'UDIW,QWHUQDWLRQDO6WDQGDUG ,62',6

Quality management — Customer satisfaction — Guidelines for

codes of conduct for organizations

 6FRSH
7KLV,QWHUQDWLRQDO6WDQGDUGSURYLGHVJXLGDQFHIRUSODQQLQJGHVLJQLQJGHYHORSLQJLPSOHPHQWLQJPDLQWDLQLQJ
DQG LPSURYLQJ FXVWRPHU VDWLVIDFWLRQ FRGHV RI FRQGXFW 7KLV ,QWHUQDWLRQDO 6WDQGDUG LV DSSOLFDEOH WR SURGXFW
UHODWHG FRGHV FRQWDLQLQJ SURPLVHV PDGH WR FXVWRPHUV E\ DQ RUJDQL]DWLRQ FRQFHUQLQJ LWV EHKDYLRXU WKDW DUH
DLPHGDWHQKDQFHGFXVWRPHUVDWLVIDFWLRQ)RUH[DPSOHVVHH$QQH[$

7KLV,QWHUQDWLRQDO6WDQGDUGLVLQWHQGHGIRUXVHE\RUJDQL]DWLRQVUHJDUGOHVVRIW\SHVL]HDQGSURGXFWSURYLGHG
LQFOXGLQJ RUJDQL]DWLRQV WKDW GHVLJQ FXVWRPHU VDWLVIDFWLRQ FRGHV RI FRQGXFW IRU XVH E\ RWKHU RUJDQL]DWLRQV
$QQH[&JLYHVVSHFLILFJXLGDQFHIRUVPDOOEXVLQHVVHV

7KLV ,QWHUQDWLRQDO 6WDQGDUG GRHV QRW SUHVFULEH WKH VXEVWDQWLYH FRQWHQW RI FXVWRPHU VDWLVIDFWLRQ FRGHV RI
FRQGXFW,WDOVRGRHVQRWDGGUHVVRWKHUW\SHVRIFRGHVRIFRQGXFWVXFKDVWKRVHWKDWUHODWHWRWKHLQWHUDFWLRQ
EHWZHHQDQRUJDQL]DWLRQDQGLWVSHUVRQQHORUEHWZHHQDQRUJDQL]DWLRQDQGLWVVXSSOLHUV

7KLV,QWHUQDWLRQDO6WDQGDUGLVQRWLQWHQGHGIRUFHUWLILFDWLRQRUIRUFRQWUDFWXDOSXUSRVHVDQGLWLVQRWLQWHQGHGWR
FKDQJHDQ\ULJKWVRUREOLJDWLRQVSURYLGHGE\DSSOLFDEOHVWDWXWRU\RUUHJXODWRU\UHTXLUHPHQWV

127( :KLOH WKLV ,QWHUQDWLRQDO 6WDQGDUG LV QRW LQWHQGHG IRU FRQWUDFWXDO SXUSRVHV FXVWRPHU VDWLVIDFWLRQ FRGHV RI
FRQGXFWSURPLVHVPD\EHLQFOXGHGLQDQRUJDQL]DWLRQ¶VFRQWUDFWV

127( 7KLV ,QWHUQDWLRQDO 6WDQGDUG LV DLPHG DW FXVWRPHU VDWLVIDFWLRQ FRGHV RI FRQGXFW FRQFHUQLQJ LQGLYLGXDO
FXVWRPHUVSXUFKDVLQJRUXVLQJJRRGVSURSHUW\RUVHUYLFHVIRUSHUVRQDORUKRXVHKROGSXUSRVHVDOWKRXJKLWLVDSSOLFDEOHWR
DOOFXVWRPHUVDWLVIDFWLRQFRGHVRIFRQGXFW

 1RUPDWLYHUHIHUHQFH
7KH IROORZLQJ UHIHUHQFH GRFXPHQWV DUH LQGLVSHQVDEOH WR WKH DSSOLFDWLRQ RI WKLV GRFXPHQW )RU GDWHG
UHIHUHQFHVRQO\WKHHGLWLRQFLWHGDSSOLHV)RUXQGDWHGUHIHUHQFHVWKHODWHVWHGLWLRQRIWKHUHIHUHQFHGRFXPHQW
LQFOXGLQJDQ\DPHQGPHQWV DSSOLHV

>,624XDOLW\PDQDJHPHQWV\VWHPV±)XQGDPHQWDOVDQGYRFDEXODU\@

 7HUPVDQGGHILQLWLRQV
)RU WKH SXUSRVHV RI WKLV ,QWHUQDWLRQDO 6WDQGDUG WKH WHUPV DQG GHILQLWLRQV JLYHQ LQ ,62  DQG WKH
IROORZLQJDSSO\


FXVWRPHUVDWLVIDFWLRQFRGHRIFRQGXFW
SURPLVHVPDGHWRFXVWRPHUVE\DQRUJDQL]DWLRQ  FRQFHUQLQJLWVEHKDYLRXUWKDWDUHDLPHGDWHQKDQFHG
FXVWRPHUVDWLVIDFWLRQDQGUHODWHGSURYLVLRQV

127( 5HODWHGSURYLVLRQVFDQLQFOXGHREMHFWLYHVFRQGLWLRQVOLPLWDWLRQVFRQWDFWLQIRUPDWLRQDQGFRPSODLQWVKDQGOLQJ
SURFHGXUHV

‹,62±$OOULJKWVUHVHUYHG 

,62',6

127( +HUHDIWHU LQ WKLV ,QWHUQDWLRQDO 6WDQGDUG WKH WHUP ³FRGH´ LV XVHG LQVWHDG RI ³FXVWRPHU VDWLVIDFWLRQ FRGH RI
FRQGXFW´


FRPSODLQDQW
SHUVRQRUJDQL]DWLRQ  RUWKHLUUHSUHVHQWDWLYHPDNLQJDFRPSODLQW  

>,62@


FRPSODLQW
H[SUHVVLRQRIGLVVDWLVIDFWLRQPDGHWRDQRUJDQL]DWLRQ  UHODWHGWRLWVSURGXFWVRUWKHFRPSODLQWVKDQGOLQJ
SURFHVVLWVHOIZKHUHDUHVSRQVHRUUHVROXWLRQLVH[SOLFLWO\RULPSOLFLWO\H[SHFWHG

>,62@

127( &RPSODLQWVFDQEHPDGHLQUHODWLRQWRWKHFRGH


FXVWRPHU
RUJDQL]DWLRQ  RUSHUVRQWKDWUHFHLYHVDSURGXFW

>,62@

([DPSOH&RQVXPHUFOLHQWHQGXVHUUHWDLOHUEHQHILFLDU\RUSXUFKDVHU

127( $FXVWRPHUFDQEHLQWHUQDORUH[WHUQDOWRWKHRUJDQL]DWLRQ

127( )RUWKHSXUSRVHVRIWKLV,QWHUQDWLRQDO6WDQGDUGXVHRIWKHWHUP³FXVWRPHU´LQFOXGHVSRWHQWLDOFXVWRPHUVLQWKH
UHIHUHQFH


FXVWRPHUVDWLVIDFWLRQ
FXVWRPHU¶V  SHUFHSWLRQRIWKHGHJUHHWRZKLFKWKHFXVWRPHU¶VUHTXLUHPHQWVKDYHEHHQIXOILOOHG

127( &XVWRPHU FRPSODLQWV DUH D FRPPRQ LQGLFDWRU RI ORZ FXVWRPHU VDWLVIDFWLRQ EXW WKHLU DEVHQFH GRHV QRW
QHFHVVDULO\LPSO\KLJKFXVWRPHUVDWLVIDFWLRQ

127( (YHQZKHQFXVWRPHUUHTXLUHPHQWVKDYHEHHQDJUHHGZLWKWKHFXVWRPHUDQGIXOILOOHGWKLVGRHVQRWQHFHVVDULO\
HQVXUHKLJKFXVWRPHUVDWLVIDFWLRQ

>,62@


RUJDQL]DWLRQ
JURXSRISHRSOHDQGIDFLOLWLHVZLWKDQDUUDQJHPHQWRIUHVSRQVLELOLWLHVDXWKRULWLHVDQGUHODWLRQVKLSV

>,62@

([DPSOHFRPSDQ\FRUSRUDWLRQILUPHQWHUSULVHLQVWLWXWLRQFKDULW\VROHWUDGHUDVVRFLDWLRQJRYHUQPHQWDJHQF\RUSDUWV
RUFRPELQDWLRQWKHUHRI

 *XLGLQJSULQFLSOHV

 *HQHUDO

(IIHFWLYH DQG HIILFLHQW SODQQLQJ GHVLJQ GHYHORSPHQW LPSOHPHQWDWLRQ PDLQWHQDQFH DQG LPSURYHPHQW RI D
FRGH LVEDVHG RQ DGKHUHQFH WR WKH FXVWRPHUIRFXVHGJXLGLQJSULQFLSOHV VHWRXWLQFODXVHVWR RIWKLV
,QWHUQDWLRQDO6WDQGDUG

 ‹,62±$OOULJKWVUHVHUYHG

 ,62',6

 &RPPLWPHQW

$QRUJDQL]DWLRQVKRXOGEHDFWLYHO\FRPPLWWHGWRWKHDGRSWLRQDQGGLVVHPLQDWLRQRIDFRGHDQGWKHIXOILOPHQWRI
LWVSURPLVHV

 &DSDFLW\

$Q RUJDQL]DWLRQ VKRXOG PDNH VXIILFLHQW UHVRXUFHV DYDLODEOH IRU FRGH SODQQLQJ GHVLJQ GHYHORSPHQW
LPSOHPHQWDWLRQPDLQWHQDQFHDQGLPSURYHPHQWDQGPDQDJHWKHPHIIHFWLYHO\DQGHIILFLHQWO\

 9LVLELOLW\

$FRGHVKRXOGEHZHOOSXEOLFL]HGWRFXVWRPHUVSHUVRQQHODQGRWKHULQWHUHVWHGSDUWLHV

 $FFHVVLELOLW\

$FRGHDQGUHOHYDQWLQIRUPDWLRQDERXWLWVKRXOGEHHDV\WRILQGDQGXVH VHH$QQH[' 

 5HVSRQVLYHQHVV

$FRGHVKRXOGUHVSRQGWRWKHQHHGVRIFXVWRPHUVDQGH[SHFWDWLRQVRILQWHUHVWHGSDUWLHV VHH$QQH[( 

 $FFXUDF\

$Q RUJDQL]DWLRQ VKRXOG HQVXUH WKDW LWV FRGH DQG LQIRUPDWLRQ DERXW LWV FRGH DUH DFFXUDWH QRW PLVOHDGLQJ
YHULILDEOHDQGLQFRPSOLDQFHZLWKUHOHYDQWVWDWXWRU\DQGUHJXODWRU\UHTXLUHPHQWV

 $FFRXQWDELOLW\

7KHRUJDQL]DWLRQVKRXOGDGGUHVVDFFRXQWDELOLW\IRUDQGUHSRUWLQJRQWKHDFWLRQVDQGGHFLVLRQVZLWKUHVSHFWWR
LWVFRGH

 &RQWLQXDOLPSURYHPHQW

,QFUHDVHGHIIHFWLYHQHVVDQGHIILFLHQF\RIWKHFRGHVKRXOGEHDSHUPDQHQWREMHFWLYHRIWKHRUJDQL]DWLRQ

‹,62±$OOULJKWVUHVHUYHG 

,62',6

 &RGHIUDPHZRUN

 (VWDEOLVKPHQW

$ FRGH VKRXOG EH VXSSRUWHG E\ DQ RUJDQL]DWLRQDO IUDPHZRUN IRU GHFLVLRQPDNLQJ DQG DFWLRQ WR XVH LQ FRGH
SODQQLQJ GHVLJQ GHYHORSPHQW LPSOHPHQWDWLRQ PDLQWHQDQFH DQG LPSURYHPHQW 7KLV IUDPHZRUN LQYROYHV
UHVRXUFH DVVHVVPHQW SURYLVLRQ DQG GHSOR\PHQW QHHGHG WR FDUU\ RXW WKH LQWHUUHODWHG DFWLYLWLHV WR IXOILO FRGH
REMHFWLYHV VHH $QQH[ )  ,W DOVR LQFOXGHV WRS PDQDJHPHQW FRPPLWPHQW DVVLJQPHQW RI DSSURSULDWH
UHVSRQVLELOLWLHVDQGDXWKRULWLHVDQGWUDLQLQJWKURXJKRXWWKHRUJDQL]DWLRQ

 ,QWHJUDWLRQ

7KHFRGHIUDPHZRUNVKRXOGEHEDVHGRQDQGLQWHJUDWHGZLWKWKHTXDOLW\DQGRWKHUPDQDJHPHQWV\VWHPVRI
WKHRUJDQL]DWLRQZKHUHDSSURSULDWH

 3ODQQLQJGHVLJQDQGGHYHORSPHQW

 'HWHUPLQHFRGHREMHFWLYHV

$QRUJDQL]DWLRQVKRXOGGHWHUPLQHWKHREMHFWLYHVWREHDFKLHYHGE\WKHFRGH

127( &RGH REMHFWLYHV VKRXOG EH DUWLFXODWHG LQ VXFK D PDQQHU WKDW WKHLU IXOILOPHQW FDQ EH PHDVXUHG XVLQJ
SHUIRUPDQFHLQGLFDWRUVDVLGHQWLILHGE\WKHRUJDQL]DWLRQ

 *DWKHUDQGDVVHVVLQIRUPDWLRQ

,QIRUPDWLRQVKRXOGEHJDWKHUHGDQGDVVHVVHGFRQFHUQLQJ

 WKHLVVXHVWKDWWKHFRGHLVDWWHPSWLQJWRDGGUHVV

 KRZWKHVHLVVXHVDULVH

 KRZWKHVHLVVXHVFRXOGEHDGGUHVVHG

 KRZWKHVHLVVXHVDIIHFWWKHRUJDQL]DWLRQ¶VDFWLYLWLHVWKDWDUHQRWUHODWHGWRWKHFRGH

 KRZRWKHURUJDQL]DWLRQVDUHDGGUHVVLQJWKHVHLVVXHV

 SRVVLEOHUHVRXUFHDQGRWKHULPSOLFDWLRQVRIDGGUHVVLQJWKHVHLVVXHVWKURXJKXVHRIDFRGHDQG

 VWDWXWRU\DQGUHJXODWRU\UHTXLUHPHQWVDVVRFLDWHGZLWKDGGUHVVLQJWKHVHLVVXHVWKURXJKXVHRIDFRGH

127( 7KLV LQIRUPDWLRQ VKRXOG DVVLVW WKH RUJDQL]DWLRQ LQ DUWLFXODWLQJ WKH FRGH¶V SXUSRVHV DQG LQ GHWHUPLQLQJ DQ
DSSURSULDWH DSSURDFK WR FRGH GHYHORSPHQW DQG DVVHVVPHQW WKDW LV DOLJQHG ZLWK WKH RUJDQL]DWLRQ¶V RWKHU DFWLYLWLHV
*XLGDQFH RQ IDFWRUV WR FRQVLGHU LQ DGRSWLQJ D FRGH SUHSDUHG E\ DQRWKHU RUJDQL]DWLRQ HJ DQ LQGXVWU\ RU SURIHVVLRQDO
DVVRFLDWLRQ LVSURYLGHGLQ$QQH[*

 2EWDLQDQGDVVHVVLQSXWIURPUHOHYDQWLQWHUHVWHGSDUWLHV

,W LV LPSRUWDQW IRU WKH RUJDQL]DWLRQ WR REWDLQ DQG DVVHVV WKH LQSXW IURP UHOHYDQW LQWHUHVWHG SDUWLHV HJ
FXVWRPHUV VXSSOLHUV LQGXVWU\ DVVRFLDWLRQV FRQVXPHU RUJDQL]DWLRQV UHOHYDQW JRYHUQPHQW DJHQFLHV
SHUVRQQHO RZQHUV DQG RWKHUV ZKR FRXOG EH DIIHFWHG E\ WKH FRGH  FRQFHUQLQJ FRGH FRQWHQW DQG XVH VHH
$QQH[( 

 ‹,62±$OOULJKWVUHVHUYHG

 ,62',6

 3UHSDUHFRGH

7KH RUJDQL]DWLRQ VKRXOG SUHSDUH D FRGH EDVHG RQ WKH LQIRUPDWLRQ WKDW WKH RUJDQL]DWLRQ KDV JDWKHUHG VHH
$QQH[ +  7KH FRGH VKRXOG EH FOHDU FRQFLVH DFFXUDWH DQG QRW PLVOHDGLQJ ZULWWHQ LQ VLPSOH ODQJXDJH DQG
VKRXOGLQFOXGH

 WKHFRGH¶VVFRSHDQGSXUSRVHDSSURSULDWHWRWKHRUJDQL]DWLRQDQGLWVFXVWRPHUV

 WKH SURPLVHV PDGH E\ WKH RUJDQL]DWLRQ WR LWV FXVWRPHUV WKDW DUH FDSDEOH RI EHLQJ IXOILOOHG DQG DQ\
OLPLWDWLRQVFRQFHUQLQJWKRVHSURPLVHV

 GHILQLWLRQVRINH\WHUPVXVHGLQWKHFRGH

 KRZDQGWRZKRPLQTXLULHVDQGFRPSODLQWVDERXWWKHFRGHVKRXOGEHGLUHFWHGDQG

 DGHVFULSWLRQRIZKDWDFWLRQZLOOEHWDNHQLIWKHFRGHSURPLVHVDUHQRWIXOILOOHG

127( ,QTXLULHV DQG FRPSODLQWV FDQ SHUWDLQ WR ERWK WKH FRQWHQW RI WKH FRGH DQG LWV XVH 6HH ,62  DQG ,62
IRUJXLGDQFH

,QSUHSDULQJWKHFRGHWKHRUJDQL]DWLRQVKRXOGHQVXUHWKDWWKHFRGHFDQEHHIIHFWLYHO\LPSOHPHQWHGDQGWKDW
LWV SURYLVLRQV DUH QRW LQ YLRODWLRQ RI DQ\ VWDWXWRU\ DQG UHJXODWRU\ UHTXLUHPHQWV 2I SDUWLFXODU UHOHYDQFH DUH
VWDWXWRU\DQGUHJXODWRU\UHTXLUHPHQWVFRQFHUQLQJGHFHSWLYHRUPLVOHDGLQJDGYHUWLVLQJDQGSURKLELWLRQVDJDLQVW
DQWLFRPSHWLWLYHDFWLYLW\

7KHRUJDQL]DWLRQVKRXOGFRQVLGHUWHVWLQJWKHFRGHWRGHWHUPLQHWKHQHHGIRUDGMXVWPHQWV

 3UHSDUHSHUIRUPDQFHLQGLFDWRUV

7KH RUJDQL]DWLRQ VKRXOG SUHSDUH TXDQWLWDWLYH RU TXDOLWDWLYH SHUIRUPDQFH LQGLFDWRUV GHVLJQHG WR DVVLVW LQ
XQGHUVWDQGLQJZKHWKHUWKHFRGHLVVXFFHVVIXOLQIXOILOOLQJLWVREMHFWLYHV

127( 3HUIRUPDQFH LQGLFDWRUV DVVRFLDWHG ZLWK D FRGH FRQFHUQLQJ FXVWRPHU VDWLVIDFWLRQ PLJKW LQFOXGH JUDGLQJ RU
UDQNLQJIURPFXVWRPHUVDWLVIDFWLRQVXUYH\VDQGVWDWLVWLFVUHJDUGLQJFRPSODLQWVDQGWKHLUUHVROXWLRQ

 3UHSDUHFRGHSURFHGXUHV

7KHRUJDQL]DWLRQVKRXOGSUHSDUHFRGHLPSOHPHQWDWLRQPDLQWHQDQFHDQGLPSURYHPHQWSURFHGXUHVLQFOXGLQJ
KRZLQTXLULHVDQGFRPSODLQWVDUH DGGUHVVHG7KH RUJDQL]DWLRQVKRXOG LGHQWLI\ DQGDGGUHVV DQ\ REVWDFOHVWR
WKHHIIHFWLYH XVHRIWKH FRGHDQGLGHQWLI\DQ\ SRVVLEOHLQFHQWLYHV WKDWZRXOG DVVLVW LQ FRGHLPSOHPHQWDWLRQ
PDLQWHQDQFH DQG LPSURYHPHQW 3URFHGXUHV ZLOO YDU\ GHSHQGLQJ XSRQ WKH QDWXUH RI WKH FRGH DQG WKH
RUJDQL]DWLRQ WKDW XVHV LW 3URFHGXUHV VKRXOG EH GHYHORSHG LQ DFFRUGDQFH ZLWK DSSOLFDEOH VWDWXWRU\ DQG
UHJXODWRU\UHTXLUHPHQWV

127( ([DPSOHVRIDFWLYLWLHVWKDWFDQEHWKHVXEMHFWRISURFHGXUHVLQFOXGH

 FRPPXQLFDWLQJWKHFRGHWRFXVWRPHUV

 WUDLQLQJUHOHYDQWSHUVRQQHORQWKHFRGH

 UHVROYLQJLQVWDQFHVZKHUHFRGHSURPLVHVDUHQRWPHW

 UHFRUGLQJLQTXLULHVDQGFRPSODLQWVDERXWWKHFRGH

 UHFRUGLQJDQGHYDOXDWLQJSHUIRUPDQFHRIWKHFRGH

 XVLQJDQGPDQDJLQJUHFRUGV

‹,62±$OOULJKWVUHVHUYHG 

,62',6

 LGHQWLI\LQJJDWKHULQJFODVVLI\LQJPDLQWDLQLQJVWRULQJDQGGLVSRVLQJRIUHFRUGVDQG

 GLVFORVLQJRILQIRUPDWLRQUHJDUGLQJFRGHIXOILOPHQW VHH$QQH[, 

 3UHSDUHLQWHUQDODQGH[WHUQDOFRPPXQLFDWLRQSODQ

7KH RUJDQL]DWLRQ VKRXOG GHYHORS D SODQ WR PDNH LWV FRGH DQG VXSSRUWLYH LQIRUPDWLRQ HJ IHHGEDFN IRUP 
DYDLODEOHWRSHUVRQQHODQGRWKHUSDUWLHVLQYROYHGLQFRGHDSSOLFDWLRQ VHH$QQH[, 

 'HWHUPLQHUHVRXUFHVQHHGHG

7KH RUJDQL]DWLRQ VKRXOG GHWHUPLQH WKH UHVRXUFHV QHHGHG WR IXOILO FRGH SURPLVHV DQG WR SURYLGH DGHTXDWH
UHPHGLHVLQFDVHVRIQRQIXOILOPHQWRIWKHFRGH HJFXVWRPHUFRPSHQVDWLRQ 5HVRXUFHVLQFOXGHSHUVRQQHO
WUDLQLQJ SURFHGXUHV GRFXPHQWDWLRQ VSHFLDOLVW VXSSRUW PDWHULDOV DQG HTXLSPHQW IDFLOLWLHV FRPSXWHU
KDUGZDUHDQGVRIWZDUHDQGILQDQFHV

 ,PSOHPHQWDWLRQ
7KHRUJDQL]DWLRQVKRXOGPDQDJHLPSOHPHQWDWLRQDFWLYLWLHVDVSODQQHGLQDWLPHO\PDQQHU

7KHRUJDQL]DWLRQVKRXOGDWDSSURSULDWHOHYHOVZLWKLQWKHRUJDQL]DWLRQ

 DSSO\UHOHYDQWSURFHGXUHVDQGLQWHUQDODQGH[WHUQDOFRPPXQLFDWLRQSODQV

 SURYLGHDSSURSULDWHUHPHGLHVWRFXVWRPHUV HJFRPSHQVDWLRQ DQG

 WDNH QHFHVVDU\ DFWLRQ WR SURPSWO\ DGGUHVV LQVWDQFHV ZKHUH WKH FRGH SURYLVLRQV DUH QRW IXOILOOHG 7KHVH
DFWLRQV PD\ EH LQLWLDWHG IROORZLQJ D FRPSODLQW DERXW WKH FRGH RU DV D UHVXOW RI LQWHUQDOO\ JHQHUDWHG
LQIRUPDWLRQ

7KHRUJDQL]DWLRQVKRXOGUHFRUG

 UHVRXUFHXVDJHLQFRGHDSSOLFDWLRQ

 WKHW\SHRIWUDLQLQJDQGLQVWUXFWLRQUHJDUGLQJWKHFRGHWKDWSHUVRQQHOKDYHUHFHLYHG

 DSSOLFDWLRQRIWKHLQWHUQDODQGH[WHUQDOFRPPXQLFDWLRQSODQVDQG

 KDQGOLQJRILQTXLULHVRUFRPSODLQWVDERXWWKHFRGHDQGUHPHGLDODFWLRQVXQGHUWDNHQE\WKHRUJDQL]DWLRQ

 0DLQWHQDQFHDQGLPSURYHPHQW

 &ROOHFWLRQRILQIRUPDWLRQ

7KHRUJDQL]DWLRQVKRXOGUHJXODUO\DQGV\VWHPDWLFDOO\FROOHFWLQIRUPDWLRQQHHGHGIRUWKHHIIHFWLYHDQGHIILFLHQW
HYDOXDWLRQRIFRGHSHUIRUPDQFHLQFOXGLQJUHFRUGVGHVFULEHGLQFODXVHVDQG

 (YDOXDWLRQRIFRGHSHUIRUPDQFH

7KH RUJDQL]DWLRQ VKRXOG UHJXODUO\ DQG V\VWHPDWLFDOO\ HYDOXDWH WKH SHUIRUPDQFH RI WKH FRGH 7KLV HYDOXDWLRQ
VKRXOGLQFOXGHYHULILFDWLRQDQGDQDO\VLVRIIXOILOPHQWRIRYHUDOOFRGHREMHFWLYHVDQGFRGHSURPLVHV

,QTXLULHV DQG FRPSODLQWV DERXW WKH FRGH RU LWV XVH VKRXOG EH FODVVLILHG DQG DQDO\VHG WR LGHQWLI\ V\VWHPLF
UHFXUULQJDQGVLQJOHLQFLGHQWSUREOHPVDQGWUHQGVDQGWRKHOSHOLPLQDWHWKHXQGHUO\LQJFDXVHVRIFRPSODLQWV
DERXWWKHFRGH

 ‹,62±$OOULJKWVUHVHUYHG

 ,62',6

127( 7KH RUJDQL]DWLRQ VKRXOG DOVR WDNH VWHSV WR GHWHUPLQH ZKHWKHU LQTXLULHV DQG FRPSODLQWV DERXW SURGXFWV RU
SURFHVVHVWKDWGRQRWPHQWLRQWKHFRGHDUHQRQHWKHOHVVUHODWHGWRSURYLVLRQVRIWKHFRGH7KHVHLQTXLULHVDQGFRPSODLQWV
PD\UHYHDOPLVDSSOLFDWLRQRIFRGHSURYLVLRQV

7RHYDOXDWHWKHLPSDFWRIWKHFRGHLQIRUPDWLRQLVQHHGHGRQWKHVLWXDWLRQSULRUWRWKHFRGHEHLQJODXQFKHG
DQG DW DSSURSULDWH LQWHUYDOV DIWHUZDUG 7KLV LQIRUPDWLRQ FDQ EH XVHG QRW RQO\ WR GHWHUPLQH ZHDNQHVVHV LQ
FRGH GHVLJQ DQG LPSOHPHQWDWLRQ EXW DOVR WR GHPRQVWUDWH UHVXOWV DFKLHYHG LI DQ\  DQG SURJUHVV PDGH
WKURXJKXVHRIWKHFRGH

 6DWLVIDFWLRQZLWKWKHFRGH

7KHUHVKRXOGEHUHJXODUDQGV\VWHPDWLFDFWLRQWDNHQWRGHWHUPLQHFXVWRPHUVDWLVIDFWLRQZLWKWKHFRGHDQGLWV
XVH7KLVFDQWDNHWKHIRUPRIUDQGRPVXUYH\VRIFXVWRPHUVDQGRWKHUWHFKQLTXHV

127( 2QH PHWKRG RI HYDOXDWLQJ FXVWRPHU VDWLVIDFWLRQ LV WKH VLPXODWLRQ RI D FRQWDFW RI D FXVWRPHU ZLWK WKH
RUJDQL]DWLRQFRQFHUQLQJDPDWWHUDGGUHVVHGLQDFRGHZKHUHWKLVLVSHUPLWWHGE\ODZ

 5HYLHZRIWKHFRGHDQGFRGHIUDPHZRUN

7KHRUJDQL]DWLRQVKRXOGUHYLHZWKHFRGHDQGLWVIUDPHZRUNRQDUHJXODUDQGV\VWHPDWLFEDVLVLQRUGHUWR

 GHWHUPLQHWKHLUFRQWLQXLQJVXLWDELOLW\DGHTXDF\HIIHFWLYHQHVVDQGHIILFLHQF\

 DGGUHVVVLJQLILFDQWLQVWDQFHVRIQRQIXOILOPHQWRIWKHFRGHSURPLVHV

 DVVHVVWKHQHHGDQGRSSRUWXQLWLHVIRULPSURYHPHQWDQG

 SURYLGHIRUUHODWHGGHFLVLRQVDQGDFWLRQVDVDSSURSULDWH

,QFRQGXFWLQJWKHUHYLHZWKHRUJDQL]DWLRQVKRXOGLQFOXGHLQIRUPDWLRQRQ

 FKDQJHVWRWKHFRGHDQGLWVIUDPHZRUN

 FKDQJHVLQOHJLVODWLRQ

 FKDQJHVLQSUDFWLFHVRIFRPSHWLWRUVRUWHFKQRORJLFDOLQQRYDWLRQV

 FKDQJHVLQVRFLHWDOH[SHFWDWLRQV

 IXOILOPHQWRIWKHFRGHSURPLVHV

 VWDWXVRIFRUUHFWLYHDQGSUHYHQWLYHDFWLRQV

 SURGXFWVRIIHUHGDQG

 DFWLRQVGHFLGHGDWSUHYLRXVUHYLHZV

 &RQWLQXDOLPSURYHPHQW

7KHRUJDQL]DWLRQVKRXOGFRQWLQXDOO\LPSURYHWKHFRGHDQGFRGHIUDPHZRUNWRLQFUHDVHFXVWRPHUVDWLVIDFWLRQ
LQFOXGLQJVXFKPHDQVDVSUHYHQWLYHDQGFRUUHFWLYHDFWLRQVDQGLQQRYDWLYHLPSURYHPHQWV

7KH RUJDQL]DWLRQ VKRXOG WDNH DFWLRQ WR HOLPLQDWH WKH XQGHUO\LQJ FDXVHV RI H[LVWLQJ DQG SRWHQWLDO SUREOHPV
OHDGLQJWRFRPSODLQWVWRSUHYHQWUHFXUUHQFHDQGRFFXUUHQFHUHVSHFWLYHO\

127( $QRUJDQL]DWLRQXVLQJDFRGHGHYHORSHGE\DQRWKHURUJDQL]DWLRQVKRXOGLQIRUPWKHRWKHURUJDQL]DWLRQRIDQ\
SUREOHPVZKLFKDULVHGXULQJXVH

‹,62±$OOULJKWVUHVHUYHG 

,62',6

7KHRUJDQL]DWLRQVKRXOG

 H[SORUHLGHQWLI\DQGDSSO\EHVWSUDFWLFHVLQWKHVWUXFWXUHFRQWHQWDQGXVHRIDFRGH

 IRVWHUDFXVWRPHUIRFXVHGDSSURDFKZLWKLQWKHRUJDQL]DWLRQ

 HQFRXUDJHFRGHLQQRYDWLRQDQG

 UHFRJQL]HH[DPSOHVRIRXWVWDQGLQJSHUIRUPDQFHDQGSUDFWLFHVUHODWHGWRWKHFRGH

127( )RU DGGLWLRQDO JXLGDQFH RQ D JHQHULF PHWKRGRORJ\ IRU FRQWLQXDO LPSURYHPHQW RUJDQL]DWLRQV PD\ UHIHU WR
$QQH[%RI,62

 ‹,62±$OOULJKWVUHVHUYHG

 ,62',6

$QQH[$
LQIRUPDWLYH 

6LPSOLILHGH[DPSOHVRIFRPSRQHQWVRIFRGHVIRUGLIIHUHQWRUJDQL]DWLRQV


3L]]DGHOLYHU\ 0HGLFDOFOLQLF 5HWDLOHU +RWHO 7UDLQ
FRPSDQ\ DVVRFLDWLRQ

3URPLVH ³,IWKHSL]]DLV ³3DWLHQWVZLOOEH ³,IVFDQQHG ³,IJXHVWVDUH ³,IWUDLQLVODWH

QRWGHOLYHUHG WROGSURPSWO\RI SULFHRIDQLWHP QRWVDWLVILHG ZDVKURRPLV
KRWDQGZLWKLQ DQ\GHOD\HG LVKLJKHUWKDQ ZLWKVHUYLFH GLUW\RUVHUYLFH
PLQXWHV DSSRLQWPHQW GLVSOD\HGSULFH KRWHOZLOOPDNH LVGLVFRXUWHRXV
WKHSL]]DLV DQGJLYHQWKH WKHLQGLYLGXDORU HYHU\HIIRUWWR FXVWRPHUZLOO
IUHH´ RSWLRQRI EXVLQHVV PDNHLWULJKWRU EHUHLPEXUVHG
DQRWKHUWLPH´ FXVWRPHULVHQ JXHVWZLOO SULFHRIWLFNHW´
WLWOHGWRUHFHLYH UHFHLYHD
WKHLWHPIUHH´ GLVFRXQW´
/LPLWDWLRQVRQ HJJHRJUD HJ HJGRHVQRW HJFLUFXP HJVHYHUH
WKHSURPLVH SKLFZHDWKHU XQVFKHGXOHG DSSO\WREHKLQG VWDQFHV ZHDWKHU
FRPPXQLFDWHG RUWUDIILF HPHUJHQFLHV WKHFRXQWHU EH\RQGWKH FRQGLWLRQV
WRWKHFXVWRPHU FRQGLWLRQ GLVUXSWLQJUHJX FRVPHWLFVDQG FRQWURORIWKH
OLPLWV ODUO\VFKHGXOHG LQGLYLGXDOO\ KRWHO
DSSRLQWPHQWV SULFHGLWHPV
2WKHUFRGH HJVWDWHPHQW HJVWDWHPHQW HJVWDWHPHQW HJVWDWHPHQW HJVWDWHPHQW
SURYLVLRQV WKDWFRVWRI RIDYDLODELOLW\RI RIFRGHREMHFW RIFRGHREMHFWL RIFRGHREMHFW
ODWHSL]]DLV GRFWRUVRXWVLGH LYH³WRPDLQWDLQ YH³FRPSOHWH LYH³FOHDQ
QRWGHGXFWHG RIQRUPDOKRXUV DFFXUDWH JXHVW SXQFWXDOWUDLQV
IURPZDJHVRI VFDQQHU VDWLVIDFWLRQ´ DQGFRXUWHRXV
SL]]D SULFLQJ´ VHUYLFH´
GHOLYHUHU
6XSSRUWLYH HJKRZWR HJKRZWR HJKRZWR HJKRZWRJHW HJZKHUH
LQIRUPDWLRQ PDNHD PDNHDQLQTXLU\ PDNHDQLQTXLU\ DGLVFRXQW UHIXQGFDQEH
FRPSODLQW RUFRPSODLQW REWDLQHG
&RGHSODQQLQJ HJSLORWWHVW HJFXVWRPHU HJFRQVXOW HJXVHIRFXV HJHGXFDWH
GHVLJQ SURJUDPPH VHUYLFHWUDLQLQJ ZLWKPHPEHUV JURXSVWRGH SHUVRQQHOLQ
GHYHORSPHQW RIWKHDVVRFLD WHUPLQHPRVW GHDOLQJZLWK
DQG WLRQ DSSURSULDWH SXEOLF
LPSOHPHQWDWLRQ UHPHG\
DFWLYLW\
0DLQWHQDQFHDQG HJFRQGXFW HJHYDOXDWH HJLQYROYH HJUHYLVH HJFKDQJH
LPSURYHPHQW VXUYH\DQG FRPSODLQWGDWD FRQVXPHU PDUNHWLQJ SURFHGXUHVIRU
DFWLYLW\ PDNHFKDQJHV RUJDQL]DWLRQVLQ FDPSDLJQ FOHDQLQJZDVK
WRFRGH UHYLHZRIGDWD URRPV
ZRUGLQJDVD
UHVXOW

‹,62±$OOULJKWVUHVHUYHG 

,62',6

$QQH[%
LQIRUPDWLYH 

,QWHUUHODWLRQVKLSRI,62

7KLVLVDGHSLFWLRQRIWKHRUJDQL]DWLRQ¶VSURFHVVHVUHODWHGWRFRGHRIFRQGXFWFRPSODLQWKDQGOLQJDQGH[WHUQDO
GLVSXWHUHVROXWLRQ1RWHWKDWDFRPSODLQWFDQEHLQLWLDWHGE\DFXVWRPHURUDQRWKHUFRPSODLQDQW

 &86720(5¶V
,QWHUHVWLQ3URGXFW



,17(5$&7,21 &2'(RI&21'8&7
 &XVWRPHU2UJDQL]DWLRQ EDVHGXSRQ,62


)(('%$&.


 (1'2),17(5$&7,21 12 &203/$,17

0$'("


 <(6


)(('%$&.
&216,'(5$7,21RI &203/$,17+$1'/,1*

&2'(RI&21'8&7 EDVHGXSRQ,62



),/(&/26(' <(6 &203/$,17
 5(62/9('"


 12

 )(('%$&.
&216,'(5$7,21RI ',6387(5(62/87,21
&2'(RI&21'8&7 EDVHGXSRQ,62 )(('%$&.


),/(&/26('

 ‹,62±$OOULJKWVUHVHUYHG