You are on page 1of 96













3URMHFW5
,PSURYHPHQWRI6DLK$O'DKDO6WUHHW
IURP6DLK$O6DODPWR0%56RODU3DUN 





&2175$&7'2&80(176
92/80( 

GENERAL & PARTICULAR SPECIFICATIONS


PART I OF III – ROAD WORKS









(03/2<(5 
5RDGV'HSDUWPHQW 
5RDGV 7UDQVSRUW$XWKRULW\ 
32%R[ 
'XEDL8$( 
 
57$ 0D\




352-(&75
,03529(0(172)6$,+$/'$+$/675(((7
)5206$,+$/6$/$0720%562/$53$5. 




&2175$&7'2&80(176



*(1(5$/,1'(;




9ROXPH   7HQGHUDQG&RQWUDFW&RQGLWLRQV

9ROXPH  3DUW,RI,,,  *HQHUDO6SHFLILFDWLRQV 5RDGV:RUNV 

9ROXPH  3DUW,,RI,,,  *HQHUDO6SHFLILFDWLRQ 6HUYLFHV:RUNV 

9ROXPH  3DUW,,,RI,,,  3DUWLFXODU6SHFLILFDWLRQV 5RDGV6HUYLFHVDQG
     /DQGVFDSLQJ:RUNV 

9ROXPH     %LOORI4XDQWLWLHV

9ROXPH     &RQWUDFW'UDZLQJV

L

92/80(

6WDQGDUG6SHFLILFDWLRQV
)RU&RQVWUXFWLRQRI5RDGVLQ'XEDL(PLUDWH
'(366

3DUW5RDG:RUNV
3DUW6HUYLFHV:RUNV

5RDGVDQG7UDQVSRUW$XWKRULW\
'XEDL(PLUDWH

0DUFK
35()$&(

6WDQGDUG6SHFLILFDWLRQVIRUWKH&RQVWUXFWLRQRI5RDGVDQG%ULGJHVLQ'XEDL(PLUDWH

7KLV QHZ YHUVLRQ RI WKH 6WDQGDUG 6SHFLILFDWLRQV LV SUHSDUHG WR EH XVHG VROHO\ IRU WKH
&RQVWUXFWLRQ RI 5RDGV DQG %ULGJHV LQ 'XEDL (PLUDWH  $OO WKH SURMHFWV SHUWDLQ WR 5RDGV DQG
7UDQVSRUW $XWKRULW\ DQG RWKHUV SHUWDLQ WR 3ULYDWH VHFWRUV URDGV QHWZRUNV VKDOO EH JRYHUQHG E\
WKHVH VSHFLILFDWLRQV DV SHU WKH GHFUHH RI KLV KLJKQHVV 6KHLNK 0RKDPPHG ELQ 5DVKLG $O
0DNWRXP  1R  IRU WKH \HDU   7KH XSGDWHG VSHFLILFDWLRQV DUH FLWHG DV '(366
LQGLFDting “Dubai Emirate Projects 6WDQGDUG6SHFLILFDWLRQVLVVXHGLQWKH\HDU

7KHVHVSHFLILFDWLRQVVKDOOEHFRQVLGHUHGDVDQRULJLQDOSDUWRIWKHFRQWUDFWDQGWHQGHUGRFXPHQWV
XSRQDOOSDUWLHVWRWKHFRQWUDFW$OOFRQVWUXFWLRQFRQWUDFWVRIWKH'XEDL5RDGVDUHDOVRJRYHUQHG
E\WKLVXSGDWHGYHUVLRQRIVSHFLILFDWLRQV

3ULPDULO\ WKH 8QLWV RI ,QWHUQDWLRQDO 6\VWHP 6,  DUH PDLQO\ XVHG LQ WKH XSGDWHG YHUVLRQ RI WKH
VSHFLILFDWLRQV'(366DQGDFRQYHUVLRQWDEOHLVSURYLGHGWR EHXVHGDVDUHIHUHQFHRIXQLWV
FRQYHUVLRQVZKHQGLIIHUHQWXQLWVDUHXVHG

Terms used throughout this specification shall have the same meaning as those defined in
accordance with:

BS 6100 2.4.1 2008 “Glossary of building and civil engineering terms. Civil Engineering,
Highway, railway and airport engineering. Highway Engineering”
BS 6100 2.2.1 2008 “Glossary of building and civil engineering terms. Civil engineering.
Substructures. Earthworks. Foundations. Tunnels. Substructures and foundations”
0(75,&72(1*/,6+&219(56,21)$&7256
6\PERO :KHQ<RX.QRZ 0XOWLSO\%\ 7R)LQG 6\PERO
/(1*7+
—P PLFURPHWHUV [ LQFKHV LQ
PP PLOOLPHWHUV  LQFKHV LQ
P PHWHUV  IHHW IW
P PHWHUV  \DUGV \G
NP NLORPHWHUV  PLOHV PL
$5($
PP VTXDUHPLOOLPHWHUV  VTXDUHLQFKHV LQ

P VTXDUHPHWHUV  VTXDUHIHHW IW
P VTXDUHPHWHUV  VTXDUH\DUGV \G
KD KHFWDUHV  DFUHV DF
NP VTXDUHNLORPHWHUV  VTXDUHPLOHV PL
92/80(
P/ PLOOLOLWHUV  IOXLGRXQFHV IOR]
/ OLWHUV  JDOORQV JDO
P FXELFPHWHUV  FXELFIHHW IW

P FXELFPHWHUV  FXELF\DUGV \G
0$66
J JUDPV  RXQFHV R]
NJ NLORJUDPV  SRXQGV OE
0J PHJDJUDPV  VKRUWWRQV 7
RUW  RUPHWULFWRQ  OE 
7(03(5$785( H[DFW 
ž& &HOVLXV & )DKUHQKHLW ž)
WHPSHUDWXUH WHPSHUDWXUH
,//80,1$7,21
O[ OX[  IRRWFDQGOHV IF
FGP FDOGHODP  IRRW/DPEHUWV IO
0,6&(//$1(286

- MRXOH  IRRWāSRXQGIRUFH IWāOEI


1 QHZWRQV  SRXQGIRUFH OEI
N3D NLORSDVFDOV  SRXQGIRUFH OEILQ
SHUVTXDUHLQFK

6,LVWKHV\PEROIRUWKH,QWHUQDWLRQDO6\VWHPRI8QLWV
$SSURSULDWHURXQGLQJVKRXOGEHPDGHWRFRPSO\ZLWK6HFWLRQRI$670(
92/80(
3DUW5RDG:RUNV
7$%/(2)&217(176

6HFWLRQ 'HVFULSWLRQ

 *(1(5$/

 6,7(&/($51&($1'($57+:25.6

 3$9(0(17&216758&7,21

 &21&5(7(:25.6

 $1&,//$5<:25.6

 :25.6,1&211(&7,21:,7+6(59,&(6

 52$':$</,*+7,1*$1'75$)),&6,*1$/6

 3,/()281'$7,21
57$5RDG/LJKWLQJ6SHFLILFDWLRQ

$&217(176

$ *(1(5$/ 
$ 68%0,77$/6$1'6$03/(6 
$ :$55$17,(6 
$ ,163(&7,2167(67,1*$1'&200,66,21,1* 
$ &$%/(6 
$ ',675,%87,21&$%/(6 
$ 68%67$7,2172)(('(53,//$5±675((7/,*+7)(('(53,//$5 
$ )(('(53,//$572/,*+7&2/8016 
$ /80,1$,5(726(59,&(&87287&$%/( 
$ /2:92/7$*()/(;,%/(32:(5&$%/()250,'+,1*('+,*+0$67 
$ ($57+,1*&$%/( 
$ :$51,1*7$3(6 
$ &$%/(29(56+($7+,'(17,),&$7,21 
$ &$%/(68%0,77$/5(48,5(0(176 
$ &$%/(7(67,1*$1'&200,66,21,1* 
$ ($57+&$%/( 
$ &$%/(,167$//$7,21 
$ 7(50,1$7,212)&$%/(6 
$ ($57+,1* 
$ ($57+,1*6<67(0 
$ ($57+(/(&752'(7(50,1$7,216 
$ &$%/($1'($57+7(67,1*$)7(5,167$//$7,21 
$ &217,18,7<2)&21'8&7256 
$ ,168/$7,215(6,67$1&(7(67 
$ ($57+5(6,67$1&(7(67 
$ &21&5(7()281'$7,216)250$676 
$ (;,67,1*675((7/,*+7,1*)$&,/,7< 
$ /,*+7,1*&2/801 
$ 63(&,),&$7,216)25&219(17,21$/52$'6/,*+7,1*32/(6 &2/8016 
%5$&.(76 
$ *(1(5$/ 
$ 63(&,),& 
$ 0,6&(//$1(2865(48,5(0(176 
$ $'',7,21$/,1)250$7,21 
$ 63(&,),&$7,21)250,'+,1*('+,*+0$67 
$ 0,'+,1*('0$67 
$ +,*+0$67*(1(5$/ 
$ 6758&785($1'&216758&7,21 
$ 5$,6,1*/2:(5,1*&52:1+,*+0$676 
$ /,*+7,1*5(48,5(0(176 
$ /2:(5,1*$1'5$,6,1*'(9,&(6 
$ 02%,/(5,1* 
$ +2,67,1*81,7 
$ (/(&75,&$/(48,30(17 
$ :$51,1*/$%(/6 
$ 0,6&(//$1(2865(48,5(0(176 
$ 68%0,77$/5(48,5(0(176 
$ 7(67&(57,),&$7( 
$ ,03257$17127( 
$ +27',3*$/9$1,6,1* 
$ $/80,1,8032/(6 
$ /,*+7&2/8016:$55$17,(6 
$ 675((7/,*+7,1*/80,1$,5(6$1')/22'/,*+76 )25(;,67,1*
,167$//$7,216 
$ +3652$'/,*+7,1*$1')/22'/,*+7/80,1$,5(6 ,1&$6(5(48(67('%<
57$  
$ '2&80(17672%(68%0,77(':,7+7+(2))(5 

)HEUXDU\ 6HFWLRQ$ 5RDGVDQG7UDQVSRUW$XWKRULW\


57$5RDG/LJKWLQJ6SHFLILFDWLRQ

$ 0$7(5,$/672%(68%0,77(':,7+7+(2))(5 
$ $9,$7,21/,*+7 
$ 81'(5%5,'*(/,*+7,1* 
$ 7(&+1,&$/63(&,),&$7,21)25/('675((7/,*+7,1* 
$ *(1(5$/ 
$ $33/,&$%/(67$1'$5'6 *8,'$1&('2&80(176 
$ /('/80,1$,5(67(&+1,&$/63(&,),&$7,21 
$ &+$5$&7(5,67,&62)+3/('&+,36 
$ /('&+,367(&+1,&$/5(48,5(0(176 
$ /(''5,9(567(&+1,&$/5(48,5(0(176 
$ :+2/(/80,1$,5(5(48,5(0(176 
$ 0(&+$1,&$/3$57 
$ (/(&75,&$/23(5$7,21$1'6$)(7<3$57 
$ 3+2720(75,&3(5)250$1&($1'7+(50$/0$1$*(0(173$57 
$ 7+(50$/0$1$*(0(17 
$ 86()8//,)(7,0(&$/&8/$7,2160(7+2' 
$ 7(675(48,5(0(176 
$ /$036 (;,67,1*,167$//$7,216 
$ 7+(/$0365(48,5('6+$//&203/<:,7+7+()2//2:,1* 
$ 63(&,),&$7,21)25675((7/,*+7,1*6(59,&(&87287 
$ $33/,&$7,21 
$ 5$7,1* 
$ 67$1'$5' 
$ &216758&7,21 
$ +286,1* 
$ 1$0(3/$7( 
$ 7(67,1* 
$ 0$7(5,$/672%(68%0,77(':,7+7+(2))(5 
$ 675((7/,*+7,1*)(('(53,//$5 
$ 63(&,),&$7,216$1''5$:,1*6 
$ &$%,1(73,//$53(5)250$1&( 
$ '85$%,/,7< 
$ (48,30(17+286,1* 
$ :,5,1*$1'&$%/,1* 
$ )86($1')86(%$6( 
$ &$%/(*/$1'6 
$ &217$&725$& 
$ &,5&8,7%5($.(5 ,1&20,1*0&&% 
$ &,5&8,7%5($.(5 287*2,1*0&%¶6 )257+(0$,1',675,%87,21%2$5'6
$1'81'(5%5,'*(',675,%87,21%2$5'6 
$ &21752/6<67(0 
$ 68%0,77$/6 
$ &$%,1(73,//$57(67,1*$1'&200,66,21,1* 
$ &$%,1(76(1&/2685(6 
$ 32:(56833/<',675,%87,213$1(/6±'2&80(176$1',1)250$7,2172
%(68%0,77(' 
$ 7(67,1* 
$ 0(7(252/2*,&$/$1'$0%,(17&21',7,21635(9$,/,1*,1'8%$, 

)HEUXDU\ 6HFWLRQ$ 5RDGVDQG7UDQVSRUW$XWKRULW\


57$5RDG/LJKWLQJ6SHFLILFDWLRQ

$ *(1(5$/

$$OO&RQWUROFDELQHWVFDEOHVOLJKWLQJPDVWVLQFOXGLQJKROGLQJGRZQEROWVZLWK
QXWVDQG ZDVKHUV EUDFNHWV OXPLQDLUHV IORRG OLJKWV  VHUYLFH FXW RXWVDQG
DSSXUWHQDQFHV ZLOO EH VXSSOLHG GHOLYHUHG LQVWDOOHG WHVWHG DQG
FRPPLVVLRQHGE\WKHFRQWUDFWRURUDVLWHPL]HGLQWKH%LOORI4XDQWLWLHV
% 7KH &RQWUDFWRU VKDOO VXSSO\ DQGLQVWDOO DOO FDEOLQJ DQGZDUQLQJ WDSHV UHTXLUHG
IRU WKH URDGZD\ OLJKWLQJ VWDUWLQJ IURP WKH '(:$ VXEVWDWLRQ WR WKH HQG RI WKH
OLJKWLQJFLUFXLW
& 7KH'(:$VKDOOLQVWDOODQ\QHZVXEVWDWLRQVUHTXLUHGIRUWKHV\VWHP
' 7KH &RQWUDFWRU VKDOO EH UHVSRQVLEOHIRU WKHFLYLOZRUNV RI WKH URDGZD\ OLJKWLQJ
V\VWHP H[FHSW DV RWKHUZLVH VSHFLILHG  WKH OD\RXW IRU ZKLFK LV VKRZQ RQ WKH
GUDZLQJV7KLVZRUNPD\LQFOXGHXQGHUEULGJHOLJKWLQJ
( 7KH ZRUNV LQFOXGH DOVR WKH SURYLVLRQ DQG LQVWDOODWLRQ RI GXFW FURVVLQJV IRU
VHUYLFH FDEOHV  7KH LQVWDOODWLRQ RI GXFWV WR WKH UHTXLUHG GLDPHWHU VKDOO EH
DFFRUGLQJWR6HFWLRQRIWKHVH6SHFLILFDWLRQV
) 7KH SRVLWLRQ W\SH RI GXFWV DQG FRQVWUXFWLRQDO GHWDLOV DUH VKRZQ RQ WKH
'UDZLQJVEXWILQDOORFDWLRQZLOOEHGHWHUPLQHGRQWKHEDVLVRIWKHDSSURYHGVKRS
GUDZLQJVE\57$WKH(QJLQHHU
* 7KH &RQWUDFWRU VKDOO OLDLVH ZLWK WKH (QJLQHHU 5RDGV DQG 7UDQVSRUW $XWKRULW\
6WUHHW /LJKWLQJ 6HFWLRQ (QJLQHHU DQG FRRUGLQDWH KLV DFWLYLWLHV ZKHUH
DSSURSULDWHZLWKWKH'XEDL(OHFWULFLW\DQG:DWHU$XWKRULW\
+ 7KHEDVHIRXQGDWLRQFRQQHFWLRQWREHDGHTXDWHO\JURXWHG1RVLWHZHOGLQJZLOO
EH SHUPLWWHG  *DOYDQLVHG VWHHO KROGLQJ GRZQEROWV VKDOO EH FRQIRUPLQJ WR %6
(1  6  7KH &RQWUDFWRU VKDOO VXSSO\ D SUHFLVLRQ PDGH JDOYDQL]HG
VWHHO WHPSODWH WR HQVXUH FRUUHFW KRUL]RQWDO DQG YHUWLFDO KROGLQJ GRZQ EROW
DOLJQPHQWZLWKQXWVEHORZDQGRQWRSRIPDVWEDVHSODWH
, $OOVWDLQOHVVVWHHOFRPSRQHQWVVKDOOEHRI*UDGH$,6,/
- 0DWHULDOV DQG HTXLSPHQW VKDOO EH VXLWDEOH IRU XVH XQGHU WKH SUHYDLOLQJ
FRQGLWLRQVRIDKDUVKPDULQHHQYLURQPHQW
. ,Q FDOFXODWLQJ WKH UDWLQJ RI HOHFWULFDO FDEOHV VZLWFKJHDU DQG DOO LWHPV RI
HTXLSPHQWWKHQHFHVVDU\ GHUDWLQJ IDFWRUV VKDOO EH GHWHUPLQHGDQG DSSOLHG WR
HQVXUHWKDWWKHHTXLSPHQWZLOORSHUDWHVDWLVIDFWRULO\DQGPHHWLWVGHVLJQFULWHULD
/ 7KH HOHFWULFDO VXSSO\ V\VWHP VKDOO EH  YROWV SKDVH  ZLUH  +]
3RZHUVXSSO\VKDOOEHDUUDQJHGE\WKHFRQWUDFWRULQFOXGLQJDOOQHFHVVDU\FDEOHV
IURP'(:$VXEVWDWLRQWRWKHVWUHHWOLJKWLQJ)HHGHU3LOODU3DQHO DVSHU'(:$
5HJXODWLRQ
L $OOZRUNVVKDOOEHDVSHUFODXVH%DERYH
0 /D\RXWV RI FRQGXLWV WR EH GHWDLOHG E\ WKH FRQVXOWDQW  7KH FRQWUDFWRU VKDOO
FRQILUP WKH GHWDLO DQG VXEPLW WR WKH (QJLQHHU57$ IRU DSSURYDO EHIRUH
FRPPHQFLQJFRQVWUXFWLRQRIDQ\VWUXFWXUH
1 7KH&RQVXOWDQWVKDOOHQVXUHWKDWWKHSURMHFWDQGSURGXFW¶VVSHFLILFDWLRQVDUHLQ
IXOO\ FRPSOLDQFH ZLWKRXW DQ\ GHYLDWLRQ IURP WKLV VSHFLILFDWLRQV SULRU WR
IRUZDUGLQJWR57$IRUDSSURYDO$Q\GHYLDWLRQVKRXOGEHEURXJKWWRWKHQRWLFHRI
57$ KRZHYHU WKLV GRHVQ¶W UHOLHYH WKH FRQWUDFWRU IURP KLV OLDELOLWLHV IRU DQ\
GHYLDWLRQIURPWKHVSHFV

)HEUXDU\ 6HFWLRQ$ 5RDGVDQG7UDQVSRUW$XWKRULW\


57$5RDG/LJKWLQJ6SHFLILFDWLRQ

$ 6XEPLWWDOVDQG6DPSOHV
$ *HQHUDO
$ 5HIHUDOVRWRWKHUHTXLUHPHQWVRI57$¶V6HFWLRQ*HQHUDO
% 5HIHUDOVRWRWKHSDUWLFXODUUHTXLUHPHQWVRIHDFK&KDSWHU
$ 0HWKRG6WDWHPHQW
$ 3URYLGH D PHWKRG VWDWHPHQW WKDW H[SODLQV WKH VWUDWHJ\ IRU WKH SODQQLQJ DQG
([HFXWLRQRIWKH:RUNVRQUHFHLSWRIDSSURYHGPDWHULDOVXEPLWWDOVWDJH
% 7KHPHWKRGVWDWHPHQWVKDOOLQFOXGHEXWQRWEHOLPLWHGWRSURJUDPVSURSRVDOV
IRUWHPSRUDU\ZRUNDQGLQVWDOODWLRQVHTXHQFHSODQV
& 0HWKRGVWDWHPHQWVVKDOOLQFOXGHZRUNFHUWLILHGUHSRUWVYHULI\LQJFRPSOLDQFHZLWK
VSHFLILHGPDWHULDOVDQGV\VWHPV
' $OO WHPSRUDU\ PDWHULDOV RQ WUDIILF GLYHUVLRQV PXVW EH FRPSO\LQJ ZLWK 57$
VSHFLILFDWLRQV DQG VKRXOG EH VXEPLWWHG WR WKH (QJLQHHU57$ IRU DSSURYDO
,QVWDOODWLRQVPXVWEHGRQHDVSHUPDQHQWLQVWDOODWLRQUHTXLUHPHQWV

$ :DUUDQWLHV
$ *HQHUDO
$ 0DWHULDOV SURGXFWV DQG V\VWHPV VKDOO EH SURYLGHG ZLWK ZDUUDQWLHV LQ
DFFRUGDQFH ZLWK WKH 57$ UHTXLUHPHQWV DQGRU DV PHQWLRQHG XQGHU HDFK
PDWHULDOVHFWLRQ
% 'UDIWFRSLHVRIPDQXIDFWXUHU¶VZDUUDQW\WREHDWWDFKHGWRDOOPDWHULDOVXEPLWWDOV
WKDWVKDOOGRFXPHQWDOODFWLYLWLHV
& :DUUDQWLHVDQGJXDUDQWHHVVKDOOEHVSHFLILFWRWKHSHUIRUPDQFHRIWKHV\VWHPV
PDWHULDOVDQGFRPSRQHQWVDQGIRUWKHSHULRGVSHFLILHG
' :KHUH PDQXIDFWXUHU¶V VWDQGDUG ZDUUDQWLHV JXDUDQWHHV RU ERWK H[SLUH EHIRUH
GXUDWLRQUHTXLUHGE\WKH57$REWDLQDQGSD\IRUH[WHQVLRQV
( :DUUDQWLHVVKDOOLQFOXGHERWKPDWHULDODQGODERUFRVWV
) 7KH57$UHVHUYHVWKHULJKWWRUHMHFWZDUUDQWLHVDQGWROLPLWVHOHFWLRQWRSURGXFWV
ZLWKZDUUDQWLHVQRWLQFRQIOLFWZLWK57$UHTXLUHPHQWV
* :DUUDQWLHVVKDOOEHSURYLGHGIURPERWKPDQXIDFWXUHDQGORFDOVXSSOLHU

$ ,QVSHFWLRQV7HVWLQJDQG&RPPLVVLRQLQJ
$ *HQHUDO
$ 7HVWLQJ VKDOO EH XQGHUWDNHQ E\ TXDOLILHG WHVWLQJ DJHQWVLQGHSHQGHQW WKLUG SDUW\
ODERUDWRU\ LQ DFFRUGDQFH ZLWK $670 ( $670 ( $670 & $670
&DQG$670&
% ,QVSHFWLRQDJHQFLHVVKDOOEHLQDFFRUGDQFHZLWK$670'DQG$670(
& /DERUDWRULHV DQG $JHQWV VKDOO EH DXWKRUL]HG DFFUHGLWHG WR UXQ HDFK VSHFLILF
WHVWE\WKHLQWHUQDWLRQDO5HJLRQDO*RYHUQLQJ$XWKRULW\
' 7HVWLQJ HTXLSPHQW VKDOO EH FDOLEUDWHG DW LQWHUYDOV LQ DFFRUGDQFH ZLWK 1DWLRQDO
,QVWLWXWHRI6WDQGDUGVDQG7HFKQRORJ\ 1,67 
$ (OHFWULFDO7HVWV
$ (OHFWULFDO WHVWV DQG HOHFWULFDO FRPSRQHQWV VKDOO JHQHUDOO\ EH WHVWHG LQ
DFFRUGDQFH ZLWK WKH UHTXLUHPHQWV RI %6  5HIHU WR HDFK &KDSWHU IRU WKH
SDUWLFXODUWHVWUHTXLUHPHQWVRIHDFKHOHFWULFDOV\VWHP

)HEUXDU\ 6HFWLRQ$ 5RDGVDQG7UDQVSRUW$XWKRULW\


57$5RDG/LJKWLQJ6SHFLILFDWLRQ

$ )DFWRU\,QVSHFWLRQV
$ $VUHTXLUHGWKH(QJLQHHUDQGWKUHHHQJLQHHUVIURP(PSOR\HUVLGHVKDOODWWHQG
WKHPDQXIDFWXUHU
VSUHPLVHVDWWKH&RQWUDFWRU¶VFRVWWRLQVSHFWHTXLSPHQWSULRU
WRVKLSPHQWWKLVVKRXOGFRYHUWKHWUDYHODFFRPPRGDWLRQ DQGOLYLQJH[SHQVHV
1RWLI\WKH(QJLQHHUDWOHDVWGD\VSULRUWRVKLSPHQWVRWKDWLQVSHFWLRQFDQEH
DUUDQJHG
% )DFWRU\ LQVSHFWLRQV VKDOO EH PDGH RQO\ DIWHU WKH 0DQXIDFWXUHU KDV SHUIRUPHG
VDWLVIDFWRU\FKHFNVDGMXVWPHQWVWHVWVDQGRSHUDWLRQVRQWKHFRPSOHWHV\VWHP
& $SSURYDO RI HTXLSPHQW DW WKH IDFWRU\ RQO\ DOORZV WKHPDQXIDFWXUHU WR VKLS WKH
HTXLSPHQW WR VLWH DQG GRHV QRW FRQVWLWXWH ILQDO DFFHSWDQFH E\ WKH
(QJLQHHU(PSOR\HU
' 7KHLWHPVWREHLQVSHFWHGVKDOOLQFOXGHDOOLWHPVIRUWKHLQVWDOODWLRQLQFOXGLQJEXW
QRWOLPLWHGWRWKHIROORZLQJHTXLSPHQW
L /LJKWLQJ&ROXPQ
LL /XPDQDLUHV
LLL /9DQG&RQWURO&DEOHV
LY /LJKWLQJ&DELQHWVDQG3LOODUV
( 7KH 6FRSH 2I ,QVSHFWLRQ 6KDOO ,QFOXGH 7\SH 7HVWV 'RFXPHQW &RQWURO
5RXWLQH7HVW$QG,QVSHFWLRQV
$ )DFWRU\7HVWV
$ 3UHSDUH7HVW6FKHGXOHV$QG7HVW5HFRUG)RUPV)RU7KH 7HVWV5HTXHVWHG,Q
(DFK&KDSWHU$QG$V6SHFLILHG,Q7KH3URMHFW6SHFLILFDWLRQ$V$SSOLFDEOH7R
7KH:RUNV6FKHGXOHV6KDOO%H,VVXHG)RU5HYLHZ3ULRU7R7KH([HFXWLRQ2I
7HVWLQJ
% 3URYLGH7KH57$:LWK'HWDLOV2I(DFK7HVWLQJ$JHQW)RU$FFHSWDQFH
& 7HVW SURFHGXUH DQG DOO UHODWHG IRUPVGRFXPHQWV VKRXOG EH VXEPLWWHG IRU
DSSURYDOE\WKH(QJLQHHU(PSOR\HU
$ 6LWH7HVWV
$ 3UHSDUH 7HVW 6FKHGXOHV $QG 7HVW 5HFRUG )RUPV $QG 6XEPLW 7R 57$ )RU
$FFHSWDQFH 3ULRU 7R 7HVWLQJ 7KH WHVW VKRXOG IROORZV WKH (QJLQHHU
WHVWLQVSHFWLRQZLWKUHVXOWFRQILUPLQJPDWHULDOFRPSOLDQFHWRVSHFLILFDWLRQVDQG
FRQWUDFWUHTXLUHPHQWV
% 3URYLGH &DOLEUDWHG 7HVW $SSDUDWXV ,QFOXGLQJ &DOLEUDWLRQ &HUWLILFDWHV $QG
&RQGXFW7KH)ROORZLQJ7HVWV$V$0LQLPXP
L 3RODULW\
LL /RDGEDODQFLQJRISKDVHV
LLL 9HULILFDWLRQRISKDVHQHXWUDODQGHDUWKLGHQWLILFDWLRQV
LY 9HULILFDWLRQRIODEHOLQJDQGZLUHDQGWHUPLQDOQXPEHULQJ
Y &RQWLQXLW\
YL ,QVXODWLRQ SKDVHSKDVH SKDVHQHXWUDO SKDVHHDUWK QHXWUDOHDUWK
ZLWKD9LQVXODWLRQWHVWHU 
YLL ,QVXODWLRQVKDOOH[FHHGPHJDRKPSHUPHWUHFDEOHOHQJWK
YLLL (IIHFWLYHQHVVRILQGLYLGXDOHOHFWURGHV
L[ &KHFNLQJ RI YROWDJHV DW WUDQVIRUPHU VZLWFKERDUGV DQG HDFK
OXPLQDLUHDQGVHWWLQJRIDSSURSULDWHWDSSLQJVRQFRQWUROJHDU
[ /LJKWLQJ0HDVXUHPHQWV
& 6XEPLW7KH&RPSOHWHG7HVW5HFRUGV7R7KH(QJLQHHU57$)RU$FFHSWDQFH

)HEUXDU\ 6HFWLRQ$ 5RDGVDQG7UDQVSRUW$XWKRULW\


57$5RDG/LJKWLQJ6SHFLILFDWLRQ

$ &RPPLVVLRQLQJ
$ 7KHFRQWUDFWRUVKDOOGHYHORSDQGSHUIRUPFRPPLVVLRQLQJSURFHGXUHVVXEMHFWWR
WKH(QJLQHHU57$¶VDFFHSWDQFHLQFOXGLQJEXWQRWOLPLWHGWRWKHIROORZLQJ
L ([HFXWHLPSOHPHQWQHFHVVDU\WHVWEDVHGRQVSHFLILHGDSSURYHGWHVW
SODQ
LL (YDOXDWH SHUIRUPDQFH GHILFLHQFLHV LGHQWLILHG LQ WHVW UHSRUWV LQ
FROODERUDWLRQ ZLWK HQWLW\ UHVSRQVLEOH IRU V\VWHP DQG HTXLSPHQW
LQVWDOODWLRQDQGUHFRPPHQGFRUUHFWLYHDFWLRQ
LLL ,QWHJUDWH DQG FRRUGLQDWH FRPPLVVLRQLQJ SURFHVV DFWLYLWLHV ZLWK
FRQVWUXFWLRQVFKHGXOH
LY 'RFXPHQWDOOFRPSOHWHGZRUNVIRUVXEPLVVLRQWRWKH57$
Y 3URSRVH FRPPLVVLRQLQJ SURFHVV WHVW SURFHGXUHV IRU WKH
(QJLQHHU57$¶VDFFHSWDQFH
YL &RPSOHWHFRPPLVVLRQLQJSURFHVVWHVWSURFHGXUHV
% 5HIHUHQFH6WDQGDUGV
L 7KHLQVWDOODWLRQVKDOOFRPSO\ZLWK
$ 5HJXODWLRQ IRU HOHFWULFDO LQVWDOODWLRQ 6HYHQWHHQ (GLWLRQ  WKH
,QVWLWXWLRQRI(QJLQHHULQJ7HFKQRORJ\ ,(7 
% 5HOHYDQW %ULWLVK 6WDQGDUGV DQG &RGHV RI 3UDFWLFH RU
HTXLYDOHQWDVDSSURYHGE\WKH(QJLQHHU
& 6WDQGDUGV DQG 5HFRPPHQGDWLRQV LVVXHG E\ WKH ,QWHUQDWLRQDO
(OHFWUR7HFKQLFDO&RPPLWWHH ,(& 
' 8QLWHG $UDE (PLUDWHV (OHFWULFLW\ DQG :DWHU 5HJXODWLRQV DQG
*XLGHDQGWKHJHQHUDOUHTXLUHPHQWVRIWKHORFDOVXSSO\DXWKRULW\
( &KDUWHUHG ,QVWLWXWLRQ RI %XLOGLQJ 6HUYLFHV *XLGH %RRN ,(6  IRU
H[WHUQDOOLJKWLQJ
) &(,
* 9'(
+ ,QWHUQDWLRQDO &RPPLVVLRQ RI ,OOXPLQDWLRQ &,(  UHFRPPHQGDWLRQV
RQOLJKWLQJ
LL $OO 6WDQGDUGV DQG &RGHV UHIHUUHG WR VKDOO EH WKH ODWHVW LVVXH DW WKH
WLPHRILQYLWDWLRQWR7HQGHU
& 0DLQ3RZHU6XSSO\
L 7KH&RQWUDFWRUVKDOOFRQWDFWWKHVXSSO\DXWKRULW\DWDQHDUO\VWDJHRI
WKH &RQWUDFW WR PDNH DOO WKH QHFHVVDU\ DUUDQJHPHQWV IRU WKH SRZHU
VXSSO\
LL 7KHVXSSO\IRUWKHOLJKWLQJPDVWVZLOOEHIURPQHZDQGRUIURPH[LVWLQJ
IHHGHU SLOODUV ORFDWHG DV VKRZQ RQ WKH 'UDZLQJV  3RZHU VXSSO\ WR
QHZIHHGHUSLOODUVVKDOOEHIURPQHZRUH[LVWLQJ'(:$SRZHUVXSSO\
VRXUFHDVVKRZQRQWKHGUDZLQJV
LLL 7KHVXSSO\ZLOOEHSKDVHDQGQHXWUDO9+]
' &KHFN2I(TXLSPHQW6XSSOLHG%\2WKHUV
L 7KH &RQWUDFWRU VKDOO HQVXUH WKDW DOO HTXLSPHQW VXSSOLHG E\ RWKHUV
IRUPLQJSDUWRIKLVLQVWDOODWLRQVKDOOEHQHZDQGLQDFFRUGDQFHZLWKWKH
VWDQGDUGV UHTXLUHG  $Q\ GHIHFW PXVW EH UHSRUWHG LQ ZULWLQJ ZLWKLQ
VHYHQGD\VRIUHFHLSWRIWKHHTXLSPHQWLQRUGHUWRDOORZFKDQJHVWREH
PDGHRUUHSODFHPHQWVLQVWUXFWHGE\WKH(QJLQHHU

)HEUXDU\ 6HFWLRQ$ 5RDGVDQG7UDQVSRUW$XWKRULW\


57$5RDG/LJKWLQJ6SHFLILFDWLRQ

( 7KH )ROORZLQJ $UH 7KH *HQHUDO &RQGLWLRQV 8QGHU :KLFK 7KH &DEOH 6KDOO
2SHUDWH
L (OHFWULFDOHQHUJ\ LVJHQHUDWHGDVWKUHHSKDVHDOWHUQDWLQJFXUUHQWDWD
IUHTXHQF\RI
LL 7KHZRUNLQJYROWDJHRQDQ\RIWKHV\VWHPVGRHVQRWQRUPDOO\H[FHHG
IOXFWXDWLRQVDERYHWKHQRPLQDOYROWDJH
LLL 7KH PDWHULDO FRYHUHG E\ WKLV VSHFLILFDWLRQ VKDOO EH VXLWDEOH IRU
RSHUDWLRQ GXULQJ WKH YDU\LQJ DWPRVSKHULF DQG FOLPDWLF RXW GRRU
FRQGLWLRQVLQ'XEDL

$ &$%/(6
$ 'LVWULEXWLRQ&DEOHV
$ $OO FDEOHV DFFHVVRULHV DQG PDWHULDOV VKDOO EH RI WKH EHVW TXDOLW\ DQG
PRVW VXLWDEOH IRU ORFDO FOLPDWLF FRQGLWLRQV DQG VKDOO EH VXFK WKDW WKH
FDEOHVKDOOZLWKVWDQGZLWKRXWGDPDJHDQ\FRQGLWLRQVDULVLQJIURPVKRUW
FLUFXLWVVZLWFKLQJRSHUDWLRQVDQGVXGGHQYDULDWLRQVRIORDGDQGYROWDJH
DV PD\ EH PHW XQGHU QRUPDO ZRUNLQJ FRQGLWLRQV  7KH FDEOH VKDOO EH
VXLWDEOHWREHEXULHGGLUHFWO\LQVDOLQHVRLO7KH&RQWUDFWRUVKDOOVXEPLW
IRU DSSURYDO D VDPSOH FXWSLHFH RI HDFK W\SH RI FDEOH DQG RQH PHWUH
OHQJWKRIDQ\FDEOH VL]H ZLWK WKHUHTXLUHG HPERVVPHQW7KH PDWHULDOV
DUHWREHDFFRPSDQLHGE\PDQXIDFWXUHUV¶LQVWDOODWLRQLQVWUXFWLRQV7KLV
VSHFLILFDWLRQ SURYLGHV IRU PDQXIDFWXULQJ WHVWLQJ RI IRXU FRUH SRZHU
VWUDQGHG FRSSHU FRQGXFWRU ;/3(6:$0'3( FDEOH UDWHG VHUYLFH
YROWDJHYROWV
$ 6XE6WDWLRQWR)HHGHU3LOODU±6WUHHW/LJKW)HHGHU3LOODU
$ &DEOHV EHWZHHQ VXE VWDWLRQV DQG IHHGHU SLOODUV VKDOO FRPSO\ ZLWK WKH
IROORZLQJPLQLPXPUHTXLUHPHQWV3URMHFWVSHFLILFUHTXLUHPHQWVVKDOOEH
LGHQWLILHGDQGWDEXODWHGIRUHDFKLQVWDOODWLRQFRQGLWLRQ
% &DEOH%XLOGXS&X;/3(39&6:$0'3( 67 
& 9ROWDJHUDWLQJ9ROWV
' &RUHFRUHVPPDQGDERYH
( ,QVXODWLRQW\SHWKLFNQHVV;/3(
L 7KH LQVXODWLRQ WKLFNQHVV DQG FRUH LQVXODWLRQ FRORXU VKDOO EH LQ
DFFRUGDQFHZLWK%6
) 7HPSHUDWXUHUDWLQJƒ&
$ )HHGHU3LOODUWR/LJKW&ROXPQV
$ &DEOHV EHWZHHQ IHHGHU SLOODUV DQG OLJKW FROXPQV VKDOO FRPSO\ ZLWK WKH
IROORZLQJPLQLPXPUHTXLUHPHQWV
% &DEOH%XLOGXS&X;/3(39&6:$0'3(
& 9ROWDJHUDWLQJ9ROWV
' &RUHFRUHVPP
( ,QVXODWLRQW\SHWKLFNQHVV;/3(
L 7KH LQVXODWLRQ WKLFNQHVV DQG FRUH LQVXODWLRQ FRORXU VKDOO EH LQ
DFFRUGDQFHZLWK%6
) 7HPSHUDWXUHUDWLQJƒ&

)HEUXDU\ 6HFWLRQ$ 5RDGVDQG7UDQVSRUW$XWKRULW\


57$5RDG/LJKWLQJ6SHFLILFDWLRQ

$ /XPLQDLUHWR6HUYLFH&XW2XW&DEOH
$ &DEOHV EHWZHHQ OXPLQDLUH DQG VHUYLFH FXWRXW VKDOO FRPSO\ ZLWK WKH
IROORZLQJPLQLPXPUHTXLUHPHQWV3URMHFWVSHFLILFUHTXLUHPHQWVVKDOOEH
LGHQWLILHGDQGWDEXODWHGIRUHDFKLQVWDOODWLRQFRQGLWLRQ
% &DEOH%XLOGXS +HDW UHVLVWDQW UXEEHUIOH[LEOH FDEOH UDWHGIRU ƒ& PLQ
FRQILUPLQJWRKDUPRQL]HGFRGH+5+)9JUDGH
& 9ROWDJHUDWLQJ9ROWV
' &RUHFRUHVDQGPP
L )OH[LEOHUXEEHUFDEOH
( ,QVXODWLRQ W\SH WKLFNQHVV 39& W\SH 70 FRPSO\LQJ ZLWK WKH ODWHVW
HGLWLRQ RI  %6  DQG WKH 7KLFNQHVV RI VKHDWK VKRXOG FRPSO\
ZLWK 7DEOH  RI %6   DQG &DEOH LGHQWLILFDWLRQ VKDOO EH
DFFRUGLQJWR%6

) 7KH LQVXODWLRQ WKLFNQHVV DQG FRUH LQVXODWLRQ FRORXU VKDOO EH LQ


DFFRUGDQFHZLWK%6(1
* 7HPSHUDWXUHUDWLQJƒ&
+ 7HVWV RQ WKH FRPSOHWH FDEOH VKDOO EH FDUULHG RXW DFFRUGLQJ WR WKH
VFKHGXOHV JLYHQXQGHU &ODXVH DQGRI %6   7HVW
&HUWLILFDWHVIURPLQGHSHQGHQWDSSURYHGDXWKRULWLHVODERUDWRULHVVKDOOEH
VXEPLWWHGZLWKWKHRIIHUDVHYLGHQFH

$ /RZ9ROWDJH)OH[LEOH3RZHU&DEOH)RU0LG+LQJHG+LJK0DVW
$ /RZ 9ROWDJH FDEOH VKDOO EH XVHG LQVLGH WKH KLJK PDVW EHWZHHQ WKH
OXPLQDLUHV DQG VHUYLFH FXWRXW  7KH IROORZLQJ VSHFLILFDWLRQV DUH IRU
PDQXIDFWXULQJDQGWHVWLQJRIFRUH[VTPPIOH[LEOHFRSSHU FRQGXFWRU
9ROWVJUDGHUXEEHULQVXODWHGVKHDWKHGFDEOHUDWHGIRUGHJ&
DVSHUWKHEHORZPHQWLRQHGVWDQGDUGV
L ,(&3DUW
LL 9'(%6
% 7KH PD[LPXPDQG WKH PLQLPXPRYHUDOOGLDPHWHU RI WKH FDEOH VKDOO EH
PPDQGPPUHVSHFWLYHO\
& 7KH FRQGXFWRUV VKDOO EH VWUDQGHG SODLQWLQQHG DQQHDOHG FRSSHU LQ
DFFRUGDQFH ZLWK ,(& SXEOLFDWLRQ  &RQGXFWRUV RI ,QVXODWLRQ &DEOHV
RU%6(1RU9'(&ODXVH
' 7KHLQVXODWLRQVKDOOEHUXEEHULQVXODWLRQFRPSO\LQJZLWK%6
VXLWDEOHIRUGHJ&
( 7KH LQVXODWLRQ WKLFNQHVV VKDOO FRPSO\ZLWK%6  &ODXVH 
WDEOHDQGWKHDSSOLFDWLRQVPHQWLRQHGLQWKHVDPHVWDQGDUGRUDVSHU
9'(DQG,(&
) &RUH LQVXODWLRQ FRORXUV RI HDFK FRUH VKDOO EH DV SHU &ODXVH  RI %6
RUWR9'(
* 7KH LQVXODWLRQ VKDOO PHHW WKH 7HVW 5HTXLUHPHQWV PHQWLRQHG LQ WKH
IROORZLQJVWDQGDUGV
L %6
LL ,(&3DUW
LLL 9'(

)HEUXDU\ 6HFWLRQ$ 5RDGVDQG7UDQVSRUW$XWKRULW\


57$5RDG/LJKWLQJ6SHFLILFDWLRQ

+ 1RQ K\JURVFRSLF V\QWKHWLFILOOHUV WR EH DSSOLHG LQWHJUDOO\ ZLWK WKH EHGGLQJ LQ
DFFRUGDQFH ZLWK %6   &ODXVH  WR IRUP D FRPSDFW DQG FLUFXODU
FDEOH
, 7KHRYHUVKHDWKVKDOOEHUXEEHUW\SH(0FRPSO\LQJZLWKWKHODWHVWHGLWLRQRI
%6
- 7KLFNQHVVRIRYHUVKHDWKVKRXOGFRPSO\ZLWK&ODXVHRI%6
. 7HVWVRQWKHFRPSOHWHFDEOHVKDOOEHFDUULHG RXWDFFRUGLQJWRWKHVFKHGXOHV
JLYHQXQGHU&ODXVHDQGRI%67HVW&HUWLILFDWHVIURP
LQGHSHQGHQW DSSURYHG DXWKRULWLHVODERUDWRULHV VKDOO EH VXEPLWWHG ZLWK WKH
RIIHUDVHYLGHQFH
/ &DEOHLGHQWLILFDWLRQVKDOOEHDFFRUGLQJWR%6

$ (DUWKLQJ&DEOH
(DUWKLQJFDEOHVVKDOOFRPSO\ZLWKWKHIROORZLQJPLQLPXPUHTXLUHPHQWV3URMHFW
VSHFLILF UHTXLUHPHQWV VKDOO EH LGHQWLILHG DQG WDEXODWHG IRU HDFK LQVWDOODWLRQ
FRQGLWLRQ
$ &DEOH%XLOGXS&X39&%$6(&DQG(60$DSSURYHG
% 9ROWDJHUDWLQJ9ROWV
& &RUH6LQJOHFRUH
' ,QVXODWLRQW\SHWKLFNQHVV39&
L 7KH LQVXODWLRQ WKLFNQHVV DQG FRUH LQVXODWLRQ FRORXU VKDOO EH LQ
DFFRUGDQFHZLWK%6
( 7HPSHUDWXUHUDWLQJƒ&
) 7KH HDUWKLQJ FDEOH VKDOO UXQ DOO WKH ZD\ IURP WKH VRXUFH IHHGHU
SLOODU0DLQ)HHGHU3LOODU 0)3 HOHFWULFDOFRQWUROFXELFOHWRWKHODVWVWUHHW
OLJKWLQJFROXPQSROHRQHDFKFLUFXLW/RRSLQJRIWKHHDUWKLQJFDEOHVKDOO
EHPDGHLQVLGHHDFKVWUHHWOLJKWLQJFROXPQPDVW

$ :DUQLQJ7DSHV
$ :DUQLQJWDSHVWKDWFRPSO\ZLWK2FFXSDWLRQDO6DIHW\DQG+HDOWK$GPLQLVWUDWLRQ
26+$  UHJXODWLRQ  VKDOO EH EXULHG DW VXLWDEOH OHYHO EHORZ ILQLVKHG
JURXQG OHYHO DV LQGLFDWHG RQ WKH 'HVLJQ 'UDZLQJV DQG GLUHFWO\ DERYH HDFK
EXULHG FDEOH UXQ FDEOH WUHQFK GXFW WR LGHQWLI\ EXULHG HOHFWULFDO VHUYLFHV
XQGHUQHDWK
% :DUQLQJWDSHVVKDOODOVRFRPSO\ZLWK'(:$DQGRWKHUUHJLRQDOUHTXLUHPHQWV
& :DUQLQJWDSHVKDOOEHUHGLQFRORXUZLWKEODFNLQVFULSWLRQRI³57$VWUHHWOLJKWLQJ
/9´FDEOHDORQJZLWK57$ORJR
' 7DSH VKDOO EH FRQWLQXRXV DQG D PLQLPXP RI PP LQ ZLGWK  PLFURQ
WKLFNQHVVDQGWKHZDUQLQJWH[WVKDOOQRWIDGH
( 7DSH PDWHULDO VKDOO EH FKHPLFDOO\ LQHUW DQG QRW VXEMHFW WR GHJUDGDWLRQ ZKHQ
H[SRVHGWRDFLGVDONDOLVDQGRWKHUGHVWUXFWLYHVXEVWDQFHVLQVRLO
) 7DSH PDWHULDO VKDOO EH VXLWDEO\ GXUDEOH WR EHFRPH YLVLEOH GXULQJ VXEVHTXHQW
PDQXDORUPHFKDQLFDOHDUWKZRUNRSHUDWLRQV

)HEUXDU\ 6HFWLRQ$ 5RDGVDQG7UDQVSRUW$XWKRULW\


57$5RDG/LJKWLQJ6SHFLILFDWLRQ

$ &DEOH2YHUVKHDWK,GHQWLILFDWLRQ
$ 7KH RYHUVKHDWK RI HDFKFDEOH VKDOO EH HQJUDYHG RU HPERVVHGZLWKWZROLQHV RI
WH[WDVVSHFLILHGEHORZWRLGHQWLI\WKHFDEOHFDEOHPDUNLQJRQ0'3(RYHUVKHDWK
VKDOOEHHPERVVHG,GHQWLILFDWLRQVKDOOEHLQDFFRUGDQFHZLWK%6
L )LUVW/LQH
$ ³52$'6 $1' 75$163257 $87+25,7< 675((7 /,*+7,1*
92/7´
LL 6HFRQGOLQH
$ 7KH VHFRQG OLQH OHJHQG VKDOO EH DOLJQHG ZLWK WKH ILUVW OLQH DORQJ
WKHFLUFXPIHUHQFH
% 7KH VHFRQG OLQH VKDOO LQFOXGH WKH FDEOH PDQXIDFWXUHU \HDU RI
PDQXIDFWXUHFRXQWU\QXPEHURIFRUHV[FRQGXFWRUFURVVVHFWLRQ
W\SH DQG PHWHULQJ OHQJWK PDUNHG DW UHJXODU LQWHUYDOV RQ WKH
VKHDWKDVSHUWKHIROORZLQJH[DPSOH
 ³&$%/( &203$1<  8$(  [  00 &8  0´
;/3(6:$0'3(
% 7KHOHWWHUVDQGILJXUHVVKDOOEHXSULJKWEORFNFKDUDFWHUV
& 7KHPD[LPXPVL]HRIWKHFKDUDFWHUVVKDOOEHPP7KHPLQLPXPVL]HVKDOOEH
RIWKHRYHUDOOGLDPHWHURIWKHFDEOHRUPPZKLFKHYHULVJUHDWHU
' 7KHJDS EHWZHHQWKHHQGRIRQHOHJHQGDQGWKHEHJLQQLQJRIWKHQH[WOHJHQG
VKDOOQRWEHJUHDWHUWKDQPP
( 6HTXHQWLDO OHQJWK PDUNLQJ VKDOO EH SURYLGHG RQ WKH RYHUVKHDWK RI WKH FDEOH
HYHU\P
$ &DEOH6XEPLWWDO5HTXLUHPHQWV
$ 0DWHULDO
$ 6XEPLW PDQXIDFWXUHU
V WHVW GDWD FRQILUPLQJ WKDW WKH FDEOHV PHHW WKH
UHTXLUHPHQWRIWKH6SHFLILFDWLRQ
% 6XEPLWFRS\RIVWUHHWOLJKWLQJ6KRS'UDZLQJV'HVLJQDQG%24
$ 6DPSOHVRI0DWHULDO
& PPOHQJWKRIHDFKSURSRVHGFDEOHW\SHWKDWGHPRQVWUDWH
L 57$RXWHUVKHDWKFDEOHLGHQWLILFDWLRQUHTXLUHPHQW
LL 0LQLPXP RI PP H[SRVHG LQQHU FDEOH FRUH GHPRQVWUDWLQJ
FRPSOLDQFHZLWKFDEOHFRUHLGHQWLILFDWLRQDQGFRORXUUHTXLUHPHQWV
' 1RRIHDFKFDEOHJODQGW\SH
( 1RRIHDFKFDEOHOXJW\SH
$ &DEOH7HVWLQJDQG&RPPLVVLRQLQJ
$ *HQHUDO
$ 5HIHUDOVRWR6HFWLRQ$&KDSWHU*HQHUDO5HTXLUHPHQWV
% &DEOHVVKDOOEHWHVWHGLQFOXGLQJEXWQRWOLPLWHGWRWKHIROORZLQJ
L (DUWKWHVW
LL 3RODULW\WHVW
LLL 'LHOHFWULFWHVW
LY &RQGXFWRUUHVLVWDQFHWHVW
Y 7HQVLOHVWUHQJWKDQGHORQJDWLRQWHVW
YL )LUHWHVW
YLL )ODPHSURSDJDWLRQWHVW
YLLL 7HPSHUDWXUHLQGH[WHVW

)HEUXDU\ 6HFWLRQ$ 5RDGVDQG7UDQVSRUW$XWKRULW\


57$5RDG/LJKWLQJ6SHFLILFDWLRQ

$ &RQWLQXLW\7HVW
$ 7HVWVKDOOEHFDUULHGRXWWRYHULI\WKHFRQWLQXLW\RIHDFKFRQGXFWRULQFOXGLQJWKH
HDUWKFRQWLQXLW\FRQGXFWRURIHDFKFLUFXLW
$ ,QVXODWLRQ5HVLVWDQFH7HVW
$ ,QVXODWLRQ 5HVLVWDQFH ,5  WHVW VKDOO EH FDUULHG RXW RQ HDFK VHFWLRQ RI WKH
LQVWDOOHGFDEOHLQFOXGLQJEXWQRWOLPLWHGWR
L 3KDVHWRSKDVHLQVXODWLRQUHVLVWDQFH
LL 3KDVHWRQHXWUDOLQVXODWLRQUHVLVWDQFH
LLL 3KDVHWRHDUWKLQVXODWLRQUHVLVWDQFH
LY 1HXWUDOWRHDUWKLQVXODWLRQUHVLVWDQFH
% 7KH UHVXOWDQW LQVXODWLRQ UHVLVWDQFH IRU DQ\ RI WKH DERYH WHVW PHDVXUHPHQWV
VKDOO QRW EH OHVV WKDQ  PHJD RKP SHU PHWHU FDEOH OHQJWK ZKHQ PHDVXUHG
ZLWKYROW
& :KLOHWKHVHWHVWVDUHFDUULHGRXWDYROWDJHQRWOHVVWKDQWLPHVWKHQRUPDO
YROWDJH RI WKH VXSSO\ VKDOO EH DSSOLHG IRU WKH PHDVXUHPHQW RI LQVXODWLRQ
UHVLVWDQFH
$ &RQVWUXFWLRQ
L &RQGXFWRUV
$ 7KH FRQGXFWRUV VKDOO EH VWUDQGHG SODLQ DQQHDOHG FRSSHU LQ
DFFRUGDQFH ZLWK ,(& 3XEOLFDWLRQ  &RQGXFWRUV RI ,QVXODWHG
&DEOHVRU%6(1
% 7KH FRQGXFWRUV VKDOO FRPSO\ ZLWK WKH WHVW UHTXLUHPHQWV
PHQWLRQHG DW &ODXVH  RI %6 (1  DQG WHVW FHUWLILFDWHV
IURPLQGHSHQGHQWDXWKRULWLHVODEVVKDOOEHVXEPLWWHG
LL ,QVXODWLRQ
$ 7KHLQVXODWLRQVKDOOEH;/3(FRPSO\LQJZLWK%6%6
DQG %6   LQ DGGLWLRQ WR ,(& 3XEOLFDWLRQ
7DEOH,,,
% 7HVW&HUWLILFDWHVIURPLQGHSHQGHQWDFFUHGLWHGERGLHVDXWKRULWLHV
WREHVXEPLWWHGSULRUWRGHOLYHU\WRVLWH
& 7KHLQVXODWLRQWKLFNQHVVVKDOOFRPSO\ZLWK%6&ODXVH
7DEOH
' &RUHLQVXODWLRQFRORUVVKDOOEH5HG<HOORZ%OXH%ODFN
( 7KHLQVXODWLRQVKDOOPHHWWKH7HVW5HTXLUHPHQWVPHQWLRQHGLQWKH
IROORZLQJVWDQGDUGV
 6HFWLRQWKUHHRI,(&3XEOLFDWLRQ
 &ODXVHRI%6UHODWLQJWRFRPSDWLELOLW\
 &ODXVHRI%6
 %6(1
 %6
 &ODXVH7DEOHRI%6UHODWLQJWRLQVXODWLRQ
LLL %HGGLQJ
$ 7KHLQQHUVKHDWKVKDOOEHEODFNH[WUXGHG39&EHGGLQJFRPSO\LQJ
ZLWK WKH UHTXLUHPHQWV RI %6  DQG %6  IRU
W\SHFRPSRXQGRU,(&3XEOLFDWLRQ

)HEUXDU\ 6HFWLRQ$ 5RDGVDQG7UDQVSRUW$XWKRULW\


57$5RDG/LJKWLQJ6SHFLILFDWLRQ

LY )LOOHUV$QG%LQGHUV
$ 1RQ K\JURVFRSLFV\QWKHWLFILOOHUVWR EHDSSOLHGLQWHJUDOO\ZLWKWKH
EHGGLQJ LQ DFFRUGDQFH ZLWK %6  &ODXVH  DQG ,(&
3XEOLFDWLRQWRIRUPDFRPSDFWDQGFLUFXODUFDEOH
% 7KH ILOOHUV DQG ELQGHUV VKDOO FRPSO\ ZLWK WKH FRPSDWLELOLW\ WHVW
JLYHQLQ&ODXVHRI%6
Y :LUH$UPRXU
$ 7KHDUPRXUVKDOOFRQVLVWRIDVLQJOHOD\HUJDOYDQLVHGVWHHOURXQG
ZLUHVRIDSSURSULDWHVL]HPHQWLRQHGLQ7DEOHRI%6
DQG,(&3XEOLFDWLRQ7KHDUPRXUZLUHVPXVWFRYHUWKHHQWLUH
SHULSKHU\RIWKHLQQHUVKHDWKDVSHU%6
YL $UPRXU7HVWV
$ 6DPSOHV RI JDOYDQLVHG VWHHO DUPRXU ZLUHV VKDOO EH WHVWHG IRU
PHFKDQLFDOVWUHQJWKDQGHOHFWULFDOUHVLVWDQFHLQDFFRUGDQFHZLWK
%6DQG%6(1UHVSHFWLYHO\
% 7HVWLQJ UHTXLUHPHQWV IRU ]LQF FRDWLQJV RQ VWHHO ZLUH DQG IRU
TXDOLW\ UHTXLUHPHQWV VKDOO FRPSO\ ZLWK %6 (1  7HVW
&HUWLILFDWHV IURP LQGHSHQGHQW DSSURYHG DXWKRULWLHVODERUDWRULHV
VKDOOEHVXEPLWWHGSULRUWRGHOLYHU\WRVLWH
YLL 2YHUVKHDWK
$ 7KH RYHUVKHDWK VKDOO EH 0'3( 0HGLXP 'HQVLW\ 3RO\HWK\OHQH
W\SH76FRPSO\LQJZLWK%6
% 7KLFNQHVVRIRYHUVKHDWKVKRXOGFRPSO\ZLWK%6WDEOH
RU,(&3XEOLFDWLRQ
YLLL 7HVWLQJ2I&DEOHV
$ 7HVWVRQWKHFRPSOHWHFDEOHVKDOOEHFDUULHGRXWDFFRUGLQJWRWKH
VFKHGXOHV JLYHQ LQ 7DEOH  XQGHU &ODXVH  RI %6 
7HVW &HUWLILFDWHV IURP LQGHSHQGHQW DSSURYHG DXWKRULWLHV 
ODERUDWRULHVVKDOOEHVXEPLWWHGSULRUWRGHOLYHU\WRVLWH

$ (DUWK&DEOH
$ 7KLV VSHFLILFDWLRQ SURYLGHV IRU PDQXIDFWXULQJ DQG WHVWLQJ RI VLQJOH FRUH
VWUDQGHGFRSSHUFRQGXFWRU39&FDEOH QRQDUPRXUHG 7KHFDEOHLQJHQHUDO
VKDOOFRPSO\ZLWK%6
% &RQVWUXFWLRQ
L &RQGXFWRU
$ 7KH FRQGXFWRUV VKDOO EH VWUDQGHG SODLQ DQQHDOHG FRSSHU LQ
DFFRUGDQFH ZLWK ,(& 3XEOLFDWLRQ  &RQGXFWRUV RI ,QVXODWLRQ
&DEOHVRU%6(1
% 7KHFRQGXFWRUVKDOOFRPSO\ZLWKWKHWHVWUHTXLUHPHQWVPHQWLRQHG
DW &ODXVH  RI %6 (1  DQG WHVW FHUWLILFDWHV IURP
LQGHSHQGHQWDXWKRULWLHVODERUDWRULHVVKDOOEHVXEPLWWHG
LL ,QVXODWLRQ
$ 39&LQVXODWLRQFRPSO\LQJZLWKWKHUHTXLUHPHQWVRI%6
IRU W\SH  FRPSRXQG 5DGLDO WKLFNQHVV RI LQVXODWLRQ DQG RXWHU
GLDPHWHUDFFRUGLQJWRWDEOHRI%6

)HEUXDU\ 6HFWLRQ$ 5RDGVDQG7UDQVSRUW$XWKRULW\


57$5RDG/LJKWLQJ6SHFLILFDWLRQ

% &RPSOLDQFH WR WKH UHTXLUHPHQWV VKDOO EH FKHFNHG ZLWK WKH
DSSURSULDWH WHVWV OLVWHG LQ WDEOH  RI %6  7HVW
&HUWLILFDWHVIURPLQGHSHQGHQWDSSURYHGERGLHVODERUDWRULHVVKDOO
EHVXEPLWWHGSULRUWRGHOLYHU\WRVLWH
& ,QVXODWLRQ&RORXU<HOORZ*UHHQ
& &DEOH,GHQWLILFDWLRQ
L 7KHRYHUVKHDWKPD\EHSURYLGHGZLWKDQRQHUDVDEOHSULQWDORQJWZR
OLQHVZLWKWKHIROORZLQJOHJHQGFRPSO\LQJZLWK%6RUZKHUH
39&RYHUVKHDWKLVXVHGHPERVVLQJSURFHVVPXVWEHDSSOLHG

$ )LUVW/LQH 52$'6 $1' 75$163257 $87+25,7< 675((7


/,*+7,1*9
 7KHOHWWHUVDQGILJXUHVVKDOOEHXSULJKWEORFNFKDUDFWHUV7KH
PD[LPXP VL]H RI WKH FKDUDFWHUV VKDOO EH  PP DQG WKH
PLQLPXPVL]HRIWKHDSSUR[LPDWHRYHUDOOGLDPHWHURIWKH
FDEOH RU  PP ZKLFKHYHU LV JUHDWHU  7KH JDS EHWZHHQ WKH
HQGRIRQHOHJHQGDQGWKHEHJLQQLQJRIWKHQH[WVKDOOQRWEH
JUHDWHUWKDQPP

% 6HFRQG/LQH
 ³;;;;;;8$([;;00&80´
 7KLV VKDOO EH HTXDOO\ VSDFHG ZLWK WKH ILUVW OLQH DORQJ WKH
FLUFXPIHUHQFH  $Q LGHQWLILFDWLRQ RI WKH PDQXIDFWXUHU \HDU
FRXQWU\QXPEHURIFRUHV[FRQGXFWRUFURVVVHFWLRQW\SHDQG
PHWHULQJ OHQJWK VKDOO EH PDUNHG DW UHJXODU LQWHUYDOV RQ WKH
VKHDWK7KLVVKDOOQRWDIIHFWWKHVSDFLQJEHWZHHQUHSHWLWLRQV
RIWKHOHJHQGIRUWKHYROWDJHGHVLJQDWLRQ

' 6HDOLQJ$QG'UXPPLQJ2I&DEOHV
L %HIRUHGLVSDWFKWKHPDQXIDFWXUHUVKDOOFDSWKHHQGVRIDOOFDEOHVVR
DVWRIRUPDVHDOWRSUHYHQWWKHLQJUHVVRIZDWHUGXULQJWUDQVSRUWDWLRQ
LL $OO FDEOHV VKDOO EH GHOLYHUHG WR VLWH ZLWK WKH PDQXIDFWXUHU
V VHDOV
ODEHOV RU RWKHU SURRI RI RULJLQ LQWDFW  7KH ODEHOV DQG VHDOV VKDOO EH
UHWDLQHGIRULQVSHFWLRQE\WKH(QJLQHHU
LLL (DFKGUXPOHQJWKRIFDEOHVKDOOEHDOORWWHGDGLVWLQFWLYHDQGVHSDUDWH
UHIHUHQFH QXPEHU  7KLV QXPEHU VKDOO DSSHDU RQ WKH 7HVW 6KHHWV
FRYHULQJ WKH UHVSHFWLYH OHQJWK RI FDEOH DQG VKDOO DOVR EH FOHDUO\
PDUNHGRQWKHFDEOHGUXP$OOFDEOHVVKDOOEHFDSSHGRQWKHGUXPWR
SUHYHQWWKHLQJUHVVRIZDWHU

)HEUXDU\ 6HFWLRQ$ 5RDGVDQG7UDQVSRUW$XWKRULW\


57$5RDG/LJKWLQJ6SHFLILFDWLRQ

$ &DEOH,QVWDOODWLRQ
$ *HQHUDO
$ 7KH DUUDQJHPHQWVRIFDEOHVDQGDOOPHWKRGVRILQVWDOODWLRQVKDOOEHVXEMHFWWR
DSSURYHGVKRSGUDZLQJVE\WKH(QJLQHHU57$
% &DEOHVVKDOOEHLQVWDOOHGLQRQHOHQJWKIURPWHUPLQDOSRLQWWRWHUPLQDOSRLQW7KH
UDGLXVRIHDFKEHQGRUFKDQJHLQGLUHFWLRQRIWKHURXWHRIDQ\FDEOHVKDOOQRWEH
OHVV WKDQ WKH PLQLPXPVWDWHG LQ SDUDJUDSK  RI WKH FXUUHQW LVVXH RI '(:$
WKH,(75HJXODWLRQVWKHUHOHYDQW%6VSHFLILFDWLRQVRUWKHFDEOHPDQXIDFWXUHU
V
UHFRPPHQGDWLRQVZKLFKHYHULVWKHJUHDWHU
& 0XOWLFRUH FDEOHV FDUU\LQJ DOWHUQDWLQJ FXUUHQW IRU WKUHHSKDVH ZRUNLQJ VKDOO EH
ODLGVWULFWO\LQDFFRUGDQFHZLWKWKH,(75HJXODWLRQV
' 7KH&RQWUDFWRUVKDOOOD\LQWKHWUHQFKDORQJZLWKWKHSRZHUFDEOHDVLQJOHFRUH
FRSSHUHDUWKLQJFDEOH7KHHDUWKLQJFDEOHVKDOOUXQDOOWKHZD\IURPWKHIHHGHU
SLOODUWRWKHODVWFROXPQRQHDFKFLUFXLW

3RZHU&DEOH (DUWK&DEOH
[PP [PP
[PP [PP
[PP [PP
[PP [PP
[PP [PP
[PP [PP
[PP [PP
[PP [PP
[PP [PP
[PP [PP
[PP [PP

$ &DEOHV/DLG'LUHFWO\,Q7KH*URXQG
$ 7KH &RQWUDFWRU VKDOO H[FDYDWH WUHQFKHV DORQJ DSSURYHG FDEOH URXWHV WR WKH
PLQLPXPGHSWKVVKRZQRQWKHGHWDLOHGGUDZLQJV
% $OO ORRVH URFN VWRQHV DQG RWKHU VKDUS PDWHULDOV VKDOO EH UHPRYHG IURP WKH
WUHQFK
&  7KH&RQWUDFWRUVKDOOVXSSO\ZDVKHGVLHYHGVDQGDQGFDEOHZDUQLQJWDSHV+H
VKDOOVXSSO\DQGOD\WKHVHPDWHULDOVDORQJWKHWUHQFKURXWHDVVSHFLILHGLQWKH
GUDZLQJV
' 7KH &RQWUDFWRU VKDOO OD\ OHYHO DQG FRPSDFW FOHDQ VDQG LQ WKH ERWWRP RI WKH
WUHQFKWRDGHSWKRIPPEHIRUHOD\LQJWKHFDEOHV$)7(5OD\LQJWKHFDEOHV
KH VKDOO WKHQ FRYHU WKHP ZLWK D IXUWKHU  PP RI FOHDQ VDQG OHYHO DQG
FRPSDFW  7KH EDFNILOOLQJ RI WKH WUHQFK LQFOXGLQJ WKH OD\LQJ RI 39& ZDUQLQJ
WDSHVKDOOWKHQEHFRPSOHWHGLQDFFRUGDQFHZLWK&ODXVHV
( 7KH &RQWUDFWRU VKDOO OHDYH IRU IXWXUH XVH LQ FDEOH WUHQFK ORRSV RI RQH PHWHU
FDEOHDWWKHHQWU\DQGH[LWGXFWRIHDFKIRXQGDWLRQ

)HEUXDU\ 6HFWLRQ$ 5RDGVDQG7UDQVSRUW$XWKRULW\


57$5RDG/LJKWLQJ6SHFLILFDWLRQ

$ &DEOHV/DLG,Q'XFWV
$ &RQGXLWVVKDOOEHX39&DQGFRPSO\ZLWK%6EHVXLWDEOHIRUWKHFOLPDWLF
FRQGLWLRQV  &RQGXLW MRLQWV VKDOO EH FHPHQWHG 'XULQJ FRQVWUXFWLRQ FRQGXLWV
VKDOO EH SURWHFWHG WR SUHYHQW PRYHPHQW LQJUHVV RI PRLVWXUH DQG GLUW DQG
GDPDJH  $Q\ RSHQ HQGV VKDOO EH FDSSHG WR NHHS RXW GLUW DQG PRLVWXUH
&RQGXLWVVKDOOEHLQVWDOOHGLQVWUDLJKWUXQVOHYHODQGSDUDOOHORUSHUSHQGLFXODU
WR WKH VWUXFWXUH DQG WR DYRLG WKH VSUHDG RI ILUH DQG LQJUHVV RI PRLVWXUH
&RQGXLWVVKDOOEHLQVWDOOHGZLWKDOOUHTXLVLWHDFFHVVRULHV,QWHUQDOEXUUVVKDOOEH
UHPRYHGIURPWKHFRQGXLWHQGV

% 'UDZER[HVVKDOOEHX39& RUDFFHSWHGDOWHUQDWLYH ZLWKDQ,QJUHVV3URWHFWLRQ


UDWLQJ RI ,3  'UDZ ER[HV VKDOO EH LQVWDOOHG LQ DFFHVVLEOH ORFDWLRQV DW OHDVW
HYHU\PDQGEHWZHHQHYHU\WZRULJKWDQJOHEHQGV*DVNHWWHGOLGVVKDOOEH
SURYLGHG ZKHUH H[SRVHG WR GXVW RU PRLVWXUH $W VWUXFWXUDO H[SDQVLRQ MRLQWV
PDLQWDLQFRQWLQXLW\ZLWKIOH[LEOHFRQGXLWZLWKLQDODUJHUVOHHYH3URYLGHFRQGXLW
EHQGV ZLWKRXW GHIRUPDWLRQ 3URYLGH GUDZZLUHV LQ FRQGXLWV IRU IXWXUH VHUYLFHV
DQGLQFRQGXLWIRUVHUYLFHVWREHLQVWDOOHGE\RWKHUSDUWLHV

& :KHUH FDEOHV FURVV XQGHU URDGV DQG SDYHG DUHDV WKH\ VKDOO EH GUDZQ LQWR
X39& GXFWV SURYLGHG FRPSOHWH ZLWK WHPSRUDU\ WDSHULQJ X39& HQG FDSV RI
VXLWDEOHGLDPHWHUWRSUHYHQWWKHLQJUHVVRIVRLOLQWRWKHGXFWV
7KHUHPRYDORIWHPSRUDU\SOXJVURGGLQJDQGFOHDQLQJRIWKHGXFWVVKDOOEH
FDUULHGRXWE\WKH&RQWUDFWRU7KHGXFWVVKDOOEHVHDOHGZLWKIRDPRURWKHU
VXLWDEOHVHDOLQJPDWHULDODIWHUWKHFDEOHVKDYHEHHQGUDZQWKURXJK

$ &DEOHV,Q&RQFUHWH7UHQFKHV
$ &DEOHV LQ FRQFUHWH WUHQFKHV VKDOO EH LQVWDOOHG LQ D VXSSRUW V\VWHP FRPSULVLQJ
PRXOGHG UHLQIRUFHG Q\ORQ KRRNV DQG FODPSV DWWDFKHG LQWR D KHDY\ JDXJH
JDOYDQLVHG VWHHO FKDQQHO IL[HG WRWKH ZDOOV E\VWDLQOHVV VWHHO *UDGH $,6, /
FDVW LQ UDJEROWV RU E\ VWDLQOHVV VWHHO JUDGH $,6, / WKUHDGHG VWXGV JURXWHG
LQWRSHUFXVVLRQGULOOHGKROHVZLWKSRO\HVWHUUHVLQDQFKRUJURXW

$ &DEOHV,Q6DGGOHV
$ :KHUHFDEOHVDUHUHTXLUHGWREHIL[HGLQVDGGOHV39&VKHDWKHGFRSSHUIL[LQJ
VDGGOHV VKDOO EH XVHG 6DGGOHV VKDOO EH IL[HGZLWK VWDLQOHVVVWHHO JUDGH$,6,
/ WKH 39& VDGGOH VKHDWK ZKLFK ZRXOG DOORZ JDOYDQLF DFWLRQ EHWZHHQ WKH
VDGGOHDQGLWVIL[LQJ
% 5XQVVKDOOEHQHDWDQGIUHHIURPNLQNVFDUHEHLQJWDNHQLQWKHURXWLQJWRDYRLG
ULVNRIGDPDJHWRRULQWHUIHUHQFHZLWKRWKHUHTXLSPHQW

)HEUXDU\ 6HFWLRQ$ 5RDGVDQG7UDQVSRUW$XWKRULW\


57$5RDG/LJKWLQJ6SHFLILFDWLRQ

$ 7HUPLQDWLRQRI&DEOHV
& $Q\W\SHRIFDEOHMRLQWVLVQRWDOORZHG
' $OOFDEOHVVKDOOEHFRORXUFRGHGLQDFFRUGDQFHZLWKWKH,(75HJXODWLRQV,QWKH
ILQDOVXEFLUFXLWVFRUHVVKDOOEHLGHQWLILHGE\WKHFRORXUVUHG\HOORZRUEOXHDV
DSSURSULDWH7DSHVDQGVOHHYHVZLOOQRWEHSHUPLWWHG
( 7KH &RQWUDFWRU VKDOO DOORZ IRU DW OHDVW  PP RI WKH FDEOH WR EH FXW RII
LPPHGLDWHO\EHIRUHWKHWHUPLQDWLRQLVPDGH7KLVUHTXLUHPHQWVKDOODSSO\WRDOO
FDEOHHQGV
) $OOFDEOHHQGVDUHWREHVHDOHGDJDLQVWWKHLQJUHVVRIZDWHUGHOHWHULRXVPDWWHU
HWFLQFDVHRIFDEOHVQRWVHDOHGPPWREHFXWRIILPPHGLDWHO\EHIRUHWKH
WHUPLQDWLRQLVPDGH

$($57+,1*
$(DUWKLQJ6\VWHP
$ &RQWUDFWRU VKDOO LQVWDOO DQ HDUWKLQJ V\VWHP WR WKH ODVW FROXPQPDVW RI HYHU\
FLUFXLW LQFOXGLQJ DOO IHHGHU SLOODUV DQGFROXPQXQGHU RYHU KHDG OLQHV 2+/  DV
VKRZQ RQ WKH 'UDZLQJV  7KH HDUWK LQVWDOODWLRQ VKDOO LQ JHQHUDO EH LQ
DFFRUGDQFHZLWK%ULWLVK&RGHRI3UDFWLFH&3DQGLQDFFRUGDQFHZLWKWKH
UHTXLUHPHQWRI'XEDL(OHFWULFLW\ :DWHU$XWKRULW\DQGWKH'(:$
% :KHUHWKHUHTXLUHPHQWVRIWKH'(:$DQG*XLGHGLIIHUIURPWKRVHRIWKH,(7
5HJXODWLRQVWKHIRUPHUVKDOOSUHYDLO
& (OHFWURGHV VKDOO FRQVLVW RI  PP PLQLPXP GLDPHWHU KDUG GUDZQ FRSSHU URG
GULYHQ YHUWLFDOO\ WR D PLQLPXP GHSWK RI  P  5RGV VKDOO EH FRPSOHWH ZLWK
KDUGHQHGVWHHOWLSDQGGULYLQJFDS5RGVVKDOOEHFDSDEOHRIEHLQJH[WHQGHGLQ
OHQJWKVDVQHFHVVDU\E\WKHSURYLVLRQRISHUPDQHQWVFUHZPHFKDQLVPV
' $39&FRDWHGHDUWKFRQWLQXLW\FRQGXFWRURIPP FURVVVHFWLRQFRSSHUFDEOH
VKDOOEHLQVHUWHGEHWZHHQWKHHDUWKLQJVWXGLQWKHSLOODURUOLJKWLQJFROXPQDQG
WKH HDUWK HOHFWURGH  7KH FRQQHFWLRQ RI WKH FRSSHU WDSH FDEOH WR WKH HDUWK
HOHFWURGHVKDOOEHPDGHE\PHDQVRIDVXLWDEOHFRSSHUFRQGXFWRUFODPS$IWHU
ILQDO DFFHSWDQFH WHVWV WKH FRQQHFWLRQ VKDOO EH ZUDSSHG LQ SHWURODWXP
LPSUHJQDWHGWDSH
( 7KH HDUWKLQJ FRQGXFWRUV VKDOO KDYH D PLQLPXP FXUUHQW FDUU\LQJ FDSDFLW\ LQ
DFFRUGDQFHZLWK&3
) (DFKHOHFWURGHVKDOO EH GULYHQ WR DGHSWK VXFK WKDWLW SHQHWUDWHV WKH VXPPHU
ZDWHUWDEOHE\PLQLPXPRIPHWUHV

* (DUWKHOHFWURGHGLVWDQFHVKRXOGQRWH[FHHGPHWUHVRXWRIFHQWUHRIIRXQGDWLRQ
RIODVWFROXPQDQGDWDQDJUHHGORFDWLRQDGMDFHQWWRWKH0)3IHHGHUSLOODU

$(DUWK(OHFWURGH7HUPLQDWLRQV
$ (YHU\FRQQHFWLRQRIDQHDUWKLQJOHDGVWRDQHDUWKHOHFWURGHVKDOOEHPDGHLQD
SLW PHDVXULQJ DSSUR[LPDWHO\  PP [  PP [  PP  7KH FRQQHFWLRQ
VKDOO EH VRXQGO\ PDGH E\ XVH RI KDUG VROGHUHG MRLQWV RU FODPSV  $OO HDUWK
HOHFWURGHVDQGHDUWKLQJOHDGVVKDOOEHRIFRSSHU
% 7KHFRQWUDFWRUVKDOOHQVXUHWKDWWKURXJKRXWWKHLQVWDOODWLRQDOOPHWDOOLFSDUWVRI
DOO HTXLSPHQW RWKHU WKDQ FXUUHQWFDUU\LQJ FRQGXFWRUV DUH ERQGHG WR IRUP D
FRQWLQXRXV SDWK E\ ZD\ RI FRQQHFWLQJ WKH DUPRXULQJ RU HDUWK FRQGXFWRUV  RI
WKHORFDODXWKRULW\
VFDEOHVDWIHHGHUSLOODUVVXEVWDWLRQVHWF
& $IWHULQVWDOODWLRQWKHSLWVKDOOKDYHDUHPRYDEOHFRYHU

)HEUXDU\ 6HFWLRQ$ 5RDGVDQG7UDQVSRUW$XWKRULW\


57$5RDG/LJKWLQJ6SHFLILFDWLRQ

$&$%/($1'($57+7(67,1*$)7(5,167$//$7,21
$ $IWHUFDEOHOD\LQJDQGLQVWDOODWLRQRIHDUWKLQJV\VWHPVEXWSULRUWRHQHUJL]LQJRI
WKHOLJKWLQJFROXPQWKH&RQWUDFWRUZLOOSHUIRUPWKHIROORZLQJWHVWV
$&RQWLQXLW\RI&RQGXFWRUV
$ $ WHVW VKDOO EH PDGH WR YHULI\ WKH FRQWLQXLW\ RI HDFK FRQGXFWRU LQFOXGLQJ WKH
HDUWKFRQWLQXLW\FRQGXFWRURIHDFKFLUFXLW
$,QVXODWLRQ5HVLVWDQFH7HVW
$ 7KLVWHVWZLOOEHDSSOLHGWRHDFKVHFWLRQRIFDEOHVDQGZLOOFRPSULVHRI
L 3KDVHWRSKDVHLQVXODWLRQUHVLVWDQFH
LL 3KDVHWRQHXWUDOLQVXODWLRQUHVLVWDQFH
LLL 3KDVHWRHDUWKLQVXODWLRQUHVLVWDQFH
LY 1HXWUDOWRHDUWKLQVXODWLRQUHVLVWDQFH
% 7KHUHVXOWDQWLQVXODWLRQUHVLVWDQFHIRUDQ\RIWKHDERYHPHDVXUHPHQWVVKDOOQRW
EHOHVVWKDQPHJDRKPSHUPHWUHFDEOHOHQJWKDQGPHDVXUHGZLWKYROW
& )RU WKHVH WHVWV D YROWDJH QRW OHVV WKDQ  WLPHV WKH QRUPDO YROWDJH RI WKH
VXSSO\VKDOOEHDSSOLHGIRUWKHPHDVXUHPHQWRILQVXODWLRQUHVLVWDQFH
$(DUWK5HVLVWDQFH7HVW
$ 7REHSHUIRUPHGZLWKVSHFLILFFDOLEUDWHGHDUWKUHVLVWDQFHPHWUH7KHUHVLVWDQFH
RI DQ\ SRLQW LQ WKH HDUWK FRQWLQXLW\ V\VWHP RI WKH LQVWDOODWLRQ WR WKH PDLQ HDUWK
HOHFWURGHVKDOOQRWH[FHHGRKPDQGWKHUHVLVWDQFHWRHDUWKDWWKLVWHUPLQDWLRQ
VKDOOQRWH[FHHGRKP
% ,QVSHFWLRQ FHUWLILFDWHV FRPSOHWHG E\ WKH &RQWUDFWRU VKDOO EH JHQHUDOO\ LQ
DFFRUGDQFHZLWK,(7UHJXODWLRQV
& %UDQG W\SH DQG FDOLEUDWLRQ UHSRUW RI WHVW HTXLSPHQW XVHG IRU WHVWLQJ WKH
HOHFWULFDO LQVWDOODWLRQ E\ WKH &RQWUDFWRU VKDOO EH VXEMHFW WR WKH DSSURYDO RI WKH
(QJLQHHU
' 7KHVH FDOLEUDWLRQ UHSRUWV DUH WR EH VXEPLWWHG WR WKH 5RDGV  7UDQVSRUW
$XWKRULW\ 6WUHHW /LJKWLQJ 6HFWLRQ DORQJ ZLWK WKH WHVW UHVXOWV SULRU WR WKH
FRPPHQFHPHQWRIWKHPDLQWHQDQFHSHULRG
( 2ZLQJ WR WKH KLJKO\ FRUURVLYH QDWXUH RI WKH VXEVRLO DW FHUWDLQ ORFDWLRQV WKH
'XEDL(OHFWULFLW\DQG:DWHU$XWKRULW\VKDOOEHFRQVXOWHGUHJDUGLQJWKHPHWDOWR
EHXVHGIRUWKHHDUWKWHUPLQDWLRQ
) (DUWKDQG,QVXODWLRQWHVWWREHZLWQHVVHGE\WKH(QJLQHHU57$

$ &21&5(7()281'$7,216)250$676
$ &RQFUHWHIRUWKHIRXQGDWLRQVVKDOOEH&ODVVLQDFFRUGDQFHZLWK6HFWLRQRI
WKHVH6SHFLILFDWLRQV
% 7KHFHPHQWFRQWHQWVKDOOEHLQFUHDVHGE\LIDQ\SDUWRIWKHIRXQGDWLRQLV
EHORZWKHZDWHUWDEOH
& 7KH &RQWUDFWRU VKDOO SURYLGH WKH (QJLQHHU57$ ZLWK VKRS GUDZLQJV ZLWK
VXSSRUWLQJ GHVLJQ FDOFXODWLRQV IRU DSSURYDO SULRU WR FRQVWUXFWLRQ RI WKH
IRXQGDWLRQV
' $VDPSOHIRXQGDWLRQLVWREHDSSURYHGE\WKH(QJLQHHUDQG5RDGV 7UDQVSRUW
$XWKRULW\ 5RDGV /LJKWLQJ 6HFWLRQ EHIRUH FRPPHQFHPHQW RI WKH ZRUN DQG WKH
VDPHVWDQGDUGLVWREHPDLQWDLQHGWKURXJKRXWWKHFRQWUDFW
( 'HQVRWDSHVKDOOEHSODFHGRQWKHH[SRVHGVHFWLRQRIWKHWKUHDGHGSDUWRIWKH
KROGLQJ GRZQ EROWV EHIRUH FDVWLQJ WKH IRXQGDWLRQV  $IWHU FRQFUHWLQJ WKH EROWV
VKDOO EH WKRURXJKO\ FOHDQHG JUHDVHG DQG FKHFNHG ZLWK D WHPSODWH WR HQVXUH
DFFXUDWHSODFHPHQW

)HEUXDU\ 6HFWLRQ$ 5RDGVDQG7UDQVSRUW$XWKRULW\


57$5RDG/LJKWLQJ6SHFLILFDWLRQ

$ (;,67,1*675((7/,*+7,1*)$&,/,7<
$ 6WUHHW OLJKWLQJ VHUYLFHV ZKLFK IDOO ZLWKLQ WKH VLWH RI WKH ZRUNV ZKLFK DUH
GDPDJHGE\WKH&RQWUDFWRUVKDOOEHUHSDLUHGUHFWLILHGE\WKH&RQWUDFWRUZLWKLQ
 KRXUV  7KH &RQWUDFWRU VKDOO EH UHVSRQVLEOH IRU REWDLQLQJ URDG FORVXUH
SHUPLVVLRQZKHUHDSSOLFDEOHDQGWRSURYLGHQHFHVVDU\PDWHULDODQGPDQSRZHU
% $OOH[LVWLQJVWUHHWOLJKWLQJGXFWV ZLWKGXFWPDUNHUV WREHH[WHQGHGDQGFDEOHV
WREHVKLIWHGWRWKHIRRWSDWKFRUULGRUDVSHU57$VWDQGDUGVDQGUHJXODWLRQV

$ /LJKWLQJ&ROXPQ

*HQHUDO
5HIHUDOVRWR6HFWLRQ$&KDSWHU*HQHUDO5HTXLUHPHQWV
$
7KH FROXPQ PDVW GHVLJQ ORDG PD[LPXP KRUL]RQWDO DQG YHUWLFDO
%
GHIOHFWLRQDQGPD[LPXPDOORZDEOHWROHUDQFHVVKDOOEHLQDFFRUGDQFHZLWKWKH
UHTXLUHPHQWVRI%6(1
/LJKWLQJ&ROXPQ0DWHULDOV
$ 0HWDOV 6KDOO EH *DOYDQL]HG VWHHO RU $OXPLQXP RU 0L[HG
*DOYDQL]HG$OXPLQXPFROXPQV
&RDWLQJ
$ +RW GLS JDOYDQL]LQJ IRU VWHHO FROXPQV 6XSHU GXUDEOH FRDWLQJ PDWHULDO IRU
ERWK VWHHO DQG $OXPLQXP &RDWLQJ PDWHULDO VKDOO EH DV SHU WKH GHVLJQ
UHTXLUHPHQWV
/LJKWLQJ&ROXPQ6XEPLWWDO5HTXLUHPHQWV
$ 3URYLGH WKH IROORZLQJ GUDZLQJV GDWD DQG FDOFXODWLRQV IRU OLJKWLQJ FROXPQV
PDVWV
L 6KRS'UDZLQJVVKRZLQJGLPHQVLRQVRIDOOFRPSRQHQWVRIWKHFROXPQ
LQFOXGLQJOXPLQDLUHPRXQWLQJEUDFNHWV
LL 7KH WRWDO PD[LPXP ORDG PRPHQWV IRU HDFK VHFWLRQ XQGHU PD[LPXP
VWUHVVHV
LLL 0D[LPXPGHIOHFWLRQDWWKHWRSRIWKHFROXPQXQGHUZLQGYHORFLWLHV
LY &DOFXODWLRQVVKRZLQJWKHIRUFHVHQFRXQWHUHGE\WKHZLQGORDGLQJ
Y &DOFXODWLRQVRIWKHQHFHVVDU\VWUHQJWKIRUDQFKRUEROWVWREHXVHGIRU
GLIIHUHQWKHLJKWVRIFROXPQ
YL ,PSDFW UHVLVWDQFH FDOFXODWLRQV DW D KHLJKW RI RQH PHWUH DERYH WKH
EDVHSODWHRIWKHFROXPQV
YLL 0D[LPXP WROHUDEOH LPSDFW FDOFXODWLRQV WR VKHDU WKH SODWH IURP WKH
FROXPQIURPDQLPSDFWSRLQWRQHPHWUHDERYHWKHEDVHSODWH
YLLL &DOFXODWLRQVVKRZLQJWKHPD[LPXPIRUFHVDQGSUHVVXUHHQFRXQWHUHG
LQWKHPDVWZKLOHORZHULQJRUUDLVLQJWKHPDVW
L[ 'HWDLOVRIWKHSRZHUVXSSO\FDEOHWHQVLRQUHOHDVHIDFLOLW\LQWKHWRSRI
WKHPDVW
[ 'HWDLOV RI WKH IL[LQJ DQG ORFNLQJ V\VWHP EHWZHHQ WKH SROH DQG WKH
OXPLQDLUHVPRXQWLQJEUDFNHW

)HEUXDU\ 6HFWLRQ$ 5RDGVDQG7UDQVSRUW$XWKRULW\


57$5RDG/LJKWLQJ6SHFLILFDWLRQ

(QYLURQPHQWDO&RQGLWLRQV
$ 7KH XVHG PDWHULDOV VKDOO EH PDQXIDFWXUHG DQG LQVWDOOHG WR VXLW WKH IROORZLQJ
HQYLURQPHQWDOFRQGLWLRQVIRUWKH(PLUDWHRI'XEDL
L 0D[LPXPDPELHQW7HPSHUDWXUH ƒ&
LL 0LQLPXPDPELHQWWHPSHUDWXUHƒ&
LLL $PELHQWWHPSHUDWXUHƒ&
LY ,QFLGHQWOLJKWLQWHQVLW\ HQHUJ\P:FP 
Y /LJKWLQWHQVLW\ PHDVXUHGXQGHUWKHVXQ /X[
YL 0D[LPXPPHWDOVXUIDFHWHPSHUDWXUHƒ&
YLL 0LQLPXPEDURPHWULFSUHVVXUHPEDU
YLLL 0D[LPXPEDURPHWULFSUHVVXUHPEDU
L[ $YHUDJHEDURPHWULFSUHVVXUHPEDU
[ $PELHQWKXPLGLW\
[L 0LQLPXPDPELHQWKXPLGLW\
[LL 0D[LPXPZLQGYHORFLW\NPK
[LLL :LQGJXVWIDFWRU 
[LY $YHUDJH\HDUO\UDLQIDOOWRPP
&RUURVLRQ
$ $OO ZRUNV VKDOO EH FODVVHG DV EHLQJ LQVWDOOHG LQ H[WHUQDO GLUHFWO\ H[SRVHG
HQYLURQPHQWV DQGXVH PDWHULDOV WKDW LQKHUHQWO\ UHVLVW FRUURVLRQ DQGVDOLQLW\ RU
EHRIPDWHULDOJUDGHVDQGRUILQLVKHGWRUHVLVWFRUURVLRQ
% 3URWHFW PDWHULDOV DJDLQVW FRUURVLRQ GXH WR H[SRVXUH WR VHDZDWHU QRQVDOLQH
ZDWHUVRLOKLJKKXPLGLW\ORZRUKLJKWHPSHUDWXUHVFKHPLFDODFLGVDQGDONDOLV
DEUDVLRQDQGLPSDFWIXQJLDQGEDFWHULD
/RDGV
$ &ROXPQV PDVWV VKDOO ZLWKVWDQG WKH ZHLJKW RI WKH PD[LPXP QXPEHU RI
OXPLQDLUHV LQFOXGLQJ WKH DGYHUWLVLQJ %DQQHUV DQG DOO DVVRFLDWHG VXSSRUWV
DFFHVVRULHV
'HIOHFWLRQV
$ 7KHZRUNVVKDOOQRWGHIOHFWXQGHUORDGLQJLQ DQ\ZD\WKDWLVGHWULPHQWDOWR DQ\
HOHPHQWRIWKHZRUNV

0RYHPHQWV
$ 7KHZRUNVVKDOOUHVLVWDSSOLHGVWDWLFDQGG\QDPLFORDGVOLNHO\WREHHQFRXQWHUHG
ZLWKRXW FDXVLQJ SHUPDQHQW GHIRUPDWLRQ RI FRPSRQHQWV RU WKH IDLOXUH RI
V\VWHPVPDWHULDOVRUVHDOVDQGVKDOOWUDQVPLWVXFKORDGVVDIHO\WRWKHSRLQWVRI
VXSSRUW
6HLVPLF3HUIRUPDQFH
$ 7KHZRUNVVKDOOZLWKVWDQGWKHHIIHFWVRIHDUWKTXDNHPRWLRQVDVGHWHUPLQHG
DFFRUGLQJWR$6&(6(,IRUHDFKLQVWDOODWLRQFRQGLWLRQ
7KHUPDO3HUIRUPDQFH
$ 7KHZRUNVVKDOODFFRPPRGDWHORFDOWKHUPDOPRYHPHQWVH[HUWHGGXHWRFOLPDWLF
FRQGLWLRQV
0RLVWXUH5HVLVWDQFH
$ 7KH ZRUNV VKDOO QRW VXIIHU WHPSRUDU\ RU SHUPDQHQW GHIRUPDWLRQ QRU DQ\
UHGXFWLRQ LQ SHUIRUPDQFH GXH WR FKDQJHV LQ WKH PRLVWXUH FRQWHQW RI
FRPSRQHQWVUHVXOWLQJIURPYDULDWLRQVLQWKHPRLVWXUHFRQWHQWRIWKHDLU

)HEUXDU\ 6HFWLRQ$ 5RDGVDQG7UDQVSRUW$XWKRULW\


57$5RDG/LJKWLQJ6SHFLILFDWLRQ

)LUH3HUIRUPDQFH

0DWHULDOV VKDOO EH HLWKHU QRQFRPEXVWLEOH RU QRW HDVLO\ LJQLWDEOH ZLWK ORZ IODPH VSUHDG
FKDUDFWHULVWLFV DQG VKDOO QRW SURGXFH H[FHVVLYH TXDQWLWLHV RI VPRNH RU WR[LF JDVHV XQGHU
FRPEXVWLRQ FRQILUPHG E\ WHVWLQJ LQ DFFRUGDQFH ZLWK WKH DSSURSULDWH SDUWV RI %6 
XQOHVVRWKHUZLVHVWDWHG

,PSDFW&ROOLVLRQ3HUIRUPDQFH

$ 5RDGVLGHHTXLSPHQWVKDOOSHUIRUPLQDFFRUGDQFHZLWK%6(1³3DVVLYH
VDIHW\RIVXSSRUWVWUXFWXUHVIRUURDGHTXLSPHQW´
% 7KHZRUNVKDOOLQFRUSRUDWHVKHDUEDVHW\SHFROXPQV

$63(&,),&$7,216)25&219(17,21$/52$'6/,*+7,1*32/(6
&2/8016  %5$&.(76
$ *HQHUDO
$ 7KHURDGOLJKWLQJSROHVDUHPDGHRIJDOYDQL]HGVWHHODQGDUHLQWHQGHGWRKROG
RQH RU PRUH ODQWHUQV DQG FRQVLVW RI RQH RU PRUH SDUWV D SRVW SRVVLEO\ DQ
H[WHQVLRQSLHFHDQGLIUHTXLUHGDEUDFNHW7KHURDGOLJKWLQJSROHVLQJHQHUDO
VKDOOFRPSO\ZLWKWKHUHTXLUHPHQWVRI%6(1
% 3ROH WR EH GHVLJQHG WR ZLWKVWDQG WKH ORDG RI 0D[LPXP QXPEHU RI OXPLQDLUHV
DQGDGYHUWLVLQJEDQQHUV

$ 6SHFLILF
$ 3ROH XS WR D KHLJKW RI  PHWHUV VKDOO EH RI RQH VROLG SLHFH RWKHU WKDQ WKH
EUDFNHW 3ROHVRI PHWHUV DQGXSWRP KHLJKWVKDOO EHPDGH RI QRWPRUH
WKDQWZRVHFWLRQV
% 7KHOLJKWSROHVVKDOOEHVXLWDEOHIRUVXSSRUWLQJDODQWHUQDUUD\DVVKRZQRQWKH
GUDZLQJ
& 7KHSROHVKDIWVKDOOKDYHDQRFWDJRQDOFURVVVHFWLRQFRQWLQXRXVO\WDSHUHGDQG
ORQJLWXGLQDOO\ZHOGHG7KHZHOGLQJRIWKHVWHHOOLJKWLQJSROHVKDOOEHPHWDODUF
ZHOGLQJ FRPSO\LQJ ZLWK %6 (1   1R FLUFXPIHUHQWLDO ZHOG VKDOO EH
DFFHSWHG
' $OOSROHVKDIWVVKDOOEHSURYLGHGZLWKVXEVWDQWLDOULJLGIODQJHSODWHWKLFNQHVVDV
SHUGUDZLQJZLWKDQRSHQLQJIRUFDEOHHQWU\
L 7KH SODWH VKDOO EH ZHOGHG ZLWK WKH VKDIW ZLWK ILOOHW ZHOGV IURP LQVLGH
DQGRXWVLGH7KHZHOGVKDOOEHPHWDODUFZHOGLQJFRPSO\LQJZLWK%6
(1
( 7KH SROH VKDIW VKDOO EH IDEULFDWHG IURP D KLJK VWUHQJWK VWUXFWXUDO VWHHO
FRPSO\LQJZLWKWKHUHTXLUHPHQWVRI%6(1
) 7KHVWHHOXVHGIRUWKHIDEULFDWLRQRIWKHVKDIWVKDOOEHRIPDWHULDOFRQIRUPLQJWR
%6(1CZHOGDEOHVWUXFWXUDOVWHHOV
6DJHLQJUHVLVWDQWDQGVXLWDEOH
IRU KRW GLS JDOYDQLVLQJ  7KH IODQJH SODWH VKDOO EH IDEULFDWHG IURP PLOG VWHHO
FRQIRUPLQJWR%6(16
* 7KHEUDFNHWVVKDOOEHIDEULFDWHGIURPVWHHOFRQIRUPLQJWR%6(16

)HEUXDU\ 6HFWLRQ$ 5RDGVDQG7UDQVSRUW$XWKRULW\


57$5RDG/LJKWLQJ6SHFLILFDWLRQ

+ 7KH DQFKRU EROWV VKDOO EHIDEULFDWHGIURP VWHHO FRQIRUPLQJ WR %6 (1 
6RU(XURQRUPJUDGH)&%DVSHU%6(1(DFKDQFKRUEROW
WREHSURYLGHGZLWK1RVQXWV 1RVZDVKHUV
, 3ROHV )ODQJH SODWHVEDVH SODWHV GRRUV %UDFNHWV $QFKRU %ROWV QXWV DQG
ZDVKHUV VKDOO EH SURWHFWHG DJDLQVW FRUURVLRQ IURP LQVLGH DQG RXWVLGH LQ
FRPSOLDQFH ZLWK WKH UHTXLUHPHQWV RI %6 (1 ,62  7KH PLQLPXP
DYHUDJH]LQFFRDWLQJZHLJKWRQRQHVLGHVKRXOGQRWEHOHVVWKDQJVTPHWHU
DQG WKH PLQLPXP WKLFNQHVV VKDOO QRW EH OHVV WKDQ  PLFURQ  DQG %6 (1

- 3ROHVZLWKEUDFNHW V DQGODQWHUQ V VKDOOEHDEOHWRZLWKVWDQGDZLQGVSHHGRI
NPKULQFOXGLQJJXVWIDFWRU7KHPD[LPXPVWUHVVIRUDZLQGVSHHGRI
NPKU VKDOO QRW H[FHHG  RI WKH PLQLPXP VWUHQJWK RI WKH PDWHULDO  7KH
GHVLJQORDGVVKDOOPHHWWKHUHTXLUHPHQWRI%6(1
. 7KH PD[LPXP KRUL]RQWDO DQG YHUWLFDO GHIOHFWLRQDW WKH WRS RI D SROH VKDOO QRW
H[FHHGWKHYDOXHJLYHQLQ%6(1
/ 7KH PD[LPXP DOORZDEOH WROHUDQFHV IRU WKH SROH EUDFNHW V  EDVH SODWHIODQJH
SODWHDQGDQFKRUEROWVVKDOOFRPSO\ZLWK%6(1
0 7KH UHOHYDQW WKLFNQHVV DQG GLPHQVLRQV RI SROHV EUDFNHWV GRRUV EDVH
SODWHIODQJH SODWH DQG DQFKRU EROWV VKDOO EH DV VKRZQ RQ WKH GUDZLQJ DQG DV
SHUWKHVWUXFWXUHGHVLJQUHTXLUHPHQWV
1 7KHSROHVDQGYHUWLFDOSDUWVRIWKHDUPEUDFNHW V VKDOOEHFRQVWUXFWHGVRWKDW
WKH H[WHULRU VXUIDFHV RI WKH SROHV VKDOO EH IUHH IURP SURWXEHUDQFHV GHQWV
FUDFNVRURWKHULPSHUIHFWLRQV$SSURSULDWHZUDSSLQJDQGSDFNLQJLVWREHGRQH
EHIRUH VKLSSLQJ WR PDLQWDLQ WKLV TXDOLW\ DQG WR SUHVHUYH WKH ILQLVK GXULQJ
VKLSSLQJDQGVWRULQJ$QFKRUEROWVVKDOOEHSDFNHGLQZRRGHQER[HV
2 7KHOLJKWLQJSROHWREHDGHTXDWHO\UHLQIRUFHGDQGVWUHQJWKHQHGDWWKHORFDWLRQ
RIWKHLQVSHFWLRQFRPSDUWPHQWRSHQLQJWRFRPSHQVDWHIRUORVVLQVHFWLRQRIWKH
SRVWDWWKLVSRLQW
3 7KH SROHV VKDOO KDYH D EDVH FRPSDUWPHQW ZLWK D YDQGDO UHVLVWDQW GXVW DQG
ZDWHUSURRIGRRUIRUKRXVLQJWKHVHUYLFHFXWRXW7KHGRRURSHQLQJVKDOOEHRI
DGHTXDWH GLPHQVLRQ DV VKRZQ RQ WKH GUDZLQJ IRU HDV\ DFFHVV DQG
PDLQWHQDQFH
4 $ JDOYDQLVHG FRUURVLRQ UHVLVWDQW VWHHO FODPS IRU IL[LQJ D ZRRGHQ ERDUG IRU
PRXQWLQJWKHVHUYLFHFXWRXWVKDOOEHZHOGHGLQVLGHWKHEDVHFRPSDUWPHQW7KH
ZRRGHQERDUGPXVWEHSURYLGHGLQWKHFRPSDUWPHQW,WVKDOOEHHDVLO\UHPRYHG
DQGUHIL[HGWRVWHHOFODPSSURYLGHG7KHZRRGHQERDUGVKDOOEHQRWOHVVWKDQ
 PP WKLFNQHVV VHDVRQHG 0DULQH 3O\ DQG EH RI WKH VDPH VL]H DV WKH
FRPSDUWPHQWGRRUDQGVKDOOEHQRQK\JURVFRSLFDQGURWUHVLVWDQW
5 7KHEDVHFRPSDUWPHQWVDQGFDEOHZD\VVKDOOFRPSO\ZLWKWKHUHTXLUHPHQWV%6
(1
6 $ PP ORQJ WKUHDGHG VWXG RI FRUURVLRQ UHVLVWDQW VWHHO FDUU\LQJ QXWV DQG
ZDVKHUVWREHSURYLGHGIRUHDUWKFRQQHFWLRQ7KHVWXGWREHORFDWHGLQDQHDV\
DFFHVVLEOH SODFH QHDU WKH LQVSHFWLRQ FRYHU LQVLGH WKH OLJKWLQJ FROXPQ VWXG
GLDPHWHUWREHRI0VL]H LQFRPSOLDQFHZLWK%6(1
7 7KH GRRU VKDOO EH IOXVK  VHFXUHG E\ D SRVLWLYH DFWLRQ ORFN ZKLFK IRUFHV WKH
GRRU RXW ZKHQ RSHQLQJ  $OO ORRVH SDUWV RI WKH ORFNLQJ GHYLFH VKDOO EH VR
DUUDQJHGWKDWWKH\DUHKHOGFDSWLYHRQWKHGRRUZKHQLWLVLQWKHRSHQSRVLWLRQ
$OO WKH PRYLQJ SDUWV RI WKH ORFNLQJ GHYLFH VKDOO EH VWDLQOHVV VWHHO RI &ODVV
/PDWHULDO$Q DSSURYHGQHRSUHQHVHDOLQJJDVNHWVKDOOEH DIIL[HGWR WKH
GRRURSHQLQJWRHQVXUHDZDWHUSURRIDQGGXVWSURRIHQFORVXUHWR,3
8 7KHUH VKDOO EH D VWDLQOHVV VWHHO FKDLQ PP  FODVV /PDWHULDO VWUHQJWK
EHWZHHQWKHSROHDQGWKH GRRUWRHQVXUHWKH GRRU FDQQRWEHORVWLILQFRUUHFWO\
VHFXUHG

)HEUXDU\ 6HFWLRQ$ 5RDGVDQG7UDQVSRUW$XWKRULW\


57$5RDG/LJKWLQJ6SHFLILFDWLRQ

9 7KHVWUXFWXUDOGHVLJQRIWKHSROHV FROXPQV VKDOOEHWHVWHGLQDFFRUGDQFHZLWK


%6 (1   7HVW FHUWLILFDWHV IURP LQGHSHQGHQW DSSURYHG DXWKRULWLHV
ODERUDWRULHVVKDOOEHVXEPLWWHGDORQJZLWKWKHWHQGHU
$ 0LVFHOODQHRXV5HTXLUHPHQWV
$ 2IIHUHG PDWHULDO VKDOO EH VXSSOLHG H[DFWO\ DV LQGLFDWHG RQ VSHFLILFDWLRQV DQG
GUDZLQJV
% 6KLSPHQWZLOOEHDOORZHGRQO\DIWHUWKHDSSURYDORIWKHIUHHVDPSOHJLYHQE\WKH
FRQWUDFWRU
& (UHFWHGSROHVVKDOOEHFOHDQIUHHIURPGXVWGHEULVDQGGDPDJHV
' $WHVWFHUWLILFDWHIURPDQLQGHSHQGHQWODERUDWRU\VKDOOEHVXEPLWWHGFRQILUPLQJ
WKH JDOYDQLVDWLRQ FRDWLQJ ZHLJKW DQG FRPSRQHQW FRPSRVLWLRQ DV VSHFLILHG
HOVHZKHUH
$ $GGLWLRQDO,QIRUPDWLRQ
$ 7KH FRQWUDFWRU VKDOO VXEPLW IRU DSSURYDO WKH IROORZLQJ FDOFXODWLRQV DQG GDWD
SULRUWRWKHIDEULFDWLRQRIDQ\SDUWRIWKHOLJKWSROHVRUEUDFNHWV
L 6KRSGUDZLQJVVKRZLQJJHQHUDOGLPHQVLRQVRIDOOFRPSRQHQWVRIWKH
SROH LQFOXGLQJ PRXQWLQJ EUDFNHW V  IRU VLQJOH DQG PXOWLSOH OXPLQDLUHV
DUUD\
LL 'HWDLOHG VFDOHG VKRSGUDZLQJV RIERWK SROH DQG OXPLQDLUHV PRXQWLQJ
EUDFNHWV
LLL 6KRS GUDZLQJV JLYLQJ WKH GHWDLOV RI WKH IL[LQJ DQG ORFNLQJ V\VWHP
EHWZHHQWKHSROHDQGWKHOXPLQDLUHVPRXQWLQJEUDFNHW
LY 7KH WRWDO PD[LPXP ORDG PRPHQWV IRU HDFK VHFWLRQ XQGHU PD[LPXP
VWUHVVHV
Y &RPSXWDWLRQ RI VWUHVVHV LQ WKH EDVH SODWH DQG DQFKRU EROWV XQGHU
PD[LPXP ZLQGORDG ZLWK PD[LPXP QXPEHU RI OXPLQDLUHV LQ SODFH
&RQVLGHUWKHZHLJKWDQGWKHZLQGDJHDUHDRIHDFKOXPLQDLUHWREH
NJDQGVTPHWUHUHVSHFWLYHO\
YL 0D[LPXPGHIOHFWLRQDWWKHWRSRIWKHSROHXQGHUFRQGLWLRQVDQGZLQG
YHORFLWLHVPHQWLRQHGHDUOLHU
YLL &RQWUDFWRUPD\VXEPLWDQ\QHZWUHDWPHQWPHWKRGIRUH[WUDSURWHFWLRQ
DJDLQVW FRUURVLRQ RI WKH EDVH SODWH DUHD DQG XS WR WKH KHLJKW RI
PP
YLLL 'HWDLO FDOFXODWLRQV RI WKH QHFHVVDU\ VWUHQJWK IRU DQFKRU EROWV WR EH
XVHGVKRXOGEHVXEPLWWHGIRUGLIIHUHQWKHLJKWVRISROH
L[ 0HDQV RI DVVHPEOLQJ WZR VHFWLRQ SROHV HJ P SROHV  VKDOO EH
LQGLFDWHGLQGHWDLO
[ ,PSDFW UHVLVWDQFH FDOFXODWLRQV DW D KHLJKW RI RQH PHWUH DERYH WKH
EDVHSODWHRIWKHFROXPQ
[L 0D[LPXP WROHUDEOH LPSDFW FDOFXODWLRQV WR VKHDU WKH SODWH IURP WKH
SROHIURPDQLPSDFWSRLQWRQHPHWUHDERYHWKHIODQJHSODWH
[LL 0DWHULDOVVSHFLILFDWLRQIRUHDFKSDUWVRIWKHFROXPQ
[LLL &RQWUDFWRU VKDOO SURYLGH DORQJ ZLWK WKH VDPSOHV WDEOH VKRZLQJ DOO
GDWD DQG DOO WHVW UHVXOWV DQG LQGLFDWH GHYLDWLRQV IURP FRQWUDFW
VSHFLILFDWLRQVLIDQ\

)HEUXDU\ 6HFWLRQ$ 5RDGVDQG7UDQVSRUW$XWKRULW\


57$5RDG/LJKWLQJ6SHFLILFDWLRQ

$ 63(&,),&$7,21)250,'+,1*('+,*+0$67
$ 0LG+LQJHG0DVW
$ $OO PDVWV DQG EUDFNHWV VKDOO EH GHVLJQHG WR PHHW WKH ZLQG ORDGLQJ
UHTXLUHPHQWVRI%ULWLVK6WDQGDUG%6(1DQG,/(7HFKQLFDO5HSRUW
1RDQG3/*7KHGHVLJQPXVWFRQVLGHUZLQGYHORFLWLHVRINSK
LQFOXGLQJDJXVWIDFWRURI
% 7KHVWHHOXVHGIRUWKHFRQVWUXFWLRQRIWKHPDVWDQGEUDFNHWVKDOOKDYHDWHQVLOH
VWUHQJWKRIQROHVVWKDQNJVTFPWR%6DQGDOOZHOGLQJVKDOOEHLQ
DFFRUGDQFHZLWK%6
& $OO0DQXIDFWXUHU
VFHUWLILFDWHVVKDOOEHVXSSOLHGZLWKUHVSHFWWRWKHVWHHOXVHGLQ
WKHPDVW
' 7KHPDVWVKDIWVKDOOKDYHDQRFWDJRQDOFURVVVHFWLRQFRQWLQXRXVO\WDSHUHGDQG
ORQJLWXGLQDOO\ZHOGHG1RFLUFXPIHUHQWLDOZHOGVKDOOEHDFFHSWDEOHH[FHSWDWWKH
PLGKLQJHGSRLQW
( 7KH KLJK PDVW VKDOO EH GHVLJQHG WR DFFRPPRGDWH D VHW RI IRXU OXPLQDLUHV 
DGYHUWLVLQJEDQQHUVDQGDVVRFLDWHGEUDFNHWVIRUDFKLHYLQJWKHOXPLQDQFHOHYHO
UHTXLUHPHQWDVVSHFLILHGHOVHZKHUH
) $ GRRU RSHQLQJ VKDOO EH SURYLGHG LQ WKH EDVH RI WKH PDVW RI DGHTXDWH
GLPHQVLRQV WR SHUPLW FOHDU DFFHVV WR HTXLSPHQW QDPHO\ &RQWURO *HDUV DQG
&XWRXWV FRPSOHWHZLWK D FORVH ILWWLQJ ZHDWKHUSURRI GRRU KDYLQJ D KHDY\ GXW\
ORFN7KH GRRUVHDPWLJKWQHVVVKDOOFRQIRUPWR,3VWDQGDUG 7KH RSHQLQJ
VKDOOEHDGHTXDWHO\UHLQIRUFHGWRPDLQWDLQWKHVWUHQJWKRIWKHPDVW
* 7KHEDVHIODQJHVKDOOEHIUHHRIODPLQDWLRQVDQGWKHZHOGHGFRQQHFWLRQWRWKH
PDVW VKDOO IXOO\ GHYHORS WKH VWUHQJWK RI WKH VHFWLRQ  7KH EDVH SODWH VKDOO EH
PDQXIDFWXUHGDVSHUWKHORDGLQJUHTXLUHPHQWRUDVVSHFLILHGHOVHZKHUH
+ ,QVLGHHDFKPDVWWKHUHVKDOOEHDJDOYDQLVHGVWHHOHDUWKLQJEROWZLWKDGLDPHWHU
RI0
, 7KHHQWLUHPDVWDQGEUDFNHWVKDOOEHKRWGLSJDOYDQLVHGLQWHUQDOO\DQGH[WHUQDOO\
LQDFFRUGDQFHZLWK%6(1,62
- $OOFRPSRQHQWSDUWVRUIDVWHQHUVVKDOODOVRUHFHLYHWKHVDPHKRWGLSJDOYDQLVHG
WUHDWPHQW WKUHDGHG FRPSRQHQWV FHQWULIXJDOO\ VSXQ WR UHPRYH ORFDO H[FHVV RI
]LQF
. *DOYDQLVLQJ VKDOO EH SHUIRUPHG LQ VXFK D PDQQHU DV ZLOO SURYLGH D PLQLPXP
FRDWLQJZHLJKWRIJUVTPRIVXUIDFH PLQLPXPPLFURQV')7 
/ &RDWLQJ ZHLJKW VKDOO EH GHWHUPLQHG E\ D VXLWDEOH PDJQHWLF RU HOHFWURQLF
PHDVXULQJGHYLFH+RZHYHULQFDVHVRIGLVSXWHWKH(QJLQHHUPD\GLUHFWWKDWD
VWULSSLQJWHVWLQDFFRUGDQFHZLWK%6(1,62EHFDUULHGRXW
0 7KH FRQWUDFWRU VKDOO GHSXWHD 7HFKQLFLDQ DW VLWHWR GHPRQVWUDWH WKHDVVHPEO\
SURFHGXUHV
1 7KHPDVWVKDOOEHKLQJHGDSSUR[LPDWHO\PLGZD\DERYHWKHEDVHVRWKDWLWPD\
EH UDLVHGORZHUHG E\ PHDQV RI H[WHUQDOO\ RSHUDWHG URSH DQG FRXQWHU ZHLJKW
7KHURSHVKDOOEHSRUWDEOHDQGWREHHDVLO\GHWDFKDEOHIRUXVHZLWKRWKHUKLJK
PDVWV
2 7KHFRQWUDFWRUVKDOODIIRUGHYHU\IDFLOLW\IRUWKHLQVSHFWLRQRIWKHPDVWDQGVKDOO
FDUU\ RXW WHVWV RQ PDWHULDOV DQG ZHOGV DVPD\ EH LQVWUXFWHG E\ WKH (QJLQHHU
DQGWKH(PSOR\HU0DWHULDOVRUZRUNPDQVKLSZKLFKDUHQRWLQDFFRUGDQFHZLWK
WKH6SHFLILFDWLRQVKDOOEHUHSODFHGE\WKHFRQWUDFWRUDWKLVRZQFRVWDQGULVN
3 7KH PDVW VKDOO EH RI D VXLWDEOH GLPHQVLRQV WR DFFRPPRGDWH WKH FRQWURO JHDU
DQGFXWRXWLQWKHERWWRPFRPSDUWPHQW
4 7KHVSLQGOHRIPLGKLQJHGPDVWVKDOOEHVWDLQOHVVVWHHOJUDGH$,6,/

)HEUXDU\ 6HFWLRQ$ 5RDGVDQG7UDQVSRUW$XWKRULW\


57$5RDG/LJKWLQJ6SHFLILFDWLRQ

$OO EROWV QXWV ORFNLQJ VFUHZV DQG GRRU FKDLQ VKDOO EH VWDLQOHVV VWHHO *UDGH
5
$,6,/
6 &RSSHU EUDLG IRU HOHFWULFDO FRQGXFWLYLW\ WR EH SURYLGHG EHWZHHQ IL[HG DQG
PRYDEOHVHFWLRQV
7 7KH PDVW VKDOO KDYH D VSHFLDO DUUDQJHPHQW LQ RUGHU WR LPSRVH QR VWUHVV RU
SXOOLQJIRUFHXSRQWKHPDVWLQWHUQDOFDEOLQJ
8 $W PLGKLQJHG SRLQW WKHUH VKDOO EH DUUDQJHPHQWV WR SUHYHQW LQJUHVV RI ZDWHU
PRLVWXUHDQGGXVW 0LQLPXP,3 
9 6WDLQOHVV VWHHO URG RI JUDGH $,6, / VKDOO EH SURYLGHG IRU VOLS MRLQW
DGMXVWPHQW
: 7KH FDEOHV VXSSRUW SODWH DW PLGKLQJHG SRLQW VKDOO EH SURYLGHG WR VHFXUH WKH
ODQWHUQZLUHWRHOLPLQDWHDQ\VWUHVVRQSRZHUFDEOHV
; 3URYLVLRQ RI VHFXULQJ WKH PRYDEOH SDUW ZLWK WKH IL[HG SDUW LQ ORZHUHG SRVLWLRQ
VKDOOEHPDGHE\XVLQJKRRNVDQGURSH
< $OO FDOFXODWLRQV VKRZLQJ WKH PD[LPXP IRUFHV HQFRXQWHUHG LQ WKH PDVW ZKLOH
ORZHULQJRUUDLVLQJWKHPDVWWREHVXEPLWWHG
= $OO FDOFXODWLRQV VKRZLQJ WKH PD[LPXP IRUFHV RQ WKH IRXQGDWLRQ DQG WKH PDVW
KROGLQJGRZQEROWVZKLOHORZHULQJRUUDLVLQJWKHPDVWWREHVXEPLWWHG
$$ $OO FDOFXODWLRQV VKRZLQJ WKH IRUFHV HQFRXQWHUHG E\ WKH ZLQG ORDGLQJ WR EH
VXEPLWWHGDQGWKHIRUFHVRFFXUULQJRQWKHKROGLQJGRZQEROWVWREHVXEPLWWHG
%% $ $OOFDOFXODWLRQVVKRZLQJWKHPD[WRSIOH[DWLRQXQGHUJLYHQZLQGORDG[
&& $OOFDOFXODWLRQVVKRZLQJWKHPD[LPXPIRUFHVDQGSUHVVXUHHQFRXQWHUHGE\WKH
PDVWUDLVLQJDQGORZHULQJHTXLSPHQWGXULQJRSHUDWLRQWREHVXEPLWWHG
'' 'HWDLOVRIWKHSRZHUVXSSO\FDEOHWHQVLRQUHOHDVHIDFLOLW\LQWKHWRSRIWKHPDVW
WREHVXEPLWWHG
$ +LJK0DVW*HQHUDO
/LJKWLQJPDVWKHLJKWVKDOOEHDVVKRZQRQWKHGUDZLQJVRUVSHFLILHGHOVHZKHUH
$
0DVWVKDOOEHHTXLSSHGZLWKDPRELOHFURZQDUUDQJHPHQW
$ 6WUXFWXUH$QG&RQVWUXFWLRQ
$ 7KHPDVWVKDOOQRWEHPRUHWKDQVHFWLRQRWKHUWKDQWKHOXPLQDLUHVFDUULDJH
IRUKLJKPDVWV
% 7KHPDVWVKDOOEHVXLWDEOHIRUVXSSRUWLQJWKHDUUD\RIODQWHUQV
& 7KH FROXPQ VKDIW VKDOO KDYH D SRO\JRQDO FURVVVHFWLRQ FRQWLQXRXVO\ WDSHUHG
DQGORQJLWXGLQDOO\ZHOGHG 7KHZHOGLQJRIWKHVWHHOFROXPQVKDOOEHPHWDODUF
ZHOGLQJ FRPSO\LQJ WR WKH SURYLVLRQ RI %6 (1   1R FLUFXPIHUHQWLDO ZHOG
VKDOOEHDFFHSWHG
' 7KHVKDIWVKDOOEHPDQXIDFWXUHGDQGIDEULFDWHGIURPDKLJKVWUHQJWKVWUXFWXUDO
PLOG VWHHO SODWH VLQJOH WKLFNQHVV ZLWKRXW ODPLQDWLRQV FRPSO\LQJ ZLWK WKH
UHTXLUHPHQWVRI%6(1FXWDQGIROGHGWRIRUPDSRO\JRQDOVHFWLRQ
( 7KH VKDIW VKDOO EH GHOLYHUHG LQ VHSDUDWH VHFWLRQV WR EH DVVHPEOHG RQ VLWH E\
VOLSRQMRLQWV\VWHP
) 7KHVWHHOXVHGIRUWKHIDEULFDWLRQRIWKHVKDIWVKDOOEHRIPDWHULDOFRPSO\LQJWR
%6(1ZHOGDEOHVWUXFWXUDOVWHHO6DJLQJUHVLVWDQWDQGVXLWDEOHIRU
KRWGLSJDOYDQLVLQJ
* $OO PDVW VKDIWV VKDOO EH SURYLGHG ZLWK VXEVWDQWLDO ULJLG IODQJH SODWH ZLWK DQ
RSHQLQJIRUFDEOHHQWU\
+ 7KHSODWHVKDOOEHZHOGHGWRWKHVKDIWZLWK%XWWZHOGVWRRQHIURPLQVLGHDQG
WKHRWKHUIURPRXWVLGH7KHZHOGVKDOOEHPHWDODUFZHOGLQJFRPSO\LQJZLWKWKH
UHTXLUHPHQWVRI%6(1

)HEUXDU\ 6HFWLRQ$ 5RDGVDQG7UDQVSRUW$XWKRULW\


57$5RDG/LJKWLQJ6SHFLILFDWLRQ

, 7KHOXPLQDLUHVFDUULDJHZD\DQGWKHDQFKRUEROWVVKDOOEHIDEULFDWHGIURPVWHHO
FRQILUPLQJWR%6(16$QFKRUEROWWREHSURYLGHGZLWK1RVQXWV
1RVZDVKHUV
- 0DVW ZLWK OXPLQDLUH FDUULDJH DQG PRELOH ULQJ DQG ODQWHUQ VKDOO EH DEOH WR
ZLWKVWDQGDZLQGVSHHGRINPKULQFOXGLQJJXVWIDFWRU7KHGHVLJQORDGV
VKDOOPHHWWKHUHTXLUHPHQWRI%6(1
. 7KH 0DVW DQG YHUWLFDO SDUWV RI WKH DUPEUDFNHWV VKDOO EH FRQVWUXFWHG VWUDLJKW
7KH H[WHULRU VXUIDFHV RI WKH PDVW VKDOO EH IUHH IURP SURWXEHUDQFHV GHQWV
FUDFNVRURWKHULPSHUIHFWLRQV
/ 7KHOLJKWLQJPDVWWREHDGHTXDWHO\UHLQIRUFHGDQGVWUHQJWKHQHGDWWKHORFDWLRQ
RIWKHLQVSHFWLRQFRPSDUWPHQWRSHQLQJWRFRPSHQVDWHIRUORVVLQVHFWLRQRIWKH
PDVWDWWKLVSRLQW
0 7KH PDVWV VKDOO KDYH D EDVH FRPSDUWPHQW ZLWK D YDQGDO UHVLVWDQW GXVW DQG
ZDWHUSURRIGRRU
1 7KH GRRU RSHQLQJ VKDOO EH SURYLGHG LQ WKH EDVH RI WKH PDVW DQG LW VKDOO EH RI
DGHTXDWHGLPHQVLRQWRDOORZFOHDUDQGHDV\DFFHVVWRWKHHTXLSPHQWPRXQWHG
WKHUHLQ7KHGRRUVKDOOEHILWWHGZLWKDKHDY\GXW\ORFN$OOWKHPRYLQJSDUWVRI
WKH ORFNLQJ GHYLFH VKDOO EH VWDLQOHVV VWHHO *UDGH $,6, /  $Q DSSURYHG
UHIHUHQFHVHDOLQJJDVNHWVKDOOEHDIIL[HGWRWKHGRRURSHQLQJWRHQVXUHDZDWHU
SURRI DQG GXVW SURRI HQFORVXUH WR ,3   7KH EDVH SODWH VKDOO EH IUHH IURP
ODPLQDWLRQVDQGVKDOOEHIXOO\ZHOGHGWRWKHPDVWEDVH
$ 5$,6,1*/2:(5,1*&52:1+,*+0$676
$ /LJKWLQJ5HTXLUHPHQWV
$ 7KHJHQHUDOOLJKWLQJUHTXLUHPHQWVVKDOOEHDVVHWRXWRQWKHGUDZLQJV
% 7KHQXPEHUVORFDWLRQVW\SHVDQGDLPLQJDQJOHVRIOXPLQDLUHVDQGKLJKPDVWV
VKRZQ RQ WKH GUDZLQJV DUH LQGLFDWLYH RQO\  7KH ILQDO GHVLJQ VKDOO EH
GHWHUPLQHG E\ WKH FRQWUDFWRU IURP WKH PDQXIDFWXUHU
V SKRWRPHWULF GDWD  7KH
FDOFXODWLRQVVKDOO EH VXEPLWWHGWR WKH (QJLQHHU LQ WKH IRUP RI GUDZLQJV RI WKH
URDGZD\ V\VWHP RYHUSULQWHG ZLWK SROHPDVW SRVLWLRQV VKRZLQJ LOOXPLQDQFH
OHYHOVDQGRYHUDOOLOOXPLQDQFHXQLIRUPLW\

$ /RZHULQJ$QG5DLVLQJ'HYLFHV
$ 7KH ORZHULQJ UDLVLQJ GHYLFH ZLWK ODWFKLQJ PHFKDQLVP DOORZV IRU ORDG WR EH
UHPRYHGIURPKRLVWLQJXQLWZKHQOXPLQDLUHVULQJLVODWFKHGLQ
% 7KHORZHULQJDQGUDLVLQJV\VWHPVKDOOFRQVLVWRIEXWQRWOLPLWHGWR
L 'ULYLQJ+HDG
LL 0RELOH5LQJ
LLL +RLVWLQJ8QLW
& 'ULYLQJ+HDG
L 7KH GULYLQJ KHDG VKDOO EH PDGH RI KRW GLS JDOYDQLVHG VWHHO UHIHU WR
&ODXVH%DERYH DQGVKDOOEHIL[HGWRWKHWRSRIWKHSODWHE\DIODQJH
VHFXUHGWRWKHPRVWWRSE\DWOHDVWEROWV
LL 7KH GULYLQJ KHDG VKDOO EH SUHDVVHPEOHG DQG WHVWHG LQ WKH IDFWRU\
SULRU WR VKLSPHQW DQG VXSSOLHG FRPSOHWH ZLWK  VWDLQOHVV VWHHO URSHV
*UDGH $,6, /  DQG DVVRFLDWHG GRXEOHSXOOH\ DVVHPEOLHV DQG
HOHFWULFDO SRZHU FDEOH  (DFK VWHHO URSH DQG SRZHU FDEOH VKDOO KDYH
WKHLURZQ VHSDUDWH DUPKRXVLQJWKHSXOOH\V PDGH RI VWDLQOHVV VWHHO
JUDGH $,6, / PRXQWHG RQ VHOIOXEULFDWLQJ EDOO EHDULQJV DQG
VHDPOHVVD[OHV

)HEUXDU\ 6HFWLRQ$ 5RDGVDQG7UDQVSRUW$XWKRULW\


57$5RDG/LJKWLQJ6SHFLILFDWLRQ

LLL 7KHKRXVLQJFDEOHXQLWVVKDOOEHPDGHRIVWDLQOHVVVWHHOJUDGH$,6,
/(DFKFDEOHVKDOOKDYHD VDIHW\IDFWRURIQRWOHVVWKDQWLPHV
WKHVDIHZRUNLQJORDGRIZLQFK7KHKRLVWLQJFDEOHVVKDOOEHRIWKUHH
FRQQHFWRUVDOORZLQJUHJXODWLRQVIURPJURXQG
LY 7KUHH ODWFKLQJ VOHHYHV DVVXPLQJ FRUUHFW SRVLWLRQLQJ HQWHULQJ DQG
ORFNLQJRIWKHPRELOHSDUWRIWKHFURZQZKHQUDLVHGDQGORFNHGLQILQDO
SRVLWLRQVKDOOEHSURYLGHG
Y 7KH ORFNLQJ V\VWHP VKDOO WDNH XS YLEUDWLRQ IUHH DOO KRUL]RQWDO DQG
YHUWLFDO ORDGV RI WKH PRELOH SDUW RI WKH FURZQ HYHQ ZKHQ H[SRVHG
XQGHUWKHPRVWVHYHUHFOLPDWLFFRQGLWLRQV
YL 7KHWRSRIWKHGULYLQJKHDGVKDOOEHFRYHUHGZLWKDFDQRS\PDGHRI
PPWKLFNQHVVDOXPLQLXPVKHHW
YLL 7KHODWFKLQJDQGXQODWFKLQJRSHUDWLRQVVKDOOEHUHJXODWHGE\WZROLPLW
VZLWFKHVORFDWHGDWWKHEDVHRIWKHPDVWHDVLO\UHDFKDEOHWKURXJKWKH
LQVSHFWLRQGRRU
YLLL 7KH PRELOH SDUW LVIDVWHQHG LQ UDLVHG SRVLWLRQ WRWKHIL[HG SDUWRI WKH
KHDG JHDU E\ PHDQV RI  SRVLWLYH ODWFKLQJ V\VWHP SURWHFWHG DJDLQVW
FRUURVLRQ DQG WKH VXVSHQVLRQ FDEOHV VKDOO EH WHQVLRQ IUHH  %RWK
ODWFKLQJ V\VWHP DQG WKH VXVSHQVLRQ FDEOHV WR EH DSSURYHG E\ WKH
(QJLQHHU
L[ $OOEROWVQXWVDQGZDVKHUVRIWKHSROHVKDOOEHPDGHRIVWDLQOHVVVWHHO
JUDGH$,6,/
[ 7KHHOHFWULFDOSRZHUFDEOHVKDOOEHURXQGH[WUDIOH[LEOH9ROW
JUDGHZLWK(35LQVXODWLRQDQG+2)5RXWHUVKHDWKUDWHGIRUGHJ
&
[L 7KH\ VKDOO EH FDSDEOH RI ZLWKVWDQGLQJ WKH PHFKDQLFDO VWUHVVHV
SURGXFHG E\ WKH DQFKRULQJ DQG SXOOH\ V\VWHP DQG VKDOO EH VXLWDEO\
UDWHGWR FDUU\WKHPD[LPXPHOHFWULFDOORDGLQJ2XWHUVKHDWKVKDOOEH
VXLWDEOH IRU H[SRVXUH WR VWURQJ VXQOLJKW DQG D PDULQH HQYLURQPHQW
DQGVKDOOEHFRORXUHGEODFN
[LL $UUDQJHPHQWVVKDOOEHSURYLGHGWRHQVXUHWKDWWKHSRZHUFDEOHV DQG
VWDLQOHVV VWHHO ZLUH URSHV DUH VHSDUDWHG EHIRUH SDVVLQJ RYHU WKHLU
UHVSHFWLYHSXOOH\VDQGFORVHILWWLQJJXLGHVVKDOOSURWHFWWKHSXOOH\VWR
SUHYHQWURSHVDQGFDEOHVOHDYLQJWKHSXOOH\JURRYHV

$ 0RELOH5LQJ
L 7KH PRELOH ULQJ VKDOO EH IDEULFDWHG DQG FRDWHG DJDLQVW FRUURVLRQ
DFFRUGLQJWRWKHSROHVSHFLILFDWLRQ,WVKDOOEHFRPSOHWHZLWKODQWHUQVDQG
EUDFNHWVWRVXLWOLJKWLQJGHVLJQUHTXLUHPHQWVFRQVLVWLQJRIIORRGOLJKWVDQG
FRQWUROJHDUER[HV
LL 'XULQJ ORZHULQJ DQG UDLVLQJ RSHUDWLRQV WKH PRELOH ULQJ VKDOO VPRRWKO\
DQGZLWKRXWDQ\VLGHZDUGPRYHPHQWURWDWLRQVOLGHDORQJWKHVKDIWZLWK
JURXSVRISODVWLFUROOHUVDWGHJUHHV
LLL $OOEROWVQXWVDQGZDVKHUVRIPRELOHULQJVKDOOEHPDGHRIVWDLQOHVVVWHHO
JUDGH$,6,

)HEUXDU\ 6HFWLRQ$ 5RDGVDQG7UDQVSRUW$XWKRULW\


57$5RDG/LJKWLQJ6SHFLILFDWLRQ

$ +RLVWLQJ8QLW
L 6XLWDEOH QXPEHUV RI GUXP ZLQFKHV ZLWK EDVH IODQJHV IRU PRXQWLQJ RQ
KROGLQJGRZQEROWVVKDOOEHILWWHGLQWKHERWWRPRIPDVWIRURSHUDWLRQE\
KDQGDQGSRZHUWRROIRUUDLVLQJDQGORZHULQJWKHPRELOHULQJ7KHZLQFK
VKDOO EH ILWWHG ZLWK D IULFWLRQ ZLQFK FOXWFK UDWFKHW DQG SDZO DQG WKH
KDQGOH  6SLQGOHSODWH VKDOO KDYH D VDIHW\ SLQORFNLQJ GHYLFH  :LQFKHV
VKDOOEHWRWDOO\HQFORVHGWRH[FOXGHGXVWDQGEORZQVDQGIURPJHDUVDQG
RLOEDWKV
LL 7KHPRELOHULQJVKDOOEHUDLVHGDQGORZHUHGE\PHDQVRIUHPRWHFRQWURO
SXVKEXWWRQSDQHOER[0DZD\7KHFRQWUROER[VKDOOFRQIRUPWR,3
KHDY\ GXW\ DQWLFRUURVLRQ SURWHFWHG DJDLQVW 89 RI VXQOLJKW DQG VKDOO
KDYHSURSHUORFNLQJDUUDQJHPHQWV
LLL :LQFK SRZHU WRROV VKDOO EH SRUWDEOH PXOWLVSHHG UHYHUVLEOH XQLWV
LQFRUSRUDWLQJ D WRUTXH OLPLWLQJ GHYLFH  7KH\ VKDOO EH VXSSOLHG ZLWK D
IOH[LEOHVXSSO\FDEOHDQGDUHPRWHFRQWUROVZLWFKWRDOORZZLQFKHVWREH
RSHUDWHG IURP D GLVWDQFH RI  PHWHUV  $ VXSSRUWLQJ V\VWHP VKDOO EH
SURYLGHG WR VHFXUHO\ ORFDWH SRZHU WRROV GXULQJ RSHUDWLRQ  3RZHU WRROV
VKDOO EH UDWHG WR UDLVH WKH FURZQ IURP JURXQG WR PDVW WRS LQ QRW PRUH
WKDQPLQXWHV
$ 2QHVSDUHZLQFKSRZHUWRROVHWVKDOOEHKDQGHGRYHUWRWKH(QJLQHHURQ
FRPSOHWLRQRIWKHFRQWUDFW

$ (OHFWULFDO(TXLSPHQW
$ 7KH GULYLQJ KHDG VKDOO EH GHVLJQHG WR DFFRPPRGDWH D URXQG SRZHU FDEOH
3OXJVDQGVRFNHWVVKDOOFRPSO\ZLWK,(&DQG,(&
% ,QWHUQDO FRQWURO SDQHOV ZLWKLQ PDVW EDVHV VKDOO LQFRUSRUDWH D PDLQ FLUFXLW
EUHDNHUIRULVRODWLRQRIPDLQSRZHUDQGRXWJRLQJ0&%VIRUWKHULVLQJPXOWLFRUH
FDEOHV7KH\VKDOOKDYHWKHIDFLOLW\IRUWHUPLQDWLQJLQFRPLQJSRZHUFDEOHVDQG
VKDOO EH ILWWHG ZLWK ZHDWKHUSURRI SOXJ DQG VRFNHW DUUDQJHPHQW WR DOORZ
FRQQHFWLRQ RI WKH ULVLQJ PXOWLFRUH FDEOHV  &RQWURO SDQHOV VKDOO EH FRPSOHWH
ZLWKD$9ZHDWKHUSURRIVRFNHWDQG(/&%RIDSSURSULDWHUDWLQJWRVXSSO\
WKH ZLQFK SRZHU WRRO  &RQWURO SDQHOV VKDOO UHFHLYH SURWHFWLYH WUHDWPHQW DV
VSHFLILHGDQGVKDOOEHVHDOHGWR,3RI%6
& 2QWKHPRELOHULQJDZHDWKHUSURRI ,3JUDGHRISURWHFWLRQ GLVWULEXWLRQER[
PDGH RI  PP WKLFN DOXPLQLXP VKHHW KRXVLQJ WKH WHUPLQDO FODPSV DQG D
SRZHUHGVRFNHWZLWKFDEOHIRUIORRGOLJKWVJURXQGWHVWVKDOOEHSURYLGHG7KH
SURWHFWLYHWUHDWPHQW RI WKHGLVWULEXWLRQ ER[ VKDOOEH DVVSHFLILHG HOVHZKHUH IRU
RWKHUSDQHOV
' $OOFDEOHJODQGVVKDOOEHPDGHRIEUDVVFRQIRUPLQJWR%6
( 7KH FRQWUDFWRU VKDOO VXSSO\ DQG LQVWDOO  PP   FRUHEXW\O UXEEHU LQVXODWHG
DQG VKHDWKHG IOH[LEOH FRUGV WR EH SXOOHG WKURXJK IOH[LEOH FRQGXLWV IRU WKH
FRQQHFWLRQV EHWZHHQ WHUPLQDO ER[HV FRQWUROJHDU ER[HV DQG LQGLYLGXDO IORRG
OLJKWILWWLQJV
) $Q HDUWKLQJ WHUPLQDO VKDOO EH SURYLGHG ZLWKLQ WKH PDVW EDVH ORFDWHG VR WKDW
HDV\ DFFHVVIRUFRQQHFWLRQGLVFRQQHFWLRQRIWKHFRSSHUHDUWKLQJWDSHVFDQEH
DFKLHYHG

)HEUXDU\ 6HFWLRQ$ 5RDGVDQG7UDQVSRUW$XWKRULW\


57$5RDG/LJKWLQJ6SHFLILFDWLRQ

$ :DUQLQJ/DEHOV
$7R DYRLG ZURQJ RSHUDWLRQV WKH VXSSOLHU VKDOO SXW LQVLGH WKH LQVSHFWLRQ GRRU
FRYHUZDUQLQJODEHOVLQ$UDELFDQG(QJOLVKODQJXDJH
$ 0LVFHOODQHRXV5HTXLUHPHQWV
$2IIHUHG PDWHULDO VKDOO EH VXSSOLHG H[DFWO\ DV LQGLFDWHG RQ VSHFLILFDWLRQV DQG
GUDZLQJV
% 6KLSPHQWZLOOEHDOORZHGRQO\DIWHUWKHDSSURYDORIWKH(QJLQHHU
& 2Q FRPSOHWLRQ RI LQVWDOODWLRQ H[SRVHG QXWV DQG EROW KHDGV RI KROGLQJ GRZQ
EROWVVKDOOEHFDSSHGZLWKJUHDVHILOOHG839&FDSV
$ 6XEPLWWDOUHTXLUHPHQWV
$ 7KH FRQWUDFWRU VKDOO VXEPLW IRU DSSURYDO WKH IROORZLQJ GHVLJQ SDUDPHWHUV
FDOFXODWLRQV DQG GDWD SULRU WR WKH IDEULFDWLRQ RI DQ\ SDUW RI WKH PDVWV RU
EUDFNHWV
L *HQHUDO GLPHQVLRQV RI DOO FRPSRQHQWV RI WKH PDVW LQFOXGH PRXQWLQJ
PRELOHULQJDQGPXOWLSOHOXPLQDLUHVDUUD\
LL 'HWDLOHG VFDOHG GUDZLQJV RI ERWK PDVW DQG OXPLQDLUHV PRXQWLQJ
EUDFNHWV
LLL 'HWDLOV RI WKH IL[LQJ DQG ORFNLQJ V\VWHP EHWZHHQ WKH PDVW DQG WKH
OXPLQDLUHVPRXQWLQJEUDFNHW
LY 7KH WRWDO PD[LPXP ORDG PRPHQWV IRU HDFK VHFWLRQ XQGHU PD[LPXP
VWUHVVHV
Y &RPSXWDWLRQ RI VWUHVVHV LQ WKH EDVH SODWH DQG DQFKRU EROWV  XQGHU
PD[LPXPZLQGORDGZLWKPD[LPXPQXPEHURIOXPLQDLUHVLQSODFH
YL 0D[LPXPGHIOHFWLRQDWWKHWRSRIWKHPDVWXQGHUFRQGLWLRQVDQGZLQG
YHORFLW\PHQWLRQHGHDUOLHU
YLL 6XSSOLHU PD\ VXEPLW DQ\ QHZ WUHDWPHQW PHWKRG IRU H[WUD SURWHFWLRQ
DJDLQVW FRUURVLRQ RI WKHEDVH SODWHDUHDDQG XSWR WKH KHLJKW RI 
PP
YLLL 'HWDLO FDOFXODWLRQV RI WKH QHFHVVDU\ VWUHQJWK IRU DQFKRU EROWV WR EH
XVHG
L[ 0HDQVRIDVVHPEOLQJRIPDVW
VVHFWLRQVVKDOOEHLQGLFDWHGLQGHWDLOV
[ ,PSDFW UHVLVWDQFH FDOFXODWLRQV DW D KHLJKW RI RQH PHWHU DERYH WKH
EDVHSODWHRIWKHFROXPQ
[L 0D[LPXP WROHUDEOH LPSDFW FDOFXODWLRQV WR VKHDU WKH SODWH IURP WKH
PDVWDQGIURPDQLPSDFWSRLQWRQHPHWHUDERYHWKHIODQJHSODWH
[LL 0DWHULDOVVSHFLILFDWLRQIRUHDFKSDUWVRIWKHFROXPQ

$ 7HVW&HUWLILFDWH
$ 7KH FRQWUDFWRU DQGPDQXIDFWXUH WR SURYLGHZLWKHDFKPDVW DGHWDLOHGWHVW
FHUWLILFDWH
L IRUPDVWVKDIWPDWHULDOVDQGDFFHVVRULHV
LL IRUWKHHOHFWULFDOSRZHUVXSSO\V\VWHP
LLL IRUWKHKRLVWV\VWHP
LY IRUJDOYDQLVDWLRQFRDWLQJZHLJKWDQGFRPSRQHQWFRPSRVLWLRQDQG
Y IRUDQFKRUEROWVQXWVDQGZDVKHUVIRUERWKPDWHULDODQGJDOYDQLVDWLRQ

)HEUXDU\ 6HFWLRQ$ 5RDGVDQG7UDQVSRUW$XWKRULW\


57$5RDG/LJKWLQJ6SHFLILFDWLRQ

$ ,PSRUWDQW1RWH
$ 7KH FRQWUDFWRU VKDOO SURYLGH WKH (QJLQHHU ZLWK D ZULWWHQ JXDUDQWHH WKDW WKH
KRLVWLQJDQGODWFKLQJV\VWHPVXVHGLQWKHPDVWVKDOOZRUNPDLQWHQDQFHIUHHIRU
DSHULRGRIDWOHDVW\HDUVIURPGDWHRIFRPPLVVLRQLQJ
57$UHVHUYHVWKHULJKWWRUHFODLPIURPFRQWUDFWRUDQ\FRVWLQYROYHGIRUUHSDLURUUHSODFHPHQWRI
DQ\LWHPUHODWHGWRWKHKRLVWLQJDQGODWFKLQJV\VWHPXVHGGXULQJWKHWZHQW\\HDUVSHULRG

$ +RW'LS*DOYDQLVLQJ
$ 7KH SROHV IODQJH SODWHV EDVH SODWH GRRUV OXPLQDLUH FDUULDJH DQFKRU EROWV
QXWVDQGZDVKHUVVKDOOEHSURWHFWHGDJDLQVWFRUURVLRQIURPLQVLGHDQGRXWVLGH
% 7KH RSHUDWLRQ VKDOO FRQVLVW RI GLSSLQJ WKH VWHHO SDUWV LQWR D ]LQF EDWK DW D
WHPSHUDWXUH RI  GHJ & DIWHU FRPSOHWLRQ RI WKH WUHDWHG FRPSULVLQJ RI
GHJUHDVLQJ SLFNOLQJ ULQVLQJ IOX[LQJ DQG GU\LQJ VHSDUDWHO\  7KH JDOYDQLVLQJ
VKDOOEHPDGHLQDFFRUGDQFHZLWKWKHUHTXLUHPHQWVRI%6(1,62 7KH
PLQLPXP DYHUDJH]LQF FRDWLQJ ZHLJKW RQ RQH VLGH VKDOO QRW EH OHVV WKDQ 
JP DQGQRWOHVVWKDQPLFURQ
& 0DVWVVKDOOEHILQLVKHGDQGSDLQWHGDVVSHFLILHGHOVHZKHUH

$ $OXPLQLXP3ROHV
 6KDOOEHLQDFFRUGDQFHZLWK%6(1
 $OXPLQLXPSROHVVKDOOEHPDGHRIRUEHWWHU*UDGHDOXPLQLXPZLWK7
RU7WHPSHU
 7KHEDVHSODWHVVKDOOEHPDGHRI*UDGHUROOHGDOXPLQLXPSODWHV
 7KHEDVHVKDOOEHLQVXODWHGIURPWKHVWHHOKROGLQJGRZQEROWVDQGFRQFUHWH
IRXQGDWLRQ
 $QRGLFR[LGDWLRQFRDWLQJVVKDOOEHLQDFFRUGDQFHZLWK%6(1,62
 7KH DOXPLQXP SROH DQG FRPSRQHQW PDWHULDOV VKDOO EH LQ DFFRUGDQFH ZLWK
WKHIROORZLQJ
L 3ROHV H[WUXGHG %6(1DOOR\7
LL $UPWXEHH[WUXVLRQV%6(1DOOR\7
LLL 3ROHFRQQHFWLRQH[WUXVLRQVEDUVDQGSODWHV$670%DOOR\
7
LY 6KRH EDVH FDVWLQJ $670 %%0 RU $670 %%0 DOOR\
7
Y $OXPLQLXPFDSVDQGFRYHUV$670%%0)
YL )UDQJLEOH WUDQVIRUPHU EDVH FDVWLQJ $670 %%0 RU $670
%%0DOOR\7
YLL :HOGPHWDO(5
YLLL $QFKRUEROWV$670)*UDGH
L[ 6KRHEDVHFRQQHFWLRQEROWV$670))07\SH
[ 1XWVIRUFRQQHFWLRQDQGDQFKRUEROWV$670$*UDGH'+
[L :DVKHUVIRUFRQQHFWLRQDQGDQFKRUEROWV$670)7\SH
[LL $OXPLQLXP DOOR\  VKDOO EH IXUQLVKHG LQ 7 FRQGLWLRQ DQG KHDW
WUHDWHG LQ DFFRUGDQFH ZLWK $670 %%0DQG $670
%%0
[LLL 6KRHEDVHFRQQHFWLRQEROWVDQFKRUEROWVQXWVDQGZDVKHUVVKDOOEH
JDOYDQL]HGLQDFFRUGDQFHZLWK$670$$0

)HEUXDU\ 6HFWLRQ$ 5RDGVDQG7UDQVSRUW$XWKRULW\


57$5RDG/LJKWLQJ6SHFLILFDWLRQ

[LY /RFN ZDVKHUV VKDOO EH JDOYDQL]HG LQ DFFRUGDQFH ZLWK $670 %
&ODVV
[Y $ GHVLJQ ZLQG VSHHG RI NPSK ZLWK D  JXVW IDFWRU IRU ZLQG
ORDGLQJRQWKHSROHVKDOOEHLQFOXGHGLQWKHGHVLJQ
[YL 7KHSROHVKDOOEHIUHHRIWUDQVYHUVHZHOGVH[FHSWDWWKHEDVH
[YLL 3ROHV FRQVWUXFWHG RI WZR RU PRUH VHFWLRQV ZLWK RYHUODSSLQJ VSOLFHV
VKDOOQRWEHSHUPLWWHG
[YLLL $OOZHOGLQJVKDOOEHLQDFFRUGDQFHZLWK$16,$:6'
[L[ $OOR\  VKDOO EH VXLWDEOH IRU DOO FRQYHQWLRQDO ZHOGLQJ PHWKRGV
:HOGLQJ ZLUH VKDOO EH DOOR\  :KHQ PD[LPXP HOHFWULFDO
FRQGXFWLYLW\LVUHTXLUHGXVHDOOR\)RUVWUHQJWKDQGFRQGXFWLYLW\
XVH DOOR\  DQG LQFUHDVH WKH VL]H RI WKH ZHOG WR FRPSHQVDWH IRU
WKHORZHUFRQGXFWLYLW\

$ /LJKW&ROXPQV:DUUDQWLHV
$ \HDUV¶ VWDQGDUG ZDUUDQW\ VKDOO EH SURYLGHG IRU WKH OLJKWLQJ FROXPQ PDVW
PDWHULDO
%  \HDUV¶ VWDQGDUG ZDUUDQW\ VKDOO EH SURYLGHG IRU WKH OLJKWLQJ FROXPQ PDVW
JDOYDQL]LQJFRDWLQJ
& 7KHVWUXFWXUDOGHVLJQRIWKHPDVWVVKDOOEHWHVWHGLQDFFRUGDQFHZLWK%6(1
   7HVW FHUWLILFDWHV IURP LQGHSHQGHQW DSSURYHG ERGLHV VKDOO EH
VXEPLWWHGIRUDSSURYDOE\WKH(QJLQHHU
' $VVHPEO\RIPDVWVVKDOOEHLQDFFRUGDQFHZLWKWKHPDQXIDFWXUHU
VLQVWUXFWLRQV
$ 675((7/,*+7,1*/80,1$,5(6$1')/22'/,*+76 )RU([LVWLQJ
,QVWDOODWLRQV
7KHOXPLQDLUHVDQGIORRGOLJKWVVKDOOEHGHVLJQHGWRUHFHLYHRQHKLJKSUHVVXUH
$
VRGLXP DQGRU PHUFXU\ ODPS ZLWK LQWHUQDO FRQWURO JHDU QHFHVVDU\ IRU WKH
RSHUDWLRQRIWKHODPS/XPLQDLUHVVKDOORSHUDWHRQ9ROWV$&DW
+]$OOOXPLQDLUHVVKDOOKDYH4XLFNUHVSRQVH 45 FRGHWKDWJHQHUDWHV
EXW QRW OLPLWHG WR 0DQXIDFWXUHU GDWH RI SURGXFWLRQ RULJLQ GULYHU ZDWWDJH
YROWDJHVSDUHSDUWV
% 7KHVWUHHWOLJKWLQJOXPLQDLUHVDQGIORRGOLJKWVVKDOO IROORZWKHSURYLVLRQVRIWKH
ODWHVWYHUVLRQVRIWKHIROORZLQJVWDQGDUGV
$ +36URDGOLJKWLQJDQG)ORRG/LJKW/XPLQDLUHV ,QFDVHUHTXHVWHGE\57$
$ )ORRG OLJKWLQJ OXPLQDLUHV VKDOO EH RI WKH KLJK SUHVVXUH VRGLXP W\SH DQG ZLWK
LQWHUQDOO\ KRXVHG FRQWUROJHDU ZLWK DSSURSULDWH OHQV DQG UHIOHFWRU  (DFK
OXPLQDLUH VKDOO KRXVH DSSURSULDWH /DPS ZDWWDJH DVVRFLDWHG FRQWURO JHDU DQG
SRZHU IDFWRU FRUUHFWLRQ FDSDFLWRU WR DFKLHYH WKH OXPLQDQFH OHYHO UHTXLUHG
EHQHDWKIO\RYHUV/XPLQDLUHVVKDOORSHUDWHRQ9ROWV$&DW+]

% &RPSOHWH FRQWURO JHDU DV SHU %6 (1   PRXQWHG RQ HDV\
UHPRYDEOH HTXLSPHQW PRXQWLQJ ERDUG KRXVHG LQ D VHSDUDWHO\ PRXQWHG
ZHDWKHUSURRIER[RQWKHIUDPH(DFKVHW RIFRQWUROJHDUVKDOOEHVHSDUDWHO\
IXVHG DW WKH PDVW KHDG ZLWK  DPS 0&%  7KH FRQWURO JHDU ER[HV VKDOO EH
PDGHRIPPWKLFNDOXPLQLXPVKHHWDQGVKDOOUHFHLYHHSR[\SRZGHUFRDWLQJRQ
ERWK LQVLGH DQG RXWVLGH VXUIDFHV  7KH ER[ GRRU VKDOO KDYH SRO\PLGH W\SH
KLQJHV DQG WZR $OHQ NH\ W\SH ORFNLQJ GHYLFHV PDGH RI VWDLQOHVV VWHHO JUDGH
$,6,/
& $QDSSURYHGORFNLQJGHYLFHVKDOOEHSURYLGHGZLWKOXPLQDLUHVWRDOORZWKLVWREH
ORFNHGLQLWVVHWSRVLWLRQ

)HEUXDU\ 6HFWLRQ$ 5RDGVDQG7UDQVSRUW$XWKRULW\


57$5RDG/LJKWLQJ6SHFLILFDWLRQ

' &RQWURO RI XQGHUEULGJH IORRG OLJKWV VKDOO EH IURP WKH QHDUHVW URDG OLJKWLQJ
FRQWUROSDQHO&DEOLQJWROXPLQDLUHVVKDOOEHFRQFHDOHGLQ GXFWV DQGFRQGXLWV
FDVWLQWRVWUXFWXUHVZLWKVXLWDEOHMXQFWLRQER[HVDWFKDQJHVRIGLUHFWLRQ
( &RQVWUXFWLRQ
7KHOXPLQDLUHVDQGIORRGOLJKWVVKDOO DFFRPPRGDWHODPSVZLWKFDSEDVH(
VL]HDVFRPSOHWHZLWKWKHIROORZLQJDVVHPEO\
L ,QMHFWHG PRXOGHG VLOLFRQ DOXPLQLXP DOOR\ FDVWLQJ ERG\ LQ WZR
FRPSDUWPHQWVDVSHU&ODXVH$VHFWLRQ%63DUW
LL 6XSHU SXULW\ RQH SLHFH DOXPLQLXP UHIOHFWRU RI JUDGH 6 RI %6 
ZLWK DQ DQRGLF FRDWLQJ RI QRW OHVV WKDQ JUDGH $$ RI %6 (1

LLL 6WURQJ YHU\ KLJK WKHUPDOO\ UHVLVWDQW DQG PHFKDQLFDOO\ WUDQVSDUHQW
SURWHFWRU7KHSURWHFWLYHERZORUGLIIXVHUVKDOOEHPDGHRIWRXJKHQHG
JODVV
LY 1HRSUHQHJDVNHWVRUKLJKTXDOLW\IHOWJDVNHWVVLOLFRQ
Y 6WDLQOHVVVWHHOKLQJHVPRXQWLQJFOLSVDQGIDVWHQLQJEROWV*UDGH$,6,
/
YL 0RYDEOH SRUFHODLQ ODPS KROGHU ZLWK SRVLWLRQ PDUNLQJV DQG
DQWLYLEUDWLRQIL[DWLRQGHYLFH
YLL &RPSOHWHFRQWUROJHDU DVSHU%6(1 PRXQWHGRQHDV\
UHPRYDEOHHTXLSPHQWPRXQWLQJERDUG
YLLL 7ZRDGMXVWDEOHFDEOHHQWULHV
L[ $WHUPLQDOEORFNIRUWKHFRQQHFWLRQRILQFRPLQJVXSSO\FDEOHVVKDOOEH
SURYLGHG LQ OXPLQDLUHV LQFRUSRUDWLQJ DX[LOLDULHV DQG VKDOO EH VLWXDWHG
DVFORVHDVSRVVLEOHWRWKHSRLQWRIHQWU\RIWKHVXSSO\FDEOHDQGVKDOO
EHUHDGLO\DFFHVVLEOH
[ $PHDQVRIFODPSLQJWKHHOHFWULFDOVXSSO\FDEOHVVKDOOEHSURYLGHGLQ
WKHODQWHUQZKHUHQHFHVVDU\WR UHOLHYH WKHWHUPLQDWLRQRIVWUDLQ7KH
FDEOHFODPSDUUDQJHPHQWVKDOOQRWGDPDJHWKHLQVXODWLRQRIWKHFDEOH
[L 3URWHFWLYHVKHDWKIRUSRZHUVXSSO\FDEOHDQGH[SDQGDEOHQ\ORQFDEOH
JULSIRUZLULQJFRQIRUPLQJWR%6
[LL %UDVVHDUWKWHUPLQDOVHWLQKRXVLQJ
[LLL &RYHU IRU WKH FRQWURO JHDU FRPSDUWPHQW VKDOO EH VDPH DV WKDW
LQGLFDWHGDWLWHP%GHVFULEHGDERYH
[LY 7KH ODPS FDSVDQG WKH ODPSKROGHUV VKDOO PHHW WKH UHTXLUHPHQWV RI
%6 3DUW DQG%6 3DUW UHVSHFWLYHO\
) 0HFKDQLFDO5HTXLUHPHQWV
L /XPLQDLUH VKDOO EH ZLWK VHSDUDWH FRPSDUWPHQWV IRU WKH RSWLFDO V\VWHP
DQGIRUWKHFRQWUROJHDU
LL 7KHWLJKWQHVVRIWKHRSWLFDOFRPSDUWPHQWVKDOOEH,3DFFRUGLQJWRWKH
,(&  7KLV WLJKWQHVV GHJUHH VKDOO EH DFKLHYHG E\ WKH XVH RI
QHRSUHQHJDVNHWVRUVLOLFRQJDVNHW7KHGHVLJQRIWKHOXPLQDLUHVKDOOEH
VXFK WKDW WKHVHDOLQJ JDVNHW ZLOO QHYHU EHH[SRVHGWR VXQOLJKW RU WR WKH
OXPLQRXVIOX[HPLWWHGE\WKHODPS
LLL 7KH WLJKWQHVV RI WKH FRQWURO JHDU FRPSDUWPHQW VKDOO EH ,3 RU EHWWHU
DFFRUGLQJWRWKH,(&VWDQGDUG
LY 7KHRSHQLQJRIWKHFRQWUROJHDUFRPSDUWPHQWVKDOODOORZDFRPSOHWHDQG
HDV\ YLVXDO FKHFN RI DOO HOHFWULFDO SDUWV DQG VKDOO EH VXLWDEOH IRU HDV\
DFFHVVDQGHDV\PDLQWHQDQFH

)HEUXDU\ 6HFWLRQ$ 5RDGVDQG7UDQVSRUW$XWKRULW\


57$5RDG/LJKWLQJ6SHFLILFDWLRQ

Y 7KHPHFKDQLFDOVWUHQJWKRIWKHERG\LWVDFFHVVRULHVDQGWKHSURWHFWRURI
WKH OXPLQDLUH VKDOO EH VXIILFLHQW WR ZLWKVWDQG ZLWKRXW DQ\ GDPDJH WKH
GURSWHVWDVSHU%6(1 3DUW(D
YL 7KH OXPLQDLUH VKDOO EH DEOH WR ZLWKVWDQG ZLWKRXW DQ\ GDPDJH D ZLQG
VSHHGRINPKLQFOXGLQJJXVWIDFWRU
YLL 6SHFLDOSUHFDXWLRQVVKDOOEHJLYHQWRWKHFKRLFHRIPDWHULDOVZKLFKVKDOO
EH DEOH WR UHVLVW ZLWKRXW DQ\ GDPDJH RU DJLQJ RU DOWHUDWLRQ LQ LWV
VWUXFWXUDO RU SK\VLFDO SURSHUWLHV WKH VHYHUH *XOI FOLPDWLF FRQGLWLRQV DV
LQGLFDWHGXQGHU&ODXVHLQDGGLWLRQWRWKHKHDWHPLWWHGE\WKHODPS
YLLL )L[LQJVKDOOEHRIDQHIIHFWLYHORFNLQJPHDQVXVLQJVWDLQOHVVVWHHOEROWV
L[ 7KH ZHLJKW RI WKH OXPLQDLUH LQFOXGLQJ SURWHFWRU FRYHU DQG FRQWURO JHDU
VKDOOQRWH[FHHGNJ
[ 7KHOXPLQDLUHLQJHQHUDOVKDOOFRPSO\ZLWKWKHUHTXLUHPHQWVPHQWLRQHGDW
%6(1
[L $OOIL[LQJV ZKLFKFDUU\WKHZHLJKWRIWKHODQWHUQDQGLQWHUQDODFFHVVRULHV
VKDOO EH SURYLGHG ZLWK VXLWDEOH ORFNLQJ GHYLFHV WR SUHYHQW WKH
GLVORGJHPHQWRIDQ\SDUWRIWKHODQWHUQE\YLEUDWLRQHLWKHULQVHUYLFHRULQ
PDLQWHQDQFH  &RPSOLDQFH VKDOO EH FKHFNHG DV SHU %6 (1 
DQG3DUW(DWR(I
* (OHFWULFDO5HTXLUHPHQWV
L 3URYLVLRQ IRU RQH ODPS IRU HDFK ODQWHUQ VKDOO EH PDGH  7KH HOHFWULFDO
DFFHVVRULHV VXFK DV EDOODVWV LJQLWRUV DQG FDSDFLWRUV VKDOO EH SUHZLUHG
DQG SUHDVVHPEOHG RQ PHWDOOLF VXSSRUWV WKDW DUH IL[HG LQWR WKH FRQWURO
JHDUFRPSDUWPHQW
LL 6SHFLDO FDUH VKDOO EH WDNHQ WR DOORZ HDV\ PDLQWHQDQFH DQG TXLFN
UHSODFHPHQW RI WKHDFFHVVRULHV  7KH\ VKDOO EHEROWHG DQGQRW ULYHWHG
RQ WKH UHPRYDEOH VXSSRUWV  7KH VXSSRUWV VKDOO EH ODLG GRZQ LQ WKH
FRPSDUWPHQW DQG LQ QR FDVH VKDOO EH VXVSHQGHG E\ EROWV IRU VHFXULW\
UHDVRQVDQGPDLQWHQDQFHIDFLOLWLHV
LLL $OO HOHFWULFDO DFFHVVRULHV VKDOO EH DEOH WR ZLWKVWDQG LQ FRQWLQXRXV
RSHUDWLRQ DQG ZLWKRXW DQ\ GDPDJH WKH WHPSHUDWXUH H[LVWLQJ LQVLGH WKH
FRQWUROFRPSDUWPHQWLQDQDPELHQWWHPSHUDWXUHRIGHJUHH&&DEOH
FRQQHFWLRQV WR WKH ODPS KROGHU ZLWKLQ WKH ODQWHUQ VKDOO EH RI WKH KHDW
UHVLVWDQWW\SHZLWKVLOLFRQRUJODVVILEUHRURWKHUDSSURYHGLQVXODWLRQ7KH
DUUDQJHPHQWVKDOOFRPSO\ZLWK%6
LY 7KH FDEOH IHHG WHUPLQDOV DQG WKH HDUWK VFUHZ VKDOO EH IL[HG LQVLGH WKH
FRQWURO JHDU FRPSDUWPHQW  $ FDEOH KROGHU VKDOO EH PRXQWHG QHDU WKH
WHUPLQDOV  $Q LVRODWLQJ FRQGXLW VKDOO EH ILWWHG WR SURWHFW WKH LQFRPLQJ
IHHGHUFDEOH7KHDUUDQJHPHQWLQJHQHUDOVKDOOFRPSO\ZLWK%6
Y $VHSDUDWHVHWRIFRQWUROJHDUVKDOOEHSURYLGHGIRUWKHODPSFRPSULVLQJ
RQHFKRNHDVVRFLDWHGZLWKRQHFDSDFLWRURQHLJQLWRUDQGVWDUWHU LQVWDQW
W\SH  LI DQ\  7KH FRQWURO JHDU VKRXOG EH HQFDSVXODWHG LQ DQ DSSURYHG
HQFORVXUH FRQIRUPLQJ WR ,3  WLJKWQHVV  7HUPLQDOV RI DOO EDOODVWV
FDSDFLWRUV LJQLWRUV LI DQ\  DQG VWDUWHUV VKDOO EHVKURXGHG  7KH EDOODVW
VKDOO EH GHVLJQHG WR RSHUDWH WKH ODPS DQG FRQWURO LW FRQWLQXRXVO\ LQ
DPELHQWWHPSHUDWXUHVUDQJLQJIURPGHJUHH&WRGHJUHH&

)HEUXDU\ 6HFWLRQ$ 5RDGVDQG7UDQVSRUW$XWKRULW\


57$5RDG/LJKWLQJ6SHFLILFDWLRQ

YL 7KHLJQLWRUVVKDOOEHVROLGVWDWHIXOO\HOHFWURQLFQRQWLPHGPXOWLSOHSXOVH
VXSHULPSRVHG SXOVH W\SH ZKLFK VKDOO QRW UHTXLUH WKH XVH RI WDSSHG
EDOODVWV QRUEH GHSHQGHQWRQ H[WHUQDO FDSDFLWRUV  7KH LJQLWRU VKDOO QRW
SURGXFHDKLJKYROWDJHSXOVHDFURVVWKHEDOODVWZLQGLQJVDQGVKDOOKDYH
VFUHZHGWHUPLQDOV7KHLJQLWRUVKDOOEHIXOO\HQFDSVXODWHGLPSHUYLRXVWR
WKHLQJUHVVRIPRLVWXUHDQGVKDOOKDYHDWHPSHUDWXUHUDWLQJQRWOHVVWKDQ
GHJUHH&
YLL 7KH FKRNH VKDOO EH RI UHDFWRU QRQWDSSHG DQG WURSLFDOLVHG RI &ODVV +
,QVXODWLRQDQG9DFXXPLPSUHJQDWHGZLWKDQXQVDWXUDWHGSRO\HVWHUUHVLQ
RIQRWOHVVWKDQWKHUPDOFODVV+ GHJUHH&LQDFFRUGDQFHZLWK,(&
 7KHFDSDFLW\RIWKHFKRNHVKRXOGEHVXFKDVWRNHHSWKHLOOXPLQDWLRQ
RI WKH ODPS ZLWKLQ WKH GHVLJQ OLPLW  7KH FDSDFLWRU VKDOO EH RI WKH
GLSK\HQ\OLPSUHJQDWHGW\SHDQGVKDOOEHLQD OHDNSURRIPHWDOFRQWDLQHU
ILWWHG ZLWK DQ LQWHUQDO GLVFKDUJH UHVLVWRU  7KH SHUPLWWHG RSHUDWLQJ
WHPSHUDWXUHRIWKHFDSDFLWRUVKDOOEHPDUNHGRQLWVFDVHDQGVKDOOEH
'HJ&
YLLL 7KHFDSDFLWRUVVKDOOKDYHYDOXHVXIILFLHQWWRUDLVHWKHSRZHUIDFWRURIWKH
FRPSOHWH V\VWHP WR  RUEHWWHU (DFK ODPS VKDOORSHUDWHXVLQJRQO\
RQH FKRNH DQG RQH FDSDFLWRU  $Q\ FRPELQDWLRQ RI WZR RU PRUH
FDSDFLWRUV WR KDYH WKH HTXLYDOHQW YDOXH RI FDSDFLWDQFH ZLOO QRW EH
DFFHSWHG  &KRNHV  FDSDFLWRUV VKDOO FRPSO\ ZLWK WKH ODWHVW %6 (1
 %6(1
L[ 7KHFRQWUROJHDUVKDOOEHVXSSOLHGE\WKHODQWHUQPDQXIDFWXUHUDQGVKDOO
EHLQFRUSRUDWHGLQDVHSDUDWHFRPSDUWPHQWLQDZD\WKDWKHDWHPLWWHGE\
ODPS LV QRW FRQGXFWHG RU WUDQVIHUUHG WR WKH JHDU FRPSRQHQWV  ,W VKDOO
DOVR EH GLVWLQFWO\ PDUNHG ZLWK WKH PRQWK DQG \HDU RI PDQXIDFWXUH LQ
DGGLWLRQWRWKHVWDQGDUGPDUNLQJ
[ 7KHODQWHUQVKDOOKDYHDVFUHZW\SHODPSKROGHU7KHOHDGDWWKHKLJKHU
SRWHQWLDODERYHHDUWKVKDOOEHFRQQHFWHGWRWKHFHQWUHFRQWDFW
[L 7KH RSHUDWLQJ WHPSHUDWXUH DQG WKHUPDO HQGXUDQFH FKDUDFWHULVWLFV VKDOO
FRQIRUPWR&ODXVH6HFWLRQ3DUWRI%6
+ 3KRWRPHWULFDO5HTXLUHPHQWV
L 7KHODPSILWWLQJVKDOOEHDGMXVWDEOHWRDOORZWKHOXPLQRXVIOX[GLVWULEXWLRQ
WREHDGDSWHGWRWKHJHRPHWULFDOLQVWDOODWLRQFRQGLWLRQV
LL 7KH DGMXVWLQJ GHYLFH RI WKH ODPS VKDOO EH VXIILFLHQWO\ VWXUG\ DQG
GHVLJQHG LQ D ZD\ LW FDQQRW EH GLVWXUEHG GXULQJ LWV QRUPDO OLIH WLPH
YLEUDWLRQV RUGXULQJPDLQWHQDQFHRSHUDWLRQV ODPSUHSODFHPHQW 
LLL 7KLV GHYLFH VKDOO KDYH SHUPDQHQW PDUNLQJV VR WKDW WKH ODPS SRVLWLRQ
UHFRPPHQGHGE\WKHPDQXIDFWXUHUFDQEHHDVLO\UHDOLVHG
LY 7KH SKRWRPHWULFDO FODVVLILFDWLRQ RI WKH OXPLQDLUHV DFFRUGLQJ &,( 1U
SXEOLFDWLRQ VKDOO LQFRUSRUDWH WKH IROORZLQJ FKDUDFWHULVWLFV GHSHQGLQJ RQ
WKHODPSSRVLWLRQDGMXVWPHQW
Y /RQJLWXGLQDOIOX[FRQWURO7KURZLQWHUPHGLDWHRUORQJ
YL 7UDQVYHUVHIOX[FRQWURO6SUHDG1DUURZRUDYHUDJH
YLL *ODUHFRQWURO6/,*UHDWHUWKDQ
, 3KRWRPHWULFDO3HUIRUPDQFH5HTXLUHPHQW
L &RPSXWHU FDOFXODWLRQ UHODWLQJ WR LOOXPLQDQFH DQG OXPLQDQFH UHVXOWV
GHWDLOHGKHUHLQDIWHUVKDOOEHVXEPLWWHG7KHRYHUDOOOXPLQDQFHXQLIRUPLW\
UDWLR 82   ORQJLWXGLQDO OXPLQDQFH XQLIRUPLW\ UDWLR 8,  ZKLFK ZLOO EH
DFKLHYHG RQ URDGZD\ YDOXHV RI JODUH FRQWURO PDUN *  WKUHVKROG
LQFUHPHQW 7, DQGVSHFLILF/DQWHUQ,QGH[ 6/, ZKHUHYHUDSSOLFDEOH
)HEUXDU\ 6HFWLRQ$ 5RDGVDQG7UDQVSRUW$XWKRULW\
57$5RDG/LJKWLQJ6SHFLILFDWLRQ

LL )RU WKH OXPLQDQFH FDOFXODWLRQ WKH URDG VXUIDFH WR EH FRQVLGHUHG LV WKH
5W\SHZLWK42 DFFRUGLQJWR&,(6WDQGDUGV
LLL 7KH FDOFXODWLRQV VKDOO EH SHUIRUPHG LQ DFFRUGDQFH ZLWK &,( 1U
SXEOLFDWLRQDQGVKDOOEHEDVHGRQWKHGDWDJLYHQLQWKHGUDZLQJV7KHVH
FRPSXWHU FDOFXODWLRQV VKDOO DFKLHYH WKH UHVXOWV PHQWLRQHG LQ WKH
GUDZLQJV
LY 7KHVH UHVXOWV DUH WR EH DFKLHYHG WDNLQJ LQWR FRQVLGHUDWLRQ D WRWDO
PDLQWHQDQFH IDFWRU RI   GXVW GHSUHFLDWLRQ IDFWRU [ ODPS OXPHQ
GHSUHFLDWLRQIDFWRU 
Y ,I SRVVLEOH WR KDYH PRUH VSDFLQJ WKH FRPSXWHU FDOFXODWLRQV VKDOO
GHWHUPLQH WKH PD[LPXP VSDFLQJ RI SROHV WR EH DGRSWHG WR DFKLHYH WKH
DERYHUHVXOWV
$ 'RFXPHQWVWREH6XEPLWWHGZLWKWKH2IIHU
$ 7KH PDQXIDFWXUHU VKDOO VXSSO\ IROORZLQJ WHFKQLFDO GRFXPHQWDWLRQ DQG
LQIRUPDWLRQ IRU HDFK W\SH RI OXPLQDLUHV IRU WKH DSSURYDO RI WKH (QJLQHHU
7KH DSSURYDO RI WKH (QJLQHHU GRHV QRW DEVROYH WKH &RQWUDFWRU RI WKH
FRQWUDFWXDO REOLJDWLRQV UHJDUGLQJ WKH SHUIRUPDQFH DQG FRPSOLDQFH WR WKH
VSHFLILFDWLRQUHTXLUHPHQWV
L &DWDORJXHVKHHWRIWKHOXPLQDLUH
LL 'HWDLOHG FRQVWUXFWLRQ GUDZLQJ RI WKH OXPLQDLUH 3RODU GLDJUDP RI
OXPLQRXV LQWHQVLW\ LQ URDG ZD\ YHUWLFDO SODQH DQG WUDQVYHUVH YHUWLFDO
SODQH
LLL 8WLOLVDWLRQIDFWRUFXUYHIRUDFWXDOLQFOLQDWLRQRIOXPLQDLUH
LY ,VROX[GLDJUDPIRUDFWXDOLQFOLQDWLRQRIOXPLQDLUH
Y ,QWHQVLW\ WDEOH LQ WKH &JDPPD FRRUGLQDWHV UHFRPPHQGHG E\ &,(
1U3XEOLFDWLRQ
YL &RPSXWHUFDOFXODWLRQSULQWRXWVKRZLQJWKHLOOXPLQDWLRQDQGOXPLQDQFH
OHYHOV  /RQJLWXGLQDO 8QLIRUPLW\ 5DWLR 8,  RYHUDOO XQLIRUPLW\ 5DWLR
82 VSHFLILFODQWHUQLQGH[ 6/, JODUHFRQWUROPDUN * DQGWKUHVKROG
LQFUHPHQW 7, 
YLL 7LJKWQHVVWHVWFHUWLILFDWHFRQIRUPLQJWR,3SURWHFWLRQGHJUHHIRUWKH
RSWLFDOFRPSDUWPHQWRIWKHOXPLQDLUHVDQGWKH,3SURWHFWLRQGHJUHH
IRUWKHFRQWUROJHDUFRPSDUWPHQW7KLVWHVWFHUWLILFDWHVKDOOEHLVVXHG
E\DQLQGHSHQGHQWRIILFLDOODERUDWRU\
YLLL 6KRFN WHVW FHUWLILFDWH FRQILUPLQJ WKH UHVLVWDQFH RI WKH ERG\ WR DQ
LPSDFWHQHUJ\DVSHU&ODXVH6HFWLRQRI%63DUW
7KLV WHVW FHUWLILFDWH VKDOO EH LVVXHG E\ DQ LQGHSHQGHQW RIILFLDO
ODERUDWRU\
L[ :LQGUHVLVWDQFHFHUWLILFDWHFRQILUPLQJWKDWQRGDPDJHZLOORFFXUWRWKH
OXPLQDLUHDWZLQGVXSWRNPKUIRUDVKRUWSHULRG7KLVFHUWLILFDWH
VKDOOEHLVVXHGE\DQLQGHSHQGHQWRIILFLDOODERUDWRU\
[ 7RWDOZHLJKWRIWKHOXPLQDLUH ZLWKODPSDQGFRQWUROJHDU
[L 3RZHU IDFWRU RI RQH FRPSOHWH OXPLQDLUH XQGHU QRUPDO ZRUNLQJ
FRQGLWLRQV
[LL 7RWDO HOHFWULF FRQVXPSWLRQ RI WKH OXPLQDLUH LQFOXGLQJ FRQWURO JHDU
ORVVHV
[LLL 5DWHGOXPHQRXWSXWRIWKHODPSXQGHUQRPLQDOFRQGLWLRQV
[LY 'HSUHFLDWLRQFXUYHRIWKHOXPLQRXVIOX[ZLWKEXUQLQJKRXUV
[Y /XPLQRXVIOX[YDULDWLRQZLWKWKHPDLQYROWDJH

)HEUXDU\ 6HFWLRQ$ 5RDGVDQG7UDQVSRUW$XWKRULW\


57$5RDG/LJKWLQJ6SHFLILFDWLRQ

[YL 0DNHDQGW\SHRIEDOODVWDQGFDSDFLWRUVVHSDUDWHO\ZLWKWKHLUHOHFWULFDO
FKDUDFWHULVWLFV HJ ,PSHGDQFH SRZHU IDFWRU 7HPSHUDWXUH ULVH  W 
PD[WHPSHUDWXUH WZ DQGSRZHUORVVHV
[YLL 7KH FRQWUDFWRU VKDOO VXEPLW ZLWK KLV WHQGHUIXOOGHWDLOV RIDUHDVXVLQJ
WKHVDPHW\SHRIOXPLQDLUHVLQWKH0LGGOH(DVWDQG*XOI$UHD
[YLLL $ FRPSXWHU SURJUDP DFFRUGLQJ WR &,( VWDQGDUG RQ 86% SRUWV
FRPSDWLEOHVKRXOGEHVXSSOLHGDQGWKHPDWUL[SURJUDPIRUWKHRIIHUHG
OXPLQDLUH
[L[ 7KH FRQWUDFWRU VKDOO VXEPLW IRU WKH (QJLQHHU
V DSSURYDO GLPHQVLRQDO
GUDZLQJV RI WKH FRQWURO JHDU DUUDQJHPHQWV VKRZLQJ WKH H[DFW
SRVLWLRQVRIFKRNHVDQGFDSDFLWRUVZLWKLQWKHODQWHUQ
$ 0DWHULDOVWREH6XEPLWWHGZLWKWKH2IIHU
$ 7KH FRQWUDFWRU VKDOO VXEPLW DORQJ ZLWK WKH RIIHU  VHWV RI OXPLQDLUHV RI HDFK
W\SHWRHTXLSPDVWIRUH[DPLQDWLRQDQGSKRWRPHWULFDOWHVWRQVLWH
% 7KH PDWHULDOV WR EH DFFRPSDQLHG E\ PDQXIDFWXUHU
V DVVHPEOLQJ DQG HUHFWLRQ
LQVWUXFWLRQ
& 7KHFRQWUDFWRUVKDOOFDUU\RXWVLWHWHVWLQJDIWHULQVWDOODWLRQZRUNLVFRPSOHWHGIRU
SKRWRPHWULF SHUIRUPDQFH LQ DFFRUGDQFH ZLWK WKH FRQWUDFW VSHFLILFDWLRQ
UHTXLUHPHQWV$OOWKHWHVWVKDOOEHFDUULHGRXWLQWKHSUHVHQFHRIWKH(QJLQHHU
7KHOXPLQDQFHPHDVXULQJGHYLFHVKDOOEHSURYLGHGE\WKH(QJLQHHU
' 7KH ILQDO DFFHSWDQFH RI DQ\ VXEPLWWHGRIIHU VKDOO EH VWULFWO\GHSHQGLQJ RQ WKH
SKRWRPHWULFDQGHOHFWULFDOSHUIRUPDQFHWHVWRQVLWH

( 6WDQGDUGV

L %6  VXSHUVHGHG E\ %6 (1   /XPLQDLUHV *HQHUDO


UHTXLUHPHQWVDQGWHVWV
LL %6 (1   /XPLQDLUHV 3DUWLFXODU UHTXLUHPHQWV /XPLQDLUHV IRU
URDGDQGVWUHHWOLJKWLQJ
LLL %6 (1  VXSHUVHGHG E\ %6 (1 ,62   $QRGL]LQJ RI
DOXPLQLXP DQG LWV DOOR\V *HQHUDO VSHFLILFDWLRQV IRU DQRGLF R[LGDWLRQ FRDWLQJV RQ
DOXPLQLXP
LY %6 VXSHUVHGHGE\%6(1  $OXPLQLXPDQGDOXPLQLXP
DOOR\V:URXJKWSURGXFWV7HPSHUGHVLJQDWLRQV
Y %6(1,(& VXSHUVHGHGE\%6(1 
/DPSFRQWUROJHDU*HQHUDODQGVDIHW\UHTXLUHPHQWV
YL %6 (1   $X[LOLDULHV IRU ODPSV %DOODVWV IRU GLVFKDUJH ODPSV
H[FOXGLQJWXEXODUIOXRUHVFHQWODPSV 3HUIRUPDQFHUHTXLUHPHQWV
YLL %6 VXSHUVHGHGE\%6(1  (OHFWULFFDEOHV /RZ
YROWDJH HQHUJ\ FDEOHV RI UDWHG YROWDJHV XS WR DQG LQFOXGLQJ  9 88 
*HQHUDOUHTXLUHPHQWV
YLLL %6(13 /XPLQDLUHV*HQHUDOUHTXLUHPHQWVDQGWHVWV
L[ ,(&3
[ %6 &RGHRISUDFWLFHIRUWKHGHVLJQRIURDGOLJKWLQJ/LJKWLQJRIURDGV
DQGSXEOLFDPHQLW\DUHDV
[L %6  3DUW  VXSHUVHGHG E\ %6 (1   /LJKW DQG
OLJKWLQJ0HDVXUHPHQWDQGSUHVHQWDWLRQRISKRWRPHWULFGDWDRIODPSVDQGOXPLQDLUHV
[LL %6 3DUW DQG 3DUW  VXSHUVHGHGE\%6(1DQG 
/DPSFDSVDQGKROGHUVWRJHWKHUZLWKJDXJHVIRUWKHFRQWURORILQWHUFKDQJHDELOLW\DQG
VDIHW\/DPSVFDSV

)HEUXDU\ 6HFWLRQ$ 5RDGVDQG7UDQVSRUW$XWKRULW\


57$5RDG/LJKWLQJ6SHFLILFDWLRQ

[LLL %6  VXSHUVHGHG E\ %6 (1   +LJKSUHVVXUH VRGLXP
YDSRXUODPSV3HUIRUPDQFHVSHFLILFDWLRQV
[LY %6(1 *ORZVWDUWHUVIRUIOXRUHVFHQWODPSV

[Y %6(1(QYLURQPHQWDOWHVWLQJ*HQHUDODQGJXLGDQFH

$ $9,$7,21/,*+7
$YLDWLRQ OLJKWV WR EH SURYLGHG DQG LQVWDOOHG WR WKH WRS RI HDFK KLJK PDVW RI
$
KLJKHUWKDQPHWHUV7KHDYLDWLRQOLJKWLVWREHLQDFFRUGDQFHZLWKWKH&LYLO
$YLDWLRQUHTXLUHPHQWVDQGVKDOOEHSHUPDQHQWO\SRZHUHG
% 7KHOLJKWVDUHWREHIL[HGWRWKHPRELOHULQJDQGSRVLWLRQHGVROXPLQDLUHVFDQEH
HDVLO\UHSODFHG
$ 81'(5%5,'*(/,*+7,1*
$ $UHD IORRG OLJKWLQJ VKDOO EH SURYLGHG XQGHU WKH IO\RYHUV DV SHU 6HFWLRQ %
VSHFV  )ORRG OLJKWV VKDOO EH SRVLWLRQHG DV GHVLJQHG E\ WKH FRQWUDFWRU WR WKH
UHTXLUHPHQWVRIWKH6SHFLILFDWLRQDQGWRWKH(QJLQHHU
VDSSURYDO
$ 7HFKQLFDO6SHFLILFDWLRQIRU/('6WUHHW/LJKWLQJ
$ *HQHUDO
7KH 'HVLJQ 6SHFLILFDWLRQ &DOFXODWLRQ 0DQXIDFWXULQJ 7HVWLQJ 6KLSPHQW
$
,QVWDOODWLRQ  DQG 3HUIRUPDQFH RI /(' OLJKWLQJ V\VWHP RU RWKHU HTXDOO\
VXVWDLQDEOH WHFKQRORJ\  VKDOO EH  LQ DFFRUGDQFH ZLWK WKH DSSOLFDEOH
UHTXLUHPHQWV RI 57$ DQG ,QWHUQDWLRQDO HOHFWULFDO DQG  OLJKWLQJ 6WDQGDUGV IRU
HOHFWULFDOGLVWULEXWLRQZRUNVH[FHSWDVVSHFLILHGKHUHLQ
% 7KH OXPLQDLUHV GHVLJQHG WR RSHUDWH FRQWLQXRXVO\ DW WKH VSHFLILHG DPELHQW
WHPSHUDWXUH  DQG KXPLGLW\ ZLWK VSHFLDO DWWHQWLRQ JLYHQ WR WKH HIIHFWV RI GLUHFW
VXQH[SRVXUHGXULQJWKHGD\,QDGGLWLRQWKHRFFDVLRQDOVDQGVWRUPVDQGGXVW\
ZHDWKHULQGHVLJQLQJWKHOXPLQDLUHERG\
& 7KH PDQXIDFWXUHUV VKDOO JXDUDQWHH DGKHUHQFH WR WKLV 6SHFLILFDWLRQ DQG WKH
SHUIRUPDQFHRIWKHLUOXPLQDLUHXQGHUDOOWKHUHTXLUHGGHVLJQFRQGLWLRQV
' 7KH (QJLQHHU VKDOO HQVXUH IROORZLQJ GXULQJ WKH GHVLJQ LQWHJUDWLRQ
FRRUGLQDWLRQ IXQFWLRQDOLW\ DQG DFFHVVLELOLW\ RI WKHVH VHUYLFHV ,W VKDOO EH WKH
&RQVXOWDQW¶V&RQWUDFWRUVXSSOLHU UHVSRQVLELOLWLHV WR EULQJ WKH V\VWHP WR WKH
GHVLJQ RSHUDWLQJDQGPDLQWHQDQFHFRQGLWLRQV
$ $SSOLFDEOH6WDQGDUGV *XLGDQFH'RFXPHQWV
$ 7KHIROORZLQJVWDQGDUGVRULWVHTXLYDOHQW,QWHUQDWLRQDODSSURYHGVLPLODUVKRXOG
EHIROORZHG
L ,(61$ ,OOXPLQDWLQJ(QJLQHHULQJ6RFLHW\RI 1RUWK$PHULFD /LJKWLQJ
+DQGERRNWK(GLWLRQ
LL &,( ,QWHUQDWLRQDO&RPPLVVLRQRQ,OOXPLQDWLRQ
LLL ,(61$53 UHDIILUPHG 5RDGZD\/LJKWLQJ
LY &,( ±/LJKWLQJRI5RDGVIRU0RWRUDQG3HGHVWULDQ7UDIILF
Y ,(61$ 53 5RDGZD\6LJQ/LJKWLQJ
YL ,(61$ 53  /LJKWLQJIRU 3DUNLQJ )DFLOLWLHV&,(  ± *XLGHIRU
/LJKWLQJ([WHULRU:RUN$UHDV
YLL ,(61$ '*  'HVLJQ*XLGHIRU5RXQGDERXW/LJKWLQJ
YLLL ,(61$ 70   7HFKQLFDO 0HPRUDQGXP RQ/LJKW (PLWWLQJ 'LRGH
/(' 6RXUFHV 6\VWHPV
L[ ,(61$ '*  'HVLJQ*XLGHIRU5RDGZD\/LJKWLQJ0DLQWHQDQFH

)HEUXDU\ 6HFWLRQ$ 5RDGVDQG7UDQVSRUW$XWKRULW\


57$5RDG/LJKWLQJ6SHFLILFDWLRQ

[ ,(61$ 53  1RPHQFODWXUH  'HILQLWLRQV IRU ,OOXPLQDWLQJ


(QJLQHHULQJ
[L ,(6,(61$ /0  $SSURYHG0HWKRG(OHFWULFDODQG3KRWRPHWULF
0HDVXUHPHQWVRI6ROLG6WDWH/LJKWLQJ3URGXFWV
[LL ,(6,(61$ /0 ± $SSURYHG 0HWKRG IRU 0HDVXULQJ /XPHQ
0DLQWHQDQFHRI/('/LJKW6RXUFHV
[LLL ,(61$/0$SSURYHGPHWKRGRIPHDVXULQJ/3:#ƒ&
[LY ,(61$ /0 $SSURYHG PHWKRG IRU GHUDWLQJ YDOXHV RI /('
V\VWHPV
[Y ,(61$/0
[YL ,(&  RU (1   ,3  DQG (1   ,.   'HJUHHV RI
3URWHFWLRQ3URYLGHGE\(QFORVXUHV ,3&RGHIRULQJUHVVSURWHFWLRQDQG
,.&RGHIRU0HFKDQLFDO6WUHQJWK
[YLL $16,1(0$$16/*& $PHULFDQ1DWLRQDO6WDQGDUGIRU
&KURPDWLFDOO\RI
[YLLL 6ROLG6WDWHOLJKWLQJSURGXFWV
[L[ %6 (1  RU $16,,(61$ 53  3KRWRELRORJLFDO
6DIHW\RI/DPSVDQG/DPS6\VWHPV
[[ (1SDUWV  (OHFWULFDOVDIHW\ *HQHUDODQGIRU5RDG
/LJKWLQJ/XPLQDLUHV
[[L (1  (1  (1   (1  ±
(OHFWURPDJQHWLF &RPSDWLELOLW\  ,PPXQLW\ 5HTXLUHPHQWV KDUPRQLFV
5HTXLUHPHQWV )OLFNHU 5HTXLUHPHQWV  5DGLDWHG DQG &RQGXFWHG
(PLVVLRQVUHVSHFWLYHO\
[[LL &,( *XLGHOLQHVIRU0LQLPL]LQJ6N\*ORZDQG,(61$ 70
$GGUHVVLQJ 2EWUXVLYH 8UEDQ 6N\ *ORZ DQG /LJKW 7UHVSDVV  LQ
FRQMXQFWLRQZLWK8UEDQ/LJKWLQJ
[[LLL -('(&-RLQW(OHFWURQ'HYLFH(QJLQHHULQJ&RXQFLO
[[LY $670  $PHULFDQ6RFLHW\IRU7HVWLQJRI0DWHULDOV
[[Y $670%D  6WDQGDUG3UDFWLFHIRU2SHUDWLQJ6DOW6SUD\ )RJ
$SSDUDWXVRU
[[YL ,62 ,QWHUQDWLRQDO2UJDQL]DWLRQIRU6WDQGDUGL]DWLRQ
[[YLL ,62   &RUURVLRQWHVWVLQDUWLILFLDODWPRVSKHUHV 6DOWVSUD\WHVWV

[[YLLL ,(& (QYLURQPHQWDOWHVWLQJ
[[L[ $16,& +DUPRQLF(PLVVLRQ/LPLWV ,(((6WG 
+DUPRQLF/LPLWV
[[[ (1RU)&&SDUW&ODVV%$16,&8/8/
$1' 8/ &$1&6$& 12 &6$& 1R  DQGRU 12
 (1 6DIHW\ DQG (1 6XUJH 3URWHFWLRQ
VXEMHFW WR ,((($61, & VFHQDULR , FDWHJRU\ &/RZ
PLQLPXPVWULNHV5($&+FRPSODLQW

)HEUXDU\ 6HFWLRQ$ 5RDGVDQG7UDQVSRUW$XWKRULW\


57$5RDG/LJKWLQJ6SHFLILFDWLRQ

$ /('/XPLQDLUHV7HFKQLFDO6SHFLILFDWLRQ
$ &KDUDFWHULVWLFVRI+3/('&KLSV
$ 7KHOLJKWVRXUFHVKDOOEHKLJKSRZHU/('SDFNDJHFKLSZLWKVLQJOH'LRGHKLJK
EULJKWQHVVZKLWHOLJKWHPLWWLQJ'LRGHV /('V ZLWKLQGLYLGXDOPLQLPXPHIILFDF\
RI  /3: IRU . DUUDQJHG LQ DUUD\V WR  SURYLGH WKH UHTXLUHG OLJKWLQJ
RXWSXW/3:IRU.FDQEHXVHGXSRQ57$UHTXHVWRQO\
% 7KH /('V VKDOO EH IURP D UHSXWHG PDQXIDFWXUHU RI /('V ZLWK SURYHQ SDVW
SHUIRUPDQFH LQ  DFFRUGDQFH ZLWK $16,1(0$$16/* & ±
$PHULFDQ1DWLRQDO6WDQGDUGIRU&KURPDWLFLW\RI6ROLG6WDWH/LJKWLQJ3URGXFWV
RUVLPLODUDSSURYHG,QWHUQDWLRQDO6WDQGDUG
& $WOHDVW\HDUVH[SHULHQFHVGHOLYHULQJ+3/('FKLSVWRRXWGRRUDSSOLFDWLRQV
' &KLSV VKDOO RQO\ EH IURP 0DFDGDP (OOLSVH PD[ 6WHSV  %LQV 7KHUHIRUH
.   WKH GHILQHG UDQJHV IRU VWHS ILYH E\ $16,1(0$$16/* &

( 7KH &5, •
) 7KH /('V VKDOO EH UHPRYDEOH E\ PRGXODU PHDQV ZLWKRXW WRROV WR DYRLG DQ\
SRVVLEOHULVNWRPDLQWDLQLQJOXPLQDLUHSKRWRPHWU\
$ /('&KLSV7HFKQLFDO5HTXLUHPHQWV
$ 7KH IROORZLQJ UHTXLUHPHQWV  GRFXPHQWDWLRQ VKDOO SURYLGH 1RWH ,VVXH
VHSDUDWHVXSSRUWLQJGRFXPHQWVLIUHTXLUHG
L 2SHUDWLQJWHPSHUDWXUHUDWLQJVKDOOEHEHWZHHQ±ƒ&DQGPLQLPXP
ƒ&DWDPLQLPXP5HODWLYH+XPLGLW\ 5+ 6WRUDJH LHQRQ
RSHUDWLQJ  GD\WLPH  WHPSHUDWXUH DOO /(' FRPSRQHQWV VKDOO EH
GHVLJQHG  WR WROHUDWH EHWZHHQ ± ƒ& DQG PLQLPXP ƒ& DW D
PLQLPXP5HODWLYH+XPLGLW\ 5+ 
LL &RUUHODWHG FRORXU WHPSHUDWXUH &&7  . VKDOO EH UHTXLUHG DQG
. DV SHU 57$ UHTXHVW 6&'0 PD[ VWHS ILYH 0DFDGDP (OOLSVH
&RORXUUHQGHULQJLQGH[ &5, • &,(
LLL 0DQXIDFWXUHU VKDOO VXEPLW UHOLDELOLW\ UHSRUWV IURP WKLUG SDUW\
ODERUDWRU\/DE 6WUHVV WHVWPHWKRGRORJ\   LQGLFDWLQJ WKDW WKH
PDQXIDFWXUHURIWKH/(' FKLSGLRGHRUSDFNDJH KDVSHUIRUPHG-RLQW
(OHFWURQ 'HYLFHV (QJLQHHULQJ &RXQFLO  -('(&  RU HTXLYDOHQW
UHFRJQL]HGFRXQFLO
LY 5HOLDELOLW\ WHVWV RQ WKH /('V IURP DFFUHGLWHG WKLUG SDUW\ ODE WR EH
SURYLGHG
Y )DFWRU\ SUHUHOHDVH WHVW UHSRUWV VKDOO EH SURYLGHG  IURP WKH /('
PDQXIDFWXUHU GXO\ FRPSO\LQJ ZLWK -('(& -(6'$& RU
HTXLYDOHQWIRURSHUDWLQJOLIHWHVWVDWƒ&DPELHQWWHPSHUDWXUHDQG
IRUKXPLGLW\DQGVDOWDWPRVSKHUHFRUURVLRQWHVWV
YL 6WDQGDUGVDQGWHVWVXVHGPXVWEHVWDWHG
YLL ,(61$ /0 &,( 7& WHVW UHSRUWV UXQ IRU  GLIIHUHQW WHPS DW
OHDVWIRUKUV
YLLL ,(61$$16,70UHSRUWHGOLIHWLPHIRUKU
L[ ,(61$/0&KDUDFWHULVWLFVRI/('FKLSV

)HEUXDU\ 6HFWLRQ$ 5RDGVDQG7UDQVSRUW$XWKRULW\


57$5RDG/LJKWLQJ6SHFLILFDWLRQ

$ /(''ULYHUV7HFKQLFDO5HTXLUHPHQWV
$ 7KH IROORZLQJ UHTXLUHPHQWV  GRFXPHQWDWLRQ VKDOO EH SURYLGHG 1RWH ,VVXH
VHSDUDWHVXSSRUWLQJGRFXPHQWVLIUHTXLUHG
L 'ULYHUVVKDOOEH,3HQFDSVXODWHGW\SH
LL 'ULYHUV VKDOO EH Y GLPPDEOH  DQG KDYH D PLQLPXP HIILFLHQF\ RI
 DQG VKRXOG PHHW ZLWK 1(0$ VRFNHW UHTXLUHPHQWV DQG VKRXOG
PDLQWDLQQRUPDORSHUDWLRQDWKU
LLL &DVH 7Fƒ&  7HPSHUDWXUH UDWLQJ PD[ RI ƒ& DQG DW D PLQLPXP
5HODWLYH+XPLGLW\ 5+ 
LY 'ULYHU VKDOO KDYH VRPH PHDQVRI EXLOWLQ RYHUKHDW WKHUPDOSURWHFWLRQ
LQ WKH IRUP RI DXWRPDWLF GLPPLQJ RU VWHSSLQJKROGLQJ GRZQ RI WKH
GULYHUFXUUHQWZKHUHWHPSHUDWXUHH[FHHGVRSHUDWLRQDOOLPLWV
Y 7KHUPDOFXWRIIGHYLFHVZKLFKWXUQWKHIL[WXUHFRPSOHWHO\RIIVKDOOQRW
EHDFFHSWHG
YL 7KH 'ULYHU DQG GULYHU RXWSXW FXUUHQW VKDOO EH IXOO\ WHVWHG DQG
FRPSDWLEOHZLWKWKHH[DFW/('FKLSVHQJLQHRIWKHOXPLQDLUH
YLL $OO LQIRUPDWLRQ SURYLGHG DQG WKH FRVW DQDO\VLVSD\EDFN FDOFXODWLRQV
VKDOO EH FDOFXODWHG ZLWK WKH H[DFW GULYH FXUUHQW LQFOXGLQJ WKH
FDOFXODWLRQ IRU WKH OLIH F\FOH DQG UHVXOWDQW LQFUHDVH RU   GHFUHDVH RI
WKHHQHUJ\FRQVXPSWLRQLIDSSOLFDEOH
YLLL ,QSXWYROWDJHFDSDEOHRIYROW8QLYHUVDO7\SHVLQJOHSKDVH
L[ 3RZHUVXSSOLHVFDQEH8/&ODVVRU,,RXWSXWRUVLPLODU(XURSHDQ&(
RU,QWHUQDWLRQDOHTXLYDOHQW
[ 6XUJHSURWHFWLRQVKDOOEHWHVWHGLQDFFRUGDQFHWRWKHUHTXLUHPHQWVRI
,((($61,&6FHQDULR,/RFDWLRQ&DWHJRU\&PLQLPXP
 VWULNHV XS WR N9  N$ YLD D 6XUJH 3URWHFWLRQ 'HYLFH RU
,QWHUQDWLRQDOHTXLYDOHQW([WHUQDOVXUJHSURWHFWLRQWREHSURYLGHGDQG
VKDOODFWEHIRUHWKHLQWHUQDOVXUJHGHYLFH
[L 'ULYHUVVKDOOKDYHD3RZHU)DFWRU 3) RI/•
[LL 'ULYHUVVKDOOFRPSO\ZLWK)&&&)5SDUWQRQFRQVXPHU5),(0,
VWDQGDUGVRUHTXLYDOHQW
[LLL 'ULYHUVVKDOOEH5R+6&RPSOLDQW
[LY 'ULYHUV VKDOO KDYH D WRWDO LQGLYLGXDO OXPLQDLUH +DUPRQLF 'LVWRUWLRQ
7+' RI”LQDFFRUGDQFHZLWK$16,&  +RZHYHUWKH
&RQWUDFWRUVKDOOPHDVXUH WKHKDUPRQLFDW WKHVXSSO\SRLQW /9VLGH
RIWKHGLVWULEXWLRQVXEVWDWLRQ DIWHUWKHLQVWDOODWLRQRIDOOWKH/('VWUHHW
OLJKWV DQG DGRSW KDUPRQLF FRPSHQVDWLRQ PHWKRG XVLQJ VWDWLF
KDUPRQLF  ILOWHU  WR OLPLW WKH WRWDO KDUPRQLFV GLVWRUWLRQ LQ WKH VXSSO\
YROWDJH WR PD[LPXP  DV SHU  ,(((  5HJXODWLRQV DQG DV SHU
'(:$ UHJXODWLRQV 'ULYHU VDIHW\ VKDOO PHHW 8/ 8/  $1'
8/&$1&6$&12&6$&1RDQGRU12
(1 6DIHW\ DQG (1 (0& DQG ,PPXQLW\ VKDOO
PHHW(1RU)&&SDUW&ODVV%$16,&
[Y 'ULYHUVKDOOEHRIWRROOHVVDFFHVVZLWKLQILWWLQJ
[YL 'ULYHUIRUZDUGFXUUHQWVKRXOGEHRIPD[PDRWKHUKLJKHUFXUUHQW
FRXOG EH DFFHSWHG XQGHU VWULFW FRQGLWLRQV UHODWHG WR WKHUPDO
PDQDJHPHQWLVVXHV
[YLL $W OHDVW  \HDUV H[SHULHQFHV GHOLYHULQJ GULYHUV WR RXWGRRU
PDQXIDFWXUHUV

)HEUXDU\ 6HFWLRQ$ 5RDGVDQG7UDQVSRUW$XWKRULW\


57$5RDG/LJKWLQJ6SHFLILFDWLRQ

$ :KROH/XPLQDLUH5HTXLUHPHQWV
$ 7KH IROORZLQJ UHTXLUHPHQWV  GRFXPHQWDWLRQ VKDOO EH SURYLGHG 1RWH ,VVXH
VHSDUDWH  VXSSRUWLQJ GRFXPHQWV LI UHTXLUHG  3K\VLFDO GHVFULSWLRQ RI OLJKWLQJ
IL[WXUHLQFOXGLQJGLPHQVLRQV
L 'HWDLOV RI WKH GULYHU V  LQFOXGLQJ PDQXIDFWXUHU GULYHU HIILFLHQF\
FDWDORJXHFRGHFHUWLILFDWLRQVDQGLQSXWZDWWDJH'RFXPHQWDWLRQRIWKH
H[SHFWHGXVHIXOOLIHWLPHLQFOXGLQJWKHWHVWLQJDQGFDOFXODWLRQRIXVHIXO
OLIH 9HULILFDWLRQ RI VLWH OLJKWLQJ SHUIRUPDQFH DV GHILQHG E\
SHUIRUPDQFH PHWKRGV DUH XVHG WKH LQWHUSRODWLRQ EHWZHHQ WKH WKUHH
VHWVRI/0GDWD70DQG,6707UHVXOWVPXVWEHVKRZXS
LL 6DIHW\FHUWLILFDWLRQDQGILOHQXPEHUDVUHTXLUHGIRUWKHOXPLQDLUHIDPLO\
WKDWVKDOOEHOLVWHGODEHOOHGRULGHQWLILHGDVSHUWKH1DWLRQDOHOHFWULF
FRGH 1(& 
LLL $SSOLFDEOHWHVWLQJERGLHVDUHGHWHUPLQHGE\
$ 7KH 86 2FFXSDWLRQDO 6DIHW\ +HDOWK $GPLQLVWUDWLRQ 26+$  DV
1DWLRQDO
% 5HFRJQL]HG 7HVWLQJ /DERUDWRULHV 157/  DQG LQFOXGH &6$
&DQDGLDQ6WDQGDUGV$VVRFLDWLRQ
& (7/ (GLVRQ7HVWLQJ/DERUDWRU\
' 8/ 8QGHUZULWHUV/DERUDWRU\
( &(&RQIRUPDQFH(XURSHDQ
) 19/$3 RU $16,,62,(&  37 R $Q\ WKLUG SDUW\
DSSURYHGEXGG\
$ 0HFKDQLFDO3DUW
$ +RXVLQJ+LJKSUHVVXUHGLHFDVHZLWKORZFRSSHUFRQWHQWGHVLJQHGLQDPDQQHU
WRPDQDJHJHQHUDWHGKHDWE\3&%V
% 5HIUDFWRU7HPSHUHGJODVVRI,.DQGRU300$RU3&ZLWKPLQ,.VXEMHFWWR
,(& FODXVH    $OO V\QWKHWLF PDWHULDOV VKDOO EH  89 6WDEOH
DQGVFUDWFKUHVLVWDQW
& <HOORZLVK IDFWRU DQG DJLQJ IDFWRU QHHGHG IRU DQ\ JLYHQ SODVWLF300$3&
PDWHULDOV
' ,QJUHVV 3URWHFWLRQ PLQ ,3  IRU ZKROH OXPLQDLUH DQG ,3  IRU JHDU RU JHDU
FRPSDUWPHQWVXEMHFWWR,(&
( 7RRO)UHH)LWWLQJVVKRXOGEHRIWRROIUHHDFFHVVIRURSWLFPRGXOHVGULYHUGRRUV
HWF :KLOHPDLQWDLQUHSODFHXSJUDGHV\VWHPQRWRROVDUHUHTXLUHGIRUWKHVH
RSHUDWLRQDOVRVKRXOGEHGRQHZLWKRXWGHPRXQWILWWLQJV
) 52+6 &RPSODLQW V\VWHP VKRXOG EH RI 52+6 FRPSODLQW DQG IUHH RI PHUFXU\
DQGDQ\KD]DUGVPDWHULDOVVXFKDVEXWQRWOLPLWHGWROHDGHWF
* 9LEUDWLRQ 6KRXOG PHHW * YLEUDWLRQ RQ WKUHH D[LV  F\FOH DV SHU
&
+ 6DOW6SUD\WHVW3DLQWVKRXOGEHRIFRUURVLRQUHVLVWDQFHSRO\HVWHUSDLQWSRZGHU
ZLWK PLQ PLO WKLFNQHVV VXEMHFW WR $670%  $670% DQG VKRXOG
H[FHHG UDWH RI VL[ IRU $670' DIWHU PLQLPXP KUV 7KLUG SDUW\ WHVW
FHUWLILFDWHLVQHHGHGIRUWKHILWWLQJKRXVLQJIURPLQVLGHDQGRXW 
, +DUGZDUH¶V DOO KDUGZDUH¶V LWHPV LQFOXGLQJ EXW QRW OLPLWHG WR QXWV VFUHZV
FODPSHWFPXVWEHRIVWDLQOHVVVWHHOPDWHULDORIJUDGH/

)HEUXDU\ 6HFWLRQ$ 5RDGVDQG7UDQVSRUW$XWKRULW\


57$5RDG/LJKWLQJ6SHFLILFDWLRQ

7KH OXPLQDLUH VKDOO EH SURYLGHG ZLWK D KHDY\GXW\ UXJJHG FDVW DOXPLQLXP
-
DGMXVWDEOHVOLSILWWHUPRXQWDEOHWRVXLWWKHSURSRVHGSROH7KH&RQWUDFWRUVKDOO
FRRUGLQDWH ZLWK WKH /('  ILWWLQJ PDQXIDFWXUHU DQG SROH PDQXIDFWXUHU WR PDNH
VXUHFRPSOHWHFRPSDWLELOLW\RIWKHSURGXFWV
. )LWWLQJV PXVW EH GHVLJQHG LQ D ZD\ WR SUHYHQW DFFXPXODWLRQV RI VDQG GXVW
GHEULVRURWKHUVRQLWVVXUIDFHVHLWKHUIURPWRSRUGRZQ
/ 1RUPDOPDLQWHQDQFHSURFHGXUHVZLOOEHIROORZHGWRFOHDQILWWLQJVRQFHHYHU\
\HDUVQRVSHFLDOUHTXLUHPHQWVWRSHUIRUPFOHDQLQJE\XVLQJZDWHUZKLOHILWWLQJV
UHVWRQSROHVJODVVDQGSDLQWLQJSRZGHUVVKRXOGEHWUHDWHGLQDZD\WRHDVH
WKHUHPRYDOVRIVDQGGXVWGHEULVHWF
$ (OHFWULFDO2SHUDWLRQDQG6DIHW\3DUW
$ 6DIHW\ WHVW UHSRUWV 6KRXOG EH VXEPLWWHG VXEMHFW WR ,(&  ,(&
 RU 8/ VDIHW\ &HUWLILFDWHV DQG (1(& FHUWLILFDWH IRU (XURSHDQ
EDVHGSURGXFWVRU8/VWDWLQJILOHQRVIRU$PHULFDQEDVHGSURGXFWV
% (OHFWUR0DJQHWLF&RPSDWLELOLW\ (0& DQGV\VWHPLPPXQLW\WHVWUHSRUWVVKRXOG
EH  VXEPLWWHG VXEMHFW WR (1   $  $  (1 
 $  $ (1  DQG 2Q ,PPXQLW\
(1$RUVDPHDVSHU)&&HTXLYDOHQW
& )LWWLQJVVKRXOGKDYH(1(&FHUWLILFDWHRU8/OLVWLQJ (1(&RU8/8/
' 3KRWRELRORJLFDO 6DIHW\ 7KH 0DQXIDFWXUHU6XSSOLHU VKDOO HQVXUH OXPLQDLUH
FRPSOLHVZLWK3KRWRELRORJLFDO6DIHW\RIODPSVDQGODPSV\VWHPVLQDFFRUGDQFH
ZLWKWKHUHTXLUHPHQWVRI%6(1RU$16,,(61$53
( 3URYLGHSURRIRIWHVWLQJDQGFRPSOLDQFHWRWKHVWDQGDUGVDORQJZLWKFHUWLILFDWLRQ
SURYLGHG  WR SURYH WKH IL[WXUH FODVVHG DV ³([HPSW´ RU 5LVN RQH :RUNLQJ
&RQGLWLRQV 7KHOXPLQDLUHILWWLQJVKDOORSHUDWHDWƒ&DPELHQWWHPSHUDWXUHDV
GHVLJQDWHG DPELHQW WHPSHUDWXUH DQG FDQ VWDQG # ƒ& DV VWRUDJH
WHPSHUDWXUH # 5+  7KH GHGLFDWHG OXPLQDLUH H[SHFWHG XVHIXO OLIH
OLJKWRXWSXW VKDOOEHEDVHGRQDPELHQWWHPSHUDWXUHRIƒ&
) 'HSUHFLDWLRQUHTXLUHPHQWVVKDOOEHXVHIXOE\LQWHUSRODWLRQRI/0DQG/0
UHSRUWGDWDDVZHOODV/XPLQDLUHV
* 7KH DERYHPHQWLRQHG GHWDLOV DUH GLIIHUHQW IURP /0 DQG /0 WHVW
UHSRUWVVKRXOGEHSURYLGHG
+ )LWWLQJPXVWEHVXSSOLHGZLWK1(0$VRFNHWIRUUHPRWHPRQLWRULQJDQGFRQWURODV
SHU$16,&SLQV
, &RQVXOWDQW /(' VXSSOLHUVZLOOPDNHVXUHWKDW WKHLU V\VWHP DUHLQIXOO\ FRPSO\
ZLWK OLJKWLQJ PDQDJHPHQW V\VWHPV SURYLGHG E\ RWKHU VXSSOLHUV LWZLOO EH WKHLU
UHVSRQVLELOLW\LQFRRUGLQDWLQJZLWKWKRVHVXSSOLHUVWRPDNHVXUHWKDWV\VWHPDUH
ZRUNLQJSHUIHFWO\ZLWKRXWVHULRXVSUREOHPVLQWKHIXWXUH
$ 3KRWRPHWULFSHUIRUPDQFHDQG7KHUPDOPDQDJHPHQWSDUW
$ 3KRWRPHWULFSHUIRUPDQFH
L 6\VWHP(IILFLHQF\7KHRSWLPXPHIILFLHQF\RIWKHOXPLQDLUHVKDOOEHDV
IROORZLQJ
$ 0LQLPXPOXPLQDLUHHIILFDF\VKDOOEH•OOPFFW:DWGHVLJQDWHG
DPELHQW WHPSHUDWXUH RI  ƒ& DQG GHILQHG VWRUDJH WHPSHUDWXUH
RIR&
% 7KLV LV DV WRWDO V\VWHP GHVLJQ 'HOLYHU  /XPHQ 2XWSXW OP  RYHU
WRWDO V\VWHP FLUFXLW  ZDWWV FFW  DW PLQLPXP ƒ& 2SHUDWLQJ
RXWVLGH $PELHQW 7HPSHUDWXUH DQG PLQLPXP  5+  5HODWLYH
+XPLGLW\
& /XPLQDLUH 0D[LPXP  'LUHFW 8S OLJKW VKDOO EH DV SHU &,( 
DQG=(52DWGHJUHHWLOWLQJ

)HEUXDU\ 6HFWLRQ$ 5RDGVDQG7UDQVSRUW$XWKRULW\


57$5RDG/LJKWLQJ6SHFLILFDWLRQ

' 3URYLGLQJWKHFRUUHFWOXPHQRXWSXW /3:DWƒ& DWILJXUHV


IRUƒ& DPELHQWWHPSHUDWXUHRSHUDWLRQRIWKHOXPLQDLUHV\VWHP
VKDOO EH E\ /0 7HVW UHSRUW UXQ E\ DFFUHGLWHG 19/$3  RU
,62ODE
( ,IQHFHVVDU\LQVRPHODERUDWRULHVWKH\FDQFRQVLGHUUXQQLQJWHVW
IRUWKHZKROHOXPLQDLUHRXWRI/0 VFRSH 57$QHHGV WR VHH
V\VWHPIOX[#R&WRFRPSDUHUHVXOWVZLWK/0UHVXOWV 
) 7KH 6WRUDJH 7HPSHUDWXUH PXVW EH RI ƒ& DQG YDOLG IRU WKH
ZKROHV\VWHP
* $ PLQLPXP OLIHWLPH RI KU WR / DW GHVLJQDWHG DPELHQW
WHPSHUDWXUHDVZHOODVVWRUDJHWHPSHUDWXUHVKDOOEHPHW
+ 2SWLFDO &RQWURO 7KH OXPLQDLUH VKDOO EH ILWWHG ZLWK RSWLFDO
UHIUDFWRUVGLIIXVHUVOHQVHVDQGRUUHIOHFWRUV
, ,(61$ /0 UHSRUWV VKDOO EH VXEPLWWHG IRU WKH OXPLQDLUH
SKRWRPHWULFILOHVXVHG LQ WKH  OLJKWLQJ FDOFXODWLRQV DV SHU ,(61$
/0WHVWRU&,( &,( &,(7&,
- 6'&0PD[RI VWHSIRUZKROH V\VWHP QRWRQO\RQHPRGXOH 
UDQJHRIFRORXUVWREHDVGHILQHGE\$16,IRUVWHS

. /0 'HUDWLQJYDOXHVXVLQJ/0 WHVW PHWKRGZKLFK ZLOOWDNH


SODFH HYHU\ KUV IRU /3: VSHFLILFDOO\ #  RU ƒ& UXQ E\
19/$3RU,62DFFUHGLWHG/DEZLWK70

$ 7KHUPDO0DQDJHPHQW
L 7KH/(' PRGXOHV VKDOO EH PRXQWHG RQKHDY\GXW\KHDW VLQNV RQO\
GLHFDVW$OXPLQLXPZLWKOHVVFRSSHUFRQWHQWLVDFFHSWDEOH WRHQVXUH
H[FHOOHQWKHDWGLVVLSDWLRQ
LL 7KH GHVLJQ RI WKH KHDW VLQNV VKDOO EH VXFK WKDW WKHUH LV D GLUHFW
WKHUPDO SDWK IURP WKH OHG MXQFWLRQV WR WKH DWPRVSKHUH WR SURYLGH D
WKHUPDOWUDQVIHUHIIHFWWKURXJKRXWWKHOLIHRIWKHOXPLQDLUH
LLL 7KHKHDWVLQNVVKDOOEHGHVLJQE\OLJKWLQJPDQXIDFWXUHUWRHQDEOHWKH
OXPLQDLUHVWRZRUNHIILFLHQWO\LQ8$('XEDLFOLPDWLFFRQGLWLRQV
LY 7KHOXPLQDLUHVKDOOGHPRQVWUDWHYHQWLODWLRQDUUDQJHPHQWDOORZLQJKHDW
WRGLVVLSDWHWRWKHDWPRVSKHUH
Y 7KHOXPLQDLUHVKDOOEHGHVLJQLQDZD\WRSUHYHQWFROOHFWLRQRIGHEULV
RQWKHKHDWVLQNVE\SURYHQDQGVWDWHGPHDQV
YL 7KHUPDO PDQDJHPHQW WHVW UHSRUW ,6707 ,Q 6LWX WHPSHUDWXUH
PHDVXUHPHQWV WHVW  UHSRUW  UXQ XQGHU 8/  IURP DFFUHGLWHG
ODERUDWRU\UHSUHVHQWLQJZRUVWFDVHVFHQDULRRI7VVDQG7FV VKRXOG
EHXVLQJWKHUPDOFDPHUDVKRWVGXULQJWHVW 
YLL 6DQGDQGGXVWWHVWUHSRUWWR,(&VKDOOEHSURYLGHGDQGVXEMHFW
WRFRQVXOWDQW57$DSSURYDO
YLLL 3URYLGH UHSRUW DERXW OXPLQDLUH WKHUPDO EHKDYLRXU XQGHU H[WUHPH
VDQGHG FRQGLWLRQV GXULQJ WHVW D ZRUVWFDVH VFHQDULR FUHDWHG E\
DFFXPXODWLQJ ILQV VLGH XSVLGH  RI WKH  ILWWLQJ ZLWK VDQG DFFRUGLQJ WR
,(&DQGWKHQVWRSGLUHFWDLUIORZIRUDWOHDVWKUV7KHQVWDUWWR
WDNH7VSDQG7FPHDVXUHPHQWVYDOXHV

)HEUXDU\ 6HFWLRQ$ 5RDGVDQG7UDQVSRUW$XWKRULW\


57$5RDG/LJKWLQJ6SHFLILFDWLRQ

L[ &RQVXOWDQW57$ DUH H[SHFWLQJ WR VHH 7VS DQG 7F YDOXHV EHIRUH DQG
DIWHU VDQG  DFFXPXODWLRQ LW PXVW VKRZ HYLGHQFH WKDW WHPSHUDWXUH
YDOXHV 7VSV DQG 7FV  GLG QRW H[FHHG  EHIRUH DQG DIWHU VDQG
DFFXPXODWLRQ7KHWHVWFHUWLILFDWHVKDOOSURYLGHHYLGHQFHWKDWWKHKHDW
LQFUHDVH LQVLGH WKH KRXVLQJ HQFORVXUH 7VS DQG 7F  ZLWK GXVW  DQG
VDQG VKDOO QRW EH PRUH WKDQ  RI WKH KHDW LQVLGH ZLWKRXW WKH
DFFXPXODWLRQ DQG  ZLWK QR DGYHUVH HIIHFW RQ WKH OLIHWLPH RI WKH
OXPLQDLUHDQGFRPSRQHQWV

[ 'XVWDQGVDQGWHVWFHUWLILFDWHVKDOOEHVXEPLWWHGE\WKHPDQXIDFWXUHU
IURPDQLQGHSHQGHQWLQGHSHQGHQWO\FHUWLILHGWHVWODERUDWRU\

$ 8VHIXO/LIH7LPH&DOFXODWLRQVPHWKRG
L ,QVLWHSHUIRUPDQFHPHWKRGVKDOOEHRQO\XVHGDQGDFFHSWHG
LL ,6707UHSRUWVDWƒ&VKDOOEHGHILQHGVHSDUDWHO\LQFDVHRIGLIIHUHQW
ILWWLQJV VL]HV  70 5HSRUWHG 1RW &DOFXODWHG  VKDOO EH VKRZQ IRU
GLIIHUHQW 7VS UXQ DW  KRXUV  /0 7HVW UHVXOWV 6KDOO EH
SURYLGHGDQGDFFHSWHG
LLL 4XDGUDWLF,QWHUSRODWLRQFXUYHVVKDOOVKRZXSOXPHQ0DLQWHQDQFHRYHU
.KRXUVDVZHOODVGHILQHG7VSDVVKRZQLQ,6707UHSRUW/0
DQG70UHSRUWHG
LY 5HSRUWHGOLIHWLPHVKDOOEHSURYLGHGIRU/ N KRXUVDWR&
DPELHQWWHPSHUDWXUH
Y //'VKDOOEHIURPƒ&WRƒ&DWKRXUV

$ 7HVWUHTXLUHPHQWV
$ )XOOSURGXFWV LQVSHFWLRQ ZLOOEHUXQE\ GHGLFDWHGSHRSOHVHW E\57$
WR FKHFN HYHU\ VWHS  RQ SURGXFWLRQ OLQH DV ZHOO DV DVVHPEO\ EHIRUH
GHOLYHU\
% )DFWRU\ LQVSHFWLRQ WR EH FDUULHG RXW E\ 6XSSOLHU0DQXIDFWXUHU
LQFOXGLQJ EXW QRW OLPLWHG WR 7UDQVSRUWDWLRQ DLU WLFNHWV IDFWRU\
LQVSHFWLRQ FRVW DQ\ DGGLWLRQDO WHVW FHUWLILFDWHV  QHHGHG
DFFRPPRGDWLRQORFDOWUDQVSRUWDWLRQLQHDFKGHVWLQDWLRQ
& 7KH /(' VWUHHW OLJKWLQJ VXSSOLHU VKDOO GHPRQVWUDWH OLJKWLQJ
FDOFXODWLRQV DQG DWWDFK FRUUHODWHG ,(6 ILOHV IRU FHUWDLQ SKRWRPHWULF
XVHGZLWKLQOLJKWLQJGHVLJQLQFOXGLQJGLIIHUHQWRSWLFVFDOFXODWLRQVXQWLO
UHDFK RSWLPXP VROXWLRQ XVLQJ 2QO\ ',$/8; OLJKWLQJ  FDOFXODWLRQV
JLYHQOLJKWLQJSDUDPHWHUV

L 5HTXLUHG/LJKWLQJ/HYHOV
$ 8QOHVVRWKHUZLVHPHQWLRQHG/('VWUHHWOLJKWLQJVXSSOLHUVVKDOOIROORZ
&,( DQG  &,( DQG SURMHFW GHVLJQ UHTXLUHPHQW DQG JLYHQ
SDUDPHWHUV 0HDQZKLOH FRQVXOWDQW57$ ZLOO KDYH VHSDUDWH WDEOH
LGHQWLI\LQJOLJKWLQJOHYHOVSHUHDFKVHFWLRQ

)HEUXDU\ 6HFWLRQ$ 5RDGVDQG7UDQVSRUW$XWKRULW\


57$5RDG/LJKWLQJ6SHFLILFDWLRQ

% $PDLQWHQDQFHIDFWRURIVKDOOEHXVHGRQDOOOLJKWLQJFDOFXODWLRQV
DOVR VXSSOLHU QHHG  WR VXEPLW OLJKWLQJ FDOFXODWLRQV DW 0) RI 
UHSUHVHQWVWKHGD\RQHPHDVXUHPHQWVVKDOOEHVXEPLWWHGDORQJZLWK
FDOFXODWLRQV

LL :DUUDQW\
D &RPSUHKHQVLYH  \HDUV ZDUUDQW\ VKDOO EH JLYHQ IRU WKH ZKROH
V\VWHP LQFOXGLQJ EXW QRW OLPLWHG WR /(' PRGXOHV 'ULYHU ZLULQJ
FRQQHFWLRQV +RXVLQJ JODVV FRYHU KDUGZDUH¶V  SDLQWLQJ FRUURVLRQ
HWF
E \HDUVZDUUDQW\VKDOOEHJLYHQIRUPDLQWDLQHGOLJKWLQJOHYHOVVWDUWLQJ
IURP  FRPPLVVLRQLQJ GDWH DVVXPLQJ WKH PHDVXUHPHQW IRU VW  
\HDUV HDFK  KRXUV ZLOO EH GRQH E\ VXSSOLHU D  UHFRUG RI WKH
PHDVXUHPHQWZLOOEHNHSWDW57$FRQVXOWDQWVLGHWRDVVHVVHIIHFWHG
YDOXHV 
F ,Q FDVH RI OLJKWLQJ YDOXHV IDOO GRZQ EHORZ PDLQWDLQHG YDOXHV D
FRUUHFWLYHDFWLRQPXVWEHWDNHQE\VXSSOLHUDWVLWHWRWKHVDWLVIDFWLRQ
RIFRQVXOWDQW57$

)HEUXDU\ 6HFWLRQ$ 5RDGVDQG7UDQVSRUW$XWKRULW\


57$5RDG/LJKWLQJ6SHFLILFDWLRQ

$ /$036 ([LVWLQJLQVWDOODWLRQV

$ 7KHODPSVUHTXLUHGVKDOOFRPSO\ZLWKWKHIROORZLQJ

7DEOH6WUHHW/LJKWLQJ/DPSV6WUHHW/LJKWLQJ/DPSV

3RZHU LQWR 7RWDO /XPLQRXV )OX[ /DPS /LIH 7LPH KU


7\SH /DPS OP %DVH 0LQ
:DWW 9DOXHV

+LJK   ( 


3UHVVXUH
  ( 
6RGLXP
  ( 
  ( 
  ( 
  ( 

5DSLG   * 


6WDUW
+*
7XEH
/LJKW

$ 5HPDUNV
L 7KH KLJK SUHVVXUH VRGLXP ODPSV VKDOO EH FOHDQ WXEXODU W\SH DQG
JROGHQZKLWHFRORXU
LL 7KH WXEH OLJKW VSHFLILHG DERYH VKDOO EH ZKLWH FRORXU  IHHW ORQJ
DQGPPGLDPHWHU
LLL /DPSWKUHDG7LQFRSSHURUFKURPHSODWHGFRSSHU
LY 2SHUDWLQJ9ROWDJH9ROWVDW+]
Y $WKDOIOLIHWKHPDLQWDLQHGOXPLQRXVIOX[VKDOOQRWEHOHVVWKDQRI
WKHLQLWLDOOXPLQRXVIOX[
YL 7KHKLJKSUHVVXUHVRGLXPYDSRXUODPSVKDOOFRQIRUPWR%6(1

YLL )DLOXUHUDWHVKDOOQRWH[FHHGLQWKHILUVWEXUQLQJKRXUV
YLLL 7HVW FHUWLILFDWHV IURP DSSURYHG LQGHSHQGHQW ODERUDWRULHV VKDOO EH
VXEPLWWHGDORQJZLWKWKHWHQGHUGRFXPHQWV

)HEUXDU\ 6HFWLRQ$ 5RDGVDQG7UDQVSRUW$XWKRULW\


57$5RDG/LJKWLQJ6SHFLILFDWLRQ

$ 63(&,),&$7,21)25675((7/,*+7,1*6(59,&(&87287
$ $SSOLFDWLRQ
$ 7KH VWUHHW OLJKWLQJ VHUYLFH FXWRXW DUH UHTXLUHG WR EH LQVWDOOHG DW WKH EDVH RI
FROXPQV SROHV  IRU SURWHFWLQJ WKH OXPLQDLUHV IL[HG DW WKH WRS RI WKH FROXPQV
DJDLQVWVKRUWFLUFXLWV
$ 5DWLQJ
$ 7KH VHUYLFH FXWRXW VKDOO EH UDWHG DW 99  +] RSHUDWLRQ DW  GHJ
DPEWHPSDQGUHODWLYHKXPLGLW\
$ 6WDQGDUG
$ 7KH VWUHHW OLJKWLQJ VHUYLFH FXWRXW VKDOO FRQIRUP WR WKH SURYLVLRQV RI %6 (1
RU,(&
$ &RQVWUXFWLRQ
$ 7KH W\SLFDO DUUDQJHPHQW RI D VWUHHW OLJKWLQJ VHUYLFHV FXWRXW DORQJZLWK
GLPHQVLRQVDQGPDWHULDOVRIFRQVWUXFWLRQDUHVKRZQLQWKHGUDZLQJV
% 7KHVWUHHWOLJKWLQJVHUYLFHFXWRXWVKDOOFRQVLVWRI
L +RXVLQJZLWKFRYHU
LL 0LQLDWXUH&LUFXLW%UHDNHU
LLL 7HUPLQDO%ORFNV5<%1
LY  %UDVV FDEOH JODQGV ZLWK VKURXGV IRU VL]HV DV DSSURYHG LQ VKRS
GUDZLQJV
Y .QRFNRXWIRU%UDVVFDEOHJODQGVF;VTPP1\ORQFDEOH
JODQGVZLWKVKURXGVRIEHVWTXDOLW\F;VTPP
YL 1WHUPLQDOZD\VTPP
YLL (WHUPLQDOZD\VTPP
& 0LQLDWXUH&LUFXLW%UHDNHUV 0&% VKDOOEHXVHG
' 7HUPLQDO$VVHPEO\
L  FDEOH WHUPLQDOV  SKDVH DQG  QHXWUDO  VKDOO EH IL[HG WR D KLJK
TXDOLW\ SKHQROLF ILEUH ERDUG RU JODVV ILEUH UHLQIRUFHG LQVXODWRU  7KH
GLHOHFWULFVWUHQJWKRIWKHLQVXODWRUVKDOOQRWEHOHVVWKDQN9PP
LL 7KH IOH[XUDO VWUHQJWK RI WKH LQVXODWRU VKDOO EH QRW OHVV WKDQ 
NJFPWKHLQVXODWRUPDWHULDOWREHLQDFFRUGLQJWR',1W\SH
RUVLPLODUDSSURYHG
LLL (DFK FDEOH WHUPLQDO DVVHPEO\ VKDOO EH FDSDEOH RI DFFHSWLQJ  1RV
VHFWRUVKDSHGFRSSHUFDEOHVRIQRWOHVVWKDQPPHDFK
LY (DFK LQFRPLQJ DQG RXWJRLQJ WHUPLQDO VKDOO EH EROWHG WR DQ
HOHFWURO\WLFDOO\WLQQHG+&+'FRSSHUEDURI[PPFURVVVHFWLRQ
Y (DFKFDEOHWHUPLQDOVKDOOKDYHWKHSURYLVLRQWRFRQQHFWDQGWRWDSRII
D OXJJHG PP RU  PP DV VKRZQ RQ GUDZLQJV  SKDVH FRORUHG
ZLUHRIQRWOHVVWKDQFPORQJ
YL 7KHWDSRIZLUHVKDOOEHEROWHGRQWRWKHPDLQWHUPLQDOE\XVLQJD0[
PPVOLWKHDGVFUHZZLWKVSULQJZDVKHU
YLL  1R OXJJHGWDSRIZLUH LQSKDVH FRORXUWREHSURYLGHGDQGILWWHGRQ
HDFKWHUPLQDO
YLLL $OOWHUPLQDOSDUWVWREHPDGHIURPPDWHULDOVZKLFK DUHQRWVXEMHFWWR
GHYHORSFRUURVLRQZKHQXVHGLQFRPELQDWLRQZLWKHDFKRWKHU
L[ $OOVFUHZVQXWVDQGIL[LQJDFFHVVRULHVVKDOOEH66/

)HEUXDU\ 6HFWLRQ$ 5RDGVDQG7UDQVSRUW$XWKRULW\


57$5RDG/LJKWLQJ6SHFLILFDWLRQ

[ $ KLJK TXDOLW\ IOH[LEOH SKDVH LQVXODWLQJ EDUULHU VKDOO EH SURYLGHG


EHWZHHQ DOO WHUPLQDOV DV ZHOO DV RQ ERWK VLGHV RI WKH HQG WHUPLQDOV
7KHSKDVHEDUULHUVKDOOSURWUXGHVXIILFLHQWO\RQDOOVLGHVRIWKHWHUPLQDO
WRHQVXUHHOHFWULFDOO\VDIHW\
[L %UDVVFDEOHJODQGVVKDOOFRQIRUPWR%6DQGVKDOOEHW\SH%:
FRPSOHWHZLWKORFNQXW7KH\VKDOOEHPRXQWHGWRJHWKHUZLWKDPP
WKLFN WLQQHG FRSSHU SODWH OLQNLQJ WKHP WRJHWKHU  7KH FRSSHU SODWH
VKDOOEHERQGHGWRDQH[WHUQDOHDUWKVWXGDQGWRWKHHDUWKEDU
[LL 1HXWUDO DQG HDUWK EDUV VKDOO EH RI QLFNHOSODWHGEUDVV 7KHHDUWK EDU
VKDOOEHVROLGO\ERXQGHGWRWKHPHWDOKRXVLQJ
$ +RXVLQJ
7KHKRXVLQJFRQVLVWVRIDEDVHSODWHKROGLQJDOOFRPSRQHQWVDQGJODQGVDQGD
$
UHPRYDEOH FRYHU  7KH PDWHULDO VKDOO EH HOHFWURJDOYDQL]HG VKHHW VWHHO
SRO\HVWHU SRZGHU FRDWHG WR D ILOP WKLFNQHVV RI PLQ  PLFURQV DJDLQVW
FRUURVLRQXQGHU'XEDLFOLPDWLFFRQGLWLRQV 7KHSODWHVKDOOEHPPWKLFNDQG
WKHFRYHUPPWKLFN3URWHFWLRQFODVVVKDOOEH,37KHEDVHSODWHVKDOO
KDYH1RVUHDUIL[LQJKROHVRIPPGLDPHWHU
% $Q\QRQFRUURVLRQPHWDOOLFPDWHULDOFDQEHXVHGVXEMHFWWR57$DSSURYDO
$ 1DPHSODWH
$ 7KH VHUYLFH FXWRXW GRRU VKDOO KDYH D ODEHO SODWH PHQWLRQLQJ ³'DQJHU ± /LYH
3RZHU´DQGVKDOOEHILWWHGZLWKVFUHZSDVWLQJVWLFNHULVQRWDOORZHG
% 7KHFRYHUIL[LQJVFUHZVVKDOOEHFDSWLYH7KHRYHUDOOGLPHQVLRQVDUHVKRZQLQ
WKHGUDZLQJ
$ 7HVWLQJ
$ 7KH FXWRXW VKDOO EH WHVWHG DVSHU WKHSURYLVLRQV RI %6 (1 DQG,(&
&ODXVH  DQG URXWLQH WHVW FHUWLILFDWHV VKDOO EH VXEPLWWHG IRU
(QJLQHHU
VDSSURYDO

$ 0DWHULDOV7R%H6XEPLWWHG:LWK7KH2IIHU
$ (DFKFRQWUDFWRUVKDOOVXEPLWZLWKKLVRIIHUWKUHHQXPEHUVRIHDFKW\SHRIFXWRXW
UHTXLUHG IRU DQG IXOO\ DVVHPEOHG  7KH PDWHULDOV WR EH DFFRPSDQLHG E\
PDQXIDFWXUHUVRSHUDWLQJLQVWUXFWLRQV

$ 675((7/,*+7,1*)(('(53,//$5
$ 6SHFLILFDWLRQVDQG'UDZLQJV
3RZHUGLVWULEXWLRQSDQHOVFRQWUROSDQHOIRUVWUHHWOLJKWLQJSXUSRVHV
$
% 7KLVVHFWLRQFRQWDLQVDGHVFULSWLRQDQGWKHVSHFLILFDWLRQVIRUWKHOLJKWLQJFRQWURO
SDQHOV DV LQGLFDWHG RQ WKH GUDZLQJV GHVFULEHG LQ WKH %LOO RI 4XDQWLW\ DQG DV
VSHFLILHGKHUHLQ
& 2WKHU GLVWULEXWLRQ SDQHOV UHODWHG WR URDG OLJKWLQJ VKDOO FRPSO\ WR WKH IROORZLQJ
VSHFV
$ &DELQHW3LOODU3HUIRUPDQFH
5HIHUWR6HFWLRQ$&KDSWHU*HQHUDO5HTXLUHPHQWV
$ 'XUDELOLW\
$ &DELQHW FRQVWUXFWLRQ DQG PDWHULDOV VKDOO VXLW WKH H[WHUQDO HQYLURQPHQWDO
FRQGLWLRQV IRU HDFK LQVWDOODWLRQ LQFOXGLQJ EXW QRW OLPLWHG WR SURWHFWLRQ IURP
FKHPLFDOVDFLGVDOWVZDWHUDQGVROYHQWV

)HEUXDU\ 6HFWLRQ$ 5RDGVDQG7UDQVSRUW$XWKRULW\


57$5RDG/LJKWLQJ6SHFLILFDWLRQ

% 7KH SDQHO VKDOO FRQVLVW RI D GRXEOH FRPSDUWPHQW FDELQHW ZLWK WZR GRRU
RSHQLQJV  $OOSDQHO VKDOO EH FRQVWUXFWHGIXOO\ VXLWDEOHIRUSHUPDQHQW RXWGRRU
LQVWDOODWLRQIRUWKHFRQWURORIURDGOLJKWLQJ
& (DFK FRQWURO SDQHO VKDOO KDYH WZR VLQJOH SKDVH 0&% DQG RQH 1R 73 0&%
FRQQHFWHGWRWKHRXWJRLQJVLGHRIN:KPHWHUVXLWDEOHWRVXSSO\KRXUVSRZHU
' 7KH FDELQHWV )HHGHU 3LOODUV  VKDOO EH FRQVWUXFWHG LQ D ZD\ WR HQVXUH HDV\
LQVWDOODWLRQ RI D  SKDVH N:KUHDGLQJ PHWHU LQ LWVFRPSDUWPHQW LQ FRPSOLDQFH
ZLWK'(:$UHTXLUHPHQWV

( (DFKIHHGHUSLOODUPXVWEHIXUQLVKHGZLWKDVLQJOHOLQHµ$VEXLOW¶ZLULQJGLDJUDP
LQWKHSRFNHWLQVLGHWKHFDELQHW

$ (TXLSPHQW+RXVLQJ
$ +RXVLQJVKDOOEHWRVWDQGDUGVHTXLYDOHQWWR%6(1
% 7KH HQFORVXUH VKDOO EH IDEULFDWHG IURP KLJKJUDGH DOXPLQXP VKHHW ZLWK
WKLFNQHVVQRWOHVVWKDQPP7KHVKHHWDOXPLQXPHQFORVXUHVKDOOEHFRDWHG
ZLWK D WKHUPRVHWWLQJ SRZGHU RI DQ HSR[\ UHVLQ EDVH PRGLILHG E\ SRO\HVWHU
UHVLQVDQGWKHFRORXU VKDOO EH 5$/ OLJKWJUD\   7KH HQFORVXUH VKDOO EH
SURYLGHGZLWKDVPRRWKILQLVKDQGH[FHOOHQWSURWHFWLRQDJDLQVWFRUURVLRQIRU
\HDUV PDLQWHQDQFH IUHH RXWGRRU XVH  ,W VKRXOG DOVR KDYH H[FHOOHQW FKHPLFDO
SURWHFWLRQ SURSHUWLHV DJDLQVW DFLG VDOW ZDWHU DQG VROYHQWV  7KH SDQHO
HQFORVXUH VKDOO EH PDGH VXLWDEOH WR ZLWKVWDQG WKH G\QDPLF VWUHVVHV  LQ WKH
HYHQW RI D VKRUWFLUFXLW  7KH GRRUV VKDOO EH 1HRSUHQH JDVNHWHG WR SURYLGH
SURWHFWLRQDJDLQVWWKHLQJUHVVRIPRLVWXUHDQGGXVWWRGHJUHH,3RI,(&
7KH JDVNHW VKDOO EH DGHTXDWH WR PDLQWDLQ WKLV SURWHFWLRQ DW  GHJUHH &
DPELHQW
& $ SUHIDEULFDWHG VORSHG FDQRS\ RI VXLWDEOH GLPHQVLRQV WR SURWHFW WKH FDELQHW
IURP ZDWHU DQG GLUHFW YHUWLFDO VXQOLJKW VKDOO EH SURYLGHG  7KH PDWHULDO VKDOO
FRPSO\ZLWKWKHUHTXLUHPHQWVPHQWLRQHGDW3DUD%DERYH$QDLUJDSQRWOHVV
WKDQFPVKDOOEHSUHVHQWEHWZHHQWKHFDQRS\DQGFDELQHW
' 7KH HQFORVXUH GRRU VKDOO KDYH UREXVW ZHDWKHUSURRI KLQJHV RI SRO\DPLGH W\SH
ZLWKVXLWDEOHDQG VXEVWDQWLDO ORFNDEOH ODWFKLQJ GHYLFH $ PHWDO SRFNHWIRU WKH
VFKHPDWLFGLDJUDPDQGWKHµ$VEXLOW¶GLDJUDPVKDOOEHSURYLGHGLQWKHHQFORVXUH
GRRU7KHHQFORVXUHGRRUVKDOOKDYHWZRORFNV2QHORFNVKDOOEHIOXVKW\SH
ZLWK QRQUXVWLQJ WULDQJXODU PHWDO LQVHUW VWDLQOHVV VWHHO   7KH RWKHU ORFN VKDOO
KDYHVPDOOZLQJKDQGOHZLWKVHSDUDWHNH\V WZRQXPEHUV WRHDFKSDQHO$OO
NH\VVKDOOKDYHWKHVDPHSURILOHDQGGHVLJQWRPDWFKDOOGRRUV$KHDWUHVLVWDQW
WRXJKHQHG JODVV UHLQIRUFHG ZLQGRZ ZLWK D VXLWDEOH GLPHQVLRQ DSSUR[LPDWHO\
FP [ FP  LV WR EH VXSSOLHG RQ WKH SDQHO GRRU RSSRVLWH WR WKH SURSRVHG
ORFDWLRQRIWKHN:KPHWHURURWKHUZLVHDVSHU'(:$UHTXLUHPHQWV
( 7KH GRRU VKDOO EH GHVLJQHG LQ D PDQQHU WKDW RSHQLQJ RI  GHJUHH FDQ EH
DWWDLQHG$QDQRGL]HGDOXPLQLXPODEHOSUHIHUDEO\GXDOFRORUEHDULQJµ57$¶LQ
ERWK$UDELFDQG(QJOLVKPPVL]HLQILUVWURZDQG?6WUHHW/LJKWLQJ3DQHO¶LQ
PPVL]HIRUWKHVHFRQGURZVKDOOEHDWWDFKHGWRWKHGRRULQDSURSHUORFDWLRQ
DQGILUPO\DWWDFKHGZLWKULYHWV$OOKLQJHVDUHWREHJXQPHWDORUVWDLQOHVVVWHHO
) 7KH HQFORVXUH VKDOO EH SURYLGHG ZLWK D GRRU VZLWFKRSHUDWHG LQWHUQDO
LOOXPLQDWLRQ ODPS FLUFXLW FRPSOHWH ZLWK /('¶V ODPSV VXLWDEOH SURWHFWHG IURP
DFFLGHQWDOGDPDJHDQGORFDWHGLQWKHWRSVLGHRIWKHSDQHO
* 7KHSDQHOVKDOOKDYHIXOOVL]HQHXWUDOFRPSOHWHO\ERQGHGWRWKHPDLQVKHOODQG
FRQQHFWHGWRWKHGRRUE\DEUDLGHGFRSSHUZLUH3URYLVLRQVKDOOEHPDGHLQWKH
HQFORVXUH WR WHUPLQDWH WKH HDUWK FRSSHU SODWH ZLWKWKH HDUWK HOHFWURGH RXWVLGH
WKHSDQHO

)HEUXDU\ 6HFWLRQ$ 5RDGVDQG7UDQVSRUW$XWKRULW\


57$5RDG/LJKWLQJ6SHFLILFDWLRQ

+ )RXUQXPEHUVRIRSHQLQJVLQWKHERWWRPSODWHDQFKRULQJWKHIHHGHUSLOODUWRWKH
FRQFUHWHIRXQGDWLRQVKDOOEHSURYLGHG'LPHQVLRQORFDWLRQDQGVL]HRIDQFKRU
EROWVWREHXVHGLVWREHVSHFLILHG$UXEEHULQVXODWLRQVKHHWKDVWREHLQFOXGHG
VHSDUDWLQJ WKH DOXPLQXP ERWWRP IURP WKH FRQFUHWH EDVH  7KH KRXVLQJ SDQHO
VKDOO DOORZ EXLOGLQJ XS HTXLSPHQW FRPSO\LQJ ZLWK %6  %6 
DQG%6(1
, 7KHHTXLSPHQWPRXQWLQJSDQHOVKDOOEHKRWGLSJDOYDQL]HGVWHHOPDWHULDOVKHHW
QRW OHVV WKDQ PP WKLFN HSR[\ FRDWHG RU PP 3HUWLQD[ DQG VKDOO HDVLO\
LQVWDOOHG DQG UHPRYHG IURP WKH IURQW RI WKH FDELQHW LQ DVVHPEOHG IRUP  $OO
KLQJHVDQGORFNVDUHWREHHDVLO\UHPRYDEOHUHSODFHDEOH
- 7KHSDQHOVKDOOEHSURYLGHGZLWKDUHPRYDEOHHDUWKLQJQLFNHOSODWHGRUWLQQHG
PP WKLFNQHVV DQG JODQG SODW RI PLQLPXP PP QHDU WKH ERWWRP WR IL[
FRPSUHVVLRQW\SHEUDVVJODQGVDORQJZLWKHDUWKWDJ$OOLQFRPLQJDQGRXWJRLQJ
FDEOHVVKDOOHQWHUDQGOHDYHWKHFDELQHWDWWKHERWWRP
. &DEOHJODQGHQWU\KROHVDUHWREHIDFWRU\SXQFKHGDQGDUHWREHWKHNQRFNRXW
W\SHRUVHDOHGZLWKDSSURSULDWHUXEEHUFRYHU7KHQXPEHURIFDEOHHQWU\KROHV
VKDOO QRW EH OHVV WKDQ VL]H DQG VKDOO EH DFFRUGLQJ WR WKH FDEOH VL]H DQG WKH
XQXVHGUHODWLYHGLPHQVLRQVDUHWREHVSHFLILHGE\WKHHQJLQHHU
/ 7KHFRPSOHWHSUHDVVHPEOHGSDQHOVKDOOEHDSSURSULDWHO\SDFNHGDQGSURWHFWHG
IURP GDPDJH GXULQJ VWRUDJH VKLSPHQW DQG KDQGOLQJ  7KH IHHGHU SLOODU
GLPHQVLRQVVKDOOEHZLWKLQWKHUDQJHVSHFLILHGKHUHLQ
L +HLJKWPP ZLWKRXWFDQRS\ 'LPHQVLRQVPP
LL :LGWKPP ZLWKRXWFDQRS\ 'LPHQVLRQVPP
LLL 'HSWK    PP ZLWKRXW FDQRS\   'LPHQVLRQV  PP  DQG
FRQVLVWVRIWKHIROORZLQJ

$ :LULQJ$QG&DEOLQJ
$ $OO VHFRQGDU\ LQWHUQDO ZLULQJ ZLWKLQ WKH FRQWURO FDELQHW VKDOO EH ZLWK KHDW
UHVLVWLQJ 9 KDUG JUDGH 39& LQVXODWHG FRSSHU FDEOHV FRORXU FRGHG RU
VOHHYHG IRU HDV\ SKDVH LGHQWLILFDWLRQ VXLWDEOH IRU WKH FLUFXLW UDWLQJ  DUUDQJHG
QHDWO\ DQG ILUPO\ DWWDFKHG  $OO WKH ZLULQJ OHDGVVKDOO EH VRDUUDQJHG WR DOORZ
FXUUHQWUHDGLQJZLWKDFOLSRQDPPHWHURQHDFKSKDVHRIPDLQLQFRPLQJDQGDOO
RXWJRLQJFLUFXLWV
% %XVEDUV VKDOO EH RI WKH VDPH DPSHUDJH UDWLQJV DW  GHJUHH & DPELHQW DW
HQFORVXUH FRQGLWLRQ DV WKH PDLQ FLUFXLW EUHDNHU DQG VKDOO EH PDGH RI WLQQHG
FRSSHUIODWVDQGURXQGEDUVFRPSO\LQJZLWK%6IRUKLJKYROWDJH7KH\
VKDOOEHFRORXUVOHHYHGIRUHDV\SKDVHLGHQWLILFDWLRQDQGDGHTXDWHO\VXSSRUWHG
WR ZLWKVWDQG G\QDPLF VWUHVVHV LQ WKH HYHQW RI VKRUW FLUFXLW  ([SRVHG EXVEDUV
VKDOOEHLQVXODWHGDQGVFUHHQHGWRSUHYHQWDFFLGHQWDOFRQWDFWLQOLYHFRQGLWLRQV
$QHDUWKRUJURXQGEDUQRWOHVVWKDQPP[PPVKDOOEHVROLGO\EROWHGZLWK
VWDLQOHVVVWHHOEROWVRIJUDGH$,6,/WRWKHPDLQERG\RIWKHFRQWUROFDELQHW
6XIILFLHQW YDFDQW DUHD  FP [  FP PLQLPXP  VKDOO EH OHIW IRU IXWXUH
LQVWDOODWLRQ RI D N:K PHWHU :RRGHQ EDFN ERDUG VKDOO EH SURYLGHG IRU WKH
LQVWDOODWLRQRIDN:K0HWHU
& $OOZLUHWHUPLQDOVLQWRFRQQHFWRUVVKDOOKDYHZLUHHQGVRUVWUDLJKWOXJV$OOWKH
ZLUHV VHOHFWHG VKRXOG KDYH WKH DPSHUDJH UDWLQJ DW  GHJUHH DPELHQW DQG
VXIILFLHQWDOORZDQFHIRUHQFORVXUHGHUDWLQJ
' 7KHVXSSOLHUV
DWWHQWLRQLVGUDZLQJWRWKHIDFWWKDW
L $OO LQFRPLQJ FDEOH IHHGHUV WR WKH SDQHO VKDOO EH DUPRXUHG  VROLG
&RSSHUFRQGXFWRUV&RUH;/3(LQVXODWHGDQG39&RYHUVKHDWKHG

)HEUXDU\ 6HFWLRQ$ 5RDGVDQG7UDQVSRUW$XWKRULW\


57$5RDG/LJKWLQJ6SHFLILFDWLRQ

LL $OORXWJRLQJFDEOHIHHGHUVIURPWKHSDQHOVKDOOEHDUPRXUHGVWUDQGHG
FRSSHUFRQGXFWRUV &RUH ;/3( LQVXODWHGDQG39& RYHUVKHDWKHG
7KHRXWJRLQJWHUPLQDOVVKDOOEHVXLWDEOHIRUFDEOHVRIVTPP
( 7KHUHIRUHDOOWKHFRQQHFWRUVPXVWEHVXLWDEOHWRUHFHLYHWKHVHW\SHVRIFDEOH
) $OO RXWSXW FDEOHV VKDOO EH FRQQHFWHG WKURXJK UXJJHG WHUPLQDOV  $OO WHUPLQDOV
VKDOOEHGHVLJQHGIRUVHFWRUVKDSHGVWUDQGHGFRSSHUFRQGXFWRUV$OOLQFRPLQJ
DQGRXWJRLQJFDEOHVDUHWRHQWHUIURPWKHERWWRPRIWKHHQFORVXUHDQGKHQFHDOO
WKHFRQQHFWLRQVPXVWEHGRQHDWWKHERWWRPDQGQRWDWWKHVLGHV
* $OOFDEOHVDQGZLUHVPXVWEHFRORXUFRGHGDVSHUWKHIROORZLQJGHWDLO
L %OXH5HGDQG<HOORZIRUSKDVHV
LL %ODFNIRUQHXWUDO
LLL *UHHQ<HOORZIRUWKHHDUWKZKHUHYHUUHTXLUHG
+ 39&VKHDWKVKDOOEHSURYLGHGWRLQVXODWHWKHH[SRVHGEXVKHVDQGFRQQHFWRUV

$ )XVH$QG)XVH%DVH
$ 7KHUHVKDOOEHD/9+5&V\VWHPFRQVLVWLQJRIIXVHEDVHVIXVHFDUWULGJHDQG
DFFHVVRULHVFRPSO\LQJZLWK%6 )XVHFDUWULGJHVVKDOOEH,(&FODVVJ/J*
DQG WKH EDVH VKDOO EH RI PRGXODU FRQVWUXFWLRQ VXLWDEOH IRU ',1UDLO PRXQWLQJ
7KH EDVHV DUHWR EH PDGHRI WKHUPRVHWWLQJ VHOI H[WLQJXLVKLQJ PDWHULDO UDWHG
IRU$
% )RU FLUFXLW SURWHFWLRQ RI LQWHUQDO ODPSV WKHUH VKDOO EH D /9 +5& V\VWHP
FRQVLVWLQJRIIXVHER[HVIXVHFDUWULGJHDQGDFFHVVRULHVFRPSO\LQJZLWK%6
7KHIXVHEDVHVKDOOEHVXLWDEOHIRUF\OLQGULFDOW\SHIXVHVRIVL]H[PPDQG
WKHEDVHVKDOOEHRIPRGXODUFRQVWUXFWLRQVXLWDEOHIRU'LQ5DLOPRXQWLQJ7KH
EDVHV DUH WR EH PDGH RI WKHUPR VHWWLQJ VHOIH[WLQJXLVKLQJ PDWHULDO UDWHG IRU
$0HWDOSDUWVFRQWDFWVDQGVSULQJVDUHWREH]LQFSODWHGDQGSDVVLYDWHGIRU
SURWHFWLRQ DJDLQVW FRUURVLRQ $OO PRGXODU IXVH FDUULHUV ZLWK VKLHOGHG WHUPLQDOV
VKDOOEHVLPLODUWR/HJUDQGVLQJOHSROHRUHTXLYDOHQW
& &\OLQGULFDOFDUWULGJHW\SHIXVHOLQNVVXLWDEOHIRUWKHEDVHVDUHWREHXVHG7KH\
VKDOO FRQIRUP WR ,(&  DQG %6    RU ',1  $1' 6+$//
:,7+67$1' $ 583785( &$3&,$7< 2)  N$  )XVHV VKDOO EH RI D ORZ
LQWHUQDOORVVDQGORZLQWHUQDOWHPSHUDWXUHULVH$OOIXVHVDUHWREHSURWHFWHGE\
LQVXODWLQJVKLHOGRUVLPLODU
' (DFKIHHGHUSLOODUPXVWKDYHRQHQXPEHU$PSVVLQJOHSKDVH+5&IXVHVL]H
[ZLWKEDVHIRUWKHFDELQHWLQWHUQDOODPSFLUFXLW
( (DFKIHHGHUSLOODUVKDOOKDYHRQHQXPEHUVLQJOHSKDVH+5&)XVHVL]H [
±$PSVDQGDSOH$PSV(/&%DQGDSSURSULDWHFRUURVLRQUHVLVWDQW
VZLWFKHGVRFNHWRXWOHW  SLQVTXDUH%ULWLVK W\SH ZLWKER[ SDWWUHVV  DVSHU %6
   DSSUR[LPDWHO\ ORFDWHG DQG QHDWO\ DQG WLJKWO\ ILWWHG LQVLGH WKH
HQFORVXUH

$ &DEOH*ODQGV
) $OO FDEOH JODQGV VKDOO EH EUDVV FRPSUHVVLRQ %: W\SH FDEOH JODQGV ZLWK
HDUWK WDJV DQG ORFN QXWV IRU ;/3( FDEOHV  FRUH  $OO FDEOH JODQGV WR EH
VXSSOLHGZLWKPDWFKLQJFDEOHVOHHYHV

)HEUXDU\ 6HFWLRQ$ 5RDGVDQG7UDQVSRUW$XWKRULW\


57$5RDG/LJKWLQJ6SHFLILFDWLRQ

$ &RQWDFWRU$F
$ $FRQWDFWRUVKDOOEHSURYLGHGWRFRQWUROVLPXOWDQHRXVO\DOORXWJRLQJFLUFXLWV
% 7KH UHPRWH FRQWURO FRQWDFWRU VKDOO EH RI WKH VLQJOH FRLO DFWXDWHG HOHFWULFDOO\
RSHUDWHG VXLWDEOH WR FDUU\ QRW OHVV WKDQ WKH UDWHG FXUUHQW RI WKH PDLQ FLUFXLW
EUHDNHU DW  GHJUHH & DPELHQW DQG VKDOO EH REWDLQHG ZLWKRXW WKH XVH RI
ODWFKHVRUVHPLSHUPDQHQWPDJQHWV
& 7KHFRQWDFWRUVKDOOFRPSO\ZLWK%6DQGVKDOOEHIRU$&FODVV
GXW\  5DWHG LQVXODWLRQ YROWDJH IRU  9 $&  7KH FRQWDFWRU VKDOO KDYH
PLQLPXPPDNLQJDQGEUHDNLQJFDSDFLW\LQDFFRUGDQFHZLWKXWLOLVDWLRQFDWHJRU\
$&RI,(&,DQGVKDOOEHVXLWDEOHIRUPLQLPXPFODVV,,LQWHUPLWWHQWGXW\
$PELHQW RSHUDWLRQ WHPSHUDWXUH VKDOO EH LQ WKH UDQJH RI  GHJUHH & WR 
GHJUHH&

' 7KH FRQWDFWRU FRPSRQHQWV PXVW EH VXLWDEOH IRU FRQWLQXRXV GXW\ DQG IRU
UHSHWLWLYHORDGVZLWFKLQJ7KHFRQWDFWRUVHOHFWHGVKDOOEHVXFKWKDW DOOFXUUHQW
FDUU\LQJDQGOLYHSDUWVVKDOOEHSURSHUO\VKLHOGHGDQGLWVKDOOQRWEHSRVVLEOHWR
FRPH LQWR DFFLGHQWDO FRQWDFW ZLWK WKHP  $OO FRQWDFW DVVHPEOLHV VKDOO EH GXVW
SURWHFWHG DQG DQ DUUDQJHPHQW IRU HDV\ UHPRYDO RI WKH FRLO VKDOO EH SURYLGHG
SUHIHUDEO\ VOLGH LQ W\SH   7KH FRLOV RI DOO FRQWDFWRUV VKDOO EH VXLWDEOH IRU
RSHUDWLRQDWDYROWDJHRIWRDQGIUHTXHQF\RI+]RSHUDWLRQ
7KHSLFNXSRIWKHFRLOVKDOOEHIURPWRRIWKHYROWDJH

$ &LUFXLW%UHDNHU ,QFRPLQJ0&&%


$ 7KHUH VKDOO EH RQH PRXOGHG FDVH FLUFXLW EUHDNHU IRU WKH LQFRPLQJ IHHGHU WR
HDFKFRQWUROSDQHO,WPXVWEHUDWHGIRUWKUHHSKDVHV9$&+]WR,(&
,DQG%6(1VSHFLILFDWLRQVDVLQGLFDWHGRQWKHGUDZLQJV
% 0RXOGHGFDVHFLUFXLWEUHDNHUVVKDOOEHVXLWDEOHWRDFFRPPRGDWHDX[LOODULHVDQG
XQGHUYROWDJHUHOHDVH7KDWVKDOOEHRIWKHWKHUPDOPDJQHWLFW\SHZLWKDVKRUW
FLUFXLWFDSDFLW\ZLWKVWDQGRIQRWOHVVWKDQ.$DW9DQGVKDOOEHVXLWDEOH
IRU  GHJUHH & DPELHQW ZLWKRXW GHUDWLQJ  3DG ORFNLQJ IDFLOLW\ IRU WKH 0&&%
VKDOO EH SURYLGHG  7KH H[SRVHG LQFRPLQJ WHUPLQDO VKDOO EH SURYLGHG ZLWK D
VXLWDEOHLQVXODWHGFRYHU39&VKHDWKWRWKHHTXLSPHQWPRXQWLQJSODWLQRUGHUWR
DOORZ QR DFFHVV WR WKH OLYH LQFRPLQJ ODQGHG FDEOH DQG LQSXW WHUPLQDOV RI WKH
0&&%
& %XVEDUVVKDOOEHSURYLGHGWKURXJKRXWWKHPDLQSRZHUFLUFXLW$OOEXVEDUVDUH
WR EH WLQ SODWHG FRSSHU DQG FRORXU VOHHYHG DFFRUGLQJ WR SKDVH VL]HV DV SHU
'(:$('5HJXODWLRQV

' 7KH FDSDFLW\ RI WKH7HUPLQDO VRFNHWV IRU0&&%VKDOO EH VXLWDEOHIRU WKHPDLQ
LQFRPLQJ VWUDQGHG &X$O FDEOHV WKURXJK VXLWDEOH WHUPLQDO WLQ SODWHG FRSSHU
EDUV

$ &LUFXLW%UHDNHU 2XWJRLQJ0&%¶V )RUWKH0DLQGLVWULEXWLRQERDUGVDQG


XQGHUEULGJH'LVWULEXWLRQ%RDUGV
$ 0&%VVKDOOEHHQFORVHGLQWKHWKHUPRVHWWLQJSODVWLFZLWKFXUUHQWUDWLQJDVSHU
DSSURYHG VKRS GUDZLQJV DQG '(:$ UHTXLUHPHQWV  LQ DFFRUGDQFH ZLWK ,(&
,(&
% 0&%V VKDOO KDYH VKRUW FLUFXLW ZLWKVWDQG FDSDFLW\ RI PLQN$ UDWHG 5DWHG
EUHDNLQJ FDSDFLW\ VKDOO EH ,FQ   $ RU RWKHUZLVH DV SHU '(:$
UHTXLUHPHQWV
& 0&%VKDOOEHVXLWDEOHRIRSHUDWLRQLQƒ&WRƒ&
' 0&%VVKDOOEHUHYHUVHIHGZLWKRXWUHGXFWLRQLQSHUIRUPDQFHDQGVKDOOEHRIWKH
DXWRPDWLFUHVHWWLQJW\SH2SHUDWLQJKDQGOHVKDOOEHRIWKHWRJJOHW\SH

)HEUXDU\ 6HFWLRQ$ 5RDGVDQG7UDQVSRUW$XWKRULW\


57$5RDG/LJKWLQJ6SHFLILFDWLRQ

( 0&%PHFKDQLVPVKDOOEHWULSIUHHZLWKLQGLFDWLRQIRURQRIISRVLWLRQ0XOWLSROH
0&%VVKDOOEHLQWHUQDOO\OLQNHGRQWKHPHFKDQLVPWRHQVXUHWULSSLQJRIDOOSROHV
VLPXOWDQHRXVO\0&%VKDOOKDYHVHSDUDWHWULSSRVLWLRQLQGLFDWLRQ
) 0&%VVKDOOEHPPV\PPHWULFDOUDLOPRXQWHGW\SHDQGDYDLODEOHLQRQHWZR
WKUHHRUIRXUSROHVYHUVLRQ
* 0&% RSHUDWLQJ PHFKDQLVP VKDOO EH HIIHFWLYHO\ VHDOHG DQG WHUPLQDO H[SRVHG
SDUWVVKDOOEHSURWHFWHGDJDLQVWXQLQWHQWLRQDOFRQWDFWV0&%VVKDOOEHVXLWDEOH
IRUPLQLPXPRSHUDWLRQ
+ 0&% VKDOO KDYH DFFHVVRULHV OLNH DX[LOLDU\ FRQWDFW VLJQDO DX[LOLDU\ FRQWDFW
VKXQWWULSXQGHUYROWDJHUHOHDVHRYHUYROWDJHUHOHDVHPRWRURSHUDWRUDQGDXWR
UHFORVLQJVKDOOEHDYDLODEOHDVSHUWKHUHTXLUHPHQWV

$ &RQWURO6\VWHP
$ 7KH VZLWFKLQJ RI WKH OLJKWLQJ OXPLQDLUHV VKDOO EH WKURXJK DQ DXWRPDWLF FRQWURO
DUUDQJHPHQWFRPSULVLQJRIDQDVWURQRPLFLDOWLPHUDQGVHOHFWRUVZLWFK
% $VWURQRPLFDOWLPHVZLWFK
L 7KH FDELQHW VKDOO EH HTXLSSHG ZLWK DQ DVWURQRPLFDO RI WKH IROORZLQJ
VSHFLILFDWLRQ
LL 7KH DVWURQRPLFDO WLPH VZLWFK IRU WKH FRQWURO FDELQHW VKDOO RSHUDWH IURP D
VXSSO\YROWDJHRIYROWV
LLL 7ZR /('¶V VKRXOG EH SURYLGHG WR VKRZ WKH VZLWFKLQJ SRLQW DQG WKH UHOD\
VWDWXV7KHUHOD\VKDOOKDYHDEXLOWLQRQGHOD\RIDSSUR[VHFRQGVDQGRII
GHOD\RIDSSUR[VHFRQGV
&
L 6XSSO\YROWDJH 9
LL )UHTXHQF\ +]
LLL &RQVXPSWLRQ &D:
LY &RQWDFWUDWLQJ FKDQJHRYHUFRQWDFW
Y $FFXUDF\ “VG
YL 7HUPLQDOFDSDFLW\ VLQJOHVWUDQG
WRPP
YLL $GGLWLRQDO VZLWFKLQJ 
WLPHV \HDUV
YLLL %DWWHU\UHVHUYH 5HVROXWLRQR
L[ 3RVLWLRQILQGLQJ 0D[P
[ &RQWUROOLQHOHQJWK 9 $&FD P$ 9
[L &RQWUROVLJQDO $&FD P$ 9 $&FD
P$

•PV
[LL &RQWUROLPSXOVH ƒ&WRƒ&

[LLL 6WRUDJHDPELHQW ƒ&WRƒ&


[LY :RUNLQJDPELHQW
' 6HOHFWRUVZLWFK
L $ VHOHFWRU VZLWFK IRU SHUIRUPLQJ WKH IROORZLQJ IXQFWLRQV VKDOO EH SURYLGHG LQ
WKHFDELQHW
$ $XWR
% 21
& 2))
LL $VHOHFWRUVZLWFKIRUFRQQHFWLQJWKHWUDIILFVLJQDORXWJRLQJ0&%VWRVHOHFWHG
SKDVHVKDOOEHSURYLGHG

)HEUXDU\ 6HFWLRQ$ 5RDGVDQG7UDQVSRUW$XWKRULW\


57$5RDG/LJKWLQJ6SHFLILFDWLRQ

$ 6XEPLWWDOV
$ &DELQHW3LOODUVFKHGXOH
% &DELQHW IDEULFDWLRQ GRFXPHQWV LQ SULQWHG IRUP IRU UHWDLQLQJ LQ HDFK FDELQHW
'RFXPHQWV VKDOO LQFOXGH FDELQHW UHIHUHQFH LGHQWLILFDWLRQ GHWDLOV DV DSSOLFDEOH
IRUHDFKFDELQHWWKDWWKH\UHODWHWRDQGWKHIROORZLQJGHWDLOV
L 'LPHQVLRQVDQGORFDWLRQVRIWKHSDQHODQGFRPSRQHQWV
LL 'HVFULSWLRQVRI WKH PDWHULDOV PDQXIDFWXULQJIDEULFDWLRQ FRDWLQJ DQG
DQ\WUHDWPHQWVRIWKHFDELQHWSLOODU
LLL 'UDZLQJVRIKLQJHVORFNVDQGIODSVFRPSOHWHZLWKPDWHULDOGHWDLOV
LY 'HWDLOHGDUUDQJHPHQWGUDZLQJ
Y 6LQJOHOLQHGLDJUDP

& 7HVW FHUWLILFDWHV IRU HDFK FDELQHW SLOODU DV UHTXLUHG E\ DQG LVVXHG WR 5RDG
7UDQVSRUW$XWKRULW\ 57$ GHPRQVWUDWLQJFRPSOLDQFHZLWK$67$DQGRU.(0$

$ &DELQHW3LOODU7HVWLQJ$QG&RPPLVVLRQLQJ
$ 7KH FDELQHWV DQG LQWHUQDO PDLQ FLUFXLWU\ VKDOO EH PDQXIDFWXUHG DQG WHVWHG LQ
DFFRUGDQFH ZLWK WKH WHVWLQJ UHTXLUHPHQWV RI %6 (1  6XEPLW
PDQXIDFWXUHU¶VWHVWFHUWLILFDWHV
% &DELQHWV VKDOO LQFOXGH $67$ RU .(0$ WHVW FHUWLILFDWHV IURP DQ LQGHSHQGHQW
DSSURYHGWHVWLQJDJHQWWKDWGHPRQVWUDWHFRPSOLDQFHZLWKWKHUHTXLUHPHQWVRI
WKH6SHFLILFDWLRQ
& 7HVWHDFKVZLWFKERDUGFLUFXLWSULRUWRFRQQHFWLQJHOHFWULFDOPDLQVXSSO\
' 9HULI\WKHRSHUDWLRQRIFRQWUROFLUFXLWVDQGFKDQJHRYHUVZLWFKERDUGV

$ &DELQHWV(QFORVXUHV
$  \HDUV¶ VWDQGDUGZDUUDQW\VKDOOEHSURYLGHGIRUFDELQHWVHQFORVXUHV GRRUV
IUDPHVDQGFRPSRQHQWV

$ 3RZHU6XSSO\'LVWULEXWLRQ3DQHOV±'RFXPHQWV$QG,QIRUPDWLRQ7R%H
6XEPLWWHG
$ 7KHWHQGHUVKDOOVXEPLWWKHUHOHYDQWGHVLJQFDOFXODWLRQVGUDZLQJVDQGGDWDIRU
DSSURYDO SULRU WR WKH IDEULFDWLRQV GUDZLQJV DQG GDWD IRU DSSURYDO SULRU WR WKH
IDEULFDWLRQ RI DQ\ SDQHOV ZKLFK LV WR LQFOXGH EXW VKDOO QRW EH OLPLWHG WR WKH
IROORZLQJ
% *HQHUDO GLPHQVLRQV RI WKH SDQHO DQFKRU EROWV RSHQLQJ ORFDWLRQV DQG JODQG
SODWHRSHQLQJV
& 'HWDLOHG VFDOH GUDZLQJ IRU WKH IL[HG FRPSRQHQWV LQ WKH SDQHO LQFOXGLQJ
LPSRUWDQWPDLQWHQDQFHDQGRSHUDWLQJLQVWUXFWLRQVRIWKHPDQXIDFWXUHU
' *HQHUDO GHVFULSWLRQ RI WKH PDWHULDO PDQXIDFWXULQJ IDEULFDWLRQ FRDWLQJ DQG
WUHDWPHQWRIIHHGHUSLOODUSDQHO
( 'RRUKLQJHVORFNVDQGIODSVGUDZLQJV LQFOXGLQJPDWHULDOV 
) ,QWHUQDOFDELQHWYHQWLODWLRQ FLUFXODWLRQDQGDLUIORZGHVLJQ
* 'HWDLOHGJHQHUDODUUDQJHPHQWGUDZLQJ
+ 6LQJOHOLQHGLDJUDP
, &KDUW VKRZLQJ \HDUO\ RQRII WLPHV DFFRUGLQJ WR WKH ODWLWXGH RI 'XEDL LQGLFDWHG
DERYH

)HEUXDU\ 6HFWLRQ$ 5RDGVDQG7UDQVSRUW$XWKRULW\


57$5RDG/LJKWLQJ6SHFLILFDWLRQ

$ 7HVWLQJ
$ 7KH FDELQHWV DQG LQWHUQDO PDLQ FLUFXLWU\ VKDOO EH PDQXIDFWXUHG DQG WHVWHG LQ
DFFRUGDQFH WR WKH WHVWLQJ VSHFLILFDWLRQV RI %6  %6 (1 

% 7KH FRQWUDFWRU VKDOO VXEPLW $67$ RU .(0$ WHVWV FHUWLILFDWHV IRU URXWLQH DQG
W\SH WHVW IURP LQGHSHQGHQW DSSURYHG ODERUDWRULHVERGLHV WR VKRZ WKH
FRPSOLDQFHRIKLVSURGXFW

FEEDER PILLAR DATA (To be filled-in and submitted by the Supplier/Contractor)

6O
'HVFULSWLRQ 0DNH 4W\
1R

 $OXPLQLXP HQFORVXUH PP WKLFNQHVV


ZLWK RYHUDOO GLPHQVLRQV Z [
+['PP
 0&&%
 +5& IXVH $ .$  GHJUHH
&HOVLXVFDOLEUDWHG
 0DULQHSO\IRULQVWDOOLQJN:+0HWHU
 6RFNHW$
 'RRU6ZLWFK
 /('
 $VWURQRPLFDO7LPHU
 +5&IXVH$73.$
 7(50,1$/6 6T00  (QG 3ODWH
6WRSSHU
 6HOHFWRU6ZLWFK $XWRRII21
 3KDVH6HOHFWRU6ZLWFK
 *ODQGVIRU&DEOHV

)HEUXDU\ 6HFWLRQ$ 5RDGVDQG7UDQVSRUW$XWKRULW\


57$5RDG/LJKWLQJ6SHFLILFDWLRQ

$ 0(7(252/2*,&$/$1'$0%,(17&21',7,21635(9$,/,1*,1
'8%$,
$ 7KH DYHUDJH SUHYDLOLQJ ORFDO FRQGLWLRQV DW 'XEDL &LW\ VKDOO EH DVVXPHG DV
IROORZV

0D[$PELHQW7HPSHUDWXUH 'HJ&
0LQ$PELHQW7HPSHUDWXUH 'HJ&
'HVLJQ$PELHQW7HPSHUDWXUH 'HJ&
0D[LQFLGHQWOLJKWLQWHQVLW\ HQHUJ\ P:FP
/LJKW LQWHQVLW\ PHDVXUHG XQGHU WKH VXQ /X[
DSSUR[LPDWHO\
0D[PHWDOWHPSHUDWXUHXQGHUVXQ 'HJ&
0LQ%DURPHWULF3UHVVXUH PE
0D[%DURPHWULF3UHVVXUH PE
$YHUDJH%DURPHWULF3UHVVXUH PE
0D[$PELHQW+XPLGLW\ 
0LQ$PELHQW+XPLGLW\ 
'HVLJQ$PELHQW+XPLGLW\ 
0D['HVLJQ:LQG9HORFLW\ NPKU
$YHUDJH\HDUO\5DLQIDOO PP

% 7KH FOLPDWH RI 'XEDL LV UHODWLYHO\ PLOG IURP 1RYHPEHU WR $SULO DQG KRW IURP
0D\WR2FWREHUZLWKKLJKUHODWLYHKXPLGLW\
& 8QGHU FHUWDLQ FRPELQDWLRQV RI WKH DERYH FOLPDWLF FRQGLWLRQV FRQVLGHUDEOH
FRQGHQVDWLRQPD\WDNHSODFH
' 3DUWLFXODU DWWHQWLRQ VKRXOG EH SDLG WR WKH SUHYDLOLQJ FRUURVLRQ FRQGLWLRQV  $
FRQVLGHUDEOHDPRXQWRIVDOWLVFRQWDLQHGLQWKHDWPRVSKHUHZKLFKWRJHWKHUZLWK
WKHH[WUHPHO\KLJKDPELHQWKXPLGLW\FDQSURGXFHVHYHUHFRUURVLRQSUREOHPV
( 'LVWULEXWLRQRIUDLQIDOOLVLUUHJXODUDQGWKHSUHFLSLWDWLRQDPRXQWVDUHQRUPDOO\RI
QR VLJQLILFDQFH EXW DWWHQWLRQ VKRXOG EH SDLG WR WKH IDFW WKDW VXGGHQ KHDY\
UDLQIDOOVLQDYHU\VKRUWSHULRGRIWLPHFDQRFFXU
) 7KHSUHYDLOLQJZLQGGLUHFWLRQVDUHIURPWKH1RUWKDQG:HVW6WURQJZLQGVDUH
FRPPRQ ZLWK PD[LPXP YHORFLWLHV H[FHHGLQJ  NPKU DQG VDQGVWRUPV DQG
GXVWVWRUPVRFFXULQWKHVXPPHUPRQWKV

)HEUXDU\ 6HFWLRQ$ 5RDGVDQG7UDQVSRUW$XWKRULW\


57$5RDG/LJKWLQJ6SHFLILFDWLRQ

6(&7,21$,1'(;

$*(1(5$/ 
$68%0,77$/6$1'6$03/(6 
$ *(1(5$/ 
$ 0(7+2'67$7(0(17 
$: $55$17,(6 
$,163(&7,2167(67,1*$1'&200,66,21,1* 
$&$%/(6 
$',675,%87,21&$%/(6 
$ 68%67$7,2172)(('(53,//$5±675((7/,*+7)(('(53,//$5 
$ )(('(53,//$572/,*+7&2/8016 
$ /80,1$,5(726(59,&(&87287&$%/( 
$ /2:92/7$*()/(;,%/(32:(5&$%/()250,'+,1*('+,*+0$67 
$ ($57+,1*&$%/( 
$ :$51,1*7$3(6 
$ &$%/(29(56+($7+,'(17,),&$7,21 
$&$%/(68%0,77$/5(48,5(0(176 
$ 0$7(5,$/ 
$ 6$03/(62)0$7(5,$/ 
$&$%/(7(67,1*$1'&200,66,21,1* 
$ *(1(5$/ 
$ &217,18,7<7(67 
$ ,168/$7,215(6,67$1&(7(67 
$ &216758&7,21 
$($57+&$%/( 
$&$%/(,167$//$7,21 
$ *(1(5$/ 
$ &$%/(6/$,'',5(&7/<,17+(*5281' 
$ &$%/(6/$,',1'8&76 
$ &$%/(6,1&21&5(7(75(1&+(6 
$ &$%/(6,16$''/(6 
$7(50,1$7,212)&$%/(6 
$($57+,1* 
$($57+,1*6<67(0 
$($57+(/(&752'(7(50,1$7,216 
$&$%/($1'($57+7(67,1*$)7(5,167$//$7,21 
$&217,18,7<2)&21'8&7256 
$,168/$7,215(6,67$1&(7(67 
$($57+5(6,67$1&(7(67 
$&21&5(7()281'$7,216)250$676 
$(;,67,1*675((7/,*+7,1*)$&,/,7< 
$/,*+7,1*&2/801 
$63(&,),&$7,216)25&219(17,21$/52$'6/,*+7,1*32/(6 &2/8016  %5$&.(76 
$ *(1(5$/ 
$ 63(&,),& 
$ 0,6&(//$1(2865(48,5(0(176 
$ $'',7,21$/,1)250$7,21 
$63(&,),&$7,21)250,'+,1*('+,*+0$67 
$ 0,'+,1*('0$67 
$ +,*+0$67*(1(5$/ 
$ 6758&785($1'&216758&7,21 
$ 5$,6,1*/2:(5,1*&52:1+,*+0$676 
$ /,*+7,1*5(48,5(0(176 
$ /2:(5,1*$1'5$,6,1*'(9,&(6 
$ 02%,/(5,1* 
$ +2,67,1*81,7 
$ (/(&75,&$/(48,30(17 
$ :$51,1*/$%(/6 

)HEUXDU\ 6HFWLRQ$ 5RDGVDQG7UDQVSRUW$XWKRULW\


57$5RDG/LJKWLQJ6SHFLILFDWLRQ

$ 0,6&(//$1(2865(48,5(0(176 
$ 68%0,77$/5(48,5(0(176 
$ 7(67&(57,),&$7( 
$ ,03257$17127( 
$ +27',3*$/9$1,6,1* 
$$/80,1,8032/(6 
$/,*+7&2/8016:$55$17,(6 
$675((7/,*+7,1*/80,1$,5(6$1')/22'/,*+76 )25(;,67,1*,167$//$7,216 
$+3652$'/,*+7,1*$1')/22'/,*+7/80,1$,5(6 ,1&$6(5(48(67('%<57$ 
$ '2&80(17672%(68%0,77(':,7+7+(2))(5 
$ 0$7(5,$/672%(68%0,77(':,7+7+(2))(5 
$$9,$7,21/,*+7 
$81'(5%5,'*(/,*+7,1* 
$ 7(&+1,&$/63(&,),&$7,21)25/('675((7/,*+7,1* 
$ *(1(5$/ 
$ $33/,&$%/(67$1'$5'6 *8,'$1&('2&80(176 
$ /('/80,1$,5(67(&+1,&$/63(&,),&$7,21 
$ &+$5$&7(5,67,&62)+3/('&+,36 
$ /('&+,367(&+1,&$/5(48,5(0(176 
$ /(''5,9(567(&+1,&$/5(48,5(0(176 
$ :+2/(/80,1$,5(5(48,5(0(176 
$ 0(&+$1,&$/3$57 
$ (/(&75,&$/23(5$7,21$1'6$)(7<3$57 
$ 3+2720(75,&3(5)250$1&($1'7+(50$/0$1$*(0(173$57 
$ 7+(50$/0$1$*(0(17 
$ 86()8//,)(7,0(&$/&8/$7,2160(7+2' 
$ 7(675(48,5(0(176 
$ /$036 (;,67,1*,167$//$7,216 
$ 7+(/$0365(48,5('6+$//&203/<:,7+7+()2//2:,1* 
$ 63(&,),&$7,21)25675((7/,*+7,1*6(59,&(&87287 
$ $33/,&$7,21 
$ 5$7,1* 
$ 67$1'$5' 
$ &216758&7,21 
$ +286,1* 
$ 1$0(3/$7( 
$ 7(67,1* 
$ 0$7(5,$/672%(68%0,77(':,7+7+(2))(5 
$ 675((7/,*+7,1*)(('(53,//$5 
$ 63(&,),&$7,216$1''5$:,1*6 
$ &$%,1(73,//$53(5)250$1&( 
$ '85$%,/,7< 
$ (48,30(17+286,1* 
$ :,5,1*$1'&$%/,1* 
$ )86($1')86(%$6( 
$ &$%/(*/$1'6 
$ &217$&725$& 
$ &,5&8,7%5($.(5 ,1&20,1*0&&% 
$ &,5&8,7%5($.(5 287*2,1*0&%¶6 )257+(0$,1',675,%87,21%2$5'6$1'
81'(5%5,'*(',675,%87,21%2$5'6 
$ &21752/6<67(0 
$ 68%0,77$/6 
$ &$%,1(73,//$57(67,1*$1'&200,66,21,1* 
$ &$%,1(76(1&/2685(6 
$ 32:(56833/<',675,%87,213$1(/6±'2&80(176$1',1)250$7,2172%(
68%0,77(' 
$ 7(67,1* 
$ 0(7(252/2*,&$/$1'$0%,(17&21',7,21635(9$,/,1*,1'8%$, 

)HEUXDU\ 6HFWLRQ$ 5RDGVDQG7UDQVSRUW$XWKRULW\


57$5RDG/LJKWLQJ6SHFLILFDWLRQ

%&217(176

% 7811(/ I 81'(53$66/,*+7,1*6<67(0 


% *(1(5$/ 
% 23(5$7,21$/2%-(&7,9(6 
% 6&23(2):25. 
% '(6&5,37,212)/,*+7,1*6<67(0 
% '(6,*1&5,7(5,$ 2) /,*+7,1*6<67(0 
% 81'(53$667811(//,*+7,1*32:(5',6758%7,21%2$5' 7/3'% 
% 81'(53$667811(//80,1$5,(6*(1(5$/ 
% '2&80(17672%(68%0,77(' 
% 0(7(252/2*,&$/$1'$0%,(17&21',7,21635(9$,/,1*,1
'8%$, )25 ,,1)250$7,21 
% &$%/(6 
% ,163(&7,217(67,1*$1'&200,66,21,1* 
% 75$,1,1*)2557$2 03(56211(/ 
% 6,7(,163(&7,21$1'7(67,1* 

)HEUXDU\ 6HFWLRQ%  5RDGVDQG7UDQVSRUW$XWKRULW\


57$5RDG/LJKWLQJ6SHFLILFDWLRQ

% 7811(/ I 81'(53$66/,*+7,1*6<67(0


% *(1(5$/
$ 7KLV VHFWLRQ FRQWDLQV WKH UHTXLUHPHQW IRU WKH GHWDLO HQJLQHHULQJ GRQH E\
&RQWUDFWRU PDQXIDFWXUHVXSSO\IDFWRU\WHVWLQJ SDFNLQJLQVXUDQFHGHOLYHU\WR
VLWH XQORDGLQJVWRUDJH SURWHFWLRQHUHFWLRQDQGLQVWDOODWLRQ ZLULQJ DQG FDEOLQJ
VLWH WHVWLQJ DQG FRPPLVVLRQLQJ RI WKH FRPSOHWH HTXLSPHQW IRU OLJKWLQJ RI
XQGHUSDVVDQGWXQQHOV
% *HQHUDO
$ 7KH 7XQQHO OLJKWLQJ VKDOO EH FRQWUROOHG DXWRPDWLFDOO\ DV UHTXLUHG E\
&,( 7KH 7XQQHO /LJKWLQJ &RQWURO 6\VWHP 7/&6  VKDOO FRQVLVW RI
/XPLQDQFH 0HWHUV 'DOLJURXS JDWHZD\V7XQQHO /LJKWLQJ &RQWURO 3DQHO LH  D
FRQWUROOHUUHOHYDQW FRPPXQLFDWLRQ LQWHUIDFHPRGXOHVVKDOOEHDSSOLHG
% 7KH HQWLUH V\VWHP VKDOO EH PDGH RI KLJKHVW LQGXVWULDO JUDGH FRPSRQHQWV
DSSURSULDWHWRXVHIRUURDGWXQQHOVXQGHUSDVVHV
& 7KHOLJKWLQJFRQWUROVKDOOEHFRQWLQXRXVO\DGMXVWWKHOXPLQDULHVRXWSXWLOOXPLQDQFH
XVLQJ GLPPLQJ FRQWURO WKH WKUHVKROG DQG H[LW ]RQH OXPLQDLUHVZLWK WKH LQFUHDVH
DQGGHFUHDVHRIH[WHUQDOOXPLQDQFHDWWKHHQWUDQFH]RQHWLPH7KHSHUPDQHQW
OLJKWLQJ LV VZLWFKHG RQ SHUPDQHQWO\    RI WKH WKUHVKROG
OLJKWLQJLVWXUQHGRQLQWKHPRUQLQJDWOHYHODQGWKHQJUDGXDOO\LQFUHDVHGXS
WR  LI UHTXLUHG DV SHU WKH / UHDGLQJ 7KH UHYHUVH IXQFWLRQ GXULQJ
DIWHUQRRQHYHQLQJ
' $GHGLFDWHGFRPPXQLFDWLRQFDEOHVKDOOEHSURYLGHGEHWZHHQWKH/('/XPLQDLUHV
DQG'$/,JDWHZD\VIRUFRPPXQLFDWLRQ
( 7KH /XPLQDQFH PHWHU VKDOO FRQWLQXRXVO\ PRQLWRU WKHH[WHUQDO OXPLQDQFH / RU
/VHTDQGSURYLGHPHDVXUHGOLJKWLQJOHYHOVIRUWKH7XQQHO/LJKWLQJ&RQWURO3DQHO
ZKLFK VKDOO SURFHVV DQG FRQYHUW WKH VLJQDO UHFHLYHG DQG FRPPXQLFDWH WR WKH
'$/,JURXSJDWHZD\VDFFRUGLQJO\
) 7KH/XPLQDQFHPHWHUVKDOOUHSRUWKHDOWKLQGLFDWRUVDVDZDUQLQJRUIDLOXUHWRWKH
7XQQHO/LJKWLQJ&RQWURO3DQHOWRUHVSRQGDFFRUGLQJO\ HJPHDVXUHGOXPLQDQFH
OHYHOEH\RQGVHQVRUFDOLEUDWLRQ
* 7KHV\VWHPVKDOOEHFDSDEOHWRVXSSRUWUHGXQGDQF\IRUWKHOXPLQDQFHPHWHUSHU
SRUWDO
+ ,QFDVHRID/IDLOXUHDQDOWHUQDWHWLPHEDVHGFRQWUROV\VWHPVKDOOEHDFWLYDWHG
DQGFRQWUROWKHOLJKWLQJ7KHGLPPLQJVKDOOEHFRQWUROOHGE\DQDVWURQRPLFDOWLPH
FORFN ORFDWHG LQ WKH 7XQQHO /LJKWLQJ &RQWURO 3DQHO DQG DQ DODUP VKDOO EH
DFWLYDWHG
, $OO /(' OXPLQDLUHV VKDOO EH HTXLSSHG '$/, GULYHUV SUHIHUDEO\ HPEHGGHG LQVLGH
ILWWLQJVZLWKHDV\DFFHVV WRWKHP7KH'$/,GULYHUVVKDOOUHFHLYHOLJKWLQJFRQWURO
FRPPDQGV YLD WKH '$/, JURXS JDWHZD\V ORFDWHG LQ WKH WXQQHO /'% NLRVN 7KH
'$/,JDWHZD\VVKDOOFRPPXQLFDWHZLWKWKH7XQQHO/LJKWLQJ&RQWURO3DQHOORFDWHG
RXWVLGH ORFDWLRQ WR EH DJUHHG E\ 57$  WKH 7XQQHO /LJKWLQJ 3RZHU 'LVWULEXWLRQ
%RDUGWKURXJKDVHULDOQHWZRUN 56 
- 7XQQHO/LJKWLQJ6\VWHPVKRXOGKDYHDVLQJOH&HQWUDOL]HG7XQQHO/LJKWLQJ&RQWURO
3DQHOZKLFKFDQEHXVHGIRUVLQJOHRUGRXEOHERUHWXEHGHSHQGLQJRQWKHOHQJWK
RIWKHWXQQHO

)HEUXDU\ 6HFWLRQ%  5RDGVDQG7UDQVSRUW$XWKRULW\


57$5RDG/LJKWLQJ6SHFLILFDWLRQ

. (DFK /(' OXPLQDLUH VKDOO EH HTXLSSHG ZLWKD'$/, GULYHUZLWKSUHVHWYDOXHVWR


UHYHUW WKH WXQQHO OLJKWLQJ WR DFFHSWDEOH SURJUDPPHG OHYHOV LQ FDVH RI
FRPPXQLFDWLRQ IDLOXUH 7KH '$/, GULYHU VKDOO KDYH DQ DGMXVWDEOH VWDUW XS WLPH
IURP V 2Q HQHUJL]LQJ WKH OXPLQDLUH WKH OLJKW RXWSXW VKDOO JUDGXDOO\ DQG
OLQHDUO\ LQFUHDVH VWDUWLQJ IURP  WR  RXWSXW 7KH UDPSXS WLPH VKDOO EH
FRQILJXUDEOHLQWKHGULYHU%\GHIDXOWVVKDOOEHSUHVHWIRUWKUHVKROGOXPLQDLUHV
DQGVVKDOOEHSUHVHWIRUSHUPDQHQWOLJKWLQJOXPLQDLUHV,QFDVHWKH'$/,GULYHU
QRWUHFHLYLQJDQ\FRPPXQLFDWLRQVLJQDOIURPWKH'$/,JDWHZD\VWKHOLJKWRXWSXW
VKDOOEHRQ
/ 7KH YHQGRU&RQWUDFWRU VKDOO VXEPLW D OLVW RI VSDUH SDUWV UHTXLUHG IRU  \HDUV
WURXEOHIUHHRSHUDWLRQDQGPDLQWHQDQFH7KHVDPHVKDOOEHLQFOXGHGLQWKHWHQGHU
GRFXPHQWVVXEPLWWHGE\WKH&RQWUDFWRU
0 7KH &RQWUDFWRU VKDOO RUJDQL]H WUDLQLQJ IRU 57$ 2 0 SHUVRQQHO DQG DFFRUGLQJO\
WKH WUDLQLQJ SURJUDPPH DQG PDQXDOV VKDOO EH VXEPLWWHG E\ WKH &RQWUDFWRU 
GD\VSULRUWUDLQLQJVHVVLRQVDQGREWDLQDSSURYDOIURP57$(QJLQHHUSULRUWRDQ\
WUDLQLQJDFWLYLWLHV
1 7KH YHQGRUPDQXIDFWXUHU RI WKH V\VWHP VKDOO KDYH D PLQLPXP RI  \HDUV RI
H[SHULHQFHLQWXQQHOOLJKWLQJV\VWHPV
2 7KH &RQWUDFWRU VKDOO EH UHVSRQVLEOH IRU WHVWLQJ DQG FRPPLVVLRQLQJ RI WKH
FRPSOHWH 7XQQHO OLJKWLQJ V\VWHP YLD DXWKRUL]HG SHUVRQV IURP V\VWHP SURYLGHUV
WKH\ VKDOO EH SUHDSSURYHG E\ ERWK (QJLQHHU DQG 57$  )LQDO FRPPLVVLRQLQJ
UHSRUWPHQWLRQLQJDOOHOHFWULFDOUHDGLQJVDQG DOOVHWWLQJVVKDOOEHLVVXHGWR57$
2 0DVSHUSURMHFWUHTXLUHPHQWVXSWRWKHVDWLVIDFWLRQRI57$(QJLQHHUPHHWLQJ
DOO WHFKQLFDO UHTXLUHPHQWV 7KH UHSRUW LQFOXGLQJ WKH VFUHHQ VKRWV RI HDFK
OXPLQDQFHPHWHUVKDOOEHSURYLGHG
% 23(5$7,21$/2%-(&7,9(6
$ 7KH GHVLJQ RI WKH V\VWHP WR &,( 6WDQGDUGV VKDOO PHHW WKH RSHUDWLRQDO
REMHFWLYHV VSHFLILHG KHUHLQ DQG HDFK FRPSRQHQW SDUW RI WKH V\VWHP DQG WKH
V\VWHP DV DZKROH VKDOO EH LQHYHU\ UHVSHFW ILW IRU LWV SXUSRVH IRU ZKLFK LW LV
LQWHQGHGDVVHWRXWLQWKLV 6SHFLILFDWLRQ
% 7KH V\VWHP VKDOO EH GHVLJQHG VR WKDW ZKHQ LQ RSHUDWLRQ LW VKDOO EH LQ HYHU\
UHVSHFWPHHWZLWKDOORUGLQDQFHDQGODZVDQGZLWKDOOUXOHVDQGUHJXODWLRQVRIDOO
5RDGV DQG 7UDQVSRUW $XWKRULW\ 'HSDUWPHQW DQG ZLWK WKRVH RI DOO VWDWXWRU\
DXWKRULWLHVDQGXWLOLW\FRPSDQLHVDQGZLWKDQ\PHDVXUHWKDWRXJKWUHDVRQDEO\WR
KDYHEHHQDQWLFLSDWHG
& 7KH V\VWHP VKDOO KDYH D PLQLPXP V\VWHP GHVLJQ OLIH RI DW OHDVW  \HDUV
$FFRUGLQJO\ WKH DSSURYHG YHQGRUPDQXIDFWXUHU LQ WKLV SURMHFW VKDOO FRQILUP LQ
ZULWLQJDERXWWKHORQJHYLW\DQGVXSSRUWIRUWKHSURSRVHGGHVLJQ
' 7KH V\VWHP VKDOO SURYLGHVDIH VHUYLFHIRU XVHUV DQGWKH SXEOLF WKDW DFFRUG ZLWK
WKH KLJKHVW SUHYDLOLQJ VWDQGDUGV IRU D SXEOLF WUDQVSRUW IDFLOLW\ RI WKLV W\SH 7KH
GHVLJQH[HFXWLRQDQGPDLQWHQDQFHRIWKHZRUNVVKDOOEHVXFKWKDWWKLVREMHFWLYH
ZLOO EH UHDGLO\ DQG FRQVLVWHQWO\ DFKLHYHG GXULQJ DOO FRQGLWLRQV RI RSHUDWLRQ DQG
XVHVXEMHFWRQO\WRQRUPDOUHTXLUHPHQWVRILQVSHFWLRQDQGVHUYLFLQJ
( 6\VWHP3URYLGHUVKDOOSURYLGHDOOUHODWHGVDIHW\FHUWLILFDWHVXSRQUHTXHVWE\57$
RU(QJLQHHU
) 7KHV\VWHPVKDOODFKLHYHKLJKVWDQGDUGVRIUHOLDELOLW\LQ RSHUDWLRQDQG XVHZLWK
PLQLPXP UHJXODU VLPSOH VHUYLFLQJ DQG ZLWK PDMRU VHUYLFLQJ DW RQO\ LQIUHTXHQW
LQWHUYDOV
* 7KHGHVLJQRIWKHV\VWHPVKDOOSD\SURSHUUHJDUGWRWKHPHWKRGVRIPDQXIDFWXUH
DQGFRQVWUXFWLRQVRDVWRDFKLHYHWKHUHTXLUHGKLJKVWDQGDUGUHIHUUHGWRDERYH
$GHTXDWHWHVWVFKHFNVDQGLQVSHFWLRQVKDOOEHDSSOLHGE\ZD\RITXDOLW\FRQWURO
WKURXJKRXWWKHVWDJHVRIPDQXIDFWXUHDQGFRQVWUXFWLRQRIWKHZRUNV

)HEUXDU\ 6HFWLRQ%  5RDGVDQG7UDQVSRUW$XWKRULW\


57$5RDG/LJKWLQJ6SHFLILFDWLRQ

+ 7KH DUUDQJHPHQWVDQGSURYLVLRQVIRUVHUYLFLQJDQGURXWLQHUHSODFHPHQWRISDUWV
VKDOOEHVXFKWKDWVXFKZRUNVXQGHUWDNHQTXLFNO\DQGHDVLO\7RIDFLOLWDWHUHSDLUV
DQG RYHUKDXOV FRPSRQHQWV VKDOO EH LQWHUFKDQJHDEOH EHWZHHQVLPLODU SODQW DQG
FRPSOHWHUHSODFHPHQWRIIDXOW\XQLWVVKDOOEHHDVLO\DFKLHYDEOH
, 7KURXJKRXW WKLV 6SHFLILFDWLRQ DQG DV VKRZQ RQ WKH 'UDZLQJV WKH UDWLQJV RI
YDULRXV PDMRU HTXLSPHQW LWHPV DUH LQGLFDWLYH 7KHVH UDWLQJV KRZHYHU DUH
SURYLVLRQDO DQG DUH VXEMHFW WR YHULILFDWLRQ DQG DGMXVWPHQW LQ OLJKW RI WKH ILQDO
GHVLJQRIWKHDFWXDOUDWLQJVQHFHVVDU\WRPHHWWKH RSHUDWLQJUHTXLUHPHQWVRIDOO
WKHHQJLQHHULQJV\VWHPVLQWHQGHGIRUWKH3URMHFW7KHVHVSHFLILHGUDWLQJVVKDOOEH
WDNHQ DV WKH PLQLPXP RU QRPLQDO UDWLQJV EDVHG RQ FDOFXODWLRQV DQG PD\ EH
LQFUHDVHG E\ WKH &RQWUDFWRU ZLWKRXW DQ\ DGGLWLRQDO FRVW WR FRQWUDFW LQ RUGHU WR
FRQIRUP WR VWDQGDUG UDWLQJV LQFOXGHG LQ YDULRXV LQWHUQDWLRQDO VWDQGDUGV RU WR
PDQXIDFWXULQJVWDQGDUGSURJUDPV7KHVHUDWLQJVKDOOQRWEHUHGXFHGLQDQ\ZD\
XQOHVVRWKHUZLVHDSSURYHG

)HEUXDU\ 6HFWLRQ%  5RDGVDQG7UDQVSRUW$XWKRULW\


57$5RDG/LJKWLQJ6SHFLILFDWLRQ

% 6&23(2):25.
$ 7KHVFRSHRI:RUN VKDOOFRPSULVHWKHIROORZLQJ
L 6XSSO\ LQVWDOO WHVW DQG FRPPLVVLRQ RI 7XQQHO /LJKWLQJ 3RZHU 'LVWULEXWLRQ
%RDUGDQG7XQQHO/LJKWLQJ&RQWURO3DQHODQGDOOUHTXLUHGDFFHVVRULHV
LL 6XSSO\ ,QVWDOODWLRQ WHVWLQJ DQG FRPPLVVLRQLQJ RI OLJKWLQJ HTXLSPHQW
FRPSULVLQJ
D 9$&3K+]7XQQHO/LJKWLQJ3RZHU'LVWULEXWLRQ%RDUG
E 9$&3K+]7XQQHOOLJKWLQJFRQWUROSDQHO
F /LJKWLQJ IL[WXUHV DQG DVVRFLDWHG EUDFNHWV VXSSRUWV FRQGXLWV WUXQNLQJ
WUD\VDQGFDEOLQJZLULQJIRUXQGHUSDVVOLJKWLQJ
G $OO WKH UHTXLUHG VL]HV DQG OHQJWKV RI VHUYLFH FDEOHV 3RZHU
&RPPXQLFDWLRQ 
H (DUWKLQJ DQG ERQGLQJ RI DOO HOHFWURQLF LWHPV DQG HOHFWULFDO HTXLSPHQW
LQFOXGLQJVXSSO\RIHDUWKLQJPDWHULDOV
I $OOMRLQWLQJDQGWHUPLQDWLRQOXJVIXVHVODPSVNH\VORFNVODEHOVDQGDOO
QHFHVVDU\PDWHULDOWRFRPSOHWHWKHLQVWDOODWLRQ
J $OOQHFHVVDU\DVVRFLDWHGFLYLOPHFKDQLFDODQGSOXPELQJZRUNV
K 7XQQHO /LJKWLQJ &RQWURO 3DQHO DQG DOO LWV QHFHVVDU\ DFFHVVRULHV DQG
FRPSRQHQWVLQFOXGLQJWKHWRXFKVFUHHQ+XPDQ0DFKLQH,QWHUIDFH +0, 
LLL $OO ODERU SODQW DQG PDWHULDOV IRU WKH FRPSOHWH HUHFWLRQ DGMXVWPHQW WHVWLQJ
DQGSXWWLQJWRZRUNDOOHTXLSPHQWVXSSOLHG
LY 6XSSO\DQGLQVWDOODWLRQRIDQ\PDWHULDOZKLFKPD\QRWEHH[SUHVVO\VSHFLILHG
EXWZKLFKLVQHFHVVDU\WRFRPSOHWHWKH7XQQHOOLJKWLQJV\VWHPIRUWKH3URMHFW
Y 5HLQVWDWHPHQW RI WKH H[LVWLQJ FRQGLWLRQV RI WKH VHUYLFHV DQG SURSHUWLHV WKDW
VKDOOEHDIIHFWHGGXULQJWKHFRQVWUXFWLRQ
% '(6&5,37,212)/,*+7,1*6<67(0
$ 7KHV\VWHPVKDOOEHGHVLJQHGDFFRUGLQJWRGHVLJQVSHHGRIWKHURDG
% 7KHOLJKWLQJDWDQGQHDUWKHDSSURDFKVKDOOEHXVHGWRPDLQWDLQDVXIILFLHQWO\KLJK
OLJKWLQJOHYHOLQVLGHWKHXQGHUSDVVWXQQHOV
& 7KLVVKDOOHQDEOHWKHGULYHUDSSURDFKLQJWKHXQGHUSDVVWRVHHLQWRWKHXQGHUSDVV
WKLVDYRLGLQJWKHEODFNKROHHIIHFW
' 7KH OHYHO RI UHLQIRUFLQJ OLJKWLQJ VKDOO EH FRQWLQXRXVO\ DGMXVWDEOH XVLQJ GLPPLQJ
FRQWUROGHSHQGHQWXSRQWKHH[WHUQDOOXPLQDQFHFRQGLWLRQV
( /XPLQDLUHV VKDOO EH VHOHFWHG DQG SRVLWLRQHG WR SURYLGH D FRQWLQXLW\ RI OLJKWLQJ
WKURXJKWUDIILFURXWHVDQGODQHV
) 7KH OLJKWLQJ GHVLJQ DQG FRQWURO VKDOO HQVXUH WKDW HQHUJ\ ZLOO EH FRQVHUYHG DQG
UXQQLQJFRVWVRSWLPL]HG
* (PHUJHQF\EDFNXSWLPHIRUWXQQHOOLJKWLQJOXPLQDLUHVVKDOOEHKRXUVXVLQJ836
ZLWKVXLWDEOHFDSDFLW\DQGDOOQHFHVVDU\IL[WXUHV
% '(6,*1&5,7(5,$ 2) /,*+7,1*6<67(0
$ 7KHGHVLJQRIWKH7XQQHOXQGHUSDVVOLJKWLQJVKDOOJHQHUDOO\UHFRPPHQGDWLRQVRI
WKHODWHVWYHUVLRQRIWKH&,(1R5HFRPPHQGDWLRQV
% 7XQQHO8QGHUSDVV OLJKWLQJ GHVLJQ VKDOO EH EDVHG RQ $V\PPHWULFDO OLJKWLQJ
PHWKRG DV D GHIDXOW ZKLOH RWKHU OLJKWLQJ PHWKRGV FDQ EH SURSRVHG  E\  WKH
HQJLQHHUGXULQJWKHGHVLJQVWDJHDQGVXEMHFWWR57$DSSURYDOXQOHVVRWKHUZLVH
LQVWUXFWHGGLIIHUHQWO\E\WKH57$(QJLQHHU
& 7KHGHVLJQVKDOODOORZVXIILFLHQWGLVWDQFHIRUWKHGULYHU
VH\HWRDGDSWWRWKHILQDO
OLJKWLQJ OHYHO LQ WKH XQGHUSDVVWXQQHO LQWHULRU W\SLFDOO\ OLJKWLQJ OHYHO LQ GLIIHUHQW
]RQHVVKDOOEHDVVKRZQRQWKHSURMHFWGUDZLQJV

)HEUXDU\ 6HFWLRQ%  5RDGVDQG7UDQVSRUW$XWKRULW\


57$5RDG/LJKWLQJ6SHFLILFDWLRQ

' 7KH GHVLJQ VKDOO WDNH LQWR FRQVLGHUDWLRQ HIIHFW RI VWURERVFRSLF HIIHFW FUHDWHG
XSRQ ODQWHUQ VSDFLQJ DQG VDPH VKDOO EH LQ OLQH ZLWK &,( DQG 6(5 6WDQGDUGV
UHFRPPHQGDWLRQV
( 'D\WLPHOLJKWLQJLQGLIIHUHQW]RQHVVKDOOEHUHDOL]HGDVVKRZQEHORZ7KUHVKROG
=RQH
L 'D\QLJKW WLPH OLJKWLQJ VKDOO EH UHDOL]HG XVLQJ /(' ILWWLQJV DQG DV SHU WKH
57$(QJLQHHUDSSURYDODQG&,(5HFRPPHQGDWLRQV
) /LJKWLQJ GHVLJQV VKDOO EH FDUULHG RXW E\ WKH (QJLQHHU &RQWUDFWRU VKDOO REWDLQ
(QJLQHHU
V SULRU DSSURYDO IRU WKH WXQQHOXQGHUSDVV OLJKWLQJ V\VWHP
VXSSOLHUPDQXIDFWXUHUE\SURYLGLQJWKHLUSUHTXDOLILFDWLRQV
% 'HVLJQ&ULWHULD
$ $OO SURSRVHG FRQWURO DQG FRPPXQLFDWLRQ V\VWHP HTXLSPHQW LQVLGH WKH
WXQQHOVXQGHUSDVVHV VKDOO EH GHVLJQHG PDQXIDFWXUHG LQVWDOOHG DQG
FRPPLVVLRQHGDFFRUGLQJWRIROORZLQJVWDQGDUGV
% $SSOLFDEOH'HVLJQ6WDQGDUGVDQG5HIHUHQFHV
L &,(JXLGDQFH &,(
LL ,(&'LJLWDODGGUHVVDEOHOLJKWLQJLQWHUIDFH3DUW*HQHUDO
UHTXLUHPHQWV&RQWUROJHDU
LLL ,(&(OHFWURPDJQHWLFFRPSDWLELOLW\ (0&
LY ,(((3RZHULQJDQG*URXQGLQJRI(OHFWURQLF(TXLSPHQW
Y ,(((   5HFRPPHQGHG 3UDFWLFH IRU *URXQGLQJ RI ,QGXVWULDO DQG
&RPPHUFLDO3RZHU6\VWHPV
YL %6(1(OHFWURPDJQHWLFFRPSDWLELOLW\
& 0DQXIDFWXUHDQG,QVWDOODWLRQ6WDQGDUGV
L $16,&6WDQGDUGVIRU5RDGZD\DQGDUHD/LJKWLQJ(TXLSPHQW
LL %65HTXLUHPHQWVIRUHOHFWULFDOLQVWDOODWLRQV
LLL %63DUW /LJKWLQJUHTXLUHPHQWVIRUURDGDQGWXQQHOV
LY %6(1(OHFWURPDJQHWLFFRPSDWLELOLW\5RDGWUDIILFVLJQDOV\VWHPV
Y %6(1'HJUHHVRISURWHFWLRQSURYLGHGE\HQFORVXUHV ,3FRGH 
YL %6 (1   8QLQWHUUXSWLEOH SRZHU V\VWHPV 836  0HWKRG RI VSHFLI\LQJ
WKHSHUIRUPDQFHDQGWHVWUHTXLUHPHQWV
YLL %6(13URWHFWLRQDJDLQVWOLJKWQLQJ
YLLL %6 (1   &RGH RI SUDFWLFH IRU SURWHFWLYH HDUWKLQJ RI HOHFWULFDO
LQVWDOODWLRQV
L[ '(:$UHJXODWLRQVIRUHOHFWULFDOLQVWDOODWLRQV
[ 8$(ILUHDQGOLIHVDIHW\FRGHRISUDFWLFH
[L '(:$5HJXODWLRQVIRU3URWHFWLYH0XOWLSOH(DUWKLQJ
[LL 1)3$1DWLRQDO(OHFWULFDO&RGHDQG/LIH6DIHW\&RGH
[LLL 1)3$6WDQGDUGIRU5RDG7XQQHOV%ULGJHVDQGRWKHU+LJKZD\V
[LY ,62(QYLURQPHQWDO0DQDJHPHQW6\VWHPV
[Y ,62   4XDOLW\ PDQDJHPHQW DQG TXDOLW\ DVVXUDQFH VWDQGDUGV
GHYHORSPHQWVXSSO\LQVWDOODWLRQDQGPDLQWHQDQFHRIFRPSXWHUVRIWZDUH
[YL ,624XDOLW\PDQDJHPHQWV\VWHPV5HTXLUHPHQWV
[YLL ,62,(&   &RQIRUPLW\ DVVHVVPHQW *HQHUDO UHTXLUHPHQWV IRU
DFFUHGLWDWLRQERGLHVDFFUHGLWLQJFRQIRUPLW\DVVHVVPHQWERGLHV
[YLLL ,62,(&   &RQIRUPLW\ DVVHVVPHQW 5HTXLUHPHQWV IRU ERGLHV
SURYLGLQJDXGLWDQGFHUWLILFDWLRQRIPDQDJHPHQWV\VWHPV
[L[ ,62,(&   *HQHUDO UHTXLUHPHQWV IRU WKH FRPSHWHQFH RI WHVWLQJ DQG
FDOLEUDWLRQODERUDWRULHV

)HEUXDU\ 6HFWLRQ%  5RDGVDQG7UDQVSRUW$XWKRULW\


57$5RDG/LJKWLQJ6SHFLILFDWLRQ

[[ 7,$$*HQHULF6SHFLILFDWLRQIRU)LEUH2SWLF&DEOHV
[[L %6(1 ,(& 3URJUDPPDEOH&RQWUROOHUV
[[LL %6(1*HQHUDOSXUSRVHILHOGFRPPXQLFDWLRQV\VWHP
[[LLL ,6%1 2    *XLGHOLQHV IRU WKH 'RFXPHQWDWLRQ RI &RPSXWHU
6RIWZDUH IRU 5HDOOLQH DQG ,QWHUDFWLYH 6\VWHPV IRU UHDO WLPH DQG ,QWHUDFWLYH
V\VWHPV
[[LY ,6%1 2    3URJUDPPDEOH (OHFWURQLF 6\VWHPV LQ 6DIHW\
5HODWHG$SSOLFDWLRQV*HQHUDO7HFKQLFDO*XLGHOLQHV

% 81'(53$667811(//,*+7,1*32:(5',6758%7,21%2$5' 7/3'%


$ &RQVWUXFWLRQVKDOOEHLQDFFRUGDQFHZLWKWKHIROORZLQJVWDQGDUGV
L 7KHPRVWLPSRUWDQWSXEOLFDWLRQUHOHYDQWWRWKHXQGHUSDVV7XQQHO/3'%DUH
D 3XEOLFDWLRQ%6(1
E 3XEOLFDWLRQ%6(1'HJUHHRISURWHFWLRQRIHQFORVXUHV
F 'HJUHHRISURWHFWLRQRIHQFORVXUHV
G 3XEOLFDWLRQ%6(1
H 3XEOLFDWLRQ,(&
I 9DULRXVSXEOLFDWLRQVUHOHYDQWWRDSSDUDWXVGHYLFHVDQGFRPSRQHQWV
% &RQWUDFWRUVKDOOEHUHVSRQVLEOHIRUWKHFRUUHFWVL]LQJRIWKHHOHFWULFDOHTXLSPHQW
DQG IRU WKH SURSHU VHOHFWLRQ RI PDWHULDOV LQ DFFRUGDQFH ZLWK WKH DPELHQW
FRQGLWLRQV$OOPDWHULDOVXVHGVKDOO EH DEOH WR RSHUDWH QRUPDOO\ GXULQJ KLJK
WHPSHUDWXUHKXPLGLW\GXVWIRJDQGPRLVWXUHFRQGLWLRQVDQGKDUVKHQYLURQPHQWV
VXFKDVURDGWXQQHOV
& 7KH&RQWUDFWRUVKDOOJXDUDQWHHWKDWWKH7/3'%VXSSOLHGLQFOXVLYHRIDOOPDWHULDOV
DQG LQVWDOOHG HTXLSPHQW DUH IUHH IURP DOO GHIHFWV RU LPSHUIHFWLRQV DQG DUH
FDSDEOH RISURSHU RSHUDWLRQ DW UDWHG ORDG ZLWKLQ WKH WROHUDQFH OLPLWV HVWDEOLVKHG
E\JRYHUQLQJFRQVWUXFWLRQFRGHV
' 7KHGHVLJQDQGFRQVWUXFWLRQRIHOHFWULF7/3'%VKDOOEHVXFKWKDWWRHQVXUH
L 6DIHW\RISHUVRQQHOXQGHUDOORSHUDWLQJDQGH[SHFWHGIDXOWFRQGLWLRQV
LL &RQVWUXFWLRQDQGRSHUDWLQJUHOLDELOLW\
LLL 3RVVLELOLW\RIIXWXUHH[WHQVLRQ
( 6DIHW\ RI SHUVRQQHO VKDOO EH DVVXUHG E\ WKH SUHYHQWLRQ RI GLUHFW RU LQGLUHFW
FRQWDFWV ZLWKOLYHSDUWV RUPRYLQJ SDUWV XQGHU DQ\ RSHUDWLQJ DQGH[SHFWHGIDXOW
FRQGLWLRQV DQG ZLWK OLYH SDUW XQGHU PDLQWHQDQFH FRQGLWLRQV RU RFFDVLRQDO
KDQGOLQJRQ7/3'%
) *HQHUDODQGSDUWLDOSURWHFWLRQVKDOOHQVXUHWKDWSHUVRQQHOFDQQRWFRPHLQFRQWDFW
ZLWKWKHOLYHSDUWVRIWKHHOHFWULF7/3'%
* 7KH JHQHUDO H[WHUQDO SURWHFWLRQ VKDOO EH DFKLHYHG E\ PHDQV RI SHUPDQHQW
EDUULHUVRUHQFORVXUHVZKLFKSUHYHQWDQ\FRQWDFWZLWKWKHOLYHSDUWV
+ 7KHVSDFLQJLQVXODWLRQOHYHODQGPHFKDQLFDOVWUHQJWKVKDOOEHFRQVLVWHQWZLWKWKH
VWUHVVHVWKH\PD\QRUPDOO\XQGHUJR
, 7KHOXPLQDLUHVVKDOOEHIHGE\WKH7/3'%DVLQGLFDWHGLQWKH'UDZLQJV
- 7KH 7/3'% VKDOO FRQWDLQ DOO WKH HOHFWULFDO FRPSRQHQWV QHFHVVDU\ IRU WKH
OXPLQDLUHRSHUDWLRQV LQQLJKWKRXUVDQGGD\KRXUV
. 7KH7/3'%FDELQHWVKDOOEHPDGHE\KLJKJUDGH$OXPLQXPVKHHWZLWKWKLFNQHVV
QRW OHVV WKDQ PP  7KH H[WHUQDO 6LGH RI WKH 7/3'% VKDOO EH HSR[\ SRZGHU
FRDWHGKDYLQJWKHFRORUSLJPHQWVDVSHUWKH&OLHQWUHTXLUHPHQW7KHFDELQHWVKDOO
EHSURYLGHGZLWKYHQWLODWLRQ

)HEUXDU\ 6HFWLRQ%  5RDGVDQG7UDQVSRUW$XWKRULW\


57$5RDG/LJKWLQJ6SHFLILFDWLRQ

/ 7KH 7/3'% FDELQHW VKDOO EH KRXVHG LQVLGH DLUFRQGLWLRQHG NLRVN IRU VWDQGDORQH
WXQQHOVXQGHUSDVVDQG 7XQQHO &RQWURO EXLOGLQJ IRU 6&$'$ FRQWUROOHG
WXQQHOV
0 7KHERWWRPRI7/3'%VKDOOEHUHPRYDEOHIRUFDEOHJODQGLQVWDOODWLRQ
1 7KH7/3'%VKDOOEHIL[HGWRVWDLQOHVVVWHHOJUDGH66DQFKRUEROWVZLWKH[WUD
ZLGHZDVKHUVVSULQJZDVKHUVDQGVWDLQOHVVVWHHOQXWV
2 7KH GHJUHH RI SURWHFWLRQ UHTXLUHG LV ,3 DFFRUGLQJ WR %6 (1 3XEOLFDWLRQ 1R

3 7KH7/3'%VKDOOEHW\SHWHVWHGWRZLWKVWDQG.$IRU VHF
4 )RXU OXJV RI DSSURSULDWH GLPHQVLRQ VKDOO EH IL[HG RQ WRS RI WKH 7/3'% IRU
HDV\KDQGOLQJ 7KH DFFHVVLQVLGH WKH 7/3'%VKDOO EH SURYLGHGE\ WZR GRRUV
ZLWK GHJUHHKLQJHVDQGILWWHGZLWKWZRYHUWLFDODQGRQHKRUL]RQWDOZHGJH
5 /DWFKLQJ GHYLFHV WR IL[ WKH GRRU RSHQ VKDOO EH SURYLGHG $ GDQJHU QRWLFH LQ
$UDELF DQG(QJOLVKODQJXDJHVVKDOOEHULYHWHGRQWKHIURQWRIWKH7/3'%
6 7KH HTXLSPHQW LQVLGH WKH 7/3'% VKDOO EH VFUHZHG ZLWK HDV\ XQIDVWHQLQJ
DFFHVV WR RQHPHWDOOLFVWUXFWXUHRUJDOYDQL]HGVWHHORUHTXLYDOHQW
7 7KH &LUFXLW %UHDNHUV VKDOO EH 3 UDWLQJ DV VKRZQ LQ ':*
V ZLWK EUHDNLQJ
FDSDFLW\.$ UPV,Q6(59,&( DVSHU%6(19 +]
8 7KH EUDQFKFLUFXLW EUHDNHUV VKDOO3 UDWLQJDV VKRZQ RQGUDZLQJZLWK EUHDNLQJ
FDSDFLW\ WKDWFRPSOLHVWRWKHSDQHOVSHFV
9 (DFK7/3'%WRKDYHGLUHFWDFWLQJUHOD\VZLWKGLIIHUHQWLDOFXUUHQWUHOD\ RSHUDWLRQ
DWP$RIIDXO
: 2QH GRRU VZLWFK RSHUDWHG LQWHUQDO /(' VKDOO EH SURYLGHG DV ZHOO DV RQH $
LQGXVWULDOVRFNHWERWKSURWHFWHGE\FLUFXLWEUHDNHU
; *ODQGVZLWKPRLVWXUH DQGKXPLGLW\ VHDO ULQJV HQWU\ WKUHDG VHDO XQGHU WKH -RFN
QXWHDUWKWDJ SODVWLF VKURXGVFRYHUHG VKDOO SURWHFW WKHLQFRPLQJ DQGRXWJRLQJ
FDEOHV
< 7/3'% LQWHUQDO FRQWURO ZLULQJ VKDOO EH GRQH ZLWK  VWUDQGHG FRSSHU FDEOH
,QVXODWHGZLWKKHDWUHVLVWLYH39&UDWHGGHJUHH&
= 7KHGRRURULHQWDWLRQRIWKH7/3'%VKDOOEHDVGLUHFWHGE\WKH(QJLQHHU
% 81'(53$667811(//80,1$5,(6*(1(5$/
$ /XPLQDULHVVKDOOFRQWDLQ/('VZKLFKRSHUDWHRQ9ROWV$&$7+]

% 7KH 'HVLJQ 6SHFLILFDWLRQ &DOFXODWLRQ 0DQXIDFWXULQJ 7HVWLQJ 6KLSPHQW
,QVWDOODWLRQ  DQG 3HUIRUPDQFH RI /(' OLJKWLQJ V\VWHP RU RWKHU HTXDOO\
VXVWDLQDEOH WHFKQRORJ\  VKDOO EH  LQ DFFRUGDQFH ZLWK WKH DSSOLFDEOH
UHTXLUHPHQWV RI 57$ DQG ,QWHUQDWLRQDO HOHFWULFDO DQG  OLJKWLQJ 6WDQGDUGV IRU
HOHFWULFDOGLVWULEXWLRQZRUNV H[FHSW DVVSHFLILHG KHUHLQ
& 7KH OXPLQDLUHV GHVLJQHG WR RSHUDWH FRQWLQXRXVO\ DW WKH VSHFLILHG DPELHQW
WHPSHUDWXUHDQGKXPLGLW\ZLWKVSHFLDODWWHQWLRQJLYHQWRWKHHIIHFWVRIGLUHFWVXQ
H[SRVXUH GXULQJ WKH GD\ ,Q DGGLWLRQ WKH RFFDVLRQDO VDQG VWRUPV DQG GXVW\
ZHDWKHULQGHVLJQLQJWKHOXPLQDLUHERG\
' 7KH PDQXIDFWXUHUV VKDOO JXDUDQWHH DGKHUHQFH WR WKLV 6SHFLILFDWLRQ DQG WKH
SHUIRUPDQFHRIWKHLUOXPLQDLUHXQGHUDOOWKHUHTXLUHGGHVLJQFRQGLWLRQV
( &RQVXOWDQW VKDOO EH IXOO\ UHVSRQVLEOH WR HQVXUH WKDW WKH SURMHFW DQG SURGXFW
VSHFLILFDWLRQV DUH LQ IXOO\ FRPSOLDQFH ZLWKRXW DQ\ GHYLDWLRQ IURP WKLV
6SHFLILFDWLRQ SULRU WR IRUZDUGLQJ WR  57$ IRU DSSURYDO $Q\ WHFKQLFDO GHYLDWLRQ
VKRXOGEHEURXJKWWRWKHQRWLFHRIWKH57$7KH(QJLQHHUVKDOOHQVXUHIROORZLQJ
GXULQJ WKH GHVLJQ LQWHJUDWLRQ FRRUGLQDWLRQ IXQFWLRQDOLW\ DQG DFFHVVLELOLW\ RI
WKHVHVHUYLFHV,WVKDOOEHWKH&RQVXOWDQW¶V&RQWUDFWRUVXSSOLHUUHVSRQVLELOLWLHVWR
EULQJWKHV\VWHPWRWKHGHVLJQ RSHUDWLQJDQGPDLQWHQDQFHFRQGLWLRQV

)HEUXDU\ 6HFWLRQ%  5RDGVDQG7UDQVSRUW$XWKRULW\


57$5RDG/LJKWLQJ6SHFLILFDWLRQ

%$SSOLFDEOH6WDQGDUGV *XLGDQFH'RFXPHQWV
) 7KH IROORZLQJ VWDQGDUGV RU LWVHTXLYDOHQW ,QWHUQDWLRQDO DSSURYHG VLPLODU VKRXOG
EHIROORZHG
L ,(61$ ,OOXPLQDWLQJ (QJLQHHULQJ 6RFLHW\ RI 1RUWK $PHULFD   /LJKWLQJ
+DQGERRNWK(GLWLRQ&,( ,QWHUQDWLRQDO&RPPLVVLRQRQ,OOXPLQDWLRQ
LL ,(61$53 UHDIILUPHG 5RDGZD\/LJKWLQJ
LLL &,(  /LJKWLQJ RI 5RDGVIRU 0RWRU DQG 3HGHVWULDQ 7UDIILF ,(61$
535RDGZD\6LJQ/LJKWLQJ
LY ,(61$53/LJKWLQJIRU3DUNLQJ)DFLOLWLHV&,(*XLGHIRU/LJKWLQJ
([WHULRU:RUN$UHDV
Y ,(61$'*'HVLJQ*XLGHIRU5RXQGDERXW/LJKWLQJ
YL ,(61$ 70   7HFKQLFDO 0HPRUDQGXP RQ /LJKW (PLWWLQJ 'LRGH /('
6RXUFHV 6\VWHPV
YLL ,(61$'*'HVLJQ*XLGHIRU5RDGZD\/LJKWLQJ0DLQWHQDQFH
YLLL ,(61$531RPHQFODWXUH 'HILQLWLRQVIRU,OOXPLQDWLQJ(QJLQHHULQJ
L[ ,(6,(61$ /0  $SSURYHG 0HWKRG (OHFWULFDO DQG 3KRWRPHWULF
0HDVXUHPHQWVRI6ROLG6WDWH/LJKWLQJ3URGXFWV
[ ,(6,(61$/0$SSURYHG0HWKRGIRU0HDVXULQJ/XPHQ0DLQWHQDQFH
RI/('/LJKW6RXUFHV
[L ,(61$/0$SSURYHGPHWKRGRIPHDVXULQJ/3:#R&
[LL ,(61$ /0 $SSURYHG PHWKRG IRU GHUDWLQJ YDOXHV RI /(' V\VWHPV
,(61$/0
[LLL ,(&  RU (1   ,3  DQG (1   ,.   'HJUHHV RI 3URWHFWLRQ
3URYLGHG E\ (QFORVXUHV ,3 &RGH IRU LQJUHVV SURWHFWLRQ DQG ,. &RGH IRU
0HFKDQLFDO 6WUHQJWK  $16O1(0$$16/* &  $PHULFDQ
1DWLRQDO6WDQGDUGIRU&KURPDWLFDOO\RI6ROLG6WDWHOLJKWLQJSURGXFWV
[LY %6 (1  RU $16O,(61$ 53  3KRWR ELRORJLFDO 6DIHW\ RI
/DPSVDQG/DPS6\VWHPV
[Y (1SDUWV  (OHFWULFDOVDIHW\ *HQHUDODQGIRU5RDG/LJKWLQJ
/XPLQDLUHV
[YL (1  (1  (1   (1   (OHFWURPDJQHWLF
&RPSDWLELOLW\ ,PPXQLW\ 5HTXLUHPHQWV KDUPRQLFV 5HTXLUHPHQWV )OLFNHU
5HTXLUHPHQWV 5DGLDWHGDQG
[YLL &RQGXFWHG(PLVVLRQVUHVSHFWLYHO\
[YLLL &,(  *XLGHOLQHV IRU 0LQLPL]LQJ 6N\ *ORZ DQG ,(61$ 70
$GGUHVVLQJ 2EWUXVLYH 8UEDQ 6N\ *ORZ DQG /LJKW 7UHVSDVV  LQ FRQMXQFWLRQ
ZLWK8UEDQ/LJKWLQJ-('(&-RLQW(OHFWURQ'HYLFH(QJLQHHULQJ&RXQFLO
[L[ $670$PHULFDQ6RFLHW\IRU7HVWLQJRI0DWHULDOV
[[ $670 % D  6WDQGDUG 3UDFWLFH IRU 2SHUDWLQJ 6DOW 6SUD\ )RJ
$SSDUDWXVRU,62,QWHUQDWLRQDO2UJDQL]DWLRQIRU6WDQGDUGL]DWLRQ
[[L ,62   &RUURVLRQ WHVWV LQ DUWLILFLDO DWPRVSKHUHV 6DOWVSUD\ WHVWV
,(&(QYLURQPHQWDOWHVWLQJRI(OHFWURQLF(TXLSPHQW
[[LL $16, &  +DUPRQLF (PLVVLRQ /LPLWV  ,((( 6WG   
+DUPRQLF/LPLWV(1RU)&&SDUW&ODVV%$16,&
[[LLL 8/ 8/  $1' 8/ &$1&6$& 1R2 &6$& 1R
DQGRU1R(16DIHW\DQG(1
[[LY 6XUJH 3URWHFWLRQ VXEMHFW WR ,((($61, & VFHQDULR ,
FDWHJRU\&/RZPLQLPXPVWULNHV5($&+FRPSODLQW
[[Y(1(&FHUWLILFDWHVRU8/RQVDIHW\SDUWV

)HEUXDU\ 6HFWLRQ%  5RDGVDQG7UDQVSRUW$XWKRULW\


57$5RDG/LJKWLQJ6SHFLILFDWLRQ

[[YL (60$UHTXLUHPHQWVIRUHQHUJ\VDYLQJVODEHOVDQGHOHFWULFDOSDUDPHWHUV
'XEDL *UHHQ (FRQRP\ *XLGHOLQHV DV ZHOO DV *HQHUDO *XLGDQFH IRU
2XWGRRU6WUHHW/LJKWLQJVSHFLILFDWLRQV
[[YLL '(:$(OHFWULFDODQG:LULQJ,QVWDOODWLRQV

% /('/XPLQDLUHV7HFKQLFDO6SHFLILFDWLRQ
$ &KDUDFWHULVWLFVRI+3/('&KLSV
L 7KH OLJKW VRXUFH VKDOO EH KLJK SRZHU /(' SDFNDJH FKLS ZLWK VLQJOH 'LRGH
KLJK EULJKWQHVV ZKLWH OLJKW HPLWWLQJ 'LRGHV /('V  ZLWK LQGLYLGXDO  PLQLPXP
HIILFDF\ RI  /3: IRU . DUUDQJHG LQ DUUD\V WR  SURYLGH WKH UHTXLUHG
OLJKWLQJRXWSXW/3:IRU.FDQEHXVHGXSRQ57$UHTXHVWRQO\
LL 7KH /('V VKDOO EH IURP D UHSXWHG PDQXIDFWXUHU RI /('V ZLWK SURYHQ SDVW
SHUIRUPDQFH LQ  DFFRUGDQFH ZLWK $16,1(0$$16/* & ±
$PHULFDQ 1DWLRQDO 6WDQGDUG IRU  &KURPDWLFLW\ RI 6ROLG 6WDWH /LJKWLQJ
3URGXFWV RUVLPLODUDSSURYHG,QWHUQDWLRQDO6WDQGDUG
LLL $W OHDVW  \HDUV H[SHULHQFHV GHOLYHULQJ +3 /(' FKLSV WR RXWGRRU
DSSOLFDWLRQV
LY &KLSV VKDOO RQO\ EH IURP 0DFDGDP (OOLSVH PD[ 6WHSV  %LQV 7KHUHIRUH
.WKHGHILQHGUDQJHVIRUVWHSILYHE\$16,1(0$$16/*&

Y 7KH&5,•
YL 7KH /('V VKDOO EH UHPRYDEOH E\PRGXODUPHDQVZLWKRXW WRROV WR DYRLG DQ\
SRVVLEOHULVNWRPDLQWDLQLQJOXPLQDLUHSKRWRPHWU\
% /('&KLSV7HFKQLFDO5HTXLUHPHQWV
7KHIROORZLQJUHTXLUHPHQWVGRFXPHQWDWLRQVKDOOSURYLGH 1RWH,VVXHVHSDUDWH
VXSSRUWLQJGRFXPHQWVLIUHTXLUHG
L 2SHUDWLQJ WHPSHUDWXUH UDWLQJ VKDOO EH EHWZHHQ ± ƒ& DQG PLQLPXP
ƒ& DW D PLQLPXP   5HODWLYH +XPLGLW\ 5+  6WRUDJH LH QRQ
RSHUDWLQJ  GD\WLPH  WHPSHUDWXUH DOO /(' FRPSRQHQWV VKDOO EH GHVLJQHG
WR WROHUDWH EHWZHHQ ± ƒ& DQG PLQLPXP ƒ& DW D PLQLPXP 
5HODWLYH+XPLGLW\ 5+ 
LL &RUUHODWHGFRORXUWHPSHUDWXUH &&7 .VKDOOEHUHTXLUHGDQG.
DV SHU 57$ UHTXHVW 6&'0 PD[ VWHS ILYH 0DFDGDP (OOLSVH   &RORXU
UHQGHULQJLQGH[ &5, • &,(
LLL 0DQXIDFWXUHUVKDOOVXEPLWUHOLDELOLW\UHSRUWVIURPWKLUGSDUW\ODERUDWRU\/DE
6WUHVV WHVWPHWKRGRORJ\   LQGLFDWLQJ WKDW WKH PDQXIDFWXUHU RI WKH /('
FKLS GLRGH RU SDFNDJH  KDV SHUIRUPHG -RLQW (OHFWURQ 'HYLFHV
(QJLQHHULQJ&RXQFLO -('(& RUHTXLYDOHQWUHFRJQL]HGFRXQFLO
LY 5HOLDELOLW\WHVWVRQWKH/('VIURPDFFUHGLWHGWKLUGSDUW\ODEWREHSURYLGHG
)DFWRU\ SUHUHOHDVH WHVW UHSRUWV VKDOO EH SURYLGHG  IURP WKH /('
PDQXIDFWXUHU GXO\ FRPSO\LQJZLWK-('(& -(6'$& RU HTXLYDOHQW
IRURSHUDWLQJOLIHWHVWVDWƒ&DPELHQWWHPSHUDWXUHDQGIRUKXPLGLW\DQG
VDOWDWPRVSKHUHFRUURVLRQWHVWV
Y 6WDQGDUGVDQGWHVWVXVHGPXVWEHVWDWHG
YL ,(61$/0&,(7&WHVWUHSRUWVUXQIRUGLIIHUHQWWHPSDWOHDVWIRU
KUV
YLL ,(61$$16,70UHSRUWHGOLIHWLPHIRUKU
YLLL ,(61$/0&KDUDFWHULVWLFVRI/('FKLSV

)HEUXDU\ 6HFWLRQ%  5RDGVDQG7UDQVSRUW$XWKRULW\


57$5RDG/LJKWLQJ6SHFLILFDWLRQ

% /(''ULYHUV7HFKQLFDO5HTXLUHPHQWV
7KH IROORZLQJ UHTXLUHPHQWV  GRFXPHQWDWLRQ VKDOO EH SURYLGHG 1RWH ,VVXH
VHSDUDWHVXSSRUWLQJGRFXPHQWVLIUHTXLUHG
L 'ULYHUVVKDOOEH,3HQFDSVXODWHGW\SH
LL 'ULYHUV VKDOOEH '$/, GLPPDEOH DQGKDYHDPLQLPXP HIILFLHQF\ RI 
DQG VKRXOG PHHW ZLWK 1(0$ VRFNHW UHTXLUHPHQWV DQG VKRXOG PDLQWDLQ
QRUPDORSHUDWLRQDWKU
LLL &DVH 7Fƒ&  7HPSHUDWXUH UDWLQJ PD[ RI ƒ& DQG DW D PLQLPXP 
5HODWLYH+XPLGLW\ 5+ 
LY 'ULYHUVKDOOKDYHVRPHPHDQVRIEXLOWLQRYHUKHDWWKHUPDOSURWHFWLRQLQWKH
IRUPRIDXWRPDWLFGLPPLQJRUVWHSSLQJKROGLQJGRZQRIWKHGULYHUFXUUHQW
ZKHUHWHPSHUDWXUHH[FHHGVRSHUDWLRQDOOLPLWV
Y 7KHUPDO FXWRII GHYLFHVZKLFK WXUQ WKHIL[WXUHFRPSOHWHO\ RII VKDOO QRW EH
DFFHSWHG
YL 7KH 'ULYHU DQGGULYHU RXWSXW FXUUHQW VKDOO EH IXOO\ WHVWHG DQG FRPSDWLEOH
ZLWKWKHH[DFW/('FKLSVHQJLQHRIWKHOXPLQDLUH
YLL $OO LQIRUPDWLRQ SURYLGHG DQG WKH FRVW DQDO\VLVSD\EDFN FDOFXODWLRQV VKDOO
EHFDOFXODWHGZLWKWKHH[DFWGULYHFXUUHQWLQFOXGLQJWKHFDOFXODWLRQIRUWKH
OLIHF\FOHDQGUHVXOWDQWLQFUHDVHRUGHFUHDVHRIWKHHQHUJ\FRQVXPSWLRQ
LIDSSOLFDEOH
YLLL ,QSXWYROWDJHFDSDEOHRIYROW'$/,7\SHVLQJOHSKDVH
L[ 3RZHUVXSSOLHVFDQEH8/&ODVVRU,,RXWSXWRUVLPLODU(XURSHDQ&(RU
,QWHUQDWLRQDOHTXLYDOHQW
[ 6XUJH SURWHFWLRQ VKDOO EH WHVWHG LQ DFFRUGDQFH WR WKH UHTXLUHPHQWV RI
,((($61,&6FHQDULR,/RFDWLRQ&DWHJRU\&PLQLPXP
VWULNHV XS WR N9  N$ YLD D 6XUJH 3URWHFWLRQ 'HYLFH RU ,QWHUQDWLRQDO
HTXLYDOHQW ([WHUQDO VXUJH SURWHFWLRQ WR EH SURYLGHGDQG VKDOO DFW EHIRUH
WKHLQWHUQDOVXUJHGHYLFH
[L 'ULYHUVVKDOOKDYHD3RZHU)DFWRU 3) RI/•
[LL 'ULYHUV VKDOO FRPSO\ ZLWK )&&  &)5 SDUW  QRQFRQVXPHU 5),(0,
VWDQGDUGVRUHTXLYDOHQW
[LLL 'ULYHUVVKDOOEH5R+6&RPSOLDQW
[LY 'ULYHUVVKDOOKDYHDWRWDOLQGLYLGXDOOXPLQDLUH+DUPRQLF'LVWRUWLRQ 7+' RI
”  LQ DFFRUGDQFHZLWK$16, &  +RZHYHU WKH&RQWUDFWRU
VKDOO PHDVXUH WKH  KDUPRQLF DW WKH VXSSO\ SRLQW /9 VLGH RI WKH
GLVWULEXWLRQVXEVWDWLRQ DIWHUWKHLQVWDOODWLRQRIDOOWKH/('VWUHHWOLJKWVDQG
DGRSWKDUPRQLFFRPSHQVDWLRQPHWKRGXVLQJVWDWLFKDUPRQLFILOWHUWROLPLW
WKHWRWDOKDUPRQLFVGLVWRUWLRQLQWKHVXSSO\YROWDJHWRPD[LPXPDVSHU
,(((5HJXODWLRQVDQGDVSHU'(:$UHJXODWLRQV
[Y 'ULYHU VDIHW\ VKDOO PHHW 8/ 8/  $1' 8/ &$1&6$&
12&6$&1RDQGRU12(16DIHW\DQG
(1 (0& DQG ,PPXQLW\ VKDOO PHHW (1 RU )&& SDUW 
&ODVV%$16,&
[YL 'ULYHUVKDOOEHRIWRROOHVVDFFHVVZLWKLQILWWLQJ
[YLL 'ULYHU IRUZDUG FXUUHQW VKRXOG EH RI PD[ PD RWKHU KLJKHU FXUUHQW
FRXOGEHDFFHSWHGXQGHUVWULFWFRQGLWLRQVUHODWHGWRWKHUPDOPDQDJHPHQW
LVVXHV
[YLLL $WOHDVW\HDUVH[SHULHQFHVGHOLYHULQJGULYHUVWRRXWGRRUPDQXIDFWXUHUV

)HEUXDU\ 6HFWLRQ%  5RDGVDQG7UDQVSRUW$XWKRULW\


57$5RDG/LJKWLQJ6SHFLILFDWLRQ

% :KROH/XPLQDLUH5HTXLUHPHQWV
$ )L[WXUH7HFKQLFDO'DWD
L 7KH IROORZLQJ UHTXLUHPHQWV , GRFXPHQWDWLRQ VKDOO EH SURYLGHG 1RWH ,VVXH
VHSDUDWH VXSSRUWLQJ GRFXPHQWV LI UHTXLUHG  3K\VLFDO GHVFULSWLRQ RI OLJKWLQJ
IL[WXUHLQFOXGLQJGLPHQVLRQV
LL 'HWDLOV RI WKH GULYHU V  LQFOXGLQJ PDQXIDFWXUHU GULYHU HIILFLHQF\ SURGXFW
FRGHFHUWLILFDWLRQVDQGLQSXWZDWWDJH'RFXPHQWDWLRQRIWKHH[SHFWHGXVHIXO
OLIHWLPHLQFOXGLQJWKHWHVWLQJ DQGFDOFXODWLRQ RIXVHIXOOLIH9HULILFDWLRQRIVLWH
OLJKWLQJ SHUIRUPDQFH DV GHILQHG E\ SHUIRUPDQFH PHWKRGV DUH  XVHG WKH
LQWHUSRODWLRQEHWZHHQWKHWKUHHVHWVRI/0GDWD70DQG,6707UHVXOWV
PXVWEHVKRZXS
LLL 6DIHW\ FHUWLILFDWLRQ DQG ILOH QXPEHU DV UHTXLUHG IRU WKH OXPLQDLUH IDPLO\ WKDW
VKDOOEHOLVWHGODEHOOHGRULGHQWLILHGDVSHUWKH1DWLRQDOHOHFWULFFRGH 1(& 
LY $SSOLFDEOHWHVWLQJERGLHVDUHGHWHUPLQHGE\
D 7KH 86 2FFXSDWLRQDO 6DIHW\ +HDOWK $GPLQLVWUDWLRQ 26+$  DV
1DWLRQDO
E 5HFRJQL]HG7HVWLQJ/DERUDWRULHV 157/ DQGLQFOXGH&6$ &DQDGLDQ
6WDQGDUGV$VVRFLDWLRQ
F (7/ (GLVRQ7HVWLQJ/DERUDWRU\
G 8/ 8QGHUZULWHUV/DERUDWRU\
H &(&RQIRUPDQFH(XURSHDQ
I 19/$3RU$16,,62,(&37
J $Q\WKLUGSDUW\DSSURYHGEXGG\
% 0HFKDQLFDO3DUW
L +RXVLQJ +LJKSUHVVXUH GLH FDVH ZLWK ORZ FRSSHU FRQWHQW GHVLJQHG LQ D
PDQQHUWRPDQDJHJHQHUDWHGKHDWE\3&%V
LL 5HIUDFWRU7HPSHUHGJODVVRI,.DQGRU300$RU3&ZLWKPLQ,.VXEMHFW
WR ,(& FODXVH    $OO V\QWKHWLF PDWHULDOV VKDOO EH  89
6WDEOHDQGVFUDWFKUHVLVWDQW
LLL <HOORZLVK IDFWRU DQG DJLQJ IDFWRU QHHGHG IRU DQ\ JLYHQ SODVWLF300$3&
PDWHULDOV
LY ,QJUHVV3URWHFWLRQPLQ,3IRUZKROHOXPLQDLUHDQG,3IRUJHDURUJHDU
FRPSDUWPHQWVXEMHFWWR,(&
Y 7RRO )UHH )LWWLQJV VKRXOG EH RI WRRO IUHH DFFHVV IRU RSWLF PRGXOHV GULYHU
GRRUV HWF  :KLOH PDLQWDLQ UHSODFH XSJUDGH V\VWHP QR WRROV DUH UHTXLUHG
IRUWKHVHRSHUDWLRQDOVRVKRXOGEHGRQHZLWKRXWGHPRXQWILWWLQJV
YL 52+6&RPSODLQWV\VWHPVKRXOGEHRI52+6FRPSODLQWDQGIUHHRIPHUFXU\
DQGDQ\KD]DUGVPDWHULDOVVXFKDVEXWQRWOLPLWHGWROHDGHWF
YLL 9LEUDWLRQ 6KRXOG PHHW * YLEUDWLRQ RQ WKUHH D[LV  F\FOH DV SHU
&
YLLL 6DOW 6SUD\ WHVW 3DLQW VKRXOG EH RI FRUURVLRQ UHVLVWDQFH SRO\HVWHU SDLQW
SRZGHU ZLWK PLQ PLO WKLFNQHVV VXEMHFW WR $670%  $670% DQG
VKRXOG  H[FHHG UDWH RI VL[ IRU $670' DIWHU PLQLPXP KUV 7KLUG
SDUW\WHVWFHUWLILFDWHLVQHHGHGIRUWKHILWWLQJKRXVLQJIURPLQVLGHDQGRXW 
L[ +DUGZDUH¶V DOO KDUGZDUH¶V LWHPV LQFOXGLQJ EXW QRW OLPLWHG WR QXWV VFUHZV
FODPSHWFPXVWEHRIVWDLQOHVVVWHHOPDWHULDORIJUDGH/
[ 7KH OXPLQDLUH VKDOO EH SURYLGHG ZLWK D KHDY\GXW\ UXJJHG FDVW DOXPLQLXP
DGMXVWDEOHVOLSILWWHUPRXQWDEOHWRVXLWWKHSURSRVHGLQVWDOODWLRQ
[L )LWWLQJVPXVW EH GHVLJQHGLQDZD\ WR SUHYHQWDFFXPXODWLRQV RI VDQG GXVW
GHEULVRURWKHUVRQLWVVXUIDFHVHLWKHUIURPWRSRUGRZQ

)HEUXDU\ 6HFWLRQ%  5RDGVDQG7UDQVSRUW$XWKRULW\


57$5RDG/LJKWLQJ6SHFLILFDWLRQ

[LL 1RUPDOPDLQWHQDQFHSURFHGXUHVZLOOEHIROORZHGWRFOHDQILWWLQJVRQFHHYHU\
 \HDUV QR  VSHFLDO UHTXLUHPHQWV WR SHUIRUP FOHDQLQJ E\ XVLQJ ZDWHU ZKLOH
ILWWLQJVUHVWRQSROHVJODVVDQGSDLQWLQJSRZGHUVVKRXOGEHWUHDWHGLQDZD\
WRHDVHWKHUHPRYDOVRIVDQGGXVWGHEULVHWF
& (OHFWULFDO2SHUDWLRQDQG6DIHW\3DUW
L 6DIHW\ WHVW UHSRUWV 6KRXOG EH VXEPLWWHG VXEMHFW WR ,(&  ,(&
RU8/VDIHW\&HUWLILFDWHVDQG(1(&FHUWLILFDWHIRU(XURSHDQ
EDVHGSURGXFWVRU8/VWDWLQJILOHQRVIRU$PHULFDQEDVHGSURGXFWV
LL (OHFWUR 0DJQHWLF &RPSDWLELOLW\ (0&  DQG V\VWHP LPPXQLW\ WHVW UHSRUWV
VKRXOGEHVXEPLWWHGVXEMHFWWR(1 $ $(1
 $  $ (1  DQG 2Q ,PPXQLW\
(1$RUVDPHDVSHU)&&HTXLYDOHQW
LLL )LWWLQJV VKRXOG KDYH (1(& FHUWLILFDWH RU 8/ OLVWLQJ  (1(& RU
8/8/
LY 3KRWRELRORJLFDO 6DIHW\ 7KH 0DQXIDFWXUHU6XSSOLHU VKDOO HQVXUH OXPLQDLUH
FRPSOLHV ZLWK 3KRWRELRORJLFDO 6DIHW\ RI ODPSV DQG ODPS V\VWHPV LQ
DFFRUGDQFHZLWKWKHUHTXLUHPHQWVRI%6(1RU$16,,(61$53

Y 3URYLGH SURRI RI WHVWLQJ DQG FRPSOLDQFH WR WKH VWDQGDUGV DORQJ ZLWK
FHUWLILFDWLRQ SURYLGHG WR SURYH WKHIL[WXUHFODVVHG DV³([HPSW´ RU 5LVN RQH
:RUNLQJ &RQGLWLRQV 7KH OXPLQDLUH ILWWLQJ VKDOO RSHUDWH DW ƒ& DPELHQW
WHPSHUDWXUH DV GHVLJQDWHG DPELHQW WHPSHUDWXUH DQG FDQ VWDQG # ƒ& DV
VWRUDJHWHPSHUDWXUH#5+7KHGHGLFDWHGOXPLQDLUHH[SHFWHGXVHIXOOLIH
OLJKWRXWSXW VKDOOEHEDVHGRQDPELHQWWHPSHUDWXUHRIƒ&
YL 'HSUHFLDWLRQUHTXLUHPHQWVVKDOOEHXVHIXOE\LQWHUSRODWLRQRI/0DQG/0
UHSRUWGDWDDVZHOODV/XPLQDLUHV
YLL 7KH DERYHPHQWLRQHG GHWDLOV DUH GLIIHUHQW IURP /0 DQG /0 WHVW
UHSRUWVVKRXOGEHSURYLGHG
YLLL &RQVXOWDQW/('VXSSOLHUVZLOOPDNHVXUHWKDWWKHLUV\VWHPDUHLQIXOO\FRPSO\
ZLWKOLJKWLQJPDQDJHPHQWV\VWHPVSURYLGHGE\RWKHUVXSSOLHUVLWZLOOEHWKHLU
UHVSRQVLELOLW\LQFRRUGLQDWLQJZLWKWKRVHVXSSOLHUVWRPDNHVXUHWKDWV\VWHP
DUHZRUNLQJSHUIHFWO\ZLWKRXWVHULRXVSUREOHPVLQWKHIXWXUH

' 3KRWRPHWULFSHUIRUPDQFHDQG7KHUPDOPDQDJHPHQW
L 3KRWRPHWULFSHUIRUPDQFH
6\VWHP (IILFLHQF\ 7KH RSWLPXP HIILFLHQF\ RI WKH OXPLQDLUH VKDOO EH DV
IROORZLQJ
D 0LQLPXP OXPLQDLUH HIILFDF\ VKDOO EH • OOPFFW: DW GHVLJQDWHG
DPELHQW WHPSHUDWXUH RI  ƒ& DQG GHILQHG VWRUDJH WHPSHUDWXUH RI
R&
E 7KLVLVDVWRWDOV\VWHPGHVLJQ 'HOLYHU /XPHQ2XWSXW OP RYHUWRWDO
V\VWHP FLUFXLW  ZDWWV FFW  DW PLQLPXP ƒ& 2SHUDWLQJ RXWVLGH
$PELHQW7HPSHUDWXUHDQGPLQLPXP 5+ 5HODWLYH+XPLGLW\
F 3URYLGLQJ WKHFRUUHFWOXPHQ RXWSXW  /3: DW ƒ&  DWILJXUHV IRU
ƒ& DPELHQWWHPSHUDWXUHRSHUDWLRQRIWKHOXPLQDLUHV\VWHPVKDOOEH
E\/07HVWUHSRUWUXQE\DFFUHGLWHG19/$3RU,62ODE
G ,IQHFHVVDU\LQVRPHODERUDWRULHVWKH\FDQFRQVLGHUUXQQLQJWHVWIRU
WKHZKROHOXPLQDLUHRXWRI/0VFRSH 57$QHHGVWRVHHV\VWHP
IOX[#R&WRFRPSDUHUHVXOWVZLWK/0UHVXOWV 
H 7KH 6WRUDJH 7HPSHUDWXUH PXVW EH RI ƒ& DQG YDOLG IRU WKH ZKROH
V\VWHP

)HEUXDU\ 6HFWLRQ%  5RDGVDQG7UDQVSRUW$XWKRULW\


57$5RDG/LJKWLQJ6SHFLILFDWLRQ

I $ PLQLPXP OLIHWLPH RI KU WR / DW GHVLJQDWHG DPELHQW


WHPSHUDWXUHDVZHOODVVWRUDJHWHPSHUDWXUHVKDOOEHPHW
J 2SWLFDO &RQWURO 7KH OXPLQDLUH VKDOO EH ILWWHG ZLWK RSWLFDO UHIUDFWRUV
GLIIXVHUVOHQVHVDQGRUUHIOHFWRUV
K ,(61$/0UHSRUWVVKDOOEHVXEPLWWHGIRUWKHOXPLQDLUHSKRWRPHWULF
ILOHVXVHGLQWKHOLJKWLQJFDOFXODWLRQVDVSHU,(61$/0WHVWRU&,(
 &,( &,(7&,
L 6'&0 PD[ RI VWHS  IRU ZKROH V\VWHP  QRW RQO\ RQH PRGXOH 
UDQJHRIFRORXUVWREHDVGHILQHGE\$16,IRUVWHS
M /0 'HUDWLQJ YDOXHV XVLQJ /0 WHVW PHWKRG ZKLFK ZLOO WDNH
SODFHHYHU\KUVIRU/3:VSHFLILFDOO\#RUƒ&UXQE\19/$3
RU,62DFFUHGLWHG/DEZLWK70
LL 7KHUPDO0DQDJHPHQW
D 7KH /(' PRGXOHV VKDOO EH PRXQWHG RQ KHDY\GXW\ KHDW VLQNV RQO\ GLH
FDVW $OXPLQLXP  ZLWK OHVV FRSSHU FRQWHQW LV DFFHSWDEOH  WR HQVXUH
H[FHOOHQWKHDWGLVVLSDWLRQ
E 7KHGHVLJQRIWKHKHDWVLQNVVKDOOEHVXFKWKDWWKHUHLVDGLUHFWWKHUPDO
SDWK IURP WKH OHG MXQFWLRQV WR WKH DWPRVSKHUH WR SURYLGH D WKHUPDO
WUDQVIHUHIIHFWWKURXJKRXWWKHOLIHRIWKHOXPLQDLUH
F 7KH KHDW VLQNV VKDOO EH GHVLJQ E\ OLJKWLQJ PDQXIDFWXUHU WR HQDEOH WKH
OXPLQDLUHVWRZRUNHIILFLHQWO\LQ8$('XEDLFOLPDWLFFRQGLWLRQV
G 7KHOXPLQDLUHVKDOOGHPRQVWUDWHYHQWLODWLRQDUUDQJHPHQWDOORZLQJKHDWWR
GLVVLSDWHWRWKHDWPRVSKHUH
H 7KHOXPLQDLUHVKDOOEHGHVLJQLQDZD\WRSUHYHQWFROOHFWLRQRIGHEULVRQ
WKHKHDWVLQNVE\SURYHQDQGVWDWHGPHDQV
I 7KHUPDO PDQDJHPHQW WHVW UHSRUW ,6707 ,Q 6LWX WHPSHUDWXUH
PHDVXUHPHQWVWHVWUHSRUW UXQXQGHU8/IURPDFFUHGLWHGODERUDWRU\
UHSUHVHQWLQJ ZRUVWFDVH VFHQDULR RI 7VV DQG 7FV  VKRXOG EH XVLQJ
WKHUPDOFDPHUDVKRWVGXULQJWHVW 
J 6DQGDQGGXVWWHVWUHSRUWWR,(&VKDOOEHSURYLGHGDQGVXEMHFWWR
FRQVXOWDQW57$UHFRPPHQGDWLRQV
K 3URYLGHUHSRUWDERXWOXPLQDLUHWKHUPDOEHKDYLRXUXQGHUH[WUHPHVDQGHG
FRQGLWLRQVGXULQJWHVWDZRUVWFDVHVFHQDULRFUHDWHGE\DFFXPXODWLQJILQV
VLGH XSVLGH  RI WKH  ILWWLQJ ZLWK VDQG DFFRUGLQJ WR ,(& DQG WKHQ
VWRS GLUHFW DLUIORZ IRU DW OHDVW KUV  7KHQ VWDUW WR WDNH 7VS DQG 7F
PHDVXUHPHQWVYDOXHV
L &RQVXOWDQW57$DUHH[SHFWLQJWRVHH7VSDQG7FYDOXHVEHIRUHDQGDIWHU
VDQG  DFFXPXODWLRQ LW PXVW VKRZ HYLGHQFH WKDW WHPSHUDWXUH YDOXHV
7VSVDQG7FV GLGQRWH[FHHGEHIRUHDQGDIWHUVDQGDFFXPXODWLRQ
7KH WHVW FHUWLILFDWH VKDOO SURYLGH  HYLGHQFH WKDW WKH KHDW LQFUHDVHLQVLGH
WKHKRXVLQJHQFORVXUH 7VSDQG7F ZLWKGXVWDQGVDQGVKDOOQRWEHPRUH
WKDQ  RI WKH KHDW LQVLGH ZLWKRXW WKH DFFXPXODWLRQ DQG  ZLWK QR
DGYHUVHHIIHFWRQWKHOLIHWLPHRIWKHOXPLQDLUHDQGFRPSRQHQWV
M 'XVWDQGVDQGWHVWFHUWLILFDWHVKDOOEHVXEPLWWHGE\WKHPDQXIDFWXUHUIURP
DQLQGHSHQGHQWLQGHSHQGHQWO\FHUWLILHGWHVWODERUDWRU\
LLL 8VHIXO/LIH7LPH&DOFXODWLRQVPHWKRG
D ,QVLWHSHUIRUPDQFHPHWKRGVKDOOEHRQO\XVHGDQGDFFHSWHG
E ,6707 UHSRUWV DW ƒ& VKDOO EH GHILQHG VHSDUDWHO\ LQ FDVH RI GLIIHUHQW
ILWWLQJV VL]HV  70 5HSRUWHG 1RW &DOFXODWHG  VKDOO EH VKRZQ IRU
GLIIHUHQW 7VS UXQ DW  KRXUV  /0 7HVW UHVXOWV 6KDOO EH
SURYLGHGDQGDFFHSWHG

)HEUXDU\ 6HFWLRQ%  5RDGVDQG7UDQVSRUW$XWKRULW\


57$5RDG/LJKWLQJ6SHFLILFDWLRQ

F 4XDGUDWLF ,QWHUSRODWLRQ FXUYHV VKDOO VKRZ XS OXPHQ 0DLQWHQDQFH RYHU


. KRXUV DV  ZHOO DV GHILQHG 7VS DV VKRZQ LQ ,6707 UHSRUW /0
DQG70UHSRUWHG
G 5HSRUWHG OLIHWLPH VKDOO EH SURYLGHG IRU / N   KRXUV DW R&
DPELHQWWHPSHUDWXUH
H //'VKDOOEHIURPƒ&WRƒ&DWKRXUV
L Y  7HVW5HTXLUHPHQWV
D )XOOSURGXFWVLQVSHFWLRQZLOOEHUXQE\GHGLFDWHGSHRSOHVHWE\57$WR
FKHFN HYHU\ VWHS  RQ SURGXFWLRQ OLQH DV ZHOO DV DVVHPEO\ EHIRUH
GHOLYHU\
E )DFWRU\ LQVSHFWLRQ WR EH FDUULHG RXW E\ 6XSSOLHU0DQXIDFWXUHU
LQFOXGLQJ EXW QRW OLPLWHG WR 7UDQVSRUWDWLRQ DLU WLFNHWV IDFWRU\
LQVSHFWLRQ FRVW DQ\ DGGLWLRQDO WHVW FHUWLILFDWHV  QHHGHG
DFFRPPRGDWLRQORFDOWUDQVSRUWDWLRQLQHDFKGHVWLQDWLRQ
F 7KH /(' VWUHHW OLJKWLQJ VXSSOLHU VKDOO GHPRQVWUDWH OLJKWLQJ
FDOFXODWLRQV DQG DWWDFK  FRUUHODWHG ,(6 ILOHV IRU FHUWDLQ SKRWRPHWULF
XVHGZLWKLQOLJKWLQJGHVLJQLQFOXGLQJGLIIHUHQWRSWLFVFDOFXODWLRQVXQWLO
UHDFK RSWLPXP VROXWLRQ XVLQJ HLWKHU 5(/8;$*, RU HTXLYDOHQW
FDOFXODWLRQV6RIWZDUHOLJKWLQJFDOFXODWLRQVJLYHQOLJKWLQJSDUDPHWHUV
G $PDLQWHQDQFHIDFWRURIVKDOOEHXVHGRQDOOOLJKWLQJFDOFXODWLRQV
DOVR VXSSOLHU QHHG  WR VXEPLW OLJKWLQJ FDOFXODWLRQV DW 0) RI 
UHSUHVHQWVWKHGD\RQHPHDVXUHPHQWVVKDOOEHVXEPLWWHGDORQJZLWK
FDOFXODWLRQV
Y :DUUDQW\
 &RPSUHKHQVLYH  \HDUV ZDUUDQW\ VKDOO EH JLYHQ IRU WKH ZKROH
V\VWHP LQFOXGLQJ EXW QRW OLPLWHG WR /(' PRGXOHV 'ULYHU ZLULQJ
FRQQHFWLRQV FRQWURO DQG FRPPXQLFDWLRQ KDUGZDUHV +RXVLQJ JODVV
FRYHUKDUGZDUH
VSDLQWLQJFRUURVLRQ
 \HDUVSHUIRUPDQFHJXDUDQWHHIRUPDLQWDLQHGOLJKWLQJOHYHOVVWDUWLQJ
IURP FRPPLVVLRQLQJ GDWH DVVXPLQJ WKHPHDVXUHPHQW IRU VW WZR 
\HDUVHDFKKRXUV DUHFRUGRIWKHPHDVXUHPHQWVKDOOEHNHSWDW
57$FRQVXOWDQWVLGHWRDVVHVVHIIHFWHGYDOXHV 
 ,Q FDVH RI OLJKWLQJ YDOXHV IDOO GRZQ EHORZ PDLQWDLQHG YDOXHV D
FRUUHFWLYHDFWLRQPXVWEHWDNHQE\VXSSOLHUDWVLWHWRWKHVDWLVIDFWLRQ
RI(QJLQHHU57$
% '2&80(17672%(68%0,77('
$ 7KH&RQWUDFWRUVKDOOVXSSO\IROORZLQJWHFKQLFDOGRFXPHQWDWLRQDQGLQIRUPDWLRQIRU
HDFKW\SHRIOXPLQDLUHVIRUWKHDSSURYDORIWKH57$(QJLQHHU7KHDSSURYDORIWKH
57$(QJLQHHU GRHV QRW UHOLHYH WKH &RQWUDFWRU IURP FRQWUDFWXDO REOLJDWLRQV
UHJDUGLQJWKHSHUIRUPDQFHDQGFRPSOLDQFHWRWKH6SHFLILFDWLRQUHTXLUHPHQWV
L &DWDORJXHDQG7HFKQLFDOGDWDVKHHWRIWKHOXPLQDLUH
LL 'HWDLOHG FRQVWUXFWLRQ GUDZLQJ RI WKH OXPLQDLUH 3RODU GLDJUDP RI OXPLQRXV
LQWHQVLW\LQURDGZD\YHUWLFDOSODQDQGWUDQVYHUVHYHUWLFDOSODQV
LLL 6HSDUDWHXWLOL]DWLRQIDFWRUFXUYHIRUDFWXDOLQFOLQDWLRQRIOXPLQDLUH
LY OVROX[GLDJUDPIRUDFWXDOLQFOLQDWLRQRIOXPLQDLUH
Y ,QWHQVLW\ WDEOH LQ WKH &JDPPD FRRUGLQDWHV UHFRPPHQGHG E\ &,( 1U 
3XEOLFDWLRQ
YL &RPSXWHUFDOFXODWLRQSULQWRXWVKRZLQJWKHLOOXPLQDWLRQDQGOXPLQDQFHOHYHOV
/RQJLWXGLQDO 8QLIRUPLW\ 5DWLR 8,  RYHUDOO 8QLIRUPLW\ 5DWLR 82  VSHFLILF
ODQWHUQLQGH[ 68 JODUHFRQWUROPDUN * DQGWKUHVKROGLQFUHPHQW 7O 

)HEUXDU\ 6HFWLRQ%  5RDGVDQG7UDQVSRUW$XWKRULW\


57$5RDG/LJKWLQJ6SHFLILFDWLRQ

YLL 7LJKWQHVVWHVWFHUWLILFDWHFRQIRUPLQJWR,3SURWHFWLRQGHJUHHIRUWKHRSWLFDO
FRPSDUWPHQWRIWKHZKROHOXPLQDLUHV7KLVWHVWFHUWLILFDWHVKDOOEHLVVXHGE\
DQLQGHSHQGHQWUGSDUW\ODERUDWRU\
YLLL 6KRFNWHVWFHUWLILFDWHFRQILUPLQJWKHUHVLVWDQFHRIWKHERG\WRLPSDFWHQHUJ\
DVSHU&ODXVH6HFWLRQRI%63DUW7KLVWHVWFHUWLILFDWHVKDOOEH
LVVXHGE\DQLQGHSHQGHQWODERUDWRU\
L[ 7RWDOZHLJKWRIWKHOXPLQDLUH ZLWKGULYHU 
[ 3RZHUIDFWRURIRQHFRPSOHWHOXPLQDLUHXQGHUQRUPDOZRUNLQJFRQGLWLRQV
[L 7RWDOHOHFWULFFRQVXPSWLRQRIWKHOXPLQDLUHLQFOXGLQJGULYHUORVVHVVHSDUDWHO\
LQGLFDWHG
[LL 5DWHGOXPHQRXWSXWRIWKHOXPLQDLUHXQGHUQRPLQDOFRQGLWLRQV
[LLL 7KHFRQWUDFWRUVKDOOVXEPLWIXOOGHWDLOVRIDUHDVXVLQJWKHVDPHW\SHRIV\VWHP
OXPLQDLUHVJOREDOO\DVZHOODV0LGGOH(DVWDQG*&&$UHD
[LY $ FRPSXWHU SURJUDP WR &,( VWDQGDUG RQ &' &RPSDFW GLVNV  IXOO ,%0
FRPSDWLEOHVXEPLWWKH/LJKWLQJFDOFXODWLRQVDQGFRUUHODWHG,(6ILOHVIRUFHUWDLQ
SKRWRPHWULFXVHGZLWKLQOLJKWLQJGHVLJQLQFOXGLQJGLIIHUHQWRSWLFVFDOFXODWLRQV
XQWLO UHDFK RSWLPXP VROXWLRQ XVLQJ HLWKHU 5(/8;$*, HTXLYDOHQW
FDOFXODWLRQV6RIWZDUHJLYHQOLJKWLQJSDUDPHWHUVVXEMHFWWR57$$SSURYDO
[Y 7KH FRQWUDFWRU VKDOO VXEPLW D VDPSOH RI WKH SURSRVHG OXPLQDLUH IRU WKH
DSSURYDORIWKH(QJLQHHU
[YL 6LQJOH /LQH 'LDJUDPV *HQHUDO $UUDQJHPHQW GUDZLQJV IRU DOO /LJKWLQJ
'LVWULEXWLRQ%RDUGVDQG3DQHOV
[YLL 6\VWHPFRQILJXUDWLRQGLDJUDPIRUWKHFRPSOHWHOLJKWLQJFRQWUROV\VWHP
[YLLL 7KH &RQWUROOHU 3URJUDP VKDOOEH KDQGHG RYHU WR WKH FOLHQW DW WKH HQG RI
WKH FRPSOHWLRQ RI FRQWUDFW RQ D &' DORQJ ZLWK KDUG FRSLHV RI WKH SURJUDP
7KH &RQWUROOHU SURJUDP SULQWRXW VKDOO KDYH DOO WKH LQIRUPDWLRQ DERXW DOO WKH
WDJVLQSXWVDQGRXWSXWV
[L[ &RQWUDFWRU VKDOO SURYLGH DORQJZLWK ELG WHQGHU D UHFRPPHQGHG OLVW RI VSDUH
SDUWVIRUWKHFRPSOHWHOLJKWLQJV\VWHPLQFOXGLQJVSDUHVIRU/LJKWILWWLQJV'$/,
GULYHUV FRQWUROOHUV IRU  \HDUV RI WURXEOHIUHH RSHUDWLRQ 7KLV OLVW VKDOO EH
FRPSOHWHZLWKXQLWUDWHV
[[ &RQWUDFWRUWRSURYLGHDORQJZLWKWKH%LG7HQGHUDGHWDLOHGGHVFULSWLRQDERXW
WKH 0HDQ 7LPH EHWZHHQ )DLOXUHV 07%)  RI WKH SURSRVHG OLJKWLQJ V\VWHP
7KLVVKDOOVKRZ07%)RIDOOPDMRUSDUWVRIWKHV\VWHPVXFKDV/LJKWILWWLQJV
JDWHZD\V'$/,GULYHUV/PHWHUV/LJKWLQJFRQWUROOHUVHWF
[[L )LHOGOLJKWLQJPHDVXUHPHQWVIRUDOO]RQHVDQGDOOVWDJHV
[[LL 3URJUDPPLQJVRIWZDUHDQGWRROVVSHFLILFDWLRQVWREHVXEPLWWHG

)HEUXDU\ 6HFWLRQ%  5RDGVDQG7UDQVSRUW$XWKRULW\


57$5RDG/LJKWLQJ6SHFLILFDWLRQ

% 0(7(252/2*,&$/ $1' $0%,(17 &21',7,216 35(9$,/,1* ,1


'8%$, )25 ,,1)250$7,21
$ 7KH DYHUDJH SUHYDLOLQJ ORFDO FRQGLWLRQV DW 'XEDL &LW\ VKDOO EH DVVXPHG DV
IROORZV
0D[$PELHQW7HPSHUDWXUH 'HJ&
0LQ$PELHQW 7HPSHUDWXUH 'HJ&
'HVLJQ$PELHQW 7HPSHUDWXUH 'HJ&
0D[,QFLGHQW/LJKW,QWHQVLW\ HQHUJ\ PZFP
/LJKW LQWHQVLW\ PHDVXUHG XQGHU WKH VXQ /X[
DSSUR[LPDWHO\
0D[PHWDOWHPSHUDWXUH XQGHUVXQ 'HJ&
0LQ%DURPHWULF 3UHVVXUH PE
0D[%DURPHWULF 3UHVVXUH PE
$YHUDJH %DURPHWULF 3UHVVXUH PE
0D[$PELHQW +XPLGLW\ 0LQ
$PELHQW 'HVLJQ
$PELHQW+XPLGLW\ 
0D['HVLJQ:LQG9HORFLW\ NPKU
$YHUDJH\HDUO\5DLQIDOO PP

)HEUXDU\ 6HFWLRQ%  5RDGVDQG7UDQVSRUW$XWKRULW\


57$5RDG/LJKWLQJ6SHFLILFDWLRQ

% 7KHFOLPDWHRI8$(LVUHODWLYHO\PLOGIURP1RYHPEHUWR$SULODQGKRWIURP0D\WR
2FWREHUZLWKKLJKUHODWLYHKXPLGLW\
& 8QGHU FHUWDLQ FRPELQDWLRQV RI WKH DERYH FOLPDWLF FRQGLWLRQV FRQVLGHUDEOH
FRQGHQVDWLRQPD\WDNHSODFH
' 3DUWLFXODU DWWHQWLRQ VKRXOG EH SDLG WR WKH SUHYDLOLQJ FRUURVLYH FRQGLWLRQV $
FRQVLGHUDEOHDPRXQWRIVDOWLVFRQWDLQHGLQWKHDWPRVSKHUHZKLFKWRJHWKHUZLWK
WKHH[WUHPHO\KLJKDPELHQWKXPLGLW\FDQSURGXFHVHYHUHFRUURVLRQSUREOHPV
( 'LVWULEXWLRQ RI UDLQIDOO LV LUUHJXODU DQGWKH SUHFLSLWDWLRQ DPRXQWV DUHQRUPDOO\ RI
QR VLJQLILFDQFH EXW DWWHQWLRQ VKRXOG EH SDLG WR WKH IDFW WKDW VXGGHQ KHDY\
UDLQIDOOVLQDYHU\VKRUWSHULRGRIWLPHFDQRFFXU
) 7KH SUHYDLOLQJ ZLQG GLUHFWLRQV DUH IURP WKH 1RUWK DQG :HVW 6WURQJ ZLQGV DUH
FRPPRQZLWKPD[LPXPYHORFLWLHVH[FHHGLQJ.PKDQGVDQGVWRUPVDQGGXVW
VWRUPVRFFXULQWKHVXPPHUPRQWKV

% 7811(//,*+7,1*&21752/6<67(029(59,(: 7/&6


$ $ VWDWH RI DUW RI WXQQHOXQGHUSDVV OLJKWLQJ VKDOO EH SURYLGHG IRU WKH UHOLDEOH
DXWRPDWLFFRQWURODQGPRQLWRULQJRIOLJKWLQJV\VWHPLQVWDOOHGLQVLGHWKHWXQQHO$OO
OXPLQDULHV VKDOO EH /(' W\SH DV VSHFLILHG LQ WKH RWKHU VHFWLRQV GXH WR WKH
UHTXLUHPHQWV RI FRQWLQXRXV GLPPLQJ HQHUJ\ VDYLQJV HQHUJ\ HIILFLHQF\ DQG
ORQJHU OLIH 7/&6 VKDOO G\QDPLFDOO\ UHJXODWH WKH WXQQHO OLJKWLQJ WR DSSURSULDWH
OHYHOVWRDOORZPRWRULVWVWRVDIHO\HQWHUWUDYHUVHDQGH[LWWKHWXQQHOXQGHUSDVV
% ,QJHQHUDOGXULQJQRUPDORSHUDWLRQOXPLQDLUHOLJKWLQJOHYHOVDUHVHWE\FRPSDULQJ
YDOXHVIURPWXQQHOHQWUDQFHSKRWRPHWHUVWRWKHLQWHUQDOGDWDEDVHZKLFKKROGVWKH
FDOFXODWHG RSWLPDO OLJKWLQJ GHVLJQ 7KHUH VKDOO PLQLPXP OLJKWLQJ ILYH   ]RQHV
VXFK DV HQWUDQFH ]RQH WKUHVKROG ]RQH WUDQVLWLRQ ]RQH LQWHULRU ]RQH DQG H[LW
]RQHLQDFFRUGDQFHZLWKGLIIHUHQWOLJKWLQJLQWHQVLWLHVRIWKHWXQQHO
& 7KH V\VWHP VKDOO XWLOLVH WKH OXPLQDQFH DYHUDJH VWDJH GDPSLQJ DQG ZLWK WLPHG
GHOD\ WR HQVXUH VPRRWK WUDQVLWLRQV EHWZHHQ OLJKWLQJ OHYHO FKDQJHV 7KH V\VWHP
VKDOO DOVR EH FRQILJXUHG WR KDYH PRGHUDWH VWDJLQJ XVLQJ D SHULRGLF WLPHU 7KH
V\VWHP VKDOO FKDQJH WKH SURJUDPPHG VFHQHV UHJURXSLQJ RI OXPLQDULHV DQG
LQWHJUDWLRQRIVHWWLQJVLQDGD\OLJKWGHSHQGHQWFRQWUROV\VWHP
L 6\VWHP0DWHULDOV
D 7KH7/&6VKDOOEHFDWHJRUL]HGZLWKIROORZLQJ FRPSRQHQWV EXWQRWOLPLWHG
WR
 6\VWHPSHUIRUPDQFHUHTXLUHPHQWV
 '$/,&RQWUROV\VWHPFRPSRQHQWV
 '$/,&RPPXQLFDWLRQ QHWZRUN
 '$/,&RPPXQLFDWLRQ DQGFRQWUROFDEOLQJ
 ,QWHUIDFHZLWK7XQQHO0DQDJHPHQW6\VWHP 706  6&$'$
 7HVWV WUDLQLQJ
 6XEPLWWDOV
LL 6\VWHPSHUIRUPDQFHUHTXLUHPHQWV
D 7KH7/&6V\VWHPVKDOOFRPSULVHRIIROORZLQJEXWQRWOLPLWHGWR
 /('/XPLQDULHV
 3KRWRPHWHUV
 '$/,JDWHZD\V
 '$/,7XQQHO /LJKWLQJ&RQWURO3DQHO
 '$/,&RPPXQLFDWLRQFDEOHVDQGDFFHVVRULHV
 1HFHVVDU\ WHOHPHWU\ RU FRPPXQLFDWLRQ HTXLSPHQW IRU 6&$'$
LQWHUIDFH

)HEUXDU\ 6HFWLRQ%  5RDGVDQG7UDQVSRUW$XWKRULW\


57$5RDG/LJKWLQJ6SHFLILFDWLRQ

E 3ULRU WR SURFXUHPHQW WKH &RQWUDFWRU VKDOO HYDOXDWH WKH UHTXLUHPHQWV RI


7XQQHOOLJKWLQJFRQWUROV\VWHPE\FDOFXODWLQJDSSUR[LPDWHO\WKHTXDQWLWLHV
UHTXLUHGIRUJDWHZD\VFRQWUROOHUV7/3'%SKRWRPHWHUV'$/,GULYHUVDQG
DQ\ QHFHVVDU\KDUGZDUH¶VVRIWZDUH¶VILUPZDUHUHTXLUHGWR DFKLHYHWKH
IXQFWLRQDO RSHUDWLRQ RI WXQQHO OLJKWLQJ DV SHU PDQXIDFWXUHU
V
UHFRPPHQGDWLRQV
F 7KH &RQWUDFWRU VKDOO EH IXOO\ UHVSRQVLEOH IRU DOO UHTXLUHG
KDUGZDUH¶VVRIWZDUH¶V  OLFHQVHV ZLWKRXW DQ\ DGGLWLRQDO FRVW WR WKH
FRQWUDFW WREHVXSSOLHGWHVWHGFRPPLVVLRQHGDQGLQWHJUDWHGZLWK7XQQHO
0DQDJHPHQW6&$'$
G 7KH 7/&6 VKDOO KDYH D SURYLVLRQ WR LQWHJUDWH ZLWK WKH 6PDUW /LJKWLQJ
0DQDJHPHQW 6\VWHP 6/06  WKURXJK YDULRXV UHPRWH  FRQQHFWLYLW\
PHWKRGVDSSURYHGE\57$LQWHUIDFHYLDRSHQSURWRFROVVXFKDV0RGEXV
3URILEXV /RQZRUNV RU DQ\ HTXLYDOHQW FRPSDWLEOH ZLWK 6/06 V\VWHP DV
LQGLFDWHGLQ6HFWLRQ(
H '$/,FRPPXQLFDWLRQEDVHGV\VWHP7/&6VKDOOEHXVHGIRUDQ\OHQJWKRI
WXQQHOVXQGHUSDVVHV  +RZHYHU LI WKH &RQVXOWDQW GXULQJ SURMHFW GHVLJQ
VWDJHLQWHQGVWRSURYLGHDQ\DOWHUQDWHVROXWLRQWKDWFRQILUPFRPSOLDQFHWR
WKHV\VWHPSHUIRUPDQFHDQGFRVWHIIHFWLYH &$3(;DQG23(; VROXWLRQ
WKHFRQVXOWDQWVKDOOSUHSDUHWKHUHVSHFWLYHSDUWLFXODUVSHFLILFDWLRQVDQGILOO
XSWKHZHLJKWLQJFULWHULDWDEOHDVLQ$SSHQGL[$DQGREWDLQ57$DSSURYDO
EHIRUHSURFHHGLQJZLWKWKHDOWHUQDWLYHRSWLRQ
I 7KH SURSRVHG V\VWHP VKDOO EH IDLO SURRI WR PDLQWDLQ WKH WXQQHO OLJKWLQJ
V\VWHPIXQFWLRQLQJ SURSHUO\ LQ WKHHYHQWRIPDLQLQSXW SRZHU ORVV WR WKH
7/&3DQGORVVRIFRPPXQLFDWLRQ
J 7KH (WKHUQHW EDVHG WXQQHO OLJKWLQJ PDQDJHPHQW V\VWHP VKDOO EH
SURSRVHG DV DQ DOWHUQDWH WR 56 LQFOXGLQJ DOO QHWZRUN VZLWFKHV
(WKHUQHW EULGJHV DQG UHGXQGDQW FRQWUROOHUV +RZHYHU 9/$1 EDVHG
VROXWLRQVKDOOEHDFFHSWDEOHIXUWKHUWR57$$SSURYDOEDVHGRQWKHOHQJWK
RIWXQQHODQGOXPLQDULHVUHTXLUHPHQWV
K 'XDOUHGXQGDQWFRPPXQLFDWLRQEXVQHWZRUNVKDOOEHSURYLGHGLQRUGHUWR
PLQLPL]H WKH GRZQWLPHDQGFULWLFDO IDLOXUHRI FRQWURO DQG FRPPXQLFDWLRQ
HTXLSPHQWV LH 7XQQHO /LJKWLQJ &RQWURO 3DQHO  56  FRPPXQLFDWLRQ
FDEOHV JURXS FRQWUROOHU SKRWRPHWHU  VR WKDW LI RQH FRPPXQLFDWLRQ OLQN
GLVUXSW WKH RWKHU OLQN VKDOO WDNH RYHU WKH OLJKWLQJ QHWZRUN ZLWKRXW DQ\
PDQXDOLQWHUYHQWLRQDOOWKHWUDQVIHUVKRXOGEHEXPSOHVV
L $OO'$/,GULYHUVVKDOOEHSUHFRQILJXUHGWROLJKWLQJRXWSXWZKHQWKHUH
LVUHVWRUDWLRQRISRZHUXQOHVVWKHFRPPXQLFDWLRQEDFNLQOLQNDQGGXULQJ
IDLOXUH RI PDVWHU FRQWUROOHU 7XQQHO /LJKWLQJ &RQWURO 3DQHO RU WKH
FRPPXQLFDWLRQOLQNIDLOXUH
M )DXOWWROHUDQWV\VWHPVKDOOEHSURYLGHGWRGHWHFWWKHFRPPXQLFDWLRQEXV
OLQN IDLOXUH FRQWUROOHU VKDOO KDYH PLQLPXP IRXU 56 FRPPXQLFDWLRQ
SRUWV (QGRI HDFK 56EXV VKDOO EH URXWHG EDFN WR WKH FRQWUROOHU WR
KDYH D VHFXUH FRPPXQLFDWLRQ :KHQ WKHUH LV D EXV IDLOXUH WKH V\VWHP
VKDOO VXVWDLQ WKH FRPPXQLFDWLRQZLWK RWKHU JDWHZD\V IURP HLWKHU HQG RI
EXV
N 6WDQGDORQH FHQWUDOL]HG FRPSDFW LQGXVWULDO 7XQQHO /LJKWLQJ&RQWURO 3DQHO
ZLWKLQEXLOWVFUHHQIRU+XPDQ0DFKLQH,QWHUIDFH +0, VKDOOEHSURYLGHG
O ,QWHJUDWLRQ EHWZHHQ WKH 7XQQHO /LJKWLQJ &RQWURO 3DQHO DQG 7XQQHO
0DQDJHPHQW 6&$'$ VKDOO EH WKURXJK (WKHUQHW 7&3,3 RU 0RGEXV
SURWRFRORUDQ\UHVLOLHQWFRPPXQLFDWLRQ
P 7KH PD[LPXP SHUPLWWHG SKRWRPHWHUV SHU PDVWHU FRQWUROOHU 7XQQHO
/LJKWLQJ&RQWURO3DQHOVKDOOEHQR
VXVLQJDQH[SDQVLRQPRGXOHV

)HEUXDU\ 6HFWLRQ%  5RDGVDQG7UDQVSRUW$XWKRULW\


57$5RDG/LJKWLQJ6SHFLILFDWLRQ

Q 7KHPD[LPXPSHUPLWWHGOHQJWKRIVLQJOHVHULDOFRPPXQLFDWLRQOLQNFDEOH
56  VKDOO EH P7KH PD[LPXP SHUPLWWHG OHQJWK RI '$/, FDEOH
VKDOOEHPD[LPXPP
R 7KHPD[LPXPSHUPLWWHGOHQJWKIURP'$/,GULYHUWR/('SDQHOFDEOHVKDOO
EH ZLWKLQ WKH SHUPLVVLEOH OLPLWV DV SHU GULYHU PDQXIDFWXUHU
UHFRPPHQGDWLRQ
S 7KH FRQILJXUDWRU WRRO D ODSWRS ZLWK ODWHVW DQG KLJKHVW DW WKH WLPH RI
VXSSO\ VKDOOEHVXSSOLHGZLWKDOOVRIWZDUH¶VRSHUDWLQJV\VWHPOLFHQVHVLQ
WKHQDPHRI57$
T 5HSHDWHUV XQLWV VKDOO EH XVHG LI WKH FRPPXQLFDWLRQEXV OHQJWK H[FHHGV
PRUJDWHZD\VZKLFKHYHULVHDUOLHU
U (DV\SOXJDQGSOD\FRQQHFWRUVRUWHUPLQDOEORFNVVKDOOEHXVHGEHWZHHQ
WKH'$/,GULYHUVDQGJDWHZD\V
V 6HULDO &DEOHV VKDOO EH XVHG EHWZHHQ SKRWRPHWHUV DQG WKH  7XQQHO
/LJKWLQJ&RQWURO3DQHO
W $OO FRQWURO DQG FRPPXQLFDWLRQ HTXLSPHQW¶V VKDOO EH EDFNHG XS WKURXJK
XQLQWHUUXSWLEOHSRZHUVXSSO\ 836 ZLWKDXWRQRPRXVEDFNXSWLPHRIKUV
X 7KH FRPPXQLFDWLRQ SURWRFROV VKDOO EH SXUH '$/, EHWZHHQ WKH 7XQQHO
/LJKWLQJ &RQWURO 3DQHO '$/, JDWHZD\V DQG '$/, GULYHUV 7KH ILHOGOHYHO
FRPPXQLFDWLRQ SURWRFRO LH EHWZHHQ '$/, GULYHU DQG '$/, JDWHZD\V
VKDOOEHWKURXJK'$/,RYHUWKURXJKGHGLFDWHGFRPPXQLFDWLRQFDEOH7KH
VHFRQG OHYHO RI FRPPXQLFDWLRQ SURWRFRO LH EHWZHHQ 0DVWHU FRQWUROOHU
7XQQHO /LJKWLQJ &RQWURO 3DQHO DQG '$/, JDWHZD\V  VKDOO EH '$/, RYHU
56VHULDOFRPPXQLFDWLRQFDEOH
Y 7KH 56 VHFWLRQ VKDOO EH FDSDEOH RI FRQQHFWLQJ XS WR  '$/,
JDWHZD\VZLWKFRQWLQXRXVOHQJWKRIFDEOH
Z $OOFRQQHFWLRQVVKDOOEHZLUHGLQDGDLV\FKDLQHGIDVKLRQ
[ 'DWD VWRUDJH VKDOO EH ZLWKLQ WKH 7/&6 )RU VWDQGDORQH WXQQHOV DQG
XQGHUSDVV WKH &RQWUDFWRU VKDOO SURYLGH H[WHUQDO 86% VWRUDJH ZKLFK
WDNHVWKHDXWRPDWLFEDFNXSHYHU\GD\IRUXSWRGD\V
\ $OO '$/, JURXS JDWHZD\V VKDOO EH VXSSOLHG LQ D ZDOO PRXQWHG VXUIDFH
PRXQWHGUHFHVVHGZLWKDVWDLQOHVVVWHHOHQFORVXUH ,3HQFORVXUHZKLFK
VKDOOKDQGOHXSWR'$/,GHYLFHV
] 7KH'$/,JURXSJDWHZD\VVKDOOKDQGOHXSWRPD[LPXPRIJDWHZD\V
SHUPDVWHUFRQWUROOHU7XQQHO/LJKWLQJ&RQWURO3DQHO
DD +XPDQ 0DFKLQH LQWHUIDFHB +0, VKDOO EH SURJUDPPHG WKURXJK 0DVWHU
FRQWUROOHU 7XQQHO /LJKWLQJ &RQWURO 3DQHO WR VKRZ WKH IROORZLQJ EXW QRW
OLPLWHGWR
 /XPLQDQFHLQVLGHWKHWXQQHO PHDVXUHGDQGVHWYDOXHV 
 /XPLQDLUHUHGXFWLRQFXUYHV
 $VVHWPRQLWRULQJ
 )DXOWORFDWLRQGHWHFWLRQ
 /XPLQDLUHIDLOXUH
 'LPPLQJFRPPDQGVWKURXJK'$/,
 212))RU6WRS5XQVWDWXV
 LQGLYLGXDODQGJURXSFRQWURODQGPRQLWRULQJRIODPSV
 0RQLWRULQJ RI (OHFWULFDO SDUDPHWHUV DQG PDLQ VXSSO\ YROWDJH
IUHTXHQF\FXUUHQWSRZHUIDFWRU\DFWLYHSRZHU 
 (QHUJ\PRQLWRULQJRIHDFKOXPLQDLUH 
 /XPLQDLUHRSHUDWLRQDOKRXUV07%)
 6FKHGXOLQJ QRUPDODQGVSHFLDOGD\HYHQWV 
 $ODUPV HYHQWV DQG RWKHU VWDWXV DV UHFRPPHQGHG E\ WKH
PDQXIDFWXUHUDQGDVSHUSURMHFW57$UHTXLUHPHQWV

)HEUXDU\ 6HFWLRQ%  5RDGVDQG7UDQVSRUW$XWKRULW\


57$5RDG/LJKWLQJ6SHFLILFDWLRQ

EE 7KH PDVWHU FRQWUROOHU 7XQQHO /LJKWLQJ &RQWURO 3DQHO VKDOO KDYH LQWHJUDO
VWRUDJHGULYHZLWKFDSDFLW\IRU\UVDQGD86%SRUWWRLPSRUWDQGH[SRUW
WKH GDWD UHSRUW JHQHUDWLRQ DQG GDWD DUFKLYHG  7KH V\VWHP VKDOO SROO DOO
WKHOXPLQDULHVLQGLYLGXDOO\DQGDVDJURXSHYHU\KRXU XVHUFRQILJXUDEOH
WR UHDOWLPH  ZLWK UHGXFHG ODWHQF\ RI PLQLPXP  VHF LQ UHDOWLPH 7KH
V\VWHP VKDOO DOVR SXOO WKH SRZHU VDYLQJ / WUHQGV DQG SRZHU
SDUDPHWHUVWUHQGV
5HIHU WR 6HFWLRQ ( VSHFV IRU WKH GDWD SRLQWV WR EH PRQLWRUHG IURP
WKHOLJKWLQJFRQWUROFDELQHWWR6&$'$6/06 7KHIROORZLQJPLQLPXP
'DWDSRLQWVWREHFRQVLGHUHG
 7066&$'$
 /RFDWLRQRIOXPLQDULHV
 'LPPLQJFRPPDQGVSUHVHWOHYHOV
 /XPLQDULHV7DJQXPEHUV
 6WDWXVRI/XPLQDLUHV
 /XPLQDLUHRXWSXWSHUFHQWDJHGLPPLQJOHYHO 
 &RPPXQLFDWLRQ6WDWXV $ODUPV
 '$/,JDWHZD\KHDOWK\VWDWXV $ODUPV
 836 EDWWHU\KHDOWK\VWDWXV $ODUPV
 7XQQHO/LJKWLQJ&RQWUROXQLW6WDWXV $ODUPV
 3KRWRPHWHU6WDWXVDQG$ODUPV
 9$&$YDLODEOHVLJQDO

 6/06&RQWURO&HQWUH6\VWHP+HDG(QG

L 6WDWXVRI/XPLQDLUHV
 7XQQHO/LJKWLQJ&RQWUROXQLW6WDWXV $ODUPV
 9$&$YDLODEOHVLJQDO
 &RPPXQLFDWLRQ6WDWXV $ODUPV

LLL &RPPXQLFDWLRQ QHWZRUN


D $OO/('OXPLQDULHVDQG'$/,GULYHUVVKDOOIRUPDJURXSRIQHWZRUNXVLQJ
'$/,JDWHZD\V
E 7KHUHVKDOOEHDGHGLFDWHGUHGXQGDQW56EXVVHULDOEXVSURYLGHGWR
HVWDEOLVKWKHFRPPXQLFDWLRQEHWZHHQ'$/,GULYHUVDQGWKHJDWHZD\7KH
FRPPXQLFDWLRQ FDEOH VKDOO EH UXJJHG DQG ILUH UDWHG VXLWDEOH IRU WXQQHO
LQVWDOODWLRQDVSHUUHOHYDQW1)3$VWDQGDUGV
F 5HVLOLHQW UHOLDEOH DQG GXDO UHGXQGDQW VHULDO FRPPXQLFDWLRQ OLQN VKDOO EH
SURYLGHG
LY &RPPXQLFDWLRQ FDEOHV DFFHVVRULHV
D 7KHUHVKDOOEHIROORZLQJFRPPXQLFDWLRQFDEOHVXVHGIRUWKH7/&6
 56VHULDOFRPPXQLFDWLRQFDEOH
 'HGLFDWHG'$/,FDEOH
 $OO UHOHYDQWFRQQHFWRUV DQGWHUPLQDOEORFNVDVUHFRPPHQGHGE\WKH
PDQXIDFWXUHU
E 7KH 56 VHULDO FRPPXQLFDWLRQ FDEOH VKDOO KDYH WKH IROORZLQJ
FRQVWUXFWLRQEXWQRWOLPLWHGWR
 $ VKLHOGHG SDLU FDEOH LQGLYLGXDOO\ DQG RYHUDOO VFUHHQHG WR ZLWKVWDQG
KLJK WHPSHUDWXUH GXVW PRLVWXUH DQG KXPLGLW\ WR EH XVHG LQ KDUVK
HQYLURQPHQWRIURDGWXQQHOV
 6WUDQGHG WLQQHG FRSSHU ZLUH ZLWK PLQLPXP VL]H  PP RU DV
UHFRPPHQGHGE\WKHPDQXIDFWXUHU
 7KHLQVXODWLRQVKDOOEHPDGHRISRO\HWK\OHQH
 +\GURO\VLVDQGDEUDVLRQUHVLVWDQW

)HEUXDU\ 6HFWLRQ%  5RDGVDQG7UDQVSRUW$XWKRULW\


57$5RDG/LJKWLQJ6SHFLILFDWLRQ

 +DORJHQIUHHDFFRUGLQJWR,(&
 6PRNHGHQVLW\DFFRUGLQJWR,(&
 )ODPHUHWDUGDQWDFFRUGLQJWR,(&
 2LOUHVLVWDQWDFFRUGLQJWR(1
 (IIHFWLYH FDEOH VKLHOGLQJ VKDOO EH SURYLGHG IRU SURWHFWLRQ IURP QRLVH
LQWHUIHUHQFH
 2SHUDWLQJWHPSHUDWXUHRIFDEOHVKDOOEHIURPƒ&WRƒ&
F 7KH GHGLFDWHG '$/, FDEOH VKDOO IRUP WKH VDPH FRQVWUXFWLRQ RI 56
FDEOH H[FHSW WKH LQGLYLGXDO VFUHHQLQJ RU WKH RYHUDOO VFUHHQLQJ PHWKRGV
+RZHYHU WKH GHGLFDWHG '$/, FDEOH VKDOO EH SURYLGHG DV SHU
PDQXIDFWXUHU
VUHFRPPHQGDWLRQV
Y ,QWHUIDFHZLWK7066&$'$
D 7KH 0DVWHU FRQWUROOHU 7XQQHO /LJKWLQJ &RQWURO 3DQHO VKDOO FRPPXQLFDWH
ZLWK 7XQQHO 0DQDJHPHQW 6\VWHP 6&$'$ ZKHUH DSSOLFDEOH  WKURXJK
(WKHUQHW7&3,3RYHUILEHURSWLFFDEOHRUVHULDOLQWHUIDFHDFFRUGLQJWRWKH
UHVSHFWLYHWXQQHO,7EDFNERQHLQIUDVWUXFWXUH
E 7KH 7/&6 YHQGRU VKDOO FRRUGLQDWH ZLWK 706 6&$'$ V\VWHP LQWHJUDWRU
DQG SURYLGH DOO QHFHVVDU\ SURYLVLRQ WR VKDUH WKH OLJKW PDSSLQJ LQ 706
6&$'$ WKURXJK WKH FRPSDWLEOH WXQQHO SURWRFROV WKURXJK 6&$'$
LQWHUIDFH
F 7KH 7XQQHO /LJKWLQJ &RQWURO 3DQHO VKDOO KDYH 0RGEXV 3URILEXV /RQ
ZRUNV DQG RWKHU HTXLYDOHQW RSHQ SURWRFROV LQ RUGHU WR LQWHUIDFH ZLWK
7XQQHO0DQDJHPHQWV\VWHP6&$'$
G 8SRQLQWHJUDWLRQRIWXQQHOOLJKWLQJFRQWUROV\VWHPZLWK7066&$'$ WKH
7XQQHO /LJKWLQJ &RQWURO 3DQHO UHFHLYHV FRPPDQGV IURP UHPRWH FRQWURO
6&$'$DQGWUDQVPLWWR'$/,JURXSJDWHZD\VIRUHIIHFWLYHFRPPXQLFDWLRQ
GXULQJDXWRDQGPDQXDORSHUDWLRQRIOLJKWLQJFRQWUROV\VWHP
H 7KH OLJKWLQJ FRQWURO LQWHJUDWHV WKH
JURXS 'LPPLQJ
 ZKHUHE\ DOO OLJKWLQJ
WKDWVKDUHVWKHVDPH'LPPLQJLVFRQWUROOHGE\JDWHZD\VRIVDPHJURXS
,IUHTXLUHGORFDOXVHUVRUUHPRWH6&$'$XVHUVVKDOORYHUULGHWKHOLJKWLQJ
YLDWKHVHIXQFWLRQDOJURXSVUDWKHUWKDQWKH'LPPLQJFRQWUROJURXSVXVHG
E\WKHDXWRPDWLFOLJKWLQJFRQWUROSURFHVV
YL 7HVWVDQGWUDLQLQJ
D  ,Q RUGHU WR PLQLPL]H  GLVUXSWLRQ DW VLWH RII VLWH SUHVWDJLQJ DQG WHVWLQJ VKDOO EH
HPSOR\HG7KHVHVHUYLFHVVKDOOLQFOXGHWKHSUHEXLOGRIHTXLSPHQWFDELQHWVVRIWZDUH
GHYHORSPHQW JUDSKLFV DQG FRQWURO DQG FRPPXQLFDWLRQ HTXLSPHQWWL 'HWDLOV RI WKH
RIIVLWHVHUYLFHVSURSRVHGE\WKHWXQQHOFRQWUROV\VWHPLQWHJUDWRUVKDOOEHLQFOXGHGDV
SDUWRIWKHSURSRVDO

E  7KHIROORZLQJWHVWVWUDLQLQJVKDOOEHSURYLGHGDVSHUSURMHFWUHTXLUHPHQWV*HQHUDOO\
WKHWHVWSURFHGXUHVDUHGHILQHGLQUHOHYDQWVHFWLRQVRIVSHFLILFDWLRQV

)HEUXDU\ 6HFWLRQ%  5RDGVDQG7UDQVSRUW$XWKRULW\


57$5RDG/LJKWLQJ6SHFLILFDWLRQ

 )DFWRU\DFFHSWDQFHWHVWV
 6LWH$FFHSWDQFHWHVWV
 6LWHLQWHJUDWLRQWHVWV
 8VHUDFFHSWDQFHWHVWV
 )LQDOFRPPLVVLRQLQJDQGKDQGRYHU
 7UDLQLQJ0DQXDOV
 &RQWUROV\VWHP FRPSRQHQWV
D  7KHFRQWUROV\VWHPFRPSRQHQWVVKDOOFRPSULVHRIWKHIROORZLQJLWHPV
EXWQRWOLPLWHGWR
  7XQQHO/LJKWLQJ&RQWURO3DQHO
  '$/,JURXSJDWHZD\V
  &RPPXQLFDWLRQFDEOHV
  /XPLQDQFHPHWHU

)HEUXDU\ 6HFWLRQ%  5RDGVDQG7UDQVSRUW$XWKRULW\


57$5RDG/LJKWLQJ6SHFLILFDWLRQ

% &RQWURO(QFORVXUH
  7XQQHO/LJKWLQJ&RQWURO3DQHOVKDOOEHPRXQWHGLQWKHHQFORVXUHORFDWHGHLWKHULQ
WKH 7XQQHO FRQWURO URRP ZKHUHRSHUDWHG E\706 6&$'$  RU LQ D*53 NLRVN 
DORQJWKHWXQQHOWRWKH(QJLQHHU57$DSSURYDO
  7KH &RQWUDFWRU VKDOO SURSRVH WKH VXLWDEOH ORFDWLRQ RI 7XQQHO OLJKWLQJ &RQWURO
3DQHOHQFORVXUHDVSHUWKHPDQXIDFWXUHU
VUHFRPPHQGDWLRQV
  7KH HQFORVXUH VKDOO FRQILUP WR WKH UHTXLUHPHQWV VSHFLILHG LQ %6  %6 (1
 1(0$  1(0$ ,&6  1)3$  RU RWKHU DSSURYHG HTXLYDOHQW
VWDQGDUGVDVDSSOLFDEOH
  7KHHQFORVXUHVKDOOEHPDGHDVDPLQLPXPRI3RZGHUTXRWHGVWHHORU$OXPLQLXP
RIPLQLPXPWKLFNQHVVPPZLWKPLQLPXPLQJUHVVSURWHFWLRQRI,37KHLQWHULRU
VKDOO EH VXLWDEOH IRU PRXQWLQJ WHUPLQDO EORFNV DQG HOHFWULFDO FRPSRQHQWV DV
DSSURSULDWH7KHEDFNERDUGILQLVKVKDOOEHZKLWHHQDPHO7KHFRYHUVVKDOOKDYHD
OLIWRII KLQJH KHOG FORVHG E\ ORFNDEOH FDUW\SH KDQGOHV 'RRUV VKDOO FORVH RQWR
QHRSUHQHRUVRIWUXEEHUVHDOLQJVWULSVKHOGLQSODFHPHFKDQLFDOO\

E  7XQQHO/LJKWLQJ&RQWURO3DQHO
  7KHLQSXWYROWDJHRI7XQQHO/LJKWLQJ&RQWURO3DQHOVKDOOEH9$&SK+]
  7KH KRXVLQJ RI 7XQQHO /LJKWLQJ &RQWURO 3DQHO VKDOO EH PLQLPXP ,3  SRZGHU
FRDWHGVWHHODVVHPEO\ZLWKUHPRYDEOHJODVVGRRU
  $7)7WRXFKVFUHHQVKDOOEHSURYLGHGIRUORFDOPRQLWRULQJZLWKPLQLPXPKLJK
UHVROXWLRQJUDSKLFVHPEHGGHGWRWKHFRQWUROOHU
  (DFK7XQQHO/LJKWLQJ&RQWURO3DQHOVKDOOFDWHUXSWR'$/,JURXSJDWHZD\V
  0LQLPXP  OHYHO SDVVZRUG SURWHFWLRQ VKDOO EH SURYLGHG IRU WKH VRIWZDUH
2SHUDWRU(QJLQHHUDQG6XSHUYLVRUOHYHOV
  7KH6&$'$LQWHUIDFHZLWK0DVWHUFRQWUROOHU7XQQHO/LJKWLQJ&RQWURO3DQHOVKDOO
EHWKURXJK56VHULDOFDEOHRU(WKHUQHW7&3,3
  7KHSURGXFWVKDOOKDYH&(PDUNLQJDQG5R+6FRPSOLDQW
  (DFKPDVWHUFRQWUROOHU7XQQHO/LJKWLQJ&RQWURO3DQHOVKDOOKDQGOHPD[LPXP
'$/, JDWHZD\V DQGKDYHPLQLPXP [56VRFNHWVIRU WKHOXPLQDQFHPHWHU
LQSXWVDQG[56FRQWURORXWSXWV
  0D[LPXPQXPEHUVRIUHSHDWHUVDUHDOORZHGSHU56EXVQHWZRUN
  5LQJ DQG UDGLDO 56 FRQILJXUDWLRQ VKDOO EH SURYLGHG IRU 7XQQHO
/LJKWLQJ&RQWURO3DQHO
  2SHUDWLQJ WHPSHUDWXUH RI WKH 7XQQHO /LJKWLQJ &RQWURO 3DQHO VKDOO EH 
ƒ&WRƒ&DPELHQWDQGUHODWLYHKXPLGLW\QRQFRQGHQVLQJ
  7KH 7XQQHO /LJKWLQJ &RQWURO 3DQHO VKDOO KDYH DQ DSSURSULDWH YROWDJH
VSLNHDQGVXUJHSURWHFWLRQGHYLFHV
  2YHUULGH IXQFWLRQDOLW\ IRU FRPSOHWH WXQQHO RU VSHFLILF ]RQHV VKDOO EH
DYDLODEOHORFDOO\RUUHPRWHO\IRUPDLQWHQDQFHDQGHPHUJHQF\VLWXDWLRQV
  $QLQWHJUDWHGKUV836RUFHQWUDO836EDFNHGSRZHUWREHDYDLODEOHIRU
WKHOLJKWLQJ FRQWUROOHU WRPDLQWDLQPRQLWRULQJ DQGFRQWURO RSHUDWLRQ GXULQJ SRZHU
IDLOXUHV
  (DFK7XQQHO/LJKWLQJ&RQWURO3DQHOVKDOOEHHTXLSSHGZLWKXSWRGLJLWDO
LQSXWVIRUOLJKWLQJVWDJHRYHUULGH

F  '$/,JDWHZD\V
  7KHLQSXWYROWDJHRIHDFK'$/,JURXSJDWHZD\VKDOOEH9$&SK+]
  7KHKRXVLQJRI'$/,JURXSJDWHZD\VKDOOEHPLQLPXP,3VWDLQOHVVVWHHO
  0LQLPXPQXPEHUVRIIXQFWLRQDOOLJKWLQJJURXSVVKDOOEHDFKLHYHG
  7KHSURGXFWVKDOOKDYH&(PDUNLQJDQG5R+6FRPSOLDQW
  7KHFRQWUROOHUVKDOOKDQGOHXSWRPD[LPXPVZLWFKLQJJURXSV
  (DFK'$/,JDWHZD\VKDOOKDQGOHPD[LPXP'$/,GULYHUVDQGKDYHPLQLPXP
 [ 56 VRFNHWV IRU WKH GDWD FRQQHFWLRQ ; DX[LOLDU\ SURJUDPPDEOH GU\
FRQWDFW DQG['$/,VHULDOSRUWDVFRQWUROLQSXWVDQG;'$/,FRQQHFWLRQDV
FRQWURORXWSXW

)HEUXDU\ 6HFWLRQ%  5RDGVDQG7UDQVSRUW$XWKRULW\


57$5RDG/LJKWLQJ6SHFLILFDWLRQ

  2SHUDWLQJ WHPSHUDWXUH RI WKH '$/, JDWHZD\ VKDOO EH ƒ& WR ƒ& DPELHQW
DQGUHODWLYHKXPLGLW\QRQFRQGHQVLQJ
  7KH JDWHZD\ VKDOO KDYH DQ DSSURSULDWH YROWDJH VSLNH DQG VXUJH SURWHFWLRQ
GHYLFHV
G  /XPLQDQFH0HWHU
  $/XPLQDQFH0HWHURWKHUZLVHFDOOHGDVSKRWRPHWHUVKDOOEHSURYLGHGIRUWKH
SXUSRVH RI VHQVLQJ WKH DGDSWDWLRQ 7XQQHO VXUURXQGLQJ OXPLQDQFH DW HDFK
HQWUDQFH7KH/XPLQDQFH0HWHUVKDOORSHUDWHRQ&&79EDVHVZLWKDVXLWDEO\
GHVLJQHGDOJRULWKPWRJLYHDOLQHDUHOHFWULFDOVLJQDORXWSXWSURSRUWLRQDOWRWKH
/VHT YHLOLQJ OXPLQDQFH  RU WKH / OXPLQDQFH PHDVXUHG 6XLWDEO\
FRPSHQVDWLQJ ILOWHUV VKDOO EH SURYLGHG WR HQVXUH WKDW WKH ILHOG RI LPDJH
VFDQQHGE\WKH&&79FKLSLVDGDSWHGWRWKHVSHFWUDOVHQVLWLYLW\RIWKHKXPDQ
H\H7KHPHWKRGVRI&,(VKDOOEHIROORZHG
  $Q LQGHSHQGHQW WHVW UHSRUW LVVXHG E\ DQ LQGHSHQGHQW ODERUDWRU\ VKDOO EH
SURYLGHGIRUWKH/XPLQDQFH0HWHU
  7KH /XPLQDQFH 0HWHU KRXVLQJ VKDOO EH FRUURVLRQ SURRI DQG PDGH RI KLJK
JUDGHVWDLQOHVVVWHHO7KH/XPLQDQFH0HWHUVKDOOEHHTXLSSHGZLWKDVZLYHO
EDVHZKLFKVKDOOEHVZLYHOHGGHJUHHKRUL]RQWDOO\DQGYHUWLFDOO\,WVKDOO
EHSRVVLEOHWRPRXQWWKHOXPLQDQFHPHWHURQDZDOORURQDSROH
  $ VXLWDEOH VKDGH VKDOO EH SURYLGHG WR SUHYHQW GLUHFW VRODU UDGLDWLRQ WR WKH
/XPLQDQFH0HWHU
  7KH /XPLQDQFH 0HWHU VKDOO EHPRXQWHG RQ KRW GLS JDOYDQL]HG VWHHO FROXPQ
SRLQWLQJLQWKHPRWRULVWV¶GLUHFWLRQRIYLVLRQLQVWRSSLQJGLVWDQFHLQIURQWRIWKH
HQWUDQFH DW D KHLJKW RI DSSUR[LPDWHO\  P DERYH WKH SDYHPHQW RU KDUG
VKRXOGHURQWKHQHDUVLGHRIWKHVWUHHWLIWKHURDGGRHVQRWFXUYHWRZDUGVWKH
QHDUVLGH,Q WKHODWWHUFDVHWKHOXPLQDQFHPHWHUVKRXOGEHSRVLWLRQHGRYHU
WKH FHQWUDO PHGLDQ RU RQ WKH RWKHU VLGH RI WKH URDG $OWHUQDWLYHO\ WKH
/XPLQDQFH0HWHUVKDOOEHPRXQWHGRQWKHQHDUZDOOWRWKHULJKWKDQGVLGH
  7KH PD[LPXP GLVWDQFH IURP WKH OXPLQDQFH PHWHU WR WKH PDVWHU FRQWUROOHU
7XQQHO /LJKWLQJ &RQWURO 3DQHO VKDOO QRW H[FHHG P LQ FDEOH OHQJWK 7KH
FDEOH XVHG VKDOO EH [PP  VKLHOGHG DQG JURXQGHG RQ WKH PDVWHU
FRQWUROOHU7XQQHO/LJKWLQJ&RQWURO3DQHOVLGHRQO\
  )RU FRPPLVVLRQLQJ SXUSRVH WKHOXPLQDQFH PHWHU QHHGV WR EH DFFHVVLEOH,W
VKDOOKDYHDVHULDORXWSXWRQZKLFKWKH&&79LPDJHVKDOOEHFRPPXQLFDWHG
LQRUGHUWRYHULI\WKHH[DFWDLPLQJRIWKHOXPLQDQFHPHWHU$VXLWDEOHVRIWZDUH
WRRO VKDOO EH SURYLGHG WR GLVSOD\ WKLV LPDJH RQ D SRUWDEOH FRPSXWHU 7KH
LPDJHVKDOOEHVDIHJXDUGHGIRUIXWXUHUHIHUHQFHDQGVKDOOEHLQFOXGHGLQWKH
FRPPLVVLRQLQJUHSRUW
H  'LUHFWPHDVXUHPHQWRIDFFHVV]RQHOXPLQDQFHRQVLWH
  /XPLQDQFHPHWHUVDFFHSWLQJDGHJFLUFXODUILHOGRIYLHZVKDOOEHXVHGWR
PHDVXUHWKHPD[LPXPDFFHVV]RQHOXPLQDQFH
  7KH OXPLQDQFH PHWHU VKDOO EH PRXQWHG RQ D WULSRG LQ WKH FHQWHU RU DW D
VXLWDEOHORFDWLRQRIWKH HYHQWXDO DSSURDFKURDGVDWDKHLJKW RIPDERYH
WKH URDG VXUIDFH DQG ZLWK WKH  GHJ ILHOG FHQWHUHG RQ WKH 8QGHUSDVV
HQWUDQFH 7KH PHWHU VKDOO EH SRVLWLRQHG DW WKH VDIH VWRSSLQJ GLVWDQFH IURP
WKHSRUWDO2EVHUYDWLRQVVKDOOEHWDNHQRQVHYHUDOGD\VZLWKWKHVXQVKLQLQJ
DQG ZLWK ZKLWH FORXGV LQ WKH VN\ DQG LQ WKH ILHOG RI PHDVXUHPHQW 7KHVH
UHDGLQJVVKDOOEHWKHQXVHGIRUFDOFXODWLQJDFWXDO/YDOXHZKLFKVKRXOGEH
XVHGIRUWKHOLJKWLQJGHVLJQ7KHILQDOVHOHFWHGYDOXHRI/DORQJZLWKEDFN
XSDVDERYHVKDOOEHVXEPLWWHGIRUWKHDSSURYDORI57$(QJLQHHU

)HEUXDU\ 6HFWLRQ%  5RDGVDQG7UDQVSRUW$XWKRULW\


57$5RDG/LJKWLQJ6SHFLILFDWLRQ

% &$%/(6
% *HQHUDO
$ 7KH YROWV JUDGHPRGXODU SRZHU &DEOHDUHIRU RSHUDWLQJ YROWDJH  9
DQGFRPSO\LQJ ZLWK,(&3XEOLFDWLRQ
L $OOFDEOHVLQVLGHWKHWXQQHOXQGHUSDVVVKDOOEHILUHUDWHGDFFRUGLQJWR1)3$
UHJXODWLRQV
% $OOFDEOHVDQGZLUHVXVHGIRUXQGHUSDVVOLJKWLQJVKDOOEH)LUH5DWHG/RZ6PRNH
+DORJHQ )5/6 W\SHDQGPHHWILUHUHVLVWDQFHUHTXLUHPHQWVDVSHU,(&
% &RQGXFWRUV
$ &DEOH FRQGXFWRUV VKDOO FRPSULVH VWUDQGHG EDUH FOHDQ VPRRWK DQQHDOHG FRSSHU
ZLUHVKDYLQJDFRQGXFWLYLW\QRWOHVVWKDQSHUFHQWLQWHUQDWLRQDOVWDQGDUG7KH
VXUIDFHRIWKHLQGLYLGXDOVWUDQGVVKDOOEHVPRRWKDQGFOHDQEHIRUHWKHLQVXODWLRQ
LVDSSOLHG
% &DEOH VL]HV VKDOO EH VHOHFWHG EDVHG RQ GHUDWLQJ IDFWRUV YROWDJH GURS
FRQVLGHUDWLRQV PD[   7KH FDEOH VL]LQJ FDOFXODWLRQV VKDOO EH VXEPLWWHG IRU
57$(QJLQHHU
VDSSURYDOGXULQJFRQVWUXFWLRQ
% 1HXWUDO
$ &DEOHVKDOOKDYHVDPHZLUHVL]HDVSKDVHFRQGXFWRUXSWR6TPPDQGDERXW
KDOIVL]HIRUFDEOHVL]HKLJKHUWKDQ6TPP
% ,QVXODWLRQ
$ 7KHLQVXODWLRQVKDOOEH;/3(FRPSO\LQJZLWKWKHIROORZLQJUHTXLUHPHQWV
L 1RUPDORSHUDWLQJWHPSHUDWXUHGHJ&+LJK
LL &KHPLFDOUHVLVWDQFH+LJK
LLL 0RLVWXUHUHVLVWDQFH+LJK
LY 7KHUPDOUHVLVWLYHO\/RZ
Y )LUHUHVLVWDQFH*RRG
YL ,QVXODWLRQWKLFNQHVVVKDOOEHLQDFFRUGDQFHZLWK,(&
YLL 3KDVHLGHQWLILFDWLRQ&DEOHVVKDOOEHFRORUFRGHG
YLLL 3URWHFWLRQ FRQGXFWRU LGHQWLILFDWLRQ 5HG \HOORZ DQG EOXH IRU 3KDVHV DQG
EODFNI RUQHXWUDO DQG\HOORZ JUHHQIRUHDUWK
% /D\LQJ8S
$ 7KHFRUHVRIFDEOHVKDOOEHODLGXSDQGZKHUHQHFHVVDU\QRQK\JURVFRSLF
ILOOHUVVKDOOEHXVHGWRIRUPDFRPSDFWDQGFLUFXODUFDEOH
% 6KHDWK %HGGLQJ
$ 7KHVKHDWKVKDOOFRQVLVWRIDQH[WUXGHGOD\HURIORZVPRNHKDORJHQIUHH39&
% 6KDOO EH ILUH UHWDUGDQW DQG WHUPLWH UHVLVWDQW DQG VKDOO FRPSULVH RI DQ H[WUXGHG
EODFN39&VKHDWKDSSOLHGRYHUWKHDUPRXU
% $UPRXU
$ 7KHDUPRXULQJVKDOOFRQVLVWRIJDOYDQL]HGURXQGVWHHOZLUH
% 7HUPLQDWLRQV
$ 7HUPLQDWLRQVVKDOOEHE\PHDQVRIPHFKDQLFDOFODPSVZKLFKVKDOOFRUUHVSRQGWR
WKHQXPEHUDQGFURVVVHFWLRQDODUHDRIWKHFRQGXFWRUV
% &DEOH/HQJWKV
$ 1R MRLQWV VKDOO EHPDGHLQ DQ\ RI WKHFDEOHV 7KH FDEOHV VKDOO EHPRGXODU W\SH
FRQWLQXRXVEHWZHHQWHUPLQDWLRQSRLQWVWKURXJKRXWWKHFLUFXLW
%*ODQGV
$ $OO JODQGV VKDOO EH ILWWHG ZLWK PRXOGHG 39& VKURXGV WR FRPSOHWHO\ FRYHU WKH
JODQGV

)HEUXDU\ 6HFWLRQ%  5RDGVDQG7UDQVSRUW$XWKRULW\


57$5RDG/LJKWLQJ6SHFLILFDWLRQ

%(DUWKLQJWDJ
$ (DUWKLQJWDJVVKDOOEHILWWHGWRDOOJODQGV
%&DEOHHQGV
$ 7KHHQGVRIDOOFDEOHVVKDOOEHVHDOHGGXULQJOD\LQJ
% &RQGXLWVXVHGLQVLGH8QGHUSDVVDUHDVKDOOEHILUHUHVLVWDQWHSR[\6WDLQOHVVVWHHO
FRQGXLWV
%&$%/(75$<6
$ &DEOHWUD\PDWHULDO
L &DEOHWUD\VVKDOOFRPSO\ZLWK1(0$6WDQGDUG1R9(
LL ,QVWDOOFDEOHWUD\ZKHUHQRWHGRQGUDZLQJVDQGZKHUHPRUHWKDQWKUHHODUJH
FDEOHVIROORZWKHVDPHURXWH
LLL &DEOH WUD\ VKDOO EH PDQXIDFWXUHG RI *UDGH  VWDLQOHVV VWHHO ZLWK  PP
VLGHVZLWKGRXEOHIROGHGWRSHGJHDQGPPPLQZLGHIROGHGUXQJVDWPD[
FHQWUHVZLWKPHFKDQLFDOFRXSOLQJVWKDWSURYLGHHDUWKFRQWLQXLW\
LY &DEOHWUD\VVKDOOEHDWOHDVWPPZLGHXQOHVVRWKHUZLVHQRWHG
Y &DEOH WUD\V VKDOO EHZLGH HQRXJK WR DFFRPPRGDWHFDEOLQJ LQ DVLQJOH OD\HU
ZLWKVSDUHZLGWKDQG'$/,JDWHZD\DQGFRQWUROFDEOHV
% &DEOHWUD\LQVWDOODWLRQ
L ,QVWDOOFDEOHWUD\VDVIROORZV
D 6WUDLJKW URXWLQJ SDUDOOHO RU SHUSHQGLFXODU WR VWUXFWXUH DQG FRRUGLQDWHG
ZLWKRWKHUVHUYLFHV
E :LWKPDQXIDFWXUHGVSOLFHVEHQGVDQGLQWHUVHFWLRQV
F -RLQHGZLWKWHOHVFRSLFVSOLFHSODWHVVHFXUHGWRWKHFDEOHWUD\XVLQJEROWV
ZDVKHUVDQGDQWLYLEUDWLRQORFNLQJQXWVDQGVKDSHGWRSURYLGHDVPRRWK
VXUIDFH$OOQXWVVFUHZVZDVKHUVDQGRWKHUDFFHVVRULHVVKDOOEH66/
G :LWKPPPLQDLUFOHDUDQFHWRVWUXFWXUH
H 2QPDQXIDFWXUHGEUDFNHWVVSDFHGVRWKDWGHIOHFWLRQLVOHVVWKDQWK
RIWKHVSDQZKHQORDGHGDQGZLWKDWOHDVWWZREUDFNHWVSHUOHQJWKDW
PPD[VSDFLQJ
I $OOOHQJWKVDQGDFFHVVRULHVHDUWKHG:KHUHFXWWKHHGJHVRIWKHWUD\VKDOO
EHVPRRWKHG
J ,Q DFFRUGDQFH ZLWK PDQXIDFWXUHU¶V UHFRPPHQGDWLRQV XVLQJ
PDQXIDFWXUHU¶VUHFRPPHQGHGDFFHVVRULHV
K 3URYLGHYHQWLODWHGSHDNHGVXQFRYHUVWRDOOH[WHULRUFDEOHWUD\V
L /DEHOFDEOHWUD\Vµ'$1*(592/76¶DWPHWHUFHQWUHVE\PHDQVRI
PP[PPKLJKZKLWHHQJUDYHGSODVWLFODEHOVVFUHZIL[HG
LL 6HFXUHFDEOHVDVIROORZV
D ZLWK*.17\SH7&FODPSVIRUWUHIRLORUTXDGJURXSVRIVLQJOHFRUHFDEOHV
E ZLWK *.1 7\SH . FODPSV IRU ODUJH PXOWLFRUH SRZHU RU FRQWURO FDEOH
JUHDWHUWKDQPPGLDPHWHU
F ZLWK89UHVLVWDQWQ\ORQZLUHWLHVIRUVPDOOFDEOH

)HEUXDU\ 6HFWLRQ%  5RDGVDQG7UDQVSRUW$XWKRULW\


57$5RDG/LJKWLQJ6SHFLILFDWLRQ

%,0%(''('&21'8,7
$ &RQGXLWV VKDOO EH X39& DQG FRPSO\ ZLWK %6  EH VXLWDEOH IRU WKH FOLPDWLF
FRQGLWLRQVDQGEHDWOHDVWPPLQGLDPHWHU&RQGXLWMRLQWVVKDOOEHFHPHQWHG
'XULQJFRQVWUXFWLRQFRQGXLWVVKDOOEHSURWHFWHGWRSUHYHQWPRYHPHQWLQJUHVVRI
PRLVWXUHDQGGLUWDQGGDPDJH$Q\RSHQHQGVVKDOOEHFDSSHGWRNHHSRXWGLUW
DQGPRLVWXUH &RQGXLWVVKDOO EH LQVWDOOHGLQ VWUDLJKWUXQV OHYHO DQGSDUDOOHO RU
SHUSHQGLFXODU WR WKH VWUXFWXUH DQG WR DYRLG WKH VSUHDG RI ILUH DQG LQJUHVV RI
PRLVWXUH&RQGXLWVVKDOOEHLQVWDOOHGZLWKDOOUHTXLVLWHDFFHVVRULHV,QWHUQDOEXUUV
VKDOOEHUHPRYHGIURPWKHFRQGXLWHQGV'UDZER[HVVKDOOEHX39& RUDFFHSWHG
DOWHUQDWLYH  ZLWK DQ ,QJUHVV 3URWHFWLRQ UDWLQJ RI ,3 'UDZ ER[HV VKDOO EH
LQVWDOOHGLQDFFHVVLEOHORFDWLRQVDWOHDVWHYHU\PDQGEHWZHHQHYHU\WZRULJKW
DQJOH EHQGV  *DVNHWWHG OLGV VKDOO EH SURYLGHG ZKHUH H[SRVHG WR GXVW RU
PRLVWXUH  $WVWUXFWXUDO H[SDQVLRQMRLQWV PDLQWDLQ FRQWLQXLW\ ZLWKIOH[LEOHFRQGXLW
ZLWKLQ D ODUJHU VOHHYH  3URYLGH FRQGXLW EHQGV ZLWKRXW GHIRUPDWLRQ  3URYLGH
GUDZZLUHVLQFRQGXLWIRUIXWXUHVHUYLFHVDQGLQFRQGXLWIRUVHUYLFHVWREHLQVWDOOHG
E\RWKHUSDUWLHV&RQGXLWVLQVWDOOHGLQFRQFUHWHVKDOOEHORFDWHGQHDUWKHQHXWUDO
D[LVVSDFHGDWOHDVW PPDSDUWWLHGWRWKHUHLQIRUFLQJ VWHHOZLWKWLHZLUHDWD
PD[LPXPVSDFLQJRIPPDQGEHWHUPLQDWHGLQGHHSSDWWHUQFRQGXLWER[HV
6XUIDFH PRXQWHG FRQGXLW VKDOO RQO\ EH SHUPLWWHG ZKHUH VKRZQ RQ GUDZLQJV RU
ZKHUHDFFHSWHGE\WKH57$(QJLQHHU6XUIDFHPRXQWHGFRQGXLWVKDOOEHLQVWDOOHG
WR DYRLG FURVVRYHUV  6XUIDFH PRXQWHG FRQGXLW VKDOO EH VDGGOHG RU ZKHUH LQ
PXOWLSOHUXQV IL[HG WR SUHGULOOHG VWDQGRIIEUDFNHWV DW DPD[LPXP RI  PP
LQWHUYDOV
% ,163(&7,217(67,1*$1'&200,66,21,1*
% *HQHUDO
$  7KLV 6HFWLRQ FRYHUV SDUWLFXODU UHTXLUHPHQWV RI 7HVWV RQ &RPSOHWLRQ IRU WKH
LQVSHFWLRQWHVWLQJ DQG FRPPLVVLRQLQJ
% (TXLSPHQW,QVSHFWLRQ
$ 7KH (QJLQHHU
V DQG &OLHQW
V 5HSUHVHQWDWLYH HQLJQHHUV  ZKHUH DSSOLFDEOH ZLOO
DWWHQG WKH PDQXIDFWXUHU
V ZRUNV DW WKH &RQWUDFWRUV FRVW WR LQVSHFW HTXLSPHQW
SULRUWRVKLSPHQW1RWLI\WKH57$(QJLQHHUDWOHDVWGD\VSULRUWRVKLSPHQWVR
WKDW )DFWRU\ LQVSHFWLRQ FDQ EH DUUDQJHG)DFWRU\ LQVSHFWLRQ VKDOO EHPDGHRQO\
DIWHUWKH0DQXIDFWXUHUKDVSHUIRUPHGVDWLVIDFWRU\FKHFNVDGMXVWPHQWVWHVWVDQG
RSHUDWLRQV RQ WKH FRPSOHWH V\VWHP $SSURYDO RI HTXLSPHQW DW WKH IDFWRU\ RQO\
DOORZV WKH PDQXIDFWXUHU WR VKLS WKH HTXLSPHQW WR VLWH DQG GRHV QRW FRQVWLWXWH
ILQDODFFHSWDQFHE\WKH57$(QJLQHHU7KHLWHPVWREHLQVSHFWHGVKDOOLQFOXGHDOO
LWHPV IRU WKH LQVWDOODWLRQ LQFOXGLQJ EXW QRW OLPLWHG WR WKH IROORZLQJ PDMRU
HTXLSPHQW
L /9DQG&RQWURO&DEOHV
LL 7XQQHO /LJKWLQJ 3RZHU 'LVWULEXWLRQ %RDUG  7/3'%  DQG 7XQQHO OLJKWLQJ
FRQWUROSDQHO 7/&3
LLL /LJKWLQJ)LWWLQJV
LY &RQWURODQGFRPPXQLFDWLRQKDUGZDUH
% )DFWRU\$FFHSWDQFH7HVWV
$ 7KHFRQWUDFWRUVKDOOEHUHVSRQVLEOHIRUWKHFRPSOHWLRQRIWKHIROORZLQJPLQLPXP
WHVWV WR SURYLGH DVVXUDQFH WKDW WKH HTXLSPHQW EHLQJ VXSSOLHG ZLOO PHHW WKH
SHUIRUPDQFH UHTXLUHPHQWV RI WKLV VSHFLILFDWLRQ DQG WKH UHOHYDQW ,(& VWDQGDUGV
:KHUH DSSOLFDEOH DOO WHVWV VKDOO EH FDUULHG RXW LQ D PDQQHU DV VHW GRZQ LQ
UHOHYDQW ,(& VWDQGDUGV 7KH OLVW SURYLGHG LV DQ LQGLFDWLYHPLQLPXP RI WKH WHVWV
UHTXLUHG
% 7KH &RQWUDFWRU VKDOO GHYHORS IXOO WHVW VFKHGXOHV IRU WKH DSSURYDO RI WKH
57$(QJLQHHU
V UHSUHVHQWDWLYH LQ DFFRUGDQFH ZLWK WKH UHTXLUHPHQWV RI WKLV
6SHFLILFDWLRQ

)HEUXDU\ 6HFWLRQ%  5RDGVDQG7UDQVSRUW$XWKRULW\


57$5RDG/LJKWLQJ6SHFLILFDWLRQ

& &DEOHV
L &RQWLQXLW\WHVW
LL (DUWKWHVW
LLL 3RODULW\WHVW
LY 'LHOHFWULFWHVW
Y &RQGXFWRUUHVLVWDQFHWHVW
YL ,QVXODWLRQUHVLVWDQFHWHVW
YLL 7HQVLOHVWUHQJWKDQGHORQJDWLRQWHVW
YLLL )LUHWHVW
L[ )ODPHSURSDJDWLRQWHVW
[ 7HPSHUDWXUHLQGH[WHVW
D 7XQQHO/LJKWLQJ3RZHU'LVWULEXWLRQ%RDUG 7/3'%
' ,QVSHFWLRQRIWKH7/3'%LQFOXGLQJZLULQJHOHFWULFDODQGPHFKDQLFDOFRQQHFWLRQV
H[WHUQDODQGLQWHUQDOILQLVKHWFVKDOOEHGHPRQVWUDWHGGXULQJ)DFWRU\$FFHSWDQFH
WHVWVRQ7/3'%V
( 0HFKDQLFDOWHVWVLQFOXGLQJFKHFNLQJRIDOOPHFKDQLFDODQGHOHFWULFDOFRQQHFWLRQV
LQWHUORFNHWF
) &RQWLQXLW\DQGGLHOHFWULFWHVWV
* )XQFWLRQDOFKHFNVRIDOOFRQWUROFLUFXLWLQFOXGLQJWKHVKXQWWULSRSHUDWLRQRIEUHDNHU
DWDQGRIWKHUDWHGFRQWUROVXSSO\YROWDJH
+ &DOLEUDWLRQRIPHWHULQJLQVWUXPHQWDQG&7V
% 75$,1,1*)2557$2 03(56211(/
$ 7UDLQLQJ VKDOO EHFRQGXFWHG E\Y HQ GRU WXQQHO OLJKW VSHFLDOLVW DQGDUUDQJHGE\
WKH &RQWUDFWRU IDPLOLDU ZLWK WKH V\VWHP VXSSOLHG H[SHULHQFHG DQG WUDLQHG LQ
GHYHORSLQJ DQG LPSOHPHQWLQJLQVWUXFWLRQDOFRXUVHV
% 7KH&RQWUDFWRU VKDOOVXEPLWLQIRUPDWLRQRQWKHWUDLQLQJSURJUDPPHGIRU DSSURYDO
SULRU WR VKLSPHQW RIWKHHTXLSPHQW 7KLVWUDLQLQJPDQXDO VKDOOLQFOXGHDFRXUVH
RXWOLQH WLPH UHTXLUHG FRXUVH VFKHGXOH VDPSOH ZRUNERRN DQG LQVWUXFWRU
TXDOLILFDWLRQLQIRUPDWLRQ IRUHDFKOHYHO
& 7KH &RQWUDFWRUVKDOO PDNH WUDLQLQJPDQXDO RQ HDFK FRXUVH DYDLODEOH WR HYHU\
SHUVRQ WDNLQJ WKH FRXUVHV OLVWHG KHUHLQ 7KH WUDLQLQJ PDQXDO VKDOO KDYH
DGHTXDWH GHWDLOV VR WKDW LQIXWXUH WKH WUDLQHH VKDOO UHYLHZ LQ GHWDLO WKH PDMRU
WRSLFV RI WKH FRXUVH 2QH FRS\RI HDFK WUDLQLQJ PDQXDO VKDOOEH GHOLYHUHG WR
WKH5RDGV DQG 7UDQVSRUW$XWKRULW\IRUUHFRUGV
' 7KHWUDLQLQJWLPHVKDOOEHVFKHGXOHG E\&RQWUDFWRU LQDGYDQFHVRDVQRWWRDIIHFW
WKH HQJLQHHU¶VDELOLW\WRRSHUDWHWKHHTXLSPHQW
( 6SHFLDOL]HG WUDLQLQJ VKDOO EH SURYLGHG IRU D PLQLPXP RI WKUHH RI WKH 57$
SHUVRQQHO LQ WKH RSHUDWLRQ DQG PDLQWHQDQFH RI WKH V\VWHP DW WKH
PDQXIDFWXUHU
V IDFLOLW\ RU LQ 8$( 7KH WUDLQLQJ SURJUDPPHVKDOO EHGLYLGHG LQWR
WZR VHJPHQWV DQG HDFKVKDOOFRQVLVWRIDWOHDVWILYHHLJKWKRXUZRUNLQJGD\V
) 7KH PDLQWHQDQFH WUDLQLQJ SURJUDPPH VKDOO EH GHYHORSHG IRU SHUVRQQHO ZKR
KDYH HOHFWURQLFVPDLQWHQDQFHDQGUHSDLUH[SHULHQFHDQGDJHQHUDONQRZOHGJHRI
FRPSXWHU V\VWHPVEXWVKDOOQRWDVVXPHDQ\IDPLOLDULW\ZLWKWKHVSHFLILFKDUGZDUH
IXUQLVKHG$V DPLQLPXPWKHIROORZLQJVXEMHFWVVKDOOEHFRYHUHG
L 6\VWHPDUFKLWHFWXUHDQGOD\RXW
LL +DUGZDUHFRPSRQHQWV
LLL 6&$'$LQWHUIDFH
LY 0RGXOHVZLWFKVHWWLQJV FRQILJXUDWLRQVZLWFKHV`
Y ,2PRGXOHV

)HEUXDU\ 6HFWLRQ%  5RDGVDQG7UDQVSRUW$XWKRULW\


57$5RDG/LJKWLQJ6SHFLILFDWLRQ

YL 3RZHUVXSSOLHV
YLL 'DWDKLJKZD\
YLLL 3URJUDPPHUFRQQHFWLRQ
L[ 3URJUDPPLQJDQGGLDJQRVWLFWHFKQLTXHV
[ %DWWHU\UHSODFHPHQWDQGUHFRUGLQJ
[L )DXOWILQGLQJ7URXEOHVKRRWLQJWHFKQLTXHV
[LL 'LVDVVHPEO\
[LLL &OHDQLQJ
[LY &RPSRQHQWUHSODFHPHQW
[Y 5HDVVHPEOLQJ
* 7KHRSHUDWLRQWUDLQLQJSURJUDPVKDOOLQFOXGHWKHIROORZLQJWRSLFV
L 3RZHUXSERRWVWUDSSLQJDQGVKXWGRZQRIDOOKDUGZDUHGHYLFHV
LL ,QWHUSUHWDWLRQRIDOOVWDQGDUGGLVSOD\V
LLL $SSURSULDWHDFWLRQVIRUVRIWZDUHDQGKDUGZDUHHUURURFFXUUHQFHV
LY 0DQXDOGDWDHQWULHV
Y 8SORDGLQJGRZQORDGLQJRIDQ\UHTXLUHGVRIWZDUHLQWRWKHV\VWHP
+ 6\VWHP0DQDJHPHQW
L 7KHWUDLQLQJLQWKLVDUHDVKDOOFRYHUWKHIROORZLQJ
D 3URYLGH WUDLQLQJ IRU FOLHQWV SHUVRQQHO IRU SURJUDPPLQJ RSHUDWLRQ
PDLQWHQDQFH  7URXEOHVKRRWLQJ RI DOOSDUWV RI /LJKWLQJ 6\VWHP LQFOXGLQJ
EXWQRWOLPLWHGWRIROORZLQJ
 /LJKWLQJ&RQWUROOHUV/LJKWLQJ)L[WXUHV3KRWRPHWHUV
 'ULYHUVHWWLQJV
 &RPPXQLFDWLRQ,QWHUIDFHV*DWHZD\V
E 7KHWUDLQLQJVKDOOLQFOXGHFODVVURRPWUDLQLQJDQGILHOGGHPRQVWUDWLRQV
% 6,7(,163(&7,21$1'7(67,1*
$ 7KH (QJLQHHU VKDOO KDYH WKH RSWLRQ WR DWWHQG WKH LQVSHFWLRQ DQG WHVWV EHIRUH
VHWWLQJWKHHTXLSPHQWWRZRUN7KH&RQWUDFWRUVKDOOQRWLI\WKH(QJLQHHULQZULWLQJ
IRXUZHHNVKRXUVEHIRUHFRPPHQFLQJWHVWV
% $6LWH$FFHSWDQFH7HVW 6$7 VKDOOEHFRQGXFWHGDVSDUWRIWKH/LJKWLQJV\VWHP
YDOLGDWLRQ DQG VKDOO LQFOXGH DOO HTXLSPHQW DQG VRIWZDUH ZLWKLQ WKH &RQWUDFWRU
V
VFRSH RI VXSSO\ 7KLV WHVW VKDOO EH FRQGXFWHG DIWHU WKH HTXLSPHQW KDV EHHQ
LQVWDOOHG DW WKH 6LWH DQG WKH &RQWUDFWRU LV VDWLVILHG RI WKH FRUUHFWQHVV RI WKH
LQVWDOODWLRQDQGRIWKHRSHUDWLRQRIWKHHTXLSPHQW
& 3DUWLFXODU7HVW5HTXLUHPHQWV
L &RPPXQLFDWLRQWHVW
D 7KH &RQWUDFWRU VKDOO FRQGXFW D WHVW WR HVWDEOLVK WKH FRUUHFW IXQFWLRQLQJ
DQGDELOLW\IRU WUDQVPLVVLRQ RIGDWDFRUUHFWO\ RYHU7XQQHO ,7EDFNERQHWR
DQG IURP HDFK SRUW RQ WKH V\VWHP ,Q WKH HYHQW RI DQ\ SUREOHP RU
GHILFLHQF\ EHLQJ LGHQWLILHG LQ DQ\ HTXLSPHQW VXSSOLHGE\ DQ\ SDUW\ WKLV
VKDOOEHUHSRUWHGIXOO\LQZU LWLQJE\WKH&RQWUDFWRUWRWKH (QJLQHHU
LL +DUGZDUHWHVW
D 'HPRQVWUDWHFRUUHFWRSHUDWLRQRIKDUGZDUHXVLQJRIIOLQHGLDJQRVWLFV
LLL )XQFWLRQDOLW\7HVW
D 'HPRQVWUDWH WKH V\VWHP SHUIRUPDQFH DQG IXQFWLRQDOLW\ PHHWV WKH
VSHFLILFDWLRQ
LY 7HVW'HWDLOV
D 7KH 6$7 VKDOO EH FDUULHG RXW LQ DFFRUGDQFH ZLWK D WHVW VSHFLILFDWLRQ
SURGXFHGE\WKH&RQWUDFWRUDQGDSSURYHGE\WKH(QJLQHHU

)HEUXDU\ 6HFWLRQ%  5RDGVDQG7UDQVSRUW$XWKRULW\


57$5RDG/LJKWLQJ6SHFLILFDWLRQ

E 7HVW HTXLSPHQWDQGWHVWVRIWZDUHVKDOOEHSURYLGHGE\WKH&RQWUDFWRUWR
ORDG WKH V\VWHP WR WKH ZRUVW FDVH VFHQDULR GHILQHG LQ WKH WHVW
VSHFLILFDWLRQ
F 7KH&RQWUDFWRUVKDOOSUHSDUHDWHVWUHSRUWIROORZLQJWKH6$7
Y 8QGHUSDVV7XQQHO/LJKWLQJ
D /XPLQDQFHPHDVXUHPHQWV
E &DOLEUDWLRQRISKRWRPHWHUFRQWUROXQLWVHQVRUVDQGFRQWUROGHYLFHV
F 7HVWWRHVWDEOLVKFRUUHFWRSHUDWLRQRI8QGHUSDVVOLJKWLQJFRQWURO
IURP7/3'%DQGWKURXJK6&$'$ ZKHUHDSSOLFDEOH
' 6\VWHP&RPPLVVLRQLQJ
L :KHUH UHTXLUHG LQ WKH 3URMHFW 6SHFLILFDWLRQ WKH &RQWUDFWRU VKDOO SURYLGH
VWDII WR ZRUN LQ FRQMXQFWLRQ ZLWK WKH 57$ WR HQVXUH WKH  VDWLVIDFWRU\
VHUYLFHRSHUDWLRQRIDOOHTXLSPHQW LQWKHV\VWHPWR DVVLVWWKH 57$ WR DGMXVW
WKH FRQILJXUDWLRQ GDWD DQG WR GHYHORSPRGLI\ DSSOLFDWLRQ SURJUDPPHGHJ
VHTXHQFHFRQWUROV
LL 7KH/LJKWLQJ 6XEFRQWUDFWRU VKDOOSURYLGH3HUIRUPDQFHYHULILFDWLRQWHVWRI WKH
FRPSOHWH /LJKWLQJ V\VWHP IRU D FRQWLQXRXV SHULRG RI  FDOHQGDU GD\VIRU
DOO LWHPV XQGHU RI OLJKWLQJ V\VWHP IRU GHPRQVWUDWLRQ RI UHOLDELOLW\
UHSHDWDELOLW\ DQG RSHUDELOLW\,Q WKH HYHQW RI IDLOXUHV GXULQJWKLV SHULRG WKH
GHPRQVWUDWLRQ VKDOO EH H[WHQGHG IRU D IXUWKHU  GD\V SHULRG 7KH OLVW RI
SDUDPHWHUVWREHPRQLWRUHGGXULQJWKH3HUIRUPDQFH9HULILFDWLRQWHVWVKDOOEH
DSSURYHGE\WKH (QJLQHHUEHIRUHFRPPHQFLQJWKH7HVW
( 7KHVXSSO\V\VWHPVKDOOEHWHVWHGLQWKHVHTXHQFHLQGLFDWHGEHORZ
L &RQWLQXLW\ RI SURWHFWLYH FRQGXFWRUV LQFOXGLQJ PDLQ DQG VXSSOHPHQWDU\
HTXLSPHQWERQGLQJ
LL (DUWKHOHFWURGHUHVLVWDQFH,QVXODWLRQUHVLVWDQFH
LLL 3URWHFWLRQE\HOHFWULFDOVHSDUDWLRQ3RODULW\
LY (DUWKIDXOWORRSLPSHGDQFH
) 6\VWHP7DNHRYHU
L 7KHFULWHULDIRUWDNHRYHURIWKHV\VWHPVKDOOEH
D 6XEPLVVLRQE\WKH&RQWUDFWRUDQGDSSURYDORIDVEXLOWGUDZLQJV
E 6XEPLVVLRQE\WKH&RQWUDFWRURIDOOGRFXPHQWDWLRQ
F 6XEPLVVLRQRIRSHUDWLRQDQGPDLQWHQDQFHPDQXDOV
G 6XEPLVVLRQ RI DOO VRIWZDUH GHVLJQ DQG VXSSRUW GRFXPHQWDWLRQ DQG WKH
ORGJLQJ RI VRXUFH FRGHV LQ D SODFH RI VHFXUH VDIHNHHSLQJ DQG VWRUDJH
ZLWKD7KLUG3DUW\
H 3URYLVLRQ RI LQIRUPDWLRQ DQG H[DPSOHV RI HDFK W\SH RI UHSRUW DQG HDFK
LWHPRIXVHUFRQILJXUDEOHIXQFWLRQDOLW\
I ,VVXHRIDOOUHOHYDQWWHVWFHUWLILFDWHV
J 6XFFHVVIXOFRPSOHWLRQRIWKH6$7
K 6\VWHPFRPPLVVLRQLQJDQGLVVXHRI)LQDO6\VWHP7HVW&HUWLILFDWHE\WKH
&RQWUDFWRU
L :DUUDQWLHVDQGOLIHWLPHRIHDFKLWHP
M 6&$'$DVVHWOLVW
LL )ROORZLQJ VDWLVIDFWRU\ FRPSOHWLRQ RI WKHDERYH WKH(QJLQHHU VKDOO LVVXH WKH
6\VWHP7DNHRYHU&HUWLILFDWH

)HEUXDU\ 6HFWLRQ%  5RDGVDQG7UDQVSRUW$XWKRULW\


57$5RDG/LJKWLQJ6SHFLILFDWLRQ

% 6XEPLWWDOV
$ 7KHIROORZLQJVXEPLWWDOVVKDOOEHSURYLGHGE\WKH&RQWUDFWRUEXWQRWOLPLWHGWR
L 2YHUDOO/LJKWLQJOD\RXW,QGH[DQGFXWVKHHWV
LL ([DFWORFDWLRQRI'$/,JDWHZD\VDQG7/3'%
V
LLL &RQWUROHTXLSPHQWVFKHGXOHVDQGV\VWHPFRQILJXUDWLRQPDWUL[
LY /LJKWLQJLQWHQVLW\FDOFXODWLRQV
Y 1RUPDOHPHUJHQF\RSHUDWLRQVFHQDULRVDQGVZLWFKRYHU
YL ,2PDSSLQJOLVWZLWK7066&$'$ ZKHUHDSSOLFDEOH
YLL +0,VFUHHQVKRWV
YLLL )XQFWLRQDOGHVLJQVSHFLILFDWLRQV
L[ 'HWDLOHQJLQHHULQJIRUWKHPXOWLSOHOLJKWLQJVFHQDULRV
[ &RQWUROV\VWHPDUFKLWHFWXUHGUDZLQJV

)HEUXDU\ 6HFWLRQ%  5RDGVDQG7UDQVSRUW$XWKRULW\

You might also like