3$57 12
650
(-;/ (;/
(-;/ (-;/
(;/ (;/ (;/
6$)(7< 35(&$87,216
0$,17(1$1&( $1' 5(3$,5
:KHQ OLIWLQJ SDUWV RU DVVHPEOLHV PDNH VXUH WKDW DOO VOLQJV FKDLQV RU FDEOHV
DUH FRUUHFWO\ IDVWHQHG DQG WKDW WKH ORDG EHLQJ OLIWHG LV EDODQFHG 0DNH VXUH
WKDW WKH FUDQH FDEOHV DQG FKDLQV KDYH WKH FDSDFLW\ WR VXSSRUW WKH ZHLJKW RI
WKH ORDG
'R QRW OLIW KHDY\ SDUWV E\ KDQG 8VH D OLIWLQJ PHFKDQLVP
:HDU VDIHW\ JODVVHV
',6&211(&7 7+( %$77(5< &211(&725 EHIRUH GRLQJ DQ\
PDLQWHQDQFH RU UHSDLU RQ HOHFWULF OLIW WUXFNV 'LVFRQQHFW WKH EDWWHU\ JURXQG
FDEOH RQ LQWHUQDO FRPEXVWLRQ OLIW WUXFNV
$OZD\V XVH FRUUHFW EORFNV WR SUHYHQW WKH XQLW IURP UROOLQJ RU IDOOLQJ 6HH
´+RZ 7R 3XW 7KH /LIW 7UXFN 2Q %ORFNVµ LQ WKH 23(5$7,1* 0$18$/ RU
WKH 3(5,2',& 0$,17(1$1&( VHFWLRQ
.HHS WKH XQLW DQG ZRUNLQJ DUHD FOHDQ DQG LQ RUGHU
8VH WKH FRUUHFW WRROV IRU WKH MRE
.HHS WKH WRROV FOHDQ DQG LQ JRRG FRQGLWLRQ
$OZD\V XVH
+<67(5 $33529('
SDUWV ZKHQ PDNLQJ UHSDLUV
5HSODFHPHQW SDUWV PXVW PHHW RU H[FHHG WKH VSHFLILFDWLRQV RI WKH RULJLQDO
HTXLSPHQW PDQXIDFWXUHU
0DNH VXUH WKDW DOO QXWV EROWV VQDS ULQJV DQG RWKHU IDVWHQLQJ GHYLFHV DUH
UHPRYHG EHIRUH XVLQJ IRUFH WR UHPRYH SDUWV
$OZD\V IDVWHQ D '2 127 23(5$7( VLJQ WR WKH FRQWUROV RI WKH XQLW ZKHQ
PDNLQJ UHSDLUV RU LI WKH XQLW QHHGV UHSDLUV
0DNH VXUH \RX IROORZ WKH :$51,1* DQG &$87,21 QRWHV LQ WKH
LQVWUXFWLRQV
*DVROLQH /LTXLG 3HWUROHXP *DV /3* DQG 'LHVHO DUH IODPPDEOH IXHOV
0DNH VXUH WKDW \RX IROORZ WKH QHFHVVDU\ VDIHW\ SUHFDXWLRQV ZKHQ KDQGOLQJ
WKHVH IXHOV DQG ZKHQ ZRUNLQJ RQ WKHVH IXHO V\VWHPV
%DWWHULHV JHQHUDWH IODPPDEOH JDV ZKHQ WKH\ DUH EHLQJ FKDUJHG .HHS ILUH DQG
VSDUNV DZD\ IURP WKH DUHD 0DNH VXUH WKH DUHD KDV YHQWLODWLRQ
+<'5$8/,& 6<67(0
*(1(5$/
7KLV VHFWLRQ GHVFULEHV WKH K\GUDXOLF V\VWHP DQG WKH
VWHHULQJ V\VWHP 7KH VHFWLRQ LQFOXGHV &+(&.6 $1'
$'-8670(176 DQG 7528%/(6+227,1* 7KH
VHFWLRQ KDV UHSDLU SURFHGXUHV IRU WKH PDLQ K\GUDXOLF
SXPS 2WKHU UHSDLU SURFHGXUHV DUH LQ WKH IROORZLQJ VHF
WLRQV
67((5,1* &21752/ 81,7
650
67((5,1* $;/( 650
(- ;/ (;/
(- ;/ (- ;/
0$,1 &21752/ 9$/9( 650
67((5,1* $;/( 650
( (;/ ( ;/
7,/7 &</,1'(56 650
'(6&5,37,21
+\GUDXOLF 6\VWHP 6HH ),*85(
7KH SDUWV RI WKH K\GUDXOLF V\VWHP DUH VKRZQ LQ
),*85( 7KH GLDJUDP VKRZV FRPSRQHQWV DQG LQWHU
FRQQHFWLRQV WKDW DUH W\SLFDO RI DOO PRGHOV ,W GRHV QRW
VKRZ DOO K\GUDXOLF V\VWHPV )RU H[DPSOH WKH GLDJUDP
KDV RQH K\GUDXOLF SXPS DQG PRWRU EXW WKH
(;/ (;/ (;/
VHULHV FDQ
KDYH WZR K\GUDXOLF SXPSV DQG PRWRUV
),*85( +<'5$8/,& 6<67(0
7,/7 &</,1'(5
),/7(5
%5($7+(5
+<'5$8/,& 7$1.
67((5,1* &</,1'(5
0$,1 &21752/ 9$/9(
6322/ 9$/9( 6+2:1
35,0$5< 5(/,() 9$/9(
6(&21'$5< 5(/,() 9$/9(
72 $8;,/,$5< +<'5$8/,& )81&7,216
72 /,)7 &</,1'(56
67((5,1* &21752/ 81,7
67((5,1* 3803
+<'5$8/,& 3803
),*85( +<'5$8/,& 6&+(0$7,&
7,/7 &</,1'(5
0$,1 &21752/ 9$/9(
/2:(5,1* &21752/ 9$/9(
/,)7 &</,1'(5
5(/,() 9$/9(
6(&21'$5< 5(/,() 9$/9( :+(1 ,167$//('
+<'5$8/,& 3803
$ $// 02'(/6
% (;/ (;/ (;/
21/<
),/7(5
+<'5$8/,& 7$1.
67((5,1* 3803
35(6685( &+(&. 3257
67((5,1* &21752/ 81,7
35(6685( &+(&. 3257
67((5,1* &</,1'(5
%
$
$8;,/,$5<
$8;,/,$5<
$8;,/,$5<
7,/7
%$&.
:$5'
/,)7
83
)25:$5'
'2:1
7KH K\GUDXOLF V\VWHP LQFOXGHV WKH VWHHULQJ V\VWHP DQG
WKH OLIW V\VWHP 2QH K\GUDXOLF WDQN VXSSOLHV ERWK V\V
WHPV
2Q
WKH
(;/
(;/
(;/
VHULHV WKH WDQN LV SDUW RI WKH VWHHO IUDPH
2WKHU PRGHOV KDYH D Q\ORQ WDQN LQ WKH IUDPH 7KH VWHHU
LQJ V\VWHP DQG WKH OLIW V\VWHP KDYH VHSDUDWH SXPSV 7KH
VWHHULQJSXPSV IRUDOO PRGHOV KDYH WKH VDPH GHVLJQ 7KH
GLVSODFHPHQW RI WKH VWHHULQJ SXPS DQG WKH VHWWLQJ RI WKH
UHOLHI YDOYH RQ WKH SXPS DUH QRW WKH VDPH IRU HYHU\ VH
ULHV
7KH PDLQ K\GUDXOLF SXPSV IRU DOO PRGHOV KDYH WKH VDPH
GHVLJQ 7KHUH DUH WZR SXPS VL]HV 7KH VPDOOHU SXPS LV
XVHG LQ (-;/ (;/ PRGHOV WKDW RQO\
KDYH D FRQWDFWRU IRU FRQWURO RI WKH SXPS PRWRU
(;/ (;/ (;/
PRGHOV
ZLWK WZR SXPSV DOVR KDYH SXPSV RI WKH VPDOOHU VL]H $OO
RWKHU PRGHOV KDYH WKH ODUJHU K\GUDXOLF SXPS
23(5$7,21
+\GUDXOLF 6\VWHP 6HH ),*85(
7KH K\GUDXOLF SXPS FDXVHV RLO WR IORZ IURP WKH WDQN WR
WKH PDLQ FRQWURO YDOYH 7KH PDLQ FRQWURO YDOYH FRQWUROV
WKH IORZ RI RLO WR WKH OLIW F\OLQGHUV WLOW F\OLQGHUV DQG
DX[LOLDU\ IXQFWLRQV $ UHOLHI YDOYH RQ WKH PDLQ FRQWURO
YDOYH NHHSV SUHVVXUH ZLWKLQ WKH GHVLJQ OLPLWV RI WKH K\
GUDXOLF V\VWHP $ WHVW SRUW IRU FKHFNLQJ WKH SUHVVXUH
ZKHQ WKH UHOLHI YDOYH RSHQV LV RQ WKH PDLQ FRQWURO YDOYH
6RPH DX[LOLDU\ IXQFWLRQV UHTXLUH OHVV SUHVVXUH WKDQ WKH
OLIW IXQFWLRQ $ VHFRQGDU\ UHOLHI YDOYH RQ WKH PDLQ FRQ
WURO YDOYH SURYLGHV ORZHU SUHVVXUH IRU DX[LOLDU\ IXQF
WLRQV 2Q WKH (-;/ (-;/ VHULHV DOO
FRQWURO YDOYHV ZLWK IRXU VSRROV KDYH D VHFRQGDU\ UHOLHI
YDOYH 6RPH WKUHHVSRRO YDOYHV KDYH D VHFRQGDU\ UHOLHI
YDOYH
2Q
WKH
(;/
(;/
(;/
VHULHV DOO FRQWURO YDOYHV KDYH D VHFRQ
GDU\ UHOLHI YDOYH &RQWURO YDOYHV IRU WKH
(-;/ (;/ VHULHV RQO\ KDYH RQH UH
OLHI YDOYH ZLWK RQH VHWWLQJ IRU DOO K\GUDXOLF IXQFWLRQV
7KHVWHHULQJ SXPS FDXVHV RLO WR IORZ IURP WKH WDQN WR WKH
VWHHULQJ FRQWURO XQLW 7KH VWHHULQJ FRQWURO XQLW LV D PH
WHULQJ SXPS DFWXDWHG E\ WKH VWHHULQJ ZKHHO :KHQ WKH
VWHHULQJ ZKHHO LV WXUQHG RLO IORZV WR DFWXDWH WKH VWHHULQJ
F\OLQGHU 2LO UHWXUQV IURP WKH VWHHULQJ FRQWURO XQLW WR WKH
PDLQ FRQWURO YDOYH
7KH RLO UHWXUQV IURP WKH PDLQ FRQWURO YDOYH DQG IORZV
WKURXJK D ILOWHU LQ WKH K\GUDXOLF WDQN 7KH ILOWHU UHPRYHV
VPDOO SDUWLFOHV IURP WKH RLO 7KH ILOWHU KDV D E\SDVV
YDOYH VR WKDW WKH RLO FDQ IORZ WKURXJK WKH V\VWHP LI WKH
ILOWHU EHFRPHV WRR GLUW\
+\GUDXOLF 3XPS 6HH ),*85(
7KH K\GUDXOLF SXPS LV D VLQJOHVHFWLRQ JHDU SXPS WKDW
LV IDVWHQHG WR WKH HQG RI WKH PRWRU KRXVLQJ $ KRVH FRQ
QHFWV WKH SXPS LQOHW WR WKH K\GUDXOLF WDQN 2Q
(;/ (;/ (;/
PRGHOV
WKLV KRVH LV FRQQHFWHG WR D WXEXODU PDQLIROG ZKLFK LV
FRQQHFWHG WR WKH WDQN
),*85( +<'5$8/,& 3803 $66(0%/<
61$3 5,1*
2,/ 6($/
)/$1*( (1' +286,1*
6($/6
%86+,1*
'5,9(1 *($5
'5,9( *($5
3803 %2'<
9$/9( (1' +286,1*
$ KRVH FRQQHFWV WKH SXPS RXWOHW WR WKH PDLQ FRQWURO
YDOYH $ IOH[LEOH FRXSOLQJ FRQQHFWV WKH PRWRU VKDIW WR
WKH SXPS VKDIW %XVKLQJV DW HDFK VLGH RI HDFK JHDU DUH
WKH EHDULQJV IRU WKH JHDU VKDIWV 7KH EXVKLQJV DOVR KDYH
SDVVDJHV IRU WKHRLO IORZ WR WKH SXPS RXWOHW DQG IRU OXEUL
FDWLRQ 6HDOV SUHYHQW OHDNV EHWZHHQ VHFWLRQV RI WKH
SXPS KRXVLQJ
6WHHULQJ 3XPS 6HH ),*85(
7KH VWHHULQJ SXPS LV D VPDOO JHDU SXPS FRQQHFWHG WR D
SHUPDQHQWPDJQHW '& PRWRU 7KH VWHHULQJ SXPS DQG
PRWRU DUH KRUL]RQWDOO\ PRXQWHG XQGHU WKH EDWWHU\ FRP
SDUWPHQW RQ WKH (;/ (;/
(;/
VHULHV 7KH FDSVFUHZV IRU WKH PRWRU
PRXQW DUH DFFHVVLEOH IURP XQGHU WKH WUXFN 2Q RWKHU
PRGHOV WKH VWHHULQJ SXPS DQG PRWRU DUH LQ D YHUWLFDO
PRXQW XQGHU WKH IORRU SODWH 7ZR FODPSV KROG WKH PRWRU
WR WKH IUDPH PRXQW
6HH &+(&.6 $1' $'-8670(176 6WHHULQJ 5HOLHI
9DOYH LQ WKLV VHFWLRQ IRU WKH ORFDWLRQ RI WKH WHVW SRUW IRU
VWHHULQJ SUHVVXUH $ ZRUQ RU GDPDJHG VWHHULQJ SXPS LV
QRUPDOO\ UHSODFHG
127( 7LJKWHQ WKH FRQQHFWLRQV IRU SRZHU FDEOHV DW 0
RU LQFK WHUPLQDOV RQ *HQHUDO (OHFWULF PRWRUV WR
WR 1P WR OEI LQ
),*85( 67((5,1* 3803 $1' 02725
02725
02817
25,1*
67((5,1* 3803
)5$0(
5(3$,56
6HH WKH ,1752'8&7,21 IRU D OLVW RI VHFWLRQV RI WKH
6(59,&(0$18$/ IRU K\GUDXOLF SDUWV RWKHU WKDQ WKH
K\GUDXOLF SXPS
+<'5$8/,& 3803
127( :RUQ RU GDPDJHG VHDOV DUH WKH PRVW FRPPRQ
FDXVH RI SXPS UHSDLU 7KH SXPS EHDULQJV JHDUV DQG
VKDIWV DOVR ZHDU 0RVW VHUYLFH SHUVRQV GR QRW UHSDLU D
ZRUQ SXPS EHFDXVH WKH FRVW RI UHSDLUV FDQ EH JUHDWHU
WKDQ WKH FRVW RI D QHZ SXPS 7KH VHDOV LQ WKH K\GUDXOLF
SXPS FDQ EH UHSODFHG 5HSODFH D ZRUQ RU GDPDJHG K\
GUDXOLF SXPS
5HPRYDO
127( (;/ (;/ (;/
OLIW WUXFNV FDQ KDYH WZR K\GUDXOLF SXPSV 8VH VWHSV
WKURXJK DV QHFHVVDU\ WR UHPRYH HLWKHU WKH SXPS XQGHU
WKH EDWWHU\ FRPSDUWPHQW RU WKH SXPS XQGHU WKH
IORRUSODWH
5HPRYHWKH EDWWHU\DQG WKH DFFHVV SDQHO LQ WKH ERWWRP
RI WKH EDWWHU\ FRPSDUWPHQW 6HH WKH VHFWLRQ 3(5,
2',& 0$,17(1$1&( IRU WKH FRUUHFW SURFHGXUH
:$51,1*
1HYHU SXW WRROV RU RWKHU PHWDO RQ WKH EDWWHU\ 0HWDO
RQ WKH EDWWHU\ FDQ FDXVH D VKRUW FLUFXLW DQG SUREDEOH
GDPDJH RU LQMXU\
3XW D GUDLQ SDQ XQGHU WKH K\GUDXOLF SXPS DQG UHPRYH
WKH LQOHW KRVH IURP WKH K\GUDXOLF SXPS 4XLFNO\ UDLVH
WKH HQG RI WKH KRVH DERYH WKH OHYHO RI WKH RLO LQ WKH K\
GUDXOLF WDQN ,I LW LV QHFHVVDU\ WR GUDLQ WKH K\GUDXOLF V\V
WHP XVH D SDQ ZLWK HQRXJK FDSDFLW\ 6HH 63(&,),
&$7,216 LQ WKLV VHFWLRQ
5HPRYH WKH SUHVVXUH KRVH IURP WKH SXPS 3XW FDSV RQ
WKH RSHQ K\GUDXOLF KRVHV
7KH K\GUDXOLF SXPS DQG PRWRUZLOO URWDWHRQ WKH SLYRW
PRXQW IRU EHWWHU DFFHVV WR WKH SXPS 5HPRYH WKH WZR
FDSVFUHZV DQG WKH ZDVKHUV WKDW IDVWHQ WKH SXPS WR WKH
PRWRU 5HPRYH WKH SXPS DVVHPEO\
127( (;/ (;/ (;/
RQO\ ,Q VWHS UHPRYH WKH FODPSV IURP WKH SLQ LQ WKH
SLYRW PRXQW WR UHPRYH WKH SXPS DQG PRWRU XQGHU WKH
EDWWHU\ 'LVFRQQHFW WKH SLYRW PRXQW DW WKH PRWRU WR UH
PRYH WKH SXPS DQG PRWRU XQGHU WKH IORRUSODWH 7KH PR
WRU XQGHU WKH IORRUSODWH ZLOO WLS IRUZDUG ZLWK IRUFH ZKHQ
WKH EUDFNHW LV UHPRYHG 6HH ),*85( 8VH D OLIWLQJ GH
YLFH WR NHHS WKH PRWRU YHUWLFDO 0DNH VXUH WKH OLIWLQJ GH
YLFH ZLOO VHFXUHO\ KROG WKH PRWRU EHIRUH GLVFRQQHFWLQJ
WKH PRXQW DW WKH ERWWRP RI WKH PRWRU
,I WKH K\GUDXOLF SXPS DQG WKH PRWRU PXVW EH UHPRYHG
IURP WKH OLIW WUXFN IRU UHSDLUV FRQQHFW D VOLQJ DQG FUDQH
WR WKH PRWRU 6HH ),*85( 'LVFRQQHFW WKH SRZHU FD
EOHV DQGPDUN WKHFDEOHV IRUFRUUHFW LQVWDOODWLRQ'LVFRQ
QHFW WKH SLYRW PRXQW IURP WKH PRWRU 8VH WKHFUDQH WROLIW
WKH K\GUDXOLF SXPS DQG PRWRU IURP WKH OLIW WUXFN
),*85( 86( $ &5$1( 72 /,)7 7+( +<
'5$8/,& 3803 $1' 02725
6HDO 5HSODFHPHQW 6HH ),*85(
127( ,I WKH SXPS LV KHOG LQ D YLVH IRU GLVDVVHPEO\
PDNH VXUH WKH YLVH GRHV QRW KROG WKH SXPS WRR WLJKWO\
DQG FDXVH GLVWRUWLRQ RI WKH SXPS ERG\
0DNH VXUH WKDW \RX PDNH FDUHIXO QRWHV RI WKH ORFDWLRQ
DQG RULHQWDWLRQ RI WKH SDUWV DQG VHDOV GXULQJ GLVDVVHP
EO\ 6RPH RI WKH SDUWV DUH VLPLODU EXW DUH QRW H[DFWO\ WKH
VDPH ,W FDQ EH GLIILFXOW WR PDNH DQ LGHQWLILFDWLRQ LI WKH
SDUWV DUH PL[HG
5HPRYH WKH SXPS FRXSOLQJ IURP WKH VKDIW 5HPRYH
WKH IRXU FDSVFUHZV WKDW KROG WKH SXPS WRJHWKHU
&DUHIXOO\ UHPRYH WKH HQG KRXVLQJV 3XVK WKH VKDIW
WKURXJK WKH RLO VHDOLQ WKHHQG KRXVLQJDV WKH HQG KRXVLQJ
LV UHPRYHG IURP WKH SXPS 0DNH D QRWH RI WKH VHDO DU
UDQJHPHQW 'R QRW GLVDVVHPEOH WKH SXPS JHDU DVVHP
EO\
),*85( 02725 6(&21' +<'5$8/,&
3803 (;/ (;/ (;/
02725
%5$&.(7
35(6685( &+(&. 3257 67((5,1*
&DUHIXOO\ UHPRYH WKH RLO VHDOV IURP WKH EXVKLQJV 5H
PRYH WKH VQDS ULQJ DQG WKH VKDIW VHDO IURP WKH HQG KRXV
LQJ ZLWK WKH IODQJH
,QVSHFW WKH SXPS JHDU DVVHPEO\ DQG WKH SXPS ERG\
IRU ZHDU DQG GDPDJH 5HSODFH D GDPDJHG RU ZRUQ K\
GUDXOLF SXPS
127( 6RPH SXPS ERGLHV ZLOO VKRZ JHDU PDUNV ZKHUH
WKH JHDUV URWDWH EHFDXVH RI WKH VPDOO FOHDUDQFHV EHWZHHQ
WKH SDUWV 7KHVH JHDU PDUNV GR QRW LQGLFDWH D ZRUQ RU
GDPDJHG SXPS XQOHVV WKH SXPS ZLOO QRW VXSSO\ WKH YRO
XPH DQG SUHVVXUH VKRZQ LQ WKH VSHFLILFDWLRQV
0DNH VXUH WKH LQWHUQDO SDUWV RI WKH SXPS DUH FOHDQ
/XEULFDWH WKH SDUWV ZLWK K\GUDXOLF RLO DV WKH\ DUH LQ
VWDOOHG LQ WKH SXPS ,QVWDOO QHZ VHDOV LQ WKH EXVKLQJV
,QVWDOO WKH JHDUV DQG EXVKLQJ DVVHPEO\ LQ WKH SXPS
ERG\ 0DNH VXUH HDFK EXVKLQJ LV DOLJQHG FRUUHFWO\
,QVWDOO WKH VHDOV DQG WKH HQG RI WKH SXPS ZLWK WKH IODW
IDFH 6HH ),*85(
,QVWDOO WKH VHDOV LQ WKH HQG RI WKH SXPS ZLWK WKH IODQJH
,QVWDOO WKH HQG RI WKH SXPS
0DNH VXUH WKDW DOO RI WKH SDUWV DUH LQ WKH FRUUHFW SRVL
WLRQ DQG LQVWDOO WKH IRXU FDSVFUHZV 7LJKWHQ WKH
FDSVFUHZV WR 1P OEI IW
,QVWDOO D QHZ RLO VHDO RQ WKH LQSXW VKDIW ,QVWDOO WKH
VQDS ULQJ
,QVWDOODWLRQ
,I WKHFRXSOLQJKDOI ZDV UHPRYHG IURP WKHSXPS RUWKH
PRWRU LQVWDOO WKH FRXSOLQJ RQ WKH VKDIW ,QVWDOO WKH SXPS
RQ WKH PRXQW DW WKH HQG RI WKH PRWRU
0DNHVXUH WKDW WKH KDOYHV RI WKH FRXSOLQJ DUH FRUUHFWO\
HQJDJHG 0DNH VXUH WKH VRFNHW KHDG VFUHZV WKDW IDVWHQ
WKH FRXSOLQJ WR WKH VKDIWV DUH WLJKW 6HH ),*85(
,I WKH SXPS DQG WKH PRWRU ZHUH UHPRYHG LQVWDOO WKH
SXPS DQG PRWRU ,QVWDOO WKH KRVHV RQ WKH SXPS /HDYH
WKH ILWWLQJV ORRVH
127( 7LJKWHQ WKH FRQQHFWLRQV IRU SRZHU FDEOHV DW 0
RU LQFK WHUPLQDOV RQ *HQHUDO (OHFWULF PRWRUV WR
WR 1P WR OEI IW
)LOO WKH K\GUDXOLF WDQN ZLWK WKH W\SH DQG TXDQWLW\ RI
K\GUDXOLF RLO VKRZQ LQ WKH VHFWLRQ 3(5,2',& 0$,1
7(1$1&( /HW VRPH RI WKH RLO OHDN IURP DURXQG WKH
LQOHW ILWWLQJ RQ WKH SXPS WKHQ WLJKWHQ WKH FDSVFUHZV RQ
WKHIODQJHV RIWKHILWWLQJV7KHVPDOOHUSXPSKDV2ULQJ
ILWWLQJV 8VH WKLV SURFHGXUH WR PDNH VXUH WKH SXPS KDV
RLO IRU ILUVW RSHUDWLRQ
),*85( +<'5$8/,& 3803 $1'
&283/,1*
02725
3,927 02817
7<3,&$/
&283/,1*
62&.(7 +($' 6&5(:
3803
&+(&.6 $1' $'-8670(176
0$,1 &21752/ 9$/9(
7KH RSHUDWLRQ RI WKH FRQWURO YDOYH LV GHVFULEHG LQ WKH
VHFWLRQ 0$,1 &21752/ 9$/9( 650
7KDW VHFWLRQ VKRZV WKH YDOYH PRXQWHG RQ WKH FRZO 7KH
YDOYH DQG OLQNDJH DUH PRXQWHG RQ WKH IURQW RI WKH EDWWHU\
FRPSDUWPHQW LQ WKH 6LW'ULYH (OHFWULF ;/ VHULHV 6HH
),*85(
7KH FRQILJXUDWLRQ RI WKH PDLQ FRQWURO YDOYH DQG KDQG
OHYHUV FKDQJHV ZLWK GLIIHUHQW HTXLSPHQW RSWLRQV 6HH
),*85( DQG ),*85( $GMXVWPHQW RI WKH OLQNDJH
DQG VZLWFKHV LV WKH VDPH IRU DOO FRQILJXUDWLRQV 8VH WKH
SURFHGXUHV EHORZ WR PDNH DGMXVWPHQWV
/LQNDJH DQG 6ZLWFKHV 6HH ),*85(
7KH VSRROV LQ WKH PDLQ FRQWURO YDOYH PXVW EH LQ WKH
QHXWUDO RSHQ FHQWHU SRVLWLRQ /RRVHQ WKH EROWV RQ WKH
OLQNDJH DQG DGMXVW WKH OHQJWK RI WKH OLQNDJH VR WKDW WKH
KDQG OHYHUV DUH LQ WKH FRUUHFW SRVLWLRQ 6HH WKH GLPHQ
VLRQ LQ ),*85( :KHQ WKH OLQNDJH LV DGMXVWHG FRU
UHFWO\ WLJKWHQ WKH EROWV DW WKH WRS DQG WKH ERWWRP DQG GR
VWHS
),*85( &21752/ 9$/9( /,1.$*(
9LVXDOO\ FKHFN WKH DGMXVWPHQW RI WKH HOHFWULF
VZLWFKHV 6HH ),*85( $GMXVW D VZLWFK E\ ORRVHQ
LQJ WKH EROWV WKDW KROG WKH VZLWFK FRYHU RQ WKH OLQNDJH
6OLGH WKH VZLWFK FRYHU RQ WKH OLQNDJH WR JHW WKH FRUUHFW
VSDFH EHWZHHQ WKH FRYHU DQG WKH OHDYHV RI WKH VZLWFK
0DNH WKH DGMXVWPHQW YLVXDOO\ :KHQ WKH DGMXVWPHQW LV
FRUUHFW WLJKWHQ WKH EROWV RQ WKH VZLWFK FRYHU
127( $ VZLWFK PXVW EH FRUUHFWO\ LQVWDOOHG WR NHHS WKH
VZLWFK FRYHU FRUUHFWO\ DOLJQHG RYHU WKH VZLWFK EODGHV
7KH VZLWFKHV KDYH VORWV IRU KRUL]RQWDO DGMXVWPHQW $
VZLWFK PXVW EH LQVWDOOHG VR WKDW WKH HGJH RI WKH LQVXODWRU
LV DJDLQVW WKH IODQJH RQ WKH VZLWFK FRYHU :KHQ WKH
VZLWFKLV LQWKH FRUUHFW SRVLWLRQWKH LQVXODWRUZLOO EHSDU
DOOHO WR WKH PRXQWLQJ VXUIDFH IRU WKH VZLWFK DQG WKH
VZLWFK FRYHU ZLOO EH SDUDOOHO WR WKH EODGHV RI WKH VZLWFK
5HOLHI 9DOYH 6HH ),*85(
7KH (-;/ (;/ VHULHV KDV RQH UHOLHI
YDOYH ZLWK RQH VHWWLQJ IRU DOO K\GUDXOLF IXQFWLRQV /LIW
WUXFNV RI WKH ODUJHU VHULHV ZLWK DX[LOLDU\ K\GUDXOLF IXQF
WLRQV XVXDOO\ KDYH D VHFRQGDU\ UHOLHI YDOYH LQ DGGLWLRQ WR
WKH SULPDU\ UHOLHI YDOYH 6HH 63(&,),&$7,216 LQ WKLV
VHFWLRQ IRU WKH FRUUHFW UHOLHI SUHVVXUHV
&RQQHFW D JDXJH WKDW KDV WKH QHFHVVDU\ FDSDFLW\ IRU
SUHVVXUH WR WKH WHVW SRUW RQ WKH PDLQ FRQWURO YDOYH 2SHU
DWHWKH K\GUDXOLF V\VWHP XQWLO WKH RLO WHPSHUDWXUHLV WR
& WR
)
/RRVHQ WKH MDP QXW VR WKDW WKH SULPDU\ UHOLHI YDOYH FDQ
EH DGMXVWHG 5DLVH WKH PDVW XQWLO LW VWRSV +ROG WKH KDQG
OHYHU LQ WKH /LIW SRVLWLRQ DQG FKHFN WKH LQGLFDWLRQ RI WKH
SUHVVXUH JDXJH ZKHQ WKH UHOLHI YDOYH RSHQV 7XUQ WKH DG
MXVWPHQW VFUHZ WR FKDQJH WKH VHWWLQJ 7LJKWHQ WKH MDP
QXW ZKHQ WKH DGMXVWPHQW LV FRUUHFW
2Q OLIW WUXFNV ZLWK D VHFRQGDU\ UHOLHI YDOYH WLOW WKH
PDVWDOO WKHZD\ EDFN WR FKHFN WKH VHFRQGDU\ UHOLHI YDOYH
VHWWLQJ /RRVHQ WKH MDP QXW VR WKDW WKH VHFRQGDU\ UHOLHI
YDOYH FDQ EH DGMXVWHG 7XUQ WKH DGMXVWPHQW VFUHZ WR DG
MXVW WKH VHWWLQJ WR 03D SVL 7LJKWHQ WKH MDP
QXW ZKHQ WKH DGMXVWPHQW LV FRUUHFW
5HPRYH WKH SUHVVXUH JDXJH ZKHQ WKH SUHVVXUH FKHFNV
DUH FRPSOHWH ,QVWDOO WKH FDS RQ WKH WHVW SRUW
$8;,/,$5< +$1' /(9(5
$8;,/,$5< +$1' /(9(5 21( )81&7,21
/,)7 $1' 7,/7 +$1' /(9(5
$8;,/,$5< 6:,7&+
7,/7 6:,7&+
/,)7 6:,7&+
6(&21'$5< 5(/,() 9$/9(
35,0$5< 5(/,() 9$/9(
6322/ 9$/9(
),*85( 6322/ 9$/9( (;/
(;/ (;/
),*85( /,1.$*( $1' 6:,7&+ $'-8670(17
$8;,/,$5< +$1' /(9(5
/,)7 $1' 7,/7 +$1' /(9(5
7,/7 +$1' /(9(5
/,)7 +$1' /(9(5
35,0$5< 5(/,() 9$/9(
6(&21'$5<
/,)7 6:,7&+
7,/7 6:,7&+
$8;,/,$5< 6:,7&+
6:,7&+ &29(5
,168/$725
6322/ 9$/9(
237,21$/ ¶¶+·· 3$77(51
/(9(5 )25 /,)7 $1' 7,/7
6322/ 9$/9(
237,21$/ 6(3$5$7( /(9(56
)25 /,)7 $1' 7,/7
WR PP
WR LQ
(48$/
63$&(
WR PP
WR LQ
7+,5' /(9(5
$/:$<6 (1*$*(6
7+ 121:25.,1*
326,7,21 :+(1 127
,1 86(
67((5,1* 5(/,() 9$/9(
6HH ),*85(
127( (-;/ (-;/ PRGHOV IURP
ODWHU SURGXFWLRQ KDYH D VWHS EXLOW LQWR WKH IUDPH $FFHVV
IRU DGMXVWPHQW RI WKH VWHHULQJ UHOLHI YDOYH UHTXLUHV UH
PRYDO RI WKH EDWWHU\ RQ WKHVH PRGHOV
&RQQHFW D SUHVVXUH JDXJH WR WKH WHVW SRUW 7KH WHVW SRUW
RQ PRGHOV IURP HDUOLHU SURGXFWLRQ LV D SOXJ RQ WKH ERW
WRP RI WKH SXPS KRXVLQJ ),*85( 0RGHOV IURP
ODWHU SURGXFWLRQ DQG WKH (;/ (;/
(;/
VHULHV KDYH D WHVW SRUW LQ D VWHHULQJ OLQH
XQGHU WKH IORRUSODWH 6HH ),*85(
),*85( 67((5,1* 3803 32576
5(/,() 9$/9( $'-8670(17
7(67 3257 ($5/,(5 352'8&7,21
,1/(7 3257
287/(7 3257
2SHUDWHWKH K\GUDXOLF V\VWHP XQWLO WKH RLO WHPSHUDWXUH
LV WR
& WR
) 7XUQ WKH VWHHULQJ ZKHHO WR
WKH VWRS DQG KROG LW LQ WKDW SRVLWLRQ
&$87,21
'R QRW KROG WKH VWHHULQJ DJDLQVW WKH VWRS IRU PRUH
WKDQ WR VHFRQGV RU WKH SRZHU VWHHULQJ IXVH ZLOO
RSHQ $OVR WKH RLO LQ WKH SXPS ZLOO TXLFNO\ EHFRPH
KRW DQG FDXVH GDPDJH WR WKH SXPS
&KHFN WKH SUHVVXUH RQ WKH JDXJH DJDLQVW WKH FRUUHFW
SUHVVXUH LQ 63(&,),&$7,216 LQ WKLV VHFWLRQ
,I WKH SUHVVXUH RQ WKH JDXJH LV QRW FRUUHFW UHPRYH WKH
FDS RQ WKH UHOLHI YDOYH $GMXVW WKH UHOLHI YDOYH WR WKH FRU
UHFW SUHVVXUH 7XUQ WKH DGMXVWPHQW FORFNZLVH WR LQFUHDVH
WKH SUHVVXUH RU FRXQWHUFORFNZLVH WR GHFUHDVH WKH SUHV
VXUH ,I WKH SUHVVXUH ZLOO QRW LQFUHDVH WR WKH VSHFLILFD
WLRQ FRQQHFW WKH JDXJH WR WKH RXWSXW RI WKH SXPS DQG
FKHFN WKH RXWSXW SUHVVXUH RI WKH SXPS 5HSODFH D ZRUQ
RU GDPDJHG SXPS ,I WKH SXPS RXWSXW LV FRUUHFW FKHFN
IRU LQWHUQDO OHDNDJH LQ WKH VWHHULQJ FRQWURO XQLW RU WKH
VWHHULQJ F\OLQGHU
:KHQ WKH DGMXVWPHQWV DUH FRPSOHWH LQVWDOO WKH FDS RQ
WKH UHOLHI YDOYH 5HPRYH WKH SUHVVXUH JDXJH DQG LQVWDOO
WKH FDS RQ WKH WHVW SRUW
7528%/(6+227,1*
352%/(0
3266,%/( &$86(
352&('85($&7,21
7KH SXPS PDNHV PRUH QRLVH
WKDQ QRUPDO
7KH RLO OHYHO LV QRW FRUUHFW RU WKHUH LV
QR RLO LQ WKH WDQN FDYLWDWLRQ
:URQJ W\SH RU JUDGH RI K\GUDXOLF RLO
IRU WKH WHPSHUDWXUH RU RSHUDWLRQ FD
YLWDWLRQ
7KH VXFWLRQ VFUHHQ KDV D UHVWULFWLRQ
FDYLWDWLRQ
7KH LQOHW ILWWLQJ LV ORRVH RU KRVHV DUH
DOORZLQJ DLU WR HQWHU WKH V\VWHP DHUD
WLRQ
7KH SXPS EHDULQJV RU JHDUV KDYH
GDPDJH
7KH FDSVFUHZV WKDW KROG WKH SXPS WR
JHWKHU DUH ORRVH
7KH SXPS LV ORRVH DW WKH PRWRU PRXQW
LQJ
7KH SXPS GULYH PHFKDQLVP LV ORRVH
ZRUQ RU KDV GDPDJH
&KHFN RLO OHYHO DQG ILOO DV UHTXLUHG
&KHFN IRU OHDNV
&KHFN GUDLQ WDQN DQG ILOO ZLWK WKH FRU
UHFW VSHFLILHG RLO
&OHDQ RU LQVWDOO QHZ VFUHHQ
7LJKWHQ ILWWLQJ ,QVWDOO QHZ KRVHV 5H
PRYH DLU IURP WKH V\VWHP
5HSDLU RU LQVWDOO QHZ SXPS
7LJKWHQ FDSVFUHZV WR VSHFLILHG WRUTXH
7LJKWHQ IDVWHQHUV WR WKH VSHFLILHG
WRUTXH
&KHFN UHSDLU RU LQVWDOO QHZ SDUWV DV
UHTXLUHG
7KH RXWSXW RI WKH SXPS LV OHVV
WKDQ VSHFLILFDWLRQV
6HH ´3RVVLEOH &DXVHµ IRU 7KH SXPS
PDNHV PRUH QRLVH WKDQ QRUPDO
6HH WKH VHFWLRQ &$3$&,7,(6 $1'
63(&,),&$7,216 IRU WKH FRUUHFW OLIW
LQJ VSHHGV RI \RXU OLIW WUXFN PRGHO DQG
PDVW ,I WKH UHOLHI SUHVVXUH LV FRUUHFW
DQG WKH OLIW VSHHGV DUH WRR VORZ WKH
SXPS LV ZRUQ RU KDV GDPDJH RU WKHUH
LV D SUREOHP LQ RWKHU SDUWV RI WKH OLIW
V\VWHP ,I WKH SXPS LV ZRUQ LW ZLOO XVX
DOO\ PDNH PRUH QRLVH WKDQ QRUPDO
7KH SXPS KDV OHDNV
7KH ILWWLQJV RU KRVHV RQ WKH RXWOHW VLGH
RI WKH SXPS DUH ORRVH RU GDPDJHG
7KH FDSVFUHZV WKDW KROG WKH SXPS WR
JHWKHU DUH ORRVH
7KH VHDOV LQ WKH SXPS DUH GDPDJHG
7LJKWHQ ILWWLQJV ,QVWDOO QHZ SDUWV DV
QHFHVVDU\
7LJKWHQ FDSVFUHZV WR VSHFLILHG WRUTXH
,QVWDOO QHZ VHDOV RU D QHZ SXPS
7KH SUHVVXUH IRU WKH VWHHULQJ
V\VWHP LV EHORZ VSHFLILFD
WLRQV
7KH UHOLHI YDOYH DW WKH SXPS LV QRW DG
MXVWHG FRUUHFWO\
7KH UHOLHI YDOYH KDV GDPDJH
7KH SXPS LV ZRUQ
$GMXVW RU LQVWDOO QHZ UHOLHI YDOYH
5HSDLU RU LQVWDOO QHZ UHOLHI YDOYH
5HSDLU RU LQVWDOO QHZ SXPS
7KH IORZ IRU WKH VWHHULQJ V\V
WHP LV EHORZ VSHFLILFDWLRQV
7KH SXPS KDV GDPDJH LV ZRUQ RU KDV
D UHVWULFWLRQ
7KH UHOLHI YDOYH LV QRW DGMXVWHG FRUUHFW
O\
&KHFN WKDW LQOHW KRVH LV QRW VRIW RU KDV
D UHVWULFWLRQ RU DLU OHDN &KHFN DQG LI
QHFHVVDU\ UHSODFH SXPS
$GMXVW RU LQVWDOO QHZ UHOLHI YDOYH
127( 7URXEOHVKRRWLQJ IRU WKH PDLQ FRQWURO YDOYH LV LQ WKH
VHFWLRQ 7+( 0$,1 &21752/ 9$/9( 650
63(&,),&$7,216
5(/,() 9$/9( 35(6685(6
(-;/ (;/
+\GUDXOLF V\VWHP
6WHHULQJ V\VWHP
03D SVL
03D SVL
(-;/ (-;/
+\GUDXOLF V\VWHP OLIW
+\GUDXOLF V\VWHP VHFRQGDU\
6WHHULQJ V\VWHP
03D SVL
03D SVL
03D SVL
+\GUDXOLF V\VWHP OLIW
+\GUDXOLF V\VWHP VHFRQGDU\
6WHHULQJ V\VWHP
03D SVL
03D SVL
03D SVL
&$3$&,7,(6
(-;/ (;/
+\GUDXOLF WDQN
+\GUDXOLF V\VWHP
OLWUH JDO
OLWUH JDO
(-;/ (-;/
+\GUDXOLF WDQN
+\GUDXOLF V\VWHP
OLWUH JDO
OLWUH JDO
(;/ (;/6 (;/ (;/6
+\GUDXOLF WDQN
+\GUDXOLF V\VWHP
OLWUH JDO
OLWUH JDO
+\GUDXOLF WDQN
+\GUDXOLF V\VWHP
OLWUH JDO
OLWUH JDO
+<'5$8/,& 3803 &$3$&,7,(6
6PDOO SXPS
/DUJH SXPS
OPLQ JSP # USP
OPLQ JSP # USP
2LO WHPSHUDWXUH DW WR
& WR )
6HH 'HVFULSWLRQ SDJH IRU SXPS DSSOLFDWLRQV
a
a
a
,7(0
63(&,),&$7,21
(;/ (;/ (;/
(;/ (;/ (;/
650
$3 /LWKR LQ 86$
7(&+1,&$/ 38%/,&$7,216