/,9,
2SHUDWLQJLQVWUXFWLRQVDQGZDUQLQJV
VFUHZVRIWKHOLPLWVZLWFKFKHFNFDPVDQGWKHOLPLWVZLWFKFDPV
VHH)SDJHE\URWDWLQJWKHODWWHUDORQJWKHFDPKROGHU
XSWRWKHFKRVHQSRVLWLRQDQGE\VFUHZLQJRQWKHVFUHZVDJDLQ
:$51,1*$OOWKHRWKHUDGMXVWPHQWVHWWLQJRSHUDWLRQVEH
\RQGWKHDGMXVWPHQWRIWKHRLOIORZDUHPDGHE\WKHPDQXIDFWX
UHU7DPSHULQJZLWKWKHVHVHWWLQJVPD\FDXVHPDOIXQFWLRQDQG
RUVLWXDWLRQVRIULVNWRSHRSOHDQLPDOVDQGSURSHUW\5HIUDLQ
IURPSHUIRUPLQJDQ\RSHUDWLRQVQRWDXWKRULVHGE\'($6 \ V W H P
0DLQWHQDQFHDQGUHSDLU
*RRGSUHYHQWLYHPDLQWHQDQFHDQGUHJXODULQVSHFWLRQHQVXUH
ORQJZRUNLQJOLIHVHHDOVR´:DUUDQW\µ&RQVXOWWKH´7528%/(
6+227,1*µWDEOHVHHSDJHZKHQHYHUDQRPDOLHVDUHREVHU
YHGLQRUGHUWRILQGWKHVROXWLRQWRWKHSUREOHPDQGFRQWDFW'($
6\VWHPGLUHFWO\ZKHQHYHUWKHVROXWLRQUHTXLUHGLVQRWSURYLGHG
7KHLQVSHFWLRQPDLQWHQDQFHRSHUDWLRQVWREHURXWLQHO\VFKH
GXOHGLQWKH´FRPSOHWHDXWRPDWLVPPDLQWHQDQFHUHJLVWHUµDUH
,17(59(17,217<3( 3(5,2',&,7<
FOHDQLQJRIH[WHUQDOVXUIDFHV PRQWKV
FKHFNLQJRIVFUHZWLJKWHQLQJ PRQWKV
FKHFNLQJRIUHOHDVH
PHFKDQLVPRSHUDWLRQ
PRQWKV
JUHDVLQJRIDUWLFXODWHGMRLQW \HDU
:$51,1* $OO LQVWDOODWLRQ PDLQWHQDQFH FOHDQLQJ RU
UHSDLURSHUDWLRQVRQDQ\SDUWRI WKHV\VWHPPXVWEHSHUIRU
PHGH[FOXVLYHO\E\TXDOLILHGSHUVRQQHOZLWKWKHSRZHUVXSSO\
GLVFRQQHFWHGZRUNLQJ LQ VWULFW FRPSOLDQFH ZLWK WKH HOHFWULFDO
VWDQGDUGVDQGUHJXODWLRQVLQIRUFHLQWKHQDWLRQRILQVWDOODWLRQ
:$51,1*7KHXVHRIVSDUHSDUWVQRWLQGLFDWHGE\'($
6\VWHPDQGRULQFRUUHFWUHDVVHPEO\FDQFUHDWHULVNWRSHRSOH
DQLPDOVDQGSURSHUW\DQGDOVRGDPDJHWKHSURGXFW)RUWKLV
UHDVRQDOZD\V XVH RQO\ WKH SDUWV LQGLFDWHG E\ '($6\VWHP
DQGVFUXSXORXVO\IROORZDOODVVHPEO\LQVWUXFWLRQV
7UDLQLQJ
$IWHULQVWDOODWLRQDQGVHWWLQJWKHFRUUHFWRSHUDWLRQRIWKHFRP
SOHWHDXWRPDWLVPPXVWEHFDUHIXOO\LOOXVWUDWHGWRWKHILQDOXVHU
7KH /,9, JDWH RSHUDWRU UHTXLUHV FDUHIXO LQVWUXFWLRQ RQ
WKHUHOHDVHPHFKDQLVPVHH´(QFORVXUHVµLQSDUWLFXODUDQGWKH
UHVSHFWLYHPDLQWHQDQFHVFKHGXOHVHH3RLQW
:$51,1* $ZDUHQHVV RI WKH RSHUDWLRQ RI WKH /,9,
NH\UHOHDVHPHFKDQLVP VHH ) 3DJH LV HVVHQWLDO IRU DOO
XVHUVRIWKHDXWRPDWLVPEHFDXVHWKHIDLOXUHWRXVHWKHGHYLFH
TXLFNO\ GXULQJ HPHUJHQFLHV FDQ MHRSDUGLVH SHRSOH DQLPDOV
DQGSURSHUW\(QFORVXUH,WRWKHVHLQVWUXFWLRQVZKLFKWKHLQ
VWDOOHULVUHTXLUHGWRGHOLYHUWRWKHILQDOXVHULOOXVWUDWHVRSHUD
WLRQDQGFDQEHGHWDFKHG
,QDSSURSULDWHXVH
&KDSWHU´ $SSURSULDWHFRQGLWLRQV RI XVHµ GHVFULEHV WKH
FRQGLWLRQVIRUZKLFKWKHSURGXFWKDVEHHQGHVLJQHGDQGWHVWHG
7KHSURGXFWPXVWQHYHUEHXVHGIRURWKHUSXUSRVHV
:$51,1*7KHXVHRIWKHSURGXFWXQGHUXQXVXDOFRQGL
WLRQVQRWIRUHVHHQE\WKHPDQXIDFWXUHUFDQFUHDWHVLWXDWLRQV
RIGDQJHUDQGIRUWKLVUHDVRQDOOWKHFRQGLWLRQVSUHVFULEHGLQ
WKHVHLQVWUXFWLRQVPXVWEHUHVSHFWHG
:$51,1*8QGHUQRFLUFXPVWDQFHVPXVWWKHSURGXFWEH
XVHGLQH[SORVLYHDWPRVSKHUHVRUVXUURXQGLQJVWKDWPD\SURYH
FRUURVLYHDQGGDPDJHSDUWVRIWKHSURGXFW
63$5(3$576/,67
7KH OLVW RI VSDUH SDUWV WKDW FDQ EH RUGHUHG 3DJH LV D
GHWDLOHGOLVWWKDWDFFRPSDQLHVWKHH[SORGHGYLHZRIWKHSURGXFW
DQGPXVWEHXVHGWRRUGHUVSDUHSDUWV
7KHIROORZLQJGDWDPXVWDOZD\VEHSURYLGHGZKHQRUGHULQJ
VSDUHSDUWV
WKHFRGHRIWKHSURGXFWVHHQRQWKHSURGXFWODEHOVHH)
3DJH
WKHSDUW·VSRVLWLRQQXPEHULQWKHH[SORGHGYLHZ
LIDYDLODEOH WKH SURGXFW·V SXUFKDVH GDWH PD\ EH XVHIXO LQ
VRPHFDVHV
&203/(7(&/26,1*$66(0%/<
7KLVFKDSWHULOOXVWUDWHV WKH W\SLFDOLQVWDOODWLRQ RI DFRPSOH
WH DXWRPDWLVP IRU WKH SXUSRVH RI LQIRUPLQJ DQG DVVLVWLQJ WKH
LQVWDOOHULQWKHVHOHFWLRQRIWKHYDULRXVSDUWVWREHXVHGLQFRP
SOLDQFHZLWK0DFKLQHU\'LUHFWLYH &( DQG(XURSHDQ
6DIHW\6WDQGDUGV(1(1IRUJDWHLQVWDOODWLRQ
7KHGDWDSURYLGHGLQWKLVFKDSWHUDUHQHLWKHUFRPSOHWHQRU
H[KDXVWLYHDQG'($6\VWHPGHFOLQHVDOOOLDELOLW\IRUDQ\HUURUV
RPLVVLRQVRULQDFFXUDFLHVWKDWPD\RFFXU
0LQLPXPOHYHORISURWHFWLRQSURYLGHGE\WKH
VDIHW\HGJH
$PRQJWKHPRVWVHULRXVULVNVWREHFRQVLGHUHGIRUWKHDX
WRPDWLRQRIDRYHUKHDGGRRUWKHUHLVWKHULVNRILPSDFWDQGRI
EHLQJFUXVKHGRQWKHORZHUFORVLQJHGJH5HJXODWLRQVSUHVFULEH
WKHDGRSWLRQRIRQHRIWKHIROORZLQJW\SHVRIFRQWUROVDJD
LQVW
VXFKULVNVGHSHQGLQJRQWKHXVHIRUHVHHQIRUWKHJDWH
$Q DSSURSULDWH W\SH RI RSHUDWLQJ FRQWURO ERDUG PXVW EH
XVHGDFFRUGLQJWRWKHJDWHW\SHDQGXVHDJDLQVWVXFKULVNDV
SURYLGHGIRUE\WKHTXRWHGUHJXODWLRQVVHH´23(5$7,1*&21
752/µWDEOH
5LVNRIVFLVVRULQJRQVLGHDUPV
7KHULVNRIVFLVVRULQJRQVLGHDUPVLVDUHOHYDQWULVNRQDX
WRPDWHG RYHUKHDG GRRUV 7KH DERYHPHQWLRQHG UHJXODWLRQV
SUHVFULEHWKHDGRSWLRQRIRQHRIWKHIROORZLQJVROXWLRQVDJDLQVW
WKLVULVN
PDNHVXUHWKHUHLVQRSRLQWRIVFLVVRULQJEHWZHHQWKHWHOHVFRSLF
DUPVDQGWKHGRRUDUPVRUZLWKWKHIUDPHRUZLWKWKHGRRU
XVHDGHTXDWHSURWHFWLRQIRU\RXUKDQGVLQWKHDUHD
LIWKHLQVWDOODWLRQLVLQDSULYDWHKRPHZKLFKGRHVQRWJLYHRQWR
D SXEOLF DUHD DQG WKHUH LV QR WLPHUVHW DXWRPDWLF FORVLQJ WKLV
SURWHFWLRQLVQRWUHTXLUHG
,PSDFWRQWKHORZHUFORVLQJHGJH
,QRUGHUWRDYRLGFUXVKLQJE\WKHGRRUZLQJLQWKHFORVLQJ
DUHD LQVWDOO D SDLU RI SKRWRFHOOV $ UHFRPPHQGHG KHLJKW
PPLQRUGHUWRGHWHFWWKHSUHVHQFHRIWKHWHVWSDUDOOHOHSL
SHG%KHLJKWPPSRVLWLRQHGDVVKRZQLQ)RQ3DJH
1RWH7KHSUHVHQFHGHWHFWLRQWHVWVDPSOHLVDSDUDOOHOHSLSHG
ZLWKVLGHVZLWKOLJKWFRORXUHGUHIOHFWLQJVXUIDFHVDQGVLGHV
ZLWKGDUNFRORXUHGRSDTXHVXUIDFHV
,Q RUGHU WR IXUWKHU UHGXFH WKH ULVN RI LPSDFW ZLWK WKH JDWH
ZLQJLQWKHRSHQLQJDUHDDQH[WUDSDLURISKRWRFHOOV&UHFRP
PHQGHGKHLJKWPP