Digital PDFs

54-23499-01

May 1999

16 pages

Original

0.1MB

Document:	alpha1000 v54 fw relnote
Order Number:	54-23499-01
Revision:	0
Pages:	16
Original Filename:	alpha1000_v54_fw_relnote.pdf

OCR Text

9&RQVROH)LUPZDUH5HOHDVH1RWHV
$OSKD6HUYHU6\VWHPV

&RQVROH)LUPZDUH9 )LQDO5HOHDVH
0DUFK

)LUVW3ULQWLQJ1RYHPEHU5HYLVHG0DUFK
7KHLQIRUPDWLRQLQWKLVSXEOLFDWLRQLVVXEMHFWWRFKDQJHZLWKRXWQRWLFH
&203$4&20387(5&25325$7,216+$//127%(/,$%/()257(&+1,&$/25(',725,$/
(552562520,66,216&217$,1('+(5(,1125,1&,'(17$/25&216(48(17,$/'$0$*(6
5(68/7,1*)5207+()851,6+,1*3(5)250$1&(2586(2)7+,60$7(5,$/7+,6,6
3529,'('$6,6$1'&203$4&20387(5&25325$7,21',6&/$,06$1<:$55$17,(6
(;35(66,03/,('2567$78725<$1'(;35(66/<',6&/$,067+(,03/,(':$55$17,(62)
0(5&+$17$%,/,7<),71(66)253$57,&8/$5385326(*22'7,7/($1'$*$,167
,1)5,1*(0(17
7KLVSXEOLFDWLRQFRQWDLQVLQIRUPDWLRQSURWHFWHGE\FRS\ULJKW1RSDUWRIWKLVSXEOLFDWLRQPD\EHSKRWRFRSLHGRU
UHSURGXFHGLQDQ\IRUPZLWKRXWSULRUZULWWHQFRQVHQWIURP&RPSDT&RPSXWHU&RUSRUDWLRQ
&RS\ULJKW&RPSDT&RPSXWHU&RUSRUDWLRQ$OO5LJKWV5HVHUYHG
7KHIROORZLQJDUHWUDGHPDUNVRI'LJLWDO(TXLSPHQW&RUSRUDWLRQ
$OSKD'(&'(&FKLS'(&SF'(&ZLQGRZV'(&9(7',*,7$/,QIR6HUYHU2SHQ9063RZHU6WRUP55'
5=785%2FKDQQHO8/75,;9$;9$;'2&80(17906DQGWKH',*,7$/ORJR
:LQGRZV17LVDWUDGHPDUNRI0LFURVRIW,QF81,;LVDUHJLVWHUHGWUDGHPDUNLQWKH8QLWHG6WDWHVDQGRWKHUFRXQWULHV
OLFHQVHGH[FOXVLYHO\WKURXJK;2SHQ&RPSDQ\/WG4/RJLFLVDUHJLVWHUHGWUDGHPDUNRI4/RJLF&RUSRUDWLRQ$OO
RWKHUWUDGHPDUNVDQGUHJLVWHUHGWUDGHPDUNVDUHWKHSURSHUW\RIWKHLUUHVSHFWLYHKROGHUV

6&23(

$8',(1&( 
*2/'(158/(67283'$7,1*),50:$5(  
,17(51(7$&&(6672),50:$5(  
5(/$7(''2&80(17$7,21

5($'0(),567

)81&7,21$/&+$1*(67+(95(/($6(

),50:$5(5(9,6,210$75,;

$120$/,(65(675,&7,216 :25.$5281'6

*HQHUDO,QIRUPDWLRQ

650&RQVROH6SHFLILF,QIRUPDWLRQ

,22SWLRQV6SHFLILF5HVWULFWLRQV

2SHUDWLQJ6\VWHP6SHFLILF5HVWULFWLRQV

63(&,$/$1'*(1(5$/650&2162/(&200$1'6

'HIDXOW9DOXHIRUEXVBSUREHBDOJRULWKP

6HW&RQVROHWR*UDSKLFVRU6HULDO

8VLQJWKH7(67&RPPDQGRQ6KDUHG6&6,V\VWHPV

&OHDU6HFXUH0RGH

6DYHB195$0 5HVWRUHB195$0&RPPDQGV

5HGLUHFW&RQVROH2XWSXWWR)ORSS\'LVN

),50:$5(83'$7(352&('85(

*(1(5$/$668037,21621),50:$5(5(9,6,21

/2$'$%/(),50:$5(87,/,7<&200$1'6

/LVW&RPPDQG

8SGDWH&RPPDQG

&RQVROH)LUPZDUH9
3DJH

83'$7(),50:$5(9,$650&2162/(

83'$7(),50:$5(9,$$5&$/3+$%,26

&38B8SJUDGH $OSKD6HUYHU$[[[2QO\

&38B'RZQJUDGH $OSKD6HUYHU[[[ZLWK0/%2QO\

'(127(6

&+$1*(6)52035(9,286&2162/(),50:$5(5(/($6(6

'()$  
'(%$$1''($$  
9  
9  
9  
9  
9  
9  
9  
9  
9

&RQVROH)LUPZDUH9
3DJH

6FRSH
7KHGRFXPHQWOLVWVVLJQLILFDQWFKDQJHVLQWKLVILUPZDUHUHOHDVHDQGGHVFULEHVPHWKRGVWRXSGDWHFRQVROHILUPZDUHDQG
FRQVROHVXSSRUWHGLRRSWLRQVILUPZDUH7KLVGRFXPHQWGRHVQRWGHVFULEHWKHFRQVROHILUPZDUHLQWHUQDOVRUFRQVROH
DUFKLWHFWXUH

$XGLHQFH

7KHDXGLHQFHIRUWKLVGRFXPHQWLVLQWHQGHGIRULQGLYLGXDOVUHVSRQVLEOHIRURSHUDWLQJV\VWHPLQVWDOODWLRQVRUXSJUDGHV
DQGIRUFRQVROHILUPZDUHDQGFRQVROHVXSSRUWRSWLRQILUPZDUHXSGDWHV

*ROGHQ5XOHVWR8SGDWLQJ)LUPZDUH
8SGDWHFRQVROHILUPZDUHEHIRUHLQVWDOOLQJRUXSGDWLQJDQRSHUDWLQJV\VWHP8SGDWHERWKFRQVROHV 650DQG
$5&$OSKD%,26 WRHQVXUHFRPSDWLELOLW\ZLWKWKHDVVRFLDWHGRSHUDWLQJV\VWHP5XQWKHDSSURSULDWH(,6$
&RQILJXUDWLRQ8WLOLW\>(&8@ZKHQVZLWFKLQJEHWZHHQ:LQGRZV17DQG7UX8QL[2SHQ906RUDIWHUGRLQJD
FSXBXSJUDGHRUDFSXBGRZQJUDGHXQGHUWKH/RDGDEOH)LUPZDUH8WLOLW\

,QWHUQHW$FFHVVWR)LUPZDUH
,QWHUQHWDFFHVVWRFRQVROHILUPZDUHDQGWR$OSKD%,26+$/DQG17'ULYHUV
ZZZFRPSDTFRPVXSSRUW FOLFNRQ$OSKD6\VWHPVXQGHUWKH´'RZQORDGDEOH'ULYHUV 8WLOLWLHVµPHQX 
KWWSZZZFRPSDTFRPVXSSRUWILOHVDOSKDQWLQGH[KWPO &XUUHQWYHUVLRQRI%,26+$/DQG17'ULYHUV

5HODWHG'RFXPHQWDWLRQ
7DEOH5HODWHG'RFXPHQWDWLRQ
$OSKD6HUYHU$6HULHV
8VHU,QIRUPDWLRQ

(QJOLVK
6SDQLVK
,WDOLDQ
*HUPDQ

(.3&'6$8,
(.3&'668,
(.3&'6,8,
(.3&'6*8,

)UHQFK
'XWFK
-DSDQHVH

(.3&'638,
(.3&'6+8,
(.3&'6<8,

$OSKD6HUYHU$6HULHV&38
0RGXOH,QIRUPDWLRQ

(QJOLVK
6SDQLVK
,WDOLDQ
*HUPDQ

(.3&'6$&,
(.3&'66&,
(.3&'6,&,
(.3&'6*&,

)UHQFK
'XWFK

(.3&'63&,
(.3&'6+&,

$OSKD6HUYHU$6HULHV
,QVWDOODWLRQ

(QJOLVK

(.3&'6$,,

&RQVROH)LUPZDUH9
3DJH

5HDG0H)LUVW
 )XQFWLRQDO&KDQJHVWKH95HOHDVH
•

•

650&RQVROH&KDQJHV
•

&RQVROHVXSSRUWIRU,QWHO(WKHUQHWFDUGV

•

&RQVROHVXSSRUWIRU(/6$*ORULD6\QHUJ\JUDSKLFFDUGV

•

)LEUH&KDQQHO>.*36$@RQ$OSKD6HUYHU6\VWHPV6HHUHVWULFWLRQV

•

&RQVROHUHFRJQLWLRQRI$70$GDSWHUV

•

&RQVROH'DWHFRPPDQGUHPRYHG

$OSKD%,26&RQVROH9 $5&&RQVROH9

)LUPZDUH5HYLVLRQ0DWUL[
7KHIROORZLQJPDWUL[VKRZVWKHPLQLPXPJLYHQRSHUDWLQJV\VWHPYHUVLRQIRUDJLYHQFRQVROHILUPZDUH
5HYLVLRQ0DWUL[IRU$OSKD6HUYHU
)LUPZDUH&'9HUVLRQ

)LUPZDUH&'9HUVLRQ'DWH

0DUFK

2FWREHU

2SHQ906

7UX8QL[

:LQGRZV17

0RGHO[[[

6509HUVLRQ

$OSKD%,269HUVLRQ

2SHUDWLQJ6\VWHP

&RQVROH)LUPZDUH

$QRPDOLHV5HVWULFWLRQV :RUNDURXQGV

*HQHUDO,QIRUPDWLRQ

8SGDWH&&0$%)LUPZDUHIURPWKH/)8

&RQVROHILUPZDUH9RUJUHDWHUHQDEOHVWKHDELOLW\WRXSGDWH&&0$% PHPRU\FKDQQHO ILUPZDUHIURPWKH
/RDGDEOH)LUPZDUH8WLOLW\

&RQVROH)LUPZDUH9
3DJH

650&RQVROH6SHFLILF,QIRUPDWLRQ

,22SWLRQV6SHFLILF5HVWULFWLRQV

3%*$-&-'9*$*UDSKLFV&RQWUROOHU

7KH650FRQVROHHQYLURQPHQWYDULDEOH%227B5(6(7PXVWEHVHWWR2))WRXVHWKH3%*$-&RU-'JUDSKLFV
FDUG2))LVWKHGHIDXOWYDOXHIRU%227B5(6(7!!!VHWERRWBUHVHWRII

.=3%$'%
7KH.=3%$'%'XDO&KDQQHO3&,WR8OWUD6&6,$GDSWHULVUHVWULFWHGWRWKHSULPDU\3&,EXVVORWV

3%;*%$$&$
7KH3%;*%$$DQG&$JUDSKLFVFDUGVDUHUHVWULFWHGWRWKHSULPDU\3&,EXVVORWV

3%;'$$&
7KH3%;'$$&3RUW+LJK3HUIRUPDQFH$V\QFKURQRXV0XOWLSOH[HU&RQWUROOHUKDVWKHIROORZLQJUHVWULFWLRQV
•

1R5HVWULFWLRQVRQ$OSKD6HUYHU'LJLWDO6HUYHURU$OSKD6HUYHU$0RGHO[[[V\VWHPV

•

5HVWULFWHGWR6(&21'$5<3&,EXVVORWVRQ$OSKD6HUYHU$0RGHO[[[V\VWHPV

•

127VXSSRUWHGRQ$OSKD6HUYHUV\VWHPV

3%;*,$'
•

1R5HVWULFWLRQRQ$OSKD6HUYHU

•

5HVWULFWHGWR3ULPDU\3&,%XVVORWVIRUDOO$OSKD6HUYHU$V\VWHPV

•

127VXSSRUWHGRQDOO$OSKD6HUYHU6\VWHPV

2SHUDWLQJ6\VWHP6SHFLILF5HVWULFWLRQV

'66,'HYLFHV1RW6HHQ8QGHU2SHQ906

7KHIROORZLQJDQRPDO\LV2SHQ906VSHFLILFDQGLVQRWHGKHUHIRULQIRUPDWLRQDOSXUSRVHV$QHZ2SHQ906GULYHU
PD\EHQHHGHGIRU$OSKD6HUYHU6\VWHPVZLWK.)(6$ V>'66,WR(,6$6WRUDJH$GDSWHUV@7KHV\PSWRPLVWKDWGDWD
GLVNVRIIWKH.)(6$PD\QRWEHVHHQQRUGLVSOD\HGE\WKH2SHQ906VKRZGHYLFHFRPPDQG7KH2SHQ906GULYHU
ZKRIL[HVWKLVDQRPDO\LVDYDLODEOHIURP7,0$

(,6$&RQILJXUDWLRQ8WLOLW\'LVNHWWH9HUVLRQ8QGHU7UX8QL[
:KHQ\RXUXQ(&89WKH9*$*UDSKLFV&RQWUROOHUVHWWLQJLVVHWWR',6$%/('3UHYLRXV(&8YHUVLRQVWKLV
VHWWLQJZDVVHWWR(1$%/(':KHQUXQQLQJ(&89VHOHFW67(3WR(1$%/(WKH9*$*UDSKLFVFRQWUROOHU
SULRUWRERRWLQJ'LJLWDO81,;7KLVZLOODOORZ\RXU;VHUYHUWRVWDUW7KLVQRWDSSO\WR'LJLWDO$OSKD6HUYHUDQG
$6\VWHPVXVLQJWKH&LUUXV9*$JUDSKLFVFRQWUROOHURQWKHPRWKHUERDUG
(&89$LVDYDLODEOH3DUWQXPEHU$.4&50&$IRU2SHQ9067UX8QL[DQG$.4)*)&$IRU
:LQGRZV17V\VWHPV

&RQVROH)LUPZDUH9
3DJH

6SHFLDODQG*HQHUDO650&RQVROH&RPPDQGV

'HIDXOW9DOXHIRUEXVBSUREHBDOJRULWKP

)RUDOOV\VWHPVWKHGHIDXOWYDOXHLV´QHZµIRUWKH650FRQVROHHQYLURQPHQWYDULDEOHEXVBSUREHBDOJRULWKP7KH
RSHUDWLQJV\VWHPVLQFOXGH7UX8QL[ 2SHQ9069DQGODWHU DQG:LQGRZV17

6HW&RQVROHWR*UDSKLFVRU6HULDO

8VHWKH,1,7FRPPDQGWRUHGLUHFWWKHFRQVROHRXWSXWWRWKHJUDSKLFVSRUWRUWRWKHVHULDOSRUW7KHFRPPDQG
VHTXHQFHLVDVIROORZV
!!!VHWFRQVROHJUDSKLFV RU!!!VHWFRQVROHVHULDO
!!!,1,7
$IWHUWKH,1,7FRPPDQGFRQVROHRXWSXWLVGLUHFWHGWRWKHDSSURSULDWHSRUW

8VLQJWKH7(67&RPPDQGRQ6KDUHG6&6,V\VWHPV

7KH7(67FRPPDQGLVGHVLJQHGIRUVWDQGDORQHV\VWHPVWKHUHIRUHZLOOQRWZRUNRQDVKDUHG6&6,V\VWHP7RUXQWKH
7(67FRPPDQGGLVFRQQHFWRQHRIWKHV\VWHPVWRWKHVKDUHGGLVNV

&OHDU6HFXUH0RGH

7KH+DOWEXWWRQQRZLVODWFKHGLQVRIWZDUH,IWKHKDOWEXWWRQLVGHSUHVVHGZKHQWKHFRQVROHLVVWDUWLQJQRQYUDP
VFULSWVDUHH[HFXWHGDQGWKHFRQVROHUHWXUQV!!!,IVHFXUHPRGHLVVHW\RXFDQFOHDUWKHFRQVROHLQWKHIROORZLQJZD\
•

7\SHORJLQDWWKH650!!!SURPSW

•

3UHVVDQG5HOHDVHWKH+$/7%XWWRQDIWHU\RXVHHWKHHQWHUSDVVZRUGSURPSW

•

SDVVZRUGLVQRZFOHDUHGDIWHU\RXUHOHDVHWKH+$/7%XWWRQRQWKHRSHUDWRUVFRQWUROSDQHO

&RQVROH)LUPZDUH9
3DJH

6DYHB195$0 5HVWRUHB195$0&RPPDQGV

7KHVDYHB195$0DQGUHVWRUHB195$0FRPPDQGVDUHDYDLODEOHRQO\XQGHUWKH/RDGDEOH)LUPZDUH8WLOLW\>/)8@
7KHFRPPDQGVVDYHRUUHVWRUH195$0FRQILJXUDWLRQGDWD7KLVIHDWXUHLVXVHIXOLIXSJUDGLQJDV\VWHP VPRWKHUERDUG
DQG\RXZLVKWRUHVWRUHWKHV\VWHPVSUHYLRXV195$0FRQWHQWV7RJHWWRWKH/)8SURPSWWRLQYRNHWKHVHFRPPDQGV
ERRWWKH$OSKD)LUPZDUH&'DQGSUHVVWKHHQWHUNH\DIWHUWKH%RRWILOHSURPSW

6DYHB195$0

6DYHWKHV\VWHP195$0GDWDIURP.%((520DQGODVW72<5$0E\WHVRQWRDZULWH81ORFNHG)$7
IRUPDWWHGIORSS\WRDILOH%\GHIDXOWLIQRVFULSWDUJXPHQWLVVSHFLILHGDOO195$0LVVDYHGWRILOH$//195$06$9
,IWKHILOHDOUHDG\H[LVWVWKHQDFRS\RIWKHRULJLQDOILOHLVPDGHWR %$.,IWKDWILOHH[LVWVLWLVRYHUZULWWHQ1RWH
DWWHPSWVWRZULWHWRDZULWHORFNHGIORSS\IDLOVLOHQWO\
6\QWD[

VDYHBQYUDP>^DOODUFVUPWR\`@

DOO$OORIWKH.%((520DQGE\WHVRI72<5$0DUHVDYHGLQILOHDOOQYUDPVDY7KLVLVWKHGHIDXOWLIQR
DUJXPHQWLVVSHFLILHG
DUF$5& $OSKD%,26 GDWDLQILUVW.%RIWKH.%((520LVVDYHGLQILOHDUFQYUDPVDY
VUP650FRQVROHGDWDLQODVW.%RIWKH.%((520LVVDYHGLQILOHVUPQYUDPVDY
WR\72<FRQVROHGDWDLQWKHE\WHVRI72<5$0LVVDYHGLQILOHWR\QYUDPVDY
([DPSOHWRFRS\DVFULSWIURPIORSS\ 1RWHWKLVFRPPDQGLVXQQHFHVVDU\ZKHQUXQQLQJIURPWKH/)8
!!!FDWIDWVDYHQYUW[WGYD!VDYHBQYUDP
([DPSOH7RVDYHDOOWKHV\VWHP195$0WRDQLPDJHRQIORSS\
!!!VDYHBQYUDP
6DYHDOO195$0GDWDWRILOHIDWDOOQYUDPVDYGYD
FRS\RULJLQDOWRDEDNILOH

,IILOHDOUHDG\H[LVWVILUVW

3OHDVHLQVHUWDZULWH81ORFNHG)$7IRUPDWWHGIORSS\DQGHQWHU\WRFRQWLQXH
<
&KHFNLQJIRUD)$7IRUPDWWHGIORSS\
)RXQGLW
&KHFNLQJIRUH[LVWLQJIDWDOOQYUDPVDYGYD
)RXQGRQH
&RS\LQJIDWDOOQYUDPVDYGYDWREDNILOH
6XFFHHGHG
&RS\LQJDOO195$0WRIDWDOOQYUDPVDYGYD
6XFFHHGHG
!!!(QGRI([DPSOH

5HVWRUHB195$0
5HVWRUHWKHV\VWHP195$0GDWDWR.%((520DQGRUODVW72<5$0E\WHVIURPDIORSS\FRQWDLQLQJWKH
195$0VDYHILOH V %\GHIDXOWLIQRVFULSWDUJXPHQWLVVSHFLILHGDOO195$0LVUHVWRUHGIURPILOH$//195$06$9
6\QWD[

UHVWRUHBQYUDP>^DOODUFVUPWR\`@

&RQVROH)LUPZDUH9
3DJH

5HGLUHFW&RQVROH2XWSXWWR)ORSS\'LVN

7KLVFRPPDQGZDVLQWURGXFHGLQFRQVROHY<RXFDQ5HGLUHFWFRQVROHRXWSXWWRD)$7IRUPDWWHGIORSS\GLVNDQG
GLVSOD\WKHFRQWHQWVRIWKHILOHVDYHGRQIORSS\GLVN
([DPSOHWR5HGLUHFW&RQVROH2XWSXWWR)ORSS\GLVN
)RUPDW!!!FRQVROHFRPPDQG!IDWILOHQDPHGYD
7KLVH[DPSOHVWRUHVWKHV\VWHPVFRQILJXUDWLRQWRDIORSS\ILOH
!!!VKRZFRQILJ!IDWVKRZFRQILJIDWGYD
7KLVH[DPSOHGLVSOD\VWKHFRQWHQWVRIFRQVROHRXWSXWILOHVWRUHGRQIORSS\GLVN
!!!FDWIDWVKRZFRQILJIDWGYD_PRUH
7KLVH[DPSOHVWRUHVWKHV\VWHPSRZHUXSVHTXHQFH
!!!FDWHO![
!!!FDW[!IDWFDWBHOIDWGYD
7KLVH[DPSOHFRPELQHVWKHDERYHWZRFRPPDQGVLQWRRQH
!!!FDWHO!IDWFDWBHOIDWGYD
(QGRI([DPSOHV

)LUPZDUH8SGDWH3URFHGXUH
7KLVFKDSWHUH[SODLQVKRZWRXSGDWHILUPZDUH$OSKD6HUYHUV\VWHPVFRQWDLQIODVK520 V WRVWRUH650DQG
$5&$OSKD%,26FRQVROHILUPZDUH650FRQVROHLVXVHGIRU7UX8QL[DQG2SHQ906ZKHUHDV$5&$OSKD%,26
FRQVROHLVXVHGIRUWKH:LQGRZV17RSHUDWLQJV\VWHP

*HQHUDO$VVXPSWLRQVRQ)LUPZDUH5HYLVLRQ
$OSKD6HUYHUV\VWHPVUHFHQWO\VKLSSHGPD\KDYHDKLJKHUILUPZDUHUHYLVLRQWKDQWKHILUPZDUHUHYLVLRQOLVWHGLQWKLV
UHOHDVH'RQRWORDGILUPZDUHWKDWLVROGHUWKDQZKDWLVSUHVHQWO\LQVWDOOHG$KLJKHUILUPZDUHUHYLVLRQXVXDOO\LQGLFDWHVVXSSRUW
IRUWKHFXUUHQWO\VKLSSLQJRSHUDWLQJV\VWHP7KHUHYLVLRQQXPEHURIFRQVROHILUPZDUHDQGWKH$OSKD)LUPZDUH&'DUH
PXWXDOO\H[FOXVLYH

/RDGDEOH)LUPZDUH8WLOLW\&RPPDQGV
7KH/RDGDEOH)LUPZDUH8WLOLW\LVWKHPHFKDQLVPWRXSGDWHFRQVROHDQGRSWLRQILUPZDUH

/LVW&RPPDQG

8VHWKHOLVWFRPPDQGWRVKRZDOLVWRIPHPRU\ORDGHGLPDJHVDQGFXUUHQWO\VXSSRUWHGIODVK520V,QWKHIROORZLQJ
H[DPSOHWKUHHGHYLFHVDUHLQVWDOOHGLQDV\VWHPWKDWFDQEHILUPZDUHXSGDWHG
83'!OLVW
'HYLFH&XUUHQW5HYLVLRQ)LOHQDPH8SGDWH5HYLVLRQ
$5&
DUFBIZ
650Y
VUPBIZ
«
IZE

GISDDBIZ
««
GI[DDBIZVHHQRWHEHORZRQGI[DDBIZ
«
GIHDEBIZ
«
N]SVDBIZ$

&RQVROH)LUPZDUH9
3DJH

2SWLRQV'()($DQGWKH'(3$$XVHWKHGI[DDBIZILUPZDUHILOH2SWLRQILUPZDUHGI[DDBIZLVDQHQFDSVXODWLRQIRU
ROGHUDQGQHZYHUVLRQVRIWKH'()($DQG')3$$2OGHU'()($PRGHOVSDUWQXPEHU;;@XVHGLIIHUHQW
ILUPZDUHQHZHU'()($PRGHOV>SDUWQXPEHU[[@

8SGDWH&RPPDQG

8VHWKHXSGDWHFRPPDQGWRXSGDWHFRQVROHDQGRSWLRQILUPZDUHRUWRXSGDWHRSWLRQRQO\ILUPZDUH
83'!XSGDWH>XSGDWHVFRQVROHDQGRSWLRQILUPZDUH@
83'!XSGDWHRSWLRQQDPH!HJ!!!XSGDWHFFPDE

8SGDWH)LUPZDUHYLD650&RQVROH
7KHIROORZLQJSURFHGXUHVKRZVKRZWRXSGDWHFRQVROHDQGRSWLRQILUPZDUH7RXSGDWHRQO\RSWLRQILUPZDUHVHOHFW
WKHRSWLRQQDPHDIWHUWKHXSGDWHFRPPDQGHJ83'!XSGDWHSND
,QVHUW)LUPZDUH&'LQWRGULYH

!!!VKRZGHYLFH

)LQGWKH&'520GHYLFH,'HJGND

%RRWWKH$OSKD)LUPZDUH&'

!!!%RRWGND

%RRWFRGHGHWHUPLQHVWKH$OSKD6HUYHUW\SH

3UHVVWKHHQWHUNH\DIWHU%RRWILOH

%RRWILOH

7RXVHGHIDXOWILUPZDUH

7\SHXSGDWH

83'!XSGDWH

8SGDWHFRQVROHDQGRSWLRQILUPZDUH

([LWWKH/)8

83'!H[LW

([LWLQJZLOOLQLWLDOL]HWKHV\VWHP

&RQVROH)LUPZDUH9
3DJH

([DPSOH
!!!VKRZGHYLFH
GND'.$55'
!!!ERRWGND )LUPZDUH&'LVLQVHUWHGLQ&''ULYH
EORFNRIGNDLVDYDOLGERRWEORFNUHDGLQJEORFNVIURPGND
ERRWVWUDSFRGHUHDGLQEDVH LPDJHBVWDUW LPDJHBE\WHV ED
LQLWLDOL]LQJ+:53%DW
LQLWLDOL]LQJSDJHWDEOHDW
LQLWLDOL]LQJPDFKLQHVWDWH
VHWWLQJDIILQLW\WRWKHSULPDU\&38
MXPSLQJWRERRWVWUDSFRGH
>5HOHDVHQRWHVDUHGLVSOD\HG@
%RRWILOH>SUHVVHQWHUNH\@
HEHDHHHH
&KHFNLQJGEDIRUWKHRSWLRQILUPZDUHILOHV«
/RDGDEOH)LUPZDUH8SGDWH8WLOLW\

)XQFWLRQ'HVFULSWLRQ

'LVSOD\'LVSOD\VWKHV\VWHP VFRQILJXUDWLRQWDEOH
([LW'RQHH[LW/)8 UHVHW 
/LVW/LVWVWKHGHYLFHUHYLVLRQILUPZDUHQDPHXSGDWHUHY
8SGDWH5HSODFHVFXUUHQWILUPZDUHZLWKORDGDEOHGDWDLPDJH
9HULI\&RPSDUHVORDGDEOHDQGKDUGZDUHLPDJHV
"RU+HOS6FUROOVWKLVIXQFWLRQWDEOH

83'!83'$7(«
DQVZHU<HVWRDOOTXHVWLRQVWKHQH[LW
83'!H[LW
(QGRI([DPSOH
7KHILUPZDUHLVQRZORDGHGLQWR5207\SLQJH[LWZLOOUHVHWWKH$OSKD6HUYHUV\VWHPZKLFKLQYRNHVWKHQHZILUPZDUH

8SGDWH)LUPZDUHYLD$5&$OSKD%,26
7KHIROORZLQJSURFHGXUHVVKRZKRZWRXSGDWHFRQVROHDQGRSWLRQILUPZDUH7RXSGDWHRQO\RSWLRQILUPZDUHVHOHFW
WKHRSWLRQQDPHDIWHUWKHXSGDWHFRPPDQGHJ83'!XSGDWHSND
7RJHWWRWKH$5&RU$OSKD%,26FRQVROHPHQXIURP:LQGRZV17VKXWGRZQWKHRSHUDWLQJV\VWHPWKHQUHVHWWKH
V\VWHP7RJHWWRWKH$5&FRQVROHIURPWKH650FRQVROHSURPSW!!!W\SHVHWRVBW\SH17WKHQUHVHWWKHV\VWHP
RUW\SH!!!DUFIURPWKH650FRQVROH
,QVHUW$OSKD)LUPZDUH&'LQWR&'520GULYH
6HOHFW6XSSOHPHQWDU\0HQX

WRJHWWRWKH´,QVWDOO1HZ)LUPZDUHµPHQXLWHP

6HOHFW,QVWDOO1HZ)LUPZDUH

WRLQYRNHWKH/)8IURPWKH$OSKD)LUPZDUH&'7KLV
VHOHFWLRQZLOOVWLPHRXWLIWKH$OSKD)LUPZDUH&'LVQRW

&RQVROH)LUPZDUH9
3DJH

SUHVHQW
7\SHXSGDWHDIWHUWKH83'!SURPSW

WRXSGDWHFRQVROHDQGRSWLRQILUPZDUH

7\SHH[LWDIWHUWKHILUPZDUHKDVXSGDWHG

WRUHVHWWKHV\VWHP

&38B8SJUDGH $OSKD6HUYHU$[[[2QO\

7KLVFRPPDQGSURYLGHVWKHDELOLW\WRXSJUDGHWR(9&38E\RQO\FKDQJLQJWKHFRQVROHILUPZDUH7KLVFRPPDQG
GRHVQRWH[LVWRQRWKHUV\VWHPV0DNHVXUH\RXKDYHDQ(9&38UHDG\WRUHSODFHWKH(9&38EHIRUH\RXEHJLQ
<RXPXVWUXQWKH(,6$&RQILJXUDWLRQ8WLOLW\DIWHU\RXKDYHUHSODFHGWKH&38PRGXOH
3URFHGXUH
83'!FSXBXSJUDGH
83'!H[LW

$QVZHU<HVWRDOOTXHVWLRQV

6KXWGRZQ6\VWHP
5HSODFH&38
3RZHUXS
5XQ(&8
(QGRI3URFHGXUH

&38B'RZQJUDGH $OSKD6HUYHU[[[ZLWK0/%2QO\

7KHFSXBGRZQJUDGHFRPPDQGLVYDOLG21/<IRU$OSKD6HUYHU[[[DQG$[[[V\VWHPVWKDWKDYHWKH
ROGHU0DLQ/RJLF%RDUG'RQRWXVHWKLVFRPPDQGRQV\VWHPVZLWK0DLQ/RJLF%RDUG
7KLVFRPPDQGSURYLGHVWKHDELOLW\WRXSJUDGHWR(9&38E\RQO\FKDQJLQJWKHFRQVROHILUPZDUH7KLVFRPPDQG
GRHVQRWH[LVWRQRWKHUV\VWHPV0DNHVXUH\RXKDYHDQ(9&38UHDG\WRUHSODFHWKH(9&38EHIRUH\RXEHLQJ
<RXPXVWUXQWKH(,6$&RQILJXUDWLRQ8WLOLW\DIWHU\RXKDYHUHSODFHGWKH&38PRGXOH
3URFHGXUH
83'!FSXBGRZQJUDGH
83'!H[LW

$QVZHU<HVWRDOOTXHVWLRQV

6KXWGRZQ6\VWHP
5HSODFH&38
3RZHUXS
5XQ(&8
(QGRI3URFHGXUH

&RQVROH)LUPZDUH9
3DJH

'(1RWHV
 '()$
7KH'()$VXSSRUWVWKHIROORZLQJPRGHV8VHWKHFRQVROHFRPPDQGVKRZQEHORZWRVHOHFWWKHDSSURSULDWHPRGH
•

%DVH)[KDOIDQGIXOOGXSOH[!!!VHWHZ BPRGHIDVWRUIDVWIG

7KH'()$GRHVQRWVXSSRUWDXWRQHJRWLDWLRQPRGH9LVWKHPLQLPXPVXSSRUWLQJFRQVROHYHUVLRQ

'(%$DQG'($$
7KH'(%$DQG'($$VXSSRUWWKHIROORZLQJPRGHV8VHWKHFRQVROHFRPPDQGVKRZQEHORZWRVHOHFWWKH
DSSURSULDWHPRGH
•

%DVH7KDOIGXSOH[IXOOGXSOH[!!!VHWHZ BPRGHWZLVWHGRUIXOO

•

%DVH7[KDOIGXSOH[RUIXOOGXSOH[!!!VHWHZ BPRGHIDVWRUIDVWIG

•

DXWRQHJRWLDWLRQ!!!VHWHZ BPRGHDXWRQHJRWLDWLRQ

9DQG9LVWKHPLQLPXPVXSSRUWLQJFRQVROHYHUVLRQVIRU'($$DQG²%$UHVSHFWLYHO\

:KDWLV$XWR1HJRWLDWLRQ

$XWRQHJRWLDWLRQLVDPHFKDQLVPWRDGYHUWLVHWRGHWHFWDQGWRQHJRWLDWHOLQHVSHHGDELOLWLHVWRDQDXWRQHJRWLDWH
VXSSRUWHGGHYLFHRQDQ(WKHUQHWZLUH,QDXWRQHJRWLDWLRQPRGHWKHXVHUGRHVQRWQHHGWRNQRZWKHOLQHVSHHGRIWKH
DXWRQHJRWLDWLRQVXSSRUWHGGHYLFHRQWKHRWKHUHQGRIDQ(WKHUQHWZLUH,QWKLVPRGHWKH'($$RU%$
DGYHUWLVHVLWVDELOLWLHVVHQGLQJDOLQNFRGHZRUGRQWKH(WKHUQHWZLUH7KH'(ZLOOGHIDXOWWR%DVH7;IXOOGXSOH[
PRGHLILWGRHVQRWUHFHLYHDSURSHUOLQNFRGHZRUGIURPDQRWKHUDXWRQHJRWLDWLRQVXSSRUWHGGHYLFH

&RQVROH)LUPZDUH9
3DJH

&KDQJHVIURP3UHYLRXV&RQVROH)LUPZDUH5HOHDVHV
 9
•

$OSKD%,26&RQVROH99LGHQWLILHVWKH6\VWHP7\SHRID'LJLWDO6HUYHUDVDQ$OSKD6HUYHU)DPLO\
7KLVLVIL[HGLQQH[W$OSKD%,26UHOHDVH 9RUJUHDWHU

•

$5&&RQVROH9² 0LFURVRIWUHTXLUHGWKDWILUPZDUHXQGHUVWDQG\HDUVXSWRIRU<.FHUWLILFDWLRQ:H
KDYHFKDQJHGPD[LPXP\HDUWR WKHQXPEHURISDUDPHWHUVWKDWFDQEHSDVVHGWRDQDUFDSSZDVLQFUHDVHG
IURPWRDQGSDUDPHWHUFKHFNLQJZDVDGGHGWRHQVXUHWKDWWKLVOLPLWLVQRWH[FHHGHG

•

,63ILUPZDUH9² )L[EXJFKHFNLQJXVHUIODJVVHWE\WKH6;3ILUPZDUHZKHQDQ,QWHUUXSWLV
SHQGLQJIURPWKH6;3WRWKH5,6&7KHXVHUIODJVUHJLVWHUZDVODWFKHGZKHQWKHLQWHUUXSWZDVVHWDQGDQ\QHZ
XVHUIODJELWVDUHLQWKHVHFRQGUDQNRIUHJLVWHU7HVWLQJWKHELWWHVWVWKHYDOXHLQWKHODWFKEXWQRWWKHIODJVVHWLQWKH
VHFRQGUDQN )L[EXJLQWKHURXWLQH3URFHVVB:'75B0VJZKHUHWKHWDUJHWZRXOGQHYHUZHQWWR0HVVDJH2XW
SKDVHDQGVXEVHTXHQWO\QHYHUZHQWWRWKH0HVVDJH2XW+DQGOHUZKHUHLWZRXOGVHQGWKHQXPEHURIPHVVDJH
E\WHV,IWKH&'%KDVQRWEHHQVHQWWRWKHWDUJHWZHQHHGWRFRPPDQGWKH6;3WRVHWDWWHQWLRQVRWKDWWKHWDUJHW
JRHVWR0HVVDJH2XWSKDVH

•

.=3&0'$3&,%XVVORWUHVWULFWLRQUHPRYHGIRU$OSKD6HUYHU'LJLWDO6HUYHUSODWIRUPV

•

650&RQVROH&KDQJHV² 'HYLFHUHFRJQLWLRQRIWKH3%;'3$%DQG3%;'3$&PXOWLSRUWV\QF&RQWUROOHU
DQGIRUWKH'(*3$6$*LJDELW(WKHUQHW$GDSWHU 6SDUFH6SDFHH[SDQGHGWR0E(9SODWIRUPVRQO\
 650&RQVROH(QYLURQPHQW9DULDEOHSNDBVRIWBWHUPLVQRORQJHUVXSSRUWVGLIIPRGH

9
•

,63)LUPZDUH97KLVYHUVLRQRI,63IL[HVDSUREOHPZLWKDWDSHGULYHXVHGRQO\E\&RPSXWHU
6SHFLDO6\VWHPV9DGGUHVVHVWKHSUREOHPRILPSURSHUVSHHGQHJRWLDWLRQZLWKDYHU\VORZ6&6,GHYLFH

•
•

&RQVROHVXSSRUWIRUWKH3&,WR&DUGEXV$GDSWHU
&RQVROHUHFRJQLWLRQRIWKH3%;'$$$$%$&DQGWKH613%;13$$$&DGDSWHUV

9
•

,63ILUPZDUH9

•

$OSKD%,269$5&FRQVROH9

•

650&RQVROH&KDQJHV²6XSSRUWIRU'()$0EV0XOWL)LEHU)DVW(WKHU:RUNV$GDSWHU )L[7*$
SUREOHPWKDWFDXVHV$5&PDFKLQHVWRERRWZLWKFRORUV  6XSSRUWIRU3%;'$$&SRUWKLJKSHUIRUPDQFH
DV\QFKURQRXVPXOWLSOH[HUFRQWUROOHU VHHUHVWULFWLRQV  6XSSRUWIRU3%;*,$'3RZHU6WRUP$GYDQFHG'
*UDSKLFV$FFHOHUDWRU VHHUHVWULFWLRQV  6XSSRUWIRU&&0$%$$0HPRU\&KDQQHO$GDSWHU 6XSSRUWIRU
'LJLWDO6HUYHU6\VWHPV

9
•

1HZUHYLVLRQRI,63ILUPZDUH²9²ZKLFKVXSSRUWV8OWUD6&6,GHYLFHV

9
•

650&KDQJHV² 3&,VORWUHVWULFWLRQIRUWKH.=3%$'%RQ$OSKD6HUYHU$ )587DEOHVXSSRUWIRU
$OSKD6HUYHUV\VWHPV 6XSSRUWIRU'(%$$GDSWHU /DWHQWFRQVROHVXSSRUWIRU2SHQ906DQG
',*,7$/81,;WRFKDQJHFRQVROHSDVVZRUG 6XSSRUWWRVLOHQWO\XSGDWHFRQVROHILUPZDUH &KDQJH
&RQVROH)LUPZDUH9
3DJH

,63DQG1&5GLVSOD\VWULQJV 8SGDWH(9UHYLVLRQWDEOH )L[7*$SUREOHPWKDWFDXVHV$5&
PDFKLQHVWRERRWZLWKFRORUV
•

1HZ$5&FRQVROH9

9
•

&RQVROHVXSSRUWIRU$OSKD6HUYHU6\VWHPV

•

1HZRSWLRQVILUPZDUHIRUWKH'()3$ (,6$WRB)'', ,2DGDSWHU

•

$5&&RQVROH9

•

650&RQVROH&KDQJHV² 1HZ/)8FRPPDQGVWRVDYHRUUHVWRUH195$0GDWDWRD)$7IRUPDWWHGIORSS\
GLVNHWWHDQGWKHDELOLW\WRUHGLUHFWFRQVROHRXWSXWWRD)$7IRUPDWWHG 93$/FRGHXSGDWHVWRVXSSRUW
(QYLURQPHQW0JPW0RQLWRULQJ (QKDQFHPHQWVWR.)(6$DQG.)(6%GULYHUV %RRWBUHVHWIL[WR9
FRQVROH 600/857UHJLVWHUXSGDWHGIRU$OSKD6HUYHU$V\VWHPV 8SGDWHG,63GULYHUWRVXSSRUW
WKH,63%6&6,3URFHVVRU

9
•

650&KDQJHV² 6XSSRUWRIWKH9)58WDEOHLQWKH+:53% (QDEOHG$OSKD6HUYHU$(QYLURQPHQWDO
0RQLWRULQJ 3RZHUIDQDQGWHPSHUDWXUHIDLOXUHGHWHFWLRQUHSRUWLQJDUHVXSSRUWHGLQ81,;3$/FRGHDQGODWHU
VXSSRUWHG2SHQ9062Q$DYDLODEOHZKHQWKHHQYLURQPHQWDOPRQLWRULQJMXPSHULVHQDEOHG2QSRZHUXS
HQYLURQPHQWLQWHUUXSWVDUHSUREHGWRVHHLIDQ\DUHSHQGLQJDQGUHSRUWHG /)8&38B83*5$'(VFULSW
FSXBXSJUDGH²2QO\IRU(9WR(9V\VWHPVXSJUDGHV /)8VFULSWFSXBGRZQJUDGH²2QO\IRU(9WR(9
V\VWHPVXSJUDGHV %227B5(6(7HQYLURQPHQWYDULDEOH,VQRZUHIHUHQFHGWRPRGLI\WKHERRWEHKDYLRURQ
FRPPDQGOLQHLQLWLDWHGERRWVDQGRQIRUFHG26UHERRWV,I%227B5(6(7LV21WKHQWKHV\VWHPLVUHVHWSULRU
WRERRW%\GHIDXOW%227B5(6(7LV2)) $GGHG&20SRUWHQYLURQPHQWYDULDEOHV 6&6,GULYHUV
XSGDWHGIRUWDSHERRW 3$/FRGHIL[IRU5(047,4 93$/  3URSHU3&,(PXOH[PRGXOHGHYLFH
UHFRJQLWLRQ &KDQJH&20B%$8'UDWHIURP26ZLWKRXWPDVNLQJLQWHUUXSWV )58WDEOHIL[HVIRU
'(&HYHQWPHPRU\GHVFULSWRU 5HPRYHDGGLWLRQDO3&,)58HQWULHV 6XSSRUWIRUWKH'($$)DVW
(WKHU:RUNV$GDSWHU VXSSRUWIRUWKH-DSDQHVH.H\ERDUG

9
•

650&KDQJHV² 6XSSRUWIRU'LJLWDO8QL[9)DQG9*DQG9$ IRU2SHQ9069+ 6XSSRUW
IRU3RZHU6WRUP*UDSKLFV 7*$  DQGSODQH 0XVWEHLQ9*$PRGH &RQVROHUHFRJQLWLRQRIWKH
',*,7$/$70:RUNV(PXOH[3&,6\QF7KRPDV&RQUDG7RNHQ5LQJ3RZHU6WRUPDQG6\VWHFK(WKHUQHW
3OH[ 3RZHUIDQDQGWHPSHUDWXUHIDLOXUHGHWHFWLRQUHSRUWLQJHQKDQFHPHQWVLQ81,;3$/FRGHRQO\650
UHFRJQL]HDQGHQDEOHHQYLURQPHQWIHDWXUHVRUGLVDEOHLVVHWRQSRZHUXS2QSRZHUXSHQYLURQPHQWLQWHUUXSWVDUH
SUREHGWRVHHLIDQ\DUHSHQGLQJ([HFXWHGGXULQJWKHHFRXQWGRZQVHTXHQFHRIWKH650 1HZZD\WRSUREH
3&,EXVSRZHUXSGLVSOD\LVGLIIHUHQW &KDQJHGPHPRU\GLVSOD\LQWKHVKRZFRQILJFRPPDQGDQGWKHLQVKRZ
PHPRU\FRPPDQG7KHVHFRPPDQGVGLVSOD\WKH6,00VL]HRIWKHEDQN $RQHWLPHGLDJQRVWLFVFULSWLVUXQRQ
WKHSRZHUXSSDWKRQ(9EDVHGV\VWHPV (9SODWIRUPV6520SDVVHVWRWKH650FRQVROHIDLOLQJPHPRU\
6,00LQIRUPDWLRQZKLFKLVORJJHGWRWKHVFUHHQDQGWRWKHHYHQWORJ$OVRORJJHGZKHQ\RXKDYHDPLVPDWFKRI
6,00VL]HV7KLVLQIRUPDWLRQLVGLVSOD\HGRQWKHFRQVROHDQGORJJHGWRWKHHYHQWORJ HO  +$/7EXWWRQQRZLV
ODWFKHGLQVRIWZDUH,IWKHKDOWEXWWRQLVGHSUHVVHGZKHQWKHFRQVROHLVVWDUWLQJQRQYUDPVFULSWVDUHH[HFXWHGDQG
WKHFRQVROHUHWXUQV!!!,IVHFXUHPRGHLVVHW\RXFDQFOHDUWKHFRQVROHLQWKHIROORZLQJZD\ /RJLQDWWKH
HQWHUSDVVZRUGSURPSWGHSUHVVDQGUHOHDVHWKHKDOWEXWWRQDQGWKHQKLWUHWXUQ7KHSDVVZRUGLVQRZFOHDUHG
&RQVROH)LUPZDUH9
3DJH

(9HQYLURQPHQWYDULDEOHIXOOBSRZHUXSBGLDJVGLVDEOHVWKHWHVWVFULSWRQSRZHUXSGHIDXOWLV21 (9WR
(9V\VWHPVXSJUDGHVVFULSWLQWKHXSGDWHXWLOLW\FSXBXSJUDGHZKLFKXSJUDGHVWKHV\VWHPWR(9650(9
ILUPZDUHIURP&'DIORSS\ (9WR(9V\VWHPVGRZQJUDGHVVFULSWLQWKHXSGDWHXWLOLW\FDOOHG
FSXBGRZQJUDGHZKLFKGRZQJUDGHVWKHFRQVROHWR(9&'RUIORSS\ (9WHVWVFULSWLVFDOOHGV\VBH[HUQRW
WHVW 7*$XVHVWKHEOXHVFUHHQMXPSVFUROODQGFXUVRULQWKHWRSOHIW$OVRWKHEDFNLQJVWRUHLVWXUQHGRQWRUH
SDLQWVWKHVFUHHQRQFRQVROHUHHQWU\

9
•

$OSKD6HUYHU0RGHO[[[0RGHO[[[6\VWHPV² 8SGDWLQJWKH$OSKD%,26XVLQJWKH/)8XSGDWH
XWLOLW\FDXVHVDV\VWHPKDQJ7KHZRUNDURXQGLVWRVHWWKHRVBW\SHXQGHU$OSKD%,26WR906RU81,;LQLWLDOL]H
WKHV\VWHPDQGWKHQXVHWKH/)8XSGDWHXWLOLW\XQGHUWKH650 )L[HGSUREOHPRI.=36&ZLWK0%0%
FDFKH )L[HGLQFRUUHFWVSHHGGLVSOD\SUREOHPLQWKH VKRZFRQILJ FRPPDQGRXWSXW

•

$OSKD6HUYHU$0RGHO[[[DQG0RGHO[[[6\VWHPV² 0RGHO[[[QRZVXSSRUWVXSWRVHYHQ7*$VDW
WKHFRQVROHOHYHO )L[HG+$/7EXWWRQSUREOHPXQGHU81,;3$/FRGH 5HVWULFWLRQUHVWULFWLRQLVWKDWV\VWHP
IURPWKHFRQVROHGRHVQRWGLVSOD\GHYLFHVFRQQHFWHGWRD.=36&RQWKHVHFRQGDU\EXV

&RQVROH)LUPZDUH9
3DJH