Download as pdf or txt
Download as pdf or txt
You are on page 1of 120

&KDSWHU


&DOO SURFHVVLQJ
Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ

7KLV FKDSWHU SURYLGHV D GHVFULSWLRQ RI WKH *60 FDOO SURFHVVLQJ IXQFWLRQV DQG H[SODLQV
KRZ WKH\ DUH LPSOHPHQWHG LQ WKH V\VWHP
7KH IROORZLQJ WRSLFV DUH GHVFULEHG LQ WKLV FKDSWHU
‡ &DOO SURFHVVLQJ  RQ SDJH 

‡ &DOO VHWXS  RQ SDJH 

‡ &DOO FOHDULQJ  RQ SDJH 

‡ *356 GDWD WUDQVIHU SURFHVVLQJ  RQ SDJH 

‡ 'HOD\HG UHOHDVH RI GRZQOLQN 7%) RQ SDJH 

‡ (QKDQFHG 6FKHGXOLQJ RQ SDJH 

‡ *356 WLPHVORW DOORFDWLRQ  RQ SDJH 

‡ (*356 7HUUHVWULDO 5HVRXUFHV RQ SDJH 

‡ $LU LQWHUIDFH SDFNHW GDWD WUDQVIHU  RQ SDJH 

‡ &DOO TXDOLW\ PRQLWRULQJ RQ SDJH 

‡ 7LPLQJ DGYDQFH RQ SDJH 

‡ %76 FRQFHQWUDWLRQ FDOO SULRULW\ KDQGOLQJ %&&3+  RQ SDJH 

‡ &DOO SURFHVVLQJ ORFDWLRQ VHUYLFHV  RQ SDJH 

‡ (*356 ,QFUHPHQWDO 5HGXQGDQF\ RQ SDJH 

‡ (PHUJHQF\ FDOO SUHHPSWLRQ RQ SDJH 

‡ $05 &KDQQHO DOORFDWLRQ RQ SDJH 

‡ (*356 V\VWHP LQIRUPDWLRQ PHVVDJHV RQ SDJH 

3:4 
 6HS 
&DOO SURFHVVLQJ &KDSWHU  &DOO SURFHVVLQJ

&DOO SURFHVVLQJ
Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ

&DOO SURFHVVLQJ IXQFWLRQ

%66 &DOO 3URFHVVLQJ &3 LV D FROOHFWLRQ RI /D\HU  V\VWHP DSSOLFDWLRQ SURFHVVHV WKDW
FRQWURO 0RELOH 6XEVFULEHU 06 FDOOV DW KLJK OHYHO
7KH &3 VRIWZDUH SURFHVV LV UHVSRQVLEOH IRU WKH FDOO VHWXS DQG FOHDULQJ RI DOO 06 FDOOV DQG IRU
PDLQWDLQLQJ WKH FKDQQHO WR WKH 06 DV ZHOO DV 0RELOH 6ZLWFKLQJ &HQWUH 06& RULJLQDWHG 06
SDJHV 7KH %66 VRIWZDUH XQGHUWDNHV DOO HQFU\SWLRQ WDVNV IRU WKH V\VWHP RQO\ RYHUWKHDLU LQWHUIDFH
DOO PHVVDJHV RQ WKH V\VWHP WHUUHVWULDO OLQNV DUH LQ SODLQ ODQJXDJH
2QFH D 06 LV HVWDEOLVKHG RQ D FKDQQHO EH LW D WUDIILF FKDQQHO RU FRQWURO FKDQQHO DOO VLJQDOOLQJ EHWZHHQ WKH 06
DQG WKH 06& DUH WUDQVSDUHQW WR WKH %66 VRIWZDUH $OO WKH %66 VRIWZDUH XQGHUWDNHV LV WR PDLQWDLQ WKH FKDQQHO
WR WKH 06 ZKLOVW SDVVLQJ RQ DQ\ VLJQDOOLQJ WR WKH 06 7KH %66 VRIWZDUH GRHV QRW WUDFN WKH LGHQWLW\ RI D 06
+DQGRYHU GHFLVLRQV DUH DOVR H[HFXWHG E\ &3 ZKLFK VHOHFWV WKH WDUJHW FHOO LQ UHVSRQVH WR WKH FKRLFHV SURYLGHG
E\ WKH 566 $OO LQWUDFHOO DQG LQWUD%66 KDQGRYHUV DUH FRQWUROOHG E\ WKH %66 VRIWZDUH ZLWK WKH 06 UHPDLQLQJ
RQ WKH VDPH WHUUHVWULDO WUXQN FRQQHFWLRQ WR WKH 06& ZKLOVW LQ DQ LQWHU%66 KDQGRYHU WKH %66 VRIWZDUH
LQIRUPV WKH 06& RI WKH FKRLFHV RI WDUJHW FHOOV DQG WKH 06& FRQWUROV WKH WUDQVIHU WR WKH QHZ FHOO
7KH FDOO SURFHVVLQJ VRIWZDUH SURFHVVHV LQFOXGH
‡ 073/6&&3 SUHSURFHVVRU 073/ 

‡ &RQQHFWLRQOHVV PDQDJHU &/0 

‡ 6&&3 VWDWH PDFKLQH 660 

‡ 6ZLWFK PDQDJHU 60 

‡ &HOO UHVRXUFH PDQDJHU &50 

‡ $OORFDWLRQ 0DQDJHU $0 

‡ 5DGLR UHVRXUFH VWDWH PDFKLQH 5560 

‡ 5DGLR FKDQQHO LQWHUIDFH 5&, 

073 /6&&3 SUHSURFHVVRU

7KLV SURFHVV KDQGOHV WKH SURWRFRO DGDSWLRQ RI PHVVDJHV ZKHQ WUDQVPLWWLQJ RU UHFHLYLQJ PHVVDJHV
RQ WKH $ LQWHUIDFH ,W DOVR GHWHUPLQHV ZKLFK SURFHVV HDFK PHVVDJH LV GHVWLQHG IRU E\ LQWHUURJDWLQJ
WKH PHVVDJH KHDGHU LW WKHQ DGGUHVVHV WKH PHVVDJH DFFRUGLQJO\

 3:4
 6HS 
7HFKQLFDO 'HVFULSWLRQ %66 ,PSOHPHQWDWLRQ &DOO SURFHVVLQJ

&RQQHFWLRQOHVV PDQDJHU

7KH &RQQHFWLRQOHVV 0DQDJHU &/0 GHDOV ZLWK WKH JOREDO FRQWURO RI D %66 7KLV SURFHVV GHDOV
ZLWK WKH QRQFRQQHFWLRQ RULHQWHG SRUWLRQ RI WKH & VLJQDOOLQJ

6&&3 VWDWH PDFKLQH

7KH 6&&3 6WDWH 0DFKLQH 660 LV UHVSRQVLEOH IRU KDQGOLQJ DOO WKH FRQQHFWLRQ RUL
HQWHG SRUWLRQ RI WKH & VLJQDOOLQJ
7KH 660 LV UHVSRQVLEOH IRU FRRUGLQDWLQJ DOO LQWUD%66 DQG LQWUDFHOO KDQGRYHUV ,W PDNHV VXUH WKDW
WKH WDUJHW FHOO LV LQIRUPHG RI WKH KDQGRYHU UHTXHVW DQG HQVXUHV WKDW D UDGLR FKDQQHO LV DOORFDWHG WR WKH
06 7KLV SURFHVV JHQHUDWHV DOO WKH UHTXLUHG PHVVDJLQJVLJQDOOLQJ WR FRRUGLQDWH D KDQGRYHU LW ZLOO
DOVR LQIRUP WKH 06& ZKHQ WKLV SURFHGXUH KDV EHHQ FRPSOHWHG  7KH 660 LQIRUPV WKH VRXUFH FHOO
RI D VXFFHVVIXO KDQGRYHU LQ RUGHU WKDW UDGLR UHVRXUFHV FDQ EH XQDOORFDWHG

6ZLWFK PDQDJHU

7KH IXQFWLRQ RI WKH 6ZLWFK 0DQDJHU 60 LV WR FRQQHFW D 06 WHUUHVWULDO WUXQN IURP WKH 06& GHVLJQDWHG E\
WKH 06&  WR WKH UDGLR FKDQQHO JLYHQ WR D 06 E\ WKH FHOO UHVRXUFH PDQDJHU LQ WKH %66 VRIWZDUH

&HOO UHVRXUFH PDQDJHU

7KH &HOO 5HVRXUFH 0DQDJHU &50 LV UHVSRQVLEOH IRU WKH DOORFDWLRQ RI UDGLR FKDQQHOV LQ UHVSRQVH
WR HLWKHU D 06 DFFHVVLQJ WKH V\VWHP RU WKH 06& SDJLQJ D 06 7KH &50 NHHSV D G\QDPLF
GDWDEDVH FRQFHUQLQJ WKH VWDWH RI HDFK RI LWV FKDQQHOV DQG XVHV WKH LQWHUIHUHQFH LQIRUPDWLRQ
SURYLGHG E\ WKH 566 WR DOORFDWH WKH EHVW DYDLODEOH UHVRXUFH
:KHQ WKH WUDIILF ORDGLQJ RQ D %76 VLWH RU FHOO EHFRPHV WRR KHDY\ WKH &50 FDQ LQVWLJDWH IORZ FRQWURO
7KH &50 WHOOV WKH $ELV ,QWHUIDFH LQ WKH 566 VRIWZDUH WR EORFN DQ\ IXUWKHU UDQGRP DFFHVV UHTXHVWV IURP
06 RQ WKDW FHOO RU VLWH :KHQ WUDIILF ORDG UHGXFHV WKLV IORZ FRQWURO ZLOO EH UHPRYHG

$OORFDWLRQ PDQDJHU

7KH $OORFDWLRQ 0DQDJHU $0 VRIWZDUH SURFHVV H[LVWV DW WKH %6& DQG DW WKH %76 7KH &50 UHTXHVWV
WHUUHVWULDO EDFNLQJ IRU D 7&+ IURP WKH $0 DW WKH %76 VLWH 7KH &50 UHOHDVHV WKH UHVRXUFH E\ LQIRUPLQJ
WKH $0 ZKHQ WKH 7&+ LV IUHHG 7KH %76 $0 UHTXHVWV WKH UHVRXUFH RI WKH %6& $0 7KH %76 $0 IUHHV
WKH UHVRXUFH E\ LQIRUPLQJ WKH %6& $0 7KH $0 RULJLQDWHV UHTXHVWV WR WKH 60 WR SURYLGH WKH FRQQHFWLRQV
IRU DOORFDWLQJ DQG IUHHLQJ D UHVRXUFH DW ERWK WKH %6& DQG WKH %76 7KH $0 KDV D SURWRFRO GHVLJQHG
WR KDQGOH SUREOHPV ZLWK FRPPXQLFDWLRQ RYHU WKH 56/V EHWZHHQ WKH %6& DQG WKH %76

3:4 
 6HS 
&DOO SURFHVVLQJ &KDSWHU  &DOO SURFHVVLQJ

,I WKH %76 $0 GRHV QRW UHFHLYH D UHSO\ IRU D WHUUHVWULDO EDFNLQJ UHVRXUFH DOORFDWLRQ IURP WKH %6& $0 ZLWKLQ
WKH UHWU\ WLPH LQGLFDWHG E\ WKH RSHUDWRU WKH %76 $0 UHVHQGV LWV UHTXHVW 7KH %76 $0 UHSHDWV WKLV SURFHGXUH
WKUHH WLPHV $W WKLV SRLQW WKH %76 $0 LQGLFDWHV D IDLOXUH WR REWDLQ WKH UHVRXUFH WR WKH &50 7KH %76 $0
VWDUWV UHTXHVWLQJ WKH %6& $0 WR IUHH WKH DOORFDWLRQ IRU WKH 5&, 7KH %76 $0 UHSHDWV WKLV UHTXHVW XQWLO WKH
UHTXHVW LV DFNQRZOHGJHG RU WKH &50 UHTXHVWV D WHUUHVWULDO EDFNLQJ UHVRXUFH IRU WKH VDPH 7&+

5DGLR UHVRXUFH VWDWH PDFKLQH

7KH 5DGLR 5HVRXUFH 6WDWH 0DFKLQH 5560 LV WKH FDOO SURFHVVLQJ VRIWZDUH SURFHVV UHVSRQVLEOH
IRU WKH LQLWLDWLRQ DQG PDLQWHQDQFH RI SK\VLFDO FRQQHFWLRQV
7KLV SURFHVV LV UHVSRQVLEOH IRU WKH DFWLYDWLRQ RI WKH UDGLR FKDQQHOV VRXUFHG IURP WKH &50 :KHQ D 06
QR ORQJHU UHTXLUHV D UDGLR FKDQQHO WKH 5560 LV UHVSRQVLEOH IRU FORVLQJ WKH FKDQQHO GRZQ

5DGLR FKDQQHO LQWHUIDFH

7KH 5DGLR &KDQQHO ,QWHUIDFH 5&, SURFHVV FKDQJHV WKH DGGUHVV RI D 06 XVHG LQ WKH 566 LQWR
WKH DGGUHVV XVHG E\ WKH /D\HU  FDOO SURFHVVLQJ SURFHVVHV
7KH 566 DGGUHVVHV 06 E\ XVLQJ LWV FKDQQHO QXPEHU ZKLOVW WKH OD\HU  FDOO SURFHVVLQJ SURFHVVHV
DGGUHVV PHVVDJHV IRU D 06 XVLQJ WKH 6&&3 UHIHUHQFH QXPEHU
7KHVH SURFHVVHV FDQ EH ORFDWHG GHSHQGDQW RQ ZKLFK IRUP RI $ELV LV FKRVHQ 8QGHU
0RWRUROD V\VWHPV WKHVH UHVLGH DW WKH %76 FDELQHW
)LJXUH  VKRZV WKH UHODWLRQVKLS EHWZHHQ FDOO SURFHVVLQJ DQG WKH 566

 3:4
 6HS 
7HFKQLFDO 'HVFULSWLRQ %66 ,PSOHPHQWDWLRQ &DOO SURFHVVLQJ

)LJXUH  &DOO SURFHVVLQJ DQG WKH 566 UHODWLRQVKLS

3:4 
 6HS 
&DOO SURFHVVLQJ &KDSWHU  &DOO SURFHVVLQJ

$GDSWLYH 0XOWL5DWH $05 FDOO SURFHVVLQJ

^`

&DUULHU LGHQWLILFDWLRQ
$IWHU WKH 57) DVVLJQPHQW SURFHGXUH LV FRPSOHWH WKHUH PD\ EH D QXPEHU RI '5,V ZLWK $05 +DOI5DWH
+5 57)V %&&+ RU 121%&&+ DVVLJQHG WR WKHP 7KHVH '5,V PXVW EH LGHQWLILHG ZLWKLQ WKH %66
DV $05 +5 FDSDEOH UHVRXUFH WR DOORZ FRUUHFW PDQDJHPHQW RI $05 +5 UHVRXUFHV
6LPLODUO\ WKHUH PD\ EH D QXPEHU RI '5,V ZKLFK DUH QRW DOORFDWHG $05 +5 57)V %&&+ RU
121%&&+  7KHVH UHPDLQLQJ '5,V DUH LGHQWLILHG ZLWKLQ WKH %66 DV $05 )XOO5DWH )5 FDSDEOH
UHVRXUFHV WR DOORZ FRUUHFW PDQDJHPHQW RI $05 )5 UHVRXUFHV

&KDQJH LQ $05 HQDEOHGLVDEOH VWDWHV IRU D FHOO


$05 VXSSRUW LQ D FHOO FDQ EH VHOHFWHG E\ WKH RSHUDWRU $05 IXQFWLRQDOLW\ FDQ EH HQDEOHGGLVDEOHG IRU WKDW
SDUWLFXODU FHOO RU DW %66 OHYHO ,I $05 +5 FKDQQHO PRGH LV GLVDEOHG DW WKH %66 RU FHOO OHYHO H[LVWLQJ $05
KDOIUDWH FDOOV DUH XQDIIHFWHG DV ORQJ DV WKH\ UHPDLQ LQ WKH VDPH DLU LQWHUIDFH WLPHVORW &DOO KDQGRYHUV
SHUIRUPHG DIWHU $05 LV GLVDEOHG DUH DOORFDWHG WKH KLJKHVW VSHHFK YHUVLRQ DYDLODEOH IURP WKH 06& E\ WKH %66
'LVDEOLQJ $05 DW %66 RU FHOO OHYHO FDXVHV $05 )5 QRQ LGOH JHQHULF FDSDEOH WLPHVORWV WR VXSSRUW VWDQGDUG
)5 DQG (QKDQFHG )XOO5DWH ()5 VSHHFK RQO\ RQFH DOO H[LVWLQJ FDOOV DUH FRPSOHWHG ,GOH JHQHULF WLPHVORWV
VWLOO VXSSRUW $05 )5 DOVR ,I RQO\ +5 $05 LV GLVDEOHG DQ\ LGOH +5 WLPHVORWV DUH QRW XVHG XQWLO DQ\ H[LVWLQJ
FDOOV DUH FRPSOHWHG 2QFH DOO FDOOV DUH FRPSOHWHG WKH WLPHVORW VXSSRUWV $05 )5 VWDQGDUG )5 DQG ()5 RQO\

$ KDOIUDWH FDSDEOH WLPHVORW LV NQRZQ DV D JHQHULF WUDIILF WLPHVORW ZKHQ LW LV QRW LQ XVH
,I $05 KDOIUDWH IXQFWLRQDOLW\ LV UHVWULFWHG E\ PRGLILFDWLRQ RI SHU %66 RU SHU FHOO VZLWFKHV H[LVWLQJ $05
KDOIUDWH FDOOV UHPDLQ XQDIIHFWHG XQWLO WKH QH[W HYHQW ZLWKLQ WKH OLIH RI WKDW FDOO )RU H[DPSOH XSRQ WDUJHW
UHVRXUFH VHOHFWLRQ IRU DQ LQWUDFHOO KDQGRYHU WKH VZLWFKHV ZLOO EH UHHYDOXDWHG DQG WKH FDOO FRXOG EH GLUHFWHG
RQWR DQ )5 UHVRXUFH GHSHQGLQJ RQ VFHQDULR DQG DYDLODELOLW\ RI UHVRXUFHV  8QWLO VXFK DQ HYHQW RFFXUV
WR LQLWLDWH UHHYDOXDWLRQ RI WKH %66 FRQILJXUDWLRQ WKH FDOOV UHPDLQ $05 KDOIUDWH FDOOV

 3:4
 6HS 
7HFKQLFDO 'HVFULSWLRQ %66 ,PSOHPHQWDWLRQ &DOO VHWXS

&DOO VHWXS
Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ

&RQQHFWLRQ HVWDEOLVKPHQW

,Q WKLV VHFWLRQ PHVVDJH VHTXHQFHV DUH VKRZQ DV ODGGHU GLDJUDPV IRU WKH HVWDEOLVKPHQW RI
D FRQQHFWLRQ WR D 0RELOH 6\VWHP 06 DV IROORZV
‡ 6XFFHVVIXO FRQQHFWLRQ HVWDEOLVKPHQW
ƕ %HWZHHQ *60 HOHPHQWV

ƕ %HWZHHQ LQWHUQDO V\VWHPV DQG VXEV\VWHPV

)LJXUH  VKRZV D VXFFHVVIXO FRQQHFWLRQ HVWDEOLVKPHQW EHWZHHQ *60 HOHPHQWV

3:4 
 6HS 
&DOO VHWXS &KDSWHU  &DOO SURFHVVLQJ

)LJXUH  6XFFHVVIXO FRQQHFWLRQ HVWDEOLVKPHQW EHWZHHQ *60 HOHPHQWV

6XFFHVVIXO FRQQHFWLRQ HVWDEOLVKPHQW LQWHUQDO


)LJXUH  DQG )LJXUH  VKRZ WKH VXFFHVVIXO FRQQHFWLRQ HVWDEOLVKPHQW VHTXHQFH LQ WZR SDUWV
ZLWKLQ DQG EHWZHHQ WKH %6& DQG %76 V\VWHPV DQG VXEV\VWHPV

 3:4
 6HS 
7HFKQLFDO 'HVFULSWLRQ %66 ,PSOHPHQWDWLRQ &DOO VHWXS

)LJXUH  6XFFHVVIXO FRQQHFWLRQ ZLWKLQ DQG EHWZHHQ %6& DQG %76 3DUW 

3:4 
 6HS 
&DOO VHWXS &KDSWHU  &DOO SURFHVVLQJ

)LJXUH  6XFFHVVIXO FRQQHFWLRQ ZLWKLQ DQG EHWZHHQ %6& DQG %76 3DUW 

 3:4
 6HS 
7HFKQLFDO 'HVFULSWLRQ %66 ,PSOHPHQWDWLRQ &DOO VHWXS

,Q D FDOO HVWDEOLVKPHQW SURFHVV D PXOWLEDQG 06 LQFOXGHV LQ WKH &0 6(59,&(


5(48(67 PHVVDJH D ELW LQGLFDWRU WKDW LQIRUPV WKH QHWZRUN WKDW 06 FODVVPDUN  ZLOO
EH XVHG ,W IROORZV WKLV ZLWK D &/$660$5. &+$1*( PHVVDJH ZKLFK FRQWDLQV
&0 LQIRUPDWLRQ IRU WKH %66 WR SDVV WR WKH 06&

$VVLJQPHQW WR 7&+

,Q WKLV VHFWLRQ PHVVDJH VHTXHQFHV DUH VKRZQ DV ODGGHU GLDJUDPV IRU WKH DVVLJQPHQW RI D 7UDIILF
&KDQQHO 7&+ WR D 0RELOH 6\VWHP 06 DV IROORZV
‡ 6XFFHVVIXO KDQGRYHU
ƕ %HWZHHQ *60 HOHPHQWV

ƕ %HWZHHQ LQWHUQDO V\VWHPV DQG VXEV\VWHPV

)LJXUH  VKRZV D VXFFHVVIXO 7&+ DVVLJQPHQW EHWZHHQ *60 HOHPHQWV

)LJXUH  6XFFHVVIXO 7&+ DVVLJQPHQW

6XFFHVVIXO DVVLJQPHQW VHTXHQFH LQWHUQDO


)LJXUH  DQG )LJXUH  VKRZ WKH VXFFHVVIXO DVVLJQPHQW VHTXHQFH ZLWKLQ DQG EHWZHHQ WKH
%6& DQG %76 V\VWHPV DQG VXEV\VWHPV LQ WZR SDUWV 

3:4 
 6HS 
&DOO VHWXS &KDSWHU  &DOO SURFHVVLQJ

)LJXUH  $VVLJQPHQW VHTXHQFH ZLWKLQ DQG EHWZHHQ %6& DQG %76 3DUW 

 3:4
 6HS 
7HFKQLFDO 'HVFULSWLRQ %66 ,PSOHPHQWDWLRQ &DOO VHWXS

)LJXUH  $VVLJQPHQW VHTXHQFH ZLWKLQ DQG EHWZHHQ %6& DQG %76 3DUW 

3:4 
 6HS 
&DOO VHWXS &KDSWHU  &DOO SURFHVVLQJ

$VVLJQPHQW RI QHZ FDOOV DV $GDSWLYH 0XOWL5DWH $05 KDOIUDWH

^`
$ FRQJHVWLRQ WKUHVKROG DPUBQHZBFDOOVBKU LV SURYLGHG :KHQ FRQJHVWLRQ OHYHOV H[FHHG WKLV WKUHVKROG
WKH %66 DVVLJQV DQ\ QHZ +DOI5DWH +5 FDSDEOH FDOOV WR +5 WUDIILF FKDQQHOV $OVR DQ\ 06& VSHFLILHG
SUHIHUHQFH LV RYHUULGGHQ DQG WKH XVH RI +5 LV PDQGDWRU\ IRU +5 FDSDEOH FDOOV ,W VKRXOG EH QRWHG WKDW

$VVLJQPHQW RI QHZ FDOOV GLUHFWO\ WR WKH LQQHU ]RQH RI PXOWL]RQH FHOOV DUH IXUWKHU UHVWULFWHG
7KH DOJRULWKP DSSOLHG WR HVWDEOLVK ZKHWKHU WKH DPUBQHZBFDOOVBKU WKUHVKROG KDV EHHQ H[FHHGHG LV EDVHG XSRQ
WKH XVH RI UHVRXUFHV ZLWKLQ WKH RXWHU ]RQH RQO\ 7KH DPUBQHZBFDOOVBKU WKUHVKROG LV FKHFNHG RQ UHFHSWLRQ RI
DQ DVVLJQPHQW RU KDQGRYHU UHTXHVW PHVVDJH 7KH WKUHVKROG LV DOVR FKHFNHG RQ UHFHLSW RI DQ LQWUD%66 LQWHUFHOO
KDQGRYHU UHTXHVW LQWR WKH FHOO ,I WKH LQWHUBFHOOBKDQGRYHUBDOORZHG HOHPHQW LV VHW WR DOORZ WKH %66 WR SHUIRUP
LQWUD%66 KDQGRYHUV WKH LQWHUFHOO KDQGRYHU LV SHUIRUPHG ZLWKRXW UHFHLYLQJ D KDQGRYHU UHTXHVW IURP WKH 06&
,I WKH $05 +5 FKDQQHO PRGH LV QRW HQDEOHG DW HLWKHU %66 RU FHOO OHYHO WKH %66 LJQRUHV
WKH DPUBQHZBFDOOVBKU FRQJHVWLRQ WKUHVKROG
$ +5 FKDQQHO IURP D JLYHQ FHOO LV DOORFDWHG WR D FDOO LI WKH FHOO FRQJHVWLRQ OHYHO LQ WKDW FHOO H[FHHGV WKH
DPUBQHZBFDOOVBKU WKUHVKROG DQG LI WKH FDOO LV +5 FDSDEOH 7KLV DFWLRQ LV OLPLWHG E\ WKH H[LVWHQFH RI LGOH
+5 FKDQQHOV LQFOXGLQJ +5 UHVHUYHG FKDQQHOV DQG IUHH JHQHULF WUDIILF FKDQQHOV LQ WKH FHOO
7KH DPUBQHZBFDOOVBKU WKUHVKROG LV FKHFNHG IRU DOO FDOOV XQGHUJRLQJ LQWUDFHOO UDQJH KDQGRYHUV
$V $05 LV QRW VXSSRUWHG RQ H[WHQGHG UDQJH WLPHVORWV WKH DPUBQHZBFDOOVBKU WKUHVKROG
RQO\ DIIHFWV H[WHQGHG WR QRUPDO UDQJH KDQGRYHUV

$GDSWLYH 0XOWL5DWH $05 7&++ LPPHGLDWH DVVLJQPHQW

7KH VSHHFK YHUVLRQ FDSDELOLW\ RI D 06 LV XQNQRZQ RQ LPPHGLDWH DVVLJQPHQW ,I LPPHGLDWH DVVLJQPHQW WR D


7&+ +DOIUDWH 7&++ FKDQQHO ZHUH SHUPLWWHG WKHQ DQ 06 WKDW GRHV QRW VXSSRUW WKH $05 +DOI5DWH +5
FKDQQHO PRGH PXVW EH UHDVVLJQHG WR D 7&+ )XOOUDWH 7&+)  LPPHGLDWHO\ DIWHU EHLQJ DVVLJQHG WR WKH 7&++
7KHUHIRUH LPPHGLDWH DVVLJQPHQW RI D 06 WR DQ $05 +5 WUDIILF FKDQQHO LV QRW SHUPLWWHG

7R SUHYHQW DQ 06 IURP UHTXHVWLQJ LPPHGLDWH DVVLJQPHQW WR D 7&++ WKH 1(&, ELW ZLWKLQ WKH
FHOO VHOHFWLRQ SDUDPHWHUV LQIRUPDWLRQ HOHPHQW V\VWHP LQIRUPDWLRQ W\SH  DQG W\SH  LV QRW VHW
7KH 7&+ DOORFDWHG LV )XOO5DWH )5 FDSDEOH EXW PD\ DOVR EH $05 )5 FDSDEOH ,I WKH DVVLJQPHQW UHTXHVW
IURP WKH 06& LGHQWLILHV DQ $05 )5 VSHHFK YHUVLRQ DV KLJKHVW SULRULW\ DQG WKH DOORFDWHG FKDQQHO GRHV QRW
VXSSRUW $05 IXOOUDWH WKH %66 VHOHFWV D VSHHFK YHUVLRQ RI D ORZHU SULRULW\ (QKDQFHG )XOO 5DWH ()5 RU )5
5HDOORFDWLRQ WR D FKDQQHO QRW $05 )5 FRPSDWLEOH LV QRW DWWHPSWHG WR SUHYHQW FDOO GHOD\V

 3:4
 6HS 
7HFKQLFDO 'HVFULSWLRQ %66 ,PSOHPHQWDWLRQ &DOO VHWXS

,I WKH DVVLJQPHQW UHTXHVW IURP WKH 06& LGHQWLILHV WKH $05 )5 VSHHFK YHUVLRQ
DV KLJKHVW SULRULW\ DQG WKH DOORFDWHG WUDIILF WLPHVORW LV $05 )5 FDSDEOH WKH %66
XVHV WKH $05 )5 VSHHFK YHUVLRQ IRU WKH FDOO
1RQHPHUJHQF\ FDOOV DUH QRW SHUPLWWHG WR VWHDO FKDQQHOV UHVHUYHG E\ WKH PXOWLEDQG KDQGRYHU IXQFWLRQDOLW\
5HVHUYHG +5 FDSDEOH WUDIILF WLPHVORWV DUH FRQVLGHUHG IRU XVH LQ LPPHGLDWH DVVLJQPHQW GLUHFWO\ WR D 7&+) LI
DOO RWKHU UHVRXUFHV ZLWKLQ WKH RXWHU ]RQH KDYH EHHQ H[KDXVWHG LQFOXGLQJ *356 VZLWFKDEOH WLPHVORWV 

3:4 
 6HS 
*60 HQFU\SWLRQ FLSKHULQJ &KDSWHU  &DOO SURFHVVLQJ

*60 HQFU\SWLRQ FLSKHULQJ


Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ

8VH RI FLSKHULQJ

*60 HQFU\SWLRQ SURYLGHV VHFXULW\ IRU XVHU VSHHFK GDWD DQG VLJQDOOLQJ LQIRUPDWLRQ 7KLV IHDWXUH
HQDEOHV DQG SULRULWL]HV WKH *60 $ HQFU\SWLRQ DOJRULWKPV LQ WKH %66 (QFU\SWLRQ LQ WKH %66 PD\
EH LPSOHPHQWHG XVLQJ WKH PXOWLSOH HQFU\SWLRQ RSWLRQ RU LQGLYLGXDO HQFU\SWLRQ RSWLRQV
‡ 0XOWLSOH HQFU\SWLRQ SURYLGHV DOO RI WKH DYDLODEOH *60 HQFU\SWLRQ YHUVLRQV

‡ ,QGLYLGXDO *60 HQFU\SWLRQ YHUVLRQV PD\ EH SXUFKDVHG DQG HQDEOHG

0XOWLSOH HQFU\SWLRQ DOJRULWKPV DUH ORDGHG LQWR WKH %66 YLD WKH VRIWZDUH GRZQORDG 'XULQJ FRQILJXUDWLRQ RI
WKH %6& WKH &$ LQIRUPV WKH 660 RI WKH HQFU\SWLRQ DOJRULWKPV VXSSRUWHG E\ WKH %66 VRIWZDUH 3XUFKDVDEOH
DOJRULWKPV LQFOXGH $ 1XOO HQFU\SWLRQ  $ )XOO HQFU\SWLRQ DQG $ 3ULPH  :KHQ WKH 06& VHQGV
WKH FLSKHU PRGH FRPPDQG RU KDQGRYHU UHTXHVW WKH PHVVDJH PD\ LQFOXGH MXVW RQH RU D QXPEHU RI SHUPLWWHG
DOJRULWKPV 7KH 660 GHFLGHV ZKLFK RI WKHVH DOJRULWKPV DUH WR EH XVHG EDVHG RQ WKH IROORZLQJ FULWHULD
‡ &DSDELOLW\ RI WKH 06 DV LQGLFDWHG E\ WKH FODVVPDUN

‡ 3HUPLWWHG DOJRULWKPV VXSSOLHG E\ WKH 06&

‡ $OJRULWKPV SXUFKDVHG E\ WKH RSHUDWRU VWRUHG LQ WKH *60 GDWDEDVH 

‡ $OJRULWKPV VXSSRUWHG E\ WKH '5,0 )LUPZDUH

‡ 2SHUDWRU SULRULWL]HG OLVW RI DOJRULWKPV VWRUHG LQ WKH &0 GDWDEDVH 

,I QR DOJRULWKPV PHHW WKH DERYH FULWHULD WKH 660 VHQGV WKH DSSURSULDWH IDLOXUH PHVVDJH ,I WKH %66 VHOHFWV
WKH HQFU\SWLRQ DOJRULWKP IURP WKH VHW RI PRUH WKDQ RQH VXSSOLHG E\ WKH 06& WKH 660 LQFOXGHV WKH FKRVHQ
DOJRULWKP LQ WKH FLSKHU PRGH FRPSOHWH RU +DQGRYHU 5HTXHVW $FNQRZOHGJH PHVVDJH WR WKH 06&
0XOWLSOH HQFU\SWLRQ SULRULW\ LV QRW QHFHVVDU\ ZKHQ WKH LQGLYLGXDO DOJRULWKPV  DUH XVHG LQGHSHQGHQWO\
IURP WKH PXOWLSOH HQFU\SWLRQ RSWLRQ IRU H[DPSOH LI D FXVWRPHU SXUFKDVHV MXVW $
0XOWLSOH $ HQFU\SWLRQ DOJRULWKP YHUVLRQV SXUFKDVHG E\ WKH RSHUDWRU PXVW EH HQDEOHG E\ WKH FKDQJH HOHPHQW
RSWLRQBDOJBD FRPPDQG DQG SULRULWL]HG E\ WKH FKJBDBDOJBSU GDWDEDVH FRPPDQG 7KH RUGHU LQ ZKLFK
WKH\ DUH HQWHUHG SULRULWL]HV WKHLU XVH 7KH HQFU\SWLRQ DOJRULWKPV DUH SULRULWL]HG RQ D SHU%66 EDVLV DQG RQO\
WKRVH SULRULWL]HG FDQ EH XVHG ,I QR DOJRULWKPV DUH SULRULWL]HG WKHQ WKH GHIDXOW LV QR HQFU\SWLRQ

0HVVDJH VHTXHQFHV LQ FLSKHULQJ


)LJXUH  VKRZV FLSKHULQJ FRPPDQGV EHWZHHQ WKH *60 HOHPHQWV

 3:4
 6HS 
7HFKQLFDO 'HVFULSWLRQ %66 ,PSOHPHQWDWLRQ *60 HQFU\SWLRQ FLSKHULQJ

)LJXUH  &LSKHULQJ FRPPDQGV EHWZHHQ *60 HOHPHQWV

)LJXUH  VKRZV WKH VLJQDO VHTXHQFH LQ D VXFFHVVIXO FLSKHULQJ VSHFLILFDWLRQ ZLWKLQ DQG
EHWZHHQ WKH %6& DQG %76 V\VWHPV DQG VXEV\VWHPV

)LJXUH  6XFFHVVIXO VLJQDO VHTXHQFH LQ FLSKHULQJ VSHFLILFDWLRQ

5HODWHG FRPPDQGV DQG SDUDPHWHUV

5HIHU WR Technical Description: BSS Command Reference (68P02901W23) IRU D IXOO


GHVFULSWLRQ RI FRPPDQGV DQG SDUDPHWHUV
7KH RSWLRQBDOJBD SDUDPHWHU FDQ EH XVHG ZLWK WKH FKJBHOHPHQW FRPPDQG WR VHOHFW WKH HQFU\SWLRQ DOJRULWKP 
7KH FRPPDQG FKJBDBDOJBSU FDQ EH XVHG WR SULRULWL]H XVH RI WKH HQFU\SWLRQ DOJRULWKPV

3:4 
 6HS 
*60 HQFU\SWLRQ FLSKHULQJ &KDSWHU  &DOO SURFHVVLQJ

6\VWHP LPSDFW

)RU HIIHFWLYH XVH WKLV IHDWXUH PXVW EH GHSOR\HG DW WKH 06& %66 DQG 06 7KH RSWLRQ WR FKDQJH
DQG VHOHFW HQFU\SWLRQ DOJRULWKPV PXVW EH SXUFKDVHG DQG XQUHVWULFWHG

$GDSWLYH 0XOWL5DWH $05

^`

&DOO VHWXS KDQGRYHU DQG WHDUGRZQ


8QOHVV VWDWHG RWKHUZLVH KDQGRYHU UHIHUV WR D KDQGRYHU EHWZHHQ WKH GLIIHUHQW FDOO UDWHV DV GHWDLOHG EHORZ
‡ $05 )XOO5DWH )5  ()5 RU )5 WR $05  NESV +DOI5DWH +5 

‡ $05 )5 ()5 RU )5 WR $05  NESV +5

‡ $05  NESV +5 WR $05 )5 ()5 RU )5

‡ $05  NESV +5 WR $05  NESV +5

‡ $05  NESV +5 WR $05 )5 ()5 RU )5

‡ $05  NESV +5 WR $05  NESV +5

,Q (QKDQFHG $XWR &RQQHFW ($& PRGH WKH  NESV DQG  NESV $WHUV DUH DVVLJQHG RQ D
SHU FDOO EDVLV GHSHQGLQJ RQ WKH VHOHFWHG 75$8 UDWH
:KHQ D FDOO LV LQLWLDWHG LQ ($& PRGH DQG WKH &,& KDV WKH FRUUHFW $WHU UHVRXUFH WKH $WHU LV XVHG IRU
WKH FDOO DQG QR ;%/ PHVVDJLQJ LV UHTXLUHG ,I  NESV VZLWFKLQJ LV QRW HQDEOHG RU LI WKH  NESV
FRGHF PRGH LV LQ WKH $05 &RGHF 6HW $&6 DQ +5 FDOO PXVW XVH D  NESV $WHU
:KHQ D &,& UHPDS LV LQLWLDWHG IRU D FDOO LQ ($& PRGH DQG WKH QHZ &,& KDV WKH FRUUHFW $WHU
UHVRXUFH WKH UHVRXUFH ZLOO EH XVHG IRU WKH FDOO DQG QR ;%/ PHVVDJLQJ LV UHTXLUHG $Q +5 FDOO
UHTXLUHV D  NESV $WHU LI WKH  NESV FRGHF PRGH LV LQ WKH $&6

&DOO VHWXS DQG KDQGRYHUV


([WHUQDO KDQGRYHUV RI )5 FDOOV RU UHTXHVWV WR KDQGRYHU WR )5 LQ ($& DQG WKH &,& KDV D  NSV
$WHU WKH $WHU LV QRW FKDQJHG ;%/ PHVVDJLQJ LV QRW UHTXLUHG
,Q ($& PRGH ZKHQ D )5 FDOO LV LQLWLDWHG DQ H[WHUQDO KDQGRYHU RFFXUV RU D UHTXHVW LV UHFHLYHG WR KDQGRYHU WR
)5 DQG WKH &,& LV FXUUHQWO\ DVVLJQHG WR DQ  NESV $WHU UHVRXUFH D  NESV $WHU UHVRXUFH LV DVVLJQHG DV IROORZV
‡ &RPELQH ZLWK WKH RWKHU  NESV KDOI RI WKH  NESV $WHU

‡ 5HOHDVH WKH FXUUHQW  NESV DQG DOORFDWH D QHZ  NESV UHVRXUFH

‡ 5HOHDVH WKH FXUUHQW  NESV UHVRXUFH DQG DOORFDWH WZR FRQWLJXRXV  NESV
UHVRXUFHV RQ WKH VDPH WLPHVORW DQG JURXS

 3:4
 6HS 
7HFKQLFDO 'HVFULSWLRQ %66 ,PSOHPHQWDWLRQ *60 HQFU\SWLRQ FLSKHULQJ

,Q ($& PRGH ZKHQ D IXOO UDWH FDOO LV LQLWLDWHG RU DQ H[WHUQDO KDQGRYHU RFFXUV DQG WKH &,& FXUUHQWO\
KDV QR $WHU DVVLJQHG D  NESV $WHU UHVRXUFH ZLOO EH DVVLJQHG DV IROORZV
‡ $OORFDWH D QHZ  NESV UHVRXUFH

‡ $OORFDWH WZR FRQWLJXRXV  NESV UHVRXUFHV RQ WKH VDPH WLPHVORW DQG JURXS

([WHUQDO KDQGRYHUV RI +5 FDOOV RU UHTXHVWV WR KDQGRYHU WR +5 LQ ($& DQG WKH &,& KDV D  NSV
$WHU WKH $WHU LV QRW FKDQJHG ;%/ PHVVDJLQJ LV QRW UHTXLUHG
$Q  NESV $WHU UHVRXUFH LV DVVLJQHG WR FDOOV LQ ($& PRGH ZKHQ DQ +5 FDOO UHTXLULQJ DQ  NESV $WHU LV LQLWLDWHG
DQ H[WHUQDO KDQGRYHU UHTXLULQJ D  NESV $WHU UHVRXUFH RU D KDQGRYHU UHTXHVW WR +5 ZLWK DQ  NESV $WHU RFFXUV
,I WKH &,& LV FXUUHQWO\ DVVLJQHG WR D  NESV $WHU UHVRXUFH D QHZ  NSV UHVRXUFH LV DVVLJQHG DV IROORZV
‡ 5HOHDVH WKH  NESV $WHU DQG DOORFDWH D  NESV $WHU ZKHUH WKH RWKHU  NESV LV DOUHDG\ LQ XVH

‡ 8VH  NESV RI WKH FXUUHQW  NESV UHVRXUFH

$Q  NESV $WHU UHVRXUFH LV DVVLJQHG WR FDOOV LQ ($& PRGH ZKHQ DQ +5 FDOO UHTXLULQJ DQ  NESV $WHU
LV LQLWLDWHG RU DQ H[WHUQDO KDQGRYHU RFFXUV IRU DQ +5 FDOO UHTXLULQJ D  NESV $WHU UHVRXUFH ,I WKH &,&
FXUUHQWO\ KDV QR $WHU DVVLJQHG D QHZ  NSV UHVRXUFH LV DVVLJQHG DV IROORZV
‡ $OORFDWH DQ  NESV $WHU ZKHUH WKH RWKHU  NESV LV DOUHDG\ LQ XVH

‡ $OORFDWH  NESV RI DQ LGOH  NESV $WHU

,Q ($& PRGH LI DQ +5 FDOO UHTXLULQJ D  NESV $WHU UHVRXUFH LV LQLWLDWHG DQ H[WHUQDO KDQGRYHU RFFXUV
IRU DQ +5 FDOO UHTXLULQJ D  NESV $WHU UHVRXUFH RU D UHTXHVW LV UHFHLYHG WR KDQGRYHU WR +5 ZLWK D 
NESV $WHU LI WKH &,& DOUHDG\ KDV D  NESV $WHU UHVRXUFH DVVLJQHG WKH $WHU UHVRXUFH LV QRW FKDQJHG DQG
;%/ PHVVDJLQJ GRHV QRW RFFXU $Q +5 FDOO PD\ UHTXLUH  NESV $WHU UHVRXUFH EDFNLQJ LQ ($& PRGH
EHFDXVH  NESV VZLWFKLQJ LV QRW HQDEOHG RU WKH  NESV FRGHF PRGH LV LQ WKH $&6
)RU D FDOO RU KDQGRYHU UHTXLULQJ D  NESV UHVRXUFH RQ D &,& WKDW LV FXUUHQWO\ DVVLJQHG WR DQ 
NESV $WHU UHVRXUFH D  NESV UHVRXUFH LV DVVLJQHG DV IROORZV
‡ &RPELQH ZLWK WKH RWKHU  NESV KDOI RI WKH  NESV $WHU

‡ 5HOHDVH WKH FXUUHQW  NESV DQG DOORFDWH D QHZ  NESV UHVRXUFH

‡ 5HOHDVH WKH FXUUHQW  NESV UHVRXUFH DQG DOORFDWH WZR FRQWLJXRXV  NESV
UHVRXUFHV RQ WKH VDPH WLPHVORW DQG JURXS

,I WKH &,& FXUUHQWO\ KDV QR $WHU DVVLJQHG D  NESV $WHU UHVRXUFH LV DVVLJQHG DV IROORZV
‡ $OORFDWH D QHZ  NESV UHVRXUFH

‡ $OORFDWH WZR FRQWLJXRXV  NESV UHVRXUFHV RQ WKH VDPH WLPHVORW DQG JURXS

3:4 
 6HS 
*60 HQFU\SWLRQ FLSKHULQJ &KDSWHU  &DOO SURFHVVLQJ

&,& UHPDS QHZ &,& DQG ROG &,& LQ WKH VDPH 5;&'5
$ &,& UHPDS LV D UHTXHVW LQLWLDWHG E\ WKH 06& WR FKDQJH WKH &,& DVVRFLDWHG ZLWK D FDOO 7KH IXQFWLRQDOLW\ RI
WKH V\VWHP PD\ UHVXOW LQ WKH $WHU IRU WKH FDOO EHLQJ FKDQJHG DV ZHOO DV WKH &,& ZKHQHYHU D &,& UHPDS RFFXUV
:KHQ D &,& UHPDS LV LQLWLDWHG IRU D FDOO LQ ($& PRGH DQG ERWK &,&V DUH DW WKH VDPH
5;&'5 WKH H[LVLWQJ $WHU ZLOO EH UHWDLQHG LI
‡ 7KH QHZ &,& KDV DQ $WHU RI DQ LQFRUUHFW UDWH DVVLJQHG

‡ ,I WKH QHZ &,& KDV QR $WHU DVVLJQHG

8QOHVV WKH H[LVLWQJ $WHU LV QRW WKH FRUUHFW UDWH IRU WKH UHPDS
,Q ($& PRGH ZKHQ D &,& UHPDS LV LQLWLDWHG IRU D FDOO DQG WKH QHZ &,& KDV DQ $WHU UHVRXUFH
RI WKH FRUUHFW UDWH DVVLJQHG WKH $WHU UHVRXUFH ZLOO QRW EH FKDQJHG DQG QR ;%/ PHVVDJLQJ ZLOO
RFFXU $ KDOI UDWH FDOO PD\ UHTXLUH  NESV $WHU UHVRXUFH EDFNLQJ LQ ($& PRGH EHFDXVH  NESV
VZLWFKLQJ LV QRW HQDEOHG RU WKH  NESV FRGHF PRGH LV LQ WKH $&6

&,& UHPDS QHZ &,& DQG ROG &,& QRW LQ WKH VDPH 5;&'5
,Q ($& PRGH ZKHQ D &,& UHPDS LV LQLWLDWHG IRU DQ )5 FDOO WKH QHZ &,& LV FXUUHQWO\ DVVLJQHG
WR DQ  NESV $WHU UHVRXUFH D  NESV UHVRXUFH LV DOORFDWHG DV IROORZV
‡ &RPELQH ZLWK WKH RWKHU  NESV KDOI RI WKH  NESV $WHU

‡ 5HOHDVH WKH FXUUHQW  NESV DQG DOORFDWH D QHZ  NESV UHVRXUFH

‡ 5HOHDVH WKH FXUUHQW  NESV UHVRXUFH DQG DOORFDWH WZR FRQWLJXRXV  NESV
UHVRXUFHV RQ WKH VDPH WLPHVORW DQG JURXS

,I WKH QHZ &,& GRHVQ¶W KDYH DQ $WHU DVVLJQHG D QHZ  NSV $WHU UHVRXUFH LV DOOR
FDWHG XVLQJ WKH IROORZLQJ SULRULWLHV
‡ $OORFDWH D QHZ  NESV UHVRXUFH

‡ $OORFDWH WZR FRQWLJXRXV  NESV UHVRXUFHV RQ WKH VDPH WLPHVORW DQG JURXS

:KHQ D &,& UHPDS LV LQLWLDWHG IRU D KDOI UDWH FDOO XVLQJ DQ  NESV $WHU LQ ($& PRGH DQG WKH QHZ &,& KDV D
 NESV $WHU DVVLJQHG D QHZ $WHU UHVRXUFH VKDOO EH DOORFDWHG XVLQJ WKH IROORZLQJ SULRULWLHV
‡ 5HOHDVH WKH  NESV $WHU DQG DOORFDWH D  NESV $WHU ZKHUH WKH RWKHU  NESV LV DOUHDG\ LQ XVH

‡ 8VH  NESV RI WKH FXUUHQW  NESV UHVRXUFH

,I WKH QHZ &,& GRHVQ¶W KDYH DQ $WHU DVVLJQHG D QHZ $WHU UHVRXUFH  NSV VKDOO EH
DOORFDWHG XVLQJ WKH IROORZLQJ SULRULWLHV
‡ $OORFDWH D  NESV $WHU ZKHUH WKH RWKHU  NESV LV DOUHDG\ LQ XVH

‡ $OORFDWH  NESV RI DQ LGOH  NESV $WHU

 3:4
 6HS 
7HFKQLFDO 'HVFULSWLRQ %66 ,PSOHPHQWDWLRQ *60 HQFU\SWLRQ FLSKHULQJ

,Q ($& PRGH ZKHQ D &,& UHPDS LV LQLWLDWHG IRU D KDOI UDWH FDOO XVLQJ D  NESV $WHU DQG WKH QHZ &,& LV
FXUUHQWO\ DVVLJQHG WR DQ  NESV $WHU UHVRXUFH D  NESV UHVRXUFH ZLOO EH DVVLJQHG DV IROORZV
‡ &RPELQH ZLWK WKH RWKHU  NESV KDOI RI WKH  NESV $WHU

‡ 5HOHDVH WKH FXUUHQW  NESV DQG DOORFDWH D QHZ  NESV UHVRXUFH

‡ 5HOHDVH WKH FXUUHQW  NESV UHVRXUFH DQG DOORFDWH WZR FRQWLJXRXV  NESV
UHVRXUFHV RQ WKH VDPH WLPHVORW DQG JURXS

,I WKH QHZ &,& GRHVQ¶W KDYH DQ $WHU DVVLJQHG D QHZ $WHU UHVRXUFH VKDOO EH DOORFDWHG
XVLQJ WKH IROORZLQJ SULRULWLHV
‡ $OORFDWH D QHZ  NESV UHVRXUFH

‡ $OORFDWH WZR FRQWLJXRXV  NESV UHVRXUFHV RQ WKH VDPH WLPHVORW DQG JURXS

3:4 
 6HS 
&DOO FOHDULQJ &KDSWHU  &DOO SURFHVVLQJ

&DOO FOHDULQJ
Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ

,QWURGXFWLRQ WR FDOO FOHDULQJ

,Q WKLV VHFWLRQ PHVVDJH VHTXHQFHV DUH VKRZQ IRU FDOO FOHDULQJ &DOO FOHDULQJ FDQ EH
RULJLQDWHG E\ WKH 06 WKH %66 RU WKH 06&

06 RULJLQDWHG FDOO FOHDULQJ

)LJXUH  DQG )LJXUH  VKRZ WKH FDOO FOHDULQJ PHVVDJH VHTXHQFH ZKHQ LQLWLDWHG E\ WKH 06

 3:4
 6HS 
7HFKQLFDO 'HVFULSWLRQ %66 ,PSOHPHQWDWLRQ &DOO FOHDULQJ

)LJXUH  &DOO FOHDULQJ LQLWLDWHG E\ 06 3DUW 

3:4 
 6HS 
&DOO FOHDULQJ &KDSWHU  &DOO SURFHVVLQJ

)LJXUH  &DOO FOHDULQJ LQLWLDWHG E\ 06 3DUW 

06& RULJLQDWHG FDOO FOHDULQJ

)LJXUH  VKRZV WKH FDOO FOHDULQJ PHVVDJH VHTXHQFH ZKHQ LQLWLDWHG E\ WKH 06&

 3:4
 6HS 
7HFKQLFDO 'HVFULSWLRQ %66 ,PSOHPHQWDWLRQ &DOO FOHDULQJ

)LJXUH  &DOO FOHDULQJ LQLWLDWHG E\ 06&

3:4 
 6HS 
*356 GDWD WUDQVIHU SURFHVVLQJ &KDSWHU  &DOO SURFHVVLQJ

*356 GDWD WUDQVIHU SURFHVVLQJ


Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ

06 VWDWHV

06V FDQ EH LQ RQH RI WKUHH VWDWHV ZKHQ XVHG IRU *356


‡ ,GOH  &RXOG EH VZLWFKHG RII RU LQ *60 ,06, DWWDFK VWDWH EXW QRW *356 DWWDFKHG

‡ 5HDG\  *356 DWWDFKHG &RQWH[W PD\ QRZ EH DFWLYDWHG 06 SHUIRUPLQJ


FHOO DQG URXWHLQJ DUHD XSGDWHV

‡ 6WDQGE\  6LPLODU WR *60 ,GOH VWDWH 06 OLVWHQLQJ DQG SHUIRUPLQJ RQO\ URXWHLQJ DUHD XSGDWHV

,Q D *356 QHWZRUN WKHUH DUH WKUHH SDFNHW DFFHVV SURFHGXUHV WKDW WKH 06 FDQ XVH WR HVWDEOLVK
DQ XSOLQN 7%) WZR SKDVH RQH SKDVH RU HQKDQFHG RQH SKDVH

*356 WZR SKDVH DFFHVV

7KH WZR SKDVH *356 DFFHVV VWDJHV GHSHQGV RQ ZKHWKHU 06 RULJLQDWHG XSOLQN RU 06 WHUPLQDWHG GRZQOLQN 
8SOLQN
‡ *356 DWWDFK

‡ 3DFNHW FKDQQHO UHTXHVW

‡ 3DFNHW UHVRXUFH UHTXHVW

‡ 'DWD WUDQVPLVVLRQ

‡ *356 GHWDFK

'RZQOLQN
‡ *356 SDJLQJ UHTXHVW

‡ 5HTXHVW 3'3 FRQWH[W DFWLYDWLRQ

‡ $FWLYDWH 3'3 FRQWH[W UHTXHVW

‡ 3DFNHW FKDQQHO UHTXHVW

‡ 3DFNHW UHVRXUFH UHTXHVW

‡ 'DWD WUDQVPLVVLRQ

‡ *356 GHWDFK

7KH PHVVDJH VHTXHQFHV LQ WKH DERYH VWDJHV IROORZ

 3:4
 6HS 
7HFKQLFDO 'HVFULSWLRQ %66 ,PSOHPHQWDWLRQ *356 GDWD WUDQVIHU SURFHVVLQJ

7ZR SKDVH DWWDFK

7KH 006 VHQGV XS DQ $WWDFK 5HTXHVW PHVVDJH ZKLFK LQFOXGHV


‡ ,06, RU 3DFNHW 706,

‡ 2OG URXWHLQJ DUHD LGHQWLILFDWLRQ VR WKDW QHZ 6*61 FDQ FKHFN DQ\
XQDFNQRZOHGJHG GDWD DQG UHVHQG LW 

‡ &ODVVPDUN PXOWLVORW FDSDELOLW\ *356 FLSKHU DOJRULWKPV 

‡ &LSKHU .H\ 6HTXHQFH 1XPEHU &.61 

‡ $WWDFK W\SH *356 ,06, RU ERWK 

‡ '5; 'LVFRQWLQXRXV 5HFHSWLRQ FDSDELOLW\

‡ 2OG 3706, LI RQH H[LVWV

)LJXUH  EHORZ VKRZV RQO\ WKH VLJQDOOLQJ EHWZHHQ WKH 06 DQG WKH %66

)LJXUH  *356 DWWDFK PHVVDJHV


06 %66 6*61

$77$&+ 5(48(67 5$&+

,'(17,7< 5(48(67 $*&+  RSWLRQDO

,'(17,7< 5(63216( 5$&+  RSWLRQDO

$77$&+ $&&(37 $*&+

$77$&+ &203/(7( 5$&+

ti-GSM-TDI01W36-000121-eps-sw

7ZR SKDVH 7%) DFFHVV 06 RULJLQDWHG


,Q WKH WZR SKDVH DFFHVV SURFHGXUH WKH 5$&+ LV IRUZDUGHG IURP WKH %76 WR WKH 3&8 IRU SURFHVVLQJ
7KH 3&8 UHVSRQGV WR WKH 5$&+ ZLWK DQ ,PPHGLDWH $VVLJQPHQW PHVVDJH FRQWDLQLQJ D VLQJOH EORFN
DOORFDWLRQ 7KH 06 PRYHV WR WKH DVVLJQHG 3'7&+ DQG WUDQVPLWV D 3DFNHW 5HVRXUFH 5HTXHVW PHVVDJH
8SRQ UHFHSWLRQ RI WKH 355 WKH 3&8 VHQGV D 3DFNHW 8SOLQN $VVLJQPHQW PHVVDJH WR WKH 06 FRQWDLQLQJ DQ
XSOLQN DVVLJQPHQW 2QFH WKH 06 UHFHLYHV WKH 38$ LW SURFHHGV ZLWK WKH XSOLQN GDWD WUDQVIHU

3:4 
 6HS 
*356 GDWD WUDQVIHU SURFHVVLQJ &KDSWHU  &DOO SURFHVVLQJ

6HH )LJXUH  IRU WKH PHVVDJH VHTXHQFH LQ WKH WZR SKDVH DFFHVV SURFHGXUH

)LJXUH  7ZR SKDVH 7%) DFFHVV

06 %76 3&8

&+$11(/ &+$11(/
5(48(67 5$&+ 5(48(67 5$&+

,00(',$7( ,00(',$7(
$66,*1 $*&+ $66,*1 83/,1.  PV

3$&.(7
 PV
5(6285&(
3$&&+

 PV
3$&.(7 83/,1.
$66,*10(17

 PV 83/,1. 67$7(
)/$* %,76

'$7$  PV

Two-phase access (575 ms)

Values shown are approximate best case

ti-GSM-TDI01W36-000122-eps-sw

7KH SRVW%66 WZR SKDVH DFFHVV SURFHGXUH LV VORZHU WKDQ WKH SUHYLRXV WZRSKDVH LPSOHPHQWDWLRQ ,I
WKH HVWDEOLVKPHQW FDXVH LQ WKH &KDQQHO 5HTXHVW PHVVDJH LQGLFDWHV D UHTXHVW IRU RQH SKDVH SDFNHW DFFHVV
WKH QHWZRUN FDQ JUDQW HLWKHU D RQH SKDVH SDFNHW DFFHVV RU D VLQJOH EORFN SDFNHW DFFHVV IRU WKH 06 ,I D
VLQJOH EORFN SDFNHW DFFHVV LV JUDQWHG LW IRUFHV WKH 06 WR SHUIRUP D WZR SKDVH SDFNHW DFFHVV
7KH PDMRULW\ RI WKH 06V WKDW H[LVW UHTXHVW D RQH SKDVH SDFNHW DFFHVV ZKHQ HVWDEOLVKLQJ DQ XSOLQN
7%) 7KHUH DUH IHZ LQVWDQFHV ZKHQ D 06 UHTXHVWV D VLQJOH EORFN DOORFDWLRQ IRU H[DPSOH 3DFNHW
0HDVXUHPHQW 5HSRUWV LI WKH UHTXHVWHG 5/& PRGH LV LQ XQDFNQRZOHGJHG PRGH 

'RZQOLQN DVVLJQPHQWV 06 WHUPLQDWHG


'XULQJ GRZQOLQN 7%) HVWDEOLVKPHQW SURFHGXUHV ZKHQ WKH 06 LV RQ WKH 3'&+ WKH 3&8 GRHV QRW
SROO WKH GRZQOLQN DVVLJQPHQW PHVVDJH XVLQJ D 3DFNHW &RQWURO $FN ,QVWHDG WKH 3&8 XVHV WKH 3DFNHW
'RZQOLQN $FN1DFN DFNQRZOHGJPHQWQHJDWLYH DFNQRZOHGJPHQW DV DQ LPSOLFLW DFNQRZOHGJHPHQW IRU
WKH GRZQOLQN DVVLJQPHQW PHVVDJH ,I DQ 06 LV UHTXLUHG WR WUDQVPLW D 3DFNHW &RQWURO $FN VXEVHTXHQW
WR D GRZQOLQN DVVLJQPHQW WKHUH LV DQ DGGLWLRQDO UHDFWLRQ WLPH EHIRUH WKH 06 LV UHDG\ WR UHFHLYH
RQ WKH QHZ DVVLJQPHQW %\ HOLPLQDWLQJ WKH 3&$ SROO WKH 06 FDQ UHFHLYH RQ WKLV QHZ DVVLJQPHQW
VRPH  PV HDUOLHU 7KLV GHFUHDVHV WKH GRZQOLQN 7%) HVWDEOLVKPHQW WLPH
'XULQJ GRZQOLQN 7%) HVWDEOLVKPHQW SURFHGXUHV ZKHQ WKH 06 LV RQ WKH &&&+ WKH 3&8 SROOV WKH GRZQOLQN
DVVLJQPHQW 8SRQ UHFHLYLQJ WKH 3DFNHW &RQWURO $FN WKH 3&8 VHQGV D 3DFNHW 3RZHU &RQWURO 7LPLQJ $GYDQFH
3&7$ PHVVDJH 7KH 3&8 GRHV QRW WKHQ SROO WKLV PHVVDJH XVLQJ D 3DFNHW &RQWURO $FN EXW LQVWHDG XVHV
WKH 3DFNHW 'RZQOLQN $FN1DFN DV DQ LPSOLFLW DFNQRZOHGJHPHQW IRU WKH 3&7$ PHVVDJH

 3:4
 6HS 
7HFKQLFDO 'HVFULSWLRQ %66 ,PSOHPHQWDWLRQ *356 GDWD WUDQVIHU SURFHVVLQJ

8SOLQN FRQJHVWLRQ PDQDJHPHQW


7KH %66 LQWURGXFHV XSOLQN FRQJHVWLRQ PDQDJHPHQW IXQFWLRQDOLW\ E\ PRQLWRULQJ WKH *356 ORDG RI WKH %66
DQG OLPLWLQJ WKH QXPEHU RI QHZ *356 XVHUV LQWR WKH V\VWHP 7KH %66 WKURWWOHV 5$&+V RQ WKH 56/ WR DYRLG
56/ FRQJHVWLRQ  DQG VHQGV ,PPHGLDWH $VVLJQPHQW 5HMHFW PHVVDJHV WR XVHUV GXULQJ SHULRGV RI FRQJHVWLRQ

06 RULJLQDWHG SDFNHW WUDQVIHU

7KH SURFHVV EHJLQV ZLWK WKH 06 VHQGLQJ D SDFNHW FKDQQHO UHTXHVW PHVVDJH RQ WKH 35$&+ 7KLV
PHVVDJH FRQWDLQV WKH QXPEHU RI 5/& EORFNV EDVHG RQ FRGLQJ VHTXHQFH &6 WKDW WKH 06 UHTXLUHV
WR VHQG 7KH %76 UHVSRQGV ZLWK DQ LPPHGLDWH DVVLJQPHQW PHVVDJH ZLWK D RQH EORFN DOORFDWLRQ
UHVHUYHG IRU XVH E\ DQ\ 06 WR VHQG D SDFNHW UHVRXUFH UHTXHVW PHVVDJH WR WKH 3&8 ,Q WKH WZRSKDVH
DFFHVV PHWKRG WKH 06 VHQGV XS D SDFNHW UHVRXUFH UHTXHVW PHVVDJH LQ WKLV RQH EORFN DOORFDWLRQ
DQG WKH %76 UHVSRQGV ZLWK D SDFNHW XSOLQN DVVLJQPHQW PHVVDJH
7KH SDFNHW XSOLQN DVVLJQPHQW PHVVDJH FRQWDLQV
‡ 3DFNHW 'DWD &KDQQHOV 3'&+V WR XVH

‡ 7HPSRUDU\ )ORZ ,GHQWLILHU 7), 

‡ 8SOLQN 6WDWH )ODJ 86) 

‡ 7HPSRUDU\ /RJLFDO /LQN ,GHQWLILHU 7//, 

)LJXUH  VKRZV WKH PHVVDJH VHTXHQFH

)LJXUH  06 RULJLQDWHG SDFNHW WUDQVIHU

06 %66

3$&.(7 &+$11(/ 5(48(67 35$&+ RU 5$&+

,00(',$7( $66,*10(17 3$*&+ RU $*&+

3$&.(7 5(6285&( 5(48(67 3$&&+

3$&.(7 83/,1. $66,*10(17 3$&&+

WL*607',:HSVVZ

8SOLQN SDFNHW WUDQVPLVVLRQ WKHQ SURFHHGV )LJXUH  VKRZV WKH PHVVDJH VHTXHQFH IRU SDFNHW GDWD WUDQVIHU

3:4 
 6HS 
*356 GDWD WUDQVIHU SURFHVVLQJ &KDSWHU  &DOO SURFHVVLQJ

)LJXUH  8SOLQN SDFNHW GDWD WUDQVIHU

06 %66

'$7$ %/2&. 3'7&+

'$7$ %/2&. 3'7&+

'$7$ %/2&. 3'7&+

83/,1. 7(0325$5< 3$&.(7 $&.1$&. 3$&&+

'$7$ %/2&. 3'7&+

'$7$ %/2&. 3'7&+

3$&.(7 5(6285&( 5($66,*10(17 3$&&+

3$&.(7 5(6285&( 5($66,*10(17 $&. 3$&&+

'$7$ %/2&. 3'7&+

'$7$ %/2&.  /$67 3'7&+

),1$/ 3$&.(7 $&.1$&. 3$&&+

$&.12:/('*(0(17 )25 3$&.(7 $&. 3$&&+

WL*607',:HSVVZ

'\QDPLF DOORFDWLRQ PRGH


,Q G\QDPLF DOORFDWLRQ PRGH WKUHH 8SOLQN 6WDWH )ODJ 86) ELWV DUH WUDQVPLWWHG LQ HYHU\ GRZQOLQN EORFN
7KURXJK WKHVH 86) ELWV WKH QHWZRUN LQVWUXFWV RQH RI WKH 06V VKDULQJ D WLPHVORW WR WUDQVPLW GDWD RQ
WKH XSOLQN 06V PRQLWRU WKH FKDQQHO IRU WKHLU LQVWUXFWLRQ WR WUDQVPLW 7KH DGYDQWDJH RIIHUHG E\ G\QDPLF
DOORFDWLRQ PRGH LV IOH[LELOLW\ LQ WKH DVVLJQPHQW RI WKH DLU LQWHUIDFH UHVRXUFH

 3:4
 6HS 
7HFKQLFDO 'HVFULSWLRQ %66 ,PSOHPHQWDWLRQ *356 GDWD WUDQVIHU SURFHVVLQJ

06 WHUPLQDWHG SDFNHW WUDQVIHU

3DJLQJ DQG DFNQRZOHGJHPHQW


7KH SURFHVV EHJLQV ZLWK WKH %66 VHQGLQJ D *356 SDJLQJ UHTXHVW PHVVDJH RQ WKH 3DJLQJ &KDQQHO
3&+  7KLV PHVVDJH FRQWDLQV WKH 3DFNHW 706, 3706,  RU WKH 7//, RU WKH ,06, ,I WKH 06
LV LQ VWDQGE\ PRGH LW UHVSRQGV ZLWK D SDFNHW FKDQQHO UHTXHVW ZKLFK FRQWDLQV WKH 7//, DQG D
FRPSOHWH //& IUDPH 7KH 06 LV WKHQ NQRZQ WR EH LQ WKH UHDG\ VWDWH ,I WKH 06 LV DOUHDG\ LQ WKH
UHDG\ VWDWH D SDFNHW UHVRXUFH DVVLJQPHQW PHVVDJH LV VHQW VWUDLJKW DZD\
7KH 06 WKHQ LQLWLDWHV DQ XSOLQN 7%) DQG VHQGV D KLJKHU OD\HU SURWRFRO PHVVDJH WR DFNQRZOHGJH WKH 7%)
)LJXUH  VKRZV WKH PHVVDJH VHTXHQFH

)LJXUH  06 WHUPLQDWHG SDFNHW WUDQVIHU

06 %66

3$&.(7 3$*,1* 5(48(67 3&+

3$&.(7 &+$11(/ 5(48(67 5$&+

3$&.(7 ,00(',$7( $66,*10(17 $*&+

83/,1. 7%)  //& )5$0( 3'&+

WL*607',:HSVVZ

$ 7HPSRUDU\ %ORFN )ORZ 7%) LV D ORJLFDO FRQQHFWLRQ XVHG E\ WKH 06 WRIURP WKH 3&
WR VXSSRUW WKH XQLGLUHFWLRQDO WUDQVIHU RI /RJLFDO /LQN &RQWURO //& 3URWRFRO 'DWD 8QLWV
3'8V RQ SDFNHW GDWD SK\VLFDO FKDQQHOV 7KH 7%) LV DOORFDWHG UDGLR UHVRXUFH RQ RQH RU
PRUH 3'&+V DQG FRPSULVHV D QXPEHU RI 5DGLR /LQN &RQWURO0HGLXP $FFHVV &RQWURO
5/& 0$& EORFNV FDUU\LQJ RQH RU PRUH //& 3'8V $ 7%) LV WHPSRUDU\ DQG PDLQWDLQHG
RQO\ IRU WKH GXUDWLRQ RI WKH GDWD WUDQVIHU WKDW LV WR VD\ XQWLO WKHUH DUH QR PRUH 5/&0$&
EORFNV WR EH WUDQVPLWWHG DQG LQ 5/& DFNQRZOHGJHG PRGH DOO RI WKH WUDQVPLWWHG 5/&0$&
EORFNV KDYH EHHQ VXFFHVVIXOO\ DFNQRZOHGJHG E\ WKH UHFHLYLQJ HQWLW\ 

3:4 
 6HS 
*356 GDWD WUDQVIHU SURFHVVLQJ &KDSWHU  &DOO SURFHVVLQJ

'RZQOLQN GDWD WUDQVIHU


7KH PHVVDJH VHTXHQFH LQ )LJXUH  VKRZV WKH SDFNHW IORZ IRU PXOWLVORW GRZQOLQN GDWD WUDQVIHU
ZLWK UHVRXUFH UHDVVLJQPHQW DQG 5/& GDWD EORFN WUDQVPLVVLRQV ,I WKH %66 UHFHLYHV DQ //& IUDPH
IURP D *61 WKH %66 DVVXPHV WKDW WKH 06 LV LQ WKH UHDG\ VWDWH DQG WUDQVPLWV WKH GDWD WR WKH 06
(DFK 5/& EORFN FRQWDLQV D 7HPSRUDU\ )ORZ ,GHQWLILHU 7), WKDW XQLTXHO\ LGHQWLILHV HDFK 7HPSRUDU\
%ORFN )ORZ 7%)  7KLV DOORZV PRUH WKDQ RQH 06 WR XVH WKH VDPH 3'7&+
2Q UHOHDVH RI WKH UHVRXUFH GXULQJ GRZQOLQN WUDQVIHU WKH %66 WHUPLQDWHV WKH WUDQVIHU DQG SROOV WKH 06
IRU D ILQDO SDFNHW $&.1$&. PHVVDJH $V VRRQ DV WKLV LV UHFHLYHG IURP WKH 06 WKH JXDUG WLPHU
H[SLUHV WKH DVVLJQPHQW LV IUHHG DQG WKH 86) DQG 7), DUH DYDLODEOH IRU UHXVH

)LJXUH  'RZQOLQN SDFNHW GDWD WUDQVIHU

06 %66
,00(',$7( $66,*1 &&&+

3$&.(7 '2:1/,1. $66,*1 3$&&+

'$7$ %/2&. 3'7&+

'$7$ %/2&. 3'7&+

'$7$ %/2&.  32//,1* 3'7&+

3$&.(7 '2:1/,1. $&.1$&. 3$&&+

'$7$ %/2&. 3'7&+

'$7$ %/2&. 3'7&+

'$7$ %/2&. 3'7&+

'$7$ %/2&.  /$67 32//,1* 3$&&+

),1$/ '2:1/,1. 3$&.(7 $&.1$&. 3$&&+

WL*607',:HSVVZ

*356 RQH SKDVH DFFHVV

*356 RQH SKDVH XSOLQN 7%) DFFHVV LV DQ LPSURYHPHQW RYHU WKH WZR SKDVH XSOLQN 7%) DFFHVV SURFHGXUH
,Q D *356 RQH SKDVH XSOLQN 7%) DFFHVV WKH 06 LQLWLDWHV DQ XSOLQN 7%) E\ VHQGLQJ D 5DQGRP
$FFHVV &KDQQHO 5$&+ WR WKH %66 7KH 5$&+ LV UHFHLYHG DW WKH %76 ZKLFK LV WKHQ IRUZDUGHG
WR WKH 3&8 7KH 3&8 UHVSRQGV WR WKH 5$&+ ZLWK DQ ,PPHGLDWH $VVLJQPHQW PHVVDJH FRQWDLQLQJ

 3:4
 6HS 
7HFKQLFDO 'HVFULSWLRQ %66 ,PSOHPHQWDWLRQ *356 GDWD WUDQVIHU SURFHVVLQJ

DQ XSOLQN DVVLJQPHQW 7KH 06 PRYHV WR WKH DVVLJQHG 3DFNHW 'DWD 7UDIILF &KDQQHO 3'7&+ DQG
EHJLQV LWV XSOLQN GDWD WUDQVIHU 7KLV SURFHGXUH DOORZV WKH 06 WR JDLQ DFFHVV WR WKH QHWZRUN PXFK
TXLFNHU ZKHQ FRPSDULQJ DJDLQVW WKH WZR SKDVH HVWDEOLVKPHQW SURFHGXUH
)LJXUH  VKRZV D WLPH FRPSDULVRQ EHWZHHQ WZR SKDVH DFFHVV DQG RQH SKDVH *356 DFFHVV

)LJXUH  *356 WZR SKDVH DQG RQH SKDVH DFFHVV

3:4 
 6HS 
*356 GDWD WUDQVIHU SURFHVVLQJ &KDSWHU  &DOO SURFHVVLQJ

(QKDQFHG *356 RQH SKDVH DFFHVV

7KH HQKDQFHG *356 RQH SKDVH XSOLQN 7%) DFFHVV SURFHGXUH VSHHGV XS WKH RQH
SKDVH SDFNHW DFFHVV SURFHGXUH HYHQ IXUWKHU
7KH HQKDQFHG *356 RQH SKDVH DFFHVV SURFHGXUH LPSURYHV 3&8 DVVLJQPHQW RI UHVRXUFHV IRU D RQH SKDVH
XSOLQN 7%) E\ HQDEOLQJ WKH %76 WR UHDFW PRUH TXLFNO\ WR D RQH SKDVH 5$&+ ZLWKRXW IRUZDUGLQJ WKH
5$&+ WR WKH 3&8 7KLV REYLDWHV 56/ GHOD\ DQG LQFUHDVLQJ 56/ ORDG 'HSHQGLQJ RQ WKH 56/ ORDG
WKH 5$&+ WR ,PPHGLDWH $VVLJQPHQW GHOD\ UHGXFHV E\ DSSUR[LPDWHO\  PV RU PRUH
7KHUH DUH WZR YHUVLRQV RI HQKDQFHG *356 RQH SKDVH DFFHVV
‡ ,I WKH 3&8 KDV SUHDOORFDWHG UHVRXUFHV DW WKH %76 DQG WKH SUHDOORFDWHG WLPHVORW
LV QRW LQ WKH 86) DFWLYH VWDWH WKH WLPHVORW EURDGFDVWV WKH FRUUHVSRQGLQJ 8SOLQN
6WDJH )ODJ 86)  RQFH LW NQRZV WKDW D 06 KDV PRYHG WR WKH SUHDOORFDWHG WLPHVORW
7KLV SURFHVV LV VKRZQ LQ )LJXUH  GLDJUDP $

‡ ,I WKH 76 WKDW ZDV SUHDOORFDWHG E\ WKH 3&8 LV LQ WKH 86) DFWLYH VWDWH WKH WLPHVORW
EURDGFDVWV D YDOLG 86) FRQWLQXRXVO\ DV VKRZQ LQ )LJXUH  GLDJUDP % 2QFH DQ 06
PRYHV WR WKH SUHDOORFDWHG WLPHVORW DIWHU WKH 06 UHFHLYHV WKH ,PPHGLDWH $VVLJQPHQW
PHVVDJH  WKH 06 UHFHLYHV WKH DVVLJQHG 86) LPPHGLDWHO\ 7KLV LV WKH HDUOLHVW SRVVLEOH
RSSRUWXQLW\ IRU WKH 06 WR WUDQVPLW LQ WKH XSOLQN 7KH RQO\ GHOD\ EHWZHHQ WKH ,PPHGLDWH
$VVLJQPHQW PHVVDJH DQG WKH XSOLQN GDWD WUDQVPLVVLRQ LV WKH 06 UHDFWLRQ WLPH

(QKDQFHG *356 RQH SKDVH DFFHVV PXVW EH XQUHVWULFWHG LQ D QHWZRUN DQG HQDEOHG
E\ WKH HRSBHQDEOHG GDWDEDVH SDUDPHWHU

)LJXUH  (QKDQFHG *356 RQH SKDVH DFFHVV VKRZLQJ WLPHVORW 86) VWDWH

 3:4
 6HS 
7HFKQLFDO 'HVFULSWLRQ %66 ,PSOHPHQWDWLRQ *356 GDWD WUDQVIHU SURFHVVLQJ

,Q DQ\ FHOO DOO WLPHVORWV WKDW DUH FRQILJXUHG RQ WKH %URDGFDVW &RQWURO &KDQQHO %&&+ FDUULHU DV 3'7&+V
DQG KDYH SUHDOORFDWHG UHVRXUFHV ZLOO DOZD\V EH LQ WKH 86) DFWLYH VWDWH ,Q WKH VDPH FHOO WKH H[LVWLQJ
SHU FHOO GDWDEDVH SDUDPHWHU WVBLQBXVIBDFWLYH FDQ EH XVHG WR FRQWURO WKH QXPEHU RI QRQ%&&+ FDUULHU
WLPHVORWV WKDW DUH LQ WKH 86) DFWLYH VWDWH 7LPHVORWV LQ WKH 86) DFWLYH VWDWH RQ D QRQ%&&+ FDUULHU FDXVH
DGGLWLRQDO LQWHUIHUHQFH LQ WKH V\VWHP VLQFH LW ZLOO EH EURDGFDVWLQJ FRQWLQXRXVO\
7KH SNWBUDGLRBW\SH IRU %&&+ SDUDPHWHU LV DOVR VLJQLILFDQW ZKHQ FRQILJXULQJ WKH %66 IRU XVH
ZLWK HQKDQFHG RQHSKDVH DFFHVV %HFDXVH DOO WLPHVORWV RQ WKH %&&+ EURDGFDVW DW IXOO SRZHU LW LV
UHFRPPHQGHG WKDW WKLV SDUDPHWHU LV XVHG WR VHW WKH %&&+ FDUULHU IRU *356 VR WKDW WKH QXPEHU
RI WLPHVORWV LQ D FHOO WKDW DUH LQ WKH 86) DFWLYH VWDWH LV PD[LPL]HG

7KH QXPEHU RI SUHDOORFDWHG UHVRXUFHV LQ DQ\ JLYHQ FHOO LV GHWHUPLQHG E\ WKH VL]H
RI FHOO DV ZHOO DV WKH FXUUHQW ORDG RI WKH V\VWHP

(*356 RQH SKDVH DFFHVV

^`
)RU (*356 WKH %66 VXSSRUWV WKH IROORZLQJ
‡ 2QH SKDVH DFFHVV IRU (*356 PRELOHV RQO\ ZKHQ WKH %&&+ 57) LV PDSSHG WR &78

‡ :KHQ WKH %&&+ 57) LV PDSSHG WR D &78 WKH FKDQQHO FRGHU VXSSRUWV GHWHFWLRQ RI
76 RU 76 WUDLQLQJ VHTXHQFH DVVRFLDWHG ZLWK WKH ELW (*356 SDFNHW FKDQQHO UHTXHVW
LUUHVSHFWLYH RI EDFNKDXO FRQILJXUDWLRQ GHQVLW\ RI WKH FDUULHU RU H[WHQGHGUDQJH PRGH
RI WKH %&&+ WLPHVORW 7KH FKDQQHO FRGHU LQGLFDWHV WR WKH 3&8 LQ WKH XSOLQN 35$&+
75$8 IUDPHV WKH WUDLQLQJ VHTXHQFH XVHG WR GHFRGH WKH ELW FKDQQHO UHTXHVW ZKLFK
LQGLFDWHV WKH PRELOH VXSSRUW RI 36. FKDQQHO FRGLQJ RQ WKH XSOLQN

‡ 5HFHSWLRQ RI WKH (*356 3$&.(7 &+$11(/ 5(48(67 PHVVDJH RQ WKH 3&&&+ RQ &78V

‡ 5HFHSWLRQ RI WKH (*356 3$&.(7 &+$11(/ 5(48(67 PHVVDJH RQ WKH &&&+ RQ &78V

‡ ELW (*356 3DFNHW &KDQQHO 5HTXHVW RQ WKH &&&+ XVLQJ WUDLQLQJ


VHTXHQFH FRGHV 76 DQG 76

‡ ELW (*356 SDFNHW FKDQQHO UHTXHVW RQ WKH 3&&&+ XVLQJ WUDLQLQJ


VHTXHQFH FRGHV 76 DQG 76

‡ (*356 3DFNHW &KDQQHO 5HTXHVW ZLWK WUDLQLQJ VHTXHQFH FRGH 76 LQGLFDWLQJ
 36. FDSDELOLWLHV LQ WKH XSOLQN

3:4 
 6HS 
*356 GDWD WUDQVIHU SURFHVVLQJ &KDSWHU  &DOO SURFHVVLQJ

‡ (*356 3DFNHW &KDQQHO 5HTXHVW ZLWK WUDLQLQJ VHTXHQFH FRGH 76 LQGLFDWLQJ
QR 36. FDSDELOLW\ LQ WKH XSOLQN
7KH %66 UHVSRQGV WR DQ (*356 3DFNHW &KDQQHO 5HTXHVW PHVVDJH RQ WKH 3&&&+ RI
IRUPDW 2QH 3KDVH $FFHVV 5HTXHVW 6KRUW $FFHVV 5HTXHVW DQG 00 VLJQDOOLQJ ZLWK D
3DFNHW 8SOLQN $VVLJQPHQW PHVVDJH LQGLFDWLQJ G\QDPLF DOORFDWLRQ
7KH %66 UHVSRQGV WR DQ (*356 3DFNHW &KDQQHO 5HTXHVW PHVVDJHV RQ WKH &&&+ RI
IRUPDW 2QH 3KDVH $FFHVV 5HTXHVW 6KRUW $FFHVV 5HTXHVW DQG 00 VLJQDOOLQJ ZLWK DQ
,PPHGLDWH $VVLJQPHQW PHVVDJH LQGLFDWLQJ G\QDPLF DOORFDWLRQ
7KH %66 VHQGV DQ ,PPHGLDWH $VVLJQPHQW PHVVDJH ZLWK D VLQJOH EORFN DOORFDWLRQ LQ UHVSRQVH
WR DQ (*356 3DFNHW &KDQQHO 5HTXHVW RI IRUPDW WZR SKDVH DFFHVV RQ WKH &&&+
7KH %66 VHQGV D 3DFNHW 8SOLQN $VVLJQPHQW PHVVDJH ZLWK D VLQJOH EORFN DOORFDWLRQ LQ UHVSRQVH
WR DQ (*356 3DFNHW &KDQQHO 5HTXHVW RI IRUPDW WZR SKDVH DFFHVV RQ WKH 3&&&+
,Q WKH ,PPHGLDWH $VVLJQPHQW WKH VLQJOH EORFN DOORFDWLRQ LV LQGLFDWHG E\ VHWWLQJ WKH
0XOWL %ORFN $OORFDWLRQ ,( WR ¶ ¶ ,Q WKH 3DFNHW 8SOLQN $VVLJQPHQW WKH VLQJOH EORFN
DOORFDWLRQ LV LQGLFDWHG E\ VHWWLQJ WKH 0XOWL %ORFN $OORFDWLRQ ,( WR ¶ ¶ :KHQ WKH %66
VHQGV WKH ,PPHGLDWH $VVLJQPHQW PHVVDJH LQ UHVSRQVH WR D (*356 3DFNHW &KDQQHO
5HTXHVW PHVVDJH WKH 5HTXHVW 5HIHUHQFH ,( LV VHW WR WKH YDOXH         LQGLFDWLQJ
WKDW WKH H[WHQGHG 5$ ILHOG LV LQFOXGHG LQ WKH ,$ 5HVW 2FWHWV
7KH %66 FRQVLGHUV WKH PXOWLVORW FODVV IURP WKH (*356 3DFNHW &KDQQHO 5HTXHVW IRU RQH SKDVH
DFFHVV UHTXHVW UHFHLYHG RQ WKH &&&+ RU 3&&&+ ZKHQ DOORFDWLQJ UHVRXUFHV
7KH %66 FRQVLGHUV WKH PRELOH WR EH D JSUVBFRPPRQBPVBFODVV PRELOH VWDWLRQ
LI PXOWLVORW FODVV LV QRW LQFOXGHG LQ WKH (*356 3DFNHW &KDQQHO 5HTXHVW IRU DOO
RWKHU DFFHVV W\SHV H[FHSW RQH SKDVH DFFHVV
7KH %66 LJQRUHV DQ (*356 3DFNHW &KDQQHO 5HTXHVW LI WKH DFFHVV W\SH RI WKH
3DFNHW &KDQQHO 5HTXHVW PHVVDJH LV XQNQRZQ

‡ (QKDQFHG 2QH 3KDVH DFFHVV RQ *356 FDUULHUV RQO\

 3:4
 6HS 
7HFKQLFDO 'HVFULSWLRQ %66 ,PSOHPHQWDWLRQ *356 GDWD WUDQVIHU SURFHVVLQJ

‡ (*356 FDSDELOLWLHV LQ WKH 3DFNHW 5HVRXUFH 5HTXHVW GXULQJ WZRSKDVH DFFHVV


7KH %66 GRHV QRW VXSSRUW (QKDQFHG 2QH 3KDVH DFFHVV IRU (*356 PRELOHV UHTXHVWLQJ RQHSKDVH
DFFHVV 7KH %66 GRHV QRW SUHDOORFDWH (QKDQFHG 2QH 3KDVH UHVRXUFHV RQ D . (*356 FDUULHU
7KH %66 VHUYLFHV DQ (3&5 UHTXHVWLQJ RQHSKDVH DFFHVV VKRUWDFFHVV RU
00 VLJQDOOLQJ LQ WKH IROORZLQJ RUGHU
ƕ $OORZ WKH 3&8 WR SURFHVV WKH (3&5 LI WKH VLWH¶V 56/ V KDYH EDQGZLGWK
IRU WKH DGGLWLRQDO *356(*356 WUDIILF

ƕ 8WLOL]H DYDLODEOH UHVHUYHG 355 EORFNV

ƕ 'LVFDUG (3&5

7KH %66 VHUYLFHV DQ (3&5 UHTXHVWLQJ WZRSKDVH DFFHVV LQ WKH IROORZLQJ RUGHU
ƕ 8WLOL]H DYDLODEOH UHVHUYHG 355 EORFNV

ƕ $OORZ WKH 3&8 WR SURFHVV WKH 5$&+(3&5 LI WKH VLWH¶V 56/ V KDYH
EDQGZLGWK IRU WKH DGGLWLRQDO *356(*356 WUDIILF

ƕ 'LVFDUG (3&5

7KH %66 XVHV D GLIIHUHQW SULRULW\ VFKHPH WR VHUYLFH DQ (3&5 GHSHQGLQJ RQ WKH W\SH
RI UHTXHVW VSHFLILHG 7KH PHWKRG E\ ZKLFK WKH %66 ZLOO DWWHPSW WR VHUYLFH DQ (*356
UHTXHVW IRU RQHSKDVH SDFNHW DFFHVV LV GLIIHUHQW WKDQ WKH PHWKRG WKH %66 ZLOO XVH LQ
DQ DWWHPSW WR VHUYLFH DQ (*356 UHTXHVW IRU WZRSKDVH SDFNHW DFFHVV
7KH %66 WKURWWOHV (3&5V 8SOLQN ,$V DQG 'RZQOLQN ,$V RYHU WKH 56/ V IRU HDFK (*356
FDSDEOH FHOO RQ D VLWH 7KH WKURWWOLQJ LV EDVHG RQ WKH SHUFHQW RI 56/ V DOORZHG IRU *356
VLJQDOOLQJ WUDIILF DQG WKH VXP RI WKH (3&5 DQG *356 5$&+ DUULYDO UDWH DW HDFK FHOO
7KHUH LV LQGHSHQGHQW WKURWWOLQJ IRU ERWK WKH 8/ DQG '/ (3&5 PHVVDJHV WKDW QHHG WR
EH SDVVHG WKURXJK WR WKH 3&8 IRU SURFHVVLQJ ZLOO EH GLVFDUGHG ZKHQ WKH *356 5$&+
(3&5 WKURWWOH WKUHVKROG LV UHDFKHG :KHQ WKH %66 UHFHLYHV D &KDQQHO 5HTXHVW IRU (*356
UHVRXUFHV DQG WKH 3&8 FDQQRW DVVLJQ WKH PRELOH UHVRXUFHV EHFDXVH WKH OLQNV WR WKH %76
KDYH UHDFKHG *356(*356 FDSDFLW\ WKH &KDQQHO 5HTXHVW LV GLVFDUGHG
7KH SHUFHQWDJH RI WKH 56/ EDQGZLGWK JLYHQ WR HDFK FHOO IRU *356(*356 PHVVDJHV LV
GHWHUPLQHG E\ WKH QXPEHU RI *356 HQDEOHG FHOOV DW WKH VLWH WKH QXPEHU RI *356 DQG
(3&5V UHFHLYHG DW HDFK FHOO DQG WKH SHUFHQWDJH RI WKH 56/ EDQGZLGWK DYDLODEOH IRU DOO
*356(*356 PHVVDJLQJ DW WKH VLWH ZKLFK LV HTXDO WR   SHUFHQWBWUDIBFV

3:4 
 6HS 
'HOD\HG UHOHDVH RI GRZQOLQN 7%) &KDSWHU  &DOO SURFHVVLQJ

'HOD\HG UHOHDVH RI GRZQOLQN 7%)


Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ

2YHUYLHZ RI GHOD\HG UHOHDVH RI GRZQOLQN 7%)

'HOD\HG UHOHDVH RI GRZQOLQN 7%) LV VRPHWLPHV NQRZQ DV 6XSHUFRDWWDLO


7KH GHOD\HG UHOHDVH RI GRZQOLQN 7%) H[WHQGV WKH GRZQOLQN 7HPSRUDU\ %ORFN )ORZ 7%) IRU D YDULDEOH
SHULRG RI   [  PV %ORFNV WR  VHFRQGV  [  PV %ORFNV E\ WUDQVPLWWLQJ GXPP\ /RJLFDO
/LQN &RQWURO //& IUDPHV %\ GHOD\LQJ WKH GRZQOLQN 7%) UHOHDVH WKHUH LV QR QHHG WR VHQG D QHZ
3DFNHW 'RZQOLQN $VVLJQPHQW 3'$  DOORZLQJ GDWD WR EH VHQW VWUDLJKW DZD\ LQ WKH QH[W EORFN SHULRG
,W DOVR PHDQV WKDW LI WKH 06 XSOLQN QHHGV WR EH HVWDEOLVKHG ZKLOH EHLQJ SROOHG GXULQJ WKH H[WHQGHG
GRZQOLQN 7%) SHULRG WKH &&&+ DQG 5$&+ GR QRW KDYH WR EH DFFHVVHG DQG D FKDQQHO UHTXHVW LQ WKH
'$. PHVVDJH LV VHQW LQVWHDG UHGXFLQJ WKH 8/ 7%) HVWDEOLVKPHQW WLPH E\  PV
7KH GHOD\HG GRZQOLQN 7%) UHOHDVH GXUDWLRQ SDUDPHWHU GHOD\BGOBUHOBGXU DOORZV WKH RSHUDWRU WR VHW WKH
QXPEHU RI EORFNV IRU ZKLFK WKH QHWZRUN GHOD\V WKH UHOHDVH RI D GRZQOLQN 7%) 7KH SDUDPHWHU FDQ WDNH YDOXHV
LQ WKH UDQJH  WR  EORFNV RQH EORFN SHULRG HTXDOV  PV WKH GHIDXOW YDOXH LV  EORFNV  VHFRQG 

%DVLF RSHUDWLRQ

7KH EDVLF DVSHFWV RI 'HOD\HG UHOHDVH RI GRZQOLQN 7%) RSHUDWLRQ DUH


‡ 7%) SHULRG GXUDWLRQ H[WHQGHG IURP  PV WR  VHFRQGV

‡ 'XPP\ //&V FKRSSHG LQWR &6 5/& GDWD EORFNV WR EH VHQW GRZQ

‡ 2Q DUULYDO RI DFWXDO GDWD IURP XSSHU OD\HUV ]HUR '/ 7%) HVWDEOLVKPHQW WLPH
DQG UHGXFHG 8O 7%) HVWDEOLVKPHQW WLPH

%HIRUH WKH GXPP\ //& IUDPHV DUH VHQW DOO SUHYLRXV //&V DUH DFNQRZOHGJHG E\ WKH 06 ,I QR PHDQLQJIXO
GDWD LV VHQW E\ DQ 06 RQ WKH 3' FKDQQHO IRU  VHFRQGV LQWHUIHUHQFH WR RWKHU 06V WUDQVIHUULQJ GDWD FDQ EH
FDXVHG 7R UHGXFH WKLV LQWHUIHUHQFH WKH &RGLQJ 6FKHPH &6  GDWD EORFNV FRUUHVSRQGLQJ WR WKH GXPP\ //&V
DUH RQO\ VHQW RQ WKH 3DFNHW $VVRFLDWHG &RQWURO &KDQQHO 3$&&+ WLPHVORW ZKHQ WKH 06 QHHGV WR EH SROOHG

$FWLYDWLQJ *356 WLPHVORWV

:LWKRXW GHOD\HG UHOHDVH RI GRZQOLQN 7%) FRPPXQLFDWLRQ EHWZHHQ D 5; 06 DQG D


*356 FHOO ZLOO RFFXS\  DFWLYH WLPHVORWV

 3:4
 6HS 
7HFKQLFDO 'HVFULSWLRQ %66 ,PSOHPHQWDWLRQ 'HOD\HG UHOHDVH RI GRZQOLQN 7%)

:KHQ XVLQJ WKH GHOD\HG UHOHDVH IHDWXUH IRU D GRZQOLQN 7%) WKH ILUVW GRZQOLQN 7%) LQ WKH QHZ
FHOO LV H[WHQGHG WR WKH HQG RI WKH FXUUHQW )73 VHVVLRQ 7KHUHIRUH D 5; 06 GRZQOLQN WLPHVORWV
DUH FKDQJHG IURP  WLPHVORWV WR  WLPHVORW GXULQJ FHOO UHVHOHFWLRQ IRU DQ )73 VHVVLRQ 7KH
SURYLVLRQ RI  WLPHVORW WR D 06 HQWHULQJ D QHZ FHOO LV DV SHU GHVLJQ

1HZ 06 LQ WKH FHOO

:KHQ WKH 06 LQLWLDOO\ SHUIRUPV WKH DWWDFK SURFHGXUH WKH GDWD WUDQVIHU LV GRQH XVLQJ D UDQGRP 7//, RU
7//, IURP DQRWKHU FHOO ,Q WKLV VLWXDWLRQ QR GHOD\HG UHOHDVH RI '/ 7%) LV DOORZHG

&KDQJHV LQ VWDWLVWLFV

&KDQJHV LQ QXPEHU RI &6 DQG LGOH EORFNV


‡ 7KH GHOD\HG UHOHDVH RI '/ 7%) GXUDWLRQ LV VHW WR  VHFRQGV  EORFN SHULRGV 

‡ 'XPP\ EORFNV &6 DUH VHQW RXW RQO\ RQ WKH 3$&&+ WLPHVORWV GXULQJ WKH SROOLQJ
SHULRG %HFDXVH RI GLIIHUHQW SROOLQJ GHOD\V WKH QXPEHU RI &6 EORFNV VHQW GRZQ
GXULQJ GHOD\HG UHOHDVH RI '/ 7% GLIIHU DV IROORZV
ƕ ,I QR XSOLQN LV DYDLODEOH IRU WKH 06 GXULQJ GHOD\HG UHOHDVH RI '/ 7%)
WKHQ WKH SROOLQJ GHOD\ LV 

ƕ ,I XSOLQN LV DYDLODEOH IRU WKH VDPH 06 WKHQ WKH SROOLQJ GHOD\ LV 

ƕ LI XSOLQN LV DYDLODEOH IRU D GLIIHUHQW 06 WKHQ WKH SROOLQJ GHOD\ LV 

7KXV WKH PD[LPXP QXPEHU RI &6 EORFNV GXULQJ IXOO GHOD\HG UHOHDVH RI '/
7%) FDQ EH   EORFNV RI &6

&RGLQJ 6FKHPH &6 IRUFHG

,I WKHUH PXOWLSOH EXUVWV    VHFRQGV RI GDWD WUDQVIHU RI GRZQOLQN GDWD DW DQ LQWHUYDO RI DW OHDVW    VHFRQGV
 WUDQVIHUV WKHQ WKHUH ZLOO EH    VHFRQGV RI DFWXDO GDWD WUDQVIHU 7KHUH ZLOO DOVR EH   
VHFRQGV LH ! LI '/ EORFNV DUH &6 HYHQ WKRXJK &6 ZRXOG KDYH EHHQ IRUFHG  %XW LI WKH GDWD WUDQVIHUV
DUH FRQWLQXRXV DQG WKH\ FRQVLVW RI 8'3V WKH SHUFHQWDJH RI &6 EORFNV VKRXOG QRW EH VLJQLILFDQW
,I WKH LQWHUIHUHQFH OHYHO LV KLJK DQG DQ DEQRUPDO 7%) KDV RFFXUUHG GXH WR KLJK %/(5 WKH FRGLQJ
VFKHPH LV IRUFHG WR &6 IRU WKH QH[W WZR 7%)V  7KLV LV EHFDXVH GXH WR GHOD\HG UHOHDVH RI GRZQOLQN
7%) DQ )73 VHVVLRQ ZLOO KDYH RQO\ RQH H[WHQGHG 7%) &6 WKURXJKRXW 

3:4 
 6HS 
(QKDQFHG WZR XSOLQN WLPHVORWV &KDSWHU  &DOO SURFHVVLQJ

(QKDQFHG WZR XSOLQN WLPHVORWV


Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ

^`
(QKDQFHG WZR XSOLQN WLPHVORWV 8/ LPSURYHV 06 *356 SHUIRUPDQFH E\ DVVLJQLQJ XS WR WZR XSOLQN
WLPHVORWV IRU PXOWLVORW FODVV 06V WKDW VXSSRUW PXOWLSOH XSOLQN WLPHVORW DOORFDWLRQ

(QKDQFHG 8/ 7LPHVORW 6FKHGXOLQJ

7KLV IHDWXUH HQDEOHV RSHUDWLRQ RI WZR XSOLQN WLPHVORWV IRU 06 PXOWLVORW FODVVHV WKDW VXSSRUW LW $OO PXOWLVORW
FODVVHV WKDW VXSSRUW PXOWLSOH XSOLQN WLPHVORWV LQ G\QDPLF PRGH DUH PDSSHG WR PXOWLVORW FODVV    RU 
7DEOH  VKRZV WKH 06 PXOWLVORW FODVV PDSSLQJ IRU DOO *356 PXOWLVORW FODVVHV

7DEOH  06 PXOWLVORW FODVV PDSSLQJ IRU DOO *356 PXOWLVORW FODVVHV

0XOWLVORW FODVV 6XSSRUWHG DV PXOWLVORW FODVV


 
  
 
 
  
 
  
      

$GYDQFHG 8SOLQN'RZQOLQN %LDV 'HWHFWLRQ

)RU VRPH PXOWLVORW FODVV 06V WKH PD[LPXP QXPEHU RI XSOLQN DQG GRZQOLQN WLPHVORWV LQ WKH 06V
DOORFDWLRQ LV OHVV WKDQ WKH VXP RI WKH PD[LPXP QXPEHU RI WLPHVORWV WKDW FDQ EH DOORFDWHG LQ DQ LQGLYLGXDO
7%) GLUHFWLRQ 6XFK 06V FDQ EH DOORFDWHG PRUH WLPHVORWV LQ RQH GLUHFWLRQ DW WKH H[SHQVH RI IHZHU
WLPHVORWV LQ WKH RSSRVLWH GLUHFWLRQ 7KLV W\SH RI PXOWLVORW FODVV LV FDOOHG D ELDVDEOH PXOWLVORW FODVV 7KH
(QKDQFHG 7ZR 8SOLQN 7LPHVORWV IHDWXUH VXSSRUWV ELDVDEOH PXOWLVORW FODVVHV  DQG 
2Q UHTXHVW WR FUHDWH D 7HPSRUDU\ %ORFN )ORZ 7%) IRU PXOWLVORW FODVV  RU  06V WKH *356 7%)
6FKHGXOHU *76 DWWHPSWV WR DVVLJQ RQH XSOLQN WLPHVORW XQOHVV LW LV GHWHUPLQHG WKDW WKH 06 IDYRXUV XSOLQN
UHVRXUFH DOORFDWLRQV LQ ZKLFK FDVH WKH *76 ZLOO DWWHPSW WR DVVLJQ WKH PD[LPXP SRVVLEOH QXPEHU RI XSOLQN
WLPHVORWV WR WKH 06 7KH PD[LPXP SRVVLEOH QXPEHU RI XSOLQN WLPHVORWV WKDW WKH *76 PD\ DVVLJQ WR
DQ 06 GHSHQGV RQ WLPHVORW XWLOL]DWLRQ UHVRXUFH DYDLODELOLW\ DQG *356 06 FRQJHVWLRQ

 3:4
 6HS 
7HFKQLFDO 'HVFULSWLRQ %66 ,PSOHPHQWDWLRQ (QKDQFHG WZR XSOLQN WLPHVORWV

,Q WKH FDVH RI RQHSKDVH DFFHVV PXOWLVORW FODVV LV XQNQRZQ GXULQJ LQLWLDO VFKHGXOLQJ 7ZR
XSOLQN WLPHVORWV FDQQRW EH DVVLJQHG XQWLO WKH PXOWLVORW FODVV LV GHWHUPLQHG
,Q D GRZQOLQN GDWD WUDQVIHU 06 WLPHVORW DOORFDWLRQ UHPDLQV GRZQOLQN ELDVHG ,Q DQ XSOLQN GDWD WUDQVIHU RU
VLPXOWDQHRXV XSOLQN DQG GRZQOLQN GDWD WUDQVIHU WKH 06 WLPHVORW DOORFDWLRQ PRYHV IURP GRZQOLQN ELDVHG WR
XSOLQN ELDVHG 7KXV WKH 06 UHVFKHGXOHV WR DQ DOORFDWLRQ RI WKH DSSURSULDWH ELDV HLWKHU XSOLQN RU GRZQOLQN 
)LJXUH  VKRZV WKH PXOWLVORW FODVV  06 XSOLQN ELDV FRQILJXUDWLRQ RI WZR WLPHVORWV LQ ERWK GRZQOLQN
DQG XSOLQN GLUHFWLRQV RU GRZQOLQN ELDV RI WKUHH GRZQOLQN WLPHVORWV DQG RQH XSOLQN WLPHVORW

)LJXUH  0XOWLVORW FODVV  XSOLQNGRZQOLQN ELDV WLPHVORW DOORFDWLRQ

76      

'/

8/

8/ %LDV '/ %LDV


&ODVV  &ODVV 

WL*607',:HSVVZ

)LJXUH  VKRZV PXOWLVORW FODVV  06 XSOLQN ELDV FRQILJXUDWLRQ RI WZR XSOLQN WLPHVORWV DQG WKUHH
GRZQOLQN WLPHVORWV RU GRZQOLQN ELDV RI IRXU GRZQOLQN WLPHVORWV DQG RQH XSOLQN WLPHVORW

)LJXUH  0XOWLVORW FODVV  XSOLQNGRZQOLQN ELDV WLPHVORW DOORFDWLRQ

76        

'/

8/

8/ %LDV '/ %LDV


&ODVV  &ODVV 

WL*607',:HSVVZ

06 PXOWLVORW FODVVHV  DQG  VXSSRUW PXOWLSOH XSOLQN WLPHVORWV KRZHYHU WKHVH 06V GR QRW KDYH WKH
UHVWULFWLRQV RI ELDVDEOH FODVVHV DQG XSOLQNGRZQOLQN ELDVLQJ GRHV QRW DSSO\

3:4 
 6HS 
(QKDQFHG WZR XSOLQN WLPHVORWV &KDSWHU  &DOO SURFHVVLQJ

2Q UHTXHVW WR FUHDWH D 7%) IRU PXOWLVORW FODVV  RU  06V WKH *356 7%) 6FKHGXOHU *76 DWWHPSWV WR DVVLJQ
WKH PD[LPXP SRVVLEOH QXPEHU RI XSOLQN WLPHVORWV WR WKH 06 7LPHVORW XWLOL]DWLRQ UHVRXUFH DYDLODELOLW\ DQG
*356 06 FRQJHVWLRQ UHVWULFW WKH PD[LPXP SRVVLEOH QXPEHU RI XSOLQN WLPHVORWV WKDW WKH *76 PD\ DVVLJQ

,Q WKH FDVH RI RQHSKDVH DFFHVV PXOWLVORW FODVV LV XQNQRZQ GXULQJ LQLWLDO VFKHGXOLQJ 7ZR
XSOLQN WLPHVORWV FDQQRW EH DVVLJQHG XQWLO WKH PXOWLVORW FODVV LV GHWHUPLQHG

 3:4
 6HS 
7HFKQLFDO 'HVFULSWLRQ %66 ,PSOHPHQWDWLRQ (QKDQFHG 6FKHGXOLQJ

(QKDQFHG 6FKHGXOLQJ
Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ

^`

'\QDPLF DOORFDWLRQ RI UHVHUYHG 355 EORFNV

&XUUHQWO\ (23 DQG RQHSKDVH DUH WKH SUHIHUUHG 8/ 7%) HVWDEOLVKPHQW PHWKRGV WZRSKDVH DFFHVV LV RQO\
XVHG LI H[SOLFLWO\ UHTXHVWHG E\ WKH 06 ,Q WZRSKDVH DFFHVV WKH 5$&+ LV SURFHVVHG DW WKH 3&8 DQG WKH
LPPHGLDWH DVVLJQPHQW VHQW GRZQ WKH 56/ WR WKH %76 IRU WUDQVPLVVLRQ WR WKH 06 DV LOOXVWUDWHG LQ )LJXUH 

)LJXUH  7ZR SKDVH DFFHVV SURFHGXUH ZLWKRXW UHVHUYHG EORFNV

,Q DOO FDVHV VLJQDOOLQJ PHVVDJHV DUH H[FKDQJHG EHWZHHQ WKH 3&8 DQG %76 RYHU WKH 56/ DQG WKH VLJQDOOLQJ
OLQNV FDQ JHW RYHUORDGHG LQ KHDY\ WUDIILF FRQGLWLRQV VHH 3HUFHQWDJH RI 56/ EDQGZLGWK UHVHUYHG IRU
FLUFXLW VZLWFKHG WUDIILF  :LWK HQKDQFHG VFKHGXOLQJ ZKHQ WKH 5$&+ DUULYDO UDWH UHDFKHV D FHUWDLQ
WKUHVKROG WKH %76 UHTXHVWV WKH 3&8 WR VHW XS UHVHUYHG 355 EORFNV RQ WKH 3'&+V DOORZLQJ PRUH
5$&+V WR EH KDQGOHG ZLWKRXW XWLOL]LQJ 56/ EDQGZLGWK DV LOOXVWUDWHG LQ )LJXUH 

3:4 
 6HS 
(QKDQFHG 6FKHGXOLQJ &KDSWHU  &DOO SURFHVVLQJ

)LJXUH  7ZR SKDVH DFFHVV SURFHGXUH ZLWK UHVHUYHG EORFNV

2QFH WKH 5$&+ DUULYDO UDWH VXEVLGHV WKHVH UHVHUYHG EORFNV ZLOO EH UHPRYHG 5HVHUYHG 355 EORFNV
DUH 8/ 5/& EORFNV WKDW DUH UHVHUYHG E\ WKH %66 H[SOLFLWO\ IRU 355 WUDQVPLVVLRQ ,W LV SRVVLEOH WR
KDYH D PLQLPXP QXPEHU RI UHVHUYHG 355 EORFNV VXEMHFW WR RSHUDWRU SUHIHUHQFH
7KH QXPEHU RI 355 EORFNV LV OLPLWHG WR WZLFH WKH QXPEHU RI 3'&+V LQ VHUYLFH
RYHU WKH IRXU PXOWLIUDPH SHULRG SHU FHOO
,I 3&&&+ LV HQDEOHG IRU D *356 FHOO WKHQ WKDW FHOO GRHV QRW UHFHLYH DQ\ *356 WUDIILF RYHU WKH
&&&+ 7KHUHIRUH WKHUH LV QR QHHG IRU WKH %66 WR DOORFDWH DQ\ UHVHUYHG 355 EORFNV 5HVHUYHG
355 EORFNV DUH QRW VXSSRUWHG IRU FHOOV WKDW KDYH 3&&&+ HQDEOHG

3ULRULW\ G\QDPLF DOORFDWLRQ VFKHPH

:KHQ WKH %66 UHFHLYHV D *356 5$&+ UHTXHVWLQJ RQHSKDVH SDFNHW DFFHVV D SULRULW\ VFKHPH LV XVHG
WR VHUYLFH WKH 5$&+ ,I DQ (23 7%) H[LVWV IRU WKDW FHOO WKHQ WKH (23 LV XVHG DV WKH ILUVW PHDQV IRU
VHUYLFLQJ WKH 5$&+ ,I QR (23 LV DYDLODEOH DQG WKH 5$&+ WKURWWOH WKUHVKROG KDV QRW EHHQ UHDFKHG WKH
VHFRQG RSWLRQ LV IRU WKH %76 WR SDVV WKH 5$&+ WR WKH 3&8 IRU SURFHVVLQJ ,I D UHVHUYHG EORFN H[LVWV
WKH WKLUG RSWLRQ LV WR WKHQ VHQG DQ ,$ WR WKH 06 VSHFLI\LQJ WKH UHVHUYHG XSOLQN EORFN

(VFDODWLRQ PHWKRG

7KH %66 XVHV DQ HVFDODWLRQ PHFKDQLVP WKDW EDODQFHV 7%) HVWDEOLVKPHQW WLPHV DJDLQVW FDSDFLW\ JDLQV
DV WKH ORDG LQ D FHOO LQFUHDVHV 7KLV EDODQFLQJ PHFKDQLVP EHWZHHQ FDSDFLW\ DQG SHUIRUPDQFH RQ D SHU
FHOO EDVLV LV FRQWUROOHG E\ WKH GDWDEDVH SDUDPHWHUV DV VKRZQ LQ )LJXUH  7KH GDWDEDVH SDUDPHWHU
JSUVBPLQBSUUBEONV VSHFLILHV WKH PLQLPXP QXPEHU RI UHVHUYHG EORFNV DOZD\V VHWXS LQ D FHOO

 3:4
 6HS 
7HFKQLFDO 'HVFULSWLRQ %66 ,PSOHPHQWDWLRQ (QKDQFHG 6FKHGXOLQJ

)LJXUH  1XPEHU RI 355 UHVHUYHG EORFNV DV D IXQFWLRQ RI 5$&+ DUULYDO UDWH

prr_aggr_factor = 4

The change in number of PRR


blocks, in response to RACH
arrival rate, can be rapid or slow,
depending on the value of the
prr_aggr_factor

Number of
PRR blocks

prr_aggr_factor = 0

min_prr_blks
Throttle threshold

Mean RACH arrival rate

7KH VXEVHTXHQW FKDQJHV LQ WKH QXPEHU RI UHVHUYHG EORFNV LQ WKDW FHOO LV SURSRUWLRQDO WR WKH GDWDEDVH
SDUDPHWHU SUUBDJJUBIDFWRU +LJKHU YDOXHV RI WKLV SDUDPHWHU PHDQV D JUHDWHU FKDQJH LQ WKH QXPEHU
RI UHVHUYHG EORFNV IRU HYHU\ XQLW FKDQJH LQ WKH 5$&+ DUULYDO UDWH DQG YLFH YHUVD
,Q D FHOO ZLWK  3'&+V ZLWK DJJUHVVLYHQHVV IDFWRU VHW WR  LI WKHUH DUH HQRXJK 355 EORFNV
WR VXSSRUW WKH FDOFXODWHG PHDQ DFFHVV UDWH RI  355 EORFNV SHU VHFRQG WKHQ WKDW FHOO FDQ
VXSSRUW D SHDN DFFHVV UDWH RI  355 DFFHVVLQJ SHU VHFRQG
355 EORFNV DUH DOORFDWHG RYHU D SHULRG RI IRXU PXOWLIUDPHV DSUR[LPDWHO\ RQH VHFRQG  $V WKHUH DUH HLJKW
355 EORFNV SHU FHOO WKH SHDN DFFHVV UDWH DFKLHYDEOH LV HLJKW 355 EORFNV SHU VHFRQG 7KH QXPEHU RI 355
EORFNV LV OLPLWHG WR WZLFH WKH QXPEHU RI 3'&+V LQ VHUYLFH RYHU WKH IRXU PXOWLIUDPH SHULRG
(23 8/ 7%)V RIIHU WKH VKRUWHVW DFFHVV WLPH EXW DOVR XWLOL]H WKH PRVW DPRXQW RI
56/ EDQGZLGWK DV VKRZQ LQ )LJXUH 

3:4 
 6HS 
(QKDQFHG 6FKHGXOLQJ &KDSWHU  &DOO SURFHVVLQJ

)LJXUH  (QKDQFHG RQH SKDVH DFFHVV SURFHGXUH

2QHSKDVH QRQ(23 7%)V DUH WKH VHFRQG IDVWHVW RSWLRQ DQG XVH VOLJKWO\ OHVV 56/ EDQGZLGWK DV VKRZQ
LQ )LJXUH  &RQYHUVHO\ 7%) HVWDEOLVKPHQW XVLQJ UHVHUYHG EORFNV LPSRVHV WKH OHDVW DPRXQW RI
ORDG RQ 56/ EXW VLQFH WKLV PHWKRG HPSOR\V WZRSKDVH DFFHVV LW LV DOVR WKH VORZHVW

)LJXUH  2QH SKDVH DFFHVV SURFHGXUH

,QFUHDVH QXPEHU RI 06V VHUYLFHG E\ HDFK 353

&XUUHQWO\ HDFK 353 ERDUG FDQ VXSSRUW  06V VLPXOWDQHRXVO\ 7KH PD[LPXP QXPEHU RI
WLPHVORWV SHU 353 ERDUG LV  DQG HDFK WLPHVORW VXSSRUWV D PD[LPXP RI IRXU 06V 7KH WKHRUHWLFDO
PD[LPXP 06V WKDW D 353 ERDUG FDQ VXSSRUW LV  [  

 3:4
 6HS 
7HFKQLFDO 'HVFULSWLRQ %66 ,PSOHPHQWDWLRQ (QKDQFHG 6FKHGXOLQJ

7KH QXPEHU RI 06V VXSSRUWHG LV FXUUHQWO\ IL[HG UHJDUGOHVV RI WKH DSSOLFDWLRQV LQ XVH (QKDQFHG VFKHGXOLQJ
WDNHV WKH XVHU DSSOLFDWLRQ LQWR FRQVLGHUDWLRQ DQG FKDQJHV WKH PD[LPXP QXPEHU RI 06V VXSSRUWHG EDVHG RQ
WKH W\SH RI WUDIILF 7KH %66 RQO\ GHWHFWV WKH 7%)V DQG QRW WKH W\SH RI 06 WUDIILF 7KH %66 HVWLPDWHV WKH W\SH
RI DSSOLFDWLRQ EDVHG RQ WKH DPRXQW RI GDWD WKH 06 KDV WR WUDQVIHU DQG RQ WKH OHQJWK RI WKH 06 VHVVLRQ
2QH RI WKH PDLQ DLPV RI HQKDQFHG VFKHGXOLQJ LV WR GHPRQVWUDWH KLJKHU QXPEHUV RI 06V
DW DQ\ JLYHQ SRLQW DQG WR LQFUHDVH WKH DYHUDJH QXPEHU RI 06V VHUYLFHG SHU VHFRQG 7KLV
LQFUHDVHV WKH RYHUDOO V\VWHP FDSDFLW\ DQG WKURXJKSXW
7KH %66 FDQ KDQGOH D FRPELQDWLRQ RI 06V LQ VKRUW DQG ORQJ *356 VHVVLRQV LI WKH QXPEHU RI
06V LQ VKRUW *356 VHVVLRQ SOXV WKUHH WLPHV WKH QXPEHU RI 06V LQ ORQJ *356 VHVVLRQ LV OHVV
WKDQ WKH PD[LPXP QXPEHU RI DFWLYH 06V VXSSRUWHG SHU 353

*356 VHVVLRQV

$ PRELOH LQLWLDWHG *356 VHVVLRQ LV PHDVXUHG IURP WKH SRLQW D *356 RQHSKDVH 06 5$&+ LV UHFHLYHG
E\ WKH QHWZRUN WR WKH SRLQW WKH ODVW 7%) HQGV IRU WKDW 06 )RU WZRSKDVH PRELOH LQLWLDWHG WUDQVIHU WKH
VHVVLRQ LV PHDVXUHG IURP WKH SRLQW 355 LV UHFHLYHG E\ WKH QHWZRUN WR WKH SRLQW WKH ODVW 7%) HQGV IRU
WKDW 06 ,I WKH QHWZRUN LQLWLDWHV D '/ WUDQVIHU 06 LQ LGOH VWDWH  WKH VHVVLRQ WLPH LV IURP WKH SRLQW WKH
QHWZRUN VHQGV WKH LQLWLDO '/ ,$ RU LQLWLDO 3'$ WR WKH SRLQW WKH ODVW 7%) HQGV IRU WKDW 06
)LJXUH  VKRZV DQ H[DPSOH RI DQ 06 LQLWLDWHG *356 VHVVLRQ RI DQ 06 GRLQJ D :$3
WUDQVIHU ,Q WKLV H[DPSOH WKH 06 *356 VHVVLRQ LV FRQVLGHUHG IURP WKH WLPH 5$&+ LV
UHFHLYHG E\ WKH QHWZRUN DOO WKH ZD\ WR 7 H[SLU\

)LJXUH  *356 VHVVLRQ  :$3 WUDQVIHU H[DPSOH

6KRUW *356 VHVVLRQ


,I DQ 06 KDV EHHQ LQ D *356 VHVVLRQ IRU OHVV WKDQ  VHFRQGV DQG WKH PRELOH KDV WUDQVIHUUHG
 RU IHZHU QHZ GDWD EORFNV H[FOXGLQJ DQ\ GXPP\ EORFNV LQ HDFK 8/ DQG '/ GLUHFWLRQ
WKHQ WKDW 06 LV FRQVLGHUHG WR EH LQ D VKRUW *356 VHVVLRQ

/RQJ *356 VHVVLRQ


,I DQ 06 KDV EHHQ LQ D *356 VHVVLRQ IRU PRUH WKDQ  "  VHFRQGV RU KDV WUDQVIHUUHG
PRUH WKDQ  QHZ GDWD EORFNV H[FOXGLQJ DQ\ GXPP\ EORFNV LQ HLWKHU 8/ RU '/ GLUHFWLRQ
WKHQ WKDW 06 LV FRQVLGHUHG WR EH LQ D ORQJ *356 VHVVLRQ

3:4 
 6HS 
(QKDQFHG 6FKHGXOLQJ &KDSWHU  &DOO SURFHVVLQJ

3HUIRUPDQFH HQKDQFHPHQWV XQGHU ORDG

3HUIRUPDQFH HQKDQFHPHQWV XQGHU ORDG LQWURGXFHV 'HOD\HG 'RZQOLQN 7%) 5HOHDVH ''75
GXUDWLRQ DV D IXQFWLRQ RI FHOO DYDLODELOLW\ 7KLV IXQFWLRQDOLW\ LV DYDLODEOH RQO\ ZKHQ WKH SDUDPHWHU
GGWUBFWUOBHQDEOHG LV HQDEOHG :KHQ FHOO DYDLODELOLW\ LV ORZ WKH ''75 IXQFWLRQDOLW\ UHOHDVHV
06 7%)V ZLWK D ORQJ GXUDWLRQ RI GHOD\HG GRZQOLQN 7%) PRGH 7KLV DFWLRQ GHFUHDVHV WKH
SUREDELOLW\ RI EORFNLQJ QHZ 06V UHTXHVWLQJ DFFHVV LQ D FHOO
3HUIRUPDQFH HQKDQFHPHQWV XQGHU ORDG IHDWXUHV SURDFWLYH DFWLRQ WR PDNH URRP IRU IXWXUH 06V
HQDEOLQJ WKH GGWUBFWUOBHQDEOHG SDUDPHWHU FRXOG SUHYHQW WKH 353 IURP UHDFKLQJ WKH PD[LPXP
QXPEHU RI 06V RQ WKDW ERDUG +RZHYHU LW KHOSV WR LQFUHDVH WKH DYHUDJH QXPEHU RI 06V VHUYLFHG
E\ WKH 353 SHU VHFRQG E\ DYRLGLQJ EORFNLQJ IXWXUH 06V
7KH LQFBSUSBFDSBHQD SDUDPHWHU XVHG WR LQFUHDVH 353 FDSDFLW\ DQG WKH GGWUBFWUOBHQDEOHG SDUDPHWHU XVHG WR
HQDEOH ''75 IXQFWLRQDOLW\ FDQ RQO\ EH HQDEOHG LI WKH ,QFUHDVHG 353 FDSDFLW\ RSWLRQ LV XQUHVWULFWHG

3HUFHQWDJH RI 56/ EDQGZLGWK UHVHUYHG IRU FLUFXLW VZLWFKHG WUDIILF

$ GDWDEDVH SDUDPHWHU LV DGGHG WR DOORZ FRQWURO RI WKH SHUFHQWDJH RI 56/ FDSDFLW\ UHVHUYHG IRU FLUFXLW
VZLWFKHG VLJQDOOLQJ WUDIILF $ WKURWWOLQJ PHFKDQLVP LQWURGXFHG WR OLPLW *356 VLJQDOOLQJ WUDIILF WR WKH
56/ EDQGZLGWK QRW UHVHUYHG IRU FLUFXLW VZLWFKHG VLJQDOOLQJ WUDIILF 7KH 8/ ,$ '/ ,$ DQG (23
HVWDEOLVKPHQW PHVVDJHV DUH WKURWWOHG DV SDUW RI *356 VLJQDOOLQJ LQ WKH '/ GLUHFWLRQ DQG WKH *356
5$&+V DUH WKURWWOHG DV SDUW RI *356 VLJQDOOLQJ LQ WKH 8/ GLUHFWLRQ

 3:4
 6HS 
7HFKQLFDO 'HVFULSWLRQ %66 ,PSOHPHQWDWLRQ *356 WLPHVORW DOORFDWLRQ

*356 WLPHVORW DOORFDWLRQ


Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ

*356 VZLWFKDEOH WLPHVORW IXQFWLRQ

7KH %66 VXSSRUWV UHVHUYHG DQG VZLWFKDEOH *356 WLPHVORWV $ UHVHUYHG *356 7LPH6ORW 76 LV D
WLPHVORW WKDW LV XVHG RQO\ IRU *356 VHUYLFHV $ VZLWFKDEOH *356 WLPHVORW LV D WLPHVORW WKDW FDQ
EH VZLWFKHG EHWZHHQ *356 VHUYLFH DQG FLUFXLW VZLWFKHG VHUYLFH 7KH %66 VXSSRUWV DQ RSHUDWRU
VSHFLILHG QXPEHU RI *356 WLPHVORWV SHU FHOO DQG DQ RSHUDWRU VSHFLILHG QXPEHU RI UHVHUYHG *356
WLPHVORWV SHU FHOO 7KH QHWZRUN RSHUDWRU VSHFLILHG QXPEHU RI UHVHUYHG *356 FDUULHUV SHU FHOO XS WR
 7'0$ IUDPHV IRU *356 SDFNHW GDWD WUDIILF KDQGOLQJ FDSDELOLW\

&RQILJXULQJ VZLWFKDEOH WLPHVORWV

7KH RSHUDWRU LV RIIHUHG WZR RSWLRQV WR FRQILJXUH *356 WLPHVORWV RQ PXOWLSOH *356 FDUULHUV SHU FHOO
‡ &RQILJXUH IRU SHUIRUPDQFH

‡ 2SHUDWRU VSHFLILHG

&RQILJXUH IRU SHUIRUPDQFH


&RQILJXUH IRU SHUIRUPDQFH SURYLGHV WKH QHWZRUN ZLWK WKH FDSDELOLW\ WR FRQILJXUH DOO WKH UHVHUYHG DQG
VZLWFKDEOH *356 WLPHVORWV LQ D FHOO FRQWLJXRXVO\ WR PD[LPL]H SHUIRUPDQFH PLQLPXP FRQWLJXRXV WLPHVORWV
 PD[LPXP FRQWLJXRXV WLPHVORWV   7KH FRQWLJXRXV *356 WLPHVORWV FRQILJXUHG RQ D FDUULHU LQ D FHOO
SURYLGH HDVH LQ VFKHGXOLQJ SDFNHW GDWD DQG WKH FDSDELOLW\ WR VHUYLFH PXOWLSOH WLPHVORW *356 PRELOHV
7DEOH  LV DQ H[DPSOH RI PXOWLSOH *356 FDUULHUV ZKHUH WKH GHIDXOW RSWLRQ FRQILJXUHG IRU
SHUIRUPDQFH LV VSHFLILHG 7KH *356 UHVRXUFHV DUH FRQILJXUHG FRQWLJXRXVO\ RQ *356 FDUULHUV LQ
WKH FHOO WR PD[LPL]H SHUIRUPDQFH 7KH FHOO KDV ILYH *356 FDUULHUV WHQ UHVHUYHG WLPHVORWV DQG
HOHYHQ VZLWFKDEOH WLPHVORWV 7KH ILUVW URZ UHSUHVHQWV WKH %&&+ FDUULHU

7DEOH  0XOWLSOH *356 FDUULHUV ZLWK GHIDXOW RSWLRQ VSHFLILHG

76  76  76  76  76  76  76  76 
%&&+ 6'&&+ 5(6 5(6 5(6 5(6 5(6 5(6
6: 6: 6: 6: 5(6 5(6 5(6 5(6
7&+ 6: 6: 6: 6: 6: 6: 6:
7&+ 7&+ 7&+ 7&+ 7&+ 7&+ 7&+ 7&+
7&+ 7&+ 7&+ 7&+ 7&+ 7&+ 7&+ 7&+

3:4 
 6HS 
*356 WLPHVORW DOORFDWLRQ &KDSWHU  &DOO SURFHVVLQJ

2SHUDWRU VSHFLILHG
7KH RSHUDWRU VSHFLILHG RSWLRQ SURYLGHV FXVWRPHUV ZLWK WKH IOH[LELOLW\ WR FRQILJXUH WKH PD[LPXP DQG PLQLPXP
*356 WLPHVORWV RQ D SHU FDUULHU EDVLV LQ D FHOO 7DEOH  LV DQ H[DPSOH RI *356 WLPHVORWV RQ D FDUULHU
SHU FHOO 7KH FHOO KDV ILYH *356 FDUULHUV WHQ UHVHUYHG WLPHVORWV DQG HOHYHQ VZLWFKDEOH WLPHVORWV 7KH
PD[BJSUVBWVBSHUBFDUULHU HOHPHQW LV VHW WR  7KH ILUVW URZ UHSUHVHQWV WKH %&&+ FDUULHU

7DEOH  *356 WLPHVORWV GLVWULEXWHG RYHU FHOO FDUULHUV

76  76  76  76  76  76  76  76 
%&&+ 6'&&+ 5(6 5(6 5(6 5(6 5(6 5(6
7&+ 7&+ 6: 6: 5(6 5(6 5(6 5(6
7&+ 7&+ 6: 6: 6: 6: 6: 6:
7&+ 7&+ 7&+ 7&+ 7&+ 6: 6: 6:
7&+ 7&+ 7&+ 7&+ 7&+ 7&+ 7&+ 7&+

5HFRQILJXULQJ VZLWFKDEOH WLPHVORWV

:KHQ D FDUULHU WKDW KDV *356 WLPHVORWV JRHV RXW RI VHUYLFH *356 WLPHVORWV ZLOO EH UHFRQILJXUHG RQ
D GLIIHUHQW FDUULHU WKDW VXSSRUWV *356 EDVHG RQ WKH UDGLR UHVRXUFHV DYDLODEOH LQ WKH FHOO
7KH %66 VXSSRUWV XS WR  *356 WLPHVORWV LQ D FHOO D PD[LPXP RI HLJKW RI ZKLFK FDQ UHVLGH LQ WKH
VDPH FDUULHU $W LQLWLDO FRQILJXUDWLRQ *356 WLPHVORWV DUH FRQILJXUHG DV 3'&+V 6ZLWFKDEOH 6:
*356 WLPHVORWV FDQ EH UHFRQILJXUHG DV 6'&&+V :KHQ D UHVHUYHG 5(6 WLPHVORW LV UHFRQILJXUHG
DV DQ 6'&&+ WLPHVORW DQG D *356 VZLWFKDEOH RU D 7&+ WLPHVORW EHFRPHV DYDLODEOH WKH 6'&&+
LV PRYHG WR WKH DYDLODEOH WLPHVORW UHVWRULQJ WKH UHVHUYHG WLPHVORW
7KH %66 ZLOO SUHIHUHQWLDOO\ FKRVH FDUULHUV ZLWK . 75$8 EDFNLQJ ZKHQ FRQILJXULQJ 6'&&+ WLPHVORWV
:KHQ WKH RSHUDWRU LQFUHDVHV WKH UHTXHVWHG QXPEHU RI VZLWFKDEOH 3'&+ WLPHVORWV WKH %66 DOORZV DQ\ FLUFXLW
VZLWFKHG FDOOV WR HQG EHIRUH UHFRQILJXULQJ WKH FLUFXLW VZLWFKHG WLPHVORWV DV *356 WLPHVORWV
,I WKH 7&+ LV LQ XVH DQG WKH RSHUDWRU E\ SURJUDPPDEOH SDUDPHWHU LQGLFDWHV WKDW WKH %66 VKRXOG KDQG RYHU
FLUFXLW VZLWFKHG FDOOV GXH WR UHFRQILJXUDWLRQ WKH %66 DWWHPSWV WR KDQG RYHU WKH FDOO EHIRUH UHFRQILJXULQJ
WKH 7&+ ,I LW LV XQDEOH WR KDQGRYHU WKH FDOO LW ZDLWV XQWLO WKH FDOO HQGV EHIRUH UHFRQILJXULQJ WKH WLPHVORW
,I DOO 7&+ WLPHVORWV RQ WKH *356 FDUULHU DUH LQ XVH WKH UHTXHVW LV DFFHSWHG DQG WKH UHFRQILJXUDWLRQ
SURFHHGV DIWHU WKH FDOOV RQ WKH UHVSHFWLYH WLPHVORWV KDYH EHHQ KDQGHG RYHU RU DIWHU WKH WLPHVORW V DUH
UHOHDVHG 7KH FRQILJXUDWLRQ RI WKH QHZ VZLWFKDEOH 3'&+V ZLOO FRQWLQXH ZKHUH WKH SULRU FRQILJXUDWLRQ
HQGHG ,I QHHGHG D QHZ FDUULHU ZLOO EH IRXQG RQ ZKLFK WR FRQILJXUH WKH VZLWFKDEOH 3'&+V
:KHQ WKH RSHUDWRU GHFUHDVHV WKH QXPEHU RI *356 WLPHVORWV WKH %66 WHUPLQDWHV WKH SDFNHW IORZV RQ
WKRVH 3'&+V DQG UHFRQILJXUHV WKHP DV 7&+V ,I WKH 3'&+ LV LQ XVH WKH %66 WHUPLQDWHV WKH GRZQOLQN
DQG XSOLQN WHPSRUDU\ EORFN IORZV 7%)V DQG LPPHGLDWHO\ UHFRQILJXUHV WKHP WR 7&+V

 3:4
 6HS 
7HFKQLFDO 'HVFULSWLRQ %66 ,PSOHPHQWDWLRQ *356 WLPHVORW DOORFDWLRQ

'\QDPLF VZLWFKLQJ

$ VZLWFKDEOH 3'&+ FDQ EH VWROHQ DW DQ\WLPH IRU XVH E\ D &6 FDOO H[FHSW ZKHQ WKH VZLWFKDEOH 3'&+
WR EH VWROHQ LV WKH ODVW 3'&+ LQ WKH FHOO DQG WKH SURWHFWBODVWBWV SDUDPHWHU LV LQYRNHG :KHQ D
VZLWFKDEOH 3'&+ QHHGV WR EH VWROHQ IRU XVH E\ D &6 FDOO DQG WKH VZLWFKDEOH 3'&+ WR EH VWROHQ LV
WKH ODVW 3'&+ LQ WKH FHOO ZLWK WKH SURWHFWBODVWBWV RQ WKH WLPHVORW LV VWROHQ RQO\ LI WKHUH LV QR GDWD
WUDQVIHU DFWLYH RU TXHXHG IRU WKH WLPHVORW ,I WKHUH DUH DQ\ UHVHUYHG 3'7&+V LQ WKH FHOO WKH VZLWFKDEOH
3'7&+V ZLOO QRW EH SURWHFWHG IURP EHLQJ VWROHQ IRU XVH E\ FLUFXLW VZLWFKHG FDOOV
7KH %66 VXSSRUWV G\QDPLF VZLWFKLQJ EHWZHHQ VZLWFKDEOH 3'7&+V DQG 7&+V HLWKHU ZD\
6ZLWFKDEOH *356 WLPHVORWV DUH VWROHQ VWDUWLQJ ZLWK WKH ORZHVW QXPEHUHG *356 WLPHVORW RQ D FDUULHU LQ RUGHU WR
PDLQWDLQ FRQWLQXRXV *356 WLPHVORWV 7KH %66 VHOHFWV WKH VZLWFKDEOH *356 WLPHVORWV WR EH VWROHQ DV IROORZV
‡ . FDUULHU ZLWK WKH OHDVW QXPEHU RI DYDLODEOH VZLWFKDEOH *356 WLPHVORWV WKH
FDUULHU GRHV QRW FRQWDLQ UHVHUYHG *356 WLPHVORWV 

‡ . FDUULHU ZLWK WKH OHDVW QXPEHU RI DYDLODEOH VZLWFKDEOH *356 WLPHVORWV WKH
FDUULHU FRQWDLQV UHVHUYHG *356 WLPHVORWV 

‡ . FDUULHU ZLWK WKH OHDVW QXPEHU RI DYDLODEOH VZLWFKDEOH *356 WLPHVORWV WKH
FDUULHU GRHV QRW FRQWDLQ UHVHUYHG *356 WLPHVORWV 

‡ . FDUULHU ZLWK WKH OHDVW QXPEHU RI DYDLODEOH VZLWFKDEOH *356 WLPHVORWV WKH
FDUULHU FRQWDLQV UHVHUYHG *356 WLPHVORWV 

7DEOH  VKRZV WKH RUGHU LQ ZKLFK WKH WLPHVORWV ZRXOG EH VWROHQ WKLV LV VKRZQ E\ WKH QXPEHUV
LQ SDUHQWKHVHV 7KH ILUVW URZ UHSUHVHQWV WKH %&&+ FDUULHU 

7DEOH  7LPHVORW VWHDOLQJ RUGHU

76  76  76  76  76  76  76  76 
%&&+ 6'&&+ 5(6 5(6 5(6 5(6 5(6 5(6
6:  6:  6:  6:  5(6 5(6 5(6 5(6
7&+  6:  6:  6:  6:  6:  6:  6: 
7&+ 7&+  7&+  7&+  7&+  7&+  7&+  7&+ 
7&+ 7&+ 7&+ 7&+ 7&+ 7&+ 7&+  7&+ 

,I WKH WLPHVORW LV LQ XVH E\ DQ\ *356 PRELOHV WKH 3&8 UHOHDVHV WKH WLPHVORW DQG EURDGFDVWV WKH UHOHDVH
QRWLILFDWLRQ RQO\ RQ 3$&&+V ZKHUH WKH PRELOHV DUH DVVLJQHG ,I WKLV ZDV WKH RQO\ WLPHVORW LQ XVH E\ WKH
PRELOH DQG WKHUH LV DGGLWLRQDO GRZQOLQN GDWD WR VHQG WKH 06 WKH %66 VHQGV D FKDQQHO DVVLJQPHQW PHVVDJH RQ
WKH $*&+ WR VWDUW D QHZ GRZQOLQN WUDQVIHU ,I WKLV WLPHVORW ZDV WKH RQO\ XSOLQN WLPHVORW WKDW WKH 06 ZDV
XVLQJ WKHQ WKH 3&8 UHOLHV RQ WKH 06 VHQGLQJ D QHZ 5$&+ LQ RUGHU WR VWDUW D QHZ WUDQVIHU
,I WKH QXPEHU RI LGOH 7&+V LV JUHDWHU WKDQ WKDW VHW E\ WKH GDWDEDVH SDUDPHWHU JSUVBUHFRQILJBWKUHVKBLGOHBWFK
DQG WKH RSHUDWRU VHWWDEOH SDUDPHWHU LQWUDBFHOOBKDQGRYHUBDOORZHG LV VHW WKH %66 KDQGV RYHU D &6 FDOO ZKLFK LV
RQ D VWROHQ VZLWFKDEOH 3'&+ WR DQ LGOH 7&+ DQG UHFRQILJXUHV WKH VWROHQ WLPHVORW EDFN WR D VZLWFKDEOH 3'&+
:KHQ D FLUFXLW VZLWFKHG FDOO HQGV RQ D VWROHQ VZLWFKDEOH 3'&+ WLPHVORW WKH %66 RQO\ UHFRQILJXUHV
WKH VWROHQ WLPHVORW EDFN WR D VZLWFKDEOH 3'&+ LI WKH QXPEHU RI LGOH 7&+V LV JUHDWHU WKDQ
WKDW VHW E\ WKH SDUDPHWHU JSUVBUHFRQILJBWKUHVKBLGOHBWFK

3:4 
 6HS 
*356 WLPHVORW DOORFDWLRQ &KDSWHU  &DOO SURFHVVLQJ

:KHQ WKH RSWLRQBHPHUJHQF\BSUHHPSW LV VHW WR HQDEOHG UHJDUGOHVV RI WKH VHWWLQJ RI WKH SURWHFWBODVWBWV
%66 GDWDEDVH SDUDPHWHU HQDEOHG RU GLVDEOHG  WKH %66 LV DEOH WR VWHDO WKH ODVW VZWLWFKDEOH 3'&+ LQ D FHOO
IRU DQ HPHUJHQF\ FDOO ZLWKRXW FKHFNLQJ LI WKHUH LV GDWD WUDQVIHU DFWLYH RU TXHXHG IRU WKH WLPHVORW

5HFRQILJXUDWLRQ RI *356 LQ D &HOO

$ SHUIRUPDQFH DOJRULWKP FDQ EH VSHFLILHG E\ WKH SNWBUDGLRBW\SH SDUDPHWHU WR HQDEOH WKH %66 WR
DWWHPSW WR UHFRQILJXUH *356 WLPHVORWV FRQWLJXRXVO\ RQ *356 FDSDEOH FDUULHUV LQ WKH FHOO 7KH GDWDEDVH
SDUDPHWHU DOVR GHWHUPLQHV ZKHWKHU WKH %&&+ FDUULHU FDQ EH XVHG IRU SDFNHW GDWD

([DPSOH 
:KHQ WKH ILUVW FDUULHU LQ D *356 FHOO JRHV 2XW 2I 6HUYLFH 226  *356 WLPHVORWV ZLOO EH UHGLVWULEXWHG
DQG UHFRQILJXUHG DPRQJ WKH UHPDLQLQJ FDUULHUV LQ WKH FHOO EDVHG RQ WKH YDOXHV LQ WKH GDWDEDVH
SDUDPHWHUV VZBWVBOHVVBRQHBFDUULHU DQG UHVBWVBOHVVBRQHBFDUULHU
7KH UHFRQILJXUDWLRQ DIWHU RQH FDUULHU JRHV 226 ZLOO JLYH SULRULW\ WR WKH FRQILJXUDWLRQ RI 5(6
3'&+ WLPHVORWV MXVW DV GXULQJ LQLWLDO FRQILJXUDWLRQ RI *356 LQ D FHOO 

([DPSOH 
7DEOH  VKRZV D ILYH FDUULHU FHOO FRQILJXUDWLRQ XVLQJ WKH SHUIRUPDQFH DOJRULWKP ZLWK WKH
IROORZLQJ SDUDPHWHUV 7KH ILUVW URZ UHSUHVHQWV WKH %&&+ FDUULHU 
UHVBJSUVBSGFKV 
VZLWFKBJSUVBSGFKV 
SNWBUDGLRBW\SH 

7DEOH  &DUULHU FHOO FRQILJXUDWLRQ

76  76  76  76  76  76  76  76 
%&&+ 6'&&+ 7&+ 7&+ 7&+ 7&+ 7&+ 7&+
5(6 5(6 5(6 5(6 5(6 5(6 5(6 5(6
6: 6: 6: 6: 6: 6: 5(6 5(6
7&+ 6: 6: 6: 6: 6: 6: 6:
7&+ 7&+ 7&+ 7&+ 7&+ 7&+ 6: 6:

,I WKH VHFRQG QRQ%&&+ *356 FDUULHU JRHV RXW RI VHUYLFH LQ WKLV FRQILJXUDWLRQ DQG VZBWVBOHVVBRQHBFU 
DQG UHVBWVBOHVVBRQHBFU  *356 WLPHVORWV LQ WKH FRQILJXUHG LQ WKH FHOO ZLOO EH DV VKRZQ LQ 7DEOH 

7DEOH  6HFRQG QRQ%&&+ FDUULHU 226

76  76  76  76  76  76  76  76 
%&&+ 6'&&+ 7&+ 7&+ 7&+ 7&+ 7&+ 7&+
6: 6: 6: 5(6 5(6 5(6 5(6 5(6
226

 3:4
 6HS 
7HFKQLFDO 'HVFULSWLRQ %66 ,PSOHPHQWDWLRQ *356 WLPHVORW DOORFDWLRQ

7DEOH  6HFRQG QRQ%&&+ FDUULHU 226 &RQWLQXHG


76  76  76  76  76  76  76  76 
6: 6: 6: 6: 6: 6: 6: 6:
7&+ 7&+ 7&+ 7&+ 6: 6: 6: 6:

7KH YDOXH RI VZBWVBOHVVBRQHBFDUULHU FDQ EH OHVV WKDQ JUHDWHU WKDQ RU HTXDO WR WKH
YDOXH RI VZLWFKBJSUVBSGFKV 7KH YDOXH UHVBWVBOHVVBRQHBFDUULHU FDQ EH OHVV WKDQ
JUHDWHU WKDQ RU HTXDO WR WKH YDOXH RI UHVBJSUVBSGFKV
(DFK WLPH D FDUULHU JRHV RXW RI VHUYLFH LQ D FHOO WKH QXPEHU RI UHVHUYHG WLPHVORWV ZLOO GHFUHDVH E\
GUHV UHVBJSUVBSGFKV  UHVBWVBOHVVBRQHBFDUULHU 
DQG WKH QXPEHU RI VZLWFKDEOH WLPHVORWV ZLOO GHFUHDVH E\
GVZLWFK VZLWFKBJSUVBSGFKV  VZBWVBOHVVBRQHBFDUULHU 

([DPSOH 
5HIHU WR 7DEOH  IRU FDUULHU WR 3'&+ UDWLR
UHVBJSUVBSGFKV  UHVBWVBOHVVBRQH FDUULHU  UDWLR 
VZLWFKBJSUVBSGFKV  VZBWVBOHVVBRQHBFDUULHU  UDWLR 
1XPEHU RI FDUULHU LV WKH FHOO DW LQLWLDOL]DWLRQ 

7DEOH  5DWLR RI ,16 FDUULHUV WR 3'&+V

6ZLWFKDEOH 3'&+V
1XPEHU RI FDUULHUV ,16 5HVHUYHG 3'&+V FRQILJXUHG
FRQILJXUHG
  
  
  
  
  

3:4 
 6HS 
*356 WLPHVORW DOORFDWLRQ &KDSWHU  &DOO SURFHVVLQJ

(PHUJHQF\ FDOOV
,I WKH %66 QHHGV WR XVH WKH ODVW *356 WLPHVORW LQ WKH FHOO UHVHUYHG RU VZLWFKDEOH IRU DQ HPHUJHQF\ FDOO LW
UHFRQILJXUHV WKH WLPHVORW IRU WKH HPHUJHQF\ FDOO ZLWKRXW ZDLWLQJ IRU WKH *356 GDWD WUDIILF WR HQG
7KH %66 FDQ UHFRQILJXUH DQ\ *356 WLPHVORW WR FDUU\ HPHUJHQF\ FDOOV ,I DQ HPHUJHQF\ FDOO LV PDGH
DW D FHOO ZLWK D *356 FDUULHU DQG WKH (PHUJHQF\ &DOO 3UHHPSWLRQ IHDWXUH LV HQDEOHG WKH %66 VHOHFWV
WKH DLU WLPHVORW WKDW ZLOO FDUU\ LW IURP WKH IROORZLQJ OLVW LQ RUGHU RI SUHIHUHQFH 
‡ ,GOH 7&+

‡ 6ZLWFKDEOH *356 WLPHVORW IURP ORZHVW WR KLJKHVW 

‡ ,Q XVH 7&+

‡ 5HVHUYHG *356 WLPHVORW IURP ORZHVW WR KLJKHVW 

$ QRQ%&&+ FDUULHU PD\ EH FKRVHQ IRU *356 RU WKH %&&+ FDUULHU PD\ EH XVHG ,I WKH %&&+ FDUULHU LV
FKRVHQ WR VXSSRUW *356 WKHQ WKH QXPEHU RI WLPHVORWV XS WR VHYHQ WKDW PD\ EH XVHG IRU *356 GHSHQGV RQ
WKH QXPEHU RI 6'&&+V RQ WKDW FDUULHU DQG WKH GDWDEDVH SDUDPHWHU FFFKBFRQI 7KH SDUDPHWHU FFFKBFRQI
GHILQHV WKH RUJDQLVDWLRQ RI WKH &&&+V RQ WKH %&&+ ,I D QRQ%&&+ FDUULHU LV FKRVHQ WKHQ XS WR HLJKW VORWV
PD\ EH FRQILJXUHG IRU *356 GHSHQGHQW RQ RWKHU XQUHVWULFWHG IHDWXUHV WKDW DIIHFW WKH FRQILJXUDWLRQ

3%&&+3&&&+ WLPHVORW DOORFDWLRQ

^`
7KH %66 VXSSRUWV RQO\ VWDQGDUG *356 1HWZRUN 2SHUDWLRQ 0RGHV ,, DQG ,,, RQ D 3&8
*356 1HWZRUN 2SHUDWLRQ 0RGH ,, DQG ,,, DUH WKH VDPH RQ WKH &RPPRQ &RQWURO &KDQQHO &&&+  *356
1HWZRUN 2SHUDWLRQ 0RGH ,, LV QRW DSSOLFDEOH RQ D 3DFNHW &RPPRQ &RQWURO &KDQQHO 3&&&+  DQG LV
WKHUHIRUH QRW LPSOHPHQWHG *356 1HWZRUN 2SHUDWLRQ 0RGH ,,, LV DSSOLFDEOH IRU ERWK &&&+ DQG 3&&&+
7KH %66 VXSSRUWV RQH 3DFNHW %URDGFDVW &RQWURO &KDQQHO 3%&&+ RU 3&&&+ WLPHVORW
SHU FHOO FRQILJXUHG RQ WKH %&&+ FDUULHU
7KH 3%&&+3&&&+ IHDWXUH FDQ EH HQDEOHG IRU D FHOO RQO\ LI WKH %&&+ FDUULHU RI WKH FHOO LV
QRQKRSSLQJ 7KH ILUVW DYDLODEOH 3'&+ WLPHVORW WKDW FRQWDLQV WKH 3%&&+3&&&+ WLPHVORW
LV DOZD\V UHVHUYHG ZKHQ 3%&&+3&&&+ LV HQDEOHG IRU D FHOO
7KH %66 PDLQWDLQV DW OHDVW RQH UHVHUYHG 3'&+ WLPHVORW ZKHQ WKH %66 XSGDWHV WKH WRWDO
QXPEHU RI UHVHUYHG *356 WLPHVORWV DFFRUGLQJ WR OLQHDU VFDOLQJ RI *356 WLPHVORWV RQ WKH ORVV
RI D FDUULHU LQ D *356 FHOO ZLWK 3%&&+3&&&+ HQDEOHG
3%&&+3&&&+ WLPHVORWV DUH FRQILJXUHG RQ WKH %&&+ FDUULHU LQ WKH OLVW RI WLPHVORWV GHILQHG
DV 76 76 76 DQG 76 EDVHG RQ WKH FFFKBFRQI VHWWLQJV VR WKDW WKH 3%&&+ GHVFULSWLRQ
FDQ EH LQFOXGHG LQ QHLJKERU FHOO GHVFULSWLRQ OLVW
7KH OLVW IRU WKH 3%&&+3&&&+ WLPHVORW FDQ EH FKDQJHG XSRQ WKH YDOXH RI FFFKBFRQI HOHPHQW DV IROORZV

 3:4
 6HS 
7HFKQLFDO 'HVFULSWLRQ %66 ,PSOHPHQWDWLRQ *356 WLPHVORW DOORFDWLRQ

7DEOH  3%&&+3&&&+ DQG FFFKBFRQI SDUDPHWHU

FFFKBFRQI SDUDPHWHU 3%&&+3&&&+ OLVW RI WLPHVORWV


 76 76 76 76
 76 76 76 76
 76 76 76
 RU  76 76

7KH %66 PD\ UHFRQILJXUH D 3%&&+3&&&+ WLPHVORW WR DQRWKHU WLPHVORW LQ WKH OLVW RQ
WKH VDPH FDUULHU LQ WKH IROORZLQJ VLWXDWLRQV
‡ 7KH FXUUHQW 3%&&+3&&&+ WLPHVORW LV 2XW 2I 6HUYLFH 226 

‡ 7KH FXUUHQW 3%&&+3&&&+ WLPHVORW LV RXW RI V\QFKURQLVDWLRQ IRU PRUH WKDQ WZR VHFRQGV

,I WKH (PHUJHQF\ &DOO 3UHHPSWLRQ IHDWXUH LV XQUHVWULFWHG WKH %66 VHOHFWV WKH DLU LQWHUIDFH WLPHVORW
WR FDUU\ WKH HPHUJHQF\ FDOO IURP WKH IROORZLQJ OLVW PRVW SUHIHUDEOH OLVWHG ILUVW 
‡ ,GOH 7&+

‡ 6ZLWFKDEOH 3'&+

‡ ,QXVH 7&+ RU VWROHQ VZLWFKDEOH 3'&+ EDVHG RQ SULRULW\ RI QRQHPHUJHQF\ FDOOV 

‡ 5HVHUYHG 3'&+

‡ 3%&&+3&&&+ WLPHVORW

7KH %66 DOZD\V IROORZV WKH 6'&&+ SODFHPHQW UXOH LQFOXGLQJ WKH VHWWLQJV RI WKH VGBSULRULW\ DQG VGBORDG
SDUDPHWHUV 6HH Technical Description: BSS Command Reference (68P02901W23) IRU WKHVH SDUDPHWHUV
,I 6'&&+ LV LQ WKH 3%&&+ FDSDEOH WLPHVORW OLVW DQG WKH 6'&&+ WLPHVORW QHHGV WR EH FRQILJXUHG DV WKH
3%&&+ WLPHVORW WKH 6'&&+ FDQ RQO\ EH PRYHG WR WKH FDUULHU LI LW KDV WKH VDPH VGBSULRULW\ DQG WKH
QXPEHU RI 6'&&+ WLPHVORWV RQ WKDW FDUULHU GRHV QRW H[FHHG WKH VGBORDG YDOXH
7KH %66 XQEDUV *356 VHUYLFH IRU D FHOO ZLWK 3%&&+3&&&+ HQDEOHG RQO\ LI WKH
3%&&+3&&&+ WLPHVORW LV DFWLYH LQ WKDW FHOO
7KH %66 WDNHV LQWR DFFRXQW WKH ORDG RI WKH 3%&&+3&&&+ WLPHVORW ZKHQ DOORFDWLQJ UHVRXUFHV IRU
06 RQ XSOLQN DQG GRZQOLQN 7KH 3%&&+3&&&+ WLPHVORW ORDG LV DGMXVWHG VXFK WKDW QR PRUH WKDQ
WZR 06V FDQ EH VFKHGXOHG IRU GDWD WUDQVIHU RQ WKH 3%&&+3&&&+ WLPHVORW
7KH %66 GLVDEOHV HQKDQFHG RQH SKDVH IXQFWLRQDOLW\ LI 3%&&+3&&&+ LV HQDEOHG LQ WKH FHOO
UHJDUGOHVV RI WKH VHWWLQJ RI WKH HRSBHQDEOHG SDUDPHWHU
7KH %66 DFFHSWV DQG SURFHVVHV XSOLQN UHTXHVWV RQ WKH &&&+ LQ D *356 FHOO ZLWK 3%&&+3&&&+ HQDEOHG
7KH %66 VHQGV D QHWZRUNBFRQWUROBRUGHU PHVVDJH WR WKH 06 WR 5(6(7 WKH 1HWZRUN &RQWURO 1&
SDUDPHWHUV WKDW ZHUH UHFHLYHG IURP D SDFNHW PHDVXUHPHQW RUGHU IURP WKH %66 LI WKHUH LV DQ\ FKDQJH LQ
DQ\ 1& SDUDPHWHU WKDW LV QHWZRUNBFRQWUROBRUGHU, QFBUHSRUWLQJBSHULRG, RU QFBUHSRUWLQJBSHULRGBW 
6HH Technical Description: BSS Command Reference (68P02901W23) IRU WKHVH SDUDPHWHUV
7KH %66 ZLOO VXSSRUW WKH 5(6(7 YDOXH RI network_control_order RQ WKH 3$&&+ RU 3&&&+
7KH %66 ZLOO VXSSRUW WKH 5(6(7 YDOXH RI network_control_order RQO\ LQ WKH 3DFNHW 0HDVXUHPHQW
2UGHU PHVVDJH

3:4 
 6HS 
*356 WLPHVORW DOORFDWLRQ &KDSWHU  &DOO SURFHVVLQJ

3%&&+3&&&+ DLU LQWHUIDFH

^`

3%&&+ UHTXLUHPHQWV
7KH %66 VXSSRUWV RQO\ 1RUPDO 3DJLQJ PRGH RQ WKH 3%&&+ DQG WKH 3&&&+
7KH %66 LQGLFDWHV WKH SUHVHQFH RI D 3%&&+ LQ D 6, PHVVDJH RQ WKH %&&+ DQG LQFOXGHV WKH RSWLRQDO
6*615 ,I WKH 3%&&+3&&&+ IHDWXUH EHFRPHV UHVWULFWHG WKH 6, PHVVDJH LV VHQW ZLWKRXW WKH 3%&&+
GHVFULSWLRQ 7KH %66 VHQGV DQ 6,WHU PHVVDJH WR WKH GHGLFDWHG 06V LI 3%&&+3&&&+ LV HQDEOHG
:KHQ DQ 06 PRYHV IURP 3%&&+3&&&+ WR %&&+&&&+ GXULQJ &6 FDOO HVWDEOLVKPHQW WKH
06 GRHV QRW KDYH DQ\ HDUO\ FODVV PDUN LQIRUPDWLRQ IRU WKH PXOWLEDQG VHUYLQJ FHOO 7KH %66
LQFOXGHV WKH SHUVLVWHQFHBOHYHO LQ WKH IROORZLQJ PHVVDJHV
‡ 3DFNHW 'RZQOLQN $VVLJQPHQW

‡ 3DFNHW 'RZQOLQN 'XPP\ &RQWURO %ORFN

‡ 3DFNHW 3DJLQJ 5HTXHVW

‡ 3DFNHW 8SOLQN $VVLJQPHQW

‡ 36,  PHVVDJHV LI 3%&&+3&&&+ WLPHVORW LV XVHG IRU WKH GDWD WUDQVIHU

7KH 3DFNHW 6\VWHP ,QIRUPDWLRQ 36, PHVVDJHV DUH QRW VHJPHQWHG DFURVV PRUH WKDQ RQH 5/&0$&
FRQWURO EORFN 2QO\ 3%&&+ EORFNV DUH XVHG IRU VFKHGXOLQJ 36, PHVVDJHV
7KH 36, PHVVDJH LV VXSSRUWHG RQ WKH 3%&&+ DV IROORZV
7KH VHQGLQJ RI 36,  RQ WKH 3$&&+ WR DOO PRELOHV LQ SDFNHW WUDQVIHU PRGH VXFK WKDW WKH
PRELOHV UHFHLYH 36,  DW OHDVW RQFH HYHU\  VHFRQGV
7KH %66 GHWHUPLQHV SVLBUHSHDWBSHULRG EDVHG RQ HLWKHU WKH SVLBUHSHDWBSHULRG SDUDPHWHU RU WKH QXPEHU RI
3%&&+ EORFNV SHU PXOWLIUDPH EVBSEFFKBEONV DQG WKH QXPEHU RI 36, PHVVDJHV LQFOXGLQJ DOO WKH LQVWDQFHV
7KH %66 FKDQJHV WKH SEFFKBFKDQJHBPDUN ILHOG LQ WKH 36, PHVVDJH LI WKHUH LV D FKDQJH LQ DQ\ 36,
PHVVDJHV H[FHSW 36, LWVHOI 7KH IROORZLQJ RSWLRQDO SDUDPHWHUV DUH VXSSRUWHG E\ WKH %66 LQ 36,
‡ 06&5

‡ 6*615

‡ SHUVLVWHQFHBOHYHO

7DEOH  VKRZV WKH UHVWULFWLRQV IRU WKH 36, PHVVDJH SDUDPHWHUV

7DEOH  36, PHVVDJH SDUDPHWHU UHVWULFWLRQV

3DUDPHWHU QDPH 3DUDPHWHU GHILQLWLRQ


&21752/B$&.B7<3( )RXU DFFHVV EXUVWV
,17B0($6B&+$11(/B/,67B$9$,/ 36, PHVVDJH QRW EURDGFDVW
3E 6HW WR   DOZD\V WUDQVPLW DW VDPH RXWSXW SRZHU RQ
%&&+ UHJDUGOHVV RI 3%&&+ ORFDWLRQ RQ FDUULHU

 3:4
 6HS 
7HFKQLFDO 'HVFULSWLRQ %66 ,PSOHPHQWDWLRQ *356 WLPHVORW DOORFDWLRQ

7DEOH  36, PHVVDJH SDUDPHWHU UHVWULFWLRQV &RQWLQXHG


3DUDPHWHU QDPH 3DUDPHWHU GHILQLWLRQ
$&&B&2175B&/$66 $FFHVV &RQWURO &ODVV IRU DOO  FODVVHV DUH XQEDUUHG
%6B3&&B5(/ 1R &KDQQHO 5HOHDVH ODVW 3'&+ FDUU\LQJ 3%&&+
DQG 3&&&+ LV SHQGLQJ
36,B67$786B,1',&$7,21 7KH 1HWZRUN GRHV QRW VXSSRUW WKH 3$&.(7 36,
67$786 PHVVDJH

7KH IROORZLQJ RSWLRQDO SDUDPHWHUV DUH VXSSRUWHG E\ WKH %66 LQ 36, RQ WKH 3%&&+
‡ &HOO ,GHQWLILFDWLRQ ,( RQO\ LQ WKH ILUVW LQVWDQFH

‡ 1RQ*356 &HOO 2SWLRQV ,( RQO\ LQ WKH ILUVW LQVWDQFH

‡ $GGLWLRQDO 36, PHVVDJHV

‡ (&6&

‡ * (&65

7DEOH  VKRZV WKH UHVWULFWLRQV IRU WKH 36, PHVVDJH SDUDPHWHUV

7DEOH  36, PHVVDJH SDUDPHWHU UHVWULFWLRQV

3DUDPHWHU QDPH 3DUDPHWHU GHILQLWLRQ


121B*60B,1)250$7,21 1RW EURDGFDVW RQ WKH FHOO
36,B%52$'&$67 %URDGFDVW RQ WKH FHOO LI FEFKBHQDEOHG LV VHW WR  
(QDEOHG
36,WHUB%52$'&$67 1RW EURDGFDVW RQ WKH FHOO
36,TXDWHUB%52$'&$67 %URDGFDVW RQ WKH FHOO LI LQWHUBUDWBHQDEOHG LV VHW WR
  (QDEOHG
*356 0RELOH $OORFDWLRQV (PSW\
* (&65 1HLWKHU 875$1 QRU FGPD FODVVPDUN FKDQJH
PHVVDJH VKDOO EH VHQW ZLWK WKH (DUO\ &ODVVPDUN
6HQGLQJ

3:4 
 6HS 
*356 WLPHVORW DOORFDWLRQ &KDSWHU  &DOO SURFHVVLQJ

7KH IROORZLQJ RSWLRQDO SDUDPHWHUV DUH VXSSRUWHG E\ WKH %66 LQ 36, RQ WKH 3%&&+
‡ +&6 6HUYLQJ &HOO 3DUDPHWHUV

‡ +&6 1HLJKERXU &HOO 3DUDPHWHUV

‡ JSUVBU[OHYBDFFHVVBPLQ IRU QHLJKERXU FHOOV

‡ JSUVBPVBW[SZUBPD[BFFK IRU QHLJKERXU FHOOV

‡ JSUVBSHQDOW\BWLPH IRU QHLJKERXU FHOOV

‡ UDBUHVHOHFWBK\VWHUHVLV

‡ JSUVBWHPSRUDU\BRIIVHW

‡ JSUVBUHVHOHFWBRIIVHW

‡ 6, 3%&&+ /RFDWLRQ  LI 3%&&+3&&&+ IHDWXUH XQUHVWULFWHG

7DEOH  VKRZV WKH UHVWULFWLRQV IRU WKH 36, PHVVDJH SDUDPHWHUV

7DEOH  36, PHVVDJH SDUDPHWHU UHVWULFWLRQV

3DUDPHWHU QDPH 3DUDPHWHU GHILQLWLRQ


&(//B%$5B48$/,)<B 9RLFH VXSSRUWHG FHOO EDU LQGLFDWLRQ DFWLYH
&(//B%$5B$&&(66B 6WDWXV IRU FHOO UHVHOHFWLRQ VHW WR QRUPDO
(;&B$&& &HOO QRW XVHG IRU 6XEVFULSWLRQ RI /RFDOLVHG 6HUYLFH
$UHD 6R/6$ H[FOXVLYH DFFHVV

7KH IROORZLQJ RSWLRQDO SDUDPHWHUV DUH VXSSRUWHG E\ WKH %66 LQ 36,ELV


‡ +&6 1HLJKERXU &HOO 3DUDPHWHUV

‡ JSUVBU[OHYBDFFHVVBPLQ IRU QHLJKERXU FHOOV

‡ JSUVBPVBW[SZUBPD[BFFK IRU QHLJKERXU FHOOV

‡ JSUVBSHQDOW\BWLPH IRU QHLJKERXU FHOOV

‡ UDBUHVHOHFWBK\VWHUHVLV

‡ JSUVBWHPSRUDU\BRIIVHW

‡ JSUVBUHVHOHFWBRIIVHW

‡ 6, 3%&&+ /RFDWLRQ  LI 3%&&+3&&&+ IHDWXUH XQUHVWULFWHG

 3:4
 6HS 
7HFKQLFDO 'HVFULSWLRQ %66 ,PSOHPHQWDWLRQ *356 WLPHVORW DOORFDWLRQ

7DEOH  VKRZV WKH UHVWULFWLRQV IRU WKH 36,ELV PHVVDJH SDUDPHWHUV

7DEOH  36,ELV PHVVDJH SDUDPHWHU UHVWULFWLRQV

3DUDPHWHU QDPH 3DUDPHWHU GHILQLWLRQ


1HLJKERXU &HOO SDUDPHWHUV  1RW VXSSRUWHG
&(//B%$5B$&&(66B 6WDWXV IRU FHOO UHVHOHFWLRQ VHW WR QRUPDO
(;&B$&& &HOO QRW XVHG IRU 6XEVFULSWLRQ RI /RFDOLVHG 6HUYLFH
$UHD 6R/6$ H[FOXVLYH DFFHVV

7KH IROORZLQJ RSWLRQDO SDUDPHWHUV DUH VXSSRUWHG E\ WKH %66 LQ 36,TXDWHU


‡ * 1HLJKERXU &HOOV 'HVFULSWLRQ
ƕ IGGBDUIFQ

‡ * 0HDVXUHPHQW 3DUDPHWHUV 'HVFULSWLRQ


ƕ IGGBJSUVBTRIIVHW

ƕ IGGBTPLQ

7KH IROORZLQJ RSWLRQDO SDUDPHWHUV DUH VXSSRUWHG E\ WKH %66 LQ 36, RQ WKH 3%&&+ LI
QFFUBHQDEOHG LV VHW WR  DQG QHWZRUNBFRQWUROBRUGHU LV RQH RI 1& (1& RU 1& 

‡ * 1HLJKERXU &HOOV 'HVFULSWLRQ


ƕ IGGBDUIFQ

7KH IROORZLQJ RSWLRQDO SDUDPHWHUV DUH VXSSRUWHG E\ WKH %66 LQ 36,

‡ 1* 0HDVXUHPHQW 3DUDPHWHUV
ƕ QFBQRQBGU[BSHULRG

ƕ QFBUHSRUWLQJBSHULRGBL

ƕ QFBUHSRUWLQJBSHULRGBW

7KH %66 VXSSRUWV 36, LI FEFKBHQDEOHG LV VHW WR   (QDEOHG

7KH %66 VXSSRUWV 36, PHVVDJH RQ WKH 3%&&+ DV IROORZV


‡ 36, PXVW EH VHQW LQ EORFN % ZKHQ 7& 

‡ ,I WKH YDOXH RI LV JUHDWHU WKDQ  WKH 36, LV DOVR VHQW LQ EORFN  ZKHQ 7& 

:KHUH LV
7& )1 ',9  PRG
36,B5(3($7B3(5,2'

7KH %66 VFKHGXOHV 36, RQ 3%&&+ EHIRUH VFKHGXOLQJ RWKHU 36, PHVVDJHV
7KH %66 VXSSRUWV WKH VHQGLQJ RI DOO RWKHU 36, PHVVDJHV H[FHSW 36, RQ WKH 3%&&+ ZLWK ORZ UHSHWLWLRQ
UDWH 7KH %66 VHQGV WKH RWKHU 36, PHVVDJHV H[FHSW IRU 36, LQ D VHTXHQFH DQG FRQWLQXRXVO\ UHSHDWV XVLQJ
WKH 3%&&+ EORFNV ZKLFK DUH QRW RFFXSLHG E\ 36, PHVVDJH ZLWKLQ HDFK PXOWLIUDPH

3:4 
 6HS 
*356 WLPHVORW DOORFDWLRQ &KDSWHU  &DOO SURFHVVLQJ

7KH %66 VXSSRUWV WKH VHQGLQJ RI 36, PHVVDJHV ZLWKRXW D 3%&&+ GHVFULSWLRQ RQ WKH 3$&&+ WR DOO WKH
06V LQ SDFNHW WUDQVIHU PRGH LI DQG ZKHQ WKH 3%&&+3&&&+ IHDWXUH EHFRPHV UHVWULFWHG
7KH %66 VXSSRUWV WKH RSWLRQDO 6*615 LQIRUPDWLRQ HOHPHQW RQ 36, ,I D 36, PHVVDJH KDV PXOWLSOH
LQVWDQFHV WKH %66 VFKHGXOHV WKH 36, LQVWDQFHV LQ WKH VDPH JURXS RI 36, PHVVDJHV DQG VHQGV WKHP
LQ D VLQJOH VHTXHQFH LQ DVFHQGLQJ RUGHU RI WKH PHVVDJH LQVWDQFH QXPEHU
7KH %66 VFKHGXOHV WKH VDPH 36, PHVVDJH RQO\ RQFH ZLWKLQ D JURXS RI 36, PHVVDJHV 7KH
%66 DSSOLHV WKH FKDQJHV RQ 36, PHVVDJHV H[FHSW IRU D 36, PHVVDJH LQ D JURXS ZKHQ WKH
JURXS LV UHVWDUWHG EHFDXVH DQ\ RI WKH IROORZLQJ FKDQJH
 7KH QXPEHU RI 36, PHVVDJHV LQ D JURXS

 7KH RUGHU RI WKHVH 36, PHVVDJHV LQ D JURXS

 7KH FRQWHQW RI WKHVH 36, PHVVDJHV

3&&&+ UHTXLUHPHQWV
7KH %66 XVHV 3&&&+ EORFNV IRU XVHU GDWD LI WKH 3&&&+ EORFNV DUH DYDLODEOH
7KH %66 VXSSRUWV RQO\ ELW IRUPDW SDFNHW FKDQQHO UHTXHVW RQ WKH 35$&+ DQG LQGLFDWHV
WKH EORFNV XVHG IRU 35$&+ EORFNV E\ LQFOXGLQJ 86) )5(( LQ WKH SUHYLRXV GRZQOLQN
EORFN 6WDWLF DOORFDWLRQ RI 35$&+ EORFNV LV VXSSRUWHG
7KH EORFNV XVHG IRU VWDWLF DOORFDWLRQ RI 35$&+ EORFNV IROORZV WKH RUGHUHG OLVW RI EORFNV GHILQHG DV
% % % % % % % % % % % % 7KH VWDWLF DOORFDWLRQ RI EORFNV XVHG IRU 35$&+
EORFNV GHSHQGV RQ WKH YDOXH RI WKH EVBSUDFKBEONV SDUDPHWHU DV IROORZV

7DEOH  EVBSUDFKBEONV 35$&+ PDSSLQJ

EVBSUDFKBEONV 3%&&+3&&&+ OLVW RI WLPHVORWV


 %
 % %
 % % %
 % % % %
 % % % % %
 % % % % % %
 % % % % % % %
 % % % % % % % %
 % % % % % % % % %
 % % % % % % % % % %
 % % % % % % % % % % %
 % % % % % % % % % % % %

6HH Technical Description: BSS Command Reference (68P02901W23) IRU WKH EVBSUDFKBEONV SDUDPHWHU
7KH %66 VXSSRUWV G\QDPLF DOORFDWLRQ RI 35$&+ EORFNV 7KH EORFNV XVHG IRU G\QDPLF DOORFDWLRQ
RI 35$&+ EORFNV DUH WKH EORFNV WKDW DUH QRW XVHG E\ DQ XSOLQN GDWD EORFN RU D 5/&0$&
FRQWURO PHVVDJH DQG DUH QRW SDUW RI WKH 35$&+ VWDWLF DOORFDWLRQ

 3:4
 6HS 
7HFKQLFDO 'HVFULSWLRQ %66 ,PSOHPHQWDWLRQ *356 WLPHVORW DOORFDWLRQ

7DEOH  VKRZV 3DFNHW 8SOLQN $VVLJQPHQW 38$ W\SHV LQ UHVSRQVH WR D 3DFNHW &KDQQHO 5HTXHVW

7DEOH  3DFNHW 8SOLQN $VVLJQPHQW 38$ DFFHVV W\SHV

3DUDPHWHU QDPH 3DUDPHWHU GHILQLWLRQ


2QH SKDVH DFFHVV UHTXHVW 38$ ZLWK G\QDPLF DOORFDWLRQ
6KRUW DFFHVV UHTXHVW 38$ ZLWK G\QDPLF DOORFDWLRQ
7ZR SKDVH DFFHVV UHTXHVW 38$ ZLWK VLQJOH EORFN DOORFDWLRQ
3DJH UHVSRQVH 38$ ZLWK G\QDPLF DOORFDWLRQ
&HOO XSGDWH 38$ ZLWK G\QDPLF DOORFDWLRQ
00 SURFHGXUH 38$ ZLWK G\QDPLF DOORFDWLRQ
6LQJOH EORFN ZLWKRXW 7%) HVWDEOLVKPHQW 38$ ZLWK VLQJOH EORFN DOORFDWLRQ

7KH %66 WUHDWV WKH PXOWLVORW FODVV IURP WKH 3DFNHW &KDQQHO 5HTXHVW DV RQH SKDVH DFFHVV UHTXHVW
ZKHQ DOORFDWLQJ UHVRXUFHV ,I WKH PXOWLVORW FODVV RI D PRELOH FDQQRW EH GLUHFWO\ VXSSRUWHG
WKH PXOWLVORW FODVV LV UHPDSSHG WR DQRWKHU PXOWLVORW FODVV
,I WKH VXSSRUWHG PXOWLVORW FODVV LQGLFDWHV WKDW WKH 06 VXSSRUWV PXOWLSOH XSOLQN WLPHVORWV WKH %66
DWWHPSWV WR DOORFDWH WKH XSOLQN DOORFDWLRQ ZLWK PXOWLSOH WLPHVORWV +RZHYHU LQ D KLJKO\ ORDGHG
V\VWHP WKH %66 DOORFDWHV WKH XSOLQN DOORFDWLRQ ZLWK RQO\ RQH WLPHVORW
([FHSW IRU RQH SKDVH DFFHVV WKH %66 WUHDWV WKH 06 DV JSUVBFRPPRQBPVBFODVV LI PXOWLVORW FODVV LV
QRW LQFOXGHG LQ WKH 3DFNHW &KDQQHO 5HTXHVW IRU RWKHU DFFHVV W\SHV DV VKRZQ LQ 7DEOH 
,Q UHVSRQVH WR D 3DFNHW &KDQQHO 5HTXHVW PHVVDJH WKH %66 LQFOXGHV WKH VDPH SDFNHW UHTXHVW UHIHUHQFH DV
UHFHLYHG LQ WKH FRUUHVSRQGLQJ 3DFNHW &KDQQHO 5HTXHVW PHVVDJH LQ WKH 3DFNHW 8SOLQN $VVLJQPHQW PHVVDJH 7KH
%66 LJQRUHV D 3DFNHW &KDQQHO 5HTXHVW LI WKH DFFHVV W\SH RI WKH 3DFNHW &KDQQHO 5HTXHVW PHVVDJH LV XQNQRZQ
7KH %66 VXSSRUWV VFKHGXOLQJ RQ WKH 3DFNHW 3DJLQJ &KDQQHO 33&+ LQ WKH IROORZLQJ RUGHU RI SULRULW\
 36&6 SDJLQJ PHVVDJH DQG 5/&0$& FRQWURO PHVVDJH

 'RZQOLQN GDWD EORFN

&636 SDJLQJ DQG 5/&0$& FRQWURO PHVVDJH WDUJHWHG IRU D *356 PRELOH DUH VFKHGXOHG
RQ SDJLQJ EORFNV RI WKH 33&+ LI WKH WDUJHWHG PRELOH LV LQ '5; PRGH DQG RQ DQ\ DYDLODEOH
EORFNV RQ WKH 3$*&+ RU 33&+ LI WKH WDUJHWHG PRELOH LV LQ QRQ'5; PRGH $W OHDVW RQH &6
RU 36 SDJH LV LQFOXGHG SHU 3DFNHW 3DJLQJ 5HTXHVW PHVVDJH
&636 SDJLQJ PHVVDJHV DUH VFKHGXOHG RQ WKH SDJLQJ FKDQQHOV EDVHG XSRQ WKH *356
QHWZRUN RSHUDWLRQ PRGH DV VKRZQ LQ DQG 

3:4 
 6HS 
*356 WLPHVORW DOORFDWLRQ &KDSWHU  &DOO SURFHVVLQJ

7DEOH  3DJLQJ LQ *356 2SHUDWLRQ 0RGHV , DQG ,,, %&&+&&&+

1HWZRUN 2SHUDWLRQ 1HWZRUN 2SHUDWLRQ


&HOO 0HVVDJH
0RGH , 0RGH ,,,
*356DWWDFKHG 06 LQ &6SDJLQJ &&&+ SDJLQJ FKDQQHO &&&+ SDJLQJ FKDQQHO
SDFNHW LGOH PRGH
36SDJLQJ &&&+ SDJLQJ FKDQQHO &&&+ SDJLQJ FKDQQHO
*356DWWDFKHG 06 LQ &6SDJLQJ 3$&&+ &&&+ SDJLQJ FKDQQHO
SDFNHW WUDQVIHU PRGH
36SDJLQJ 1RW DSSOLFDEOH 1RW DSSOLFDEOH

7DEOH  3DJLQJ LQ *356 2SHUDWLRQ 0RGHV , DQG ,,, 3%&&+3&&&+

1HWZRUN 2SHUDWLRQ 1HWZRUN 2SHUDWLRQ


&HOO 0HVVDJH
0RGH , 0RGH ,,,
*356DWWDFKHG 06 LQ &6SDJLQJ 3&&&+ SDJLQJ FKDQQHO &&&+ SDJLQJ FKDQQHO
SDFNHW LGOH PRGH
36SDJLQJ 3&&&+ SDJLQJ FKDQQHO 3&&&+ SDJLQJ FKDQQHO
*356DWWDFKHG 06 LQ &6SDJLQJ 3$&&+ &&&+ SDJLQJ FKDQQHO
SDFNHW WUDQVIHU PRGH
*356DWWDFKHG 06 LQ 36SDJLQJ 1RW DSSOLFDEOH 1RW DSSOLFDEOH
SDFNHW WUDQVIHU PRGH

$ 3DFNHW 'RZQOLQN 'XPP\ &RQWURO %ORFN PHVVDJH LV VFKHGXOHG RQ D 33&+3$*&+ LI WKHUH LV QR &636
SDJLQJ PHVVDJH 5/&0$& FRQWURO PHVVDJH RU GRZQOLQN GDWD EORFN WR EH VHQW RQ WKH 33&+3$*&+
7KH %66 VKDOO VXSSRUW 3DFNHW 'RZQOLQN $VVLJQPHQW SURFHGXUH RQ 3$*&+33&+

 3:4
 6HS 
7HFKQLFDO 'HVFULSWLRQ %66 ,PSOHPHQWDWLRQ (*356 7HUUHVWULDO 5HVRXUFHV

(*356 7HUUHVWULDO 5HVRXUFHV


Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ

^`

NESV 7HUUHVWULDO &KDQQHOV %6&%76 3&8%6&

7KH %66 VXSSRUWV D  NESV WHUUHVWULDO WLPHVORW SHU DLU WLPHVORW IRU XVH DV D 75$8 GDWD FKDQQHO RQ
%6&%76 OLQNV WR VXSSRUW WKH EDFNKDXO UHTXLUHG IRU (*356 FRGLQJ VFKHPHV 0&6  0&6
7KH %66 VXSSRUWV D  NESV WHUUHVWULDO WLPHVORW SHU DLU WLPHVORW IRU XVH DV D 75$8 GDWD FKDQQHO RQ 3&8%6&
OLQNV WR VXSSRUW WKH EDFNKDXO UHTXLUHG IRU (*356 FRGLQJ VFKHPHV 0&6 WKURXJK 0&6
7KH %66 DOORFDWHV DOO RI WKH ( WLPHVORWV UHTXLUHG IRU DQ 57) WR D VLQJOH 006 DQG GRHV QRW
VSOLW WKHP EHWZHHQ PXOWLSOH (V RQ WKH %6& WR %76 LQWHUIDFH
7KH NESV WLPHVORW RQ WKH WHUUHVWULDO UHVRXUFHV PXVW EH D VLQJOH FRPSOHWH '6 DQG QRW VLPSO\ D JURXS
RI IRXU DGMDFHQW NESV VXEUDWH WLPHVORWV WR HQVXUH XQLIRUP GHOD\ RI WKH 75$8 GDWD ELWV DQG DOORZ
KDQGOLQJ RI WKH FKDQQHO DV DQ RFWHW ZLWKLQ WKH 30& 1,% DQG WKH FKDQQHO FRGHU
7KH %66 FRQILJXUHV NESV WHUUHVWULDO UHVRXUFHV IRU DOO HLJKWDLU WLPHVORWV IURP WKH %76 WR WKH
%6& ZKHQ NESV 75$8 LV HQDEOHG RQ D QRQ%&&+ 57)
7KH %66 FRQILJXUHV NESV WHUUHVWULDO UHVRXUFHV IRU VHYHQ DLU WLPHVORWV IURP WKH %76 WR WKH %6& ZKHQ
NESV 75$8 LV HQDEOHG RQ D %&&+ 57) 2QO\ VHYHQ '6V RI EDFNKDXO QHHG WR EH DOORFDWHG EHFDXVH
ZKHQ DQ 57) LV FRQILJXUHG WR EH D %&&+ 57) DQG NESV WHUUHVWULDO UHVRXUFHV DUH FRQILJXUHG WKH
%&&+ WLPHVORW GRHV QRW QHHG EDFNKDXO DVVLJQHG RQ WKH 006 EHWZHHQ WKH %76 DQG %6&
7KH 75$8 LQWHUIDFH EHWZHHQ WKH FKDQQHO FRGHU DQG WKH 3&8 LV LPSOHPHQWHG XVLQJ NESV FKDQQHOV
7KH 3&8 VXSSRUWV WKH NESV 75$8 WLPH DOLJQPHQW SURFHGXUH 7KH %66 VXSSRUWV WKH VHQGLQJ
DQG UHFHLSW RI WKH FHOO FDUULHU DQG WLPHVORW QXPEHUV LQ WKH V\QF IUDPHV RI WKH NESV 75$8
FKDQQHOV SOXV WKH VHQGLQJ DQG UHFHLSW RI WKH (OHFWURQLF ,GHQWLILFDWLRQ QXPEHU IURP WKH FKDQQHO
FRGHU WR WKH 3&8 LQ WKH V\QF IUDPHV RI WKH NESV 75$8 FKDQQHOV
:KHQ D NESV 3'&+ LV UHFRQILJXUHG IRU XVH DV D IXOOUDWH FLUFXLW VZLWFKHG YRLFH FKDQQHO
WKH YRLFH LV FDUULHG RYHU VXEUDWH JURXS  RI WKH NESV WHUUHVWULDO WLPHVORW DQG DOO RWKHU
VXEUDWHV DUH LGOHG RQ WKH %6& WR %76 LQWHUIDFH
:KHQ D NESV 3'&+ LV UHFRQILJXUHG IRU XVH IRU D SDLU RI KDOIUDWH FLUFXLW VZLWFKHG YRLFH FKDQQHOV
WKH YRLFH LV FDUULHG RYHU VXEUDWH JURXS  IRU VXEFKDQQHO  DQG  IRU VXEFKDQQHO  RI WKH NESV
WHUUHVWULDO WLPHVORW DQG DOO RWKHU VXEUDWHV LV LGOHG RQ WKH %6& WR %76 LQWHUIDFH
:KHQ 3'&+V DUH UHFRQILJXUHG DV FLUFXLW VZLWFKHG YRLFH FKDQQHOV WKH XQQHHGHG EDFNKDXO LV QRW UHPRYHG
/DWHU ZKHQ WKH FKDQQHO FDQ DJDLQ EH FRQILJXUHG DV D 3'&+ WKH EDFNKDXO GRHV QRW KDYH WR EH UHDOORFDWHG
7KH %66 UHMHFWV WKH HTXLSDJH RI DQ 57) LI WKH QXPEHU RI WHUUHVWULDO WLPHVORWV UHTXLUHG E\ WKH 57) EHWZHHQ WKH
%6& DQG WKH %76 H[FHHGV WKH QXPEHU RI IUHH WHUUHVWULDO WLPHVORWV EHWZHHQ WKH %6& DQG WKH %76
'XULQJ WKH HTXLSDJH RI DQ 57) WKH QXPEHU RI WHUUHVWULDO WLPHVORWV '6V UHTXLUHG RQ WKH OLQN
EHWZHHQ WKH %6& DQG WKH %76 LV HYDOXDWHG WR HQVXUH WKDW WKHUH LV HQRXJK EDQGZLGWK RQ WKH %6&
 %76 LQWHUIDFH WR VXSSRUW WKH UHTXLUHG EDFNKDXO IRU DOO WKH DLU WLPHVORWV

3:4 
 6HS 
(*356 7HUUHVWULDO 5HVRXUFHV &KDSWHU  &DOO SURFHVVLQJ

2Q WKH 30& 1,% WKH %66 VXSSRUWV DQ DUELWUDU\ PL[WXUH RI NESV 75$8 NESV
75$8 DQG NESV 75$8 VXFK WKDW WKH IROORZLQJ HTXDWLRQ LV VDWLVILHG NESV
76  ÂNESV 76  ÂNESV 76  
7KH 30& 1,% KDV VXIILFLHQW &38 FDSDFLW\ WR VXSSRUW D  NESV 75$8 RU RQH IXOO VSDQ 6LQFH NESV
75$8 LV DFWXDOO\ FRPSRVHG RI WZR NESV 75$8 FKDQQHOV WKH 30& 1,% FDQ VXSSRUW KDOI DV PDQ\ NESV
75$8 RU RQH IXOO VSDQ :LWK WKH GLELW LQVHUWH[WUDFWLRQ UHPRYHG LQ WKH NESV 75$8 WKH 30& 1,% FDQ GR
WZLFH DV PXFK EDQGZLGWK ZKLFK LV  RI WKH NESV 75$8 FKDQQHOV RU WZR IXOO VSDQV RI NESV 75$8
7KH 30& 1,% FDQ VXSSRUW DQ DUELWUDU\ PL[ RI NESV DQG NESV 75$8 FKDQQHOV RU FKDQQHOV ZLWK GLELW
LQVHUWLRQH[WUDFWLRQ DQG WKRVH ZLWKRXW WUDGLQJ RII DW D UDWLR RI WZR NESV WLPHVORWV WR RQH NESV WLPHVORW
1RWH WKDW ZKHQ PL[HG WUDIILF LV XVHG WKH WZR VSDQV RQ WKH 30& 1,% DUH QRW ERWK IXOO\ XWLOL]HG
7KH 353 '352& VXSSRUWV D PD[LPXP RI  75$8 WLPHVORWV DQ\ PL[ RI NESV
75$8 NESV 75$8 DQG NESV 75$8
7KH %66 LPSOHPHQWV NESV 75$8 DV GHILQHG LQ WKH 3&8 &&8 ,QWHUIDFH 'HVLJQ 6SHFLILFDWLRQ

(*356 '5,57) $VVLJQPHQW 5HTXLUHPHQWV


7KH %66 VXSSRUWV WKH UHFHLSW RI %LW (UURU 3UREDELOLW\ %(3 DQG &RHIILFLHQW RI 9DULDQFH LQ
%(3 IURP WKH FKDQQHO FRGHUV RQ WKH 3&8 &&8 LQWHUIDFH
7KH %66 SUHIHUHQWLDOO\ PDSV (*356 57)V RQWR VLQJOHGHQVLW\ &78 UDGLRV
,I DQ 57) HTXLSSHG ZLWK NESV EDFNKDXO LV PDSSHG WR D '5, XQDEOH WR VXSSRUW (*356
WKH FDUULHU ZLOO EH FRQILJXUHG WR VXSSRUW *60 YRLFH RQO\
7KH %66 UHFODLPV '5,V IRU . %&&+ 57) LQ WKH IROORZLQJ RUGHU 
 VLQJOHGHQVLW\ &78 QRW LPSOHPHQWLQJ DQ\ 57)

 GXDOGHQVLW\ &78 QRW LPSOHPHQWLQJ DQ\ 57)

 QRQ &78 QRW LPSOHPHQWLQJ DQ\ 57)

 VLQJOH GHQVLW\ QRQ(*356 &78

 GXDOGHQVLW\ &78

 VLQJOHGHQVLW\ (*356 &78

 QRQ &78

 3:4
 6HS 
7HFKQLFDO 'HVFULSWLRQ %66 ,PSOHPHQWDWLRQ (*356 7HUUHVWULDO 5HVRXUFHV

1RQ &78 '5,V UHFODLP '5,V IRU .. %&&+ 57) LQ WKH IROORZLQJ RUGHU
 GXDOGHQVLW\ &78 QRW LPSOHPHQWLQJ DQ\ 57)

 VLQJOHGHQVLW\ &78 QRW LPSOHPHQWLQJ DQ\ 57)

 '5, ZLWKRXW DQ DVVLJQHG 57)

 GXDOGHQVLW\ &78

 VLQJOH GHQVLW\ QRQ(*356 &78


,I WKHUH LV PRUH WKDQ RQH (*356 57) LPSOHPHQWHG LQ WKH FHOO JR WR  RWKHUZLVH JR WR 

 VLQJOHGHQVLW\ &78

 QRQ &78

 QRQ &78

 VLQJOHGHQVLW\ &78

:KHQ WKH 57) WR '5, PDSSLQJ LV SHUIRUPHG WKH 57)V HTXLSSHG IRU (*356 DUH PDSSHG WR
VLQJOHGHQVLW\ HTXLSSHG &78 UDGLRV LI SRVVLEOH ,I QR VLQJOHGHQVLW\ &78V DUH DYDLODEOH DQG
RWKHU '5, KDUGZDUH LV DYDLODEOH WKH (*356 57) ZLOO EH PDSSHG WR WKDW RWKHU '5, :KHQ VXFK
D PDSSLQJ RFFXUV WKH FDUULHU ZLOO RQO\ EH FDSDEOH RI *60 YRLFH
'XH WR WKH LPSRUWDQFH RI WKH %&&+ FDUULHU WKH %&&+ LV UHPDSSHG RQWR DQ DYDLODEOH '5, HYHQ LI
WKDW '5, LV XQDEOH WR VXSSRUW (*356 ,Q WKH HYHQW WKDW WKH %&&+ 57) LV UHPDSSHG RQWR D '5, WKDW
FDQQRW VXSSRUW (*356 WKH FDUULHU ZLOO RQO\ EH DEOH WR VXSSRUW *60 YRLFH FDOOV
,I WKH %&&+ 57) LV FRQILJXUHG IRU (*356 DQG WKHUH LV RQO\ RQH VLQJOHGHQVLW\ &78 DYDLODEOH WKH
%&&+ 57) ZLOO EH PDSSHG RQWR WKDW &78 VLQFH (*356 VHUYLFH DQG (*356 RQH SKDVH DFFHVV ZRXOG
VWLOO EH DYDLODEOH +RZHYHU LI WKH %&&+ 57) LV QRW FRQILJXUHG ZLWK NESV WHUUHVWULDO EDFNLQJ DQG
WKHUH LV RQO\ RQH &78 DYDLODEOH WKH %&&+ ZLOO EH PRYHG WR D QRQ&78 UDGLR VLQFH PDLQWDLQLQJ
(*356 LQ JHQHUDO ZRXOG EH PRUH LPSRUWDQW WKDQ (*356 RQH SKDVH DFFHVV
,I DQ 57) HTXLSSHG ZLWK NESV EDFNKDXO LV PDSSHG WR D '5, XQDEOH WR VXSSRUW (*356 LW LV
QRW WDNHQ 226 LI VLQJOHGHQVLW\ &78V ODWHU EHFRPH DYDLODEOH
7KLV IHDWXUH GRHV QRW DWWHPSW WR SUHHPSWLYHO\ EULQJ FDUULHUV 226 VLPSO\ WR NHHS (*356 VHUYLFH
DYDLODEOH ,I GXH WR KDUGZDUH IDLOXUHV RU RSHUDWRU LQWHUYHQWLRQ (*356FDSDEOH 57)V JHW DVVLJQHG
WR QRQ(*356FDSDEOH '5,V WKRVH 57)V UHPDLQ DVVLJQHG WR WKH QRQ(*356FDSDEOH '5,V
HYHQ LI (*356FDSDEOH UDGLRV DUH ODWHU PDGH DYDLODEOH IRU XVH
,Q RUGHU WR UHVWRUH (*356 VHUYLFH WKH '5, VXSSRUWLQJ WKH (*356FDSDEOH 57) ZLOO QHHG
WR EH ORFNHG LH ¶LQV¶ RU ¶ORFN¶ FRPPDQGV DW WKH 00, 
7KH %66 SUHIHUHQWLDOO\ PDSV NESV %&&+ 57)V RQWR VLQJOHGHQVLW\ &78 UDGLRV
EHIRUH DQ\ RWKHU FDUULHUV DUH DVVLJQHG
$W LQLWLDOL]DWLRQ WKH %66 SUHIHUHQWLDOO\ PDSV QRQ(*356 FDUULHUV RQWR QRQ&78 KDUGZDUH
 GXDOGHQVLW\HTXLSSHG &78 KDUGZDUH
$OVR DW LQLWLDOL]DWLRQ WKH %66 ORDGV XS QRQ&78 KDUGZDUH ZLWK NN FDUULHUV DV PXFK DV
SRVVLEOH 7KXV WKH VRIWZDUH ZLOO DWWHPSW WR DVVLJQ (*356 FDUULHUV RQWR (*356FDSDEOH KDUGZDUH
ILUVW DQG WKHQ DVVLJQ FDUULHUV WR WKH UHVW RI WKH KDUGZDUH LQ LWV XVXDO IDVKLRQ

3:4 
 6HS 
(*356 7HUUHVWULDO 5HVRXUFHV &KDSWHU  &DOO SURFHVVLQJ

$GGLWLRQDOO\ LQ RUGHU WR PDLQWDLQ RQH SKDVH DFFHVV LI WKH %&&+ FDUULHU LV HTXLSSHG WR EH
(*356FDSDEOH WKH %&&+ VKRXOG DOZD\V PRYH WR D VLQJOHGHQVLW\ &78 LI RQH LV DYDLODEOH
2WKHUZLVH WKH %&&+ 57) ZLOO PRYH WR WKH ILUVW DYDLODEOH FDUULHU

 3:4
 6HS 
7HFKQLFDO 'HVFULSWLRQ %66 ,PSOHPHQWDWLRQ $LU LQWHUIDFH SDFNHW GDWD WUDQVIHU

$LU LQWHUIDFH SDFNHW GDWD WUDQVIHU


Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ

$LU LQWHUIDFH WUDQVPLVVLRQ OD\HUV

7KH 5DGLR /LQN &RQWURO0HGLXP $FFHVV &RQWURO 5/&0$& OD\HUV SURYLGH VHUYLFHV IRU LQIRUPDWLRQ
WUDQVIHU RYHU WKH SK\VLFDO OD\HU RI WKH *356 LQWHUIDFH 7KHVH IXQFWLRQV LQFOXGH EDFNZDUG HUURU FRUUHFWLRQ
SURFHGXUHV WKDW DUH HQDEOHG E\ VHOHFWLYH UHWUDQVPLVVLRQ RI HUURQHRXV EORFNV RI GDWD 7KH 0$& IXQFWLRQ
DUELWUDWHV DFFHVV WR WKH VKDUHG PHGLXP EHWZHHQ D PXOWLWXGH RI 06V DQG WKH *356 QHWZRUN
7KH 5/& IXQFWLRQ SURFHVVHV WKH WUDQVIHU RI 3URWRFRO 'DWD 8QLWV 3'8V IURP WKH //& OD\HU
7KH 0$& IXQFWLRQ VHJPHQWV DQG UHDVVHPEOHV WKH //& 3'8V LQWRIURP 5/& GDWD EORFNV
DQG SURYLGHV WKH EDFNZDUG HUURU FRUUHFWLRQ IXQFWLRQ

5DGLR OLQN FRQWURO OD\HU

7KH LQSXW WR WKH 5DGLR /LQN &RQWURO 5/& IURP WKH %66*3 LV NQRZQ DV DQ //& 3URWRFRO 'DWD 8QLW 3'8
RI XS WR  RFWHWV RI GDWD DQG URXWLQJ LQIRUPDWLRQ 7KH 5/& VHJPHQWV WKLV LQWR 5/& GDWD EORFNV DV VKRZQ
LQ )LJXUH  DQG )LJXUH  $V WKH ILJXUHV VKRZ WKH 5/& GDWD EORFN FRQVLVWV RI DQ 5/& KHDGHU DQG
5/& GDWD ZLWK VRPH VSDUH ELWV (DFK 5/& GDWD EORFN PD\ EH HQFRGHG XVLQJ HLWKHU RI WKH *356 FKDQQHO
&RGLQJ 6FKHPHV &6V FXUUHQWO\ DYDLODEOH *65 VXSSRUWV &RGLQJ VFKHPH &6 6HH &RGLQJ 6FKHPHV ODWHU
LQ WKLV FKDSWHU 7KHVH DIIHFWV WKH GHJUHH RI VHJPHQWDWLRQ DQG VXEVHTXHQW UHDVVHPEO\ 5/& GDWD EORFNV DUH
VHTXHQWLDOO\ ILOOHG ZLWK FRQVHFXWLYH //& 3'8 VHJPHQWV XQWLO WKH ODVW RQH LV UHDFKHG LQ WKH FXUUHQW WUDQVPLVVLRQ
EORFN ,I WKHUH LV VSDFH LQ WKH FXUUHQW 5/& GDWD EORFN LW LV FRPSOHWHG E\ WKH LQVHUWLRQ RI VSDUH ELWV
7KH VWUXFWXUH RI WKH 5/& GDWD EORFN LV GLIIHUHQW IRU XSOLQN RU GRZQOLQN WUDQVPLVVLRQ
DV VKRZQ LQ )LJXUH  DQG )LJXUH 

3:4 
 6HS 
$LU LQWHUIDFH SDFNHW GDWD WUDQVIHU &KDSWHU  &DOO SURFHVVLQJ

8SOLQN 5/& GDWD EORFN

)LJXUH  8SOLQN 5/& GDWD EORFN

spare TFI TI Octet 1


BSN E Octet 2
Length indicator M E Octet 3 (Optional)
.
.
.
Length indicator M E Octet M (optional)
TLLI Octet M+1 (optional)
Octet M+2 (optional)
Octet M+3 (optional)
Octet M+4 (optional)
RLC data Octet M+5
.
.
.
Octet N--1
Octet N
spare

 3:4
 6HS 
7HFKQLFDO 'HVFULSWLRQ %66 ,PSOHPHQWDWLRQ $LU LQWHUIDFH SDFNHW GDWD WUDQVIHU

'RZQOLQN 5/& GDWD EORFN

)LJXUH  'RZQOLQN 5/& GDWD EORFN

PR TFI TFI FBI Octet 1


BSN E Octet 2
Length indicator M E Octet 3 (Optional)
.
.
.
Length indicator M E Octet M (optional)
RLC data Octet M+1
.
.
.
Octet N--1
Octet N
spare (if present)

3:4 
 6HS 
$LU LQWHUIDFH SDFNHW GDWD WUDQVIHU &KDSWHU  &DOO SURFHVVLQJ

5/& GDWD EORFN ILHOGV


7KH 5/& GDWD EORFN ILHOGV DUH DV IROORZV
‡ 7),  7HPSRUDU\ )ORZ ,GHQWLILHU  LGHQWLILHV WKH 7%) WR ZKLFK WKH 5/& GDWD EORFN EHORQJV
7KH 7), LV ILYH ELWV ORQJ HQFRGHG DV D ELQDU\ YDOXH UDQJLQJ IURP  WR 

‡ 7,  7HPSRUDU\ /RJLFDO /LQN ,GHQWLILHU 7//, ,QGLFDWRU  LQGLFDWHV WKH SUHVHQFH RI


WKH RSWLRQDO 7//, ILHOG ZLWKLQ WKH 5/& GDWD EORFNV
  7//, ILHOG QRW SUHVHQW
  7//, ILHOG SUHVHQW

‡ %61  %ORFN 6HTXHQFH 1XPEHU  WKH DEVROXWH VHTXHQFH QXPEHU RI WKH 5/& GDWD EORFN
ZLWKLQ WKH 7%) 7KH %61 LV VHYHQ ELWV ORQJ HQFRGHG DV D GHFLPDO YDOXH  WR 

‡ (  ([WHQVLRQ  LQGLFDWHV WKH SUHVHQFH RI DQ RSWLRQDO RFWHW LQ WKH 5/& GDWD EORFN
  ([WHQVLRQ RFWHW IROORZV
  1R ([WHQVLRQ RFWHW IROORZV

‡ /HQJWK LQGLFDWRU /,  GHOLPLWV //& 3'8V ZLWKLQ WKH 5/& GDWD EORFN ZKHQ DQ //&
3'8 ERXQGDU\ RFFXUV LQ WKH EORFN 7KH ILUVW /, LQGLFDWHV WKH QXPEHU RI RFWHWV RI
WKH 5/& GDWD ILHOG WKDW EHORQJV WR WKH ILUVW //& 3'8 7KH VHFRQG /, LQGLFDWHV WKH
QXPEHU RI RFWHWV RI WKH 5/& GDWD ILHOG WKDW EHORQJV WR WKH VHFRQG //& 3'8 DQG VR
RQ 0 LQGLFDWHV WKDW WKHUH DUH PRUH 3'8V LQ WKH GDWD EORFN

‡ 0  0RUH RFWHWV VHH /, DERYH

‡ 7//,  7HPSRUDU\ /RJLFDO /LQN ,GHQWLILHU  WKH ORJLFDO OLQN IURP ZKLFK WKH 5/& GDWD EORFN
ZDV UHFHLYHG 2SWLRQDO DQG VHQW RQO\ RQ WKH XSOLQN ,QFOXGHG LQ HYHU\ XSOLQN 5/& GDWD
EORFN XQWLO D VXFFHVVIXO DFNQRZOHGJHPHQW KDV EHHQ UHFHLYHG IURP WKH QHWZRUN

$FNQRZOHGJHG  XQDFNQRZOHGJHG PRGHV

7KH 5/& LQ WKH %66 DQG WKH FRUUHVSRQGLQJ 5/& LQ WKH 06 FRQWURO WKH DFNQRZOHGJHPHQW $&.V DQG
QRDFNQRZOHGJHPHQW 1$&.V RQ ZKLFK UHWUDQVPLVVLRQ RI XQUHFHLYHG EORFNV GHSHQGV

$FNQRZOHGJHG PRGH
7KH %ORFN 6HTXHQFH 1XPEHU %61 SURYLGHV D PRGXOR QXPEHULQJ VFKHPH  ELWV IRU WKH 5/& GDWD
EORFNV ZLWKLQ RQH 7%) )URP WKLV LV GHULYHG WKH PD[LPXP WKUHVKROG RI  EORFNV EHIRUH DQ $&. LV
VROLFLWHG (YHU\ $&. PHVVDJH DFNQRZOHGJHV WKH QXPEHU RI EORFNV VHQW VLQFH WKH ODVW $&. ZDV VHQW
:KHQ DOO EORFNV ZLWKLQ D 7%) KDYH EHHQ VHQW D ILQDO $&. LV VHQW 7KH 06 PDLQWDLQV D & EORFN ELW
PDS RI $&.QRZOHGJHG EORFNV DQG VHQGV WKLV XS WR WKH %76 LQ WKH 3'7&+ +ROHV LQ WKLV ELW PDS
LQIRUP WKH %76 ZKLFK EORFNV ZHUH QRW UHFHLYHG DQG WKHVH DUH LPPHGLDWHO\ UHWUDQVPLWWHG

8QDFNQRZOHGJHG PRGH
7KH WUDQVIHU RI 5/& GDWD EORFNV LQ WKH XQDFNQRZOHGJHG 5/&0$& PRGH LV FRQWUROOHG E\ WKH
VDPH PRGXOR QXPEHULQJ VFKHPH  ELWV IRU WKH 5/& EORFNV ZLWKLQ RQH 7%) EXW WKHUH DUH QR
UHWUDQVPLVVLRQV 7KH 06 H[WUDFWV XVHU GDWD IURP WKH UHFHLYHG GDWD EORFNV DQG DWWHPSWV WR SUHVHUYH
WKH XVHU LQIRUPDWLRQ E\ UHSODFLQJ PLVVLQJ 5/& GDWD ZLWK GXPP\ LQIRUPDWLRQ ELWV

 3:4
 6HS 
7HFKQLFDO 'HVFULSWLRQ %66 ,PSOHPHQWDWLRQ $LU LQWHUIDFH SDFNHW GDWD WUDQVIHU

0HGLXP DFFHVV FRQWURO OD\HU

7KH LQSXW WR WKH 0HGLXP $FFHVV &RQWURO 0$& OD\HU LV WKH 5/& GDWD EORFN IURP WKH 5/& 7KH PDLQ
IXQFWLRQ RI WKH 0$& OD\HU LV WKH FRQWURO RI PXOWLSOH 06V VKDULQJ D FRPPRQ UHVRXUFH RQ WKH *356
DLU LQWHUIDFH $W WKH 0$& OD\HU D 0$& KHDGHU LV DGGHG DV VKRZQ LQ )LJXUH 
7KH VWUXFWXUH RI WKH 0$& KHDGHU LV GLIIHUHQW IRU XSOLQN RU GRZQOLQN WUDQVPLVVLRQ DV VKRZQ LQ )LJXUH 

)LJXUH  5/&0$& EORFN VWUXFWXUHV

       
3D\ORDG 8SOLQN
5 6, &RXQWGRZQ 9DOXH 7\SH

5/&0$& EORFN

0$& 5/& 3D\ORDG W\SH


5/& GDWD VSDUH LV GDWD
+ HDGHU + HDGHU

5/& GDWD EORFN

3D\ORDG 'RZQOLQN
86) 63 55%3
7\SH

       
25
5/&0$& EORFN

0$& 3D\ORDG W\SH


+HDGHU 5/&0$& VLJQDOOLQJ LQIRUPDWLRQ LV VLJQDOOLQJ

5/& FRQWURO EORFN


WL*607',:HSVVZ

0$& OD\HU ILHOGV


7KH 0$& OD\HU ILHOGV DUH DV IROORZV
‡ 5  5HWU\ ELW ZKHQ QR DFNQRZOHGJHPHQW KDV EHHQ UHFHLYHG

‡ 6,  6WDOO LQGLFDWRU  VLJQDOV WKDW WKH WUDQVPLVVLRQ KDV IDLOHG

‡ &RXQWGRZQ YDOXH  6HQW E\ WKH 06 WR WKH %66 VR WKDW LW FDQ FDOFXODWH WKH QXPEHU
RI UDGLR EORFNV UHPDLQLQJ LQ WKH FXUUHQW XSOLQN DOORFDWLRQ RI UHVRXUFHV 7KLV
HQVXUHV D VPRRWK WUDQVIHU WR WKH QH[W 06

‡ 3D\ORDG W\SH  WKH W\SH RI LQIRUPDWLRQ LQ WKH SD\ORDG DUHD WKDW LV GDWD RU VLJQDOOLQJ

‡ 86)  8SOLQN 6WDWH )ODJ  LGHQWLILHV WKH 06 WR ZKLFK WKH *356 UHVRXUFH LV DOORFDWHG

3:4 
 6HS 
$LU LQWHUIDFH SDFNHW GDWD WUDQVIHU &KDSWHU  &DOO SURFHVVLQJ

‡ 63  6XSSOHPHQWDU\ 3ROOLQJ ELW LQGLFDWHV ZKHWKHU WKH 55%3 ILHOG LV DFWLYH

‡ 55%3  5HODWLYH 5HVHUYHG %ORFN 3HULRG  VSHFLILHV WKDW D VLQJOH XSOLQN EORFN LV
EHLQJ XVHG DV DQ $VVRFLDWHG &RQWURO &KDQQHO $&&+ 

$VVXPLQJ WKDW WKH 06 LV LQ WKH *356 5HDG\ VWDWH WKDW LV WKH *356 $WWDFK KDV EHHQ VXFFHVVIXO
DQG D 3'3 FRQWH[W KDV EHHQ DFWLYDWHG 35$&+ KDV EHHQ DFNQRZOHGJHG  WKH 5/&0$& EORFNV FDQ
EH SDVVHG GRZQ WR WKH SK\VLFDO OD\HU IRU WUDQVPLVVLRQ WR WKH 06 GHYLFH
$W LQLWLDWLRQ RQ DQ XSOLQN SDFNHW WUDQVIHU WKH %66 DFFHSWV HLWKHU D 35$&+ RU D 5$&+ 7KH %66 UHVSRQGV
ZLWK D SDFNHW LPPHGLDWH DVVLJQPHQW PHVVDJH UHVHUYLQJ WKH UHVRXUFHV RQ 3'&+V XVHG IRU XSOLQN WUDQVIHU RI D
QXPEHU RI UDGLR EORFNV 7KH 566 LQ WKH %76 IRUZDUGV WKH UHTXLUHPHQW WR WKH SDFNHW VFKHGXOHU LQ WKH 3&8
7KH GDWD WUDQVIHU SURFHVV FDQ WKHQ VWDUW 7KLV LV GHVFULEHG LQ WKH 3K\VLFDO /D\HU VHFWLRQ RI WKLV &KDSWHU

(*356 5/&0$& VLJQDOOLQJ

^`
)RU (*356 WKH IROORZLQJ LQIRUPDWLRQ GHWDLOV FKDQJHV WR WKH 5/&0$& KHDGHUV
7KH IROORZLQJ WDEOH LGHQWLILHV WKH W\SH RI 5/&0$& +HDGHU XVHG IRU XSOLQN DQG GRZQOLQN GDWD EORFNV

7DEOH  5/&0$& +HDGHU 7\SHV

0&6 8SOLQN 'RZQOLQN


0&6  
0&6  
0&6  
0&6  
0&6  
0&6  
0&6  
0&6  
0&6  

7KH %66 VHWV WKH 6SOLW %ORFN LQGLFDWRU ILHOG WR ¶ ¶ WR LQGLFDWH QR UHWUDQVPLVVLRQ LQ VSOLW EORFN IRUPDW
LQ WKH 5/&0$& KHDGHU W\SH  DQG XVHV WKH 5HVHQW %ORFN ELW UHFHLYHG LQ WKH 5/& XSOLQN KHDGHU
LQGLFDWLQJ WKH FRPSRQHQW 5/& EORFNV ZLWKLQ WKH UDGLR EORFN DUH UHWUDQVPLVVLRQV
,I WKH %66 UHFHLYHV DQ 5/& GDWD EORFN ZLWK %61 OHVV WKDQ 9 4 EXW ZLWKLQ WKH UHFHLYH VWDWH ZLQGRZ WKHQ
WKH %66 WDNHV WKLV DV DQ LQGLFDWLRQ RI D PLVVLQJ 3DFNHW 8SOLQN $FN1DFN DQG VFKHGXOHV UHWUDQVPLVVLRQ
RI D 3DFNHW 8SOLQN $FN1DFN WR KHOS WKH PRELOH DGYDQFH LWV VHQG VWDWH ZLQGRZ
7KH %66 QRZ VXSSRUWV WKH IROORZLQJ H[WHQVLRQV WR WKH 5/&
‡ 7KH %66 LQGLFDWHV WKH (*356 :LQGRZ 6L]H IRU XVH LQ WKH GRZQOLQN LQ WKH 3DFNHW 'RZQOLQN
$VVLJQPHQW 3DFNHW 7LPHVORW 5HFRQILJXUH DQG ,PPHGLDWH $VVLJQPHQW PHVVDJHV ([WHQGHG
5/& ZLQGRZ VL]H RI  LQ WKH GRZQOLQN GLUHFWLRQ IRU (*356 7%)V

 3:4
 6HS 
7HFKQLFDO 'HVFULSWLRQ %66 ,PSOHPHQWDWLRQ $LU LQWHUIDFH SDFNHW GDWD WUDQVIHU

‡ 7KH %66 LQGLFDWHV WKH (*356 :LQGRZ 6L]H IRU XVH LQ WKH XSOLQN LQ WKH 3DFNHW 8SOLQN
$VVLJQPHQW 3DFNHW 7LPHVORW 5HFRQILJXUH DQG ,PPHGLDWH $VVLJQPHQW PHVVDJHV ([WHQGHG
5/& ZLQGRZ VL]H RI  LQ WKH XSOLQN GLUHFWLRQ IRU (*356 7%)V

‡ 7KH %66 VXSSRUWV WKH (*356 ILHOGV LQ WKH 3DFNHW 'RZQOLQN $VVLJQPHQW PHVVDJH WKH
,PPHGLDWH $VVLJQPHQW PHVVDJH IRU 8SOLQN 7%)V WKH ,PPHGLDWH $VVLJQPHQW PHVVDJH
IRU 'RZQOLQN 7%)V DQG WKH 3DFNHW 7LPHVORW 5HFRQILJXUH PHVVDJH

‡ (*356 3DFNHW 'RZQOLQN $&.1$&. PHVVDJH ZKLFK LQFOXGHV D 7%)


UHOHDVH UHTXHVW IURP WKH PRELOH

‡ ([WHQGHG SROOLQJ UHTXHVWLQJ SDUWLDO ELWPDS DQG FKDQQHO TXDOLW\ UHSRUW LQ WKH
(*356 3DFNHW 'RZQOLQN $FN1DFN PHVVDJH

‡ 5HFHLSW RI WKH XQFRPSUHVVHG ELWPDS LQ WKH (*356 $FN1DFN 'HVFULSWLRQ RI WKH


(*356 3DFNHW 'RZQOLQN $FN1DFN PHVVDJH

‡ 5HFHLSW RI WKH FRPSUHVVHG ELWPDS LQ WKH (*356 $FN1DFN 'HVFULSWLRQ RI WKH


(*356 3DFNHW 'RZQOLQN $FN1DFN PHVVDJH

‡ (*356 ILHOGV LQ WKH 3DFNHW 8SOLQN $&.1$&. PHVVDJH

‡ 6HQGLQJ RI WKH FRPSUHVVHG ELWPDS LQ WKH (*356 $FN1DFN 'HVFULSWLRQ RI WKH


(*356 3DFNHW 8SOLQN $FN1DFN PHVVDJH

‡ 6HQGLQJ RI WKH XQFRPSUHVVHG ELWPDS LQ WKH (*356 $FN1DFN 'HVFULSWLRQ RI


WKH (*356 3DFNHW 8SOLQN $FN1DFN PHVVDJH
7KH %66 VHQGV WKH XQFRPSUHVVHG ELWPDS LQ WKH (*356 3DFNHW 8SOLQN $FN1DFN PHVVDJH
XQOHVV WKH FRPSUHVVHG ELWPDS UHVXOWV LQ IHZHU 5/& FRQWURO EORFNV
7KHUH DUH FDVHV ZKHUH WKH FRPSUHVVHG ELWPDS GHVFULSWLRQ LV DFWXDOO\ ORQJHU WKDQ WKH H[SOLFLW
ELWPDS $FN1DFN GHVFULSWLRQ EHFDXVH WKH FRPSUHVVLRQ LV D W\SH RI 5XQ /HQJWK FRPSUHVVLRQ
7KH %66 QHHGV WR WU\ WKH FRPSUHVVLRQ WR VHH ZKLFK $FN1DFN GHVFULSWLRQ LV VKRUWHU DQG WKHQ
XVHV WKH VKRUWHU $FN1DFN GHVFULSWLRQ LQ WKH 3DFNHW 8SOLQN $FN1DFN PHVVDJH
7KH %66 LQGLFDWHV WR WKH PRELOH VWDWLRQ WR XVH 3UHB(PSWLYHB7UDQVPLVVLRQ E\ VHWWLQJ WKH
SUHBHPSWLYHBWUDQVPLVVLRQ ELW WR ¶¶ LQ WKH 3DFNHW 8SOLQN $FN1DFN PHVVDJH
7KH %66 VHWV WKH 7%)B(67 ILHOG LQ WKH 3DFNHW 8SOLQN $FN1DFN PHVVDJH WR  WR LQGLFDWH
WKDW WKH PRELOH LV QRW DOORZHG WR UHTXHVW WKH HVWDEOLVKPHQW RI QHZ 7%)V

‡ 7KH %66 VXSSRUWV WKH (*356 ILHOGV LQ WKH 3DFNHW 5HVRXUFH 5HTXHVW PHVVDJH

3:4 
 6HS 
$LU LQWHUIDFH SDFNHW GDWD WUDQVIHU &KDSWHU  &DOO SURFHVVLQJ

‡ 7KH %66 VXSSRUWV WKH (*356 ILHOGV LQ WKH 3DFNHW 8SOLQN $VVLJQPHQW PHVVDJH
7KH %66 VHQGV WKH PRELOH VWDWLRQ WKH WOOLBEORFNBFKDQQHOBFRGLQJ ILHOG LQ WKH 3DFNHW 8SOLQN
$VVLJQPHQW PHVVDJH WR LQGLFDWH WR WKH PRELOH VWDWLRQ WKDW LW LV WR XVH HLWKHU &6 IRU *356
7%)V RU 0&6 IRU (*356 7%)V RU WKH FRPPDQGHG FKDQQHOFRGLQJ VFKHPH
7KH %66 VHWV WKH OLQNBTXDOLW\BPHDVXUHPHQWBPRGH ILHOG WR ¶ ¶ LQ WKH 3DFNHW 'RZQOLQN
$VVLJQPHQW 3DFNHW 7LPHVORW 5HFRQILJXUH DQG ,PPHGLDWH $VVLJQPHQW PHVVDJHV WKHUHE\
QRW UHTXHVWLQJ WKH PRELOH WR PHDVXUH WKH %(3 RQ D SHUWLPHVORW EDVLV
7KH OLQNBTXDOLW\BPHDVXUHPHQWBPRGH ILHOG LQGLFDWHV WR WKH PRELOH VWDWLRQ RQ ZKLFK
WLPHVORWV WKH PRELOH LV WR PHDVXUH WKH TXDOLW\ RI WKH UDGLR FKDQQHO 7KH SHU WLPHVORW
(*356 7LPHVORW /LQN 4XDOLW\ 0HDVXUHPHQWV LV RQO\ LQFOXGHG LQ &KDQQHO 4XDOLW\ 5HSRUW
LI WKH YDOXH RI OLQNBTXDOLW\BPHDVXUHPHQWBPRGH LV HLWKHU ¶ ¶ RU ¶ ¶ %\ VHWWLQJ
WKH OLQNBTXDOW\BPHDVXUHPHQW WR ¶ ¶ WKH PRELOH VWDWLRQ LV QRW UHTXHVWHG WR UHSRUW WKH
SHU WLPHVORW OLQN TXDOLW\ PHDVXUH LQ WKH &KDQQHO 4XDOLW\ 5HSRUW

‡ 7KH %66 VHQGV WKH PRELOH VWDWLRQ WKH FKDQQHOFRGLQJ VFKHPH REWDLQHG IURP WKH
FKDQQHOFRGLQJ DOJRULWKP WR EH XVHG RQ WKH XSOLQN FKDQQHO IRU QHZ XSOLQN GDWD EORFNV
LQ WKH 3DFNHW 8SOLQN $VVLJQPHQW DQG 3DFNHW 8SOLQN $FN1DFN PHVVDJHV

‡ 7KH %66 VXSSRUWV WKH QHZ GHILQLWLRQV RI WKH /HQJWK ,QGLFDWRU ILHOG WR LQGLFDWH //&
ERXQGDULHV DQG GRHV QRW XVH WKH 0 ELW IRU (*356 7%) PRGH

 3:4
 6HS 
7HFKQLFDO 'HVFULSWLRQ %66 ,PSOHPHQWDWLRQ $LU LQWHUIDFH SDFNHW GDWD WUDQVIHU

3K\VLFDO OD\HU

7KH SK\VLFDO OD\HU FDQ EH VXEGLYLGHG LQWR WZR OD\HUV WKH SK\VLFDO 5) OD\HU DQG WKH SK\VLFDO OLQN OD\HU
7KH SK\VLFDO 5) OD\HU SHUIRUPV PRGXODWLRQ RI WKH SK\VLFDO ZDYHIRUPV DQG GHPRGXODWLRQ RI WKH UHFHLYHG
ZDYHIRUP LQWR D VHTXHQFH RI ELWV WKHQ WUDQVIHUUHG WR WKH SK\VLFDO OLQN OD\HU
7KH SK\VLFDO OLQN OD\HU SURYLGHV WKH VHUYLFHV IRU LQIRUPDWLRQ WUDQVIHU RYHU D SK\VLFDO FKDQQHO
EHWZHHQ WKH 06 DQG WKH *356 QHWZRUN )XQFWLRQV DW WKLV OD\HU LQFOXGH
‡ )RUZDUG (UURU &RUUHFWLRQ )(& FRGLQJ  $OORZV IRU WKH GHWHFWLRQ DQG FRUUHFWLRQ RI
WUDQVPLWWHG FRGH ZRUGV DQG WKH LQGLFDWLRQ RI FRGH ZRUGV WKDW FDQ EH FRUUHFWHG

‡ 3URFHGXUHV IRU GHWHFWLQJ SK\VLFDO OLQN FRQJHVWLRQ

‡ 6\QFKURQL]DWLRQ SURFHGXUHV LQ DGGLWLRQ WR DGMXVWPHQW RI WLPLQJ DGYDQFH SDUDPHWHUV

‡ 0RQLWRULQJ DQG HYDOXDWLRQ SURFHGXUHV IRU UDGLR OLQN VLJQDO TXDOLW\

‡ &HOO VHOHFWLRQ DQG UHVHOHFWLRQ SURFHGXUHV

‡ 7UDQVPLWWHU SRZHU FRQWURO SURFHGXUHV

‡ %DWWHU\ SRZHU FRQVHUYDWLRQ SURFHGXUHV VXFK DV 'LVFRQWLQXRXV 5HFHSWLRQ '5[ 

‡ 5HFWDQJXODU LQWHUOHDYLQJ RI RQH UDGLR EORFN RYHU IRXU EXUVWV LQ FRQVHFXWLYH 7'0$ IUDPHV

3DFNHW WUDQVPLVVLRQ VHTXHQFH


7KH 7%) UHFHLYHG IURP WKH 0$& OD\HU LV VSOLW LQWR EORFNV RI HLJKW  ELW GDWD ILHOGV LQ IRXU
FRQVHFXWLYH 7'0$ QRUPDO EXUVW IUDPHV 7KHVH DUH WKHQ WUDQVPLWWHG WR WKH 06 LQ GRZQOLQN $W UHJXODU
LQWHUYDOV QR PRUH WKDQ  EORFNV D GRZQOLQN $&.1$&. UHTXHVW LV VHQW IRU DFNQRZOHGJHG GDWD
6HH WKH VHFWLRQ *356 UHVHUYHG DQG VZLWFKDEOH WLPHVORWV LQ WKLV &KDSWHU
%ORFNV DUH VHQW LQ VWULFW VHTXHQFH DV JLYHQ E\ WKH %61 ,I WZR WLPHVORWV DUH DOORFDWHG LQ WKH IRXU 7'0$ IUDPHV
IRU SDFNHW GDWD WKH EORFNV DUH VHQW LQ VHTXHQFH DOWHUQDWLQJ EHWZHHQ WKH WZR WLPHVORWV DV VKRZQ LQ )LJXUH 

)LJXUH  3DFNHW WUDQVPLVVLRQ VHTXHQFH WZR WLPHVORWV

1 2

3 4

)LJXUH  VKRZV WKH VHTXHQFH ZLWK WKUHH WLPHVORWV DOORFDWHG

3:4 
 6HS 
$LU LQWHUIDFH SDFNHW GDWD WUDQVIHU &KDSWHU  &DOO SURFHVVLQJ

)LJXUH  3DFNHW WUDQVPLVVLRQ VHTXHQFH WKUHH WLPHVORWV

1 2 3

4 5 6

2Q GRZQOLQN WUDQVIHUV WKH %66 ZLOO DXWRPDWLFDOO\ DOORFDWH DV PDQ\ VZLWFKDEOH WLPHVORWV IRU
SDFNHW GDWD DV LW FDQ GHSHQGLQJ RQ WKH PXOWLWLPHVORW FDSDELOLW\ RI WKH 06
:KHQ WKH 06 LV ZLWKLQ  EORFNV RI WKH HQG RI WKH 7%) LW VWDUWV D FRXQWGRZQ ZKLFK LV UHWXUQHG LQ WKH XSOLQN
$&.1$&. PHVVDJH 7KH 3&8 WKHQ VWDUWV WR UHDOORFDWH WKH SDFNHW GDWD WLPHVORWV IRU WKH QH[W 7%)

*356 ,QWHUOHDYLQJ 7%)V


7KH ,QWHUOHDYLQJ 7HPSRUDU\ %ORFN )ORZV 7%)V IXQFWLRQ DOORZV WKH UDSLG PXOWLSOH[LQJ RI 5DGLR
6LJQDOOLQJ /LQN 5/& 'DWD %ORFNV RI PDQ\ GLIIHUHQW PRELOHV RQWR D FRPPRQ DLU UHVRXUFH
0XOWLSOH PRELOHV DUH WKHQ EH DEOH WR VKDUH D FRPPRQ DLU UHVRXUFH DOWKRXJK HDFK PRELOH¶V
HIIHFWLYH WKURXJKSXW RQ WKDW VKDUHG UHVRXUFH PD\ EH GHFUHDVHG
(DFK 0RELOH VKDULQJ D FRPPRQ DLU UHVRXUFH LV JLYHQ D FHUWDLQ SHUFHQWDJH RI WKDW VKDUHG UHVRXUFH¶V
EDQGZLGWK $V DQ H[DPSOH LI WZR 06V DUH LQWHUOHDYHG RQ WKH VDPH DLU WLPHVORW RQH 06 PD\
EH JLYHQ  RI WKH WLPHVORW ZKLOVW WKH VHFRQG 06 PD\ EH JLYHQ WKH UHPDLQLQJ  RI WKH
WLPHVORW )LJXUH  KHOSV WR LOOXVWUDWH 7%) ,QWHUOHDYLQJ

 3:4
 6HS 
7HFKQLFDO 'HVFULSWLRQ %66 ,PSOHPHQWDWLRQ $LU LQWHUIDFH SDFNHW GDWD WUDQVIHU

)LJXUH  ([DPSOH RI ,QWHUOHDYLQJ '/ 7%)V

,Q )LJXUH  0RELOH $ DQG 0RELOH % DUH EHLQJ LQWHUOHDYHG RQ WKH VDPH DLU WLPHVORW +RZHYHU 0RELOH
$ UHFHLYHV  RI WKH WLPHVORWV EDQGZLGWK ZKLOH 0RELOH % UHFHLYHV 
7KLV LQWHUOHDYLQJ LQFUHDVHV WKH QXPEHU RI XVHUV WKDW FDQ EH RQ D VLQJOH WLPHVORW WKHUHIRUH LQFUHDVLQJ
WKH RYHUDOO FDSDFLW\ LQ WHUPV RI QXPEHU RI XVHUV RI D VHUYLQJ FHOO
,QWHUOHDYLQJ 7%)V LQ WKH XSOLQN DQG GRZQOLQN GLUHFWLRQ XVH WKH %ORFNE\%ORFN PXOWLSOH[LQJ PHWKRG
%ORFNE\%ORFN PXOWLSOH[LQJ LQYROYHV WKH PXOWLSOH[LQJ RI WZR RU PRUH PRELOHV RQ D WLPHVORW
ZLWK WKH FDSDELOLW\ RI VZLWFKLQJ EHWZHHQ PRELOHV HYHU\ EORFN SHULRG
$OO RI WKH PRELOHV RQ D WLPHVORW DUH DOO VLPXOWDQHRXVO\ DFWLYH LQ 7%)V 7KH 7%) VHWXS SKDVH 7%)
UHOHDVH SKDVH RU GDWD WUDQVIHU SKDVH RI RQH PRELOH¶V 7%) PD\ RYHUODS ZLWK WKH 7%) VHWXS SKDVH
7%) UHOHDVH SKDVH RU GDWD WUDQVIHU SKDVH RI RWKHU 7%)V EHORQJLQJ WR RWKHU PRELOHV

$FNQRZOHGJHG GDWD
,I D 1$&. LV WKHQ UHWXUQHG WKH ZKROH EORFN LV UHWUDQVPLWWHG
,I WKH 06 PRYHV WR DQRWKHU ORFDWLRQ DUHD LW LQIRUPV WKH %66 DQG DQ\ GDWD WKDW KDV QRW EHHQ
DFNQRZOHGJHG LV WUDQVIHUUHG WR WKH QHZ 6*61 IRU UHWUDQVPLVVLRQ 7KH ORFDWLRQ XSGDWH PHVVDJH VHQW
E\ WKH 06 FRQWDLQV WKH LGHQWLW\ RI WKH ROG 6*61 WR HQDEOH WKLV WR KDSSHQ
,Q WKH 6LJQDOOLQJ VHFWLRQ LQ WKLV FKDSWHU PHVVDJH VHTXHQFH GHWDLOV DUH GHVFULEHG

8QDFNQRZOHGJHG GDWD
)RU DQ XQDFNQRZOHGJHG GDWD WUDQVIHU 5/& GLVFDUGV WKH GDWD DIWHU WUDQVPLVVLRQ DQG
QR $&.1$&. UHTXHVW LV VHQW

3:4 
 6HS 
$LU LQWHUIDFH SDFNHW GDWD WUDQVIHU &KDSWHU  &DOO SURFHVVLQJ

&RGLQJ VFKHPHV

7KH SULRULW\ DQG GDWD LQWHJULW\ IRU WKH WUDQVIHU RI SDFNHW GDWD RQ WKH DLU LQWHUIDFH LV FRQWUROOHG
E\ VHOHFWLRQ RI FRGLQJ VFKHPHV 7KH PRUH LQWHQVLYH WKH LQWHJULW\ FKHFNLQJ WKH OHVV GDWD FDQ EH
WUDQVPLWWHG SHU EORFN )RXU FRGLQJ VFKHPHV DUH GHILQHG IRU VWDQGDUG *356

&RGLQJ VFKHPH &6


&RGLQJ VFKHPH &6 XVHV D  ELWV %ORFN &KHFN 6HTXHQFH %&6 IRU LQFUHDVHG LQWHJULW\
SURWHFWLRQ :LWK WKH 86)  ELWV  KHDGHU DQG GDWD  ELWV DQG IRXU WDLO ELWV WKLV DPRXQWV WR
 ELWV ,Q DGGLWLRQ WR WKH %&6 FKHFN DQG D FKHFNVXP FKHFN RQ WKH KHDGHU DQG GDWD WKH IRXU
WDLO ELWV DUH VXEMHFWHG WR D  UDWH FRQYROXWLRQDO GHFRGHU FKHFN
&6 WKHUHIRUH JLYHV D GDWD UDWH RI  ELWV SHU  PLOOLVHFRQGV RU  NELWV
)LJXUH  VKRZV WKH VWUXFWXUH RI WKH  ELW &6 EORFN

)LJXUH  &RGLQJ VFKHPH &6

&RGLQJ VFKHPH &6


&RGLQJ VFKHPH &6 XVHV RQO\  ELWV IRU WKH %ORFN &KHFN 6HTXHQFH %&6 EXW LQ WKLV FDVH RQO\ D
&5& FRGH LV XVHG $ ELW 86) LV XVHG LQ &6 WR LQFUHDVH UREXVWQHVV RYHU WKH DLU LQWHUIDFH )RXU
WDLO ELWV DUH DGGHG VR WKDW WKH ZKROH EORFN DPRXQWV WR  ELWV 7KH WRWDO LV VXEMHFWHG WR D  UDWH
FRQYROXWLRQDO GHFRGHU FKHFN 7KH  ELWV SHU  PV LV WKHQ UHGXFHG WR  ELWV VR DV WR ILW WKH QRUPDO
*60 EXUVW VWUXFWXUH 7KLV LV GRQH E\ SXQFWXULQJ DV VKRZQ LQ )LJXUH 
&6 WKHUHIRUH JLYHV D GDWD UDWH RI  ELWV SHU  PLOOLVHFRQGV RU  NELWV
)LJXUH  VKRZV WKH VWUXFWXUH RI WKH  ELW &6 EORFN

 3:4
 6HS 
7HFKQLFDO 'HVFULSWLRQ %66 ,PSOHPHQWDWLRQ $LU LQWHUIDFH SDFNHW GDWD WUDQVIHU

)LJXUH  &RGLQJ VFKHPH &6

&RGLQJ VFKHPH &6


&RGLQJ VFKHPH &6 DOVR XVHV D  ELW &5& IRU WKH %&6 DQG D ELW 86) )RXU WDLO ELWV DUH DGGHG VR WKDW
WKH ZKROH EORFN LQFOXGLQJ KHDGHU DQG GDWD  ELWV  DPRXQWV WR  ELWV 7KH WRWDO EORFN LV VXEMHFWHG WR
D  UDWH FRQYROXWLRQDO GHFRGHU FKHFN JLYLQJ  ELWV 7KH  ELWV SHU  PV LV WKHQ UHGXFHG WR 
ELWV WR ILW WKH QRUPDO *60 EXUVW VWUXFWXUH E\ SXQFWXULQJ  ELWV DV VKRZQ LQ )LJXUH 
&6 WKHUHIRUH JLYHV D GDWD UDWH RI  ELWV SHU  PLOOLVHFRQGV RU  NELWV
)LJXUH  VKRZV WKH VWUXFWXUH RI WKH  ELW &6 EORFN

3:4 
 6HS 
$LU LQWHUIDFH SDFNHW GDWD WUDQVIHU &KDSWHU  &DOO SURFHVVLQJ

)LJXUH  &RGLQJ VFKHPH &6

     WDLO ELWV

86) +HDGHU DQG GDWD %&6  ELWV

 UDWH FRQYROXWLRQDO FRGLQJ




 ELWV

3XQFWXULQJ  ELWV  VHH EHORZ



 ELWV

3XQFWXUHG ELWV
                  

)LUVW /DVW
WL*607',:HSVVZ

&RGLQJ VFKHPH &6


&RGLQJ VFKHPH &6 XVHV  ELWV IRU WKH %&6 DQG  ELWV IRU WKH 86) &RPELQHG ZLWK WKH KHDGHU
DQG GDWD ELWV  WKLV DPRXQWV WR  ELWV WKH VWDQGDUG *356 IUDPH VL]H
&6 WKHUHIRUH JLYHV D GDWD UDWH RI  ELWV SHU  PLOOLVHFRQGV RU  NELWV
)LJXUH  VKRZV WKH VWUXFWXUH RI WKH  ELW &6 EORFN

)LJXUH  &RGLQJ VFKHPH &6

  

86) +HDGHU DQG GDWD %&6  ELWV

WL*607',:HSVVZ

&RGLQJ VFKHPHV DUH DOORFDWHG G\QDPLFDOO\ GXULQJ WUDQVPLVVLRQ RI SDFNHW GDWD GHSHQGLQJ RQ IDFWRUV VXFK DV
%ORFN (UURU 5DWH %/(5  DYDLODELOLW\ RI VZLWFKDEOH WLPHVORWV XVDJH RI WLPHVORWV E\ FLUFXLW VZLWFKHG QHWZRUN
DQG VR RQ 2EYLRXVO\ LI D GDWD EORFN KDV WR EH UHVHQW DW WKH 5/& OD\HU LW PXVW KDYH WKH VDPH FRGLQJ VFKHPH

 3:4
 6HS 
7HFKQLFDO 'HVFULSWLRQ %66 ,PSOHPHQWDWLRQ $LU LQWHUIDFH SDFNHW GDWD WUDQVIHU

$OO XSOLQN SDFNHW FRQWURO FKDQQHOV DUH VHQW DW &6 LQFOXGLQJ WKH 35$&+ 7KH 35$&+ LV GHVFULEHG
XQGHU *356 WUDIILF DQG FRQWURO FKDQQHOV RQ SDJH  
7KH DOJRULWKP WKDW FRQWUROV WKH VHOHFWLRQ RI FRGLQJ VFKHPHV LV WKH VDPH RQH WKDW PRQLWRUV DQG FRQWUROV SRZHU
OHYHOV 3RZHU FRQWURO LV FRQWLQXRXVO\ PRQLWRUHG WKURXJK XSOLQN $&.1$&. PHVVDJHV DOZD\V DW &6 WR WKH
%76 DQG LV GHWHUPLQHG LQ WZR ZD\V 3RZHU FRQWURO LV GHVFULEHG LQ WKH +DQGRYHUV DQG 3RZHU &RQWURO FKDSWHU

(*356 FRGLQJ VFKHPHV

^`
7KH (*356 FRGLQJ VFKHPH DOJRULWKP XVHV %(3 %LW (UURU 3UREDELOLW\ DQG &9B%(3 9DULDQFH LQ %(3 WR
GHFLGH WKH 8/ DQG '/ FRGLQJ VFKHPHV 7KH &KDQQHO &RGHU UHSRUWV WKH 8/ %(3 DQG &9B%(3 WR WKH 3&8
7KH 0RELOH UHSRUWV WKH '/ %(3 DQG &9B%(3 WR WKH 3&8 LQ WKH (*356 38$. PHVVDJH
7KH %66 VXSSRUWV DOO H[LVWLQJ *356 FRGLQJ VFKHPHV &6  &6 IRU *356 7%)V DQG DOO (*356
FRGLQJ VFKHPHV 0&6  0&6 IRU (*356 7%)V RQ D NESV WHUUHVWULDO FKDQQHO
7KH FRGLQJ VFKHPHV DYDLODEOH IRU XVH RQ HDFK DLU WLPHVORW GHSHQGV RQ WKH EDFNKDXO DOORFDWHG WR HDFK DLU WLPHVORW
7KH %66 VXSSRUWV RQ D SHU PRELOH EDVLV WKH (*356 FRGLQJ VFKHPHV RQ WKH XSOLQN DLU WLPHVORWV
LQGHSHQGHQWO\ IURP WKH (*356 FRGLQJ VFKHPHV RQ WKH GRZQOLQN DLU WLPHVORWV
:KHQ D PRELOH LV SHUIRUPLQJ D ELGLUHFWLRQDO SDFNHW WUDQVIHU RU LQGHSHQGHQW SDFNHW WUDQVIHUV LQ ERWK
GLUHFWLRQV WKH 3&8 DOORZV LQGHSHQGHQW FRGLQJ VFKHPH VHOHFWLRQV IRU HDFK GLUHFWLRQ
7KH %66 OLPLWV WKH XSOLQN FKDQQHO FRGLQJ VFKHPH XVDJH WR (*356*06. 0&60&6 IRU DQ (*356
PRGH 7%) LI WKH PRELOH LQGLFDWHV QR VXSSRUW RI XSOLQN 36. PRGXODWLRQ
7KH FRGLQJ VFKHPH VHOHFWLRQ DOJRULWKPV FRPSHQVDWH IRU WKH DUWLILFLDOO\ ORZ EORFN HUURU UDWH LQWURGXFHG E\
RYHUULGLQJ WKH FRGLQJ VFKHPH ZLWK *06. PRGXODWHG UDGLR EORFNV LQ WKH HYHQW WKDW DQ (*356 7%) DQG
*356 7%) DUH LQWHUOHDYHG RQ WKH VDPH WLPHVORW DQG WKH *356 7%) LV EHLQJ VHQW 86)V
)RU XSOLQN GDWD WUDQVIHUV WKH %66 VHOHFWV RQH RI WKH (*356 FRGLQJ VFKHPHV 0&6  0&6
RQ D SHU (*356 PRELOH EDVLV DFFRUGLQJ WR PHDVXUHPHQW LQIRUPDWLRQ
)RU GRZQOLQN GDWD WUDQVIHUV WKH %66 VHOHFWV RQH RI WKH (*356 FRGLQJ VFKHPHV 0&6  0&6 RQ D SHU
(*356 PRELOH EDVLV DFFRUGLQJ WR PHDVXUHPHQW LQIRUPDWLRQ XQOHVV LQWHUOHDYLQJ ZLWK *356 PRELOHV UHTXLUHV
*06.RQO\ 0&60&6 RU &6&6 EORFNV WR EH VHQW WR LQIRUP WKH *356 PRELOH RI XSOLQN DYDLODELOLW\
7UDQVPLWWLQJ WKH GRZQOLQN GDWD EORFNV DW D ORZHU FRGLQJ VFKHPH ZLOO FDXVH WKH EORFNV WR KDYH D KLJKHU
SUREDELOLW\ RI EHLQJ GHFRGHG FRUUHFWO\ DQG WKLV PD\ FDXVH WKH FRGLQJ VFKHPH DOJRULWKPV WR KDYH DQ DUWLILFLDOO\
ORZ EORFN HUURU UDWH PHDVXUHPHQW DQG WKLV LV FRPSHQVDWHG IRU E\ WKH FRGLQJ VFKHPH VHOHFWLRQ DOJRULWKP
7KH (*356 FRGLQJ VFKHPHV 0&6  0&6 DUH RQO\ XVHG WR WUDQVPLW GDWD EORFNV 7KH FRGLQJ
VFKHPH WR XVH IRU GRZQOLQN GDWD EORFNV LV GHWHUPLQHG LQ D VLPLODU PDQQHU DV WR WKH H[LVWLQJ FRGLQJ
VFKHPH VHOHFWLRQ DOJRULWKPV FRQVLGHULQJ EORFN HUURU UDWH PLVVHG GRZQOLQN DFNQRZOHGJHPHQWV
5/&0$& ZLQGRZ VWDOOV DQG SDVW SHUIRUPDQFH LQ KLJKHU FRGLQJ VFKHPHV
7KH %66 WUDQVPLWV DOO (*356 5/&0$& FRQWURO EORFNV XVLQJ &6 DQG XVHV 0&6 IRU DOO //&
GXPP\ EORFNV GXULQJ GHOD\HG GRZQOLQN 7%) UHOHDVH PRGH IRU (*356 7%)V
7KH %66 VXSSRUWV DQ DOJRULWKP WR GHWHUPLQH ZKHQ WR UHWUDQVPLW GRZQOLQN 5/& GDWD EORFNV
XVLQJ LQFUHPHQWDO UHGXQGDQF\ ZKHQ FXUUHQW FRGLQJ VFKHPH LV WKH VDPH DV WKH FRGLQJ VFKHPH
XVHG LQ WKH SUHYLRXV WUDQVPLVVLRQ RI WKH 5/& EORFN

3:4 
 6HS 
&DOO TXDOLW\ PRQLWRULQJ &KDSWHU  &DOO SURFHVVLQJ

&DOO TXDOLW\ PRQLWRULQJ


Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ

%LW HUURU UDWH DQG TXDOLW\ EDQG

5DGLR SDWK UHFHLYH TXDOLW\ PHDVXUHPHQWV IRU DFWLYH FDOOV DUH UHSRUWHG E\ WKH %76 WUDQVFHLYHUV DQG WKH
06V 7KHVH PHDVXUHPHQWV DOORZ WKH +'3& SURFHVV WR PDNH KDQGRYHU GHFLVLRQV DQG SRZHU FRQWURO
DGMXVWPHQWV EDVHG RQ WKH XSOLQN DQG GRZQOLQN TXDOLW\ RI WKH OLQN 7KHUH DUH WZR PHWKRGV RI PHDVXULQJ
TXDOLW\ %LW (UURU 5DWH %(5 DQG 4XDOLW\ EDQG 4EDQG  ,Q ERWK PHWKRGV DYHUDJHV DUH XVHG +DQGRYHU
DQG SRZHU FRQWURO SURFHVVLQJ DUH WKH VXEMHFWV RI WKH QH[W FKDSWHU LQ WKLV PDQXDO

%LW HUURU UDWH

7KH PHDVXUHPHQWV DUH UHSRUWHG WR WKH +'3& LQ WKH IRUP RI TXDOLW\ EDQGV UDQJLQJ IURP  DV VKRZQ
LQ 7DEOH   FRUUHVSRQGV WR OLWWOH RU QR GHWHULRUDWLRQ RI UHFHLYH TXDOLW\ 5;48$/ RQ WKH FKDQQHO
DQG  FRUUHVSRQGV WR JUHDWHU WKDQ  %(5 RQ WKH FKDQQHO 7KHVH EDQGV RQFH UHFHLYHG E\ WKH +'3&
DUH PDSSHG WR DQ DVVXPHG %(5 YDOXH GHILQHG LQ *60  DV VKRZQ LQ 7DEOH 

7DEOH  5;48$/ UHSRUWHG EDQGV DQG DVVXPHG %(5

%(5 5HSRUWHG EDQG $VVXPHG %(5


/HVV WKDQ     
      
      
      
      
      
      
*UHDWHU WKDQ     

7KH DVVXPHG %(5 YDOXHV DUH WKHQ VWRUHG DQG LQSXW WR WKH DYHUDJLQJ PHFKDQLVP XVLQJ WKH GHILQHG KUHTW DQG
KUHTDYH YDOXHV VSHFLILHG 7KH GHWDLOHG VHWWLQJV RI WKH XSOLQN DQG GRZQOLQN TXDOLW\ DQG KDQGRYHU SDUDPHWHUV
DUH GHVFULEHG LQ WKH Technical Description: BSS Command Reference (68P02901W23)

 3:4
 6HS 
7HFKQLFDO 'HVFULSWLRQ %66 ,PSOHPHQWDWLRQ &DOO TXDOLW\ PRQLWRULQJ

4XDOLW\ EDQG

$Q DOWHUQDWH PHWKRG NQRZQ DV 4XDOLW\ %DQG 4%$1' XVHV WKH UHSRUWHG EDQGV  DV WKH LQSXW WR WKH
DYHUDJLQJ PHFKDQLVP LQVWHDG RI WKH DVVXPHG %(5 7KLV PRGLILFDWLRQ UHTXLUHV WKDW WKH WKUHVKROG SDUDPHWHUV
DUH EDVHG RQ EDQGV DOVR VLQFH WKH UHDYHUDJHG YDOXHV SURGXFHG UHODWHG WR WKH EDQGV UDWKHU WKDQ %(5
SHUFHQWDJHV 5HIHU WR 5;48$/ 0HDVXUHPHQWV IRU GHWDLOV RI 4%$1'%(5 PHDVXUHPHQW H[DPSOHV

5HODWHG FRPPDQGV DQG SDUDPHWHUV

5HIHU WR Technical Description: BSS Command Reference (68P02901W23) IRU D IXOO


GHVFULSWLRQ RI FRPPDQGV DQG SDUDPHWHUV
7KH DOWBTXDOBSURF SDUDPHWHU FDQ EH XVHG ZLWK WKH DGGBFHOO RU FKJBHOHPHQW FRPPDQGV
WR VHOHFW WKH PHDVXUHPHQW W\SH %(5 RU 4EDQG 
7KH WKUHVKROGV IRU GHFLVLRQ PDNLQJ IRU KDQGRYHUV RU SRZHU FRQWURO DGMXVWPHQWV DUH
VHW E\ WKH IROORZLQJ SDUDPHWHUV
,BU[TXDOBXOBS XBU[TXDOBXOBS  ORZHU DQG XSSHU XSOLQN SRZHU
,BU[TXDOBGOBS XBU[TXDOBGOBS  ORZHU DQG XSSHU GRZQOLQN SRZHU
,BU[TXDOBXOBK  ORZHU XSOLQN KDQGRYHU
,BU[TXDOBGOBK  ORZHU GRZQOLQN KDQGRYHU
7KHVH WKUHVKROG SDUDPHWHUV DOVR H[LVW IRU GHFLVLRQ PDNLQJ IRU KDQGRYHUV RU SRZHU FRQWURO
DGMXVWPHQWV IRU GDWD RQO\ WUDQVPLVVLRQV DQG IRU KRSSLQJ FHOOV 7KH SDUDPHWHU QDPHV DUH WKH
VDPH H[FHSW WKDW WKH VXIIL[ BGDWD RU BKRSSLQJ LV DGGHG
7KH SDUDPHWHUV DUH EHUBRRVBPRQBSHULRG DQG EHUBUHVWRUHBPRQBSHULRG IRU XVH ZLWK WKH PRGLI\BYDOXH
FRPPDQG DQG EHUBORVVBGDLO\ DQG EHUBORVVBKRXUO\ IRU XVH ZLWK WKH FKJBHOHPHQW FRPPDQG
7KH GHWDLOV RI VHWWLQJ RI WKH XSOLQN DQG GRZQOLQN TXDOLW\ DQG KDQGRYHU SDUDPHWHUV DUH GHVFULEHG LQ
WKH Technical Description: BSS Command Reference (68P02901W23)

3:4 
 6HS 
&DOO TXDOLW\ PRQLWRULQJ &KDSWHU  &DOO SURFHVVLQJ

6\VWHP LPSDFW

7KH DYHUDJLQJ SURFHVV SURGXFHV GLIIHUHQW TXDOLW\ PHDVXUHPHQW UHVXOWV GHSHQGLQJ RQ ZKHWKHU
%(5 RU 4%$1' PHDVXUHPHQWV DUH XVHG LQ WKH DYHUDJLQJ SURFHVV
‡ 7KH 4%$1' WHQGV WR EH OHVV VHQVLWLYH WR RFFDVLRQDO H[WUHPH YDOXHV EHFDXVH
RI LWV WHQGHQF\ WR URXQG RII UHVXOWV

‡ 7KH GHIDXOW %(5 JHQHUDOO\ KDV EHWWHU SHUIRUPDQFH EHFDXVH RI LWV PRUH SUHFLVH UHVXOWV

%LW HUURU UDWH ORVV DODUPV

%LW HUURU UDWHV DUH FRQVWDQWO\ FKHFNHG E\ WKH WUDQVFRGHU ;&'5 06, ERDUGV 7KUHVKROGV FDQ
EH VHW E\ WKH RSHUDWRU IRU WDNLQJ DIIHFWHG 006V RXW RI VHUYLFH DQG WULJJHULQJ DODUPV EDVHG RQ
WKH QXPEHU RI %(5 ORVVHV LQ VSHFLILHG WLPHV KRXUO\ RU GDLO\ 

*356 EORFN HUURU UDWH PRQLWRULQJ

,Q DFNQRZOHGJHG PRGH WKH %ORFN 6HTXHQFH 1XPEHU %61 SURYLGHV D PRGXOR QXPEHULQJ VFKHPH  ELWV
IRU WKH 5/& GDWD EORFNV ZLWKLQ RQH 7HPSRUDU\ %ORFN )ORZ 7%)  )URP WKLV LV GHULYHG WKH PD[LPXP
WKUHVKROG RI  EORFNV EHIRUH DQ $&. LV VROLFLWHG (YHU\ $&. PHVVDJH DFNQRZOHGJHV WKH QXPEHU RI
EORFNV VHQW VLQFH WKH ODVW $&. ZDV VHQW :KHQ DOO EORFNV ZLWKLQ D 7%) KDYH EHHQ VHQW D ILQDO $&.
LV VHQW 7KH 06 PDLQWDLQV D & EORFN ELW PDS RI $&.QRZOHGJHG EORFNV DQG VHQGV WKLV XS WR WKH %76
LQ WKH 3'7&+ +ROHV LQ WKLV ELW PDS LQIRUP WKH %76 ZKLFK EORFNV ZHUH QRW UHFHLYHG DQG WKHVH DUH
LPPHGLDWHO\ UHWUDQVPLWWHG )URP WKLV ELW PDS WKH %76 PDLQWDLQV D %ORFN (UURU 5DWH %/(5 

 3:4
 6HS 
7HFKQLFDO 'HVFULSWLRQ %66 ,PSOHPHQWDWLRQ $GDSWLYH PXOWLUDWH $05 RSWLPL]DWLRQ OLQN DQG LQWHOOLJHQW RSWLPL]DWLRQ V\VWHP

$GDSWLYH PXOWLUDWH $05 RSWLPL]DWLRQ OLQN DQG


LQWHOOLJHQW RSWLPL]DWLRQ V\VWHP
Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ

^`

2SWLPL]DWLRQ /LQN 23/

7KH 2SWLPL]DWLRQ /LQN 23/ LV XVHG WR FDUU\ PHDVXUHPHQW UHSRUW GDWD RXW RI WKH %66 WR WKH ,QWHOOLJHQW
2SWLPL]DWLRQ 6\VWHP ,26  7KH 23/ UHSRUWV $05 +DOI5DWH +5 FDOO GDWD PHDVXUHPHQW UHSRUW
GDWD UDSLG KDQGRYHU HYHQWV 5[4XDOLQWHUIHUHQFH KDQGRYHU HYHQWV IRU $05 +5 FDOOV
7KH %66 23/ XVHV D QHZ FDXVH YDOXH ZLWKLQ WKH H[FHSWLRQ KDQGRYHU LQIRUPDWLRQ PHVVDJH WR
LQGLFDWH WKDW WKH KDQGRYHU ZDV GXH WR FRQJHVWLRQ EDVHG UHFRQILJXUDWLRQ WR +5 7KH FDXVH YDOXH
UHIHUV WR WKH YDOXH LQVHUWHG LQ WKH FDXVH RFWHW RI WKH H[FHSWLRQ KDQGRYHU LQIRUPDWLRQ PHVVDJH
7KLV FDXVH YDOXH LQGLFDWHV WR WKH ,26 ZKDW FDXVHG KDQGRYHU
$ QHZ YDOXH LV XVHG WR LQGLFDWH WKDW D UDSLG KDQGRYHU HYHQW ZDV FDXVHG E\ FRQJHVWLRQ EDVHG
UHFRQILJXUDWLRQ RI D )XOO5DWH )5 FDOO WR D +5 FDOO 0LVVLQJ SRZHU EXGJHW QHLJKERXU HYHQW
GDWD LV EH VHQW WR WKH ,26 LI VSHFLILHG ,Q DGGLWLRQ PLVVLQJ QHLJKERXU HYHQW GDWD LV DOVR VHQW WR
WKH ,26 LI VSHFLILHG 7KH VDPH PLVVLQJ QHLJKERXU RFFXUUHQFH PHVVDJH LV XVHG IRU ERWK PLVVLQJ
SRZHU EXGJHW QHLJKERXU DQG PLVVLQJ QHLJKERXU HYHQW GDWD UHSRUWLQJ
(DFK PHDVXUHPHQW UHSRUW IURP WKH 23/ LQGLFDWHV WKH $05 VSHHFK YHUVLRQ DQG FKDQQHO W\SH

,QWHOOLJHQW 2SWLPL]DWLRQ 6\VWHP ,26

7KH ,26 FROODWHV WKH PHDVXUHPHQW UHSRUW GDWD IURP WKH 23/ DQG PDNHV UHFRPPHQGDWLRQV RQ KRZ
WKH QHWZRUN DQG FHOOV LQ WKH QHWZRUN FDQ EH RSWLPL]HG 7KH FKJBRSOBGDWD 00, FRPPDQG LV XVHG
WR VSHFLI\ GDWD W\SHV WR EH UHSRUWHG WR WKH ,26 IURP ZKLFK '5,VWLPHVORWV 7KH 23/ LQWHUIDFH LV
PRGLILHG WR VXSSRUW WKH H[LVWLQJ UHSRUWHG GDWD W\SHV IRU $05 +5 FDOOV
5DSLG KDQGRYHU 5[4XDO DQG LQWHUIHUHQFH KDQGRYHU HYHQW GDWD LV UHSRUWHG WR WKH ,26 LI VSHFLILHG
7KH H[FHSWLRQ KDQGRYHU LQIRUPDWLRQ PHVVDJH LV XVHG IRU ERWK UDSLG KDQGRYHU HYHQW GDWD UHSRUWLQJ
DQG 5[4XDOLQWHUIHUHQFH KDQGRYHU HYHQW GDWD UHSRUWLQJ

3:4 
 6HS 
7LPLQJ DGYDQFH &KDSWHU  &DOO SURFHVVLQJ

7LPLQJ DGYDQFH
Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ

&LUFXLW VZLWFKHG WLPLQJ DGYDQFH

7R VLPSOLI\ WKH GHVLJQ RI WKH 06 WKH *60 UHFRPPHQGDWLRQV VSHFLI\ DQ RIIVHW RI WKUHH WLPHVORWV EHWZHHQ WKH
%66 DQG 06 WLPLQJ WKXV DYRLGLQJ WKH QHFHVVLW\ IRU WKH 06 WR WUDQVPLW DQG UHFHLYH VLPXOWDQHRXVO\
+RZHYHU WKH V\QFKURQLVDWLRQ RI D 7'0$ V\VWHP LV FULWLFDO EHFDXVH EXUVWV KDYH WR EH WUDQVPLWWHG DQG
UHFHLYHG ZLWKLQ WKH SUHFLVH WLPHVORWV DOORWWHG WR WKHP 7KH IXUWKHU WKH 06 LV IURP WKH %66 WKH ORQJHU
LW WDNHV IRU WKH EXUVWV WR WUDYHO WKH GLVWDQFH EHWZHHQ WKHP 7KH *60 %66 FDWHUV IRU WKLV SUREOHP E\
LQVWUXFWLQJ WKH 06 WR DGYDQFH LWV WLPLQJ WR FRPSHQVDWH IRU WKH LQFUHDVHG SURSDJDWLRQ GHOD\
7KLV DGYDQFH LV WKHQ VXSHULPSRVHG XSRQ WKH WKUHH WLPHVORW QRPLQDO RIIVHW DV VKRZQ LQ )LJXUH 

)LJXUH  7LPLQJ DGYDQFH LOOXVWUDWLRQ

Frame 1

0 1 2 3 4 5 6 7 Downlink

3 TS offset

Timing Frame 1
advance
Uplink 0 1 2 3 4 5 6 7
at BSS
Frame 1

Uplink 0 1 2 3 4 5 6 7
from MS

WL*607',:HSVVZ

3DFNHW VZLWFKHG WLPLQJ DGYDQFH

,QLWLDO WLPLQJ DGYDQFH IRU D *356 06 LV FDOFXODWHG RQ WKH DFFHVV EXUVW 35$&+  8QOLNH *60 DQ
06 XVLQJ *356 PD\ RQO\ KDYH D GRZQOLQN FKDQQHO DFWLYDWHG VR FDQQRW XSGDWH WLPLQJ DGYDQFH
LQIRUPDWLRQ FRQWLQXRXVO\ DQG UHJXODUO\ 7LPLQJ DGYDQFH LQIRUPDWLRQ LV KRZHYHU PHDVXUHG E\ WKH
%76 LQ WKH GRZQOLQN $&.1$&. PHVVDJHV 7KHVH DUH SROOHG IRU HYHU\  //& 3'8V WKDW DUH
VHQW IURP WKH %66 WR WKH 06 GXULQJ GRZQOLQN SDFNHW GDWD WUDQVPLVVLRQ 7LPLQJ DGYDQFH YDOXHV DUH
FDOFXODWHG E\ WKH %66 DQG WKHQ VHQW WR WKH 06 LQ WKH LPPHGLDWH DVVLJQ PHVVDJHV

 3:4
 6HS 
7HFKQLFDO 'HVFULSWLRQ %66 ,PSOHPHQWDWLRQ 7LPLQJ DGYDQFH

,Q DGGLWLRQ WR WKLV *356 LQWURGXFHV D SURFHVV NQRZQ DV 7LPLQJ $GYDQFH 7$ FRQWLQXRXV XSGDWH 7KLV
SURFHVV LQYROYHV WKH 06 VHQGLQJ DFFHVV EXUVWV RQ DQ DVVLJQHG 3$&&+ XVLQJ D UHVHUYHG WLPHVORW DQG
UHFHLYLQJ D XQLTXH WLPLQJ DGYDQFH LQGLFDWRU QXPEHU WR ZKLFK DUH OLQNHG 7$ LQVWUXFWLRQV RQ D VXEVHTXHQW
7$ PHVVDJH ,Q FDVH WKLV PHVVDJH LV PLVVHG RU LQWHUSUHWHG LQFRUUHFWO\ WKH 06 LV LQVWUXFWHG E\ 7$, WR OLVWHQ
WR WKH QH[W WKUHH 7$ PHVVDJHV DV ZHOO 7KHVH 7$ UHVHUYHG WLPHVORWV DUH OLVWHQHG WR E\ DOO 06V LQ WKH FHOO
DQG WKH 7$, VSHFLILHV ZKLFK IRXU 7$ WLPHVORWV LQ FRQVHFXWLYH PHVVDJHV DQ 06 VKRXOG OLVWHQ WR 7KHVH 7$
YDOXHV DUH FDOFXODWHG DW WKH %76 ,Q RUGHU WR DYRLG FRQIOLFWLQJ YDOXHV EHLQJ VHQW E\ WKH 3&8 DQG WKH %76
GXH WR WUDQVPLVVLRQ GHOD\V EHWZHHQ WKHP WKH 3&8 DOORZV IRU WKLV ZKHQ DVVLJQLQJ 7$ YDOXHV
,Q )LJXUH  WKH 06 LV DOORFDWHG 7$, RI  DIWHU WUDQVPLWWLQJ DQ DFFHVV EXUVW XSOLQN  7KLV 7$, LV
VHQW GRZQ LQ WKH UHVXOWDQW LPPHGLDWH DVVLJQPHQW PHVVDJH 2QH GRZQOLQN IUDPH LV WKHQ PLVVHG WR
DOORZ WKH 06 WR FKDQJH IURP 7[ WR 5[  DQG WKH QH[W GRZQOLQN WUDQVPLVVLRQ FRQWDLQV WKH 7$ YDOXH
IRU 06 ZLWK 7$,  LQ ERWK 7$ UHVHUYHG VORWV 7KLV LV WKH UHSHDWHG LQ WKH QH[W GRZQOLQN PXOWLIUDPH
PDNLQJ IRXU RSSRUWXQLWLHV IRU WKH 06 WR UHDG LW 1RWH WKDW WKHVH 7$ WLPHVORWV ZLOO FRQWDLQ 7$ YDOXHV
IRU XS WR  06V DQG WKH\ UHDG WKH YDOXHV DFFRUGLQJ WR WKHLU DVVLJQHG 7$,V
)LJXUH  VKRZV WKH SDFNHW VZLWFKHG WLPLQJ DGYDQFH

3:4 
 6HS 
7LPLQJ DGYDQFH &KDSWHU  &DOO SURFHVVLQJ

)LJXUH  3DFNHW VZLWFKHG WLPLQJ DGYDQFH

Uplink MS allocated the unique TAI of 1

TAI = 0 TAI = 1
T X T X
B0 B1 B2 B3 B4 B5 B6 B7 B8 B9 B10 B11

Downlink (Frame n)
T X T X

B0 B1 B2 B3 B4 B5 B6 B7 B8 B9 B10 B11

Downlink
(Frame n + 1)
V X V X

B0 B1 B2 B3 B4 B5 B6 B7 B8 B9 B10 B11

Downlink
(Frame n + 2)
V X V X

B0 B1 B2 B3 B4 B5 B6 B7 B8 B9 B10 B11

Uplink MS allocated the unique TAI of 1


TAI = 0 TAI = 1
T X T X
B0 B1 B2 B3 B4 B5 B6 B7 B8 B9 B10 B11

Uplink MS allocated the unique TAI of 1


TAI = 2 TAI =3
T X T X
B0 B1 B2 B3 B4 B5 B6 B7 B8 B9 B10 B11

and so on

W here:
X - Idle frame
T - Reserved for timing advance information
Bn - Four-frame radio block
V - Timing advance value for TAI 1 MS (and others with different TAIs)
WL*607',:HSVVZ

 3:4
 6HS 
7HFKQLFDO 'HVFULSWLRQ %66 ,PSOHPHQWDWLRQ %76 FRQFHQWUDWLRQ FDOO SULRULW\ KDQGOLQJ %&&3+

%76 FRQFHQWUDWLRQ FDOO SULRULW\ KDQGOLQJ %&&3+


Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ

%&&3+ IXQFWLRQ

%&&3+ HQDEOHV WKH %66 WR SULRULWL]H WKH RUGHU LQ ZKLFK QRQHPHUJHQF\ FLUFXLW VZLWFKHG FDOOV DUH
SUHHPSWHG E\ HPHUJHQF\ FDOOV :KHQ DQ HPHUJHQF\ FDOO UHTXLUHV WHUUHVWULDO EDFNLQJ UHVRXUFHV WKH %66
FDQ QRZ SUHHPSW D QRQHPHUJHQF\ FLUFXLW VZLWFKHG FDOO EDVHG RQ SULRULW\ DQG DJH
%HIRUH WKH %&&3+ IHDWXUH ZDV LQWURGXFHG LI DQ HPHUJHQF\ FDOO ZDV UHFHLYHG DW D %76 DQG
QR UHVRXUFHV ZHUH DYDLODEOH RQ WKH $ELV LQWHUIDFH OLQN EHWZHHQ D UHPRWH %6& DQG %76 
SUHHPSWLRQ RI H[LVWLQJ FDOOV WRRN SODFH LQ WKH IROORZLQJ RUGHU
‡ 6ZLWFKDEOH SDFNHW GDWD UHVRXUFHV *356 RQ WKH DLU LQWHUIDFH

‡ 1RQHPHUJHQF\ FLUFXLW VZLWFKHG FDOOV

‡ 5HVHUYHG SDFNHW GDWD UHVRXUFHV *356 RQ WKH DLU LQWHUIDFH

:LWKLQ HDFK FDWHJRU\ WKH FDOOV DUH FKRVHQ LQ WKH VHTXHQFH


‡ 2OGHVW WR QHZHVW $ELV FKDQQHOV PDSSHG WR VZLWFKDEOH *356 UHVRXUFHV :LWKLQ WKH *356
WLPHVORWV WKH FDOO WKDW KDV WKH ORZHVW SULRULW\ LV SUHHPSWHG ILUVW ,I WKH FDOOV KDYH WKH
VDPH SULRULW\ WKH FDOO WKDW KDV EHHQ FRQQHFWHG ORQJHVW LV SUHHPSWHG ILUVW

‡ 2OGHVW WR QHZHVW QRQHPHUJHQF\ FLUFXLW VZLWFKHG FDOOV 7KHVH FDOOV DUH LQ WKH RUGHU RI WKH VDPH
FHOO VDPH VLWH DQG WKH VDPH G\QDPLF QHWZRUN DV WKH HPHUJHQF\ FDOO ZLWKLQ HDFK FDWHJRU\

‡ 2OGHVW WR QHZHVW $ELV FKDQQHOV PDSSHG WR UHVHUYHG *356 UHVRXUFHV :LWKLQ WKH *356
WLPHVORWV WKH FDOO WKDW KDV WKH ORZHVW SULRULW\ LV SUHHPSWHG ILUVW ,I WKH FDOOV KDYH WKH
VDPH SULRULW\ WKH FDOO WKDW KDV EHHQ FRQQHFWHG ORQJHVW LV SUHHPSWHG ILUVW

%&&3+ SUHHPSWV FLUFXLW VZLWFKHG FDOOV EDVHG RQ SULRULW\ DV ZHOO DV DJH 7KH %66 DWWHPSWV
WR SUHHPSW WKH ORZHVW SULRULW\ QRQHPHUJHQF\ FLUFXLW VZLWFKHG FDOO ILUVW DQG WKH KLJKHVW
SULRULW\ QRQHPHUJHQF\ FLUFXLW VZLWFKHG FDOO ODVW ,I WZR FDOOV KDYH WKH VDPH SULRULW\ WKH
ROGHVW LV FKRVHQ ILUVW 7R VXPPDULVH WKH VHOHFWLRQ VHTXHQFH
‡ /RZHVW SULRULW\ DQG ROGHVW QRQHPHUJHQF\ FDOO

‡ +LJKHVW SULRULW\ DQG QHZHVW QRQHPHUJHQF\ FDOO

7KH FDOOV DUH FKRVHQ RQ SULRULW\ ILUVW DQG DJH VHFRQG


7KH SULRULW\ OHYHOV DUH IURP  WR  ZKHUH  LV KLJKHVW DQG  LV ORZHVW *356 FDOOV GR QRW KDYH FDOO SULRULW\
OHYHOV 7KH\ DUH WKHUHIRUH SUHHPSWHG DFFRUGLQJ WR WKH SULRULW\ RI WKH FHOO WKDW WKH\ DUH LQ

1RQHPHUJHQF\ FDOOV FDQQRW SUHHPSW QRQHPHUJHQF\ FDOOV

3:4 
 6HS 
&DOO SURFHVVLQJ ORFDWLRQ VHUYLFHV &KDSWHU  &DOO SURFHVVLQJ

&DOO SURFHVVLQJ ORFDWLRQ VHUYLFHV


Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ

(DUO\ FODVVPDUN SURFHGXUH

7KH FODVVPDUN XSGDWH SURFHGXUH LV LQLWLDWHG DW WKH PRELOH ZKHQ WKH FODVVPDUN SDUDPHWHUV RI WKH PRELOH
FKDQJH 7KLV SURFHGXUH LV QRUPDOO\ XVHG RQO\ ZKHQ WKH SRZHU FODVV RI WKH 06 FKDQJHV ZKLOH WKH
06 KDV D GHGLFDWHG UHVRXUFH )RU ORFDWLRQ VHUYLFHV RSHUDWLRQ WKH 06 LV FDSDEOH RI VHQGLQJ XS HDUO\
FODVVPDUN LQIRUPDWLRQ ZKLFK LV GHILQHG DV WKH 06 VHQGLQJ XS D 55 FODVVPDUN FKDQJH PHVVDJH ZLWKLQ
 PV RI WKH LQLWLDO / LQIR PHVVDJH 7KLV HDUO\ FODVVPDUN LQIRUPDWLRQ LV WKH PHDQV E\ ZKLFK WKHVH
/&6 FDSDEOH 06V DUH DEOH WR LQIRUP WKH QHWZRUN RI WKHLU IXOO FDSDELOLWLHV DV WKH 55 FODVVPDUN FKDQJH
PHVVDJH LV WKH RQO\ PHVVDJH ZKLFK FXUUHQWO\ VXSSRUWV WKH VHQGLQJ RI WKH FODVVPDUN  ,QIR LQIRUPDWLRQ
HOHPHQW WKH HOHPHQW ZKLFK FRQWDLQV WKH IUHTXHQF\ EDQG FDSDELOLWLHV RI WKH 06
7KH &0 GDWDEDVH HOHPHQW HDUO\B FODVVPDUNBVHQGLQJ PXVW VHW WR DOORZ WKH HDUO\ FODVVPDUN SURFHGXUH DFURVV
WKH $LQWHUIDFH DQG WKH &0 GDWDEDVH HOHPHQW SKDVHBFODVVPDUNBDOORZHG PXVW EH VHW WR 3KDVH  ZLWK
PXOWL%DQG IHDWXUH IRUPDW :KHQ WKH 5560 UHFHLYHV WKH 55 FODVVPDUN FKDQJH PHVVDJH IURP WKH 06
LW XSGDWHV WKH ORFDOO\ VWRUHG FODVVPDUN LQIRUPDWLRQ IRU WKDW 06 VHQGV WKH 06 SRZHU FRQWURO PHVVDJH
WR WKH 566 DQG VHQGV WKH XSGDWH FODVVPDUN PHVVDJH WR WKH 660 ZLWK WKH QHZ FODVVPDUN LQIRUPDWLRQ
%HFDXVH WKH XSGDWH FODVVPDUN PHVVDJH FDQ DUULYH GXULQJ DQ\ VWDWH RI WKH 660 DQG LV QRW UHVWULFWHG WR
FHUWDLQ VWDWHV WKLV SURFHGXUH GRHV QRW HQWHU WKH 6&&3 VWDWH PDFKLQH 8SRQ UHFHLSW RI WKH XSGDWH FODVVPDUN
PHVVDJH IURP WKH 5560 WKH 660 VWRUHV WKH QHZ FODVVPDUN LQIRUPDWLRQ DQG PXVW ZDLW WKLV DPRXQW RI
WLPH PV EHIRUH VHQGLQJ WKH %660$3 FODVVPDUN XSGDWH PHVVDJH WR WKH 06&

0HVVDJLQJ

7KH %66 LV UHVSRQVLEOH IRU WUDQVIHUULQJ PHVVDJHV EHWZHHQ WKH 60/& DQG WKH 06& ZKHQ WKH
60/& LV %66EDVHG ,W DOVR PD\ EH UHTXLUHG WR LQIRUP WKH VHQGHU RI WKH PHVVDJH RI D IDLOXUH
WR GHOLYHU WKH PHVVDJH WR WKH GHVWLQDWLRQ RU QH[W LQWHUPHGLDU\ 

*60 PHVVDJHV
7KHUH DUH ILYH *60  PHVVDJHV LQ VXSSRUW RI ORFDWLRQ VHUYLFHV
7KHUH DUH  *60  PHVVDJHV LQ VXSSRUW RI ORFDWLRQ VHUYLFHV
7KHUH DUH  *60  PHVVDJHV LQ VXSSRUW RI ORFDWLRQ VHUYLFHV

%66$3 PHVVDJLQJ

7KH $LQWHUIDFH DQG /ELQWHUIDFH FDUU\ & %66$3 PHVVDJLQJ 7KH IRXU W\SHV RI
%66$3 PHVVDJLQJ RQ WKHVH LQWHUIDFHV DUH
‡ %660$3 /( RQ WKH %66EDVHG 60/&%66 OLQN /E ,QWHUIDFH D
WZRZD\ 60/&%66 SURWRFRO 

 3:4
 6HS 
7HFKQLFDO 'HVFULSWLRQ %66 ,PSOHPHQWDWLRQ &DOO SURFHVVLQJ ORFDWLRQ VHUYLFHV

‡ %660$3 RQ WKH 06&%66 OLQN $LQWHUIDFH D WZRZD\ 06&%66 SURWRFRO 

‡ '7$3 /( RQ WKH %66EDVHG 60/&/08 OLQN D WZRZD\ 60/&/08 SURWRFRO 


7KH %66 WUDQVSDUHQWO\ IRUZDUGV '7$3/( PHVVDJHV ZKLFK WKH %66EDVHG 60/&
DQG /08 XVH WR FRPPXQLFDWH ZLWK HDFK RWKHU 7KHUH LV KRZHYHU QR GLUHFW
OLQN EHWZHHQ %66EDVHG 60/& DQG /08

‡ '7$3 RQ WKH %6606 OLQN $LU ,QWHUIDFH D WZRZD\ 06&06 SURWRFRO  7KH %66
WUDQVSDUHQWO\ IRUZDUGV '7$3 PHVVDJHV ZKLFK WKH 06& DQG 06 XVH WR FRPPXQLFDWH ZLWK
HDFK RWKHU 7KHUH LV KRZHYHU QR GLUHFW OLQN EHWZHHQ 06& DQG 06

06&60/& SHUIRUP ORFDWLRQ PHVVDJLQJ

,Q D %66EDVHG 60/& FDVH IURP WKH %66 YLHZSRLQW WKH ORFDWLRQ VHUYLFHV SURFHGXUH VWDUWV ZLWK WKH URXWHLQJ
RI SHUIRUP ORFDWLRQ PHVVDJLQJ 7KLV FRQVLVWV RI VHWWLQJ XS DQ 6&&3 FRQQHFWLRQ ZLWK WKH 60/& DQG IRUZDUGLQJ
WKH LQLWLDO UHTXHVW WR WKH 60/& 7KH 60/& PRVW OLNHO\ SHUIRUPV D SRVLWLRQLQJ DWWHPSW IROORZLQJ WKLV

60/&60/& PHVVDJLQJ %66EDVHG 60/& RQO\

7HFKQLFDOO\ 60/&60/& PHVVDJLQJ RFFXUV LQ WKH 166EDVHG 60/& FDVH EXW WKH %66 LV
QRW LQYROYHG LQ LW DW DOO 7KH %66 LV LQYROYHG LQ WKH %66EDVHG 60/& FDVH RQO\ EHFDXVH WKH
RQO\ FRQQHFWLRQ RI 60/& WR WKH 3/01 WKH RWKHU FRPSRQHQWV LQ WKH QHWZRUN LV WKURXJK WKH
%66 7KLV FDXVHV WKH %66 WR DFW VLPLODUO\ WR DQ 673 LQ 66
+RZHYHU XQOLNH D WUXH 673 WKH LQIRUPDWLRQ WR URXWH WKH PHVVDJH DSSURSULDWHO\ LV QRW IRXQG LQ WKH URXWH ODEHO 
IRU 60/&33 PHVVDJHV OLNH DQ\ RWKHU PHVVDJH  WKH '3& LQ DQ\ UHFHLYHG PHVVDJH LV WKH 63& RI WKH %66 7KH
%660$3 /( FRQQHFWLRQOHVV LQIRUPDWLRQ KDQGOLQJ GRQH E\ WKH &/0 SHUIRUPV WKH URXWHLQJ RI WKH PHVVDJH

5RXWLQJ
:KHQ D %660$3/( FRQQHFWLRQOHVV LQIRUPDWLRQ PHVVDJH LV UHFHLYHG E\ 073/ IURP WKH 60/&
LW FRPHV LQ RQ DQ 6&&3 8'7 /LNH DQ\ RWKHU 6&&3 8'7 LW LV VHQW WR &/0 IRU SURFHVVLQJ :KHQ
&/0 H[DPLQHV WKH PHVVDJH W\SH LW GLVFRYHUV WKDW WKH PHVVDJH LV D %660$3/( FRQQHFWLRQOHVV
LQIRUPDWLRQ PHVVDJH &/0 DOVR KDV DFFHVV WR VRPH PHDQV RI GLVFULPLQDWLQJ WKLV PHVVDJH DV RQH
FRPLQJ IURP WKH 60/& DV RSSRVHG WR D %660$3 FRQQHFWLRQOHVV LQIRUPDWLRQ PHVVDJH FRPLQJ
IURP WKH 06&  WKLV LV SUREDEO\ GRQH WKURXJK WKH XVH RI VHSDUDWH PDLOER[HV

60/&60/& PHVVDJLQJ  VHJPHQWDWLRQ


&/0 VXSSRUW IRU 60/&33 PHVVDJH VHJPHQWV FDUULHG LQ %660$3 /( FRQQHFWLRQOHVV
LQIRUPDWLRQ PHVVDJHV LV GHVFULEHG LQ WKH 6HJPHQWDWLRQ VHFWLRQ

([FHSWLRQ KDQGOLQJ
7KH %660$3 /( FRQQHFWLRQOHVV LQIRUPDWLRQ PHVVDJH DV UHFHLYHG E\ &/0 FDQ KDYH DQ RSWLRQDO ,( FDOOHG
UHWXUQ HUURU UHTXHVW ,I SUHVHQW WKLV ILHOG LQGLFDWHV WKDW LW LV WKH UHVSRQVLELOLW\ RI WKH LQWHUPHGLDU\ HQWLWLHV WR
LQIRUP WKH VHQGHU RI PHVVDJLQJ SUREOHPV &/0 NQRZV WKH DFFHVVLELOLW\ RI YDULRXV SRLQW FRGHV DQG VXEV\VWHPV
DQG FDQ XVH WKLV LQIRUPDWLRQ FRQWDLQHG LQ WKH 63, VWDWH PDFKLQH  DQG FDQ LQIRUP WKH VHQGHU RI URXWHLQJ IDLOXUH

3:4 
 6HS 
&DOO SURFHVVLQJ ORFDWLRQ VHUYLFHV &KDSWHU  &DOO SURFHVVLQJ

:KHQ WKH %66 LV LQ DQ\ 63, FRQGLWLRQ WKH &/0 UHVSRQGV WR WKH %660$3 /( FRQQHFWLRQOHVV
LQIRUPDWLRQ PHVVDJH IURP WKH VHQGHU 60/& RU 06& ZLWK D %660$3 /( FRQQHFWLRQOHVV
LQIRUPDWLRQ PHVVDJH WKDW KDV DQ RSWLRQDO ,( FDOOHG UHWXUQ HUURU FDXVH

0HVVDJHV ZKHQ SURWRFRO LGHQWLILHU LV VHW RWKHUWKDQ 60/&33


7KH %660$3 /( FRQQHFWLRQOHVV LQIRUPDWLRQ PHVVDJH FDQ FDUU\ RQO\ 60/&33 PHVVDJHV

'7$3 DQG '7$3/( PHVVDJHV

8SRQ UHFHLSW RI D %660$3 3DJLQJ PHVVDJH IURP WKH 60/& WKH %66 IRUZDUGV WKH PHVVDJH WR WKH 06

(QFDSVXODWLRQ
7KH %66 LV QRW FRQFHUQHG DERXW //3 HQFDSVXODWLRQ VLQFH WKH //3 PHVVDJH LV KHOG LQ WKH GDWD
SRUWLRQ RI D '7$3/( PHVVDJH 6LPLODUO\ 60/&33 PHVVDJHV LV DOUHDG\ ZLWKLQ WKH GDWD ILHOG
RI D %660$3 /( &RQQHFWLRQOHVV ,QIRUPDWLRQ PHVVDJH

6HJPHQWDWLRQ

6HJPHQWDWLRQ LV XVHG WR WUDQVIHU PHVVDJHV WKDW DUH ODUJHU WKDQ WKH PD[LPXP VL]H PHVVDJH DOORZHG IRU D JLYHQ
SURWRFRO 7KH %66 VXSSRUWV VHJPHQWDWLRQ RI PHVVDJLQJ LQYROYLQJ ERWK 166EDVHG DQG %66EDVHG 60/&V
*HQHUDOO\ VHJPHQWDWLRQ VXSSRUW IRU D UHFHLYHG PHVVDJH LPSOLHV WKDW WKH %66 LV DEOH WR UHFRQVWUXFW
WKH RULJLQDO PHVVDJH IURP UHFHLYHG VHJPHQWV EHIRUH UHVHJPHQWLQJ WKH PHVVDJH RYHU D GLIIHUHQW
SURWRFRO ZKHQ QHFHVVDU\ :KHUH UHTXLUHG WKH %66 DOVR VHJPHQWV DQ\ PHVVDJH WKDW LW RULJLQDWHV
LI WKDW PHVVDJH LV WRR ODUJH WR EH VHQW DV D VLQJOH XQLW
7KH SDUDPHWHUV XVHG IRU VHJPHQWDWLRQ DUH SURWRFROVSHFLILF EXW LQ WKH IROORZLQJ UHTXLUHPHQWV WKH\ KDYH
EHHQ JHQHUDOL]HG %HORZ LV D OLVW RI JHQHUDOL]DWLRQV DQG KRZ WKH\ DSSO\ WR SDUWLFXODU SURWRFROV
‡ 6HJPHQWDWLRQ LV VXSSRUWHG DW YDULRXV SURWRFRO OHYHOV LQ WKH HQGWRHQG YLHZ RI /RFDWLRQ
6HUYLFHV /&6  ZKHUH WKH PD[LPXP VL]HV RI WKH PHVVDJHV OLVWHG LQ VHFWLRQ 0HVVDJHV DQG
HQFDSVXODWLRQ DUH FRQVWUDLQHG E\ WKH PD[LPXP GDWD VL]H DOORZHG LQ WKH ORZHUOHYHO SURWRFRO
PHVVDJHV XVHG WR FDUU\ WKHP ,Q DGGLWLRQ %66 H[HFXWLYH PHVVDJHV FDQ RQO\ FDUU\  RFWHWV
RI XVHU GDWD )RUWXQDWHO\ %66 H[HFXWLYH PHVVDJHV FDQ EH VHQW RYHU WKH 0RELV LQWHUIDFH
ZLWKRXW IXUWKHU VHJPHQWDWLRQ VLQFH WKH %66 XVHV QRQVWDQGDUG /$3' IUDPHV

‡ 5560 DQG 660 DUH WKH PDLQ %66 SURFHVVHV FRQFHUQHG ZLWK VHJPHQWDWLRQ RYHU
ORFDWLRQ VHUYLFHVUHODWHG FRQQHFWLRQV DQG HDFK XVHV WKH ORFDWLRQ VHUYLFHV VHJPHQWDWLRQ
WLPHU WR OLPLW WKH WLPH DOORZHG EHWZHHQ UHFHLSW RI WKH ILUVW VHJPHQW RI D PHVVDJH DQG
UHFHLSW RI WKH UHVW RI WKH VHJPHQWV FRPSULVLQJ WKDW PHVVDJH

‡ &/0 UHFHLYHV DQG IRUZDUGV ORFDWLRQ VHUYLFHVUHODWHG FRQQHFWLRQOHVV PHVVDJHV DQG PHVVDJH
VHJPHQWV EXW VHJPHQWDWLRQ VXSSRUW IRU WKHVH PHVVDJHV LV OLPLWHG WR WKDW GHVFULEHG LQ
VHFWLRQ %660$3 /( FRQQHFWLRQOHVV LQIRUPDWLRQ VL]H FRQVWUDLQWV

 3:4
 6HS 
7HFKQLFDO 'HVFULSWLRQ %66 ,PSOHPHQWDWLRQ &DOO SURFHVVLQJ ORFDWLRQ VHUYLFHV

‡ 7R VXSSRUW VHJPHQWDWLRQ 660 DQG &/0 FRUUHVSRQG ZLWK WZR YDULDQWV RI WKH 073/
SURFHVV 660 DQG &/0 H[FKDQJH VHJPHQWDWLRQUHODWHG PHVVDJHV ZLWK WKH 06& YLD DQ
073/ VHUYLQJ WKH $LQWHUIDFH 6LPLODUO\ 660 DQG &/0 H[FKDQJH VHJPHQWDWLRQUHODWHG
PHVVDJHV ZLWK WKH %66EDVHG 60/& YLD DQ 073/ VHUYLQJ WKH /ELQWHUIDFH

,OOHJDO PHVVDJLQJ
‡ 8SRQ UHFHLSW RI D %660$3/( PHVVDJH RU D %66/$3 PHVVDJH IURP WKH %66EDVHG
60/& WKDW KDV LQYDOLG FRQWHQWV WKH %66 GLVFDUGV WKH PHVVDJH

‡ 8SRQ UHFHLSW RI D %660$3 PHVVDJH IRU ORFDWLRQ VHUYLFHV IURP WKH 06&
WKDW KDV LQYDOLG FRQWHQWV WKH %66 GLVFDUGV WKH PHVVDJH DV DOUHDG\ GRQH IRU
LQYDOLG QRQORFDWLRQ VHUYLFHV PHVVDJHV

‡ 8SRQ UHFHLSW RI D %66/$3 PHVVDJH IURP WKH 06& WKDW KDV LQYDOLG FRQWHQWV
WKH %66 GLVFDUGV WKH PHVVDJH

‡ 8SRQ UHFHLSW RI D QHZ 55 PHVVDJH IRU ORFDWLRQ VHUYLFHV WKDW KDV LQYDOLG FRQWHQWV WKH %66
GLVFDUGV WKH PHVVDJH DV DOUHDG\ GRQH IRU LQYDOLG QRQORFDWLRQ VHUYLFHV PHVVDJHV

&RQQHFWLRQOHVV SURFHGXUHV

6LQFH WKH %66 GRHV QRW VXSSRUW 60/& WUDIILF FLUFXLWV JOREDO UHVHW DQG VLJQDOOLQJ SRLQW
LQDFFHVVLEOH DUH WKH RQO\ %66 FRQQHFWLRQOHVV SURFHGXUHV FRQFHUQHG ZLWK ORFDWLRQ VHUYLFHV 7KHVH
SURFHGXUHV PDQDJH WKH VLJQDOOLQJ FRQQHFWLRQV WR WKH 60/&
7KH 60/&UHODWHG FRQQHFWLRQOHVV SURFHGXUHV XVH DQDORJXHV RI WKH WLPHUV DQG &0 GDWDEDVH YDULDEOHV
WKDW WKH %66 XVHV WR PDLQWDLQ WKH VLJQDOOLQJ SRLQW ZLWK WKH 06& ,Q WKLV VHFWLRQ WKH &0 HOHPHQWV
SUHGDWLQJ WKH DGGLWLRQ RI WKH /ELQWHUIDFH DUH UHIHUUHG WR E\ WKHLU FRPPRQ QDPHV DQG LQIRUPDO QDPHV
IRU WKH FRUUHVSRQGLQJ /ELQWHUIDFH DQDORJXHV DUH FRQVWUXFWHG E\ SUHSHQGLQJ D /ESUHIL[

*OREDO UHVHW

&/0 FRRUGLQDWHV WZR W\SHV RI JOREDO UHVHW SURFHGXUHV QRUPDO JOREDO UHVHW DQG ORFDWLRQ VHUYLFHV JOREDO UHVHW
)RU VLPSOLFLW\ DQG FRQVLVWHQF\ ZLWK RWKHU %66 GRFXPHQWDWLRQ QRUPDO JOREDO UHVHW PD\ DOVR EH UHIHUUHG WR DV
JOREDO UHVHW 1RUPDO JOREDO UHVHW LQLWLDOL]HV WKH 06& 60/& DQG %6& DIWHU D PDMRU IDLOXUH ZKLFK UHVXOWHG
LQ WKH ORVV RI QRUPDO FDOO LQIRUPDWLRQ ORFDWLRQ VHUYLFHV JOREDO UHVHW LQLWLDOL]HV WKH %66 DQG DQ DWWDFKHG
%66EDVHG 60/& DIWHU D PDMRU IDLOXUH ZKLFK UHVXOWHG LQ WKH ORVV RI 60/&UHODWHG FDOO LQIRUPDWLRQ :KLOH
QRUPDO JOREDO UHVHW FDXVHV WKH %66 WR FOHDU DOO FDOO LQIRUPDWLRQ DQG FDOO UHIHUHQFHV ZKHWKHU 06&UHODWHG RU
60/&UHODWHG ORFDWLRQ VHUYLFHV JOREDO UHVHW FDXVHV WKH %66 WR FOHDU RQO\ /E 6&&3 FRQQHFWLRQV
1RUPDO JOREDO UHVHW PD\ EH LQLWLDWHG E\ WKH 06& RU WKH %66 DQG ORFDWLRQ VHUYLFHV JOREDO UHVHW
PD\ EH LQLWLDWHG E\ WKH %66 RU DQ DWWDFKHG %66EDVHG 60/&
'XULQJ HLWKHU W\SH RI JOREDO UHVHW WKH UHVHW LQLWLDWRU VHQGV D %660$3 /( UHVHW PHVVDJH H[SHFWLQJ
D %660$3 /( UHVHW DFNQRZOHGJH PHVVDJH LQ UHWXUQ $V D UHVHW LQLWLDWRU RU SDUWLFLSDQW GXULQJ
QRUPDO JOREDO UHVHW WKH %66 DOVR VHQGV D %660$3/( UHVHW PHVVDJH WR DQ\ DWWDFKHG %66EDVHG
60/& H[SHFWLQJ D %660$3/( UHVHW DFNQRZOHGJH PHVVDJH LQ UHWXUQ ,Q DOO FDVHV &/0 LV
UHVSRQVLEOH IRU H[FKDQJLQJ %660$3 /( UHVHW DQG UHVHW DFNQRZOHGJH PHVVDJHV ZLWK WKH DIIHFWHG

3:4 
 6HS 
&DOO SURFHVVLQJ ORFDWLRQ VHUYLFHV &KDSWHU  &DOO SURFHVVLQJ

%66 SHHU HQWLWLHV DQG IRU QRWLI\LQJ WKH DIIHFWHG %66 SURFHVV LQVWDQFHV 6LQFH &/0 PD\ UHFHLYH
D %660$3 /( UHVHW PHVVDJH IURP WKH 06& RU 60/& WKH 6&&3 SUHSURFHVVRU RI WKH 073/
KHOSV &/0 WR GLVWLQJXLVK EHWZHHQ 06&LQLWLDWHG UHVHW RU 60/&LQLWLDWHG UHVHW VXFK DV E\ URXWHLQJ
WKH $UHODWHG DQG /EUHODWHG UHVHW PHVVDJHV WR GLIIHUHQW &/0 PDLOER[HV 
7KH %66 GRHV QRW VXSSRUW 60/& WUDIILF FLUFXLWV DQG ORFDWLRQ VHUYLFHV JOREDO UHVHW FRQGLWLRQV
GR QRW DIIHFW $LQWHUIDFH WUDIILF RU VLJQDOOLQJ

06& LQLWLDWHG UHVHW


:KHQ &/0 UHFHLYHV D %660$3 UHVHW PHVVDJH IURP 06& LW VWDUWV QRUPDO JOREDO UHVHW DW WKH %66 1RUPDO
JOREDO UHVHW UHTXLUHV &/0 WR DOVR LQLWLDWH D JOREDO UHVHW DW WKH 60/& E\ VHQGLQJ LW D %660$3/( UHVHW
PHVVDJH 7KH UHVHW ZLWK WKH 06& DQG WKH UHVHW ZLWK WKH 60/& H[HFXWH LQ SDUDOOHO DQG &/0 JXDUGV WKH
UHFHLSW RI D %660$3/( UHVHW DFNQRZOHGJH IURP WKH 60/& ZLWK WKH /E7 WLPHU

60/& LQLWLDWHG UHVHW


7KH 6&&3 SUHSURFHVVRU RI WKH 073/ KHOSV &/0 WR GLVWLQJXLVK D %660$3/( UHVHW PHVVDJH RULJLQDWLQJ
IURP WKH 60/& VXFK DV E\ URXWHLQJ $UHODWHG DQG /EUHODWHG PHVVDJHV WR GLIIHUHQW &/0 PDLOER[HV  ,Q
WKH FDVH RI DQ ORFDWLRQ VHUYLFHV JOREDO UHVHW RQFH &/0 JHWV WKH UHVSRQVH IURP )0 ZLWK WKH VXEV\VWHP
LQVWDQFHV &/0 VHQGV D ORFDWLRQ VHUYLFHV JOREDO UHVHW RQO\ WR 660 LQVWDQFHV WR LQGLFDWH WKDW 660 VKRXOG
RQO\ UHOHDVH LWV /ELQWHUIDFH 6&&3 FRQQHFWLRQV 7KH 06&UHODWHG 6&&3 FRQQHFWLRQV RI WKH 660 LV
XQDIIHFWHG 7KH 660 WKHQ LQIRUPV RWKHU VXEV\VWHPV ZLWKLQ WKH %66 RI WKH UHOHDVHG FRQQHFWLRQV

%66 LQLWLDWHG UHVHW


7KH 63, SURFHGXUH LQLWLDWHV D JOREDO UHVHW SURFHGXUH DW WKH %66 LI &/0 UHFHLYHV D 63, RU /E63, WLPHU H[SLU\
ZKLOH ZDLWLQJ IRU WKH %66 %66$3 OD\HU WR FRPH XS RU IRU WKH 06& RU 60/& WR EHFRPH DFFHVVLEOH
:KHQ WKH 63, WLPHU H[SLUHV EHIRUH WKH 06& LV DFFHVVLEOH RU WKH %66 %66$3 OD\HU LV RSHUDWLRQDO &/0
ZDLWV IRU WKH 63, FRQGLWLRQ WR FOHDU EHIRUH LQLWLDWLQJ D QRUPDO JOREDO UHVHW ZKLFK LQFOXGHV D UHVHW ZLWK
WKH 06& DQG WKH 60/& 'XULQJ QRUPDO JOREDO UHVHW &/0 WUHDWV WKH UHVHW ZLWK WKH 60/& DV D VHSDUDWH
WUDQVDFWLRQ ,Q SDUWLFXODU &/0 ZDLWV IRU WKH 60/& WR DFNQRZOHGJH WKH %660$3/( UHVHW PHVVDJH LQ
RUGHU WR VHQG VWDUW EVV WR &50 ,QVWHDG &/0 VHQGV WKH VWDUW EVV WR &50 DV VRRQ DV LW UHFHLYHV JOREDO
UHVHW DFNQRZOHGJH IURP DOO VXEV\VWHPV DQG D %660$3 UHVHW DFNQRZOHGJH IURP WKH 06&

%66 LQLWLDWHG ORFDWLRQ VHUYLFHV JOREDO UHVHW


:KHQ WKH 06& LV DFFHVVLEOH DQG WKH %66 %66$3 OD\HU LV RSHUDWLRQDO EHIRUH WKH 63, WLPHU H[SLUHV EXW
WKH 60/& LV QRW DFFHVVLEOH EHIRUH WKH /E63, WLPHU H[SLUHV &/0 ZDLWV IRU WKH 63, FRQGLWLRQ WR FOHDU
EHIRUH LQLWLDWLQJ DQ ORFDWLRQ VHUYLFHV JOREDO UHVHW ,Q WKLV VFHQDULR &/0 TXHULHV )0 IRU 660 LQVWDQFHV
DQG WKHQ VHQGV ORFDWLRQ VHUYLFHV JOREDO UHVHW PHVVDJHV WR 660 LQVWDQFHV 7KH PHVVDJH ORFDWLRQ VHUYLFHV
JOREDO UHVHW LQVWUXFWV 660 WR UHOHDVH RQO\ WKH /ELQWHUIDFH 6&&3 FRQQHFWLRQV

 3:4
 6HS 
7HFKQLFDO 'HVFULSWLRQ %66 ,PSOHPHQWDWLRQ &DOO SURFHVVLQJ ORFDWLRQ VHUYLFHV

%HDUHU VLJQDOOLQJ

7KH %66 XVHV WKH EHDUHU FKDQQHOV OLVWHG LQ 7DEOH  ZKHQ VHQGLQJ ORFDWLRQ VHUYLFHV
VLJQDOOLQJ 55/3 RU //3 WR WKH 06 RU /08

7DEOH  %HDUHU FKDQQHO VLJQDOOLQJ

6LJQDOOLQJ WR 2Q 8VH
06 6'&&+ 6'&&+
06 7&+ )$&&+
/08 6'&&+ 7&+ QRW DOORZHG 6'&&+

‡ 7KH %66 VHQGV ORFDWLRQV VHUYLFHV VLJQDOOLQJ 55/3 XVLQJ WKH 6'&&+ WR DQ
06 WKDW LV FXUUHQWO\ RQ DQ 6'&&+

‡ 7KH %66 VHQGV ORFDWLRQV VHUYLFHV VLJQDOOLQJ 55/3 XVLQJ WKH )$&&+ WR
DQ 06 WKDW LV FXUUHQWO\ RQ D 7&+

‡ 7KH %66 VHQGV ORFDWLRQV VHUYLFHV VLJQDOOLQJ //3 XVLQJ WKH 6'&&+ WR DQ
/08 WKDW LV FXUUHQWO\ RQ DQ 6'&&+

6LJQDOOLQJ SRLQW LQDFFHVVLEOH

&/0 FRRUGLQDWHV 63, SURFHGXUHV WR PDLQWDLQ WKH OLQNV DQG 6&&3 DQG %66$3 VXEV\VWHPV FRQQHFWLQJ WKH
06& %6& DQG D %66EDVHG 60/& 7KH 60/& 63, SURFHGXUHV RI WKH &/0 GR QRW LPSDFW VLJQDOOLQJ RU
WUDIILF EHWZHHQ WKH %6& DQG WKH 06& +RZHYHU LI WKH 06& LV LQDFFHVVLEOH ORQJ HQRXJK IRU WKH 63, WLPHU WR
H[SLUH WKH &/0 LQLWLDWHV D UHVHW ZLWK WKH 60/& DORQJ ZLWK UHVHW ZLWK 06& DIWHU WKH 63, FRQGLWLRQ LV FOHDUHG

60/& LQDFFHVVLEOH DQG WKHQ DFFHVVLEOH


:KHQ DOO WKH OLQNV WR WKH 60/& JR GRZQ )0 VHQGV D FRQILJXUDWLRQ VWDWXV PHVVDJH WR &/0 ZLWK WKH OLQN
W\SH VHW WR 60/& DQG WKH ,16 ILHOG VHW WR DOO OLQNV GRZQ $IWHU UHFHLYLQJ WKLV PHVVDJH &/0 TXHULHV )0
IRU VXEV\VWHP LQVWDQFHV DQG VHQGV D VPOF VWDWXV PHVVDJH WR 660 DQG /E SUHSURFHVVRU LQVWDQFHV ZLWK WKH
VWDWXV ILHOG VHW WR 60/& SURKLELWHG 2QFH 660 DQG /E SUHSURFHVVRU LQVWDQFHV UHFHLYH VPOF SURKLELWHG
WKH\ VXSSUHVV DOO PHVVDJHV WKDW DUH WR EH VHQW WR WKH 60/& ,I )0 VHQGV D FRQILJXUDWLRQ VWDWXV 60/& RQH
OLQN XS PHVVDJH WR &/0 EHIRUH WKH /E63, WLPHU WLPHV RXW WKH &/0 RQFH DJDLQ TXHULHV )0 IRU DOO 660
DQG /ESUHSURFHVVRU LQVWDQFHV DQG VHQGV VPOF VWDWXV DOORZHG PHVVDJH WR WKH 660 DQG /ESUHSURFHVVRU
LQVWDQFHV :KHQ WKH OLQN FRPHV EDFN XS WKH %66 %66$3 LV DOVR XS DQG VR &/0 VHQGV D VXEV\VWHP DOORZHG
%66$3 PHVVDJH WR WKH 60/& WR QRWLI\ WKH 60/& WKDW WKH %66 %66$3 OD\HU LV RSHUDWLRQDO

%66$3 VXEV\VWHP DW %66 JRHV GRZQ DQG FRPHV EDFN XS


)0 VHQGV FHOO FKDQJH VWDWH QR FHOOV XS PHVVDJH WR &/0 ZKHQ WKH %66$3 VXEV\VWHP JRHV GRZQ DW WKH
%66 2Q UHFHLYLQJ WKLV PHVVDJH &/0 VWDUWV WKH 63, WLPHU DQG TXHULHV )0 IRU VXEV\VWHP LQVWDQFHV $IWHU
&/0 JHWV WKH LQVWDQFH UHVSRQVH IURP )0 &/0 VHQGV EVV VWDWXV EVVDS SURKLELWHG PHVVDJH WR SUHSURFHVVRU
ERWK /ELQWHUIDFH DQG $LQWHUIDFH UHODWHG  &50 DQG 660 LQVWDQFHV &/0 WKHQ VHQGV WKH VXEV\VWHP
SURKLELWHG %66$3 PHVVDJH WR 06& DQG WKH 60/& ,I D %66$3 PHVVDJH FRPHV IURP WKH 60/& RU WKH
06& GXULQJ WKLV WLPH WKH SUHSURFHVVRU UHVSRQGV ZLWK D VXEV\VWHP SURKLELWHG %66$3 PHVVDJH

3:4 
 6HS 
&DOO SURFHVVLQJ ORFDWLRQ VHUYLFHV &KDSWHU  &DOO SURFHVVLQJ

%666$3 VXEV\VWHP DW 60/& JRHV GRZQ DQG FRPHV EDFN XS


7KH 60/& VHQGV D VXEV\VWHP SURKLELWHG %66$3 PHVVDJH WR /E SUHSURFHVVRU ZKHQ LWV %66$3
VXEV\VWHP JRHV GRZQ 8SRQ UHFHLSW RI WKLV PHVVDJH WKH SUHSURFHVVRU VHQGV D VPOF VWDWXV PHVVDJH WR
&/0 ZLWK WKH VWDWXV ILHOG VHW WR LQGLFDWH VXEV\VWHP SURKLELWHG :KHQ &/0 JHWV WKLV PHVVDJH LW VWDUWV
WKH /E63, DQG /E7 VWDWLVWLFV LQIRUPDWLRQ WLPHUV &/0 WKHQ TXHULHV )0 IRU WKH VXEV\VWHP LQVWDQFHV
DQG VHQGV D VPOF VWDWXV EVVDS SURKLELWHG PHVVDJH RQO\ WR 660 LQVWDQFHV 660 LV WKH RQO\ SURFHVV WKDW
QHHGV WR NQRZ WKDW WKH %66$3 OD\HU LV GRZQ DW WKH 60/& VR WKDW WKH SURFHVV GRHV QRW VHQG DQ\ ORFDWLRQ
VHUYLFHV UHODWHG PHVVDJHV WR WKH 60/& :KHQ WKH 60/& %66$3 OD\HU LV EDFN XS WKH 60/& VHQGV D
VXEV\VWHP DOORZHG %66$3 PHVVDJH WR WKH /ESUHSURFHVVRU ZKLFK LQ WXUQ VHQGV D VPOF VWDWXV PHVVDJH
WR &/0 ZLWK WKH VWDWXV ILHOG VHW WR LQGLFDWH VXEV\VWHP DOORZHG &/0 QRZ VWRSV WKH /E63, DQG /E7
VWDWLVWLFV LQIRUPDWLRQ WLPHUV DQG VHQGV 660 LQVWDQFHV VPOF VWDWXV DOORZHG PHVVDJH

6&&3 OD\HU DW 60/& JRHV DQG FRPHV EDFN XS


60/& VHQGV D XVHU SDUW DYDLODEOH 6&&3 PHVVDJH WR 073/ ZKHQ LWV 6&&3 VXEV\VWHP JRHV GRZQ 8SRQ
UHFHLSW RI WKLV PHVVDJH 073/ VHQGV D VPOF VWDWXV PHVVDJH WR &/0 ZLWK WKH VWDWXV ILHOG VHW WR LQGLFDWH WKDW WKH
6&&3 XVHU SDUW LV XQDYDLODEOH :KHQ &/0 JHWV WKLV PHVVDJH LW VWDUWV WKH /E63, WLPHU DQG WKHQ TXHULHV )0
IRU WKH VXEV\VWHP LQVWDQFHV &/0 WKHQ VHQGV D VPOF VWDWXV VFFS SURKLELWHG PHVVDJH RQO\ WR 660 LQVWDQFHV

63, VWDWXV VHQW LQ UHVSRQVH WR UHJLVWHU PHVVDJH


8SRQ UHFHLSW RI D UHJLVWHU PHVVDJH IURP DQ\ SURFHVV WKDW LV &50 073/ RU 660 FXUUHQWO\  &/0
FKHFNV 63, FRQGLWLRQV WR VHQG WKH UHJLVWHU RULJLQDWRU DQ PVF VWDWXV DOORZHG LI WKH 06& LV DFFHVVLEOH
DQG D EVV VWDWXV DOORZHG LI WKH %66 %66$3 VXEV\VWHP LV XS ,I &50 ZDV QRW WKH UHJLVWHU RULJLQDWRU
&/0 DOVR UHSOLHV ZLWK D VPOF VWDWXV DOORZHG LI WKH 60/& LV DFFHVVLEOH

166EDVHG 60/& SRVWLRQLQJ VFHQDULRV

7KH ORFDWLRQ VHUYLFHV WUDQVDFWLRQV LQLWLDWHG E\ DQ 166EDVHG 60/& WHUPLQDWLQJ DW RU URXWHG WKURXJK WKH
%66 166EDVHG 60/& LQGLFDWHV WKDW WKH 60/& VXSSRUWV WKH /VLQWHUIDFH DQG LV DVVRFLDWHG ZLWK D 06&
$OO PHVVDJHV EHWZHHQ WKH 60/& DQG WKH %66 RU 06 DUH YLD WKH 06& LQ 166EDVHG SRVLWLRQLQJ

7LPLQJ DGYDQFH EDVHG SRVLWLRQLQJ VFHQDULRV

7KH 60/& LV UHTXHVWLQJ 7LPLQJ $GYDQFH 7$ LQIRUPDWLRQ IRU D WDUJHW 06 7R LPSURYH WKH ORFDWLRQ
FDOFXODWLRQ DFFXUDF\ RI WKH 06 WKH ODWHVW PHDVXUHPHQW UHSRUW LV UHWXUQHG LQ WKH GDWD SURYLGHG
E\ WKH %66 WR WKH 60/& 1HZ PHVVDJHV RQ WKH $LQWHUIDFH DUH QHHGHG WR WUDQVIHU LPEHGGHG
UHTXHVWV DQG UHVSRQVHV EHWZHHQ WKH 60/& DQG WKH %66 YLD WKH 06&

3UHHPSWLRQ
7KH FRQFHSWV RI SULRULW\ DQG SUHHPSWLRQ KDYH EHHQ DGGHG WR *60  VSHFLILFDWLRQ 7KH 55
$SSOLFDWLRQ ,QIRUPDWLRQ PHVVDJH LV WKH RQO\ PHVVDJH ZLWK ORZ SULRULW\ 7KHUHIRUH WKH %66 SUHHPSWV
WKH 55 $SSOLFDWLRQ ,QIRUPDWLRQ PHVVDJH ZKHQ LW UHFHLYHV D KLJKSULRULW\ PHVVDJH

 3:4
 6HS 
7HFKQLFDO 'HVFULSWLRQ %66 ,PSOHPHQWDWLRQ &DOO SURFHVVLQJ ORFDWLRQ VHUYLFHV

7$ EDVHG SRVLWLRQLQJ  VXFFHVVIXO VFHQDULR


7KH 166EDVHG 60/& FDXVHV WKH 06& WR VHQG D %660$3 FRQQHFWLRQ RULHQWHG LQIRUPDWLRQ PHVVDJH
FRQWDLQLQJ D %66/$3 7$ UHTXHVW PHVVDJH WR WKH %66 7KLV LV UHFHLYHG RYHU WKH 6&&3 FRQQHFWLRQ
EHWZHHQ WKH %66 DQG WKH 06& 7KH %66 LV UHTXHVWHG WR REWDLQ WKH WLPLQJ DGYDQFH WKH PHDVXUHPHQW
UHSRUW DQG WKH VHUYLQJ FHOO ,' RI D WDUJHW 06 7KH 660 SURFHVV FRQWDLQV WKH VHUYLQJ FHOO ,' LQ LWV
GDWD VWRUH 660 GRHV QRW NQRZ WKH WLPLQJ DGYDQFH DQG WKH PHDVXUHPHQW UHSRUW LQIRUPDWLRQ 7KH
WLPLQJ DGYDQFH LQIRUPDWLRQ DQG WKH PHDVXUHPHQW UHSRUW DUH NQRZQ E\ WKH 566
$VVXPLQJ D KDQGRYHU LV QRW LQ SURJUHVV WKH 660 SURFHVV ZLWKLQ WKH %6& VHQGV D WD UHTXHVW PHVVDJH WR WKH
5560 SURFHVV WR REWDLQ WKH WLPLQJ DGYDQFH LQIRUPDWLRQ DQG WKH PHDVXUHPHQW UHSRUW 7KH 660 VWDUWV WKH
WLPHU ORFDWLRQ VHUYLFHV VXSHUYLVLRQ WLPHU WR JXDUG WKH UHFHLSW RI D WD UHVSRQVH IURP WKH 5560

/E SURFHGXUHV
8SRQ GHWHFWLQJ WKDW WKH %66EDVHG 60/& LV LQDFFHVVLEOH LGHQWLILHG E\ WKH ODVW /07/
JRLQJ RXW RI VHUYLFH  WKH %66 GLVFDUGV DQ\ DSSOLFDWLRQ PHVVDJHV GHVWLQHG IRU WKH %66EDVHG
60/& XQWLO WKH %66EDVHG 60/& LV DFFHVVLEOH DJDLQ
8SRQ GHWHFWLQJ WKDW D SUHYLRXVO\ LQDFFHVVLEOH %66EDVHG 60/& LV QRZ DFFHVVLEOH LGHQWLILHG E\ DQ /07/
FRPLQJ LQWR VHUYLFH  WKH %66 UHVXPHV VHQGLQJ DQ\ DSSOLFDWLRQ PHVVDJHV WR WKH %66 EDVHG 60/&
8SRQ GHWHFWLQJ WKDW WKH %66EDVHG 60/& KDV DQ 6&&3 IDLOXUH DV LQGLFDWHG E\ DQ 073/ 838 PHVVDJH  WKH
%66 PXVW QRW VHQG DQ\ DSSOLFDWLRQ PHVVDJHV WR WKH %66 EDVHG 60/& XQWLO WKH 6&&3 OD\HU LV DFFHVVLEOH DJDLQ
8SRQ GHWHFWLQJ WKDW D %66EDVHG 60/& ZLWK DQ 6&&3 IDLOXUH QRZ KDV LWV 6&&3 OD\HU RSHUDWLQJ
FRUUHFWO\ DV LQGLFDWHG E\ WKH UHFHLSW RI D 6&&3%66$3 PHVVDJH  WKH %66 UHVXPHV VHQGLQJ
DQ\ DSSOLFDWLRQ PHVVDJHV GHVWLQHG IRU WKH %66 EDVHG 60/&
8SRQ GHWHFWLQJ WKDW WKH %66EDVHG 60/& KDV D %66$3 IDLOXUH DV LQGLFDWHG E\ DQ 073/
663 %66$3 PHVVDJH  WKH %66 PXVW QRW VHQG DQ\ DSSOLFDWLRQ PHVVDJHV WR WKH %66EDVHG
60/& XQWLO WKH %66$3 OD\HU LV DFFHVVLEOH DJDLQ
8SRQ GHWHFWLQJ WKDW WKH %66EDVHG 60/& ZLWK WKH %66$3 IDLOXUH QRZ KDV LWV %66$3 OD\HU
RSHUDWLQJ FRUUHFWO\ DV LQGLFDWHG E\ WKH UHFHLSW RI D 6&&3%66$3 PHVVDJH  WKH %66 UHVXPHV
VHQGLQJ DQ\ DSSOLFDWLRQ PHVVDJHV GHVWLQHG IRU WKH %66 EDVHG 60/&

7HDULQJ GRZQ /E FRQQHFWLRQV IRU DQ 06


:KHQHYHU WKH /E FRQQHFWLRQV WR WKH %66EDVHG 60/& DUH WRUQ GRZQ WKH ORFDWLRQ VHUYLFHV SURFHGXUH
LV HLWKHU FRPSOHWHG RU LW LV EHLQJ DEDQGRQHG 2QFH WKH ORFDWLRQ VHUYLFHV SURFHGXUH LV FRPSOHWHG
HLWKHU WKH %66EDVHG 60/& RU WKH %66 FDQ LQLWLDWH WKH /E 6&&3 WHDUGRZQ
7KH %66 DEDQGRQV WKH ORFDWLRQ VHUYLFHV SURFHGXUH ZKHQ WKH 06 /E 6&&3 FRQQHFWLRQ LV WRUQ GRZQ

%66EDVHG 60/& SRVLWLRQLQJ VFHQDULRV

7KH FHQWUDO GLIIHUHQFH EHWZHHQ WKH %66EDVHG SRVLWLRQLQJ VFHQDULRV DQG WKH 166EDVHG SRVLWLRQLQJ
VFHQDULRV LV QRW RQH RI VHSDUDWH PHVVDJH IORZV LQ IDFW WKH PHVVDJLQJ H[FKDQJHG LV QHDUO\ LGHQWLFDO
7KH GLIIHUHQFH OLHV LQ WKH URXWHLQJ RI WKH LQGLYLGXDO PHVVDJHV 7KH %66 QRZ PXVW FRQWHQG ZLWK WZR
WHUUHVWULDO SRLQW FRGHV 60/& DQG 06&  ZKHUHDV SUHYLRXVO\ WKH %66 FRXOG DVVXPH WKH 06& ZDV
WKH HQG GHVWLQDWLRQ LW ZDV WKH RQO\ RWKHU 63& LQ WKH QHWZRUN EHVLGHV WKH %66 

3:4 
 6HS 
&DOO SURFHVVLQJ ORFDWLRQ VHUYLFHV &KDSWHU  &DOO SURFHVVLQJ

7KH FUHDWLRQ RI D QHZ LQWHUIDFH DQG LWV VXSSRUWLQJ SURWRFROV LQWURGXFHV D VL]HDEOH DPRXQW RI DGGHG
IXQFWLRQDOLW\ 7KLV VHFWLRQ GHDOV ZLWK WKH DSSOLFDWLRQ OHYHO FKDQJHV GHDOLQJ GLUHFWO\ ZLWK WKH ORFDWLRQ
VHUYLFHV RQO\ 2WKHU VHFWLRQV FRYHU FKDQJHV QHFHVVDU\ IRU WKH PDLQWHQDQFH DQG RSHUDWLRQ RI WKH QHZ
LQWHUIDFH VXFK DV VLJQDOOLQJ OLQN PDLQWHQDQFH FLUFXLW PDLQWHQDQFH HWF 

,QLWLDO VHWXS
$ SRUWLRQ RI WKH IXQFWLRQDOLW\ QHFHVVDU\ IRU D %66EDVHG 60/& LV LGHQWLFDO UHJDUGOHVV RI SRVLWLRQLQJ
PHWKRG 7KH LQLWLDO VHWXS RI DOO UHVRXUFHV DQG QRWLILFDWLRQ WR WKH 60/& RI D SRVLWLRQLQJ DWWHPSW
LV GRQH SULRU WR WKH 60/& GHFLGLQJ ZKDW W\SH RI SRVLWLRQLQJ PHWKRG WR XVH 7KH 06& DOZD\V
NQRZV RI DQ ORFDWLRQ VHUYLFHV DWWHPSW EHIRUH WKH 60/& RU %66 DQG VHWV XS D FDOO DW OHDVW WR DQ
6'&&+ SULRU WR QRWLI\LQJ WKH 60/& RI WKH ORFDWLRQ DWWHPSW 7KXV IURP WKH YLHZSRLQW RI WKH
%66 D FDOO LV DOUHDG\ HVWDEOLVKHG EHIRUH ORFDWLRQ VHUYLFHV HYHQ EHJLQ

$ FDOO FRXOG DOUHDG\ EH LQ SURJUHVV XVHU MXVW KDSSHQHG WR EH LQYROYHG LQ D QRUPDO YRLFHGDWD
FDOO DW WKH WLPH  6R WKH 06 FRXOG DOUHDG\ EH RQ DQ 6'&&+ RU D 7&+ ,Q WKDW FDVH WKH
06& FDQ VNLS WKH FDOO VHWXS PHVVDJLQJ VLQFH LW KDV DOUHDG\ EHHQ GRQH

/RFDWLRQ VHUYLFHV WHDUGRZQ


)RU VXFFHVVIXO ORFDWLRQ VHUYLFHV FDVHV WKH ORFDWLRQ VHUYLFHV SRVLWLRQLQJ SURFHGXUH FDQ HQG ZLWK WKH 60/&
VHQGLQJ D %660$3/( SHUIRUP ORFDWLRQ UHVSRQVH PHVVDJH HQFDSVXODWHG LQ DQ 6&&3 5/6' PHVVDJH
RU WKH 60/& VHQGLQJ D %660$3/( SHUIRUP ORFDWLRQ UHVSRQVH PHVVDJH RQO\

7$EDVHG SRVLWLRQLQJ VHQDULRV


6LPLODU WR WKH 166EDVHG 60/& VFHQDULR IRU 7$EDVHG SRVLWLRQLQJ WKH %66 LV JDWKHULQJ LQWHUQDO
GDWD UHODWHG WR DQ DFWLYH FDOO DQG SURYLGLQJ WKDW GDWD WR WKH 60/& -XVW DV LQ WKH 166EDVHG
60/& FDVH WKH ODWHVW PHDVXUHPHQW UHSRUW LV UHWXUQHG LQ WKH GDWD SURYLGHG E\ WKH %66 WR WKH 60/&
WR SRVVLEO\ LPSURYH WKH ORFDWLRQ FDOFXODWLRQ DFFXUDF\ IRU WKH 60/&

+DQGOLQJ LVVXHV

7KHUH DUH D QXPEHU RI KDQGOLQJ LVVXHV WKH\ DUH GHVFULEH LQ WKH IROORZLQJ VXEVHFWLRQV

55/3 SURWRFRO HUURU PHVVDJH


:KHQ 660 UHFHLYHV D %66/$3 06 SRVLWLRQ FRPPDQG ZLWK DQ 55/3 SURWRFRO HUURU HQFDSVXODWHG
LQVLGH 660 PXVW HQFDSVXODWH WKH 55/3 SURWRFRO HUURU PHVVDJH LQWR DQ 55 DSSOLFDWLRQ LQIRUPDWLRQ
PHVVDJH DQG IRUZDUG WKH PHVVDJH WR 5560 7KH 5560 VHQGV LW RXW WR 566 SURFHVV WR WKH 06 7KLV
SURFHGXUH LV VWDWHOHVV VR WKDW WKH %66 GRHV QRW H[SHFW DQ\ UHVSRQVH IURP WKH 06

/RVV RI VLJQDOOLQJ WR WKH 06


'XULQJ D 7$ SRVLWLRQLQJ DWWHPSW LI WKH %66 ORVHV WKH VLJQDOOLQJ FRQQHFWLRQ WR WKH 06 VXFK DV H[SLU\ RI
WKH 7 WLPHU RU WKH 7 WLPHU  WKH %66 DEDQGRQV WKH RQJRLQJ SRVLWLRQLQJ DWWHPSW

 3:4
 6HS 
7HFKQLFDO 'HVFULSWLRQ %66 ,PSOHPHQWDWLRQ &DOO SURFHVVLQJ ORFDWLRQ VHUYLFHV

%66/$3 DERUW
'XULQJ DQ ORFDWLRQ VHUYLFHV SURFHGXUH WKH 60/& PD\ DERUW WKH DWWHPSW DW DQ\ WLPH E\ VHQGLQJ
D %66/$3 DERUW PHVVDJH WR WKH %6& :KHQ 660 UHFHLYHV WKLV PHVVDJH LW VWRSV WKH ORFDWLRQ
VHUYLFHV VXSHUYLVLRQ WLPHU DQG DERUWV IXUWKHU SURFHVVLQJ $Q\ UHVSRQVHV IURP 5560 IRU WKLV
ORFDWLRQ DWWHPSW DIWHU UHFHLYLQJ WKH %66/$3 DERUW PHVVDJH DUH LJQRUHG

5HOHDVH FDVHV
,I GXULQJ DQ ORFDWLRQ VHUYLFHV SURFHGXUH 660 GHWHUPLQHV WKDW WKH FDOO LV JRLQJ WR EH UHOHDVHG WKLV FRXOG
RFFXU IRU DQ\ QXPEHU RI UHDVRQV VXFK DV 06& WHDUGRZQ ORVV RI VLJQDOOLQJ FRQQHFWLRQ WR WKH 06 VXFK DV
7 WLPHU RU 7 WLPHU H[SLULHV HWF  660 VHQGV D %66/$3 DERUW PHVVDJH WR WKH 60/& ZLWK FDXVH
YDOXH ORVV RI VLJQDOOLQJ FRQQHFWLRQ WR 06 DQG DEDQGRQV DQ\ IXUWKHU ORFDWLRQ VHUYLFHV SURFHVVLQJ IRU
WKLV FDOO )XUWKHU LI WKH 6&&3 FRQQHFWLRQ WR WKH 06& LV WRUQ GRZQ WKH 6&&3 FRQQHFWLRQ WR WKH 60/&
LV WRUQ GRZQ DV ZHOO 5HIHU WR VHFWLRQ /RFDWLRQ VHUYLFHV WHDUGRZQ IRU IXUWKHU GHWDLO
,I DQ\ %66/$3 FRPPDQG LV UHFHLYHG IURP WKH 60/& ZKLOH WKH FDOO LV EHLQJ WRUQ GRZQ 660 UHVSRQGV WR WKH
%66/$3 FRPPDQG ZLWK D %66/$3 DERUW ZLWK FDXVH YDOXH ORVV RI VLJQDOOLQJ FRQQHFWLRQ WR 06

1R %66EDVHV 60/& SUHVHQW


:KHQ WKH %66 UHFHLYHV D %660$3 SHUIRUP ORFDWLRQ UHTXHVW IURP WKH 06& DQG WKHUH LV QRW D %66EDVHG
60/& SUHVHQW WKH %66 GLVFDUGV WKH %660$3 SHUIRUP ORFDWLRQ UHTXHVW PHVVDJH

3HUIRUP ORFDWLRQ DERUW


:KHQ WKH %66 UHFHLYHV D %660$3 SHUIRUP ORFDWLRQ DERUW PHVVDJH IURP WKH 06& LW IRUZDUGV WKLV
PHVVDJH LQ D %660$3/( SHUIRUP ORFDWLRQ DERUW PHVVDJH WR WKH 60/& RQ WKH H[LVWLQJ /E 6&&3
FRQQHFWLRQ 7KH 60/& PXVW UHVSRQG WR WKH %66 ZLWK D %660$3/( SHUIRUP ORFDWLRQ UHVSRQVH
PHVVDJH ZKHQ LW UHFHLYHV D %660$3/( SHUIRUP ORFDWLRQ DERUW PHVVDJH
:KHQ QR /E 6&&3 FRQQHFWLRQ H[LVWV IRU WKLV $LQWHUIDFH 6&&3 FRQQHFWLRQ RU QR %66EDVHG 60/&
H[LVWV WKH %66 GLVFDUGV WKH %660$3 SHUIRUP ORFDWLRQ DERUW PHVVDJH

/08 SURFHGXUHV
/08V XVH WKH VDPH LQWHUIDFH DV PRELOHV H[FHSW WKDW DOO VLJQDOOLQJ JRHV WR WKH 60/& DQG QRW
WR WKH 06& ZKHQ WKH 60/& LV %66EDVHG 7KH /08V DUH DOORZHG WR JHW DQ 6'&&+ DQG HYHQ
SHUIRUP KDQGRYHUV +RZHYHU WKH /08V FDQQRW JHW D 7&+

/08 KDQGRYHU
7KH /08 LV VLPLODU WR D PRELOH VWDWLRQ H[FHSW IRU YRLFH FDSDELOLW\ $OO /08 KDQGRYHU PHVVDJHV
DUH EHWZHHQ WKH /08 %66 DQG WKH %66EDVHG 60/& RU WKH 06&
7KH %66 GRHV QRW DOORZ DQ /08 WR EH DVVLJQHG WR D WUDIILF FKDQQHO
7KH %66 VXSSRUWV LQWHU%66 DQG LQWUD%66 KDQGRYHUV IRU DQ /08

3:4 
 6HS 
&DOO SURFHVVLQJ ORFDWLRQ VHUYLFHV &KDSWHU  &DOO SURFHVVLQJ

3UHHPSWLRQ RYHUORDGLQJ DQG HDUO\ SURYLVLRQ RI 7$

3UHHPSWLRQ
3UHHPSWLRQ PD\ EH ZLWK RU ZLWKRXW WUXQFDWLRQ

3UHHPSWLRQ ZLWKRXW WUXQFDWLRQ


)RU /&6 WKH %66 LV UHTXLUHG WR VXSSRUW SUHHPSWLRQ RI ORZSULRULW\ PHVVDJHV E\ KLJKSULRULW\ PHVVDJHV
1RUPDOSULRULW\ PHVVDJHV FDQ QHLWKHU SUHHPSW QRU EH SUHHPSWHG 55 DSSOLFDWLRQ LQIRUPDWLRQ PHVVDJHV
VXFK DV /&6 PHVVDJHV DUH FRQVLGHUHG ORZ SULRULW\ ,PSRUWDQW 55 PHVVDJHV VXFK DV FKDQQHO HVWDEOLVKPHQW
DQG UHOHDVH PHVVDJHV FRQILJXUDWLRQ FKDQJH PHVVDJHV DQG KDQGRYHUUHODWHG PHVVDJHV DUH FRQVLGHUHG KLJK
SULRULW\ $OO WKH 00 &0 DQG QRQKLJK SULRULW\ 55 PHVVDJHV DUH FRQVLGHUHG QRUPDO SULRULW\

2YHUORDGLQJ
,Q WKH 0RWRUROD LPSOHPHQWDWLRQ RI WKH %66 RYHUORDG LV GHWHFWHG RQ D SHUFHOO EDVLV ,I &50 GHWHFWV DQ
RYHUORDG FRQGLWLRQ RU WKH RYHUORDG LV UHSRUWHG E\ WKH 06& 660 RU 566  &50 XVHV D IORZFRQWURO
DOJRULWKP WR DWWHPSW WR DOOHYLDWH WKH FRQGLWLRQ WKH %66 GRHV QRW VHQG RYHUORDG PHVVDJHV WR WKH 06& 
&50 SLFNV RQH RI WHQ PRELOH DFFHVV FODVVHV DQG EDUV PRELOHV RI WKDW FODVV IURP XVLQJ WKH V\VWHP
&50 FRQWLQXHV WR EDU DFFHVV FODVVHV XQWLO WKH RYHUORDG FRQGLWLRQ LV HDVHG

(DUO\ SURYLVLRQ RI 7$
,Q RUGHU WR VXSSRUW DQG H[SHGLWH DQ\ EDVLF FHOO ,' DFWLYLWLHV WKDW PD\ EH SHUIRUPHG E\ WKH 06&60/&
GXULQJ FDOO VHWXS WKH %66 VXSSRUWV WKH SURYLVLRQLQJ RI WKH LQLWLDO 7$ YDOXH WR WKH 06& XSRQ FDOO VHWXS
ZKHQ WKH ORFDWLRQ VHUYLFHV IHDWXUH LV HQDEOHG  7KH 7$ YDOXH LV WKDW ZKLFK ZDV REWDLQHG GXULQJ WKH 5$&+
SURFHGXUH $V QR 05 GDWD LV DYDLODEOH DW WKH WLPH RI WKH LQLWLDO 06 PHVVDJH QRQH LV SURYLGHG WR WKH 06&
:KHQ 5560 VHQGV WKH LQLWLDO O PHVVDJH WR 660 LW LQFOXGHV WKH 7$ REWDLQHG GXULQJ WKH 5$&+ DWWHPSW RI
WKH PRELOH :KHQ 660 UHFHLYHV WKH LQLWLDO O PHVVDJH LW EXLOGV D %660$3 FRPSOHWH OD\HU  PHVVDJH WR EH
VHQW WR WKH 06& 660 LQFOXGHV D %66/$3 7$ OD\HU  PHVVDJH ZLWK WKH 7$ YDOXH IURP WKH LQLWLDO O PHVVDJH
7KLV %66/$3 PHVVDJH LV FRQWDLQHG LQ WKH RSWLRQDO $3'8 RI WKH %660$3 FRPSOHWH OD\HU  PHVVDJH
$SDUW IURP WKH LQFOXVLRQ RI WKH 7$ LQIRUPDWLRQ WKLV IXQFWLRQDOLW\ KDV QR RWKHU HIIHFW RQ FDOO VHWXS SURFHGXUHV

 3:4
 6HS 
7HFKQLFDO 'HVFULSWLRQ %66 ,PSOHPHQWDWLRQ (*356 ,QFUHPHQWDO 5HGXQGDQF\

(*356 ,QFUHPHQWDO 5HGXQGDQF\


Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ

,QFUHPHQWDO 5HGXQGDQF\

^`
)RU (*356 WKH %66 VXSSRUWV WKH IROORZLQJ
‡ $ELOLW\ WR XVH ,QFUHPHQWDO 5HGXQGDQF\ ,5 SURFHGXUHV

‡ 6XSSRUW IRU K\EULG 7\SH ,, $54 PRGH ZLWK ,5 IRU XSOLQN (*356 7%)V

‡ 6XSSRUW IRU K\EULG 7\SH ,, $54 PRGH ZLWK ,5 IRU GRZQOLQN (*356 7%)V

‡ 6XSSRUW IRU 7\SH ,, $54 PRGH ,5 DQG QR UHVHJPHQWDWLRQ RI 5/& GDWD EORFNV IRU UHWUDQVPLWWHG
5/& GDWD EORFNV LQ WKH GRZQOLQN IRU 7%)V RSHUDWLQJ LQ 5/& DFNQRZOHGJHG PRGH

7KH 3&8 ZKHQ UHWUDQVPLWWLQJ GDWD EORFNV LQ WKH GRZQOLQN LQGLFDWHV WR WKH UDGLR &&8 ZKLFK
,5 SXQFWXULQJ FRGHV WR XVH RQ D SHU5/& EORFNEDVLV
7KH %66 VXSSRUWV LQGHSHQGHQW ,5 SXQFWXULQJ FRGHV IRU HDFK 5/& GDWD EORFN LQ D GRZQOLQN
UDGLR EORFN LQ 0&6 0&6 DQG 0&6
)RU UHWUDQVPLVVLRQV RI 0&60&6 EORFNV XVLQJ ,5 LQ K\EULG $54 PRGH ,, WKH %66 UHWUDQVPLWV WKH
5/& GDWD EORFN XVLQJ DQRWKHU 0&6 LQ WKH VDPH IDPLO\ DV GHILQHG IRU WKH PRELOH VWDWLRQ
7KH 0&6 0&6 DQG 0&6 GRZQOLQN UDGLR EORFNV DUH DFWXDOO\ FRPSRVHG RI WZR LQGHSHQGHQW
5/& GDWD EORFNV DQG WKHVH GDWD EORFNV FDQ KDYH LQGHSHQGHQW ,5 SXQFWXULQJ VFKHPHV WKH SXQFWXULQJ
VFKHPHV DUH UHIHUUHG WR LQ WKH VSHFLILFDWLRQV DV 3 3 DQG 3  7KH 3&8 LQGLFDWHV WR WKH FKDQQHO
FRGHU ZKLFK SXQFWXULQJ VFKHPH WR XVH ZLWK HDFK KDOI RI WKH GDWD EORFN
7KH %66 WUDQVPLWV DOO GRZQOLQN 5/& GDWD EORFNV XVLQJ SXQFWXULQJ VFKHPH 3 LQLWLDOO\ IROORZHG E\
3 IRU WKH ILUVW UHWUDQVPLVVLRQ LQ WKH VDPH FRGLQJ VFKHPH RQ D SHU5/& EORFN EDVLV
)RU 0&6 0&6 0&6 DQG 0&6 WKH %66 UHWUDQVPLWV DW 3 IRU WKH VHFRQG UHWUDQVPLVVLRQ
DQG DOWHUQDWHV EHWZHHQ 3 DQG 3 WKHUHDIWHU
)RU 0&6 0&6 0&6 0&6 DQG 0&6 WKH %66 UHWUDQVPLWV DW 3 IRU WKH VHFRQG
UHWUDQVPLVVLRQ DQG F\FOHV WKURXJK 3 3 DQG 3 WKHUHDIWHU
7KH %66 VXSSRUWV 7\SH ,, $54 PRGH ,QFUHPHQWDO 5HGXQGDQF\ E\ RUGHULQJ WKH 06 WR XVH D VSHFLILF 0&6
DQG QRW VHWWLQJ WKH 5(6(*0(17 ELW LQ WKH 3DFNHW 8SOLQN $VVLJQPHQW 3DFNHW 7LPHVORW 5HFRQILJXUH
(*356 3DFNHW 8SOLQN $FN1DFN DQG ,PPHGLDWH $VVLJQPHQW IRU 8SOLQN PHVVDJHV
7KH %66 LV QRW LPSOHPHQWLQJ $54 PRGH , ZKLFK DOORZV WKH VSOLWWLQJ RI D VLQJOH %61 LQWR WZR SDUWV
IRU UHWUDQVPLVVLRQ DW ORZHU FRGLQJ VFKHPHV 7KH %66 RQO\ VXSSRUWV VSOLWWLQJ WKH 5/& UDGLR EORFN
LQWR WZR GDWD EORFNV DW WKH %61 ERXQGDU\ $54 PRGH ,, 7KH RQO\ WLPH WKDW WKH %66 VKRXOG UHFHLYH
D 5/& EORFN WKDW LQGLFDWHV VSOLW SD\ORDG LV LQ WKH FDVH RI D URJXH PRELOH
7KH %66 GLVFDUGV DQ\ XSOLQN EORFN IURP WKH PRELOH VWDWLRQ LI WKH 5/&0$& KHDGHU
LQGLFDWHV WKDW LW LV D VSOLW SD\ORDG EORFN

3:4 
 6HS 
(*356 ,QFUHPHQWDO 5HGXQGDQF\ &KDSWHU  &DOO SURFHVVLQJ

:KHQ RSHUDWLQJ LQ $54 PRGH ,, WKH PRELOH VWDWLRQ VHWV WKH 06 287 2) 0(025< LQGLFDWRU LQ WKH
(*356 3DFNHW 'RZQOLQN $FN1DFN WKH %66 ZLOO WDNH LQWR DFFRXQW WKH IDFW WKDW WKH PRELOH VWDWLRQ LV QR
ORQJHU SHUIRUPLQJ ,5 DQG WKDW WKH PRELOH VWDWLRQ FDQQRW UHDOL]H WKH JDLQV LQ SHUIRUPDQFH DIIRUGHG E\ ,5

 3:4
 6HS 
7HFKQLFDO 'HVFULSWLRQ %66 ,PSOHPHQWDWLRQ $GDSWLYH 0XOWL5DWH $05 $ELVLQWHUIDFH

$GDSWLYH 0XOWL5DWH $05 $ELVLQWHUIDFH


Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ

^`

7UDIILF FKDQQHO FRPPXQLFDWLRQV

7UDIILF FKDQQHO UHODWHG FRPPXQLFDWLRQ ZLWKLQ WKH %66 LQGLFDWHV WKH UHOHYDQW VXEFKDQQHO LQ DOO $05
KDOIUDWH FKDQQHO UHODWHG PHVVDJLQJ ZLWKLQ WKH %66 VR WKDW IRU $05 +DOI5DWH +5 FKDQQHOV WKH %66
UHIHUV WR WKH FRUUHVSRQGLQJ DLU LQWHUIDFH WLPHVORW VXEFKDQQHO IRU WKH FRPPXQLFDWLRQ
7KH FKDQQHO DFWLYDWLRQ DQG PRGH PRGLI\ PHVVDJHV RQ WKH $ELV LQWHUIDFH ERWK FRQWDLQ WKH FKDQQHO
PRGH LQIRUPDWLRQ HOHPHQW 7KH FKDQQHO PRGH LQIRUPDWLRQ HOHPHQW FRQWDLQV WKH FKDQQHO UDWH
DQG W\SH RFWHW DQG WKH VSHHFK FRGLQJ DOJRULWKP RFWHW WKDW LQGLFDWH WKH FKDQQHO UDWH DQG VSHHFK
YHUVLRQ UHVSHFWLYHO\ DQG DUH DOVR FRGHG WR LQGLFDWH D 7&+$+6
,I WKH FKDQQHO PRGH LQIRUPDWLRQ HOHPHQW ZLWKLQ WKH FKDQQHO DFWLYDWLRQ PHVVDJH VSHFLILHV D 7&+$+6 WKH
%66 LQFOXGHV WKH PXOWLUDWH FRQILJXUDWLRQ LQIRUPDWLRQ HOHPHQW 7KH PXOWLUDWH FRQILJXUDWLRQ LQFOXGHG
LQ WKH FKDQQHO DFWLYDWLRQ PHVVDJH LV WKH XSOLQN PXOWLUDWH FRQILJXUDWLRQ IRU WKH FKDQQHO
,I WKH FKDQQHO PRGH LQIRUPDWLRQ HOHPHQW ZLWKLQ WKH PRGH PRGLI\ PHVVDJH VSHFLILHV D 7&+$+6
WKH %66 LQFOXGHV WKH PXOWLUDWH FRQILJXUDWLRQ LQIRUPDWLRQ HOHPHQW 7KH PXOWLUDWH FRQILJXUDWLRQ
HOHPHQW LQ WKH FKDQQHO DFWLYDWLRQ DQG PRGH PRGLI\ PHVVDJHV RQ WKH $ELV LQWHUIDFH FRQWDLQV WKH
FRGHF PRGHV LQ WKH $FWLYH &RGHF 6HW $&6  WKH ,QLWLDO &RGHF 0RGH ,&0 DQG WKH DVVRFLDWHG
DGDSWDWLRQ WKUHVKROGV DQG K\VWHUHVLV YDOXHV XVHG E\ DQ $05 FDOO
7KH PXOWLUDWH FRQILJXUDWLRQ HOHPHQW LQ WKH FKDQQHO DFWLYDWLRQ DQG PRGH PRGLI\ PHVVDJHV LV FRGHG WR
LQGLFDWH WR WKH &&8 WKH IXOO RU +5 DFWLYH FRGHF VHW IXOO RU +5 ,&0 DQG WKH DVVRFLDWHG XSOLQN FRGHF PRGH
DGDSWDWLRQ WKUHVKROGV DQG K\VWHUHVLV YDOXHV VSHFLILHG LQ WKH GDWDEDVH IRU IXOO RU +5 $05 FDOOV
1RWH WKDW

2WKHU PHVVDJHV WKDW QHHG WR EH PRGLILHG IRU WKH LPSOHPHQWDWLRQ RI $05 +5 VXFK DV WKH
KDQGRYHU FRPPDQG DQG DVVLJQPHQW FRPPDQG DUH DOVR VHQW DFURVV WKH $ELV LQWHUIDFH

3:4 
 6HS 
(PHUJHQF\ FDOO SUHHPSWLRQ &KDSWHU  &DOO SURFHVVLQJ

(PHUJHQF\ FDOO SUHHPSWLRQ


Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ

^`

5HVHUYDWLRQ RI IXOOUDWH 7&+ IRU HPHUJHQF\ FDOOV

:KHQ WKH %66 UHFHLYHV DQ HPHUJHQF\ &0 VHUYLFH UHTXHVW LW DWWHPSWV WR UHVHUYH D WLPHVORW IRU WKH LQFRPLQJ
HPHUJHQF\ FDOO 7KLV HQVXUHV WKDW D WUDIILF FKDQQHO LV UHVHUYHG UHDG\ WR EH DOORFDWHG IRU WKH HPHUJHQF\
FDOO ZKHQ WKH DVVLJQPHQW UHTXHVW LV UHFHLYHG E\ WKH %66 8QQHFHVVDU\ GHOD\V DUH QRW WKHQ LQWURGXFHG
GXULQJ WKH DVVLJQPHQW RI DQ HPHUJHQF\ FDOO ,I WKH %66 FDQQRW UHVHUYH DQ LGOH WUDIILF WLPHVORW DQ DWWHPSW
WR VWHDO D WUDIILF WLPHVORW UHVHUYHG E\ WKH PXOWLEDQG KDQGRYHU IXQFWLRQDOLW\ DOORFDWH D UHVHUYHG $05
KDOIUDWH FDSDEOH WUDIILF WLPHVORW RU WULJJHU HPHUJHQF\ FDOO SUHHPSWLRQ LI HQDEOHG LV PDGH
:KHQ WKH %66 UHFHLYHV WKH HPHUJHQF\ &0 VHUYLFH UHTXHVW LW KDV QR LQGLFDWLRQ RI WKH FDSDELOLWLHV RI WKH FDOO
DV IDU DV VXSSRUWHG VSHHFK YHUVLRQV DUH FRQFHUQHG 7KH 7&+ UHVHUYHG ZLOO EH IXOOUDWH FDSDEOH EXW PD\
DOVR EH $05 IXOOUDWH FDSDEOH ,W LV SRVVLEOH WKDW WKH DVVLJQPHQW UHTXHVW IURP WKH 06& PD\ LGHQWLI\ $05
IXOOUDWH VSHHFK YHUVLRQ DV KDYLQJ WKH KLJKHVW SULRULW\ RU EHLQJ WKH RQO\ SHUPLWWHG VSHHFK YHUVLRQ IRU WKH FDOO
7KH WUDIILF FKDQQHO UHVHUYHG IRU WKH HPHUJHQF\ FDOO DUH LQ RUGHU RI SUHIHUHQFH DV IROORZV
‡ )XOOUDWH RQO\

‡ ,I WKHUH DUH QR LGOH IXOOUDWHRQO\ FKDQQHOV DYDLODEOH LQ WKH FHOO D JHQHULF WLPHVORW

‡ ,I WKHUH DUH QR LGOH WUDIILF FKDQQHOV LQ WKH FHOO WR UHVHUYH IRU DQ HPHUJHQF\
FDOO D VZLWFKDEOH 3'7&+

‡ ,I WKHUH DUH QR RWKHU LGOH IXOOUDWH FDSDEOH WLPHVORWV LQ WKH FHOO WKH VHOHFWLRQ
RI D UHVHUYHG JHQHULF WLPHVORW LV DOORZHG

7KH KLJKHVW SULRULW\ VSHHFK YHUVLRQ VXSSRUWHG E\ WKH 7&+ LV XVHG ZKHQ DVVLJQLQJ DQ HPHUJHQF\ FDOO WR WKH
DOORFDWHG WLPHVORW 7KLV FDQ UHVXOW LQ WKH %66 QRW DVVLJQLQJ WKH KLJKHVW SULRULW\ VSHHFK YHUVLRQ UHTXHVWHG
E\ WKH 06& WR WKH FDOO EXW SUHYHQWV XQQHFHVVDU\ UHDOORFDWLRQ RI UHVRXUFHV ZLWKLQ WKH %66
,I WKH UHVHUYHG WLPHVORW FDQQRW VXSSRUW DQ\ RI WKH UHTXHVWHG VSHHFK YHUVLRQV VSHFLILHG E\ WKH 06&
WKH %66 DWWHPSWV WR DOORFDWH D QHZ UHVRXUFH ZLWK WKH FRUUHFW FDSDELOLWLHV

,I WKH FKDQQHO GRHV QHHG WR EH DOWHUHG WR VDWLVI\ WKH UHTXHVW IURP WKH 06& WKLV LV GRQH
E\ WKH UHDVVLJQPHQW RI WKH FDOO WR WKH QHZ FKDQQHO

6WHDOLQJ RI PXOWLEDQG KDQGRYHU UHVHUYHG WLPHVORWV


6WHDOLQJ RI UHVHUYHG PXOWLEDQG WLPHVORWV RFFXUV ZKHQ DQ HPHUJHQF\ &0 VHUYLFH UHTXHVW LV UHFHLYHG
DQG QR RWKHU WUDIILF FKDQQHOV DUH DYDLODEOH 7KLV KDSSHQV SULRU WR WKH %66 WULJJHULQJ HPHUJHQF\
FDOO SUHHPSWLRQ LI HQDEOHG 7KH FKDQQHO UHVHUYHG E\ WKH PXOWLEDQG KDQGRYHU IXQFWLRQDOLW\
FDQ EH HLWKHU D )XOO5DWH )5 RU +DOI5DWH +5 FKDQQHO

 3:4
 6HS 
7HFKQLFDO 'HVFULSWLRQ %66 ,PSOHPHQWDWLRQ (PHUJHQF\ FDOO SUHHPSWLRQ

7KH %66 VWHDOV )5 FKDQQHOV IURP WKH FKDQQHOV UHVHUYHG E\ WKH PXOWLEDQG KDQGRYHU IXQFWLRQDOLW\
,W LV SRVVLEOH WKDW WKHUH PD\ EH D +5 FKDQQHO UHVHUYHG E\ WKH PXOWLEDQG KDQGRYHU IXQFWLRQDOLW\
ZKLFK LV SDUW RI D VLQJOH RFFXSDQF\ +5 WUDIILF WLPHVORW WKH RWKHU VXEFKDQQHO LV LGOH  $OVR WKH RWKHU
VXEFKDQQHO LV UHVHUYHG E\ WKH PXOWLEDQG KDQGRYHU IXQFWLRQDOLW\ ,Q WKLV FDVH WKH %66 ZLOO VWHDO ERWK
RI WKH +5 VXEFKDQQHOV UHODWHG WR WKH +5 WUDIILF WLPHVORW IRU WKH HPHUJHQF\ FDOO
7KH %66 VWHDOV D +5 FKDQQHO UHVHUYHG E\ WKH PXOWLEDQG KDQGRYHU IXQFWLRQDOLW\ LI WKH RWKHU VXEFKDQQHO
DVVRFLDWHG ZLWK WKH UHVHUYHG VXEFKDQQHO LV DOVR UHVHUYHG E\ WKH PXOWLEDQG KDQGRYHU IXQFWLRQDOLW\

8VH RI UHVHUYHG KDOIUDWH FDSDEOH WUDIILF WLPHVORWV


,I DOO RWKHU UHVRXUFHV KDYH EHHQ H[KDXVWHG LQFOXGLQJ DOO LGOH )5 FDSDEOH WLPHVORWV DQG
*356 VZLWFKDEOH WLPHVORWV WKH %66 DOORFDWHV WKH LQFRPLQJ HPHUJHQF\ FDOO WR D UHVHUYHG +5
FDSDEOH WUDIILF WLPHVORW SULRU WR LQLWLDWLQJ SUHHPSWLRQ

(PHUJHQF\ FDOO SUHHPSWLRQ


,I DQ HPHUJHQF\ FDOO FDQQRW EH DVVLJQHG DQ LGOH WUDIILF FKDQQHO DQG WKHUH DUH QR *356 VZLWFKDEOH RU
PXOWLEDQG UHVHUYHG WLPHVORWV LQ WKH WDUJHW FHOO WKH %66 ZLOO SUHHPSW D FDOO IURP DQ LQ XVH WUDIILF FKDQQHO
:KHQ VHDUFKLQJ IRU DQ LQ XVH WUDIILF FKDQQHO WR SUHHPSW WKH FDOO IURP WKH %66 ZLOO SUHHPSW D ORZHU SULRULW\
FDOO LQ SUHIHUHQFH WR D KLJKHU SULRULW\ FDOO )RU +5 FDOO SUHHPSWLRQ D GXDO RFFXSDQF\ +5 WUDIILF WLPHVORW LV
UHJDUGHG DV WKH KLJKHVW SULRULW\ FDOO RQ WKDW WLPHVORW ,Q RUGHU WR UHVHUYH +5 WUDIILF FKDQQHOV ZKHUH SRVVLEOH
DIWHU WDNLQJ LQWR DFFRXQW SULRULW\ FRQVLGHUDWLRQV WKH %66 JLYHV SUHIHUHQFH WR SUHHPSWLQJ )5 FDOOV
:KHQ SUHHPSWLQJ D WUDIILF FKDQQHO WR DVVLJQ WR DQ HPHUJHQF\ FDOO DIWHU FRQVLGHULQJ FDOO
SULRULW\ WKH %66 SULRULWL]HV FKDQQHOV EDVHG XSRQ WKH FDUULHU RQ ZKLFK WKRVH FKDQQHOV H[LVW
&DOOV DUH SUHHPSWHG LQ WKH IROORZLQJ RUGHU RI SULRULW\
‡ )XOOUDWH FDOO

‡ ,I WKHUH DUH QR IXOOUDWH FDOOV RI ORZHU SULRULW\ WKH %66 

‡ ,I WKHUH DUH QR IXOOUDWH RU VLQJOH RFFXSDQF\ KDOIUDWH FDOOV ZLWK ORZHU SULRULW\ WZR KDOIUDWH
FDOOV RFFXS\LQJ WKH VDPH WLPHVORW DUH VHOHFWHG IRU SUHHPSWLRQ

,I WKH %66 LV VHOHFWLQJ WKH ORZHVW SULRULW\ VLQJOHRFFXSDQF\ KDOIUDWH FDOO IRU SUHHPSWLRQ WKH SULRULW\ RI WKH
GXDO RFFXSDQF\ KDOIUDWH WLPHVORW LV GHILQHG E\ WKH KLJKHVW SULRULW\ KDOIUDWH FDOO RQ WKH WLPHVORW
^` ,I DQ HPHUJHQF\ FDOO LV LQLWLDWHG LQ (QKDQFHG $XWR &RQQHFW ($& PRGH DQG QR VXLWDEOH $WHU
LV DYDLODEOH WR EH DVVLJQHG WR WKH FDOO WKH %66 ZLOO SUHHPSW DQ H[LVWLQJ QRQHPHUJHQF\ FDOO RU FDOOV
WR REWDLQ D VXLWDEOH $WHU UHVRXUFH ,I KDOI UDWH LV EHLQJ XVHG PXOWLSOH FDOOV PD\ QHHG WR EH SUHHPSWHG
WR REWDLQ D  NESV $WHU 7KH SUHIHUHQFHV IRU KDOIUDWH HPHUJHQF\ FDOO SUHHPSWLRQ DUH
‡ $Q  NESV EHLQJ XVHG IRU DQ  NESV FDOO

‡ 2QH KDOI RI D  NESV $WHU EHLQJ XVHG IRU D  NESV FDOO

7KH SUHIHUHQFHV IRU IXOOUDWH HPHUJHQF\ FDOO SUHHPSWLRQ DUH


‡ $  NESV $WHU EHLQJ XVHG LQ D  NESV FDOO

‡ $  NESV $WHU ZKHUH  NESV LV EHLQJ XVHG LQ DQ  NESV FDOO DQG WKH RWKHU  NESV LV LGOH

‡ 7ZR FRQVHFXWLYH  NESV $WHUV EHLQJ XVHG LQ  NESV FDOOV

1RQHPHUJHQF\ FDOOV DUH SUHHPSWHG LQ RUGHU RI SULRULW\ EHJLQQLQJ ZLWK WKH ORZHVW SULRULW\ FDOO

3:4 
 6HS 
$05 &KDQQHO DOORFDWLRQ &KDSWHU  &DOO SURFHVVLQJ

$05 &KDQQHO DOORFDWLRQ


Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ

^`

&KDQQHO LQIRUPDWLRQ HOHPHQWV

7KH FKDQQHO W\SH LQIRUPDWLRQ HOHPHQW ZLWKLQ WKH KDQGRYHU DQG DVVLJQPHQW UHTXHVW PHVVDJHV IURP WKH 06&
FRQWDLQV D VSHHFKGDWD LQGLFDWRU RFWHW 7KH VSHHFKGDWD LQGLFDWRU RFWHW GHILQHV ZKHWKHU WKH UHTXHVW LV IRU
VSHHFK GDWD RU VLJQDOOLQJ 7KH RSHUDWLRQ RI WKH %66 LV GLIIHUHQW IRU HDFK RI WKHVH RSWLRQV

6SHHFK FKDQQHO LQIRUPDWLRQ


7KH FKDQQHO UDWH DQG W\SH RFWHW FRQWDLQHG ZLWKLQ WKH FKDQQHO W\SH LQIRUPDWLRQ HOHPHQW
LQ WKH KDQGRYHU UHTXHVW DQG DVVLJQPHQW UHTXHVW PHVVDJHV IURP WKH 06& WR WKH %66
LQGLFDWHV WKH UHTXLUHG FKDQQHO UDWH RSWLRQ DV IROORZV
‡ )XOO5DWH )5

‡ +DOI5DWH +5

‡ HLWKHU IXOOUDWH RU KDOIUDWH

)RU HDFK RSWLRQ WKH SUHIHUUHG FKDQQHO UDWH DQG LI UDWH FKDQJHV DUH SHUPLWWHG DIWHU
LQLWLDO FKDQQHO DOORFDWLRQ FDQ EH LQGLFDWHG 
7KH 06& VSHFLILHV D SDUWLFXODU FKDQQHO UDWH ZLWKLQ WKH FKDQQHO UDWH DQG W\SH RFWHW FRQWDLQHG LQ WKH
FKDQQHO W\SH LQIRUPDWLRQ HOHPHQW RI DQ DVVLJQPHQW RU KDQGRYHU UHTXHVW PHVVDJH 7KH %66 DWWHPSWV
WR DOORFDWH D FKDQQHO RI WKH VSHFLILHG UDWH IRU WKH FDOO 7KH SHUPLWWHG VSHHFK YHUVLRQ LQGLFDWLRQ RFWHWV
ZLWKLQ WKH FKDQQHO W\SH LQIRUPDWLRQ HOHPHQW LQ WKH KDQGRYHU UHTXHVW RU DVVLJQPHQW UHTXHVW PHVVDJHV IURP
WKH 06& OLVW LQ RUGHU RI SUHIHUHQFH WKH VSHHFK YHUVLRQV ZKLFK PD\ EH XVHG IRU WKH FDOO

)XOOUDWH VSHHFK FKDQQHO UHTXHVW


7KH 06& VSHFLILHV WKDW D FDOO PXVW EH DOORFDWHG D )5 WUDIILF FKDQQHO E\ VHWWLQJ WKH FKDQQHO
UDWH DQG W\SH RFWHW ZLWKLQ WKH FKDQQHO W\SH LQIRUPDWLRQ HOHPHQW LQ DQ DVVLJQPHQW UHTXHVW RU
KDQGRYHU UHTXHVW PHVVDJH WR )5 7&+ FKDQQHO %P
,I WKH FKDQQHO UDWH DQG W\SH RFWHW RI DQ DVVLJQPHQW UHTXHVW RU KDQGRYHU UHTXHVW PHVVDJH IURP WKH
06& VSHFLILHV )5 7&+ FKDQQHO %P WKH %66 DWWHPSWV WR DOORFDWH D )5 FKDQQHO IRU WKH FDOO 7KH %66
ZLOO DOORFDWH D )5 FKDQQHO IRU WKH FDOO LI RQH LV DYDLODEOH  ZLWK VSHHFK YHUVLRQ DV GHWHUPLQHG E\ WKH
SHUPLWWHG VSHHFK YHUVLRQ LQGLFDWLRQ RFWHWV DQG WKH FDSDELOLWLHV RI WKH VHOHFWHG &,&

&,&V PXVW EH RQ D (*'3 WR VXSSRUW $05 )5

 3:4
 6HS 
7HFKQLFDO 'HVFULSWLRQ %66 ,PSOHPHQWDWLRQ $05 &KDQQHO DOORFDWLRQ

+DOIUDWH VSHHFK FKDQQHO UHTXHVW


7KH %66 RQO\ VXSSRUWV *60 VSHHFK +5 YHUVLRQ  LH $05 +5  ,I DQ DVVLJQPHQW UHTXHVW RU KDQGRYHU
UHTXHVW PHVVDJH IURP WKH 06& VSHFLILHV WKH FKDQQHO UDWH DQG W\SH RFWHW ZLWKLQ WKH FKDQQHO W\SH
LQIRUPDWLRQ HOHPHQW DV +5 7&+ FKDQQHO /P WKH %66 ZLOO DWWHPSW WR DOORFDWH D +5 FKDQQHO WR WKH
FDOO LI *60 VSHHFK +5 YHUVLRQ  LV LQ WKH SHUPLWWHG VSHHFK YHUVLRQ LQGLFDWLRQ OLVW
7KH %66 ZLOO DWWHPSW WR DOORFDWH DQ $05 +5 FKDQQHO IRU WKH FDOO LI WKH FKDQQHO UDWH DQG W\SH RFWHW RI
DQ DVVLJQPHQW RU KDQGRYHU UHTXHVW PHVVDJH IURP WKH 06& VSHFLILHV WKH IROORZLQJ
‡ &KDQQHO W\SH LQIRUPDWLRQ HOHPHQW +5 7&+ FKDQQHO /P VSHFLILHG

‡ 7KH SHUPLWWHG VSHHFK YHUVLRQ LQGLFDWLRQ RFWHWV LQFOXGH *60 +5 VSHHFK YHUVLRQ 

,I *60 VSHHFK +5 YHUVLRQ  LV QRW LQ WKH SHUPLWWHG VSHHFK YHUVLRQ LQGLFDWLRQ OLVW
WKH %66 PXVW UHMHFW WKH UHTXHVW
7R UHMHFW WKH UHTXHVW WKH %66 VHQGV DQ DVVLJQPHQW RU KDQGRYHU IDLOXUH PHVVDJH ZLWK
FDXVH YDOXH SDUW RI WKH FDXVH LQIRUPDWLRQ HOHPHQW ZLWKLQ WKH DVVLJQPHQW IDLOXUH PHVVDJH
UHTXHVWHG VSHHFK YHUVLRQ XQDYDLODEOH WR WKH 06&
2QO\ &,&V WKDW DUH WUDQVFRGHG E\ DQ HQKDQFHG *'3 SDLU RU *'3 VXSSRUW WKH $05 +5 VSHHFK YHUVLRQ
7KHUHIRUH LI WKH 06& VSHFLILHV +5 LQ WKH FKDQQHO UDWH DQG W\SH RFWHW RI DQ DVVLJQPHQW UHTXHVW RU KDQGRYHU
UHTXHVW EXW WKH VHOHFWHG &,& LV QRW WUDQVFRGHG E\ DQ HQKDQFHG *'3 SDLU WKH %66 PXVW UHMHFW WKH UHTXHVW

&,& WUDQVFRGLQJ
7KH %66 LQFOXGHV WKH $05 +5 VSHHFK YHUVLRQ LQ WKH FDSDELOLW\ OLVW RI &,&V WKDW DUH WUDQVFRGHG E\ DQ
HQKDQFHG *'3 SDLU 7KLV UHTXLUHPHQW LV VXEMHFW WR WKH UHVWULFWLRQV GHILQHG DV IROORZV
‡ 7KH %66 H[FOXGHV $05 +5 VSHHFK LQ WKH FDSDELOLW\ OLVW RI D UHPRWHO\ WUDQVFRGHG &,&
LI WKDW &,& LV DVVRFLDWHG ZLWK D 5;&'5 IRU ZKLFK &,& YDOLGDWLRQ LV QRW RSHUDWLRQDO
,I &,& YDOLGDWLRQ LV QRW RSHUDWLRQDO IRU WKH 5;&'5 DVVRFLDWHG ZLWK D JLYHQ &,& LW LV
QRW SRVVLEOH WR WHOO LI WKH &,& LV WUDQVFRGHG E\ DQ HQKDQFHG *'3 SDLU DQG WKHUHIRUH
ZKHWKHU WKDW &,& FDQ VXSSRUW WKH $05 +5 VSHHFK YHUVLRQ

&,& YDOLGDWLRQ FDQ EH UHJDUGHG DV RSHUDWLRQDO IRU D JLYHQ 5;&'5 LI WKH $;&'5
GHYLFH DVVRFLDWHG ZLWK WKDW 5;&'5 LV EXV\XQORFNHG 7KLV DXWRPDWLFDOO\
LPSOLHV WKDW &,& YDOLGDWLRQ LV HQDEOHG IRU WKDW 5;&'5

‡ 7KH %66 H[FOXGHV $05 +5 VSHHFK LQ WKH FDSDELOLW\ OLVW RI D UHPRWHO\ WUDQVFRGHG
&,& LI WKDW &,& LV DVVRFLDWHG ZLWK D 5;&'5 WKDW LV UXQQLQJ D SUH$05 +5
FKDQQHO PRGH %66 VRIWZDUH UHOHDVH

‡ 7KH %66 H[FOXGHV $05 LQ WKH FDSDELOLW\ OLVW RI D &,& LI WKDW &,& LV DVVRFLDWHG ZLWK D 5;&'5
RU ORFDO WUDQVFRGLQJ %6& WKDW KDV WKH $05 XVLQJ HQKDQFHG *'3 IHDWXUH UHVWULFWHG

3:4 
 6HS 
$05 &KDQQHO DOORFDWLRQ &KDSWHU  &DOO SURFHVVLQJ

,I WKH %66 UHFHLYHV DQ DVVLJQPHQW UHTXHVW RU KDQGRYHU UHTXHVW PHVVDJH WKDW VSHFLILHV WKDW DQ $05 +5 FKDQQHO
LV UHTXLUHG DQG WKH VSHFLILHG &,& GRHV QRW KDYH $05 +5 VSHHFK FDSDELOLW\ WKH %66 UHMHFWV WKH UHTXHVW  7R
UHMHFW WKH UHTXHVW WKH %66 VHQGV DQ DVVLJQPHQW RU KDQGRYHU IDLOXUH PHVVDJH ZLWK FDXVH YDOXH SDUW RI WKH FDXVH
LQIRUPDWLRQ HOHPHQW ZLWKLQ WKH DVVLJQPHQW IDLOXUH PHVVDJH UHTXHVWHG VSHHFK YHUVLRQ XQDYDLODEOH WR WKH 06&
7KH %66 FDQ RQO\ DOORFDWH DQ $05 +5 FKDQQHO LI WKH IROORZLQJ DUH DOO WUXH
‡ 7KH $05 +5 FKDQQHO PRGH LV HQDEOHG DW WKH %66 OHYHO

‡ 7KH $05 +5 FKDQQHO PRGH LV HQDEOHG IRU WKH WDUJHW FHOO

‡ 7KHUH DUH $05 +5 FKDQQHOV DYDLODEOH LQ WKH WDUJHW FHOO

,I DQ DVVLJQPHQW RU KDQGRYHU UHTXHVW PHVVDJH IURP WKH 06& VSHFLILHV WKDW DQ $05 +5 FKDQQHO LV UHTXLUHG
EXW $05 +5 LV GLVDEOHG ZLWKLQ WKH %66 WKH %66 UHMHFWV WKH DVVLJQPHQWKDQGRYHU UHTXHVW
,I WKH %66 UHFHLYHV DQ DVVLJQPHQW RU KDQGRYHU UHTXHVW PHVVDJH WKDW VSHFLILHV WKDW DQ $05 +5
FKDQQHO LV UHTXLUHG EXW $05 +5 LV GLVDEOHG LQ WKH WDUJHW FHOO WKH %66 UHMHFWV WKH UHTXHVW ZLWK FDXVH
YDOXH UHTXHVWHG VSHHFK YHUVLRQ XQDYDLODEOH $OVR LI DQ DVVLJQPHQW RU KDQGRYHU UHTXHVW PHVVDJH
IURP WKH 06& VSHFLILHV WKDW DQ $05 +5 FKDQQHO LV UHTXLUHG EXW WKH %66 FDQQRW DOORFDWH DQ
$05 +5 FKDQQHO WKH %66 UHMHFWV WKH DVVLJQPHQWKDQGRYHU UHTXHVW
,I WKH %66 UHFHLYHV DQ DVVLJQPHQW RU KDQGRYHU UHTXHVW PHVVDJH WKDW VSHFLILHV WKDW DQ $05 +5 FKDQQHO LV
UHTXLUHG EXW WKHUH DUH QR $05 +5 FKDQQHO UHVRXUFHV LQ WKH WDUJHW FHOO WKH %66 UHMHFWV WKH UHTXHVW  7R
UHMHFW WKH UHTXHVW WKH %66 VHQGV DQ DVVLJQPHQW RU KDQGRYHU IDLOXUH PHVVDJH ZLWK FDXVH YDOXH SDUW RI
WKH FDXVH LQIRUPDWLRQ HOHPHQW ZLWKLQ WKH PHVVDJH QR UDGLR UHVRXUFH DYDLODEOH WR WKH 06&

7KH DERYH UHVWULFWLRQV DUH DOVR DSSOLFDEOH WR $05 )5 FDOOV DQG FKDQQHOV

$05 IXOOUDWH RU KDOIUDWH FKDQQHO UHTXHVW


,I WKH FKDQQHO UDWH DQG W\SH RFWHW ZLWKLQ DQ DVVLJQPHQW UHTXHVW RU KDQGRYHU UHTXHVW PHVVDJH IURP WKH 06&
VSHFLILHV WKDW HLWKHU D )5 RU D +5 FKDQQHO FDQ EH DOORFDWHG WR WKH FDOO WKH %66 GHFLGHV ZKLFK WR DOORFDWH 7KH
%66 ZLOO DWWHPSW WR DOORFDWH D )5 FKDQQHO WR WKH FDOO DV SHU H[LVWLQJ IXQFWLRQDOLW\ LI DQ\ RI WKH IROORZLQJ DUH WUXH
‡ 7KH $05 +5 FKDQQHO PRGH LV GLVDEOHG DW WKH %66 OHYHO

‡ 7KH $05 +5 FKDQQHO PRGH LV GLVDEOHG IRU WKH WDUJHW FHOO

‡ *60 +5 VSHHFK YHUVLRQ  LV QRW LQ WKH SHUPLWWHG VSHHFK YHUVLRQ LQGLFDWLRQ OLVW

‡ 7KH FKDQQHO UDWH DQG W\SH RFWHW LQGLFDWHV WKDW UDWH FKDQJHV DIWHU LQLWLDO
FKDQQHO DOORFDWLRQ DUH QRW DOORZHG

‡ 7KH &,& VHOHFWHG IRU WKH FDOO GRHV QRW KDYH $05 +5 FDSDELOLW\

$OWKRXJK WKH $05 +5 RU )5 FDSDELOLW\ LV UHVWULFWHG IRU D FDOO ZKHQ WKH DERYH FRQGLWLRQV DSSO\ WKH
FDSDELOLWLHV RI WKH FDOO $05 )5 RU $05 +5 VWLOO QHHG WR EH WUDFNHG LQ FDVH WKH UHVWULFWLRQV DSSOLHG ZLWKLQ
WKH FXUUHQW HQYLURQPHQW FKDQJH 7KH UHVWULFWLRQV PD\ EH UHPRYHG GXULQJ WKH GXUDWLRQ RI WKH FDOO LI DQ\ RI WKH
FRQGLWLRQV ZLWKLQ WKH %66 FKDQJH 7KLV FRXOG RFFXU GXH WR WKH 06 KDQGLQJ LQWR D FHOO ZKLFK GRHV VXSSRUW
+5 $05 WKH RSHUDWRU HQDEOLQJ $05 +5 ZLWK WKH FHOO%66 RU WKH &,& VXSSRUWLQJ WKH FDOO LV DOWHUHG

 3:4
 6HS 
7HFKQLFDO 'HVFULSWLRQ %66 ,PSOHPHQWDWLRQ $05 &KDQQHO DOORFDWLRQ

7KH UHFRPPHQGHG FRQILJXUDWLRQ LV IRU WKH 06& WR OHDYH WKH FKRLFH RI FKDQQHO W\SH XS WR WKH %6& LI WKH
FKDQQHO UDWH DQG W\SH RFWHW VSHFLILHV WKDW HLWKHU D )5 RU D +5 FKDQQHO FDQ EH DOORFDWHG WR WKH FDOO ,Q DGGLWLRQ
WKH RFWHW LQGLFDWHV WKDW HLWKHU WKHUH LV QR SUHIHUUHG FKDQQHO UDWH RU WKDW D )5 FKDQQHO LV SUHIHUUHG
7KH %66 DWWHPSWV WR DOORFDWH D )5 FKDQQHO WR WKH FDOO XQOHVV WKH FULWHULD WKDW DOORZ WKH
%66 WR LJQRUH WKH SUHIHUHQFH VSHFLILHG E\ WKH 06& DUH PHW 7KH FULWHULD JRYHUQLQJ WKH
RYHUULGLQJ RI WKH SUHIHUHQFH VSHFLILHG 06& DUH WZR IROG
‡ 7KH DPUBIRUFHBKUBXVDJH SHU %66 HOHPHQW LV HQDEOHG

‡ 7KH DPUBQHZBFDOOVBKU FRQJHVWLRQ OHYHO KDV EHHQ H[FHHGHG

,I HLWKHU RI WKH DERYH FULWHULD DUH PHW WKH %66 DWWHPSWV WR DOORFDWH D +5 FKDQQHO WR WKH FDOO ,I WKH FKDQQHO UDWH
DQG W\SH RFWHW VSHFLILHV WKDW HLWKHU D )5 RU D +5 FKDQQHO FDQ EH DOORFDWHG WR WKH FDOO DQG LQ DGGLWLRQ WKH RFWHW
LQGLFDWHV WKDW +5 LV WKH SUHIHUUHG FKDQQHO UDWH WKH %66 DWWHPSWV WR DOORFDWH D +5 FKDQQHO WR WKH FDOO
,Q WKH IROORZLQJ WKUHH UHTXLUHPHQWV WKH FDOO KDV ERWK $05 )5 DQG +5 LQFOXGHG LQ WKH FKDQQHO W\SH ,( DQG
DUH VWLOO XQUHVWULFWHG DIWHU WKH FRQGLWLRQV SUHYLRXVO\ LGHQWLILHG UHTXLUHPHQWV IRU FKHFNLQJ $05 )5 FDSDELOLW\
‡ )RU DQ LQLWLDO FDOO DVVLJQPHQW WKH 06& VSHFLILHG SUHIHUHQFH LQ WKH FKDQQHO W\SH ,( LV
REH\HG ZKHQ WKH DPUBIRUFHBKUBXVDJH HOHPHQW LV VHW WR GLVDEOHG

‡ )RU DQ LQLWLDO FDOO DVVLJQPHQW LI WKH DPUBIRUFHBKUBXVDJH HOHPHQW LV VHW WR


HQDEOHG WKH %66 HOHYDWHV WKH $05 +5 VSHHFK YHUVLRQ WR KDYH WKH KLJKHVW SULRULW\
RYHUULGLQJ WKH 06& SUHIHUHQFH LI VSHFLILHG 

‡ )RU DQ LQLWLDO FDOO DVVLJQPHQW LI WKH DPUBQHZBFDOOVBKU WKUHVKROG LV H[FHHGHG


WKH %66 HOHYDWHV WKH $05 +5 VSHHFK YHUVLRQ WR KDYH WKH KLJKHVW SULRULW\
RYHUULGLQJ WKH 06& SUHIHUHQFH LI VSHFLILHG 

,I WKH %66 IDLOV WR DOORFDWH D +5 UHVRXUFH ZKHQ LW LV SUHIHUUHG E\ WKH 06& RU RSHUDWRU SUHIHUHQFH WKH
%66 GRZQJUDGHV WKH FDOO GXH WR XQDYDLODEOH UHVRXUFHV WR D ORZHU SULRULW\ VSHHFK YHUVLRQ VSHFLILHG
E\ WKH 06& ,I WKH %66 KDV MXVW DWWHPSWHG WR DOORFDWH D +5 FKDQQHO WKH QH[W ORZHU SULRULW\ VSHHFK
YHUVLRQ VSHFLILHG E\ WKH 06& PXVW EH D )5 VSHHFK YHUVLRQ DV RQO\ +5 VSHHFK YHUVLRQ  LV VXSSRUWHG
LQ WKH %66  7KH )5 VSHHFK YHUVLRQ FRXOG EH $05 )5 ()5 RU )5
,I WKH 06& VSHFLILHV DOWHUQDWLYH VSHHFK YHUVLRQV WR $05 +5 DQG WKH %66 FDQQRW DOORFDWH DQ $05 +5
FKDQQHO WKH %66 DWWHPSWV WR GRZQJUDGH WKH $05 +5 FDOO GXH WR XQDYDLODEOH UHVRXUFHV

'RZQJUDGLQJ GXH WR XQDYDLODEOH UHVRXUFHV LV QRW WKH VDPH DV GRZQJUDGLQJ WKH FDOO
GXH WR &,& FDSDELOLWLHV $W WKH SRLQW ZKHQ WKH %66 LV DOORFDWLQJ D UHVRXUFH WR D FDOO
WKH &,& FDSDELOLWLHV ZLOO KDYH DOUHDG\ EHHQ YDOLGDWHG 7KH %66 LV GRZQJUDGLQJ WR D
VSHHFK YHUVLRQ NQRZQ WR EH VXSSRUWHG E\ WKH %66
7R GRZQJUDGH DQ $05 +5 FDOO WKH %66 FKRRVHV WKH QH[W VSHHFK YHUVLRQ LQ WKH SHUPLWWHG VSHHFK YHUVLRQ
OLVW IURP WKH 06& 7KH %66 FRQWLQXHV WR GRZQJUDGH WKH FDOO XQWLO D UHVRXUFH LV DOORFDWHG RU WKHUH DUH QR
VSHHFK YHUVLRQV OHIW XQDWWHPSWHG LQ WKH SHUPLWWHG VSHHFK YHUVLRQV OLVW IURP WKH 06&
7KH %66 DOORZV WKH FDOO WR EH GRZQJUDGHG WR $05 )5 LI
‡ $05 )5 LV WKH QH[W VSHHFK YHUVLRQ LQ WKH SHUPLWWHG VSHHFK YHUVLRQ OLVW IURP WKH 06&

‡ $05 )5 LV HQDEOHG DW WKH %66 DQG FHOO OHYHO

3:4 
 6HS 
$05 &KDQQHO DOORFDWLRQ &KDSWHU  &DOO SURFHVVLQJ

‡ 7KH VSHFLILHG &,& LV $05 )5 FDSDEOH

‡ $Q $05 )5 UHVRXUFH LV DYDLODEOH

7KH %66 DOORZV WKH FDOO WR EH GRZQJUDGHG WR ()5 LI


‡ ()5 LV WKH QH[W VSHHFK YHUVLRQ LQ WKH SHUPLWWHG VSHHFK YHUVLRQ OLVW IURP WKH 06&

‡ ()5 LV HQDEOHG LQ WKH %66

‡ 7KH VSHFLILHG &,& LV ()5 FDSDEOH

‡ $ ()5 UHVRXUFH LV DYDLODEOH

7KH %66 DOORZV WKH FDOO WR EH GRZQJUDGHG WR )5 LI


‡ )5 LV WKH QH[W VSHHFK YHUVLRQ LQ WKH SHUPLWWHG VSHHFK YHUVLRQ OLVW IURP WKH 06&

‡ 7KH VSHFLILHG &,& LV )5 FDSDEOH

‡ $ )5 UHVRXUFH LV DYDLODEOH

,I WKH %66 H[KDXVWV WKH SHUPLWWHG VSHHFK YHUVLRQV OLVW IURP WKH 06& KDYLQJ FKHFNHG WKH &,& FDSDELOLW\
SHU%66 HQDEOH DQG SHUFHOO HQDEOH IODJV WKH FDXVH VSHHFK YHUVLRQ XQDYDLODEOH LV VHQW WR WKH 06& ,I
WKH %66 IDLOV WR DOORFDWH DQ )5 UHVRXUFH D UHVRXUFH WKDW FDQ VXSSRUW WKH KLJKHVW SULRULW\ VSHHFK YHUVLRQ
VSHFLILHG E\ WKH 06& ZKHQ LW LV SUHIHUUHG E\ WKH 06& RU RSHUDWRU SUHIHUHQFH WKH %66 GRZQJUDGHV WKH
FDOO GXH WR XQDYDLODEOH UHVRXUFHV WR D ORZHU SULRULW\ VSHHFK YHUVLRQ VSHFLILHG E\ WKH 06&
,I WKH %66 KDV MXVW DWWHPSWHG WR DOORFDWH DQ )5 FKDQQHO WKH QH[W ORZHU SULRULW\ VSHHFK YHUVLRQ VSHFLILHG E\
WKH 06& FRXOG EH DQ )5 VSHHFK YHUVLRQ $05 )5 ()5 RU )5 $OWHUQDWLYHO\ WKH QH[W VSHHFK YHUVLRQ LQ
WKH VSHHFK YHUVLRQ OLVW FRXOG EH DQ +5 VSHHFK YHUVLRQ $05 +5 RQO\ +5 VSHHFK YHUVLRQ  LV VXSSRUWHG
LQ WKH %66  'RZQJUDGLQJ D )5 FDOO WR D +5 VSHHFK YHUVLRQ LV IXQFWLRQDOLW\ DGGHG E\ WKH LQWURGXFWLRQ
RI WKH $05 +5 FKDQQHO PRGH 7KH RSHUDWLRQ RI WKH %66 LQ WKLV FDVH LV GHILQHG EHORZ
,I WKH 06& VSHFLILHV DOWHUQDWLYH VSHHFK YHUVLRQV WR )5 DQG WKH %66 FDQQRW DOORFDWH D )5 FKDQQHO
WKH %66 DWWHPSWV WR GRZQJUDGH WKH )5 FDOO GXH WR XQDYDLODEOH UHVRXUFHV
7R GRZQJUDGH DQ )5 FDOO WKH %66 FKRRVHV WKH QH[W VSHHFK YHUVLRQ LQ WKH SHUPLWWHG OLVW IURP
WKH 06& 7KH %66 FRQWLQXHV WR GRZQJUDGH WKH FDOO XQWLO D UHVRXUFH LV DOORFDWHG RU WKHUH DUH
QR VSHHFK YHUVLRQV OHIW XQDWWHPSWHG LQ WKH SHUPLWWHG OLVW
7KH %66 DOORZV WKH FDOO WR EH GRZQJUDGHG WR $05 +5 LI
‡ 7KH )5 VSHHFK YHUVLRQV ZLWKLQ WKH SHUPLWWHG OLVW IURP WKH 06& KDYH EHHQ H[KDXVWHG

‡ $05 +5 LV DQ DYDLODEOH VSHHFK YHUVLRQ LQ WKH SHUPLWWHG OLVW IURP WKH 06& DQG WKH 06&
VSHFLILHV WKDW UDWH FKDQJHV DUH DOORZHG DIWHU LQLWLDO DVVLJQPHQW

‡ $05 +5 LV HQDEOHG DW WKH %66 DQG FHOO OHYHO

‡ 7KH VSHFLILHG &,& LV $05 +5 FDSDEOH

‡ $Q $05 +5 UHVRXUFH LV DYDLODEOH

:KHWKHU GRZQJUDGLQJ IURP DQ )5 VSHHFK YHUVLRQ RU DQ +5 VSHHFK YHUVLRQ LW LV SRVVLEOH WKDW WKHUH DUH QR
UHVRXUFHV DYDLODEOH WR SURYLGH D FKDQQHO IRU WKH FDOO VXSSRUWLQJ DQ\ RI WKH 06& GHILQHG VSHHFK YHUVLRQV ,Q
WKLV FDVH WKH UHTXHVW IURP WKH 06& PXVW EH UHMHFWHG ,I WKH %66 H[KDXVWV WKH SHUPLWWHG VSHHFK YHUVLRQV OLVW
IURP WKH 06& DQG D FKDQQHO KDV QRW EHHQ DOORFDWHG WR WKH FDOO WKH %66 VKDOO UHMHFW WKH UHTXHVW UHWXUQLQJ
DVVLJQPHQW IDLOXUH KDQGRYHU IDLOXUH PHVVDJH ZLWK WKH FDXVH QR UDGLR UHVRXUFH DYDLODEOH WR WKH 06&

 3:4
 6HS 
7HFKQLFDO 'HVFULSWLRQ %66 ,PSOHPHQWDWLRQ $05 &KDQQHO DOORFDWLRQ

,I D 7&+ LV DOUHDG\ DOORFDWHG WR WKH FDOO DV D VLJQDOOLQJ FKDQQHO GXULQJ LPPHGLDWH DVVLJQPHQW RU D
UHVXOW RI D SUHYLRXV DVVLJQPHQW UHTXHVWKDQGRYHU UHTXHVW EHLQJ UHFHLYHG IURP WKH 06& 7KHUH LV WKH
SRVVLELOLW\ WKDW WKH 7&+ FXUUHQWO\ DVVLJQHG GRHV QRW VXSSRUW WKH 06&RSHUDWRU SUHIHUUHG VSHHFK YHUVLRQ
,Q WKLV VFHQDULR WKH %66 ZLOO ILUVW WU\ WR FKRRVH D VSHHFK YHUVLRQ IURP WKH 06& VSHHFK YHUVLRQ
OLVW ZKLFK DOORZV WKH FDOO WR VWD\ RQ WKH FXUUHQW 7&+ 6HFRQGO\ LI WKH %66 FDQQRW VXSSRUW WKH FDOO
RQ WKH FXUUHQW 7&+ LW DWWHPSWV WR DOORFDWH DQRWKHU 7&+ IRU WKH FDOO ZLWK WKH FRUUHFW FDSDELOLWLHV 7KLV
UHVXOWV LQ WKH SRVVLELOLW\ RI WKH FDOO QRW EHLQJ DOORFDWHG WKH SUHIHUUHGKLJKHVW SULRULW\ VSHHFK YHUVLRQ
+RZHYHU LW ZLOO SUHYHQW WKH XQQHFHVVDU\ UHDOORFDWLRQ RI UHVRXUFHV ZLWKLQ WKH %66
,I DQ DVVLJQPHQW UHTXHVW LV UHFHLYHG IRU D FDOO DOUHDG\ DVVLJQHG D 7&+ DQG WKH FXUUHQW 7&+ FDQQRW VXSSRUW
DQ\ RI WKH UHTXHVWHG VSHHFK YHUVLRQV VSHFLILHG E\ WKH 06& WKH %66 VKDOO DWWHPSW WR DOORFDWH D QHZ UHVRXUFH
ZLWK WKH FRUUHFW FDSDELOLWLHV ,W VKRXOG EH QRWHG WKDW LI WKH FKDQQHO GRHV QHHG WR EH DOWHUHG WR VDWLVI\ WKH
UHTXHVW IURP WKH 06& WKLV VKDOO EH SHUIRUPHG E\ WKH UHDVVLJQPHQW RI WKH FDOO WR WKH QHZ FKDQQHO
,I DQ DVVLJQPHQW UHTXHVW LV UHFHLYHG IRU D FDOO DOUHDG\ DVVLJQHG D 7&+ DQG WKH FXUUHQW 7&+ FDQ VXSSRUW DQ\
RI WKH UHTXHVWHG VSHHFK YHUVLRQV VSHFLILHG E\ WKH 06& WKHQ KLJKHVW SULRULW\ VSHHFK YHUVLRQ VXSSRUWHG E\ WKH
FXUUHQW 7&+ VKDOO EH XVHG 1RWH WKDW LI WKH 7&+ LV DOUHDG\ VXSSRUWLQJ D VSHHFK FDOO WKLV FDQ UHVXOW LQ WKH
VSHHFK YHUVLRQ EHLQJ XVHG IRU WKH FDOO EHLQJ DOWHUHG WR D VSHHFK YHUVLRQ RWKHU WKDQ WKH RQH FXUUHQWO\ LQ XVH
7KH LQWURGXFWLRQ RI +5 FDSDELOLW\ ZLWKLQ WKH %66 LQWURGXFHV WKH SRVVLELOLW\ RI XWLOL]LQJ D +5 FKDQQHO IRU
VLJQDOOLQJ RQO\ 7KH XVH RI +5 FKDQQHOV IRU VLJQDOOLQJ LV JRYHUQHG E\ WKH DYDLODELOLW\ RI +5 FKDQQHOV
ZLWKLQ D FHOO 7KH %66 DOORZV WKH XVH RI +5 WUDIILF FKDQQHOV IRU VLJQDOOLQJ ZKHQ WKH VSHHFKGDWD LQGLFDWRU
ZLWKLQ WKH FKDQQHO W\SH ,( LQGLFDWHV VLJQDOOLQJ :KHQ WKH %66 LV DEOH WR DOORFDWH D +5 WUDIILF FKDQQHO
DV D VLJQDOOLQJ FRQQHFWLRQ LV GHSHQGDQW RQ WKH RSHUDWRU DQG 06& SUHIHUHQFHV

6'&&+ RU IXOOUDWH FKDQQHO RU KDOIUDWH FKDQQHO UHTXHVW


7KH %66 RQO\ KDV WKH FDSDELOLW\ WR DVVLJQ WKH FDOO WR D 6'&&+ RU )5 7&+ GXULQJ WKH LPPHGLDWH
DVVLJQPHQW SURFHGXUH ,PPHGLDWH DVVLJQPHQW WR DQ +5 7&+ LV QRW VXSSRUWHG ,I DQ DVVLJQPHQW UHTXHVW
LV UHFHLYHG DIWHU LPPHGLDWH DVVLJQPHQW ZLWK WKH RSWLRQ RI XVLQJ DQ 6'&&+ )5 RU +5 FKDQQHO WKH
%66 PXVW DOUHDG\ KDYH DQ 6'&&+ RU )5 FKDQQHO DVVLJQHG WR WKH FDOO DVVLJQHG GXULQJ LPPHGLDWH
DVVLJQPHQW  7KH %66 UHPDLQV RQ WKH FXUUHQW FKDQQHO W\SH 6'&&+ RU )5 FKDQQHO 
,I WKH FKDQQHO UDWH DQG W\SH RFWHW RI DQ DVVLJQPHQW UHTXHVW PHVVDJH VSHFLILHV WKDW DQ 6'&&+ RU )5
FKDQQHO RU +5 FKDQQHO LV UHTXLUHG IRU D VLJQDOOLQJ FRQQHFWLRQ WKH %66 XVHV WKH H[LVWLQJ UHVRXUFH
6'&&+ RU )5 FKDQQHO DOORFDWHG WR WKDW FDOO ,I DQ DVVLJQPHQW UHTXHVW LV UHFHLYHG DIWHU WUDIILF
FKDQQHO DVVLJQPHQW ZLWK WKH RSWLRQ RI XVLQJ D 6'&&+ )5 FKDQQHO RU +5 FKDQQHO WKH %66 PXVW
DOUHDG\ KDYH D )5 FKDQQHO RU +5 FKDQQHO DVVLJQHG WR WKH FDOO DVVLJQHG GXULQJ 7&+ DVVLJQPHQW 
7KH %66 UHPDLQV RQ WKH FXUUHQW FKDQQHO W\SH +5 RU )5 FKDQQHO 
,I DQ KDQGRYHU UHTXHVW LV UHFHLYHG ZLWK WKH RSWLRQ RI XVLQJ D 6'&&+ IXOO RU +5 FKDQQHO
WKH %66 DOORFDWHV D 6'&&+ ILUVW ,I WKHUH DUH QR 6'&&+ UHVRXUFHV DYDLODEOH D IXOO RU +5
UHVRXUFH LV DOORFDWHG EDVHG RQ RSHUDWRU SUHIHUHQFH
,I WKH FKDQQHO UDWH DQG W\SH RFWHW RI DQ KDQGRYHU UHTXHVW PHVVDJH VSHFLILHV WKDW DQ 6'&&+ RU IXOO RU +5
FKDQQHO LV UHTXLUHG IRU D VLJQDOOLQJ FRQQHFWLRQ WKH %66 DWWHPSWV WR DOORFDWH UHVRXUFH DV GHILQHG LQ 7DEOH 

3:4 
 6HS 
$05 &KDQQHO DOORFDWLRQ &KDSWHU  &DOO SURFHVVLQJ

7DEOH  %66 UHVRXUFH DOORFDWLRQ PDWUL[  6'&&+IXOOKDOIUDWH FKDQQHO VSHFLILHG

&KDQ
$ % & ' ( ) * +
QHO UDWH
)5+56' 1 <1 <1 <1 <1 < <1 6'&&+
&&+
)5+56' 1 <1 <1 <1 <1 1 < )5
&&+
)5+56' 1 <1 <1 <1 <1 1 1 121(
&&+
)5+56' < 1 <1 <1 <1 < <1 6'&&+
&&+
)5+56' < 1 <1 <1 <1 1 < )5
&&+
)5+56' < 1 <1 <1 <1 1 1 121(
&&+
)5+56' < < 1 1 <1 < <1 6'&&+
&&+
)5+56' < < 1 1 <1 1 < )5
&&+
)5+56' < < 1 1 1 1 1 121(
&&+
)5+56' < < 1 1 < 1 1 +5
&&+
)5+56' < < < <1 <1 < <1 6'&&+
&&+
)5+56' < < < <1 < 1 <1 +5
&&+
)5+56' < < < <1 1 1 < )5
&&+
)5+56' < < < <1 1 1 1 121(
&&+
)5+56' < < 1 < <1 < <1 6'&&+
&&+
)5+56' < < 1 < < 1 <1 +5
&&+
)5+56' < < 1 < 1 1 < )5
&&+
)5+56' < < 1 < 1 1 1 121(
&&+

7KH FROXPQV GHVLJQDWHG $+ LQ 7DEOH  DUH DV IROORZV


‡ $  +5 HQDEOHG DW %66

‡ %  +5 HQDEOHG DW FHOO

 3:4
 6HS 
7HFKQLFDO 'HVFULSWLRQ %66 ,PSOHPHQWDWLRQ $05 &KDQQHO DOORFDWLRQ

‡ &  DPUB IRUFHB KUB XVDJH LV HQDEOHG

‡ '  DPUB QHZ FDOOVB KU H[FHHGHG

‡ (  +5 FKDQQHO IUHH

‡ )  6'&&+ FKDQQHO IUHH

‡ *  )5 FKDQQHO IUHH

‡ +  5HVRXUFH DOORFDWHG

6'&&+ UHTXHVW
,I WKH FKDQQHO UDWH DQG W\SH RFWHW LV VHW WR LQGLFDWH WKDW RQO\ 6'&&+ LV UHTXLUHG WKH RQO\ LPSDFW DGGHG
GXH WR WKH LQWURGXFWLRQ RI WKH +5 FKDQQHO PRGH LV WKDW WKH %66 VXSSRUWV DVVLJQPHQW IURP DQ +5
7&+ WR DQ 6'&&+ ,I WKH FKDQQHO UDWH DQG W\SH RFWHW RI DQ DVVLJQPHQW UHTXHVW PHVVDJH VSHFLILHV
WKDW DQ 6'&&+ LV UHTXLUHG DQG WKH FDOO LV DOUHDG\ HVWDEOLVKHG RQ D +5 FKDQQHO WKH %66 DOORFDWHV
DQ 6'&&+ WR WKH FDOO LI DYDLODEOH  7KLV UHTXLUHV D FKDQJH RI UDGLR FKDQQHO

6'&&+ RU IXOOUDWH FKDQQHO UHTXHVW


,I WKH FKDQQHO UDWH DQG W\SH RFWHW LV VHW WR LQGLFDWH WKDW RQO\ 6'&&+ RU )5 FKDQQHO LV UHTXLUHG
WKH RQO\ LPSDFW DGGHG GXH WR WKH LQWURGXFWLRQ RI WKH +5 FKDQQHO PRGH LV WKDW WKH %66 VXSSRUWV
DVVLJQPHQW IURP DQ +5 7&+ WR DQ 6'&&+ RU )5 7&+
,I WKH FKDQQHO UDWH DQG W\SH RFWHW RI DQ DVVLJQPHQW UHTXHVW PHVVDJH VSHFLILHV WKDW DQ 6'&&+ RU )5
FKDQQHO LV UHTXLUHG DQG WKH FDOO LV DOUHDG\ HVWDEOLVKHG RQ D +5 FKDQQHO WKH %66 DOORFDWHV DQ 6'&&+
WR WKH FDOO LI DYDLODEOH  ,I WKHUH DUH QR 6'&&+ FKDQQHOV DYDLODEOH WKH %66 DWWHPSWV WR DOORFDWH DQ )5
FKDQQHO LI DYDLODEOH  (LWKHU RI WKH SUHYLRXV RSWLRQV UHTXLUH D FKDQJH RI UDGLR FKDQQHO

6'&&+ RU KDOIUDWH FKDQQHO UHTXHVW


,I WKH FKDQQHO UDWH DQG W\SH RFWHW LV VHW WR LQGLFDWH WKDW RQO\ 6'&&+ RU +5 FKDQQHO LV UHTXLUHG WKH
RQO\ LPSDFW DGGHG GXH WR WKH LQWURGXFWLRQ RI WKH +5 FKDQQHO PRGH LV WKDW WKH %66 VXSSRUWV DVVLJQPHQW
IURP DQ +5 7&+ WR DQ 6'&&+ DQG DVVLJQPHQW IURP D )5 7&+ WR DQ +5 7&+
,I WKH FKDQQHO UDWH DQG W\SH RFWHW RI DQ DVVLJQPHQW UHTXHVW PHVVDJH VSHFLILHV WKDW DQ 6'&&+ RU +5 FKDQQHO
LV UHTXLUHG DQG WKH FDOO LV DOUHDG\ HVWDEOLVKHG RQ D +5 FKDQQHO RU 6'&&+ WKH %66 VWD\V RQ WKH H[LVWLQJ
FKDQQHO +RZHYHU LI WKH FKDQQHO UDWH DQG W\SH RFWHW RI DQ DVVLJQPHQW UHTXHVW PHVVDJH VSHFLILHV WKDW DQ
6'&&+ RU +5 FKDQQHO LV UHTXLUHG DQG WKH FDOO LV DOUHDG\ HVWDEOLVKHG RQ D )5 FKDQQHO WKH %66 DWWHPSWV
WR DOORFDWH DQ 6'&&+ WR WKH FDOO LI DYDLODEOH  7KLV UHTXLUHV D FKDQJH RI UDGLR FKDQQHO
,I WKHUH DUH QR 6'&&+ FKDQQHOV DYDLODEOH WKH %66 DOORFDWHV D +5 FKDQQHO LI DYDLODEOH DQG SHUPLWWHG 
7KLV UHTXLUHV D FKDQJH RI UDGLR FKDQQHO 7KH VHOHFWLRQ RI D +5 FKDQQHO LV GHSHQGDQW RQ SHUPLVVLRQ
E\ WKH DPUBIRUFHBKUBXVDJH HOHPHQW RU DPUBQHZBFDOOVBKU EHLQJ H[FHHGHG

)XOOUDWH FKDQQHO UHTXHVW


,I WKH FKDQQHO UDWH DQG W\SH RFWHW LV VHW WR LQGLFDWH WKDW RQO\ D )5 FKDQQHO LV UHTXLUHG WKH RQO\ LPSDFW DGGHG GXH
WR WKH LQWURGXFWLRQ RI WKH +5 FKDQQHO PRGH LV WKDW WKH %66 VXSSRUWV DVVLJQPHQW IURP D +5 7&+ WR D )5 7&+
,I WKH FKDQQHO UDWH DQG W\SH RFWHW RI DQ DVVLJQPHQW UHTXHVW PHVVDJH VSHFLILHV WKDW D )5 FKDQQHO
LV UHTXLUHG DQG WKH FDOO LV DOUHDG\ HVWDEOLVKHG RQ D +5 FKDQQHO WKH %66 DOORFDWHV D )5 FKDQQHO
WR WKH FDOO LI DYDLODEOH  7KLV UHTXLUHV D FKDQJH RI UDGLR FKDQQHO

3:4 
 6HS 
$05 &KDQQHO DOORFDWLRQ &KDSWHU  &DOO SURFHVVLQJ

+DOIUDWH FKDQQHO UHTXHVW


,I WKH FKDQQHO UDWH DQG W\SH RFWHW LV VHW WR LQGLFDWH WKDW RQO\ D +5 FKDQQHO LV UHTXLUHG WKH RQO\
LPSDFW DGGHG GXH WR WKH LQWURGXFWLRQ RI WKH +5 FKDQQHO PRGH LV WKDW WKH %66 VXSSRUWV DVVLJQPHQW
IURP D 6'&&+ RU )5 FKDQQHO WR D +5 FKDQQHO ,I WKH FKDQQHO UDWH DQG W\SH RFWHW RI DQ DVVLJQPHQW
UHTXHVW PHVVDJH VSHFLILHV WKDW DQ 6'&&+ RU +5 FKDQQHO LV UHTXLUHG DQG WKH FDOO LV DOUHDG\
HVWDEOLVKHG RQ D +5 FKDQQHO WKH %66 VWD\V RQ WKH H[LVWLQJ FKDQQHO
,I WKH FKDQQHO UDWH DQG W\SH RFWHW RI DQ DVVLJQPHQW UHTXHVW PHVVDJH VSHFLILHV WKDW DQ +5 FKDQQHO LV UHTXLUHG
DQG WKH FDOO LV DOUHDG\ HVWDEOLVKHG RQ D 6'&&+ RU )5 7&+ WKH %66 DWWHPSWV WR DOORFDWH D +5 FKDQQHO WR WKH
FDOO LI DYDLODEOH DQG SHUPLWWHG  7KLV UHTXLUHV D FKDQJH RI UDGLR FKDQQHO 7KH VHOHFWLRQ RI D +5 FKDQQHO LV
GHSHQGDQW RQ SHUPLVVLRQ E\ WKH DPUBIRUFHBKUBXVDJH HOHPHQW RU DPUBQHZBFDOOVBKU EHLQJ H[FHHGHG

)XOOUDWH RU KDOIUDWH FKDQQHO UHTXLUHG


,I WKH FKDQQHO UDWH DQG W\SH RFWHW LV VHW WR LQGLFDWH RQO\ D )5 FKDQQHO RU +5 FKDQQHO LV UHTXLUHG
WKH RQO\ LPSDFW DGGHG GXH WR WKH LQWURGXFWLRQ RI WKH +5 FKDQQHO PRGH LV WKDW WKH %66 VXSSRUWV
DVVLJQPHQW IURP D 6'&&+ WR D +5 FKDQQHO ,I WKH FKDQQHO UDWH DQG W\SH RFWHW RI DQ DVVLJQPHQW
UHTXHVW PHVVDJH VSHFLILHV WKDW D )5 FKDQQHO RU +5 FKDQQHO LV UHTXLUHG DQG WKH FDOO LV DOUHDG\
HVWDEOLVKHG RQ D IXOO RU +5 FKDQQHO WKH %66 VWD\V RQ WKH H[LVWLQJ FKDQQHO
,I WKH FKDQQHO UDWH DQG W\SH RFWHW RI DQ DVVLJQPHQW UHTXHVW RU KDQGRYHU UHTXHVW PHVVDJH
VSHFLILHV WKDW D )5 FKDQQHO RU +5 FKDQQHO LV UHTXLUHG IRU D VLJQDOOLQJ FRQQHFWLRQ WKH %66
VKDOO DWWHPSW WR DOORFDWH UHVRXUFH DV GHILQHG LQ 7DEOH 

7DEOH  %66 UHVRXUFH DOORFDWLRQ PDWUL[  IXOOKDOI UDWH FKDQQHO VSHFLILHG

&KDQ
$ % & ' ( ) * +
QHO UDWH
)5+56' 1 <1 <1 <1 <1 <1 < )5
&&+
)5+56' 1 <1 <1 <1 <1 <1 1 121(
&&+
)5+56' < < 1 <1 <1 <1 < )5
&&+
)5+56' < < 1 <1 <1 <1 1 121(
&&+
)5+56' < < < 1 1 <1 < )5
&&+
)5+56' < < < 1 1 <1 1 121(
&&+
)5+56' < < < < <1 < < +5
&&+
)5+56' < < < < <1 1 < )5
&&+
)5+56' < < < < <1 1 1 121(
&&+
)5+56' < < < 1 < < < +5
&&+

 3:4
 6HS 
7HFKQLFDO 'HVFULSWLRQ %66 ,PSOHPHQWDWLRQ $05 &KDQQHO DOORFDWLRQ

7DEOH  %66 UHVRXUFH DOORFDWLRQ PDWUL[  IXOOKDOI UDWH FKDQQHO VSHFLILHG &RQWLQXHG
&KDQ
$ % & ' ( ) * +
QHO UDWH
)5+56' < < < 1 < 1 < )5
&&+
)5+56' < < < 1 < 1 1 121(
&&+
)5+56' 1 <1 <1 <1 <1 <1 < )5
&&+
)5+56' 1 <1 <1 <1 <1 <1 1 121(
&&+
)5+56' < 1 <1 <1 <1 <1 < )5
&&+
)5+56' < 1 <1 <1 <1 <1 1 121(
&&+
)5+56' < < 1 <1 <1 <1 < )5
&&+
)5+56' < < 1 <1 <1 <1 1 121(
&&+
)5+56' < < < <1 <1 < < +5
&&+
)5+56' < < < <1 <1 < 1 +5
&&+
)5+56' < < < <1 <1 1 < )5
&&+
)5+56' < < < <1 <1 1 1 121(
&&+

7KH FROXPQV GHVLJQDWHG $+ LQ 7DEOH  DUH DV IROORZV


‡ $  +5 HQDEOHG DW %66

‡ %  +5 HQDEOHG DW FHOO

‡ &  &KDQJHV DOORZHG DIWHU LQLWLDO DOORFDWLRQ

‡ &  DPUB IRUFHB KUB XVDJH LV HQDEOHG

‡ '  DPUB QHZ FDOOVB KU H[FHHGHG

‡ (  +5 FKDQQHO IUHH

‡ )  )5 FKDQQHO IUHH

‡ *  5HVRXUFH DOORFDWHG

7KLV UHTXLUHV D FKDQJH RI UDGLR FKDQQHO 7KH VHOHFWLRQ RI D +5 FKDQQHO LV GHSHQGDQW RQ SHUPLVVLRQ
E\ WKH DPUBIRUFHBKUBXVDJH HOHPHQW RU DPUBQHZBFDOOVBKU EHLQJ H[FHHGHG

3:4 
 6HS 
$05 &KDQQHO DOORFDWLRQ &KDSWHU  &DOO SURFHVVLQJ

'DWD
7KH XVH RI +5 FKDQQHOV IRU GDWD LV QRW DOORZHG ZLWKLQ WKH %66 7KH %66 GRHV QRW DOORZ WKH +5 WUDIILF
FKDQQHO WR EH XVHG IRU GDWD ZKHQ WKH VSHHFKGDWD LQGLFDWRU ZLWKLQ WKH FKDQQHO W\SH ,( LQGLFDWHV GDWD

+DOIUDWH FKDQQHO UHTXHVW


$V GDWD LV QRW VXSSRUWHG RQ DQ +5 FKDQQHO ZLWKLQ WKH %66 DQ\ UHTXHVWV VSHFLI\LQJ DQ +5 FKDQQHO DUH
UHMHFWHG ,I WKH %66 UHFHLYHV DQ DVVLJQPHQW RU KDQGRYHU UHTXHVW PHVVDJH WKDW VSHFLILHV WKDW DQ +5 FKDQQHO
LV UHTXLUHG IRU D GDWD FRQQHFWLRQ WKH %66 UHMHFWV WKH UHTXHVW  7R UHMHFW WKH UHTXHVW WKH %66 VHQGV
DQ DVVLJQPHQW RU KDQGRYHU IDLOXUH PHVVDJH ZLWK FDXVH YDOXH SDUW RI WKH FDXVH LQIRUPDWLRQ HOHPHQW
ZLWKLQ WKH PHVVDJH UHTXHVWHG WUDQVFRGLQJUDWH DGDSWLRQ XQDYDLODEOH WR WKH 06&

)XOOUDWH RU KDOIUDWH FKDQQHO UHTXHVW


$V GDWD LV QRW VXSSRUWHG RQ DQ +5 FKDQQHO ZLWKLQ WKH %66 DQ\ UHTXHVWV VSHFLI\LQJ DQ )5 FKDQQHO RU +5
FKDQQHO GHIDXOW WR )5 ,I WKH %66 UHFHLYHV DQ DVVLJQPHQW RU KDQGRYHU UHTXHVW PHVVDJH WKDW VSHFLILHV DQ )5 RU
+5 FKDQQHO LV UHTXLUHG IRU GDWD FRQQHFWLRQ WKH %66 IRUFHV WKH )5 FKDQQHO PRGH WR EH XVHG

+DOIUDWH WUDIILF FKDQQHO DOORFDWLRQ


:KHQ VHOHFWLQJ DQ LGOH +5 WUDIILF FKDQQHO RU IUHH JHQHULF WUDIILF WLPHVORW WR DVVLJQ DQ $05 +5 FDOO RQ WKH
VHOHFWLRQ FULWHULD XVHG E\ WKH %66 LV WKH VDPH DV WKH H[LVWLQJ FULWHULD XVHG IRU VHOHFWLQJ DQ LGOH )5 WUDIILF FKDQQHO
:LWK WKH H[FHSWLRQ VSHFLILHG EHORZ WKH %66 XVHV WKH H[LVWLQJ LGOH )5 WUDIILF FKDQQHO VHOHFWLRQ FULWHULD IRU
VHOHFWLQJ WKH +5 WUDIILF FKDQQHO RU IUHH JHQHULF WUDIILF WLPHVORW IRU DQ $05 +5 FDOO DVVLJQPHQW 7KH H[LVWLQJ
FULWHULD UHIHUHQFHG DERYH LV WKH LQWHUIHUHQFH EDQG 06 3*60(*60 FDSDELOLW\ DQG 7&+ DOORFDWLRQ SULRULW\
FRQVLGHUDWLRQV WKDW WKH %66 XVHV WR VHOHFW LGOH )5 WUDIILF WLPHVORWV IRU )5 FDOO DVVLJQPHQW
7KH %66 DOZD\V DVVLJQV DQ $05 +5 FDOO WR WKH LGOH +5 WUDIILF FKDQQHO RI D VLQJOH RFFXSDQF\
+5 WUDIILF WLPHVORW LQ SUHIHUHQFH WR DVVLJQLQJ WKH FDOO WR D IUHH JHQHULF WUDIILF WLPHVORW RI WKH
VDPH LQWHUIHUHQFH EDQG FODVV DV VKRZQ LQ 7DEOH 

7DEOH  5HVRXUFH VHOHFWLRQ SUHIHUHQFHV

3ULRULW\ 3UHIHUUHG FKDQQHO UHVRXUFHV


 ,GOH +5 WUDIILF FKDQQHO LQ WKH LQWHUIHUHQFH EDQG
 ,GOH JHQHULF WUDIILF WLPHVORW LQ WKH LQWHUIHUHQFH EDQG

:KHQ $05 +5 LV GLVDEOHG ZLWKLQ WKH %66 DW WKH FHOO RU %66 OHYHO WKH LGOH JHQHULF WUDIILF
WLPHVORWV WKDW H[LVW RQ WKH +5 FDSDEOH FDUULHU ZLOO QR ORQJHU EH +5 FDSDEOH ,Q WKLV FDVH WKH
LGOH JHQHULF WUDIILF WLPHVORWV LV FRQVLGHUHG DV LGOH )5 WUDIILF WLPHVORWV
7KH %66 FRQVLGHUV D JHQHULF WUDIILF WLPHVORW DV DQ LGOH )5 WUDIILF WLPHVORW LI WKH $05 +5 IXQFWLRQDOLW\ LV
GLVDEOHG DW WKH %66 RU FHOO OHYHO 1R SUHIHUHQFH ZLOO EH JLYHQ WR UHVRXUFHV GHSHQGDQW RQ WKHLU +5 FDSDELOLW\

)XOOUDWH WUDIILF FKDQQHO DVVLJQPHQW LQ $05 KDOIUDWH FHOOV


,Q RUGHU WR FRQVHUYH $05 )5 DQG $05 +5 UHVRXUFHV ZKHUH SRVVLEOH WKH VHOHFWLRQ FULWHULD XVHG E\ WKH
%66 WR GHWHUPLQH ZKLFK WUDIILF FKDQQHO WR DVVLJQ D )5 FDOO LV PRGLILHG &XUUHQWO\ ZKHQ VHOHFWLQJ D WUDIILF
FKDQQHO IRU *60 )5 ()5 RU *60 GDWD FDOO DVVLJQPHQW WKH %66 DOZD\V VHOHFWV D WUDIILF FKDQQHO LQ D ORZHU
LQWHUIHUHQFH EDQG LQ SUHIHUHQFH WR D KLJKHU LQWHUIHUHQFH EDQG :LWKLQ DQ LQWHUIHUHQFH EDQG FODVV WKH %66 WDNHV
RWKHU FULWHULD LQWR FRQVLGHUDWLRQ VXFK DV 06 3*60(*60 FDSDELOLW\ DQG 7&+ DOORFDWLRQ SULRULW\ :LWK WKH
LQWURGXFWLRQ RI WKH $05 +5 FKDQQHO PRGH ZLWKLQ DQ LQWHUIHUHQFH EDQG FODVV WKH %66 WDNHV LQWR DFFRXQW WKH
FKDQQHO FDUULHU EHIRUH WDNLQJ LQWR DFFRXQW 06 3*60(*60 FDSDELOLW\ DQG 7&+ DOORFDWLRQ SULRULW\

 3:4
 6HS 
7HFKQLFDO 'HVFULSWLRQ %66 ,PSOHPHQWDWLRQ $05 &KDQQHO DOORFDWLRQ

:KHQ VHOHFWLQJ D WUDIILF FKDQQHO IRU D *60 GDWD FDOO DV GHVFULEHG WKH %66 SULRULWL]HV FKDQQHOV EDVHG
RQ WKH FDUULHU RQ ZKLFK WKRVH FKDQQHOV H[LVW :KHQ VHOHFWLQJ D WUDIILF FKDQQHO IRU *60 GDWD FDOO
DVVLJQPHQW SULRULW\ LV JLYHQ WR VHOHFWLQJ DQ LGOH QRQ$05 +5 FDSDEOH FKDQQHO
:KHQ VHOHFWLQJ D WUDIILF FKDQQHO IRU *60 GDWD FDOO DVVLJQPHQW D FKDQQHO RQ D JHQHULF WLPHVORW
LV VHOHFWHG LI WKHUH DUH QR )5 RQO\ FKDQQHOV DYDLODEOH
,I WKHUH DUH QR RWKHU FKDQQHOV DYDLODEOH QRQ$05 FDOOV VKDOO EH SODFHG RQ $05 +5 FDSDEOH
FKDQQHOV JHQHULF WLPHVORWV  :KHQ VHOHFWLQJ D WUDIILF FKDQQHO IRU DQ $05 )5 FDOO DVVLJQPHQW WKH
SULRULWL]DWLRQ RI FKDQQHOV EDVHG XSRQ KRVW FDUULHU LV FKDQJHG :LWKLQ DQ LQWHUIHUHQFH EDQG FODVV
WKH %66 WDUJHWV $05 )5 FDUULHUV LQ SUHIHUHQFH WR QRQ$05 FDUULHUV
:KHQ VHOHFWLQJ D WUDIILF FKDQQHO IRU DQ $05 )5 FDOO DIWHU FRQVLGHULQJ LQWHUIHUHQFH EDQG FODVV DQG
SULRU WR WDNLQJ LQWR DFFRXQW 06 3*60(*60 FDSDELOLW\ DQG 7&+ DOORFDWLRQ SULRULW\ WKH %66
SULRULWL]HV FKDQQHOV EDVHG XSRQ WKH FDUULHU RQ ZKLFK WKRVH FKDQQHOV H[LVW
:KHQ VHOHFWLQJ D WUDIILF FKDQQHO IRU DQ $05 )5 FDOO SUHIHUHQFH LV JLYHQ WR VHOHFWLQJ DQ LGOH )5
WUDIILF WLPHVORW RQ D )5 $05 FDUULHU $ JHQHULF WLPHVORW LV FKRVHQ LI WKHUH DUH QR $05 )5RQO\
FDUULHUV ,I WKHUH DUH QR RWKHU $05 )5 FKDQQHOV DYDLODEOH LH $05 )5 LV GLVDEOHG  DQ $05 )5
FDOO LV GRZQJUDGHG WR DQ DOWHUQDWLYH VSHHFK YHUVLRQ LI VSHFLILHG E\ WKH 06& 

3:4 
 6HS 
(*356 V\VWHP LQIRUPDWLRQ PHVVDJHV &KDSWHU  &DOO SURFHVVLQJ

(*356 V\VWHP LQIRUPDWLRQ PHVVDJHV


Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ

6\VWHP LQIRUPDWLRQ PHVVDJHV

^`
7KHVH V\VWHP LQIRUPDWLRQ PHVVDJHV DUH DV GHILQHG LQ *60 
‡ (*356 2QHSKDVH $FFHVV &DSDELOLW\ LQ D FHOO LV LQGLFDWHG E\ EURDGFDVWLQJ
VXSSRUW RI (*356 3DFNHW &KDQQHO 5HTXHVW

‡ 7KH %66 LQGLFDWHV VXSSRUW RI (*356 LQ WKH FHOO VHWWLQJ WKH FKRLFH ELW WR ¶¶ LQ WKH
H[WHQVLRQ LQIRUPDWLRQ RI WKH *356 &HOO 2SWLRQ ,( LQ WKH 3DFNHW 6\VWHP ,QIRUPDWLRQ
 PHVVDJH RQ WKH 3%&&+ DQG 3$&&+ DQG 3DFNHW 6\VWHP ,QIRUPDWLRQ  RQ WKH
3$&&+ ZKHQ DW OHDVW RQH (*356 WLPHVORW LV LQVHUYLFH

‡ 7KH %66 EURDGFDVWV VXSSRUW RQ WKH %&&+ DQG 3%&&+ RI WKH (*356 3DFNHW &KDQQHO 5HTXHVW
PHVVDJH RQO\ ZKHQ WKH %&&+ 57) LQ WKH (*356 FHOO LV FRQILJXUHG RQ D &78

‡ 7KH %66 LQGLFDWHV VXSSRUW RI WKH (*356 3DFNHW &KDQQHO 5HTXHVW LQ WKH *356 &HOO
2SWLRQ ,( RI WKH 6\VWHP ,QIRUPDWLRQ  PHVVDJH RQ WKH %&&+ ZKHQ DW OHDVW RQH (*356
WLPHVORW LV LQVHUYLFH DQG WKH %&&+ 57) LV DVVLJQHG WR D &78

‡ 7KH %66 LQGLFDWHV VXSSRUW RI WKH (*356 3DFNHW &KDQQHO 5HTXHVW LQ WKH *356 &HOO
2SWLRQ ,( RI WKH 3DFNHW 6\VWHP ,QIRUPDWLRQ  PHVVDJH RQ WKH 3%&&+ DQG 3$&&+
DQG 3DFNHW 6\VWHP ,QIRUPDWLRQ  RQ WKH 3$&&+ ZKHQ DW OHDVW RQH (*356 WLPHVORW
LV LQVHUYLFH DQG WKH %&&+ 57) LV DVVLJQHG WR D &78

‡ 'XH WR OHJDF\ UDGLR SURFHVVRU OLPLWDWLRQV LW LV QRW SRVVLEOH WR GHFRGH (*356 FKDQQHO
UHTXHVWV RQ OHJDF\ SODWIRUPV &RQVHTXHQWO\ LW LV UHFRPPHQGHG WR XVH &78 FDUULHUV IRU
WKH %&&+ 57) IRU (*356 RQHSKDVH DFFHVV VXSSRUW ,I WKH %&&+ 57) LV QRW PDSSHG
WR D &78 WKHQ RQH SKDVH DFFHVV IRU (*356 PRELOH VWDWLRQV LV QRW SRVVLEOH DQG WZR
SKDVH DFFHVV LV XVHG LQVWHDG ZKLFK UHVXOWV LQ SHUIRUPDQFH GHJUDGDWLRQ

‡ 7KH %66 EURDGFDVWV WKH %(3B3(5,2' SDUDPHWHU LQ WKH *356 &HOO 2SWLRQ ,( RI WKH 6\VWHP
,QIRUPDWLRQ  PHVVDJH RQ WKH %&&+ ZKHQ DW OHDVW RQH (*356 WLPHVORW LV LQVHUYLFH

‡ 7KH %66 EURDGFDVWV WKH %(3B3(5,2' SDUDPHWHU LQ WKH *356 &HOO 2SWLRQ ,( RI
WKH 3DFNHW 6\VWHP ,QIRUPDWLRQ  DQG  PHVVDJHV RQ WKH 3%&&+ DQG 3$&&+
ZKHQ DW OHDVW RQH (*356 WLPHVORW LV LQVHUYLFH

‡ 7KH %66 EURDGFDVWV QR VXSSRUW RI %66B3$*,1*B&225',1$7,21 IRU FLUFXLWVZLWFKHG


SDJHV VHW YDOXH WR ¶¶ LQ *356 &HOO 2SWLRQV ILHOG RI 6\VWHP ,QIRUPDWLRQ 
RQ WKH %&&+ DQG 3DFNHW 6\VWHP ,QIRUPDWLRQ  RQ WKH 3%&&+ DQG 3$&&+ DQG
3DFNHW 6\VWHP ,QIRUPDWLRQ  RQ WKH 3$&&+

‡ 7KH %66 VHWV WKH 3)&B)($785(B02'( ELW WR ¶¶ LQ *356 &HOO 2SWLRQV ILHOG RI
6\VWHP ,QIRUPDWLRQ  RQ WKH %&&+ DQG 3DFNHW 6\VWHP ,QIRUPDWLRQ  RQ WKH 3%&&+
DQG 3$&&+ DQG 3DFNHW 6\VWHP ,QIRUPDWLRQ  RQ WKH 3$&&+

 3:4
 6HS 
7HFKQLFDO 'HVFULSWLRQ %66 ,PSOHPHQWDWLRQ (*356 V\VWHP LQIRUPDWLRQ PHVVDJHV

‡ 7KH %66 VHWV WKH '70B6833257 ELW WR ¶¶ LQ *356 &HOO 2SWLRQV ILHOG RI 6\VWHP
,QIRUPDWLRQ  RQ WKH %&&+ DQG 3DFNHW 6\VWHP ,QIRUPDWLRQ  RQ WKH 3%&&+ DQG
3$&&+ DQG 3DFNHW 6\VWHP ,QIRUPDWLRQ  RQ WKH 3$&&+

3:4 
 6HS 
(*356 V\VWHP LQIRUPDWLRQ PHVVDJHV &KDSWHU  &DOO SURFHVVLQJ

7KLV SDJH LQWHQWLRQDOO\ OHIW EODQN

 3:4
 6HS 

You might also like