*( 0HGLFDO 6\VWHPV

7HFKQLFDO
3XEOLFDWLRQV

5HYLVLRQ 

/2*,4Z B
6HUYLFH 0DQXDO

&RS\ULJKW

   %\ *HQHUDO (OHFWULF &R

2SHUDWLQJ 'RFXPHQWDWLRQ

'$0$*( ,1 75$163257$7,21

$OO SDFNDJHV VKRXOG EH FORVHO\ H[DPLQHG DW WLPH RI GHOLYHU\ ,I GDPDJH LV

DSSDUHQW ZULWH GDPDJH LQ VKLSPHQW RQ DOO FRSLHV RI WKH IUHLJKW RU H[SUHVV
ELOO EHIRUH GHOLYHU\ LV DFFHSWHG RU VLJQHG IRU E\ D *HQHUDO (OHFWULF
UHSUHVHQWDWLYH RU KRVSLWDO UHFHLYLQJ DJHQW :KHWKHU QRWHG RU FRQFHDOHG
GDPDJH 0867 EH UHSRUWHG WR WKH FDUULHU LPPHGLDWHO\ XSRQ GLVFRYHU\ RU LQ
DQ\ HYHQW ZLWKLQ  GD\V DIWHU UHFHLSW DQG WKH FRQWHQWV DQG FRQWDLQHUV KHOG
IRU LQVSHFWLRQ E\ WKH FDUULHU $ WUDQVSRUWDWLRQ FRPSDQ\ ZLOO QRW SD\ D FODLP
IRU GDPDJH LI WKH LQVSHFWLRQ LV QRW UHTXHVWHG ZLWKLQ WKLV  GD\ SHULRG

*( 0HGLFDO 6\VWHPV
*( 0HGLFDO 6\VWHPV 7HOH[ 
32 %R[  0LOZDXNHH :LVFRQVLQ  86$
$VLD 3DFLILF /DWLQ $PHULFD 1RUWK $PHULFD
2Q/LQH &HQWHU 2/&
7HO  RU  
)D[  
*( 8OWUDVFKDOO 'HXWVFKODQG *PE+ &R .*
%HHWKRYHQVWUDBH  3RVWIDFK   
' 6ROLQJHQ *(50$1<
7HO 2/&(XURSH 7ROO )UHH 1XPEHUV
RU
5DGLRORJ\ +RWOLQH    
&DUGLRORJ\K +RWOLQH    
)D[    

/2*,470 a 6(59,&( 0$18$/

*( 0(',&$/ 6<67(06
5(9 



/,67 2) ())(&7,9( 3$*(6

5(9
$

'$7(

35,0$5< 5($621 )25 &+$1*(

'HF     

%     -XQH 

3UHOLPLQDU\ UHOHDVH

   

<06 )HHGEDFN

      6HSWHPEHU  

3URGXFWLRQ 5HOHDVH

      6HSWHPEHU  

3&% $VV\ )58 8SGDWLRQ

      2FWREHU  

      0DUFK  
      0D\  


$SULO   

  -DQ  

3&% $VV\ )58 8SGDWLRQ

)58 6FKHPDWLF 8SGDWLRQ  ,PSURYHG $VVHPEO\'LVDVVHPEO\ GLDJUDPV
9HUVLRQ  6RIWZDUH UHOHDVH DQG 3ODVWLF0HWDOOLF VHW )58 8SGDWLRQ
9HUVLRQ  6RIWZDUH DQG 7ZR 3UREH 3RUW UHOHDVH
9HUVLRQ  03 6\VWHP UHOHDVH



$SU  

9HUVLRQ $ 03 6\VWHP UHOHDVH WR IL[ %% %XJ



-XO\  

9HUVLRQ $ 03 6\VWHP UHOHDVH IRU $PHULFDV



'HFHPEHU  

3$*(

5(9

9HUVLRQ $ 03 6\VWHP UHOHDVH IRU &RPSRQHQW 2EVROHVFHQFH

3$*(

5(9

3$*(

5(9

3$*(

5(9

3$*(

5(9

                 

&KDSWHU 



 

                

                 





 

                

 WR            

 WR            

3&'            

                

                 

 WR 

7LWOH SDJH

 

 WR 

 

$  
% 
,



 

&KDSWHU 
                 

,,                   



,,,

 WR 

 

,9                  



 
 

 

 WR 

 

&KDSWHU 



 

 WR            



 



 



 



 



 

 

&KDSWHU 
 WR            
                 

                 

 WR            

 WR           



 

 WR          

 WR            

                

                 
                
                
                

&KDSWHU 

 

 

&KDSWHU 


 



 



 



 



 

                 

                 

&KDSWHU 

                 



 

                 

                 

 WR            

 

                 

 WR 

 WR          

 WR            

 WR 





 

 WR 

 

 

/2*,4 70 a 6(59,&( 0$18$/

*( 0(',&$/ 6<67(06
5(9 



7$%/( 2) &217(176
6(&7,21

7,7/(

3$*(

&+$37(5   ,1752'8&7,21


29(59,(:                                                                         



6(59,&( 0$18$/ &217(176                                                       



6$)(7<





:DUQLQJV                                                                  
/DEHOV                                                                     
&ODVVLILFDWLRQ                                                               








(0& (OHFWURPDJQHWLF &RPSDWLELOLW\                                                   


(0& 3HUIRUPDQFH                                                          

1RWLFH XSRQ ,QVWDOODWLRQ RI 3URGXFW                                            

*HQHUDO 1RWLFH                                                             

&RXQWHUPHDVXUHV DJDLQVW (0&UHODWHG ,VVXHV                                  

1RWLFH RQ 6HUYLFH                                                           










&217$&7 $''5(66(6                                                              

&+$37(5   ,167$//$7,21


35(,167$//$7,21                                                                

2YHUYLHZ                                                                  

3RZHU /LQH 5HTXLUHPHQWV                                                    

3K\VLFDO 6SHFLILFDWLRQV                                                      








,167$//$7,21                                                                     

2YHUYLHZ                                                                  

$YHUDJH ,QVWDOODWLRQ 7LPH                                                    

&KHFNLQJ WKH FRPSRQHQWV                                                   

8QSDFNLQJ /2*,4(D                                                     

$VVHPEOLQJ 7KH /2*,4(D  6\VWHP                                        

,QVWDOODWLRQ RI /2*,4 (D WR 3& ,PDJH 7UDQVIHU 6RIWZDUH
7KLV LV DQ 2SWLRQ IRU $PHULFDV                                              

,QVWDOODWLRQ RI 2SWLRQDO $FFHVVRULHV                                           

,QVWDOODWLRQ RI 7ZR 3UREH 3RUW  /2*,4 D  3UREH $GDSWHU 2SWLRQDO            

,QVWDOODWLRQ RI /2*,4(D ZLWK *OREDO 7UROOH\ RU 0RGXODU 7UROOH\                 
 $GMXVWPHQW RI 0RQLWRU &RQWUDVW $QG %ULJKWQHVV                                 














7$%/( 2) &217(176

/2*,4 70 a 6(59,&( 0$18$/

*( 0(',&$/ 6<67(06
5(9 
6(&7,21


7,7/(

3$*(

 $GMXVWPHQW RI 6\VWHP &ORFN'DWH +RVSLWDO 1DPH $QG 2% 9HUVLRQ                 

 3URGXFW /RFDWRU &DUG                                                         

&+$37(5  6<67(0 &21),*85$7,21



29(59,(:                                                                         



',0(16,216                                                                      

)URQW 9LHZ                                                                 

6LGH YLHZ .H\ERDUG FORVHG                                                 

6LGH YLHZ NH\ERDUG RSHQ                                                   



(/(&75,&$/ 63(&,),&$7,216                                                       


3RZHU 6XSSO\                                                               

)DFLOLW\ 3RZHU 6RFNHW                                                        



6725$*( $1' 23(5$7,21 5(48,5(0(176                                         



237,21$/ 3(5,3+(5$/6                                                          

)RRWVZLWFK &RQQHFWLRQ                                                      

9LGHR *UDSKLF 3ULQWHU                                                       

9LGHR &DVVHWWH 5HFRUGHU                                                    

3UREHV                                                                    



/2*,4(D 03 9LGHR 6LJQDO 6SHFLILFDWLRQ                                             












&+$37(5   )81&7,21$/ &+(&.6



29(59,(:                                                                         



)81&7,21$/ &+(&. 352&('85(6                                                


3RZHU 8S 0RQLWRU 'LVSOD\ &RQYH[ 3UREH                                     

%DVLF &RQWUROV                                                              

3KDQWRP &KHFN                                                            








',$*1267,&6                                                                     

3RZHU RQ 'LDJQRVWLFV                                                       

6HUYLFH 'LDJQRVWLFV                                                         

&38 %RDUG 7HVWV                                                           

'6& %RDUG 7HVWV                                                           

$QDORJ %RDUG 7HVW                                                          

.H\ERDUG 7HVWV                                                             

0RQLWRU 7HVW                                                                










,,

7$%/( 2) &217(176

/2*,4 70 a 6(59,&( 0$18$/

*( 0(',&$/ 6<67(06
5(9 
6(&7,21

7,7/(






3$*(

.H\ 2SHUDWLRQ +LVWRU\                                                        

7UDFNEDOO 6HOHFWLRQ 9HUVLRQ  6\VWHP RQZDUGV                                

6(59,&( $'-8670(176                                                            

&+$37(5   6<67(0 $5&+,7(&785(



29(59,(:                                                                         



/2*,4(D  6<67(0                                                               



6<67(0 %/2&. ',$*5$0                                                           



&,5&8,7 %2$5' 120(1&/$785(                                                   



',3 6:,7&+ 6(77,1*                                                               


75&7/ %RDUG                                                               

&38 %RDUG                                                                 



:,5,1* ',$*5$06                                                              

&+$37(5   5(1(:$/ 3$576



723 &29(5                                                                        


'LVDVVHPEO\$VVHPEO\ RI 7RS &RYHU                                           



.(<%2$5'                                                                        

'HWDFKLQJ WKH .H\ERDUG                                                     

.H\ERDUG 'LVDVVHPEO\$VVHPEO\                                             

2SWLFDO 7UDFNEDOO $VVHPEO\                                                   



)5217 3$1(/021,725                                                            


'LVDVVHPEO\$VVHPEO\ RI )URQW 3DQHO                                          

'LVDVVHPEO\$VVHPEO\ RI 0RQLWRU                                              



3&%V                                                                              

'LVDVVHPEO\$VVHPEO\ RI '6&&38)/$6+                                   

'LVDVVHPEO\$VVHPEO\ RI 75%'75&7/%'                                    

0$7(5,$/ /,67 3&%6  &38                                               

0$7(5,$/ /,67  /,7+,80 %$77(5<                                        

0$7(5,$/ /,67 3&%  )/$6+                                              

0$7(5,$/ /,67 3&%6  '6&                                               

0$7(5,$/ /,67 3&%6  75%' 75&7/                                    



32:(5 6833/<',675,%8725 3&%                                                 


'LVDVVHPEO\$VVHPEO\ RI 3RZHU 6XSSO\'LVWULEXWRU 3&%                          

,,,















7$%/( 2) &217(176

/2*,4 70 a 6(59,&( 0$18$/

*( 0(',&$/ 6<67(06
5(9 
6(&7,21


7,7/(

3$*(



)$1                                                                                

'LVDVVHPEO\$VVHPEO\ RI )DQ                                                 



5($5 3$1(/                                                                        


'LVDVVHPEO\$VVHPEO\ RI 5HDU 3DQHO                                          



+9 32:(5 6833/<                                                                 


'LVDVVHPEO\$VVHPEO\ RI +9 3RZHU 6XSSO\                                     



&+$66,6                                                                           



&$%/( $VV\                                                                        



*HQHUDO






0HWDOOLF 6HW                                                                
3ODVWLF 6HW                                                                 
)DVWHQHU 6HW                                                               
7UDFNEDOO 0DLQWHQDQFH .LW                                                    







&+$37(5   3(5,2',& 0$,17(1$1&(



29(59,(:                                                                         



3(5,2',& 0$,17(1$1&(                                                           



352&('85(6                                                                     

9LVXDO ,QVSHFWLRQ                                                           

&OHDQLQJ                                                                   

0HDVXUHPHQW                                                              








75$&.%$// 0$,17(1$1&( 2QO\ IRU 9 EHORZ 1RW DSSOLFDEOH IRU 9$ V\VWHP     

5HPRYDO RI WKH 5HWDLQHU 5LQJ                                                

&OHDQLQJ WKH 7UDFNEDOO                                                       

)L[LQJ WKH 7UDFNEDOO DQG 5HWDLQHU 5LQJ                                         








(/(&75,&$/ 6$)(7< 7(676                                                       


2XWOHW 7HVW :LULQJ $UUDQJHPHQW                                               

*URXQG &RQWLQXLW\                                                          

&KDVVLV /HDNDJH &XUUHQW 7HVW                                                

3UREH /HDNDJH &XUUHQW 7HVW                                                  

:KHQ 7KHUHV 7RR PXFK /HDNDJH &XUUHQW                                   








,9

7$%/( 2) &217(176

*( 0(',&$/ 6<67(06
5(9 

/2*,4a 6(59,&( 0$18$/



 29(59,(:
7KH /2*,4 a LV D FRPSDFW SRUWDEOH XOWUDVRXQG VFDQQHU ZKLFK LV GHVLJQHG IRU 2%*<1 $EGRPHQ 8URORJ\ DQG
VPDOO SDUW 6FDQV XVLQJ WKH FRQYH[ OLQHDU DQG PLFURFRQYH[ 7UDQVYDJLQDO SUREHV +LJK TXDOLW\ LPDJHV FDQ EH RE
WDLQHG E\ WKH SURSHU VHOHFWLRQ RI VFDQ FRQWURO SDUDPHWHUV 7KH GLDJQRVWLF FODULW\ LV IXUWKHU HQKDQFHG E\ WKH GLIIHUHQW
PHDVXUHPHQW DQG FDOFXODWLRQ SDFNDJHV DYDLODEOH LQ WKH V\VWHP

 6(59,&( 0$18$/ &217(176

7KLV PDQXDO SURYLGHV VHUYLFH LQIRUPDWLRQ RQ WKH /2*,4 a 8OWUDVRXQG 6FDQQLQJ 6\VWHP ,W FRQWDLQV WKH IROORZLQJ
VHFWLRQV 


,QWURGXFWLRQ &RQWDLQV FRQWHQW VXPPDU\ VDIHW\ ZDUQLQJV (0& DQG FRQWDFW DGGUHVVHV



,QVWDOODWLRQ &RQWDLQV HOHFWULFDO DQG SK\VLFDO UHTXLUHPHQWV WKDW VKRXOG EH FRQVLGHUHG SULRU WR LQVWDOODWLRQ DQG D
FRPSOHWH /2*,4 a LQVWDOODWLRQ SURFHGXUH ZLWK LQVWDOODWLRQ FKHFN OLVW



6\VWHP &RQILJXUDWLRQ &RQWDLQV PHFKDQLFDO HOHFWULFDO HQYLURQPHQWDO VSHFLILFDWLRQV DQG 3HULSKHUDOV$FFHV

VRU\ GHWDLOV



)XQFWLRQDO &KHFN &RQWDLQV IXQFWLRQDO FKHFNV WKDW VKRXOG EH SHUIRUPHG DV SDUW RI WKH LQVWDOODWLRQ RU DV UHTXLUHG
GXULQJ VHUYLFLQJ DQG SHULRGLF PDLQWHQDQFH $OVR FRQWDLQV 'LDJQRVWLF LQIRUPDWLRQ IRU WKH /2*,4 a 6\VWHP



6\VWHP $UFKLWHFWXUH &RQWDLQV 6\VWHP %ORFN 'LDJUDP DQG :LULQJ 'LDJUDPV



5HQHZDO 3DUW /LVW &RQWDLQV D FRPSOHWH OLVW RI ILHOG UHSODFHPHQW XQLWV )58 IRU WKH /2*,4 a DQG
VHPEO\$VVHPEO\ SURFHGXUHV IRU WKH VDPH



3HULRGLF 0DLQWHQDQFH 3URYLGHV SHULRGLF PDLQWHQDQFH SURFHGXUHV IRU WKH /2*,4 a



'LVDV

*( 0(',&$/ 6<67(06

/2*,4a 6(59,&( 0$18$/

5(9 



 6$)(7<
 :DUQLQJV

:$51,1*
&$5()8//< 5($' $// 7+( :$51,1*6 /,67(' %(/2:



5HDG WKH /2*,4 a 2SHUDWRU 0DQXDO WKRURXJKO\ EHIRUH RSHUDWLQJ WKH V\VWHP DQG NHHS DW KDQG IRU UHDG\
UHIHUHQFH



$OWKRXJK WKH XOWUDVRXQG HQHUJ\ WUDQVPLWWHG IURP WKH /2*,4 a WUDQVGXFHU LV ZLWKLQ $,801(0$ VWDQGDUGV
XQQHFHVVDU\ H[SRVXUH VKRXOG EH DYRLGHG 2QO\ WUDLQHG SHUVRQQHO VKRXOG RSHUDWHVHUYLFH WKH /2*,4 a



7R DYRLG HOHFWULFDO VKRFN XVH RQO\ WKH VXSSOLHG SRZHU FRUGV DQG FRQQHFW WKHP WR SURSHUO\ JURXQGHG SRZHU 6RFN
HW 'R QRW XVH D WKUHH SLQ WR WZR SLQ DGDSWHU 7KLV GHIHDWV WKH SXUSRVH RI VDIHW\ JURXQGLQJ 6\VWHP VKRXOG EH
RSHUDWHG ZLWKLQ WKH YROWDJH OLPLWV



3UREHV DUH IUDJLOH SOHDVH KDQGOH ZLWK FDUH $ GDPDJHG SUREH PD\ FDXVH DQ HOHFWULFDOO\ KD]DUGRXV FRQGLWLRQ
ZKHQ FRXSOHG WR WKH KXPDQ ERG\ $ GDPDJHG SUREH ZLOO QRW SURGXFH D GHVLUDEOH LPDJH $ GDPDJHG SUREH KDV WR
EH GLVFDUGHG ,W FDQQRW EH UHSDLUHG RU UHXVHG 'R QRW DOORZ WKH OHQV WR FRPH LQWR FRQWDFW ZLWK D VKDUS REMHFW RU WR EH
NQRFNHG DJDLQVW DQ REMHFW



'R QRW SODFH OLTXLGV RQ RU DERYH WKH FRQVROH ,I WKH OLTXLG VSLOOV LW PD\ FRPH LQ WR FRQWDFW ZLWK OLYH SDUWV DQG FDQ
FDXVH DQ HOHFWULF VKRN7KLV V\VWHP FRQWDLQV QR RSHUDWRU VHUYLFHDEOH FRPSRQHQWV 7R SUHYHQW VKRFN GR QRW UH
PRYH DQ\ FRYHUV RU SDQHOV 6KRXOG SUREOHPV RU PDOIXQFWLRQV RFFXU XQSOXJ WKH SRZHU FRUG 2QO\ TXDOLILHG 6HUYLFH
SHUVRQQHO VKRXOG VHUYLFH WKH V\VWHP $FFLGHQWDOO\ FRPLQJ LQ FRQWDFW ZLWK WKH HOHFWULFDO FLUFXLWV LQVLGH WKH KRXVLQJ
FRXOG FDXVH VHULRXV LQMXU\



'R QRW XVH 'HILEULOODWRUV ZKHQ WKH /2*,4 a LV RSHUDWHG



&RQFHUQLQJ RXWVLGH PDUNLQJV UHIHU WR ,//8675$7,21  



7KH /2*,4 a V\VWHP VKRXOG QRW EH SODFHG RQ D VRIW VXUIDFH DV LW SUHYHQWV SURSHU DLU FLUFXODWLRQ 7KH YHQWV
IRU DLU FLUFXODWLRQ DUH RQ WKH ERWWRP FRYHU
1RWH
7KLV PHGLFDO HTXLSPHQW LV DSSURYHG LQ WHUPV RI WKH SUHYHQWLRQ RI UDGLR ZDYH LQWHUIHUHQFH WR EH XVHG
LQ KRVSLWDOV FOLQLFV DQG RWKHU LQVWLWXWLRQV ZKLFK DUH HQYLURQPHQWDOO\ TXDOLILHG 7KH XVH RI WKLV HTXLS
PHQW LQ DQ LQDSSURSULDWH HQYLURQPHQW PD\ FDXVH VRPH HOHFWURQLF LQWHUIHUHQFH WR UDGLRV DQG WHOHYL
VLRQV DURXQG WKH HTXLSPHQW 3URSHU KDQGOLQJ RI WKLV HTXLSPHQW LV UHTXLUHG LQ RUGHU WR DYRLG VXFK
WURXEOH DFFRUGLQJ WR WKH RSHUDWRU DQG VHUYLFH PDQXDOV



*( 0(',&$/ 6<67(06
5(9 

/2*,4a 6(59,&( 0$18$/



 :DUQLQJV &RQWLQXHG

7$%/( GHVFULEHV WKH SXUSRVH DQG ORFDWLRQ RI VDIHW\ ODEHOV DQG RWKHU LPSRUWDQW LQIRUPDWLRQ SURYLGHG RQ WKH HTXLS
PHQW
7$%/( 

:$51,1* /$%(/6

/DEHO6\PERO

'HVFULSWLRQ

/RFDWLRQ

,GHQWLILFDWLRQ DQG 5DWLQJ

3ODWH

R 0DQXIDFWXUHUV QDPH DQG DGGUHVV

R 'DWH RI 0DQXIDFWXUH
R 0RGHO DQG 6HULDO QXPEHUV
R (OHFWULFDO UDWLQJV

5HDU RI &RQVROH

7\SH&ODVV /DEHO

8VHG WR LQGLFDWH WKH GHJUHH RI VDIHW\ RU

SURWHFWLRQ

5HDU RI &RQVROH DORQJ ZLWK

UDWLQJ SODWH ODEHO

'HYLFH /LVWLQJ
&HUWLILFDWLRQ /DEHOV

/DERUDWRU\ ORJR RU ODEHOV GHQRWLQJ FRQ

IRUPDQFH ZLWK LQGXVWU\ VDIHW\ VWDQ
GDUGV VXFK DV 8/ RU ,(&

'$1*(5  3RVVLEOH H[SOR 7KLV V\VWHP LV QRW GHVLJQHG IRU XVH ZLWK
VLRQ KD]DUG LI XVHG LQ WKH
IODPPDEOH DQHVWKHWLF JDVHV
SUHVHQFH RI IODPPDEOH DQHV
WKHWLFV

5HDU RI &RQVROH

([WHUQDO

$77(17,21  &RQVXOW DFFRPSDQ\LQJ

GRFXPHQWV LV LQWHQGHG WR DOHUW WKH XVHU
WR UHIHU WR WKH RSHUDWRU PDQXDO RU RWKHU
LQVWUXFWLRQV ZKHQ FRPSOHWH LQIRUPDWLRQ
FDQQRW EH SURYLGHG RQ WKH ODEHO

5HDU RI &RQVROH

7\SH %) (TXLSPHQW PDQ LQ WKH ER[

V\PERO ,(&  LQGLFDWHV
% 7\SH HTXLSPHQW KDYLQJ D IORDWLQJ
DSSOLHG SDUW

([WHUQDO

&$87,21 7KH HTXLODWHUDO WULDQJOH LV

XVXDOO\ XVHG LQ FRPELQDWLRQ ZLWK RWKHU
V\PEROV WR DGYLVH RU ZDUQ WKH XVHU

5HDU RI &RQVROH

$OWHUQDWLQJ &XUUHQW 6LQJOH 3KDVH

5HDU SDQHO DQG

)URQW SDQHO DERYH
WKH SRZHU VZLWFK

3URWHFWLYH HDUWK JURXQGLQJ



2Q WKH FKDVVLV
LQVLGH WKH V\VWHP

*( 0(',&$/ 6<67(06

/2*,4a 6(59,&( 0$18$/

5(9 



 :DUQLQJV &RQWLQXHG

/DEHO6\PERO

'HVFULSWLRQ
:DUQLQJ +LJK 9ROWDJH

/RFDWLRQ
2Q WKH &57 RQ IO\
EDFN WUDQVIRUPHU

0DLQV 21 LQGLFDWHV WKH SRZHU

RQ SRVLWLRQ RI WKH PDLQV SRZHU
VZLWFK

)URQW 3DQHO RQ WKH

3RZHU VZLWFK

0DLQV 2)) 3RZHU GLVFRQ

QHFWLRQ IURP WKH 0DLQV

)URQW 3DQHO RQ WKH

3RZHU VZLWFK

7$%/(   :$51,1* /$%(/6 FRQWG



*( 0(',&$/ 6<67(06
5(9 

/2*,4a 6(59,&( 0$18$/



 /DEHOV

:DUQLQJ

'DQJHU&DXWLRQ /DEHO


'$1*(5

:$51,1*

3RVVLEOH VKRFN KD]DUG 'R QRW

3RVVLEOH H[SORVLRQ KD]DUG LI

UHPRYH &RYHUV RU 3DQHOV 5HIHU

XVHG LQ WKH SUHVHQFH RI

VHUYLFLQJ WR TXDOLILHG SHUVRQQHO

                          

IODPPDEOH DQHVWKHWLFV

)RU FRQWLQXHG SURWHFWLRQ DJDLQVW

&$87,21

ILUH RU VKRFN KD]DUG  5HSODFH

RQO\ ZLWK VDPH W\SH DQG UDWLQJ RI
)XVH

'R QRW XVH ZLWK 'HILEULOODWRU

                          

BBBBBBBBBBBBBBBBBBBBBBBBBB

*URXQGLQJ UHOLDELOLW\ FDQ RQO\ EH

DFKLHYHG ZLWK +RVSLWDO RQO\ RU

8QLWHG 6WDWH ODZ UHVWULFWV WKLV

+RVSLWDO *UDGH FRUGVHW SURYLGHG

GHYLFH WR VDOH RU XVH E\ RU RQ WKH

ZLWK WKH V\VWHP

RUGHU RI D SK\VLFLDQ

:$51,1* /$%(/6
,//8675$7,21  



*( 0(',&$/ 6<67(06

/2*,4a 6(59,&( 0$18$/

5(9 



 /DEHOV &RQWLQXHG

&DXWLRQ /DEHO


&$87,21

'R QRW XVH WKH IROORZLQJ GHYLFHV

5HJXODWRU\ /DEHOV

QHDU WKLV HTXLSPHQW

&HOOXODU SKRQH UDGLR WUDQVFHLYHU
PRELOH UDGLR WUDQVPLWWHU
UDGLR FRQWUROOHU WR\ HWF
8VH RI WKHVH GHYLFHV FRXOG FDXVH
WKLV HTXLSPHQW WR SHUIRUP RXWVLGH
WKH SXEOLVKHG VSHFLILFDWLRQV
.HHS SRZHU WR WKHVH GHYLFHV
WXUQHG RII ZKHQ QHDU WKLV
HTXLSPHQW

:$51,1* /$%(/6
,//8675$7,21  



*( 0(',&$/ 6<67(06
5(9 

/2*,4a 6(59,&( 0$18$/



 /DEHOV &RQWLQXHG

5DWLQJ 3ODWH
0DGH IRU *( 0HGLFDO 6\VWHPV
0LOZDXNHH :LVFRQVLQ E\

02'(/ 

:LSUR *( 0HGLFDO 6\VWHPV /WG

&/$66 ,

%DQJDORUH ,1',$

0$18)$&785(' 
/2&$7,21  :LSUR *( 0HGLFDO 6\VWHPV /WG
%DQJDORUH ,QGLD
6(5,$/ 
92/76 

3+$6( ,

$03 /21* 7(50 

$03

)5(48(1&< 

 +]



)RU (XURSH

)RU $VLD $PHULFD

:$51,1* /$%(/6
,//8675$7,21  



*( 0(',&$/ 6<67(06

/2*,4a 6(59,&( 0$18$/

5(9 



 /DEHOV &RQWLQXHG

:$51,1*

3RVVLEOH VKRFN KD]DUG 'R QRW

UHPRYH &RYHUV RU 3DQHOV 5HIHU
VHUYLFLQJ WR TXDOLILHG SHUVRQQHO
                            
)RU FRQWLQXHG SURWHFWLRQ DJDLQVW
ILUH RU VKRFN KD]DUG  5HSODFH RQO\
ZLWK VDPH W\SH DQG UDWLQJ RI )XVH
                            
*URXQGLQJ UHOLDELOLW\ FDQ RQO\ EH
DFKLHYHG ZLWK +RVSLWDO RQO\ RU
+RVSLWDO *UDGH FRUGVHW
SURYLGHG ZLWK WKH V\VWHP

5LVTXH GH GpFKDUJH pOHFWULTXH 1H

SDV UHWLUHU OHV FDSRWV QL OHV SDQQHDX[
6DGUHVVHU j XQ WHFKQLFLHQ TXDOLILp
                             
3RXU DVVXUHU XQH SURWHFWLRQ FRQWLQXH
FRQWUH OHV LQFHQGLHV HW OHV GpFKDUJHV
pOHFWULTXHV QH UHPSODFHU TXH SDU GHV
IXVLEOHV GH PrPH W\SH HW GH PrPH
FRXUDQW QRPLQDO

$9,62

5LVFR GH &KRTXH HOpWULFR 1mR UH

WLUH DV 7DPSDV QHP RV 3DLQpLV GH
SURWHomR 2V VHUYLoRV GHYHP VHU
IHLWRV SRU SHVVRDO TXDOLILFDGR
                          
3DUD XPD SURWHomR FRQVWDQWH
FRQWUD SHULJR GH LQFrQGLR RX GH
FKRTXH  6XEVWLWXD VHPSUH R
)XVtYHO SRU RXWUR GR PHVPR WLSR

                             
/D ILDELOLWp GH OD PLVH j OD WHUUH QH

H FRP D PHVPD YROWDJHP

SHXW VREWHQLU TXDYHF OH FRUGRQ

$ FRQILDELOLGDGH QD WRPDGD FRP

SRUWDQW OpWLTXHWWH +{SLWDO VHXOHPHQW

WHUUD Vy p HIHWLYD FRP R FRQMXQWR

RX 4XDOLWp K{SLWDO IRXUQL DYHF OH

GH ILRV +RVSLWDO RQO\ RU +RVSLWDO

V\VWqPH

*UDGH SURSRUFLRQDGR FRP R VLVWHPD

$9,62

                          

:$5181*

6WURPVFKODJJHIDKU +DXEHQ RGHU

3HULFROR GL VFDULFKH HOHWWULFKH
1RQ WRJOLHUH L FRSHUFKL R L SDQQHOOL
3HU OD PDQXWHQ]LRQH ULYROJHUVL DO
SHUVRQDOH VSHFLDOL]]DWR
                          
3HU SUHYHQLUH LQFHQGL R VFDULFKH
HOHWWULFKH VRVWLWXLUH L IXVLELOL VROR
FRQ IXVLELOL GHOOR VWHVVR WLSR H
DYHQWL OH VWHVVH FRQGL]LRQL GL IXQ
]LRQDPHQWR
                          
,O FROOHJDPHQWR D WHUUD SL VLFXUR q
TXHOOR HIIHWWXDWR FRQ L FDYL +RVSL

5LHVJR GH GHVFDUJD HOpFWULFD 1R UHWLUH

ODV FXELHUWDV QL ORV SDQHOHV &RQVXOWH
DO SHUVRQDO GH VHUYLFLR FXDOLILFDGR
                          
&RPR SURWHFFLyQ FRQWUD ODV GHVFDUJDV
HOpFWULFDV \ ORV LQFHQGLRV XVH VyOR IXVLE
OHV GHO PLVPR WLSR \ FRUULHQWH QRPLQDO
                          
/D VHJXULGDG GH OD FRQH[LyQ D OD WLHUUD
VH REWLHQH VyOR FRQ OD WRPD 6yOR KRV
SLWDO R *UDGR KRVSLWDO VXPLQLVWUDGD
FRQ HO VLVWHPD

$EGHFNXQJHQ QLFKW HQWIHUQHQ

hEHUODVVHQ 6LH GLH :DUWXQJ TXDOL
IL]LHUWHP 3HUVRQDO
                          
(UVHW]HQ 6LH GLH 6LFKHUXQJ IU
HLQHQ NRQWLQXLHUOLFKHQ 6FKXW]
JHJHQ )HXHU RGHU 6WURPVFKODJ
QXU GXUFK GHQ JOHLFKHQ 7\S PLW
GHP JOHLFKHQ :HUW
                          
(LQH ]XYHUOlVVLJH (UGXQJ LVW QXU
PLW GHP /HLWXQJVNLW +RVSLWDO RQO\
RGHU +RVSLWDO *UDG JHZlKUOHLV

WDO RQO\ 6ROR RVSHGDOH R +RVSL

WHW GHU PLW GHP 6\VWHP JHOLHIHUW

WDO *UDGH *UDGR RVSHGDOH IRUQLWL

ZLUG

FRQ LO VLVWHPD

:$51,1* /$%(/6
,//8675$7,21  



*( 0(',&$/ 6<67(06
5(9 

/2*,4a 6(59,&( 0$18$/



 /DEHOV &RQWLQXHG

:$51,1* /$%(/6
,//8675$7,21  



*( 0(',&$/ 6<67(06

/2*,4a 6(59,&( 0$18$/

5(9 



 /DEHOV &RQWLQXHG

&$87,21

'R QRW XVH WKH IROORZLQJ GHYLFHV

QHDU WKLV HTXLSPHQW
&HOOXODU SKRQH UDGLR WUDQVFHLYHU
PRELOH UDGLR WUDQVPLWWHU
UDGLRFRQWUROOHU WR\ HWF
8VH RI WKHVH GHYLFHV FRXOG FDXVH
WKLV HTXLSPHQW WR SHUIRUP RXWVLGH
WKH SXEOLVKHG VSHFLILFDWLRQV
.HHS SRZHU WR WKHVH GHYLFHV
WXUQHG RII ZKHQ QHDU WKLV
HTXLSPHQW

$77(1=,21(

1RQ XVDUH L VHJXHQWL DSSDUHFFKL LQ SURV

VLPLWj GL TXHVWD DSSDUHFFKLDWXUD
FHOOXODUL ULFHWUDVPHWWLWRUH UDGLR WUDVPHWWL
WRUH UDGLR PRELOH JLRFDWWROL UDGLRFRPDQ

&8,'$'2

1mR XWLOL]H RV GLVSRVLWLYRV VHJXLQWHV SHU

WR GHVWH HTXLSDPHQWR
7HOHIRQH FHOXODU UDGLRWUDQVFHLYHU UDGLR
WUDQVPLVVRU PyYHO EULQTXHGRV GH FRQ
WUROH UHPRWR HWF
2 XVR GHVWHV GLVSRVLWLYRV SRGH OHYDU R
HTXLSDPHQWR D WHU XP GHVHPSHQKR RXW

GDWL HFF

UR TXH DTXHOH SXEOLFDGR

/XVR GL TXHVWL DSSDUHFFKL SRWUHEEH PR

GLILFDUH OH VSHFLILFKH GHOODSSDUHFFKLDWXUD

'HVOLJXH HVWHV GLVSRVLWLYRV TXDQGR HV

WLYHUHP SHUWR GHVWH HTXLSDPHQWR

0DQWHQHUH JOL DSSDUHFFKL LQWHUIHUHQWL

VSHQWL VH LQ SURVVLPLWj GHO VLVWHPD

$9,62

$77(17,21

1H SDV XWLOLVHU OHV DSSDUHLOV VXLYDQWV j

SUR[LPLWp GH FHW pTXLSHPHQW  WpOpSKRQHV
PRELOHV pPHWWHXUVUpFHSWHXUV DSSDUHLOV

9256,&+7

GHU 1lKH GHU $QODJH

)XQNWHOHIRQ )XQNHPSIlQJHU PRELOHU

UDGLRFRPPDQGpV HWF FHOD SRXYDQW

)XQNVHQGHU IXQNJHVWHXHUWHV 6SLHO]HXJ

HQWUDvQHU GHV SHUIRUPDQFHV GLIIpUHQWHV GHV

XVZ

VSpFLILFDWLRQV DQQRQFpHV 0DLQWHQLU OHV

DSSDUHLOV GH FH W\SH KRUV WHQVLRQ ORUVTXLOV
VH WURXYHQW j SUR[LPLWp GX V\VWqPH

&8,'$'2

9HUZHQGHQ 6LH IROJHQGH *HUlWH QLFKW LQ

1R XVH QLQJXQR GH ORV VLJXLHQWHV GLVSRVLWL
YRV FHUFD GHO HTXLSR
7HOpIRQRV FHOXODUHV UHFHSWRUHV GH UDGLR
MXJXHWHV FRQWURODGRV SRU WUDQVPLVRUHV
GH UDGLR PyYLOHV HWF
(O XVR GH HVWRV GLVSRVLWLYRV SXHGH

%HL *HEUDXFK GLHVHU *HUlWH DUEHLWHW GLH

$QODJH HYWO QLFKW HQWVSUHFKHQG GHU
YHU|IIHQWOLFKWHQ $QJDEHQ
%HODVVHQ 6LH GLHVH *HUlWH LQ GHU 1lKH
GHU $QODJH DXVJHVFKDOWHW

9256,&+7

:$51,1* /$%(/6
,//8675$7,21  



KDFHU TXH HO HTXLSR IXQFLRQH IXHUD GH

ODV HVSHFLILFDFLRQHV SXEOLFDGDV
0DQWHQJD DSDJDGRV GLFKRV GLVSRVLWL
YRVFXDQGR HVWpQ FHUFD GHO VLVWHPD

*( 0(',&$/ 6<67(06
5(9 

/2*,4a 6(59,&( 0$18$/



 &ODVVLILFDWLRQ
7\SH RI SURWHFWLRQ DJDLQVW HOHFWULF VKRFN

&ODVV , (48,30(17 

'HJUHH RI SURWHFWLRQ DJDLQVW HOHFWULF VKRFN

7\SH %) (48,30(17 



&ODVV , (48,30(17
(48,30(17 LQ ZKLFK SURWHFWLRQ DJDLQVW HOHFWULF VKRFN GRHV QRW UHO\ RQ %$6,& ,168/$7,21 RQO\ EXW ZKLFK
LQFOXGHV DQ DGGLWLRQDO VDIHW\ SUHFDXWLRQ LQ WKDW PHDQV DUH SURYLGHG IRU WKH FRQQHFWLRQ RI WKH (48,30(17 WR WKH
SURWHFWLYH HDUWK FRQGXFWRU LQ WKH IL[HG ZLULQJ RI WKH LQVWDOODWLRQ LQ VXFK D ZD\ WKDW $&&(66,%/( 0(7$/ 3$576
FDQQRW EHFRPH /,9( LQ WKH HYHQW RI D IDLOXUH RI WKH %$6,& ,168/$7,21



7\SH %) (48,30(17
7\SH % (48,30(17 ZLWK D )7<3( LVRODWHG DSSOLHG SDUW SURYLGLQJ D GHJUHH RI SURWHFWLRQ DJDLQVW HOHFWULF VKRFN
WR VXFK D GHJUHH WKDW WKH DOORZDEOH 3$7,(17 /($.$*( &855(17 XQGHU 6,1*/( )$8/7 &21',7,216 LV QRW
H[FHHGHG ZKHQ  WLPHV WKH KLJKHVW UDWHG 0$,16 92/7$*( LV DSSOLHG EHWZHHQ WKH $33/,(' 3$57 DQG HDUWK



*( 0(',&$/ 6<67(06

/2*,4a 6(59,&( 0$18$/

5(9 



 (0& (OHFWURPDJQHWLF &RPSDWLELOLW\

 (0& 3HUIRUPDQFH
$OO W\SHV RI HOHFWURQLF HTXLSPHQW PD\ FKDUDFWHULVWLFDOO\ FDXVH HOHFWURPDJQHWLF LQWHUIHUHQFH ZLWK RWKHU HTXLSPHQW HL
WKHU WKURXJK DLU RU FRQQHFWLQJ FDEOHV 7KH WHUP (0& (OHFWURPDJQHWLF &RPSDWLELOLW\ LQGLFDWHV FDSDELOLW\ RI WKH HTXLS
PHQW ZKLFK FXUEV HOHFWURPDJQHWLF LQIOXHQFH IURP RWKHU HTXLSPHQW DQG DW WKH VDPH WLPH GRHV QRW DIIHFW RWKHU HTXLS
PHQW ZLWK VLPLODU HOHFWURPDJQHWLF UDGLDWLRQ IURP LWVHOI
7KLV SURGXFW LV GHVLJQHG WR IXOO\ FRPSO\ ZLWK WKH (1 ,(& LQ 0HGLFDO HOHFWULFDO HTXLSPHQW (0&
UHJXODWLRQV
3URSHU LQVWDOODWLRQ IROORZLQJ WKLV VHUYLFH PDQXDO LV UHTXLUHG LQ RUGHU WR DFKLHYH WKH IXOO (0& SHUIRUPDQFH RI WKH SURG
XFW
7KH SURGXFW PXVW EH LQVWDOOHG DV VWLSXODWHG LQ  1RWLFH XSRQ ,QVWDOODWLRQ RI 3URGXFW
,Q FDVH RI LVVXHV UHODWHG WR (0& SOHDVH IROORZ SURFHGXUHV VWDWHG LQ  &RXQWHUPHDVXUHV DJDLQVW (0&UHODWHG
,VVXHV
 1RWLFH XSRQ ,QVWDOODWLRQ RI 3URGXFW


8VH HLWKHU SRZHU VXSSO\ FRUGV SURYLGHG E\ *(06 RU RQHV DSSURYHG E\ *(06 3URGXFWV HTXLSSHG ZLWK SRZHU
VRXUFH SOXJ VKRXOG EH SOXJJHG LQWR WKH IL[HG SRZHU VRFNHW ZKLFK KDV WKH SURWHFWLYH JURXQGLQJ FRQGXFWRU



&RQQHFW D WKUHHSLQ SOXJ WR D WKUHHSLQ VRFNHW ZLWKRXW XVLQJ D WKUHHSLQWRWZRSLQ FRQYHUWHU



.HHS WKH HTXLSPHQW DV IDU DV SRVVLEOH IURP RWKHU HOHFWURQLF HTXLSPHQW



%H VXUH WR XVH WKH RQO\ FDEOHV SURYLGHG E\ *(06 RU RQHV DSSURYHG E\ :LSUR *( ,QVWDOO WKH XQLWSHULSKHUDOV DV
SHU WKH LQVWDOODWLRQ SURFHGXUH SURYLGHG LQ &KDSWHU  ,167$//$7,21



7KH OD\RXW RI WKH /2*,4a RWKHU SHULSKHUDOV VKRXOG EH DV SHU LQVWDOODWLRQ SURFHGXUHV GHVFULEHG LQ &KDSWHU
 ,167$//$7,21

 *HQHUDO 1RWLFH



'HVLJQDWLRQ RI 3HULSKHUDO (TXLSPHQW &RQQHFWDEOH WR WKLV 3URGXFW 7KH SHULSKHUDO ZKLFK FRQIRUPV WR
(1 ,(& FDQ EH FRQQHFWHG XS WR WKH /2*,4a ZLWKRXW FRPSURPLVLQJ LWV (0& SHUIRU
PDQFH
)DLOXUH WR FRPSO\ ZLWK WKH DERYH LQVWUXFWLRQ PD\ UHVXOW LQ SRRU (0& SHUIRUPDQFH RI WKH SURGXFW



1RWLFH DJDLQVW 8VHU 0RGLILFDWLRQ

'R QRW PRGLI\ WKLV SURGXFW 8QLODWHUDO XVHU PRGLILFDWLRQ PD\ FDXVH GHJUDGDWLRQ LQ (0& SHUIRUPDQFH 0RGLILFDWLRQ
RI WKH SURGXFW LQFOXGHV
D &KDQJHV LQ FDEOHV OHQJWK PDWHULDO ZLULQJ HWF
E &KDQJHV LQ V\VWHP LQVWDOODWLRQOD\RXW
F &KDQJHV LQ V\VWHP FRQILJXUDWLRQFRPSRQHQWV
G &KDQJHV LQ PHDQV RI IL[LQJ V\VWHPSDUWV FRYHU RSHQFORVH FRYHU VFUHZLQJ



*( 0(',&$/ 6<67(06
5(9 


/2*,4a 6(59,&( 0$18$/



2SHUDWH WKH V\VWHP ZLWK DOO FRYHUV FORVHG ,I \RX RSHQ DQ\ FRYHU IRU VRPH UHDVRQ EH VXUH WR VKXW LW EHIRUH VWDUWLQJ
UHVXPLQJ RSHUDWLRQ

2SHUDWLQJ WKH V\VWHP ZLWK DQ\ FRYHU RSHQ PD\ DIIHFW (0& SHUIRUPDQFH
 &RXQWHUPHDVXUHV DJDLQVW (0&UHODWHG ,VVXHV
*HQHUDOO\ LW LV YHU\ GLIILFXOW WR KDQGOH ZLWK LVVXHV UHODWHG WR (0& ,W LV WLPH FRQVXPLQJ DQG H[SHQVLYH *HQHUDO FRXQWHU
PHDVXUHV IRU (OHFWURPDJQHWLF LQWHUIHUHQFH ZLWK RWKHU HTXLSPHQW


(OHFWURPDJQHWLF LQWHUIHUHQFH PD\ EH UHGXFHG E\ SRVLWLRQLQJ RWKHU HTXLSPHQW IDU DZD\ IURP WKH V\VWHP



(OHFWURPDJQHWLF LQWHUIHUHQFH PD\ EH UHGXFHG E\ FKDQJLQJ WKH UHODWLYH ORFDWLRQ LQVWDOODWLRQ DQJOH RI WKH V\VWHP
DQG RWKHU HTXLSPHQW



(OHFWURPDJQHWLF LQWHUIHUHQFH PD\ EH UHGXFHG E\ FKDQJLQJ ZLULQJ ORFDWLRQV RI SRZHUVLJQDO FDEOHV RI RWKHU HTXLS
PHQW



(OHFWURPDJQHWLF LQIOXHQFH PD\ EH UHGXFHG E\ DOWHULQJ WKH SDWK RI SRZHU VXSSO\ IRU RWKHU HTXLSPHQW

 1RWLFH RQ 6HUYLFH

(QVXUH DOO VFUHZV DUH WLJKW DIWHU VHUYLFLQJ /RRVH VFUHZV PD\ FDXVH GHJUDGDWLRQ LQ (0& SHUIRUPDQFH

&$87,21
'R QRW XVH WKH IROORZLQJ GHYLFHV QHDU WKH /2*,4 a V\VWHP 'HYLFHV ZKLFK LQWULQVLFDOO\ WUDQVPLW UDGLR
ZDYHV VXFK DV FHOOXODU SKRQH UDGLR WUDQVFHLYHU PRELOH UDGLR WUDQVPLWWHU UDGLRFRQWUROOHG WR\ HWF 8VH RI
WKHVH GHYLFHV FRXOG FDXVH WKH /2*,4 a V\VWHP WR SHUIRUP RXWVLGH WKH SXEOLVKHG VSHFLILFDWLRQV .HHS
SRZHU WR WKHVH GHYLFHV WXUQHG 2)) ZKHQ QHDU WKH V\VWHP
0HGLFDO VWDII LQ FKDUJH RI WKH /2*,4 a V\VWHP LV UHTXLUHG WR LQVWUXFW WHFKQLFLDQV SDWLHQWV DQG RWKHU
SHRSOH ZKR PD\ EH DURXQG WKH V\VWHP WR IXOO\ FRPSO\ ZLWK WKH DERYH UHJXODWLRQ



*( 0(',&$/ 6<67(06

/2*,4a 6(59,&( 0$18$/

5(9 



 &217$&7 $''5(66(6

7KLV V\VWHP LV QRW UHSDLUDEOH E\ WKH FXVWRPHU ,I WKLV HTXLSPHQW GRHV QRW ZRUN DV LQGLFDWHG LQ WKH 2SHUDWRUV 0DQXDO
SOHDVH FRQWDFW \RXU VHUYLFH VXSSRUW FHQWHU ,I WKH VHUYLFH HQJLQHHU QHHGV DGGLWLRQDO LQIRUPDWLRQ WR UHSDLU WKLV HTXLS
PHQW SOHDVH FRQWDFW DQ\ UHOHYDQW DGGUHVVHV JLYHQ EHORZ

$0(5,&$6

*( 0HGLFDO 6\VWHPV $PHULFD

8OWUDVRXQG %XVLQHVV *URXS
 : (OHFWULF $YH 0LOZDXNHH :, 
86$
2Q/LQH &HQWHU 2/&
7HO  RU  
)D[  
&$1$'$
3KRQH   
/$7,1 6287+ $0(5,&$
3KRQH   

(8523(

*( 8OWUDVVFKDOO 'HXWVFKODQG *PE+ &R .*

%HHWKRYHQVWUDEH 3RVWIDFK    ' 6ROLQJHQ
*(50$1<
7HO 2/&(XURSH 7ROO )UHH 1XPEHUV
RU
5DGLRORJ\ +RWOLQH    
&DUGLRORJ\ +RWOLQH    
)D[    

$6,$

*( <RNRJDZD 0HGLFDO 6\VWHPV

2Q/LQH &HQWHU 2/& $VLD
8OWUDVRXQG *URXS
 7DNDNXUDFKR +DFKLRMLVKL7RN\R 
-$3$1
7HO  
)D[   
,1',$
:LSUR *( 0HGLFDO 6\VWHPV /WG
8OWUDVRXQG 6HUYLFH (QJLQHHULQJ
1R  .DGXJRGL 3ODQWDWLRQ ,QGXVWULDO $UHD
6DGDUDPDQJDOD
%DQJDORUH   
3KRQH     )D[    



/2*,4a 6(59,&( 0$18$/

*( 0(',&$/ 6<67(06



5(9 
 35(,167$//$7,21
 2YHUYLHZ

7KLV VHFWLRQ GHVFULEHV YDULRXV JHQHUDO HOHFWULFDO RSHUDWLRQDO DQG HQYLURQPHQWDO FRQVLGHUDWLRQV WKDW PXVW EH FRQVLG
HUHG EHIRUH LQVWDOOLQJ WKH /2*,4a 6\VWHP
$OO QHFHVVDU\ LPDJLQJ IXQFWLRQV DUH SHUIRUPHG E\ WKLV FRQVROH DQG LWV WUDQVGXFHUV 7KH FRQVROH IURQW SDQHO FRQWDLQV
RSHUDWRU FRQWUROV IRU RSWLPL]LQJ WKH LPDJH DQG D NH\ERDUG IRU HQWHULQJ GDWD RQWR WKH LPDJH 6HOHFWHG NH\ /('V LOOXPL
QDWH ZKHQ WKHLU UHVSHFWLYH NH\ LV SUHVVHG 8QDFFHSWDEOH NH\ERDUG HQWULHV WULJJHU D EHHSHU DODUP ,Q DGGLWLRQ D
JUDSKLFV FRQWUROOHU FHQWUDO SURFHVVLQJ XQLW DXWRPDWLFDOO\ VXSHULPSRVHV FHUWDLQ PDFKLQH SDUDPHWHUV RYHU WKH HGJHV RI
WKH LPDJH

&$87,21
,W LV VWURQJO\ UHFRPPHQGHG WKDW WKH HTXLSPHQW VKRXOG EH LQVWDOOHG RQ DQ HYHQ KDUG VXUIDFH WR
SURYLGH SURSHU FRROLQJ DV WKH YHQWV IRU DLU FLUFXODWLRQ DUH RQ WKH ERWWRP FRYHU
 3RZHU /LQH 5HTXLUHPHQWV
7KH IROORZLQJ SRZHU OLQH SDUDPHWHUV VKRXOG EH PRQLWRUHG RQH ZHHN EHIRUH LQVWDOODWLRQ :H UHFRPPHQG WKDW D 'UDQWH]
0RGHO  3RZHU /LQH PRQLWRU ZLWK RSWLRQV  WR EH XVHG
3$5$0(7(5

/,0,76

9ROWDJH 5DQJH

 86$ -DSDQ
 (XURSH

  9DF   9DF

  9DF   9DF

3RZHU

 86$ -DSDQ
 (XURSH

 0$; 9$
 0$;  9$

/LQH )UHTXHQF\

 $OO DSSOLFDWLRQV

 +] +]

3RZHU 7UDQVLHQWV

 /HVV WKDQ   RI QRPLQDO SHDN YROWDJH IRU OHVV WKDQ  PLOOLVHFRQG IRU DQ\ W\SH RI
WUDQVLHQW LQFOXGLQJ OLQH IUHTXHQF\ V\QFKURQRXV DV\QFKURQRXV RU DSHULRGLF
WUDQVLHQWV

'HFD\LQJ 2VFLOODWLRQ  /HVV WKDQ   RI SHDN YROWDJH IRU OHVV WKDQ  PLOOLVHFRQG



*( 0(',&$/ 6<67(06

/2*,4a 6(59,&( 0$18$/



5(9 
 3K\VLFDO 6SHFLILFDWLRQV

7KH /2*,4a 6\VWHP ZHLJKV DSSUR[LPDWHO\  .JV ZLWKRXW SUREH 5HIHU 3DJH  IRU 6\VWHP 'LPHQVLRQV
2SHUDWLQJ &RQGLWLRQV
7KH XQLW LV GHVLJQHG WR RSHUDWH DW D WHPSHUDWXUH UDQJH RI E&  E& E)  E) DQG DW D UHODWLYH KXPLGLW\ RI
 WR  QRQ FRQGHQVLQJ
3DWLHQW &RPIRUW
'HVSLWH SHUPLVVLEOH RSHUDWLQJ WHPSHUDWXUH DQG KXPLGLW\ WROHUDQFHV ZH UHFRPPHQG WKDW DPELHQW URRP WHPSHUDWXUH
EH PDLQWDLQHG EHWZHHQ  WR  GHJUHHV &  WR  GHJUHHV ) +XPLGLW\ VKRXOG EH PDLQWDLQHG EHWZHHQ  DQG
 IRU SDWLHQW FRPIRUW GXULQJ XOWUDVRXQG VFDQQLQJ
(OHFWURPDJQHWLF ,QWHUIHUHQFH (0,
8OWUDVRXQG PDFKLQHV DUH VXVFHSWLEOH WR LQWHUIHUHQFH IURP WKH UDGLR IUHTXHQFLHV PDJQHWLF ILHOGV DQG WUDQVLHQWV LQ WKH
DLU RU SRZHU OHDGV (OHFWULFDO DQG HOHFWURQLF HTXLSPHQW PD\ SURGXFH (0, DLU RU SRZHU OHDGV 3RVVLEOH (0, VRXUFHV
VKRXOG EH LGHQWLILHG (OHFWULFDO DQG HOHFWURQLF HTXLSPHQW PD\ SURGXFH (0, XQLQWHQWLRQDOO\ DV WKH UHVXOW RI D PDOIXQF
WLRQ 7KHVH VRXUFHV LQFOXGH PHGLFDO ODVHUV FDXWHUL]LQJ JXQV FRPSXWHUV PRQLWRUV IDQV JHO ZDUPHUV PLFURZDYH
RYHQV DQG FHOOXODU SKRQHV 7KH SUHVHQFH RI D EURDGFDVW VWDWLRQ RU YDQ PD\ DOVR FDXVH LQWHUIHUHQFH
&DUHIXOO\ UHDG WKH IROORZLQJ SUHFDXWLRQV EHIRUH LQVWDOOLQJ WKH XQLW


&RQQHFW WKH SRZHU SOXJ RI WKH HTXLSPHQW LQWR WKH IL[HG RXWOHW ZLWK JURXQG ZLUH



6HFXUHO\ FRQQHFW DQ\ HTXLSPHQW ZLWK SHUPDQHQW JURXQG FRQQHFWLRQ WR WKH HDUWK JURXQG IXUQLVKHG LQ WKH EXLOGLQJ



,QVWDOO WKH XQLW DV IDU DZD\ DV SRVVLEOH IURP DQ\ HOHFWULFDO RU HOHFWURQLF HTXLSPHQW

,I DQ\ (0, WURXEOHV DUH NQRZQ RU VXVSHFWHG WR EH SUHVHQW WU\ WR GHDO ZLWK WKH HTXLSPHQW VXVSHFWHG WR KDYH LQIOXHQFH
RQ WKH 8OWUDVRXQG PDFKLQH DV IROORZV


0RYH WKH XOWUDVRXQG PDFKLQH DV IDU IURP WKH HTXLSPHQW DV SRVVLEOH



&KDQJH WKH DUUDQJHPHQW RI WKH HTXLSPHQW LQ WKH URRP



3OXJ WKH HTXLSPHQW LQWR DQRWKHU SRZHU RXWOHW



0RYH WKH SRZHU FDEOH RU VLJQDO FDEOH FRQQHFWHG ZLWK WKH HTXLSPHQW

5HWLJKWHQ VFUHZV IRU WKH 8OWUDVRXQG PDFKLQH DIWHU UHDVVHPEOLQJ IRU VHUYLFH RSHUDWLRQ



/2*,4a 6(59,&( 0$18$/

*( 0(',&$/ 6<67(06



5(9 
 ,167$//$7,21
 2YHUYLHZ

7KLV VHFWLRQ FRQWDLQV SURFHGXUHV UHTXLUHG WR LQVWDOO WKH /2*,4a 6\VWHP 7KH )XQFWLRQDO &KHFNV FKDSWHU
FRQWDLQV FKHFNV UHTXLUHG WR FRPSOHWH WKH LQVWDOODWLRQ 8VH WKH FKHFNOLVW LQ 7$%/(  WR FKHFN HDFK LQVWDOODWLRQ VWHS
 $YHUDJH ,QVWDOODWLRQ 7LPH
7KH /2*,4a KDV EHHQ GHVLJQHG WR EH LQVWDOOHG LQ DSSUR[LPDWHO\ RQH KRXU

&$87,21
,W LV VWURQJO\ UHFRPPHQGHG WKDW WKH HTXLSPHQW VKRXOG EH LQVWDOOHG RQ DQ HYHQ DQG KDUG VXUIDFH WR
SURYLGH SURSHU FRROLQJ DV WKH YHQWV IRU DLU FLUFXODWLRQ DUH RQ WKH ERWWRP FRYHU
&KHFNOLVW )RU ,QVWDOODWLRQ
7$%/(  

,167$//$7,21 &+(&. /,67

3URFHGXUHV

3DUDJUDSK

2EVHUYH :DUQLQJV

,QLWLDOV

3DJH 

8QSDFN /2*,4a 6\VWHP



$VVHPEOH /2*,4a 6\VWHP



3HUIRUP (OHFWULFDO 6DIHW\ 7HVWV

6HH &KDSWHU 

3HUIRUP )XQFWLRQDO &KHFNV

6HH &KDSWHU 

 &KHFNLQJ WKH FRPSRQHQWV

:KHQ D QHZ V\VWHP DUULYHV FKHFN WKDW FRPSRQHQWV DUH QRW GDPDJHG DQG DUH QRW VKRUW VKLSSHG ,I VKLSSLQJ RU VKRUW
DJH RFFXUV FRQWDFW WKH DGGUHVVHV JLYHQ LQ &KDSWHU 



*( 0(',&$/ 6<67(06

/2*,4a 6(59,&( 0$18$/



5(9 

:$51,1*


7R SUHYHQW HOHFWULF VKRFN WKH /2*,4a VKRXOG EH FRQQHFWHG WR D SURSHUO\ JURXQGHG SRZHU VRFNHW 'R QRW
XVH D WKUHH SLQ WR WZR SLQ DGDSWHU 7KLV GHIHDWV VDIHW\ JURXQGLQJ



7KLV V\VWHP KDV QR RSHUDWRU VHUYLFHDEOH FRPSRQHQWV 7R SUHYHQW VKRFN GR QRW UHPRYH DQ\ FRYHUV RU SDQHOV
6KRXOG SUREOHPV RU PDOIXQFWLRQV RFFXU XQSOXJ WKH SRZHU FRUG 2QO\ 6HUYLFH SHUVRQQHO VKRXOG FDUU\ RXW VHUYLF
LQJ DQG WURXEOH VKRRWLQJ



.HHS WKH YHQW RQ WKH UHDU SDQHO RSHQ



'R QRW GDPDJH WKH UXEEHU OHQV RI WKH SUREH ,I GDPDJHG GR QRW XVH LW



7KRXJK WKH XOWUDVRXQG HQHUJ\ ZKLFK LV WUDQVPLWWHG IURP WKH /2*,4a SUREH LV ZLWKLQ $,801(0$ VWDQ
GDUGV XQQHFHVVDU\ H[SRVXUH WR XOWUDVRXQG HQHUJ\ VKRXOG EH DYRLGHG



/2*,4a 6(59,&( 0$18$/

*( 0(',&$/ 6<67(06



5(9 
 8QSDFNLQJ /2*,4a 


&XW WKH WZR VWUDSV ZUDSSHG DURXQG WKH ER[ 5HIHU ,//8675$7,21  



5HPRYH WKH DGKHVLYH WDSH 5HIHU ,//8675$7,21  



2SHQ WKH FDUWRQ IODSV 5HIHU ,//8675$7,21  



5HPRYH WKH 2SHUDWRU 0DQXDO 6HUYLFH 0DQXDO *HO %RWWOH 3RZHU &RUG DQG RWKHU DFFHVVRULHV NHSW RQ HLWKHU
VLGH RI WKH HTXLSPHQW 5HIHU ,//8675$7,21  



/LIW WKH V\VWHP ZUDSSHG ZLWK VWUHWFK ILOP RXW RI WKH ER[ DORQJ ZLWK WKH SDFNDJLQJ EXIIHUV 5HIHU
,//8675$7,21  



6OLGH WKH SDFNDJLQJ EXIIHUV RXW WR IUHH WKH V\VWHP



5HPRYH WKH VWUHWFK ILOP ZKLFK LV ZUDSSHG DURXQG WKH V\VWHP 5HIHU ,//8675$7,21  

6WUDSV
$GKHVLYH 7DSH

813$&.,1* /2*,4a
,//8675$7,21  



*( 0(',&$/ 6<67(06

/2*,4a 6(59,&( 0$18$/



5(9 
 8QSDFNLQJ /2*,4a  &RQWLQXHG

3DFNDJLQJ %XIIHUV
&DUWRQ )ODSV

3DFNDJLQJ %XIIHUV

6WUHWFK )LOP

813$&.,1* /2*,4a
,//8675$7,21  

1RWH
7KH 6HUYLFH 0DQXDO 2SHUDWRU 0DQXDO *HO %RWWOH DQG 3RZHU &RUG DUH ZUDSSHG LQ EXEEOH VKHHW DQG
DUH NHSW DOORQJ WKH VLGHV RI WKH FRUURJDWHG FDUWRQ ER[ 5HIHU ,OOXVWUDWLRQ EHORZ IRU GHWDLOV

2SHUDWRU 0DQXDO

*HO %RWWOH
6HUYLFH 0DQXDO
3RZHU &RUG

813$&.,1* /2*,4a
,//8675$7,21  



/2*,4a 6(59,&( 0$18$/

*( 0(',&$/ 6<67(06



5(9 
 $VVHPEOLQJ 7KH /2*,4a  6\VWHP

&$87,21
,W LV VWURQJO\ UHFRPPHQGHG WKDW WKH HTXLSPHQW VKRXOG EH LQVWDOOHG RQ DQ HYHQ DQG KDUG VXUIDFH WR
SURYLGH SURSHU FRROLQJ DV WKH YHQWV IRU DLU FLUFXODWLRQ DUH RQ WKH ERWWRP FRYHU
,QVWDOODWLRQ RI WKH 6\VWHP


/RFDWH UHPRYH DQG XQSDFN WKH SUREHV ORFDWHG LQ WKH VHSDUDWH FRQWDLQHU



0DNH VXUH WKDW V\VWHP SRZHU LV 2)) EHIRUH FRQQHFWLQJ RU GLVFRQQHFWLQJ WKH SUREH



6HFXUH WKH SUREH WR WKH UHFHSWDFOH DV IROORZV 

D (QVXUH SUREH WZLVW ORFN OHYHU SRLQWV WRZDUGV WKH  RFORFN SRVLWLRQ
E ,QVWDOO SUREH FRQQHFWRU RQ WKH UHFHSWDFOH JXLGH SLQ XQWLO LW WRXFKHV WKH UHFHSWDFOH PDWLQJ VXUIDFH
F 7ZLVW WKH SUREH FRQQHFWRU WZLVW ORFN OHYHU WR WKH  RFORFN SRVLWLRQ WR ORFN LW LQ SODFH 7ZLVW WKH OHYHU WR WKH 
RFORFN SRVLWLRQ WR GLVFRQQHFW WKH SUREH



&RQQHFW WKH /2*,4a  3RZHU FDEOHV IHPDOH SDUW WR WKH SRZHU FRQQHFWRU ORFDWHG RQ WKH UHDU SDQHO DQG WKH
PDOH SDUW WR D KRVSLWDO JUDGH SRZHU VRFNHW RI D SURSHU YROWDJH 1HYHU XVH D WKUHHWRWZR SLQ DGDSWHU WKLV
GHIHDWV WKH SXUSRVH RI VDIHW\ JURXQG



8QORFN WKH NH\ERDUG E\ SUHVVLQJ WKH ORFN UHOHDVH RQ WRS RI WKH V\VWHP

&$87,21
'R QRW PRYH RU OLIW WKH XQLW KROGLQJ WKH NH\ERDUG DORQH



*( 0(',&$/ 6<67(06

/2*,4a 6(59,&( 0$18$/



5(9 
 $VVHPEOLQJ 7KH /2*,4a  6\VWHP &RQWLQXHG

7UDQVGXFHU

5HDU 3DQHO IRU 9

3RZHU &RUG
5HDU 3DQHO IRU 9

3DUDOOHO 3RUW

$66(0%/,1* /2*,4 a 6<67(0

,//8675$7,21  



/2*,4a 6(59,&( 0$18$/

*( 0(',&$/ 6<67(06



5(9 

 ,QVWDOODWLRQ RI /2*,4 a WR 3& ,PDJH 7UDQVIHU 6RIWZDUH 7KLV LV DQ 2SWLRQ IRU $PHULFDV
7KH LPDJH WUDQVIHU VRIWZDUH FDQ EH XVHG WR GRZQORDG LPDJHV IURP WKH /$ WR WKH 3& YLD WKH SDUDOOHO SRUW FDEOH
SURYLGHG DV D VWDQGDUG DFFHVVRU\ ,W FDQ DOVR EH XVHG WR UHWULHYH YLHZ LPDJHV DOUHDG\ VWRUHG LQ WKH 3&
1RWH )RU PRUH GHWDLOV RQ WKH DSSOLFDWLRQ RI WKH ,PDJH 7UDQVIHU 6RIWZDUH SOHDVH UHIHU WR WKH 2SHUDWRU

PDQXDO

3UHUHTXLVLWHV
+DUGZDUH 6RIWZDUH UHTXLUHPHQWV
+DUGZDUH


$Q\ 3& PHHWLQJ WKH ,(&  VWDQGUDG ZLWK D PLQLPXP RI 0% 5$0



/$ 9HUVLRQ /$ 03



,PDJH 7UDQVIHU &DEOH   IRU $PHULFDV XVH ,VRODWHG ,PDJH 7UDQVIHU FDEOH

6RIWZDUH


:LQGRZV  2SHUDWLQJ 6\VWHP 06 3DLQW ,QVWDOOHG



 )ORSS\ 'LVNV  6XSSOLHG E\ *( 0HGLFDO 6\VWHPV

3& 6HWWLQJV
7KH SDUDOOHO SRUW RI WKH 3& VKRXOG EH FRQILJXUHG LQ WKH (33(&3%L GLUHFWLRQDO PRGH 7KLV DFHQ EH GRQH E\ HQWHULQJ
LQWR WKH &026 VHWWLQJ RI WKH 3& ,I UHTXLUHG IRU PRUH GHWDLOV FRQWDFW \RXU ORFDO 3& VXSSOLHU



*( 0(',&$/ 6<67(06

/2*,4a 6(59,&( 0$18$/



5(9 
,QVWDOODWLRQ
6RIWZDUH ,QVWDOODWLRQ


%HIRUH VWDUWLQJ WR LQVWDOO WKH ,PDJH 7UDQVIHU VRIWZDUH FORVH DOO DSSOLFDWLRQV



,QVHUW 'LVN DQG FOLFN 6WDUW DQG WKHQ FOLFN 5XQ DV VKRZQ EHORZ



1RZ W\SH $?6HWXSH[H DV VKRZQ EHORZ DQG FOLFN 2.



/2*,4a 6(59,&( 0$18$/

*( 0(',&$/ 6<67(06



5(9 


6HWXS ZLOO FRS\ WKH ILOHV IURP 'LVN WR WKH 3& $IWHU FRPSOHWLRQ LW ZLOO DVN IRU 'LVN DV VKRZQ EHORZ 5HPRYH
'LVN DQG LQVHUW 'LVN DQG FOLFN 2. 1RZ 'LVN ILOHV ZLOO EH WUDQVIHUUHG WR WKH 3&



&OLFN 2. LI RWKHU DSSOLFDWLRQV DUH FORVHG HOVH FOLFN ([LW 6HWXS FORVH DOO SURJUDPV DQG JR WKURXJK VWHSV  WR 
DJDLQ

,PJBW[ 6HWXS



*( 0(',&$/ 6<67(06

/2*,4a 6(59,&( 0$18$/



5(9 


1H[W \RX ZLOO JHW WKH VWDUW RI LQVWDOODWLRQ VFUHHQ DV VKRZQ EHORZ &OLFN WKH LQVWDOODWLRQ ,FRQ WR VWDUW WKH LQVWDOODWLRQ
1RWH 7KH ,PDJH 7UDQVIHU ILOHV DUH LQVWDOOHG XQGHU &?3UDJUDP )LOHV?,PJBW[? ,Q FDVH WKH ,PDJH
7UDQVIHU ILOHV DUH WR EH LQVWDOOHG HOVHZKHUH WKHQ FOLFN &KDQJH 'LUHFWRU\ DQG VSHFLI\ WKH SDWK

,PJBW[ 6HWXS



/2*,4a 6(59,&( 0$18$/

*( 0(',&$/ 6<67(06



5(9 


1H[W \RX ZLOO JHW WKH IROORZLQJ VFUHHQ LQGLFDWLQJ WKH FRPSOHWLRQ RI WKH LQVWDOODWLRQ &OLFN 2. WR FRPH RXW RI WKH
LQVWDOODWLRQ VHWXS

,PJBW[ 6HWXS



&OLFN RQ WKH ,PJBW[ ,FRQ <RX PD\ JHW WKH IROORZLQJ PHVVDJH ZKLOH GRLQJ IRU WKH ILUVW WLPH &OLFN 2.



*( 0(',&$/ 6<67(06

/2*,4a 6(59,&( 0$18$/



5(9 


7KH VRIWZDUH LV IXOO\ LQVWDOOHG DQG UHDG\ WR XVH ZKHQ \RX JHW WKH IROORZLQJ VFUHHQ

([SORUH

+DUGZDUH ,QVWDOODWLRQ
&RQQHFW WKH /$03 WR WKH 3& WKURXJK WKH ,PDJH 7UDQVIHU &DEOH   SURYLGHG IRU $PHULFDV XVH ,VRODWHG
,PDJH WUDQVIHU FDEOH 7KLV FRPSOHWHV WKH WRWDO LQVWDOODWLRQ RI WKH ,PDJH 7UDQVIHU VRIWZDUH
1RWH 7R WUDQVIHU LPDJHV SOHDVH UHIHU WR WKH 2SHUDWRU PDQXDO



/2*,4a 6(59,&( 0$18$/

*( 0(',&$/ 6<67(06



5(9 
 ,QVWDOODWLRQ RI 2SWLRQDO $FFHVVRULHV


8QSDFN WKH IRRW VZLWFK DQG FRQQHFW LW WR WKH FRQQHFWRU RQ WKH UHDU SDQHO 5HIHU ,//8675$7,21  



&RQQHFW WKH 9&5 WR D VXLWDEOH SRZHU RXWOHW 8VLQJ WKH %1& WR %1& FDEOH FRQQHFW WKH 9LGHR 2XW RQ WKH UHDU SDQHO
RI /2*,4a WR WKH 9LGHR ,1 RI WKH 9&5



&RQQHFW WKH 9LGHR *UDSKLF 3ULQWHU 9*3 WR D VXLWDEOH SRZHU RXWOHW 8VLQJ WKH %1& WR %1& FDEOH FRQQHFW WKH
9LGHR 2XW RQ WKH UHDU SDQHO RI /2*,4a WR WKH 9LGHR ,1 RI WKH 9*3
1RWH
7KH /2*,4a KDV RQO\ RQH 9LGHR 2XW FRQQHFWLRQ 7KHUHIRUH HLWKHU D 9*3 RU D 9&5 RQO\ FDQ EH
FRQQHFWHG DW D WLPH

5HDU 3DQHO )RU 9 EHORZ


 9 $ PD[
IRU -DSDQ 2QO\

 9

 9 $  $

 $0D[

IRU UHVW

5HDU 3DQHO )RU 9



 9 $ PD[

 9

IRU -DSDQ 2QO\

 $0D[

 9 $  $

IRU UHVW

3DUDOOHO 3RUW

,167$//$7,21 2) $&&(6625,(6
,//8675$7,21  



*( 0(',&$/ 6<67(06

/2*,4a 6(59,&( 0$18$/



5(9 
 ,QVWDOODWLRQ RI 7ZR 3UREH 3RUW  /2*,4 a 200 3UREH $GDSWHU 2SWLRQDO


5HPRYH WKH DGKHVLYH WDSH WR RSHQ WKH IODSV RI WZR SUREH SRUW RU /2*,4 a  3UREH $GDSWHU ER[



5HPRYH WKH 38 )RDPV LQVLGH WKH WZR SUREH SRUW RU /2*,4 a  3UREH $GDSWHU ER[ UHIHU ,OOXVWUDWLRQ 



7DNH RXW WKH WZR SUREH SRUW RU /2*,4 a  3UREH $GDSWHU UHIHU ,OOXVWUDWLRQ 

38 )RDP

7ZR 3UREH SRUW

RU
/2*,4 a  3UREH $GDSWHU

%R[

8QSDFNLQJ 7ZR 3UREH 3RUW RU /2*,4 a  3UREH $GDSWH

,//8675$7,21  



/2*,4a 6(59,&( 0$18$/

*( 0(',&$/ 6<67(06



5(9 


,QVWDOODWLRQ RI 7ZR 3UREH 3RUW RU /2*,4 a  3UREH $GDSWHU 2SWLRQDO &RQWLQXHG
1RWH
7KH WZR SUREH SRUW RU /2*,4 a  3UREH $GDSWHU FDQ EH FRQQHFWHG WR RU GLVFRQQHFWHG IURP WKH
V\VWHP DW DQ\ WLPH UHJDUGOHVV RI ZKHWKHU WKH V\VWHP LV SRZHUHG 21 RU 2))



(QVXUH WKDW QR SUREH LV FRQQHFWHG WR WKH V\VWHP ,I FRQQHFWHG UHPRYH LW ILUVW

3UREH +ROGHU

7ZR 3UREH 3RUW RU

/2*,4 a  3UREH $GDSWHU ORFN

7ZR 3UREH 3RUW /RFN  RFORFN

8Q /RFNHG 3RVLWLRQ

+ROH RQ WKH XSSHU IODQJH

7ZR 3UREH SRUW
/2*,4 a  3UREH $GDSWHU
7ZR 3UREH 3RUW /RFN  RFORFN
/RFNHG 3RVLWLRQ

,QVWDOOLQJ 7ZR 3UREH 3RUW

,//8675$7,21  



5HPRYH WKH SUREH KROGHU E\ OLIWLQJ LW YHUWLFDOO\ XS



0DNH VXUH WKDW WKH WZR SUREH SRUW RU /2*,4 a  3UREH $GDSWHU ORFN SRLQWV WR WKH  RFORFN SRVLWLRQ



$OLJQ WKH 7ZR 3UREH 3RUW RU /2*,4 a  3UREH $GDSWHU &RQQHFWRU ZLWK WKH 6\VWHP 3UREH 3RUW DQG FDUHIXOO\
SXVK LW LQ



$OLJQ WKH VORWV RQ WKH XSSHU IODQJH WR LWV FRXQWHUSDUWV RQ WKH WRS FRYHU RI WKH V\VWHP



7XUQ WKH 7ZR 3UREH 3RUW RU /2*,4 a  /RFN WR WKH  RFORFN SRVLWLRQ WR VHFXUH WKH 7ZR 3UREH 3RUW RU
/2*,4 a  3UREH $GDSWHU WR WKH V\VWHP

 &DUHIXOO\ UHSODFH WKH SUREH KROGHU WR LWV SODFH DQG SUHVV ILUPO\ WLOO WKH SURMHFWLRQV DW WKH ERWWRP ILW LQWR

WKH VORWV LQ WKH XSSHU IODQJH DQG WKH V\VWHP

/2*,4 a 3UREH $GDSWHU LV RQO\ IRU /2*,4 a 03 9 DERYH



*( 0(',&$/ 6<67(06

/2*,4a 6(59,&( 0$18$/



5(9 
 ,QVWDOODWLRQ RI /2*,4a ZLWK *OREDO 7UROOH\ RU 0RGXODU 7UROOH\
1RWH

/2*,4

a KDV WZR W\SHV RI 7UROOH\V WKH *OREDO 7UROOH\ DQG WKH 0RGXODU 7UROOH\ 7KH *OREDO 7UROOH\ FRPHV LQ

WKH DVVHPEOHG IRUP DQG WKH 0RGXODU 7UROOH\ FRPHV LQ D PRGXODU IRUP ZKLFK QHHGV DVVHPEO\ DW ILHOG



8QSDFN WKH JOREDO WUROOH\ SDFNHG LQ D ZRRGHQ ER[ E\ RSHQLQJ WKH WRS FRYHU UHIHU ,OOXVWUDWLRQ  WUROOH\ ZKLFK LV
LQVLGH WKH ER[ LV VHHQ LQ WKH GLDJUDP

*OREDO 7UROOH\ 8QSDFN

,//8675$7,21  



/2*,4a 6(59,&( 0$18$/

*( 0(',&$/ 6<67(06



5(9 



,QVWDOODWLRQ RI /2*,4a ZLWK *OREDO 7UROOH\ RU 0RGXOODU 7UROOH\ FRQWLQXHG

8QSDFN WKH 0RGXODU 7UROOH\ SDFNHG LQ D ER[ E\ RSHQLQJ WKH WRS FRYHU UHIHU ,OOXVWUDWLRQ 

67(3 

5HPRYH WKH WRS IURP WKH ER[

XQZUDS WKH WRS DQG UHPRYH WKH 38
)RDP

67(3 
5HPRYH WKH EDVH IURP WKH ER[ 8QZUDS WKH
EDVH DQG UHPRYH WKH 38 IRDP RQ WKH FDVWRUV
DQG WKH ERWWRP

67(3 

5HPRYH WKH SRXFK FRQWDLQLQJ

3ULQWHU WUD\ *HO %RWWOH +ROGHU
5HPRYH LW IURP WKH 3RXFK DQG
XQZUDS WKH VWUHWFK ILOP RQ WKHP

67(3 

5HPRYH WKH IUDPH IURP WKH ER[ DQG

XQZUDS WKH VWUHWFK ILOP IURP WKH IUDPH

5HPRYH WKH VPDOO WKHUPRFRDO

IURP WKH JDS DW WKH UHDU VLGH RI
WKH ER[

67(3 

67(3 

5HPRYH WKH ELJ WKHUPRFRDO

IURP WKH JDS DW WKH 5+ VLGH RI
WKH ER[

0RGXODU 7UROOH\ 8QSDFN

,//8675$7,21  



*( 0(',&$/ 6<67(06

/2*,4a 6(59,&( 0$18$/



5(9 


,QVWDOODWLRQ RI /2*,4a ZLWK *OREDO 7UROOH\ RU 0RGXOODU 7UROOH\ FRQWLQXHG

0RGXOODU 7UROOH\ $VVHPEO\

,//8675$7,21  



/2*,4a 6(59,&( 0$18$/

*( 0(',&$/ 6<67(06



5(9 


,QVWDOODWLRQ RI /2*,4a ZLWK *OREDO 7UROOH\ RU 0RGXOODU 7UROOH\ FRQWLQXHG



5HPRYH WZR 0; VFUHZV IURP WKH EDVH RI /2*,4a DQG IL[ ORFN SODWH 5HIHU ,//8675$7,21 



3ODFH WKH XQLW ZLWK ORFN SODWH IL[HG RQ 7UROOH\ HQVXUH WKDW ORFN SODWH JHWV LQWR WKH SURMHFWLRQ RQ WKH WUROOH\ 5HIHU
,//8675$7,21 

/RFN 3ODWH
'HWDLO ;

'HWDLO ;

&RQVROH
7UROOH\
/RFN 3ODWH

$GGLWLRQDO 'HWDLOV
,QVWDOODWLRQ RI 7UROOH\
,//8675$7,21  



*( 0(',&$/ 6<67(06

/2*,4a 6(59,&( 0$18$/



5(9 


,QVWDOODWLRQ RI /2*,4a ZLWK *OREDO 7UROOH\ RU 0RGXOODU 7UROOH\ FRQWLQXHG



7DNH WKH EHOW SURYLGHG LQ WKH NLW RYHU WKH XQLW DQG ORFN LW 5HIHU ,//8675$7,21 



5HOHDVH WKH .H\ERDUG E\ SUHVVLQJ WKH ORFN UHOHDVH DQG PDNH LW UHVW RQ WKH KDQGOH 5HIHU ,//8675$7,21 



,QVHUW WKH 9*3 LQVLGH WKH 3ULQWHU 7UD\ DQG IL[ IURP WKH ERWWRP XVLQJ 0; VFUHZ 5HIHU ,//8675$7,21 

%HOW ZLWK /RFN

3URMHFWLRQ

+DQGOH
9*3

9*3 7UD\ 

(QVXUH WKDW  LV XVHG
WR WDNH FDUH RI ILWPHQW SUREOHP RI
9*3V 
5HIHU 69 1RWH 61 /$
$OO WKH 1HZ 7UROOH\V HIIHFWLYH
6HSWHPEHU  LV VXSSOLHG
ZLWK PRGLILHG )58 

,QVWDOOWLRQ RI 7UROOH\
,//8675$7,21  



/2*,4a 6(59,&( 0$18$/

*( 0(',&$/ 6<67(06



5(9 


,QVWDOODWLRQ RI /2*,4a ZLWK *OREDO 7UROOH\ RU 0RGXOODU 7UROOH\ FRQWLQXHG

,QVWDOODWLRQ RI 7UROOH\
,//8675$7,21  



*( 0(',&$/ 6<67(06

/2*,4a 6(59,&( 0$18$/



5(9 
 $GMXVWPHQW RI 0RQLWRU &RQWUDVW $QG %ULJKWQHVV

7XUQ 21 WKH 0DFKLQH DQG WKHQ DGMXVW WKH PRQLWRU FRQWUDVW DQG EULJKWQHVV 0RQLWRU FRQWUDVW DQG EULJKWQHVV VKRXOG EH
DGMXVWHG DFFRUGLQJ WR WKH OLJKWLQJ LQ WKH URRP
 $GMXVWPHQW RI 6\VWHP &ORFN'DWH +RVSLWDO 1DPH $QG 2% 9HUVLRQ
3UHVV &75/6 (17(5 DQ ,QVWDOODWLRQ 6HWXS ZLQGRZ DSSHDUV 6HW WKH V\VWHP &ORFN'DWH +RVSLWDO 1DPH DQG
2% 9HUVLRQ 7KHVH VHWWLQJV FDQ EH PRGLILHG E\ XVLQJ WKH &21752/6 NH\ LI UHTXLUHG 5HIHU 6HFWLRQ &RQWURO .H\V
RI WKH 8VHU 0DQXDO IRU PRUH GHWDLOV

&$87,21
)XQFWLRQDO FKHFNV LQ &KDSWHU  WR EH FDUULHG RXW EHIRUH KDQGLQJ RYHU WKH V\VWHP WR WKH FXVWRPHU
 3URGXFW /RFDWRU &DUG
)LOO RXW SURSHU FXVWRPHU LQIRUPDWLRQ RQ WKH 3URGXFW /RFDWRU ,QVWDOODWLRQ &DUG 5HIHU WR ,OOXVWUDWLRQ EHORZ 0DLO WKLV
,QVWDOODWLRQ &DUG 3URGXFW /RFDWRU WR WKH DGGUHVV FRUUHVSRQGLQJ WR \RXU SROH
1RWH
7KH 3URGXFW /RFDWRU ,QVWDOODWLRQ &DUG VKRZQ LQ ,//8675$7,21  PD\ QRW EH VDPH DV WKH
3URGXFW /RFDWRU FDUG DFWXDOO\ SURYLGHG

0DLOLQJ
$GGUHVV

*( 0HGLFDO 6\VWHPV
3URGXFW /RFDWRU )LOH
32 %R[ 
0LOZDXNHH :,


'(6&5,37,21

)'$

$
6 35(3$5( )25 25'(56 7+$7 '2 127
8
,1 +$9( $ /2&$725 ,167$//$7,21 5(3257
'
(
7
1
,
5
3 6<67(0 ,' 180%(5
1
2
,7
$
//
$
76
,1

,167$//$7,21

02'(/

2&3

5(9

%6

25'

',6 &28175< 5220

6(5,$/ 12

'$7( 02 '$ <5

(03/2<(( 12

&86720(5 12

'(67,1$7,21 1$0( $1' $''5(66

=,3 &2'(

352'8&7 /2&$725 ,167$//$7,21 &$5'

,//8675$7,21  



*( 0(',&$/ 6<67(06

/2*,4a 6(59,&( 0$18$/

5(9 



 29(59,(:
7KLV FKDSWHU GHVFULEHV V\VWHP FRQILJXUDWLRQ DQG VSHFLILFDWLRQV

 ',0(16,216
 )URQW 9LHZ

:(,*+7   NJV

 OEV
127(
/(1*7+ PPLQFKHV
$%(55$7,21 

C
C


















8
<
<

 
 

)5217 9,(:
,//8675$7,21  



*( 0(',&$/ 6<67(06

/2*,4a 6(59,&( 0$18$/

5(9 



 6LGH YLHZ .H\ERDUG FORVHG

<

 

<

 

6,'( 9,(: .(<%2$5' &/26('

,//8675$7,21  



*( 0(',&$/ 6<67(06

/2*,4a 6(59,&( 0$18$/

5(9 



 6LGH YLHZ NH\ERDUG RSHQ










8
<

 

6,'( 9,(: .(<%2$5' 23(1

,//8675$7,21  



*( 0(',&$/ 6<67(06

/2*,4a 6(59,&( 0$18$/

5(9 



 (/(&75,&$/ 63(&,),&$7,216

(OHFWULFDO ZLULQJ MXQFWLRQ ER[HV RXWOHWV FLUFXLW EUHDNHUV DQG VZLWFKHV VKRXOG EH LQ SODFH EHIRUH LQVWDOOLQJ WKH
/2*,4a FRQVROH
 3RZHU 6XSSO\
5HIHU 3DJH  RI ,QVWDOODWLRQ IRU 3RZHU /LQH UHTXLUHPHQWV RI YDULRXV FRXQWULHV
 )DFLOLW\ 3RZHU 6RFNHW
$ VHSDUDWH SRZHU RXWOHW ZLWK D  DPS FLUFXLW EUHDNHU IRU  9$& LV UHFRPPHQGHG 7KH VSHFLILF SRZHU UHFHSWDFOH
XVHG GHSHQGV RQ WKH FRXQWU\V SRZHU OLQH VWDQGDUGV
7KLV UHFHSWDFOH VKRXOG KDYH ,QWHUQDWLRQDO (OHFWURWHFKQLFDO &RPPLVVLRQ ,(& DSSURYDO RU HTXLYDOHQW

 6725$*( $1' 23(5$7,21 5(48,5(0(176

7KH /2*,4a LV VKLSSHG LQ D VLQJOH FRQWDLQHU H[FOXGLQJ SUREHV 6KLSSLQJ ZHLJKW LV DSSUR[LPDWHO\  NJV
7$%/(  SURYLGHV D VXPPDU\ RI WHPSHUDWXUH DWPRVSKHULF SUHVVXUH DQG KXPLGLW\ WROHUDQFHV IRU VKLSSLQJ LQVWDO
ODWLRQ DQG RSHUDWLRQ

7$%/(  

6725$*( $1' 23(5$7,21 5(48,5(0(176

3DUDPHWHU
7HPSHUDWXUH 'HJ&
'HJ)
$WPRVSKHULF 3UHVVXUH K3D
+XPLGLW\ 
1RQFRQGHQVLQJ

6WRUDJH

2SHUDWLRQ

 WR 
 WR 


 WR 

 WR 

 WR 

 WR 

 WR 



*( 0(',&$/ 6<67(06

/2*,4a 6(59,&( 0$18$/

5(9 



 237,21$/ 3(5,3+(5$/6

/2*,4a SHULSKHUDOV DQG DFFHVVRULHV FDQ EH SURSHUO\ FRQQHFWHG XVLQJ WKH FRQQHFWRUV RQ WKH UHDU SDQHO RI WKH
/2*,4a V\VWHP
/RFDWHG RQ WKH SDQHO DUH YLGHR LQSXW RXWSXW FRQQHFWRUV IRRWVZLWFK FRQQHFWRU VKXWWHU FRQQHFWRU SRZHU FRQQHFWRU
FRQWURO FRQQHFWLRQV IRU 9LGHR *UDSKLF 3ULQWHU DQG 0,&
7KLV VHFWLRQ LQGLFDWHV SLQ DVVLJQPHQW IRU HDFK FRQQHFWRU
5HDU 3DQHO )RU 9

5HDU 3DQHO )RU 9



9

9

$0D[

$$0D[

 9
$ PD[ IRU
-DSDQ 2QO\
 9
$  $ IRU
UHVW

3DUDOOHO 3RUW

237,21$/ 3(5,3+(5$/6
,//8675$7,21  

3LQ $VVLJQPHQW IRU /LQH 3ULQWHU FDEOH )RU DOO V\VWHPV RI 9HUVLRQ  DQG EHORZ
&RQQHFWRU 0DOH '7\SH  3LQ RQ WKH UHDU SDQHO
1RWH
7KH  WR  SLQ FDEOH ZLWK ' W\SH FRQQHFWRUV WR EH XVHG IRU SULQWHU LQWHUIDFH VKDOO EH DV VKRZQ EHORZ

7$%/(  

 3LQ &RQYHUWHU &DEOH

 3LQ &RQQHFWRU

 3LQ &RQQHFWRU

3LQ  '&'

3LQ   576

3LQ   7;'

3LQ   5;'

3LQ   5;'

3LQ   7;'

3LQ   '75

3LQ   &76

3LQ   *1'

3LQ   *1'

3LQ   '65

3LQ   '75

3LQ   576

3LQ   &'

3LQ   &76

3LQ   '75

3LQ   1&

3LQ   5, 2SWLRQDO



' 7\SH &RQQHFWRU

*( 0(',&$/ 6<67(06

/2*,4a 6(59,&( 0$18$/

5(9 



3LQ $VVLJQPHQW IRU 3DUDOOHO 3RUW &RQQHFWRU 2QO\ IRU 9 DERYH

&RQQHFWRU )HPDOH '7\SH  3LQ RQ WKH UHDU SDQHO






3DUDOOHO 3RUW
7$%/(  

 SLQ FRQQHFWRU GHWDLOV

3LQ 1XPEHU

6LJQDO

3LQ

6752%(?:5,7(

3LQ 

'$7$ 

3LQ 

'$7$ 

3LQ 

'$7$ 

3LQ 

'$7$ 

3LQ 

'$7$ 

3LQ 

'$7$ 

3LQ 

'$7$ 

3LQ 

'$7$ 

3LQ 

$&.1/*

3LQ 

%XV\

3LQ 

3(

3LQ 

6/&7

3LQ 

1RW &RQQHFWHG

3LQ 

(5525

3LQ 

,1,7

3LQ 

6(/(&7,1

3LQ 

*1'

3LQ 

*1'

3LQ 

*1'

3LQ 

*1'

3LQ 

*1'

3LQ 

*1'

3LQ 

*1'

3LQ 

*1'



*( 0(',&$/ 6<67(06

/2*,4a 6(59,&( 0$18$/

5(9 



 )RRWVZLWFK &RQQHFWLRQ

7KH IRRWVZLWFK ZKLFK LV WKH UHPRWH )5((=( GHYLFH LV FRQQHFWHG WR WKH UHDU SDQHO RI WKH V\VWHP 7KLV 2SWLRQDO
)5((=( VZLWFK LV SURYLGHG WR HQKDQFH IOH[LELOLW\ WR IUHH]H LPDJHV ZKHQ WKH V\VWHP LV QRW ZLWKLQ UHDFK RI WKH XVHU
3LQ $VVLJQPHQW RI &RQQHFWRU IRU )RRWVZLWFK
&RQQHFWRU 5RXQG SLQ FRQQHFWRU

)RRWVZLWFK

3LQ 1R

6LJQDO

)2276:,7&+ 

*1'

*1'

*1'

*1'




 9LGHR *UDSKLF 3ULQWHU

&RQQHFW WKH 9LGHR *UDSKLF SULQWHUZLWK %1& WR %1& FDEOH 9LGHR ,1 WR WKH 9LGHR 287 ORF DWHG RQ WKH UHDU SDQHO RI WKH
V\VWHP DOVR HVWDEOLVK VKXWWHU ZLWK 0LQL -DFN FDEOH LI UHTXLUHG
0RGHO  6RQ\ 83 0'0'* IRU 99  +] $ &DWDORJXH 1R (.$
6RQ\ 83 &( IRU 99  +] $ &DWDORJXH 1R (6/

3LQ $VVLJQPHQW RI 0LQL -DFN &RQWUROOLQJ 9LGHR *UDSKLF 3ULQWHU

&RQQHFWRU 6WHUHR 0LQL -DFN

6WHUHR 0LQL -DFN

3LQ 1R

6LJQDO

6KXWWHU

6LJQDO *1'




3ULQWHU VWDUWV SULQWLQJ E\ UHFHLYLQJ ORZ SXOVHV IRU PRUH WKDQ [ PLQXWHV [ LV VHOHFWDEOH XVLQJ &21752/6 
,QVWDOODWLRQ 6HWXS FRPPDQG [ GHFLGHV H[SRVXUH WLPH
 9LGHR &DVVHWWH 5HFRUGHU
&RQQHFW WKH 9&5 6RQ\ 6920' +65 IRU 176& DQG 6RQ\ 692 0'3($$ IRU 3$/ 6\VWHP
WR WKH 9LGHR ,1 VRFNHW LQ WKH UHDU SDQHO 3UHVV WKH (;7 9,'(2 EXWWRQ RQ WKH NH\ERDUG WR HQDEOH DQ H[WHUQDO YLGHR
VLJQDO RQ WKH V\VWHP PRQLWRU



*( 0(',&$/ 6<67(06

/2*,4a 6(59,&( 0$18$/

5(9 



 3UREHV
7$%/(  

352%( '(7$,/6

3UREH
7\SH

3DUW 1R

&DWDORJ
1R

)UHT LQ 0+]

5DGLXV RI
&XUYDWXUH

)29

&



+&)



PP

E

&



+&(



PP

E

(



+07



PP

E

/



++3





PP

&



+&6



PP

E

7/659 +9(





PP

9(
&=%



+&=



PP

E

/%



+/%





PP

1RWH
&=% DQG /% SUREHV DUH VXSSRUWHG RQ YHUVLRQ  DERYH & DQG 9( SUREHV DUH VXSSRUWHG RQ
VRIWZDUH YHUVLRQ  DQG DERYH RQO\ & & ( DQG / DUH VXSSRUWHG LQ DOO VRIWZDUH YHUVLRQV

&$87,21
8VH RQO\ DSSURYHG SUREHV SHULSKHUDOV RU DFFHVVRULHV



*( 0(',&$/ 6<67(06

/2*,4a 6(59,&( 0$18$/

5(9 



 /2*,4a 03 9LGHR 6LJQDO 6SHFLILFDWLRQ

*HQHUDO
6/

3DUDPHWHU

176&

3$/

7RWDO 1XPEHU RI +RUL]RQWDO /LQHV

>)UDPH@

>)UDPH@

9HUWLFDO )LHOG )UHTXHQF\

>+]@

>+]@

+RUL]RQWDO 6FDQQLQJ )UHTXHQF\

>N+]@

>.+]@

9HUWLFDO 6FDQQLQJ 0HWKRG

,QWHUODFHG

,QWHUODFHG

6\QF ,QSXW

&RPSRVLWH

&RPSRVLWH

3L[HO &ORFN

>0+]@

>0+]@

'LVSOD\ ZLGWK DQG +HLJKW>SL[HO OLQH@

 ; 

 ; 

3DUDPHWHU

176&

3$/

7RWDO +/LQH 7LPH

>PLFUR VHF@

>PLFUR VHF@

+6\QF 3XOVH :LGWK

>PLFUR VHF@

>PLFUR VHF@

%DFN 3RUFK

>PLFUR VHF@

>PLFUR VHF@

7RWDO $FWLYH +OLQH WLPH

>PLFUR VHF@

>PLFUR VHF@

)URQW 3RUFK

>PLFUR VHF@

>PLFUR VHF@

9LGHR $PSOLWXGH EDFN SRUFK WR SHDN

9SS

9SS

6\QF $PSOLWXGH EDFN SRUFK WR SHDN

9SS

9SS

3DUDPHWHU

176&

3$/

7RWDO 9/LQH 7LPH

>+@

>+@

96\QF 3XOVH :LGWK

VW )LHOG >OLQHV@

VW )LHOG >OLQHV@

QG )LHOG >OLQHV@

QG )LHOG >OLQHV@

VW )LHOG >OLQHV@

VW )LHOG >OLQHV@

QG )LHOG >OLQHV@

QG )LHOG >OLQHV@

VW )LOHG >OLQHV@

VW )LOHG >OLQHV@

+RUL]RQWDO 7LPLQJ 9LGHR $PSOLWXGH

6/

9HUWLFDO 7LPLQJ
6/




9IURQW SRUFK





9%ODQNLQJ

QG )LHOG >OLQHV@ QG )LHOG >OLQHV@



*( 0(',&$/ 6<67(06

/2*,4a 6(59,&( 0$18$/



5(9 

 29(59,(:
7KLV VHFWLRQ SURYLGHV SURFHGXUHV IRU TXLFNO\ FKHFNLQJ PDMRU IXQFWLRQV RI WKH /2*,4a GLDJQRVWLFV E\ XVLQJ WKH
EXLOWLQ VHUYLFH VRIWZDUH DQG SRZHU VXSSO\ DGMXVWPHQWV )RU UHPDLQLQJ IXQFWLRQDO FKHFNV SOHDVH UHIHU WR WKH /2*,4
a 2SHUDWRUV 0DQXDO
 )81&7,21$/ &+(&. 352&('85(6
7R SHUIRUP WKHVH WHVWV \RX ZLOO QHHG D PLFURFRQYH[ OLQHDU RU D FRQYH[ SUREH 7KHVH SURFHGXUHV VKRXOG EH SHU
IRUPHG GXULQJ LQVWDOODWLRQ 7KHVH SURFHGXUHV DUH DOVR XVHG DV EDVLF FKHFNV WR XVH ZKHQ VHUYLFH RI WKH V\VWHP LV
UHTXLUHG
7XUQ 21 WKH /2*,4a  V\VWHP 7KH  /('6 ([WHUQDO 9LGHR DQG )UHH]H EOLQN DQG JR RII 7KH V\VWHP EHHSV
RQFH DQG UXQV D VHOI WHVW
7KH 0RQLWRU GLVSOD\V WKH IROORZLQJ 5HIHU ,//8675$7,21  RQ WKH QH[W SDJH


%0RGH ,PDJH DSSHDUV



*UD\ 6FDOH 'LVSOD\



+RUL]RQWDO 6FDOH 0DUNHU



9HUWLFDO 6FDOH 0DUNHU



+RVSLWDO 1DPH ,I SUHYLRXVO\ HQWHUHG



'DWH



7LPH



3UREH 7\SH



)RFXV 0DUNHU RQ YHUWLFDO VFDOH

 'HSWK PP

 *DLQ *
 '\QDPLF 5DQJH '
 1HDU *DLQ  2QO\ IRU 9 EHORZ 6\VWHPV
 )DU *DLQ  2QO\ IRU 9 EHORZ V\VWHPV

3RLQWV  IRUP D FRQWLQXRXV FRGH LQ WKH ORZHU OHIW KDQG FRUQHU RI WKH PRQLWRU DQG WKH\ DUH IDFWRU\ GHIDXOW YDOXHV



*( 0(',&$/ 6<67(06
5(9 

/2*,4a 6(59,&( 0$18$/



 3RZHU 8S 0RQLWRU 'LVSOD\ &RQYH[ 3UREH

+RVSLWDO 1DPH )LHOG

7LPH




3UREH

&

'DWH

%0RGH ,PDJH

*(

+RUL]RQWDO 6FDOH 0DUNHU

9HUWLFDO6FDO 0DUNHU
*
5

(
*UH\

<

)RFXV 0DUNHU

6FDOH

&
$
/
(

* '5 '

1 )

*DLQ

)DU *DLQ 1RW DYDLODEOH LQ 9 6\VWHPV

'\QDPLF 5DQJH
1HDU *DLQ 1RW DYDLODEOH LQ 9 V\VWHPV
'HSWK

32:(5 83 021,725 ',63/$<

,//8675$7,21 



*( 0(',&$/ 6<67(06

/2*,4a 6(59,&( 0$18$/



5(9 
 %DVLF &RQWUROV
7$%/(  GHVFULEHV EDVLF FRQWUROV ZKLFK KHOSV LQ FKHFNLQJ WKH /2*,4a GXULQJ LQVWDOODWLRQ
&RQQHFW WKH VHFWRU RU FRQYH[ WUDQVGXFHU WR FRQQHFWRU RQ WKH ULJKW VLGH RI WKH EDVH
7$%/( 
%$6,& &21752/6

&KHFN

([SHFWHG 5HVXOW

7XUQ 21 3RZHU 6ZLWFK

%0RGH VFUHHQ DV LQ ,//8675$7,21  VKRXOG DSSHDU

3UHVV 1HZ 3DWLHQW .H\

$ SRSXS ZLQGRZ DSSHDUV (QWHU 3DWLHQW 1DPH,'

,W SUHVHWV WKH V\VWHP
$ SRSXS ZLQGRZ DSSHDUV (QWHU 3DWLHQW 1DPH,'
,W GRHV QRW SUHVHW WKH V\VWHP

3UHVV ,'1DPH
3UHVV '\Q 5DQJH 8S'RZQ

,PDJH JURZV VRIWHU DQG KDUGHU GHSHQGLQJ RQ SRVLWLRQ

5RWDWH *DLQ .QRE

,PDJH JURZV OLJKWHU DQG GDUNHU ZLWK URWDWLRQ

3UHVV 1HDU 8S'RZQ 2QO\ IRU 9 EHORZ

3UHVV )DU 8S'RZQ 2QO\ IRU 9 EHORZ

7KH LPDJH JURZV GDUNHU RU EULJKWHU LQ WKH QHDU UHJLRQ

7KH LPDJH JURZV GDUNHU RU EULJKWHU LQ WKH IDU UHJLRQ

3UHVV 'HSWK 8S'RZQ

'HSWK RI WKH LPDJH JHWV PDJQLILHG RU UHGXFHG

3UHVV 5HYHUVH
3UHVV 5HYHUVH D VHFRQG WLPH
3UHVV 6+,)7  5HYHUVH
3UHVV 6+,)7 5HYHUVH D VHFRQG WLPH

7KH LPDJH ZLOO EH GLVSOD\HG /HIW5LJKW

7KH LPDJH ZLOO EH GLVSOD\HG 5LJKW/HIW
7KH LPDJH ZLOO EH GLVSOD\HG 7RS%RWWRP
7KH LPDJH ZLOO EH GLVSOD\HG %RWWRP7RS

3UHVV 0 NH\

%0 0RGH ZLWK 0OLQH FXUVRU DSSHDUV 8VH WUDFNEDOO WR PRYH

WKH 0OLQH FXUVRU 5HIHU ,//8675$7,21  

5ROO 7UDFNEDOO

7KH 0/LQH FXUVRU VKRXOG IROORZ WKH WUDFNEDOO PRYHPHQW DQG

WKH UHDOWLPH LPDJH YDULHV RQ WKH 00RGH GLVSOD\

3UHVV 0 NH\ D VHFRQG WLPH

2QO\ 00RGH LPDJH DSSHDUV RQ WKH VFUHHQ

3UHVV )UHH]H NH\

7KH LPDJH ZLOO IUHH]H

&,1( IRU 9 DEORYH

3UHVV )UHH]H DQG 5RWDWH %0 *DLQ&LQH

6FUROO

&LQH 0HQX

7KH &LQH *DXJH PHQX DQG WKH &LQH IUDPH QXPEHU DSSHDUV DW
WKH ERWWRP RI WKH GLVSOD\
5RWDWH WKH &LQH 6FUROO GLDO WR PRYH WKURXJK WKH LPDJHV LQ
&LQH 0HPRU\
&LQH IUDPH QXPEHU LV GLVSOD\HG RQ WKH OHIW VLGH RI WKH VFUHHQ

3UHVV  6WDUW )UDPH

0RYH WKH &XUVRU E\ URWDWLQJ WKH &LQH 6FUROO GLDO WR WKH IUDPH
\RX ZDQW DQG SUHVV  DJDLQ WR VHOHFW WKH 6WDUW IUDPH

3UHVV  (QG )UDPH

0RYH WKH &XUVRU E\ URWDWLQJ WKH &LQH 6FUROO GLDO WR WKH IUDPH
\RX ZDQW DQG SUHVV  DJDLQ WR VHOHFW WKH (QG IUDPH

3UHVV  &LQH /RRS

(QWHUV LQWR &LQH ORRS ZLWKLQ WKH VHOHFWHG 6WDUW (QG IUDPHV

3UHVV  &LQH *DXJH

7R WRJJOH EHWZHHQ WKH &LQH *DXJH GLVSOD\



*( 0(',&$/ 6<67(06
5(9 

/2*,4a 6(59,&( 0$18$/



 %DVLF &RQWUROV &RQWLQXHG

&KHFN
)ODVK 0HPRU\,PDJH VWRUDJH IRU 9
DERYH
)UHH]H WKH LPDJH
3UHVV 6WRUH
3UHVV 5HFDOO

([SHFWHG 5HVXOW

&RPPHQW FROXPQ DSSHDUV DW WKH ERWWRP RI WKH GLVSOD\ (QWHU

WKH FRPPHQW LQ WKDW DQG SUHVV 6WRUH DJDLQ WR 6WRUH WKH LPDJH
,PDJH $UFKLYH VFUHHQ DSSHDUV ZLWK RSWLRQ PHQX DW WKH ERWWRP
6HOHFW WKH LPDJH XVLQJ WKH WUDFNEDOO 8VH '\QDPLF 5DQJH WR
SDJH XSGRZQ LQ WKH ,PDJH $UFKLYH VFUHHQ
3UHVV  WR 9LHZ WKH VHOHFWHG LPDJH
3UHVV  WR &OHDU WKH VHOHFWHG LPDJH
3UHVV  WR &OHDU $OO WKH VWRUHG LPDJHV
3UHVV  WR 6RUW WKH LPDJHV E\ QDPH RU GDWH
7R ([LW ,PDJH $UFKLHYH SUHVV )UHH]H

7*& IRU 9 DERYH

7KH 7*& LV XVHG WR DGMXVW WKH *DLQ DW D VSHFLILF GHSWK

6OLGH WKH FRQWURO WR WKH ULJKW RU OHIW WR LQFUHDVH RU GHFUHDVH JDLQ
*DLQ LV GLVSOD\HG LQ D UDQJH IURP  GE

5HIHU WKH 8VHUV 0DQXDO IRU WKH UHPDLQLQJ RSHUDWLRQV

%0 02'( ',63/$<

,//8675$7,21 

 3KDQWRP &KHFN

50, 3KDQWRP *6  3DUW 1R  WR EH XVHG WR FKHFN LPDJH TXDOLW\ DQG SURSHU IXQFWLRQLQJ RI WKH V\VWHP



*( 0(',&$/ 6<67(06

/2*,4a 6(59,&( 0$18$/



5(9 
 ',$*1267,&6
7KH /2*,4a  6\VWHP VHUYLFH GLDJQRVWLFV FRPSULVHV RI


6HOI WHVW RU SRZHU RQ GLDJQRVWLFV



6HUYLFH GLDJQRVWLF WRROV

7KH VHOI WHVW RU SRZHU RQ GLDJQRVWLFV DUH UXQ HYHU\ WLPH WKH V\VWHP LV ERRWHG 7KH VHUYLFH GLDJQRVWLF WRROV LQFOXGH WHVW
SURFHGXUHV IRU WHVWLQJ WKH V\VWHP DW 3&% OHYHO DV ZHOO DV EORFN OHYHO 7KH GLDJQRVWLF WRROV SURYLGHV D SRSXS PHQX WR
HQDEOH VHOHFWLRQ RI YDULRXV WHVWV WR WHVW YDULRXV EORFNV RQ WKH V\VWHP
 3RZHU RQ 'LDJQRVWLFV
7KH SRZHU RQ GLDJQRVWLFV RU VHOI WHVWV DUH UXQ HYHU\ WLPH WKH V\VWHP LV ERRWHG 7KLV VHOI WHVWV LQFOXGH WHVWLQJ WKH
YDOLGLW\ RI WKH V\VWHP VRIWZDUH WKURXJK (3520 FKHFNVXP WHVW DQG WHVWLQJ WKH V\VWHP 5$0 ,W FKHFNV ZKHWKHU WKH
NH\ERDUG DQG WKH WUDFNEDOO DUH SURSHUO\ LQWHUIDFHG WR WKH V\VWHP ,W DOVR LQLWLDWHV WKH VHOI WHVW RI DQDORJ VXEV\VWHP 7KH
WZR /('V DQG WKH EHHSHU DUH XVHG WR LQGLFDWH HUURU FRQGLWLRQV
1RWH
3RZHU RQ 'LDJQRVWLFV ZRUNV RQO\ ZKHQ WKH V\VWHP LV LQ DSSOLFDWLRQ LPDJLQJ PRGH DQG QRW ZKLOH RQ
VHUYLFH GLDJQRVWLFV 7KLV LV FRQWUROOHG E\ ',3 6ZLWFK 6:   RQ WKH &38 ZKLFK LV VHW WR
212))2)) UHVSHFWLYHO\ ZKLFK LV WKH QRUPDO VHWWLQJ
 6HUYLFH 'LDJQRVWLFV
(QWHULQJ 6HUYLFH 6RIWZDUH 3URJUDP
3UHVV

&WUO

6HW

(QWHU

NH\V RQ WKH NH\ERDUG WR HQWHU WKH VHUYLFH GLDJQRVWLFV

,Q UHVSRQVH D SRSXS PHQX DSSHDUV DV VKRZQ LQ ,OOXVWUDWLRQ 



*( 0(',&$/ 6<67(06
5(9 

/2*,4a 6(59,&( 0$18$/



 6HUYLFH 'LDJQRVWLFV &RQWLQXHG

0$,1 0(18
 &38 %2$5' 7(676
 '6& %2$5' 7(676
 $1$/2* %2$5'6 7(67
 .(<%2$5' 7(676
 021,725 7(67
 .(<%2$5' 23(5$7,21 +,6725<
 75$&.%$// 6(/(&7,21
4 4XLW
(17(5 7+( &+2,&( 

0$,1 0(18

,//8675$7,21 

1RWH
2SWLRQ 4 4XLW FDQ EH XVHG WR FRPH RXW RI WKH GLDJQRVWLF DQG HQWHU WKH DSSOLFDWLRQ PRGH



*( 0(',&$/ 6<67(06

/2*,4a 6(59,&( 0$18$/



5(9 
 &38 %RDUG 7HVWV
:KHQ WKLV RSWLRQ LV VHOHFWHG WKH IROORZLQJ PHQX ZLOO DSSHDU 

&38 0HQX IRU 9 DERYH

&38 0HQX IRU 9

&38 %2$5' 7(676

&38 %2$5' 7(676

 $// 7(676
 (3520 &+(&.680 7(67
 5: 0(025< 7(67
 *5$3+,&6 0(025< 7(67
 '(%8* 3257 7(67
 *5$3+,&6 7(67
 195$0 7(67
3 0$,1B0(18
4 4XLW

 $// 7(676
 (3520 &+(&.680 7(67
 5: 0(025< 7(67
 *5$3+,&6 0(025< 7(67
 '(%8* 3257 7(67
 *5$3+,&6 7(67
 195$0 7(67
 )/$6+ 0(025< 7(67
3 0$,1B0(18
4 4XLW

(17(5 7+( &+2,&(  B

(17(5 7+( &+2,&(  B

&38 %2$5' 7(676

,//8675$7,21 

$OO 7HVWV
7KLV RSWLRQ LV XVHG WR UXQ DOO WHVWV LQ WKH PHQX 2QFH DOO WKH WHVWV DUH FRPSOHWHG SUHVV DQ\ NH\ WR H[LW
(3520 &KHFNVXP 7HVW
7KH YDOLGLW\ RI WKH VRIWZDUH UHVLGLQJ LQ WKH (3520 RQ WKH &38 %RDUG LV WHVWHG E\ SHUIRUPLQJ WKH &KHFNVXP WHVW 7KH
ZRUG &KHFNVXP RI WKH SURJUDP LV FRPSXWHG DQG LWV RQHV FRPSOLPHQW LV VWRUHG LQ WKH (3520 DV WKH ODVW ZRUG ,Q WKLV
WHVW WKH FRQWHQWV RI WKH PHPRU\ DUH DGGHG ZRUGZLVH DQG WKH FRPSXWHG VXP LV FRPSDUHG DJDLQVW ]HUR ,I WKH UHVXOWLQJ
VXP LV QRQ]HUR WKH WHVW LV UHSRUWHG WR KDYH IDLOHG
5HDG:ULWH 0HPRU\ 7HVW
7KH 5HDG:ULWH PHPRU\ RQ WKH &38 %RDUG LV WHVWHG E\ ILOOLQJ WKH PHPRU\ ZLWK WHVW SDWWHUQV DQG UHDGLQJ WKHP EDFN
DQG YDOLGDWLQJ WKH UHDG GDWD ,I DQ\ RI WKH PHPRU\ E\WH GRHV QRW FRQWDLQ WKH H[SHFWHG GDWD LW LV GHFODUHG DV IDXOW\
*UDSKLFV 0HPRU\ 7HVW
7KH RYHUOD\ RU WKH JUDSKLFV PHPRU\ LV WHVWHG LQ WKH VDPH ZD\ DV 5HDG:ULWH PHPRU\
'HEXJ 3RUW 7HVW
,QWHUQDO /RRS %DFN 7HVW  ,Q WKLV WHVW WKH SRUW LV SURJUDPPHG IRU LQWHUQDO ORRS EDFN PRGH VR WKDW D E\WH WUDQVPLWWHG FDQ
EH UHFHLYHG EDFN



*( 0(',&$/ 6<67(06
5(9 

/2*,4a 6(59,&( 0$18$/



 &38 %RDUG 7HVWV &RQWLQXHG

*UDSKLFV 7HVW
7KH SDWWHUQ VKRZQ EHORZ LV GLVSOD\HG RQ WKH PRQLWRU ZKHQ WKLV WHVW LV HQDEOHG

*5$3+,&6 7(67

,//8675$7,21 

3UHVV DQ\ NH\ WR H[LW WKH *UDSKLFV 7HVW

1RWH
0DLQ 0HQX ZKLFK ZDV DSSHDULQJ DIWHU *UDSKLFV 7HVW LV SXW DIWHU 195$0 7HVW GXH WR 9HU 6RIWZDUH
LQWURGXFWLRQ
195$0 7HVW
:KHQ WKLV WHVW LV VHOHFWHG WKH IROORZLQJ ZLOO DSSHDU
195$0 7HVW IRU 9

195$0 7HVW IRU 9 DERYH

195$0 7(67
67$57 2) 195$0

;

195$0 7(67

(1' 2) 195$0

;III

67$57 2) 195$0

;

$&78$/ 7(67 67$57 )520 ;&)) 727$/ N 7(67

(1' 2) 195$0

;III

:5,7,1* 72 195$0

:5,7,1* 72 195$0





:5,7,1* ,6 68&&(66)8/

5($',1* )520 195$0

5($',1* )520 195$0





195$0 7HVW 3DVVHG

5($',1* 68&&(66)8/

195$0 7(67

,//8675$7,21 

1RWH
:5,7,1* 68&&(66)8/ DQG 5($',1* 68&&(66)8/ LQGLFDWH 195$0 WHVW LV DOULJKW



*( 0(',&$/ 6<67(06

/2*,4a 6(59,&( 0$18$/



5(9 
 &38 %RDUG 7HVWV &RQWLQXHG
)ODVK 0HPRU\ 7HVW IRU 9 DERYH
7KH IROORZLQJ PHQX LV GLVSOD\HG
)/$6+ 0(025< 7(67
 $// 7(676
 7(67 )/$6+ 0(025< %$1.6
 '(7(&7 )/$6+ $66<
 83'$7( $5&+,(9( 67$786 )520 )/$6+ $66<
 (5$6( )/$6+ $66<
3 0$,1B0(18
4 48,7
(17(5 7+( &+2,&(  B
&KRLFH  $OO 7HVWV
7KLV RSWLRQ LV XVHG WR UXQ DOO WHVWV LQ WKH PHQX

&KRLFH  7HVW )ODVK PHPRU\ EDQNV

7KLV WHVW SURJUDPV RQH LPDJH ORFDWLRQ LQ HDFK EDQN DQG UHDGV WKHP EDFN 7KLV LV GRQH WR FKHFN WKH IXQFWLRQDOLW\ RI DOO
,PDJHBVHOHFW DQG %DQNBVHOHFW VLJQDOV 7KH IDLOXUH LQ DQ\ EDQN LV LQGLFDWHG E\ WKH HUURU PHVVDJH )$,/('
(OVH WKH PHVVDJH 2. LV GLVSOD\HG
&KRLFH  'HWHFW )ODVK DVV\
7KLV ZLOO FKHFN WKH SUHVHQFH RI WKH )ODVK DVV\ DWWDFKPHQW DQG GLVSOD\ WKH PHVVDJH )ODVK DVV\ FDUG GHWHFWHG RU
)ODVK DVV\ FDUG QRW GHWHFWHG
&KRLFH  8SGDWH DUFKLYH VWDWXV IURP IODVK DVV\
7KLV RSWLRQ KDV EHHQ SURYLGHG WR IDFLOLWDWH WKH LQWHUFKDQJH RI )ODVK DVV\ FDUGV EHWZHHQ &38 ERDUGV 7KH &38 VRIW
ZDUH VWRUHV DQG NHHSV XSGDWLQJ VWDWXV LQIRUPDWLRQ RQ DOO DYDLODEOH IODVK LPDJH VORWV
7KLV VWDWXV LQIR LV VWRUHG LQ WKH 195$0 :KHQ D IODVK DVV\ LV LQVHUWHG WKH VWDWXV LQIR LV VWRUHG LQ WKH 195$0 ZLOO QRW
LQGLFDWH WKH WUXH VWDWXV DQ\PRUH :KHQ ZH UXQ WKLV RSWLRQ WKH &38 ZLOO FKHFN WKH )ODVK DVV\ DQG XSGDWH LWV VWDWXV
VWRUHG LQ 195$0
1RWH
7KLV RSWLRQ PXVW EH UXQ GXULQJ WKH IROORZLQJ LQVWDQFH ZLWKRXW IDLO
D :KHQHYHU WKH &38 ERDUG RU WKH )ODVK DVV\ JHWV UHSODFHG LQ WKH ILHOG
E :KHQ WKH 195$0 JHWV UHSODFHG GXULQJ D GHEXJJLQJ RSHUDWLRQ
&KRLFH  (UDVH )ODVK PHPRU\
:KHQ WKLV RSWLRQ LV UXQ DOO WKH LPDJHV VWRUHG LQ WKH IODVK DVV\ LV HUDVHG
0DLQ 0HQX
7KLV RSWLRQ LV XVHG WR UHWXUQ WR WKH PDLQ PHQX
4XLW
7KLV RSWLRQ LV XVHG WR FRPH RXW RI WKH GLDJQRVWLF DQG HQWHU WKH DSSOLFDWLRQ PRGH



*( 0(',&$/ 6<67(06
5(9 

/2*,4a 6(59,&( 0$18$/



 '6& %RDUG 7HVWV

:KHQ WKLV RSWLRQ LV VHOHFWHG WKH IROORZLQJ PHQX ZLOO DSSHDU 

'6& 7(676 )25 9

'6& 7(676 )25 9 DERYH

'6& %2$5' 7(676

'6& %2$5' 7(676

 $// 7(676
 6(/(&7 $$) ),/7(5
 6(/(&7 ',*,7$/ ),/7(5
 '<1$0,& 5$1*( 7(67
 ,0$*( 0(025< 7(67
3 0$,1 0(18
4 48,7

(17(5 7+( &+2,&(  B

 $// 7(676
 $$) ),/7(5 7(67
 6(/(&7 ',*,7$/ ),/7(5
 '<1$0,& 5$1*( 7(67
 ,0$*( 0(025< 7(67
 &,1( 0(025<
3 0$,1 0(18
4 48,7
(17(5 7+( &+2,&(  B

'6& %2$5' 7(676

,//8675$7,21 

$OO 7HVWV
7KLV RSWLRQ LV XVHG WR UXQ DOO WHVWV LQ WKH PHQX
$$) )LOWHU 7HVW
$$) ILOWHU WHVW LV GRQH E\ VFRSLQJ WKH VLJQDO DW 73 E\ IHHGLQJ D SDUWLFXODU VLJQDO DW &RQ  7KLV WHVW FDQW EH GRQH LQ
ILHOG
6HOHFW 'LJLWDO )LOWHU
7KURXJK WKLV RSWLRQ WKH XVHU FDQ VHOHFW RQH RI WKH  DYDLODEOH GLJLWDO ILOWHUV 7ZR FKDUDFWHU HQWU\ FDQ EH PDGH
'\QDPLF 5DQJH 7HVW
,Q WKLV WHVW WKH PHPRU\ EORFN ZKHUHLQ WKH ORRNXSWDEOH FRQWDLQLQJ G\QDPLF UDQJH YDOXHV LV WHVWHG
,PDJH 0HPRU\ 7HVW
7KH LPDJH PHPRU\ LV WHVWHG LQ WKH VDPH ZD\ DV WKH PHPRULHV RQ WKH &38 ERDUG
&LQH 0HPRU\ 7HVW
$OO WKH &LQH )UDPHV KDYH EHHQ WHVWHG RQH E\ RQH E\ ZULWLQJ  WHVW SDWWHUQV DQG WKHQ UHDGLQJ WKH VDPH
0DLQ 0HQX
7KLV RSWLRQ LV XVHG WR UHWXUQ WR WKH PDLQ PHQX
4XLW
7KLV RSWLRQ LV XVHG WR FRPH RXW RI WKH GLDJQRVWLF DQG HQWHU WKH DSSOLFDWLRQ PRGH



*( 0(',&$/ 6<67(06

/2*,4a 6(59,&( 0$18$/



5(9 
 $QDORJ %RDUG 7HVW

:KHQ VHOI WHVW IRU WKH $QDORJ ERDUG LV VHOHFWHG WKH '35$0 RQ WKH 75&7/ %RDUG ZLOO EH ZULWWHQ RQ DQG UHDG EDFN
5HDG GDWD LV FKHFNHG IRU YDOLGLW\
 .H\ERDUG 7HVWV

.(<%2$5' 7(676

 $// 7(676
 .(<%2$5' $/,9( 7(67
 .(<6 7(67
 /('6 7(67
 75$&.%$// 7(67
 *$,1 .12% 7(67
3 0$,1B0(18
4 48,7
(17(5 7+( &+2,&(  B
.(<%2$5' 7(676

,//8675$7,21 

$OO 7HVWV
7KLV RSWLRQ LV XVHG WR UXQ DOO WHVWV LQ WKH PHQX
.H\ERDUG $OLYH 7HVW
,Q WKLV WHVW NH\ERDUG DOLYH FRQGLWLRQ LV WHVWHG E\ LQWHUDFWLQJ ZLWK WKH NH\ERDUG ILUPZDUH GLUHFWO\
.H\V 7HVW
,Q WKLV WHVW DOO WKH NH\V LQ WKH NH\ERDUG FDQ EH WHVWHG 7KH XVHU LV SURPSWHG WR SUHVV WKH NH\V RQ WKH NH\ERDUG DQG WKH
SUHVVHG NH\V DUH KLJKOLJKWHG RQ WKH VFUHHQ 7KLV LV D WRJJOH RSHUDWLRQ

'XULQJ .H\V 7HVW 3UHVV ([W 9LGHR DW WKH ODVW 3UHVVLQJ ([W 9LGHR NH\ LQWHUUXSWV WKH WHVW
DQG UHWXUQ WR PDLQ NH\ERDUG 7HVWV 0HQX

/('V 7HVW
'XULQJ WKLV WHVW )5((=( ILHOG DQG (;7(51$/ 9,'(2 ILHOG ZLOO EH GLVSOD\HG RQ WKH PRQLWRU 7KH )5((=( DQG
(;7(51$/ 9,'(2 /('V EOLQN IRU D ZKLOH VHTXHQWLDOO\ DQG WKH FRUUHVSRQGLQJ ILHOG JHWV KLJKOLJKWHG
7UDFNEDOO 7HVW
$ FXUVRU LV GLVSOD\HG RQ WKH PRQLWRU DQG WKH XVHU FDQ PRYH WKH WUDFNEDOO DQG PRYH WKH FXUVRU RYHU WKH VFUHHQ
*DLQ .QRE 7HVW
,Q WKLV WHVW WKH XVHU FDQ FKHFN IRU WKH RSHUDWLRQ RI WKH JDLQ NQRE 7KH FXUUHQW JDLQ YDOXH LV GLVSOD\HG RQ WKH VFUHHQ



*( 0(',&$/ 6<67(06
5(9 

/2*,4a 6(59,&( 0$18$/



 .H\ERDUG 7HVWV &RQWLQXHG

0DLQ 0HQX
7KLV RSWLRQ LV XVHG WR UHWXUQ WR WKH PDLQ PHQX
4XLW
7KLV RSWLRQ LV XVHG WR FRPH RXW RI WKH GLDJQRVWLF DQG HQWHU WKH DSSOLFDWLRQ PRGH



*( 0(',&$/ 6<67(06

/2*,4a 6(59,&( 0$18$/



5(9 

 0RQLWRU 7HVW

7KH IROORZLQJ WHVW SDWWHUQV DUH GLVSOD\HG RQ WKH PRQLWRU ZKHQ WKLV WHVW LV HQDEOHG 7KH *DLQ .QRE LV XVHG IRU VHOHFWLRQ
RI SDWWHUQV  7R H[LW RXW RI DQ\ SDWWHUQ DQG UHWXUQ WR WKH PDLQ PHQX SUHVV (;7(51$/ 9,'(2

021,725 7(676

,//8675$7,21 

021,725 7(676

,//8675$7,21 



*( 0(',&$/ 6<67(06
5(9 

/2*,4a 6(59,&( 0$18$/



 0RQLWRU 7HVW &RQWLQXHG

021,725 7(676

,//8675$7,21 

021,725 7(676

,//8675$7,21 

1RWH
,OOXVWUDWLRQV    DUH DOVR DYDLODEOH LQ UHYHUVH YLGHR



*( 0(',&$/ 6<67(06

/2*,4a 6(59,&( 0$18$/



5(9 
 0RQLWRU 7HVW &RQWLQXHG

021,725 7(676

,//8675$7,21  D

021,725 7(676

,//8675$7,21  E



*( 0(',&$/ 6<67(06
5(9 

/2*,4a 6(59,&( 0$18$/



 0RQLWRU 7HVW &RQWLQXHG

021,725 7(676

,//8675$7,21  F

1RWH
7KH SDWWHUQV LQ ,//8675$7,21  WR ,//8675$7,21  DUH ZULWWHQ RQ WKH RYHUOD\ ZKHUH DV
WKH SDWWHUQ LQ ,//8675$7,21  LV ZULWWHQ RQ WKH LPDJH PHPRU\



*( 0(',&$/ 6<67(06

/2*,4a 6(59,&( 0$18$/



5(9 

 .H\ 2SHUDWLRQ +LVWRU\

:KHQ WKLV RSWLRQ LV VHOHFWHG IURP WKH 0DLQ 0HQX WKH IROORZLQJ DSSHDUV LQGLFDWLQJ D PD[LPXP RI  NH\V ODVW DFWLYDWHG

.(< 23(5$7,21 +,6725<

.(< 23(5$7('

.(< 23(5$7('


































35(66 (;7B9,'(2 72 48,7
.(< 23(5$7,21 +,6725<

,//8675$7,21 



*( 0(',&$/ 6<67(06
5(9 

/2*,4a 6(59,&( 0$18$/



 7UDFNEDOO 6HOHFWLRQ 9HUVLRQ  6\VWHP RQZDUGV

:KHQ WKLV RSWLRQ LV VHOHFWHG WKH IROORZLQJ PHQX DSSHDUV

0,&52 75$&.%$// 6(/(&7,21

6(/(&7 7+( 0,&52 75$&.%$//  $/36  +26,'(1  B

75$&.%$// 6(/(&7,21

,//8675$7,21 

6HOHFW  IRU $/36 7UDFNEDOO RU 2SWLFDO 7UDFNEDOO DQG  IRU +RVLGHQ 7UDFNEDOO EDVHG RQ WUDFNEDOO XVHG

 6(59,&( $'-8670(176

7KH /2*,4 a GRHV QRW FRQWDLQ VHUYLFH DGMXVWDEOH SDUWV ,Q FDVH RI IDLOXUH RI DQ\ PRGXOH OLNH WKH 3RZHU 6XSSO\ LW
LV UHFRPPHQGHG WR UHSODFH WKH SRZHU VXSSO\ XQLW LQVWHDG RI WU\LQJ WR DGMXVW WKH SRWHQWLRPHWHU RU UHSODFLQJ WKH IXVH



*( 0(',&$/ 6<67(06

/2*,4a 6(59,&( 0$18$/

5(9 



 29(59,(:
/2*,4a  LV D SRUWDEOH XOWUDVRXQG VFDQQHU ,W PHHWV WKH URXWLQH QHHGV RI ERWK 2EVWHWULFV DQG *\QHFRORJ\
LQYHVWLJDWLRQV 6XSSRUW RI ZLGH UDQJH RI SUREHV JLYHV WKH V\VWHP DGGHG EHQHILWV WR PHHW WKH GLYHUVH DSSOLFDWLRQV

 /2*,4a  6<67(0

7KH /2*,4a  6\VWHP FDQ EH GLYLGHG LQWR  VHFWLRQV WKH $QDORJ 6HFWLRQ 75%'75&7/ WKH 'LJLWDO 6HFWLRQ
FRQVLVWLQJ RI WKH '6& DQG WKH &38 DQG WKH NH\ERDUG ZKLFK VHUYHV DV WKH XVHU LQWHUIDFH
7KH $QDORJ 6HFWLRQ LV UHVSRQVLEOH IRU JHQHUDWLRQ RI WUDQVPLW SXOVHV UHFHSWLRQ RI HFKR VLJQDOV DQG RYHUDOO FRQWURO RI
UHDO WLPH VFDQQLQJ 7KH 'LJLWDO VHFWLRQ LV UHVSRQVLEOH IRU FRQYHUVLRQ RI DQDORJ HFKR LQWR GLJLWDO VLJQDO IRU IXUWKHU SUR
FHVVLQJ WR GLVSOD\ RQ WKH PRQLWRU ZLWK WKH QHFHVVDU\ 79 VLJQDOV ,W LV DOVR UHVSRQVLEOH IRU RYHUDOO FRQWURO RI WKLV V\VWHP
5HIHU ,//8675$7,21  D E



*( 0(',&$/ 6<67(06

/2*,4a 6(59,&( 0$18$/



5(9 

 6<67(0 %/2&. ',$*5$0

)RU 9 EHORZ 6\VWHPV

; 3RLQW
6ZLWFK
6XPPHU

5HFHLYHU
,QWHUIDFH 0X[
$PSOLILHU

'\QDPLF
$SHUWXUH

'HOD\
6XP

&'$

3*&

7UDQVPLW
'ULYHU

9&$

'\QDPLF
)LOWHU

+LJK 3DVV
)LOWHU

/2*
/RJ $PS

*DLQ

1)

))
7)&

'63
706&

7*&9 DERYH
'63 %86

3URJUDP
0HPRU\
3*&

'$&

*$,1
))
7)&
&'$
1)

+9 3RZHU 6XSSO\

$QDORJ (FKR 6LJQDO

9

&RQWURO 6LJQDO
9

/9 3RZHU 6XSSO\

9LGHR 6LJQDO

9
9

'LJLWDO 6LJQDO

6<67(0 %/2&. ',$*5$0

,//8675$7,21  D



*( 0(',&$/ 6<67(06

/2*,4a 6(59,&( 0$18$/

5(9 



 6<67(0 %/2&. ',$*5$0

)RU 9$ DERYH 6\VWHPV

; 3RLQW
6ZLWFK
6XPPHU

5HFHLYHU
,QWHUIDFH 0X[
$PSOLILHU

'\QDPLF
$SHUWXUH

'HOD\
6XP

&'$

3*&

7UDQVPLW
'ULYHU

9&$

'\QDPLF
)LOWHU

+LJK 3DVV
)LOWHU

/2*
/RJ $PS

*DLQ

1)

))
7)&

'63
706)

7*&9 DERYH
'63 %86

3*&

'$&

*$,1
))
7)&
&'$
1)

+9 3RZHU 6XSSO\

$QDORJ (FKR 6LJQDO

9

&RQWURO 6LJQDO
9

/9 3RZHU 6XSSO\

9LGHR 6LJQDO

9
9

'LJLWDO 6LJQDO

6<67(0 %/2&. ',$*5$0

,//8675$7,21  E



*( 0(',&$/ 6<67(06

/2*,4a 6(59,&( 0$18$/



5(9 


6<67(0 %/2&. ',$*5$0 &RQWLQXHG

)/6 &$5'

 ,0$*(6 237,21$/

5$',6<6
5(; 6\VWHP
&RQWUROOHU

6&$03 ,,
6\VWHP
FRQWUROOHU

)/$6+ 0(025<
 LPDJH FDSDFLW\



8VHG IRU 3&

EDVHG GHEXJ
VHULDO SRUW 56
195$0
3DUDOOHO &RQQHFWLYLW\
Y

 3DUDOOHO 3RUW

3ULQWHU RU 3&

&,1( 0(025<

 )5$0( 67'
 )5$0(6 237

.(<%2$5'
75$&.%$//
*$,1 &21752/

)RU 9 6\VWHP

 )RU 9$ 6\VWHP

6<67(0 %/2&. ',$*5$0

,//8675$7,21  F



*( 0(',&$/ 6<67(06

/2*,4a 6(59,&( 0$18$/

5(9 



 &,5&8,7 %2$5' 120(1&/$785(

7KH IROORZLQJ WDEOH OLVWV WKH FLUFXLW ERDUGV RQ /2*,4a  V\VWHP
7$%/( 
&,5&8,7 %2$5' 120(1&/$785(

/2*,4a  3& %2$5'6

75%'

7UDQVPLW 5HFHLYH %RDUG

75&7/

7UDQVPLW 5HFHLYH &RQWURO %RDUG

'6&

'LJLWDO 6FDQ &RQYHUWHU

&38

&HQWUDO 3URFHVVLQJ 8QLW

.%'

.H\ERDUG

 ',3 6:,7&+ 6(77,1*

 75&7/ %RDUG

&$87,21
7KH VHWWLQJV DUH YDOLG RQO\ ZKHQ MXPSHU -3 DQG -3 DUH LQ 7HVW PRGH DQG LV XVHG IRU 3&% WHVWLQJ
LQ WKH SURGXFWLRQ OLQH 7KH HTXLSPHQW DW WKH FXVWRPHU VLWH VKRXOG KDYH -3 DQG -3 LQ QRUPDO
PRGH ZKLFK PDNHV ',3 VZLWFK 6 LQHIIHFWLYH
7$%/( 
75&17/ %2$5'

6

3UREH 7\SH

3UREH 7\SH

3UREH 7\SH

3UREH 7\SH 

3UREH 7\SH 

3UREH 7\SH 

6'2 6KXWGRZQ 
 (QDEOHV SUREH W\SH LQGLFDWRU LQGLFDWHV SUREH LV FRQQHFWHG
 'LVDEOHV SUREH W\SH LQGLFDWLRQ LQGLFDWHV SUREH LV GLVFRQQHFWHG

6' 6KXWGRZQ
 +9 ORZ 1RW XVHG
 +9 KLJK 1RW XVHG



*( 0(',&$/ 6<67(06

/2*,4a 6(59,&( 0$18$/



5(9 
 75&17/ %RDUG &RQWLQXHG
7$%/( 
352%( &2'(

3UREH 1DPH

3737

)UHTXHQF\

&RQYH[ &

 

 0+]

&RQYH[ &

 

 0+]

6HFWRU 79 (



 0+]

/LQHDU /

'

 0+]

0LFURFRQYH[ &



 0+]

/LQHDU 9(

(

 0+]

&RQYH[ &=%

&

0+]

/LQHDU /%

)

0+]

1RWH
&=% DQG /% DUH VXSSRUWHG RQ VRIWZDUH YHUVLRQ  RQO\ & DQG 9( SUREHV DUH VXSSRUWHG RQ
VRIWZDUH YHUVLRQ  DQG DERYH RQO\ & & ( DQG / DUH VXSSRUWHG LQ DOO VRIWZDUH YHUVLRQV
 &38 %RDUG
7$%/( 
&38 %2$5'

6:

 67'287 LV /2*,4a 'LVSOD\

 67'287 6WDQGDUG 2XWSXW $8; 3&

 67',1 6WDQGDUG ,QSXW LV $8; 3&

 67',1 /2*,4a .H\ERDUG

  176& 6HWXS
  3$/ 6HWXS

   0% '5$0
  .% '5$0

  

  'HEXJ 0RQLWRU

  $SSOLFDWLRQ 8OWUDVRXQG 0RGH
  6HUYLFH 'LDJQRVWLFV
1RWH
7KLV OLVW LV DFWLYH RQO\ ZKHQ  LV LQ 
7$%/( 
'()$8/7 6(77,1*6 6:

6:

3$/

176&

7$%/( 
&38 %2$5'

6:
9 RQO\

6

 2))  )ODVK $VVHPEO\ (QDEOH

 21  )ODVK $VVHPEO\ 'LVDEOH

6

  (QDEOH  )UDPH &LQH

  'LVDEOH  )UDPH &LQH

6 WR 6

'RQW &DUH



*( 0(',&$/ 6<67(06

/2*,4a 6(59,&( 0$18$/

5(9 
:,5,1* ',$*5$06




$
&




$
&

)HUULWH &RUH




$
&



$
&




$
&



$
&

)HUULWH &RUH




$
&


$
&

)HUULWH &RUH
)HUULWH &RUH







$
&



$
&

&$ 

'
.
VO &
D
H
Q
G
R LK
&
0
OO WS
H
U$
R [F
) (



$
&



$
&



$
&

:,5,1* ',$*5$0
,//8675$7,21 



U
H
LOW
)
H
Q
L/

\O
Q
2
'
.
&
D
Q
L
K
&
UR
)





K
UFD
0
H
YWL
F
IH
I
(

*( 0(',&$/ 6<67(06

/2*,4a 6(59,&( 0$18$/



5(9 
7$%/( 
3:5 '675 &RQQHFWRU 9ROWDJHV

&RQQHFWRU

3LQ 1R

9ROWDJH

9

9

&RQQHFWRU

3LQ 1R

9ROWDJH


3:5 '675

9

3LQ 1R

9ROWDJH

*1'

9

*1'

9

&21

*1'

*1'

9

WR

9

3:5 '675

*1'

9

&38 &21

9

&21

9

9

*1'

WR

9

3:5 '675

*1'

9

75&7/

*1'

&21 

*1'

3:5 '675

*1'

&21

*1'

*1'

&21

9

9



*1'

WR

*1'



9



*1'

'6& &21

9



*1'

*1'



9

3:5 '675



9

&21

9



9

WR )$1

*1'



9

3:5 '675

*1'

9

&21

9

3:5 '675

*1'

WR &57

&21 

9

3:5 '675

*1'

*1'

&21

9

*1'

WR +9

3:5 '675

*1'

9

&21 

*1'

3:5 '675

9

WR

9

&21

*1'

'6& &21

9

WR

*1'

9

75%' &21

9

9



&RQQHFWRU

*( 0(',&$/ 6<67(06

/2*,4a 6(59,&( 0$18$/

5(9 



 :,5,1* ',$*5$06 &RQWLQXHG

$:* 'DUN %OXH   &PV

$:* %URZQ   &PV
$:* %ODFN   &PV
$:* /LJKW %OXH   &PV

)URP
+9 36
&21 

7R
75%'
&21 

&$

&RD[LDO :KLWH   &PV

)URP
75%'
&21 

 $:* 5HG

 $:* 5HG

&RD[LDO :KLWH   &PV

 $:* %URZQ

 $:* %URZQ

7R
75&7/
&21 

&RD[LDO :KLWH   &PV

 $:* %ODFN

 $:* %ODFN

&$

)520
75&7/
&21

&RD[LDO &DEOH :KLWH   &PV

72 '6&
&21

&$
)HUULWH &RUH RYHU ZKLFK ZLUHV ZRXQG  7XUQV

72 &+$66,6

 $:* %ODFN  PP

&$

:,5,1* ',$*5$06
,//8675$7,21 



72 .%'
%$6( 3/$7(

*( 0(',&$/ 6<67(06

/2*,4a 6(59,&( 0$18$/



5(9 


 3,1  3,7&+ &$%/(   &06

*
72 75&7/
&21 

&$ 

72 &38 %'
&21 


 3,1  3,7&+ &$%/(   &06

*
72 75&7/
&21 

&$ 

72 '6&
&21 


 3,1  3,7&+ &$%/(   FPV

*
)520 '6&
&21

&$  

72 &38
&21

 3,1 ,'& &$%/(   FPV

*

*
&$  

)520 .%'
&21

72 &38
&21
:,5,1* ',$*5$06
,//865$7,21 



*( 0(',&$/ 6<67(06

/2*,4a 6(59,&( 0$18$/

5(9 




:,5,1* ',$*5$06 &RQWLQXHG

72 &57

3&%

9'2 287

)227
6:,7&+

o
o

&R  D[LDO ZKLWH  FPV

-

%ODFN
&R  D[LDO ZKLWH  FPV

9'2 ,1

o
o

%URZQ

%ODFN

%URZQ

&R  D[LDO ZKLWH  FPV

-

5HG


-<HOORZ


5HG

&R  D[LDO ZKLWH  FPV

-

2UDQJH

<HOORZ

&R  D[LDO ZKLWH  FPV

6+877(5

o
o 

o
o


72
'6&
%'
&211

oo 
o
o


&$  

3$5$//(/
3257

 3,1 ,'& &$%/(   FPV

&38 &1

*
5HDU 3DQHO

&$  


 3,1 ,'& &$%/(  0W
*
&$  
)520 7*&

72 75&7/
&1

:,5,1* ',$*5$06
,//8675$7,21 



*( 0(',&$/ 6<67(06

/2*,4a 6(59,&( 0$18$/



5(9 

&$87,21
7XUQ 2)) SRZHU WR WKH V\VWHP DQG ZHDU D ZULVW VWUDS EHIRUH \RX UHPRYH WKH FLUFXLW ERDUGV WR DYRLG IDLOXUH RI
FRPSRQHQWV GXH WR HOHFWURVWDWLF GLVFKDUJH 'R QRW XQSOXJ WKH SRZHU FRUG WR NHHS JURXQG FRQWLQXLW\
(6' ZRUN VWDWLRQ  DQG (6' ZULVW FRQWUROOHU  VKRXOG EH XVHG IRU (6' SURWHFWLRQ RI &026
GHYLFHV

:$51,1*
21/< 48$/,),(' 6(59,&( 3(56211(/ 6+28/' 5(029( $1< &29(56 25 3$1(/6
(/(&75,&$/ +$=$5'6 (;,676 $7 6(9(5$/ 32,176 ,16,'( %(&20( 7+2528*+/< )$0,/,$5 :,7+ $// +$=
$5'286 92/7$*(6 $1' +,*+ &855(17 /(9(/6 72 $92,' $&&,'(17$/ &217$&7



*( 0(',&$/ 6<67(06
5(9 

/2*,4a 6(59,&( 0$18$/



0$7(5,$/ /,67 &RQVROH 9HU$ EHORZ

3$57 1$0(
2SHUDWRU &6/ $VV\

3$57 12


47<


'(6&5,37,21
 9$& +] 3$/
*(06 $ 9$



 9$& +] 3$/

*(06 $$0 9$



 9$& +] 176&

*(06 $$0 9$



 9$& +]

176&*(06 $$0 9$



 9$& +] 3$/

*(06 ( 9$



 9$& +] 176&

*(06 $ 9$

3RZHU &RUG ,QGLDQ 7\SH



9$& +]

3RZHU &RUG $PHULFDQ 7\SH



3RZHU &RUG (XURSHDQ 7\SH



3UREH 3DG



$TXDVRQLF *HO



0LQL 3OXJ &DEOH

3%&

%1& &DEOH




9$& +]

9$& +]

3%'

7UDFNEDOO &OHDQLQJ .LW



)RRW 6ZLWFK 2SWLRQ



+$

0RELOH 7UROOH\ RSWLRQ



+/$

0RGXODU 7UROOH\ 2SWLRQ



+/&

7ZR 3UREH 3RUW 2SWLRQ



+$

 WR  3LQ &RQYHUWHU &DEOH 2S





WLRQ
( 3UREH +ROGHU 2SWLRQ

+/$

,1',$

+/%

&+,1$ $1= 6( $6,$ 0(;,&2

+/&

86 RI $ &$11$'$ %5$=,/ 7$,:$1

+/'

&+,/( .25($

+/(

(8523(

+/)

-$3$1



*( 0(',&$/ 6<67(06

/2*,4a 6(59,&( 0$18$/



5(9 

0$7(5,$/ /,67 &RQVROH 9HU

3$57 1$0(
2SHUDWRU &6/ $VV\

3$57 12


47<


'(6&5,37,21
 9$& +]
3$/ *(06 $ 9



 9$& +]

3$/ *(06 $$0 9



 9$& +]

176& *(06 $$0 9



 9$& +]

176&*(06 $$0 9



 9$& +]

3$/ *(06 ( 9



 9$& +]

176& *(06 $ 9

3RZHU &RUG ,QGLDQ 7\SH



9$& +]

3RZHU &RUG $PHULFDQ 7\SH



3RZHU &RUG (XURSHDQ 7\SH



3UREH 3DG



$TXDVRQLF *HO



0LQL 3OXJ &DEOH

3%&

%1& &DEOH

9$& +]

3%'

7UDFNEDOO &OHDQLQJ .LW



)RRW 6ZLWFK 2SWLRQ



+$

0RELOH 7UROOH\ RSWLRQ



+/$

0RGXODU 7UROOH\ 2SWLRQ



+/&

7ZR 3UREH 3RUW 2SWLRQ



+$

 WR  3LQ &RQYHUWHU &DEOH 2SWLRQ



( 3UREH +ROGHU 2SWLRQ



+/$

,1',$

+/%

&+,1$ $1= 6( $6,$ 0(;,&2

+/&

86 RI $ &$11$'$ %5$=,/ 7$,:$1

+/'

&+,/( .25($

+/(

(8523(

+/)

-$3$1



9$& +]

*( 0(',&$/ 6<67(06
5(9 

/2*,4a 6(59,&( 0$18$/



0$7(5,$/ /,67 &RQVROH 9HU

3$57 1$0(
2SHUDWRU &6/ $VV\

3$57 12


47<


'(6&5,37,21
 9$& +] 3$/
*(06 $ 9



 9$& +] 3$/

*(06 $$0 9



 9$& +] 176&

*(06 $ 9



 9$& +]

176&*(06 $$0 9



 9$& +] 3$/

*(06 ( 9



 9$& +] 176&

*(06 $ 9



 9$& +] 176&

*(06 $0 9

3RZHU &RUG ,QGLDQ 7\SH



9$& +]

3RZHU &RUG $PHULFDQ 7\SH



3RZHU &RUG (XURSHDQ 7\SH



3UREH 3DG



$TXDVRQLF *HO



0LQL 3OXJ &DEOH

3%&

%1& &DEOH

3%'

7UDFNEDOO &OHDQLQJ .LW

9$& +]



1RW $YDLODEOH IRU 9$

)RRW 6ZLWFK 2SWLRQ



+$

3& ,PDJH 7DQVIHU 6RIWZDUH



3& ,PDJH 7UDQVIHU &DEOH





1RW $SSOLFDEOH IRU *(06 $0

0RELOH 7UROOH\ RSWLRQ



+/$

0RGXODU 7UROOH\ 2SWLRQ



+/&

7ZR 3UREH 3RUW 2SWLRQ



+$

( 3UREH +ROGHU 2SWLRQ



&LQH $GGLWLRQDO  )UDPHV 2SWLRQ



+/$

)ODVK 0HPRU\ $GGLWLRQDO  ,PDJHV



+$ 2SWLRQ



+3/*ROG +3 +3

2QO\ IRU *(06 $0

+3 /DVHUMHW 3ULQWHUV 2SWLRQ

3& ,PDJH 7DQVIHU ,VRODWHG &DEOH

7%'

+/$

,1',$

+/%

&+,1$ $1= 6( $6,$0(;,&2

+/&

7$,:$1 3+,/,3,1(6

+/'

&+,/( .25($

+/(

(8523(

+/)

-$3$1

+/*

86 RI $ &$11$'$%5$=,/



9$& +]

*( 0(',&$/ 6<67(06

/2*,4a 6(59,&( 0$18$/



5(9 
 723 &29(5
 'LVDVVHPEO\$VVHPEO\ RI 7RS &RYHU
)ROORZ WKH VWHSV EHORZ DQG UHIHU ,OOXVWUDWLRQ 


'LVFRQQHFW WKH SRZHU FRUG IURP WKH PDLQV DQG UHPRYH IURP WKH V\VWHP



5HPRYH 3UREH ZKLFK LV DW WKH ULJKW VLGH RI WKH EDVH



5HPRYH WKH SUREH KROGHU



5HPRYH WZR VFUHZV DE DW WKH VLGH RI WKH SUREH KROGHU



0RYH WKH XQLW WR WKH HGJH RI WKH WDEOH DQG UHPRYH WZR VFUHZV HI IURP WKH ERWWRP RI WKH XQLW



5HPRYH WKH KDQGOH FDS E\ SXOOLQJ XSZDUG DQG UHPRYH WKH KDQGOH VFUHZV FG



6OLGH WKH WRS FRYHU EDFNZDUG E\ KROGLQJ WKH KDQGOH



)RU DVVHPEO\ IROORZ WKH UHYHUVH RUGHU

0$7(5,$/ /,67  7RS &RYHU

23(5$725 &2162/( $66<
         
        
7$%/(  
723 &29(5

)58
12

3$57 1$0(

3$57
12

47<

)58



7RS &RYHU $VVHPEO\





3UREH +ROGHU





'(6&5,37,21

*( 0(',&$/ 6<67(06
5(9 

/2*,4a 6(59,&( 0$18$/



+DQGOH &DS

G
3UREH +ROGHU



D
E



I
H

723 &29(5 $66(0%/<

,//8675$7,21  



*( 0(',&$/ 6<67(06

/2*,4a 6(59,&( 0$18$/



5(9 

 .(<%2$5'
 'HWDFKLQJ WKH .H\ERDUG
)ROORZ WKH VWHSV EHORZ DQG UHIHU ,OOXVWUDWLRQ 


5HPRYH 7RS &RYHU 5HIHU VHFWLRQ 



5HPRYH SLQ FRQQHFWRU &21  IURP WKH &38



5HPRYH WKH EODFN JURXQG FDEOH FRPLQJ IURP WKH NH\ERDUG DORQJ ZLWK WKH  SLQ IODW FDEOH FRQQHFWHG WR WKH FKDVVLV



3ODFH D UXEEHU PDW EHORZ WKH XQLW DQG WLOW WKH XQLW XSZDUG 5HPRYH WZR VFUHZV DE IURP WKH ERWWRP KLQJH RI WKH NH\ERDUG
DQG UHPRYH WKH ERWWRP KLQJH FRYHU UHIHU ,OOXVWUDWLRQ 



3UHVV WKH ORFN UHOHDVH DQG WXUQ WKH NH\ERDUG E 0RYH WKH NH\ERDUG GRZQZDUG DQG FDUHIXOO\ SXOO RXW WKH FDEOH ZLWK WKH
FRQQHFWRU



5HPRYH WKH  ULQJ EXVKHV UHIHU ,OOXVWUDWLRQ 



)RU DVVHPEO\ IROORZ WKH UHYHUVH RUGHU

0$7(5,$/ /,67  .H\ERDUG $VVHPEO\

23(5$725 &2162/( $66<
         
        
7$%/(  
.(<%2$5' $66(0%/<

)58
12




3$57 1$0(

3$57 12

47<

)58

.H\ERDUG $VVHPEO\ ZLWK

FDEOH IRU 9 EHORZ


:LWK 2SWLFDO 7UDFN
%DOO

.H\ERDUG $VVHPE\ :LWK

&DEOH IRU 9 6\VWHPV


:LWK 2SWLFDO 7UDFN
%DOO

&RQWDLQV .H\ERDUG DVVHPEO\

DQG LQVWUXFWLRQ VLPLOODU WR VHF
WLRQ  IRU FRQILJXULQJ
WUDFNEDOO


&RQWDLQV .H\ERDUG DVVHPEO\

DQG LQVWUXFWLRQ VLPLOODU WR VHF
WLRQ  IRU FRQILJXULQJ
WUDFNEDOO



%XVK





%RWWRP +LQJH





'(6&5,37,21

7ZR SODVWLF EXVKHV RI NH\

ERDUG

*( 0(',&$/ 6<67(06
5(9 

/2*,4a 6(59,&( 0$18$/



/RFN UHOHDVH







'(7$&+,1* 7+( .(<%2$5'

,//8675$7,21  





*( 0(',&$/ 6<67(06

/2*,4a 6(59,&( 0$18$/



5(9 
 .H\ERDUG 'LVDVVHPEO\$VVHPEO\
)ROORZ VWHSV EHORZ DQG UHIHU ,OOXVWUDWLRQ 


5HPRYH 7RS &RYHU 5HIHU VHFWLRQ 



'HWDFK WKH NH\ERDUG 5HIHU VHFWLRQ 



5HPRYH WKH VSDFHU SDG  UHIHU )58 12  LQ WKH GLDJUDP ZKLFK LV QHDU WKH ORFN UHOHDVH



5HPRYH IRXU VFUHZV DEFG E LV QRW YLVLEOH LQ GLDJUDP



5HPRYH NH\ERDUG WRS ZLWK 3&% DVVHPEO\



5HPRYH WKH HLJKW IL[LQJ VFUHZV  H WR O RQ WKH EDVH SODWH



5HPRYH WKH *DLQ NQRE XVH DOOHQ NH\ IRU 0 JUXE VFUHZ



5HPRYH WUDFNEDOO PRXQWLQJ E\ UHPRYLQJ WZR VFUHZV PQ DQG WDNH RXW WKH WUDFNEDOO ,Q FDVH RI +RVLGHQ WUDFNEDOO D VWLFNHU
FRQWDLQLQJ *31  ZLOO EH VWXFN RQ WKH WUDFNEDOO



5HPRYH WKH 7*& FRQQHFWRU IURP WKH 75&7/

 3XOO RXW WKH )3& )OH[LEOH 3ULQWHG &LUFXLW FDEOH IURP WKH WUDFNEDOO
 5HPRYH *DLQ (QFRGHU FRQQHFWRU
 5HPRYH WKH WZR VFUHZV RS KROGLQJ WKH *DLQ (QFRGHU 8QLW
 5HPRYH HOHYHQ VFUHZV T [  1RV KROGLQJ WKH NH\ERDUG 3&% WR WKH EDVH SODWH WR VHSDUDWH WKH NH\ERDUG 3&%
 )RU DVVHPEO\ IROORZ WKH UHYHUVH RUGHU

1RWH
:KHQ DVVHPEOLQJ WKH 3&% WR WKH EDVH SODWH 0[ VFUHZV RQO\ VKRXOG EH XVHG EHFDXVH D ZURQJ VFUHZ XVHG ZLOO
SLHUFH WKH NH\VKHHW



*( 0(',&$/ 6<67(06
5(9 


/2*,4a 6(59,&( 0$18$/



.H\ERDUG 'LVDVVHPEO\$VVHPEO\&RQWG

0$7(5,$/ /,67  .H\ERDUG

23(5$725 &2162/( $66<
         
        
7$%/(  

.(<%2$5'

)58

3$57 1$0(

3$57 12

47<

)58


 





2SWLFDO 7UDFN %DOO

















'(6&5,37,21

12









.H\ERDUG %RWWRP
.H\ERDUG 7RS
.H\ERDUG 3&%
.H\ERDUG 3&%
.H\ 6KHHW ZLWK %DVH 3ODWH
.H\ 6KHHW ZLWK %DVH 3ODWH
7UDFNEDOO $VVHPEO\



*DLQ .QRE  (QFRGHU




,QFOXGHV EUDFNHW
VFUHZV )3& FDEOH DQG LQVWUXFWLRQ
VLPLOODU WR VHFWLRQ    WR FRQ
ILJXUH WUDFNEDOO
1RW VHHQ LQ ,OOXVWUDWLRQ  



/RFN 5HOHDVH ZLWK 6SULQJ  1RV



.H\ERDUG DQG IURQW SDQHO ODWFK




6SDFHU 3DG
7*& $VV\










)RU 9 DERYH 6\VWHPV



)RU 9 EHORZ

)RU 9 DERYH 6\VWHPV
)RU 9 DERYH 6\VWHPV

*( 0(',&$/ 6<67(06

/2*,4a 6(59,&( 0$18$/


F







G






D
R



Q
N
J
P

U
G

T  1RV


K



.(<%2$5' $66(0%/<

,//8675$7,21  



*( 0(',&$/ 6<67(06
5(9 

/2*,4a 6(59,&( 0$18$/



 2SWLFDO 7UDFNEDOO $VVHPEO\



$VVHPEOH 7% %DVH 3DG   RQ WKH WUDFNEDOO UHIHU ,//8675$7,21 



$VVHPEOH 2SWLFDO 7UDFNEDOO 3&% $VVHPEO\  UHIHU ,//8675$7,21 



$VVHPEOH 7UDFNEDOO EUDFNHW DVVHPEO\  UHIHU ,//8675$7,21 



)L[ VFUHZV DE F DW WKH ORFDWLRQ $% & LQ NH\ERDUV EDVH SODWH



)L[ WKH )3& FDEOH DV VKRZQ LQ ,//8675$7,21 



2SWLFDO 7UDFNEDOO $66(0%/<

,//8675$7,21  



)RU DVVHPEO\ WKH NH\EDRUG 3&% IROORZ WKH UHYHUVH RUGHU RI VHFWLRQ 
1RWH
:KHQ DVVHPEOLQJ WKH 3&% WR WKH EDVH SODWH 0[ VFUHZV RQO\ VKRXOG EH XVHG EHFDXVH D ZURQJ VFUHZ XVHG ZLOO
SLHUFH WKH NH\VKHHW



)RU LQLWLDOL]LQJ WKH 2SWLFDO 7UDFNEDOO 6HOHFW $OSV 7UDFNEDOO IURP WKH 7UDFNEDOO 6HOHFWLRQ 0HQX LQ 6HUYLFH 'LDJQRVWLFV



*( 0(',&$/ 6<67(06

/2*,4a 6(59,&( 0$18$/



5(9 
 )5217 3$1(/021,725
 'LVDVVHPEO\$VVHPEO\ RI )URQW 3DQHO
)ROORZ VWHSV EHORZ DQG UHIHU O,OOXVWUDWLRQ 


5HPRYH 7RS &RYHU 5HIHU VHFWLRQ 



/RFN WKH .H\ERDUG EHIRUH UHPRYLQJ WKH IURQW SDQHO



5HPRYH WKH NH\ERDUG FRQQHFWRU IURP WKH &38



5HPRYH WKH EODFN JURXQG FDEOH FRPLQJ IURP WKH NH\ERDUG DORQJ ZLWK WKH  SLQ IODW FDEOH FRQQHFWHG WR WKH FKDVVLV



5HPRYH %ULJKWQHVV DQG &RQWUDVW FRQQHFWRU IURP WKH %ULJKWQHVV DQG &RQWUDVW 3&% 5HIHU 'HWDLO  LQ WKH



5HPRYH WZR VFUHZV HI DQG GHWDFK WKH ERWWRP KLQJH RI WKH NH\ERDUG



5HPRYH WZR VFUHZV  DE IURP WKH EDVH DORQJ WKH ULE



5HPRYH WZR VFUHZV FG IURP WKH VXSSRUW SODWH RQ WKH FKDVVLV



'LVFRQQHFW WKH FRQQHFWRU FRPLQJ IURP WKH 32:(5 21 6ZLWFK

,OOXVWUDWLRQ 

 6OLGH WKH IURQW SDQHO DQG NH\ERDUG VXEDVVHPEO\ WRJHWKHU

 )RU DVVHPEO\ IROORZ WKH UHYHUVH RUGHU

0$7(5,$/ /,67 )URQW 3DQHO

23(5$725 &2162/( $66<
         
        
7$%/(  

)5217 3$1(/

)58
12

3$57 1$0(



)URQW 3DQHO $VVHPEO\ /RFN +ROG

3RZHU 6ZLWFK &57 ILOWHU



3$57
12

47<

)58



%ULJKWQHVV &RQWUDVW $VVHPEO\





&57 )LOWHU





/RFN +ROG





3RZHU 6ZLWFK





'(6&5,37,21

*( 0(',&$/ 6<67(06
5(9 

/2*,4a 6(59,&( 0$18$/









H
D

I
E
)5217 3$1(/ $66(0%/<

,//8675$7,21  







3RZHU 6ZLWFK /RFN +ROG

*( 0(',&$/ 6<67(06

/2*,4a 6(59,&( 0$18$/



5(9 
 'LVDVVHPEO\$VVHPEO\ RI 0RQLWRU
)ROORZ VWHSV EHORZ DQG UHIHU ,OOXVWUDWLRQ 


5HPRYH 7RS &RYHU 5HIHU VHFWLRQ 



5HPRYH )URQW 3DQHO 5HIHU VHFWLRQ 



'LVFRQQHFW WKH FRPPXQLFDWLRQ FDEOHV EHWZHHQ WKH $QDORJ DQG 'LJLWDO FLUFXLWV



5HPRYH 6KLHOG 3ODWH



5HPRYH WKH FRPPXQLFDWLRQ FDEOH  9,'(2 ,1 E %ULJKWQHVV&RQWUDVW LM DQG WKH SRZHU FDEOH D RQ WKH &57 3&%



5HPRYH WKH  VFUHZV FG KROGLQJ WKH &57 GULYH 3&% WR WKH FKDVVLV



5HPRYH  VFUHZV HIJK KROGLQJ WKH &57 $VV\ FRQQHFWHG WR WKH FKDVVLV



0RYH WKH &57 IRUZDUG DORQJ ZLWK &57 GULYHU 3&% DVVHPEO\



)RU DVVHPEO\ IROORZ WKH UHYHUVH RUGHU

127(
(QVXUH WKDW WKH PRQLWRU VZLWFK DOO WKH IRXU QHDU )O\ %DFN 7UDQVIRUPHU LV VHW WR 3$/ VLGH LQ FDVH RI 3$/ V\VWHPV
DQG WR 176& VLGH LQ FDVH RI 176& V\VWHPV

0$7(5,$/ /,67 0RQLWRU

23(5$725 &2162/( $66<
         
        
7$%/(  
021,725

)58
12

3$57 1$0(

3$57
12

47<

)58



0RQLWRU $VVHPEO\ &573&% ZLWK 

FDEOH DVV\  3$/176&



'XVW &RYHU 3ODWH





)LOWHU 3DG



1RWH
,I &57 IDLOV UHSODFH DORQJ ZLWK 3&%



'(6&5,37,21

*( 0(',&$/ 6<67(06
5(9 

/2*,4a 6(59,&( 0$18$/



6KLHOG SODWH

F
G

DE
M



H



J


)LOWHU 3DG



'XVW &RYHU 3ODWH

021,725 $66(0%/<

,//8675$7,21  



*( 0(',&$/ 6<67(06

/2*,4a 6(59,&( 0$18$/



5(9 
 3&%V
 'LVDVVHPEO\$VVHPEO\ RI '6&&38)/$6+
)ROORZ VWHSV EHORZ DQG UHIHU ,OOXVWUDWLRQ 


5HPRYH 7RS &RYHU 5HIHU VHFWLRQ 



)RU GLVDVVHPEOLQJ ERWK &38 DQG '6& %RDUGV WRJHWKHU UHPRYH DOO FRPPXQLFDWLRQV DQG SRZHU FDEOHV IURP WKH &38 DQG
'6& ERDUG &DEOHV FGHILMNO DQG QRQO\ IRU 9 6\VWHPV



5HPRYH WKUHH VFUHZV WZR RQ WKH UHDU JK DQG RQH VFUHZ D LQ WKH IURQW WR GHWDFK WKH 3&% $VVHPEO\ IURP WKH FKDVVLV



3XOO WKH '6& &38 ERDUGV XSZDUG



)RU '6& %RDUG RQO\ UHPRYH FDEOHV F H L N O DQG IRXU VFUHZV WZR IURP UHDU JK DQG WZR LQ WKH IURQW DE DQG GHWDFK WKH '6&
ERDUG VHSDUDWHO\
127(
(QVXUH WKDW WKH -XPSHU -3 RQ '6& DVV\ LV VHW WR 3$/ VLGH IRU 3$/ FRQVROHV DQG WR 176& VLGH IRU 176&
FRQVROHV SULRU WR UHSODFLQJ WKH 3&% DVV\ 5HIHU ,//8675$7,21  IRU GHWDLOV
(QVXUH WKDW WKH 6ZLWFK  6: WK VZLWFK RI &38 $VV\ LV VHW WR 176& RU 3$/ ,I 21 LW LV 3$/ LI 2)) LW LV 176&
5HIHU ,//8675$7,21  6HFWLRQ  IRU PRUH GHWDLOV



)RU &38 RQO\  UHPRYH VFUHZ J RQ WKH UHDU RI WKH V\VWHP DQG VFUHZ E DW WKH IURQW 5HPRYH &RQQHFWRUV FG I Q DQG WKHQ
SXOO WKH &38 SFE XSZDUG



)ODV\ %RDUG LV IL[HG DW WKH 6ROGHU 6LGH RI WKH &38 5HIHU ,//8675$7,21  IRU GHWDLOV



)RU 'LVDVVHPEOLQJ WKH )ODVK %RDUG UHPRYH WKH WKUHH VFUHZV  ZKLFK LV IL[LQJ WKH )ODVK %RDUG WR WKH &38 %RDUG



)RU DVVHPEO\ IROORZ WKH UHYHUVH RUGHU



*( 0(',&$/ 6<67(06
5(9 

/2*,4a 6(59,&( 0$18$/



D
E
F
G

3RZHU
)RRW VZLWFK

6KXWWHU

9LGHR LQ


D
P
S
7KHUPDO
FLUFXLW EUHDNHU
9LGHR RXW


L




M
K



J
$66(0%/< 2) 3&V &38'6&

,//8675$7,21  

&RPSRQHQW 6LGH RI &38 %RDUG

6ROGHU 6LGH 2)
&38 %RDUG

)ODVK %RDUG



)/$6+ %RDUG 'LV$VVHPEO\

,//8675$7,21  



*( 0(',&$/ 6<67(06

/2*,4a 6(59,&( 0$18$/



5(9 

176&

3$/

'6& $VV\ -XPSHU 6HWWLQJ IRU 3$/ DQG 176& IRU 9

,//8675$7,21  

(QVXUH WKDW WKH ',3 6ZLWFK  6: WK VZLWFK RI &38 $VV\ LV VHW WR 176& RU 3$/ ,I 21 LW LV 3$/ LI 2)) LW LV 176&

6:

&38 $VV\ ',3 6ZLWFK 6HWWLQJ IRU 3$/ DQG 176&

,//8675$7,21  



*( 0(',&$/ 6<67(06
5(9 

/2*,4a 6(59,&( 0$18$/



:KLOH 5HSODFLQJ &38  5HSODFH 75&7/ (3520 ZLWK WKH VXSSOLHG (3520V 
 RI  DW ORFDWLRQ 8 8 UHVSHFWLYHO\

8
8

75&7/ (3520 /RFDWLRQ IRU 5HSODFHPHQW GXULQJ 5HSODFLQJ &38 

,//8675$7,21  

 'LVDVVHPEO\$VVHPEO\ RI 75%'75&7/%'

)ROORZ VWHSV DQG UHIHU ,//8675$7,21 


5HPRYH 7RS &RYHU 5HIHU VHFWLRQ 



5HPRYH WZR VFUHZV HI IL[LQJ WKH 75&17/ DQG 75%' 3&%V WR WKH 5HDU SDQHO EUDFNHW



5HPRYH IRXU VFUHZV $%&' IURP WKH SUREH FRQQHFWRU



5HPRYH RQH VFUHZ K IL[LQJ 75%'75&7/ DVVHPEOLHV WR WKH FKDVVLV LQ WKH IURQW



'LVFRQQHFW WKH  SLQ FDEOHV  LM LQWHUIDFLQJ 75&7/ WR &38'6&



5HPRYH  SLQ FRD[LDO FDEOH FRQQHFWLQJ 75&7/ DQDORJ RXWSXW WR '6& DQG UHPRYH SRZHU VXSSO\ FDEOHV NOP RQ WKH UHDU RI
WKH V\VWHP



5HPRYH WKH 7*& FDEOH Q



+ROG ERWK WKH 75&17/ DQG 75%' 3&%V WRJHWKHU DQG SXOO XSZDUG



6HSDUDWH WKH ERDUGV FDUHIXOO\ E\ UHPRYLQJ WKUHH VFUHZV KROGLQJ WKH 3&%V WRJHWKHU GHWDFKLQJ WKH  SLQ HXUR FRQQHFWRU
DQG UHPRYLQJ FRD[LDO LQWHUIDFH FDEOH EHWZHHQ WKH WZR 3&%V

 )RU DVVHPEO\ IROORZ WKH UHYHUVH RUGHU



*( 0(',&$/ 6<67(06

/2*,4a 6(59,&( 0$18$/



5(9 



I
H

Q
J

&

'

352%( &211(&725

O
N



$66(0%/< 2) 3&%V 75%'75&7/%'

,//8675$7,21  



*( 0(',&$/ 6<67(06
5(9 

/2*,4a 6(59,&( 0$18$/



 0$7(5,$/ /,67 3&%6  &38

23(5$725 &2162/( $66<

         
        
7DEOH EHORZ H[SODLQV WKH &38 DQG LWV FRPSDWLELOLW\ ZLWK VRIWZDUH YHUVLRQV

7$%/(  

&38 3&%
)58
12

3&%
1$0(

3$57 12

47< )58

'(6&5,37,21



&38
$VV\
3$/176&



)RU &RQVROH ZLWK 6: 9HU  WR '



)RU &RQVROH ZLWK 6: 9HU 



)RU &RQVROH ZLWK 6: 9HU 

127(

 &38 LV FRPPRQ IRU 3$/ 176& 2QO\ GLS VZLWFK VHWWLQJ KDV WR EH FKDQJHG IRU WKH UHTXLUHG W\SH 5HIHU
,//8675$7,21 

 :KLOH 5HSODFLQJ &38  5HSODFH 75&7/ (3520 ZLWK WKH VXSSOLHG (3520V   RI
 DW ORFDWLRQ 8 8 UHVSHFWLYHO\ 5HIHU ,//8675$7,21  IRU GHWDLOV

 5HSODFH 7KH 8VHU PDQXDO ZLWK 9$ 8VHU 0DQXDO

 0$7(5,$/ /,67  /,7+,80 %$77(5<

23(5$725 &2162/( $66<

         
        
7$%/(  

/,7+,80 %$77(5<

)58
12

3$57 1$0(

3$57 12



/LWKLXP %DWWHU\  9



47<

)58

'(6&5,37,21
5HIHU ,OOXVWUDWLRQ 

 0$7(5,$/ /,67 3&%  )/$6+

23(5$725 &2162/( $66<

      
7DEOH EHORZ H[SODLQV WKH )/$6+ 3&% DQG LWV FRPSDWLELOLW\ ZLWK VRIWZDUH YHUVLRQV

7$%/(  

)/$6+ 3&% $VV\

)58
12

3&% 1$0(

3$57 12



)/$6+ $VV\



47< )58




'(6&5,37,21
)ODVK $VV\ LV DQ 2SWLRQDO  LPDJH VWRUDJH ERDUG XVHG IRU
FRQVROH ZLWK 6RIWZDUH 9HU  DORQJ ZLWK 6WDQGDUG  LPDJHV
VWRUDJH RI &38 $VV\ 

*( 0(',&$/ 6<67(06

/2*,4a 6(59,&( 0$18$/



5(9 
 0$7(5,$/ /,67 3&%6  '6&

23(5$725 &2162/( $66<

         
        
7DEOH EHORZ H[SODLQV WKH '6& 3&%V DQG WKHLU FRPSDWLELOLW\ ZLWK VRIWZDUH YHUVLRQV

7$%/(  

'6& 3&%
)58
12

3&%
1$0(

3$57 12



'6& $VV\
176&3$/



)RU &RQVROH ZLWK 6: 9HU  WR ' 



)RU &RQVROH ZLWK 6: 9HU 

47< )58

'(6&5,37,21

127(

    DUH FRPPRQ IRU 3$/176& V\VWHP ZKLOH UHSODFLQJ DW ILHOG MXPSHU -3
QHHGV WR EH VHW DV SHU ,//8675$7,21  GHSHQGLQJ RQ 3$/ RU 176& FRQVROH

 )RU 9HU $ DQG EHORZ FRQVROHV ZKLOH UHSODFLQJ '6& $VV\  FKDQJH WKH MXPSHU VHWWLQJ -3 WR 3$/176&
DSSURSULDWHO\ XSJUDGH &38 WR ' VRIWZDUH E\ UHSODFLQJ (3520V 8% 8%

 ZLWK VWDQGDUG  )UDPH &,1( LV XVHG IRU &RQVROH ZLWK 6RIWZDUH 9HU 
 ZLWK DGGLWLRQDO  )UDPH RSWLRQ DORQJ ZLWK VWDQGDUG  )UDPH &,1( LV XVHG IRU FRQVROH ZLWK 9HUVLRQ 
  LV QRW EDFNZDUG FRPSDWLEOH ZLWK HDUOLHU YHUVLRQV RI '6& $VV\



*( 0(',&$/ 6<67(06
5(9 

/2*,4a 6(59,&( 0$18$/



 0$7(5,$/ /,67 3&%6  75%' 75&7/

23(5$725 &2162/( $66<

         
        
7DEOH EHORZ H[SODLQV WKH 75%' DQG 75&7/ 3&%V DQG WKHLU FRPSDWLELOLW\ ZLWK VRIWZDUH YHUVLRQV

7$%/(  

75%' 75&7/ 3&%V

)58
12

3&%
1$0(

3$57 12



75%'
$VV\



)RU &RQVROH ZLWK 6: 9HU   $'    DERYH



75&7/
$VV\



)RU &RQVROH ZLWK 6: 9HU  WR ' 9

 

)RU &RQVROH ZLWK 6: 9HU 

47< )58

'(6&5,37,21

127(

 75%' $VV\V  LV EDFNZDUG FRPSDWLEOH ZLWK HDUOLHU YHUVLRQV RI 75%' $VV\V
 75&7/ $VV\V  LV EDFNZDUG FRPSDWLEOH ZLWK HDUOLHU YHUVLRQ RI 75&7/ DVV\V
 75&7/ $VV\  LV QRW EDFNZDUG FRPSDWLEOH ZLWK HDUOLHU YHUVLRQ RI 75&7/ DVV\V



*( 0(',&$/ 6<67(06

/2*,4a 6(59,&( 0$18$/



5(9 
 32:(5 6833/<',675,%8725 3&%
 'LVDVVHPEO\$VVHPEO\ RI 3RZHU 6XSSO\'LVWULEXWRU 3&%
)ROORZ VWHSV EHORZ DQG UHIHU ,//8675$7,21 


5HPRYH 7RS &RYHU 5HIHU VHFWLRQ 



5HPRYH )URQW 3DQHO 5HIHU VHFWLRQ 



5HPRYH GXVW ILOWHU



5HPRYH WZR VFUHZV HI KROGLQJ WKH SRZHU VXSSO\ XQLW WR WKH FKDVVLV



5HPRYH IRXU VFUHZV FGJK WR UHPRYH FURVV PHPEHU



5HPRYH WKH IDQ 5HIHU VHFWLRQ 



5HPRYH DOO FRQQHFWLRQV RQ WKH 3RZHU 6XSSO\ 'LVWULEXWRU



5HPRYH VFUHZV DE KROGLQJ WKH 3RZHU 6XSSO\ WR WKH FKDVVLV



5HPRYH WZR VFUHZV LN DQG ORRVH WKH RWKHU WZR VFUHZV MO DQG UHPRYH WKH GXVW ILOWHU SODWH

 6OLGH WKH SRZHU VXSSO\ IRUZDUG &57 PD\ KDYH WR EH OLIWHG XS WR UHPRYH WKH SRZHU VXSSO\
 5HPRYH VL[ VFUHZV KROGLQJ WKH 3RZHU 6XSSO\ 'LVWULEXWRU 3&% WR WKH SRZHU VXSSO\ UHDU EUDFNHW
 5HPRYH WKH 3RZHU 'LVWULEXWRU 3&% XSZDUG DIWHU GLVFRQQHFWLQJ WKH FDEOH FRQQHFWRU EHWZHHQ SRZHU VXSSO\ DQG SRZHU GLV
WULEXWRU SFE
 )RU DVVHPEO\ IROORZ WKH UHYHUVH RUGHU

0$7(5,$/ /,67 3RZHU 6XSSO\'LVWULEXWRU 3&%

23(5$725 &2162/( $66<
         
        
7$%/(  

32:(5 6833/<',675,%8725 3&%

)58
12

3$57 1$0(

3$57
12

47<

)58



3RZHU 6XSSO\ /RZ 9ROWDJH

$VVHPEO\





3RZHU 6XSSO\ $VVHPEO\ ZLWK VKLHOG





3RZHU 'LVWULEXWRU 3&% $VVHPEO\





'(6&5,37,21

*( 0(',&$/ 6<67(06
5(9 

/2*,4a 6(59,&( 0$18$/







O
32:(5 6833/< $66(0%/<

,//8675$7,21  



*( 0(',&$/ 6<67(06

/2*,4a 6(59,&( 0$18$/



5(9 
 )$1
 'LVDVVHPEO\$VVHPEO\ RI )DQ
)ROORZ VWHSV EHORZ DQG UHIHU ,//8675$7,21 


5HPRYH 7RS &RYHU 5HIHU VHFWLRQ 



5HPRYH  VFUHZV DG DQG ORRVHQ VFUHZV EF IURP WKH FKDVVLV



5HPRYH WKH FRQQHFWRU H RQ WKH SRZHU GLVWULEXWRU ERDUG ZKLFK LV FRQQHFWHG WR WKH IDQ



5HPRYH )DQ DVVHPEO\ IURP WKH XQLW



)RU DVVHPEO\ IROORZ WKH UHYHUVH RUGHU

0$7(5,$/ /,67 )DQ $VVHPEO\

23(5$725 &2162/( $66<
         
        
7$%/(  

)$1 $66(0%/<

)58
12


3$57 1$0(
)DQ $VVHPEO\

3$57
12

47<

)58





'(6&5,37,21
)DQ ZLWK EUDFNHW

*( 0(',&$/ 6<67(06
5(9 

/2*,4a 6(59,&( 0$18$/



G


)$1 $66(0%/<

,//8675$7,21  



*( 0(',&$/ 6<67(06

/2*,4a 6(59,&( 0$18$/



5(9 
 5($5 3$1(/
 'LVDVVHPEO\$VVHPEO\ RI 5HDU 3DQHO
)ROORZ VWHSV EHORZ DQG UHIHU ,//8675$7,21 


5HPRYH 7RS &RYHU 5HIHU VHFWLRQ 



5HPRYH 1RLVH ILOWHU E\ UHPRYLQJ VFUHZV FM WKHQ GLVFRQQHFW WKH SRZHU FDEOHV IURP WKH QRLVH ILOWHU



5HPRYH  VFUHZV EL IURP WKH UHDU SDQHO



5HPRYH WKH FRQQHFWRUV IURP WKH '6& ERDUG DQG &57 3&%



5HPRYH WKH FRQQHFWLRQV WR WKH FLUFXLW EUHDNHU



5HPRYH WKH UHDU SDQHO IURP WKH FKDVVLV



)RU DVVHPEO\ IROORZ WKH UHYHUVH RUGHU

0$7(5,$/ /,67 5HDU 3DQHO

23(5$725 &2162/( $66<
         
        
7$%/(  

5($5 3$1(/

)58
12

3$57 1$0(

3$57
12

47<

)58



5HDU 3DQHO $VVHPEO\



)RU 9 2SHUDWRU &RQVROHV RI 9$&

    




)RU 9 2SHUDWRU &RQVROHV RI 9$&





2QO\ IRU 9 &RQVROH RI 9$&

   




2QO\ IRU 9 &RQVROH RI 9$&









5HDU 3DQHO $VVHPEO\

&LUFXLW %UHDNHU



'(6&5,37,21

*( 0(',&$/ 6<67(06
5(9 

/2*,4a 6(59,&( 0$18$/





M
D
E


J
I
H
G


&LUFXLW %UHDNHU

5($5 3$1(/ $66(0%/<

,//8675$7,21  



*( 0(',&$/ 6<67(06

/2*,4a 6(59,&( 0$18$/



5(9 
 +9 32:(5 6833/<
 'LVDVVHPEO\$VVHPEO\ RI +9 3RZHU 6XSSO\
)ROORZ VWHSV EHORZ DQG UHIHU ,//8675$7,21 


5HPRYH 7RS &RYHU 5HIHU VHFWLRQ 



5HPRYH WKH 6KLHOG 3ODWH



5HPRYH DOO FDEOHV D WR WKH +9 3RZHU 6XSSO\



5HPRYH  VFUHZV EG RQ WKH FODPS



3XOO WKH +9 3&% XSZDUG FDEOHV HI PD\ KDYH WR EH UHPRYHG



)RU DVVHPEO\ IROORZ WKH UHYHUVH RUGHU

0$7(5,$/ /,67 +9 3RZHU 6XSSO\ $VVHPEO\

23(5$725 &2162/( $66<
         
        
7$%/(  

+9 32:(5 6833/< $66(0%/<

)58
12


3$57 1$0(
+9 3RZHU 6XSSO\ $VVHPEO\

3$57
12

47<

)58





'(6&5,37,21

*( 0(',&$/ 6<67(06
5(9 

/2*,4a 6(59,&( 0$18$/





+9 32:(5 6833/<

,//8675$7,21  



*( 0(',&$/ 6<67(06

/2*,4a 6(59,&( 0$18$/



5(9 
 &+$66,6
)ROORZ VWHSV EHORZ DQG UHIHU ,//8675$7,21 


5HPRYH 7RS &RYHU 5HIHU VHFWLRQ 



5HPRYH )URQW 3DQHO 5HIHU VHFWLRQ 



5HPRYH 0RQLWRU $VVHPEO\ 5HIHU VHFWLRQ 



5HPRYH 3&%V 5HIHU VHFWLRQ 



5HPRYH WKH IDQ 5HIHU VHFWLRQ 



5HPRYH WKH UHDU SDQHO 5HIHU VHFWLRQ 



5HPRYH 3RZHU 6XSSO\ 5HIHU VHFWLRQ 



5HPRYH +9 3RZHU 6XSSO\ 5HIHU VHFWLRQ 



5HPRYH WKH FKDVVLV E\ UHPRYLQJ HLJKW VFUHZV DEFGHIJK RQ WKH EDVH

 )RU DVVHPEO\ IROORZ WKH UHYHUVH RUGHU

0$7(5,$/ /,67 &KDVVLV

23(5$725 &2162/( $66<
         
        
7$%/(  
&+$66,6

)58
12

3$57 1$0(

3$57
12

47<

)58



&KDVVLV ZLWK 0\ODU VKHHW





%DVH





'(6&5,37,21

*( 0(',&$/ 6<67(06
5(9 

/2*,4a 6(59,&( 0$18$/





E
F



FKDVVLV

,//8675$7,21  



*( 0(',&$/ 6<67(06

/2*,4a 6(59,&( 0$18$/



5(9 
 &$%/( $VV\

0$7(5,$/ /,67 &DEOH $VVHPEO\

7$%/(  

&$%/( $66(0%/<

)58 12


3$57 1$0(

3$57 12 47<

/2*,4a &DEOH 6HW



)58


'(6&5,37,21
&DEOH $VV\ IRU /2*,4 a

/2*,4a &DEOH 6HW  FRPSULVHV RI

3DUW 1DPH

3DUW 1XPEHU

4W\ 'HVFULSWLRQ

&DEOH $VV\ 



&DEOH EHWZHHQ SRZHU OLQH QRLVH ILOWHU DQG FLUFXLW EUHDNHU

&DEOH $VV\ 



&DEOH XVHG IRU LQWHUIDFLQJ PDLQV SRZHU ORZ YROWDJH SRZHU VXSSO\
QRLVH ILOWHU DQG SRZHU VZLWFK
&RQWDLQV DSDUW IURP FDEOH &RUH 6XSSRUW &ODPS DQG DVVRFLDWHG
6FUHZV DQG 1XWV

&DEOH $VV\ 



&DEOH $VVHPEO\ IRU SRZHU VZLWFK

&DEOH$VV\ 



&DEOH $VVHPEO\ EHWZHHQ ORZ YROWDJH SRZHU VXSSO\ DQG SRZHU

GLVWULEXWRU 3&%

&DEOH $VV\ 



&DEOH $VVHPEO\ IRU 9 VHQVH EHWZHHQ SRZHU GLVWULEXWRU DQG

&RQGRU SRZHU VXSSO\

&DEOH $VV\ 



&DEOH $VVHPEO\ IRU SRZHU VXSSO\ WR &38 $VVHPEO\

&DEOH $VV\ 



&DEOH $VVHPEO\ IRU SRZHU VXSSO\ WR '6& $VVHPEO\

&DEOH $VV\ 



&DEOH $VVHPEO\ IRU SRZHU VXSSO\ WR '6& $VVHPEO\

&DEOH $VV\



&DEOH $VVHPEO\ IRU SRZHU VXSSO\ WR 75&7/ $VVHPEO\

&DEOH $VV\ 



&DEOH $VVHPEO\ IRU SRZHU VXSSO\ WR 75%' $VVHPEO\

&DEOH $VV\



&DEOH $VVHPEO\ IRU +9 SRZHU VXSSO\ WR 75%' $VVHPEO\

&DEOH $VV\



$QDORJ LQWHUIDFH FDEOH IRU 75%' 75&7/ $VVHPEO\

&DEOH $VV\



&DEOH EHWZHHQ SRZHU GLVWULEXWRU DQG +9 SRZHU VXSSO\

&DEOH $VV\



&DEOH $VVHPEO\ EHWZHHQ SRZHU GLVWULEXWRU DQG PRQLWRU

&DEOH $VV\



&3875&7/ ,QWHUIDFH FDEOH

&DEOH $VV\



75&7/'6& ,QWHUIDFH FDEOH

&DEOH $VV\



&38'6& ,QWHUIDFH FDEOH

&DEOH $VV\



$QDORJ &RPPXQLFDWLRQ FDEOH EHWZHHQ 75&7/ DQG '6&

&DEOH $VV\



&38.%' LQWHUIDFH FDEOH

&DEOH $VV\



&38  5HDU 3DQHO 56 FDEOHIRU &RQVROH 9 DQG EHORZ

&DEOH $VV\



7*&  75&7/ LQWHUIDFH FDEOHIRU 9 DERYH

&DEOH $VV\



&38  5HDU 3DQHO 3DUDOOHO 3RUW FDEOHIRU 9 DERYH








1RWH
&DEOH $VVHPEO\   LV SDUW RI &DEOH $VVHPEO\ 
&DEOH $VVHPEO\   FRPHV ZLWK IDQ
&DEOH $VVHPEO\   DQG   DUH SDUW RI 5HDU 3DQHO $VVHPEO\
&DEOH $VVHPEO\   LV SDUW RI .H\ERDUG $VVHPEO\
&DEOH $VVHPEO\   LV SDUW RI *DLQ (QFRGHU $VVHPEO\
'HSHQGLQJ RQ 9 9 6\VWHPV &DEOH WR EH XVHG



*( 0(',&$/ 6<67(06
5(9 

/2*,4a 6(59,&( 0$18$/



 *HQHUDO
 0HWDOOLF 6HW

0$7(5,$/ /,67 0HWDOOLF 6HW

7$%/(  

0(7$//,& 6(7

)58 12


3$57 1$0(
/2*,4a  PHWDOOLF VHW

3$57 12

47<

)58



'(6&5,37,21
0HWDOOLF SDUWV RI /2*,4a

/2*,4a 0HWDOOLF 6HW  FRPSULVHV RI

3DUW 1DPH

3DUW 1XPEHU

4XDQWLW\

%DVH 3ODWH



)RU 9 6\VWHPV DQG EHORZ

%DVH 3ODWH



)RU 9 DERYH 6\VWHPV

7UDFNEDOO %UDFNHW



)RU 9 6\VWHPV DQG EHORZ

7UDFNEDOO %UDFNHW



)RU 9 DERYH 6\VWHPV

*DLQ &RQWURO %UDFNHW



+HOLFDO 6SULQJ &RLO



6XSSRUW 3ODWH



= 3ODWH



5  3ODWH



/  3ODWH



3UREH &RQQHFWRU &RYHU



3&% 6SDFHU



3RZHU 6XSSO\ 6KLHOG



)DQ %UDFNHW



/  %UDFNHW



+DQGOH %UDFNHW )URQW



+DQGOH %UDFNHW 5HDU



5HDU 3DQHO %UDFNHW



)RU 9 6\VWHPV EHORZ

5HDU 3DQHO %UDFNHW



)RU 9 DERYH 6\VWHPV

$QDORJ 3&% )URQW &ODPS



'LJLWDO 3&% )URQW &ODPS



+LQJH %UDFNHW 5LJKW



+LQJH %UDFNHW /HIW



&URVV 0HPEHU



&DEOH FODPS OHYHU



(GJLQJ



 P

&KDVVLV )URQW %UDFNHW





'HVFULSWLRQ

*( 0(',&$/ 6<67(06

/2*,4a 6(59,&( 0$18$/



5(9 
 0HWWDOLF 6HW &RQWLQXHG
3DUW 1DPH

3DUW 1XPEHU

4XDQWLW\

3RZHU 6XSSO\ 5HDU %UDFNHW



3RZHU 6XSSO\ )URQW %UDFNHW



'XVW &RYHU 3ODWH



%DFN 3ODWH



&DEOH &ODPS VPDOO



&KDVVLV ZLWK P\ODU VKHHW



&RUH 6XSSRUW &ODPS



6KLHOG 3ODWH



&DEOH FODPS ELJ



'HVFULSWLRQ

 3ODVWLF 6HW

0$7(5,$/ /,67 3ODVWLF 6HW

7$%/(  

3/$67,& 6(7

)58
12

3$57 1$0(

3$57 12

47<

)58

'(6&5,37,21



/2*,4a  3ODVWLF VHW



3ODVWLF SDUWV RI /2*,4a

/2*,4a 3ODVWLF 6HW  FRPSULVHV RI

3DUW 1DPH

3DUW 1XPEHU

4XDQWLW\

'HVFULSWLRQ

5HDU 3DQHO 6WLFNHU  9



)RU 9 6\VWHPV EHORZ

5HDU 3DQHO 6WLFNHU  9



)RU 9 6\VWHPV EHORZ

5HDU 3DQHO 6WLFNHU  9



)RU 9 DERYH 6\VWHPV

5HDU 3DQHO 6WLFNHU  9



)RU 9 DERYH 6\VWHPV

.H\ 6KHHW



7% 5LQJ 3DG



7% %DVH 3DG



/RFN 5HOHDVH



.H\ %RDUG 7RS



(QG &DS



.H\ %RDUG %RWWRP (PEOHP

 PRXQWHG RQ WKLV





)RU 9 6\VWHPV EHORZ

*( 0(',&$/ 6<67(06
5(9 

/2*,4a 6(59,&( 0$18$/



 3ODVWLF 6HW &RQWLQXHG

3DUW 1DPH

3DUW 1XPEHU

4XDQWLW\

.H\ %RDUG %RWWRP (PEOHP

 PRXQWHG RQ WKLV



5LQJ %XVK



*DLQ .QRE



6SDFHU 3DG



)URQW 3DQHO (PEOHP

 PRXQWHG



)RU 9 6\VWHPV EHORZ

)URQW 3DQHO (PEOHP

 PRXQWHG



)RU 9 DERYH 6\VWHPV

&57 )LOWHU



)LOWHU 3DG



/RFN +ROG



.QRE



%RWWRP +LQJH



+DQGOH 7RS



+DQGOH %RWWRP



7RS &RYHU



&DEOH +RRN  5LJKW



&DEOH +RRN  /HIW



+DQGOH &DS



3UREH +ROGHU



%DVH



6XSSRUW 3DG



5HDU 3DQHO



)RU 9 6\VWHPV EHORZ

5HDU 3DQHO



)RU 9 DERYH 6\VWHPV

3URWHFWLYH (DUWK /DEHO



7*& &DSV



)RU 9 DERYH 6\VWHPV

)RU 9 DERYH V\VWHPV

7KH IROORZLQJ 3ODVWLF LWHPV DUH SDLQWHG ZLWK &RSSHU 3DLQW 7KLV SDUWV FDQ EH PL[HG ZLWK WKH HDUOLHU 6LOYHU
3DLQWHG 3DUWV








7RS FRYHU  

%RWWRP +LQJH  
)URQW SDQHO   IRU 9 V\VWHPV  IRU 9 V\VWHPV
.H\ERDUG 7RS  
.H\ERDUG %RWWRP   IRU 9 V\VWHPV  IRU 9 V\VWHPV
%DVH  



*( 0(',&$/ 6<67(06

/2*,4a 6(59,&( 0$18$/



5(9 
 )DVWHQHU 6HW

0$7(5,$/ /,67 )DVWHQHU 6HW

7$%/(  

)$67(1(5 6(7

)58
12


3$57 1$0(
/2*,4a  )DVWHQHU VHW

3$57
12

47<

)58



'(6&5,37,21
)DVWHQHU VHW RI /2*,4a

/2*,4a )DVWHQHU 6HW  FRPSULVHV RI

3DUW 1XPEHU

4XDQWLW\

675 6FUHZ &RQGRU



&KURPH 675 6FUHZ 0 [ 



&KU VWU6FU 0 [  %XLO LQ

635  3/1:$6



&KURPH 6WU 6FUHZ 0 [ 



6756FU 0 [  %XLOW LQ
635  3/1:$6



 IRU 9 EHORZ

 IRU 9 DERYH

6WU 6FUHZ 0 [ 





&VN 6FUHZ 0 [ 





6WU6FUP  [   %XLOW LQ
635  3/1:$6





*UXE 6FUHZ 0 [ 



6WU 6FUHZ 0 [ 



&KU3OW 6WU6& 0 [ 



. &ODPS  0  [  6FUHZ



&KURPH 6WU 6FUHZ 0 [ 



&KUVWU6FUP  [   %XLOW LQ 635

 3/1:$





&KU 6WU 6FU 0 [  

3ODLQ :DVKHU  635 :DVKHU



6HUDWHG :DVKHU IRU &RQGRU 36



&KURPH 6WDU 6FUHZ 0 [ 



&KU 6WU 6FU 0 [  

%XLOW LQ :DVKHU



&KU 6WU 6FU 0 [   6HUUDWHG

:DVKHU



+H[DJRQDO 1XW 0



7DS 7LJKW 6FUHZV 0 [ 





6HOI 7DS 6FUHZV 0 [ 



3DUW 1DPH



*( 0(',&$/ 6<67(06
5(9 

/2*,4a 6(59,&( 0$18$/



 7UDFNEDOO 0DLQWHQDQFH .LW

0$7(5,$/ /,67 7UDFNEDOO 0DLQWHQDQFH .LW 2QO\ IRU 0HFKDQLFDO 7UDFNEDOO

23(5$725 &2162/( $66<
       
   
7$%/(  

75$&.%$// 0$,17(1$1&( .,7

)58
12


3$57 1$0(
7UDFNEDOO &OHDQLQJ .LW

3$57
12


47<

)58

'(6&5,37,21

7UDFNEDOO &OHDQLQJ .LW  FRPSULVHV RI

3DUW 1XPEHU

4XDQWLW\

7UDFNEDOO 7RRO





&RWWRQ %XG





7&) 'U\ &OHDQHU





3DUW 1DPH

127(

 2SWLFDO 7UDFNEDOO 'RHVQRW 5HTXLUH &OHDQLQJ



*( 0(',&$/ 6<67(06
5(9 

/2*,4a 6(59,&( 0$18$/



 29(59,(:
7KLV &KDSWHU FRQWDLQV SHULRGLF PDLQWHQDQFH SURFHGXUHV 3HULRGLF PDLQWHQDQFH KHOSV LQ UHGXFLQJ HTXLSPHQW GRZQ
WLPH VHUYLFH FRVW DQG RSHUDWLRQDO KD]DUGV

 3(5,2',& 0$,17(1$1&(

3HULRGLF 0DLQWHQDQFH FRQVLVWV RI YLVXDO LQVSHFWLRQV V\VWHP SHUIRUPDQFH FKHFNV SHULRGLF FOHDQLQJ RI FHUWDLQ FULWLFDO
SDUWV DQG (OHFWULFDO 6DIHW\ 7HVWV 3HUIRUP WKHVH SURFHGXUHV DW VL[ PRQWKV LQWHUYDO WR HQVXUH VPRRWK IXQFWLRQLQJ RI WKH
V\VWHP 7KH VFKHGXOH RI PDLQWHQDQFH LV EDVHG RQ DQ HVWLPDWHG HTXLSPHQW XVDJH RI  KRXUV SHU ZHHN

 352&('85(6
 9LVXDO ,QVSHFWLRQ
D &KHFN FDEOHV IRU FUDFNV QLFNV DQG DEUDVLRQV RI WKHLU LQVXODWLRQ
E &KHFN WKDW FDEOHV VKHDWK DUH VHFXUHO\ FODPSHG LQ FDEOH JODQGVFRQQHFWRU FODPSV ZKHUH DSSOLFDEOH
F

&KHFN WKDW FDEOHV DUH FRUUHFWO\ URXWHG DQG VHFXUHG

G &KHFN WKDW DOO VFUHZV DUH LQ SODFH DQG QRW PLVVLQJ

H &KHFN WKDW DOO GHWDFKDEOH FDEOH FRQQHFWRUV DUH IXOO\ KRPH LQ WKHLU VRFNHWV
I

&KHFN WKDW DOO HTXLSPHQW FRYHUV DQG IL[LQJ DUH LQ SODFH DQG XQGDPDJHG

J &KHFN WKDW WKH NH\ERDUG NH\V DQG WUDFNEDOO KDYH FRUUHFW IXQFWLRQ DQG QR PHFKDQLFDO GDPDJH
K &KHFN WKH SUREH DQG SUREH FDEOH IRU FUDFNV RU GHWHULRUDWLRQ
L

&KHFN SUREHV IRU GDPDJHV

M

&KHFN IRU PHFKDQLFDO SUREOHPV RU NH\ERDUG SUREOHPV

N

&KHFN WKH HTXLSPHQW IRU ORRVH RU PLVVLQJ KDUGZDUH

O

&KHFN WKH RSHUDWLRQ RI WKH FRROLQJ IDQ DQG PDNH VXUH WKDW DLU IORZ SDWK LV FOHDU



*( 0(',&$/ 6<67(06

/2*,4a 6(59,&( 0$18$/

5(9 



 &OHDQLQJ
$OO H[WHUQDO SDUWV PD\ EH FOHDQHG XVLQJ D VRIW FORWK OLJKWO\ PRLVWHQHG ZLWK ZDUP ZDWHU ,I QHFHVVDU\ XVH PLOG VRDS
VROXWLRQ 'R QRW XVH DOFRKRO EDVHG VROXWLRQV VROYHQWV RU DEUDVLYH FOHDQHUV
6\VWHP
D 3ULRU WR FOHDQLQJ WKH V\VWHP WXUQ 2)) WKH V\VWHP DQG VWDUW WKH FOHDQLQJ RSHUDWLRQ
E &OHDQ &57 ILOWHU
F

&OHDQ WKH IDQ DQG WKH ERG\ RI WKH /2*,4a100 ZLWK D YDFXXP FOHDQHU DQG EULVWOHG EUXVK

G &OHDQ DURXQG WKH XQLW DQG WKH V\VWHP FDELQHW

H &OHDQ WKH GLVSOD\ PRQLWRU 8VH D VRIW VOLJKWO\ PRLVWHQHG FORWK ,I WKH PRQLWRU LV VWLOO VRLOHG XVH D
VOLJKWO\ PRLVWHQHG FORWK ZLWK GHWHUJHQW 7KHQ FOHDQ ZLWK D VRIW FORWK
I

8VH D VRIW VOLJKWO\ PRLVWHQHG FORWK WR FOHDQ WKH NH\ERDUG FRQWUROV

J &OHDQ WKH IRRW VZLWFK ZLWK D VRIW QRQDEEUDVLYH VOLJKWO\ PRLVWHQHG FORWK
K &OHDQ WKH 9&5 ZLWK D VRIW FOHDQ GU\ FORWK &OHDQ WKH UHFRUG DQG SOD\EDFN KHDGV ZLWK D VRIW QRQ
DEUDVLYH FOHDQLQJ V\VWHP
L

&OHDQ WKH 9LGHR *UDSKLF 3ULQWHU ZLWK D VRIW GU\ FORWK

1RWH

'R QRW VSUD\ DQ\ OLTXLG GLUHFWO\ LQWR WKH V\VWHP :KHQ FOHDQLQJ WKH PRQLWRU PDNH VXUH QRW WR VFUDWFK
WKH PRQLWRU
3UREHV
&OHDQ WKH SUREH OHQV FDEOH DQG FDVLQJ WKRURXJKO\ &KHFN IRU DQ\ FUDFN ZKLFK ZLOO DOORZ OLTXLG WR HQWHU WKH SUREH ,I DQ\
VXFK GDPDJH LV IRXQG GR QRW XVH WKH SUREH WLOO UHSODFHG
D 5HPRYH WKH FRXSOLQJ JHO IURP WKH SUREH E\ ZLSLQJ ZLWK D VRIW FORWK RU ULQVLQJ ZLWK IORZLQJ ZDWHU
E 7KH SUREH FDQ DOVR EH ZDVKHG ZLWK OXNHZDUP ZDWHU DQG PLOG VRDS ZLWK D VRIW VSRQJH JDX]H RU
FORWK UHPRYLQJ DOO YLVLEOH UHVLGXH 'HWHUJHQW RU DEUDVLYH FOHDQHUV VKRXOG QRW EH XVHG
F

:DVK WKRURXJKO\ ZLWK GLVWLOOHG ZDWHU WR UHPRYH DOO VRDS UHVLGXH

G 'U\ WKH SUREH ZLWK D VRIW FORWK RU E\ H[SRVLQJ LW WR $LU

H 'R QRW XVH 0LQHUDO 2LO 2LO EDVHG FRXSODQWV RU RWKHU QRQDSSURYHG PDWHULDOV EHFDXVH WKH\ PD\ GDP
DJH WKH SUREH HJ ORWLRQV DUH RLO EDVHG FRXSODQWV
I

'R QRW LPPHUVH RU VRDN DQ\ SDUW RI WKH SUREH LQ DQ\ FOHDQLQJ PDWHULDO DQG GR QRW DWWHPSW WR VWHULOL]H
WKH SUREH ZLWK DXWRFODYH XOWUDYLROHW JDPPD UDGLDWLRQ JDV RU GU\KHDW VWHULOL]DWLRQ WHFKQLTXHV

J 3URSHUO\ LPPHUVH WKH SUREH LQ D VXLWDEOH FRPPHUFLDO JHUPLFLGH 8VH DQ (3$ UHJLVWHUHG JHUPLFLGH
LQWHQGHG IRU XVH RQ SODVWLF PHGLFDO LQVWUXPHQWV )ROORZ WKH JHUPLFLGH PDQXIDFWXUHUV LQVWUXFWLRQV UH
JDUGLQJ FRQFHQWUDWLRQ WLPH RI FRQWDFW VWRUDJH DQG GLVSRVDO



*( 0(',&$/ 6<67(06
5(9 

/2*,4a 6(59,&( 0$18$/



K  *OXWDUDOGHK\GH W\SH VROXWLRQV ZLWKRXW VXUIDFWDQWV DUH UHFRPPHQGHG VXFK DV &LGH[ 

L

'R QRW XVH DOFRKRO RU DOFRKRO EDVHG VROXWLRQV

M

7KRURXJKO\ ULQVH DOO UHVLGXH IURP WKH SUREH ZLWK VWHULOH GLVWLOOHG ZDWHU DIWHU UHPRYDO IURP WKH
JHUPLFLGH

 0HDVXUHPHQW
D 0DNH VXUH WKDW HOHFWULFDO RXWOHW RI KRVSLWDO VKRXOG SURYLGH WKH SURSHU SRZHU RXWSXW 5HIHU WR &KDSWHU
 ,QVWDOODWLRQ
E (QVXUH WKDW DOO SRZHU VXSSO\ YROWDJHV DUH ZLWKLQ WROHUDQFH 5HIHU &KDSWHU  )XQFWLRQDO &KHFNV IRU
VHUYLFH DGMXVWPHQW SURFHGXUH
F

3HUIRUP HOHFWULFDO VDIHW\ WHVWV RQ WKH IROORZLQJ FRPSRQHQWV 

-

+RVSLWDO RXWOHW )DFLOLW\ SRZHU ZLULQJ WHVW

$OO WUDQVGXFHUV 7UDQVGXFHU VRXUFH OHDNDJH FXUUHQW WHVW

&RQVROH DQG SHULSKHUDOV &KDVVLV VRXUFH OHDNDJH FXUUHQW WHVW DQG JURXQG FRQWLQXLW\ WHVW



*( 0(',&$/ 6<67(06

/2*,4a 6(59,&( 0$18$/

5(9 



 75$&.%$// 0$,17(1$1&( 2QO\ IRU 0HFKDQLFDO 7UDFNEDOOV QRW DSSOLFDOEH IRU 2SWLFDO 7UDFNEDOO
7KH WUDFNEDOO QHHGV WR EH NHSW FOHDQ LQ RUGHU WR RSHUDWH VPRRWKO\ :KHQ GLUW VWLFNV LQVLGH WKH WUDFNEDOO LWV RSHUDWLRQ
FDQ EH HUUDWLF RU LPSDLUHG 5HJXODUO\ FOHDQ WKH WUDFNEDOO DFFRUGLQJ WR WKH IROORZLQJ SURFHGXUH
2EWDLQ WKH IROORZLQJ LWHPV IRU FOHDQLQJ WKH WUDFNEDOO
7KH 7UDFNEDOO 0DLQWHQDQFH .LW  FRPSULVHV RI
7UDFNEDOO 7RRO 2SHQHU
&RWWRQ %XG LPSUHJQDWHG
7)& 'U\ &OHDQHU
25
7UDFNEDOO 7RRO 2SHQHU
&RWWRQ %XG (WKDQRO LVRSURS\O DOFRKRO RU 9&5 KHDG FOHDQHU DQG GU\ FORWK
 5HPRYDO RI WKH 5HWDLQHU 5LQJ
D 7XUQ 2)) WKH V\VWHP DQG XQSOXJ WKH XQLW
E ,QVHUW WKH SURMHFWHG HQG RI WKH WUDFNEDOO WRRO LQWR WKH JXLGH KROH RI WKH UHWDLQHU ULQJ  SODFHV 5HIHU
,//8675$7,21  D

7UDFNEDOO 7RRO

*XLGH +ROH
5HWDLQHU ULQJ
5(029$/ 2) 7+( 5(7$,1(5 5,1*
,//8675$7,21  D



*( 0(',&$/ 6<67(06
5(9 

/2*,4a 6(59,&( 0$18$/



 5HPRYDO RI WKH 5HWDLQHU 5LQJ &RQWLQXHG

F

5RWDWH WKH WUDFNEDOO WRRO LQ D FRXQWHUFORFNZLVH GLUHFWLRQ VPRRWKO\ 5HIHU ,//8675$7,21  E

0RQLWRU

5(029$/ 2) 7+( 5(7$,1(5 5,1* &217'

,//8675$7,21  E

G 5HPRYH WKH 5HWDLQHU ULQJ IURP WKH NH\ERDUG

H 7DNH RXW WKH EODFN EDOO 5HIHU ,OOXVWUDWLRQ F

5HWDLQHU ULQJ
%ODFN EDOO
5(029$/ 2) 7+( 5(7$,1(5 5,1* &217'
,//8675$7,21  F



*( 0(',&$/ 6<67(06

/2*,4a 6(59,&( 0$18$/

5(9 



 &OHDQLQJ WKH 7UDFNEDOO

I

:LSH DQ\ RLO DQG GXVW IURP WKH EODFN EDOO XVLQJ WKH 7)& 'U\ &OHDQHU RI WKH PDLQWHQDQFH NLW RU D GU\
FORWK
1RWH

6HW WKH UHWDLQHU ULQJ DQG EODFN EDOO RQ D IODW VXUIDFH WR DYRLG ORVLQJ WKHVH SDUWV
J :LSH DQ\ RLO DQG GXVW IURP WKH  SODFHV WKDW VXSSRUW WKH EODFN EDOO D VPDOO VSKHULFDO EDOO ZLWK D FRW
WRQ EXG 5HIHU ,//8675$7,21  D
1RWH
:KHQ FOHDQLQJ WKH WUDFNEDOO KRXVLQJ PDNH VXUH QRW WR VSLOO RU VSUD\ DQ\ OLTXLG LQWR WKH WUDFNEDOO KRXV
LQJ V\VWHPNH\ERDUG 8VH HLWKHU HWKDQRO LVRSURS\O DOFRKRO RU 9&5 KHDG FOHDQHU WR FOHDQ WKH WUDFN
EDOO DVVHPEO\
$YRLG RWKHU VROYHQWV WKDW PD\ GDPDJH WKH UXEEHU DQG PHFKDQLFDO SDUWV RI WKH WUDFNEDOO DVVHPEO\

&RWWRQ EXG

6XSSRUWHG SODFHV

&/($1,1* 7+( 75$&.%$//

,//8675$7,21  D



*( 0(',&$/ 6<67(06
5(9 

/2*,4a 6(59,&( 0$18$/



 &OHDQLQJ WKH 7UDFNEDOO &RQWLQXHG

K :LSH DQ\ RLO DQG GXVW IURP WKH  UXEEHU UROOHUV ZLWK D FRWWRQ EXG LPSUHJQDWHG GLSSHG LQ DOFRKRO RU
FRWWRQ EXG ZLWK HWKDQRO LVRSURS\O DOFRKRO RU 9&5 KHDG FOHDQHU 5HIHU ,//8675$7,21  E
1RWH
:KHQ FOHDQLQJ WKH UXEEHU UROOHUV GR QRW XVH H[FHVVLYH IRUFH ,I WKH UXEEHU UROOHUV DQFKRULQJ ORFDWLRQ LV
GDPDJHG UROOHUV FDQ VOLS DQG LW ZLOO KLQGHU WKH VPRRWK RSHUDWLRQ RI WKH WUDFNEDOO

&RWWRQ %XG

5XEEHU UROOHUV

&/($1,1* 7+( 75$&.%$// &217'

,//8675$7,21  E

 )L[LQJ WKH 7UDFNEDOO DQG 5HWDLQHU 5LQJ

L

,QVHUW WKH EODFN EDOO

M

,QVHUW WKH UHWDLQHU ULQJ

),;,1* 7+( 75$&.%$// $1' 5(7$,1(5 5,1*

,//8675$7,21  D



*( 0(',&$/ 6<67(06

/2*,4a 6(59,&( 0$18$/

5(9 



 )L[LQJ WKH 7UDFNEDOO DQG 5HWDLQHU 5LQJ &RQWLQXHG

N

,QVHUW WKH WUDFNEDOO WRRO IURP WKH PDLQWHQDQFH NLW LQWR WKH JXLGH KROHV  SODFHV RQ WKH UHWDLQHU ULQJ
DQG URWDWH WKH WUDFNEDOO WRRO LQ D FORFNZLVH GLUHFWLRQ WR ORFN WKH UHWDLQHU ULQJ 5HIHU
,//8675$7,21  E
1RWH

:KHQ LQVWDOOLQJ WKH UHWDLQHU ULQJ GR QRW XVH H[FHVVLYH IRUFH WR ORFN WKH UHWDLQHU ULQJ ([FHVVLYH IRUFH
ZLOO GDPDJH WKH UHWDLQHU ULQJ DQG WUDFNEDOO WRRO

),;,1* 7+( 75$&.%$// $1' 5(7$,1(5 5,1* &217'

,//8675$7,21  E

1RWH
7R UHTXHVW DGGLWLRQDO WUDFNEDOO PDLQWHQDQFH NLWV RU LQIRUPDWLRQ FRQWDFW WKH ORFDO $SSOLFDWLRQV 6DOHV
RU 6HUYLFH 5HSUHVHQWDWLYH



*( 0(',&$/ 6<67(06
5(9 

/2*,4a 6(59,&( 0$18$/



 (/(&75,&$/ 6$)(7< 7(676

7KH IROORZLQJ WHVWV DUH SHUIRUPHG DW WKH IDFWRU\ DQG VKRXOG EH UHSHDWHG DW WKH VLWH DV SDUW RI SHULRGLF PDLQWHQDQFH
7KHVH WHVWV DUH  JURXQGLQJ FRQWLQXLW\ FKDVVLV OHDNDJH FXUUHQW SUREH OHDNDJH FXUUHQW $OO PHDVXUHPHQWV DUH PDGH
ZLWK DQ (OHFWULFDO 6DIHW\ $QDO\]HU 0RGHO 'DOH ( EXLOW E\ 'DOH 7HFKQRORJ\ &RUSRUDWLRQ RU HTXLYDOHQW GHYLFH
5HFRPPHQGHG 7RRO
7$%/( 
5(&200(1'(' 722/

3DUW 1XPEHU

1DPH

'HVFULSWLRQ

*

(OHFWULFDO 6DIHW\ $QDO\]HU '$/( 

)RU 9 8QLWV

*

(OHFWULFDO 6DIHW\ $QDO\]HU '$/(

(

)RU 9 8QLWV



/HDNDJH &XUUHQW 8OWUDVRXQG .LW

)RU 9 DQG 9 8QLWV

 2XWOHW 7HVW :LULQJ $UUDQJHPHQW

7HVW DOO RXWOHWV LQ WKH DUHD IRU SURSHU ZLULQJ DUUDQJHPHQW E\ SOXJJLQJ LQ WKH 'DOH ( DQG QRWLQJ WKH FRPELQDWLRQ
RI OLJKWV WKDW DUH LOOXPLQDWHG

&RPELQDWLRQ
RI
/LJKWV

&RQGLWLRQ

&RUUHFW :LULQJ

5HYHUVH
3RODULW\

2SHQ *URXQG

2SHQ +RW

+RW*URXQG
5HYHUVHG

287/(7 7(67
,//8675$7,21 

1RWH
1R RXWOHW WHVWHU FDQ GHWHFW WKH FRQGLWLRQ ZKHUH WKH 1HXWUDO JURXQGHG VXSSO\ FRQGXFWRU DQG WKH
*URXQGLQJ SURWHFWLYH HDUWK FRQGXFWRU DUH UHYHUVHG ,I ODWHU WHVWV LQGLFDWH KLJK OHDNDJH FXUUHQWV WKLV
VKRXOG EH VXVSHFWHG DV D SRVVLEOH FDXVH DQG WKH RXWOHW ZLULQJ VKRXOG EH YLVXDOO\ LQVSHFWHG



*( 0(',&$/ 6<67(06

/2*,4a 6(59,&( 0$18$/

5(9 



 *URXQG &RQWLQXLW\

&$87,21
7KH SDWLHQW PXVW QRW EH FRQWDFWHG WR WKH HTXLSPHQW GXULQJ WKLV WHVW EHFDXVH LW PD\ FDXVH HOHFWULF
VKRFN
0HDVXUH WKH UHVLVWDQFH IURP WKH WKLUG SLQ RI WKH DWWDFKPHQW SOXJ WR WKH H[SRVHG PHWDO SDUWV RI WKH FDVH 6HH
,//8675$7,21   WKLV VKRXOG EH OHVV WKDQ  RKPV

&2162/(

$&&(66,%/( 0(7$/ 3$576

5HDU 3DQHO &RQQHFWRU
*5281' 3,1

2+00(7(5
*5281' &217,18,7< 7(67
,//8675$7,21 

0HWHU 3URFHGXUHV
)ROORZ WKHVH VWHSV WR WHVW WKH JURXQG ZLUH UHVLVWDQFH


7XUQ WKH /2*,4a XQLW 2))



3OXJ WKH XQLW LQWR WKH PHWHU DQG WKH PHWHU LQWR WKH WHVWHG $& ZDOO RXWOHW 5HIHU ,//8675$7,21  



3OXJ WKH EODFN FKDVVLV FDEOH LQWR WKH PHWHUV &+$66,6 FRQQHFWRU DQG DWWDFK WKH EODFN FKDVVLV FDEOH FODPS WR
DQ H[SRVHG PHWDO SDUW RI WKH /2*,4a 5HIHU ,//8675$7,21  



6HW WKH PHWHUV )81&7,21 VZLWFK WR WKH 5(6,67$1&( SRVLWLRQ



6HW WKH PHWHUV 32/$5,7< VZLWFK WR WKH 2)) &HQWHU SRVLWLRQ



0HDVXUH WKH JURXQG ZLUH UHVLVWDQFH DQG NHHS D UHFRUG RI WKH UHVXOWV ZLWK RWKHU KDUG FRSLHV RI 3UHYHQWLYH 0DLQWH
QDQFH 30 GDWD NHSW RQ VLWH



*( 0(',&$/ 6<67(06
5(9 

/2*,4a 6(59,&( 0$18$/



 &KDVVLV /HDNDJH &XUUHQW 7HVW

'HILQLWLRQ
/HDNDJH FXUUHQW LV WKH HOHFWULFDO FXUUHQW WKDW FRXOG IORZ WKURXJK WKH SDWLHQW RU VRQRJUDSKHU VKRXOG D JURXQG ZLUH EUHDN
7KH XQLW WKH SUREHV DQG DOO H[WHUQDO SHULSKHUDOV PXVW EH WHVWHG
7KH WHVW YHULILHV WKH LVRODWLRQ RI WKH SRZHU OLQH IURP WKH FKDVVLV 7KH WHVWLQJ PHWHU LV FRQQHFWHG IURP DFFHVVLEOH PHWDO
SDUWV RI WKH FDVH WR JURXQG 0HDVXUHPHQWV VKRXOG EH PDGH ZLWK WKH XQLW 21 DQG 2)) ZLWK WKH SRZHU OLQH SRODULW\
1RUPDO DQG 5HYHUVHG 5HFRUG WKH KLJKHVW UHDGLQJ RI FXUUHQW

32:(5
287/(7

&2162/(

32/$5,7< 5(9(56,1*
6:,7&+

+
%/$&.
1
:+,7(
* *5((1

020(17$5< 6:,7&+

$&&(66,%/(
0(7$/
3$576

/($.$*(
7(67
0(7(5

6(783 )25 &+$66,6 6285&( /($.$*( &855(17

,//8675$7,21 



*( 0(',&$/ 6<67(06

/2*,4a 6(59,&( 0$18$/

5(9 



 &KDVVLV /HDNDJH &XUUHQW 7HVW &RQWLQXHG

0HWHU 3URFHGXUHV
)ROORZ WKHVH VWHSV WR WHVW WKH XQLW IRU OHDNDJH FXUUHQW


7XUQ WKH /2*,4a XQLW 2))



3OXJ WKH XQLW LQWR WKH PHWHU DQG WKH PHWHU LQWR WKH WHVWHG $& ZDOO RXWOHW

&RQQHFW WR DQ\ PHWDOOLF

SDUW RQ WKH UHDU SDQHO

7R /2*,4a
SRZHU ,QSXW
*5281' $1' &+$66,6 /($.$*( &855(17 7(67
,//8675$7,21 



3OXJ WKH EODFN FKDVVLV FDEOH LQWR WKH PHWHUV &+$66,6 FRQQHFWRU DQG DWWDFK WKH EODFN FKDVVLV FDEOH FODPS WR
DQ H[SRVHG PHWDO SDUW RI WKH /2*,4a XQLW 5HIHU ,//8675$7,21  



6HW WKH WHVWHUV )81&7,21 VZLWFK WR &+$66,6 SRVLWLRQ



7DNH UHDGLQJV IRU YDULRXV ORFDWLRQV DV PHQWLRQHG LQ 7$%/( 

7$%/( 
&+$66,6 /($.$*( &855(17 7(67 &21',7,216

7HVW



/RFDWLRQ

0RXQWLQJ VFUHZ IRU SUREH UHFHSWDFOH

5HDU 3DQHO

0RXQWLQJ VFUHZ RQ WKH KDQGOH

0RXQWLQJ VFUHZ IRU SHULSKHUDO SOXJJHG LQWR XQLW

.HHS D UHFRUG RI WKH UHVXOWV ZLWK RWKHU KDUG FRSLHV RI 30 GDWD NHSW RQ VLWH



*( 0(',&$/ 6<67(06
5(9 

/2*,4a 6(59,&( 0$18$/



 &KDVVLV /HDNDJH &XUUHQW 7HVW &RQWLQXHG

'DWD 6KHHW IRU &KDVVLV 6RXUFH /HDNDJH &XUUHQW
)ROORZ WKH IRUHJRLQJ WHVW SURFHGXUH 7KH WHVW SDVVHV ZKHQ DOO UHDGLQJV PHDVXUH OHVV WKDQ WKH YDOXH VKRZQ LQ
7$%/(  EHORZ

7$%/( 
0$;,080 $//2:$1&( /,0,7 )25 &+$66,6 6285&( /($.$*( &855(17

&RXQWU\

1RUPDO &RQGLWLRQ

2SHQ *URXQG

5HYHUVH 3RODULW\

2SHQ 1HXWUDO

86$

1$

P$

P$

1$

2WKHUV

P$

P$

P$

P$

&$87,21
:KHQ WKH PHWHUV JURXQG VZLWFK LV 23(1 GR QRW WRXFK WKH XQLW WR DYRLG SRVVLEOH HOHFWULF VKRFN

7$%/( 
'$7$ 6+((7 )25 &+$66,6 6285&( /($.$*( &855(17

8QLW 3RZHU

7HVWHU
32/$5,7<
6ZLWFK

7HVWHU 1(8
75$/ 6ZLWFK

7HVW  3UREH
&RQQHFWRU

(QWHU QDPH RI WHVWHG SHULSKHUDO KHUH

21

1250

23(1

21

1250

&/26('

21

5(9

23(1

21

5(9

&/26('

2))

1250

23(1

2))

1250

&/26('

2))

5(9

23(1

2))

5(9

&/26('



7HVW 
5HDU 3DQHO

7HVW 
0RXQWLQJ
VFUHZ RQ WKH
KDQGOH

*( 0(',&$/ 6<67(06

/2*,4a 6(59,&( 0$18$/

5(9 



 3UREH /HDNDJH &XUUHQW 7HVW

'HVFULSWLRQ
7KLV WHVW PHDVXUHV WKH FXUUHQW WKDW ZRXOG IORZ WR WKH JURXQG IURP DQ\ RI WKH SUREHV WKURXJK D SDWLHQW ZKR LV EHLQJ
VFDQQHG ZKHQ KH FRPHV LQWR FRQWDFW ZLWK WKH JURXQG VXUIDFH
0HDVXUHPHQWV VKRXOG EH PDGH ZLWK WKH JURXQG RSHQ DQG FORVHG ZLWK SRZHU OLQH SRODULW\ QRUPDO DQG UHYHUVHG DQG
ZLWK WKH XQLW 2)) DQG 21 )RU HDFK FRPELQDWLRQ WKH SUREH PXVW EH DFWLYH WR ILQG WKH ZRUVW FDVH FRQGLWLRQ

32:(5
287/(7
+ %/$&. 32/$5,7< 5(9(56,1* 6:,7&+
&2162/(

1 :+,7(
* *5((1

352%(

020(17$5<
6:,7&+
/($.$*(
7(67
0(7(5

6(783 )25 352%( /($.$*( &855(17

,//8675$7,21 

1RWH
(DFK SUREH ZLOO KDYH VRPH DPRXQW RI OHDNDJH FXUUHQW GHSHQGHQW RQ LWV GHVLJQ 6PDOO YDULDWLRQV LQ
SUREH OHDNDJH FXUUHQWV DUH QRUPDO IURP SUREH WR SUREH 2WKHU YDULDWLRQV ZLOO UHVXOW IURP GLIIHUHQFHV LQ
OLQH YROWDJH DQG WHVW OHDG SODFHPHQW



*( 0(',&$/ 6<67(06
5(9 

/2*,4a 6(59,&( 0$18$/



 3UREH /HDNDJH &XUUHQW 7HVW &RQWLQXHG

0HWHU 3URFHGXUH XVLQJ 3UREH $GDSWHU DQG 6DOLQH %DWK
7KH 'DOH ( SURYLGHV D PHWKRG IRU WHVWLQJ SUREHV LQGHSHQGHQWO\ IURP WKH V\VWHP 7KH PHWHU XWLOL]HV D SUREH
DGDSWHU WR DSSO\ FRPPRQ WHVW SRWHQWLDO WR DOO FRQQHFWRU SLQV
7KH SUREHV LPDJLQJ DUHD LV LPPHUVHG LQ D VDOLQH VROXWLRQ DORQJ ZLWK D JURXQGLQJ SUREH IURP WKH PHWHU WR FRPSOHWH WKH
FXUUHQW SDWK 6DOLQH VROXWLRQ LV D PL[WXUH RI ZDWHU DQG VDOW 7KH VDOW DGGV D IUHH LRQ WR WKH ZDWHU PDNLQJ LW FRQGXFWLYH
1RUPDO VDOLQH VROXWLRQ LV  VDOW RU  JUDP VDOW SHU  OLWHU RI ZDWHU ,I VDOLQH LV QRW DYDLODEOH D PL[WXUH RI  TXDUW
ZDWHU ZLWK RQH RU PRUH JUDPV RI WDEOH VDOW PL[HG WKRURXJKO\ ZLOO VXEVWLWXWH

&$87,21
7R DYRLG SUREH GDPDJH DQG SRVVLEOH HOHFWULF VKRFN GR QRW LPPHUVH SUREHV LQWR DQ\ OLTXLG EH\RQG
WKH OHYHO LQGLFDWHG LQ WKH RSHUDWRUV PDQXDO &KDSWHU  'R QRW WRXFK WKH SUREH FRQGXFWLYH OLTXLG
RU DQ\ SDUW RI WKH XQLW XQGHU WHVW ZKLOH WKH ,62 7(67 VZLWFK LV GHSUHVVHG
)ROORZ WKHVH VWHSV WR WHVW HDFK SUREH IRU OHDNDJH FXUUHQW


7XUQ WKH /2*,4a XQLW 2))



3OXJ WKH XQLW LQWR WKH WHVW PHWHU DQG WKH PHWHU LQWR WKH WHVWHG $& ZDOO RXWOHW



&RQQHFW WKH SUREH WR EH WHVWHG WR WKH PHWHUV DSSURSULDWH DGDSWHU 5HIHU ,//8675$7,21  



3OXJ WKH VDOLQH SUREH LQWR WKH PHWHUV &+$66,6 FRQQHFWRU 5HIHU ,//8675$7,21  

75$16'8&(5 6285&( /($.$*( &855(17 7(67

,//8675$7,21 



*( 0(',&$/ 6<67(06

/2*,4a 6(59,&( 0$18$/

5(9 



 3UREH /HDNDJH &XUUHQW 7HVW &RQWLQXHG

 3OXJ WKH SUREH DGDSWHU LQWR WKH PHWHUV FRQQHFWRU PDUNHG (;7(51$/
 6HW WKH PHWHUV )81&7,21 VZLWFK WR (;7(51$/ SRVLWLRQ
 $GG WKH VDOLQH SUREH DQG WKH LPDJLQJ DUHD RI WKH SUREH LQWR WKH VDOLQH EDWK
 +DYH XQLW SRZHU 21 IRU WKH ILUVW SDUW WXUQ LW 2)) IRU WKH VHFRQG KDOI
 'HSUHVV WKH ,62 7(67 URFNHU VZLWFK DQG UHFRUG WKH KLJKHVW FXUUHQW UHDGLQJ
 )ROORZ WKH WHVW FRQGLWLRQV GHVFULEHG LQ 7$%/(  IRU HYHU\ SUREH
 .HHS D UHFRUG RI WKH UHVXOWV ZLWK RWKHU KDQG FRSLHV RI 30 GDWD
*HQHUDO 3URFHGXUH
)ROORZ WKHVH VWHSV WR WHVW HDFK SUREH IRU OHDNDJH FXUUHQW
 7XUQ WKH /2*,4a XQLW 2))
 3OXJ WKH XQLW LQWR WKH WHVW PHWHU DQG WKH PHWHU LQWR WKH WHVWHG $& ZDOO RXWOHW
 3OXJ WKH H[WHUQDO SUREH LQWR WKH PHWHUV (;7(51$/ FRQQHFWRU
 6HW WKH PHWHUV )81&7,21 VZLWFK WR (;7(51$/ SRVLWLRQ
 &RQQHFW WKH SUREH IRU WHVW ZLWK WKH FRQQHFWRU RI WKH FRQVROH
 $SSO\ D OLEHUDO DPRXQW RI JHO WR WKH SUREHV OHQV
 :UDS WKH SUREH LQ DOXPLQLXP IRLO PDNLQJ VXUH WKHUH LV JRRG FRQWDFW ZLWK LWV DFRXVWLF DSHUWXUH
 (LWKHU VXVSHQG WKH SUREH E\ LWV FDEOH RU SODFH LW RQ DQ LQVXODWHG VXUIDFH
 +DYH XQLW SRZHU 21 IRU WKH ILUVW SDUW WXUQ LW 2)) IRU WKH VHFRQG KDOI
 +ROG WKH H[WHUQDO SUREH DJDLQVW WKH DOXPLQLXP IRLO RQ WKH SUREH ZKHQ WKH XQLW LV UHDG\ WR VFDQ
 'HSUHVV WKH ,62 7(67 URFNHU VZLWFK DQG UHFRUG WKH KLJKHVW FXUUHQW UHDGLQJ
 )ROORZ WKH WHVW FRQGLWLRQV GHVFULEHG LQ WKH 7$%/(  IRU HYHU\ SUREH
 .HHS D UHFRUG RI WKH UHVXOWV ZLWK RWKHU KDQG FRSLHV RI 30 GDWD



*( 0(',&$/ 6<67(06
5(9 

/2*,4a 6(59,&( 0$18$/



 3UREH /HDNDJH &XUUHQW 7HVW &RQWLQXHG

'DWD 6KHHW IRU 7UDQVGXFHU 6RXUFH /HDNDJH &XUUHQW
)ROORZ WKH IRUHJRLQJ WHVW SURFHGXUH IRU HYHU\ SUREH 7KH WHVW SDVVHV ZKHQ DOO UHDGLQJV PHDVXUH OHVV WKDQ WKH YDOXH
VKRZQ LQ WKH WDEOH EHORZ

7$%/( 
0$;,080 $//2:$1&( /,0,7 )25 352%( /($.$*( &855(17

7\SH %) $SSOLHG 3DUW /HDNDJH &XUUHQW /LPLWV >1RQFRQGXFWLYH IORDWLQJ 6XUIDFH DQG ,QWUDFDYLWDU\ SUREHV@
&RXQWU\

1RUPDO &RQGLWLRQ

2SHQ *URXQG

5HYHUVH 3RODULW\

2SHQ 1HXWUDO

86$

P$

P$

P$

P$

2WKHUV

P$

P$

P$

P$

7$%/( 
'$7$ 6+((7 )25 352%( 6285&( /($.$*( &855(17

SUREH WHVWHG
/2*,4a 8QLW
3RZHU

7HVW 3RZHU 3RODULW\

7HVWHU *URXQG 6ZLWFK

21

1250

23(1

21

1250

&/26('

21

5(9

23(1

21

5(9

&/26('

2))

1250

23(1

2))

1250

&/26('

2))

5(9

23(1

2))

5(9

&/26('



0HDVXUHPHQW

*( 0(',&$/ 6<67(06

/2*,4a 6(59,&( 0$18$/

5(9 



 :KHQ 7KHUHV 7RR PXFK /HDNDJH &XUUHQW

&KDVVLV )DLOV
&KHFN WKH JURXQG RQ WKH SRZHU FRUG DQG SOXJ IRU FRQWLQXLW\ (QVXUH WKH JURXQG LV QRW EURNHQ IUD\HG RU LQWHUPLWWHQW
5HSODFH DQ\ GHIHFWLYH SDUW
7LJKWHQ DOO JURXQGV
,QVSHFW ZLULQJ IRU EDG FULPSV SRRU FRQQHFWLRQV RU GDPDJH
7HVW WKH ZDOO RXWOHW DQG YHULI\ LI LW LV JURXQGHG 1RWLI\ WKH XVHU RU RZQHU WR FRUUHFW DQ\ GHYLDWLRQV &KHFN WKH RWKHU
RXWOHWV WR VHH LI WKH\ FRXOG EH XVHG LQVWHDG
1RWH
1R RXWOHW WHVWHU FDQ GHWHFW WKH FRQGLWLRQ ZKHUH WKH ZKLWH QHXWUDO ZLUH DQG WKH JUHHQ JURXQGLQJ ZLUH
DUH UHYHUVHG ,I ODWHU WHVWV LQGLFDWH KLJK OHDNDJH FXUUHQWV WKLV VKRXOG EH VXVSHFWHG DV D SRVVLEOH
FDXVH DQG WKH RXWOHW ZLULQJ VKRXOG EH YLVXDOO\ LQVSHFWHG
3UREH )DLOV
5HSODFH WKH SUREH DQG WU\ DJDLQ
3HULSKHUDOV )DLO
7LJKWHQ DOO JURXQG FRQQHFWLRQ VFUHZV
,QVSHFW ZLULQJ IRU EDG FULPSV SRRU FRQQHFWLRQV ORRVH VFUHZV RU GDPDJH
6WLOO )DLOV
%HJLQ LVRODWLRQ E\ UHPRYLQJ WKH SUREHV H[WHUQDO SHULSKHUDOV WKHQ WKH RQ ERDUG RQHV RQH DW D WLPH ZKLOH PRQLWRULQJ
WKH OHDNDJH FXUUHQW PHDVXUHPHQW
1HZ 8QLW
,I WKH OHDNDJH FXUUHQW PHDVXUHPHQW WHVWV IDLO RQ D QHZ XQLW DQG LI VLWXDWLRQ FDQQRW EH FRUUHFWHG VXEPLW D 6DIHW\ )DLOXUH
5HSRUW WR GRFXPHQW WKH V\VWHP SUREOHP 5HPRYH WKH XQLW IURP RSHUDWLRQ