DOWNLOAD PDF Kawasaki 6HK1 ISUZU DIESEL ENGINE Wheel Loader 85Z7 PN 93211-00560

Page 1

6HK1 (85Z7)

93211-00560

SHOP MANUAL General Information Troubleshooting Information

Printed in Japan (K) ( アメリカ用 )

93211-00560

©2011 KCM Corporation. All rights reserved.

October 2011

SHOP MANUAL ISUZU DIESEL ENGINE

6HK1 General Information Troubleshooting Information

(For Kawasaki Wheel Loader 85Z7) Serial No. 85J1-5001 and up


93211-00560 October 2011

Foreword This manual contains the following information for servicing the ISUZU DIESEL ENGINE 6HK1; Interim Tier 4 compatible engine installed on the Kawasaki 85Z7 Wheel Loader. General Information - Service Information - Maintenance Information Troubleshooting Information - Symptom - DTC Information - Engine Control

To ensure good machine performance, reduce failures or problems, and prolong the service life of each component, it is necessary to operate the machine as is directed in the Operator and Maintenance Manual. The purpose of this manual is to provide information on the product and the correct maintenance and repair methods. To effectively diagnose and repair the machine, it is important to follow the guidelines laid out in this Shop Manual. Please read this manual to ensure correct troubleshooting and good repair service. Refer to the ISUZU DIESEL ENGINE 6HK1 Shop Manual (93211-00570) for the removal, installation, disassembly and assembly procedures of this engine. This manual was reproduced with permission from ISUZU MOTORS LIMITED.


MEMO


,QWURGXFWLRQ $OO

,QWURGXFWLRQ ,QWURGXFWLRQ $OO 7DEOH RI &RQWHQWV ,QWURGXFWLRQ 6DIHW\ ,QIRUPDWLRQ


,QWURGXFWLRQ $OO

,QWURGXFWLRQ 6DIHW\ ,QIRUPDWLRQ

5HSDLU ZRUN 6DIHW\ ,QIRUPDWLRQ

8VH DQ HQJLQH VWDQG ZKHQ GHPRXQWLQJ WKH HQJLQH IURP WKH HTXLSPHQW %H VXUH QRW WR SODFH WKH HQJLQH GLUHFWO\ RQ WKH JURXQG RU DOORZ WKH RLO SDQ WR FRPH LQWR FRQWDFW ZLWK WKH JURXQG

:KHQ SHUIRUPLQJ D SURFHGXUH ZLWK WZR RU PRUH SHRSOH PDNH VXUH WR HQVXUH HDFK RWKHU V VDIHW\

:KHQ UHSDLULQJ WKH HOHFWULFDO V\VWHP PDNH VXUH WR GLVFRQQHFW WKH FDEOH IURP WKH QHJDWLYH EDWWHU\ WHUPLQDO EHIRUH ZRUNLQJ .HHS ILUH DZD\ ZKHQ UHPRYLQJ WKH EDWWHU\ FRYHU

'R QRW OHDYH WKH HQJLQH UXQQLQJ IRU DQ H[WHQGHG SHULRG RI WLPH RU SHUIRUP SDLQWLQJ LQ D SRRUO\ YHQWLODWHG ZRUNLQJ HQYLURQPHQW

0DNH VXUH WR XVH RQO\ WKH VSHFLDO WRROV LI WKH SURFHGXUH UHTXLUHV WKHP IRU WKH ZRUN 3HUIRUPLQJ WKH SURFHGXUH XVLQJ RWKHU WRROV PD\ FDXVH GDPDJH WR SDUWV RU SHUVRQDO LQMXU\

,QVSHFW WKH WRROV LQVWUXPHQWV DQG VSHFLDO WRROV UHJXODUO\ DQG SUHSDUH WKHP EHIRUH ZRUNLQJ 'R QRW XVH WRROV VXFK DV D ZUHQFK WKDW KDV ORVW LWV HGJHV D KDPPHU ZLWK IUD\HG HGJHV RU D FKLSSHG FKLVHO

:KHQ SHUIRUPLQJ ZRUN XVLQJ D GHYLFH VXFK DV D JULQGHU FUDQH RU ZHOGHU PDNH VXUH WR SD\ VXIILFLHQW DWWHQWLRQ WR WKH KDQGOLQJ SUHFDXWLRQV :HDU ZRUN FORWKHV DQG VDIHW\ HTXLSPHQWV LQ WKH RWKHU RSHUDWLRQV DV ZHOO

%H VXUH WR FKHFN WKDW WKHUH LV QR IXHO OHDNV ZKHQ SHUIRUPLQJ PDLQWHQDQFH RQ IXHO V\VWHPV

:KHQ KDQGOLQJ YRODWLOH PDWHULDOV EH H[WUHPHO\ FDUHIXO WR QRW OHW WKHP FDWFK ILUH $OVR PDNH VXUH WR ZLSH DZD\ DQ\ RLO WKDW VWLFNV WR UXEEHU SDUWV DV LW FDQ FDXVH GHWHULRUDWLRQ 5HSODFHPHQW SDUWV DQG SDUWV QXPEHU 6DIHW\ ,QIRUPDWLRQ

:KHQHYHU GLVDVVHPEO\ LV SHUIRUPHG PDNH VXUH WR UHSODFH WKH SDFNLQJ RLO VHDOV 2 ULQJV FULPSLQJ ORFN QXWV EHQGLQJ ORFN SODWH DQG VSOLW SLQV HWF ZLWK QHZ RQHV

6LQFH WKH SDUW QXPEHUV LQGLFDWHG LQ WKLV PDQXDO PD\ GLIIHU IURP WKH VXSSO\ V\VWHP DQG DUH VXEMHFW WR FKDQJH PDNH VXUH WR FKHFN WKH VXSSO\ V\VWHP DQG SDUW QXPEHUV LQ WKH SDUWV FDWDORJ


6HUYLFH ,QIRUPDWLRQ *XLGH $OO $

'HVFULSWLRQ *HQHUDO ,QIRUPDWLRQ 6HUYLFH ,QIRUPDWLRQ *XLGH $OO 7DEOH RI &RQWHQWV &RQWHQWV LQFOXGHG LQ VHUYLFH LQIRUPDWLRQ $ 3ODVWLF JDXJH $ 5HFRPPHQGHG OLTXLG JDVNHW $ 7KUHDG ORFNLQJ DGKHVLYH DJHQW $ 7HUP $ $EEUHYLDWLRQV $ 6WDQGDUG EROWV $


$ 6HUYLFH ,QIRUPDWLRQ *XLGH $OO

&RQWHQWV LQFOXGHG LQ VHUYLFH LQIRUPDWLRQ

&RQWHQWV LQFOXGHG LQ VHUYLFH LQIRUPDWLRQ

3UHFDXWLRQV ,QFOXGHV WKH FRQWHQW VSHFLILF PDLQWHQDQFH SUHFDXWLRQV

5HPRYDO ,QFOXGHV WKH UHPRYDO SURFHGXUH IRU UHSDLULQJ SDUWV DQG GHYLFHV HWF

'LVFRQQHFWLRQ ,QFOXGHV WKH GLVFRQQHFWLRQ PHWKRG IRU ZLULQJV DQG SLSLQJV

,QVWDOODWLRQ ,QFOXGHV WKH LQVWDOODWLRQ SURFHGXUH IRU UHSDLULQJ SDUWV DQG GHYLFHV HWF

&RQQHFWLRQ ,QFOXGHV WKH FRQQHFWLRQ PHWKRG IRU ZLULQJV DQG SLSLQJV

'LVDVVHPEO\ ,QFOXGHV WKH GLVDVVHPEO\ SURFHGXUH IRU SHUIRUPLQJ DQ RYHUKDXO RI D XQLW RU DVVHPEO\ SDUW HWF

6HWWLQJ ,QFOXGHV WKH VHWWLQJ PHWKRG LI QHFHVVDU\ ZKHQ UHSODFLQJ WKH (&0 HWF

$VVHPEO\ ,QFOXGHV WKH DVVHPEO\ SURFHGXUH IRU SHUIRUPLQJ DQ RYHUKDXO RI D XQLW RU DVVHPEO\ SDUW HWF

5HSODFHPHQW ,QFOXGHV WKH UHSODFHPHQW PHWKRG IRU SDUWV RLO JUHDVH HWF

,QVSHFWLRQ ,QFOXGHV WKH LQVSHFWLRQ LWHPV IRU WKH SDUWV WKDW SDUWLFXODUO\ UHTXLUH LQVSHFWLRQ WR HQVXUH WKH SHUIRUPDQFH RI SDUWV RU GHYLFHV HWF ,QFOXGHV WKH VWDQGDUG YDOXHV VHW YDOXHV DQG OLPLWV IRU XVH RI SDUWV LI WKH\ KDYH WKHVH VSHFLILFDWLRQV VHW

'7& SULRULW\ ,QFOXGHV WKH '7& SULRULW\ DFFRUGLQJ WR HDFK FRGH 'LDJQRVLV ,QFOXGHV WKH GLDJQRVWLF SURFHGXUH IRU FKHFNLQJ WKH FDXVH RI WKH V\PSWRP '7&V DUH OLVWHG LQ RUGHU RI SULRULW\ &KHFNLQJ WR VHH LI WKH V\PSWRP KDV EHHQ UHVROYHG ,QFOXGHV WKH GLDJQRVWLF SURFHGXUH IRU ZKHQ LW LV QHFHVVDU\ WR FKHFN ZKHWKHU WKH V\PSWRP LV UHVROYHG E\ D PHWKRG RWKHU WKDQ FKHFNLQJ LI WKH '7& KDV EHHQ FOHDUHG VXFK DV FKHFNLQJ QXPHULFDO YDOXHV HWF

&OHDQLQJ ,QFOXGHV WKH FOHDQLQJ SURFHGXUH IRU SDUWV DQG GHYLFHV HWF 3UHSDUDWLRQ ,QFOXGHV WKH QHFHVVDU\ SUHSDUDWLRQV EHIRUH UHPRYLQJ SDUWV DQG GHYLFHV HWF

'HVFULSWLRQ RI WKH IXQFWLRQ ,QFOXGHV GHWDLOHG LQIRUPDWLRQ RQ IXQFWLRQV IRU IXQFWLRQ LQVSHFWLRQ

$GMXVWPHQW ,QFOXGHV WKH DGMXVWPHQW PHWKRG ZKHQ DGMXVWPHQWV WR VHW YDOXHV RU VWDQGDUG YDOXHV KDYH WR EH PDGH ZKHQ SHUIRUPLQJ DVVHPEO\ RU LQVWDOODWLRQ

'HVFULSWLRQ RI WKH V\PSWRP ,QFOXGHV GHWDLOHG LQIRUPDWLRQ RQ V\PSWRPV IRU GLDJQRVLV DFFRUGLQJ WR V\PSWRPV

0HDVXUHPHQW ,QFOXGHV WKH PHDVXULQJ PHWKRG ZKHQ FKHFNLQJ LI SDUWV DUH LQVWDOOHG DW WKH SURSHU ORFDWLRQV HWF

'7& GHVFULSWLRQࠉ,QFOXGHV FLUFXLW GHVFULSWLRQ IRU '7&

'LVFKDUJH ,QFOXGHV WKH GLVFKDUJLQJ PHWKRG IRU RLO JUHDVH HWF

6HWWLQJ FRQGLWLRQ ,QFOXGHV LQIRUPDWLRQ IRU '7& VHWWLQJ FRQGLWLRQV

6XSSO\ ,QFOXGHV WKH DGGLQJ PHWKRG IRU RLO JUHDVH HWF

$FWLRQ WDNHQ ZKHQ '7& LV VHW ,QFOXGHV LQIRUPDWLRQ RQ WKH FRQWUROOLQJ RSHUDWLRQ WDNHQ E\ (&8 HWF ZKHQ '7& LV VHW

$LU UHPRYDO ,QFOXGHV WKH DLU UHPRYDO PHWKRG LI QHFHVVDU\ ZKHQ UHSODFLQJ RLO JUHDVH HWF ,QVFULSWLRQ ,QFOXGHV WKH LQVFULSWLRQ PHWKRG LI QHFHVVDU\ ZKHQ UHSODFLQJ WKH (&0 RU VXSSO\ SXPS

&RQWHQWV UHJDUGLQJ (70 &RQWHQWV UHJDUGLQJ (70 LV LQFOXGHG LQ ³8VLQJ WKH ZLULQJ GLDJUDP´

$UURZV DQG V\PEROV


6HUYLFH ,QIRUPDWLRQ *XLGH $OO $

9HKLFOH IURQW 8SSHU 2SHUDWLQJ VHFWLRQ RU RSHUDWLQJ GLUHFWLRQ 'HWDLO RQ D VHFWLRQ 'HWDLOHG YLHZ IURP WKH GLUHFWLRQ RI $ $UURZ LQGLFDWHV PHDVXUHPHQW $UURZ LQGLFDWHV FURVV VHFWLRQ 2XWVLGH DLU RU FROG DLU

*DV RU ZDUP DLU 0L[LQJ RI RXWVLGH DLU DQG JDV RU FROG DLU DQG ZDUP DLU 5RWDWLRQ GLUHFWLRQ 2LO IHHGLQJ /XEULFDWLRQ $SSOLFDWLRQ DUHD RI OLTXLG JDVNHW


$ 6HUYLFH ,QIRUPDWLRQ *XLGH $OO

3ODVWLF JDXJH

8VLQJ WKH SODVWL JDXJH 7\SH 3*࣭ *UHHQ 35࣭ 5HG 3%࣭ %OXH

0HDVXUDEOH UDQJH 㸸 WR PP ^ WR LQ ` 㸸 WR PP ^ WR LQ ` 㸸 WR PP ^ WR LQ `

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㸸 ࣭ 1HYHU PRYH WKH FRQQHFWLQJ URG ZKHQ WKH SODVWLF JDXJH LV LQ XVH *HQWO\ UHPRYH WKH FDS DQG FRQQHFWLQJ URG DQG XVH D VFDOH SULQWHG RQ WKH SDFNDJLQJ RI WKH SODVWLF JDXJH WR PHDVXUH WKH IODWWHQHG SODVWLF JDXJH

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㸸 ࣭ 1HYHU PRYH WKH FRQQHFWLQJ URG ZKHQ WKH SODVWLF JDXJH LV LQ XVH *HQWO\ UHPRYH WKH FUDQNFDVH DQG XVH D VFDOH SULQWHG RQ WKH SDFNDJLQJ RI WKH SODVWLF JDXJH WR PHDVXUH WKH IODWWHQHG SODVWLF JDXJH


6HUYLFH ,QIRUPDWLRQ *XLGH $OO $


$ 6HUYLFH ,QIRUPDWLRQ *XLGH $OO

5HFRPPHQGHG OLTXLG JDVNHW

8VLQJ WKH WKUHDG OLTXLG JDVNHW 7\SH

3URGXFW QDPH

6LOLFRQ W\SH URRP WHPSHUDWXUH YXOFDQL]DWLRQ SURFHVV :DWHU±VROXEOH

7KUHH%RQG % 7KUHH%RQG & 7KUHH%RQG 7KUHH%RQG 7KUHH%RQG 7KUHH%RQG 7KUHH%RQG /RFWLWH /RFWLWH )0' /RFWLWH /RFWLWH

6ROYHQW W\SH

$QDHURELF

0DQXIDFWXUHU QDPH 7KUHH%RQG 7KUHH%RQG 7KUHH%RQG 7KUHH%RQG 7KUHH%RQG 7KUHH%RQG 7KUHH%RQG /RFWLWH /RFWLWH /RFWLWH /RFWLWH /RFWLWH

&DXWLRQ㸸 ࣭ 0DNH VXUH WR XVH D OLTXLG JDVNHW ZLWK WKH DERYH SURGXFW QDPH RU HTXLYDOHQW ࣭ 8VH DQ DSSURSULDWH DPRXQW RI OLTXLG JDVNHW ࣭ )ROORZ WKH KDQGOLQJ SUHFDXWLRQV IRU WKH SURGXFW ࣭ 'R QRW XVH /RFWLWH RU )0' /RFWLWH DV WKH\ DUH DQDHURELF DQG GR QRW SURYLGH VXIILFLHQW HIIHFW ZKHQ WKHUH LV D JDS ODUJHU WKDQ PP ^ LQ` EHWZHHQ WKH FRQWDFW VXUIDFHV RI PHWDOV :KHQHYHU GLVDVVHPEOLQJ FRPSOHWHO\ UHPRYH ROG OLTXLG JDVNHW XVLQJ D VFUDSHU DQG FOHDQ E\ UHPRYLQJ DQ\ RLO PRLVWXUH ILOWK HWF IURP WKH ORFDWLRQV RI SDUWV DQG WKH PDWLQJ SDUWV ZKHUH OLTXLG JDVNHW ZDV XVHG E\ XVLQJ D UDJ HWF $IWHU FOHDQLQJ DSSO\ WKH VSHFLILHG OLTXLG JDVNHW WR HDFK ORFDWLRQ DQG DVVHPEOH WKHP 1RWH㸸 ࣭ ,W LV EHWWHU WR VWDUW WKH UHPRYDO RSHUDWLRQ DSSUR[LPDWHO\ PLQXWHV DIWHU DSSO\LQJ ZKHQ XVLQJ JDVNHW UHPRYHU WR PDNH WKH RSHUDWLRQ HDVLHU ZKLOH FOHDQLQJ &DXWLRQ㸸 ࣭ 'R QRW DSSO\ JDVNHW UHPRYHU WR SODVWLF SDUWV DQG SDLQWHG SDUWV $SSO\ OLTXLG JDVNHW RI WKH VSHFLILHG EHDG ZLGWK WR RQH VLGH RI WKH FRQWDFW VXUIDFH WKRURXJKO\

$UHD XVHG UHIHUHQFH (QJLQH RLO VHDO UHWDLQHU HQJLQH RLO SDQ WLPLQJ JHDU FDVH F\OLQGHU KHDG FRYHU IXHO SXPS ZDWHU SXPS HWF (QJLQH RLO VHDO UHWDLQHU ZDWHU SXPS SOXJ HWF

&DXWLRQ㸸 ࣭ %H FDUHIXO WR DSSO\ D SURSHU DPRXQW RI WKH OLTXLG JDVNHW WR DYRLG DQ H[FHVV RU ODFN LQ DSSOLFDWLRQ ࣭ %H VXUH WR RYHUODS WKH EHJLQQLQJ DQG HQGLQJ RI WKH OLTXLG JDVNHW DSSOLFDWLRQ ࣭ %H FDUHIXO QRW WR PLVDOLJQ WKH DSSOLHG SDUW ZLWK WKH PDWLQJ SDUW ZKHQ DVVHPEOLQJ 1RWH㸸 ࣭ :KHQ WKHUH LV D PLVDOLJQPHQW DSSO\ DJDLQ ࣭ 8VH WKH VDPH VL]H VWXGV DV D JXLGH ZKHQ XVLQJ ZLWK D VHFWLRQ ZKLFK KDV QR SRVLWLRQLQJ VXFK DV D NQRFN SLQ &DXWLRQ㸸 ࣭ $IWHU DSSO\LQJ WKH OLTXLG JDVNHW DVVHPEOH ZLWKLQ PLQXWHV 1RWH㸸 ࣭ :KHQ PRUH WKDQ PLQXWHV KDYH SDVVHG DIWHU DSSO\LQJ OLTXLG JDVNHW UHPRYH WKH OLTXLG JDVNHW DQG DSSO\ LW DJDLQ &DXWLRQ㸸 ࣭ :DLW DW OHDVW PLQXWHV EHIRUH VWDUWLQJ WKH HQJLQH DIWHU DVVHPEOLQJ HDFK SDUW


6HUYLFH ,QIRUPDWLRQ *XLGH $OO $

&DXWLRQ㸸 ࣭ ,I WKH ZRUNVKRS PDQXDO VSHFLILHV DQ DSSOLFDWLRQ PHWKRG IROORZ WKDW PHWKRG


$ 6HUYLFH ,QIRUPDWLRQ *XLGH $OO

7KUHDG ORFNLQJ DGKHVLYH DJHQW

8VLQJ WKH WKUHDG ORFNLQJ DGKHVLYH DJHQW 7\SH /RFWLWH /RFWLWH /RFWLWH

&RORU %OXH 5HG 5HG

&DXWLRQ㸸 ࣭ 5HPRYH JULPH IOXLG RLO DQG JUHDVH RII WKRURXJKO\ IURP WKH EROWV EROW KROHV DQG VFUHZ WKUHDG VHFWLRQ RI QXWV WR ZKLFK WKUHDG ORFNLQJ DGKHVLYH DJHQW ZLOO EH DSSOLHG 1RWH㸸 ࣭ &KHFN LI WKH FOHDQHG VHFWLRQV DUH GU\ &DXWLRQ㸸 ࣭ $IWHU WLJKWHQLQJ GR QRW DSSO\ H[FHVVLYH WRUTXH RU YLEUDWLRQV IRU DW OHDVW DQ KRXU XQWLO WKH WKUHDG ORFNLQJ DGKHVLYH DJHQW KDUGHQV $SSO\ WKUHDG ORFNLQJ DGKHVLYH DJHQW WR WKH HQG RI WKH VFUHZ DQG WLJKWHQ DW WKH VSHFLILHG WRUTXH


6HUYLFH ,QIRUPDWLRQ *XLGH $OO $

7HUP

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


$ 6HUYLFH ,QIRUPDWLRQ *XLGH $OO

$EEUHYLDWLRQV

$EEUHYLDWLRQV


6HUYLFH ,QIRUPDWLRQ *XLGH $OO $ $EEUHYLDWLRQ $ ' $%'& $& $&& $&* $&7 $3, $60 $7'& $7) % %$7 %%'& %.7 %5* %7'& & % & 8 &$1 &.3 &03 &2 &38 '& ', '/& '3' '7& '00 (&0 (&7 (&8 ((3520 (*5 (0, (959 (;+ ) % ) & ) / )/: )57 )7 ):'

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±PHWHU (QJLQH FRQWURO PRGXOH (QJLQH FRRODQW WHPSHUDWXUH (OHFWURQLF FRQWURO XQLW (OHFWULFDOO\ HUDVDEOH SURJUDPPDEOH 520 (*5 ([KDXVW JDV UHFLUFXODWLRQ (OHFWURPDJQHWLF LQWHUIHUHQFH (OHFWULF YDFXXP UHJXODWLQJ YDOYH ([KDXVW )HHGEDFN )XHO FXW )XVLEOH OLQN )XVLEOH OLQN ZLUH )URQW )XHO WHPSHUDWXUH )URQW


$ 6HUYLFH ,QIRUPDWLRQ *XLGH $OO *(1 *1' +& +2 6 ,$& ,$7 ,& ,' 3ODWH ,'66 ,07 ,1/ ,1,62 ,63 ,73 - & -,6 .: /+ //& 0 9 0$) 0$3 0D[ 0,/ 0LQ 038 1& 1& 12 12[ 1±7'& 2 6 2%' 2(0 237 27 3 / 3&9 3±, 30 372 3:0 426 4:6

*HQHUDWRU *URXQG +\GURFDUERQ 6XSHUKHDW 2 VHQVRU ,GOH DLU FRQWURO ,QWDNH DLU WHPSHUDWXUH ,QWHJUDWHG FLUFXLW ,' SODWH 1DPH SODWH ,68=8ࠉ'LDJQRVWLFࠉ6HUYLFHࠉ6\VWHP ,QWDNH PDQLIROG WHPSHUDWXUH ,QWDNH ,QMHFWLRQ ,QWHUQDWLRQDO 2UJDQL]DWLRQ IRU 6WDQGDUGL]DWLRQ ,QWDNH VKXWWHU SRVLWLRQ ,QWDNH WKURWWOH SRVLWLRQ -RLQW FRQQHFWRU -DSDQ ,QGXVWULDO 6WDQGDUG $ FRPPXQLFDWLRQ PHWKRG .H\ZRUG /HIW VLGH /RQJ OLIH FRRODQW (OHFWURPDJQHWLF YDOYH 0DVV DLU IORZ 0DQLIROG DLU SUHVVXUH 0D[LPXP :DUQLQJ OLJKW 'LDJQRVWLF OLJKW 0LQLPXP 0LFUR SURFHVVLQJ XQLW 1RUPDOO\ FORVHG 1RUPDOO\ FORVHG 1RUPDOO\ RSHQ 1LWURJHQ R[LGH 7RS GHDG FHQWHU UHYROXWLRQ VSHHG 2 VHQVRU 2Q±ERDUG GLDJQRVLV 2ULJLQDO HTXLSPHQW PDQXIDFWXUHU 2SWLRQ 2LO WHPSHUDWXUH 3LORW OLJKW 3XPS FRQWURO YDOYH 3RVLWLYH FUDQNFDVH YHQWLODWLRQ 3URSRUWLRQ±LQWHJUDWLRQ 3DUWLFOH PDWHULDO 3RZHU WDNH±RII 3XOVH ZLGWK PRGXODWLRQ ZDYH 426 4XLFN RQ VWDUW V\VWHP 4:6 4XLFN ZDUPLQJ XS V\VWHP


6HUYLFH ,QIRUPDWLRQ *XLGH $OO $ 5+ 5 / 5$0 5() 520 53 5U 5U 5:' 6$( 6%) 6&9 6,* 6/' 67 67' 6: 7'& 7(03 73 9% 9*6 7XUER : + : / : 6 :27

5LJKW VLGH 5HOD\ 5$0 5DQGRP DFFHVV PHPRU\ 5HIHUHQFH 520 5HDG RQO\ PHPRU\ 5DLO SUHVVXUH 5HDU 5HDU 5HDU 6RFLHW\ RI $XWRPRWLYH (QJLQHHUV 6ORZ EORZ IXVH 6XFWLRQ FRQWURO YDOYH 6LJQDO 6KLHOG 6WDUWHU VWDUW 6WDQGDUGV 6ZLWFK 7RS GHDG FHQWHU 7HPSHUDWXUH 7KURWWOH SRVLWLRQ %DWWHU\ YROWDJH 9DULDEOH JHRPHWU\ V\VWHP WXUER 9*6 WXUER :LUH KDUQHVV :DUQLQJ OLJKW :DUQLQJ OLJKW :HOG VSOLFH :LGH RSHQ WKURWWOH


$ 6HUYLFH ,QIRUPDWLRQ *XLGH $OO

6WDQGDUG EROWV

/LVW RI VWDQGDUG EROW DQG QXW WLJKWHQLQJ WRUTXHV

1RWH㸸 ࣭ 7KH WLJKWHQLQJ WRUTXH YDOXHV LQ WKH IROORZLQJ WDEOH DSSO\ WR ORFDWLRQV ZKHUH WLJKWHQLQJ WRUTXHV DUH QRW VSHFLILHG


6HUYLFH ,QIRUPDWLRQ *XLGH $OO $ 6WUHQJWK FDWHJRU\ %ROW KHDG VKDSH

7 +H[ EROW

7 )ODQJH EROW

+H[ EROW

)ODQJH EROW

㸸 WR 1࣭P ^ WR 㸸 WR 1࣭P ^ WR 㸸 WR 1࣭P ^ WR 㸸 WR 1࣭P ^ 0 [ NJI࣭P WR OE࣭ NJI࣭P WR OE࣭ NJI࣭P WR OE࣭ WR NJI࣭P WR LQ ` LQ ` LQ ` OE࣭LQ ` 㸸 WR 1࣭P ^ 㸸 WR 1࣭P ^ 㸸 WR 1࣭P ^ 㸸 WR 1࣭P ^ 0 [ WR NJI࣭P WR WR NJI࣭P WR WR NJI࣭P WR OE࣭ WR NJI࣭P WR OE࣭IW ` OE࣭LQ ` OE࣭LQ ` IW ` 㸸 WR 1࣭P ^ 㸸 WR 1࣭P ^ 㸸 WR 1࣭P ^ 㸸 WR 1࣭P ^ 0 [ WR NJI࣭P WR WR NJI࣭P WR WR NJI࣭P WR WR NJI࣭P WR OE࣭IW ` OE࣭IW ` OE࣭IW ` OE࣭IW ` 㸸 WR 1࣭P ^ 㸸 WR 1࣭P ^ 㸸 WR 1࣭P ^ 㸸 WR 1࣭P ^ 0 [ WR NJI࣭P WR WR NJI࣭P WR WR NJI࣭P WR WR NJI࣭P WR OE࣭IW ` OE࣭IW ` OE࣭IW ` OE࣭IW ` 㸸 WR 1࣭P ^ 㸸 WR 1࣭P ^ 㸸 WR 1࣭P ^ 㸸 WR 1࣭P 0 [ WR NJI࣭P WR WR NJI࣭P WR WR NJI࣭P WR ^ WR NJI࣭P WR OE࣭IW ` OE࣭IW ` OE࣭IW ` OE࣭IW ` 㸸 WR 1࣭P ^ 㸸 WR 1࣭P ^ 㸸 WR 1࣭P ^ 㸸 WR 1࣭P ^ 0 [ WR NJI࣭P WR WR NJI࣭P WR WR NJI࣭P WR WR NJI࣭P WR OE࣭IW ` OE࣭IW ` OE࣭IW ` OE࣭IW ` 㸸 WR 1࣭P 㸸 WR 1࣭P 㸸 WR 1࣭P 㸸 WR 1࣭P 0 [ ^ WR NJI࣭P ^ WR NJI࣭P ^ WR NJI࣭P ^ WR NJI࣭P WR OE࣭IW ` WR OE࣭IW ` WR OE࣭IW ` WR OE࣭IW ` 㸸 WR 1࣭P 㸸 WR 1࣭P 㸸 WR 1࣭P 㸸 WR 1࣭P 0 [ ^ WR NJI࣭P ^ WR NJI࣭P ^ WR NJI࣭P ^ WR NJI࣭P WR OE࣭IW ` WR OE࣭IW ` WR OE࣭IW ` WR OE࣭IW ` 㸸 WR 1࣭P 㸸 WR 1࣭P 㸸 WR 1࣭P 㸸 WR 1࣭P 0 [ ^ WR NJI࣭P ^ WR NJI࣭P ^ WR NJI࣭P ^ WR NJI࣭P WR OE࣭IW ` WR OE࣭IW ` WR OE࣭IW ` WR OE࣭IW ` 㸸 WR 1࣭P 㸸 WR 1࣭P 㸸 WR 1࣭P 㸸 WR 1࣭P 0 [ ^ WR NJI࣭P ^ WR NJI࣭P ^ WR NJI࣭P ^ WR NJI࣭P WR OE࣭IW ` WR OE࣭IW ` WR OE࣭IW ` WR OE࣭IW ` 㸸 WR 1࣭P 㸸 WR 1࣭P 0 [ ^ WR NJI࣭P ^ WR NJI࣭P WR OE࣭IW ` WR OE࣭IW ` 㸸 WR 1࣭P 㸸 WR 1࣭P 0 [ ^ WR NJI࣭P ^ WR NJI࣭P WR OE࣭IW ` WR OE࣭IW ` 㸸 WR 1࣭P 㸸 WR 1࣭P 0 [ ^ WR NJI࣭P ^ WR NJI࣭P WR OE࣭IW ` WR OE࣭IW ` 㸸 WR 1࣭P 㸸 WR 1࣭P 0 [ ^ WR NJI࣭P ^ WR NJI࣭P WR OE࣭IW ` WR OE࣭IW ` 㸸 WR 1࣭P 㸸 WR 1࣭P 0 [ ^ WR NJI࣭P ^ WR NJI࣭P WR OE࣭IW ` WR OE࣭IW ` 㸸 WR 1࣭P 㸸 WR 1࣭P 0 [ ^ WR NJI࣭P ^ WR NJI࣭P WR OE࣭IW ` WR OE࣭IW `


$ 6HUYLFH ,QIRUPDWLRQ *XLGH $OO 㸸 WR 1࣭P ^ WR NJI࣭P WR OE࣭IW ` 㸸 WR 1࣭P 0 [ ^ WR NJI࣭P WR OE࣭IW ` 0 [

㸸 WR 1࣭P ^ WR NJI࣭P WR OE࣭IW ` 㸸 WR 1࣭P ^ WR NJI࣭P WR OE࣭IW `


6HUYLFH ,QIRUPDWLRQ *XLGH $OO $ 6WUHQJWK FDWHJRU\ %ROW KHDG VKDSH

7

+H[ EROW

)ODQJH EROW

+H[ EROW

)ODQJH EROW

㸸 WR 1࣭P ^ 㸸 WR 1࣭P ^ 0 [ WR NJI࣭P WR WR NJI࣭P WR OE࣭LQ ` OE࣭LQ ` 㸸 WR 1࣭P ^ 㸸 WR 1࣭P ^ 㸸 WR 1࣭P ^ 㸸 WR 1࣭P ^ 0 [ WR NJI࣭P WR WR NJI࣭P WR WR NJI࣭P WR WR NJI࣭P WR OE࣭IW ` OE࣭IW ` OE࣭IW ` OE࣭IW ` 㸸 WR 1࣭P ^ 㸸 WR 1࣭P ^ 㸸 WR 1࣭P ^ 㸸 WR 1࣭P ^ 0 [ WR NJI࣭P WR WR NJI࣭P WR WR NJI࣭P WR WR NJI࣭P WR OE࣭IW ` OE࣭IW ` OE࣭IW ` OE࣭IW ` 㸸 WR 1࣭P ^ 㸸 WR 1࣭P ^ 㸸 WR 1࣭P ^ 㸸 WR 1࣭P ^ 0 [ WR NJI࣭P WR WR NJI࣭P WR WR NJI࣭P WR WR NJI࣭P WR OE࣭IW ` OE࣭IW ` OE࣭IW ` OE࣭IW ` 㸸 WR 1࣭P 㸸 WR 1࣭P 㸸 WR 1࣭P 㸸 WR 1࣭P 0 [ ^ WR NJI࣭P ^ WR NJI࣭P ^ WR NJI࣭P ^ WR NJI࣭P WR OE࣭IW ` WR OE࣭IW ` WR OE࣭IW ` WR OE࣭IW ` 㸸 WR 1࣭P ^ 㸸 WR 1࣭P 㸸 WR 1࣭P 㸸 WR 1࣭P 0 [ WR NJI࣭P WR ^ WR NJI࣭P ^ WR NJI࣭P ^ WR NJI࣭P OE࣭IW ` WR OE࣭IW ` WR OE࣭IW ` WR OE࣭IW ` 㸸 WR 1࣭P 㸸 WR 1࣭P 㸸 WR 1࣭P 㸸 WR 1࣭P 0 [ ^ WR NJI࣭P ^ WR NJI࣭P ^ WR NJI࣭P ^ WR NJI࣭P WR OE࣭IW ` WR OE࣭IW ` WR OE࣭IW ` WR OE࣭IW ` 㸸 WR 1࣭P 㸸 WR 1࣭P 㸸 WR 1࣭P 㸸 WR 1࣭P 0 [ ^ WR NJI࣭P ^ WR NJI࣭P ^ WR NJI࣭P ^ WR NJI࣭P WR OE࣭IW ` WR OE࣭IW ` WR OE࣭IW ` WR OE࣭IW ` 㸸 WR 1࣭P 㸸 WR 1࣭P 㸸 WR 1࣭P 㸸 WR 1࣭P 0 [ ^ WR NJI࣭P ^ WR NJI࣭P ^ WR NJI࣭P ^ WR NJI࣭P WR OE࣭IW ` WR OE࣭IW ` WR OE࣭IW ` WR OE࣭IW ` 㸸 WR 1࣭P 㸸 WR 1࣭P 㸸 WR 1࣭P 㸸 WR 1࣭P 0 [ ^ WR NJI࣭P ^ WR NJI࣭P ^ WR NJI࣭P ^ WR NJI࣭P WR OE࣭IW ` WR OE࣭IW ` WR OE࣭IW ` WR OE࣭IW ` 㸸 WR 1࣭P 㸸 WR 1࣭P ^ WR NJI࣭P 0 [ ^ WR NJI࣭P WR OE࣭IW ` WR OE࣭IW ` 㸸 WR 1࣭P 㸸 WR 1࣭P 0 [ ^ WR NJI࣭P ^ WR NJI࣭P WR OE࣭IW ` WR OE࣭IW ` 㸸 WR 1࣭P 㸸 WR 1࣭P 0 [ ^ WR NJI࣭P ^ WR NJI࣭P WR OE࣭IW ` WR OE࣭IW ` 㸸 WR 1࣭P 㸸 WR 1࣭P 0 [ ^ WR NJI࣭P ^ WR NJI࣭P WR OE࣭IW ` WR OE࣭IW ` 㸸 WR 1࣭P 㸸 WR 1࣭P 0 [ ^ WR NJI࣭P ^ WR NJI࣭P WR OE࣭IW ` WR OE࣭IW ` 㸸 WR 1࣭P 㸸 WR 1࣭P 0 [ ^ WR NJI࣭P ^ WR NJI࣭P WR OE࣭IW ` WR OE࣭IW `


$ 6HUYLFH ,QIRUPDWLRQ *XLGH $OO 㸸 WR 1࣭P ^ WR NJI࣭P WR OE࣭IW ` 㸸 WR 1࣭P 0 [ ^ WR NJI࣭P WR OE࣭IW ` 0 [

1RWH㸸 ࣭ 7KRVH LQGLFDWHG ZLWK DQ DVWHULVN DUH XVHG IRU WKH IHPDOH WKUHDGHG SRUWLRQ RI VRIW PDWHULDOV VXFK DV FDVWLQJV

+H[ EROW 7 +H[ EROW 7 )ODQJH EROW 7 )ODQJH EROW 7 +H[ EROW 7 )ODQJH EROW 7 +H[ EROW WKHUPDO UHILQLQJ +H[ EROW WKHUPDO UHILQLQJ +H[ EROW QRQ WKHUPDO UHILQLQJ

㸸 WR 1࣭P ^ WR NJI࣭P WR OE࣭IW ` 㸸 WR 1࣭P ^ WR NJI࣭P WR OE࣭IW `

࣭ 5HIHU WR WKH IROORZLQJ GLDJUDP UHJDUGLQJ WKH PDUNLQJ RQ WKH WRS RI VWDQGDUG EROWV

+H[ EROW QRQ WKHUPDO UHILQLQJ )ODQJH EROW )ODQJH EROW +H[ EROW 7 +H[ EROW 7 )ODQJH EROW 7 )ODQJH EROW 7


6HUYLFH ,QIRUPDWLRQ *XLGH $OO $ )ODUH QXW ZLGWK DFURVV IODW 3UHYLRXV 1HZ 㸸 WR 1࣭P ^ WR NJI࣭ 㸸 PP 㸸 PP 㸸 PP ^ LQ ` P WR OE࣭IW ` ^ LQ ` ^ LQ ` 㸸 WR 1࣭P ^ WR NJI࣭ 㸸 PP 㸸 PP 㸸 PP ^ LQ ` P WR OE࣭IW ` ^ LQ ` ^ LQ ` 㸸 WR 1࣭P ^ WR NJI࣭ 㸸 PP 㸸 PP 7LJKWHQLQJ WRUTXH RI 㸸 PP ^ LQ ` P WR OE࣭IW ` ^ LQ ` ^ LQ ` WKH IODUH QXW 㸸 PP 6HUYLFH VWDQGDUG YDOXH 㸸 PP ^ LQ ` 㸸 WR 1࣭P ^ WR NJI࣭ 㸸 PP P WR OE࣭IW ` ^ LQ ` ^ LQ ` 㸸 WR 1࣭P ^ WR NJI࣭ 㸸 PP 㸸 PP 㸸 PP ^ LQ ` P WR OE࣭IW ` ^ LQ ` ^ LQ ` 㸸 PP 㸸 WR 1࣭P ^ WR NJI࣭ 㸸 PP 㸸 PP ^ LQ ` ^ LQ ` P WR OE࣭IW ` ^ LQ ` 3LSH GLDPHWHU

7LJKWHQLQJ WRUTXH IRU ODUJH PHGLXP VL]H YHKLFOHV

7DSHUHG WKUHDG IRU FRQQHFWRUV DQG EUDVV SURGXFWV 6FUHZ VL]H 37 5 37 5 37 5 37 5 㸸 WR 1࣭P 㸸 WR 1࣭P 㸸 WR 1࣭P 㸸 WR 1࣭P ^ WR NJI࣭P ^ WR NJI࣭P ^ WR NJI࣭P ^ WR NJI࣭P WR OE࣭LQ ` WR OE࣭LQ ` WR OE࣭LQ ` WR OE࣭LQ ` 7DSHUHG WKUHDG IRU SURGXFWV RWKHU WKDQ FRQQHFWRUV DQG EUDVV SURGXFWV 6FUHZ VL]H 37 5 37 5 37 5

37 5 㸸 WR 1࣭ 㸸 WR 1࣭P 㸸 WR 1࣭ 㸸 WR 1࣭ 㸸 WR 1࣭ P ^ WR ^ WR NJI࣭P P ^ WR NJI࣭ P ^ WR NJI࣭ P ^ WR NJI࣭ NJI࣭P WR WR OE࣭LQ ` P WR OE࣭IW ` P WR OE࣭IW ` P WR OE࣭IW ` OE࣭IW `

1RWH㸸 ࣭ 7KH WLJKWHQLQJ WRUTXH RI WKH WDSHUHG WKUHDG IRU SURGXFWV RWKHU WKDQ FRQQHFWRUV DQG EUDVV SURGXFWV LV RQO\ DSSOLHG ZKHQ WKH RSSRVLWH VLGH LV QRW PDGH RI DOXPLQXP

37 5

1RWH㸸 ࣭ 7LJKWHQ WKH HOERZ FRQQHFWRU XQWLO LW LV DOLJQHG ZLWK WKH ULJKW DQJOH DIWHU WLJKWHQLQJ DFFRUGLQJ WR WKH PLQLPXP WRUTXH LQGLFDWHG DERYH ࣭ $SSO\ /RFWLWH WR WKH WKUHDGHG SRUWLRQ DQG WLJKWHQ &RPSOHWHO\ GU\ WKHQ OHW DLU LQ DIWHU WLJKWHQLQJ ࣭ 'R QRW XVH VHDO WDSH HWF



0DLQWHQDQFH ,QIRUPDWLRQ +. %

'HVFULSWLRQ (QJLQH 0DLQWHQDQFH ,QIRUPDWLRQ +. 7DEOH RI &RQWHQWV 3ULPDU\ VSHFLILFDWLRQV % )XQFWLRQ 6WUXFWXUH 2SHUDWLRQ % 0DLQWHQDQFH SUHFDXWLRQV % ,QWURGXFWLRQ WR WKH WURXEOH GLDJQRVLV %


% 0DLQWHQDQFH ,QIRUPDWLRQ +.

3ULPDU\ VSHFLILFDWLRQV

3ULPDU\ VSHFLILFDWLRQV

(QJLQH PDLQ VSHFLILFDWLRQV


0DLQWHQDQFH ,QIRUPDWLRQ +. % ,WHP 7\SH 6KDSH RI FRPEXVWLRQ FKDPEHU &\OLQGHU OLQHU W\SH &\OLQGHU ERUH [ VWURNH 'LVSODFHPHQW &RPSUHVVLRQ UDWLR &RPSUHVVLRQ SUHVVXUH ,GOLQJ URWDWLRQ VSHHG YDOYH FOHDUDQFH

,QWDNH ([KDXVW

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

(QJLQH PRGHO +. 'LHVHO F\FOH ZDWHU FRROLQJ LQOLQH F\OLQGHU 2+& 'LUHFW LQMHFWLRQ W\SH 'U\ W\SH PP 㹹 LQ㹻 î PP 㹹 LQ㹻 / 㹹 FX࣭LQ㹻 㸸 03D ^ NJI FP SVL ` U PLQ USP 㸸 PP ^ LQ ` :KLOH FRRO 㸸 PP ^ LQ ` :KLOH FRRO &RPSUHVVLRQ LJQLWLRQ 3UHVVXUH W\SH *HDU W\SH 㸸 WR / ^ WR 86 JDO ` )XOO IORZ ILOWHU FDUWULGJH W\SH %XLOW LQ W\SH ZDWHU FRROHG :DWHU FRROLQJ &RUUXJDWHG ILQ SUHVVXUH W\SH &HQWULIXJDO EHOW W\SH ZD[ W\SH XQLW 㸸 Я ^ ) ` :LWKRXW MLJJOH YDOYH 㸸 Я ^ ) ` :LWK MLJJOH YDOYH 㸸 / ^ 86 JDO ` (OHFWURQLF FRQWURO FRPPRQ UDLO W\SH (OHFWURQLF W\SH (OHFWURQLF W\SH 0XOWL KROH W\SH KROHV ,QQHU GLDPHWHU ij PP㹹 LQ㹻 $& W\SH 9 $ ,& 5HGXFWLRQ W\SH 9 N: JORZ SOXJ 9 $


% 0DLQWHQDQFH ,QIRUPDWLRQ +. ,WHP ZDWHU SXPS 3XOOH\ UDWLR WKHUPRVWDW 2SHQ YDOYH WHPSHUDWXUH )XOO RSHQ WHPSHUDWXUH

6SHFLILFDWLRQV &HQWULIXJDO LPSHOOHU PHWKRG :D[ SHOOHW W\SH 㸸 Я ^ ) ` :LWKRXW MLJJOH YDOYH 㸸 Я ^ ) ` :LWK MLJJOH YDOYH 㸸 Я ^ ) ` :LWKRXW MLJJOH YDOYH 㸸 Я ^ ) ` :LWK MLJJOH YDOYH

(OHFWULFDO V\VWHP PDLQ VSHFLILFDWLRQV JHQHUDWRU ,WHP 0DQXIDFWXUHU QDPH ,VX]X SDUWV QXPEHU 0DQXIDFWXUHU W\SH 1RPLQDO YROWDJH 2XWSXW FXUUHQW 5DWHG URWDWLRQ FRXQW 2XWSXW FXUUHQW YROWDJH 1R ORDG YROWDJH 5RWDWLRQDO GLUHFWLRQ 3RODULW\ 3XOOH\ GLDPHWHU 3 & '

6SHFLILFDWLRQV 0LWVXELVKL (OHFWULF &RUSRUDWLRQ $ 78 $ 78 9 $ $ USP $ 9 U PLQ $ 9 U PLQ 9 U PLQ &ORFNZLVH GLUHFWLRQ 㸫 㸸 PP ^ LQ ` 㸸 PP ^ LQ `


0DLQWHQDQFH ,QIRUPDWLRQ +. % VWDUWHU ,WHP 0DQXIDFWXUHU ,VX]X SDUWV QXPEHU 0DQXIDFWXUHU FRGH QXPEHU 2XWSXW 5DWLQJ <RUN RXWHU GLDPHWHU 5RWDWLRQDO GLUHFWLRQ 3URWHFWLRQ W\SH /RZ VSHHG PHFKDQLVP ZHLJKW SLQLRQ 0RGXOH 3UHVVXUH DQJOH 1XPEHU RI WHHWK *HDU UDWLR ^ULQJ JHDU SLQLRQ JHDU` YROWDJH 1R ORDG FXUUHQW 5RWDWLRQDO VSHHG YROWDJH 5HVWUDLQW FXUUHQW 7RUTXH 3LQLRQ HQJDJHG YROWDJH

6SHFLILFDWLRQV 0LWVXELVKL (OHFWULF &RUSRUDWLRQ 0 7 9 N: VHF 㸸 PP ^ LQ ` 5LJKW 'XVW SURRI GULS SURRI ,QQHU FRQWDFW JHDU 㸸 NJ ^ OE ` ^ ` 9 $ RU OHVV USP RU PRUH 9 RU OHVV 1࣭P^ NJI࣭P` RU PRUH 9 RU OHVV

JORZ SOXJ ,WHP 3UHKHDW GHYLFH PRGHO *ORZ SOXJ UDWHG YROWDJH FXUUHQW

7\SH JORZ SOXJ 9 $


% 0DLQWHQDQFH ,QIRUPDWLRQ +.

)XQFWLRQ 6WUXFWXUH 2SHUDWLRQ

(QJLQH QXPEHU

(QJLQH QXPEHU VWDPSLQJ

)XQFWLRQ 6WUXFWXUH 2SHUDWLRQ

(QJLQH VWUXFWXUDO GLDJUDP


0DLQWHQDQFH ,QIRUPDWLRQ +. %


% 0DLQWHQDQFH ,QIRUPDWLRQ +.

'HVFULSWLRQ RI IXQFWLRQV DQG RSHUDWLRQV

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

&UDQNVKDIW 7KH WXIIWULGHG VWHHO LV EHLQJ XVHG DQG WKH JUDGH RI HDFK MRXUQDO GLDPHWHU LV HQJUDYHG RQ WKH 1R EDODQFH ZHLJKW (*5 V\VWHP 7KH (*5 V\VWHP LV FRQWUROOHG E\ WKH HQJLQH FRQWURO PRGXOH (&0 DFFRUGLQJ WR YDULRXV GDWD LQFOXGLQJ WKH ZDWHU WHPSHUDWXUH HQJLQH 530 DQG HQJLQH ORDG WR UHFLUFXODWH WKH H[KDXVW JDV IRU SXULILFDWLRQ 7KH SULPDU\ FRPSRQHQWV DUH WKH (*5 YDOYH (*5 FRROHU DQG YDULRXV VHQVRUV &RQQHFWLQJ URG FDS EROW 7KH DQJOH WLJKWHQLQJ PHWKRG KDV EHHQ DGRSWHG WR WKH FRQQHFWLQJ URG FDS EROW WR IXUWKHU LPSURYH LWV UHOLDELOLW\ DQG GXUDELOLW\ &RPPRQ UDLO W\SH HOHFWURQLF FRQWURO LQMHFWLRQ V\VWHP 7KH FRPPRQ UDLO W\SH HOHFWURQLF FRQWURO LQMHFWLRQ V\VWHP FRQVLVWV RI WKH VXSSO\ SXPS WKDW VHWV WKH WDUJHW SUHVVXUH RI KLJK SUHVVXUH IXHO WR VXSSO\ WKH IXHO WKH FRPPRQ UDLO WKDW PHDVXUHV WKH KLJK SUHVVXUH IXHO DQG WKH IXHO LQMHFWRU WKDW LQMHFWV WKH IXHO LQ WKH IRUP RI D ILQH PLVW (DFK RI WKHVH DUH FRQWUROOHG E\ WKH (&0 EDVHG RQ YDULRXV VLJQDOV WR FRQWURO WKH LQMHFWLRQ WLPLQJ DQG LQMHFWLRQ DPRXQW LQ DFFRUGDQFH ZLWK WKH GULYLQJ FRQGLWLRQ )XHO LQMHFWRU 7KH IXHO LQMHFWRU KDV DGRSWHG WKH KROH QR]]OH DQG DGMXVWV WKH IXHO LQMHFWLRQ DPRXQW DQG LQMHFWLRQ WLPLQJ E\


0DLQWHQDQFH ,QIRUPDWLRQ +. % RSHQLQJ RU FORVLQJ WKH HOHFWURPDJQHWLF YDOYH RQ WKH LQMHFWRU KHDG SRUWLRQ 7KH (&0 FRUUHFWV YDULDWLRQ LQ WKH IXHO LQMHFWLRQ DPRXQW IURP IXHO LQMHFWRU WR IXHO LQMHFWRU LQ DFFRUGDQFH ZLWK WKH ,' FRGH GDWD LQ WKH PHPRU\ :KHQ DGMXVWLQJ WKH IXHO LQMHFWRU WKH ,' FRGH GDWH PXVW EH UHFRUGHG LQ WKH (&0 )XHO ILOWHU ZLWK VHGLPHQWHU 7KH IXHO ILOWHU ZLWK VHGLPHQWHU UHPRYHV WKH ZDWHU E\ XVLQJ WKH GLIIHUHQFH LQ WKH UHODWLYH GHQVLW\ EHWZHHQ GLHVHO RLO DQG ZDWHU DQG QRWLILHV WKH RSHUDWRU WKURXJK WKH LQGLFDWRU ZKHQ LW EHFRPHV IXOO RI ZDWHU 3UHKHDW V\VWHP 7KH SUHKHDW V\VWHP FRQVLVWV RI WKH (&0 JORZ UHOD\ JORZ SOXJ DQG JORZ LQGLFDWRU OLJKW 7KH SUHKHDW V\VWHP LV

8QOHVV VSHFLILFDOO\ LQVWUXFWHG LQ WKH GLDJQRVWLF SURFHGXUH GR QRW XVH D WHVW OLJKW ZKHQ GLDJQRVLQJ WKH SRZHUWUDLQ HOHFWURQLF V\VWHP :KHQ D SUREH FRQQHFWRU LV UHTXLUHG LQ WKH GLDJQRVWLF SURFHGXUH XVH WKH FRQQHFWRU WHVW DGDSWHU NLW )XHO ILOWHU &RPPRQ UDLO &DXWLRQ㸸 ࣭ 6LQFH WKH KLJK SUHFLVLRQ IXHO V\VWHP KDV EHHQ DGRSWHG WDNH FDUH WR SUHYHQW DQ\ IRUHLJQ PDWWHU IURP HQWHULQJ WKH IXHO V\VWHP

DFWLYDWHG ZKHQ WKH HQJLQH FRRODQW WHPSHUDWXUH LV ORZ WR KHOS HQJLQH VWDUW /XEULFDWLQJ V\VWHP ,W XVHV DQG RLO ILOWHU ZLWK D IXOO IORZ E\SDVV DQG FRROV GRZQ WKH SLVWRQV XVLQJ WKH ZDWHU FRROHG RLO FRROHU DQG WKH RLO MHW '3' $Q LQWHJUDWHG '3' R[LGDWLRQ FDWDO\VW LV LQVWDOOHG IRU UHGXFLQJ H[KDXVW JDV

)XHO V\VWHP

)XHO V\VWHP GLDJUDP

)XHO LQMHFWRU )XHO UHWXUQ SLSH )XHO WDQN 6XSSO\ SXPS 3UH IXHO ILOWHU

&RPPRQ UDLO


% 0DLQWHQDQFH ,QIRUPDWLRQ +.

)ORZ GDPSHU 3UHVVXUH OLPLWHU )XHO LQOHW )XHO VXSSO\ SXPS

3UHVVXUH VHQVRU


0DLQWHQDQFH ,QIRUPDWLRQ +. %

)XHO WHPSHUDWXUH VHQVRU 6XFWLRQ FRQWURO YDOYH +LJK SUHVVXUH SLSH &DPVKDIW QXW

&DXWLRQ㸸 ࣭ 7KHUH LV D JDX]H ILOWHU DVVHPEOHG LQVLGH WKH XQLRQ RI WKH IXHO VXSSO\ SXPS EXW WKH XQLRQ VKRXOG QRW EH UHPRYHG WR SUHYHQW DQ\ IRUHLJQ PDWWHU IURP HQWHULQJ

8QLRQ -RLQW EROW


% 0DLQWHQDQFH ,QIRUPDWLRQ +.

,' SODWH 7HUPLQDO VWXG ,QMHFWRU GULYH VHFWLRQ ,QMHFWRU DVVHPEO\ *DVNHW 2 ULQJ /HDN RII SLSH LQVWDOODWLRQ VHFWLRQ

)XHO ILOWHU

8QLRQ *DX]H ILOWHU 6XSSO\ SXPS 6WUDLQHU -RLQW EROW

,QMHFWRU

3ULPLQJ SXPS $LU EOHHG &DVH 'UDLQ SOXJ

&RROLQJ V\VWHP

7KH FRRODQW V\VWHP LV WKH IRUFHG FLUFXODWLRQ V\VWHP DQG LWV PDLQ FRPSRQHQWV DUH WKH ZDWHU SXPS WKHUPRVWDW DQG UDGLDWRU


0DLQWHQDQFH ,QIRUPDWLRQ +. %

:DWHU MDFNHW 'UDLQ SOXJ 2LO FRROHU :DWHU SXPS 'UDLQ FRFN 5DGLDWRU &RROLQJ IDQ 5DGLDWRU FDS

:DWHU SXPS

5DGLDWRU UHVHUYH WDQN :DWHU RXWOHW SLSH 7KHUPRVWDW XQLWV :DWHU WHPSHUDWXUH VHQVRU %\SDVV URXWH (*5 FRROHU

7KH ZDWHU SXPS LV D FHQWULIXJDO LPSHOOHU W\SH SXPS DQG LV GULYHQ E\ WKH HQJLQH IDQ EHOW


% 0DLQWHQDQFH ,QIRUPDWLRQ +.

)DQ JXLGH %HDULQJ ,PSHOOHU 7KHUPRVWDW 7KH WKHUPRVWDW LV WKH ZD[ SHOOHW W\SH DQG FRQVLVWV RI XQLWV 2QH XQLW LV WKH ERWWRP E\SDVV W\SH DQG LWV LQLWLDO RSHQ YDOYH WHPSHUDWXUH LV & ) DQG WKH RWKHU XQLW LV WKH LQOLQH W\SH DQG LWV LQLWLDO RSHQ YDOYH

6HDO XQLW

WHPSHUDWXUH LV & ) 7KH VWUXFWXUH DOORZV WKH ZDWHU WHPSHUDWXUH WR EH ILQH DGMXVWHG DQG LW LV DVVHPEOHG LQVLGH WKH WKHUPRVWDW KRXVLQJ XQLW


0DLQWHQDQFH ,QIRUPDWLRQ +. %

-LJJOH YDOYH 6WDPS PDUN LQLWLDO RSHQ YDOYH WHPSHUDWXUH 9DOYH

/XEULFDWLRQ V\VWHP

*DVNHW 3LVWRQ $ IXOO IORZ E\SDVV LQWHJUDWHG ILOWHU HOHPHQW ZDWHU FRROLQJ RLO FRROHU DQG SLVWRQ FRRODQW RLO MHW DUH DGRSWHG IRU WKH OXEULFDWLRQ V\VWHP


% 0DLQWHQDQFH ,QIRUPDWLRQ +.

2LO SXPS VWUXFWXUDO GLDJUDP


0DLQWHQDQFH ,QIRUPDWLRQ +. %

'ULYHQ JHDU DVVHPEO\ 2LO SXPS ERG\ 'ULYH JHDU DVVHPEO\ 2LO SXPS GULYH JHDU 2LO SXPS ERG\

,QGXFWLRQ V\VWHP

'ULYH JHDU DVVHPEO\ 'ULYHQ JHDU DVVHPEO\ 2LO SXPS GULYH JHDU

7XUERFKDUJHU VWUXFWXUDO GLDJUDP


% 0DLQWHQDQFH ,QIRUPDWLRQ +.

7XUELQH KRXVLQJ +HDW SURWHFWRU )ORDWLQJ PHWDO 2LO WKURZHU &RPSUHVVRU KRXVLQJ 6HDO SODWH

([KDXVW V\VWHP

&RPSUHVVRU LPSHOOHU 6HDO ULQJ 6HDO ULQJ 7XUELQH VKDIW


0DLQWHQDQFH ,QIRUPDWLRQ +. %

'3' DVVHPEO\ ([KDXVW WHPSHUDWXUH VHQVRU ([KDXVW WHPSHUDWXUH VHQVRU

(PLVVLRQ FRQWURO GHYLFH

(*5 7KH (*5 V\VWHP UHFLUFXODWHV D SDUW RI WKH H[KDXVW JDV WR WKH LQWDNH PDQLIROG DQG WKH JHQHUDWLRQ RI 12[ LV VXSSUHVVHG %\ FRQWUROOLQJ WKH (*5 V\VWHP KLJK RSHUDELOLW\ DQG H[KDXVW JDV UHGXFWLRQ DUH ERWK DFKLHYHG 7KH FRQWURO FXUUHQW IURP WKH (&0 DFWLYDWH WKH VROHQRLG WR FRQWURO WKH (*5 YDOYH OLIW DPRXQW 7KH (*5 SRVLWLRQ VHQVRU GHWHFWV WKH DFWXDO YDOYH OLIW DPRXQW DQG WKH GDWD LV XVHG IRU SUHFLVH FRQWURO RI WKH (*5 DPRXQW

'3' GLIIHUHQWLDO SUHVVXUH VHQVRU

7KH (*5 RSHUDWHV ZKHQ WKH HQJLQH 530 HQJLQH FRRODQW WHPSHUDWXUH LQWDNH WHPSHUDWXUH DQG DWPRVSKHULF SUHVVXUH VDWLVI\ FHUWDLQ FULWHULD 7KHUHDIWHU WKH YDOYH RSHQLQJ DQJOH LV FDOFXODWHG DFFRUGLQJ WR WKH HQJLQH 530 DQG WKH GHVLUHG IXHO LQMHFWLRQ DPRXQW 7KH FDOFXODWHG YDOYH RSHQLQJ DQJOH LV XVHG WR GHWHUPLQH WKH PRWRU GULYH GXW\ DQG WKH YDOYH LV GULYHQ DFFRUGLQJO\ 7KH LQWDNH WKURWWOH YDOYH FORVHV ZKHQ WKH (*5 RSHUDWHV WR HQVXUH DQ DSSURSULDWH LQWHUQDO SUHVVXUH RI WKH LQWDNH PDQLIROG


% 0DLQWHQDQFH ,QIRUPDWLRQ +.

(OHFWULFDO V\VWHP

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


0DLQWHQDQFH ,QIRUPDWLRQ +. %

6WDUWHU V\VWHP 7KH VWDUWHU LV N: DQG XVHV D UHGXFWLRQ W\SH *HDU KRXVLQJ DQG DUPDWXUH HQG EHDULQJ KRXVLQJ DUH PDGH RI DOXPLQXP %UXVK DVVHPEO\ LV DQ UHSODFHDEOH W\SH &RPPXWDWRU EDU LV LQVXODWHG ZLWK PLFD DQG XQGHUFXW 6WDUWHU FLUFXLW LV VWDUWHG XVLQJ D EDWWHU\ 7KH EDWWHU\ FDEOH LV FRQQHFWHG WR D ODUJH WHUPLQDO RQ WKH VWDUWHU 7KH ZLULQJ LV FRQQHFWHG IURP WKH WHUPLQDO WR WKH HQJLQH FRQWURO VZLWFK DQG WKH VWDUWHU UHOD\ 6WDUWHU 7KH VWDUWHU LV DQ RXWHU JHDULQJ PHVK PHWKRG UHGXFWLRQ VWDUWHU DGRSWLQJ WKH

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


% 0DLQWHQDQFH ,QIRUPDWLRQ +.

%UXVK KROGHU 0DJQHWLF VZLWFK DVVHPEO\ /HYHU DVVHPEO\ 3LQLRQ &OXWFK

3UHKHDW V\VWHP 7KH SUHKHDW V\VWHP KDV DGRSWHG WKH 426 V\VWHP JORZ SOXJ W\SH $OVR WKH HQHUJL]DWLRQ FRQWURO LV SHUIRUPHG E\ WKH (&0 (QJLQH FRQWURO V\VWHP (QJLQH FRQWURO V\VWHP RYHUYLHZ DQG LPSOHPHQWDWLRQ 7KH HQJLQH FRQWURO V\VWHP LV DQ HOHFWURQLF FRQWURO V\VWHP WKDW FRQWUROV WKH HQJLQH WR EH DOZD\V LQ WKH RSWLPDO FRPEXVWLRQ VWDWH DFFRUGLQJ WR WKH GULYLQJ FRQGLWLRQ DQG

,QWHUQDO JHDU $UPDWXUH <RNH

FRQVLVWV RI WKH HOHFWURQLF FRQWURO IXHO LQMHFWLRQ V\VWHP (*5 DQG LGOLQJ FRQWURO $OVR EHVLGHV FRQWUROOLQJ WKH HQJLQH WKH HQJLQH FRQWURO V\VWHP KDV WKH 426 V\VWHP HQJLQH 530 VLJQDO RXWSXW VHOI GLDJQRVLQJ IXQFWLRQ DQG &$1 FRPPXQLFDWLRQ 6$( - DQG 6$( - V\VWHP FRQWURO IXQFWLRQV 6\VWHP FRQWURO VFKHPDWLF 7KH VSHFLILFDWLRQV YDU\ GHSHQGLQJ RQ WKH DFWXDO XQLW VR UHIHU WR WKH PDQXDO RI WKH DFWXDO XQLW


0DLQWHQDQFH ,QIRUPDWLRQ +. %

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


% 0DLQWHQDQFH ,QIRUPDWLRQ +. (&0 FDOFXODWHV WKH FXUUHQW DOWLWXGH XVLQJ VLJQDOV IURP WKH DWPRVSKHULF SUHVVXUH VHQVRU $FFRUGLQJ WR WKH FRQGLWLRQV VXFK DV WKH FXUUHQW DOWLWXGH WKH IXHO DPRXQW LV FRUUHFWHG SURSHUO\

&RQWURO GXULQJ RYHUKHDW 7R SURWHFW WKH HQJLQH UHVWULFWLRQ RQ IXHO IORZ LV VWDUWHG ZKHQ WKH HQJLQH FRRODQW WHPSHUDWXUH H[FHHGV Я ) :KHQ WKH HQJLQH FRRODQW WHPSHUDWXUH LQFUHDVHV IXUWKHU WKH IXHO IORZ LV DOVR UHVWULFWHG IXUWKHU :KHQ WKH WHPSHUDWXUH UHDFKHV Я ) D IDLOXUH LV UHFRUGHG LQ WKH (&0 :KHQ WKH WHPSHUDWXUH LV QHDU Я ) WKH IXHO IORZ LV UHVWULFWHG WR D FHUWDLQ OHYHO 7KH VHWWLQJ YDULHV GHSHQGLQJ RQ WKH DFWXDO XQLW PDQXIDFWXUHU 7KH DFWXDO XQLW LV GHVLJQHG WR LVVXH DQ DODUP IURP Я ) %\ UHGXFLQJ WKH ORDG DSSOLHG WR WKH DFWXDO XQLW XSRQ DODUP LVVXDQFH LW LV SRVVLEOH WR DYRLG WKH RSHUDWLRQ FRQGLWLRQ ZLWK IXHO IORZ UHVWULFWLRQ

,I WKH (&0 LV HTXLSSHG ZLWK DQ HPHUJHQF\ VWRS IXQFWLRQ E\ D KLJK HQJLQH FRRODQW WHPSHUDWXUH LW VWRSV WKH HQJLQH ZKHQ WKH WHPSHUDWXUH KDV UHDFKHG Я )

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

'HFUHDVH LQ HQJLQH RLO SUHVVXUH


0DLQWHQDQFH ,QIRUPDWLRQ +. % :KHQ WKH HQJLQH RLO SUHVVXUH GURSV WR N3D ) RU ORZHU DQ DODUP IRU HQJLQH RLO SUHVVXUH GHFUHDVH LV LVVXHG DQG WKH HQJLQH LV VWRSSHG ,QFUHDVH LQ HQJLQH FRRODQW WHPSHUDWXUH :KHQ WKH HQJLQH FRRODQW WHPSHUDWXUH LQFUHDVHV WR & ) RU KLJKHU DQ DODUP IRU HQJLQH FRRODQW WHPSHUDWXUH LQFUHDVH LV LVVXHG DQG WKH HQJLQH LV VWRSSHG

(OHFWURQLF FRQWURO IXHO LQMHFWLRQ V\VWHP 7KLV LV WKH V\VWHP LQ ZKLFK WKH (&0 REWDLQV LQIRUPDWLRQ VXFK DV WKH HQJLQH 530 DQG HQJLQH ORDG DQG VHQGV WKH HOHFWULFDO VLJQDOV EDVHG RQ WKH LQIRUPDWLRQ WR WKH VXSSO\ SXPS LQMHFWRUV HWF WR SURSHUO\ FRQWURO WKH IXHO LQMHFWLRQ DPRXQW DQG LQMHFWLRQ WLPLQJ IRU HDFK F\OLQGHU

2YHUUXQ :KHQ WKH HQJLQH 530 UHDFKHV WR WKH VSHFLILHG YDOXH DQ DODUP IRU RYHUUXQ LV LVVXHG DQG WKH HQJLQH LV VWRSSHG ,W YDULHV GHSHQGLQJ RQ WKH DFWXDO XQLW PDQXIDFWXUHU , 2 7DEOH

,QMHFWLRQ DPRXQW FRQWURO 7R PDNH WKH LQMHFWLRQ DPRXQW RSWLPDO WKH IXHO LQMHFWLRQ DPRXQW LV FRQWUROOHG E\ UHJXODWLQJ WKH LQMHFWRU EDVHG RQ PDLQO\ WKH VLJQDOV IURP WKH HQJLQH 530 DQG DFFHOHUDWRU RSHQLQJ DQJOH RU WKH LQVWUXFWHG URWDWLRQ IURP WKH FRQWURO XQLW LQ WKH DFWXDO XQLW


% 0DLQWHQDQFH ,QIRUPDWLRQ +.

,QMHFWLRQ SUHVVXUH FRQWURO 7KH LQMHFWLRQ SUHVVXUH LV FRQWUROOHG E\ UHJXODWLQJ WKH IXHO SUHVVXUH LQVLGH WKH FRPPRQ UDLO 7KH SURSHU SUHVVXUH LQVLGH WKH FRPPRQ UDLO LV FRQWUROOHG E\ FDOFXODWLQJ IURP WKH HQJLQH 530 IXHO LQMHFWLRQ DPRXQW HWF DQG WKH DSSURSULDWH DPRXQW RI WKH IXHO LV GLVFKDUJHG E\ UHJXODWLQJ WKH VXSSO\ SXPS WR EH IRUFH IHG WR WKH FRPPRQ UDLO ,QMHFWLRQ WLPLQJ FRQWURO 7KLV FRQWURO LV SHUIRUPHG E\ FDOFXODWLQJ WKH SURSHU IXHO LQMHFWLRQ WLPLQJ PDLQO\ IURP WKH HQJLQH 530 RU LQMHFWLRQ DPRXQW LQ VXEVWLWXWLRQ IRU WKH WLPHU IXQFWLRQ WR UHJXODWH WKH LQMHFWRU ,QMHFWLRQ UDWH FRQWURO 7R LPSURYH FRPEXVWLRQ LQVLGH WKH F\OLQGHU RQO\ D VPDOO DPRXQW RI WKH IXHO LV LQMHFWHG ILUVW WR EH LJQLWHG DQG WKHQ

WKH VHFRQG LQMHFWLRQ LV SHUIRUPHG ZKHQ LJQLWLRQ LV PDGH 7KLV FRQWURO IRU LQMHFWLRQ WLPLQJ DQG LQMHFWLRQ DPRXQW LV SHUIRUPHG WKURXJK UHJXODWLQJ WKH LQMHFWRU 0D[LPXP IXHO LQMHFWLRQ DPRXQW 7KH PD[LPXP IXHO LQMHFWLRQ DPRXQW LV WKH DPRXQW RI IXHO LQMHFWLRQ FDOFXODWHG E\ DGMXVWPHQW RI LQLWLDO LQMHFWLRQ DPRXQW XQGHU FHUWDLQ ZDWHU WHPSHUDWXUH OLPLWDWLRQ RI PD[LPXP LQMHFWLRQ DPRXQW IRU WKH ERRVW SUHVVXUH DQG FRQWURO RI LQMHFWLRQ DPRXQW IRU WKH KLJK DOWLWXGH GXH WR WKH DWPRVSKHULF SUHVVXUH ,QWHU F\OLQGHU FRUUHFWLRQ ,W LV QRW XVHG IRU WKLV HQJLQH 6\VWHP VFKHPDWLF


0DLQWHQDQFH ,QIRUPDWLRQ +. %

)XHO V\VWHP 7KH IXHO LV VXSSOLHG WR WKH VXSSO\ SXPS IURP WKH IXHO WDQN DQG WKHQ LW LV ERRVWHG E\ WKH SXPS EHIRUH VXSSOLHG WR WKH FRPPRQ UDLO $W WKLV WLPH WKH IXHO DPRXQW WR EH

(OHFWURPDJQHWLF SXPS )XHO ILOWHU &RPPRQ UDLO )XHO LQMHFWRU )XHO UHWXUQ SLSH

VXSSOLHG WR WKH FRPPRQ UDLO LV FRQWUROOHG E\ UHJXODWLQJ WKH VXFWLRQ FRQWURO YDOYH EDVHG RQ WKH VLJQDO IURP WKH (&0

)XHO WDQN 6XSSO\ SXPS 3UH IXHO ILOWHU


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

6XSSO\ SXPS :DUQLQJ OLJKW 0RQLWRU 0RQLWRU &$1 FRPPXQLFDWLRQ )XHO WDQN 3UH ILOWHU (OHFWURPDJQHWLF SXPS )XHO ILOWHU SUHVVXUH VHQVRU 0DLQ ILOWHU


0DLQWHQDQFH ,QIRUPDWLRQ +. %

)LUVW VWDJH 5HPRYLQJ DLU IURP IXHO V\VWHP 3ODFH DQ DSSURSULDWH SDQ XQGHU WKH DLU UHPRYDO SOXJ 7XUQ WKH VWDUWHU VZLWFK 21 DQG DFWLYDWH WKH HOHFWURPDJQHWLF SXPS /RRVH WKH DLU UHPRYDO SOXJ RI WKH IXHO ILOWHU VXIILFLHQWO\ DQG RSHUDWH WKH SULPLQJ SXPS WLPHV RU PRUH XQWLO WKH IXHO FRPHV RXW IURP QHDU WKH SOXJ 7LJKWHQ WKH SOXJ DQG RSHUDWH WKH SULPLQJ SXPS WLPHV RU PRUH XQWLO WKH IXHO SHUPHDWHV

6HFRQG VWDJH :DLW IRU DSSUR[ PLQXWH DQG WKHQ ORRVHQ WKH SOXJ WR UHPRYH WKH DLU LQ WKH IXHO ILOWHU 7KLV VKRXOG EH UHSHDWHG DW OHDVW WLPHV XQWLO QR DLU FRPHV RXW IURP WKH SOXJ 6HFXUHO\ WLJKWHQ HDFK SOXJ DQG ZLSH RII WKH IXHO VSLOOHG DURXQG 2SHUDWH WKH SULPLQJ SXPS WLPHV XQWLO WKH IXHO SHUPHDWHV DQG WKHQ LV IHG WR WKH HQJLQH


% 0DLQWHQDQFH ,QIRUPDWLRQ +.

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

'DUNHU SRUWLRQV LQ WKH GLDJUDP UHSUHVHQW ODUJH YDOYH OLIW DPRXQWV DQG WKH GDUNHVW SRUWLRQ UHSUHVHQWV WKH OLIW DPRXQW RI QHDUO\

(*5 V\VWHP VFKHPDWLF GLDJUDP


0DLQWHQDQFH ,QIRUPDWLRQ +. %

(*5 DQG WXUELQH QRLVH 6RPH HQJLQHV PD\ JHQHUDWH KLJK IUHTXHQF\ QRLVH GXH WR WKH WXUELQH URWDWLRQ 7KLV KLJK IUHTXHQF\ QRLVH FDQ EH PXWHG XVLQJ DQ DSSURSULDWH VLOHQFHU )RU VRPH 2(0V ZKLFK XVH LQ UHVLGHQWLDO DUHDV LV QRW DVVXPHG WKH VLOHQFHU IRU PXWLQJ WKH KLJK IUHTXHQF\ QRLVH PD\ EH RPLWWHG IURP WKH VSHFLILFDWLRQV OHDYLQJ WKH QRLVH 7KH KLJK IUHTXHQF\ QRLVH WHQGV WR EHFRPH ORZHU ZKLOH FRQWUROOLQJ WKH (*5 DQG ORXGHU ZKHQ (*5 FRQWURO LV QRW SURYLGHG

7XUERFKDUJHU FRQWURO


% 0DLQWHQDQFH ,QIRUPDWLRQ +. 7KH WXUERFKDUJHU LV D V\VWHP WKDW SURYLGHV HIILFLHQW VXSHUFKDUJH WR DUFKLYH WKH WXUER HIIHFW E\ RYHUFRPLQJ WKH WXUER¶V ZHDNQHVV RI ORZ H[KDXVW HQHUJ\ GXULQJ ORZ HQJLQH UHYROXWLRQ 7KH WXUERFKDUJHU RSWLPL]HV WKH WXUELQH UHYROXWLRQ E\ YDU\LQJ WKH QR]]OH RSHQLQJ DQJOH ZLWKLQ WKH WXUELQH KRXVLQJ WR DGMXVW WKH WXUER LQOHW DUHD DFFRUGLQJ WR WKH UHYROXWLRQ DQG ORDG RI WKH HQJLQH DQG FRQWURO WKH VXSHUFKDUJLQJ SUHVVXUH

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

7KH (&0 VHQGV WKH WDUJHW QR]]OH RSHQLQJ DQJOH EDVHG RQ WKH LQIRUPDWLRQ IURP HDFK VHQVRU WR WKH WXUERFKDUJHU WKURXJK &$1 FRPPXQLFDWLRQ WR FRQWURO WKH ERRVW SUHVVXUH SURSHUO\ LQ DFFRUGDQFH ZLWK WKH HQJLQH ORDG UHTXLUHPHQWV 7KH WXUERFKDUJHU GULYHV WKH DFWXDWRU EDVHG RQ WKH LQIRUPDWLRQ UHFHLYHG IURP WKH (&0 DQG FRQWUROV WKH QR]]OH RSHQLQJ DQJOH WKURXJK WKH FRQWURO URG


0DLQWHQDQFH ,QIRUPDWLRQ +. % :KHQ WKH UHJXODWLRQ PRGH VZLWFK LQSXW LV SUHVHQW LQ DGGLWLRQ WR WKH PRGH PDS VZLWFK WKH IROORZLQJ W\SHV RI FRQWURO PHWKRGV DUH DYDLODEOH

0HDQLQJ RI PRGH PDS VZLWFK DQG HDFK PRGH ,Q WKH $36 D FKDQJH WRZDUG WKH HQJLQH 530 GHFUHDVH GLUHFWLRQ FDQ EH PDGH IURP HDFK PRGH SRLQW 7KH VSHFLILHG HQJLQH 530 IRU + 6 / DQG % DUH GHWHUPLQHG GHSHQGLQJ RQ WKH FDOLEUDWLRQ RI WKH (&0

+ 6 / DQG % RI WKH PRGH PDS VZLWFK FKDQJH DV IROORZV GHSHQGLQJ RQ WKH $36 LQSXW &$1 FRPPXQLFDWLRQ :KHQ &$1 FRQWUROOHU GRHV QRW H[LVW RQ WKH DFWXDO XQLW VLGH


% 0DLQWHQDQFH ,QIRUPDWLRQ +. 0RGH PDS VZLWFK FRQWURO

:KHQ &$1 FRQWUROOHU H[LVWV RQ WKH DFWXDO XQLW VLGH

2SHUDWLRQ PRGH

+ 6 / , % /0 , /0 DQG + PRGHV

0$3 2)) 2)) 21 21 2)) 2)) 21 21

2XWHU VZLWFK 0$3 2)) 21 21 2)) 21 2)) 21 2))

0$3 2)) 21 21 2)) 2)) 21 2)) 21

&RQWURO

%DVLF RSHUDWLRQV 0D[LPXP URWDWLRQ FRXQW FRQWURO 0D[LPXP URWDWLRQ FRXQW FRQWURO &RQVWDQW URWDWLRQ RSHUDWLRQ 0D[LPXP URWDWLRQ FRXQW FRQWURO &RQVWDQW URWDWLRQ RSHUDWLRQ


0DLQWHQDQFH ,QIRUPDWLRQ +. % $FFHOHUDWRU SRVLWLRQ VZLWFK %\ RSHUDWLQJ WKH DFFHOHUDWRU SRVLWLRQ VZLWFK WKH RXWSXW YROWDJH FKDQJHV EHWZHHQ 9 DQG 9 9ROWDJHV EHWZHHQ 9 DQG 9 DUH UHFRJQL]HG DV 9 :KHQ WKH YROWDJH LV ORZHUHG EHORZ 9 RU UDLVHG DERYH 9 DQ HUURU LV GHWHFWHG ,Q DGGLWLRQ LI WKH (&0 WHUPLQDOV DQG DUH QRW DW WKH VDPH SRWHQWLDO '7& 3 LV GHWHFWHG

+ 6 / DQG % PRGHV

$FFHOHUDWRU SRVLWLRQ VZLWFK ZLWK $36 OHDUQLQJ FRQWURO ,I WKH $36 OHDUQLQJ FRQWURO LV DYDLODEOH IRU H[DPSOH ZKHQ WKH LJQLWLRQ F\FOH HQGV ZLWK WKH DFFHOHUDWRU SRVLWLRQ DV 9 WKH DFFHOHUDWRU SRVLWLRQ OHDUQLQJ FDXVHV WKH 9 VWDWXV WR EH UHFRJQL]HG DV WKH RSHQLQJ DQJOH DQG WKH FRQWURO UDQJH LV VHW WR 9 WR 9

+ 6 / DQG % PRGHV LUULJDWLRQ SXPS

5HJXODWLRQ PRGH VZLWFK :KHQ DQ LQSXW IURP WKH UHJXODWLRQ PRGH VZLWFK LV SUHVHQW WKH HQJLQH 530 FKDQJHV DV IROORZV


% 0DLQWHQDQFH ,QIRUPDWLRQ +. %\ RSHUDWLQJ LGOLQJ FRQWURO VZLWFK WKH LGOLQJ 530 FDQ EH DGMXVWHG 1RWH㸸 ࣭ $V IRU WKH LQVWDOODWLRQ SRVLWLRQV RI WKH LGOLQJ FRQWURO FKDQJH VZLWFK DQG LGOLQJ FRQWURO VZLWFK UHIHU WR WKH PDQXDO RI WKH DFWXDO XQLW 7KH HQJLQH 530 XSSHU OLPLW YDULHV GHSHQGLQJ RQ WKH HQJLQH PRGHO DFWXDO XQLW VSHFLILFDWLRQV DQG HQJLQH ZDUPLQJ XS FRQGLWLRQ 8S :KLOH WKH 8S VLGH RI WKH VZLWFK LV SUHVVHG WKH HQJLQH 530 LV LQFUHDVHG DQG WKH LGOLQJ 530 FDQ EH UDLVHG

,GOLQJ FRQWURO %\ RSHUDWLQJ WKH LGOLQJ FRQWURO FKDQJH VZLWFK GXULQJ WKH ZDUP XS RSHUDWLRQ WKH PLQLPXP LGOLQJ 530 FDQ EH DGMXVWHG ,Q DGGLWLRQ E\ RSHUDWLQJ WKH LGOLQJ FRQWURO FKDQJH VZLWFK WKH PLQLPXP LGOLQJ 530 FDQ EH DXWRPDWLFDOO\ VHW WR WKH RSWLPXP YDOXH LQ DFFRUGDQFH ZLWK WKH HQJLQH FRRODQW WHPSHUDWXUH

'RZQ :KLOH WKH 'RZQ VLGH RI WKH VZLWFKHV LV SUHVVHG WKH HQJLQH 530 LV GHFUHDVHG DQG WKH LGOLQJ 530 FDQ EH ORZHUHG +RZHYHU WKH HQJLQH 530 FDQQRW EH GHFUHDVHG EHORZ WKH PLQLPXP LGOLQJ 530

,GOLQJ FRQWURO FKDQJH VZLWFK %\ RSHUDWLQJ WKH LGOLQJ FRQWURO FKDQJH VZLWFK WKH LGOLQJ FRQWURO IXQFWLRQV FDQ EH VZLWFKHG

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

7KH LGOLQJ FRQWURO VZLWFK

,GOH PDQXDO FRQWURO

(QJLQH 530 RXWSXW WR WDFKRPHWHU 7KH (&0 RXWSXWV WKH HQJLQH USP SXOVH WR WKH WDFKRPHWHU DV D WDFKRPHWHU RXWSXW 7KH WDFKRPHWHU GLVSOD\V WKH

HQJLQH 530 EDVHG RQ WKH HQJLQH 530 SXOVH VHQW IURP WKH (&0

1RWH㸸 ࣭ 7KH VSHFLILFDWLRQV YDU\ GHSHQGLQJ RQ WKH DFWXDO XQLW VR DYDLODELOLW\ RI IXQFWLRQV DOVR GLIIHU


0DLQWHQDQFH ,QIRUPDWLRQ +. %

3UHKHDW FRQWURO 426 V\VWHP 7KH (&0 GHWHUPLQHV WKH JORZ WLPH DFFRUGLQJ WR WKH HQJLQH FRRODQW WHPSHUDWXUH DQG DFWLYDWHV WKH JORZ UHOD\ DQG WKH 42& LQGLFDWRU OLJKW 7KH 426 V\VWHP LV D V\VWHP WR IDFLOLWDWH HQJLQH VWDUW LQ D ORZ WHPSHUDWXUH DV ZHOO DV UHGXFLQJ WKH DPRXQW RI ZKLWH VPRNH DQG QRLVH JHQHUDWHG LPPHGLDWHO\ DIWHU HQJLQH VWDUW :KHQ WKH VWDUWHU

VZLWFK LV WXUQHG 21 WKH (&0 GHWHFWV WKH WHPSHUDWXUH RI WKH HQJLQH FRRODQW EDVHG RQ WKH VLJQDO VHQW IURP WKH ZDWHU WHPSHUDWXUH VHQVRU WR FKDQJH WKH JORZ WLPH VR WKH HQJLQH FDQ EH DOZD\V VWDUWHG XQGHU WKH RSWLPXP FRQGLWLRQV $OVR WKH DIWHU JORZ IXQFWLRQ FDQ VWDELOL]H WKH LGOLQJ LPPHGLDWHO\ DIWHU HQJLQH VWDUW

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


% 0DLQWHQDQFH ,QIRUPDWLRQ +.

(QJLQH 0$) VHQVRU $LU FOHDQHU 9DULRXV VHQVRUV (&0 '3' VZLWFK

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

6LOHQFHU )LOWHU 2[LGDWLRQ FDWDO\VW ([KDXVW JDV WHPSHUDWXUH VHQVRU '3' GLIIHUHQWLDO SUHVVXUH VHQVRU RXWSXW FLUFXLW E\ FRQWUROOLQJ WKH JURXQG RU SRZHU VXSSO\ FLUFXLW YLD RQH RI WKH GHYLFHV 1RWH㸸 ࣭ $V IRU WKH (&0 LQVWDOODWLRQ SRVLWLRQ UHIHU WR WKH PDQXDO RI WKH DFWXDO XQLW


0DLQWHQDQFH ,QIRUPDWLRQ +. % 1RWHV RQ (&0 PDLQWHQDQFH 7KH (&0 KDV EHHQ GHVLJQHG WR ZLWKVWDQG WKH UHJXODU FXUUHQW FRQVXPSWLRQ DVVRFLDWHG ZLWK WKH DFWXDO XQLW RSHUDWLRQ 0DNH VXUH WKDW WKH FLUFXLW GRHV QRW RYHUORDG :KHQ SHUIRUPLQJ WHVWV IRU DQ RSHQ FLUFXLW RU VKRUW FLUFXLW GR QRW JURXQG RU DSSO\ YROWDJH WR WKH FLUFXLW RI WKH (&0 XQOHVV RWKHUZLVH LQVWUXFWHG :KHQ SHUIRUPLQJ WKHVH FLUFXLW WHVWV PDNH VXUH WR XVH WKH GLJLWDO PXOWLPHWHU 1RWH㸸 ࣭ 8VH WKH (&0 ZKLFK KDV WKH SDUW 1R FRUUHVSRQGLQJ WR WKH DFWXDO XQLW :KHQ SHUIRUPLQJ ZHOGLQJ ZRUN RQ WKH DFWXDO XQLW VWDUW WKH ZRUN DIWHU GLVFRQQHFWLQJ WKH QHJDWLYH WHUPLQDO RI WKH EDWWHU\

(&0 DQG FRPSRQHQWV 7KH (&0 LV GHVLJQHG WR PDLQWDLQ UHJXODWLRQ OHYHOV RI H[KDXVW JDVHV ZKLOH REWDLQLQJ H[FHOOHQW IXHO HIILFLHQF\ 7KH (&0 PRQLWRUV YDULRXV HQJLQH IXQFWLRQV YLD WKH VHQVRUV VXFK DV WKH FUDQNVKDIW SRVLWLRQ VHQVRU

7XUQLQJ 2)) RI WKH (&0 SRZHU VXSSO\ ,Q DSSUR[LPDWHO\ VHFRQGV DIWHU WXUQLQJ WKH VWDUWHU VZLWFK WR 2)) WKH LQWHUQDO SRZHU VXSSO\ RI WKH (&0 LV QRW WXUQHG WR 2)) :KHQ LW LV QHFHVVDU\ WR WXUQ 2)) WKH (&0 SRZHU VXSSO\ H J ZKHQ FOHDULQJ WKH PHPRU\ LW LV UHTXLUHG WR ZDLW IRU VHFRQGV RU ORQJHU DIWHU WXUQLQJ WKH VWDUWHU VZLWFK 2))

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ȍ IRU H[DPSOH (OHFWULFDOO\ (UDVDEOH 3URJUDPPDEOH 5HDG 2QO\ 0HPRU\ ((3520 ((3520 FRQWDLQV YDULRXV SURJUDPV DQG FDOLEUDWLRQ LQIRUPDWLRQ QHFHVVDU\ IRU WKH (&0 WR FRQWURO WKH SRZHU WUDLQ RSHUDWLRQV ,I DEQRUPDOLWLHV DUH IRXQG ZLWK WKH ((3520 UHSODFH WKH (&0 7KH SURJUDP DQG FDOLEUDWLRQ LQIRUPDWLRQ IRU WKH (&0 SRZHU WUDLQ FRQWURO LQFOXGHV WKH HQJLQH W\SH HQJLQH QXPEHU (&0 SDUW QXPEHU '7& LQWHU F\OLQGHU FRUUHFWLRQ OHDUQLQJ YDOXH 45 4 WXQH DQG (*5 FRUUHFWLRQ OHDUQLQJ YDOXH

(QJLQH FRPSRQHQWV ORFDWLRQ GLDJUDP /RFDWLRQV VKDSHV DQG H[LVWHQFH RU QRQH[LVWHQFH RI FRPSRQHQWV YDU\ GHSHQGLQJ RQ WKH VSHFLILFDWLRQV RI WKH DFWXDO XQLW


% 0DLQWHQDQFH ,QIRUPDWLRQ +.

2YHUKHDW VZLWFK :DWHU WHPSHUDWXUH VHQVRU *ORZ SOXJ ,QMHFWRU %RRVW VHQVRU %RRVW WHPSHUDWXUH VHQVRU ,07 VHQVRU )XHO WHPSHUDWXUH VHQVRU

6XSSO\ SXPS 7KH VXSSO\ SXPS KLJKO\ SUHVVXUL]HV WKH IXHO XVLQJ WKH HQJLQH WRUTXH DQG IRUFH IHHGV WKH IXHO WR WKH FRPPRQ UDLO $OVR WKH VXFWLRQ FRQWURO YDOYH IXHO WHPSHUDWXUH VHQVRU IHHG SXPS HWF DUH LQVWDOOHG RQ WKH VXSSO\ SXPS

6XFWLRQ FRQWURO YDOYH &.3 VHQVRU 2LO SUHVVXUH VHQVRU 2LO OHYHO VZLWFK )XHO SUHVVXUH VHQVRU (*5 YDOYH &03 VHQVRU


0DLQWHQDQFH ,QIRUPDWLRQ +. %

)XHO WHPSHUDWXUH VHQVRU 6XFWLRQ FRQWURO YDOYH )HHG SXPS 6XFWLRQ FRQWURO YDOYH 7KH VXFWLRQ FRQWURO YDOYH LV LQVWDOOHG RQ WKH VXSSO\ SXPS SRUWLRQ DQG FRQWUROV WKH IXHO IRUFH IHHG WR WKH FRPPRQ UDLO 7KH (&0 FRQWUROV WKH IXHO GLVFKDUJH DPRXQW E\ UHJXODWLQJ WKH HQHUJL]LQJ WLPH WR WKH VXFWLRQ FRQWURO YDOYH

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㸸 ࣭ 'R QRW UHSODFH WKH IXHO WHPSHUDWXUH VHQVRU :KHQ DQ DEQRUPDOLW\ LV IRXQG UHSODFH WKH VXSSO\ SXPS DVVHPEO\

6XFWLRQ FRQWURO YDOYH

&RPPRQ UDLO 7KH FRPPRQ UDLO UHFHLYHV WKH IXHO IURP WKH VXSSO\ SXPS UHWDLQV WKH IXHO SUHVVXUH DQG GLVWULEXWHV WKH IXHO WR HDFK


% 0DLQWHQDQFH ,QIRUPDWLRQ +. F\OLQGHU 7KH IXHO SUHVVXUH VHQVRU IORZ GDPSHU DQG SUHVVXUH OLPLWHU DUH LQVWDOOHG RQ WKH FRPPRQ UDLO

3UHVVXUH OLPLWHU

)ORZ GDPSHU 3UHVVXUH OLPLWHU )XHO SUHVVXUH VHQVRU &RPPRQ UDLO

)ORZ GDPSHU 7KH IORZ GDPSHU LV LQVWDOOHG WR WKH GLVFKDUJH SRUW RQ WKH FRPPRQ UDLO OHDGLQJ WR HDFK LQMHFWRU DQG UHJXODWHV WKH SUHVVXUH SXOVDWLRQ LQ WKH FRPPRQ UDLO DQG SUHYHQWV H[FHVV IXHO LQMHFWLRQ IURP WKH LQMHFWRU :KHQ WKH IORZ GDPSHU LV DFWLYDWHG IXHO VXSSO\ WR WKH LQMHFWRU LV VWRSSHG

)XHO SUHVVXUH VHQVRU 7KH IXHO SUHVVXUH VHQVRU LV LQVWDOOHG RQ WKH FRPPRQ UDLO DQG GHWHFWV WKH IXHO SUHVVXUH LQVLGH WKH FRPPRQ UDLO WR FRQYHUW LQWR WKH YROWDJH VLJQDO DQG VHQGV LW WR WKH (&0 7KH YROWDJH EHFRPHV KLJKHU ZKHQ WKH SUHVVXUH LV KLJKHU DQG LW EHFRPHV ORZHU ZKHQ WKH SUHVVXUH LV ORZHU 7KH (&0 FDOFXODWHV WKH DFWXDO IXHO SUHVVXUH IURP WKH YROWDJH VLJQDO VHQW IURP WKH VHQVRU DQG XVHV LW WR FRQWURO WKH IXHO LQMHFWLRQ HWF

)XHO SUHVVXUH VHQVRU )ORZ GDPSHU 3UHVVXUH OLPLWHU 7KH SUHVVXUH OLPLWHU LV DFWLYDWHG ZKHQ WKH SUHVVXUH LQ WKH FRPPRQ UDLO EHFRPHV DEQRUPDOO\ KLJK WR UHOHDVH WKH SUHVVXUH LQVLGH WKH FRPPRQ UDLO

,QMHFWRU 7KH LQMHFWRU LV LQVWDOOHG RQ WKH F\OLQGHU KHDG SRUWLRQ DQG LV FRQWUROOHG E\ WKH (&0 WR SHUIRUP IXHO LQMHFWLRQ 7KH (&0 LQWHUQDOO\ ERRVWV WKH YROWDJH IRU GULYLQJ WKH LQMHFWRU WR DSSO\ LW WR WKH LQMHFWRU DQG XVHV LW IRU IXHO LQMHFWLRQ DPRXQW FRQWURO DQG LQMHFWLRQ WLPLQJ FRQWURO E\ UHJXODWLQJ WKH HQHUJL]LQJ WLPH RI WKH LQMHFWRU


0DLQWHQDQFH ,QIRUPDWLRQ +. %

:DWHU WHPSHUDWXUH VHQVRU :DWHU WHPSHUDWXUH VHQVRU LV LQVWDOOHG RQ WKH HQJLQH EORFN DQG WKH WKHUPLVWRU FKDQJHV WKH UHVLVWDQFH YDOXH DFFRUGLQJ WR WKH WHPSHUDWXUH FKDQJH 7KH UHVLVWDQFH YDOXH EHFRPHV VPDOOHU ZKHQ WKH HQJLQH FRRODQW WHPSHUDWXUH LV KLJK DQG WKH YDOXH EHFRPHV ODUJHU ZKHQ WKH HQJLQH FRRODQW WHPSHUDWXUH LV ORZ 7KH (&0 DSSOLHV 9 WR WKH ZDWHU WHPSHUDWXUH VHQVRU WKURXJK WKH SXOO XS UHVLVWRU DQG FDOFXODWHV WKH HQJLQH FRRODQW WHPSHUDWXUH IURP FKDQJHV LQ WKH YROWDJH 7KLV YDOXH LV XVHG LQ YDULRXV FRQWURO PHFKDQLVPV VXFK DV IRU IXHO LQMHFWLRQ FRQWURO 7KH YROWDJH EHFRPHV KLJKHU ZKHQ WKH UHVLVWDQFH LV KLJKHU DQG LW EHFRPHV ORZHU ZKHQ WKH UHVLVWDQFH LV ORZHU

2YHUKHDW VZLWFK 7KH RYHUKHDW VZLWFK LV LQVWDOOHG RQ WKH ZDWHU RXWOHW SLSH DQG LV WXUQHG 21 ZKHQ WKH HQJLQH FRRODQW WHPSHUDWXUH H[FHHGV & )

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

&DPVKDIW SRVLWLRQ VHQVRU 7KH FDPVKDIW SRVLWLRQ VHQVRU LV LQVWDOOHG EHKLQG WKH F\OLQGHU KHDG DQG JHQHUDWHV D &03 VLJQDO ZKHQ WKH FDPVKDIW FDP SDVVHV E\ LW 7KH (&0 GHWHUPLQHV WKH F\OLQGHU DQG VSHFLILHV WKH FUDQN DQJOH XVLQJ WKH &03 VLJQDO LQSXW IURP WKH FDPVKDIW SRVLWLRQ VHQVRU DQG XVHV WKH LQIRUPDWLRQ IRU WKH IXHO LQMHFWLRQ FRQWURO DQG FDOFXODWLRQ RI WKH HQJLQH 530 :KLOH WKLV FRQWURO LV


% 0DLQWHQDQFH ,QIRUPDWLRQ +. XVXDOO\ SHUIRUPHG XVLQJ WKH &.3 VLJQDO WKH &03 VLJQDO LV XVHG LQVWHDG ZKHQ WKH FUDQNVKDIW SRVLWLRQ VHQVRU LV IDXOW\

SRVLWLRQ IURP WKH YROWDJH VLJQDO DQG XVHV LW IRU IXHO LQMHFWLRQ FRQWURO DQG PDQ\ RWKHU FRQWUROV 1RWH㸸 ࣭ $V IRU WKH LQVWDOODWLRQ SRVLWLRQ RI WKH DFFHOHUDWRU SRVLWLRQ VHQVRU UHIHU WR WKH PDQXDO RI WKH DFWXDO XQLW $WPRVSKHULF SUHVVXUH VHQVRU 7KH DWPRVSKHULF SUHVVXUH VHQVRU LV LQVWDOOHG RQ WKH DFWXDO XQLW VLGH DQG LW UHSODFHV WKH DWPRVSKHULF SUHVVXUH ZLWK WKH YROWDJH VLJQDO 7KH (&0 FDOFXODWHV WKH DWPRVSKHULF SUHVVXUH IURP WKH YROWDJH VLJQDO DQG XVHV WKH DWPRVSKHULF SUHVVXUH WR FRUUHFW WKH IXHO LQMHFWLRQ DPRXQW 1RWH㸸 ࣭ $V IRU WKH LQVWDOODWLRQ SRVLWLRQ RI WKH DWPRVSKHULF SUHVVXUH VHQVRU UHIHU WR WKH PDQXDO RI WKH DFWXDO XQLW

&DPVKDIW JHDU 5RWDWLRQDO GLUHFWLRQ &03 VHQVRU 2LO SUHVVXUH VHQVRU 7KH RLO SUHVVXUH VHQVRU LV LQVWDOOHG QHDU WKH VWDUWHU PRWRU RI WKH F\OLQGHU EORFN DQG LW GHWHFWV WKH SUHVVXUH RI WKH HQJLQH RLO WR FRQYHUW LQWR WKH YROWDJH VLJQDO DQG VHQG LW WR WKH (&0 7KH YROWDJH EHFRPHV KLJKHU ZKHQ WKH SUHVVXUH LV KLJKHU DQG LW EHFRPHV ORZHU ZKHQ WKH SUHVVXUH LV ORZHU

(*5 SRVLWLRQ VHQVRU 7KLV VHQVRU LV LQVWDOOHG LQVLGH WKH (*5 YDOYH WR GHWHFW WKH (*5 YDOYH OLIW DPRXQW 1RWH㸸 ࣭ 'R QRW GLVDVVHPEOH WKH (*5 SRVLWLRQ VHQVRU :KHQ DQ DEQRUPDOLW\ LV IRXQG UHSODFH WKH (*5 YDOYH DVVHPEO\

$FFHOHUDWRU SRVLWLRQ VHQVRU 7KH DFFHOHUDWRU SRVLWLRQ VHQVRU LV LQVWDOOHG RQ WKH FRQVROH SDQHO RI WKH DFWXDO XQLW WR VXSSO\ WKH YROWDJH VLJQDO ZKLFK YDULHV LQ DFFRUGDQFH ZLWK WKH DFFHOHUDWRU YROXPH DQJOH WR WKH (&0 7KH (&0 FDOFXODWHV WKH DFFHOHUDWRU SHGDO


0DLQWHQDQFH ,QIRUPDWLRQ +. %

%RRVW VHQVRU 7KH ERRVW VHQVRU GHWHFWV WKH ERRVW XVLQJ WKH SUHVVXUH KRVH EHWZHHQ WKH ERRVW VHQVRU DQG LQWDNH SLSH WR FRQYHUW LQWR WKH YROWDJH VLJQDO DQG VHQGV LW WR WKH (&0 7KH YROWDJH EHFRPHV KLJKHU ZKHQ WKH SUHVVXUH LV KLJKHU DQG LW EHFRPHV ORZHU ZKHQ WKH SUHVVXUH LV ORZHU 7KH (&0 FDOFXODWHV WKH ERRVW IURP WKH YROWDJH VLJQDO VHQW IURP WKH VHQVRU DQG XVHV LW WR FRQWURO WKH IXHO LQMHFWLRQ HWF

7KH ERRVW WHPSHUDWXUH VHQVRU 7KH ERRVW WHPSHUDWXUH VHQVRU LV LQVWDOOHG WR WKH (*5 YDOYH XSVWUHDP VLGH RI WKH LQWDNH PDQLIROG 7KH VHQVRU LV WKH WKHUPLVWRU W\SH DQG WKH UHVLVWDQFH YDOXH LQVLGH WKH VHQVRU FKDQJHV LQ DFFRUGDQFH ZLWK WKH FKDQJH LQ WKH WHPSHUDWXUH

)XHO ILOWHU SUHVVXUH VHQVRU 7KH IXHO ILOWHU SUHVVXUH VHQVRU LV LQVWDOOHG RQ WKH IXHO ILOWHU DQG FRQYHUWV WKH QHJDWLYH SUHVVXUH LQ WKH IXHO ILOWHU LQWR WKH YROWDJH VLJQDO 7KH (&0 FDOFXODWHV WKH QHJDWLYH SUHVVXUH LQ WKH IXHO ILOWHU EDVHG RQ WKH YROWDJH VLJQDO WR GHWHUPLQH FORJJLQJ LQ WKH IXHO ILOWHU

,QWDNH DLU WHPSDUWXUH DQG PDVV DLU IORZ VHQVRUV ,QWDNH DLU WHPSHUDWXUH VHQVRU 7KH LQWDNH DLU WHPSHUDWXUH VHQVRU LV LQVWDOOHG RQ WKH GXFW EHWZHHQ WKH DLU FOHDQHU DQG WXUERFKDUJHU 7KH LQWDNH DLU WHPSHUDWXUH VHQVRU LV YDULDEOH UHVLVWDQFH LQVLGH WKH PDVV DLU IORZ VHQVRU WR PHDVXUH WKH WHPSHUDWXUH RI DLU WDNHQ LQWR WKH HQJLQH :KHQ WKH LQWDNH DLU WHPSDUWXUH VHQVRU LV FROG WKH UHVLVWDQFH RI WKH VHQVRU LV KLJK :KHQ WKH DLU WHPSHUDWXUH ULVHV WKH UHVLVWDQFH RI WKH VHQVRU EHFRPHV ORZ )RU KLJK VHQVRU UHVLVWDQFH WKH (&0 GHWHFWV D KLJK YROWDJH RI WKH VLJQDO FLUFXLW )RU ORZ VHQVRU UHVLVWDQFH WKH (&0 GHWHFWV D ORZ YROWDJH RI WKH VLJQDO FLUFXLW 0DVV DLU IORZ VHQVRU


% 0DLQWHQDQFH ,QIRUPDWLRQ +. 7KH PDVV DLU IORZ VHQVRU PHDVXUHV WKH DPRXQW RI DLU WDNHQ LQWR WKH HQJLQH DQG LW LV LQVWDOOHG RQ WKH GXFW EHWZHHQ WKH DLU FOHDQHU DQG WXUERFKDUJHU 7KH PDVV DLU IORZ VHQVRU FRQVLVWV RI WKH PDVV DLU IORZ VHQVRU DQG LQWDNH DLU WHPSHUDWXUH VHQVRU WR PHDVXUH VRPH RI DLU IORZLQJ LQ WKH GXFW $ VPDOO DPRXQW RI DLU WDNHQ LQWR WKH HQJLQH LQGLFDWHV GHFHOHUDWLRQ RU LGOH 530 $ ODUJH DPRXQW RI DLU LQGLFDWHV DFFHOHUDWLRQ RU KLJK ORDG

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

'3' GLIIHUHQWLDO SUHVVXUH VHQVRU 7KH '3' GLIIHUHQWLDO SUHVVXUH VHQVRU LV LQVWDOOHG QHDU '3' '3' GLIIHUHQWLDO SUHVVXUH VHQVRU YDULHV WKH VLJQDO YROWDJH DFFRUGLQJ WR FKDQJHV RI WKH H[KDXVW JDV GLIIHUHQWLDO SUHVVXUH EHWZHHQ LQ IURQW DQG UHDU RI '3' ILOWHU 7KH (&0 GHWHFWV D ORZHU VLJQDO YROWDJH ZKHQ WKH GLIIHUHQWLDO SUHVVXUH LV VPDOO GXH WR D VPDOO DPRXQW RI DFFXPXODWHG 30 7KH (&0 GHWHFWV D KLJKHU VLJQDO YROWDJH ZKHQ WKH GLIIHUHQWLDO SUHVVXUH LV ODUJH GXH WR D ODUJH DPRXQW RI DFFXPXODWHG 30 7KH (&0 XVHV WKLV YROWDJH VLJQDO IRU FRQWUROOLQJ '3' UHJHQHUDWLRQ DQG GHWHUPLQLQJ SXULILFDWLRQ DIWHU UHJHQHUDWLRQ ,W DOVR XVHV WKH VLJQDO YROWDJH WR GHWHFW ILOWHU IDLOXUHV VXFK DV D WRR ORZ GLIIHUHQWLDO SUHVVXUH

([KDXVW JDV WHPSHUDWXUH VHQVRU 7KH H[KDXVW JDV WHPSHUDWXUH VHQVRUV DUH WKH YDULDEOH UHVLVWRUV WKDW DUH LQVWDOOHG DW ORFDWLRQV RQ WKH '3' KRXVLQJ DQG RQH LV LQVWDOOHG LQ IURQW RI WKH '3' R[LGDWLRQ FDWDO\VW DQG WKH RWKHU LV LQVWDOOHG LQ IURQW RI WKH


0DLQWHQDQFH ,QIRUPDWLRQ +. % ILOWHU 7KH H[KDXVW JDV WHPSHUDWXUH VHQVRU WKDW LV ORFDWHG LQ IURQW RI WKH ILOWHU PHDVXUHV WKH WHPSHUDWXUH RI WKH H[KDXVW JDV EHIRUH HQWHULQJ WKH '3' ILOWHU DQG WKH H[KDXVW JDV WHPSHUDWXUH VHQVRU WKDW LV ORFDWHG LQ IURQW RI WKH R[LGDWLRQ FDWDO\VW PHDVXUHV WKH WHPSHUDWXUH RI WKH H[KDXVW JDV EHIRUH HQWHULQJ WKH R[LGDWLRQ FDWDO\VW :KHQ WKH H[KDXVW JDV WHPSHUDWXUH VHQVRU LV FROG WKH UHVLVWDQFH RI WKH VHQVRU LV KLJK :KHQ WKH H[KDXVW WHPSHUDWXUH ULVHV WKH UHVLVWDQFH RI WKH VHQVRU GHFUHDVHV 7KH (&0 GHWHFWV D KLJK YROWDJH LQ WKH VLJQDO FLUFXLW ZKHQ WKH VHQVRU UHVLVWDQFH LV KLJK $OVR WKH (&0 GHWHFWV D ORZ YROWDJH LQ WKH VLJQDO FLUFXLW ZKHQ WKH VHQVRU UHVLVWDQFH LV ORZ 7KH (&0 XVHV WKLV YROWDJH VLJQDO IRU WHPSHUDWXUH FRQWURO GXULQJ WKH '3' UHJHQHUDWLRQ

7XUERFKDUJHU 7KH WXUERFKDUJHU KDV DQ DFWXDWRU ZLWK EXLOW LQ FRQWURO XQLW LQVWDOOHG 7KH RSHQLQJ DQJOH RI WKH WXUERFKDUJHU YDULDEOH QR]]OH LV GULYHQ E\ WKH DFWXDWRU 7KH EXLOW LQ FRQWURO XQLW SHUIRUPV &$1 FRPPXQLFDWLRQ DQG WKH (&0 SHUIRUPV FRQWURO WKDW FKDQJHV WKH ERRVW SUHVVXUH E\ DGMXVWLQJ WKH QR]]OH RSHQLQJ DQJOH LQ DFFRUGDQFH ZLWK WKH ORDG UHTXLUHPHQW IRU WKH HQJLQH

,07 VHQVRU 7KH ,07 VHQVRU LV D YDULDEOH UHVLVWDQFH LQVWDOOHG RQ WKH LQWDNH PDQLIROG WR PHDVXUH WKH LQWDNH WHPSHUDWXUH RI WKH LQWDNH PDQLIROG :KHQ WKH VHQVRU LV FROG WKH VHQVRU UHVLVWDQFH LV KLJK :KHQ WKH LQWDNH WHPSHUDWXUH ULVHV WKH VHQVRU UHVLVWDQFH GHFUHDVHV )RU ORZ VHQVRU UHVLVWDQFH WKH (&0 GHWHFWV D ORZ YROWDJH RI WKH VLJQDO FLUFXLW

'LDJQRVWLF OLJKW %\ WXUQLQJ 21 WKH GLDJQRVWLF VZLWFK WKH '7& LV LQGLFDWHG E\ EOLQNLQJ 1RWH㸸 ࣭ $V IRU WKH LQVWDOODWLRQ SRVLWLRQ RI WKH GLDJQRVWLF OLJKW UHIHU WR WKH PDQXDO RI WKH DFWXDO XQLW '/& '/& LV WKH FRQQHFWRU IRU FRPPXQLFDWLRQ DQG FRQQHFWLRQ EHWZHHQ WKH WURXEOH GLDJQRVLV VFDQQLQJ WRRO DQG YDULRXV FRQWUROOHUV


% 0DLQWHQDQFH ,QIRUPDWLRQ +. 1RWH㸸 ࣭ $V IRU WKH '/& LQVWDOODWLRQ SRVLWLRQ UHIHU WR WKH PDQXDO RI WKH DFWXDO XQLW

7KH RSHUDWLRQ FDQ EH SHUIRUPHG DW WKH HQJLQH 530 VSHFLILHG IRU HDFK PRGH E\ VZLWFKLQJ WKH PRGH FKDQJH VZLWFK 1RWH㸸 ࣭ $V IRU WKH LQVWDOODWLRQ SRVLWLRQ RI WKH PRGH FKDQJH VZLWFK UHIHU WR WKH PDQXDO RI WKH DFWXDO XQLW

'LDJQRVWLF VZLWFK 7KH GLDJQRVWLF VZLWFK VKRUWV WKH '/& WHUPLQDO 1R DQG 1R RU 1R DQG IODVKHV WKH GLDJQRVWLF OLJKW WR LQGLFDWH WKH '7& 1RWH㸸 ࣭ $V IRU WKH LQVWDOODWLRQ SRVLWLRQ DQG VKDSH RI WKH GLDJQRVWLF VZLWFK UHIHU WR WKH PDQXDO RI WKH DFWXDO XQLW 0HPRU\ FOHDU VZLWFK 7KLV LV XVHG ZKHQ FOHDULQJ WKH UHFRUGHG '7&V LQ WKH (&0 E\ RSHUDWLQJ WKH GLDJQRVWLF VZLWFK DQG WKH PHPRU\ FOHDU VZLWFK 1RWH㸸 ࣭ $V IRU WKH LQVWDOODWLRQ SRVLWLRQ RI WKH PHPRU\ FOHDU VZLWFK UHIHU WR WKH PDQXDO RI WKH DFWXDO XQLW 0RGH FKDQJH VZLWFK

6WDUWHU VZLWFK (QJLQH VWRS VZLWFK )XHO PHWHU 0HPRU\ FOHDU VZLWFK 0RGH VZLWFK :DWHU WHPSHUDWXUH JDXJH 2LO WHPSHUDWXUH JDXJH +RXU PHWHU

(&0 SRZHU GLVWULEXWLRQ GLDJUDP 6RPH VHQVRUV PD\ QRW EH FRQQHFWHG WR WKH (&0 GHSHQGLQJ RQ WKH VSHFLILFDWLRQV RI WKH DFWXDO XQLW 6LQFH VRPH VHQVRUV PD\ SHUIRUP LQSXW RXWSXW ZLWK WKH (&0 GHSHQGLQJ RQ WKH &$1 FRPPXQLFDWLRQ FRQILUP WKH VSHFLILFDWLRQV RI WKH DFWXDO XQLW


0DLQWHQDQFH ,QIRUPDWLRQ +. %


% 0DLQWHQDQFH ,QIRUPDWLRQ +.

(&0 SLQ DVVLJQPHQW


0DLQWHQDQFH ,QIRUPDWLRQ +. %

SLQ FRQQHFWRU


% 0DLQWHQDQFH ,QIRUPDWLRQ +. 3LQ 1R

3LQ QDPH 23 &20 $ 23 &20 % 23 &20 & 20 (%0 63 9 63 9 ,$ 0$7 ,$ 7+/ ,$ 7+%67 ,$ 3)8(/ ,$ 2,/35(66 ,$ 0$3 ,$ ,'0326 23 6&9+, 23 &20 $ 23 &20 % 23 &20 & 20 (%0 63 9 63 9 63 9 ,$ 7+:

6* 957

6* 6/' ,$ 23/2 23 6&9+, 26 ,1- 26 ,1- 26 ,1- 20 (%0 6* 957 6* 957 6* 957 6* 6/'

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


0DLQWHQDQFH ,QIRUPDWLRQ +. % SLQ FRQQHFWRU

,$ 6&9/2 26 ,1- 26 ,1- 26 ,1- 20 ,'0 20 ,'0 ,6 (%0326 ,6 (%0326 ,6 (%0326 6* 957 ,) &$0 ,) &5$1. 6* 6/' ,$ 6&9/2

6&9 /2 GULYH ,QMHFWRU 7KLUG F\OLQGHU ,QMHFWRU )RXUWK F\OLQGHU ,QMHFWRU )LIWK F\OLQGHU ,QWDNH WKURWWOH PRWRU ,QWDNH WKURWWOH PRWRU (*5 SRVLWLRQ VHQVRU VLJQDO 8 (*5 SRVLWLRQ VHQVRU VLJQDO 9 (*5 SRVLWLRQ VHQVRU VLJQDO : ,07 VHQVRU *1' &DPVKDIW SRVLWLRQ VHQVRU VLJQDO &UDQNVKDIW SRVLWLRQ VHQVRU VLJQDO )XHO SUHVVXUH VHQVRU VKLHOG 6&9 /2 GULYH


% 0DLQWHQDQFH ,QIRUPDWLRQ +. 3LQ 1R

3LQ QDPH 3* 32:(5 3* 32:(5 3* 32:(5 3* 32:(5 3* 32:(5 3* 32:(5 36 % 63 9 63 9 63 9 && .: && %2275; ,$ 7+( ,$ 7+( ,$ ,$7 ,$ 0$) ,$ ),35(66 ,$ (;+3 ,$ $&&(/ ,$ $&&(/ ,$ %$52 && ,62&$1 / 36 % 6* 957 && %2277; 02' 3* 6,*1 ,6 6&96: ,6 67$57 ,6 /2$' ,6 5(* ,6 6:/2 ,6 ,'/01/

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


0DLQWHQDQFH ,QIRUPDWLRQ +. %

,6 0'0$3 ,6 ,'/83 ,6 0'0$3 ,6 0'0$3 ,6 ,'/':1 && ,62&$1 + 36 %

6* 957

6* 957 26 0$,15 6* 6/' 63 9 3* 6,*1 ,6 (1*673 ,6 '3'5(* 26 295/ 26 2,/3/ 26 %2267/ 26 29+/ 26 23/ 2) 7$&+2 26 '3'5(* 26 ',$*/ 26 (*57/ && &$1 / 36 % ,6 ,*.(< 6* 957 26 0$,15 3* &$6( 36 0$)%$7 ,6 6:+, ,6 ',$* ,6 0(0&/ ,6 '*6(/ ,6 6:+, 26 */2:/ 26 23/ 26 ),35(66/ 26 7+// 26 '3'6/

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


% 0DLQWHQDQFH ,QIRUPDWLRQ +.

26 +285 26 67$575 26 */2:5 && &$1 +

+RXU PHWHU UHOD\ 6WDUWHU FXW UHOD\ JORZ UHOD\ &$1 +LJK


0DLQWHQDQFH ,QIRUPDWLRQ +. %

0DLQWHQDQFH SUHFDXWLRQV

0DLQWHQDQFH SUHFDXWLRQV

3UHFDXWLRQV RQ PDLQWHQDQFH

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࣭:KLOH WKH DLU GXFW RU DLU FOHDQHU LV UHPRYHG FRYHU WKH RSHQ VHFWLRQ RI WKH LQWDNH WR SUHYHQW IRUHLJQ PDWWHUV IURP HQWHULQJ WKH F\OLQGHU ,I D IRUHLJQ PDWWHU HQWHUV WKH F\OLQGHU LW PD\ VHULRXVO\ GDPDJH WKH F\OLQGHU ZKHQ WKH HQJLQH VWDUWV ࣭:KHQ PDLQWDLQLQJ WKH HQJLQH EH VXUH WR GLVFRQQHFW WKH QHJDWLYH EDWWHU\ FDEOH )DLOXUH WR GR WKLV PD\ FDXVH WKH KDUQHVV RU HOHFWULFDO FRPSRQHQWV WR EH GDPDJHG ,I HQHUJL]LQJ LV UHTXLUHG IRU LQVSHFWLRQ EH FDUHIXO QRW WR FDXVH D VKRUW ࣭%HIRUH DVVHPEO\ DSSO\ WKH HQJLQH RLO WR WKH VOLGH FRQWDFW VXUIDFH RI WKH HQJLQH 7KLV ZRUN HQVXUHV DSSURSULDWH OXEULFDWLRQ ZKHQ ILUVW VWDUWLQJ WKH HQJLQH

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࣭%HIRUH VWDUWLQJ PDLQWHQDQFH FOHDQ WKH IXHO OLQH DQG LWV VXUURXQGLQJV ࣭%H VXUH WR ZDVK \RXU KDQGV EHIRUH VWDUWLQJ PDLQWHQDQFH 'R QRW SXW RQ FRWWRQ ZRUN JORYHV ࣭:KHQ WKH IXHO KRVH RU IXHO SLSH LV UHPRYHG FRYHU WKH RSHQLQJ ZLWK D SODVWLF EDJ DQG IL[ LW ZLWK D SLHFH RI WDSH ࣭:KHQ WKH KLJK SUHVVXUH SLSLQJ RI WKH IXHO V\VWHP LV UHPRYHG EH VXUH WR UHSODFH LW ZLWK D QHZ RQH ,I LW LV UHXVHG WKH VHDOLQJ VXUIDFH PD\ EH GDPDJHG WR FDXVH IXHO OHDNDJH ࣭:KHQ UHSODFLQJ WKH IXHO KRVH DQG RU IXHO SLSH GR QRW XQSDFN QHZ FRPSRQHQWV EHIRUH VWDUWLQJ LQVWDOODWLRQ ࣭:KHQ WKH IXHO SLSH LQMHFWLRQ SLSH IXHO LQMHFWRU IXHO VXSSO\ SXPS DQG RU FRPPRQ UDLO DUH UHPRYHG VHDO HDFK RSHQLQJ LPPHGLDWHO\ ࣭6WRUH WKH H\HEROW DQG JDVNHW LQ D FOHDQ SDUWV ER[ ZLWK D FRYHU VR WKDW IRUHLJQ PDWWHU GRHV QRW DWWDFK WR WKHP

࣭:KHQ WKH YDOYH WUDLQ FRPSRQHQW SLVWRQ SLVWRQ ULQJ FRQQHFWLQJ URG FRQQHFWLQJ URG EHDULQJ DQG RU FUDQNVKDIW MRXUQDO EHDULQJ DUH UHPRYHG OLQH WKHP XS LQ WKH FRUUHFW RUGHU VR WKDW WKHLU RULJLQDO SRVLWLRQV DUH FOHDU

࣭)XHO OHDNDJH PD\ FDXVH D ILUH 7KHUHIRUH EH VXUH WR ZLSH VSLOOHG IXHO DIWHU FRPSOHWLQJ WKH PDLQWHQDQFH ZRUN DQG FRQILUP WKDW WKHUH LV QR IXHO OHDNDJH EHIRUH VWDUWLQJ WKH HQJLQH

࣭:KHQ LQVWDOOLQJ LQVWDOO LW LQ WKH VDPH SRVLWLRQ DV ZKHQ LW ZDV UHPRYHG

࣭:KHQ DVVHPEOLQJ WKH HQJLQH UHSODFH WKH JDVNHW RLO VHDO DQG 2 ULQJ ZLWK QHZ RQHV ࣭)RU D FRPSRQHQW ZLWK WKH OLTXLG JDVNHW DSSOLHG FDUHIXOO\ UHPRYH WKH ROG OLTXLG JDVNHW DQG FOHDQ WKH FRPSRQHQW VR WKDW QR RLO ZDWHU DQG RU GXVW UHPDLQ 7KHUHDIWHU DSSO\ WKH VSHFLILHG OLTXLG JDVNHW WR HDFK FRPSRQHQW EHIRUH DVVHPEO\

&DXWLRQV RQ HOHFWURQLF V\VWHP

8VLQJ FLUFXLW WHVW WRROV 8QOHVV VSHFLILFDOO\ LQVWUXFWHG LQ WKH GLDJQRVWLF SURFHGXUH GR QRW XVH D WHVW OLJKW ZKHQ GLDJQRVLQJ WKH SRZHUWUDLQ HOHFWURQLF V\VWHP :KHQ D SUREH FRQQHFWRU LV UHTXLUHG LQ WKH GLDJQRVWLF SURFHGXUH XVH WKH FRQQHFWRU WHVW DGDSWHU NLW

࣭$VVHPEOH FRPSRQHQWV ZLWK WKH OLTXLG JDVNHW DSSOLHG ZLWKLQ PLQXWHV RI DSSO\LQJ WKH OLTXLG JDVNHW ,I PLQXWHV KDYH SDVVHG UHPRYH WKH ROG OLTXLG JDVNHW DQG DSSO\ OLTXLG JDVNHW DJDLQ ࣭:KHQ DVVHPEOLQJ RU LQVWDOOLQJ D FRPSRQHQW PDNH VXUH WR WLJKWHQ WKHP DW WKH VSHFLILHG WRUTXH WR HQVXUH VHFXUH LQVWDOODWLRQ

667 FRQQHFWRU WHVW DGDSWHU NLW &RPPHUFLDO HOHFWURQLF HTXLSPHQW


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

࣭ 7R SUHYHQW GDPDJH GXH WR HOHFWURVWDWLF GLVFKDUJH GR QRW RSHQ WKH SDFNDJLQJ RI D UHSODFHPHQW SDUW XQWLO LQVWDOODWLRQ SUHSDUDWLRQ IRU WKH UHSODFHPHQW SDUW LV FRPSOHWHG ࣭ 7R SUHYHQW GDPDJH GXH WR HOHFWURVWDWLF GLVFKDUJH FRQQHFW WKH SDUW SDFNDJLQJ WR D SURSHUO\ ZRUNLQJ JURXQG FRQQHFWLRQ RI WKH DFWXDO XQLW EHIRUH UHPRYLQJ WKH SDUW IURP LWV SDFNDJLQJ ࣭ 7R SUHYHQW GDPDJH GXH WR HOHFWURVWDWLF GLVFKDUJH ZKHQ KDQGOLQJ D SDUW ZKLOH VOLGLQJ DFURVV WKH VHDW VLWWLQJ GRZQ IURP D VWDQGLQJ SRVLWLRQ RU ZDONLQJ D FHUWDLQ GLVWDQFH WRXFK D SURSHUO\ ZRUNLQJ JURXQG FRQQHFWLRQ EHIRUH DWWDFKLQJ WKH SDUW

&DXWLRQ㸸 ࣭ 0DNH VXUH WKDW FRPPHUFLDO HOHFWURQLF HTXLSPHQW LV FRQQHFWHG WR D FLUFXLW WKDW LV QRW LQYROYHG ZLWK WKH FLUFXLWV RI WKH HOHFWURQLF FRQWURO V\VWHP IRU ERWK SRZHU DQG JURXQG

)XHO LQMHFWLRQ V\VWHP )XHO SLSLQJ 7KH KLJK SUHVVXUH SLSH DQG LQMHFWRU SLSH LQ WKH IXHO V\VWHP VKRXOG QRW EH UHXVHG :KHQ LW LV RQFH UHPRYHG PDNH VXUH WR UHSODFH LW ZLWK QHZ RQH 7KH SUHVVXUH OLPLWHU RU IXHO SUHVVXUH VHQVRU VKRXOG QRW EH UHSODFHG LQGLYLGXDOO\ :KHQ D IDLOXUH LV IRXQG WKH FRPPRQ UDLO DVVHPEO\ DQG DOO IXHO SLSHV VKRXOG EH UHSODFHG

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㸸 ࣭ 7R SUHYHQW GDPDJH GXH WR HOHFWURVWDWLF GLVFKDUJH GR QRW WRXFK WKH FRQQHFWRU SLQV RI WKH (&0 RU WKH HOHFWURQLF FRPSRQHQWV VROGHUHG RQWR WKH FLUFXLW ERDUG RI WKH (&0

,QMHFWRU SLSH )ORZ GDPSHU 3UHVVXUH OLPLWHU )XHO SUHVVXUH VHQVRU &RPPRQ UDLO

3URJUDPPLQJ

3URJUDPPLQJ JXLGHOLQH :KHQ WKH (&0 RU LQMHFWRU KDV EHHQ UHSODFHG XVH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR ZULWH HDFK GDWD LQWR WKH (&0 $V IRU WKH SURJUDPPLQJ PHWKRG UHIHU WR WKH LQVWUXFWLRQ PDQXDO RI WKH WURXEOH GLDJQRVLV VFDQ WRRO


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


% 0DLQWHQDQFH ,QIRUPDWLRQ +.

,QWURGXFWLRQ WR WKH WURXEOH GLDJQRVLV

,QWURGXFWLRQ WR WKH WURXEOH GLDJQRVLV

$ERXW WURXEOH GLDJQRVLV 7KH IROORZLQJ WURXEOH GLDJQRVLV SURFHGXUH LV H[WUHPHO\ LPSRUWDQW WR UHVROYH SUREOHPV RI DOO HOHFWULF HOHFWURQLF V\VWHPV 1HJOHFWLQJ WR LPSOHPHQW WKHVH VWHSV PD\ UHVXOW LQ UHTXLULQJ XQQHFHVVDU\ UHSDLUV 5HDG DQG XQGHUVWDQG WKH SURFHGXUH FDUHIXOO\ DQG SURFHHG ZLWK WKH WURXEOH GLDJQRVLV $OVR XVH DYDLODEOH IXQFWLRQV DQG WKH WURXEOH GLDJQRVLV VFDQ WRRO WR SHUIRUP WKH WURXEOH GLDJQRVLV DQG V\VWHP FKHFN 7URXEOH GLDJQRVLV SURFHGXUH &KHFNLQJ FRPSODLQWV IURP FXVWRPHU ࣭8VH WKH FKHFN VKHHW WR RUJDQL]H WKH WURXEOH VLWXDWLRQ

3HUIRUPLQJ SUHOLPLQDU\ LQVSHFWLRQ ࣭3HUIRUP RYHUDOO YLVXDO LQVSHFWLRQ ࣭&KHFN WKH SDVW PDLQWHQDQFH KLVWRU\ ࣭'HWHFW DQ\ DEQRUPDOLW\ VXFK DV DEQRUPDO QRLVH VPHOO HWF ࣭&ROOHFW WKH IDLOXUH WURXEOH '7& LQIRUPDWLRQ WR SURYLGH HIIHFWLYH UHSDLU ࣭,QVSHFW IRU DQ DEQRUPDOLW\ E\ FRPSDULQJ WR WKH VWDQGDUG YDOXH ,QVSHFW WKH VHUYLFH LQIRUPDWLRQ ࣭&KHFN WKH PDUNHW VHUYLFH EXOOHWLQ 3HUIRUP LQVSHFWLRQ IRU WKH GLVSOD\HG FRGH ࣭,QVSHFW WKH LWHP VKRZQ E\ '7& 3HUIRUP DQ LQVSHFWLRQ IRU SUREOHPV DFFRUGLQJ WR V\PSWRPV ࣭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

7KH FXVWRPHU FRPSODLQW LV FOHDU EXW WKH IDLOXUH FRQGLWLRQV DUH XQFOHDU 7KHUHIRUH WKH SHUVRQ SHUIRUPLQJ WKH GLDJQRVLV FDQ UHSURGXFH WKH IDLOXUH E\ XQGHUVWDQGLQJ LWV FRQGLWLRQV ,QWHUPLWWHQW IDLOXUHV LQWHUPLWWHQW 6WDJH ZKHUH IDLOXUH LV UHDOLVWLF 7KH RFFXUUHQFH RI WKH IDLOXUH LV VHW DQG WKH FXVWRPHU FRPSODLQW LV UHDO DQG FOHDU 7KHUHIRUH WKH SHUVRQ SHUIRUPLQJ WKH GLDJQRVLV FDQ UHSURGXFH WKH IDLOXUH +RZHYHU WKHUH PD\ VRPHWLPHV EH PRUH WKDQ FDXVHV IRU WKH IDLOXUH &XUUHQW PDOIXQFWLRQ &XUUHQW IDLOXUHV

'LDJQRVLV )XOO\ XQGHUVWDQG WKH GHVFULSWLRQ JLYHQ E\ WKH FXVWRPHU XVLQJ WKH (QJLQH &RQWURO 6\VWHP &KHFN 6KHHW

1RWH㸸 ࣭ :KHQ TXHVWLRQLQJ GR QRW DVN UDQGRPO\ EXW IRFXV RQ WKH V\VWHP WKDW LV LQIHUUHG WR EH GHIHFWLYH EDVHG RQ WKH PDOIXQFWLRQ SKHQRPHQRQ 'HWHUPLQH IDLOXUH LQIRUPDWLRQ DFFXUDWHO\ +DYH FRQFUHWH XQGHUVWDQGLQJ EDVHG RQ : + /RZ DLU WHPSHUDWXUH DW VWDUW RU RQ D VWHDG\ EDVLV QHDU WKH HQJLQH SDUWV PHWDOOLF VRXQG HWF &KHFN SRLQWV ࣭)DLOXUH V\PSWRPV ࣭0RQWK DQG 'DWH 7LPH )UHTXHQF\ RI RFFXUUHQFH ࣭5RDG FRQGLWLRQV ࣭'ULYLQJ FRQGLWLRQV 2SHUDWLRQ FRQGLWLRQV :HDWKHU ࣭)HHOLQJ RI V\PSWRP (QJLQH FRQWURO V\VWHP FKHFN VKHHW :KHQ UHFHLYLQJ WKH DFWXDO XQLW IURP WKH FXVWRPHU DW WKH VHUYLFH IDFWRU\ WKH IDLOXUH V\PSWRPV DQG WKH GDWD RQ RFFXUUHQFH RI IDLOXUH PXVW EH FRQILUPHG ZLWK WKH FXVWRPHU EDVHG RQ WKH HQJLQH FRQWURO FKHFN VKHHW ࣭)DLOXUH V\PSWRPV PD\ QRW EH DEOH WR EH UHSURGXFHG DW WKH VHUYLFH IDFWRU\ ࣭7KH FXVWRPHU V FRPSODLQW PD\ QRW DOZD\V EH D PDOIXQFWLRQ ࣭1RWLILFDWLRQ RI LQFRUUHFW PDOIXQFWLRQ FRQGLWLRQV WR WKH SHUVRQ LQ FKDUJH RI UHSDLUV PD\ UHVXOW LQ XQQHFHVVDU\ PDQ KRXUV IRU UHSDLUV ࣭ 7KH FKHFN VKHHW DVVLVWV LQ DFWXDO XQLW GLDJQRVLV UHSDLU DQG UHSDLU FRQILUPDWLRQ DW WKH YHKLFOH VHUYLFLQJ IDFWRU\


0DLQWHQDQFH ,QIRUPDWLRQ +. % )DLOXUH V\PSWRPV )DLOXUH IUHTXHQF\࣭IDLOXUH FRQGLWLRQV


% 0DLQWHQDQFH ,QIRUPDWLRQ +.

3UHSDUDWRU\ FKHFN 9LVXDO LQVSHFWLRQ RI HQJLQH URRP

:KHQ LPSOHPHQWLQJ WKH GLDJQRVWLF SURFHGXUHV FDUHIXOO\ PDNH D YLVXDO LQVSHFWLRQ RI WKH HQJLQH


0DLQWHQDQFH ,QIRUPDWLRQ +. % URRP 7KLV LQVSHFWLRQ FDQ RIWHQ OHDG WR VROYLQJ D SUREOHP ZLWKRXW WDNLQJ H[WUD VWHSV ࣭9LVXDOO\ LQVSHFW DOO DLU KRVHV IRU SXQFKHG KROHV FXWV GLVFRQQHFWLRQV DQG DSSURSULDWH SLSLQJ ࣭9LVXDOO\ LQVSHFW WKH KRVHV WKDW DUH GLIILFXOW WR VHH EHKLQG RWKHU FRPSRQHQWV ࣭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

7URXEOH GLDJQRVLV %DVLF NQRZOHGJH RI WRROV UHTXLUHG

1RWH㸸 ࣭ :KHQ SHUIRUPLQJ WKH GLDJQRVWLF SURFHGXUH ODFN RI EDVLF NQRZOHGJH UHJDUGLQJ WKLV SRZHUWUDLQ FRXOG UHVXOW LQ DQ LQFRUUHFW GLDJQRVLV RU GDPDJH WR WKH SRZHUWUDLQ FRPSRQHQWV 'R QRW DWWHPSW WR GLDJQRVH D SUREOHP UHODWHG WR WKH SRZHUWUDLQ ZLWKRXW KDYLQJ WKH EDVLF NQRZOHGJH $ EDVLF

XQGHUVWDQGLQJ RI KDQG WRROV VXFK DV WKH WURXEOH GLDJQRVLV VFDQ WRROV LV UHTXLUHG WR XWLOL]H WKH VHUYLFH PDQXDO HIIHFWLYHO\ $ERXW WKH GLDJQRVWLF WHVW SHUIRUPHG RQ WKH DFWXDO XQLW 3DVW IDLOXUHV ࣭7KH GLDJQRVWLF WHVWV RI WKH SUHYLRXV LJQLWLRQ F\FOH KDYH EHHQ FRPSOHWHG ࣭7KH GLDJQRVWLF WHVWV RI WKH FXUUHQW LJQLWLRQ F\FOH KDYH SDVVHG ࣭3UREOHPV LGHQWLILHG LQ WKH GLDJQRVWLF WHVWV FXUUHQWO\ GR QRW H[LVW &XUUHQW IDLOXUHV ࣭7KH GLDJQRVWLF WHVWV RI WKH SUHYLRXV LJQLWLRQ F\FOH KDYH EHHQ FRPSOHWHG ࣭3UREOHPV LGHQWLILHG LQ WKH GLDJQRVWLF WHVWV FXUUHQWO\ H[LVW ࣭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㸸 ࣭ 7KH LQVWDOODWLRQ SRVLWLRQ RI WKH '/& DQG H[LVWHQFH RU QRQH[LVWHQFH RI WKH '/& YDU\ GHSHQGLQJ RQ WKH DFWXDO XQLW VR UHIHU WR WKH PDQXDO RI WKH DFWXDO XQLW (&0 2)) 7XUQ WKH (&0 RII VWDUWHU VZLWFK RII DQG WKH (&0 SRZHU VXSSO\ FRPSOHWHO\ WRSV LQ DSSUR[LPDWHO\ VHFRQGV WR GLVDEOH WKH (&0 *HQHUDO GLDJQRVWLF RSHUDWLRQV RI WKH FRPSRQHQWV PRQLWRU


% 0DLQWHQDQFH ,QIRUPDWLRQ +. 7R UXQ WKH HQJLQH QRUPDOO\ D JHQHUDO GLDJQRVLV RI WKH FRPSRQHQWV LV UHTXLUHG ,QSXW FRPSRQHQWV ,QVSHFW WKH LQSXW FRPSRQHQWV WR VHH ZKHWKHU DQ RSHQ LQ WKH FLUFXLW RU RXWVLGH UDQJH YDOXH H[LVWV &UDQNVKDIW SRVLWLRQ VHQVRU &DPVKDIW SRVLWLRQ VHQVRU :DWHU WHPSHUDWXUH VHQVRU %RRVW VHQVRU )XHO SUHVVXUH VHQVRU $FFHOHUDWRU SRVLWLRQ VHQVRU 2XWSXW FRPSRQHQWV 7KH RXWSXW FRPSRQHQWV DUH LQVSHFWHG WR GLDJQRVH ZKHWKHU UHVSRQVHV WR FRPPDQGV IURP WKH FRQWURO XQLW DUH DSSURSULDWH ,QVSHFW ZKHWKHU WKH FLUFXLWV KDYH GLVFRQQHFWLRQV DQG ZKHWKHU WKHLU YDOXHV DUH ZLWKLQ WKH UDQJH 6XFWLRQ FRQWURO YDOYH /LJKW 5HOD\ FRQWURO 0DJQHWLF YDOYH 'LDJQRVWLF OLJKW

'7& UHDGLQJ SURFHGXUH 5HDGLQJ '7& ZLWK GLDJQRVWLF OLJKW &XUUHQW DQG SDVW '7&V UHFRUGHG LQ WKH (&0 FDQ EH GLVSOD\HG E\ FRQQHFWLQJ WKH GLDJQRVWLF VZLWFK DQG EOLQNLQJ WKH GLDJQRVWLF OLJKW ࣭7XUQ WKH VWDUWHU VZLWFK 21 DQG FKHFN WKDW WKH GLDJQRVWLF OLJKW WXUQV RQ

'7& LQGLFDWHG E\ GLDJQRVWLF OLJKW EOLQNLQJ GLVSOD\ 7KH FXUUHQW DQG SDVW '7&V DUH ERWK GLVSOD\HG ZKLOH WKH HQJLQH LV EHLQJ VWRSSHG :KLOH WKH HQJLQH LV LQ RSHUDWLRQ WKH OLJKW LV WXUQHG RQ RQO\ ZKHQ D FXUUHQW '7& H[LVWV 8VLQJ WKH WURXEOH GLVSOD\ PRQLWRU WR UHDG WKH '7& :KHQ D '7& RFFXUV WKH '7& FDQ EH GLVSOD\HG RQ WKH WURXEOH GLVSOD\ PRQLWRU RI WKH DFWXDO XQLW

࣭7XUQ WKH VWDUWHU VZLWFK 21 EXW WKH HQJLQH RII ࣭&RQQHFW WKH GLDJQRVWLF VZLWFK )RU DQ DFWXDO XQLW ZLWK QR GLDJQRVWLF VZLWFK VKRUW WKH '/& 1R DQG 1R RU 1R ࣭5HDG WKH EOLQNLQJ FRXQW RI WKH GLDJQRVWLF OLJKW ࣭7KH '7& GHWHUPLQHV WKH IDLOXUH FRQWHQWV IURP WKH GLDJQRVWLF WURXEOH FRGH OLVW ,I WKH WURXEOH GLDJQRVWLF VFDQ WRRO LV FRQQHFWHG WKH GLDJQRVWLF FRGHV FDQ EH UHDG E\ RSHUDWLQJ WKH WURXEOH GLDJQRVWLF VFDQ WRRO 1RWH㸸 ࣭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

8VLQJ WKH VFDQ WRRO WR UHDG WKH '7& 7KH '7& FDQ EH UHDG XVLQJ WKH WURXEOH GLDJQRVLV VFDQ WRRO 1RWH㸸 ࣭ )RU WKH ZRUN SURFHGXUH UHIHU WR WKH PDQXDO RI WKH WURXEOH GLDJQRVLV VFDQ WRRO :KHQ WKH '7& LV UHFRUGHG


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

WKDW WKH V\PSWRP KDV EHHQ FRUUHFWHG 7KLV LQFOXGHV WKH FRQILUPDWLRQ WHVW SHUIRUPHG RQ WKH DFWXDO XQLW RU RWKHU PHWKRGV WR FRQILUP WKDW WKH FRPSODLQW KDV EHHQ UHVROYHG &RQILUP E\ WHVWLQJ XQGHU WKH FRQGLWLRQV JLYHQ E\ WKH FXVWRPHU :KHQ D '7& LV GLDJQRVHG FRQILUP WKDW WKH IDLOXUH KDV EHHQ UHSDLUHG E\ UHSURGXFLQJ WKH FRQGLWLRQ WKDW DSSHDUHG ZKHQ WKH '7& ZDV VHW ZKLOH FKHFNLQJ WKH VFDQ WRRO GDWD

&KHFN DIWHU UHSDLU &KHFN UHSDLU RQ DFWXDO XQLW :KHQ DQ UHSDLU KDV EHHQ SHUIRUPHG IRU WKH HOHFWURQLF FRQWURO V\VWHP LW LV QHFHVVDU\ WR FKHFN WKDW WKH UHSDLU LV DFFXUDWH DIWHU UHSDLULQJ WKH DFWXDO XQLW ,I WKLV FKHFN LV QRW DGHTXDWH WKH GLDJQRVWLF OLJKW PD\ OLJKW DJDLQ ZKLOH UHWXUQLQJ WKH DFWXDO XQLW WR WKH FXVWRPHU RU GULYDELOLW\ SUREOHPV PD\ RFFXU (VSHFLDOO\ IRU DQ LQWHUPLWWHQW IDLOXUH LW LV QHFHVVDU\ WR SHUIRUP WKH FKHFN E\ UHSURGXFLQJ WKH FRQGLWLRQV RI WKH FXVWRPHU FRPSODLQW

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

)LQDO FKHFN LWHP OLVW


% 0DLQWHQDQFH ,QIRUPDWLRQ +. ,WHP

,WHP

'7& FKHFN

,GOLQJ VSHHG FKHFN DIWHU ZDUPLQJ XS WKH HQJLQH

&RQILUP WKH VFDQ WRRO GDWD OLVW

5H VWDUWDELOLW\ FKHFN

&KHFN SRZHUIXO HOHFWURPDJQHWLF WUDQVPLWWHUV

2EMHFWLYH

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

6XSSOHPHQWDU\ LQIRUPDWLRQ UHJDUGLQJ WKH FKHFN IRU SRZHUIXO HOHFWURPDJQHWLF WUDQVPLWWHUV ,I \RX GLVFRYHU D SUREOHP LQ WKLV LWHP FRQYH\ LW WR WKH FXVWRPHU DV QHFHVVDU\ ࣭,QVWDOO WKH DQWHQQD WR WKH D SODFH GLVWDQW IURP WKH HOHFWURQLF FRQWURO V\VWHP RI WKH DFWXDO XQLW VXFK DV WKH FRQWURO XQLWV DQG VHQVRUV ࣭,QVWDOO WKH DQWHQQD FRUG DW OHDVW FP DZD\ IURP WKH HOHFWURQLF V\VWHPV RI WKH DFWXDO XQLW VXFK DV WKH FRQWURO XQLWV DQG VHQVRUV ࣭'R QRW ZLUH RWKHU FDEOHV WRJHWKHU ZLWK DQWHQQD $OVR ORFDWH WKH DQWHQQD FRUG DV IDU DZD\ IURP RWKHU ZLULQJ DV SRVVLEOH ࣭0DNH VXUH WR DWWDFK UHWURILWWHG HTXLSPHQW LQ DFFRUGDQFH ZLWK WKHLU UHVSHFWLYH LQVWDOODWLRQ PDQXDOV ࣭'R QRW LQVWDOO KLJK RXWSXW PRELOH FRPPXQLFDWLRQ GHYLFHV &DXWLRQ㸸 ࣭ )ROORZ WKH VWHSV ZKHQ SHUIRUPLQJ WKH 2%' V\VWHP FKHFNV WR FRQILUP WKH UHSDLU )DLOXUH WR IROORZ WKHVH VWHSV PD\ UHVXOW LQ SHUIRUPLQJ XQQHFHVVDU\ UHSDLU ZRUNV ࣭ 5HYLHZ WKH VFDQ WRRO GDWD UHODWLQJ WR WKH '7& WKDW ZDV GLDJQRVHG DQG PDNH D UHFRUG ࣭ &OHDU WKH '7& ࣭ 2SHUDWH WKH DFWXDO XQLW ZKLOH FKHFNLQJ WKH UHODWHG VFDQ WRRO GDWD

'7& FOHDULQJ PHWKRG

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㸸 ࣭ :KHQ FRQGLWLRQV VXFK DV WKH UXQQLQJ VWDWH RI WKH DFWXDO XQLW RU WKH HQJLQH ZDWHU WHPSHUDWXUH VZLWFKHV DQG JHDU SRVLWLRQ DUH QRW PHW RU ZKHQ D '7& KDV EHHQ GHWHFWHG HDFK WHVW PD\ SRVVLEO\ QRW RSHUDWH (&0 UHIODVK 7KH (&0 FDQ EH XSGDWHG E\ RYHUZULWLQJ LWV FRQWURO SURJUDP XVLQJ WKH PRVW UHFHQW FRQWURO GDWD LVVXHG HYHU\ PRQWKV 1RUPDO UHIODVK

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㸸 ࣭ :KHQ FRQGLWLRQV VXFK DV WKH UXQQLQJ VWDWH RI WKH DFWXDO XQLW RU WKH HQJLQH ZDWHU WHPSHUDWXUH VZLWFKHV DQG JHDU SRVLWLRQ DUH QRW PHW RU ZKHQ D '7& KDV EHHQ GHWHFWHG HDFK WHVW PD\ SRVVLEO\ QRW RSHUDWH /LQNV ZLWK WKH +70/ PDQXDO GLVSOD\ '7& WR GLVSOD\ WKH PDQXDO DORQJ ZLWK WKH IDLOXUH GLDJQRVLV SURFHGXUH 5HDGLQJ VDYHG GDWD 5HDG LQ WKH VDYHG VQDSVKRW GDWD WR GLVSOD\ UHSURGXFWLRQ &DXWLRQ㸸 ࣭ :KHQ XVLQJ WKH WURXEOH GLDJQRVLV VFDQ WRRO UHIHU WR WKH VHSDUDWH LQVWUXFWLRQ PDQXDO IRU WKH WURXEOH GLDJQRVLV VFDQ WRRO 5HIHUHQFH GDWD YDOXH


% 0DLQWHQDQFH ,QIRUPDWLRQ +. +,7$&+, &RQVWUXFWLRQ 0DFKLQHU\ &RPSDQ\ 7KH SXUSRVH RI GDWD OLVW LV IRU FKHFNLQJ WKH VWDWXV RI WKH DFWXDO XQLW DQG HTXLSPHQW 7KLV GDWD LV XVHG LQ WURXEOH GLDJQRVLV E\ FRPSDULQJ WKH HDFK XQLW GDWD ZLWK VWDQGDUG YDOXHV DQG FKHFNLQJ

ZKHWKHU WKH YHKLFOH GDWD LV WHPSRUDULO\ RU DOZD\V GLIIHUHQW IURP WKH UHIHUHQFH YDOXHV 7KLV GLVSOD\ PHQX LV VXEMHFW WR FKDQJH ZLWKRXW QRWLFH 1RQ RSHUDWLRQDO 3 URWDWLRQ

'DWD GLVSOD\ LWHPV

8QLWV

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

9 530 530 9 9 㸣 9

(*5 SRVLWLRQ

21 2))

(*5 SRVLWLRQ

21 2))

(*5 SRVLWLRQ

21 2))

,JQLWLRQ VZLWFK VWDUWHU VZLWFK

21 2)) 21 2))

JORZ UHOD\

21 2))

4 DGMXVWPHQW FRPSHQVDWLRQ GDWD 4 DGMXVWPHQW FRPSHQVDWLRQ GDWD 4 DGMXVWPHQW FRPSHQVDWLRQ GDWD 7ZR SXPS UHOLHI

9 Я 9 Я 9 Я 9 N3D 9 N3D PP VW PP VW PP VW PP VW PP VW PP VW 㸣

1RQ RSHUDWLRQ 3 URWDWLRQ UHIHUHQFH YDOXH YDULHV GHSHQGLQJ RQ WKH DFWXDO PDFKLQH FRQGLWLRQ )HHGEDFN PRGH )XHO PRGH 5HYHUVH WKH SRODULW\ RI HLWKHU RU ([DPSOH 21 21 2)) HWF 5HYHUVH WKH SRODULW\ RI HLWKHU RU ([DPSOH 21 21 2)) HWF 5HYHUVH WKH SRODULW\ RI HLWKHU RU ([DPSOH 21 21 2)) HWF 21 2)) 2)) 21 LPPHGLDWHO\ DIWHU WKH VWDUWHU VZLWFK 21 7KLV GLIIHUV GHSHQGLQJ RQ WKH DFWXDO XQLW 7KLV GLIIHUV GHSHQGLQJ RQ WKH DFWXDO XQLW 7KLV GLIIHUV GHSHQGLQJ RQ WKH DFWXDO XQLW


0DLQWHQDQFH ,QIRUPDWLRQ +. % 'DWD GLVSOD\ LWHPV

8QLWV

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

9 530 530 9 9 㸣 9

(*5 SRVLWLRQ

21 2))

(*5 SRVLWLRQ

21 2))

(*5 SRVLWLRQ

21 2))

,JQLWLRQ VZLWFK VWDUWHU VZLWFK

21 2)) 21 2))

JORZ UHOD\

21 2))

4 DGMXVWPHQW FRPSHQVDWLRQ GDWD 4 DGMXVWPHQW FRPSHQVDWLRQ GDWD 4 DGMXVWPHQW FRPSHQVDWLRQ GDWD

9 Я 9 Я 9 Я 9 N3D 9 N3D PP VW PP VW PP VW PP VW PP VW PP VW 㸣

7ZR 3XPS 5HOLHI UHIHUHQFH YDOXH ,W YDULHV GHSHQGLQJ RQ WKH DFWXDO XQLW )HHGEDFN PRGH $SSUR[ )XHO PRGH 5HYHUVH WKH SRODULW\ RI HLWKHU RU ([DPSOH 21 21 2)) HWF 5HYHUVH WKH SRODULW\ RI HLWKHU RU ([DPSOH 21 21 2)) HWF 5HYHUVH WKH SRODULW\ RI HLWKHU RU ([DPSOH 21 21 2)) HWF 21 2)) 2)) 21 LPPHGLDWHO\ DIWHU WKH VWDUWHU VZLWFK 21 7KLV GLIIHUV GHSHQGLQJ RQ WKH DFWXDO XQLW 7KLV GLIIHUV GHSHQGLQJ RQ WKH DFWXDO XQLW 7KLV GLIIHUV GHSHQGLQJ RQ WKH DFWXDO XQLW



)XQFWLRQDO ,QVSHFWLRQ +. &

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


& )XQFWLRQDO ,QVSHFWLRQ +.

6WDUWLQJ V\VWHP FKHFN

6WDUWLQJ V\VWHP FKHFN 'HVFULSWLRQ RI )XQFWLRQ 7KLV GLDJQRVLV FKDUW LV DQ RUJDQL]HG DSSURDFK WR LGHQWLI\LQJ D FRQGLWLRQ WKDW FDXVHV WKH VWDWXV IRU ZKHQ DQ HQJLQH GRHV QRW VWDUW 7KH DSSURSULDWH V\VWHP GLDJQRVLV FDQ EH SHUIRUPHG ZLWK WKLV GLDJQRVWLF FKDUW

&UDQN WKH HQJLQH

1RWH㸸 ࣭ ,I WKH HQJLQH VWDUWV GLDJQRVH WKH '7& 3

,QVSHFW WKH IXHO V\VWHP LI WKH HQJLQH GRHV QRW VWDUW

,QVSHFW WKH HQJLQH FRRODQW WHPSHUDWXUH VHQVRU 䡡 7KH EDWWHU\ VKRXOG EH IXOO\ FKDUJHG ZKHQ SHUIRUPLQJ WKLV GLDJQRVLV 䡡 The battery cable should be securely FRQQHFWHG ZKHQ SHUIRUPLQJ WKLV GLDJQRVLV 䡡 The rotation VSHHG GXULQJ FUDQNLQJ VKRXOG EH QRUPDO ZKHQ SHUIRUPLQJ this diagnosis. 䡡 The appropriate fuel should be VXIILFLHQWO\ VXSSOLHG ZKHQ SHUIRUPLQJ WKLV GLDJQRVLV 䡡 1R IXHO OHDNV VKRXOG EH IRXQG ZKHQ SHUIRUPLQJ WKLV GLDJQRVLV 䡡 No air should be mixed into the fuel when SHUIRUPLQJ WKLV GLDJQRVLV 䡡 The air cleaner element VKRXOG EH FOHDQ ZKHQ performing WKLV GLDJQRVLV 䡡 The IXHO ILOWHU VKRXOG EH FOHDQ ZKHQ SHUIRUPLQJ WKLV diagnosis.

6WDUWLQJ V\VWHP FKHFN ,QVSHFWLRQ ,QVSHFWLRQ ZKHQ WKH VWDUWHU RSHUDWHV DQG FUDQNV EXW WKH HQJLQH GRHV QRW VWDUW

7XUQ WKH HPHUJHQF\ VWRS VZLWFK WR 2))

1RWH㸸 ࣭ ,I WKH DFWXDO XQLW GRHV QRW KDYH DQ HPHUJHQF\ VWRS VZLWFK VHWWLQJ GR QRW SHUIRUP WKLV RSHUDWLRQ

,QVSHFW WKH RYHUKHDW VZLWFK FLUFXLW

1RWH㸸 ࣭ ,I WKH DFWXDO XQLW GRHV QRW KDYH D RYHUKHDW VZLWFK VHWWLQJ GR QRW SHUIRUP WKLV RSHUDWLRQ

5HSDLU WKH FLUFXLW LI D SUREOHP LV GLVFRYHUHG

&KHFN WKH '7&

1RWH㸸 ࣭ ,I WKH '7& LV GHWHFWHG LQVSHFW WKH FRUUHVSRQGLQJ '7&

&KHFN WKH 6&9 ) % GLVSOD\ XVLQJ D WURXEOH GLDJQRVLV VFDQ WRRO ZKLOH FUDQNLQJ WKH HQJLQH

6WDQGDUG YDOXH P$

5HSDLU WKH 6&9/2 GULYH FLUFXLW LI LW LV EHORZ WKH VWDQGDUG YDOXH

5HPRYH WKH KDUQHVV FRQQHFWRU IURP WKH 6&9

,QVSHFW WKH IXHO SUHVVXUH VHQVRU ,QVSHFW WKH (*5 SRVLWLRQ VHQVRU ,QVSHFW WKH LQMHFWRU ,QVSHFW WKH HQJLQH PHFKDQLFDO WLPLQJ ,QVSHFW WKH LQVWDOODWLRQ VWDWXV RI WKH IO\ZKHHO ,QVSHFW WKH DLU LQWDNH V\VWHP ,QVSHFW WKH H[KDXVW SLSLQJ IRU FROODSVLQJ GDPDJH DQG H[KDXVW OHDNDJH 5HSDLU RU UHSODFH WKH SDUW IRXQG WR KDYH D SUREOHP


)XQFWLRQDO ,QVSHFWLRQ +. &

)XHO V\VWHP FKHFN

)XHO V\VWHP FKHFN 'HVFULSWLRQ RI )XQFWLRQ 7KH IXHO V\VWHP LV FRPSRVHG RI WKH IXHO ILOWHU VXSSO\ SXPS FRPPRQ UDLO DQG LQMHFWRU DQG HDFK RI WKHP FRQQHFWV ZLWK WKH IXHO SLSH

)XHO V\VWHP FKHFN ,QVSHFWLRQ ,QVSHFWLRQ ZKHQ WKHUH LV D SRVVLELOLW\ WKDW WKHUH LV DQ DEQRUPDOLW\ LQ WKH IXHO V\VWHP

,QVSHFW WKH TXDOLW\ RI IXHO

$SSURSULDWH IXHO VKRXOG EH XVHG

&KHFN WKH DPRXQW RI IXHO

6XIILFLHQW DPRXQW VKRXOG EH VXSSOLHG

3HUIRUP WKH IXHO GLVFKDUJH LQVSHFWLRQ IRU WKH VXSSO\ SXPS

)XHO GLVFKDUJH LQVSHFWLRQ 7KH IXHO GLVFKDUJH VKRXOG EH QRUPDO DQG QR DLU VKRXOG EH PL[HG

&RQILUP WKDW WKH JHQXLQH IXHO ILOWHU SUH ILOWHU DQG ILOWHUV RWKHU WKDQ IRU WKH HOHFWURPDJQHWLF SXPS DUH DGGHG WR WKH IXHO SLSLQJ RI WKH DFWXDO XQLW

1RWH㸸 ࣭ $ SUREOHP VXFK DV WKH GHWHFWLRQ RI WKH '7& 3 PD\ RFFXU DV WKH UHVLVWDQFH RI IXHO LQFUHDVHV GXH WR WKH DGGHG ILOWHU

5HPRYH LW LI WKH ILOWHU LV DGGHG

,QVSHFW WKH PDLQ IXHO ILOWHU SUH IXHO ILOWHU DQG HOHFWURPDJQHWLF SXPS ILOWHU

䡡 1R H[FHVVLYH FRQWDPLQDWLRQ RU FORJJLQJ VKRXOG EH IRXQG 䡡 1R DLU VKRXOG EH PL[HG LQ

&OHDQ RU UHSODFH LI D SUREOHP LV GLVFRYHUHG

,QVSHFW WKH IXHO SLSH

䡡 1R GDPDJH FORJJLQJ RU LPSURSHU FRQQHFWLRQV VKRXOG EH IRXQG

5HSDLU RU UHSODFH LI D SUREOHP LV GLVFRYHUHG

,QVSHFW WKH IXHO WDQN 䡡 1R GXVW VKRXOG EH PL[HG LQ 䡡 The fuel supply pipe VKRXOG KDYH QR PLVDOLJQPHQW RU GDPDJH 䡡 The tank VKRXOG KDYH QR FROODSVLQJ RU GDPDJH 䡡 The fuel pipe VKRXOG QRW EH DUUDQJHG LQFRUUHFWO\ 䡡 The fuel filler VKRXOG KDYH QR FORJJLQJ 䡡 No water should be mixed LQWR WKH WDQN 5HSDLU RU UHSODFH WKH IXHO WDQN LI D SUREOHP LV GLVFRYHUHG 5HPRYH DLU


& )XQFWLRQDO ,QVSHFWLRQ +.

$LU LQWDNH V\VWHP FKHFN

$LU LQWDNH V\VWHP FKHFN 'HVFULSWLRQ RI )XQFWLRQ &DXWLRQ㸸 ࣭ ,I WKH DLU LQWDNH V\VWHP SDUW LV LQVWDOOHG E\ WKH DFWXDO XQLW PDQXIDFWXUHU UHIHU WR WKH PDQXDO RI WKH DFWXDO XQLW 7KH DLU LQWDNH V\VWHP LV FRPSULVHG RI WKH DLU FOHDQHU DLU LQWDNH SLSLQJ WXUERFKDUJHU HWF 7KH LQWDNH DLU LV VXSSOLHG WR WKH HQJLQH WKURXJK WKH DLU FOHDQHU DQG LQWDNH PDQLIROG

$LU LQWDNH V\VWHP FKHFN ,QVSHFWLRQ ,QVSHFWLRQ ZKHQ WKHUH LV D SRVVLELOLW\ WKDW WKHUH LV DQ DEQRUPDOLW\ LQ WKH DLU LQWDNH V\VWHP

,QVSHFW WKH DLU FOHDQHU

䡡 1R H[FHVVLYH FRQWDPLQDWLRQ RU FORJJLQJ VKRXOG EH IRXQG

&OHDQ RU UHSODFH LI D SUREOHP LV GLVFRYHUHG

,QVSHFW WKH DLU LQWDNH SLSLQJ

䡡 1R FROODSVLQJ GDPDJH RU DLU OHDNDJH VKRXOG EH IRXQG 䡡 7KHUH DUH QR GLVWRUWHG RU LPSURSHU SLSLQJ DUUDQJHPHQWV ZKLFK PD\ OHDG WR DQ LQFUHDVH LQ WKH DLU LQWDNH UHVLVWDQFH 䡡 7KH OHDG YDOYH VKRXOG KDYH QR GDPDJH

5HSDLU RU UHSODFH LI D SUREOHP LV GLVFRYHUHG

,QVSHFW WKH WXUERFKDUJHU

䡡 7KH WXUELQH D[LV VKRXOG KDYH QR DEQRUPDO ORRVHQHVV 䡡 7KHUH DUH QR RLO OHDNV

5HSDLU RU UHSODFH LI D SUREOHP LV GLVFRYHUHG


)XQFWLRQDO ,QVSHFWLRQ +. &

([KDXVW V\VWHP FKHFN

([KDXVW V\VWHP FKHFN 'HVFULSWLRQ RI )XQFWLRQ 7KH H[KDXVW V\VWHP LV FRPSULVHG RI WKH H[KDXVW SLSH WDLO SLSH HWF

([KDXVW V\VWHP FKHFN ,QVSHFWLRQ ,QVSHFWLRQ ZKHQ WKHUH LV D SRVVLELOLW\ WKDW WKHUH LV DQ DEQRUPDOLW\ LQ WKH H[KDXVW V\VWHP

,QVSHFW WKH H[KDXVW SLSH DQG WDLO SLSH

䡡 1R FROODSVLQJ GDPDJH RU H[KDXVW OHDNDJH VKRXOG EH IRXQG

5HSDLU RU UHSODFH LI D SUREOHP LV GLVFRYHUHG

5HSDLU WKH DFWXDO XQLW


& )XQFWLRQDO ,QVSHFWLRQ +.

(*5 FRQWURO V\VWHP FKHFN

(*5 FRQWURO V\VWHP FKHFN 'HVFULSWLRQ RI )XQFWLRQ 7KH (&0 FRQWUROV WKH (*5 YDOYH EDVHG RQ WKH HQJLQH UHYROXWLRQ VSHHG HQJLQH FRRODQW WHPSHUDWXUH LQWDNH DLU WHPSHUDWXUH IXHO LQMHFWLRQ DPRXQW DQG DWPRVSKHULF SUHVVXUH 7KH (*5 YDOYH LV GULYHQ E\ WKH (*5 PRWRU DQG WKH (*5 YDOYH RSHQLQJ LV GHWHFWHG E\ WKH (*5 SRVLWLRQ VHQVRU

(*5 FRQWURO V\VWHP FKHFN ,QVSHFWLRQ ,QVSHFWLRQ ZKHQ WKHUH LV D SRVVLELOLW\ WKDW WKHUH LV DQ DEQRUPDOLW\ LQ WKH ORFDWLRQV UHODWLQJ WR WKH (*5

&KHFN WKH '7&

1RWH㸸 ࣭ ,I WKH '7& LV GHWHFWHG LQVSHFW WKH FRUUHVSRQGLQJ '7&

6WDUW WKH HQJLQH DQG ZDUP LW XS XQWLO WKH FRRODQW WHPSHUDWXUH H[FHHGV WKH VWDQGDUG YDOXH

6SHFLILHG YDOXH㸸 Я ^ ) `

&KHFN WKH (*5 SRVLWLRQ GLVSOD\ XVLQJ D WURXEOH GLDJQRVLV VFDQ WRRO

6WDQGDUG YDOXH

3HUIRUP WKH DFWXDWRU WHVW (*5 FRQWURO XVLQJ D WURXEOH GLDJQRVLV VFDQ WRRO LI WKH (*5 SRVLWLRQ GLVSOD\ LV RXWVLGH WKH VWDQGDUG YDOXH

([HFXWH DQ 8S DQG 'RZQ FRPPDQG WR WKH (*5 YDOYH DQG FKHFN WKH (*5 SRVLWLRQ GLVSOD\

6WDQGDUG YDOXH

,QVSHFW WKH (*5 SLSLQJ LI WKH (*5 SRVLWLRQ GLVSOD\ LV RXWVLGH WKH VWDQGDUG YDOXH

1R GDPDJH RU JDV OHDNV VKRXOG EH IRXQG

5HSDLU RU UHSODFH LI D SUREOHP LV GLVFRYHUHG

6WDUW WKH HQJLQH DQG ZDUP LW XS XQWLO WKH FRRODQW WHPSHUDWXUH H[FHHGV WKH VWDQGDUG YDOXH

6SHFLILHG YDOXH㸸 Я ^ ) `

&KHFN WKH (*5 SRVLWLRQ GLVSOD\ XVLQJ D WURXEOH GLDJQRVLV VFDQ WRRO

6WDQGDUG YDOXH 5HSODFH WKH (*5 YDOYH LI WKH (*5 SRVLWLRQ GLVSOD\ LV RXWVLGH WKH VWDQGDUG YDOXH (*5 YDOYH 5HPRYDO (*5 YDOYH ,QVWDOODWLRQ :KHQ UHSODFLQJ WKH (*5 YDOYH SHUIRUP (*5 OHDUQLQJ WR WKH (&0


)XQFWLRQDO ,QVSHFWLRQ +. &

*ORZ FRQWURO V\VWHP FKHFN *ORZ FRQWURO V\VWHP FKHFN 'HVFULSWLRQ RI )XQFWLRQ

6WDQGDUG YDOXH ȍ DW URRP WHPSHUDWXUH

&DXWLRQ㸸 ࣭ 7KH VWDUWHU (&0 FRQWURO VSHFLILFDWLRQ DQG VDIHW\ UHOD\ VSHFLILFDWLRQ DUH WKH VDPH IRU WKH 426 FLUFXLW

1RWH㸸 ࣭ ,I LW LV RXWVLGH WKH VWDQGDUG YDOXH LQVSHFW WKH FRUUHVSRQGLQJ JORZ SOXJ

7KH 426 V\VWHP LV FRPSULVHG RI WKH (&0 JORZ UHOD\ JORZ SOXJ DQG 426 LQGLFDWRU OLJKW :KHQ WKH VWDUWHU VZLWFK LV WXUQHG WR 21 XQGHU ORZ HQJLQH FRRODQW WHPSHUDWXUH WKH (&0 GHWHUPLQHV WKH JORZ WLPH DFFRUGLQJ WR WKH HQJLQH FRRODQW WHPSHUDWXUH DQG VWDUWV WKH JORZ UHOD\ DQG 426 LQGLFDWRU OLJKW 7KH (&0 ZLOO WXUQ WR 2)) WKH JORZ UHOD\ DQG 426 LQGLFDWRU OLJKW DIWHU D FHUWDLQ SHULRG RI WLPH

*ORZ FRQWURO V\VWHP FKHFN ,QVSHFWLRQ ,QVSHFWLRQ ZKHQ WKHUH LV D SRVVLELOLW\ WKDW WKHUH LV DQ DEQRUPDOLW\ LQ WKH ORFDWLRQV UHODWLQJ WR WKH 426 V\VWHP FRQWURO

3HUIRUP WKH 2%' V\VWHP FKHFN

&KHFN WKH '7&

1RWH㸸 ࣭ ,I WKH '7& 3 3 3 RU 3 LV GHWHFWHG LQVSHFW WKH FRUUHVSRQGLQJ '7&

7XUQ 21 WKH VWDUWHU VZLWFK

&KHFN WKH RSHUDWLRQ RI WKH 426 LQGLFDWRU OLJKW

1RWH㸸 ࣭ ,I WKH 426 GRHV QRW RSHUDWH WKH 426 LQGLFDWRU OLJKW ZLOO LOOXPLQDWH ZKHQ WKH VWDUWHU VZLWFK LV WXUQHG WR 21 E\ WKH OLJKW FKHFN IXQFWLRQ ࣭ 7KH 426 LQGLFDWRU OLJKW WXUQV RII ZLWKLQ VHFRQGV

,QVSHFW WKH FLUFXLW LI WKH 426 LQGLFDWRU OLJKW GRHV QRW LOOXPLQDWH RU WXUQ RII

䡡 1R IXVH VKRXOG EH EORZQ 䡡 No open circuit should be IRXQG EHWZHHQ WKH IXVH DQG 426 LQGLFDWRU OLJKW 䡡 No RSHQ FLUFXLW RU VKRUW FLUFXLW VKRXOG EH IRXQG EHWZHHQ WKH QOS indicator light and ECM. 䡡 The QOS indicator OLJKW VKRXOG QRW KDYH D EXUQHG RXW EXOE

5HSDLU RU UHSODFH WKH FLUFXLW LI D SUREOHP LV GLVFRYHUHG

5HSODFH WKH JORZ SOXJ LI D SUREOHP LV GLVFRYHUHG &RQQHFW WKH '00 WR WKH JORZ SOXJ FRQQHFWRU DQG *1' 7XUQ 21 WKH VWDUWHU VZLWFK 3HUIRUP WKH DFWXDWRU WHVW JORZ SOXJ UHOD\ XVLQJ D WURXEOH GLDJQRVLV VFDQ WRRO 1RWH㸸 ࣭ 7XUQ WKH FRPPDQG WR 2)) DQG FKHFN WKH YROWDJH YDOXH RI WKH '00 6WDQGDUG YDOXH 9 ,QVSHFW WKH FLUFXLW LI LW LV RXWVLGH WKH VWDQGDUG YDOXH 1RWH㸸 ࣭ 1R VKRUW FLUFXLW WR EDWWHU\ RU LJQLWLRQ SRZHU VXSSO\ VKRXOG EH IRXQG EHWZHHQ WKH JORZ UHOD\ DQG JORZ SOXJ 5HSDLU RU UHSODFH WKH FLUFXLW LI D SUREOHP LV GLVFRYHUHG 3HUIRUP WKH DFWXDWRU WHVW JORZ SOXJ UHOD\ XVLQJ D WURXEOH GLDJQRVLV VFDQ WRRO 1RWH㸸 ࣭ 7XUQ WKH FRPPDQG WR 21 DQG FKHFN WKH YROWDJH YDOXH RI WKH '00 6WDQGDUG YDOXH 9 ,QVSHFW WKH FLUFXLW LI LW LV EHORZ WKH VWDQGDUG YDOXH 䡡 1R IXVH VKRXOG EH EORZQ 䡡 No open circuit should be IRXQG EHWZHHQ WKH IXVH DQG JORZ UHOD\ 䡡 No open circuit VKRXOG EH IRXQG EHWZHHQ WKH JORZ UHOD\ DQG JORZ SOXJ 䡡 1R RSHQ FLUFXLW VKRXOG EH IRXQG EHWZHHQ WKH JORZ relay DQG (&0 5HSDLU RU UHSODFH WKH FLUFXLW LI D SUREOHP LV GLVFRYHUHG 5HSODFH WKH (&0 5HPRYDO RI (&0

,QVSHFW WKH JORZ UHOD\

,QVWDOODWLRQ RI (&0

5HSODFH WKH UHOD\ LI D SUREOHP LV GLVFRYHUHG

$IWHU UHSODFLQJ WKH (&0 SHUIRUP (*5 OHDUQLQJ

5HPRYH DOO JORZ SOXJV

0HDVXUH WKH UHVLVWDQFH EHWZHHQ WKH JORZ SOXJ WHUPLQDO DQG *1' XVLQJ WKH '00


& )XQFWLRQDO ,QVSHFWLRQ +.

'3' FRQWURO V\VWHP FKHFN

'3' FRQWURO V\VWHP FKHFN 'HVFULSWLRQ RI )XQFWLRQ

&RQQHFW WKH WURXEOH GLDJQRVLV VFDQ WRRO WR WKH '7&

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

6WDUW WKH HQJLQH

'LVSOD\ WKH VFDQ WRRO GDWD '3' UHJHQHUDWLRQ VZLWFK XVLQJ D WURXEOH GLDJQRVLV VFDQ WRRO

&KHFN LI WKH GDWD GLVSOD\HG RQ WKH '3' UHJHQHUDWLRQ VZLWFK RI WKH WURXEOH GLDJQRVLV VFDQ WRRO LV WXUQHG WR 21 RU 2)) ZKHQ FKDQJLQJ HDFK VZLWFK

'3' FRQWURO V\VWHP FKHFN ,QVSHFWLRQ ,QVSHFWLRQ IRU GHWHUPLQLQJ WKH IDLOXUH ORFDWLRQ LQ WKH '3' V\VWHP

3HUIRUP WKH LQVSHFWLRQ RI WKH HQJLQH FRQWURO V\VWHP

7XUQ WKH VWDUWHU VZLWFK 21 IRU VHFRQGV

&KHFN WKDW WKH PRQLWRU SDQHO IXQFWLRQV QRUPDOO\

1RWH㸸 ࣭ ,I WKH 21 RU 2)) RSHUDWLRQ GRHV QRW OLQN LQVSHFW WKH '3' VZLWFK DQG KDUQHVV ,QVSHFW WKH LQVWDOODWLRQ FRQGLWLRQ RI WKH '3' GLIIHUHQWLDO SUHVVXUH VHQVRU ,QVSHFW WKH H[KDXVW GLIIHUHQWLDO SUHVVXUH VHQVRU 䡡 'DPDJH RQ WKH '3' GLIIHUHQWLDO SUHVVXUH VHQVRU 䡡 )RUHLJQ PDWWHU RU FRQWDPLQDWLRQ ZKLFK LQWHUIHUHV ZLWK WKH '3' GLIIHUHQWLDO SUHVVXUH VHQVRU LQOHW 䡡 Wrong GHWHFWLRQ RU VORZ UHVSRQVH IRU WKH '3' differential SUHVVXUH VHQVRU ,QVSHFW WKH H[KDXVW V\VWHP ,QVSHFW WKH DLU LQWDNH V\VWHP 6WDUW WKH HQJLQH DQG PDLQWDLQ LGOLQJ IRU VHFRQGV &RQILUP WKDW WKH '3' PDQXDO UHJHQHUDWLRQ LQGLFDWRU OLJKW EOLQNV

䡡 '3' DXWRPDWLF UHJHQHUDWLRQ LQGLFDWRU OLJKW LOOXPLQDWHV LQ JUHHQ 䡡 '3' PDQXDO UHJHQHUDWLRQ LQGLFDWRU OLJKW illuminates RUDQJH

1RWH㸸 ࣭ ,I LW LV QRW EOLQNLQJ XVH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FRQILUP '3' DFFXPXODWLRQ VWDWXV DQG '3' WLPH VWDWXV DQG DSSOLFDEOH DUHD EDVHG RQ WKH '3' VWDWXV WDEOH

1RWH㸸 ࣭ ,I LW GRVH QRW LOOXPLQDWH LQVSHFW WKH FLUFXLW RI WKH '3' LQGLFDWRU OLJKW ࣭ 1RW DOO DUH GLVSOD\HG GHSHQGLQJ RQ DFWXDO XQLW PDQXIDFWXUHUV

࣭&RPSDUH '3' DFFXPXODWLRQ VWDWXV DQG '3' WLPH VWDWXV DQG XVH WKH '3' VWDWXV WDEOH WR GHWHUPLQH '3' UHJHQHUDWLRQ SURFHVV VWDWXV ࣭7R XVH WKH '3' VWDWXV WDEOH FRQILUP WKH GDWD GLVSOD\ YDOXHV RQ WKH WURXEOH GLDJQRVLV VFDQ WRRO DQG UHDGLQJV LQ WKH '3' VWDWXV WDEOH

7XUQ WKH VWDUWHU VZLWFK 2)) IRU VHFRQGV

,QVSHFW WKH DPRXQW RI HQJLQH RLO


)XQFWLRQDO ,QVSHFWLRQ +. &

1RWH㸸 ࣭ 7KH DUHD ZKHUH VWDWXV YDOXHV PHHWV ZLOO SRLQW WR HLWKHU $ % & RU ' 2SHUDWH WKH WURXEOH GLDJQRVLV VFDQ WRRO 1RWH㸸 ࣭ 8VH D WURXEOH GLDJQRVLV VFDQ WRRO WR UHVHW WKH '3' VWDWXV 䡡 ,I LW LV UDQJH $ RU % SHUIRUP WKH '3' IRUFHG UHJHQHUDWLRQ WHVW ZLWK WKH WURXEOH GLDJQRVLV VFDQ WRRO 䡡 ,I LW LV UDQJH & RU ' SHUIRUP WKH '3' IRUFHG VORZ UHJHQHUDWLRQ WHVW ZLWK WKH WURXEOH GLDJQRVLV VFDQ WRRO 1RWH㸸 ࣭ $IWHU WKH '3' IRUFHG VORZ UHJHQHUDWLRQ LV FRPSOHWHG UHSODFH WKH HQJLQH RLO &KHFN WKH '7& GHWHFWLRQ ZLWK WKH WURXEOH GLDJQRVLV VFDQ WRRO LI WKH UHJHQHUDWLRQ GRHV QRW VWDUW 1RWH㸸 ࣭ ,I QR '7& LV GHWHFWHG FRQILUP GDWD GLVSOD\ UHODWHG WR '3' UHJHQHUDWLRQ FRQWURO ,QVSHFW WKH FRUUHVSRQGLQJ '7& LI WKH UHJHQHUDWLRQ LV QRW FRPSOHWHG DQG WKH VFDQ WRRO GLVSOD\V DQ HUURU PHVVDJH 1RWH㸸 ࣭ ,I QR HUURU PHVVDJH KDV EHHQ GLVSOD\HG LQVSHFW WKH '3' ILOWHU IRU GDPDJH FUDFNV RU PHOWLQJ ࣭ ,I QR HUURU PHVVDJH KDV EHHQ GLVSOD\HG LQVSHFW WKH R[LGDWLRQ FDWDO\VW IRU GHJUDGDWLRQ GDPDJH FUDFNV PHOWLQJ RU H[FHVVLYH VHGLPHQW ࣭ ,I QR HUURU PHVVDJH KDV EHHQ GLVSOD\HG LQVSHFW IRU WKH FDXVH RI RYHUKHDWLQJ

࣭ ,I QR HUURU PHVVDJH KDV EHHQ GLVSOD\HG LQVSHFW IRU D SUREOHP LQ WKH IXHO V\VWHP &RQILUP WKDW WKH GDWD GLVSOD\ RI H[KDXVW WHPSHUDWXUH LV EHORZ WKH VWDQGDUG YDOXH XVLQJ D WURXEOH GLDJQRVLV VFDQ WRRO LI WKH UHJHQHUDWLRQ FRPSOHWHG 6SHFLILHG YDOXH㸸 Я ^ ) ` 1RWH㸸 ࣭ ,I LW LV WKH VWDQGDUG YDOXH RU JUHDWHU LGOH WKH HQJLQH XQWLO LW UHDFKHV WKH VWDQGDUG YDOXH RU ORZHU $FFHOHUDWH WKH HQJLQH UHYROXWLRQ WR PD[LPXP UHYROXWLRQ VSHHG ZLWKRXW ORDG &KHFN WKH GDWD GLVSOD\ RI WKH H[KDXVW GLIIHUHQWLDO SUHVVXUH ZKHQ WKH GDWD GLVSOD\ RI H[KDXVW WHPSHUDWXUH UHDFKHV WKH VWDQGDUG YDOXH 6SHFLILHG YDOXH㸸 Я ^ ) ` &KHFN WKH H[KDXVW GLIIHUHQWLDO SUHVVXUH GDWD GLVSOD\ XVLQJ D WURXEOH GLDJQRVLV VFDQ WRRO VSHFLILHG SUHVVXUH㸸 WR N3D ^ WR NJI FP WR SVL ` 1RWH㸸 ࣭ ,I LW LV WKH VWDQGDUG YDOXH RU ORZHU SHUIRUP DVK UHPRYDO ࣭ ,I LW LV WKH VWDQGDUG YDOXH RU JUHDWHU LQVSHFW IRU WKH DEQRUPDOLWLHV LQ WKH '3' GLIIHUHQWLDO SUHVVXUH VHQVRU V\VWHP 5HSODFH WKH (&0 LI DQ\ SUREOHP FDQ EH VHHQ WKURXJK WKH LQVSHFWLRQV DERYH (&0 5HPRYDO (&0 ,QVWDOODWLRQ 6HW WKH LQMHFWRU ,' FRGH RQ WKH (&0


& )XQFWLRQDO ,QVSHFWLRQ +. 3HUIRUP WKH XQLW GLIIHUHQFH OHDUQLQJ RI WKH IXHO VXSSO\ SXPS WR WKH (&0


)XQFWLRQDO ,QVSHFWLRQ +. &

2%' V\VWHP FKHFN

2%' V\VWHP FKHFN 'HVFULSWLRQ RI )XQFWLRQ 7KH 2%' V\VWHP FKHFN LV D V\VWHPDWLF PHWKRG IRU FKHFNLQJ SUREOHPV FDXVHG E\ IXQFWLRQDO IDLOXUHV LQ WKH HQJLQH FRQWURO V\VWHP DQG LV DOVR WKH VWDUWLQJ SRLQW IRU DOO GLDJQRVHV IRU GULYHDELOLW\ FRPSODLQWV %\ FRUUHFWO\ XVLQJ WKLV GLDJQRVWLF VWHS LW LV SRVVLEOH WR UHGXFH WKH WLPH IRU GLDJQRVLV DQG SUHYHQW WKH UHSODFHPHQW RI SDUWV WKDW DUH QRW GHIHFWLYH 1RWH㸸 ࣭ 3RLQWV WR UHPHPEHU UHJDUGLQJ WKH 2%' V\VWHP FKHFN 䡡 ,I WKHUH DUH QR FRPSODLQWV RQ GULYHDELOLW\ GR QRW SHUIRUP WKHVH GLDJQRVWLF VWHSV XQOHVV RWKHUZLVH instructed LQ RWKHU VHFWLRQV 䡡 Check the service technical report EHIRUH VWDUWLQJ WKH GLDJQRVLV 䡡 Do not delete the DTCs XQOHVV LW LV LQVWUXFWHG LQ D GLDJQRVWLF VWHS 䡡 If a PDOIXQFWLRQ LV IRXQG LQ WKH HQJLQH VWDUWLQJ V\VWHP inspect the starting system. 䡡 The battery should be fully FKDUJHG 䡡 The battery cable should be normal and VHFXUHO\ FRQQHFWHG 䡡 The GND of the ECM should be VHFXUHO\ FRQQHFWHG LQ WKH FRUUHFW SRVLWLRQ 䡡 The harness FRQQHFWRU RI WKH (&0 VKRXOG EH FOHDQ DQG FRUUHFWO\ connected.

2%' V\VWHP FKHFN ,QVSHFWLRQ ,QVSHFWLRQ IRU GHWHUPLQLQJ WKH IDLOXUH ORFDWLRQ LQ WKH 2%' V\VWHP

7XUQ 21 WKH VWDUWHU VZLWFK

&KHFN LI WKH GLDJQRVWLF OLJKW LV LOOXPLQDWHG

1RWH㸸 ࣭ ,I WKH DFWXDO XQLW GRHV QRW KDYH D GLDJQRVWLF OLJKW VHWWLQJ GR QRW SHUIRUP WKLV RSHUDWLRQ ࣭ ,I WKH GLDJQRVWLF OLJKW LV QRW LOOXPLQDWHG LQVSHFW WKH GLDJQRVWLF OLJKW LOOXPLQDWLRQ FLUFXLW V\VWHP

6KRUW WKH '7&

1RWH㸸 ࣭ 6KRUW WKH 1R WHUPLQDO DQG 1R WHUPLQDO ࣭ ,I WKH DFWXDO XQLW GRHV QRW KDYH D GLDJQRVWLF OLJKW VHWWLQJ GR QRW SHUIRUP WKLV RSHUDWLRQ

&KHFN LI WKH GLDJQRVWLF OLJKW LV EOLQNLQJ

1RWH㸸 ࣭ ,I WKH DFWXDO XQLW GRHV QRW KDYH D GLDJQRVWLF OLJKW VHWWLQJ GR QRW SHUIRUP WKLV RSHUDWLRQ ࣭ ,I WKH GLDJQRVWLF OLJKW LV QRW EOLQNLQJ LQVSHFW WKH GLDJQRVWLF OLJKW EOLQNLQJ FLUFXLW V\VWHP

8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO DQG FRQILUP WKH '7&V RI WKH (&8 WKDW KDV FRPPXQLFDWLRQ HVWDEOLVKHG /RVV RI FRPPXQLFDWLRQ ZLWK WKH WURXEOH GLDJQRVLV VFDQ WRRO RFFXUV GXH WR WKH DEQRUPDOLWLHV LQ WKH FRPPXQLFDWLRQ FLUFXLW RI HDFK (&8 DQG WKH WURXEOH GLDJQRVLV VFDQ WRRO

6WDUW WKH HQJLQH

1RWH㸸 ࣭ ,I WKH VWDUWHU GRHV QRW RSHUDWH LQVSHFW WKH VWDUWHU FLUFXLW V\VWHP ࣭ ,I WKH HQJLQH GRHV QRW VWDUW FKHFN WKH '7& ࣭ ,I WKH '7& LV GHWHFWHG LQVSHFW WKH FRUUHVSRQGLQJ '7& ࣭ ,I QR '7& KDV EHHQ GHWHFWHG LQVSHFW WKH VWDUWLQJ V\VWHP

&KHFN WKH HQJLQH VWDOOLQJ IRU SUREOHPV

&KHFN WKH HQJLQH KXQFKLQJ DQG URXJK LGOLQJ IRU SUREOHPV

&KHFN LI WKHUH DUH SUREOHPV ZLWK LQVXIILFLHQW HQJLQH RXWSXW EORZXS IDLOXUH RU HQJLQH KHVLWDWLRQ

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


& )XQFWLRQDO ,QVSHFWLRQ +.

,QVSHFWLRQ RI WKH GLDJQRVWLF OLJKW ZDUQLQJ OLJKW LOOXPLQDWLRQ FLUFXLW V\VWHP

,QVSHFWLRQ RI WKH GLDJQRVWLF OLJKW ZDUQLQJ OLJKW LOOXPLQDWLRQ FLUFXLW V\VWHP 'HVFULSWLRQ RI )XQFWLRQ 7KH GLDJQRVWLF OLJKW VXSSOLHV SRZHU YROWDJH YLD WKH VWDUWHU VZLWFK DQG LV OLW E\ D VLJQDO IURP WKH (&0 7KH (&0 OLJKWV WKH GLDJQRVWLF OLJKW DW WKH OLJKW FKHFN DQG DW WKH WLPH WKH '7& LV VHW ZKHQ WKH VWDUWHU VZLWFK LV WXUQHG WR 21 ,W DOVR EOLQNV WKH GLDJQRVWLF OLJKW GHSHQGLQJ RQ WKH GHWHFWHG '7& ZKHQ WKH ERG\ JURXQG WHUPLQDO DQG GLDJQRVWLF VZLWFK WHUPLQDO RI WKH '/& DUH VKRUWHG $ PRQLWRU FLUFXLW LV LQFRUSRUDWHG LQVLGH WKH (&0 DQG PRQLWRUV RSHUDWLRQ RI WKH OLJKW

,QVSHFWLRQ RI WKH GLDJQRVWLF OLJKW ZDUQLQJ OLJKW LOOXPLQDWLRQ FLUFXLW V\VWHP ,QVSHFWLRQ ,QVSHFWLRQ ZKHQ WKH GLDJQRVWLF OLJKW LV QRW LOOXPLQDWHG ZKHQ WKH VWDUWHU VZLWFK LV WXUQHG WR 21

3HUIRUP WKH 2%' V\VWHP FKHFN

,QVSHFW WKH GLDJQRVWLF OLJKW EXOE

5HSODFH WKH YDOYH LI D SUREOHP LV GLVFRYHUHG

,QVSHFW WKH GLDJQRVWLF OLJKW FLUFXLW

䡡 1R RSHQ FLUFXLW RU KLJK UHVLVWDQFH VKRXOG EH IRXQG EHWZHHQ WKH IXVH DQG GLDJQRVWLF OLJKW 䡡 No open circuit RU KLJK UHVLVWDQFH VKRXOG EH IRXQG EHWZHHQ WKH GLDJQRVWLF light and ECM.

5HSDLU WKH FLUFXLW LI D SUREOHP LV GLVFRYHUHG

5HSODFH WKH (&0

5HPRYDO RI (&0 ,QVWDOODWLRQ RI (&0

$IWHU UHSODFLQJ WKH (&0 SHUIRUP (*5 OHDUQLQJ


)XQFWLRQDO ,QVSHFWLRQ +. &

,QVSHFWLRQ RI WKH GLDJQRVWLF OLJKW ZDUQLQJ OLJKW EOLQNLQJ FLUFXLW V\VWHP

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

,QVSHFWLRQ RI WKH GLDJQRVWLF OLJKW ZDUQLQJ OLJKW EOLQNLQJ FLUFXLW V\VWHP ,QVSHFWLRQ ,QVSHFWLRQ ZKHQ WKH GLDJQRVWLF OLJKW GRHV QRW EOLQN EXW FRQWLQXHV WR OLJKW ZKHQ WKH GLDJQRVWLF VZLWFK LV WXUQHG WR 21

3HUIRUP WKH 2%' V\VWHP FKHFN

7XUQ 2)) WKH VWDUWHU VZLWFK

&RQQHFW WKH '00 EHWZHHQ WKH '/& GLDJQRVWLF VZLWFK WHUPLQDO DQG *1'

7XUQ 21 WKH VWDUWHU VZLWFK

&RQILUP WKDW WKH YROWDJH GLVSOD\HG RQ WKH '00 H[FHHGV WKH VWDQGDUG YDOXH

6WDQGDUG YDOXH 9

,QVSHFW WKH GLDJQRVWLF VZLWFK FLUFXLW EHWZHHQ WKH (&0 DQG '/& XVLQJ WKH '00 LI LW LV XQGHU WKH VWDQGDUG YDOXH

䡡 1R RSHQ FLUFXLW RU KLJK UHVLVWDQFH VKRXOG EH IRXQG 6WDQGDUG YDOXH ȍ RU OHVV 䡡 1R VKRUW FLUFXLW ZLWK *1' VKRXOG EH IRXQG 6WDQGDUG YDOXH 0ȍ RU PRUH

5HSDLU LI D SUREOHP LV GLVFRYHUHG

7XUQ 2)) WKH VWDUWHU VZLWFK

&RQILUP WKDW WKHUH LV FRQWLQXLW\ EHWZHHQ WKH '/& ERG\ JURXQG DQG *1'

7XUQ 21 WKH VWDUWHU VZLWFK 6KRUW WKH '7& 1RWH㸸 ࣭ 6KRUW WKH 1R WHUPLQDO DQG 1R WHUPLQDO &KHFN LI WKH GLDJQRVWLF OLJKW LV EOLQNLQJ 1RWH㸸 ࣭ ,I LW GRHV QRW EOLQN LQVSHFW WKH GLDJQRVWLF OLJKW EOLQNLQJ FLUFXLW V\VWHP 5HSODFH WKH (&0

5HPRYDO RI (&0 ,QVWDOODWLRQ RI (&0 $IWHU UHSODFLQJ WKH (&0 SHUIRUP (*5 OHDUQLQJ 7XUQ 21 WKH VWDUWHU VZLWFK 6KRUW WKH ERG\ JURXQG WHUPLQDO DQG GLDJQRVWLF VZLWFK WHUPLQDO RI WKH '/& &KHFN LI WKH GLDJQRVWLF OLJKW LV EOLQNLQJ 3HUIRUP WKH 2%' V\VWHP FKHFN


& )XQFWLRQDO ,QVSHFWLRQ +.

,QVSHFWLRQ RI WKH VWDUWHU FLUFXLW V\VWHP ,QVSHFWLRQ RI WKH VWDUWHU FLUFXLW V\VWHP 'HVFULSWLRQ RI )XQFWLRQ

䡡 1R RSHQ FLUFXLW VKRXOG EH IRXQG EHWZHHQ WKH VWDUWHU UHOD\ DQG VWDUWHU

7KH VWDUWHU UHOD\ RQ WKH (&0 LV WXUQHG WR 21 ZKHQ WKH VWDUWHU VZLWFK PRYHV WR WKH 67$57 SRVLWLRQ :KHQ WKH VWDUWHU UHOD\ LV WXUQHG WR 21 WKH VWDUWHU RSHUDWHV WR VWDUW WKH HQJLQH

5HSDLU WKH FLUFXLW LI D SUREOHP LV GLVFRYHUHG

,QVSHFWLRQ RI WKH VWDUWHU FLUFXLW V\VWHP ,QVSHFWLRQ

5HSODFH WKH VWDUWHU LI D SUREOHP LV GLVFRYHUHG

,QVSHFW WKH VWDUWHU ,QVSHFWLRQ RI WKH VWDUWHU

,QVSHFWLRQ ZKHQ WKH VWDUWHU GRHV QRW RSHUDWH

5HSODFH WKH (&0

5HPRYDO RI (&0

7XUQ WKH HPHUJHQF\ VWRS VZLWFK WR 2))

1RWH㸸 ࣭ ,I WKH DFWXDO XQLW GRHV QRW KDYH DQ HPHUJHQF\ VWRS VZLWFK VHWWLQJ GR QRW SHUIRUP WKLV RSHUDWLRQ

&KHFN WKH '7&

1RWH㸸 ࣭ ,I WKH '7& 3 3 3 3 3 RU 3 LV GHWHFWHG LQVSHFW WKH FRUUHVSRQGLQJ '7&

7XUQ 2)) WKH VWDUWHU VZLWFK

5HPRYH WKH VWDUWHU FXW UHOD\

,QVSHFW WKH VWDUWHU FXW UHOD\

䡡 &KHFN WKH FRQWLQXLW\ EHWZHHQ WKH VZLWFK VLGH WHUPLQDOV 6WDQGDUG YDOXH ȍ RU OHVV

5HSODFH WKH UHOD\ LI D SUREOHP LV GLVFRYHUHG

5HPRYH WKH VWDUWHU UHOD\

,QVSHFW WKH VWDUWHU UHOD\

䡡 &RQQHFW WKH EDWWHU\ EHWZHHQ WKH FRLO VLGH WHUPLQDOV DQG FKHFN WKH FRQWLQXLW\ EHWZHHQ WKH VZLWFK VLGH WHUPLQDOV 6WDQGDUG YDOXH ȍ RU OHVV

5HSODFH WKH UHOD\ LI D SUREOHP LV GLVFRYHUHG

,QVSHFW WKH VWDUWHU VZLWFK VWDUW VLJQDO FLUFXLW 䡡 1R RSHQ FLUFXLWV RU KLJK UHVLVWDQFH VKRXOG EH IRXQG EHWZHHQ WKH VWDUWHU VZLWFK DQG (&0 6WDQGDUG YDOXH ȍ RU OHVV 䡡 1R VKRUW FLUFXLWV ZLWK WKH *1' VKRXOG EH IRXQG EHWZHHQ WKH VWDUWHU VZLWFK DQG (&0 6WDQGDUG YDOXH 0ȍ RU PRUH 5HSDLU WKH FLUFXLW LI D SUREOHP LV GLVFRYHUHG ,QVSHFW WKH VWDUWHU FLUFXLW 䡡 1R RSHQ FLUFXLW VKRXOG EH IRXQG EHWZHHQ WKH VWDUWHU VZLWFK DQG VWDUWHU FXW UHOD\ 䡡 No open circuit should be IRXQG EHWZHHQ WKH VWDUWHU FXW UHOD\ DQG VWDUWHU UHOD\ 䡡 No RSHQ FLUFXLW VKRXOG EH IRXQG EHWZHHQ WKH VWDUWHU UHOD\ DQG GND.

,QVWDOODWLRQ RI (&0 $IWHU UHSODFLQJ WKH (&0 SHUIRUP (*5 OHDUQLQJ


)XQFWLRQDO ,QVSHFWLRQ +. &

(QJLQH FRPSUHVVLRQ SUHVVXUH LQVSHFWLRQ

(QJLQH FRPSUHVVLRQ SUHVVXUH LQVSHFWLRQ ,QVSHFWLRQ 1RWH㸸 ࣭ :DUP XS WKH HQJLQH

5HPRYH WKH JORZ SOXJ IURP WKH F\OLQGHU KHDG DVVHPEO\

1RWH㸸 ࣭ 5HPRYH DOO JORZ SOXJV

5HPRYH WKH LQMHFWRU KDUQHVV FRQQHFWRU IURP WKH ORZHU FRYHU

&RPSUHVVLRQ JDXJH &RPSUHVVLRQ JDXJH DGDSWHU

,QVWDOO WKH VSHFLDO WRRO WR WKH F\OLQGHU KHDG DVVHPEO\

1RWH㸸 ࣭ ,QVHUW WKH FRPSUHVVLRQ JDXJH DGDSWHU LQWR WKH LQVWDOODWLRQ KROH RI WKH JORZ SOXJ WR LQVWDOO WKH FRPSUHVVLRQ JDXJH

0HDVXUH WKH FRPSUHVVLRQ SUHVVXUH

1RWH㸸 ࣭ 5RWDWH WKH VWDUWHU DQG UHDG WKH LQGLFDWLRQ RI WKH FRPSUHVVLRQ SUHVVXUH ZKHQ WKH FRPSUHVVLRQ JDXJH QHHGOH VWDELOL]HV DW DSSUR[LPDWHO\ USP ࣭ 0HDVXUH WKH FRPSUHVVLRQ SUHVVXUH RI DOO F\OLQGHUV VSHFLILHG YDOXH㸸 N3D ^ NJI FP SVL ` OLPLW㸸 N3D ^ NJI FP SVL `

667 FRPSUHVVLRQ JDXJH DGDSWHU

GLIIHUHQFH EHWZHHQ HDFK F\OLQGHU㸸 N3D ^ NJI FP SVL ` &DXWLRQ㸸 ࣭ 1RWH WKDW DLU ZLOO EXUVW RXW WKURXJK WKH JORZ SOXJ KROH GXULQJ URWDWLRQ

667 㸦 㸧 FRPSUHVVLRQ JDXJH

1RWH㸸 ࣭ :KHQ WKH VWDUWHU VZLWFK LV WXUQHG WR 21 ZLWK WKH LQMHFWRU KDUQHVV FRQQHFWRU UHPRYHG WKH (&0 GHWHUPLQHV D PDOIXQFWLRQ DQG UHFRUGV D


& )XQFWLRQDO ,QVSHFWLRQ +. '7& VR PDNH VXUH WKH '7& KDV EHHQ FOHDUHG DIWHU WKH LQVSHFWLRQ LV FRPSOHWHG


)XQFWLRQDO ,QVSHFWLRQ +. &

/XEULFDWLRQ V\VWHP FKHFN

/XEULFDWLRQ V\VWHP FKHFN ,QVSHFWLRQ 1RWH㸸 ࣭ 2LO SUHVVXUH LQVSHFWLRQ

,QVSHFW ZKHWKHU WKH HQJLQH RLO LV GLUW\ RU FRQWDLQV ZDWHU HWF

1RWH㸸 ࣭ ,I RLO LV GLUW\ RU FRQWDLQV ZDWHU FKDQJH WKH RLO DIWHU LQYHVWLJDWLQJ WKH FDXVHV DQG WDNLQJ DSSURSULDWH PHDVXUHV

,QVSHFW WKH HQJLQH RLO OHYHO

1RWH㸸 ࣭ :KHQ WKH RLO OHYHO LV ORZ UHSOHQLVK LW

5HPRYH WKH RLO SUHVVXUH VZLWFK

,QVWDOO WKH RLO SUHVVXUH JDXJH

667 RLO SUHVVXUH JDXJH

6WDUW WKH HQJLQH

1RWH㸸 ࣭ :DUP XS WKH HQJLQH

0HDVXUH DQG FRQILUP WKDW WKH RLO SUHVVXUH LV N3D NJ FP SVL RU KLJKHU DW U PLQ

7XUQ 2)) WKH VWDUWHU VZLWFK

5HPRYH WKH RLO SUHVVXUH JDXJH

,QVWDOO WKH RLO SUHVVXUH VZLWFK

6WDUW WKH HQJLQH 1RWH㸸 ࣭ &KHFN IRU RLO OHDNDJH ࣭ &KHFN IRU HQJLQH RLO OHDNDJH ,QVSHFW IRU RLO OHDNV IURP F\OLQGHU KHDG FRYHU DQG RLO SDQ HWF ZKLOH WKH YHKLFOH LV OLIWHG XS



6\PSWRP +. '

'HVFULSWLRQ (QJLQH 6\PSWRP +. 7DEOH RI &RQWHQWV '3' V\VWHP PDQXDO UHJHQHUDWLRQ IUHTXHQWO\ ' '3' V\VWHP UHJHQHUDWLRQ ORQJ WLPH ' (QJLQH VWDUW IDLOXUH ' (QJLQH VWDOOLQJ ' (QJLQH KXQFKLQJ URXJK LGOLQJ ' ([FHVVLYH ZKLWH VPRNH LQ WKH H[KDXVW JDV ' ([FHVVLYH EODFN VPRNH LQ WKH H[KDXVW JDV ' $EQRUPDO QRLVH ' /DUJH IXHO FRQVXPSWLRQ ' /DUJH RLO FRQVXPSWLRQ ' ,QVXIILFLHQW HQJLQH RXWSXW '


' 6\PSWRP +.

'3' V\VWHP PDQXDO UHJHQHUDWLRQ IUHTXHQWO\

'3' V\VWHP PDQXDO UHJHQHUDWLRQ IUHTXHQWO\ 'HVFULSWLRQ RI 6\PSWRP 7KH PDQXDO UHJHQHUDWLRQ LV IUHTXHQWO\ UHTXHVWHG E\ EOLQNLQJ WKH '3' PDQXDO UHJHQHUDWLRQ ODPS RU LQGLFDWLQJ 3UHVV '3' VZLWFK 2U LW LV UHTXHVWHG PRUH IUHTXHQWO\ WKDQ EHIRUH ^$XWRPDWLF UHJHQHUDWLRQ FDQQRW EH SHUIRUPHG IUHTXHQWO\` 1RWH㸸 ࣭ 'HSHQGLQJ RQ WKH PDQXIDFWXUHU RI WKH DFWXDO XQLW WKH LQGLFDWLRQ PD\ QRW EH VKRZQ

'3' V\VWHP PDQXDO UHJHQHUDWLRQ IUHTXHQWO\ 'LDJQRVWLFV 䡡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䡡 ,QVSHFWLRQ RI WKH VHQVRU ,QVSHFW WKH KRVH DQG SLSH RI WKH '3' GLIIHUHQWLDO SUHVVXUH VHQVRU IRU LQFRUUHFW SLSLQJ RU LI WKH\ FDPH RII ^7KH KRVH RI WKH '3' GLIIHUHQWLDO SUHVVXUH VHQVRU KDV D VSHFLILHG LQVWDOODWLRQ GLUHFWLRQ` ࠉ,QVSHFW WKH KRVH DQG SLSH RI WKH '3' GLIIHUHQWLDO SUHVVXUH VHQVRU IRU FORJJLQJ FROODSVLQJ RU WZLVWLQJ ,QVSHFW WKH '3' GLIIHUHQWLDO SUHVVXUH VHQVRU IRU LQFRUUHFW

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` 䡡 ,QVSHFWLRQ RI WKH DLU LQWDNH V\VWHP ,QVSHFW WKH DLU FOHDQHU DQG DLU LQWDNH GXFW IRU FORJJLQJ KROHV DQG OHDNDJH ,QVSHFW ZKHWKHU D FRQGLWLRQ H[LVWV ZKHUH WKH IORZ LQ WKH WXUERFKDUJHU LQOHW GXFW LV UHVWULFWHG ,QVSHFW WKH LQWDNH WKURWWOH YDOYH IRU DQFKRULQJ ,QVSHFW WKH LQVLGH RI WKH LQWDNH PDQLIROG IRU FORJJLQJ RU DLU OHDNV ,QVSHFW WKH DLU LQWDNH V\VWHP IRU PRGLILFDWLRQ ,QVSHFW WKH PDVV DLU IORZ VHQVRU IRU FRQWDPLQDWLRQ DQG GDPDJH ,QVSHFW WKH WXUERFKDUJHU WXUELQH ZKHHO VKDIW RU FRPSUHVVRU ZKHHO IRU ZHDU DQG GDPDJH 䡡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


6\PSWRP +. '

'3' V\VWHP UHJHQHUDWLRQ ORQJ WLPH

'3' V\VWHP UHJHQHUDWLRQ ORQJ WLPH 'HVFULSWLRQ RI 6\PSWRP 7KH UHJHQHUDWLRQ UHTXLUHV PRUH WLPH WKDQ H[SHFWHG 2U LW WDNHV ORQJHU WKDQ EHIRUH

'3' V\VWHP UHJHQHUDWLRQ ORQJ WLPH 'LDJQRVWLFV 䡡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䡡 ,QVSHFWLRQ RI WKH VHQVRU ,QVSHFW WKH KRVH DQG SLSH RI WKH '3' GLIIHUHQWLDO SUHVVXUH VHQVRU IRU LQFRUUHFW SLSLQJ RU LI WKH\ FDPH RII ^7KH KRVH RI WKH '3' GLIIHUHQWLDO SUHVVXUH VHQVRU KDV D VSHFLILHG LQVWDOODWLRQ GLUHFWLRQ`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䡡 ,QVSHFWLRQ RI WKH FRROLQJ V\VWHP ,QVSHFW WKH HQJLQH FRRODQW OHYHO ,QVSHFW WKH HQJLQH FRRODQW OHDNDJH ,QVSHFW WKH FRROLQJ IDQ EHOW VOLS ,QVSHFW WKH RSHUDWLRQ RI WKH FRROLQJ IDQ FOXWFK ,QVSHFW WKH RSHUDWLRQ RI WKH WKHUPRVWDW ,QVSHFW WKH RSHUDWLRQ RI WKH ZDWHU SXPS ,QVSHFW WKH UDGLDWRU IRU FORJJLQJ ,QVSHFW ZKHWKHU WKH FRROLQJ DPRXQW RI WKH FRROLQJ V\VWHP LV QRW ORZ GXH WR PRGLILFDWLRQ 䡡 ,QVSHFWLRQ RI WKH DLU LQWDNH V\VWHP

,QVSHFW WKH DLU FOHDQHU DLU LQWDNH GXFW DQG LQWHUFRROHU IRU FORJJLQJ KROHV RU OHDNDJH ,QVSHFW ZKHWKHU D FRQGLWLRQ H[LVWV ZKHUH WKH IORZ LQ WKH WXUERFKDUJHU LQOHW GXFW LV UHVWULFWHG ,QVSHFW WKH LQWDNH WKURWWOH YDOYH IRU DQFKRULQJ ,QVSHFW WKH LQVLGH RI WKH LQWDNH PDQLIROG IRU FORJJLQJ RU DLU OHDNV ,QVSHFW WKH DLU LQWDNH V\VWHP IRU PRGLILFDWLRQ ,QVSHFW WKH PDVV DLU IORZ VHQVRU IRU FRQWDPLQDWLRQ DQG GDPDJH ,QVSHFW WKH WXUERFKDUJHU WXUELQH ZKHHO VKDIW RU FRPSUHVVRU ZKHHO IRU ZHDU DQG GDPDJH 䡡 ,QVSHFWLRQ RI WKH H[KDXVW V\VWHP ,QVSHFW IRU DQ\ FRQGLWLRQ WKDW UHVWULFWV WKH IORZ RI WKH H[KDXVW V\VWHP ,QVSHFW IRU DEVHQFH RU GDPDJH RI WKH H[KDXVW V\VWHP JDVNHW ,QVSHFW IRU H[KDXVW JDV OHDNDJH IURP WKH H[KDXVW SLSH JDVNHW '3' H[KDXVW JDV WHPSHUDWXUH VHQVRU DQG '3' GLIIHUHQWLDO SUHVVXUH VHQVRU V KRVH DQG SLSH ,QVSHFW WKH H[KDXVW V\VWHP IRU PRGLILFDWLRQ ,QVSHFW WKH LQVLGH RI WKH '3' ILOWHU IRU H[FHVVLYH DVK GHSRVLWV ,QVSHFW WKH '3' ILOWHU IRU GDPDJHV FUDFNV PHOW DQG H[FHVVLYH GHSRVLWV ,QVSHFW WKH R[LGDWLRQ FDWDO\VW IRU GDPDJHV FUDFNV PHOW DQG H[FHVVLYH GHSRVLWV ,I DQ\ H[FHVVLYH ZKLWH VPRNH LV REVHUYHG LQ WKH UHJHQHUDWLRQ SURFHVV WKH R[LGDWLRQ FDWDO\VW PD\ EH GHWHULRUDWHG RU GDPDJHG 䡡 2WKHU LQVSHFWLRQV ,QVSHFW IRU SRVVLEOH IDFWRUV RI RYHUKHDW


' 6\PSWRP +.

(QJLQH VWDUW IDLOXUH

(QJLQH VWDUW IDLOXUH 'HVFULSWLRQ RI 6\PSWRP 7KH FUDQNLQJ UHYROXWLRQ LV ORZ 7KH FUDQNLQJ UHYROXWLRQ LV QRUPDO EXW WKH HQJLQH GRHV QRW VWDUW 7KH HQJLQH VWDUWV EXW FDQQRW PDLQWDLQ LWV UHYROXWLRQ VWDEO\ RU GRHV QRW UHDFK QRUPDO UHYROXWLRQ VSHHGV

(QJLQH VWDUW IDLOXUH 'LDJQRVWLFV 䡡 3UHOLPLQDU\ LQVSHFWLRQ %HIRUH XVLQJ WKLV VHFWLRQ SHUIRUP WKH IXQFWLRQDO LQVSHFWLRQ DQG 2%' V\VWHP FKHFN WR FKHFN DOO RI WKH IROORZLQJ &KHFN ZKHWKHU WKH DFWXDO XQLW KDV D VLJQLILFDQW ORDG 7KH (&0 DQG GLDJQRVWLF OLJKW DUH RSHUDWLQJ FRUUHFWO\ '7& FKHFN 7KH VFDQ WRRO GDWD LV ZLWKLQ WKH QRUPDO RSHUDWLQJ UDQJH &KHFN WKH FRQGLWLRQ RI WKH DFWXDO XQLW DQG ORFDWH WKH DSSURSULDWH V\PSWRP &KHFN ZLWK WKH FXVWRPHUV ZKHWKHU WKH\ DUH XVLQJ WKH VSHFLILHG HQJLQH RLO DQG IXHO 䡡 9LVXDO LQVSHFWLRQ

䡡 'LDJQRVWLF DLGV

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¶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` 7KHUHIRUH WKH '7& ZLOO QRW EH GHWHFWHG ZKHQ WKH HQJLQH GRHV QRW VWDUW

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


6\PSWRP +. ' ZLWK QRQ SUHVVXUH IXHO VXSSO\ GXH WR WKH VXSSO\ SXPS DEQRUPDOLWLHV 1RWH㸸 ࣭ 6LQFH WKH FUDQNVKDIW SRVLWLRQ VHQVRU DEQRUPDOLWLHV ZLOO QRW EH GLDJQRVHG XQOHVV FUDQNLQJ LV SHUIRUPHG UHYROXWLRQV RU PRUH FUDQN IRU PRUH WKDQ VHFRQGV DW U PLQ RU PRUH )RU FUDQNVKDIW SRVLWLRQ VHQVRU HUURUV DW ORZ HQJLQH UHYROXWLRQ VSHHG WKH FUDQNVKDIW SRVLWLRQ VHQVRU '7& PD\ QRW EH GHWHFWHG )RU LQWHUPLWWHQW IDLOXUH LQFUHDVH WKH HQJLQH UHYROXWLRQ VSHHG WR 1R /RDG 0D[ DQG FKHFN LI WKH FUDQNVKDIW SRVLWLRQ VHQVRU UHODWHG '7& LV GHWHFWHG

$EQRUPDOLWLHV RI WKH FRPPRQ UDLO VXFK DV WKH IORZ GDPSHU RSHUDWLRQ RI WKH SUHVVXUH OLPLWHU RU LQVLGH VHDOLQJ GHJUDGDWLRQ $EQRUPDOLWLHV RI WKH LQMHFWRU QR IXHO LQMHFWLRQ 6\VWHP GRZQ GXH WR IDLOXUH

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


' 6\PSWRP +.

(QJLQH VWDOOLQJ

(QJLQH VWDOOLQJ 'HVFULSWLRQ RI 6\PSWRP (QJLQH FUDQNV EXW WDNHV D ORQJ WLPH WR VWDUW 7KH HQJLQH XOWLPDWHO\ RSHUDWHV RU VWDUWV EXW VWRSV VRRQ

(QJLQH VWDOOLQJ 'LDJQRVWLFV 䡡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䡡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

䡡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` 7KHUHIRUH WKH '7& ZLOO QRW EH GHWHFWHG ZKHQ WKH HQJLQH GRHV QRW VWDUW ZLWK QRQ SUHVVXUH IXHO VXSSO\ GXH WR VXSSO\ SXPS DEQRUPDOLWLHV


6\PSWRP +. '

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


' 6\PSWRP +.

(QJLQH KXQFKLQJ URXJK LGOLQJ

(QJLQH KXQFKLQJ URXJK LGOLQJ 'HVFULSWLRQ RI 6\PSWRP 7KH HQJLQH KDV YDULDEOH HQJLQH LGOLQJ RU KDV FKDQJH LQ LGOLQJ UHYROXWLRQ VSHHG ,Q D VHYHUH FDVH WKH HQJLQH RU WKH DFWXDO XQLW PD\ YLEUDWH ,Q HLWKHU FDVH WKH HQJLQH VWDOO PD\ RFFXU LI WKH V\PSWRP JHWV ZRUVH

(QJLQH KXQFKLQJ URXJK LGOLQJ 'LDJQRVWLFV 䡡 3UHOLPLQDU\ LQVSHFWLRQ %HIRUH XVLQJ WKLV VHFWLRQ SHUIRUP WKH IXQFWLRQDO LQVSHFWLRQ DQG 2%' V\VWHP FKHFN WR FKHFN DOO RI WKH IROORZLQJ 7KH (&0 DQG GLDJQRVWLF OLJKW DUH RSHUDWLQJ FRUUHFWO\ '7& FKHFN 7KH VFDQ WRRO GDWD LV ZLWKLQ WKH QRUPDO RSHUDWLQJ UDQJH &KHFN WKH FRQGLWLRQ RI WKH DFWXDO XQLW DQG ORFDWH WKH DSSURSULDWH V\PSWRP &KHFN ZLWK WKH FXVWRPHUV ZKHWKHU WKH\ DUH XVLQJ WKH VSHFLILHG HQJLQH RLO DQG IXHO 䡡 9LVXDO LQVSHFWLRQ

䡡 'LDJQRVWLF DLGV

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

)XHO V\VWHP DEQRUPDOLWLHV VXFK DV IXHO UXQQLQJ RXW IXHO IUHH]LQJ PL[WXUH RI DLU LQWR WKH IXHO SLSLQJ ILOWHU DEQRUPDOLWLHV SLSLQJ DEQRUPDOLWLHV IXHO TXDOLW\ IXHO WDQN HWF $LU LQWDNH V\VWHP DEQRUPDOLWLHV VXFK DV ILOWHU FORJJLQJ DLU LQWDNH SLSLQJ DEQRUPDOLWLHV HWF $EQRUPDOLWLHV RI WKH VXSSO\ SXPS QRQ SUHVVXUH IXHO VXSSO\ 6ZLWFK LQSXW FLUFXLW V\VWHP DEQRUPDOLWLHV $EQRUPDOLWLHV RI WKH VHQVRU LQSXW FLUFXLW V\VWHP VXFK DV WKH DFFHOHUDWRU SRVLWLRQ VHQVRU KDUQHVV DQG ZDWHU WHPSHUDWXUH VHQVRU $FFHOHUDWRU SRVLWLRQ VHQVRU V\VWHP DEQRUPDOLWLHV (QJLQH ERG\ DEQRUPDOLWLHV VXFK DV VHL]XUH LQVXIILFLHQW FRPSUHVVLRQ SUHVVXUH DQG RWKHU PHFKDQLFDO IDLOXUHV HWF )DLOXUH UHODWHG WR WKH DFWXDO XQLW HTXLSPHQW VXFK DV WKH RLO SUHVVXUH SXPS HWF (IIHFW RI WKH SRVW LQVWDOOHG DFFHVVRULHV VXFK DV ZLUHOHVV GHYLFHV DQG OLJKWV HWF ,QVSHFW WKH FRQQHFWRU IRU FRQQHFWLRQ IDLOXUHV DQG WKH KDUQHVV IRU DEQRUPDOLWLHV VXFK DV DEUDVLRQV EHQGLQJ HWF ,QVSHFW WKDW WKH ZLUHV LQVLGH WKH KDUQHVV DUH VHSDUDWH DQG KDYH QRW FDXVHG D VKRUW FLUFXLW ZLWK RWKHU FLUFXLWV 3HUIRUP LQVSHFWLRQV IRU IXQFWLRQDO GLDJQRVLV DQG FRQILUP WKH RSHUDWLRQ FRQWURO RI HDFK SDUW HWF 5HSDLU LI DEQRUPDOLWLHV DUH IRXQG

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


6\PSWRP +. '

([FHVVLYH ZKLWH VPRNH LQ WKH H[KDXVW JDV

([FHVVLYH ZKLWH VPRNH LQ WKH H[KDXVW JDV 'HVFULSWLRQ RI 6\PSWRP ([FHVVLYH ZKLWH VPRNH ZKHQ GULYLQJ

([FHVVLYH ZKLWH VPRNH LQ WKH H[KDXVW JDV 'LDJQRVWLFV 䡡 3UHOLPLQDU\ LQVSHFWLRQ %HIRUH XVLQJ WKLV VHFWLRQ SHUIRUP WKH IXQFWLRQDO LQVSHFWLRQ DQG 2%' V\VWHP FKHFN WR FKHFN DOO RI WKH IROORZLQJ 7KH (&0 DQG GLDJQRVWLF OLJKW DUH RSHUDWLQJ FRUUHFWO\ '7& FKHFN 7KH VFDQ WRRO GDWD LV ZLWKLQ WKH QRUPDO RSHUDWLQJ UDQJH &KHFN WKH FRQGLWLRQ RI WKH DFWXDO XQLW DQG ORFDWH WKH DSSURSULDWH V\PSWRP &KHFN ZLWK WKH FXVWRPHUV ZKHWKHU WKH\ DUH XVLQJ WKH VSHFLILHG HQJLQH RLO DQG IXHO 䡡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䡡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


' 6\PSWRP +.

([FHVVLYH EODFN VPRNH LQ WKH H[KDXVW JDV

([FHVVLYH EODFN VPRNH LQ WKH H[KDXVW JDV 'HVFULSWLRQ RI 6\PSWRP ([FHVVLYH EODFN VPRNH ZKHQ GULYLQJ

([FHVVLYH EODFN VPRNH LQ WKH H[KDXVW JDV 'LDJQRVWLFV 䡡 3UHOLPLQDU\ LQVSHFWLRQ %HIRUH XVLQJ WKLV VHFWLRQ SHUIRUP WKH IXQFWLRQDO LQVSHFWLRQ DQG 2%' V\VWHP FKHFN WR FKHFN DOO RI WKH IROORZLQJ 7KH (&0 DQG GLDJQRVWLF OLJKW DUH RSHUDWLQJ FRUUHFWO\ '7& FKHFN 7KH VFDQ WRRO GDWD LV ZLWKLQ WKH QRUPDO RSHUDWLQJ UDQJH &KHFN WKH FRQGLWLRQ RI WKH DFWXDO XQLW DQG ORFDWH WKH DSSURSULDWH V\PSWRP &KHFN ZLWK WKH FXVWRPHUV ZKHWKHU WKH\ DUH XVLQJ WKH VSHFLILHG HQJLQH RLO DQG IXHO 䡡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䡡 'LDJQRVWLF DLGV )XHO TXDOLW\ ZKHQ XVLQJ D SURGXFW RWKHU WKDQ WKRVH VSHFLILHG HWF $LU LQWDNH V\VWHP DEQRUPDOLWLHV VXFK DV ILOWHU FORJJLQJ DLU LQWDNH SLSLQJ DEQRUPDOLWLHV HWF $EQRUPDOLWLHV RI WKH (*5 FRQWURO V\VWHP $EQRUPDOLWLHV RI WKH H[KDXVW V\VWHP VXFK DV H[KDXVW SLSH DEQRUPDOLWLHV HWF :DWHU WHPSHUDWXUH VHQVRU PDOIXQFWLRQ %RRVW VHQVRU IDLOXUH (QJLQH ERG\ IDLOXUH VXFK DV LQVXIILFLHQW FRPSUHVVLRQ SUHVVXUH SLVWRQ UHODWHG IDLOXUH WXUERFKDUJHU IDLOXUH DQG UDLVHG RLO HWF


6\PSWRP +. '

$EQRUPDO QRLVH

$EQRUPDO QRLVH 'HVFULSWLRQ RI 6\PSWRP (QJLQH FRPEXVWLRQ QRLVH LV DEQRUPDO

$EQRUPDO QRLVH 'LDJQRVWLFV 䡡 3UHOLPLQDU\ LQVSHFWLRQ %HIRUH XVLQJ WKLV VHFWLRQ SHUIRUP WKH IXQFWLRQDO LQVSHFWLRQ DQG 2%' V\VWHP FKHFN WR FKHFN DOO RI WKH IROORZLQJ 5HIHU WR WKH DFWXDO XQLW PDQXDO DQG LQVSHFW WKH DEQRUPDO QRLVH 7KH (&0 DQG GLDJQRVWLF OLJKW DUH RSHUDWLQJ FRUUHFWO\ '7& FKHFN 7KH VFDQ WRRO GDWD LV ZLWKLQ WKH QRUPDO RSHUDWLQJ UDQJH &KHFN WKH FRQGLWLRQ RI WKH DFWXDO XQLW DQG ORFDWH WKH DSSURSULDWH V\PSWRP &KHFN ZLWK WKH FXVWRPHUV ZKHWKHU WKH\ DUH XVLQJ WKH VSHFLILHG HQJLQH RLO DQG IXHO 䡡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䡡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


' 6\PSWRP +.

/DUJH IXHO FRQVXPSWLRQ

/DUJH IXHO FRQVXPSWLRQ 'HVFULSWLRQ RI 6\PSWRP )XHO FRQVXPSWLRQ LV VLJQLILFDQWO\ ODUJHU WKDQ LQGLFDWHG LQ WKH DFWXDO XQLW PDQXDO

/DUJH IXHO FRQVXPSWLRQ 'LDJQRVWLFV 䡡 3UHOLPLQDU\ LQVSHFWLRQ %HIRUH XVLQJ WKLV VHFWLRQ SHUIRUP WKH IXQFWLRQDO LQVSHFWLRQ DQG 2%' V\VWHP FKHFN WR FKHFN DOO RI WKH IROORZLQJ 6LQFH WKH IXHO FRQVXPSWLRQ YDULHV ZLGHO\ GHSHQGLQJ RQ WKH KDQGOLQJ RI WKH DFWXDO XQLW FKHFN WKH UHIHUHQFH IXHO FRQVXPSWLRQ $ RI WKH DFWXDO XQLW PDQXIDFWXUHU 5HIHUHQFH IXHO FRQVXPSWLRQ / ^TWV` KRXU &KHFN WKH DFWXDO IXHO FRQVXPSWLRQ % $FWXDO IXHO FRQVXPSWLRQ / ^TWV`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䡡 9LVXDO LQVSHFWLRQ &DUHIXO YLVXDO LQVSHFWLRQ LV UHTXLUHG IRU VHYHUDO V\PSWRP SURFHGXUHV 7KLV FDQ OHDG WR IL[LQJ D SUREOHP ZLWKRXW IXUWKHU LQVSHFWLRQV DQG FDQ VDYH YDOXDEOH WLPH 7KH LQVSHFWLRQ LQFOXGHV WKH IROORZLQJ 3URSHU ZLULQJ

FRQQHFWLRQV WLJKWHQLQJ DQG GLVFRQQHFWLRQ :KHWKHU WKH (&0 JURXQG LV IUHH RI GLUW HWF DQG VHFXUHO\ LQVWDOOHG LQ WKH FRUUHFW ORFDWLRQ 3URSHU FRQQHFWLRQV FUDFNV DQG WZLVWV LQ WKH SLSHV DQG KRVHV UHODWHG WR IXHO DLU DQG RLO ([WHQVLYHO\ FKHFN IRU DQ\ OHDNV RU EORFNDJH :KHWKHU WKHUH DUH DQ\ IXHO OHDNV SLSH GDPDJH RU GHQWV LQ WKH IXHO V\VWHP $EQRUPDOLWLHV RI WKH DLU LQWDNH V\VWHP SDUWV $EQRUPDOLWLHV RI WKH H[KDXVW V\VWHP SDUWV 䡡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


6\PSWRP +. '

3ULPDU\ (*5 FRROHU (*5 GXFW (*5 YDOYH )URP WKH LQWHUFRROHU )URP WKH DLU FOHDQHU

7R WKH LQWHUFRROHU ([KDXVW SLSH 6HFRQGDU\ (*5 FRROHU


' 6\PSWRP +.

/DUJH RLO FRQVXPSWLRQ

/DUJH RLO FRQVXPSWLRQ 'HVFULSWLRQ RI 6\PSWRP 7KH RLO FRQVXPSWLRQ DPRXQW GHVFULEHG LQ WKH PDQXDO RI WKH DFWXDO XQLW LV VLJQLILFDQWO\ H[FHHGHG

/DUJH RLO FRQVXPSWLRQ 'LDJQRVWLFV 䡡 3UHOLPLQDU\ LQVSHFWLRQ %HIRUH XVLQJ WKLV VHFWLRQ SHUIRUP WKH IXQFWLRQDO LQVSHFWLRQ DQG 2%' V\VWHP FKHFN WR FKHFN DOO RI WKH IROORZLQJ 6LQFH WKH RLO FRQVXPSWLRQ YDULHV ZLGHO\ E\ KDQGOLQJ RI WKH DFWXDO XQLW FKHFN WKH UHIHUHQFH RLO FRQVXPSWLRQ $ RI WKH DFWXDO XQLW PDQXIDFWXUHU 5HIHUHQFH RLO FRQVXPSWLRQ KRXU 5HIHUHQFH RLO FRQVXPSWLRQ SHU HQJLQH / ^ TWV`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䡡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䡡 'LDJQRVWLF DLGV $LU LQWDNH V\VWHP DEQRUPDOLWLHV VXFK DV VXFNHG GRZQ RLO RU UDLVHG RLO DQG H[FHVVLYH EORZ E\ JDV (QJLQH ERG\ DEQRUPDOLWLHV VXFK DV RLO FRPEXVWLRQ DQG H[FHVVLYH EORZ E\ JDV 3HUIRUP LQVSHFWLRQV IRU IXQFWLRQDO GLDJQRVLV DQG FRQILUP WKH RSHUDWLRQ FRQWURO RI HDFK SDUW HWF 5HSDLU LI DEQRUPDOLWLHV DUH IRXQG


6\PSWRP +. '

,QVXIILFLHQW HQJLQH RXWSXW

,QVXIILFLHQW HQJLQH RXWSXW 'HVFULSWLRQ RI 6\PSWRP 7KH HQJLQH RXWSXW LV ORZHU WKDQ H[SHFWHG WKH RXWSXW GRHV QRW FKDQJH ZKHQ WKH DFFHOHUDWRU OHYHU WKURWWOH OHYHU LV OLIWHG XS WKH RSHUDWLRQ LV QRW HIIHFWLYH

,QVXIILFLHQW HQJLQH RXWSXW 'LDJQRVWLFV 䡡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䡡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䡡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

䡡 'LDJQRVWLF DLGV )XHO V\VWHP DEQRUPDOLWLHV VXFK DV UXQQLQJ RXW RI IXHO IXHO IUHH]LQJ DLU LQWUXVLRQ LQ WKH IXHO SLSH ILOWHU DEQRUPDOLW\ SLSH DEQRUPDOLW\ IXHO TXDOLW\ DQG IXHO WDQN $LU LQWDNH V\VWHP DEQRUPDOLWLHV VXFK DV ILOWHU FORJJLQJ DQG DLU LQWDNH SLSH DEQRUPDOLW\

䡡 +LJK DOWLWXGH FRUUHFWLRQ


' 6\PSWRP +. 7KH (&0 FDOFXODWHV WKH FXUUHQW DOWLWXGH LQ DFFRUGDQFH ZLWK WKH VLJQDO IURP WKH DWPRVSKHULF SUHVVXUH VHQVRU 'HSHQGLQJ RQ WKH FRQGLWLRQV RI DOWLWXGH HWF DW WKLV WLPH WKH 6&9 RSHQLQJ DQG FORVLQJ WLPLQJ DQG LQMHFWRU HQHUJL]LQJ WLPH DUH FRQWUROOHG DQG WKH IXHO IORZ LV FRUUHFWHG WR EH RSWLPXP


'7& ,QIRUPDWLRQ +. (

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

'7& 3 )ODVK &RGH ,QMHFWRU &LUFXLW &\OLQGHU ( '7& 3 )ODVK &RGH ,QMHFWRU &LUFXLW &\OLQGHU ( '7& 3 )ODVK &RGH ,QMHFWRU &LUFXLW &\OLQGHU ( '7& 3 )ODVK &RGH ,QMHFWRU &LUFXLW &\OLQGHU ( '7& 3 )ODVK &RGH ,QMHFWRU &LUFXLW &\OLQGHU ( '7& 3 )ODVK &RGH (QJLQH &RRODQW 2YHU 7HPSHUDWXUH &RQGLWLRQ ( '7& 3 )ODVK &RGH (QJLQH 2YHUVSHHG &RQGLWLRQ ( '7& 3 )ODVK &RGH 7XUERFKDUJHU 2YHUERRVW &RQGLWLRQ ( '7& 3 )ODVK &RGH 7XUER &KDUJHU %RRVW 6HQVRU &LUFXLW /RZ ( '7& 3 )ODVK &RGH 7XUER &KDUJHU %RRVW 6HQVRU &LUFXLW +LJK ( '7& 3 )ODVK &RGH &UDQNVKDIW 3RVLWLRQ 6HQVRU &LUFXLW ( '7& 3 )ODVK &RGH &UDQNVKDIW 3RVLWLRQ 6HQVRU &LUFXLW 5DQJH 3HUIRUPDQFH ( '7& 3 )ODVK &RGH &DPVKDIW 3RVLWLRQ 6HQVRU &LUFXLW ( '7& 3 )ODVK &RGH ([KDXVW *DV 5HFLUFXODWLRQ &RQWURO &LUFXLW 5DQJH 3HUIRUPDQFH ( '7& 3 )ODVK &RGH ([KDXVW *DV 5HFLUFXODWLRQ 6HQVRU &LUFXLW ( '7& 3 & )ODVK &RGH ,QWDNH 0DQLIROG 7HPSHUDWXUH 6HQVRU &LUFXLW +LJK ( '7& 3 ' )ODVK &RGH ,QWDNH 0DQLIROG 7HPSHUDWXUH 6HQVRU &LUFXLW /RZ ( '7& 3 )ODVK &RGH &DWDO\VW 7HPSHUDWXUH 6HQVRU &LUFXLW 5DQJH 3HUIRUPDQFH 6HQVRU ( '7& 3 )ODVK &RGH &DWDO\VW 7HPSHUDWXUH 6HQVRU &LUFXLW /RZ 6HQVRU ( '7& 3 )ODVK &RGH &DWDO\VW 7HPSHUDWXUH 6HQVRU &LUFXLW +LJK 6HQVRU (


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


'7& ,QIRUPDWLRQ +. (

'7& 3 )ODVK &RGH &UDQNVKDIW 3RVLWLRQ &DPVKDIW 3RVLWLRQ &RUUHODWLRQ

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

'7& 3 &RQGLWLRQ IRU VHWWLQJ WKH '7& '7& 3 3 3 DQG 3 KDYH QRW EHHQ GHWHFWHG 7KH VWDUWHU VZLWFK KDV EHHQ 21 7KH FUDQNVKDIW SRVLWLRQ VHQVRU VLJQDO SXOVH KDV EHHQ GHWHFWHG 7KH FDPVKDIW SRVLWLRQ VHQVRU VLJQDO SXOVH KDV EHHQ GHWHFWHG :KHQ WKH (&0 KDV GHWHFWHG WKDW WKH FUDQNVKDIW SRVLWLRQ VHQVRU VLJQDO DQG FDPVKDIW SRVLWLRQ VHQVRU VLJQDO KDYH EHHQ RXW RI V\QFKURQL]DWLRQ ZKLOH WKH HQJLQH KDV EHHQ UXQQLQJ

'7& 3 $FWLRQ WDNHQ ZKHQ WKH '7& VHWV )DLOXUH LV LQGLFDWHG LQ WKH PRQLWRU RQ WKH DFWXDO XQLW RU WKH GLDJQRVWLF OLJKW LV WXUQHG RQ 1RWH㸸 ࣭ 'HSHQGLQJ RQ WKH PDQXIDFWXUHU RI WKH DFWXDO XQLW WKH IDLOXUH LQGLFDWLRQ PD\ QRW EH VKRZQ


( '7& ,QIRUPDWLRQ +.

'7& 3 )ODVK &RGH 7XUERFKDUJHU %RRVW &RQWURO 6ROHQRLG &LUFXLW

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

'7& 3 &RQGLWLRQ IRU VHWWLQJ WKH '7& 7KH EDWWHU\ YROWDJH LV EHWZHHQ DQG 9 7KH VWDUWHU VZLWFK LV 21 $Q\ RI WKH IROORZLQJ FRQGLWLRQV LV VDWLVILHG :KHQ WKH WXUERFKDUJHU LQWHUQDO FRQWURO XQLW GHWHFWV DQ DEQRUPDO QR]]OH RSHQLQJ DQJOH :KHQ WKH WXUERFKDUJHU LQWHUQDO FRQWURO XQLW GHWHFWV D SRVLWLRQ VHQVRU VLJQDO DEQRUPDOLW\ :KHQ WKH WXUERFKDUJHU LQWHUQDO FRQWURO XQLW GHWHFWV DQ LQWHUQDO DEQRUPDOLW\

'7& 3 $FWLRQ WDNHQ ZKHQ WKH '7& VHWV )DLOXUH LV LQGLFDWHG LQ WKH PRQLWRU RQ WKH DFWXDO XQLW RU WKH GLDJQRVWLF OLJKW LV WXUQHG RQ 1RWH㸸 ࣭ 'HSHQGLQJ RQ WKH PDQXIDFWXUHU RI WKH DFWXDO XQLW WKH IDLOXUH LQGLFDWLRQ PD\ QRW EH VKRZQ


'7& ,QIRUPDWLRQ +. (

'7& 3 )ODVK &RGH )XHO 5DLO 6\VWHP 3UHVVXUH 7RR /RZ

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

'7& 3 &RQGLWLRQ IRU VHWWLQJ WKH '7& '7& 3 DQG 3 DUH QRW GHWHFWHG 7KH VWDUWHU VZLWFK LV 21 :KHQ WKH (&0 KDV GHWHFWHG WKDW WKH SUHVVXUH OLPLWHU YDOYH RSHUDWHG GXH WR DQ H[FHVVLYH SUHVVXUH RI 03D ^ NJI FP SVL` RU KLJKHU LQVLGH WKH FRPPRQ UDLOࠉIRU ORQJHU WKDQ VHFRQG

'7& 3 $FWLRQ WDNHQ ZKHQ WKH '7& VHWV )DLOXUH LV LQGLFDWHG LQ WKH PRQLWRU RQ WKH DFWXDO XQLW RU WKH GLDJQRVWLF OLJKW LV WXUQHG RQ 1RWH㸸 ࣭ 'HSHQGLQJ RQ WKH PDQXIDFWXUHU RI WKH DFWXDO XQLW WKH IDLOXUH LQGLFDWLRQ PD\ QRW EH VKRZQ 5HVWULFW WKH IXHO LQMHFWLRQ DPRXQW 5HVWULFW WKH IXHO IORZ 6WRS WKH (*5 FRQWURO 6WRS WKH '3' UHJHQHUDWLRQ


( '7& ,QIRUPDWLRQ +.

'7& 3 )ODVK &RGH )XHO 5DLO 6\VWHP 3UHVVXUH 7RR +LJK

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

'7& 3 &RQGLWLRQ IRU VHWWLQJ WKH '7& '7& 3 3 3 DQG 3 KDYH QRW EHHQ GHWHFWHG 7KH VWDUWHU VZLWFK WKH LJQLWLRQ VZLWFK KDV EHHQ 21 :KLOH WKH HQJLQH KDV EHHQ UXQQLQJ )LUVW 6WDJH :KHQ WKH (&0 KDV GHWHFWHG WKDW WKH FRPPRQ UDLO SUHVVXUH KDV EHHQ 03D ^ NJI FP SVL` RU KLJKHU IRU VHFRQGV RU ORQJHU 6HFRQG 6WDJH :KHQ WKH (&0 KDV GHWHFWHG WKDW WKH FRPPRQ UDLO SUHVVXUH KDV EHHQ 03D ^ NJI FP SVL` RU KLJKHU IRU VHFRQGV RU ORQJHU

'7& 3 $FWLRQ WDNHQ ZKHQ WKH '7& VHWV )DLOXUH LV LQGLFDWHG LQ WKH PRQLWRU RQ WKH DFWXDO XQLW RU WKH GLDJQRVWLF OLJKW LV WXUQHG RQ 1RWH㸸 ࣭ 'HSHQGLQJ RQ WKH PDQXIDFWXUHU RI WKH DFWXDO XQLW WKH IDLOXUH LQGLFDWLRQ PD\ QRW EH VKRZQ 5HVWULFW WKH IXHO LQMHFWLRQ DPRXQW 5HVWULFW WKH IXHO IORZ 6WRS WKH (*5 FRQWURO 6WRS WKH '3' UHJHQHUDWLRQ


'7& ,QIRUPDWLRQ +. (

'7& 3 )ODVK &RGH )XHO 3UHVVXUH 5HJXODWRU 3HUIRUPDQFH

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

'7& 3 &RQGLWLRQ IRU VHWWLQJ WKH '7& '7& 3 3 3 3 3 % 3 3 3 3 3 3 DQG 3 KDYH QRW EHHQ GHWHFWHG 7KH EDWWHU\ YROWDJH KDV EHHQ EHWZHHQ DQG 9 6WDUWHU VZLWFK WKH LJQLWLRQ VZLWFK KDV EHHQ 21 :KLOH WKH HQJLQH KDV EHHQ UXQQLQJ :KHQ WKH (&0 KDV GHWHFWHG WKDW WKH FRPPRQ UDLO SUHVVXUH KDV EHHQ KLJKHU WKDQ WKH WDUJHW IXHO SUHVVXUH IRU 03D ^ NJI FP SVL` RU PRUH IRU VHFRQGV RU ORQJHU

'7& 3 $FWLRQ WDNHQ ZKHQ WKH '7& VHWV )DLOXUH LV LQGLFDWHG LQ WKH PRQLWRU RQ WKH DFWXDO XQLW RU WKH GLDJQRVWLF OLJKW LV WXUQHG RQ 1RWH㸸 ࣭ 'HSHQGLQJ RQ WKH PDQXIDFWXUHU RI WKH DFWXDO XQLW WKH IDLOXUH LQGLFDWLRQ PD\ QRW EH VKRZQ 5HVWULFW WKH IXHO LQMHFWLRQ DPRXQW 5HVWULFW WKH IXHO IORZ 6WRS WKH (*5 FRQWURO 6WRS WKH '3' UHJHQHUDWLRQ


( '7& ,QIRUPDWLRQ +.

'7& 3 )ODVK &RGH )XHO 3UHVVXUH 5HJXODWRU &RQWURO &LUFXLW /RZ

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

'7& 3 &RQGLWLRQ IRU VHWWLQJ WKH '7& 7KH EDWWHU\ YROWDJH LV EHWZHHQ DQG 9 7KH VWDUWHU VZLWFK LV 21 :KHQ WKH (&0 GHWHFWV WKDW WKH IHHGEDFN FXUUHQW LV P$ RU EHORZ IRU ORQJHU WKDQ VHFRQGV RU IDOOV EHORZ WKH WDUJHW FXUUHQW E\ P$ RU PRUH

'7& 3 $FWLRQ WDNHQ ZKHQ WKH '7& VHWV )DLOXUH LV LQGLFDWHG LQ WKH PRQLWRU RQ WKH DFWXDO XQLW RU WKH GLDJQRVWLF OLJKW LV WXUQHG RQ 1RWH㸸 ࣭ 'HSHQGLQJ RQ WKH PDQXIDFWXUHU RI WKH DFWXDO XQLW WKH IDLOXUH LQGLFDWLRQ PD\ QRW EH VKRZQ 5HVWULFW WKH IXHO LQMHFWLRQ DPRXQW 5HVWULFW WKH IXHO IORZ 6WRS WKH (*5 FRQWURO 6WRS WKH '3' UHJHQHUDWLRQ


'7& ,QIRUPDWLRQ +. (

'7& 3 )ODVK &RGH )XHO 3UHVVXUH 5HJXODWRU &RQWURO &LUFXLW +LJK

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

'7& 3 &RQGLWLRQ IRU VHWWLQJ WKH '7& 7KH EDWWHU\ YROWDJH LV EHWZHHQ DQG 9 7KH VWDUWHU VZLWFK LV 21 :KHQ WKH (&0 GHWHFWV WKDW WKH IHHGEDFN FXUUHQW LV P$ RU DERYH IRU ORQJHU WKDQ VHFRQGV RU H[FHHGV WKH WDUJHW FXUUHQW E\ P$ RU PRUH

'7& 3 $FWLRQ WDNHQ ZKHQ WKH '7& VHWV )DLOXUH LV LQGLFDWHG LQ WKH PRQLWRU RQ WKH DFWXDO XQLW RU WKH GLDJQRVWLF OLJKW LV WXUQHG RQ 1RWH㸸 ࣭ 'HSHQGLQJ RQ WKH PDQXIDFWXUHU RI WKH DFWXDO XQLW WKH IDLOXUH LQGLFDWLRQ PD\ QRW EH VKRZQ 5HVWULFW WKH IXHO LQMHFWLRQ DPRXQW 5HVWULFW WKH IXHO IORZ 6WRS WKH (*5 FRQWURO 6WRS WKH '3' UHJHQHUDWLRQ


( '7& ,QIRUPDWLRQ +.

'7& 3 )ODVK &RGH )XHO 6\VWHP /HDN 'HWHFWHG

'7& 3 'HVFULSWLRQ RI '7& 7KH JHQHUDO FRPPRQ UDLO V\VWHP LV FRPSULVHG RI WKH IROORZLQJ WZR IXHO SUHVVXUH VHFWLRQV 7KH VXFWLRQ VLGH EHWZHHQ WKH IXHO WDQN DQG WKH VXSSO\ SXPS DQG WKH KLJK SUHVVXUH VLGH EHWZHHQ WKH VXSSO\ SXPS DQG LQMHFWRUV 7KH IXHO LV GUDZQ IURP WKH IXHO WDQN DQG VXSSOLHG WR WKH FRPPRQ UDLO E\ WKH WKUHH SOXQJHUV ORFDWHG LQVLGH WKH VXSSO\ SXPS 7KH FRPPRQ UDLO SUHVVXUH LV DGMXVWHG E\ WKH (&0 WKURXJK FRQWUROOLQJ WKH VXFWLRQ FRQWURO YDOYH EDVHG RQ WKH VLJQDO IURP WKH FRPPRQ UDLO SUHVVXUH VHQVRU 7KH '7& LV VHW ZKHQ WKH (&0 GHWHFWV WKDW WKH FRPPRQ UDLO SUHVVXUH LV ORZ FRPSDUHG WR WKH HQJLQH 530

'7& 3 &RQGLWLRQ IRU VHWWLQJ WKH '7& '7& 3 3 3 3 3 3 3 3 3 3 3 3 % 3 3 3 3 DQG 3 KDYH QRW EHHQ GHWHFWHG 7KH EDWWHU\ YROWDJH KDV EHHQ EHWZHHQ DQG 9 6WDUWHU VZLWFK WKH LJQLWLRQ VZLWFK KDV EHHQ 21 7KH HQJLQH 530 KDV EHHQ U PLQ RU PRUH :KHQ WKH (&0 KDV GHWHFWHG WKDW WKH DFWXDO FRPPRQ UDLO SUHVVXUH KDV EHHQ 03D ^ NJI FP SVL` RU ORZHU IRU VHFRQGV RU ORQJHU WKLV PD\ QRW EH D SUHUHTXLVLWH GHSHQGLQJ RQ WKH GHYLFH PDQXIDFWXUHU

'7& 3 $FWLRQ WDNHQ ZKHQ WKH '7& VHWV )DLOXUH LV LQGLFDWHG LQ WKH PRQLWRU RQ WKH DFWXDO XQLW RU WKH GLDJQRVWLF OLJKW LV WXUQHG RQ 1RWH㸸 ࣭ 'HSHQGLQJ RQ WKH PDQXIDFWXUHU RI WKH DFWXDO XQLW WKH IDLOXUH LQGLFDWLRQ PD\ QRW EH VKRZQ 5HVWULFW WKH IXHO LQMHFWLRQ DPRXQW 5HVWULFW WKH IXHO IORZ 6WRS WKH (*5 FRQWURO 6WRS WKH '3' UHJHQHUDWLRQ


'7& ,QIRUPDWLRQ +. (

'7& 3 )ODVK &RGH 0DVV $LU )ORZ &LUFXLW /RZ ,QSXW

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

'7& 3 &RQGLWLRQ IRU VHWWLQJ WKH '7& 3 % KDV QRW EHHQ GHWHFWHG 7KH EDWWHU\ YROWDJH KDV EHHQ EHWZHHQ DQG 9 7KH VWDUWHU VZLWFK WKH LJQLWLRQ VZLWFK LV 21 :KLOH WKH HQJLQH LV URWDWLQJ :KHQ WKH (&0 KDV GHWHFWHG WKDW WKH PDVV DLU IORZ VHQVRU VLJQDO YROWDJH KDV EHHQ 9 RU ORZHU IRU VHFRQGV

'7& 3 $FWLRQ WDNHQ ZKHQ WKH '7& VHWV )DLOXUH LV LQGLFDWHG LQ WKH PRQLWRU RQ WKH DFWXDO XQLW RU WKH GLDJQRVWLF OLJKW LV WXUQHG RQ 1RWH㸸 ࣭ 'HSHQGLQJ RQ WKH PDQXIDFWXUHU RI WKH DFWXDO XQLW WKH IDLOXUH LQGLFDWLRQ PD\ QRW EH VKRZQ 6XEVWLWXWH WKH GHIDXOW YDOXH IRU WKH 0$) VHQVRU /LPLW WKH IXHO LQMHFWLRQ DPRXQW 6WRS WKH (*5 FRQWURO


( '7& ,QIRUPDWLRQ +.

'7& 3 )ODVK &RGH 0DVV $LU )ORZ &LUFXLW +LJK ,QSXW

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

'7& 3 &RQGLWLRQ IRU VHWWLQJ WKH '7& 3 % KDV QRW EHHQ GHWHFWHG 7KH EDWWHU\ YROWDJH KDV EHHQ EHWZHHQ DQG 9 7KH VWDUWHU VZLWFK WKH LJQLWLRQ VZLWFK LV 21 :KLOH WKH HQJLQH LV URWDWLQJ :KHQ WKH (&0 KDV GHWHFWHG WKDW WKH PDVV DLU IORZ VHQVRU VLJQDO YROWDJH KDV EHHQ 9 RU ORZHU IRU VHFRQGV

'7& 3 $FWLRQ WDNHQ ZKHQ WKH '7& VHWV )DLOXUH LV LQGLFDWHG LQ WKH PRQLWRU RQ WKH DFWXDO XQLW RU WKH GLDJQRVWLF OLJKW LV WXUQHG RQ 1RWH㸸 ࣭ 'HSHQGLQJ RQ WKH PDQXIDFWXUHU RI WKH DFWXDO XQLW WKH IDLOXUH LQGLFDWLRQ PD\ QRW EH VKRZQ 6XEVWLWXWH WKH GHIDXOW YDOXH IRU WKH 0$) VHQVRU /LPLW WKH IXHO LQMHFWLRQ DPRXQW 6WRS WKH (*5 FRQWURO


'7& ,QIRUPDWLRQ +. (

'7& 3 )ODVK &RGH ,QWDNH $LU 7HPSHUDWXUH 6HQVRU &LUFXLW /RZ

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

'7& 3 &RQGLWLRQ IRU VHWWLQJ WKH '7& '7& 3 % LV QRW VHW 7KH EDWWHU\ YROWDJH LV EHWZHHQ DQG 9 7KH VWDUWHU VZLWFK LV 21 :KHQ WKH (&0 KDV GHWHFWHG WKDW WKH LQWDNH DLU WHPSHUDWXUH VHQVRU VLJQDO YROWDJH KDV EHHQ 9 RU ORZHU IRU VHFRQGV

'7& 3 $FWLRQ WDNHQ ZKHQ WKH '7& VHWV )DLOXUH LV LQGLFDWHG LQ WKH PRQLWRU RQ WKH DFWXDO XQLW RU WKH GLDJQRVWLF OLJKW LV WXUQHG RQ 1RWH㸸 ࣭ 'HSHQGLQJ RQ WKH PDQXIDFWXUHU RI WKH DFWXDO XQLW WKH IDLOXUH LQGLFDWLRQ PD\ QRW EH VKRZQ 6XEVWLWXWH WKH GHIDXOW YDOXH IRU LQWDNH DLU WHPSHUDWXUH VHQVRU /LPLW WKH IXHO LQMHFWLRQ DPRXQW 6WRS WKH (*5 FRQWURO


( '7& ,QIRUPDWLRQ +.

'7& 3 )ODVK &RGH ,QWDNH $LU 7HPSHUDWXUH 6HQVRU &LUFXLW +LJK

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

'7& 3 &RQGLWLRQ IRU VHWWLQJ WKH '7& '7& 3 % LV QRW VHW 7KH EDWWHU\ YROWDJH LV EHWZHHQ DQG 9 7KH VWDUWHU VZLWFK LV 21 7KH HQJLQH LV UXQQLQJ IRU PLQXWHV RU ORQJHU :KHQ WKH (&0 KDV GHWHFWHG WKDW WKH VLJQDO YROWDJH RI WKH LQWDNH DLU WHPSHUDWXUH VHQVRU KDV EHHQ 9 RU KLJKHU IRU VHFRQGV

'7& 3 $FWLRQ WDNHQ ZKHQ WKH '7& VHWV )DLOXUH LV LQGLFDWHG LQ WKH PRQLWRU RQ WKH DFWXDO XQLW RU WKH GLDJQRVWLF OLJKW LV WXUQHG RQ 1RWH㸸 ࣭ 'HSHQGLQJ RQ WKH PDQXIDFWXUHU RI WKH DFWXDO XQLW WKH IDLOXUH LQGLFDWLRQ PD\ QRW EH VKRZQ 6XEVWLWXWH WKH GHIDXOW YDOXH IRU LQWDNH DLU WHPSHUDWXUH VHQVRU /LPLW WKH IXHO LQMHFWLRQ DPRXQW 6WRS WKH (*5 FRQWURO


'7& ,QIRUPDWLRQ +. (

'7& 3 )ODVK &RGH (QJLQH &RRODQW 7HPSHUDWXUH 6HQVRU &LUFXLW /RZ

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

'7& 3 &RQGLWLRQ IRU VHWWLQJ WKH '7& '7& 3 % LV QRW VHW 7KH EDWWHU\ YROWDJH LV EHWZHHQ DQG 9 7KH VWDUWHU VZLWFK LV 21 :KHQ WKH (&0 KDV GHWHFWHG WKDW WKH VLJQDO YROWDJH RI WKH ZDWHU WHPSHUDWXUH VHQVRU KDV EHHQ 9 RU ORZHU IRU VHFRQGV

'7& 3 $FWLRQ WDNHQ ZKHQ WKH '7& VHWV )DLOXUH LV LQGLFDWHG LQ WKH PRQLWRU RQ WKH DFWXDO XQLW RU WKH GLDJQRVWLF OLJKW LV WXUQHG RQ 1RWH㸸 ࣭ 'HSHQGLQJ RQ WKH PDQXIDFWXUHU RI WKH DFWXDO XQLW WKH IDLOXUH LQGLFDWLRQ PD\ QRW EH VKRZQ 6XEVWLWXWH WKH GHIDXOW YDOXH RI ZDWHU WHPSHUDWXUH VHQVRU 6WRS WKH IXHO LQMHFWLRQ DPRXQW 6WRS WKH (*5 FRQWURO 3URKLELW WKH '3' UHJHQHUDWLRQ


( '7& ,QIRUPDWLRQ +.

'7& 3 )ODVK &RGH (QJLQH &RRODQW 7HPSHUDWXUH 6HQVRU &LUFXLW +LJK

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

'7& 3 &RQGLWLRQ IRU VHWWLQJ WKH '7& '7& 3 % LV QRW VHW 7KH EDWWHU\ YROWDJH LV EHWZHHQ DQG 9 7KH VWDUWHU VZLWFK LV 21 7KH HQJLQH LV UXQQLQJ IRU PLQXWHV RU ORQJHU :KHQ WKH (&0 KDV GHWHFWHG WKDW WKH VLJQDO YROWDJH RI WKH ZDWHU WHPSHUDWXUH VHQVRU KDV EHHQ 9 RU KLJKHU IRU VHFRQGV

'7& 3 $FWLRQ WDNHQ ZKHQ WKH '7& VHWV )DLOXUH LV LQGLFDWHG LQ WKH PRQLWRU RQ WKH DFWXDO XQLW RU WKH GLDJQRVWLF OLJKW LV WXUQHG RQ 1RWH㸸 ࣭ 'HSHQGLQJ RQ WKH PDQXIDFWXUHU RI WKH DFWXDO XQLW WKH IDLOXUH LQGLFDWLRQ PD\ QRW EH VKRZQ 6XEVWLWXWH WKH GHIDXOW YDOXH RI ZDWHU WHPSHUDWXUH VHQVRU 6WRS WKH IXHO LQMHFWLRQ DPRXQW 6WRS WKH (*5 FRQWURO


'7& ,QIRUPDWLRQ +. (

'7& 3 )ODVK &RGH 7KURWWOH 3RVLWLRQ 6HQVRU &LUFXLW /RZ

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

'7& 3 &RQGLWLRQ IRU VHWWLQJ WKH '7& '7& 3 % LV QRW VHW 7KH EDWWHU\ YROWDJH LV EHWZHHQ DQG 9 7KH VWDUWHU VZLWFK LV 21 :KHQ WKH (&0 KDV GHWHFWHG WKDW WKH LQWDNH WKURWWOH SRVLWLRQ VHQVRU VLJQDO YROWDJH KDV EHHQ 9 RU ORZHU IRU VHFRQGV

'7& 3 $FWLRQ WDNHQ ZKHQ WKH '7& VHWV )DLOXUH LV LQGLFDWHG LQ WKH PRQLWRU RQ WKH DFWXDO XQLW RU WKH GLDJQRVWLF OLJKW LV WXUQHG RQ 1RWH㸸 ࣭ 'HSHQGLQJ RQ WKH PDQXIDFWXUHU RI WKH DFWXDO XQLW WKH IDLOXUH LQGLFDWLRQ PD\ QRW EH VKRZQ 5HVWULFWV WKH IXHO LQMHFWLRQ DPRXQW 6WRSV WKH (*5 FRQWURO


( '7& ,QIRUPDWLRQ +.

'7& 3 )ODVK &RGH 7KURWWOH 3RVLWLRQ 6HQVRU &LUFXLW +LJK

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

'7& 3 &RQGLWLRQ IRU VHWWLQJ WKH '7& '7& 3 % LV QRW VHW 7KH EDWWHU\ YROWDJH LV EHWZHHQ DQG 9 7KH VWDUWHU VZLWFK LV 21 :KHQ WKH (&0 KDV GHWHFWHG WKDW WKH LQWDNH WKURWWOH SRVLWLRQ VHQVRU VLJQDO YROWDJH KDV EHHQ 9 RU KLJKHU IRU VHFRQGV

'7& 3 $FWLRQ WDNHQ ZKHQ WKH '7& VHWV )DLOXUH LV LQGLFDWHG LQ WKH PRQLWRU RQ WKH DFWXDO XQLW RU WKH GLDJQRVWLF OLJKW LV WXUQHG RQ 1RWH㸸 ࣭ 'HSHQGLQJ RQ WKH PDQXIDFWXUHU RI WKH DFWXDO XQLW WKH IDLOXUH LQGLFDWLRQ PD\ QRW EH VKRZQ 5HVWULFWV WKH IXHO LQMHFWLRQ DPRXQW 6WRSV WKH (*5 FRQWURO


'7& ,QIRUPDWLRQ +. (

'7& 3 )ODVK &RGH )XHO 7HPSHUDWXUH 6HQVRU &LUFXLW /RZ

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

'7& 3 &RQGLWLRQ IRU VHWWLQJ WKH '7& '7& 3 % LV QRW VHW 7KH EDWWHU\ YROWDJH LV EHWZHHQ DQG 9 7KH VWDUWHU VZLWFK LV 21 :KHQ WKH (&0 KDV GHWHFWHG WKDW WKH VLJQDO YROWDJH RI WKH IXHO WHPSHUDWXUH VHQVRU KDV EHHQ 9 RU ORZHU IRU VHFRQGV

'7& 3 $FWLRQ WDNHQ ZKHQ WKH '7& VHWV )DLOXUH LV LQGLFDWHG LQ WKH PRQLWRU RQ WKH DFWXDO XQLW RU WKH GLDJQRVWLF OLJKW LV WXUQHG RQ 1RWH㸸 ࣭ 'HSHQGLQJ RQ WKH PDQXIDFWXUHU RI WKH DFWXDO XQLW WKH IDLOXUH LQGLFDWLRQ PD\ QRW EH VKRZQ 6XEVWLWXWH WKH GHIDXOW YDOXH RI IXHO WHPSHUDWXUH VHQVRU


( '7& ,QIRUPDWLRQ +.

'7& 3 )ODVK &RGH )XHO 7HPSHUDWXUH 6HQVRU &LUFXLW +LJK

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

'7& 3 &RQGLWLRQ IRU VHWWLQJ WKH '7& '7& 3 % LV QRW VHW 7KH EDWWHU\ YROWDJH LV EHWZHHQ DQG 9 7KH VWDUWHU VZLWFK LV 21 7KH HQJLQH LV UXQQLQJ IRU PLQXWHV RU ORQJHU :KHQ WKH (&0 KDV GHWHFWHG WKDW WKH VLJQDO YROWDJH RI WKH IXHO WHPSHUDWXUH VHQVRU KDV EHHQ 9 RU KLJKHU IRU VHFRQGV

'7& 3 $FWLRQ WDNHQ ZKHQ WKH '7& VHWV )DLOXUH LV LQGLFDWHG LQ WKH PRQLWRU RQ WKH DFWXDO XQLW RU WKH GLDJQRVWLF OLJKW LV WXUQHG RQ 1RWH㸸 ࣭ 'HSHQGLQJ RQ WKH PDQXIDFWXUHU RI WKH DFWXDO XQLW WKH IDLOXUH LQGLFDWLRQ PD\ QRW EH VKRZQ 6XEVWLWXWH WKH GHIDXOW YDOXH RI IXHO WHPSHUDWXUH VHQVRU


'7& ,QIRUPDWLRQ +. (

'7& 3 )ODVK &RGH )XHO 5DLO 3UHVVXUH 6HQVRU &LUFXLW /RZ

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

'7& 3 &RQGLWLRQ IRU VHWWLQJ WKH '7& '7& 3 % LV QRW VHW 7KH EDWWHU\ YROWDJH LV EHWZHHQ DQG 9 7KH VWDUWHU VZLWFK LV 21 :KHQ WKH (&0 KDV GHWHFWHG WKDW WKH FRPPRQ UDLO SUHVVXUH VHQVRU VLJQDO YROWDJH KDV EHHQ 9 RU ORZHU IRU ORQJHU WKDQ VHFRQGV

'7& 3 $FWLRQ WDNHQ ZKHQ WKH '7& VHWV )DLOXUH LV LQGLFDWHG LQ WKH PRQLWRU RQ WKH DFWXDO XQLW RU WKH GLDJQRVWLF OLJKW LV WXUQHG RQ 1RWH㸸 ࣭ 'HSHQGLQJ RQ WKH PDQXIDFWXUHU RI WKH DFWXDO XQLW WKH IDLOXUH LQGLFDWLRQ PD\ QRW EH VKRZQ 6XEVWLWXWH WKH GHIDXOW YDOXH RI FRPPRQ UDLO SUHVVXUH /LPLW WKH IXHO LQMHFWLRQ DPRXQW /LPLW WKH IXHO IORZ 6WRS WKH (*5 FRQWURO 6WRS WKH '3' UHJHQHUDWLRQ


( '7& ,QIRUPDWLRQ +.

'7& 3 )ODVK &RGH )XHO 5DLO 3UHVVXUH 6HQVRU &LUFXLW +LJK

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

'7& 3 &RQGLWLRQ IRU VHWWLQJ WKH '7& '7& 3 % LV QRW VHW 7KH EDWWHU\ YROWDJH LV EHWZHHQ DQG 9 7KH VWDUWHU VZLWFK LV 21 :KHQ WKH (&0 KDV GHWHFWHG WKDW WKH FRPPRQ UDLO SUHVVXUH VHQVRU VLJQDO YROWDJH KDV EHHQ 9 RU KLJKHU IRU ORQJHU WKDQ VHFRQG

'7& 3 $FWLRQ WDNHQ ZKHQ WKH '7& VHWV )DLOXUH LV LQGLFDWHG LQ WKH PRQLWRU RQ WKH DFWXDO XQLW RU WKH GLDJQRVWLF OLJKW LV WXUQHG RQ 1RWH㸸 ࣭ 'HSHQGLQJ RQ WKH PDQXIDFWXUHU RI WKH DFWXDO XQLW WKH IDLOXUH LQGLFDWLRQ PD\ QRW EH VKRZQ 6XEVWLWXWH WKH GHIDXOW YDOXH RI FRPPRQ UDLO SUHVVXUH /LPLW WKH IXHO LQMHFWLRQ DPRXQW /LPLW WKH IXHO IORZ 6WRS WKH (*5 FRQWURO 6WRS WKH '3' UHJHQHUDWLRQ


'7& ,QIRUPDWLRQ +. (

'7& 3 )ODVK &RGH ,QMHFWRU &LUFXLW &\OLQGHU

'7& 3 'HVFULSWLRQ RI '7& 7KH (&0 FDOFXODWHV WKH RSWLPXP IXHO LQMHFWLRQ 21 WLPH XVLQJ GDWD WUDQVPLWWHG IURP WKH VHQVRU 7KH LQMHFWRU SRZHU FLUFXLW VXSSOLHV WKH KLJK YROWDJH ZKLOH WKH (&0 JURXQGV WKH LQMHFWRU VROHQRLG FRQWURO FLUFXLW DV ZHOO DV GULYHV WKH LQMHFWRU RI HDFK F\OLQGHU 7KH (&0 VHWV D '7& ZKHQ DQ DEQRUPDOLW\ LV GHWHFWHG LQ WKH ILUVW F\OLQGHU LQMHFWRU FLUFXLW

'7& 3 &RQGLWLRQ IRU VHWWLQJ WKH '7& '7& 3 DQG 3 DUH QRW VHW 7KH EDWWHU\ YROWDJH LV EHWZHHQ DQG 9 7KH VWDUWHU VZLWFK LV 21 :KLOH WKH HQJLQH LV UXQQLQJ $Q\ RI WKH IROORZLQJ FRQGLWLRQV LV VDWLVILHG :KHQ WKH (&0 KDV GHWHFWHG WKDW DQ RSHQ FLUFXLW ZLWK WKH LQMHFWRU VROHQRLG :KHQ WKH (&0 KDV GHWHFWHG WKDW D VKRUW RI WKH LQMHFWRU VROHQRLG FRQWURO FLUFXLW WR WKH YROWDJH FLUFXLW RU FKDUJH YROWDJH FLUFXLW KDV RFFXUUHG

'7& 3 $FWLRQ WDNHQ ZKHQ WKH '7& VHWV )DLOXUH LV LQGLFDWHG LQ WKH PRQLWRU RQ WKH DFWXDO XQLW RU WKH GLDJQRVWLF OLJKW LV WXUQHG RQ 1RWH㸸 ࣭ 'HSHQGLQJ RQ WKH PDQXIDFWXUHU RI WKH DFWXDO XQLW WKH IDLOXUH LQGLFDWLRQ PD\ QRW EH VKRZQ 5HVWULFWV WKH IXHO LQMHFWLRQ DPRXQW 6WRSV LQMHFWLRQ RI WKH ILUVW F\OLQGHU 6WRSV WKH (*5 FRQWURO 6WRSV WKH '3' UHJHQHUDWLRQ


( '7& ,QIRUPDWLRQ +.

'7& 3 )ODVK &RGH ,QMHFWRU &LUFXLW &\OLQGHU

'7& 3 'HVFULSWLRQ RI '7& 7KH (&0 FDOFXODWHV WKH RSWLPXP IXHO LQMHFWLRQ 21 WLPH XVLQJ WKH GDWD WUDQVPLWWHG IURP WKH VHQVRU 7KH LQMHFWRU SRZHU VXSSO\ FLUFXLW VXSSOLHV WKH KLJK YROWDJH ZKLOH WKH (&0 JURXQGV WKH LQMHFWRU VROHQRLG FRQWURO FLUFXLW DV ZHOO DV GULYHV WKH LQMHFWRU RI HDFK F\OLQGHU 7KH (&0 VHWV D '7& ZKHQ DQ DEQRUPDOLW\ LV GHWHFWHG LQ WKH VHFRQG F\OLQGHU LQMHFWRU FLUFXLW

'7& 3 &RQGLWLRQ IRU VHWWLQJ WKH '7& '7& 3 DQG 3 DUH QRW VHW 7KH EDWWHU\ YROWDJH LV EHWZHHQ DQG 9 7KH VWDUWHU VZLWFK LV 21 :KLOH WKH HQJLQH LV UXQQLQJ $Q\ RI WKH IROORZLQJ FRQGLWLRQV LV VDWLVILHG :KHQ WKH (&0 KDV GHWHFWHG WKDW DQ RSHQ FLUFXLW ZLWK WKH LQMHFWRU VROHQRLG :KHQ WKH (&0 KDV GHWHFWHG WKDW D VKRUW RI WKH LQMHFWRU VROHQRLG FRQWURO FLUFXLW WR WKH YROWDJH FLUFXLW RU FKDUJH YROWDJH FLUFXLW KDV RFFXUUHG

'7& 3 $FWLRQ WDNHQ ZKHQ WKH '7& VHWV )DLOXUH LV LQGLFDWHG LQ WKH PRQLWRU RQ WKH DFWXDO XQLW RU WKH GLDJQRVWLF OLJKW LV WXUQHG RQ 1RWH㸸 ࣭ 'HSHQGLQJ RQ WKH PDQXIDFWXUHU RI WKH DFWXDO XQLW WKH IDLOXUH LQGLFDWLRQ PD\ QRW EH VKRZQ 5HVWULFWV WKH IXHO LQMHFWLRQ DPRXQW 6WRSV LQMHFWLRQ RI WKH VHFRQG F\OLQGHU 6WRSV WKH (*5 FRQWURO 6WRSV WKH '3' UHJHQHUDWLRQ


'7& ,QIRUPDWLRQ +. (

'7& 3 )ODVK &RGH ,QMHFWRU &LUFXLW &\OLQGHU

'7& 3 'HVFULSWLRQ RI '7& 7KH (&0 FDOFXODWHV WKH RSWLPXP IXHO LQMHFWLRQ 21 WLPH XVLQJ WKH GDWD WUDQVPLWWHG IURP WKH VHQVRU 7KH LQMHFWRU SRZHU VXSSO\ FLUFXLW VXSSOLHV WKH KLJK YROWDJH ZKLOH WKH (&0 JURXQGV WKH LQMHFWRU VROHQRLG FRQWURO FLUFXLW DV ZHOO DV GULYHV WKH LQMHFWRU RI HDFK F\OLQGHU 7KH (&0 VHWV D '7& ZKHQ DQ DEQRUPDOLW\ LV GHWHFWHG LQ WKH WKLUG F\OLQGHU LQMHFWRU FLUFXLW

'7& 3 &RQGLWLRQ IRU VHWWLQJ WKH '7& '7& 3 DQG 3 DUH QRW VHW 7KH EDWWHU\ YROWDJH LV EHWZHHQ DQG 9 7KH VWDUWHU VZLWFK LV 21 :KLOH WKH HQJLQH LV UXQQLQJ $Q\ RI WKH IROORZLQJ FRQGLWLRQV LV VDWLVILHG :KHQ WKH (&0 KDV GHWHFWHG WKDW DQ RSHQ FLUFXLW ZLWK WKH LQMHFWRU VROHQRLG :KHQ WKH (&0 KDV GHWHFWHG WKDW D VKRUW RI WKH LQMHFWRU VROHQRLG FRQWURO FLUFXLW WR WKH YROWDJH FLUFXLW RU FKDUJH YROWDJH FLUFXLW KDV RFFXUUHG

'7& 3 $FWLRQ WDNHQ ZKHQ WKH '7& VHWV )DLOXUH LV LQGLFDWHG LQ WKH PRQLWRU RQ WKH DFWXDO XQLW RU WKH GLDJQRVWLF OLJKW LV WXUQHG RQ 1RWH㸸 ࣭ 'HSHQGLQJ RQ WKH PDQXIDFWXUHU RI WKH DFWXDO XQLW WKH IDLOXUH LQGLFDWLRQ PD\ QRW EH VKRZQ 5HVWULFWV WKH IXHO LQMHFWLRQ DPRXQW 6WRSV LQMHFWLRQ RI WKH WKLUG F\OLQGHU 6WRSV WKH (*5 FRQWURO 6WRSV WKH '3' UHJHQHUDWLRQ


( '7& ,QIRUPDWLRQ +.

'7& 3 )ODVK &RGH ,QMHFWRU &LUFXLW &\OLQGHU

'7& 3 'HVFULSWLRQ RI '7& 7KH (&0 FDOFXODWHV WKH RSWLPXP IXHO LQMHFWLRQ 21 WLPH XVLQJ WKH GDWD WUDQVPLWWHG IURP WKH VHQVRU 7KH LQMHFWRU SRZHU VXSSO\ FLUFXLW VXSSOLHV WKH KLJK YROWDJH ZKLOH WKH (&0 JURXQGV WKH LQMHFWRU VROHQRLG FRQWURO FLUFXLW DV ZHOO DV GULYHV WKH LQMHFWRU RI HDFK F\OLQGHU 7KH (&0 VHWV D '7& ZKHQ DQ DEQRUPDOLW\ LV GHWHFWHG LQ WKH IRXUWK F\OLQGHU LQMHFWRU FLUFXLW

'7& 3 &RQGLWLRQ IRU VHWWLQJ WKH '7& '7& 3 DQG 3 DUH QRW VHW 7KH EDWWHU\ YROWDJH LV EHWZHHQ DQG 9 7KH VWDUWHU VZLWFK LV 21 :KLOH WKH HQJLQH LV UXQQLQJ $Q\ RI WKH IROORZLQJ FRQGLWLRQV LV VDWLVILHG :KHQ WKH (&0 KDV GHWHFWHG WKDW DQ RSHQ FLUFXLW ZLWK WKH LQMHFWRU VROHQRLG :KHQ WKH (&0 KDV GHWHFWHG WKDW D VKRUW RI WKH LQMHFWRU VROHQRLG FRQWURO FLUFXLW WR WKH YROWDJH FLUFXLW RU FKDUJH YROWDJH FLUFXLW KDV RFFXUUHG

'7& 3 $FWLRQ WDNHQ ZKHQ WKH '7& VHWV )DLOXUH LV LQGLFDWHG LQ WKH PRQLWRU RQ WKH DFWXDO XQLW RU WKH GLDJQRVWLF OLJKW LV WXUQHG RQ 1RWH㸸 ࣭ 'HSHQGLQJ RQ WKH PDQXIDFWXUHU RI WKH DFWXDO XQLW WKH IDLOXUH LQGLFDWLRQ PD\ QRW EH VKRZQ 5HVWULFWV WKH IXHO LQMHFWLRQ DPRXQW 6WRSV LQMHFWLRQ RI WKH IRXUWK F\OLQGHU 6WRSV WKH (*5 FRQWURO 6WRSV WKH '3' UHJHQHUDWLRQ


'7& ,QIRUPDWLRQ +. (

'7& 3 )ODVK &RGH ,QMHFWRU &LUFXLW &\OLQGHU

'7& 3 'HVFULSWLRQ RI '7& 7KH (&0 FDOFXODWHV WKH RSWLPXP IXHO LQMHFWLRQ 21 WLPH XVLQJ WKH GDWD WUDQVPLWWHG IURP WKH VHQVRU 7KH LQMHFWRU SRZHU VXSSO\ FLUFXLW VXSSOLHV WKH KLJK YROWDJH ZKLOH WKH (&0 JURXQGV WKH LQMHFWRU VROHQRLG FRQWURO FLUFXLW DV ZHOO DV GULYHV WKH LQMHFWRU RI HDFK F\OLQGHU 7KH (&0 VHWV D '7& ZKHQ DQ DEQRUPDOLW\ LV GHWHFWHG LQ WKH ILIWK F\OLQGHU LQMHFWRU FLUFXLW

'7& 3 &RQGLWLRQ IRU VHWWLQJ WKH '7& '7& 3 DQG 3 DUH QRW VHW 7KH EDWWHU\ YROWDJH LV EHWZHHQ DQG 9 7KH VWDUWHU VZLWFK LV 21 :KLOH WKH HQJLQH LV UXQQLQJ $Q\ RI WKH IROORZLQJ FRQGLWLRQV LV VDWLVILHG :KHQ WKH (&0 KDV GHWHFWHG WKDW DQ RSHQ FLUFXLW ZLWK WKH LQMHFWRU VROHQRLG :KHQ WKH (&0 KDV GHWHFWHG WKDW D VKRUW RI WKH LQMHFWRU VROHQRLG FRQWURO FLUFXLW WR WKH YROWDJH FLUFXLW RU FKDUJH YROWDJH FLUFXLW KDV RFFXUUHG

'7& 3 $FWLRQ WDNHQ ZKHQ WKH '7& VHWV )DLOXUH LV LQGLFDWHG LQ WKH PRQLWRU RQ WKH DFWXDO XQLW RU WKH GLDJQRVWLF OLJKW LV WXUQHG RQ 1RWH㸸 ࣭ 'HSHQGLQJ RQ WKH PDQXIDFWXUHU RI WKH DFWXDO XQLW WKH IDLOXUH LQGLFDWLRQ PD\ QRW EH VKRZQ 5HVWULFWV WKH IXHO LQMHFWLRQ DPRXQW 6WRSV LQMHFWLRQ RI WKH ILIWK F\OLQGHU 6WRSV WKH (*5 FRQWURO 6WRSV WKH '3' UHJHQHUDWLRQ


( '7& ,QIRUPDWLRQ +.

'7& 3 )ODVK &RGH ,QMHFWRU &LUFXLW &\OLQGHU

'7& 3 'HVFULSWLRQ RI '7& 7KH (&0 FDOFXODWHV WKH RSWLPXP IXHO LQMHFWLRQ 21 WLPH XVLQJ WKH GDWD WUDQVPLWWHG IURP WKH VHQVRU 7KH LQMHFWRU SRZHU VXSSO\ FLUFXLW VXSSOLHV WKH KLJK YROWDJH ZKLOH WKH (&0 JURXQGV WKH LQMHFWRU VROHQRLG FRQWURO FLUFXLW DV ZHOO DV GULYHV WKH LQMHFWRU RI HDFK F\OLQGHU 7KH (&0 VHWV D '7& ZKHQ DQ DEQRUPDOLW\ LV GHWHFWHG LQ WKH VL[WK F\OLQGHU LQMHFWRU FLUFXLW

'7& 3 &RQGLWLRQ IRU VHWWLQJ WKH '7& '7& 3 DQG 3 DUH QRW VHW 7KH EDWWHU\ YROWDJH LV EHWZHHQ DQG 9 7KH VWDUWHU VZLWFK LV 21 :KLOH WKH HQJLQH LV UXQQLQJ $Q\ RI WKH IROORZLQJ FRQGLWLRQV LV VDWLVILHG :KHQ WKH (&0 KDV GHWHFWHG WKDW DQ RSHQ FLUFXLW ZLWK WKH LQMHFWRU VROHQRLG :KHQ WKH (&0 KDV GHWHFWHG WKDW D VKRUW RI WKH LQMHFWRU VROHQRLG FRQWURO FLUFXLW WR WKH YROWDJH FLUFXLW RU FKDUJH YROWDJH FLUFXLW KDV RFFXUUHG

'7& 3 $FWLRQ WDNHQ ZKHQ WKH '7& VHWV )DLOXUH LV LQGLFDWHG LQ WKH PRQLWRU RQ WKH DFWXDO XQLW RU WKH GLDJQRVWLF OLJKW LV WXUQHG RQ 1RWH㸸 ࣭ 'HSHQGLQJ RQ WKH PDQXIDFWXUHU RI WKH DFWXDO XQLW WKH IDLOXUH LQGLFDWLRQ PD\ QRW EH VKRZQ 5HVWULFWV WKH IXHO LQMHFWLRQ DPRXQW 6WRSV LQMHFWLRQ RI WKH VL[WK F\OLQGHU 6WRSV WKH (*5 FRQWURO 6WRSV WKH '3' UHJHQHUDWLRQ


'7& ,QIRUPDWLRQ +. (

'7& 3 )ODVK &RGH (QJLQH &RRODQW 2YHU 7HPSHUDWXUH &RQGLWLRQ

'7& 3 'HVFULSWLRQ RI '7& 7KH ZDWHU WHPSHUDWXUH VHQVRU LV LQVWDOOHG LQ WKH WKHUPRVWDW KRXVLQJ 7KH ZDWHU WHPSHUDWXUH VHQVRU LV D WKHUPLVWRU W\SH DQG PHDVXUHV WKH WHPSHUDWXUH RI WKH HQJLQH FRRODQW 7KH '7& LV VHW ZKHQ WKH (&0 GHWHFWV DQ DEQRUPDOO\ KLJK WHPSHUDWXUH LQ WKH FRRODQW

'7& 3 &RQGLWLRQ IRU VHWWLQJ WKH '7& '7& 3 DQG 3 DUH QRW VHW 7KH EDWWHU\ YROWDJH LV EHWZHHQ DQG 9 7KH VWDUWHU VZLWFK LV 21 :KLOH WKH HQJLQH LV UXQQLQJ $Q\ RI WKH IROORZLQJ FRQGLWLRQV LV VDWLVILHG :KHQ WKH (&0 KDV GHWHFWHG WKDW WKH HQJLQH FRRODQW WHPSHUDWXUH KDV EHHQ Я е RU KLJKHU IRU VHFRQGV :KHQ WKH (&0 KDV GHWHFWHG WKDW WKH HQJLQH FRRODQW WHPSHUDWXUH KDV EHHQ Я е RU KLJKHU IRU VHFRQGV GXULQJ '3' UHJHQHUDWLRQ


( '7& ,QIRUPDWLRQ +.

'7& 3 )ODVK &RGH (QJLQH 2YHUVSHHG &RQGLWLRQ

'7& 3 'HVFULSWLRQ RI '7& 7KH FUDQNVKDIW SRVLWLRQ VHQVRU LV LQVWDOOHG RQ WKH XSSHU SRVLWLRQ RI WKH IO\ZKHHO KRXVLQJ 7KH (&0 FDOFXODWHV WKH HQJLQH 530 DQG WKH FRUUHFW SRVLWLRQ RI WKH FUDQNVKDIW XVLQJ WKH VLJQDO SXOVHV IURP WKH FUDQNVKDIW SRVLWLRQ VHQVRU :KHQ WKH (&0 KDV GHWHFWHG WKDW WKH HQJLQH KDV RYHUUXQ LW VHWV '7&

'7& 3 &RQGLWLRQ IRU VHWWLQJ WKH '7& :KHQ WKH (&0 GHWHFWV WKDW WKH HQJLQH 530 LV U PLQ RU DERYH IRU ORQJHU WKDQ VHFRQGV

'7& 3 $FWLRQ WDNHQ ZKHQ WKH '7& VHWV :KHQ LW KDV EHHQ GHWHFWHG IRU FRQVHFXWLYH WLPHV WKH IDLOXUH LV GLVSOD\HG RQ WKH PRQLWRU RI WKH PDLQ GHYLFH RU WKH 'LDJQRVWLF OLJKW LOOXPLQDWHV 1RWH㸸 ࣭ 'HSHQGLQJ RQ WKH PDQXIDFWXUHU RI WKH DFWXDO XQLW WKH IDLOXUH LQGLFDWLRQ PD\ QRW EH VKRZQ


'7& ,QIRUPDWLRQ +. (

'7& 3 )ODVK &RGH 7XUERFKDUJHU 2YHUERRVW &RQGLWLRQ

'7& 3 'HVFULSWLRQ RI '7& 7KH ERRVW VHQVRU LV ORFDWHG LQ WKH DLU LQWDNH SLSH 7KLV VHQVRU FKDQJHV WKH VLJQDO YROWDJH LQ DFFRUGDQFH ZLWK WKH FKDQJH LQ WKH DLU SUHVVXUH LQVLGH WKH DLU LQWDNH SLSH 7KH (&0 PRQLWRUV WKH ERRVW VHQVRU VLJQDO 7KH '7& LV VHW ZKHQ WKH (&0 GHWHFWV DQ DEQRUPDOO\ KLJK VHQVRU VLJQDO 7KLV LQGLFDWHV WKDW WKH ERRVW SUHVVXUH LV DEQRUPDOO\ KLJK

'7& 3 &RQGLWLRQ IRU VHWWLQJ WKH '7& '7& 3 3 3 8 DQG 8 DUH QRW VHW 7KH VWDUWHU VZLWFK LV 21 :KHQ WKH (&0 KDV GHWHFWHG WKDW WKH ERRVW SUHVVXUH KDV EHHQ N3D ^ NJI FP SVL` RU KLJKHU IRU VHFRQGV RU ORQJHU

'7& 3 $FWLRQ WDNHQ ZKHQ WKH '7& VHWV )DLOXUH LV LQGLFDWHG LQ WKH PRQLWRU RQ WKH DFWXDO XQLW RU WKH GLDJQRVWLF OLJKW LV WXUQHG RQ 1RWH㸸 ࣭ 'HSHQGLQJ RQ WKH PDQXIDFWXUHU RI WKH DFWXDO XQLW WKH IDLOXUH LQGLFDWLRQ PD\ QRW EH VKRZQ 5HVWULFW WKH IXHO LQMHFWLRQ DPRXQW 7KH KLJKHVW HQJLQH 530 LV UHVWULFWHG WR U PLQ 6WRS WKH (*5 FRQWURO 6WRS WKH '3' UHJHQHUDWLRQ


( '7& ,QIRUPDWLRQ +.

'7& 3 )ODVK &RGH 7XUER &KDUJHU %RRVW 6HQVRU &LUFXLW /RZ

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

'7& 3 &RQGLWLRQ IRU VHWWLQJ WKH '7& '7& 3 % LV QRW VHW 7KH EDWWHU\ YROWDJH LV EHWZHHQ DQG 9 7KH VWDUWHU VZLWFK LV 21 :KHQ WKH (&0 KDV GHWHFWHG WKDW WKH ERRVW VHQVRU VLJQDO YROWDJH KDV EHHQ 9 RU ORZHU IRU VHFRQGV

'7& 3 $FWLRQ WDNHQ ZKHQ WKH '7& VHWV )DLOXUH LV LQGLFDWHG LQ WKH PRQLWRU RQ WKH DFWXDO XQLW RU WKH GLDJQRVWLF OLJKW LV WXUQHG RQ 1RWH㸸 ࣭ 'HSHQGLQJ RQ WKH PDQXIDFWXUHU RI WKH DFWXDO XQLW WKH IDLOXUH LQGLFDWLRQ PD\ QRW EH VKRZQ 6XEVWLWXWH WKH GHIDXOW YDOXH RI ERRVW SUHVVXUH 6WRS WKH (*5 FRQWURO


'7& ,QIRUPDWLRQ +. (

'7& 3 )ODVK &RGH 7XUER &KDUJHU %RRVW 6HQVRU &LUFXLW +LJK

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

'7& 3 &RQGLWLRQ IRU VHWWLQJ WKH '7& '7& 3 % LV QRW VHW 7KH EDWWHU\ YROWDJH LV EHWZHHQ DQG 9 7KH VWDUWHU VZLWFK LV 21 :KHQ WKH (&0 KDV GHWHFWHG WKDW WKH ERRVW VHQVRU VLJQDO YROWDJH KDV EHHQ 9 RU ORZHU IRU VHFRQGV

'7& 3 $FWLRQ WDNHQ ZKHQ WKH '7& VHWV )DLOXUH LV LQGLFDWHG LQ WKH PRQLWRU RQ WKH DFWXDO XQLW RU WKH GLDJQRVWLF OLJKW LV WXUQHG RQ 1RWH㸸 ࣭ 'HSHQGLQJ RQ WKH PDQXIDFWXUHU RI WKH DFWXDO XQLW WKH IDLOXUH LQGLFDWLRQ PD\ QRW EH VKRZQ 6XEVWLWXWH WKH GHIDXOW YDOXH RI ERRVW SUHVVXUH 6WRS WKH (*5 FRQWURO


( '7& ,QIRUPDWLRQ +.

'7& 3 )ODVK &RGH &UDQNVKDIW 3RVLWLRQ 6HQVRU &LUFXLW

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

'7& 3 &RQGLWLRQ IRU VHWWLQJ WKH '7& '7& 3 3 3 DQG 3 DUH QRW VHW 7KH VWDUWHU VZLWFK LV 21 7KH &03 VHQVRU VLJQDO SXOVH LV GHWHFWHG :KHQ WKH (&0 KDV GHWHFWHG WKDW WKH &.3 VHQVRU VLJQDO SXOVH KDV QRW EHHQ JHQHUDWHG ZKLOH WKH HQJLQH KDV EHHQ UXQQLQJ

'7& 3 $FWLRQ WDNHQ ZKHQ WKH '7& VHWV )DLOXUH LV LQGLFDWHG LQ WKH PRQLWRU RQ WKH DFWXDO XQLW RU WKH GLDJQRVWLF OLJKW LV WXUQHG RQ 1RWH㸸 ࣭ 'HSHQGLQJ RQ WKH PDQXIDFWXUHU RI WKH DFWXDO XQLW WKH IDLOXUH LQGLFDWLRQ PD\ QRW EH VKRZQ 5HVWULFW WKH IXHO LQMHFWLRQ DPRXQW 6WRS WKH (*5 FRQWURO 6WRS WKH '3' UHJHQHUDWLRQ


'7& ,QIRUPDWLRQ +. (

'7& 3 )ODVK &RGH &UDQNVKDIW 3RVLWLRQ 6HQVRU &LUFXLW 5DQJH 3HUIRUPDQFH

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

'7& 3 &RQGLWLRQ IRU VHWWLQJ WKH '7& '7& 3 3 3 DQG 3 DUH QRW VHW 7KH VWDUWHU VZLWFK LV 21 7KH &.3 VHQVRU VLJQDO SXOVH LV GHWHFWHG :KHQ WKH (&0 KDV GHWHFWHG WKDW H[FHVVLYH RU LQVXIILFLHQW RI &.3 VHQVRU VLJQDO SXOVH ZKLOH WKH HQJLQH KDV EHHQ UXQQLQJ

'7& 3 $FWLRQ WDNHQ ZKHQ WKH '7& VHWV )DLOXUH LV LQGLFDWHG LQ WKH PRQLWRU RQ WKH DFWXDO XQLW RU WKH GLDJQRVWLF OLJKW LV WXUQHG RQ 1RWH㸸 ࣭ 'HSHQGLQJ RQ WKH PDQXIDFWXUHU RI WKH DFWXDO XQLW WKH IDLOXUH LQGLFDWLRQ PD\ QRW EH VKRZQ 5HVWULFW WKH IXHO LQMHFWLRQ DPRXQW 6WRS WKH (*5 FRQWURO 6WRS WKH '3' UHJHQHUDWLRQ


( '7& ,QIRUPDWLRQ +.

'7& 3 )ODVK &RGH &DPVKDIW 3RVLWLRQ 6HQVRU &LUFXLW

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

'7& 3 &RQGLWLRQ IRU VHWWLQJ WKH '7& '7& 3 3 3 DQG 3 DUH QRW VHW 7KH VWDUWHU VZLWFK LV 21 7KH &.3 VHQVRU VLJQDO SXOVH LV GHWHFWHG :KHQ WKH (&0 KDV GHWHFWHG WKDW WKH &03 VHQVRU VLJQDO SXOVH KDV QRW EHHQ JHQHUDWHG ZKLOH WKH HQJLQH KDV EHHQ UXQQLQJ

'7& 3 $FWLRQ WDNHQ ZKHQ WKH '7& VHWV )DLOXUH LV LQGLFDWHG LQ WKH PRQLWRU RQ WKH DFWXDO XQLW RU WKH GLDJQRVWLF OLJKW LV WXUQHG RQ 1RWH㸸 ࣭ 'HSHQGLQJ RQ WKH PDQXIDFWXUHU RI WKH DFWXDO XQLW WKH IDLOXUH LQGLFDWLRQ PD\ QRW EH VKRZQ


'7& ,QIRUPDWLRQ +. (

'7& 3 )ODVK &RGH ([KDXVW *DV 5HFLUFXODWLRQ &RQWURO &LUFXLW 5DQJH 3HUIRUPDQFH

'7& 3 'HVFULSWLRQ RI '7& 7KH (&0 FRQWUROV WKH (*5 YDOYH RSHQLQJ DQG FORVLQJ EDVHG RQ WKH HQJLQH UXQQLQJ FRQGLWLRQ DQG E\ FRQWUROOLQJ WKH (*5 VROHQRLG 7KH (*5 YDOYH OLIW DPRXQW LV GHWHFWHG E\ WKH SRVLWLRQ VHQVRU DQG WUDQVPLWWHG WR WKH (&0 ,I WKH (&0 KDV GHWHFWHG D YDULDQFH EHWZHHQ WKH DFWXDO (*5 YDOYH SRVLWLRQ DQG GHVLUHG (*5 YDOYH SRVLWLRQ IRU D FHUWDLQ SHULRG RI WLPH ZKLOH WKH (*5 YDOYH LV FRPPDQGHG 21 LW VHWV '7&

'7& 3 &RQGLWLRQ IRU VHWWLQJ WKH '7& '7& 3 LV QRW VHW 7KH EDWWHU\ YROWDJH LV EHWZHHQ DQG 9 7KH VWDUWHU VZLWFK LV 21 7KH 21 LQVWUXFWLRQ LV LVVXHG IRU (*5 FRQWURO :KHQ WKH (&0 KDV GHWHFWHG WKDW WKH GLIIHUHQFH EHWZHHQ WKH DFWXDO DQG GHVLUHG (*5 YDOYH SRVLWLRQV KDV EHHQ RU PRUH IRU VHFRQGV RU ORQJHU

'7& 3 $FWLRQ WDNHQ ZKHQ WKH '7& VHWV )DLOXUH LV LQGLFDWHG LQ WKH PRQLWRU RQ WKH DFWXDO XQLW RU WKH GLDJQRVWLF OLJKW LV WXUQHG RQ 1RWH㸸 ࣭ 'HSHQGLQJ RQ WKH PDQXIDFWXUHU RI WKH DFWXDO XQLW WKH IDLOXUH LQGLFDWLRQ PD\ QRW EH VKRZQ 5HVWULFW WKH IXHO LQMHFWLRQ DPRXQW 6WRS WKH (*5 FRQWURO 6WRS WKH '3' UHJHQHUDWLRQ


( '7& ,QIRUPDWLRQ +.

'7& 3 )ODVK &RGH ([KDXVW *DV 5HFLUFXODWLRQ 6HQVRU &LUFXLW

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

'7& 3 &RQGLWLRQ IRU VHWWLQJ WKH '7& '7& 3 % LV QRW VHW 7KH EDWWHU\ YROWDJH LV EHWZHHQ DQG 9 7KH VWDUWHU VZLWFK LV 21 :KHQ WKH (&0 KDV GHWHFWHG WKDW WKH VLJQDO IURP WKH (*5 YDOYH SRVLWLRQ VHQVRU KDV EHHQ NHSW ORZ RU KLJK IRU ORQJHU WKDQ VHFRQGV

'7& 3 $FWLRQ WDNHQ ZKHQ WKH '7& VHWV )DLOXUH LV LQGLFDWHG LQ WKH PRQLWRU RQ WKH DFWXDO XQLW RU WKH GLDJQRVWLF OLJKW LV WXUQHG RQ 1RWH㸸 ࣭ 'HSHQGLQJ RQ WKH PDQXIDFWXUHU RI WKH DFWXDO XQLW WKH IDLOXUH LQGLFDWLRQ PD\ QRW EH VKRZQ 5HVWULFW WKH IXHO LQMHFWLRQ DPRXQW 6WRS WKH (*5 FRQWURO 6WRS WKH '3' UHJHQHUDWLRQ


'7& ,QIRUPDWLRQ +. (

'7& 3 & )ODVK &RGH ,QWDNH 0DQLIROG 7HPSHUDWXUH 6HQVRU &LUFXLW +LJK

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

'7& 3 & &RQGLWLRQ IRU VHWWLQJ WKH '7& '7& 3 % LV QRW GHWHFWHG 7KH HQJLQH LV UXQQLQJ IRU PLQXWHV RU ORQJHU :KHQ WKH (&0 KDV GHWHFWHG WKDW WKH VLJQDO YROWDJH RI WKH ,07 VHQVRU KDV EHHQ 9 RU KLJKHU IRU VHFRQGV

'7& 3 & $FWLRQ WDNHQ ZKHQ WKH '7& VHWV )DLOXUH LV LQGLFDWHG LQ WKH PRQLWRU RQ WKH DFWXDO XQLW RU WKH GLDJQRVWLF OLJKW LV WXUQHG RQ 1RWH㸸 ࣭ 'HSHQGLQJ RQ WKH PDQXIDFWXUHU RI WKH DFWXDO XQLW WKH IDLOXUH LQGLFDWLRQ PD\ QRW EH VKRZQ 6XEVWLWXWH WKH GHIDXOW YDOXH IRU WKH ,07 VHQVRU


( '7& ,QIRUPDWLRQ +.

'7& 3 ' )ODVK &RGH ,QWDNH 0DQLIROG 7HPSHUDWXUH 6HQVRU &LUFXLW /RZ

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

'7& 3 ' &RQGLWLRQ IRU VHWWLQJ WKH '7& '7& 3 % KDV QRW EHHQ GHWHFWHG :KHQ WKH (&0 KDV GHWHFWHG WKDW WKH VLJQDO YROWDJH RI WKH ,07 VHQVRU KDV EHHQ 9 RU ORZHU IRU VHFRQGV RU ORQJHU

'7& 3 ' $FWLRQ WDNHQ ZKHQ WKH '7& VHWV )DLOXUH LV LQGLFDWHG LQ WKH PRQLWRU RQ WKH DFWXDO XQLW RU WKH GLDJQRVWLF OLJKW LV WXUQHG RQ 1RWH㸸 ࣭ 'HSHQGLQJ RQ WKH PDQXIDFWXUHU RI WKH DFWXDO XQLW WKH IDLOXUH LQGLFDWLRQ PD\ QRW EH VKRZQ 6XEVWLWXWH WKH GHIDXOW YDOXH IRU WKH ,07 VHQVRU


'7& ,QIRUPDWLRQ +. (

'7& 3 )ODVK &RGH &DWDO\VW 7HPSHUDWXUH 6HQVRU &LUFXLW 5DQJH 3HUIRUPDQFH 6HQVRU

'7& 3 'HVFULSWLRQ RI '7& 7KH H[KDXVW JDV WHPSHUDWXUH VHQVRU LV LQVWDOOHG RQ WKH '3' KRXVLQJ 7KH H[KDXVW JDV WHPSHUDWXUH VHQVRU LV D YDULDEOH UHVLVWRU DQG PHDVXUHV WKH WHPSHUDWXUH RI WKH H[KDXVW JDV EHIRUH HQWHULQJ WKH '3' ILOWHU 7KH '7& LV VHW ZKHQ WKH (&0 GHWHFWV DQ DEQRUPDOO\ KLJK H[KDXVW WHPSHUDWXUH

'7& 3 &RQGLWLRQ IRU VHWWLQJ WKH '7& '7& 3 DQG 3 KDYH QRW EHHQ GHWHFWHG 7KH LJQLWLRQ VZLWFK KDV EHHQ 21 :KHQ WKH (&0 KDV GHWHFWHG WKDW7KH PHDVXUH YDOXH RI WKH H[KDXVW JDV WHPSHUDWXUH VHQVRU KDV EHHQ Я ^ )` RU PRUH IRU VHFRQGV

'7& 3 $FWLRQ WDNHQ ZKHQ WKH '7& VHWV )DLOXUH LV LQGLFDWHG LQ WKH PRQLWRU RQ WKH DFWXDO XQLW RU WKH GLDJQRVWLF OLJKW LV WXUQHG RQ 1RWH㸸 ࣭ 'HSHQGLQJ RQ WKH PDQXIDFWXUHU RI WKH DFWXDO XQLW WKH IDLOXUH LQGLFDWLRQ PD\ QRW EH VKRZQ 5HVWULFWV WKH IXHO LQMHFWLRQ DPRXQW


( '7& ,QIRUPDWLRQ +.

'7& 3 )ODVK &RGH &DWDO\VW 7HPSHUDWXUH 6HQVRU &LUFXLW /RZ 6HQVRU

'7& 3 'HVFULSWLRQ RI '7& 7KH H[KDXVW WHPSHUDWXUH VHQVRU LV LQVWDOOHG RQ WKH '3' KRXVLQJ 7KH H[KDXVW JDV WHPSHUDWXUH VHQVRU LV D YDULDEOH UHVLVWRU DQG PHDVXUHV WKH WHPSHUDWXUH RI WKH H[KDXVW JDV EHIRUH HQWHULQJ WKH '3' ILOWHU 7KLV VHQVRU KDV D VLJQDO FLUFXLW DQG *1' FLUFXLW 7KH (&0 VXSSOLHV 9 WR WKH VLJQDO FLUFXLW DQG WKH *1' FLUFXLW FRQQHFWV WR *1' :KHQ WKH '3' H[KDXVW WHPSHUDWXUH VHQVRU LV FROG WKH UHVLVWDQFH RI WKH VHQVRU LV KLJK :KHQ WKH H[KDXVW WHPSHUDWXUH ULVHV WKH UHVLVWDQFH RI WKH VHQVRU GHFUHDVHV 7KH (&0 GHWHFWV D KLJK YROWDJH ZKHQ WKH VHQVRU UHVLVWDQFH LV KLJK 7KH (&0 GHWHFWV D ORZ YROWDJH ZKHQ WKH VHQVRU UHVLVWDQFH LV ORZ 7KH '7& LV VHW ZKHQ WKH (&0 GHWHFWV DQ DEQRUPDOO\ ORZ VLJQDO YROWDJH

'7& 3 &RQGLWLRQ IRU VHWWLQJ WKH '7& '7& 3 % LV QRW VHW 7KH EDWWHU\ YROWDJH LV EHWZHHQ DQG 9 7KH VWDUWHU VZLWFK LV 21 :KHQ WKH (&0 KDV GHWHFWHG WKDW WKH VLJQDO YROWDJH RI WKH H[KDXVW WHPSHUDWXUH VHQVRU KDV EHHQ 9 RU ORZHU IRU VHFRQGV

'7& 3 $FWLRQ WDNHQ ZKHQ WKH '7& VHWV )DLOXUH LV LQGLFDWHG LQ WKH PRQLWRU RQ WKH DFWXDO XQLW RU WKH GLDJQRVWLF OLJKW LV WXUQHG RQ 1RWH㸸 ࣭ 'HSHQGLQJ RQ WKH PDQXIDFWXUHU RI WKH DFWXDO XQLW WKH IDLOXUH LQGLFDWLRQ PD\ QRW EH VKRZQ 5HVWULFW WKH IXHO LQMHFWLRQ DPRXQW 6WRS WKH (*5 FRQWURO


'7& ,QIRUPDWLRQ +. (

'7& 3 )ODVK &RGH &DWDO\VW 7HPSHUDWXUH 6HQVRU &LUFXLW +LJK 6HQVRU

'7& 3 'HVFULSWLRQ RI '7& 7KH H[KDXVW WHPSHUDWXUH VHQVRU LV LQVWDOOHG RQ WKH '3' KRXVLQJ 7KH H[KDXVW JDV WHPSHUDWXUH VHQVRU LV D YDULDEOH UHVLVWRU DQG PHDVXUHV WKH WHPSHUDWXUH RI WKH H[KDXVW JDV EHIRUH HQWHULQJ WKH '3' ILOWHU 7KLV VHQVRU KDV D VLJQDO FLUFXLW DQG *1' FLUFXLW 7KH (&0 VXSSOLHV 9 WR WKH VLJQDO FLUFXLW DQG WKH *1' FLUFXLW FRQQHFWV WR *1' :KHQ WKH '3' H[KDXVW WHPSHUDWXUH VHQVRU LV FROG WKH UHVLVWDQFH RI WKH VHQVRU LV KLJK :KHQ WKH H[KDXVW WHPSHUDWXUH ULVHV WKH UHVLVWDQFH RI WKH VHQVRU GHFUHDVHV 7KH (&0 GHWHFWV D KLJK YROWDJH ZKHQ WKH VHQVRU UHVLVWDQFH LV KLJK 7KH (&0 GHWHFWV D ORZ YROWDJH ZKHQ WKH VHQVRU UHVLVWDQFH LV ORZ 7KH '7& LV VHW ZKHQ WKH (&0 GHWHFWV DQ DEQRUPDOO\ ORZ VLJQDO YROWDJH

'7& 3 &RQGLWLRQ IRU VHWWLQJ WKH '7& '7& 3 3 3 3 3 % 3 DQG 3 DUH QRW VHW 7KH EDWWHU\ YROWDJH LV EHWZHHQ DQG 9 7KH VWDUWHU VZLWFK LV 21 7KH HQJLQH FRRODQW WHPSHUDWXUH LV Я е RU KLJKHU 7KH IXHO LQMHFWLRQ DPRXQW LV D FHUWDLQ YDOXH RU PRUH 7KH HQJLQH RSHUDWLQJ WLPH LV PLQXWHV RU ORQJHU :KHQ WKH (&0 KDV GHWHFWHG WKDW WKH VLJQDO YROWDJH RI WKH H[KDXVW WHPSHUDWXUH VHQVRU KDV EHHQ 9 RU KLJKHU IRU VHFRQGV

'7& 3 $FWLRQ WDNHQ ZKHQ WKH '7& VHWV )DLOXUH LV LQGLFDWHG LQ WKH PRQLWRU RQ WKH DFWXDO XQLW RU WKH GLDJQRVWLF OLJKW LV WXUQHG RQ 1RWH㸸 ࣭ 'HSHQGLQJ RQ WKH PDQXIDFWXUHU RI WKH DFWXDO XQLW WKH IDLOXUH LQGLFDWLRQ PD\ QRW EH VKRZQ 5HVWULFW WKH IXHO LQMHFWLRQ DPRXQW 6WRS WKH (*5 FRQWURO


( '7& ,QIRUPDWLRQ +.

'7& 3 % )ODVK &RGH &DWDO\VW 7HPSHUDWXUH 6HQVRU &LUFXLW 5DQJH 3HUIRUPDQFH 6HQVRU

'7& 3 % 'HVFULSWLRQ RI '7& 7KH H[KDXVW WHPSHUDWXUH VHQVRU LV LQVWDOOHG RQ WKH '3' KRXVLQJ 7KH H[KDXVW WHPSHUDWXUH VHQVRU LV D YDULDEOH UHVLVWRU DQG PHDVXUHV WKH WHPSHUDWXUH RI WKH H[KDXVW JDV EHIRUH HQWHULQJ WKH R[LGDWLRQ FDWDO\VW 7KH '7& LV VHW ZKHQ WKH (&0 GHWHFWV DQ DEQRUPDOO\ KLJK H[KDXVW WHPSHUDWXUH

'7& 3 % &RQGLWLRQ IRU VHWWLQJ WKH '7& '7& 3 & DQG 3 ' DUH QRW VHW 7KH VWDUWHU VZLWFK LV 21 :KHQ WKH (&0 KDV GHWHFWHG WKDW WKH H[KDXVW WHPSHUDWXUH KDV EHHQ Я е RU KLJKHU IRU VHFRQGV

'7& 3 % $FWLRQ WDNHQ ZKHQ WKH '7& VHWV )DLOXUH LV LQGLFDWHG LQ WKH PRQLWRU RQ WKH DFWXDO XQLW RU WKH GLDJQRVWLF OLJKW LV WXUQHG RQ 1RWH㸸 ࣭ 'HSHQGLQJ RQ WKH PDQXIDFWXUHU RI WKH DFWXDO XQLW WKH IDLOXUH LQGLFDWLRQ PD\ QRW EH VKRZQ 5HVWULFWV WKH IXHO LQMHFWLRQ DPRXQW


'7& ,QIRUPDWLRQ +. (

'7& 3 & )ODVK &RGH &DWDO\VW 7HPSHUDWXUH 6HQVRU &LUFXLW /RZ 6HQVRU

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

'7& 3 & &RQGLWLRQ IRU VHWWLQJ WKH '7& '7& 3 % LV QRW VHW 7KH EDWWHU\ YROWDJH LV EHWZHHQ DQG 9 7KH VWDUWHU VZLWFK LV 21 :KHQ WKH (&0 KDV GHWHFWHG WKDW WKH VLJQDO YROWDJH RI WKH H[KDXVW WHPSHUDWXUH VHQVRU VLJQDO YROWDJH KDV EHHQ 9 RU ORZHU IRU VHFRQGV

'7& 3 & $FWLRQ WDNHQ ZKHQ WKH '7& VHWV )DLOXUH LV LQGLFDWHG LQ WKH PRQLWRU RQ WKH DFWXDO XQLW RU WKH GLDJQRVWLF OLJKW LV WXUQHG RQ 1RWH㸸 ࣭ 'HSHQGLQJ RQ WKH PDQXIDFWXUHU RI WKH DFWXDO XQLW WKH IDLOXUH LQGLFDWLRQ PD\ QRW EH VKRZQ 5HVWULFW WKH IXHO LQMHFWLRQ DPRXQW 6WRS WKH (*5 FRQWURO


( '7& ,QIRUPDWLRQ +.

'7& 3 ' )ODVK &RGH &DWDO\VW 7HPSHUDWXUH 6HQVRU &LUFXLW +LJK 6HQVRU

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

'7& 3 ' &RQGLWLRQ IRU VHWWLQJ WKH '7& '7& 3 3 3 3 3 % 3 DQG 3 DUH QRW VHW 7KH EDWWHU\ YROWDJH LV EHWZHHQ DQG 9 7KH VWDUWHU VZLWFK LV 21 7KH HQJLQH FRRODQW WHPSHUDWXUH LV Я е RU KLJKHU 7KH IXHO LQMHFWLRQ DPRXQW LV D FHUWDLQ YDOXH RU PRUH 7KH HQJLQH RSHUDWLQJ WLPH LV PLQXWHV RU ORQJHU :KHQ WKH (&0 KDV GHWHFWHG WKDW WKH VLJQDO YROWDJH RI WKH H[KDXVW WHPSHUDWXUH VHQVRU KDV EHHQ 9 RU KLJKHU IRU VHFRQGV

'7& 3 ' $FWLRQ WDNHQ ZKHQ WKH '7& VHWV )DLOXUH LV LQGLFDWHG LQ WKH PRQLWRU RQ WKH DFWXDO XQLW RU WKH GLDJQRVWLF OLJKW LV WXUQHG RQ 1RWH㸸 ࣭ 'HSHQGLQJ RQ WKH PDQXIDFWXUHU RI WKH DFWXDO XQLW WKH IDLOXUH LQGLFDWLRQ PD\ QRW EH VKRZQ 5HVWULFW WKH IXHO LQMHFWLRQ DPRXQW 6WRS WKH (*5 FRQWURO


'7& ,QIRUPDWLRQ +. (

'7& 3 )ODVK &RGH 2LO 3UHVVXUH 6HQVRU &LUFXLW /RZ

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

'7& 3 &RQGLWLRQ IRU VHWWLQJ WKH '7& '7& 3 % LV QRW GHWHFWHG 7KH EDWWHU\ YROWDJH LV EHWZHHQ DQG 9 :KHQ WKH (&0 KDV GHWHFWHG WKDW WKH VLJQDO YROWDJH RI WKH RLO SUHVVXUH VHQVRU KDV EHHQ 9 RU ORZHU IRU VHFRQGV

'7& 3 $FWLRQ WDNHQ ZKHQ WKH '7& VHWV )DLOXUH LV LQGLFDWHG LQ WKH PRQLWRU RQ WKH DFWXDO XQLW RU WKH GLDJQRVWLF OLJKW LV WXUQHG RQ 1RWH㸸 ࣭ 'HSHQGLQJ RQ WKH PDQXIDFWXUHU RI WKH DFWXDO XQLW WKH IDLOXUH LQGLFDWLRQ PD\ QRW EH VKRZQ 6XEVWLWXWH WKH GHIDXOW YDOXH RI WKH RLO SUHVVXUH VHQVRU


( '7& ,QIRUPDWLRQ +.

'7& 3 )ODVK &RGH 2LO 3UHVVXUH 6HQVRU &LUFXLW +LJK

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

'7& 3 &RQGLWLRQ IRU VHWWLQJ WKH '7& '7& 3 % LV QRW GHWHFWHG 7KH EDWWHU\ YROWDJH LV EHWZHHQ DQG 9 :KHQ WKH (&0 KDV GHWHFWHG WKDW WKH VLJQDO YROWDJH RI WKH RLO SUHVVXUH VZLWFK KDV EHHQ 9 RU KLJKHU IRU VHFRQGV

'7& 3 $FWLRQ WDNHQ ZKHQ WKH '7& VHWV )DLOXUH LV LQGLFDWHG LQ WKH PRQLWRU RQ WKH DFWXDO XQLW RU WKH GLDJQRVWLF OLJKW LV WXUQHG RQ 1RWH㸸 ࣭ 'HSHQGLQJ RQ WKH PDQXIDFWXUHU RI WKH DFWXDO XQLW WKH IDLOXUH LQGLFDWLRQ PD\ QRW EH VKRZQ 6XEVWLWXWH WKH GHIDXOW YDOXH RI WKH RLO SUHVVXUH VHQVRU


'7& ,QIRUPDWLRQ +. (

'7& 3 )ODVK &RGH 6\VWHP 9ROWDJH

'7& 3 'HVFULSWLRQ RI '7& 7KH (&0 VXSSOLHV 9 SRZHU WR WKH PDVV DLU IORZ VHQVRU 7KH EDWWHU\ SRZHU LV VXSSOLHG WR WKH (&0 YLD WKH GURSSLQJ UHJLVWHU DQG FRQYHUWHG LQWR 9 7KH (&0 PRQLWRUV WKH 9 SRZHU VXSSO\ FLUFXLW YROWDJH :KHQ WKH (&0 KDV GHWHFWHG WKDW WKH YROWDJH LV DEQRUPDOO\ ORZ RU KLJK LW VHWV '7&

'7& 3 &RQGLWLRQ IRU VHWWLQJ WKH '7& 3 % LV QRW VHW 7KH EDWWHU\ YROWDJH LV EHWZHHQ DQG 9 7KH VWDUWHU VZLWFK LV 21 $Q\ RI WKH IROORZLQJ FRQGLWLRQV LV VDWLVILHG 7KH (&0 KDV GHWHFWHG WKDW 9 SRZHU VXSSO\ FLUFXLW YROWDJH KDV EHHQ 9 RU ORZHU IRU ORQJHU WKDQ VHFRQGV :KHQ WKH (&0 KDV GHWHFWHG WKDW 9 SRZHU VXSSO\ FLUFXLW YROWDJH KDV EHHQ 9 RU KLJKHU IRU ORQJHU WKDQ VHFRQGV

'7& 3 $FWLRQ WDNHQ ZKHQ WKH '7& VHWV )DLOXUH LV LQGLFDWHG LQ WKH PRQLWRU RQ WKH DFWXDO XQLW RU WKH GLDJQRVWLF OLJKW LV WXUQHG RQ 1RWH㸸 ࣭ 'HSHQGLQJ RQ WKH PDQXIDFWXUHU RI WKH DFWXDO XQLW WKH IDLOXUH LQGLFDWLRQ PD\ QRW EH VKRZQ 5HVWULFW WKH IXHO LQMHFWLRQ DPRXQW 6WRS WKH (*5 FRQWURO


( '7& ,QIRUPDWLRQ +.

'7& 3 )ODVK &RGH 6\VWHP 9ROWDJH +LJK

'7& 3 'HVFULSWLRQ RI '7& 7KH (&0 PRQLWRUV LJQLWLRQ YROWDJH RI WKH LJQLWLRQ IHHG WHUPLQDO DQG PDNHV VXUH WKDW WKH YROWDJH VWD\V ZLWKLQ WKH DSSURSULDWH UDQJH :KHQ WKH (&0 KDV GHWHFWHG WKDW WKH LJQLWLRQ SRZHU YROWDJH LV DEQRUPDOO\ KLJK LW VHWV '7&

'7& 3 &RQGLWLRQ IRU VHWWLQJ WKH '7& '7& 3 % LV QRW VHW :KHQ WKH (&0 KDV GHWHFWHG WKDW LJQLWLRQ SRZHU VXSSO\ FLUFXLW YROWDJH KDV EHHQ 9 RU KLJKHU IRU VHFRQGV

'7& 3 $FWLRQ WDNHQ ZKHQ WKH '7& VHWV )DLOXUH LV LQGLFDWHG LQ WKH PRQLWRU RQ WKH DFWXDO XQLW RU WKH GLDJQRVWLF OLJKW LV WXUQHG RQ 1RWH㸸 ࣭ 'HSHQGLQJ RQ WKH PDQXIDFWXUHU RI WKH DFWXDO XQLW WKH IDLOXUH LQGLFDWLRQ PD\ QRW EH VKRZQ


'7& ,QIRUPDWLRQ +. (

'7& 3 )ODVK &RGH ,QWHUQDO &RQWURO 0RGXOH 0HPRU\ &KHFN 6XP (UURU

'7& 3 'HVFULSWLRQ RI '7& 7KLV GLDJQRVLV DSSOLHV WR WKH PLFURSURFHVVRU LQVLGH WKH (&0

'7& 3 &RQGLWLRQ IRU VHWWLQJ WKH '7& :KHQ (&0 GHWHFWV WKDW WKH FDOFXODWHG FKHFNVXP GRHV QRW FRUUHVSRQG ZLWK WKH FKHFNVXP WKDW LV UHJLVWHUHG LQWR 520

'7& 3 $FWLRQ WDNHQ ZKHQ WKH '7& VHWV )DLOXUH LV LQGLFDWHG LQ WKH PRQLWRU RQ WKH DFWXDO XQLW RU WKH GLDJQRVWLF OLJKW LV WXUQHG RQ 1RWH㸸 ࣭ 'HSHQGLQJ RQ WKH PDQXIDFWXUHU RI WKH DFWXDO XQLW WKH IDLOXUH LQGLFDWLRQ PD\ QRW EH VKRZQ 6WRS WKH HQJLQH 5HVWULFW WKH IXHO IORZ


( '7& ,QIRUPDWLRQ +.

'7& 3 )ODVK &RGH &RQWURO 0RGXOH 3URJUDPPLQJ (UURU

'7& 3 'HVFULSWLRQ RI '7& 7KH ((3520 LQVLGH WKH (&0 UHFRUGV WKH LQMHFWRU ,' FRGH LQIRUPDWLRQ :KHQ WKH (&0 KDV GHWHFWHG WKDW WKH LQMHFWRU ,' FRGH LV QRW SURJUDPPHG LQ WKH ((3520 RU IRXQG DQ HUURU LQ WKH SURJUDPPHG LQMHFWRU ,' FRGH LW VHWV '7&

'7& 3 &RQGLWLRQ IRU VHWWLQJ WKH '7& 7KH VWDUWHU VZLWFK LV 21 $Q\ RI WKH IROORZLQJ FRQGLWLRQV LV VDWLVILHG :KHQ WKH (&0 KDV GHWHFWHG WKDW WKH LQMHFWRU ,' FRGH KDV QRW EHHQ SURJUDPPHG :KHQ WKH (&0 KDV GHWHFWHG DQ HUURU RI WKH SURJUDPPHG LQMHFWRU ,' FRGH

'7& 3 $FWLRQ WDNHQ ZKHQ WKH '7& VHWV :KHQ LW KDV EHHQ GHWHFWHG IRU FRQVHFXWLYH WLPHV WKH IDLOXUH LV GLVSOD\HG RQ WKH PRQLWRU RI WKH PDLQ GHYLFH RU WKH 'LDJQRVWLF OLJKW LOOXPLQDWHV 1RWH㸸 ࣭ 'HSHQGLQJ RQ WKH PDQXIDFWXUHU RI WKH DFWXDO XQLW WKH IDLOXUH LQGLFDWLRQ PD\ QRW EH VKRZQ


'7& ,QIRUPDWLRQ +. (

'7& 3 )ODVK &RGH ,QWHUQDO &RQWURO 0RGXOH 5DQGRP $FFHVV 0HPRU\ 5$0 (UURU

'7& 3 'HVFULSWLRQ RI '7& 7KLV GLDJQRVLV DSSOLHV WR WKH PLFURSURFHVVRU LQVLGH WKH (&0

'7& 3 &RQGLWLRQ IRU VHWWLQJ WKH '7& 7KH EDWWHU\ YROWDJH LV 9 RU DERYH :KHQ WKH (&0 GHWHFWV DQ DEQRUPDOLW\ LQ WKH LQWHUQDO 5$0

'7& 3 $FWLRQ WDNHQ ZKHQ WKH '7& VHWV )DLOXUH LV LQGLFDWHG LQ WKH PRQLWRU RQ WKH DFWXDO XQLW RU WKH GLDJQRVWLF OLJKW LV WXUQHG RQ 1RWH㸸 ࣭ 'HSHQGLQJ RQ WKH PDQXIDFWXUHU RI WKH DFWXDO XQLW WKH IDLOXUH LQGLFDWLRQ PD\ QRW EH VKRZQ 6WRS WKH HQJLQH 5HVWULFW WKH IXHO IORZ


( '7& ,QIRUPDWLRQ +.

'7& 3 )ODVK &RGH (&0 3&0 3URFHVVRU

'7& 3 'HVFULSWLRQ RI '7& 7KLV GLDJQRVLV DSSOLHV WR WKH PLFURSURFHVVRU LQVLGH WKH (&0

'7& 3 &RQGLWLRQ IRU VHWWLQJ WKH '7& 7KH EDWWHU\ YROWDJH LV 9 RU KLJKHU 7KH VWDUWHU VZLWFK LV 21 :KHQ WKH LQWHUQDO VXE &38 KDV GHWHFWHG DQ DEQRUPDOLW\ LQ WKH PDLQ &38

'7& 3 $FWLRQ WDNHQ ZKHQ WKH '7& VHWV )DLOXUH LV LQGLFDWHG LQ WKH PRQLWRU RQ WKH DFWXDO XQLW RU WKH GLDJQRVWLF OLJKW LV WXUQHG RQ 1RWH㸸 ࣭ 'HSHQGLQJ RQ WKH PDQXIDFWXUHU RI WKH DFWXDO XQLW WKH IDLOXUH LQGLFDWLRQ PD\ QRW EH VKRZQ 8SRQ UHWXUQLQJ WR &38 LW OLPLWV WKH IXHO LQMHFWLRQ DPRXQW /LPLW WKH IXHO IORZ /LPLW WKH PD[LPXP HQJLQH 530 WR U PLQ 6WRS (*5 FRQWURO 6WRS '3' UHJHQHUDWLRQ


'7& ,QIRUPDWLRQ +. (

'7& 3 % )ODVK &RGH ,QWHUQDO &RQWURO 0RGXOH $ ' 3URFHVVLQJ 3HUIRUPDQFH

'7& 3 % 'HVFULSWLRQ RI '7& 7KLV GLDJQRVLV DSSOLHV WR WKH PLFURSURFHVVRU LQVLGH WKH (&0

'7& 3 % &RQGLWLRQ IRU VHWWLQJ WKH '7& :KHQ WKH (&0 KDV GHWHFWHG DQ DEQRUPDOLW\ RI WKH LQWHUQDO $ ' FRQYHUWHU

'7& 3 % $FWLRQ WDNHQ ZKHQ WKH '7& VHWV )DLOXUH LV LQGLFDWHG LQ WKH PRQLWRU RQ WKH DFWXDO XQLW RU WKH GLDJQRVWLF OLJKW LV WXUQHG RQ 1RWH㸸 ࣭ 'HSHQGLQJ RQ WKH PDQXIDFWXUHU RI WKH DFWXDO XQLW WKH IDLOXUH LQGLFDWLRQ PD\ QRW EH VKRZQ 5HVWULFW WKH IXHO LQMHFWLRQ DPRXQW 6WRS WKH (*5 FRQWURO 6WRS WKH '3' UHJHQHUDWLRQ


( '7& ,QIRUPDWLRQ +.

'7& 3 )ODVK &RGH 7KURWWOH $FWXDWRU &RQWURO 5DQJH 3HUIRUPDQFH

'7& 3 'HVFULSWLRQ RI '7& 7KH (&0 FRQWUROV WKH LQWDNH WKURWWOH VROHQRLG WR RSHQ DQG FORVH WKH LQWDNH WKURWWOH YDOYH DFFRUGLQJ WR WKH HQJLQH RSHUDWLQJ VWDWXV 7KH LQWDNH WKURWWOH YDOYH RSHQLQJ DQJOH LV GHWHFWHG E\ WKH SRVLWLRQ VHQVRU DQG WUDQVPLWWHG WR WKH (&0 :KLOH WKH 21 FRPPDQG WR WKH LQWDNH WKURWWOH VROHQRLG LV EHLQJ H[HFXWHG LI WKH (&0 KDV GHWHFWHG D GLIIHUHQFH EHWZHHQ WKH DFWXDO RSHQLQJ DQJOH DQG GHVLUHG RSHQLQJ DQJOH RI WKH LQWDNH WKURWWOH LW VHWV '7&

'7& 3 &RQGLWLRQ IRU VHWWLQJ WKH '7& '7& 3 3 DUH QRW VHW 7KH EDWWHU\ YROWDJH LV EHWZHHQ DQG 9 7KH VWDUWHU VZLWFK LV 21 7KH GHVLUHG RSHQLQJ DQJOH RI WKH LQWDNH WKURWWOH LV FRQVWDQW 7KH 21 LQVWUXFWLRQ KDV EHHQ LVVXHG IRU WKH LQWDNH WKURWWOH VROHQRLG :KHQ WKH (&0 KDV GHWHFWHG WKDW WKH GLIIHUHQFH EHWZHHQ WKH DFWXDO DQG GHVLUHG RSHQLQJ DQJOHV RI WKH LQWDNH WKURWWOH KDV EHHQ RU PRUH IRU VHFRQGV RU ORQJHU

'7& 3 $FWLRQ WDNHQ ZKHQ WKH '7& VHWV )DLOXUH LV LQGLFDWHG LQ WKH PRQLWRU RQ WKH DFWXDO XQLW RU WKH GLDJQRVWLF OLJKW LV WXUQHG RQ 1RWH㸸 ࣭ 'HSHQGLQJ RQ WKH PDQXIDFWXUHU RI WKH DFWXDO XQLW WKH IDLOXUH LQGLFDWLRQ PD\ QRW EH VKRZQ 5HVWULFW WKH IXHO LQMHFWLRQ DPRXQW 6WRS WKH (*5 FRQWURO 6WRS WKH '3' UHJHQHUDWLRQ


'7& ,QIRUPDWLRQ +. (

'7& 3 )ODVK &RGH 6HQVRU 5HIHUHQFH 9ROWDJH &LUFXLW

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

'7& 3 &RQGLWLRQ IRU VHWWLQJ WKH '7& '7& 3 % LV QRW VHW 7KH EDWWHU\ YROWDJH LV EHWZHHQ DQG 9 7KH VWDUWHU VZLWFK LV 21 :KHQ WKH (&0 KDV GHWHFWHG WKDW YROWDJHV RI WKH 9 SRZHU VXSSO\ FLUFXLWV DQG KDYH EHHQ 9 RU ORZHU RU 9 RU KLJKHU IRU ORQJHU WKDQ VHFRQGV

'7& 3 $FWLRQ WDNHQ ZKHQ WKH '7& VHWV )DLOXUH LV LQGLFDWHG LQ WKH PRQLWRU RQ WKH DFWXDO XQLW RU WKH GLDJQRVWLF OLJKW LV WXUQHG RQ 1RWH㸸 ࣭ 'HSHQGLQJ RQ WKH PDQXIDFWXUHU RI WKH DFWXDO XQLW WKH IDLOXUH LQGLFDWLRQ PD\ QRW EH VKRZQ 5HVWULFW WKH IXHO LQMHFWLRQ DPRXQW 6WRS WKH (*5 FRQWURO 6WRS WKH '3' UHJHQHUDWLRQ


( '7& ,QIRUPDWLRQ +.

'7& 3 )ODVK &RGH 0DOIXQFWLRQ ,QGLFDWRU /DPS 0,/ &RQWURO &LUFXLW

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

'7& 3 &RQGLWLRQ IRU VHWWLQJ WKH '7& 7KH EDWWHU\ YROWDJH LV EHWZHHQ DQG 9 7KH VWDUWHU VZLWFK LV 21 $Q\ RI WKH IROORZLQJ FRQGLWLRQV LV VDWLVILHG :KHQ WKH (&0 GHWHFWV D ORZ YROWDJH FRQGLWLRQ LQ WKH FKHFN HQJLQH ZDUQLQJ OLJKW FRQWURO FLUFXLW ZKHQ WKH (&0 H[HFXWHV WKH 2)) FRPPDQG :KHQ WKH (&0 GHWHFWV D KLJK YROWDJH FRQGLWLRQ LQ WKH FKHFN HQJLQH ZDUQLQJ OLJKW FRQWURO FLUFXLW ZKHQ WKH (&0 H[HFXWHV WKH 21 FRPPDQG


'7& ,QIRUPDWLRQ +. (

'7& 3 )ODVK &RGH 6HQVRU 5HIHUHQFH 9ROWDJH &LUFXLW

'7& 3 'HVFULSWLRQ RI '7& 7KH (&0 VXSSOLHV 9 SRZHU WR WKH IROORZLQJ VHQVRUV YLD WKH 9 SRZHU VXSSO\ FLUFXLW $WPRVSKHULF SUHVVXUH VHQVRU 7KH (&0 DOVR VXSSOLHV 9 SRZHU WR WKH IROORZLQJ VHQVRUV YLD WKH 9 SRZHU VXSSO\ FLUFXLW &DPVKDIW SRVLWLRQ VHQVRU %RRVW WHPSHUDWXUH VHQVRU 7KH 9 SRZHU VXSSO\ FLUFXLWV DQG DUH LQGHSHQGHQW RI HDFK RWKHU RXWVLGH WKH (&0 EXW WKH\ VKDUH D EXV LQVLGH WKH (&0 7KHUHIRUH ZKHQ RQH RI WKH VHQVRU 9 SRZHU VXSSO\ FLUFXLWV LV VKRUWHG WKH HQWLUH 9 SRZHU VXSSO\ FLUFXLWV DQG PD\ EH DIIHFWHG 7KH (&0 PRQLWRUV WKH YROWDJH RI WKH 9 SRZHU VXSSO\ FLUFXLWV DQG DQG VHWV '7& ZKHQ WKH (&0 KDV GHWHFWHG WKDW WKH YROWDJH LV DEQRUPDOO\ ORZ RU KLJK

'7& 3 &RQGLWLRQ IRU VHWWLQJ WKH '7& '7& 3 % LV QRW VHW 7KH EDWWHU\ YROWDJH LV EHWZHHQ DQG 9 7KH VWDUWHU VZLWFK LV 21 :KHQ WKH (&0 KDV GHWHFWHG WKDW YROWDJHV RI WKH 9 SRZHU VXSSO\ FLUFXLW RU KDV EHHQ 9 RU ORZHU RU 9 RU KLJKHU IRU ORQJHU WKDQ VHFRQGV

'7& 3 $FWLRQ WDNHQ ZKHQ WKH '7& VHWV )DLOXUH LV LQGLFDWHG LQ WKH PRQLWRU RQ WKH DFWXDO XQLW RU WKH GLDJQRVWLF OLJKW LV WXUQHG RQ 1RWH㸸 ࣭ 'HSHQGLQJ RQ WKH PDQXIDFWXUHU RI WKH DFWXDO XQLW WKH IDLOXUH LQGLFDWLRQ PD\ QRW EH VKRZQ 5HVWULFW WKH IXHO LQMHFWLRQ DPRXQW 5HVWULFW WKH IXHO IORZ 6WRS WKH '3' UHJHQHUDWLRQ


( '7& ,QIRUPDWLRQ +.

'7& 3 )ODVK &RGH (&0 3&0 3RZHU 5HOD\ &RQWURO &LUFXLW 2SHQ

'7& 3 'HVFULSWLRQ RI '7& :KHQ WKH (&0 KDV UHFHLYHG WKH VWDUWHU VZLWFK 21 VLJQDO SRZHU LV DSSOLHG WR WKH (&0 PDLQ UHOD\ DQG WKH EDWWHU\ SRZHU LV VXSSOLHG WR WKH (&0 YLD WKH UHOD\ VZLWFK VLGH :KHQ WKH VWDUWHU VZLWFK ZDV WXUQHG WR 2)) SRZHU DSSOLHG WR WKH (&0 PDLQ UHOD\ LV GLVFRQWLQXHG DIWHU D FHUWDLQ SHULRG RI WLPH ,I WKH (&0 KDV GHWHFWHG D ORZ YROWDJH ZLWK WKH UHOD\ YROWDJH VXSSO\ FLUFXLW ZKHQ WKH 21 FRPPDQG KDV EHHQ H[HFXWHG IRU WKH (&0 PDLQ UHOD\ LW VHWV '7&

'7& 3 &RQGLWLRQ IRU VHWWLQJ WKH '7& 7KH EDWWHU\ YROWDJH LV EHWZHHQ DQG 9 7KH VWDUWHU VZLWFK LV 21 :KHQ WKH (&0 KDV GHWHFWHG WKH 㹴 ROWDJH FRQGLWLRQ LQ WKH (&0 PDLQ UHOD\ YROWDJH VXSSO\ FLUFXLW KDV EHHQ 9 RU ORZHU IRU VHFRQGV ZKLOH WKH 21 FRPPDQG KDV EHHQ H[HFXWHG WR WKH UHOD\

'7& 3 $FWLRQ WDNHQ ZKHQ WKH '7& VHWV )DLOXUH LV LQGLFDWHG LQ WKH PRQLWRU RQ WKH DFWXDO XQLW RU WKH GLDJQRVWLF OLJKW LV WXUQHG RQ 1RWH㸸 ࣭ 'HSHQGLQJ RQ WKH PDQXIDFWXUHU RI WKH DFWXDO XQLW WKH IDLOXUH LQGLFDWLRQ PD\ QRW EH VKRZQ


'7& ,QIRUPDWLRQ +. (

'7& 3 )ODVK &RGH (&0 3&0 3RZHU 5HOD\ &RQWURO &LUFXLW +LJK

'7& 3 'HVFULSWLRQ RI '7& :KHQ WKH (&0 KDV UHFHLYHG WKH VWDUWHU VZLWFK 21 VLJQDO SRZHU LV DSSOLHG WR WKH (&0 PDLQ UHOD\ DQG WKH EDWWHU\ SRZHU LV VXSSOLHG WR WKH (&0 YLD WKH UHOD\ VZLWFK VLGH :KHQ WKH VWDUWHU VZLWFK ZDV WXUQHG WR 2)) SRZHU DSSOLHG WR WKH (&0 PDLQ UHOD\ LV GLVFRQWLQXHG DIWHU D FHUWDLQ SHULRG RI WLPH ,I WKH (&0 KDV GHWHFWHG WKDW WKH (&0 LV 21 ZKHQ WKH 2)) FRPPDQG KDV EHHQ H[HFXWHG IRU WKH (&0 PDLQ UHOD\ LW VHWV '7&

'7& 3 &RQGLWLRQ IRU VHWWLQJ WKH '7& 7KH VWDUWHU VZLWFK LV 21 :KHQ WKH (&0 KDV GHWHFWHG WKDW WKH (&0 KDV EHHQ 21 IRU VHFRQGV ZKHQ WKH 2)) FRPPDQG WR WKH UHOD\

'7& 3 $FWLRQ WDNHQ ZKHQ WKH '7& VHWV )DLOXUH LV LQGLFDWHG LQ WKH PRQLWRU RQ WKH DFWXDO XQLW RU WKH GLDJQRVWLF OLJKW LV WXUQHG RQ 1RWH㸸 ࣭ 'HSHQGLQJ RQ WKH PDQXIDFWXUHU RI WKH DFWXDO XQLW WKH IDLOXUH LQGLFDWLRQ PD\ QRW EH VKRZQ


( '7& ,QIRUPDWLRQ +.

'7& 3 )ODVK &RGH 6HQVRU 5HIHUHQFH 9ROWDJH &LUFXLW

'7& 3 'HVFULSWLRQ RI '7& 7KH (&0 VXSSOLHV 9 SRZHU WR WKH IROORZLQJ VHQVRUV YLD WKH SRZHU VXSSO\ FLUFXLW '3' GLIIHUHQWLDO SUHVVXUH VHQVRU ([KDXVW JDV WHPSHUDWXUH VHQVRUV 㸯 DQG 㸰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

'7& 3 &RQGLWLRQ IRU VHWWLQJ WKH '7& '7& 3 % LV QRW VHW 7KH EDWWHU\ YROWDJH LV EHWZHHQ DQG 9 7KH VWDUWHU VZLWFK LV 21 :KHQ WKH (&0 KDV GHWHFWHG WKDW YROWDJHV RI WKH 9 SRZHU VXSSO\ FLUFXLW RU KDV EHHQ 9 RU ORZHU RU 9 RU KLJKHU IRU ORQJHU WKDQ VHFRQGV

'7& 3 $FWLRQ WDNHQ ZKHQ WKH '7& VHWV )DLOXUH LV LQGLFDWHG LQ WKH PRQLWRU RQ WKH DFWXDO XQLW RU WKH GLDJQRVWLF OLJKW LV WXUQHG RQ 1RWH㸸 ࣭ 'HSHQGLQJ RQ WKH PDQXIDFWXUHU RI WKH DFWXDO XQLW WKH IDLOXUH LQGLFDWLRQ PD\ QRW EH VKRZQ 5HVWULFW WKH IXHO LQMHFWLRQ DPRXQW 6WRS WKH (*5 FRQWURO 6WRS WKH '3' UHJHQHUDWLRQ


'7& ,QIRUPDWLRQ +. (

'7& 3 )ODVK &RGH )XHO 5DLO 3UHVVXUH )53 7RR /RZ

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

'7& 3 &RQGLWLRQ IRU VHWWLQJ WKH '7& '7& 3 3 3 3 3 3 3 3 3 3 DQG 3 DUH QRW VHW 7KH EDWWHU\ YROWDJH LV EHWZHHQ DQG 9 7KH VWDUWHU VZLWFK LV 21 :KLOH WKH HQJLQH LV UXQQLQJ 7KH VXFWLRQ FRQWURO YDOYH LQVWUXFWV D FHUWDLQ IXHO IORZ DPRXQW RU PRUH :KHQ WKH (&0 KDV GHWHFWHG WKDW WKH FRPPRQ UDLO SUHVVXUH KDV EHHQ ORZHU WKDQ WKH WDUJHW IXHO SUHVVXUH IRU 03D SVL RU PRUH IRU VHFRQGV RU ORQJHU

'7& 3 $FWLRQ WDNHQ ZKHQ WKH '7& VHWV )DLOXUH LV LQGLFDWHG LQ WKH PRQLWRU RQ WKH DFWXDO XQLW RU WKH GLDJQRVWLF OLJKW LV WXUQHG RQ 1RWH㸸 ࣭ 'HSHQGLQJ RQ WKH PDQXIDFWXUHU RI WKH DFWXDO XQLW WKH IDLOXUH LQGLFDWLRQ PD\ QRW EH VKRZQ 5HVWULFW WKH IXHO LQMHFWLRQ DPRXQW 5HVWULFW WKH IXHO IORZ 6WRS WKH (*5 FRQWURO 6WRS WKH '3' UHJHQHUDWLRQ


( '7& ,QIRUPDWLRQ +.

'7& 3 )ODVK &RGH %RRVW 7HPSHUDWXUH 6HQVRU &LUFXLW /RZ

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

'7& 3 &RQGLWLRQ IRU VHWWLQJ WKH '7& '7& 3 % LV QRW GHWHFWHG 7KH EDWWHU\ YROWDJH LV EHWZHHQ DQG 9 :KHQ WKH (&0 KDV GHWHFWHG WKDW WKH ERRVW WHPSHUDWXUH VHQVRU YROWDJH KDV EHHQ 9 RU ORZHU IRU VHFRQGV RU ORQJHU

'7& 3 $FWLRQ WDNHQ ZKHQ WKH '7& VHWV )DLOXUH LV LQGLFDWHG LQ WKH PRQLWRU RQ WKH DFWXDO XQLW RU WKH GLDJQRVWLF OLJKW LV WXUQHG RQ 1RWH㸸 ࣭ 'HSHQGLQJ RQ WKH PDQXIDFWXUHU RI WKH DFWXDO XQLW WKH IDLOXUH LQGLFDWLRQ PD\ QRW EH VKRZQ 6XEVWLWXWH WKH GHIDXOW YDOXH RI ERRVW WHPSHUDWXUH VHQVRU


'7& ,QIRUPDWLRQ +. (

'7& 3 )ODVK &RGH %RRVW 7HPSHUDWXUH 6HQVRU &LUFXLW +LJK

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

'7& 3 &RQGLWLRQ IRU VHWWLQJ WKH '7& '7& 3 % LV QRW GHWHFWHG 7KH EDWWHU\ YROWDJH LV EHWZHHQ DQG 9 7KH ZDWHU WHPSHUDWXUH LV Я ^ )` RU KLJKHU 7KH HQJLQH KDV EHHQ UXQQLQJ IRU PLQXWHV RU ORQJHU :KHQ WKH (&0 KDV GHWHFWHG WKDW WKH ERRVW WHPSHUDWXUH VHQVRU YROWDJH KDV EHHQ 9 RU KLJKHU IRU VHFRQGV RU ORQJHU

'7& 3 $FWLRQ WDNHQ ZKHQ WKH '7& VHWV )DLOXUH LV LQGLFDWHG LQ WKH PRQLWRU RQ WKH DFWXDO XQLW RU WKH GLDJQRVWLF OLJKW LV WXUQHG RQ 1RWH㸸 ࣭ 'HSHQGLQJ RQ WKH PDQXIDFWXUHU RI WKH DFWXDO XQLW WKH IDLOXUH LQGLFDWLRQ PD\ QRW EH VKRZQ 6XEVWLWXWH WKH GHIDXOW YDOXH RI ERRVW WHPSHUDWXUH VHQVRU


( '7& ,QIRUPDWLRQ +.

'7& 3 )ODVK &RGH ,QMHFWRU 3RVLWLYH 9ROWDJH &RQWURO &LUFXLW *URXS

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

'7& 3 &RQGLWLRQ IRU VHWWLQJ WKH '7& 7KH EDWWHU\ YROWDJH LV EHWZHHQ DQG 9 7KH VWDUWHU VZLWFK LV 21 :KHQ WKH (&0 KDV EHHQ GHWHFWHG DQ RSHQ RU VKRUW FLUFXLW LQ WKH (&0 LQWHUQDO FRPPRQ SRZHU LQMHFWRU FKDUJH YROWDJH FLUFXLW IRU ORQJHU WKDQ VHFRQGV

'7& 3 $FWLRQ WDNHQ ZKHQ WKH '7& VHWV )DLOXUH LV LQGLFDWHG LQ WKH PRQLWRU RQ WKH DFWXDO XQLW RU WKH GLDJQRVWLF OLJKW LV WXUQHG RQ 1RWH㸸 ࣭ 'HSHQGLQJ RQ WKH PDQXIDFWXUHU RI WKH DFWXDO XQLW WKH IDLOXUH LQGLFDWLRQ PD\ QRW EH VKRZQ 6WRS (*5 FRQWURO 6WRS '3' UHJHQHUDWLRQ 6WRS WKH IXHO LQMHFWLRQ IRU WKH 1R 1R DQG 1R F\OLQGHUV


'7& ,QIRUPDWLRQ +. (

'7& 3 )ODVK &RGH ,QMHFWRU 3RVLWLYH 9ROWDJH &RQWURO &LUFXLW *URXS

'7& 3 'HVFULSWLRQ RI '7& 7KH FKDUJH YROWDJH FLUFXLW LQVLGH WKH (&0 LQFUHDVHV WKH YROWDJH DSSOLHG WR WKH LQMHFWRU 7KH FKDUJH YROWDJH FLUFXLW LV GLYLGHG LQWR EDQNV WKH FRPPRQ SRZHU VXSSO\ DQG FRPPRQ SRZHU VXSSO\ 7KH FRPPRQ SRZHU VXSSO\ VXSSOLHV SRZHU WR WKH LQMHFWRUV RI WKH 1R 1R DQG 1R F\OLQGHUV ZKLOH WKH FRPPRQ SRZHU VXSSO\ VXSSOLHV SRZHU WR WKH LQMHFWRUV RI WKH 1R 1R DQG 1R F\OLQGHUV :KHQ WKH LQMHFWRU FKDUJH YROWDJH FLUFXLW RI WKH FRPPRQ SRZHU VXSSO\ RU RI WKH (&0 KDV EHHQ RSHQHG WKH (&0 VHWV '7&

'7& 3 &RQGLWLRQ IRU VHWWLQJ WKH '7& 7KH EDWWHU\ YROWDJH LV EHWZHHQ DQG 9 7KH VWDUWHU VZLWFK LV 21 :KHQ WKH (&0 KDV EHHQ GHWHFWHG DQ RSHQ RU VKRUW FLUFXLW LQ WKH (&0 LQWHUQDO FRPPRQ SRZHU LQMHFWRU FKDUJH YROWDJH FLUFXLW IRU ORQJHU WKDQ VHFRQGV

'7& 3 $FWLRQ WDNHQ ZKHQ WKH '7& VHWV )DLOXUH LV LQGLFDWHG LQ WKH PRQLWRU RQ WKH DFWXDO XQLW RU WKH GLDJQRVWLF OLJKW LV WXUQHG RQ 1RWH㸸 ࣭ 'HSHQGLQJ RQ WKH PDQXIDFWXUHU RI WKH DFWXDO XQLW WKH IDLOXUH LQGLFDWLRQ PD\ QRW EH VKRZQ 6WRS (*5 FRQWURO 6WRS '3' UHJHQHUDWLRQ 6WRS WKH IXHO LQMHFWLRQ IRU WKH 1R 1R DQG 1R F\OLQGHUV


( '7& ,QIRUPDWLRQ +.

'7& 3 )ODVK &RGH )XHO 3UHVVXUH 6HQVRU &LUFXLW /RZ

'7& 3 'HVFULSWLRQ RI '7& 7KH IXHO ILOWHU SUHVVXUH VHQVRU GHWHFWV WKH QHJDWLYH SUHVVXUH LQ WKH IXHO ILOWHU 7KH IXHO ILOWHU SUHVVXUH VHQVRU LV LQVWDOOHG RQ WKH IXHO ILOWHU 7KH RXWSXW YROWDJH EHFRPHV ORZHU ZKHQ WKH QHJDWLYH SUHVVXUH LQ WKH IXHO ILOWHU LV VPDOOHU DQG EHFRPHV KLJKHU ZKHQ WKH QHJDWLYH SUHVVXUH LV ODUJHU 7KH RXWSXW YROWDJH RI WKH IXHO ILOWHU SUHVVXUH VHQVRU FKDQJHV DV WKH QHJDWLYH SUHVVXUH LQ WKH IXHO ILOWHU FKDQJHV 7KH (&0 UHDGV WKLV FKDQJH LQ WKH RXWSXW YROWDJH WR FRQYHUW LQWR WKH IXHO QHJDWLYH SUHVVXUH DQG XVHV LW IRU FRQWURO

'7& 3 &RQGLWLRQ IRU VHWWLQJ WKH '7& '7& 3 % LV QRW GHWHFWHG 7KH LQSXW YROWDJH WR WKH VWDUWHU VZLWFK LV EHWZHHQ DQG 9 :KHQ WKH (&0 KDV GHWHFWHG WKDW WKH IXHO ILOWHU SUHVVXUH VHQVRU YROWDJH KDV EHHQ 9 RU ORZHU IRU VHFRQG

'7& 3 $FWLRQ WDNHQ ZKHQ WKH '7& VHWV )DLOXUH LV LQGLFDWHG LQ WKH PRQLWRU RQ WKH DFWXDO XQLW RU WKH GLDJQRVWLF OLJKW LV WXUQHG RQ 1RWH㸸 ࣭ 'HSHQGLQJ RQ WKH PDQXIDFWXUHU RI WKH DFWXDO XQLW WKH IDLOXUH LQGLFDWLRQ PD\ QRW EH VKRZQ 6XEVWLWXWH WKH GHIDXOW YDOXH RI IXHO ILOWHU SUHVVXUH VHQVRU


'7& ,QIRUPDWLRQ +. (

'7& 3 )ODVK &RGH )XHO 3UHVVXUH 6HQVRU &LUFXLW +LJK

'7& 3 'HVFULSWLRQ RI '7& 7KH IXHO ILOWHU SUHVVXUH VHQVRU GHWHFWV WKH QHJDWLYH SUHVVXUH LQ WKH IXHO ILOWHU 7KH IXHO ILOWHU SUHVVXUH VHQVRU LV LQVWDOOHG RQ WKH IXHO ILOWHU 7KH RXWSXW YROWDJH EHFRPHV ORZHU ZKHQ WKH QHJDWLYH SUHVVXUH LQ WKH IXHO ILOWHU LV VPDOOHU DQG EHFRPHV KLJKHU ZKHQ WKH QHJDWLYH SUHVVXUH LV ODUJHU 7KH RXWSXW YROWDJH RI WKH IXHO ILOWHU SUHVVXUH VHQVRU FKDQJHV DV WKH QHJDWLYH SUHVVXUH LQ WKH IXHO ILOWHU FKDQJHV 7KH (&0 UHDGV WKLV FKDQJH LQ WKH RXWSXW YROWDJH WR FRQYHUW LQWR WKH IXHO QHJDWLYH SUHVVXUH DQG XVHV LW IRU FRQWURO

'7& 3 &RQGLWLRQ IRU VHWWLQJ WKH '7& '7& 3 % LV QRW GHWHFWHG 7KH LQSXW YROWDJH WR WKH VWDUWHU VZLWFK LV EHWZHHQ DQG 9 :KHQ WKH (&0 KDV GHWHFWHG WKDW WKH IXHO ILOWHU SUHVVXUH VHQVRU YROWDJH KDV EHHQ 9 RU KLJKHU IRU VHFRQGV

'7& 3 $FWLRQ WDNHQ ZKHQ WKH '7& VHWV )DLOXUH LV LQGLFDWHG LQ WKH PRQLWRU RQ WKH DFWXDO XQLW RU WKH GLDJQRVWLF OLJKW LV WXUQHG RQ 1RWH㸸 ࣭ 'HSHQGLQJ RQ WKH PDQXIDFWXUHU RI WKH DFWXDO XQLW WKH IDLOXUH LQGLFDWLRQ PD\ QRW EH VKRZQ 6XEVWLWXWH WKH GHIDXOW YDOXH RI IXHO ILOWHU SUHVVXUH VHQVRU


( '7& ,QIRUPDWLRQ +.

'7& 3 )ODVK &RGH ([KDXVW *DV 5HFLUFXODWLRQ (*5 &ORVHG 3RVLWLRQ 3HUIRUPDQFH

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

'7& 3 &RQGLWLRQ IRU VHWWLQJ WKH '7& :KHQ WKH (&0 KDV GHWHFWHG WKDW WKH (*5 OHDUQHG FORVHG SRVLWLRQ LV QRW ZLWKLQ WKH VSHFLILF UDQJH ZKHQ WKH VWDUWHU VZLWFK ZDV WXUQHG WR 2))

'7& 3 $FWLRQ WDNHQ ZKHQ WKH '7& VHWV )DLOXUH LV LQGLFDWHG LQ WKH PRQLWRU RQ WKH DFWXDO XQLW RU WKH GLDJQRVWLF OLJKW LV WXUQHG RQ 1RWH㸸 ࣭ 'HSHQGLQJ RQ WKH PDQXIDFWXUHU RI WKH DFWXDO XQLW WKH IDLOXUH LQGLFDWLRQ PD\ QRW EH VKRZQ 5HVWULFW WKH IXHO LQMHFWLRQ DPRXQW 6WRS WKH (*5 FRQWURO 6WRS WKH '3' UHJHQHUDWLRQ


'7& ,QIRUPDWLRQ +. (

'7& 3 )ODVK &RGH 30 2YHU $FFXPXODWLRQ

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

'7& 3 &RQGLWLRQ IRU VHWWLQJ WKH '7& 7KH VWDUWHU VZLWFK LV 21 7KH RSHUDWLRQ WLPH IURP WKH ODVW '3' UHJHQHUDWLRQ KDV EHHQ KRXUV RU ORQJHU

'7& 3 $FWLRQ WDNHQ ZKHQ WKH '7& VHWV )DLOXUH LV LQGLFDWHG LQ WKH PRQLWRU RQ WKH DFWXDO XQLW RU WKH GLDJQRVWLF OLJKW LV WXUQHG RQ 1RWH㸸 ࣭ 'HSHQGLQJ RQ WKH PDQXIDFWXUHU RI WKH DFWXDO XQLW WKH IDLOXUH LQGLFDWLRQ PD\ QRW EH VKRZQ 5HVWULFW WKH IXHO LQMHFWLRQ DPRXQW 6WRS WKH (*5 FRQWURO 6WRS WKH '3' UHJHQHUDWLRQ


( '7& ,QIRUPDWLRQ +.

'7& 3 )ODVK &RGH '3' ,QVXIILFLHQW 5HJHQHUDWLRQ

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

'7& 3 &RQGLWLRQ IRU VHWWLQJ WKH '7& '7& 3 DQG 3 DUH QRW VHW '3' UHJHQHUDWLRQ KDV EHHQ FRPSOHWHG 7KH (&0 GHWHFWV WKDW SXULILFDWLRQ GHWHUPLQDWLRQ DIWHU WKH '3' UHJHQHUDWLRQ KDV IDLOHG IRU FRQVHFXWLYH WLPHV

'7& 3 $FWLRQ WDNHQ ZKHQ WKH '7& VHWV )DLOXUH LV LQGLFDWHG LQ WKH PRQLWRU RQ WKH DFWXDO XQLW RU WKH GLDJQRVWLF OLJKW LV WXUQHG RQ 1RWH㸸 ࣭ 'HSHQGLQJ RQ WKH PDQXIDFWXUHU RI WKH DFWXDO XQLW WKH IDLOXUH LQGLFDWLRQ PD\ QRW EH VKRZQ 5HVWULFW WKH IXHO LQMHFWLRQ DPRXQW 6WRS WKH (*5 FRQWURO 6WRS WKH '3' UHJHQHUDWLRQ


'7& ,QIRUPDWLRQ +. (

'7& 3 )ODVK &RGH &RQWURO 0RGXOH /RQJ 7HUP 0HPRU\ 3HUIRUPDQFH

'7& 3 'HVFULSWLRQ RI '7& 7KLV GLDJQRVLV DSSOLHV WR WKH PLFURSURFHVVRU LQVLGH WKH (&0

'7& 3 &RQGLWLRQ IRU VHWWLQJ WKH '7& 7KH VWDUWHU VZLWFK LV 21 :KHQ WKH (&0 KDV GHWHFWHG WKDW WKH FDOFXODWHG FKHFNVXP KDV QRW PDWFKHG WKH FKHFN VXP LQWHUQDOO\ UHJLVWHUHG LQ WKH ((3520

'7& 3 $FWLRQ WDNHQ ZKHQ WKH '7& VHWV :KHQ LW KDV EHHQ GHWHFWHG IRU FRQVHFXWLYH WLPHV WKH IDLOXUH LV GLVSOD\HG RQ WKH PRQLWRU RI WKH PDLQ GHYLFH RU WKH 'LDJQRVWLF OLJKW LOOXPLQDWHV 1RWH㸸 ࣭ 'HSHQGLQJ RQ WKH PDQXIDFWXUHU RI WKH DFWXDO XQLW WKH IDLOXUH LQGLFDWLRQ PD\ QRW EH VKRZQ


( '7& ,QIRUPDWLRQ +.

'7& 3 )ODVK &RGH 6HQVRU 5HIHUHQFH 9ROWDJH &LUFXLW

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

'7& 3 &RQGLWLRQ IRU VHWWLQJ WKH '7& '7& 3 % LV QRW VHW 7KH EDWWHU\ YROWDJH LV EHWZHHQ DQG 9 7KH VWDUWHU VZLWFK LV 21 :KHQ WKH (&0 KDV GHWHFWHG WKDW 9 SRZHU VXSSO\ FLUFXLW RU YROWDJH KDV EHHQ 9 RU ORZHU RU 9 RU KLJKHU IRU ORQJHU WKDQ VHFRQGV

'7& 3 $FWLRQ WDNHQ ZKHQ WKH '7& VHWV )DLOXUH LV LQGLFDWHG LQ WKH PRQLWRU RQ WKH DFWXDO XQLW RU WKH GLDJQRVWLF OLJKW LV WXUQHG RQ 1RWH㸸 ࣭ 'HSHQGLQJ RQ WKH PDQXIDFWXUHU RI WKH DFWXDO XQLW WKH IDLOXUH LQGLFDWLRQ PD\ QRW EH VKRZQ 5HVWULFW WKH IXHO LQMHFWLRQ DPRXQW 6WRS WKH (*5 FRQWURO 6WRS WKH '3' UHJHQHUDWLRQ


'7& ,QIRUPDWLRQ +. (

'7& 3 )ODVK &RGH '3' /DPS &RQWURO &LUFXLW

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

'7& 3 &RQGLWLRQ IRU VHWWLQJ WKH '7& 7KH EDWWHU\ YROWDJH LV EHWZHHQ DQG 9 7KH VWDUWHU VZLWFK LV 21 $Q\ RI WKH IROORZLQJ FRQGLWLRQV LV VDWLVILHG 7KH (&0 GHWHFWV D ORZ YROWDJH FRQGLWLRQ LQ WKH '3' RUDQJH LQGLFDWRU OLJKW FRQWURO FLUFXLW ZKHQ WKH (&0 H[HFXWHV WKH 2)) FRPPDQG WR WKH '3' RUDQJH LQGLFDWRU OLJKW 7KH (&0 GHWHFWV D KLJK YROWDJH FRQGLWLRQ LQ WKH '3' RUDQJH LQGLFDWRU OLJKW FRQWURO FLUFXLW ZKHQ WKH (&0 H[HFXWHV WKH 21 FRPPDQG WR WKH '3' RUDQJH LQGLFDWRU OLJKW

'7& 3 $FWLRQ WDNHQ ZKHQ WKH '7& VHWV )DLOXUH LV LQGLFDWHG LQ WKH PRQLWRU RQ WKH DFWXDO XQLW RU WKH GLDJQRVWLF OLJKW LV WXUQHG RQ 1RWH㸸 ࣭ 'HSHQGLQJ RQ WKH PDQXIDFWXUHU RI WKH DFWXDO XQLW WKH IDLOXUH LQGLFDWLRQ PD\ QRW EH VKRZQ


( '7& ,QIRUPDWLRQ +.

'7& 3 )ODVK &RGH 3HGDO 3RVLWLRQ 6HQVRU &LUFXLW /RZ ,QSXW

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

'7& 3 &RQGLWLRQ IRU VHWWLQJ WKH '7& '7& 3 % LV QRW VHW 7KH EDWWHU\ YROWDJH LV EHWZHHQ DQG 9 7KH VWDUWHU VZLWFK LV 21 :KHQ WKH (&0 KDV GHWHFWHG WKDW WKH DFFHOHUDWRU SHGDO SRVLWLRQ VHQVRU VLJQDO YROWDJH KDV EHHQ 9 RU ORZHU IRU ORQJHU WKDQ VHFRQGV

'7& 3 $FWLRQ WDNHQ ZKHQ WKH '7& VHWV :KHQ WKH DFFHOHUDWRU SRVLWLRQ VHQVRUV DQG DUH IDXOW\ WKH DFFHOHUDWRU RSHQLQJ DQJOH LV OLPLWHG WR


'7& ,QIRUPDWLRQ +. (

'7& 3 )ODVK &RGH 3HGDO 3RVLWLRQ 6HQVRU &LUFXLW +LJK ,QSXW

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

'7& 3 &RQGLWLRQ IRU VHWWLQJ WKH '7& '7& 3 % DQG 3 DUH QRW VHW 7KH EDWWHU\ YROWDJH LV EHWZHHQ DQG 9 7KH VWDUWHU VZLWFK LV 21 :KHQ WKH (&0 KDV GHWHFWHG WKDW WKH DFFHOHUDWRU SHGDO SRVLWLRQ VHQVRU VLJQDO YROWDJH KDV EHHQ 9 RU KLJKHU IRU ORQJHU WKDQ VHFRQGV

'7& 3 $FWLRQ WDNHQ ZKHQ WKH '7& VHWV :KHQ WKH DFFHOHUDWRU SRVLWLRQ VHQVRUV DQG DUH IDXOW\ WKH DFFHOHUDWRU RSHQLQJ DQJOH LV OLPLWHG WR


( '7& ,QIRUPDWLRQ +.

'7& 3 )ODVK &RGH 3HGDO 3RVLWLRQ 6HQVRU &LUFXLW /RZ ,QSXW

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

'7& 3 &RQGLWLRQ IRU VHWWLQJ WKH '7& '7& 3 % DQG 3 DUH QRW VHW 7KH EDWWHU\ YROWDJH LV EHWZHHQ DQG 9 7KH VWDUWHU VZLWFK LV 21 :KHQ WKH (&0 KDV GHWHFWHG WKDW WKH DFFHOHUDWRU SHGDO SRVLWLRQ VHQVRU VLJQDO YROWDJH KDV EHHQ 9 RU ORZHU IRU ORQJHU WKDQ VHFRQGV

'7& 3 $FWLRQ WDNHQ ZKHQ WKH '7& VHWV :KHQ WKH DFFHOHUDWRU SRVLWLRQ VHQVRUV DQG DUH IDXOW\ WKH DFFHOHUDWRU RSHQLQJ DQJOH LV OLPLWHG WR


'7& ,QIRUPDWLRQ +. (

'7& 3 )ODVK &RGH 3HGDO 3RVLWLRQ 6HQVRU &LUFXLW +LJK ,QSXW

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

'7& 3 &RQGLWLRQ IRU VHWWLQJ WKH '7& '7& 3 % LV QRW VHW 7KH EDWWHU\ YROWDJH LV EHWZHHQ DQG 9 7KH VWDUWHU VZLWFK LV 21 :KHQ WKH (&0 KDV GHWHFWHG WKDW WKH DFFHOHUDWRU SHGDO SRVLWLRQ VHQVRU VLJQDO YROWDJH KDV EHHQ 9 RU KLJKHU IRU ORQJHU WKDQ VHFRQGV

'7& 3 $FWLRQ WDNHQ ZKHQ WKH '7& VHWV :KHQ WKH DFFHOHUDWRU SRVLWLRQ VHQVRUV DQG DUH IDXOW\ WKH DFFHOHUDWRU RSHQLQJ DQJOH LV OLPLWHG WR


( '7& ,QIRUPDWLRQ +.

'7& 3 )ODVK &RGH 3HGDO 3RVLWLRQ 6HQVRU 9ROWDJH &RUUHODWLRQ

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

'7& 3 &RQGLWLRQ IRU VHWWLQJ WKH '7& '7& 3 % 3 3 3 DQG 3 DUH QRW VHW 7KH EDWWHU\ YROWDJH LV EHWZHHQ DQG 9 7KH VWDUWHU VZLWFK LV 21 :KHQ WKH (&0 KDV GHWHFWHG WKDW ERWK WKH DFFHOHUDWRU SHGDO SRVLWLRQ VHQVRUV DQG KDYH EHHQ RXWVLGH WKH VSHFLILHG UDQJH IRU RU PRUH IRU ORQJHU WKDQ VHFRQGV

'7& 3 $FWLRQ WDNHQ ZKHQ WKH '7& VHWV :KHQ WKH DFFHOHUDWRU SRVLWLRQ VHQVRUV DQG DUH IDXOW\ WKH DFFHOHUDWRU RSHQLQJ DQJOH LV OLPLWHG WR


'7& ,QIRUPDWLRQ +. (

'7& 3 )ODVK &RGH )XHO ,QMHFWRU *URXS 6XSSO\ 9ROWDJH &LUFXLW

'7& 3 'HVFULSWLRQ RI '7& 7KH (&0 FDOFXODWHV WKH RSWLPXP IXHO LQMHFWLRQ 21 WLPH XVLQJ GDWD WUDQVPLWWHG IURP WKH YDULRXV VHQVRUV 7KH LQMHFWRU FKDUJH YROWDJH FLUFXLWV RI WKH FRPPRQ SRZHU VXSSOLHV DQG VXSSO\ WKH KLJK YROWDJH ZKLOH WKH (&0 JURXQGV WKH LQMHFWRU VROHQRLG FRQWURO FLUFXLW DV ZHOO DV GULYHV WKH LQMHFWRU RI HDFK F\OLQGHU 7KH FRPPRQ SRZHU VXSSO\ VXSSOLHV SRZHU WR WKH LQMHFWRUV RI WKH 1R 1R DQG 1R F\OLQGHUV ZKLOH WKH FRPPRQ SRZHU VXSSO\ VXSSOLHV SRZHU WR WKH LQMHFWRUV RI WKH 1R 1R DQG 1R F\OLQGHUV :KHQ WKH LQMHFWRU FKDUJH YROWDJH FLUFXLW RI WKH FRPPRQ SRZHU VXSSO\ RU KDV EHHQ RSHQHG RU VKRUWHG WR WKH *1' RU YROWDJH FLUFXLW WKH IDXOW\ LQMHFWRU FRPPRQ SRZHU VXSSO\ FLUFXLW VHWV '7& $OVR ZKHQ WKH LQMHFWRU VROHQRLG FRQWURO FLUFXLW KDV EHHQ VKRUWHG WR WKH *1' WKH (&0 VHWV '7&

'7& 3 &RQGLWLRQ IRU VHWWLQJ WKH '7& '7& 3 3 DQG 3 DUH QRW VHW 7KH EDWWHU\ YROWDJH LV EHWZHHQ DQG 9 7KH VWDUWHU VZLWFK LV 21 :KLOH WKH HQJLQH LV UXQQLQJ :KHQ WKH (&0 KDV GHWHFWHG WKDW DQ RSHQ FLUFXLW ZLWK WKH LQMHFWRU FKDUJH YROWDJH FLUFXLW RI WKH FRPPRQ SRZHU VXSSO\ D VKRUW WR *1' RU YROWDJH FLUFXLW RU D VKRUW RI WKH LQMHFWRU VROHQRLG FRLO FRQWURO FLUFXLW RI WKH F\OLQGHU 1R 1R RU 1R WR *1' KDV RFFXUUHG IRU ORQJHU WKDQ VHFRQGV

'7& 3 $FWLRQ WDNHQ ZKHQ WKH '7& VHWV )DLOXUH LV LQGLFDWHG LQ WKH PRQLWRU RQ WKH DFWXDO XQLW RU WKH GLDJQRVWLF OLJKW LV WXUQHG RQ 1RWH㸸 ࣭ 'HSHQGLQJ RQ WKH PDQXIDFWXUHU RI WKH DFWXDO XQLW WKH IDLOXUH LQGLFDWLRQ PD\ QRW EH VKRZQ 6WRS (*5 FRQWURO 6WRS '3' UHJHQHUDWLRQ 6WRS WKH IXHO LQMHFWLRQ IRU WKH 1R 1R DQG 1R F\OLQGHUV


( '7& ,QIRUPDWLRQ +.

'7& 3 )ODVK &RGH )XHO ,QMHFWRU *URXS 6XSSO\ 9ROWDJH &LUFXLW

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

'7& 3 &RQGLWLRQ IRU VHWWLQJ WKH '7& '7& 3 3 DQG 3 DUH QRW VHW 7KH EDWWHU\ YROWDJH LV EHWZHHQ DQG 9 7KH VWDUWHU VZLWFK LV 21 :KLOH WKH HQJLQH LV UXQQLQJ :KHQ WKH (&0 KDV GHWHFWHG WKDW DQ RSHQ FLUFXLW ZLWK WKH LQMHFWRU FKDUJH YROWDJH FLUFXLW RI WKH FRPPRQ SRZHU VXSSO\ D VKRUW WR *1' RU YROWDJH FLUFXLW RU D VKRUW RI WKH LQMHFWRU VROHQRLG FRLO FRQWURO FLUFXLW RI WKH F\OLQGHU 1R 1R RU 1R WR *1' KDV RFFXUUHG IRU ORQJHU WKDQ VHFRQGV

'7& 3 $FWLRQ WDNHQ ZKHQ WKH '7& VHWV )DLOXUH LV LQGLFDWHG LQ WKH PRQLWRU RQ WKH DFWXDO XQLW RU WKH GLDJQRVWLF OLJKW LV WXUQHG RQ 1RWH㸸 ࣭ 'HSHQGLQJ RQ WKH PDQXIDFWXUHU RI WKH DFWXDO XQLW WKH IDLOXUH LQGLFDWLRQ PD\ QRW EH VKRZQ 6WRS (*5 FRQWURO 6WRS '3' UHJHQHUDWLRQ 6WRS WKH IXHO LQMHFWLRQ IRU WKH 1R 1R DQG 1R F\OLQGHUV


'7& ,QIRUPDWLRQ +. (

'7& 3 )ODVK &RGH %DURPHWULF 3UHVVXUH &LUFXLW /RZ

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

'7& 3 &RQGLWLRQ IRU VHWWLQJ WKH '7& '7& 3 % LV QRW VHW 7KH EDWWHU\ YROWDJH LV EHWZHHQ DQG 9 7KH VWDUWHU VZLWFK LV 21 :KHQ WKH (&0 KDV GHWHFWHG WKDW WKH VLJQDO YROWDJH RI WKH DWPRVSKHULF VHQVRU KDV EHHQ 9 RU ORZHU IRU VHFRQGV

'7& 3 $FWLRQ WDNHQ ZKHQ WKH '7& VHWV )DLOXUH LV LQGLFDWHG LQ WKH PRQLWRU RQ WKH DFWXDO XQLW RU WKH GLDJQRVWLF OLJKW LV WXUQHG RQ 1RWH㸸 ࣭ 'HSHQGLQJ RQ WKH PDQXIDFWXUHU RI WKH DFWXDO XQLW WKH IDLOXUH LQGLFDWLRQ PD\ QRW EH VKRZQ /LPLW WKH IXHO LQMHFWLRQ DPRXQW 6WRS WKH (*5 FRQWURO 6WRS WKH '3' UHJHQHUDWLRQ 6XEVWLWXWH WKH GHIDXOW YDOXH RI DWPRVSKHULF SUHVVXUH


( '7& ,QIRUPDWLRQ +.

'7& 3 )ODVK &RGH %DURPHWULF 3UHVVXUH &LUFXLW +LJK

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

'7& 3 &RQGLWLRQ IRU VHWWLQJ WKH '7& '7& 3 % LV QRW VHW 7KH EDWWHU\ YROWDJH LV EHWZHHQ DQG 9 7KH VWDUWHU VZLWFK LV 21 :KHQ WKH (&0 KDV GHWHFWHG WKDW WKH VLJQDO YROWDJH RI WKH DWPRVSKHULF VHQVRU KDV EHHQ 9 RU KLJKHU IRU VHFRQGV

'7& 3 $FWLRQ WDNHQ ZKHQ WKH '7& VHWV )DLOXUH LV LQGLFDWHG LQ WKH PRQLWRU RQ WKH DFWXDO XQLW RU WKH GLDJQRVWLF OLJKW LV WXUQHG RQ 1RWH㸸 ࣭ 'HSHQGLQJ RQ WKH PDQXIDFWXUHU RI WKH DFWXDO XQLW WKH IDLOXUH LQGLFDWLRQ PD\ QRW EH VKRZQ /LPLW WKH IXHO LQMHFWLRQ DPRXQW 6WRS WKH (*5 FRQWURO 6WRS WKH '3' UHJHQHUDWLRQ 6XEVWLWXWH WKH GHIDXOW YDOXH RI DWPRVSKHULF SUHVVXUH


'7& ,QIRUPDWLRQ +. (

'7& 3 ) )ODVK &RGH '3' 5HVWULFWLRQ

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

'7& 3 ) &RQGLWLRQ IRU VHWWLQJ WKH '7& 7KH VWDUWHU VZLWFK LV 21 7KH '3' GLIIHUHQWLDO SUHVVXUH KDV EHHQ DERYH WKH FDOFXODWHG UDQJH IRU VHFRQGV RU ORQJHU

'7& 3 ) $FWLRQ WDNHQ ZKHQ WKH '7& VHWV )DLOXUH LV LQGLFDWHG LQ WKH PRQLWRU RQ WKH DFWXDO XQLW RU WKH GLDJQRVWLF OLJKW LV WXUQHG RQ 1RWH㸸 ࣭ 'HSHQGLQJ RQ WKH PDQXIDFWXUHU RI WKH DFWXDO XQLW WKH IDLOXUH LQGLFDWLRQ PD\ QRW EH VKRZQ 5HVWULFW WKH IXHO LQMHFWLRQ DPRXQW 6WRS WKH (*5 FRQWURO 6WRS WKH '3' UHJHQHUDWLRQ


( '7& ,QIRUPDWLRQ +.

'7& 3 )ODVK &RGH '3' 'LIIHUHQWLDO 3UHVVXUH 6HQVRU &LUFXLW

'7& 3 'HVFULSWLRQ RI '7& 7KH '3' GLIIHUHQWLDO SUHVVXUH VHQVRU LV LQVWDOOHG QHDU '3' LWVHOI '3' GLIIHUHQWLDO SUHVVXUH VHQVRU YDULHV WKH VLJQDO YROWDJH DFFRUGLQJ WR FKDQJHV RI WKH H[KDXVW JDV GLIIHUHQWLDO SUHVVXUH EHWZHHQ LQ IURQW DQG UHDU RI '3' ILOWHU ,I WKH (&0 GHWHFWV WKDW WKH '3' GLIIHUHQWLDO SUHVVXUH LV FHUWDLQ SUHVVXUH ORZ XQGHU FHUWDLQ FRQGLWLRQV LW VHWV '7&

'7& 3 &RQGLWLRQ IRU VHWWLQJ WKH '7& '7& 3 DQG 3 DUH QRW GHWHFWHG 7KH EDWWHU\ YROWDJH LV EHWZHHQ DQG 9 7KH VWDUWHU VZLWFK LV 21 7KH HQJLQH 530 LV U PLQ RU PRUH :KHQ WKH (&0 KDV GHWHFWHG WKDW WKH '3' GLIIHUHQWLDO SUHVVXUH KDV EHHQ N3D ^ NJI FP SVL`RU ORZHU IRU ORQJHU WKDQ VHFRQGV

'7& 3 $FWLRQ WDNHQ ZKHQ WKH '7& VHWV )DLOXUH LV LQGLFDWHG LQ WKH PRQLWRU RQ WKH DFWXDO XQLW RU WKH GLDJQRVWLF OLJKW LV WXUQHG RQ 1RWH㸸 ࣭ 'HSHQGLQJ RQ WKH PDQXIDFWXUHU RI WKH DFWXDO XQLW WKH IDLOXUH LQGLFDWLRQ PD\ QRW EH VKRZQ 5HVWULFW WKH IXHO LQMHFWLRQ DPRXQW 6WRS WKH (*5 FRQWURO 6WRS WKH '3' UHJHQHUDWLRQ


'7& ,QIRUPDWLRQ +. (

'7& 3 )ODVK &RGH '3' 'LIIHUHQWLDO 3UHVVXUH 6HQVRU &LUFXLW 5DQJH 3HUIRUPDQFH

'7& 3 'HVFULSWLRQ RI '7& 7KH '3' GLIIHUHQWLDO SUHVVXUH VHQVRU LV LQVWDOOHG QHDU '3' LWVHOI '3' GLIIHUHQWLDO SUHVVXUH VHQVRU YDULHV WKH VLJQDO YROWDJH DFFRUGLQJ WR FKDQJHV RI WKH H[KDXVW JDV GLIIHUHQWLDO SUHVVXUH EHWZHHQ LQ IURQW DQG UHDU RI '3' ILOWHU :KHQ WKH (&0 KDV GHWHFWHG WKDW WKH '3' GLIIHUHQWLDO SUHVVXUH LV DEQRUPDOO\ KLJK LW VHWV '7&

'7& 3 &RQGLWLRQ IRU VHWWLQJ WKH '7& '7& 3 DQG 3 DUH QRW VHW 7KH EDWWHU\ YROWDJH LV EHWZHHQ DQG 9 7KH VWDUWHU VZLWFK LV 21 :KHQ WKH (&0 KDV GHWHFWHG WKDW WKH '3' GLIIHUHQWLDO SUHVVXUH KDV EHHQ N3D ^ NJI FP SVL` RU KLJKHU IRU ORQJHU WKDQ VHFRQGV

'7& 3 $FWLRQ WDNHQ ZKHQ WKH '7& VHWV )DLOXUH LV LQGLFDWHG LQ WKH PRQLWRU RQ WKH DFWXDO XQLW RU WKH GLDJQRVWLF OLJKW LV WXUQHG RQ 1RWH㸸 ࣭ 'HSHQGLQJ RQ WKH PDQXIDFWXUHU RI WKH DFWXDO XQLW WKH IDLOXUH LQGLFDWLRQ PD\ QRW EH VKRZQ 5HVWULFW WKH IXHO LQMHFWLRQ DPRXQW 6WRS WKH (*5 FRQWURO 6WRS WKH '3' UHJHQHUDWLRQ


( '7& ,QIRUPDWLRQ +.

'7& 3 )ODVK &RGH '3' 'LIIHUHQWLDO 3UHVVXUH 6HQVRU &LUFXLW /RZ

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

'7& 3 &RQGLWLRQ IRU VHWWLQJ WKH '7& '7& 3 % LV QRW VHW 7KH EDWWHU\ YROWDJH LV EHWZHHQ DQG 9 7KH VWDUWHU VZLWFK LV 21 :KHQ WKH (&0 KDV GHWHFWHG WKDW WKH '3' GLIIHUHQWLDO SUHVVXUH VHQVRU VLJQDO YROWDJH KDV EHHQ 9 RU ORZHU IRU ORQJHU WKDQ VHFRQG

'7& 3 $FWLRQ WDNHQ ZKHQ WKH '7& VHWV )DLOXUH LV LQGLFDWHG LQ WKH PRQLWRU RQ WKH DFWXDO XQLW RU WKH GLDJQRVWLF OLJKW LV WXUQHG RQ 1RWH㸸 ࣭ 'HSHQGLQJ RQ WKH PDQXIDFWXUHU RI WKH DFWXDO XQLW WKH IDLOXUH LQGLFDWLRQ PD\ QRW EH VKRZQ /LPLW WKH IXHO LQMHFWLRQ DPRXQW 6WRS WKH (*5 FRQWURO 6WRS WKH '3' UHJHQHUDWLRQ 6XEVWLWXWH WKH GHIDXOW YDOXH RI '3' GLIIHUHQWLDO SUHVVXUH VHQVRU


'7& ,QIRUPDWLRQ +. (

'7& 3 )ODVK &RGH '3' 'LIIHUHQWLDO 3UHVVXUH 6HQVRU &LUFXLW +LJK

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

'7& 3 &RQGLWLRQ IRU VHWWLQJ WKH '7& '7& 3 % LV QRW VHW 7KH EDWWHU\ YROWDJH LV EHWZHHQ DQG 9 7KH VWDUWHU VZLWFK LV 21 :KHQ WKH (&0 KDV GHWHFWHG WKDW WKH '3' GLIIHUHQWLDO SUHVVXUH VHQVRU VLJQDO YROWDJH KDV EHHQ 9 RU KLJKHU IRU ORQJHU WKDQ VHFRQG

'7& 3 $FWLRQ WDNHQ ZKHQ WKH '7& VHWV )DLOXUH LV LQGLFDWHG LQ WKH PRQLWRU RQ WKH DFWXDO XQLW RU WKH GLDJQRVWLF OLJKW LV WXUQHG RQ 1RWH㸸 ࣭ 'HSHQGLQJ RQ WKH PDQXIDFWXUHU RI WKH DFWXDO XQLW WKH IDLOXUH LQGLFDWLRQ PD\ QRW EH VKRZQ /LPLW WKH IXHO LQMHFWLRQ DPRXQW 6WRS WKH (*5 FRQWURO 6WRS WKH '3' UHJHQHUDWLRQ 6XEVWLWXWH WKH GHIDXOW YDOXH RI '3' GLIIHUHQWLDO SUHVVXUH VHQVRU


( '7& ,QIRUPDWLRQ +.

'7& 3 )ODVK &RGH '3' 'LIIHUHQWLDO 3UHVVXUH 6HQVRU /HDUQHG 3RVLWLRQ

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

'7& 3 &RQGLWLRQ IRU VHWWLQJ WKH '7& 7KH EDWWHU\ YROWDJH LV EHWZHHQ DQG 9 7KH VWDUWHU VZLWFK LV 21 7KH HQJLQH LV VWRSSHG :KHQ WKH (&0 GHWHFWV WKDW WKH OHDUQHG DEVROXWH YDOXH RI ࠉGLIIHUHQWLDO SUHVVXUH LV N3D ^ NJI FP SVL` RU KLJKHU

'7& 3 $FWLRQ WDNHQ ZKHQ WKH '7& VHWV )DLOXUH LV LQGLFDWHG LQ WKH PRQLWRU RQ WKH DFWXDO XQLW RU WKH GLDJQRVWLF OLJKW LV WXUQHG RQ 1RWH㸸 ࣭ 'HSHQGLQJ RQ WKH PDQXIDFWXUHU RI WKH DFWXDO XQLW WKH IDLOXUH LQGLFDWLRQ PD\ QRW EH VKRZQ /LPLW WKH IXHO LQMHFWLRQ DPRXQW 6WRS WKH (*5 FRQWURO 6WRS WKH '3' UHJHQHUDWLRQ 6XEVWLWXWH WKH GHIDXOW YDOXH RI '3' GLIIHUHQWLDO SUHVVXUH VHQVRU


'7& ,QIRUPDWLRQ +. (

'7& 3 )ODVK &RGH '3' 5HJHQHUDWLRQ 'XUDWLRQ

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

'7& 3 &RQGLWLRQ IRU VHWWLQJ WKH '7& 7KH VWDUWHU VZLWFK LV 21 7KH '3' ILOWHU UHJHQHUDWLRQ KDV EHHQ FRPSOHWHG 7KH '3' ILOWHU UHJHQHUDWLRQ SURFHVV WRRN WLPH ORQJHU WKDQ D FHUWDLQ SHULRG RI WLPH IRU FRQVHFXWLYH WLPHV

'7& 3 $FWLRQ WDNHQ ZKHQ WKH '7& VHWV )DLOXUH LV LQGLFDWHG LQ WKH PRQLWRU RQ WKH DFWXDO XQLW RU WKH GLDJQRVWLF OLJKW LV WXUQHG RQ 1RWH㸸 ࣭ 'HSHQGLQJ RQ WKH PDQXIDFWXUHU RI WKH DFWXDO XQLW WKH IDLOXUH LQGLFDWLRQ PD\ QRW EH VKRZQ 5HVWULFWV WKH IXHO LQMHFWLRQ DPRXQW


( '7& ,QIRUPDWLRQ +.

'7& 8 )ODVK &RGH &$1 %XV 0DOIXQFWLRQ

'7& 8 'HVFULSWLRQ RI '7& 7KH (&0 FRPPXQLFDWHV ZLWK WKH WXUERFKDUJHU LQWHUQDO FRQWURO XQLW DQG WKH DFWXDO XQLW FRQWURO XQLW YLD WKH &$1 FRPPXQLFDWLRQ FLUFXLW 7KH (&0 RXWSXWV GDWD YLD WKH &$1 +LJK FLUFXLW DQG LQSXW GDWD IURP RWKHU (&8V IURP WKH &$1 /RZ FLUFXLW &$1 FRPPXQLFDWLRQ LV FRQWLQXRXVO\ SHUIRUPHG DW D FRQVWDQW UDWH DQG WKH GDWD RXWSXW FRXQW DQG LQSXW FRXQW DUH DOZD\V LGHQWLFDO 7KH (&0 VHWV '7& ZKHQ LW KDV GHWHFWHG D &$1 FRPPXQLFDWLRQ IDLOXUH

'7& 8 &RQGLWLRQ IRU VHWWLQJ WKH '7& 7KH EDWWHU\ YROWDJH LV 9 RU KLJKHU 7KH VWDUWHU VZLWFK LV 21 :KHQ WKH (&0 GHWHFWV DQ DEQRUPDOLW\ LQ WKH &$1 FRPPXQLFDWLRQ FLUFXLW

'7& 8 $FWLRQ WDNHQ ZKHQ WKH '7& VHWV )DLOXUH LV LQGLFDWHG LQ WKH PRQLWRU RQ WKH DFWXDO XQLW RU WKH GLDJQRVWLF OLJKW LV WXUQHG RQ 1RWH㸸 ࣭ 'HSHQGLQJ RQ WKH PDQXIDFWXUHU RI WKH DFWXDO XQLW WKH IDLOXUH LQGLFDWLRQ PD\ QRW EH VKRZQ 6WRS (*5 FRQWURO


'7& ,QIRUPDWLRQ +. (

'7& 8 )ODVK &RGH &RQWURO 0RGXOH &RPPXQLFDWLRQ %XV 2II

'7& 8 'HVFULSWLRQ RI '7& 7KH (&0 FRPPXQLFDWHV ZLWK WKH DFWXDO XQLW FRQWURO XQLW YLD WKH &$1 FRPPXQLFDWLRQ FLUFXLW 7KH (&0 RXWSXWV GDWD YLD WKH &$1 +LJK FLUFXLW DQG LQSXW GDWD IURP RWKHU (&8V IURP WKH &$1 /RZ FLUFXLW &$1 FRPPXQLFDWLRQ LV FRQWLQXRXVO\ SHUIRUPHG DW D FRQVWDQW UDWH DQG WKH GDWD RXWSXW FRXQW DQG LQSXW FRXQW DUH DOZD\V LGHQWLFDO 7KH (&0 VHWV '7& ZKHQ LW KDV GHWHFWHG D &$1 FRPPXQLFDWLRQ IDLOXUH

'7& 8 &RQGLWLRQ IRU VHWWLQJ WKH '7& 7KH EDWWHU\ YROWDJH LV 9 RU KLJKHU 7KH VWDUWHU VZLWFK LV 21 :KHQ WKH (&0 GHWHFWV DQ DEQRUPDOLW\ LQ WKH &$1 FRPPXQLFDWLRQ FLUFXLW

'7& 8 $FWLRQ WDNHQ ZKHQ WKH '7& VHWV )DLOXUH LV LQGLFDWHG LQ WKH PRQLWRU RQ WKH DFWXDO XQLW RU WKH GLDJQRVWLF OLJKW LV WXUQHG RQ 1RWH㸸 ࣭ 'HSHQGLQJ RQ WKH PDQXIDFWXUHU RI WKH DFWXDO XQLW WKH IDLOXUH LQGLFDWLRQ PD\ QRW EH VKRZQ


( '7& ,QIRUPDWLRQ +.

'7& 8 )ODVK &RGH /RVW &RPPXQLFDWLRQ ZLWK 7&0

'7& 8 'HVFULSWLRQ RI '7& 7KH (&0 FRPPXQLFDWHV ZLWK WKH DFWXDO XQLW FRQWURO XQLW YLD WKH &$1 FRPPXQLFDWLRQ FLUFXLW 7KH (&0 RXWSXWV GDWD YLD WKH &$1 +LJK FLUFXLW DQG LQSXW GDWD IURP RWKHU (&8V IURP WKH &$1 /RZ FLUFXLW &$1 FRPPXQLFDWLRQ LV FRQWLQXRXVO\ SHUIRUPHG DW D FRQVWDQW UDWH DQG WKH GDWD RXWSXW FRXQW DQG LQSXW FRXQW DUH DOZD\V LGHQWLFDO (&0 VHWV '7& ZKHQ LW KDV ORVW &$1 FRPPXQLFDWLRQ ZLWK WKH DFWXDO XQLW FRQWURO XQLW

'7& 8 &RQGLWLRQ IRU VHWWLQJ WKH '7& 7KH EDWWHU\ YROWDJH LV 9 RU KLJKHU :KHQ WKH (&0 GHWHFWV WKDW &$1 GDWD UHFHSWLRQ IRU VHFRQGV RU ORQJHU LV QRW VDWLVILHG

'7& 8 $FWLRQ WDNHQ ZKHQ WKH '7& VHWV )DLOXUH LV LQGLFDWHG LQ WKH PRQLWRU RQ WKH DFWXDO XQLW RU WKH GLDJQRVWLF OLJKW LV WXUQHG RQ 1RWH㸸 ࣭ 'HSHQGLQJ RQ WKH PDQXIDFWXUHU RI WKH DFWXDO XQLW WKH IDLOXUH LQGLFDWLRQ PD\ QRW EH VKRZQ 6WRS (*5 FRQWURO 6WRS '3' UHJHQHUDWLRQ /LPLW WKH HQJLQH 530 WR WKH LGOH 530


'7& ,QIRUPDWLRQ +. (

'7& 8 )ODVK &RGH /RVW &RPPXQLFDWLRQ ZLWK 917 6\VWHP

'7& 8 'HVFULSWLRQ RI '7& 7KH (&0 DQG WXUERFKDUJHU LQWHUQDO FRQWURO XQLW FRPPXQLFDWH WKH FRQWURO DQG GLDJQRVWLF LQIRUPDWLRQ YLD &$1 FRPPXQLFDWLRQ 7KH (&0 RXWSXWV GDWD YLD WKH &$1 +LJK FLUFXLW DQG LQSXW GDWD IURP RWKHU (&8V IURP WKH &$1 /RZ FLUFXLW &$1 FRPPXQLFDWLRQ LV FRQWLQXRXVO\ SHUIRUPHG DW D FRQVWDQW UDWH DQG WKH GDWD RXWSXW FRXQW DQG LQSXW FRXQW DUH DOZD\V LGHQWLFDO (&0 VHWV '7& ZKHQ LW KDV ORVW &$1 FRPPXQLFDWLRQ ZLWK WKH WXUERFKDUJHU LQWHUQDO FRQWURO XQLW

'7& 8 &RQGLWLRQ IRU VHWWLQJ WKH '7& '7& 8 LV QRW GHWHFWHG 7KH EDWWHU\ YROWDJH LV 9 RU KLJKHU 7KH VWDUWHU VZLWFK LV 21 :KHQ WKH (&0 KDV GHWHFWHG WKDW 1R &$1 %XV PHVVDJH KDV EHHQ UHFHLYHG IURP WKH LQWHUQDO WXUERFKDUJHU FRQWUROOHU XQLW IRU ORQJHU WKDQ VHFRQG

'7& 8 $FWLRQ WDNHQ ZKHQ WKH '7& VHWV )DLOXUH LV LQGLFDWHG LQ WKH PRQLWRU RQ WKH DFWXDO XQLW RU WKH GLDJQRVWLF OLJKW LV WXUQHG RQ 1RWH㸸 ࣭ 'HSHQGLQJ RQ WKH PDQXIDFWXUHU RI WKH DFWXDO XQLW WKH IDLOXUH LQGLFDWLRQ PD\ QRW EH VKRZQ


( '7& ,QIRUPDWLRQ +.

'7& PDSSLQJ WDEOH

'7& PDSSLQJ WDEOH


'7& ,QIRUPDWLRQ +. ( 631 )0,

3 FRGH 3 3 3

&UDQNVKDIW 3RVLWLRQ &DPVKDIW 3RVLWLRQ &RUUHODWLRQ 7XUERFKDUJHU %RRVW &RQWURO 6ROHQRLG &LUFXLW )XHO 5DLO 6\VWHP 3UHVVXUH 7RR /RZ

3

)XHO 5DLO 6\VWHP 3UHVVXUH 7RR +LJK

3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 & 3 ' 3 3 3 3 % 3 &

)XHO 3UHVVXUH 5HJXODWRU 3HUIRUPDQFH )XHO 3UHVVXUH 5HJXODWRU &RQWURO &LUFXLW /RZ )XHO 3UHVVXUH 5HJXODWRU &RQWURO &LUFXLW +LJK )XHO 6\VWHP /HDN 'HWHFWHG 0DVV $LU )ORZ &LUFXLW /RZ ,QSXW 0DVV $LU )ORZ &LUFXLW +LJK ,QSXW ,QWDNH $LU 7HPSHUDWXUH 6HQVRU &LUFXLW /RZ ,QWDNH $LU 7HPSHUDWXUH 6HQVRU &LUFXLW +LJK (QJLQH &RRODQW 7HPSHUDWXUH 6HQVRU &LUFXLW /RZ (QJLQH &RRODQW 7HPSHUDWXUH 6HQVRU &LUFXLW +LJK 7KURWWOH 3RVLWLRQ 6HQVRU &LUFXLW /RZ 7KURWWOH 3RVLWLRQ 6HQVRU &LUFXLW +LJK )XHO 7HPSHUDWXUH 6HQVRU &LUFXLW /RZ )XHO 7HPSHUDWXUH 6HQVRU &LUFXLW +LJK )XHO 5DLO 3UHVVXUH 6HQVRU &LUFXLW /RZ )XHO 5DLO 3UHVVXUH 6HQVRU &LUFXLW +LJK ,QMHFWRU &LUFXLW &\OLQGHU ,QMHFWRU &LUFXLW &\OLQGHU ,QMHFWRU &LUFXLW &\OLQGHU ,QMHFWRU &LUFXLW &\OLQGHU ,QMHFWRU &LUFXLW &\OLQGHU ,QMHFWRU &LUFXLW &\OLQGHU (QJLQH &RRODQW 2YHU 7HPSHUDWXUH &RQGLWLRQ (QJLQH 2YHUVSHHG &RQGLWLRQ 7XUERFKDUJHU 2YHUERRVW &RQGLWLRQ 7XUERFKDUJHU %RRVW 6HQVRU &LUFXLW /RZ ,QSXW 7XUERFKDUJHU %RRVW 6HQVRU &LUFXLW +LJK ,QSXW &UDQNVKDIW 3RVLWLRQ 6HQVRU &LUFXLW &UDQNVKDIW 3RVLWLRQ 6HQVRU &LUFXLW 5DQJH 3HUIRUPDQFH &DPVKDIW 3RVLWLRQ 6HQVRU &LUFXLW ([KDXVW *DV 5HFLUFXODWLRQ &RQWURO &LUFXLW 5DQJH 3HUIRUPDQFH ([KDXVW *DV 5HFLUFXODWLRQ 6HQVRU &LUFXLW 0DQLIROG $LU 7HPSHUDWXUH &LUFXLW +LJK ,QSXW 0DQLIROG $LU 7HPSHUDWXUH &LUFXLW /RZ ,QSXW &DWDO\VW 7HPSHUDWXUH 7RR +LJK &DWDO\VW 7HPSHUDWXUH 6HQVRU &LUFXLW /RZ 6HQVRU &DWDO\VW 7HPSHUDWXUH 6HQVRU &LUFXLW +LJK 6HQVRU &DWDO\VW 7HPSHUDWXUH 7RR +LJK &DWDO\VW 7HPSHUDWXUH 6HQVRU &LUFXLW /RZ 6HQVRU


( '7& ,QIRUPDWLRQ +.

3 ' 3 3 3 3 3 3 3

&DWDO\VW 7HPSHUDWXUH 6HQVRU &LUFXLW +LJK 6HQVRU 2LO 3UHVVXUH 6HQVRU &LUFXLW /RZ ,QSXW 2LO 3UHVVXUH 6HQVRU &LUFXLW +LJK ,QSXW 6\VWHP 9ROWDJH 6\VWHP 9ROWDJH +LJK ,QWHUQDO &RQWURO 0RGXOH 0HPRU\ &KHFN 6XP (UURU &RQWURO 0RGXOH 3URJUDPPLQJ (UURU ,QWHUQDO &RQWURO 0RGXOH 5DQGRP $FFHVV 0HPRU\ 5$0

3

(&0 3&0 3URFHVVRU

3 % 3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 ) 3 3 3 3

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


'7& ,QIRUPDWLRQ +. (

3 3 8

8

8 8

'3' 'LIIHUHQWLDO 3UHVVXUH 6HQVRU /HDUQHG 3RVLWLRQ '3' 5HJHQHUDWLRQ 'XUDWLRQ &$1 %XV (UURU ,62 &$1 &$1 %XV (UURU - &RQWURO 0RGXOH &RPPXQLFDWLRQ %XV 2II /RVW &RPPXQLFDWLRQ :LWK 7UDQVPLVVLRQ &RQWURO 0RGXOH /RVW &RPPXQLFDWLRQ :LWK 917 6\VWHP



(QJLQH &RQWURO +. $

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

'7& 3 )ODVK &RGH ,QMHFWRU &LUFXLW &\OLQGHU $ '7& 3 )ODVK &RGH ,QMHFWRU &LUFXLW &\OLQGHU $ '7& 3 )ODVK &RGH ,QMHFWRU &LUFXLW &\OLQGHU $ '7& 3 )ODVK &RGH ,QMHFWRU &LUFXLW &\OLQGHU $ '7& 3 )ODVK &RGH ,QMHFWRU &LUFXLW &\OLQGHU $ '7& 3 )ODVK &RGH (QJLQH &RRODQW 2YHU 7HPSHUDWXUH &RQGLWLRQ $ '7& 3 )ODVK &RGH (QJLQH 2YHUVSHHG &RQGLWLRQ $ '7& 3 )ODVK &RGH 7XUERFKDUJHU 2YHUERRVW &RQGLWLRQ $ '7& 3 )ODVK &RGH 7XUER &KDUJHU %RRVW 6HQVRU &LUFXLW /RZ $ '7& 3 )ODVK &RGH 7XUER &KDUJHU %RRVW 6HQVRU &LUFXLW +LJK $ '7& 3 )ODVK &RGH &UDQNVKDIW 3RVLWLRQ 6HQVRU &LUFXLW $ '7& 3 )ODVK &RGH &UDQNVKDIW 3RVLWLRQ 6HQVRU &LUFXLW 5DQJH 3HUIRUPDQFH $ '7& 3 )ODVK &RGH &DPVKDIW 3RVLWLRQ 6HQVRU &LUFXLW $ '7& 3 )ODVK &RGH ([KDXVW *DV 5HFLUFXODWLRQ &RQWURO &LUFXLW 5DQJH 3HUIRUPDQFH $ '7& 3 )ODVK &RGH ([KDXVW *DV 5HFLUFXODWLRQ 6HQVRU &LUFXLW $ '7& 3 & )ODVK &RGH ,QWDNH 0DQLIROG 7HPSHUDWXUH 6HQVRU &LUFXLW +LJK $ '7& 3 ' )ODVK &RGH ,QWDNH 0DQLIROG 7HPSHUDWXUH 6HQVRU &LUFXLW /RZ $ '7& 3 )ODVK &RGH &DWDO\VW 7HPSHUDWXUH 6HQVRU &LUFXLW 5DQJH 3HUIRUPDQFH 6HQVRU $ '7& 3 )ODVK &RGH &DWDO\VW 7HPSHUDWXUH 6HQVRU &LUFXLW /RZ 6HQVRU $ '7& 3 )ODVK &RGH &DWDO\VW 7HPSHUDWXUH 6HQVRU &LUFXLW +LJK 6HQVRU $


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


(QJLQH &RQWURO +. $

'7& 3 )ODVK &RGH &UDQNVKDIW 3RVLWLRQ &DPVKDIW 3RVLWLRQ &RUUHODWLRQ

'7& 3 3ULRULW\ '7& '7& 3 '7& 3 '7& 3

'7& 3 'LDJQRVWLFV

,QVSHFW WKH &.3 VHQVRU

5HIHU WR (QJLQH % 0HFKDQLFDO +. &.3 VHQVRU ,QVSHFWLRQ

,I D SUREOHP LV GLVFRYHUHG UHSODFH WKH FUDQNVKDIW SRVLWLRQ VHQVRU

5HIHU WR (QJLQH % 0HFKDQLFDO +. &.3 VHQVRU 5HPRYDO 5HIHU WR (QJLQH % 0HFKDQLFDO +. &.3 VHQVRU ,QVWDOODWLRQ

,QVSHFW WKH &03 VHQVRU

5HIHU WR (QJLQH % 0HFKDQLFDO +. &03 VHQVRU ,QVSHFWLRQ

,I D SUREOHP LV GLVFRYHUHG UHSODFH WKH FDPVKDIW SRVLWLRQ VHQVRU

5HIHU WR (QJLQH % 0HFKDQLFDO +. &03 VHQVRU 5HPRYDO 5HIHU WR (QJLQH % 0HFKDQLFDO +. &03 VHQVRU ,QVWDOODWLRQ

,QVSHFW WKH IO\ZKHHO

࣭7KH VHQVRU URWRU VKRXOG QRW EH GDPDJHG ࣭7KH ULQJ JHDU VKRXOG EH LQVWDOOHG FRUUHFWO\

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH IO\ZKHHO

,QVSHFW WKH FDPVKDIW JHDU

࣭7KH FDPVKDIW JHDU VKRXOG QRW EH GDPDJHG ࣭7KH FDPVKDIW JHDU VKRXOG EH LQVWDOOHG FRUUHFWO\

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH FDPVKDIW JHDU '7& 3 &RQILUP 5HVROXWLRQ

&OHDU WKH '7& XVLQJ WKH WURXEOH GLDJQRVLV VFDQ WRRO

7XUQ WKH VWDUWHU VZLWFK 2)) IRU VHFRQGV RU ORQJHU

6WDUW WKH HQJLQH

1RWH㸸 ࣭ :KHQ WKH HQJLQH GRHV QRW VWDUW FUDQN WKH HQJLQH IRU VHFRQGV

3HUIRUP D WHVW UXQ

8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FRQILUP WKDW D '7& KDV QRW EHHQ GHWHFWHG


$ (QJLQH &RQWURO +.

'7& 3 )ODVK &RGH 7XUERFKDUJHU %RRVW &RQWURO 6ROHQRLG &LUFXLW

'7& 3 3ULRULW\ '7& '7& 8

'7& 3 'LDJQRVWLFV

,QVSHFW WKH WXUERFKDUJHU DVVHPEO\

5HIHU WR (QJLQH ) ,QGXFWLRQ +. 7XUERFKDUJHU DVVHPEO\ ,QVSHFWLRQ

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH WXUERFKDUJHU DVVHPEO\

7XUQ 2)) WKH VWDUWHU VZLWFK

'LVFRQQHFW WKH WXUERFKDUJHU KDUQHVV FRQQHFWRU

5HPRYH WKH IXVH

,QVSHFW WKH IXVH IRU PHOWGRZQ

,I D SUREOHP LV GLVFRYHUHG UHSODFH WKH IXVH

,QVSHFW WR VHH LI WKHUH LV DQ RSHQ FLUFXLW RU KLJK UHVLVWDQFH EHWZHHQ WKH IXVH DQG WKH SRZHU VXSSO\ FLUFXLW RI WKH WXUERFKDUJHU LQWHUQDO (&8

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH SRZHU VXSSO\ FLUFXLW

,QVSHFW WR VHH LI WKHUH LV DQ RSHQ FLUFXLW RU KLJK UHVLVWDQFH EHWZHHQ WKH WXUERFKDUJHU *1' FLUFXLW DQG *1' ,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH *1' FLUFXLW ,QVSHFW WKH WXUERFKDUJHU KDUQHVV FRQQHFWRU IRU DQ FRQWDFW IDLOXUH ,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KDUQHVV FRQQHFWRU ,I WKH KDUQHVV FRQQHFWRU LV QRUPDO UHSODFH WKH WXUERFKDUJHU DVVHPEO\ 5HIHU WR (QJLQH ) ,QGXFWLRQ +. 7XUERFKDUJHU DVVHPEO\ 5HPRYDO 5HIHU WR (QJLQH ) ,QGXFWLRQ +. 7XUERFKDUJHU DVVHPEO\ ,QVWDOODWLRQ

'7& 3 &RQILUP 5HVROXWLRQ

&OHDU WKH '7& XVLQJ WKH WURXEOH GLDJQRVLV VFDQ WRRO

7XUQ WKH VWDUWHU VZLWFK 2)) IRU VHFRQGV RU ORQJHU

6WDUW WKH HQJLQH

3HUIRUP D WHVW UXQ

8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FRQILUP WKDW D '7& KDV QRW EHHQ GHWHFWHG


(QJLQH &RQWURO +. $

'7& 3 )ODVK &RGH )XHO 5DLO 6\VWHP 3UHVVXUH 7RR /RZ

'7& 3 3ULRULW\ '7& '7& 3 '7& 3 '7& 3 '7& 3 '7& 3 '7& 3 '7& 3 '7& 3 '7& 3 '7& 3 '7& 3 '7& 3 '7& 3 '7& 3

'7& 3 'LDJQRVWLFV

6WDUW WKH HQJLQH

5HY WKH HQJLQH D IHZ WLPHV LQ QHXWUDO ZKLOH FKHFNLQJ IRU D '7& ZLWK WKH WURXEOH GLDJQRVLV VFDQ WRRO

&KHFN WR VHH LI WKH '7& 3 LV GHWHFWHG

,I WKH '7& 3 LV QRW GHWHFWHG UHSODFH WKH IXHO ILOWHU HOHPHQW

1RWH㸸 ࣭ $Q LQWHUPLWWHQW SUREOHP GXH WR IRUHLJQ PDWWHU LQ WKH IXHO LV VXVSHFWHG 5HIHU WR (QJLQH & )XHO 6\VWHP +. )XHO ILOWHU HOHPHQW 5HPRYDO 5HIHU WR (QJLQH & )XHO 6\VWHP +. )XHO ILOWHU HOHPHQW ,QVWDOODWLRQ

7XUQ 2)) WKH VWDUWHU VZLWFK

:DLW IRU WKH VSHFLILHG SHULRG RI WLPH XQWLO WKH IXHO SUHVVXUH LV UHOHDVHG IURP WKH FRPPRQ UDLO

,I WKH IXHO UDLO SUHVVXUH VHQVRU GLVSOD\ LV RXWVLGH WKH VWDQGDUG UDQJH LQVSHFW WKH IXHO SUHVVXUH VHQVRU KDUQHVV FRQQHFWRU IRU D FRQWDFW IDLOXUH

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KDUQHVV FRQQHFWRU ,QVSHFW WKH (&0 KDUQHVV FRQQHFWRU IRU D FRQWDFW IDLOXUH ,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KDUQHVV FRQQHFWRU ,QVSHFW HDFK FLUFXLW IRU KLJK UHVLVWDQFH 5HSDLU WKH FLUFXLW LI D SUREOHP LV GLVFRYHUHG ,I WKH KDUQHVV FRQQHFWRU DQG HDFK FLUFXLW DUH QRUPDO UHSODFH WKH IXHO SUHVVXUH VHQVRU 5HIHU WR (QJLQH & )XHO 6\VWHP +. &RPPRQ UDLO DVVHPEO\ 5HPRYDO 5HIHU WR (QJLQH & )XHO 6\VWHP +. &RPPRQ UDLO DVVHPEO\ ,QVWDOODWLRQ 1RWH㸸 ࣭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

7XUQ 21 WKH VWDUWHU VZLWFK

,QVSHFW WR VHH LI WKHUH LV FORJJLQJ ZLWK WKH IXHO V\VWHP EHWZHHQ WKH IXHO WDQN DQG WKH IXHO VXSSO\ SXPS

&KHFN WKH IXHO UDLO SUHVVXUH VHQVRU GLVSOD\ ZLWK WKH WURXEOH GLDJQRVLV VFDQ WRRO

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH FORJJLQJ RI WKH IXHO V\VWHP

VSHFLILHG WLPH㸸 PLQ

YROWDJH㸸 WR 9

,QVSHFW WKH IXHO KRVH EHWZHHQ WKH IXHO WDQN DQG WKH IXHO VXSSO\ SXPS IRU D FXW DQG FUDFN ,I D SUREOHP LV GLVFRYHUHG UHSODFH WKH IXHO KRVH


$ (QJLQH &RQWURO +. 1RWH㸸 ࣭ 7KH IXHO KRVH EHWZHHQ WKH IXHO WDQN DQG WKH IXHO VXSSO\ SXPS EHFRPHV QHJDWLYH SUHVVXUH VWDWH ZKHQ WKH HQJLQH LV UXQQLQJ ࣭ :KHQ WKH IXHO KRVH LV QRW FRQQHFWHG VHFXUHO\ WKH DLU FDQ HQWHU ࣭ :KHQ WKH HQJLQH 530 RU WKH HQJLQH ORDG LQFUHDVHV ZKLOH WKH DLU KDV LQWUXGHG LQ WKH IXHO V\VWHP IOXFWXDWLRQ LQ WKH FRPPRQ UDLO SUHVVXUH LV FDXVHG DQG '7& 3 PD\ EH GHWHFWHG &KHFN WKDW DQ DSSURSULDWH FODPS LV XVHG EHWZHHQ WKH IXHO WDQN DQG WKH IXHO VXSSO\ SXPS ,I D SUREOHP LV GLVFRYHUHG UHSODFH WKH FODPS 2SHUDWH WKH SULPLQJ SXPS XQWLO WKH KDQGOH EHFRPHV KHDY\

1RWH㸸 ࣭ &RQILUP WKDW WKH IXHO V\VWHP LV FRQQHFWHG VHFXUHO\ 5HPRYH WKH DLU XVLQJ WKH SULPLQJ SXPS DQG FUDQN WKH HQJLQH IRU WKH VSHFLILHG SHULRG RI WLPH RU VKRUWHU VSHFLILHG WLPH㸸 V 1RWH㸸 ࣭ 5HSHDW WKLV XQWLO WKH HQJLQH VWDUWV /HDYH WKH HQJLQH LGOLQJ IRU WKH VSHFLILHG SHULRG RI WLPH RU ORQJHU VSHFLILHG WLPH㸸 PLQ :KLOH NHHSLQJ WKH HQJLQH URWDWLQJ DW WKH VSHFLILHG HQJLQH 530 IRU WKH VSHFLILHG SHULRG RI WLPH FKHFN WKH SUHVVXUH JDXJH VSHFLILHG WLPH㸸 PLQ

1RWH㸸 ࣭ :KHQ D OHDN H[LVWV LQ WKH IXHO V\VWHP EHWZHHQ WKH SULPLQJ SXPS DQG WKH IXHO VXSSO\ SXPS WKH SUHVVLQJ ZHLJKW RI WKH SULPLQJ SXPS GRHV QRW EHFRPH KHDY\

&KHFN LI WKH SUHVVXUH JDXJH VKRZV D QHJDWLYH SUHVVXUH YDOXH DW RU DERYH WKH VWDQGDUG YDOXH GXULQJ LQVSHFWLRQ

6WDUW WKH HQJLQH

VSHFLILHG YDOXH㸸 N3D ^ PP+J 5 inHg `

,QVSHFW WKH KLJK SUHVVXUH VLGH RI WKH IXHO V\VWHP DQG FKHFN IRU IXHO OHDN EHWZHHQ WKH IXHO VXSSO\ SXPS DQG FRPPRQ UDLO

1RWH㸸 ࣭ )XHO FORJJLQJ LV FKHFNHG ZLWK WKH QHJDWLYH SUHVVXUH DPRXQW LQ WKH IXHO V\VWHP

1RWH㸸 ࣭ 7KH IXHO PD\ OHDN WR WKH ERWWRP VHFWLRQ RI WKH F\OLQGHU KHDG FRYHU IURP WKH KLJK SUHVVXUH KRVH LQOHW ࣭ 7KH HQJLQH RLO OHYHO LQFUHDVHV ZKHQ WKH IXHO OHDNV WR WKH ERWWRP SRUWLRQ RI WKH F\OLQGHU KHDG FRYHU ࣭ ,QVSHFW IRU IXHO OHDNV LQWR WKH HQJLQH RLO

,I WKH QHJDWLYH SUHVVXUH LV DW RU DERYH WKH VWDQGDUG YDOXH LQVSHFW WR VHH LI WKHUH LV GDPDJH RU WZLVWLQJ ZLWK WKH IXHO V\VWHP EHWZHHQ WKH IXHO VXSSO\ SXPS DQG WKH IXHO WDQN

,I IXHO OHDN LI IRXQG IL[ WKH SUREOHP

&KHFN WR VHH LI WKHUH LV DQ\ IRUHLJQ PDWWHU LQ WKH IXHO WDQN RU DQ\ IRUHLJQ PDWWHU ZKLFK FDQ FDXVH IXHO FORJJLQJ

7XUQ 2)) WKH VWDUWHU VZLWFK 5HPRYH WKH IXHO KRVH RQ WKH IXHO VXSSO\ SXPS VLGH IURP WKH IXHO ILOWHU 1RWH㸸 ࣭ 8VH D SDQ WR FDWFK WKH IXHO IURP WKH UHPRYHG IXHO KRVH ࣭ &OHDQ WKH SUHVVXUH JDXJH DQG FRQQHFWLRQ KRVH EHIRUH FRQQHFWLQJ WR WKH IXHO SLSH ࣭ 7KH IXHO VXSSO\ SXPS PD\ EH GDPDJHG GXH WR IRUHLJQ PDWWHU WKDW KDV HQWHUHG LQ WKH FRQQHFWLRQ KRVH &RQQHFW WKH SUHVVXUH JDXJH EHWZHHQ WKH IXHO ILOWHU DQG WKH UHPRYHG IXHO KRVH

URWDWLRQDO VSHHG㸸 U PLQ

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH IXHO V\VWHP ,QVSHFW WKH IXHO WDQN EHQW KRVH ,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH EHQW KRVH

,I D SUREOHP LV GLVFRYHUHG UHSDLU LW 5HSODFH WKH IXHO ILOWHU HOHPHQW 5HIHU WR (QJLQH & )XHO 6\VWHP +. )XHO ILOWHU HOHPHQW 5HPRYDO 5HIHU WR (QJLQH & )XHO 6\VWHP +. )XHO ILOWHU HOHPHQW ,QVWDOODWLRQ ,I WKH QHJDWLYH SUHVVXUH LV DW RU EHORZ WKH VWDQGDUG YDOXH SLQFK WKH IXHO KRVH DW D SRVLWLRQ DV FORVH DV SRVVLEOH WR WKH IXHO WDQN VR WKDW WKH IXHO GRHV QRW IORZ


(QJLQH &RQWURO +. $ 1RWH㸸 ࣭ :KHQ UHSODFLQJ WKH IXHO VXSSO\ SXPS LW LV UHTXLUHG WR DOVR UHSODFH WKH IXHO ILOWHU HOHPHQW DW WKH VDPH WLPH

1RWH㸸 ࣭ 7KH IXHO SLSH FDQ EH GLVFRQQHFWHG DQG FORJJHG ZLWK D SOXJ 6WDUW WKH HQJLQH DQG XVH WKH LGOLQJ FRQWURO VZLWFK WR LQFUHDVH WKH 530 WR WKH KLJKHVW OHYHO

3HUIRUP WKH XQLW GLIIHUHQFH OHDUQLQJ RI WKH IXHO VXSSO\ SXPS WR WKH (&0

&KHFN WKH SUHVVXUH JDXJH VSHFLILHG YDOXH㸸 N3D ^ PP+J 8 inHg ` 1RWH㸸 ࣭ :KHQ WKH SUHVVXUH JDXJH LV OLNHO\ WR LQGLFDWH D YDOXH H[FHHGLQJ WKH VWDQGDUG YDOXH GXULQJ LQVSHFWLRQ UHOHDVH WKH IXHO EHLQJ EORFNHG ࣭ $LU PL[WXUH LV FKHFNHG ZLWK WKH QHJDWLYH SUHVVXUH DPRXQW ZKLOH WKH IXHO IORZ LV EHLQJ EORFNHG ,I WKH VWDQGDUG QHJDWLYH SUHVVXUH FDQQRW EH JHQHUDWHG LQVSHFW WR VHH LI WKHUH LV D FXW RU FUDFN ZLWK WKH IXHO KRVH ,I D SUREOHP LV GLVFRYHUHG UHSODFH WKH IXHO KRVH ,QVSHFW WR VHH LI DSSURSULDWH FODPS LV XVHG ,I D SUREOHP LV GLVFRYHUHG UHSODFH WKH FODPS ZLWK DQ DSSURSULDWH RQH 7XUQ 2)) WKH VWDUWHU VZLWFK ,QVSHFW WKH VXFWLRQ FRQWURO YDOYH KDUQHVV FRQQHFWRU IRU D FRQWDFW IDLOXUH ,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KDUQHVV FRQQHFWRU ,QVSHFW WKH (&0 KDUQHVV FRQQHFWRU IRU D FRQWDFW IDLOXUH ,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KDUQHVV FRQQHFWRU ,QVSHFW HDFK FLUFXLW IRU KLJK UHVLVWDQFH 5HSDLU WKH FLUFXLW LI D SUREOHP LV GLVFRYHUHG ,I WKH VXFWLRQ FRQWURO YDOYH KDUQHVV FRQQHFWRU DQG WKH (&0 KDUQHVV FRQQHFWRU DUH QRUPDO DQG WKHUH LV QR KLJK UHVLVWDQFH LQ HDFK FLUFXLW UHSODFH WKH IXHO VXSSO\ SXPS DQG WKH IXHO ILOWHU HOHPHQW 5HIHU WR (QJLQH & )XHO 6\VWHP +. )XHO VXSSO\ SXPS 5HPRYDO 5HIHU WR (QJLQH & )XHO 6\VWHP +. )XHO VXSSO\ SXPS ,QVWDOODWLRQ 5HIHU WR (QJLQH & )XHO 6\VWHP +. )XHO ILOWHU HOHPHQW 5HPRYDO 5HIHU WR (QJLQH & )XHO 6\VWHP +. )XHO ILOWHU HOHPHQW ,QVWDOODWLRQ

'7& 3 &RQILUP 5HVROXWLRQ

&OHDU WKH '7& XVLQJ WKH WURXEOH GLDJQRVLV VFDQ WRRO

7XUQ WKH VWDUWHU VZLWFK 2)) IRU VHFRQGV RU ORQJHU

6WDUW WKH HQJLQH

3HUIRUP D WHVW UXQ

8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FRQILUP WKDW D '7& KDV QRW EHHQ GHWHFWHG


$ (QJLQH &RQWURO +.

'7& 3 )ODVK &RGH )XHO 5DLO 6\VWHP 3UHVVXUH 7RR +LJK

'7& 3 3ULRULW\ '7& '7& 3 '7& 3 '7& 3 '7& 3 '7& 3 '7& 3 '7& 3 '7& 3 '7& 3 '7& 3 '7& 3 '7& 3 '7& 3

'7& 3 'LDJQRVWLFV

,I WKH IXHO UDLO SUHVVXUH VHQVRU GLVSOD\ LV RXWVLGH WKH VWDQGDUG UDQJH LQVSHFW WKH IXHO SUHVVXUH VHQVRU KDUQHVV FRQQHFWRU IRU D FRQWDFW IDLOXUH

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KDUQHVV FRQQHFWRU ,QVSHFW WKH (&0 KDUQHVV FRQQHFWRU IRU D FRQWDFW IDLOXUH ,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KDUQHVV FRQQHFWRU ,QVSHFW HDFK FLUFXLW IRU KLJK UHVLVWDQFH ,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH FLUFXLW ,I WKH KDUQHVV FRQQHFWRU DQG HDFK FLUFXLW DUH QRUPDO UHSODFH WKH IXHO SUHVVXUH VHQVRU 5HIHU WR (QJLQH & )XHO 6\VWHP +. &RPPRQ UDLO DVVHPEO\ 5HPRYDO 5HIHU WR (QJLQH & )XHO 6\VWHP +. &RPPRQ UDLO DVVHPEO\ ,QVWDOODWLRQ 1RWH㸸 ࣭ 'R QRW UHSODFH WKH IXHO SUHVVXUH VHQVRU VHSDUDWHO\ :KHQ D SUREOHP LV IRXQG UHSODFH WKH FRPPRQ UDLO DVVHPEO\

6WDUW WKH HQJLQH

5HY WKH HQJLQH D IHZ WLPHV LQ QHXWUDO ZKLOH FKHFNLQJ WKH DFWXDO IXHO UDLO SUHVVXUH GLVSOD\ ZLWK WKH WURXEOH GLDJQRVLV VFDQ WRRO

6WDUW WKH HQJLQH

&KHFN WKH DFWXDO IXHO UDLO SUHVVXUH GLVSOD\ ZLWK WKH WURXEOH GLDJQRVLV VFDQ WRRO

3HUIRUP WKH LQMHFWRU VWRS WHVW ZLWK WKH WURXEOH GLDJQRVLV VFDQ WRRO

6WDQGDUG YDOXH 㸸 03D

,I LW LV DW RU EHORZ WKH VWDQGDUG YDOXH UHSODFH WKH IXHO ILOWHU HOHPHQW

1RWH㸸 ࣭ $Q LQWHUPLWWHQW SUREOHP GXH WR IRUHLJQ PDWWHU LQ WKH IXHO LV VXVSHFWHG

&RPPDQG HDFK LQMHFWRU 2)) DQG FRQILUP WKDW WKH HQJLQH 530 FKDQJHV RQ HDFK LQMHFWRU ,I DQ\ LQMHFWRU GRHV QRW FKDQJH WKH HQJLQH 530 ZKHQ 2)) LV LQVWUXFWHG UHSODFH WKH UHOHYDQW LQMHFWRU 5HIHU WR (QJLQH & )XHO 6\VWHP +. ,QMHFWRU 5HPRYDO

5HIHU WR (QJLQH & )XHO 6\VWHP +. )XHO ILOWHU HOHPHQW 5HPRYDO

5HIHU WR (QJLQH & )XHO 6\VWHP +. ,QMHFWRU ,QVWDOODWLRQ

5HIHU WR (QJLQH & )XHO 6\VWHP +. )XHO ILOWHU HOHPHQW ,QVWDOODWLRQ

:KHQ WKH LQMHFWRU KDV EHHQ UHSODFHG VHW WKH LQMHFWRU ,' FRGH RQ WKH (&0

7XUQ 2)) WKH VWDUWHU VZLWFK

:DLW IRU WKH VSHFLILHG SHULRG RI WLPH XQWLO WKH IXHO SUHVVXUH LV UHOHDVHG IURP WKH FRPPRQ UDLO

,QVSHFW WR VHH LI WKHUH LV FORJJLQJ ZLWK WKH IXHO V\VWHP EHWZHHQ WKH IXHO WDQN DQG WKH IXHO VXSSO\ SXPS

VSHFLILHG WLPH㸸 PLQ

7XUQ 21 WKH VWDUWHU VZLWFK

&KHFN WKH IXHO UDLO SUHVVXUH VHQVRU GLVSOD\ ZLWK WKH WURXEOH GLDJQRVLV VFDQ WRRO

YROWDJH㸸 WR 9

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH FORJJLQJ RI WKH IXHO V\VWHP ,QVSHFW WKH IXHO KRVH EHWZHHQ WKH IXHO WDQN DQG WKH IXHO VXSSO\ SXPS IRU D FXW DQG FUDFN ,I D SUREOHP LV GLVFRYHUHG UHSODFH WKH IXHO KRVH


(QJLQH &RQWURO +. $ 1RWH㸸 ࣭ 7KH IXHO KRVH EHWZHHQ WKH IXHO WDQN DQG WKH IXHO VXSSO\ SXPS EHFRPHV QHJDWLYH SUHVVXUH VWDWH ZKHQ WKH HQJLQH LV UXQQLQJ ࣭ :KHQ WKH IXHO KRVH LV QRW FRQQHFWHG VHFXUHO\ WKH DLU FDQ HQWHU ࣭ :KHQ WKH HQJLQH 530 RU WKH HQJLQH ORDG LQFUHDVHV ZKLOH WKH DLU KDV LQWUXGHG LQ WKH IXHO V\VWHP IOXFWXDWLRQ LQ WKH FRPPRQ UDLO SUHVVXUH LV FDXVHG DQG '7& 3 PD\ EH GHWHFWHG &KHFN WKDW DQ DSSURSULDWH FODPS LV XVHG EHWZHHQ WKH IXHO WDQN DQG WKH IXHO VXSSO\ SXPS ,I D SUREOHP LV GLVFRYHUHG UHSODFH WKH FODPS 2SHUDWH WKH SULPLQJ SXPS XQWLO WKH KDQGOH EHFRPHV KHDY\

1RWH㸸 ࣭ &RQILUP WKDW WKH IXHO V\VWHP LV FRQQHFWHG VHFXUHO\ 5HPRYH WKH DLU XVLQJ WKH SULPLQJ SXPS DQG FUDQN WKH HQJLQH IRU WKH VSHFLILHG SHULRG RI WLPH RU VKRUWHU VSHFLILHG WLPH㸸 V 1RWH㸸 ࣭ 5HSHDW WKLV XQWLO WKH HQJLQH VWDUWV /HDYH WKH HQJLQH LGOLQJ IRU WKH VSHFLILHG SHULRG RI WLPH RU ORQJHU VSHFLILHG WLPH㸸 PLQ :KLOH NHHSLQJ WKH HQJLQH URWDWLQJ DW WKH VSHFLILHG HQJLQH 530 IRU WKH VSHFLILHG SHULRG RI WLPH FKHFN WKH SUHVVXUH JDXJH VSHFLILHG WLPH㸸 PLQ

1RWH㸸 ࣭ :KHQ D OHDN H[LVWV LQ WKH IXHO V\VWHP EHWZHHQ WKH SULPLQJ SXPS DQG WKH IXHO VXSSO\ SXPS WKH SUHVVLQJ ZHLJKW RI WKH SULPLQJ SXPS GRHV QRW EHFRPH KHDY\

&KHFN LI WKH SUHVVXUH JDXJH VKRZV D QHJDWLYH SUHVVXUH YDOXH DW RU DERYH WKH VWDQGDUG YDOXH GXULQJ LQVSHFWLRQ

6WDUW WKH HQJLQH

VSHFLILHG YDOXH㸸 N3D ^ PP+J 5 inHg `

,QVSHFW WKH KLJK SUHVVXUH VLGH RI WKH IXHO V\VWHP DQG FKHFN IRU IXHO OHDN EHWZHHQ WKH IXHO VXSSO\ SXPS DQG FRPPRQ UDLO

1RWH㸸 ࣭ )XHO FORJJLQJ LV FKHFNHG ZLWK WKH QHJDWLYH SUHVVXUH DPRXQW LQ WKH IXHO V\VWHP

1RWH㸸 ࣭ 7KH IXHO PD\ OHDN WR WKH ERWWRP VHFWLRQ RI WKH F\OLQGHU KHDG FRYHU IURP WKH KLJK SUHVVXUH KRVH LQOHW ࣭ 7KH HQJLQH RLO OHYHO LQFUHDVHV ZKHQ WKH IXHO OHDNV WR WKH ERWWRP SRUWLRQ RI WKH F\OLQGHU KHDG FRYHU ࣭ ,QVSHFW IRU IXHO OHDNV LQWR WKH HQJLQH RLO

,I WKH QHJDWLYH SUHVVXUH LV DW RU DERYH WKH VWDQGDUG YDOXH LQVSHFW WR VHH LI WKHUH LV GDPDJH RU WZLVWLQJ ZLWK WKH IXHO V\VWHP EHWZHHQ WKH IXHO VXSSO\ SXPS DQG WKH IXHO WDQN

,I IXHO OHDN LI IRXQG IL[ WKH SUREOHP

&KHFN WR VHH LI WKHUH LV DQ\ IRUHLJQ PDWWHU LQ WKH IXHO WDQN RU DQ\ IRUHLJQ PDWWHU ZKLFK FDQ FDXVH IXHO FORJJLQJ

7XUQ 2)) WKH VWDUWHU VZLWFK 5HPRYH WKH IXHO KRVH RQ WKH IXHO VXSSO\ SXPS VLGH IURP WKH IXHO ILOWHU 1RWH㸸 ࣭ 8VH D SDQ WR FDWFK WKH IXHO IURP WKH UHPRYHG IXHO KRVH ࣭ &OHDQ WKH SUHVVXUH JDXJH DQG FRQQHFWLRQ KRVH EHIRUH FRQQHFWLQJ WR WKH IXHO SLSH ࣭ 7KH IXHO VXSSO\ SXPS PD\ EH GDPDJHG GXH WR IRUHLJQ PDWWHU WKDW KDV HQWHUHG LQ WKH FRQQHFWLRQ KRVH &RQQHFW WKH SUHVVXUH JDXJH EHWZHHQ WKH IXHO ILOWHU DQG WKH UHPRYHG IXHO KRVH

URWDWLRQDO VSHHG㸸 U PLQ

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH IXHO V\VWHP ,QVSHFW WKH IXHO WDQN EHQW KRVH ,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH EHQW KRVH

,I D SUREOHP LV GLVFRYHUHG UHSDLU LW 5HSODFH WKH IXHO ILOWHU HOHPHQW 5HIHU WR (QJLQH & )XHO 6\VWHP +. )XHO ILOWHU HOHPHQW 5HPRYDO 5HIHU WR (QJLQH & )XHO 6\VWHP +. )XHO ILOWHU HOHPHQW ,QVWDOODWLRQ ,I WKH QHJDWLYH SUHVVXUH LV DW RU EHORZ WKH VWDQGDUG YDOXH SLQFK WKH IXHO KRVH DW D SRVLWLRQ DV FORVH DV SRVVLEOH WR WKH IXHO WDQN VR WKDW WKH IXHO GRHV QRW IORZ


$ (QJLQH &RQWURO +. 1RWH㸸 ࣭ :KHQ UHSODFLQJ WKH IXHO VXSSO\ SXPS LW LV UHTXLUHG WR DOVR UHSODFH WKH IXHO ILOWHU HOHPHQW DW WKH VDPH WLPH

1RWH㸸 ࣭ 7KH IXHO SLSH FDQ EH GLVFRQQHFWHG DQG FORJJHG ZLWK D SOXJ 6WDUW WKH HQJLQH DQG XVH WKH LGOLQJ FRQWURO VZLWFK WR LQFUHDVH WKH 530 WR WKH KLJKHVW OHYHO

3HUIRUP WKH XQLW GLIIHUHQFH OHDUQLQJ RI WKH IXHO VXSSO\ SXPS WR WKH (&0

&KHFN WKH SUHVVXUH JDXJH VSHFLILHG YDOXH㸸 N3D ^ PP+J 8 inHg ` 1RWH㸸 ࣭ :KHQ WKH SUHVVXUH JDXJH LV OLNHO\ WR LQGLFDWH D YDOXH H[FHHGLQJ WKH VWDQGDUG YDOXH GXULQJ LQVSHFWLRQ UHOHDVH WKH IXHO EHLQJ EORFNHG ࣭ $LU PL[WXUH LV FKHFNHG ZLWK WKH QHJDWLYH SUHVVXUH DPRXQW ZKLOH WKH IXHO IORZ LV EHLQJ EORFNHG ,I WKH VWDQGDUG QHJDWLYH SUHVVXUH FDQQRW EH JHQHUDWHG LQVSHFW WR VHH LI WKHUH LV D FXW RU FUDFN ZLWK WKH IXHO KRVH ,I D SUREOHP LV GLVFRYHUHG UHSODFH WKH IXHO KRVH ,QVSHFW WR VHH LI DSSURSULDWH FODPS LV XVHG ,I D SUREOHP LV GLVFRYHUHG UHSODFH WKH FODPS ZLWK DQ DSSURSULDWH RQH 7XUQ 2)) WKH VWDUWHU VZLWFK ,QVSHFW WKH VXFWLRQ FRQWURO YDOYH KDUQHVV FRQQHFWRU IRU D FRQWDFW IDLOXUH ,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KDUQHVV FRQQHFWRU ,QVSHFW WKH (&0 KDUQHVV FRQQHFWRU IRU D FRQWDFW IDLOXUH ,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KDUQHVV FRQQHFWRU ,QVSHFW HDFK FLUFXLW IRU KLJK UHVLVWDQFH 5HSDLU WKH FLUFXLW LI D SUREOHP LV GLVFRYHUHG ,I WKH VXFWLRQ FRQWURO YDOYH KDUQHVV FRQQHFWRU DQG WKH (&0 KDUQHVV FRQQHFWRU DUH QRUPDO DQG WKHUH LV QR KLJK UHVLVWDQFH LQ HDFK FLUFXLW UHSODFH WKH IXHO VXSSO\ SXPS DQG WKH IXHO ILOWHU HOHPHQW 5HIHU WR (QJLQH & )XHO 6\VWHP +. )XHO VXSSO\ SXPS 5HPRYDO 5HIHU WR (QJLQH & )XHO 6\VWHP +. )XHO VXSSO\ SXPS ,QVWDOODWLRQ 5HIHU WR (QJLQH & )XHO 6\VWHP +. )XHO ILOWHU HOHPHQW 5HPRYDO 5HIHU WR (QJLQH & )XHO 6\VWHP +. )XHO ILOWHU HOHPHQW ,QVWDOODWLRQ

'7& 3 &RQILUP 5HVROXWLRQ

&OHDU WKH '7& XVLQJ WKH WURXEOH GLDJQRVLV VFDQ WRRO

7XUQ WKH VWDUWHU VZLWFK 2)) IRU VHFRQGV RU ORQJHU

6WDUW WKH HQJLQH

3HUIRUP D WHVW UXQ

8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FRQILUP WKDW D '7& KDV QRW EHHQ GHWHFWHG


(QJLQH &RQWURO +. $

'7& 3 )ODVK &RGH )XHO 3UHVVXUH 5HJXODWRU 3HUIRUPDQFH

'7& 3 3ULRULW\ '7& '7& 3 '7& 3 '7& 3 '7& 3 '7& 3 '7& 3 '7& 3 '7& 3

1RWH㸸 ࣭ 'R QRW UHSODFH WKH IXHO SUHVVXUH VHQVRU VHSDUDWHO\ :KHQ D SUREOHP LV IRXQG UHSODFH WKH FRPPRQ UDLO DVVHPEO\ ,QVSHFW WKH VXFWLRQ FRQWURO YDOYH KDUQHVV FRQQHFWRU IRU D FRQWDFW IDLOXUH ,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KDUQHVV FRQQHFWRU ,QVSHFW WKH (&0 KDUQHVV FRQQHFWRU IRU D FRQWDFW IDLOXUH

'7& 3

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KDUQHVV FRQQHFWRU

'7& 3

,QVSHFW HDFK FLUFXLW IRU KLJK UHVLVWDQFH

'7& 3

5HSDLU WKH FLUFXLW LI D SUREOHP LV GLVFRYHUHG

'7& 3

7XUQ WKH VWDUWHU VZLWFK 2)) IRU VHFRQGV RU ORQJHU

'7& 3 'LDJQRVWLFV

:DLW IRU WKH VSHFLILHG SHULRG RI WLPH XQWLO WKH IXHO SUHVVXUH LV UHOHDVHG IURP WKH FRPPRQ UDLO

VSHFLILHG WLPH㸸 PLQ

&KHFN WKH IXHO UDLO SUHVVXUH VHQVRU GLVSOD\ ZLWK WKH WURXEOH GLDJQRVLV VFDQ WRRO

6WDUW WKH HQJLQH 5HY WKH HQJLQH D IHZ WLPHV LQ QHXWUDO ZKLOH FKHFNLQJ WKH DFWXDO IXHO UDLO SUHVVXUH GLVSOD\ ZLWK WKH WURXEOH GLDJQRVLV VFDQ WRRO 8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FKHFN LI WKH DFWXDO IXHO UDLO SUHVVXUH GLVSOD\ VKRZV D YDOXH ZLWKLQ WKH VWDQGDUG UDQJH DW D VXIILFLHQW UDWH

YROWDJH㸸 WR 9

6WDQGDUG YDOXHV 03D

,I WKH IXHO UDLO SUHVVXUH VHQVRU GLVSOD\ LV RXWVLGH WKH VWDQGDUG UDQJH LQVSHFW WKH IXHO SUHVVXUH VHQVRU KDUQHVV FRQQHFWRU IRU D FRQWDFW IDLOXUH

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KDUQHVV FRQQHFWRU

1RWH㸸 ࣭ ,I SRVVLEOH FRPSDUH ZLWK RWKHU DFWXDO XQLW HTXLSSHG ZLWK WKH VDPH PRGHO HQJLQH

,QVSHFW WKH (&0 KDUQHVV FRQQHFWRU IRU D FRQWDFW IDLOXUH

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KDUQHVV FRQQHFWRU

,QVSHFW HDFK FLUFXLW IRU KLJK UHVLVWDQFH

5HSDLU WKH FLUFXLW LI D SUREOHP LV GLVFRYHUHG

,I LW LV RXWVLGH WKH VWDQGDUG UDQJH UHSODFH WKH IXHO VXSSO\ SXPS DQG WKH IXHO ILOWHU HOHPHQW

,I WKH KDUQHVV FRQQHFWRU DQG HDFK FLUFXLW DUH QRUPDO UHSODFH WKH IXHO SUHVVXUH VHQVRU

5HIHU WR (QJLQH & )XHO 6\VWHP +. )XHO VXSSO\ SXPS 5HPRYDO

,I LW LV ZLWKLQ WKH VWDQGDUG UDQJH UHSODFH WKH IXHO ILOWHU HOHPHQW 5HIHU WR (QJLQH & )XHO 6\VWHP +. )XHO ILOWHU HOHPHQW 5HPRYDO 5HIHU WR (QJLQH & )XHO 6\VWHP +. )XHO ILOWHU HOHPHQW ,QVWDOODWLRQ

5HIHU WR (QJLQH & )XHO 6\VWHP +. &RPPRQ UDLO DVVHPEO\ 5HPRYDO

5HIHU WR (QJLQH & )XHO 6\VWHP +. )XHO VXSSO\ SXPS ,QVWDOODWLRQ

5HIHU WR (QJLQH & )XHO 6\VWHP +. &RPPRQ UDLO DVVHPEO\ ,QVWDOODWLRQ

5HIHU WR (QJLQH & )XHO 6\VWHP +. )XHO ILOWHU HOHPHQW 5HPRYDO 5HIHU WR (QJLQH & )XHO 6\VWHP +. )XHO ILOWHU HOHPHQW ,QVWDOODWLRQ


$ (QJLQH &RQWURO +. 1RWH㸸 ࣭ :KHQ UHSODFLQJ WKH IXHO VXSSO\ SXPS LW LV UHTXLUHG WR DOVR UHSODFH WKH IXHO ILOWHU HOHPHQW DW WKH VDPH WLPH 3HUIRUP WKH XQLW GLIIHUHQFH OHDUQLQJ RI WKH IXHO VXSSO\ SXPS WR WKH (&0

'7& 3 &RQILUP 5HVROXWLRQ

&OHDU WKH '7& XVLQJ WKH WURXEOH GLDJQRVLV VFDQ WRRO

7XUQ WKH VWDUWHU VZLWFK 2)) IRU VHFRQGV RU ORQJHU

6WDUW WKH HQJLQH

3HUIRUP D WHVW UXQ

8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FRQILUP WKDW D '7& KDV QRW EHHQ GHWHFWHG


(QJLQH &RQWURO +. $

'7& 3 )ODVK &RGH )XHO 3UHVVXUH 5HJXODWRU &RQWURO &LUFXLW /RZ

,I LW GRHV QRW WXUQ RII LQVSHFW WKH /RZ VLGH FLUFXLW EHWZHHQ WKH (&0 DQG VXFWLRQ FRQWURO YDOYH

'7& 3 'LDJQRVWLFV

&KHFN WKH UDLO SUHVVXUH UHJXODWRU IHHGEDFN FXUUHQW GLVSOD\ ZLWK WKH WURXEOH GLDJQRVLV VFDQ WRRO

࣭7KHUH VKRXOG EH QR RSHQ FLUFXLW RU KLJK UHVLVWDQFH ࣭7KHUH VKRXOG EH QR VKRUW WR WKH EDWWHU\ RU LJQLWLRQ SRZHU VXSSO\

FXUUHQW㸸 WR P$

,I LW LV DW RU DERYH WKH VWDQGDUG YDOXH LQVSHFW WR VHH LI WKHUH LV D VKRUW FLUFXLW WR WKH EDWWHU\ RU LJQLWLRQ SRZHU VXSSO\ ZLWK WKH +LJK VLGH FLUFXLW EHWZHHQ WKH (&0 DQG WKH VXFWLRQ FRQWURO YDOYH

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH /RZ VLGH FLUFXLW ,QVSHFW WKH VXFWLRQ FRQWURO YDOYH KDUQHVV FRQQHFWRU IRU D FRQWDFW IDLOXUH

1RWH㸸 ࣭ :KHQ WKH +LJK VLGH FLUFXLW LV VKRUWHG WR WKH YROWDJH WKH HQJLQH VWDOOV DQG GRHV QRW VWDUW

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KDUQHVV FRQQHFWRU

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH +LJK VLGH FLUFXLW

,I WKH KDUQHVV FRQQHFWRU LV QRUPDO UHSODFH WKH VXFWLRQ FRQWURO YDOYH

,I LW LV ZLWKLQ WKH VWDQGDUG UDQJH LQVSHFW WR VHH LI WKHUH LV D VKRUW FLUFXLW WR WKH *1' ZLWK WKH /RZ VLGH FLUFXLW EHWZHHQ WKH (&0 DQG WKH VXFWLRQ FRQWURO YDOYH

5HIHU WR (QJLQH & )XHO 6\VWHP +. 6XFWLRQ FRQWURO YDOYH 5HPRYDO

1RWH㸸 ࣭ :KHQ WKH /RZ VLGH FLUFXLW LV VKRUWHG WR *1' '7& 3 PD\ QRW EH GHWHFWHG ࣭ :KHQ WKH /RZ VLGH FLUFXLW LV VKRUWHG WR *1' WKH HQJLQH VWDOOV DQG GRHV QRW VWDUW

,QVSHFW WKH (&0 KDUQHVV FRQQHFWRU IRU D FRQWDFW IDLOXUH

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH /RZ VLGH FLUFXLW

7XUQ WKH VWDUWHU VZLWFK 2)) IRU VHFRQGV RU ORQJHU

'LVFRQQHFW WKH KDUQHVV FRQQHFWRU IURP WKH VXFWLRQ FRQWURO YDOYH

&RQQHFW WKH WHVW OLJKW EHWZHHQ WKH VXFWLRQ FRQWURO YDOYH +LJK VLGH FLUFXLW DQG D QRUPDO *1'

7XUQ 21 WKH VWDUWHU VZLWFK

&KHFN LI WKH WHVW OLJKW FRPHV RQ DQG WKHQ JRHV RII ,I LW GRHV QRW WXUQ RII LQVSHFW WKH +LJK VLGH FLUFXLW EHWZHHQ WKH (&0 DQG WKH VXFWLRQ FRQWURO YDOYH ࣭7KHUH VKRXOG EH QR RSHQ FLUFXLW RU KLJK UHVLVWDQFH ࣭7KHUH VKRXOG EH QR VKRUW WR *1' ࣭7KHUH VKRXOG EH QR VKRUW WR WKH /2: VLGH FLUFXLW ,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH +LJK VLGH FLUFXLW 7XUQ WKH VWDUWHU VZLWFK 2)) IRU VHFRQGV RU ORQJHU &RQQHFW WKH WHVW OLJKW EHWZHHQ WKH VXFWLRQ FRQWURO YDOYH /RZ VLGH FLUFXLW DQG EDWWHU\ SRZHU VXSSO\ 7XUQ 21 WKH VWDUWHU VZLWFK &KHFN LI WKH WHVW OLJKW FRPHV RQ DQG WKHQ JRHV RII

5HIHU WR (QJLQH & )XHO 6\VWHP +. 6XFWLRQ FRQWURO YDOYH ,QVWDOODWLRQ

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KDUQHVV FRQQHFWRU ,I WKH KDUQHVV FRQQHFWRU LV QRUPDO UHSODFH WKH (&0 5HIHU WR (QJLQH - (OHFWULFDO +. (&0 5HPRYDO 5HIHU WR (QJLQH - (OHFWULFDO +. (&0 ,QVWDOODWLRQ 6HW WKH LQMHFWRU ,' FRGH RQ WKH (&0 3HUIRUP WKH XQLW GLIIHUHQFH OHDUQLQJ RI WKH IXHO VXSSO\ SXPS WR WKH (&0

'7& 3 &RQILUP 5HVROXWLRQ

&OHDU WKH '7& XVLQJ WKH WURXEOH GLDJQRVLV VFDQ WRRO

7XUQ WKH VWDUWHU VZLWFK 2)) IRU VHFRQGV RU ORQJHU

6WDUW WKH HQJLQH

3HUIRUP D WHVW UXQ

8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FRQILUP WKDW D '7& KDV QRW EHHQ GHWHFWHG


$ (QJLQH &RQWURO +.

'7& 3 )ODVK &RGH )XHO 3UHVVXUH 5HJXODWRU &RQWURO &LUFXLW +LJK

,I LW GRHV QRW WXUQ RII LQVSHFW WKH /RZ VLGH FLUFXLW EHWZHHQ WKH (&0 DQG VXFWLRQ FRQWURO YDOYH

'7& 3 'LDJQRVWLFV

&KHFN WKH UDLO SUHVVXUH UHJXODWRU IHHGEDFN FXUUHQW GLVSOD\ ZLWK WKH WURXEOH GLDJQRVLV VFDQ WRRO

࣭7KHUH VKRXOG EH QR RSHQ FLUFXLW RU KLJK UHVLVWDQFH ࣭7KHUH VKRXOG EH QR VKRUW WR WKH EDWWHU\ RU LJQLWLRQ SRZHU VXSSO\

FXUUHQW㸸 WR P$

,I LW LV DW RU DERYH WKH VWDQGDUG YDOXH LQVSHFW WR VHH LI WKHUH LV D VKRUW FLUFXLW WR WKH EDWWHU\ RU LJQLWLRQ SRZHU VXSSO\ ZLWK WKH +LJK VLGH FLUFXLW EHWZHHQ WKH (&0 DQG WKH VXFWLRQ FRQWURO YDOYH

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH /RZ VLGH FLUFXLW ,QVSHFW WKH VXFWLRQ FRQWURO YDOYH KDUQHVV FRQQHFWRU IRU D FRQWDFW IDLOXUH

1RWH㸸 ࣭ :KHQ WKH +LJK VLGH FLUFXLW LV VKRUWHG WR WKH YROWDJH WKH HQJLQH VWDOOV DQG GRHV QRW VWDUW

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KDUQHVV FRQQHFWRU

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH +LJK VLGH FLUFXLW

,I WKH KDUQHVV FRQQHFWRU LV QRUPDO UHSODFH WKH VXFWLRQ FRQWURO YDOYH

,I LW LV ZLWKLQ WKH VWDQGDUG UDQJH LQVSHFW WR VHH LI WKHUH LV D VKRUW FLUFXLW WR WKH *1' ZLWK WKH /RZ VLGH FLUFXLW EHWZHHQ WKH (&0 DQG WKH VXFWLRQ FRQWURO YDOYH

5HIHU WR (QJLQH & )XHO 6\VWHP +. 6XFWLRQ FRQWURO YDOYH 5HPRYDO

1RWH㸸 ࣭ :KHQ WKH /RZ VLGH FLUFXLW LV VKRUWHG WR *1' '7& 3 PD\ QRW EH GHWHFWHG ࣭ :KHQ WKH /RZ VLGH FLUFXLW LV VKRUWHG WR *1' WKH HQJLQH VWDOOV DQG GRHV QRW VWDUW

,QVSHFW WKH (&0 KDUQHVV FRQQHFWRU IRU D FRQWDFW IDLOXUH

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH /RZ VLGH FLUFXLW

7XUQ WKH VWDUWHU VZLWFK 2)) IRU VHFRQGV RU ORQJHU

'LVFRQQHFW WKH KDUQHVV FRQQHFWRU IURP WKH VXFWLRQ FRQWURO YDOYH

&RQQHFW WKH WHVW OLJKW EHWZHHQ WKH VXFWLRQ FRQWURO YDOYH +LJK VLGH FLUFXLW DQG D QRUPDO *1'

7XUQ 21 WKH VWDUWHU VZLWFK

&KHFN LI WKH WHVW OLJKW FRPHV RQ DQG WKHQ JRHV RII ,I LW GRHV QRW WXUQ RII LQVSHFW WKH +LJK VLGH FLUFXLW EHWZHHQ WKH (&0 DQG WKH VXFWLRQ FRQWURO YDOYH ࣭7KHUH VKRXOG EH QR RSHQ FLUFXLW RU KLJK UHVLVWDQFH ࣭7KHUH VKRXOG EH QR VKRUW WR *1' ࣭7KHUH VKRXOG EH QR VKRUW WR WKH /2: VLGH FLUFXLW ,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH +LJK VLGH FLUFXLW 7XUQ WKH VWDUWHU VZLWFK 2)) IRU VHFRQGV RU ORQJHU &RQQHFW WKH WHVW OLJKW EHWZHHQ WKH VXFWLRQ FRQWURO YDOYH /RZ VLGH FLUFXLW DQG EDWWHU\ SRZHU VXSSO\ 7XUQ 21 WKH VWDUWHU VZLWFK &KHFN LI WKH WHVW OLJKW FRPHV RQ DQG WKHQ JRHV RII

5HIHU WR (QJLQH & )XHO 6\VWHP +. 6XFWLRQ FRQWURO YDOYH ,QVWDOODWLRQ

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KDUQHVV FRQQHFWRU ,I WKH KDUQHVV FRQQHFWRU LV QRUPDO UHSODFH WKH (&0 5HIHU WR (QJLQH - (OHFWULFDO +. (&0 5HPRYDO 5HIHU WR (QJLQH - (OHFWULFDO +. (&0 ,QVWDOODWLRQ 6HW WKH LQMHFWRU ,' FRGH RQ WKH (&0 3HUIRUP WKH XQLW GLIIHUHQFH OHDUQLQJ RI WKH IXHO VXSSO\ SXPS WR WKH (&0

'7& 3 &RQILUP 5HVROXWLRQ

&OHDU WKH '7& XVLQJ WKH WURXEOH GLDJQRVLV VFDQ WRRO

7XUQ WKH VWDUWHU VZLWFK 2)) IRU VHFRQGV RU ORQJHU

6WDUW WKH HQJLQH

3HUIRUP D WHVW UXQ

8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FRQILUP WKDW D '7& KDV QRW EHHQ GHWHFWHG


(QJLQH &RQWURO +. $

'7& 3 )ODVK &RGH )XHO 6\VWHP /HDN 'HWHFWHG

'7& 3 3ULRULW\ '7& '7& 3 '7& 3 '7& 3 '7& 3

࣭ :KHQ IRUHLJQ PDWWHU KDV EHHQ DWWDFKHG UHSODFH WKH LQMHFWRU DQG WKH KLJK SUHVVXUH SLSH

5HPRYH HDFK JORZ SOXJ IURP WKH F\OLQGHU KHDG DVVHPEO\

'7& 3

5HIHU WR (QJLQH % 0HFKDQLFDO +. &\OLQGHU KHDG DVVHPEO\ 5HPRYDO

'7& 3

,QVSHFW IRU IXHO OHDNV LQWR WKH FRPEXVWLRQ FKDPEHU

'7& 3

,QVSHFW WR VHH LI WKHUH LV D F\OLQGHU IURP ZKLFK IXHO OHDNV LQWR WKH FRPEXVWLRQ FKDPEHU

,I IXHO OHDN LV IRXQG UHSODFH WKH FRUUHVSRQGLQJ LQMHFWRU

'7& 3 '7& 3 '7& 3 '7& 3 '7& 3 '7& 3

'7& 3 'LDJQRVWLFV

,QVSHFW IRU IXHO OHDNV RQ WKH KLJK SUHVVXUH VLGH EHWZHHQ WKH IXHO VXSSO\ SXPS DQG LQMHFWRU

࣭7KHUH VKRXOG EH QR IXHO OHDNDJH IURP WKH IXHO VXSSO\ SXPS ࣭7KHUH VKRXOG EH QR IXHO OHDNDJH IURP WKH FRPPRQ UDLO ࣭7KHUH VKRXOG EH QR IXHO OHDNDJH IURP WKH SUHVVXUH OLPLWHU YDOYH ࣭7KHUH VKRXOG EH QR IXHO OHDNDJH IURP WKH IXHO SUHVVXUH VHQVRU ࣭7KHUH VKRXOG EH QR IXHO OHDNDJH IURP WKH IXHO SLSH EHWZHHQ WKH IXHO VXSSO\ SXPS DQG FRPPRQ UDLO ࣭7KHUH VKRXOG EH QR IXHO OHDNDJH IURP WKH IXHO SLSH EHWZHHQ WKH FRPPRQ UDLO DQG LQMHFWRU ࣭7KHUH VKRXOG EH QR IXHO OHDNDJH IURP WKH VOHHYH QXW RI WKH IXHO SLSH

,I IXHO OHDN LI IRXQG IL[ WKH SUREOHP

1RWH㸸 ࣭ 7KH IXHO PD\ OHDN WR WKH ERWWRP VHFWLRQ RI WKH F\OLQGHU KHDG FRYHU IURP WKH KLJK SUHVVXUH SLSH LQOHW ࣭ 7KH HQJLQH RLO OHYHO LQFUHDVHV ZKHQ WKH IXHO OHDNV WR WKH ERWWRP SRUWLRQ RI WKH F\OLQGHU KHDG FRYHU ࣭ ,QVSHFW IRU IXHO OHDNV LQWR WKH HQJLQH RLO ࣭ 5HPRYH DQG LQVSHFW WKH KLJK SUHVVXUH SLSH MRLQW FRQQHFWHG WR WKH LQMHFWRU IRU D IXHO OHDNDJH IURP WKH VOHHYH QXW

5HIHU WR (QJLQH & )XHO 6\VWHP +. ,QMHFWRU 5HPRYDO 5HIHU WR (QJLQH & )XHO 6\VWHP +. ,QMHFWRU ,QVWDOODWLRQ

:KHQ WKH LQMHFWRU KDV EHHQ UHSODFHG VHW WKH LQMHFWRU ,' FRGH RQ WKH (&0

7XUQ 2)) WKH VWDUWHU VZLWFK

:DLW IRU WKH VSHFLILHG SHULRG RI WLPH XQWLO WKH IXHO SUHVVXUH LV UHOHDVHG IURP WKH FRPPRQ UDLO

VSHFLILHG WLPH㸸 PLQ 7XUQ 21 WKH VWDUWHU VZLWFK &KHFN WKH IXHO UDLO SUHVVXUH VHQVRU GLVSOD\ ZLWK WKH WURXEOH GLDJQRVLV VFDQ WRRO YROWDJH㸸 WR 9 ,I WKH IXHO UDLO SUHVVXUH VHQVRU GLVSOD\ LV RXWVLGH WKH VWDQGDUG UDQJH LQVSHFW WKH IXHO SUHVVXUH VHQVRU KDUQHVV FRQQHFWRU IRU D FRQWDFW IDLOXUH ,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KDUQHVV FRQQHFWRU ,QVSHFW WKH (&0 KDUQHVV FRQQHFWRU IRU D FRQWDFW IDLOXUH ,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KDUQHVV FRQQHFWRU ,QVSHFW HDFK FLUFXLW IRU KLJK UHVLVWDQFH 5HSDLU WKH FLUFXLW LI D SUREOHP LV GLVFRYHUHG ,I WKH KDUQHVV FRQQHFWRU DQG HDFK FLUFXLW DUH QRUPDO UHSODFH WKH IXHO SUHVVXUH VHQVRU 5HIHU WR (QJLQH & )XHO 6\VWHP +. &RPPRQ UDLO DVVHPEO\ 5HPRYDO


$ (QJLQH &RQWURO +. 5HIHU WR (QJLQH & )XHO 6\VWHP +. &RPPRQ UDLO DVVHPEO\ ,QVWDOODWLRQ 1RWH㸸 ࣭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㸸 ࣭ 7KH IXHO KRVH EHWZHHQ WKH IXHO WDQN DQG WKH VXSSO\ SXPS EHFRPHV QHJDWLYH SUHVVXUH VWDWH ZKHQ WKH HQJLQH LV UXQQLQJ ࣭ :KHQ WKH IXHO KRVH LV QRW FRQQHFWHG VHFXUHO\ WKH DLU FDQ HQWHU ࣭ :KHQ WKH HQJLQH 530 RU WKH HQJLQH ORDG LQFUHDVHV ZKLOH WKH DLU KDV LQWUXGHG LQ WKH IXHO V\VWHP IOXFWXDWLRQ LQ WKH FRPPRQ UDLO SUHVVXUH LV FDXVHG DQG '7& 3 PD\ EH GHWHFWHG &KHFN WKDW DQ DSSURSULDWH FODPS LV XVHG EHWZHHQ WKH IXHO WDQN DQG WKH IXHO VXSSO\ SXPS ,I D SUREOHP LV GLVFRYHUHG UHSODFH WKH FODPS ZLWK DQ DSSURSULDWH RQH 2SHUDWH WKH SULPLQJ SXPS XQWLO WKH KDQGOH EHFRPHV KHDY\

1RWH㸸 ࣭ :KHQ D OHDN H[LVWV LQ WKH IXHO V\VWHP EHWZHHQ WKH SULPLQJ SXPS DQG WKH IXHO VXSSO\ SXPS WKH SUHVVLQJ ZHLJKW RI WKH SULPLQJ SXPS GRHV QRW EHFRPH KHDY\ 6WDUW WKH HQJLQH ,QVSHFW WKH KLJK SUHVVXUH VLGH RI WKH IXHO V\VWHP DQG FKHFN IRU IXHO OHDN EHWZHHQ WKH IXHO VXSSO\ SXPS DQG FRPPRQ UDLO 1RWH㸸 ࣭ 7KH IXHO PD\ OHDN WR WKH ERWWRP VHFWLRQ RI WKH F\OLQGHU KHDG FRYHU IURP WKH KLJK SUHVVXUH KRVH LQOHW ࣭ 7KH HQJLQH RLO OHYHO LQFUHDVHV ZKHQ WKH IXHO OHDNV WR WKH ERWWRP SRUWLRQ RI WKH F\OLQGHU KHDG FRYHU ࣭ ,QVSHFW IRU IXHO OHDNV LQWR WKH HQJLQH RLO ,I IXHO OHDN LI IRXQG IL[ WKH SUREOHP 7XUQ 2)) WKH VWDUWHU VZLWFK 5HPRYH WKH IXHO KRVH RQ WKH IXHO VXSSO\ SXPS VLGH IURP WKH IXHO ILOWHU 1RWH㸸 ࣭ 8VH D SDQ WR FDWFK WKH IXHO IURP WKH UHPRYHG IXHO KRVH ࣭ &OHDQ WKH SUHVVXUH JDXJH DQG FRQQHFWLRQ KRVH EHIRUH FRQQHFWLQJ WR WKH IXHO SLSH ࣭ 7KH IXHO VXSSO\ SXPS PD\ EH GDPDJHG GXH WR IRUHLJQ PDWWHU WKDW KDV HQWHUHG LQ WKH FRQQHFWLRQ KRVH &RQQHFW WKH SUHVVXUH JDXJH EHWZHHQ WKH IXHO ILOWHU DQG WKH UHPRYHG IXHO KRVH 1RWH㸸 ࣭ &RQILUP WKDW WKH IXHO V\VWHP LV FRQQHFWHG VHFXUHO\ 5HPRYH WKH DLU XVLQJ WKH SULPLQJ SXPS DQG FUDQN WKH HQJLQH IRU WKH VSHFLILHG SHULRG RI WLPH RU VKRUWHU VSHFLILHG WLPH㸸 V 1RWH㸸 ࣭ 5HSHDW WKLV XQWLO WKH HQJLQH VWDUWV /HDYH WKH HQJLQH LGOLQJ IRU WKH VSHFLILHG SHULRG RI WLPH RU ORQJHU VSHFLILHG WLPH㸸 PLQ :KLOH NHHSLQJ WKH HQJLQH URWDWLQJ DW WKH VSHFLILHG HQJLQH 530 IRU WKH VSHFLILHG SHULRG RI WLPH FKHFN WKH SUHVVXUH JDXJH VSHFLILHG WLPH㸸 PLQ URWDWLRQDO VSHHG㸸 U PLQ


(QJLQH &RQWURO +. $ &KHFN LI WKH SUHVVXUH JDXJH VKRZV D QHJDWLYH SUHVVXUH YDOXH DW RU DERYH WKH VWDQGDUG YDOXH GXULQJ LQVSHFWLRQ

,I D SUREOHP LV GLVFRYHUHG UHSODFH WKH FODPS ZLWK DQ DSSURSULDWH RQH 7XUQ 2)) WKH VWDUWHU VZLWFK

VSHFLILHG YDOXH㸸 N3D ^ PP+J 5 inHg `

,QVSHFW WKH VXFWLRQ FRQWURO YDOYH KDUQHVV FRQQHFWRU IRU D FRQWDFW IDLOXUH

1RWH㸸 ࣭ )XHO FORJJLQJ LV FKHFNHG ZLWK WKH QHJDWLYH SUHVVXUH DPRXQW LQ WKH IXHO V\VWHP

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KDUQHVV FRQQHFWRU

,I WKH QHJDWLYH SUHVVXUH LV DW RU DERYH WKH VWDQGDUG YDOXH LQVSHFW WR VHH LI WKHUH LV GDPDJH RU WZLVWLQJ ZLWK WKH IXHO V\VWHP EHWZHHQ WKH IXHO VXSSO\ SXPS DQG WKH IXHO WDQN

,QVSHFW WKH (&0 KDUQHVV FRQQHFWRU IRU D FRQWDFW IDLOXUH ,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KDUQHVV FRQQHFWRU

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH IXHO V\VWHP

,QVSHFW HDFK FLUFXLW IRU KLJK UHVLVWDQFH

,QVSHFW WKH IXHO WDQN EHQW KRVH

5HSDLU WKH FLUFXLW LI D SUREOHP LV GLVFRYHUHG

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH EHQW KRVH

,I WKH VXFWLRQ FRQWURO YDOYH KDUQHVV FRQQHFWRU DQG WKH (&0 KDUQHVV FRQQHFWRU DUH QRUPDO DQG WKHUH LV QR KLJK UHVLVWDQFH LQ HDFK FLUFXLW UHSODFH WKH IXHO VXSSO\ SXPS DQG WKH IXHO ILOWHU HOHPHQW

&KHFN WR VHH LI WKHUH LV DQ\ IRUHLJQ PDWWHU LQ WKH IXHO WDQN RU DQ\ IRUHLJQ PDWWHU ZKLFK FDQ FDXVH IXHO FORJJLQJ ,I D SUREOHP LV GLVFRYHUHG UHSDLU LW 5HSODFH WKH IXHO ILOWHU HOHPHQW

5HIHU WR (QJLQH & )XHO 6\VWHP +. )XHO VXSSO\ SXPS 5HPRYDO

5HIHU WR (QJLQH & )XHO 6\VWHP +. )XHO ILOWHU HOHPHQW 5HPRYDO

5HIHU WR (QJLQH & )XHO 6\VWHP +. )XHO VXSSO\ SXPS ,QVWDOODWLRQ

5HIHU WR (QJLQH & )XHO 6\VWHP +. )XHO ILOWHU HOHPHQW ,QVWDOODWLRQ

5HIHU WR (QJLQH & )XHO 6\VWHP +. )XHO ILOWHU HOHPHQW 5HPRYDO

,I WKH QHJDWLYH SUHVVXUH LV DW RU EHORZ WKH VWDQGDUG YDOXH SLQFK WKH IXHO KRVH DW D SRVLWLRQ DV FORVH DV SRVVLEOH WR WKH IXHO WDQN VR WKDW WKH IXHO GRHV QRW IORZ

5HIHU WR (QJLQH & )XHO 6\VWHP +. )XHO ILOWHU HOHPHQW ,QVWDOODWLRQ 1RWH㸸 ࣭ :KHQ UHSODFLQJ WKH IXHO VXSSO\ SXPS LW LV UHTXLUHG WR DOVR UHSODFH WKH IXHO ILOWHU HOHPHQW DW WKH VDPH WLPH

1RWH㸸 ࣭ 7KH IXHO SLSH FDQ EH GLVFRQQHFWHG DQG FORJJHG ZLWK D SOXJ 6WDUW WKH HQJLQH DQG XVH WKH LGOLQJ FRQWURO VZLWFK WR LQFUHDVH WKH 530 WR WKH KLJKHVW OHYHO

3HUIRUP WKH XQLW GLIIHUHQFH OHDUQLQJ RI WKH IXHO VXSSO\ SXPS WR WKH (&0

'7& 3 &RQILUP 5HVROXWLRQ

&KHFN WKH SUHVVXUH JDXJH

&OHDU WKH '7& XVLQJ WKH WURXEOH GLDJQRVLV VFDQ WRRO

VSHFLILHG YDOXH㸸 N3D ^ PP+J 8 inHg `

7XUQ WKH VWDUWHU VZLWFK 2)) IRU VHFRQGV RU ORQJHU

1RWH㸸 ࣭ :KHQ WKH SUHVVXUH JDXJH LV OLNHO\ WR LQGLFDWH D YDOXH H[FHHGLQJ WKH VWDQGDUG YDOXH GXULQJ LQVSHFWLRQ UHOHDVH WKH IXHO EHLQJ EORFNHG ࣭ $LU PL[WXUH LV FKHFNHG ZLWK WKH QHJDWLYH SUHVVXUH DPRXQW ZKLOH WKH IXHO IORZ LV EHLQJ EORFNHG

6WDUW WKH HQJLQH

3HUIRUP D WHVW UXQ

8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FRQILUP WKDW D '7& KDV QRW EHHQ GHWHFWHG

,I WKH VWDQGDUG QHJDWLYH SUHVVXUH FDQQRW EH JHQHUDWHG LQVSHFW WR VHH LI WKHUH LV D FXW RU FUDFN ZLWK WKH IXHO KRVH ,I D SUREOHP LV GLVFRYHUHG UHSODFH WKH IXHO KRVH ,QVSHFW WR VHH LI DSSURSULDWH FODPS LV XVHG


$ (QJLQH &RQWURO +.

'7& 3 )ODVK &RGH 0DVV $LU )ORZ &LUFXLW /RZ ,QSXW

'7& 3 3ULRULW\ '7& '7& 3

'7& 3 'LDJQRVWLFV

&OHDU WKH '7& XVLQJ WKH WURXEOH GLDJQRVLV VFDQ WRRO

7XUQ WKH VWDUWHU VZLWFK 2)) IRU VHFRQGV RU ORQJHU

6WDUW WKH HQJLQH

7XUQ 2)) WKH VWDUWHU VZLWFK

3HUIRUP D WHVW UXQ

'LVFRQQHFW WKH KDUQHVV FRQQHFWRU IURP WKH PDVV DLU IORZ VHQVRU

8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FRQILUP WKDW D '7& KDV QRW EHHQ GHWHFWHG

,QVSHFW WR VHH LI WKHUH LV DQ RSHQ FLUFXLW RU KLJK UHVLVWDQFH LQ WKH 9 SRZHU VXSSO\ FLUFXLW EHWZHHQ WKH (&0 DQG WKH PDVV DLU IORZ VHQVRU

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH 9 SRZHU VXSSO\ FLUFXLW

&RQQHFW WKH WHVW FDEOH ZLWK IXVH EHWZHHQ WKH 9 SRZHU VXSSO\ FLUFXLW DQG WKH VLJQDO FLUFXLW RI WKH PDVV DLU IORZ VHQVRU KDUQHVV FRQQHFWRU

&KHFN WKH PDVV DLU IORZ VHQVRU GLVSOD\ ZLWK WKH WURXEOH GLDJQRVLV VFDQ WRRO

YROWDJH㸸 9

,I LW LV DW RU DERYH WKH VWDQGDUG YDOXH LQVSHFW WR VHH LI WKHUH LV D FRQWDFW IDLOXUH ZLWK WKH PDVV DLU IORZ VHQVRU KDUQHVV FRQQHFWRU

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KDUQHVV FRQQHFWRU

,I WKH KDUQHVV FRQQHFWRU LV QRUPDO UHSODFH WKH PDVV DLU IORZ VHQVRU

,QVSHFW WKH VLJQDO FLUFXLW EHWZHHQ WKH (&0 DQG WKH PDVV DLU IORZ VHQVRU ࣭7KHUH VKRXOG EH QR RSHQ FLUFXLW RU KLJK UHVLVWDQFH ࣭7KHUH VKRXOG EH QR VKRUW WR *1' ,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH VLJQDO FLUFXLW ,QVSHFW WKH (&0 KDUQHVV FRQQHFWRU IRU D FRQWDFW IDLOXUH ,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KDUQHVV FRQQHFWRU ,I WKH KDUQHVV FRQQHFWRU LV QRUPDO UHSODFH WKH (&0 5HIHU WR (QJLQH - (OHFWULFDO +. (&0 5HPRYDO 5HIHU WR (QJLQH - (OHFWULFDO +. (&0 ,QVWDOODWLRQ 6HW WKH LQMHFWRU ,' FRGH RQ WKH (&0 3HUIRUP WKH XQLW GLIIHUHQFH OHDUQLQJ RI WKH IXHO VXSSO\ SXPS WR WKH (&0

'7& 3 &RQILUP 5HVROXWLRQ


(QJLQH &RQWURO +. $

'7& 3 )ODVK &RGH 0DVV $LU )ORZ &LUFXLW +LJK ,QSXW

'7& 3 3ULRULW\ '7& '7& 3

'7& 3 'LDJQRVWLFV

7XUQ 2)) WKH VWDUWHU VZLWFK

'LVFRQQHFW WKH KDUQHVV FRQQHFWRU IURP WKH PDVV DLU IORZ VHQVRU

&KHFN WKH PDVV DLU IORZ VHQVRU GLVSOD\ ZLWK WKH WURXEOH GLDJQRVLV VFDQ WRRO

YROWDJH㸸 9

,I LW LV DW RU DERYH WKH VWDQGDUG YDOXH LQVSHFW WKH VLJQDO FLUFXLW EHWZHHQ WKH (&0 DQG WKH PDVV DLU IORZ VHQVRU

࣭7KHUH VKRXOG EH QR VKRUW WR WKH EDWWHU\ RU LJQLWLRQ SRZHU VXSSO\ ࣭7KHUH VKRXOG EH QR VKRUW WR WKH 9 RU 9 SRZHU VXSSO\

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH VLJQDO FLUFXLW

,QVSHFW WR VHH LI WKHUH LV DQ RSHQ FLUFXLW RU KLJK UHVLVWDQFH LQ WKH *1' FLUFXLW EHWZHHQ WKH (&0 DQG WKH PDVV DLU IORZ VHQVRU

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH *1' FLUFXLW

,QVSHFW WKH PDVV DLU IORZ VHQVRU KDUQHVV FRQQHFWRU IRU D FRQWDFW IDLOXUH

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KDUQHVV FRQQHFWRU

,I WKH KDUQHVV FRQQHFWRU LV QRUPDO UHSODFH WKH PDVV DLU IORZ VHQVRU ,QVSHFW WKH (&0 KDUQHVV FRQQHFWRU IRU D FRQWDFW IDLOXUH ,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KDUQHVV FRQQHFWRU ,I WKH KDUQHVV FRQQHFWRU LV QRUPDO UHSODFH WKH (&0 5HIHU WR (QJLQH - (OHFWULFDO +. (&0 5HPRYDO 5HIHU WR (QJLQH - (OHFWULFDO +. (&0 ,QVWDOODWLRQ 6HW WKH LQMHFWRU ,' FRGH RQ WKH (&0 3HUIRUP WKH XQLW GLIIHUHQFH OHDUQLQJ RI WKH IXHO VXSSO\ SXPS WR WKH (&0

'7& 3 &RQILUP 5HVROXWLRQ

&OHDU WKH '7& XVLQJ WKH WURXEOH GLDJQRVLV VFDQ WRRO

7XUQ WKH VWDUWHU VZLWFK 2)) IRU VHFRQGV RU ORQJHU

6WDUW WKH HQJLQH

3HUIRUP D WHVW UXQ

8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FRQILUP WKDW D '7& KDV QRW EHHQ GHWHFWHG


$ (QJLQH &RQWURO +.

'7& 3 )ODVK &RGH ,QWDNH $LU 7HPSHUDWXUH 6HQVRU &LUFXLW /RZ

'7& 3 3ULRULW\ '7& '7& 3

'7& 3 'LDJQRVWLFV

7XUQ 2)) WKH VWDUWHU VZLWFK

'LVFRQQHFW WKH KDUQHVV FRQQHFWRU IURP WKH LQWDNH DLU WHPSHUDWXUH VHQVRU

&KHFN WKH LQWDNH DLU WHPSHUDWXUH VHQVRU GLVSOD\ ZLWK WKH WURXEOH GLDJQRVLV VFDQ WRRO

YROWDJH㸸 9

,I LW LV DW RU DERYH WKH VWDQGDUG YDOXH UHSODFH WKH LQWDNH DLU WHPSHUDWXUH VHQVRU

,QVSHFW WR VHH LI WKHUH LV D VKRUW FLUFXLW WR WKH *1' ZLWK WKH VLJQDO FLUFXLW EHWZHHQ WKH (&0 DQG WKH LQWDNH DLU WHPSHUDWXUH VHQVRU

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH VLJQDO FLUFXLW

7XUQ 2)) WKH VWDUWHU VZLWFK

'LVFRQQHFW WKH KDUQHVV FRQQHFWRU IURP WKH (&0

,QVSHFW WKH (&0 KDUQHVV FRQQHFWRU IRU D FRQWDFW IDLOXUH

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KDUQHVV FRQQHFWRU ,I WKH KDUQHVV FRQQHFWRU LV QRUPDO UHSODFH WKH (&0 5HIHU WR (QJLQH - (OHFWULFDO +. (&0 5HPRYDO 5HIHU WR (QJLQH - (OHFWULFDO +. (&0 ,QVWDOODWLRQ 6HW WKH LQMHFWRU ,' FRGH RQ WKH (&0 3HUIRUP WKH XQLW GLIIHUHQFH OHDUQLQJ RI WKH IXHO VXSSO\ SXPS WR WKH (&0

'7& 3 &RQILUP 5HVROXWLRQ

&OHDU WKH '7& XVLQJ WKH WURXEOH GLDJQRVLV VFDQ WRRO

7XUQ WKH VWDUWHU VZLWFK 2)) IRU VHFRQGV RU ORQJHU

6WDUW WKH HQJLQH

3HUIRUP D WHVW UXQ

8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FRQILUP WKDW D '7& KDV QRW EHHQ GHWHFWHG


(QJLQH &RQWURO +. $

'7& 3 )ODVK &RGH ,QWDNH $LU 7HPSHUDWXUH 6HQVRU &LUFXLW +LJK

'7& 3 3ULRULW\ '7&

*1' FLUFXLW EHWZHHQ WKH (&0 DQG WKH LQWDNH DLU WHPSHUDWXUH VHQVRU

'7& 3

7XUQ 2)) WKH VWDUWHU VZLWFK

'LVFRQQHFW WKH KDUQHVV FRQQHFWRU IURP WKH LQWDNH DLU WHPSHUDWXUH VHQVRU

1RWH㸸 ࣭ 7KH LQWDNH DLU WHPSHUDWXUH VHQVRU VKDUHV WKH *1' FLUFXLW ZLWK RWKHU VHQVRUV ࣭ 7KH '7& VHW RQ D VHQVRU ZKLFK VKDUHV WKLV FLUFXLW PD\ EH GHWHFWHG

7XUQ 21 WKH VWDUWHU VZLWFK

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH *1' FLUFXLW

0HDVXUH WKH YROWDJH EHWZHHQ WKH LQWDNH DLU WHPSHUDWXUH VHQVRU VLJQDO FLUFXLW DQG D QRUPDO *1'

YROWDJH㸸 9

,QVSHFW WR VHH LI WKHUH LV DQ RSHQ FLUFXLW RU KLJK UHVLVWDQFH LQ WKH VLJQDO FLUFXLW EHWZHHQ WKH (&0 DQG WKH LQWDNH DLU WHPSHUDWXUH VHQVRU

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH VLJQDO FLUFXLW

'7& 3 'LDJQRVWLFV

,I LW LV DW RU DERYH WKH VWDQGDUG YDOXH LQVSHFW WKH VLJQDO FLUFXLW EHWZHHQ WKH (&0 DQG WKH LQWDNH DLU WHPSHUDWXUH VHQVRU

,QVSHFW WKH (&0 KDUQHVV FRQQHFWRU IRU D FRQWDFW IDLOXUH

࣭7KHUH VKRXOG EH QR VKRUW WR WKH EDWWHU\ RU LJQLWLRQ SRZHU VXSSO\ ࣭7KHUH VKRXOG EH QR VKRUW WR WKH 9 SRZHU VXSSO\

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH VLJQDO FLUFXLW

&RQQHFW WKH WHVW FDEOH ZLWK IXVH EHWZHHQ WKH LQWDNH DLU WHPSHUDWXUH VHQVRU VLJQDO FLUFXLW DQG WKH *1' FLUFXLW

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KDUQHVV FRQQHFWRU ,I WKH KDUQHVV FRQQHFWRU LV QRUPDO UHSODFH WKH (&0 5HIHU WR (QJLQH - (OHFWULFDO +. (&0 5HPRYDO 5HIHU WR (QJLQH - (OHFWULFDO +. (&0 ,QVWDOODWLRQ

&KHFN WKH LQWDNH DLU WHPSHUDWXUH VHQVRU GLVSOD\ ZLWK WKH WURXEOH GLDJQRVLV VFDQ WRRO

6HW WKH LQMHFWRU ,' FRGH RQ WKH (&0 3HUIRUP WKH XQLW GLIIHUHQFH OHDUQLQJ RI WKH IXHO VXSSO\ SXPS WR WKH (&0

YROWDJH㸸 9

,I LW LV DW RU EHORZ WKH VWDQGDUG YDOXH LQVSHFW WR VHH LI WKHUH LV D VKRUW FLUFXLW WR WKH 9 SRZHU VXSSO\ FLUFXLW ZLWK WKH VLJQDO FLUFXLW EHWZHHQ WKH (&0 DQG WKH LQWDNH DLU WHPSHUDWXUH VHQVRU

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH VLJQDO FLUFXLW ,QVSHFW WKH LQWDNH DLU WHPSHUDWXUH VHQVRU KDUQHVV FRQQHFWRU IRU D FRQWDFW IDLOXUH ,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KDUQHVV FRQQHFWRU ,I WKH KDUQHVV FRQQHFWRU LV QRUPDO UHSODFH WKH LQWDNH DLU WHPSHUDWXUH VHQVRU &RQQHFW WKH WHVW FDEOH ZLWK IXVH EHWZHHQ WKH LQWDNH DLU WHPSHUDWXUH VHQVRU VLJQDO FLUFXLW DQG D QRUPDO *1' &KHFN WKH LQWDNH DLU WHPSHUDWXUH VHQVRU GLVSOD\ ZLWK WKH WURXEOH GLDJQRVLV VFDQ WRRO YROWDJH㸸 9 ,I LW LV DW RU EHORZ WKH VWDQGDUG YDOXH LQVSHFW WR VHH LI WKHUH LV DQ RSHQ FLUFXLW RU KLJK UHVLVWDQFH ZLWK WKH

'7& 3 &RQILUP 5HVROXWLRQ

&OHDU WKH '7& XVLQJ WKH WURXEOH GLDJQRVLV VFDQ WRRO

7XUQ WKH VWDUWHU VZLWFK 2)) IRU VHFRQGV RU ORQJHU

6WDUW WKH HQJLQH

3HUIRUP D WHVW UXQ

8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FRQILUP WKDW D '7& KDV QRW EHHQ GHWHFWHG


$ (QJLQH &RQWURO +.

'7& 3 )ODVK &RGH (QJLQH &RRODQW 7HPSHUDWXUH 6HQVRU &LUFXLW /RZ

'7& 3 3ULRULW\ '7& '7& 3

'7& 3 'LDJQRVWLFV

7XUQ 2)) WKH VWDUWHU VZLWFK

'LVFRQQHFW WKH KDUQHVV FRQQHFWRU IURP WKH ZDWHU WHPSHUDWXUH VHQVRU

&KHFN WKH FRRODQW WHPSHUDWXUH VHQVRU GLVSOD\ ZLWK WKH WURXEOH GLDJQRVLV VFDQ WRRO

YROWDJH㸸 9

,I LW LV DW RU DERYH WKH VWDQGDUG YDOXH UHSODFH WKH ZDWHU WHPSHUDWXUH VHQVRU

5HIHU WR (QJLQH ' &RROLQJ +. (QJLQH FRRODQW WHPSHUDWXUH VHQVRU 5HPRYDO 5HIHU WR (QJLQH ' &RROLQJ +. (QJLQH FRRODQW WHPSHUDWXUH VHQVRU ,QVWDOODWLRQ

,QVSHFW WR VHH LI WKHUH LV D VKRUW FLUFXLW WR WKH *1' ZLWK WKH VLJQDO FLUFXLW EHWZHHQ WKH (&0 DQG ZDWHU WHPSHUDWXUH VHQVRU

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH VLJQDO FLUFXLW

,QVSHFW WKH (&0 KDUQHVV FRQQHFWRU IRU D FRQWDFW IDLOXUH

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KDUQHVV FRQQHFWRU

,I WKH KDUQHVV FRQQHFWRU LV QRUPDO UHSODFH WKH (&0

5HIHU WR (QJLQH - (OHFWULFDO +. (&0 5HPRYDO 5HIHU WR (QJLQH - (OHFWULFDO +. (&0 ,QVWDOODWLRQ 6HW WKH LQMHFWRU ,' FRGH RQ WKH (&0 3HUIRUP WKH XQLW GLIIHUHQFH OHDUQLQJ RI WKH IXHO VXSSO\ SXPS WR WKH (&0

'7& 3 &RQILUP 5HVROXWLRQ

&OHDU WKH '7& XVLQJ WKH WURXEOH GLDJQRVLV VFDQ WRRO

7XUQ WKH VWDUWHU VZLWFK 2)) IRU VHFRQGV RU ORQJHU

6WDUW WKH HQJLQH

3HUIRUP D WHVW UXQ

8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FRQILUP WKDW D '7& KDV QRW EHHQ GHWHFWHG


(QJLQH &RQWURO +. $

'7& 3 )ODVK &RGH (QJLQH &RRODQW 7HPSHUDWXUH 6HQVRU &LUFXLW +LJK

'7& 3 3ULRULW\ '7&

,I LW LV DW RU EHORZ WKH VWDQGDUG YDOXH LQVSHFW WR VHH LI WKHUH LV DQ RSHQ FLUFXLW RU KLJK UHVLVWDQFH ZLWK WKH ZDWHU WHPSHUDWXUH VHQVRU *1' FLUFXLW

'7& 3

'7& 3 'LDJQRVWLFV

7XUQ 2)) WKH VWDUWHU VZLWFK

'LVFRQQHFW WKH KDUQHVV FRQQHFWRU IURP WKH ZDWHU WHPSHUDWXUH VHQVRU

7XUQ 21 WKH VWDUWHU VZLWFK

0HDVXUH WKH YROWDJH EHWZHHQ WKH ZDWHU WHPSHUDWXUH VHQVRU VLJQDO FLUFXLW DQG QRUPDO *1'

1RWH㸸 ࣭ 7KH ZDWHU WHPSHUDWXUH VHQVRU VKDUHV WKH *1' FLUFXLW ZLWK RWKHU VHQVRUV ࣭ 7KH '7& VHW RQ D VHQVRU ZKLFK VKDUHV WKLV FLUFXLW PD\ EH GHWHFWHG ,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH *1' FLUFXLW

YROWDJH㸸 9

,QVSHFW WR VHH LI WKHUH LV D EUHDNDJH RU KLJK UHVLVWDQFH LQ WKH VLJQDO FLUFXLW RI WKH ZDWHU WHPSHUDWXUH VHQVRU

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH VLJQDO FLUFXLW

,I LW LV DW RU DERYH WKH VWDQGDUG YDOXH LQVSHFW WR VHH LI WKHUH LV D VKRUW FLUFXLW WR WKH EDWWHU\ RU LJQLWLRQ SRZHU VXSSO\ ZLWK WKH VLJQDO FLUFXLW EHWZHHQ WKH (&0 DQG WKH ZDWHU WHPSHUDWXUH VHQVRU

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH VLJQDO FLUFXLW

&RQQHFW WKH WHVW FDEOH ZLWK IXVH EHWZHHQ WKH ZDWHU WHPSHUDWXUH VHQVRU VLJQDO FLUFXLW DQG *1' FLUFXLW

&KHFN WKH FRRODQW WHPSHUDWXUH VHQVRU GLVSOD\ ZLWK WKH WURXEOH GLDJQRVLV VFDQ WRRO

,QVSHFW WKH (&0 KDUQHVV FRQQHFWRU IRU D FRQWDFW IDLOXUH ,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KDUQHVV FRQQHFWRU ,I WKH KDUQHVV FRQQHFWRU LV QRUPDO UHSODFH WKH (&0 5HIHU WR (QJLQH - (OHFWULFDO +. (&0 5HPRYDO

YROWDJH㸸 9

5HIHU WR (QJLQH - (OHFWULFDO +. (&0 ,QVWDOODWLRQ

6HW WKH LQMHFWRU ,' FRGH RQ WKH (&0

,I LW LV DW RU EHORZ WKH VWDQGDUG YDOXH LQVSHFW WR VHH LI WKHUH LV D VKRUW FLUFXLW WR WKH 9 SRZHU VXSSO\ FLUFXLW ZLWK WKH VLJQDO FLUFXLW EHWZHHQ WKH (&0 DQG WKH ZDWHU WHPSHUDWXUH VHQVRU

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH VLJQDO FLUFXLW ,QVSHFW WR VHH LI WKHUH LV D FRQWDFW IDLOXUH ZLWK WKH ZDWHU WHPSHUDWXUH VHQVRU KDUQHVV FRQQHFWRU ,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KDUQHVV FRQQHFWRU ,I WKH KDUQHVV FRQQHFWRU LV QRUPDO UHSODFH WKH ZDWHU WHPSHUDWXUH VHQVRU 5HIHU WR (QJLQH ' &RROLQJ +. (QJLQH FRRODQW WHPSHUDWXUH VHQVRU 5HPRYDO 5HIHU WR (QJLQH ' &RROLQJ +. (QJLQH FRRODQW WHPSHUDWXUH VHQVRU ,QVWDOODWLRQ &RQQHFW WKH WHVW FDEOH ZLWK IXVH EHWZHHQ WKH ZDWHU WHPSHUDWXUH VHQVRU VLJQDO FLUFXLW DQG QRUPDO *1' &KHFN WKH FRRODQW WHPSHUDWXUH VHQVRU GLVSOD\ ZLWK WKH WURXEOH GLDJQRVLV VFDQ WRRO YROWDJH㸸 9

3HUIRUP WKH XQLW GLIIHUHQFH OHDUQLQJ RI WKH IXHO VXSSO\ SXPS WR WKH (&0

'7& 3 &RQILUP 5HVROXWLRQ

&OHDU WKH '7& XVLQJ WKH WURXEOH GLDJQRVLV VFDQ WRRO

7XUQ WKH VWDUWHU VZLWFK 2)) IRU VHFRQGV RU ORQJHU

6WDUW WKH HQJLQH

3HUIRUP D WHVW UXQ

8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FRQILUP WKDW D '7& KDV QRW EHHQ GHWHFWHG


$ (QJLQH &RQWURO +.

'7& 3 )ODVK &RGH 7KURWWOH 3RVLWLRQ 6HQVRU &LUFXLW /RZ

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH VLJQDO FLUFXLW

'7& 3 3ULRULW\ '7&

,QVSHFW WKH (&0 KDUQHVV FRQQHFWRU IRU D FRQWDFW IDLOXUH

'7& 3

'7& 3 'LDJQRVWLFV

7XUQ 2)) WKH VWDUWHU VZLWFK

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KDUQHVV FRQQHFWRU

'LVFRQQHFW WKH KDUQHVV FRQQHFWRU IURP WKH LQWDNH WKURWWOH YDOYH

,I WKH KDUQHVV FRQQHFWRU LV QRUPDO UHSODFH WKH (&0

7XUQ 21 WKH VWDUWHU VZLWFK

5HIHU WR (QJLQH - (OHFWULFDO +. (&0 5HPRYDO

0HDVXUH WKH YROWDJH EHWZHHQ WKH LQWDNH WKURWWOH SRVLWLRQ VHQVRU 9 SRZHU VXSSO\ FLUFXLW DQG D QRUPDO *1'

5HIHU WR (QJLQH - (OHFWULFDO +. (&0 ,QVWDOODWLRQ 6HW WKH LQMHFWRU ,' FRGH RQ WKH (&0

YROWDJH㸸 9

,I LW LV DW RU EHORZ WKH VWDQGDUG YDOXH LQVSHFW WR VHH LI WKHUH LV DQ RSHQ FLUFXLW RU KLJK UHVLVWDQFH ZLWK WKH 9 SRZHU VXSSO\ FLUFXLW EHWZHHQ WKH (&0 DQG WKH LQWDNH WKURWWOH SRVLWLRQ VHQVRU

1RWH㸸 ࣭ 7KH LQWDNH WKURWWOH SRVLWLRQ VHQVRU VKDUHV WKH 9 SRZHU VXSSO\ FLUFXLW ZLWK RWKHU VHQVRUV ࣭ 7KH '7& VHW RQ D VHQVRU ZKLFK VKDUHV WKLV FLUFXLW PD\ EH GHWHFWHG

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH 9 SRZHU VXSSO\ FLUFXLW

&RQQHFW WKH WHVW FDEOH ZLWK IXVH EHWZHHQ WKH LQWDNH WKURWWOH SRVLWLRQ VHQVRU 9 SRZHU VXSSO\ FLUFXLW DQG WKH VLJQDO FLUFXLW

&KHFN WKH LQWDNH WKURWWOH SRVLWLRQ VHQVRU GLVSOD\ ZLWK WKH WURXEOH GLDJQRVLV VFDQ WRRO

YROWDJH㸸 9

,I LW LV DW RU DERYH WKH VWDQGDUG YDOXH LQVSHFW WR VHH LI WKHUH LV D FRQWDFW IDLOXUH ZLWK WKH LQWDNH WKURWWOH YDOYH KDUQHVV FRQQHFWRU

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KDUQHVV FRQQHFWRU ,I WKH KDUQHVV FRQQHFWRU LV QRUPDO UHSODFH WKH LQWDNH WKURWWOH YDOYH 5HIHU WR (QJLQH % 0HFKDQLFDO +. ,QWDNH WKURWWOH YDOYH 5HPRYDO 5HIHU WR (QJLQH % 0HFKDQLFDO +. ,QWDNH WKURWWOH YDOYH ,QVWDOODWLRQ ,QVSHFW WKH VLJQDO FLUFXLW EHWZHHQ WKH (&0 DQG LQWDNH WKURWWOH SRVLWLRQ VHQVRU ࣭7KHUH VKRXOG EH QR RSHQ FLUFXLW RU KLJK UHVLVWDQFH ࣭7KHUH VKRXOG EH QR VKRUW WR *1'

3HUIRUP WKH XQLW GLIIHUHQFH OHDUQLQJ RI WKH IXHO VXSSO\ SXPS WR WKH (&0

'7& 3 &RQILUP 5HVROXWLRQ

&OHDU WKH '7& XVLQJ WKH WURXEOH GLDJQRVLV VFDQ WRRO

7XUQ WKH VWDUWHU VZLWFK 2)) IRU VHFRQGV RU ORQJHU

6WDUW WKH HQJLQH

3HUIRUP D WHVW UXQ

8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FRQILUP WKDW D '7& KDV QRW EHHQ GHWHFWHG


(QJLQH &RQWURO +. $

'7& 3 )ODVK &RGH 7KURWWOH 3RVLWLRQ 6HQVRU &LUFXLW +LJK

'7& 3 3ULRULW\ '7&

5HIHU WR (QJLQH - (OHFWULFDO +. (&0 ,QVWDOODWLRQ

'7& 3

6HW WKH LQMHFWRU ,' FRGH RQ WKH (&0

'7& 3 'LDJQRVWLFV

7XUQ 2)) WKH VWDUWHU VZLWFK

'LVFRQQHFW WKH KDUQHVV FRQQHFWRU IURP WKH LQWDNH WKURWWOH YDOYH

&KHFN WKH LQWDNH WKURWWOH SRVLWLRQ VHQVRU GLVSOD\ ZLWK WKH WURXEOH GLDJQRVLV VFDQ WRRO

3HUIRUP WKH XQLW GLIIHUHQFH OHDUQLQJ RI WKH IXHO VXSSO\ SXPS WR WKH (&0

'7& 3 &RQILUP 5HVROXWLRQ

&OHDU WKH '7& XVLQJ WKH WURXEOH GLDJQRVLV VFDQ WRRO

7XUQ WKH VWDUWHU VZLWFK 2)) IRU VHFRQGV RU ORQJHU

YROWDJH㸸 9

6WDUW WKH HQJLQH

3HUIRUP D WHVW UXQ

8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FRQILUP WKDW D '7& KDV QRW EHHQ GHWHFWHG

,I LW LV DW RU DERYH WKH VWDQGDUG YDOXH LQVSHFW WKH VLJQDO FLUFXLW EHWZHHQ WKH (&0 DQG WKH LQWDNH WKURWWOH SRVLWLRQ VHQVRU

࣭7KHUH VKRXOG EH QR VKRUW WR WKH EDWWHU\ RU LJQLWLRQ SRZHU VXSSO\ ࣭7KHUH VKRXOG EH QR VKRUW WR WKH 9 SRZHU VXSSO\

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH VLJQDO FLUFXLW

,QVSHFW WKH LQWDNH WKURWWOH YDOYH KDUQHVV FRQQHFWRU IRU D FRQWDFW IDLOXUH

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KDUQHVV FRQQHFWRU

,I WKH KDUQHVV FRQQHFWRU LV QRUPDO UHSODFH WKH LQWDNH WKURWWOH YDOYH

5HIHU WR (QJLQH % 0HFKDQLFDO +. ,QWDNH WKURWWOH YDOYH 5HPRYDO 5HIHU WR (QJLQH % 0HFKDQLFDO +. ,QWDNH WKURWWOH YDOYH ,QVWDOODWLRQ

,QVSHFW WR VHH LI WKHUH LV DQ RSHQ FLUFXLW RU KLJK UHVLVWDQFH LQ WKH *1' FLUFXLW EHWZHHQ WKH (&0 DQG WKH LQWDNH WKURWWOH SRVLWLRQ VHQVRU

1RWH㸸 ࣭ 7KH LQWDNH WKURWWOH SRVLWLRQ VHQVRU VKDUHV WKH *1' FLUFXLW ZLWK RWKHU VHQVRUV ࣭ 7KH '7& VHW RQ D VHQVRU ZKLFK VKDUHV WKLV FLUFXLW PD\ EH GHWHFWHG ,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH *1' FLUFXLW &KHFN WKH (&0 KDUQHVV FRQQHFWRU IRU D FRQWDFW IDLOXUH ,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KDUQHVV FRQQHFWRU ,I WKH KDUQHVV FRQQHFWRU LV QRUPDO UHSODFH WKH (&0 5HIHU WR (QJLQH - (OHFWULFDO +. (&0 5HPRYDO


$ (QJLQH &RQWURO +.

'7& 3 )ODVK &RGH )XHO 7HPSHUDWXUH 6HQVRU &LUFXLW /RZ

'7& 3 3ULRULW\ '7& '7& 3

'7& 3 'LDJQRVWLFV

7XUQ 2)) WKH VWDUWHU VZLWFK

'LVFRQQHFW WKH KDUQHVV FRQQHFWRU IURP WKH IXHO WHPSHUDWXUH VHQVRU

&KHFN WKH IXHO WHPSHUDWXUH VHQVRU GLVSOD\ ZLWK WKH WURXEOH GLDJQRVLV VFDQ WRRO

YROWDJH㸸 9

,I LW LV DW RU DERYH WKH VWDQGDUG YDOXH UHSODFH WKH IXHO WHPSHUDWXUH VHQVRU

5HIHU WR (QJLQH & )XHO 6\VWHP +. )XHO VXSSO\ SXPS 5HPRYDO 5HIHU WR (QJLQH & )XHO 6\VWHP +. )XHO VXSSO\ SXPS ,QVWDOODWLRQ 1RWH㸸 ࣭ 'R QRW UHSODFH WKH IXHO WHPSHUDWXUH VHQVRU VHSDUDWHO\ ,I D SUREOHP LV IRXQG UHSODFH WKH IXHO VXSSO\ SXPS

,QVSHFW WR VHH LI WKHUH LV D VKRUW FLUFXLW WR WKH *1' ZLWK WKH VLJQDO FLUFXLW EHWZHHQ WKH (&0 DQG IXHO WHPSHUDWXUH VHQVRU

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH VLJQDO FLUFXLW

,QVSHFW WKH (&0 KDUQHVV FRQQHFWRU IRU D FRQWDFW IDLOXUH

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KDUQHVV FRQQHFWRU

,I WKH KDUQHVV FRQQHFWRU LV QRUPDO UHSODFH WKH (&0

5HIHU WR (QJLQH - (OHFWULFDO +. (&0 5HPRYDO 5HIHU WR (QJLQH - (OHFWULFDO +. (&0 ,QVWDOODWLRQ 6HW WKH LQMHFWRU ,' FRGH RQ WKH (&0 3HUIRUP WKH XQLW GLIIHUHQFH OHDUQLQJ RI WKH IXHO VXSSO\ SXPS WR WKH (&0

'7& 3 &RQILUP 5HVROXWLRQ

&OHDU WKH '7& XVLQJ WKH WURXEOH GLDJQRVLV VFDQ WRRO

7XUQ WKH VWDUWHU VZLWFK 2)) IRU VHFRQGV RU ORQJHU

6WDUW WKH HQJLQH

3HUIRUP D WHVW UXQ

8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FRQILUP WKDW D '7& KDV QRW EHHQ GHWHFWHG


(QJLQH &RQWURO +. $

'7& 3 )ODVK &RGH )XHO 7HPSHUDWXUH 6HQVRU &LUFXLW +LJK

'7& 3 3ULRULW\ '7&

&KHFN WKH IXHO WHPSHUDWXUH VHQVRU GLVSOD\ ZLWK WKH WURXEOH GLDJQRVLV VFDQ WRRO

'7& 3

YROWDJH㸸 9

'7& 3 'LDJQRVWLFV

7XUQ 2)) WKH VWDUWHU VZLWFK

'LVFRQQHFW WKH KDUQHVV FRQQHFWRU IURP WKH IXHO WHPSHUDWXUH VHQVRU

7XUQ 21 WKH VWDUWHU VZLWFK

0HDVXUH WKH YROWDJH EHWZHHQ WKH IXHO WHPSHUDWXUH VHQVRU VLJQDO FLUFXLW DQG QRUPDO *1'

,I LW LV DW RU EHORZ WKH VWDQGDUG YDOXH LQVSHFW WR VHH LI WKHUH LV DQ RSHQ FLUFXLW RU KLJK UHVLVWDQFH ZLWK WKH *1' FLUFXLW EHWZHHQ WKH (&0 DQG IXHO WHPSHUDWXUH VHQVRU 1RWH㸸 ࣭ 7KH IXHO WHPSHUDWXUH VHQVRU VKDUHV WKH *1' FLUFXLW ZLWK RWKHU VHQVRUV ࣭ 7KH '7& VHW RQ D VHQVRU ZKLFK VKDUHV WKLV FLUFXLW PD\ EH GHWHFWHG

YROWDJH㸸 9

,I LW LV DW RU DERYH WKH VWDQGDUG YDOXH LQVSHFW WR VHH LI WKHUH LV D VKRUW FLUFXLW WR WKH EDWWHU\ RU LJQLWLRQ SRZHU VXSSO\ ZLWK WKH VLJQDO FLUFXLW EHWZHHQ WKH (&0 DQG WKH IXHO WHPSHUDWXUH VHQVRU

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH VLJQDO FLUFXLW

&RQQHFW WKH WHVW FDEOH ZLWK IXVH EHWZHHQ WKH IXHO WHPSHUDWXUH VHQVRU VLJQDO FLUFXLW DQG *1' FLUFXLW

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH *1' FLUFXLW ,QVSHFW WR VHH LI WKHUH LV DQ RSHQ FLUFXLW RU KLJK UHVLVWDQFH LQ WKH VLJQDO FLUFXLW EHWZHHQ WKH (&0 DQG WKH IXHO WHPSHUDWXUH VHQVRU ,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH VLJQDO FLUFXLW ,QVSHFW WKH (&0 KDUQHVV FRQQHFWRU IRU D FRQWDFW IDLOXUH

&KHFN WKH IXHO WHPSHUDWXUH VHQVRU GLVSOD\ ZLWK WKH WURXEOH GLDJQRVLV VFDQ WRRO

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KDUQHVV FRQQHFWRU

YROWDJH㸸 9

,I WKH KDUQHVV FRQQHFWRU LV QRUPDO UHSODFH WKH (&0

,I LW LV DW RU EHORZ WKH VWDQGDUG YDOXH LQVSHFW WR VHH LI WKHUH LV D VKRUW FLUFXLW WR WKH 9 SRZHU VXSSO\ FLUFXLW ZLWK WKH VLJQDO FLUFXLW EHWZHHQ WKH (&0 DQG WKH IXHO WHPSHUDWXUH VHQVRU

5HIHU WR (QJLQH - (OHFWULFDO +. (&0 5HPRYDO 5HIHU WR (QJLQH - (OHFWULFDO +. (&0 ,QVWDOODWLRQ

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH VLJQDO FLUFXLW ,QVSHFW WR VHH LI WKHUH LV D FRQWDFW IDLOXUH ZLWK WKH IXHO WHPSHUDWXUH VHQVRU KDUQHVV FRQQHFWRU ,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KDUQHVV FRQQHFWRU ,I WKH KDUQHVV FRQQHFWRU LV QRUPDO UHSODFH WKH IXHO WHPSHUDWXUH VHQVRU 5HIHU WR (QJLQH & )XHO 6\VWHP +. )XHO VXSSO\ SXPS 5HPRYDO 5HIHU WR (QJLQH & )XHO 6\VWHP +. )XHO VXSSO\ SXPS ,QVWDOODWLRQ 1RWH㸸 ࣭ 'R QRW UHSODFH WKH IXHO WHPSHUDWXUH VHQVRU VHSDUDWHO\ ,I D SUREOHP LV IRXQG UHSODFH WKH IXHO VXSSO\ SXPS &RQQHFW WKH WHVW FDEOH ZLWK IXVH EHWZHHQ WKH IXHO WHPSHUDWXUH VHQVRU VLJQDO FLUFXLW DQG QRUPDO *1'

6HW WKH LQMHFWRU ,' FRGH RQ WKH (&0 3HUIRUP WKH XQLW GLIIHUHQFH OHDUQLQJ RI WKH IXHO VXSSO\ SXPS WR WKH (&0

'7& 3 &RQILUP 5HVROXWLRQ

&OHDU WKH '7& XVLQJ WKH WURXEOH GLDJQRVLV VFDQ WRRO

7XUQ WKH VWDUWHU VZLWFK 2)) IRU VHFRQGV RU ORQJHU

6WDUW WKH HQJLQH

3HUIRUP D WHVW UXQ

1RWH㸸 ࣭ 5XQ WKH HQJLQH IRU PLQXWHV RU ORQJHU

8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FRQILUP WKDW D '7& KDV QRW EHHQ GHWHFWHG


$ (QJLQH &RQWURO +.

'7& 3 )ODVK &RGH )XHO 5DLO 3UHVVXUH 6HQVRU &LUFXLW /RZ

'7& 3 3ULRULW\ '7&

,QVSHFW WKH (&0 KDUQHVV FRQQHFWRU IRU D FRQWDFW IDLOXUH

'7& 3

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KDUQHVV FRQQHFWRU

'7& 3 'LDJQRVWLFV

7XUQ 2)) WKH VWDUWHU VZLWFK

'LVFRQQHFW WKH KDUQHVV FRQQHFWRU IURP WKH IXHO SUHVVXUH VHQVRU

&KHFN WKH IXHO UDLO SUHVVXUH VHQVRU GLVSOD\ ZLWK WKH WURXEOH GLDJQRVLV VFDQ WRRO

,I WKH KDUQHVV FRQQHFWRU LV QRUPDO UHSODFH WKH (&0 5HIHU WR (QJLQH - (OHFWULFDO +. (&0 5HPRYDO 5HIHU WR (QJLQH - (OHFWULFDO +. (&0 ,QVWDOODWLRQ

YROWDJH㸸 9

,I LW LV DW RU EHORZ WKH VWDQGDUG YDOXH LQVSHFW WR VHH LI WKHUH LV D VKRUW FLUFXLW WR WKH *1' ZLWK WKH VLJQDO FLUFXLW EHWZHHQ WKH (&0 DQG WKH IXHO SUHVVXUH VHQVRU

6HW WKH LQMHFWRU ,' FRGH RQ WKH (&0 3HUIRUP WKH XQLW GLIIHUHQFH OHDUQLQJ RI WKH IXHO VXSSO\ SXPS WR WKH (&0

'7& 3 &RQILUP 5HVROXWLRQ

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH VLJQDO FLUFXLW

&OHDU WKH '7& XVLQJ WKH WURXEOH GLDJQRVLV VFDQ WRRO

0HDVXUH WKH YROWDJH EHWZHHQ WKH IXHO SUHVVXUH VHQVRU 9 SRZHU VXSSO\ FLUFXLW DQG QRUPDO *1'

7XUQ WKH VWDUWHU VZLWFK 2)) IRU VHFRQGV RU ORQJHU

6WDUW WKH HQJLQH

3HUIRUP D WHVW UXQ

8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FRQILUP WKDW D '7& KDV QRW EHHQ GHWHFWHG

YROWDJH㸸 9

,I LW LV DW RU DERYH WKH VWDQGDUG YDOXH LQVSHFW WR VHH LI WKHUH LV D FRQWDFW IDLOXUH ZLWK WKH IXHO SUHVVXUH VHQVRU KDUQHVV FRQQHFWRU

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KDUQHVV FRQQHFWRU

,I WKH KDUQHVV FRQQHFWRU LV QRUPDO UHSODFH WKH IXHO SUHVVXUH VHQVRU

5HIHU WR (QJLQH & )XHO 6\VWHP +. &RPPRQ UDLO DVVHPEO\ 5HPRYDO 5HIHU WR (QJLQH & )XHO 6\VWHP +. &RPPRQ UDLO DVVHPEO\ ,QVWDOODWLRQ 1RWH㸸 ࣭ 'R QRW UHSODFH WKH IXHO SUHVVXUH VHQVRU VHSDUDWHO\ :KHQ D SUREOHP LV IRXQG UHSODFH WKH FRPPRQ UDLO DVVHPEO\ ,QVSHFW WR VHH LI WKHUH LV DQ RSHQ FLUFXLW RU KLJK UHVLVWDQFH ZLWK WKH 9 SRZHU VXSSO\ FLUFXLW EHWZHHQ WKH (&0 DQG IXHO SUHVVXUH VHQVRU 1RWH㸸 ࣭ 7KH IXHO SUHVVXUH VHQVRU VKDUHV WKH 9 SRZHU VXSSO\ FLUFXLW ZLWK RWKHU VHQVRUV ࣭ 7KH '7& VHW RQ D VHQVRU ZKLFK VKDUHV WKLV FLUFXLW PD\ EH GHWHFWHG ,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH 9 SRZHU VXSSO\ FLUFXLW


(QJLQH &RQWURO +. $

'7& 3 )ODVK &RGH )XHO 5DLO 3UHVVXUH 6HQVRU &LUFXLW +LJK

'7& 3 3ULRULW\ '7&

1RWH㸸 ࣭ 'R QRW UHSODFH WKH IXHO SUHVVXUH VHQVRU VHSDUDWHO\ :KHQ D SUREOHP LV IRXQG UHSODFH WKH FRPPRQ UDLO DVVHPEO\

'7& 3

'7& 3 'LDJQRVWLFV

7XUQ 2)) WKH VWDUWHU VZLWFK

'LVFRQQHFW WKH KDUQHVV FRQQHFWRU IURP WKH IXHO SUHVVXUH VHQVRU

7XUQ 21 WKH VWDUWHU VZLWFK

0HDVXUH WKH YROWDJH EHWZHHQ WKH IXHO SUHVVXUH VHQVRU VLJQDO FLUFXLW DQG QRUPDO *1'

,QVSHFW WR VHH LI WKHUH LV DQ RSHQ FLUFXLW RU KLJK UHVLVWDQFH LQ WKH *1' FLUFXLW EHWZHHQ WKH (&0 DQG WKH IXHO SUHVVXUH VHQVRU

YROWDJH㸸 9

1RWH㸸 ࣭ 7KH IXHO SUHVVXUH VHQVRU VKDUHV WKH *1' FLUFXLW ZLWK RWKHU VHQVRUV ࣭ 7KH '7& VHW RQ D VHQVRU ZKLFK VKDUHV WKLV FLUFXLW PD\ EH GHWHFWHG

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH *1' FLUFXLW

,I LW LV DW RU DERYH WKH VWDQGDUG YDOXH LQVSHFW WR VHH LI WKHUH LV D VKRUW FLUFXLW WR WKH EDWWHU\ RU LJQLWLRQ SRZHU VXSSO\ ZLWK WKH VLJQDO FLUFXLW EHWZHHQ WKH (&0 DQG WKH IXHO SUHVVXUH VHQVRU

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH VLJQDO FLUFXLW

0HDVXUH WKH YROWDJH EHWZHHQ WKH IXHO SUHVVXUH VHQVRU VLJQDO FLUFXLW DQG QRUPDO *1'

,QVSHFW WR VHH LI WKHUH LV DQ RSHQ FLUFXLW RU KLJK UHVLVWDQFH LQ WKH VLJQDO FLUFXLW EHWZHHQ WKH (&0 DQG WKH IXHO SUHVVXUH VHQVRU ,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH VLJQDO FLUFXLW ,QVSHFW WKH (&0 KDUQHVV FRQQHFWRU IRU D FRQWDFW IDLOXUH

YROWDJH㸸 9

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KDUQHVV FRQQHFWRU

,I LW LV DW RU DERYH WKH VWDQGDUG YDOXH LQVSHFW WR VHH LI WKHUH LV D VKRUW FLUFXLW WR WKH 9 SRZHU VXSSO\ FLUFXLW ZLWK WKH VLJQDO FLUFXLW EHWZHHQ WKH (&0 DQG WKH IXHO SUHVVXUH VHQVRU

,I WKH KDUQHVV FRQQHFWRU LV QRUPDO UHSODFH WKH (&0 5HIHU WR (QJLQH - (OHFWULFDO +. (&0 5HPRYDO

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH VLJQDO FLUFXLW

&RQQHFW WKH WHVW FDEOH ZLWK IXVH EHWZHHQ WKH IXHO SUHVVXUH VHQVRU VLJQDO FLUFXLW DQG *1' FLUFXLW

5HIHU WR (QJLQH - (OHFWULFDO +. (&0 ,QVWDOODWLRQ

&KHFN WKH IXHO UDLO SUHVVXUH VHQVRU GLVSOD\ ZLWK WKH WURXEOH GLDJQRVLV VFDQ WRRO

6HW WKH LQMHFWRU ,' FRGH RQ WKH (&0 3HUIRUP WKH XQLW GLIIHUHQFH OHDUQLQJ RI WKH IXHO VXSSO\ SXPS WR WKH (&0

YROWDJH㸸 9 ,I LW LV DW RU EHORZ WKH VWDQGDUG YDOXH LQVSHFW WR VHH LI WKHUH LV D FRQWDFW IDLOXUH ZLWK WKH IXHO SUHVVXUH VHQVRU KDUQHVV FRQQHFWRU ,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KDUQHVV FRQQHFWRU ,I WKH KDUQHVV FRQQHFWRU LV QRUPDO UHSODFH WKH IXHO SUHVVXUH VHQVRU 5HIHU WR (QJLQH & )XHO 6\VWHP +. &RPPRQ UDLO DVVHPEO\ 5HPRYDO 5HIHU WR (QJLQH & )XHO 6\VWHP +. &RPPRQ UDLO DVVHPEO\ ,QVWDOODWLRQ

'7& 3 &RQILUP 5HVROXWLRQ

&OHDU WKH '7& XVLQJ WKH WURXEOH GLDJQRVLV VFDQ WRRO

7XUQ WKH VWDUWHU VZLWFK 2)) IRU VHFRQGV RU ORQJHU

6WDUW WKH HQJLQH

3HUIRUP D WHVW UXQ

8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FRQILUP WKDW D '7& KDV QRW EHHQ GHWHFWHG


$ (QJLQH &RQWURO +.

'7& 3 )ODVK &RGH ,QMHFWRU &LUFXLW &\OLQGHU

'7& 3 'LDJQRVWLFV

7XUQ 2)) WKH VWDUWHU VZLWFK

'LVFRQQHFW WKH LQMHFWRU KDUQHVV LQWHUPHGLDWH FRQQHFWRU IURP WKH F\OLQGHU KHDG FRYHU FDVH

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KDUQHVV FRQQHFWRU ,I WKH KDUQHVV FRQQHFWRU LV QRUPDO UHSODFH WKH (&0 5HIHU WR (QJLQH - (OHFWULFDO +. (&0 5HPRYDO

0HDVXUH WKH UHVLVWDQFH EHWZHHQ WKH ILUVW F\OLQGHU LQMHFWRU SRZHU VXSSO\ WHUPLQDO DQG WKH ILUVW F\OLQGHU LQMHFWRU GULYH VLJQDO WHUPLQDO RI WKH LQMHFWRU KDUQHVV LQWHUPHGLDWH FRQQHFWRU

5HIHU WR (QJLQH - (OHFWULFDO +. (&0 ,QVWDOODWLRQ 6HW WKH LQMHFWRU ,' FRGH RQ WKH (&0

UHVLVWDQFH㸸 ȍ

,I LW LV DW RU EHORZ WKH VWDQGDUG YDOXH LQVSHFW WR VHH LI WKHUH LV DQ RSHQ FLUFXLW RU KLJK UHVLVWDQFH ZLWK WKH FLUFXLW EHWZHHQ WKH (&0 DQG LQMHFWRU KDUQHVV LQWHUPHGLDWH FRQQHFWRU

3HUIRUP WKH XQLW GLIIHUHQFH OHDUQLQJ RI WKH IXHO VXSSO\ SXPS WR WKH (&0

'7& 3 &RQILUP 5HVROXWLRQ

&OHDU WKH '7& XVLQJ WKH WURXEOH GLDJQRVLV VFDQ WRRO

5HSDLU WKH FLUFXLW LI D SUREOHP LV GLVFRYHUHG

7XUQ WKH VWDUWHU VZLWFK 2)) IRU VHFRQGV RU ORQJHU

5HPRYH WKH F\OLQGHU KHDG FRYHU

6WDUW WKH HQJLQH

,QVSHFW WR VHH LI WKH ILUVW F\OLQGHU LQMHFWRU KDUQHVV WLJKWHQLQJ QXW LV ORRVH

3HUIRUP D WHVW UXQ

,I WKH ILUVW F\OLQGHU LQMHFWRU KDUQHVV WLJKWHQLQJ QXW LV ORRVH WLJKWHQ LW

8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FRQILUP WKDW D '7& KDV QRW EHHQ GHWHFWHG

,QVSHFW WR VHH LI D IRUHLJQ PDWWHU LV DWWDFKHG WR WKH ILUVW F\OLQGHU LQMHFWRU WHUPLQDO

,I D IRUHLJQ PDWWHU LV DWWDFKHG WR WKH ILUVW F\OLQGHU LQMHFWRU WHUPLQDO UHPRYH LW ,QVSHFW WKH LQMHFWRU KDUQHVV LQWHUPHGLDWH FRQQHFWRU IRU D FRQWDFW IDLOXUH ,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH FRQQHFWRU ,QVSHFW WKH FLUFXLW EHWZHHQ WKH ILUVW F\OLQGHU LQMHFWRU DQG LQWHUPHGLDWH FRQQHFWRU ࣭7KHUH VKRXOG EH QR RSHQ FLUFXLW RU KLJK UHVLVWDQFH ࣭7KHUH VKRXOG EH QR VKRUW EHWZHHQ WKH LQMHFWRU FLUFXLWV 5HSDLU WKH FLUFXLW LI D SUREOHP LV GLVFRYHUHG ,I WKH FLUFXLW LV QRUPDO UHSODFH WKH ILUVW F\OLQGHU LQMHFWRU 5HIHU WR (QJLQH & )XHO 6\VWHP +. ,QMHFWRU 5HPRYDO 5HIHU WR (QJLQH & )XHO 6\VWHP +. ,QMHFWRU ,QVWDOODWLRQ :KHQ WKH LQMHFWRU KDV EHHQ UHSODFHG VHW WKH LQMHFWRU ,' FRGH RQ WKH (&0 ,QVSHFW WKH (&0 KDUQHVV FRQQHFWRU IRU D FRQWDFW IDLOXUH


(QJLQH &RQWURO +. $

'7& 3 )ODVK &RGH ,QMHFWRU &LUFXLW &\OLQGHU

'7& 3 'LDJQRVWLFV

7XUQ 2)) WKH VWDUWHU VZLWFK

'LVFRQQHFW WKH LQMHFWRU KDUQHVV LQWHUPHGLDWH FRQQHFWRU IURP WKH F\OLQGHU KHDG FRYHU FDVH

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KDUQHVV FRQQHFWRU ,I WKH KDUQHVV FRQQHFWRU LV QRUPDO UHSODFH WKH (&0 5HIHU WR (QJLQH - (OHFWULFDO +. (&0 5HPRYDO

0HDVXUH WKH UHVLVWDQFH EHWZHHQ WKH VHFRQG F\OLQGHU LQMHFWRU SRZHU VXSSO\ WHUPLQDO DQG WKH VHFRQG F\OLQGHU LQMHFWRU GULYH VLJQDO WHUPLQDO RI WKH LQMHFWRU KDUQHVV LQWHUPHGLDWH FRQQHFWRU

5HIHU WR (QJLQH - (OHFWULFDO +. (&0 ,QVWDOODWLRQ 6HW WKH LQMHFWRU ,' FRGH RQ WKH (&0

UHVLVWDQFH㸸 ȍ

,I LW LV DW RU EHORZ WKH VWDQGDUG YDOXH LQVSHFW WR VHH LI WKHUH LV DQ RSHQ FLUFXLW RU KLJK UHVLVWDQFH ZLWK WKH FLUFXLW EHWZHHQ WKH (&0 DQG LQMHFWRU KDUQHVV LQWHUPHGLDWH FRQQHFWRU

3HUIRUP WKH XQLW GLIIHUHQFH OHDUQLQJ RI WKH IXHO VXSSO\ SXPS WR WKH (&0

'7& 3 &RQILUP 5HVROXWLRQ

&OHDU WKH '7& XVLQJ WKH WURXEOH GLDJQRVLV VFDQ WRRO

5HSDLU WKH FLUFXLW LI D SUREOHP LV GLVFRYHUHG

7XUQ WKH VWDUWHU VZLWFK 2)) IRU VHFRQGV RU ORQJHU

5HPRYH WKH F\OLQGHU KHDG FRYHU

6WDUW WKH HQJLQH

,QVSHFW WR VHH LI WKH VHFRQG F\OLQGHU LQMHFWRU KDUQHVV WLJKWHQLQJ QXW LV ORRVH

3HUIRUP D WHVW UXQ

,I WKH VHFRQG F\OLQGHU LQMHFWRU KDUQHVV WLJKWHQLQJ QXW LV ORRVH WLJKWHQ LW

8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FRQILUP WKDW D '7& KDV QRW EHHQ GHWHFWHG

,QVSHFW WR VHH LI D IRUHLJQ PDWWHU LV DWWDFKHG WR WKH VHFRQG F\OLQGHU LQMHFWRU WHUPLQDO

,I D IRUHLJQ PDWWHU LV DWWDFKHG WR WKH VHFRQG F\OLQGHU LQMHFWRU WHUPLQDO UHPRYH LW ,QVSHFW WKH LQMHFWRU KDUQHVV LQWHUPHGLDWH FRQQHFWRU IRU D FRQWDFW IDLOXUH ,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH FRQQHFWRU ,QVSHFW WKH FLUFXLW EHWZHHQ WKH VHFRQG F\OLQGHU LQMHFWRU DQG LQWHUPHGLDWH FRQQHFWRU ࣭7KHUH VKRXOG EH QR RSHQ FLUFXLW RU KLJK UHVLVWDQFH ࣭7KHUH VKRXOG EH QR VKRUW EHWZHHQ WKH LQMHFWRU FLUFXLWV 5HSDLU WKH FLUFXLW LI D SUREOHP LV GLVFRYHUHG ,I WKH FLUFXLW LV QRUPDO UHSODFH WKH VHFRQG F\OLQGHU LQMHFWRU 5HIHU WR (QJLQH & )XHO 6\VWHP +. ,QMHFWRU 5HPRYDO 5HIHU WR (QJLQH & )XHO 6\VWHP +. ,QMHFWRU ,QVWDOODWLRQ :KHQ WKH LQMHFWRU KDV EHHQ UHSODFHG VHW WKH LQMHFWRU ,' FRGH RQ WKH (&0 ,QVSHFW WKH (&0 KDUQHVV FRQQHFWRU IRU D FRQWDFW IDLOXUH


$ (QJLQH &RQWURO +.

'7& 3 )ODVK &RGH ,QMHFWRU &LUFXLW &\OLQGHU

'7& 3 'LDJQRVWLFV

7XUQ 2)) WKH VWDUWHU VZLWFK

'LVFRQQHFW WKH LQMHFWRU KDUQHVV LQWHUPHGLDWH FRQQHFWRU IURP WKH F\OLQGHU KHDG FRYHU FDVH

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KDUQHVV FRQQHFWRU ,I WKH KDUQHVV FRQQHFWRU LV QRUPDO UHSODFH WKH (&0 5HIHU WR (QJLQH - (OHFWULFDO +. (&0 5HPRYDO

0HDVXUH WKH UHVLVWDQFH EHWZHHQ WKH WKLUG F\OLQGHU LQMHFWRU SRZHU VXSSO\ WHUPLQDO DQG WKH WKLUG F\OLQGHU LQMHFWRU GULYH VLJQDO WHUPLQDO RI WKH LQMHFWRU KDUQHVV LQWHUPHGLDWH FRQQHFWRU

5HIHU WR (QJLQH - (OHFWULFDO +. (&0 ,QVWDOODWLRQ 6HW WKH LQMHFWRU ,' FRGH RQ WKH (&0

UHVLVWDQFH㸸 ȍ

,I LW LV DW RU EHORZ WKH VWDQGDUG YDOXH LQVSHFW WR VHH LI WKHUH LV DQ RSHQ FLUFXLW RU KLJK UHVLVWDQFH ZLWK WKH FLUFXLW EHWZHHQ WKH (&0 DQG LQMHFWRU KDUQHVV LQWHUPHGLDWH FRQQHFWRU

3HUIRUP WKH XQLW GLIIHUHQFH OHDUQLQJ RI WKH IXHO VXSSO\ SXPS WR WKH (&0

'7& 3 &RQILUP 5HVROXWLRQ

&OHDU WKH '7& XVLQJ WKH WURXEOH GLDJQRVLV VFDQ WRRO

5HSDLU WKH FLUFXLW LI D SUREOHP LV GLVFRYHUHG

7XUQ WKH VWDUWHU VZLWFK 2)) IRU VHFRQGV RU ORQJHU

5HPRYH WKH F\OLQGHU KHDG FRYHU

6WDUW WKH HQJLQH

,QVSHFW WR VHH LI WKH WKLUG F\OLQGHU LQMHFWRU KDUQHVV WLJKWHQLQJ QXW LV ORRVH

3HUIRUP D WHVW UXQ

,I WKH WKLUG F\OLQGHU LQMHFWRU KDUQHVV WLJKWHQLQJ QXW LV ORRVH WLJKWHQ LW

8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FRQILUP WKDW D '7& KDV QRW EHHQ GHWHFWHG

,QVSHFW WR VHH LI D IRUHLJQ PDWWHU LV DWWDFKHG WR WKH WKLUG F\OLQGHU LQMHFWRU WHUPLQDO

,I D IRUHLJQ PDWWHU LV DWWDFKHG WR WKH WKLUG F\OLQGHU LQMHFWRU WHUPLQDO UHPRYH LW ,QVSHFW WKH LQMHFWRU KDUQHVV LQWHUPHGLDWH FRQQHFWRU IRU D FRQWDFW IDLOXUH ,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH FRQQHFWRU ,QVSHFW WKH FLUFXLW EHWZHHQ WKH WKLUG F\OLQGHU LQMHFWRU DQG LQWHUPHGLDWH FRQQHFWRU ࣭7KHUH VKRXOG EH QR RSHQ FLUFXLW RU KLJK UHVLVWDQFH ࣭7KHUH VKRXOG EH QR VKRUW EHWZHHQ WKH LQMHFWRU FLUFXLWV 5HSDLU WKH FLUFXLW LI D SUREOHP LV GLVFRYHUHG ,I WKH FLUFXLW LV QRUPDO UHSODFH WKH WKLUG F\OLQGHU LQMHFWRU 5HIHU WR (QJLQH & )XHO 6\VWHP +. ,QMHFWRU 5HPRYDO 5HIHU WR (QJLQH & )XHO 6\VWHP +. ,QMHFWRU ,QVWDOODWLRQ :KHQ WKH LQMHFWRU KDV EHHQ UHSODFHG VHW WKH LQMHFWRU ,' FRGH RQ WKH (&0 ,QVSHFW WKH (&0 KDUQHVV FRQQHFWRU IRU D FRQWDFW IDLOXUH


(QJLQH &RQWURO +. $

'7& 3 )ODVK &RGH ,QMHFWRU &LUFXLW &\OLQGHU

'7& 3 'LDJQRVWLFV

7XUQ 2)) WKH VWDUWHU VZLWFK

'LVFRQQHFW WKH LQMHFWRU KDUQHVV LQWHUPHGLDWH FRQQHFWRU IURP WKH F\OLQGHU KHDG FRYHU FDVH

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KDUQHVV FRQQHFWRU ,I WKH KDUQHVV FRQQHFWRU LV QRUPDO UHSODFH WKH (&0 5HIHU WR (QJLQH - (OHFWULFDO +. (&0 5HPRYDO

0HDVXUH WKH UHVLVWDQFH EHWZHHQ WKH IRXUWK F\OLQGHU LQMHFWRU SRZHU VXSSO\ WHUPLQDO DQG WKH IRXUWK F\OLQGHU LQMHFWRU GULYH VLJQDO WHUPLQDO RI WKH LQMHFWRU KDUQHVV LQWHUPHGLDWH FRQQHFWRU

5HIHU WR (QJLQH - (OHFWULFDO +. (&0 ,QVWDOODWLRQ 6HW WKH LQMHFWRU ,' FRGH RQ WKH (&0

UHVLVWDQFH㸸 ȍ

,I LW LV DW RU EHORZ WKH VWDQGDUG YDOXH LQVSHFW WR VHH LI WKHUH LV DQ RSHQ FLUFXLW RU KLJK UHVLVWDQFH ZLWK WKH FLUFXLW EHWZHHQ WKH (&0 DQG LQMHFWRU KDUQHVV LQWHUPHGLDWH FRQQHFWRU

3HUIRUP WKH XQLW GLIIHUHQFH OHDUQLQJ RI WKH IXHO VXSSO\ SXPS WR WKH (&0

'7& 3 &RQILUP 5HVROXWLRQ

&OHDU WKH '7& XVLQJ WKH WURXEOH GLDJQRVLV VFDQ WRRO

5HSDLU WKH FLUFXLW LI D SUREOHP LV GLVFRYHUHG

7XUQ WKH VWDUWHU VZLWFK 2)) IRU VHFRQGV RU ORQJHU

5HPRYH WKH F\OLQGHU KHDG FRYHU

6WDUW WKH HQJLQH

,QVSHFW WR VHH LI WKH IRXUWK F\OLQGHU LQMHFWRU KDUQHVV WLJKWHQLQJ QXW LV ORRVH

3HUIRUP D WHVW UXQ

,I WKH IRXUWK F\OLQGHU LQMHFWRU KDUQHVV WLJKWHQLQJ QXW LV ORRVH WLJKWHQ LW

8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FRQILUP WKDW D '7& KDV QRW EHHQ GHWHFWHG

,QVSHFW WR VHH LI D IRUHLJQ PDWWHU LV DWWDFKHG WR WKH IRXUWK F\OLQGHU LQMHFWRU WHUPLQDO

,I D IRUHLJQ PDWWHU LV DWWDFKHG WR WKH IRXUWK F\OLQGHU LQMHFWRU WHUPLQDO UHPRYH LW ,QVSHFW WKH LQMHFWRU KDUQHVV LQWHUPHGLDWH FRQQHFWRU IRU D FRQWDFW IDLOXUH ,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH FRQQHFWRU ,QVSHFW WKH FLUFXLW EHWZHHQ WKH IRXUWK F\OLQGHU LQMHFWRU DQG LQWHUPHGLDWH FRQQHFWRU ࣭7KHUH VKRXOG EH QR RSHQ FLUFXLW RU KLJK UHVLVWDQFH ࣭7KHUH VKRXOG EH QR VKRUW EHWZHHQ WKH LQMHFWRU FLUFXLWV 5HSDLU WKH FLUFXLW LI D SUREOHP LV GLVFRYHUHG ,I WKH FLUFXLW LV QRUPDO UHSODFH WKH IRXUWK F\OLQGHU LQMHFWRU 5HIHU WR (QJLQH & )XHO 6\VWHP +. ,QMHFWRU 5HPRYDO 5HIHU WR (QJLQH & )XHO 6\VWHP +. ,QMHFWRU ,QVWDOODWLRQ :KHQ WKH LQMHFWRU KDV EHHQ UHSODFHG VHW WKH LQMHFWRU ,' FRGH RQ WKH (&0 ,QVSHFW WKH (&0 KDUQHVV FRQQHFWRU IRU D FRQWDFW IDLOXUH


$ (QJLQH &RQWURO +.

'7& 3 )ODVK &RGH ,QMHFWRU &LUFXLW &\OLQGHU

'7& 3 'LDJQRVWLFV

7XUQ 2)) WKH VWDUWHU VZLWFK

'LVFRQQHFW WKH LQMHFWRU KDUQHVV LQWHUPHGLDWH FRQQHFWRU IURP WKH F\OLQGHU KHDG FRYHU FDVH

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KDUQHVV FRQQHFWRU ,I WKH KDUQHVV FRQQHFWRU LV QRUPDO UHSODFH WKH (&0 5HIHU WR (QJLQH - (OHFWULFDO +. (&0 5HPRYDO

0HDVXUH WKH UHVLVWDQFH EHWZHHQ WKH ILIWK F\OLQGHU LQMHFWRU SRZHU VXSSO\ WHUPLQDO DQG WKH ILIWK F\OLQGHU LQMHFWRU GULYH VLJQDO WHUPLQDO RI WKH LQMHFWRU KDUQHVV LQWHUPHGLDWH FRQQHFWRU

5HIHU WR (QJLQH - (OHFWULFDO +. (&0 ,QVWDOODWLRQ 6HW WKH LQMHFWRU ,' FRGH RQ WKH (&0

UHVLVWDQFH㸸 ȍ

,I LW LV DW RU EHORZ WKH VWDQGDUG YDOXH LQVSHFW WR VHH LI WKHUH LV DQ RSHQ FLUFXLW RU KLJK UHVLVWDQFH ZLWK WKH FLUFXLW EHWZHHQ WKH (&0 DQG LQMHFWRU KDUQHVV LQWHUPHGLDWH FRQQHFWRU

3HUIRUP WKH XQLW GLIIHUHQFH OHDUQLQJ RI WKH IXHO VXSSO\ SXPS WR WKH (&0

'7& 3 &RQILUP 5HVROXWLRQ

&OHDU WKH '7& XVLQJ WKH WURXEOH GLDJQRVLV VFDQ WRRO

5HSDLU WKH FLUFXLW LI D SUREOHP LV GLVFRYHUHG

7XUQ WKH VWDUWHU VZLWFK 2)) IRU VHFRQGV RU ORQJHU

5HPRYH WKH F\OLQGHU KHDG FRYHU

6WDUW WKH HQJLQH

,QVSHFW WR VHH LI WKH ILIWK F\OLQGHU LQMHFWRU KDUQHVV WLJKWHQLQJ QXW LV ORRVH

3HUIRUP D WHVW UXQ

,I WKH ILIWK F\OLQGHU LQMHFWRU KDUQHVV WLJKWHQLQJ QXW LV ORRVH WLJKWHQ LW

8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FRQILUP WKDW D '7& KDV QRW EHHQ GHWHFWHG

,QVSHFW WR VHH LI D IRUHLJQ PDWWHU LV DWWDFKHG WR WKH ILIWK F\OLQGHU LQMHFWRU WHUPLQDO

,I D IRUHLJQ PDWWHU LV DWWDFKHG WR WKH ILIWK F\OLQGHU LQMHFWRU WHUPLQDO UHPRYH LW ,QVSHFW WKH LQMHFWRU KDUQHVV LQWHUPHGLDWH FRQQHFWRU IRU D FRQWDFW IDLOXUH ,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH FRQQHFWRU ,QVSHFW WKH FLUFXLW EHWZHHQ WKH ILIWK F\OLQGHU LQMHFWRU DQG LQWHUPHGLDWH FRQQHFWRU ࣭7KHUH VKRXOG EH QR RSHQ FLUFXLW RU KLJK UHVLVWDQFH ࣭7KHUH VKRXOG EH QR VKRUW EHWZHHQ WKH LQMHFWRU FLUFXLWV 5HSDLU WKH FLUFXLW LI D SUREOHP LV GLVFRYHUHG ,I WKH FLUFXLW LV QRUPDO UHSODFH WKH ILIWK F\OLQGHU LQMHFWRU 5HIHU WR (QJLQH & )XHO 6\VWHP +. ,QMHFWRU 5HPRYDO 5HIHU WR (QJLQH & )XHO 6\VWHP +. ,QMHFWRU ,QVWDOODWLRQ :KHQ WKH LQMHFWRU KDV EHHQ UHSODFHG VHW WKH LQMHFWRU ,' FRGH RQ WKH (&0 ,QVSHFW WKH (&0 KDUQHVV FRQQHFWRU IRU D FRQWDFW IDLOXUH


(QJLQH &RQWURO +. $

'7& 3 )ODVK &RGH ,QMHFWRU &LUFXLW &\OLQGHU

'7& 3 'LDJQRVWLFV

7XUQ 2)) WKH VWDUWHU VZLWFK

'LVFRQQHFW WKH LQMHFWRU KDUQHVV LQWHUPHGLDWH FRQQHFWRU IURP WKH F\OLQGHU KHDG FRYHU FDVH

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KDUQHVV FRQQHFWRU ,I WKH KDUQHVV FRQQHFWRU LV QRUPDO UHSODFH WKH (&0 5HIHU WR (QJLQH - (OHFWULFDO +. (&0 5HPRYDO

0HDVXUH WKH UHVLVWDQFH EHWZHHQ WKH VL[WK F\OLQGHU LQMHFWRU SRZHU VXSSO\ WHUPLQDO DQG WKH VL[WK F\OLQGHU LQMHFWRU GULYH VLJQDO WHUPLQDO RI WKH LQMHFWRU KDUQHVV LQWHUPHGLDWH FRQQHFWRU

5HIHU WR (QJLQH - (OHFWULFDO +. (&0 ,QVWDOODWLRQ 6HW WKH LQMHFWRU ,' FRGH RQ WKH (&0

UHVLVWDQFH㸸 ȍ

,I LW LV DW RU EHORZ WKH VWDQGDUG YDOXH LQVSHFW WR VHH LI WKHUH LV DQ RSHQ FLUFXLW RU KLJK UHVLVWDQFH ZLWK WKH FLUFXLW EHWZHHQ WKH (&0 DQG LQMHFWRU KDUQHVV LQWHUPHGLDWH FRQQHFWRU

3HUIRUP WKH XQLW GLIIHUHQFH OHDUQLQJ RI WKH IXHO VXSSO\ SXPS WR WKH (&0

'7& 3 &RQILUP 5HVROXWLRQ

&OHDU WKH '7& XVLQJ WKH WURXEOH GLDJQRVLV VFDQ WRRO

5HSDLU WKH FLUFXLW LI D SUREOHP LV GLVFRYHUHG

7XUQ WKH VWDUWHU VZLWFK 2)) IRU VHFRQGV RU ORQJHU

5HPRYH WKH F\OLQGHU KHDG FRYHU

6WDUW WKH HQJLQH

,QVSHFW WR VHH LI WKH VL[WK F\OLQGHU LQMHFWRU KDUQHVV WLJKWHQLQJ QXW LV ORRVH

3HUIRUP D WHVW UXQ

,I WKH VL[WK F\OLQGHU LQMHFWRU KDUQHVV WLJKWHQLQJ QXW LV ORRVH WLJKWHQ LW

8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FRQILUP WKDW D '7& KDV QRW EHHQ GHWHFWHG

,QVSHFW WR VHH LI D IRUHLJQ PDWWHU LV DWWDFKHG WR WKH VL[WK F\OLQGHU LQMHFWRU WHUPLQDO

,I D IRUHLJQ PDWWHU LV DWWDFKHG WR WKH VL[WK F\OLQGHU LQMHFWRU WHUPLQDO UHPRYH LW ,QVSHFW WKH LQMHFWRU KDUQHVV LQWHUPHGLDWH FRQQHFWRU IRU D FRQWDFW IDLOXUH ,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH FRQQHFWRU ,QVSHFW WKH FLUFXLW EHWZHHQ WKH VL[WK F\OLQGHU LQMHFWRU DQG LQWHUPHGLDWH FRQQHFWRU ࣭7KHUH VKRXOG EH QR RSHQ FLUFXLW RU KLJK UHVLVWDQFH ࣭7KHUH VKRXOG EH QR VKRUW EHWZHHQ WKH LQMHFWRU FLUFXLWV 5HSDLU WKH FLUFXLW LI D SUREOHP LV GLVFRYHUHG ,I WKH FLUFXLW LV QRUPDO UHSODFH WKH VL[WK F\OLQGHU LQMHFWRU 5HIHU WR (QJLQH & )XHO 6\VWHP +. ,QMHFWRU 5HPRYDO 5HIHU WR (QJLQH & )XHO 6\VWHP +. ,QMHFWRU ,QVWDOODWLRQ :KHQ WKH LQMHFWRU KDV EHHQ UHSODFHG VHW WKH LQMHFWRU ,' FRGH RQ WKH (&0 ,QVSHFW WKH (&0 KDUQHVV FRQQHFWRU IRU D FRQWDFW IDLOXUH


$ (QJLQH &RQWURO +.

'7& 3 )ODVK &RGH (QJLQH &RRODQW 2YHU 7HPSHUDWXUH &RQGLWLRQ

'7& 3 3ULRULW\ '7&

'7& 3

'7& 3 'LDJQRVWLFV

,QVSHFW WKH HQJLQH FRROLQJ V\VWHP

5HIHU WR (QJLQH ' &RROLQJ +. &RRODQW ,QVSHFWLRQ 5HIHU WR (QJLQH ' &RROLQJ +. 'ULYH EHOW ,QVSHFWLRQ 5HIHU WR (QJLQH ' &RROLQJ +. 7KHUPRVWDW ,QVSHFWLRQ 5HIHU WR (QJLQH ' &RROLQJ +. :DWHU SXPS DVVHPEO\ ,QVSHFWLRQ 5HIHU WR (QJLQH ' &RROLQJ +. 5DGLDWRU ,QVSHFWLRQ

:KLOH FKHFNLQJ WKH FRRODQW WHPSHUDWXUH GLVSOD\ ZLWK WKH WURXEOH GLDJQRVLV VFDQ WRRO VWDUW WKH HQJLQH

:DLW XQWLO WKH HQJLQH KDV EHHQ FRPSOHWHO\ ZDUPHG XS

8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FKHFN LI WKH FRRODQW WHPSHUDWXUH GLVSOD\ LV DW RU DERYH WKH VWDQGDUG YDOXH

6SHFLILHG YDOXH㸸 Я ^ ) `

,I LW LV DW RU EHORZ WKH VWDQGDUG YDOXH FKHFN ZLWK WKH GULYHU LI WKH RYHUKHDW RFFXUUHG GXH WR D FDXVH VXFK DV ORZ HQJLQH FRRODQW OHYHO

0DNH VXUH WR LQVSHFW WKH HQJLQH LI LW KDV H[SHULHQFHG HQJLQH RYHUKHDW LQ WKH SDVW

,QVSHFW WKH HQJLQH FRRODQW WHPSHUDWXUH VHQVRU

5HIHU WR (QJLQH ' &RROLQJ +. (QJLQH FRRODQW WHPSHUDWXUH VHQVRU ,QVSHFWLRQ

,I DQ\ DEQRUPDOLW\ LV IRXQG LQ WKH LQVSHFWLRQ UHVXOWV UHSODFH WKH ZDWHU WHPSHUDWXUH VHQVRU

5HIHU WR (QJLQH ' &RROLQJ +. (QJLQH FRRODQW WHPSHUDWXUH VHQVRU 5HPRYDO 5HIHU WR (QJLQH ' &RROLQJ +. (QJLQH FRRODQW WHPSHUDWXUH VHQVRU ,QVWDOODWLRQ

'7& 3 &RQILUP 5HVROXWLRQ

&OHDU WKH '7& XVLQJ WKH WURXEOH GLDJQRVLV VFDQ WRRO

7XUQ WKH VWDUWHU VZLWFK 2)) IRU VHFRQGV RU ORQJHU

:KLOH FKHFNLQJ WKH FRRODQW WHPSHUDWXUH GLVSOD\ ZLWK WKH WURXEOH GLDJQRVLV VFDQ WRRO VWDUW WKH HQJLQH DQG ZDLW XQWLO LW LV FRPSOHWHO\ ZDUPHG XS

&RQILUP WKDW WKH FRRODQW WHPSHUDWXUH GLVSOD\ GRHV QRW VKRZ D YDOXH DW RU DERYH WKH VWDQGDUG YDOXH

6SHFLILHG YDOXH㸸 Я ^ ) `

8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FRQILUP WKDW D '7& KDV QRW EHHQ GHWHFWHG


(QJLQH &RQWURO +. $

'7& 3 )ODVK &RGH (QJLQH 2YHUVSHHG &RQGLWLRQ

'7& 3 3ULRULW\ '7& '7& 3 '7& 3

'7& 3 'LDJQRVWLFV

7XUQ WKH VWDUWHU VZLWFK 2)) IRU VHFRQGV

6WDUW WKH HQJLQH

&KHFN WKH HQJLQH 530 GLVSOD\ ZLWK WKH WURXEOH GLDJQRVLV VFDQ WRRO

,QFUHDVH WKH HQJLQH 530 DV QHHGHG

&KHFN WKH HQJLQH 530 GLVSOD\ ZLWK WKH WURXEOH GLDJQRVLV VFDQ WRRO

URWDWLRQDO VSHHG㸸 RPM

:KHQ WKH VWDQGDUG YDOXH KDV QRW EHHQ H[FHHGHG FKHFN ZLWK WKH RSHUDWRU LI DQ RSHUDWLRQ IDLOXUH KDV RFFXUUHG GXH WR WKH RYHUUXQ

0DNH VXUH WR LQVSHFW WKH HQJLQH LI LW KDV H[SHULHQFHG HQJLQH RYHUUXQ LQ WKH SDVW

,QVSHFW WKH &.3 VHQVRU

5HIHU WR (QJLQH % 0HFKDQLFDO +. &.3 VHQVRU ,QVSHFWLRQ

,I DQ\ DEQRUPDOLW\ LV IRXQG LQ WKH LQVSHFWLRQ UHVXOWV UHSODFH WKH FUDQNVKDIW SRVLWLRQ VHQVRU

5HIHU WR (QJLQH % 0HFKDQLFDO +. &.3 VHQVRU 5HPRYDO 5HIHU WR (QJLQH % 0HFKDQLFDO +. &.3 VHQVRU ,QVWDOODWLRQ

'7& 3 &RQILUP 5HVROXWLRQ

&OHDU WKH '7& XVLQJ WKH WURXEOH GLDJQRVLV VFDQ WRRO

7XUQ WKH VWDUWHU VZLWFK 2)) IRU VHFRQGV RU ORQJHU

6WDUW WKH HQJLQH DQG UHY WKH HQJLQH D IHZ WLPHV LQ QHXWUDO EHWZHHQ WKH LGOLQJ VSHHG DQG WKH PD[LPXP UHYROXWLRQ VSHHG ZLWKRXW ORDG ZKLOH FKHFNLQJ WKH HQJLQH USP GLVSOD\ ZLWK WKH WURXEOH GLDJQRVLV VFDQ WRRO

&RQILUP WKDW WKH HQJLQH 530 GLVSOD\ GRHV QRW H[FHHG WKH VWDQGDUG YDOXH

URWDWLRQDO VSHHG㸸 RPM

8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FRQILUP WKDW D '7& KDV QRW EHHQ GHWHFWHG


$ (QJLQH &RQWURO +.

'7& 3 )ODVK &RGH 7XUERFKDUJHU 2YHUERRVW &RQGLWLRQ

'7& 3 3ULRULW\ '7&

1RWH㸸 ࣭ 7KH DWPRVSKHULF SUHVVXUH LQ WKH WURXEOH GLDJQRVLV VFDQ WRRO QRUPDOO\ LQGLFDWHV D YDOXH FORVH WR WKH VXUURXQGLQJ DWPRVSKHULF SUHVVXUH

'7& 3 '7& 3 '7& 3

,I WKH DWPRVSKHULF SUHVVXUH GLVSOD\ LV ZLWKLQ WKH VWDQGDUG UDQJH LQVSHFW WKH ERRVW VHQVRU V\VWHP

'7& 3 '7& 3

5HIHU WR (QJLQH ) ,QGXFWLRQ +. %RRVW VHQVRU ,QVSHFWLRQ

'7& 3

'7& 3 'LDJQRVWLFV

7XUQ 21 WKH VWDUWHU VZLWFK

&KHFN WKH GLIIHUHQFH EHWZHHQ WKH ERRVW SUHVVXUH GLVSOD\ DQG WKH DWPRVSKHULF SUHVVXUH GLVSOD\ ZLWK WKH WURXEOH GLDJQRVLV VFDQ WRRO

,I WKH LQVSHFWLRQ UHVXOW RI WKH ERRVW VHQVRU KDV D SUREOHP UHSODFH WKH ERRVW VHQVRU 5HIHU WR (QJLQH ) ,QGXFWLRQ +. %RRVW VHQVRU 5HPRYDO 5HIHU WR (QJLQH ) ,QGXFWLRQ +. %RRVW VHQVRU ,QVWDOODWLRQ

VSHFLILHG YDOXH㸸 N3D ^ .5 SVL `

,I WKH DWPRVSKHULF SUHVVXUH GLVSOD\ LV RXWVLGH WKH VWDQGDUG UDQJH LQVSHFW WKH DWPRVSKHULF SUHVVXUH VHQVRU V\VWHP

1RWH㸸 ࣭ 7KH YDOXH LV QRUPDO LI WKH ERRVW SUHVVXUH LQGLFDWHG E\ WKH WURXEOH GLDJQRVLV VFDQ WRRO LV FORVH WR WKH DWPRVSKHULF SUHVVXUH ZKHQ WKH VWDUWHU VZLWFK LV 21 DQG WKH HQJLQH LV VWRSSHG

,I WKH LQVSHFWLRQ UHVXOW RI WKH DWPRVSKHULF SUHVVXUH VHQVRU KDV D SUREOHP UHSODFH WKH DWPRVSKHULF SUHVVXUH VHQVRU

,I LW LV DW RU EHORZ WKH VWDQGDUG YDOXH LQVSHFW WR VHH LI WKHUH LV D IDLOXUH ZLWK WKH DFWXDWRU ZKLFK FRQWUROV WKH WXUERFKDUJHU QR]]OH

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH DFWXDWRU

3HUIRUP WKH LQWDNH WKURWWOH WHVW ZLWK WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FKHFN WKH LQWDNH WKURWWOH YDOYH IRU IL[LQJ

,QVSHFW WKH (&0 KDUQHVV FRQQHFWRU IRU D FRQWDFW IDLOXUH ,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KDUQHVV FRQQHFWRU

'7& 3 &RQILUP 5HVROXWLRQ

&OHDU WKH '7& XVLQJ WKH WURXEOH GLDJQRVLV VFDQ WRRO

7XUQ WKH VWDUWHU VZLWFK 2)) IRU VHFRQGV RU ORQJHU

&KHFN WR VHH LI WKHUH LV RLO PL[LQJ LQ WKH DLU LQWDNH SLSLQJ

6WDUW WKH HQJLQH

3HUIRUP D WHVW UXQ

,I RLO LV DWWDFKHG LQVLGH WKH SLSH WKH LQWHUFRROHU RU WKH WXUERFKDUJHU ZLSH LW RII

8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FRQILUP WKDW D '7& KDV QRW EHHQ GHWHFWHG

8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FRQILUP WKDW WKH ERRVW VHQVRU VLJQDO LV QRUPDO

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH LQWDNH WKURWWOH YDOYH

&RPSDUH WKH VHQVRU YDOXHV XQGHU YDULRXV ORDG FRQGLWLRQV WR FKHFN IRU DQ DEQRUPDOO\ KLJK YDOXH ,I LW LV DW RU DERYH WKH VWDQGDUG YDOXH FRPSDUH WKH YDOXH RI WKH DWPRVSKHULF SUHVVXUH ZLWK WKH VXUURXQGLQJ DWPRVSKHULF SUHVVXUH 8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FKHFN LI WKH DWPRVSKHULF SUHVVXUH GLVSOD\ LV ZLWKLQ WKH VWDQGDUG UDQJH


(QJLQH &RQWURO +. $

'7& 3 )ODVK &RGH 7XUER &KDUJHU %RRVW 6HQVRU &LUFXLW /RZ

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH VLJQDO FLUFXLW

'7& 3 3ULRULW\ '7&

,QVSHFW WKH (&0 KDUQHVV FRQQHFWRU IRU D FRQWDFW IDLOXUH

'7& 3

'7& 3 'LDJQRVWLFV

7XUQ 2)) WKH VWDUWHU VZLWFK

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KDUQHVV FRQQHFWRU

'LVFRQQHFW WKH KDUQHVV FRQQHFWRU IURP WKH ERRVW VHQVRU

,I WKH KDUQHVV FRQQHFWRU LV QRUPDO UHSODFH WKH (&0

7XUQ 21 WKH VWDUWHU VZLWFK

5HIHU WR (QJLQH - (OHFWULFDO +. (&0 5HPRYDO

0HDVXUH WKH YROWDJH EHWZHHQ WKH 9 SRZHU VXSSO\ FLUFXLW RI WKH ERRVW VHQVRU KDUQHVV FRQQHFWRU DQG D QRUPDO *1'

5HIHU WR (QJLQH - (OHFWULFDO +. (&0 ,QVWDOODWLRQ 6HW WKH LQMHFWRU ,' FRGH RQ WKH (&0

YROWDJH㸸 9

,I LW LV DW RU EHORZ WKH VWDQGDUG YDOXH LQVSHFW WR VHH LI WKHUH LV DQ RSHQ FLUFXLW RU KLJK UHVLVWDQFH ZLWK WKH 9 SRZHU VXSSO\ FLUFXLW EHWZHHQ WKH (&0 DQG WKH ERRVW VHQVRU

1RWH㸸 ࣭ 7KH ERRVW VHQVRU VKDUHV WKH 9 SRZHU VXSSO\ FLUFXLW ZLWK RWKHU VHQVRUV ࣭ 7KH '7& VHW RQ D VHQVRU ZKLFK VKDUHV WKLV FLUFXLW PD\ EH GHWHFWHG

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH 9 SRZHU VXSSO\ FLUFXLW

&RQQHFW WKH WHVW FDEOH ZLWK IXVH EHWZHHQ WKH 9 SRZHU VXSSO\ FLUFXLW DQG WKH VLJQDO FLUFXLW RI WKH ERRVW VHQVRU KDUQHVV FRQQHFWRU

&KHFN WKH ERRVW SUHVVXUH VHQVRU GLVSOD\ ZLWK WKH WURXEOH GLDJQRVLV VFDQ WRRO

YROWDJH㸸 9

,I LW LV DW RU DERYH WKH VWDQGDUG YDOXH LQVSHFW WR VHH LI WKHUH LV D FRQWDFW IDLOXUH ZLWK WKH ERRVW VHQVRU KDUQHVV FRQQHFWRU

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KDUQHVV FRQQHFWRU ,I WKH KDUQHVV FRQQHFWRU LV QRUPDO UHSODFH WKH ERRVW VHQVRU 5HIHU WR (QJLQH ) ,QGXFWLRQ +. %RRVW VHQVRU 5HPRYDO 5HIHU WR (QJLQH ) ,QGXFWLRQ +. %RRVW VHQVRU ,QVWDOODWLRQ ,QVSHFW WKH VLJQDO FLUFXLW EHWZHHQ WKH (&0 DQG WKH ERRVW VHQVRU ࣭7KHUH VKRXOG EH QR RSHQ FLUFXLW RU KLJK UHVLVWDQFH ࣭7KHUH VKRXOG EH QR VKRUW WR *1'

3HUIRUP WKH XQLW GLIIHUHQFH OHDUQLQJ RI WKH IXHO VXSSO\ SXPS WR WKH (&0

'7& 3 &RQILUP 5HVROXWLRQ

&OHDU WKH '7& XVLQJ WKH WURXEOH GLDJQRVLV VFDQ WRRO

7XUQ WKH VWDUWHU VZLWFK 2)) IRU VHFRQGV RU ORQJHU

6WDUW WKH HQJLQH

3HUIRUP D WHVW UXQ

8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FRQILUP WKDW D '7& KDV QRW EHHQ GHWHFWHG


$ (QJLQH &RQWURO +.

'7& 3 )ODVK &RGH 7XUER &KDUJHU %RRVW 6HQVRU &LUFXLW +LJK

'7& 3 3ULRULW\ '7&

5HIHU WR (QJLQH - (OHFWULFDO +. (&0 ,QVWDOODWLRQ

'7& 3

6HW WKH LQMHFWRU ,' FRGH RQ WKH (&0

'7& 3 'LDJQRVWLFV

7XUQ 2)) WKH VWDUWHU VZLWFK

'LVFRQQHFW WKH KDUQHVV FRQQHFWRU IURP WKH ERRVW VHQVRU

&KHFN WKH ERRVW SUHVVXUH VHQVRU GLVSOD\ ZLWK WKH WURXEOH GLDJQRVLV VFDQ WRRO

3HUIRUP WKH XQLW GLIIHUHQFH OHDUQLQJ RI WKH IXHO VXSSO\ SXPS WR WKH (&0

'7& 3 &RQILUP 5HVROXWLRQ

&OHDU WKH '7& XVLQJ WKH WURXEOH GLDJQRVLV VFDQ WRRO

7XUQ WKH VWDUWHU VZLWFK 2)) IRU VHFRQGV RU ORQJHU

YROWDJH㸸 9

6WDUW WKH HQJLQH

3HUIRUP D WHVW UXQ

8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FRQILUP WKDW D '7& KDV QRW EHHQ GHWHFWHG

,I LW LV DW RU DERYH WKH VWDQGDUG YDOXH LQVSHFW WKH VLJQDO FLUFXLW EHWZHHQ WKH (&0 DQG WKH ERRVW VHQVRU

࣭7KHUH VKRXOG EH QR VKRUW WR WKH EDWWHU\ RU LJQLWLRQ SRZHU VXSSO\ ࣭7KHUH VKRXOG EH QR VKRUW WR WKH 9 SRZHU VXSSO\

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH VLJQDO FLUFXLW

,QVSHFW WR VHH LI WKHUH LV DQ RSHQ FLUFXLW RU KLJK UHVLVWDQFH LQ WKH *1' FLUFXLW EHWZHHQ WKH (&0 DQG WKH ERRVW VHQVRU

1RWH㸸 ࣭ 7KH ERRVW VHQVRU VKDUHV WKH *1' FLUFXLW ZLWK RWKHU VHQVRUV ࣭ 7KH '7& VHW RQ D VHQVRU ZKLFK VKDUHV WKLV FLUFXLW PD\ EH GHWHFWHG

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH *1' FLUFXLW

,QVSHFW WKH ERRVW VHQVRU KDUQHVV FRQQHFWRU IRU D FRQWDFW IDLOXUH

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KDUQHVV FRQQHFWRU

,I WKH KDUQHVV FRQQHFWRU LV QRUPDO UHSODFH WKH ERRVW VHQVRU 5HIHU WR (QJLQH ) ,QGXFWLRQ +. %RRVW VHQVRU 5HPRYDO 5HIHU WR (QJLQH ) ,QGXFWLRQ +. %RRVW VHQVRU ,QVWDOODWLRQ ,QVSHFW WKH (&0 KDUQHVV FRQQHFWRU IRU D FRQWDFW IDLOXUH ,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KDUQHVV FRQQHFWRU ,I WKH KDUQHVV FRQQHFWRU LV QRUPDO UHSODFH WKH (&0 5HIHU WR (QJLQH - (OHFWULFDO +. (&0 5HPRYDO


(QJLQH &RQWURO +. $

'7& 3 )ODVK &RGH &UDQNVKDIW 3RVLWLRQ 6HQVRU &LUFXLW

'7& 3 3ULRULW\ '7& '7& 3 '7& 3

'7& 3 'LDJQRVWLFV

&RQQHFW WKH WHVW OLJKW EHWZHHQ WKH VLJQDO FLUFXLW DQG QRUPDO *1' RI WKH FUDQNVKDIW SRVLWLRQ VHQVRU KDUQHVV FRQQHFWRU 0HDVXUH WKH YROWDJH EHWZHHQ WKH SUREH RI WKH WHVW OLJKW DQG D QRUPDO *1'

7XUQ 2)) WKH VWDUWHU VZLWFK

YROWDJH㸸 9

'LVFRQQHFW WKH KDUQHVV FRQQHFWRU IURP WKH FUDQNVKDIW SRVLWLRQ VHQVRU

7XUQ 21 WKH VWDUWHU VZLWFK

,I LW LV DW RU DERYH WKH VWDQGDUG YDOXH LQVSHFW WR VHH LI WKHUH LV D VKRUW FLUFXLW WR WKH 9 SRZHU VXSSO\ FLUFXLW ZLWK WKH VLJQDO FLUFXLW EHWZHHQ WKH (&0 DQG WKH FUDQNVKDIW SRVLWLRQ VHQVRU

0HDVXUH WKH YROWDJH EHWZHHQ WKH 9 SRZHU VXSSO\ FLUFXLW DQG QRUPDO *1' RI WKH FUDQNVKDIW SRVLWLRQ VHQVRU KDUQHVV FRQQHFWRU

YROWDJH㸸 9

,I LW LV DW RU EHORZ WKH VWDQGDUG YDOXH LQVSHFW WR VHH LI WKHUH LV DQ RSHQ FLUFXLW RU KLJK UHVLVWDQFH ZLWK WKH 9 SRZHU VXSSO\ FLUFXLW EHWZHHQ WKH (&0 DQG WKH FUDQNVKDIW SRVLWLRQ VHQVRU

1RWH㸸 ࣭ 7KH GHIHFWLYH FUDQNVKDIW SRVLWLRQ VHQVRU VKDUHV WKH 9 SRZHU VXSSO\ FLUFXLW ZLWK RWKHU VHQVRUV ࣭ 7KH '7& VHW RQ D VHQVRU ZKLFK VKDUHV WKLV FLUFXLW PD\ EH GHWHFWHG

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH 9 SRZHU VXSSO\ FLUFXLW

0HDVXUH WKH YROWDJH EHWZHHQ WKH VLJQDO FLUFXLW DQG QRUPDO *1' RI WKH FUDQNVKDIW SRVLWLRQ VHQVRU KDUQHVV FRQQHFWRU

YROWDJH㸸 9

,I LW LV DW RU DERYH WKH VWDQGDUG YDOXH LQVSHFW WR VHH LI WKHUH LV D VKRUW FLUFXLW WR WKH EDWWHU\ RU LJQLWLRQ SRZHU VXSSO\ ZLWK WKH VLJQDO FLUFXLW EHWZHHQ WKH (&0 DQG WKH FUDQNVKDIW SRVLWLRQ VHQVRU ,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH VLJQDO FLUFXLW

0HDVXUH WKH YROWDJH EHWZHHQ WKH VLJQDO FLUFXLW RI WKH FUDQNVKDIW SRVLWLRQ VHQVRU KDUQHVV FRQQHFWRU DQG D QRUPDO *1' DJDLQ YROWDJH㸸 9 ,I LW LV DW RU EHORZ WKH VWDQGDUG YDOXH LQVSHFW WKH VLJQDO FLUFXLW EHWZHHQ WKH (&0 DQG WKH FUDQNVKDIW SRVLWLRQ VHQVRU ࣭7KHUH VKRXOG EH QR RSHQ FLUFXLW RU KLJK UHVLVWDQFH ࣭7KHUH VKRXOG EH QR VKRUW WR *1' ,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH VLJQDO FLUFXLW

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH VLJQDO FLUFXLW 0HDVXUH WKH YROWDJH EHWZHHQ WKH 9 SRZHU VXSSO\ FLUFXLW DQG *1' FLUFXLW RI WKH FUDQNVKDIW SRVLWLRQ VHQVRU KDUQHVV FRQQHFWRU YROWDJH㸸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㸸 ࣭ 7KH FUDQNVKDIW SRVLWLRQ VHQVRU VKDUHV WKH *1' FLUFXLW ZLWK RWKHU VHQVRUV ࣭ 7KH '7& VHW RQ D VHQVRU ZKLFK VKDUHV WKLV FLUFXLW PD\ EH GHWHFWHG ,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH *1' FLUFXLW ,QVSHFW WKH (&0 KDUQHVV FRQQHFWRU IRU D FRQWDFW IDLOXUH ,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KDUQHVV FRQQHFWRU


$ (QJLQH &RQWURO +. ,I WKH KDUQHVV FRQQHFWRU LV QRUPDO UHSODFH WKH (&0 5HIHU WR (QJLQH - (OHFWULFDO +. (&0 5HPRYDO 5HIHU WR (QJLQH - (OHFWULFDO +. (&0 ,QVWDOODWLRQ 6HW WKH LQMHFWRU ,' FRGH RQ WKH (&0 3HUIRUP WKH XQLW GLIIHUHQFH OHDUQLQJ RI WKH IXHO VXSSO\ SXPS WR WKH (&0

'7& 3 &RQILUP 5HVROXWLRQ

&OHDU WKH '7& XVLQJ WKH WURXEOH GLDJQRVLV VFDQ WRRO

7XUQ WKH VWDUWHU VZLWFK 2)) IRU VHFRQGV RU ORQJHU

6WDUW WKH HQJLQH

3HUIRUP D WHVW UXQ

8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FRQILUP WKDW D '7& KDV QRW EHHQ GHWHFWHG


(QJLQH &RQWURO +. $

'7& 3 )ODVK &RGH &UDQNVKDIW 3RVLWLRQ 6HQVRU &LUFXLW 5DQJH 3HUIRUPDQFH

'7& 3 3ULRULW\ '7& '7& 3 '7& 3 '7& 3

'7& 3 'LDJQRVWLFV

,QVSHFW WKH FUDQNVKDIW SRVLWLRQ VHQVRU FLUFXLW

1RWH㸸 ࣭ ,W VKRXOG QRW EH WRR FORVH WR WKH ZLULQJ RU FRPSRQHQWV RI WKH IXHO LQMHFWLRQ GHYLFH ࣭ ,W VKRXOG QRW EH WRR FORVH WR DQ\ HOHFWURQLF GHYLFH DGGLWLRQDOO\ LQVWDOOHG ࣭ ,W VKRXOG QRW EH WRR FORVH WR WKH VROHQRLG DQG UHOD\

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH FUDQNVKDIW SRVLWLRQ VHQVRU FLUFXLW

7XUQ 2)) WKH VWDUWHU VZLWFK

'LVFRQQHFW WKH KDUQHVV FRQQHFWRU IURP WKH (&0

,QVSHFW WKH (&0 KDUQHVV FRQQHFWRU IRU D FRQWDFW IDLOXUH

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KDUQHVV FRQQHFWRU

'LVFRQQHFW WKH KDUQHVV FRQQHFWRU IURP WKH FUDQNVKDIW SRVLWLRQ VHQVRU

,QVSHFW WKH FUDQNVKDIW SRVLWLRQ VHQVRU KDUQHVV FRQQHFWRU IRU D FRQWDFW IDLOXUH

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KDUQHVV FRQQHFWRU

,QVSHFW WKH &.3 VHQVRU 5HIHU WR (QJLQH % 0HFKDQLFDO +. &.3 VHQVRU ,QVSHFWLRQ ,I D SUREOHP LV GLVFRYHUHG UHSODFH WKH FUDQNVKDIW SRVLWLRQ VHQVRU 5HIHU WR (QJLQH % 0HFKDQLFDO +. &.3 VHQVRU 5HPRYDO 5HIHU WR (QJLQH % 0HFKDQLFDO +. &.3 VHQVRU ,QVWDOODWLRQ

'7& 3 &RQILUP 5HVROXWLRQ

&OHDU WKH '7& XVLQJ WKH WURXEOH GLDJQRVLV VFDQ WRRO

7XUQ WKH VWDUWHU VZLWFK 2)) IRU VHFRQGV RU ORQJHU

6WDUW WKH HQJLQH

3HUIRUP D WHVW UXQ

8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FRQILUP WKDW D '7& KDV QRW EHHQ GHWHFWHG


$ (QJLQH &RQWURO +.

'7& 3 )ODVK &RGH &DPVKDIW 3RVLWLRQ 6HQVRU &LUFXLW

'7& 3 3ULRULW\ '7& '7& 3 '7& 3

'7& 3 'LDJQRVWLFV

YROWDJH㸸 9 ,I LW LV DW RU DERYH WKH VWDQGDUG YDOXH LQVSHFW WR VHH LI WKHUH LV D VKRUW FLUFXLW WR WKH 9 SRZHU VXSSO\ FLUFXLW ZLWK WKH VLJQDO FLUFXLW EHWZHHQ WKH (&0 DQG WKH FDPVKDIW SRVLWLRQ VHQVRU

7XUQ 2)) WKH VWDUWHU VZLWFK

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH VLJQDO FLUFXLW

'LVFRQQHFW WKH KDUQHVV FRQQHFWRU IURP WKH FDPVKDIW SRVLWLRQ VHQVRU

7XUQ 21 WKH VWDUWHU VZLWFK

0HDVXUH WKH YROWDJH EHWZHHQ WKH 9 SRZHU VXSSO\ FLUFXLW DQG *1' FLUFXLW RI WKH FDPVKDIW SRVLWLRQ VHQVRU KDUQHVV FRQQHFWRU

0HDVXUH WKH YROWDJH EHWZHHQ WKH 9 SRZHU VXSSO\ FLUFXLW DQG QRUPDO *1' RI WKH FDPVKDIW SRVLWLRQ VHQVRU KDUQHVV FRQQHFWRU

YROWDJH㸸 9

YROWDJH㸸 9 ,I LW LV DW RU DERYH WKH VWDQGDUG YDOXH LQVSHFW WR VHH LI WKHUH LV D FRQWDFW IDLOXUH ZLWK WKH FDPVKDIW SRVLWLRQ VHQVRU KDUQHVV FRQQHFWRU

,I LW LV DW RU EHORZ WKH VWDQGDUG YDOXH LQVSHFW WR VHH LI WKHUH LV DQ RSHQ FLUFXLW RU KLJK UHVLVWDQFH ZLWK WKH 9 SRZHU VXSSO\ FLUFXLW EHWZHHQ WKH (&0 DQG WKH FDPVKDIW SRVLWLRQ VHQVRU

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KDUQHVV FRQQHFWRU

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH 9 SRZHU VXSSO\ FLUFXLW

5HIHU WR (QJLQH % 0HFKDQLFDO +. &03 VHQVRU ,QVSHFWLRQ

0HDVXUH WKH YROWDJH EHWZHHQ WKH VLJQDO FLUFXLW DQG QRUPDO *1' RI WKH FDPVKDIW SRVLWLRQ VHQVRU KDUQHVV FRQQHFWRU

,I D SUREOHP LV GLVFRYHUHG UHSODFH WKH FDPVKDIW SRVLWLRQ VHQVRU

YROWDJH㸸 9

,I LW LV DW RU DERYH WKH VWDQGDUG YDOXH LQVSHFW WR VHH LI WKHUH LV D VKRUW FLUFXLW WR WKH EDWWHU\ RU LJQLWLRQ SRZHU VXSSO\ ZLWK WKH VLJQDO FLUFXLW EHWZHHQ WKH (&0 DQG WKH FDPVKDIW SRVLWLRQ VHQVRU ,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH VLJQDO FLUFXLW

0HDVXUH WKH YROWDJH EHWZHHQ WKH VLJQDO FLUFXLW RI WKH FDPVKDIW SRVLWLRQ VHQVRU KDUQHVV FRQQHFWRU DQG D QRUPDO *1' DJDLQ YROWDJH㸸 9 ,I LW LV DW RU EHORZ WKH VWDQGDUG YDOXH LQVSHFW WKH VLJQDO FLUFXLW EHWZHHQ WKH (&0 DQG WKH FDPVKDIW SRVLWLRQ VHQVRU ࣭7KHUH VKRXOG EH QR RSHQ FLUFXLW RU KLJK UHVLVWDQFH ࣭7KHUH VKRXOG EH QR VKRUW WR *1' ,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH VLJQDO FLUFXLW &RQQHFW WKH WHVW OLJKW EHWZHHQ WKH VLJQDO FLUFXLW DQG QRUPDO *1' RI WKH FDPVKDIW SRVLWLRQ VHQVRU KDUQHVV FRQQHFWRU 0HDVXUH WKH YROWDJH EHWZHHQ WKH SUREH RI WKH WHVW OLJKW DQG D QRUPDO *1'

,I WKH KDUQHVV FRQQHFWRU LV QRUPDO LQVSHFW WKH FDPVKDIW SRVLWLRQ VHQVRU

5HIHU WR (QJLQH % 0HFKDQLFDO +. &03 VHQVRU 5HPRYDO 5HIHU WR (QJLQH % 0HFKDQLFDO +. &03 VHQVRU ,QVWDOODWLRQ ,QVSHFW WKH FDPVKDIW JHDU ࣭7KH FDPVKDIW JHDU VKRXOG QRW EH GDPDJHG ࣭7KH FDPVKDIW JHDU VKRXOG EH LQVWDOOHG FRUUHFWO\ ,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH FDPVKDIW JHDU ,QVSHFW WKH *1' FLUFXLW EHWZHHQ WKH (&0 DQG WKH FDPVKDIW SRVLWLRQ VHQVRU IRU DQ RSHQ FLUFXLW DQG KLJK UHVLVWDQFH 1RWH㸸 ࣭ 7KH FDPVKDIW SRVLWLRQ VHQVRU VKDUHV WKH *1' FLUFXLW ZLWK RWKHU VHQVRUV ࣭ 7KH '7& VHW RQ D VHQVRU ZKLFK VKDUHV WKLV FLUFXLW PD\ EH GHWHFWHG ,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH *1' FLUFXLW ,QVSHFW WKH (&0 KDUQHVV FRQQHFWRU IRU D FRQWDFW IDLOXUH ,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KDUQHVV FRQQHFWRU ,I WKH KDUQHVV FRQQHFWRU LV QRUPDO UHSODFH WKH (&0


(QJLQH &RQWURO +. $ 5HIHU WR (QJLQH - (OHFWULFDO +. (&0 5HPRYDO 5HIHU WR (QJLQH - (OHFWULFDO +. (&0 ,QVWDOODWLRQ 6HW WKH LQMHFWRU ,' FRGH RQ WKH (&0 3HUIRUP WKH XQLW GLIIHUHQFH OHDUQLQJ RI WKH IXHO VXSSO\ SXPS WR WKH (&0

'7& 3 &RQILUP 5HVROXWLRQ

&OHDU WKH '7& XVLQJ WKH WURXEOH GLDJQRVLV VFDQ WRRO

7XUQ WKH VWDUWHU VZLWFK 2)) IRU VHFRQGV RU ORQJHU

6WDUW WKH HQJLQH

3HUIRUP D WHVW UXQ

8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FRQILUP WKDW D '7& KDV QRW EHHQ GHWHFWHG


$ (QJLQH &RQWURO +.

'7& 3 )ODVK &RGH ([KDXVW *DV 5HFLUFXODWLRQ &RQWURO &LUFXLW 5DQJH 3HUIRUPDQFH

'7& 3 3ULRULW\ '7&

5HIHU WR (QJLQH + $X[ (PLVVLRQ &RQWURO 'HYLFHV +. (*5 YDOYH ,QVWDOODWLRQ

'7& 3

5HVWRUH WKH DFWXDO XQLW

'7& 3 'LDJQRVWLFV

7XUQ 21 WKH VWDUWHU VZLWFK

5HPRYH WKH (*5 YDOYH DVVHPEO\ IURP WKH HQJLQH

&OHDU WKH '7& XVLQJ WKH WURXEOH GLDJQRVLV VFDQ WRRO

5HIHU WR (QJLQH + $X[ (PLVVLRQ &RQWURO 'HYLFHV +. (*5 YDOYH 5HPRYDO

7XUQ WKH VWDUWHU VZLWFK 2)) IRU VHFRQGV RU ORQJHU

,QVSHFW WKH (*5 YDOYH

6WDUW WKH HQJLQH 3HUIRUP D WHVW UXQ

࣭7KHUH VKRXOG EH QRWKLQJ WR OLPLW IORZ LQVLGH WKH (*5 YDOYH ࣭7KHUH VKRXOG EH QR H[FHVVLYH DFFXPXODWHV LQVLGH WKH (*5 YDOYH ࣭7KHUH VKRXOG EH QR EHQGLQJ ZLWK WKH YDOYH VKDIW RU YDOYH LWVHOI LQVLGH WKH (*5 YDOYH

&KHFN WKH '7& XVLQJ WKH WURXEOH GLDJQRVLV VFDQ WRRO ,I WKH '7& 3 KDV EHHQ GHWHFWHG UHSODFH WKH (&0

7XUQ 2)) WKH VWDUWHU VZLWFK

5HIHU WR (QJLQH - (OHFWULFDO +. (&0 5HPRYDO

'LVFRQQHFW WKH KDUQHVV FRQQHFWRU IURP WKH (*5 YDOYH

5HIHU WR (QJLQH - (OHFWULFDO +. (&0 ,QVWDOODWLRQ

,QVSHFW WKH (*5 YDOYH KDUQHVV FRQQHFWRU IRU D FRQWDFW IDLOXUH

6HW WKH LQMHFWRU ,' FRGH RQ WKH (&0

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KDUQHVV FRQQHFWRU

'LVFRQQHFW WKH KDUQHVV FRQQHFWRU IURP WKH (&0

,QVSHFW WKH (&0 KDUQHVV FRQQHFWRU IRU D FRQWDFW IDLOXUH

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KDUQHVV FRQQHFWRU

,QVSHFW WR VHH LI WKHUH LV DQ RSHQ FLUFXLW RU KLJK UHVLVWDQFH LQ WKH (*5 FRQWURO FLUFXLW ,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH (*5 FRQWURO FLUFXLW ,QVSHFW WKH (*5 VROHQRLG FLUFXLW EHWZHHQ WKH (&0 DQG (*5 YDOYH ࣭7KHUH VKRXOG EH QR VKRUW WR *1' ࣭7KHUH VKRXOG EH QR VKRUW WR WKH EDWWHU\ RU LJQLWLRQ SRZHU VXSSO\ FLUFXLW ࣭7KHUH VKRXOG EH QR VKRUW EHWZHHQ WKH FLUFXLWV ࣭7KHUH VKRXOG EH QR VKRUW WR (*5 SRVLWLRQ VHQVRU FLUFXLW ,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH (*5 VROHQRLG FLUFXLW ,I WKH (*5 VROHQRLG FLUFXLW LV QRUPDO UHSODFH WKH (*5 YDOYH 5HIHU WR (QJLQH + $X[ (PLVVLRQ &RQWURO 'HYLFHV +. (*5 YDOYH 5HPRYDO

3HUIRUP WKH XQLW GLIIHUHQFH OHDUQLQJ RI WKH IXHO VXSSO\ SXPS WR WKH (&0

'7& 3 &RQILUP 5HVROXWLRQ

&OHDU WKH '7& XVLQJ WKH WURXEOH GLDJQRVLV VFDQ WRRO

7XUQ WKH VWDUWHU VZLWFK 2)) IRU VHFRQGV RU ORQJHU

6WDUW WKH HQJLQH

3HUIRUP D WHVW UXQ

8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FRQILUP WKDW D '7& KDV QRW EHHQ GHWHFWHG


(QJLQH &RQWURO +. $

'7& 3 )ODVK &RGH ([KDXVW *DV 5HFLUFXODWLRQ 6HQVRU &LUFXLW

'7& 3 3ULRULW\ '7& '7& 3

'7& 3 'LDJQRVWLFV

7XUQ 2)) WKH VWDUWHU VZLWFK

'LVFRQQHFW WKH KDUQHVV FRQQHFWRU IURP WKH (*5 YDOYH

7XUQ 21 WKH VWDUWHU VZLWFK

8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FKHFN LI DQ\ RI WKH (*5 SRVLWLRQ (*5 SRVLWLRQ DQG (*5 SRVLWLRQ VKRZV 21

,I WKHUH LV D GDWD GLVSOD\ VKRZLQJ 21 LQVSHFW WKH VLJQDO FLUFXLW EHWZHHQ WKH (&0 DQG (*5 YDOYH RI WKH (*5 VKRZLQJ 21

࣭7KHUH VKRXOG EH QR VKRUW WR WKH EDWWHU\ RU LJQLWLRQ SRZHU VXSSO\ ࣭7KHUH VKRXOG EH QR VKRUW WR WKH 9 SRZHU VXSSO\

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH VLJQDO FLUFXLW

0HDVXUH WKH YROWDJH EHWZHHQ WKH (*5 SRVLWLRQ VHQVRU 9 SRZHU VXSSO\ FLUFXLW DQG D QRUPDO *1'

YROWDJH㸸 9

,I LW LV DW RU EHORZ WKH VWDQGDUG YDOXH LQVSHFW WR VHH LI WKHUH LV DQ RSHQ FLUFXLW RU KLJK UHVLVWDQFH ZLWK WKH 9 SRZHU VXSSO\ FLUFXLW EHWZHHQ WKH (&0 DQG WKH (*5 SRVLWLRQ VHQVRU

1RWH㸸 ࣭ 7KH (*5 SRVLWLRQ VHQVRU VKDUHV WKH 9 SRZHU VXSSO\ FLUFXLW ZLWK RWKHU VHQVRUV ࣭ 7KH '7& VHW RQ D VHQVRU ZKLFK VKDUHV WKLV FLUFXLW PD\ EH GHWHFWHG

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH 9 SRZHU VXSSO\ FLUFXLW

0HDVXUH WKH YROWDJH EHWZHHQ WKH (*5 SRVLWLRQ VHQVRU 9 SRZHU VXSSO\ FLUFXLW DQG WKH *1' FLUFXLW YROWDJH㸸 9 ,I LW LV DW RU EHORZ WKH VWDQGDUG YDOXH LQVSHFW WR VHH LI WKHUH LV DQ RSHQ FLUFXLW RU KLJK UHVLVWDQFH ZLWK WKH *1' FLUFXLW EHWZHHQ WKH (&0 DQG (*5 SRVLWLRQ VHQVRU 1RWH㸸 ࣭ 7KH (*5 SRVLWLRQ VHQVRU VKDUHV WKH *1' FLUFXLW ZLWK RWKHU VHQVRUV ࣭ 7KH '7& VHW RQ D VHQVRU ZKLFK VKDUHV WKLV FLUFXLW PD\ EH GHWHFWHG

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH *1' FLUFXLW :KLOH PRPHQWDULO\ GLVFRQQHFWLQJ WKH WHVW FDEOH ZLWK IXVH IURP WKH (*5 SRVLWLRQ VHQVRU VLJQDO FLUFXLW DQG 9 SRZHU VXSSO\ FLUFXLW FKHFN WKH (*5 SRVLWLRQ GLVSOD\ ZLWK WKH WURXEOH GLDJQRVLV VFDQ WRRO :KLOH PRPHQWDULO\ GLVFRQQHFWLQJ WKH WHVW FDEOH ZLWK IXVH IURP WKH (*5 SRVLWLRQ VHQVRU VLJQDO FLUFXLW DQG 9 SRZHU VXSSO\ FLUFXLW FKHFN WKH (*5 SRVLWLRQ GLVSOD\ ZLWK WKH WURXEOH GLDJQRVLV VFDQ WRRO :KLOH PRPHQWDULO\ GLVFRQQHFWLQJ WKH WHVW FDEOH ZLWK IXVH IURP WKH (*5 SRVLWLRQ VHQVRU VLJQDO FLUFXLW DQG 9 SRZHU VXSSO\ FLUFXLW FKHFN WKH (*5 SRVLWLRQ GLVSOD\ ZLWK WKH WURXEOH GLDJQRVLV VFDQ WRRO &KHFN WR VHH LI WKHUH LV D GDWD GLVSOD\ ZKLFK GRHV QRW GLVSOD\ 21 ZKHQ WKH (*5 SRVLWLRQ VHQVRU VLJQDO FLUFXLW DQG 9 SRZHU VXSSO\ FLUFXLW DUH VKRUWHG ,I WKHUH LV D GDWD GLVSOD\ ZKLFK GRHV QRW GLVSOD\ 21 LQVSHFW WKH (*5 SRVLWLRQ VHQVRU FLUFXLW ZKLFK GRHV QRW GLVSOD\ 21 ࣭7KHUH VKRXOG EH QR RSHQ FLUFXLW RU KLJK UHVLVWDQFH EHWZHHQ (&0 DQG (*5 SRVLWLRQ VHQVRU ࣭7KHUH VKRXOG EH QR VKRUW WR *1' EHWZHHQ (&0 DQG (*5 SRVLWLRQ VHQVRU ,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH (*5 SRVLWLRQ VHQVRU FLUFXLW ,QVSHFW WKH (*5 YDOYH KDUQHVV FRQQHFWRU IRU D FRQWDFW IDLOXUH ,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KDUQHVV FRQQHFWRU ,Q WKH (*5 VROHQRLG FLUFXLW EHWZHHQ WKH (&0 DQG (*5 YDOYH LQVSHFW WR VHH LI WKHUH LV D VKRUW FLUFXLW ZLWK WKH (*5 SRVLWLRQ VHQVRU ,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH (*5 VROHQRLG FLUFXLW ,I WKH (*5 VROHQRLG FLUFXLW LV QRUPDO UHSODFH WKH (*5 YDOYH 5HIHU WR (QJLQH + $X[ (PLVVLRQ &RQWURO 'HYLFHV +. (*5 YDOYH 5HPRYDO 5HIHU WR (QJLQH + $X[ (PLVVLRQ &RQWURO 'HYLFHV +. (*5 YDOYH ,QVWDOODWLRQ ,QVSHFW WKH (&0 KDUQHVV FRQQHFWRU IRU D FRQWDFW IDLOXUH


$ (QJLQH &RQWURO +. ,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KDUQHVV FRQQHFWRU ,I WKH KDUQHVV FRQQHFWRU LV QRUPDO UHSODFH WKH (&0 5HIHU WR (QJLQH - (OHFWULFDO +. (&0 5HPRYDO 5HIHU WR (QJLQH - (OHFWULFDO +. (&0 ,QVWDOODWLRQ 6HW WKH LQMHFWRU ,' FRGH RQ WKH (&0 3HUIRUP WKH XQLW GLIIHUHQFH OHDUQLQJ RI WKH IXHO VXSSO\ SXPS WR WKH (&0

'7& 3 &RQILUP 5HVROXWLRQ

&OHDU WKH '7& XVLQJ WKH WURXEOH GLDJQRVLV VFDQ WRRO

7XUQ WKH VWDUWHU VZLWFK 2)) IRU VHFRQGV RU ORQJHU

6WDUW WKH HQJLQH

3HUIRUP D WHVW UXQ

8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FRQILUP WKDW D '7& KDV QRW EHHQ GHWHFWHG


(QJLQH &RQWURO +. $

'7& 3 & )ODVK &RGH ,QWDNH 0DQLIROG 7HPSHUDWXUH 6HQVRU &LUFXLW +LJK

'7& 3 & 3ULRULW\ '7&

,I LW LV DW RU EHORZ WKH VWDQGDUG YDOXH LQVSHFW WR VHH LI WKHUH LV DQ RSHQ FLUFXLW RU KLJK UHVLVWDQFH ZLWK WKH *1' FLUFXLW EHWZHHQ WKH (&0 DQG ,07 VHQVRU

'7& 3

'7& 3 & 'LDJQRVWLFV

7XUQ 2)) WKH VWDUWHU VZLWFK

'LVFRQQHFW WKH KDUQHVV FRQQHFWRU IURP WKH ,07 VHQVRU

7XUQ 21 WKH VWDUWHU VZLWFK

0HDVXUH WKH YROWDJH EHWZHHQ WKH ,07 VHQVRU VLJQDO FLUFXLW DQG D QRUPDO *1'

1RWH㸸 ࣭ 7KH ,07 VHQVRU VKDUHV WKH *1' FLUFXLW ZLWK RWKHU VHQVRUV ࣭ 7KH '7& VHW RQ D VHQVRU ZKLFK VKDUHV WKLV FLUFXLW PD\ EH GHWHFWHG ,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH *1' FLUFXLW ,QVSHFW WR VHH LI WKHUH LV DQ RSHQ FLUFXLW RU KLJK UHVLVWDQFH LQ WKH VLJQDO FLUFXLW EHWZHHQ WKH (&0 DQG WKH ,07 VHQVRU

YROWDJH㸸 9

,I LW LV DW RU DERYH WKH VWDQGDUG YDOXH LQVSHFW WR VHH LI WKHUH LV D VKRUW FLUFXLW WR WKH EDWWHU\ RU LJQLWLRQ SRZHU VXSSO\ ZLWK WKH VLJQDO FLUFXLW EHWZHHQ WKH (&0 DQG WKH ,07 VHQVRU

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH VLJQDO FLUFXLW

&RQQHFW WKH WHVW FDEOH ZLWK IXVH EHWZHHQ WKH ,07 VHQVRU VLJQDO FLUFXLW DQG WKH *1' FLUFXLW

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH VLJQDO FLUFXLW ,QVSHFW WKH (&0 KDUQHVV FRQQHFWRU IRU D FRQWDFW IDLOXUH ,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KDUQHVV FRQQHFWRU ,I WKH KDUQHVV FRQQHFWRU LV QRUPDO UHSODFH WKH (&0

&KHFN WKH LQWDNH PDQLIROG WHPSHUDWXUH VHQVRU GLVSOD\ ZLWK WKH WURXEOH GLDJQRVLV VFDQ WRRO

5HIHU WR (QJLQH - (OHFWULFDO +. (&0 5HPRYDO

YROWDJH㸸 9

5HIHU WR (QJLQH - (OHFWULFDO +. (&0 ,QVWDOODWLRQ

,I LW LV DW RU EHORZ WKH VWDQGDUG YDOXH LQVSHFW WR VHH LI WKHUH LV D VKRUW FLUFXLW WR WKH 9 SRZHU VXSSO\ FLUFXLW ZLWK WKH VLJQDO FLUFXLW EHWZHHQ WKH (&0 DQG ,07 VHQVRU

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH VLJQDO FLUFXLW ,QVSHFW WKH ,07 VHQVRU KDUQHVV FRQQHFWRU IRU D FRQWDFW IDLOXUH ,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KDUQHVV FRQQHFWRU ,I WKH KDUQHVV FRQQHFWRU LV QRUPDO UHSODFH WKH ,07 VHQVRU 5HIHU WR (QJLQH ) ,QGXFWLRQ +. ,07 VHQVRU 5HPRYDO 5HIHU WR (QJLQH ) ,QGXFWLRQ +. ,07 VHQVRU ,QVWDOODWLRQ &RQQHFW WKH WHVW FDEOH ZLWK IXVH EHWZHHQ WKH ,07 VHQVRU VLJQDO FLUFXLW DQG D QRUPDO *1' &KHFN WKH LQWDNH PDQLIROG WHPSHUDWXUH VHQVRU GLVSOD\ ZLWK WKH WURXEOH GLDJQRVLV VFDQ WRRO YROWDJH㸸 9

6HW WKH LQMHFWRU ,' FRGH RQ WKH (&0 3HUIRUP WKH XQLW GLIIHUHQFH OHDUQLQJ RI WKH IXHO VXSSO\ SXPS WR WKH (&0

'7& 3 & &RQILUP 5HVROXWLRQ

&OHDU WKH '7& XVLQJ WKH WURXEOH GLDJQRVLV VFDQ WRRO

7XUQ WKH VWDUWHU VZLWFK 2)) IRU VHFRQGV RU ORQJHU

6WDUW WKH HQJLQH

3HUIRUP D WHVW UXQ

1RWH㸸 ࣭ 5XQ WKH HQJLQH IRU PLQXWHV RU ORQJHU

8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FRQILUP WKDW D '7& KDV QRW EHHQ GHWHFWHG


$ (QJLQH &RQWURO +.

'7& 3 ' )ODVK &RGH ,QWDNH 0DQLIROG 7HPSHUDWXUH 6HQVRU &LUFXLW /RZ

'7& 3 ' 3ULRULW\ '7& '7& 3

'7& 3 ' 'LDJQRVWLFV

7XUQ 2)) WKH VWDUWHU VZLWFK

'LVFRQQHFW WKH KDUQHVV FRQQHFWRU IURP WKH ,07 VHQVRU

&KHFN WKH LQWDNH PDQLIROG WHPSHUDWXUH VHQVRU GLVSOD\ ZLWK WKH WURXEOH GLDJQRVLV VFDQ WRRO

YROWDJH㸸 9

,I LW LV DW RU DERYH WKH VWDQGDUG YDOXH UHSODFH WKH ,07 VHQVRU

5HIHU WR (QJLQH ) ,QGXFWLRQ +. ,07 VHQVRU 5HPRYDO 5HIHU WR (QJLQH ) ,QGXFWLRQ +. ,07 VHQVRU ,QVWDOODWLRQ

,QVSHFW WR VHH LI WKHUH LV D VKRUW FLUFXLW WR WKH *1' ZLWK WKH VLJQDO FLUFXLW EHWZHHQ WKH (&0 DQG WKH ,07 VHQVRU

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH VLJQDO FLUFXLW

,QVSHFW WKH (&0 KDUQHVV FRQQHFWRU IRU D FRQWDFW IDLOXUH

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KDUQHVV FRQQHFWRU

,I WKH KDUQHVV FRQQHFWRU LV QRUPDO UHSODFH WKH (&0

5HIHU WR (QJLQH - (OHFWULFDO +. (&0 5HPRYDO 5HIHU WR (QJLQH - (OHFWULFDO +. (&0 ,QVWDOODWLRQ 6HW WKH LQMHFWRU ,' FRGH RQ WKH (&0 3HUIRUP WKH XQLW GLIIHUHQFH OHDUQLQJ RI WKH IXHO VXSSO\ SXPS WR WKH (&0

'7& 3 ' &RQILUP 5HVROXWLRQ

&OHDU WKH '7& XVLQJ WKH WURXEOH GLDJQRVLV VFDQ WRRO

7XUQ WKH VWDUWHU VZLWFK 2)) IRU VHFRQGV RU ORQJHU

6WDUW WKH HQJLQH

3HUIRUP D WHVW UXQ

8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FRQILUP WKDW D '7& KDV QRW EHHQ GHWHFWHG


(QJLQH &RQWURO +. $

'7& 3 )ODVK &RGH &DWDO\VW 7HPSHUDWXUH 6HQVRU &LUFXLW 5DQJH 3HUIRUPDQFH 6HQVRU

'7& 3 3ULRULW\ '7& '7& 3 '7& 3 '7& 3

'7& 3 'LDJQRVWLFV

,QVSHFW WKH H[KDXVW JDV WHPSHUDWXUH VHQVRU

5HIHU WR (QJLQH * ([KDXVW +. ([KDXVW JDV WHPSHUDWXUH VHQVRU ,QVSHFWLRQ

,I D SUREOHP LV GLVFRYHUHG UHSODFH WKH H[KDXVW JDV WHPSHUDWXUH VHQVRU

5HIHU WR (QJLQH * ([KDXVW +. ([KDXVW JDV WHPSHUDWXUH VHQVRU 5HPRYDO 5HIHU WR (QJLQH * ([KDXVW +. ([KDXVW JDV WHPSHUDWXUH VHQVRU ,QVWDOODWLRQ

,QVSHFW WKH '3' ILOWHU IRU D GDPDJH

5HIHU WR (QJLQH * ([KDXVW +. '3' DVVHPEO\ ,QVSHFWLRQ

,I D SUREOHP LV GLVFRYHUHG UHSODFH WKH '3' ILOWHU

5HIHU WR (QJLQH * ([KDXVW +. '3' DVVHPEO\ 'LVDVVHPEO\ 5HIHU WR (QJLQH * ([KDXVW +. '3' DVVHPEO\ 5HDVVHPEO\

3HUIRUP WKH '3' UHJHQHUDWLRQ GDWD UHVHW ZLWK WKH WURXEOH GLDJQRVLV VFDQ WRRO '7& 3 &RQILUP 5HVROXWLRQ

&OHDU WKH '7& XVLQJ WKH WURXEOH GLDJQRVLV VFDQ WRRO

7XUQ WKH VWDUWHU VZLWFK 2)) IRU VHFRQGV RU ORQJHU

6WDUW WKH HQJLQH

3HUIRUP D WHVW UXQ

8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FRQILUP WKDW D '7& KDV QRW EHHQ GHWHFWHG


$ (QJLQH &RQWURO +.

'7& 3 )ODVK &RGH &DWDO\VW 7HPSHUDWXUH 6HQVRU &LUFXLW /RZ 6HQVRU

'7& 3 3ULRULW\ '7& '7& 3

'7& 3 'LDJQRVWLFV

7XUQ 2)) WKH VWDUWHU VZLWFK

'LVFRQQHFW WKH KDUQHVV FRQQHFWRU IURP WKH H[KDXVW JDV WHPSHUDWXUH VHQVRU

&KHFN WKH H[KDXVW WHPSHUDWXUH VHQVRU EHIRUH WKH ILOWHU GLVSOD\ ZLWK WKH WURXEOH GLDJQRVLV VFDQ WRRO

YROWDJH㸸 9

,I LW LV DW RU DERYH WKH VWDQGDUG YDOXH UHSODFH WKH H[KDXVW JDV WHPSHUDWXUH VHQVRU

5HIHU WR (QJLQH * ([KDXVW +. ([KDXVW JDV WHPSHUDWXUH VHQVRU 5HPRYDO 5HIHU WR (QJLQH * ([KDXVW +. ([KDXVW JDV WHPSHUDWXUH VHQVRU ,QVWDOODWLRQ

,QVSHFW WR VHH LI WKHUH LV D VKRUW FLUFXLW WR WKH *1' ZLWK WKH VLJQDO FLUFXLW EHWZHHQ WKH (&0 DQG WKH H[KDXVW JDV WHPSHUDWXUH VHQVRU

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH VLJQDO FLUFXLW

,QVSHFW WKH (&0 KDUQHVV FRQQHFWRU IRU D FRQWDFW IDLOXUH

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KDUQHVV FRQQHFWRU

,I WKH KDUQHVV FRQQHFWRU LV QRUPDO UHSODFH WKH (&0

5HIHU WR (QJLQH - (OHFWULFDO +. (&0 5HPRYDO 5HIHU WR (QJLQH - (OHFWULFDO +. (&0 ,QVWDOODWLRQ 6HW WKH LQMHFWRU ,' FRGH RQ WKH (&0 3HUIRUP WKH XQLW GLIIHUHQFH OHDUQLQJ RI WKH IXHO VXSSO\ SXPS WR WKH (&0

'7& 3 &RQILUP 5HVROXWLRQ

&OHDU WKH '7& XVLQJ WKH WURXEOH GLDJQRVLV VFDQ WRRO

7XUQ WKH VWDUWHU VZLWFK 2)) IRU VHFRQGV RU ORQJHU

6WDUW WKH HQJLQH

3HUIRUP D WHVW UXQ

8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FRQILUP WKDW D '7& KDV QRW EHHQ GHWHFWHG


(QJLQH &RQWURO +. $

'7& 3 )ODVK &RGH &DWDO\VW 7HPSHUDWXUH 6HQVRU &LUFXLW +LJK 6HQVRU

'7& 3 3ULRULW\ '7&

,I LW LV DW RU DERYH WKH VWDQGDUG YDOXH LQVSHFW WR VHH LI WKHUH LV DQ RSHQ FLUFXLW RU KLJK UHVLVWDQFH ZLWK WKH VLJQDO FLUFXLW EHWZHHQ WKH (&0 DQG WKH H[KDXVW JDV WHPSHUDWXUH VHQVRU

'7& 3

'7& 3 'LDJQRVWLFV

7XUQ 2)) WKH VWDUWHU VZLWFK

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH VLJQDO FLUFXLW

'LVFRQQHFW WKH KDUQHVV FRQQHFWRU IURP WKH H[KDXVW JDV WHPSHUDWXUH VHQVRU

7XUQ 21 WKH VWDUWHU VZLWFK

,QVSHFW WR VHH LI WKHUH LV DQ RSHQ FLUFXLW RU KLJK UHVLVWDQFH LQ WKH *1' FLUFXLW EHWZHHQ WKH (&0 DQG WKH H[KDXVW JDV WHPSHUDWXUH VHQVRU

0HDVXUH WKH YROWDJH EHWZHHQ WKH H[KDXVW JDV WHPSHUDWXUH VHQVRU VLJQDO FLUFXLW DQG QRUPDO *1'

1RWH㸸 ࣭ 7KH H[KDXVW JDV WHPSHUDWXUH VHQVRU VKDUHV WKH *1' FLUFXLW ZLWK RWKHU VHQVRUV ࣭ 7KH '7& PD\ EH GHWHFWHG RQ D VHQVRU ZKLFK VKDUHV WKLV FLUFXLW

YROWDJH㸸 9

,I LW LV DW RU DERYH WKH VWDQGDUG YDOXH LQVSHFW WR VHH LI WKHUH LV D VKRUW FLUFXLW WR WKH EDWWHU\ RU LJQLWLRQ SRZHU VXSSO\ ZLWK WKH VLJQDO FLUFXLW EHWZHHQ WKH (&0 DQG WKH H[KDXVW JDV WHPSHUDWXUH VHQVRU

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH VLJQDO FLUFXLW

&RQQHFW WKH WHVW FDEOH ZLWK IXVH EHWZHHQ WKH H[KDXVW JDV WHPSHUDWXUH VHQVRU VLJQDO FLUFXLW DQG *1' FLUFXLW

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH *1' FLUFXLW ,QVSHFW WKH (&0 KDUQHVV FRQQHFWRU IRU D FRQWDFW IDLOXUH ,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KDUQHVV FRQQHFWRU ,I WKH KDUQHVV FRQQHFWRU LV QRUPDO UHSODFH WKH (&0

&KHFN WKH H[KDXVW WHPSHUDWXUH VHQVRU EHIRUH WKH ILOWHU GLVSOD\ ZLWK WKH WURXEOH GLDJQRVLV VFDQ WRRO

5HIHU WR (QJLQH - (OHFWULFDO +. (&0 5HPRYDO

YROWDJH㸸 9

5HIHU WR (QJLQH - (OHFWULFDO +. (&0 ,QVWDOODWLRQ

,I LW LV DW RU EHORZ WKH VWDQGDUG YDOXH LQVSHFW WR VHH LI WKHUH LV D VKRUW FLUFXLW WR WKH 9 SRZHU VXSSO\ FLUFXLW ZLWK WKH VLJQDO FLUFXLW EHWZHHQ WKH (&0 DQG WKH H[KDXVW JDV WHPSHUDWXUH VHQVRU

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH VLJQDO FLUFXLW ,QVSHFW WR VHH LI WKHUH LV D FRQWDFW IDLOXUH ZLWK WKH H[KDXVW JDV WHPSHUDWXUH VHQVRU KDUQHVV FRQQHFWRU ,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KDUQHVV FRQQHFWRU ,I WKH KDUQHVV FRQQHFWRU LV QRUPDO UHSODFH WKH H[KDXVW JDV WHPSHUDWXUH VHQVRU 5HIHU WR (QJLQH * ([KDXVW +. ([KDXVW JDV WHPSHUDWXUH VHQVRU 5HPRYDO

6HW WKH LQMHFWRU ,' FRGH RQ WKH (&0 3HUIRUP WKH XQLW GLIIHUHQFH OHDUQLQJ RI WKH IXHO VXSSO\ SXPS WR WKH (&0

'7& 3 &RQILUP 5HVROXWLRQ

&OHDU WKH '7& XVLQJ WKH WURXEOH GLDJQRVLV VFDQ WRRO

7XUQ WKH VWDUWHU VZLWFK 2)) IRU VHFRQGV RU ORQJHU

6WDUW WKH HQJLQH DQG ZDUP LW XS XQWLO WKH FRRODQW WHPSHUDWXUH H[FHHGV WKH VWDQGDUG YDOXH

6SHFLILHG YDOXH㸸 Я ^ ) `

5HSHDWHGO\ UHY WKH HQJLQH LQ QHXWUDO WR LQFUHDVH WKH HQJLQH USP ZKLOH FKHFNLQJ WKH H[KDXVW WHPSHUDWXUH VHQVRU LQ IURQW RI WKH ILOWHU GLVSOD\ ZLWK WKH WURXEOH GLDJQRVLV VFDQ WRRO

8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FRQILUP WKDW WKH H[KDXVW WHPSHUDWXUH VHQVRU EHIRUH WKH ILOWHU GLVSOD\ GRHV QRW H[FHHG WKH VWDQGDUG YDOXH

5HIHU WR (QJLQH * ([KDXVW +. ([KDXVW JDV WHPSHUDWXUH VHQVRU ,QVWDOODWLRQ &RQQHFW WKH WHVW FDEOH ZLWK IXVH EHWZHHQ WKH H[KDXVW JDV WHPSHUDWXUH VHQVRU VLJQDO FLUFXLW DQG QRUPDO *1' &KHFN WKH H[KDXVW WHPSHUDWXUH VHQVRU EHIRUH WKH ILOWHU GLVSOD\ ZLWK WKH WURXEOH GLDJQRVLV VFDQ WRRO YROWDJH㸸 9

YROWDJH㸸 9

8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FRQILUP WKDW D '7& KDV QRW EHHQ GHWHFWHG


$ (QJLQH &RQWURO +.

'7& 3 % )ODVK &RGH &DWDO\VW 7HPSHUDWXUH 6HQVRU &LUFXLW 5DQJH 3HUIRUPDQFH 6HQVRU

'7& 3 % 3ULRULW\ '7& '7& 3 '7& 3 & '7& 3

'7& 3 % 'LDJQRVWLFV

,QVSHFW WKH H[KDXVW JDV WHPSHUDWXUH VHQVRU

5HIHU WR (QJLQH * ([KDXVW +. ([KDXVW JDV WHPSHUDWXUH VHQVRU ,QVSHFWLRQ

,I D SUREOHP LV GLVFRYHUHG UHSODFH WKH H[KDXVW JDV WHPSHUDWXUH VHQVRU

5HIHU WR (QJLQH * ([KDXVW +. ([KDXVW JDV WHPSHUDWXUH VHQVRU 5HPRYDO 5HIHU WR (QJLQH * ([KDXVW +. ([KDXVW JDV WHPSHUDWXUH VHQVRU ,QVWDOODWLRQ

,QVSHFW WKH '3' ILOWHU IRU D GDPDJH

5HIHU WR (QJLQH * ([KDXVW +. '3' DVVHPEO\ ,QVSHFWLRQ

,I D SUREOHP LV GLVFRYHUHG UHSODFH WKH '3' ILOWHU

5HIHU WR (QJLQH * ([KDXVW +. '3' DVVHPEO\ 'LVDVVHPEO\ 5HIHU WR (QJLQH * ([KDXVW +. '3' DVVHPEO\ 5HDVVHPEO\

3HUIRUP WKH '3' UHJHQHUDWLRQ GDWD UHVHW ZLWK WKH WURXEOH GLDJQRVLV VFDQ WRRO '7& 3 % &RQILUP 5HVROXWLRQ

&OHDU WKH '7& XVLQJ WKH WURXEOH GLDJQRVLV VFDQ WRRO

7XUQ WKH VWDUWHU VZLWFK 2)) IRU VHFRQGV RU ORQJHU

6WDUW WKH HQJLQH

3HUIRUP D WHVW UXQ

8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FRQILUP WKDW D '7& KDV QRW EHHQ GHWHFWHG


(QJLQH &RQWURO +. $

'7& 3 & )ODVK &RGH &DWDO\VW 7HPSHUDWXUH 6HQVRU &LUFXLW /RZ 6HQVRU

'7& 3 & 3ULRULW\ '7& '7& 3

'7& 3 & 'LDJQRVWLFV

7XUQ 2)) WKH VWDUWHU VZLWFK

'LVFRQQHFW WKH KDUQHVV FRQQHFWRU IURP WKH H[KDXVW JDV WHPSHUDWXUH VHQVRU

&KHFN WKH H[KDXVW WHPSHUDWXUH VHQVRU EHIRUH WKH R[LGDWLRQ FDWDO\VW GLVSOD\ ZLWK WKH WURXEOH GLDJQRVLV VFDQ WRRO

YROWDJH㸸 9

,I LW LV DW RU DERYH WKH VWDQGDUG YDOXH UHSODFH WKH H[KDXVW JDV WHPSHUDWXUH VHQVRU

5HIHU WR (QJLQH * ([KDXVW +. ([KDXVW JDV WHPSHUDWXUH VHQVRU 5HPRYDO 5HIHU WR (QJLQH * ([KDXVW +. ([KDXVW JDV WHPSHUDWXUH VHQVRU ,QVWDOODWLRQ

,QVSHFW WR VHH LI WKHUH LV D VKRUW FLUFXLW WR WKH *1' ZLWK WKH VLJQDO FLUFXLW EHWZHHQ WKH (&0 DQG WKH H[KDXVW JDV WHPSHUDWXUH VHQVRU

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH VLJQDO FLUFXLW

,QVSHFW WKH (&0 KDUQHVV FRQQHFWRU IRU D FRQWDFW IDLOXUH

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KDUQHVV FRQQHFWRU

,I WKH KDUQHVV FRQQHFWRU LV QRUPDO UHSODFH WKH (&0

5HIHU WR (QJLQH - (OHFWULFDO +. (&0 5HPRYDO 5HIHU WR (QJLQH - (OHFWULFDO +. (&0 ,QVWDOODWLRQ 6HW WKH LQMHFWRU ,' FRGH RQ WKH (&0 3HUIRUP WKH XQLW GLIIHUHQFH OHDUQLQJ RI WKH IXHO VXSSO\ SXPS WR WKH (&0

'7& 3 & &RQILUP 5HVROXWLRQ

&OHDU WKH '7& XVLQJ WKH WURXEOH GLDJQRVLV VFDQ WRRO

7XUQ WKH VWDUWHU VZLWFK 2)) IRU VHFRQGV RU ORQJHU

6WDUW WKH HQJLQH

3HUIRUP D WHVW UXQ

8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FRQILUP WKDW D '7& KDV QRW EHHQ GHWHFWHG


$ (QJLQH &RQWURO +.

'7& 3 ' )ODVK &RGH &DWDO\VW 7HPSHUDWXUH 6HQVRU &LUFXLW +LJK 6HQVRU

'7& 3 ' 3ULRULW\ '7&

YROWDJH㸸 9

'7& 3

,I LW LV DW RU DERYH WKH VWDQGDUG YDOXH LQVSHFW WR VHH LI WKHUH LV DQ RSHQ FLUFXLW RU KLJK UHVLVWDQFH ZLWK WKH VLJQDO FLUFXLW EHWZHHQ WKH (&0 DQG WKH H[KDXVW JDV WHPSHUDWXUH VHQVRU

'7& 3 ' 'LDJQRVWLFV

7XUQ 2)) WKH VWDUWHU VZLWFK

'LVFRQQHFW WKH KDUQHVV FRQQHFWRU IURP WKH H[KDXVW JDV WHPSHUDWXUH VHQVRU

7XUQ 21 WKH VWDUWHU VZLWFK

0HDVXUH WKH YROWDJH EHWZHHQ WKH H[KDXVW JDV WHPSHUDWXUH VHQVRU VLJQDO FLUFXLW DQG QRUPDO *1'

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH VLJQDO FLUFXLW ,QVSHFW WR VHH LI WKHUH LV DQ RSHQ FLUFXLW RU KLJK UHVLVWDQFH LQ WKH *1' FLUFXLW EHWZHHQ WKH (&0 DQG WKH H[KDXVW JDV WHPSHUDWXUH VHQVRU 1RWH㸸 ࣭ 7KH H[KDXVW JDV WHPSHUDWXUH VHQVRU VKDUHV WKH *1' FLUFXLW ZLWK RWKHU VHQVRUV ࣭ 7KH '7& PD\ EH GHWHFWHG RQ D VHQVRU ZKLFK VKDUHV WKLV FLUFXLW

YROWDJH㸸 9

,I LW LV DW RU DERYH WKH VWDQGDUG YDOXH LQVSHFW WR VHH LI WKHUH LV D VKRUW FLUFXLW WR WKH EDWWHU\ RU LJQLWLRQ SRZHU VXSSO\ ZLWK WKH VLJQDO FLUFXLW EHWZHHQ WKH (&0 DQG WKH H[KDXVW JDV WHPSHUDWXUH VHQVRU

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH VLJQDO FLUFXLW

&RQQHFW WKH WHVW FDEOH ZLWK IXVH EHWZHHQ WKH H[KDXVW JDV WHPSHUDWXUH VHQVRU VLJQDO FLUFXLW DQG *1' FLUFXLW

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH *1' FLUFXLW ,QVSHFW WKH (&0 KDUQHVV FRQQHFWRU IRU D FRQWDFW IDLOXUH ,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KDUQHVV FRQQHFWRU

&KHFN WKH H[KDXVW WHPSHUDWXUH VHQVRU EHIRUH WKH R[LGDWLRQ FDWDO\VW GLVSOD\ ZLWK WKH WURXEOH GLDJQRVLV VFDQ WRRO

,I WKH KDUQHVV FRQQHFWRU LV QRUPDO UHSODFH WKH (&0 5HIHU WR (QJLQH - (OHFWULFDO +. (&0 5HPRYDO

YROWDJH㸸 9

5HIHU WR (QJLQH - (OHFWULFDO +. (&0 ,QVWDOODWLRQ

,I LW LV DW RU EHORZ WKH VWDQGDUG YDOXH LQVSHFW WR VHH LI WKHUH LV D VKRUW FLUFXLW WR WKH 9 SRZHU VXSSO\ FLUFXLW ZLWK WKH VLJQDO FLUFXLW EHWZHHQ WKH (&0 DQG WKH H[KDXVW JDV WHPSHUDWXUH VHQVRU

6HW WKH LQMHFWRU ,' FRGH RQ WKH (&0 3HUIRUP WKH XQLW GLIIHUHQFH OHDUQLQJ RI WKH IXHO VXSSO\ SXPS WR WKH (&0

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH VLJQDO FLUFXLW ,QVSHFW WR VHH LI WKHUH LV D FRQWDFW IDLOXUH ZLWK WKH H[KDXVW JDV WHPSHUDWXUH VHQVRU KDUQHVV FRQQHFWRU ,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KDUQHVV FRQQHFWRU ,I WKH KDUQHVV FRQQHFWRU LV QRUPDO UHSODFH WKH H[KDXVW JDV WHPSHUDWXUH VHQVRU 5HIHU WR (QJLQH * ([KDXVW +. ([KDXVW JDV WHPSHUDWXUH VHQVRU 5HPRYDO

'7& 3 ' &RQILUP 5HVROXWLRQ

&OHDU WKH '7& XVLQJ WKH WURXEOH GLDJQRVLV VFDQ WRRO

7XUQ WKH VWDUWHU VZLWFK 2)) IRU VHFRQGV RU ORQJHU

6WDUW WKH HQJLQH DQG ZDUP LW XS XQWLO WKH FRRODQW WHPSHUDWXUH UHDFKHV WKH VWDQGDUG YDOXH

6SHFLILHG YDOXH㸸 Я ^ ) `

5HSHDWHGO\ UHY WKH HQJLQH LQ QHXWUDO WR LQFUHDVH WKH HQJLQH USP ZKLOH FKHFNLQJ WKH H[KDXVW WHPSHUDWXUH VHQVRU LQ IURQW RI WKH R[LGDWLRQ FDWDO\VW GLVSOD\ ZLWK WKH WURXEOH GLDJQRVLV VFDQ WRRO

&RQQHFW WKH WHVW FDEOH ZLWK IXVH EHWZHHQ WKH H[KDXVW JDV WHPSHUDWXUH VHQVRU VLJQDO FLUFXLW DQG QRUPDO *1'

8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FRQILUP WKDW WKH H[KDXVW WHPSHUDWXUH VHQVRU EHIRUH WKH R[LGDWLRQ FDWDO\VW GLVSOD\ GRHV QRW H[FHHG WKH VWDQGDUG YDOXH

&KHFN WKH H[KDXVW WHPSHUDWXUH VHQVRU EHIRUH WKH R[LGDWLRQ FDWDO\VW GLVSOD\ ZLWK WKH WURXEOH GLDJQRVLV VFDQ WRRO

YROWDJH㸸 9

5HIHU WR (QJLQH * ([KDXVW +. ([KDXVW JDV WHPSHUDWXUH VHQVRU ,QVWDOODWLRQ


(QJLQH &RQWURO +. $

8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FRQILUP WKDW D '7& KDV QRW EHHQ GHWHFWHG


$ (QJLQH &RQWURO +.

'7& 3 )ODVK &RGH 2LO 3UHVVXUH 6HQVRU &LUFXLW /RZ

'7& 3 3ULRULW\ '7&

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KDUQHVV FRQQHFWRU

'7& 3

,I WKH KDUQHVV FRQQHFWRU LV QRUPDO UHSODFH WKH (&0

'7& 3 'LDJQRVWLFV

7XUQ 2)) WKH VWDUWHU VZLWFK

'LVFRQQHFW WKH KDUQHVV FRQQHFWRU IURP WKH RLO SUHVVXUH VHQVRU

7XUQ 21 WKH VWDUWHU VZLWFK

0HDVXUH WKH YROWDJH EHWZHHQ WKH 9 SRZHU VXSSO\ FLUFXLW DQG QRUPDO *1' RI WKH RLO SUHVVXUH VHQVRU KDUQHVV FRQQHFWRU

YROWDJH㸸 9

,I LW LV DW RU EHORZ WKH VWDQGDUG YDOXH LQVSHFW WR VHH LI WKHUH LV DQ RSHQ FLUFXLW RU KLJK UHVLVWDQFH ZLWK WKH 9 SRZHU VXSSO\ FLUFXLW EHWZHHQ WKH (&0 DQG WKH RLO SUHVVXUH VHQVRU ,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH 9 SRZHU VXSSO\ FLUFXLW

&RQQHFW WKH WHVW FDEOH ZLWK IXVH EHWZHHQ WKH 9 SRZHU VXSSO\ FLUFXLW DQG VLJQDO FLUFXLW RI WKH RLO SUHVVXUH VHQVRU KDUQHVV FRQQHFWRU

&KHFN WKH RLO SUHVVXUH VHQVRU GLVSOD\ ZLWK WKH WURXEOH GLDJQRVLV VFDQ WRRO

YROWDJH㸸 9

,I LW LV DW RU DERYH WKH VWDQGDUG YDOXH LQVSHFW WR VHH LI WKHUH LV D FRQWDFW IDLOXUH ZLWK WKH RLO SUHVVXUH VHQVRU KDUQHVV FRQQHFWRU

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KDUQHVV FRQQHFWRU ,I WKH KDUQHVV FRQQHFWRU LV QRUPDO UHSODFH WKH RLO SUHVVXUH VHQVRU 5HIHU WR (QJLQH ( /XEULFDWLRQ +. 2LO SUHVVXUH VHQVRU 5HPRYDO 5HIHU WR (QJLQH ( /XEULFDWLRQ +. 2LO SUHVVXUH VHQVRU ,QVWDOODWLRQ ,QVSHFW WKH VLJQDO FLUFXLW EHWZHHQ WKH (&0 DQG WKH RLO SUHVVXUH VHQVRU ࣭7KHUH VKRXOG EH QR RSHQ FLUFXLW RU KLJK UHVLVWDQFH ࣭7KHUH VKRXOG EH QR VKRUW WR *1' ,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH VLJQDO FLUFXLW ,QVSHFW WKH (&0 KDUQHVV FRQQHFWRU IRU D FRQWDFW IDLOXUH

5HIHU WR (QJLQH - (OHFWULFDO +. (&0 5HPRYDO 5HIHU WR (QJLQH - (OHFWULFDO +. (&0 ,QVWDOODWLRQ 6HW WKH LQMHFWRU ,' FRGH RQ WKH (&0 3HUIRUP WKH XQLW GLIIHUHQFH OHDUQLQJ RI WKH IXHO VXSSO\ SXPS WR WKH (&0

'7& 3 &RQILUP 5HVROXWLRQ

&OHDU WKH '7& XVLQJ WKH WURXEOH GLDJQRVLV VFDQ WRRO

7XUQ WKH VWDUWHU VZLWFK 2)) IRU VHFRQGV RU ORQJHU

6WDUW WKH HQJLQH

3HUIRUP D WHVW UXQ

8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FRQILUP WKDW D '7& KDV QRW EHHQ GHWHFWHG


(QJLQH &RQWURO +. $

'7& 3 )ODVK &RGH 2LO 3UHVVXUH 6HQVRU &LUFXLW +LJK

'7& 3 3ULRULW\ '7&

5HIHU WR (QJLQH - (OHFWULFDO +. (&0 ,QVWDOODWLRQ

'7& 3

6HW WKH LQMHFWRU ,' FRGH RQ WKH (&0

'7& 3 'LDJQRVWLFV

7XUQ 2)) WKH VWDUWHU VZLWFK

'LVFRQQHFW WKH KDUQHVV FRQQHFWRU IURP WKH RLO SUHVVXUH VHQVRU

&KHFN WKH RLO SUHVVXUH VHQVRU GLVSOD\ ZLWK WKH WURXEOH GLDJQRVLV VFDQ WRRO

3HUIRUP WKH XQLW GLIIHUHQFH OHDUQLQJ RI WKH IXHO VXSSO\ SXPS WR WKH (&0

'7& 3 &RQILUP 5HVROXWLRQ

&OHDU WKH '7& XVLQJ WKH WURXEOH GLDJQRVLV VFDQ WRRO

7XUQ WKH VWDUWHU VZLWFK 2)) IRU VHFRQGV RU ORQJHU

YROWDJH㸸 9

6WDUW WKH HQJLQH

3HUIRUP D WHVW UXQ

8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FRQILUP WKDW D '7& KDV QRW EHHQ GHWHFWHG

,I LW LV DW RU DERYH WKH VWDQGDUG YDOXH LQVSHFW WKH VLJQDO FLUFXLW EHWZHHQ WKH (&0 DQG WKH RLO SUHVVXUH VHQVRU

࣭7KHUH VKRXOG EH QR VKRUW WR WKH EDWWHU\ RU LJQLWLRQ SRZHU VXSSO\ ࣭7KHUH VKRXOG EH QR VKRUW WR WKH 9 SRZHU VXSSO\

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH VLJQDO FLUFXLW

,QVSHFW WR VHH LI WKHUH LV DQ RSHQ FLUFXLW RU KLJK UHVLVWDQFH LQ WKH *1' FLUFXLW EHWZHHQ WKH (&0 DQG WKH RLO SUHVVXUH VHQVRU

1RWH㸸 ࣭ 7KH RLO SUHVVXUH VHQVRU VKDUHV WKH *1' FLUFXLW ZLWK RWKHU VHQVRUV ࣭ 7KH '7& VHW RQ D VHQVRU ZKLFK VKDUHV WKLV FLUFXLW PD\ EH GHWHFWHG

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH *1' FLUFXLW

,QVSHFW WKH RLO SUHVVXUH VHQVRU KDUQHVV FRQQHFWRU IRU D FRQWDFW IDLOXUH

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KDUQHVV FRQQHFWRU

,I WKH KDUQHVV FRQQHFWRU LV QRUPDO UHSODFH WKH RLO SUHVVXUH VHQVRU 5HIHU WR (QJLQH ( /XEULFDWLRQ +. 2LO SUHVVXUH VHQVRU 5HPRYDO 5HIHU WR (QJLQH ( /XEULFDWLRQ +. 2LO SUHVVXUH VHQVRU ,QVWDOODWLRQ ,QVSHFW WKH (&0 KDUQHVV FRQQHFWRU IRU D FRQWDFW IDLOXUH ,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KDUQHVV FRQQHFWRU ,I WKH KDUQHVV FRQQHFWRU LV QRUPDO UHSODFH WKH (&0 5HIHU WR (QJLQH - (OHFWULFDO +. (&0 5HPRYDO


$ (QJLQH &RQWURO +.

'7& 3 )ODVK &RGH 6\VWHP 9ROWDJH

'7& 3 'LDJQRVWLFV

7XUQ 2)) WKH VWDUWHU VZLWFK

'LVFRQQHFW WKH KDUQHVV FRQQHFWRU IURP WKH PDVV DLU IORZ VHQVRU

8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FKHFN LI D '7& LV GHWHFWHG

,I D '7& KDV QRW EHHQ GHWHFWHG LQVSHFW WKH PDVV DLU IORZ VHQVRU KDUQHVV FRQQHFWRU IRU D FRQWDFW IDLOXUH

YROWDJH㸸 9 ,I LW LV DW RU EHORZ WKH VWDQGDUG YDOXH LQVSHFW WKH IXVH ,I WKH IXVH LV IDXOW\ UHSODFH WKH IXVH ,I LW LV DW RU EHORZ WKH VWDQGDUG YDOXH UHSDLU DQ RSHQ FLUFXLW RU KLJK UHVLVWDQFH LQ WKH LJQLWLRQ SRZHU VXSSO\ FLUFXLW EHWZHHQ WKH IXVH DQG GURSSLQJ UHJLVWHU 0HDVXUH WKH YROWDJH EHWZHHQ WKH YROWDJH VXSSO\ FLUFXLW RI WKH GURSSLQJ UHJLVWHU DQG D QRUPDO *1'

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KDUQHVV FRQQHFWRU

,I WKH KDUQHVV FRQQHFWRU LV QRUPDO UHSODFH WKH PDVV DLU IORZ VHQVRU

7XUQ 2)) WKH VWDUWHU VZLWFK

/HDYH WKH PDVV DLU IORZ VHQVRU KDUQHVV FRQQHFWRU GLVFRQQHFWHG

'LVFRQQHFW WKH KDUQHVV FRQQHFWRU IURP WKH GURSSLQJ UHJLVWHU

YROWDJH㸸 9 ,I LW LV DW RU DERYH WKH VWDQGDUG YDOXH LQVSHFW WR VHH LI WKHUH LV D FRQWDFW IDLOXUH ZLWK WKH GURSSLQJ UHJLVWHU KDUQHVV FRQQHFWRU ,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KDUQHVV FRQQHFWRU ,QVSHFW WR VHH LI WKHUH LV DQ RSHQ FLUFXLW RU KLJK UHVLVWDQFH LQ WKH YROWDJH VXSSO\ FLUFXLW EHWZHHQ WKH (&0 DQG WKH GURSSLQJ UHJLVWHU

8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FKHFN LI D '7& LV GHWHFWHG

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH YROWDJH VXSSO\ FLUFXLW

,I D '7& KDV EHHQ GHWHFWHG LQVSHFW WKH YROWDJH VXSSO\ FLUFXLW EHWZHHQ WKH (&0 DQG GURSSLQJ UHJLVWHU

,QVSHFW WKH (&0 KDUQHVV FRQQHFWRU IRU D FRQWDFW IDLOXUH ,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KDUQHVV FRQQHFWRU

࣭7KHUH VKRXOG EH QR VKRUW WR *1' ࣭7KHUH VKRXOG EH QR VKRUW WR WKH EDWWHU\ RU LJQLWLRQ SRZHU VXSSO\

,I WKH KDUQHVV FRQQHFWRU LV QRUPDO UHSODFH WKH (&0

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH YROWDJH VXSSO\ FLUFXLW

5HIHU WR (QJLQH - (OHFWULFDO +. (&0 5HPRYDO

,I WKH YROWDJH VXSSO\ FLUFXLW LV QRUPDO LQVSHFW WKH 9 SRZHU VXSSO\ FLUFXLW EHWZHHQ WKH (&0 DQG WKH PDVV DLU IORZ VHQVRU

5HIHU WR (QJLQH - (OHFWULFDO +. (&0 ,QVWDOODWLRQ 6HW WKH LQMHFWRU ,' FRGH RQ WKH (&0

࣭7KHUH VKRXOG EH QR VKRUW WR *1' ࣭7KHUH VKRXOG EH QR VKRUW WR WKH EDWWHU\ RU LJQLWLRQ SRZHU VXSSO\ ,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH 9 SRZHU VXSSO\ FLUFXLW

3HUIRUP WKH XQLW GLIIHUHQFH OHDUQLQJ RI WKH IXHO VXSSO\ SXPS WR WKH (&0

'7& 3 &RQILUP 5HVROXWLRQ

&OHDU WKH '7& XVLQJ WKH WURXEOH GLDJQRVLV VFDQ WRRO

&KHFN WKH UHVLVWDQFH YDOXH RI WKH GURSSLQJ UHJLVWHU

7XUQ WKH VWDUWHU VZLWFK 2)) IRU VHFRQGV RU ORQJHU

UHVLVWDQFH㸸 WR ȍ

6WDUW WKH HQJLQH

,I WKH UHVLVWDQFH YDOXH LV RXWVLGH WKH VWDQGDUG UDQJH UHSODFH WKH GURSSLQJ UHJLVWHU

3HUIRUP D WHVW UXQ

8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FRQILUP WKDW D '7& KDV QRW EHHQ GHWHFWHG

7XUQ 21 WKH VWDUWHU VZLWFK 0HDVXUH WKH YROWDJH EHWZHHQ WKH LJQLWLRQ SRZHU VXSSO\ FLUFXLW RI WKH GURSSLQJ UHJLVWHU DQG D QRUPDO *1'


(QJLQH &RQWURO +. $

'7& 3 )ODVK &RGH 6\VWHP 9ROWDJH +LJK

'7& 3 'LDJQRVWLFV

&KHFN LI WKH EDWWHU\ FKDUJHU KDV EHHQ UHFHQWO\ FRQQHFWHG WR WKH EDWWHU\

6WDUW WKH HQJLQH DQG LGOH LW

&KHFN WKH LJQLWLRQ YROWDJH GLVSOD\ ZLWK WKH WURXEOH GLDJQRVLV VFDQ WRRO

YROWDJH㸸 9

,I LW LV DW RU DERYH WKH VWDQGDUG YDOXH LQVSHFW WKH FKDUJLQJ V\VWHP

5HIHU WR (QJLQH - (OHFWULFDO +. *HQHUDWRU 5HDVVHPEO\

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH FKDUJLQJ V\VWHP

,I WKH FKDUJLQJ V\VWHP LV QRUPDO UHSODFH WKH (&0

5HIHU WR (QJLQH - (OHFWULFDO +. (&0 5HPRYDO 5HIHU WR (QJLQH - (OHFWULFDO +. (&0 ,QVWDOODWLRQ

6HW WKH LQMHFWRU ,' FRGH RQ WKH (&0

3HUIRUP WKH XQLW GLIIHUHQFH OHDUQLQJ RI WKH IXHO VXSSO\ SXPS WR WKH (&0

'7& 3 &RQILUP 5HVROXWLRQ

&OHDU WKH '7& XVLQJ WKH WURXEOH GLDJQRVLV VFDQ WRRO

7XUQ WKH VWDUWHU VZLWFK 2)) IRU VHFRQGV RU ORQJHU

6WDUW WKH HQJLQH DQG LGOH LW

&KHFN WKH LJQLWLRQ YROWDJH GLVSOD\ ZLWK WKH WURXEOH GLDJQRVLV VFDQ WRRO DQG FRQILUP WKDW WKH YDOXH GRHV QRW H[FHHG WKH VWDQGDUG YDOXH

YROWDJH㸸 9

8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FRQILUP WKDW D '7& KDV QRW EHHQ GHWHFWHG


$ (QJLQH &RQWURO +.

'7& 3 )ODVK &RGH ,QWHUQDO &RQWURO 0RGXOH 0HPRU\ &KHFN 6XP (UURU

'7& 3 'LDJQRVWLFV

5HSODFH WKH (&0

5HIHU WR (QJLQH - (OHFWULFDO +. (&0 5HPRYDO 5HIHU WR (QJLQH - (OHFWULFDO +. (&0 ,QVWDOODWLRQ

6HW WKH LQMHFWRU ,' FRGH RQ WKH (&0

3HUIRUP WKH XQLW GLIIHUHQFH OHDUQLQJ RI WKH IXHO VXSSO\ SXPS WR WKH (&0

'7& 3 &RQILUP 5HVROXWLRQ

&OHDU WKH '7& XVLQJ WKH WURXEOH GLDJQRVLV VFDQ WRRO

7XUQ WKH VWDUWHU VZLWFK 2)) IRU VHFRQGV RU ORQJHU

6WDUW WKH HQJLQH

3HUIRUP D WHVW UXQ

8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FRQILUP WKDW D '7& KDV QRW EHHQ GHWHFWHG


(QJLQH &RQWURO +. $

'7& 3 )ODVK &RGH &RQWURO 0RGXOH 3URJUDPPLQJ (UURU

'7& 3 'LDJQRVWLFV

&RQILUP WKDW WKH FRQQHFWLQJ VHFWLRQV RI DOO WRROV DUH VHFXUHO\ FRQQHFWHG

&RQILUP WKDW WKH SURJUDPPLQJ GHYLFH LV RSHUDWLQJ QRUPDOO\

8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FRQILUP WKDW WKH FRUUHFW LQMHFWRU ,' FRGH KDV EHHQ HQWHUHG WR WKH (&0

1RWH㸸 ࣭ :KHQ WKH LQMHFWRU ,' FRGH KDV EHHQ FRUUHFWO\ LQSXW FOHDU WKH '7& XVLQJ WKH WURXEOH GLDJQRVLV VFDQ WRRO

7XUQ WKH VWDUWHU VZLWFK 2)) IRU VHFRQGV RU ORQJHU

7XUQ 21 WKH VWDUWHU VZLWFK

8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FKHFN LI D '7& KDV EHHQ GHWHFWHG

,I D '7& KDV EHHQ GHWHFWHG UHSODFH WKH (&0

5HIHU WR (QJLQH - (OHFWULFDO +. (&0 5HPRYDO 5HIHU WR (QJLQH - (OHFWULFDO +. (&0 ,QVWDOODWLRQ

6HW WKH LQMHFWRU ,' FRGH RQ WKH (&0

3HUIRUP WKH XQLW GLIIHUHQFH OHDUQLQJ RI WKH IXHO VXSSO\ SXPS WR WKH (&0

'7& 3 &RQILUP 5HVROXWLRQ

&OHDU WKH '7& XVLQJ WKH WURXEOH GLDJQRVLV VFDQ WRRO

7XUQ WKH VWDUWHU VZLWFK 2)) IRU VHFRQGV RU ORQJHU

6WDUW WKH HQJLQH

3HUIRUP D WHVW UXQ

8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FRQILUP WKDW D '7& KDV QRW EHHQ GHWHFWHG


$ (QJLQH &RQWURO +.

'7& 3 )ODVK &RGH ,QWHUQDO &RQWURO 0RGXOH 5DQGRP $FFHVV 0HPRU\ 5$0 (UURU

'7& 3 'LDJQRVWLFV

5HSODFH WKH (&0

5HIHU WR (QJLQH - (OHFWULFDO +. (&0 5HPRYDO 5HIHU WR (QJLQH - (OHFWULFDO +. (&0 ,QVWDOODWLRQ

6HW WKH LQMHFWRU ,' FRGH RQ WKH (&0

3HUIRUP WKH XQLW GLIIHUHQFH OHDUQLQJ RI WKH IXHO VXSSO\ SXPS WR WKH (&0

'7& 3 &RQILUP 5HVROXWLRQ

&OHDU WKH '7& XVLQJ WKH WURXEOH GLDJQRVLV VFDQ WRRO

7XUQ WKH VWDUWHU VZLWFK 2)) IRU VHFRQGV RU ORQJHU

6WDUW WKH HQJLQH

3HUIRUP D WHVW UXQ

8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FRQILUP WKDW D '7& KDV QRW EHHQ GHWHFWHG


(QJLQH &RQWURO +. $

'7& 3 )ODVK &RGH (&0 3&0 3URFHVVRU

'7& 3 'LDJQRVWLFV

5HSODFH WKH (&0

5HIHU WR (QJLQH - (OHFWULFDO +. (&0 5HPRYDO 5HIHU WR (QJLQH - (OHFWULFDO +. (&0 ,QVWDOODWLRQ

6HW WKH LQMHFWRU ,' FRGH RQ WKH (&0

3HUIRUP WKH XQLW GLIIHUHQFH OHDUQLQJ RI WKH IXHO VXSSO\ SXPS WR WKH (&0

'7& 3 &RQILUP 5HVROXWLRQ

&OHDU WKH '7& XVLQJ WKH WURXEOH GLDJQRVLV VFDQ WRRO

7XUQ WKH VWDUWHU VZLWFK 2)) IRU VHFRQGV RU ORQJHU

6WDUW WKH HQJLQH

3HUIRUP D WHVW UXQ

8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FRQILUP WKDW D '7& KDV QRW EHHQ GHWHFWHG


$ (QJLQH &RQWURO +.

'7& 3 % )ODVK &RGH ,QWHUQDO &RQWURO 0RGXOH $ ' 3URFHVVLQJ 3HUIRUPDQFH

'7& 3 % 'LDJQRVWLFV

5HSODFH WKH (&0

5HIHU WR (QJLQH - (OHFWULFDO +. (&0 5HPRYDO 5HIHU WR (QJLQH - (OHFWULFDO +. (&0 ,QVWDOODWLRQ

6HW WKH LQMHFWRU ,' FRGH RQ WKH (&0

3HUIRUP WKH XQLW GLIIHUHQFH OHDUQLQJ RI WKH IXHO VXSSO\ SXPS WR WKH (&0

'7& 3 % &RQILUP 5HVROXWLRQ

&OHDU WKH '7& XVLQJ WKH WURXEOH GLDJQRVLV VFDQ WRRO

7XUQ WKH VWDUWHU VZLWFK 2)) IRU VHFRQGV RU ORQJHU

6WDUW WKH HQJLQH

3HUIRUP D WHVW UXQ

8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FRQILUP WKDW D '7& KDV QRW EHHQ GHWHFWHG


(QJLQH &RQWURO +. $

'7& 3 )ODVK &RGH 7KURWWOH $FWXDWRU &RQWURO 5DQJH 3HUIRUPDQFH

'7& 3 3ULRULW\ '7&

࣭7KHUH VKRXOG EH QR VKRUW WR WKH LQWDNH WKURWWOH SRVLWLRQ VHQVRU FLUFXLW

'7& 3

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH VROHQRLG FLUFXLW

'7& 3

'7& 3 'LDJQRVWLFV

,I WKH VROHQRLG FLUFXLW LV QRUPDO UHSODFH WKH LQWDNH WKURWWOH YDOYH

5HPRYH WKH DLU LQWDNH KRVH IURP WKH LQWDNH WKURWWOH YDOYH

5HIHU WR (QJLQH % 0HFKDQLFDO +. ,QWDNH WKURWWOH YDOYH 5HPRYDO

5HIHU WR (QJLQH % 0HFKDQLFDO +. ,QWDNH WKURWWOH YDOYH 5HPRYDO

5HIHU WR (QJLQH % 0HFKDQLFDO +. ,QWDNH WKURWWOH YDOYH ,QVWDOODWLRQ

,QVSHFW WKH LQWDNH WKURWWOH YDOYH

࣭7KH LQWDNH WKURWWOH YDOYH IORZ VKRXOG QRW EH OLPLWHG ࣭7KHUH VKRXOG EH QR H[FHVVLYH GHSRVLW LQVLGH WKH WKURWWOH ERUH RI WKH LQWDNH WKURWWOH YDOYH ࣭7KHUH VKRXOG EH QR EHQGLQJ ZLWK WKH EXWWHUIO\ YDOYH RI WKH LQWDNH WKURWWOH YDOYH ࣭7KH LQWDNH WKURWWOH YDOYH VKRXOG QRW EH ORFNHG

5HVWRUH WKH DFWXDO XQLW 7XUQ 21 WKH VWDUWHU VZLWFK 7XUQ WKH VWDUWHU VZLWFK 2)) IRU VHFRQGV 1RWH㸸 ࣭ 7KH VWDUWHU VZLWFK PXVW EH RQFH WXUQHG 21 DQG WKHQ WXUQHG 2)) EHIRUH FOHDULQJ WKH '7&

,I D SUREOHP LV GLVFRYHUHG UHSODFH WKH LQWDNH WKURWWOH YDOYH

&OHDU WKH '7& XVLQJ WKH WURXEOH GLDJQRVLV VFDQ WRRO

5HIHU WR (QJLQH % 0HFKDQLFDO +. ,QWDNH WKURWWOH YDOYH 5HPRYDO

7XUQ WKH VWDUWHU VZLWFK 2)) IRU VHFRQGV RU ORQJHU 6WDUW WKH HQJLQH

5HIHU WR (QJLQH % 0HFKDQLFDO +. ,QWDNH WKURWWOH YDOYH ,QVWDOODWLRQ

7XUQ 2)) WKH VWDUWHU VZLWFK

'LVFRQQHFW WKH KDUQHVV FRQQHFWRU IURP WKH LQWDNH WKURWWOH YDOYH

8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FKHFN LI D '7& KDV EHHQ GHWHFWHG ,I D '7& KDV EHHQ GHWHFWHG UHSODFH WKH (&0 5HIHU WR (QJLQH - (OHFWULFDO +. (&0 5HPRYDO

,QVSHFW WKH LQWDNH WKURWWOH YDOYH KDUQHVV FRQQHFWRU IRU D FRQWDFW IDLOXUH

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KDUQHVV FRQQHFWRU

'LVFRQQHFW WKH KDUQHVV FRQQHFWRU IURP WKH (&0

,QVSHFW WKH (&0 KDUQHVV FRQQHFWRU IRU D FRQWDFW IDLOXUH

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KDUQHVV FRQQHFWRU ,QVSHFW WKH LQWDNH WKURWWOH YDOYH FLUFXLW IRU KLJK UHVLVWDQFH 5HSDLU WKH FLUFXLW LI D SUREOHP LV GLVFRYHUHG ,QVSHFW WKH VROHQRLG FLUFXLW EHWZHHQ WKH (&0 DQG WKH LQWDNH WKURWWOH YDOYH ࣭7KHUH VKRXOG EH QR VKRUW WR *1' ࣭7KHUH VKRXOG EH QR VKRUW WR WKH EDWWHU\ RU LJQLWLRQ SRZHU VXSSO\ ࣭7KHUH VKRXOG EH QR VKRUW EHWZHHQ WKH VROHQRLG FLUFXLWV

5HIHU WR (QJLQH - (OHFWULFDO +. (&0 ,QVWDOODWLRQ 6HW WKH LQMHFWRU ,' FRGH RQ WKH (&0 3HUIRUP WKH XQLW GLIIHUHQFH OHDUQLQJ RI WKH IXHO VXSSO\ SXPS WR WKH (&0

'7& 3 &RQILUP 5HVROXWLRQ

7XUQ 21 WKH VWDUWHU VZLWFK

7XUQ WKH VWDUWHU VZLWFK 2)) IRU VHFRQGV RU ORQJHU

1RWH㸸 ࣭ 7KH VWDUWHU VZLWFK PXVW EH RQFH WXUQHG 21 DQG WKHQ WXUQHG 2)) EHIRUH FOHDULQJ WKH '7&

&OHDU WKH '7& XVLQJ WKH WURXEOH GLDJQRVLV VFDQ WRRO

7XUQ WKH VWDUWHU VZLWFK 2)) IRU VHFRQGV RU ORQJHU

6WDUW WKH HQJLQH

3HUIRUP D WHVW UXQ ZLWK WKH LQWDNH WKURWWOH VROHQRLG GULYH GXW\ RI RU DERYH


$ (QJLQH &RQWURO +.

8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FRQILUP WKDW D '7& KDV QRW EHHQ GHWHFWHG


(QJLQH &RQWURO +. $

'7& 3 )ODVK &RGH 6HQVRU 5HIHUHQFH 9ROWDJH &LUFXLW

'7& 3 'LDJQRVWLFV

7XUQ 2)) WKH VWDUWHU VZLWFK

'LVFRQQHFW WKH KDUQHVV FRQQHFWRU IURP WKH DFFHOHUDWRU SRVLWLRQ VHQVRU

7XUQ 21 WKH VWDUWHU VZLWFK

0HDVXUH WKH YROWDJH EHWZHHQ WKH 9 SRZHU VXSSO\ WHUPLQDO DQG *1' RI WKH DFFHOHUDWRU SRVLWLRQ VHQVRU KDUQHVV FRQQHFWRU

YROWDJH㸸 9

,I LW LV DW RU DERYH WKH VWDQGDUG YDOXH LQVSHFW WR VHH LI WKHUH LV D VKRUW FLUFXLW WR WKH EDWWHU\ RU LJQLWLRQ SRZHU VXSSO\ ZLWK WKH DFFHOHUDWRU SRVLWLRQ VHQVRU 9 SRZHU VXSSO\ FLUFXLW EHWZHHQ WKH (&0 DQG WKH DFFHOHUDWRU SRVLWLRQ VHQVRU

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH DFFHOHUDWRU SRVLWLRQ VHQVRU 9 SRZHU VXSSO\ FLUFXLW

,QVSHFW WR VHH LI WKHUH LV D VKRUW FLUFXLW WR WKH EDWWHU\ RU LJQLWLRQ SRZHU VXSSO\ ZLWK WKH FUDQNVKDIW SRVLWLRQ VHQVRU 9 SRZHU VXSSO\ FLUFXLW EHWZHHQ WKH (&0 DQG WKH FUDQNVKDIW SRVLWLRQ VHQVRU

YROWDJH㸸 9 ,I LW LV DW RU DERYH WKH VWDQGDUG YDOXH UHSODFH WKH FUDQNVKDIW SRVLWLRQ VHQVRU 5HIHU WR (QJLQH % 0HFKDQLFDO +. &.3 VHQVRU 5HPRYDO 5HIHU WR (QJLQH % 0HFKDQLFDO +. &.3 VHQVRU ,QVWDOODWLRQ ,I LW LV DW RU EHORZ WKH VWDQGDUG YDOXH WXUQ WKH VWDUWHU VZLWFK 2)) 'LVFRQQHFW WKH KDUQHVV FRQQHFWRU IURP WKH IXHO SUHVVXUH VHQVRU 7XUQ 21 WKH VWDUWHU VZLWFK 0HDVXUH WKH YROWDJH EHWZHHQ WKH DFFHOHUDWRU SRVLWLRQ VHQVRU 9 SRZHU VXSSO\ FLUFXLW DQG *1' RI WKH DFFHOHUDWRU SRVLWLRQ VHQVRU KDUQHVV FRQQHFWRU YROWDJH㸸 9 ,I LW LV DW RU DERYH WKH VWDQGDUG YDOXH UHSODFH WKH IXHO SUHVVXUH VHQVRU 5HIHU WR (QJLQH & )XHO 6\VWHP +. &RPPRQ UDLO DVVHPEO\ 5HPRYDO

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH FUDQNVKDIW SRVLWLRQ VHQVRU 9 SRZHU VXSSO\ FLUFXLW EHWZHHQ WKH (&0 DQG WKH FUDQNVKDIW SRVLWLRQ VHQVRU

5HIHU WR (QJLQH & )XHO 6\VWHP +. &RPPRQ UDLO DVVHPEO\ ,QVWDOODWLRQ

,QVSHFW WR VHH LI WKHUH LV D VKRUW FLUFXLW WR WKH EDWWHU\ RU LJQLWLRQ SRZHU VXSSO\ ZLWK WKH IXHO SUHVVXUH VHQVRU 9 SRZHU VXSSO\ FLUFXLW EHWZHHQ WKH (&0 DQG WKH IXHO SUHVVXUH VHQVRU

1RWH㸸 ࣭ 'R QRW UHSODFH WKH IXHO SUHVVXUH VHQVRU VHSDUDWHO\ :KHQ D SUREOHP LV IRXQG UHSODFH WKH FRPPRQ UDLO DVVHPEO\

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH IXHO SUHVVXUH VHQVRU 9 SRZHU VXSSO\ FLUFXLW

,I LW LV DW RU EHORZ WKH VWDQGDUG YDOXH LQVSHFW WR VHH LI WKHUH LV D VKRUW FLUFXLW WR WKH *1' ZLWK WKH DFFHOHUDWRU SRVLWLRQ VHQVRU 9 SRZHU VXSSO\ FLUFXLW EHWZHHQ WKH (&0 DQG WKH DFFHOHUDWRU SRVLWLRQ VHQVRU

,I LW LV DW RU EHORZ WKH VWDQGDUG YDOXH PHDVXUH WKH YROWDJH EHWZHHQ WKH 9 SRZHU VXSSO\ FLUFXLW DQG *1' RI WKH DFFHOHUDWRU SRVLWLRQ VHQVRU KDUQHVV FRQQHFWRU YROWDJH㸸 9 ,I LW LV DW RU DERYH WKH VWDQGDUG YDOXH UHSODFH WKH DFFHOHUDWRU SRVLWLRQ VHQVRU ,I LW LV DW RU EHORZ WKH VWDQGDUG YDOXH WXUQ WKH VWDUWHU VZLWFK 2)) 'LVFRQQHFW WKH KDUQHVV FRQQHFWRU IURP WKH FUDQNVKDIW SRVLWLRQ VHQVRU 7XUQ 21 WKH VWDUWHU VZLWFK 0HDVXUH WKH YROWDJH EHWZHHQ WKH DFFHOHUDWRU SRVLWLRQ VHQVRU 9 SRZHU VXSSO\ FLUFXLW DQG *1' RI WKH DFFHOHUDWRU SRVLWLRQ VHQVRU KDUQHVV FRQQHFWRU

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH DFFHOHUDWRU SRVLWLRQ VHQVRU 9 SRZHU VXSSO\ FLUFXLW ,QVSHFW WR VHH LI WKHUH LV D VKRUW FLUFXLW WR WKH *1' ZLWK WKH FUDQNVKDIW SRVLWLRQ VHQVRU 9 SRZHU VXSSO\ FLUFXLW EHWZHHQ WKH (&0 DQG WKH FUDQNVKDIW SRVLWLRQ VHQVRU ,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH FUDQNVKDIW SRVLWLRQ VHQVRU 9 SRZHU VXSSO\ FLUFXLW ,QVSHFW WR VHH LI WKHUH LV D VKRUW FLUFXLW WR WKH *1' ZLWK WKH IXHO SUHVVXUH VHQVRU 9 SRZHU VXSSO\ FLUFXLW EHWZHHQ WKH (&0 DQG WKH IXHO SUHVVXUH VHQVRU


$ (QJLQH &RQWURO +. ,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH IXHO SUHVVXUH VHQVRU 9 SRZHU VXSSO\ FLUFXLW 5HSODFH WKH (&0 5HIHU WR (QJLQH - (OHFWULFDO +. (&0 5HPRYDO 5HIHU WR (QJLQH - (OHFWULFDO +. (&0 ,QVWDOODWLRQ 6HW WKH LQMHFWRU ,' FRGH RQ WKH (&0 3HUIRUP WKH XQLW GLIIHUHQFH OHDUQLQJ RI WKH IXHO VXSSO\ SXPS WR WKH (&0

'7& 3 &RQILUP 5HVROXWLRQ

&OHDU WKH '7& XVLQJ WKH WURXEOH GLDJQRVLV VFDQ WRRO

7XUQ WKH VWDUWHU VZLWFK 2)) IRU VHFRQGV RU ORQJHU

6WDUW WKH HQJLQH

3HUIRUP D WHVW UXQ

8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FRQILUP WKDW D '7& KDV QRW EHHQ GHWHFWHG


(QJLQH &RQWURO +. $

'7& 3 )ODVK &RGH 0DOIXQFWLRQ ,QGLFDWRU /DPS 0,/ &RQWURO &LUFXLW

'7& 3 'LDJQRVWLFV

&RQILUP WKDW WKH PRQLWRU SDQHO RSHUDWHV SURSHUO\

7XUQ 2)) WKH VWDUWHU VZLWFK

,QVSHFW WKH IXVH

,I D SUREOHP LV GLVFRYHUHG UHSODFH WKH IXVH

6HW WKH LQMHFWRU ,' FRGH RQ WKH (&0 3HUIRUP WKH XQLW GLIIHUHQFH OHDUQLQJ RI WKH IXHO VXSSO\ SXPS WR WKH (&0 ,I WKH GLDJQRVWLF OLJKW GRHV QRW WXUQ RQ UHPRYH WKH GLDJQRVWLF OLJKW EXOE IURP WKH PRQLWRU SDQHO ,QVSHFW WKH GLDJQRVWLF OLJKW EXOE

1RWH㸸 ࣭ :KHQ WKH IXVH LV EORZQ DJDLQ UHSDLU WKH FDXVH RI IXVH PHOWGRZQ

7XUQ 2)) WKH VWDUWHU VZLWFK

'LVFRQQHFW WKH KDUQHVV FRQQHFWRU IURP WKH (&0

7XUQ 21 WKH VWDUWHU VZLWFK

&KHFN WR VHH LI WKH GLDJQRVLV OLJKW LV RII

,I WKH GLDJQRVWLF OLJKW LV QRW WXUQHG RII UHSDLU WKH VKRUW FLUFXLW WR *1' LQ WKH GLDJQRVWLF OLJKW FRQWURO FLUFXLW EHWZHHQ WKH (&0 DQG WKH PRQLWRU SDQHO

5HSODFH WKH YDOYH LI D SUREOHP LV GLVFRYHUHG ,QVSHFW WR VHH LI WKHUH LV DQ RSHQ FLUFXLW RU KLJK UHVLVWDQFH LQ WKH LJQLWLRQ SRZHU VXSSO\ FLUFXLW EHWZHHQ WKH IXVH DQG WKH PRQLWRU SDQHO ,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH LJQLWLRQ SRZHU VXSSO\ FLUFXLW ,QVSHFW WR VHH LI WKHUH LV DQ RSHQ FLUFXLW RU KLJK UHVLVWDQFH LQ WKH GLDJQRVWLF OLJKW FRQWURO FLUFXLW EHWZHHQ WKH (&0 DQG WKH PRQLWRU SDQHO ,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH FRQWURO FLUFXLW ,QVSHFW WKH PRQLWRU SDQHO KDUQHVV FRQQHFWRU IRU D FRQWDFW IDLOXUH

7XUQ 2)) WKH VWDUWHU VZLWFK 5HPRYH WKH IXVH 7XUQ 21 WKH VWDUWHU VZLWFK

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KDUQHVV FRQQHFWRU

0HDVXUH WKH YROWDJH EHWZHHQ WKH GLDJQRVWLF OLJKW FRQWURO FLUFXLW DQG *1' RI WKH (&0 KDUQHVV FRQQHFWRU

:KHQ WKH KDUQHVV FRQQHFWRU LV QRUPDO UHSODFH WKH PRQLWRU SDQHO

YROWDJH㸸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

'7& 3 &RQILUP 5HVROXWLRQ

&OHDU WKH '7& XVLQJ WKH WURXEOH GLDJQRVLV VFDQ WRRO

7XUQ WKH VWDUWHU VZLWFK 2)) IRU VHFRQGV RU ORQJHU

7XUQ WKH VWDUWHU VZLWFK 21 DQG ZDLW IRU VHFRQGV

6WDUW WKH HQJLQH

8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FRQILUP WKDW D '7& KDV QRW EHHQ GHWHFWHG


$ (QJLQH &RQWURO +.

'7& 3 )ODVK &RGH 6HQVRU 5HIHUHQFH 9ROWDJH &LUFXLW

'7& 3 'LDJQRVWLFV

7XUQ 2)) WKH VWDUWHU VZLWFK

'LVFRQQHFW WKH KDUQHVV FRQQHFWRU IURP WKH FDPVKDIW SRVLWLRQ VHQVRU

7XUQ 21 WKH VWDUWHU VZLWFK

0HDVXUH WKH YROWDJH EHWZHHQ WKH FDPVKDIW SRVLWLRQ VHQVRU 9 SRZHU VXSSO\ FLUFXLW DQG *1' RI WKH FDPVKDIW SRVLWLRQ VHQVRU KDUQHVV FRQQHFWRU

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

YROWDJH㸸 9

,I LW LV DW RU DERYH WKH VWDQGDUG YDOXH LQVSHFW WR VHH LI WKHUH LV D VKRUW FLUFXLW WR WKH EDWWHU\ RU LJQLWLRQ SRZHU VXSSO\ ZLWK WKH FDPVKDIW SRVLWLRQ VHQVRU 9 SRZHU VXSSO\ FLUFXLW EHWZHHQ WKH (&0 DQG WKH FDPVKDIW SRVLWLRQ VHQVRU

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH DWPRVSKHULF SUHVVXUH VHQVRU 9 SRZHU VXSSO\ FLUFXLW 5HSODFH WKH (&0

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH FDPVKDIW SRVLWLRQ VHQVRU 9 SRZHU VXSSO\ FLUFXLW

,QVSHFW WR VHH LI WKHUH LV D VKRUW FLUFXLW WR WKH EDWWHU\ RU LJQLWLRQ SRZHU VXSSO\ ZLWK WKH DWPRVSKHULF SUHVVXUH VHQVRU 9 SRZHU VXSSO\ FLUFXLW EHWZHHQ WKH (&0 DQG DWPRVSKHULF SUHVVXUH VHQVRU

6HW WKH LQMHFWRU ,' FRGH RQ WKH (&0

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH DWPRVSKHULF SUHVVXUH VHQVRU 9 SRZHU VXSSO\ FLUFXLW

3HUIRUP WKH XQLW GLIIHUHQFH OHDUQLQJ RI WKH IXHO VXSSO\ SXPS WR WKH (&0

,I LW LV DW RU EHORZ WKH VWDQGDUG YDOXH PHDVXUH WKH YROWDJH EHWZHHQ WKH FDPVKDIW SRVLWLRQ VHQVRU 9 SRZHU VXSSO\ FLUFXLW DQG *1' RI WKH FDPVKDIW SRVLWLRQ VHQVRU KDUQHVV FRQQHFWRU

5HIHU WR (QJLQH - (OHFWULFDO +. (&0 5HPRYDO 5HIHU WR (QJLQH - (OHFWULFDO +. (&0 ,QVWDOODWLRQ

'7& 3 &RQILUP 5HVROXWLRQ

&OHDU WKH '7& XVLQJ WKH WURXEOH GLDJQRVLV VFDQ WRRO

7XUQ WKH VWDUWHU VZLWFK 2)) IRU VHFRQGV RU ORQJHU

YROWDJH㸸 9

6WDUW WKH HQJLQH

,I LW LV DW RU DERYH WKH VWDQGDUG YDOXH UHSODFH WKH FDPVKDIW SRVLWLRQ VHQVRU

3HUIRUP D WHVW UXQ

8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FRQILUP WKDW D '7& KDV QRW EHHQ GHWHFWHG

5HIHU WR (QJLQH % 0HFKDQLFDO +. &03 VHQVRU 5HPRYDO 5HIHU WR (QJLQH % 0HFKDQLFDO +. &03 VHQVRU ,QVWDOODWLRQ ,I LW LV DW RU EHORZ WKH VWDQGDUG YDOXH WXUQ WKH VWDUWHU VZLWFK 2)) 'LVFRQQHFW WKH KDUQHVV FRQQHFWRU IURP WKH DWPRVSKHULF SUHVVXUH VHQVRU 7XUQ 21 WKH VWDUWHU VZLWFK 0HDVXUH WKH YROWDJH EHWZHHQ WKH FDPVKDIW SRVLWLRQ VHQVRU 9 SRZHU VXSSO\ FLUFXLW DQG *1' RI WKH FDPVKDIW SRVLWLRQ VHQVRU KDUQHVV FRQQHFWRU YROWDJH㸸 9


(QJLQH &RQWURO +. $

'7& 3 )ODVK &RGH (&0 3&0 3RZHU 5HOD\ &RQWURO &LUFXLW 2SHQ

'7& 3 'LDJQRVWLFV

7XUQ WKH VWDUWHU VZLWFK 2)) IRU VHFRQGV RU ORQJHU

5HSODFH WKH PDLQ UHOD\ ZLWK D JORZ UHOD\ RU QRUPDO UHOD\

7XUQ 21 WKH VWDUWHU VZLWFK

8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FKHFN LI D '7& LV GHWHFWHG

,I D '7& KDV QRW EHHQ GHWHFWHG UHSODFH WKH PDLQ UHOD\

,QVSHFW WKH ERG\ JURXQGLQJ WHUPLQDO IRU D FRQWDFW IDLOXUH

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH WHUPLQDO

,QVSHFW WKH VORZ EORZ IXVH

,I D SUREOHP LV GLVFRYHUHG UHSODFH WKH VORZ EORZ IXVH

1RWH㸸 ࣭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

'7& 3 &RQILUP 5HVROXWLRQ

&OHDU WKH '7& XVLQJ WKH WURXEOH GLDJQRVLV VFDQ WRRO

7XUQ WKH VWDUWHU VZLWFK 2)) IRU VHFRQGV RU ORQJHU

7XUQ 21 WKH VWDUWHU VZLWFK

8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FRQILUP WKDW D '7& KDV QRW EHHQ GHWHFWHG


$ (QJLQH &RQWURO +.

'7& 3 )ODVK &RGH (&0 3&0 3RZHU 5HOD\ &RQWURO &LUFXLW +LJK

'7& 3 'LDJQRVWLFV

7XUQ 2)) WKH VWDUWHU VZLWFK

5HPRYH WKH PDLQ UHOD\

7XUQ 21 WKH VWDUWHU VZLWFK

8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR VHH LI '7& 3 LV GHWHFWHG

,I WKH '7& 3 LV QRW GHWHFWHG UHSDLU WKH VKRUW FLUFXLW WR WKH EDWWHU\ SRZHU VXSSO\ RI WKH SRZHU VXSSO\ FLUFXLW EHWZHHQ WKH (&0 DQG PDLQ UHOD\

7XUQ WKH VWDUWHU VZLWFK 2)) IRU VHFRQGV RU ORQJHU

5HSODFH WKH PDLQ UHOD\ ZLWK D JORZ UHOD\ RU QRUPDO UHOD\

7XUQ 21 WKH VWDUWHU VZLWFK

8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FKHFN LI '7& 3 KDV EHHQ GHWHFWHG

,I WKH '7& 3 LV QRW GHWHFWHG UHSODFH WKH PDLQ UHOD\

'7& 3 &RQILUP 5HVROXWLRQ

&OHDU WKH '7& XVLQJ WKH WURXEOH GLDJQRVLV VFDQ WRRO

7XUQ WKH VWDUWHU VZLWFK 2)) IRU VHFRQGV RU ORQJHU

7XUQ 21 WKH VWDUWHU VZLWFK

8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FRQILUP WKDW D '7& KDV QRW EHHQ GHWHFWHG


(QJLQH &RQWURO +. $

'7& 3 )ODVK &RGH 6HQVRU 5HIHUHQFH 9ROWDJH &LUFXLW

'7& 3 'LDJQRVWLFV

7XUQ 2)) WKH VWDUWHU VZLWFK

'LVFRQQHFW WKH KDUQHVV FRQQHFWRU IURP WKH '3' GLIIHUHQWLDO SUHVVXUH VHQVRU

7XUQ 21 WKH VWDUWHU VZLWFK

0HDVXUH WKH YROWDJH EHWZHHQ WKH '3' GLIIHUHQWLDO SUHVVXUH VHQVRU 9 SRZHU VXSSO\ FLUFXLW DQG *1' RI WKH '3' GLIIHUHQWLDO SUHVVXUH VHQVRU KDUQHVV FRQQHFWRU

YROWDJH㸸 9

,I LW LV DW RU DERYH WKH VWDQGDUG YDOXH LQVSHFW WR VHH LI WKHUH LV D VKRUW FLUFXLW WR WKH EDWWHU\ RU LJQLWLRQ SRZHU VXSSO\ ZLWK WKH '3' GLIIHUHQWLDO SUHVVXUH VHQVRU 9 SRZHU VXSSO\ FLUFXLW EHWZHHQ WKH (&0 DQG WKH '3' GLIIHUHQWLDO SUHVVXUH VHQVRU

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH '3' GLIIHUHQWLDO SUHVVXUH VHQVRU 9 SRZHU VXSSO\ FLUFXLW

,QVSHFW WR VHH LI WKHUH LV D VKRUW FLUFXLW WR WKH EDWWHU\ RU LJQLWLRQ SRZHU VXSSO\ ZLWK WKH RLO SUHVVXUH VHQVRU 9 SRZHU VXSSO\ FLUFXLW EHWZHHQ WKH (&0 DQG RLO SUHVVXUH VHQVRU

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH RLO SUHVVXUH VHQVRU 9 SRZHU VXSSO\ FLUFXLW

,QVSHFW WR VHH LI WKHUH LV D VKRUW FLUFXLW WR WKH EDWWHU\ RU LJQLWLRQ SRZHU VXSSO\ ZLWK WKH IXHO ILOWHU SUHVVXUH VHQVRU 9 SRZHU VXSSO\ FLUFXLW EHWZHHQ WKH (&0 DQG WKH IXHO ILOWHU SUHVVXUH VHQVRU

7XUQ 21 WKH VWDUWHU VZLWFK 0HDVXUH WKH YROWDJH EHWZHHQ WKH '3' GLIIHUHQWLDO SUHVVXUH VHQVRU 9 SRZHU VXSSO\ FLUFXLW DQG *1' RI WKH '3' GLIIHUHQWLDO SUHVVXUH VHQVRU KDUQHVV FRQQHFWRU YROWDJH㸸 9 ,I LW LV DW RU DERYH WKH VWDQGDUG YDOXH UHSODFH WKH RLO SUHVVXUH VHQVRU 5HIHU WR (QJLQH ( /XEULFDWLRQ +. 2LO SUHVVXUH VHQVRU 5HPRYDO 5HIHU WR (QJLQH ( /XEULFDWLRQ +. 2LO SUHVVXUH VHQVRU ,QVWDOODWLRQ ,I LW LV DW RU EHORZ WKH VWDQGDUG YDOXH WXUQ WKH VWDUWHU VZLWFK 2)) 'LVFRQQHFW WKH KDUQHVV FRQQHFWRU IURP WKH IXHO ILOWHU SUHVVXUH VHQVRU 7XUQ 21 WKH VWDUWHU VZLWFK 0HDVXUH WKH YROWDJH EHWZHHQ WKH '3' GLIIHUHQWLDO SUHVVXUH VHQVRU 9 SRZHU VXSSO\ FLUFXLW DQG *1' RI WKH '3' GLIIHUHQWLDO SUHVVXUH VHQVRU KDUQHVV FRQQHFWRU YROWDJH㸸 9 ,I LW LV DW RU DERYH WKH VWDQGDUG YDOXH UHSODFH WKH IXHO ILOWHU SUHVVXUH VHQVRU 5HIHU WR (QJLQH & )XHO 6\VWHP +. )XHO ILOWHU SUHVVXUH VHQVRU 5HPRYDO

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH IXHO ILOWHU SUHVVXUH VHQVRU 9 SRZHU VXSSO\ FLUFXLW

5HIHU WR (QJLQH & )XHO 6\VWHP +. )XHO ILOWHU SUHVVXUH VHQVRU ,QVWDOODWLRQ

,I LW LV DW RU EHORZ WKH VWDQGDUG YDOXH PHDVXUH WKH YROWDJH EHWZHHQ WKH '3' GLIIHUHQWLDO SUHVVXUH VHQVRU 9 SRZHU VXSSO\ FLUFXLW DQG *1' RI WKH '3' GLIIHUHQWLDO SUHVVXUH VHQVRU KDUQHVV FRQQHFWRU

,I LW LV DW RU EHORZ WKH VWDQGDUG YDOXH LQVSHFW WR VHH LI WKHUH LV D VKRUW FLUFXLW WR WKH *1' ZLWK WKH '3' GLIIHUHQWLDO SUHVVXUH VHQVRU 9 SRZHU VXSSO\ FLUFXLW EHWZHHQ WKH (&0 DQG WKH '3' GLIIHUHQWLDO SUHVVXUH VHQVRU

YROWDJH㸸 9 ,I LW LV DW RU DERYH WKH VWDQGDUG YDOXH UHSODFH WKH '3' GLIIHUHQWLDO SUHVVXUH VHQVRU 5HIHU WR (QJLQH * ([KDXVW +. ([KDXVW GLIIHUHQWLDO SUHVVXUH VHQVRU 5HPRYDO 5HIHU WR (QJLQH * ([KDXVW +. ([KDXVW GLIIHUHQWLDO SUHVVXUH VHQVRU ,QVWDOODWLRQ ,I LW LV DW RU EHORZ WKH VWDQGDUG YDOXH WXUQ WKH VWDUWHU VZLWFK 2)) 'LVFRQQHFW WKH KDUQHVV FRQQHFWRU IURP WKH RLO SUHVVXUH VHQVRU

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH '3' GLIIHUHQWLDO SUHVVXUH VHQVRU 9 SRZHU VXSSO\ FLUFXLW ,QVSHFW WR VHH LI WKHUH LV D VKRUW FLUFXLW WR WKH *1' ZLWK WKH RLO SUHVVXUH VHQVRU 9 SRZHU VXSSO\ FLUFXLW EHWZHHQ WKH (&0 DQG RLO SUHVVXUH VHQVRU ,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH RLO SUHVVXUH VHQVRU 9 SRZHU VXSSO\ FLUFXLW ,QVSHFW WR VHH LI WKHUH LV D VKRUW FLUFXLW WR WKH *1' ZLWK WKH IXHO ILOWHU SUHVVXUH VHQVRU 9 SRZHU VXSSO\ FLUFXLW EHWZHHQ WKH (&0 DQG IXHO ILOWHU SUHVVXUH VHQVRU


$ (QJLQH &RQWURO +. ,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH IXHO ILOWHU SUHVVXUH VHQVRU 9 SRZHU VXSSO\ FLUFXLW 5HSODFH WKH (&0 5HIHU WR (QJLQH - (OHFWULFDO +. (&0 5HPRYDO 5HIHU WR (QJLQH - (OHFWULFDO +. (&0 ,QVWDOODWLRQ 6HW WKH LQMHFWRU ,' FRGH RQ WKH (&0 3HUIRUP WKH XQLW GLIIHUHQFH OHDUQLQJ RI WKH IXHO VXSSO\ SXPS WR WKH (&0

'7& 3 &RQILUP 5HVROXWLRQ

&OHDU WKH '7& XVLQJ WKH WURXEOH GLDJQRVLV VFDQ WRRO

7XUQ WKH VWDUWHU VZLWFK 2)) IRU VHFRQGV RU ORQJHU

6WDUW WKH HQJLQH

3HUIRUP D WHVW UXQ

8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FRQILUP WKDW D '7& KDV QRW EHHQ GHWHFWHG


(QJLQH &RQWURO +. $

'7& 3 )ODVK &RGH )XHO 5DLO 3UHVVXUH )53 7RR /RZ

'7& 3 3ULRULW\ '7& '7& 3 '7& 3 '7& 3 '7& 3 '7& 3 '7& 3 '7& 3 '7& 3 '7& 3 '7& 3 '7& 3 '7& 3 '7& 3

'7& 3 'LDJQRVWLFV

7XUQ 2)) WKH VWDUWHU VZLWFK

:DLW IRU WKH VSHFLILHG SHULRG RI WLPH XQWLO WKH IXHO SUHVVXUH LV UHOHDVHG IURP WKH FRPPRQ UDLO

VSHFLILHG WLPH㸸 PLQ

7XUQ 21 WKH VWDUWHU VZLWFK

8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FKHFN LI WKH IXHO UDLO SUHVVXUH VHQVRU GLVSOD\ LV ZLWKLQ WKH VWDQGDUG UDQJH

YROWDJH㸸 WR 9

,I WKH IXHO UDLO SUHVVXUH VHQVRU GLVSOD\ LV RXWVLGH WKH VWDQGDUG UDQJH LQVSHFW WKH IXHO SUHVVXUH VHQVRU KDUQHVV FRQQHFWRU IRU D FRQWDFW IDLOXUH

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KDUQHVV FRQQHFWRU

,QVSHFW WKH (&0 KDUQHVV FRQQHFWRU IRU D FRQWDFW IDLOXUH

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KDUQHVV FRQQHFWRU

,QVSHFW HDFK FLUFXLW IRU KLJK UHVLVWDQFH

5HSDLU WKH FLUFXLW LI D SUREOHP LV GLVFRYHUHG ,I WKH KDUQHVV FRQQHFWRU DQG HDFK FLUFXLW DUH QRUPDO UHSODFH WKH IXHO SUHVVXUH VHQVRU 5HIHU WR (QJLQH & )XHO 6\VWHP +. &RPPRQ UDLO DVVHPEO\ 5HPRYDO

5HIHU WR (QJLQH & )XHO 6\VWHP +. &RPPRQ UDLO DVVHPEO\ ,QVWDOODWLRQ 1RWH㸸 ࣭ 'R QRW UHSODFH WKH IXHO SUHVVXUH VHQVRU VHSDUDWHO\ :KHQ D SUREOHP LV IRXQG UHSODFH WKH FRPPRQ UDLO DVVHPEO\ ,QVSHFW WR VHH LI WKHUH LV FORJJLQJ ZLWK WKH IXHO V\VWHP EHWZHHQ WKH IXHO WDQN DQG WKH IXHO VXSSO\ SXPS ,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH FORJJLQJ RI WKH IXHO V\VWHP ,QVSHFW WKH IXHO KRVH EHWZHHQ WKH IXHO WDQN DQG WKH IXHO VXSSO\ SXPS IRU D FXW DQG FUDFN ,I D SUREOHP LV GLVFRYHUHG UHSODFH WKH IXHO KRVH 1RWH㸸 ࣭ 7KH IXHO KRVH EHWZHHQ WKH IXHO WDQN DQG WKH IXHO VXSSO\ SXPS EHFRPHV QHJDWLYH SUHVVXUH VWDWH ZKHQ WKH HQJLQH LV UXQQLQJ ࣭ :KHQ WKH IXHO KRVH LV QRW FRQQHFWHG VHFXUHO\ WKH DLU FDQ HQWHU ࣭ :KHQ WKH HQJLQH 530 RU WKH HQJLQH ORDG LQFUHDVHV ZKLOH WKH DLU KDV LQWUXGHG LQ WKH IXHO V\VWHP IOXFWXDWLRQ LQ WKH FRPPRQ UDLO SUHVVXUH LV FDXVHG DQG '7& 3 PD\ EH GHWHFWHG &KHFN WKDW DQ DSSURSULDWH FODPS LV XVHG EHWZHHQ WKH IXHO WDQN DQG WKH IXHO VXSSO\ SXPS ,I D SUREOHP LV GLVFRYHUHG UHSODFH WKH FODPS 2SHUDWH WKH SULPLQJ SXPS XQWLO WKH KDQGOH EHFRPHV KHDY\ 1RWH㸸 ࣭ :KHQ D OHDN H[LVWV LQ WKH IXHO V\VWHP EHWZHHQ WKH SULPLQJ SXPS DQG WKH IXHO VXSSO\ SXPS WKH SUHVVLQJ ZHLJKW RI WKH SULPLQJ SXPS GRHV QRW EHFRPH KHDY\ 6WDUW WKH HQJLQH ,QVSHFW WKH KLJK SUHVVXUH VLGH RI WKH IXHO V\VWHP DQG FKHFN IRU IXHO OHDN EHWZHHQ WKH IXHO VXSSO\ SXPS DQG FRPPRQ UDLO 1RWH㸸 ࣭ 7KH IXHO PD\ OHDN WR WKH ERWWRP VHFWLRQ RI WKH F\OLQGHU KHDG FRYHU IURP WKH KLJK SUHVVXUH KRVH LQOHW


$ (QJLQH &RQWURO +. ࣭ 7KH HQJLQH RLO OHYHO LQFUHDVHV ZKHQ WKH IXHO OHDNV WR WKH ERWWRP SRUWLRQ RI WKH F\OLQGHU KHDG FRYHU ࣭ ,QVSHFW IRU IXHO OHDNV LQWR WKH HQJLQH RLO

,QVSHFW WKH IXHO WDQN EHQW KRVH ,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH EHQW KRVH

,I IXHO OHDN LI IRXQG IL[ WKH SUREOHP

&KHFN WR VHH LI WKHUH LV DQ\ IRUHLJQ PDWWHU LQ WKH IXHO WDQN RU DQ\ IRUHLJQ PDWWHU ZKLFK FDQ FDXVH IXHO FORJJLQJ

7XUQ 2)) WKH VWDUWHU VZLWFK

,I D SUREOHP LV GLVFRYHUHG UHSDLU LW

5HPRYH WKH IXHO KRVH RQ WKH IXHO VXSSO\ SXPS VLGH IURP WKH IXHO ILOWHU

5HSODFH WKH IXHO ILOWHU HOHPHQW

1RWH㸸 ࣭ 8VH D SDQ WR FDWFK WKH IXHO IURP WKH UHPRYHG IXHO KRVH ࣭ &OHDQ WKH SUHVVXUH JDXJH DQG FRQQHFWLRQ KRVH EHIRUH FRQQHFWLQJ WR WKH IXHO SLSH ࣭ 7KH IXHO VXSSO\ SXPS PD\ EH GDPDJHG GXH WR IRUHLJQ PDWWHU WKDW KDV HQWHUHG LQ WKH FRQQHFWLRQ KRVH

5HIHU WR (QJLQH & )XHO 6\VWHP +. )XHO ILOWHU HOHPHQW 5HPRYDO 5HIHU WR (QJLQH & )XHO 6\VWHP +. )XHO ILOWHU HOHPHQW ,QVWDOODWLRQ ,I WKH QHJDWLYH SUHVVXUH LV DW RU EHORZ WKH VWDQGDUG YDOXH SLQFK WKH IXHO KRVH DW D SRVLWLRQ DV FORVH DV SRVVLEOH WR WKH IXHO WDQN VR WKDW WKH IXHO GRHV QRW IORZ

&RQQHFW WKH SUHVVXUH JDXJH EHWZHHQ WKH IXHO ILOWHU DQG WKH UHPRYHG IXHO KRVH

1RWH㸸 ࣭ 7KH IXHO SLSH FDQ EH GLVFRQQHFWHG DQG FORJJHG ZLWK D SOXJ

1RWH㸸 ࣭ &RQILUP WKDW WKH IXHO V\VWHP LV FRQQHFWHG VHFXUHO\

6WDUW WKH HQJLQH DQG XVH WKH LGOLQJ FRQWURO VZLWFK WR LQFUHDVH WKH 530 WR WKH KLJKHVW OHYHO

5HPRYH WKH DLU XVLQJ WKH SULPLQJ SXPS DQG FUDQN WKH HQJLQH IRU WKH VSHFLILHG SHULRG RI WLPH RU VKRUWHU

VSHFLILHG YDOXH㸸 N3D ^ PP+J 8 inHg `

VSHFLILHG WLPH㸸 V 1RWH㸸 ࣭ 5HSHDW WKLV XQWLO WKH HQJLQH VWDUWV /HDYH WKH HQJLQH LGOLQJ IRU WKH VSHFLILHG SHULRG RI WLPH RU ORQJHU VSHFLILHG WLPH㸸 PLQ :KLOH NHHSLQJ WKH HQJLQH URWDWLQJ DW WKH VSHFLILHG HQJLQH 530 IRU WKH VSHFLILHG SHULRG RI WLPH FKHFN WKH SUHVVXUH JDXJH VSHFLILHG WLPH㸸 PLQ URWDWLRQDO VSHHG㸸 U PLQ &KHFN LI WKH SUHVVXUH JDXJH VKRZV D QHJDWLYH SUHVVXUH YDOXH DW RU DERYH WKH VWDQGDUG YDOXH GXULQJ LQVSHFWLRQ VSHFLILHG YDOXH㸸 N3D ^ PP+J 5 inHg ` 1RWH㸸 ࣭ )XHO FORJJLQJ LV FKHFNHG ZLWK WKH QHJDWLYH SUHVVXUH DPRXQW LQ WKH IXHO V\VWHP

&KHFN WKH SUHVVXUH JDXJH

1RWH㸸 ࣭ :KHQ WKH SUHVVXUH JDXJH LV OLNHO\ WR LQGLFDWH D YDOXH H[FHHGLQJ WKH VWDQGDUG YDOXH GXULQJ LQVSHFWLRQ UHOHDVH WKH IXHO EHLQJ EORFNHG ࣭ $LU PL[WXUH LV FKHFNHG ZLWK WKH QHJDWLYH SUHVVXUH DPRXQW ZKLOH WKH IXHO IORZ LV EHLQJ EORFNHG ,I WKH VWDQGDUG QHJDWLYH SUHVVXUH FDQQRW EH JHQHUDWHG LQVSHFW WR VHH LI WKHUH LV D FXW RU FUDFN ZLWK WKH IXHO KRVH ,I D SUREOHP LV GLVFRYHUHG UHSODFH WKH IXHO KRVH ,QVSHFW WR VHH LI DSSURSULDWH FODPS LV XVHG ,I D SUREOHP LV GLVFRYHUHG UHSODFH WKH FODPS ZLWK DQ DSSURSULDWH RQH 7XUQ 2)) WKH VWDUWHU VZLWFK ,QVSHFW WKH VXFWLRQ FRQWURO YDOYH KDUQHVV FRQQHFWRU IRU D FRQWDFW IDLOXUH ,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KDUQHVV FRQQHFWRU

,I WKH QHJDWLYH SUHVVXUH LV DW RU DERYH WKH VWDQGDUG YDOXH LQVSHFW WR VHH LI WKHUH LV GDPDJH RU WZLVWLQJ ZLWK WKH IXHO V\VWHP EHWZHHQ WKH IXHO VXSSO\ SXPS DQG WKH IXHO WDQN

,QVSHFW WKH (&0 KDUQHVV FRQQHFWRU IRU D FRQWDFW IDLOXUH

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH IXHO V\VWHP

,QVSHFW HDFK FLUFXLW IRU KLJK UHVLVWDQFH

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KDUQHVV FRQQHFWRU


(QJLQH &RQWURO +. $ 5HSDLU WKH FLUFXLW LI D SUREOHP LV GLVFRYHUHG

'7& 3 &RQILUP 5HVROXWLRQ

,I WKH VXFWLRQ FRQWURO YDOYH KDUQHVV FRQQHFWRU DQG WKH (&0 KDUQHVV FRQQHFWRU DUH QRUPDO DQG WKHUH LV QR KLJK UHVLVWDQFH LQ HDFK FLUFXLW UHSODFH WKH IXHO VXSSO\ SXPS DQG WKH IXHO ILOWHU HOHPHQW

&OHDU WKH '7& XVLQJ WKH WURXEOH GLDJQRVLV VFDQ WRRO

7XUQ WKH VWDUWHU VZLWFK 2)) IRU VHFRQGV RU ORQJHU

6WDUW WKH HQJLQH

5HIHU WR (QJLQH & )XHO 6\VWHP +. )XHO VXSSO\ SXPS 5HPRYDO

3HUIRUP D WHVW UXQ

8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FRQILUP WKDW D '7& KDV QRW EHHQ GHWHFWHG

5HIHU WR (QJLQH & )XHO 6\VWHP +. )XHO VXSSO\ SXPS ,QVWDOODWLRQ 5HIHU WR (QJLQH & )XHO 6\VWHP +. )XHO ILOWHU HOHPHQW 5HPRYDO 5HIHU WR (QJLQH & )XHO 6\VWHP +. )XHO ILOWHU HOHPHQW ,QVWDOODWLRQ 1RWH㸸 ࣭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㸸 ࣭ 7KH SUHVVXUH OLPLWHU YDOYH PD\ EH IL[HG RSHQ RU WKH RSHUDWLRQ SUHVVXUH PD\ GHFUHDVH ࣭ 'R QRW UHSODFH WKH SUHVVXUH OLPLWHU YDOYH VHSDUDWHO\ :KHQ D SUREOHP LV IRXQG UHSODFH WKH FRPPRQ UDLO DVVHPEO\


$ (QJLQH &RQWURO +.

'7& 3 )ODVK &RGH %RRVW 7HPSHUDWXUH 6HQVRU &LUFXLW /RZ

'7& 3 3ULRULW\ '7& '7& 3

'7& 3 'LDJQRVWLFV

7XUQ 2)) WKH VWDUWHU VZLWFK

5HPRYH WKH KDUQHVV FRQQHFWRU IURP WKH ERRVW WHPSHUDWXUH VHQVRU

&KHFN WKH ERRVW WHPSHUDWXUH VHQVRU GLVSOD\ ZLWK WKH WURXEOH GLDJQRVLV VFDQ WRRO

YROWDJH㸸 9

,I LW LV DW RU DERYH WKH VWDQGDUG YDOXH UHSODFH WKH ERRVW WHPSHUDWXUH VHQVRU

5HIHU WR (QJLQH ) ,QGXFWLRQ +. %RRVW WHPSHUDWXUH VHQVRU 5HPRYDO 5HIHU WR (QJLQH ) ,QGXFWLRQ +. %RRVW WHPSHUDWXUH VHQVRU ,QVWDOODWLRQ

,QVSHFW WR VHH LI WKHUH LV D VKRUW FLUFXLW WR WKH *1' ZLWK WKH VLJQDO FLUFXLW EHWZHHQ WKH (&0 DQG ERRVW WHPSHUDWXUH VHQVRU

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH VLJQDO FLUFXLW

,QVSHFW WKH (&0 KDUQHVV FRQQHFWRU IRU D FRQWDFW IDLOXUH

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KDUQHVV FRQQHFWRU

,I WKH KDUQHVV FRQQHFWRU LV QRUPDO UHSODFH WKH (&0

5HIHU WR (QJLQH - (OHFWULFDO +. (&0 5HPRYDO 5HIHU WR (QJLQH - (OHFWULFDO +. (&0 ,QVWDOODWLRQ 6HW WKH LQMHFWRU ,' FRGH RQ WKH (&0 3HUIRUP WKH XQLW GLIIHUHQFH OHDUQLQJ RI WKH IXHO VXSSO\ SXPS WR WKH (&0

'7& 3 &RQILUP 5HVROXWLRQ

&OHDU WKH '7& XVLQJ WKH WURXEOH GLDJQRVLV VFDQ WRRO

7XUQ WKH VWDUWHU VZLWFK 2)) IRU VHFRQGV RU ORQJHU

6WDUW WKH HQJLQH

3HUIRUP D WHVW UXQ

8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FRQILUP WKDW D '7& KDV QRW EHHQ GHWHFWHG


(QJLQH &RQWURO +. $

'7& 3 )ODVK &RGH %RRVW 7HPSHUDWXUH 6HQVRU &LUFXLW +LJK

'7& 3 3ULRULW\ '7&

*1' FLUFXLW EHWZHHQ WKH (&0 DQG WKH ERRVW WHPSHUDWXUH VHQVRU

'7& 3

7XUQ 2)) WKH VWDUWHU VZLWFK

5HPRYH WKH KDUQHVV FRQQHFWRU IURP WKH ERRVW WHPSHUDWXUH VHQVRU

1RWH㸸 ࣭ 7KH ERRVW WHPSHUDWXUH VHQVRU VKDUHV WKH *1' FLUFXLW ZLWK RWKHU VHQVRUV ࣭ 7KH '7& VHW RQ D VHQVRU ZKLFK VKDUHV WKLV FLUFXLW PD\ EH GHWHFWHG

7XUQ 21 WKH VWDUWHU VZLWFK

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH *1' FLUFXLW

0HDVXUH WKH YROWDJH EHWZHHQ WKH ERRVW WHPSHUDWXUH VHQVRU VLJQDO FLUFXLW DQG D QRUPDO *1'

YROWDJH㸸 9

,QVSHFW WR VHH LI WKHUH LV DQ RSHQ FLUFXLW RU KLJK UHVLVWDQFH LQ WKH VLJQDO FLUFXLW EHWZHHQ WKH (&0 DQG WKH ERRVW WHPSHUDWXUH VHQVRU

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH VLJQDO FLUFXLW

'7& 3 'LDJQRVWLFV

,I LW LV DW RU DERYH WKH VWDQGDUG YDOXH LQVSHFW WR VHH LI WKHUH LV D VKRUW FLUFXLW WR WKH EDWWHU\ RU LJQLWLRQ SRZHU VXSSO\ ZLWK WKH VLJQDO FLUFXLW EHWZHHQ WKH (&0 DQG WKH ERRVW WHPSHUDWXUH VHQVRU

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH VLJQDO FLUFXLW

&RQQHFW WKH WHVW FDEOH ZLWK IXVH EHWZHHQ WKH ERRVW WHPSHUDWXUH VHQVRU VLJQDO FLUFXLW DQG *1' FLUFXLW

&KHFN WKH ERRVW WHPSHUDWXUH VHQVRU GLVSOD\ ZLWK WKH WURXEOH GLDJQRVLV VFDQ WRRO

,QVSHFW WKH (&0 KDUQHVV FRQQHFWRU IRU D FRQWDFW IDLOXUH ,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KDUQHVV FRQQHFWRU ,I WKH KDUQHVV FRQQHFWRU LV QRUPDO UHSODFH WKH (&0 5HIHU WR (QJLQH - (OHFWULFDO +. (&0 5HPRYDO

YROWDJH㸸 9

5HIHU WR (QJLQH - (OHFWULFDO +. (&0 ,QVWDOODWLRQ

6HW WKH LQMHFWRU ,' FRGH RQ WKH (&0

,I LW LV DW RU EHORZ WKH VWDQGDUG YDOXH LQVSHFW WR VHH LI WKHUH LV D VKRUW FLUFXLW WR WKH 9 SRZHU VXSSO\ FLUFXLW ZLWK WKH VLJQDO FLUFXLW EHWZHHQ WKH (&0 DQG WKH ERRVW WHPSHUDWXUH VHQVRU

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㸸 9 ,I LW LV DW RU EHORZ WKH VWDQGDUG YDOXH LQVSHFW WR VHH LI WKHUH LV DQ RSHQ FLUFXLW RU KLJK UHVLVWDQFH ZLWK WKH

3HUIRUP WKH XQLW GLIIHUHQFH OHDUQLQJ RI WKH IXHO VXSSO\ SXPS WR WKH (&0

'7& 3 &RQILUP 5HVROXWLRQ

&OHDU WKH '7& XVLQJ WKH WURXEOH GLDJQRVLV VFDQ WRRO

7XUQ WKH VWDUWHU VZLWFK 2)) IRU VHFRQGV RU ORQJHU

6WDUW WKH HQJLQH

3HUIRUP D WHVW UXQ

1RWH㸸 ࣭ 5XQ WKH HQJLQH IRU PLQXWHV RU ORQJHU

8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FRQILUP WKDW D '7& KDV QRW EHHQ GHWHFWHG


$ (QJLQH &RQWURO +.

'7& 3 )ODVK &RGH ,QMHFWRU 3RVLWLYH 9ROWDJH &RQWURO &LUFXLW *URXS

'7& 3 'LDJQRVWLFV

5HSODFH WKH (&0

5HIHU WR (QJLQH - (OHFWULFDO +. (&0 5HPRYDO 5HIHU WR (QJLQH - (OHFWULFDO +. (&0 ,QVWDOODWLRQ

6HW WKH LQMHFWRU ,' FRGH RQ WKH (&0

3HUIRUP WKH XQLW GLIIHUHQFH OHDUQLQJ RI WKH IXHO VXSSO\ SXPS WR WKH (&0

'7& 3 &RQILUP 5HVROXWLRQ

&OHDU WKH '7& XVLQJ WKH WURXEOH GLDJQRVLV VFDQ WRRO

7XUQ WKH VWDUWHU VZLWFK 2)) IRU VHFRQGV RU ORQJHU

6WDUW WKH HQJLQH

3HUIRUP D WHVW UXQ

8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FRQILUP WKDW D '7& KDV QRW EHHQ GHWHFWHG


(QJLQH &RQWURO +. $

'7& 3 )ODVK &RGH ,QMHFWRU 3RVLWLYH 9ROWDJH &RQWURO &LUFXLW *URXS

'7& 3 'LDJQRVWLFV

5HSODFH WKH (&0

5HIHU WR (QJLQH - (OHFWULFDO +. (&0 5HPRYDO 5HIHU WR (QJLQH - (OHFWULFDO +. (&0 ,QVWDOODWLRQ

6HW WKH LQMHFWRU ,' FRGH RQ WKH (&0

3HUIRUP WKH XQLW GLIIHUHQFH OHDUQLQJ RI WKH IXHO VXSSO\ SXPS WR WKH (&0

'7& 3 &RQILUP 5HVROXWLRQ

&OHDU WKH '7& XVLQJ WKH WURXEOH GLDJQRVLV VFDQ WRRO

7XUQ WKH VWDUWHU VZLWFK 2)) IRU VHFRQGV RU ORQJHU

6WDUW WKH HQJLQH

3HUIRUP D WHVW UXQ

8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FRQILUP WKDW D '7& KDV QRW EHHQ GHWHFWHG


$ (QJLQH &RQWURO +.

'7& 3 )ODVK &RGH )XHO 3UHVVXUH 6HQVRU &LUFXLW /RZ

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH VLJQDO FLUFXLW

'7& 3 3ULRULW\ '7&

,QVSHFW WKH (&0 KDUQHVV FRQQHFWRU IRU D FRQWDFW IDLOXUH

'7& 3

'7& 3 'LDJQRVWLFV

7XUQ 2)) WKH VWDUWHU VZLWFK

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KDUQHVV FRQQHFWRU

'LVFRQQHFW WKH KDUQHVV FRQQHFWRU IURP WKH IXHO ILOWHU SUHVVXUH VHQVRU

,I WKH KDUQHVV FRQQHFWRU LV QRUPDO UHSODFH WKH (&0

7XUQ 21 WKH VWDUWHU VZLWFK

5HIHU WR (QJLQH - (OHFWULFDO +. (&0 5HPRYDO

0HDVXUH WKH YROWDJH EHWZHHQ WKH 9 SRZHU VXSSO\ FLUFXLW RI WKH IXHO ILOWHU SUHVVXUH VHQVRU KDUQHVV FRQQHFWRU DQG QRUPDO *1'

5HIHU WR (QJLQH - (OHFWULFDO +. (&0 ,QVWDOODWLRQ 6HW WKH LQMHFWRU ,' FRGH RQ WKH (&0

YROWDJH㸸 9

,I LW LV DW RU EHORZ WKH VWDQGDUG YDOXH LQVSHFW WR VHH LI WKHUH LV DQ RSHQ FLUFXLW RU KLJK UHVLVWDQFH ZLWK WKH 9 SRZHU VXSSO\ FLUFXLW EHWZHHQ WKH (&0 DQG WKH IXHO ILOWHU SUHVVXUH VHQVRU

1RWH㸸 ࣭ 7KH IXHO ILOWHU SUHVVXUH VHQVRU VKDUHV WKH 9 SRZHU VXSSO\ FLUFXLW ZLWK RWKHU VHQVRUV ࣭ 7KH '7& VHW RQ D VHQVRU ZKLFK VKDUHV WKLV FLUFXLW PD\ EH GHWHFWHG

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH 9 SRZHU VXSSO\ FLUFXLW

&RQQHFW WKH WHVW FDEOH ZLWK IXVH EHWZHHQ WKH 9 SRZHU VXSSO\ FLUFXLW DQG VLJQDO FLUFXLW RI WKH IXHO ILOWHU SUHVVXUH VHQVRU KDUQHVV FRQQHFWRU

&KHFN WKH IXHO ILOWHU SUHVVXUH VHQVRU GLVSOD\ ZLWK WKH WURXEOH GLDJQRVLV VFDQ WRRO

YROWDJH㸸 9

,I LW LV DW RU DERYH WKH VWDQGDUG YDOXH LQVSHFW WR VHH LI WKHUH LV D FRQWDFW IDLOXUH ZLWK WKH IXHO ILOWHU SUHVVXUH VHQVRU KDUQHVV FRQQHFWRU

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KDUQHVV FRQQHFWRU ,I WKH KDUQHVV FRQQHFWRU LV QRUPDO UHSODFH WKH IXHO ILOWHU SUHVVXUH VHQVRU 5HIHU WR (QJLQH & )XHO 6\VWHP +. )XHO ILOWHU SUHVVXUH VHQVRU 5HPRYDO 5HIHU WR (QJLQH & )XHO 6\VWHP +. )XHO ILOWHU SUHVVXUH VHQVRU ,QVWDOODWLRQ ,QVSHFW WKH VLJQDO FLUFXLW EHWZHHQ WKH (&0 DQG WKH IXHO ILOWHU SUHVVXUH VHQVRU ࣭7KHUH VKRXOG EH QR RSHQ FLUFXLW RU KLJK UHVLVWDQFH ࣭7KHUH VKRXOG EH QR VKRUW WR *1'

3HUIRUP WKH XQLW GLIIHUHQFH OHDUQLQJ RI WKH IXHO VXSSO\ SXPS WR WKH (&0

'7& 3 &RQILUP 5HVROXWLRQ

&OHDU WKH '7& XVLQJ WKH WURXEOH GLDJQRVLV VFDQ WRRO

7XUQ WKH VWDUWHU VZLWFK 2)) IRU VHFRQGV RU ORQJHU

6WDUW WKH HQJLQH

3HUIRUP D WHVW UXQ

8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FRQILUP WKDW D '7& KDV QRW EHHQ GHWHFWHG


(QJLQH &RQWURO +. $

'7& 3 )ODVK &RGH )XHO 3UHVVXUH 6HQVRU &LUFXLW +LJK

'7& 3 3ULRULW\ '7&

5HIHU WR (QJLQH - (OHFWULFDO +. (&0 ,QVWDOODWLRQ

'7& 3

6HW WKH LQMHFWRU ,' FRGH RQ WKH (&0

'7& 3 'LDJQRVWLFV

7XUQ 2)) WKH VWDUWHU VZLWFK

'LVFRQQHFW WKH KDUQHVV FRQQHFWRU IURP WKH IXHO ILOWHU SUHVVXUH VHQVRU

&KHFN WKH IXHO ILOWHU SUHVVXUH VHQVRU GLVSOD\ ZLWK WKH WURXEOH GLDJQRVLV VFDQ WRRO

3HUIRUP WKH XQLW GLIIHUHQFH OHDUQLQJ RI WKH IXHO VXSSO\ SXPS WR WKH (&0

'7& 3 &RQILUP 5HVROXWLRQ

&OHDU WKH '7& XVLQJ WKH WURXEOH GLDJQRVLV VFDQ WRRO

7XUQ WKH VWDUWHU VZLWFK 2)) IRU VHFRQGV RU ORQJHU

YROWDJH㸸 9

6WDUW WKH HQJLQH

3HUIRUP D WHVW UXQ

8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FRQILUP WKDW D '7& KDV QRW EHHQ GHWHFWHG

,I LW LV DW RU DERYH WKH VWDQGDUG YDOXH LQVSHFW WKH VLJQDO FLUFXLW EHWZHHQ WKH (&0 DQG WKH IXHO ILOWHU SUHVVXUH VHQVRU

࣭7KHUH VKRXOG EH QR VKRUW WR WKH EDWWHU\ RU LJQLWLRQ SRZHU VXSSO\ ࣭7KHUH VKRXOG EH QR VKRUW WR WKH 9 SRZHU VXSSO\

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH VLJQDO FLUFXLW

,QVSHFW WR VHH LI WKHUH LV DQ RSHQ FLUFXLW RU KLJK UHVLVWDQFH LQ WKH *1' FLUFXLW EHWZHHQ WKH (&0 DQG WKH IXHO ILOWHU SUHVVXUH VHQVRU

1RWH㸸 ࣭ 7KH IXHO ILOWHU SUHVVXUH VHQVRU VKDUHV WKH *1' FLUFXLW ZLWK RWKHU VHQVRUV ࣭ 7KH '7& VHW RQ D VHQVRU ZKLFK VKDUHV WKLV FLUFXLW PD\ EH GHWHFWHG

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH *1' FLUFXLW

,QVSHFW WR VHH LI WKHUH LV D FRQWDFW IDLOXUH ZLWK WKH IXHO ILOWHU SUHVVXUH VHQVRU KDUQHVV FRQQHFWRU

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KDUQHVV FRQQHFWRU

,I WKH KDUQHVV FRQQHFWRU LV QRUPDO UHSODFH WKH IXHO ILOWHU SUHVVXUH VHQVRU 5HIHU WR (QJLQH & )XHO 6\VWHP +. )XHO ILOWHU SUHVVXUH VHQVRU 5HPRYDO 5HIHU WR (QJLQH & )XHO 6\VWHP +. )XHO ILOWHU SUHVVXUH VHQVRU ,QVWDOODWLRQ ,QVSHFW WKH (&0 KDUQHVV FRQQHFWRU IRU D FRQWDFW IDLOXUH ,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KDUQHVV FRQQHFWRU ,I WKH KDUQHVV FRQQHFWRU LV QRUPDO UHSODFH WKH (&0 5HIHU WR (QJLQH - (OHFWULFDO +. (&0 5HPRYDO


$ (QJLQH &RQWURO +.

'7& 3 )ODVK &RGH ([KDXVW *DV 5HFLUFXODWLRQ (*5 &ORVHG 3RVLWLRQ 3HUIRUPDQFH

'7& 3 3ULRULW\ '7&

࣭7KHUH VKRXOG EH QR VKRUW WR (*5 SRVLWLRQ VHQVRU FLUFXLW

'7& 3

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH VROHQRLG FLUFXLW

'7& 3

'7& 3 'LDJQRVWLFV

,I WKH FLUFXLW LV QRUPDO UHSODFH WKH (*5 YDOYH

5HPRYH WKH (*5 YDOYH DVVHPEO\ IURP WKH HQJLQH

5HIHU WR (QJLQH + $X[ (PLVVLRQ &RQWURO 'HYLFHV +. (*5 YDOYH 5HPRYDO

5HIHU WR (QJLQH + $X[ (PLVVLRQ &RQWURO 'HYLFHV +. (*5 YDOYH 5HPRYDO

࣭7KHUH VKRXOG EH QRWKLQJ WR OLPLW IORZ LQVLGH WKH (*5 YDOYH ࣭7KHUH VKRXOG EH QR H[FHVVLYH DFFXPXODWHV LQVLGH WKH (*5 YDOYH ࣭7KHUH VKRXOG EH QR EHQGLQJ ZLWK WKH YDOYH VKDIW RU YDOYH LWVHOI LQVLGH WKH (*5 YDOYH

5HIHU WR (QJLQH + $X[ (PLVVLRQ &RQWURO 'HYLFHV +. (*5 YDOYH ,QVWDOODWLRQ

,QVSHFW WKH (*5 YDOYH

,I D SUREOHP LV GLVFRYHUHG UHSDLU RU UHSODFH WKH (*5 YDOYH

5HIHU WR (QJLQH + $X[ (PLVVLRQ &RQWURO 'HYLFHV +. (*5 YDOYH 5HPRYDO 5HIHU WR (QJLQH + $X[ (PLVVLRQ &RQWURO 'HYLFHV +. (*5 YDOYH ,QVWDOODWLRQ

7XUQ 2)) WKH VWDUWHU VZLWFK

'LVFRQQHFW WKH KDUQHVV FRQQHFWRU IURP WKH (*5 YDOYH

,QVSHFW WKH (*5 YDOYH KDUQHVV FRQQHFWRU IRU D FRQWDFW IDLOXUH

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KDUQHVV FRQQHFWRU

'LVFRQQHFW WKH KDUQHVV FRQQHFWRU IURP WKH (&0

,QVSHFW WKH (&0 KDUQHVV FRQQHFWRU IRU D FRQWDFW IDLOXUH

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KDUQHVV FRQQHFWRU ,QVSHFW WKH (*5 YDOYH FLUFXLW EHWZHHQ WKH (&0 DQG WKH (*5 YDOYH IRU DQ RSHQ FLUFXLW DQG KLJK UHVLVWDQFH ,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH (*5 YDOYH FLUFXLW ,QVSHFW WKH VROHQRLG FLUFXLW EHWZHHQ WKH (&0 DQG (*5 YDOYH ࣭7KHUH VKRXOG EH QR VKRUW WR *1' ࣭7KHUH VKRXOG EH QR VKRUW WR WKH EDWWHU\ RU LJQLWLRQ SRZHU VXSSO\ FLUFXLW ࣭7KHUH VKRXOG EH QR VKRUW EHWZHHQ WKH FLUFXLWV

'7& 3 &RQILUP 5HVROXWLRQ

&OHDU WKH '7& XVLQJ WKH WURXEOH GLDJQRVLV VFDQ WRRO

7XUQ WKH VWDUWHU VZLWFK 2)) IRU VHFRQGV RU ORQJHU

6WDUW WKH HQJLQH

3HUIRUP D WHVW UXQ

8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FRQILUP WKDW D '7& KDV QRW EHHQ GHWHFWHG


(QJLQH &RQWURO +. $

'7& 3 )ODVK &RGH 30 2YHU $FFXPXODWLRQ

'7& 3 'LDJQRVWLFV

&KHFN ZLWK WKH RSHUDWRU LI WKH '3' OLJKW KDV EOLQNHG EHIRUH

,I QHFHVVDU\ H[SODLQ '3' UHJHQHUDWLRQ

࣭&KHFN ZLWK WKH RSHUDWRU LI WKH HQJLQH RSHUDWLQJ WLPH ZDV VKRUW ࣭&NHFN ZLWK WKH RSHUDWRU LI WKH LGOLQJ WLPH ZDV WRR ORQJ

,I WKH '3' DVVHPEO\ KDV EHHQ UHSODFHG XVH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR SHUIRUP '3' UHJHQHUDWLRQ GDWD UHVHW ,QVSHFW WKH PDVV DLU IORZ VHQVRU ZLWK WKH WURXEOH GLDJQRVLV VFDQ WRRO ,I D SUREOHP LV GLVFRYHUHG UHSODFH WKH PDVV DLU IORZ VHQVRU

࣭7KHUH VKRXOG EH QR LQFRUUHFW SLSLQJ RU GLVFRQQHFWLRQ

8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FKHFN LI WKH ERRVW SUHVVXUH DQG DWPRVSKHULF SUHVVXUH DUH RSHUDWLQJ SURSHUO\

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KRVH

,QVSHFW WKH DLU FOHDQHU HOHPHQW

,QVSHFW WKH '3' GLIIHUHQWLDO SUHVVXUH VHQVRU

5HIHU WR (QJLQH ) ,QGXFWLRQ +. $LU FOHDQHU HOHPHQW ,QVSHFWLRQ

,QVSHFW WKH '3' GLIIHUHQWLDO SUHVVXUH VHQVRU KRVH

࣭ '3' GLIIHUHQWLDO SUHVVXUH VHQVRU XQLW VKRXOG QRW EH GDPDJHG ࣭ 7KHUH VKRXOG EH QR GLUW RU IRUHLJQ PDWWHU EORFNLQJ WKH '3' GLIIHUHQWLDO SUHVVXUH VHQVRU HQWUDQFH ࣭ 7KHUH VKRXOG EH QR GHWHFWLRQ HUURU RU VORZ UHVSRQVH IURP WKH '3' GLIIHUHQWLDO SUHVVXUH VHQVRU

,I D SUREOHP LV GLVFRYHUHG UHSODFH WKH '3' GLIIHUHQWLDO SUHVVXUH VHQVRU

,I D SUREOHP LV GLVFRYHUHG UHSODFH WKH DLU FOHDQHU HOHPHQW &KHFN WKH LQWDNH GXFW IRU D FORJJLQJ KROH DQG OHDNDJH ,I D SUREOHP LV GLVFRYHUHG UHSODFH WKH LQWDNH GXFW ,QVSHFW WKH LQWDNH WKURWWOH YDOYH IRU IL[LQJ

5HIHU WR (QJLQH * ([KDXVW +. ([KDXVW GLIIHUHQWLDO SUHVVXUH VHQVRU 5HPRYDO

,I D SUREOHP LV GLVFRYHUHG UHSODFH WKH LQWDNH WKURWWOH YDOYH

5HIHU WR (QJLQH * ([KDXVW +. ([KDXVW GLIIHUHQWLDO SUHVVXUH VHQVRU ,QVWDOODWLRQ

5HIHU WR (QJLQH % 0HFKDQLFDO +. ,QWDNH WKURWWOH YDOYH 5HPRYDO

5HIHU WR (QJLQH % 0HFKDQLFDO +. ,QWDNH WKURWWOH YDOYH ,QVWDOODWLRQ

:KHQ WKH '3' GLIIHUHQWLDO SUHVVXUH VHQVRU KDV EHHQ UHSODFHG SHUIRUP WKH SRLQW FRUUHFWLRQ

5HIHU WR (QJLQH * ([KDXVW +. ([KDXVW GLIIHUHQWLDO SUHVVXUH VHQVRU ,QVSHFWLRQ

,QVSHFW WKH H[KDXVW V\VWHP

,QVSHFW WKH WXUERFKDUJHU DVVHPEO\ 5HIHU WR (QJLQH ) ,QGXFWLRQ +. 7XUERFKDUJHU DVVHPEO\ ,QVSHFWLRQ

࣭7KHUH VKRXOG EH QR DEVHQFH RU GDPDJH RI WKH H[KDXVW SLSH JDVNHW ࣭7KHUH VKRXOG EH QR H[KDXVW JDV OHDN IURP WKH H[KDXVW V\VWHP ࣭7KH H[KDXVW V\VWHP VKRXOG QRW EH PRGLILHG ࣭7KHUH VKRXOG EH QR GDPDJH RU H[FHVVLYH GHSRVLWV RQ WKH R[LGDWLRQ FDWDO\VW

,I D SUREOHP LV GLVFRYHUHG UHSODFH WKH WXUERFKDUJHU DVVHPEO\

,QVSHFW WKH TXDOLW\ RI IXHO

,I D SUREOHP LV GLVFRYHUHG UHSDLU RU UHSODFH WKH H[KDXVW V\VWHP

,QVSHFW WKH '3' DVVHPEO\ 5HIHU WR (QJLQH * ([KDXVW +. '3' DVVHPEO\ ,QVSHFWLRQ ,I D SUREOHP LV GLVFRYHUHG UHSODFH WKH '3' DVVHPEO\

5HIHU WR (QJLQH ) ,QGXFWLRQ +. 7XUERFKDUJHU DVVHPEO\ 5HPRYDO 5HIHU WR (QJLQH ) ,QGXFWLRQ +. 7XUERFKDUJHU DVVHPEO\ ,QVWDOODWLRQ

1RWH㸸 ࣭ $Q DSSURSULDWH IXHO LV XVHG 7XUQ WKH VWDUWHU VZLWFK 21 IRU VHFRQGV 1RWH㸸 ࣭ 'R QRW VWDUW WKH HQJLQH ࣭ 7KLV LV IRU WKH '3' GLIIHUHQWLDO SUHVVXUH VHQVRU WR UHOHDUQ


$ (QJLQH &RQWURO +. &OHDU WKH '7& XVLQJ WKH WURXEOH GLDJQRVLV VFDQ WRRO

7XUQ WKH VWDUWHU VZLWFK 2)) IRU VHFRQGV RU ORQJHU

&KHFN WKH H[KDXVW GLIIHUHQWLDO SUHVVXUH GLVSOD\ ZKHQ WKH H[KDXVW WHPSHUDWXUH LQ IURQW RI WKH ILOWHU GLVSOD\ KDV UHDFKHG WKH VWDQGDUG YDOXH ZLWK WKH HQJLQH UHYROXWLRQ LQFUHDVHG WR WKH PD[LPXP UHYROXWLRQ VSHHG ZLWKRXW ORDG

6WDUW WKH HQJLQH

6SHFLILHG YDOXH㸸 Я ^ ) `

&KHFN WKH H[KDXVW WHPSHUDWXUH EHIRUH WKH ILOWHU GLVSOD\ ZLWK WKH WURXEOH GLDJQRVLV VFDQ WRRO

8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FKHFN LI WKH H[KDXVW GLIIHUHQWLDO SUHVVXUH GLVSOD\ LV DW RU EHORZ WKH VWDQGDUG YDOXH

3HUIRUP WKH '3' UHJHQHUDWLRQ GDWD UHVHW ZLWK WKH WURXEOH GLDJQRVLV VFDQ WRRO

&RQILUP WKDW WKH H[KDXVW WHPSHUDWXUH LV DW RU EHORZ WKH VWDQGDUG YDOXH

VSHFLILHG YDOXH㸸 N3D ^ NJI FP SVL `

6SHFLILHG YDOXH㸸 Я ^ ) `

,I LW LV DW RU DERYH WKH VWDQGDUG YDOXH SHUIRUP DVK UHPRYDO

,I LW LV DW RU DERYH WKH VWDQGDUG YDOXH LGOH WKH HQJLQH XQWLO LW IDOOV WR RU EHORZ WKH VWDQGDUG YDOXH &KHFN WKH H[KDXVW GLIIHUHQWLDO SUHVVXUH GLVSOD\ ZKHQ WKH H[KDXVW WHPSHUDWXUH LQ IURQW RI WKH ILOWHU GLVSOD\ KDV UHDFKHG WKH VWDQGDUG YDOXH ZLWK WKH HQJLQH UHYROXWLRQ LQFUHDVHG WR WKH PD[LPXP UHYROXWLRQ VSHHG ZLWKRXW ORDG 6SHFLILHG YDOXH㸸 Я ^ ) ` 8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FKHFN LI WKH H[KDXVW GLIIHUHQWLDO SUHVVXUH GDWD GLVSOD\ LV DW RU EHORZ WKH VWDQGDUG YDOXH VSHFLILHG YDOXH㸸 N3D ^ NJI FP .1 SVL ` ,I LW LV DW RU DERYH WKH VWDQGDUG YDOXH UHSODFH WKH '3' ILOWHU 5HIHU WR (QJLQH * ([KDXVW +. '3' DVVHPEO\ 'LVDVVHPEO\ 5HIHU WR (QJLQH * ([KDXVW +. '3' DVVHPEO\ 5HDVVHPEO\ ,I WKH '3' ILOWHU KDV EHHQ UHSODFHG XVH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR SHUIRUP '3' UHJHQHUDWLRQ GDWD UHVHW :KHQ D '7& KDV EHHQ GHWHFWHG FOHDU LW XVLQJ WKH WURXEOH GLDJQRVLV VFDQ WRRO 7XUQ WKH VWDUWHU VZLWFK 2)) IRU VHFRQGV RU ORQJHU 3HUIRUP WKH '3' IRUFHG VORZ UHJHQHUDWLRQ ZLWK WKH WURXEOH GLDJQRVLV VFDQ WRRO 1RWH㸸 ࣭ $IWHU WKH '3' IRUFHG VORZ UHJHQHUDWLRQ LV FRPSOHWHG UHSODFH WKH HQJLQH RLO &KHFN WKH H[KDXVW WHPSHUDWXUH EHIRUH WKH ILOWHU GLVSOD\ ZLWK WKH WURXEOH GLDJQRVLV VFDQ WRRO &RQILUP WKDW WKH H[KDXVW WHPSHUDWXUH LV DW RU EHORZ WKH VWDQGDUG YDOXH 6SHFLILHG YDOXH㸸 Я ^ ) ` ,I LW LV DW RU DERYH WKH VWDQGDUG YDOXH LGOH WKH HQJLQH XQWLO LW IDOOV WR RU EHORZ WKH VWDQGDUG YDOXH

5HIHU WR (QJLQH * ([KDXVW +. '3' DVVHPEO\ ,QVSHFWLRQ

'7& 3 &RQILUP 5HVROXWLRQ

7XUQ 21 WKH VWDUWHU VZLWFK

8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FRQILUP WKDW D '7& KDV QRW EHHQ GHWHFWHG


(QJLQH &RQWURO +. $

'7& 3 )ODVK &RGH '3' ,QVXIILFLHQW 5HJHQHUDWLRQ

'7& 3 'LDJQRVWLFV

,QVSHFW WKH '3' GLIIHUHQWLDO SUHVVXUH VHQVRU KRVH

,QVSHFW WKH DLU LQWDNH V\VWHP

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KRVH

࣭7KHUH VKRXOG EH QR FUXVK OLPLWHG IORZ RU GDPDJH RI WKH GXFW EHWZHHQ WKH DLU FOHDQHU DQG LQWDNH PDQLIROG ࣭7KH LQWDNH V\VWHP VKRXOG QRW EH PRGLILHG ࣭7KHUH VKRXOG EH QR DLU OHDN ZLWK WKH LQWDNH V\VWHP

,QVSHFW WKH '3' GLIIHUHQWLDO SUHVVXUH VHQVRU

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH LQWDNH V\VWHP

࣭ '3' GLIIHUHQWLDO SUHVVXUH VHQVRU XQLW VKRXOG QRW EH GDPDJHG ࣭ 7KHUH VKRXOG EH QR GLUW RU IRUHLJQ PDWWHU EORFNLQJ WKH '3' GLIIHUHQWLDO SUHVVXUH VHQVRU HQWUDQFH ࣭ 7KHUH VKRXOG EH QR GHWHFWLRQ HUURU RU VORZ UHVSRQVH IURP WKH '3' GLIIHUHQWLDO SUHVVXUH VHQVRU

8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR LQVSHFW WKH PDVV DLU IORZ VHQVRU

1RWH㸸 ࣭ 'R QRW VWDUW WKH HQJLQH ࣭ 7KLV LV IRU WKH '3' GLIIHUHQWLDO SUHVVXUH VHQVRU WR UHOHDUQ

࣭7KHUH VKRXOG EH QR LQFRUUHFW SLSLQJ RU GLVFRQQHFWLRQ

,I D SUREOHP LV GLVFRYHUHG UHSODFH WKH '3' GLIIHUHQWLDO SUHVVXUH VHQVRU

5HIHU WR (QJLQH * ([KDXVW +. ([KDXVW GLIIHUHQWLDO SUHVVXUH VHQVRU 5HPRYDO 5HIHU WR (QJLQH * ([KDXVW +. ([KDXVW GLIIHUHQWLDO SUHVVXUH VHQVRU ,QVWDOODWLRQ

:KHQ WKH '3' GLIIHUHQWLDO SUHVVXUH VHQVRU KDV EHHQ UHSODFHG SHUIRUP WKH SRLQW FRUUHFWLRQ

5HIHU WR (QJLQH * ([KDXVW +. ([KDXVW GLIIHUHQWLDO SUHVVXUH VHQVRU ,QVSHFWLRQ

,I D SUREOHP LV GLVFRYHUHG UHSODFH WKH PDVV DLU IORZ VHQVRU 7XUQ WKH VWDUWHU VZLWFK 21 IRU VHFRQGV

6WDUW WKH HQJLQH 8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FKHFN WKH '3' DFFXPXODWLRQ VWDWXV DQG WKH '3' WLPH VWDWXV DQG FRQILUP WKH FRUUHVSRQGLQJ DUHD IURP WKH '3' VWDWXV WDEOH

,QVSHFW WKH H[KDXVW V\VWHP

࣭7KHUH VKRXOG EH QR DEVHQFH RU GDPDJH RI WKH H[KDXVW SLSH JDVNHW ࣭7KHUH VKRXOG EH QR H[KDXVW JDV OHDN IURP WKH H[KDXVW V\VWHP ࣭7KH H[KDXVW V\VWHP VKRXOG QRW EH PRGLILHG

,I D SUREOHP LV GLVFRYHUHG UHSDLU RU UHSODFH WKH H[KDXVW V\VWHP

,QVSHFW WKH H[KDXVW JDV WHPSHUDWXUH VHQVRU

5HIHU WR (QJLQH * ([KDXVW +. ([KDXVW JDV WHPSHUDWXUH VHQVRU ,QVSHFWLRQ

,I D SUREOHP LV GLVFRYHUHG UHSODFH WKH H[KDXVW JDV WHPSHUDWXUH VHQVRU

5HIHU WR (QJLQH * ([KDXVW +. ([KDXVW JDV WHPSHUDWXUH VHQVRU 5HPRYDO 5HIHU WR (QJLQH * ([KDXVW +. ([KDXVW JDV WHPSHUDWXUH VHQVRU ,QVWDOODWLRQ ,QVSHFW WKH DLU FOHDQHU HOHPHQW 5HIHU WR (QJLQH ) ,QGXFWLRQ +. $LU FOHDQHU HOHPHQW ,QVSHFWLRQ ,I D SUREOHP LV GLVFRYHUHG UHSODFH WKH DLU FOHDQHU HOHPHQW

,I WKH VLWXDWLRQ IDOOV LQ WKH DUHD $ RU % XVH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR SHUIRUP WKH '3' IRUFHG UHJHQHUDWLRQ 1RWH㸸 ࣭ :KHQ D '7& KDV EHHQ GHWHFWHG FOHDU LW XVLQJ WKH WURXEOH GLDJQRVLV VFDQ WRRO ,I WKH VLWXDWLRQ IDOOV LQ WKH DUHD & RU ' XVH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR SHUIRUP WKH '3' IRUFHG VORZ UHJHQHUDWLRQ


$ (QJLQH &RQWURO +. 1RWH㸸 ࣭ :KHQ D '7& KDV EHHQ GHWHFWHG FOHDU LW XVLQJ WKH WURXEOH GLDJQRVLV VFDQ WRRO ࣭ $IWHU WKH '3' IRUFHG VORZ UHJHQHUDWLRQ LV FRPSOHWHG UHSODFH WKH HQJLQH RLO &KHFN WKH H[KDXVW WHPSHUDWXUH EHIRUH WKH ILOWHU GLVSOD\ ZLWK WKH WURXEOH GLDJQRVLV VFDQ WRRO &RQILUP WKDW WKH H[KDXVW WHPSHUDWXUH LV DW RU EHORZ WKH VWDQGDUG YDOXH 6SHFLILHG YDOXH㸸 Я ^ ) ` ,I LW LV DW RU DERYH WKH VWDQGDUG YDOXH LGOH WKH HQJLQH XQWLO LW IDOOV WR RU EHORZ WKH VWDQGDUG YDOXH &KHFN WKH H[KDXVW GLIIHUHQWLDO SUHVVXUH GLVSOD\ ZKHQ WKH H[KDXVW WHPSHUDWXUH LQ IURQW RI WKH ILOWHU GLVSOD\ KDV UHDFKHG WKH VWDQGDUG YDOXH ZLWK WKH HQJLQH UHYROXWLRQ LQFUHDVHG WR WKH PD[LPXP UHYROXWLRQ VSHHG ZLWKRXW ORDG 6SHFLILHG YDOXH㸸 Я ^ ) ` 8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FKHFN LI WKH H[KDXVW GLIIHUHQWLDO SUHVVXUH GLVSOD\ LV DW RU EHORZ WKH VWDQGDUG YDOXH VSHFLILHG YDOXH㸸 N3D ^ NJI FP SVL ` ,I LW LV DW RU DERYH WKH VWDQGDUG YDOXH SHUIRUP DVK UHPRYDO 5HIHU WR (QJLQH * ([KDXVW +. '3' DVVHPEO\ ,QVSHFWLRQ

'7& 3 &RQILUP 5HVROXWLRQ

7XUQ 21 WKH VWDUWHU VZLWFK

8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FRQILUP WKDW D '7& KDV QRW EHHQ GHWHFWHG


(QJLQH &RQWURO +. $

'7& 3 )ODVK &RGH &RQWURO 0RGXOH /RQJ 7HUP 0HPRU\ 3HUIRUPDQFH

'7& 3 'LDJQRVWLFV

&RQILUP WKDW WKH FRQQHFWLQJ VHFWLRQV RI DOO WRROV DUH VHFXUHO\ FRQQHFWHG

&RQILUP WKDW WKH SURJUDPPLQJ GHYLFH LV RSHUDWLQJ QRUPDOO\

7XUQ WKH VWDUWHU VZLWFK 2)) DQG ZDLW IRU VHFRQGV

7XUQ 21 WKH VWDUWHU VZLWFK

8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FKHFN LI D '7& KDV EHHQ GHWHFWHG

,I D '7& KDV EHHQ GHWHFWHG UHSODFH WKH (&0

5HIHU WR (QJLQH - (OHFWULFDO +. (&0 5HPRYDO 5HIHU WR (QJLQH - (OHFWULFDO +. (&0 ,QVWDOODWLRQ

6HW WKH LQMHFWRU ,' FRGH RQ WKH (&0

3HUIRUP WKH XQLW GLIIHUHQFH OHDUQLQJ RI WKH IXHO VXSSO\ SXPS WR WKH (&0

'7& 3 &RQILUP 5HVROXWLRQ

&OHDU WKH '7& XVLQJ WKH WURXEOH GLDJQRVLV VFDQ WRRO

7XUQ WKH VWDUWHU VZLWFK 2)) IRU VHFRQGV RU ORQJHU

6WDUW WKH HQJLQH

8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FRQILUP WKDW D '7& KDV QRW EHHQ GHWHFWHG


$ (QJLQH &RQWURO +.

'7& 3 )ODVK &RGH 6HQVRU 5HIHUHQFH 9ROWDJH &LUFXLW

'7& 3 'LDJQRVWLFV

0HDVXUH WKH YROWDJH EHWZHHQ WKH ERRVW VHQVRU 9 SRZHU VXSSO\ WHUPLQDO DQG *1' RI WKH ERRVW VHQVRU KDUQHVV FRQQHFWRU

7XUQ 2)) WKH VWDUWHU VZLWFK

'LVFRQQHFW WKH KDUQHVV FRQQHFWRU IURP WKH ERRVW VHQVRU

YROWDJH㸸 9

7XUQ 21 WKH VWDUWHU VZLWFK

,I LW LV DW RU DERYH WKH VWDQGDUG YDOXH UHSODFH WKH LQWDNH WKURWWOH YDOYH

0HDVXUH WKH YROWDJH EHWZHHQ WKH ERRVW VHQVRU 9 SRZHU VXSSO\ WHUPLQDO DQG *1' RI WKH ERRVW VHQVRU KDUQHVV FRQQHFWRU

5HIHU WR (QJLQH % 0HFKDQLFDO +. ,QWDNH WKURWWOH YDOYH 5HPRYDO

YROWDJH㸸 9

,I LW LV DW RU DERYH WKH VWDQGDUG YDOXH LQVSHFW WR VHH LI WKHUH LV D VKRUW FLUFXLW WR WKH EDWWHU\ RU LJQLWLRQ SRZHU VXSSO\ ZLWK WKH ERRVW VHQVRU 9 SRZHU VXSSO\ FLUFXLW EHWZHHQ WKH (&0 DQG WKH ERRVW VHQVRU ,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH ERRVW VHQVRU 9 SRZHU VXSSO\ FLUFXLW

,QVSHFW WR VHH LI WKHUH LV D VKRUW FLUFXLW WR WKH EDWWHU\ RU LJQLWLRQ SRZHU VXSSO\ ZLWK WKH LQWDNH WKURWWOH SRVLWLRQ VHQVRU 9 SRZHU VXSSO\ FLUFXLW EHWZHHQ WKH (&0 DQG WKH LQWDNH WKURWWOH YDOYH

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH LQWDNH WKURWWOH SRVLWLRQ VHQVRU 9 SRZHU VXSSO\ FLUFXLW

,QVSHFW WR VHH LI WKHUH LV D VKRUW FLUFXLW WR WKH EDWWHU\ RU LJQLWLRQ SRZHU VXSSO\ ZLWK WKH (*5 YDOYH SRVLWLRQ VHQVRU 9 SRZHU VXSSO\ FLUFXLW EHWZHHQ WKH (&0 DQG (*5 YDOYH

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH (*5 YDOYH SRVLWLRQ VHQVRU 9 SRZHU VXSSO\ FLUFXLW ,I LW LV DW RU EHORZ WKH VWDQGDUG YDOXH PHDVXUH WKH YROWDJH EHWZHHQ WKH ERRVW VHQVRU 9 SRZHU VXSSO\ WHUPLQDO DQG *1' RI WKH ERRVW VHQVRU KDUQHVV FRQQHFWRU YROWDJH㸸 9 ,I LW LV DW RU DERYH WKH VWDQGDUG YDOXH UHSODFH WKH ERRVW VHQVRU 5HIHU WR (QJLQH ) ,QGXFWLRQ +. %RRVW VHQVRU 5HPRYDO 5HIHU WR (QJLQH ) ,QGXFWLRQ +. %RRVW VHQVRU ,QVWDOODWLRQ

5HIHU WR (QJLQH % 0HFKDQLFDO +. ,QWDNH WKURWWOH YDOYH ,QVWDOODWLRQ ,I LW LV DW RU EHORZ WKH VWDQGDUG YDOXH WXUQ WKH VWDUWHU VZLWFK 2)) 'LVFRQQHFW WKH KDUQHVV FRQQHFWRU IURP WKH (*5 YDOYH 7XUQ 21 WKH VWDUWHU VZLWFK 0HDVXUH WKH YROWDJH EHWZHHQ WKH ERRVW VHQVRU 9 SRZHU VXSSO\ WHUPLQDO DQG *1' RI WKH ERRVW VHQVRU KDUQHVV FRQQHFWRU YROWDJH㸸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

,I LW LV DW RU EHORZ WKH VWDQGDUG YDOXH WXUQ WKH VWDUWHU VZLWFK 2))

,QVSHFW WR VHH LI WKHUH LV D VKRUW FLUFXLW WR WKH *1' ZLWK WKH (*5 YDOYH SRVLWLRQ VHQVRU 9 SRZHU VXSSO\ FLUFXLW EHWZHHQ WKH (&0 DQG (*5 YDOYH

5HPRYH WKH KDUQHVV FRQQHFWRU IURP WKH LQWDNH WKURWWOH YDOYH

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH (*5 YDOYH SRVLWLRQ VHQVRU 9 SRZHU VXSSO\ FLUFXLW

7XUQ 21 WKH VWDUWHU VZLWFK

5HSODFH WKH (&0


(QJLQH &RQWURO +. $ 5HIHU WR (QJLQH - (OHFWULFDO +. (&0 5HPRYDO 5HIHU WR (QJLQH - (OHFWULFDO +. (&0 ,QVWDOODWLRQ 6HW WKH LQMHFWRU ,' FRGH RQ WKH (&0 3HUIRUP WKH XQLW GLIIHUHQFH OHDUQLQJ RI WKH IXHO VXSSO\ SXPS WR WKH (&0

'7& 3 &RQILUP 5HVROXWLRQ

&OHDU WKH '7& XVLQJ WKH WURXEOH GLDJQRVLV VFDQ WRRO

7XUQ WKH VWDUWHU VZLWFK 2)) IRU VHFRQGV RU ORQJHU

6WDUW WKH HQJLQH

3HUIRUP D WHVW UXQ

8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FRQILUP WKDW D '7& KDV QRW EHHQ GHWHFWHG


$ (QJLQH &RQWURO +.

'7& 3 )ODVK &RGH '3' /DPS &RQWURO &LUFXLW

'7& 3 'LDJQRVWLFV

&RQILUP WKDW WKH PRQLWRU SDQHO RSHUDWHV SURSHUO\

7XUQ 2)) WKH VWDUWHU VZLWFK

,QVSHFW WKH IXVH

,I D SUREOHP LV GLVFRYHUHG UHSODFH WKH IXVH

6HW WKH LQMHFWRU ,' FRGH RQ WKH (&0 3HUIRUP WKH XQLW GLIIHUHQFH OHDUQLQJ RI WKH IXHO VXSSO\ SXPS WR WKH (&0 ,I WKH '3' OLJKW GRHV QRW WXUQ RQ UHPRYH WKH '3' OLJKW EXOE IURP WKH PRQLWRU SDQHO ,QVSHFW WKH '3' OLJKW EXOE

1RWH㸸 ࣭ :KHQ WKH IXVH LV EORZQ DJDLQ UHSDLU WKH FDXVH RI IXVH PHOWGRZQ

7XUQ 2)) WKH VWDUWHU VZLWFK

'LVFRQQHFW WKH KDUQHVV FRQQHFWRU IURP WKH (&0

7XUQ 21 WKH VWDUWHU VZLWFK

&KHFN WR VHH LI WKH '3' OLJKW LV RII

,I WKH '3' OLJKW LV QRW WXUQHG RII UHSDLU WKH VKRUW FLUFXLW WR *1' LQ WKH '3' OLJKW FRQWURO FLUFXLW EHWZHHQ WKH (&0 DQG WKH PRQLWRU SDQHO

5HSODFH WKH YDOYH LI D SUREOHP LV GLVFRYHUHG ,QVSHFW WR VHH LI WKHUH LV DQ RSHQ FLUFXLW RU KLJK UHVLVWDQFH LQ WKH LJQLWLRQ SRZHU VXSSO\ FLUFXLW EHWZHHQ WKH IXVH DQG WKH PRQLWRU SDQHO ,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH LJQLWLRQ SRZHU VXSSO\ FLUFXLW ,QVSHFW WR VHH LI WKHUH LV DQ RSHQ FLUFXLW RU KLJK UHVLVWDQFH LQ WKH '3' OLJKW FRQWURO FLUFXLW EHWZHHQ WKH (&0 DQG WKH PRQLWRU SDQHO ,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH FRQWURO FLUFXLW ,QVSHFW WKH PRQLWRU SDQHO KDUQHVV FRQQHFWRU IRU D FRQWDFW IDLOXUH

7XUQ 2)) WKH VWDUWHU VZLWFK 5HPRYH WKH IXVH 7XUQ 21 WKH VWDUWHU VZLWFK

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KDUQHVV FRQQHFWRU

0HDVXUH WKH YROWDJH EHWZHHQ WKH '3' OLJKW FRQWURO FLUFXLW DQG *1' RI WKH (&0 KDUQHVV FRQQHFWRU

:KHQ WKH KDUQHVV FRQQHFWRU LV QRUPDO UHSODFH WKH PRQLWRU SDQHO

YROWDJH㸸 9

'7& 3 &RQILUP 5HVROXWLRQ

,I LW LV DW RU DERYH WKH VWDQGDUG YDOXH UHSDLU WKH VKRUW FLUFXLW WR WKH EDWWHU\ RU LJQLWLRQ SRZHU VXSSO\ FLUFXLW LQ WKH '3' OLJKW FRQWURO FLUFXLW EHWZHHQ WKH (&0 DQG WKH PRQLWRU SDQHO

&OHDU WKH '7& XVLQJ WKH WURXEOH GLDJQRVLV VFDQ WRRO

7XUQ WKH VWDUWHU VZLWFK 2)) IRU VHFRQGV RU ORQJHU

7XUQ WKH VWDUWHU VZLWFK 21 DQG ZDLW IRU VHFRQGV

7XUQ 2)) WKH VWDUWHU VZLWFK

6WDUW WKH HQJLQH

,QVWDOO WKH IXVH

8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FRQILUP WKDW D '7& KDV QRW EHHQ GHWHFWHG

&RQQHFW WKH WHVW FDEOH ZLWK IXVH EHWZHHQ WKH '3' OLJKW FRQWURO FLUFXLW DQG *1' RI WKH (&0 KDUQHVV FRQQHFWRU 7XUQ 21 WKH VWDUWHU VZLWFK ,I WKH '3' OLJKW WXUQV RQ LQVSHFW WKH (&0 KDUQHVV FRQQHFWRU IRU D FRQWDFW IDLOXUH ,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KDUQHVV FRQQHFWRU ,I WKH KDUQHVV FRQQHFWRU LV QRUPDO UHSODFH WKH (&0 5HIHU WR (QJLQH - (OHFWULFDO +. (&0 5HPRYDO 5HIHU WR (QJLQH - (OHFWULFDO +. (&0 ,QVWDOODWLRQ


(QJLQH &RQWURO +. $

'7& 3 )ODVK &RGH 3HGDO 3RVLWLRQ 6HQVRU &LUFXLW /RZ ,QSXW

'7& 3 3ULRULW\ '7&

5HIHU WR (QJLQH - (OHFWULFDO +. (&0 5HPRYDO

'7& 3

5HIHU WR (QJLQH - (OHFWULFDO +. (&0 ,QVWDOODWLRQ

'7& 3 'LDJQRVWLFV

7XUQ 2)) WKH VWDUWHU VZLWFK

'LVFRQQHFW WKH KDUQHVV FRQQHFWRU IURP WKH DFFHOHUDWRU SRVLWLRQ VHQVRU

7XUQ 21 WKH VWDUWHU VZLWFK

0HDVXUH WKH YROWDJH EHWZHHQ WKH 9 SRZHU VXSSO\ FLUFXLW DQG *1' RI WKH DFFHOHUDWRU SRVLWLRQ VHQVRU

YROWDJH㸸 9

,I LW LV DW RU EHORZ WKH VWDQGDUG YDOXH LQVSHFW WR VHH LI WKHUH LV DQ RSHQ FLUFXLW RU KLJK UHVLVWDQFH ZLWK WKH 9 SRZHU VXSSO\ FLUFXLW EHWZHHQ WKH (&0 DQG WKH DFFHOHUDWRU SRVLWLRQ VHQVRU

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH 9 SRZHU VXSSO\ FLUFXLW

&RQQHFW WKH WHVW FDEOH ZLWK IXVH EHWZHHQ WKH 9 SRZHU VXSSO\ FLUFXLW DQG VHQVRU VLJQDO FLUFXLW RI WKH DFFHOHUDWRU SRVLWLRQ VHQVRU

&KHFN WKH DFFHOHUDWRU SHGDO SRVLWLRQ VHQVRU $33 GLVSOD\ ZLWK WKH WURXEOH GLDJQRVLV VFDQ WRRO

YROWDJH㸸 9

,I LW LV DW RU DERYH WKH VWDQGDUG YDOXH LQVSHFW WR VHH LI WKHUH LV D FRQWDFW IDLOXUH ZLWK WKH DFFHOHUDWRU SRVLWLRQ VHQVRU KDUQHVV FRQQHFWRU

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KDUQHVV FRQQHFWRU ,I WKH KDUQHVV FRQQHFWRU LV QRUPDO UHSODFH WKH DFFHOHUDWRU SRVLWLRQ VHQVRU ,I LW LV DW RU EHORZ WKH VWDQGDUG YDOXH LQVSHFW WKH VHQVRU VLJQDO FLUFXLW EHWZHHQ WKH (&0 DQG DFFHOHUDWRU SRVLWLRQ VHQVRU ࣭7KHUH VKRXOG EH QR RSHQ FLUFXLW RU KLJK UHVLVWDQFH ࣭7KHUH VKRXOG EH QR VKRUW WR *1' ,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH VHQVRU VLJQDO FLUFXLW ,QVSHFW WKH (&0 KDUQHVV FRQQHFWRU IRU D FRQWDFW IDLOXUH ,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KDUQHVV FRQQHFWRU ,I WKH KDUQHVV FRQQHFWRU LV QRUPDO UHSODFH WKH (&0

6HW WKH LQMHFWRU ,' FRGH RQ WKH (&0 3HUIRUP WKH XQLW GLIIHUHQFH OHDUQLQJ RI WKH IXHO VXSSO\ SXPS WR WKH (&0

'7& 3 &RQILUP 5HVROXWLRQ

&OHDU WKH '7& XVLQJ WKH WURXEOH GLDJQRVLV VFDQ WRRO

7XUQ WKH VWDUWHU VZLWFK 2)) IRU VHFRQGV RU ORQJHU

6WDUW WKH HQJLQH IXOO\ GHSUHVV WKH DFFHOHUDWRU SHGDO DQG WKHQ UHOHDVH LW ZKLOH FKHFNLQJ WKH DFFHOHUDWRU SHGDO SRVLWLRQ VHQVRU $33 GLVSOD\ ZLWK WKH WURXEOH GLDJQRVLV VFDQ WRRO

&RQILUP WKDW WKH WURXEOH GLDJQRVLV VFDQ WRRO GRHV QRW VKRZ D YDOXH DW RU EHORZ WKH VWDQGDUG YDOXH ZKLOH GHSUHVVLQJ DQG WKHQ UHOHDVLQJ WKH SHGDO

YROWDJH㸸 9

8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FRQILUP WKDW D '7& KDV QRW EHHQ GHWHFWHG


$ (QJLQH &RQWURO +.

'7& 3 )ODVK &RGH 3HGDO 3RVLWLRQ 6HQVRU &LUFXLW +LJK ,QSXW

'7& 3 3ULRULW\ '7&

3HUIRUP WKH XQLW GLIIHUHQFH OHDUQLQJ RI WKH IXHO VXSSO\ SXPS WR WKH (&0

'7& 3

'7& 3 'LDJQRVWLFV

7XUQ 2)) WKH VWDUWHU VZLWFK

'LVFRQQHFW WKH KDUQHVV FRQQHFWRU IURP WKH DFFHOHUDWRU SRVLWLRQ VHQVRU

'7& 3 &RQILUP 5HVROXWLRQ

&OHDU WKH '7& XVLQJ WKH WURXEOH GLDJQRVLV VFDQ WRRO

7XUQ WKH VWDUWHU VZLWFK 2)) IRU VHFRQGV RU ORQJHU

6WDUW WKH HQJLQH IXOO\ GHSUHVV WKH DFFHOHUDWRU SHGDO DQG WKHQ UHOHDVH LW ZKLOH FKHFNLQJ WKH DFFHOHUDWRU SHGDO SRVLWLRQ VHQVRU $33 GLVSOD\ ZLWK WKH WURXEOH GLDJQRVLV VFDQ WRRO

&RQILUP WKDW WKH WURXEOH GLDJQRVLV VFDQ WRRO GRHV QRW VKRZ D YDOXH DW RU DERYH WKH VWDQGDUG YDOXH ZKLOH GHSUHVVLQJ DQG WKHQ UHOHDVLQJ WKH SHGDO

&KHFN WKH DFFHOHUDWRU SHGDO SRVLWLRQ VHQVRU $33 GLVSOD\ ZLWK WKH WURXEOH GLDJQRVLV VFDQ WRRO

YROWDJH㸸 9

,I LW LV DW RU DERYH WKH VWDQGDUG YDOXH LQVSHFW WKH VHQVRU VLJQDO FLUFXLW EHWZHHQ WKH (&0 DQG WKH DFFHOHUDWRU SRVLWLRQ VHQVRU

࣭7KHUH VKRXOG EH QR VKRUW WR WKH EDWWHU\ RU LJQLWLRQ SRZHU VXSSO\ ࣭7KHUH VKRXOG EH QR VKRUW WR WKH 9 SRZHU VXSSO\

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH VHQVRU VLJQDO FLUFXLW

&RQQHFW WKH WHVW OLJKW EHWZHHQ WKH DFFHOHUDWRU SRVLWLRQ VHQVRU *1' FLUFXLW DQG EDWWHU\ SRZHU VXSSO\

,I WKH WHVW OLJKW FRPHV RQ LQVSHFW WKH DFFHOHUDWRU SRVLWLRQ VHQVRU KDUQHVV FRQQHFWRU IRU D FRQWDFW IDLOXUH

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KDUQHVV FRQQHFWRU

,I WKH KDUQHVV FRQQHFWRU LV QRUPDO UHSODFH WKH DFFHOHUDWRU SRVLWLRQ VHQVRU

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

YROWDJH㸸 9

8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FRQILUP WKDW D '7& KDV QRW EHHQ GHWHFWHG


(QJLQH &RQWURO +. $

'7& 3 )ODVK &RGH 3HGDO 3RVLWLRQ 6HQVRU &LUFXLW /RZ ,QSXW

'7& 3 3ULRULW\ '7&

5HIHU WR (QJLQH - (OHFWULFDO +. (&0 5HPRYDO

'7& 3

5HIHU WR (QJLQH - (OHFWULFDO +. (&0 ,QVWDOODWLRQ

'7& 3 'LDJQRVWLFV

7XUQ 2)) WKH VWDUWHU VZLWFK

'LVFRQQHFW WKH KDUQHVV FRQQHFWRU IURP WKH DFFHOHUDWRU SRVLWLRQ VHQVRU

7XUQ 21 WKH VWDUWHU VZLWFK

0HDVXUH WKH YROWDJH EHWZHHQ WKH 9 SRZHU VXSSO\ FLUFXLW DQG *1' RI WKH DFFHOHUDWRU SRVLWLRQ VHQVRU

YROWDJH㸸 9

,I LW LV DW RU EHORZ WKH VWDQGDUG YDOXH LQVSHFW WR VHH LI WKHUH LV DQ RSHQ FLUFXLW RU KLJK UHVLVWDQFH ZLWK WKH 9 SRZHU VXSSO\ FLUFXLW EHWZHHQ WKH (&0 DQG WKH DFFHOHUDWRU SRVLWLRQ VHQVRU

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH 9 SRZHU VXSSO\ FLUFXLW

&RQQHFW WKH WHVW FDEOH ZLWK IXVH EHWZHHQ WKH 9 SRZHU VXSSO\ FLUFXLW DQG VHQVRU VLJQDO FLUFXLW RI WKH DFFHOHUDWRU SRVLWLRQ VHQVRU

&KHFN WKH DFFHOHUDWRU SHGDO SRVLWLRQ VHQVRU $33 GLVSOD\ ZLWK WKH WURXEOH GLDJQRVLV VFDQ WRRO

YROWDJH㸸 9

,I LW LV DW RU DERYH WKH VWDQGDUG YDOXH LQVSHFW WR VHH LI WKHUH LV D FRQWDFW IDLOXUH ZLWK WKH DFFHOHUDWRU SRVLWLRQ VHQVRU KDUQHVV FRQQHFWRU

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KDUQHVV FRQQHFWRU ,I WKH KDUQHVV FRQQHFWRU LV QRUPDO UHSODFH WKH DFFHOHUDWRU SRVLWLRQ VHQVRU ,I LW LV DW RU EHORZ WKH VWDQGDUG YDOXH LQVSHFW WKH VHQVRU VLJQDO FLUFXLW EHWZHHQ WKH (&0 DQG DFFHOHUDWRU SRVLWLRQ VHQVRU ࣭7KHUH VKRXOG EH QR RSHQ FLUFXLW RU KLJK UHVLVWDQFH ࣭7KHUH VKRXOG EH QR VKRUW WR *1' ,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH VHQVRU VLJQDO FLUFXLW ,QVSHFW WKH (&0 KDUQHVV FRQQHFWRU IRU D FRQWDFW IDLOXUH ,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KDUQHVV FRQQHFWRU ,I WKH KDUQHVV FRQQHFWRU LV QRUPDO UHSODFH WKH (&0

6HW WKH LQMHFWRU ,' FRGH RQ WKH (&0 3HUIRUP WKH XQLW GLIIHUHQFH OHDUQLQJ RI WKH IXHO VXSSO\ SXPS WR WKH (&0

'7& 3 &RQILUP 5HVROXWLRQ

&OHDU WKH '7& XVLQJ WKH WURXEOH GLDJQRVLV VFDQ WRRO

7XUQ WKH VWDUWHU VZLWFK 2)) IRU VHFRQGV RU ORQJHU

6WDUW WKH HQJLQH IXOO\ GHSUHVV WKH DFFHOHUDWRU SHGDO DQG WKHQ UHOHDVH LW ZKLOH FKHFNLQJ WKH DFFHOHUDWRU SHGDO SRVLWLRQ VHQVRU $33 GLVSOD\ ZLWK WKH WURXEOH GLDJQRVLV VFDQ WRRO

&RQILUP WKDW WKH WURXEOH GLDJQRVLV VFDQ WRRO GRHV QRW VKRZ D YDOXH DW RU EHORZ WKH VWDQGDUG YDOXH ZKLOH GHSUHVVLQJ DQG WKHQ UHOHDVLQJ WKH SHGDO

YROWDJH㸸 9

8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FRQILUP WKDW D '7& KDV QRW EHHQ GHWHFWHG


$ (QJLQH &RQWURO +.

'7& 3 )ODVK &RGH 3HGDO 3RVLWLRQ 6HQVRU &LUFXLW +LJK ,QSXW

'7& 3 3ULRULW\ '7&

3HUIRUP WKH XQLW GLIIHUHQFH OHDUQLQJ RI WKH IXHO VXSSO\ SXPS WR WKH (&0

'7& 3

'7& 3 'LDJQRVWLFV

7XUQ 2)) WKH VWDUWHU VZLWFK

'LVFRQQHFW WKH KDUQHVV FRQQHFWRU IURP WKH DFFHOHUDWRU SRVLWLRQ VHQVRU

'7& 3 &RQILUP 5HVROXWLRQ

&OHDU WKH '7& XVLQJ WKH WURXEOH GLDJQRVLV VFDQ WRRO

7XUQ WKH VWDUWHU VZLWFK 2)) IRU VHFRQGV RU ORQJHU

6WDUW WKH HQJLQH IXOO\ GHSUHVV WKH DFFHOHUDWRU SHGDO DQG WKHQ UHOHDVH LW ZKLOH FKHFNLQJ WKH DFFHOHUDWRU SHGDO SRVLWLRQ VHQVRU $33 GLVSOD\ ZLWK WKH WURXEOH GLDJQRVLV VFDQ WRRO

&RQILUP WKDW WKH WURXEOH GLDJQRVLV VFDQ WRRO GRHV QRW VKRZ D YDOXH DW RU DERYH WKH VWDQGDUG YDOXH ZKLOH GHSUHVVLQJ DQG WKHQ UHOHDVLQJ WKH SHGDO

&KHFN WKH DFFHOHUDWRU SHGDO SRVLWLRQ VHQVRU $33 GLVSOD\ ZLWK WKH WURXEOH GLDJQRVLV VFDQ WRRO

YROWDJH㸸 9

,I LW LV DW RU DERYH WKH VWDQGDUG YDOXH LQVSHFW WKH VHQVRU VLJQDO FLUFXLW EHWZHHQ WKH (&0 DQG WKH DFFHOHUDWRU SRVLWLRQ VHQVRU

࣭7KHUH VKRXOG EH QR VKRUW WR WKH EDWWHU\ RU LJQLWLRQ SRZHU VXSSO\ ࣭7KHUH VKRXOG EH QR VKRUW WR WKH 9 SRZHU VXSSO\

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH VHQVRU VLJQDO FLUFXLW

&RQQHFW WKH WHVW OLJKW EHWZHHQ WKH DFFHOHUDWRU SRVLWLRQ VHQVRU *1' FLUFXLW DQG EDWWHU\ SRZHU VXSSO\

,I WKH WHVW OLJKW FRPHV RQ LQVSHFW WKH DFFHOHUDWRU SRVLWLRQ VHQVRU KDUQHVV FRQQHFWRU IRU D FRQWDFW IDLOXUH

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KDUQHVV FRQQHFWRU

,I WKH KDUQHVV FRQQHFWRU LV QRUPDO UHSODFH WKH DFFHOHUDWRU SRVLWLRQ VHQVRU

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

YROWDJH㸸 9

8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FRQILUP WKDW D '7& KDV QRW EHHQ GHWHFWHG


(QJLQH &RQWURO +. $

'7& 3 )ODVK &RGH 3HGDO 3RVLWLRQ 6HQVRU 9ROWDJH &RUUHODWLRQ

'7& 3 3ULRULW\ '7&

6HW WKH LQMHFWRU ,' FRGH RQ WKH (&0

'7& 3

3HUIRUP WKH XQLW GLIIHUHQFH OHDUQLQJ RI WKH IXHO VXSSO\ SXPS WR WKH (&0

'7& 3 '7& 3 '7& 3 '7& 3

'7& 3 'LDJQRVWLFV

7XUQ 2)) WKH VWDUWHU VZLWFK

'LVFRQQHFW WKH KDUQHVV FRQQHFWRU IURP WKH DFFHOHUDWRU SRVLWLRQ VHQVRU

,QVSHFW WKH DFFHOHUDWRU SRVLWLRQ VHQVRU KDUQHVV FRQQHFWRU IRU D FRQWDFW IDLOXUH

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KDUQHVV FRQQHFWRU

'LVFRQQHFW WKH KDUQHVV FRQQHFWRU IURP WKH (&0

,QVSHFW WKH (&0 KDUQHVV FRQQHFWRU IRU D FRQWDFW IDLOXUH

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KDUQHVV FRQQHFWRU

,QVSHFW WR VHH LI WKHUH LV KLJK UHVLVWDQFH LQ WKH FLUFXLW EHWZHHQ WKH (&0 DQG DFFHOHUDWRU SRVLWLRQ VHQVRU

5HSDLU WKH FLUFXLW LI D SUREOHP LV GLVFRYHUHG

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

'7& 3 &RQILUP 5HVROXWLRQ

&OHDU WKH '7& XVLQJ WKH WURXEOH GLDJQRVLV VFDQ WRRO

7XUQ WKH VWDUWHU VZLWFK 2)) IRU VHFRQGV RU ORQJHU

6WDUW WKH HQJLQH

:KLOH FKHFNLQJ WKH '7& LQIRUPDWLRQ ZLWK WKH WURXEOH GLDJQRVLV VFDQ WRRO IXOO\ GHSUHVV DQG WKHQ UHOHDVH WKH DFFHOHUDWRU SHGDO

8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FRQILUP WKDW D '7& KDV QRW EHHQ GHWHFWHG


$ (QJLQH &RQWURO +.

'7& 3 )ODVK &RGH )XHO ,QMHFWRU *URXS 6XSSO\ 9ROWDJH &LUFXLW

'7& 3 'LDJQRVWLFV

7XUQ WKH VWDUWHU VZLWFK 2))

'LVFRQQHFW WKH KDUQHVV FRQQHFWRU IURP WKH F\OLQGHU KHDG LQMHFWRU KDUQHVV LQWHUPHGLDWH FRQQHFWRU

7XUQ WKH VWDUWHU VZLWFK 21

0HDVXUH WKH UHVLVWDQFH EHWZHHQ WKH VROHQRLG FRQWURO FLUFXLW DQG D QRUPDO *1'

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KDUQHVV FRQQHFWRU (&0 DQG FRPSRQHQWV 7KH (&0 LV GHVLJQHG WR PDLQWDLQ UHJXODWLRQ OHYHOV RI H[KDXVW JDVHV ZKLOH REWDLQLQJ H[FHOOHQW IXHO HIILFLHQF\ 7KH (&0 PRQLWRUV YDULRXV HQJLQH IXQFWLRQV YLD WKH VHQVRUV VXFK DV WKH FUDQNVKDIW SRVLWLRQ VHQVRU ,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH FKDUJH YROWDJH FLUFXLW

1RWH㸸 ࣭ 6ROHQRLG FRQWURO FLUFXLW QRUPDO *1' RI WKH ILUVW F\OLQGHU LQMHFWRU ࣭ 6ROHQRLG FRQWURO FLUFXLW QRUPDO *1' RI WKH VHFRQG F\OLQGHU LQMHFWRU ࣭ 6ROHQRLG FRQWURO FLUFXLW QRUPDO *1' RI WKH WKLUG F\OLQGHU LQMHFWRU

5HPRYH WKH F\OLQGHU KHDG FRYHU 5HIHU WR (QJLQH % 0HFKDQLFDO +. &\OLQGHU KHDG FRYHU 5HPRYDO ,QVSHFW WKH LQMHFWRU KDUQHVV WLJKWHQLQJ QXW IRU ORRVHQHVV ,I WKH LQMHFWRU KDUQHVV WLJKWHQLQJ QXW LV ORRVH WLJKWHQ LW

UHVLVWDQFH㸸 0ȍ

,I LW LV DW RU EHORZ WKH VWDQGDUG YDOXH LQVSHFW WR VHH LI WKHUH LV D VKRUW FLUFXLW WR WKH *1' ZLWK WKH FRQWURO FLUFXLW EHWZHHQ WKH (&0 DQG LQMHFWRU KDUQHVV LQWHUPHGLDWH FRQQHFWRU

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH FRQWURO FLUFXLW

,QVSHFW WKH FKDUJH YROWDJH FLUFXLW EHWZHHQ WKH (&0 DQG WKH LQMHFWRU KDUQHVV LQWHUPHGLDWH FRQQHFWRU

,QVSHFW WR VHH LI DQ\ IRUHLJQ PDWWHU LV DWWDFKHG WR WKH LQMHFWRU WHUPLQDO ,I DQ\ IRUHLJQ PDWWHU LV DWWDFKHG WR WKH LQMHFWRU WHUPLQDO UHPRYH LW ,QVSHFW WKH LQMHFWRU KDUQHVV LQWHUPHGLDWH KDUQHVV FRQQHFWRU IRU D FRQWDFW IDLOXUH ,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH LQMHFWRU KDUQHVV LQWHUPHGLDWH FRQQHFWRU

࣭7KHUH VKRXOG EH QR VKRUW WR WKH EDWWHU\ RU LJQLWLRQ SRZHU VXSSO\ ࣭7KHUH VKRXOG EH QR VKRUW WR *1'

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH FKDUJH YROWDJH FLUFXLW

,I WKH FKDUJH YROWDJH FLUFXLW LV QRUPDO UHSODFH WKH (&0

&KHFN LI LQVXODWLRQ UHVLVWDQFH RI WKH ILUVW F\OLQGHU VHFRQG F\OLQGHU DQG WKLUG F\OLQGHU LQMHFWRU LV DW RU DERYH WKH VWDQGDUG YDOXH UHVLVWDQFH㸸 0ȍ ,I DQ\ LQMHFWRU LV DW RU EHORZ WKH VWDQGDUG YDOXH UHSODFH WKH UHOHYDQW LQMHFWRU

5HIHU WR (QJLQH - (OHFWULFDO +. (&0 5HPRYDO

5HIHU WR (QJLQH & )XHO 6\VWHP +. ,QMHFWRU 5HPRYDO

5HIHU WR (QJLQH - (OHFWULFDO +. (&0 ,QVWDOODWLRQ

5HIHU WR (QJLQH & )XHO 6\VWHP +. ,QMHFWRU ,QVWDOODWLRQ

6HW WKH LQMHFWRU ,' FRGH RQ WKH (&0

:KHQ WKH LQMHFWRU KDV EHHQ UHSODFHG VHW WKH LQMHFWRU ,' FRGH RQ WKH (&0

3HUIRUP WKH XQLW GLIIHUHQFH OHDUQLQJ RI WKH IXHO VXSSO\ SXPS WR WKH (&0 ,QVSHFW WKH LQMHFWRU KDUQHVV LQWHUPHGLDWH FRQQHFWRU IRU D FRQWDFW IDLOXUH ,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH LQMHFWRU KDUQHVV LQWHUPHGLDWH FRQQHFWRU

,I DOO WKH UHVLVWDQFH YDOXHV DUH DW RU DERYH WKH VWDQGDUG YDOXH UHSDLU RU UHSODFH WKH LQMHFWRU KDUQHVV

'7& 3 &RQILUP 5HVROXWLRQ

&OHDU WKH '7& XVLQJ WKH WURXEOH GLDJQRVLV VFDQ WRRO

'LVFRQQHFW WKH (&0 KDUQHVV FRQQHFWRU

7XUQ WKH VWDUWHU VZLWFK 2)) IRU VHFRQGV RU ORQJHU

,QVSHFW WKH (&0 KDUQHVV FRQQHFWRU IRU D FRQWDFW IDLOXUH

6WDUW WKH HQJLQH


(QJLQH &RQWURO +. $

3HUIRUP D WHVW UXQ

8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FRQILUP WKDW D '7& KDV QRW EHHQ GHWHFWHG


$ (QJLQH &RQWURO +.

'7& 3 )ODVK &RGH )XHO ,QMHFWRU *URXS 6XSSO\ 9ROWDJH &LUFXLW

'7& 3 'LDJQRVWLFV

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KDUQHVV FRQQHFWRU

7XUQ 2)) WKH VWDUWHU VZLWFK

'LVFRQQHFW WKH KDUQHVV FRQQHFWRU IURP WKH F\OLQGHU KHDG LQMHFWRU KDUQHVV LQWHUPHGLDWH FRQQHFWRU

7XUQ WKH VWDUWHU VZLWFK 21

,QVSHFW WR VHH LI WKHUH LV DQ RSHQ FLUFXLW RU KLJK UHVLVWDQFH ZLWK WKH FKDUJH YROWDJH FLUFXLW EHWZHHQ WKH (&0 DQG WKH LQMHFWRU KDUQHVV LQWHUPHGLDWH FRQQHFWRU

0HDVXUH WKH UHVLVWDQFH EHWZHHQ WKH VROHQRLG FRQWURO FLUFXLW DQG D QRUPDO *1'

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH FKDUJH YROWDJH FLUFXLW

1RWH㸸 ࣭ 6ROHQRLG FRQWURO FLUFXLW QRUPDO *1' RI WKH IRXUWK F\OLQGHU LQMHFWRU ࣭ 6ROHQRLG FRQWURO FLUFXLW QRUPDO *1' RI WKH ILIWK F\OLQGHU LQMHFWRU ࣭ 6ROHQRLG FRQWURO FLUFXLW QRUPDO *1' RI WKH VL[WK F\OLQGHU LQMHFWRU

5HPRYH WKH F\OLQGHU KHDG FRYHU 5HIHU WR (QJLQH % 0HFKDQLFDO +. &\OLQGHU KHDG FRYHU 5HPRYDO ,QVSHFW WKH LQMHFWRU KDUQHVV WLJKWHQLQJ QXW IRU ORRVHQHVV ,I WKH LQMHFWRU KDUQHVV WLJKWHQLQJ QXW LV ORRVH WLJKWHQ LW

UHVLVWDQFH㸸 ȍ

,QVSHFW WR VHH LI DQ\ IRUHLJQ PDWWHU LV DWWDFKHG WR WKH LQMHFWRU WHUPLQDO

,I LW LV DW RU EHORZ WKH VWDQGDUG YDOXH LQVSHFW WR VHH LI WKHUH LV D VKRUW FLUFXLW WR WKH *1' ZLWK WKH FRQWURO FLUFXLW EHWZHHQ WKH (&0 DQG LQMHFWRU KDUQHVV LQWHUPHGLDWH FRQQHFWRU

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH FRQWURO FLUFXLW

,QVSHFW WKH FKDUJH YROWDJH FLUFXLW EHWZHHQ WKH (&0 DQG WKH LQMHFWRU KDUQHVV LQWHUPHGLDWH FRQQHFWRU

,I DQ\ IRUHLJQ PDWWHU LV DWWDFKHG WR WKH LQMHFWRU WHUPLQDO UHPRYH LW ,QVSHFW WKH LQMHFWRU KDUQHVV LQWHUPHGLDWH KDUQHVV FRQQHFWRU IRU D FRQWDFW IDLOXUH ,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH LQMHFWRU KDUQHVV LQWHUPHGLDWH FRQQHFWRU

࣭7KHUH VKRXOG EH QR VKRUW WR WKH EDWWHU\ RU LJQLWLRQ SRZHU VXSSO\ ࣭7KHUH VKRXOG EH QR VKRUW WR *1'

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH FKDUJH YROWDJH FLUFXLW

,I WKH FKDUJH YROWDJH FLUFXLW LV QRUPDO UHSODFH WKH (&0

&KHFN WR VHH LI LQVXODWLRQ UHVLVWDQFH RI WKH IRXUWK F\OLQGHU ILIWK F\OLQGHU DQG VL[WK F\OLQGHU LQMHFWRU LV DW RU DERYH WKH VWDQGDUG YDOXH UHVLVWDQFH㸸 0ȍ ,I DQ\ LQMHFWRU LV DW RU EHORZ WKH VWDQGDUG YDOXH UHSODFH WKH UHOHYDQW LQMHFWRU

5HIHU WR (QJLQH - (OHFWULFDO +. (&0 5HPRYDO

5HIHU WR (QJLQH & )XHO 6\VWHP +. ,QMHFWRU 5HPRYDO

5HIHU WR (QJLQH - (OHFWULFDO +. (&0 ,QVWDOODWLRQ

5HIHU WR (QJLQH & )XHO 6\VWHP +. ,QMHFWRU ,QVWDOODWLRQ

6HW WKH LQMHFWRU ,' FRGH RQ WKH (&0

:KHQ WKH LQMHFWRU KDV EHHQ UHSODFHG VHW WKH LQMHFWRU ,' FRGH RQ WKH (&0

3HUIRUP WKH XQLW GLIIHUHQFH OHDUQLQJ RI WKH IXHO VXSSO\ SXPS WR WKH (&0 ,QVSHFW WKH LQMHFWRU KDUQHVV LQWHUPHGLDWH FRQQHFWRU IRU D FRQWDFW IDLOXUH

,I DOO WKH UHVLVWDQFH YDOXHV DUH DW RU DERYH WKH VWDQGDUG YDOXH UHSDLU RU UHSODFH WKH LQMHFWRU KDUQHVV

'7& 3 &RQILUP 5HVROXWLRQ

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH LQMHFWRU KDUQHVV LQWHUPHGLDWH FRQQHFWRU

&OHDU WKH '7& XVLQJ WKH WURXEOH GLDJQRVLV VFDQ WRRO

7XUQ WKH VWDUWHU VZLWFK 2)) IRU VHFRQGV RU ORQJHU

'LVFRQQHFW WKH (&0 KDUQHVV FRQQHFWRU

6WDUW WKH HQJLQH

,QVSHFW WKH (&0 KDUQHVV FRQQHFWRU IRU D FRQWDFW IDLOXUH

3HUIRUP D WHVW UXQ


(QJLQH &RQWURO +. $

8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FRQILUP WKDW D '7& KDV QRW EHHQ GHWHFWHG


$ (QJLQH &RQWURO +.

'7& 3 )ODVK &RGH %DURPHWULF 3UHVVXUH &LUFXLW /RZ

'7& 3 3ULRULW\ '7&

5HIHU WR (QJLQH - (OHFWULFDO +. (&0 ,QVWDOODWLRQ

'7& 3

6HW WKH LQMHFWRU ,' FRGH RQ WKH (&0

'7& 3 'LDJQRVWLFV

7XUQ 2)) WKH VWDUWHU VZLWFK

'LVFRQQHFW WKH KDUQHVV FRQQHFWRU IURP WKH DWPRVSKHULF SUHVVXUH VHQVRU

7XUQ 21 WKH VWDUWHU VZLWFK

0HDVXUH WKH YROWDJH EHWZHHQ WKH DWPRVSKHULF SUHVVXUH VHQVRU 9 SRZHU VXSSO\ FLUFXLW DQG *1'

3HUIRUP WKH XQLW GLIIHUHQFH OHDUQLQJ RI WKH IXHO VXSSO\ SXPS WR WKH (&0

'7& 3 &RQILUP 5HVROXWLRQ

&OHDU WKH '7& XVLQJ WKH WURXEOH GLDJQRVLV VFDQ WRRO

7XUQ WKH VWDUWHU VZLWFK 2)) IRU VHFRQGV RU ORQJHU

6WDUW WKH HQJLQH

YROWDJH㸸 9

3HUIRUP D WHVW UXQ

,I LW LV DW RU EHORZ WKH VWDQGDUG YDOXH LQVSHFW WR VHH LI WKHUH LV DQ RSHQ FLUFXLW RU KLJK UHVLVWDQFH ZLWK WKH 9 SRZHU VXSSO\ FLUFXLW EHWZHHQ WKH (&0 DQG WKH DWPRVSKHULF SUHVVXUH VHQVRU

8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FRQILUP WKDW D '7& KDV QRW EHHQ GHWHFWHG

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH 9 SRZHU VXSSO\ FLUFXLW

&RQQHFW WKH WHVW FDEOH ZLWK IXVH EHWZHHQ WKH DWPRVSKHULF SUHVVXUH VHQVRU 9 SRZHU VXSSO\ FLUFXLW DQG WKH VLJQDO FLUFXLW

&KHFN WKH DWPRVSKHULF SUHVVXUH VHQVRU GLVSOD\ ZLWK WKH WURXEOH GLDJQRVLV VFDQ WRRO

YROWDJH㸸 9

,I LW LV DW RU DERYH WKH VWDQGDUG YDOXH LQVSHFW WR VHH LI WKHUH LV D FRQWDFW IDLOXUH ZLWK WKH DWPRVSKHULF SUHVVXUH VHQVRU KDUQHVV FRQQHFWRU

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KDUQHVV FRQQHFWRU ,I WKH KDUQHVV FRQQHFWRU LV QRUPDO UHSODFH WKH DWPRVSKHULF SUHVVXUH VHQVRU ,I LW LV DW RU EHORZ WKH VWDQGDUG YDOXH LQVSHFW WKH VLJQDO FLUFXLW EHWZHHQ WKH (&0 DQG WKH DWPRVSKHULF SUHVVXUH VHQVRU ࣭7KHUH VKRXOG EH QR RSHQ FLUFXLW RU KLJK UHVLVWDQFH ࣭7KHUH VKRXOG EH QR VKRUW WR *1' ,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH VLJQDO FLUFXLW ,QVSHFW WKH (&0 KDUQHVV FRQQHFWRU IRU D FRQWDFW IDLOXUH ,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KDUQHVV FRQQHFWRU ,I WKH KDUQHVV FRQQHFWRU LV QRUPDO UHSODFH WKH (&0 5HIHU WR (QJLQH - (OHFWULFDO +. (&0 5HPRYDO


(QJLQH &RQWURO +. $

'7& 3 )ODVK &RGH %DURPHWULF 3UHVVXUH &LUFXLW +LJK

'7& 3 3ULRULW\ '7&

3HUIRUP WKH XQLW GLIIHUHQFH OHDUQLQJ RI WKH IXHO VXSSO\ SXPS WR WKH (&0

3

'7& 3 'LDJQRVWLFV

7XUQ 2)) WKH VWDUWHU VZLWFK

'LVFRQQHFW WKH KDUQHVV FRQQHFWRU IURP WKH DWPRVSKHULF SUHVVXUH VHQVRU

&KHFN WKH DWPRVSKHULF SUHVVXUH VHQVRU GLVSOD\ ZLWK WKH WURXEOH GLDJQRVLV VFDQ WRRO

YROWDJH㸸 9

,I LW LV DW RU DERYH WKH VWDQGDUG YDOXH LQVSHFW WKH VLJQDO FLUFXLW EHWZHHQ WKH (&0 DQG WKH DWPRVSKHULF SUHVVXUH VHQVRU

࣭7KHUH VKRXOG EH QR VKRUW WR WKH EDWWHU\ RU LJQLWLRQ SRZHU VXSSO\ ࣭7KHUH VKRXOG EH QR VKRUW WR WKH 9 SRZHU VXSSO\

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH VLJQDO FLUFXLW

&RQQHFW WKH WHVW OLJKW EHWZHHQ WKH DWPRVSKHULF SUHVVXUH VHQVRU *1' FLUFXLW DQG EDWWHU\ SRZHU VXSSO\

,I WKH WHVW OLJKW FRPHV RQ LQVSHFW WKH DWPRVSKHULF SUHVVXUH VHQVRU KDUQHVV FRQQHFWRU IRU D FRQWDFW IDLOXUH

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KDUQHVV FRQQHFWRU

,I WKH KDUQHVV FRQQHFWRU LV QRUPDO UHSODFH WKH DWPRVSKHULF SUHVVXUH VHQVRU

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

'7& 3 &RQILUP 5HVROXWLRQ

&OHDU WKH '7& XVLQJ WKH WURXEOH GLDJQRVLV VFDQ WRRO

7XUQ WKH VWDUWHU VZLWFK 2)) IRU VHFRQGV RU ORQJHU

6WDUW WKH HQJLQH

3HUIRUP D WHVW UXQ

8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FRQILUP WKDW D '7& KDV QRW EHHQ GHWHFWHG


$ (QJLQH &RQWURO +.

'7& 3 ) )ODVK &RGH '3' 5HVWULFWLRQ

'7& 3 ) 'LDJQRVWLFV

&KHFN ZLWK WKH RSHUDWRU LI WKH '3' OLJKW KDV EOLQNHG EHIRUH

,I QHFHVVDU\ H[SODLQ '3' UHJHQHUDWLRQ

࣭&KHFN ZLWK WKH RSHUDWRU LI WKH HQJLQH RSHUDWLQJ WLPH ZDV VKRUW ࣭&NHFN ZLWK WKH RSHUDWRU LI WKH LGOLQJ WLPH ZDV WRR ORQJ

,I WKH '3' DVVHPEO\ KDV EHHQ UHSODFHG XVH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR SHUIRUP '3' UHJHQHUDWLRQ GDWD UHVHW ,QVSHFW WKH PDVV DLU IORZ VHQVRU ZLWK WKH WURXEOH GLDJQRVLV VFDQ WRRO ,I D SUREOHP LV GLVFRYHUHG UHSODFH WKH PDVV DLU IORZ VHQVRU

࣭7KHUH VKRXOG EH QR LQFRUUHFW SLSLQJ RU GLVFRQQHFWLRQ

8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FKHFN LI WKH ERRVW SUHVVXUH DQG DWPRVSKHULF SUHVVXUH DUH RSHUDWLQJ SURSHUO\

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KRVH

,QVSHFW WKH DLU FOHDQHU HOHPHQW

,QVSHFW WKH '3' GLIIHUHQWLDO SUHVVXUH VHQVRU

5HIHU WR (QJLQH ) ,QGXFWLRQ +. $LU FOHDQHU HOHPHQW ,QVSHFWLRQ

,QVSHFW WKH '3' GLIIHUHQWLDO SUHVVXUH VHQVRU KRVH

࣭ '3' GLIIHUHQWLDO SUHVVXUH VHQVRU XQLW VKRXOG QRW EH GDPDJHG ࣭ 7KHUH VKRXOG EH QR GLUW RU IRUHLJQ PDWWHU EORFNLQJ WKH '3' GLIIHUHQWLDO SUHVVXUH VHQVRU HQWUDQFH ࣭ 7KHUH VKRXOG EH QR GHWHFWLRQ HUURU RU VORZ UHVSRQVH IURP WKH '3' GLIIHUHQWLDO SUHVVXUH VHQVRU

,I D SUREOHP LV GLVFRYHUHG UHSODFH WKH '3' GLIIHUHQWLDO SUHVVXUH VHQVRU

,I D SUREOHP LV GLVFRYHUHG UHSODFH WKH DLU FOHDQHU HOHPHQW ,QVSHFW WKH LQWHUFRROHU 5HIHU WR (QJLQH ) ,QGXFWLRQ +. ,QWHUFRROHU ,QVSHFWLRQ ,I D SUREOHP LV GLVFRYHUHG UHSODFH WKH LQWHUFRROHU

5HIHU WR (QJLQH * ([KDXVW +. ([KDXVW GLIIHUHQWLDO SUHVVXUH VHQVRU 5HPRYDO

&KHFN WKH LQWDNH GXFW IRU D FORJJLQJ KROH DQG OHDNDJH

5HIHU WR (QJLQH * ([KDXVW +. ([KDXVW GLIIHUHQWLDO SUHVVXUH VHQVRU ,QVWDOODWLRQ

,I D SUREOHP LV GLVFRYHUHG UHSODFH WKH LQWDNH GXFW

:KHQ WKH '3' GLIIHUHQWLDO SUHVVXUH VHQVRU KDV EHHQ UHSODFHG SHUIRUP WKH SRLQW FRUUHFWLRQ

5HIHU WR (QJLQH * ([KDXVW +. ([KDXVW GLIIHUHQWLDO SUHVVXUH VHQVRU ,QVSHFWLRQ

,QVSHFW WKH H[KDXVW V\VWHP

࣭7KHUH VKRXOG EH QR DEVHQFH RU GDPDJH RI WKH H[KDXVW SLSH JDVNHW ࣭7KHUH VKRXOG EH QR H[KDXVW JDV OHDN IURP WKH H[KDXVW V\VWHP ࣭7KH H[KDXVW V\VWHP VKRXOG QRW EH PRGLILHG ࣭7KHUH VKRXOG EH QR GDPDJH RU H[FHVVLYH GHSRVLWV RQ WKH R[LGDWLRQ FDWDO\VW

,I D SUREOHP LV GLVFRYHUHG UHSDLU RU UHSODFH WKH H[KDXVW V\VWHP

,QVSHFW WKH '3' DVVHPEO\ 5HIHU WR (QJLQH * ([KDXVW +. '3' DVVHPEO\ ,QVSHFWLRQ ,I D SUREOHP LV GLVFRYHUHG UHSODFH WKH '3' DVVHPEO\

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㸸 ࣭ $Q DSSURSULDWH IXHO LV XVHG 7XUQ WKH VWDUWHU VZLWFK 21 IRU VHFRQGV


(QJLQH &RQWURO +. $ 6SHFLILHG YDOXH㸸 Я ^ ) `

1RWH㸸 ࣭ 'R QRW VWDUW WKH HQJLQH ࣭ 7KLV LV IRU WKH '3' GLIIHUHQWLDO SUHVVXUH VHQVRU WR UHOHDUQ

,I LW LV DW RU DERYH WKH VWDQGDUG YDOXH LGOH WKH HQJLQH XQWLO LW IDOOV WR RU EHORZ WKH VWDQGDUG YDOXH &KHFN WKH H[KDXVW GLIIHUHQWLDO SUHVVXUH GLVSOD\ ZKHQ WKH H[KDXVW WHPSHUDWXUH LQ IURQW RI WKH ILOWHU GLVSOD\ KDV UHDFKHG WKH VWDQGDUG YDOXH ZLWK WKH HQJLQH UHYROXWLRQ LQFUHDVHG WR WKH PD[LPXP UHYROXWLRQ VSHHG ZLWKRXW ORDG

&OHDU WKH '7& XVLQJ WKH WURXEOH GLDJQRVLV VFDQ WRRO 3HUIRUP WKH '3' UHJHQHUDWLRQ GDWD UHVHW ZLWK WKH WURXEOH GLDJQRVLV VFDQ WRRO 7XUQ WKH VWDUWHU VZLWFK 2)) IRU VHFRQGV RU ORQJHU

6SHFLILHG YDOXH㸸 Я ^ ) `

6WDUW WKH HQJLQH

8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FKHFN LI WKH H[KDXVW GLIIHUHQWLDO SUHVVXUH GLVSOD\ LV DW RU EHORZ WKH VWDQGDUG YDOXH

&KHFN WKH H[KDXVW WHPSHUDWXUH EHIRUH WKH ILOWHU GLVSOD\ ZLWK WKH WURXEOH GLDJQRVLV VFDQ WRRO &RQILUP WKDW WKH H[KDXVW WHPSHUDWXUH LV DW RU EHORZ WKH VWDQGDUG YDOXH

VSHFLILHG YDOXH㸸 N3D ^ NJI FP SVL `

6SHFLILHG YDOXH㸸 Я ^ ) `

,I LW LV DW RU DERYH WKH VWDQGDUG YDOXH SHUIRUP DVK UHPRYDO

,I LW LV DW RU DERYH WKH VWDQGDUG YDOXH LGOH WKH HQJLQH XQWLO LW IDOOV WR RU EHORZ WKH VWDQGDUG YDOXH

5HIHU WR (QJLQH * ([KDXVW +. '3' DVVHPEO\ ,QVSHFWLRQ

&KHFN WKH H[KDXVW GLIIHUHQWLDO SUHVVXUH GLVSOD\ ZKHQ WKH H[KDXVW WHPSHUDWXUH EHIRUH WKH ILOWHU GLVSOD\ KDV UHDFKHG WKH VWDQGDUG YDOXH ZLWK WKH DFFHOHUDWRU SHGDO IXOO\ GHSUHVVHG 6SHFLILHG YDOXH㸸 Я ^ ) ` 8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FKHFN LI WKH H[KDXVW GLIIHUHQWLDO SUHVVXUH GLVSOD\ LV DW RU EHORZ WKH VWDQGDUG YDOXH VSHFLILHG YDOXH㸸 N3D ^ NJI FP .1 SVL ` ,I LW LV DW RU DERYH WKH VWDQGDUG YDOXH UHSODFH WKH '3' ILOWHU 5HIHU WR (QJLQH * ([KDXVW +. '3' DVVHPEO\ 'LVDVVHPEO\ 5HIHU WR (QJLQH * ([KDXVW +. '3' DVVHPEO\ 5HDVVHPEO\ ,I WKH '3' ILOWHU KDV EHHQ UHSODFHG XVH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR SHUIRUP '3' UHJHQHUDWLRQ GDWD UHVHW :KHQ D '7& KDV EHHQ GHWHFWHG FOHDU LW XVLQJ WKH WURXEOH GLDJQRVLV VFDQ WRRO 7XUQ WKH VWDUWHU VZLWFK 2)) IRU VHFRQGV RU ORQJHU 3HUIRUP WKH '3' IRUFHG VORZ UHJHQHUDWLRQ ZLWK WKH WURXEOH GLDJQRVLV VFDQ WRRO 1RWH㸸 ࣭ $IWHU WKH '3' IRUFHG VORZ UHJHQHUDWLRQ LV FRPSOHWHG UHSODFH WKH HQJLQH RLO &KHFN WKH H[KDXVW WHPSHUDWXUH EHIRUH WKH ILOWHU GLVSOD\ ZLWK WKH WURXEOH GLDJQRVLV VFDQ WRRO &RQILUP WKDW WKH H[KDXVW WHPSHUDWXUH LV DW RU EHORZ WKH VWDQGDUG YDOXH

'7& 3 ) &RQILUP 5HVROXWLRQ

7XUQ 21 WKH VWDUWHU VZLWFK

8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FRQILUP WKDW D '7& KDV QRW EHHQ GHWHFWHG


$ (QJLQH &RQWURO +.

'7& 3 )ODVK &RGH '3' 'LIIHUHQWLDO 3UHVVXUH 6HQVRU &LUFXLW

'7& 3 3ULRULW\ '7& '7& 3

'7& 3 'LDJQRVWLFV

,QVSHFW WKH '3' GLIIHUHQWLDO SUHVVXUH VHQVRU KRVH

࣭7KHUH VKRXOG EH QR LQFRUUHFW SLSLQJ RU GLVFRQQHFWLRQ

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KRVH

,QVSHFW WKH '3' GLIIHUHQWLDO SUHVVXUH VHQVRU

࣭ '3' GLIIHUHQWLDO SUHVVXUH VHQVRU XQLW VKRXOG QRW EH GDPDJHG ࣭ 7KHUH VKRXOG EH QR GLUW RU IRUHLJQ PDWWHU EORFNLQJ WKH '3' GLIIHUHQWLDO SUHVVXUH VHQVRU HQWUDQFH ࣭ 7KHUH VKRXOG EH QR GHWHFWLRQ HUURU RU VORZ UHVSRQVH IURP WKH '3' GLIIHUHQWLDO SUHVVXUH VHQVRU

,I D SUREOHP LV GLVFRYHUHG UHSODFH WKH '3' GLIIHUHQWLDO SUHVVXUH VHQVRU

5HIHU WR (QJLQH * ([KDXVW +. ([KDXVW GLIIHUHQWLDO SUHVVXUH VHQVRU 5HPRYDO 5HIHU WR (QJLQH * ([KDXVW +. ([KDXVW GLIIHUHQWLDO SUHVVXUH VHQVRU ,QVWDOODWLRQ

:KHQ WKH '3' GLIIHUHQWLDO SUHVVXUH VHQVRU KDV EHHQ UHSODFHG SHUIRUP WKH SRLQW FRUUHFWLRQ

5HIHU WR (QJLQH * ([KDXVW +. ([KDXVW GLIIHUHQWLDO SUHVVXUH VHQVRU ,QVSHFWLRQ

,QVSHFW WKH H[KDXVW V\VWHP

࣭7KHUH VKRXOG EH QR DEVHQFH RU GDPDJH RI WKH H[KDXVW SLSH JDVNHW ࣭7KHUH VKRXOG EH QR H[KDXVW JDV OHDN IURP WKH H[KDXVW V\VWHP ࣭7KH H[KDXVW V\VWHP VKRXOG QRW EH PRGLILHG

,QVSHFW WKH '3' GLIIHUHQWLDO SUHVVXUH VHQVRU KDUQHVV FRQQHFWRU IRU D FRQWDFW IDLOXUH ,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KDUQHVV FRQQHFWRU 'LVFRQQHFW WKH KDUQHVV FRQQHFWRU IURP WKH (&0 ,QVSHFW WKH (&0 KDUQHVV FRQQHFWRU IRU D FRQWDFW IDLOXUH ,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KDUQHVV FRQQHFWRU ,QVSHFW WKH VLJQDO FLUFXLW EHWZHHQ WKH (&0 DQG WKH '3' GLIIHUHQWLDO SUHVVXUH VHQVRU IRU D KLJK UHVLVWDQFH ,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH VLJQDO FLUFXLW ,I WKH KDUQHVV FRQQHFWRU DQG FLUFXLW DUH QRUPDO UHSODFH WKH '3' GLIIHUHQWLDO SUHVVXUH VHQVRU 5HIHU WR (QJLQH * ([KDXVW +. ([KDXVW GLIIHUHQWLDO SUHVVXUH VHQVRU 5HPRYDO 5HIHU WR (QJLQH * ([KDXVW +. ([KDXVW GLIIHUHQWLDO SUHVVXUH VHQVRU ,QVWDOODWLRQ :KHQ WKH '3' GLIIHUHQWLDO SUHVVXUH VHQVRU KDV EHHQ UHSODFHG SHUIRUP WKH SRLQW FRUUHFWLRQ 5HIHU WR (QJLQH * ([KDXVW +. ([KDXVW GLIIHUHQWLDO SUHVVXUH VHQVRU ,QVSHFWLRQ 5HVWRUH WKH DFWXDO XQLW 7XUQ WKH VWDUWHU VZLWFK 21 IRU VHFRQGV 1RWH㸸 ࣭ 'R QRW VWDUW WKH HQJLQH ࣭ 7KLV LV IRU WKH '3' GLIIHUHQWLDO SUHVVXUH VHQVRU WR UHOHDUQ

,I D SUREOHP LV GLVFRYHUHG UHSDLU RU UHSODFH WKH H[KDXVW V\VWHP

&OHDU WKH '7& XVLQJ WKH WURXEOH GLDJQRVLV VFDQ WRRO

,QVSHFW WKH '3' DVVHPEO\

3HUIRUP WKH '3' UHJHQHUDWLRQ GDWD UHVHW ZLWK WKH WURXEOH GLDJQRVLV VFDQ WRRO

5HIHU WR (QJLQH * ([KDXVW +. '3' DVVHPEO\ ,QVSHFWLRQ

7XUQ WKH VWDUWHU VZLWFK 2)) IRU VHFRQGV RU ORQJHU

3HUIRUP WKH '3' IRUFHG UHJHQHUDWLRQ ZLWK WKH WURXEOH GLDJQRVLV VFDQ WRRO

,I D SUREOHP LV GLVFRYHUHG UHSODFH WKH '3' DVVHPEO\

,I WKH '3' DVVHPEO\ KDV EHHQ UHSODFHG XVH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR SHUIRUP '3' UHJHQHUDWLRQ GDWD UHVHW 7XUQ 2)) WKH VWDUWHU VZLWFK 'LVFRQQHFW WKH KDUQHVV FRQQHFWRU IURP WKH '3' GLIIHUHQWLDO SUHVVXUH VHQVRU

1RWH㸸 ࣭ :KHQ WKH '3' ILOWHU LV UHSODFHG E\ D QHZ RQH GR QRW SHUIRUP WKH '3' IRUFHG UHJHQHUDWLRQ 8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FRQILUP WKDW WKH H[KDXVW WHPSHUDWXUH EHIRUH WKH ILOWHU GLVSOD\ LV DW RU EHORZ WKH VWDQGDUG YDOXH 6SHFLILHG YDOXH㸸 Я ^ ) `


(QJLQH &RQWURO +. $ ,I LW LV DW RU DERYH WKH VWDQGDUG YDOXH LGOH WKH HQJLQH XQWLO LW IDOOV WR RU EHORZ WKH VWDQGDUG YDOXH &KHFN WKH H[KDXVW GLIIHUHQWLDO SUHVVXUH GLVSOD\ ZKHQ WKH H[KDXVW WHPSHUDWXUH LQ IURQW RI WKH ILOWHU GLVSOD\ KDV UHDFKHG WKH VWDQGDUG YDOXH ZLWK WKH HQJLQH UHYROXWLRQ LQFUHDVHG WR WKH PD[LPXP UHYROXWLRQ VSHHG ZLWKRXW ORDG 6SHFLILHG YDOXH㸸 Я ^ ) ` 8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FKHFN LI WKH H[KDXVW GLIIHUHQWLDO SUHVVXUH GLVSOD\ LV DW RU DERYH WKH VWDQGDUG YDOXH VSHFLILHG YDOXH㸸 N3D ^ NJI FP SVL `

'7& 3 &RQILUP 5HVROXWLRQ

7XUQ 21 WKH VWDUWHU VZLWFK

8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FRQILUP WKDW D '7& KDV QRW EHHQ GHWHFWHG


$ (QJLQH &RQWURO +.

'7& 3 )ODVK &RGH '3' 'LIIHUHQWLDO 3UHVVXUH 6HQVRU &LUFXLW 5DQJH 3HUIRUPDQFH

'7& 3 3ULRULW\ '7& '7& 3

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KDUQHVV FRQQHFWRU

,QVSHFW WKH '3' GLIIHUHQWLDO SUHVVXUH VHQVRU KRVH

,QVSHFW WKH VLJQDO FLUFXLW EHWZHHQ WKH (&0 DQG WKH '3' GLIIHUHQWLDO SUHVVXUH VHQVRU IRU D KLJK UHVLVWDQFH

࣭7KHUH VKRXOG EH QR LQFRUUHFW SLSLQJ RU GLVFRQQHFWLRQ

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH VLJQDO FLUFXLW

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KRVH

,QVSHFW WKH '3' GLIIHUHQWLDO SUHVVXUH VHQVRU

,I WKH KDUQHVV FRQQHFWRU DQG VLJQDO FLUFXLW DUH QRUPDO UHSODFH WKH '3' DVVHPEO\

'7& 3 'LDJQRVWLFV

࣭ '3' GLIIHUHQWLDO SUHVVXUH VHQVRU XQLW VKRXOG QRW EH GDPDJHG ࣭ 7KHUH VKRXOG EH QR GLUW RU IRUHLJQ PDWWHU EORFNLQJ WKH '3' GLIIHUHQWLDO SUHVVXUH VHQVRU HQWUDQFH ࣭ 7KHUH VKRXOG EH QR GHWHFWLRQ HUURU RU VORZ UHVSRQVH IURP WKH '3' GLIIHUHQWLDO SUHVVXUH VHQVRU

,I D SUREOHP LV GLVFRYHUHG UHSODFH WKH '3' GLIIHUHQWLDO SUHVVXUH VHQVRU

5HIHU WR (QJLQH * ([KDXVW +. ([KDXVW GLIIHUHQWLDO SUHVVXUH VHQVRU 5HPRYDO 5HIHU WR (QJLQH * ([KDXVW +. ([KDXVW GLIIHUHQWLDO SUHVVXUH VHQVRU ,QVWDOODWLRQ

:KHQ WKH '3' GLIIHUHQWLDO SUHVVXUH VHQVRU KDV EHHQ UHSODFHG SHUIRUP WKH SRLQW FRUUHFWLRQ

,I WKH '3' DVVHPEO\ KDV EHHQ UHSODFHG XVH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR SHUIRUP '3' UHJHQHUDWLRQ GDWD UHVHW 5HVWRUH WKH DFWXDO XQLW 7XUQ WKH VWDUWHU VZLWFK 21 IRU VHFRQGV 1RWH㸸 ࣭ 'R QRW VWDUW WKH HQJLQH ࣭ 7KLV LV IRU WKH '3' GLIIHUHQWLDO SUHVVXUH VHQVRU WR UHOHDUQ &OHDU WKH '7& XVLQJ WKH WURXEOH GLDJQRVLV VFDQ WRRO 3HUIRUP WKH '3' UHJHQHUDWLRQ GDWD UHVHW ZLWK WKH WURXEOH GLDJQRVLV VFDQ WRRO 7XUQ WKH VWDUWHU VZLWFK 2)) IRU VHFRQGV RU ORQJHU

5HIHU WR (QJLQH * ([KDXVW +. ([KDXVW GLIIHUHQWLDO SUHVVXUH VHQVRU ,QVSHFWLRQ

3HUIRUP WKH '3' IRUFHG UHJHQHUDWLRQ ZLWK WKH WURXEOH GLDJQRVLV VFDQ WRRO

8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FRQILUP WKDW WKH H[KDXVW WHPSHUDWXUH EHIRUH WKH ILOWHU GLVSOD\ LV DW RU EHORZ WKH VWDQGDUG YDOXH

,QVSHFW WKH H[KDXVW V\VWHP

࣭ 7KHUH VKRXOG EH QR PLVVLQJ RU GDPDJH ZLWK WKH JDVNHW RI WKH H[KDXVW SLSH ࣭ 7KHUH VKRXOG EH QR H[KDXVW JDV OHDN IURP WKH H[KDXVW V\VWHP ࣭ 7KH H[KDXVW V\VWHP VKRXOG QRW EH PRGLILHG ࣭ 7KHUH VKRXOG EH QR IORZ OLPLWDWLRQ RU FUXVK RI WKH H[KDXVW V\VWHP

,I D SUREOHP LV GLVFRYHUHG UHSDLU RU UHSODFH WKH H[KDXVW V\VWHP

7XUQ 2)) WKH VWDUWHU VZLWFK

'LVFRQQHFW WKH KDUQHVV FRQQHFWRU IURP WKH '3' GLIIHUHQWLDO SUHVVXUH VHQVRU

,QVSHFW WKH '3' GLIIHUHQWLDO SUHVVXUH VHQVRU KDUQHVV FRQQHFWRU IRU D FRQWDFW IDLOXUH ,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KDUQHVV FRQQHFWRU

6SHFLILHG YDOXH㸸 Я ^ ) ` ,I LW LV DW RU DERYH WKH VWDQGDUG YDOXH LGOH WKH HQJLQH XQWLO LW IDOOV WR RU EHORZ WKH VWDQGDUG YDOXH &KHFN WKH H[KDXVW GLIIHUHQWLDO SUHVVXUH GLVSOD\ ZKHQ WKH H[KDXVW WHPSHUDWXUH LQ IURQW RI WKH ILOWHU GLVSOD\ KDV UHDFKHG WKH VWDQGDUG YDOXH ZLWK WKH HQJLQH UHYROXWLRQ LQFUHDVHG WR WKH PD[LPXP UHYROXWLRQ VSHHG ZLWKRXW ORDG 6SHFLILHG YDOXH㸸 Я ^ ) ` 8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FKHFN LI WKH H[KDXVW GLIIHUHQWLDO SUHVVXUH GLVSOD\ LV DW RU EHORZ WKH VWDQGDUG YDOXH VSHFLILHG YDOXH㸸 N3D ^ NJI FP SVL `

'LVFRQQHFW WKH KDUQHVV FRQQHFWRU IURP WKH (&0

,I LW LV DW RU DERYH WKH VWDQGDUG YDOXH SHUIRUP DVK UHPRYDO

,QVSHFW WKH (&0 KDUQHVV FRQQHFWRU IRU D FRQWDFW IDLOXUH

5HIHU WR (QJLQH * ([KDXVW +. ([KDXVW GLIIHUHQWLDO SUHVVXUH VHQVRU ,QVSHFWLRQ


(QJLQH &RQWURO +. $

'7& 3 &RQILUP 5HVROXWLRQ

7XUQ 21 WKH VWDUWHU VZLWFK

8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FRQILUP WKDW D '7& KDV QRW EHHQ GHWHFWHG


$ (QJLQH &RQWURO +.

'7& 3 )ODVK &RGH '3' 'LIIHUHQWLDO 3UHVVXUH 6HQVRU &LUFXLW /RZ

,I LW LV DW RU EHORZ WKH VWDQGDUG YDOXH LQVSHFW WKH VLJQDO FLUFXLW EHWZHHQ WKH (&0 DQG WKH '3' GLIIHUHQWLDO SUHVVXUH VHQVRU

'7& 3 3ULRULW\ '7& '7& 3

'7& 3 'LDJQRVWLFV

࣭7KHUH VKRXOG EH QR RSHQ FLUFXLW RU KLJK UHVLVWDQFH ࣭7KHUH VKRXOG EH QR VKRUW WR *1'

7XUQ 2)) WKH VWDUWHU VZLWFK

'LVFRQQHFW WKH KDUQHVV FRQQHFWRU IURP WKH '3' GLIIHUHQWLDO SUHVVXUH VHQVRU

7XUQ 21 WKH VWDUWHU VZLWFK

,QVSHFW WKH (&0 KDUQHVV FRQQHFWRU IRU D FRQWDFW IDLOXUH

0HDVXUH WKH YROWDJH EHWZHHQ WKH '3' GLIIHUHQWLDO SUHVVXUH VHQVRU 9 SRZHU VXSSO\ FLUFXLW DQG *1'

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KDUQHVV FRQQHFWRU

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH VLJQDO FLUFXLW

YROWDJH㸸 9

,I WKH KDUQHVV FRQQHFWRU LV QRUPDO UHSODFH WKH (&0

5HIHU WR (QJLQH - (OHFWULFDO +. (&0 5HPRYDO

,I LW LV DW RU EHORZ WKH VWDQGDUG YDOXH LQVSHFW WR VHH LI WKHUH LV DQ RSHQ FLUFXLW RU KLJK UHVLVWDQFH ZLWK WKH 9 SRZHU VXSSO\ FLUFXLW EHWZHHQ WKH (&0 DQG WKH '3' GLIIHUHQWLDO SUHVVXUH VHQVRU

1RWH㸸 ࣭ 7KH '3' GLIIHUHQWLDO SUHVVXUH VHQVRU VKDUHV WKH 9 SRZHU VXSSO\ FLUFXLW ZLWK RWKHU VHQVRUV ࣭ 7KH '7& VHW RQ D VHQVRU ZKLFK VKDUHV WKLV FLUFXLW PD\ EH GHWHFWHG

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH 9 SRZHU VXSSO\ FLUFXLW

&RQQHFW WKH WHVW FDEOH ZLWK IXVH EHWZHHQ WKH 9 SRZHU VXSSO\ FLUFXLW DQG VLJQDO FLUFXLW RI WKH '3' GLIIHUHQWLDO SUHVVXUH VHQVRU

&KHFN WKH H[KDXVW GLIIHUHQWLDO SUHVVXUH GLVSOD\ ZLWK WKH WURXEOH GLDJQRVLV VFDQ WRRO

YROWDJH㸸 9

,I LW LV DW RU DERYH WKH VWDQGDUG YDOXH LQVSHFW WR VHH LI WKHUH LV D FRQWDFW IDLOXUH ZLWK WKH '3' GLIIHUHQWLDO SUHVVXUH VHQVRU KDUQHVV FRQQHFWRU

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KDUQHVV FRQQHFWRU ,I WKH KDUQHVV FRQQHFWRU LV QRUPDO UHSODFH WKH '3' GLIIHUHQWLDO SUHVVXUH VHQVRU 5HIHU WR (QJLQH * ([KDXVW +. ([KDXVW GLIIHUHQWLDO SUHVVXUH VHQVRU 5HPRYDO 5HIHU WR (QJLQH * ([KDXVW +. ([KDXVW GLIIHUHQWLDO SUHVVXUH VHQVRU ,QVWDOODWLRQ :KHQ WKH '3' GLIIHUHQWLDO SUHVVXUH VHQVRU KDV EHHQ UHSODFHG SHUIRUP WKH SRLQW FRUUHFWLRQ 5HIHU WR (QJLQH * ([KDXVW +. ([KDXVW GLIIHUHQWLDO SUHVVXUH VHQVRU ,QVSHFWLRQ

5HIHU WR (QJLQH - (OHFWULFDO +. (&0 ,QVWDOODWLRQ 6HW WKH LQMHFWRU ,' FRGH RQ WKH (&0 3HUIRUP WKH XQLW GLIIHUHQFH OHDUQLQJ RI WKH IXHO VXSSO\ SXPS WR WKH (&0

'7& 3 &RQILUP 5HVROXWLRQ

&OHDU WKH '7& XVLQJ WKH WURXEOH GLDJQRVLV VFDQ WRRO

7XUQ WKH VWDUWHU VZLWFK 2)) IRU VHFRQGV RU ORQJHU

6WDUW WKH HQJLQH

3HUIRUP D WHVW UXQ

8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FRQILUP WKDW D '7& KDV QRW EHHQ GHWHFWHG


(QJLQH &RQWURO +. $

'7& 3 )ODVK &RGH '3' 'LIIHUHQWLDO 3UHVVXUH 6HQVRU &LUFXLW +LJK

'7& 3 3ULRULW\ '7&

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH *1' FLUFXLW

'7& 3

,QVSHFW WKH (&0 KDUQHVV FRQQHFWRU IRU D FRQWDFW IDLOXUH

'7& 3 'LDJQRVWLFV

7XUQ 2)) WKH VWDUWHU VZLWFK

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KDUQHVV FRQQHFWRU

'LVFRQQHFW WKH KDUQHVV FRQQHFWRU IURP WKH '3' GLIIHUHQWLDO SUHVVXUH VHQVRU

,I WKH KDUQHVV FRQQHFWRU LV QRUPDO UHSODFH WKH (&0

&KHFN WKH H[KDXVW GLIIHUHQWLDO SUHVVXUH GLVSOD\ ZLWK WKH WURXEOH GLDJQRVLV VFDQ WRRO

5HIHU WR (QJLQH - (OHFWULFDO +. (&0 5HPRYDO 5HIHU WR (QJLQH - (OHFWULFDO +. (&0 ,QVWDOODWLRQ

YROWDJH㸸 9

,I LW LV DW RU DERYH WKH VWDQGDUG YDOXH LQVSHFW WKH VLJQDO FLUFXLW EHWZHHQ WKH (&0 DQG WKH '3' GLIIHUHQWLDO SUHVVXUH VHQVRU

࣭7KHUH VKRXOG EH QR VKRUW WR WKH EDWWHU\ RU LJQLWLRQ SRZHU VXSSO\ ࣭7KHUH VKRXOG EH QR VKRUW WR WKH 9 SRZHU VXSSO\

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH VLJQDO FLUFXLW

&RQQHFW WKH WHVW OLJKW EHWZHHQ WKH *1' FLUFXLW DQG EDWWHU\ SRZHU VXSSO\ RI WKH '3' GLIIHUHQWLDO SUHVVXUH VHQVRU

,I WKH WHVW OLJKW FRPHV RQ LQVSHFW '3' GLIIHUHQWLDO SUHVVXUH VHQVRU KDUQHVV FRQQHFWRU IRU D FRQWDFW IDLOXUH

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KDUQHVV FRQQHFWRU

,I WKH KDUQHVV FRQQHFWRU LV QRUPDO UHSODFH WKH '3' GLIIHUHQWLDO SUHVVXUH VHQVRU

5HIHU WR (QJLQH * ([KDXVW +. ([KDXVW GLIIHUHQWLDO SUHVVXUH VHQVRU 5HPRYDO 5HIHU WR (QJLQH * ([KDXVW +. ([KDXVW GLIIHUHQWLDO SUHVVXUH VHQVRU ,QVWDOODWLRQ :KHQ WKH '3' GLIIHUHQWLDO SUHVVXUH VHQVRU KDV EHHQ UHSODFHG SHUIRUP WKH SRLQW FRUUHFWLRQ 5HIHU WR (QJLQH * ([KDXVW +. ([KDXVW GLIIHUHQWLDO SUHVVXUH VHQVRU ,QVSHFWLRQ ,I WKH WHVW OLJKW GRHV QRW FRPH RQ LQVSHFW WR VHH LI WKHUH LV DQ RSHQ FLUFXLW RU KLJK UHVLVWDQFH ZLWK WKH *1' FLUFXLW EHWZHHQ WKH (&0 DQG WKH '3' GLIIHUHQWLDO SUHVVXUH VHQVRU 1RWH㸸 ࣭ 7KH '3' GLIIHUHQWLDO SUHVVXUH VHQVRU VKDUHV WKH *1' FLUFXLW ZLWK RWKHU VHQVRUV ࣭ 7KH '7& PD\ EH GHWHFWHG RQ D VHQVRU ZKLFK VKDUHV WKLV FLUFXLW

6HW WKH LQMHFWRU ,' FRGH RQ WKH (&0 3HUIRUP WKH XQLW GLIIHUHQFH OHDUQLQJ RI WKH IXHO VXSSO\ SXPS WR WKH (&0

'7& 3 &RQILUP 5HVROXWLRQ

&OHDU WKH '7& XVLQJ WKH WURXEOH GLDJQRVLV VFDQ WRRO

7XUQ WKH VWDUWHU VZLWFK 2)) IRU VHFRQGV RU ORQJHU

6WDUW WKH HQJLQH

3HUIRUP D WHVW UXQ

8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FRQILUP WKDW D '7& KDV QRW EHHQ GHWHFWHG


$ (QJLQH &RQWURO +.

'7& 3 )ODVK &RGH '3' 'LIIHUHQWLDO 3UHVVXUH 6HQVRU /HDUQHG 3RVLWLRQ

'7& 3 3ULRULW\ '7& '7& 3 '7& 3

'7& 3 'LDJQRVWLFV

7XUQ 2)) WKH VWDUWHU VZLWFK

'LVFRQQHFW WKH KDUQHVV FRQQHFWRU IURP WKH '3' GLIIHUHQWLDO SUHVVXUH VHQVRU

,QVSHFW WKH '3' GLIIHUHQWLDO SUHVVXUH VHQVRU KDUQHVV FRQQHFWRU IRU D FRQWDFW IDLOXUH

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KDUQHVV FRQQHFWRU

'LVFRQQHFW WKH KDUQHVV FRQQHFWRU IURP WKH (&0

,QVSHFW WKH (&0 KDUQHVV FRQQHFWRU IRU D FRQWDFW IDLOXUH

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KDUQHVV FRQQHFWRU

,QVSHFW WKH FLUFXLW EHWZHHQ WKH (&0 DQG '3' GLIIHUHQWLDO SUHVVXUH VHQVRU IRU DQ RSHQ FLUFXLW DQG KLJK UHVLVWDQFH

5HSDLU WKH FLUFXLW LI D SUREOHP LV GLVFRYHUHG

,I WKH FLUFXLW LV QRUPDO UHSODFH WKH '3' GLIIHUHQWLDO SUHVVXUH VHQVRU 5HIHU WR (QJLQH * ([KDXVW +. ([KDXVW GLIIHUHQWLDO SUHVVXUH VHQVRU 5HPRYDO 5HIHU WR (QJLQH * ([KDXVW +. ([KDXVW GLIIHUHQWLDO SUHVVXUH VHQVRU ,QVWDOODWLRQ :KHQ WKH '3' GLIIHUHQWLDO SUHVVXUH VHQVRU KDV EHHQ UHSODFHG SHUIRUP WKH SRLQW FRUUHFWLRQ 5HIHU WR (QJLQH * ([KDXVW +. ([KDXVW GLIIHUHQWLDO SUHVVXUH VHQVRU ,QVSHFWLRQ

'7& 3 &RQILUP 5HVROXWLRQ

&OHDU WKH '7& XVLQJ WKH WURXEOH GLDJQRVLV VFDQ WRRO

7XUQ WKH VWDUWHU VZLWFK 2)) IRU VHFRQGV RU ORQJHU

:KLOH FKHFNLQJ WKH '7& LQIRUPDWLRQ ZLWK WKH WURXEOH GLDJQRVLV VFDQ WRRO WXUQ WKH VWDUWHU VZLWFK 21 IRU VHFRQGV

8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FRQILUP WKDW D '7& KDV QRW EHHQ GHWHFWHG


(QJLQH &RQWURO +. $

'7& 3 )ODVK &RGH '3' 5HJHQHUDWLRQ 'XUDWLRQ

'7& 3 3ULRULW\ '7& '7& 3 '7& 3 '7& 3 '7& 3 % '7& 3 & '7& 3 '

'7& 3 'LDJQRVWLFV

,QVSHFW WKH '3' GLIIHUHQWLDO SUHVVXUH VHQVRU KRVH

࣭7KHUH VKRXOG EH QR LQFRUUHFW SLSLQJ RU GLVFRQQHFWLRQ

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KRVH

,QVSHFW WKH '3' GLIIHUHQWLDO SUHVVXUH VHQVRU

࣭ '3' GLIIHUHQWLDO SUHVVXUH VHQVRU XQLW VKRXOG QRW EH GDPDJHG ࣭ 7KHUH VKRXOG EH QR GLUW RU IRUHLJQ PDWWHU EORFNLQJ WKH '3' GLIIHUHQWLDO SUHVVXUH VHQVRU HQWUDQFH ࣭ 7KHUH VKRXOG EH QR GHWHFWLRQ HUURU RU VORZ UHVSRQVH IURP WKH '3' GLIIHUHQWLDO SUHVVXUH VHQVRU

,I D SUREOHP LV GLVFRYHUHG UHSODFH WKH '3' GLIIHUHQWLDO SUHVVXUH VHQVRU

5HIHU WR (QJLQH ' &RROLQJ +. 'ULYH EHOW ,QVSHFWLRQ 5HIHU WR (QJLQH ' &RROLQJ +. 7KHUPRVWDW ,QVSHFWLRQ 5HIHU WR (QJLQH ' &RROLQJ +. :DWHU SXPS DVVHPEO\ ,QVSHFWLRQ 5HIHU WR (QJLQH ' &RROLQJ +. 5DGLDWRU ,QVSHFWLRQ

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH FRROLQJ V\VWHP

7XUQ WKH VWDUWHU VZLWFK 21 IRU VHFRQGV 1RWH㸸 ࣭ 'R QRW VWDUW WKH HQJLQH ࣭ 7KLV LV IRU WKH '3' GLIIHUHQWLDO SUHVVXUH VHQVRU WR UHOHDUQ 7XUQ WKH VWDUWHU VZLWFK 2)) IRU VHFRQGV 6WDUW WKH HQJLQH 8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FKHFN WKH '3' DFFXPXODWLRQ VWDWXV DQG WKH '3' WLPH VWDWXV DQG FRQILUP WKH FRUUHVSRQGLQJ DUHD IURP WKH '3' VWDWXV WDEOH

5HIHU WR (QJLQH * ([KDXVW +. ([KDXVW GLIIHUHQWLDO SUHVVXUH VHQVRU 5HPRYDO 5HIHU WR (QJLQH * ([KDXVW +. ([KDXVW GLIIHUHQWLDO SUHVVXUH VHQVRU ,QVWDOODWLRQ

:KHQ WKH '3' GLIIHUHQWLDO SUHVVXUH VHQVRU KDV EHHQ UHSODFHG SHUIRUP WKH SRLQW FRUUHFWLRQ

5HIHU WR (QJLQH * ([KDXVW +. ([KDXVW GLIIHUHQWLDO SUHVVXUH VHQVRU ,QVSHFWLRQ

,QVSHFW WKH H[KDXVW V\VWHP

࣭7KHUH VKRXOG EH QR DEVHQFH RU GDPDJH RI WKH H[KDXVW SLSH JDVNHW ࣭7KHUH VKRXOG EH QR H[KDXVW JDV OHDN IURP WKH H[KDXVW V\VWHP ࣭7KH H[KDXVW V\VWHP VKRXOG QRW EH PRGLILHG ࣭7KHUH VKRXOG EH QR LQFRUUHFW GHWHFWLRQ RU VORZ UHVSRQVH IURP WKH H[KDXVW WHPSHUDWXUH VHQVRU

,I D SUREOHP LV GLVFRYHUHG UHSDLU RU UHSODFH WKH H[KDXVW V\VWHP ,QVSHFW WKH HQJLQH FRROLQJ V\VWHP IRU D IDFWRU FDXVLQJ RYHUKHDW

5HIHU WR (QJLQH ' &RROLQJ +. &RRODQW ,QVSHFWLRQ

,I WKH VLWXDWLRQ IDOOV LQ WKH DUHD $ RU % XVH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR SHUIRUP WKH '3' IRUFHG UHJHQHUDWLRQ 1RWH㸸 ࣭ :KHQ D '7& KDV EHHQ GHWHFWHG FOHDU LW XVLQJ WKH WURXEOH GLDJQRVLV VFDQ WRRO


$ (QJLQH &RQWURO +. ,I WKH VLWXDWLRQ IDOOV LQ WKH DUHD & RU ' XVH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR SHUIRUP WKH '3' IRUFHG VORZ UHJHQHUDWLRQ 1RWH㸸 ࣭ :KHQ D '7& KDV EHHQ GHWHFWHG FOHDU LW XVLQJ WKH WURXEOH GLDJQRVLV VFDQ WRRO ࣭ $IWHU WKH '3' IRUFHG VORZ UHJHQHUDWLRQ LV FRPSOHWHG UHSODFH WKH HQJLQH RLO 8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FRQILUP WKDW WKH H[KDXVW WHPSHUDWXUH EHIRUH WKH ILOWHU GLVSOD\ LV DW RU EHORZ WKH VWDQGDUG YDOXH 6SHFLILHG YDOXH㸸 Я ^ ) ` ,I LW LV DW RU DERYH WKH VWDQGDUG YDOXH LGOH WKH HQJLQH XQWLO LW IDOOV WR RU EHORZ WKH VWDQGDUG YDOXH &KHFN WKH H[KDXVW GLIIHUHQWLDO SUHVVXUH GDWD GLVSOD\ ZKHQ WKH H[KDXVW WHPSHUDWXUH LQ IURQW RI WKH ILOWHU GDWD GLVSOD\ KDV UHDFKHG WKH VWDQGDUG YDOXH ZLWK WKH HQJLQH UHYROXWLRQ LQFUHDVHG WR WKH PD[LPXP UHYROXWLRQ VSHHG ZLWKRXW ORDG 6SHFLILHG YDOXH㸸 Я ^ ) ` &RQILUP LI WKH H[KDXVW GLIIHUHQWLDO SUHVVXUH GDWD GLVSOD\ LV DW RU EHORZ WKH VWDQGDUG YDOXH VSHFLILHG YDOXH㸸 N3D ^ NJI FP SVL ` ,I LW LV DW RU DERYH WKH VWDQGDUG YDOXH SHUIRUP DVK UHPRYDO 5HIHU WR (QJLQH * ([KDXVW +. '3' DVVHPEO\ ,QVSHFWLRQ

'7& 3 &RQILUP 5HVROXWLRQ

7XUQ 21 WKH VWDUWHU VZLWFK

8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FRQILUP WKDW D '7& KDV QRW EHHQ GHWHFWHG


(QJLQH &RQWURO +. $

'7& 8 )ODVK &RGH &$1 %XV 0DOIXQFWLRQ

'7& 8 'LDJQRVWLFV

7XUQ 2)) WKH VWDUWHU VZLWFK

'LVFRQQHFW WKH KDUQHVV FRQQHFWRU IURP WKH (&0

0HDVXUH WKH UHVLVWDQFH EHWZHHQ WKH &$1 +LJK VLGH WHUPLQDO DQG &$1 /RZ VLGH WHUPLQDO

1RWH㸸 ࣭ 0HDVXUH WKH UHVLVWDQFH EHWZHHQ WKH WHUPLQDOV RI WKH (&0 KDUQHVV FRQQHFWRU UHVLVWDQFH㸸 DERXW ȍ

,I LW LV RXWVLGH WKH VWDQGDUG UDQJH LQVSHFW WKH &$1 /RZ FLUFXLW DQG &$1 +LJK FLUFXLW EHWZHHQ WKH (&0 DQG WKH FRQWURO XQLW RI WKH DFWXDO XQLW

࣭7KHUH VKRXOG EH QR VKRUW WR WKH EDWWHU\ RU LJQLWLRQ SRZHU VXSSO\ ࣭7KHUH VKRXOG EH QR RSHQ FLUFXLW RU KLJK UHVLVWDQFH ࣭7KHUH VKRXOG EH QR VKRUW WR *1'

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH &$1 FLUFXLW

,I WKH &$1 FLUFXLW LV QRUPDO UHSODFH WKH FRQWURO XQLW RI WKH DFWXDO XQLW

&RQQHFW WKH KDUQHVV FRQQHFWRU WR WKH (&0

'LVFRQQHFW WKH KDUQHVV FRQQHFWRU IURP WKH FRQWURO XQLW RI WKH DFWXDO XQLW

0HDVXUH WKH UHVLVWDQFH EHWZHHQ WKH &$1 +LJK VLGH WHUPLQDO DQG &$1 /RZ VLGH WHUPLQDO

1RWH㸸 ࣭ 0HDVXUH WKH UHVLVWDQFH EHWZHHQ WKH WHUPLQDOV RI WKH (&0 KDUQHVV FRQQHFWRU UHVLVWDQFH㸸 DERXW ȍ ,I LW LV RXWVLGH WKH VWDQGDUG UDQJH UHSODFH WKH (&0 5HIHU WR (QJLQH - (OHFWULFDO +. (&0 5HPRYDO 5HIHU WR (QJLQH - (OHFWULFDO +. (&0 ,QVWDOODWLRQ 6HW WKH LQMHFWRU ,' FRGH RQ WKH (&0 3HUIRUP WKH XQLW GLIIHUHQFH OHDUQLQJ RI WKH IXHO VXSSO\ SXPS WR WKH (&0

'7& 8 &RQILUP 5HVROXWLRQ

&OHDU WKH '7& XVLQJ WKH WURXEOH GLDJQRVLV VFDQ WRRO

7XUQ WKH VWDUWHU VZLWFK 2)) IRU VHFRQGV RU ORQJHU

6WDUW WKH HQJLQH

3HUIRUP D WHVW UXQ

8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FRQILUP WKDW D '7& KDV QRW EHHQ GHWHFWHG


$ (QJLQH &RQWURO +.

'7& 8 )ODVK &RGH &RQWURO 0RGXOH &RPPXQLFDWLRQ %XV 2II

'7& 8 'LDJQRVWLFV

7XUQ 2)) WKH VWDUWHU VZLWFK

0HDVXUH WKH UHVLVWDQFH EHWZHHQ WKH WHUPLQDOV RI WKH WHUPLQDWLRQ UHVLVWRU KDUQHVV FRQQHFWRU

5HIHU WR (QJLQH - (OHFWULFDO +. (&0 ,QVWDOODWLRQ 6HW WKH LQMHFWRU ,' FRGH RQ WKH (&0 3HUIRUP WKH XQLW GLIIHUHQFH OHDUQLQJ RI WKH IXHO VXSSO\ SXPS WR WKH (&0

1RWH㸸 ࣭ 0DNH D PHDVXUHPHQW IURP WKH EDFN ZLWK WKH KDUQHVV FRQQHFWRU FRQQHFWHG ࣭ &RQILUP WKDW WKH SDUDOOHO UHVLVWDQFH RI WKH ȍ UHVLVWRU LQ WKH WHUPLQDWLRQ UHVLVWRU DQG WKDW RI WKH ȍ UHVLVWRU LQ WKH (&0 DUH ERWK ȍ

7XUQ 2)) WKH VWDUWHU VZLWFK &RQQHFW WKH KDUQHVV FRQQHFWRU WR WKH (&0 7XUQ 21 WKH VWDUWHU VZLWFK 0HDVXUH WKH YROWDJH EHWZHHQ WKH &$1 +LJK WHUPLQDO DQG *1' RI WKH WHUPLQDWLRQ UHVLVWRU KDUQHVV FRQQHFWRU

UHVLVWDQFH㸸 WR ȍ

'LVFRQQHFW WKH KDUQHVV FRQQHFWRU IURP WHUPLQDWLRQ UHVLVWRU LI WKH UHVLVWDQFH YDOXH LV RXWVLGH WKH VWDQGDUG UDQJH

0HDVXUH WKH UHVLVWDQFH RI WKH WHUPLQDWLRQ UHVLVWRU

0HDVXUH WKH YROWDJH EHWZHHQ WKH &$1 /RZ WHUPLQDO DQG *1' RI WKH WHUPLQDWLRQ UHVLVWRU KDUQHVV FRQQHFWRU YROWDJH㸸 WR 9

UHVLVWDQFH㸸 WR ȍ

,I WKH UHVLVWDQFH YDOXH LV RXWVLGH WKH VWDQGDUG UDQJH UHSODFH WKH WHUPLQDWLRQ UHVLVWRU

&RQQHFW WKH KDUQHVV FRQQHFWRU WR WKH WHUPLQDWLRQ UHVLVWRU

'LVFRQQHFW WKH KDUQHVV FRQQHFWRU IURP WKH FRQWURO XQLW RI WKH DFWXDO XQLW

0HDVXUH WKH UHVLVWDQFH EHWZHHQ WKH WHUPLQDOV RI WKH WHUPLQDWLRQ UHVLVWRU KDUQHVV FRQQHFWRU

,I WKH YROWDJH LV RXWVLGH WKH VWDQGDUG UDQJH UHSODFH WKH (&0 5HIHU WR (QJLQH - (OHFWULFDO +. (&0 5HPRYDO 5HIHU WR (QJLQH - (OHFWULFDO +. (&0 ,QVWDOODWLRQ 6HW WKH LQMHFWRU ,' FRGH RQ WKH (&0 3HUIRUP WKH XQLW GLIIHUHQFH OHDUQLQJ RI WKH IXHO VXSSO\ SXPS WR WKH (&0

1RWH㸸 ࣭ 0DNH D PHDVXUHPHQW IURP WKH EDFN ZLWK WKH KDUQHVV FRQQHFWRU FRQQHFWHG

7XUQ 2)) WKH VWDUWHU VZLWFK &RQQHFW WKH KDUQHVV FRQQHFWRU WR WKH FRQWURO XQLW RI WKH DFWXDO XQLW

UHVLVWDQFH㸸 WR ȍ

7XUQ 21 WKH VWDUWHU VZLWFK

,I WKH UHVLVWDQFH YDOXH LV ZLWKLQ WKH VWDQGDUG UDQJH UHSODFH WKH FRQWURO XQLW RI WKH DFWXDO XQLW

0HDVXUH WKH YROWDJH EHWZHHQ WKH &$1 +LJK WHUPLQDO DQG *1' RI WKH WHUPLQDWLRQ UHVLVWRU KDUQHVV FRQQHFWRU

'LVFRQQHFW WKH KDUQHVV FRQQHFWRU IURP WKH (&0 0HDVXUH WKH UHVLVWDQFH EHWZHHQ WKH WHUPLQDOV RI WKH WHUPLQDWLRQ UHVLVWRU KDUQHVV FRQQHFWRU

0HDVXUH WKH YROWDJH EHWZHHQ WKH &$1 /RZ WHUPLQDO DQG *1' RI WKH WHUPLQDWLRQ UHVLVWRU KDUQHVV FRQQHFWRU

1RWH㸸 ࣭ 0DNH D PHDVXUHPHQW IURP WKH EDFN ZLWK WKH KDUQHVV FRQQHFWRU FRQQHFWHG

YROWDJH㸸 WR 9

UHVLVWDQFH㸸 WR ȍ

,I WKH YROWDJH LV RXWVLGH WKH VWDQGDUG UDQJH UHSODFH WKH FRQWURO XQLW RI WKH DFWXDO XQLW

5HSODFH WKH (&0 LI WKH UHVLVWDQFH YDOXH LV ZLWKLQ WKH UDQJH RI VWDQGDUG YDOXH

,I WKH YROWDJH LV ZLWKLQ WKH VWDQGDUG UDQJH UHSODFH WKH WHUPLQDWLRQ UHVLVWRU

5HIHU WR (QJLQH - (OHFWULFDO +. (&0 5HPRYDO

'7& 8 &RQILUP 5HVROXWLRQ

8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FOHDU WKH '7&


(QJLQH &RQWURO +. $

7XUQ WKH VWDUWHU VZLWFK 2)) IRU VHFRQGV

6WDUW WKH HQJLQH

3HUIRUP D WHVW UXQ

8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FKHFN LI D '7& KDV EHHQ GHWHFWHG


$ (QJLQH &RQWURO +.

'7& 8 )ODVK &RGH /RVW &RPPXQLFDWLRQ ZLWK 7&0

'7& 8 'LDJQRVWLFV

,QVSHFW WKH &$1 /RZ FLUFXLW DQG &$1 +LJK FLUFXLW EHWZHHQ WKH (&0 DQG WKH FRQWURO XQLW RI WKH DFWXDO XQLW

࣭7KHUH VKRXOG EH QR VKRUW WR WKH EDWWHU\ RU LJQLWLRQ SRZHU VXSSO\ ࣭7KHUH VKRXOG EH QR RSHQ FLUFXLW RU KLJK UHVLVWDQFH ࣭7KHUH VKRXOG EH QR VKRUW WR *1'

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH &$1 FLUFXLW

,I WKH &$1 FLUFXLW LV QRUPDO FRQQHFW DOO KDUQHVVHV

&OHDU WKH '7& XVLQJ WKH WURXEOH GLDJQRVLV VFDQ WRRO

7XUQ WKH VWDUWHU VZLWFK 2)) IRU VHFRQGV RU ORQJHU

3HUIRUP D WHVW UXQ

&KHFN WKH '7&

,I D '7& KDV EHHQ GHWHFWHG UHSODFH WKH FRQWURO XQLW RI WKH DFWXDO XQLW

&RQQHFW DOO KDUQHVVHV

&OHDU WKH '7& XVLQJ WKH WURXEOH GLDJQRVLV VFDQ WRRO 7XUQ WKH VWDUWHU VZLWFK 2)) IRU VHFRQGV RU ORQJHU 3HUIRUP D WHVW UXQ &KHFN WKH '7& ,I D '7& KDV EHHQ GHWHFWHG UHSODFH WKH (&0 5HIHU WR (QJLQH - (OHFWULFDO +. (&0 5HPRYDO 5HIHU WR (QJLQH - (OHFWULFDO +. (&0 ,QVWDOODWLRQ 6HW WKH LQMHFWRU ,' FRGH RQ WKH (&0 3HUIRUP WKH XQLW GLIIHUHQFH OHDUQLQJ RI WKH IXHO VXSSO\ SXPS WR WKH (&0

'7& 8 &RQILUP 5HVROXWLRQ

&OHDU WKH '7& XVLQJ WKH WURXEOH GLDJQRVLV VFDQ WRRO

7XUQ WKH VWDUWHU VZLWFK 2)) IRU VHFRQGV RU ORQJHU

6WDUW WKH HQJLQH

3HUIRUP D WHVW UXQ

8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FRQILUP WKDW D '7& KDV QRW EHHQ GHWHFWHG


(QJLQH &RQWURO +. $

'7& 8 )ODVK &RGH /RVW &RPPXQLFDWLRQ ZLWK 917 6\VWHP

'7& 8 3ULRULW\ '7& '7& 3 '7& 8

'7& 8 'LDJQRVWLFV

7XUQ 2)) WKH VWDUWHU VZLWFK

5HPRYH WKH KDUQHVV FRQQHFWRU IURP WKH WXUER FRQWURO XQLW

0HDVXUH WKH YROWDJH EHWZHHQ WKH ,62 &$1 /RZ FLUFXLW DQG *1' RI WKH WXUER FRQWURO XQLW KDUQHVV FRQQHFWRU

0HDVXUH WKH YROWDJH EHWZHHQ WKH ,62 &$1 +LJK FLUFXLW DQG *1' RI WKH WXUER FRQWURO XQLW KDUQHVV FRQQHFWRU

YROWDJH㸸 WR 9

,I LW LV RXWVLGH WKH VWDQGDUG UDQJH LQVSHFW WR VHH LI WKHUH LV DQ RSHQ FLUFXLW RU KLJK UHVLVWDQFH ZLWK WKH ,62 &$1 +LJK FLUFXLW EHWZHHQ WKH WXUER FRQWURO XQLW DQG WKH (&0

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH ,62 &$1 +LJK FLUFXLW

,QVSHFW WR VHH LI WKHUH LV DQ RSHQ FLUFXLW RU KLJK UHVLVWDQFH ZLWK WKH ,62 &$1 /RZ FLUFXLW EHWZHHQ WKH WXUER FRQWURO XQLW DQG WKH (&0

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH ,62 &$1 /RZ FLUFXLW

,QVSHFW WKH WXUER FRQWURO XQLW KDUQHVV FRQQHFWRU IRU D FRQWDFW IDLOXUH

,I D SUREOHP LV GLVFRYHUHG UHSDLU WKH KDUQHVV FRQQHFWRU 5HSODFH WKH WXUERFKDUJHU DVVHPEO\ 5HIHU WR (QJLQH ) ,QGXFWLRQ +. 7XUERFKDUJHU DVVHPEO\ 5HPRYDO 5HIHU WR (QJLQH ) ,QGXFWLRQ +. 7XUERFKDUJHU DVVHPEO\ ,QVWDOODWLRQ

'7& 8 &RQILUP 5HVROXWLRQ

&OHDU WKH '7& XVLQJ WKH WURXEOH GLDJQRVLV VFDQ WRRO

7XUQ WKH VWDUWHU VZLWFK 2)) IRU VHFRQGV RU ORQJHU

6WDUW WKH HQJLQH

3HUIRUP D WHVW UXQ

8VH WKH WURXEOH GLDJQRVLV VFDQ WRRO WR FRQILUP WKDW D '7& KDV QRW EHHQ GHWHFWHG



Turn static files into dynamic content formats.

Create a flipbook
Issuu converts static files into: digital portfolios, online yearbooks, online catalogs, digital photo albums and more. Sign up and create your flipbook.