Ansi Z359.1 - 2007 PDF

AMERICAN NATIONAL STANDARD
ANSI/ASSE Z359.1-2007
--```,`,,`,,`,,`,,,,`,,`,``,`-`-`,,`,,`,`,,`---
Safety Requirements for Personal Fall Arrest

Systems, Subsystems and Components
Part of the Fall Protection Code
A S AMERICAN SOCIETY OF
S E SAFETY ENGINEERS
Copyright American Society of Safety Engineers

Provided by IHS under license with ASSE/SAFE Licensee=BP International/5928366101
No reproduction or networking permitted without license from IHS Not for Resale, 11/30/2010 06:13:47 MST
--```,`,,`,,`,,`,,,,`,,`,``,`-`-`,,`,,`,`,,`---
7KHLQIRUPDWLRQDQGPDWHULDOVFRQWDLQHGLQWKLVSXEOLFDWLRQKDYHEHHQGHYHORSHGIURPVRXUFHVEHOLHYHGWREH
UHOLDEOH+RZHYHUWKH$PHULFDQ6RFLHW\RI6DIHW\(QJLQHHUV$66(DVVHFUHWDULDWRIWKH$16,DFFUHGLWHG
=&RPPLWWHHRULQGLYLGXDOFRPPLWWHHPHPEHUVDFFHSWQROHJDOUHVSRQVLELOLW\IRUWKHFRUUHFWQHVVRUFRP
SOHWHQHVVRIWKLVPDWHULDORULWVDSSOLFDWLRQWRVSHFLFIDFWXDOVLWXDWLRQV%\SXEOLFDWLRQRIWKLVVWDQGDUG$66(
RUWKH=&RPPLWWHHGRHVQRWHQVXUHWKDWDGKHUHQFHWRWKHVHUHFRPPHQGDWLRQVZLOOSURWHFWWKHVDIHW\RU
KHDOWKRIDQ\SHUVRQVRUSUHVHUYHSURSHUW\

$16,
$16,$66(=
$PHULFDQ1DWLRQDO6WDQGDUG
6DIHW\5HTXLUHPHQWVIRU
3HUVRQDO)DOO$UUHVW6\VWHPV
6XEV\VWHPVDQG&RPSRQHQWV
6HFUHWDULDW
$PHULFDQ6RFLHW\RI6DIHW\(QJLQHHUV
(DVW2DNWRQ6WUHHW
'HV3ODLQHV,OOLQRLV
$SSURYHG: 0D\
Effective Date: November 24, 2007
$PHULFDQ1DWLRQDO6WDQGDUGV,QVWLWXWH,QF
--```,`,,`,,`,,`,,,,`,,`,``,`-`-`,,`,,`,`,,`---

$PHULFDQ $SSURYDORIDQ$PHULFDQ1DWLRQDO6WDQGDUGUHTXLUHVYHULFDWLRQE\$16,WKDWWKHUHTXLUH
PHQWVIRUGXHSURFHVVFRQVHQVXVDQGRWKHUFULWHULDIRUDSSURYDOKDYHEHHQPHWE\WKH
1DWLRQDO VWDQGDUGVGHYHORSHU&RQVHQVXVLVHVWDEOLVKHGZKHQLQWKHMXGJPHQWRIWKH$16,%RDUG
6WDQGDUG RI6WDQGDUGV5HYLHZVXEVWDQWLDODJUHHPHQWKDVEHHQUHDFKHGE\GLUHFWO\DQGPDWHULDOO\
DIIHFWHGLQWHUHVWV6XEVWDQWLDODJUHHPHQWPHDQVPXFKPRUHWKDQDVLPSOHPDMRULW\EXW
QRWQHFHVVDULO\XQDQLPLW\&RQVHQVXVUHTXLUHVWKDWDOOYLHZVDQGREMHFWLRQVEHFRQVLG
HUHGDQGWKDWDFRQFHUWHGHIIRUWEHPDGHWRZDUGWKHLUUHVROXWLRQ7KHXVHRI$PHULFDQ
1DWLRQDO6WDQGDUGVLVFRPSOHWHO\YROXQWDU\WKHLUH[LVWHQFHGRHVQRWLQDQ\UHVSHFWSUH
FOXGHDQ\RQHZKHWKHUKHVKHKDVDSSURYHGWKHVWDQGDUGVRUQRWIURPPDQXIDFWXULQJ
PDUNHWLQJSXUFKDVLQJRUXVLQJSURGXFWVSURFHVVHVRUSURFHGXUHVQRWFRQIRUPLQJWRWKH
VWDQGDUGV7KH$PHULFDQ1DWLRQDO6WDQGDUGV,QVWLWXWHGRHVQRWGHYHORSVWDQGDUGVDQG
ZLOOLQQRFLUFXPVWDQFHJLYHDQLQWHUSUHWDWLRQRIDQ\$PHULFDQ1DWLRQDO6WDQGDUG0RUH
RYHUQRSHUVRQVKDOOKDYHWKHULJKWRUDXWKRULW\WRLVVXHDQLQWHUSUHWDWLRQRIDQ$PHULFDQ
1DWLRQDO6WDQGDUGLQWKHQDPHRIWKH$PHULFDQ1DWLRQDO6WDQGDUGV,QVWLWXWH5HTXHVWVIRU
LQWHUSUHWDWLRQVKRXOGEHDGGUHVVHGWRWKHVHFUHWDULDWRUVSRQVRUZKRVHQDPHDSSHDUVRQ
WKHWLWOHSDJHRIWKLVVWDQGDUG
&DXWLRQ 1RWLFH 7KLV $PHULFDQ 1DWLRQDO 6WDQGDUG PD\ EH UHYLVHG RU ZLWKGUDZQ DW DQ\
WLPH7KHSURFHGXUHVRIWKH$PHULFDQ1DWLRQDO6WDQGDUGV,QVWLWXWHUHTXLUHWKDWDFWLRQEH
WDNHQSHULRGLFDOO\WRUHDIUPUHYLVHRUZLWKGUDZWKLVVWDQGDUG3XUFKDVHUVRI$PHULFDQ
1DWLRQDO6WDQGDUGVPD\UHFHLYHFXUUHQWLQIRUPDWLRQRQDOOVWDQGDUGVE\FDOOLQJRUZULWLQJ
WKH$PHULFDQ1DWLRQDO6WDQGDUGV,QVWLWXWH
--```,`,,`,,`,,`,,,,`,,`,``,`-`-`,,`,,`,`,,`---
3XEOLVKHG6HSWHPEHUE\
$PHULFDQ6RFLHW\RI6DIHW\(QJLQHHUV
(DVW2DNWRQ6WUHHW
'HV3ODLQHV,OOLQRLV
ZZZDVVHRUJ
&RS\ULJKWE\$PHULFDQ6RFLHW\RI6DIHW\(QJLQHHUV
$OO5LJKWV5HVHUYHG
1RSDUWRIWKLVSXEOLFDWLRQPD\EHUHSURGXFHG
LQDQ\IRUPLQDQHOHFWURQLFUHWULHYDOV\VWHPRU
RWKHUZLVHZLWKRXWWKHSULRUZULWWHQSHUPLVVLRQ
RIWKHSXEOLVKHU
3ULQWHGLQWKH8QLWHG6WDWHVRI$PHULFD

)RUHZRUG7KLV)RUHZRUGLVQRWDSDUWRI$PHULFDQ1DWLRQDO6WDQGDUG=
7KLVVWDQGDUGQDWLRQDOLQVFRSHZDVGHYHORSHGE\DQ$FFUHGLWHG6WDQGDUGV&RPPLWWHHIXQFWLRQLQJXQGHU
WKHSURFHGXUHVRIWKH$PHULFDQ1DWLRQDO6WDQGDUGV,QVWLWXWHZLWKWKH$PHULFDQ6RFLHW\RI6DIHW\(QJLQHHUV
$66(DVVHFUHWDULDW
,WLVLQWHQGHGWKDWHYHU\HPSOR\HUZKRVHRSHUDWLRQVIDOOZLWKLQWKHVFRSHDQGSXUSRVHRIWKHVWDQGDUGZLOO
DGRSWWKHJXLGHOLQHVDQGUHTXLUHPHQWVGHWDLOHGLQWKLVVWDQGDUG
7KHQHHGIRUWKLVVWDQGDUGVDFWLYLW\JUHZRXWRIWKHFRQWLQXLQJGHYHORSPHQWRIDVHULHVRIIDOOSURWHFWLRQUH
ODWHGVWDQGDUGV7KHIRFXVLVWRWLHWKHHOHPHQWVRIWKRVHVWDQGDUGVWRJHWKHUDQGSURYLGHWKHWRROVZLWKZKLFK
HPSOR\HUVPD\GHYHORSWKHSURJUDPVWKDWLQFRUSRUDWHWKRVHHOHPHQWV7KLVVWDQGDUGDOVREULQJVWRJHWKHU
WKHDGPLQLVWUDWLYHUHTXLUHPHQWVRIWKRVHIDOOSURWHFWLRQVWDQGDUGV,WVKRXOGEHQRWHGDVLQDOO=VHULHV
VWDQGDUGVWKDWWKLVVWDQGDUGDSSOLHVWRDOORFFXSDWLRQDODQGQRQRFFXSDWLRQDODFWLYLWLHVH[FHSWWKRVHLQ6,&
'LYLVLRQ&FRQVWUXFWLRQ,WDOVRLVQRWLQWHQGHGWRDSSO\WRVSRUWVDFWLYLWLHVVXFKDVPRXQWDLQHHULQJ
1HLWKHUWKHVWDQGDUGVFRPPLWWHHQRUWKHVHFUHWDULDWVWDWHVWKDWWKLVVWDQGDUGLVSHUIHFWRULQLWVXOWLPDWH
IRUP ,W LV UHFRJQL]HG WKDW QHZ GHYHORSPHQWV DUH WR EH H[SHFWHG DQG WKDW UHYLVLRQV RI WKH VWDQGDUG ZLOO
EHQHFHVVDU\DVWKHVWDWHRIWKHDUWSURJUHVVHVDQGIXUWKHUH[SHULHQFHLVJDLQHG,WLVIHOWKRZHYHUWKDW
XQLIRUPJXLGHOLQHVIRUIDOOSURWHFWLRQSURJUDPVDUHYHU\PXFKQHHGHGDQGWKDWWKHVWDQGDUGLQLWVSUHVHQW
IRUPSURYLGHVIRUWKHPLQLPXPFULWHULDQHFHVVDU\WRGHYHORSDQGLPSOHPHQWDFRPSUHKHQVLYHPDQDJHGIDOO
SURWHFWLRQSURJUDP
7KH=&RPPLWWHHDFNQRZOHGJHVWKHFULWLFDOUROHRIGHVLJQLQLQXHQFLQJWKHXVHRISURSHUIDOOSURWHFWLRQ
HTXLSPHQW'HVLJQVZKLFKHOLPLQDWHIDOOKD]DUGVWKURXJKWKHSURSHUDSSOLFDWLRQRIWKHKLHUDUFK\RIVDIHW\
FRQWUROVDUHWKHSUHIHUUHGPHWKRGIRUIDOOSURWHFWLRQ'HVLJQGHFLHQFLHVRIWHQLQFUHDVHWKHULVNIRUHPSOR\
HHVZKRPD\EHH[SRVHGWRIDOOKD]DUGVH[DPSOHVDUHODFNRIUDLOV\VWHPVWRSUHYHQWIDOOVIURPPDFKLQHV
HTXLSPHQW DQG VWUXFWXUHV IDLOXUH WR SURYLGH HQJLQHHUHG DQFKRUDJHVZKHUHXVHRISHUVRQDOIDOO DUUHVW
V\VWHPVDUHDQWLFLSDWHGQRSURYLVLRQIRUVDIHDFFHVVWRHOHYDWHGZRUNDUHDVLQVWDOODWLRQRIPDFKLQHV
RUHTXLSPHQWDWKHLJKWVUDWKHUWKDQRRUJURXQGOHYHOWRSUHFOXGHDFFHVVWRHOHYDWHGDUHDVIDLOXUHWRSODQ
IRUWKHXVHRIWUDYHOUHVWULFWLRQRUZRUNSRVLWLRQLQJGHYLFHV7RWKDWHQGWKLVVHULHVRIVWDQGDUGVDOVRSURYLGHV
--```,`,,`,,`,,`,,,,`,,`,``,`-`-`,,`,,`,`,,`---
JXLGDQFHIRUGHVLJQFRQVLGHUDWLRQVIRUQHZEXLOGLQJVDQGIDFLOLWLHV
%DVLFIDOOVDIHW\SULQFLSOHVKDYHEHHQLQFRUSRUDWHGLQWRWKHVH VWDQGDUGVLQFOXGLQJKD]DUGVXUYH\KD]DUG
HOLPLQDWLRQDQGFRQWURODQGHGXFDWLRQDQGWUDLQLQJ7KHSULPDU\LQWHQWLVWRHQVXUHDSURDFWLYHDSSURDFK
WRIDOOSURWHFWLRQ+RZHYHUWKHUHDFWLYHSURFHVVRIDFFLGHQWLQYHVWLJDWLRQLVDOVRDGGUHVVHGWRHQVXUHWKDW
DGHTXDWHDWWHQWLRQLVJLYHQWRFDXVDWLRQRIIDOOV
7KH=&RPPLWWHHVROLFLWVSXEOLFLQSXWWKDWPD\VXJJHVWWKHQHHGIRUUHYLVLRQVWRWKLVVWDQGDUG6XFKLQSXW
VKRXOGEHVHQWWRWKH6HFUHWDULDW$6&=$PHULFDQ6RFLHW\RI6DIHW\(QJLQHHUV(2DNWRQ6WUHHW
'HV3ODLQHV,/
7KLVVWDQGDUGZDVGHYHORSHGDQGDSSURYHGIRUVXEPLWWDOWR$16,E\WKH$PHULFDQ1DWLRQDO6WDQGDUGV&RP
PLWWHHRQ6WDQGDUGVIRU)DOO3URWHFWLRQ=&RPPLWWHHDSSURYDORIWKHVWDQGDUGGRHVQRWQHFHVVDULO\
LPSO\WKDWDOOFRPPLWWHHPHPEHUVYRWHGIRULWVDSSURYDO$WWKHWLPHLWDSSURYHGWKLVVWDQGDUGWKH=
&RPPLWWHHKDGWKHIROORZLQJPHPEHUV

2ANDALL7INGFIELD#HAIRMAN
"ASIL4OMINNA0%6ICE#HAIRMAN
*OSEPH&ELDSTEIN:3UBGROUP#HAIR
4IMOTHY2&ISHER#30!2-#0%!3ECRETARY
*ENNIE$ALESANDRO!DMINISTRATIVE4ECHNICAL3UPPORT
/RGANIZATION2EPRESENTED .AMEOF2EPRESENTATIVE
!MERICAN3OCIETYOF3AFETY%NGINEERS $ANIEL0AINE
#ARL'RIFFITH#3(-#03-
#(#-#53!#0%!
"ASHLIN)NDUSTRIES)NC "RADLEY3-C'ILL
2ODERICK!0AUL
"UCKINGHAM-FG#O)NC *IM2ULLO
#HRIS$ELAVERA
#ANADIAN3TANDARDS!SSOCIATION !NDREW#3ULOWKSI0%
2ON-EYERS
#APITAL3AFETY'ROUP *4HOMAS7OLNER0%
"RAD2OHLF
%LK2IVER)NC -ARK##ONOVER
0AUL$OEPEL
%LLIS&ALL3AFETY3OLUTIONS $R*.IGEL%LLIS0%#30#0%
--```,`,,`,,`,,`,,,,`,,`,``,`-`-`,,`,,`,`,,`---
*OHN47HITTY0%
'RAVITEC3YSTEMS)NC 2ANDALL7INGFIELD
$AVE,OUGH
(ARTFORD3TEAM"OILER)NSPECTION)NSURANCE#O 4IMOTHY(EALEY
*EROME+UCHARSKI
)3%!n)NTERNATIONAL3AFETY%QUIPMENT!SSOCIATION 2USSELL'OLDMANN))
*ANICE#"RADLEY#30
)NDIANAPOLIS0OWERAND,IGHT $AVID(0ATE#53!
,*")NC 4HOMAS+RAMER0%#30
4RACEY2IEPENHOFF0%#30#0%
,ATCHWAYS0,# 0AUL)LLICK
,AWRENCE,IVERMORE.ATIONAL,ABORATORY ,YNN#AMP
,IBERTY-UTUAL'ROUP *OHN2ABOVSKY
0ETER&URST
,IGHTHOUSE3AFETY,,# *OHN#ORRIVEAU
-2%4RAINING#ONSULTING -ICHAEL22OOP
-3! *OSEPH&ELDSTEIN
2OBERT!PEL
-ONSANTO 2OBERT+LING0%#30
#HAD--C$ANEL
-URDOCK7EBBING#O)NC *OHN&3MITH
"OB'OLZ
.ATIONAL!SSOCIATIONOF4OWER%RECTORS 'ORDON,YMAN
$ON$OTY
0AMELA2(UCK)NC 0AMELA(UCK#30
0ENSAFE 4IM!CCURSI
+EITH3MITH
4HE0ROCTER'AMBLE#OMPANY 'REG0ATTERSON
$ETLEF'USE
2OCO2ESCUE)NC 2OBERT!GUILUZ%SQ#30

302!4n3OCIETYOF0ROFESSIONAL2OPE
!CCESS4ECHNICIANS ,OUI-C#URLEY
*IM&RANK
3AFETY%QUIPMENT)NSTITUTE 3TEVE3ANDERS
3AFETY4HROUGH%NGINEERING)NC -IKE#7RIGHT0%#0%#30
-ARK(3TEMMER0%#30
3T0AUL4RAVELERS)NSURANCE -ARK-ONSON
3CAFFOLD)NDUSTRY!SSOCIATION $ANIEL:ARLETTI
3COTT"ILLISH
3CAFFOLDING3HORING&ORMING)NSTITUTE #HRIS*OHNSON
*OHN(!DDINGTON
3PACE'ATEWAY3UPPORT .ICK!NDREESCU0%
*IMMY$3CHILLING0%
4RACTEL)NC .ICHOLAS*ONES
#LIFF4HEVE
53!IR&ORCE3AFETY#ENTER 4HOMAS0AZELL
!RVIE%3COTT
--```,`,,`,,`,,`,,,,`,,`,``,`-`-`,,`,,`,`,,`---
53$EPARTMENTOF,ABORn/3(! 3HERMAN7ILLIAMSON
*OHN.EWQUIST
53$EPARTMENTOFTHE.AVY "ASIL4OMINNA0%
$OUGLAS,#RADDOCK
7ESTERN!REA0OWER!DMINISTRATION *EFF7ILD
2ALPH!RMSTRONG

&RQWHQWV 6(&7,213$*(
6FRSH3XUSRVH$SSOLFDWLRQ([FHSWLRQVDQG,QWHUSUHWDWLRQV
6FRSH
3XUSRVHDQG$SSOLFDWLRQ
([FHSWLRQV
,QWHUSUHWDWLRQV
'HQLWLRQV
--```,`,,`,,`,,`,,,,`,,`,``,`-`-`,,`,,`,`,,`---
'HVLJQ5HTXLUHPHQWV
6\VWHP5HTXLUHPHQWV
&RPSRQHQWDQG(OHPHQW5HTXLUHPHQWV
6XEV\VWHP5HTXLUHPHQWV
4XDOLFDWLRQ7HVWLQJ
7HVW(TXLSPHQWDQG7HVW6SHFLPHQV
6\VWHPDQG6XEV\VWHP4XDOLFDWLRQ7HVWLQJ
&RPSRQHQW&RQVWLWXHQWDQG(OHPHQW7HVWLQJ
)DOO$UUHVWHU&RQQHFWLQJ6XEV\VWHP4XDOLFDWLRQ7HVWLQJ
0DUNLQJDQG,QVWUXFWLRQV
*HQHUDO0DUNLQJ5HTXLUHPHQWV
6SHFLF0DUNLQJ5HTXLUHPHQWV
*HQHUDO,QVWUXFWLRQ5HTXLUHPHQWV
6SHFLF,QVWUXFWLRQ5HTXLUHPHQWV
8VHU,QVSHFWLRQ0DLQWHQDQFHDQG6WRUDJHRI(TXLSPHQW
,QVSHFWLRQ
0DLQWHQDQFHDQG6WRUDJH
(TXLSPHQW6HOHFWLRQ5LJJLQJ8VHDQG7UDLQLQJ
(TXLSPHQW6HOHFWLRQ
(TXLSPHQW5LJJLQJDQG8VH
7UDLQLQJ
5HIHUHQFHV
$
SSHQGL[$
$
SSHQGL[%

--```,`,,`,,`,,`,,,,`,,`,``,`-`-`,,`,,`,`,,`---
3DJH,QWHQWLRQDOO\/HIW%ODQN

$16,$66(=$PHULFDQ1DWLRQDO6WDQGDUG 6DIHW\5HTXLUHPHQWVIRU3HUVRQDO)DOO$UUHVW
6\VWHPV6XEV\VWHPVDQG&RPSRQHQWV
67$1'$5'5(48,5(0(176 (;3/$1$725<,1)250$7,21
1RWSDUWRI$PHULFDQ1DWLRQDO6WDQGDUG=
6&23( 385326( $33/,&$7,21 (;&(3
7,216$1',17(535(7$7,216
6FRSH7KLVVWDQGDUGHVWDEOLVKHVUHTXLUHPHQWV ( 6HH )LJXUHV WKURXJK IRU LOOXVWUDWLRQV RI

IRUWKHSHUIRUPDQFHGHVLJQPDUNLQJTXDOLFDWLRQ WKH HTXLSPHQW FRYHUHG E\ WKLV VWDQGDUG (TXLS
LQVWUXFWLRQWUDLQLQJLQVSHFWLRQXVHPDLQWHQDQFH PHQWXVHGLQSHUVRQDOIDOODUUHVWV\VWHPVLVFRP
DQGUHPRYDOIURPVHUYLFHRIFRQQHFWRUVIXOOERG\ PRQO\ UHIHUUHG WR DV SHUVRQDO SURWHFWLYH HTXLS
KDUQHVVHVODQ\DUGVHQHUJ\DEVRUEHUVDQFKRUDJH PHQW33(LQWKHOLWHUDWXUHRIWKHVDIHW\HOG$OVR
FRQQHFWRUVIDOODUUHVWHUVYHUWLFDOOLIHOLQHVDQGVHOI VHH$16,$66(=IRUGHQLWLRQRI&DSDFLW\
UHWUDFWLQJ ODQ\DUGV FRPSULVLQJ SHUVRQDO IDOO DUUHVW 7KHPDQXIDFWXUHUVKRXOGDSSO\DTXDOLW\DVVXUDQFH
V\VWHPVIRUXVHUVZLWKLQWKHFDSDFLW\UDQJHRI V\VWHPVXFKDV$16,$64&46HHUHIHU
WRSRXQGVWRNJ HQFH
3XUSRVHDQG$SSOLFDWLRQ
7KLV VWDQGDUG DGGUHVVHV RQO\ SHUVRQ (6HH$SSHQGL[$IRUH[SODQDWLRQRIDFURQ\PV

DO IDOO DUUHVW V\VWHPV 3)$6 LQFRUSRUDWLQJ IXOO XVHGZLWKLQWKLVVWDQGDUG
ERG\ KDUQHVVHV :KHQHYHU WKH WHUP V\VWHP
LV XVHG LQ WKH VWDQGDUG LW UHIHUV WR D SHUVRQDO IDOO
DUUHVWV\VWHP
7KLVVWDQGDUGDGGUHVVHVHTXLSPHQWXVHGLQ (7KLVLVDYROXQWDU\FRQVHQVXVVWDQGDUG7KH
RFFXSDWLRQV UHTXLULQJ SHUVRQDO SURWHFWLRQ DJDLQVW OHJDOUHTXLUHPHQWVIRUSURWHFWLRQDJDLQVWIDOOVIURP
IDOOV IURP KHLJKWV DQG DSSOLHV WR WKH PDQXIDF KHLJKWV DUH HVWDEOLVKHG E\ DSSOLFDEOH UHJXODWRU\
WXUHUV GLVWULEXWRUV SXUFKDVHUV DQG XVHUV RI ERGLHVJRYHUQLQJRFFXSDWLRQDOVDIHW\
VXFKHTXLSPHQW
%RG\EHOWVZLQGRZFOHDQHUEHOWVFKHVWZDLVW ()RUGHQLWLRQVRIZLQGRZFOHDQHUEHOWVVHH
KDUQHVVHV DQG FKHVW KDUQHVVHV HYHQ ZKHQ UH UHIHUHQFH
IHUUHG WR DV ERG\ VXSSRUWV DUH QRW DGGUHVVHG E\
WKHSURYLVLRQVRIWKLVIDOODUUHVWVWDQGDUG
%HIRUHDQ\HTXLSPHQWVKDOOEHDUWKHPDUNLQJ
= RU EH UHSUHVHQWHG LQ DQ\ ZD\ DV EHLQJ LQ
FRPSOLDQFHZLWKWKLVVWDQGDUGDOOUHTXLUHPHQWVRI
WKLVVWDQGDUGVKDOOEHPHW
([FHSWLRQV
7KH UHTXLUHPHQWV RI WKLV VWDQGDUG GR QRW (6HHUHIHUHQFHIRUGHQLWLRQRI6,&'LYL

DGGUHVV WKH FRQVWUXFWLRQ LQGXVWU\ 6,& 'LYLVLRQ VLRQ&
& ZLQGRZ FOHDQLQJ EHOWV DQG VSRUWVUHODWHG
DFWLYLWLHV
$OWKRXJK SHUVRQDO IDOO DUUHVW V\VWHPV LQFRU (6HH

SRUDWLQJ KRUL]RQWDO OLIHOLQHV DV ZHOO DV SHUVRQDO
SURWHFWLYH V\VWHPV IRU FOLPELQJ PDQ ULGLQJ WUDYHO
HULFDQ1DWLRQ
$P DO
HG 6W
RY DQ
SU G
S D
$
UG
$0(5,&$162&,(7<2)

6$)(7<(1*,1((56
--```,`,,`,,`,,`,,,,`,,`,``,`-`-`,,`,,`,`,,`---

UHVWULFWLRQ ZRUN SRVLWLRQLQJ UHVFXH DQG HYDFXD

WLRQPD\VXLWDEO\LQFRUSRUDWHFRPSRQHQWVRUVXE
V\VWHPVVSHFLHGKHUHLQWKRVHV\VWHPVDQGFRP
SRQHQWVDQGVXEV\VWHPVZKLFKDUHXQLTXHWRWKHP
DUHRXWVLGHWKHVFRSHRIWKLVVWDQGDUGIRUSHUVRQDO
IDOODUUHVWV\VWHPV
9DULDQFHIURPWKHUHTXLUHPHQWVRIWKLVVWDQ
GDUGDUHSHUPLVVLEOHLQLVRODWHGLQVWDQFHVRISUDF
WLFDO GLIFXOWLHV ZKHQ DSSO\LQJ LW DW WKH XVHU OHYHO
EXWRQO\ZKHQLWLVFOHDUO\HYLGHQWWKDWDQHTXLYDOHQW
GHJUHHRISURWHFWLRQLVWKHUHE\VHFXUHG
,QWHUSUHWDWLRQV5HTXHVWVIRULQWHUSUHWDWLRQVRI
WKLVVWDQGDUGVKDOOEHLQZULWLQJDQGDGGUHVVHGWR
WKH6HFUHWDULDWRIWKLVVWDQGDUG
'(),1,7,216
3OHDVHUHIHUWR$16,$66(='HQLWLRQVDQG
1RPHQFODWXUH8VHGIRU)DOO3URWHFWLRQDQG)DOO$U
UHVWIRUGHQLWLRQVRIWHUPVXVHGLQWKLVVWDQGDUG
5(48,5(0(176
6\VWHP5HTXLUHPHQWV
$SHUVRQDOIDOODUUHVWV\VWHP3)$6VKDOOEH (:KHQHYDOXDWLQJDQDQFKRUDJHERWKWKHGL

XVHGRQO\LIDWWDFKHGWRDQDQFKRUDJHRUDQFKRUDJH UHFWLRQDQGPDJQLWXGHRIDSSOLHGIRUFHVVKRXOGEH
ZLWKDQFKRUDJHFRQQHFWRUZKLFKFRPSOLHVZLWKWKH FRQVLGHUHG
UHTXLUHPHQWV RI WKLV VWDQGDUG 8QOHVV LQ FRQIRU
PDQFHZLWKDVLQJOHDQFKRUDJHFRQQHFWRU
VKDOOQRWEHSDUWRIPRUHWKDQRQH3)$6
:KHQ VXEMHFWHG WR WHVWV FRQWDLQHG LQ ( 6HH )LJXUHV DQG 7KH SRXQG
D SHUVRQDO IDOO DUUHVW V\VWHP LQ ZKLFK D IXOO ERG\ N1 0$) FULWHULD LQFOXGHG LQ WKLV VWDQGDUG LV
KDUQHVV LV XVHG VKDOO SURGXFH D PD[LPXP DUUHVW EDVHGRQWKHIROORZLQJFRQVLGHUDWLRQV,QWKHPLG
IRUFH0$)RIQRWPRUHWKDQSRXQGVN1 V PHGLFDO LQIRUPDWLRQ GHYHORSHG LQ )UDQFH
DQG VKDOO EULQJ WKH IDOO WR D FRPSOHWH VWRS ZLWK D FRQUPHGHDUOLHU8QLWHG6WDWHVUHVHDUFKZKLFKRE
GHFHOHUDWLRQ GLVWDQFH RI QRW PRUH WKDQ LQFKHV VHUYHGWKDWDSSUR[LPDWHO\SRXQGVN1LV
PP,QVXVSHQVLRQDIWHUWKHIDOOLVDUUHVWHG WKHWKUHVKROGRIVLJQLFDQWLQMXU\LQFLGHQFHIRUSK\V
WKHDQJOHDWUHVWZKLFKWKHYHUWLFDOFHQWHUOLQHRIWKH LFDOO\WLQGLYLGXDOVVXEMHFWHGWRGURSLPSDFWVZKHQ
WHVWWRUVRPDNHVZLWKWKHYHUWLFDOVKDOOQRWH[FHHG ZHDULQJ KDUQHVVHV 7KH )UHQFK DUELWUDULO\ KDOYHG
GHJUHHV WKH DERYH IRUFH DQG HVWDEOLVKHG SRXQGV
N1DVWKHLUQDWLRQDOVWDQGDUGIRU0$)LQ3)$6
&DQDGDV 2QWDULR 0LQLVWU\ RI /DERU UHYLHZHG WKLV
LQIRUPDWLRQDQGHOHFWHGWRHVWDEOLVKSRXQGV
N1IRU0$)7KLV0$)KDVEHHQLQHIIHFWVLQFH
LQWKH2QWDULR3URYLQFLDOVWDQGDUG6LQFHWKDW
HULFDQ1DWLRQ
$P DO
HG 6W
RY DQ
SU G
S D
$
UG
$0(5,&$162&,(7<2)

6$)(7<(1*,1((56

--```,`,,`,,`,,`,,,,`,,`,``,`-`-`,,`,,`,`,,`---

WLPHWKHUHKDYHEHHQQRUHSRUWHGGHDWKVRUVHULRXV
LQMXULHVDVVRFLDWHGZLWKWKHDUUHVWLQJRIDFFLGHQWDO
IDOOV RI LQGLYLGXDOV ,Q DGGLWLRQ ,627&6& LQ
ZRUNLQJ GUDIWV KDV HVWDEOLVKHG WKH SRXQGV
N1OLPLWRQ0$)2QWKHEDVLVRIWKLVLQIRUPDWLRQ
SRXQGVN1LVFRQVLGHUHGWKHDSSURSULDWH
0$)IRULQFOXVLRQLQWKLVVWDQGDUGZKHUHKDUQHVVHV
DUHWREHXVHGLQDUUHVWLQJIDOOV
(OHPHQWVDQGFRPSRQHQWVXVHGLQSHUVRQDO
IDOO DUUHVW V\VWHPV VXEV\VWHPV DQG FRPSRQHQWV
EHDULQJ WKH = PDUN VKDOO PHHW WKH HOHPHQW
UHTXLUHPHQWVVHWIRUWKLQ6XEV\VWHPVXVHGLQ
3)$6EHDULQJWKH=PDUNVKDOOPHHWWKHDG
GLWLRQDOUHTXLUHPHQWVRI
$3)$6ZKLFKLQFRUSRUDWHVDKRUL]RQWDOOLIH (6HH,WLVUHFRPPHQGHGWKDWVXFKHQ
OLQH RXWVLGH WKH VFRSH RI WKLV VWDQGDUG VKDOO EH JLQHHULQJ HYDOXDWLRQV EH FHUWLHG EHIRUH V\VWHP
HYDOXDWHGLQDFFRUGDQFHZLWKDFFHSWDEOHHQJLQHHU XVHDQGWKDWWKHFHUWLFDWLRQH[WHQGWRDOOSDUWVRI
LQJSUDFWLFHWRGHWHUPLQHWKDWVXFKV\VWHPZLOOSHU WKH3)$66HH$16,$66(=IRUGHQLWLRQRI
IRUPDVLQWHQGHG 3HUVRQDO)DOO$UUHVW6\VWHP3)$6
&RPSRQHQWDQG(OHPHQW5HTXLUHPHQWV
--```,`,,`,,`,,`,,,,`,,`,``,`-`-`,,`,,`,`,,`---
&RQQHFWRU +DUGZDUH &RPSRQHQWV DQG

(OHPHQWV
0DWHULDOVDQG3URFHVVHV0DWHULDOVXVHG (6HHUHIHUHQFH
LQWKHFRQVWUXFWLRQRIFRQQHFWRUVKDUGZDUHVKDOO
EH KLJK WHQVLOH DOOR\ VWHHO SURGXFHG E\ IRUJLQJ
VWDPSLQJ IRUPLQJ RU PDFKLQLQJ 0DWHULDOV RWKHU
WKDQ KLJK WHQVLOH DOOR\ VWHHO DQG SURFHVVHV RWKHU
WKDQWKRVHVWDWHGKHUHLQDUHSHUPLWWHGIRUFRQQHF
WRUVKDUGZDUHRQO\ZKHQLWFDQEHGHPRQVWUDWHG
E\WHVWLQJWKDWDOOUHTXLUHPHQWVRIWKLVVWDQGDUGDUH
PHWDQGDGGLWLRQDOO\WKDWWKHGXUDELOLW\UHOLDELOLW\
DQGRWKHUSURSHUWLHVSHUWLQHQWWRWKHLQWHQGHGXVHV
KDYH EHHQ HYDOXDWHG DQG GHWHUPLQHG VXLWDEOH E\
WHVWLQJ$Q\UHVWULFWLRQVRQWKHXVHRIVXFKFRQQHF
WRUVKDUGZDUHVKDOOEHPDUNHGRQWKHFRQQHFWRUV
KDUGZDUH RU FRPSRQHQWV VXEV\VWHPV DQG V\V
WHPVRIZKLFKWKH\DUHDQLQWHJUDOSDUW+HDWWUHDW
PHQW ZKHQ SHUIRUPHG RQ FRQQHFWRU KDUGZDUH
FRPSRQHQWVRUHOHPHQWVWKHUHRIVKDOOEHGRQHLQ
DFFRUGDQFHZLWKUHIHUHQFH7KHKDUGQHVVRI
KLJK WHQVLOH DOOR\ VWHHO FRQQHFWRU KDUGZDUH HOH
PHQWVVKDOOEHLQWKHUDQJHIURPWRPHDVXUHG
RQWKH5RFNZHOO&VFDOH
HULFDQ1DWLRQ
$P DO
HG 6W
RY DQ
SU G
S D
$
UG
$0(5,&$162&,(7<2)

6$)(7<(1*,1((56

6XUIDFH)LQLVKRI+DUGZDUH7KHQLVKRI
DOOKDUGZDUHVKDOOEHFOHDQDQGIUHHRIVFDOHUXVW
DQG GHSRVLWV RI IRUHLJQ PDWWHU $OO KDUGZDUH VKDOO
EH FDSDEOH RI ZLWKVWDQGLQJ D PLQLPXP VDOW VSUD\
WHVWRIKRXUVZKHQWHVWHGLQDFFRUGDQFHZLWKUHI
HUHQFH7KHSUHVHQFHRIUHGUXVWYLVLEOHWRWKH
XQDLGHGH\HRURWKHUHYLGHQFHRIFRUURVLRQRIWKH
EDVHPHWDOVKDOOFRQVWLWXWHIDLOXUHRIWKHVDOWVSUD\
WHVW3RVWWHVWSUHVHQFHRIZKLWHVFDOHRQKDUGZDUH
VXUIDFHVLVSHUPLWWHG6XUIDFHVZKLFKPD\FRPH
LQFRQWDFWZLWKWHDUDEOHPDWHULDOVVKDOOEHIUHHRI
EXUUVSLWVVKDUSHGJHVRUURXJKVXUIDFHV
$OO KDUGZDUH VKDOO EH QHZ DQG LQ XQXVHG

FRQGLWLRQ ZKHQ LQFRUSRUDWHG LQWR DVVHPEOLHV DQG
LQLWLDOO\SXWLQWRXVH
6QDSKRRNVDQGFDUDELQHUVVKDOOEHVHOIFORV (6HHGHQLWLRQVRIVQDSKRRNVDQGFDUDELQ
LQJDQGVHOIORFNLQJDQGVKDOOEHFDSDEOHRIEHLQJ HUVLQ$16,$66(=DQGVHH)LJXUHVTDQG
RSHQHGRQO\E\DWOHDVWWZRFRQVHFXWLYHGHOLEHUDWH Q IRU LOOXVWUDWLRQV RI FDUDELQHU DQG VQDSKRRN QR
DFWLRQV:KHQWHVWHGLQDFFRUGDQFHZLWK PHQFODWXUHDQGIXQFWLRQ$OVRVHH)LJXUHV
VQDSKRRNVDQGFDUDELQHUVVKDOOEHFDSDEOHRIZLWK DQGIRULOOXVWUDWLRQVRIWHVWV
VWDQGLQJDSRXQGN1WHQVLOHORDGZLWK
RXW EUHDNLQJ RU GLVWRUWLRQ VXIFLHQW WR UHOHDVH WKH 6HH)LJXUHVNOPDQGQIRUH[DPSOHVRIVQDS
JDWH:KHQWHVWHGLQDFFRUGDQFHZLWKWKH KRRNVZLWKSHUPDQHQWFDSWLYHH\H$OVR)LJXUHT
JDWH RI D VQDSKRRN RU FDUDELQHU VKDOO EH FDSDEOH LVDQH[DPSOHRIDFDUDELQHUZLWKRXWFDSWLYHH\H
RI ZLWKVWDQGLQJ D PLQLPXP ORDG RI SRXQGV
N1 ZLWKRXW WKH JDWH VHSDUDWLQJ IURP WKH QRVH
RI WKH VQDSKRRN RU FDUDELQHU ERG\ E\ PRUH WKDQ
LQFKHVPP:KHQWHVWHGLQDFFRUGDQFH
ZLWKWKHJDWHRIWKHVQDSKRRNRUFDUDEL
QHU VKDOO EH FDSDEOH RI ZLWKVWDQGLQJ D PLQLPXP
VLGHORDGRISRXQGVN1DSSOLHGWRDSRLQW
PLGZD\ EHWZHHQ WKH QRVH DQG JDWH KLQJH ZLWK
RXWEUHDNLQJSHUPDQHQWGHIRUPDWLRQJUHDWHUWKDQ
LQFKHVPPRUVHSDUDWLQJIURPWKHQRVH
--```,`,,`,,`,,`,,,,`,,`,``,`-`-`,,`,,`,`,,`---
RI WKH VQDSKRRN RU FDUDELQHU ERG\ E\ PRUH WKDQ
LQFKHVPP:KHQWHVWHGLQDFFRUGDQFH
ZLWKWKHJDWHRIWKHVQDSKRRNRUFDUDELQHU
VKDOOEHFDSDEOHRIZLWKVWDQGLQJDPLQLPXPPLQRU
D[LVORDGRISRXQGVN1DSSOLHGWRDSRLQW
PLGZD\EHWZHHQWKHQRVHDQGJDWHKLQJHZLWKRXW
EUHDNLQJRUGLVWRUWLRQVXIFLHQWWRUHOHDVHWKHJDWH
7HVWLQJLQWKHPLQRUD[LVLVQRWUHTXLUHGIRUFDUDELQ
HUV RU VQDSKRRNV ZKLFK DUH GHVLJQHG ZLWK D SHU
PDQHQWFDSWLYHH\H
:KHQ WHVWHG LQ DFFRUGDQFH ZLWK (6HH)LJXUHVDEFJDQG

'5LQJV25LQJVDQG2YDO5LQJVVKDOOEHFDSD
HULFDQ1DWLRQ
$P DO
HG 6W
RY DQ
SU G
S D
$
UG
$0(5,&$162&,(7<2)

6$)(7<(1*,1((56

EOHRIZLWKVWDQGLQJDWHQVLOHORDGRISRXQGV
N1ZLWKRXWEUHDNLQJ
:KHQ WHVWHG LQ DFFRUGDQFH ZLWK (6HH)LJXUH

EXFNOHV RYDO ULQJV XVHG DV DGMXVWHUV DQG RWKHU
DGMXVWHUVVKDOOEHFDSDEOHRIZLWKVWDQGLQJDPLQL
PXPWHQVLOHORDGRISRXQGVN1ZLWKRXW
EUHDNLQJ
--```,`,,`,,`,,`,,,,`,,`,``,`-`-`,,`,,`,`,,`---
$OO VQDSKRRNV FDUDELQHUV '5LQJV DQG
25LQJV VKDOO EH VXEMHFWHG WR SURRI ORDG WHVWLQJ
WRSRXQGVN1LQDFFRUGDQFHZLWK
)DLOXUH VKDOO EH FUDFNLQJ EUHDNLQJ RU SHUPDQHQW
GHIRUPDWLRQYLVLEOHWRWKHXQDLGHGH\H
)XOO%RG\+DUQHVV&RPSRQHQW
0DWHULDOV DQG &RQVWUXFWLRQ +DUQHVV

PDWHULDOV DQG FRQVWUXFWLRQ VKDOO EH RI D W\SH WKDW
ZLOOUHVXOWLQDQLVKHGSURGXFWFDSDEOHRIPHHWLQJ
DOO UHTXLUHPHQWV RI DQG DSSOLFDEOH WHVWV VHW
IRUWKLQ6HFWLRQ
6WUDSV/RDGEHDULQJVWUDSVVKDOOEHPDGH (6WUDSVVKRXOGEHSURWHFWHGIURPFRQFHQ
IURP V\QWKHWLF PDWHULDOV RI FRQWLQXRXV ODPHQW WUDWHGZHDUDWDOOLQWHUIDFHVZLWKORDGEHDULQJFRQ
\DUQVPDGHIURPOLJKWDQGKHDWUHVLVWDQWEHUVKDY QHFWRUHOHPHQWV
LQJVWUHQJWKDJLQJDQGDEUDVLRQUHVLVWDQFHFKDU
DFWHULVWLFV HTXLYDOHQW RU VXSHULRU WR SRO\DPLGHV
/RDG EHDULQJ VWUDSV VKDOO KDYH D PLQLPXP ZLGWK
RILQFKHVPPDQGVWUDSHQGVVKDOOEHQ
LVKHGVRDVWRSUHYHQWIUD\LQJ:KHQWHVWHGLQDF
FRUGDQFHZLWKUHIHUHQFHVWUDSPDWHULDOVKDOO
GHYHORSDEUHDNLQJVWUHQJWKRIQRWOHVVWKDQ
SRXQGVN1
7KUHDGDQG6WLWFKLQJ/RFNVWLWFKLQJVKDOO (6HH)LJXUH6HZQMRLQWVVKRXOGDEH

EH XVHG DW DOO VHZQ VWUDS MRLQWV 7KUHDG VKDOO EH LQDFFRUGDQFHZLWKUHIHUHQFHDQGEEHEDFN
RIYLUJLQV\QWKHWLFPDWHULDOKDYLQJVWUHQJWKDJLQJ VHZQQROHVVWKDQLQFKHVPPIURPWKHZHE
DEUDVLRQUHVLVWDQFHDQGKHDWUHVLVWDQFHFKDUDFWHU ELQJHGJHV
LVWLFVHTXLYDOHQWRUVXSHULRUWRSRO\DPLGHV7KUHDG
VKDOOEHRIWKHVDPHW\SHDVWKHZHEELQJDQGVKDOO
EHRIFRQWUDVWLQJFRORUWRIDFLOLWDWHLQVSHFWLRQ
7KH KDUQHVV VKDOO SURYLGH VXSSRUW IRU WKH (D:KHQIUHHO\VXVSHQGHGIURPWKHIDOODU

ERG\ DFURVV WKH ORZHU FKHVW RYHU WKH VKRXOGHUV UHVWDWWDFKPHQWWKHXVHUVKRXOGEHDEOHWRPDQHX
DQG DURXQG WKH WKLJKV ZKHQ D WHQVLOH ORDG LV DS YHULQWRDVHDWHGSRVLWLRQLQWKHKDUQHVV
SOLHGWRWKHIDOODUUHVWDWWDFKPHQWHOHPHQW7KHKDU
QHVVZKHQSURSHUO\WWHGDQGXVHGVKDOOSUHYHQW (E :KHQWKHWHQVLOHORDGLVDSSOLHGWRWKH
IDOORXW7KHIDOODUUHVWDWWDFKPHQWVKDOOEHORFDWHG KDUQHVVKDYLQJIURQWDODWWDFKPHQWHOHPHQWDWWDFK
HULFDQ1DWLRQ
$P DO
HG 6W
RY DQ
SU G
S D
$
UG
$0(5,&$162&,(7<2)

6$)(7<(1*,1((56

DWWKHEDFNGRUVDOSRVLWLRQ PHQW SRLQW DQG SURSHUO\ WWHG DURXQG WKH ERG\
WKHIDOOIRUFHVZLOOLPSDFWWKHEXWWRFNVDURXQGWKH
WKLJKVRYHUWKHVKRXOGHUVDQGWKHEDFN
:KHQPRUHWKDQRQHDWWDFKPHQWHOHPHQW
H[LVWVRQDKDUQHVVWKHSXUSRVHDQGOLPLWDWLRQVRI
HDFKHOHPHQWVKDOOEHGHVLJQDWHGE\WKHPDQXIDF
WXUHU
D+DUQHVVHVHTXLSSHGZLWKDIURQWPRXQWHG (D7KHIDOOSURWHFWLRQIURQWDODWWDFKPHQWHO
DWWDFKPHQWHOHPHQWIRUIDOODUUHVWVKDOOEHXVHGRQO\ HPHQW FKHVW ORFDWLRQ VKDOO EH ZLWKLQ WKH VWHUQXP
DV SDUW RI D SHUVRQDO IDOO DUUHVW V\VWHP WKDW OLPLWV EUHDVWERQHDUHDRIWKHERG\7KHIURQWDODWWDFK
WKHPD[LPXPIUHHIDOOGLVWDQFHWRWZRIHHWP PHQW HOHPHQW LV LQWHQGHG IRU WKH XVH LQ UHVFXH
DQGOLPLWVWKHPD[LPXPDUUHVWIRUFHWRSRXQGV ZRUNSRVLWLRQURSHDFFHVVDQGRWKHU$16,$66(
N1 = UHFRJQL]HG DSSOLFDWLRQV ZKHUH WKH GHVLJQ
RIWKHV\VWHPVLVVXFKWKDWRQO\DOLPLWHGIUHHIDOORI
WZRIHHWLVSHUPLWWHG
7KHKDUQHVVZKHQVWDWLFDOO\WHVWHGLQDF
FRUGDQFH ZLWK VKDOO QRW UHOHDVH WKH WHVW
WRUVR 6OLSSDJH WKURXJK DQ\ DGMXVWDEOH FRQQHF
WRUVKDOOQRWH[FHHGRQHLQFKPP%XFNOHDQG
H\HOHWW\SHRIFRQVWUXFWLRQVKDOOQRWWHDUDGLVWDQFH
JUHDWHUWKDQWKDWWRWKHDGMDFHQWH\HOHW
D )RU KDUQHVVHV HTXLSSHG ZLWK D IURQW

PRXQWHG DWWDFKPHQW HOHPHQW IRU IDOO DUUHVW WHVW
VWDWLFDOO\LQDFFRUGDQFHZLWKD7KHKDUQHVV
VKDOO QRW UHOHDVH WKH WHVW WRUVR 6OLSSDJH WKURXJK
DQ\DGMXVWDEOHFRQQHFWRUVKDOOQRWH[FHHGRQHLQFK
PP %XFNOH DQG H\HOHW W\SH RI FRQVWUXFWLRQ
VKDOOQRWWHDUDGLVWDQFHJUHDWHUWKDQWKDWWRWKHDG
MDFHQWH\HOHW
7KH KDUQHVV ZKHQ G\QDPLFDOO\ WHVWHG LQ (%UHDNLQJRIWKUHDGVGRHVQRWFRQVWLWXWHD

DFFRUGDQFHZLWKVKDOOQRWUHOHDVHWKHWHVW IDLOXUHDFFRUGLQJWRFULWHULDRIWKLVVHFWLRQSURYLGHG
WRUVR 7KH WHVW WRUVR VKDOO UHPDLQ VXVSHQGHG IRU WKDW WKH VWLWFKHG FRQQHFWLRQ UHPDLQV LQWDFW 6HH
YHPLQXWHVDIWHUGURSWHVWLQJ1RORDGEHDULQJHO )LJXUH
HPHQWVKDOOEUHDNRUVHSDUDWHIURPWKHERG\VXS
SRUW7KHDQJOHDWUHVWPHDVXUHGEHWZHHQWKHWRUVR
--```,`,,`,,`,,`,,,,`,,`,``,`-`-`,,`,,`,`,,`---
YHUWLFDOFHQWHUOLQHDQGWKHYHUWLFDOVKDOOQRWH[FHHG
GHJUHHVDIWHUWKHWHVWWRUVRFRPHVWRUHVW
D )RU KDUQHVVHV HTXLSSHG ZLWK D IURQW

PRXQWHG DWWDFKPHQW HOHPHQW IRU IDOO DUUHVW WHVW
G\QDPLFDOO\LQDFFRUGDQFHZLWKD7KHKDU
QHVVVKDOOQRWUHOHDVHWKHWHVWWRUVR7KHWHVWWRUVR
VKDOOUHPDLQVXVSHQGHGIRUYHPLQXWHVDIWHUGURS
WHVWLQJ 1R ORDGEHDULQJ HOHPHQW VKDOO EUHDN RU
HULFDQ1DWLRQ
$P DO
HG 6W
RY DQ
SU G
S D
$
UG
$0(5,&$162&,(7<2)

6$)(7<(1*,1((56

VHSDUDWHIURPWKHERG\VXSSRUW
/DQ\DUG&RPSRQHQW
5RSHDQGZHEELQJXVHGLQWKHFRQVWUXFWLRQ
RIODQ\DUGVVKDOOEHPDGHIURPV\QWKHWLFPDWHULDOV
RI FRQWLQXRXV ODPHQW \DUQV PDGH IURP OLJKW DQG
KHDW UHVLVWDQW EHUV KDYLQJ VWUHQJWK DJLQJ DQG
DEUDVLRQ UHVLVWDQFH FKDUDFWHULVWLFV HTXLYDOHQW RU
VXSHULRU WR SRO\DPLGHV 5RSHV DQG ZHEELQJ VKDOO
KDYHDPLQLPXPEUHDNLQJVWUHQJWKRISRXQGV
N1ZKHQWHVWHGLQDFFRUGDQFHZLWKUHIHUHQFH
RUDVDSSOLFDEOH
)RUPHG H\H WHUPLQDWLRQV LQ URSH VKDOO EH (,WLVSHUPLVVLEOHRQDGMXVWDEOHOHQJWKODQ

PDGHLQDFFRUGDQFHZLWKWKHURSHPDQXIDFWXUHUV \DUGVWRH[FOXGHWKHWKLPEOHRQWKHDGMXVWDEOHHQG
UHFRPPHQGDWLRQ VXEMHFW WR WKH IROORZLQJ UHTXLUH RIVXFKODQ\DUGV
PHQWV(\HVSOLFHVLQWZLVWHGURSHKDYLQJWKUHHRU
PRUHVWUDQGVVKDOOKDYHDPLQLPXPRIIRXUWXFNV$
SURSHUO\VL]HGWKLPEOHVKDOOEHSDUWRIWKHIRUPHG
H\H WHUPLQDWLRQ .QRWV VKDOO QRW EH XVHG WR IRUP
ODQ\DUG HQG WHUPLQDWLRQV 7HUPLQDWLRQV LQFOXGLQJ
FXWHQGVDQGVSOLFHVVKDOOEHVHL]HGZKLSSHGRU
RWKHUZLVHLQWHJUDOO\QLVKHGWRSUHYHQWWKHWHUPLQD
WLRQRUVSOLFHIURPXQUDYHOLQJRUXQVSOLFLQJ
6WLWFKHGH\HWHUPLQDWLRQVRQVWUDSODQ\DUGV (6HZQMRLQWVVKRXOGDEHLQDFFRUGDQFH

VKDOO EH VHZQ XVLQJ ORFN VWLWFKHV 7KUHDG VKDOO ZLWKUHIHUHQFHDQGEEHEDFNVHZQQROHVV
EHRIWKHVDPHPDWHULDOW\SHDVWKHZHEELQJDQG WKDQLQFKHVPPIURPWKHZHEELQJHGJH
VKDOO EH RI D FRQWUDVWLQJ FRORU WR IDFLOLWDWH LQVSHF
WLRQ:HEELQJVKDOOEHSURWHFWHGIURPFRQFHQWUDWHG
ZHDU DW DOO LQWHUIDFHV ZLWK ORDGEHDULQJ FRQQHFWRU
HOHPHQWV:HEELQJHQGVVKDOOEHVHDUHGRURWKHU
ZLVHSUHYHQWHGIURPXQUDYHOLQJ
:LUHURSHXVHGLQWKHFRQVWUXFWLRQRIODQ
\DUGVVKDOOEHFRQVWUXFWHGLQDFFRUGDQFHZLWKUHI
HUHQFH
)RUPHGH\HWHUPLQDWLRQVRIZLUHURSHVKDOO ( :LUH URSH HQGV VKRXOG EH EUD]HG

KDYH D PLQLPXP EUHDNLQJ VWUHQJWK RI RI WKH ZKLSSHG RU VKRXOG KDYH HTXLYDOHQW QLVK WR SUH
ZLUH URSH ZKHQ WHVWHG LQ DFFRUGDQFH ZLWK UHIHU YHQW XQUDYHOLQJ %UD]LQJ VKRXOG EH DFFRPSOLVKHG
HQFH7KHIROORZLQJPHWKRGVPD\EHXVHGIRU SULRUWRIRUPLQJWKHUHWXUQH\H6HH)LJXUHJ
IRUPLQJH\HVLQZLUHURSHDVSOLFHGH\HZLWKRQH
VZDJHGWWLQJRUEUHWXUQH\HZLWKDPLQLPXPRI
WZRVZDJHGWWLQJV$OOIRUPHGH\HVVKDOOLQFRUSR
UDWHDSURSHUO\VL]HGWKLPEOH
&KDLQXVHGLQWKHFRQVWUXFWLRQRIODQ\DUGV
HULFDQ1DWLRQ
$P DO
HG 6W
RY DQ
SU G
S D
$
UG
$0(5,&$162&,(7<2)

6$)(7<(1*,1((56
--```,`,,`,,`,,`,,,,`,,`,``,`-`-`,,`,,`,`,,`---

VKDOO EH PDQXIDFWXUHG LQ DFFRUGDQFH ZLWK WKH UH

TXLUHPHQWVIRUJUDGHVHWIRUWKLQUHIHUHQFH
0LQLPXP QRPLQDO FKDLQ VL]H VKDOO EH LQFKHV
PP &KDLQ WWLQJV LH PLGOLQNV REORQJ PDV
WHU OLQNV HWF VKDOO PHHW RU H[FHHG WKH EUHDNLQJ
--```,`,,`,,`,,`,,,,`,,`,``,`-`-`,,`,,`,`,,`---
VWUHQJWK RI WKH FKDLQ VL]H VHOHFWHG 7HUPLQDWLRQV
VKDOOQRWEHPDGHE\NQRWWLQJRUZHOGLQJRIFKDLQ
RUFKDLQWWLQJV
/DQ\DUGV ZKHQ VWDWLFDOO\ WHVWHG LQ DFFRU

GDQFH ZLWK VKDOO KDYH D PLQLPXP EUHDN
LQJ VWUHQJWK RI SRXQGV N1 /DQ\DUGV
ZKLFKLQFRUSRUDWHDPHDQVIRUOHQJWKDGMXVWPHQW
VKDOO PDLQWDLQ WKHLU DGMXVWHG OHQJWK GLVUHJDUG
LQJ HODVWLF VWUHWFK XS WR D ORDG RI SRXQGV
N1
D /DQ\DUGV ZLWK WZR LQWHJUDOO\ FRQQHFW

HG OHJV VKDOO KDYH D PLQLPXP RI SRXQGV
N1 EUHDNLQJ VWUHQJWK ZKHQ VWDWLFDOO\ WHVWHG
LQDFFRUGDQFHZLWK
/DQ\DUGVZKLFKDUHLQWHQGHGIRUXVHLQV\V
WHPV RU VXEV\VWHPV ZLWKRXW DQ HQHUJ\ DEVRUEHU
VKDOOEHWHVWHGLQDFFRUGDQFHZLWK/DQ\DUG
HORQJDWLRQ VKDOO QRW H[FHHG LQFKHV PP
DQGPD[LPXPDUUHVWIRUFHVKDOOQRWH[FHHG
SRXQGVN1
(QHUJ\ $EVRUEHU &RPSRQHQW 3HUVRQDO ( (QHUJ\ DEVRUEHUV IRU KRUL]RQWDO OLIHOLQHV
DQG9HUWLFDO/LIHOLQH ($+//DUHQRWDGGUHVVHGKHUHEHFDXVHKRUL]RQ
WDOOLIHOLQHVDUHRXWVLGHWKHVFRSHRIWKLVVWDQGDUG
6HH
5RSHDQGZHEELQJXVHGLQWKHFRQVWUXFWLRQ
RI HQHUJ\ DEVRUEHUV VKDOO EH PDGH RI YLUJLQ V\Q
WKHWLFPDWHULDOKDYLQJVWUHQJWKDJLQJDEUDVLRQUH
VLVWDQFHDQGKHDWUHVLVWDQFHFKDUDFWHULVWLFVHTXLY
DOHQWRUVXSHULRUWRSRO\DPLGHV
(QHUJ\ DEVRUEHUV FRQVWUXFWHG RI URSH

ZHEELQJRUZLUHURSHVKDOOKDYHHQGWHUPLQDWLRQV
ZKLFK PHHW WKH UHTXLUHPHQWV RI
DQG
(QHUJ\ DEVRUEHUV VKDOO EH GHVLJQHG VXFK

WKDWLWLVREYLRXVLIWKH\KDYHEHHQDFWLYDWHG
(QHUJ\ DEVRUEHUV ZKHQ VXEMHFWHG WR D
HULFDQ1DWLRQ
$P DO
HG 6W
RY DQ
SU G
S D
$
UG
$0(5,&$162&,(7<2)

6$)(7<(1*,1((56

VWDWLFIRUFHRISRXQGVN1LQDFFRUGDQFHZLWK

VKDOO QRW VKRZ VLJQV RI DFWLYDWLRQ RU H[
KLELWSHUPDQHQWHORQJDWLRQJUHDWHUWKDQWZRLQFKHV
PP
(QHUJ\DEVRUEHUVZKHQVWDWLFDOO\WHVWHGLQ
DFFRUGDQFH ZLWK VKDOO KDYH D PLQLPXP
EUHDNLQJVWUHQJWKRISRXQGVN1
:KHQ G\QDPLFDOO\ WHVWHG LQ DFFRUGDQFH

ZLWK HQHUJ\ DEVRUEHUV VKDOO QRW HORQJDWH
PRUH WKDQ LQFKHV PP IURP WKHLU LQLWLDO
OHQJWK
:KHQ HQHUJ\ DEVRUEHUV DUH G\QDPLFDOO\

WHVWHG LQ DFFRUGDQFH ZLWK WKH PD[LPXP
DUUHVWIRUFHVKDOOQRWH[FHHGSRXQGVN1
--```,`,,`,,`,,`,,,,`,,`,``,`-`-`,,`,,`,`,,`---
$QFKRUDJH&RQQHFWRU&RPSRQHQW
$QFKRUDJH FRQQHFWRUV VKDOO PHHW WKH

VWUHQJWKUHTXLUHPHQWVRIWKHDQFKRUDJHVWRZKLFK
WKH\DUHFRXSOHGDVVHWIRUWKLQ6DWLVIDFWRU\
FRPSOHWLRQ RI WKH TXDOLFDWLRQ WHVWLQJ VSHFLHG LQ
VKDOOFRQVWLWXWHFRPSOLDQFHZLWKWKLVUHTXLUH
PHQW :KHQ WHVWHG LQ DFFRUGDQFH ZLWK DQ
FKRUDJHFRQQHFWRUVVKDOOEHFDSDEOHRIZLWKVWDQG
LQJZLWKRXWEUHDNLQJDSRXQGN1ORDG
PXOWLSOLHGE\WKHPD[LPXPQXPEHURISHUVRQDOIDOO
DUUHVWV\VWHPVWKDWPD\EHDWWDFKHGWRWKHDQFKRU
DJH FRQQHFWRU &RQQHFWRU HOHPHQWV LQWHJUDO WR RU
SDUW RI WKH DQFKRUDJH FRQQHFWRU VKDOO EH FDSDEOH
RIZLWKVWDQGLQJDSRXQGN1ORDGZLWKRXW
FUDFNLQJEUHDNLQJRUSHUPDQHQWGHIRUPDWLRQYLV
LEOHWRWKHXQDLGHGH\H
$QDQFKRUDJHFRQQHFWRUVKDOOEHDWWDFKHG (6HH$16,$66(=
WRQRPRUHWKDQRQH3)$6XQOHVVFHUWLHGIRUVXFK
SXUSRVH:KHQDQDQFKRUDJHFRQQHFWRULVSDUWRI
PRUH WKDQ RQH 3)$6 WKH DQFKRUDJH FRQQHFWRU
VWUHQJWKVVHWIRUWKLQVKDOOEHPXOWLSOLHGE\
WKHQXPEHURI3)$6RIZKLFKLWLVDSDUW
7KHVWDELOLW\DQGFRPSDWLELOLW\RIFRXSOLQJV
EHWZHHQ DQFKRUDJH FRQQHFWRUV DQG DQFKRUDJHV
VKDOO EH FRQVLGHUHG LQ DQFKRUDJH FRQQHFWRU GH
VLJQ
7KH H[SRVXUH RI DQFKRUDJH FRQQHFWRUV
HULFDQ1DWLRQ
$P DO
HG 6W
RY DQ
SU G
S D
$
UG
$0(5,&$162&,(7<2)

6$)(7<(1*,1((56

WR VKDUS HGJHV DEUDVLYH VXUIDFHV DQG SK\VLFDO

KD]DUGVVXFKDVWKHUPDOHOHFWULFDODQGFKHPLFDO
VRXUFHVVKDOOEHFRQVLGHUHGLQDQFKRUDJHFRQQHF
WRUGHVLJQ
)DOO$UUHVWHU&RPSRQHQW
)RUWKHSXUSRVHRIWKLVVWDQGDUGIDOODUUHVW (7\SHDQG7\SHIDOODUUHVWHUVDUHRXW
HUVDUHFODVVLHGDVIROORZV7\SH)DOODUUHVWHUV VLGHWKHVFRSHRIWKLVVWDQGDUG
GHVLJQHGWREHXVHGRQDYHUWLFDOOLIHOLQH7\SH
)DOODUUHVWHUVGHVLJQHGWREHXVHGRQDKRUL]RQWDO
OLIHOLQH7\SH)DOODUUHVWHUVGHVLJQHGWREHXVHG
RQDOLIHOLQHRIDQ\RULHQWDWLRQ
&RQQHFWRUVXVHGZLWKIDOODUUHVWHUVZKHWK ( $Q HIIRUW VKRXOG EH PDGH WR HQFRXUDJH
HU LQWHJUDO VHSDUDWH FRPSRQHQWV RU HOHPHQWV RI FRPSDWLEOHFRQQHFWRUFRXSOLQJV6HH
VHSDUDWHFRPSRQHQWVVKDOOPHHWWKHUHTXLUHPHQWV
RI,QWHJUDOULQJVRUVLPLODURSHQLQJVGHVLJQHG
WRDFFHSWFRQQHFWRUVVKDOOEHGHVLJQHGWRPLQLPL]H
SRWHQWLDOUROORXWRIDPDWLQJFRQQHFWRU
)DOO DUUHVWHUV VKDOO EH DXWRPDWLF LQ WKHLU (7KHLQWHQWRIJXDUGLQJDJDLQVWRYHUULGLQJ

ORFNLQJ IDOO VWRSSLQJ IXQFWLRQ 7KH SRVVLELOLW\ RI RIWKHVHOIORFNLQJIHDWXUHRIWKHIDOODUUHVWRUGXULQJ
RYHUULGLQJWKHVHOIORFNLQJIHDWXUHRIWKHIDOODUUHVWHU XVHLVWRUHGXFHWKHSRVVLELOLW\WKDWWKHGHYLFHPD\
VKDOOEHJXDUGHGDJDLQVW)DOODUUHVWHUVZKLFKDUH EHGHDFWLYDWHGLIUHH[LYHO\JUDEEHGRUKHOGGXULQJ
GHVLJQHGWRZRUNRQYHUWLFDOOLIHOLQHVDQGZKLFKUHO\ RQVHWRIDIDOO.QRWVDUHQRWSUHGLFWDEOHRUWHVWDEOH
VROHO\RQWKHOHYHUSULQFLSOHIRUORFNLQJVKDOOEHGH RYHUWKHJLYHQOLIHWLPHRIWKHOLIHOLQH
VLJQHGVXFKWKDWORFNLQJZLOOEHFRPHHIIHFWLYHEH
IRUHWKHOHYHUEHFRPHVSHUSHQGLFXODUWRWKHOLIHOLQH
6\VWHPV LQFRUSRUDWLQJ NQRW W\SH IDOO DUUHVWHUV DUH
H[FOXGHGIURPWKLVVWDQGDUG
7\SH IDOO DUUHVWHUV WKDW DUH QRW ELGLUHF ( $ ELGLUHFWLRQDO IDOO DUUHVWHU LV RQH ZKLFK
WLRQDOFRXOGDUUHVWDIDOORUORFNLQERWKGLUHFWLRQVRI ZLOOORFNLQERWKGLUHFWLRQVRIWUDYHORQDOLIHOLQH
WUDYHODQGZKLFKFRXOGEHLQVWDOOHGXSVLGHGRZQRQ
WKHOLIHOLQHVKDOOEHFOHDUO\PDUNHGVKRZLQJSURSHU
RULHQWDWLRQRIXVH
7\SH IDOO DUUHVWHUVVKDOO EH LQFDSDEOH RI

XQLQWHQWLRQDOFUHHSLQJGRZQWKHOLIHOLQHGXULQJZRUN
RSHUDWLRQVDWDJLYHQHOHYDWLRQ
&RUURVLRQ SURWHFWLRQ VKDOO EH DIIRUGHG WR ('HYLFHVLQWHQGHGIRUXVHLQVSHFLFHQYL

DOOHOHPHQWVSDUWVRIWKHIDOODUUHVWHUWRDGHJUHH URQPHQWVPD\UHTXLUHVSHFLDODWWHQWLRQWRFRUURVLRQ
GHHPHGQHFHVVDU\E\DTXDOLHGSHUVRQVGLUHFWO\ SURWHFWLRQ&DUHPXVWEHXVHGZKHQFRPELQLQJGLV
UHVSRQVLEOHIRUWKHGHVLJQRIWKHGHYLFH3URWHFWLRQ VLPLODUPHWDOVWRDYRLGDGYHUVHJDOYDQLFFRXSOHV
VKDOODWDPLQLPXPDOORZWKHGHYLFHWRRSHUDWHDV
LQWHQGHGDQGVKRZQRVLJQVRIFRUURVLRQZKLFKLI
OHIWXQFKHFNHGFRXOGUHVXOWLQFRUURVLRQUHODWHGIDLO
HULFDQ1DWLRQ
$P DO
HG 6W
RY DQ
SU G
S D
$
UG
$0(5,&$162&,(7<2)

6$)(7<(1*,1((56

--```,`,,`,,`,,`,,,,`,,`,``,`-`-`,,`,,`,`,,`---

XUHRIWKHGHYLFHDIWHUEHLQJVDOWVSUD\IRJWHVWHG

IRU KRXUV LQ DFFRUGDQFH ZLWK WKH PHWKRG GH
VFULEHGLQUHIHUHQFH:RUNLQJSDUWVFULWLFDOWR
WKH RSHUDWLRQ RI WKH GHYLFH VKDOO EH IXOO\ H[SRVHG
GXULQJVDOWVSUD\HYHQLIGLVDVVHPEO\RIWKHGHYLFH
LVUHTXLUHGWRGRVR
)DOODUUHVWHUVVKDOOKDYHDQXOWLPDWHVWUHQJWK
RIQRWOHVVWKDQSRXQGVN1
9HUWLFDO/LIHOLQH&RPSRQHQW ( $W WKH WLPH RI SXEOLFDWLRQ RI WKLV VWDQGDUG
ZHEELQJ ZDV QRW JHQHUDOO\ XVHG DV D PDWHULDO RI
FRQVWUXFWLRQ IRU YHUWLFDO OLIHOLQHV DQG LV WKHUHIRUH
RXWVLGHWKHVFRSHRIWKLVVWDQGDUG
&RQQHFWRUVXVHGZLWKYHUWLFDOOLIHOLQHVVKDOO
PHHWWKHUHTXLUHPHQWVRI
6\QWKHWLF5RSH/LIHOLQH
5RSH XVHG LQ YHUWLFDO OLIHOLQHV VKDOO EH

PDGHRIYLUJLQV\QWKHWLFPDWHULDOVKDYLQJVWUHQJWK
DJLQJ DEUDVLRQ UHVLVWDQFH DQG KHDW UHVLVWDQFH
FKDUDFWHULVWLFV HTXLYDOHQW RU VXSHULRU WR SRO\DP
LGHV 6\QWKHWLF URSH VKDOO KDYH DQ HODVWLF HORQJD
WLRQRIQRWPRUHWKDQDWDORDGRISRXQGV
N1 ZKHQ WHVWHG LQ DFFRUGDQFH ZLWK UHIHUHQFHV
RUDVDSSOLFDEOH
)RUPHG H\H WHUPLQDWLRQV LQ URSH VKDOO ($NQRWPD\EHDQDFFHSWDEOHPHDQVRI

EH PDGH LQ DFFRUGDQFH ZLWK WKH FRUGDJH PDQX VHFXULQJWKHIUHHHQGRIWKHOLIHOLQHDWJURXQGOHYHO
IDFWXUHUVUHFRPPHQGDWLRQVXEMHFWWRWKHIROORZLQJ
UHTXLUHPHQWV 6SOLFHG H\HV LQ OD\HG URSHV KDYLQJ
WKUHHRUPRUHVWUDQGVVKDOOKDYHDPLQLPXPRIIRXU
WXFNV$SURSHUO\VL]HGWKLPEOHVKDOOEHSDUWRIWKH
--```,`,,`,,`,,`,,,,`,,`,``,`-`-`,,`,,`,`,,`---
IRUPHGH\HWHUPLQDWLRQ.QRWVVKDOOQRWEHXVHGIRU
ORDGEHDULQJHQGWHUPLQDWLRQV)RUPHGH\HWHUPL
QDWLRQVVKDOOKDYHDPLQLPXPEUHDNLQJVWUHQJWKRI
RI WKH V\QWKHWLF URSH ZKHQ WHVWHG LQ DFFRU
GDQFHZLWKUHIHUHQFH7HUPLQDWLRQVLQFOXGLQJ
FXWHQGVDQGVSOLFHVVKDOOEHVHL]HGZKLSSHGRU
RWKHUZLVHLQWHJUDOO\QLVKHGWRSUHYHQWWKHWHUPLQD
WLRQRUVSOLFHIURPXQUDYHOLQJRUXQVSOLFLQJ
6\QWKHWLF URSH XVHG LQ YHUWLFDO OLIHOLQHV ( :LUH URSH HQGV VKRXOG EH EUD]HG
VKDOO KDYH D PLQLPXP EUHDNLQJ VWUHQJWK RI ZKLSSHG RU VKRXOG KDYH HTXLYDOHQW QLVK WR SUH
SRXQGVN1ZKHQWHVWHGLQDFFRUGDQFHZLWKUHI YHQW XQUDYHOLQJ %UD]LQJ VKRXOG EH DFFRPSOLVKHG
HUHQFH SULRUWRIRUPLQJWKHUHWXUQH\H6HH)LJXUHJ
HULFDQ1DWLRQ
$P DO
HG 6W
RY DQ
SU G
S D
$
UG
$0(5,&$162&,(7<2)

6$)(7<(1*,1((56

--```,`,,`,,`,,`,,,,`,,`,``,`-`-`,,`,,`,`,,`---
:LUH5RSH/LIHOLQHV
:LUHURSHXVHGLQYHUWLFDOOLIHOLQHVVKDOOEH
D PLQLPXP RI LQFKHV PP GLDPHWHU DQG
VKDOOEHFRQVWUXFWHGLQDFFRUGDQFHZLWKUHIHUHQFHV
DQGDVDSSOLFDEOH
)RUPHG H\H WHUPLQDWLRQV RI ZLUH URSH

VKDOOKDYHDPLQLPXPEUHDNLQJVWUHQJWKRIRI
WKHZLUHURSHZKHQWHVWHGLQDFFRUGDQFHZLWKUHIHU
HQFH7KHIROORZLQJDUHDFFHSWDEOHPHWKRGV
RI IRUPLQJ VSOLFHG H\HV D VSOLFHG H\H ZLWK RQH
VZDJHGWWLQJRUEUHWXUQH\HZLWKDPLQLPXPRI
WZR VZDJHG WWLQJV RU F UHWXUQ H\H ZLWK D PLQL
PXP RI WKUHH ZLUH URSH FOLSV WLJKWHQHG LQ DFFRU
GDQFH ZLWK WKH FOLS PDQXIDFWXUHUV VSHFLFDWLRQV
$OOIRUPHGH\HVVKDOOLQFRUSRUDWHDSURSHUO\VL]HG
WKLPEOH
:LUHURSHVKDOOKDYHDPLQLPXPEUHDNLQJ
VWUHQJWK RI SRXQGV N1 ZKHQ WHVWHG LQ
DFFRUGDQFHZLWKUHIHUHQFH
6HOI5HWUDFWLQJ/DQ\DUG&RPSRQHQW (+LVWRULFDOO\DVHOIUHWUDFWLQJODQ\DUG65/

KDVEHHQYDULRXVO\UHIHUUHGWRDVDUHWUDFWDEOHOLIH
OLQHRUVHOIUHWUDFWLQJOLIHOLQH$Q65/LVDK\EULG
FRPSRQHQW6HHGHQLWLRQVLQ$16,$66(=
$OVRVHH)LJXUH
6QDSKRRNVZKLFKDUHLQWHJUDOWR65/VKDOO
EHRIWKHVHOIFORVLQJVHOIORFNLQJW\SH,QWHJUDOULQJV
RUVLPLODURSHQLQJVLQWHQGHGWRDFFHSWDVQDSKRRN
RUFDUDELQHUVKDOOEHGHVLJQHGWRPLQLPL]HWKHSRV
VLELOLW\ RI UROORXW RI D PDWLQJ VQDSKRRN RU FDUDEL
QHU
65/VKDOOEHDXWRPDWLFLQWKHLUORFNLQJIDOO

VWRSSLQJIXQFWLRQ,WVKDOOQRWEHSRVVLEOHWRRYHU
ULGHWKHVHOIORFNLQJIHDWXUHRIWKHGHYLFHZKHQLQ
XVH7KHGHVLJQRIZRUNLQJSDUWVWKHLUORFDWLRQDQG
WKHSURWHFWLRQDIIRUGHGWRWKHPVKDOOEHVXFKDVWR
SUHYHQW WKH SRVVLELOLW\ RI SHUIRUPDQFH EHLQJ LP
SDLUHGE\FDVXDOLQWHUIHUHQFH
65/ ZKLFK SHUIRUP ERWK D ORFNLQJ IDOO (65/ZKLFKXVHDUHVHUYHOLQHWHFKQLTXH

VWRSSLQJDQGHQHUJ\DEVRUSWLRQIXQFWLRQVKDOOEH WRDFFRPSOLVKHQHUJ\DEVRUSWLRQDWWKHHQGRIWKH
GHVLJQHGVXFKWKDWWKHHQHUJ\DEVRUSWLRQIXQFWLRQ ZRUNLQJUDQJHPD\UHTXLUHVHUYLFLQJDIWHUWKHUH
LVDYDLODEOHWKURXJKRXWWKHXVDEOHZRUNLQJUDQJHRI VHUYHKDVEHHQGHSOR\HG
WKHGHYLFH7KHZRUNLQJUDQJHRUOHQJWKRID65/
HULFDQ1DWLRQ
$P DO
HG 6W
RY DQ
SU G
S D
$
UG
$0(5,&$162&,(7<2)

6$)(7<(1*,1((56

LV GHQHG DV WKH DPRXQW RI WUDYHO DOORZHG E\ WKH
GHYLFHVWDUWLQJIURPIXOOUHWUDFWLRQWRIXOOH[WHQVLRQ
XQGHUQRUPDOZRUNLQJWHQVLRQ
&RUURVLRQSURWHFWLRQVKDOOEHDIIRUGHGWRDOO ('HYLFHVLQWHQGHGIRUXVHLQVSHFLFHQYL

HOHPHQWVSDUWVRIWKH65/3URWHFWLRQVKDOODWD URQPHQWVPD\UHTXLUHVSHFLDODWWHQWLRQWRFRUURVLRQ
PLQLPXPDOORZWKHGHYLFHWRRSHUDWHDVLQWHQGHG SURWHFWLRQ&DUHPXVWEHXVHGZKHQFRPELQLQJGLV
DQG VKRZ QR VLJQV RI FRUURVLRQ ZKLFK LI OHIW XQ VLPLODUPHWDOVWRDYRLGDGYHUVHJDOYDQLFFRXSOHV
FKHFNHGFRXOGUHVXOWLQFRUURVLRQUHODWHGIDLOXUHRI
WKHGHYLFHDIWHUEHLQJVDOWVSUD\IRJWHVWHGIRU
KRXUVLQDFFRUGDQFHZLWKWKHPHWKRGGHVFULEHGLQ
UHIHUHQFH $IWHU WKH VDOW VSUD\ WHVW WKH 65/
OLQHVKDOOSD\RXWUHWUDFWDQGORFN5HWUDFWLRQWHQ
VLRQVKDOOEHDVVSHFLHGLQ
/LQH&RQVWLWXHQWRI65/
6\QWKHWLF 5RSH 5RSH XVHG DV D OLQH

FRQVWLWXHQWRI65/VKDOOEHPDGHRIYLUJLQV\QWKHWLF
PDWHULDOV KDYLQJ VWUHQJWK DJLQJ DEUDVLRQ UHVLV
WDQFHDQGKHDWUHVLVWDQFHFKDUDFWHULVWLFVHTXLYD
OHQWRUVXSHULRUWRSRO\DPLGHV:KHQVWDWLFDOO\WHVW
HG LQ DFFRUGDQFH ZLWK UHIHUHQFH V\QWKHWLF
URSH VKDOO KDYH D PLQLPXP EUHDNLQJ VWUHQJWK RI
SRXQGVN1
:HEELQJ :HEELQJ XVHG DV D OLQH FRQ

VWLWXHQWRI65/VKDOOEHPDGHRIYLUJLQV\QWKHWLFPD
WHULDOVKDYLQJVWUHQJWKDJLQJDEUDVLRQUHVLVWDQFH
DQG KHDW UHVLVWDQFH FKDUDFWHULVWLFV HTXLYDOHQW RU
VXSHULRUWRSRO\DPLGHV:HEELQJVKDOOKDYHDPLQL
PXPEUHDNLQJVWUHQJWKRISRXQGVN1LQ
DFFRUGDQFHZLWKUHIHUHQFH
:LUH5RSH:LUHURSHXVHGDVDOLQHFRQ ( 7KH SRXQG N1 PLQLPXP

VWLWXHQW RI 65/ VKDOO EH FRQVWUXFWHG RI VWDLQOHVV EUHDNLQJ VWUHQJWK UHTXLUHPHQW LV EDVHG RQ WKH
VWHHORUJDOYDQL]HGVWHHOVWUDQGKDYLQJDPLQLPXP UDWHG EUHDNLQJ VWUHQJWK RI LQFKHV PP
EUHDNLQJ VWUHQJWK RI SRXQGV N1 ZKHQ [VWDLQOHVVVWHHOZLUHURSH,:5&
WHVWHGLQDFFRUGDQFHZLWKUHIHUHQFH0$DQGPLQL
PXPQRPLQDOGLDPHWHURILQFKHVPP
7HUPLQDWLRQVRIWKHOLQHFRQVWLWXHQWVKDOO
EH GHVLJQHG VR DV WR PHHW WKH UHTXLUHPHQWV RI

5HWUDFWLRQWHQVLRQRQWKH65/OLQHLQDG (6HH)LJXUHVDQG

GLWLRQ WR WKDW UHTXLUHG WR UHWUDFW WKH ZHLJKW RI WKH
QHFRQVWLWXHQWVKDOOEHQRWOHVVWKDQSRXQGV
NJ QRU PRUH WKDQ SRXQGV NJ DW DQ\
HULFDQ1DWLRQ
$P DO
HG 6W
RY DQ
SU G
S D
$
UG
$0(5,&$162&,(7<2)

6$)(7<(1*,1((56

--```,`,,`,,`,,`,,,,`,,`,``,`-`-`,,`,,`,`,,`---

SRLQW LQ WKH UDQJH RI PRWLRQ SURYLGHG E\ WKH OLQH
FRQVWLWXHQWZKHQWHVWHGLQDFFRUGDQFHZLWK
1RPRUHWKDQLQFKHVPPRIWKHOLQHFRQ
VWLWXHQWPD\UHPDLQH[WHQGHGIURPWKH65/ZKHQ
IXOO\UHWUDFWHG
6WDWLF 6WUHQJWK :KHQ WHVWHG LQ DFFRU

GDQFHZLWKWKH65/VKDOOZLWKVWDQGDWHQ
VLOHORDGRISRXQGVN1VWDWLFDOO\DSSOLHG
GLUHFWO\ WR WKH SRLQW RI 65/ OLQH FRQQHFWLRQ WR WKH
65/GUXP
'\QDPLF 6WUHQJWK :KHQ WHVWHG LQ DF (6HH)LJXUH

FRUGDQFH ZLWK WKH 65/ VKDOO ORFN DQG UH
PDLQ ORFNHG XQWLO UHOHDVHG 7KH WHVW ZHLJKW VKDOO
QRWVWULNHWKHJURXQG7KHOLQHFRQVWLWXHQWQHHGQRW
UHWUDFW DIWHU SHUIRUPDQFH RI WKH G\QDPLF VWUHQJWK
WHVW7KHOLQHFRQVWLWXHQWVKDOOUHWDLQDPLQLPXPRI
SRXQGV N1 RI UHVLGXDO WHQVLOH VWUHQJWK
DIWHUWKHG\QDPLFWHVWZKHQWHVWHGLQDFFRUGDQFH
ZLWK UHIHUHQFH RU ZKLFK
HYHULVDSSOLFDEOH
'\QDPLF 3HUIRUPDQFH :KHQ WHVWHG LQ

DFFRUGDQFHZLWKWKH65/VKDOOORFNDQGUH
PDLQORFNHGXQWLOUHOHDVHG7KHDUUHVWGLVWDQFHVKDOO
QRWH[FHHGLQFKHVPP0D[LPXPDUUHVW
IRUFH VKDOO QRW H[FHHG SRXQGV N1 7KH
65/ PXVW SD\ RXW DQG UHWUDFW OLQH LQ DFFRUGDQFH
ZLWKDIWHUHDFKG\QDPLFSHUIRUPDQFHWHVW
,I WKH PDQXIDFWXUHU KDV LQGLFDWHG E\ PDUNLQJV RU
LQVWUXFWLRQV WKDW WKH 65/ PD\ EH XVHG WR DUUHVW
PRUH WKDQ RQH IDOO WKH G\QDPLF SHUIRUPDQFH UH
TXLUHPHQWVVKDOOEHPHWLQDWRWDORIWKUHHVXFFHV
VLYH WHVWV $GGLWLRQDOO\ WKH G\QDPLF SHUIRUPDQFH
UHTXLUHPHQWVVKDOOEHPHWDIWHUFRQGLWLRQLQJLQDF
FRUGDQFHZLWKWKHSURFHGXUHVJLYHQLQ2QH
WHVWLVUHTXLUHGIRUHDFKFRQGLWLRQLQJSURFHGXUH$
QHZ65/PD\EHXVHGIRUHDFKFRQGLWLRQLQJ
6XEV\VWHP5HTXLUHPHQWV6XEV\VWHPVFRP (6HSDUDWHWHVWVSHFLPHQVPD\EHXVHGIRUWHVW
SULVHGRILQGHSHQGHQWFRPSRQHQWVZKLFKPHHWWKH LQJFRQVWLWXHQWVDQGWHVWLQJHQWLUHLQWHJUDOV\VWHPV
UHTXLUHPHQWVRIVKDOOEHFRQVLGHUHGLQFRPSOL DQG LQWHJUDO VXEV\VWHPV &RQVWLWXHQWV LQWHJUDO
DQFHZLWKWKLVVWDQGDUGSURYLGHGWKDWDWKHXVHU VXEV\VWHPV DQG LQWHJUDO V\VWHPV DUH WHVWHG RQO\
VWULFWO\DGKHUHVWR6HFWLRQVDQGDQGEWKH RQFH 1HZ WHVW VSHFLPHQV PD\ EH XVHG IRU HDFK
V\VWHPZKLFKLQFRUSRUDWHVWKHVXEV\VWHPRILQGH FRQVWLWXHQWVXEV\VWHPDQGV\VWHPWHVW&RQVWLWX
SHQGHQWFRPSRQHQWVPHHWVWKHUHTXLUHPHQWVRI HQWVXVHGIRUWHVWVSHFLPHQVPD\EHSURGXFHGGL
,QWHJUDOVXEV\VWHPVVKDOOPHHWDOOWKHUHTXLUHPHQWV UHFWO\ UDWKHU WKDQ EH REWDLQHG E\ VHSDUDWLRQ IURP
RIWKHDSSOLFDEOHVXEVHFWLRQVRI6HFWLRQ WKHIXOO\DVVHPEOHGLQWHJUDOV\VWHPRUVXEV\VWHP
--```,`,,`,,`,,`,,,,`,,`,``,`-`-`,,`,,`,`,,`---
HULFDQ1DWLRQ
$P DO
HG 6W
RY DQ
SU G
S D
$
UG
$0(5,&$162&,(7<2)

6$)(7<(1*,1((56

)XOO %RG\ +DUQHVV ZLWK ,QWHJUDO /DQ\DUG (6HH)LJXUH

)%+ / 7KH KDUQHVV DQG ODQ\DUG FRQVWLWXHQWV
RI)%+/LQWHJUDOVXEV\VWHPVVKDOOEHLQGHSHQ
GHQWO\ HYDOXDWHG DQG VKDOO PHHW WKH UHTXLUHPHQWV
RIDQG7KHOHQJWKRIWKHODQ\DUGFRQ
VWLWXHQWVKDOOQRWH[FHHGVL[IHHWPIURPEHDU
LQJSRLQWRQWKHKDUQHVVGRUVDO'5LQJWREHDULQJ
SRLQWRQWKHHQGRIWKHODQ\DUGIXUWKHUPRVWIURPWKH
KDUQHVV:KHQWKHFRPSOHWHLQWHJUDOVXEV\VWHPLV
WHVWHG LQ DFFRUGDQFH ZLWK WKH PD[LPXPDU
UHVW IRUFH 0$) VKDOO QRW H[FHHG SRXQGV
N1DQGWKHIDOOVKDOOEHEURXJKWWRDFRPSOHWH
VWRSZLWKDGHFHOHUDWLRQGLVWDQFHRIQRWPRUHWKDQ
--```,`,,`,,`,,`,,,,`,,`,``,`-`-`,,`,,`,`,,`---
LQFKHVPP,QVXVSHQVLRQDIWHUWKHIDOOLV
DUUHVWHGWKHDQJOHDWUHVWZKLFKWKHYHUWLFDOFHQWHU
OLQH RI WKH WRUVR PDNHV ZLWK WKH YHUWLFDO VKDOO QRW
H[FHHGGHJUHHV
)XOO %RG\ +DUQHVV ZLWK ,QWHJUDO (QHUJ\

$EVRUEHU )%+ ($ 7KH KDUQHVV DQG HQHUJ\
DEVRUEHUFRQVWLWXHQWVRI)%+($LQWHJUDOVXE
V\VWHPV ZKHQ LQGHSHQGHQWO\ HYDOXDWHG DQG WHVW
HGVKDOOPHHWWKHUHTXLUHPHQWVRIDQG
7KHOHQJWKRIWKHHQHUJ\DEVRUEHUFRQVWLWXHQWVKDOO
QRW H[FHHG VL[ IHHW P IURP EHDULQJ SRLQW RQ
WKHKDUQHVVGRUVDO'5LQJWREHDULQJSRLQWRQWKH
HQHUJ\DEVRUEHUIXUWKHUPRVWIURPWKHKDUQHVV)RU
WKHSXUSRVHRIVXFKWHVWLQJDWWDFKWRWKHIUHHHQG
RIWKHHQHUJ\DEVRUEHUDWHVWODQ\DUGDVVSHFLHG
LQKDYLQJVXIFLHQWOHQJWKWRSHUPLWDVL[IRRW
P IUHH IDOO RI WKH WHVW WRUVR :KHQ WKH FRP
SOHWH LQWHJUDO VXEV\VWHP LV WHVWHG LQ DFFRUGDQFH
ZLWK WKH PD[LPXP DUUHVW IRUFH 0$) VKDOO
QRWH[FHHGSRXQGVN1DQGWKHIDOOVKDOO
EHEURXJKWWRDFRPSOHWHVWRSZLWKDGHFHOHUDWLRQ
GLVWDQFH RI QRW PRUH WKDQ LQFKHV PP
,Q VXVSHQVLRQ DIWHU WKH IDOO LV DUUHVWHG WKH DQJOH
DW UHVW ZKLFK WKH YHUWLFDO FHQWHU OLQH RI WKH WHVW
WRUVR PDNHV ZLWK WKH YHUWLFDO VKDOO QRW H[FHHG
GHJUHHV

$EVRUEHUDQG/DQ\DUG)%+($/7KHKDU
QHVV HQHUJ\ DEVRUEHU DQG ODQ\DUG FRQVWLWXHQWV
RI )%+ ($ / LQWHJUDO VXEV\VWHPV ZKHQ LQ
GHSHQGHQWO\ HYDOXDWHG DQG WHVWHG VKDOO PHHW WKH
UHTXLUHPHQWVRIDQGWR
7KH FRPELQHG RYHUDOO OHQJWK RI WKH HQHUJ\ DE
HULFDQ1DWLRQ
$P DO
HG 6W
RY DQ
SU G
S D
$
UG
$0(5,&$162&,(7<2)

6$)(7<(1*,1((56

VRUEHUDQGODQ\DUGVKDOOQRWH[FHHGVL[IHHWP
IURP EHDULQJ SRLQW RQ WKH KDUQHVV GRUVDO '5LQJ
WREHDULQJSRLQWRQWKHHQGRIWKHHQHUJ\DEVRUEHU
DQG ODQ\DUG IXUWKHUPRVW IURP WKH KDUQHVV :KHQ
WKH FRPSOHWH LQWHJUDO VXEV\VWHP LV WHVWHG LQ DF
FRUGDQFH ZLWK WKH PD[LPXP DUUHVW IRUFH
0$)VKDOOQRWH[FHHGSRXQGVN1DQG
WKHIDOOVKDOOEHEURXJKWWRDFRPSOHWHVWRSZLWKD
GHFHOHUDWLRQ GLVWDQFH RI QRW PRUH WKDQ LQFKHV
PP,QVXVSHQVLRQDIWHUWKHIDOOLVDUUHVWHG
WKHDQJOHDWUHVWZKLFKWKHYHUWLFDOFHQWHUOLQHRIWKH
WHVWWRUVRPDNHVZLWKWKHYHUWLFDOVKDOOQRWH[FHHG
GHJUHHV
/DQ\DUG ZLWK ,QWHJUDO (QHUJ\ $EVRUEHU

/($7KHODQ\DUGDQGHQHUJ\DEVRUEHUFRQ
VWLWXHQWV RI / ($ LQWHJUDO VXEV\VWHPV ZKHQ
LQGHSHQGHQWO\ HYDOXDWHG DQG WHVWHG VKDOO PHHW
WKH UHTXLUHPHQWV RI WR DQG
:KHQWKHFRPSOHWHLQWHJUDOVXEV\VWHPLVWHVWHGLQ
DFFRUGDQFH ZLWK WKH PD[LPXP DUUHVW IRUFH
0$)VKDOOQRWH[FHHGSRXQGVN1DQG
WKHIDOOVKDOOEHEURXJKWWRDFRPSOHWHVWRSZLWKD
GHFHOHUDWLRQ GLVWDQFH RI QRW PRUH WKDQ LQFKHV
PP
9HUWLFDO /LIHOLQH 6XEV\VWHP 9//66

&RPSRQHQWVFRPSULVLQJ9//66VKDOOPHHWWKHUH
TXLUHPHQWV IRU WKRVH FRPSRQHQWV VHW IRUWK LQ WKLV
VWDQGDUG6XEV\VWHPFRQQHFWLRQVVKDOOEHJHRPHW
ULFDOO\FRPSDWLEOHWRUHGXFHWKHSRVVLELOLW\RIUROORXW
,QWHJUDOFRQQHFWLRQVVXFKDVVSOLFLQJVKDOOEHPDGH
LQ DFFRUGDQFH ZLWK WKH UHTXLUHPHQWV IRU YHUWLFDO
OLIHOLQHV9//66VKDOOKDYHDPLQLPXPVWUHQJWKRI
SRXQGVN1
)DOO $UUHVWHU &RQQHFWLQJ 6XEV\VWHP (&HUWDLQFRQQHFWLQJVXEV\VWHPVPD\QRWEH

)$&66&RPSRQHQWVFRPSULVLQJD)$&66VKDOO VXLWDEOHIRUXVHZLWKDSDUWLFXODUPDQXIDFWXUHUVIDOO
PHHW WKH UHVSHFWLYH UHTXLUHPHQWV IRU WKH )$&66 DUUHVWHURUYLFHYHUVD
FRPSRQHQWSDUWVVHWIRUWKLQWKLVVWDQGDUG6XEV\V
WHP FRQQHFWRUV VKDOO EH JHRPHWULFDOO\ FRPSDWLEOH
WRUHGXFHWKHSRVVLELOLW\RIUROORXW,QWHJUDOFRQQHF
WLRQV HJ VSOLFLQJ VKDOO EH PDGH LQ DFFRUGDQFH
ZLWKWKHUHTXLUHPHQWVIRUODQ\DUGVYHUWLFDOOLIHOLQHV
YHUWLFDO OLIHOLQH VXEV\VWHPV RU HQHUJ\ DEVRUEHUV
DV DSSOLFDEOH VHW IRUWK KHUHLQ 7KH OHQJWK RI WKDW
SRUWLRQRIWKH)$&66EHWZHHQWKHIDOODUUHVWHUDQG
IDOODUUHVWDWWDFKPHQWRQWKHKDUQHVVVKDOOQRWH[
FHHGLQFKHVPP
HULFDQ1DWLRQ
$P DO
HG 6W
RY DQ
SU G
S D
$
UG
$0(5,&$162&,(7<2)

6$)(7<(1*,1((56

--```,`,,`,,`,,`,,,,`,,`,``,`-`-`,,`,,`,`,,`---

:KHQWHVWHGLQDFFRUGDQFHZLWKWKHG\QDP (6HH$16,$66(=DQG)LJXUH
LF SHUIRUPDQFH WHVW LQ WKH IDOO DUUHVWHU VKDOO
--```,`,,`,,`,,`,,,,`,,`,``,`-`-`,,`,,`,`,,`---
ORFNRQWKHOLIHOLQHDQGUHPDLQORFNHGXQWLOUHOHDVHG
$UUHVWGLVWDQFHVKDOOEHQRWJUHDWHUWKDQLQFKHV
PP7KHPD[LPXPDUUHVWIRUFHVKDOOQRWH[
FHHGSRXQGVN1
:KHQ WHVWHG LQ DFFRUGDQFH ZLWK WKH G\ (6HH)LJXUH

QDPLF VWUHQJWK WHVW LQ WKH IDOO DUUHVWHU VKDOO
ORFNRQWKHOLIHOLQHDQGUHPDLQORFNHGXQWLOUHOHDVHG
7KHOLIHOLQHVKDOOUHWDLQDPLQLPXPVWUHQJWKRI
SRXQGV N1 WHQVLOH VWUHQJWK 7KH WHVW ZHLJKW
VKDOO QRW VWULNH WKH JURXQG 1R FRPSRQHQW FRQ
VWLWXHQWRUHOHPHQWVKDOOVKRZVLJQVRIEUHDNLQJRU
IDLOXUH
7KH UHTXLUHPHQWV RI WKLV VHFWLRQ VKDOO DS (%HIRUHXVLQJDOLIHOLQHQRWVXSSOLHGE\WKH

SO\WRHDFKOLIHOLQHW\SHDOORZHGIRUXVHZLWKWKHIDOO IDOODUUHVWHUPDQXIDFWXUHUWKHXVHUVKRXOGSHUIRUP
DUUHVWHU RUKDYHSHUIRUPHGWKHTXDOLFDWLRQWHVWLQJRIVXFK
OLIHOLQHVLQDFFRUGDQFHZLWKDOOUHTXLUHPHQWVRIWKLV
VWDQGDUG
)DOO DUUHVWHUV DQG OLIHOLQHV ZKLFK DUH LQ (6LQFHPDQ\HQYLURQPHQWDOFRQGLWLRQVDUH

WHQGHGIRUXVHLQDGYHUVHRUH[WUHPHHQYLURQPHQWV SRVVLEOHLWLVQRWSUDFWLFDOWRDGGUHVVHDFKZLWKLQ
VKDOOPHHWWKHUHTXLUHPHQWVRI6HFWLRQDIWHU WKLVVWDQGDUG
VXEMHFWLQJ WKH FRPSRQHQWV WR FRQGLWLRQLQJ SURFH
GXUHVEHIRUHSHUIRUPLQJWKHVSHFLHGWHVWV
6HOI5HWUDFWLQJ/DQ\DUG&RQQHFWLQJ6XE ( ,W LV UHFRPPHQGHG WKDW WKH PDQXIDFWXUHU

V\VWHPV(QHUJ\DEVRUEHUVZKLFKDUHLQWHJUDOWR RIWKH65/EHFRQVXOWHGSULRUWRDVVHPEO\RIVXFK
WKH65/VKDOOPHHWWKHUHTXLUHPHQWVRI7KH FRQQHFWLQJVXEV\VWHPV
65/VKDOOPHHWWKHUHTXLUHPHQWVRI7KHLQWH
JUDO65/($VXEV\VWHPVKDOOPHHWWKHUHTXLUH
PHQWVRIDVDSSOLFDEOH:LWKWKHHQHUJ\DE
VRUEHUDWWDFKHGWKH65/VKDOOPHHWWKHUHWUDFWLRQ
UHTXLUHPHQWVRIDQGQRWH[FHHGWKHLQFK
PPOLPLWVWDWHGWKHUHLQ
48$/,),&$7,217(67,1*
7HVW(TXLSPHQWDQG7HVW6SHFLPHQV
'URS7HVW6WUXFWXUH7KHGURSWHVWVWUXFWXUH (7KHHODVWLFGHIRUPDWLRQRIWKHWHVWDQFKRUDJH
VKDOO KDYH VXIFLHQW KHLJKW DQG ODWHUDO FOHDUDQFH DQGWHVWDQFKRUDJHFRQQHFWRUPD\EHGHWHUPLQHG
ZLWKLQ WKH GURS ]RQH EHQHDWK WKH WHVW DQFKRUDJH E\PHDQVRIWKHRUHWLFDOFDOFXODWLRQVSHUIRUPHGDQG
RU DQFKRUDJH FRQQHFWRU RQ WKH VWUXFWXUH WR SHU FHUWLHGE\DTXDOLHGSHUVRQ
IRUPWKHGURSWHVWVUHTXLUHGE\WKLVVWDQGDUGZLWK
RXWPHPEHUVRIWKHVWUXFWXUHRULWVEDVHLQWHUIHULQJ
HULFDQ1DWLRQ
$P DO
HG 6W
RY DQ
SU G
S D
$
UG
$0(5,&$162&,(7<2)

6$)(7<(1*,1((56

ZLWKRUREVWUXFWLQJWKHGURSVEHIRUHWHUPLQDWLRQRI
WKHWHVWV7KHUHTXLUHGPLQLPXPQDWXUDOIUHTXHQF\
RI WKH GURS WHVW VWUXFWXUH VKDOO EH +] ZKHQ
PHDVXUHGDORQJWKHYHUWLFDOD[LVWKURXJKWKHSRLQW
RQ WKH WHVW DQFKRUDJH RU DQFKRUDJH FRQQHFWRU WR
ZKLFKWKHWHVWVSHFLPHQLVDWWDFKHG7KHSHUPLWWHG
PD[LPXPHODVWLFGHIRUPDWLRQRIWKHWHVWDQFKRUDJH
DQG WHVW DQFKRUDJH FRQQHFWRU DW WKH SRLQW RI DW
WDFKPHQWRIWKHWHVWVSHFLPHQVKDOOEHLQFKHV
PPZKHQVXEMHFWHGWRDYHUWLFDOVWDWLFORDGRI
SRXQGVN1
7HVW :HLJKW 7ZR WHVW ZHLJKWV DUH UHTXLUHG (7KHSRXQGNJWHVWZHLJKWDGRSWHG
E\ WKLV VWDQGDUG 7KH WHVW ZHLJKWV VKDOO EH RI D E\WKLVVWDQGDUGLVWKHVDPHDVWKDWVSHFLHGE\WKH
ULJLG VWHHO FRQVWUXFWLRQ LQ DFFRUGDQFH ZLWK WKH GL &DQDGLDQ6WDQGDUG=6HH5HIHUHQFH
PHQVLRQV VHW IRUWK LQ )LJXUH :KHUH G\QDPLF
SHUIRUPDQFHWHVWLQJLVUHTXLUHGH[FHSWZKHUHWKH
WHVW WRUVR VSHFLHG LQ LV XVHG LQ FRQMXQFWLRQ
ZLWKWHVWLQJWKDWLQYROYHVDIXOOERG\KDUQHVVWKH
WHVWZHLJKWVKDOOZHLJKSRXQGVWZRSRXQGV
NJNJ:KHUHG\QDPLFVWUHQJWKWHVWLQJ
LVUHTXLUHGWKHWHVWZHLJKWVKDOOZHLJKSRXQGV
WKUHHSRXQGVNJNJ
7HVW 7RUVR 7KH WRUVR VKDSHG WHVW ZHLJKW ( 7KH WHVW WRUVR DGRSWHG E\ WKLV VWDQGDUG LV
XVHG IRU WHVWLQJ KDUQHVVHV VKDOO EH FRQVWUXFWHG WKHVDPHDVWKDWVSHFLHGE\&DQDGLDQ6WDQGDUGV
RIULJLGPDWHULDOZLWKKDUGZRRGVXUIDFHVLQDFFRU $VVRFLDWLRQ 6WDQGDUG &$1&6$ =0
GDQFHZLWKWKHGLPHQVLRQVVHWIRUWKLQ)LJXUHV 6HH5HIHUHQFH
DQGDQGVKDOOZHLJKSRXQGVWZRSRXQGV
NJNJ
7HVW /DQ\DUG 7KH WHVW ODQ\DUG WR EH XVHG

LQ SHUIRUPLQJ G\QDPLF WHVWV VKDOO EH IDEULFDWHG
IURP 7\SH VWDLQOHVV VWHHO [ DLUFUDIW FDEOH
FRQVWUXFWLRQLQDFFRUGDQFHZLWKUHIHUHQFH,W
VKDOO KDYH D GLDPHWHU LQFK PP DQG VKDOO
--```,`,,`,,`,,`,,,,`,,`,``,`-`-`,,`,,`,`,,`---
KDYHDOHQJWKUHTXLUHGE\WKHWHVWWREHFRQGXFWHG
HTXLSSHG ZLWK VQDSKRRNV DW HDFK HQG DQG PHD
VXUHGIURPEHDULQJSRLQWWREHDULQJSRLQWEHWZHHQ
VQDSKRRNVZKHQWKHODQ\DUGLVXQGHUDWHQVLRQRI
WHQSRXQGV17RSUHYHQWVOLSSDJHWKHODQ\DUG
H\HV VKDOO EH IRUPHG E\ HPLVK H\H VSOLFHV DQG
VHFXUHGZLWKVZDJHGWWLQJV
7HVW,QVWUXPHQWDWLRQ7KHG\QDPLFWHVWLQ (6HH)LJXUHFIRUDQH[DPSOHRIWHVWLQVWUX
VWUXPHQWDWLRQVKDOOFRQVLVWRIDORDGFHOOWUDQVGXF PHQWDWLRQ
HUDQGRWKHUDPSOLFDWLRQOWUDWLRQDQGUHFRUGLQJ
HTXLSPHQWDVQHFHVVDU\WRPHHWWKHDGGLWLRQDOUH
TXLUHPHQWV RI WKLV VHFWLRQ 7KH ORDG FHOO VKDOO EH
HULFDQ1DWLRQ
$P DO
HG 6W
RY DQ
SU G
S D
$
UG
$0(5,&$162&,(7<2)

6$)(7<(1*,1((56

DWWDFKHG VHFXUHO\ WR WKH DQFKRUDJH RU DQFKRUDJH

FRQQHFWRURQWKHWHVWVWUXFWXUH,WVKDOOEHFDSDEOH
RI UHJLVWHULQJ PRPHQWDU\ SHDN ORDGV XS WR
SRXQGV N1 7KH UHFRUGLQJ GDWD FKDQQHO VKDOO
KDYH D PLQLPXP VDPSOLQJ UDWH RI VDPSOHV
SHUVHFRQGDQGDQDFWLYHIUHTXHQF\UHVSRQVHEDQG
XSWRDFRUQHUIUHTXHQF\RI+]SOXVG%PL
QXVG%
4XLFN5HOHDVH0HFKDQLVP7KHWHVWZHLJKW
RU WHVW WRUVR ZKLFKHYHU LV DSSOLFDEOH VKDOO EH UH
--```,`,,`,,`,,`,,,,`,,`,``,`-`-`,,`,,`,`,,`---
OHDVHGE\DUHPRWHO\RSHUDWHGTXLFNUHOHDVHPHFK
DQLVP ZKLFK VKDOO UHOHDVH WKH WHVW ZHLJKW RU WHVW
WRUVRZLWKRXWLPSDUWLQJDQ\PRWLRQWRLW7KHTXLFN
UHOHDVHPHFKDQLVPVKDOOV\QFKURQRXVO\WULJJHUUH
FRUGLQJWKURXJKWKHGDWDFKDQQHOXSRQUHOHDVHRI
WKH WHVW ZHLJKW RU WHVW WRUVR $OWHUQDWLYH PHWKRGV
RI WULJJHULQJ WKH GDWD FKDQQHO PD\ EH XVHG SUR
YLGHG WKH GDWD FKDQQHO WULJJHUV FRRUGLQDWLRQ ZLWK
WKHTXLFNUHOHDVHPHFKDQLVPDOORZVFDSWXUHRIWKH
HQWLUHIDOODUUHVWWLPHKLVWRU\
6WDWLF7HQVLOH7HVW(TXLSPHQW7KHVWDWLF
WHQVLOHWHVWHTXLSPHQWVKDOOSXOODWDXQLIRUPUDWHRI
QRWJUHDWHUWKDQWZRLQFKHVSHUPLQXWHPPSHU
PLQXWHDQGVKDOOPHDVXUHIRUFHZLWKLQDQDFFXUDF\
SOXVRUPLQXVWKUHHSHUFHQWRIWKHVSHFLHGORDG
7HVW6SHFLPHQV7HVWVSHFLPHQVIRUTXDOL
FDWLRQWHVWLQJVKDOOEHQHZDQGLQXQXVHGFRQGLWLRQ
VHOHFWHGUDQGRPO\IURPWKHLQLWLDOSURGXFWLRQORWRI
DJLYHQPRGHORIHTXLSPHQW7KH\VKDOOFRQIRUPLQ
DOOUHVSHFWVWRWKHPDQXIDFWXUHUVVSHFLFDWLRQVIRU
WKHPRGHOWREHWHVWHG
7HQVLRQ 7HVW *DJH 7KH WHQVLRQ WHVW JDJH

VKDOOEHFDSDEOHRIPHDVXULQJVWDWLFWHQVLOHIRUFHV
LQWKHUDQJHIURPRQHSRXQG1WRSRXQGV
1 ZLWK DQ DFFXUDF\ SOXV RU PLQXV RQH SHU
FHQW
6\VWHPDQG6XEV\VWHP4XDOLFDWLRQ7HVW (6HSDUDWHWHVWVSHFLPHQVPD\EHXVHGIRUWHVW
LQJ 6\VWHPV FRPSULVHG HQWLUHO\ RI LQGHSHQGHQW LQJFRQVWLWXHQWVDQGWHVWLQJHQWLUHLQWHJUDOV\VWHPV
FRPSRQHQWV DQG LQWHJUDO VXEV\VWHPV ZKLFK PHHW DQG VXEV\VWHPV &RQVWLWXHQWV LQWHJUDO VXEV\V
DOO UHTXLUHPHQWV RI 6HFWLRQ DQG ZKLFK SDVV WKH WHPV DQG LQWHJUDO V\VWHPV DUH WHVWHG RQO\ RQFH
TXDOLFDWLRQ WHVWLQJ VSHFLHG WKHUHLQ VKDOO QRW EH 1HZ WHVW VSHFLPHQV PD\ EH XVHG IRU HDFK FRQ
UHTXLUHG WR XQGHUJR IXUWKHU V\VWHP TXDOLFDWLRQ VWLWXHQWVXEV\VWHPDQGV\VWHPWHVW&RQVWLWXHQWV
WHVWLQJDVVHWIRUWKLQWKHVXEVHFWLRQVRIWKLV6HF XVHGIRUWHVWVSHFLPHQVPD\EHSURGXFHGGLUHFWO\
WLRQ,QWHJUDOV\VWHPVDQGLQWHJUDOVXEV\VWHPV UDWKHUWKDQEHREWDLQHGE\VHSDUDWLRQIURPWKHIXOO\
HULFDQ1DWLRQ
$P DO
HG 6W
RY DQ
SU G
S D
$
UG
$0(5,&$162&,(7<2)

6$)(7<(1*,1((56

VKDOO XQGHUJR WKH DSSOLFDEOH TXDOLFDWLRQ WHVWLQJ DVVHPEOHGLQWHJUDOV\VWHPRUVXEV\VWHP

VHWIRUWKLQVXEVHFWLRQVRIWKLV6HFWLRQ7KHWHVW
HTXLSPHQW DQG WHVW VSHFLPHQV VKDOO PHHW WKH UH
TXLUHPHQWVRI
)XOO %RG\ +DUQHVV ZLWK ,QWHJUDO /DQ\DUG (6HSDUDWHWHVWVSHFLPHQVPD\EHXVHGIRU

)%+/ DWHVWLQJWKHFRQVWLWXHQWVDQGEWHVWLQJWKHHQ
WLUHV\VWHPVXEV\VWHP&RQVWLWXHQWVXVHGIRUWKH
WHVW VSHFLPHQV PD\ EH SURGXFHG GLUHFWO\ UDWKHU
WKDQ EH REWDLQHG E\ VHSDUDWLRQ IURP WKH IXOO\ DV
VHPEOHGV\VWHPVXEV\VWHP
&RQVWLWXHQW7HVWLQJ+DUQHVVDQGODQ\DUG
FRQVWLWXHQWV RI LQWHJUDO )%+ / V\VWHPV DQG
VXEV\VWHPV VKDOO EH WHVWHG LQGHSHQGHQWO\ LQ DF
FRUGDQFH ZLWK WKH SURFHGXUHV LQ DQG
,QDGGLWLRQWKHWHVWLQRIWKHLQWHJUDOV\VWHP
VXEV\VWHPVKDOOEHSHUIRUPHG
,QWHJUDO6\VWHPDQG,QWHJUDO6XEV\VWHP
7HVWLQJ3XWWKHKDUQHVVRQWKHWHVWWRUVRIDVWHQ
DOOEXFNOHVDQGDGMXVWLWVQXJO\DVWKRXJKWKHWRUVR
ZHUHDSHUVRQ$WWDFKWKHIUHHHQGRIWKHODQ\DUGWR
WKHORDGFHOOFRQQHFWHGWRWKHWHVWVWUXFWXUH$WWDFK
WKHTXLFNUHOHDVHPHFKDQLVPWRWKHWHVWWRUVRQHFN
ULQJIRUIHHWUVWGURSDQGFURWFKULQJIRUKHDGUVW
GURS5DLVHWKHWHVWWRUVRWRDOHYHOZKLFKZLOODO
ORZDVL[IRRWPPIUHHIDOORUWKHPD[LPXP
SHUPLWWHG E\ WKH ODQ\DUG ZKLFKHYHU LV OHVV XSRQ
UHOHDVHRIWKHWHVWWRUVR7KHWRUVRVKDOOEHUHOHDVHG
IURPDSRLQWQRPRUHWKDQLQFKHVPPPHD
VXUHGKRUL]RQWDOO\IURPWKHSRLQWRIWKHODQ\DUGFRQ
--```,`,,`,,`,,`,,,,`,,`,``,`-`-`,,`,,`,`,,`---
QHFWLRQWRWKHORDGFHOO5HOHDVHWKHWRUVRXVLQJWKH
TXLFNUHOHDVHPHFKDQLVP0HDVXUHDQGUHFRUGWKH
PD[LPXP DUUHVW IRUFH DQG GHFHOHUDWLRQ GLVWDQFH
$IWHUWKHGURSWKHWRUVRLVWRUHPDLQVXVSHQGHGE\
WKHKDUQHVVIRUDSHULRGRIYHPLQXWHV'XULQJWKH
SRVWIDOO VXVSHQVLRQ SHULRG PHDVXUH DQG UHFRUG
WKH DQJOH DW UHVW 3HUIRUP WKH WHVW RQFH HDFK IRU
DIHHWUVWDQGDKHDGUVWGURS$QHZWHVWVSHFL
PHQPD\EHXVHGIRUHDFKWHVW&RPSDUHWKHWHVW
UHVXOWVWRWKHUHTXLUHPHQWVVHWIRUWKLQ

$EVRUEHUDQG/DQ\DUG)%+($DQG)%+
($/)RULQWHJUDO)%+($/V\VWHPVWKH
)%+FRQVWLWXHQWDQGWKH($/FRQVWLWXHQWVKDOO
PHHWWKHUHTXLUHPHQWVRIDQGLQFOXGLQJ
WKHWHVWVVHWIRUWKWKHUHLQ,QDGGLWLRQWKHFRPSOHWH
HULFDQ1DWLRQ
$P DO
HG 6W
RY DQ
SU G
S D
$
UG
$0(5,&$162&,(7<2)

6$)(7<(1*,1((56

LQWHJUDOV\VWHPVKDOOEHWHVWHGLQDFFRUGDQFHZLWK
&RPSDUH WKH WHVW UHVXOWV WR WKH UHTXLUH
PHQWVVHWIRUWKLQ
)XOO%RG\+DUQHVVZLWK)DOO$UUHVWHUDQG
9HUWLFDO /LIHOLQH )%+ )$ 9// )RU LQWHJUDO
)%+ )$ 9// V\VWHPV WKH )%+ FRQVWLWXHQW
DQGWKH)$9//VKDOOPHHWWKHUHTXLUHPHQWVRI
DQGLQFOXGLQJWKHWHVWVVHWIRUWKWKHUH
LQ ,Q DGGLWLRQ WKH FRPSOHWH LQWHJUDO V\VWHP VKDOO
EHWHVWHGLQDFFRUGDQFHZLWK&RPSDUHWKH
WHVW UHVXOWV WR WKH UHTXLUHPHQWV VHW IRUWK LQ
)RUWKHSXUSRVHRIVXFKWHVWLQJQRODQ\DUGLVXVHG
EHWZHHQWKHKDUQHVVDQGIDOODUUHVWHU
)XOO%RG\+DUQHVVZLWK/DQ\DUG)DOO$U
UHVWHUDQG9HUWLFDO/LIHOLQH
)%+/)$9//
&RQVWLWXHQW7HVWLQJ)RULQWHJUDO)%+
/ )$ 9// V\VWHPV WKH )%+ FRQVWLWXHQW WKH
/FRQVWLWXHQWDQGWKH)$9//FRQVWLWXHQWVKDOO
PHHW WKH UHTXLUHPHQWV RI DQG
LQFOXGLQJWKHWHVWVVHWIRUWKWKHUHLQ,QDGGLWLRQWKH
FRPSOHWHLQWHJUDOV\VWHPVKDOOEHWHVWHGLQDFFRU
--```,`,,`,,`,,`,,,,`,,`,``,`-`-`,,`,,`,`,,`---
GDQFHZLWK&RPSDUHWKHWHVWUHVXOWVWRWKH
UHTXLUHPHQWVVHWIRUWKLQ
,QWHJUDO6\VWHP7HVWLQJ3XWWKHKDUQHVV
RQ WKH WHVW WRUVR IDVWHQ DOO EXFNOHV DQG DGMXVW LW
VQXJO\DVWKRXJKWKHWRUVRZHUHDSHUVRQ&RQQHFW
WKH9//WRWKHORDGFHOORQWKHWHVWVWUXFWXUHLQDF
FRUGDQFHZLWKWKHPDQXIDFWXUHUVLQVWUXFWLRQV3R
VLWLRQWKH)$RQWKH9//LQFKHVPPIURP
WKHHQGRIWKH9//ZKLFKLVFRQQHFWHGWRWKHORDG
FHOO1RWHWKDWIDOODUUHVWHUVZKLFKDUHGHVLJQHGWR
IUHHO\WUDYHOXSDQGGRZQWKH9//ZLWKRXWPDQLSX
ODWLRQE\WKHXVHUVKDOOEHVXSSRUWHGE\WKHODQ\DUG
EHWZHHQWKH)$DQG)%+SULRUWRGURSSLQJWKHWHVW
WRUVRLHWKH)$LVQRWWREHORFNHGRQWRWKH9//
SULRU WR GURSSLQJ WKH WHVW WRUVR $WWDFK WKH TXLFN
UHOHDVHPHFKDQLVPWRWKHWHVWWRUVRQHFNULQJIRU
IHHWUVW GURS DQG FURWFK ULQJ IRU KHDGUVW GURS
5DLVHWKHWHVWWRUVRWRDOHYHOZKLFKZLOODOORZDVL[
IRRWPPIUHHIDOORUWKHPD[LPXPSHUPLWWHG
E\WKHODQ\DUGZKLFKHYHULVOHVVXSRQUHOHDVHRI
WKH WHVW WRUVR 7KH WRUVR VKDOO EH UHOHDVHG IURP D
SRLQWQRPRUHWKDQLQFKHVPPKRUL]RQWDOO\
IURPWKHFHQWHUOLQHRIWKH9//WRWKHIDOODUUHVWDW
HULFDQ1DWLRQ
$P DO
HG 6W
RY DQ
SU G
S D
$
UG
$0(5,&$162&,(7<2)

6$)(7<(1*,1((56

WDFKPHQWRQWKH)%+5HOHDVHWKHWRUVRXVLQJWKH
TXLFNUHOHDVHPHFKDQLVP$IWHUWKHGURSWKHWRUVR
LVWRUHPDLQVXVSHQGHGE\WKHKDUQHVVIRUDSHULRG
RIYHPLQXWHV
)XOO %RG\ +DUQHVV ZLWK (QHUJ\ $EVRUE

HU )DOO $UUHVWHU DQG 9HUWLFDO /LIHOLQH )%+
($ )$ 9// )RU LQWHJUDO )%+ ($ )$
9//V\VWHPVWKH)%+DQG($FRQVWLWXHQWVVKDOO
EHVHSDUDWHGIURPWKH)$9//FRQVWLWXHQWDQG
HDFK FRQVWLWXHQW VKDOO EH LQGHSHQGHQWO\ WHVWHG LQ
DFFRUGDQFH ZLWK WKH SURFHGXUHV LQ
DQG,QDGGLWLRQWKHIROORZLQJWHVWVKDOOEHSHU
IRUPHG3XWWKHKDUQHVVRQWKHWHVWWRUVRIDVWHQDOO
EXFNOHV DQG DGMXVW LW VQXJO\ DV WKRXJK WKH WRUVR
ZHUHDSHUVRQ&RQQHFWWKH9//WRWKHORDGFHOORQ
WKHWHVWVWUXFWXUHLQDFFRUGDQFHZLWKWKHPDQXIDF
WXUHUVLQVWUXFWLRQV3RVLWLRQWKH)$RQWKH9//
LQFKHVPPIURPWKHHQGRIWKH9//ZKLFKLV
FRQQHFWHGWRWKHORDGFHOO1RWHWKDWIDOODUUHVWHUV
ZKLFK DUH GHVLJQHG WR IUHHO\ WUDYHO XS DQG GRZQ
WKH9//ZLWKRXWPDQLSXODWLRQE\WKHXVHUVKDOOEH
VXSSRUWHGE\WKHHQHUJ\DEVRUEHUEHWZHHQWKH)$
DQG)%+SULRUWRGURSSLQJWKHWHVWWRUVRLHWKH)$
LVQRWWREHORFNHGRQWRWKH9//SULRUWRGURSSLQJ
WKHWHVWWRUVR$WWDFKWKHTXLFNUHOHDVHPHFKDQLVP
WR WKH WHVW WRUVR QHFN ULQJ IRU IHHWUVW GURS DQG
FURWFKULQJIRUKHDGUVWGURS5DLVHWKHWHVWWRUVR
WRDOHYHOZKLFKZLOODOORZDVL[IRRWPPIUHH
IDOO RU WKH PD[LPXP SHUPLWWHG E\ WKH HQHUJ\ DE
VRUEHUZKLFKHYHULVOHVVXSRQUHOHDVHRIWKHWHVW
--```,`,,`,,`,,`,,,,`,,`,``,`-`-`,,`,,`,`,,`---
WRUVR7KHWRUVRVKDOOEHUHOHDVHGIURPDSRLQWQR
PRUHWKDQLQFKHVPPKRUL]RQWDOO\IURPWKH
FHQWHUOLQH RI WKH 9// WR WKH IDOO DUUHVW DWWDFKPHQW
RQWKH)%+5HOHDVHWKHWRUVRXVLQJWKHTXLFNUH
OHDVHPHFKDQLVP$IWHUWKHGURSWKHWRUVRLVWRUH
PDLQVXVSHQGHGE\WKHKDUQHVVIRUDSHULRGRIYH
PLQXWHV 'XULQJ WKH SRVWIDOO VXVSHQVLRQ SHULRG
PHDVXUHDQGUHFRUGWKHDQJOHDWUHVW6HH)LJXUH
0HDVXUHDQGUHFRUGWKHSDUDPHWHUVVHWIRUWKLQ
3HUIRUPWKHWHVWRQFHHDFKIRUDIHHWUVWDQG
DKHDGUVWGURS$QHZV\VWHPWHVWVSHFLPHQPD\
EHXVHGIRUHDFKWHVW
)XOO %RG\ +DUQHVV ZLWK (QHUJ\ $EVRUE

HU /DQ\DUG )DOO $UUHVWRU DQG 9HUWLFDO /LIHOLQH
)%+($/)$9//)RULQWHJUDO)%+
($/)$9//V\VWHPVWKH)%+DQG($/
FRQVWLWXHQWVVKDOOEHVHSDUDWHGIURPWKH)$9//
HULFDQ1DWLRQ
$P DO
HG 6W
RY DQ
SU G
S D
$
UG
$0(5,&$162&,(7<2)

6$)(7<(1*,1((56

FRQVWLWXHQWDQGHDFKFRQVWLWXHQWVKDOOEHLQGHSHQ
GHQWO\WHVWHGLQDFFRUGDQFHZLWKWKHSURFHGXUHVLQ
DQG,QDGGLWLRQWKHIROORZLQJWHVW
VKDOOEHSHUIRUPHG3XWWKHKDUQHVVRQWKHWHVWWRU
VRIDVWHQDOOEXFNOHVDQGDGMXVWLWVQXJO\DVWKRXJK
WKH WRUVR ZHUH D SHUVRQ &RQQHFW WKH 9// WR WKH
ORDG FHOO RQ WKH WHVW VWUXFWXUH LQ DFFRUGDQFH ZLWK
WKHPDQXIDFWXUHUVLQVWUXFWLRQV3RVLWLRQWKH)$RQ
WKH 9// LQFKHV PP IURP WKH HQG RI WKH
9//ZKLFKLVFRQQHFWHGWRWKHORDGFHOO1RWHWKDW
IDOODUUHVWHUVZKLFKDUHGHVLJQHGWRIUHHO\WUDYHOXS
DQGGRZQWKH9//ZLWKRXWPDQLSXODWLRQE\WKHXVHU
VKDOOEHVXSSRUWHGE\WKH($/EHWZHHQWKH)$
DQG)%+SULRUWRGURSSLQJWKHWHVWWRUVRLHWKH)$
LVQRWWREHORFNHGRQWRWKH9//SULRUWRGURSSLQJ
WKHWHVWWRUVR$WWDFKWKHTXLFNUHOHDVHPHFKDQLVP
WR WKH WHVW WRUVR QHFN ULQJ IRU IHHWUVW GURS DQG
FURWFKULQJIRUKHDGUVWGURS5DLVHWKHWHVWWRUVR
WRDOHYHOZKLFKZLOODOORZDVL[IRRWPPIUHH
IDOO RU WKH PD[LPXP SHUPLWWHG E\ WKH HQHUJ\ DE
VRUEHUZKLFKHYHULVOHVVXSRQUHOHDVHRIWKHWHVW
WRUVR7KHWRUVRVKDOOEHUHOHDVHGIURPDSRLQWQR
--```,`,,`,,`,,`,,,,`,,`,``,`-`-`,,`,,`,`,,`---
FHQWHUOLQH RI WKH 9// WR WKH IDOO DUUHVW DWWDFKPHQW
RQWKH)%+5HOHDVHWKHWRUVRXVLQJWKHTXLFNUH
PHDVXUHDQGUHFRUGWKHDQJOHDWUHVW6HH)LJXUH
0HDVXUHDQGUHFRUGWKHSDUDPHWHUVVHWIRUWKLQ
3HUIRUPWKHWHVWRQFHHDFKIRUDIHHWUVWDQG
DKHDGUVWGURS$QHZV\VWHPWHVWVSHFLPHQPD\
EHXVHGIRUHDFKWHVW
)XOO %RG\ +DUQHVV ZLWK 6HOI5HWUDFWLQJ

/DQ\DUG)%+65/)RULQWHJUDO)%+65/
V\VWHPV WKH )%+ FRQVWLWXHQW VKDOO EH VHSDUDWHG
IURPWKH65/FRQVWLWXHQWDQGHDFKVKDOOEHLQGH
SHQGHQWO\ WHVWHG LQ DFFRUGDQFH ZLWK WKH SURFH
GXUHVLQDQG,QDGGLWLRQWKHIROORZLQJ
WHVW VKDOO EH SHUIRUPHG ,Q DFFRUGDQFH ZLWK WKH
PDQXIDFWXUHUVLQVWUXFWLRQVDWWDFKWKH65/WRWKH
ORDGFHOOWKDWLVFRQQHFWHGWRWKHWHVWVWUXFWXUH3XW
WKH KDUQHVV RQ WKH WHVW WRUVR IDVWHQ DOO EXFNOHV
DQG DGMXVW LW VQXJO\ DV WKRXJK WKH WRUVR ZHUH D
SHUVRQ&RQQHFWWKHOLQHFRQVWLWXHQWRIWKH65/WR
WKHKDUQHVVIDOODUUHVWDWWDFKPHQW$WWDFKWKHTXLFN
HULFDQ1DWLRQ
$P DO
HG 6W
RY DQ
SU G
S D
$
UG
$0(5,&$162&,(7<2)

6$)(7<(1*,1((56

+RLVW WKH WHVW WRUVR WR D OHYHO DW ZKLFK LQFKHV
RQHLQFKPPPPRI65/OLQHLVH[
WHQGHGIURPWKH65/RULFH0DUNWKH65/OLQHDW
WKH RULFH 7KH KRUL]RQWDO GLVWDQFH EHWZHHQ WKH
TXLFN UHOHDVH PHFKDQLVP DQG WKH RULFH RI WKH
65/VKDOOQRWH[FHHGLQFKHVPP'RQRW
ORFN WKH 65/ DQG GR QRW LQKLELW WKH UHWUDFWLRQ RI
WKH 65/ OLQH 5HOHDVH WKH WHVW WRUVR E\ DFWLYDWLQJ
WKH TXLFN UHOHDVH PHFKDQLVP $IWHU WKH GURS WKH
WRUVRLVWRUHPDLQVXVSHQGHGE\WKHKDUQHVVIRUD
SHULRGRIYHPLQXWHV'XULQJWKHSRVWIDOOVXVSHQ
VLRQSHULRGPHDVXUHDQGUHFRUGWKHDQJOHDWUHVW
6HH)LJXUH0HDVXUHDQGUHFRUGWKHSDUDPHWHUV
VHWIRUWKLQ7KHDUUHVWGLVWDQFHLVPHDVXUHG
IURPWKHPDUNRQWKHOLIHOLQHWRWKHOLIHOLQHRULFHRQ
WKH65/DIWHUWKHGURSZLWKWKHWHVWZHLJKWDWUHVW
127( 7KH DUUHVW GLVWDQFH PXVW QRW H[FHHG
LQFKHV PP WR EH LQ FRPSOLDQFH ZLWK
3HUIRUP WKH WHVW RQFH HDFK IRU D IHHWUVW DQG D
KHDGUVWGURS$QHZV\VWHPWHVWVSHFLPHQPD\
EHXVHGIRUHDFKWHVW
)XOO %RG\ +DUQHVV :LWK 6HOI5HWUDFWLQJ

/DQ\DUGDQG([WHUQDO(QHUJ\$EVRUEHU)%+
($65/)RULQWHJUDO)%+($65/V\V
WHPVWKH)%+FRQVWLWXHQWVKDOOEHVHSDUDWHGIURP
WKH($65/FRQVWLWXHQWDQGHDFKVKDOOEHLQGH
SHQGHQWO\WHVWHGLQDFFRUGDQFHZLWKWKHSURFHGXUHV
LQDQGWR,QDGGLWLRQWKHIRO
ORZLQJWHVWVKDOOEHSHUIRUPHG,QDFFRUGDQFHZLWK
WKHPDQXIDFWXUHUVLQVWUXFWLRQVDWWDFKWKH65/WR
WKHORDGFHOOWKDWLVFRQQHFWHGWRWKHWHVWVWUXFWXUH
3XWWKHKDUQHVVRQWKHWHVWWRUVRIDVWHQDOOEXFN
OHVDQGDGMXVWLWVQXJO\DVWKRXJKWKHWRUVRZHUHD
SHUVRQ&RQQHFWWKHOLQHFRQVWLWXHQWRIWKH65/WR
WKHKDUQHVVIDOODUUHVWDWWDFKPHQW$WWDFKWKHTXLFN
+RLVW WKH WHVW WRUVR WR D OHYHO DW ZKLFK LQFKHV
RQHLQFKPPPPRI65/OLQHLVH[
WHQGHGIURPWKH65/RULFH0HDVXUHDQGUHFRUG
WKHGLVWDQFHEHWZHHQWKHV\VWHPFRQQHFWLRQSRLQW
WRWKHORDGFHOODQGWKHKDUQHVVIDOODUUHVWDWWDFK
PHQW 7KH KRUL]RQWDO GLVWDQFH EHWZHHQ WKH TXLFN
UHOHDVHPHFKDQLVPDQGWKHRULFHRIWKH65/VKDOO
QRW H[FHHG LQFKHV PP 'R QRW ORFN WKH
65/ DQG GR QRW LQKLELW WKH UHWUDFWLRQ RI WKH 65/
OLQH5HOHDVHWKHWHVWWRUVRE\DFWLYDWLQJWKHTXLFN
UHOHDVHPHFKDQLVP$IWHUWKHGURSWKHWRUVRLVWR
HULFDQ1DWLRQ
$P DO
HG 6W
RY DQ
SU G
S D
$
UG
$0(5,&$162&,(7<2)

6$)(7<(1*,1((56

--```,`,,`,,`,,`,,,,`,,`,``,`-`-`,,`,,`,`,,`---

UHPDLQ VXVSHQGHG E\ WKH KDUQHVV IRU D SHULRG RI

YH PLQXWHV 'XULQJ WKH SRVWIDOO VXVSHQVLRQ SH
ULRGPHDVXUHDQGUHFRUGWKHDQJOHDWUHVWDQGWKH
DUUHVWGLVWDQFHWKHDUUHVWGLVWDQFHLVHTXDOWRWKH
FKDQJHLQOHQJWKRIWKH65/&66DVPHDVXUHGMXVW
SULRU WR WKH GURS DQG DIWHU WKH GURS ZLWK WKH WHVW
ZHLJKWDWUHVW6HH)LJXUH0HDVXUHDQGUHFRUG
WKHSDUDPHWHUVVHWIRUWKLQ127(7KHDUUHVW
GLVWDQFHPXVWQRWH[FHHGLQFKHVPPWR
EHLQFRPSOLDQFHZLWK3HUIRUPWKHWHVWRQFH
HDFK IRU D IHHWUVW DQG D KHDGUVW GURS $ QHZ
V\VWHPWHVWVSHFLPHQPD\EHXVHGIRUHDFKWHVW
'\QDPLF 3HUIRUPDQFH 7HVW IRU /DQ\DUG

ZLWK,QWHJUDO(QHUJ\$EVRUEHU/($$WWDFK
WKHORDGFHOOVSHFLHGLQWRWKHGURSWHVWVWUXF
WXUHVSHFLHGLQ8VHDQHZWHVWVSHFLPHQRI
WKHLQWHJUDO/($0HDVXUHDQGUHFRUGWKHOHQJWK
RI WKH WHVW VSHFLPHQ IURP EHDULQJ SRLQW WR EHDU
LQJSRLQWZKHQLWLVXQGHUDWHQVLRQRIWHQSRXQGV
1$WWDFKWKHIUHHHQGRIWKHODQ\DUGWRWKHORDG
FHOO$WWDFKWKHTXLFNUHOHDVHPHFKDQLVPVSHFLHG
LQWRWKHSRXQGNJWHVWZHLJKWVSHF
LHGLQ5DLVHWKHWHVWZHLJKWDQGFRQQHFWWKH
IUHHHQGRIWKHHQHUJ\DEVRUEHUWRWKHWHVWZHLJKW
,I WKH VXEV\VWHP GRHV QRW KDYH LQWHJUDO FRQQHF
WRUVZKLFKZRXOGDOORZDWWDFKPHQWWRWKHORDGFHOO
DQGWHVWZHLJKWXWLOL]HFDUDELQHUVZKLFKZRXOGDO
ORZ VXFK DWWDFKPHQWV 8WLOL]H FDUDELQHUV ZKLFK
FRPSO\ZLWKIRUWKHSXUSRVHRIFRQGXFWLQJ
WKLVWHVW$IWHUFRQQHFWLQJWKHVSHFLPHQWRWKHWHVW
--```,`,,`,,`,,`,,,,`,,`,``,`-`-`,,`,,`,`,,`---
ZHLJKWUDLVHWKHZHLJKWWRDOHYHOZKLFKZLOODOORZD
VL[IRRWPPIUHHIDOORIWKHWHVWZHLJKWRUWKH
PD[LPXP SHUPLWWHG E\ WKH ODQ\DUG ZKLFKHYHU LV
OHVV7KHWHVWZHLJKWVKDOOEHUHOHDVHGIURPDSRLQW
QR PRUH WKDQ LQFKHV PP PHDVXUHG KRUL
]RQWDOO\IURPWKHSRLQWRIODQ\DUGFRQQHFWLRQWRWKH
ORDG FHOO 5HOHDVH WKH WHVW ZHLJKW XVLQJ WKH TXLFN
UHOHDVHPHFKDQLVP0HDVXUHDQGUHFRUGWKHPD[L
PXPDUUHVWIRUFH0HDVXUHDQGUHFRUGWKHOHQJWK
RIWKHWHVWVSHFLPHQIURPEHDULQJSRLQWWREHDULQJ
SRLQWZKLOHWKHWHVWZHLJKWLVVWLOOVXVSHQGHG&DO
FXODWHWKHWHVWVSHFLPHQHORQJDWLRQ&RPSDUHWKH
WHVWUHVXOWVZLWKWKHUHTXLUHPHQWVVHWIRUWKLQ
6WDWLF6WUHQJWK7HVWLQJRI/DQ\DUGVZLWK
,QWHJUDO (QHUJ\ $EVRUEHU DQG ZLWK 7ZR ,QWH
JUDOO\ &RQQHFWHG /HJV &RQQHFW WKH ODQ\DUG
WHVWVSHFLPHQEHWZHHQWKHMDZVRIWKHWHQVLOHWHVW
HULFDQ1DWLRQ
$P DO
HG 6W
RY DQ
SU G
S D
$
UG
$0(5,&$162&,(7<2)

6$)(7<(1*,1((56

HTXLSPHQWVSHFLHGLQE\PHDQVRIWKHFRQ
QHFWRUVDWHDFKHQGRIWKHODQ\DUGOHJVVRDVWRDS
SO\IRUFHWRWKHFHQWUDOSRLQWRIFRQQHFWLRQEHWZHHQ
WKHWZROHJVRIWKHODQ\DUG,IWKHWHVWVSHFLPHQLV
D FRQVWLWXHQW RI D VXEV\VWHP RU V\VWHP DQG GRHV
QRWKDYHDQLQWHJUDOFRQQHFWRUDWLWVHQGVLPXODWH
DV H[DFWO\ DV SRVVLEOH WKH LQWHQGHG PHDQV RI DV
VHPEOLQJ LW LQWR LWV VXEV\VWHP RU V\VWHP 6XEMHFW
WKH ODQ\DUG WR D IRUFH RI SRXQGV N1
IRUDSHULRGRIWZRPLQXWHV7KHWLPHWRUHDFKWKLV
IRUFHVKDOOEHQROHVVWKDQWKUHHPLQXWHVWRDYRLG
G\QDPLFHIIHFWV&RPSDUHWKHWHVWUHVXOWVWRWKHUH
TXLUHPHQWVVHWIRUWKLQ
&RPSRQHQW&RQVWLWXHQWDQG(OHPHQW7HVW
LQJ
&RQQHFWRU4XDOLFDWLRQ7HVWLQJ
6QDSKRRNDQG&DULELQHU7HVWLQJ
7HQVLOH7HVWLQJRI6QDSKRRNDQG&DUD (6HH)LJXUH
ELQHU %RGLHV 6XEPLW WKH VQDSKRRN RU FDUDELQHU
ERG\WRDWHVWORDGRISRXQGVN1EH
WZHHQLWVWZREHDULQJSRLQWV7KHWLPHWRUHDFKWKH
IRUFHVKDOOEHJUHDWHUWKDQRQHPLQXWHLQRUGHUWR
DYRLGG\QDPLFHIIHFWV0DLQWDLQWKHWHVWIRUFHIRUD
PLQLPXPSHULRGRIRQHPLQXWHDQGHYDOXDWHWKHFRQ
GLWLRQRIWKHFRQQHFWRULQDFFRUGDQFHZLWK
7HVW[WXUHSLQVXVHGLQORDGLQJRIVQDSKRRNVDQG
FDUDELQHUVVKDOOKDYHDURXQGFURVVVHFWLRQDQGEH
QR JUHDWHU LQ GLDPHWHU WKDQ WKH WKURDW RSHQLQJ RI
WKHVQDSKRRNRUFDUDELQHUEHLQJWHVWHG
*DWH )DFH 7HVWLQJ RI 6QDSKRRN DQG (6HH)LJXUH

&DUDELQHU 3RVLWLRQ WKH VQDSKRRN RU FDUDELQHU LQ
WKH FODPSLQJ [WXUH VXFK WKDW WKH RXWVLGH IDFH RI
WKHJDWHLVJHQHUDOO\SDUDOOHOWRWKHWHVWEHGDQGWKH
--```,`,,`,,`,,`,,,,`,,`,``,`-`-`,,`,,`,`,,`---
JDWHVPRWLRQLVSHUSHQGLFXODUWRWKHWHVWEHG8V
LQJDULJLGEDUDVVKRZQLQ)LJXUHDSSO\DORDG
SHUSHQGLFXODUWRWKHIDFHRIWKHJDWHDWDSRLQWDV
FORVHWRWKHQRVHRIWKHKRRNERG\DVSRVVLEOH7KH
ORDGVKDOOEHDSSOLHGLQFUHDVLQJO\XQWLOWKHUHTXLUHG
WHVWORDGRISRXQGVN1LVUHDFKHG7KH
ULJLGEDUWUDYHOUDWHVKDOOQRWH[FHHGWKUHHLQFKHV
PLQXWH0DLQWDLQWKHWHVWORDGIRUDPLQLPXPSHULRG
RIRQHPLQXWH:KLOHWKHORDGLVDSSOLHGPHDVXUH
WKH GLVWDQFH RI JDWH VHSDUDWLRQ IURP WKH KRRN RU
FDUDELQHUQRVHDWWKHSRLQWRIPLQLPXPFOHDUDQFH
HULFDQ1DWLRQ
$P DO
HG 6W
RY DQ
SU G
S D
$
UG
$0(5,&$162&,(7<2)

6$)(7<(1*,1((56

--```,`,,`,,`,,`,,,,`,,`,``,`-`-`,,`,,`,`,,`---
6LGH /RDG 7HVWLQJ RI 6QDSKRRN DQG (6HH)LJXUH

&DUDELQHU *DWHV 3RVLWLRQ WKH VQDSKRRN 6+ RU
FDUDELQHU &$5 LQ WKH FODPSLQJ [WXUH VXFK WKDW
WKHRSHQLQJPRWLRQRIWKHJDWHLVJHQHUDOO\SDUDO
OHOWRWKHWHVWEHGDQGWKH6+RU&$5LVVXSSRUWHG
DERYH WKH WHVW EHG IURP HDFK HQG 0HDVXUH WKH
KHLJKWIURPWKHWHVWEHGDVVKRZQLQ)LJXUH$S
SO\WKHWHVWORDGLQFUHDVLQJO\XQWLOWKHUHTXLUHGWHVW
ORDGRISRXQGVN1LVUHDFKHG0DLQWDLQ
WKHWHVWORDGIRUDPLQLPXPSHULRGRIRQHPLQXWH
:KLOHWKHORDGLVDSSOLHGPHDVXUHWKHGLVWDQFHRI
JDWHVHSDUDWLRQIURPWKHKRRNRUFDUDELQHUQRVHDW
WKHSRLQWRIPLQLPXPFOHDUDQFH5HPRYHWKHORDG
DQG PHDVXUH WKH JDWH KHLJKW IURP WKH WHVW EHG
&DOFXODWH WKH SHUPDQHQW GHIRUPDWLRQ RI WKH JDWH
&RPSDUH WKH WHVW UHVXOWV WR WKH UHTXLUHPHQWV VHW
IRUWKLQ
0LQRU $[LV 7HVWLQJ RI 6QDSKRRN DQG

&DUDELQHU*DWHV3RVLWLRQWKHVQDSKRRNRUFDUD
ELQHU LQ WKH FODPSLQJ [WXUH VXFK WKDW WKH LQVLGH
IDFHRIWKHJDWHLVJHQHUDOO\SDUDOOHOWRWKHWHVWEHG
DQG WKH JDWHV PRWLRQ LV SHUSHQGLFXODU WR WKH WHVW
EHG$SSO\WKHWHVWORDGDWDFRQVWDQWUDWHVSHHG
RIWKUHHLQFKHVPLQXWHXQWLOWKHUHTXLUHGWHVWORDG
RISRXQGVLVUHDFKHG
7HQVLOH7HVWLQJRI'5LQJV25LQJVDQG
2YDO5LQJV6XEPLWWKHFRQQHFWRUVWRDQLQWHUQDOO\
DSSOLHGWHVWORDGRISRXQGVN1LQWKH
PDQQHUVKRZQLQ)LJXUH7KHWLPHWRUHDFKWKH
WHVWORDGVKDOOEHJUHDWHUWKDQRQHPLQXWHLQRUGHU
WRDYRLGG\QDPLFHIIHFWV0DLQWDLQWKHWHVWORDGIRU
DPLQLPXPSHULRGRIRQHPLQXWHDQGHYDOXDWHWKH
FRQQHFWRU LQ DFFRUGDQFH ZLWK 7HVW [WXUH
SLQV XVHG LQ ORDGLQJ RI FRQQHFWRUV VKDOO EH ULJLG
DQGRIURXQGRUUHFWDQJXODUFURVVVHFWLRQ
7HQVLOH7HVWLQJRI%XFNOHVDQG$GMXVW
HUV 6XEPLW WKH EXFNOH IUDPH WR DQ LQWHUQDOO\ DS
SOLHGWHVWORDGRISRXQGVN1LQWKHPDQ
QHUVKRZQLQ)LJXUH7KHWLPHWRUHDFKWKHWHVW
ORDGVKDOOEHJUHDWHUWKDQRQHPLQXWHWRDYRLGG\
QDPLFHIIHFWV0DLQWDLQWKHWHVWORDGIRUDPLQLPXP
SHULRGRIRQHPLQXWHDQGHYDOXDWHWKHFRQQHFWRULQ
DFFRUGDQFH ZLWK 7HVW [WXUH SLQV XVHG LQ
ORDGLQJRIEXFNOHVVKDOOEHULJLGDQGRIUHFWDQJXODU
FURVVVHFWLRQ
HULFDQ1DWLRQ
$P DO
HG 6W
RY DQ
SU G
S D
$
UG
$0(5,&$162&,(7<2)

6$)(7<(1*,1((56

&RQQHFWRU 3URRI /RDG 7HVWLQJ &RQQHF ( $16,$66(=IRUGHQLWLRQ

WRUVVSHFLHGLQVKDOOEHVXEMHFWHGWR
SURRI ORDG YHULFDWLRQ WHVWLQJ XVLQJ WHVW [WXUHV
GHVFULEHGLQDQG7LPHUHTXLUHGWR
UHDFKWKHSRXQGN1SURRIORDGVKDOOEH
JUHDWHU WKDQ RQH VHFRQG 0DLQWDLQ WKH SURRI ORDG
IRUDSHULRGRIQRWOHVVWKDQWZRVHFRQGV$IWHUUH
PRYDOIURPWKHWHVW[WXUHLQVSHFWWKHFRQQHFWRULQ
DFFRUGDQFHZLWK
)XOO%RG\+DUQHVV4XDOLFDWLRQ7HVWLQJ
6WDWLF 6WUHQJWK 7HVWLQJ 7KH WHVW WRUVR

DQGVWDWLFWHQVLOHWHVWHTXLSPHQWVKDOOEHDVVSHFL
HGLQDQG7KHKDUQHVVVKDOOEHSXWRQ
WKH WHVW WRUVR DV WKRXJK WKH WRUVR ZHUH D SHUVRQ
DQG DGMXVWHG IRU D VQXJ W 3ULRU WR ORDGLQJ WKH
KDUQHVV PDUN WKH EXFNOHV RU DGMXVWHUV WR DOORZ
IRU HYDOXDWLRQ RI VOLSSDJH 7KH WHVW WRUVR VKDOO EH
DQFKRUHG E\ LWV FURWFK ULQJ DQG D ORDG RI
SRXQGV N1 VKDOO EH DSSOLHG WR WKH KDUQHVV
GRUVDO '5LQJ LQ D GLUHFWLRQ VLPXODWLQJ D IHHWUVW
IDOO 0DLQWDLQ WKH ORDG IRU D SHULRG RI RQH PLQXWH
5HOHDVHWKHORDGDQGHYDOXDWHWKHKDUQHVVLQDF
FRUGDQFHZLWKEHIRUHUHPRYLQJLWIURPWKH
WRUVR
D 6WDWLF 6WUHQJWK 7HVWLQJ IRU +DUQHVVHV

(TXLSSHGZLWKD)URQW0RXQWHG$WWDFKPHQW(O
HPHQW IRU )DOO $UUHVW 7KH WHVW WRUVR DQG VWDWLF
WHQVLOHWHVWHTXLSPHQWVKDOOEHDVVSHFLHGLQ
DQG7KHKDUQHVVVKDOOEHSXWRQWKHWHVWWRUVR
DVWKRXJKWKHWRUVRZHUHDSHUVRQDQGDGMXVWHGIRU
D VQXJ W 3ULRU WR ORDGLQJ WKH KDUQHVV PDUN WKH
EXFNOHVRUDGMXVWHUVWRDOORZIRUHYDOXDWLRQRIVOLS
SDJH7KHWHVWWRUVRVKDOOEHDQFKRUHGE\LWVFURWFK
ULQJ DQG D ORDG RI SRXQGV N1 VKDOO EH
DSSOLHG WR WKH KDUQHVV IURQW '5LQJ LQ D GLUHFWLRQ
VLPXODWLQJ D IHHWUVW IDOO 0DLQWDLQ WKH ORDG IRU D
SHULRGRIRQHPLQXWH5HOHDVHWKHORDGDQGHYDOX
DWHWKHKDUQHVVLQDFFRUGDQFHZLWKDEHIRUH
UHPRYLQJLWIURPWKHWRUVR
'\QDPLF 3HUIRUPDQFH 7HVWLQJ 7KH (1RWHWKDWKDUQHVVHVLQFRUSRUDWLQJLQWHJUDO

GURS WHVW VWUXFWXUH WHVW WRUVR WHVW ODQ\DUG RI IRXU ODQ\DUGVPD\EHORDGHGXVLQJWKHLQWHJUDOODQ\DUG
IRRW P OHQJWK DQG TXLFN UHOHDVH PHFKDQLVP WRWUDQVIHUWKHIRUFHWRWKHKDUQHVV
VKDOOEHLQDFFRUGDQFHZLWKDQG
7KH KDUQHVV VKDOO EH SXW RQ WKH WHVW WRUVR
HULFDQ1DWLRQ
$P DO
HG 6W
RY DQ
SU G
S D
$
UG
$0(5,&$162&,(7<2)

6$)(7<(1*,1((56
--```,`,,`,,`,,`,,,,`,,`,``,`-`-`,,`,,`,`,,`---

DQG DGMXVWHG VQXJO\ DV WKRXJK WKH WRUVR ZHUH D

SHUVRQ $WWDFK RQH HQG RI WKH WHVW ODQ\DUG WR WKH
IDOO DUUHVW DWWDFKPHQW HOHPHQW DQG WKH RWKHU HQG
WRWKHDQFKRUDJHRQWKHWHVWVWUXFWXUH+DUQHVVHV
ZKLFKLQFRUSRUDWHLQWHJUDOODQ\DUGVPXVWKDYHVXFK
ODQ\DUGVUHPRYHGSULRUWRWKHG\QDPLFWHVW5DLVH
WKHWHVWWRUVRWRDOHYHOZKLFKZLOODOORZDIRRW
PIUHHIDOOXSRQUHOHDVHRIWKHWHVWWRUVR7KH
WRUVRVKDOOEHOLIWHGWRDSRLQWQRPRUHWKDQLQFK
HVPPKRUL]RQWDOO\IURPWKHDQFKRUDJH5H
OHDVHWKHWRUVRXVLQJWKHTXLFNUHOHDVHPHFKDQLVP
$IWHU WKH GURS WKH WRUVR LV WR UHPDLQ VXVSHQGHG
E\WKHKDUQHVVIRUDSHULRGRIYHPLQXWHV'XULQJ
WKHSRVWIDOOVXVSHQVLRQSHULRGPHDVXUHWKHDQJOH
DW UHVW 6HH )LJXUH 7KH G\QDPLF WHVW LV WR EH
GRQH WZLFH RQFH IHHWUVW DQG RQFH KHDGUVW $
QHZKDUQHVVPD\EHXVHGIRUHDFKWHVW$IWHUHDFK
WHVWHYDOXDWHWKHKDUQHVVDFFRUGLQJWR
D'\QDPLF3HUIRUPDQFH7HVWLQJRI+DU
QHVVHV (TXLSSHG ZLWK D )URQW0RXQWHG $W
WDFKPHQW(OHPHQWIRU)DOO$UUHVW7KHGURSWHVW
VWUXFWXUHWHVWWRUVRWHVWODQ\DUGRIIRXUIRRWP
OHQJWK DQG TXLFN UHOHDVH PHFKDQLVP VKDOO EH LQ
DFFRUGDQFH ZLWK DQG 7KH
KDUQHVVVKDOOEHSXWRQWKHWHVWWRUVRDQGDGMXVWHG
VQXJO\DVWKRXJKWKHWRUVRZHUHDSHUVRQ$WWDFK
RQHHQGRIWKHWHVWODQ\DUGWRWKHIURQWIDOODUUHVWDW
WDFKPHQWHOHPHQWDQGWKHRWKHUHQGWRWKHDQFKRU
DJHRQWKHWHVWVWUXFWXUH+DUQHVVHVZKLFKLQFRU
SRUDWH LQWHJUDO ODQ\DUGV PXVW KDYH VXFK ODQ\DUGV
UHPRYHG SULRU WR WKH G\QDPLF WHVW 5DLVH WKH WHVW
WRUVR WR D OHYHO ZKLFK ZLOO DOORZ D IRRW P
IUHHIDOOLQWKHIHHWUVWSRVLWLRQXSRQUHOHDVHRIWKH
WHVW WRUVR 7KH WRUVR VKDOO EH OLIWHG WR D SRLQW QR
DQFKRUDJH 5HOHDVH WKH WRUVR XVLQJ WKH TXLFN UH
--```,`,,`,,`,,`,,,,`,,`,``,`-`-`,,`,,`,`,,`---
PHDVXUHWKHDQJOHDWUHVW6HH)LJXUH$IWHUWKH
WHVWHYDOXDWHWKHKDUQHVVDFFRUGLQJWR
/DQ\DUG4XDOLFDWLRQ7HVWLQJ
6WDWLF6WUHQJWK7HVWLQJRI/DQ\DUG
6WDWLF6WUHQJWK7HVWLQJRI)L[HG/HQJWK
/DQ\DUGV&RQQHFWWKHODQ\DUGWHVWVSHFLPHQEH
HULFDQ1DWLRQ
$P DO
HG 6W
RY DQ
SU G
S D
$
UG
$0(5,&$162&,(7<2)

6$)(7<(1*,1((56

WZHHQWKHMDZVRIWKHWHQVLOHWHVWHTXLSPHQWVSHFL
HGLQE\PHDQVRIWKHFRQQHFWRUVDWHDFKHQG
RIWKHODQ\DUG,IWKHWHVWVSHFLPHQLVDFRQVWLWXHQW
RI D VXEV\VWHP RU V\VWHP DQG GRHV QRW KDYH DQ
LQWHJUDOFRQQHFWRUDWLWVHQGVLPXODWHDVH[DFWO\DV
SRVVLEOHWKHLQWHQGHGPHDQVRIDVVHPEOLQJLWLQWR
LWV VXEV\VWHP RU V\VWHP 6XEMHFW WKH ODQ\DUG WR D
IRUFHRISRXQGVN1IRUDSHULRGRIWZR
PLQXWHV 7KH WLPH WR UHDFK WKLV IRUFH VKDOO EH QR
OHVV WKDQ WKUHH PLQXWHV WR DYRLG G\QDPLF HIIHFWV
&RPSDUH WKH WHVW UHVXOWV WR WKH UHTXLUHPHQWV VHW
IRUWKLQ
6WDWLF 6WUHQJWK 7HVWLQJ RI $GMXVWDEOH

/HQJWK/DQ\DUGV&RQQHFWWKHWHVWVSHFLPHQODQ
\DUGEHWZHHQWKHMDZVRIWKHWHQVLOHWHVWHTXLSPHQW
VSHFLHG LQ E\ PHDQV RI WKH FRQQHFWRUV DW
HDFKHQGRIWKHODQ\DUG,IWKHWHVWVSHFLPHQLVD
FRQVWLWXHQWRIDVXEV\VWHPRUV\VWHPDQGGRHVQRW
KDYHDQLQWHJUDOFRQQHFWRUDWLWVHQGVLPXODWHDV
H[DFWO\DVSRVVLEOHWKHLQWHQGHGPHDQVRIDVVHP
EOLQJLWLQWRLWVVXEV\VWHPRUV\VWHP0DUNWKHORFD
WLRQRIWKHDGMXVWHUHOHPHQWRQWKHODQ\DUG6XEMHFW
WKHODQ\DUGWRDIRUFHRISRXQGVN1IRUD
--```,`,,`,,`,,`,,,,`,,`,``,`-`-`,,`,,`,`,,`---
SHULRGRIWZRPLQXWHV5HPRYHWKHIRUFHDQGUHFRUG
DQ\VOLSSDJHWKDWKDVRFFXUUHGDWWKHDGMXVWHU$G
MXVWWKHODQ\DUGWRLWVIXOO\H[WHQGHGOHQJWK5HDSSO\
WKHORDGRIWKHWHQVLOHWHVWHTXLSPHQWDQGVXEMHFW
WKH ODQ\DUG WR D IRUFH RI SRXQGV N1
G\QDPLFHIIHFWV&RPSDUHWKHWHVWUHVXOWVVHWIRUWK
LQWKHUHTXLUHPHQWVRI
6WDWLF 6WUHQJWK 7HVWLQJ RI /DQ\DUGV

ZLWK 7ZR ,QWHJUDOO\ &RQQHFWHG /HJV &RQQHFW
WKHODQ\DUGWHVWVSHFLPHQEHWZHHQWKHMDZVRIWKH
WHQVLOHWHVWHTXLSPHQWVSHFLHGLQE\PHDQV
RIWKHFRQQHFWRUVDWHDFKHQGRIWKHODQ\DUGOHJV
VRDVWRDSSO\IRUFHWRWKHFHQWUDOSRLQWRIFRQQHF
WLRQEHWZHHQWKHWZROHJVRIWKHODQ\DUG,IWKHWHVW
VSHFLPHQLVDFRQVWLWXHQWRIDVXEV\VWHPRUV\VWHP
DQGGRHVQRWKDYHDQLQWHJUDOFRQQHFWRUDWLWVHQG
VLPXODWHDVH[DFWO\DVSRVVLEOHWKHLQWHQGHGPHDQV
RIDVVHPEOLQJLWLQWRLWVVXEV\VWHPRUV\VWHP6XE
MHFWWKHODQ\DUGWRDIRUFHRISRXQGVN1
HULFDQ1DWLRQ
$P DO
HG 6W
RY DQ
SU G
S D
$
UG
$0(5,&$162&,(7<2)

6$)(7<(1*,1((56

G\QDPLFHIIHFWV&RPSDUHWKHWHVWUHVXOWVWRWKHUH
TXLUHPHQWVVHWIRUWKLQD
'\QDPLF 3HUIRUPDQFH 7HVWLQJ RI /DQ

\DUGV7KHIROORZLQJSURFHGXUHVKDOOEHFDUULHGRXW
IRUODQ\DUGWHVWVSHFLPHQVRIERWK[HGDQGDGMXVW
DEOH OHQJWK 8VH WKH GURS WHVW VWUXFWXUH WKH
SRXQGNJWHVWZHLJKWWHVWLQVWUXPHQWDWLRQDQG
TXLFN UHOHDVH PHFKDQLVP VSHFLHG LQ 0HD
VXUH WKH OHQJWK RI WKH ODQ\DUG IURP EHDULQJ SRLQW
WREHDULQJSRLQW$WWDFKRQHHQGRIWKHODQ\DUGWR
WKHORDGFHOOFRQQHFWHGWRWKHWHVWVWUXFWXUH$WWDFK
WKHTXLFNUHOHDVHPHFKDQLVPWRWKHWHVWZHLJKWDQG
--```,`,,`,,`,,`,,,,`,,`,``,`-`-`,,`,,`,`,,`---
UDLVHWKHZHLJKWWRDOHYHOZKLFKZLOOSHUPLWFRQQHF
WLRQ RI WKH WHVW VSHFLPHQ WR WKH ZHLJKW ,I WKH WHVW
VSHFLPHQLVDFRQVWLWXHQWRIDVXEV\VWHPRUV\VWHP
DQGGRHVQRWKDYHDQLQWHJUDOFRQQHFWRUDWLWVHQG
VLPXODWHDVH[DFWO\DVSRVVLEOHWKHLQWHQGHGPHDQV
RIDVVHPEOLQJLWLQWRLWVVXEV\VWHPRUV\VWHP$IWHU
FRQQHFWLRQRIWKHODQ\DUGWRWKHWHVWZHLJKWUDLVH
WKHWHVWZHLJKWWRDOHYHOZKLFKZLOODOORZDVL[IRRW
PP IUHH IDOO RU WKH PD[LPXP SHUPLWWHG E\
WKHODQ\DUGZKLFKHYHULVOHVVXSRQUHOHDVHRIWKH
WHVWZHLJKW7KHWHVWZHLJKWVKDOOEHUHOHDVHGIURP
DSRLQWQRPRUHWKDQLQFKHVPPKRUL]RQ
WDOO\IURPWKHSRLQWRIODQ\DUGFRQQHFWLRQWRWKHORDG
FHOO5HOHDVHWKHWHVWZHLJKWXVLQJWKHTXLFNUHOHDVH
PHFKDQLVP0HDVXUHDQGUHFRUGWKHPD[LPXPDU
UHVW IRUFH 0HDVXUH DQG UHFRUG WKH OHQJWK RI WKH
WHVW VSHFLPHQ IURP EHDULQJ SRLQW WR EHDULQJ SRLQW
ZKLOH WKH ZHLJKW LV VWLOO VXVSHQGHG &DOFXODWH WKH
ODQ\DUG HORQJDWLRQ &RPSDUH WKH WHVW UHVXOWV ZLWK
WKHUHTXLUHPHQWVVHWIRUWKLQ
(QHUJ\$EVRUEHU4XDOLFDWLRQ7HVWLQJ
6WDWLF7HVWLQJRI(QHUJ\$EVRUEHUV
$FWLYDWLRQ)RUFH7HVWLQJRI(QHUJ\$E
VRUEHUV0HDVXUHDQGUHFRUGWKHOHQJWKRIWKHHQ
HUJ\ DEVRUEHU IURP EHDULQJ SRLQW WR EHDULQJ SRLQW
ZKHQLWLVXQGHUDWHQVLRQRIWHQSRXQGVN1
&RQQHFW WKH HQHUJ\ DEVRUEHU WHVW VSHFLPHQ EH
WZHHQWKHMDZVRIWKHWHQVLOHWHVWHTXLSPHQWVSHFL
HG LQ E\ PHDQV RI WKH FRQQHFWRUV DW HDFK
HQGRIWKHHQHUJ\DEVRUEHU,IWKHWHVWVSHFLPHQLV
DFRQVWLWXHQWRIDVXEV\VWHPRUV\VWHPDQGGRHV
HULFDQ1DWLRQ
$P DO
HG 6W
RY DQ
SU G
S D
$
UG
$0(5,&$162&,(7<2)

6$)(7<(1*,1((56

VHPEOLQJ LW LQWR LWV VXEV\VWHP RU V\VWHP 6XEMHFW

WKHHQHUJ\DEVRUEHUWRDIRUFHRISRXQGVN1
IRU D SHULRG RI WZR PLQXWHV $IWHU D ODSVH RI WZR
PLQXWHVH[DPLQHWKHHQHUJ\DEVRUEHUIRUVLJQVRI
DFWLYDWLRQ 5HFRUG WKH UHVXOWV RI WKLV H[DPLQDWLRQ
5HPRYHWKHHQHUJ\DEVRUEHUIURPWKHWHQVLOHWHVW
HTXLSPHQWDQGDOORZWKHHQHUJ\DEVRUEHUWRUHFRY
HU LQ DQ XQWHQVLRQHG SRVLWLRQ IRU D SHULRG RI RQH
KRXU0HDVXUHDQGUHFRUGWKHOHQJWKRIWKHHQHUJ\
DEVRUEHU ZKHQ LW LV VXEMHFWHG WR D WHQVLRQ RI WHQ
SRXQGV&DOFXODWHWKHSHUPDQHQWHQHUJ\DEVRUEHU
HORQJDWLRQ&RPSDUHWKHWHVWUHVXOWVVHWIRUWKLQWKH
UHTXLUHPHQWVRI
6WDWLF6WUHQJWK7HVWLQJRI(QHUJ\$E
VRUEHUV7KLVWHVWVKDOOEHSHUIRUPHGXVLQJDQDF
WLYDWHG HQHUJ\ DEVRUEHU G\QDPLFDOO\ WHVWHG LQ DF
FRUGDQFH ZLWK WKH SURFHGXUH VSHFLHG LQ
0HDVXUHPHQWRIHQHUJ\DEVRUEHUOHQJWKDQGPD[L
PXPDUUHVWIRUFHDVVSHFLHGLQQHHGQRW
EH SHUIRUPHG &RQQHFW WKH DFWLYDWHG HQHUJ\ DE
VRUEHUWHVWVSHFLPHQEHWZHHQWKHMDZVRIWKHWHQ
VLOH WHVW HTXLSPHQW VSHFLHG LQ E\ PHDQV RI
WKHFRQQHFWRUVDWHDFKHQGRIWKHHQHUJ\DEVRUEHU
,IWKHWHVWVSHFLPHQLVDFRQVWLWXHQWRIDVXEV\VWHP
RU V\VWHP DQG GRHV QRW KDYH DQ LQWHJUDO FRQQHF
WRU DW LWV HQG VLPXODWH DV H[DFWO\ DV SRVVLEOH WKH
LQWHQGHGPHDQVRIDVVHPEOLQJLWLQWRLWVVXEV\VWHP
RUV\VWHP6XEMHFWWKHHQHUJ\DEVRUEHUWRDIRUFH
RISRXQGVN1IRUDSHULRGRIWZRPLQ
XWHV7KHWLPHWRUHDFKWKLVIRUFHVKDOOEHQROHVV
WKDQWKUHHPLQXWHVWRDYRLGG\QDPLFHIIHFWV&RP
SDUH WKH WHVW UHVXOWV VHW IRUWK LQ WKH UHTXLUHPHQWV
RI
'\QDPLF 3HUIRUPDQFH 7HVWLQJ RI (Q

HUJ\ $EVRUEHU 8VH WKH GURS WHVW VWUXFWXUH
SRXQGNJWHVWZHLJKWWHVWODQ\DUGWHVWLQVWUX
--```,`,,`,,`,,`,,,,`,,`,``,`-`-`,,`,,`,`,,`---
PHQWDWLRQDQGTXLFNUHOHDVHPHFKDQLVPVSHFLHG
LQ0HDVXUHDQGUHFRUGWKHOHQJWKRIWKHHQ
HUJ\ DEVRUEHU IURP EHDULQJ SRLQW WR EHDULQJ SRLQW
ZKHQ WKH HQHUJ\ DEVRUEHU LV XQGHU D WHQVLRQ RI
WHQSRXQGV$WWDFKRQHHQGRIWKHHQHUJ\DEVRUE
HU WR WKH ORDG FHOO FRQQHFWHG WR WKH WHVW VWUXFWXUH
E\ PHDQV RI RQH RI WKH FRQQHFWRUV DW HLWKHU HQG
RI WKH HQHUJ\ DEVRUEHU ,I WKH HQHUJ\ DEVRUEHU LV
D FRQVWLWXHQW RI D VXEV\VWHP RU V\VWHP DQG GRHV
HULFDQ1DWLRQ
$P DO
HG 6W
RY DQ
SU G
S D
$
UG
$0(5,&$162&,(7<2)

6$)(7<(1*,1((56

VHPEOLQJ LW LQWR LWV VXEV\VWHP RU V\VWHP $WWDFK

WKH RWKHU HQG RI WKH HQHUJ\ DEVRUEHU WR RQH HQG
RI WKH WHVW ODQ\DUG 7KH WHVW ODQ\DUG QHHG QRW EH
XVHGLQWKHWHVWVHWXSLIWKHHQHUJ\DEVRUEHULVRI
VXIFLHQWOHQJWKWRDOORZDVL[IRRWPPIUHH
IDOORIWKHWHVWZHLJKWZKHQWKHHQHUJ\DEVRUEHULV
FRQQHFWHG GLUHFWO\ WR WKH ZHLJKW $WWDFK WKH TXLFN
UHOHDVHPHFKDQLVPWRWKHWHVWZHLJKWDQGUDLVHWKH
ZHLJKWWRDOHYHOZKLFKZLOOSHUPLWFRQQHFWLRQRIWKH
ZHLJKWWRWKHWHVWODQ\DUGRUHQHUJ\DEVRUEHULIWHVW
ODQ\DUGLVQRWXVHG$IWHUFRQQHFWLRQRIWKHZHLJKW
WR WKH WHVW ODQ\DUG RU HQHUJ\ DEVRUEHU DV DSSOL
FDEOHUDLVHWKHZHLJKWWRDOHYHOZKLFKZLOODOORZ
D VL[IRRW PP IUHH IDOO XSRQ UHOHDVH RI WKH
WHVWZHLJKW7KHWHVWZHLJKWVKDOOEHUHOHDVHGIURPD
--```,`,,`,,`,,`,,,,`,,`,``,`-`-`,,`,,`,`,,`---
SRLQWQRPRUHWKDQLQFKHVPPKRUL]RQWDOO\

IURPWKHSRLQWRIHQHUJ\DEVRUEHUFRQQHFWLRQWRWKH
ORDG FHOO 5HOHDVH WKH WHVW ZHLJKW XVLQJ WKH TXLFN
UHOHDVH PHFKDQLVP 5HFRUG WKH PD[LPXP DUUHVW
IRUFH0HDVXUHDQGUHFRUGWKHOHQJWKRIWKHHQHUJ\
DEVRUEHUIURPEHDULQJSRLQWWREHDULQJSRLQWZKLOH
WKHZHLJKWLVVWLOOVXVSHQGHG&DOFXODWHWKHHQHUJ\
DEVRUEHUHORQJDWLRQ&RPSDUHWKHWHVWUHVXOWVVHW
IRUWKLQWKHUHTXLUHPHQWVRIDQG
$QFKRUDJH&RQQHFWRU4XDOLFDWLRQ7HVW
LQJ 6HFXUH WKH DQFKRUDJH FRQQHFWRU WR DQ DQ
FKRUDJHLQWKHPDQQHUDQGE\WKHLQWHQGHGPHDQV
VSHFLHGE\WKHPDQXIDFWXUHUIRUDVVHPEOLQJLWDV
SDUWRID3)$6&RQQHFWWKHDQFKRUDJHFRQQHFWRU
WR VWDWLF WHQVLOH WHVW HTXLSPHQW VXFK WKDW WKH DQ
FKRUDJH FRQQHFWRU LV ORDGHG LQ WKH GLUHFWLRQ SHU
PLWWHG ZKHQ XVHG DV SDUW RI D 3)$6 7KH VWDWLF
WHQVLOHWHVWHTXLSPHQWVKDOOPHHWWKHUHTXLUHPHQWV
RI$WHVWODQ\DUGLQDFFRUGDQFHZLWKRU
RWKHUHTXLSPHQWVLPXODWLQJWKHLQWHQGHGPHDQVRI
LQVWDOOLQJWKHDQFKRUDJHFRQQHFWRULQD3)$6VKDOO
EHXVHGWRFRXSOHWKHDQFKRUDJHFRQQHFWRUWRWKH
WHQVLOHWHVWHTXLSPHQW6XEMHFWWKHDQFKRUDJHFRQ
QHFWRUWRDIRUFHRISRXQGVN1PDLQWDLQ
WKHIRUFHIRURQHPLQXWHWKHQUHPRYHWKHIRUFH5H
SHDWWKLVWHVWIRUHDFKFRQQHFWRUHOHPHQWDWWDFKHG
WRWKHDQFKRUDJHFRQQHFWRU2EVHUYHWKHFRQGLWLRQ
RI WKH FRQQHFWRU HOHPHQWV LQ DFFRUGDQFH ZLWK
6XEMHFWWKHDQFKRUDJHFRQQHFWRUWRDIRUFH
RI SRXQGV N1 :KHQ PRUH WKDQ RQH
3)$6PD\EHDWWDFKHGWRWKHDQFKRUDJHFRQQHF
WRUWKHSRXQGIRUFHVKDOOEHPXOWLSOLHGE\WKH
PD[LPXPQXPEHURI3)$6VWKDWPD\EHDWWDFKHG
HULFDQ1DWLRQ
$P DO
HG 6W
RY DQ
SU G
S D
$
UG
$0(5,&$162&,(7<2)

6$)(7<(1*,1((56

WRWKHDQFKRUDJHFRQQHFWRU0DLQWDLQWKHWHVWIRUFH
IRU RQH PLQXWH 2EVHUYH WKH FRQGLWLRQ RI WKH DQ
FKRUDJHFRQQHFWRULQDFFRUGDQFHZLWK5H
SHDWWKHWHVWVSHFLHGDERYHDOWHULQJWKHGLUHFWLRQ
RI DQFKRUDJH FRQQHFWRU ORDGLQJ XQWLO WKH DQFKRU
DJHFRQQHFWRUKDVEHHQWHVWHGLQDOOGLUHFWLRQVSHU
PLWWHG ZKHQ XVHG DV SDUW RI D 3)$6 5HSHDW WKH
WHVWVSHFLHGDERYHIRUWKHGLIIHUHQWDQFKRUDJHVWR
ZKLFK WKH DQFKRUDJH FRQQHFWRU LV LQWHQGHG WR EH
FRQQHFWHG
6HOI5HWUDFWLQJ /DQ\DUG 4XDOLFDWLRQ

7HVWLQJ
'\QDPLF 3HUIRUPDQFH 7HVWLQJ RI 65/ (6HH)LJXUHD

$WWDFKWKHORDGFHOOWUDQVGXFHUVSHFLHGLQ
WRWKHGURSWHVWVWUXFWXUHVSHFLHGLQZLWKWKH
WHVWDQFKRUDJHFRQQHFWRUXVHGWRTXDOLI\WKHGURS
WHVWVWUXFWXUH$WWDFKWKH65/WRWKHWUDQVGXFHULQ
DFFRUGDQFH ZLWK WKH PDQXIDFWXUHUV LQVWUXFWLRQV
IRU DQFKRULQJ WKH 65/ &RQQHFW WKH SRXQG
NJ WHVW ZHLJKW VSHFLHG LQ WR WKH OLQH
FRQVWLWXHQW RI WKH 65/ $WWDFK WKH TXLFN UHOHDVH
PHFKDQLVP VSHFLHG LQ WR WKH WHVW ZHLJKW
DQGDWWDFKWKHKRLVWLQJPHDQVWRWKHTXLFNUHOHDVH
PHFKDQLVP +RLVW WKH WHVW ZHLJKW WR WKH OHYHO DW
ZKLFKLQFKHVRQHLQFKPPPPRI
65/OLQHLVH[WHQGHGIURPWKH65/RULFH7KHKRUL
]RQWDOGLVWDQFHEHWZHHQWKHTXLFNUHOHDVHPHFKD
QLVPDQGWKHRULFHRIWKH65/VKDOOQRWH[FHHG
LQFKHVPP'RQRWORFNWKH65/DQGGRQRW
LQKLELW WKH UHWUDFWLRQ RI WKH 65/ OLQH 5HOHDVH WKH
WHVWZHLJKWE\DFWLYDWLQJWKHTXLFNUHOHDVHPHFKD
QLVP )RU HDFK WHVW UHTXLUHG E\ PHDVXUH
DQG UHFRUG WKH PD[LPXP DUUHVW IRUFH DUUHVW GLV
WDQFHDQGWKHUHWUDFWLRQWHQVLRQ6HFWLRQ
%HWZHHQWHVWVLWPD\EHQHFHVVDU\WRIXOO\H[WUDFW
WKHOLQHWRUHOLHYHQHVWLQJRIWKHOLQHRQWKHGUXP$
ZDLWLQJSHULRGLVDOORZHGEHWZHHQWHVWV&RPSDUH
WKH WHVW UHVXOWV ZLWK WKH UHTXLUHPHQWV VHW IRUWK LQ

'\QDPLF 6WUHQJWK 7HVWLQJ RI 65/ ,Q (6HH)LJXUHE

DFFRUGDQFH ZLWK WKH PDQXIDFWXUHUV DQFKRULQJ
LQVWUXFWLRQV DWWDFK WKH 65/ GLUHFWO\ WR WKH GURS
WHVW VWUXFWXUH VSHFLHG LQ &RQQHFW WKH
SRXQG NJ WHVW ZHLJKW VSHFLHG LQ WR
WKH OLQH FRQVWLWXHQW RI WKH 65/ ([WUDFW OLQH IURP
WKH 65/ DQG SUHYHQW LW IURP UHWUDFWLQJ E\ PHDQV
HULFDQ1DWLRQ
$P DO
HG 6W
RY DQ
SU G
S D
$
UG
$0(5,&$162&,(7<2)

6$)(7<(1*,1((56
--```,`,,`,,`,,`,,,,`,,`,``,`-`-`,,`,,`,`,,`---
RIDFODPSRQWKHOLQHMXVWRXWVLGHWKH65/RULFH
([WUDFWHQRXJKOLQHWRDOORZDIRXUIRRWPIDOO
RIWKHWHVWZHLJKWEHIRUHWKHOLQHEHJLQVWRSD\RXW
DV HYLGHQFHG E\ PRYHPHQW RI WKH FODPS 'R QRW
ORFNWKH65/$WWDFKWKHTXLFNUHOHDVHPHFKDQLVP
VSHFLHGLQWRWKHWHVWZHLJKWDQGDWWDFKWKH
KRLVWLQJ PHDQV WR WKH TXLFN UHOHDVH PHFKDQLVP
+RLVW WKH WHVW ZHLJKW WR WKH HOHYDWLRQ SHUPLWWLQJ D
IRXUIRRWPIDOORIWKHWHVWZHLJKWH[FOXGLQJDF
WLYDWLRQGLVWDQFH7KHKRUL]RQWDOGLVWDQFHEHWZHHQ
WKHTXLFNUHOHDVHPHFKDQLVPDQGWKHRULFHRIWKH
65/VKDOOQRWH[FHHGLQFKHVPP5HOHDVH
WKHWHVWZHLJKWXVLQJWKHTXLFNUHOHDVHPHFKDQLVP
(YDOXDWH WKH OLQH FRQVWLWXHQW VWUHQJWK RYHU WKH DI
IHFWHG VHFWLRQ LQ DFFRUGDQFH ZLWK
--```,`,,`,,`,,`,,,,`,,`,``,`-`-`,,`,,`,`,,`---
RU ZKLFKHYHU LV DSSOLFDEOH &RPSDUH

WKH WHVW UHVXOWV ZLWK WKH UHTXLUHPHQWV VHW IRUWK LQ

6WDWLF 6WUHQJWK 7HVWLQJ RI 65/ 6KRUW (6HH)LJXUH

HQWKHODQ\DUGFRQVWLWXHQWIURPWKHIUHHHQGWRDO
ORZLQVWDOODWLRQLQWKHVWDWLFWHQVLOHWHVWHTXLSPHQW
VSHFLHGLQ:LWKWKHODQ\DUGFRQVWLWXHQWIXOO\
H[WUDFWHGLQVWDOOWKH65/LQWKHWHQVLOHWHVWHTXLS
PHQW DQG DSSO\ D ORDG RI SRXQGV N1
DFURVV WKH GHYLFH 0DLQWDLQ WKH ORDG IRU D SHULRG
RI YH PLQXWHV &RPSDUH WKH WHVW UHVXOWV ZLWK WKH
UHTXLUHPHQWVVHWIRUWKLQ
5HWUDFWLRQ7HQVLRQ7HVWLQJRI65//LQH (6HH)LJXUH

6XVSHQG WKH 65/ IURP D ULJLG DQFKRUDJH LQ WKH
PDQQHU SUHVFULEHG E\ WKH PDQXIDFWXUHUV LQVWUXF
WLRQV :KHQ WKH 65/ OLQH LV LQ WKH IXOO\ UHWUDFWHG
SRVLWLRQ H[WUDFW RQH IRRW PP RI OLQH $WWDFK
DQRQVOLSFODPSWRWKHH[WUDFWHGOLQHVHJPHQWDWD
SRLQWDSSUR[LPDWHO\RQHIRRWPPIURPWKHOLQH
RXWOHWRQWKH65/KRXVLQJ7KHZHLJKWRIWKHFODPS
VKDOOQRWH[FHHGWZRRXQFHVNJ&RQQHFWWKH
WHQVLRQ WHVW JDJH VSHFLHG LQ WR WKH FODPS
DQGDOORZWKHOLQHUHWUDFWLRQWHQVLRQWREHERUQHE\
WKHJDJHZKLOHWKHJDJHLVKHOGVWDWLRQDU\DQGXQ
VXSSRUWHGE\WKHOLQH$OLJQWKHWHVWJDJHORDGD[LV
ZLWKWKHYHUWLFDO5HFRUGWKHJDJHUHDGLQJZLWKLQ
VHFRQGV'LVFRQQHFWWKHJDJHDQGFODPSDQGDOORZ
WKH OLQH WR UHWUDFW EDFN RQWR WKH 65/ GUXP XQGHU
RQO\ WKH 65/V SRZHU 7KH OLQH UHWUDFWLRQ VKDOO EH
XQDVVLVWHG RWKHU WKDQ E\ KDQG UHVLVWDQFH WR SUH
YHQWXQFRQWUROOHGWDNHXSRIOLQHE\WKH65/:KHQ
WKH65/KDVVWRSSHGUHWUDFWLQJOLQHPHDVXUHDQG
HULFDQ1DWLRQ
$P DO
HG 6W
RY DQ
SU G
S D
$
UG
$0(5,&$162&,(7<2)

6$)(7<(1*,1((56

UHFRUGWKHGLVWDQFHIURPWKHOLQHRXWOHWRQWKH65/
KRXVLQJWRWKHH[WUHPHRIWKHIUHHHQGRIWKHOLQH
FRQVWLWXHQW:DLWYHPLQXWHVDQGWKHQFRPPHQFH
WKHIROORZLQJSURFHGXUH%DVHGRQWKHPDQXIDFWXU
HUVUDWHGOHQJWKRIOLQHRQWKH65/H[WUDFWSHU
FHQW RI WKH OLQH 6WDUWLQJ ZLWK UHFRQQHFWLRQ RI WKH
FODPSDQGJDJHUHSHDWWKHDERYHSURFHGXUHZLWK
SHUFHQWRIWKHOLQHH[WUDFWHG7KHZHLJKWRIWKH
OLQHFRQVWLWXHQWLVWREHDFFRXQWHGIRUE\DOORZLQJLW
WRVXVSHQGEHORZWKHFRQQHFWLRQSRLQWRIWKHFODPS
LWLVDOORZDEOHWRVHFXUHWKHOLQHLQWRDFRLOEHORZ
WKH FODPS 5HSHDW WKLV SURFHGXUH IRU
DQG SHUFHQW H[WUDFWLRQ RI WKH PDQXIDFWXUHUV
VSHFLHGOLQHOHQJWKZDLWLQJYHPLQXWHVEHWZHHQ
WKH WHVWV IRU HDFK VXFFHVVLYHO\ JUHDWHU H[WUDFWLRQ
OHQJWK&RPSDUHWKHUHVXOWVWRWKHUHTXLUHPHQWVVHW
IRUWKLQ
(QYLURQPHQWDO&RQGLWLRQLQJ3URFHGXUHV ( $QHZGHYLFHPD\EHXVHGIRUHDFKFRQGL

,Q DFFRUGDQFH ZLWK WKH G\QDPLF SHUIRU WLRQLQJSURFHGXUHWHVW
PDQFHWHVWLQVKDOOEHFRPSOHWHGIROORZLQJ
HDFK RI WKH FRQGLWLRQLQJ SURFHGXUHV VHW IRUWK LQ
WKURXJK
+HDW3ODFHWKH65/LQDKHDWHGFKDPEHU
IRUWZRKRXUVDWDPLQLPXPWHPSHUDWXUHRIGH
JUHHV)GHJUHHV&DQGDWDPLQLPXPUHODWLYH
KXPLGLW\RI7HVWZLWKLQVHFRQGV
&ROG 3ODFH WKH 65/ LQ D UHIULJHUDWHG

FKDPEHU IRU WZR KRXUV DW D WHPSHUDWXUH RI PLQXV
GHJUHHV)GHJUHHV&RUFROGHU7HVWZLWKLQ
VHFRQGV
:HW$UUDQJHWKH65/LQDWDQNDQGVSUD\
ZDWHURQLWIRUWKUHHKRXUVDWDUDWHRIDSSUR[LPDWHO\
JDOORQVSHUKRXUOLWHUVKRXU7HVWZLWKLQ
VHFRQGV
)DOO$UUHVWHU&RQQHFWLQJ6XEV\VWHP4XDOL
FDWLRQ7HVWLQJ
'\QDPLF 3HUIRUPDQFH 7HVW /LIHOLQH RU (6HH)LJXUH

OLIHOLQHVXEV\VWHPFRQQHFWLRQWRWKHDQFKRUDJHRU
DQFKRUDJHFRQQHFWRUVKDOOEHDFFRPSOLVKHGDVGH
VFULEHGE\WKHPDQXIDFWXUHU7KHIDOODUUHVWHUVKDOO
EHSRVLWLRQHGRQWKHOLIHOLQHLQFKHVPPIURP
WKHDQFKRUDJHRUDQFKRUDJHFRQQHFWRUDWWDFKPHQW
--```,`,,`,,`,,`,,,,`,,`,``,`-`-`,,`,,`,`,,`---
SRLQWWRWKHOLQH)DOODUUHVWHUVZKLFKDUHGHVLJQHG
HULFDQ1DWLRQ
$P DO
HG 6W
RY DQ
SU G
S D
$
UG
$0(5,&$162&,(7<2)

6$)(7<(1*,1((56

WRIUHHO\WUDYHOXSDQGGRZQWKHOLIHOLQHZLWKRXWPD
QLSXODWLRQE\WKHZRUNHUVKDOOEHVXSSRUWHGE\WKH
FRQQHFWLQJ VXEV\VWHP DWWDFKHG WR WKH WHVWZHLJKW
SULRUWRUHOHDVHLHWKH\DUHQRWWREHORFNHGRQWR
WKHOLIHOLQHSULRUWRUHOHDVLQJWKHWHVWZHLJKW$WWDFK
--```,`,,`,,`,,`,,,,`,,`,``,`-`-`,,`,,`,`,,`---
WKHSRXQGNJWHVWZHLJKWVSHFLHGLQ

WRWKHIDOODUUHVWHUXVLQJWKHFRQQHFWLQJVXEV\VWHP
VXSSOLHGE\WKHPDQXIDFWXUHURQO\LIVXFKVXEV\V
WHPLVLQWHJUDOWRWKHIDOODUUHVWHU,IWKHFRQQHFWLQJ
VXEV\VWHP LV QRW LQWHJUDO FRQQHFW WKH WHVW ZHLJKW
XVLQJWKHWHVWODQ\DUGDVVSHFLHGLQDQGKDY
LQJOHQJWKRIWKUHHIHHWP5DLVHWKHWHVWZHLJKW
WR FUHDWH WKH PD[LPXP IUHH IDOO GLVWDQFH WKDW FDQ
EHREWDLQHGE\WKHFRQQHFWLQJVXEV\VWHP7KHWHVW
ZHLJKWVKDOOWKHQEHUHOHDVHGIURPDSRLQWQRPRUH
WKDQLQFKHVPPKRUL]RQWDOO\IURPWKHFHQ
WHUOLQHRIWKHOLIHOLQH5HFRUGWKHDUUHVWGLVWDQFHDQG
WKHPD[LPXPDUUHVWIRUFH$UUHVWGLVWDQFHVKDOOEH
GHWHUPLQHGE\DGGLQJGLVWDQFHV$DQG%DQG&
VKRZQLQ)LJXUH&RPSDUHWKHWHVWUHVXOWVZLWK
WKHUHTXLUHPHQWVVHWIRUWKLQ
'\QDPLF 6WUHQJWK 7HVW 7KLV WHVW LV WR EH (6HH)LJXUH
FRQGXFWHGZLWKRXWWKHXVHRIDOLIHOLQHHQHUJ\DE
VRUEHU/LIHOLQHRUOLIHOLQHVXEV\VWHPFRQQHFWLRQWR
WKHDQFKRUDJHVKDOOEHDFFRPSOLVKHGDVGHVFULEHG
E\ WKH PDQXIDFWXUHUV LQVWUXFWLRQV DQG PDUNLQJV
7KHIDOODUUHVWHUVKDOOEHSRVLWLRQHGRQWKHOLIHOLQH
WHQ LQFKHV PP IURP WKH DQFKRUDJH )DOO DU
UHVWHUVZKLFKDUHGHVLJQHGWRIUHHO\WUDYHOXSDQG
GRZQWKHOLIHOLQHZLWKRXWPDQLSXODWLRQE\WKHZRUN
HU VKDOO EH VXSSRUWHG E\ WKH FRQQHFWLQJ VXEV\V
WHPDWWDFKHGWRWKHWHVWZHLJKWSULRUWRUHOHDVHLH
WKH\ DUH QRW WR EH ORFNHG RQWR WKH OLIHOLQH SULRU WR
UHOHDVLQJWKHWHVWZHLJKW$WWDFKDULJLGWHVWZHLJKW
KDYLQJ WKH SURSRUWLRQV VHW IRUWK LQ )LJXUH ZLWK
DZHLJKWRISRXQGVWKUHHSRXQGVNJ
NJ WR WKH IDOO DUUHVWHU 8VH WKH FRQQHFWLQJ
VXEV\VWHP VXSSOLHG E\ WKH PDQXIDFWXUHU RQO\ LI
VXFKVXEV\VWHPLVLQWHJUDOWRWKHIDOODUUHVWHU,IWKH
FRQQHFWLQJ VXEV\VWHP LV QRW LQWHJUDO FRQQHFW WKH
WHVW ZHLJKW XVLQJ WKH WHVW ODQ\DUG DV VSHFLHG LQ
DQGKDYLQJOHQJWKRIWKUHHIHHWP5DLVH
WKHWHVWZHLJKWWRFUHDWHWKHPD[LPXPIUHHIDOOGLV
WDQFH DOORZHG E\ WKH FRQQHFWLQJ VXEV\VWHP 7KH
WHVWZHLJKWVKDOOWKHQEHUHOHDVHGIURPDSRLQWQR
FHQWHUOLQH RI WKH IDOO DUUHVWHU (YDOXDWH WKH OLIHOLQH
VWUHQJWK RYHU WKH DIIHFWHG VHFWLRQ LQ DFFRUGDQFH
HULFDQ1DWLRQ
$P DO
HG 6W
RY DQ
SU G
S D
$
UG
$0(5,&$162&,(7<2)

6$)(7<(1*,1((56

ZLWK WKH SURFHGXUHV LQ UHIHUHQFHV RU

DVDSSOLFDEOHDQG6HFWLRQ
0$5.,1*$1',16758&7,216
*HQHUDO0DUNLQJ5HTXLUHPHQWV
0DUNLQJVVKDOOEHLQ(QJOLVK
7KH OHJLELOLW\ DQG DWWDFKPHQW RI UHTXLUHG

PDUNLQJVVKDOOHQGXUHIRUWKHOLIHRIWKHFRPSRQHQW
VXEV\VWHP RU V\VWHP EHLQJ PDUNHG :KHQ SUHV
VXUH VHQVLWLYH ODEHOV DUH XVHG WKH\ VKDOO FRPSO\
ZLWKWKHDSSOLFDEOHSURYLVLRQRIUHIHUHQFH
([FHSW IRU FRQQHFWRUV DV VHW IRUWK LQ 6HF

WLRQ HTXLSPHQW VKDOO EH PDUNHG ZLWK WKH
IROORZLQJ
SDUWQXPEHUDQGPRGHOGHVLJQDWLRQ
\HDURIPDQXIDFWXUH
PDQXIDFWXUHUVQDPHRUORJR
FDSDFLW\UDWLQJ
VWDQGDUGQXPEHU=
ZDUQLQJWRIROORZWKHPDQXIDFWXUHUVLQVWUXFWLRQV
--```,`,,`,,`,,`,,,,`,,`,``,`-`-`,,`,,`,`,,`---
LQFOXGHGZLWKWKHHTXLSPHQWDWWLPHRIVKLSPHQW
IURPWKHPDQXIDFWXUHU
6SHFLF0DUNLQJ5HTXLUHPHQWV
&RQQHFWRUV&RQQHFWRUVVKDOOEHPDUNHGWR ($GGLWLRQDOPDUNLQJVPD\EHSURYLGHGE\WKH
LGHQWLI\WKHIROORZLQJ PDQXIDFWXUHUDVGHHPHGQHFHVVDU\
\HDURIPDQXIDFWXUH
PDQXIDFWXUHUVLGHQWLFDWLRQ
SDUWQXPEHU
ORDG UDWLQJ IRU WKH PDMRU D[LV RI WKH FRQQHFWRU
VWDPSHGRURWKHUZLVHSHUPDQHQWO\PDUNHGRQWKH
GHYLFH
ORDGUDWLQJIRUJDWHVWDPSHGRURWKHUZLVHSHUPD
QHQWO\PDUNHGRQWKHJDWHPHFKDQLVP
PDUNLQJVIRUFRQQHFWRUVVKDOOEHVXIFLHQWWRSUR
YLGHWUDFHDELOLW\
IRU FRQQHFWRUV WKDW DUH QRQLQWHJUDO LQFOXGH WKH
VWDQGDUGQXPEHU=
)XOO %RG\ +DUQHVVHV ,Q DGGLWLRQ WR WKH

UHTXLUHPHQWV LQ IXOO ERG\ KDUQHVVHV VKDOO EH
PDUNHGWRLGHQWLI\
HULFDQ1DWLRQ
$P DO
HG 6W
RY DQ
SU G
S D
$
UG
$0(5,&$162&,(7<2)

6$)(7<(1*,1((56

WKHEHUXVHGLQWKHPDWHULDORIFRQVWUXFWLRQ
WKHVL]HRIWKHKDUQHVVHV
WKHIDOODUUHVWDWWDFKPHQWHOHPHQWV
IRUKDUQHVVHVHTXLSSHGZLWKDIURQWPRXQWHGDW
WDFKPHQW HOHPHQW D FDXWLRQ WR XVH WKLV DWWDFK
PHQW HOHPHQW RQO\ IRU OLPLWHG IDOO DUUHVW ZLWK D
PD[LPXPRIDWZRIRRWIUHHIDOOGLVWDQFH
WKHSXUSRVHRIDQ\RWKHUDWWDFKPHQWHOHPHQWV
/DQ\DUGV,QDGGLWLRQWRWKHUHTXLUHPHQWVLQ
ODQ\DUGVVKDOOEHPDUNHGWRLGHQWLI\
WKHPDWHULDORIFRQVWUXFWLRQ
WKHOHQJWK
WKHQHHGWRDYRLGFRQWDFWZLWKVKDUSHGJHVDQG
DEUDVLYHVXUIDFHV
WKH QHHG WR PDNH RQO\ FRPSDWLEOH FRQQHFWLRQV
)RUODQ\DUGVZLWKWZRLQWHJUDOO\FRQQHFWHGOHJV
DZDUQLQJWRDWWDFKRQO\WKHVQDSKRRNDWWKHFHQ
WHURIWKHODQ\DUGWRWKHIDOODUUHVWDWWDFKPHQWHOH
PHQWRIWKHKDUQHVV
(QHUJ\$EVRUEHUV,QDGGLWLRQWRWKHUHTXLUH
PHQWVLQHQHUJ\DEVRUEHUVVKDOOEHPDUNHGWR
LGHQWLI\
WKHPD[LPXPDUUHVWLQJIRUFHDVPHDVXUHGZKHQ
WHVWHGLQDFFRUGDQFHZLWKWKLVVWDQGDUG
WKHPD[LPXPHORQJDWLRQ
UHVWULFWLRQ LI DQ\ RQ WKH W\SHV RI FRPSRQHQWV
VXEV\VWHPV RU V\VWHPV ZLWK ZKLFK WKH HQHUJ\
DEVRUEHULVGHVLJQHGWREHXVHG
PD[LPXPUHFRPPHQGHGGLVWDQFHRIIUHHIDOORYHU
ZKLFKDQDSSURSULDWHGHJUHHRISURWHFWLRQLVSUR
YLGHG
$QFKRUDJH &RQQHFWRUV ,Q DGGLWLRQ WR WKH

UHTXLUHPHQWVLQDQFKRUDJHFRQQHFWRUVVKDOOEH
PDUNHGWRLGHQWLI\
WKHPDWHULDOVRIFRQVWUXFWLRQ
SURSHUPHWKRGRIFRXSOLQJWRDQFKRUDJHVRUUHIHU
HQFHWRVHSDUDWHLQVWUXFWLRQVVSHFLI\LQJVDPHRU
ERWK
DEUDVLYHVXUIDFHVLIDSSOLFDEOH
LQVSHFWLRQUHTXLUHPHQWV
ZDUQLQJV DJDLQVW XVH ZLWK LQFRPSDWLEOH FRQQHF
HULFDQ1DWLRQ
$P DO
HG 6W
RY DQ
SU G
S D
$
UG
$0(5,&$162&,(7<2)

6$)(7<(1*,1((56

--```,`,,`,,`,,`,,,,`,,`,``,`-`-`,,`,,`,`,,`---

WRUV
VWDELOLW\DQGFRPSDWLELOLW\OLPLWDWLRQVIRUH[DPSOH
DQFKRUDJHV
OLPLWDWLRQV FRQFHUQLQJ SK\VLFDO KD]DUGV VXFK DV
WKHUPDOHOHFWULFDODQGFKHPLFDOVRXUFHV
)DOO$UUHVWHUV,QDGGLWLRQWRWKHUHTXLUHPHQWV
LQIDOODUUHVWHUVVKDOOEHPDUNHGWRLGHQWLI\
WKHGLUHFWLRQRIXVHRIWKHIDOODUUHVWHURQLWVYHUWL
FDOOLIHOLQH
ZDUQLQJVDJDLQVWXVHZLWKLQFRPSDWLEOHOLIHOLQHV
WKH SURSHU VL]H DQG W\SH RI YHUWLFDO OLIHOLQH ZLWK
ZKLFKWKHIDOODUUHVWHULVLQWHQGHGWREHXVHG
9HUWLFDO/LIHOLQHV,QDGGLWLRQWRWKHUHTXLUH
PHQWVLQYHUWLFDOOLIHOLQHVRUWKHLUFRQWDLQHURU
VSRROLIVROGLQEXONVKDOOEHPDUNHGWRLGHQWLI\
WKH GLDPHWHU RI URSH RU ZLGWK DQG WKLFNQHVV RI
ZHEELQJ
LWVOHQJWK
UHIHUHQFH WR VHSDUDWH LQVWUXFWLRQV HPSKDVL]LQJ
HORQJDWLRQ FKDUDFWHULVWLFV SURSHU LQVWDOODWLRQ
DQGORZHUHQGWHUPLQDWLRQ
DEUDVLYHVXUIDFHV
WKHQHHGIRULQVSHFWLRQDWSHULRGLFLQWHUYDOVDQGDW
OHDVWRQFHD\HDU
6HOI5HWUDFWLQJ/DQ\DUGV,QDGGLWLRQWRWKH
UHTXLUHPHQWV LQ VHOIUHWUDFWLQJ ODQ\DUGV VKDOO
EHPDUNHGWRLGHQWLI\
GLDPHWHURIURSHRUZLUHURSHDQGZLGWKDQGWKLFN
QHVVRIZHEELQJXVHGLQWKHODQ\DUG
WKH EHU RU RWKHU PDWHULDOV XVHG LQ WKH ODQ\DUG
FRQVWUXFWLRQ
WKHODQ\DUGOHQJWK
PD[LPXPDUUHVWIRUFH
SURSHULQVWDOODWLRQPHDQV
WKHQHHGIRULQVSHFWLRQDWSHULRGLFLQWHUYDOVDQGDW
OHDVWPRQWKO\
WHVWLQJRIWKHGHYLFHIRUORFNLQJEHIRUHHDFKXVH
DUUHVWGLVWDQFH
*HQHUDO,QVWUXFWLRQ5HTXLUHPHQWV
HULFDQ1DWLRQ
$P DO
HG 6W
RY DQ
SU G
S D
$
UG
$0(5,&$162&,(7<2)

6$)(7<(1*,1((56

--```,`,,`,,`,,`,,,,`,,`,``,`-`-`,,`,,`,`,,`---

,QVWUXFWLRQV VKDOO EH SURYLGHG WR WKH XVHU

SULQWHGLQ(QJOLVKDQGDI[HGWRWKHHTXLSPHQWDW
WKHWLPHRIVKLSPHQWIURPWKHPDQXIDFWXUHU
,QVWUXFWLRQVVKDOOFRQWDLQWKHIROORZLQJLQIRU
PDWLRQ
D VWDWHPHQW WKDW WKH PDQXIDFWXUHUV LQVWUXFWLRQV

VKDOOEHSURYLGHGWRXVHUV
PDQXIDFWXUHUV QDPH DGGUHVV DQG WHOHSKRQH
QXPEHU
PDQXIDFWXUHUVSDUWQXPEHUDQGPRGHOGHVLJQD
WLRQIRUWKHHTXLSPHQW
LQWHQGHGXVHDQGSXUSRVHRIWKHHTXLSPHQW
SURSHUPHWKRGRIXVHDQGOLPLWDWLRQVRQXVHRIWKH
HTXLSPHQW
LOOXVWUDWLRQVVKRZLQJORFDWLRQVRIPDUNLQJVRQWKH
HTXLSPHQW
UHSURGXFWLRQ RI SULQWHG LQIRUPDWLRQ RQ DOO PDUN
LQJV
LQVSHFWLRQ SURFHGXUHV UHTXLUHG WR DVVXUH WKH
HTXLSPHQW LV LQ VHUYLFHDEOH FRQGLWLRQ DQG RSHU
DWLQJFRUUHFWO\
DQFKRUDJHUHTXLUHPHQWVDVVHWIRUWKLQ
FULWHULD IRU GLVFDUGLQJ HTXLSPHQW ZKLFK IDLOV LQ
VSHFWLRQ
SURFHGXUHV IRU FOHDQLQJ PDLQWHQDQFH DQG VWRU
DJH
UHIHUHQFH WR WKH $16,$66( = VWDQ
GDUG
,QVWUXFWLRQVVKDOOUHTXLUHWKDWRQO\WKHHTXLS
PHQW PDQXIDFWXUHU RU SHUVRQV RU HQWLWLHV DXWKR
UL]HG LQ ZULWLQJ E\ WKH PDQXIDFWXUHU VKDOO PDNH
UHSDLUVWRHTXLSPHQW
,QVWUXFWLRQVVKDOOUHTXLUHWKHXVHUWRUHPRYH
HTXLSPHQWIURPHOGVHUYLFHLILWKDVEHHQVXEMHFW
HGWRWKHIRUFHVRIDUUHVWLQJDIDOO
,QVWUXFWLRQV VKDOO UHTXLUH WKH XVHU WR KDYH D

UHVFXHSODQDQGWKHPHDQVDWKDQGWRLPSOHPHQWLW
ZKHQXVLQJWKHHTXLSPHQW
,QVWUXFWLRQV VKDOO SURYLGH ZDUQLQJV UHJDUG

LQJ
DOWHULQJWKHHTXLSPHQW
PLVXVLQJWKHHTXLSPHQW
HULFDQ1DWLRQ
$P DO
HG 6W
RY DQ
SU G
S D
$
UG
$0(5,&$162&,(7<2)

6$)(7<(1*,1((56
--```,`,,`,,`,,`,,,,`,,`,``,`-`-`,,`,,`,`,,`---

XVLQJ FRPELQDWLRQV RI FRPSRQHQWV RU VXEV\V

WHPVRUERWKZKLFKPD\DIIHFWRULQWHUIHUHZLWK
WKHVDIHIXQFWLRQRIHDFKRWKHU
H[SRVLQJWKHHTXLSPHQWWRFKHPLFDOVZKLFKPD\
SURGXFHDKDUPIXOHIIHFWDQGWRFRQVXOWWKHPDQX
IDFWXUHULQFDVHVRIGRXEW
XVLQJ WKH HTXLSPHQW DURXQG PRYLQJ PDFKLQHU\
DQGHOHFWULFDOKD]DUGV
--```,`,,`,,`,,`,,,,`,,`,``,`-`-`,,`,,`,`,,`---
XVLQJWKHHTXLSPHQWQHDUVKDUSHGJHVDQGDEUD
VLYHVXUIDFHV
6SHFLF,QVWUXFWLRQ5HTXLUHPHQWV
&RQQHFWRUV,QDGGLWLRQWRWKHUHTXLUHPHQWV ( 7KLV LV LQWHQGHG WR DSSO\ WR FRQQHFWRUV

LQLQVWUXFWLRQVIRUFRQQHFWRUFRPSRQHQWVVKDOO VXSSOLHG VHSDUDWHO\ WR WKH XVHU ZKLFK DUH QRW LQ
LQFOXGH WHJUDO WR WKH SURGXFW LH DUH UHPRYDEOH IURP WKH
SURGXFW
WKHPDWHULDOXVHGLQWKHFRQQHFWRUFRQVWUXFWLRQ
WKHVL]HRIWKHFRQQHFWRUDQGGLPHQVLRQVDIIHFW
LQJLWVFRPSDWLELOLW\ZLWKREMHFWVWRZKLFKLWPD\EH
FRQQHFWHG
DQGOLPLWDWLRQVRIFRPSDWLELOLW\
SURSHU PHWKRG RI FRXSOLQJ WKH FRQQHFWRU DQG
FKHFNLQJWKDWLWLVFORVHGDQGORFNHG
WKHPLQLPXPVWUHQJWKRIWKHFRQQHFWRUERG\ZKHQ
ORDGHGLQWKHGLUHFWLRQVHWIRUWKLQWKHDSSOLFDEOH
VHFWLRQVRIWKLVVWDQGDUG
WKHPLQLPXPVWUHQJWKRIFDUDELQHUDQGVQDSKRRN
JDWHV ZKHQ ORDGHG LQ WKH GLUHFWLRQV VHW IRUWK LQ

FHUWLFDWLRQ LQ WKH FDVH RI VQDSKRRNV FDUDEL
QHUV '5LQJV DQG 25LQJV WKDW SURYHV ORDG
WHVWLQJ KDV EHHQ SHUIRUPHG LQ DFFRUGDQFH ZLWK
RIWKLVVWDQGDUG
)XOO%RG\+DUQHVV,QDGGLWLRQWRWKHUHTXLUH
PHQWV LQ LQVWUXFWLRQV IRU IXOO ERG\ KDUQHVVHV
VKDOOLQFOXGH
DOOWKHPDUNLQJVZLWKDSSURSULDWHHODERUDWLRQVRU
H[SODQDWLRQV
GRQQLQJWWLQJDGMXVWPHQWDQGXVHLQIRUPDWLRQ
LQFOXGLQJ ZDUQLQJV DJDLQVW LPSURSHU PHWKRGV RI
DVVHPEO\
PD[LPXPIUHHIDOOGLVWDQFHSHUPLWWHG
/DQ\DUGV,QDGGLWLRQWRWKHUHTXLUHPHQWVLQ ( 0DQXIDFWXUHUV PD\ SURYLGH D VXLWDEOH

LQVWUXFWLRQVIRUODQ\DUGVVKDOOLQFOXGHDZDUQ PHDQVIRUFRQQHFWLQJRQHOHJRIDWZLQOHJODQ\DUG
HULFDQ1DWLRQ
$P DO
HG 6W
RY DQ
SU G
S D
$
UG
$0(5,&$162&,(7<2)

6$)(7<(1*,1((56

LQJ DJDLQVW FRQWDFW ZLWK VKDUS HGJHV DQG ORRSLQJ WRWKHIXOOERG\KDUQHVVWRSODFHWKHODQ\DUGOHJRXW

DURXQGVPDOOGLDPHWHUVWUXFWXUDOPHPEHUV RIWKHZD\GXULQJZRUN7KLVVSHFLDODWWDFKPHQWLV
JHQHUDOO\ GHVLJQHG WR EUHDN DZD\ GXULQJ D IDOO WR
)RU ODQ\DUGV ZLWK WZR LQWHJUDOO\ FRQQHFWHG OHJV SUHYHQW SRWHQWLDOO\ KDUPIXO IRUFHV IURP EHLQJ H[
WKHDGGLWLRQDOFDXWLRQV HUWHGRQWKHKDUQHVVZHDUHU
FRQQHFWRQO\WKHFHQWHUVQDSKRRNWRWKHIDOODUUHVW
DWWDFKPHQWHOHPHQW
GRQRWDWWDFKWKHOHJRIWKHODQ\DUGZKLFKLVQRW
LQXVHWRWKHKDUQHVVH[FHSWWRDWWDFKPHQWSRLQWV
VSHFLFDOO\ GHVLJQDWHG E\ WKH PDQXIDFWXUHU IRU
WKLVSXUSRVH
GR QRW ULJ WKH ODQ\DUG WR FUHDWH PRUH WKDQ D VL[
IRRWIUHHIDOO
GRQRWDOORZWKHOHJVRIWKHODQ\DUGWRSDVVXQGHU
DUPVEHWZHHQOHJVRUDURXQGWKHQHFN
(QHUJ\ $EVRUEHUV ,Q DGGLWLRQ WR WKH UH

TXLUHPHQWV LQ LQVWUXFWLRQV IRU HQHUJ\ DEVRUE
HUVVKDOOLQFOXGH
WKH PDWHULDO XVHG LQ WKH HQHUJ\ DEVRUEHU FRQ

VWUXFWLRQ
SURSHUPHWKRGRIFRXSOLQJWKHHQHUJ\DEVRUEHUWR
DGMDFHQWFRPSRQHQWVRIWKHV\VWHP
WKHPD[LPXPDUUHVWIRUFHRIWKHHQHUJ\DEVRUEHU
ZKHQG\QDPLFDOO\WHVWHGLQDFFRUGDQFHZLWKWKH
UHTXLUHPHQWVRIWKLVVWDQGDUG
WKHPD[LPXPHORQJDWLRQRIWKHHQHUJ\DEVRUEHU
ZKHQG\QDPLFDOO\WHVWHGLQDFFRUGDQFHZLWKWKH
UHTXLUHPHQWVRIWKLVVWDQGDUG
$QFKRUDJH &RQQHFWRUV ,Q DGGLWLRQ WR WKH

UHTXLUHPHQWV LQ LQVWUXFWLRQV IRU DQFKRUDJH
FRQQHFWRUVVKDOOLQFOXGH
WKH PDWHULDO XVHG LQ WKH DQFKRUDJH FRQQHFWRU

FRQVWUXFWLRQ
WKHQHHGWRPDNHRQO\VWDEOHDQGFRPSDWLEOHLQ
WHUIDFHVDQGFRQQHFWLRQVDQGOLPLWDWLRQVRIVWDELO
LW\DQGFRPSDWLELOLW\
SURSHUPHWKRGRIFRXSOLQJWKHDQFKRUDJHFRQQHF
WRUWRDQFKRUDJHVZLWKZKLFKLWLVLQWHQGHGWREH
XVHGDQGWRDGMDFHQWFRPSRQHQWVRIWKHV\VWHP
WKH VWUHQJWK RI WKH DQFKRUDJH FRQQHFWRU ZKHQ
VWDWLFDOO\ WHVWHG LQ DFFRUGDQFH ZLWK WKH UHTXLUH
PHQWVRIWKLVVWDQGDUG
HULFDQ1DWLRQ
$P DO
HG 6W
RY DQ
SU G
S D
$
UG
$0(5,&$162&,(7<2)

6$)(7<(1*,1((56
--```,`,,`,,`,,`,,,,`,,`,``,`-`-`,,`,,`,`,,`---

ZDUQLQJV WKDW WKH DQFKRUDJH FRQQHFWRU VKDOO EH

DWWDFKHGWRQRPRUHWKDQRQH3)$6XQOHVVFHUWL
HGIRUVXFKSXUSRVH
ZDUQLQJVWRDYRLGH[SRVXUHWRSK\VLFDODQGFKHP
LFDO KD]DUGV ZKLFK WKH DQFKRUDJH FRQQHFWRU LV
QRWGHVLJQHGWRZLWKVWDQG
)DOO$UUHVWHUV,QDGGLWLRQWRWKHUHTXLUHPHQWV
LQLQVWUXFWLRQVIRUIDOODUUHVWHUVVKDOOLQFOXGH

SURSHUPHWKRGRIFRXSOLQJWKHIDOODUUHVWHUWRDG
MDFHQWFRPSRQHQWVRIWKHV\VWHP
ZDUQLQJVWKDWWKHIDOODUUHVWHUVKDOOEHDWWDFKHGWR
QRPRUHWKDQRQH3)$6
LFDOKD]DUGVZKLFKWKHIDOODUUHVWHULVQRWGHVLJQHG
WRZLWKVWDQG
WKHDUUHVWGLVWDQFHZKHQG\QDPLFDOO\WHVWHGLQDF
FRUGDQFHZLWKWKHUHTXLUHPHQWVRIWKLVVWDQGDUG
WKHSURSHUVL]HFRQVWUXFWLRQDQGW\SHRIYHUWLFDO
OLIHOLQHVZLWKZKLFKWKHIDOODUUHVWHULVLQWHQGHGWR
EHXVHG
ZDUQLQJVWRHPSKDVL]HWKDWDQFKRULQJEHDERYH
WKHXVHUWRSUHYHQWSHQGXOXPIDOO
ZDUQLQJVWRHPSKDVL]HXVHLVQRWVXLWDEOHZKHQ
WKHXVHULVSRVLWLRQHGRQDQXQVWDEOHVXUIDFHQH
JUDLQPDWHULDORUSDUWLFXODWHVROLGVVXFKDVVDQG
RUFRDO
LQIRUPDWLRQ IRU GHWHUPLQLQJ WRWDO IDOO GLVWDQFH LQ
FOXGLQJOLIHOLQHHORQJDWLRQ
9HUWLFDO/LIHOLQHV,QDGGLWLRQWRWKHUHTXLUH
PHQWVLQLQVWUXFWLRQVIRUYHUWLFDOOLIHOLQHVVKDOO
LQFOXGH
WKHPDWHULDOXVHGLQWKHYHUWLFDOOLIHOLQHFRQVWUXF
WLRQ
WKHQHHGWRPDNHRQO\VWDEOHDQGFRPSDWLEOHLQ
WHUIDFHVDQGFRQQHFWLRQVDQGOLPLWDWLRQVRIVWDELO
LW\DQGFRPSDWLELOLW\
SURSHU PHWKRG RI FRXSOLQJ WKH YHUWLFDO OLIHOLQH
WR DQFKRUDJH FRQQHFWRUV DQG DQFKRUDJHV ZLWK
ZKLFK LW LV LQWHQGHG WR EH XVHG DQG WR DGMDFHQW
FRPSRQHQWVRIWKHV\VWHP
WKHVWUHQJWKRIWKHYHUWLFDOOLIHOLQHZKHQVWDWLFDOO\
WHVWHGLQDFFRUGDQFHZLWKWKHUHTXLUHPHQWVRIWKLV
VWDQGDUG
ZDUQLQJVWKDWWKHYHUWLFDOOLIHOLQHVKDOOEHDWWDFKHG
HULFDQ1DWLRQ
$P DO
HG 6W
RY DQ
SU G
S D
$
UG
$0(5,&$162&,(7<2)

6$)(7<(1*,1((56
--```,`,,`,,`,,`,,,,`,,`,``,`-`-`,,`,,`,`,,`---
WRQRPRUHWKDQRQH3)$6
LFDO KD]DUGV ZKLFK WKH YHUWLFDO OLIHOLQH LV QRW GH
VLJQHGWRZLWKVWDQG
WKHSURSHUIDOODUUHVWHUZLWKZKLFKWKHYHUWLFDOOLIH
OLQHLVLQWHQGHGWREHXVHG
OLIHOLQHHORQJDWLRQFKDUDFWHULVWLFV
6HOI5HWUDFWLQJ/DQ\DUGV,QDGGLWLRQWRWKH
UHTXLUHPHQWVLQLQVWUXFWLRQVIRUVHOIUHWUDFWLQJ
ODQ\DUGVVKDOOLQFOXGH
WKHGLDPHWHURIURSHRUZLUHURSHDQGZLGWKDQG
WKLFNQHVVRIZHEELQJXVHGLQWKHODQ\DUG
WKH EHU RU RWKHU PDWHULDOV XVHG LQ WKH ODQ\DUG
FRQVWUXFWLRQ
WKHODQ\DUGOHQJWK
WKHPD[LPXPDUUHVWIRUFHZKHQG\QDPLFDOO\WHVW
HG LQ DFFRUGDQFH ZLWK WKH UHTXLUHPHQWV RI WKLV
VWDQGDUG
WKHDUUHVWGLVWDQFHZKHQG\QDPLFDOO\WHVWHGLQDF
FRUGDQFHZLWKWKHUHTXLUHPHQWVRIWKLVVWDQGDUG
SURSHULQVWDOODWLRQPHDQV
WHVWLQJRIWKHGHYLFHIRUORFNLQJEHIRUHHDFKXVH

,QWHJUDO 6XEV\VWHPV DQG ,QWHJUDO 6\V
WHPV,QDGGLWLRQWRWKHJHQHUDOLQVWUXFWLRQUHTXLUH
PHQWV LQ LQVWUXFWLRQV IRU LQWHJUDO VXEV\VWHPV
DQGLQWHJUDOV\VWHPVVKDOOLQFOXGHWKHSURYLVLRQVRI
WKURXJKZKLFKDUHDSSOLFDEOHWRWKHFRQ
VWLWXHQWVRIVXFKVXEV\VWHPVDQGV\VWHPV
53%2 ).30%#4)/. -!).4%.!.#% !.$

34/2!'%/&%15)0-%.4
8VHUVRI3)$6VKDOODWDPLQLPXPFRPSO\ZLWKDOO
PDQXIDFWXUHULQVWUXFWLRQVUHJDUGLQJWKHLQVSHFWLRQ
PDLQWHQDQFH DQG VWRUDJH RI WKH HTXLSPHQW 7KH
XVHUVRUJDQL]DWLRQVKDOOUHWDLQWKHPDQXIDFWXUHUV
LQVWUXFWLRQVDQGPDNHWKHPUHDGLO\DYDLODEOHWRDOO
XVHUV
,QVSHFWLRQ
(TXLSPHQW VKDOO EH LQVSHFWHG E\ WKH XVHU ( 7KH SXUSRVH RI WZROHYHO LQVSHFWLRQ RI
EHIRUHHDFKXVHDQGDGGLWLRQDOO\E\DFRPSHWHQW HTXLSPHQW LV WR SURYLGH WZR LQGHSHQGHQW PHDQV
SHUVRQRWKHUWKDQWKHXVHUDWLQWHUYDOVRIQRPRUH IRUJXDUGLQJDJDLQVWRYHUVLJKWLQWKHGHWHFWLQJDQG
WKDQRQH\HDU FRQWUROOLQJDJDLQVWWKHXVHRIGHIHFWLYHGDPDJHG
DQG LPSURSHUO\ PDLQWDLQHG HTXLSPHQW ,I VXFK
HULFDQ1DWLRQ
$P DO
HG 6W
RY DQ
SU G
S D
$
UG
$0(5,&$162&,(7<2)

6$)(7<(1*,1((56

--```,`,,`,,`,,`,,,,`,,`,``,`-`-`,,`,,`,`,,`---

HTXLSPHQW FRQGLWLRQV DUH REVHUYHG E\ WKH FRP

SHWHQW SHUVRQV LQVSHFWLRQ PHDVXUHV VKRXOG EH
WDNHQWRSURYLGHWKHXVHUZLWKDGGLWLRQDOWUDLQLQJRU
UHWUDLQLQJ LQ HTXLSPHQW LQVSHFWLRQ PDLQWHQDQFH
XVH DQG VWRUDJH 6XFK REVHUYDWLRQV PD\ DOVR
VXJJHVWWKHQHHGIRUVHOHFWLRQRIDOWHUQDWLYHHTXLS
PHQWPRUHVXLWDEOHIRUWKHFRQGLWLRQVRIXVH7KH
IUHTXHQF\ RI SHULRGLF LQVSHFWLRQ E\ D FRPSHWHQW
SHUVRQVKRXOGEHHVWDEOLVKHGE\WKHXVHUVRUJDQL
]DWLRQEDVHGXSRQFDUHIXOFRQVLGHUDWLRQRIUHOHYDQW
IDFWRUV6XFKIDFWRUVLQFOXGHWKHQDWXUHDQGVHYHU
LW\RIZRUNSODFHFRQGLWLRQVDIIHFWLQJWKHHTXLSPHQW
DQG WKH PRGHV RI XVH DQG H[SRVXUH WLPH RI WKH
HTXLSPHQW
,QVSHFWLRQFULWHULDIRUWKHHTXLSPHQWVKDOOEH
VHW E\ WKH XVHUV RUJDQL]DWLRQ 6XFK FULWHULD VKDOO
HTXDO RU H[FHHG WKH JUHDWHU RI WKH FULWHULD HVWDE
OLVKHG E\ WKLV VWDQGDUG RU WKH PDQXIDFWXUHUV LQ
VWUXFWLRQV
:KHQLQVSHFWLRQUHYHDOVGHIHFWVLQGDPDJH
WR RU LQDGHTXDWH PDLQWHQDQFH RI HTXLSPHQW WKH
HTXLSPHQWVKDOOEHSHUPDQHQWO\UHPRYHGIURPVHU
YLFHRUXQGHUJRDGHTXDWHFRUUHFWLYHPDLQWHQDQFH
EHIRUHUHWXUQWRVHUYLFH
,QDGGLWLRQWRWKHLQVSHFWLRQUHTXLUHPHQWVVHW
IRUWKLQWKHPDQXIDFWXUHUVLQVWUXFWLRQVWKHHTXLS
PHQW VKDOO EH LQVSHFWHG DW ERWK LQVSHFWLRQ OHYHOV
GHVFULEHGLQIRU
DEVHQFHRULOOHJLELOLW\RIPDUNLQJV
DEVHQFHRIDQ\HOHPHQWVDIIHFWLQJWKHHTXLSPHQW
IRUPWRUIXQFWLRQ
HYLGHQFHRIGHIHFWVLQRUGDPDJHWRKDUGZDUHHO
HPHQWVLQFOXGLQJFUDFNVVKDUSHGJHVGHIRUPD
WLRQFRUURVLRQFKHPLFDODWWDFNH[FHVVLYHKHDW
LQJDOWHUDWLRQDQGH[FHVVLYHZHDU
HYLGHQFH RI GHIHFWV LQ RU GDPDJH WR VWUDSV RU
URSHVLQFOXGLQJIUD\LQJXQVSOLFLQJXQOD\LQJNLQN
LQJNQRWWLQJURSLQJEURNHQRUSXOOHGVWLWFKHVH[
FHVVLYH HORQJDWLRQ FKHPLFDO DWWDFN H[FHVVLYH
VRLOLQJDEUDVLRQDOWHUDWLRQQHHGHGRUH[FHVVLYH
OXEULFDWLRQH[FHVVLYHDJLQJDQGH[FHVVLYHZHDU
DOWHUDWLRQ DEVHQFH RI SDUWV RU HYLGHQFH RI GH
IHFWV LQ GDPDJH WR RU LPSURSHU IXQFWLRQ RI PH
FKDQLFDOGHYLFHVDQGFRQQHFWRUV
HULFDQ1DWLRQ
$P DO
HG 6W
RY DQ
SU G
S D
$
UG
$0(5,&$162&,(7<2)

6$)(7<(1*,1((56
--```,`,,`,,`,,`,,,,`,,`,``,`-`-`,,`,,`,`,,`---

0DLQWHQDQFHDQG6WRUDJH
0DLQWHQDQFHDQGVWRUDJHRIHTXLSPHQWVKDOO ( 0DLQWHQDQFHUHIHUVWRDQ\DFWRIFOHDQLQJ

EHFRQGXFWHGE\WKHXVHUVRUJDQL]DWLRQLQDFFRU UHSDLUUHVHWWLQJHWFRIHTXLSPHQW$QH[DPSOHRI
GDQFHZLWKWKHPDQXIDFWXUHUVLQVWUXFWLRQV8QLTXH DXQLTXHLVVXHPD\EHKHDY\VRLOLQJRIDQDUWLFOH
LVVXHVZKLFKPD\DULVHGXHWRFRQGLWLRQVRIXVH E\ D VXEVWDQFH QRW DGGUHVVHG LQ WKH PDQXIDFWXU
VKDOO EH DGGUHVVHG ZLWK WKH PDQXIDFWXUHU 7KH HUVLQVWUXFWLRQV
PDQXIDFWXUHUV LQVWUXFWLRQV VKDOO EH UHWDLQHG IRU
UHIHUHQFH
(TXLSPHQWZKLFKLVLQQHHGRIRUVFKHGXOHG
IRUPDLQWHQDQFHVKDOOEHWDJJHGDVXQXVDEOHDQG
UHPRYHGIURPVHUYLFH
--```,`,,`,,`,,`,,,,`,,`,``,`-`-`,,`,,`,`,,`---
(TXLSPHQWVKDOOEHVWRUHGLQDPDQQHUDVWR ( (TXLSPHQW ZKLFK LV GDPDJHG RU LQ QHHG
SUHFOXGHGDPDJHIURPHQYLURQPHQWDOIDFWRUVVXFK RI PDLQWHQDQFH VKRXOG QRW EH VWRUHG LQ WKH VDPH
DV KHDW OLJKW H[FHVVLYH PRLVWXUH RLO FKHPLFDOV DUHD DV XVDEOH HTXLSPHQW 3ULRU WR XVLQJ HTXLS
DQGWKHLUYDSRUVRURWKHUGHJUDGLQJHOHPHQWV PHQW ZKLFK KDV EHHQ VWRUHG IRU ORQJ SHULRGV RI
WLPHDGHWDLOHGLQVSHFWLRQVKRXOGEHSHUIRUPHGE\
DFRPSHWHQWSHUVRQ+HDYLO\VRLOHGZHWRURWKHU
ZLVHFRQWDPLQDWHGHTXLSPHQWVKRXOGUHFHLYHSURS
HUPDLQWHQDQFHHJGU\LQJDQGFOHDQLQJSULRUWR
VWRUDJH
%15)0-%.43%,%#4)/.2)'').'53%!.$ ( )RU DGGLWLRQDO LQIRUPDWLRQ VHH $16,$66(
42!).).' =0DQDJHG)DOO3URWHFWLRQ3URJUDPV
:KHQLWLVGHWHUPLQHGWKURXJKDZRUNSODFHDVVHVV
PHQWWKDW3)$6LVWREHXVHGIRUZRUNHUSURWHFWLRQ
WKHHTXLSPHQWVKDOOEHVHOHFWHGXVLQJWKHIROORZLQJ
FULWHULD
(TXLSPHQW6HOHFWLRQ3ULRUWRVHOHFWLQJ3)$6 ( ,W LV WKH XQGHUVWDQGLQJ RI WKLV VXEFRPPLWWHH

HTXLSPHQWDFRPSHWHQWSHUVRQVKDOOPDNHDQDV WKDWZKHQXVHGWKHWHUP4XDOLHG3HUVRQDOVR
VHVVPHQWRIZRUNSODFHFRQGLWLRQVZKHUHWKHHTXLS PHHWVWKHGHQLWLRQRID&RPSHWHQW3HUVRQ6HH
PHQWLVUHTXLUHGDQGXQGHUVWDQGWKHLQWHQGHGXVHRI $16,$66(=0DQDJHG)DOO3URWHFWLRQ3UR
VXFKHTXLSPHQW6XFKDVVHVVPHQWVKDOODWDPLQL JUDPV
PXPLGHQWLI\WKHSUHVHQFHRIKRWREMHFWVVSDUNV
DPHVDQGKHDWSURGXFLQJRSHUDWLRQVFKHPLFDOV
HOHFWULFDO KD]DUGV HQYLURQPHQWDO FRQWDPLQDQWV
VKDUS REMHFWV DEUDVLYH VXUIDFHV PRYLQJ HTXLS
PHQW DQG PDWHULDOV XQVWDEOH XQHYHQ DQG VOLS
SHU\ ZDONLQJZRUNLQJ VXUIDFHV XQJXDUGHG RSHQ
LQJVFOLPDWLFDQGZHDWKHUIDFWRUVDQGIRUHVHHDEOH
FKDQJHVLQDQ\RIWKHVHFRQGLWLRQVWDNHQLQGLYLGX
DOO\ RU FROOHFWLYHO\ 7KH PDWHULDO DQG FRQVWUXFWLRQ
RIWKH3)$6VKDOOEHFRQVLGHUHGLQWKHHTXLSPHQW
VHOHFWLRQSURFHVVVXFKWKDWWKHVHZRUNSODFHFRQ
HULFDQ1DWLRQ
$P DO
HG 6W
RY DQ
SU G
S D
$
UG
$0(5,&$162&,(7<2)

6$)(7<(1*,1((56

GLWLRQV DUH VXLWDEO\ DGGUHVVHG DQG UHVSRQGHG WR

7KHHTXLSPHQWPXVWPDWFKWKHZRUNVLWXDWLRQDQG
ZRUNSODFHHQYLURQPHQWDOIDFWRUV
7KH ZRUNSODFH DVVHVVPHQW VKDOO LGHQWLI\ DOO

SDWKVRILQWHQGHGXVHUPRYHPHQWDQGDOOIDOOKD]
DUGVDORQJVXFKSDWKV7KHFRPSHWHQWSHUVRQVKDOO
LGHQWLI\ WKH UHTXLUHG UDQJH RI PRELOLW\ LQ HDFK IDOO
KD]DUG ]RQH DQG QRWH WKH ORFDWLRQ DQG GLVWDQFHV
WRDOOREVWUXFWLRQVLQWKHSRWHQWLDOIDOOSDWKV/DWHUDO
REVWUXFWLRQVZKLFKFRXOGEHFRQWDFWHGLQDSHQGX
ODUIDOODUUHVWVKDOOEHQRWHG$FRQQHFWLQJVXEV\V
WHPVKDOOEHVHOHFWHGZKLFKZLOOVDWLVIDFWRULO\OLPLW
WRWDOIDOOGLVWDQFHDQGDOORZIRUG\QDPLFHORQJDWLRQ
LQSDUWLFXODUODQ\DUGHQHUJ\DEVRUEHURUYHUWLFDO
OLIHOLQHHORQJDWLRQDVH[DPSOHVDQGDFWLYDWLRQGLV
WDQFHRIWKHFRQQHFWLQJVXEV\VWHP
:KHUHYHUIDOOKD]DUGVLQWKHXVHUVSDWKFDQ
QRWEHDYRLGHGRUHOLPLQDWHGVXLWDEOHDQFKRUDJHV
PHHWLQJWKHUHTXLUHPHQWVRIVKDOOEHLGHQWLHG
DQGSURSHUDQFKRUDJHFRQQHFWRUVPHHWLQJWKHUH
TXLUHPHQWVRIVKDOOEHVSHFLHGIRUHDFK7KH
ORFDWLRQDQGW\SHRIDQFKRUDJHFRQQHFWRUVVKDOOEH
VHOHFWHGWRSUHYHQWSHQGXODUIDOODUUHVW
7KHVWDELOLW\DQGFRPSDWLELOLW\RIFRXSOLQJVEH
WZHHQDQFKRUDJHFRQQHFWRUVDQGDQFKRUDJHVVKDOO
EH FRQVLGHUHG LQ DQFKRUDJH DQG DQFKRUDJH FRQ
QHFWRUVHOHFWLRQ
7KH H[SRVXUH RI DQFKRUDJH FRQQHFWRUV WR

VKDUS HGJHV DEUDVLYH VXUIDFHV DQG SK\VLFDO
VRXUFHVVKDOOEHFRQVLGHUHGLQDQFKRUDJHDQGDQ
FKRUDJHFRQQHFWRUVHOHFWLRQ
7KHFRPSHWHQWSHUVRQVKDOOFDOFXODWHWKHDX
WKRUL]HGSHUVRQVIXOO\HTXLSSHGZHLJKWDQGHQVXUH
LWLVZLWKLQWKHFDSDFLW\UDQJHVHWIRUWKLQ
$ KDUQHVV PHHWLQJ WKH UHTXLUHPHQWV RI WKLV

VWDQGDUGVKDOOEHVHOHFWHGZKLFKLVVL]HGDQGSUR
SRUWLRQHG WR W WKH XVHU LQ DFFRUGDQFH ZLWK WKH
--```,`,,`,,`,,`,,,,`,,`,``,`-`-`,,`,,`,`,,`---
PDQXIDFWXUHUVLQVWUXFWLRQV
&RQQHFWRUVWKDWDUHVHOHFWHGZKHWKHULQWHJUDO
HOHPHQWV RU LQGLYLGXDO FRPSRQHQWV VKDOO EH VXLW
DEO\ VL]HG DQG FRQJXUHG WR LQWHUIDFH FRPSDWLEO\
HULFDQ1DWLRQ
$P DO
HG 6W
RY DQ
SU G
S D
$
UG
$0(5,&$162&,(7<2)

6$)(7<(1*,1((56

ZLWKDVVRFLDWHGFRQQHFWRUVZKLFKZLOOEHDWWDFKHG
WRWKHP
7KHFRPSHWHQWSHUVRQVKDOOVHOHFWPHDQVRI
SURWHFWLQJWKH3)$6HTXLSPHQWDJDLQVWGDPDJHE\
ZRUNSODFHRSHUDWLRQV7KHFRPSHWHQWSHUVRQVKDOO
FRQVXOWWKHPDQXIDFWXUHUVLQVWUXFWLRQV
7KHFRPSHWHQWSHUVRQVKDOOFKHFNWKH3)$6
HTXLSPHQW PDUNLQJV DQG LQVWUXFWLRQV DW WLPH RI
VHOHFWLRQ WR EH VXUH WKH HTXLSPHQW FRPSOLHV ZLWK
WKLV VWDQGDUG $Q\ PDQXIDFWXUHUV LQVWUXFWLRQV UH
JDUGLQJHTXLSPHQWVHOHFWLRQVKDOOEHUHDGDQGIRO
ORZHG
7KHFRPSHWHQWSHUVRQVKDOOHQVXUHWKDWV\V
WHPV DVVHPEOHG IURP FRPSRQHQWV DQG VXEV\V
WHPVPDGHE\GLIIHUHQWPDQXIDFWXUHUVDUHFRPSDW
LEOH DQG PHHW WKH UHTXLUHPHQWV RI WKLV VWDQGDUG
7KHFRPSHWHQWSHUVRQVKDOOFRQVXOWWKHUHVSHFWLYH
PDQXIDFWXUHUVDQGLIQHFHVVDU\DUUDQJHWKHWHVW
LQJUHTXLUHGE\WKLVVWDQGDUGEHIRUHXVLQJVXFKV\V
WHPV
(TXLSPHQW 5LJJLQJ DQG 8VH 3)$6 HTXLS

PHQWVKDOOEHULJJHGWRSUHYHQWDIUHHIDOOLQH[FHVV
RIVL[IHHWPDQGSUHFOXGHWKHSUHVHQFHRIYHUWL
FDODQGODWHUDOREVWUXFWLRQVLQWKHSRWHQWLDOIDOOSDWK
7KHULJJLQJVKDOOWDNHLQWRFRQVLGHUDWLRQWKHUHVFXH
SODQDQGUHVFXHHTXLSPHQWSURYLVLRQIRUUHWULHYDORI
WKHIDOOHQXVHURIWKH3)$67KH3)$6HTXLSPHQW
VKDOOEHULJJHGWRSUHYHQWLWVFRQWDFWZLWKKD]DUG
RXVREMHFWVLQWKHZRUNSODFHZKLFKFRXOGGDPDJH
WKHHTXLSPHQWRUSUHYHQWLWVSURSHUIXQFWLRQLQJ7KH
DXWKRUL]HGSHUVRQVKDOOFDOFXODWHKLVIXOO\HTXLSSHG
ZHLJKWDQGDVVXUHLWLVZLWKLQWKHFDSDFLW\UDQJHVHW
IRUWKLQ
1RNQRWVVKDOOEHWLHGLQODQ\DUGVOLIHOLQHVRU
DQFKRUDJHFRQQHFWRUV6OLGLQJKLWFKNQRWVVKDOOQRW
EHXVHGLQOLHXRIIDOODUUHVWHUV
6QDSKRRNVDQGFDUDELQHUVVKDOOEHFRPSDWL ( 0XOWLSOHFRQQHFWLRQVLQWRDVLQJOHULQJDUH

EO\PDWFKHGWRWKHLUDVVRFLDWHGFRQQHFWRUWRUHGXFH QRW UHFRPPHQGHG LH WZR VQDSKRRNV VQDSKRRN
WKHSRVVLELOLW\RIUROORXW6QDSKRRNVDQGFDUDELQHUV DQGZHEELQJVQDSKRRNDQGFDUDELQHU
VKDOOEHVHFXUHO\FORVHGDQGORFNHGRQFHFRXSOHG
WRDQDVVRFLDWHGFRQQHFWRU6QDSKRRNVDQGFDUDEL
QHUVVKDOOQRWEHFRQQHFWHGWRHDFKRWKHU
HULFDQ1DWLRQ
$P DO
HG 6W
RY DQ
SU G
S D
$
UG
$0(5,&$162&,(7<2)

6$)(7<(1*,1((56
--```,`,,`,,`,,`,,,,`,,`,``,`-`-`,,`,,`,`,,`---

$QFKRUDJHV VHOHFWHG IRU 3)$6 VKDOO KDYH D ( 7KH SRXQG N1 DQFKRUDJH
VWUHQJWKFDSDEOHRIVXVWDLQLQJVWDWLFORDGVDSSOLHG UHIHUUHG WR KHUH LV WKH VDPH DV WKDW UHTXLUHG E\
LQWKHGLUHFWLRQVSHUPLWWHGE\WKH3)$6RIDWOHDVW 26+$ $Q DVVXPSWLRQ LV PDGH WKDW WKH
D WZR WLPHV WKH PD[LPXP DUUHVW IRUFH SHUPLW SRXQG N1 VWUHQJWK OHYHO KDV EHHQ
WHGRQWKHV\VWHPZKHQFHUWLFDWLRQH[LVWVRUE HVWDEOLVKHG DQG WKHUHIRUH FHUWLFDWLRQ LV QRW UH
SRXQGVN1LQWKHDEVHQFHRIFHUWLFD TXLUHG6HH$16,$66(=
WLRQ:KHQPRUHWKDQRQH3)$6LVDWWDFKHGWRDQ
DQFKRUDJHWKHDQFKRUDJHVWUHQJWKVVHWIRUWKLQD
DQGEDERYHVKDOOEHPXOWLSOLHGE\WKHQXPEHURI
SHUVRQDOIDOODUUHVWV\VWHPVDWWDFKHGWRWKHDQFKRU
DJH
$QFKRUDJHFRQQHFWLRQVVKDOOEHVWDELOL]HGWR ( $QFKRUDJHV VKRXOG EH ORFDWHG YHUWLFDOO\

SUHYHQWXQZDQWHGPRYHPHQWRUGLVHQJDJHPHQWRI DERYHWKHXVHUVKHDGWRSUHYHQWSHQGXODUIDOODU
WKH3)$6IURPWKHDQFKRUDJH UHVW,IDPRELOHDQFKRUDJHFRQQHFWRUHJWUROOH\
LVQRWXVHGWRSURYLGHODWHUDOPRELOLW\WKHDQFKRUDJH
SRLQWVKRXOGEHUHULJJHGDVWKHZRUNSURJUHVVHV
VR DV WR SURYLGH DQ DQFKRUDJH YHUWLFDOO\ RYHU WKH
XVHUVKHDGDWDOOWLPHV
$QFKRUDJHFRQQHFWRUVVKDOOQRWEHDWWDFKHG
WR DQFKRUDJHV ZKHUH VXFK DWWDFKPHQW ZRXOG UH
GXFHWKHDQFKRUDJHVWUHQJWKEHORZWKHDSSOLFDEOH
OHYHO VHW IRUWK LQ RU UHGXFH WKH DQFKRUDJH
VWUHQJWKEHORZWKHDOORZDEOHOHYHOVHWE\DSSOLFDEOH
VWUXFWXUDO FRGHV $ VXLWDEOH DQFKRUDJH FRQQHFWRU
VKDOOEHXVHGIRUULJJLQJWKHFRQQHFWLRQRIODQ\DUGV
DQG OLIHOLQHV WR VWUXFWXUDO PHPEHUV /DQ\DUGV DQG
OLIHOLQHV VKDOO QRW EH ZUDSSHG DURXQG VWUXFWXUDO
PHPEHUV DQG FRQQHFWHG EDFN RQWR WKHPVHOYHV
XQOHVVDVXLWDEOHDQFKRUDJHFRQQHFWLRQPHDQVLV
LQWHJUDOWRWKHP
7KH VWDELOLW\ DQG FRPSDWLELOLW\ RI FRXSOLQJV

EHWZHHQ DQFKRUDJH FRQQHFWRUV DQG DQFKRUDJHV
VKDOOEHFRQVLGHUHGLQDQFKRUDJHFRQQHFWRUULJJLQJ
DQGXVH
7KH H[SRVXUH RI DQFKRUDJH FRQQHFWRUV WR

VKDUS HGJHV DEUDVLYH VXUIDFHV DQG SK\VLFDO
VRXUFHVVKDOOEHFRQVLGHUHGLQDQFKRUDJHFRQQHF
WRUULJJLQJDQGXVH
--```,`,,`,,`,,`,,,,`,,`,``,`-`-`,,`,,`,`,,`---
$ YHUWLFDO OLIHOLQH VKDOO VXVSHQG IUHHO\ IURP ( 9HUWLFDO OLIHOLQHV VKRXOG EH SURWHFWHG IURP
LWVDQFKRUDJHFRQQHFWLRQZLWKRXWFRQWDFWDORQJLWV DEUDVLRQ WKDW PD\ RFFXU IURP VXVSHQVLRQ RYHU RU
OHQJWKZLWKVWUXFWXUHVRURWKHUREMHFWVZKLFKZRXOG DORQJDVWUXFWXUDOPHPEHU
DGYHUVHO\DIIHFWLWVLQWHJULW\RULWVIXQFWLRQLQFRQ
MXQFWLRQZLWKRWKHUFRPSRQHQWVRIWKH3)$6,QRU
HULFDQ1DWLRQ
$P DO
HG 6W
RY DQ
SU G
S D
$
UG
$0(5,&$162&,(7<2)

6$)(7<(1*,1((56

GHUWRVWDELOL]HWKHORZHUHQGRIWKHOLIHOLQHLWVKDOO
EHULJJHGZLWKDZHLJKWRURWKHUSURYLVLRQVSHFLHG
E\WKHPDQXIDFWXUHURIWKHDVVRFLDWHGIDOODUUHVWHU
7KH9//VKDOOEHH[WHQGHGWRRUEHORZWKHORZHVW
OHYHOWRZKLFKWKHXVHULVH[SHFWHGWRWUDYHODQGD
VWRS VSHFLHG E\ WKH PDQXIDFWXUHU RI IDOO DUUHVWHU
VKDOO EH LQVWDOOHG WR SUHYHQW WKH IDOO DUUHVWHU IURP
DFFLGHQWDOO\FRPLQJRIIWKHOLIHOLQH
7KHDXWKRUL]HGSHUVRQVKDOOFKHFNWKHOLIHOLQH
WRDVVXUHWKDWLWLVRIWKHFRUUHFWVL]HDQGFRQVWUXF
WLRQ IRU XVH ZLWK WKH LQWHQGHG IDOO DUUHVWHU &DUH
VKDOODOVREHWDNHQWRDVVXUHWKDWWKHIDOODUUHVWHULV
LQVWDOOHGLQWKHSURSHUGLUHFWLRQRQWKHOLIHOLQHLQDF
FRUGDQFHZLWKWKHPDQXIDFWXUHUVLQVWUXFWLRQV
/DQ\DUGVDQGOLIHOLQHVZLWKVKRFNDEVRUEHUV
VKDOOEHLQVWDOOHGLQDPDQQHUWKDWSUHYHQWVVWUXF
WXUDO LQWHUIHUHQFH ZLWK WKH VKRFN DEVRUEHUV IXQF
WLRQ
$KDUQHVVPHHWLQJWKHUHTXLUHPHQWVRIWKH (7KH FRPSHWHQW SHUVRQ VKRXOG YHULI\ WKH

=)DOO3URWHFWLRQ&RGHDQGSURSHUO\FRQJXUHG WRWDOZHLJKWRIHDFKDXWKRUL]HGSHUVRQDQGHTXLS
IRUWKHZRUNSODFHWREHSHUIRUPHGVKDOOEHVHOHFW PHQW WRROV FORWKLQJ HWF DQG DVVXUH LW LV ZLWKLQ
HG 7KH KDUQHVV VKDOO EH VL]HG DQG SURSRUWLRQHG WKHFDSDFLW\UDQJHDVVHWIRUWKE\WKHPDQXIDFWXUHU
WRWWKHDXWKRUL]HGSHUVRQLQDFFRUGDQFHZLWKWKH 7KH FRPSHWHQW SHUVRQ VKRXOG YHULI\ WKH SHUVRQDO
PDQXIDFWXUHUVLQVWUXFWLRQV IDOODUUHVWV\VWHPHTXLSPHQWPDUNLQJVDQGLQVWUXF
WLRQ DW WKH WLPH RI VHOHFWLRQ WR EH VXUH WKH HTXLS
PHQW FRPSOLHV ZLWK WKLV VWDQGDUG 7KH PDQXIDF
WXUHUVHTXLSPHQWVHOHFWLRQLQVWUXFWLRQVVKRXOGEH
UHDGDQGIROORZHGE\WKHDXWKRUL]HGSHUVRQ
&RQQHFWRUVWKDWDUHVHOHFWHGZKHWKHULQ ( (TXLSPHQW WKDW LV GLPHQVLRQDOO\ LQFRP
--```,`,,`,,`,,`,,,,`,,`,``,`-`-`,,`,,`,`,,`---
WHJUDOHOHPHQWVRULQGLYLGXDOFRPSRQHQWVVKDOOEH SDWLEOHFDQOHDGWRIRUFHGUROORXW7KHFRPSHWHQW
FRPSDWLEO\VKDSHGDQGGLPHQVLRQHGLQUHODWLRQWR SHUVRQDQGWKHDXWKRUL]HGSHUVRQVKRXOGFRQVLGHU
WKHDVVRFLDWHGFRQQHFWRUVZKLFKZLOOEHDWWDFKHGWR WKHSRVVLELOLW\RIIRUFHGUROORXWDQGYHULI\WKHHTXLS
WKHPRUDVGHVLJQHGE\WKHPDQXIDFWXUHUV PHQWLVDGHTXDWHIRUWKDWZRUNDFWLYLW\
7KH FRPSHWHQW SHUVRQ DQGRU TXDOLHG

SHUVRQVKDOOHQVXUHWKDWV\VWHPVDVVHPEOHGIURP
FRPSRQHQWV DQG VXEV\VWHPV PDGH E\ GLIIHUHQW
PDQXIDFWXUHUVPHHWWKHUHTXLUHPHQWVRIWKLVVWDQ
GDUG
3)$6HTXLSPHQWVKDOOEHULJJHGVRWKDWWKH
0D[LPXP $UUHVWLQJ )RUFH VKDOO QRW H[FHHG WKH
VSHFLFDWLRQVUHIHUHQFHGLQWKLVVWDQGDUG
1RNQRWVVKDOOEHWLHGLQODQ\DUGVOLIHOLQHV (7KHNQRWVKDYHDQHIIHFWRIUHGXFLQJWKH
HULFDQ1DWLRQ
$P DO
HG 6W
RY DQ
SU G
S D
$
UG
$0(5,&$162&,(7<2)

6$)(7<(1*,1((56

RUDQFKRUDJHFRQQHFWRUV$VOLGLQJKLWFKVKDOOQRW FDSDFLW\RIWKH3)$6E\DVPXFKDVWR
EHXVHGLQOLHXRIIDOODUUHVWRUV
6QDSKRRNVDQGFDUDELQHUVVKDOOEHFRP (0XOWLSOHFRQQHFWLRQVLQWRDVLQJOHULQJDUH
SDWLEO\ PDWFKHG WR WKHLU DVVRFLDWHG FRQQHFWRU WR QRWUHFRPPHQGHGLHWZRVQDSKRRNVVQDSKRRN
UHGXFHWKHSRVVLELOLW\RIIRUFHGUROORXW6QDSKRRNV DQGZHEELQJVQDSKRRNDQGFDUDELQHU6QDSKRRNV
DQGFDUDELQHUVVKDOOEHVHFXUHO\FORVHGDQGORFNHG DQGFDUDELQHUVZKLFKDUHQRWFRPSDWLEOHZLWKHDFK
RQFHFRXSOHGWRDQDVVRFLDWHGFRQQHFWRU6QDSKRRNV RWKHU DV ZHOO DV VQDSKRRNWRVQDSKRRN FRQQHF
DQGFDUDELQHUVVKDOOQRWEHFRQQHFWHGWRHDFKRWKHU WLRQVPD\FDXVHIRUFHGUROORXW
XQOHVVVSHFLFDOO\GHVLJQHGIRUVXFKFRQQHFWLRQV
$QFKRUDJH FRQQHFWRUV VKDOO QRW EH DW (7KHFRPSHWHQWSHUVRQPD\QHHGWRFRQ

WDFKHG WR DQFKRUDJHV ZKHUH VXFK DWWDFKPHQW VXOW D TXDOLHG SHUVRQ WR GHWHUPLQH WKH VWUXFWXUDO
ZRXOG UHGXFH WKH DQFKRUDJH VWUHQJWK EHORZ WKH FDSDFLW\RIWKHZRUNLQJVXUIDFHVDQGSURSRVHGDQ
DSSOLFDEOHOHYHOVHWIRUWKRUUHGXFHWKHDQFKRUDJH FKRUDJHV7KHFRPSHWHQWSHUVRQVKRXOGFRQVLGHU
DSSOLFDEOHOHYHOVHWIRUWKRUUHGXFHWKHDQFKRUDJH WKHHIIHFWVRIVZLQJIDOOLQJLQWKHHYHQWRIDIDOO2E
VWUHQJWKEHORZWKHDOORZDEOHOHYHOVHWE\JRYHUQLQJ VWUXFWLRQVZKLFKFRXOGEHFRQWDFWHGLQDSHQGXODU
FRGHVDQG26+$UHJXODWLRQV$VXLWDEOHDQFKRUDJH IDOO DUUHVW VKRXOG EH QRWHG $ FRQQHFWLQJ VXEV\V
FRQQHFWRUVKDOOEHXVHGIRUULJJLQJWKHFRQQHFWLRQ WHPVKRXOGEHVHOHFWHGZKLFKZLOOVDWLVIDFWRU\OLPLW
RI ODQ\DUGV WR VWUXFWXUDO PHPEHUV /DQ\DUGV VKDOO WRWDOIDOOGLVWDQFHDQGDOORZIRUG\QDPLFHORQJDWLRQ
QRW EH ZUDSSHG DURXQG VWUXFWXUDO PHPEHUV DQG LQSDUWLFXODUODQ\DUGHQHUJ\DEVRUEHURUYHUWLFDO
FRQQHFWHGEDFNRQWRWKHPVHOYHVXQOHVVDVXLWDEOH OLIHOLQHHORQJDWLRQDVH[DPSOHVDQGDFWLYDWLRQGLV
PHDQVIRUDQFKRUDJHFRQQHFWLRQLVLQWHJUDOLQWRWKH WDQFHRIWKHFRQQHFWLQJVXEV\VWHP
ODQ\DUGDQGWKHODQ\DUGPHHWVWKHUHTXLUHPHQWVRI
$16,$66(=VWDQGDUG
7KHVWDELOLW\DQGFRPSDWLELOLW\RIFRXSOLQJV (7KHFRPSHWHQWSHUVRQVKRXOGYHULI\WKDW
EHWZHHQ DQFKRUDJH FRQQHFWRUV DQG DQFKRUDJHV WKHDXWKRUL]HGSHUVRQVHTXLSPHQWLVDGHTXDWHDQG
--```,`,,`,,`,,`,,,,`,,`,``,`-`-`,,`,,`,`,,`---
VKDOOEHFRQVLGHUHGE\WKHFRPSHWHQWSHUVRQLQDQ FRPSDWLEOH IRU WKH DXWKRUL]HG SHUVRQV DFWLYLWLHV
FKRUDJHFRQQHFWRUULJJLQJDQGXVH EHIRUHWKHDXWKRUL]HGSHUVRQVDUHH[SRVHGWRDQ\
IDOOKD]DUGV
$QFKRUDJHFRQQHFWRUVVKDOOEHSURWHFWHG ( 7KH FRPSHWHQW SHUVRQ VKRXOG IXOO\ XQ

IURP ZRUNSODFH HQYLURQPHQWDO IDFWRUV DQG ZRUN GHUVWDQGWKHLQWHQGHGXVHRIWKHHTXLSPHQWDQGWKH
VLWHKD]DUGV HTXLSPHQW OLPLWDWLRQV EHIRUH DXWKRUL]HG SHUVRQV
DUHH[SRVHGWRDQ\IDOOKD]DUGV3ULRUWRVHOHFWLQJ
3)$6 HTXLSPHQW WKH FRPSHWHQW SHUVRQ DQGRU
TXDOLHG SHUVRQ VKRXOG PDNH DQ DVVHVVPHQW RI
ZRUNSODFH FRQGLWLRQV ZKHUH WKH HTXLSPHQW LV UH
TXLUHG 6XFK DVVHVVPHQW VKRXOG DW D PLQLPXP
LGHQWLI\WKHSUHVHQFHRIKRWREMHFWVVSDUNVDPHV
DQGKHDWSURGXFLQJRSHUDWLRQVFKHPLFDOVHOHFWULF
KD]DUGV HQYLURQPHQWDO FRQWDPLQDQWV VKDUS RE
MHFWV DEUDVLYH VXUIDFHV PRYLQJ HTXLSPHQW DQG
PDWHULDOVXQVWDEOHXQHYHQDQGVOLSSHU\ZDONLQJ
ZRUNLQJ VXUIDFHV XQJXDUGHG RSHQLQJV FOLPDWLF
ZHDWKHUIDFWRUVDQGIRUHVHHDEOHFKDQJHVLQDQ\RI
WKHVHFRQGLWLRQVWDNHQLQGLYLGXDOO\RUFROOHFWLYHO\
HULFDQ1DWLRQ
$P DO
HG 6W
RY DQ
SU G
S D
$
UG
$0(5,&$162&,(7<2)

6$)(7<(1*,1((56

7KH H[SRVXUH RI DQFKRUDJH FRQQHFWRUV (7KHFRPSHWHQWSHUVRQVKRXOGXQGHUVWDQG

WR VKDUS HGJHV DEUDVLYH VXUIDFHV DQG SK\VLFDO WKHOLPLWDWLRQRIWKHPDQXIDFWXUHUVHTXLSPHQWDQG
KD]DUGVVXFKDVWKHUPDOHOHFWULFDODQGFKHPLFDO VHOHFWWKHSURSHUHTXLSPHQWIRUWKHDXWKRUL]HGSHU
VRXUFHVVKDOOEHFRQVLGHUHGE\WKHFRPSHWHQWSHU VRQVZRUNDFWLYLWLHVEHIRUHWKHDXWKRUL]HGSHUVRQV
VRQLQDQFKRUDJHFRQQHFWRUULJJLQJDQGXVH DUHH[SRVHGWRDQ\IDOOKD]DUGV
$YHUWLFDOOLIHOLQHVKDOOEHVHFXUHO\DWWDFKHG
WR DQG VXVSHQGHG IUHHO\ IURP LWV DQFKRUDJH FRQ
QHFWLRQDQGQRWFRQWDFWDQ\VWUXFWXUHVRURWKHURE
MHFWVZKLFKFRXOGDGYHUVHO\DIIHFWLWVLQWHJULW\RULWV
IXQFWLRQ9HUWLFDOOLIHOLQHVVKDOOEHSURWHFWHGIURP
DEUDVLRQRURWKHUGDPDJHLHKHDWZHOGLQJVODJ
HOHFWULFDOFKHPLFDOVHWFWKDWPD\RFFXUIURPVXV
SHQVLRQRYHURUDORQJDVWUXFWXUDOPHPEHU,QRUGHU
WRVWDELOL]HWKHORZHUHQGRIWKHOLIHOLQHLWVKDOOEH
ULJJHG ZLWK D ZHLJKW RU RWKHU SURYLVLRQ VSHFLHG
E\WKHPDQXIDFWXUHURIWKHDVVRFLDWHGIDOODUUHVWHU
7KH9//VKDOOEHH[WHQGHGWRRUEHORZWKHORZHVW
OHYHOWRZKLFKWKHDXWKRUL]HGSHUVRQLVH[SHFWHGWR
WUDYHO$VWRSVSHFLHGE\WKHPDQXIDFWXUHURIWKH
IDOODUUHVWHUVKDOOEHLQVWDOOHGWRSUHYHQWWKHIDOODU
UHVWHUIURPDFFLGHQWDOO\FRPLQJRIIWKHOLIHOLQH
7KHFRPSHWHQWSHUVRQVKDOOFKHFNWKHYHU
WLFDO OLIHOLQH WR DVVXUH WKDW LW LV RI WKH FRUUHFW VL]H
DQG FRQVWUXFWLRQ IRU XVH ZLWK WKH LQWHQGHG IDOO DU
UHVWHU
)DOO DUUHVWHUV VKDOO EH LQVWDOOHG LQ WKH

SURSHUGLUHFWLRQRQWKH9//LQDFFRUGDQFHZLWKWKH
PDQXIDFWXUHUVLQVWUXFWLRQV
7UDLQLQJ $XWKRUL]HG SHUVRQV DQG XVHUV VKDOO

EHWUDLQHGE\DFRPSHWHQWSHUVRQWUDLQHUWRLQVSHFW
XVHVWRUHDQGPDLQWDLQWKHHTXLSPHQWDFFRUGLQJ
WRWKHUHTXLUHPHQWVRIWKLVVWDQGDUGDQGWKHPDQX
IDFWXUHUVLQVWUXFWLRQV
7UDLQLQJVKDOODGGUHVVLQVSHFWLRQVSHUIRUPHG ( 3RVWXVH LQVSHFWLRQ VKRXOG DOVR EH SHU

SULRUWRXVHRIWKHHTXLSPHQWDQGLQFOXGHWKHPDQX IRUPHGEHIRUHUHWXUQLQJHTXLSPHQWWRVWRUDJH
IDFWXUHUVUHFRPPHQGDWLRQVIRULQVSHFWLRQ
7UDLQLQJVKDOOEHSURYLGHGLQSURSHUXVHRIWKH ( 7KLVVWDQGDUGGRHVQRWVSHFLI\WKHUHTXLUH

HTXLSPHQWDQGLQFOXGH PHQWV LPSRVHG RQ HTXLSPHQW DQG PHWKRGV IRU
UHVFXHDQGHYDFXDWLRQRSHUDWLRQVDWKHLJKWV$IX
KRZWRXVHWKHHTXLSPHQW WXUHVWDQGDUGLQWKH=)DOO3URWHFWLRQ&RGHZLOO
--```,`,,`,,`,,`,,,,`,,`,``,`-`-`,,`,,`,`,,`---
KRZWRHVWLPDWHDQGOLPLWWKHPD[LPXPDUUHVWLQJ DGGUHVVVXFKUHTXLUHPHQWV7KHDEVHQFHRIVXFK
IRUFHWRDFFHSWDEOHOLPLWVIRUWKH3)$6 VWDQGDUG DW WKLV WLPH GRHV QRW GLPLQLVK WKH QHHG
SURSHUPHWKRGVRIGRQQLQJDGMXVWLQJDQGLQWHU IRUWUDLQLQJLQWKHSODQQLQJDQGH[HFXWLRQRIUHVFXH
HULFDQ1DWLRQ
$P DO
HG 6W
RY DQ
SU G
S D
$
UG
$0(5,&$162&,(7<2)

6$)(7<(1*,1((56

FRQQHFWLQJRIWKHHTXLSPHQW DQGHYDFXDWLRQSURFHGXUHVZKLFKPD\EHQHFHV
SURSHUDWWDFKPHQWORFDWLRQVRQWKHHTXLSPHQW VDU\ WR UHWULHYH D XVHU VXVSHQGHG E\ D IDOO DUUHVW
LQWHQGHG IXQFWLRQ DQG SHUIRUPDQFH FKDUDFWHULV V\VWHPDIWHUDIDOORFFXUV
WLFVIRUHDFKLWHPRIHTXLSPHQW
SURSHUDWWDFKPHQWPHWKRGVLQFOXGLQJFRPSDWLELO
LW\RIWKHVL]HVRIVQDSKRRNV'5LQJVDQGRWKHU
FRQQHFWLRQVWRUHGXFHWKHSUREDELOLW\RIDFFLGHQ
WDOGLVHQJDJHPHQW
KRZ WR GHWHUPLQH IUHH IDOO GLVWDQFH DQG WRWDO IDOO
GLVWDQFH
ZKDWWRGRDIWHUDIDOOWRSURWHFWWKHXVHUIURPLQ
MXU\
HPHUJHQF\UHVFXHSODQQLQJDQGH[HFXWLRQWRLQ
FOXGH
PHWKRGVRIUHVFXH
UHVFXHSHUVRQQHODYDLODELOLW\
W\SHRIHTXLSPHQWDYDLODEOHIRUUHVFXHDQGHIIHF
WLYHPHDQVWRVXPPRQUHVFXHSHUVRQQHO
GULOOLQJRIUHVFXHSHUVRQQHOLQUHVFXHDQGHYDFX
DWLRQSURFHGXUHV
7UDLQLQJLQPDLQWHQDQFHSURFHGXUHVVKDOOLQ ( 3RVWXVHLQVSHFWLRQPD\DOVREHLQFOXGHG

FOXGHWKRVHLVVXHVVHWIRUWKLQWKHPDQXIDFWXUHUV DVDPDLQWHQDQFHSURFHGXUH
LQVWUXFWLRQVDQG6HFWLRQ
7UDLQLQJ LQ SURSHU VWRUDJH WHFKQLTXHV VKDOO ( 7KH FRPSHWHQW SHUVRQ VKDOO HVWDEOLVK D
EHSURYLGHGLQDFFRUGDQFHZLWKWKHPDQXIDFWXUHUV SURSHU VWRUDJH ORFDWLRQ IRU SHUVRQDO IDOO DUUHVW
UHFRPPHQGDWLRQV HTXLSPHQW
7UDLQLQJWKURXJKSUDFWLFDOGHPRQVWUDWLRQVKDOO
EHSURYLGHGHDFKXVHUZKHQ
LQLWLDOO\GRQQLQJRUXVLQJHTXLSPHQW
DFRPSRQHQWLVFKDQJHG
UVWDSSURDFKLQJDFRQGLWLRQRIXVH
HQFRXQWHULQJVSHFLDOFRQGLWLRQV
3HULRGLF DVVHVVPHQW RI WKH HIIHFWLYHQHVV RI ( 7UDLQLQJ HIIHFWLYHQHVV PD\ EH HYDOXDWHG
XVHU WUDLQLQJ VKDOO EH FRQGXFWHG DW OHDVW DQQXDOO\ E\ VHYHUDO WHFKQLTXHV 3HUVRQQHO VKRXOG GHPRQ
E\DFRPSHWHQWSHUVRQDQGWKHQHHGIRUPRUHWUDLQ VWUDWHWKHLUZRUNLQJNQRZOHGJHRISHUVRQDOIDOODU
LQJDQGUHWUDLQLQJGHWHUPLQHG UHVWHTXLSPHQWDQGSURFHGXUHVWKURXJKDZULWWHQRU
SUDFWLFDOGHPRQVWUDWLRQRUERWK
7UDLQLQJVKDOODGGUHVVLQVSHFWLRQVSHUIRUPHG ( 3RVWXVH LQVSHFWLRQ VKRXOG DOVR EH SHU

SULRUWRHDFKXVHRIWKHHTXLSPHQWDQGLQFOXGHWKH IRUPHG E\ WKH DXWKRUL]HG SHUVRQ EHIRUH UHWXUQLQJ
PDQXIDFWXUHUVUHFRPPHQGDWLRQVIRULQVSHFWLRQ HTXLSPHQWWRVWRUDJH
7UDLQLQJVKDOOEHSURYLGHGLQWKHVHOHFWLRQDQG
XVHRIIDOOSURWHFWLRQHTXLSPHQWLQFOXGLQJ
HULFDQ1DWLRQ
$P DO
HG 6W
RY DQ
SU G
S D
$
UG
$0(5,&$162&,(7<2)

6$)(7<(1*,1((56
--```,`,,`,,`,,`,,,,`,,`,``,`-`-`,,`,,`,`,,`---

KDQGVRQ HTXLSPHQW WUDLQLQJ LQFOXGLQJ FOLPELQJ

DQGZRUNSODFHWDVNVLWXDWLRQV
7UDLQLQJ VKDOO EH SURYLGHG E\ SUDFWLFDO GHP

RQVWUDWLRQ RQ KRZ WR SURSHUO\ XVH WKH HTXLSPHQW
EHIRUHDXWKRUL]HGSHUVRQVDUHH[SRVHGWRIDOOKD]
DUGV 7KH WUDLQLQJ VKDOO LQFOXGH WKH IROORZLQJ WRS
LFV
UVWDSSURDFKLQJDFRQGLWLRQRIXVH
HQFRXQWHULQJVSHFLDOFRQGLWLRQV
KRZWRXVHWKHHTXLSPHQW
KRZWRHVWLPDWHDQGOLPLWWKHPD[LPXPDUUHVWLQJ
IRUFHWRDFFHSWDEOHOLPLWVIRUWKH3)$6
SURSHUPHWKRGVRIGRQQLQJDGMXVWLQJDQGLQWHU
FRQQHFWLQJRIWKHHTXLSPHQW
SURSHUDWWDFKPHQWORFDWLRQVRQWKHHTXLSPHQW
LQWHQGHG IXQFWLRQ DQG SHUIRUPDQFH FKDUDFWHULV
WLFVRIHDFKLWHPRIHTXLSPHQW
SURSHUDWWDFKPHQWPHWKRGVLQFOXGLQJFRPSDWLELO
LW\ RI WKH VL]HV RI WKH VQDSKRRNV '5LQJV DQG
--```,`,,`,,`,,`,,,,`,,`,``,`-`-`,,`,,`,`,,`---
RWKHUFRQQHFWLRQVWRUHGXFHWKHSUREDELOLW\RIDF
FLGHQWDOGLVHQJDJHPHQW
ZKDW WR GR DIWHU D IDOO WR SURWHFW WKH DXWKRUL]HG
SHUVRQIURPLQMXU\
HPHUJHQF\UHVFXHSODQQLQJDQGH[HFXWLRQWRLQ
FOXGH
SUHSODQQLQJRIUHVFXH
PHWKRGVRIUHVFXH
UHVFXHSHUVRQQHODYDLODELOLW\
W\SH RI HTXLSPHQW IRU UHVFXH DQG HIIHFWLYH
PHDQVWRVXPPRQUHVFXHSHUVRQQHO
GULOOLQJ RI UHVFXH SHUVRQQHO LQ UHVFXH DQG
HYDFXDWLRQSURFHGXUHV
7KHFRPSHWHQWSHUVRQWUDLQHUVKDOOLQFOXGH
PDQ\ GLIIHUHQW PHWKRGV RI WUDLQLQJ WKH DXWKRUL]HG
SHUVRQV7KHWUDLQLQJVKDOOLQFOXGHOHFWXUHVYLGHRV
GHPRQVWUDWLRQVDQGKDQGVRQW\SHVRIWUDLQLQJRQ
WKH HTXLSPHQW DQG WKHLU LQWHQGHG W\SH RI XVDJH
7KHFRPSHWHQWSHUVRQWUDLQHUVKDOONHHSWKHWUDLQ
LQJUHFRUGVRIWKHWUDLQHGDXWKRUL]HGSHUVRQVIRUDW
OHDVWWHQ\HDUV
7UDLQLQJ VKDOO EH FRPPXQLFDWHG WR WKH DX

WKRUL]HGSHUVRQLQDPXOWLPHGLDIRUPDWDQGLQDODQ
JXDJHWKDWWKH\KDYHDZRUNLQJNQRZOHGJHXVXDOO\
WKHLUUVWRUVHFRQGQDWXUDOODQJXDJH
HULFDQ1DWLRQ
$P DO
HG 6W
RY DQ
SU G
S D
$
UG
$0(5,&$162&,(7<2)

6$)(7<(1*,1((56

3HULRGLFDVVHVVPHQWRIWKHHIIHFWLYHQHVVRI
WKHDXWKRUL]HGSHUVRQWUDLQLQJVKDOOEHFRQGXFWHGDW
OHDVWDQQXDOO\E\DFRPSHWHQWSHUVRQDQGRUFRP
SHWHQWSHUVRQWUDLQHUDQGWKHQHHGIRUPRUHWUDLQ
LQJDQGUHWUDLQLQJGHWHUPLQHG5HWUDLQLQJVKDOODOVR
--```,`,,`,,`,,`,,,,`,,`,``,`-`-`,,`,,`,`,,`---
EHSHUIRUPHGZKHQHYHUWKHUHLVUHDVRQWREHOLHYH
WKDWWKHDXWKRUL]HGSHUVRQLVLQDGHTXDWHO\WUDLQHG
RU ZKHQ ZRUN HTXLSPHQW RU ZRUNSODFH FRQGLWLRQV
FKDQJH
&RPSHWHQW SHUVRQ WUDLQHUV DQG TXDOLHG

SHUVRQ WUDLQHUV VKDOO KDYH FXUUHQW NQRZOHGJH RI
IDOOSURWHFWLRQPHWKRGVLVVXHVDQGSUDFWLFHVDQG
VKDOOPDLQWDLQWKLVFXUUHQWNQRZOHGJHWKURXJKSUDF
WLFHH[SHULHQFHRUHGXFDWLRQ
2%&%2%.#%3
:KHQ UHIHUUHG WR KHUHLQ WKH VSHFLF UHIHUHQFHV

FLWHG EHORZ LQFOXVLYH RI WKH UHYLVLRQ GHVLJQDWHG
VKDOO EH DSSOLHG ,I DQ\ RI WKH OLVWHG UHIHUHQFHV LV
UHYLVHG RU LV REVROHWHG E\ LWV LVVXHU WKH VSHFLF
UHIHUHQFHFLWHGEHORZVKDOOFRQWLQXHWRDSSO\WRWKLV
VWDQGDUGXQOHVVDQGXQWLOWKLVVWDQGDUGLVRIFLDOO\
DPHQGHG
6XSHULQWHQGHQW RI 'RFXPHQWV 86 *RYHUQ

PHQW3ULQWLQJ2IFH:DVKLQJWRQ'&
6WDQGDUG,QGXVWULDO&ODVVLFDWLRQ0DQXDO
86'HSDUWPHQWRI'HIHQVH1DWLRQDO3XEOLFD
WLRQ)RUP&HQWHU7DERU$YHQXH3KLODGHOSKLD
3$
0,/++ 127 +HDW 7UHDWPHQW RI

6WHHO3URFHVVIRU66E\6$($06+
0,/:' 0LOLWDU\ 6SHFLFDWLRQ :LUH

5RSH)OH[LEOHIRU$LUFUDIW&RQWURO
*HQHUDO 6HUYLFHV $GPLQLVWUDWLRQ 6SHFLFD

WLRQ%UDQFKWK '6WUHHW6::DVKLQJWRQ'&

)('67' 6WUHQJWK DQG (ORQJD

WLRQ%UHDNLQJ7H[WLOH:HEELQJ7DSHDQG%UDLGHG
,WHPV
HULFDQ1DWLRQ
$P DO
HG 6W
RY DQ
SU G
S D
$
UG
$0(5,&$162&,(7<2)

6$)(7<(1*,1((56

)('67' 6WUHQJWK DQG (ORQ

JDWLRQ %UHDNLQJ RI &RUGDJH 6SOLFHG 6SHFLPHQ
0HWKRG
)('67' 6WUHQJWK DQG (ORQJD

WLRQ%UHDNLQJRI&RUGDJH1RQ6SOLFHG6SHFLPHQ
0HWKRG
)HGHUDO 6WDQGDUG $ 6WLWFKHV 6HDPV

DQG6WLWFKLQJV
86 'R' 55:( :LUH 5RSH DQG

6WUDQG
$670 5DFH 6WUHHW 3KLODGHOSKLD 3$

$670%6WDQGDUG3UDFWLFHIRU2SHU
DWLQJ6DOW6SUD\)RJ$SSDUDWXV
$670$$06WDQGDUG6SHFLFD
WLRQIRU*UDGH$OOR\6WHHO&KDLQ
$670 (H 6WDQGDUG 7HVW 0HWKRGV

IRU&RQGXFWLQJ&UHHS&UHHS5XSWXUHDQG6WUHVV
5XSWXUH7HVWVRI0HWDOOLF0DWHULDOV
$670(7HVW0HWKRGVIRU7HQVLRQ7HVW
LQJRI0HWDOOLF0DWHULDOV
$670(H6WDQGDUG7HVW0HWKRGVIRU
5RFNZHOO+DUGQHVVDQG5RFNZHOO6XSHUFLDO+DUG
QHVVRI0HWDOOLF0DWHULDOV
8QGHUZULWHUV /DERUDWRULHV ,QF 1RUWKEURRN

,OOLQRLV
8/ 0DUNLQJ DQG /DEHOLQJ 6\V

WHPV
$PHULFDQ 6RFLHW\ RI 6DIHW\ (QJLQHHUV

(DVW2DNWRQ6WUHHW'HV3ODLQHV,/
$16,$66($)DOO3URWHFWLRQ6\VWHPV
IRU&RQVWUXFWLRQDQG'HPROLWLRQV
$PHULFDQ6RFLHW\IRU4XDOLW\&RQWURO:HVW
:LVFRQVLQ$YHQXH0LOZDXNHH:,
HULFDQ1DWLRQ
$P DO
HG 6W
RY DQ
SU G
S D
$
UG
$0(5,&$162&,(7<2)

6$)(7<(1*,1((56
--```,`,,`,,`,,`,,,,`,,`,``,`-`-`,,`,,`,`,,`---

$16,$64& 4 4XDOLW\ 0DQDJHPHQW DQG

4XDOLW\6\VWHP(OHPHQWV*XLGHOLQHV
$PHULFDQ6RFLHW\RI0HFKDQLFDO(QJLQHHUV
(DVWWK6WUHHW1HZ<RUN1<
$60($16,$6DIHW\5HTXLUHPHQWVIRU
:LQGRZ&OHDQLQJLQFOXGHVVXSSOHPHQWVD E
&DQDGLDQ6WDQGDUGV$VVRFLDWLRQ5H[GDOH
%RXOHYDUG5H[GDOH2QWDULR&DQDGD
&DQDGLDQ 6WDQGDUG = )DOO $UUHVWLQJ

6DIHW\ %HOWV DQG /DQ\DUGV IRU &RQVWUXFWLRQ DQG
0LQLQJ,QGXVWULHV
&$1&6$=0)XOO%RG\+DUQHVV
--```,`,,`,,`,,`,,,,`,,`,``,`-`-`,,`,,`,`,,`---
HULFDQ1DWLRQ
$P DO
HG 6W
RY DQ
SU G
S D
$
UG
$0(5,&$162&,(7<2)

6$)(7<(1*,1((56

$SSHQGL[$/LVWRI$FURQ\PVIRU'HQLWLRQVRI7HUPV
!#2/.9- 4%2-
$ $QFKRUDJH
$& $QFKRUDJH&RQQHFWRU
$&7' $FWLYDWLRQ'LVWDQFH
$' $UUHVW'LVWDQFH
$( $WWDFKPHQW(OHPHQW
$- $GMXVWHU
%% %RG\%HOW
%68 %RG\6XSSRUW
%8 %XFNOH
&$3 &DSDFLW\
&$5 &DUDELQHU
&+ &KHVW+DUQHVV
&20 &RPSRQHQW
&21 &RQQHFWRU
&66 &RQQHFWLQJ6XEV\VWHP
&67 &RQVWLWXHQW
&:+ &KHVW:DLVW+DUQHVV
'' 'HFHOHUDWLRQ'LVWDQFH
--```,`,,`,,`,,`,,,,`,,`,``,`-`-`,,`,,`,`,,`---
''9 'HFHOHUDWLRQ'HYLFH
'5 '5LQJ
($ (QHUJ\$EVRUEHU
($+// +RUL]RQWDO/LIHOLQH(QHUJ\$EVRUEHU
($3 3HUVRQDO(QHUJ\$EVRUEHU
($9// 9HUWLFDO/LIHOLQH(QHUJ\$EVRUEHU
() )RUPHG(\H
(/ (OHPHQW
(5 5HWXUQ(\H
(63/ 6SOLFHG(\H
(67 6WLWFKHG(\H
) )LWWLQJ
)$ )DOO$UUHVWHU
)$$ )DOO$UUHVW$WWDFKPHQW
)$&66 )DOO$UUHVWHU&RQQHFWLQJ6XEV\VWHP
)$6 )DOO$UUHVW6\VWHP
)%+ )XOO%RG\+DUQHVV
)) )UHH)DOO
))' )UHH)DOO'LVWDQFH
+& +\EULG&RPSRQHQW
+// +RUL]RQWDO/LIHOLQH
+//66 +RUL]RQWDO/LIHOLQH6XEV\VWHP
+: +DUGZDUH
, ,QWHJUDO
,66 ,QWHJUDO6XEV\VWHP

HULFDQ1DWLRQ
$P DO
HG 6W
RY DQ
SU G
S D
$
UG
$0(5,&$162&,(7<2)

6$)(7<(1*,1((56

!#2/.9. 4%2-
/ /DQ\DUG
/&66 /DQ\DUG&RQQHFWLQJ6XEV\VWHP
// /LIHOLQH
//66 /LIHOLQH6XEV\VWHP
/7 /LIHOLQH7HQVLRQHU
0 0DUNLQJ
0$) 0D[LPXP$UUHVW)RUFH
0$/ 0D[LPXP$UUHVW/RDG
25 25LQJ
295 2YDO5LQJ
3 3HUVRQDO
3)$6 3HUVRQDO)DOO$UUHVW6\VWHP
3/7 3URRI/RDG7HVWLQJ
33( 3HUVRQDO3URWHFWLYH(TXLSPHQW
5 5RSH
5* 5RSH*UDE
56 6\QWKHWLF5RSH
5: :LUH5RSH
6 6\VWHP
6$ 6KRFN$EVRUEHU
6) 6ZDJHG)LWWLQJ
6+ 6QDSKRRN
63 6WLWFK3DWWHUQ
63/ 6SOLFH
65/ 6HOI5HWUDFWLQJ/DQ\DUG
65/&66 6HOI5HWUDFWLQJ/DQ\DUG&RQQHFWLQJ6XEV\VWHP
66 6XEV\VWHP
6866 6XSSRUWLQJ6XEV\VWHP
675 6WUDS
7%/ 7KLPEOH
7' 'HYHORSPHQWDO7HVWLQJ
7)' 7RWDO)DOO'LVWDQFH
7+ 7KUHDG
74 4XDOLFDWLRQ7HVWLQJ
756 7UDYHO5HVWULFWLRQ6\VWHP
79 9HULFDWLRQ7HVWLQJ
8 8VHU
9// 9HUWLFDO/LIHOLQH
9//66 9HUWLFDO/LIHOLQH6XEV\VWHP
: :HEELQJ
:36 :RUN3RVLWLRQLQJ6\VWHP
HULFDQ1DWLRQ
$P DO
HG 6W
RY DQ
SU G
S D
$
UG
$0(5,&$162&,(7<2)

6$)(7<(1*,1((56
--```,`,,`,,`,,`,,,,`,,`,``,`-`-`,,`,,`,`,,`---

)LJXUHD )LJXUHE )LJXUHF

'5LQJ)XOO&LUFOH '5LQJ6HPL&LUFOH 25LQJ
5ROOHU
7RQJXH
4ONGUE
2OLLER
)UDPH
&RAME
)LJXUHG )LJXUHH )LJXUHI

%XFNOH7RQJXH %XFNOH)ULFWLRQ $GMXVWHU:HEELQJ%XFNOH
*URPPHW
:HEELQJ
)LJXUHJ )LJXUHK )LJXUHL

$GMXVWHU2YDO5LQJ5RSH 7KLPEOH *URPPHWVLQ:HEELQJ
)LJXUH([DPSOHVRI6RPH7\SLFDO
&RQQHFWRUKDUGZDUH&RPSRQHQWVDQG(OHPHQWV
HULFDQ1DWLRQ
$P DO
HG 6W
RY DQ
SU G
S D
$
UG
$0(5,&$162&,(7<2)

6$)(7<(1*,1((56
--```,`,,`,,`,,`,,,,`,,`,``,`-`-`,,`,,`,`,,`---

+RRN
%RG\
+RRN
1RVH
*DWH
/RFN *DWH 7KURDW
6SULQJ RSHQLQJ
,QVLGH /RFN
+LQJH *DWH
(\H
)LJXUHM )LJXUHN )LJXUHO
6QDSKRRN1RQ/RFNLQJ 6QDSKRRN6HOI/RFNLQJ 6QDSKRRN6HOI/RFNLQJ
H[FOXGHGIURPWKLVVWDQGDUG VKRZQXQORFNHGDQGRSHQ
+RRN
%RG\ 0DQXDO
6SULQJ ORFN
,QVLGH
*DWH +RRN *DWH
1RVH
/RFN *DWH
+LQJH
(\H /RFN
)LJXUHP )LJXUHQ )LJXUHR

6QDSKRRN6HOI/RFNLQJ 6QDSKRRN6HOI/RFNLQJ 6QDSKRRN0DQXDO/RFNLQJ
H[FOXGHGIURPWKLVVWDQGDUG
--```,`,,`,,`,,`,,,,`,,`,``,`-`-`,,`,,`,`,,`---
&DUDELQHU
%RG\
&DUDELQHU
1RVH
/RFN
*DWH
/RFN
*DWH
*DWH
+LQJH
+LQJH
6SULQJ
LQVLGH*DWH
)LJXUHS )LJXUHT )LJXUHU

&DUDELQHU1RQ/RFNLQJ &DUDELQHU6HOI/RFNLQJ &DUDELQHU0DQXDO/RFNLQJ
H[FOXGHGIURPWKLVVWDQGDUG H[FOXGHGIURPWKLVVWDQGDUG
&RQQHFWRUKDUGZDUH&RPSRQHQWVDQG(OHPHQWV
HULFDQ1DWLRQ
$P DO
HG 6W
RY DQ
SU G
S D
$
UG
$0(5,&$162&,(7<2)

6$)(7<(1*,1((56

$QFKRUDJH,%HDP $QFKRUDJH,%HDP
$QFKRUDJH
$QFKRUDJH&KRNHU &RQQHFWRU
)LJXUHD%HDPDQG&KRNHU )LJXUHE%HDPDQG(\H%ROW
$QFKRUDJH,%HDP
$QFKRUDJH
&ROXPQ
$QFKRUDJH
&RQQHFWRU
7UROOH\
)LJXUHF%HDPDQG7UROOH\
$QFKRUDJH
&RQQHFWRU $QFKRUDJH
7ULSRG &RQQHFWRU
'DYLW
$QFKRUDJH)ORRU
--```,`,,`,,`,,`,,,,`,,`,``,`-`-`,,`,,`,`,,`---
)LJXUHH)ORRUDQG7ULSRG )LJXUHG&ROXPQ'DYLWDQG%UDFNHWV
7LHEDFN &RXQWHUZHLJKW $QFKRUDJH

&RQQHFWRU
RXWULJJHU
$QFKRUDJH5RRI
)LJXUHI5RRIDQG2XWULJJHU
$QFKRUDJHVDQG$QFKRUDJH&RQQHFWRUV
HULFDQ1DWLRQ
$P DO
HG 6W
RY DQ
SU G
S D
$
UG
$0(5,&$162&,(7<2)

6$)(7<(1*,1((56

3HOULDER3TRAP 3HOULDER3TRAP
3HOULDER3TRAP
&ALL!RREST 2ETAINER
!TTACHMENT&!!
4HIGH3TRAP
3UB PELVIC "UCKLE

"UCKLE
3TRAP
"!#+ &2/.4
)LJXUHD([DPSOHRID7\SLFDO
)XOO%RG\+DUQHVV
3HOULDER3TRAP
&ALL!RREST
!TTACHMENT&!! 3HOULDER3TRAP
2ETAINER
"UCKLE
"UCKLE
4HIGH3TRAP
3UB PELVIC "UCKLE "UCKLE

3TRAP
--```,`,,`,,`,,`,,,,`,,`,``,`-`-`,,`,,`,`,,`---
"!#+ &2/.4
)XOO%RG\+DUQHVV
HULFDQ1DWLRQ
$P DO
HG 6W
RY DQ
SU G
S D
$
UG
$0(5,&$162&,(7<2)

6$)(7<(1*,1((56

3HOULDER3TRAP 3HOULDER3TRAP
&ALL!RREST
3HOULDER3TRAP
!TTACHMENT&!!
2ETAINER
"ODY0AD
7AIST3TRAP
--```,`,,`,,`,,`,,,,`,,`,``,`-`-`,,`,,`,`,,`---
4HIGH3TRAP
3UB PELVIC
3TRAP "UCKLE
"UCKLE
"!#+ &2/.4
)XOO%RG\+DUQHVV
3HOULDER3TRAP
&ALL!RREST
!TTACHMENT&!! #HEST3TRAP
#HEST3TRAP
"!#+ &2/.4
)LJXUHE([DPSOHRID7\SLFDO
&KHVW:DLVW+DUQHVV
([FOXGHGIURPWKLV6WDQGDUG
HULFDQ1DWLRQ
$P DO
HG 6W
RY DQ
SU G
S D
$
UG
$0(5,&$162&,(7<2)

6$)(7<(1*,1((56

3HOULDER3TRAP
&ALL!RREST
!TTACHMENT&!!
#HEST3TRAP
"!#+ &2/.4
)LJXUHF([DPSOHRID7\SLFDO
&KHVW+DUQHVV
"!#+ &2/.4
)LJXUHG([DPSOHRID7\SLFDO%RG\%HOW
--```,`,,`,,`,,`,,,,`,,`,``,`-`-`,,`,,`,`,,`---
HULFDQ1DWLRQ
$P DO
HG 6W
RY DQ
SU G
S D
$
UG
$0(5,&$162&,(7<2)

6$)(7<(1*,1((56


0(!3% &!,,/.3%4 0(!3% &2%%&!,, 0(!3% $%#%,%2!4)/. 0(!3% 2%"/5.$ 0(!3% 3530%.3)/.
Provided by IHS under license with ASSE/SAFE

!NCHORAGE!
!NCHORAGE &ALL!RRESTER
#ONNECTOR !TTACHMENT
No reproduction or networking permitted without license from IHS

!# &!!
&ALL!RRESTER&!
!CTIVATION
%NERGY!BSORBING /NSETOFFALL
&REE&ALL
ARRESTFORCES
$ISTANCE!#4$
0ERSONAL%!0 ,ANYARD
$ISTANCE&&$
7ALKING7ORKING
3URFACE
4OTAL&ALL$ISTANCE4&$
6ERTICAL
,IFELINE
6,,
$ECELERATION
$ISTANCE$$
4OTAL&ALL$ISTANCE4&$ $YNAMIC%LONGATION
$16,$66(=$PHULFDQ1DWLRQDO6WDQGDUG
%NERGY
ABSORBER
ELONGATION
2EBOUND
-AXIMUM
ARRESTFORCE
-!&
OCCURSHERE
,EGEND
)LJXUH*HRPHWU\RI)DOO3KDVHV
!#4$!CTIVATION$ISTANCE
Licensee=BP International/5928366101
Not for Resale, 11/30/2010 06:13:47 MST
$$$ECELERATION$ISTANCE
%!0%NERGY!BSORBER0ERSONAL
,IFELINE
&!&ALL!RRESTER
4ENSIONER,4
&&$&REE&ALL$ISTANCE $YNAMICELONGATION
OFVERTICALLIFELINE
6,, 3TATIC
ELONGATIONOF
VERTICALLIFELINE
6,,
6$)(7<(1*,1((56
$0(5,&$162&,(7<2)

$
S
SU
RY
HG
$P
HULFDQ1DWLRQ
DO
6W
6DIHW\5HTXLUHPHQWVIRU3HUVRQDO)DOO$UUHVW
DQ
G
D
UG
--```,`,,`,,`,,`,,,,`,,`,``,`-`-`,,`,,`,`,,`---
"%&/2%!#4)6!4)/.
#OVER
!&4%2!#4)6!4)/.
RIPSTITCHTYPECOVER
,OAD NOTSHOWN
3TITCHPATTERN
7EBBING
%NERGYABSORPTIONMAY
BETYPICALLYOBTAINEDBY
DEFORMATIONFRICTION
TEARINGOFMATERIALSOR
BREAKINGOFSTITCHES
,OAD
)LJXUHD([DPSOHRI7\SLFDO(QHUJ\$EVRUEHU
%HIRUHDQG$IWHU$FWLYDWLRQ
HULFDQ1DWLRQ
$P DO
HG 6W
RY DQ
SU G
S D
$
UG
$0(5,&$162&,(7<2)

6$)(7<(1*,1((56
--```,`,,`,,`,,`,,,,`,,`,``,`-`-`,,`,,`,`,,`---

$QFKRUDJH&RQQHFWRU$&
!NCHORAGECONNECTOR!#
/LIHOLQH7HQVLRQHU/7
,IFELINETENSIONER,4
#ONNECTOR#/.
&RQQHFWRU&21 &RQQHFWRU
#ONNECTOR#/.
+RUL]RQWDO/LIHOLQH6XEV\VWHP+//66
!NCHORAGE!
!NCHORAGE!
--```,`,,`,,`,,`,,,,`,,`,``,`-`-`,,`,,`,`,,`---
(QHUJ\$EVRUEHU+RUL]RQWDO/LIHOLQH($+//
%NERGY!BSORBER(ORIZONTAL,IFELINE%!(,,
)LJXUHE(QHUJ\$EVRUEHU+RUL]RQWDO/LIHOLQH
([FOXGHGIURP6WDQGDUG6HF
!NCHORAGE
) "EAM
)XOO%RG\
$QFKRUDJH&RQQHFWRU$&
!NCHORAGE
#ONNECTOR +DUQHVV)%+
&RQQHFWRU
#ONNECTOR
#/.
&21
(QHUJ\$EVRUEHU
%NERGY!BSORBER6ERTICLE
,IFELINE%!6,, &RQQHFWRU
9HUWLFDO/LIHOLQH($9// &21
&RQQHFWRU
#ONNECTOR
#/.
&21
(QHUJ\$EVRUEHU
3HUVRQDO($3
9HUWLFDO/LIHOLQH
6ERTICAL,IFELINE
6,,
9//
/LIHOLQH
7HQVLRQHU/7
,IFELINE4ENSIONER
)LJXUHF(QHUJ\$EVRUEHU9HUWLFDO/LIHOLQH )LJXUHG6XSSRUWLQJ6XEV\VWHP6866

($9// ZLWK(QHUJ\$EVRUEHU3HUVRQDO($3
(QHUJ\$EVRUEHUV
HULFDQ1DWLRQ
$P DO
HG 6W
RY DQ
SU G
S D
$
UG
$0(5,&$162&,(7<2)

6$)(7<(1*,1((56

7KLPEOH7%/ 6ZDJHG)LWWLQJ :LUH5RSH5:

6)
)LJXUHD5HWXUQ(\H
7KLPEOH7%/ 6SOLFH63/

6\QWKHWLF5RSH
56
)LJXUHE6SOLFHG(\H
6WLWFK3DWWHUQ63 6WUDS
RI7KUHDG7+ 675
)LJXUHF6WLWFKHG(\H
)RUPHG(\HV
HULFDQ1DWLRQ
$P DO
HG 6W
RY DQ
SU G
S D
$
UG
$0(5,&$162&,(7<2)

6$)(7<(1*,1((56
--```,`,,`,,`,,`,,,,`,,`,``,`-`-`,,`,,`,`,,`---

9HUWLFOH/LIHOLQH*XLGH
&DP/HYHU
+RXVLQJ
,QWHJUDO5LQJ
--```,`,,`,,`,,`,,,,`,,`,``,`-`-`,,`,,`,`,,`---
)LJXUH([DPSOHRID7\SLFDO
)DOO$UUHVWRU7\SH
HULFDQ1DWLRQ
$P DO
HG 6W
RY DQ
SU G
S D
$
UG
$0(5,&$162&,(7<2)

6$)(7<(1*,1((56


$
S
SU
RY
HG
$P
HULFDQ1DWLRQ
DO
6W
DQ
G
D
UG
Provided by IHS under license with ASSE/SAFE

6QDSKRRN &DUDELQHU
6+ &DUDELQHU 6QDSKRRN &$5 6QDSKRRN
6QDSKRRN
&$5 6+ 6+ 6+
%NERGY!BSORBER
6ERTICAL,IFELINE
%!6,,
No reproduction or networking permitted without license from IHS

6$)(7<(1*,1((56
$0(5,&$162&,(7<2)
9HUWLFDO/LLQH 9HUWLFDO/LLQH 9HUWLFDO/LLQH 9HUWLFDO/LLQH
9HUWLFDO/LLQH 9HUWLFDO/LLQH 9// 9//
9// 9// 9// 9//
&ALL!RRESTER&! &ALL!RRESTER&! &ALL!RRESTER&! &ALL!RRESTER&!
%NERGY!BSORBER
&ALL!RRESTER&! &ALL!RRESTER&! ,ANYARD, ,ANYARD, 0ERSONAL%!0
%NERGY!BSORBER
0ERSONAL%!0
&DUDELQHU
$16,$66(=$PHULFDQ1DWLRQDO6WDQGDUG
&$5
&DUDELQHU
&DUDELQHU &$5
&$5 6QDSKRRN
6+
6QDSKRRN
6QDSKRRN
6+
6+
)LJXUH([DPSOHVRI7\SLFDO
6QDSKRRN ,ANYARD,
6+
Licensee=BP International/5928366101
Not for Resale, 11/30/2010 06:13:47 MST
)DOO$UUHVWRU&RQQHFWLQJ6XEV\VWHPV)$&66
,IFELINE4ENSIONER ,IFELINE4ENSIONER ,IFELINE4ENSIONER ,IFELINE4ENSIONER ,IFELINE4ENSIONER ,IFELINE4ENSIONER
,4 ,4 ,4 ,4 ,4 ,4
6DIHW\5HTXLUHPHQWVIRU3HUVRQDO)DOO$UUHVW

--```,`,,`,,`,,`,,,,`,,`,``,`-`-`,,`,,`,`,,`---
!NCHORAGECONNECTOR!#
,IFELINETENSIONER,4
#ONNECTOR#/.
4HIMBLE4",
&ITTINGS&
!NCHORAGE!
!NCHORAGE!
+RUL]RQWDO/LIHOLQH6XEV\VWHP
+//66
--```,`,,`,,`,,`,,,,`,,`,``,`-`-`,,`,,`,`,,`---
)LJXUH([DPSOHRID7\SLFDO+RUL]RQWDO/LIHOLQH6XEV\VWHP
([FOXGHGIURP6WDQGDUG
6HF
HULFDQ1DWLRQ
$P DO
HG 6W
RY DQ
SU G
S D
$
UG
$0(5,&$162&,(7<2)

6$)(7<(1*,1((56

6QDSKRRN6+ 6QDSKRRN6+ 6QDSKRRN6+
7KLPEOH7%/
0DUNLQJ0 5HWXQ(\H
6SOLFHG(\H
6WLWFKHG(\H
6ZDJHG)LWWLQJ
6)
6\QWKHWLF 5RSH 6WUDS675 :LUH5RSH5:

56
6ZDJHG)LWWLQJ
6)
6SOLFH63/ 6WLWFK3DWWHUQ

63 7KLPEOH7%/
7KLPEOH7%/
6QDSKRRN6+ 6QDSKRRN6+ 6QDSKRRN6+
)LJXUHD([DPSOHVRI7\SLFDO/DQ\DUGV
HULFDQ1DWLRQ
$P DO
HG 6W
RY DQ
SU G
S D
$
UG
$0(5,&$162&,(7<2)

6$)(7<(1*,1((56
--```,`,,`,,`,,`,,,,`,,`,``,`-`-`,,`,,`,`,,`---
#ARABINER#!2 3NAPHOOK3( 3NAPHOOK3(
,ANYARD, ,ANYARD, ,ANYARD,
#ARABINER#!2
%NERGY!BSORBER %NERGY!BSORBER
0ERSONAL%!0 0ERSONAL%!0
3NAPHOOK3( 3NAPHOOK3( #ARABINER#!2
)LJXUHE([DPSOHVRI7\SLFDO
/DQ\DUG&RQQHFWLQJ6XEV\VWHPV
HULFDQ1DWLRQ
$P DO
HG 6W
RY DQ
SU G
S D
$
UG
$0(5,&$162&,(7<2)

6$)(7<(1*,1((56
--```,`,,`,,`,,`,,,,`,,`,``,`-`-`,,`,,`,`,,`---

$QFKRUDJH$EHDP $QFKRUDJH$EHDP
$QFKRUDJH $QFKRUDJH
&RQQHFWRU$& &RQQHFWRU$&
FKRNHU
9HUWLFDO/LIHOLQH
/DQ\DUG /DQ\DUG/ 9//
&RQQHFWLQJ 9HUWLFDO/LIHOLQH
6XEV\VWHP 6XEV\VWHP9//
/&66 )XOO%RG\ H[FOXGHV)$&$5 )XOO%RG\
+DUQHVV)%+ )$$)%+DQG$& +DUQHVV)%+
(QHUJ\
$EVRUEHU )DOO$UUHVWHU
3HUVRQDO )$ &DUDELQHU
($3 &$5
)DOO$UUHVWHU
$WWDFKPHQW
)$$
/LIHOLQH7HQVLRQHU
/7
$QFKRUDJH$
$QFKRUDJH&RQQHFWRU EHDP
$QFKRUDJH$ $&
URRI RXWULJJHUVHH)LJXUHI 6HOI5HWUDFWLQJ $QFKRUDJH&RQQHFWRU
/LIHOLQH65/ $&
9HUWLFDO/LIHOLQH %HDP7UROOH\
)DOO$UUHVWHU 9//
&RQQHFWLQJ
6XEV\VWHP
)$&66
)XOO%RG\_ )XOO%RG\
+DUQHVV)%+ +DUQHVV)%+
)DOO$UUHVWHU )DOO$UUHVWHU
$WWDFKPHQW $WWDFKPHQW
)$$ )$$
)DOO$UUHVWHU
)$ (QHUJ\
$EVRUEHU
3HUVRQDO($3
/DQ\DUG/

/LIHOLQH7HQVLRQHU
/7
3HUVRQDO)DOO$UUHVW6\VWHPV
HULFDQ1DWLRQ
$P DO
HG 6W
RY DQ
SU G
S D
$
UG
$0(5,&$162&,(7<2)

6$)(7<(1*,1((56

--```,`,,`,,`,,`,,,,`,,`,``,`-`-`,,`,,`,`,,`---

%NERGY!BSORBER0ERSONAL%!0
#ARABINER#!2
#ARABINER#!2
#ARABINER#!2
,ANYARD,
,ANYARDCONNECTING
3UBSYSTEM,#33
)DOO$UUHVWHU&RQQHFWLQJ
6XEV\VWHP)$&66
/LIHOLQH7HQVLRQHU
9HUWLFDO/LIHOLQH9/
)DOO$UUHVWHU
&DUDELQHU
/7
)$
/DQ\DUG&RQQHFWLQJ
6XEV\VWHP/&66
3HUVRQDO9HUWLFDO
(QHUJ\$EVRUEHU
9HUWLFDO/LIHOLQH9//
/LIHOLQH($9//
&DUDELQHU&$5
&DUDELQHU&$5
7HQVLRQHU/7
/LIHOLQH
6XEV\VWHP9//66
9HUWLFDO/LIHOLQH
6XEV\VWHPV
HULFDQ1DWLRQ
$P DO
HG 6W
RY DQ
SU G
S D
$
UG
$0(5,&$162&,(7<2)

6$)(7<(1*,1((56

--```,`,,`,,`,,`,,,,`,,`,``,`-`-`,,`,,`,`,,`---

)DOO$UUHVWHU)$
&ALLARRESTER
,ANYARD,
(QHUJ\$EVRUEHU
0ERSONALENERGYABSORBER
3HUVRQDO($3
/DQ\DUG/
,ANYARD
)DOO$UUHVWHU)$ZLWK/DQ\DUG/DQG

&ALLARRESTERWITH)NTEGRAL,ANYARD
AND0ERSONALENERGYABSORBER
(QHUJ\$EVRUEHU3HUVRQDO($3
%NERGY!BSORBER0ERSONAL%!0
,ANYARDCONNECTING
3UBSYSTEM,#33 WITHINTEGRAL
LANYARDANDENERGYABSORBER
+\EULG&RPSRQHQWV+&,QWHJUDO6XEV\VWHPV,66
HULFDQ1DWLRQ
$P DO
HG 6W
RY DQ
SU G
S D
$
UG
$0(5,&$162&,(7<2)

6$)(7<(1*,1((56

--```,`,,`,,`,,`,,,,`,,`,``,`-`-`,,`,,`,`,,`---

6WUDQG
<DUQ)LEHU
&RUH
--```,`,,`,,`,,`,,,,`,,`,``,`-`-`,,`,,`,`,,`---
6WUDQG
:LUH
)LJXUHD
6\QWKHWLF5RSH&RPSRVLWLRQ )LJXUHH
:LUH5RSH&RPSRVLWLRQ
7KUHHVWUDQG/DLG5RSH
)LJXUHE )LJXUHI
6ROLG%UDLG5RSH :LUH5RSH
)LJXUHJ %UD]H
)LJXUHF
%UD]LQJRI:LUH5RSH(QGV
'\QDPLF.HUQPDQWOH5RSH
)LJXUHG )LJXUHK
6WDWLF.HUQPDQWOH5RSH 9DULRXV:LUH5RSH&URVV6HFWLRQV
6\QWKHWLF5RSHDQG:LUH5RSH
HULFDQ1DWLRQ
$P DO
HG 6W
RY DQ
SU G
S D
$
UG
$0(5,&$162&,(7<2)

6$)(7<(1*,1((56

#ARABINER
#!2
3ELF 2ETRACTING
,ANYARD32,
)NTEGRAL,ANYARD,
3ELF 2ETRACTING,ANYARD32,
%XTERNAL%NERGY!BSORBER
%! OPTIONAL
#ARABINER#!2
3ELF 2ETRACTING,ANYARD
#ONNECTING3UBSYSTEM32,#33
)LJXUH([DPSOHVRI6HOI5HWUDFWLQJ/DQ\DUGDQG
6HOI5HWUDFWLQJ/DQ\DUG&RQQHFWLQJ6XEV\VWHP
HULFDQ1DWLRQ
$P DO
HG 6W
RY DQ
SU G
S D
$
UG
$0(5,&$162&,(7<2)

6$)(7<(1*,1((56
--```,`,,`,,`,,`,,,,`,,`,``,`-`-`,,`,,`,`,,`---

--```,`,,`,,`,,`,,,,`,,`,``,`-`-`,,`,,`,`,,`---
'ULQJ'5
%XFNOHV%8 :HEELQJ: 6WLWFK3DWWHUQ63RI7KUHDGV7+
7KUHDG7+DQG6WLWFK3DWWHUQ63LQ:HEELQJ:
HULFDQ1DWLRQ
$P DO
HG 6W
RY DQ
SU G
S D
$
UG
$0(5,&$162&,(7<2)

6$)(7<(1*,1((56

v
MM
--```,`,,`,,`,,`,,,,`,,`,``,`-`-`,,`,,`,`,,`---
v/$
MM
#ENTEROFGRAVITY
)LJXUH([DPSOHRI7\SLFDO
7HVW:HLJKW
HULFDQ1DWLRQ
$P DO
HG 6W
RY DQ
SU G
S D
$
UG
$0(5,&$162&,(7<2)

6$)(7<(1*,1((56

6ERTICAL
#ENTER,INE

$
%
&
'
(
(
)
PP
*
#ENTEROF'RAVITY
+
,
-

.
/
--```,`,,`,,`,,`,,,,`,,`,``,`-`-`,,`,,`,`,,`---

6KDSHVDUHDSSUR[LPDWH0DWHULDOV
6HFWLRQVDQGKDUGZRRG
6HFWLRQVDQGOHDG
6HFWLRQVDQGVWHHO
1RWH$OOGLPHQVLRQVDUHLQPLOOLPHWHUV
7HVW7RUVR
HULFDQ1DWLRQ
$P DO
HG 6W
RY DQ
SU G
S D
$
UG
$0(5,&$162&,(7<2)

6$)(7<(1*,1((56

--```,`,,`,,`,,`,,,,`,,`,``,`-`-`,,`,,`,`,,`---

)URQW

1RWH$OOGLPHQVLRQVJLYHQDUHLQPLOOLPHWHUV
)LJXUH3RODU&RRUGLQDWHVRI+RUL]RQWDO
+DOI6HFWLRQVRI7HVW7RUVR
HULFDQ1DWLRQ
$P DO
HG 6W
RY DQ
SU G
S D
$
UG
$0(5,&$162&,(7<2)

6$)(7<(1*,1((56

$EGREE-AXIMUM
--```,`,,`,,`,,`,,,,`,,`,``,`-`-`,,`,,`,`,,`---
4ORSO#ENTEROF'RAVITY
6ERTICAL#ENTERLINEOF4ORSO
1RWH,QIRUPDWLRQRQWKHVRXUFHRIVXSSO\RIWKHWRUVRPD\EHREWDLQHGIURPWKH&DQDGLDQ
6WDQGDUGV$VVRFLDWLRQVHHUHIHUHQFHDQGWKHVHFUHWDULDWRIWKLVVWDQGDUG
)LJXUH$QJOHDW5HVW
HULFDQ1DWLRQ
$P DO
HG 6W
RY DQ
SU G
S D
$
UG
$0(5,&$162&,(7<2)

6$)(7<(1*,1((56

#ARABINER"ODY 'ATE ,OCK (INGE
--```,`,,`,,`,,`,,,,`,,`,``,`-`-`,,`,,`,`,,`---
4EST&IXTURE0INS
4EST 4EST
,OAD ,OAD
4ESTFIXTUREPIN (INGE
4EST 4EST
,OAD ,OAD
3NAPHOOK"ODY 'ATE ,OCK 4ESTFIXTUREPIN
7HQVLOH7HVWLQJRI6QDSKRRNDQG&DUDELQHU
HULFDQ1DWLRQ
$P DO
HG 6W
RY DQ
SU G
S D
$
UG
$0(5,&$162&,(7<2)

6$)(7<(1*,1((56

v
4EST,OAD
v ,OCK (INGE
v
2IGIDBAR
'ATEFACE
.OSE
2IGID
BAR
STEEL
3NAPHOOKBODY
v
#LAMPING
&IXTURE "LOCK
4EST"ED
*DWH)DFH/RDG7HVWLQJRI6QDSKRRNDQG&DUDELQHU
-IDPOINTBETWEEN
3NAPHOOKBODY 'ATE 4ESTLOAD NOSEANDHINGE (INGE
--```,`,,`,,`,,`,,,,`,,`,``,`-`-`,,`,,`,`,,`---
.OSE
3UPPORT"LOCK v 3UPPORT"LOCK

'ATEHEIGHT
4EST"ED
*DWH6LGH/RDG7HVWLQJRI6QDSKRRNDQG&DUDELQHU
HULFDQ1DWLRQ
$P DO
HG 6W
RY DQ
SU G
S D
$
UG
$0(5,&$162&,(7<2)

6$)(7<(1*,1((56

7HVW/RDG
7HVW)L[WXUH3LQV 25LQJ
7HVW/RDG
7HVW/RDG
--```,`,,`,,`,,`,,,,`,,`,``,`-`-`,,`,,`,`,,`---
7HVW)L[WXUH3LQV
2YDO5LQJ
7HVW/RDG
7HVW/RDG
'5LQJ
7HVW)L[WXUH3LQV
7HVW/RDG
)LJXUH7HQVLOH7HVWLQJRID7\SLFDO'5LQJ
25LQJDQG2YDO5LQJ
HULFDQ1DWLRQ
$P DO
HG 6W
RY DQ
SU G
S D
$
UG
$0(5,&$162&,(7<2)

6$)(7<(1*,1((56

--```,`,,`,,`,,`,,,,`,,`,``,`-`-`,,`,,`,`,,`---
7HVW/RDG
7HVW)L[WXUH3LQV %XFNOH7RQJXH
7HVW/RDG
7HVW/RDG
7HVW)L[WXUH3LQV %XFNOH)ULFWLRQ
7HVW/RDG
)LJXUH7HQVLOH7HVWLQJRI7\SLFDO%XFNOHV
HULFDQ1DWLRQ
$P DO
HG 6W
RY DQ
SU G
S D
$
UG
$0(5,&$162&,(7<2)

6$)(7<(1*,1((56

"%&/2%$2/0 !&4%2$2/0
!NCHORAGE !NCHORAGE
) "EAM ) "EAM
(OIST (OIST
,OAD#ELL ,OAD#ELL
v 1UICK2ELEASE 1UICK2ELEASE

MM -ECHANISM -ECHANISM
%NERGY
!BSORBER
IFUSED
4EST #
7EIGHT
&ALL!RRESTER
5NLOCKED
#ONNECTING
3UBSYSTEM
OR4EST,ANYARD !
6ERTICAL,IFELINEOR
6ERTICAL,IFLINE
3UBSYSTEM
6ERTICAL,IFELINEOR
6ERTICAL,IFLINE &ALL!RRESTER
3UBSYSTEM ,OCKED
--```,`,,`,,`,,`,,,,`,,`,``,`-`-`,,`,,`,`,,`---
#ONNECTING
3UBSYSTEM
OR4EST,ANYARD
"
!MOUNTGREATERTHAN
ORIGINAL#ONNECTING
3UBSYSTEMLENGTH
#OUNTERWEIGHT
IFREQUIRED
LBS
KG
!RREST$ISTANCE!"#
#OUNTERWEIGHT ASAPPLICABLE
4EST
IFREQUIRED 7EIGHT
LBS
KG vMAX
MM
)LJXUH7HVW6HWXSIRU'\QDPLF7HVWLQJRI)DOO$UUHVWHURU
)DOO$UUHVWHU&RQQHFWLQJ6XEV\VWHP
HULFDQ1DWLRQ
$P DO
HG 6W
RY DQ
SU G
S D
$
UG
$0(5,&$162&,(7<2)

6$)(7<(1*,1((56

!NCHORAGE !NCHORAGE
) "EAM ) "EAM

MM
9
#LAMP
4ENSION4EST'AGE
-EASURE%XTENSION
,ENGTH9 WITH,INE
-EASURE4ENSIONON 2ETRACTED
%XTRACTED32,LINE
)LJXUH7HVW6HWXSIRU5HWUDFWLRQ7HQVLRQ
7HVWLQJRID7\SLFDO65//LQH
HULFDQ1DWLRQ
$P DO
HG 6W
RY DQ
SU G
S D
$
UG
$0(5,&$162&,(7<2)

6$)(7<(1*,1((56

--```,`,,`,,`,,`,,,,`,,`,``,`-`-`,,`,,`,`,,`---

4EST
,OAD
2AM
!NCHORING
32,,INETO2AM
3HORTENED
32,,INE
4ENSILE4EST
%QUIPMENT
32,
!NCHORINGOF
32,TO"ED
"ED
)LJXUH7HVW6HWXSIRU6WDWLF6WUHQJWK
7HVWLQJRID7\SLFDO65//LQH
HULFDQ1DWLRQ
$P DO
HG 6W
RY DQ
SU G
S D
$
UG
$0(5,&$162&,(7<2)

6$)(7<(1*,1((56
--```,`,,`,,`,,`,,,,`,,`,``,`-`-`,,`,,`,`,,`---

!NCHORAGE
) "EAM
#ONNECTOR
4EST)NSTRUMENTATION (OIST
TRANSDUCER
32, 4EST3PECIMEN (OIST,INE
v
1UICK2ELEASE
-ECHANISM
--```,`,,`,,`,,`,,,,`,,`,``,`-`-`,,`,,`,`,,`---
4EST
7EIGHT
4EST
7EIGHT
v
)LJXUHD7HVW6HWXSIRU'\QDPLF3HUIRPDQFH
7HVWLQJRID7\SLFDO65/
HULFDQ1DWLRQ
$P DO
HG 6W
RY DQ
SU G
S D
$
UG
$0(5,&$162&,(7<2)

6$)(7<(1*,1((56

!NCHORAGE
) "EAM
#ONNECTOR
4EST)NSTRUMENTATION (OIST
TRANSDUCER
32, 4EST3PECIMEN (OIST,INE
#LAMPTO)NHIBIT 1UICK2ELEASE
-ECHANISM
--```,`,,`,,`,,`,,,,`,,`,``,`-`-`,,`,,`,`,,`---
2ETRACTION
4EST
7EIGHT
4EST
7EIGHT
)LJXUHE7HVW6HWXSIRU'\QDPLF
7HVWLQJRID7\SLFDO65/
HULFDQ1DWLRQ
$P DO
HG 6W
RY DQ
SU G
S D
$
UG
$0(5,&$162&,(7<2)

6$)(7<(1*,1((56

!#0OWER
3UPPLY
$#0OWER
3UPPLY
8 90LOTTER
QUICKRELEASEMECHANISM
4RIGGERSIGNALTO
123WITCH
4RIGGER3WITCH
3IGNAL
/SCILLOGRAPH
2ECORDING
$IGITAL8 9
3TRAIN!MPLIFIER
4RANSDUCER
3IGNAL4
)LJXUHF([DPSOHRI7\SLFDO
7HVW,QVWUXPHQWDWLRQ&RQJXUDWLRQ
HULFDQ1DWLRQ
$P DO
HG 6W
RY DQ
SU G
S D
$
UG
$0(5,&$162&,(7<2)

6$)(7<(1*,1((56

--```,`,,`,,`,,`,,,,`,,`,``,`-`-`,,`,,`,`,,`---


Ansi Z359.1 - 2007 PDF

Uploaded by

Document Information

Original Title

Copyright

Available Formats

Share this document

Share or Embed Document

Sharing Options

Did you find this document useful?

Is this content inappropriate?

Copyright:

Available Formats

Ansi Z359.1 - 2007 PDF

Uploaded by

Copyright:

Available Formats

AMERICAN NATIONAL STANDARD

Safety Requirements for Personal Fall Arrest

Part of the Fall Protection Code

Copyright American Society of Safety Engineers

Copyright American Society of Safety Engineers

Effective Date: November 24, 2007

Copyright American Society of Safety Engineers

Copyright American Society of Safety Engineers

Copyright American Society of Safety Engineers

Copyright American Society of Safety Engineers

Copyright American Society of Safety Engineers

Copyright American Society of Safety Engineers

Copyright American Society of Safety Engineers

6FRSH7KLVVWDQGDUGHVWDEOLVKHVUHTXLUHPHQWV ( 6HH )LJXUHV  WKURXJK  IRU LOOXVWUDWLRQV RI

 7KLV VWDQGDUG DGGUHVVHV RQO\ SHUVRQ (6HH$SSHQGL[$IRUH[SODQDWLRQRIDFURQ\PV

 7KH UHTXLUHPHQWV RI WKLV VWDQGDUG GR QRW (6HHUHIHUHQFHIRUGHQLWLRQRI6,&'LYL

 $OWKRXJK SHUVRQDO IDOO DUUHVW V\VWHPV LQFRU (6HH

Copyright American Society of Safety Engineers

UHVWULFWLRQ ZRUN SRVLWLRQLQJ UHVFXH DQG HYDFXD

$SHUVRQDOIDOODUUHVWV\VWHP 3)$6 VKDOOEH (:KHQHYDOXDWLQJDQDQFKRUDJHERWKWKHGL

Copyright American Society of Safety Engineers

 &RQQHFWRU +DUGZDUH &RPSRQHQWV DQG

 $OO KDUGZDUH VKDOO EH QHZ DQG LQ XQXVHG

 :KHQ WHVWHG LQ DFFRUGDQFH ZLWK  (6HH)LJXUHVDEFJDQG

 :KHQ WHVWHG LQ DFFRUGDQFH ZLWK  (6HH)LJXUH

 0DWHULDOV DQG &RQVWUXFWLRQ +DUQHVV

7KUHDGDQG6WLWFKLQJ/RFNVWLWFKLQJVKDOO (6HH)LJXUH6HZQMRLQWVVKRXOG D EH

 7KH KDUQHVV VKDOO SURYLGH VXSSRUW IRU WKH (D:KHQIUHHO\VXVSHQGHGIURPWKHIDOODU

D )RU KDUQHVVHV HTXLSSHG ZLWK D IURQW

 7KH KDUQHVV ZKHQ G\QDPLFDOO\ WHVWHG LQ (%UHDNLQJRIWKUHDGVGRHVQRWFRQVWLWXWHD

D )RU KDUQHVVHV HTXLSSHG ZLWK D IURQW

 )RUPHG H\H WHUPLQDWLRQV LQ URSH VKDOO EH (,WLVSHUPLVVLEOHRQDGMXVWDEOHOHQJWKODQ

6WLWFKHGH\HWHUPLQDWLRQVRQVWUDSODQ\DUGV (6HZQMRLQWVVKRXOG D EHLQDFFRUGDQFH

)RUPHGH\HWHUPLQDWLRQVRIZLUHURSHVKDOO ( :LUH URSH HQGV VKRXOG EH EUD]HG

Copyright American Society of Safety Engineers

VKDOO EH PDQXIDFWXUHG LQ DFFRUGDQFH ZLWK WKH UH

 /DQ\DUGV ZKHQ VWDWLFDOO\ WHVWHG LQ DFFRU

D /DQ\DUGV ZLWK WZR LQWHJUDOO\ FRQQHFW

 (QHUJ\ DEVRUEHUV FRQVWUXFWHG RI URSH

 (QHUJ\ DEVRUEHUV VKDOO EH GHVLJQHG VXFK

 (QHUJ\ DEVRUEHUV ZKHQ VXEMHFWHG WR D

VWDWLFIRUFHRISRXQGV N1 LQDFFRUGDQFHZLWK

 :KHQ G\QDPLFDOO\ WHVWHG LQ DFFRUGDQFH

 :KHQ HQHUJ\ DEVRUEHUV DUH G\QDPLFDOO\

 $QFKRUDJH FRQQHFWRUV VKDOO PHHW WKH

 7KH H[SRVXUH RI DQFKRUDJH FRQQHFWRUV

WR VKDUS HGJHV DEUDVLYH VXUIDFHV DQG SK\VLFDO

 )DOO DUUHVWHUV VKDOO EH DXWRPDWLF LQ WKHLU (7KHLQWHQWRIJXDUGLQJDJDLQVWRYHUULGLQJ

 7\SH  IDOO DUUHVWHUVVKDOO EH LQFDSDEOH RI

 &RUURVLRQ SURWHFWLRQ VKDOO EH DIIRUGHG WR ('HYLFHVLQWHQGHGIRUXVHLQVSHFLFHQYL

Copyright American Society of Safety Engineers

XUHRIWKHGHYLFHDIWHUEHLQJVDOWVSUD\ IRJ WHVWHG

 5RSH XVHG LQ YHUWLFDO OLIHOLQHV VKDOO EH

 )RUPHG H\H WHUPLQDWLRQV LQ URSH VKDOO ($NQRWPD\EHDQDFFHSWDEOHPHDQVRI

 )RUPHG H\H WHUPLQDWLRQV RI ZLUH URSH

6HOI5HWUDFWLQJ/DQ\DUG&RPSRQHQW (+LVWRULFDOO\DVHOIUHWUDFWLQJODQ\DUG 65/

 65/VKDOOEHDXWRPDWLFLQWKHLUORFNLQJ IDOO

 65/ ZKLFK SHUIRUP ERWK D ORFNLQJ IDOO (65/ZKLFKXVHDUHVHUYHOLQHWHFKQLTXH

 &RUURVLRQSURWHFWLRQVKDOOEHDIIRUGHGWRDOO ('HYLFHVLQWHQGHGIRUXVHLQVSHFLFHQYL

 6\QWKHWLF 5RSH 5RSH XVHG DV D OLQH

 :HEELQJ :HEELQJ XVHG DV D OLQH FRQ

:LUH5RSH:LUHURSHXVHGDVDOLQHFRQ ( 7KH  SRXQG N1 PLQLPXP

 5HWUDFWLRQWHQVLRQRQWKH65/OLQHLQDG (6HH)LJXUHVDQG

6FRSH7KLVVWDQGDUGHVWDEOLVKHVUHTXLUHPHQWV ( 6HH )LJXUHV WKURXJK IRU LOOXVWUDWLRQV RI

7KLV VWDQGDUG DGGUHVVHV RQO\ SHUVRQ (6HH$SSHQGL[$IRUH[SODQDWLRQRIDFURQ\PV

7KH UHTXLUHPHQWV RI WKLV VWDQGDUG GR QRW (6HHUHIHUHQFHIRUGHQLWLRQRI6,&'LYL

$OWKRXJK SHUVRQDO IDOO DUUHVW V\VWHPV LQFRU (6HH

UHVWULFWLRQ ZRUN SRVLWLRQLQJ UHVFXH DQG HYDFXD

$SHUVRQDOIDOODUUHVWV\VWHP3)$6VKDOOEH (:KHQHYDOXDWLQJDQDQFKRUDJHERWKWKHGL

&RQQHFWRU +DUGZDUH &RPSRQHQWV DQG

$OO KDUGZDUH VKDOO EH QHZ DQG LQ XQXVHG

:KHQ WHVWHG LQ DFFRUGDQFH ZLWK (6HH)LJXUHVDEFJDQG

:KHQ WHVWHG LQ DFFRUGDQFH ZLWK (6HH)LJXUH

0DWHULDOV DQG &RQVWUXFWLRQ +DUQHVV

7KUHDGDQG6WLWFKLQJ/RFNVWLWFKLQJVKDOO (6HH)LJXUH6HZQMRLQWVVKRXOGDEH

7KH KDUQHVV VKDOO SURYLGH VXSSRUW IRU WKH (D:KHQIUHHO\VXVSHQGHGIURPWKHIDOODU

D )RU KDUQHVVHV HTXLSSHG ZLWK D IURQW

7KH KDUQHVV ZKHQ G\QDPLFDOO\ WHVWHG LQ (%UHDNLQJRIWKUHDGVGRHVQRWFRQVWLWXWHD

D )RU KDUQHVVHV HTXLSSHG ZLWK D IURQW

)RUPHG H\H WHUPLQDWLRQV LQ URSH VKDOO EH (,WLVSHUPLVVLEOHRQDGMXVWDEOHOHQJWKODQ

6WLWFKHGH\HWHUPLQDWLRQVRQVWUDSODQ\DUGV (6HZQMRLQWVVKRXOGDEHLQDFFRUGDQFH

)RUPHGH\HWHUPLQDWLRQVRIZLUHURSHVKDOO ( :LUH URSH HQGV VKRXOG EH EUD]HG

VKDOO EH PDQXIDFWXUHG LQ DFFRUGDQFH ZLWK WKH UH

/DQ\DUGV ZKHQ VWDWLFDOO\ WHVWHG LQ DFFRU

D /DQ\DUGV ZLWK WZR LQWHJUDOO\ FRQQHFW

(QHUJ\ DEVRUEHUV FRQVWUXFWHG RI URSH

(QHUJ\ DEVRUEHUV VKDOO EH GHVLJQHG VXFK

(QHUJ\ DEVRUEHUV ZKHQ VXEMHFWHG WR D

VWDWLFIRUFHRISRXQGVN1LQDFFRUGDQFHZLWK

:KHQ G\QDPLFDOO\ WHVWHG LQ DFFRUGDQFH

:KHQ HQHUJ\ DEVRUEHUV DUH G\QDPLFDOO\

$QFKRUDJH FRQQHFWRUV VKDOO PHHW WKH

7KH H[SRVXUH RI DQFKRUDJH FRQQHFWRUV

WR VKDUS HGJHV DEUDVLYH VXUIDFHV DQG SK\VLFDO

)DOO DUUHVWHUV VKDOO EH DXWRPDWLF LQ WKHLU (7KHLQWHQWRIJXDUGLQJDJDLQVWRYHUULGLQJ

7\SH IDOO DUUHVWHUVVKDOO EH LQFDSDEOH RI

&RUURVLRQ SURWHFWLRQ VKDOO EH DIIRUGHG WR ('HYLFHVLQWHQGHGIRUXVHLQVSHFLFHQYL

XUHRIWKHGHYLFHDIWHUEHLQJVDOWVSUD\IRJWHVWHG

5RSH XVHG LQ YHUWLFDO OLIHOLQHV VKDOO EH

)RUPHG H\H WHUPLQDWLRQV LQ URSH VKDOO ($NQRWPD\EHDQDFFHSWDEOHPHDQVRI

)RUPHG H\H WHUPLQDWLRQV RI ZLUH URSH

6HOI5HWUDFWLQJ/DQ\DUG&RPSRQHQW (+LVWRULFDOO\DVHOIUHWUDFWLQJODQ\DUG65/

65/VKDOOEHDXWRPDWLFLQWKHLUORFNLQJIDOO

65/ ZKLFK SHUIRUP ERWK D ORFNLQJ IDOO (65/ZKLFKXVHDUHVHUYHOLQHWHFKQLTXH

&RUURVLRQSURWHFWLRQVKDOOEHDIIRUGHGWRDOO ('HYLFHVLQWHQGHGIRUXVHLQVSHFLFHQYL

6\QWKHWLF 5RSH 5RSH XVHG DV D OLQH

:HEELQJ :HEELQJ XVHG DV D OLQH FRQ

:LUH5RSH:LUHURSHXVHGDVDOLQHFRQ ( 7KH SRXQG N1 PLQLPXP

5HWUDFWLRQWHQVLRQRQWKH65/OLQHLQDG (6HH)LJXUHVDQG

6WDWLF 6WUHQJWK :KHQ WHVWHG LQ DFFRU

'\QDPLF 6WUHQJWK :KHQ WHVWHG LQ DF (6HH)LJXUH

'\QDPLF 3HUIRUPDQFH :KHQ WHVWHG LQ

)XOO %RG\ +DUQHVV ZLWK ,QWHJUDO /DQ\DUG (6HH)LJXUH

)XOO %RG\ +DUQHVV ZLWK ,QWHJUDO (QHUJ\

)XOO %RG\ +DUQHVV ZLWK ,QWHJUDO (QHUJ\

/DQ\DUG ZLWK ,QWHJUDO (QHUJ\ $EVRUEHU

9HUWLFDO /LIHOLQH 6XEV\VWHP 9//66

)DOO $UUHVWHU &RQQHFWLQJ 6XEV\VWHP (&HUWDLQFRQQHFWLQJVXEV\VWHPVPD\QRWEH

:KHQ WHVWHG LQ DFFRUGDQFH ZLWK WKH G\ (6HH)LJXUH

7KH UHTXLUHPHQWV RI WKLV VHFWLRQ VKDOO DS (%HIRUHXVLQJDOLIHOLQHQRWVXSSOLHGE\WKH

)DOO DUUHVWHUV DQG OLIHOLQHV ZKLFK DUH LQ (6LQFHPDQ\HQYLURQPHQWDOFRQGLWLRQVDUH

6HOI5HWUDFWLQJ/DQ\DUG&RQQHFWLQJ6XE ( ,W LV UHFRPPHQGHG WKDW WKH PDQXIDFWXUHU

7HVW /DQ\DUG 7KH WHVW ODQ\DUG WR EH XVHG

7HQVLRQ 7HVW *DJH 7KH WHQVLRQ WHVW JDJH

VKDOO XQGHUJR WKH DSSOLFDEOH TXDOLFDWLRQ WHVWLQJ DVVHPEOHGLQWHJUDOV\VWHPRUVXEV\VWHP

)XOO %RG\ +DUQHVV ZLWK ,QWHJUDO /DQ\DUG (6HSDUDWHWHVWVSHFLPHQVPD\EHXVHGIRU

)XOO %RG\ +DUQHVV ZLWK ,QWHJUDO (QHUJ\

)XOO %RG\ +DUQHVV ZLWK (QHUJ\ $EVRUE

)XOO %RG\ +DUQHVV ZLWK (QHUJ\ $EVRUE

)XOO %RG\ +DUQHVV ZLWK 6HOI5HWUDFWLQJ

)XOO %RG\ +DUQHVV :LWK 6HOI5HWUDFWLQJ

'\QDPLF 3HUIRUPDQFH 7HVW IRU /DQ\DUG

*DWH )DFH 7HVWLQJ RI 6QDSKRRN DQG (6HH)LJXUH

6LGH /RDG 7HVWLQJ RI 6QDSKRRN DQG (6HH)LJXUH

0LQRU $[LV 7HVWLQJ RI 6QDSKRRN DQG

&RQQHFWRU 3URRI /RDG 7HVWLQJ &RQQHF ( $16,$66(=IRUGHQLWLRQ

6WDWLF 6WUHQJWK 7HVWLQJ 7KH WHVW WRUVR

D 6WDWLF 6WUHQJWK 7HVWLQJ IRU +DUQHVVHV

'\QDPLF 3HUIRUPDQFH 7HVWLQJ 7KH (1RWHWKDWKDUQHVVHVLQFRUSRUDWLQJLQWHJUDO

6WDWLF 6WUHQJWK 7HVWLQJ RI $GMXVWDEOH

6WDWLF 6WUHQJWK 7HVWLQJ RI /DQ\DUGV

'\QDPLF 3HUIRUPDQFH 7HVWLQJ RI /DQ

VHPEOLQJ LW LQWR LWV VXEV\VWHP RU V\VWHP 6XEMHFW