6DIHW\ 3UHFDXWLRQV 7KLV PDQXDO FRQWDLQV LPSRUWDQW LQIRUPDWLRQ IRU WKH RSHUDWRU WR RSHUDWH WKLV SURGXFW VDIHO\ DQG FRU UHFWO\ DQG DYRLG ERGLO\ LQMXU\ DQG SURSHUW\ GDPDJH *UDVS WKH PHDQLQJV RI WKH IROORZLQJ PDUNV DQG WKHLU GHVFULSWLRQV EHIRUH UHDGLQJ WKLV PDQXDO z+D]DUG &ODVVLILFDWLRQV # ! :$51,1* ! # ! &$87,21 ! ! ! ! ! !
0DUNLQJV XVHG RQ WKH PRGHO DQG LQ WKLV 0DQXDO ) " " $ % ' " & ! % % # # ( # ! " # * + , ! ! ) - !
3UHFDXWLRQV RQ ,QVWDOODWLRQ :$51,1* %H VXUH WR JURXQG WKH PRGHO 7KH SURWHFWLYH JURXQG WHUPLQDO RI WKH PRGHO PXVW EH FRQQHFWHG WR DQ H[WHUQDO SURWHFWLYH HDUWK 2SHUDWLRQ ZLWKRXW JURXQGLQJ PD\ FDXVH DFFLGHQWDO ILUH RU VKRFN &$87,21 N N ! N ! " ! N
3UHFDXWLRQV RQ :LULQJ :$51,1* 0DQGDWRU\ %H VXUH WR WXUQ RII SRZHU EHIRUH ZLULQJ 2WKHUZLVH LW FDQ FDXVH HOHFWULF VKRFN RU PDOIXQFWLRQ RI WKH PRGHO 0DQGDWRU\ %H VXUH WR XVH FULPS VW\OH WHUPLQDO ZLWK LQVXODWLQJ VKHDWK RU LQVXODWLQJ WDSH WR FRYHU WKH FRQGXFWLYH SDUWV ZKHQ ZLULQJ PRGXOHV VR WKDW QR FRQGXFWLYH SDUWV DUH H[SRVHG +DQGOH WKH WHUPLQDO FRYHU ZLWK FDUH VR DV QRW WR IDOO RII RU JHW GDPDJHG %H VXUH WR IL[ WKH FRYHU RQ WKH WHUPLQDO EORFN DIWHU ZLULQJ $Q H[SRVHG FRQGXFWLYH SDUW FDQ FDXVH HO
3UHFDXWLRQV IRU 2SHUDWLRQ :$51,1* ! &$87,21 )RUELGGHQ 7KH SRZHU VXSSO\ PRGXOHV WKH &38 PRGXOHV WKH GLUHFW , 2 PRGXOHV DQG WKH H[SDQVLRQ LQWHUIDFH DUH GHGLFDWHG WR WKH PRGHO
0DQGDWRU\ &RQILJXUH WKH H[WHUQDO FLUFXLW WR WXUQ RQ SRZHU DFFRUGLQJ WR WKH IROORZLQJ VHTXHQFH 7XUQ RQ WKH SRZHU RI PRGHO o 7XUQ RQ WKH SRZHU IRU WKH , 2 PRGXOH DQG H[WHUQDO ORDG SRZHU VXSSOLHV 2WKHUZLVH LW FDQ FDXVH PDFKLQH GD PDJH PDOIXQFWLRQ RU DFFLGHQWV )RUELGGHQ 7XUQ RII SRZHU LPPHGLDWHO\ LI WKH 6 7 RU UHODWHG HTXLSPHQW HPLWWLQJ VPRNH RU RGRU 2SHUDWLRQ XQGHU VXFK VLWXDWLRQ FDQ FDXVH I LUH RU HOHFWULFDO VKRFN $OVR XQDXKRUL]HG UHSDLULQJ ZLOO FDXVH ILUH RU VHULRXV DFFLGHQWV 'R QRW DWWHPSW WR U
&$87,21 )RUELGGHQ %H FDUHIXO QRW WR KLW RU IDOO RII WKH PRGHO E\ DFFLGHQW ([FHVV VKRFN FDQ FDXVH IDLOXUH 0DQGDWRU\ 3ODFH DQ\ PRGXOHV UHPRYHG IURP WKH XQLW RQ D FRQGXFWLYH PDW RU FRQGXFWLYH EDJ FRQWDLQLQJ D VSDUH ERDUG HWF RQ DQ JURXQGHG GHVN 2WKHUZLVH VWDWLF HOHFWULFLW\ FDQ GDPDJH FRPSRQHQWV RI WKH PRGXOH 0DQGDWRU\ 7RXFK D JURXQGHG PHWDO SDUW WR GLVFKDUJH WKH VWDWLF HOHFWULFLW\ RQ \RXU ERG\ EHIRUH WRXFKLQJ WKH PRGHO 2WKHUZLVH FKDUJHG VWDWLF HOHFWULFLW\ RQ \RXU ERG\ FDQ FDXVH PDOIXQFWLRQ
0DQGDWRU\ 7KH UHOD\V XVHG LQ WKH UHOD\ RXWSXW PRGXOH KDYH 21 2)) OLIH PHFKDQLFDOO\ 8VH WKHP ZLWKLQ WKHLU PHFKDQLFDO OLIH WLPHV LV GHVFULEHG LQ WKLV PDQXDO 5HSODFH WKH PRGXOH LI H[FHHGHG &$87,21 0DQGDWRU\ ,Q DQ DQQXDO DYHUDJH WHPSHUDWXUH RI G& RU OHVV UHSODFH WKH EDWWHU\ HYHU\ IRXU \HDUV UHSODFH LW HYHU\ WZR \HDUV LQ DQ DYHUDJH DQQXDO WHPSHUDWXUH KLJKHU WKDQ G& $Q H[KDXVWHG EDWWHU\ FDQ FDXVH PDOIXQFWLRQ DQG ORVH GDWD DQG SURJUDPV VWRUHG LQ 6 7 UHVXOWLQJ LQ PDFKLQH GDPDJH RU DFFLGHQWV GHSHQGLQJ
&$87,21 )RUELGGHQ 'R QRW WRXFK DQ\ FRPSRQHQWV WHUPLQDOV FRQQHFWRUV RU SULQWHG FLUFXLW ERDUGV LQ WKH PRGXOH 2WKHUZLVH LW FDQ FDXVH WKH ,& RU /6, RU WKH OLNH WR EH EURNHQ E\ VWDWLF HOHFWULFLW\ UHVXOWLQJ LQ IDLOXUH RU PDOIXQFWLRQ )RUELGGHQ 'R QRW GLVDVVHPEOH RU PRGLI\ WKH 6 7 DQG UHODWHG HTXLSPHQW 2WKHUZLVH LW FDQ FDXVH PDOIXQFWLRQ RU IDLOXUH )RUELGGHQ 'R QRW IRUFLEO\ EHQG RU SXOO RU GLVWRUW WKH SRZHU FRUG DQG RWKHU FDEOHV 2WKHUZLVH WKH\ FDQ EH FXW RII RU FD
/LPLWDWLRQ RI $SSOLFDWLRQV T 7KH PRGHO KDV EHHQ GHVLJQHG DQG PDQXIDFWXUHG IRU XVH LQ DQ LQGXVWULDO HQYLURQPHQW T +RZHYHU WKH PRGHO LV QRW LQWHQGHG WR EH XVHG IRU V\VWHPV ZKLFK FDQ HQGDQJHU KXPDQ OLIH QRWH &RQVXOW 7RVKLED LI \RX LQWHQG WR XVH WKH PRGHO IRU D VSHFLDO DSSOLFDWLRQ ZKLFK LQYROYHV KXPDQ OLIH DQG KDV JUHDW LQIOXHQFH RQ WKH PDLQWHQDQFH RI WKH SXEOLF IXQFWLRQ QRWH 7KLV LV ZK\ VXFK DSSOLFDWLRQ UHTXLUHV VSHFLDO FDUH RQ WKH RSHUDWLRQ PDLQWHQDQFH DQG FRQWURO RI WKH V\VWHP QRW
$ERXW WKLV PDQXDO 7KLV PDQXDO GHVFULEHV DQ RYHUYLHZ VSHFLILFDWLRQ DQG LQVWDOODWLRQ RSHUDWLRQ DQG PDLQWHQDQFH DQG LQVSHFWLRQ RI WKH KDUGZDUH RI 7RVKLED¶V VHTXHQFH FRQWUROOHU 6 7 IRU WKH ,QWHJUDWHG &RQWUROOHU 9VHULHV PRGHO KHUHLQDIWHU FDOOHG 6 7 ZKLFK LV DOVR FDOOHG PRGHO RU WKH HTXLSPHQW ZKHQ QR GLVWLQFWLRQ LV QHHGHG 7KH IROORZLQJ W\SHV RI 6 7 DUH DYDLODEOH WR UHDOL]H FRVW SHUIRUPDQFH VXLWHG WR \RXU DSSOLFDWLRQ !"# $
7KH 6 7 5HODWHG 0DQXDO 7KH IROORZLQJ GRFXPHQWV DUH DYDLODEOH IRU 6 7 6 7 8VHU¶V 0DQXDO %DVLF +DUGZDUH ) & 'HVFULEHV WKH 6 7 V\VWHP FRQILJXUDWLRQ DQG H[SODLQV WKH VSHFLILFDWLRQV LQVWDOOD WLRQ ZLULQJ PDLQWHQDQFH DQG WURXEOHVKRRWLQJ IRU WKH 6 7¶V EDVLF KDUGZDUH 6 7 8VH¶V 0DQXDO )XQFWLRQV ) & 3URYLGHV WKH LQIRUPDWLRQ IRU GHVLJQLQJ 6 7 XVHU SURJUDP VXFK DV 6 7 LQWHUQDO RSHUDWLRQ PHPRU\ FRQILJXUDWLRQ , 2 DOORFDWLRQ 7 6HULHV ,QVWUXFWLRQ 6HW /DGGHU 6)& 80 76 ( 'HWDLOHG H[SODQDWLRQV
! " # $ % & $ ' ( ! ) % $ ' * & ( $) $ & $% #$ + ( , " # . $( / ! " # $ % & $ ' ( 0) * & $% .
&217(176 &KDSW 6\VWHP &RQILJXUDWLRQ
&217(176
&217(176
&KDSW 6\VWHP &RQILJXUDWLRQ 7KH ,QWHJUDWHG &RQWUROOHU 9VHULHV KDV VRPH IHDWXUHV DV PHQWLRQHG EHIRUH 7KH 6WD WLRQ 0RGXOH ZLWK VWDWLRQ EXV LQWHUQDO KLJK VSHHG GDWD EXV LQWHUIDFH FDQ SHUIRUP WR H[FKDQJH FRPPRQ GDWD EHWZHHQ WKHP RQ UHDO WLPH z 6WDWLRQ 0RGXOH 7KH 6WDWLRQ 0RGXOH LV VKRZQ DV EHORZ WDEOH 7KHVH FDQ EH PRXQWHG RQ WKH GHGL FDWHG EDVLF EDVH DQG SHUIRUP FRPSOH[ FRQWURO FRPELQLQJ HDFK IXQFWLRQDOLW\ 7DEOH 6 7 &38
6 7 FRQILJXUDWLRQ DV 6WDWLRQ 0RGXOH 6 7 EDVLF FRQILJXUDWLRQ
6 7 FRQILJXUDWLRQ DV 6WDWLRQ 0RGXOH 6 7 6\VWHP FRQILJXUDWLRQ 7KH 6 7 SURYLGH D IXQFWLRQDO HFRQRPLFDO DQG FRPSDFW VROXWLRQ WR XVHU DSSOLFDWLRQV LQ DXWRPRWLYH PDFKLQH FRQWURO DQG SURFHVV FRQWURO E\ XVLQJ VWDWLRQ PRGXOHV DQG GLUHFW , 2 PRGXOHV & 1 ! " , ! " 36 6 (1 7& 7/ & 6 7 & 1 36 ! + ,+-! 36 36 7/ '1 )
! # - .**/ ** .**) * .**) * .** ' 0. ' 0 ' 0 ' ' ' % $) $) % , % ! 7 ' 6 . " # $ %&'( " )' * % ) .* % ) * '" '" '" , " .. " . " & " # $ 1 " .. " . " .
6 7 FRQILJXUDWLRQ DV 6WDWLRQ 0RGXOH 8QLW FRQILJXUDWLRQ 6RPH H[DPSOHV RI PLQLPXP PD[LPXP FRQILJXUDWLRQ DUH VKRZQ DV EHORZ 7KH PDLQ EDVH GHGLFDWHG IRU VWDWLRQ PRGXOH LV XVHG 7KH FRQWURO PRGXOH 6 7 VKRXOG EH PRXQWHG RQ 6 WKDW LV WKH OHIW HQG VORW RI WKH EDVH 2WKHU VWDWLRQ PRGXOHV DUH PRXQWHG RQ IURP 6 WR 6 %8 ( ZKHUH WZR FRQQHFWRUV DUH 7KH GLJLWDO DQDORJ LQSXW RXWSXW PRGXOH FDQ EH PRXQWHG RQ VORWV IRU VWDWLRQ PRGXOH 7KHVH PRGXOHV VKRXOG EH PRXQWHG RQ WKH ULJKW VORW RI VWDWLRQ
!" # $% # ! & " # % ' %% ( )" # * " # * " # + , " # + % -) -./ & & * .0 &À.
6 7 FRQILJXUDWLRQ DV 6WDWLRQ 0RGXOH À À À À À À À À À À À À À À À À À À À À À À À À À À À À À À À À À À À À À À À À À À À À À À À À À À À À À À À À À À À À À À Þ Þ Þ Þ À À À À À À
z 6 6 6 6 6 6 8 36 6 7 ( ( 7 , & R X / 1 1 & Z S 7 2 H S 6 U O \ 6 6 , , 2 2 6 , 2 6 6 6 6 6 6 8 36 6 ( 7 , , , & R X 1 & Z S 7 2 2 2 H S U O \ !" !" #$ % & ' 8 3 & R Z H U 6 6 6 6 6 6 7 ) , X / / S 7 2 S 6 O \ % ( ) 3 R Z H U 6 6 6 6 6 6 6 6 (
6 7 FRQILJXUDWLRQ DV 6WDWLRQ 0RGXOH 1XPEHU RI , 2 SRLQWV XVLQJ SRLQW , 2 PRGXOH 6 6 6 6 6 6 , 3 6 6 ( 7 , , , ) R X 1 & Z S 7 2 2 2 H S U O \ 6 6 , , 2 2 6 , %DVLF XQLW 2 SRLQWV %8 ( , 3 ) R Z H U 6 6 6 6 6 6 6 6 , , , , , X 3 S 2 2 2 2 2 S O \ 6 6 , , 2 2 6 ([SDQVLRQ XQLW , 2 SRLQWV %8 6 , 3 6 , ) R X Z S 2 H S U O \ 6 6 6 6 , , , , 2 2 2 2 6 , 2 ([SDQVL
6 7 &38 0RGXOH 2YHUYLHZ 7KH 6 7 &38 PRGXOH SHUIRUPV XVHU SURJUDP UHDGLQJ LQSXW GDWD IURP WKH GLUHFW , 2 PRGXOH DQG ZULWLQJ RXWSXW GDWD WR WKH GLUHFW , 2 PRGXOH 7KH 6 7 KDV WZR W\SHV RI &38 PRGXOHV * ' ! "# $%"& " '() ! + :KHQ XVHU SURJUDP DQG SDUDPHWHU GDWD DUH NHSW LQ WKH EXLOW LQ IODVK 520 RI WKH 6 7 XVHU V\VWHP ZLOO FRPH ED
6 7 &38 0RGXOH 6WDWXV GLVSOD\ /('V 7KHVH /('V VKRZ RSHUDWLRQ VWDWHV RI WKH 6 7 6WDWXV GLVSOD\ /('V ! "# $ %& $ "# $ ' $ $ 2SHUDWLRQ 0RGH 6ZLWFK 7KH 2SHUDWLRQ 0RGH 6ZLWFK LV SURYLGHG RQ WKH &38 PRGXOH 7KLV VZLWFK FRQWUROV 6 7 RSHUDWLRQ 581 +$/7 +$/7
6HWWLQJ 6ZLWFKHV RI 2SHUDWLRQ 0RGH 520 5$0 6ZLWFK &38 UHDGV WKLV VWDWXV ZKHQ SRZHU LV FKDQJHG IURP 2)) WR 21 RU ZKHQ RSHUDWLRQ PRGH LV FKDQJHG WR 581 581 6WDQG E\ 6ZLWFK &38 UHDGV WKLV VWDWXV RQO\ ZKHQ SRZHU WXUQV WR 21 3URJUDPPHU 3RUW 3DULW\ &38 UHDGV WKLV VWDWXV RQO\ ZKHQ SRZHU WXUQV WR 21 7KHVH VZLWFKHV DUH SURYLGHG XQGHU WKH EDWWHU\ FRYHU RQ WKH &38 IURQW SDQHO 7KH\ FRQWURO WKH IROORZLQJ IDQFWLRQV 6: LV 21 6:
6 7 &38 0RGXOH 3URJUDPPHU SRUW RI 56 & 7KH SURJUDPPHU 7 3'6 LV FRQQHFWHG WR WKLV SURJUDPPHU SRUW &RQQHFWRU W\SH RI &38 VLGH LV IHPDOH SLQ ' 68% FRQQHFWRU 7KH 6 7¶V 56 & SURJUDPPHU SRUW FDQ DFFHSW WKH FRPSXWHU OLQN SURWRFRO GDWD UHDG ZULWH 7KLV UHVXOWV LQ HDV\ FRQQHFWLRQ WR D KLJKHU OHYHO FRPSXWHU DQ RSHUDWRU LQWHUIDFH XQLW HWF GLUHFWO\ *HQHUDO VSHFLILFDWLRQV DQG WKH FRQQHFWRU SLQ DVVLJQPHQW RI SURJUDPPHU SRUW DUH VKRZQ EHORZ )RU GHWDLOV RI 7 VHULHV FRPSXWHU OLQN SURWRFRO VHH 7
/,1. SRUW RI 56 7KH 6 7 VXSSRUWV WKH IROORZLQJ FRPPXQLFDWLRQ IXQFWLRQ PRGH RQ WKH /,1.
6 7 &38 0RGXOH )UHH $6&,, PRGH 7KH IUHH $6&,, PRGH LV XVHG WR FRQQHFW EHWZHHQ WKH 6 7 DQG YDULRXV VHULDO $6&,, GHYLFHV VXFK DV D PLFUR FRPSXWHU EDU FRGH UHDGHU SULQWHU GLVSOD\ HWF %\ XVLQJ WKLV PRGH WKH 6 7 FDQ ZRUN DV D FRPPXQLFDWLRQ PDVWHU 7KHUHIRUH WKH 6 7 FDQ FRPPXQLFDWH ZLWK RWKHU 3/&V XVLQJ WKH FRPSXWHU OLQN SURWRFRO DQG FDQ FRQWURO YDULDEOH VSHHG GULYHV VXFK DV 7RVKLED¶V 9) 6 XVLQJ LWV FRPPXQLFDWLRQ SURWRFRO 6 7 56 NP PD[ 6HULDO $6&,, GHYLFH 6HULDO $6&,, GHYLFH 6HULDO
7KH FRPPXQLFDWLRQ SDUDPHWHU LV VHW E\ ZULWLQJ LW LQWR WKH LQIRUPDWLRQ PHPRU\ RI WKH 6 7 ZLWK WKH SURJUDPPHU 7DEOH &RPSXWHU OLQN PRGH + ! " ! * * ' * .
6 7 &38 0RGXOH 3LQ DVVLJQPHQW RI /,1.
&RPSXWHU OLQN PRGH &RPSXWHU OLQN IXQFWLRQ ,Q WKH FRPSXWHU OLQN V\VWHP WKH 6 7 ZDLWV IRU UHFHLYLQJ D UHTXHVW PHVVDJH LVVXHG IURP WKH PDVWHU FRPSXWHU :KHQ D UHTXHVW PHVVDJH LV LVVXHG WKH 6 7 FKHFNV WKH VWDWLRQ QXPEHU FRQWDLQHG LQ WKH UHTXHVW PHVVDJH $QG ZKHQ WKH VWDWLRQ QXPEHU GHVLJQDWLRQ PDWFKHV WKH 6 7¶V VWDWLRQ QXPEHU VHWWLQJ WKH 6 7 SURFHVVHV WKH UHTXHVW DQG UHWXUQV WKH UHVSRQVH 7KLV LV ZK\ HDFK 6 7 PXVW KDYH D XQLTXH VWDWLRQ FRQILJXUDWLRQ 2WKHUZLVH
&RPSXWHU OLQN PRGH 7KH IROORZLQJ VXSSOHPHQWDU\ IXQFWLRQ DUH SUHSDUHG IRU DSSO\LQJ WR YDULRXV V\VWHP FRQWURO XVLQJ FRPSXWHU OLQN IXQFWLRQ '( )* + , ' ! " # # $% & ! " # # $% & 6\VWHP FRQILJXUDWLRQ
6HWXS SURFHGXUH 7KH IROORZLQJ FKDUW VKRZV WKH VHWXS SURFHGXUH RI WKH FRPSXWHU OLQN PRGH 6 7 SRZHU RII &RPPXQLFDWLRQ ZLULQJ &RQQHFW WKH 6 7 WR WKH PDVWHU FRPSXWHU E\ 56 RU 56 & LQWHUIDFH 5HIHU WR VHFWLRQ RU 6 7 SRZHU RQ &RPPXQLFDWLRQ IXQFWLRQ 2SHUDWLRQ PRGH VHWWLQJ 6HOHFW WKH FRPSXWHU OLQN PRGH E\ VHWWLQJ WKH 6: UHVLVWHU 5HIHU WR VHFWLRQ &RPPXQLFDWLRQ SDUDPHWHU VHWWLQJ LQ +$/7 PRGH 6HW WKH VWDWLRQ QXPEHU EDXGUDWH SDULW\ GDWD ELW OHQJWK
&RPSXWHU OLQN PRGH 56 FDEOH FRQQHFWLRQ z !"#$ % & ' z ( ) ) ) ) ) ) ) * ) ) ) ) 2QH WR RQH FRQILJXUDWLRQ 0DVWHU FRPSXWHU 56 & 56 FRQYHUWHU $'3 % 7;' 5;' 576 &76 6* '75 '65 &' 56 & P PD[ 5;' 7;' &76 576 6* '65 '75 &' )*
2QH WR 1 FRQILJXUDWLRQ 56 & 56 FRQYHUWHU $'3 % 6KLHOGHG WZLVWHG SDLU FDEOH 7;$ 7;% 5;$ 7(50 5;% 6* 5HOD\LQJ WHUPLQDO EORFN 6 7 5;$ 5;% 7;$ 7;% 6* 6 7 7HUPLQDWLRQ UHVLVWRUV : &DEOH OHQJWK NP PD[ WRWDO 5;$ 5;% 7;$ 7;% 6* 7HUPLQDWLRQ UHVLVWRUV : z 6 7 UHPRYDEOH WHUPLQDO EORFN LV SURYLGHG IRU FDEOH FRQQHFWLRQ z &RQQHFW WHUPLQDWLRQ UHVLVWRU : Ω EHWZHHQ 5;$ DQG 5;% DQG EHWZHHQ 7;$ DQG 7;% DW WKH ERWK WHUPLQDO VWDWLRQV z 8VH VKLHOGHG WZLVWHG
&RPSXWHU OLQN PRGH 56 & FDEOH FRQQHFWLRQ z ! # $ % " " &' z ! z " #$ %& z
&RPPXQLFDWLRQ SDUDPHWHU VHWWLQJ 7KH FRPPXQLFDWLRQ SDUDPHWHU LV VHW E\ ZULWLQJ LW LQWR WKH V\VWHP LQIRUPDWLRQ PHPRU\ RI WKH 6 7 7XUQ WKH 6 7 WR +$/7 PRGH WKHQ VHW WKH FRPPXQLFDWLRQ SDUDPHWHU LQ WKH V\VWHP LQIRUPDWLRQ 7 3'6 VFUHHQ H[DPSOH 6HW VWDWLRQ QXP EHU EDXGUDWH SDULW\ GDWD ELW OHQJWK DQG VWRS ELW $IWHU WKH FRPPXQLFDWLRQ SDUDPHWHU VHWWLQJ ZULWH LW LQWR WKH 6 7¶V EXLOW LQ ((3520 EHIRUH WXUQLQJ RII SRZHU
&RPSXWHU OLQN PRGH &RPSXWHU OLQN SURWRFRO 7KLV VHFWLRQ LQWURGXFHV WKH JHQHUDO PHVVDJH IRUPDW RI WKH 7 VHULHV FRPSXWHU OLQN SURWRFRO DQG WKH W\SHV RI FRPPDQGV ZKLFK DUH XVHG IRU WKH 6 7 )RU GHWDLOV RI WKH 7 VHULHV FRPSXWHU OLQN SURWRFRO UHIHU WR WKH VHSDUDWH PDQXDO 0D[ E\WHV ! !" 7H[W FRQWHQWV 6WDUW FRGH + E\WH $ )RUPDW LGHQWLILFDWLRQ FRGH + E\WH $'5
/LVW RI FRPSXWHU OLQN FRPPDQGV VXSSRUWHG E\ WKH 6 7 7KH IROORZLQJ FRPSXWHU OLQN FRPPDQGV DUH DYDLODEOH IRU WKH 6 7 & ' '& ! & + + +& &+ & ! ! " ! ! # $ %
)UHH $6&OO PRGH )UHH $6&OO PRGH )UHH $6&,, FRPPXQLFDWLRQ IXQFWLRQ 7KH IUHH $6&,, PRGH LV XVHG WR FRQQHFW EHWZHHQ WKH 6 7 DQG YDULRXV VHULDO $6&,, GHYLFHV VXFK DV D PLFUR FRPSXWHU EDU FRGH UHDGHU SULQWHU GLVSOD\ HWF %\ XVLQJ WKLV PRGH WKH 6 7 FDQ ZRUN DV D FRPPXQLFDWLRQ PDVWHU 7KHUHIRUH WKH 6 7 FDQ FRPPXQLFDWH ZLWK RWKHU 3/&V XVLQJ WKH FRPSXWHU OLQN SURWRFRO DQG FDQ FRQWURO YDULDEOH VSHHG GULYHV VXFK DV 7RVKLED¶V 9) 6 XVLQJ LWV FRPPXQLFDWLRQ SURWRFRO ,Q WKLV PRGH XVHU GHILQHG $
,Q WKH IUHH $6&,, PRGH FRPPXQLFDWLRQ PHVVDJH WUDQVPLWWLQJ DQG UHFHLYLQJ LV FRQWUROOHG E\ 6 7¶V XVHU SURJUDP 7KH H[SDQGHG WUDQVIHU ;)(5 LQVWUXFWLRQ LV XVHG IRU WUDQVPLWWLQJ DQG UHFHLYLQJ PHVVDJHV 7UDQVPLWWLQJ 7R WUDQVPLW WKH XVHU SUHSDUHV WKH PHVVDJH LQ WKH 6 7 UHJLVWHUV LQ WKH IRUPDW RI $6&,, FKDUDFWHU 7KH PHVVDJH PXVW EH HQGHG E\ D VSHFLILHG WUDLOLQJ FRGH 7KHQ H[HFXWHV WKH ;)(5 LQVWUXFWLRQ WR VWDUW WUDQVPLVVLRQ
)UHH $6&OO PRGH 6\VWHP FRQILJXUDWLRQ 7KH IROORZLQJ ILJXUH VKRZV WKH V\VWHP FRQILJXUDWLRQ XVLQJ IUHH $6&,, FRPPXQLFDWLRQ IXFWLRQ 7KH 6 7 LV FRQQHFWHG WR WKH VHULDO $6&,, GHYLFH V WKURXJK 56 6 7 56 NP PD[ 6HULDO $6&,, GHYLFH 6HULDO $6&,, GHYLFH 6HULDO $6&,, GHYLFH 0D[ GHYLFHV RU ZLUH V\VWHP VHOHFWLQJ IXQFWLRQ 56 (LWKHU ZLUH V\VWHP FRQWURO RU ZLUH V\VWHP FRQWURO FDQ EH VHOHFWHG LQ RUGHU WR FRQQHFW YDULRXV VHULDO $6&,, GHYLFH V E\ XVLQJ WKH IROORZLQJ VSHFLDO IXQFWLR
6HWXS SURFHGXUH 7KH IROORZLQJ FKDUW VKRZV WKH VHWXS SURFHGXUH RI WKH IUHH $6&,, PRGH 6 7 SRZHU RII &RPPXQLFDWLRQ ZLULQJ &RQQHFW WKH 6 7 WR WKH VHULDO $6&,, GHYLFH V LQWHUIDFH 5HIHU WR VHFWLRQ E\ 56 6 7 SRZHU RQ &RPPXQLFDWLRQ IXQFWLRQ 2SHUDWLRQ PRGH VHWWLQJ 6HOHFW WKH IUHH $6&OO PRGH E\ VHWWLQJ WKH 6: UHVLVWHU 5HIHU WR VHFWLRQ &RPPXQLFDWLRQ SDUDPHWHU VHWWLQJ LQ +$/7 PRGH 6HW WKH EDXGUDWH SDULW\ GDWD ELW OHQJWK DQG VWRS ELW 5HIHU WR VHFWLRQ
)UHH $6&OO PRGH 56 FDEOH FRQQHFWLRQ z 2QH WR RQH FRQILJXUDWLRQ ZLUH V\VWHP 6 7 6KLHOGHG WZLVWHG SDLU FDEOH 6HULDO $6&,, GHYLFH 7;$ 5;$ 7;% 5;% 5;$ 7;$ 5 7(50 5;% 7;% 6* 6* NP PD[ 5 : : z ! " ! z #$ % &
2QH WR 1 FRQILJXUDWLRQ ZLUH V\VWHP 6KLHOGHG WZLVWHG SDLU FDEOH 6 7 6HULDO $6&,, GHYLFH 5;$ 5;% 7;$ 7;% 6* 7;$ 7;% 5;$ 7(50 5;% 6* 6HULDO $6&,, GHYLFH 7HUPLQDWLRQ UHVLVWRUV : &DEOH OHQJWK NP PD[ WRWDO 5;$ 5;% 7;$ 7;% 6* 7HUPLQDWLRQ UHVLVWRUV : z 2Q WKH 6 7 UHPRYDEOH WHUPLQDO EORFN LV SURYLGHG IRU FDEOH FRQQHFWLRQ z &RQQHFW WHUPLQDWLRQ UHVLVWRU : Ω EHWZHHQ 5;$ DQG 5;% DQG EHWZHHQ 7;$ DQG 7;% DW WKH ERWK WHUPLQDO VWDWLRQV 0RGH VHWWLQJ 7KH RS
)UHH $6&OO PRGH &RPPXQLFDWLRQ SDUDPHWHU VHWWLQJ 7KH FRPPXQLFDWLRQ SDUDPHWHU LV VHW E\ ZULWLQJ LW LQWR WKH V\VWHP LQIRUPDWLRQ PHPRU\ RI WKH 6 7 7XUQ WKH 6 7 WR +$/7 PRGH WKHQ VHW WKH FRPPXQLFDWLRQ SDUDPHWHU LQ WKH V\VWHP LQIRUPDWLRQ 7 3'6 VFUHHQ H[DPSOH 6HW EDXGUDWH SDULW\ GDWD ELW OHQJWK DQG VWRS ELW 6WDWLRQ QXP EHU LV LJQRUHG $IWHU WKH FRPPXQLFDWLRQ SDUDPHWHU VHWWLQJ ZULWH LW LQWR WKH 6 7¶V EXLOW LQ ((3520 EHIRUH WXUQLQJ RII SRZHU ) &
0HVVDJH IRUPDW 7KH WUDQVPLVVLRQ PHVVDJH LV FRPSRVHG E\ $6&,, FKDUDFWHUV DQG D VSHFLILHG WUDLOLQJ FRGH 7KH GHIDXOW VHWWLQJ RI WKH WUDLOLQJ FRGH LV &5 FDUULDJH UHWXUQ FRGH + ' 5HIHU WR VHFWLRQ IRU VHWWLQJ WKH WUDLOLQJ FRGH RWKHU WKDQ &5 7KH PD[LPXP OHQJWK RI D PHVVDJH LV E\WHV $Q H[DPSOH RI WKH PHVVDJH LV VKRZQ EHORZ $ % &5 ,Q WKH DERYH ILJXUH [ PHDQV DQ $6&,, FKDUDFWHU )RU H[DPSOH LV + 7KH QXPEH
)UHH $6&OO PRGH 3URJUDPPLQJ ! ) 6: + 1HZ WUDLOLQJ FRGH "# $ + % # $ & $# ' ! ' "# $ # $ ( % # $
:KHQ WKH LQSXW FRQGLWLRQ RI WKH ;)(5 LQVWUXFWLRQ FRPHV 21 WKH UHDG RSHUDWLRQ LV VWDUWHG 7KH H[HFXWLRQ VWDWXV LV PRQLWRUHG E\ % DV IROORZV % ([HFXWLRQ VWDWXV + … 1RUPDO FRPSOHWH + … &RPPXQLFDWLRQ HUURU SDULW\ HUURU IUDPLQJ HUURU + … 0HVVDJH OHQJWK RYHU PRUH WKDQ E\WHV + … 5HFHLYH EXIIHU RYHU IORZ + … 5HFHLYH WLPH RXW VHH EHORZ 7KH UHFHLYH WLPH RXW LV GHWHFWHG ZKHQ WKH WLPH IURP WKH VWDUWLQJ FKDUDFWHU WR WKH WUDLOLQJ FRGH H[FHHGV WKH IROOR
)UHH $6&OO PRGH :KHQ XVLQJ WKH DERYH VDPSOH SURJUDP DV D SDUW RI HQWLUH DSSOLFDWLRQ SURJUDP VHW 5 WR 21 LQ WKH PDLQ SURFHVVLQJ SDUW DW ILUVW :KHQ D PHVVDJH LV UHFHLYHG 5 DW QRUPDO RU 5 DW HUURU FRPHV 21 7KHQ UHVHW 5 DQG FDUU\ RXW QHFHVVDU\ SURFHVVLQJ IRU WKH UHFHLYHG PHVVDJH :KHQ WKH UHVXOW VWDWXV VKRZV QRUPDO FRPSOHWH 5 LV 21 WKH UHFHLYHG PHVVDJH KDV EHHQ VWRUHG LQ ' DQG DIWHU :KHQ LW EHFRPHV UHDG\ WR UHFHLYH WKH QH[W PHVVDJH VHW 5 WR 21 DJDLQ 'DWD VHQG RSHUDWLR
7KH VHQG WLPH RXW LV GHWHFWHG ZKHQ WKH WLPH IURP WKH VWDUWLQJ FKDUDFWHU WR WKH WUDLOLQJ FRGH H[FHHGV WKH IROORZLQJ WLPH /RQJ VFDQ WLPH RU VKRUW VHQG PHVVDJH ORZ EDXGUDWH DYRLG WKH VHQG WLPH RXW 5XQJ 6HWV WKH SDUDPHWHUV IRU WKH ;)(5 LQVWUXFWLRQ 7KH UHJLVWHUV RI ZRUGV VWDUWLQJ ZLWK ' DUH UHVHUYHG WR VWRUH WKH WUDQVPLWWLQJ PHVVDJH 5XQ
)UHH $6&OO PRGH $% z z z !! & ! ( ! ( ) + ! ! ' !( ! "! # ) # "% ) ) " %! " ! & " + ) ! ' % ) !! # ) #
5HODWHG LQVWUXFWLRQ )81 ;)(5 ([SDQGHG GDWD WUDQVIHU ,QSXW > ;)(5 → @ 2XWSXW ! # * z z z ! & ! $ %&' " %" $ & " # $ ! ( ) ! + -(. ! ↔ -(. -(.
)UHH $6&OO PRGH $ $ % % % ! " & & z 5HIHU WR WKH IROORZLQJ WDEOH IRU FRQWHQWV RI HDFK GHVLJQDWLRQ z 7KH VWDWXV IODJ LV FUHDWHG ZKHQ 6 LV GHVLJQDWHG DV WUDQVIHU VRXUFH RU 6 7 LV GHVLJQDWHG DV VRXUFH GHVWLQDWLRQ ) &
&38 UHJLVWHU !! " # $ % $ " #% " $ $ % ! $ * # - ' " . /0 . "1 2 2 3 % /0 .
)UHH $6&OO PRGH &38 UHJLVWHU ↔ 6 7 OLQN SRUW !"# $ % & ' ()* $ % ' $ % $ +'
! ! " # "###$
)UHH $6&OO PRGH )81 +72$ +(; WR $6&,, FRQYHUVLRQ ,QSXW > +72$ 3 @ 2XWSXW ! " ! 3 " " # ! $ # %& ! ! # $ # % " ! ! % & 3 ' ( $
5: 5: 5: 5: ) + + + $% +&'() ' ' ' ' ' ' ' ' &RQYHUWHG )81 $72+ ) ³ ´ ³ ´ ³ ´ ³ ´ ³ ´ ³%´ ³'´ ³)´ + + + + + + + + ³ ´ ³ ´ ³ ´ ³ ´ ³ ´ ³$´ ³&´ ³(´ + + + + + + + + $6&,, WR +(; FRQYHUVLRQ ,QSXW > $72+ 3 @ 2XWSXW " %& # # "" )* +
)UHH $6&OO PRGH ([DPSOH :KHQ 5 LV 21 WKH $6&,, FKDUDFWHUV VWRUHG LQ ZRUGV RI ' WR ' DUH FRQYHUWHG LQWR KH[DGHFLPDO GDWD DQG VWRUHG LQ ZRUGV UHJLVWHUV VWDUWLQJ ZLWK 5: ,I WKH VRXUFH WDEOH ' WR ' FRQWDLQV LQYDOLG FKDUDFWHUV RWKHU WKDQ WR ) WKH LQV
6DPSOH SURJUDPV $ VDPSOH SURJUDP IRU WKH 6 7 WR FRQWURO WKH YDULDEOH VSHHG GULYH 9) 6 LV VKRZQ KHUH )RU GHWDLOV RI WKH VHULDO FRPPXQLFDWLRQ IXQFWLRQ RI WKH 9) 6 UHDG WKH VHSDUDWH PDQXDO ³9) 6 6HULDO &RPPXQLFDWLRQ )XQFWLRQ´ /LQN SRUW VHWWLQJ D 0RGH VHWWLQJ RI WKH /LQN SRUW 6 7 6HOHFW WKH IUHH $6&,, PRGH E\ VHWWLQJ WKH 6: WR E &RPPXQLFDWLRQ SDUDPHWHU VHWWLQJ 6HW WKH 6 7¶V FRPPXQLFDWLRQ SDUDPHWHUV EDXGUDWH GDWD
)UHH $6&OO PRGH ! " ) ! * "+ "** ) ! ) "+ "** ) ,! $ ! "** ) -! $ ! "** $ ! "+ #$ % & '( ! "+ 0$,1 352*5$0 %/2&.
_ _ _ _ _5 ' 7 _ _ _ _ _ _ > 721 7 @> 5)( $6& ' @ >@_ _ _ _ _ _ _ _>@ >+ ' 25 ' ! ' @> 6(7 5 (@> 029 ' @ _ _ _ _ _ _ _ _5 ( 5 ' _ _ _ _ _ _ _A_ >' 029 ' @> 6(7 5 $@ _ _ _ _ _ _ _ _7 _ _ _ _3_ _ _ _ _ _ _ _ _5 $ _ _ _ _ >' ;)(5 ' ! ' @ _ _ _ _ _ _ _ _ _ _ _ >' @ _Y_ > 567 5 $@
8QLWV 8QLWV $V PHQWLRQHG LQ 6HFWLRQ WKH EDVLF XQLW RI WKH PRGHO LV FRPSRVHG RI D PDLQ EDVH D SRZHU VXSSO\ PRGXOH D 6 7 &38 PRGXOH 7KH H[SDQVLRQ LQWHUIDFH LV DGGHG WR WKH PDLQ EDVH GHSHQGLQJ RQ , 2 PRGXOHV UHTXLUHG 7KH H[SDQVLRQ LQWHUIDFH VKRXOG EH PRXQWHG RQ HDFK EDVH DQG DUH FRQQHFWHG ZLWK H[SDQVLRQ FDEOHV 6HW WKH XQLW 1R FDOOHG XQLW DGGUHVV EHIRUH RSHUDWLQJ 7KH XQLW DGGUHVV LV VHW E\ D URWDU\ VZLWFK LQ WKH PLGGOH RI WKH H[SDQVLRQ LQWHUIDFH %DVHV 7KH EDVH KDV WZR NLQGV
%8 %8 %8 #$ % ! "!
8QLWV ([SDQVLRQ LQWHUIDFH 7KH H[SDQVLRQ LQWHUIDFH ,) LV PRXQWHG RQ WKH OHIW VLGH VORW RI EDVH WR H[SDQG EDVHV DIWHU UHPRYLQJ WKH XQLW FRYHU 6HW WKH XQLW 1R FDOOHG XQLW DGGUHVV EHIRUH RSHUDWLQJ 7KH XQLW DGGUHVV LV VHW E\ D URWDU\ VZLWFK LQ WKH PLGGOH RI WKH H[SDQVLRQ LQWHUIDFH UHPRYHG WKH FRYHU z 6HWWLQJ WKH XQLW 1R 7KH URWDU\ VZLWFK WR VHW XQLW DGGUHVV LV SURYLGHG EHWZHHQ WZR H[SDQVLRQ FRQQHFWRUV 7KH XSSHU VLGH FRQQHFWRU LV IRU LQSXW IURP SUHYLRXV XQLW DQG WKH ORZHU VLGH FRQQHFWRU LV I
3RZHU 6XSSO\ 0RGXOH ! " ≥ 9 7RWDO 9 FXUUHQW 9 7RWDO 9 FXUUHQW 9 H[WHUQDO 9 FXUUHQW 3RZHU 6XSSO\ 0RGXOH
3RZHU 6XSSO\ 0RGXOH &$87,21 0DQGDWRU\ z z z z z ! "# $ !%" & ' ( )
! "#$ % % ! 581 FRQWDFW FRQWURO QR YDOLG ' ! ( ' ) * *
3RZHU 6XSSO\ 0RGXOH 3RZHU FDSDFLW\ FRQVLGHUDWLRQ 7KH WDEOH EHORZ VKRZV WKH PD[LPXP FXUUHQW FRQVXPSWLRQ RI HDFK EDVH PRGXOH :KHQ FRQILJXULQJ WKH XQLWV FRQILUP WKDW WKH WRWDO FXUUHQW FRQVXPSWLRQ LV ZLWKLQ WKH SRZHU VXSSO\ RXWSXW FDSDFLW\ VR WKDW WKH IROORZLQJ HTXDWLRQ LV VDWLVILHG 0D[LPXP SRZHU≥ 9GF×7RWDO 9 FXUUHQW 9GF×7RWDO 9 FXUUHQW FRQVXPSWLRQ 9×H[WHUQDO 9 FXUUHQW 7DEOH &XUUHQW FRQVXPSWLRQ :HLJKW 7DEOH ! "## $
! "# #$ "% ! "# #$ # #$ %$ #$ %$ #$ ) '* "% "&& "% ! "&& "#& "% ! #&& #$& "% "% # %$ "% . .
3RZHU 6XSSO\ 0RGXOH !" # $ ) &
, 2 0RGXOHV ! ! " # $ zzzzzzz zzzzzzz ! $ $% $ ( $ ( )* ) )* *
, 2 0RGXOHV ' ( * ( !" # ! $ !%# # ! &%# ! !" # # ! $ !%# # ) !!# # +#,#-# * .
1HWZRUN 0RGXOHV %\ DSSO\LQJ WKH IROORZLQJ W\SHV RI QHWZRUN PRGXOH DFFRUGLQJ WR WKH V\VWHP UHTXLUHPHQWV WKH 6 7 FDQ FRQILJXUH WKH IOH[LEOH DQG HIILFLHQW FRQWURO V\VWHPV z 726/,1( ) 7KH &RQWUROOHU WR &RQWUROOHU GDWD OLQNDJH DQG UHPRWH , 2 V\VWHPV DUH FRQILJXUHG E\ WKH 726/,1( ) GDWD WUDQVPLVVLRQ HTXLSPHQW 8S WR PRGXOHV PRGHO VWDWLRQV FDQ EH PRXQWHG RQ DQ\ VORWV LQ WKH VDPH ZD\ DV , 2 PRGXOHV % & '
1HWZRUN 0RGXOHV z ! " ! " # $ z #$% #$% % & $
z ! " # ! $! ! %& !! ! ' " # ! ! " + % + % 2 ! %
&KDSW 6SHFLILFDWLRQV *HQHUDO 6SHFLILFDWLRQV ° ° ! " # $ % ! ' ( 0 ) * ,- + $ & # &+ $ & . / ) *# ,- .
$% " " # $% # $% $ ' & " # ! ( ' ) ' ')' ! * , -.# ( ! + * -.
*HQHUDO 6SHFLILFDWLRQV = 1 , 1 , $ !"# % !"# & ' ( ) *+( ' ' , + - ) ..
([WHUQDO GLPHQVLRQV 0DLQ EDVH IRU 6WDWLRQ 0RGXOHV %8 ( %8 ' 0DLQ EDVH IRU &38 ZLWKRXW VWDWLRQ EXV H[SDQVLRQ EDVH %8 %8 %8 %8 ( %8 %8 '£%8 %8
:KHQ SRLQW , 2 PRGXOH LQVWDOOHG ([WHUQDO GLPHQVLRQV :KHQ SRLQW , 2 3, 0& LQVWDOOHG ) &
, 2 0RGXOH 6SHFLILFDWLRQ T ', ## % # & ( $ " ) ' % " * # # # , ## - % # " $ ) $ )++ ) " # " # " )++ $ ) )++" # " # " ' 0 # # 0 # # $ # / ,
, 2 0RGXOH 6SHFLILFDWLRQ T ', ' $$ % # & $ ( ) ( ' )++ % ) % )++ )++ % ) )++# ,' $ $ / $ % $ $ $ $ # $ # $ # $ # $ - .
T ', # $ # $'' $ $'' $'' ( !! ) * % + " + . / " 0 , ) " " 1 .
, 2 0RGXOH 6SHFLILFDWLRQ T ', ! " # ! "$$ " "$$ "$$ " " "$$ #% # # % ( ) ' × & × % * + ( ) * +
!$ !$ !$ !$ !$ !$ !$ !$ !$ $ %&'( $ %&'(
, 2 0RGXOH 6SHFLILFDWLRQ T ,1 & $ ' * ) ' *,, . % * . % *,, .
T 52 6 ! " # $ % & ! " # $ '% ( ) # $ '% ) & % & *'% ( ) '% ) # * + * , - , - .. , - * / (( 0 ..
, 2 0RGXOH 6SHFLILFDWLRQ /LIH FXUYHV RI WKH RXWSXW UHOD\ 52 52 6 127( 7KH GDWD DUH EDVHG RQ VZLWFKLQJ WLPHV KRXU )RU PRUH IUHJXHQWO\ RSHUDWLRQ WKH OLIH RI WKH RXWSXW UHOD\ ZLOO EHFRPH VKRUWHU ,Q WKH FDVH RI 52 6 WKH GDWD LQ WKH DERYH ILJXUH LV QRW DSSOLFDEOH ZKHQ WKH FRORU RI WKH ¶5(/$< 287¶ FKDUDFWHUV RQ WKH IURQW SDQHO LV ZKLWH ) &
T 52 ! " ! " # $ ! " # %$ ! + , -- + , ) . && /0 -- % 1" & 2 & & 3 .
, 2 0RGXOH 6SHFLILFDWLRQ T '2 # ! " # $ # % & ' ) ! " # $ # % & ' ! Ω " # % # ** % # + ## $, ** ) - # .
T '2 '2 !" # $% & !" # $ % & '!" ( ) * +, - )) +, .. / ..
, 2 0RGXOH 6SHFLILFDWLRQ &1 $ % &1 % $ 3 + +& )+ (+ '+ &+ %+ $+ + + 3 + +& + + + + + + + + + / 3 / / /& / )/ / (/ / '/ / &/ / %/ / $/ / / /& / 3 / 3 / / /& / / $/ / %/ / &/ / '/ / (/ / )/ / /& / 3 /
T '2 3 ! # $ (( $ # # , - # .
, 2 0RGXOH 6SHFLILFDWLRQ T $& & ' !" # $ % (()% ( * $ #+ , * % - ** #+ ,.. 0' * 1 * 2 * %/ * 3 4 , 3 4 ,..
T &' " # $ " # $ " # 22 $ $ $ ) %3 ) $ $ 51 $ 6 $ $ Ω ( $ ,7 ' , 7(( ' - 7(( ' , $ 1 $ - 8
, 2 0RGXOH 6SHFLILFDWLRQ ,9, 1472,9 %DVLF UHJLVWHUV &KDQJH GHWHFWLRQ VWDWXV DQG ,QSXW GDWD 6 7 6 'HVFULSWLRQ ;:Q ,:Q 5LVLQJ HGJH GHWHFWLRQ VWDWXV ;:Q ,:Q )DOOLQJ HGJH GHWHFWLRQ VWDWXV ;:Q ,:Q ,QSXW GDWD ;:Q ,:Q 1R XVH UHVHUYHG >5LVLQJ HGJH GHWHFWLRQ VWDWXV ELW DVVLJQPHQW@ %LW ) ( ' & % $ 86 86 86 86 86 86 86 86 86 86 86 86 86 86 86 86 86 :KHQ FRUUHVSRQGLQJ ELW RI LQSXW GDWD FKDQJHV IURP 2)) WR 21 LW VHWV WR ¶ ¶
0RGH VHOHFWLRQ UHJLVWHUV 7KHVH UHJLVWHUV DUH DFFHVVHG E\ WKH VSHFLDO PRGXOH GDWD ZULWH LQVWUXFWLRQ :5,7( LQVWUXFWLRQ LQ 6 7 0:5,7( LQVWUXFWLRQ LQ 6 $GGUHVV 'HVFULSWLRQ 5LVLQJ HGJH GHWHFWLRQ VHOHFW UHJLVWHU )DOOLQJ HGJH GHWHFWLRQ VHOHFW UHJLVWHU &KDQJH GHWHFWLRQ HQDEOH UHJLVWHU >5LVLQJ HGJH GHWHFWLRQ VHOHFW UHJLVWHU ELW DVVLJQPHQW@ %LW ) ( ' & % $ 8( 8( 8( 8( 8( 8( 8( 8( 8( 8( 8( 8( 8( 8( 8( 8( 8( :KHQ ¶ ¶ WKH LQWHUUXS
, 2 0RGXOH 6SHFLILFDWLRQ T $' / $' / ! ! ' # +# ) " 1* Ω ##& " 2 +# 01 ( * 4 52 " 6 7 " . * ) 4 # ,-./ 01 + ,-. /# / 3 " 4" & " " # % #! ' # # ,-./ 01 + ,-.
$ ' &RQYHUVLRQ 'LJLWDO 9DOXH 'LJLWDO 9DOXH D E P$ $QDORJ YDOXH D P$ UDQJH ' K$ E 9 UDQJH ' K$ F 9 UDQJH ' K$ F 9 $QDORJ YDOXH ' 'LJLWDO YDOXH $ $QDORJ YDOXH 'DWD )RUPDW ;: ) ( ' & % $ % ' ' ' ' ' ' ' ' ' 'DWD ELW ELWV + +)$ 2YHU YROWDJH RYHU FXUUHQW LQSXW FRXQWV % ([WHUQDO OLQH DEQRUPDO GHWHFWLRQ ELW 1RUPDO :KHQ DOO GDWD ELWV DUH
, 2 0RGXOH 6SHFLILFDWLRQ T $' $' ! " # Ω ! ! "Ω " ""% " & ' " """ 1 ) ! 1* $ " ' """ $ """ +" ,-./ 01 + ,-. /" 01 + ,-. /" 01 ! ! 2 / 3 ! 4! % ( * 4 52 ! 6 7 ! .
$ ' &RQYHUVLRQ 'LJLWDO 9DOXH 'LJLWDO 9DOXH D P$ $QDORJ 9DOXH E F 9 $QDORJ 9DOXH D P$ UDQJH ' K$ E 9 UDQJH ' K$ F H 9 UDQJH ' K$ ' 'LJLWDO YDOXH $ $QDORJ YDOXH 'DWD )RUPDW ,QSXW ZRUGV 9 P$ ;: ) ( ' & % $ % ' ' ' ' ' ' ' ' ' ' ' ' ' 'DWD ELW ELWV + + )$ % ([WHUQDO OLQH DEQRUPDO GHWHFWLRQ ELW 1RUPDO $EQRUPDO
, 2 0RGXOH 6SHFLILFDWLRQ T $' # $ % & & ° ° , / & & & 4 %& ) ) & ) ;3 & ;3 3 6 $ 5 9 & && % &: !" 5 & ) !" , .
$ ' &RQYHUVLRQ ÔH Õ D %LSRODU PRGH ÔH Õ 9 E %LSRODU PRGH 'LJLWDO 9DOXH 9 'LJLWDO 9DOXH 9 9 + ' + ))) + ))) $QDORJ 9DOXH 9 9 9 9 8SSHU OLPLW + ( 9 9 9 9 +& +& +& /RZHU OLQLW $QDORJ 9DOXH + 9 9 Ô F 8QLSRODU PRGH Õ Ô Ø 9 G 8QLSRODU PRGH 'LJLWDO 9DOXH 9 Õ Ô Ø P$ H 8QLSRODU PRGH 'LJLWDO 9DOXH 9 9 Õ
, 2 0RGXOH 6SHFLILFDWLRQ T $' 6 $' 6 Ω Ω & * " # $% , % ' ('& ) - ,% .% ". Ω ! /% .% . 2 $ % 3% ' 4 # $% 5% ' $ . ° ° ' 4 " 6# 7 ' 4 " ° 5 %1 ! 8 , 9( % ' & (' &+ - ,% .
'DWD )RUPDW ,QSXW ZRUGV $' 6 $%% # '! ( # ) * # + % % # ! & & & & & , ! " # $' 6 - - - - - -.' / 0 . 1 1 2 ' .
, 2 0RGXOH 6SHFLILFDWLRQ T 7& " # $ $ Ω & $ ° ! ! ! % $ % ° $ ° ! % $ # ° ) *!+,- .!/ 0 '( ) */+,- . ° // 0 .
$ ' &RQYHUVLRQ D H P9 E .
, 2 0RGXOH 6SHFLILFDWLRQ T 57 & & & * ° "#$ - & # + * % .
$ ' &RQYHYVLRQ (IHFWLUH GDWD UXQJH /LQHDU FQOLEUDWLRQ HIIHFWLYH UDQJH Ô<Õ $ 5HVLVWDQFH 7HPSHURWXUH ' b$ Ô W$ Õ 'DWD IRUPDW ,QSXW ZRUGV ! ! ! _+,2 æ " #" $ % # é "& é#" $ 127( )RU GHWHLOV UHI
, 2 0RGXOH 6SHFLILFDWLRQ T '$ ! % & ' $ # ' ( $ $ " " Ω $$ & $ ) ° * +",-. /" 0 * + ,-. / ° 0 /. 1.
' $ &RQYHUVLRQ D %LSRODU PRGH E %LSRODU PRGH H 9 !"" # $ % # F 8QL SRODU PRGH 9 P$ !"" # $ % #
, 2 0RGXOH 6SHFLILFDWLRQ T '$ / ! " # $ Ω $ % & $ $ Ω # $ % ## ' $ $ ( )# *+,- ./ $ $ ! " # % # # ) *+,-#0 .
' $ &RQYHUVLRQ K K K 'DWD )RUPDW <: ) ( ' & % $ ' ' ' ' ' ' ' ' ' 'DWD ELW ELWV + +)$ 1R HIIHFW 1R HIIHFW RQ ' $ FRQYHUVLRQ ) ZRUGV RFFXSLHG < : <:Q &+ <:Q &+ 127( 7ZR RXWSXW UHJLVWHUV ERWK FKDQQHOV VKRXOG EH VSHFL
, 2 0RGXOH 6SHFLILFDWLRQ T '$ '$ ! " # $ & ' ( Ω # % # Ω $ $ Ω " # ' ## ( $ $ $ $ ) $ $ * +# ,-./ 01 +# ,-./ 1 + ,-./#2 01 + ,-./#2 1 $ $ 3 1 ) $ 1* 43 $ 5 6 $ .
' $ &RQYHUVLRQ $QDORJ 9DOXH P$ $QDORJ 9DOXH 9 D 'LJLWDO 9DOXH 'LJLWDO 9DOXH D P$ UDQJH $ K' E 9 UDQJH $ K' F H 9 UDQJH $ K' $ $QDORJ 9DOXH ' 'LJLWDO 9DOXH 'DWD )RUPDW 2XWSXW RFFXSLHV ZRUGV P$ <: ) ( ' & % $ ' ' ' ' ' ' ' ' ' ' ' ' ' 'DWD ELW ELWV + + )$ 1R HIIHFW 1R HIIHFW RQ ' $ FRQYHUVLRQ 9 <: ) ( ' & % $ 6 ' ' '
, 2 0RGXOH 6SHFLILFDWLRQ T &) ! " * $ :9, , , +- .
T 3, 3, )*+*," & ' ( ' 4*1 5" & ' 2 , ,*4" & ' 2 , ! " # $% -&.-/ $ &.-/ &.
, 2 0RGXOH 6SHFLILFDWLRQ %) N N N N N N N %) N * + N / ,-. ) " # $ 4 $' N N ,-. N & ,-.
T 0& $ !" # ([W -""" # 166 1 # 166 .
, 2 0RGXOH 6SHFLILFDWLRQ 3XOVH LQSXW $ $ $ N % % % N 6HUYR LQWHUIDFH LQSXW $ N $ % N /6 LQSXW N % $ $ $ N % % % 3XOVH RXWSXW 2SHQ FROOHFWRU $ $ N % % N $ % 3XOVH RXWSXW /LQH GULYHU $ $ % % $ % 6HUYR LQWHUIDFH RXWSXW $ % $ % $ % ) &
&KDSW 3UHFDXWLRQV IRU , 2 0RGXOHV 3UHFDXWLRQV IRU '& ,QSXW 0RGXOHV # ! $ # + ,-) ,-/ " ≥ → ≥ → " % " & ' ( !)* + ,--.
N N $ ! ! "# % ' ! $
3UHFDXWLRQV IRU '& ,QSXW 0RGXOHV "# ! ! ! "# "# ! "# !
2XWSXW PRGXOH 3 '2 &20 % # " ( ! D H L P E I M Q F J N R G K O S &' " ( " 6 7 VFDQ F\FOH 2XWSXW LQWHUQDO 2XWSXW H[WHUQDO ,QSXW LQWHUQDO ,QSXW H[WHUQDO ' $×$ # ,QSXW PR
3UHFDXWLRQV IRU $& ,QSXW 0RGXOHV 3UHFDXWLRQV IRU $& ,QSXW 0RGXOHV ≥ → ≥ → # $ ! " ! % &' # $ * ! * *
= ! ! "#
3UHFDXWLRQV IRU '& 2XWSXW 0RGXOHV 3UHFDXWLRQV IRU '& 2XWSXW 0RGXOHV ! " # $ & " " # % # $ " ' 7\SH RI PRGXOH " 3URWHFWLRQ $ IXVH RI $ SHU FRPPRQ SRLQWV LV EXLOW LQ
$ SRZHU VXSSO\ VKRXOG EH EDVLFDOO\ XVHG IRU 3 DQG 3 ,Q WKH DERYH FDVH LQVHUW D GLRGH IRU SUHYHQWLQJ D EDFN FXUUHQW LQ WKH SRVLWLRQ $ VR WKDW D EDFN FXUUHQW LV SUHYHQWHG IURP IORZLQJ LQWR 3 &DVH ! :KHQ WKH SRZHU FDEOH FRQQHFWHG WR WKH 3 WHUPLQDO LV FXW RII H[WHUQDO ORDG PD\ EH GULYHQ EHFDXVH WKH ORDG FXUUHQW RI 2)) RXWSXW FLUFXLW 287 IORZV WKURXJK WKH GLRGH DQG WKH WUDQVLVWRU RI 21 RXWSXW FL
3UHFDXWLRQV IRU '& 2XWSXW 0RGXOHV ! ""
3UHFDXWLRQV IRU $& 2XWSXW 0RGXOHV # % " ' ( " ! " && $ " $
3UHFDXWLRQV IRU 5HOD\ 2XWSXW 0RGXOHV 3UHFDXWLRQV IRU 5HOD\ 2XWSXW 0RGXOHV ! " ' # $ ! # % ( ( # %& ! ! ( # ) # # = :80 !
3UHFDXWLRQV IRU $QDORJ ,QSXW 0RGXOHV $ ? @ 3 $QDORJ ,QSXW 1 PRGXOH )* A 3 $QDORJ ,QSXW 1 PRGXOH )* !" @ A 3 $QDORJ ,QSXW 1 PRGXOH )*
3UHFDXWLRQV IRU $QDORJ 2XWSXW 0RGXOHV 3UHFDXWLRQV IRU $QDORJ 2XWSXW 0RGXOHV ? $QDORJ 2XWSXW PRGXOH 3 @ $QDORJ 2XWSXW PRGXOH 3 A $QDORJ 2XWSXW PRGXOH 3 @ A 1 1 1 !
&KDSW ,QVWDOODWLRQ DQG :LULQJ 2SHUDWLQJ HQYLURQPHQW 'R QRW LQVWDOO WKH 6 7 LQ WKH IROORZLQJ ORFDWLRQV :KHUH WKH DPELHQW WHPSHUDWXUH GURSV EHORZ °& °) RU H[FHHGV °& °) :KHUH WKH UHODWLYH KXPLGLW\ GURSV EHORZ RU H[FHHGV :KHUH WKHUH LV FRQGHQVDWLRQ GXH WR VXGGHQ WHPSHUDWXUH FKDQJHV :KHUH WKHUH DUH YLEUDWLRQV WKDW H[FHHG WKH WROHUDQFH RI WKH 6 7 :KHUH WKHUH DUH VKRFNV WKDW H[FHHG WKH WROHUDQFH RI WKH 6 7 :KHUH WKHUH DUH FRUURVLYH RU LQIODPPDEOH JDVVHV 7KH LQVWDOODWLRQ
,QVWDOOLQJ EDVHV ' ( " * + ( , ) # ! " # ! # # " " " # ! # " %%!! &
0RXQWLQJ WKH 0RGXOHV 0RXQWLQJ WKH 0RGXOHV 7KHUH DUH WKUHH W\SHV RI PRGXOH VORW ZLGWK PRGXOH VXFK DV WKH 6 7 &38 DQG GLUHFW , 2V VORW ZLGWK PRGXOH DQG QDUURZ ZLGWK PRGXOH VXFK DV WKH H[SDQVLRQ LQWHUIDFH %DVLFDOO\ HDFK PRGXOH LV VLPLODU VWUXFWXUH DQG VLPLODU KDQGOLQJ H[FHSW VRPH VSHFLDO PRGXOHV 7KH PRGXOHV DUH IL[HG WR WKH EDVH ZLWK ERWK XSSHU ORZHU ORFN OHYHUV DQG PRXQWLQJ VFUHZV 7XUQ SRZHU 2)) EHIRUH LQVWDOOLQJ DQG UHPRYLQJ PRGXOHV %DVLF SURFHGXUH IRU PRXQWLQJ UHPRYLQJ WKH PRGXO
! " # $ & '() ' + / 1 3 " , - 0
0RXQWLQJ WKH 0RGXOHV T 3URFHGXUH IRU UHPRYLQJ ! % ($) + , $ # # ! ! # ! ' ! ! & ! & ! & & !% ' & !%
&$87,21 !" # $%& ' ( !" ) * " + ++ ) , !" - %
0RXQWLQJ WKH 0RGXOHV ,QVWDOOLQJ UHPRYLQJ RI WKH PRGXOH FRYHU T ([SDQVLRQ LQWHUIDFH T 3RZHU VXSSO\ PRGXOH ) &
&RQQHFWLQJ H[SDQVLRQ XQLWV 8S WR WKUHH H[SDQVLRQ XQLWV FDQ EH FRQQHFWHG WR WKH 6 7 EDVLF XQLW 7KH H[SDQVLRQ LQWHUIDFH PRGXOHV DUH PRXQWHG LQ ERWK WKH EDVLF XQLW DQG WKH H[SDQVLRQ XQLWV DQG FRQQHFW HDFK RWKHU ZLWK H[SDQVLRQ FDEOHV 7KLV SURFHGXUH LV VKRZQ DV IROORZV 7XUQ RII WKH SRZHU RI WKH 6 7 0RXQW WKH H[SDQVLRQ LQWHUIDFH PRGXOHV RQ WKH EDVHV 5HPRYH WKH FRYHU DQG VHW WKH XQLW DGGUHVV WKHQ FRQQHFW WKH H[SDQVLRQ FDEOHV EHWZHHQ WKH EDVHV &RQQHFW WKH FDEOHV DV EHO
*URXQGLQJ *URXQGLQJ ,W LV DGYLVDEOH IRU WKH JURXQGLQJ RI HOHFWURQLF GHYLFHV WR FDUU\ RXW GHGLFDWHG JURXQGLQJ ZKLFK LV LVRODWHG IURP WKDW RI SRZHU V\VWHPV DQG WR FDUU\ RXW VLQJOH SRLQW JURXQGLQJ EHWZHHQ RU PRUH HOHFWURQLF GHYLFHV 7KH 6 7 LV GHVLJQHG WR DSSO\ WR (0& ZKLFK WDNHV WKH DFWXDO DSSOLFDWLRQ LQWR DFFRXQW DQG LW KDV D VDWLVIDFWRU\ QRLVH LPPXQLW\ ZLWKRXW FDUU\LQJ RXW JURXQGLQJ RI WKH GHYLFH LWVHOI +RZHYHU DV D SUHFDXWLRQ FRUUHFW JURXQGLQJ LV UHFRPPHQGHG IUR
*URXQGLQJ PHWKRGV
*URXQGLQJ # !""Ω % $ $
:LULQJ RI WKH SRZHU VXSSO\ :LUH WKH H[WHUQDO SRZHU VXSSO\ WR WKH 6 7 SRZHU VXSSO\ PRGXOH LQ WKH IROORZLQJ PDQQHU :KHQ XVLQJ H[SDQVLRQ XQLWV DUUDQJH IRU SRZHU WR EH VXSSOLHG VLPXOWDQHRXO\ WR WKH EDVLF XQLW DQG WKH H[SDQVLRQ XQLWV RU WR WKH H[SDQVLRQ XQLWV EHIRUH WKH EDVLF XQLW 3RZHU FRQGLWLRQV 5DWHG YROWDJH WR 9DF +] 36 3RZHU FRQVXPSWLRQ 9$ RU OHVV 36 5HWHQWLYH SRZHU LQWHUUXSWLRQ PV RU OHVV ,QVWDOO DQ HOHFWURVWDWLF VKLHOGHG WUDQVIRUPHU RU
:LULQJ RI WKH SRZHU VXSSO\ T :LULQJ RI WKH SRZHU VXSSO\ PRGXOH 36 9DF ZLWK %DWWHU\ 36 9DF 1& 1& 1& 1& 581 FRQWDFW RXWSXW 581 FRQWDFW RXWSXW ,QSXW SRZHU VXSSO\ 9DF 1& 9DF VKRUW 1& ,QSXW SRZHU VXSSO\ 9DF RSHQ 9DF RU 9DF / * 1 * / * 1 /* /* )* )* * * 36 9DF * 36 9GF 36 9GF 9 RXWSXW WKH SRZHU FRQVXPSWLRQ 9GF RI LQWHUQDO 9 DQG 9 9 RXWSXW PXVW EH OHVV WKDQ : LQ WRWDO $OVR GR QRW XVH DQR
&$87,21 ! " # $ % & %
, 2 ZLULQJ , 2 ZLULQJ 3D\ DWWHQWLRQ WR WKH IROORZLQJ SRLQWV ZKHQ PRXQWLQJ DQG ZLULQJ WKH , 2 PRGXOHV %DVLF XQLW & 3 8 /RZ SRZHU V\VWHP, 2 +LJK SRZHU V\VWHP, 2 PP RU PRUH ([SDQVLRQ XQLW /RZ SRZHU V\VWHP, 2 +LJK SRZHU V\VWHP, 2 PP RU PRUH /RZ SRZHU VLJQDO GXFW +LJK SRZHU VLJQDO GXFW
& ! " #$% & " # & " & ' & ) * ( #$% * & " ( " #$% #$% &$87,21
:LULQJ RI WKH FRPSXWHU OLQN :LULQJ RI WKH FRPSXWHU OLQN ! "#$% & ' ( ) * * * * * * * + * * * * 2QH WR RQH FRQILJXUDWLRQ 0DVWHU FRPSXWHU 6 7 56 & 56 FRQYHUWHU $'3 % 7;' 5;' 576 &76 6* '75 '65 &' 5;' 7;' &76 576 6* '65 '75 &' )* 7;$
2QH WR 1 FRQILJXUDWLRQ 56 & 56 FRQYHUWHU $'3 % 7;$ 7;% 5;$ 7(50 5;% 6* 7HUPLQDWLRQ UHVLVWRUV : VKLHOGHG WZLVWHG SDLU FDEOH FDEOH OHQJWK PD[ NP 7RWDO 5HOD\LQJ WHUPLQDO EORFN 6 7 5;$ 5;% 7;$ 7;% 6* 6 7 5;$ 5;% 7;$ 7;% 6* 7HUPLQDWLRQ UHVLVWRUV : 2Q WKH 6 7 UHPRYDEOH WHUPLQDO EORFN LV SURYLGHG IRU FDEOH FRQQHFWLRQ &RQQHFW WHUPLQDWLRQ UHVLVWRU Ω : EHWZHHQ 5;$ DQG 5;% DQG EHWZHHQ 7;$ DQG 7;% DW WKH ERWK WHUPLQDO VWDWLRQV 8VH VKLHOGHG WZLV
3RZHU XS GRZQ VHTXHQFH 3RZHU XS GRZQ VHTXHQFH 7XUQ RQ SRZHU RU WXUQ RII SRZHU RI WKH 6 7 DFFRUGLQJ WR WKH IROORZLQJ VHTXHQFH VR WKDW WKH 6 7 LV XVHG VDIHO\ DQG VHFXUHO\ 3RZHU XS VHTXHQFH ! "#$ 7XUQ RQ SRZHU RI WKH 6 7 DW ILUVW :KHQ XVLQJ H[SDQVLRQ XQLWV DUUDQJH IRU SRZHU WR EH VXSSOLHG VLPXOWDQHRXVO\ WR WKH EDVLF XQLW DQG WKH H[SDQVLRQ XQLWV 8VH WKH VDPH SRZHU OLQHV IRU WKHP ,I LW LV GLIILFXOW WXUQ RQ SRZHU RI WKH H[SDQVLRQ XQ
6DIHW\ FLUFXLW :$51,1*
&KDSW 0DLQWHQDQFH DQG &KHFNLQJ 'DLO\ FKHFNLQJ LWHPV 7R PDLQWDLQ WKH V\VWHP DQG WR SUHYHQW WURXEOHV FKHFN WKH IROORZLQJ SRLQWV RQ GDLO\ EDVLV ! "# " -# $% $ % &' ( ) *) ( + , .
3HULRGLFDO FKHFNLQJ LWHPV # !" # $ # $ #
0DLQWHQDQFH SDUWV 0DLQWHQDQFH SDUWV 7R UHFRYHU IURP IDLOXUH TXLFNO\ LW LV UHFRPPHQGHG WR NHHS WKH IROORZLQJ VSDUH SDUWV " - . 0 $ $ 2 $ # # # # + 3 ! ! $ ! % &'"()##*+ , / # 0 1 .
%DWWHU\ 5HSODFHPHQW ,Q WKH 5$0 PRGH RSHUDWLRQ WKH SURJUDP ': UHJLVWHUV DQG FDOHQGDU GDWD DUH NHSW LQ WKH 5$0 EDFNHG XS E\ WKH EDWWHU\ PRGXOH *%7 $6 ,Q WKH 520 PRGH RSHUDWLRQ WKH SURJUDP DQG ': UHJLVWHUV DUH NHSW LQ WKH EXLOW LQ )ODVK 520 DQG WKH FDOHQGDU GDWD DUH NHSW LQ WKH 5$0 $ OLWKLXP EDWWHU\ LV XVHG ZKLFK KDV OLWWOH VHOI GLVFKDUJH DQG FDQ EH XVHG RYHU D ZLGH WHPSHUDWXUH UDQJH 7KHUHIRUH GXULQJ LWV SHULRG RI XVH DQG LQ SDWLFXODU ZKHQ WKH QRQ FRQGXFWLQJ WLPH
%DWWHU\ 5HSODFHPHQW ) &
'LVSRVDO RI WKH EDWWHU\ :$51,1* )RUELGGHQ %H FDUHIXO QRW WR DFFLGHQWDOO\ FRQQHFW WKH RSSRVLWH HOHFWURGH RI WKH EDWWHU\ RU FKDUJH WKH EDWWHU\ $OVR QHYHU WU\ WR GLVPDQWOH KHDW RU WKURZ WKH EDWWHU\ LQWR ILUH RU PDNH LW VKRUW FLUFX
)XVH 5HSODFHPHQW )XVH 5HSODFHPHQW 7KH IROORZLQJ PRGXOHV KDYH EXLOW LQ SURWHFWLRQ IXVHV 7\SH RI PRGXOH '& RXWSXW '2 '2 3 $& RXWSXW $& 1DPEHU RI XQLWV )XVH W\SH (; 6)$ (; 6)& )XVH UDWLQJ 9DF $ 9DF $ 7KH $& DQG '& SRZH VXSSO\ PRGXOHV KDYH D EXLOW LQ SURWHFWLYH IXVH WR SUHYHQW EXUQ RXW RI LQWHUQDO FLUFLWV RI WKH PRGXOHV 2YHU ORQJ WHUP XVH 21 2)) FKDQJHV RI WKH SRZHU PD\ FDXVH IDWLJXH FKHFN WKH IXVH SHULRGLFDOO\ 7KH DYRYH RXWSXW PRGXOHV KDYH SURWHFWLYH IXVHV WR S
&KDSW 7URXEOHVKRRWLQJ 7URXEOHVKRRWLQJ SURFHGXUH ,I D WURXEOH RFFXUV GHWHUPLQH ZKHWKHU WKH FDXVH OLHV RQ WKH PHFKDQLFDO VLGH RU RQ WKH FRQWURO V\VWHP 6 7 VLGH $ SUREOHP PD\ FDXVH D VHFRQGDU\ SUREOHP WKHUHIRUH WU\ WR GHWHUPLQH WKH FDXVH RI WKH WURXEOH E\ FRQVLGHULQJ WKH ZKROH V\VWHP ,I WKH SUREOHP LV IRXQG LQ WKH 6 7 RU LQ WKH 6 7¶V , 2 RSHUDWLRQ FKHFN WKH IROORZLQJ SRLQWV ,I WKH 32:(5 /(' LV QRW OLW IROORZ 7KH 32:(5 /(' RI WKH SRZHU VXSSO\ PRGXOH LV OLW WKH SURFHGXUH LQ
&$87,21 ! "
&KHFNLQJ WKH SRZHU VXSSO\ &KHFNLQJ WKH SRZHU VXSSO\ ,I WKH 32:(5 /(' LQ WKH IURQW RI WKH SRZHU VXSSO\ PRGXOH GRHV QRW OLJKW DIWHU SRZHU 21 FKHFN WKH IROORZLQJ SRLQWV ,( -.
&KHFNLQJ WKH 6 7 &38 :KHQ WKH 32:(5 /(' RI WKH SRZHU VXSSO\ PRGXOH LV OLW EXW WKH 581 /(' RI WKH &38 PRGXOH LV RXW FKHFN WKH IROORZLQJ LWHPV ,V WKH )/7 /(' EOLQNLQJ" %OLQNLQJ :KHQ LW EOLQNV HYHQ LI SRZHU VXSSO\ LV RQ &38 PRGXOH LV GHIHFWLYH 5HSODFH WKH &38 2XW RU OLW /LW ,V WKH )/7 /(' OLW" $Q HUURU KDV RFFXUUHG &KHFN WKH FRQWHQW RI WKH (YHQW +LVWRU\ 2XW ,V WKH &38 PRGXOH 12 RSHUDWLRQ PRGH VZLWFK WR 6KLIW WR 581 581" <(6 ,W VWDUWV XS LQ WKH +$/7 PRGH ,V WKH
&KHFNLQJ XVHU SURJUDP &KHFNLQJ XVHU SURJUDP ! " #
&KHFNLQJ LQSXW ,I WKH SURJUDP LV UXQQLQJ EXW WKH LQSXW VLJQDO LV QRW UHDG QRUPDOO\ FKHFN WKH IROORZ LQJ SRLQWV ! " # ! ' ! ! ' ! ! $ ! % ! & ! '
&KHFNLQJ RXWSXW &KHFNLQJ RXWSXW :KHQ WKHUH LV D SUREOHP ZLWK WKH DFWXDO RSHUDWLRQ RI RXWSXW HTXLSPHQW DOWKRXJK FRU UHFWO\ RXWSXWWLQJ WR UHJLVWHUV DQG YDULDEOHV RQ WKH SURJUDP FDUU\ RXW WKH IROORZLQJ LQ SUHSDUDWLRQ IRU FKHFNV 6DYH WKH SURJUDP ,Q D +'' 02 &' 520 '9' 5$0 HWF &OHDU WKH &38 PHPRU\ 3XW WKH 520 5$0 VKLIW VZLWFK WR 5$0 21 $IWHU PDNLQJ WKH DERYH SUHSDUDWLRQV FDUU\ RXW FKHFNV LQ WKH IROORZLQJ VHTXHQFH &KHFN WKH IROORZLQJV ZLWK RQO\ (1' LQVWUXFWLRQ DIWHU WKH PHPRU\ LV FO
7URXEOHV GXH WR H[WHUQDO IDFWRUV :KHQ D SUREOHP ZLWK WKH 6 7 V\VWHP RFFXUV DV RQH RI WKH IROORZLQJ SKHQRPHQD H[WHUQDO IDFWRUV VKRXOG EH VXVSHFWHG ,I DQ DEQRUPDOLW\ RFFXUV V\QFKURQRXVO\ ZLWK WKH RSHUDWLRQ RI , 2 HTXLSPHQW 7KH QRLVH FDXVHG DW 21 2)) RI WKH RXWSXW HTXLSPHQW PD\ EH WKH VRXUFH RI WKH DEQRUPDOLW\ 7DNH QHFHVVDU\ PHDVXUHV PHQWLRQHG LQ 6HFWLRQ 3UHFDXWLRQV IRU , 2 PRGXOHV ,I DQ DEQRUPDOLW\ RFFXUV V\QFKURQRXVO\ ZLWK WKH RSHUDWLRQ RI VXUURXQGLQJ HTXLSPHQW RU KLJK I
,1'(; % & ' ( ) , / 0 1 2 3 ) & %DVH %DVLF 8QLW %DWWHU\ &RPSXWHU /LQN IXQFWLRQ &RPSXWHU /LQN PRGH &RPSXWHU /LQN 3URWRFRO &RQWUROOHU
,1'(; 5 6 8 : 520 5$0 6ZLWFK 581 6LJQDO 2XWSXW 581 6WDQG E\ 6ZLWFK 6DIHW\ &LUFXLW 6HWWLQJ 6ZLWFKHV RI 2SHUDWLRQ 0RGH 6SDFH 0RGXOH 6WDWLRQ 0RGXOH 6WDWXV 'LVSOD\ /('V
9 ! " ! " "# $% &$$ ' ( )*+,& - -.%/ .0$$ 1*+,& - %...