You are on page 1of 82

$&(

6RIWZDUH7UDLQLQJ
&RXUVH

$XWKRU $ODQ6PLWK

'DWH WK6HSWHPEHU

 LQFRUSRUDWLQJ$YDORQ

$&(6RIWZDUHWUDLQLQJFRXUVH 3DJHRI
$&(7UDLQLQJ&RXUVH

&217(176

 ,QWURGXFWLRQ

 1HWZRUNDQG+DUGZDUH3KLORVRSK\

 %XWWRQDQG1HWZRUN0HVVDJHV

 $&(:,1QHU

 %XLOGLQJ6\VWHP&RQILJXUDWLRQVZLWK$&(:,1QHU

 8VLQJ$&(:,1QHUWREXLOGD6\VWHP&RQILJXUDWLRQ

 &RPSRQHQWVLQ$&(:,1QHU

 )LWWLQJWKH3URMHFW

 /RDGLQJWKH&RQILJXUDWLRQWRWKH6\VWHP&DUGV

 /210$1$*(5/210$1.(5

$'',7,21$/)($785(6

 &KHFNLQJ1HWZRUN0HVVDJHV

 (QWHULQJ/78VLQWR$FH&RQILJXUDWLRQ

 6HWWLQJ/786XUYHLOODQFH2SWLRQV

 5HSODFLQJD&DUG/70

$&(6RIWZDUHWUDLQLQJFRXUVH 3DJHRI
,QWURGXFWLRQ
7KLV$&(6RIWZDUHWUDLQLQJFRXUVHLVGHVLJQHGWRJLYHWKHIROORZLQJ

 $QRYHUYLHZRIWKH$&(KDUGZDUHDQG1HWZRUN3KLORVRSK\

 $QH[SODQDWLRQRIWKHEDVLFIXQFWLRQVRQWKH1HWZRUN

 $QH[SODQDWLRQRI$&(:,1QHUDQGLWVIHDWXUHVDQGIXQFWLRQDOLW\

 %XLOGLQJDQ$&(1HWZRUNZLWKLQWKHVRIWZDUH

 6XUYHLOODQFHIXQFWLRQVDYDLODEOHIRUGLDJQRVLQJV\VWHPIDXOWV

 ,PSOHPHQWDWLRQRIIHDWXUHVLQDSUDFWLFDOV\VWHP

 8VHRIPDLQWHQDQFHIHDWXUHVWRNHHSV\VWHPRQOLQH

7KRVHZKRDWWHQGDQGFRPSOHWHWKHFRXUVHZLOOKDYHWKHNQRZOHGJHRIEDVLFV\VWHP
FRQILJXUDWLRQPDLQWDLQLQJWKHV\VWHPDQGIDXOWGLDJQRVLVUHSDLURIWKHV\VWHP7KLV
FRXUVHLVGHVLJQHGWRIROORZRQIURPWKH$&(ILUVWOHYHOPDLQWHQDQFHDQG IDXOW
ILQGLQJ FRXUVH  .QRZOHGJH RI WKLV DQG WKH EDVLF $&( V\VWHP IXQFWLRQDOLW\ LV
YLWDOEHIRUHVWDUWLQJWKHVRIWZDUHFRXUVH

7KHFRXUVHLVEDVHGXSRQYHUVLRQRIWKH$&(:,1QHUVRIWZDUHVXLWH0RVWRIWKH
IHDWXUHVGLVFXVVHGKHUHLQDUHDOVRDSSOLFDEOHWRHDUOLHUYHUVLRQVRIWKHVRIWZDUH

$&(6RIWZDUHWUDLQLQJFRXUVH 3DJHRI
1HWZRUNDQG+DUGZDUH3KLORVRSK\

7KH1HWZRUN

7KH$&(LVEDVHGRQD1HWZRUNHG&RQWUROSKLORVRSK\8QOLNHD3&WKHUHLVQR
RQHFHQWUDOSURFHVVLQJXQLW &38 ZKLFKKDVRYHUDOOFRQWURORIWKHV\VWHP,WLVEDVHG
RQ D QXPEHU RI LQGLYLGXDO SURFHVVRUV HDFK DWWDFKHG WR D VSHFLILF GHYLFH ZLWKLQ WKH
V\VWHP  ZKLFK FRPPXQLFDWH ZLWK HDFK RWKHU DORQJ D QHWZRUN  $ VLPSOH DQDORJ\
ZRXOG EH D QXPEHU RI 3&V FRPPXQLFDWLQJ ZLWK HDFK RWKHU LQ DQ RIILFH RQ DQ
(WKHUQHWQHWZRUNRUVLPLODU

7KH QHWZRUN LV D SURSULHWDU\ V\VWHP GHYHORSHG E\ (FKHORQ LQ WKH 86$  7KLV
XWLOLVHV D VHW RI SURFHVVRU XQLWV NQRZQ DV /70V ZKLFK SURYLGH QHWZRUN
SURFHVVLQJDQGDSSOLFDWLRQSURJUDPV

$V GLVFXVVHG DERYH WKHVH /70V FRPPXQLFDWH DQG VHQG PHVVDJHV EHWZHHQ HDFK
RWKHU ZKLFK WRJHWKHU ZLWK WKH DSSOLFDWLRQ FRQILJXUDWLRQ IRUPV WKH $&( V\VWHP
(DFK /70 GHFLGHV DQG ZRUNV RXW KRZ LW PD\ FRQWULEXWH WR D EURDGFDVW UHTXHVW
7KLVLVNQRZQDVDQRSHQ1HWZRUN

3K\VLFDO/D\HUV

7KHUH DUH DFWXDOO\ WZR QHWZRUN GDWD EXVHV NQRZQ DV 3K\VLFDO /D\HUV ZLWKLQ DQ
$&(V\VWHP

7KH ILUVW LV VLWXDWHG RQ WKH 1RGH EDFN SODQH DQG LV XVHG IRU FRPPXQLFDWLRQ E\ WKH
FDUGVZLWKLQWKH1RGH,WUXQVDWDVSHHGRI0ELWHVSHUVHFRQG

7KH VHFRQG OD\HU LV VLWXDWHG RXWVLGH RI WKH 1RGH  7KLV FRQQHFWV DOO WKH SHULSKHUDO
GHYLFHVVXFK DV$&(7 SDQHOV  ,W UXQV DW WKH VORZHU VSHHG RI . ELWHV SHU VHFRQG
QRUPDOO\DORQJDWZLVWHGSDLU

5RXWHUV

7KHFKDQJHEHWZHHQWKHWZRQHWZRUNVLVSHUIRUPHGE\WKH3HULSKHUDO5RXWHUZKLFK
LV VLWXDWHG RQ WKH 1RGH 3RZHU 6XSSO\ &DUG 368   ,W SHUIRUPV WKH LQWHUIDFLQJ DV D
GXPEUHSHDWHUDQGRQHLVUHTXLUHGZKHQHYHUWKHUHLVDFKDQJHLQWKHSK\VLFDOOD\HU

1HWZRUN/LPLWDWLRQV

7KH PD[LPXP QHWZRUN OHQJWK LV NP SURYLGLQJ WKH QHWZRUN LV WHUPLQDWHG DW ERWK
HQGVDQGWKHFRUUHFWFDEOHLVXVHG

$&(6RIWZDUHWUDLQLQJFRXUVH 3DJHRI
+DUGZDUH

7KHKDUGZDUHZLWKLQWKH$&(V\VWHPLVPDLQO\EDVHGRQWZRDUHDVFDUGVZLWKLQ
WKH1RGHVDQGWKH+XEV$&(76H[WHUQDOWRWKH1RGH%ULHIGHVFULSWLRQVRIWKHVHDUH
JLYHQEHORZ

 %DFNSODQH

7KH%DFNSODQHFRQQHFWVWKHFDUGVZLWKLQWKH1RGHWRHDFKRWKHUDQGSURYLGHV
WKHZD\LQWHUQDODXGLRFKDQQHOV EHWZHHQWKHLQSXWDQGRXWSXWFDUGV 

 &DUGV

D  ,QSXW&DUG

7KLVSURYLGHVWKHLQWHUIDFHLQWRWKHV\VWHPIURPDQDXGLRVRXUFH,WLV
UHVSRQVLEOHIRUFRQQHFWLQJWKHVRXUFHWRRQHRIWKHDXGLRFKDQQHOV
RQWKHEDFNSODQHDQGKHQFHWRWKHRXWSXWFDUG(DFK,QSXW&DUGFDQ
DFFRPPRGDWHVRXUFHLQSXWV DQG XS WR  FDUGV FDQ EH ILWWHG WR DQ\
RQH1RGH

E  2XWSXW&DUG

7KH2XWSXW&DUGLVUHVSRQVLEOHIRUFRQQHFWLQJDQDXGLRFKDQQHOWRWKH
]RQHV RU DPSOLILHUV   8S WR  ]RQHV 2XWSXW IURP HDFK FDUG DUH
DYDLODEOHDQGDWRWDORIFDUGVPD\EHILWWHGSHU1RGH

F  6RXQG3DOHWWH

7KH6RXQG3DOHWWHLVUHVSRQVLEOHIRUSOD\LQJWKHSUHUHFRUGHGPHVVDJHV
DQGDODUPWRQHVRQWKHV\VWHP$WRWDORIPLQXWHVRISUHUHFRUGHG
PHVVDJHV FDQ EH DFFRPPRGDWHG VSOLW LQWR D WRWDO RI  GLIIHUHQW
PHVVDJHVRUDODUPWRQHV7KH\DUHVWRUHGRQVWDFNDEOHPHPRU\FDUGV
7KH SDOHWWH FDQ SOD\  PHVVDJHV VLPXOWDQHRXVO\ DQG XS WR  SDOHWWHV
SHU QRGH FDQ EH ILWWHG  7KH DXGLR LV SOD\HG GLUHFWO\ RQWR WKH EDFN
SODQHDXGLRFKDQQHOV

G  6XSHUYLVRU\&DUG

7KH VXSHUYLVRU\ FDUG LV UHVSRQVLEOH IRU DOO V\VWHP VXUYHLOODQFH  ,W


SURYLGHV D GHGLFDWHG RXWSXW IRU IDXOW PRQLWRULQJ YLD DQ 56 SRUW
VLWXDWHGRQWKHEDFNSODQH,WDOVRKDVDEXVIRUVXUYHLOODQFH DQG
FRQWURO RI FHUWDLQ DPSOLILHU IXQFWLRQV  2QO\ RQH FDUG LV ILWWHG SHU
1RGHKRZHYHUWKHV\VWHPFDQRSHUDWHZLWKRXWLWVSUHVHQFH

H  368

7KH368VXSSOLHVUHJXODWHGSRZHUVXSSOLHVWRWKHFRPSRQHQWVZLWKLQ
WKH V\VWHP  7KH 1HWZRUN URXWHUV DUH VLWXDWHG RQ WKH FDUG WR SURYLGH
WKHSK\VLFDOOD\HUQHWZRUN7KH368DOVRSURYLGHVWKHV\VWHPUHVHW
EXWWRQ WR DOORZ JOREDO UHVHWWLQJ RI WKH $&( V\VWHP  $OVR WKH
DX[LOLDU\IDXOWFRQWDFWVDUHLQWHJUDWHGYLDWKH3687ZRFDUGVPD\EH
ILWWHG WR WKH 1RGH WR SURYLGH H[WUD V\VWHP VHFXULW\ KRZHYHU WKH
QHWZRUNURXWHUVFDQQRWEHGXSOLFDWHG
$&(6RIWZDUHWUDLQLQJFRXUVH 3DJHRI
+DUGZDUHH[WHUQDOWRWKH1RGH

3,2

7KH3,2LVWKHV\VWHPVPDLQH[WHUQDOLQWHUIDFLQJ IDFLOLW\DQGFDQEHSURJUDPPHGWR
RSHUDWHLQWZRPRGHV

L  ,QSXWDQG$FWLRQVDOORZVIRUGLIIHUHQWLQSXWVVXFKDVILUHSDQHOFRQWDFWVSXVK
EXWWRQV HWF DQG JLYHV LQGHSHQGHQW GU\ UHOD\ FRQWDFWV WR RWKHU H[WHUQDO
HTXLSPHQW

LL  .H\DQG/DPSVDOORZVIRUNH\LQSXWVDQGPLPLFV/('VWDWXVRXWSXWVDVVHHQ
RQ DQ $&(7  7KH H[WHUQDO FRQWDFWV FDQ EH XVHG WR FRQWURO VSHDNHU PXWLQJ
IODVKLQJEHDFRQDQGVRRQ

$&(7V

7KH$&(7LVWKHPDLQPDQPDFKLQHLQWHUIDFHLQWRWKH$&(,WKDVDPLFURSKRQH
DQGXSWRSURJUDPPDEOHNH\IXQFWLRQV,WKDVPDQ\VLPLODULWLHVWRWKH3,2LQLWV
SKLORVRSK\DQGIXQFWLRQH[FHSWLWKDVQRGU\FRQWDFWVRXW

$JLOH'DWD+XE

7KH$JLOH'DWD+XELVXVHGWRLQWHUIDFHGHYLFHVRQWKH1HWZRUNERWKLQVLGHWKHUDFN
DQGH[WHUQDOWRLW,WUXQVRQWKH.ELWEXVDQGSURYLGHVLVRODWLRQEHWZHHQLWVLQSXWV
DQGWKH.ELWEXVXSWRWKHURXWHURQWKH368

$PSOLILHUVDQG6,/&DUGV

7KHDPSOLILHUVREWDLQWKHLUDXGLRIURPWKHRXWSXWFDUGDQGVXUYHLOODQFHFRQWUROLVYLD
WKHVXSHUYLVRU\FDUG7KLVLVGRQHE\WKHQHWZRUNDQGDVVXFKWKH\GRQRWIRUP
SDUWRIWKH(FKHORQQHWZRUN9DULRXV6,/FDUGVDUHILWWHGWRWKHDPSOLILHUV

$IRUWKHLQWHUIDFH

%&DQG%9IRU$PSOLILHUDQG/RXGVSHDNHUPRQLWRULQJ

%IRU/78PRQLWRULQJ

7KHVH6,/VDUHRSWLRQDODQGWKHDPSOLILHUZLOOIXQFWLRQZLWKRXWWKHPEHLQJILWWHG

$&(6RIWZDUHWUDLQLQJFRXUVH 3DJHRI
%XWWRQDQG1HWZRUN0HVVDJHV

7KH$&(V\VWHPLVKHDYLO\GHSHQGHQWRQLWVEXWWRQVWRGHULYHLWVDFWLRQV7KHVH
PD\ EH VLWXDWHG RQ WKH $&(7V RU FRQQHFWHG WR WKH 3,2V  7KHUH DUH WZR EDVLF
FRPPDQG VHTXHQFHV XWLOLVHG RQH IRU URXWLQJ D VRXUFH DQG WKH RWKHU IRU URXWLQJ D
PHVVDJH RUDODUPWRQH

5RXWLQJD6RXUFH

7KHEXWWRQFRQILJXUDWLRQLVHVVHQWLDOO\WKHKHDUWRIDQ$&(V\VWHP7KHIROORZLQJ
LQIRUPDWLRQLVGHILQHGZLWKLQWKHVRIWZDUHIRUHDFKEXWWRQWKDWLVUHTXLUHGWRURXWHD
VRXUFH  $OO RI WKLV FRQILJXUDWLRQ GDWD LV KHOG LQ WKH PHPRU\ RI WKH $&(7 RU 3,2
ZKHUHWKHEXWWRQUHVLGHV

%XWWRQ'HILQLWLRQ

L .LQGRIEXWWRQ 7KLV LQIRUPV WKH EXWWRQ ZKHWKHU LW LV D ]RQH


VHOHFWRU377DODUPVHOHFWRUDQGVRRQ

LL %XWWRQDWWULEXWHV 7KHDWWULEXWHVLQFOXGHZKHWKHULWLVSXVKRQSXVK
RIIQRUPDOO\RSHQHWF

LLL 1RGH 7RZKLFKQRGHWKHEXWWRQLVDWWDFKHG7KLVLVGRQH


DXWRPDWLFDOO\DQGQRWFRQILJXUHG

LY =RQHV :KLFK]RQHVWKHVRXUFHLVWREHURXWHGWR'HILQHG
LQWKHFRQILJXUDWLRQ

Y $FWLRQV :KLFK DFWLRQV LH 3,2 FRQWDFWV  DUH WR RFFXU


ZKHQWKHEXWWRQLVXVHG

YL 0HVVDJH6RXUFH :KLFKDXGLR PLFURSKRQHRUPHVVDJH VRXUFHLVWR


EHURXWHGWRWKH]RQHVGHILQHGLQ LY DERYH

YLL 3ULRULW\ 3ULRULW\ RI WKH EXWWRQ DVVLJQHG LQ FRQILJXUDWLRQ


7KH SULRULW\ LV UHODWLYH WR DOO RWKHU EXWWRQV LQ WKH
V\VWHP

7KH LQIRUPDWLRQ FRQWDLQHG ZLWKLQ WKH DERYH LV FRPSUHVVHG DQG GRZQORDGHG WR WKH
UHOHYDQW $&(7 RU 3,2  +HQFH HDFK EXWWRQ KDV D XQLTXH FRGH WR GHILQH LWV
LGHQWLW\DFWLRQV

1HWZDUH0HVVDJHV

%DVLFDOO\WKHUHDUHWZRPDLQIXQFWLRQVWKDWDEXWWRQFDQEHDVVLJQHGWR7KHVHDUH

D  $ODUPVHOHFWLRQ
E  =RQHVHOHFWLRQ

7KLVGHWHUPLQHVKRZWKHV\VWHPZLOOUHVSRQGZKHQWKHEXWWRQLVDFWLYDWHGDQG ZKDW
QHWZRUNPHVVDJHVDUHLQLWLDWHG

$&(6RIWZDUHWUDLQLQJFRXUVH 3DJHRI
6HOHFWLQJDQDODUP

:KHQDQDODUPVHOHFWRULVLQLWLDWHGWKHUHOHYDQWEXWWRQVHQGVLWVFRGHRQWRWKH.%
QHWZRUN7KLVFRGHLVNQRZQDVWKHURXWLQJUHTXHVW7KLVUHTXHVWLVUHFHLYHGE\DOO
FDUGVDQG$&(7V3,2VWKDWDUHDWWDFKHGWRWKHQHWZRUN7KHVRXQGSDOHWWH$&(7V
3,2VUHVSRQGWRWKLVUHTXHVW7KHLQSXWFDUGVGRQRWDVDQDODUPLVUHTXHVWHGQRWD
PLFURSKRQHVRXUFH

7KH$&(7VUHVSRQGE\IODVKLQJDQ\DVVRFLDWHGVWDWXV /('VDQGWKH3,2VE\ DQ\


DFWLRQUHTXHVWHG7KHVRXQGSDOHWWHSOD\VWKHDSSURSULDWHPHVVDJHDQGSXWVLWRQDQ
DYDLODEOHDXGLREDFNSODQHRQWKHQRGHPRWKHUERDUG

7KHVRXQGSDOHWWHWKHQJHQHUDWHVD3ODQHQRWLILFDWLRQ7KLVWHOOVWKHRXWSXWFDUGV

L  ZKLFKEDFNSODQHWKHPHVVDJHLVRQ
LL  ZKLFKDPSOLILHUVRU]RQHVWRURXWHWKHPHVVDJHWR

7KHUHOHYDQWDPSOLILHUVZLOOWKHQPDNHWKHEURDGFDVWVHOHFWHGE\WKHEXWWRQ

=RQH6HOHFWLRQ%URDGFDVWV

7KLV LV LGHQWLFDO WR DQ DODUP VHOHFWLRQ H[FHSW WKH DSSURSULDWH LQSXW FDUG ZLOO SXW WKH
UHTXHVWHG DXGLR VRXUFH PLFURSKRQH  RQWR WKH DXGLREDFNSODQH  7KH VRXQG SDOHWWH
LJQRUHV]RQHVHOHFWLRQUHTXHVWV

$&(6RIWZDUHWUDLQLQJFRXUVH 3DJHRI
$&(:,1QHU

$QLQWURGXFWLRQWR$&(:,1QHU

7KH$&(:,1QHUVRIWZDUHVXLWHLVXVHGIRUFRQILJXULQJWKH$&(V\VWHPIXQFWLRQV
DQG SDUDPHWHUV  7KH VRIWZDUH LV EDVLFDOO\ D GDWDEDVH PDQDJHU WKDW FRQWDLQV
IXQFWLRQDOLW\DQGKDUGZDUHGDWDEDVHV

7KHIXQFWLRQDOLW\GDWDEDVHLVFRQWUROOHGE\$&([SHUWWKLVLVSDUWRIWKHVRIWZDUH
ZKLFK DOORZV WKH XVHU WR FKDQJH V\VWHP FRQILJXUDWLRQ  7KLV LV D %RUODQGGDWDEDVH
ZKLFK LQ WXUQ LQWHUIDFHV WR$&([SHUW YLD D %RUODQG GDWDEDVH HQJLQH 7KH KDUGZDUH
GDWDEDVH LV PDQDJHG E\ /RQ 0DQDJHU  7KLV JHQHUDWHV WKH H[HFXWDEOH FRGH UHTXLUHG
IRUHDFKGHYLFHLQDV\VWHPILWWHGZLWKDQ/707KHGHYLFHVUHTXLUHGIRUDV\VWHP
LHKRZPDQ\$&(7VHWF WRZRUNLVJRYHUQHGE\WKH)LWWHUIDFLOLW\WRGHWHUPLQH
ZKDWQHHGVWRJRLQWRWKHKDUGZDUHGDWDEDVH

7KHFRGHZLWKLQWKHIXQFWLRQDOLW\GDWDEDVHLVORDGHGGLUHFWO\WRHDFKGHYLFH7KLVLV
GRQHYLDWKH''(VHUYHUDQGQHWZRUNFDUGILWWHGWRWKH3&,QWXUQWKHQHWZRUNFDUG
/RQWDON$GDSWRU DWWDFKHVGLUHFWO\WRWKH.%(FKHORQQHWZRUN7KHIXQFWLRQGDWD
LVORDGHGGLUHFWO\WRWKH((3520RQHDFKGHYLFH7KHKDUGZDUHGDWDLVORDGHGRQWR
WKH/70LQWKHVDPHPDQQHU

7KH$&(:,1QHUVRIWZDUHKDVQRGLUHFWFRQWURORYHUWKHV\VWHPLWLVDWWDFKHGWR,W
RQO\GRZQORDGVFRQILJXUDWLRQDQGKDUGZDUHGDWDWRWKHKRVW3$

127(

L  $1<$&( 3$6<67(0'2(61271(('$3&72581

LL  &21),*85$7,21 &$1127 %( 8S/2$'(' )520 7+( +267 3$


%$&.727+(3&$&(:,1QHU68,7(

LLL  $&(:,1QHU :,// 21/< 581 81'(5 :,1'2:6  25 :,1'2:6
,7:,//12758181'(5:,1'2:60(25;3

$&(6RIWZDUHWUDLQLQJFRXUVH 3DJHRI
%XLOGLQJ6\VWHP&RQILJXUDWLRQVZLWK$&(:,1QHU

7KLVVHFWLRQZLOOGHVFULEHKRZWREXLOGD3$V\VWHPIURPLQVWDOOLQJWKH$&(:,1QHU
VRIWZDUHWRORDGLQJWKHV\VWHPFRQILJXUDWLRQWRWKH$&($W\SLFDOV\VWHPZLOO
EHEXLOWXSLQDVWHSE\VWHSSURFHVV%\IROORZLQJWKLVSURFHGXUHWKHXVHUVKRXOGEH
DEOHWRGRQHZDQGDOWHUH[LVWLQJV\VWHPFRQILJXUDWLRQV

,WLVDVVXPHGWKDWDFOHDQLQVWDOOLVEHLQJGRQHZLWKQRSUHYLRXVYHUVLRQVFRSLHVRI
$&(:,1QHU RQ WKH PDFKLQH  7KH PHWKRG DQG WKH EXLOGLQJ RI D V\VWHP
FRQILJXUDWLRQ  LV EDVHG XSRQ XVLQJ$&(:,1QHU YHUVLRQ  XSJUDGH   ,W LV DOVR
DVVXPHGWKDWD/RQWDONDGDSWRUKDVDOVREHHQILWWHGWRWKH3&7KHIROORZLQJVHFWLRQV
DUHUHOHYDQWIRUDOOGHVNWRSDQGODSWRSFRPSXWHUV

$&(6RIWZDUHWUDLQLQJFRXUVH 3DJHRI
7KH IROORZLQJ VHFWLRQ GHVFULEHV VWHS E\ VWHS WKH SURFHGXUH WR EH XVHG IRU WKH
LQVWDOODWLRQRI$&(:,1QHU 9EXLOGXSJUDGH 

$&(:,1QHU,167$//$7,21352&('85( &'520
  3ODFH WKH$&(:,1QHU LQVWDOODWLRQ&' 520 LQWR WKH &' 520 GULYH 2SHQ
:LQGRZV([SORUHUDQGFOLFNRQ

  'RXEOHFOLFNRQ

  'RXEOHFOLFNRQ

  <RXZLOOEHSUHVHQWHGZLWKWKHIROORZLQJZLQGRZ

&OLFNRQ2.

 <RXZLOOEHSUHVHQWHGZLWKWKHIROORZLQJZLQGRZ

&OLFNRQ2.

 <RXZLOOEHSUHVHQWHGZLWKWKHIROORZLQJZLQGRZ

&OLFNRQ<HV

$&(6RIWZDUHWUDLQLQJFRXUVH 3DJHRI
 <RXZLOOEHSUHVHQWHGZLWKWKHIROORZLQJZLQGRZ

&OLFNRQ2.

  7KHLQVWDOODWLRQSURFHVVXVLQJD&'520LVIURPWKLVSRLQWRQLGHQWLFDOWRWKH
LQVWDOODWLRQSURFHVVXVLQJIORSS\GLVNV7KHUHIRUHIRUIXUWKHULQVWUXFWLRQRQWKH
LQVWDOODWLRQ SURFHVV XVLQJ D &' 520 SOHDVH QRZ IROORZ WKH UHPDLQLQJ
LQVWUXFWLRQV IURP VWHS   RQZDUGV RI WKH $&(:,1QHU ,QVWDOODWLRQ
3URFHGXUH XVLQJIORSS\GLVNV  VHFWLRQ

$&(6RIWZDUHWUDLQLQJFRXUVH 3DJHRI
7KH IROORZLQJ VHFWLRQ GHVFULEHV VWHS E\ VWHS WKH SURFHGXUH WR EH XVHG IRU WKH
LQVWDOODWLRQRI$&(:,1QHU 9EXLOGXSJUDGH $&(:,1QHUXVHVIRXUIORSS\
GLVNVDQGRQHXSJUDGHIORSS\GLVN

$&(:,1QHU,167$//$7,21352&('85( )/233<',6.6
  3ODFH WKH ILUVW RI WKH $&(:,1QHU LQVWDOODWLRQ GLVNV LQWR WKH IORSS\ GULYH
2SHQ:LQGRZV([SORUHUDQGFOLFNRQ

  'RXEOHFOLFNRQ

  <RXZLOOEHSUHVHQWHGZLWKWKHIROORZLQJZLQGRZ

&OLFNRQ2.

 <RXZLOOEHSUHVHQWHGZLWKWKHIROORZLQJZLQGRZ

&OLFNRQ2.

 <RXZLOOEHSUHVHQWHGZLWKWKHIROORZLQJZLQGRZ

&OLFNRQ<HV

$&(6RIWZDUHWUDLQLQJFRXUVH 3DJHRI
 <RXZLOOEHSUHVHQWHGZLWKWKHIROORZLQJZLQGRZ

&OLFNRQ2.

 <RXZLOOEHSUHVHQWHGZLWKWKHIROORZLQJZLQGRZ

3ODFH WKH VHFRQG $&(:,1QHU LQVWDOODWLRQ GLVN LQWR WKH IORSS\ GULYH QRZ
FOLFNRQ2.

 <RXZLOOEHSUHVHQWHGZLWKWKHIROORZLQJZLQGRZ

3ODFHWKHWKLUG$&(:,1QHULQVWDOODWLRQGLVNLQWRWKHIORSS\GULYHQRZFOLFN
RQ2.

 <RXZLOOQRZEHSUHVHQWHGZLWKWKHIROORZLQJZLQGRZ

3ODFHWKHIRXUWK$&(:,1QHULQVWDOODWLRQGLVNLQWRWKHIORSS\GULYHQRZFOLFN
RQ2.

$&(6RIWZDUHWUDLQLQJFRXUVH 3DJHRI
 <RXZLOOQRZEHSUHVHQWHGZLWKWKHIROORZLQJZLQGRZ

&OLFNRQ<HV

 <RXZLOOQRZEHSUHVHQWHGZLWKWKHIROORZLQJZLQGRZ

&OLFNRQ2.

 <RXZLOOQRZEHSUHVHQWHGZLWKWKHIROORZLQJZLQGRZ

&OLFNRQ2.$IWHUWKH:LQGRZVLVVKXWWLQJGRZQVFUHHQKDVDSSHDUHGLI
\RX DUH LQVWDOOLQJ IURP IORSS\ GLVNV UHPRYH IORSS\ GLVN  IURP WKH IORSS\
GULYH,I\RXDUHLQVWDOOLQJIURP&'520LWFDQEHOHIWLQWKH&'520GULYH

  ,I\RXLQVWDOOLQJIURPIORSS\GLVNVSODFHWKH$&(:,1QHUXSJUDGHGLVN GLVN
 LQWRWKHIORSS\GULYH2SHQ:LQGRZV([SORUHUDQGFOLFNRQ
QRZJRWRVWHS 

,I\RXDUHLQVWDOOLQJIURP&'520RSHQ:LQGRZV([SORUHUFOLFNRQ

DQGGRXEOHFOLFNRQ

WKHQGRXEOHFOLFNRQ

  'RXEOHFOLFNRQ

$&(6RIWZDUHWUDLQLQJFRXUVH 3DJHRI
 <RXZLOOEHSUHVHQWHGZLWKWKHIROORZLQJZLQGRZ

&OLFNRQ1H[W

 <RXZLOOEHSUHVHQWHGZLWKWKHIROORZLQJZLQGRZ

&OLFNRQ1H[W

  <RXZLOOQRZEHSUHVHQWHGZLWKWKHIROORZLQJZLQGRZ

&OLFNRQ1H[W

$&(6RIWZDUHWUDLQLQJFRXUVH 3DJHRI
 <RXZLOOQRZEHSUHVHQWHGZLWKWKHIROORZLQJZLQGRZ

&OLFN RQ 1H[W 7KH XSJUDGH LQVWDOODWLRQ SURJUDP ZLOO QRZ EHJLQ WR
GHFRPSUHVVWKHXSJUDGHILOHVDQGGLVWULEXWHWKHPDFFRUGLQJO\

 <RXZLOOQRZEHSUHVHQWHGZLWKWKHIROORZLQJZLQGRZ

&OLFN RQ )LQLVK 7KH $&(:,1QHU DQG $&(:,1QHU XSJUDGH LQVWDOODWLRQ


SURFHVVLVQRZFRPSOHWH

$&(6RIWZDUHWUDLQLQJFRXUVH 3DJHRI
8VLQJ$&(:,1QHUWREXLOGDV\VWHPFRQILJXUDWLRQ
:LWK WKH VRIWZDUH LQVWDOOHG EXLOGLQJ WKH V\VWHP FDQ EHJLQ  %HIRUH VWDUWLQJ WKH
SURJUDPPLQJ LW LV YLWDO WKDW WKH XVHU KDV D OLVW RI V\VWHP UHTXLUHPHQWV DQG IDFLOLWLHV
ZULWWHQGRZQ)RULQVWDQFHKRZPDQ\$&(7VDQG3,2VDUHWKHUHZKDWPHVVDJHV
SULRULW\ RI EXWWRQV HWF  7KH DFWXDO FDUGV UHTXLUHG ZLOO EH JRYHUQHG E\ WKH ILWWHU
FRPSLODWLRQRIWKHILQDOFRQILJXUDWLRQ

7KH UHFRPPHQGHG RUGHU RI GHFODUDWLRQ IRU LQVWDOOLQJ WKH FRQILJXUDWLRQ VKRXOG EH
DGKHUHGWRZKHUHYHUSRVVLEOH7KLVZLOOUHGXFHWKHFKDQFHVRIPLVWDNHVEHLQJPDGH
$OVRRQFHWKHEDVHFRQILJXUDWLRQKDVEHHQLQVWDOOHGLWLVDGYLVDEOHWRWDNHDEDFNXS
RQIORSS\GLVN7KLVZLOOEHGLVFXVVHGODWHU

2UGHURIEXLOGLQJWKHV\VWHP

*HQHUDOO\WKHRUGHURIEXLOGLQJWKHV\VWHPLVDVIROORZV

  8VH$&(VSHUWWRHQWHUV\VWHPIXQFWLRQDOLW\

  )LWWKH$&(VSHUWGDWDEDVHWRJDLQKDUGZDUHGDWDEDVHLQIRUPDWLRQ

  8VH/RQPDQDJHUWRVHWXSKDUGZDUHGDWDEDVH

  /RDGKDUGZDUHGDWDEDVHWR/70VRQWDUJHWV\VWHP

  5HRSHQ$&([SHUWWRORDGV\VWHPFRQILJXUDWLRQWRLQGLYLGXDOFRPSRQHQWV

)RUSXUSRVHVRIGHPRQVWUDWLRQWKHIROORZLQJV\VWHPZLOOEHEXLOWLQ$&(:,1QHU

3$6\VWHPFRPSULVLQJ$&(1RGH$&(71.$FFHVV8QLWZLWK
VSHHFK ]RQHV $OO FDOO ]RQH 377 *3$ $ODUP 3$3$ $ODUP (PHUJHQF\
6SHHFK$ODUPFDQFHO/DPSWHVW3,2ZLWKDXWR*3$ 3$3$LQLWLDWLRQ,3
DQG3$LQXVHRXWSXW

*3$ 3$3$DODUPWRQHV

DPSOLILHUVRYHUWZR]RQHV

$&(6RIWZDUHWUDLQLQJFRXUVH 3DJHRI
&RPSRQHQWVLQ$&(:,1QHU
)URPWKHZLQGRZVGHVNWRS

&OLFNRQVWDUW

&OLFNRQ3URJUDPV

&OLFNRQ$&(:,1QHU

'LDJUDP

7KHGHVNWRSYLHZDVSHUGLDJUDPZLOODSSHDU7KHVHDUHGHVFULEHGEHORZ

$&(+HOS 7KLV LV WKH$&(:,1QHU KHOS ILOHFRQWDLQJ KLQWV DQG


WLSVDERXWWKHVRIWZDUH

$&([SHUW 7KHFRQILJXUDWLRQVXLWH,WLVWKHPRVWZLGHO\XVHGRI
WKH$&(:,1QHUFRPSRQHQWV

%'(&RQILJXUDWLRQ 7KLVLVDSRZHUXVHUVWRROIRUWKH%RUODQG'DWDEDVH
'2 127 728&+ 7+,6 $6 &255837,21 &$1
2&&85

'DWDEDVH(GLWRU $QRWKHU SRZHU XVHV WRRO IRU HGLWLQJ WKH GDWDEDVHV


'2127728&+

''(6HUYHU 6RIWZDUHWKDWVLWVEHWZHHQ$&(:,1QHU/RQPDQDJHU
DQGQHWZRUNFDUG

,QVWDOO3ULPDU\1HWZRUN $FFHVV WR WKH /RQ PDQDJHU VXLWH WR FRQILJXUH


KDUGZDUHGDWDEDVH

,QVWDOO6HFRQGDU\1HWZRUN $FFHVV WR VHFRQG /RQPDQDJHU VXLWH UDUHO\ XVHG DV


WKLVLVIRU$ %V\VWHPVUXQQLQJVDPHFRQILJXUDWLRQ

$&(6RIWZDUHWUDLQLQJFRXUVH 3DJHRI
1RGH8WLOLW\ (QJLQHHUV WRRO IRU GLDJQRVWLFV  3RZHUIXO PXVW EH
XVHG ZLWK FDUH DV HDV\ WR SHUPDQHQWO\ GLVDEOH
/70DDQGVRRQ

8QLQVWDOO 8QLQVWDOOV$&(:,1QHU IURP WKH 3&  8VHIXO ZKHQ


XVHG LQ FRQMXQFWLRQ ZLWK GHOHWLQJ WKH $&(B:,1
IROGHU IURP & GULYH  LQ ZLSLQJ ZKROH GDWDEDVH DQG
VWDUWLQJDJDLQ

6WDUWXS$&([SHUW

:LWKWKHFRPSXWHUVFUHHQDVLQGLDJUDP

&OLFNRQ$&([SHUW

7KHVFUHHQZLOOQRZEHDVVKRZQLQGLDJUDP

'LDJUDP

7KHFRQILJXUDWLRQFDQQRZEHSXWLQWR$&(:,1QHU

+LQW

%\FOLFNLQJKHOSDQGWKHFOLFNLQJDERXWGHWDLOVRQZKLFKDYHUVLRQRI$&(:,1QHU
LVLQVWDOOHGFDQEHVHHQ

7KHVFUHHQIRUEXLOGLVVKRZQEHORZLQ'LDJUDP

'LDJUDP

$&(6RIWZDUHWUDLQLQJFRXUVH 3DJHRI
:LWKUHIHUHQFHWRWKHRUGHURIGHFODUDWLRQIORZFKDUWFRQILJXUDWLRQSURJUDPPLQJFDQ
QRZFRPPHQFH

&OLFNRQ(GLW

&OLFNRQ5HFRUGLQJVRQGURSGRZQPHQX

  5HFRUGLQJV

7KH UHFRUGLQJV DUH :$9 ILOHV WKDW DUH XVHG WR IRUP WKH PHVVDJHV RQ DQ
$&(V\VWHP7KH:$9ILOHVDUHUHFRUGHGDQGVWRUHGDVPRQR$ODZILOHV
DWDVDPSOHUDWHRI.+]7KHILONHVDUHNHSWLQ&?$&(B:,1?5(&25'6
GLUHFWRU\DQGVHYHUDOGHIDXOWILOHVDUHSURYLGHGZLWK$&(:,1QHU

'LDJUDP

7RHQWHUDQHZUHFRUGLQJWRWKHSURMHFWGDWDEDVHFOLFN1HZ1DYLJDWHWRWKH
:$9ILOHUHTXLUHGKLJKOLJKWLWDQGFOLFNR2.

'LDJUDP

&OLFNWKH3RVW(GLWEXWWRQ  WRHQWHUWKHUHFRUGLQJWRWKHGDWDEDVH

,03257$17

,I DQ\ PRGLILFDWLRQV DUH PDGH WR D UHFRUGLQJ WKDW LV LQ WKH GDWDEDVH WKH
UHFRUGLQJPXVWEHGHOHWHGIURPWKHGDWDEDVHDQGUHHQWHUHG
$&(6RIWZDUHWUDLQLQJFRXUVH 3DJHRI
  6HOHFWUHFRUGLQJWKDWLVWREHPRGLILHGXVLQJDQGEXWWRQV

  'HOHWHUHFRUGLQJIURPWKHGDWDEDVHXVLQJWKHEXWWRQ1RWHWKLV
GRHVQRWHUDVHWKHILOHLWUHPRYHVLWVUHIHUHQFHIURPWKHGDWDEDVH

  5HHQWHUWKHPRGLILHGUHFRUGLQJDVDQHZILOH

:KHQILQLVKHGLPSRUWLQJWKHUHFRUGLQJVFORVHGRZQE\FOLFNLQJRQ([LW

127(

)RU WKLV V\VWHP XQGHU FRQVWUXFWLRQ HQVXUH WKDW WKH $%21'21:$9 DQG
)$*:$9 DUH LQ WKH GDWDEDVH  +RZHYHU DQ\ FDQ EH XVHG H[FHSW WKH
%,1*%21*:$9  7KLV LV IRU WKH SDJLQJ FKLPH DQG LV VWRUHG LQ WKH
$&(7VPHPRU\,WLVDQ.+]VDPSOHDQGKHQFHFDQQRWEHXVHGE\DVRXQG
SDOHWWH

 0HVVDJHV

&OLFNRQ(GLWDQGWKHQFOLFNPHVVDJHVIURPWKHGURSGRZQPHQX

7KHIROORZLQJZLQGRZZLOODSSHDU

'LDJUDP

7KLV VKRZV D PHVVDJH QDPHG 3$3$ LQ WKH GDWDEDVH  7R VHH ZKLFK
UHFRUGLQJV DUH XVHG WR FUHDWH WKH PHVVDJH FOLFN VW 5HF  7KH IROORZLQJ
ZLQGRZUHYHDOVWKDWWKH$%$1'21:$9KDVEHHQVHOHFWHGDQGWKH3OD\V
(YHUKDVEHHQWLFNHG

$&(6RIWZDUHWUDLQLQJFRXUVH 3DJHRI
'LDJUDP

7KLV PHDQV WKH :$9 ILOH ZLOO SOD\ UHSHDWHGO\ ZKHQ LQLWLDWHG RQ WKH V\VWHP
7KH ILOH FDQ EH FKDQJHG E\ FOLFNLQJ WKH  EXWWRQ DQG KLJKOLJKWLQJ WKH
UHTXLUHGUHFRUGLQJ

,IWKHUHFRUGLQJLVFRPSOH[ LHDQDODUPWRQHZLWKDYRLFHPHVVDJH WKHQWKH


QG5HFWDEZLOOKROGWKHUHOHYDQWUHFRUGLQJVHOHFWHGIURPWKHGDWDEDVH

&OLFNLQJRQWKLVWDEIRUWKH3$3$UHYHDOVWKHIROORZLQJVFUHHQ

'LDJUDP

LHWKHUHLVQRVHFRQGDU\UHFRUGLQJ

%\FOLFNLQJRQ*HQHUDODQGWKHQUHSHDWFOLFNLQJRQWKHGLIIHUHQWPHVVDJHV
VWRUHGFDQEHYLHZHG

$&(6RIWZDUHWUDLQLQJFRXUVH 3DJHRI
'HFODULQJDQHZPHVVDJH

,IDQHZPHVVDJHLVUHTXLUHGIROORZWKHLQVWUXFWLRQVEHORZWRGHILQHLWZLWKLQ
WKHGDWDEDVH

  (QVXUH WKH DSSURSULDWH :$9),/( KDV EHHQ LPSRUWHG WR WKH 3URMHFW
GDWDEDVH

  ,Q(GLW0HVVDJHVFOLFNRQ1HZ

  ,QWKLVFDVHDWLFNWRQHPHVVDJHLVWREHGHFODUHGWRDOORZORXGVSHDNHU
WLFNWRQHWHVWVWREHGRQH

  *LYHWKHQHZPHVVDJHDQDPHDQGWLFNWKH3OD\V(YHUER[ DVWKHWLFN
ZLOOSOD\FRQWLQXRXVO\ ,IWKLVER[LVQRWWLFNHGWKHWLFNZLOOSOD\RYHU
KRZPDQ\VHFRQGVVKRZQE\WKHWLPHVHOHFWRU

'LDJUDP

  &OLFN RQ VW 5HF  )URP WKH UHFRUGLQJ GURS GRZQ PHQX  
FKRRVHWKHUHTXLUHG:$9ILOH LQWKLVFDVH7,&.7:$9 

  8QFKHFN3OD\V(YHU7KLVJLYHVWZRDGMXVWPHQWWDEV&OLFNWKH
EXWWRQRQVLOHQFHWRJLYHWKHQXPEHU

'LDJUDP
$&(6RIWZDUHWUDLQLQJFRXUVH 3DJHRI
7KLVPHDQVWKHWLFNZLOOSOD\RQFHIROORZHGE\VHFRQGVRIVLOHQFH

  &OLFNRQWRSRVWWKHHGLW

7KHQHZPHVVDJHLVQRZLQWKHSURMHFWGDWDEDVH

&OLFNRQ([LWWROHDYH(GLW0HVVDJHV

 1RGHV

&OLFNRQ(GLWLQWKHPDLQZLQGRZDQGFOLFNRQ1RGHVIURPWKHGURSGRZQ
PHQX

7KLV ER[ LV XVHG WR GHFODUH WKH QDPH RI WKH DFWXDO $&( 1RGH  7KLV LV
QHHGHGVRWKDWZKHQWKHSURMHFWLVILWWHGLWFDQUHODWHDOOWKHKDUGZDUHWRWKH
QRGHQDPH

'LDJUDP

,QWKLVFDVHWKHQDPHKDVEHHQGHFODUHGDV7UDLQLQJ$Q\QDPHFDQEHXVHG
EXWQRUPDOO\WKHSURMHFWRUVLWHQDPHLVXVHG

7KHKDV368VILWWHGLVRQO\FKHFNHGZKHQWZRSRZHU VXSSOLHV DUH ILWWHG


LQWRWKHQRGH7KLVLVRQO\GRQHZKHQVRXQGSDOHWWHVDUHILWWHGLQWKHQRGH

3RVWWKHHGLW  DQGFOLFNRQ([LW

  6RXUFHV

)URPWKH(GLWWDELQWKHPDLQZLQGRZVHOHFWVRXUFHVIURPWKHGURSGRZQ
PHQX

7KHVRXUFHVDUHWKHDXGLRLQSXWVWRWKH$&(V\VWHP7KHVHDUHZLUHGLQWR
WKH$&(+8%VDQGJRGLUHFWO\WRWKHLQSXWFDUGV7KLVZLQGRZDOORZV
WKH QDPLQJ RI HDFK VRXUFH VHOHFWLRQ RI ZKLFK QRGH WKH\ DUH DWWDFKHG DQG WR
ZKLFKFKDQQHORIWKHLQSXWFDUGWKH\DUHSK\VLFDOO\DWWDFKHG

'HOHWH WKH VDPSOH SDQHO E\ FOLFNLQJ RQ  &OLFN RQ <HV WR GHOWH WKH
UHFRUGDQGWKHQFOLFNRQ1HZWRVHWWKHQHZVRXUFH

$&(6RIWZDUHWUDLQLQJFRXUVH 3DJHRI
,QWKLVLQVWDQFHZHKDYHRQH$&(7VRXUFHZKLFKLVQDPHG7HVW3DQHO

'LDJUDP

,WLVDWWDFKHGWRWKHWUDLQLQJQRGHDQGKDVEHHQDVVLJQHGWRFKDQQHO

7KH VXUYH\HG LV WLFNHG  WKLV HQDEOHV WKH V\VWHP WR PRQLWRU WKH '70)
VXUYHLOODQFHVLJQDOE\WKHVXSHUYLVRU\FDUG,IWKHDXGLRGRHVQRWKDYH'70)
LH3$%;DXGLREDFNJURXQGPXVLFHWF RUGRHVQRWQHHGPRQLWRULQJWKLVLV
XQFKHFNHG

&OLFNLQJRQWKHDGYDQFHGWDEJLYHVWKHIROORZLQJZLQGRZ

'LDJUDP

7KLV DOORZV VHOHFWLRQ RI ZKLFK SK\VLFDO FKDQQHO WKH VRXUFH LV DWWDFKHG
$&(:,1QHUZLOODXWRPDWLFDOO\VHOHFWWKHQH[WDYDLODEOHFKDQQHODVHDFKQHZ
VRXUFHLVGHFODUHG

3RVWWKH(GLW  DQGFOLFN([LW

$&(6RIWZDUHWUDLQLQJFRXUVH 3DJHRI
  =RQHV

7KHQH[WLWHPVWREHGHFODUHGDUHWKH]RQHV RUDPSOLILHUV 

)URPWKHPDLQZLQGRZFOLFNRQ(GLWDQGVHOHFW=RQHVIURPWKHGURSGRZQ
PHQX

,QWKHZLQGRZFOLFNRQWRGHOHWHWKH6DPSOH$PSOLILHU=RQHFOLFN2.
WRGHOHWHWKHUHFRUG

&OLFNRQQHZWRVWDUWDQHZUHFRUG

,Q WKH FRQILJXUDWLRQ IRU WKH WHVW V\VWHP WKHUH DUH  DPSOLILHUV FRYHULQJ 
]RQHV'HFODUHDQDPHIRUWKHVWDPSOLILHUDQ\QDPHFDQEHXVHGLQWKLVFDVH
$03=RQHIRUFODULW\

'LDJUDP

7KLV LV VKRZQ DV DWWDFKHG WR WKH WUDLQLQJ QRGH DQG SK\VLFDOO\ DWWDFKHG WR
&KDQQHO &KDQQHOLV&KDQQHORQ2XWSXW&DUG 

&OLFNRQ6XUYHLOODQFH

7KLVJLYHVDFFHVVWRWKHDPSOLILHUPRQLWRULQJVXLWH7KHVHFDQEHXQFKHFNHG
RUFKHFNHGDVUHTXLUHG

$&(6RIWZDUHWUDLQLQJFRXUVH 3DJHRI
'LDJUDP

,QWKLVGLDJUDPDOOPRQLWRULQJLVVHOHFWHGH[FHSW/RXGVSHDNHUVWKLVLVWKH
/78PRQLWRULQJZKLFKLVQRWSUHVHQWRQWKLVWHVWV\VWHP

&OLFNRQDGYDQFHG

'LDJUDP

&OLFNRQWRSRVWWKHHGLW

&OLFNRQQHZDQGUHSHDWWKHDERYHWRGHFODUHWKHRWKHUDPSOLILHUV $03
=RQH$03=RQH$03=RQH

&OLFNRQ([LWZKHQFRPSOHWH

$&(6RIWZDUHWUDLQLQJFRXUVH 3DJHRI
  7HUPLQDOV

%HIRUHDQ\DFWLRQVRUEXWWRQVFDQEHDVVLJQHGWRWKHWHVWV\VWHPWKH$&(7V
DQG3,2VQHHGWREHGHFODUHG

)URPWKH0DLQ:LQGRZVHOHFW)LOHWKHQ1HZWKHQFOLFNRQ7HUPLQDOV

'LDJUDP

7KH1HZ$&(7HUPLQDOQRZSURPSWV\RXWRIROORZWKHLQVWUXFWLRQV

'LDJUDP

&OLFNRQ1H[W

$&(6RIWZDUHWUDLQLQJFRXUVH 3DJHRI
<RX DUH QRZ SURPSWHG WR VHOHFW WKH W\SH RI 3,2  7KH WHVW V\VWHP KDV DQ
$&(71.&OLFNRQWKLVLQWKHGURSGRZQPHQX

'LDJUDP

&OLFNRQ1H[W

<RXDUHQRZSURPSWHGWRJLYHWKHWHUPLQDODQDPH7KLVFDQEHDQ\QDPHLQ
WKLVFDVH7HVW3DQHO

'LDJUDP

&OLFNRQ1H[W

$&(6RIWZDUHWUDLQLQJFRXUVH 3DJHRI
<RXDUHQRZDVNHGWRFKRRVHDVRXUFHIRUWKH$&(7,QWKLVFDVHFKRRVHWHVW
SDQHODVLWLVWKHRQO\VRXUFHLQWKHWHVWV\VWHP

'LDJUDP

&OLFNRQ1H[W

$VFUHHQQRZDSSHDUVDVNLQJLI\RXUHDOO\ZDQWWRFUHDWHDQHZ$&(7

'LDJUDP

&OLFNRQ&UHDWH

$QHZ$&(7ZLOOQRZKDYHEHHQFUHDWHGLQWKHGDWDEDVH

1H[WWKH3,2QHHGVWREHGHFODUHGIROORZLQJWKHVDPHLQVWUXFWLRQVDVDERYH

&OLFNRQ)LOHWKHQFOLFNRQ1HZWKHQFOLFNRQ7HUPLQDO

$VEHIRUHLQ1HZ$&(7HUPLQDOFOLFNRQ1H[W

$&(6RIWZDUHWUDLQLQJFRXUVH 3DJHRI
,QWKH $&(7V7\SHZLQGRZVHOHFW$&(7 1.  '2 127 6(/(&7 $
3,2  7+,6 :,// 127 :25. 7+,6 $&(7 &5($7(' :,// %(
(',7('$67+(3,2/$7(5

'LDJUDP

&OLFNRQ1H[W

*LYHWKH3,2DQDPH DJDLQWKLVFDQEHDQ\WKLQJDWDOO 

'LDJUDP

&OLFNRQ1H[W

$&(6RIWZDUHWUDLQLQJFRXUVH 3DJHRI
,QWKH$&(7VVRXUFHVHOHFW1RQH

'LDJUDP

&OLFNRQ1H[W

:KHQWKH5HDG\ZLQGRZFRPHVXS

'LDJUDP

&OLFNRQ&UHDWHDQGWKH3,2KDVEHHQFUHDWHGLQWKHGDWDEDVH

$&(6RIWZDUHWUDLQLQJFRXUVH 3DJHRI
 (GLWLQJWKH7HUPLQDO

7KH3,2KDVEHHQFUHDWHGDVDQ1.DQGQHHGVWREHFKDQJHGWRDQ,QSXW
$FWLRQV3,2

,QWKHPDLQZLQGRZFOLFNRQ(GLWDQGVHOHFW7HUPLQDOVIURPWKHGURSGRZQ
PHQX

7KHIROORZLQJZLQGRZZLOOQRZDSSHDU

'LDJUDP

&OLFNRQWRVHOHFWWKH3,2ZLQGRZ

)URPWKH7\SHGURSGRZQPHQXVHOHFW,QSXW $FWLRQV3,2

2QWKH1RGHGURSGRZQPHQXVHOHFW7UDLQLQJ

'LDJUDP

&OLFNRQWRSRVWWKHHGLW

7KH3,2KDVQRZEHHQFRQYHUWHGWRWKHFRUUHFWW\SHLQWKHGDWDEDVH

&OLFNRQ([LW
$&(6RIWZDUHWUDLQLQJFRXUVH 3DJHRI
 $FWLRQV

1H[WWKHDFWLRQV RURXWSXWV IRUWKHWHVWV\VWHP3,2QHHGWREHGHFODUHG

)URP WKH PDLQ ZLQGRZ FOLFN RQ (GLW DQG VHOHFW $FWLRQV IURP WKH GURS
GRZQPHQX

,QWKH (GLW$FWLRQVZLQGRZGHOHWHWKHVDPSOHDFWLRQ E\ FOLFNLQJ RQ


DQGFOLFNRQ2.

&OLFNRQ1HZ,QWKLVWHVWV\VWHPD3$LQ8VHLVGHILQHGDVDQRXSXW

7\SHLQWKHQDPH

'LDJUDP

7KHDFWLRQLVVKRZQDVEHLQJRQFKDQQHO7KLVLV231qRI3,2$JDLQ
DVSHUVRXUFHVWKLVFDQEHFKDQJHGXVLQJWKHVXUYHLOODQFHWDE

'LDJUDP

&OLFNRQWRSRVWWKHHGLWDQGWKHQRQ([LW

$&(6RIWZDUHWUDLQLQJFRXUVH 3DJHRI
 /RXGVSHDNHUV

7KH ORXGVSHDNHUV :LQGRZ LV IRU DVVLJQLQJ/78V WR D V\VWHP  7KLV ZLOO EH
GLVFXVVHGLQDODWHUVHFWLRQDVWKHWHVWV\VWHPLVQRWDVVLJQHGDQ\

 .H\ /DPSV

7KHILQDOSDUWRIEXLOGLQJRXUEDVLFWHVWV\VWHPFRQILJXUDWLRQLVWRGHFODUHWKH
EXWWRQVRQWKH$&(7 3,2+DYLQJDOLVWRIWKHUHTXLUHGEXWWRQVWRKDQGZLOO
DLGWKHSURFHVV

)LUVWWKHVDPSOHNH\IURPWKH$&(:,1QHULQVWDOOVKRXOGEHUHPRYHG

,QWKHPDLQZLQGRZFOLFNRQ(GLWDQGVHOHFW.D\ /DPSVIURPWKHGURS
GRZQPHQX

,QWKH.H\ /DPSVZLQGRZVHOHFWWKH2.WRGHOHWHWKHUHFRUG

'LDJUDP

&OLFNRQ([LW

$&(6RIWZDUHWUDLQLQJFRXUVH 3DJHRI
 &UHDWLQJWKH%XWWRQV

,QWKHPDLQZLQGRZVHOHFW)LOHWKHQ1HZDQGFOLFNRQ.H\/DPS

'LDJUDP

7KH ILUVW EXWWRQ WR EH FRQILJXUHG ZLOO EH WKH =RQH  6HOHFWRU IRU 5RXWLQH
6SHHFK2QWKHILUVWZLQGRZFOLFN1H[W

7KH QH[W ZLQGRZ DVNV ZKLFK WHUPLQDO WKH NH\ LV WR JR RQWR  &KRRVH 7HVW
3DQHO

'LDJUDP

$&(6RIWZDUHWUDLQLQJFRXUVH 3DJHRI
7KHQH[WVFUHHQDVNVIRUDQDPHIRUWKHNH\7\SHDQDPHLQ

'LDJUDP

7KHQFOLFN1H[W

7KH.H\IXQFWLRQZLOOQRZDVNZKDWW\SHRIIXQFWLRQWKHNH\LVWRKDYH

'LDJUDP

&OLFNRQ1H[W

$&(6RIWZDUHWUDLQLQJFRXUVH 3DJHRI
7KH$XGLR6RXUFHVFUHHQDSSHDUV

'LDJUDP

&KRRVH7HVW3DQHODQGFOLFNRQ1H[W

7KHQH[WVFUHHQDVNVZKHWKHUD377LVQHHGHGWRFDOO]RQHVFKHFNWKLVER[
,I WKH ]RQH VHOHFWRU LV WR EH D FRPELQHG ]RQH VHOHFWRU377 OHDYH XQFKHFNHG
7KHWHVWV\VWHPXVHV377

'LDJUDP

&OLFNRQ1H[W

$&(6RIWZDUHWUDLQLQJFRXUVH 3DJHRI
7KHQH[WVFUHHQ DVNV IRU SULRULW\ OHYHO  $V WKH =RQH 6HOHFWRU LV ORZ SULRULW\
PDNH WKLV OHYHO  XVLQJ WKH XSGRZQ EXWWRQV  PD[LPXP SULRULW\ OHYHO LV
 

'LDJUDP

&OLFNRQ1H[W

7KHQH[WVFUHHQDVNVZKLFK=RQHVWRDGGUHVV)RU=RQHWKLVLVDPSOLILHUV
DQG6HOHFWWKHVH]RQHV

'LDJUDP

&OLFNRQ1H[W

$&(6RIWZDUHWUDLQLQJFRXUVH 3DJHRI
7KLVEULQJVXSDVFUHHQDVNLQJZKLFKSHULSKHUDOVWRDFWLYDWHLH$FWLRQV$V
WKH =RQH 6HOHFWRU DFWLYDWHG ZKHQ XVLQJ 377 D 3$ LQ XVH LV UHTXLUHG
+LJKOLJKWWKLVDFWLRQ

'LDJUDP

&OLFNRQ1H[W

7KH1R2YHUULGHVVFUHHQZLOODSSHDUOHDYHWKHER[XQWLFNHG

'LDJUDP

&OLFNRQ1H[W

$&(6RIWZDUHWUDLQLQJFRXUVH 3DJHRI
$ILQDOVFUHHQVWDWLQJWKHEXWWRQLVUHDG\WREHFUHDWHGVKRXOGDSSHDU

'LDJUDP

7KLVFUHDWHVWKHQHZEXWWRQDQGUHWXUQVWRWKHPDLQZLQGRZ

7KH RWKHU EXWWRQV QRZ KDYH WR EH FUHDWHG IROORZLQJ WKH VDPH SURFHGXUH DV
DERYH8VLQJWKHIROORZLQJWDEOHSURJUDPLQWKHUHVWRIWKHEXWWRQV

$&(6RIWZDUHWUDLQLQJFRXUVH 3DJHRI
%XWWRQ .H\ 1DPH /HJHQG )XQFWLRQ 6RXUFH 8VH 3ULRULW\ =RQHV $FWLRQ 1R &KLPH 3XVK2Q )OHHWLQJ
7HUPLQDO 0HVVDJH 377 2YHUULGHV 3XVK2II
=RQH6HOHFWRU 7HVW3DQHO =RQH6HOHFW 7HVW3DQHO    3$LQXVH 1R
$OO&DOO=RQH6HOHFWRU 7HVW3DQHO =RQH6HOHFW 7HVW3DQHO   $OO 3$LQ8VH 1R
377 7HVW3DQHO 377 1$ 1$ 1$ 1$ %LQJ%RQJ 1R
:$9
*3$$ODUP 7HVW3DQHO $ODUP6HOHFW )LUH *DV 1$  $OO 1$ 1R 1R 
3$3$$ODUP 7HVW3DQHO $ODUP6HOHFW 3$3$ 1$  $OO 1$ 1R 1R 
$ODUP&DQFHO 7HVW3DQHO $ODUP&DQFHO 1$ 1$ 1$ 1RQH 1$ 1$ 1$ 1$
(PHUJHQF\6SHHFK 7HVW3DQHO =RQH6HOHFW 7HVW3DQHO 1$  $OO 3$LQ8VH  1R 1R
/DPS7HVW 7HVW3DQHO /DPS7HVW 1$ 1$ 1$ 1$ 1$ 1$ 1$ 1$ 1$
$XWR*3$ 3,2 $ODUP6HOHFW )LUH *DV 1$  $OO 3$LQ8VH 1$ 1R 
$XWR3$3$ 3,2 $ODUP6HOHFW 3$3$ 1$  $OO 3$LQ8VH 1$ 1R 

$&(6RIWZDUHWUDLQLQJFRXUVH 3DJHRI
7KHPDLQFRQILJXUDWLRQLQIRUPDWLRQLVQRZLQWKHGDWDEDVH7KHODVWWKLQJWR
GR EHIRUH ILWWLQJ WKH SURMHFW LV WR UHDUUDQJH WKH $&(71. EXWWRQV WR
PRUHVXLWDEOHSRVLWLRQV

)URPWKHPDLQZLQGRZFOLFN(GLWDQGVHOHFW7HUPLQDOVIURPWKHGURSGRZQ
PHQX

7KHWHVWSDQHOLQIRUPDWLRQZLQGRZLVGLVSOD\HG

'LDJUDP

&OLFNRQ9LHZWRJLYHDJUDSKLFDOYLHZRIWKHEXWWRQOD\RXWRIWKH$&(7

'LDJUDP

$&(6RIWZDUHWUDLQLQJFRXUVH 3DJHRI
:HQHHGWRPRYHWKHIROORZLQJEXWWRQVWRWKHLUQHZSRVLWLRQV

$OO WR3RVLWLRQ
377 WR3RVLWLRQ
*3$ WR3RVLWLRQ
3$3$ WR3RVLWLRQ
(P6S WR3RVLWLRQ
&DQFHO WR3RVLWLRQ /7WR

&ORVH*UDSKLFZLQGRZDQG([LW(GLWWHUPLQDO

&OLFN(GLWLQWKHPDLQZLQGRZDQGVHOHFW.H\  /DPSV IURPGURS GRZQ


PHQX

8VHEXWWRQDQGQDYLJDWHWRWKH(GLW.H\$OO=RQHV:LQGRZ

8VLQJ WKH 3RVLWLRQ RQ 3DQHO 8S'RZQ EXWWRQV FKDQJH IURP SRVLWLRQ  WR
SRVLWLRQ

'LDJUDP

&OLFNRQEXWWRQWRSRVWWKHHGLW

8VLQJWKHEXWWRQUHSHDWWKHSURFHVVIRUDOOEXWWRQVWRKDYHWKHLUSRVLWLRQV
FKDQJHG

3UHVV([LWZKHQILQLVKHG

)URPPDLQZLQGRZFOLFN(GLWDQGVHOHFW7HUPLQDOVIURPGURSGRZQPHQX

$&(6RIWZDUHWUDLQLQJFRXUVH 3DJHRI
,Q(GLW7HUPLQDO7HVW3DQHOZLQGRZFOLFNRQ9LHZ

'LDJUDP

7KHSRVLWLRQRIWKHEXWWRQVKDYHQRZPRYHGWRWKHGHVLUHGSRVLWLRQV

127(<28&$11279,(:%87721326,7,216213,26

&OLFNRQ([LWWRUHWXUQWRPDLQZLQGRZ

7KH &RQILJXUDWLRQ LV QRZ UHDG\ WR EH ILWWHG WR FRPSLOH WKH KDUGZDUH
GDWDEDVH

$&(6RIWZDUHWUDLQLQJFRXUVH 3DJHRI
)LWWLQJWKH3URMHFW

7RILW RUFRPSLOH WKHSURMHFWIROORZWKHQH[WVWHSV

  ,QWKHPDLQZLQGRZVHOHFW,QVWDOODWLRQDQGFOLFNRQ)LW

 :KHQWKH)LW3URMHFW5HVRXUFHVZLQGRZRSHQV&OLFNWKHILWEXWWRQ

 $ORJILOHLVJHQHUDWHGJLYLQJLQIRUPDWLRQDERXWWKHV\VWHP7KHKDUGZDUHORJ
UHTXLUHGIRUEXLOGLQJWKHGDWDEDVHLVVKRZQEHORZ

  7DNH QRWH RU 6FUHHQ 3ULQW WKH )RU ,QIRUPDWLRQ  :,1QHU QDPHV YV 1HW
1DPHVILOHORJ

  &OLFNRQ([LW

:HKDYHQRZILQLVKHGZLWK$&(:,1QHUDFHSUMIRUWKHPRPHQW

&ORVHWKHDSSOLFDWLRQE\FOLFNLQJWKH;EXWWRQ
$&(6RIWZDUHWUDLQLQJFRXUVH 3DJHRI
/RDGLQJWKH&RQILJXUDWLRQWRWKH6\VWHP&DUGV

2QFH DOO WKH /70V KDYH KDG WKHLU KDUGZDUH FRQILJXUDWLRQ ORDGHG WKH\ QHHG WKH
IXQFWLRQDOGDWDLQVWDOOHGWRRSHUDWH7KLVLVGRQHIURP$&([SHUW

&OLFNRQ6WDUWLQWKH3&GHVNWRS

&OLFNRQ3URJUDPV

&OLFNRQ$&(:,1QHU

&OLFNRQ$&([SHUWWRVWDUW

,QWKHPDLQZLQGRZFOLFNRQ,QVWDOODWLRQ

)URPWKHGURSGRZQPHQXFOLFNRQ)LW

:KHQWKH)LW3URMHFW5HVRXUFHVILWWKHSURMHFW

7KLVLVH[DFWO\DVSHUWKH)LWSURMHFWGHVFULEHGLQWKHSUHYLRXVFRQILJXUDWLRQVHFWLRQ

N $OWKRXJKWKHSURMHFWZDVILWWHGHDUOLHULWLVJRRGSUDFWLFHWRUHILWEHIRUH
ORDGLQJWKHFRQILJXUDWLRQWRWKHFDUGV

&OLFNRQ([LW

$&(6RIWZDUHWUDLQLQJFRXUVH 3DJHRI
,QWKHPDLQZLQGRZFOLFNRQ,QVWDOODWLRQDQGVHOHFW&RQQHFWIURPWKHGURSGRZQ
PHQX

7KH&RQQHFWWR1HWZRUNZLQGRZFRPHVXS(QVXUHQHWZRUNEXWWRQLVVHOHFWHGIRU
SULPDU\

&OLFNRQ2.

7KHIROORZLQJVFUHHQZLOOQRZDSSHDU

&OLFNRQ2.

$&(6RIWZDUHWUDLQLQJFRXUVH 3DJHRI
5HFOLFNRQ,QVWDOODWLRQDQGFOLFNRQORDGIURPWKHGURSGRZQPHQX

7KHORDGHTXLSPHQWZLQGRZZLOOQRZRSHQ

7KLV VKRZV WKH HTXLSPHQW WKDW QHHGV WR KDYH IXQFWLRQDOLW\ FRQILJXUDWLRQ ORDGLQJ WR
WKHP

7KLVZLQGRZVKRZWKH$&(7V

&OLFNLQJRQWKH&DUGVEXWWRQZLOOVKRZWKH1RGHFDUGVWREHORDGHG

7R ORDG HDFK GHYLFH LQ WXUQ KLJKOLJKW WKH GHYLFH UHTXLUHG WKHQ FOLFN RQ WKH ORDG
EXWWRQ

$&(6RIWZDUHWUDLQLQJFRXUVH 3DJHRI
7KLVGHYLFHZLOOQRZORDGDXWRPDWLFDOO\

5HSHDWIRUDOOGHYLFHV(;&(37WKH6RXQG3DOHWWH WHOQV 

([LWWKHZLQGRZZKHQFRPSOHWHG

7KH6RXQG3DOHWWHUHTXLUHVLWVGRZQORDGSDUDPHWHUVWREHVHWEHIRUHORDGLQJ

)URPWKHPDLQPHQXFOLFN(GLWWKHQFOLFNRQ3URMHFWVIURPWKHGURSGRZQPHQX

,QWKH(GLW3URMHFWZLQGRZFOLFNRQ3DOHWWHVWDE

(QVXUH)DVWORDGLVXQFKHFNHGDQGPDNHDIODVKLPDJHILOHLVFKHFNHG

$&(6RIWZDUHWUDLQLQJFRXUVH 3DJHRI
8VLQJWKHWRUHYHDOWKH63(UURUVWDEFOLFNRQWKHWDE

(QVXUH:DUQLQJVER[LVFKHFNHGDQG'RZQORDGVSHHGLVPHGLXP

&OLFNRQ2.

&OLFNRQ,QVWDOODWLRQDQGWKHQRQORDGLQWKHGURSGRZQPHQX

6HOHFWFDUGVEXWWRQDQGKLJKOLJKWWHOQV

&OLFNRQORDG

7KHVRXQGSDOHWWHVKRXOGORDGDOOWKH:$9ILOHVGHILQHGZLWKLQWKHFRQILJXUDWLRQ

127( 'HSHQGLQJ RQ KRZ ORQJ WKH PHVVDJHV DUH WKLV PD\ WDNH VRPH WLPH  $ODUP
WRQHVEHOOVPD\WDNHWHQVRIPLQXWHVYRLFHPHVVDJHVPD\WDNHVHYHUDOKRXUV

7KHIXQFWLRQDOLW\GDWDKDVQRZEHHQGRZQORDGHG

&OLFNRQ([LWDQGFOLFN;WRFORVH$&([SHUW
$&(6RIWZDUHWUDLQLQJFRXUVH 3DJHRI
/210$1$*(5/210$.(5

/210$1$*(5 LV WKH KDUGZDUH GDWDEDVH VRIWZDUH VXLWH ,WV IXQFWLRQ LV WR FUHDWH
DQG VWRUH GHWDLOV RI D V\VWHPV KDUGZDUH FUHDWHG E\ WKH$&(:,1QHU ILWWHU  7KLV
KDUGZDUHGDWDLVXVHGWRGHILQHHDFKFDUGVLGHQWLW\ZLWKLQWKH$&(YLDLWV/70
1HWZRUNGHYLFH

7KH GHYLFH GHWDLOV DUH SODFHG LQWR /210$.(5 PDQXDOO\ DQG WKHQ WKH GDWDEDVH LV
ORDGHGWRHDFKLQGLYLGXDO/707KLVLVGRQHXVLQJWKHZKLWHVHUYLFHSLQILWWHGRQ
HDFK FDUG QHDU WKH /70  :KHQ SUHVVHG WKLV VHQGV WKH XQLTXH /70 VHULDO
QXPEHU WR WKH /210$1$*(5 GDWDEDVH ZKLFK WKHQ VHQGV WKH DSSOLFDWLRQ FRGH
7KLVKDVWREHGRQHEHIRUHWKHIXQFWLRQDOLW\GDWDEDVHFDQEHORDGHGWRHDFKFDUG

$VZHOODVORDGLQJKDUGZDUHGDWD/210$1$*(5LVDOVRXVHIXOIRUWHVWLQJUHVSRQVH
RIWKHQHWZRUNDQG/70UHVSRQVH7KLVZLOOEHGLVFXVVHGODWHU

,QWKHZLQGRZGHVNWRSFOLFNRQVWDUW7KHQSURJUDPVWKHQ$&(:,1QHU

&OLFNRQ,QVWDOO3ULPDU\1HWZRUNWRVWDUW/210$.(5

$&(6RIWZDUHWUDLQLQJFRXUVH 3DJHRI
:KHQWKH,QVWDOO3ULPDU\1HWZRUNZLQGRZDSSHDUV

3UHVV(QWHURQWKH.H\ERDUG

7KHIROORZLQJVFUHHQDSSHDUV

$&(6RIWZDUHWUDLQLQJFRXUVH 3DJHRI
3UHVV(QWHUDJDLQWKHIROORZLQJVFUHHQZLOOQRZDSSHDU

6ZLIWO\IROORZHGE\WKHPDLQ/210$.(5ZLQGRZ

:KHQ $&(:,1QHU LV LQVWDOOHG LW SODFHV D GHIDXOW KDUGZDUH GDWDEDVH LQWR
/210$.(57KLVPXVWEHUHPRYHGEHIRUHWKHGHYLFHGHWDLOVIURPWKHILWWHUFDQEH
DGGHG

$&(6RIWZDUHWUDLQLQJFRXUVH 3DJHRI
&OLFNRQ'HYLFH6HWXS

$OLVWRIWKHGHIDXOWGHYLFHVFDQEHVHHQLQWKHZLQGRZ

+LJKOLJKWDFHWDQGFOLFNRQUHPRYH

$&(6RIWZDUHWUDLQLQJFRXUVH 3DJHRI
$SURPSWDVNLQJZKHWKHU\RXZDQWWRFRQWLQXHWKHQDSSHDUV

&OLFNRQ5HPRYH

7KHIROORZLQJIDLOXUHWRGHOHWHFRQILJXUDWLRQPHVVDJHZLOODSSHDU

&OLFNRQ'RQH

$&(6RIWZDUHWUDLQLQJFRXUVH 3DJHRI
7KHPDLQZLQGRZVKRXOGQRZUHDSSHDUZLWKDFHWPLVVLQJIURPWKHGHYLFHVSDQHO

%\UHSHDWLQJWKHDERYHUHPRYHDOOGHYLFHV(;&(373URMHFW

N 5(029,1* 352-(&7 :,// &255837 7+( '$7$%$6( $1'


$&(:,11(5:,//1(('72%(5(,167$//('

1H[WWKHGHYLFHVGHFODUHGE\WKHILWWHUZLOOQHHGWREHSXWLQWRWKHGDWDEDVH

,Q'HYLFH6HWXSKLJKOLJKW3$9$LQWKHORFDWLRQSDQHO

$&(6RIWZDUHWUDLQLQJFRXUVH 3DJHRI
&OLFNRQ'HILQH

:KHQ WKH 'HILQH 'HYLFH :LQGRZ DSSHDUV W\SH LQ WKH QDPH RI WKH GHYLFH WR EH
SODFHGLQWKHGDWDEDVHWKLVVKRXOGEHWKHVDPHDVGHILQHGE\WKHILWWHUORJ

1RUPDOO\WKHURXWHULVGHFODUHGILUVWLQWRWKHGDWDEDVH

1H[WFOLFNRQWKH'HYLFHW\SHDQGVHOHFW3HULURXWHU

$&(6RIWZDUHWUDLQLQJFRXUVH 3DJHRI
&OLFNRQ'RQH

7KH'HILQH'HYLFHZLQGRZQRZSURPSWVIRU&KDQ$1DPHVHOHFWVLWHZLGHIURP
WKHGURSGRZQPHQX

)URPWKH&KDQ%1DPHGURSGRZQPHQXVHOHFW1RGH%DFNSODQH

&OLFNRQ'RQH

$&(6RIWZDUHWUDLQLQJFRXUVH 3DJHRI
7KH6LWHZLGH5RXWHULVQRZLQWKHGHYLFHVSDQHO

7KLVQHHGVWREHUHSHDWHGIRUDOOGHYLFHVLQWKHILWWHUORJ

$FHW

$FHW

$&(6RIWZDUHWUDLQLQJFRXUVH 3DJHRI
,QQV

2XWQV

6XSQ

$&(6RIWZDUHWUDLQLQJFRXUVH 3DJHRI
7HOQV

7KLVZLOOWKHQJLYHWKHGHYLFHSDQHOZLWKDOOGHYLFHVQHHGHGLQLW

7KH KDUGZDUH GDWDEDVH LV QRZ UHDG\ WR EH LQVWDOOHG LQ WKH UHOHYDQW /70V LQ WKH
WDUJHW$&(V\VWHP

$&(6RIWZDUHWUDLQLQJFRXUVH 3DJHRI
/210$.(5GE/RDGLQJ

7RORDGLQWKGDWDEDVHWRHDFKV\VWHPFDUGFOLFNRQ,QVWDOODWLRQV7KHQFOLFNRQWKH
WRS ULJKW EXWWRQ 1RW DWWDFKHG WR 1HWZRUN  WKLV FRQQHFWV WKH ''( VHUYHU WR WKH
(FKHORQ.EVGDWDEXVYLDWKH/RQWDONDGDSWHU

7KHVWLWHPZHQHHGWRORDGLVWKH6LWHZLGH5RXWHU+LJKOLJKWE\FOLFNLQJDQGWKHQ
SUHVV,QVWDOO

7KH IROORZLQJ VFUHHQ LV VKRZQ  &OLFN WKH 6HUYLFH 3LQ EXWWRQ WKHQ FOLFN RQ
&RQWLQXH

$&(6RIWZDUHWUDLQLQJFRXUVH 3DJHRI
7KHIROORZLQJVFUHHQDSSHDUVDVNLQJWKDWWKHVHUYLFHSLQLVSUHVVHG

3UHVVWKHURXWHUVHUYLFHSLQ

7KHLQVWDOOZLQGRZQRZDVNVLIWKHDSSOLFDWLRQLPDJHQHHGVORDGLQJ

&OLFN<HV

/RQPDNHUZLOOQRZVWDUWGRZQORDGLQJ7KLVPD\WDNHDFRXSOHRIPLQXWHV

$&(6RIWZDUHWUDLQLQJFRXUVH 3DJHRI
(YHQWXDOO\WKH,QVWDOODWLRQ6XFFHVVIXOVFUHHQVKRXOGDSSHDU

&OLFNRQ'RQH

5HSHDWWKHDERYHSURFHGXUH IRUHDFKGHYLFHWREHORDGHG (;&(37 3URMHFW  7KLV


GRHVQRWQHHGWREHORDGHG

127( (QVXUH /RQPDNHU LV DWWDFKHG WR WKH QHWZRUN HDFK WLPH D GHYLFH LV
ORDGHG

:KHQDGHYLFHKDVEHHQORDGHGWKHEV\PEROE\LWVOHIWVLGHZLOOGLVDSSHDU

:KHQ DOO GHYLFHV DUH ORDGHG WKH KDUGZDUH GDWDEDVH PD\ EH VKXW GRZQ QG WKH
IXQFWLRQDOGDWDEDVHORDGHGIURP$&([SHUW

&OLFNRQ([LWLQPDLQ/RQPDNHUZLQGRZWKHQH[LWLQWKHPHVVDJHZLQGRZ

/RQPDNHUVKXWVGRZQDQGLVUHSODFHGE\WKH:LQGRZVGHVNWRS

$&(6RIWZDUHWUDLQLQJFRXUVH 3DJHRI
$GGLWLRQDO)HDWXUHV
DQG)DFLOLWLHV
6HFWLRQ

$&(6RIWZDUHWUDLQLQJFRXUVH 3DJHRI
&KHFNLQJ1HWZRUN0HVVDJHV

$KHOSIXOGLDJQRVWLFWRROLVWKHFKHFNFRQQHFWLRQLQ$&([SHUW7KLVJLYHVDYLHZRI
PHVVDJHVRQWKH(FKHORQQHWZRUNVXFKDVURXWLQJUHTXHVWV

7RGRWKLVOLQHVRILQVWUXFWLRQVPXVWEHDGGHGWRWKH:LQQHULQLILOHZKLFKUHVLGHV
LQWKH$FHBZLQIROGHURQWKH&'ULYH

8VHZLQGRZVH[SORUHUWRORFDWHWKH$FHBZLQIROGHUDQGRSHQLW

)LQGWKH:LQQHURU:LQQHULQLILOH XVXDOO\WKHODVWLQWKHIROGHU 

'RXEOHFOLFNWRUHYHDOWKH:LQQHU1RWHSDGZLQGRZ

%HWZHHQWKH>2SWLRQV@DQG>6XSHUYLVRU\@HQWULHVDGGWKHIROORZLQJOLQHV

>(QJLQHHU@
$OORZ((3520$FFHVV <HV
$OORZ'LDJQRVLV <HV

1RWH 7KHUHVKRXOGEHQRVSDFHEHWZHHQWKH VLJQ

$&(6RIWZDUHWUDLQLQJFRXUVH 3DJHRI
:KHQGRQHFOLFNRQ)LOHDQGWKHQRQ6DYHIURPWKHGURSGRZQPHQX

&OLFNRQ;WRH[LW

$&(6RIWZDUHWUDLQLQJFRXUVH 3DJHRI
2SHQ$&([SHUWDQGFOLFNRQ,QVWDOODWLRQ

7KUHHQHZIXQFWLRQVQRZDSSHDULQWKHGURSGRZQPHQX

7HVW$PSV
&KHFN&RQQHFWLRQ
'LDJQRVWLFV

&OLFNRQ&RQQHFW&RQQHFWWR1HWZRUNDQG2.WKHQ2.DJDLQ

&OLFN,QVWDOODWLRQDJDLQDQGFOLFNRQ&KHFN&RQQHFWLRQIURPWKHGURSGRZQPHQX
7KLVJLYHVWKH0RQLWRU1HWZRUNDFWLYLW\ZLQGRZ

7KHDERYHVFUHHQVKRZVSODQHQRWLILFDWLRQVVHQWE\WKH6XSHUYLVRU\FDUGWRWKH2XWSXW
FDUGIRUWKH.+]ORXGVSHDNHUPRQLWRULQJ

7KH$PS7HVWDQG'LDJQRVWLFVDUHHQJLQHHULQJIXQFWLRQVWKDWDUHUDUHO\XVHG

$&(6RIWZDUHWUDLQLQJFRXUVH 3DJHRI
(QWHULQJ/78VLQWR$&(&RQILJXUDWLRQ

7KH /78V DUH HQWHUHG LQ WKH ORXGVSHDNHUV VHFWLRQ RI WKH$&([SHUW VXLWH  7KH
LQIRUPDWLRQLVHQWHUHGRQH/78DWDWLPHHDFKRQHEHLQJDVVLJQHGLWVRZQDPSOLILHU
ORXGVSHDNHUVHWWLQJHWF

)URPWKHGHVNWRSQDYLJDWHWRDQGRSHQ$&([SHUW&OLFNRQWKH(GLWWDEDQGVHOHFW
/RXGVSHDNHUVIURPWKHGURSGRZQPHQX

7KH(GLW/LQH7HUPLQDWLRQ8QLWZLQGRZZLOORSHQ

&OLFNRQ1HZWRHQWHUDQHZUHFRUG

,QWKH ,GHQWLW\ ER[ W\SH LQ WKH XQLTXH /78 VHULDO QXPEHU  7KLV VKRXOG KDYH EHHQ
UHFRUGHGDQGOLVWHGZKHQLQVWDOOHGRQWKHORXGVSHDNHUQHWZRUN

$&(6RIWZDUHWUDLQLQJFRXUVH 3DJHRI
1H[WSRLQWDQGFOLFNRQWKH'LDU\1DPHDQGGHOHWHWKHWH[WKHOGLQWKHER[(QWHUD
UHOHYDQW QDPH IRU WKH /78  WKLV FDQ EH WKH VSHDNHU ,' WDJ QXPEHU LWV ORFDWLRQ RU
ZKDWHYHU

$&(6RIWZDUHWUDLQLQJFRXUVH 3DJHRI
1H[WXVHWKHXSGRZQDUURZVWRILQGWKHFRUUHFWORXGVSHDNHUW\SHWKH/78LVILWWHGWR
+LJKOLJKWE\FOLFNLQJRQWKHUHTXLUHGW\SHLQWKLVFDVHD'1+W\SH'63

1RZ VHW WKH FRUUHFW ORXGVSHDNHU WDS E\ FOLFNLQJ WKH DSSURSULDWH EXWWRQ LQ WKH
7DSSLQJWDEOH1RWHWKDWWKHGHIDXOWLVWKHORZHVWWDSVHWWLQJWKLVRQHKDVEHHQVHWWR
:DWWV

$&(6RIWZDUHWUDLQLQJFRXUVH 3DJHRI
6HOHFW WKH DPSOLILHU WR ZKLFK WKH /78 LV DWWDFKHG XVLQJ WKH XSGRZQ DUURZV LI
SUHVHQW DQGFOLFNLQJRQWKHUHTXLUHGDPSOLILHU

)LQDOO\FOLFNRQWRSRVWWKHHGLW

5HSHDWWKHDERYHXQWLODOO/78VDUHHQWHUHGLQWRWKHGDWDEDVH

127( $PD[LPXPRI/78VSHUDPSOLILHUDUHDOORZHG

:KHQILQLVKHGFOLFNRQ([LW

7KH /78LQIRUPDWLRQLVVWRUHGRQWKH6XSHUYLVRU\FDUGWKLV PXVW WKHQ EH UHORDGHG


ZLWKWKHQHZGDWDEDVH

)LUVW)LWWKHSURMHFW&OLFNRQ,QVWDOODWLRQ DQGFOLFNRQ)LWIURPWKHGURSGRZQ
PHQX

&OLFNRQ)LWIURPWKH)LW3URMHFW5HVRXUFHVZLQGRZ

&OLFNRQ([LW

$&(6RIWZDUHWUDLQLQJFRXUVH 3DJHRI
/LFNRQ,QVWDOODWLRQWKHQFOLFNRQ&RQQHFWIURPWKHGURSGRZQPHQX

&OLFN&RQQHFWWR3ULPDU\QHWZRUNWKHQ2.

7KHQFOLFNRQ2.DJDLQ

$JDLQFOLFNRQ,QVWDOODWLRQWKHQFOLFNRQORDGIURPWKHGURSGRZQPHQX

6HOHFWWKH&DUGVEXWWRQLQWKH7\SHSDQHODQGFOLFNRQVXSQLQWKHGHYLFHWDEOH

/LFNRQORDGDQGWKH6XSHUYLVRU\FDUGZLOOEHUHORDGHGZLWKWKHQHZGDWDEDVH

$&(6RIWZDUHWUDLQLQJFRXUVH 3DJHRI
&OLFNRQ([LWDQGWKHQRQ;WRFORVH$&([SHUW

127( 5HORDGLQJD6XSHUYLVRU\FDXVHVDIXOOV\VWHPUHVHW

$&(6RIWZDUHWUDLQLQJFRXUVH 3DJHRI
6HWWLQJ/786XUYHLOODQFH2SWLRQV

7KH /78 VXUYHLOODQFH RSWLRQV FDQ EH VHW DW WKH VDPH WLPH DV HQWHULQJ WKH /78
GDWDEDVH

,Q$&([SHUWFOLFNRQ(GLWDQGVHOHFW=RQHVIURPWKHGURSGRZQPHQX

8VH WKH
 DUURZ WR QDYLJDWH WR WKH GHVLUHG DPSOLILHU DQG FOLFN WKH 6XUYHLOODQFH
WDE

&KHFNWKHORXGVSHDNHUVER[WRHQDEOH/78LQWHUURJDWLRQRQWKDWDPSOLILHU5HSHDW
IRUDOODPSOLILHUVWKDW/78VDUHWREHPRQLWRUHGRQ

5HPHPEHUWRSRVWWKHHGLW  IRUHDFKDPSOLILHU

&OLFNRQ([LWZKHQILQLVKHG

7R VHW WKH /78 VXUYHLOODQFH SHULRG FOLFN RQ (GLW LQ WKH PDLQ$&([SHUW ZLQGRZ
WKHQVHOHFW3URMHFWVIURPWKHGURSGRZQPHQX

&OLFNRQWKH5HSRUWLQJWDE

$&(6RIWZDUHWUDLQLQJFRXUVH 3DJHRI
(QVXUHWKHFKHFNDPSOLILHUVDQG/78WDSSLQJER[HVDUHWLFNHG

,I WKH /78 UHDG RXWV DUH WR EH PRQLWRUHG RQ WKH +\SHUWHUPLQDO WKHQ WLFN WKH
(QJLQHHUV,QIR21ER[

7KLVZLOOJLYHWKHHUURUZDUQLQJER[VDERYHWLFN2.

&OLFNRQ/78LQ(QJLQHHUV,QIRWRUHDGRXWRQWKH+\SHUWHUPLQDO

&OLFNRQ2.LQ(GLW3URMHFWLQIR

5HILWUHFRQQHFWDQGUHORDGWKHVXSHUYLVRU\DVGHVFULEHGSUHYLRXVO\7RWXUQRIIWKH
/78PRQLWRULQJXQFKHFNWKHER[HVGHVFULEHGDERYHWRVHWPRQLWRULQJRQDQGUHORDG
WKH6XSHUYLVRU\

$&(6RIWZDUHWUDLQLQJFRXUVH 3DJHRI
5HSODFLQJD&DUG/70

6KRXOGDQ /70 PRGXOH IDLO RU D EUDQG QHZ FDUG ZLWK D QHZ /70 KDYH WR EH
ILWWHGWKHKDUGZDUHGDWDEDVHZLOO

D  QHHGXSGDWLQJZLWKQHZ/706HULDO1G
E  1HZKDUGZDUHFRQILJXUDWLRQGRZQORDGHGWRQHZ/70

7KLVLVGRQHIURP/210$1$*(5/210$.(5

$IWHUWKLVKDVEHHQGRQHWKHIXQFWLRQDOLW\GDWDEDVHVKRXOGEHGRZQORDGHGWRWKHFDUG
IURP$&([SHUW

)URPVWDUWLQWKHPDLQZLQGRZVGHVNWRSQDYLJDWHWR,QVWDOO3ULPDU\1HWZRUNDQG
FOLFNRQLW

3UHVV(QWHUWZLFHWRHQWHU/210$.(5

&OLFNRQ5HSDLU

(QVXUHDWWDFKHGWRQHWZRUNLVGLVSOD\HGLQWRSULJKWFRUQHUFOLFNRQEXWWRQLIQRW

$&(6RIWZDUHWUDLQLQJFRXUVH 3DJHRI
+LJKOLJKWGHYLFHWREHUHSODFHGDQGFOLFNRQUHSODFH

,QWKLVLQVWDQFHLQSXWFDUGLQQV

7KHUHSODFHZLOOFRPHRQ

&OLFNRQWKH6HUYLFH3LQEXWWRQ

&OLFNRQ&RQWLQXH

7KHVFUHHQZLOODVNIRUWKH6HUYLFH3LQWREHSUHVVHGSUHVVLW

$&(6RIWZDUHWUDLQLQJFRXUVH 3DJHRI
$ZLQGRZDVNLQJZKHWKHUWRORDGDSSOLFDWLRQWRGHYLFHZLOOFRPHXS

&OLFNRQ<HV

7KHDSSOLFDWLRQGRZQORDGZLQGRZLVQRZVKRZQ

:KHQWKHGRZQORDGLVFRPSOHWHDQRGHVXFFHVVIXOO\UHSODFHGPHVVDJHZLOODSSHDU

$&(6RIWZDUHWUDLQLQJFRXUVH 3DJHRI
7KH/70&DUGKDVEHHQUHSODFHG

&OLFNRQ([LWDQGWKHQRQ([LWLQWKH0HVVDJHZLQGRZWRTXLW/210$.(5

,W ZLOO QRZ EH QHFHVVDU\ WR ODXQFK $&([SHUW DQG UHILW FRQQHFW DQG UHORDG WKH
FDUG$&(7WKDWKDVFKDQJHGRUKDGLWV/70UHSODFHG

7R GR WKLV IROORZ WKH LQVWUXFWLRQV IRU ORDGLQJ IXQFWLRQDOLW\ FRQILJXUDWLRQ LQ WKH
SUHYLRXVFKDSWHU

$&(6RIWZDUHWUDLQLQJFRXUVH 3DJHRI

You might also like