Professional Documents
Culture Documents
BS EN 1755 2000 Safety of Industrial Trucks - Operation in Potentially Explosive Atmospheres - Use in Flammable Gas, Vapour, Mist and Dust
BS EN 1755 2000 Safety of Industrial Trucks - Operation in Potentially Explosive Atmospheres - Use in Flammable Gas, Vapour, Mist and Dust
| BS EN
|
|
|
1755:2000
|
|
|
|
|
|
|
|
|
|
|
|
|
Safety of industrial |
|
|
|
|
|
trucks Ð Operation in |
|
|
|
|
|
potentially explosive |
|
|
|
|
|
atmospheres Ð Use in |
|
|
|
|
|
flammable gas, vapour, |
|
|
|
|
|
mist and dust |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
The European Standard EN 1755:2000 has the status of a |
British Standard |
|
|
|
|
|
|
|
|
ICS 53.060 |
|
|
|
|
|
|
|
|
NO COPYING WITHOUT BSI PERMISSION EXCEPT AS PERMITTED BY COPYRIGHT LAW
|
|
|
|
BS EN 1755:2000
National foreword
This British Standard is the official English language version of EN 1755:2000.
The UK participation in its preparation was entrusted to Technical Committee
MHE/7, Industrial trucks - Safety, which has the responsibility to:
Summary of pages
This document comprises a front cover, an inside front cover, the EN title page,
pages 2 to 44, an inside back cover and a back cover.
The BSI copyright notice displayed in this document indicates when the document
was last issued.
BSI 05-2000
,&6
(QJOLVKYHUVLRQ
6DIHW\RILQGXVWULDOWUXFNV±2SHUDWLRQLQSRWHQWLDOO\H[SORVLYH
DWPRVSKHUHV±8VHLQIODPPDEOHJDVYDSRXUPLVWDQGGXVW
6pFXULWpGHVFKDULRWVGHPDQXWHQWLRQ±)RQFWLRQQHPHQWHQ 6LFKHUHLWYRQ)OXUI|UGHU]HXJHQ±(LQVDW]LQ
DWPRVSKqUHVH[SORVLEOHV±8WLOLVDWLRQGDQVGHV H[SORVLRQVJHIlKUGHWHQ%HUHLFKHQ±9HUZHQGXQJLQ
DWPRVSKqUHVLQIODPPDEOHVGXHViODSUpVHQFHGHJD]GH %HUHLFKHQPLWEUHQQEDUHQ*DVHQ'lPSIHQ1HEHOQRGHU
YDSHXUVEURXLOODUGVRXSRXVVLqUHLQIODPPDEOHV 6WlXEHQ
7KLV(XURSHDQ6WDQGDUGZDVDSSURYHGE\&(1RQ$XJXVW
&(1PHPEHUVDUHERXQGWRFRPSO\ZLWKWKH&(1&(1(/(&,QWHUQDO5HJXODWLRQVZKLFKVWLSXODWHWKHFRQGLWLRQVIRUJLYLQJWKLV(XURSHDQ
6WDQGDUGWKHVWDWXVRIDQDWLRQDOVWDQGDUGZLWKRXWDQ\DOWHUDWLRQ8SWRGDWHOLVWVDQGELEOLRJUDSKLFDOUHIHUHQFHVFRQFHUQLQJVXFKQDWLRQDO
VWDQGDUGVPD\EHREWDLQHGRQDSSOLFDWLRQWRWKH&HQWUDO6HFUHWDULDWRUWRDQ\&(1PHPEHU
&(1PHPEHUVDUHWKHQDWLRQDOVWDQGDUGVERGLHVRI$XVWULD%HOJLXP&]HFK5HSXEOLF'HQPDUN)LQODQG)UDQFH*HUPDQ\*UHHFH
,FHODQG,UHODQG,WDO\/X[HPERXUJ1HWKHUODQGV1RUZD\3RUWXJDO6SDLQ6ZHGHQ6ZLW]HUODQGDQG8QLWHG.LQJGRP
&HQWUDO6HFUHWDULDWUXHGH6WDVVDUW%%UXVVHOV
&RQWHQWV
)RUHZRUG
,QWURGXFWLRQ
6FRSH
1RUPDWLYHUHIHUHQFHV
'HILQLWLRQV
H[SORVLYHDWPRVSKHUH
SRWHQWLDOO\H[SORVLYHDWPRVSKHUH
PLQLPXPLJQLWLRQWHPSHUDWXUHV
PD[LPXPVXUIDFHWHPSHUDWXUH
W\UH
FDWHJRULHV
DXWRPDWLFPRQLWRULQJ
HPHUJHQF\VWRSIXQFWLRQ
HPHUJHQF\VWRSGHYLFH
QRUPDORSHUDWLQJFRQGLWLRQV
VHUYLFHEUDNH
/LVWRIKD]DUGV
6DIHW\UHTXLUHPHQWVDQGRUPHDVXUHV
7UXFNVIRUFRQIRUPLW\FDWHJRU\*
7UXFNVIRUFRQIRUPLW\FDWHJRU\*
7UXFNVIRUFRQIRUPLW\FDWHJRU\'
7UXFNVIRUFRQIRUPLW\FDWHJRU\'
9HULILFDWLRQRIWKHVDIHW\UHTXLUHPHQWVDQGRUPHDVXUHV
*HQHUDO
7HPSHUDWXUHPHDVXUHPHQW
(DUWKLQJRIWUXFNV
*DVSHQHWUDWLRQWHVW
9HULILFDWLRQDQGWHVWIRUSUHVVXUL]HGHQFORVXUHV
,QIRUPDWLRQIRUXVH
,QVWUXFWLRQKDQGERRN
0LQLPXPPDUNLQJ
$QQH[$LQIRUPDWLYH5HODWLRQEHWZHHQWKHFODVVLILFDWLRQRI]RQHVDQGWKHLUFRQIRUPLW\
FDWHJRULHV
$QQH[=$LQIRUPDWLYH
%6,
3DJH
(1
)RUHZRUG
7KLV(XURSHDQ6WDQGDUGKDVEHHQSUHSDUHGE\7HFKQLFDO&RPPLWWHH&(17&,QGXVWULDO7UXFNV
6DIHW\WKH6HFUHWDULDWRIZKLFKLVKHOGE\%6,
7KLV(XURSHDQ6WDQGDUGVKDOOEHJLYHQWKHVWDWXVRIDQDWLRQDOVWDQGDUGHLWKHUE\SXEOLFDWLRQRIDQ
LGHQWLFDOWH[WRUE\HQGRUVHPHQWDWWKHODWHVWE\$XJXVWDQGFRQIOLFWLQJQDWLRQDOVWDQGDUGVVKDOO
EHZLWKGUDZQDWWKHODWHVWE\$XJXVW
7KLV (XURSHDQ 6WDQGDUG KDV EHHQ SUHSDUHG XQGHU D PDQGDWH JLYHQ WR &(1 E\ WKH (XURSHDQ
&RPPLVVLRQ DQG WKH (XURSHDQ )UHH 7UDGH $VVRFLDWLRQ DQG VXSSRUWV HVVHQWLDO UHTXLUHPHQWV RI
(8'LUHFWLYHV
)RU UHODWLRQVKLS ZLWK (8 'LUHFWLYHV VHH LQIRUPDWLYH DQQH[ =$ ZKLFK LV DQ LQWHJUDO SDUW RI WKLV
VWDQGDUG
$FFRUGLQJ WR WKH &(1&(1(/(& ,QWHUQDO 5HJXODWLRQV WKH QDWLRQDO VWDQGDUGV RUJDQL]DWLRQV RI WKH
IROORZLQJ FRXQWULHV DUH ERXQG WR LPSOHPHQW WKLV (XURSHDQ 6WDQGDUG $XVWULD %HOJLXP &]HFK
5HSXEOLF 'HQPDUN )LQODQG )UDQFH *HUPDQ\ *UHHFH ,FHODQG ,UHODQG ,WDO\ /X[HPERXUJ
1HWKHUODQGV1RUZD\3RUWXJDO6SDLQ6ZHGHQ6ZLW]HUODQGDQGWKH8QLWHG.LQJGRP
7KLV(XURSHDQ6WDQGDUGLVRQHRIDVHULHVRI(XURSHDQ6WDQGDUGVIRUWKHVDIHW\RILQGXVWULDOWUXFNV
(16DIHW\RI,QGXVWULDOWUXFNV²3DUW(OHFWULFDOUHTXLUHPHQWVIRUEDWWHU\SRZHUHGWUXFNV
(16DIHW\RI,QGXVWULDOWUXFNV²3DUW(OHFWULFDOUHTXLUHPHQWVIRULQWHUQDOFRPEXVWLRQ
HQJLQHSRZHUHGWUXFNV
(16DIHW\RI,QGXVWULDOWUXFNV²3DUW(OHFWULFDOUHTXLUHPHQWVIRUWKHHOHFWULFSRZHU
WUDQVPLVVLRQV\VWHPVRILQWHUQDOFRPEXVWLRQHQJLQHSRZHUHGWUXFNV
(16DIHW\RI,QGXVWULDOWUXFNV²9DULDEOHUHDFKWUXFNV
(16DIHW\RI,QGXVWULDOWUXFNV²'ULYHUOHVVLQGXVWULDOWUXFNVDQGWKHLUV\VWHPV
(16DIHW\RI,QGXVWULDOWUXFNV²$XWRPDWHGIXQFWLRQRILQGXVWULDOWUXFNV
(16DIHW\RI,QGXVWULDOWUXFNV²6HOISURSHOOHGWUXFNVRYHUNJFDSDFLW\
(16DIHW\RI,QGXVWULDOWUXFNV²3DUW6HOISURSHOOHGWUXFNVXSWRDQGLQFOXGLQJNJ
FDSDFLW\DQGWUDFWRUVZLWKDGUDZEDUSXOOLQFOXGLQJ1
(16DIHW\RI,QGXVWULDOWUXFNV²3DUW$GGLWLRQDOUHTXLUHPHQWVIRUWUXFNVZLWKHOHYDWLQJ
RSHUDWRUSRVLWLRQDQGWUXFNVVSHFLILFDOO\GHVLJQHGWRWUDYHOZLWKHOHYDWHGORDG
(16DIHW\RI,QGXVWULDOWUXFNV²2SHUDWLRQLQSRWHQWLDOO\H[SORVLYHDWPRVSKHUHV²8VHLQ
IODPPDEOHJDVYDSRXUPLVWDQGGXVW
(16DIHW\RI,QGXVWULDOWUXFNV²3HGHVWULDQFRQWUROOHGPDQXDODQGVHPLPDQXDOWUXFNV²
3DUW6WDFNHUWUXFNV
(16DIHW\RI,QGXVWULDOWUXFNV²3HGHVWULDQFRQWUROOHGPDQXDODQGVHPLPDQXDOWUXFNV²
3DUW3DOOHWWUXFNVZLWKOLIWKHLJKWXSWRPP
(16DIHW\RI,QGXVWULDOWUXFNV²3HGHVWULDQFRQWUROOHGPDQXDODQGVHPLPDQXDOWUXFNV²
3DUW3ODWIRUPWUXFNV
%6,
3DJH
(1
(16DIHW\RI,QGXVWULDOWUXFNV²3HGHVWULDQFRQWUROOHGPDQXDODQGVHPLPDQXDOWUXFNV²
3DUW3DOOHWWUXFNVZLWKVFLVVRUOLIW
(16DIHW\RI,QGXVWULDOWUXFNV²1RLVHPHDVXUHPHQWRILQGXVWULDOWUXFNVVRXQGSUHVVXUHOHYHO
DWWKHRSHUDWRU
VSRVLWLRQDQGVRXQGSRZHUOHYHOIRUWKHHQYLURQPHQW
SU(1,626DIHW\RI,QGXVWULDOWUXFNV²9LVLELOLW\WHVWPHWKRG,62)',6
(16DIHW\RI,QGXVWULDOWUXFNV²9LEUDWLRQWHVWPHWKRG
(16DIHW\RILQGXVWULDOWUXFNV²(OHFWURPDJQHWLFFRPSDWLELOLW\
%6,
3DJH
(1
,QWURGXFWLRQ
7KLVVWDQGDUGKDVEHHQSUHSDUHGWREHDW\SH&VWDQGDUGWRSURYLGHRQHPHDQVRIFRQIRUPLQJZLWK
WKH HVVHQWLDO UHTXLUHPHQWV RI WKH 0DFKLQHU\ 'LUHFWLYH DQG DVVRFLDWHG ()7$ UHJXODWLRQV ,W ZLOO DOVR
SURYLGH RQH PHDQV RI FRQIRUPLQJ ZLWK WKH HVVHQWLDO UHTXLUHPHQWV RI WKH 'LUHFWLYH FRQFHUQLQJ
HTXLSPHQWDQGSURWHFWLYHV\VWHPVLQWHQGHGIRUXVHLQSRWHQWLDOO\H[SORVLYHDWPRVSKHUHV7KHH[WHQW
WRZKLFKKD]DUGVDUHFRYHUHGLVLQGLFDWHGLQWKHVFRSHRIWKLVVWDQGDUG
,QDGGLWLRQLQGXVWULDOWUXFNVVKRXOGFRPSO\ZLWK(1IRUKD]DUGVZKLFKDUHQRWFRYHUHGE\WKLV
VWDQGDUG
6FRSH
7KLV(XURSHDQ6WDQGDUGDSSOLHVWRVHOISURSHOOHGDQGSHGHVWULDQFRQWUROOHGPDQXDODQGVHPLPDQXDO
LQGXVWULDOWUXFNVDVVSHFLILHGLQWKH(XURSHDQ6WDQGDUGV
(16DIHW\RI,QGXVWULDOWUXFNV²9DULDEOHUHDFKWUXFNV
(16DIHW\RI,QGXVWULDOWUXFNV²6HOISURSHOOHGWUXFNVRYHUNJFDSDFLW\
(16DIHW\RI,QGXVWULDOWUXFNV²3DUW6HOISURSHOOHGWUXFNVXSWRDQGLQFOXGLQJNJ
FDSDFLW\DQGWUDFWRUVZLWKDGUDZEDUSXOOLQFOXGLQJ1
(16DIHW\RI,QGXVWULDOWUXFNV²3DUW$GGLWLRQDOUHTXLUHPHQWVIRUWUXFNVZLWKHOHYDWLQJ
RSHUDWRUSRVLWLRQDQGWUXFNVVSHFLILFDOO\GHVLJQHGWRWUDYHOZLWKHOHYDWHGORDG
(16DIHW\RI,QGXVWULDOWUXFNV²3HGHVWULDQFRQWUROOHGPDQXDODQGVHPLPDQXDOWUXFNV²
3DUW6WDFNHUWUXFNV
(16DIHW\RI,QGXVWULDOWUXFNV²3HGHVWULDQFRQWUROOHGPDQXDODQGVHPLPDQXDOWUXFNV²
3DUW3DOOHWWUXFNVZLWKOLIWKHLJKWXSWRPP
(16DIHW\RI,QGXVWULDOWUXFNV²3HGHVWULDQFRQWUROOHGPDQXDODQGVHPLPDQXDOWUXFNV²
3DUW3ODWIRUPWUXFNV
(1 6DIHW\ RI ,QGXVWULDO WUXFNV² 3HGHVWULDQ FRQWUROOHG PDQXDO DQG VHPLPDQXDO WUXFNV²
3DUW3DOOHWWUXFNVZLWKVFLVVRUOLIW
DQG JLYHV DGGLWLRQDO UHTXLUHPHQWV WR WKHVH LQGXVWULDO WUXFNV LQ DFFRUGDQFH ZLWK WKH 'LUHFWLYH
((&JURXS,,FRQIRUPLW\FDWHJRU\DQGLQFOXGLQJWKHORDGKDQGOLQJGHYLFHKHUHDIWHUQDPHG
³WUXFNV´LQWHQGHGIRUXVHLQDUHDVZKHUHH[SORVLYHDWPRVSKHUHV
£ RIJDVYDSRXURUPLVWPD\RFFXUGHILQHGLQ]RQHDQG]RQHUHVSHFWLYHO\
RU
£ RIIODPPDEOHGXVWPD\RFFXUGHILQHGLQ]RQHDQG]RQHUHVSHFWLYHO\
%6,
3DJH
(1
7KH UHODWLRQ EHWZHHQ WKH FODVVLILFDWLRQ RI ]RQHV DQG WKHLU FRQIRUPLW\ FDWHJRULHV DUH VKRZQ LQ WKH
LQIRUPDWLYHDQQH[$
7KLV (XURSHDQ 6WDQGDUG FRYHUV WKH WHFKQLFDO UHTXLUHPHQWV QHFHVVDU\ WR PLQLPL]H WKH VSHFLILF
KD]DUGVOLVWHGLQFODXVHZKLFKFRXOGRFFXUGXULQJQRUPDORSHUDWLRQDQGPDLQWHQDQFHLQDFFRUGDQFH
ZLWKWKHGDWDJLYHQE\WKHPDQXIDFWXUHURUWKHLUDXWKRUL]HGUHSUHVHQWDWLYHRILQGXVWULDOWUXFNV
7UXFNVIRUJURXS,, VXLWDEOH IRU H[SORVLYH DWPRVSKHUHV RI JDV YDSRXU RU PLVW VKDOO EH VXEGLYLGHGLQ
DFFRUGDQFH ZLWK WKH UHVSHFWLYH PL[WXUH RI WKH SRWHQWLDOO\ H[SORVLYH DWPRVSKHUHV LQ ZKLFK WKH\ DUH
LQWHQGHGWRRSHUDWH7KHVXEGLYLVLRQLVLQDFFRUGDQFHZLWKDQQH[$RI(1$
7UXFNV PDUNHG ,,% DUH VXLWDEOH IRU DSSOLFDWLRQ UHTXLUHG IRU *URXS ,,$ WUXFNV 7UXFNV PDUNHG ,,& DUH
VXLWDEOHIRUDSSOLFDWLRQUHTXLUHGIRUVXEJURXS,,$DQGVXEJURXS,,%WUXFNVEXWDUHQRWVXLWDEOHWREH
XVHGLQDUHDVZLWKIODPPDEOHJDVDQGYDSRXUDWPRVSKHUHVFRQWDLQLQJFDUERQGLVXOILGH&6
:KHUHK\EULGPL[WXUHVDUHSUHVHQWWKHUHTXLUHPHQWVIRUJDVYDSRXUDQGPLVWDVZHOODVIRUGXVWVKDOO
EHIXOILOOHG
)RUN DUPV ORDG SODWIRUPV RU LQWHJUDWHG DWWDFKPHQWV DUH SDUW RI WKH WUXFN $WWDFKPHQWV PRXQWHG RQ
WKHORDGFDUULHURUIRUNDUPVDUHQRWSDUWRIWKHWUXFN
1RUPDWLYHUHIHUHQFHV
7KLV GUDIW VWDQGDUG LQFRUSRUDWHV E\ GDWHG RU XQGDWHG UHIHUHQFH SURYLVLRQV IURP RWKHU SXEOLFDWLRQV
7KHVHQRUPDWLYHUHIHUHQFHVDUHFLWHGDWDSSURSULDWHSODFHVLQWKHWH[WDQGWKHSXEOLFDWLRQVDUHOLVWHG
KHUHDIWHU
)RUGDWHGUHIHUHQFHVVXEVHTXHQWDPHQGPHQWVWRRUUHYLVLRQVRIDQ\RIWKHVHSXEOLFDWLRQVDSSO\WR
WKLV VWDQGDUG RQO\ ZKHQ LQFRUSRUDWHG LQ LW E\ DPHQGPHQWV RU UHYLVLRQ )RU XQGDWHG UHIHUHQFHV WKH
ODWHVWHGLWLRQRIWKHSXEOLFDWLRQUHIHUUHGWRDSSOLHV
(16DIHW\RIPDFKLQHU\%DVLFFRQFHSWV*HQHUDOSULQFLSOHVIRUGHVLJQ²3DUW%DVLF
WHUPLQRORJ\PHWKRGRORJ\
(16DIHW\RIPDFKLQHU\%DVLFFRQFHSWV*HQHUDOSULQFLSOHVIRUGHVLJQ²
$ 3DUW7HFKQLFDOSULQFLSOHVDQGVSHFLILFDWLRQV
(16DIHW\RIPDFKLQHU\6DIHW\UHODWHGSDUWVRIFRQWUROV\VWHPV²3DUW*HQHUDO
SULQFLSOHVRIGHVLJQ
(1([SORVLYHDWPRVSKHUHV²([SORVLRQSUHYHQWLRQDQGSURWHFWLRQ²3DUW%DVLF
FRQFHSWVDQGPHWKRGRORJ\
(16DIHW\RI,QGXVWULDOWUXFNV²3DUW(OHFWULFDOUHTXLUHPHQWVIRUEDWWHU\SRZHUHG
WUXFNV
(16DIHW\RI,QGXVWULDOWUXFNV²3DUW(OHFWULFDOUHTXLUHPHQWVIRULQWHUQDOFRPEXVWLRQ
HQJLQHSRZHUHGWUXFNV
(1 6DIHW\ RI ,QGXVWULDO WUXFNV² 3DUW (OHFWULFDO UHTXLUHPHQWV IRU WKH HOHFWULF SRZHU
WUDQVPLVVLRQV\VWHPVRILQWHUQDOFRPEXVWLRQHQJLQHSRZHUHGWUXFNV
SU(16DIHW\RI,QGXVWULDOWUXFNV²6HOISURSHOOHGWUXFNVRYHUNJFDSDFLW\
%6,
3DJH
(1
(1 6DIHW\ RI ,QGXVWULDO WUXFNV² 6HOI SURSHOOHG WUXFNV XS WR DQG LQFOXGLQJ NJ
FDSDFLW\ DQG WUDFWRUV ZLWK D GUDZEDU SXOO XS WR DQG LQFOXGLQJ 1 ² 3DUW *HQHUDO
UHTXLUHPHQWV
SU(16DIHW\RI,QGXVWULDOWUXFNV²6HOISURSHOOHGWUXFNVXSWRDQGLQFOXGLQJNJ
FDSDFLW\DQGWUDFWRUVZLWKDGUDZEDUSXOOXSWRDQGLQFOXGLQJ1²3DUW$GGLWLRQDO
UHTXLUHPHQWVIRUWUXFNVZLWKHOHYDWLQJRSHUDWRUSRVLWLRQDQGWUXFNVVSHFLILFDOO\GHVLJQHGWRWUDYHOZLWK
HOHYDWHGORDGV
SU(15HFLSURFDWLQJLQWHUQDOFRPEXVWLRQHQJLQHV²6DIHW\UHTXLUHPHQWVIRUGHVLJQDQG
FRQVWUXFWLRQRIHQJLQHVIRUXVHLQSRWHQWLDOO\H[SORVLYHDWPRVSKHUHV²3DUW*URXS,,HQJLQHVIRU
XVHLQIODPPDEOHJDVDQGYDSRXUDWPRVSKHUHV
SU(15HFLSURFDWLQJLQWHUQDOFRPEXVWLRQHQJLQHV²6DIHW\UHTXLUHPHQWVIRUGHVLJQDQG
FRQVWUXFWLRQRIHQJLQHVIRUXVHLQSRWHQWLDOO\H[SORVLYHDWPRVSKHUHV²3DUW(QJLQHVIRUXVHLQ
FRPEXVWLEOHGXVWDWPRVSKHUHV
(1(OHFWULFDODSSDUDWXVIRUSRWHQWLDOO\H[SORVLYHDWPRVSKHUHV²2LOLPPHUVLRQ³R´
(1(OHFWULFDODSSDUDWXVIRUSRWHQWLDOO\H[SORVLYHDWPRVSKHUHV²3RZGHUILOOLQJ³T´
(1(OHFWULFDODSSDUDWXVIRUSRWHQWLDOO\H[SORVLYHDWPRVSKHUHV²,QFUHDVHGVDIHW\³H´
(1(OHFWULFDODSSDUDWXVIRUSRWHQWLDOO\H[SORVLYHDWPRVSKHUHV²,QWULQVLFVDIHW\³L´
(1(OHFWULFDODSSDUDWXVIRUSRWHQWLDOO\H[SORVLYHDWPRVSKHUHV²(OHFWULFDODSSDUDWXV
ZLWKW\SHRISURWHFWLRQRI³Q´
(1(OHFWULFDODSSDUDWXVIRUSRWHQWLDOO\H[SORVLYHDWPRVSKHUHV²(QFDSVXODWLRQ³P´
(1(OHFWULFDODSSDUDWXVIRUSRWHQWLDOO\H[SORVLYHDWPRVSKHUHV²,QWULQVLFDOO\VDIH
V\VWHPV³L´
(1(OHFWULFDODSSDUDWXVIRUWKHGHWHFWLRQDQGPHDVXUHPHQWRIFRPEXVWLEOHJDVHV²
*HQHUDOUHTXLUHPHQWVDQGWHVWPHWKRGV
(1 (OHFWULFDO DSSDUDWXV IRU WKH GHWHFWLRQ DQG PHDVXUHPHQW RI FRPEXVWLEOH JDVHV²
3HUIRUPDQFHUHTXLUHPHQWVIRUJURXS,,DSSDUDWXVLQGLFDWLQJXSWRORZHUH[SORVLRQOLPLW
(1(OHFWULFDODSSDUDWXVIRUH[SORVLYHJDVDWPRVSKHUHV²(OHFWULFDOLQVWDOODWLRQVLQ
KD]DUGRXVDUHDVRWKHUWKDQPLQHV
(1'HJUHHVRISURWHFWLRQSURYLGHGE\HQFORVXUHV,3&RGH
,(&0HWKRGVRIWHVWIRUYROXPHUHVLVWLYLW\DQGVXUIDFHUHVLVWLYLW\RIVROLGHOHFWULFDO
LQVXODWLQJPDWHULDOV
,(&0HWKRGVRIWHVWIRUHOHFWULFVWUHQJWKRIVROLGLQVXODWLQJPDWHULDOV²3DUW7HVWDW
SRZHUIUHTXHQFLHV
%6,
3DJH
(1
,(&(OHFWULFDODSSDUDWXVIRUXVHLQWKHSUHVHQFHRIFRPEXVWLEOHGXVW²
3DUW(OHFWULFDODSSDUDWXVSURWHFWHGE\HQFORVXUHV6HFWLRQ6SHFLILFDWLRQIRUDSSDUDWXV
,(&(OHFWULFDODSSDUDWXVIRUXVHLQWKHSUHVHQFHRIFRPEXVWLEOHGXVW²
3DUW(OHFWULFDODSSDUDWXVSURWHFWHGE\HQFORVXUHV6HFWLRQ6HOHFWLRQLQVWDOODWLRQDQG
PDLQWHQDQFH
,62$QWLVWDWLFHQGOHVV9EHOWV(OHFWULFDOFRQGXFWLYLW\FKDUDFWHULVWLFVDQGPHWKRGRIWHVW
,625XEEHUYXOFDQL]HG$QWLVWDWLFDQGFRQGXFWLYHSURGXFWVIRULQGXVWULDOXVH(OHFWULFDO
UHVLVWDQFHOLPLWV
,62%HOWGULYHV(OHFWULFDOFRQGXFWLYLW\RIDQWLVWDWLFHQGOHVVV\QFKURQRXVEHOWV
&KDUDFWHULVWLFVDQGWHVWPHWKRG
'HILQLWLRQV
)RUWKHSXUSRVHRIWKLVVWDQGDUGWKHIROORZLQJGHILQLWLRQVDSSO\
H[SORVLYHDWPRVSKHUH
PL[WXUH ZLWK DLU XQGHU DWPRVSKHULF FRQGLWLRQV RI IODPPDEOH VXEVWDQFHV LQ WKH IRUP RI JDVHV
YDSRXUV PLVWV RU GXVWV LQ ZKLFK DIWHU LJQLWLRQ KDV RFFXUUHG FRPEXVWLRQ VSUHDGV WR WKH HQWLUH
XQEXUQHGPL[WXUH
SRWHQWLDOO\H[SORVLYHDWPRVSKHUH
DQDWPRVSKHUHZKLFKFRXOGEHFRPHH[SORVLYHGXHWRORFDODQGRSHUDWLRQDOFRQGLWLRQV
PLQLPXPLJQLWLRQWHPSHUDWXUHV
WKHGHILQLWLRQJLYHQLQFODXVHVDQGRI(1VKDOODSSO\
PD[LPXPVXUIDFHWHPSHUDWXUH
WKH KLJKHVW WHPSHUDWXUH DWWDLQHG LQ VHUYLFH XQGHU WKH PRVW DGYHUVH RSHUDWLQJ FRQGLWLRQV ZLWKLQ WKH
UDWLQJRIWKHDSSDUDWXVE\DQ\SDUWRUDQ\VXUIDFHRIWKHHTXLSPHQWDQGDFFHVVLEOHWRWKHSRWHQWLDOO\
H[SORVLYHDWPRVSKHUH
127( 7KHPDQXIDFWXUHUZLOOSUHVFULEHWKHSURGXFWVWDQGDUGDQGDOVRLQKLVSDUWLFXODUGHVLJQKHVKRXOGWDNH
LQWRDFFRXQWWKHIROORZLQJRWKHUFRQGLWLRQV
£ IDXOWFRQGLWLRQVVSHFLILHGLQWKHVWDQGDUGIRUWKHW\SHRISURWHFWLRQFRQFHUQHG
£ DOO RSHUDWLQJ FRQGLWLRQV VSHFLILHG LQ DQ\ RWKHU VWDQGDUG VSHFLILHG E\ KLP LQFOXGLQJ UHFRJQL]HG
RYHUORDGV
£ DQ\RWKHURSHUDWLQJFRQGLWLRQVSHFLILHGE\KLP
127( 7KHUHOHYDQWVXUIDFHWHPSHUDWXUHPD\EHLQWHUQDORUH[WHUQDOGHSHQGLQJXSRQWKHW\SHRISURWHFWLRQ
FRQFHUQHG
%6,
3DJH
(1
W\UH
RXWHUSDUWRIDZKHHOZKLFKLVRIDGLIIHUHQWPDWHULDOIURPWKHZKHHOFHQWUH
FDWHJRULHV
WKHGHILQLWLRQVRIFDWHJRULHVDUHFRYHUHGLQFODXVHRI(1
DXWRPDWLFPRQLWRULQJ
DEDFNXSVDIHW\IXQFWLRQZKLFKHQVXUHVWKDWDVDIHW\PHDVXUHLVLQLWLDWHGLIWKHDELOLW\RIDFRPSRQHQW
RUDQHOHPHQWWRSHUIRUPLWVIXQFWLRQLVGLPLQLVKHGRULIWKHSURFHVVFRQGLWLRQVDUHFKDQJHGLQVXFKD
ZD\WKDWKD]DUGVDUHJHQHUDWHG
HPHUJHQF\VWRSIXQFWLRQ
IXQFWLRQZKLFKLVLQWHQGHG
£ WR DYHUW DULVLQJ RU WR UHGXFH H[LVWLQJ KD]DUGV WR SHUVRQV GDPDJH WR PDFKLQHU\ RU WR ZRUN LQ
SURFHVV
£ WREHLQLWLDWHGE\DVLQJOHKXPDQDFWLRQ
HPHUJHQF\VWRSGHYLFH
DQRUPDOO\DFWXDWHGFRQWUROGHYLFHXVHGWRLQLWLDWHDQHPHUJHQF\VWRSIXQFWLRQ
QRUPDORSHUDWLQJFRQGLWLRQV
WKH RSHUDWLQJ FRQGLWLRQV ZKHQ WKH WUXFN LV XVHG LQ VXEVWDQWLDOO\ ILUP VPRRWK OHYHO DQG SUHSDUHG
VXUIDFHV
VHUYLFHEUDNH
DOOEXLOGLQVHTXHQFHVRUHTXLSPHQWVHJHOHFWULFDOK\GUDXOLFRUPHFKDQLFDORULQFRPELQDWLRQXVHG
IRUGHFHOHUDWLRQRIWKHWUXFNLQQRUPDORSHUDWLQJFRQGLWLRQ
%6,
3DJH
(1
/LVWRIKD]DUGV
7KHIROORZLQJKD]DUGVIURPDQQH[$RI(1 DUH DSSOLFDEOH LQ WKH VLWXDWLRQV GHVFULEHG DQGFRXOG
LQYROYHULVNVWRSHUVRQVLIQRWUHGXFHGRUHOLPLQDWHG7KHFRUUHVSRQGLQJUHTXLUHPHQWVDUHGHVLJQHGWR
OLPLWWKHULVNRUUHGXFHWKHKD]DUGVLQHDFKVLWXDWLRQ
+$=$5' &RUUHVSRQGLQJUHTXLUHPHQW
*HQHUDOUHTXLUHPHQWV
3ULQFLSOHVRILQWHJUDWHG 6DIHW\UHTXLUHPHQWVDQGRUPHDVXUHV
H[SORVLRQVDIHW\
'HVLJQFRQVLGHUDWLRQV 6DIHW\UHTXLUHPHQWVDQGRUPHDVXUHV
6SHFLDOFKHFNLQJDQG 7HPSHUDWXUHPHDVXUHPHQW
PDLQWHQDQFHFRQGLWLRQV ,QVWUXFWLRQ+DQGERRN
6XUURXQGLQJDUHDFRQGLWLRQV +RWVXUIDFH
0DUNLQJ 0LQLPXPPDUNLQJ
,QVWUXFWLRQV ,QVWUXFWLRQ+DQGERRN
0LQLPXPPDUNLQJ
6HOHFWLRQRIPDWHULDOV
([SORVLRQDYRLGDQFH 0HFKDQLFDOO\JHQHUDWHGVSDUNVDQGFOHDUDQFHV
)ULFWLRQFOXWFKHV
)ULFWLRQEUDNHV
/RDGKDQGOLQJGHYLFH
0HFKDQLFDOO\JHQHUDWHGVSDUNV
,JQLWLRQE\HOHFWURVWDWLFGLVFKDUJHV
0HFKDQLFDOFOXWFKHV
$GGHGVDIHW\
/RDGKDQGOLQJGHYLFH
0HFKDQLFDOO\JHQHUDWHGVSDUNVDQGFOHDUDQFHV
)ULFWLRQEUDNHV
/RDGKDQGOLQJGHYLFH
0HFKDQLFDOO\JHQHUDWHGVSDUNVDQGFOHDUDQFHV
&OXWFKHV
)ULFWLRQEUDNHV6HUYLFHEUDNHV
3DUNLQJEUDNHVORDGKDQGOLQJGHYLFHVDQG
K\GUDXOLFV\VWHPV
/LPLWVRIRSHUDWLQJFRQGLWLRQV QRWDSSOLFDEOH
UHDFWLRQEHWZHHQPDWHULDOV
(IIHFWVRQSUHGLFWDEOHFKDQJHVLQ )ULFWLRQFOXWFKHV
PDWHULDOVFKDUDFWHULVWLFV )ULFWLRQEUDNHV
/RDGKDQGOLQJGHYLFH
0HFKDQLFDOFOXWFKHV
$GGHGVDIHW\
/RDGKDQGOLQJGHYLFH
)ULFWLRQEUDNHV
/RDGKDQGOLQJGHYLFH
&OXWFKHV
)ULFWLRQEUDNHV6HUYLFHEUDNHV
3DUNLQJEUDNHVORDGKDQGOLQJGHYLFHVDQG
K\GUDXOLFV\VWHPV
%6,
3DJH
(1
'HVLJQDQG&RQVWUXFWLRQ
7HFKQRORJLFDONQRZOHGJHRI +RWVXUIDFH
H[SORVLRQSURWHFWLRQIRUVDIH 0HFKDQLFDOO\JHQHUDWHGVSDUNVDQGFOHDUDQFHV
RSHUDWLRQWKURXJKRXWIRUHVHHDEOH ,JQLWLRQE\HOHFWURVWDWLFGLVFKDUJHV
OLIHWLPH 5HFLSURFDWLQJLQWHUQDOFRPEXVWLRQHQJLQHV
(OHFWULFDOLQVWDOODWLRQ
3QHXPDWLFV\VWHPV
&OXWFKHV
%UDNHV
/RDGKDQGOLQJGHYLFH
+\GUDXOLFV\VWHP
+RWVXUIDFH
0HFKDQLFDOO\JHQHUDWHGVSDUNV
&OHDUDQFHV
,JQLWLRQE\HOHFWURVWDWLFGLVFKDUJHV
5HFLSURFDWLQJLQWHUQDOFRPEXVWLRQHQJLQHV
(OHFWULFDOLQVWDOODWLRQ
3QHXPDWLFV\VWHPV
&OXWFKHV
%UDNHV
/RDGKDQGOLQJGHYLFH
+\GUDXOLFV\VWHP
+RWVXUIDFH
0HFKDQLFDOO\JHQHUDWHGVSDUNVDQGFOHDUDQFHV
5HFLSURFDWLQJLQWHUQDOFRPEXVWLRQHQJLQHV
(OHFWULFDOLQVWDOODWLRQ
3QHXPDWLFV\VWHPV
&OXWFKHV
%UDNHV
/RDGKDQGOLQJGHYLFH
+\GUDXOLFV\VWHP
+RWVXUIDFH
0HFKDQLFDOO\JHQHUDWHGVSDUNVDQGFOHDUDQFHV
,JQLWLRQE\HOHFWURVWDWLFGLVFKDUJHV
5HFLSURFDWLQJLQWHUQDOFRPEXVWLRQHQJLQHV
(OHFWULFDOLQVWDOODWLRQ
3QHXPDWLFV\VWHPV
&OXWFKHV
)ULFWLRQEUDNHV6HUYLFHEUDNHV
3DUNLQJEUDNHVORDGKDQGOLQJGHYLFHVDQG
K\GUDXOLFV\VWHPV
6DIHIXQFWLRQLQJRIUHSODFHPHQW +RWVXUIDFH
FRPSRQHQWV 0HFKDQLFDOO\JHQHUDWHGVSDUNVDQGFOHDUDQFHV
,JQLWLRQE\HOHFWURVWDWLFGLVFKDUJHV
5HFLSURFDWLQJLQWHUQDOFRPEXVWLRQHQJLQHV
(OHFWULFDOLQVWDOODWLRQ
3QHXPDWLFV\VWHPV
&OXWFKHV
%UDNHV
/RDGKDQGOLQJGHYLFH
+\GUDXOLFV\VWHP
+RWVXUIDFH
%6,
3DJH
(1
0HFKDQLFDOO\JHQHUDWHGVSDUNV
&OHDUDQFHV
,JQLWLRQE\HOHFWURVWDWLFGLVFKDUJHV
5HFLSURFDWLQJLQWHUQDOFRPEXVWLRQHQJLQHV
(OHFWULFDOLQVWDOODWLRQ
3QHXPDWLFV\VWHPV
&OXWFKHV
%UDNHV
/RDGKDQGOLQJGHYLFH
+\GUDXOLFV\VWHP
+RWVXUIDFH
0HFKDQLFDOO\JHQHUDWHGVSDUNVDQGFOHDUDQFHV
5HFLSURFDWLQJLQWHUQDOFRPEXVWLRQHQJLQHV
(OHFWULFDOLQVWDOODWLRQ
3QHXPDWLFV\VWHPV
&OXWFKHV
%UDNHV
/RDGKDQGOLQJGHYLFH
+\GUDXOLFV\VWHP
+RWVXUIDFH
0HFKDQLFDOO\JHQHUDWHGVSDUNVDQGFOHDUDQFHV
,JQLWLRQE\HOHFWURVWDWLFGLVFKDUJHV
5HFLSURFDWLQJLQWHUQDOFRPEXVWLRQHQJLQHV
(OHFWULFDOLQVWDOODWLRQ
3QHXPDWLFV\VWHPV
&OXWFKHV
)ULFWLRQEUDNHV6HUYLFHEUDNHV
3DUNLQJEUDNHVORDGKDQGOLQJGHYLFHVDQG
K\GUDXOLFV\VWHPV
(QFORVHGVWUXFWXUHVDQG QRWDSSOLFDEOH
SUHYHQWLRQRIOHDNV
'XVWGHSRVLWV +RWVXUIDFH
+RWVXUIDFH
,QVWUXFWLRQ+DQGERRN
$GGLWLRQDOPHDQVRISURWHFWLRQ QRWFRYHUHGE\WKLVVWDQGDUG
IRUH[WHUQDOVWUHVVHV
6DIHRSHQLQJ &OHDUDQFHV
5HFLSURFDWLQJLQWHUQDOFRPEXVWLRQHQJLQHV
(OHFWULFDOHTXLSPHQW
)ODPHSURRIHQFORVXUHFOXWFKHV
)ODPHSURRIHQFORVXUHEUDNHV
(OHFWULFDOHTXLSPHQW
)ULFWLRQFOXWFKHV
3DUNLQJEUDNHV
5HFLSURFDWLQJLQWHUQDOFRPEXVWLRQHQJLQHV
&OXWFKHV
)ULFWLRQEUDNHV6HUYLFHEUDNHV
,QVWUXFWLRQ+DQGERRN
3URWHFWLRQDJDLQVWRWKHUKD]DUGV QRWDSSOLFDEOH
127(5HTXLUHPHQWRIVWDQGDUGWUXFNV(1
D ,QMXU\ QRWDSSOLFDEOH
E 6XUIDFHWHPSHUDWXUHV QRWDSSOLFDEOH
%6,
3DJH
(1
F (OLPLQDWLRQRIQRQHOHFWULFDO QRWDSSOLFDEOH
GDQJHUV
G 2YHUORDGFRQGLWLRQV QRWDSSOLFDEOH
2YHUORDGLQJRIHTXLSPHQW +RWVXUIDFH
5HFLSURFDWLQJLQWHUQDOFRPEXVWLRQHQJLQHV
(OHFWULFDOLQVWDOODWLRQJHQHUDO
*DVGHWHFWLRQDQGUHVWULFWHGEUHDWKLQJ
HQFORVXUHV
3DUNLQJEUDNHV
+RWVXUIDFH
5HFLSURFDWLQJLQWHUQDOFRPEXVWLRQHQJLQHV
(OHFWULFDOLQVWDOODWLRQ
$GGHGVDIHW\
3DUNLQJEUDNHV
+RWVXUIDFH
5HFLSURFDWLQJLQWHUQDOFRPEXVWLRQHQJLQHV
3DUNLQJEUDNHV
+RWVXUIDFH
5HFLSURFDWLQJLQWHUQDOFRPEXVWLRQHQJLQHV
(OHFWULFDOLQVWDOODWLRQ
)ULFWLRQEUDNHV6HUYLFHEUDNHV
3DUNLQJEUDNHVORDGKDQGOLQJGHYLFHVDQG
K\GUDXOLFV\VWHPV
)ODPHSURRIHQFORVXUHV\VWHPV 5HFLSURFDWLQJLQWHUQDOFRPEXVWLRQHQJLQHV
(OHFWULFDOHTXLSPHQW
3QHXPDWLFV\VWHPV
)ODPHSURRIHQFORVXUH
)ODPHSURRIHQFORVXUH
5HFLSURFDWLQJLQWHUQDOFRPEXVWLRQHQJLQHV
3QHXPDWLFV\VWHPV
&OXWFKHV
)ULFWLRQEUDNHV6HUYLFHEUDNHVDQGK\GUDXOLF
V\VWHPV
3RWHQWLDOLJQLWLRQVRXUFHV
+D]DUGVDULVLQJIURPGLIIHUHQW +RWVXUIDFH
LJQLWLRQVRXUFHV 0HFKDQLFDOO\JHQHUDWHGVSDUNVDQGFOHDUDQFHV
5HFLSURFDWLQJLQWHUQDOFRPEXVWLRQHQJLQHV
+RWVXUIDFH
0HFKDQLFDOO\JHQHUDWHGVSDUNV
&OHDUDQFHV
5HFLSURFDWLQJLQWHUQDOFRPEXVWLRQHQJLQHV
+RWVXUIDFH
0HFKDQLFDOO\JHQHUDWHGVSDUNVDQGFOHDUDQFHV
5HFLSURFDWLQJLQWHUQDOFRPEXVWLRQHQJLQHV
+RWVXUIDFH
0HFKDQLFDOO\JHQHUDWHGVSDUNVDQGFOHDUDQFHV
5HFLSURFDWLQJLQWHUQDOFRPEXVWLRQHQJLQHV
+D]DUGVDULVLQJIURPVWDWLF ,JQLWLRQE\HOHFWURVWDWLFGLVFKDUJHV
HOHFWULFLW\ ,JQLWLRQE\HOHFWURVWDWLFGLVFKDUJHV
,JQLWLRQE\HOHFWURVWDWLFGLVFKDUJHV
+D]DUGVDULVLQJIURPVWUD\ QRWDSSOLFDEOH
HOHFWULFDQGOHDNDJHFXUUHQWV
%6,
3DJH
(1
5HTXLUHPHQWVLQUHVSHFWRI
VDIHW\UHODWHGGHYLFHV
,QGHSHQGHQWIXQFWLRQRIVDIHW\ +RWVXUIDFH
GHYLFHVRIPHDVXUHPHQWDQG 5HFLSURFDWLQJLQWHUQDOFRPEXVWLRQHQJLQHV
FRQWURO)DLOVDIHSULQFLSOHVIRU (OHFWULFDOLQVWDOODWLRQJHQHUDO
HOHFWULFFLUFXLWV6DIHW\UHODWHG *DVGHWHFWLRQDQGUHVWULFWHGEUHDWKLQJ
VZLWFKHVLQGHSHQGHQWRI HQFORVXUHV
VRIWZDUHDQGFRPPDQG /RDGKDQGOLQJGHYLFH
+RWVXUIDFH
5HFLSURFDWLQJLQWHUQDOFRPEXVWLRQHQJLQHV
(OHFWULFDOLQVWDOODWLRQ
2LOSURWHFWHGFOXWFKHV
3UHVVXUL]HGFOXWFKHV
2LOSURWHFWHGEUDNHV
3UHVVXUL]HGEUDNHV
$GGHGVDIHW\
3DUNLQJEUDNHV
+RWVXUIDFH
5HFLSURFDWLQJLQWHUQDOFRPEXVWLRQHQJLQHV
3DUNLQJEUDNHV
+RWVXUIDFH
5HFLSURFDWLQJLQWHUQDOFRPEXVWLRQHQJLQHV
&OXWFKHV
)ULFWLRQEUDNHV6HUYLFHEUDNHV
3DUNLQJEUDNHVORDGKDQGOLQJGHYLFHVDQG
K\GUDXOLFV\VWHPV
6DIHW\GHYLFHIDLOXUH +RWVXUIDFH
5HFLSURFDWLQJLQWHUQDOFRPEXVWLRQHQJLQHV
(OHFWULFDOLQVWDOODWLRQJHQHUDO
%6,
3DJH
(1
*DVGHWHFWLRQDQGUHVWULFWHGEUHDWKLQJ
HQFORVXUHV
/RDGKDQGOLQJGHYLFH
+RWVXUIDFH
5HFLSURFDWLQJLQWHUQDOFRPEXVWLRQHQJLQHV
(OHFWULFDOLQVWDOODWLRQ
2LOSURWHFWHGFOXWFKHV
3UHVVXUL]HGFOXWFKHV
2LOSURWHFWHGEUDNHV
3UHVVXUL]HGEUDNHV
$GGHGVDIHW\
3DUNLQJEUDNHV
+RWVXUIDFH
5HFLSURFDWLQJLQWHUQDOFRPEXVWLRQHQJLQHV
3DUNLQJEUDNHV
+RWVXUIDFH
5HFLSURFDWLQJLQWHUQDOFRPEXVWLRQHQJLQHV
&OXWFKHV
)ULFWLRQEUDNHV6HUYLFHEUDNHV
3DUNLQJEUDNHVORDGKDQGOLQJGHYLFHVDQG
K\GUDXOLFV\VWHPV
(PHUJHQF\VWRSFRQWUROV +RWVXUIDFH
5HFLSURFDWLQJLQWHUQDOFRPEXVWLRQHQJLQHV
(OHFWULFDOLQVWDOODWLRQJHQHUDO
*DVGHWHFWLRQDQGUHVWULFWHGEUHDWKLQJ
HQFORVXUHV
3DUNLQJEUDNHV
+RWVXUIDFH
5HFLSURFDWLQJLQWHUQDOFRPEXVWLRQHQJLQHV
(OHFWULFDOLQVWDOODWLRQ
2LOSURWHFWHGFOXWFKHV
3UHVVXUL]HGFOXWFKHV
2LOSURWHFWHGEUDNHV
3UHVVXUL]HGEUDNHV
$GGHGVDIHW\
3DUNLQJEUDNHV
+RWVXUIDFH
5HFLSURFDWLQJLQWHUQDOFRPEXVWLRQHQJLQHV
3DUNLQJEUDNHV
+RWVXUIDFH
5HFLSURFDWLQJLQWHUQDOFRPEXVWLRQHQJLQHV
&OXWFKHV
)ULFWLRQEUDNHV6HUYLFHEUDNHV
3DUNLQJEUDNHVORDGKDQGOLQJGHYLFHVDQG
K\GUDXOLFV\VWHPV
&RQWURODQGGLVSOD\XQLWV +RWVXUIDFH
5HFLSURFDWLQJLQWHUQDOFRPEXVWLRQHQJLQHV
(OHFWULFDOLQVWDOODWLRQJHQHUDO
*DVGHWHFWLRQDQGUHVWULFWHGEUHDWKLQJ
HQFORVXUHV
%6,
3DJH
(1
3DUNLQJEUDNHV
+RWVXUIDFH
5HFLSURFDWLQJLQWHUQDOFRPEXVWLRQHQJLQHV
(OHFWULFDOLQVWDOODWLRQ
2LOSURWHFWHGFOXWFKHV
3UHVVXUL]HGFOXWFKHV
2LOSURWHFWHGEUDNHV
3UHVVXUL]HGEUDNHV
$GGHGVDIHW\
3DUNLQJEUDNHV
+RWVXUIDFH
5HFLSURFDWLQJLQWHUQDOFRPEXVWLRQHQJLQHV
3DUNLQJEUDNHV
+RWVXUIDFH
5HFLSURFDWLQJLQWHUQDOFRPEXVWLRQHQJLQHV
&OXWFKHV
)ULFWLRQEUDNHV6HUYLFHEUDNHV
3DUNLQJEUDNHVORDGKDQGOLQJGHYLFHVDQG
K\GUDXOLFV\VWHPV
5HTXLUHPHQWVLQUHVSHFWRI QRWDSSOLFDEOH
GHYLFHVZLWKDPHDVXULQJ
IXQFWLRQIRUH[SORVLRQSURWHFWLRQ
&KHFNLQJDFFXUDF\RIPHDVXULQJ *DVGHWHFWLRQDQGUHVWULFWHGEUHDWKLQJ
GHYLFHV HQFORVXUHV
0HDVXULQJGHYLFHVDIHW\IDFWRU *DVGHWHFWLRQDQGUHVWULFWHGEUHDWKLQJ
HQFORVXUHV
$GGHGVDIHW\
5LVNVDULVLQJIURPVRIWZDUH 5HFLSURFDWLQJLQWHUQDOFRPEXVWLRQHQJLQHV
(OHFWULFDOLQVWDOODWLRQ±JHQHUDO
*DVGHWHFWLRQDQGUHVWULFWHGEUHDWKLQJ
HQFORVXUHV
5HFLSURFDWLQJLQWHUQDOFRPEXVWLRQHQJLQHV
(OHFWULFDOLQVWDOODWLRQ±JHQHUDO
2LOSURWHFWHGFOXWFKHV
2LOSURWHFWHGEUDNHV
$GGHGVDIHW\
5HFLSURFDWLQJLQWHUQDOFRPEXVWLRQHQJLQHV
5HFLSURFDWLQJLQWHUQDOFRPEXVWLRQHQJLQHV
&OXWFKHV
)ULFWLRQEUDNHV6HUYLFHEUDNHV
,QWHJUDWLRQRIVDIHW\UHTXLUH
PHQWVUHODWLQJWRWKHV\VWHP
0DQXDORYHUULGH QRWDSSOLFDEOH
(PHUJHQF\VKXWGRZQV\VWHP QRWDSSOLFDEOH
+D]DUGVDULVLQJIURPSRZHU QRWFRYHUHGE\WKLVVWDQGDUG
IDLOXUH 127(5HTXLUHPHQWRIVWDQGDUGWUXFN
+D]DUGVDULVLQJIURP (OHFWULFDOLQVWDOODWLRQ
FRQQHFWLRQV (OHFWULFDOLQVWDOODWLRQ
(OHFWULFDOLQVWDOODWLRQ
(OHFWULFDOLQVWDOODWLRQ
%6,
3DJH
(1
%6,
3DJH
(1
%6,
3DJH
(1
%6,
3DJH
(1
%6,
3DJH
(1
6DIHW\UHTXLUHPHQWVDQGRUPHDVXUHV
7UXFNVIRUFRQIRUPLW\FDWHJRU\*
+RWVXUIDFH
7KH PD[LPXP VXUIDFH WHPSHUDWXUH VKDOO QRW H[FHHG WKH LJQLWLRQ WHPSHUDWXUH RI WKH H[SORVLYH
DWPRVSKHUH LQ ZKLFK WKH WUXFN LV WR EH XVHG ,Q RUGHU WR DFKLHYH WKH VXUIDFH WHPSHUDWXUH OLPLWDWLRQ
WUXFNV VKDOO EH GHVLJQHG HLWKHU WR HQVXUH VDIH RSHUDWLRQ GXULQJ QRUPDO XVH RU VKDOO LQFRUSRUDWH D
PRQLWRULQJV\VWHPWRSURYLGHDQDXWRPDWLFFRQWUROOHGVWRS
5HGXFWLRQRIWKLVVXUIDFHWHPSHUDWXUHE\PHDQVRIWKHUPDOLQVXODWLRQLVQRWSHUPLWWHG
7UXFNV VKDOO EH DUUDQJHG DQG PDUNHG DFFRUGLQJ WR FODXVH DV D IXQFWLRQ RI LWV PD[LPXP VXUIDFH
WHPSHUDWXUHDQGVKDOOEHHLWKHU
£ FODVVLILHGLQDWHPSHUDWXUHFODVVJLYHQLQ7DEOH
£ RUGHILQHGE\WKHDFWXDOPD[LPXPVXUIDFHWHPSHUDWXUH
7DEOH²&ODVVLILFDWLRQRIPD[LPXPVXUIDFHWHPSHUDWXUHV
7HPSHUDWXUHFODVV 0D[LPDOVXUIDFHWHPSHUDWXUH&
7
7
7
7
7
7
(TXLSPHQWVKDOOQRUPDOO\EHGHVLJQHGIRUXVHLQWKHDPELHQWWHPSHUDWXUHUDQJHEHWZHHQ±&DQG
&,QWKLVFDVHQRDGGLWLRQDOPDUNLQJLVQHFHVVDU\
0HFKDQLFDOO\JHQHUDWHGVSDUNVDQGFOHDUDQFHV
,QQRUPDORSHUDWLRQWKHFOHDUDQFHVWDNLQJLQWRDFFRXQWGHVLJQWROHUDQFHVEHWZHHQURWDWLQJSDUWVDQG
RWKHU SDUWV VKDOO EH DW OHDVW RI WKH PD[LPXP GLDPHWHU RI WKH PRYLQJ SDUW H[FHSW WKDW WKH
FOHDUDQFHV QHHG QRW H[FHHG PP DQG PD\ EH UHGXFHG WR PP LI WKH RSSRVLQJ SDUWV DUH
PDQXIDFWXUHG VR DV WR KDYH GLPHQVLRQDO DFFXUDF\ DQG VWDELOLW\ ,Q QR FDVH WKH FOHDUDQFHV VKDOO EH
OHVVWKDQPP
%6,
3DJH
(1
,JQLWLRQE\HOHFWURVWDWLFGLVFKDUJHV
7RDYRLGWKHEXLOGXSRIHOHFWURVWDWLFFKDUJHVWKHIROORZLQJSUHFDXWLRQVVKDOOEHWDNHQ
&KDVVLV
$OOPHWDOSDUWVRIWKHWUXFNDERYHFPVKDOOEHERQGHGWRWKHFKDVVLVRIWKHWUXFNLQRUGHUWRUHDFK
SRWHQWLDO HTXDOL]DWLRQ ,W LV QRW QHFHVVDU\ WR FRQQHFW SDUWV WR WKH IUDPHV E\ PHDQV RI D VHSDUDWH
FRQGXFWRULIWKHUHSDUWVDUHILUPO\VHFXUHGDQGDUHLQJRRGPHWDOOLFFRQWDFWZLWKWKHFKDVVLV
(OHFWULFDOFRQGXFWLYLW\WRHDUWK
7RSUHYHQWWKHEXLOGXSRIHOHFWURVWDWLFFKDUJHVWKHWUXFNVKDOOKDYHDJRRGHOHFWULFDOFRQGXFWLYLW\IURP
DOOPHWDOSDUWVWRHDUWK7KLVUHTXLUHPHQWLVIXOILOOHGZKHQWKHUHVLVWDQFHEHWZHHQDOOPHWDOSDUWVRIWKH
WUXFNDQGWKHHDUWKPHDVXUHGLQDFFRUGDQFHZLWKFODXVHLVQRWH[FHHGLQJW
)RUSHGHVWULDQWUXFNVWKHXVHRIDQHDUWKLQJVWUDSLVVXIILFLHQW
%HOWV
7KHHOHFWULFDOUHVLVWDQFHRIDOOGULYHEHOWVVKDOOVDWLVI\WKHUHVSHFWLYHUHTXLUHPHQWVRI,62
RU,62
5HFLSURFDWLQJLQWHUQDOFRPEXVWLRQHQJLQHV
5HFLSURFDWLQJLQWHUQDOFRPEXVWLRQHQJLQHVVKDOOFRPSO\ZLWKSU(1
(OHFWULFDOLQVWDOODWLRQ
*HQHUDO
7KHHOHFWULFDO LQVWDOODWLRQ VKDOO FRPSO\ ZLWK WKH UHTXLUHPHQWV RI (1 RU (1
RU(1DQGWKHUHOHYDQWUHTXLUHPHQWVRI(1
7KH HOHFWULF LQVWDOODWLRQ VKDOO EH ELSRODU ZKHUH WKH SROHV DUH LQVXODWHG IURP WKH FKDVVLV ,7 V\VWHP
H[FHSWIRUWKHLQVXODWLRQPRQLWRULQJGHYLFHDQGLQWULQVLFDOO\VDIHW\FLUFXLWV
(OHFWULFDOHTXLSPHQW
*HQHUDO
(OHFWULFDOHTXLSPHQWVKDOOFRPSO\ZLWK(1
*DVGHWHFWLRQDQGUHVWULFWHGEUHDWKLQJHQFORVXUHV
)RU DSSOLFDWLRQ RQ (([ Q5 UHVWULFWHG EUHDWKLQJ HTXLSPHQW VSDUNLQJ LQ QRUPDO RSHUDWLRQ DQG ZLWK
WHPSHUDWXUH LQVLGH WKH HQFORVXUH H[FHHGLQJ WKH H[WHUQDO DPELHQW WHPSHUDWXUH E\ PRUH WKDQ WKH
WHPSHUDWXUHYDULDWLRQRI.WKHSUHVVXUHGURSWHVWRI(1VKDOOEHUHSODFHGZLWKDJDV
SHQHWUDWLRQ WHVW IRU HQFORVXUHV $ JDV GHWHFWLRQ V\VWHP FRQIRUPLQJ WR (1 DQG
(1 DQG LQFRUSRUDWLQJ D IRUFHG JDV WHVW WR FKHFN V\VWHP LQWHJULW\ VKDOO DOVR EH ILWWHG
7UXFNVWDUWXSVKDOORQO\EHSRVVLEOHZKHQLQWHJULW\LVFRQILUPHGE\WKHV\VWHP
(QFORVXUHVVKDOOEHFRQVWUXFWHGLQVXFKDZD\WRIXOILOWKHWHVWUHTXLUHPHQWVRIFODXVH
%6,
3DJH
(1
7KHJDVGHWHFWLRQV\VWHPVKDOOIXOILOWKHUHTXLUHPHQWVRIFDWHJRU\DVJLYHQLQ7DEOHRI
(1
$WOHDVWRQHJDVVHQVRUKHDGPXVWEHILWWHGDWWKHEDVHRIWKHWUXFNDQGVKDOOEHSURWHFWHG DJDLQVW
PHFKDQLFDOGDPDJH
$QDGGLWLRQDOJDVVHQVRUKHDGVKDOOEHILWWHGDWWKHWRSRIWKHWUXFNLQ
£ DSSOLFDWLRQVZLWKOLJKWHUWKDQDLUJDVHVYDSRXUV
DQGWRWUXFNVZLWK
£ HOHYDWLQJRSHUDWRUSRVLWLRQ
DQGRU
£ HOHFWULFDOHTXLSPHQWRQORDGKDQGOLQJGHYLFHV
7KH H[WHUQDO WHPSHUDWXUH RI WKH HQFORVXUH VKDOO EH PDLQWDLQHG LQ DFFRUGDQFH ZLWK $IWHU DQ
DXWRPDWLFFRQWUROOHGVWRSWKHHQFORVXUHVKDOOEHSXUJHGDWOHDVWWLPHVLWVYROXPHZLWKLQHUWJDVRU
FOHDQJDVEHIRUHWKHWUXFNLVUHVWDUWHG
7KHJDVGHWHFWLRQV\VWHPVKDOOSURYLGHDQDODUPDWWKHPD[LPXPRIORZHUH[SORVLRQOLPLW/(/
RI WKH FDOLEUDWLRQ JDV DQG WUXFNV VKDOO DXWRPDWLFDOO\ FRPH WR D FRQWUROOHG VWRS DW WKH PD[LPXP RI
/(/RIWKHFDOLEUDWLRQJDVUHSUHVHQWDWLYHIRUWKHJURXSLQJRIWKHWUXFN
3QHXPDWLFV\VWHPV
3QHXPDWLFV\VWHPVVKDOOIXOILOWKHVDPHUHTXLUHPHQWVDVJLYHQLQWKHUHOHYDQWSDUWRISU(1
&OXWFKHV
+\GUDXOLFFOXWFKHV
+\GUDXOLF FOXWFKHV WRUTXH FRQYHUWHUV K\GURVWDWLF WUDQVPLVVLRQ DQG RLOFRROHG FOXWFKHV VKDOO FRPSO\
ZLWKWKHUHTXLUHPHQWVIRUWKHVXUIDFHWHPSHUDWXUHDVJLYHQLQFODXVH
0HFKDQLFDOFOXWFKHV
0HFKDQLFDO FOXWFKHV VKDOO EH GHVLJQHG LQ VXFK D PDQQHU WKDW QR VSDUNV JHQHUDWHG E\ IULFWLRQ RU
LPSDFWDUHHPLWWHGXQGHUQRUPDORSHUDWLRQ7KHVXUIDFHWHPSHUDWXUHVKDOOFRQIRUPWR
(QJOLVKPHFKDQLFDOFOXWFK
)UHQFKDFFRXSOHPHQWPRELO
*HUPDQVFKDOWEDUHIRUPVFKOVVLJH.XSSOXQJ
%6,
3DJH
(1
)ULFWLRQFOXWFKHV
0DWHULDOVXVHGIRUIULFWLRQSDUWVRIWKHFOXWFKVKDOOEHDFRPELQDWLRQRIQRQPHWDOOLFPDWHULDODQGFDVW
LURQRUDPDWHULDOKDYLQJWKHVDPHIULFWLRQSURSHUWLHVDVFDVWLURQ1ROLJKWPHWDODOOR\VVKDOOEHXVHG
1RQPHWDOOLF FRPSRXQG VKDOO FRQWDLQ QRW PRUH WKDQ PHWDO E\ ZHLJKW ZKLFK VKDOO FRQVLVW RI
SRZGHURUWKLQZLUHVSRZGHUFKDUDFWHULVWLFGS mPDQGGSPD[ mPDQGWKHGLDPHWHU
IRUWKHWKLQZLUHVWKHQRPLQDOGLDPHWHURImPDQGWKHPD[LPXPGLDPHWHURImP
)ULFWLRQOLQLQJVVKDOOEHERQGHGRUSUHVVHGRQWRWKHFOXWFKEDQGSODWH+ROHVRUMRLQWVVKDOOQRWEHRQ
WKHIULFWLRQVXUIDFHRIWKHOLQLQJ
7KHWHPSHUDWXUHRIIULFWLRQOLQLQJVKDOOQRWUHDFKWKHFUXPEOLQJWHPSHUDWXUHJLYHQE\WKH
PDQXIDFWXUHU
%UDNHV
*HQHUDO
%UDNHVVKDOOFRPSO\ZLWKWKHUHTXLUHPHQWVIRUWKHVXUIDFHWHPSHUDWXUHDVJLYHQLQ
)ULFWLRQEUDNHV
0DWHULDOVXVHGIRUIULFWLRQSDUWVRIWKHEUDNHVVKDOOEHDFRPELQDWLRQRIQRQPHWDOOLFPDWHULDODQGFDVW
LURQRUDPDWHULDOKDYLQJWKHVDPHIULFWLRQSURSHUWLHVDVFDVWLURQ1ROLJKWPHWDODOOR\VVKDOOEHXVHG
1RQPHWDOOLF FRPSRXQGV VKDOO FRQWDLQ QRW PRUH WKDQ PHWDO E\ ZHLJKW ZKLFK VKDOO FRQVLVW RI
SRZGHURUWKLQZLUHVSRZGHUFKDUDFWHULVWLFGS mPDQGGSPD[ mPDQGWKHGLDPHWHU
IRUWKHWKLQZLUHVWKHQRPLQDOGLDPHWHURImPDQGWKHPD[LPXPGLDPHWHURImP
)ULFWLRQOLQLQJVVKDOOEHERQGHGRUSUHVVHGRQWRWKHEUDNHVKRHVRUSDGV+ROHVRUMRLQWVVKDOOQRWEH
RQWKHIULFWLRQVXUIDFHRIWKHOLQLQJ
7KHWHPSHUDWXUHRIIULFWLRQOLQLQJVKDOOQRWUHDFKWKHFUXPEOLQJWHPSHUDWXUHJLYHQE\WKH
PDQXIDFWXUHU
3DUNLQJEUDNHV
$FRXVWLFRUYLVXDOZDUQLQJGHYLFHVVKDOOEHXVHGWRLQGLFDWHWKDWWKHSDUNLQJEUDNHLVDSSOLHG
/RDGKDQGOLQJGHYLFH
$OOVXUIDFHVRIORDGKDQGOLQJGHYLFHVZKLFKKDYHRUPD\KDYHJURXQGRUORDGFRQWDFWVKDOOEHFRYHUHG
ZLWK FRSSHU FRSSHU ]LQF VWDLQOHVV VWHHO RU VLPLODU PDWHULDO RU QRQPHWDOOLF PDWHULDO HJUXEEHU RU
SODVWLF
+\GUDXOLFV\VWHP
7KH K\GUDXOLF V\VWHP VKDOO FRPSO\ ZLWK WKH UHTXLUHPHQWV IRU WKH VXUIDFH WHPSHUDWXUH DV JLYHQ LQ
FODXVH
%6,
3DJH
(1
7UXFNVIRUFRQIRUPLW\FDWHJRU\*
+RWVXUIDFH
7KHVDPHUHTXLUHPHQWVDSSO\DVJLYHQLQFODXVH
0HFKDQLFDOO\JHQHUDWHGVSDUNV
)RU URWDWLQJ SDUWV RU RWKHU SDUWV RI OLJKW PHWDO DOOR\V ZKLFK KDYH FRQWDFW WR IULFWLRQ RU LPSDFW WKH
SHUFHQWDJHRIPDVVDQGWKHLUFRPELQDWLRQVKDOOFRPSO\ZLWKFODXVHRI(1RUWKHVH
SDUWVVKDOOEHFRYHUHGLQVXFKDPDQQHUWRSUHYHQWLPSDFWRUIULFWLRQGXULQJIRUHVHHDEOHPDOIXQFWLRQ
5HVWULFWLRQ IRU RWKHU PDWHULDOV DUH JLYHQ LQ VSHFLILF UHTXLUHPHQWV IRU FOXWFKHV EUDNHV DQG ORDG
KDQGOLQJGHYLFHVFODXVHVDQG
&OHDUDQFHV
)RU FOHDUDQFHV WKH VDPH UHTXLUHPHQWV DSSO\ DV JLYHQ LQ FODXVH ,Q DGGLWLRQ H[SRVHG URWDWLQJ
SDUWVVKDOOEHSURWHFWHGDWOHDVWWRDGHJUHHRI,3VHHFODXVHRI(1
,JQLWLRQE\HOHFWURVWDWLFGLVFKDUJHV
7KHVDPHUHTXLUHPHQWVDSSO\DVJLYHQLQFODXVH
:KHHOVVKDOOKDYHDVXUIDFHUHVLVWDQFHZKLFKGRHVQRWH[FHHGWDWDUHODWLYHKXPLGLW\RIRU
W DW D UHODWLYH KXPLGLW\ RI DQG VKDOO EH PHDVXUHG LQ DFFRUGDQFH ZLWK FODXVH RI
(1$ 7KHVH UHTXLUHPHQWV GR QRW DSSO\ WR WUXFNV ZLWK D WUDYHO VSHHG QRW
H[FHHGLQJNPK
,QDGGLWLRQIRUSODVWLFPDWHULDOWKHIROORZLQJVKDOODSSO\
3ODVWLFPDWHULDOVPD\RQO\EHXVHGIRUH[WHUQDOO\DFFHVVLEOHSDUWVLIWKH\ZLOOQRWDOORZDSRVVLELOLW\RI
LJQLWLRQE\HOHFWURVWDWLFGLVFKDUJH7KLVFDQEHDFKLHYHGLI
£ WKHVXUIDFHUHVLVWDQFHGRHVQRWH[FHHGWE\DUHODWLYHKXPLGLW\RIRUWE\D
UHODWLYHKXPLGLW\RIDQGEHPHDVXUHGLQDFFRUGDQFHZLWKFODXVHRI
(1$
RU
£ WKH HOHFWURVWDWLFDOO\ FKDUJHDEOH VXUIDFH DUHD LV OLPLWHG WR WKH YDOXHV RI FP *URXS ,,$
DQG,,% RU FP *URXS ,,& 7KHVH YDOXHV PD\ EH PXOWLSOLHG E\ LI WKH H[SRVHG DUHDV RI
SODVWLFVDUHVXUURXQGHGE\FRQGXFWLYHHDUWKHGIUDPHV
RU
RU
£ IRUSODVWLFPDWHULDOZLWKLQVHUWHGPHWDOSODWHVZLWKDGLHOHFWULFVWUHQJWKEUHDNGRZQYROWDJHN9
PHDVXUHGLQDFFRUGDQFHZLWK,(&
%6,
3DJH
(1
5HFLSURFDWLQJLQWHUQDOFRPEXVWLRQHQJLQHV
5HFLSURFDWLQJLQWHUQDOFRPEXVWLRQHQJLQHVVKDOOFRPSO\ZLWKSU(1
(OHFWULFDOLQVWDOODWLRQ
*HQHUDO
)RU WKH HOHFWULFDO LQVWDOODWLRQ RI WUXFNV IRU FRQIRUPLW\ FDWHJRU\ * WKH VDPH UHTXLUHPHQWV DSSO\ DV
JLYHQLQFODXVH,QDGGLWLRQDQLQVXODWLRQPRQLWRULQJGHYLFHVKDOOEHSURYLGHGWRPDNHFRQWDFW
WR WKH FKDVVLV DQG WR LQGLFDWH FXUUHQW OHDNDJH )XUWKHUPRUH LI WKH LQVXODWLRQ UHVLVWDQFH RI WUXFN
EHWZHHQ OLYH SDUWV DQG WKH IUDPH LV OHVV WKDQ W LW VKDOO EH SRVVLEOH WR PDLQWDLQ WKH SDWK EHLQJ
VWHHUHGXQWLOWKHWUXFNLVEURXJKWWRDFRQWUROOHGVWRS
(OHFWULFDOHTXLSPHQW
(OHFWULFDODSSDUDWXVVKDOOIXOILOOWKHUHTXLUHPHQWVRI(1$DQGWKHUHTXLUHPHQWVRI
RQHRUPRUHRIWKHIROORZLQJVWDQGDUGV
(1RLOLPPHUVLRQ³R´
(1SUHVVXUL]HGDSSDUDWXV³S´
(1SRZGHUILOOLQJ³T´
(1IODPHSURRIHQFORVXUH³G´
(1LQFUHDVHGVDIHW\³H´
(1LQWULQVLFVDIHW\³L´
(1HQFDSVXODWLRQ³P´
(1LQWULQVLFDOO\VDIHV\VWHPV³L´
3QHXPDWLFV\VWHPV
7KHVDPHUHTXLUHPHQWVVKDOODSSO\DVJLYHQLQFODXVHLQFOXGLQJIRUHVHHDEOHPDOIXQFWLRQ
&OXWFKHV
+\GUDXOLFFOXWFKHV
7KH VDPH UHTXLUHPHQWV VKDOO DSSO\ DV JLYHQ LQ FODXVH WDNLQJ LQWR FRQVLGHUDWLRQ DQ\
IRUHVHHDEOHPDOIXQFWLRQ
0HFKDQLFDOFOXWFKHV
7KH VDPH UHTXLUHPHQWV VKDOO DSSO\ DV JLYHQ LQ FODXVH WDNLQJ LQWR FRQVLGHUDWLRQ DQ\
IRUHVHHDEOHPDOIXQFWLRQ
%6,
3DJH
(1
)ULFWLRQFOXWFKHV
7KHVHFOXWFKHVKDYHWRIXOILOWKHUHTXLUHPHQWVRIRQHRIWKHIROORZLQJDOWHUQDWLYHV
2LOSURWHFWHGFOXWFKHV
'XULQJDOORSHUDWLRQVWKHFOXWFKHVVKDOOEHPRLVWHQHGE\OXEULFDWLRQIOXLG,WVKDOOEHSRVVLEOHWRFKHFN
YLVXDOO\WKHOHYHORIWKHOXEULFDWLRQIOXLG
3UHVVXUL]HGFOXWFKHV
7KH FOXWFK HQFORVXUH VKDOO EH SUHVVXUL]HG ZLWK D SURWHFWLYH JDV ZLWK D SUHVVXUH KLJKHU WKDQ WKH
DWPRVSKHUHSUHVVXUH
6DIHW\GHYLFHVDQGGHYLFHVIRUPRQLWRULQJWKHIORZRURYHUSUHVVXUHRISURWHFWLYHJDVVKDOOEHSURYLGHG
WRHQVXUHWKDWWUXFNVZLWKSUHVVXUL]HGDSSDUDWXVFDQQRWEHRSHUDWHGLQKD]DUGRXVDUHDV
D XQWLO WKH\ KDYH EHHQ SXUJHG E\ D TXDQWLW\ RI SURWHFWLYH JDV DW OHDVW ILYH WLPHV WKH IUHH LQWHUQDO
YROXPHRIWKHDSSDUDWXVVXIILFLHQWWRUHGXFHWKHFRQFHQWUDWLRQRIDQ\IODPPDEOHJDVRUYDSRXU
EHORZ/(/
E LIWKHRYHUSUHVVXUHUHODWLYHWRWKHH[WHUQDOSUHVVXUHDWDQ\SRLQWZLWKLQWKHDSSDUDWXVGHFUHDVHV
EHORZ3DPEDU
)ODPHSURRIHQFORVXUH
7KHFOXWFKHQFORVXUHVKDOOZLWKVWDQG
£ WKHSUHVVXUHRIDQLQWHUQDOLJQLWLRQLQDFFRUGDQFHZLWKFODXVHRI(1DQG
£ WKHRYHUSUHVVXUHLQDFFRUGDQFHZLWKFODXVHRI(1DQG
£ SUHYHQWDIODPHWUDQVPLVVLRQLQDFFRUGDQFHZLWKFODXVHRI(1
7KHJDSEHWZHHQWKHFRPSRQHQWVRIWKHFOXWFKHQFORVXUHVKDOOFRPSO\ZLWKWKHGLPHQVLRQVDVVKRZQ
LQFODXVHDQGRI(1
%UDNHV
*HQHUDO
%UDNHV VKDOO FRPSO\ ZLWK WKH UHTXLUHPHQWV IRU WKH VXUIDFH WHPSHUDWXUH DV JLYHQ LQ FODXVH
)ULFWLRQEUDNHVDUHWREHVRGHVLJQHGWKDWQRLJQLWLRQKD]DUGFDQEHFDXVHGE\VSDUNV
%6,
3DJH
(1
)ULFWLRQEUDNHV
)ULFWLRQ EUDNHV VKDOO IXOILO WKH UHTXLUHPHQWV RI FODXVH DQG LQ DGGLWLRQ RQH RI WKH IROORZLQJ
DOWHUQDWLYHV
2LOSURWHFWHGEUDNHV
'XULQJDOORSHUDWLRQVWKHEUDNHVVKDOOEHPRLVWHQHGE\OXEULFDWLRQIOXLG,WVKDOOEHSRVVLEOHWRFKHFN
YLVXDOO\WKHOHYHORIWKHOXEULFDWLRQIOXLG
3UHVVXUL]HGEUDNHV
7KH EUDNH HQFORVXUH VKDOO EH SUHVVXUL]HG ZLWK D SURWHFWLYH JDV ZLWK D SUHVVXUH KLJKHU WKDQ WKH
DWPRVSKHUHSUHVVXUH
6DIHW\GHYLFHVDQGGHYLFHVIRUPRQLWRULQJWKHIORZRURYHUSUHVVXUHRISURWHFWLYHJDVVKDOOEHSURYLGHG
WRHQVXUHWKDWWUXFNVZLWKSUHVVXUL]HGDSSDUDWXVFDQQRWEHRSHUDWHGLQKD]DUGRXVDUHDV
D XQWLO WKH\ KDYH EHHQ SXUJHG E\ D TXDQWLW\ RI SURWHFWLYH JDV DW OHDVW ILYH WLPHV WKH IUHH LQWHUQDO
YROXPHRIWKHDSSDUDWXVVXIILFLHQWWRUHGXFHWKHFRQFHQWUDWLRQRIDQ\IODPPDEOHJDVRUYDSRXU
EHORZ/(/
E LIWKHRYHUSUHVVXUHUHODWLYHWRWKHH[WHUQDOSUHVVXUHDWDQ\SRLQWZLWKLQWKHDSSDUDWXVGHFUHDVHV
EHORZ3DPEDU
)ODPHSURRIHQFORVXUH
7KHEUDNHHQFORVXUHVKDOOZLWKVWDQG
£ WKHSUHVVXUHRIDQLQWHUQDOLJQLWLRQLQDFFRUGDQFHZLWKFODXVHRI(1DQG
£ WKHRYHUSUHVVXUHLQDFFRUGDQFHZLWKFODXVHRI(1DQG
£ SUHYHQWDIODPHWUDQVPLVVLRQLQDFFRUGDQFHZLWKFODXVHRI(1
7KHJDSEHWZHHQWKHFRPSRQHQWVRIWKHEUDNHHQFORVXUHVKDOOFRPSO\ZLWKWKHGLPHQVLRQVDVVKRZQ
LQFODXVHVDQGRI(1
$GGHGVDIHW\
7KHIROORZLQJUHTXLUHPHQWVVKDOOEHIXOILOOHG
0DWHULDOVXVHGIRUWKHIULFWLRQSDUWVRIWKHEUDNHVKDOOEHDFRPELQDWLRQRIDQRQPHWDOOLFPDWHULDODQG
FDVWLURQRUDPDWHULDOKDYLQJWKHVDPHIULFWLRQSURSHUWLHVDVFDVWLURQ1ROLJKWPHWDODOOR\VVKDOOEH
XVHG
%6,
3DJH
(1
1RQPHWDOOLFFRPSRXQGVVKDOOFRQWDLQQRPHWDOSDUWV
7KHV\VWHPVKDOODYRLGFRQWDFWEHWZHHQWKHEUDNHVKRHRUSDGRUWKHIULFWLRQEUDNHLQFDVHRIZRUQ
EUDNHOLQLQJRUD[LDOSOD\
7KH WUXFN VKDOO EH SURYLGHG ZLWK D FRQWURO V\VWHP WR SUHYHQW WKH VXUIDFH WHPSHUDWXUH RI WKH EUDNH
H[FHHGLQJ WKH GHVLJQHG 7FODVV DV VKRZQ LQ FODXVH 7KH WHPSHUDWXUH GHWHFWLRQ V\VWHP VKDOO
IXOILOWKHUHTXLUHPHQWVRIFDWHJRU\DVJLYHQLQ7DEOHRI(17KHFRQWUROV\VWHPLVQRW
QHFHVVDU\LILWLVSURYHQGXULQJWKHWHVWF\FOHVVHHWKDWWKHVXUIDFHWHPSHUDWXUHVRIWKHEUDNH
ZLOOQRWEHUHDFKHGWKHPD[LPXPVXUIDFHWHPSHUDWXUHLQDFFRUGDQFHZLWKFODXVH
,IDWKHUPRVHQVRULVXVHGLWVKDOOEHSRVLWLRQHGLQWKHEUDNHOLQLQJVDQGVKDOOQRWH[FHHGPPXQGHU
WKHIULFWLRQVXUIDFHZKHQQHZ
7KHWUXFNVKDOODXWRPDWLFDOO\FRPHWRDFRQWUROOHGVWRSLIWKHWHPSHUDWXUHRIWKHEUDNHOLQLQJLV.
EHORZWKHPD[LPXPWHPSHUDWXUHRIWKHEUDNHOLQLQJPHDVXUHGLQDFFRUGDQFHZLWKFODXVH
3DUNLQJEUDNHV
7UXFNVVKDOOEHSURYLGHGZLWKDV\VWHPWKDWSUHYHQWVIURPEHLQJVWDUWHGXQOHVVWKHSDUNLQJEUDNHLV
DSSOLHG$FRXVWLFRUVLJQDOZDUQLQJGHYLFHVVKDOOEHXVHGWRLQGLFDWHWKDWWKHSDUNLQJEUDNHLVDSSOLHG
/RDGKDQGOLQJGHYLFH
7KHUHTXLUHPHQWVDSSO\DVJLYHQLQFODXVH
+\GUDXOLFV\VWHP
7KHUHTXLUHPHQWVDSSO\DVJLYHQLQFODXVH
7UXFNVIRUFRQIRUPLW\FDWHJRU\'
+RWVXUIDFH
7KH PD[LPXP VXUIDFH WHPSHUDWXUH VKDOO QRW H[FHHG WKH LJQLWLRQ WHPSHUDWXUH RI WKH H[SORVLYH
DWPRVSKHUHLQZKLFKWKHWUXFNLVWREHXVHGIROORZLQJFODXVHRI(1
7UXFNV VKDOO EH DUUDQJHG DQG PDUNHG DFFRUGLQJ WR FODXVH DV D IXQFWLRQ RI LWV PD[LPXP VXUIDFH
WHPSHUDWXUHDQGVKDOOEHGHILQHGE\WKHDFWXDOPD[LPXPVXUIDFHWHPSHUDWXUH
7UXFNVVKDOOEHHLWKHUGHVLJQHGWRHQVXUHDVDIHRSHUDWLRQGXULQJQRUPDOXVHRUWKHLUV\VWHPVVKDOO
PRQLWRUWKHRSHUDWLRQDQGVKXWGRZQEHIRUHDGDQJHURXVVLWXDWLRQRFFXUV
0HFKDQLFDOO\JHQHUDWHGVSDUNVDQGFOHDUDQFHV
7KHVDPHUHTXLUHPHQWVDSSO\DVJLYHQLQFODXVH
5HFLSURFDWLQJLQWHUQDOFRPEXVWLRQHQJLQHV
5HFLSURFDWLQJLQWHUQDOFRPEXVWLRQHQJLQHVVKDOOFRQIRUPWRSU(1
%6,
3DJH
(1
(OHFWULFDOLQVWDOODWLRQ
*HQHUDO
7KHHOHFWULFDO LQVWDOODWLRQ VKDOO FRPSO\ ZLWK WKH UHTXLUHPHQWV RI (1 RU (1
RU (1 DQG WKH UHOHYDQW FODXVHV RI ,(& DQG ,(& ZKLFK
FRQFHUQLQJUHVVSURWHFWLRQWKHWHPSHUDWXUHOLPLWDWLRQVDQGWKHZLULQJV\VWHPV
(OHFWULFDOHTXLSPHQW
)RUWKHHOHFWULFDOHTXLSPHQWFRPSO\LQJZLWK(1WKHSURWHFWLRQIRUFRQGXFWLEOHGXVWVKDOO
EHDWOHDVW,3;
3QHXPDWLFV\VWHPV
3QHXPDWLFV\VWHPVVKDOOIXOILOWKHVDPHUHTXLUHPHQWVDVJLYHQLQWKHUHOHYDQWSDUWVRISU(1
&OXWFKHV
+\GUDXOLFFOXWFKHV
+\GUDXOLF FOXWFKHV WRUTXH FRQYHUWHUV K\GURVWDWLF WUDQVPLVVLRQ DQG RLOFRROHG FOXWFKHV VKDOO FRPSO\
ZLWKWKHUHTXLUHPHQWVIRUWKHVXUIDFHWHPSHUDWXUHDVJLYHQLQFODXVH
0HFKDQLFDOFOXWFKHV
7KHVDPHUHTXLUHPHQWVDSSO\DVJLYHQLQFODXVH
)ULFWLRQFOXWFKHV
7KH HQFORVXUHV RI WKH IULFWLRQ FOXWFKHV VKDOO EH GXVWSURWHFWHG ,3; FDWHJRU\ DFFRUGLQJ WR
(17KHURWDWLQJMRLQWVFDQEH,3;
127( 'HILQLWLRQRIFDWHJRU\DFFRUGLQJWR(1
(QFORVXUHV ZKHUH WKH QRUPDO ZRUNLQJ F\FOH RI WKH HTXLSPHQW FDXVHV UHGXFWLRQV LQ DLU SUHVVXUH ZLWKLQ
WKHHQFORVXUHEHORZWKDWRIWKHVXUURXQGLQJDLUHJGXHWRWKHUPDOF\FOLQJHIIHFWV
%UDNHV
*HQHUDO
%UDNHVVKDOOFRPSO\ZLWKWKHUHTXLUHPHQWVIRUWKHVXUIDFHWHPSHUDWXUHDVJLYHQLQFODXVH
)ULFWLRQEUDNHV
7KHHQFORVXUHVRIWKHIULFWLRQEUDNHVVKDOOEHGXVWSURWHFWHG,3;FDWHJRU\DFFRUGLQJWR
(1RUFRPSO\ZLWKFODXVH7KHURWDWLQJMRLQWVFDQEH,3;
3DUNLQJEUDNHV
6DPHUHTXLUHPHQWVDSSO\DVJLYHQLQFODXVH
%6,
3DJH
(1
/RDGKDQGOLQJGHYLFH
6DPHUHTXLUHPHQWVDSSO\DVJLYHQLQFODXVH
+\GUDXOLFV\VWHP
7KH K\GUDXOLF V\VWHP VKDOO FRPSO\ ZLWK WKH UHTXLUHPHQWV IRU WKH VXUIDFH WHPSHUDWXUH DV JLYHQ LQ
FODXVH
7UXFNVIRUFRQIRUPLW\FDWHJRU\'
+RWVXUIDFH
7KHVDPHUHTXLUHPHQWVDSSO\DVJLYHQLQFODXVH
0HFKDQLFDOO\JHQHUDWHGVSDUNVDQGFOHDUDQFHV
7KHVDPHUHTXLUHPHQWVVKDOODSSO\DVJLYHQLQFODXVHDQG
,JQLWLRQE\HOHFWURVWDWLFGLVFKDUJHV
7KHVDPHUHTXLUHPHQWVDSSO\DVJLYHQLQFODXVH
:KHHOVVKDOOKDYHDVXUIDFHUHVLVWDQFHZKLFKGRHVQRWH[FHHGWDWDUHODWLYHKXPLGLW\RIRU
W DW D UHODWLYH KXPLGLW\ RI DQG VKDOO EH PHDVXUHG LQ DFFRUGDQFH ZLWK FODXVH RI
(17KHVHUHTXLUHPHQWVGRQRWDSSO\WRWUXFNVZLWKDWUDYHOVSHHGQRWH[FHHGLQJNPK
,QDGGLWLRQIRUSODVWLFPDWHULDOWKHIROORZLQJVKDOODSSO\
3ODVWLFPDWHULDOVPD\RQO\EHXVHGIRUH[WHUQDOO\DFFHVVLEOHSDUWVLIWKH\ZLOOQRWDOORZDSRVVLELOLW\RI
LJQLWLRQE\HOHFWURVWDWLFGLVFKDUJH7KLVFDQEHDFKLHYHGLI
£ WKHVXUIDFHUHVLVWDQFHGRHVQRWH[FHHGWDWDUHODWLYHKXPLGLW\RIRUWDWDUHODWLYH
KXPLGLW\RIDQGEHPHDVXUHGLQDFFRUGDQFHZLWKFODXVHRI(1
RU
£ WKHHOHFWURVWDWLFDOO\FKDUJHDEOHVXUIDFHDUHDLVOLPLWHGWRWKHYDOXHVRIFP7KLVYDOXHPD\
EHPXOWLSOLHGE\LIWKHH[SRVHGDUHDVRISODVWLFVDUHVXUURXQGHGE\FRQGXFWLYHHDUWKHGIUDPHV
RU
£ LQVXODWLRQ UHVLVWDQFH W UHVLVWDQFH DJDLQVW HOHFWURVWDWLF GLVFKDUJH WR HDUWK WKURXJK RU
DFURVVWKHVXUIDFHRILQVXODWLRQPHDVXUHGE\WKHPHWKRGGHVFULEHGLQ,(&ZLWKDQ
HIIHFWLYHDUHDRIWKHFLUFXODUHOHFWURGHRIFP
RU
£ WKLFNQHVVPPRIWKHH[WHUQDOLQVXODWLRQRQPHWDOSDUWV([WHUQDOSODVWLFOD\HUVRIPPDQG
JUHDWHURQPHWDOSDUWVVXFKDVPHDVXUHPHQWSUREHVRUVLPLODUFRPSRQHQWVPDNHSURSDJDWLQJ
EUXVKGLVFKDUJHVXQOLNHO\WRRFFXU:KHQHYDOXDWLQJWKHPLQLPXPWKLFNQHVVRIWKHLQVXODWLRQWR
EHXVHGRUVSHFLILHGLWLVQHFHVVDU\WRDOORZIRUDQ\H[SHFWHGZHDUXQGHUQRUPDOXVDJH
RU
£ IRUSODVWLFPDWHULDOZLWKLQVHUWHGPHWDOSODWHVZLWKDGLHOHFWULFVWUHQJWKEUHDNGRZQYROWDJHN9
PHDVXUHGLQDFFRUGDQFHZLWK,(&
%6,
3DJH
(1
5HFLSURFDWLQJLQWHUQDOFRPEXVWLRQHQJLQHV
5HFLSURFDWLQJLQWHUQDOFRPEXVWLRQHQJLQHVVKDOOFRPSO\ZLWKSU(1
(OHFWULFDOLQVWDOODWLRQ
7KHVDPHUHTXLUHPHQWVVKDOODSSO\DVJLYHQLQFODXVH
)RUEDWWHULHVDQGPLFURVZLWFKHVWKHVDIHW\OHYHODVGHILQHGLQLVVXIILFLHQW
3QHXPDWLFV\VWHPV
7KHVDPHUHTXLUHPHQWVDVJLYHQLQFODXVHVKDOODSSO\
&OXWFKHV
7KHHQFORVXUHRIWKHIULFWLRQFOXWFKHVVKDOOFRPSO\ZLWKRQHRIWKHIROORZLQJDOWHUQDWLYHV
£ GXVWWLJKW,3;FDWHJRU\DFFRUGLQJWR(17KHURWDWLQJMRLQWVFDQEH,3;
£ RLOSURWHFWHGDFFRUGLQJWRFODXVH
£ SUHVVXUL]HGDFFRUGLQJWRFODXVH
£ IODPHSURRI DFFRUGLQJ WR FODXVH DQG DGGLWLRQDO GXVWWLJKW ,3; DFFRUGLQJ WR
(17KHURWDWLQJMRLQWVFDQEH,3;
)ULFWLRQEUDNHV
7KHHQFORVXUHRIWKHIULFWLRQEUDNHVVKDOOFRPSO\ZLWKRQHRIWKHIROORZLQJDOWHUQDWLYHV
£ GXVWWLJKW,3;FDWHJRU\DFFRUGLQJWR(17KHURWDWLQJMRLQWVFDQEH,3;
£ RLOSURWHFWHGDFFRUGLQJWRFODXVH
£ SUHVVXUL]HGDFFRUGLQJWRFODXVH
£ IODPHSURRI DFFRUGLQJ WR FODXVH DQG DGGLWLRQDO GXVWWLJKW ,3; DFFRUGLQJ WR
(17KHURWDWLQJMRLQWVFDQEH,3;
£ DGGHGVDIHW\DFFRUGLQJWRFODXVH
3DUNLQJEUDNHVORDGKDQGOLQJGHYLFHVDQGK\GUDXOLFV\VWHPV
7KHVDPHUHTXLUHPHQWVVKDOODSSO\DVJLYHQLQFODXVHVDQG
%6,
3DJH
(1
9HULILFDWLRQRIWKHVDIHW\UHTXLUHPHQWVDQGRUPHDVXUHV
*HQHUDO
7KH YHULILFDWLRQ SURFHGXUHV DUH UHTXLUHG LQ RUGHU WR HQVXUH WKDW WKH UHTXLUHPHQWV RI FODXVH DUH
IXOILOOHG
7HPSHUDWXUHPHDVXUHPHQW
*HQHUDO
7KHWHPSHUDWXUHPHDVXUHPHQWVRIWKHVXUIDFHDUHDRIWKHEUDNHVWKHFOXWFKHVWKHK\GUDXOLFV\VWHP
WKHPRWRUDQGWKHLQWHUQDOFRPEXVWLRQHQJLQHVKDOOEHWDNHQLQDFFRUGDQFHZLWKFODXVH
7HVWFRQGLWLRQV
7KH IROORZLQJ WHVW SURFHGXUH LV GHVFULEHG XQGHU WKH FRQGLWLRQ WKDW WKH WUXFN LV XVHG XQGHU QRUPDO
RSHUDWLQJFRQGLWLRQVVHHFODXVH
:KHQ RSHUDWLQJ FRQGLWLRQV GLIIHU IURP FODXVH WKH WHVW VKDOO EH FDUULHG RXW XQGHU WKHVH VSHFLDO
FRQGLWLRQV
7KHVXUIDFHWHPSHUDWXUHVKDOOEHPHDVXUHGE\PHDQVRIWKHUPDOVHQVRUVSODFHGRQWKRVHVXUIDFHV
ZKHUHKLJKHVWWHPSHUDWXUHVRFFXU
,QDGGLWLRQIRUDGGHGVDIHW\EUDNHVWKHWHPSHUDWXUHRIWKHEUDNHOLQLQJVKDOOEHPHDVXUHG
7HVWSURFHGXUHV
7HVWSURFHGXUHIRUDOOWUXFNVH[FOXGLQJWUDFWRUV
7UXFNVZLWKVHOISURSHOOHGGULYLQJSDUWDQGZLWKVHOISURSHOOHGOLIWLQJSRZHU
7KLVSURFHGXUHGRHVQRWLQFOXGHPDQXDOO\RSHUDWHGIXQFWLRQV
%6,
3DJH
(1
7KHWUXFNPXVWEHGULYHQRYHUDFLUFXLWJLYHQLQ)LJXUHDVIROORZV
)LJXUH²7HVWF\FOHIRUWUXFNV
D 7KHWHVWF\FOHVWDUWVDWSRLQW$IURPZKHUHWKHXQODGHQWUXFNVKDOOEHGULYHQEDFNZDUGVWR%LQD
VDIHPDQQHUDVIDVWDVSRVVLEOH
E 7KHXQODGHQWUXFNVKDOOEHGULYHQIRUZDUGDQGIXOO\DFFHOHUDWHGIURPVWDQGVWLOOWRLWVUDWHGVSHHG
DQGLPPHGLDWHO\ EUDNHG E\ WKH VHUYLFH EUDNH WLOO WKH WUXFN FRPHV WR D FRQWUROOHG VWRS WR & 7KH
GLVWDQFHWRLWVUDWHGVSHHGDQGGHFFHOHUDWLQJXQWLODVWRSGLIIHUVIURPRQHW\SHRIWKHWUXFNWRWKH
RWKHU7KLVGLVWDQFHVKDOOEHQRWOHVVWKDQP
F 7KHXQODGHQWUXFNVKDOOEHGULYHQIRUZDUGIURP&WR'LQDVDIHPDQQHUDQGIURP'WR$XQGHU
QRUPDORSHUDWLQJFRQGLWLRQVDVIDVWDVSRVVLEOH
G 7KHFLUFXLWVKDOOEHUHSHDWHGZLWKDODGHQWUXFNLQWKHDERYHGHVFULEHGFRQGLWLRQVE\SLFNLQJXS
WKHORDGLQSRLQW$7KHORDGVKDOOEHRILWVUDWHGFDSDFLW\DQGDXWRPDWLFDOO\ORFNHG$IWHU
WKHWUXFNLVFRPLQJWRDVWRSDW$WKHORDGVKRXOGEHOLIWHGZLWKLWVPD[LPXPUDWHGVSHHGWRLWV
PD[LPXPKHLJKWDQGWKHQORZHUHGDQGOHIWDW$)XUWKHUIXQFWLRQVHJWUXFNVZLWK
£ DPDVWDQGRUIRUNDUPVUHWUDFWDEOHRUZLWK
£ VSHFLDODWWDFKPHQWV
ZKHUHWKHVHIXQFWLRQVDUHLQLWLDWHGE\VHYHUDOHQJLQHVPRWRUVWKHVHRSHUDWLRQVVKDOOEHLQFOXGHG
LQWKHWHVWSURFHGXUH
7KHGHVFULEHGSURFHGXUHLVHTXDOWRRQHF\FOH
%6,
3DJH
(1
7UXFNVPDQXDOO\GULYHQDQGZLWKOLIWLQJPDQXDOO\
)RUWKHVHWUXFNVQRWHVWLVUHTXLUHGDQGQHHGHG
7UXFNVZLWKVHOISURSHOOHGGULYLQJSDUWDQGZLWKOLIWLQJPDQXDOO\
7KH VDPH WHVW SURFHGXUH DV JLYHQ LQ FODXVH VKDOO DSSO\ EXW QR OLIWLQJ RI WKH ORDG DIWHU
FRPLQJWRDVWRSDW$
,QVWHDGRIOLIWLQJWKHWUXFNVKDOOUHVWDWSRLQW$IRUV
7UXFNVPDQXDOO\GULYHQDQGVHOISURSHOOHGOLIWLQJSRZHU
1RWHVWF\FOH LV QHHGHG IRU WKH GULYLQJ 7KH ORDG VKDOO EH OLIWHG ZLWK LWV PD[LPXP UDWHG VSHHG WR LWV
PD[LPXPKHLJKWDQGWKHQORZHUHG$IWHUDZDLWLQJWLPHRIVWKHOLIWLQJF\FOHVKDOOEHUHSHDWHG
7HVWSURFHGXUHIRUWUDFWRUV
7KHWUDFWRUPXVWEHGULYHQRYHUDFLUFXLWJLYHQLQ)LJXUHDVIROORZV
)LJXUH²7HVWF\FOHIRUWUDFWRUV
D 7KHWHVWF\FOHVWDUWVDWSRLQW%IURPZKHUHWKHWUDFWRUZLWKRXWWUDLOHUVKDOOEHGULYHQIRUZDUGDQG
IXOO\DFFHOHUDWHGIURPVWDQGVWLOOWRLWVUDWHGVSHHGDQGLPPHGLDWHO\EUDNHGE\WKHVHUYLFHEUDNHWLOO
WKHWUDFWRUFRPHVWRDFRQWUROOHGVWRSWR&7KHGLVWDQFHWRLWVUDWHGVSHHGDQGGHFHOHUDWLQJXQWLO
DVWRSGLIIHUVIURPRQHW\SHRIWKHWUDFWRUWRWKHRWKHU
E 7KHWUDFWRUZLWKRXWWUDLOHUVKDOOEHGULYHQIRUZDUGIURP&WR'LQDVDIHPDQQHUDQGIURP'WR$
XQGHUQRUPDORSHUDWLQJFRQGLWLRQVDVIDVWDVSRVVLEOH
F 7KH WUDFWRU ZLWKRXW WUDLOHU VKDOO EH GULYHQ EDFNZDUG IURP $ WR % LQ D VDIH PDQQHU DV IDVW DV
SRVVLEOH
G 7KH FLUFXLW VKDOO EH UHSHDWHG ZLWK WKH WUDFWRU FRXSOHG ZLWK D WUDLOHU LQ WKH DERYH GHVFULEHG
FRQGLWLRQVEXWLQWUDYHOOLQJIURP$WR%LQIRUZDUGGLUHFWLRQ7KHORDGRIWKHWUDLOHUVKDOOEH
RIWKHSXOOEDURIWKHWUDFWRUDVGHILQHGLQSU(1$IWHUWKHWUXFNLVFRPLQJWRDVWRSDW%WKH
WUDLOHUVKRXOGEHGLVFRQQHFWHGIURPWKHWUDFWRU
7KHGHVFULEHGSURFHGXUHLVHTXDOWRRQHF\FOH
%6,
3DJH
(1
0HDVXUHPHQWV
0HDVXUHPHQWVRIWHPSHUDWXUHVKDOOEHWDNHQDIWHUHYHU\WHVWF\FOHVDVGHVFULEHGLQ
£ FODXVHDWSRLQW$DIWHUDUULYLQJZLWKWKHODGHQWUXFNDQGEHIRUHOLIWLQJWKHORDGRU
£ FODXVHDWSRLQW$DIWHUDUULYLQJZLWKWKHWUXFNODGHQRU
£ FODXVHLPPHGLDWHO\DIWHUWKHORZHULQJRIWKHORDGRU
£ FODXVHDWSRLQW%DIWHUDUULYLQJZLWKWKHWUDFWRUFRQQHFWZLWKWKHWUDLOHU
7KHWHVWF\FOHVKDOOEHFRQWLQXHGGLUHFWO\DIWHUWKHWHPSHUDWXUHVDUHUHFRUGHG
7KHVHF\FOHVVKDOOEHFRQWLQXHGIRUWLPHVXQOHVVWKHWHPSHUDWXUHVKDYHVWDELOL]HGE\PRUHWKDQ
.K YDOXH WR EH UHFRUGHG RU DQ RYHUKHDWLQJ GHYLFH KDV EHHQ DFWLYDWHG EHIRUH WKH VXUIDFH
WHPSHUDWXUH DV GHVFULEHG LQ FODXVH DQG IRU *WUXFNV DQG FODXVH DQG IRU
'WUXFNVLVUHDFKHG,QWKDWFDVHDGGLWLRQDOPHDVXUHPHQWVKDOOEHPDGHXQWLOWKHWHPSHUDWXUHVRIDQ\
SDUWDUHGHFUHDVLQJ
)RU DGGHG VDIHW\ EUDNHV DVVHVVPHQW VKDOO EH PDGH IRU WKH FRUUHODWLRQ EHWZHHQ WKH VXUIDFH
WHPSHUDWXUHRIWKHEUDNHGUXPDQGWKHWHPSHUDWXUHRIWKHEUDNHOLQLQJV
7HVWUHVXOWV
7KH WUXFN KDV SDVVHG LWV WHVWV LI WKH WHPSHUDWXUHV PHDVXUHG DQG FRUUHFWHG IRU DQ DPELHQW
WHPSHUDWXUH RI & GR QRW H[FHHG WKH PD[LPXP VXUIDFH WHPSHUDWXUH DFFRUGLQJ FODXVH IRU
*WUXFNV DQG FODXVH IRU 'WUXFNV RU DQ RYHUKHDWLQJ GHYLFH KDV EHHQ DFWLYDWHG ,W LV QRW
QHFHVVDU\WRPHDVXUHWKHVXUIDFHWHPSHUDWXUHVRIK\GUDXOLFV\VWHPVRQWUXFNVFODVVLILHG77DQG
7
:KHQ DGGHG VDIHW\ EUDNHV DUH EHLQJ XVHG WKHVH EUDNHV KDYH SDVVHG WKH WHVW LI WKH WHPSHUDWXUH
PRQLWRULQJV\VWHPVKXWGRZQWKHWUXFNDWWKHWHPSHUDWXUHOHYHOJLYHQLQFODXVH
(DUWKLQJRIWUXFNV
$WUXFNVKDOOEHPHDVXUHGWRHQVXUHWKDWLWKDVVXIILFLHQWHDUWKLQJ7KHWUXFNLVPRYHGRQWRDPHWDOOLF
FRQGXFWLYH WHVW SODWH ZKHUH WKH UHVLVWDQFH EHWZHHQ DOO PHWDO SDUWV RI WKH WUXFN DQG WKH PHWDOOLF
FRQGXFWLYHWHVWSODWHLVPHDVXUHG7KHPHDVXULQJSRLQWRQHLWKHUPHWDOOLFSDUWRIWKHWUXFNDQGW\UHVRU
HDUWKLQJ VWUDS XVHG IRU HDUWKLQJ QHHG WR EH WKRURXJKO\ FOHDQHG IURP UXVW JUHDVH SDLQW DQG RWKHU
REVWUXFWLQJ VXEVWDQFHV 7KH LQVXODWLRQ SODWHV EHORZ WKH VWHHO SODWH VKDOO KDYH D UHVLVWDQFH RI PRUH
WKDQWDQGVKDOOH[WHQGDWOHDVWPPRYHUWKHHGJHVRIWKHVWHHOSODWH
$ WHVWLQJ YROWDJH RI 9 GF VKRXOG EH XVHG LI WKH UHVLVWDQFH LV EHORZ RU HTXDO WR W DQG D
WHVWLQJYROWDJHRI9GFKDVWREHXVHGLIWKHUHVLVWDQFHLVPRUHWKDQW$OOPHDVXUHPHQWV
VKDOOEHWDNHQXQGHUDUHODWLYHKXPLGLW\EHORZ
7KXVWKHGHWHUPLQHGFRQGXFWLYHUHVLVWDQFHVKDOOQRWH[FHHGW
%6,
3DJH
(1
*DVSHQHWUDWLRQWHVW
7KH H[WHUQDO WHPSHUDWXUH RI HOHFWULFDO HTXLSPHQW VKDOO QRW GHFUHDVH E\ PRUH WKDQ WKH WHPSHUDWXUH
YDULDWLRQRI.DVGHILQHGLQFODXVHDRISU(1IROORZLQJWKHFRQFOXVLRQRIWHVWSURFHGXUH
DQGWKHFRPPHQFHPHQWRIWKHJDVSHQHWUDWLRQWHVW
7HVWFRQGLWLRQV
7KH HTXLSPHQW VKDOO EH SODFHG LQ D JDV WHVW FKDPEHU VHH )LJXUH 7KH FKDPEHU VKDOO EH
DSSURSULDWHO\ VLWHG DQG ILWWHG ZLWK D EORZRXW SDQHO WR VDIHO\ UHOLHYH SUHVVXUH LQ WKH HYHQW RI DQ
H[SORVLRQ*DVLQMHFWRUSLSHVDWULJKWDQJOHVWRHDFKRWKHUDVLOOXVWUDWHGVKDOOEH SURYLGHG WR HQDEOH
JDV WR EH LQMHFWHG IURP HDFK RI IRXU GLIIHUHQW GLUHFWLRQV WRZDUGV WKH HTXLSPHQW XQGHU WHVW 7KH
IODPPDEOHWHVWJDVVKDOOEHWKHFDOLEUDWLRQJDVVHOHFWHG
$OOHQFORVXUHVXQGHUWHVWVKDOOEHILWWHGZLWKDFDOLEUDWHGJDVVHQVRULQVLGHWKHHQFORVXUH$GGLWLRQDOO\
D JDV VHQVRU VKDOO EH SRVLWLRQHG DV FORVH DV SRVVLEOH WR WKH VHQVRU RQ WKH WUXFN WR PRQLWRU WKH
DPELHQW DWPRVSKHUH $OO JDV VHQVRUV VKDOO EH ZLUHG WR D GDWD ORJJLQJ V\VWHP WKDW KDV D SULQWLQJ
IDFLOLW\WRSURGXFHDSHUPDQHQWUHFRUGRIWKHWHVWUHVXOWV
127( *DVGHWHFWLRQV\VWHPVXVHGIRUWKLVWHVWPXVWEHFRPSDWLEOHZLWKWKHW\SHRIJDVLQYROYHGDQGVKDOOQRW
VLJQLILFDQWO\ LQIOXHQFH UHVXOWV E\ UHGXFLQJ IUHH YROXPH LQVLGH HQFORVXUH FRQVXPLQJ JDV FUHDWLQJ
OHDNDJHLQVLGHHQFORVXUHV
%6,
3DJH
(1
)LJXUH²([DPSOHRIWHVWFKDPEHU
,WHP 'HVFULSWLRQ
*DVFRQWUROYDOYHVRIWHVWFKDPEHU ) )URQW
% %DFN
/ /HIW
5 5LJKW
3URSDQHJDVF\OLQGHU
7HVWJDVERWWOH
&DOLEUDWLRQXQLW
6LJQDODPSOLILHU
$PELHQWDWPRVSKHUHJDVVHQVRU
*DVVHQVRUV
6LJQDOFDEOHIURPXQLWWRFRPSXWHUWHUPLQDOJLYLQJVKXWGRZQ
%ORZRXWSDQHOV
*DVSLSHVZLWKHTXDOO\VSDFHGKROHV
7HVWFKDPEHUGRRUV
5RRIFRYHU
%6,
3DJH
(1
7HVWSURFHGXUHDQGPHDVXUHPHQW
7KHWHVWVKDOOEHFDUULHGRXWE\LQMHFWLQJWKHWHVWJDVIURPHDFKRIWKHIRXUJDVSLSHVLQWXUQDQGILQDOO\
IURPDOOIRXUWRJHWKHU'XULQJHDFKRIWKHVHILYHWHVWVWKHIROORZLQJGDWDVKDOOEHUHFRUGHG
£ 7KHWLPHIURPWKHVWDUWRILQMHFWLRQWRWKHPRPHQWZKHQWKHJDVGHWHFWRURQWKHWUXFNLWVHOIWULSV
DQGDQDODUPLVVRXQGHG
£ 7KHJDVFRQFHQWUDWLRQZLWKLQWKHHQFORVXUHVDQGWKHDWPRVSKHUHIURPWKHVWDUWRIWKHWHVWXSWR
VDIWHUWKHVKXWGRZQKDVRFFXUUHG
7HVWUHVXOWV
7KHHQFORVXUHVKDOOEHGHHPHGWRKDYHSDVVHGWKHWHVWSURYLGHGWKDWDWQRWLPHGXULQJHDFKRIWKH
ILYHWHVWVWKHJDVFRQFHQWUDWLRQLQVLGHDQHQFORVXUHUHDFKHVRUH[FHHGVWKH/(/ZLWKLQWKHVHFRQG
FRQWUROSHULRGIROORZLQJVKXWGRZQ
9HULILFDWLRQDQGWHVWIRUSUHVVXUL]HGHQFORVXUHV
7KHW\SHWHVWVVKDOOEHFDUULHGRXWRQDQHQFORVXUHLQWKHIROORZLQJVHTXHQFH
£ 2YHUSUHVVXUHWHVW
£ 3XUJLQJWHVW
£ 9HULILFDWLRQRIPLQLPXPRYHUSUHVVXUH
2YHUSUHVVXUHWHVW
7KLVWHVWVKDOOEHFDUULHGRXWLQDFFRUGDQFHZLWKFODXVHRI(1
3XUJLQJWHVW
7KLVWHVWVKDOOEHFDUULHGRXWLQDFFRUGDQFHZLWKFODXVHRI(1
9HULILFDWLRQRIPLQLPXPRYHUSUHVVXUH
7KLVWHVWVKDOOEHFDUULHGRXWLQDFFRUGDQFHZLWKFODXVHRI(1
,QIRUPDWLRQIRUXVH
,QVWUXFWLRQKDQGERRN
,Q DGGLWLRQ WR WKH LQVWUXFWLRQ KDQGERRN WKH PDQXIDFWXUHU VKDOO IXUWKHUPRUH SURYLGH GRFXPHQWV
GHWDLOLQJ DOO PDLQWHQDQFH UHTXLUHPHQWV RI WKH WUXFN FRYHUHG E\ WKLV VWDQGDUG DQG LGHQWLI\LQJ DQ\
FRQGLWLRQVZKLFKLPSRVHDOLPLWDWLRQRQWKHXVDJHRIWKHWUXFN
%6,
3DJH
(1
,QWHQGHG DQG SURKLELWHG XVHV RI WKH WUXFN DQG DWWDFKPHQWV LQFOXGLQJ WKRVH UHODWLQJ WR KD]DUGRXV
DWPRVSKHUHV
£ )XQFWLRQRIRSHUDWLQJFRQWUROVDQGGLVSOD\V
£ 'DLO\FKHFNVEHIRUHSXWWLQJWKHWUXFNLQWRRSHUDWLRQ
£ ,QVWUXFWLRQVIRUVWDUWLQJGULYLQJDQGVWRSSLQJWKHWUXFN
£ ,QVWUXFWLRQVIRUKDQGOLQJORDGV
£ ,QVWUXFWLRQVZKHQRSHUDWLQJRQDJUDGLHQW
£ :DUQLQJRIUHVLGXDOULVNVGXULQJWKHXVHRIWKHWUXFNDQGLWVDWWDFKPHQWV
£ &OLPDWLFFRQGLWLRQVLQZKLFKWKHWUXFNLVGHVLJQHGWRRSHUDWH
£ 6SHFLILFDWLRQRIDSSURYHGEDWWHULHVDQGEDWWHU\FKDUJHUV
£ 3URFHGXUHIRUVDIHKDQGOLQJRIEDWWHULHVLQFOXGLQJLQVWDOODWLRQUHPRYDODQGVHFXUHPRXQWLQJRQ
WKHWUXFN
£ 6SHFLDOUHTXLUHPHQWVRIWUDQVSRUWLQJ
£ 7UDLQLQJDQGTXDOLILFDWLRQVIRUVHUYLFHDQGPDLQWHQDQFHVWDII
£ 6DIHSURFHGXUHIRUWKHLGHQWLILFDWLRQDQGGHWHFWLRQRIIDXOWV
£ 7\SHDQGIUHTXHQF\RILQVSHFWLRQVDQGPDLQWHQDQFHRSHUDWLRQVHJ
à JHQHUDOPDLQWHQDQFHDQGH[WHUQDOFOHDQOLQHVVRIWKHWUXFN
à URWDWLQJPHFKDQLFDOHTXLSPHQWIRUVHFXULW\DQGIUHHGRPIURPFRQWDFWZLWKVWDWLRQDU\SDUWV
à IDQEHOWIRUFRQGLWLRQDQGWLJKWQHVV
à HOHFWULFDOHTXLSPHQWIRUGDPDJHDQGGHWHULRUDWLRQ
à VHQVRUVLQVKXWGRZQV\VWHPVIRURSHUDWLRQDWVHWOLPLWV
à IDVWHQHUVDQGMRLQWVIRUWLJKWQHVVDQGVHFXULW\
à HOHFWULFDOFRQQHFWLRQVIRUVHFXULW\
à IOH[LEOHSLSHVUHSODFHLIGDPDJHG
à UHSODFHPHQWDQGGXUDELOLW\RIZHDUSDUWV
à LQIRUPDWLRQLQWKHXVHUORJERRN
à W\UHVUROOHUVDQGHDUWKLQJVWUDSIRUFRQGXFWLYHUHVLVWDQFH
à EUDNHOLQLQJIRUZHDURXW
à VHDWDQGQRQPHWDOOLFFRYHUVIRUVXUIDFHUHVLVWDQFH
%6,
3DJH
(1
à DWWDFKPHQWUHSODFHGLIWKHFRYHUWKLFNQHVVLVEHORZPP
à UHSODFHPHQWDQGGXUDELOLW\RIZHDUSDUWV
à LQIRUPDWLRQLQWKHXVHUORJERRN
7KHXVHULVUHFRPPHQGHGWRHVWDEOLVKDPDLQWHQDQFHORJWRUHFRUGGHWDLOVRIWKHVHFKHFNV
£ 8VHRIDSSURYHGVSDUHSDUWV
£ 'UDZLQJVDQGGLDJUDPVQHFHVVDU\IRUWUXFNVHUYLFLQJDQGPDLQWHQDQFH
£ 3URFHGXUHIRUWUXFNUHDVVHPEO\DQGPRXQWLQJRIDWWDFKPHQWV
£ )XQFWLRQDOWHVWVRQFRPSOHWLRQRIFRPPLVVLRQLQJ
£ 3URFHGXUHIRUUHWULHYDORIGHIHFWLYHWUXFNV
£ ,QVWUXFWLRQVIRUSURORQJHGVKXWGRZQDQGVWRUDJHRIWUXFNV
0LQLPXPPDUNLQJ
7KHLQIRUPDWLRQSODWHVKDOOFRQVLVWRI
£ 1DPHDQGDGGUHVVRIWKHPDQXIDFWXUHURUWKHDXWKRUL]HGUHSUHVHQWDWLYH
£ 'HVLJQDWLRQRIVHULHVRUW\SH
£ 6HULDOQXPEHUDQG\HDURIPDQXIDFWXUH
£ 8QODGHQ PDVV RI WKH WUXFN LQ ZRUNLQJ RUGHU ZLWKRXW UHPRYDEOH DWWDFKPHQWV DQG EDWWHU\ IRU
EDWWHU\SRZHUHGWUXFNVEXWZLWKIRUNDUPVRULQWHJUDODWWDFKPHQWV7KHPDVVPD\YDU\IURPWKH
ILJXUHVKRZQE\XSWR
£ 5DWHGFDSDFLW\
£ $FWXDOFDSDFLW\DWPD[LPXPOLIWKHLJKWZLWKORDGFHQWUHGLVWDQFH
£ $FWXDOFDSDFLW\DWRWKHUOLIWKHLJKWVDQGORDGFHQWUHGLVWDQFHVLIDSSOLFDEOH
£ $FWXDO FDSDFLW\ ZLWK HDFK UHPRYDEOH DWWDFKPHQW ILWWHG DW WKH PDQXIDFWXUHU
V DXWKRUL]HG OLIW
KHLJKWVDQGORDGFHQWUHV
£ 2QEDWWHU\SRZHUHGWUXFNVWKHDXWKRUL]HGPD[LPXPDQGPLQLPXPEDWWHU\PDVVDQGWKHV\VWHP
YROWDJH
£ 7KHQRPLQDOSRZHUH[SUHVVHGLQN:
£ &RQIRUPLW\FDWHJRU\
£ 7KHVSHFLILFPDUNLQJRIH[SORVLRQSURWHFWLRQ IROORZLQJE\WKHV\PERORIWKHHTXLSPHQWJURXS
DQGFDWHJRU\
£ IRU HTXLSPHQWJURXS ,, WKH OHWWHU ³*´ FRQFHUQLQJ H[SORVLYH DWPRVSKHUHV FDXVHG E\ JDVHV
YDSRXUVRUPLVWV
DQGRU
WKHOHWWHU³'´FRQFHUQLQJH[SORVLYHDWPRVSKHUHVFDXVHGE\GXVW
%6,
3DJH
(1
£ 7HPSHUDWXUH FODVV WKH JURXS ,, WUXFN VKDOO EH PDUNHG DV D IXQFWLRQ RI LWV PD[LPXP VXUIDFH
WHPSHUDWXUHDQGVKDOOEHHLWKHU
£ FODVVLILHGLQDWHPSHUDWXUHFODVVJLYHQLQ7DEOHIRUWUXFNW\SH*
£ RUGHILQHGE\WKHDFWXDOPD[LPXPVXUIDFHWHPSHUDWXUHIRUWUXFNW\SH*RU'
£ /HJDOO\UHTXLUHGPDUNLQJV
7KHDFWXDOFDSDFLWLHVVKDOOEHHDVLO\UHDGDEOHE\WKHRSHUDWRULQKLVQRUPDORSHUDWLQJSRVLWLRQ
%6,
3DJH
(1
$QQH[$LQIRUPDWLYH
5HODWLRQEHWZHHQWKHFODVVLILFDWLRQRI]RQHVDQGWKHLUFRQIRUPLW\
FDWHJRULHV
7KHGHILQLWLRQVRI]RQHVDUHJLYHQLQFODXVHDQGRI(1
7DEOH²=RQHVDQGFDWHJRULHVIRUJDVYDSRXUDQGPLVW
$UHD&ODVVLILFDWLRQ 'LUHFWLYH(&
JDVYDSRXUPLVW *URXS,,7UXFN&ODVVLILFDWLRQ
]RQH FDWHJRU\*
]RQH FDWHJRU\*
7DEOH²=RQHVDQGFDWHJRULHVIRUGXVW
$UHD&ODVVLILFDWLRQ 'LUHFWLYH(&
GXVW *URXS,,7UXFN&ODVVLILFDWLRQ
]RQH FDWHJRU\'
]RQH FDWHJRU\'
%6,
3DJH
(1
$QQH[=$LQIRUPDWLYH
5HODWLRQVKLSRIWKLV(XURSHDQ6WDQGDUGZLWK(8'LUHFWLYHV
7KLV (XURSHDQ 6WDQGDUG KDV EHHQ SUHSDUHG E\ &(1 7HFKQLFDO &RPPLWWHH &(17& ,QGXVWULDO
7UXFNVXQGHUDPDQGDWHJLYHQWR&(1E\WKH(XURSHDQ&RPPLVVLRQDQGWKH(XURSHDQ)UHH7UDGH
$VVRFLDWLRQDQGVXSSRUWVHVVHQWLDOUHTXLUHPHQWVRI(8'LUHFWLYHV DQG
:$51,1* 2WKHU UHTXLUHPHQWV DQG RWKHU (8 'LUHFWLYHV PD\ EH DSSOLFDEOH WR WKH SURGXFWV IDOOLQJ
ZLWKLQWKHVFRSHRIWKLVVWDQGDUG
7KHFODXVHV RI WKLV VWDQGDUG DUH OLNHO\ WR VXSSRUW UHTXLUHPHQWV RI 'LUHFWLYHV
DQG
&RPSOLDQFH ZLWK WKLV VWDQGDUG SURYLGHV RQH PHDQV RI FRQIRUPLQJ ZLWK WKH VSHFLILF HVVHQWLDO
UHTXLUHPHQWVRIWKH'LUHFWLYHFRQFHUQHGDQGDVVRFLDWHG()7$UHJXODWLRQV
%6,
blank
BS EN |
|
1755:2000 |
|
|
|
|
|
|
BSI Ð British Standards Institution
|
|
|
|
|
|
| BSI is the independent national body responsible for preparing British Standards. It
|
| presents the UK view on standards in Europe and at the international level. It is
| incorporated by Royal Charter.
|
|
| Revisions
|
|
| British Standards are updated by amendment or revision. Users of British Standards
|
| should make sure that they possess the latest amendments or editions.
|
|
| It is the constant aim of BSI to improve the quality of our products and services. We
|
| would be grateful if anyone finding an inaccuracy or ambiguity while using this
| British Standard would inform the Secretary of the technical committee responsible,
|
| the identity of which can be found on the inside front cover. Tel: 020 8996 9000.
|
| Fax: 020 8996 7400.
|
|
| BSI offers members an individual updating service called PLUS which ensures that
|
| subscribers automatically receive the latest editions of standards.
|
|
| Buying standards
|
| Orders for all BSI, international and foreign standards publications should be
|
| addressed to Customer Services. Tel: 020 8996 9001. Fax: 020 8996 7001.
|
|
| In response to orders for international standards, it is BSI policy to supply the BSI
|
| implementation of those that have been published as British Standards, unless
|
| otherwise requested.
|
|
| Information on standards
|
| BSI provides a wide range of information on national, European and international
|
| standards through its Library and its Technical Help to Exporters Service. Various
|
| BSI electronic information services are also available which give details on all its
|
| products and services. Contact the Information Centre. Tel: 020 8996 7111.
|
| Fax: 020 8996 7048.
|
|
| Subscribing members of BSI are kept up to date with standards developments and
| receive substantial discounts on the purchase price of standards. For details of
|
| these and other benefits contact Membership Administration. Tel: 020 8996 7002.
|
| Fax: 020 8996 7001.
|
|
| Copyright
|
|
| Copyright subsists in all BSI publications. BSI also holds the copyright, in the UK, of
|
| the publications of the international standardization bodies. Except as permitted
| under the Copyright, Designs and Patents Act 1988 no extract may be reproduced,
|
| stored in a retrieval system or transmitted in any form or by any means ± electronic,
|
| photocopying, recording or otherwise ± without prior written permission from BSI.
|
|
| This does not preclude the free use, in the course of implementing the standard, of
|
| necessary details such as symbols, and size, type or grade designations. If these
|
| details are to be used for any other purpose than implementation then the prior
| written permission of BSI must be obtained.
|
|
| If permission is granted, the terms may include royalty payments or a licensing
|
| agreement. Details and advice can be obtained from the Copyright Manager.
|
| Tel: 020 8996 7070.
|
|
|
|
|
|
|
|
|
BSI |
|
389 Chiswick High Road |
|
London |
|
W4 4AL |
|
|
|
|
|
|