BRITISH STANDARD |

| BS EN
|
|
|
378-4:2000
|
|
|
|
|
|
|
|
|
|
|
|
|
Refrigerating systems |
|
|
|
|
|
and heat pumps Ð |
|
|
|
|
|
Safety and |
|
|
|
|
|
environmental |
|
|
|
|
|
requirements Ð |
|
|
|
|
|
|
|
|
Part 4: Operation, maintenance, repair |
|
|
and recovery |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
The European Standard EN 378-4:2000 has the status of a |
British Standard |
|
|
|
|
|
|
|
|
ICS 27.080; 27.200 |
|
|
|
|
|
|
|
|
NO COPYING WITHOUT BSI PERMISSION EXCEPT AS PERMITTED BY COPYRIGHT LAW
|
|
|
|
BS EN 378-4:2000

National foreword
This British Standard is the official English language version of EN 378-4:2000.
Together with BS EN 378-1:2000, BS EN 378-2:2000 and BS EN 378-3:2000 it
supersedes BS 4434:1995 which is withdrawn.
The UK participation in its preparation was entrusted to Technical Committee
RHE/18, Refrigeration safety, which has the responsibility to:

Ð aid enquirers to understand the text;

Ð present to the responsible European committee any enquiries on the
interpretation, or proposals for change, and keep the UK interests informed;
Ð monitor related international and European developments and promulgate
them in the UK.

A list of organizations represented on this committee can be obtained on request to

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

Summary of pages
This document comprises a front cover, an inside front cover, the EN title page,
pages 2 to19 and a back cover.
The BSI copyright notice displayed in this document indicates when the document
was last issued.

This British Standard, having Amendments issued since publication

been prepared under the
direction of the Engineering Amd. No. Date Comments
Sector Committee, was published
under the authority of the
Standards Committee and comes
into effect on 15 September 2000

 BSI 09-2000

ISBN 0 580 34202 6

(8523($167$1'$5' (1
1250((8523e(11(
(8523b,6&+(1250 -DQXDU\

,&6

(QJOLVKYHUVLRQ

5HIULJHUDWLQJV\VWHPVDQGKHDWSXPSV±6DIHW\DQG
HQYLURQPHQWDOUHTXLUHPHQWV±3DUW2SHUDWLRQPDLQWHQDQFH
UHSDLUDQGUHFRYHU\

6\VWqPHVGHUpIULJpUDWLRQHWSRPSHVjFKDOHXU±([LJHQFHV .lOWHDQODJHQXQG:lUPHSXPSHQ±6LFKHUKHLWVWHFKQLVFKH
GHVpFXULWpHWG¶HQYLURQQHPHQW±3DUWLH)RQFWLRQQHPHQW XQGXPZHOWUHOHYDQWH$QIRUGHUXQJHQ±7HLO%HWULHE
PDLQWHQDQFHUpSDUDWLRQHWUpFXSpUDWLRQ ,QVWDQGKDOWXQJ,QVWDQGVHW]XQJXQG5FNJHZLQQXQJ

7KLV(XURSHDQ6WDQGDUGZDVDSSURYHGE\&(1RQ2FWREHU

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

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

XQGHUWKHUHVSRQVLELOLW\RID&(1PHPEHULQWRLWVRZQODQJXDJHDQGQRWLILHGWRWKH&HQWUDO6HFUHWDULDWKDVWKHVDPHVWDWXVDVWKHRIILFLDO
YHUVLRQV

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

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

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

&HQWUDO6HFUHWDULDWUXHGH6WDVVDUW%%UXVVHOV

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

ZRUOGZLGHIRU&(1QDWLRQDO0HPEHUV
3DJH
(1

&RQWHQWV
3DJH

)RUHZRUG 
,QWURGXFWLRQ  
 6FRSH  
 1RUPDWLYHUHIHUHQFHV 
 'HILQLWLRQV 
 2SHUDWLRQDOLQVWUXFWLRQV  
 0DLQWHQDQFHDQGUHSDLU  
 5HTXLUHPHQWVIRUUHFRYHU\UHXVHDQGGLVSRVDO 
$QQH[$QRUPDWLYH 'UDLQLQJWKHRLOIURPDV\VWHPFRQWDLQLQJDPPRQLD  
$QQH[%LQIRUPDWLYH *XLGHVSHFLILFDWLRQSDUDPHWHUVIRUUHF\FOHGUHIULJHUDQWV  
$QQH[&LQIRUPDWLYH +DQGOLQJDQGVWRUDJHRIUHIULJHUDQWV  
$QQH['LQIRUPDWLYH %LEOLRJUDSK\ 
$QQH[=$LQIRUPDWLYH &ODXVHVRIWKLV(XURSHDQ6WDQGDUGDGGUHVVLQJHVVHQWLDOUHTXLUHPHQWV
RURWKHUSURYLVLRQVRI(8'LUHFWLYHV 
$QQH[=%LQIRUPDWLYH $GHYLDWLRQV 

)RUHZRUG

7KLV(XURSHDQ6WDQGDUGKDVEHHQSUHSDUHGE\7HFKQLFDO&RPPLWWHH&(17&5HIULJHUDWLQJV\VWHPVVDIHW\DQG
HQYLURQPHQWDOUHTXLUHPHQWVWKH6HFUHWDULDWRIZKLFKLVKHOGE\',1

7KLV(XURSHDQ6WDQGDUGVKDOOEHJLYHQWKHVWDWXVRIDQDWLRQDOVWDQGDUGHLWKHUE\SXEOLFDWLRQRIDQLGHQWLFDOWH[WRU
E\ HQGRUVHPHQW DW WKH ODWHVW E\ -XO\  DQG FRQIOLFWLQJ QDWLRQDO VWDQGDUGV VKDOO EH ZLWKGUDZQ DW WKH ODWHVW E\
-XO\

7KLV(XURSHDQ6WDQGDUGKDVEHHQSUHSDUHGXQGHUDPDQGDWHJLYHQWR&(1E\WKH(XURSHDQ&RPPLVVLRQDQGWKH
(XURSHDQ)UHH7UDGH$VVRFLDWLRQDQGVXSSRUWVHVVHQWLDOUHTXLUHPHQWVRI(8'LUHFWLYHV

)RUUHODWLRQVKLSZLWK(8'LUHFWLYHVVHHLQIRUPDWLYH$QQH[=$ZKLFKLVDQLQWHJUDOSDUWRIWKLVVWDQGDUG

$FFRUGLQJWRWKH&(1&(1(/(&,QWHUQDO5HJXODWLRQVWKHQDWLRQDOVWDQGDUGVRUJDQL]DWLRQVRIWKHIROORZLQJFRXQWULHV
DUH ERXQG WR LPSOHPHQW WKLV (XURSHDQ 6WDQGDUG $XVWULD %HOJLXP &]HFK 5HSXEOLF 'HQPDUN )LQODQG )UDQFH
*HUPDQ\*UHHFH,FHODQG,UHODQG,WDO\/X[HPERXUJ1HWKHUODQGV1RUZD\3RUWXJDO6SDLQ6ZHGHQ6ZLW]HUODQG
DQGWKH8QLWHG.LQJGRP

127(,W VKRXOG EH QRWHG WKDW WKLV VWDQGDUG DW WKH WLPH RI SXEOLFDWLRQ GRHV QRW VDWLVI\ DOO HVVHQWLDO VDIHW\
UHTXLUHPHQWVRIWKH'LUHFWLYH(&

127(7KLV (XURSHDQ 6WDQGDUG KDG DOVR EHHQ SURSRVHG IRU LQFOXVLRQ LQ WKH PDQGDWH XQGHU WKH
(8'LUHFWLYH((&0DFKLQHU\'LUHFWLYH$VWKHPDQGDWHKDVEHHQJLYHQDIWHUWKHVWDQGDUGKDGEHHQ
DFFHSWHG E\ WKH 7HFKQLFDO &RPPLWWHH IRU VXEPLVVLRQ WR IRUPDO YRWH DQG LQ RUGHU QRW WR IXUWKHU GHOD\ LWV
SXEOLFDWLRQLWZLOOEHUHYLHZHGZLWKLQWKHFRQWH[WRIWKHODWHVWYHUVLRQRIWKH0DFKLQHU\'LUHFWLYHGLUHFWO\DIWHU
WKHSXEOLFDWLRQ

7KLV(1LVSDUWRIDVWDQGDUGFRQVLVWLQJRIDVHULHVRIWKHIROORZLQJSDUWV

3DUW%DVLFUHTXLUHPHQWVGHILQLWLRQVFODVVLILFDWLRQDQGVHOHFWLRQFULWHULD

3DUW'HVLJQFRQVWUXFWLRQWHVWLQJPDUNLQJDQGGRFXPHQWDWLRQ

3DUW,QVWDOODWLRQVLWHDQGSHUVRQDOSURWHFWLRQ

3DUW2SHUDWLRQPDLQWHQDQFHUHSDLUDQGUHFRYHU\

)RUWKHPRQWKHQTXLU\WKHGUDIWVWDQGDUGZDVLVVXHGLQSDUWV$IWHUWKHGLVFXVVLRQRIWKHFRPPHQWVUHFHLYHG
GXULQJWKHHQTXLU\LWZDVGHFLGHGWRUHDUUDQJHWKHFRQWHQWRISDUWVDQGWRSXEOLVKWKHILQDOVWDQGDUGLQWKHDERYH
SDUWV7KHUHPDLQLQJ3DUWZLOOEHSXEOLVKHGDVDVHSDUDWHVWDQGDUG

$QQH[$RIWKLV(XURSHDQ6WDQGDUGLVQRUPDWLYHWKHDQQH[HV%&'DQG=$DUHLQIRUPDWLYH

¸%6,
 3DJH
(1

,QWURGXFWLRQ
7KHLQWURGXFWLRQRI(1LVDSSOLFDEOH

*DVHVFRQWDLQLQJFKORULQHDUHGDPDJLQJWKHR]RQHOD\HU7KHVHDQGRWKHUJDVHVZKLFKDUHXVHGDVUHIULJHUDQWDOVR
FRQWULEXWHWRWKHJOREDOZDUPLQJJUHHQKRXVHHIIHFW2WKHUUHIULJHUDQWVVXFKDVDPPRQLDDOWKRXJKQRWFRQWULEXWLQJ
WRHQYLURQPHQWDOGDPDJHVKRXOGEHWUHDWHGZLWKFDXWLRQGXHWRWKHLUWR[LFRUIODPPDEOHQDWXUH

127($OVRVHH81(38QLWHG1DWLRQV(QYLURQPHQW3URJUDP0RQWUHDO3URWRFRORQVXEVWDQFHVWKDWGHSOHWH

WKHR]RQHOD\HUODWHVWUHYLVLRQ

$OOSDUWLHVFRQFHUQHGHJGHVLJQHUVPDQXIDFWXUHUVHUHFWRUVLQVWUXFWRUVRZQHUVXVHUVVKRXOGWDNHDGYDQWDJHRI

DQ\RSSRUWXQLW\IRUUHGXFLQJRUHOLPLQDWLQJHPLVVLRQVRIHQYLURQPHQWDOO\GDPDJLQJUHIULJHUDQWV

7KH HOLPLQDWLRQ RI HPLVVLRQV VKRXOG EH RQH RI WKH SULQFLSDO REMHFWLYHV GXULQJ UHFRYHU\ UHXVH DQG GLVSRVDO RI
UHIULJHUDQWV

6FRSH
7KHVFRSHRI(1LVDSSOLFDEOH

7KLV3DUWRIWKH(XURSHDQ6WDQGDUGVSHFLILHVUHTXLUHPHQWVIRUVDIHW\DQGHQYLURQPHQWDODVSHFWVLQUHODWLRQWR
RSHUDWLRQ PDLQWHQDQFH UHSDLU RI UHIULJHUDWLQJ V\VWHPV DQG WKH UHFRYHU\ UHXVH DQG GLVSRVDO RI DOO W\SHV RI
UHIULJHUDQW

7KHVH UHTXLUHPHQWV DUH LQWHQGHG WR PLQLPL]H ULVNV RI LQMXU\ WR SHUVRQV DQG GDPDJH WR SURSHUW\ DQG WKH
HQYLURQPHQWUHVXOWLQJIURPLPSURSHUKDQGOLQJRIWKHUHIULJHUDQWVRUIURPFRQWDPLQDQWVOHDGLQJWRV\VWHPEUHDNGRZQ
DQGUHVXOWDQWHPLVVLRQRIWKHUHIULJHUDQW

&HUWDLQ FODXVHVDQG VXEFODXVHVRIWKLV3DUWDUHQRWDSSOLFDEOHWR XQLW V\VWHPV VHOI FRQWDLQHG V\VWHPV DQG

V\VWHPVEXLOWRQVLWHZKLFKRSHUDWHZLWKFKDUJHVRIUHIULJHUDQWXSWR

NJRIJURXS/UHIULJHUDQW

NJRIJURXS/UHIULJHUDQWDQG

NJRIJURXS/UHIULJHUDQW

7KLVFODXVHLV

FODXVH

1RUPDWLYHUHIHUHQFHV
7KLV (XURSHDQ 6WDQGDUG LQFRUSRUDWHV E\ GDWHG RU XQGDWHG UHIHUHQFH SURYLVLRQV IURP RWKHU SXEOLFDWLRQV 7KHVH
QRUPDWLYH UHIHUHQFHV DUH FLWHG DW WKH DSSURSULDWH SODFHV LQ WKH WH[W DQG WKH SXEOLFDWLRQV DUH OLVWHG KHUHDIWHU )RU
GDWHG UHIHUHQFHV VXEVHTXHQW DPHQGPHQWV WR RU UHYLVLRQV RI DQ\ RI WKHVH SXEOLFDWLRQV DSSO\ WR WKLV (XURSHDQ
6WDQGDUG RQO\ ZKHQ LQFRUSRUDWHG LQ LW E\ DPHQGPHQW RU UHYLVLRQ )RU XQGDWHG UHIHUHQFHV WKH ODWHVW HGLWLRQ RI WKH
SXEOLFDWLRQUHIHUUHGWRDSSOLHV

(1
5HIULJHUDWLQJ V\VWHPV DQG KHDW SXPSV ± 6DIHW\ DQG HQYLURQPHQWDO UHTXLUHPHQWV ± 3DUW%DVLF UHTXLUHPHQWV
GHILQLWLRQVFODVVLILFDWLRQDQGVHOHFWLRQFULWHULD

(1
5HIULJHUDWLQJV\VWHPVDQGKHDWSXPSV±6DIHW\DQGHQYLURQPHQWDOUHTXLUHPHQWV±3DUW'HVLJQFRQVWUXFWLRQ
WHVWLQJPDUNLQJDQGGRFXPHQWDWLRQ

(1
5HIULJHUDWLQJ V\VWHPV DQG KHDW SXPSV ± 6DIHW\ DQG HQYLURQPHQWDO UHTXLUHPHQWV ± 3DUW,QVWDOODWLRQ VLWH DQG
SHUVRQDOSURWHFWLRQ

¸%6,
3DJH
(1

,62',6
3HUIRUPDQFHRIUHIULJHUDQWUHFRYHU\DQGRUUHF\FOLQJHTXLSPHQW

,62',6
)OXRURFDUERQUHIULJHUDQWV±6SHFLILFDWLRQVDQGWHVWPHWKRGV

'HILQLWLRQV
)RUWKHSXUSRVHVRIWKLV(XURSHDQ6WDQGDUGWKHGHILQLWLRQVJLYHQLQ(1DSSO\

2SHUDWLRQDOLQVWUXFWLRQV

*HQHUDO

&DUHVKDOOEHWDNHQWRHQVXUHWKDWWKHSHUVRQQHOFKDUJHGZLWKWKHRSHUDWLRQVXSHUYLVLRQDQGPDLQWHQDQFHRI
WKHUHIULJHUDWLQJV\VWHPDUHDGHTXDWHO\LQVWUXFWHGDQGDUHFRPSHWHQWZLWKUHVSHFWWRWKHLUWDVNV7KHLQVWDOOHURIWKH
UHIULJHUDWLQJ V\VWHP VKDOO GUDZ DWWHQWLRQ WR WKH QHFHVVLW\ RI DGHTXDWH LQVWUXFWLRQ RI RSHUDWLQJ DQG VXSHUYLVLRQ
SHUVRQQHO

3HUVRQQHO LQ FKDUJH RI WKH UHIULJHUDWLQJ V\VWHP VKDOO KDYH NQRZOHGJH DQG H[SHULHQFH RI WKH PRGH RI
IXQFWLRQLQJRSHUDWLRQDQGGD\E\GD\PRQLWRULQJRIWKLVV\VWHP

,QVWUXFWLRQRIRSHUDWLQJSHUVRQQHO

%HIRUHDQHZUHIULJHUDWLQJV\VWHPLVSXWLQWRVHUYLFHWKHSHUVRQFRQFHUQHGVKDOOHQVXUHWKDWWKHRSHUDWLQJSHUVRQQHO
DUHLQVWUXFWHGRQWKHEDVLVRIWKHLQVWUXFWLRQPDQXDODERXWWKHFRQVWUXFWLRQVXSHUYLVLRQRSHUDWLRQDQGPDLQWHQDQFH
RI WKH UHIULJHUDWLQJ V\VWHP DV ZHOO DV WKH VDIHW\ PHDVXUHV WR EH REVHUYHG DQG WKH SURSHUWLHV DQG KDQGOLQJ RI WKH
UHIULJHUDQWXVHG

127(,WLVDGYLVDEOHWKDWWKHRSHUDWLQJSHUVRQQHOEHSUHVHQWGXULQJHYDFXDWLRQFKDUJLQJZLWKUHIULJHUDQWDQG
DGMXVWPHQWRIWKHUHIULJHUDWLQJV\VWHPDVZHOODVLISRVVLEOHGXULQJDVVHPEO\RQVLWH

0DLQWHQDQFHDQGUHSDLU

*HQHUDO

(DFK UHIULJHUDWLQJ V\VWHP VKDOO EH VXEMHFWHG WR SUHYHQWLYH PDLQWHQDQFH LQ DFFRUGDQFH ZLWK WKH LQVWUXFWLRQ
PDQXDOVHH(1

127(+RZHYHUWKHIUHTXHQF\RIVXFKPDLQWHQDQFHGHSHQGVRQWKHW\SHVL]HTXDOLW\DJHXVHHWFRIWKH
V\VWHP ,Q PDQ\ FDVHV PRUH WKDQ RQH PDLQWHQDQFH VHUYLFH LV UHTXLUHG LQ WKH FRXUVH RI RQH \HDU LQ
DFFRUGDQFHZLWKOHJDOUHTXLUHPHQWV

127()RUSHUVRQDOSURWHFWLYHHTXLSPHQWDJDLQVWUHIULJHUDQWVVHH(1

7KH SDUWLHV FRQFHUQHG IRU WKH UHIULJHUDWLQJ V\VWHP VKDOO HQVXUH WKDW WKH V\VWHP LV LQVSHFWHG UHJXODUO\
VXSHUYLVHGDQGPDLQWDLQHGLQDVDWLVIDFWRU\PDQQHU

7KHSDUWLHVFRQFHUQHGIRUWKHUHIULJHUDWLQJV\VWHPVKDOODOVREHUHVSRQVLEOHZKHQWKHUHIULJHUDWLQJV\VWHPLV
XVHGE\DQRWKHUSHUVRQXQOHVVDQRWKHUGLYLVLRQRIUHVSRQVLELOLW\KDVEHHQDJUHHGXSRQ

5HJXODUPDLQWHQDQFHZKLFKGRHVQRWLQFOXGHLQWHUIHUHQFHZLWKQRUDGMXVWPHQWRIWKHUHIULJHUDWLQJV\VWHPDQG
ZKLFKUHTXLUHVQRVSHFLDOL]HGNQRZOHGJHRIUHIULJHUDWLRQHQJLQHHULQJFDQEHFDUULHGRXWE\DSHUVRQRIDSSURSULDWH
FRPSHWHQFHHPSOR\HGE\WKHSHUVRQUHVSRQVLEOH

¸%6,
 3DJH
(1

0DLQWHQDQFH

0DLQWHQDQFHVKDOOEHXQGHUWDNHQLQVXFKDZD\WKDW

DDFFLGHQWVWRSHUVRQQHODUHPLQLPL]HG

EGDPDJHWRJRRGVLVSUHYHQWHG

FWKHFRPSRQHQWVRIWKHV\VWHPUHPDLQLQJRRGZRUNLQJRUGHU

GWKHSXUSRVHDQGDYDLODELOLW\RIWKHV\VWHPDUHPDLQWDLQHG

HOHDNDJHRIUHIULJHUDQWRURLOLGHQWLILHGDQGUHPHGLHG

IZDVWHRIHQHUJ\LVPLQLPL]HG

7KHH[WHQWDQGWLPHVFKHGXOHRIPDLQWHQDQFHVKDOOEHIXOO\GHVFULEHGLQWKHLQVWUXFWLRQPDQXDOVHH(1

:KHQDVHFRQGDU\FRROLQJRUKHDWLQJV\VWHPLVXVHGWKHKHDWWUDQVIHUPHGLXPVKDOOEHSHULRGLFDOO\LQVSHFWHG
IRULWVFRPSRVLWLRQDQGIRUWKHSUHVHQFHRIUHIULJHUDQW

5HJXODU OHDN WHVWV LQVSHFWLRQV DQG FKHFNLQJ RI WKH VDIHW\ HTXLSPHQW VKDOO EH FDUULHG RXW DV GHVFULEHG
(1

:KHQ RLO LV GUDLQHG IURP D UHIULJHUDWLQJ V\VWHP LW VKDOO EH FDUULHG RXW VDIHO\ )RU UHIULJHUDWLQJ V\VWHPV
FRQWDLQLQJDPPRQLDVHHQRUPDWLYHDQQH[$

5HSDLU

5HSDLUVRQUHIULJHUDQWFRQWDLQLQJFRPSRQHQWVVKDOOEHFDUULHGRXWLQWKHIROORZLQJRUGHULIDSSURSULDWH

DLQVWUXFWLQJRIWKHPDLQWHQDQFHVWDII

EGLVFRQQHFWLQJDQGVDIHJXDUGLQJRIWKHFRPSRQHQWVWREHUHSDLUHGHJSRZHUGULYHSUHVVXUHYHVVHOSLSLQJ

FHPSW\LQJDQGHYDFXDWLQJVHH(1

GFOHDQLQJDQGSXUJLQJUHVSHFWLYHO\HJZLWKQLWURJHQ

HUHOHDVLQJIRUUHSDLU

127(:HOGLQJRUWKHXVHRIDUFDQGIODPHSURGXFLQJDSSDUDWXVPD\UHTXLUHVSHFLDOZRUNSHUPLWV

IFDUU\LQJRXWWKHUHSDLU

JWHVWLQJDQGFKHFNLQJRIWKHUHSDLUHGFRPSRQHQWSUHVVXUHWHVWOHDNDJHWHVWIXQFWLRQDOWHVWVHH(1

KUHSODFLQJHYDFXDWLQJDQGUHFKDUJLQJZLWKUHIULJHUDQW

5HIULJHUDQW OHDNV VKDOO EH LGHQWLILHG DQG UHSDLUHG DV VRRQ DV SUDFWLFDEOH E\ D FRPSHWHQW SHUVRQ DQG WKH
V\VWHPVKDOORQO\EHSXWLQWRVHUYLFHDJDLQZKHQDOOWKHOHDNVKDYHEHHQUHSDLUHG

¸%6,
3DJH
(1

'XULQJHDFKSHULRGLFPDLQWHQDQFHDQGIROORZLQJHDFKUHSDLULIDSSURSULDWHDWOHDVWWKHIROORZLQJWDVNVVKDOOEH
SHUIRUPHG

DDOOVDIHW\FRQWURODQGPHDVXUHPHQWGHYLFHVDVZHOODVDODUPV\VWHPVVKDOOEHFKHFNHGWRYHULI\WKHLUFRUUHFW
RSHUDWLRQDQGSHUIHFWZRUNLQJRUGHU

EOHDNDJHWHVWVVKDOOEHFDUULHGRXWDWWKHUHOHYDQWSDUWRIWKHUHIULJHUDWLQJV\VWHP

FHYDFXDWLQJVHH(1

GDGMXVWPHQWRIUHIULJHUDQWFKDUJH

HIXQFWLRQDOWHVWRIVDIHW\GHYLFHV

0DLQWHQDQFH DQG UHSDLU UHTXLULQJ WKH DVVLVWDQFH RI RWKHU VNLOOHG SHUVRQQHO VXFK DV ZHOGHUV HOHFWULFLDQV
PHDVXULQJ DQG FRQWURO VSHFLDOLVWV HWF VKDOO EH FDUULHG RXW XQGHU WKH VXSHUYLVLRQ RI D SHUVRQ FRPSHWHQW LQ
UHIULJHUDWLRQ

:HOGLQJDQGEUD]LQJVKDOORQO\EHFDUULHGRXWE\DFRPSHWHQWSHUVRQ

5HSODFHPHQWV RI FRPSRQHQWV RU FKDQJHV WR WKH UHIULJHUDWLQJ V\VWHP VKDOO EH RUGHUHG DQG FDUULHG RXW E\ D
FRPSHWHQWSHUVRQ

$IWHUDSUHVVXUHUHOLHIYDOYHZKLFKGLVFKDUJHVWRDWPRVSKHUHKDVEHHQDFWXDWHGLWVKDOOEHUHSODFHGLILWLVQRW
WLJKW

&KDQJHRIUHIULJHUDQWW\SH
,QWKHHYHQWRIDFKDQJHRIWKHUHIULJHUDQWW\SHXVHGLQWKHUHIULJHUDWLQJV\VWHPWKHIROORZLQJVKDOOEHREVHUYHG

DYHULI\WKHUHIULJHUDWLQJV\VWHPPDQXIDFWXUHUSHUPLWVWKHUHIULJHUDQWW\SHFKDQJH

ESD\VSHFLDODWWHQWLRQWRWKHFRQWHQWRIWKHJDVF\OLQGHUVWREHVXUHWKDWWKHFRUUHFWUHIULJHUDQWLVDGGHG

FH[DPLQHDOOPDWHULDOVXVHGLQWKHUHIULJHUDWLQJV\VWHPWRHQVXUHWKH\DUHFRPSDWLEOHZLWKWKHQHZUHIULJHUDQW
W\SH

GYHULI\WKHSRVVLELOLW\RIH[FHHGLQJWKHDOORZDEOHSUHVVXUH

HYHULI\WKHQHZUHIULJHUDQWW\SHFDQEHXVHGZLWKRXWUHFHUWLI\LQJWKHSUHVVXUHYHVVHOV

IYHULI\WKHPRWRUFDSDFLW\

JSD\DWWHQWLRQWRWKHUHIULJHUDQWFODVVLILFDWLRQ

KUHSODFHRUUHDGMXVWLIQHFHVVDU\FRQWURODQGVDIHW\GHYLFHV

LYHULI\WKHFRQWHQWRIWKHOLTXLGUHFHLYHU

MSUHYHQWPL[WXUHVZLWKUHVLGXDOUHIULJHUDQWDQGUHVLGXDORLO

NDPHQGDOOLQGLFDWLRQVDVWRWKHUHIULJHUDQWW\SHXVHG

OXSGDWHWKHORJERRNDQGGRFXPHQWDWLRQLQFOXGLQJPDFKLQHFDUG

PHQVXUHWKHRULJLQDOUHIULJHUDQWLVUHFRYHUHGLQDFFRUGDQFHZLWKFODXVH

¸%6,
 3DJH
(1

5HTXLUHPHQWVIRUUHFRYHU\UHXVHDQGGLVSRVDO
*HQHUDOUHTXLUHPHQWV
3HUVRQQHO

5HFRYHU\UHXVHUHF\FOHUHFODLPDQGGLVSRVDOVKDOORQO\EHXQGHUWDNHQE\FRPSHWHQWSHUVRQVVHH)LJXUHIRUWKH
UHODWLRQVKLSEHWZHHQWKHSURFHVVHV

)LJXUH6LPSOLILHGUHSUHVHQWDWLRQRIWKHUHODWLRQVKLSEHWZHHQWKHSURFHVVHV

3DUWVRIUHIULJHUDWLQJV\VWHPV

$OOSDUWVRIUHIULJHUDWLQJV\VWHPVHJUHIULJHUDQWRLOKHDWWUDQVIHUPHGLXPILOWHUGULHULQVXODWLRQPDWHULDOVKDOOEH
UHFRYHUHGUHXVHGDQGRUGLVSRVHGRISURSHUO\VHH

5HIULJHUDQWV

$OOUHIULJHUDQWVVKDOOEHUHFRYHUHGIRUUHXVHUHF\FOHGRUUHFODLPHGIRUUHXVHRUVKDOOEHGLVSRVHGRISURSHUO\VHH
&)&V+&)&V+)&V3)&VDQG+&VVKDOOQRWEHUHOHDVHGLQWRWKHDWPRVSKHUH,IRWKHUUHIULJHUDQWVDUHUHOHDVHGLW
VKDOOEHGRQHLQDFRQWUROOHGPDQQHULQRUGHUWKDWDQ\GDQJHUWRSHUVRQVRUSURSHUW\LVDYRLGHG

127('HVWUXFWLRQRIUHIULJHUDQWVFDQUHTXLUHDQDXWKRUL]HGIDFLOLW\IRUGHVWUXFWLRQ

+DQGOLQJ

7KHPHWKRGRIKDQGOLQJRIWKHUHIULJHUDQWVKDOOEHGHFLGHGEHIRUHLWLVUHPRYHGIURPWKHUHIULJHUDWLQJV\VWHPRUWKH
HTXLSPHQWVHHDOVR$QQH[&

6XFKGHFLVLRQZLOOEHEDVHGXSRQFRQVLGHUDWLRQVWKDWVKDOOLQFOXGH

±WKHKLVWRU\RIWKHUHIULJHUDWLQJV\VWHP

±WKHW\SHDQGGLVSRVLWLRQRIWKHUHIULJHUDQWLQWKHUHIULJHUDWLQJV\VWHP

±WKHUHDVRQIRUUHPRYDORIWKHUHIULJHUDQWIURPWKHUHIULJHUDWLQJV\VWHP

±WKHFRQGLWLRQRIWKHUHIULJHUDWLQJV\VWHPRUWKHHTXLSPHQWDQGZKHWKHURUQRWLWLVWREHUHWXUQHGWRVHUYLFH

¸%6,
3DJH
(1

5HTXLUHPHQWVIRUUHFRYHU\DQGUHXVHRIUHIULJHUDQW

*HQHUDO

7KH GLUHFWLRQV JLYHQ UHJDUGLQJ WKH WUHDWPHQW RI UHFRYHUHG UHIULJHUDQW EHIRUH UHXVH VKDOO DSSO\ WR DOO W\SHV RI
UHIULJHUDQW

'HSHQGHQWRQWKHVLWXDWLRQUHFRYHUHGUHIULJHUDQWFDQIROORZDQ\RQHRIWKHSDWKVLQGLFDWHGLQWKHIORZFKDUWVKRZQLQ
)LJXUH

)LJXUH)ORZFKDUWIRUUHFRYHUHGUHIULJHUDQW

¸%6,
 3DJH
(1

5HFRYHU\IRUJHQHUDOUHXVH

)RUJHQHUDOUHXVHUHFRYHUHGUHIULJHUDQWVVKDOOEHUHFODLPHGDQG FRPSO\ ZLWK WKHDSSURSULDWHVSHFLILFDWLRQ IRUQHZ

UHIULJHUDQWV

5HFRYHU\IRUUHXVHLQWKHVDPHRUVLPLODUV\VWHP

)RUUHXVHLQWKHVDPHV\VWHP

)RUDKDORFDUERQUHIULJHUDQWDQDFLGWHVWVKDOOEHFDUULHGRXW

127(7KH DFLG WHVW XVHV WKH WLWUDWLRQ SULQFLSOH WR GHWHFW DQ\ FRPSRXQG WKDW LRQL]HV DV DQ DFLG 7KH WHVW
UHTXLUHVDVDPSOHRIDJWRJDQGKDVDORZHUGHWHFWLRQOLPLWRI[E\PDVV

,IWKHDFLGWHVWIDLOVWKHWRWDOUHIULJHUDQWFKDUJHVKDOOXQGHUJRDUHF\FOLQJRUUHFODLPLQJSURFHVVDQGWKHILOWHUGULHUV
LQWKHUHIULJHUDWLQJV\VWHPVKDOOEHUHSODFHG

6XFKDWHVWLVQRUPDOO\QRWUHTXLUHGLIUHFRYHU\LVIURPDUHIULJHUDWLQJV\VWHPGXULQJLWVPDQXIDFWXUH

127(5HIULJHUDQWUHFRYHUHGIURPDUHIULJHUDWLQJV\VWHPHJUHPRYHGRYHUFKDUJHUHIULJHUDQWWDNHQRXWIRU
V\VWHPVHUYLFHORFDOQRQFRQWDPLQDWLQJUHSDLUPDMRURYHUKDXORUUHSODFHPHQWRIDFRPSRQHQWFDQQRUPDOO\
EHUHWXUQHGWRWKHVDPHV\VWHP

:KHQ D UHIULJHUDWLQJ V\VWHP KDV EHHQ WDNHQ RXW RI VHUYLFH EHFDXVH RI KHDY\ FRQWDPLQDWLRQ RI WKH UHIULJHUDQW RU
PRWRUEXUQRXWWKHUHIULJHUDQWVKDOOEHUHFODLPHGRUGLVSRVHGRI

127(7KH HYDFXDWLRQ DQG FKDUJLQJ SURFHGXUHV VSHFLILHG LQ WKLV (XURSHDQ 6WDQGDUG VKRXOG EH IROORZHG
ZKHQUHWXUQLQJWKHUHIULJHUDQWWRWKHUHIULJHUDWLQJV\VWHP

127( ,W LV UHFRPPHQGHG WKDW WKH UHIULJHUDQW LV UHFKDUJHG WKURXJK D ILOWHU GULHU WR UHPRYH DQ\ PRLVWXUH
ZKLFKPD\KDYHFRQWDPLQDWHGWKHIOXLGGXULQJUHFRYHU\

)RUXVHLQDVLPLODUV\VWHP

7KHXVHRIUHF\FOHGUHIULJHUDQWLQDUHIULJHUDWLQJV\VWHPZKLFKLVVLPLODULQIXQFWLRQDQGFRPSRQHQWVVKDOOFRPSO\ZLWK
WKHIROORZLQJUHTXLUHPHQWV

±WKHV\VWHPLVVHUYLFHGE\WKHFRPSHWHQWSHUVRQRUFRPSDQ\ZKRUHF\FOHGWKHUHIULJHUDQW

±WKHUHF\FOLQJHTXLSPHQWFRPSOLHVZLWKWKHUHTXLUHPHQWVRI

±WKHKLVWRU\RIWKHUHIULJHUDQWDQGWKHUHIULJHUDWLQJV\VWHPLVNQRZQIURPWKHGDWHRIFRPPLVVLRQLQJ

±WKH FRPSHWHQW SHUVRQ RU FRPSDQ\ LQIRUPV WKH SDUW\ FRQFHUQHG ZKHQ UHF\FOHG UHIULJHUDQW LV XVHG DQG WKH
VRXUFHIURPZKLFKLWFRPHVDQGWKHUHVXOWRIWKHWHVWVRULIQHFHVVDU\RIWKHDQDO\VLV

7KHDFLGWHVWLVFDUULHGRXWLQDFFRUGDQFHZLWK

,I DQ\ RI WKH DERYH FRQGLWLRQV LV QRW PHW RU WKH KLVWRU\ RI WKH UHIULJHUDQW LQGLFDWHV D KHDY\ FRQWDPLQDWLRQ RI WKH
UHIULJHUDQWHJPRWRUEXUQRXWWKHQWKHUHIULJHUDQWVKDOOEHHLWKHUUHFODLPHGRUGLVSRVHGRISURSHUO\

127($UHF\FOHGUHIULJHUDQWVKRXOGFRPSO\ZLWKWKHVSHFLILFDWLRQVLQWKHLQIRUPDWLYHDQQH[%

5HTXLUHPHQWVIRUUHIULJHUDQWUHF\FOLQJHTXLSPHQWDQGSURFHGXUHV

5HF\FOLQJHTXLSPHQWIRUKDORFDUERQUHIULJHUDQWVVKDOOFRPSO\ZLWK,62',6RUVLPLODUVWDQGDUGUHTXLUHPHQWV

5HF\FOLQJHTXLSPHQWVKDOOEHUHJXODUO\LQVSHFWHGWRYHULI\WKDWHTXLSPHQWDQGLQVWUXPHQWVDUHZHOOPDLQWDLQHGDQGLQ
JRRGRUGHU(TXLSPHQWDQGLQVWUXPHQWVVKDOOEHIXQFWLRQWHVWHGDQGFDOLEUDWHGUHJXODUO\

5HFODLP

$QDO\VLV

$UHIULJHUDQWVHQWIRUUHFODLPVKDOOEHDQDO\VHGDQGHLWKHUUHFODLPHGRUGLVSRVHGRISURSHUO\

¸%6,
3DJH
(1

6SHFLILFDWLRQV

$IWHUWKHUHIULJHUDQWKDVEHHQUHFODLPHGLWVKDOOPHHWWKHVSHFLILFDWLRQVIRUQHZUHIULJHUDQWV

127(5HFODLPHGUHIULJHUDQWFDQEHXVHGDVQHZUHIULJHUDQW

5HFODLPLQJHTXLSPHQW

5HFODLPLQJHTXLSPHQWIRUKDORFDUERQUHIULJHUDQWVKDOOFRPSO\ZLWK,62',6RUVLPLODUVWDQGDUGUHTXLUHPHQWV

5HTXLUHPHQWVIRUUHIULJHUDQWWUDQVIHUWUDQVSRUWDQGVWRUDJH

*HQHUDO

$SSURSULDWHVDIHW\SUDFWLFHVVKDOOEHIROORZHGGXULQJWUDQVIHURIUHIULJHUDQWIURPDUHIULJHUDWLQJV\VWHPWRDUHIULJHUDQW
FRQWDLQHUIRUWUDQVSRUWRUVWRUDJH

5HIULJHUDQWWUDQVIHU

3URFHGXUH

7UDQVIHUHYDFXDWLRQRIWKHUHIULJHUDQWVKDOOEHFDUULHGRXWDVIROORZV

D,I WKHFRPSUHVVRU RIWKHUHIULJHUDWLQJ V\VWHP FDQQRWEHXVHGIRUWKH WUDQVIHUUHIULJHUDQWUHFRYHU\ HTXLSPHQW

VKDOO EH FRQQHFWHG WR WKH UHIULJHUDWLQJ V\VWHP LQ RUGHU WR WUDQVIHU WKH UHIULJHUDQW HLWKHU LQWR DQRWKHU SDUW RI WKH
UHIULJHUDWLQJV\VWHPRULQWRDVHSDUDWHFRQWDLQHU

E%HIRUHVHUYLFHUHSDLUHWFZKLFKLQFOXGHVRSHQLQJWKHV\VWHPWKHSUHVVXUHRIWKHUHIULJHUDWLQJV\VWHP RURI
WKHUHOHYDQWSDUWVVKDOOEHUHGXFHGWREDUDEVROXWH

F%HIRUHVFUDSSLQJWKHUHIULJHUDWLQJV\VWHPRULWVSDUWVVKDOOEHHYDFXDWHGGRZQWRDSUHVVXUHRI

±EDUDEVROXWHIRUDUHIULJHUDWLQJV\VWHPZLWKDQLQWHUQDOYROXPHXSWRDQGLQFOXGLQJP

±EDUDEVROXWHIRUDUHIULJHUDWLQJV\VWHPZLWKDQLQWHUQDOYROXPHJUHDWHUWKDQP

127(7KH DERYH SUHVVXUHV FRUUHVSRQG WR D WHPSHUDWXUH RI WKH UHIULJHUDQW RI •& )RU RWKHU
WHPSHUDWXUHVWKHSUHVVXUHZLOOQHHGWREHFKDQJHGDFFRUGLQJO\

127(7KH WLPH UHTXLUHG IRU WUDQVIHU RU HPSW\LQJ LV GHSHQGHQW RQ WKH SUHVVXUH ,W VKRXOG RQO\ EH
VWRSSHG ZKHQ WKH SUHVVXUH QR ORQJHU ULVHV DQG UHPDLQV FRQVWDQW DQG WKH WRWDO V\VWHP LV DW DPELHQW
WHPSHUDWXUH

5HIULJHUDQWFRQWDLQHU

7KHUHIULJHUDQWVKDOORQO\EHWUDQVIHUUHGWRDFRQWDLQHUVXLWDEOHIRUWKHVSHFLILFUHIULJHUDQWLQYROYHG

7KH FRQWDLQHU VKDOO EH ³HDVLO\´ LGHQWLILHG DQG PDUNHG E\ D FRORXU FRGH RU RWKHUZLVH DV EHLQJ LQWHQGHG WR KROG WKH
UHIULJHUDQWLQYROYHG

7KHFRQWDLQHUZLWKUHFRYHUHGUHIULJHUDQWVKDOOEHVSHFLDOO\PDUNHGHJ³&)&5±5HFRYHUHG±'RQRWXVHEHIRUH
LQYHVWLJDWLRQ´RU³1+$PPRQLD±5HFRYHUHG´

'LVSRVDEOHFRQWDLQHU

$ GLVSRVDEOH ³RQH ZD\´ FRQWDLQHU VKDOO QRW EH XVHG EHFDXVH RI WKH SRVVLELOLW\ RI WKH UHPDLQLQJ JDV FRQWHQW EHLQJ
GLVFKDUJHGLQWRWKHDWPRVSKHUHZKHQGLVSRVHG

¸%6,
 3DJH
(1

&RQWDLQHUILOOLQJ

7KHUHIULJHUDQWFRQWDLQHUVKDOOQRWEHRYHUILOOHG

:KHQ D FRQWDLQHU LV ILOOHG ZLWK KDORFDUERQ UHIULJHUDQW WKH PD[LPXP FKDUJH VKDOO DOZD\V EH REVHUYHG WDNLQJ LQWR
DFFRXQWWKDWSRVVLEOHUHIULJHUDQWRLOPL[WXUHVKDYHDORZHUGHQVLW\WKDQSXUHUHIULJHUDQW

7KHXVDEOHFRQWDLQHUFDSDFLW\VKDOOWKHUHIRUHEHUHGXFHGIRUDUHIULJHUDQWRLOPL[WXUHDSSUR[LPDWHO\OLTXLGE\
YROXPHFRQWUROOHGE\PDVV

7KHDOORZDEOHSUHVVXUHRIWKHFRQWDLQHUVKDOOQRWEHH[FHHGHGHYHQWHPSRUDULO\GXULQJDQ\RSHUDWLRQ

127(6SHFLDOYDOYHVPD\EHILWWHGWRWKHUHIULJHUDQWFRQWDLQHUWRDYRLGWKHSRVVLELOLW\RIRYHUILOOLQJ

'LIIHUHQWUHIULJHUDQWV

'LIIHUHQWUHIULJHUDQWVVKDOOQRWEHPL[HGDQGVKDOOEHVWRUHGLQGLIIHUHQWFRQWDLQHUV

$UHIULJHUDQWVKDOOQRWEHSODFHGLQDFRQWDLQHUWKDWFRQWDLQVDGLIIHUHQWRUDQXQNQRZQUHIULJHUDQW

$Q XQNQRZQ UHIULJHUDQW DOUHDG\ LQ D FRQWDLQHU LV QRW WR EH YHQWHG WR WKH DWPRVSKHUH EXW VKDOO EH LGHQWLILHG DQG
UHFODLPHGRUVKDOOEHGLVSRVHGRISURSHUO\

127($UHIULJHUDQWDGXOWHUDWHGZLWKDQRWKHUUHIULJHUDQWPD\PDNHLWLPSRVVLEOHWRUHFODLP

7UDQVSRUW

5HIULJHUDQWVVKDOOEHWUDQVSRUWHGLQDVDIHPDQQHU

127($OOOHJDOUHTXLUHPHQWVLQFOXGLQJUHJLVWUDWLRQREWDLQLQJSHUPLWVHWFVKRXOGEHREVHUYHG

6WRUDJH

5HIULJHUDQWVVKDOOEHVWRUHGLQDVDIHPDQQHUVHHLQIRUPDWLYHDQQH[&

127(7KH VWRUDJH VLWH VKRXOG EH GU\ DQG SURWHFWHG IURP ZHDWKHU WR PLQLPL]H FRUURVLRQ RI UHIULJHUDQW
FRQWDLQHUV

5HTXLUHPHQWVIRUUHFRYHU\HTXLSPHQW

*HQHUDO

7KHUHFRYHU\HTXLSPHQWGUDZVUHIULJHUDQWRLORXWRIWKHUHIULJHUDWLQJV\VWHPDQGWUDQVIHUVLWLQWRDFRQWDLQHULQDVDIH
PDQQHUDQGVKDOOEHOHDNWLJKW

127(7KHHTXLSPHQWLVQRUPDOO\DPHFKDQLFDOV\VWHPFRQVLVWLQJRIFRPSUHVVRURLOVHSDUDWRUFRQGHQVHU
DQGDX[LOLDU\FRPSRQHQWV

127(7KH HTXLSPHQW PD\ HPSOR\ UHSODFHDEOH FRUH ILOWHU GULHUV WR UHPRYH PRLVWXUH DFLG SDUWLFOHV DQG
RWKHUFRQWDPLQDQWV

2SHUDWLRQLQUHVSHFWWRWKHHQYLURQPHQW

7KHUHFRYHU\HTXLSPHQWVKDOOEHRSHUDWHGLQVXFKDZD\DVWRPLQLPL]HWKHULVNRIHPLVVLRQRIUHIULJHUDQWVRURLOWR
WKHHQYLURQPHQW

¸%6,
3DJH
(1

3HUIRUPDQFH

7KHUHFRYHU\HTXLSPHQWVKDOODWDFRUUHVSRQGLQJWHPSHUDWXUHRI•&EHDEOHWRRSHUDWHGRZQWRDILQDOSUHVVXUHRI

DEDUDEVROXWHLIXVHGIRUDUHIULJHUDWLQJV\VWHPZLWKDQLQWHUQDOYROXPHXSWRDQGLQFOXGLQJP 

EEDUDEVROXWHLIXVHGIRUDUHIULJHUDWLQJV\VWHPZLWKDQLQWHUQDOYROXPHJUHDWHUWKDQP 

127($PHWKRGIRUPHDVXULQJWKHSHUIRUPDQFHRIWKLVHTXLSPHQWLVFRQWDLQHGLQ,62',6

2SHUDWLRQDQGPDLQWHQDQFH

7KH UHFRYHU\ HTXLSPHQW DQG ILOWHUV VKDOO EH RSHUDWHG DQG PDLQWDLQHG LQ DFFRUGDQFH ZLWK ,62',6 DQG WKH
VSHFLILFDWLRQVRIWKHPDQXIDFWXUHURIWKHUHFRYHU\HTXLSPHQW

127(:KHQ FKDQJLQJ UHSODFHDEOH FRUH ILOWHU GULHUV LQ WKH UHFRYHU\ HTXLSPHQW WKH VHFWLRQ FRQWDLQLQJ WKH
ILOWHUV VKRXOG EH LVRODWHG DQG WKH UHIULJHUDQW VKRXOG EH WUDQVIHUUHG LQWR D VXLWDEOH VWRUDJH FRQWDLQHU SULRU WR
RSHQLQJ WKH ILOWHU VKHOO $Q\ DLU LQWURGXFHG LQWR WKH UHFRYHU\ HTXLSPHQW GXULQJ WKH FRUH FKDQJH VKRXOG EH
UHPRYHGE\HYDFXDWLRQDQGQRWE\IOXVKLQJRXWRUSXUJLQJRXWZLWKWKHUHIULJHUDQW

5HTXLUHPHQWVIRUGLVSRVDO

5HIULJHUDQWQRWLQWHQGHGIRUUHXVH

8VHGUHIULJHUDQWZKLFKLVQRWLQWHQGHGIRUUHXVHVKDOOEHGHDOWZLWKDVZDVWHIRUVDIHGLVSRVDO(PLVVLRQVKDOOQRWEH
PDGHLQWRWKHHQYLURQPHQW

$EVRUEHGDPPRQLD

$IWHUDEVRUELQJDPPRQLD1+LQZDWHUWKH³PL[WXUH´VKDOOEHGHDOWZLWKDVZDVWHIRUVDIHGLVSRVDO

5HIULJHUDWLQJPDFKLQHRLO

8VHG RLO UHFRYHUHG IURP D UHIULJHUDWLQJ V\VWHP ZKLFK FDQQRW EH UHSURFHVVHG VKDOO EH VWRUHG LQ D VHSDUDWH
DSSURSULDWHFRQWDLQHUDQGVKDOOEHGHDOWZLWKDVZDVWHIRUVDIHGLVSRVDO

2WKHUFRPSRQHQWV

,WVKDOOEHHQVXUHGWKDWRWKHUFRPSRQHQWVRIWKHUHIULJHUDWLQJV\VWHPFRQWDLQLQJUHIULJHUDQWDQGRLODUHDOVRGLVSRVHG
RISURSHUO\

127(:KHQQHFHVVDU\DSHUVRQ FRPSHWHQWLQGHDOLQJ ZLWK WKH GLVSRVDO RI UHIULJHUDQWV DQG RLOV VKRXOG EH
FRQVXOWHG

5HTXLUHPHQWVIRUGRFXPHQWDWLRQ

$OORSHUDWLRQVRIUHFRYHU\DQGUHXVHRIUHIULJHUDQWDQGLWVVRXUFHVKDOOEHUHFRUGHGLQWKHORJERRNRIWKHUHIULJHUDWLQJ
V\VWHPVHH(1,IUHTXHVWHGE\WKHFXVWRPHUDFHUWLILFDWHVKDOOEHVXSSOLHGE\WKHUHIULJHUDQWVXSSOLHURUE\
WKHVHUYLFHFRPSDQ\HJDVGHILQHGLQ(1

¸%6,
 3DJH
(1

$QQH[$QRUPDWLYH

'UDLQLQJWKHRLOIURPDUHIULJHUDWLQJV\VWHPFRQWDLQLQJDPPRQLD

$*HQHUDO
8VXDOO\ERWKWKHKLJKDQGWKHORZSUHVVXUHVLGHVRIDUHIULJHUDWLQJV\VWHPFRQWDLQLQJDPPRQLDDUHHTXLSSHGZLWKRLO
FROOHFWRUVZLWKGUDLQLQJYDOYHVLQRUGHUWREHDEOHWRUHPRYHWKHHQWUDLQHGDQGDFFXPXODWHGRLOIURPWKHV\VWHP7KH
RLOGUDLQLQJDSHUWXUHVVKDOOEHHTXLSSHGZLWKDVWRSYDOYHDQGDTXLFNFORVLQJ YDOYHGRZQVWUHDPRU D FDWFKSRWRLO
FROOHFWLQJV\VWHPZKLFKHQDEOHVLVRODWLRQIURPWKHSDUWRIWKHUHIULJHUDWLQJV\VWHPFRQWDLQLQJOLTXLGUHIULJHUDQWVDIH
YHQWLQJRIRLOFRQWDLQLQJUHIULJHUDQWDQGLVRODWLRQRIWKHYDSRXUOLQHEHIRUHWKHRLOLVGUDLQHGRII

$'UDLQLQJSURFHGXUH
7KHRLOVKDOOEHFDUHIXOO\GUDLQHGE\FRPSHWHQWSHUVRQQHO

'XULQJWKHGUDLQLQJRSHUDWLRQWKHURRPVKDOOEHHIIHFWLYHO\YHQWHGDQGVPRNLQJDQGWKHSUHVHQFHRIDQ\RWKHURSHQ
ILUHVKDOOEHSURKLELWHG

7KH SUHVVXUH RI WKH VHFWLRQ IURP ZKLFK WKH RLO LV GUDLQHG VKDOO EH DERYH DWPRVSKHULF SUHVVXUH WKHUHIRUH GUDLQLQJ
VKDOORQO\WDNHSODFHGXULQJGHIURVWLQJRUZKHQWKHUHIULJHUDWLQJV\VWHPLVDWVWDQGVWLOO

,IWKHGUDLQLQJDSHUWXUHLVEORFNHGDGGLWLRQDOFDUHLVQHFHVVDU\

:KHQ GUDLQLQJ RLO IURP FRPSUHVVRUV E\ PHDQV RI D GUDLQ SOXJ LW LV HVVHQWLDO WR UHGXFH WKH SUHVVXUH LQ WKH
FRPSUHVVRUWRDWPRVSKHULFSUHVVXUHEHIRUHUHPRYLQJWKHSOXJ

7ZR YDOYHV DUH SURYLGHG RQ WKH RLO GUDLQ RQH PDQXDOO\ RSHUDWHG YDOYH DQG RQH TXLFN FORVLQJ YDOYH ,I WKH TXLFN
FORVLQJYDOYHLVSDUWO\RSHQHGDQGQRRLORUUHIULJHUDQWLVHPLWWHGLWVKDOOEHGLVDVVHPEOHGFOHDQHGDQGUHLQVWDOOHG
(QVXUHWKDWWKHPDQXDOO\RSHUDWHGYDOYHUHPDLQVFORVHGGXULQJWKLVRSHUDWLRQ

127(,WLVUHFRPPHQGHGWKDWRLOLVGUDLQHGUHJXODUO\DWWKHSRLQWVLQWHQGHGIRUWKLVSXUSRVHWRDYRLGDPRQJ
RWKHUWKLQJVWKHGLVWXUEDQFHRIWKHUHIULJHUDQWOHYHOFRQWURODQGWKHGDQJHURIOLTXLGKDPPHUZKLFKWKLVHQWDLOV

2LOVKDOOQRWEHGLVFKDUJHGLQWRVHZHUVFDQDOVULYHUVJURXQGRUVHDZDWHU

¸%6,
3DJH
(1

$QQH[%LQIRUPDWLYH

*XLGHVSHFLILFDWLRQSDUDPHWHUVIRUUHF\FOHGUHIULJHUDQW

%7KLV(XURSHDQ6WDQGDUGVSHFLILHVSHUIRUPDQFHUHTXLUHPHQWVIRUHTXLSPHQWWRUHF\FOHKDORFDUERQDQGVRPH
RWKHU UHIULJHUDQWV EXW UHFRJQL]HV WKDW IRU FHUWLILFDWLRQ SXUSRVHV VXFK HTXLSPHQW FDQ RQO\ EH WHVWHG DJDLQVW
³VWDQGDUGFRQWDPLQDWHGUHIULJHUDQWVDPSOHV´VHH,62',6

%,Q SUDFWLFH UHIULJHUDQWV EHLQJ UHFRYHUHG FDQQRW EH H[SHFWHG DW DOO WLPHV WR UHSURGXFH RQO\ WKHVH VWDQGDUG
FRQWDPLQDQWVDQGFXUUHQWO\LWLVQRWFHUWDLQZLWKZKDWOHYHOVRIFRQWDPLQDWLRQV\VWHPVDUHFRSLQJ

%7KLV(XURSHDQ6WDQGDUGPDNHVQRGLUHFWUHIHUHQFHWRDVSHFLILFDWLRQIRUUHF\FOHGUHIULJHUDQWVWKHSDUDPHWHUV
IRUZKLFKKDYHLQDQ\FDVHVWLOOWREHGHWHUPLQHG

%+RZHYHU WKH UHFRYHUHU RI UHIULJHUDQW PD\ ZLVK WR VDWLVI\ KLPVHOI WKDW WKH UHIULJHUDQW LV ILW IRU WKH SXUSRVH
LQWHQGHGVLQFHKHZLOOKDYHWRFHUWLI\DVVXFKWRWKHSDUW\FRQFHUQHG

%7KH UHFRYHUHU PD\ WKHUHIRUH ZLVK WR XVH KLV H[SHUWLVH WR FRPSDUH KLV UHF\FOHG UHIULJHUDQWV ZLWK WKH
VSHFLILFDWLRQVIRUQHZSURGXFWVZLWKWKHXQGHUVWDQGLQJWKDWWKHUHVXOWRUDQDO\VLVZLOOQRWUHDFKWKHVSHFLILFDWLRQIRU
QHZUHIULJHUDQWVDQGZLOOQRWH[FHHGWKHVSHFLILFDWLRQVJLYHQIRUWKHUHF\FOLQJHTXLSPHQWXVHG

%$WWHQWLRQ LV GUDZQ WR WKH SRVVLELOLW\ RI VLJQLILFDQW SURSHUW\ FKDQJHV LI PL[HG UHIULJHUDQWV DUH UHF\FOHG LQ
SURSRUWLRQVGLIIHUHQWIURPWKHRULJLQDOPL[WXUHRULIRWKHUUHIULJHUDQWVQRWLQWKHRULJLQDOEOHQGKDYHFRQWDPLQDWHGWKH
PL[WXUH

¸%6,
 3DJH
(1

$QQH[&LQIRUPDWLYH

+DQGOLQJDQGVWRUDJHRIUHIULJHUDQWV

&*HQHUDO
,QIRUPDWLRQDERXW KDQGOLQJDQG VWRUDJHJLYHQLQWKLVDQQH[PD\EHXVHG ZKHUHQR VLPLODU FULWHULD H[LVW LQ QDWLRQDO
UHJXODWLRQV

/RVVHVRIUHIULJHUDQWVWRWKHDWPRVSKHUHVKRXOGEHPLQLPL]HGGXULQJKDQGOLQJDQGVWRUDJHRIUHIULJHUDQW

&+DQGOLQJ
&5HIULJHUDQWVKRXOGRQO\EHFKDUJHGLQWRUHIULJHUDWLQJV\VWHPVDIWHUDSUHVVXUHDQGOHDNWHVW

&5HIULJHUDQWFRQWDLQHUVVKRXOGQRWEHFRQQHFWHGWRDV\VWHPDWDKLJKHUSUHVVXUHRUWRSLSLQJZLWKK\GUDXOLF
SUHVVXUHRIOLTXLGUHIULJHUDQWZKHUHWKHSUHVVXUHLVVXIILFLHQWWRFDXVHDEDFNIORZLQWRWKHFRQWDLQHU

%DFNIORZRIUHIULJHUDQWFDQUHVXOWLQFKDUJLQJHUURUVXSWRDQRYHUILOORIWKHFRQWDLQHUV$IWHUWKDWWKHSUHVVXUHPD\EH
EHFRPHVXFKWKDWWKHFRQWDLQHUEXUVWVRUWKHVDIHW\YDOYHLIILWWHGRSHQV

&&KDUJLQJ OLQHV VKRXOG EH DV VKRUW DV SRVVLEOH DQG HTXLSSHG ZLWK YDOYHV RU VHOIFORVLQJ FRQQHFWLRQV WR
PLQLPL]HWKHORVVHVRIUHIULJHUDQW

&5HIULJHUDQW WUDQVIHUUHG WR D V\VWHP VKRXOG EH PHDVXUHG E\ HLWKHU PDVV RU YROXPH XVLQJ VFDOHV RU D
YROXPHWULFFKDUJLQJGHYLFH:KHQFKDUJLQJ]HRWURSLFPL[WXUHVWKHUHIULJHUDQWLVFKDUJHGDVOLTXLGLQDFFRUGDQFHZLWK
WKHUHIULJHUDQWPDQXIDFWXUHU
VLQVWUXFWLRQV

:KHQFKDUJLQJDV\VWHPFDUHVKRXOGEHWDNHQWKDWLWVPD[LPXPSHUPLVVLEOHFKDUJHLVQHYHUH[FHHGHGVHH&
LQYLHZRIDPRQJRWKHUWKLQJVWKHGDQJHURIOLTXLGKDPPHU

&KDUJLQJZLWKUHIULJHUDQWVKRXOGSUHIHUDEO\EHGRQHLQWKHORZSUHVVXUHSDUWRIWKHV\VWHP(DFKSRLQWGRZQVWUHDP
IURPDFORVHGVKXWRIIYDOYHLQWKHPDLQOLTXLGOLQHLVUHJDUGHGDVDORZSUHVVXUHVLGHSRLQW

&%HIRUH FKDUJLQJ UHIULJHUDQW LQWR D V\VWHP WKH FRQWHQW RI WKH UHIULJHUDQW FRQWDLQHUV VKRXOG EH FKHFNHG
SUHFLVHO\7KHDGGLQJRIDQXQVXLWDEOHVXEVWDQFHPD\FDXVHH[SORVLRQVRURWKHUDFFLGHQWV

&5HIULJHUDQWFRQWDLQHUVVKRXOGEHVORZO\DQGFDUHIXOO\RSHQHG
5HIULJHUDQW FRQWDLQHUV VKRXOG EH GLVFRQQHFWHG IURP WKH V\VWHP LPPHGLDWHO\ XSRQ FRPSOHWLRQ RI WKH DGGLWLRQ RU
UHPRYDORIWKHUHIULJHUDQW

5HIULJHUDQWFRQWDLQHUVVKRXOGQRWEHNQRFNHGGURSSHGWKURZQRQWKHJURXQGRUH[SRVHGWRWKHUPDOUDGLDWLRQGXULQJ
WKHDGGLWLRQRUUHPRYDO

5HIULJHUDQWFRQWDLQHUVVKRXOGEHFKHFNHGIRUFRUURVLRQ

&:KHQDGGLQJDUHIULJHUDQWWRDV\VWHPHJDIWHUUHSDLUFDUHVKRXOGEHH[HUFLVHGWRDGGUHIULJHUDQWLQVPDOO
DPRXQWVWRDYRLGRYHUFKDUJLQJZKLOHREVHUYLQJKLJKDQGORZVLGHSUHVVXUHV

,IWKHPD[LPXPSHUPLVVLEOHUHIULJHUDQWFKDUJHRIDV\VWHPKDVEHHQH[FHHGHGDQGWKHQHFHVVLW\DULVHVWRWUDQVIHU
SDUW RI WKH UHIULJHUDQW FKDUJH WR UHIULJHUDQW FRQWDLQHUV WKH FRQWDLQHUV VKRXOG EH FDUHIXOO\ ZHLJKHG GXULQJ WUDQVIHU
WDNLQJFDUHWKDWWKHPD[LPXPFKDUJHIRUWKHFRQWDLQHULVQHYHUH[FHHGHG7KHFRQWDLQHUVKRXOGQRWEHFKDUJHGWRD
SRLQW ZKHUH H[SDQVLRQ RI OLTXLG UHIULJHUDQW DV D FRQVHTXHQFH RI D WHPSHUDWXUH ULVH FDQ FDXVH D UXSWXUH 7KH
PD[LPXPSHUPLWWHGPDVVVKRXOGEHPDUNHGRQWKHFRQWDLQHUV

¸%6,
3DJH
(1

&5HIULJHUDQW FRQWDLQHUV VKRXOG EH FRQVWUXFWHG WR PHHW GLIIHUHQW UHTXLUHPHQWV IRU UHILOODEOH DSSOLFDWLRQV
DFFRUGLQJWRQDWLRQDOUHJXODWLRQV7KLVPD\LQFOXGHDSURSHUO\VHWSUHVVXUHUHOLHIGHYLFHDQGDYDOYHJXDUG

&5HIULJHUDQWFRQWDLQHUVVKRXOGQRWEHPDQLIROGHGWRJHWKHU7KLVFRXOGUHVXOWLQXQFRQWUROOHGUHIULJHUDQWWUDQVIHU
XSWRDQRYHUILOORIWKHFROGHVWFRQWDLQHU

&:KHQILOOLQJUHIULJHUDQWFRQWDLQHUVWKHPD[LPXPFDUU\LQJFDSDFLW\VKRXOGQRWEHH[FHHGHGDSSUR[LPDWHO\
OLTXLGE\YROXPHDWDSSUR[LPDWHO\•&

7KHFDUU\LQJFDSDFLW\LVDIXQFWLRQRIWKHLQWHUQDOYROXPHRIWKHFRQWDLQHUDQGWKHOLTXLGGHQVLW\RIWKHUHIULJHUDQWDWD
UHIHUHQFHWHPSHUDWXUHQRUPDOO\•&

&5HIULJHUDQWV VKRXOG RQO\ EH WUDQVIHUUHG LQWR FRQWDLQHUV PDUNHG ZLWK WKH W\SH RI UHIULJHUDQW DV GLIIHUHQW
UHIULJHUDQWVKDYHGLIIHUHQWDOORZDEOHSUHVVXUHV

&7RDYRLGWKHGDQJHURIPL[LQJGLIIHUHQWUHIULJHUDQWW\SHVDQGJUDGHVHJUHF\FOHGWKHUHFHLYLQJFRQWDLQHU
VKRXOGRQO\KDYHEHHQXVHGSUHYLRXVO\IRUWKDWJUDGHRIUHIULJHUDQW7KHJUDGHVKRXOGEHFOHDUO\PDUNHG

&7UDQVIHUULQJ UHIULJHUDQW IURP RQH FRQWDLQHU WR DQRWKHU VKRXOG EH FDUULHG RXW XVLQJ VDIH DQG DSSURYHG
PHWKRGV

$ SUHVVXUH GLIIHUHQWLDO VKRXOG EH HVWDEOLVKHG EHWZHHQ WKH FRQWDLQHUV E\ HLWKHU FRROLQJ WKH UHFHLYLQJ FRQWDLQHU RU
KHDWLQJWKHGLVFKDUJHFRQWDLQHU+HDWLQJVKRXOGEHDFKLHYHGXVLQJEODQNHWKHDWHUHTXLSPHQWZLWKDWKHUPRVWDWVHWDW
•&RUOHVVDQGDWKHUPDOIXVHRUDQRQVHOIUHVHWWLQJWKHUPDOFXWRXWVHWDWDWHPSHUDWXUHDWZKLFKWKHUHIULJHUDQW
VDWXUDWLRQSUHVVXUHGRHVQRWH[FHHGRIWKHFRQWDLQHUSUHVVXUHUHOLHIGHYLFHVHWWLQJ

8QGHU QR FLUFXPVWDQFHV VKRXOG UHIULJHUDQWV EH YHQWHG WR WKH DWPRVSKHUH IURP WKH UHFHLYLQJ FRQWDLQHU LQ RUGHU WR
ORZHUWKHSUHVVXUH

7KHUHVKRXOGEHQRGLUHFWKHDWLQJRIUHIULJHUDQWFRQWDLQHUVE\RSHQIODPHVUDGLDQWKHDWHUVRUGLUHFWFRQWDFWKHDWHUV
WRLQFUHDVHWKHIORZYHORFLW\RIWKHUHIULJHUDQW

&&KDUJLQJF\OLQGHUVZLWKJUDGXDWHGYROXPHWULFVFDOHVVKRXOGEHHTXLSSHGZLWKDSUHVVXUHUHOLHIYDOYH
7KHVHF\OLQGHUVVKRXOGEHILOOHGLQDFFRUGDQFHZLWK&

,PPHUVLRQKHDWHUVIRUWKLVW\SHRIF\OLQGHUDUHSHUPLVVLEOHZLWKRXWDWHPSHUDWXUHOLPLWLQJGHYLFHLIWKHSRZHULQSXWLV
OLPLWHGE\DFXUUHQWOLPLWHUVRWKDWFRQWLQXRXVRSHUDWLRQRIWKHKHDWHUUHVXOWV LQ D F\OLQGHUSUHVVXUHIRUWKH VXEMHFW
UHIULJHUDQWRIOHVVWKDQRIWKHVDIHW\YDOYHVHWWLQJUHJDUGOHVVRIWKHOLTXLGOHYHOLQVLGHWKHF\OLQGHU

&6WRUDJH
&5HIULJHUDQWFRQWDLQHUVVKRXOGEHVWRUHGLQDQHVSHFLDOO\SURYLGHGFRROVSDFHDZD\IURPILUHULVNRXWRIGLUHFW
VXQOLJKWDQGDZD\IURPVRXUFHVRIGLUHFWKHDWLQJ

&RQWDLQHUVVWRUHGRXWVLGHVKRXOGEHZHDWKHUUHVLVWDQWDQGSURWHFWHGIURPVRODUUDGLDWLRQ

&0HFKDQLFDOGDPDJHWRWKHFRQWDLQHUDQGLWVYDOYHVKRXOGEHDYRLGHGE\FDUHIXOKDQGOLQJ(YHQLIILWWHGZLWKD
YDOYH JXDUG FRQWDLQHUV VKRXOG QRW EH GURSSHG ,Q WKH VWRUDJH DUHD FRQWDLQHUV VKRXOG EH HIIHFWLYHO\ VHFXUHG WR
SUHYHQWWKHPIURPIDOOLQJ

&7KH FRQWDLQHU YDOYH VKRXOG EH FORVHG DQG FDSSHG ZKHQ WKH FRQWDLQHU LV QRW LQ XVH *DVNHWV VKRXOG EH
UHSODFHGDVUHTXLUHG

&5HIULJHUDQWPD\EHVWRUHGLQWKHVSHFLDOPDFKLQHU\URRPLQFRQWDLQHUVSURYLGHGWKDWWKHTXDQWLW\RIUHIULJHUDQW
GRHVQRWH[FHHGNJH[FOXGLQJUHIULJHUDQWVLQFRPSRQHQWVIRUPLQJSDUWRIWKHV\VWHP

¸%6,
 3DJH
(1

$QQH['LQIRUPDWLYH

%LEOLRJUDSK\

(1
6DIHW\RIPDFKLQHU\±%DVLFFRQFHSWVJHQHUDOSULQFLSOHVIRUGHVLJQ±3DUW%DVLFWHUPLQRORJ\PHWKRGRORJ\

(1
6DIHW\RIPDFKLQHU\±%DVLFFRQFHSWVJHQHUDOSULQFLSOHVIRUGHVLJQ±3DUW7HFKQLFDOSULQFLSOHVDQGVSHFLILFDWLRQV

(1
0HWDOOLFSURGXFWV±7\SHVRILQVSHFWLRQGRFXPHQWV

,62
2UJDQLFUHIULJHUDQWV±1XPEHUGHVLJQDWLRQ

¸%6,
3DJH
(1

$QQH[=$LQIRUPDWLYH

&ODXVHVRIWKLV(XURSHDQ6WDQGDUGDGGUHVVLQJHVVHQWLDOUHTXLUHPHQWVRURWKHUSURYLVLRQVRI
(8'LUHFWLYHV

7KLV(XURSHDQVWDQGDUGKDVEHHQSUHSDUHGXQGHUDPDQGDWHJLYHQWR&(1E\WKH(XURSHDQ&RPPLVVLRQDQGWKH
(XURSHDQ )UHH 7UDGH $VVRFLDWLRQ DQG VXSSRUWV HVVHQWLDO UHTXLUHPHQWV RI (8 'LUHFWLYH (& RI WKH (XURSHDQ
3DUOLDPHQW DQGRIWKH &RXQFLO RI 0D\ RQ WKH DSSUR[LPDWLRQ RI WKH ODZV RI WKH 0HPEHU 6WDWHV FRQFHUQLQJ
SUHVVXUHHTXLSPHQW

:$51,1*2WKHUUHTXLUHPHQWVDQGRWKHU(8'LUHFWLYHVPD\EHDSSOLFDEOHWRWKHSURGXFWVIDOOLQJZLWKLQWKH
VFRSHRIWKLVVWDQGDUG

7KHIROORZLQJFODXVHVRIWKLVVWDQGDUGDUHOLNHO\WRVXSSRUWUHTXLUHPHQWVRIWKH'LUHFWLYH(&

&RPSOLDQFH ZLWK WKHVH FODXVHV RI WKLV VWDQGDUG SURYLGHV RQH PHDQV RI FRQIRUPLQJ ZLWK WKH VSHFLILF HVVHQWLDO
UHTXLUHPHQWVRIWKH'LUHFWLYHFRQFHUQHGDQGDVVRFLDWHG()7$UHJXODWLRQV

7DEOH=$&RUUHVSRQGHQFHEHWZHHQWKLV(XURSHDQ6WDQGDUGDQG'LUHFWLYH(&

&ODXVHVVXEFODXVHVRIWKLV (VVHQWLDOUHTXLUHPHQWV(5V 4XDOLI\LQJUHPDUNV1RWHV

(XURSHDQ6WDQGDUG RI'LUHFWLYH(&
  *HQHUDO
  3URYLVLRQVWRHQVXUHVDIHKDQGOLQJ
DQGRSHUDWLRQ
  0HDQVRIGUDLQLQJDQGYHQWLQJ
$QQH[$  3URYLVLRQVIRUILOOLQJDQGGLVFKDUJH
  2SHUDWLRQDOLQVWUXFWLRQV

¸%6,
 3DJH
(1

$QQH[=%LQIRUPDWLYH

$GHYLDWLRQV

$GHYLDWLRQ 1DWLRQDO GHYLDWLRQ GXH WR UHJXODWLRQV WKH DOWHUDWLRQ RI ZKLFK LV IRU WKH WLPH EHLQJ RXWVLGH WKH
FRPSHWHQFHRIWKH&(1&(1(/(&PHPEHU

7KLV(XURSHDQ6WDQGDUGIDOOVSDUWO\XQGHU'LUHFWLYH(8DQG(8

,Q WKH UHOHYDQW &(1&(1(/(& FRXQWULHV WKHVH $GHYLDWLRQV DUH YDOLG LQVWHDG RI WKH SURYLVLRQV RI WKH (XURSHDQ
6WDQGDUGXQWLOWKH\KDYHEHHQUHPRYHG

6ZHGHQ KDV DW SUHVHQW QDWLRQDO OHJLVODWLYH UHTXLUHPHQWV LQ FRQIOLFW ZLWK VRPH FODXVHV RI  3DUW  1DWLRQDO
UHJXODWLRQVFRQFHUQLQJSUHVVXUHHTXLSPHQWDUHFRYHUHGE\$)67U\FNNlUOLVVXHGE\WKH1DWLRQDO%RDUGRI
2FFXSDWLRQDO6DIHW\DQG+HDOWK

7KHIROORZLQJSDUWVLQ(1DUHLQFRQIOLFW

&ODXVH 'HYLDWLRQ

 ([FHSWLRQIRUUHIULJHUDQWFKDUJHDQGGLIIHUHQWUHIULJHUDQWV$)6&KDS

 5HLQVSHFWLRQDQGUHFRQWURO$)6&KDS6HFWLRQDQG
 3URGXFWLRQFRQWUROHWF$)6&KDS6HFWLRQDQG&KDS6HFWLRQ
 ,QVSHFWLRQDQGFRUUHVSRQGLQJVHOILQVSHFWLRQ$)6&KDS6HFWLRQ

¸%6,
BS EN |
|
378-4:2000 |
|
|
|
|
|
|
BSI Ð British Standards Institution
|
|
|
|
|
|
| BSI is the independent national body responsible for preparing British Standards. It
|
| presents the UK view on standards in Europe and at the international level. It is
| incorporated by Royal Charter.
|
|
| Revisions
|
|
| British Standards are updated by amendment or revision. Users of British Standards
|
| should make sure that they possess the latest amendments or editions.
|
|
| It is the constant aim of BSI to improve the quality of our products and services. We
|
| would be grateful if anyone finding an inaccuracy or ambiguity while using this
| British Standard would inform the Secretary of the technical committee responsible,
|
| the identity of which can be found on the inside front cover. Tel: 020 8996 9000.
|
| Fax: 020 8996 7400.
|
|
| BSI offers members an individual updating service called PLUS which ensures that
|
| subscribers automatically receive the latest editions of standards.
|
|
| Buying standards
|
| Orders for all BSI, international and foreign standards publications should be
|
| addressed to Customer Services. Tel: 020 8996 9001. Fax: 020 8996 7001.
|
|
| In response to orders for international standards, it is BSI policy to supply the BSI
|
| implementation of those that have been published as British Standards, unless
|
| otherwise requested.
|
|
| Information on standards
|
| BSI provides a wide range of information on national, European and international
|
| standards through its Library and its Technical Help to Exporters Service. Various
|
| BSI electronic information services are also available which give details on all its
|
| products and services. Contact the Information Centre. Tel: 020 8996 7111.
|
| Fax: 020 8996 7048.
|
|
| Subscribing members of BSI are kept up to date with standards developments and
| receive substantial discounts on the purchase price of standards. For details of
|
| these and other benefits contact Membership Administration. Tel: 020 8996 7002.
|
| Fax: 020 8996 7001.
|
|
| Copyright
|
|
| Copyright subsists in all BSI publications. BSI also holds the copyright, in the UK, of
|
| the publications of the international standardization bodies. Except as permitted
| under the Copyright, Designs and Patents Act 1988 no extract may be reproduced,
|
| stored in a retrieval system or transmitted in any form or by any means ± electronic,
|
| photocopying, recording or otherwise ± without prior written permission from BSI.
|
|
| This does not preclude the free use, in the course of implementing the standard, of
|
| necessary details such as symbols, and size, type or grade designations. If these
|
| details are to be used for any other purpose than implementation then the prior
| written permission of BSI must be obtained.
|
|
| If permission is granted, the terms may include royalty payments or a licensing
|
| agreement. Details and advice can be obtained from the Copyright Manager.
|
| Tel: 020 8996 7070.
|
|
|
|
|
|
|
|
|
BSI |
|
389 Chiswick High Road |
|
London |
|
W4 4AL |
|
|
|
|
|
|