Samsung Electronics Co SPI-2C21012500 Mobile WiMAX Indoor RAS User Manual ATT E

Samsung Electronics Co Ltd Mobile WiMAX Indoor RAS ATT E

User Manual

 FCC ID : A3LSLS-2C21012500                                                                                            HCT CO., LTD. SAN 136-1, AMI-RI, BUBAL-EUP, ICHEON-SI, KYOUNGKI-DO, 467-701, KOREA TEL:+82 31 639 8517    FAX:+82 31 639 8525    www.hct.co.kr Report No. :  HCTR1007FR03                                                                                                    1/1    ATTACHMENT E.   - USER MANUAL -
(3%'(G 0RELOH :L0$; 5$6 63,&6\VWHP 'HVFULSWLRQ&23<5,*+77KLV GHVFULSWLRQ LV SURSULHWDU\ WR 6$0681* (OHFWURQLFV &R /WG DQG LV SURWHFWHG E\ FRS\ULJKW1R LQIRUPDWLRQ FRQWDLQHG KHUHLQ PD\ EH FRSLHG WUDQVODWHG WUDQVFULEHG RU GXSOLFDWHG IRU DQ\ FRPPHUFLDOSXUSRVHV RU GLVFORVHG WR WKH WKLUG SDUW\ LQ DQ\ IRUP ZLWKRXW WKH SULRU ZULWWHQ FRQVHQW RI 6$0681* (OHFWURQLFV&R /WG75$'(0$5.3URGXFW QDPHV PHQWLRQHG LQ WKLV GHVFULSWLRQ PD\ EH WUDGHPDUNV DQGRU UHJLVWHUHG WUDGHPDUNV RI WKHLUUHVSHFWLYH FRPSDQLHV7KLV GHVFULSWLRQ VKRXOG EH UHDG DQG XVHG DV D JXLGHOLQH IRU SURSHUO\ LQVWDOOLQJ DQG RSHUDWLQJ WKH SURGXFW7KLV GHVFULSWLRQ PD\ EH FKDQJHG IRU WKH V\VWHP LPSURYHPHQW VWDQGDUGL]DWLRQ DQG RWKHU WHFKQLFDO UHDVRQV ZLWKRXWSULRU QRWLFH,I \RX QHHG XSGDWHG GHVFULSWLRQV RU KDYH DQ\ TXHVWLRQV FRQFHUQLQJ WKH FRQWHQWV RI WKH GHVFULSWLRQV FRQWDFW RXU'RFXPHQW &HQWHU DW WKH IROORZLQJ DGGUHVV RU :HE VLWH$GGUHVV 'RFXPHQW &HQWHU UG )ORRU -HRQJERWRQJVLQGRQJ 'RQJ6XZRQ 32 %R[   0DHWDQGRQJ<HRQJWRQJJX 6XZRQVL *\HRQJJLGR .RUHD +RPHSDJH KWWSZZZVDPVXQJGRFVFRP 6$0681* (OHFWURQLFV &R /7' $OO ULJKWV UHVHUYHG
0RELOH :L0$; 5$6 63,& 6\VWHP 'HVFULSWLRQ,1752'8&7,213XUSRVH7KLV GHVFULSWLRQ GHVFULEHV WKH FKDUDFWHULVWLFV IXQFWLRQV DQG VWUXFWXUHV RI WKH 63,&ZKLFK LV WKH LQEXLOGLQJ 5$6 RI 0RELOH :L0$; DQG  *UDQG 0DVWHU *0 ZKLFKLV ,(((  PDVWHU HTXLSPHQW:KR 6KRXOG 5HDG 7KLV 0DQXDO7KLV PDQXDO LV LQWHQGHG IRU HQJLQHHUV ZKR ZDQW WR NQRZ WKH IXQFWLRQV DQG DUFKLWHFWXUH RIWKH 63,& DQG WKH *0 DQG WKH 0RELOH :L0$; HTXLSPHQW RSHUDWRUV'RFXPHQW &RQWHQW DQG 2UJDQL]DWLRQ7KLV GHVFULSWLRQ LV FRPSRVHG RI ¿YH &KDSWHUV DQG DQ $EEUHYLDWLRQ DV IROORZV&+$37(5  2YHUYLHZ RI 0RELOH :L0$; 6\VWHP 0RELOH :L0$; 6\VWHP ,QWURGXFWLRQ &RPSRQHQWV RI 0RELOH :L0$; 1HWZRUN&+$37(5  2YHUYLHZ RI 6\VWHP 6\VWHP ,QWURGXFWLRQ 0DMRU IXQFWLRQV 5HVRXUFHV ,QWHUIDFH EHWZHHQ WKH 6\VWHPV&+$37(5  6\VWHP 6WUXFWXUH +DUGZDUH 6WUXFWXUH 6RIWZDUH 6WUXFWXUH&+$37(5  0HVVDJH )ORZ &DOO 3URFHVVLQJ 0HVVDJH )ORZ 1HWZRUN 6\QFKURQL]DWLRQ 0HVVDJH )ORZ $ODUP 0HVVDJH )ORZ /RDGLQJ 0HVVDJH )ORZ 2SHUDWLRQ DQG 0DLQWHQDQFH 0HVVDJH )ORZ 6$0681* (OHFWURQLFV &R /WG ,,1752'8&7,21&+$37(5  *0 *0 ,QWURGXFWLRQ *0 6SHFL¿FDWLRQV ([WHUQDO ,QWHUIDFH RI *0$%%5(9,$7,21'HVFULEHV WKH DFURQ\PV XVHG LQ WKLV GHVFULSWLRQ&RQYHQWLRQV7KH IROORZLQJ W\SHV RI SDUDJUDSKV FRQWDLQ VSHFLDO LQIRUPDWLRQ WKDW PXVW EH FDUHIXOO\ UHDGDQG WKRURXJKO\ XQGHUVWRRG 6XFK LQIRUPDWLRQ PD\ RU PD\ QRW EH HQFORVHG LQ D UHFWDQJXODUER[ VHSDUDWLQJ LW IURP WKH PDLQ WH[W EXW LV DOZD\V SUHFHGHG E\ DQ LFRQ DQGRU D EROG WLWOH127(,QGLFDWHV DGGLWLRQDO LQIRUPDWLRQ DV D UHIHUHQFH5HYLVLRQ +LVWRU\(',7,21 '$7( 2) ,668( 5(0$5.6   )LUVW (GLWLRQ,, ࿢6$0681* (OHFWURQLFV &R /WG
0RELOH :L0$; 5$6 63,& 6\VWHP 'HVFULSWLRQ7$%/( 2) &217(176,1752'8&7,21 ,3XUSRVH  ,:KR 6KRXOG 5HDG 7KLV 0DQXDO  ,'RFXPHQW &RQWHQW DQG 2UJDQL]DWLRQ ,&RQYHQWLRQV ,,5HYLVLRQ +LVWRU\  ,,&+$37(5  6DPVXQJ 0RELOH :L0$; 1HWZRUN  ,QWURGXFWLRQ WR 6DPVXQJ 0RELOH :L0$;   6DPVXQJ 0RELOH :L0$; 1HWZRUN &RQ¿JXUDWLRQ &+$37(5  2YHUYLHZ RI 6\VWHP  6\VWHP ,QWURGXFWLRQ   0DLQ )XQFWLRQV   3K\VLFDO /D\HU 3URFHVVLQJ )XQFWLRQ   &DOO 3URFHVVLQJ )XQFWLRQ   ,3 DQG %DFNKDXO 2SHUDWLQJ )XQFWLRQV  0DLQWHQDQFH )XQFWLRQ   6SHFL¿FDWLRQV ,QWHUIDFH EHWZHHQ 6\VWHPV&+$37(5  6\VWHP 6WUXFWXUH  +DUGZDUH 6WUXFWXUH   /)$'LJLWDO %ORFN 5) %ORFN   3RZHU 6WUXFWXUH   ([WHUQDO ,QWHUIDFH 6WUXFWXUH   6RIWZDUH 6WUXFWXUH   6RIWZDUH %DVLF 6WUXFWXUH  && %ORFN   2$0 %ORFN  6$0681* (OHFWURQLFV &R /WG ,,,7$%/( 2) &217(176&+$37(5  0HVVDJH )ORZ  &DOO 3URFHVVLQJ 0HVVDJH )ORZ   ,QLWLDO (QWU\  $XWKHQWLFDWLRQ  6WDWH 7UDQVLWLRQ  /RFDWLRQ 8SGDWH  3DJLQJ  +DQGRYHU 'LVFRQQHFWLRQ 1HWZRUN 6\QFKURQL]DWLRQ 0HVVDJH )ORZ $ODUP 6LJQDO )ORZ  /RDGLQJ 0HVVDJH )ORZ  2SHUDWLRQ DQG 0DLQWHQDQFH 0HVVDJH )ORZ&+$37(5  *0  *0 ,QWURGXFWLRQ  *0 6SHFL¿FDWLRQV   ([WHUQDO ,QWHUIDFH 6WUXFWXUH RI *0  $%%5(9,$7,21 ,,9 ࿢6$0681* (OHFWURQLFV &R /WG
0RELOH :L0$; 5$6 63,& 6\VWHP 'HVFULSWLRQ(G/,67 2) ),*85(6)LJXUH  &RQ¿JXUDWLRQ RI 0RELOH :L0$; 6\VWHP )XQFWLRQV %DVHG RQ 3UR¿OH & )LJXUH  6DPVXQJ 0RELOH :L0$; 1HWZRUN &RQ¿JXUDWLRQ  )LJXUH  ))7 6SHFWUXP 3ORW RI &''  )LJXUH  75 ZLWK &'' 0DWUL[ $  &'' PRGH  )LJXUH  75 ZLWK &'' 0DWUL[ %  &'' PRGH  )LJXUH  6WUXFWXUH RI 63,& ,QWHUIDFH )LJXUH  3URWRFRO 6WDFN EHWZHHQ 1(V )LJXUH  3URWRFRO 6WDFN EHWZHHQ 63,& DQG :60)LJXUH  63,& 6\VWHP &RQ¿JXUDWLRQ )LJXUH  63,& ,QWHUQDO &RQ¿JXUDWLRQ )LJXUH  5) 3URFHVVLQJ 3DUW RI /)$ )LJXUH  3RZHU 6WUXFWXUH RI 63,&  )LJXUH  ([WHUQDO ,QWHUIDFH 6WUXFWXUH RI 63,&  )LJXUH  6RIWZDUH 6WUXFWXUH RI 6\VWHP  )LJXUH  && %ORFN 6WUXFWXUH )LJXUH  2$0 6RIWZDUH 6WUXFWXUH)LJXUH  ,QLWLDO (QWU\ 3URFHGXUH )LJXUH  $XWKHQWLFDWLRQ 3URFHGXUH 'XULQJ ,QLWLDO (QWU\  )LJXUH  $XWKHQWLFDWLRQ 3URFHGXUH 'XULQJ $XWKHQWLFDWRU 5HORFDWLRQ  )LJXUH  $ZDNH 0RGH ĺ ,GOH 0RGH 6WDWH 7UDQVLWLRQ 3URFHGXUH 06,QLWLDWHG )LJXUH  $ZDNH 0RGH ĺ ,GOH 0RGH 6WDWH 7UDQVLWLRQ 3URFHGXUH1HWZRUN,QLWLDWHG  )LJXUH  $ZDNH 0RGH ĺ 6OHHS 0RGH 6WDWH 7UDQVLWLRQ 3URFHGXUH )LJXUH  ,GOH 0RGH ĺ $ZDNH 0RGH 6WDWH 7UDQVLWLRQ 3URFHGXUH 4&6 )LJXUH  ,QWHU5$6 /RFDWLRQ 8SGDWH 3URFHGXUH )LJXUH  ,QWHU$&5 /RFDWLRQ 8SGDWH 3URFHGXUH 30,3&0,3)LJXUH  ,QWHU$&5 /RFDWLRQ 8SGDWH 3URFHGXUH 6LPSOH ,3 )LJXUH  3DJLQJ 3URFHGXUH )LJXUH  ,QWHU5$6 +DQGRYHU 3URFHGXUH )LJXUH  ,QWHU$61 +DQGRYHU $61$QFKRUHG 0RELOLW\)LJXUH  ,QWHU$61 +DQGRYHU &61$QFKRUHG 0RELOLW\ )LJXUH  'LVFRQQHFWLRQ $ZDNH 0RGH )LJXUH  'LVFRQQHFWLRQ ,GOH 0RGH)LJXUH  1HWZRUN 6\QFKURQL]DWLRQ )ORZ RI WKH 63,&)LJXUH  $ODUP RI WKH 63,& )LJXUH  /RDGLQJ 0HVVDJH )ORZ)LJXUH  2SHUDWLRQ DQG 0DLQWHQDQFH 6LJQDO )ORZ  6$0681* (OHFWURQLFV &R /WG 97$%/( 2) &217(176)LJXUH  6\VWHP &RQ¿JXUDWLRQ RI WKH *0  )LJXUH  ,QWHUQDO 6WUXFWXUH RI WKH *0  )LJXUH  *0 3RUW 3RVLWLRQLQJ  )LJXUH  *0 ([WHUQDO ,QWHUIDFHV  9, ࿢6$0681* (OHFWURQLFV &R /WG
0RELOH :L0$; 5$6 63,& 6\VWHP 'HVFULSWLRQFKDSWHU 41 6DPVXQJ 0RELOH :L0$;1HWZRUN ,QWURGXFWLRQ WR 6DPVXQJ 0RELOH :L0$;7KH 6DPVXQJ 0RELOH :L0$; V\VWHP LV WKH ZLUHOHVV QHWZRUN V\VWHP WKDW VXSSRUWV ,((( EDVH VHUYLFH 7KH ,(((  VWDQGDUG LV WKH EDVLV RI 6DPVXQJ 0RELOH :L0$;DQG LQFOXGHV ,((( 6WG  GH¿QLQJ ¿[HG ZLUHOHVV LQWHUQHW DFFHVV VHUYLFH DQG ,(((6WG  3&RU' GH¿QLQJ WKH WHFKQRORJLHV VXSSRUWLQJ PRELOLW\ ZKLFKLQFOXGH KDQGRYHU SDJLQJ6DPVXQJ 0RELOH :L0$; 6WDQGDUG,Q WKLV GHVFULSWLRQ WKH HQWLUH 6DPVXQJ 0RELOH :L0$; VWDQGDUG LV H[SUHVVHG ,(((7KH ZLUHOHVV /$1 :/$1 :LUHOHVV /RFDO $UHD 1HWZRUN FDQ SURYLGH KLJK VSHHG GDWDVHUYLFHV EXW LWV UDGLR ZDYH LV VKRUW DQG FRYHUV RQO\ VPDOO DUHDV DQG DOVR JLYHV OLPLWHG XVHUPRELOLW\ ,W LV GLI¿FXOW IRU :/$1 WR HQVXUH 4XDOLW\ RI 6HUYLFH 4R6 IRU GDWD VHUYLFH2Q WKH FRQWUDU\ WKH SUHVHQW PRELOH FRPPXQLFDWLRQ QHWZRUNV VXSSRUW WKH PRELOLW\ RIWKH XVHUV EXW WKH VHUYLFH FKDUJH DQG WKH FRVW RI V\VWHP RSHUDWLRQV DUH KLJK GXH WR WKHOLPLWHG ZLUHOHVV UHVRXUFHV 7R SURYLGH IDVWHU VHUYLFH LQ WKH H[LVWLQJ PRELOH FRPPXQLFDWLRQQHWZRUNV LW UHTXLUHV D VHSDUDWH ZLUHOHVV FRPPXQLFDWLRQ WHFKQRORJ\ VXFK DV +LJK 6SHHG'RZQOLQN 3DFNHW $FFHVV +6'3$ IRU WKH GDWD VHUYLFHV6DPVXQJ 0RELOH :L0$; FDQ WKHUHIRUH RYHUFRPH WKH OLPLWDWLRQV RI WKH :/$1 DQGSUHVHQW PRELOH FRPPXQLFDWLRQ QHWZRUNV DQG DFFRPPRGDWH RQO\ WKH DGYDQWDJHV RI WKHV\VWHP6DPVXQJ 0RELOH :L0$; FDQ XOWLPDWHO\ SURYLGH WKH KLJK VSHHG ZLUHOHVV LQWHUQHW VHUYLFHVZLWK ORZ FRVW DW DQ\ WLPH DQG LQ DQ\SODFH&KDUDFWHULVWLFV RI WKH 6DPVXQJ 0RELOH :L0$; 6\VWHP7KH PDMRU FKDUDFWHULVWLFV RI 6DPVXQJ 0RELOH :L0$; V\VWHP DUH OLVWHG EHORZ +LJK &RPSDWLELOLW\ DQG &URVV,QWHUZRUNLQJ7KH 6DPVXQJ 0RELOH :L0$; V\VWHP LV EDVHG RQ ,(((  VWDQGDUG DQGFRPSOLHV ZLWK :DYH  3UR¿OH DQG $61 3UR¿OH & RI WKH 0RELOH :L0$; )RUXP7KHUHIRUH WKH 6DPVXQJ 0RELOH :L0$; V\VWHP SURYLGHV KLJK FRPSDWLELOLW\ DQGH[FHOOHQW FURVVLQWHUZRUNLQJ +LJK 3HUIRUPDQFH 0RGXOH 6WUXFWXUH 6$0681* (OHFWURQLFV &R /WG &+$37(5  6DPVXQJ 0RELOH :L0$; 1HWZRUN7KH 6DPVXQJ 0RELOH :L0$; V\VWHP KDV KLJK SHUIRUPDQFH E\ XVLQJ KLJKSHUIRUPDQFHSURFHVVRU DQG SURYLGHV WKH PRGXOH VWUXFWXUH WKDW LW LV HDV\ WR XSJUDGH KDUGZDUH DQGVRIWZDUH +LJK 6\VWHP 6WDELOLW\7KH 6DPVXQJ 0RELOH :L0$; V\VWHP SURYLGHV WKH UHGXQGDQF\ VWUXFWXUH IRU PDLQPRGXOHV WR HQVXUH KLJKHU VWDELOLW\ $GYDQFH 5) DQG $QWHQQD 6ROXWLRQ 6XSSRUW7KH 6DPVXQJ 0RELOH :L0$; V\VWHP VXSSRUWV 0XOWLSOH ,QSXW 0XOWLSOH 2XWSXW 0,02DQG DSSOLHV WKH SRZHU DPSOL¿HU WR VXSSRUW ZLGHEDQG RSHUDWLRQ EDQGZLGWK (YROXWLRQ 3RVVLELOLW\ LQWR 1H[W *HQHUDWLRQ 1HWZRUNLQJ7KH 6DPVXQJ 0RELOH :L0$; V\VWHP FRPSOLHV ZLWK WKH VWUXFWXUH RI WKH 0RELOH :L0$;$61 3UR¿OH & QHWZRUN DQG WKH $61 3UR¿OH & QHWZRUN FRPSRVLWLRQ LV VLPLODU WR WKHQHWZRUN VWUXFWXUH FRQVLGHUHG LQ *33 /RQJ 7HUP (YROXWLRQ /7(6HUYLFH $UFKLWHFWXUH(YROXWLRQ 6$( 7KHUHIRUH WKH 6DPVXQJ 0RELOH :L0$; V\VWHP FDQ HDVLO\ HYROYHLQWR WKH QH[W JHQHUDWLRQ QHWZRUN 0DLQWHQDQFH )XQFWLRQ ZLWK 6WUHQJWKHQHG 6HFXULW\7KH 6DPVXQJ 0RELOH :L0$; V\VWHP FDQ SURYLGHV WKH VHFXULW\ IXQFWLRQ 6103Y 66+6)73 DQG +773V WR DOO FKDQQHOV IRU RSHUDWLRQ DQG PDLQWHQDQFH 7KH 6DPVXQJ 0RELOH:L0$; V\VWHP SURYLGHV WKH RSHUDWRU $XWKHQWLFDWLRQ $XWKRUL]DWLRQ DQG $FFRXQWLQJ$$$ IXQFWLRQ WR DXWKHQWLFDWH WKH RSHUDWRU DQG DVVLJQ WKH ULJKW IRU V\VWHP DFFHVV DQGVWRUHV WKH RSHUDWLRQ KLVWRU\ LQ D ORJ6DPVXQJ 0RELOH :L0$; 6\VWHP$&5 DQG 5$6 )XQFWLRQV6DPVXQJ 0RELOH :L0$; 6\VWHP SURYLGHV KLJK VSHHG GDWD VHUYLFHV XVLQJ WKH WUDQVPLVVLRQWHFKQRORJ\ RI 2UWKRJRQDO )UHTXHQF\ 'LYLVLRQ 0XOWLSOH $FFHVV 2)'0$ E\ WKH 7LPH'LYLVLRQ 'XSOH[ 7'' DQG FDQ JLYH ZLGHU FRYHUDJH FRPSDUHG WR WKH H[LVWLQJ :/$17KH V\VWHP SHUIRUPDQFH DQG WKH FDSDFLW\ KDYH EHHQ H[SDQGHG E\ WKH KLJK SHUIRUPDQFHKDUGZDUH DQG WKXV LW FDQ HDVLO\ JLYH YDULRXV IXQFWLRQV DQG VHUYLFHV WR WKH XVHUV6\VWHP 6XSSRUW 6WDQGDUGV1HWZRUN :RUNLQJ *URXS 1:* RI 0RELOH :L0$; )RUXP GH¿QHV WKH 0RELOH :L0$;QHWZRUN DV $FFHVV 6HUYLFH 1HWZRUN $61 DQG &RQQHFWLYLW\ 6HUYLFH 1HWZRUN &615$6 RI 6DPVXQJ LV %DVH 6WDWLRQ %6 DQG $&5 LV $61*: *DWHZD\ RI $61UHVSHFWLYHO\5$6 DQG $&5 DUH EDVHG RQ $61 3UR¿OH & DQG :DYH  3UR¿OH GH¿QHG LQ WKH 0RELOH:L0$; )RUXP DQG WKH :DYH  3UR¿OH FRQWDLQV :DYH  3UR¿OH7KH ¿JXUH EHORZ VKRZV WKH IXQFWLRQV RI WKH $61 V\VWHPV $&5 DQG 5$6 EDVHG RQ3UR¿OH &(DFK EORFN QDPH FRPSOLHV ZLWK WKH VWDQGDUG RI 0RELOH :L0$; 1:* ࿢6$0681* (OHFWURQLFV &R /WG
0RELOH :L0$; 5$6 63,& 6\VWHP 'HVFULSWLRQ(G)LJXUH  &RQ¿JXUDWLRQ RI 0RELOH :L0$; 6\VWHP )XQFWLRQV %DVHG RQ 3UR¿OH &7KH $&5 VXSSRUWV WKH &RQYHUJHQFH 6XEOD\HU &6 DQG SHUIRUPV WKH SDFNHW FODVVL¿FDWLRQDQG 3DFNHW +HDGHU 6XSSUHVVLRQ 3+6 IXQFWLRQV :KHQ WKH $&5 FDUULHV RXW WKH KHDGHUFRPSUHVVLRQ IXQFWLRQ LW VXSSRUWV 5REXVW +HDGHU &RPSUHVVLRQ 52+& GH¿QHG LQ WKH1:* VWDQGDUG,Q DGGLWLRQ WKH $&5 SHUIRUPV WKH SDJLQJ FRQWUROOHU DQG ORFDWLRQ UHJLVWHU IXQFWLRQV IRUDQ 06 LQ ,GOH 0RGH,Q DXWKHQWLFDWLRQ WKH $&5 SHUIRUPV WKH DXWKHQWLFDWRU IXQFWLRQ DQG FDUULHV RXW WKH NH\GLVWULEXWRU IXQFWLRQ WR PDQDJH WKH KLJKHU VHFXULW\ NH\ E\ LQWHUZRUNLQJ ZLWK WKH $$$ VHUYHUDV DQ $$$ FOLHQW $W WKLV WLPH 5$6 SHUIRUPV WKH NH\ UHFHLYHU IXQFWLRQ WR UHFHLYH WKHVHFXULW\ NH\ IURP WKH NH\ GLVWULEXWRU DQG PDQDJH LW7KH $&5 LQWHUZRUNV ZLWK WKH $$$ VHUYHU RI &61 IRU DXWKHQWLFDWLRQ DQG FKDUJLQJ VHUYLFHVDQG ZLWK WKH +$ RI &61 IRU 0RELOH ,3 0,3 VHUYLFH 7KH $&5 DV )$ RI 0,3 VXSSRUWVERWK 3UR[\ 0,3 30,3 DQG &OLHQW 0,3 &0,37KH $&5 LQWHUZRUNV ZLWK WKH $$$ VHUYHU RI &61 IRU DXWKHQWLFDWLRQ DQG FKDUJLQJ VHUYLFHVDQG ZLWK WKH +$ RI &61 IRU 0RELOH ,3 0,3 VHUYLFH 7KH $&5 DV )$ RI 0,3 VXSSRUWVERWK 3UR[\ 0,3 30,3 DQG &OLHQW 0,3 &0,37KH 5$6 SHUIRUPV WKH 6HUYLFH )ORZ 0DQDJHPHQW 6)0 IXQFWLRQ WR FUHDWHFKDQJHUHOHDVHFRQQHFWLRQV IRU HDFK 6HUYLFH )ORZ 6) DQG WKH DGPLVVLRQ FRQWURO IXQFWLRQ ZKLOHFUHDWLQJFKDQJLQJ FRQQHFWLRQV ,Q UHJDUG WR WKH 6)0 IXQFWLRQ RI WKH 5$6 WKH $&5 FDUULHVRXW WKH 6) $XWKHQWLFDWLRQ 6)$ DQG 6),' PDQDJHPHQW IXQFWLRQV 7KH $&5 FDUULHV RXW WKH6)$ IXQFWLRQ WR REWDLQ WKH 4R6 LQIRUPDWLRQ IURP 3ROLF\ )XQFWLRQ 3) DQG DSSO\ LW LQ WKH 6$0681* (OHFWURQLFV &R /WG &+$37(5  6DPVXQJ 0RELOH :L0$; 1HWZRUN6) FUHDWLRQ DQG SHUIRUPV WKH 6),' PDQDJHPHQW IXQFWLRQ WR FUHDWHFKDQJHUHOHDVH 6),' DQGPDS 6) DFFRUGLQJ WR WKH SDFNHW FODVVL¿FDWLRQ,Q KDQGRYHU WKH 5$6 SHUIRUPV WKH KDQGRYHU FRQWURO IXQFWLRQ WR GHWHUPLQH WKH H[HFXWLRQRI WKH KDQGRYHU DQG GHDO ZLWK FRUUHVSRQGLQJ KDQGRYHU VLJQDOLQJ 7KH $&5 FRQ¿UPV WKHQHLJKERU 5$6 OLVW DQG UHOD\V WKH KDQGRYHU VLJQDOLQJ PHVVDJH WR WKH WDUJHW V\VWHP$W WKLV WLPH WKH $&5 DQG WKH 5$6 FDUULHV RXW WKH FRQWH[W IXQFWLRQ WR H[FKDQJH WKH FRQWH[WLQIRUPDWLRQ EHWZHHQ WKH WDUJHW V\VWHP DQG WKH VHUYLQJ V\VWHP7KH 5$6 SHUIRUPV WKH 5DGLR 5HVRXUFH &RQWURO 55& DQG 55 $JHQW 55$ IXQFWLRQV WRFROOHFWPDQDJH WKH UDGLR UHVRXUFH LQIRUPDWLRQ HJ %6,' IURP 06V DQG WKH 5$6 LWVHOI$61 6\VWHP )XQFWLRQ)RU WKH GHWDLOHG GHVFULSWLRQ DERXW WKH V\VWHP IXQFWLRQV UHIHU WR WKH V\VWHPGHVFULSWLRQ IRU HDFK V\VWHP SURYLGHG E\ 6DPVXQJ ࿢6$0681* (OHFWURQLFV &R /WG
0RELOH :L0$; 5$6 63,& 6\VWHP 'HVFULSWLRQ(G 6DPVXQJ 0RELOH :L0$; 1HWZRUN &RQ¿JXUDWLRQ0RELOH :L0$; QHWZRUN LV FRPSRVHG RI $61 DQG &61 $&5 DQG 5$6 DUH LQYROYHG LQ$61 DQG :60 LV WKH 1HWZRUN (OHPHQW 1( WR PDQDJH $&5 DQG 5$6 &61 LV FRPSRVHGRI $$$ VHUYHU +$ '+&3 DQG 3&5) VHUYHU $61 LV FRQQHFWHG ZLWK &61 E\ URXWHU DQGVZLWFK7KH IROORZLQJ GLDJUDP VKRZV WKH FRPSRVLWLRQ RI 6DPVXQJ 0RELOH :L0$; QHWZRUN)LJXUH  6DPVXQJ 0RELOH :L0$; 1HWZRUN &RQ¿JXUDWLRQ$FFHVV &RQWURO 5RXWHU $&5$&5 ZKLFK LV WKH V\VWHP EHWZHHQ &61 DQG 5$6 HQDEOHV VHYHUDO 5$6V WR LQWHUZRUN ZLWK,3 QHWZRUN VHQGVUHFHLYHV WUDI¿F EHWZHHQ H[WHUQDO QHWZRUN DQG 06 DQG FRQWUROV 4R67KH $&5 LQWHUIDFHV ZLWK WKH $XWKHQWLFDWLRQ $XWKRUL]DWLRQ DQG $FFRXQWLQJ $$$ VHUYHUXVLQJ WKH 'LDPHWHU5$',86 SURWRFROV DQG ZLWK WKH 3ROLF\  &KDUJLQJ 5XOHV )XQFWLRQ3&5) VHUYHU XVLQJ WKH 'LDPHWHU SURWRFRO ,Q WKLV ZD\ WKH $&5 SURYLGHV LQWHUIDFHV IRUWKH 1(V RI WKH &61 6$0681* (OHFWURQLFV &R /WG &+$37(5  6DPVXQJ 0RELOH :L0$; 1HWZRUN5DGLR $FFHVV 6WDWLRQ 5$65$6 DV WKH V\VWHP EHWZHHQ $&5 DQG 06 KDV WKH LQWHUIDFH ZLWK $&5 DQG SURYLGHV WKHZLUHOHVV FRQQHFWLRQ WR 06 XQGHU ,(((  VWDQGDUGV WR VXSSRUW ZLUHOHVV FRPPXQLFDWLRQVHUYLFH IRU VXEVFULEHUV5$6 FDUULHV RXW ZLUHOHVV VLJQDO H[FKDQJH ZLWK 06 PRGXODWLRQGHPRGXODWLRQ VLJQDOSURFHVVLQJ IRU SDFNHW WUDI¿F VLJQDO HI¿FLHQW XVH RI ZLUHOHVV UHVRXUFHV SDFNHW VFKHGXOLQJIRU 4XDOLW\ RI 6HUYLFH 4R6 DVVXUDQFH DVVLJQPHQW RI ZLUHOHVV EDQGZLGWK $XWRPDWLF5HSHDW UHTXHVW $54 SURFHVVLQJ DQG UDQJLQJ IXQFWLRQ ,Q DGGLWLRQ 5$6 FRQWUROV WKHFRQQHFWLRQ IRU SDFNHW FDOOV DQG KDQGRYHU6DPVXQJ 0RELOH :L0$; 6\VWHP 0DQDJHU :60:60 SURYLGHV WKH PDQDJHPHQW HQYLURQPHQW IRU WKH RSHUDWRU WR RSHUDWH DQG PDLQWDLQ$&5 DQG 5$6+RPH $JHQW +$+$ DFFHVVHV RWKHU QHWZRUNV RU SULYDWH QHWZRUNV DQG HQDEOHV 0RELOH ,3 0,3 XVHUV WRDFFHVV LQWHUQHW +$ LQWHUZRUNV ZLWK $&5 WKDW SHUIRUPV )RUHLJQ $JHQW )$ IXQFWLRQ IRU0RELOH ,3Y DQG LQWHUZRUNV ZLWK 06 WR H[FKDQJH GDWD IRU 0RELOH ,3Y$XWKRUL]DWLRQ $XWKHQWLFDWLRQ DQG $FFRXQWLQJ $$$ 6HUYHU$$$ VHUYHU LQWHUIDFHV ZLWK $&5 DQG FDUULHV RXW VXEVFULEHU DXWKHQWLFDWLRQ DQG DFFRXQWLQJIXQFWLRQV 7KH $$$ VHUYHU LQWHUIDFHV ZLWK $&5 YLD 'LDPHWHU5$',86 SURWRFRO DQGSURYLGHV ([WHQVLEOH $XWKHQWLFDWLRQ 3URWRFRO ($3 FHUWL¿FDWLRQ'\QDPLF +RVW &RQ¿JXUDWLRQ 3URWRFRO '+&3 6HUYHU7KH '+&3 VHUYHU DOORFDWHV ,3 DGGUHVVHV WR VLPSOH ,3 XVHUV :KHQ DQ 06 UHTXHVWV DQ ,3DGGUHVV DOORFDWLRQ WKH '+&3 VHUYHU DOORFDWHV DQ ,3 DGGUHVV LQ LQWHURSHUDWLRQ ZLWK WKH $&5WKDW IXQFWLRQV DV WKH '+&3 UHOD\ DJHQW DQG VHQGV LW WR WKH $&53ROLF\  &KDUJLQJ 5XOHV )XQFWLRQ 3&5) 6HUYHU7KH 3&5) VHUYHU LV WKH VHUYHU WKDW PDQDJHV WKH VHUYLFH SROLF\ DQG LQWHUIDFHV ZLWK $&5 YLD'LDPHWHU SURWRFRO 7KH 3&5) VHUYHU VHQGV 4R6 VHWWLQJ LQIRUPDWLRQ IRU HDFK XVHU VHVVLRQDQG DFFRXQWLQJ UXOH LQIRUPDWLRQ WR $&5 ࿢6$0681* (OHFWURQLFV &R /WG
0RELOH :L0$; 5$6 63,& 6\VWHP 'HVFULSWLRQFKDSWHU 51 2YHUYLHZ RI 6\VWHP 6\VWHP ,QWURGXFWLRQ7KH 63,& 5$6 RI 0RELOH :L0$; LV FRQWUROOHG E\ $&5 DQG FRQQHFWV 0RELOH:L0$; FDOOV WR 067KH 63,& LQWHUIDFHV ZLWK 06 YLD D ZLUHOHVV FKDQQHO REVHUYLQJ WKH 0RELOH :L0$;VWDQGDUG ,(((  DQG SURYLGHV KLJKVSHHG GDWD VHUYLFH DQG PXOWLPHGLD VHUYLFH LQZLUHOHVV EURDGEDQG7R WKLV HQG WKH 63,& SURYLGHV WKH IROORZLQJ IXQFWLRQV PRGXODWLRQGHPRGXODWLRQ RISDFNHW WUDI¿F VLJQDO VFKHGXOLQJ DQG UDGLR EDQGZLGWK DOORFDWLRQ WR PDQDJH DLU UHVRXUFHVHI¿FLHQWO\ DQG HQVXUH 4XDOLW\ RI 6HUYLFH 4R6 $XWRPDWLF 5HSHDW UHTXHVW $54SURFHVVLQJ UDQJLQJ IXQFWLRQ FRQQHFWLRQ FRQWURO IXQFWLRQ WR WUDQVPLW WKH LQIRUPDWLRQ RQ WKH63,& DQG VHWKROGGLVFRQQHFW WKH SDFNHW FDOO FRQQHFWLRQ KDQGRYHU FRQWURO DQG $&5LQWHUIDFH IXQFWLRQ DQG V\VWHP RSHUDWLRQ PDQDJHPHQW IXQFWLRQ7KH 63,& LV D RQHER[ W\SH V\VWHP WKDW WKH GLJLWDO DQG 5) EORFNV DUH LQWHJUDWHG LQWRDQG FDQ EH LQVWDOOHG RQ D ZDOO RU FHLOLQJ LQ LQGRRU HQYLURQPHQWV%DVLFDOO\ WKH 63,& FDQ VXSSRUW &DUULHU2PQL FDSDFLW\ SHU V\VWHP DQG DOVR [0XOWLSOH ,QSXW 0XOWLSOH 2XWSXW 0,02 RU 75 ZLWK &'' PDWUL[ $%  &'' PRGH$SSOLFDWLRQ RI WKH 2)'0$ 0HWKRG2)'0$ LV XVHG WR WUDQVPLW GDWD WR VHYHUDO XVHUV VLPXOWDQHRXVO\ E\ XVLQJ WKH VXEFDUULHUDOORFDWHG WR HDFK XVHU DQG WUDQVPLW GDWD E\ DOORFDWLQJ RQH RU PRUH VXEFDUULHUV WR D VSHFL¿FVXEVFULEHU DFFRUGLQJ WR WKH FKDQQHO VWDWXV DQG WKH WUDQVPLVVLRQ UDWH UHTXHVWHG E\ D XVHU,Q DGGLWLRQ VLQFH LW FDQ VHOHFW WKH VXEFDUULHUV ZLWK H[FHOOHQW IHDWXUHV IRU HDFK VXEVFULEHUDQG DOORFDWH WKHP WR WKH VXEVFULEHUV ZKHQ VRPH VXEVFULEHUV GLYLGH DQG XVH WKH ZKROHVXEFDUULHU LW FDQ UDLVH WKH GDWD WKURXJKSXW E\ GLVWULEXWLQJ WKH UHVRXUFHV HI¿FLHQWO\6XSSRUW RI 0,02%DVLFDOO\ WKH 63,& VXSSRUWV WKH [ 0,02 PRGH WKDW LV DSSOLHG ZLWK WKH &\FOLF 'HOD\'LYHUVLW\ &'' PHWKRG DQG EHORZ DUH WKH W\SHV RI VXSSRUWHG 0,02 'RZQOLQN± 6SDFH 7LPH &RGLQJ 67& PHWKRG IRU UDLVLQJ UHOLDELOLW\ RI OLQN± 6SDWLDO 0XOWLSOH[LQJ 60 PHWKRG IRU UDLVLQJ GDWD WUDQVPLVVLRQ UDWH 8SOLQN&ROODERUDWLYH 60 &60 PHWKRG IRU GRXEOLQJ WKH IUHTXHQF\ HI¿FLHQF\ 6$0681* (OHFWURQLFV &R /WG &+$37(5  2YHUYLHZ RI 6\VWHP6XSSRUW RI &\FOLF 'HOD\ 'LYHUVLW\ &''7KH &'' UHSHDWHGO\ VHQGV WKH GDWD VWUHDP ZKLFK LV WKH VDPH DV DQRWKHU GDWD VWUHDP XVLQJIUHTXHQF\ GLYHUVLW\ 7KHUHIRUH WKH DLU SHUIRUPDQFH RI WKH 0RELOH :L0$; V\VWHP FDQEH LPSURYHG XVLQJ &'')LJXUH  ))7 6SHFWUXP 3ORW RI &'',(((  6XSSRUW7KH 63,& JHQHUDWHV WKH FORFNV QHHGHG LQ WKH V\VWHP DQG LV QRW RQO\ HTXLSSHG ZLWK D*36 UHFHSWLRQ PRGXOH EXW DOVR VXSSRUWV WKH ,(((  SURWRFRO WR REWDLQ WKH FORFN VLJQDOVIRU V\VWHP V\QFKURQL]DWLRQ32( 6XSSRUW7KH 63,& EDVLFDOO\ VXSSRUWV WKH 3RZHU RYHU (WKHUQHW 32( IXQFWLRQ EHVLGHV DQH[WHUQDO $& SRZHU VXSSO\ DQG WKH SRZHU VXSSO\ PHWKRG FDQ EH VHOHFWHG DFFRUGLQJ WR WKHLQVWDOODWLRQ HQYLURQPHQW/RZ 3RZHU &RQVXPSWLRQ DQG 6PDOO )RRWSULQW7KH 63,& KDV D KLJKO\ LQWHJUDWHG DUFKLWHFWXUH RSWLPL]HG IRU WKH &DUULHU2PQL V\VWHPDQG KDV DFKLHYHG ORZ SRZHU FRQVXPSWLRQ DQG D VPDOO IRRWSULQW E\ DGDSWLQJ WKH 6\VWHP RQ&KLS 6R& DQG 5DGLR )UHTXHQF\ ,QWHJUDWHG &LUFXLW 5),&&RQYHQLHQFH RI ,QVWDOODWLRQ DQG :RUN7KH 63,& LV DQ XOWUDVPDOO RQHER[ V\VWHP WKDW FDQ EH FRQYHQLHQWO\ LQVWDOOHG RQ D ZDOORU FHLOLQJ ZLWK PLQLPXP HIIRUW DQG LQVWDOODWLRQ VSDFH UHTXLUHG3URWHFWLRQ RI 6RIWZDUH7KH 63,& SURWHFWV VRIWZDUH DQG LWV FRQ¿JXUDWLRQ LQIRUPDWLRQ XVLQJ QRQYRODWLOHPHPRU\ ZLWKLQ WKH V\VWHP0RQLWRULQJ 3RUW7KH RSHUDWRU FDQ PRQLWRU WKH LQIRUPDWLRQ IRU WKH V\VWHP XVLQJ LWV GHEXJ SRUW ZKHQ QHHGHG ࿢6$0681* (OHFWURQLFV &R /WG
0RELOH :L0$; 5$6 63,& 6\VWHP 'HVFULSWLRQ(G6\VWHP )HDWXUH $YDLODELOLW\)RU WKH DYDLODELOLW\ RI D VSHFL¿F IHDWXUH GHVFULEHG LQ WKLV V\VWHP GHVFULSWLRQ SOHDVHVHH D UHOHYDQW GRFXPHQW SURYLGHG VHSDUDWHO\ 6$0681* (OHFWURQLFV &R /WG &+$37(5  2YHUYLHZ RI 6\VWHP 0DLQ )XQFWLRQV7KH PDLQ IXQFWLRQV RI WKH 63,& DUH DV IROORZV 3K\VLFDO /D\HU 3URFHVVLQJ )XQFWLRQ2)'0$ 5DQJLQJ7KH UDQJLQJ VXSSRUWHG E\ WKH 2)'0$ V\VWHP LV URXJKO\ GLYLGHG E\ WKH XSOLQN WLPLQJV\QFKURQL]DWLRQ PHWKRG DQG WKH FRQWHQWLRQ EDVHG EDQGZLGWK UHTXHVW PHWKRG 8SOLQN 7LPLQJ 6\QFKURQL]DWLRQ,Q WKH XSOLQN WLPLQJ V\QFKURQL]DWLRQ PHWKRG WKH 63,& GHWHFWV WKH WLPLQJ HUURU RI WKHXSOLQN VLJQDO E\ XVLQJ WKH UDQJLQJ FRGH WUDQVPLWWHG IURP 06 DQG WUDQVPLWV WKH WLPLQJFRUUHFWLRQ FRPPDQG WR HDFK 06 WR FRUUHFW WKH WUDQVPLVVLRQ WLPLQJ RI WKH XSOLQN 7KHXSOLQN WLPLQJ V\QFKURQL]DWLRQ PHWKRG KDV LQLWLDO UDQJLQJ SHULRGLF UDQJLQJ KDQGRYHUUDQJLQJ HWF &RQWHQWLRQ %DVHG %DQGZLGWK 5HTXHVW,Q WKH FRQWHQWLRQ EDVHG EDQGZLGWK UHTXHVW PHWKRG WKH 63,& UHFHLYHV WKH EDQGZLGWKUHTXHVW UDQJLQJ FRGH IURP HDFK 06 DQG DOORFDWHV XSOLQN UHVRXUFHV WR WKH FRUUHVSRQGLQJ06 WR HQDEOH WR WUDQVPLW WKH EDQGZLGWK UHTXHVW KHDGHU 7KH FRQWHQWLRQ EDVHG EDQGZLGWKUHTXHVW PHWKRG KDV EDQGZLGWK UHTXHVW UDQJLQJ RU VRPHWKLQJ&KDQQHO (QFRGLQJ'HFRGLQJ7KH 63,& FDUULHV RXW WKH )RUZDUG (UURU &RUUHFWLRQ )(& HQFRGLQJ IRU WKH GRZQOLQNSDFNHW FUHDWHG LQ WKH XSSHU OD\HU E\ XVLQJ &RQYROXWLRQDO 7XUER &RGH &7&2Q WKH FRQWUDU\ LW GHFRGHV WKH XSOLQN SDFNHW UHFHLYHG IURP WKH 06 DIWHU GHPRGXODWLQJ0RGXODWLRQ'HPRGXODWLRQ7KH 63,& FDUULHV RXW WKH )(& HQFRGLQJ IRU WKH GRZQOLQN SDFNHW FUHDWHG LQ WKH XSSHUOD\HU DQG PRGXODWHV WKH HQFRGHG SDFNHW LQWR WKH 4$0 VLJQDO ,Q DGGLWLRQ WKH 63,&GHPRGXODWHV DQG GHFRGHV WKH XSOLQN SDFNHW UHFHLYHG IURP 062)'0$ 6XEFDUULHU $OORFDWLRQ7KH VXEFKDQQHOL]DWLRQ LV WKH SURFHVV WR WLH WKH VXEFDUULHUV RI 2)'0$ DV D WUDQVPLVVLRQXQLW DIWHU JURXSLQJ WKHP E\ D FHUWDLQ UXOH 7KH 63,& SHUIRUPV WKH VXEFKDQQHOL]DWLRQWR PLWLJDWH WKH LQWHUIHUHQFH EHWZHHQ FHOOV7KH 63,& PDSV WKH FROXPQ RI WKH PRGXODWHG GRZQOLQN 4$0 V\PERO VWUXFWXUH ZLWKHDFK VXEFDUULHU DQG FDUULHV RXW WKH VXEFKDQQHOL]DWLRQ ZKHQ WKH FROXPQ RI WKH 4$0V\PERO VWUXFWXUH LV WUDQVPLWWHG WR WKH 06 RYHU WKH ZLUHOHVV OLQH ,Q VXFK ZD\ WKH 63,&WUDQVPLWV WKH FROXPQ RI WKH 4$0 V\PERO VWUXFWXUH WR WKH 06 YLD WKH VXEFDUULHUV SHUWDLQHGWR HDFK VXEFKDQQHO ࿢6$0681* (OHFWURQLFV &R /WG
0RELOH :L0$; 5$6 63,& 6\VWHP 'HVFULSWLRQ(G'/8/ 0$3 &RQVWUXFWLRQ7KH 63,& LQIRUPV WKH DLU UHVRXUFHV IRU WKH XSOLQN DQG WKH GRZQOLQN WR WKH 06 E\ XVLQJ'/8/ 0$3 7KH '/8/ 0$3 FRQVLVWV RI WKH VFKHGXOLQJ LQIRUPDWLRQ RI WKH 63,& DQGLQFOXGHV YDULRXV FRQWURO LQIRUPDWLRQ IRU WKH 063RZHU &RQWURO7KH 63,& FDUULHV RXW WKH SRZHU FRQWURO IXQFWLRQ IRU WKH XSOLQN VLJQDO UHFHLYHG IURPPXOWLSOH 06V DQG WKHQ VHW WKH SRZHU LQWHQVLW\ RI WKH XSOLQN VLJQDO WR D VSHFL¿F OHYHO7KH 63,& WUDQVPLWV WKH SRZHU FRUUHFWLRQ FRPPDQG WR HDFK 06 DQG WKHQ PDNHV WKH 06SRZHU LQWHQVLW\ EH WKH OHYHO UHTXLUHG LQ WKH 63,& ZKHQ WKH 06 WUDQVPLWV WKH PRGXODWHGXSOLQN VLJQDO LQ D VSHFL¿F 4$0 PRGXODWLRQ PHWKRG+\EULG$54 +$54 2SHUDWLRQ+$54 LV WKH SK\VLFDO OD\HU UHWUDQVPLVVLRQ PHWKRG XVLQJ WKH VWRSDQGZDLW SURWRFRO7KH 63,& FDUULHV RXW WKH +$54 IXQFWLRQ DQG UDLVHV GDWD WKURXJKSXW E\ UHWUDQVPLWWLQJRU FRPELQLQJ WKH IUDPH IURP WKH SK\VLFDO OD\HU WR PLQLPL]H WKH HIIHFW DWWHQGLQJ WR WKHFKDQJH RI ZLUHOHVV FKDQQHO HQYLURQPHQW RU WKH FKDQJH LQ WKH LQWHUIHUHQFH VLJQDO OHYHO0,027KH 63,& SURYLGHV WKH 0,02 IXQFWLRQ DV IROORZV DFFRUGLQJ WR 0RELOH :L0$; :DYH 3UR¿OH 'RZQOLQN± 0DWUL[ $ 67& 7UDQVPLVVLRQ UDWLR RI WKH 0DWUL[ $ RU 67& LV  DQG HTXDO WR WKDW RI6LQJOH ,QSXW 6LQJOH 2XWSXW 6,62 +RZHYHU 7KH 0DWUL[ $ RU WKH 67& UHGXFHV WKHHUURU RI WKH VLJQDO UHFHLYHG IURP WKH 06 E\ UDLVLQJ WKH VWDELOLW\ RI WKH VLJQDO UHFHLYHGIURP WKH 06 E\ PHDQV RI WKH 7[ GLYHUVLW\ 7KLV WHFKQRORJ\ LV DOVR HIIHFWLYH LQ ORZ6LJQDO WR 1RLVH 5DWLR 615 DQG SURYLGHV H[FHOOHQW SHUIRUPDQFH HYHQ ZKHQ WKH 06PRYHV LQ KLJK VSHHG± 0DWUL[ % 60 YHUWLFDO HQFRGLQJ 0DWUL[ % RU 60 PHWKRG UDLVHV WKH HIIHFWLYHQHVV RIWKH IUHTXHQF\ E\ UDLVLQJ WKH WUDQVPLVVLRQ UDWLR LQ SURSRUWLRQ WR WKH QXPEHU RI DQWHQQDLQ FRPSDULVRQ ZLWK 6,62 7KLV WHFKQRORJ\ LV HIIHFWLYH ZKHQ WKH UHFHSWLRQ 615 LV KLJK 8SOLQN± &ROODERUDWLYH 60 &ROODERUDWLYH 60 LV WKH WHFKQRORJ\ WKDW GRXEOHV WKH IUHTXHQF\HI¿FLHQF\ LQ YLHZ RI WKH 63,& DV WZR 06V ZLWK HDFK LQGLYLGXDO DQWHQQD VHQG GDWDVLPXOWDQHRXVO\ E\ XVLQJ WKH VDPH FKDQQHO7KH 63,& SURYLGHV WKH DGDSWLYH 0,02 VZLWFKLQJ IXQFWLRQ ZKLFK G\QDPLFDOO\VHOHFWV WKH 60 RU 67& PHWKRG IRU WKH GRZQOLQN 0,02 IXQFWLRQ 7KH 63,& SHUIRUPVVZLWFKLQJ EDVHG RQ D YDOXH FDOFXODWHG E\ UHÀHFWLQJ WKH &DUULHU WR ,QWHUIHUHQFH DQG 1RLVH5DWLR &,15 DQG WUDQVPLVVLRQ VXFFHVV UDWH VHQW E\ DQ 0675 ZLWK &''7KH 63,& SURYLGHV WKH 75 ZLWK &'' IRU ZKLFK WKH IUHTXHQF\ GLYHUVLW\ LV DSSOLHGWR WKH GRZQOLQN E\ SURYLGLQJ WKH 7[5[ 5) SDWK 7KH EHQH¿W RI 75 ZLWK &'' LV 6$0681* (OHFWURQLFV &R /WG &+$37(5  2YHUYLHZ RI 6\VWHPWKDW WKH &'' IXQFWLRQ LV DGGHG WR WKH 0,02 IXQFWLRQ ,W LV GLYLGHG LQWR WKH IROORZLQJWZR PRGHV DFFRUGLQJ WR WKH 0,02 PRGH 0DWUL[ $ 67&  &'' 0DWUL[ % 60  &''7KH 63,& G\QDPLFDOO\ VZLWFKHV WR WKH WZR 75 ZLWK &'' PRGHV JLYHQ DERYHGHSHQGLQJ RQ WKH &,15 DQG WUDQVPLVVLRQ VXFFHVV UDWH UHSRUWHG E\ DQ 06 $W WKLV WLPH WKH&ROODERUDWLYH 60 &60 LV DSSOLHG WR WKH XSOLQN)LJXUH  75 ZLWK &'' 0DWUL[ $  &'' PRGH)LJXUH  75 ZLWK &'' 0DWUL[ %  &'' PRGH &DOO 3URFHVVLQJ )XQFWLRQ&HOO ,QLWLDOL]DWLRQ )XQFWLRQ7KH 63,& DQQRXQFHV WKH 0$& 0DQDJHPHQW PHVVDJH VXFK DV'&'8&'02%B1%5B$'9 WR WKH FHOO DUHD LQ VHUYLFH SHULRGLFDOO\ WR HQDEOHWKH 06 UHFHLYLQJ WKH PHVVDJH WR FDUU\ RXW WKH DSSURSULDWH FDOO SURFHVVLQJ IXQFWLRQ ࿢6$0681* (OHFWURQLFV &R /WG
0RELOH :L0$; 5$6 63,& 6\VWHP 'HVFULSWLRQ(G&DOO &RQWURO DQG :LUHOHVV 5HVRXUFH $OORFDWLRQ )XQFWLRQ7KH 63,& HQDEOHV DQ 06 WR HQWHU WR RU H[LW IURP WKH QHWZRUN :KHQ DQ 06 HQWHUV WR RUH[LW IURP WKH QHWZRUN WKH 63,& WUDQVPLWVUHFHLYHV WKH VLJQDOLQJ PHVVDJH UHTXLUHG IRUFDOO SURFHVVLQJ YLD 5 LQWHUIDFH ZLWK WKH 06 RU 5 LQWHUIDFH ZLWK $&57KH 63,& DOORFDWHV YDULRXV PDQDJHPHQWWUDQVSRUW &RQQHFWLRQ ,GHQWL¿HU &,' UHTXLUHGIRU WKH QHWZRUN HQWU\ DQG VHUYLFH WR DQ 06 :KHQ WKH 06 H[LW IURP WKH QHWZRUN WKH63,& FROOHFWV DQG UHOHDVH WKH DOORFDWHG &,'+DQGRYHU7KH 63,& FDUULHV RXW WKH VLJQDOLQJ DQG EHDUHU SURFHVVLQJ IRU LQWHUVHFWRU +2+DQGRYHU LQWHU$&5 +2 DQG LQWHUFDUULHU +2 $W WKLV WLPH $&5 UHOD\V WKH KDQGRYHUPHVVDJH EHWZHHQ VHUYLQJ 5$6 DQG WDUJHW 5$6 WKURXJK WKH 5 LQWHUIDFH7R PLQLPL]H WKH WUDI¿F GLVFRQQHFWLRQ LQ LQWHU5$6 +2 WKH 63,& SHUIRUPV WKH GDWDVZLWFKLQJ IXQFWLRQ ,Q KDQGRYHU WKH 63,& HQDEOHV WKH VHUYLQJ 5$6 WR VZLWFK WKH XVHUGDWD LQ TXHXLQJ WR WKH WDUJHW 5$6 DQG WKHUHIRUH WKH 06 WR UHFRYHU WKH WUDI¿F ZLWKRXW ORVV+DQGRYHU 3URFHGXUH)RU WKH GHWDLOHG KDQGRYHU SURFHGXUH UHIHU WR ¶+DQGRYHU¶6XSSRUW RI 6OHHS 0RGH6OHHS 0RGH LV WKH PRGH GH¿QHG WR VDYH WKH 06 SRZHU XQGHU ,(((  VWDQGDUG DQGLQGLFDWHV WKH VWDWXV WKDW DLU UHVRXUFHV DOORFDWHG WR DQ 06 DUH UHOHDVHG ZKHQ WKH 06 GRHV QRWQHHG WUDI¿F UHFHSWLRQWUDQVPLVVLRQ WHPSRUDULO\ ,I WKH 06 LQ 6OHHS 0RGH QHHGV WKH WUDI¿FUHFHSWLRQWUDQVPLVVLRQ WKH 06 UHWXUQV WR WKH QRUPDO VWDWXV LPPHGLDWHO\%RWK ,GOH 0RGH DQG 6OHHS 0RGH DUH PRGHV WR VDYH WKH 06 SRZHU 7KH ,GOH 0RGH UHOHDVHDOO VHUYLFH ÀRZV DOORFDWHG WR DQ 06 ZKLOH WKH 6OHHS 0RGH UHOHDVHV RQO\ WKH DLU UHVRXUFHVEHWZHHQ WKH 06 DQG 5$6 WHPSRUDULO\ FRQWLQXRXVO\ NHHSLQJ WKH VHUYLFH ÀRZ LQIRUPDWLRQDOORFDWHG WR WKH 067KH 63,& FDUULHV RXW WKH UHODWHG FDOO SURFHVVLQJ IXQFWLRQ E\ UHFHLYLQJVHQGLQJ WKHVLJQDOLQJ PHVVDJH UHTXLUHG IRU WKH VWDWXV WUDQVLWLRQ LQWR 6OHHS 0RGH RI 06 DQG WKH UHWXUQIURP WKH 6OHHS 0RGH WR $ZDNH 0RGH RI 06$GPLVVLRQ &RQWURO $& )XQFWLRQ,I WKH 63,& UHFHLYHV WKH FDOO VHWXS UHTXHVW VXFK DV QHWZRUN HQWU\ 4XLFN &RQQHFWLRQ6HWXS 4&6 DQG KDQGRYHU IURP DQ 06 LW PRQLWRUV WKH WUDI¿F DQG VLJQDOLQJ ORDG IRUHDFK VXEFHOO DQG WKH QXPEHU RI XVHU LQ $FWLYH6OHHS 0RGH DQG SHUIRUPV WKH $& IXQFWLRQWR SUHYHQW WKH V\VWHP RYHUORDG$& FDQ EH URXJKO\ GLYLGHG LQWR $& E\ 06 DQG $& E\ VHUYLFH ÀRZ$&E\06,I WKH QXPEHU RI XVHUV ZKR WKH VXEFHOO LV LQ $FWLYH6OHHS 0RGH H[FHHGV WKH WKUHVKROGZKHQ WKH 63,& UHFHLYHV WKH FDOO VHWXS UHTXHVW IURP DQ 06 LW UHMHFWV WKH FDOO VHWXSUHTXHVW RI WKH 06 $& E\ VHUYLFH ÀRZ 6$0681* (OHFWURQLFV &R /WG &+$37(5  2YHUYLHZ RI 6\VWHP:KHQ VHUYLFH ÀRZ LV DGGHG WKH 63,& FKHFNV LI WKH DLU UHVRXUFHV RI WKH UHTXHVWHGVXEFHOO H[FHHG WKH WKUHVKROG DQG GHWHUPLQHV WKH FUHDWLRQ RI WKH VHUYLFH0$& $54 )XQFWLRQ7KH 63,& FDUULHV RXW WKH $54 IXQFWLRQ RI WKH 0$& OD\HU ,Q SDFNHW GDWD H[FKDQJHWKH WUDQVPLVVLRQ VLGH WUDQVPLWV $54 EORFN ZKLFK 6'8 LV GLYLGHG LQWR DQG UHWUDQVPLWV WKHSDFNHW DFFRUGLQJ WR WKH $54 IHHGEDFN LQIRUPDWLRQ UHFHLYHG IURP WKH UHFHSWLRQ VLGH WRUDLVH WKH UHOLDELOLW\ RI GDWD FRPPXQLFDWLRQ7KH 63,& FDUULHV RXW WKH IROORZLQJ IXQFWLRQ IRU WKH VHUYLFH ÀRZV DSSO\LQJ $54 0$& 0DQDJHPHQW FUHDWLRQ DQG WUDQVPLVVLRQ FRQFHUQHG ZLWK $54 RSHUDWLRQ )HHGEDFN SURFHVVLQJ GHSHQGLQJ RQ $54 W\SHV %ORFN SURFHVVLQJ IUDJPHQWDWLRQUHDVVHPEOHUHWUDQVPLVVLRQ GHSHQGLQJ RQ $54 W\SHV $54 WLPHUZLQGRZ PDQDJHPHQW4R6 6XSSRUW )XQFWLRQ7KH SDFNHW WUDI¿F H[FKDQJHG EHWZHHQ $&5 DQG 63,& LV GHOLYHUHG WR WKH PRGHP LQ WKH63,& $W WKLV WLPH WKH 63,& DOORFDWHV WKH TXHXH LQ WKH PRGHP WR HDFK VHUYLFH ÀRZWKDW 4R6 W\SH LV VSHFL¿HG WR REVHUYH WKH 4R6 FRQVWUDLQW JLYHQ IRU HDFK 4R6 FODVV RU VHUYLFHÀRZ DQG SHUIRUPV WKH VWULFWSULRULW\ VFKHGXOLQJ DFFRUGLQJ WR WKH SULRULW\7KH PRGHP WKDW UHFHLYHV WKH SDFNHW WUDI¿F SHUIRUPV WKH VFKHGXOLQJ E\ XVLQJ WKHXSOLQNGRZQOLQN DOJRULWKP VXFK DV 3URSRUWLRQDO )DLU 3) RU 5RXQG 5RELQ 55DQG WUDQVPLWV WKH VFKHGXOHG DOORFDWLRQ LQIRUPDWLRQ WR DQ 06 WKURXJK '/8/ 0$37KH 06 UHFHLYLQJ WKH '/8/ 0$3 FKHFNV WKH DLU UHVRXUFHV DOORFDWHG WR WKH 06 DQGPRGXODWHVGHPRGXODWHV WKH GRZQOLQN SDFNHW RU WUDQVPLWV WKH XSOLQN SDFNHW IURP WKHDOORFDWHG XSOLQN DUHD6LQFH WKH 63,& SURYLGHV WKH 4R6 PRQLWRULQJ IXQFWLRQ LW FDQ FRPSLOH VWDWLVWLFV RQSDFNHWV XQVDWLVI\LQJ WKH ODWHQF\ UHTXHVWHG IURP WKH 4R6 SDUDPHWHU DFFRUGLQJ WR 7''IUDPHV DQG UHSRUW WKH VWDWLVWLFV WR DQ RSHUDWRU YLD WKH 2$0 LQWHUIDFH ,3 DQG %DFNKDXO 2SHUDWLQJ )XQFWLRQV,3 4R6 )XQFWLRQ,W VXSSRUWV FODVV 'LII6HUY DQG VXSSRUWV WKH PDSSLQJ EHWZHHQ WKH 'LII6HUY VHUYLFH FODVVDQG WKH VHUYLFH FODVV RI WKH XVHU WUDI¿F UHFHLYHG IURP DQ 06 ,Q DGGLWLRQ WKH 63,&VXSSRUWV WKH PDSSLQJ EHWZHHQ 'LIIHUHQWLDWHG 6HUYLFHV &RGH 3RLQW '6&3 DQG (WKHUQHW 0$& VHUYLFH FODVV,3 5RXWLQJ )XQFWLRQ6LQFH WKH 63,& SURYLGHV VHYHUDO (WKHUQHW LQWHUIDFHV LW VWRUHV WKH URXWLQJ WDEOH ZLWK WKHLQIRUPDWLRQ RQ WKH (WKHUQHW LQWHUIDFH WR URXWH ,3 SDFNHWV 7KH URXWLQJ WDEOH RI WKH 63,&LV FRQ¿JXUHG GHSHQGLQJ RQ RSHUDWRU¶V VHWWLQJ DQG WKH FRQ¿JXUDWLRQ DQG WKH VHWWLQJ RI WKHURXWLQJ WDEOH DUH VLPLODU WR WKH VWDQGDUG VHWWLQJ RI WKH URXWHU ࿢6$0681* (OHFWURQLFV &R /WG
0RELOH :L0$; 5$6 63,& 6\VWHP 'HVFULSWLRQ(G7KH 63,& VXSSRUWV WKH VWDWLF URXWLQJ FRQ¿JXUDWLRQ RQO\ DQG QRW WKH URXWHU IXQFWLRQ IRUWKH WUDI¿F UHFHLYHG IURP WKH RXWVLGH :KHQ WKH 63,& FRQQHFWV DQ DX[LOLDU\ GHYLFH LWVXSSRUWV WKH ,3 SDFNHW URXWLQJ IXQFWLRQ IRU WKH DX[LOLDU\ GHYLFH E\ XVLQJ 1HWZRUN $GGUHVV7UDQVODWLRQ 1$7(WKHUQHW9/$1 ,QWHUIDFH )XQFWLRQ7KH 63,& SURYLGHV WKH (WKHUQHW LQWHUIDFH DQG VXSSRUWV WKH VWDWLF OLQN JURXSLQJ IXQFWLRQ9LUWXDO /RFDO $UHD 1HWZRUN 9/$1 IXQFWLRQ DQG (WKHUQHW &R6 IXQFWLRQ XQGHU ,(((DG IRU WKH (WKHUQHW LQWHUIDFH $W WKLV WLPH WKH 0$& EULGJH IXQFWLRQ GH¿QHG LQ ,(((' LV H[FOXGHG7KH 63,& HQDEOHV VHYHUDO 9/$1 ,'V WR EH VHW LQ RQH (WKHUQHW LQWHUIDFH DQG PDSV WKH'6&3 YDOXH RI ,3 KHDGHU ZLWK WKH &R6 YDOXH RI (WKHUQHW KHDGHU LQ 7[ SDFNHW WR VXSSRUW(WKHUQHW &R6 0DLQWHQDQFH )XQFWLRQ7KH 63,& LQWHUZRUNLQJ ZLWK WKH PDQDJHPHQW V\VWHP FDUULHV RXW WKH IROORZLQJPDLQWHQDQFH IXQFWLRQV V\VWHP LQLWLDOL]DWLRQ DQG UHVWDUW PDQDJHPHQW IRU V\VWHPFRQ¿JXUDWLRQ PDQDJHPHQW IRU WKH RSHUDWLRQ SDUDPHWHUV IDLOXUH DQG VWDWXV PDQDJHPHQWIRU V\VWHP UHVRXUFHV DQG VHUYLFHV VWDWLVWLFV PDQDJHPHQW IRU V\VWHP UHVRXUFHV DQG YDULRXVSHUIRUPDQFH GDWD GLDJQRVLV PDQDJHPHQW IRU V\VWHP UHVRXUFHV DQG VHUYLFHV DQG VHFXULW\PDQDJHPHQW IRU V\VWHP DFFHVV DQG RSHUDWLRQ*UDSKLF DQG 7H[WEDVHG &RQVROH ,QWHUIDFH:60 PDQDJHV WKH HQWLUH 0RELOH :L0$; V\VWHP E\ XVLQJ 'DWDEDVH 0DQDJHPHQW 6\VWHP'%06 DQG 63,& LQWHUZRUNV ZLWK WKLV :60 ,Q DGGLWLRQ $&5 LQWHUZRUNV ZLWK WKHFRQVROH WHUPLQDO IRU GLUHFWO\ DFFHVVLQJ WKH 1( DV ZHOO DV :60 E\ RSHUDWRU WR SHUIRUPWKH RSHUDWLRQ DQG PDLQWHQDQFH IXQFWLRQ)RU RSHUDWRU¶V FRQYHQLHQFH DQG ZRUNLQJ SXUSRVH WKH RSHUDWRU FDQ VHOHFW JUDSKLFEDVHGFRQVROH LQWHUIDFH :HEEDVHG (OHPHQW 0DLQWHQDQFH 7HUPLQDO :HE(07 RU WH[WEDVHGFRQVROH LQWHUIDFH ,QWHJUDWHG 0DQDJHPHQW ,QWHUIDFH 6KHOO ,0,6+7KH RSHUDWRU FDQ DFFHVV WKH FRQVROH LQWHUIDFH ZLWK QR VHSDUDWH VRIWZDUH DQG ORJ LQ WR:HE(07 WKURXJK ,QWHUQHW ([SORUH DQG ,0,6+ WKURXJK 6HFXUH 6KHOO 66+ RQ WKHFRPPDQG ZLQGRZ7KH RSHUDWRU FDQ FDUU\ RXW WKH UHWULHYDO DQG VHWXS RI WKH FRQ¿JXUDWLRQ DQG WKH RSHUDWLRQLQIRUPDWLRQ DQG PRQLWRULQJ DERXW IDXOWV VWDWXV DQG VWDWLVWLFV YLD FRQVROH WHUPLQDO+RZHYHU WKH RSHUDWRU FDQ FDUU\ RXW JURZGHJURZ RI UHVRXUFHV DQG VHWWLQJ RI WKH QHLJKERUOLVW DQG SDJLQJ JURXS ZKLFK KDYH FRUUHODWLRQ EHWZHHQ VHYHUDO 1(V RQO\ YLD WKH :602SHUDWRU $XWKHQWLFDWLRQ )XQFWLRQ7KH 63,& SURYLGHV WKH DXWKHQWLFDWLRQ DQG WKH SHUPLVVLRQ PDQDJHPHQW IXQFWLRQV IRU WKHRSHUDWRU ZKR PDQDJHV WKH 0RELOH :L0$; V\VWHP 7KH RSHUDWRU DFFHVVHV WKH 63,& E\XVLQJ WKH RSHUDWRU¶V ,' DQG SDVVZRUG YLD :HE(07 RU ,0,6+ DQG WKH 63,& DVVLJQVWKH RSHUDWLRQ ULJKW LQ DFFRUGDQFH ZLWK WKH RSHUDWRU¶V OHYHO 6$0681* (OHFWURQLFV &R /WG &+$37(5  2YHUYLHZ RI 6\VWHP7KH 63,& FDUULHV RXW WKH ORJJLQJ IXQFWLRQ IRU VXFFHVVIXO DFFHVV DFFHVV IDLOXUH DQGORJLQ KLVWRU\0DLQWHQDQFH )XQFWLRQ ZLWK (QKDQFHG 6HFXULW\ )XQFWLRQ)RU WKH VHFXULW\ WKH 63,& VXSSRUWV 6LPSOH 1HWZRUN 0DQDJHPHQW 3URWRFRO YHUVLRQ F6103YF 6LPSOH 1HWZRUN 0DQDJHPHQW 3URWRFRO YHUVLRQ  6103Y DQG )LOH 7UDQVIHU3URWRFRO )73 LQ WKH FRPPXQLFDWLRQ ZLWK :60 DQG +\SHU 7H[W 7UDQVIHU 3URWRFRO RYHU66/ +773V DQG 6HFXUH 6KHOO 66+ LQ WKH FRPPXQLFDWLRQ ZLWK FRQVROH WHUPLQDOV2QOLQH 6RIWZDUH 8SJUDGH:KHQ D VRIWZDUH SDFNDJH LV XSJUDGHG WKH 63,& FDQ XSJUDGH WKH SDFNDJH ZKLOH UXQQLQJROG YHUVLRQ RI VRIWZDUH SDFNDJH 7KH SDFNDJH XSJUDGH LV SURJUHVVHG LQ WKH IROORZLQJSURFHGXUH µ$GG 1HZ 3DFNDJH ĺ &KDQJH WR 1HZ SDFNDJH ĺ 'HOHWH 2OG 3DFNDJH¶,Q SDFNDJH XSJUDGH WKH VHUYLFH LV VWRSSHG WHPSRUDULO\ EHFDXVH WKH ROG SURFHVV LV WHUPLQDWHGDQG WKH QHZ SURFHVV LV VWDUWHG LQ WKH µ&KDQJH WR 1HZ SDFNDJH¶ VWDJH+RZHYHU VLQFH 26 LV QRW UHVWDUWHG WKH VHUYLFH ZLOO EH SURYLGHG DJDLQ ZLWKLQ D IHZ PLQXWHV$IWHU XSJUDGLQJ VRIWZDUH WKH 63,& XSGDWHV WKH SDFNDJH VWRUHG LQ D QRQYRODWLOH VWRUDJH,Q DGGLWLRQ WKH 63,& FDQ UHSHUIRUP WKH µ&KDQJH WR 1HZ SDFNDJH¶ VWDJH WR UROO EDFNLQWR WKH SUHYLRXV SDFNDJH EHIRUH XSJUDGH&DOO 7UDFH )XQFWLRQ7KH 63,& VXSSRUWV WKH FDOO WUDFH IXQFWLRQ IRU D VSHFL¿F 06 7KH 63,& FDQ FDUU\ RXWWKH FDOO WUDFH IXQFWLRQ XS WR  06V ,I D FDOO RFFXUV LQ WKH 06 WKDW DQ RSHUDWRU SUHYLRXVO\VSHFL¿HG YLD $&5 WKH VLJQDOLQJ PHVVDJH DQG VWDWLVWLFDO WUDI¿F GDWD DUH WUDQVPLWWHG WR :60%HVLGHV WKH 63,& DOVR VHQGV WKH 5) HQYLURQPHQW LQIRUPDWLRQ VXFK DV &,15 IRU 060RGXODWLRQ DQG &RGLQJ 6FKHPHV 0&6 OHYHO DQG %XUVW (UURU 5DWH %(5'HWDLOHG ,QIRUPDWLRQ IRU (DFK 6HVVLRQ DQG 6HUYLFH )ORZ 360536)057KH 0RELOH :L0$; V\VWHP RI 6DPVXQJ FROOHFWV DQG VWRUHV GHWDLOHG LQIRUPDWLRQ RI DOOVHVVLRQV 3HU 6HVVLRQ 0HDVXUHPHQW 5HFRUG 3605 DQG GHWDLOHG LQIRUPDWLRQ RI DOO VHUYLFHÀRZV 3HU 6HUYLFH )ORZ 0HDVXUHPHQW 5HFRUG 36)05 WR SURYLGH LW WR DQ H[WHUQDO ORJVHUYHU :KHQ D VHVVLRQ RU VHUYLFH ÀRZ LV FUHDWHG WKH 0RELOH :L0$; V\VWHP VWDUWV WRFROOHFW UHOHYDQW LQIRUPDWLRQ DQG ZKHQ WKH VHVVLRQ RU VHUYLFH ÀRZ WHUPLQDWHV WKH V\VWHPFUHDWHV DQG VWRUHV D PHVVDJH LQ D ¿OH VR WKDW WKH H[WHUQDO ORJ VHUYHU FDQ FROOHFW WKH PHVVDJH7KH LQIRUPDWLRQ FROOHFWHG E\ WKH $&5 LQFOXGHV VHVVLRQ WHUPLQDWLRQ WLPH LQLWLDO DQG ¿QDOKDQGRYHU LQIRUPDWLRQ KDQGRYHU W\SHV FHOO LQIRUPDWLRQ DQG WKH 0$& DGGUHVV DQG,3 DGGUHVV DOORFDWHG WR WKH 06 7KH 63,& FROOHFWV VXFK LQIRUPDWLRQ DV 06 0$&DGGUHVVHV FRQWLQXHG VHVVLRQ WLPH FRQWLQXHG VHUYLFH ÀRZ WLPH WXUQDURXQG WLPH IRU QHWZRUNHQWU\ &,' 6),' LQLWLDO DQG ¿QDO ZLUHOHVV TXDOLW\ LQIRUPDWLRQ 566, &,15 7[ SRZHUDQG WKURXJKSXW LQIRUPDWLRQ7KH $&5 GHOLYHU WKH LQIRUPDWLRQ FROOHFWHG E\ $&5 WR WKH 63,& DQG WKH 63,&FUHDWHV DQG VWRUHV D ¿OH IRU HDFK SHULRG ࿢6$0681* (OHFWURQLFV &R /WG
0RELOH :L0$; 5$6 63,& 6\VWHP 'HVFULSWLRQ(G7KUHVKROG &URVV $OHUW 7&$ &RQWURO7KH 63,& GH¿QHV XQGHURYHU WKUHVKROG IRU VWDWLVWLFV :KHQ D VWDWLVWLFDO YDOXH FROOHFWHGDW %XFNHW ,QWHUYDO   DQG  PLQXWHV LV ORZHU WKDQ WKH XQGHU WKUHVKROG LW JHQHUDWHV DQXQGHU 7&$ DODUP :KHQ WKH YDOXH LV KLJKHU WKDQ WKH RYHU WKUHVKROG LW JHQHUDWHV DQ RYHU7&$ DODUP 7KH DODUPV DUH UHSRUWHG WR WKH :60 7&$ FDQ HQDEOH RU GLVDEOH GHWDLOV RI HDFKVWDWLVWLFDO JURXS DQG VHW D WKUHVKROG SHU VHYHULW\,((( DK7KH 63,& SURYLGHV ,((( DK (WKHUQHW 2$0 IRU D EDFNKDXO LQWHUIDFH $OWKRXJK,((( DK 2$0 SHUWDLQV WKH 3+< OD\HU LW LV ORFDWHG LQ WKH 0$& OD\HU VR WKDW LW FDQ EHDSSOLHG WR DOO ,(((  3+<V ,W FUHDWHV RU SURFHVVHV DK 2$0 IUDPHV DFFRUGLQJ WRWKH IXQFWLRQV GH¿QHG LQ WKH VSHFL¿FDWLRQ(WKHUQHW 2$0 FRQWLQXRXVO\ PRQLWRUV WKH FRQQHFWLRQ EHWZHHQ OLQNV DW HDFK HQG DQG DOVRPRQLWRUV GLVFRYHU\ UHPRWH ORRSEDFN DQG HUURU SDFNHWV ZKLFK GHOLYHU LPSRUWDQW OLQN HYHQWVVXFK DV '\LQJ *DVS ,W DOVR LQFOXGHV D OLQN PRQLWRULQJ IXQFWLRQ ZKLFK GHOLYHUV HYHQWQRWL¿FDWLRQ LQ WKH HYHQW RI WKUHVKROG HUURUV DQG D YDULDEOH UHWULHYDO IXQFWLRQ IRU DKVWDQGDUG 0,%7KH 63,& VXSSRUWV DK (WKHUQHW 2$0 SDVVLYH PRGH VXFK DV UHVSRQGLQJ WR DK2$0 ZKLFK LV WULJJHUHG LQ H[WHUQDO DFWLYH PRGH HQWLWLHV DQG ORRSEDFN PRGH RSHUDWLRQ DQGVHQGLQJ HYHQW QRWL¿FDWLRQ,QWHJULW\ &KHFN7KH 63,& SURDFWLYHO\ FKHFNV ZKHWKHU V\VWHP FRQ¿JXUDWLRQ RU RSHUDWLRQ LQIRUPDWLRQ3/' LV LQ FRPSOLDQFH ZLWK RSHUDWRU FRPPDQGV GXULQJ V\VWHP ORDGLQJ RU RSHUDWLRQ DQGDOVR FKHFNV ZKHWKHU V\VWHP VHWWLQJV DUH 2. DQG WKHUH LV QR SUREOHP ZLWK FDOO SURFHVVLQJ ,IWKH UHVXOW LV QRW 2. LW VHQGV DQ DODUP WR WKH RSHUDWRU 7KDW LV LW FKHFNV ZKHWKHU V\VWHPFRQ¿JXUDWLRQ PHHWV WKH PLQLPXP FRQ¿JXUDWLRQ FRQGLWLRQV IRU FDOO SURFHVVLQJ RU ZKHWKHU DOORSHUDWLRQ LQIRUPDWLRQ FRQVLVWV RI YDOLG YDOXHV ZLWKLQ DQ DSSURSULDWH UDQJH 7KH UHVXOW LVUHSRUWHG WR WKH RSHUDWRU WR KHOS ZLWK FRUUHFWLRQ RI HUURUV2$0 7UDI¿F 7KURWWOLQJ7KH 63,& SURYLGHV D IXQFWLRQ WKDW VXSSUHVVHV 2$0 UHODWHG WUDI¿F ZKLFK FDQ RFFXU LQWKH V\VWHP GHSHQGLQJ RQ WKH RSHUDWRU FRPPDQG 7KH 2$0 UHODWHG WUDI¿F LQFOXGHV IDXOW WUDSPHVVDJHV IRU DODUP UHSRUWV DQG VWDWLVWLFV ¿OHV WKDW DUH FUHDWHG SHULRGLFDOO\,Q D IDXOW WUDS WKH RSHUDWRU FDQ XVH DQ DODUP LQKLELWLRQ FRPPDQG WR VXSSUHVV DODUPJHQHUDWLRQ IRU DOO RU VRPH RI V\VWHP IDXOW WUDSV 7KLV KHOSV FRQWURO DODUP WUDI¿F,Q D VWDWLVWLFV ¿OH WKH RSHUDWRU FDQ XVH FRPPDQGV IRU VWDWLVWLFV FROOHFWLRQ FRQ¿JXUDWLRQ WRFRQWURO WKH VL]H RI VWDWLVWLFV ¿OH E\ GLVDEOLQJ FROOHFWLRQ IXQFWLRQV RI HDFK VWDWLVWLFV JURXS7KURXJKSXW 7HVW 7KH 63,& SURYLGHV D WKURXJKSXW WHVW IRU WKH EDFNKDXO WR WKH $&5 7KH 63,&VXSSRUWV D VHUYHU DQG FOLHQW IXQFWLRQ IRU WKURXJKSXW WHVWV7KH RSHUDWRU FDQ VHW XS WDUJHW ,3 DGGUHVVHV WHVW GXUDWLRQ DQG EDQGZLGWKV IRU WKURXJKSXWWHVWV DQG FKHFN WKURXJKSXW DQG ORVV DV WHVW UHVXOWV +RZHYHU DV WKH WKURXJKSXW WHVW DIIHFWV 6$0681* (OHFWURQLFV &R /WG &+$37(5  2YHUYLHZ RI 6\VWHPV\VWHP SHUIRUPDQFH DQG FDOO VHUYLFHV LW LV UHFRPPHQGHG QRW WR SHUIRUP WKH WHVW GXULQJLQVHUYLFH6\VWHP /RJ &RQWURO7KH 63,& SURYLGHV D ORJ DQG ORJ FRQWURO IXQFWLRQ SHU DSSOLFDWLRQ$Q DSSOLFDWLRQ ORJ FDQ EH FUHDWHG E\ DQ RSHUDWRU FRPPDQG RU LWV GHEXJ OHYHO FDQ EH VHW 7KHRSHUDWRU FDQ XVXDOO\ NHHS WKH ORJ IXQFWLRQ GLVDEOHG DQG ZKHQ WKH ORJ IXQFWLRQ LV QHFHVVDU\KH FDQ FKDQJH WKH GHEXJ OHYHO 9HU\ &DOP &DOP 1RUPDO 'HWDLO 9HU\ 'HWDLO WR HQDEOHORJJLQJ DQG ORJ VDYH IXQFWLRQV+RZHYHU HQDEOLQJ ORJ IXQFWLRQV IRU PDQ\ DSSOLFDWLRQV ZKLOH WKH 63,& LV UXQQLQJPD\ DIIHFW WKH V\VWHP SHUIRUPDQFH'LVDEOLQJ =HUR &RGH 6XSSUHVVLRQ =&67KH 63,& FROOHFWV VWDWLVWLFV GDWD DQG JHQHUDWHV VWDWLVWLFV ¿OHV SHULRGLFDOO\7KH :60 FROOHFWV WKHVH VWDWLVWLFV ¿OHV $ VWDWLVWLFV ¿OH LV FRPSRVHG RI WKH KHDGHU XVHG WRLQGLFDWH D VWDWLVWLFV JURXS DQG LWV GHWDLOHG LQGH[ IRU H[DPSOH D VSHFL¿F FDUULHU VHFWRU &38SRUW HWF DQG WKH VWDWLVWLFV GDWD IRU WKDW LQGH[,Q D VWDWLVWLFV SHULRG WKH VWDWLVWLFV GDWD IRU D VSHFL¿F LQGH[ FDQ EHFRPH ]HUR LQ D VWDWLVWLFV¿OH LQ WKH IROORZLQJ FDVHV :KHQ WKH LQGH[ GRHV QRW DFWXDOO\ H[LVW LQ WKH FRQ¿JXUDWLRQ :KHQ WKH LQGH[ H[LVWV LQ WKH FRQ¿JXUDWLRQ EXW LWV VWDWLVWLFV GDWD FROOHFWHG GXULQJ WKDWSHULRG LV ]HUR7KHUHIRUH WKH 'LVDEOLQJ =&6 IXQFWLRQ ZKLFK VHWV WKH ]HUR GDWD ÀDJ LQ WKH VXE LQGH[ KHDGHULV SURYLGHG WR UHFRJQL]H WKH WZR FDVHV VHSDUDWHO\ ࿢6$0681* (OHFWURQLFV &R /WG
0RELOH :L0$; 5$6 63,& 6\VWHP 'HVFULSWLRQ(G 6SHFL¿FDWLRQV&DSDFLW\7KH FDSDFLW\ RI WKH 63,& LV DV IROORZV&DWHJRU\ 6\VWHP &DSDFLW\&KDQQHO %DQGZLGWK  0+])UHTXHQF\ a 0+]0D[LPXP 1XPEHU RI &DUULHUV6HFWRUV  &DUULHU2PQL%DFNKDXO ,QWHUIDFH %DVH7  SRUW))7 VL]H 0XOWLSOH $QWHQQD ± [ 0,02± 75 ZLWK &''0DWUL[ $%  &''2XWSXW P:SDWK± :KHQ RSHUDWLQJ 7 SDWK 7RWDO P:± :KHQ RSHUDWLQJ 7 SDWK 7RWDO P:,QSXW 3RZHU7KH WDEOH EHORZ OLVWV WKH SRZHU VWDQGDUG IRU WKH 63,& 7KH 63,& VDWLV¿HV WKH8/ HOHFWULFDO VDIHW\ UHTXLUHPHQWV&DWHJRU\ 6WDQGDUG6\VWHP ,QSXW 9ROWDJH ± ([WHUQDO $&'& $GDSWHU a9± 3R(8QLW 6L]H DQG :HLJKW 7KH WDEOH EHORZ OLVWV WKH VL]H DQG ZHLJKW RI WKH 63,&&DWHJRU\ 6WDQGDUG6L]HPP : î ' î + $ERXW /:HLJKWNJ  RU OHVV(QYLURQPHQWDO &RQGLWLRQ7KH WDEOH EHORZ OLVWV WKH HQYLURQPHQWDO FRQGLWLRQV DQG UHODWHG VWDQGDUGV VXFK DV RSHUDWLRQDOWHPSHUDWXUH DQG KXPLGLW\&DWHJRU\ 5DQJH7HPSHUDWXUH &RQGLWLRQD a&a)+XPLGLW\ &RQGLWLRQ D a EXW QRW WR H[FHHG  NJ ZDWHUNJ RI GU\ DLU$OWLWXGH ±a Pa IW 6$0681* (OHFWURQLFV &R /WG &+$37(5  2YHUYLHZ RI 6\VWHP&DWHJRU\ 5DQJH9LEUDWLRQ *5&25( 6HF(DUWKTXDNH2I¿FH 9LEUDWLRQ7UDQVSRUWDWLRQ 9LEUDWLRQ6RXQG 3UHVVXUH /HYHO  G%$ RU OHVV RQ WKH SRVLWLRQ ZKHUH LV  P DZD\ IURP WKH VXUIDFHRI V\VWHPIURQWUHDUOHIWULJKW DQG LQ WKH KHLJKW RI P RQ WKHERWWRP(0, )&& 7LWOH 3DUW  &ODVV %*5&25( 6HF  (PLVVLRQ &ULWHULDD 7KH VWDQGDUGV RI WHPSHUDWXUHKXPLGLW\ FRQGLWLRQV DUH EDVHG RQ WKH YDOXH RQ WKH SRVLWLRQ ZKHUH LV PP  LQ DZD\ IURP WKH IURQW RI WKH V\VWHP DQG LQ WKH KHLJKW RI  P  LQ RQ WKH ERWWRP*365 6SHFL¿FDWLRQ7KH WDEOH EHORZ OLVWV WKH FKDUDFWHULVWLFV RI WKH *36 5HFHLYHU *365 WKDW LV XVHG ZKHQ WKH63,& UHFHLYHV WKH V\QFKURQL]DWLRQ VLJQDOV GLUHFWO\ IURP D *36&DWHJRU\ 'HVFULSWLRQ2XWSXW IURP *365 336 72' 0+])UHTXHQF\ $FFXUDF\   SSP7LPH $FFXUDF\   ȝV5) 6SHFL¿FDWLRQ7KH WDEOH EHORZ OLVWV WKH 5) FKDUDFWHULVWLFV RI WKH 63,&&DWHJRU\ 'HVFULSWLRQ7RWDO 7[ 2XWSXW 3RZHU ± :KHQ RSHUDWLQJ 7 P: #DYJ SRZHU± :KHQ RSHUDWLQJ 7 P: #DYJ SRZHU7[ &RQVWHOODWLRQ HUURU ,Q DFFRUGDQFH ZLWK WKH H VWDQGDUG5; 6HQVLWLYLW\ ,Q DFFRUGDQFH ZLWK WKH H VWDQGDUG ࿢6$0681* (OHFWURQLFV &R /WG
0RELOH :L0$; 5$6 63,& 6\VWHP 'HVFULSWLRQ(G ,QWHUIDFH EHWZHHQ 6\VWHPV,QWHUIDFH 6WUXFWXUH7KH 63,& LQWHUIDFHV ZLWK DQRWKHU 5$6 DQG $&5 DV VKRZQ LQ WKH ¿JXUH EHORZ)LJXUH  6WUXFWXUH RI 63,& ,QWHUIDFH ,QWHUIDFH EHWZHHQ 63,& DQG 067KH 63,& LQWHUIDFHV ZLWK DQ 06 DFFRUGLQJ WR WKH ,(((  UDGLR DFFHVV VWDQGDUGWR H[FKDQJH WKH FRQWURO VLJQDO DQG WKH VXEVFULEHU WUDI¿F ,QWHUIDFH EHWZHHQ 63,& DQG *07KH 63,& DQG *0 LQWHUIDFH XVLQJ WKH ,(((  SURWRFRO 373 DQG LWV SK\VLFDOFRQQHFWLRQ PHWKRG LV )( 7KH V\VWHP¶V V\QFKURQL]DWLRQUHODWHG GDWD DQG FRQWURO VLJQDOVDUH VHQWUHFHLYHG WKURXJK WKH LQWHUIDFH EHWZHHQ WKH 63,& DQG *0 ,QWHUIDFH EHWZHHQ 63,& DQG $&57KH LQWHUIDFH EHWZHHQ DQ $&5 DQG WKH 63,& LQ WKH VDPH $61 LV 5 DQG LWV SK\VLFDODFFHVV PHWKRG LV *()( 7KH 5 LV WKH LQWHUIDFH EHWZHHQ $&5 DQG 5$6 GH¿QHG LQ0RELOH :L0$; 1:* DQG LV FRPSRVHG RI VLJQDOLQJ SODQH ,38'35 DQG EHDUHUSODQH ,3*5( ,QWHUIDFH EHWZHHQ 63,& DQG :607KH LQWHUIDFH EHWZHHQ WKH 63,& DQG WKH :60 FRPSOLHV ZLWK 6103YF RU6103YF6103YF RI ,(7) VWDQGDUG )736)73 DQG SURSULHWDU\ VWDQGDUG RI 6DPVXQJDQG LWV SK\VLFDO DFFHVV PHWKRG LV *()( 6$0681* (OHFWURQLFV &R /WG &+$37(5  2YHUYLHZ RI 6\VWHP3URWRFRO 6WDFN 3URWRFRO 6WDFN EHWZHHQ 1(V7KH ¿JXUH EHORZ VKRZV WKH SURWRFRO VWDFN EHWZHHQ 1(V)LJXUH  3URWRFRO 6WDFN EHWZHHQ 1(V7KH 63,& LQWHUZRUNV ZLWK 06V YLD 5 LQWHUIDFH DFFRUGLQJ WR ,(((  VWDQGDUGDQG WKH LQWHUIDFH EHWZHHQ WKH 63,& DQG $&5 LV 5 LQWHUIDFH7KH 5 VLJQDOLQJ LQWHUIDFH LV H[HFXWHG RQ 8'3,3 DQG WKH 5 WUDI¿F LQWHUIDFH XVHV WKH*5( WXQQHO 3URWRFRO 6WDFN IRU 2SHUDWLRQ DQG 0DLQWHQDQFH)LJXUH  3URWRFRO 6WDFN EHWZHHQ 63,& DQG :607KH $&5 LQWHUZRUNV ZLWK :60 LQ ,38'3EDVHG 6103 PHWKRG WR FDUU\ RXW WKHRSHUDWLRQ DQG PDLQWHQDQFH IXQFWLRQV ,Q SDUWLFXODU WKH 63,& LQWHUZRUNV ZLWK :60LQ ,37&3EDVHG )736)73 )73 RYHU 66+ PHWKRG WR FROOHFW WKH VWDWLVWLFDO GDWDSHULRGLFDOO\ LQLWLDOL]H  UHVWDUW WKH V\VWHP DQG GRZQORDG VRIWZDUH ࿢6$0681* (OHFWURQLFV &R /WG
0RELOH :L0$; 5$6 63,& 6\VWHP 'HVFULSWLRQFKDSWHU 61 6\VWHP 6WUXFWXUH +DUGZDUH 6WUXFWXUH7KH 63,& KDV D KLJKO\ LQWHJUDWHG DUFKLWHFWXUH RSWLPL]HG IRU WKH &DUULHU2PQL FDSDFLW\DQG KDV ORZ SRZHU FRQVXPSWLRQ DQG D VPDOO IRRWSULQW E\ DGDSWLQJ 6R& DQG 5),&7KH 63,& LV FRQ¿JXUHG DV IROORZV DQG LW FDQ EH LQVWDOOHG RQ D ZDOO RU FHLOLQJ)LJXUH  63,& 6\VWHP &RQ¿JXUDWLRQ 6$0681* (OHFWURQLFV &R /WG &+$37(5  6\VWHP 6WUXFWXUH%HORZ DUH WKH LQWHUQDO FRQ¿JXUDWLRQ GLDJUDPV RI WKH 63,&)LJXUH  63,& ,QWHUQDO &RQ¿JXUDWLRQ /)$'LJLWDO %ORFN 5) %ORFN85$6 /LJKW 6HULHV  )RXUSDWK PDLQ ERDUG $VVHPEO\ /)$ LV WKH ERDUG KHUH WKH GLJLWDOEORFN DQG 5) EORFN RI WKH 63,& DUH LQWHJUDWHG 7KH /)$ LQWHUIDFHV ZLWK WKH UHOHYDQWQHWZRUNV FRQWUROV WKH V\VWHP SURFHVVHV GLJLWDO EDVHEDQG DQG 5) VLJQDOV DQG FDUULHV RXWWKH 5) VLJQDO VHQGLQJUHFHLYLQJ IXQFWLRQ%RDUG4XDQWLW\($ )XQFWLRQ'LJLWDO %ORFN )XQFWLRQV± 6\VWHP¶V PDLQ SURFHVVRU FRQWURO EHDUHU DQG 20± 3URFHVVHV 2)'0$ FKDQQHOV± 6XSSRUWV [ 0,02 RU VHOHFWLYHO\ VXSSRUWV 75 ZLWK &''± 3URYLGHV %DVH7  SRUW IRU %DFNKDXO LQWHUIDFH± 6XSSRUWV ,(((  RU *36± 3URYLGHV RQH SRUW IRU GHEXJJLQJ +'0,± 3URYLGHV /(' %DFNKDXO $ODUP DQG &38± 3' 3R( IXQFWLRQ/)$ 5) EORFN IXQFWLRQ± 3HUIRUPV WKH WUDQVFHLYHU XSFRQYHUWLQJGRZQFRQYHUWLQJ IUHTXHQF\'$&$'& IXQFWLRQV± 5) 8S'RZQ FRQYHUVLRQ IXQFWLRQ ࿢6$0681* (OHFWURQLFV &R /WG
0RELOH :L0$; 5$6 63,& 6\VWHP 'HVFULSWLRQ(G%RDUG4XDQWLW\($ )XQFWLRQ± 5) VLJQDO DPSOL¿FDWLRQ± 7'' VZLWFK IXQFWLRQ &ODVVLI\LQJ VHQGLQJUHFHLYLQJ VLJQDOV DQG ¿OWHULQJRXWRIEDQG VLJQDOV± $PSOL¿HV ORZ OHYHO QRLVH IURP WKH UHFHLYHG 5) VLJQDOV)URP D IXQFWLRQDO VWDQGSRLQW /)$ FRQVLVWV RI WKH IROORZLQJ1HWZRUN ,QWHUIDFH 3DUW7KH QHWZRUN LQWHUIDFH SDUW SHUIRUPV WKH $&5 PDWFKLQJ YLD %$6(7 FRSSHU SRUW LQ)DVW (WKHUQHW PHWKRG ,Q DGGLWLRQ WKH 63,& FDQ VHQGUHFHLYH V\QFKURQL]DWLRQUHODWHGLQIRUPDWLRQ ZLWK WKH *0 YLD WKH QHWZRUN LQWHUIDFH SDUW&RQWURO 3DUW7KH FRQWURO SDUW LV HTXLSSHG ZLWK WKH PDLQ SURFHVVRU DQG SHUIRUPV WKH WRSOHYHO RSHUDWLRQVLQ WKH 63,& V\VWHP 7KH PDLQ SURFHVVRU RI WKH 63,& VHWV XS D FRPPXQLFDWLRQ SDWKEHWZHHQ WKH 06 DQG $&5 DQG FDUULHV RXW WKH HWKHUQHW VZLWFK IXQFWLRQ ZLWKLQ WKH V\VWHP DQGWKH V\VWHP RSHUDWLRQ DQG PDLQWHQDQFH IXQFWLRQV7KH FRQWURO SDUW GRZQORDGV WKH VRIWZDUH LQ WKH V\VWHP PDQDJHV WKH VWDWXV RI DOOKDUGZDUHVRIWZDUH DQG UHSRUWV LW WR WKH :60 YLD WKH $&5 ,Q DGGLWLRQ WKH &RQWURO3DUW DVVLJQV WKH WUXQN OLQHV DQG FKDQQHO UHVRXUFHV ZLWKLQ WKH V\VWHP DQG SHUIRUPV FDOOSURFHVVLQJ V\VWHP RSHUDWLRQ DQG PDLQWHQDQFH DQG 7'' VLJQDO FRQWURO6LJQDO 3URFHVVLQJ 3DUW7KH VLJQDO SURFHVVLQJ SDUW LV HTXLSSHG ZLWK WKH PRGHP WKDW VXSSRUWV WKH ,((( H0RELOH :L0$; VWDQGDUG SK\VLFDO OD\HU 3+< 7KLV PRGHP SURFHVVHV 2)'0$ VLJQDOVXQGHU FRQWURO RI WKH FRQWURO SDUW7KDW LV WKH VLJQDO SURFHVVLQJ SDUW PRGXODWHV WKH SDFNHW GDWD UHFHLYHG IURP WKH $&5 DQGVHQGV WKHP WR WKH 5) SURFHVVLQJ SDUW LQ WKH IRUPDW RI GLJLWDO EDVHEDQG ,4 VLJQDOV ,Q WKHRWKHU GLUHFWLRQ WKH VLJQDO SURFHVVLQJ SDUW FDUULHV RXW WKH $XWRPDWLF *DLQ &RQWURO $*&IXQFWLRQ RQ WKH GDWD UHFHLYHG IURP WKH 5) SURFHVVLQJ SDUW WKHQ GHPRGXODWHV WKH GDWDFRQYHUWV WKHP WR WKH IRUPDW GH¿QHG LQ WKH VSHFL¿FDWLRQV RI WKH ,((( H 0RELOH:L0$; VWDQGDUG SK\VLFDO OD\HU DQG VHQGV WR WKH $&5 YLD WKH HWKHUQHW LQWHUIDFH7KH VLJQDO SURFHVVLQJ SDUW FDQ VHOHFWLYHO\ VXSSRUW 75 &'' RU 7[5[ 6067&0,02RI &DUULHU2PQL $QG WKH SDUW RSHUDWHV LQ 0,02 RU 6,02 PRGH RQFH WZR RU PRUH 5)SDWK IDLOXUHV KDYH RFFXUUHG LQ 75 ZLWK &'' PRGH*36 5HFHSWLRQ DQG &ORFN 'LVWULEXWLRQ 3DUW,Q /)$ D 85$6 /LJKW VHULHV &ORFN %RDUG 8/&% LV PRXQWHG WR GLUHFWO\ UHFHLYH *36VLJQDOV 2U D  6ODYH XQLW >7RS 6ODYH FORFN ZLWKRXW 7&;2 0H]]DQLQH ERDUG DVVHPEO\7670 RU *36 6ODYH &ORFN 0H]]DQLQH ERDUG DVVHPEO\ *6&0@ FDQ EH PRXQWHGWR UHFHLYH WKH  SDFNHWV WUDQVIHUUHG WKURXJK WKH *0 7KH 8/&% RU  VODYH XQLW 6$0681* (OHFWURQLFV &R /WG &+$37(5  6\VWHP 6WUXFWXUHJHQHUDWHV UHIHUHQFH FORFNV E\ XVLQJ UHFHLYHG VLJQDOV WR HQDEOH WKH RSHUDWLRQ RI HDFK EORFNRI WKH 63,& LQ D V\QFKURQL]HG FORFN VWUXFWXUH WKHQ GLVWULEXWHV WKHP WR HDFK EORFN RIWKH /)$ 7KHVH FORFNV DUH XVHG WR PDLQWDLQ LQWHUQDO V\QFKURQL]DWLRQ LQ WKH 63,&DQG WR RSHUDWH WKH V\VWHP5) 3URFHVVLQJ 3DUW7KH 5) SURFHVVLQJ SDUW RI WKH /)$ FRQVLVWV RI WUDQVFHLYHU SRZHU DPSOL¿HU 3$ 7''VZLWFK DQG ¿OWHU 7KH 5) SURFHVVLQJ SDUW FDQ VXSSRUW  FDUULHU WKDW KDV D  0+] FKDQQHOEDQGZLGWK DQG 5) SDWK RI 7[5[ RU 7[5[ WKDW VXSSRUWV 75 ZLWK &'' RU 0,02 'RZQOLQN 7[ 6LJQDO 3URFHVVLQJ7KH 5) SURFHVVLQJ SDUW RI WKH /)$ UHVWULFWV WKH EDVHEDQG ,4 VLJQDOV UHFHLYHG IURP WKHVLJQDO SURFHVVLQJ SDUW LQ EDQGZLGWK E\ ¿OWHULQJ WKHP XVLQJ WKH GLJLWDO ¿OWHU DQG FRQYHUWVWKHP LQWR DQDORJ VLJQDOV WKURXJK 'LJLWDO WR $QDORJ &RQYHUVLRQ '$& 7KHVH FRQYHUWHGDQDORJ VLJQDOV DUH XSFRQYHUWHG LQWR WKH 5) EDQGZLGWK VLJQDOV DQG WKHQ VHQW WR WKH 3$7KHVH VLJQDOV DUH KLJKSRZHU DPSOL¿HG WKURXJK 3$ DQG WKHQ VHQW WR WKH ¿OWHU 7KH ¿OWHUVXSSUHVVHV VSXULRXV UDGLDWLRQ H[FHSW WKH 5) VLJQDOV ZLWKLQ WKH 5) VLJQDO EDQGZLGWK DQGWKHQ VHQGV WKRVH 5) VLJQDOV WKURXJK WKH DQWHQQD$W WKLV WLPH WKH VWUHQJWK RI WKH 5) VLJQDOV VHQW SHU 7[ SDWK LV  P: DW WKH 5) RXWSXWSRUW 8SOLQN 5[ 6LJQDO 3URFHVVLQJ)RU WKH 5) VLJQDOV UHFHLYHG WKURXJK WKH DQWHQQD WKH ¿OWHU VXSSUHVVHV VSXULRXV UDGLDWLRQH[FHSW WKH 5) VLJQDOV ZLWKLQ WKH 5) VLJQDO EDQGZLGWK 7KHQ WKH VLJQDOV WKDW KDYH SDVVHGWKURXJK WKH ¿OWHU DUH ORZ QRLVH DPSOL¿HG E\ WKH /RZ 1RLVH $PSOL¿HU /1$ DQG WKHQIUHTXHQF\ GRZQFRQYHUWHG LQWR DQDORJ VLJQDOV 7KHVH FRQYHUWHG DQDORJ VLJQDOV DUHFRQYHUWHG LQWR GLJLWDO EDVHEDQG VLJQDOV WKURXJK DQDORJ WR GLJLWDO FRQYHUVLRQ $'& DQGWKHQ VHQW WR WKH VLJQDO SURFHVVLQJ SDUW RI WKH /)$ YLD WKH ¿OWHU ࿢6$0681* (OHFWURQLFV &R /WG
0RELOH :L0$; 5$6 63,& 6\VWHP 'HVFULSWLRQ(G)LJXUH  5) 3URFHVVLQJ 3DUW RI /)$ 3RZHU 6WUXFWXUH3R( DQG H[WHUQDO $&'& DGDSWHU LV WKH H[WHUQDO SRZHU VXSSO\LQJ GHYLFH RI WKH 63,&:KHQ XVLQJ WKH 3R( WKH 63,& SHUIRUPV WKH '&'& FRQYHUVLRQ IRU WKH LQSXW SRZHUIURP DQ H[WHUQDO 3RZHU 6RXUFLQJ (TXLSPHQW 36( LQWR  9'& WKHQ VXSSOLHV WKH SRZHUWR WKH /)$ :KHQ XVLQJ WKH H[WHUQDO $&'& DGDSWHU WKH 63,& VXSSOLHV 9'& WRWKH /)$ GLUHFWO\/)$ SHUIRUPV WKH '&'& FRQYHUVLRQ IRU 9'& LQWR WKH SRZHU XVHG LQ WKH V\VWHP)LJXUH  3RZHU 6WUXFWXUH RI 63,& 6$0681* (OHFWURQLFV &R /WG &+$37(5  6\VWHP 6WUXFWXUH ([WHUQDO ,QWHUIDFH 6WUXFWXUH7KH H[WHUQDO LQWHUIDFHV RI WKH 63,& DUH VKRZQ EHORZ)LJXUH  ([WHUQDO ,QWHUIDFH 6WUXFWXUH RI 63,&&DWHJRU\ ,QWHUIDFH1XPEHURI 3RUWV &RQQHFWRU 'HVFULSWLRQ$QWHQQD,QWHUIDFH$QDORJ 5)  60$ &RQQHFWHG WR WKH 5) DQWHQQD*36$QWHQQD$QDORJ 5)  60$ &RQQHFWHG WR WKH *36 DQWHQQD WRUHFHLYH *36 VLJQDOV%DFNKDXO %$6(7  5- ± &RQQHFWHG WR WKH $&5± ,(((  3DFNHW± 3RZHU LV VXSSOLHG WR WKH V\VWHPWKURXJK DQ H[WHUQDO 36( '& 9&RQVROH&UDIW 7''6LJQDO5HIHUHQFH&ORFN%$6(7  +'0, ± &RQQHFWRU IRU GHEXJJLQJ± 7'' VLJQDO &RQQHFWHG WR DQH[WHUQDO PHDVXULQJ LQVWUXPHQW WRSURYLGH UHIHUHQFH VLJQDOV GXULQJ5) RXWSXW WHVWLQJ± 5HIHUHQFH FORFN &RQQHFWHG WR DQH[WHUQDO PHDVXULQJ LQVWUXPHQW WRSURYLGH UHIHUHQFH FORFN GXULQJ 5)RXWSXW WHVWLQJ$& 3RZHU,QSXW$& a9  &RQQ+RXVLQJ&RQQHFWHG WR DQ H[WHUQDO SRZHUVRXUFH GLUHFWO\ WR VXSSO\ SRZHU WRWKH V\VWHP ࿢6$0681* (OHFWURQLFV &R /WG
0RELOH :L0$; 5$6 63,& 6\VWHP 'HVFULSWLRQ(G 6RIWZDUH 6WUXFWXUH 6RIWZDUH %DVLF 6WUXFWXUH7KH FRPSRQHQWV RI WKH V\VWHP VRIWZDUH DUH VKRZQ EHORZ 2SHUDWLQJ 6\VWHP 26 'HYLFH'ULYHU '' 0LGGOHZDUH 0: 1HWZRUN 3URFHVVRU 6RIWZDUH 136 ,3 5RXWLQJ 6RIWZDUH,356 DQG DSSOLFDWLRQ 7KH DSSOLFDWLRQ LV GLYLGHG E\ &DOO &RQWURO && EORFN IRU WKH FDOOSURFHVVLQJ DQG WKH 2$0 EORFN IRU RSHUDWLRQ DQG PDLQWHQDQFH RI WKH V\VWHP)LJXUH  6RIWZDUH 6WUXFWXUH RI 6\VWHP2SHUDWLQJ 6\VWHP 2626 LQLWLDOL]HV DQG FRQWUROV WKH KDUGZDUH GHYLFH DQG UXQV WKH VRIWZDUH RSHUDWLRQ LQ WKHKDUGZDUH 7R RSHUDWH WKH VRIWZDUH 26 XVHV WKH HPEHGGHG /LQX[ 26 DQG PDQDJHV WKH GXDOVRIWZDUH SURFHVVHV 7KHQ 26 SURYLGHV YDULRXV IXQFWLRQV HI¿FLHQWO\ ZLWK OLPLWHG UHVRXUFHV0LGGOHZDUH 0:0: KHOSV WKH VPRRWK RSHUDWLRQ EHWZHHQ 26 DQG DSSOLFDWLRQ XQGHU YDULRXV W\SHV RIKDUGZDUH HQYLURQPHQW DQG WR DFKLHYH WKLV 0: SURYLGHV YDULRXV VHUYLFHV PHVVDJHGHOLYHU\ VHUYLFH EHWZHHQ DSSOLFDWLRQV HYHQW QRWL¿FDWLRQ VHUYLFH GHEXJJLQJ XWLOLW\ VHUYLFHV,Q DGGLWLRQ WKH 0: SURYLGHV WKH V\VWHPDWLF DQG VWURQJ PDQDJHPHQW RI WKH DFFRXQW WKHDXWKRULW\ DQG WKH DXWKHQWLFDWLRQ IXQFWLRQ'HYLFH 'ULYHU '''' PDQDJHV WKH QRUPDO RSHUDWLRQ RI DSSOLFDWLRQV WKDW 26 GRHV QRW FRQWURO LQ WKH V\VWHP'' SURYLGHV WKH $3, IRU WKH XVHU SURFHVVRU WR VHWXSFRQWUROGHWHFW WKH KDUGZDUH GHYLFH$OVR '' FRQ¿UPV WKH GHYLFH FRQ¿JXUDWLRQ E\ UHFHLYLQJ WKH FRQ¿JXUDWLRQ GDWD IURP WKH 6$0681* (OHFWURQLFV &R /WG &+$37(5  6\VWHP 6WUXFWXUHXSSHU XVHU SURFHVVRU DQG DOVR SURYLGHV WKH IXQFWLRQV RI UHJLVWHU PDQLSXODWLRQ IRU GHYLFHRSHUDWLRQ GHYLFH GLDJQRVLV VWDWLVWLFV DQG VWDWXV PDQDJHPHQW1HWZRUN 3URFHVVRU 6RIWZDUH 136136 PDQDJHV WKH LQQDWH IXQFWLRQV RI 1HWZRUN 3URFHVVRU 13 WKDW PDLQO\ SURFHVVHV WKHSDFNHWV DQG LW FRQQHFWV WKH XSSHU SURFHVVRU DQG 13 LQ %RDUG 3URFHVVRU %3 DQG SURYLGHVWKH IXQFWLRQV RI 13 PHVVDJH SURFHVVLQJ 13 VWDWLVWLFV GDWD FROOHFWLRQ DQG UHSRUW,3 5RXWLQJ 6RIWZDUH ,356,356 H[HFXWHV WKH ,3 URXWLQJ SURWRFRO IXQFWLRQ ,356 FROOHFWV DQG PDQDJHV WKH V\VWHPFRQ¿JXUDWLRQ DQG VWDWXV GDWD QHFHVVDU\ IRU ,3 URXWLQJ RSHUDWLRQ DQG EDVHG RQ WKH GDWD LWJHQHUDWHV WKH URXWLQJ WDEOH YLD WKH URXWLQJ SURWRFRO DQG PDNHV SDFNHW IRUZDUGLQJ SRVVLEOH&DOO &RQWURO &&&& LV D VRIWZDUH VXEV\VWHP WKDW SURFHVVHV WKH FDOOV LQ WKH V\VWHP DQG && LQWHUIDFHV ZLWK 06DQG $&5 && VXSSRUWV GDWD H[FKDQJH IXQFWLRQ WR VXSSRUW ZLUHOHVV GDWD VHUYLFH VXFK DV WKH0$& VFKHGXOLQJ DLU OLQN FRQWURO $54 SURFHVVLQJ DQG ,(((  PHVVDJH SURFHVVLQJ2SHUDWLRQ $QG 0DLQWHQDQFH 2$07KH 2$0 SURYLGHV WKH LQWHUIDFH 6103YF6103Y )736)73 +773V 66+ RIZKLFK WKH VHFXULW\ LV VWUHQJWKHQHG DQG ZKLFK LV VWDQGDUGL]HG WR LQWHUZRUN ZLWK WKH XSSHUPDQDJHPHQW V\VWHP VXFK DV WKH :60 WKH :HE(07 DQG FRQVROH WHUPLQDO EDVHG RQ WKH,0,6+,Q DGGLWLRQ WKLV SHUIRUPV WKH IXQFWLRQV RI LQLWLDOL]LQJ DQG UHVWDUWLQJ WKH V\VWHP FROOHFWLQJWKH VWDWLVWLFV IRU SURFHVVLQJ WKH FDOO DQG YDULRXV SHUIRUPDQFH GDWD PDQDJLQJ WKH V\VWHPFRQ¿JXUDWLRQ DQG UHVRXUFHV PDQDJLQJ WKH VWDWXV RI WKH VRIWZDUH UHVRXUFHV DQG WKH KDUGZDUHUHVRXUFHV PDQDJLQJ WKH IDLOXUH DQG SHUIRUPLQJ WKH GLDJQRVWLFV IRU WKH RSHUDWLRQ DQG WKHPDQDJHPHQW RI WKH V\VWHP && %ORFN7KH &DOO &RQWURO && EORFN FDULHV RXW WKH UHVRXUFH PDQDJHPHQW IXQFWLRQ RI WKH V\VWHPDQG WKH %6 IXQFWLRQ RI $61 3UR¿OH& GH¿QHG LQ 1:* RI 0RELOH :L0$; IRUXP 7KH &&EORFN FRQVLVWV RI 5$6 5HVRXUFH &RQWUROOHU 55& 5$6 6HUYLFH &RQWUROOHU 56& DQG 5$67UDI¿F &RQWUROOHU 57& VXEEORFNV DQG WKH IXQFWLRQV RI HDFK VXEEORFN DUH DV IROORZ ࿢6$0681* (OHFWURQLFV &R /WG
0RELOH :L0$; 5$6 63,& 6\VWHP 'HVFULSWLRQ(G)LJXUH  && %ORFN 6WUXFWXUH55& DV WKH UHVRXUFH PDQDJHU RI WKH V\VWHP H[FKDQJHV WKH VWDWXV LQIRUPDWLRQ ZLWK DOO EORFNVDQG DVVLJQV DSSURSULDWH VRIWZDUH UHVRXUFHV WR D VHUYLFH ZKHQ LW UHFHLYHV WKH QHFHVVDU\VHUYLFH UHTXHVW IURP 5$6$&556& SURFHVVHV WKH 0$& VLJQDOLQJ YLD 5 LQWHUIDFH DQG LQWHUZRUNV ZLWK $&5 YLD 5LQWHUIDFH 56& SHUIRUPV WKH &DOO $GPLVVLRQ &RQWURO &$& LQ WKH VHUYLFH FUHDWLRQ SURFHVVDQG UHTXHVWV WKH WUDI¿F FKDQQHO VHWXS WR 57& ,Q DGGLWLRQ 56& WUDQVIHUV WKH LQIRUPDWLRQ RQWKH LQWHUQDO FRQWURO PHVVDJH WR WKH PRGHP EORFN LQ WKH V\VWHP57& IUDJPHQWV WKH XVHU GDWD UHFHLYHG IURP $&5 YLD WKH 5 LQWHUIDFH LQ 0$& 3'8 IRUPDWDQG WUDQVIHUV WKH GDWD WR WKH PRGHP EORFN RU UHDVVHPEOHV WKH 0$& 3'8 UHFHLYHG IURP DQ06 YLD WKH 5 LQWHUIDFH DQG WUDQVPLWV WR $&5 ,Q DGGLWLRQ WKH 57& LQWHUZRUNV ZLWK WKH56& EORFN FRQWUROOLQJ WKH 5$6 VLJQDO DQG SHUIRUPV WKH FDOO VHWXSUHOHDVH SURFHGXUH55&5$6 5HVRXUFH &RQWUROOHU 55& LV LQ FKDUJH RI WKH UHVRXUFH PDQDJHPHQW RI WKH V\VWHP7KH 55& LQWHUIDFHV ZLWK $&5 RXWVLGH WKH V\VWHP DQG WKH 56& DQG 2$0 EORFNV LQVLGHWKH V\VWHP0DLQ IXQFWLRQV RI 55& DUH DV IROORZV $&5 .HHS $OLYH 56& .HHS $OLYH ,QWHU &DUULHU /RDG %DODQFLQJ 3DJLQJ 0HVVDJH 7UDQVPLVVLRQ 6\VWHP 5HVRXUFH 0DQDJHPHQW56&7KH 5$6 6HUYLFH &RQWUROOHU 56& LV LQ FKDUJH RI WKH VLJQDOLQJFRQFHQWUDWHG VHUYLFH LQWKH V\VWHP $V IRU WKH V\VWHP RXWVLGH WKH 56& SHUIRUPV WKH PHVVDJH H[FKDQJH ZLWK $&5YLD WKH 0RELOH :L0$; VWDQGDUG 5 LQWHUIDFH $V IRU WKH V\VWHP LQVLGH 56& LQWHUZRUNVZLWK WKH 57& WKDW LV LQ FKDUJH RI WUDI¿F GDWD DQG WUDQVPLWV WKH LQIRUPDWLRQ RQ WKH LQWHUQDOFRQWURO PHVVDJH WR WKH PRGHP EORFN7KH 56& SHUIRUPV WKH 0$& PHVVDJH H[FKDQJH GHVFULEHG LQ ,(((  ZLWK DQ 06 DQGFDUULHV RXW WKH FDOO VHWXS SURFHGXUH E\ LQWHUZRUNLQJ ZLWK WKH 55& YLD WKH V\VWHP LQWHUQDOPHVVDJH 6$0681* (OHFWURQLFV &R /WG &+$37(5  6\VWHP 6WUXFWXUH0DLQ IXQFWLRQV RI 56& DUH DV IROORZV &,' &UHDWLRQ DQG 5HOHDVH 0$& 0DQDJHPHQW 0HVVDJH 3URFHVVLQJ 5 ,QWHUIDFH 0HVVDJH 3URFHVVLQJ +DQGRYHU SURFHVVLQJ 6OHHS 0RGH 6XSSRUW IRU 3RZHU 5HGXFWLRQ &ROOHFWLRQ RI 9DULRXV 6WDWLVWLFV 3DJLQJ 5HOD\ )XQFWLRQ IRU 0657&7KH 5$6 7UDI¿F &RQWUROOHU 57& LV WKH EORFN WR SURFHVV WKH WUDI¿F RI WKH V\VWHP7KH 57& LV WKH EORFN SHUWDLQLQJ WR WKH EHDUHU SODQH DQG LV ORFDWHG DV WKH NHUQHO PRGXOHIRUPDW RI WKH FRUUHVSRQGLQJ &38 7KH 57& SHUIRUPV WKH 5 LQWHUIDFH XQGHU ,((( VWDQGDUG DQG HQDEOHV WR WKH PRGHP EORFN WR SHUIRUP WKH 5 LQWHUIDFH QRUPDOO\7KH 57& IUDJPHQWV WKH XVHU GDWD UHFHLYHG IURP $&5 YLD WKH 5 LQWHUIDFH LQ 0$& 3'8IRUPDW DQG WUDQVIHUV WKH GDWD WR WKH PRGHP EORFN RU UHDVVHPEOHV WKH 0$& 3'8 UHFHLYHGIURP DQ 06 YLD WKH 5 LQWHUIDFH DQG WUDQVPLWV WR $&5,Q DGGLWLRQ WKH 57& LQWHUZRUNV ZLWK WKH 57& EORFN FRQWUROOLQJ WKH 5$6 VLJQDO DQGSHUIRUPV WKH FDOO VHWXSUHOHDVH SURFHGXUH 7KH 57& FRPPXQLFDWHV ZLWK WKH PRGHP EORFNYLD WKH 3&, LQWHUIDFH0DLQ IXQFWLRQV RI 57& DUH DV IROORZV $54 IXQFWLRQ 5HFHLYHV WKH $54 IHHGEDFN PHVVDJH IURP DQ 06 DQG SURFHVVHV WKHPHVVDJH $QDO\]HV DQG SURFHVVHV WKH 56& FRQWURO PHVVDJH DQG SHUIRUPV WKH TXHXH PDQDJHPHQW 3HUIRUPV WKH WUDI¿F LQWHUIDFH ZLWK WKH PRGHP EORFN 3HUIRUPV WKH VFKHGXOLQJ IXQFWLRQ IRU HDFK 4R6 FODVV 'DWD 7UDI¿F 3URFHVVLQJ )XQFWLRQ57& SURYLGHV WKH GDWD SDWK EHWZHHQ $&5 DQG WKH V\VWHP YLD WKH 5 GDWD SDWK *5(WXQQHO 7UDI¿F &RQWURO )XQFWLRQ IRU +DQGRYHU,Q KDQGRYHU 57& SHUIRUPV WKH GDWD V\QFKURQL]DWLRQ IXQFWLRQ EHWZHHQ VHUYLQJ 5$6$&5DQG WDUJHW 5$6$&5 2$0 %ORFN2SHUDWLRQ $QG 0DLQWHQDQFH 2$0 EORFN PDQDJHV WKH RSHUDWLRQ DQG PDLQWHQDQFH RI WKHV\VWHP DQG LW LV GLYLGHG DV WKH WKUHH VKRZQ EHORZ (06 ,QWHUIDFH (0, DQG 0DLQ 2$0 ࿢6$0681* (OHFWURQLFV &R /WG
0RELOH :L0$; 5$6 63,& 6\VWHP 'HVFULSWLRQ(G)LJXUH  2$0 6RIWZDUH 6WUXFWXUH(0, DQG 0DLQ 2$0 DUH LPSOHPHQWHG RQ WKH /)$7KH (0, FDUULHV RXW 6103 DJHQW DQG ZHE VHUYHU IXQFWLRQ DQG SURYLGHV WKH 2$0 LQWHUIDFHEHWZHHQ WKH PDQDJHPHQW V\VWHP :60 :HE(07 DQG &/, 7HUPLQDO DQG WKH V\VWHP E\SURYLGLQJ WKH ,0,6+ 7KHQ WR DFFHVV WKH V\VWHP GLUHFWO\ YLD WKH :HE(07 RU WKH FRQVROHWHUPLQDO WKH SURFHVV RI WKH RSHUDWRU DXWKHQWLFDWLRQ DQG WKH DXWKRULW\ DOORZDQFH YLD WKH:HE(07 RU 3OXJJDEOH $XWKHQWLFDWLRQ 0RGXOH 3$0 EORFN VKRXOG EH GRQH7KH 0DLQ 2$0 FRPPXQLFDWHV ZLWK WKH XSSHU PDQDJHPHQW V\VWHP E\ LQWHUZRUNLQJZLWK WKH (0, EORFN DQG GLVWULEXWHV WKH 3URJUDPPDEOH /RDGLQJ 'DWD 3/' WR WKH ORZHUSURFHVVRUV E\ PDQDJLQJ WKH V\VWHP FRQ¿JXUDWLRQ DV WKH IRUPDW RI WKH 3/' ,Q DGGLWLRQ WKH0DLQ 2$0 SHUIRUPV WKH UROH RI WKH ,PDJH 6HUYHU ,6 DQG WKH 5HJLVWUDWLRQ 6HUYHU 56FROOHFWV DQG VDYHV WKH VWDWLVWLFV GDWD DQG WKH IDLOXUH LQIRUPDWLRQ DQG UHSRUWV WKHP WR WKHXSSHU PDQDJHPHQW V\VWHP)XQFWLRQDO GHWDLOV RI HDFK EORFN DUH DV IROORZV6103'6103 'DHPRQ 6103' SOD\V WKH 6103 DJHQW UROH WR VXSSRUW WKH VWDQGDUG 61036103YF6103Y DQG DQ LQWHUIDFH UROH IRU WKH XSSHU PDQDJHPHQW V\VWHP :60 DQGLQWHUZRUNV ZLWK LQWHUQDO VXEDJHQW :KLOH UHFHLYLQJ UHTXHVWV RQ WKH VWDQGDUG 0,% REMHFWIURP :60 DUH SURFHVVHG E\ 6103' LWVHOI LW WUDQVPLWV UHTXHVWV RQ WKH SULYDWH 0,% REMHFWWR VXEDJHQW LQ RUGHU WR EH KDQGOHG SURSHUO\0DLQ )XQFWLRQV DUH DV IROORZV 6WDQGDUG 0,% SURFHVVLQJ,I WKH UHTXHVW IRU WKH 0,%,, REMHFW LV UHFHLYHG WKH 6103' SURFHVVHV LW GLUHFWO\ DQGWUDQVPLWV WKH UHVSRQVH 3ULYDWH 0,% SURFHVVLQJ,I WKH UHTXHVW IRU WKH 3ULYDWH 0,% REMHFW LV UHFHLYHG LW LV QRW SURFHVVHG GLUHFWO\ E\WKH 6103' EXW LW LV WUDQVPLWWHG WR WKH FRUUHVSRQGLQJ LQWHUQDO VXEDJHQW DQG WKHQ WKHUHVSRQVH LV WUDQVPLWWHG IURP WKH VXEDJHQW DQG LW LV WUDQVPLWWHG WR WKH PDQDJHU2$*6&RPPRQ 6103 $JHQW 6XEDJHQW 2$*6 SOD\V WKH 6103 VXEDJHQW UROH WR VXSSRUW WKHVWDQGDUG 6103 6103YF6103Y 6$0681* (OHFWURQLFV &R /WG &+$37(5  6\VWHP 6WUXFWXUH$OVR WKURXJK PDVWHU DJHQW 6103' 2$*6 SOD\V DQ LQWHUIDFH UROH IRU WKH XSSHUPDQDJHPHQW V\VWHP IRU WKH FRPPDQG LQTXLU\ DQG FKDQJH RI $&5 WR EH RSHUDWHG WKURXJKWKH JHWJHWQH[WJHWEXONVHWWUDS FRPPDQG GH¿QHG E\ 61030DLQ )XQFWLRQV DUH DV IROORZV 3URYLGLQJ SULYDWH 0,%± 3URYLGH SULYDWH 0,% WR WKH PDQDJHPHQW V\VWHP± *HQHUDWH WKH PHVVDJH GDWD ¿OH QHFHVVDU\ IRU WKH LQWHUIDFH IXQFWLRQ EHWZHHQ 2$0EORFNV 6103 FRPPDQG SURFHVVLQJ3URFHVV WKH FRPPDQG UHFHLYHG IURP WKH PDQDJHPHQW V\VWHP DQG WUDQVPLW WKHFRUUHVSRQGLQJ UHVXOW YLD WKH 6103' 1RWL¿FDWLRQ IXQFWLRQ6HQG WKH 6103 WUDS WR PDVWHU DJHQW 6103' ZKHQHYHU WKHUH DUH QHHGV WR LQIRUP WKHFKDQJH RU WKH DODUP RI WKH V\VWHP GDWD WR WKH XSSHU PDQDJHPHQW V\VWHP:HE(077KH :HEEDVHG (OHPHQW 0DLQWHQDQFH 7HUPLQDO :HE(07 LV WKH EORFN WR LQWHUIDFH ZLWKWKH :HE FOLHQW RI WKH FRQVROH WHUPLQDO ZKLFK XVHV WKH :HE EURZVHU DQG SHUIRUPV WKH UROHRI WKH :HE VHUYHU %RWK :HE(07 DQG WKH V\VWHP VXSSRUW WKH +773 FRPPXQLFDWLRQVEDVHG RQ WKH 6HFXUH 6RFNHWV /D\HU 66/0DLQ )XQFWLRQV DUH DV IROORZV :HE VHUYHU IXQFWLRQ± +773 VHUYHU IRU WKH PDQDJHPHQW XVLQJ :HE(07± 5HFHLYH KWPO UHTXHVWV DQG GLVSOD\ +70/ SDJHV 2$0 EORFN LQWHUIDFH± 3URFHVV FRPPDQGV IURP :HE(07 LQWHURSHUDWLQJ ZLWK RWKHU 2$0 EORFNV± 8VHU PDQDJHPHQW&/,07KH &RPPDQG /LQH ,QWHUIDFH 0DQDJHPHQW &/,0 LV WKH EORFN WR LQWHUIDFH ZLWK WKH ,0,6+ZKHQ LW LV FRQQHFWHG WR WKH FRQVROH WHUPLQDO YLD WKH 6HFXUH 6KHOO 66+ PHWKRG 7KH &/,0SURFHVVHV WKH UHFHLYHG FRPPDQG YLD WKH ,0,6+ DQG GLVSOD\V WKH FRUUHVSRQGLQJ UHVXOW0DLQ )XQFWLRQV DUH DV IROORZV ,0,6+ FRPPDQG SURFHVVLQJ± 6HWXSFKDQJHLQTXLU\ RI LQWHUIDFH DQG URXWLQJ IXQFWLRQV± 6HWXSFKDQJHLQTXLU\ RI WKH V\VWHP RSHUDWLRQ  PDLQWHQDQFH3$07KH 3OXJJDEOH $XWKHQWLFDWLRQ 0RGXOH 3$0 UHFHLYHV WKH DFFRXQW DQG WKH SDVVZRUG RI WKHRSHUDWRU ZKR XVHV WKH FRQVROH WHUPLQDO ,0,6+ DQG :HE(07 ZKHQ ORJJLQJ LQ WKXV LWSHUIRUP WKH RSHUDWRU DXWKHQWLFDWLRQ DQG WKH SURFHVV RI DOORZLQJ WKH DXWKRULW\0DLQ )XQFWLRQV DUH DV IROORZV ࿢6$0681* (OHFWURQLFV &R /WG
0RELOH :L0$; 5$6 63,& 6\VWHP 'HVFULSWLRQ(G 2SHUDWRU¶V DFFRXQW PDQDJHPHQW DQG DXWKHQWLFDWLRQ7KH IXQFWLRQ RI PDQDJLQJ DQG DXWKHQWLFDWLQJ WKH DFFRXQW RI WKH RSHUDWRU ZKR XVHV WKHFRQVROH WHUPLQDO ,0,6+ DQG :HE(07 LV SHUIRUPHG 2SHUDWRU¶V DXWKRULW\ PDQDJHPHQW7KH IXQFWLRQ RI DOORZLQJ WKH DXWKRULW\ IRU DOO WKH FRPPDQGV ZKLFK WKH RSHUDWRU FDQSHUIRUP LV SHUIRUPHG 3DVVZRUG PDQDJHPHQW0DQDJHPHQW IXQFWLRQV VXFK DV FUHDWLQJ WKH RSHUDWRU¶V SDVVZRUG VDYLQJ DQG XSGDWLQJ WKHHQFU\SWLRQ DUH SHUIRUPHG8)08QLYHUVDO )DXOW 0DQDJHPHQW 8)0 PDQDJHV WKH $&5 IDXOWV DQG WKH VWDWXV RI VRIWZDUHDQG KDUGZDUH 8)0 LQIRUPV WKH GHWHFWHG IDLOXUHV WR WKH XSSHU PDQDJHPHQW V\VWHP E\WKH ¿OWHULQJ IXQFWLRQ DQG DSSOLHV WKH VHYHULW\ FKDQJHV DQG WKH WKUHVKROG WR WKH IDXOWPDQDJHPHQW V\VWHP ,Q SDUWLFXODU WKH 8)0 UHFHLYHV 7R' IURP D *OREDO 3RVLWLRQLQJ 6\VWHP*36 VLJQDO UHFHLYHU GLVWULEXWHV WKH UHFHLYHG 7R' WR && VRIWZDUH IRU FDOO SURFHVVLQJ DQGPDQDJHV IDXOWV FRQFHUQHG ZLWK WKH 7R'8)0 SURYLGHV WKH LQWHUIDFH ZLWK 'HYLFH 'ULYHU '' DQG VXSSRUWV VWDWLVWLFV DQG VWDWXVPDQDJHPHQW RI (WKHUQHW VZLWFK GHYLFHV0DLQ )XQFWLRQV DUH DV IROORZV )DLOXUH 0DQDJHPHQW± +DUGZDUH DQG VRIWZDUH IDLOXUH PDQDJHPHQW E\ LQWHUUXSW DQG SROOLQJ± :KHQ WKH IDLOXUH LV GHWHFWHG LW LV UHSRUWHG WR WKH PDQDJHPHQW V\VWHP DQG WKH UHODWHGEORFN 6WDWXV 0DQDJHPHQW± 6WDWXV PDQDJHPHQW IRU WKH FRPSRQHQWV± :KHQ WKH VWDWXV LQIRUPDWLRQ RI WKH UHVRXUFH LV FKDQJHG LW LV UHSRUWHG WR WKHPDQDJHPHQW V\VWHP DQG WKH UHODWHG EORFN )DLOXUH ¿OWHULQJ DQG LQKLELWLRQ± 7KH ¿OWHULQJ IXQFWLRQ LV DSSOLHG WR PDQ\ NLQGV RI WKH RFFXUUHG IDLOXUH DQG RQO\ WKHIDLOXUH RI WKH RULJLQDO UHDVRQ LV UHSRUWHG± )XQFWLRQ RI LQKLELWLQJ UHSRUWLQJ D VSHFL¿F NLQG RI IDLOXUH RU D VSHFL¿F V\VWHP DFFRUGLQJWR WKH RSHUDWRU¶V UHTXHVW ,QTXLULQJ DQG FKDQJLQJ WKH IDLOXUH FRQ¿JXUDWLRQ LQIRUPDWLRQ,QTXLULQJ DQG FKDQJLQJ WKH SDUDPHWHUV VXFK DV WKH IDLOXUH VHYHULW\ DQG WKH WKUHVKROGIRU WKH JHQHUDWLRQ )DLOXUH DXGLW$XGLWLQJ WKH IDLOXUH LV SHUIRUPHG ZKHQ LQLWLDOL]LQJ DQG UHVWDUWLQJ WKH V\VWHP DQG ZKHQ WKHRSHUDWRU UHTXHVWV WR PLQLPL]H WKH LQFRQVLVWHQF\ RI WKH IDLOXUH LQIRUPDWLRQ EHWZHHQ WKH$&5 DQG WKH XSSHU PDQDJHPHQW V\VWHP )DLOXUH KLVWRU\ LQIRUPDWLRQ PDQDJHPHQW DQG VDYH &DOO IDXOW UHSRUWLQJ 6$0681* (OHFWURQLFV &R /WG &+$37(5  6\VWHP 6WUXFWXUH,Q FDVH RI WKH FDOO IDXOW WKH UHODWHG LQIRUPDWLRQ FDOO VWDWXV HUURU FRGH 06 LQIRUPDWLRQHWF LV FROOHFWHG DQG UHSRUWHG WR WKH PDQDJHPHQW V\VWHP '' ,QWHUIDFH7KH LQWHUIDFH EHWZHHQ '' DQG DSSOLFDWLRQV LV SURYLGHG IRU VWDWLVWLFV DQG VWDWXVPDQDJHPHQW RI GHYLFHV/RDGHU/RDGHU PDQDJHV WKH HQWLUH SURFHVV IURP WKH VWDUW RI 26 WR WKH SUHYLRXV VWHS RI 8/0 UXQQLQJSUHORDGLQJ $IWHU WKDW LI 8/0 LV DFWXDWHG DIWHU WKH LQLWLDOL]DWLRQ VFULSW LV H[HFXWHG DQG WKHUHJLVWUDWLRQ DQG ORDGLQJ IXQFWLRQ LV SHUIRUPHG WKH ORDGHU PRQLWRUV WKH 8/0 EORFN0DLQ )XQFWLRQV DUH DV IROORZV 6\VWHP WLPH VHWWLQJ%HIRUH 173EDVHG V\QFKURQL]DWLRQ WKH V\VWHP WLPH LV VHW E\ UHFHLYLQJ WKH 7LPH RI'DWH 7R' IURP D *36 UHFHLYHU V\VWHP UHJLVWUDWLRQ DQG ORDGLQJ± 5HJLVWUDWLRQ RI WKH V\VWHP WR WKH 5HJLVWUDWLRQ 6HUYHU 56± 'HWHUPLQDWLRQ RI WKH ORDGLQJ PHWKRG /RDGLQJ DV WKH ODWHVW YHUVLRQ YLD WKH YHUVLRQ FRPSDULVRQ /RDGLQJ YLD LWV RZQQRQYRODWLOH VWRUDJH RU UHPRWH ,6 /RDGLQJ YLD WKH FRQVROH SRUW DW WKLV WLPH RPLWWLQJ WKH UHJLVWUDWLRQ RI WKH V\VWHP WRWKH 56 %DFNLQJ XS DQG UHVWRULQJ WKH VRIWZDUH LPDJH DQG WKH 3/'/RDGHU VDYHV WKH VRIWZDUH LPDJH DQG WKH 3/' RI WKH ODWHVW YHUVLRQ LQ LWV RZQ QRQYRODWLOHVWRUDJH DQG UHVWRUHV LW DV WKH FRUUHVSRQGLQJ LQIRUPDWLRQ ZKHQ UHTXLUHG,Q FDVH RI 3/'EDFNXS E\ RSHUDWRU¶V FRPPDQG 8/0 PRQLWRULQJ/RDGHU PRQLWRUV ZKHWKHU WKH 8/0 EORFN RSHUDWHV QRUPDOO\ DQG LI LW LV DEQRUPDO WKLVUHVWDUWV LW8/08QLYHUVDO /RDGLQJ 0DQDJHPHQW 8/0 GRZQORDGV DQG H[HFXWHV WKH SDFNDJHV WKDW DUHLGHQWL¿HG LQ WKH ¿OH OLVW GRZQORDGHG E\ ORDGHU GXULQJ SUHORDGLQJ SURFHVV $OVR 8/0PRQLWRUV WKH H[HFXWHG VRIWZDUH DQG SURYLGHV WKH UXQQLQJ VRIWZDUH LQIRUPDWLRQ DQG VXSSRUWVWKH UHVWDUW DQG WKH VRIWZDUH XSJUDGH E\ WKH FRPPDQG ,Q DGGLWLRQ LQ WKH LQLWLDOL]DWLRQ VWDJH8/0 VHWV WKH V\VWHP WLPH E\ XVLQJ WKH 7LPH RI 'DWH LQIRUPDWLRQ REWDLQHG IURP D *36UHFHLYHU,(((  *0 DQG SHULRGLFDOO\ SHUIRUPV WKH V\QFKURQL]DWLRQ ZLWK WKH 173 VHUYHUE\ DFWXDWLQJ DV DQ 173 FOLHQW DIWHU WKH ORDGLQJ LV FRPSOHWHG0DLQ )XQFWLRQV DUH DV IROORZV 6\VWHP LQLWLDOL]DWLRQ DQG UHVHW± 6\VWHP UHVHW E\ FRPPDQG± $FW DV LQWHUQDO 56  ,6 RI ORZHU ERDUG 6RIWZDUH PDQDJHPHQW± 0RQLWRU WKH RSHUDWLRQ RI VRIWZDUH EORFN DQG UHVWDUW WKH VRIWZDUH EORFN LQ DEQRUPDO VWDWH ࿢6$0681* (OHFWURQLFV &R /WG
0RELOH :L0$; 5$6 63,& 6\VWHP 'HVFULSWLRQ(G± 6RIWZDUH UHVWDUW E\ FRPPDQG± 3URYLGH LQIRUPDWLRQ RQ VRIWZDUH EORFN DQG WKH VWDWXV ,QYHQWRU\ 0DQDJHPHQW± 8/0 SURYLGHV WKH LQIRUPDWLRQ VXFK DV WKH VRIWZDUH YHUVLRQ IRU WKH FRPSRQHQWV WKH3%$ ,' WKH 3%$ YHUVLRQ DQG WKH VHULDO QXPEHU HWF± )XQFWLRQ RI UHSRUWLQJ WKH LQYHQWRU\ LQIRUPDWLRQ ZKHQ SHUIRUPLQJ WKH LQLWLDOL]DWLRQDGGLQJ DQG H[WHQGLQJ WKH FRPSRQHQWV 2QOLQH XSJUDGH DQG YHUVLRQ PDQDJHPHQW IRU WKH VRIWZDUH8/0 SURYLGHV WKH IXQFWLRQV RI XSGDWLQJ WKH VRIWZDUH DQG WKH ¿UPZDUH XSJUDGLQJ WKHSDFNDJH DQG PDQDJLQJ WKH YHUVLRQ 6\VWHP WLPH LQIRUPDWLRQ V\QFKURQL]DWLRQ6\QFKURQL]H V\VWHP WLPH LQIRUPDWLRQ ZLWK 173 VHUYHU DV D 173 FOLHQW DQG WUDQVPLWWKH WLPH LQIRUPDWLRQ WR WKH ORZHU ERDUGV 7LPH =RQH VHWXS6HWXS 7LPH =RQH DQG 'D\OLJKW 6DYLQJ 7LPH '67 0RUWHP WLPH XSGDWH6HWXS PRUWHP WLPH DIWHU V\VWHP WLPH LQIRUPDWLRQ V\QFKURQL]DWLRQ230&RPPRQ 3HUIRUPDQFH 0DQDJHPHQW 230 FROOHFWV DQG SURYLGHV WKH SHUIRUPDQFH GDWD IRUWKH XSSHU PDQDJHPHQW V\VWHP RSHUDWRU WR NQRZ WKH V\VWHP SHUIRUPDQFH 7KH 230 FROOHFWVWKH HYHQW JHQHUDWHG GXULQJ WKH V\VWHP RSHUDWLRQ DQG WKH SHUIRUPDQFH GDWD DQG WUDQVPLWVWKHP WR WKH PDQDJHPHQW V\VWHP 7KH FROOHFWLRQ F\FOH RI WKH VWDWLVWLFV GDWD RI WKH DFWXDO230 FDQ EH VHW DV  PLQXWHV  PLQXWHV  PLQXWHV DQG LI WKH HQWLUH VWDWLVWLFV ¿OH RI WKHELQDU\ IRUPDW LV FUHDWHG HYHU\  PLQXWHV WKH PDQDJHPHQW V\VWHP FROOHFWV LW SHULRGLFDOO\YLD WKH )736)730DLQ )XQFWLRQV DUH DV IROORZV 5HFRUG DQG FROOHFW VWDWLVWLFV GDWD5HFRUG VWDWLVWLFV GDWD WR WKH PHPRU\ DQG JHQHUDWH WKH VWDWLVWLFV ¿OH E\ UHJXODUO\ FROOHFWLQJGDWD SHU HDFK ERDUG ,QTXLUH DQG FKDQJH WKH VWDWLVWLFV FRQ¿JXUDWLRQ LQIRUPDWLRQ,QTXLUH DQG FKDQJH WKH FROOHFWLRQ F\FOH %, DQG WKH WKUHVKROG RI WKH VWDWLVWLFV GDWD 7KUHVKROG &URVV $OHUW 7&$*HQHUDWH WKH 7&$ &ULWLFDO 0DMRU 0LQRU DFFRUGLQJ WR WKH GH¿QHG WKUHVKROG LQ HYHU\FROOHFWLRQ F\FOH DQG UHSRUW LW WR WKH 8)0 0RQLWRU WKH VWDWLVWLFV LQ UHDO WLPH3URYLGH WKH UHDOWLPH PRQLWRULQJ IXQFWLRQ IRU WKH VSHFL¿F VWDWLVWLFV LWHP GHVLJQDWHG E\ WKHRSHUDWRU2660&RPPRQ 6XEVFULSWLRQ 6HUYLFH 0DQDJHPHQW 2660 GLVWULEXWHV WKH 3/' GDWD QHFHVVDU\IRU WKH VRIWZDUH EORFNV DQG UHSRUWV WKH GDWD FKDQJHG WR WKH FRUUHVSRQGLQJ VRIWZDUH EORFNLI 3/' GDWD DUH FKDQJHG $OVR LW VXSSRUWV WKH IXQFWLRQ WR PDLQWDLQ WKH FRQVLVWHQF\ RI3/' GDWD WKDW DUH VFDWWHUHG LQ WKH V\VWHP 6$0681* (OHFWURQLFV &R /WG &+$37(5  6\VWHP 6WUXFWXUH0DLQ )XQFWLRQV DUH DV IROORZV 3/' GLVWULEXWLRQ2660 ORDGV 3/' WR WKH VKDUHG PHPRU\ IRU VRIWZDUH EORFN LQ RUGHU WR DFFHVV 3/' 3/' FKDQJH UHSRUW5HSRUW WKH FKDQJHV RI 3/' WR WKH FRUUHVSRQGLQJ VRIWZDUH EORFN2(52(97KH &RPPRQ (YHQW 5RXWHU 2(5&RPPRQ (YHQW 9LHZHU 2(9 PDQDJHV WKH HYHQWKLVWRU\ DV WKH WH[W IRUPDW 7KH 2(52(9 WUDQVPLWV WKH LQIRUPDWLRQ RQ DOO WKH HYHQWVUHFHLYHG IURP WKH 2$0 DSSOLFDWLRQV WR WKH UHODWHG DJHQW 2$*6 :HE(07 DQG FUHDWHVDQG VDYHV WKH KLVWRU\ ¿OH RI WKH GDLO\KRXUO\ HYHQWV DQG GLVSOD\V WKH ORJ FRQWHQWV RQ WKHRSHUDWRU ZLQGRZ ,0,6+ LQ UHDO WLPH0DLQ )XQFWLRQV DUH DV IROORZV (YHQW WUDQVPLVVLRQ2(52(9 WUDQVPLWV WKH LQIRUPDWLRQ RQ WKH JHQHUDWHG HYHQW WR WKH 2$*6 RU WKH :HE(07EORFN WKXV LW HQDEOHV WR UHSRUW LW WR WKH PDQDJHPHQW V\VWHP &UHDWLQJ DQG VDYLQJ WKH HYHQW KLVWRU\ ¿OH2(52(9 FUHDWHV DQG VDYHV WKH GDLO\KRXUO\ HYHQW KLVWRU\ ¿OH LQ LWV RZQ QRQYRODWLOHVWRUDJH DV WKH  0E\WH PD[LPXP VL]H (YHQW GLVSOD\2(52(9 GLVSOD\V WKH HYHQW JHQHUDWHG LQ WKH V\VWHP RQ WKH RSHUDWRU ZLQGRZ ,0,6+ LQUHDO WLPH2&0&RPPRQ &RQ¿JXUDWLRQ 0DQDJHPHQW 2&0 PDQDJHV WKH V\VWHP FRQ¿JXUDWLRQ DQGSDUDPHWHU ZLWK 3/' DQG LW SURYLGHV WKH GDWD WKDW DUH QHFHVVDU\ IRU WKH VRIWZDUH EORFNV2WKHU VRIWZDUH EORFNV FDQ DSSURDFK 3/' E\ WKH LQWHUQDO VXEVFULSWLRQ VHUYLFH 2660 DQGWKURXJK WKH FRPPDQG IURP (0,2&0 SURYLGHV WKH IROORZLQJ IXQFWLRQV V\VWHP FRQ¿JXUDWLRQ JURZGHJURZ LQTXLU\ DQGFKDQJH RI FRQ¿JXUDWLRQ GDWD DQG RSHUDWLRQDO SDUDPHWHUV0DLQ )XQFWLRQV DUH DV IROORZV 6\VWHP FRQ¿JXUDWLRQ PDQDJHPHQW0DQDJH WKH V\VWHP FRQ¿JXUDWLRQ ZLWK 3/' 3/' LQTXLU\ DQG FKDQJH± 8SSHU PDQDJHPHQW V\VWHP LQTXLUHV DQG FKDQJHV 3/' E\ FRPPDQG± 3/' FKDQJHV DUH XSGDWHG LQ LWV RZQ QRQYRODWLOH VWRUDJH E\ RSHUDWRU¶V FRPPDQG 3/' DXGLW)RU WKH FRQVLVWHQW 3/' GDWD ZLWK WKH XSSHU PDQDJHPHQW V\VWHP5'07KH 5$6 'LDJQRVLV 0DQDJHPHQW 5'0 FKHFNV LI LQWHUQDO DQG H[WHUQDO FRQQHFWLRQ SDWKVRU UHVRXUFHV RI WKH V\VWHP DUH QRUPDO 7KH FRQQHFWLRQ SDWKV DUH URXJKO\ GLYLGHG LQWR WKH ࿢6$0681* (OHFWURQLFV &R /WG
0RELOH :L0$; 5$6 63,& 6\VWHP 'HVFULSWLRQ(GH[WHUQDO SDWK EHWZHHQ WKH V\VWHP LQWHUQDO ,3& SDWK DQG DQRWKHU 1( DQG WKH SDWK EHWZHHQ$&5 DQG WKH V\VWHP,Q DGGLWLRQ LW VXSSRUWV WKH RQGHPDQG WHVW DW WKH UHTXHVW RI DQ RSHUDWRU DQG WKH SHULRGLFDOWHVW DFFRUGLQJ WR WKH VFKHGXOH GH¿QHG E\ WKH RSHUDWRU0DLQ )XQFWLRQV DUH DV IROORZV 3DWK 7HVW± ,QWHUQDO SDWK WHVW 3LQJ WHVW IRU WKH ,3& SDWK RI WKH ERDUG OHYHO LQ 1(± ([WHUQDO SDWK WHVW 7UDFHURXWH WHVW IRU H[WHUQDO KRVWV± 7UDI¿F SDWK WHVW 7HVW IRU WKH 8'3 PHVVDJHEDVHG EHDUHU SDWK EHWZHHQ $&5 DQG WKHV\VWHP± 6LJQDO SDWK WHVW 7HVW IRU WKH 8'3 PHVVDJHEDVHG VLJQDOLQJ SDWK 6RIWZDUH %ORFN 7HVW3LQJ WHVW IRU PDLQ SURJUDPV E\ SURFHVVRUV 5) ([FKDQJH 7HVW7[ SDWK 5HFHLYH 6LJQDO 6WUHQJWK ,QGLFDWRUEDVHG 566,EDVHG 5[ SDWK DQG 96:5GLDJQRVLV %DFNKDXO SHUIRUPDQFH PRQLWRULQJ WHVW4XDOLW\ SDFNHW ORVV GHOD\ DQG GHOD\ YDULDQFH PHDVXUHPHQW IRU EDFNKDXO EHWZHHQ $&5DQG WKH V\VWHP 3HULRGLFDO RQOLQH WHVW E\ WKH RSHUDWRU VHWWLQJ &KDQJH RI WKH 'LDJQRVLV 6FKHGXOH6FKHGXOH VHWXS VXFK DV GLDJQRVLV SHULRG VWDUW WLPH DQG HQG WLPH RI SHULRGLFDO RQOLQH WHVW 6XSSRUW RI &DOO 7UDFH )XQFWLRQ,W UHSRUWV WKH FDOO WUDFH LQIRUPDWLRQ VLJQDOLQJ PHVVDJH RI D VSHFL¿F 06 5) SDUDPHWHUDQG WUDI¿F VWDWLVWLFV WR WKH PDQDJHPHQW V\VWHP YLD 6103' 5) 0RGXOH 6HWXS DQG &RQWURO7UDQVPLVVLRQ RI WKH VHWXS LQIRUPDWLRQ UHTXLUHG IRU WKH 5) PRGXOH UHGXQGDQF\ VWUXFWXUHDQG PDQDJHPHQW RI IDLOXUHVWDWXV 6$0681* (OHFWURQLFV &R /WG &+$37(5  6\VWHP 6WUXFWXUH7KLV SDJH LV LQWHQWLRQDOO\ OHIW EODQN ࿢6$0681* (OHFWURQLFV &R /WG
0RELOH :L0$; 5$6 63,& 6\VWHP 'HVFULSWLRQFKDSWHU 71 0HVVDJH )ORZ &DOO 3URFHVVLQJ 0HVVDJH )ORZ ,QLWLDO (QWU\%HORZ LV WKH SURFHGXUH WKDW VHWV XS D SURYLVLRQHG 6HUYLFH )ORZ 6) LQ WKH QHWZRUNLQLWLDWHG'\QDPLF 6HUYLFH $GG '6$ PRGH GXULQJ WKH LQLWLDO QHWZRUN HQWU\ SURFHGXUH,Q WKH LQLWLDO HQWU\ SURFHGXUH WKH 06 SHULRGLFDOO\ UHFHLYHV 'RZQOLQN &KDQQHO 'HVFULSWRU'&' 'RZQOLQN0$3 '/0$3 8SOLQN &KDQQHO 'HVFULSWRU 8&' DQG 8SOLQN0$38/0$3 PHVVDJHV IURP WKH 5$6 REWDLQV WKH GRZQOLQN FKDQQHO V\QFKURQL]DWLRQ DQGXSOLQN SDUDPHWHUV DQG VHWV D SURYLVLRQHG 6) FRQQHFWLRQ 6$0681* (OHFWURQLFV &R /WG &+$37(5  0HVVDJH )ORZ)LJXUH  ,QLWLDO (QWU\ 3URFHGXUH&DWHJRU\ 'HVFULSWLRQa 7KH 06 VHQGV WKH 5$6 WKH 51*5(4 PHVVDJH FRQWDLQLQJ WKH 0$& DGGUHVVDQG 5DQJLQJ 3XUSRVH ,QGLFDWLRQ RI WKH 06 7KH 5$6 DVVLJQV WKH %DVLF  3ULPDU\0DQDJHPHQW &,' DQG VHQGV WKH 51*563 PHVVDJH WR WKH 06a 7KH 06 VHQGV WKH 5$6 WKH 6%&5(4 PHVVDJH FRQWDLQLQJ WKH SK\VLFDO SDUDPHWHUDQG DXWKRUL]DWLRQ SROLF\ LQIRUPDWLRQ WKH 06 VXSSRUWV 7R UHTXHVW WKH DXWKRUL]DWLRQSROLF\ WKH 5$6 VHQGV WKH $&5 WKH 06B3UH$WWDFKPHQWB5HT PHVVDJH FRQWDLQLQJ ࿢6$0681* (OHFWURQLFV &R /WG
0RELOH :L0$; 5$6 63,& 6\VWHP 'HVFULSWLRQ(G&DWHJRU\ 'HVFULSWLRQWKH DXWKRUL]DWLRQ SROLF\ VXSSRUW YDOXH XVLQJ WKH GHIDXOW ,3 DGGUHVV DQG 8'3 SRUWQXPEHU RI WKH $&5a 7KH $&5 VHQGV WKH 5$6 WKH 06B3UH$WWDFKPHQWB5VS PHVVDJH FRQWDLQLQJ WKHVXSSRUWHG DXWKRUL]DWLRQ SROLF\ 7KH 5$6 H[WUDFWV WKH LQIRUPDWLRQ UHFHLYHG IURP WKH$&5 DQG VHQGV WKH 06 WKH 6%&563 PHVVDJH FRQWDLQLQJ LW 7KHQ WKH 5$6 VHQGVWKH $&5 WKH 06B3UH$WWDFKPHQWB$FN PHVVDJH WR H[SOLFLWO\ SURYLGH QRWL¿FDWLRQ RIWKH VWDUW WLPH RI WKH QH[W SURFHGXUH ($3 WUDQVPLVVLRQ 7KH VXEVFULEHU DXWKHQWLFDWLRQ SURFHGXUH LV SHUIRUPHG EHWZHHQ WKH 06 DQG $$$VHUYHU :KHQ WKH DXWKHQWLFDWLRQ LV VXFFHVVIXO WKH $&5 UHFHLYHV SURYLVLRQHG SROLF\LQIRUPDWLRQ IRU HDFK VXEVFULEHU IURP WKH $$$ VHUYHU)RU PRUH LQIRUPDWLRQ VHH ¶$XWKHQWLFDWLRQ¶a 7KH 06 VHQGV WKH 5$6 WKH 5(*5(4 PHVVDJH FRQWDLQLQJ WKH UHJLVWUDWLRQLQIRUPDWLRQ 06 &DSDELOLWLHV &6 &DSDELOLWLHV +2 6XSSRUW HWF 7KH 5$6 VHQGVWKH $&5 WKH 06B$WWDFKPHQWB5HT PHVVDJH WR LQTXLUH DERXW 06 &DSDELOLWLHV DQG&6 &DSDELOLWLHV 7KH $&5 VHQGV WKH 5$6 D UHVSRQVH FRQWDLQLQJ WKH UHVXOW IRU WKHUHTXHVWHG UHJLVWUDWLRQ LQIRUPDWLRQ 7KH 5$6 VHQGV WKH 06 WKH 5(*563 PHVVDJH7KH 5$6 VHQGV WKH $&5 WKH 06B$WWDFKPHQWB$FN PHVVDJH WR H[SOLFLWO\ SURYLGHQRWL¿FDWLRQ RI WKH VWDUW WLPH RI WKH QH[W SURFHGXUHa 7R UHTXHVW '6$ IRU 3UH3URYLVLRQHG 6) WKH $&5 VHQGV WKH 5$6 WKH 3DWK5HJLVWUDWLRQ 5HTXHVW PHVVDJH FRQWDLQLQJ WKH 6),' ¿HOG 5HVRXUFH 'HVFULSWLRQ¿HOG 6)&6 SDUDPHWHU DQG 'DWD 3DWK ,'   *5( .H\ ¿HOG IRU VHWWLQJ D GDWD SDWKZLWK WKH 5$6 7KH 5$6 UHFHLYHV WKLV PHVVDJH SHUIRUPV DGPLVVLRQ FRQWURO DQGWKHQ VHQGV WKH 06 WKH '6$5(4 PHVVDJH 7KH 06 VHQGV WKH 5$6 WKH '6$563PHVVDJH FRQWDLQLQJ WKH FRQ¿UPDWLRQ FRGH DV WKH UHVXOW RI WKH '6$5(4 PHVVDJH7KH 5$6 VHQGV WKH $&5 WKH 3DWK 5HJLVWUDWLRQ 5HVSRQVH PHVVDJH FRQWDLQLQJ WKHGDWD SDWK ,' WR VHW D GDWD SDWK ZLWK WKH $&5 7KH $&5 VHQGV WKH 5$6 WKH 3DWK5HJLVWUDWLRQ &RQ¿UP PHVVDJH 7KH 5$6 VHQGV WKH 06 WKH '6$$&. PHVVDJHa 7KLV SURFHGXUH LV XVHG WR DVVLJQ DQ ,3 DGGUHVV WR WKH 06 ZKHQ LW XVHV 30,3 ,I WKH06 UHTXHVWV WKH '+&3 SURFHGXUH WR REWDLQ DQ ,3 DGGUHVV WKH $&5 SHUIRUPV WKH30,3 SURFHGXUHa 7KLV SURFHGXUH LV XVHG WR DVVLJQ DQ ,3 DGGUHVV WR DQ 06 ZKHQ LW XVHV &0,3 ,I WKH06 GLUHFWO\ UHTXHVWV 0,7 UHJLVWUDWLRQ WR REWDLQ DQ ,3 DGGUHVV WKH $&5 RSHUDWHV DVDQ )$ DQG DVVLJQV DQ 0,3 DGGUHVV WR WKH 06 LQ LQWHURSHUDWLRQ ZLWK WKH +$a 7KLV LV WKH SURFHGXUH IRU DOORFDWLQJ DQ ,3 DGGUHVV WR WKH 06 WKDW XVHV WKH VLPSOH ,3PHWKRG,I WKH 06 UHTXHVWV WKH '+&3 SURFHGXUH WR UHFHLYH DQ DOORFDWHG ,3 DGGUHVV WKH$&5 DOORFDWHV WKH 6LPSOH ,3 DGGUHVV WR WKH 06 XVLQJ WKH EXLOWLQ '+&3 VHUYHUIXQFWLRQV $V DQ RSWLRQ WKH $&5 VXSSRUWV WKH '+&3 5HOD\ $JHQW IXQFWLRQ ZKLFKLQWHURSHUDWHV ZLWK WKH H[WHUQDO '+&3 VHUYHUa :KHQ WKH 'LDPHWHU SURWRFRO LV XVHG LW LV QRWL¿HG WKDW DFFRXQWLQJ KDV EHJXQ IRU WKHVHUYLFH ÀRZ XVLQJ WKH $&5$&$ PHVVDJH :KHQ WKH 5$',86 SURWRFRO LV XVHG WKH$FFRXQWLQJ 5HTXHVW$FFRXQWLQJ 5HVSRQVH PHVVDJH LV XVHG 6$0681* (OHFWURQLFV &R /WG &+$37(5  0HVVDJH )ORZ $XWKHQWLFDWLRQ'XULQJ ,QLWLDO (QWU\7KH ¿JXUH EHORZ VKRZV WKH 06 DXWKHQWLFDWLRQ SURFHGXUH GXULQJ WKH ¶,QLWLDO (QWU\¶SURFHGXUH DV GHVFULEHG DERYH)LJXUH  $XWKHQWLFDWLRQ 3URFHGXUH 'XULQJ ,QLWLDO (QWU\&DWHJRU\ 'HVFULSWLRQa :KHQ UHFHLYLQJ WKH 06B3UH$WWDFKPHQWB$FN PHVVDJH IURP WKH 5$6 DV D UHVSRQVHWR WKH 6%&563 PHVVDJH WKH $&5 VHQGV WKH 5$6 WKH $XWK5HOD\($37UDQVIHUPHVVDJH FRQWDLQLQJ WKH ($3 5HTXHVW,GHQWLW\ SD\ORDG WR EHJLQ ($3 DXWKHQWLFDWLRQ7KH 5$6 UHOD\V WKH UHFHLYHG ($3 SD\ORDG WR WKH 06 XVLQJ WKH 3.0Y($37UDQVIHU3.0563 PHVVDJHa 7KH 06 LQFOXGHV WKH 1$, LQ WKH ($3 5HVSRQVH,GHQWLW\ DQG VHQGV WKH 5$6WKH 3.0Y ($37UDQVIHU3.05(4 PHVVDJH 7KH 5$6 UHOD\V WKH UHFHLYHGLQIRUPDWLRQ WR WKH $&5 XVLQJ WKH $XWK5HOD\($37UDQVIHU PHVVDJH 7KHDXWKHQWLFDWRU RI WKH $&5 DQDO\]HV WKH 1$, DQG WUDQVPLWV WKH 'LDPHWHU ($3 5HTXHVW'(5 PHVVDJH ZKHQ XVLQJ WKH 'LDPHWHU SURWRFRO RU WKH $FFHVV 5HTXHVW $5PHVVDJH ZKHQ XVLQJ WKH 5$',86 SURWRFRO WR WKH KRPH $$$ VHUYHU RI WKH 06a ,Q DFFRUGDQFH ZLWK WKH ($3 PHWKRG WKH VXEVFULEHU DXWKHQWLFDWLRQ SURFHGXUH LVSHUIRUPHG EHWZHHQ WKH 06 DQG $$$ VHUYHU7KH DXWKHQWLFDWLRQ SURFHGXUH LV SHUIRUPHG XVLQJ WKH 'LDPHWHU ($3 5HTXHVW'(5'LDPHWHU ($3 $QVZHU '($ PHVVDJH ZKHQ WKH 'LDPHWHU SURWRFRO LV XVHGRU WKH $FFHVV&KDOOHQJH$FFHVV5HTXHVW PHVVDJH ZKHQ WKH 5$',86 SURWRFROLV XVHG ࿢6$0681* (OHFWURQLFV &R /WG
0RELOH :L0$; 5$6 63,& 6\VWHP 'HVFULSWLRQ(G&DWHJRU\ 'HVFULSWLRQa :KHQ WKH DXWKHQWLFDWLRQ LV VXFFHVVIXOO\ FRPSOHWHG WKH $&5 UHFHLYHV WKH 0DVWHU6HVVLRQ .H\ 06. WKDW LV WKH XSSHU NH\ WR SURYLGH VHFXULW\ DQG SURYLVLRQHGSROLF\ LQIRUPDWLRQ SHU VXEVFULEHU IURP WKH $$$ VHUYHU XVLQJ WKH 'LDPHWHU ($3$QVZHU '($ PHVVDJH ZKHQ WKH 'LDPHWHU SURWRFRO LV XVHG RU WKH $FFHVV$FFHSWPHVVDJH ZKHQ WKH 5$',86 SURWRFRO LV XVHG 7KH $&5 FUHDWHV DQ $. IURPWKH 06. DQG VHQGV WKH 5$6 WKH .H\B&KDQJHB'LUHFWLYH PHVVDJH FRQWDLQLQJWKH FUHDWHG $. &RQWH[W LQIRUPDWLRQ DQG 6HFXULW\ $VVRFLDWLRQ 6$ LQIRUPDWLRQ RIWKH 06 0RUHRYHU WKH 5$6 FRPPXQLFDWHV ($3 6XFFHVV WR WKH 06 XVLQJ WKH3.0Y($37UDQVIHU PHVVDJHa $IWHU ($3 DXWKHQWLFDWLRQ WKH 5$6 VHQGV WKH 06 WKH 6$7(.&KDOOHQJH PHVVDJHWR YHULI\ WKH $. NH\ YDOXH RI WKH 06 DQG QRWLI\ WKH VWDUW RI 6$ QHJRWLDWLRQ 7KH 06YHUL¿HV WKH &0$& RI WKH 6$7(.&KDOOHQJH PHVVDJH YHUL¿HV WKH $. NH\ YDOXHDQG WKHQ VHQGV WKH 5$6 WKH 6$ QHJRWLDWLRQ LQIRUPDWLRQ XVLQJ WKH 6$7(.5HTXHVW7KH 5$6 VHQGV WKH 06 WKH 6$7(.5HVSRQVH PHVVDJH FRQWDLQLQJ QRW RQO\ WKH$.,' EXW DOVR WKH 6$ 'HVFULSWRU ZKLFK LV WKH ¿QDO 6$ QHJRWLDWLRQ UHVXOWa 7KH 06 UHTXHVWV D 7UDI¿F (QFU\SWLRQ .H\ 7(. IURP WKH 5$6 XVLQJ WKH 3.0Y.H\5HTXHVW PHVVDJH 7KH 5$6 FUHDWHV D 7(. UDQGRPO\ DQG VHQGV LW WR WKH 06XVLQJ WKH 3.0Y .H\5HSO\ PHVVDJH $W WKLV WLPH WKH 7(. LV VHQW HQFU\SWHG ZLWKD .H\ (QFU\SWLRQ .H\ .(.7\SHV DQG 8VHV RI .H\V7KH W\SHV DQG XVHV RI NH\V DUH DV IROORZV± 06. 8VHG WR FUHDWH DQ $.± $. 8VHG WR FUHDWH D &0$& NH\± .(. 8VHG WR HQFU\SW D 7(.± &0$& NH\ 8VHG WR SURYLGH LQWHJULW\ IRU WKH 0$& PDQDJHPHQW PHVVDJH± 7(. 8VHG WR HQFU\SW WUDI¿F LQ WKH DLU VHFWLRQ'XULQJ $XWKHQWLFDWRU 5HORFDWLRQ:KHQ WKH 06 SHUIRUPV &61DQFKRUHG +DQGRYHU +2 RU WKH 06 LQ ,GOH PRGH PRYHV WRDQRWKHU $&5¶V DUHD DQG SHUIRUPV ORFDWLRQ XSGDWH WKH IROORZLQJ UHDXWKHQWLFDWLRQ SURFHGXUHLV SHUIRUPHG WR PRYH WKH DXWKHQWLFDWRU IURP WKH H[LVWLQJ VHUYLQJ $&5 WR WKH WDUJHW $&5:KHQ WKH WDUJHW $&5 WULJJHUV WKH 06 WR SHUIRUP WKH ($3 DXWKHQWLFDWLRQ SURFHGXUHDJDLQ ZLWK WKH $$$ VHUYHU DQG QRWL¿HV WKH VHUYLQJ $&5 RI WKH DXWKHQWLFDWLRQ UHVXOW WKHDXWKHQWLFDWRU UHORFDWLRQ SURFHGXUH ¿QLVKHV 6$0681* (OHFWURQLFV &R /WG &+$37(5  0HVVDJH )ORZ)LJXUH  $XWKHQWLFDWLRQ 3URFHGXUH 'XULQJ $XWKHQWLFDWRU 5HORFDWLRQ&DWHJRU\ 'HVFULSWLRQa 7KH 7$&5 ZKLFK LV WKH QHZ DXWKHQWLFDWRU H[FKDQJHV WKH 5HORFDWLRQ 1RWLI\$FNPHVVDJH ZLWK WKH 6$&5 ZKLFK LV WKH SUHYLRXV DXWKHQWLFDWRU WR UHORFDWH WKHDXWKHQWLFDWRU E\ SHUIRUPLQJ WKH UHDXWKHQWLFDWLRQ SURFHGXUHa 7KH UHDXWKHQWLFDWLRQ SURFHGXUH LV SHUIRUPHG LQ WKH WDUJHW DUHD LQ WKH VDPH ZD\ DVWKH DXWKHQWLFDWLRQ SURFHGXUH GXULQJ LQLWLDO HQWU\:KHQ WKH 'LDPHWHU SURWRFRO LV XVHG WKH 'LDPHWHU ($3 $QVZHU '($ PHVVDJHLV UHFHLYHG IURP WKH $$$ VHUYHU :KHQ WKH 5$',86 SURWRFRO LV XVHG WKH $FFHVV$FFHSW PHVVDJH LV UHFHLYHG IURP WKH $$$ VHUYHUa 7KH 5$6 VHQGV WKH 7$&5 ZKLFK LV WKH DXWKHQWLFDWRU WKH .H\ &KDQJH &RQ¿UPPHVVDJH WR LQGLFDWH WKDW WKH UHDXWKHQWLFDWLRQ SURFHGXUH ZLWK WKH 06 KDV ¿QLVKHGa 7KH 7$&5 H[FKDQJHV WKH 5HORFDWLRQ &RPSOHWH$FN PHVVDJH ZLWK WKH 6$&5 WRFRPSOHWH WKH DXWKHQWLFDWRU UHORFDWLRQ SURFHGXUHa $IWHU DXWKHQWLFDWRU UHORFDWLRQ WKH QHZ DXWKHQWLFDWRU QRWL¿HV WKH DQFKRU WKDW WKHDXWKHQWLFDWRU KDV FKDQJHG XVLQJ WKH &RQWH[W 5SW SURFHGXUH ࿢6$0681* (OHFWURQLFV &R /WG
0RELOH :L0$; 5$6 63,& 6\VWHP 'HVFULSWLRQ(G 6WDWH 7UDQVLWLRQ$ZDNH 0RGH ĺ ,GOH 0RGH 06,QLWLDWHG,I WKHUH LV QR WUDI¿F WUDQVPLVVLRQ IRU D VSHFL¿F SHULRG RI WLPH WKH 06 WUDQVLWV IURP $ZDNHPRGH WR ,GOH PRGH6OHHS 0RGH ĺ ,GOH 0RGH 7UDQVLWLRQ7KH 06 LQ 6OHHS PRGH GRHV QRW GLUHFWO\ WUDQVLW WR ,GOH PRGH 7KLV LV EHFDXVH EHIRUHWKH 06 WUDQVLWV IURP 6OHHS PRGH WR ,GOH PRGH LW ¿UVW WUDQVLWV WR $ZDNH PRGH DQGUHTXHVWV '5(* EHIRUH WUDQVLWLQJ WR ,GOH PRGH7KH GHUHJLVWUDWLRQ SURFHGXUH IRU WUDQVLWLQJ WR ,GOH PRGH LV GLYLGHG LQWR 06LQLWLDWHG ,GOHPRGH WUDQVLWLRQ DQG 1HWZRUNLQLWLDWHG ,GOH PRGH WUDQVLWLRQ 7KH ¿JXUH EHORZ VKRZV WKH06LQLWLDWHG LGOH PRGH WUDQVLWLRQ SURFHGXUH)LJXUH  $ZDNH 0RGH ĺ ,GOH 0RGH 6WDWH 7UDQVLWLRQ 3URFHGXUH 06,QLWLDWHG&DWHJRU\ 'HVFULSWLRQ :KHQ WKH 06 WUDQVLWV WR ,GOH PRGH LW FUHDWHV WKH '5(*5(4 PHVVDJH DQG VHQGV LWWR WKH 5$6 7KH 'H5HJLVWUDWLRQ 5HTXHVW &RGH ¿HOG YDOXH LV VHW WR [a 7KH 5$6 FUHDWHV WKH ,0B(QWU\B6WDWHB&KDQJHB5HT PHVVDJH FRQWDLQLQJ WKH FRQWH[WLQIRUPDWLRQ RI WKH 06 DQG VHQGV LW WR WKH $&5 SDJLQJ FRQWUROOHU 7KH $&5 FUHDWHVWKH ,0B(QWU\B6WDWHB&KDQJHB5VS PHVVDJH FRQWDLQLQJ $FWLRQ &RGH  î  SDJLQJLQIRUPDWLRQ 3$*,1*B&<&/( 3$*,1*B2))6(7 DQG ,GOH 0RGH 5HWDLQ ÀDJ DQGVHQGV LW WR WKH 5$6 7KH 5$6 VHQGV WKH 06 WKH '5(*&0' PHVVDJH FRQWDLQLQJWKH LQIRUPDWLRQ UHFHLYHG 6$0681* (OHFWURQLFV &R /WG &+$37(5  0HVVDJH )ORZ&DWHJRU\ 'HVFULSWLRQa ,I QR QHWZRUN UHHQWU\ UHTXHVW LV UHFHLYHG IURP WKH 06 XQWLO WKH ,GOH 5HVRXUFH 5HWDLQWLPHU H[SLUHV WKH 5$6 SHUIRUPV WKH 'DWD 3DWK '3 5HOHDVH SURFHGXUH ZLWK WKH $&5a $V WKH 06 KDV EHHQ WUDQVLWHG WR ,GOH PRGH DQ DFFRXQWLQJ HQG PHVVDJH LV VHQW WR WKH$$$ VHUYHU WR XSGDWH WKH DFFRXQWLQJ LQIRUPDWLRQ XVLQJ WKH $&5$&$ PHVVDJH:KHQ WKH 'LDPHWHU5$',86 SURWRFROV DUH XVHG WKH\ DUH RSHUDWHG DFFRUGLQJ WR WKH,GOH 0RGH 1RWL¿FDWLRQ RQRII ,I LW LV RQ WKH DFFRXQWLQJ LQIRUPDWLRQ LV XSGDWHG XVLQJWKH 'LDPHWHU $&55$',86 $FFRXQWLQJ 5HTXHVW PHVVDJH$ZDNH 0RGH ĺ ,GOH 0RGH 1HWZRUN,QLWLDWHG7KH ¿JXUH EHORZ VKRZV WKH 1HWZRUNLQLWLDWHG LGOH PRGH WUDQVLWLRQ SURFHGXUH)LJXUH  $ZDNH 0RGH ĺ ,GOH 0RGH 6WDWH 7UDQVLWLRQ 3URFHGXUH 1HWZRUN,QLWLDWHG&DWHJRU\ 'HVFULSWLRQa ,I WKH 'RUPDQW WLPHU H[SLUHV WKH 5$6 FUHDWHV WKH ,0B(QWU\B6WDWHB&KDQJHB5HTPHVVDJH FRQWDLQLQJ WKH FRQWH[W LQIRUPDWLRQ IRU WKH 06 DQG VHQGV LW WR WKH $&53DJLQJ &RQWUROOHU 7KH $&5 FUHDWHV WKH ,0B(QWU\B6WDWHB&KDQJHB5VS PHVVDJHFRQWDLQLQJ SDJLQJ LQIRUPDWLRQ 3$*,1*B&<&/( 3$*,1*B2))6(7 DQG ,GOH 0RGH5HWDLQ DQG VHQGV LW WR WKH 5$6 $W WKLV WLPH WKH ,GOH 0RGH 5HWDLQ LQIR LV VHW WR [)7KH 5$6 VHQGV WKH 06 WKH '5(*&0' PHVVDJH FRQWDLQLQJ WKH LQIRUPDWLRQ UHFHLYHG 7KH 06 VHQGV WKH %6 WKH '5(*5(4 PHVVDJH DQG VHWV WKH 'H5HJLVWUDWLRQB5HTXHVWB&RGH ¿HOG YDOXH WR [a ,I QR QHWZRUN UHHQWU\ UHTXHVW LV UHFHLYHG IURP WKH 06 XQWLO WKH ,GOH 5HVRXUFH 5HWDLQWLPHU H[SLUHV WKH 5$6 SHUIRUPV WKH 'DWD 3DWK '3 5HOHDVH SURFHGXUH ZLWK WKH $&5a 1RZ WKH 06 KDV WUDQVLWHG WR ,GOH PRGH :KHQ WKH 'LDPHWHU5$',86 SURWRFROV DUHXVHG WKH\ DUH RSHUDWHG DFFRUGLQJ WR WKH ,GOH 0RGH 1RWL¿FDWLRQ RQRII ,I LW LV RQWKH DFFRXQWLQJ LQIRUPDWLRQ LV XSGDWHG XVLQJ WKH 'LDPHWHU $&55$',86 $FFRXQWLQJ5HTXHVW PHVVDJH ࿢6$0681* (OHFWURQLFV &R /WG
0RELOH :L0$; 5$6 63,& 6\VWHP 'HVFULSWLRQ(G,I DQ HUURU RFFXUV GXULQJ WKH SURFHGXUH RI FKDQJLQJ WKH 06LQLWLDWHG ,GOH 0RGH RUQHWZRUNLQLWLDWHG ,GOH 0RGH WKH 5$6 FDQ VWDUW WKH %6LQLWLDWHG QHWZRUN H[LW SURFHGXUH%HORZ DUH WKH FDVHV LQ ZKLFK WKH 5$6 VWDUWV WKH QHWZRUN H[LW SURFHGXUH 7LPH RXW KDV RFFXUUHG GXH WR QR UHVSRQVH IURP WKH $&5 RU WKH IDLO LQGLFDWLRQ LV QRWL¿HGIURP WKH $&5 ZKHQ WKH 06 DVNHG IRU WKH ,GOH 0RGH WUDQVLWLRQ 7LPH RXW KDV RFFXUUHG GXH WR QR UHVSRQVH IURP WKH $&5 RU WKH IDLO LQGLFDWLRQ LV QRWL¿HGIURP WKH $&5 ZKHQ WKH 5$6 DVNHG IRU WKH ,GOH 0RGH WUDQVLWLRQ$ZDNH 0RGH ĺ 6OHHS 0RGH2QO\ WKH 5$6 FDQ UHFRJQL]H ZKHWKHU WKH 06 LV LQ $ZDNH RU 6OHHS PRGH 7KH $&5UHFRJQL]HV ERWK VWDWHV DV $ZDNH PRGH UHJDUGOHVV RI ZKLFK PRGH WKH 06 LV DFWXDOO\ LQ)LJXUH  $ZDNH 0RGH ĺ 6OHHS 0RGH 6WDWH 7UDQVLWLRQ 3URFHGXUH&DWHJRU\ 'HVFULSWLRQa ,I WKHUH LV QR GDWD WUDQVPLVVLRQ IRU D VSHFL¿F SHULRG RI WLPH VHW E\ WKH 065$6 XVLQJD SDUDPHWHU LQ WKH 06 LWV WLPHU LV WLPHG RXW DQG WKH 06 WUDQVLWV IURP $ZDNH PRGHWR 6OHHS PRGH $W WKLV WLPH WKH 06 VHQGV WKH 02%B6/35(4 PHVVDJH WR WKH 5$67KH 5$6 VHQGV WKH 06 WKH 02%B6/3563 PHVVDJH DV D UHVSRQVH DQG WKHQ WKH06 WUDQVLWV WR 6OHHS PRGHa ,I LQFRPLQJ WUDI¿F RFFXUV IRU WKH 06 LQ 6OHHS PRGH WKH 5$6 VHQGV WKH 06 WKH02%B75),1' PHVVDJH DW WKH OLVWHQLQJ F\FOH RI WKH 06 :KHQ UHFHLYLQJ WKLVPHVVDJH WKH 06 VHQGV WKH 5$6 WKH 8/ %: 5HTXHVW PHVVDJH LQ ZKLFK WKH %:YDOXH LV VHW WR  :KHQ UHFHLYLQJ WKLV PHVVDJH WKH 5$6 UHFRJQL]HV WKDW WKH 06 KDVWUDQVLWHG WR $ZDNH PRGH DQG VHQGV WUDI¿F WR WKH 06,GOH 0RGH ĺ $ZDNH 0RGH4&6:KHQ WKH 06 LQ ,GOH PRGH UHVSRQGV WR D SDJLQJ FDXVHG E\ LQFRPLQJ WUDI¿F RU ZKHQ WKH 06LQ ,GOH PRGH VHQGV WUDI¿F LW WUDQVLWV IURP ,GOH PRGH WR $ZDNH PRGH 6$0681* (OHFWURQLFV &R /WG &+$37(5  0HVVDJH )ORZ)RU ERWK FDVHV WKH 06 KDV WR SHUIRUP D QHWZRUN UHHQWU\ SURFHGXUH WR HQWHU $ZDNH 0RGH7KH 0RELOH :L0$; V\VWHP VKRXOG FRQVLGHU WKH 4&6 SURFHGXUH DV D QHWZRUN UHHQWU\PHWKRG E\ GHIDXOW7KH ¿JXUH EHORZ VKRZV WKH SURFHGXUH 4&6 LQ ZKLFK ,GOH PRGH LV FKDQJHG WR $ZDNH PRGHGXULQJ QHWZRUN UHHQWU\)LJXUH  ,GOH 0RGH ĺ $ZDNH 0RGH 6WDWH 7UDQVLWLRQ 3URFHGXUH 4&6&DWHJRU\ 'HVFULSWLRQ :KHQ WKH 06 WUDQVLWV IURP ,GOH PRGH WR $ZDNH PRGH LW FUHDWHV WKH 51*5(4PHVVDJH FRQWDLQLQJ WKH 0$& DGGUHVV DQG 3DJLQJ &RQWUROOHU ,' DQG VHQGV LW WRWKH 5$6$W WKLV WLPH WKH 5DQJLQJ 3XUSRVH ,QGLFDWLRQ ¿HOG YDOXH LV VHW WR [   1HWZRUN5HHQWU\a 7KH 5$6 FUHDWHV WKH ,0 ([LW 6WDWH &KDQJH 5HTXHVW PHVVDJH FRQWDLQLQJ WKHSDUDPHWHU YDOXH FRQWDLQHG LQ WKH UHFHLYHG 51*5(4 PHVVDJH DQG VHQGV LW WR WKH$&5 $IWHU WKH $&5 FKHFNV WKH ,GOH PRGH VWDWH LQIRUPDWLRQ IRU WKH 06 WR SHUIRUPWKH 4&6 SURFHGXUH WKH $&5 VHQGV WKH 5$6 WKH ,0 ([LW 6WDWH &KDQJH 5HVSRQVHPHVVDJH FRQWDLQLQJ WKH ,GOH 0RGH 5HWDLQ LQIRUPDWLRQ DQG WKH $. &RQWH[W LQIRUPDWLRQIRU &0$& DXWKHQWLFDWLRQ HWFa 7R VHW D GDWD SDWK 8/ ZLWK WKH $&5 WKH 5$6 VHQGV WKH $&5 WKH 3DWK 5HJLVWUDWLRQ5HTXHVW PHVVDJH FRQWDLQLQJ WKH GDWD SDWK LQIRUPDWLRQ VXFK DV WKH *5( NH\ $VD UHVSRQVH '/ WR WKLV PHVVDJH WKH $&5 VHQGV WKH 5$6 WKH 3DWK 5HJLVWUDWLRQ5HVSRQVH PHVVDJH FRQWDLQLQJ WKH GDWD SDWK LQIRUPDWLRQ VXFK DV WKH *5( NH\ 7KH 5$6 UHVSRQGV ZLWK WKH 51*563 PHVVDJH FRQWDLQLQJ WKH +2 2SWLPL]DWLRQ ÀDJDQG WKH UHODWHG &,'B8SGDWH DQG 6$7(.B8SGDWH LQIRUPDWLRQ IRU 4&6a 7KH 5$6 QRWL¿HV WKH $&5 ZKLFK LV WKH DXWKHQWLFDWRU RI WKH QHZ &0$&B.(<B&2817YDOXH XSGDWHG E\ WKH 06 7KH 5$6 QRWL¿HV WKH $&5 RI WKH GDWD SDWK VHWXS UHVXOW XVLQJ WKH 3DWK 5HJLVWUDWLRQ$FN PHVVDJH ࿢6$0681* (OHFWURQLFV &R /WG
0RELOH :L0$; 5$6 63,& 6\VWHP 'HVFULSWLRQ(G&DWHJRU\ 'HVFULSWLRQ :KHQ UHFHLYLQJ WKH 51*563 PHVVDJH WKH 06 VHQGV WKH %: 5HTXHVW +HDGHU WRQRWLI\ WKH V\VWHP WKDW LW KDV WUDQVLWHG WR $ZDNH PRGHa 1RZ WKH 06 KDV WUDQVLWHG WR $ZDNH PRGH DQG D QHZ 7UDQVSRUW &,' KDV EHHQDVVLJQHG :KHQ WKH 'LDPHWHU5$',86 SURWRFROV DUH XVHG WKH\ DUH RSHUDWHGDFFRUGLQJ WR WKH ,GOH 0RGH 1RWL¿FDWLRQ RQRII ,I LW LV RQ WKH DFFRXQWLQJ LQIRUPDWLRQ LVXSGDWHG XVLQJ WKH 'LDPHWHU $&55$',86 $FFRXQWLQJ 5HTXHVW PHVVDJH,GOH 0RGH ĺ $ZDNH 0RGH 7UDQVLWLRQ)RU WKH SURFHGXUH XVHG ZKHQ WKH 06 WUDQVLWV IURP ,GOH PRGH WR $ZDNH PRGHEHFDXVH RI D SDJLQJ UHIHU WR µ3DJLQJ¶ /RFDWLRQ 8SGDWH,QWHU5$6 /RFDWLRQ 8SGDWH7KH ¿JXUH EHORZ VKRZV WKH ORFDWLRQ XSGDWH SURFHGXUH SHUIRUPHG ZKHQ WKH 06 PRYHVWR DQRWKHU SDJLQJ JURXS LQ WKH VDPH $&5)LJXUH  ,QWHU5$6 /RFDWLRQ 8SGDWH 3URFHGXUH&DWHJRU\ 'HVFULSWLRQ :KHQ WKH 06 LQ ,GOH PRGH PRYHV IURP SDJLQJ JURXS  WR SDJLQJ JURXS  LW UHFHLYHVWKH 3$*$'9 PHVVDJH DQG WKXV UHFRJQL]HV WKDW LWV ORFDWLRQ KDV FKDQJHGa 7R UHTXHVW WKH ORFDWLRQ XSGDWH WKH 06 VHQGV WKH QHZ 5$6 5$6  WKH 51*5(4PHVVDJH FRQWDLQLQJ WKH 0$& DGGUHVV /RFDWLRQ 8SGDWH 5HTXHVW DQG 3DJLQJ&RQWUROOHU ,' 7KHQ 5$6  VHQGV WKH /RFDWLRQ 8SGDWH 5HTXHVW PHVVDJH WR WKH $&5a 7KH $&5 VHQGV 5$6  WKH /RFDWLRQ 8SGDWH 5HVSRQVH PHVVDJH FRQWDLQLQJ SDJLQJLQIRUPDWLRQ $. &RQWH[W LQIRUPDWLRQ HWF 7KH 5$6  FKHFNV WKH YDOLGLW\ RI WKH &0$&DQG WKHQ VHQGV WKH 06 WKH 51*563 PHVVDJH FRQWDLQLQJ WKH /8 5HVSRQVH 6$0681* (OHFWURQLFV &R /WG &+$37(5  0HVVDJH )ORZ&DWHJRU\ 'HVFULSWLRQa 7KH 5$6 QRWL¿HV WKH $&5 ZKLFK LV WKH DXWKHQWLFDWRU RI WKH QHZ &0$&B.(<B&2817YDOXH XSGDWHG E\ WKH 06 7KH $&5 VHQGV WKH /8 &RQ¿UP PHVVDJH WR SURYLGH QRWL¿FDWLRQ WKDW WKH ORFDWLRQXSGDWH SURFHGXUH KDV ¿QLVKHG,QWHU$&5 /RFDWLRQ 8SGDWH $QFKRU 5HORFDWLRQ30,3&0,37KH ¿JXUH EHORZ VKRZV WKH ORFDWLRQ XSGDWH SURFHGXUH SHUIRUPHG ZKHQ WKH 06 PRYHV WRDQRWKHU $&5¶V DUHD ࿢6$0681* (OHFWURQLFV &R /WG
0RELOH :L0$; 5$6 63,& 6\VWHP 'HVFULSWLRQ(G)LJXUH  ,QWHU$&5 /RFDWLRQ 8SGDWH 3URFHGXUH 30,3&0,3 6$0681* (OHFWURQLFV &R /WG &+$37(5  0HVVDJH )ORZ&DWHJRU\ 'HVFULSWLRQa :KHQ WKH SDJLQJ JURXS FKDQJHV WKH 06 VHQGV WKH 51*5(4 PHVVDJH FRQWDLQLQJWKH 0$& DGGUHVV ORFDWLRQ XSGDWH UHTXHVW SDJLQJ FRQWUROOHU ,' WR WKH QHZ 75$67DUJHW 5$6 WR UHTXHVW D ORFDWLRQ XSGDWH 7KH 75$6 VHQGV LWV GHIDXOW $&5 WKH/RFDWLRQ 8SGDWH 5HTXHVW PHVVDJH FRQWDLQLQJ WKH SDJLQJ FRQWUROOHU ,'a ,I WKH UHFHLYHG SDJLQJ FRQWUROOHU ,' EHORQJV WR WKH 7$&5 7DUJHW $&5 LW VHQGVWKH /RFDWLRQ 8SGDWH 5HTXHVW PHVVDJH WR WKH SUHYLRXV 6$&5 6HUYLQJ $&5 YLDWKH 5 LQWHUIDFH WR FKDQJH WKH SDJLQJ FRQWUROOHU $W WKLV WLPH WKH $3& 5HORFDWLRQ'HVWLQDWLRQ YDOXH LQ WKH /RFDWLRQ 8SGDWH 5HTXHVW PHVVDJH LV VHW WR WKH SDJLQJFRQWUROOHU ,' RI WKH 7$&57KH 6$&5 UHVSRQGV ZLWK WKH /RFDWLRQ 8SGDWH 5HVSRQVH WKDW LQGLFDWHV ZKHWKHU WRDFFHSW WKH SDJLQJ FRQWUROOHU UHORFDWLRQ DQG WKH FRQWH[W LQIRUPDWLRQ IRU WKH 06  :KHQ UHFHLYLQJ WKH /RFDWLRQ 8SGDWH 5HVSRQVH PHVVDJH WKH 75$6 VHQGV WKH 06WKH 51*563 PHVVDJH FRQWDLQLQJ µ/8 5HVSRQVH   6XFFHVV¶ DQG VHQGV WKH /8&RQ¿UP PHVVDJH WR FRQ¿UP WKDW WKH SDJLQJ FRQWUROOHU KDV FKDQJHG WR WKH 7$&5a 7KH 75$6 QRWL¿HV WKH 6$&5 ZKLFK LV WKH DXWKHQWLFDWRU RI WKH QHZ&0$&B.(<B&2817 YDOXH XSGDWHG E\ WKH 06a $IWHU WKH ORFDWLRQ XSGDWH FRQ¿UPDWLRQ WKH 7$&5 QRWL¿HV WKH )$ DQG DXWKHQWLFDWRUZKLFK DUH VWLOO ORFDWHG LQ WKH 6$&5 WKDW WKH SDJLQJ FRQWUROOHU KDV FKDQJHG 7KH 7$&5 VHQGV WKH 6$&5 DQ )$ UHORFDWLRQ UHTXHVW IRU WKH 06a :KHQ WKH 6$&5 DFFHSWV WKH )$'3) UHORFDWLRQ UHTXHVW UHFHLYHG IURP WKH 7$&5WKH 7$&55$6 UHTXHVWV WKDW WKH 06 SHUIRUP SDJLQJ WR WULJJHU WKH UHORFDWLRQa :KHQ UHFHLYLQJ WKH 02%B3$*$'9 PHVVDJH WKH 06 SHUIRUPV WKH 4&6 SURFHGXUHD QHWZRUN UHHQWU\ SURFHGXUH ZLWK WKH QHWZRUNa 7KLV LV WKH SURFHGXUH IRU UHORFDWLQJ WKH DXWKHQWLFDWRU IURP WKH 6$&5 WR WKH 7$&57KH 7$&5 WULJJHUV WKH 06 WR SHUIRUP WKH ($3 DXWKHQWLFDWLRQ SURFHGXUH DJDLQ ZLWKWKH $$$ VHUYHU DQG QRWL¿HV WKH 6$&5 RI WKH DXWKHQWLFDWLRQ UHVXOW WR FRPSOHWHWKH DXWKHQWLFDWRU UHORFDWLRQ SURFHGXUHa 7KH 7$&5 VHQGV WKH 6$&5 DQ $QFKRU '3) UHORFDWLRQ UHTXHVW IRU WKH 06a :KHQ WKH 06 XVHV 30,3 WKH 7$&5 LQ SODFH RI WKH 06 UHJLVWHUV 0,3 WR WKH +$a :KHQ WKH 06 XVHV &0,3 WKH $&5 RSHUDWHV RQO\ DV DQ )$ DQG WKH 06 UHJLVWHUV0,3 WR WKH +$ GLUHFWO\a ,I WKH DQFKRU '3) UHORFDWLRQ KDV ¿QLVKHG VXFFHVVIXOO\ WKH 6$&5 UHOHDVHV WKHH[LVWLQJ FRQQHFWLRQV WR WKH $$$ VHUYHU DQG +$ ࿢6$0681* (OHFWURQLFV &R /WG
0RELOH :L0$; 5$6 63,& 6\VWHP 'HVFULSWLRQ(G,QWHU$&5 /RFDWLRQ 8SGDWH $QFKRU 5HORFDWLRQ6LPSOH ,3)LJXUH  ,QWHU$&5 /RFDWLRQ 8SGDWH 3URFHGXUH 6LPSOH ,3 6$0681* (OHFWURQLFV &R /WG &+$37(5  0HVVDJH )ORZ&DWHJRU\ 'HVFULSWLRQa :KHQ WKH SDJLQJ JURXS FKDQJHV WKH 06 VHQGV WKH 51*5(4 PHVVDJH FRQWDLQLQJWKH 0$& DGGUHVV ORFDWLRQ XSGDWH UHTXHVW SDJLQJ FRQWUROOHU ,' WR WKH QHZ 75$67DUJHW 5$6 WR UHTXHVW D ORFDWLRQ XSGDWH 7KH 75$6 VHQGV LWV GHIDXOW $&5 WKH/RFDWLRQ 8SGDWH 5HTXHVW PHVVDJH FRQWDLQLQJ WKH SDJLQJ FRQWUROOHU ,'a ,I WKH UHFHLYHG SDJLQJ FRQWUROOHU ,' EHORQJV WR WKH 7$&5 7DUJHW $&5 LW VHQGVWKH /RFDWLRQ 8SGDWH 5HTXHVW PHVVDJH WR WKH SUHYLRXV 6$&5 6HUYLQJ $&5 YLDWKH 5 LQWHUIDFH WR FKDQJH WKH SDJLQJ FRQWUROOHU $W WKLV WLPH WKH $3& 5HORFDWLRQ'HVWLQDWLRQ YDOXH LQ WKH /RFDWLRQ 8SGDWH 5HTXHVW PHVVDJH LV VHW WR WKH SDJLQJFRQWUROOHU ,' RI WKH 7$&57KH 6$&5 UHVSRQGV ZLWK WKH /RFDWLRQ 8SGDWH 5HVSRQVH WKDW LQGLFDWHV ZKHWKHU WRDFFHSW WKH SDJLQJ FRQWUROOHU UHORFDWLRQ DQG WKH FRQWH[W LQIRUPDWLRQ IRU WKH 06 :KHQ WKH 75$6 UHFHLYHV WKH /RFDWLRQ 8SGDWH 5HVSRQVH PHVVDJH LW VHQGV WKH 06DQ 51*563 PHVVDJH ZLWK ¶/8 5HVSRQVH¶ VHW WR ¶)DLO¶a 7KH /8 &RQ¿UP PHVVDJH LV VHQW WR QRWLI\ WKDW WKH SDJLQJ FRQWUROOHU LV PDLQWDLQHGLQ WKH 6$&5a 7KH 06 SHUIRUPV LGOH PRGH H[LW ZLWK WKH 6$&5 DQG WKH 6$&5 LQGXFHV IXOO QHWZRUNUHHQWU\ LQ WKH 06a 7KH 06 SHUIRUPV QHWZRUN UHHQWU\ ZLWK WKH 7$&5a 7KLV LV WKH SURFHGXUH IRU DOORFDWLQJ DQ ,3 DGGUHVV WR WKH 06 WKDW XVHV WKH VLPSOH ,3PHWKRG,I WKH 06 UHTXHVWV WKH '+&3 SURFHGXUH WR UHFHLYH DQ DOORFDWHG ,3 DGGUHVV WKH$&5 DOORFDWHV WKH 6LPSOH ,3 DGGUHVV WR WKH 06 XVLQJ WKH EXLOWLQ '+&3 VHUYHUIXQFWLRQV $V DQ RSWLRQ WKH $&5 VXSSRUWV WKH '+&3 5HOD\ $JHQW IXQFWLRQ ZKLFKLQWHURSHUDWHV ZLWK WKH H[WHUQDO '+&3 VHUYHUa 7KH 7$&5 QRWL¿HV WKH $$$ VHUYHU WKDW WKH DFFRXQWLQJ SURFHGXUH PXVW EH VWDUWHGIRU WKH VHUYLFH ÀRZ QHZO\ JHQHUDWHG LQ WKH QHWZRUN HQWU\:KHQ WKH 'LDPHWHU SURWRFRO LV XVHG LW LV QRWL¿HG WKDW DFFRXQWLQJ KDV EHJXQ IRU WKHVHUYLFH ÀRZ XVLQJ WKH $&5$&$ PHVVDJH :KHQ WKH 5$',86 SURWRFRO LV XVHG WKH$FFRXQWLQJ 5HTXHVW$FFRXQWLQJ 5HVSRQVH PHVVDJH LV XVHG,QWHU$61 /RFDWLRQ 8SGDWH7KH SURFHGXUH IRU LQWHU$61 ORFDWLRQ XSGDWH LV WKH VDPH DV IRU LQWHU$&5 ORFDWLRQ XSGDWH 3DJLQJ3DJLQJ FDQ EH GLYLGHG LQWR WKH IROORZLQJ WZR W\SHV %\ SHULRGLFDOO\ EURDGFDVWLQJ WKH 02%B3$*$'9 PHVVDJH WKH 5$6 QRWL¿HV WKH 06RI WKH FRUUHVSRQGLQJ SDJLQJ JURXS %DVHG RQ WKH SDJLQJ LQIRUPDWLRQ 3DJLQJ &\FOH3DJLQJ 2IIVHW DQG 3*,' UHFHLYHG IURP WKH V\VWHP ZKHQ WKH 06 WUDQVLWV WR ,GOH PRGHWKH 06 FKHFNV ZKHWKHU LWV SDJLQJ JURXS KDV FKDQJHG E\ SHULRGLFDOO\ FKHFNLQJ WKH02%B3$*$'9 PHVVDJH :KHQ WKH $&5 KDV WUDI¿F WR VHQG WR WKH 06 LQ ,GOH PRGH LW WULJJHUV WKH 02%B3$*$'9WR WKH 5$6 WR WUDQVLW WKH 06 WR $ZDNH PRGH ࿢6$0681* (OHFWURQLFV &R /WG
0RELOH :L0$; 5$6 63,& 6\VWHP 'HVFULSWLRQ(G7KH ¿JXUH EHORZ VKRZV WKH SURFHGXUH IRU SHUIRUPLQJ SDJLQJ WR WKH 06 LQ ,GOH PRGH)LJXUH  3DJLQJ 3URFHGXUH&DWHJRU\ 'HVFULSWLRQa ,I WKH 06 LV LQ ,GOH PRGH ZKHQ UHFHLYLQJ D SDFNHW WKDW ZLOO EH VHQW WR D VSHFL¿F06 WKH $&5 VHQGV WKH 5$6 WKH 06 3DJLQJ $QQRXQFH PHVVDJH FRQWDLQLQJ WKH0$& DGGUHVV DQG SDJLQJ JURXS ,' DQG 3DJLQJ &DXVH[ RI WKH 06 WR WKH 5$67KH 5$6 VHQGV WKH 06 WKH 02%B3$*$'9 PHVVDJH FRQWDLQLQJ WKH LQIRUPDWLRQUHFHLYHG IURP WKH $&57KHQ WKH 06 SHUIRUPV WKH 4&6 SURFHGXUH ZLWK WKH QHWZRUN )RU PRUH LQIRUPDWLRQ RQ WKH4&6 SURFHGXUH VHH WR ,GOH 0RGH ױ$ZDNH 0RGH RI µ6WDWH 7UDQVLWLRQ¶ +DQGRYHU,QWHU5$6 +DQGRYHU +27KH ¿JXUH EHORZ VKRZV WKH LQWHU5$6 KDQGRYHU SURFHGXUH 6$0681* (OHFWURQLFV &R /WG &+$37(5  0HVVDJH )ORZ)LJXUH  ,QWHU5$6 +DQGRYHU 3URFHGXUH ࿢6$0681* (OHFWURQLFV &R /WG
0RELOH :L0$; 5$6 63,& 6\VWHP 'HVFULSWLRQ(G&DWHJRU\ 'HVFULSWLRQa 7R UHTXHVW D KDQGRYHU WKH 06 VHQGV WKH FXUUHQW 65$6 6HUYLQJ 5$6WKH 02%B06+25(4 PHVVDJH FRQWDLQLQJ WKH QHLJKERU %6 5$6 ,' DQGKDQGRYHUUHODWHG SDUDPHWHUV 7KH 65$6 VHQGV WKH $&5 WKH +25HTXHVW PHVVDJHFRQWDLQLQJ WKH 02%B06+25(4 SDUDPHWHU UHFHLYHG DQG WKH FRQWH[W LQIRUPDWLRQ7KH $&5 IRUZDUGV WKH +25HTXHVW PHVVDJH WR WKH 75$6 7DUJHW 5$6a 7KH 75$6 VHQGV WKH $&5 WKH +25HVSRQVH PHVVDJH FRQWDLQLQJ WKH FDSDELOLW\LQIRUPDWLRQ IRU WKH 75$6 7KH 65$6 VHQGV WKH 06 WKH 02%B%6+2563 PHVVDJHFRQWDLQLQJ WKH UHFRPPHQGHG QHLJKERU %6,'V +2,' DQG SDUDPHWHU UHVXOW YDOXHa 7KH 06 VHQGV WKH 65$6 WKH 02%B+2,1' PHVVDJH FRQWDLQLQJ WKH +2,1'W\SH DQG WDUJHW %6,' WR SURYLGH QRWL¿FDWLRQ WKDW WKH KDQGRYHU ZLOO EH SHUIRUPHG7KH 65$6 VHQGV WKH 75$6 WKH +2&RQ¿UP PHVVDJH FRQWDLQLQJ WKH FRQWH[WLQIRUPDWLRQ DQG GDWD LQWHJULW\ LQIRUPDWLRQ HJ EXIIHUHG 6'8 61 IRU WKH 06a 7KH 75$6 VHQGV WKH $&5 DXWKHQWLFDWRU WKH &RQWH[W5HTXHVW PHVVDJH WR UHTXHVWWKH $. &RQWH[W LQIRUPDWLRQ 7KH $&5 UHVSRQGV ZLWK WKH &RQWH[W5HSRUW PHVVDJHFRQWDLQLQJ WKH $. FRQWH[W LQIRUPDWLRQa 7KH SDWK SUHUHJLVWUDWLRQ SURFHGXUH LV SHUIRUPHG WR VHW XS D QHZ GDWD SDWK EHWZHHQWKH $&5 DQG 75$6 ,Q DGGLWLRQ D IRUZDUGLQJ SDWK LV VHW XS VR WKDW WKH 65$6 FDQVHQG WKH 75$6 WKH WUDI¿F WKDW LW KDV QRW \HW WUDQVPLWWHG WR WKH 06 7KH WUDI¿F LVWUDQVPLWWHG WR WKH 75$6 :KHQ WKH 75$6 DFFHSWV WKH KDQGRYHU UHTXHVW IURP WKH 06 LW QRWL¿HV WKH 06RI WKH 8/B0$3 ,( VR WKDW WKH 06 FDQ VHQG WKH +2 5DQJLQJ 5HTXHVW PHVVDJHWKURXJK WKH XSOLQN 7KH 06 VHQGV WKH 75$6 WKH 51*5(4 PHVVDJH FRQWDLQLQJ WKH 0$& DGGUHVVVHUYLQJ %6,' +2 LQGLFDWLRQ HWFa 7KH SDWK UHJLVWUDWLRQ SURFHGXUH LV SHUIRUPHG WR H[FKDQJH WKH 6) LQIRUPDWLRQ WKDWZLOO EH PDSSHG WR WKH GDWD SDWK EHWZHHQ WKH $&5 DQG 75$6 ZKLFK ZDV FUHDWHG LQVWHSV  WR   7KH SURFHGXUH LV SHUIRUPHG LI WKH 3DWK 3UH5HJ SURFHGXUHIDLOV 7KH 75$6 UHVSRQGV ZLWK WKH 51*563 PHVVDJH FRQWDLQLQJ WKH +2 2SWLPL]DWLRQÀDJ &,'BXSGDWH DQG 6$7(.BXSGDWHa $IWHU WKH 65$6 KDV VHQW DOO WUDI¿F WR WKH 75$6 WKH IRUZDUGLQJ SDWK LV UHOHDVHG :KHQ UHFHLYLQJ WKH 51*563 PHVVDJH VXFFHVVIXOO\ WKH 06 VHQGV WKH 5$6 WKH%DQGZLGWK 5HTXHVW %5 0$& 3'8 DV QRWL¿FDWLRQa 7KH 75$6 VHQGV WKH 65$6 WKH +2&RPSOHWH PHVVDJH WR SURYLGH QRWL¿FDWLRQWKDW WKH KDQGRYHU KDV ¿QLVKHGa 7KH 5$6 QRWL¿HV WKH $&5 ZKLFK LV WKH DXWKHQWLFDWRU RI WKH QHZ&0$&B.(<B&2817 YDOXH XSGDWHG E\ WKH 06a :KHQ WKH KDQGRYHU SURFHGXUH KDV ¿QLVKHG WKH ROG SDWK EHWZHHQ WKH 65$6 DQG$&5 LV UHOHDVHG 6$0681* (OHFWURQLFV &R /WG &+$37(5  0HVVDJH )ORZ,QWHU$&5 +DQGRYHU +2:KHQ SHUIRUPLQJ D KDQGRYHU EHWZHHQ $&5V LQ WKH VDPH $61 WKH SDWK H[WHQVLRQ WKURXJKWKH 5 LQWHUIDFH LV FRQVLGHUHG 7KHUHIRUH WKH SURFHGXUH IRU LQWHU$&5 KDQGRYHU LV WKHVDPH DV LQWHU5$6 KDQGRYHU,QWHU$61 +DQGRYHU +2 $61$QFKRUHG 0RELOLW\,QWHU$61 +2 LV GLYLGHG LQWR WKH $61DQFKRUHG PRELOLW\ PHWKRG WKURXJK WKH 5 LQWHUIDFHDQG WKH &61DQFKRUHG PRELOLW\ PHWKRG WKURXJK WKH 55 LQWHUIDFH 7KH ¿JXUH EHORZVKRZV WKH LQWHU$61 KDQGRYHU SURFHGXUH LQ WKH $61DQFKRUHG PRELOLW\ PHWKRG 7KH6$&5 6HUYLQJ $&5 FDUULHV RXW WKH DQFKRU IXQFWLRQ ࿢6$0681* (OHFWURQLFV &R /WG
0RELOH :L0$; 5$6 63,& 6\VWHP 'HVFULSWLRQ(G)LJXUH  ,QWHU$61 +DQGRYHU $61$QFKRUHG 0RELOLW\7KH +2 VLJQDOLQJ SURFHGXUH LV WKH VDPH DV LQ LQWHU5$6 +2 EXW WKH +2 VLJQDOLQJ PHVVDJHH[FKDQJH VWHSV WKURXJK WKH 5 LQWHUIDFH DUH DGGHG EHWZHHQ WKH 6$&5 DQG 7$&5 7DUJHW$&5 6$0681* (OHFWURQLFV &R /WG &+$37(5  0HVVDJH )ORZ&DWHJRU\ 'HVFULSWLRQa 7R UHTXHVW D KDQGRYHU WKH 06 VHQGV WKH FXUUHQW 65$6 6HUYLQJ 5$6WKH 02%B06+25(4 PHVVDJH FRQWDLQLQJ WKH QHLJKERU %6 5$6 ,' DQGKDQGRYHUUHODWHG SDUDPHWHUV7KH 65$6 VHQGV WKH $&5 WKH +25HTXHVW PHVVDJH FRQWDLQLQJ WKH02%B06+25(4 SDUDPHWHU UHFHLYHG DQG WKH FRQWH[W LQIRUPDWLRQ 7KH $&5IRUZDUGV WKH +25HTXHVW PHVVDJH WR WKH 75$6 7DUJHW 5$6a 7KH 75$6 VHQGV WKH $&5 WKH +25HVSRQVH PHVVDJH FRQWDLQLQJ WKH FDSDELOLW\LQIRUPDWLRQ IRU WKH 75$6 7KH 65$6 VHQGV WKH 06 WKH 02%B%6+2563 PHVVDJHFRQWDLQLQJ WKH UHFRPPHQGHG QHLJKERU %6,'V +2,' DQG SDUDPHWHU UHVXOW YDOXHa 7KH 06 VHQGV WKH 65$6 WKH 02%B+2,1' PHVVDJH FRQWDLQLQJ WKH +2,1'W\SH DQG WDUJHW %6,' WR SURYLGH QRWL¿FDWLRQ WKDW WKH KDQGRYHU ZLOO EH SHUIRUPHG7KH 65$6 VHQGV WKH 75$6 WKH +2&RQ¿UP PHVVDJH FRQWDLQLQJ WKH FRQWH[WLQIRUPDWLRQ DQG GDWD LQWHJULW\ LQIRUPDWLRQ HJ EXIIHUHG 6'8 61 IRU WKH 06a 7KH 75$6 VHQGV WKH $&5 DXWKHQWLFDWRU WKH &RQWH[W5HTXHVW PHVVDJH WR UHTXHVWWKH $. &RQWH[W LQIRUPDWLRQ 7KH $&5 UHVSRQGV ZLWK WKH &RQWH[W5HVSRQVHPHVVDJH FRQWDLQLQJ WKH $. FRQWH[W LQIRUPDWLRQa 7KH SDWK SUHUHJLVWUDWLRQ SURFHGXUH LV SHUIRUPHG WR VHW XS D QHZ GDWD SDWK EHWZHHQWKH $&5 DQG 75$6 ,Q DGGLWLRQ D IRUZDUGLQJ SDWK LV VHW XS VR WKDW WKH 65$6 FDQVHQG WKH 75$6 WKH WUDI¿F WKDW LW KDV QRW \HW WUDQVPLWWHG WR WKH 06 7KH WUDI¿F LVWUDQVPLWWHG WR WKH 75$6 :KHQ WKH 75$6 DFFHSWV WKH KDQGRYHU UHTXHVW IURP WKH 06 LW QRWL¿HV WKH 06RI WKH 8/B0$3 ,( VR WKDW WKH 06 FDQ VHQG WKH +2 5DQJLQJ 5HTXHVW PHVVDJHWKURXJK WKH XSOLQN 7KH 06 VHQGV WKH 75$6 WKH 51*5(4 PHVVDJH FRQWDLQLQJ WKH 0$& DGGUHVVVHUYLQJ %6,' DQG +2 LQGLFDWLRQa 7KH SDWK UHJLVWUDWLRQ SURFHGXUH LV SHUIRUPHG WR H[FKDQJH WKH 6) 6HUYLFH )ORZLQIRUPDWLRQ WKDW ZLOO EH PDSSHG WR WKH GDWD SDWK EHWZHHQ WKH $&5 DQG 75$6ZKLFK ZDV FUHDWHG LQ VWHSV  WR  a 7KH SURFHGXUH LV SHUIRUPHG LI WKH3DWK 3UH5HJ SURFHGXUH IDLOV 7KH 75$6 UHVSRQGV E\ VHQGLQJ WKH 51*563 PHVVDJH FRQWDLQLQJ WKH +22SWLPL]DWLRQ ÀDJ &,'BXSGDWH DQG 6$7(.BXSGDWH :KHQ UHFHLYLQJ WKH 51*563 PHVVDJH VXFFHVVIXOO\ WKH 06 VHQGV WKH 5$6 WKH%DQGZLGWK 5HTXHVW %5 0$& 3'8 DV QRWL¿FDWLRQa 7KH 75$6 VHQGV WKH 65$6 WKH +2&RPSOHWH PHVVDJH WR SURYLGH QRWL¿FDWLRQWKDW WKH KDQGRYHU KDV ¿QLVKHGa 7KH 5$6 QRWL¿HV WKH $&5 ZKLFK LV WKH DXWKHQWLFDWRU RI WKH QHZ&0$&B.(<B&2817 YDOXH XSGDWHG E\ WKH 06a :KHQ WKH KDQGRYHU SURFHGXUH KDV ¿QLVKHG WKH ROG SDWK EHWZHHQ WKH 65$6 DQG$&5 LV UHOHDVHG ࿢6$0681* (OHFWURQLFV &R /WG
0RELOH :L0$; 5$6 63,& 6\VWHP 'HVFULSWLRQ(G,QWHU$61 +DQGRYHU ,QWHU$61 +2 &61$QFKRUHG 0RELOLW\%HORZ LV GHVFULEHG WKH LQWHU$61 +2 LQ WKH &61DQFKRUHG PRELOLW\ 7KH DQFKRU IXQFWLRQLV UHORFDWHG IURP WKH 6$&5 6HUYLQJ $&5 WR WKH 7$&5 7DUJHW $&57KH &61DQFKRUHG PRELOLW\ PHWKRG FRQVLVWV RI WKH VWHSV WKURXJK ZKLFK $61DQFKRUHGPRELOLW\ +R LV SHUIRUPHG DQG WKH DXWKHQWLFDWRU DQG '3) DQFKRU DUH UHORFDWHG WR WKH WDUJHW$&5 )RU FRQYHQLHQFH WKH WULJJHULQJ RI UHORFDWLRQ E\ 7$&5 LV GH¿QHG DV 3XOO PRGH DQGWKH WULJJHULQJ RI UHORFDWLRQ E\ 6$&5 LV GH¿QHG DV 3XVK PRGH 7KH 0RELOH :L0$;V\VWHP VXSSRUWV ERWK SXOO PRGH DQG SXVK PRGH7KH &61DQFKRUHG PRELOLW\ PHWKRG FRPSOLHV ZLWK WKH 0,3 VWDQGDUG 7KH HDUOLHU VWHSV RIWKH &61DQFKRUHG +2 VLJQDOLQJ SURFHGXUH DUH WKH VDPH DV LQ WKH $61DQFKRUHG PRELOLW\+2 SURFHGXUH 7KH ¿JXUH EHORZ VKRZV WKH VWHSV DIWHU WKH $61DQFKRUHG +2 KDV EHHQSHUIRUPHG)LJXUH  ,QWHU$61 +DQGRYHU &61$QFKRUHG 0RELOLW\ 6$0681* (OHFWURQLFV &R /WG &+$37(5  0HVVDJH )ORZ&DWHJRU\ 'HVFULSWLRQa 7KLV LV WKH SURFHGXUH IRU UHORFDWLQJ WKH DXWKHQWLFDWRU IURP WKH 6$&5 WR WKH7$&5 7KH 7$&5 WULJJHUV WKH 06 WR SHUIRUP WKH ($3 DXWKHQWLFDWLRQ SURFHGXUHDJDLQ ZLWK WKH $$$ VHUYHU 7KH 7$&5 QRWL¿HV WKH 65$6 RI WKH DXWKHQWLFDWLRQUHVXOWV WR ¿QLVK WKH DXWKHQWLFDWRU UHORFDWLRQ SURFHGXUHa 7KH 7B$&5 WUDQVPLWV WKH FRQWH[W LQIRUPDWLRQ IRU WKH 06 WR WKH 6B$&5a 7KH DXWKHQWLFDWRU DQG )$ UHORFDWLRQ DUH WULJJHUHG DQG WKH 30,3 RU &0,3UHJLVWUDWLRQ LV SURFHVVHGa 7KH 6$&5 FDQFHOV 0,3 UHJLVWUDWLRQ RI WKH 06 LQ WKH +$a 7KH 6$&5 XSGDWHV WKH ¿QDO DFFRXQWLQJ LQIRUPDWLRQ IRU WKH 06 LQ LQWHURSHUDWLRQZLWK WKH $$$ VHUYHU ,I WKH 'LDPHWHU SURWRFRO LV XVHG DV WKH $$$ SURWRFRO WKH6$&5 SHUIRUPV WKH VHVVLRQ UHOHDVH SURFHGXUH ZLWK WKH $$$ VHUYHU +RZHYHUZKHQ WKH 5$',86 SURWRFRO LV XVHG RQO\ WKH $FFRXQWLQJ 5HTXHVW VWRS SURFHGXUHDQG WKH $FFRXQWLQJ 5HVSRQVH VWRS SURFHGXUH DUH SURFHVVHG DQG WKH 67567$SURFHGXUH LV RPLWWHG 'LVFRQQHFWLRQ'LVFRQQHFWLRQ $ZDNH 0RGH7KH ¿JXUH EHORZ VKRZV WKH SURFHGXUH ZLWK ZKLFK WKH 06 LQ $ZDNH PRGH LV GLVFRQQHFWHGEHFDXVH WKH SRZHU LV WXUQHG RII)LJXUH  'LVFRQQHFWLRQ $ZDNH 0RGH ࿢6$0681* (OHFWURQLFV &R /WG
0RELOH :L0$; 5$6 63,& 6\VWHP 'HVFULSWLRQ(G&DWHJRU\ 'HVFULSWLRQa :KHQ WKH 06 LQ $ZDNH PRGH LV WXUQHG RII WKH 06 VHQGV WKH 5$6 WKH '5(*5(4PHVVDJH FRQWDLQLQJ µ'HUHJLVWUDWLRQ FRGH ¶ DQG WKH 5$6 QRWL¿HV WKH $&5 RI WKLV 7KH $&5 SHUIRUPV WKH SURFHGXUH IRU UHOHDVLQJ WKH 0,3UHODWHG LQIRUPDWLRQ ZLWKWKH +$a 7KH $&5 QRWL¿HV WKH 5$6 RI WKH UHVXOW IRU WKH SRZHU GRZQ RI WKH 06 DQGUHOHDVHV WKH GDWD SDWKa 7KH $&5 XSGDWHV WKH ¿QDO DFFRXQWLQJ LQIRUPDWLRQ IRU WKH 06 LQ LQWHURSHUDWLRQZLWK WKH $$$ VHUYHU ,I WKH 'LDPHWHU SURWRFRO LV XVHG DV WKH $$$ SURWRFRO WKH6$&5 SHUIRUPV WKH VHVVLRQ UHOHDVH SURFHGXUH ZLWK WKH $$$ VHUYHU +RZHYHUZKHQ WKH 5$',86 SURWRFRO LV XVHG RQO\ WKH $FFRXQWLQJ 5HTXHVW VWRS SURFHGXUHDQG WKH $FFRXQWLQJ 5HVSRQVH VWRS SURFHGXUH DUH SURFHVVHG DQG WKH 67567$SURFHGXUH LV RPLWWHG'LVFRQQHFWLRQ ,GOH 0RGH7KH ¿JXUH EHORZ VKRZV WKH SURFHGXUH ZLWK ZKLFK WKH 06 LQ ,GOH PRGH LV GLVFRQQHFWHGEHFDXVH WKH SRZHU LV WXUQHG RII)LJXUH  'LVFRQQHFWLRQ ,GOH 0RGH&DWHJRU\ 'HVFULSWLRQa :KHQ WKH 06 LQ ,GOH PRGH LV WXUQHG RII WKH 06 VHQGV WKH 5$6 WKH 51*5(4PHVVDJH FRQWDLQLQJ WKH SRZHU GRZQ LQGLFDWRU DQG WKH 5$6 QRWL¿HV WKH $&5 RIWKLV 7KH $&5 GHOHWHV WKH LQIRUPDWLRQ IRU WKH 06 7KH $&5 SHUIRUPV WKH SURFHGXUH IRU UHOHDVLQJ WKH 0,3UHODWHG LQIRUPDWLRQ ZLWKWKH +$a ,I WKH 'LDPHWHU SURWRFRO LV XVHG DV WKH $$$ SURWRFRO WKH 6$&5 SHUIRUPV WKHVHVVLRQ UHOHDVH SURFHGXUH ZLWK WKH $$$ VHUYHU +RZHYHU ZKHQ WKH 5$',86SURWRFRO LV XVHG RQO\ WKH $FFRXQWLQJ 5HTXHVW VWRS DQG $FFRXQWLQJ 5HVSRQVHVWRS RSHUDWLRQV DUH SHUIRUPHG LQVWHDG RI WKH 67567$ SURFHVV 6$0681* (OHFWURQLFV &R /WG &+$37(5  0HVVDJH )ORZ 1HWZRUN 6\QFKURQL]DWLRQ 0HVVDJH )ORZ8/&% LV WKH *36 UHFHLYLQJ PRGXOH PRXQWHG RQ WKH 63,& DQG LW UHFHLYHV WKH *36VLJQDOV WR JHQHUDWH WKH 72' V\VWHP FORFN  0+] DQG 336 7KHQ LW VXSSOLHV WKHPWR GLJLWDO DQG 5) EORFNV76&0 LV D  VODYH XQLW PRXQWHG RQ WKH 63,& ,W UHFHLYHV  SDFNHWV IURP WKH*0 DQG JHQHUDWHV WKH 72' V\VWHP FORFN  0+] DQG 336 ,W WKHQ VXSSOLHV WKHP WRWKH GLJLWDO DQG 5) EORFNV)LJXUH  1HWZRUN 6\QFKURQL]DWLRQ )ORZ RI WKH 63,& ࿢6$0681* (OHFWURQLFV &R /WG
0RELOH :L0$; 5$6 63,& 6\VWHP 'HVFULSWLRQ(G $ODUP 6LJQDO )ORZ7KH DODUP WKDW RFFXUUHG LQ WKH GLJLWDO5) EORFN RU *36 UHFHLYHU PRGXOH RI WKH 63,& LVFROOHFWHG WKHQ SURFHVVHG E\ WKH SURFHVVRU WKHQ UHSRUWHG WR WKH KLJKHU OHYHO 'LJLWDO %ORFN:KHQ DQ DODUP RFFXUV LW LV UHFRUGHG LQ WKH FRUUHVSRQGLQJ UHJLVWHU 7KH SURFHVVRUFDQ GHWHFW WKH DODUP RFFXUUHQFH E\ UHDGLQJ WKLV $OWHUQDWHO\ WKH SURFHVVRU FDQ GHWHFWWKDW DQ DODUP KDV RFFXUUHG WKURXJK WKH VWDWLVWLFV SURFHVVLQJ GLDJQRVLV SURFHVVLQJ RUFRPPXQLFDWLRQ ZLWK H[WHUQDO GHYLFHV HWF LQ WKH DSSOLFDWLRQ *36 5HFHLYLQJ 0RGXOH7KH PRGXOH LV UHSRUWHG WR WKH SURFHVVRU LQ WKH IRUP RI D 72' PHVVDJH 5) %ORFN7KH 3// 8QORFN DQG 7HPSHUDWXUH +LJK DODUPV DUH UHSRUWHG LQ WKH 77/ IRUPDW 7KH2YHU/RZ 3RZHU DODUP LV UHFRUGHG LQWR WKH FRUUHVSRQGLQJ UHJLVWHU ZKHQ LW RFFXUV DQGWKH SURFHVVRU FDQ GHWHFW WKDW WKH DODUP KDV RFFXUUHG E\ UHDGLQJ WKLV)LJXUH  $ODUP RI WKH 63,& 6$0681* (OHFWURQLFV &R /WG &+$37(5  0HVVDJH )ORZ /RDGLQJ 0HVVDJH )ORZ/RDGLQJ LV WKH SURFHGXUH WR GRZQORDG WKH VRIWZDUH H[HFXWLRQ ¿OHV DQG WKH GDWD IURP WKH,6 ZKLFK DUH UHTXLUHG WR SHUIRUP HDFK IXQFWLRQ RI HDFK SURFHVVRU DQG HDFK GHYLFH RI WKH63,& /RDGLQJ WKH 63,& LV SHUIRUPHG LQ WKH SURFHGXUH RI LQLWLDOL]LQJ WKH V\VWHP,Q DGGLWLRQ LI D VSHFL¿F ERDUG LV PRXQWHG RQ WKH V\VWHP RU WKH KDUGZDUH LV UHVHW RU LI WKHRSHUDWRU RI WKH XSSHU PDQDJHPHQW V\VWHP UHERRWV D VSHFL¿F ERDUG ORDGLQJ LV SHUIRUPHG/RDGLQJ LV FODVVL¿HG LQWR WZR W\SHV RQH LV ORDGLQJ E\ XVLQJ LWV RZQ QRQYRODWLOH VWRUDJHDQG WKH RWKHU LV ORDGLQJ E\ XVLQJ WKH UHPRWH ,6 :KHQ WKH V\VWHP LV LQLWLDOL]HG IRU WKH¿UVW WLPH WKH 63,& UHFHLYHV WKH ORDGLQJ E\ XVLQJ WKH UHPRWH ,6 DQG DIWHU WKLVVDYHV WKH FRUUHVSRQGLQJ LQIRUPDWLRQ LQ WKH LQWHUQDO VWRUDJH DQG EDFNV XS WKH UHFHQWLQIRUPDWLRQ SHULRGLFDOO\ DQG WKHQ LW LV DYDLODEOH WR DYRLG XQQHFHVVDU\ ORDGLQJ $IWHU WKH¿UVW LQLWLDOL]DWLRQ LI WKH LQIRUPDWLRQ VDYHG LQ LWV RZQ VWRUDJH LV WKH UHFHQW LQIRUPDWLRQ E\FRPSDULQJ WKH YHUVLRQ WKH 63,& GRHV QRW UHFHLYH WKH UHPRWH ORDGLQJ7KH ORDGHG LQIRUPDWLRQ LQFOXGHV WKH VRIWZDUH LPDJH ZKLFK LV FRQ¿JXUHG ZLWK WKH H[HFXWLRQ¿OH DQG WKH VFULSW ¿OH WKH FRQ¿JXUDWLRQ LQIRUPDWLRQ WKH 3/' UHODWHG WR WKH RSHUDWLRQSDUDPHWHU DQG YDULRXV FRQ¿JXUDWLRQ ¿OHV/RDGLQJ 3URFHGXUH7R SHUIRUP WKH ORDGLQJ SURFHGXUH ZKHQ LQLWLDOL]LQJ WKH 63,& WKH ORDGHU SHUIRUPVWKH IROORZLQJV ¿UVW 3UHORDGLQJ %RRWXS7KH ERRWHU RI WKH )ODVK 520 ORDGV WKH NHUQHO DQG WKH 5RRW )LOH 6\VWHP 5)6 IURP WKHÀDVK 520 WR WKH 5$0 'LVN DQG SHUIRUPV WKH NHUQHO ,3 FRQ¿JXUDWLRQ7KH ,3 DGGUHVV LQIRUPDWLRQ LV DFTXLUHG IURP WKH ÀDVK 520 DQG LV VHW WR FRPPXQLFDWHZLWK WKH ¿UVW XSSHU PDQDJHPHQW V\VWHP 5HJLVWUDWLRQ7KH 1( LV UHJLVWHUHG WR WKH 56 DQG WKH ,3 DGGUHVV RI WKH ,6 LV DFTXLUHG GXULQJ WKHUHJLVWUDWLRQ 9HUVLRQ &RPSDULVRQ7KH YHUVLRQ RI WKH VRIWZDUH LPDJH DQG WKH YHUVLRQ RI WKH 3/' VDYHG LQ WKH UHPRWH ,6DQG LQ WKH LQWHUQDO VWRUDJH DUH FRPSDUHG DQG WKH ORFDWLRQ ZKHUH WR SHUIRUP ORDGLQJLV GHWHUPLQHG IURP WKDW )LOH /LVW 'RZQORDG7KH OLVW RI WKH ¿OHV WR EH ORDGHG LV GRZQORDGHG IRU HDFK ERDUG/RDGLQJ 0HVVDJH )ORZ$IWHU SHUIRUPLQJ WKH SUHORDGLQJ SURFHGXUH LI WKH PHWKRG RI ORDGLQJ LV GHWHUPLQHG WKH0DLQ 2$0 8/0 RI WKH /)$ ZKLFK SHUIRUPV WKH RSHUDWLRQ DQG WKH PDLQWHQDQFH RI WKHHQWLUH 63,& SHUIRUPV ORDGLQJ E\ XVLQJ WKH )73 WR WKH FRUUHVSRQGLQJ ,6 UHPRWH ,'RU LWV RZQ VWRUDJH7KH LQIRUPDWLRQ RQ WKH VRIWZDUH ORDGHG LQ WKH 63,& FDQ EH FKHFNHG LQ WKH XSSHUPDQDJHPHQW V\VWHP7KH ORDGLQJ PHVVDJH ÀRZ LV DV WKH IROORZLQJ ¿JXUH ࿢6$0681* (OHFWURQLFV &R /WG
0RELOH :L0$; 5$6 63,& 6\VWHP 'HVFULSWLRQ(G)LJXUH  /RDGLQJ 0HVVDJH )ORZ 6$0681* (OHFWURQLFV &R /WG &+$37(5  0HVVDJH )ORZ 2SHUDWLRQ DQG 0DLQWHQDQFH 0HVVDJH )ORZ$Q RSHUDWRU FDQ FKHFN DQG FKDQJH WKH VWDWXV RI WKH 63,& E\ PHDQV RI WKH PDQDJHPHQWV\VWHP 7R WKLV HQG WKH 63,& SURYLGHV WKH 6103 DJHQW IXQFWLRQ 7KH IXQFWLRQ HQDEOHVWKH :60 RSHUDWRU WR SHUIRUP WKH RSHUDWLRQ DQG PDLQWHQDQFH IXQFWLRQ RI WKH 63,& DWUHPRWH VLWH E\ XVLQJ WKH 6103,Q DGGLWLRQ WKH RSHUDWRU FDQ SHUIRUP :HE(07 EDVHG PDLQWHQDQFH IXQFWLRQ E\ XVLQJ D:HE EURZVHU LQ D FRQVROH WHUPLQDO RU ,0,6+ EDVHG PDLQWHQDQFH IXQFWLRQ E\ XVLQJ WKH 66+FRQQHFWLRQ +RZHYHU JURZGHJURZ SDJLQJ LQIRUPDWLRQ FKDQJH DQG QHLJKERU OLVW FKDQJHIXQFWLRQV DUH RQO\ DYDLODEOH RQ :607KH VWDWLVWLFDO LQIRUPDWLRQ SURYLGHG E\ WKH 63,& DUH SURYLGHG WR WKH RSHUDWRU DFFRUGLQJWR FROOHFWLRQ SHULRG DQG WKH UHDOWLPH PRQLWRULQJ IXQFWLRQ IRU D VSHFL¿F VWDWLVWLFDO LWHPVSHFL¿HG E\ WKH RSHUDWRU LV DOVR SURYLGHG2SHUDWLRQ DQG 0DLQWHQDQFH 0HVVDJH )ORZ7KH RSHUDWLRQ DQG PDLQWHQDQFH RI WKH 63,& LV FDUULHG RXW YLD WKH 6103JHWJHWBQH[WJHWBEXONVHWWUDS PHVVDJH EHWZHHQ WKH 6103 DJHQW RQ WKH PDLQ 2$0 DQG WKH6103 PDQDJHU RI WKH :60 7KH 63,& GHDOV ZLWK YDULRXV RSHUDWLRQ DQG PDLQWHQDQFHPHVVDJHV UHFHLYHG IURP WKH 6103 PDQDJHU RI WKH PDQDJHPHQW V\VWHP WUDQVIHUV WKH UHVXOWVDQG UHSRUWV WKH HYHQWV VXFK DV IDLOXUH JHQHUDWLRQ RU VWDWXV FKDQJH LQ UHDO WLPH DV DSSOLFDEOH7KH VWDWLVWLFDO LQIRUPDWLRQ LV SURYLGHG DV VWDWLVWLFDO ¿OH IRUPDW LQ XQLW RI %, DQG WKHFROOHFWLRQ SHULRG FDQ EH VSHFL¿HG DV RQH RI   DQG  PLQXWHV7KH 2$0 VLJQDO ÀRZ LV DV VKRZQ LQ WKH ¿JXUH EHORZ)LJXUH  2SHUDWLRQ DQG 0DLQWHQDQFH 6LJQDO )ORZ ࿢6$0681* (OHFWURQLFV &R /WG
0RELOH :L0$; 5$6 63,& 6\VWHP 'HVFULSWLRQFKDSWHU 81 *0 *0 ,QWURGXFWLRQ7KH 63,& VXSSRUWV WKH ,(((  SURWRFRO ZKLFK FDQ WUDQVPLW WKH EDFNKDXO GDWD DQGWKH V\QFKURQL]DWLRQUHODWHG LQIRUPDWLRQ VLPXOWDQHRXVO\ WKURXJK DQ (WKHUQHW FRSSHU OLQH$V WKH  PDVWHU XQLW RI ,(((  SURWRFRO WKH *0 JHQHUDWHV WKH  SDFNHW E\UHFHLYLQJ V\QFKURQL]DWLRQ DQG WKH 72' LQIRUPDWLRQ IURP *36 WKURXJK DQ LQWHUQDO *36UHFHLYHU 7KLV SDFNHW LV WUDQVIHUUHG WKURXJK WKH SDFNHW QHWZRUN WR WKH  VODYH XQLW ZLWKLQWKH 63,& $QG DW WKLV WLPH WKH *0 VHQGVUHFHLYHV WKH  SDFNHW ZLWK WKH  VODYHXQLW ZLWKLQ WKH 63,& XVLQJ WKH ,(((  SURWRFRO DQG %$6(7 7KHQ WKH VODYH XQLW V\QFKURQL]HV ZLWK WKH *0 V\VWHP XVLQJ WKH LQIRUPDWLRQ FRQWDLQHG LQ WKH SDFNHWV UHFHLYHG IURP WKH *0 DQG WKHQ RXWSXWV WKH 72' LQIRUPDWLRQ)RU UHPRWH FRQWURO RI WKH *0 LWV &38 FDQ EH DFFHVVHG IURP WKH RXWVLGH)RU UHOLDEOH RSHUDWLRQ RI WKH 63,& WKH *0 LV LQ D UHGXQGDQF\ VWUXFWXUH )RU WKH*0 D VLQJOH 7*&8 LV FRPSRVHG RI D 7R3 *UDQGPDVWHU &ORFN $VVHPEO\ 7*&$ D 7R3*UDQGPDVWHU 3RZHU 8QLW 7*38 DQG D IDQ 7KH FRQ¿JXUDWLRQ DQG LQWHUQDO VWUXFWXUH RI *0WKDW LV HTXLSSHG ZLWK WKH UHGXQGDQW VWUXFWXUH RI WZR LGHQWLFDO V\VWHPV 7*&8 LV DV IROORZV)LJXUH  6\VWHP &RQ¿JXUDWLRQ RI WKH *0 6$0681* (OHFWURQLFV &R /WG &+$37(5  *0)LJXUH  ,QWHUQDO 6WUXFWXUH RI WKH *0%RDUG 4XDQWLW\ 'HVFULSWLRQ7*&$  ± 5HFHLYHV V\QFKURQL]DWLRQ VLJQDO WKURXJK D *36 UHFHLYHU± ([WUDFWV WKH 336 72' DQG  0+] VLJQDOV IURP WKH UHFHLYHG VLJQDOV± *HQHUDWHV  SDFNHWV XVLQJ WKH 336 DQG 72'± 7UDQVPLWV WKH  SDFNHWV WR WKH  VODYH XQLW ZLWKLQ WKH 63,&YLD WKH SDFNHW QHWZRUN± 6HQGVUHFHLYHV WKH  SDFNHWV ZLWK WKH  VODYH XQLW± 6XSSOLHV WKH  0+] DQG 336 VLJQDOV WR H[WHUQDO HTXLSPHQW7*38  &RQYHUWV LQSXWWHG SRZHU $& ± 9 LQWR '&  9 WR VXSSO\ SRZHUZLWKLQ WKH ERDUG ࿢6$0681* (OHFWURQLFV &R /WG
0RELOH :L0$; 5$6 63,& 6\VWHP 'HVFULSWLRQ(G *0 6SHFL¿FDWLRQV'LPHQVLRQV DQG :HLJKW7KH WDEOH EHORZ OLVWV WKH GLPHQVLRQV DQG ZHLJKW RI WKH *0&DWHJRU\ 6SHFL¿FDWLRQ'LPHQVLRQV PP  : î  ' î  +:HLJKW NJ (QYLURQPHQWDO $ODUPV7KH WDEOH EHORZ OLVWV WKH HQYLURQPHQWDO DODUPV SURYLGHG E\ WKH *0 E\ GHIDXOW&DWHJRU\ 'HVFULSWLRQ7HPSHUDWXUH $ODUP +LJK 7HPSHUDWXUH)DQ )DLO $ODUP )DQ )DLO*365 6SHFL¿FDWLRQV7KH WDEOH EHORZ OLVWV WKH FKDUDFWHULVWLFV RI WKH *36 5HFHLYHU *365 WKDW LV XVHG WR UHFHLYH*36 VLJQDOV&DWHJRU\ 'HVFULSWLRQ2XWSXW IURP *365 336 72' 'LJLWDO  0+])UHTXHQF\ $FFXUDF\   SSP7LPH $FFXUDF\   ȝV+ROGRYHU 7LPH  +RXUV$PELHQFH%HORZ DUH WKH DPELHQFH VSHFL¿FDWLRQV VXFK DV WHPSHUDWXUH DQG KXPLGLW\ HWF DQG WKH UHODWHGVSHFL¿FDWLRQV IRU RSHUDWLRQ RI WKH *0&DWHJRU\ 6SHFL¿FDWLRQ7HPSHUDWXUH D a& a)+XPLGLW\ D a+RZHYHU WKH PRLVWXUH FRQWDLQHG LQ  NJ RI DLU VKRXOG QRW H[FHHG NJ$OWLWXGH ±a P a IW9LEUDWLRQ *5&25( 6HF(DUWKTXDNH2I¿FH 9LEUDWLRQ7UDQVSRUWDWLRQ 9LEUDWLRQ 6$0681* (OHFWURQLFV &R /WG &+$37(5  *0&DWHJRU\ 6SHFL¿FDWLRQ1RLVH VRXQG SUHVVXUH OHYHO  G%$ RU EHORZ DW D GLVWDQFH WKDW LV  P DZD\ IURP WKH V\VWHPVXUIDFH IURQWEDFNULJKWOHIW DQG DW  P DERYH WKH JURXQG(OHFWURPDJQHWLF,QWHUIHUHQFH(0,)&& 7LWOH 3DUW  &ODVV %*5&25( 6HF  (PLVVLRQ &ULWHULDD 7HPSHUDWXUH DQG KXPLGLW\ DUH PHDVXUHG DW D SRVLWLRQ RI  P  LQ IURP WKH ÀRRU DQG PP  LQ IURP WKH IURQW RI WKH HTXLSPHQW3RZHU 6XSSO\7KH WDEOH EHORZ OLVWV WKH SRZHU VSHFL¿FDWLRQV RI WKH *0 7KH *0 PHHWV WKH 8/HOHFWULFDO VDIHW\ UHTXLUHPHQWV&DWHJRU\ 'HVFULSWLRQ6\VWHP LQSXW YROWDJH $& a9 ࿢6$0681* (OHFWURQLFV &R /WG
0RELOH :L0$; 5$6 63,& 6\VWHP 'HVFULSWLRQ(G ([WHUQDO ,QWHUIDFH 6WUXFWXUH RI *07KH IROORZLQJ DUH WKH H[WHUQDO SRUW SRVLWLRQLQJ DQG H[WHUQDO LQWHUIDFH VWUXFWXUH RI WKH *0)LJXUH  *0 3RUW 3RVLWLRQLQJ)LJXUH  *0 ([WHUQDO ,QWHUIDFHV&RQQHFWRU&DWHJRU\ ,QWHUIDFH1XPEHURI 3RUWV &RQQHFWRU 'HVFULSWLRQ*36$QWHQQD$QDORJ 5)  60$ &RQQHFWHG WR WKH *36 DQWHQQD WRUHFHLYH WKH V\QFKURQL]LQJ VLJQDO5HIHUHQFHFORFN/977/  60$ 6XSSOLHV  0+] UHIHUHQFH FORFNVLJQDOV WR H[WHUQDO HTXLSPHQW 336 /977/  60$ 6XSSOLHV  336 VLJQDOV WR H[WHUQDOHTXLSPHQW0DQDJHPHQW %$6(7  5- &RQQHFWHG WR WKH :60 DQWHQQD WRVHQG DQG UHFHLYH *0 PDLQWHQDQFHVLJQDOV8&&0'HEXJJLQJ%$6(7  86% 8&&0 'HEXJJLQJ&38'HEXJJLQJ%$6(7  86% &38 'HEXJJLQJ 3DFNHW %$6(7  5- &RQQHFWHG WR WKH  VODYH XQLWWR VHQG DQG UHFHLYH  SDFNHWV$& 3RZHU,QSXW$& 3RZHU  $& SRZHUFRQQHFWRU&RQQHFWHG WR DQ H[WHUQDO SRZHUVRXUFH WR VXSSO\ SRZHU WR WKHV\VWHP 6$0681* (OHFWURQLFV &R /WG &+$37(5  *0/('/(' 6WDWXV 'HVFULSWLRQ*UHHQ 2Q 1RUPDO  $FWLYH5HG 2Q &ULWLFDO $ODUP  $FWLYH2UDQJH 2Q 0DMRU0LQRU $ODUP  $FWLYH*UHHQ 2Q ± /RDGLQJ ZDV FRPSOHWHG DW SRZHURQ  PV 2Q PV2II± 1RUPDO  ,QDFWLYHV 2QV 2II5HG %OLQNLQJ &ULWLFDO $ODUP  ,QDFWLYH6WDWXV2UDQJH %OLQNLQJ ± /RDGLQJ LV LQ SURJUHVV DW SRZHURQ  PV 2Q PV2II± 0DMRU0LQRU $ODUP  ,QDFWLYHV 2QV 2II*UHHQ 2Q 3HHUWRSHHU OLQN FRQQHFWLRQ LV QRUPDO*UHHQ 2II 3HHUWRSHHU OLQN FRQQHFWLRQ LV DEQRUPDO<HOORZ %OLQNLQJ :KHQ WKHUH LV GDWD WUDQVPLWWHG/,1.<HOORZ 2II :KHQ WKHUH LV QR GDWD WUDQVPLWWHG*UHHQ 2Q 3RZHU 2Q3:5/(' 2II 3RZHU 2II6ZLWFK7KLV VZLWFK LV IRU SRZHU RQRII ࿢6$0681* (OHFWURQLFV &R /WG
0RELOH :L0$; 5$6 63,& 6\VWHP 'HVFULSWLRQ$%%5(9,$7,21$$$$ $XWKHQWLFDWLRQ $XWKRUL]DWLRQ DQG $FFRXQWLQJ$& $GPLVVLRQ &RQWURO$&5 $FFHVV &RQWURO 5RXWHU$'& $QDORJ WR 'LJLWDO &RQYHUVLRQ$*& $XWRPDWLF *DLQ &RQWURO$0& $GDSWLYH 0RGXODWLRQ DQG &RGLQJ$3, $SSOLFDWLRQ 3URJUDPPLQJ ,QWHUIDFH$54 $XWRPDWLF 5HSHDW UHTXHVW$61 $FFHVV 6HUYLFH 1HWZRUN%%, %XFNHW ,QWHUYDO%3 %RDUG 3URFHVVRU&&& &DOO &RQWURO&,' &RQQHFWLRQ ,GHQWL¿HU&/,0 &RPPDQG /LQH ,QWHUIDFH 0DQDJHPHQW&//, &RPPRQ /DQJXDJH /RFDWLRQ ,GHQWL¿HU&0,3 &OLHQW 0RELOH ,3&R6 &ODVV RI 6HUYLFH&61 &RQQHFWLYLW\ 6HUYLFH 1HWZRUN&7& &RQYROXWLRQDO 7XUER &RGH''$0 'LDPHWHU $$$ 0DQDJHPHQW'&' 'RZQOLQN &KDQQHO 'HVFULSWRU'' 'HYLFH 'ULYHU'+&3 '\QDPLF +RVW &RQ¿JXUDWLRQ 3URWRFRO'/ 'RZQOLQN'/0$3 'RZQOLQN0$3'67 'D\OLJKW 6DYLQJ 7LPH 6$0681* (OHFWURQLFV &R /WG ,$%%5(9,$7,21((2 (OHFWULFDO WR 2SWLF($3 ([WHQVLEOH $XWKHQWLFDWLRQ 3URWRFRO(0, (OHFWUR0DJQHWLF ,QWHUIHUHQFH(0, (06 ,QWHUIDFH(06 (OHPHQW 0DQDJHPHQW 6\VWHP))$ )RUHLJQ $JHQW)$ )UHTXHQF\ $OORFDWLRQ)( )DVW (WKHUQHW)(& )RUZDUG (UURU &RUUHFWLRQ))7 )DVW )RXULHU 7UDQVIRUP)53 )UHTXHQF\ 5HXVH 3DWWHUQ**( *LJDELW (WKHUQHW*0 *UDQG 0DVWHU*36 *OREDO 3RVLWLRQLQJ 6\VWHP*365 *36 5HFHLYHU*5( *HQHULF 5RXWLQJ (QFU\SWLRQ*6&0 *36 6ODYH &ORFN 0H]]DQLQH ERDUG DVVHPEO\*8, *UDSKLFDO 8VHU ,QWHUIDFH++$ +RPH $JHQW+$54 +\EULG$XWRPDWLF 5HSHDW UHTXHVW+2 +DQGRYHU+773V +\SHUWH[W 7UDQVIHU 3URWRFRO RYHU 66/,,((( ,QVWLWXWH RI (OHFWULFDO DQG (OHFWURQLFV (QJLQHHUV,0,6+ ,QWHJUDWHG 0DQDJHPHQW ,QWHUIDFH 6KHOO,3 ,QWHUQHW 3URWRFRO,356 ,3 5RXWLQJ 6RIWZDUH,6 ,PDJH 6HUYHU//)$ 85$6 /LJKW VHULHV  )RXUSDWK PDLQ ERDUG $VVHPEO\,, ࿢6$0681* (OHFWURQLFV &R /WG
0RELOH :L0$; 5$6 63,& 6\VWHP 'HVFULSWLRQ(G00$& 0HGLXP $FFHVV &RQWURO0,02 0XOWLSOH ,QSXW 0XOWLSOH 2XWSXW0,3 0RELOH ,30/333 0XOWL /LQN 3RLQW WR 3RLQW 3URWRFRO06 0RELOH 6WDWLRQ0: 0LGGOHZDUH11( 1HWZRUN (OHPHQW13 1HWZRUN 3URFHVVRU136 1HWZRUN 3URFHVVRU 6RIWZDUH1:* 1HWZRUN :RUNLQJ *URXS22$*6 &RPPRQ 6103 $JHQW 6XEDJHQW2$0 2SHUDWLRQ $QG 0DLQWHQDQFH2&0 &RPPRQ &RQ¿JXUDWLRQ 0DQDJHPHQW2(5 &RPPRQ (YHQW 5RXWHU2(9 &RPPRQ (YHQW 9LHZHU2)'0$ 2UWKRJRQDO )UHTXHQF\ 'LYLVLRQ 0XOWLSOH $FFHVV230 &RPPRQ 3HUIRUPDQFH 0DQDJHPHQW26 2SHUDWLQJ 6\VWHP2660 &RPPRQ 6XEVFULSWLRQ 6HUYLFH 0DQDJHPHQW33%$ 3DQHO %RDUG $VVHPEO\3&% 3ULQWHG &LUFXLW %RDUG3&5) 3ROLF\  &KDUJLQJ 5XOHV )XQFWLRQ3' 3RZHUHG 'HYLFH3'8 3URWRFRO 'DWD 8QLW3) 3URSRUWLRQDO )DLU3*,' 3DJLQJ &\FOH 3DJLQJ 2IIVHW3+< 3K\VLFDO /D\HU3/' 3URJUDPPDEOH /RDGLQJ 'DWD30,3 3UR[\ 0RELOH ,33R( 3RZHU RYHU (WKHUQHW336 3XOVH 3HU  6HFRQGV333 3RLQW WR 3RLQW 3URWRFRO36( 3RZHU 6RXUFLQJ (TXLSPHQW 6$0681* (OHFWURQLFV &R /WG ,,,$%%5(9,$7,2144$0 4XDGUDWXUH $PSOL¿HU 0RGXODWLRQ4&6 4XLFN &RQQHFWLRQ 6HWXS4R6 4XDOLW\ RI 6HUYLFH55$6 5DGLR $FFHVV 6WDWLRQ5'0 5$6 'LDJQRVLV 0DQDJHPHQW5),& 5DGLR )UHTXHQF\ ,QWHJUDWHG &LUFXLW5)6 5RRW )LOH 6\VWHP52+& 5REXVW +HDGHU &RPSUHVVLRQ55& 5$6 5HVRXUFH &RQWUROOHU56 5HJLVWUDWLRQ 6HUYHU56& 5$6 6HUYLFH &RQWUROOHU566, 5HFHLYHG 6LJQDO 6WUHQJWK ,QGLFDWRU57& 5$6 7UDI¿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¿QHG $ODUP,9 ࿢6$0681* (OHFWURQLFV &R /WG
0RELOH :L0$; 5$6 63,& 6\VWHP 'HVFULSWLRQ(G8'( 8VHU 'H¿QH (WKHUQHW8'3 8VHU 'DWDJUDP 3URWRFRO8/ 8SOLQN8/&% 85$6 /LJKW VHULHV &ORFN %RDUG8/0$3 8SOLQN0$38/0 8QLYHUVDO /RDGLQJ 0DQDJHPHQW99/$1 9LUWXDO /RFDO $UHD 1HWZRUN::HE(07 :HEEDVHG (OHPHQW 0DLQWHQDQFH 7HUPLQDO:/$1 :LUHOHVV /RFDO $UHD 1HWZRUN:60 0RELOH :L0$; 6\VWHP 0DQDJHU 6$0681* (OHFWURQLFV &R /WG 9$%%5(9,$7,217KLV SDJH LV LQWHQWLRQDOO\ OHIW EODQN9, ࿢6$0681* (OHFWURQLFV &R /WG
0RELOH :L0$; 5$6 63,&6\VWHP 'HVFULSWLRQ 6$0681* (OHFWURQLFV &R /7'$OO ULJKWV UHVHUYHG,QIRUPDWLRQ LQ WKLV PDQXDO LV SURSULHWDU\ WR 6$0681* (OHFWURQLFV&R /WG1R LQIRUPDWLRQ FRQWDLQHG KHUH PD\ EH FRSLHG WUDQVODWHGWUDQVFULEHG RU GXSOLFDWHG E\ DQ\ IRUP ZLWKRXW WKH SULRU ZULWWHQFRQVHQW RI 6$0681*,QIRUPDWLRQ LQ WKLV PDQXDO LV VXEMHFW WR FKDQJH ZLWKRXW QRWLFHٻٻٻMPE Information གྷ SAMSUNG Electronics Co., Ltd. ٻٻٻWarning: Exposure to Radio Frequency Radiation The radiated output power of this device is far below the FCC radio frequency exposure limits. Nevertheless, the device should be used in such a manner that the potential for human contact during normal operation is minimized. In order to avoid the possibility of exceeding the FCC radio frequency exposure limits, human proximity to the antenna should not be less than 25cm during normal operation. The gain of the antenna is 12 dBi.   The antenna(s) used for this transmitter must not be co-located or operating in conjunction with any other antenna or transmitter. ٻ

Navigation menu