).
6D7 – 2 QOSIII PREHEATING SYSTEM

SYSTEM DIAGRAM

6D7-2-1.tif

QOS II Timing Chart

6D7-2-2.tif
QOSIII PREHEATING SYSTEM 6D7 – 3

QOS III FLOW CHART

6D7-3-1.tif
6D7 – 4 QOSIII PREHEATING SYSTEM

QOS III BLOCK CHART

6D7-4-1.tif
QOSIII PREHEATING SYSTEM 6D7 – 5

Inspection on QOSIII System Operation


I Inspection on Quick Heating Operation
1. Disconnect thermo-sensor connection on the
thermostat housing.

6D7-5-1.tif

2. Connect the circuit tester between glow plug and


engine earth.
3. Inspect the following items with starter switch set to
ON position (but do not start the engine).
1) The glow indicator shall light for 1 ~ 6 sec.
2) The circuit tester shall indicate power supply voltage
for 9 ~ 13 sec.
• If above specifications are not satisfied, inspect wire
harness, glow relay and thermo-sensor. If satisfied,
inspect glow plug.
6D7-5-2.tif

II Inspection on Quick Heating Afterglow Operation


1. Disconnect thermo-sensor connection on the
thermostat housing.

6D7-5-3.tif

2. Connect the circuit tester between glow plug and


engine earth.
3. Inspect the following item with start the engine.
1) The circuit tester shall indicate power supply voltage
for about 5 seconds.
• If above specification is not satisfied, inspect battery
voltage, engine earth, wire harness and starter switch
"st" signal to control unit.
If satisfied, inspect wiring harness, engine earth and
starter switch.
6D7-5-4.tif

III Inspection on Afterglow Operation


1. Disconnect thermo-sensor connection on the
thermostat housing.

6D7-5-5.tif
6D7 – 6 QOSIII PREHEATING SYSTEM

2. Connect the circuit tester between glow plug and


engine earth.
3. Inspect the following items with start the engine.
1) The circuit tester shall indicate about 7 volts after 360
seconds of engine start.
• If above specifications are not satisfied, inspect battery
voltage, engine earth, wiring harness, glow plug,
dropping resistor, relay No. 2 and charge relay.

6D7-6-1.tif

THERMO SENSOR
Measure the resistance depending on the water
temperature as shown in the left figure. (Measuring range:
10°C ~ 50°C)
Temperature Current (mA) Resistance (KW)
20 ± 1 1.0 2.0 ~ 3.0
50 ± 1 1.0 0.68 ~ 1.0
6D7-6-2.tif

When installing the thermo sensor, apply sealant (Loctite


#262 or equivalent) to narrowed portion in the left figure to
prevent water leakage
Torque N∙m (kg∙m/lb∙in)
8 (0.8/69)

6D7-6-3.tif

GLOW PLUG
Inspect the resistance
Resistance at normal temperature Ω
0.8 ~ 1.0

Torque N∙m (kg∙m/lb∙ft)


23 (2.3/17)

6D7-6-4.tif
QOSIII PREHEATING SYSTEM 6D7 – 7

DROPPING RESISTOR
Inspect the resistance
Resistance of normal ambient temperature mΩ
225 ~ 255

6D7-7-1.tif

GLOW PLUG RELAY


Inspect the continuity
!-" No Continuity

If apply the battery voltage to terminal between # - $


!-" Continuity

6D7-7-2.tif

CHARGE RELAY
Inspect the continuity
"-$ Continuity

%-$ No Continuity

If apply the battery voltage to terminal between ! - #


"-$ No Continuity
6D7-7-3.tif
%-$ Continuity
6D7 – 8 QOSIII PREHEATING SYSTEM

MEMO
.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................
HOME

EXHAUST GAS RECIRCULATION (EGR) SYSTEM 6E– 1

SECTION 6E
EXHAUST GAS RECIRCULATION (EGR) SYSTEM

CONTENTS
PAGE
General Description........................................................................................................... 6E -2
EGR System Wiring Diagram............................................................................................ 6E -3
EGR System Operation ..................................................................................................... 6E -3
EGR System Check ........................................................................................................... 6E -4
Inspection........................................................................................................................... 6E -5
6E – 2 EXHAUST GAS RECIRCULATION (EGR) SYSTEM

GENERAL DESCRIPTION

D06LX001.tif

This system controls the formation of NOx emission by recirculating the exhaust gas into the combustion chamber
through the intake manifold.
The EGR valve are controlled by VSV, also VSV are controlled by EGR controller according to signals from RPM
sensor and Potentiometer.
The amount of EGR depends on the number of engine rotations and the opening of the accelerator.
EXHAUST GAS RECIRCULATION (EGR) SYSTEM 6E– 3

EGR SYSTEM WIRING DIAGRAM

(above 40℃: OFF)


(below 30℃: ON)

826LX007.tif

1. CONNECTOR PIN ASSIGNMENT


No. CONNECTOR NAME
1 -
2 Battery (-) c/u GND
3 Thermo Switch
4 Battery (+)
5 -
6 -
7 rpm Signal (+)
8 rpm Signal (-)
9 Potentio Meter (+)
13-01.tif
10 Potentio Meter
11 Potentio Meter (-)
12 -
13 VSV

EGR SYSTEM OPERATION


1) On the input side of engine speed, there is provided a
hysteresis of 50 rpm on the speed rising side.
2) It does not work until 70 sec, pass after engine start.
3) It does not work while the water temperature switch is
on (30°C or lower).
4) While engine speed drops from 3,800 rpm or higher, it
does not work for 25 sec.

056LX016.tif
6E – 4 EXHAUST GAS RECIRCULATION (EGR) SYSTEM

Exhaust Gas Recirculation (EGR) System Check


Step Action Value (s) Yes No
1 Check the EGR valve for looseness.
Is the EGR valve loose? - Go to Step 2 Go to Step 3
2 Tighten the EGR valve.
Is the action complete? - Verify repair -
3 1. Engine "OFF."
2. Ignition "ON."
3. Using test light to ground, check the EGR harness
between the EGR valve and ignition feed.
Does the test light illuminate? - Go to Step 5 Go to Step 4
4 Repair the EGR harness ignition feed.
Was the problem corrected? - Verify repair Go to Step 5
5 1. Remove the EGR valve.
2. Visually and physically inspect the EGR valve pintle,
valve passages and adapter for excessive deposits,
obstructions or any restrictions.
Does the EGR valve have excessive deposits,
obstructions or any restrictions? - Go to Step 6 Go to Step 7
6 Clean or replace EGR system components as necessary. -
Was the problem corrected? Verify repair Go to Step 7
7 1. Remove the EGR inlet and outlet pipes from the intake
and exhaust manifolds.
2. Visually and physically inspect manifold EGR ports and EGR system
EGR inlet and outlet pipes for blockage or restriction working
caused by excessive deposits or other damage. properly.
Do the manifold EGR ports or inlet and outlet pipes have No problem
excessive deposits, obstructions, or any restrictions? - Go to Step 8 found.
8 Clean or replace EGR system components as necessary.
Is the action complete? - Verify repair -
EXHAUST GAS RECIRCULATION (EGR) SYSTEM 6E– 5

INSPECTION
Vacuum Switch Valve (VSV)
Check the resistance between the VSV connector terminals
using a circuit tester.
Cold Resistance: 37 - 44 (Ω) (for 12 volt)
Connect battery voltage between VSV connector terminals and
make sure of the continuity between the ports.

056LW026.tif

EGR Valve
With negative pressure applied to the diaphragm chamber,
make sure that the valve is smoothly actuated to make the
area between (1) and (2) ventilated.
Startup: About -18.66±2.67 Kpa (-140±20 mmHg)
Check to see if EGR valve is normally actuated under the
following conditions:
QWS off (After warming up)
Engine coolant temp: 80°C or higher
056LW009.tif

TOOL NO.
ILLUSTRATION
TOOL NAME

5-8840-0366-0

High Impedance
Multimeter
(Digital Voltmeter-
DVM)
6E-143-1.tif

5-8840-0279-0

Vacuum Pump with


Gauge
6E-143-3.tif
6E – 6 EXHAUST GAS RECIRCULATION (EGR) SYSTEM

MEMO
.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................
HOME

ENGINE EXHAUST 6F – 1

SECTION 6F
ENGINE EXHAUST
CAUTION:
Exhaust system components must have enough of the floor pan and possible damage to the passenger
clearance from the underbody to prevent overheating compartment, insulation and trim materials.

CONTENTS

PAGE
General Description......................................................................................................... 6F - 2
Three Way Catalytic Converter ....................................................................................... 6F - 3
On-Vehicle Service ...................................................................................................... 6F - 4
Front Exhaust Pipe .......................................................................................................... 6F - 4
Exhaust Brake Unit.......................................................................................................... 6F - 5
Inspection..................................................................................................................... 6F - 5
6F – 2 ENGINE EXHAUST

GENERAL DESCRIPTION

Model ’91/542B (Euro 2)

501LX002.tif

General Export

501LX003.tif

When inspecting or replacing exhaust system components,


make sure there is adequate clearance from all points on the
underbody to prevent overheating of the floor pan and possible
damage to the passenger compartment insulation and trim
materials.
Check complete exhaust system and nearby body areas and
rear compartment lid for broken, damaged, missing or
mispositioned parts, open seams, holes, loose connections or
other deterioration which could permit exhaust fumes to seep
into the rear compartment or passenger compartment. Dust or
water in the rear compartment may be an indication of a
problem in one of these areas. Any faulty areas should be
corrected immediately.
ENGINE EXHAUST 6F – 3

THREE WAY CATALYTIC CONVERTER


The three way catalytic converter is an emission control
device added to the exhaust system to reduce pollutants
from the exhaust gas stream.

CAUTION:
• The catalytic converter requires the use of unleaded
fuel only.

Periodic maintenance of the exhaust system is not


150LS001.tif required. If the vehicle is raised for other service, it is
advisable to check the condition of the complete exhaust
system.
A dual bed monolith catalytic converter is used in
combination with three way catalytic converter.
Catalytic Types:
Three way (Reduction/Oxidation) catalyst
The catalyst coating on the three way (reduction)
converter contains platinum and rhodium which lowers the
levels of oxide of nitrogen (NOx) as well as hydrocarbons
(HC) and carbon monoxide (Co).
6F – 4 ENGINE EXHAUST

ON-VEHICLE SERVICE
Rattles and noise vibrations in the exhaust system are usually
caused by misalignment of parts. When aligning the system,
leave all bolts or nuts loose until all parts are properly aligned;
then tighten, working from front to rear.
1. Check connections for looseness or damage,
especially for exhaust gas leakage.
2. Check clamps and rubbers for weakness, cracks or
damage.
3. If any part of the converter heat shield is damaged or
dented to the extent that it contacts the catalyst, repair
or replace.
4. Check for dents or damage and for any holes or
cracks caused by corrosion.

FRONT EXHAUST PIPE

6F-6-1.tif

REMOVAL
Preparation:
• Battery ground cable
1. Exhaust manifold fixing nuts.
• Remove two fixing nuts from exhaust manifold and
front pipe.
2. Front exhaust pipe mounting bracket fixing bolt and
nut.
3. Front exhaust pipe fixing bolts and nuts.
• Remove two bolts fixed from front pipe and center
pipe.
4. Front exhaust pipe.
6F-6-2.tif • Take out the exhaust pipe to another side.
ENGINE EXHAUST 6F – 5

INSTALLATION
4. Front exhaust pipe.
3. Front exhaust pipe fixing bolts and nuts.
• Tighten the fixing nuts to the specified torque
N∙m (kg∙m/lb∙ft)
50 (5.1/37)

2. Front exhaust pipe mounting bracket fixing bolt and nut.


• Tighten the fixing bolt to the specified torque
N∙m (kg∙m/lb∙ft)
40 (4.1/30)

1. Exhaust manifold fixing nuts


• Tighten the fixing nuts to the specified torque
N∙m (kg∙m/lb∙ft)
69 (7/51)
6F-7-1.tif

• Connect battery ground cable.


• After assembling each part, start the engine to check
for any leakage of gas at each connection.

Exhaust Brake Unit


INSPECTION
Operational inspection
• With the engine idling, operate the exhaust brake to
check for the sound of the valve hitting against the
stopper.

Unit inspection
• Check to see if the exhaust valve opens and closes
smoothly when the power chamber is
applied with a negative pressure (400 mmHg - 700
mmHg) by the vacuum pump.

6F-5-2.tif

• Check to see if the clearance between the valve and


the body is in the range of 0.1 mm - 0.2 mm (the
minimum of 0.1 mm) on an average of the points “A”
and “B” when the power chamber is applied with a
negative pressure (650 mmHg - 700 mmHg) by the
vacuum pump.
When the clearance is outside this range, adjust the
clearance with the adjust bolt.

6F-5-3.tif
6F – 6 ENGINE EXHAUST

MEMO
.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................

.....................................................................................................................................................................................
HOME

TURBOCHARGER 6G – 1

SECTION 6G
TURBOCHARGER

CONTENTS

PAGE
Turbocharger ................................................................................................................... 6G - 2
Main Data and Specifications ..................................................................................... 6G - 2
General Description......................................................................................................... 6G - 3
Identification of Unit.................................................................................................... 6G - 4
Turbocharger Servicing .............................................................................................. 6G - 4
Precautions .................................................................................................................. 6G - 4
Disassembly..................................................................................................................... 6G - 5
Inspection and Repair ..................................................................................................... 6G - 7
Reassembly...................................................................................................................... 6G - 9
IHI Service Net work ........................................................................................................ 6G -11
6G – 2 TURBOCHARGER

TURBOCHARGER
MAIN DATA AND SPECIFICATIONS
Model IHI RHF 4H | IHI RHB 5
Turbine type Mixed-flow | Radial-inflow
Compressor type Centrifugal
Maximum permissible speed rpm 180,000
Wastegate opening pressure kPa (mmHg) 109 ± 4.4 (815 ± 33) | 120 ± 4.8 (898 ± 36)
Weight N (kg/lb) 41 (4.2/9.3) | 45 (4.6/10.1)
IHI : Ishikawajima-Harima Heavy Industries., Ltd.
TURBOCHARGER 6G – 3

GENERAL DESCRIPTION

6G-3-1.tif

The turbocharger internal mechanism consists of the turbine wheel, the compressor wheel, and the radial bearings.
These parts are supported by the bearing housing.
The turbocharger external mechanism consists of the compressor housing air intake port and the turbine housing
air exhaust port.
The turbocharger increases air intake efficiency. This results in increased engine power, reduced fuel consumption,
and minimal engine noise.
The turbocharger operates at very high speeds and temperatures. Part materials have been carefully selected and
machined to extremely high precision.
Turbocharger servicing requires great care and expertise.
If reduced performance is noted, check the engine for damage or wear. If there is no apparent engine damage or
wear, trouble with the turbocharger is indicated.
6G – 4 TURBOCHARGER

IDENTIFICATION OF UNIT
The turbocharger nameplate gives the date of
manufacture and other important information required to
identify the unit when service inquiries are made.

6G-4-1.tif

The turbocharger nameplate has the following information


stamped on it.
! Turbocharger Specification Number, Production Year
and Month
" Production Date, Serial Number
# ISUZU Parts Number

6G-4-2.tif

TURBOCHARGER SERVICING
1. Refer to TROUBLESHOOTING in this Manual to determine whether or not turbocharger repair or overhaul
is required.
2. The following procedures should also be performed (either with the turbocharger on the vehicle or removed
from the vehicle but not disassembled) to determine whether or not turbocharger repair or overhaul is
required.
* Visual checks
* Clearance measurements
* End play measurements
Refer to INSPECTION AND REPAIR
3. The turbocharger compressor and turbine housing may be removed from the center housing and rotating
assembly (CHRA) for further visual inspection.
Refer to DISASSEMBLY and REASSEMBLY.

PRECAUTIONS
Turbocharger servicing requires great care and expertise.
Faulty turbocharger servicing procedures can result in serious damage to pistons, valves, cylinder liners, and other
important engine parts.
ISUZU does not recommended the performance of any servicing procedure not specified described in this Manual.
Contact your nearest IHI service facility to have the turbocharger assembly repaired or overhauled.
The identification plate and assembly number will be required by the service facility.
A list of IHI Turbocharger Service Network locations is given at the end of this Section.
TURBOCHARGER 6G – 5

DISASSEMBLY

036LW001.tif

Disassembly Steps
1. Bolt 4. Compressor housing
2. Turbine housing 5. Center housing and rotating assembly
3. Bolt
6G – 6 TURBOCHARGER

Disassembly Steps
1. Bolt
Apply a setting mark across the center housing and
rotating assembly (1), the turbine housing (2), and the
compressor housing (3).

6G-6-1.tif

2. Turbine Housing
3. Bolt
4. Compressor Housing
5. Center Housing and Rotating Assembly
1) Loosen the bolts.
2) Disassembly the parts.
Handle the parts with extreme care.
Be particularly careful not to damage the turbine wheel
blades and the compressor wheel blades. Take care
6G-6-2.tif not to allow foreign material to enter the center
housing.
NOTE:
Disassembly and servicing of the center housing and
rotating assembly is not recommended.
TURBOCHARGER 6G – 7

INSPECTION AND REPAIR


Make the necessary adjustments, repairs, and part replacements if excessive wear or damage is discovered during
inspection.
Minor servicing operations are described in this Section.
Contact the nearest IHI SERVICE FACILITY for major repairs
and maintenance.
Refer to “IHI SERVICE NETWORK” at the end of this Section.

Turbocharger pressure check


(1) Remove the waste gate control chamber connecting hose.
(2) Connect the pressure gauge.
(3) Start the engine and gradually increase the engine speed
(the vehicle must be stationary with no load applied to the
engine).
(4) Check to see that turbocharger pressure rises to
approximately 500 mmHg.
Pressure Gauge : 5-8840-0075-0
036HY00002.tif

Waste gate operation check


(1) Remove the hose between the waste gate control
chamber and the intake pipe.
(2) Connect the pressure gauge.
(3) Check to see that the rod begins to move when a pressure
of approximately 665 mmHg is applied to the waste gate,
control chamber.
NOTE:
Do not apply a pressure greater than 1467mmHg (196 kPa)
6G-7-2.tif
to the waste gate during this check.

(4) Check to see the pressure required to move the control


rod 2 mm is within the limits shown below.

Control Rod Operating Pressure mmHg (kPa)


4JBIT (IHI RHB5) 898 ± 36 (120 ± 4.8)
4JBITC (IHI RHF4) 815 ± 33 (109 ± 4.4)

6G-7-3.tif
6G – 8 TURBOCHARGER

Important wheel shaft end play and bearing clearance


standards and limits are included below for your reference.

Wheel Shaft End Play


Use a dial indicator to measure the wheel shaft end play. Apply
a force of 1.2 kg (2.6 lb/11.8N) alternately to the compressor
wheel end and the turbine wheel end.
Wheel Shaft End Play mm (in)
Standard Limit
0.02 - 0.08
0.09 (0.0035)
(0.0008 - 0.0031)

6G-8-1.tif

6G-8-2.tif

Wheel Shaft and Bearing Clearance


Use a dial indicator to measure the wheel shaft and bearing
clearance.
Wheel Shaft and Bearing Clearance mm (in)
Standard Limit
0.07 - 0.12
0.16 (0.0063)
(0.0028 - 0.0047)

6G-8-3.tif

6G-8-4.tif
TURBOCHARGER 6G – 9

REASSEMBLY

036LW002.tif

Reassembly Steps
1. Center housing and rotating assembly 4. Turbine housing
2. Compressor housing 5. Bolt
3. Bolt
6G – 10 TURBOCHARGER

Reassembly Steps
1. Center Housing and Rotating Assembly
2. Compressor Housing
3. Bolt
1) Apply Threebond 1215 or equivalent to flange surface
of compressor housing shown in the illustration.
2) Align the setting marks (applied at disassembly) on the
center housing and rotating assembly and the
compressor housing.
6G-10-1.tif
Handle the parts with extreme care to avoid damaging
the compressor wheel blades.
3) Apply and anti-seizing agent (LOCTITE ANTISEIZE
LUBRICANT or the equivalent) to the new bolt
threads.
4) Install the new bolts to the compressor housing.
5) Tighten the bolts to the specified torque.
Compressor Housing Bolt Torque N∙m (kg∙m/lb∙ft)
4.7 (0.5/3.5)

6G-10-2.tif

4. Turbine Housing
5. Lock Plate and Bolt
1) Align the setting marks (applied at disassembly) on the
center housing and rotating assembly and the turbine
housing.
Handle the parts with extreme care to avoid damaging
the trubine shaft wheel blade.
2) Apply and anti-seizing agent (LOCTITE ANTISEIZE
LUBRICANT or the equivalent) to the bolt.
6G-10-3.tif
3) Tighten the bolt to the specified torque.
Turbine Housing Bolt Torque N∙m (kg∙m/lb∙ft)
28.0 (2.85/20.6)

4) Check that the rotating assembly turns smoothly.


TURBOCHARGER 6G – 11

IHI SERVICE NETWORK


For inquiries relating to turbochargers, please contact your ISUZU distributor or the nearest IHI Turbocharger
Service Facility.

HEADQUARTERS
ISHIKAWAJIMA HARIMA HEAVY INDUSTRIES CO., LTD.(IHI)
General Machinery Division
Tokyo Chuo Building 1-6-2 Marunouchi Chiyoda-ku
Tokyo 100-0005 JAPAN
TEL: 81-(3)-3286-2405 to 2407 (3 lines)
FAX: 81-(3)-3286-2430

CHINA
IHI BEIJING OFFICE
Room 705, China World Trade Center, No. 1 Jian Guo Men Wai Avenue
Beijing, People’s Republic of CHINA
Beijing, People’s Republic of CHINA
TEL: 86-(1)-505-4997, 0408
FAX: 86-(1)-505-4350
TLX: 210343 IHIPK CN

TAIWAN
IHI TAIPEI OFFICE
Room 1202, Chia Hsin Building, No. 96 Chung Shan
North Road, Section 2, Taipei, TAIWAN
TEL: 886-(2)-542-5520, 5521, 5523
FAX: 886-(2)-542-4362
TLX: 11320 IHICO

THAILAND
IHI BANGKOK OFFICE
8th Floor, Thaniya Building, 62 Silom Road, Bangkok, THAILAND
TEL: 66-(2)-236-3490, 7356, 9099
FAX: 66-(2)-236-7340
TLX: 82375 IHICO TH

MALAYSIA
IHI KUALA LUMPUR OFFICE
Letter Box No. 52, 22nd Floor, UBN Tower,
10 Jin. P. Ramlee 50250 Kuala Lumpur, MALAYSIA
TEL: 60-(3)-232-1255, 1271
FAX: 60-(3)-232-1418
TLX: IHI KLMA 20257

INDONESIA
IHI JAKARTA OFFICE
9th Floor, Skyline Building JI. M. H. Thamrin, No. 9, Jakarta, INDONESIA
TEL: 62-(21)-32-2147, 390-2211
FAX: 62-(21)-32-3273
TLX: 44175 IHIJKT
LG4J-WE-9491

You are requested to order this manual using the


manual number that is shown above.

This manual is applicable for vehicles in all countries


except the USA and Canada.

All rights reserved. This manual may not be


reproduced in whole or in part, without the permission
in writing of ISUZU MOTORS LIMITED.

Issued by
ISUZU MOTORS LIMITED
INTERNATIONAL SERVICE DEPARTMENT

Tokyo, Japan

First edition Jan., 1999 9001-12N-1


No. HGSTG-WE-661 PRINTED IN JAPAN
HOME
HOME
HOME
HOME
HOME
HOME
HOME
HOME
HOME
HOME
HOME
HOME
HOME
HOME
HOME
HOME
HOME
HOME

You might also like