Policy
709
Alameda Police Department
Alameda Police Department Policy Manual
Copyright Lexipol, LLC 2023/02/14, All Rights Reserved.
Published with permission by Alameda Police Department
Military Equipment - 596
Military Equipment
709.1 PURPOSE AND SCOPE
The purpose of this policy is to provide guidelines for the app roval, acquisition, and reporting requirements of military equipment (Government Code § 7070; Gov ernment Code § 7071; Government Code § 7072).
709.1.1 DEFINITIONS
Definitions related to this policy include (Government Code § 7070):
Governing body – The elected or appointed body that oversees the Alameda Police Department.
Military equipment – Includes but is not limited to the following:
• Unmanned, remotely piloted, powered aerial or ground vehicles. • Mine-resistant ambush-protected (MRAP) vehicles or armored personnel carriers. • High mobility multipurpose wheeled vehicles (HMMWV), two-and-one-half-ton trucks, five-ton trucks, or wheeled vehicles that have a breaching or entry apparatus attached. • Tracked armored vehicles that provide ballistic protection to their occupants. • Command and control vehicles that are either built or modified to facilitate the operational control and direction of public safety units. • Weaponized aircraft, vessels, or vehicles of any kind. • Battering rams, slugs, and breaching apparatuses that are explo sive in nature. This does not include a handheld, one-person ram.
• Firearms and ammunition of_.50 caliber or greater, excluding standard-issue shotguns and standard-issue shotgun ammunition.
• Specialized firearms and ammunition of less than_.50 caliber, including firearms and accessories identified as assault weapons in Penal Code § 30510 and Penal Code § 30515, with the exception of standard-issue firearms.
• Any firearm or firearm accessory that is designed to launch explosive projectiles. • Noise-flash diversionary devices and explosive breaching tools. • Munitions containing tear gas or OC, excluding standard, servic e-issued handheld pepper spray.
• TASER® Shockwave, microwave weapons, water cannons, and long-range acoustic devices (LRADs).
• Kinetic energy weapons and munitions.
• Any other equipment as determined by a governing body or a state agency to require additional oversight.
Alameda Police Department
Alameda Police Department Policy Manual
Military Equipment
Copyright Lexipol, LLC 2023/02/14, All Rights Reserved.
Published with permission by Alameda Police Department
Military Equipment - 597
709.2 POLICY
It is the policy of the Alameda Police Department that members of this department comply with the provisions of Government Code § 7071 with respect to military equipment. 709.3 MILITARY EQUIPMENT COORDINATOR
The Chief of Police should designate a member of this department to act as the military equipment coordinator. The responsibilities of the military equipment coordinator include but are not limited to:
(a) Acting as liaison to the governing body for matters related to the requirements of this policy.
(b) Identifying department equipment that qualifies as military equipment in the current possession of the Alameda Police Department, or the equipment the Alameda Police Department intends to acquire that requires approval by the governing body. (c) Conducting an inventory of all military equipment at least a nnually. (d) Collaborating with any allied agency that may use military e quipment within the jurisdiction of Alameda Police Department (Government Code § 7071). (e) Preparing for, scheduling, and coordinating the annual commu nity engagement meeting to include:
1. Publicizing the details of the meeting.
2. Preparing for public questions regarding the department’s fun ding, acquisition, and use of equipment.
(f) Preparing the annual military equipment report for submissio n to the Chief of Police and ensuring that the report is made available on the department website (Government Code § 7072).
(g) Establishing the procedure for a person to register a complaint or concern, or how that person may submit a question about the use of a type of military equipment, and how the Alameda Police Department will respond in a timely manner. 709.4 MILITARY EQUIPMENT INVENTORY
The following constitutes a list of qualifying equipment for the Alameda Police Department:
Crewless, Remotely Piloted, Powered Ground Vehicle
Armored Personnel Carrier, Vehicle with Entry Apparatus Attached Specialized Firearms and Ammunition
Noise Flash Diversionary Devices
Munitions Containing Tear Gas
Kinetic Energy Weapons and Munitions
See attachment: Military Equipment Inventory.pdf
Alameda Police Department
Alameda Police Department Policy Manual
Military Equipment
Copyright Lexipol, LLC 2023/02/14, All Rights Reserved.
Published with permission by Alameda Police Department
Military Equipment - 598
709.5 APPROVAL
The Chief of Police or the authorized designee shall obtain approval from the governing body by way of an ordinance adopting the military equipment policy. As part of the approval process, the Chief of Police or the authorized designee shall ensure the proposed military equipment policy is submitted to the governing body and is available on the department website at least 30 days prior to any public hearing concerning the military equipment at issue (Government Code § 7071). The military equipment policy must be approved by the governing body prior to engaging in any of the following (Government Code § 7071):
(a) Requesting military equipment made available pursuant to 10 USC § 2576a. (b) Seeking funds for military equipment, including but not limi ted to applying for a grant, soliciting or accepting private, local, state, or federal funds, in-kind donations, or other donations or transfers.
(c) Acquiring military equipment either permanently or temporarily, including by borrowing or leasing.
(d) Collaborating with another law enforcement agency in the dep loyment or other use of military equipment within the jurisdiction of this department. (e) Using any new or existing military equipment for a purpose, in a manner, or by a person not previously approved by the governing body.
(f) Soliciting or responding to a proposal for, or entering into an agreement with, any other person or entity to seek funds for, apply to receive, acquire, use, or collaborate in the use of military equipment.
(g) Acquiring military equipment through any means not provided above. 709.6 COORDINATION WITH OTHER JURISDICTIONS
Military equipment should not be used by any other law enforcem ent agency or member in this jurisdiction unless the military equipment is approved for use in accordance with this policy. 709.7 ANNUAL REPORT
Upon approval of a military equipment policy, the Chief of Police or the authorized designee should submit a military equipment report to the governing body for ea ch type of military equipment approved within one year of approval, and annually thereafter for as long as the military equipment is available for use (Government Code § 7072).
The Alameda Police Department will send a notification of the use of military equipment per policy 358.5. After City Council is notified, the Alameda Police Department will ensure that a summary of each use of AB 481 equipment is published on the Department's website within 60 days. The Chief of Police or the authorized designee may extend any or all notifications to protect the integrity of a criminal or administrative investigation.
The Chief of Police or the authorized designee should also make each annual military equipment report publicly available on the department website for as long as the military equipment is Alameda Police Department
Alameda Police Department Policy Manual
Military Equipment
Copyright Lexipol, LLC 2023/02/14, All Rights Reserved.
Published with permission by Alameda Police Department
Military Equipment - 599
available for use. The report shall include all information req uired by Government Code § 7072 for the preceding calendar year for each type of military equipment in department inventory. 709.8 COMMUNITY ENGAGEMENT
Within 30 days of submitting and publicly releasing the annual report, the Alameda Police Department shall hold at least one well-publicized and convenie ntly located community engagement meeting, at which the Alameda Police Department shou ld discuss the report and respond to public questions regarding the funding, acquisition, or use of military equipment.
Attachment Alameda Police Department Policy Manual
Alameda Police Department Policy Manual
Copyright Lexipol, LLC 2023/02/14, All Rights Reserved.
Published with permission by Alameda Police Department
Military Equipment Inventory.pdf - 801
Military Equipment Inventory.pdf
Military Equipment Inventory.pdf
ϭ
&UHZOHVV5HPRWHO\3LORWHG3RZHUHG*URXQG9HKLFOH
4XDQWLW\'HVFULSWLRQDQG&DSDELOLWLHV
7KH5RERWH[$YDWDUURERWLVDUHPRWHFRQWUROOHGFUHZOHVVPDFKLQHWKDWRSHUDWHV RQWKHJURXQG$VDKHDY\GXW\URERWLWFDQFOLPEVWDLUVDQG LWVDUPFDQOLIW SRXQGV7KHURERWRIIHUVPXOWLSOHFRPPXQLFDWLRQVRSWLRQVDQG LWVFKDVVLVKDV VSDFHIRUDFFHVVRULHVDQGWRROFRPELQDWLRQV,WLVXVHGWRHQK DQFHWKHVDIHW\RI WKHFRPPXQLW\DQGRIILFHUV
3XUSRVH
7KLV URERW LV XVHG IRU UHPRWHO\ JDLQLQJ YLVXDODXGLR GDWD GHOLYHULQJ SRUWDEOH SKRQHVRSHQLQJGRRUVUHPRYLQJVXVSLFLRXVSDFNDJHVDQGFOHDULQJEXLOGLQJV 7KHURERWLPSURYHVVFHQHLQWHOOLJHQFHZKLFKDOORZVRIILFHUVWROHDYHGDQJHURXV DUHDVDQGJRWRVDIHUSODFHV
$XWKRUL]HG8VH
7KHURERWLVRQO\XVHGLQLQFLGHQWVZKHUHRIILFHUVKDYHWKHOHJDODXWKRULW\WRVHDUFK RU EH DW D JLYHQ ORFDWLRQ $SSURYDO WR GHSOR\ WKH URERW FRPHV IURP D :DWFK &RPPDQGHU
([SHFWHG/LIHVSDQ
7KHH[SHFWHGOLIHVSDQLV\HDUV
)LVFDO,PSDFW
7KH URERW ZDV DFTXLUHG LQ ZLWK JUDQW IXQGV RI 7K H DQQXDO PDLQWHQDQFH FRVW LV HVWLPDWHG EHWZHHQ DQG GHSHQGLQJ RQ WKH VHUYLFHDELOLW\RIWKHEDWWHU\
7UDLQLQJ
$OO URERW RSHUDWRUV PXVW FRPSOHWH WKH EDVLF 6:$7 2SHUDWRU &RXUV H SULRU WR RSHUDWLQJRUXVLQJWKHHTXLSPHQW
/HJDODQG3ROLF\5XOHV
8VHLVHVWDEOLVKHGXQGHU3ROLF\ZKLFKVWLSXODWHVWKDWWKH URERWLVWREHXVHGIRU RIILFLDOODZHQIRUFHPHQWSXUSRVHVLQDFFRUGDQFHZLWKVWDWHDQGIHGHUDOODZV
$UPRUHG3HUVRQQHO&DUULHU9HKLFOHZLWK(QWU\$SSDUDWXV$WWD FKHG
4XDQWLW\'HVFULSWLRQDQG&DSDELOLWLHV
7KH%DOOLVWLF$UPRUHG7DFWLFDO7UDQVSRUW
%$77
(PHUJHQF\5HVSR QVH9HKLFOH
(59
LVEXLOWRQD)RUG)FKDVVLV7KH(59LVGHVLJQ HGWRSURYLGH EDOOLVWLF SURWHFWLRQ GXULQJ WDFWLFDO HYHQWV E\ ZLWKVWDQGLQJ PXOWLSOH EXOOHW VWULNHV IURPVPDOODUPVILUH7KH(59LVHTXLSSHGZLWKHPHUJHQF\OLJKW VVLUHQDQGD SXEOLFDGGUHVVV\VWHP
3XUSRVH
Ϯ
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
$XWKRUL]HG8VH
7KHXVHRIDUPRUHGYHKLFOHVFDQEHDXWKRUL]HGRQO\E\D:DWFK&RPPDQGHUEDVHG RQWKHVSHFLILFFLUFXPVWDQFHVRIDJLYHQFULWLFDOLQFLGHQW
([SHFWHG/LIHVSDQ
7KHH[SHFWHGOLIHVSDQLV\HDUV
)LVFDO,PSDFW
7KH(59ZDVRULJLQDOO\SXUFKDVHGLQZLWKJHQHUDOIXQGPRQH\RI
7KH HVWLPDWHG DQQXDO PDLQWHQDQFH FRVW UDQJHV IURP WR GHSHQGLQJ RQ VFKHGXOHGPDLQWHQDQFHDQGVHUYLFHDELOLW\6LQFHWKHPDLQ WHQDQFHFRVWKDV FROOHFWLYHO\EHHQDSSUR[LPDWHO\
7UDLQLQJ
7KH(59FDQEHGHSOR\HGRQO\E\RIILFHUVWUDLQHGLQLWVVSHFLILFXVHDQGLQDPDQQHU FRQVLVWHQW ZLWK GHSDUWPHQWDO SROLF\ DQG WUDLQLQJ $OO RIILFHUV DUH UHTXLUHG WR JR WKURXJK WUDLQLQJ HYHU\ RWKHU \HDU LQ HPHUJHQF\ YHKLFOH RSHUDWLR QV SHU 3267 UHJXODWLRQV
/HJDODQG3ROLF\5XOHV
8VH LV HVWDEOLVKHG XQGHU $3' 3ROLF\
,W LV WKH SROLF\ RI WKH $ODPHGD 3ROLFH
'HSDUWPHQW WR XWLOL]H WKH (59 RQO\ IRU RIILFLDO ODZ HQIRUFHPHQW SXUSRVHV DQG DFFRUGLQJWRVWDWHDQGIHGHUDOODZV
6SHFLDOL]HG)LUHDUPVDQG$PPXQLWLRQ
4XDQWLW\'HVFULSWLRQDQG&DSDELOLWLHV
¾ 7KH$3'KDV&ROW$5FDUELQHULIOHVFDSDEOHRIDFFXUDWHO\VWRSSLQJ DQ DUPHG VXEMHFW DW YDULRXV GLVWDQFHV 7KHVH VKRXOGHUILUHG ULIOHV DUH GHVLJQHG IRU VHPLDXWRPDWLF ILUH FKDPEHUHG LQ 1$725HPLQJWRQ 7KH\DUHRXWILWWHGZLWKOLJKWLQJGHYLFHVWRERRVWVDIHW\DQGHOHFWURQLF VLJKWLQJGHYLFHVWRHQKDQFHWKHHDVHRIXVHDQGWKHDFFXUDF\RIILUH
¾ 7KH$3'DOVRKDVWZR%XVKPDVWHUFDUELQHULIOHVWKDWDUHQHDUO\ LGHQWLFDO WRWKH&ROWFDUELQHVH[FHSWIRUWKHLUVKRUWHUEDUUHOV7KHVHVKRXOGHUILUHG ULIOHV DUH GHVLJQHG IRU VHPLDXWRPDWLF ILUH FKDPEHUHG LQ 1$725HPLQJWRQ 7KHVH ZHUH SXUFKDVHG IRU WKH 6:$7 WHDP OHDGHUVZKRQHHGHGPRUHPDQHXYHUDELOLW\WRFRQWUROWKHWDFWLFDORSHUDWRUV GXULQJ6:$7RSHUDWLRQV
ϯ
¾ 7KH$3'KDVDSSUR[LPDWHO\.URXQGVRI+RUQDG\5HPLQJWR Q DPPXQLWLRQ7KH+RUQDG\6SLUH3RLQWJUDLQ+RUQDG\DPPXQLWLRQ IHDWXUHVDOHDGFRUHMDFNHWHGEXOOHWWKDWLQFRUSRUDWHVDQRQFRUURVLYH SULPHUZLWKDEUDVVFDVLQJ7KH+RUQDG\DPPXQLWLRQRIIHUVPX]]OH YHORFLW\RIIHHWSHUVHFRQGDQGPX]]OHHQHUJ\RIIRRWOEV
¾ 7KH$3'KDVWZR$UPDOLWHVHPLDXWRPDWLFULIOHV7KHVHILUH DUPVDUH FKDPEHUHGZLWK:LQFKHVWHU7KH\DUHEXLOWRQDVLPLODUSO DWIRUPDV WKH&ROWULIOHVEXWKDYHJUHDWHUVWRSSLQJSRZHU7KHVHULIOHVDUHSULPDULO\ XVHG LQ DQ RYHUZDWFK FDSDFLW\ WR SURWHFW WKH FRPPXQLW\ DQG RIILFHUV GXULQJODUJHHYHQWVDQGLQWDFWLFDOVLWXDWLRQVZKHUHLWPLJKWE HQHFHVVDU\ WRLQFDSDFLWDWHYHKLFOHVLQWHQWLRQDOO\EHLQJXVHGDVZHDSRQV7KHVHULIOHV DUHRXWILWWHGZLWKVFRSHGRSWLFVGHVLJQHGWRLPSURYHWKHDFFXUD F\ZKHQ VKRWVDUHILUHG
¾ 7KH$3'KDVDSSUR[LPDWHO\.URXQGVRI+RUQDG\:LQFKHVWH U JUDLQ(/'7$335(&,6,21DPPXQLWLRQ7KHVHFDUWULGJHVLQFRUSR UDWH WKHQHZ(/'0DWFKEXOOHW7KHEXOOHWKDVDKHDWUHVLVWDQWSRO\PHUWLSWKDW LPSURYHVWKHEDOOLVWLFFRHIILFLHQWUHVXOWLQJLQKLJKHULPSDFWY HORFLWLHVOHVV GURSOHVVZLQGGULIWDQGPRUHHQHUJ\RQWDUJHW7KHFDUWULGJ HGHOLYHUV H[FHOOHQWWHUPLQDOSHUIRUPDQFH7KHFDUWULGJHRIIHUVDPX]]OH VSHHGRI IHHWSHUVHFRQGDQGDPX]]OHHQHUJ\RIIRRWOEV
¾ 7KH$3'KDVWKUHH$5VW\OHWUDLQLQJULIOHVRQH5RFN5LYHU$UPV$/5 DQGWZR&ROW$5ULIOHVWKDWDUHFKDPEHUHGLQ
PPZKLFKL V$3'¶V
VWDQGDUG GXW\ LVVXHG KDQGJXQ FDOLEHU 7KHVH WUDLQLQJ ULIOHV DU H FKDPEHUHG LQ WKDW FDOLEHU WR DFFRPPRGDWH WKH OLPLWDWLRQV RI RXU LQGRRU UDQJHKRXVHGDWWKH$3'EXLOGLQJ7KHVHULIOHVRSHUDWHWKHVDP HDVWKH ULIOHVZLWKRXWWKHKLJKPX]]OHYHORFLWLHVDQGZLWKOHVVIR RWSRXQGVRI HQHUJ\
3XUSRVH
7KHVHULIOHVDUHWREHXVHGDVSUHFLVLRQZHDSRQVWKDWFRQIURQWDWKUHDWZLWKJUHDWHU DFFXUDF\DWORQJHUGLVWDQFHVWKDQDKDQGJXQ7KH\DUHDOVRXVH GWRGHIHDWERG\ DUPRUZRUQE\VXVSHFWVZKRHQJDJHLQYLROHQFHDQGWRVWRSRQJRL QJWKUHDWVWKDW FDQQRWEHKDQGOHGZLWKKDQGJXQPXQLWLRQV
$XWKRUL]HG8VH
3DWUROULIOHVFDQEHGHSOR\HGLQDQ\FLUFXPVWDQFHZKHUHDWHDP PHPEHUH[SUHVVHV D UHDVRQDEOH H[SHFWDWLRQ WKDW WKH ULIOH PD\ EH QHHGHG LQ DFFRUGDQFH ZLWK 3ROLF\ ([DPSOHV RI VRPH JHQHUDO JXLGHOLQHV IRU GHSOR\LQJ WKH SDWURO ULIOH PD\ LQFOXGHEXWDUHQRWOLPLWHGWR
x 6LWXDWLRQVZKHUHWKHPHPEHUUHDVRQDEO\DQWLFLSDWHVDQDUPHGHQ FRXQWHU
x :KHQ D PHPEHU LV IDFHG ZLWK DVLWXDWLRQ WKDWPD\ UHTXLUH DFFXUDWH DQG HIIHFWLYHILUHDWORQJUDQJH
x 6LWXDWLRQV ZKHUH D PHPEHU UHDVRQDEO\ H[SHFWV WKH QHHG WR PHHW RU ϰ
H[FHHGDVXVSHFW¶VILUHSRZHU
x :KHQDPHPEHUUHDVRQDEO\EHOLHYHVWKDWWKHUHPD\EHDQHHGWR ILUHRQD EDUULFDGHGSHUVRQRUDSHUVRQZLWKDKRVWDJH
x :KHQDPHPEHUUHDVRQDEO\EHOLHY HVWKDWDVXVSHFWPD\EHZHDULQJERG\ DUPRU
x :KHQDXWKRUL]HGRUUHTXHVWHGE\DVXSHUYLVRU
x :KHQQHHGHGWRHXWKDQL]HDQDQLPDO
&DUELQHULIOHVFDQEHGHSOR\HGLQDQ\FLUFXPVWDQFHZKHUHDPHPEHUFDQH[SUHVV DUHDVRQDEOHH[SHFWDWLRQWKDWWKHULIOHPD\EHQHHGHGDQGLQDF FRUGDQFHZLWK 3ROLF\7KHVHZHDSRQVDUHXVHGRQO\E\PHPEHUVRIWKHWDFWLFDOWHDP
$5 ULIOHV¶ DXWKRUL]HG XVHV DUH VLPLODU WR WKH SDWURO ULIOHV EXW WKH\ FDQ EH GHSOR\HGE\RQO\PHPEHUVRIWKHWDFWLFDOWHDPZKRKDYHVXFFHVVIXOO\FRPSOHWHG 3267DSSURYHGVQLSHUWUDLQLQJ
([SHFWHG/LIHVSDQV
¾ &ROW$5
1RGHILQHGH[SLUDWLRQEXWXQWLOLWLVQRORQJHU VHUYLFHDEOH
¾ %XVKPDVWHUFDUELQH
6DPHDVDERYH
¾ $UPDOLWH
6DPHDVDERYH
¾ 5RFN5LYHU/$5
6DPHDVDERYH
)LVFDO,PSDFWV
¾ 7KH&ROWSDWUROULIOHVZHUHRULJLQDOO\SXUFKDVHGLQZL WKJHQHUDOIXQG PRQH\
DSSUR[LPDWHO\SHUULIOH
¾ 7KH WZR %XVKPDVWHU ULIOHV ZHUH RULJLQDOO\ SXUFKDVHG LQ ZLWK JHQHUDO IXQGPRQH\
DSSUR[LPDWHO\SHUULIOH
¾ DPPXQLWLRQ ZDV RULJLQDOO\ SXUFKDVHG ZKHQ WKH $3' DFTXLUHG SDWURO ULIOHV LQ DQG JHQHUDO IXQG PRQH\ ZDV XVHG ,W FRVWV DSSUR[LPDWHO\ DQQXDOO\WRPDLQWDLQ.URXQGVRIDPPXQLWLRQ
¾ 7KH WZR $UPDOLWH ULIOHV ZHUH RULJLQDOO\ SXUFKDVHG LQGLYLG XDOO\ RQH LQ
DQG RQH LQ ZLWK JHQHUDO IXQG PRQH\
DSSUR[LPDWHO\ SHU
ULIOH
¾ DPPXQLWLRQZDVRULJLQDOO\SXUFKDVHGRYHU\HDUVDJRDW WKHIRUPDWLRQ RIWKH$3'¶VWDFWLFDOWHDP7KHDPPXQLWLRQLVSXUFKDVHGXVLQJJHQHUDOIXQG ϱ
PRQH\ ,W FRVWV DSSUR[LPDWHO\ DQQXDOO\ WR PDLQWDLQ . URXQGV RI DPPXQLWLRQ
¾ 7KH5RFN5LYHU
PPULIOHZDVRULJLQDOO\SXUFKDVHGRYHU\HDU VDJRZLWK JHQHUDOIXQGPRQH\
DSSUR[LPDWHO\
SHUULIOH
7KHHVWLPDWHGRQJRLQJPDLQWHQDQFHRIDOOWKHILUHDUPVOLVWHGLQ WKLVFDWHJRU\LV± SHUULIOHEDVHGRQVHUYLFHDELOLW\
7UDLQLQJ
3ULRUWRXVLQJDULIOHRIILFHUVPXVWEHFHUWLILHGE\3267LQV WUXFWRUV2IILFHUVDUHWKHQ UHTXLUHG WR FRPSOHWH TXDUWHUO\ WUDLQLQJ DQG TXDOLILFDWLRQ FRQGXFWHG E\ D FHUWLILHG SDWUROULIOHLQVWUXFWRU
/HJDODQG3ROLF\5XOHV
3ROLF\ JRYHUQV SDWURO ULIOH XVH TXDOLILFDWLRQV DQG YDULRX V RWKHU HOHPHQWV LQFOXGLQJVWRUDJH3267UHTXLUHVRQJRLQJELDQQXDOWUDLQLQJZLWKSDWUROULIOHV
1RLVH)ODVK'LYHUVLRQDU\'HYLFHV
'HVFULSWLRQ4XDQWLW\DQG&DSDELOLWLHV
&RPELQHG 7DFWLFDO 6\VWHPV PRGHO
IODVK EDQJV ZKLFK LVD QRQEXUVWLQJ
QRQIUDJPHQWLQJEDQJGHYLFHWKDWSURGXFHVDWKXQGHURXVEDQJZLWKDQLQWHQVHEULJKW OLJKW )ODVK EDQJV DUH LGHDO IRU GLVWUDFWLQJ GDQJHURXV VXVSHFWV GXULQJ DVVDXOWV KRVWDJHUHVFXHVURRPHQWULHVDQGRWKHUKLJKULVNDUUHVWVLWXDWLRQV
3XUSRVH
7KHIODVKEDQJVSURGXFHDWPRVSKHULFSUHVVXUHDQGEULOOLDQWZKLW HOLJKWDQGDV D UHVXOW FDXVH VKRUWWHUP
± VHFRQGV
RI SK\VLRORJLFDO DQG SV\FKRORJLFDO
VHQVRU\GHSULYDWLRQWKDWJLYHVRIILFHUVDWDFWLFDODGYDQWDJH
$XWKRUL]HG8VH
'LYHUVLRQDU\GHYLFHVFDQRQO\EHXVHG
x %\RIILFHUVZKRKDYHEHHQWUDLQHGLQWKHLUSURSHUXVH
x ,QKRVWDJHDQGEDUULFDGHGVXEMHFWVLWXDWLRQV
x ,Q KLJKULVN ZDUUDQW
VHDUFKDUUHVW
VHUYLFHV ZKHUH WKHUH PD\ EH H[WUHPH
KD]DUGVWRRIILFHUV
x 'XULQJRWKHUKLJKULVNVLWXDWLRQVZKHUHWKHLUXVHZRXOGHQKDQF HRIILFHUVDIHW\
x 'XULQJWUDLQLQJH[HUFLVHV ͘
/LIHVSDQ
7KHOLIHVSDQLVXQWLOXVHG
ϲ
)LVFDO,PSDFW
7KHVH GHYLFHV ZHUH LQLWLDOO\ SXUFKDVHG RYHU \HDUV DJR DQG WK H RQJRLQJ UHSOHQLVKPHQWFRVWVFRPHIURPJHQHUDOIXQGPRQH\
SHUPXQLWLRQ
7KHDQQXDO
HVWLPDWHGFRVWLVDSSUR[LPDWHO\WRPDLQWDLQPXQLWLRQV
7UDLQLQJ
3ULRU WR XVH RIILFHUV PXVW DWWHQG GLYHUVLRQDU\ GHYLFH WUDLQLQJ FRQGXFWHG E\ 3267FHUWLILHGLQVWUXFWRUV
/HJDODQG3URFHGXUDO5XOHV
8VHRIIODVKEDQJVLVHVWDEOLVKHGXQGHUWKHSWAT Manual,WLVWKHSROLF\RIWKH $3'WRXWLOL]HGLYHUVLRQGHYLFHVRQO\IRURIILFLDOODZHQIRUFHP HQWSXUSRVHVDQG DFFRUGLQJWRVWDWHDQGIHGHUDOODZVUHJDUGLQJWKHXVHRIIRUFH
0XQLWLRQV&RQWDLQLQJ7HDU*DV
4XDQWLW\'HVFULSWLRQDQG&DSDELOLWLHV
9DULRXVTXDQWLWLHVRIFKHPLFDODJHQWPXQLWLRQVZKLFKDUHFRPPR QO\UHIHUUHG WRDV³WHDUJDV´DUHXVHGE\WKH$3'DVDQRQOHWKDOWRROWRG LVSHUVHULRWLQJ VXVSHFWVDQGRQEDUULFDGHGLQGLYLGXDOV7KH$3'XVHVWZRFKHPL FDODJHQWV XVHG E\ ODZ HQIRUFHPHQW DFURVV WKH 8QLWHG 6WDWHV &6
&KORUREHQ]\OLGHQHPDORQRQLWULOH
DQG2&
2OHRUHVLQ&DSVLFXP
&6LVDQLUULWDWLQJDJHQWDQGODFKU\PDWRU
LUULWDWHVWKHH\HVDQGFDXVHVWHDUVWR
IORZ
&6KDVEHHQPHGLFDOO\WHVWHGLQWKH8.DQG86VSHFLILFDOO\E\WKH86 $UP\7KHUHDUHQRNQRZQDOOHUJLFUHDFWLRQVWR&62&ZDVGH UHJXODWHGLQ &DOLIRUQLDLQ
LVHQGRUVHGE\WKH)%,DQGLVDYDLODEOHWRFLYLOLDQVWROHJDOO\ SRVVHVV
R]RUOHVV
2&LVDQLQIODPPDWRU\DJHQWWKDWFDXVHVLQYROXQWDU\ FORVXUH RI H\HV
RSHQLQJ DJDLQ LQ ± PLQXWHV
DQG UHVSLUDWRU\LQIODPPDWLRQ
VXEVLGHVLQDSSUR[LPDWHO\PLQXWHV
¾ &6JUHQDGHVHPLWWLQJ&6VPRNHIRUWRVHFRQGVWKURXJK JDV SRUWVORFDWHGRQWRSRIWKHGHYLFHV
¾ 2&YDSRUDHURVROJUHQDGHVGHOLYHULQJDKLJKFRQFHQWUDWLRQRI 2&LQ DSRZHUIXOPLVW
GHVLJQHGIRULQGRRUXVHDQGLQFRQILQHGDUHDV
¾ 2&&6 YDSRU DHURVRO JUHQDGHV GHOLYHULQJ D KLJK FRQFHQWUDWLRQ FRPELQDWLRQRI2&DQG&6LQDSRZHUIXOPLVW
GHVLJQHGIRULQGRRUXVH
DQGLQFRQILQHGDUHDV
¾ PPPX]]OHEODVW2&SRZGHUGLVSHUVLRQURXQGVZLWKDQDOXPL QXP VKHOODQGSURSHOOLQJSRZGHUHG2& DWVKRUWUDQJHV
QRPRUHWKDQ
IHHW
¾ PPPX]]OHEODVW&6SRZGHUGLVSHUVLRQURXQGVZLWKDQDOXPL QXP VKHOODQGSURSHOOLQJ2&SRZGHUDWVKRUWUDQJHV
QRPRUHWKDQIHHW
ϳ
¾ PPOLTXLG&6EDUULFDGHSHQHWUDWLQJSURMHFWLOHVZLWKDSOD VWLFVKHOO DQG ODXQFKLQJ IURP D PP ODXQFKHU 7KH SURMHFWLOH FRQWDLQV OLTXLG &6HQFDSVXODWHGLQWKHIUDQJLEOHURXQGDQGLVGHVLJQHGWRSHQHW UDWH ZLQGRZV KROORZ FRUH LQWHULRU GRRUV DQG WKLQ SO\ZRRG 2QFH IUDJPHQWHGWKHSURMHFWLOHVSUHDGVWKHOLTXLG&6
¾ PP SRZGHU &6 EDUULFDGHSHQHWUDWLQJ SURMHFWLOHV ZLWK D SODV WLF VKHOO DQG ODXQFKLQJ IURP D PP ODXQFKHU 7KH SURMHFWLOH FRQWDLQV SRZGHUHG &6 LQ WKH IUDQJLEOH URXQG DQG LV GHVLJQHG WR SHQHWUDWH ZLQGRZV KROORZ FRUH LQWHULRU GRRUV DQG WKLQ SO\ZRRG 2QFH IUDJPHQWHGWKHSURMHFWLOHVSUHDGVWKHSRZGHUHG&6
¾ PPOLTXLG2&EDUULFDGHSHQHWUDWLQJSURMHFWLOHVZLWKDSOD VWLFVKHOO DQG ODXQFKLQJ IURP D PP ODXQFKHU 7KH SURMHFWLOH FRQWDLQV OLTXLG 2&LQWKHIUDQJLEOHURXQGDQGLVGHVLJQHGWRSHQHWUDWHZLQGRZVKROORZ FRUHLQWHULRUGRRUVDQGWKLQSO\ZRRG2QFHIUDJPHQWHGWKHSURMHFWLOH VSUHDGVWKHOLTXLG2&
¾ PP SRZGHU 2& EDUULFDGHSHQHWUDWLQJ SURMHFWLOHV ZLWK D SODVWLF VKHOO DQG ODXQFKLQJ IURP D PP ODXQFKHU 7KH SURMHFWLOH FRQWDLQV SRZGHU 2& LQ WKH IUDQJLEOH URXQG DQG LV GHVLJQHG WR SHQHWUDWH ZLQGRZV KROORZ FRUH LQWHULRU GRRUV DQG WKLQ SO\ZRRG 2QFH IUDJPHQWHGWKHSURMHFWLOHVSUHDGVWKHOLTXLG2&
3XUSRVH
7ROLPLWWKHHVFDODWLRQRIFRQIOLFWZKHUHHPSOR\PHQWRIOHWKDO IRUFHLVSURKLELWHGRU XQUHDVRQDEOH6LWXDWLRQVIRUXVHRIWKHOHVVOHWKDOZHDSRQV\V WHPVPD\LQFOXGH EXWDUHQRWOLPLWHGWR
x 'DQJHURXVDQGRUFRPEDWLYHLQGLYLGXDOV
x %DUULFDGHGZDQWHGVXVSHFWV
x 5LRWFRQWURO
x &LUFXPVWDQFHVZKHUHDWDFWLFDODGYDQWDJHFDQEHREWDLQHG
x 3RWHQWLDOO\YLFLRXVDQLPDOV
x 7UDLQLQJH[HUFLVHVRUDSSURYHGGHPRQVWUDWLRQV
$XWKRUL]HG8VH
7KHVHLWHPVDUHXVHGE\RXUWDFWLFDOWHDPRSHUDWRUVGXULQJGHSOR\PHQWVRUGXULQJ ULRWV2QO\RIILFHUVZKRKDYHUHFHLYHG3267FHUWLILFDWLRQRUPDQXIDFWXUHUVSHFLILF WUDLQLQJ LQ WKH XVH RI FKHPLFDO DJHQWV DUH DXWKRUL]HG WR XVH WK HP ZLWKLQ WKH OLPLWDWLRQV RI 3ROLF\ DQG *RYHUQPHQW &RGH D
5HSRUWLQJ RI DQ\ XVH
PXVWFRPSO\ZLWK3ROLF\DQG3HQDO&RGH
ϴ
7UDLQLQJ
6ZRUQPHPEHUVXWLOL]LQJFKHPLFDODJHQWVRULPSDFWURXQGVDUHWUDLQHGLQWKHLUXVH E\3267FHUWLILHGOHVVOHWKDODQGFKHPLFDODJHQWLQVWUXFWRUV)XUWKHUWKHRIILFHUV PXVWFRPSO\ZLWK3ROLF\
/LIHVSDQ
¾ &6JUHQDGHV\HDUV
¾ 2&YDSRUDHURVROJUHQDGHV\HDUV
¾ 2&&6YDSRUDHURVROJUHQDGHV\HDUV
¾ PPPX]]OHEODVW2&SRZGHU\HDUV
¾ PPPX]]OHEODVW&6SRZGHU\HDUV
¾ PPOLTXLG&6EDUULFDGHSHQHWUDWLQJSURMHFWLOHV\HDUV
¾ PPSRZGHU&6EDUULFDGHSHQHWUDWLQJSURMHFWLOHV\HDUV
¾ PPOLTXLG2&EDUULFDGHSHQHWUDWLQJSURMHFWLOHV\HDUV
¾ PPSRZGHU2&EDUULFDGHSHQHWUDWLQJSURMHFWLOHV\HDUV
)LVFDO,PSDFW
¾ &6JUHQDGHVLQLWLDOO\DFTXLUHGRYHU\HDUVDJRE\XQNQRZQIXQ GV7KHFRVW SHU PXQLWLRQ LV ,W ZLOO FRVW DSSUR[LPDWHO\ DQQXDOO\WR PDLQWDLQ
JUHQDGHVZLWKRXWXVH
¾ 2&YDSRUDHURVROJUHQDGH\HDUVSHUPXQLWLRQDSSUR[ DQQXDOO\ WRPDLQWDLQPXQLWLRQV
¾ 2&&6 YDSRU DHURVRO JUHQDGH \HDUV SHU PXQLWLRQ DSSUR [ DQQXDOO\WRPDLQWDLQPXQLWLRQV
¾ PP PX]]OHEODVW2&SRZGHU\HDUVSHUPXQLWLRQDSSUR [WR PDLQWDLQPXQLWLRQV
¾ PPPX]]OHEODVW&6SRZGHU\HDUVSHUPXQLWLRQDSSUR [WR PDLQWDLQPXQLWLRQV
¾ PPOLTXLG&6EDUULFDGHSHQHWUDWLQJSURMHFWLOHV\HDUV SHUPXQLWLRQ DSSUR[WRPDLQWDLQPXQLWLRQV
¾ PPSRZGHU&6EDUULFDGHSHQHWUDWLQJSURMHFWLOHV\HDUV SHUPXQLWLRQ DSSUR[WRPDLQWDLQPXQLWLRQV
¾ PPOLTXLG2&EDUULFDGHSHQHWUDWLQJSURMHFWLOHV\HDUV SHUPXQLWLRQ DSSUR[WRPDLQWDLQPXQLWLRQV
ϵ
¾ PPSRZGHU2&EDUULFDGHSHQHWUDWLQJSURMHFWLOHV\HDUV SHUPXQLWLRQ DSSUR[WRPDLQWDLQPXQLWLRQV
/HJDODQG3URFHGXUDO5XOHV
8VHLVHVWDEOLVKHGXQGHUWKHSWAT Manual. ,WLVWKHSROLF\RIWKH$3'WRXWLOL]H VSHFLDOL]HG FKHPLFDO DJHQWV RQO\ IRU RIILFLDO ODZ HQIRUFHPHQW S XUSRVHV DFFRUGLQJWRVWDWHDQGIHGHUDOODZVUHJDUGLQJWKHXVHRIIRUFH6ZRUQPHPEHUV XWLOL]LQJ VSHFLDOL]HG FKHPLFDO DJHQWV PXVW EH WUDLQHG LQ WKHLU XVH E\ 3267 FHUWLILHGOHVVOHWKDODQGFKHPLFDODJHQWLQVWUXFWRUV
.LQHWLF(QHUJ\:HDSRQVDQG0XQLWLRQV
4XDQWLW\'HVFULSWLRQDQG&DSDELOLWLHV
¾ )DEULTXH1DWLRQDOHGH+HUVWDO
)1
ODXQFKHUVWKDWXVHKL JKSUHVVXUHDLU
WR GHOLYHU NLQHWLF SURMHFWLOHV
VLPLODU WR D SDLQWEDOO GHOLYHU\ V\VWHP
ZLWK SDLQW
PDUNLQJ DELOLW\ 7KH V\VWHP ODXQFKHV SURMHFWLOHV DW D WDUJHW SHUVRQ
IHHW
DZD\,WLVDOHVVOHWKDORSWLRQZKHQODZHQIRUFHPHQWRIILFHUVQHHGWRGHOLYHUD NLQHWLFHQHUJ\LPSDFWWRKRVWLOHVXEMHFWVLQYLROHQWHQFRXQWHUV ,WLVDOVRDGH HVFDODWLRQWRROXVHGWRDYRLGIXUWKHULQMXULHVRUPRUHOHWKDORSWLRQV
¾ )1NLQHWLFLPSDFWURXQGVXVHGLQWKHODXQFKHUDUH FDOLEHU JUDP SURMHFWLOHV ZLWK QRQWR[LF ELVPXWK LQ WKH SODVWLF IRUZDUG FRPSDUWPHQW IROORZHG E\ DQ LQGHOLEOH SDLQW SODVWLF FRPSDUWPHQW 7KH ODXQFK HU XVHV FRPSUHVVHGDLUWRSURSHOWKHSURMHFWLOHV7KHSULPDU\EHQHILWV DUHWRSURYLGHD ORQJHUGLVWDQFHLPSDFWDQGDOHVVOHWKDODOWHUQDWLYHWRFORVHFRQWDFWIRUFH7KH PXQLWLRQODXQFKHUVHQGVDSURMHFWLOHWKDWFUHDWHVWUDXPDGLVWU DFWLRQDQGSDLQ IROORZHGE\PDUNLQJRIVSHFLILFLQGLYLGXDOVIRULGHQWLILFDWLRQDQGODWHUDUUHVW7KH SURMHFWLOHVKDYHDYHORFLW\RI±IHHWSHUVHFRQG )36
¾ 5HPLQJWRQOHVVOHWKDOVKRWJXQVDUHXVHGWRGHSOR\DJ DXJHEHDQEDJ URXQGXSWRDGLVWDQFHRIIHHW7KHUDQJHRIWKHZHDSRQV\V WHPKHOSVWR PDLQWDLQVSDFHEHWZHHQRIILFHUVDQGDVXVSHFWE\UHGXFLQJWKHL PPHGLDF\RI WKHWKUHDWZKLFKLVDPDLQSULQFLSOHRIGHHVFDODWLRQ7KHVH ZHDSRQV\VWHPV DUHGLVWLQJXLVKDEOHE\WKHLU\HOORZVWRFNDQGIRUHJULS7KHZ HDSRQVHUYHVDV DOHVVOHWKDOGLVWDQFHLPSDFWZHDSRQWRFDXVHSDLQGLVWUDFWLRQ DQGWUDXPDIRU YLROHQWRIIHQGHUV
¾ JDXJH EDOOLVWLF ILEHU EDJV ILOOHG ZLWK JUDPV RI QXPEH U O H D GV K R W
FRPPRQO\UHIHUUHGWRDVDEHDQEDJURXQG7KLVSURMHFWLOHWUDYH OVDWDYHORFLW\ RI±
)36
¾ 'HIHQVH 7HFKQRORJ\ PP VLQJOHVKRW ODXQFKHUV 7KH ODXQFKHU I L U H V VWDQGDUG PP OHVV OHWKDO LPSDFW DPPXQLWLRQ XS WR LQFKHV LQ FDUWULGJH OHQJWK7KHPPVLQJOHODXQFKHULVQRWDILUHDUPEXWDOHVV OHWKDOODXQFKLQJ V\VWHP WKDW XVHV VPRNHOHVV SRZGHU WR GHOLYHU PP SURMHFWLOHV IURP D VDIH GLVWDQFH7KHODXQFKHUFDQVHQGPPPXQLWLRQVDWDWDUJHWXS WR\DUGV DZD\ 7KH OHVV OHWKDO ODXQFKHU LV D VLQJOH ODXQFKHU ZKLFK DOORZV RIILFHUV WR DVVHVVDIWHUHYHU\VSHQWPXQLWLRQ
ϭϬ
¾ 'HIHQVH 7HFKQRORJ\ PP PXOWLVKRW ODXQFKHU 7KLV IRXUVKRW ORZ SURILOH OLJKWZHLJKW ODXQFKHU SURYLGHV PXOWLVKRW FDSDELOLW\ LQ D VKRXOG HUILULQJ FRQILJXUDWLRQ,WFRQWDLQVVSULQJORDGHGF\OLQGHUVWKDWDXWRU RWDWHWRDOORZIRU UDSLG VXFFHVVLYH VKRWV ZLWKRXW UHORDGLQJ ,W GLVFKDUJHV PDQ\ RI WKH PP SURMHFWLOHVRXWOLQHGLQWKHDERYHVHFWLRQ
¾ PPPXQLWLRQVDGLUHFWLPSDFWVSLQVWDELOL]HGVSRQJHPX QLWLRQXVHGDV DOHVVOHWKDOZHDSRQGHVLJQHGWRGHHVFDODWHDSRWHQWLDOO\YLROHQWHQFRXQWHU
3XUSRVH
.LQHWLFSURMHFWLOHVOLPLWWKHHVFDODWLRQRIFRQIOLFWVZKHUHOHW KDOIRUFHLVSURKLELWHG XQUHDVRQDEOHDQGXQGHVLUDEOH.LQHWLFHQHUJ\SURMHFWLOHVZKH QXVHGSURSHUO\ DUHOHVVOLNHO\WRUHVXOWLQGHDWKRUVHULRXVSK\VLFDOLQMXU\D QGFDQEHXVHGWRGH HVFDODWHDSRWHQWLDOO\GHDGO\VLWXDWLRQ
$XWKRUL]HG8VH
6LWXDWLRQVIRUXVHRIWKHOHVVOHWKDOZHDSRQV\VWHPVPD\LQFOXGHEXWDUHQRWOLPLWHG WR
x 7KHVXVSHFWLVDUPHGZLWKDZHDSRQDQGWKHWDFWLFDOFLUFXPVWDQ FHVDOORZIRU WKHVDIHDSSOLFDWLRQRIDSSURYHGPXQLWLRQV
x 7KHVXVSHFWKDVPDGHFUHGLEOHWKUHDWVWRKDUPWKHPVHOYHVRURW KHUV
x 7KHVXVSHFWLVHQJDJHGLQULRWRXVEHKDYLRURULVWKURZLQJURFN VERWWOHVRU RWKHUGDQJHURXVSURMHFWLOHVDWSHRSOHDQGRURIILFHUV
x 7KHUHLVSUREDEOHFDXVHWREHOLHYHWKDWWKHVXVSHFWKDVDOUHDG \FRPPLWWHGD FULPHRIYLROHQFHDQGLVUHIXVLQJWRFRPSO\ZLWKODZIXORUGHUV
([SHFWHG/LIHVSDQV
¾ )1/DXQFKHUXQWLOQRORQJHUVHUYLFHDEOH
¾ )1PXQLWLRQV\HDUV
¾ 5HPLQJWRQXQWLOQRORQJHUVHUYLFHDEOH
¾ %DOOLVWLF)LEHU%DJ0XQLWLRQV
EHDQEDJV
\HDUV
¾ PP'HIHQVH7HFKQRORJ\VLQJOHVKRWODXQFKHUXQWLOQRORQJHUV HUYLFHDEOH
¾ PP'HIHQVH7HFKQRORJ\PXOWLVKRWODXQFKHUXQWLOQRORQJHUVH UYLFHDEOH
¾ PPVSRQJHPXQLWLRQV\HDUV
7UDLQLQJ
6ZRUQPHPEHUVPXVWEHWUDLQHGLQOHVVOHWKDONLQHWLFPXQLWLRQV E\3267 FHUWLILHGLQVWUXFWRUV3URILFLHQF\WUDLQLQJZLOOEHPRQLWRUHGDQGGRFXPHQWHG ϭϭ
ELDQQXDOO\E\DFHUWLILHGFRQWUROGHYLFHZHDSRQVRUWDFWLFVLQ VWUXFWRU,IDQ RIILFHUFDQQRWGHPRQVWUDWHSURILFLHQF\ZLWKDFRQWUROGHYLFHRU NQRZOHGJH RIWKLVDJHQF\¶V8VHRI)RUFH3ROLF\DIWHUUHPHGLDOWUDLQLQJWKHQWKDWRIILFHU ZLOOEHUHVWULFWHGIURPFDUU\LQJDFRQWUROOHGGHYLFH
)LVFDO,PSDFWV
¾ )1ODXQFKHUVZHUHSXUFKDVHGIURPZLWKJHQHUDOIX QG PRQH\
DSSUR[LPDWHO\SHUODXQFKHU
(VWLPDWHGDQQXDOFRVW LV
±WRPDLQWDLQDQGVHUYLFHWKHODXQFKHUV
¾ )1PXQLWLRQVZHUHODVWSXUFKDVHGLQ
WRUHSOHQLV KWKH
H[SLUHGVWRFN,WZLOOFRVWDQHVWLPDWHGDQQXDODYHUDJHFRVWR I WRPDLQWDLQWKHLQYHQWRU\
¾ 5HPLQJWRQEHDQEDJODXQFKHUVZHUHSXUFKDVHGRYHU\HDUVD JR DVVWDQGDUGLVVXHGVKRWJXQV7KH\ZHUHUHSXUSRVHGLQWROHVVOH WKDO VKRWJXQV7KHLQLWLDOFRVWLVXQNQRZQDVZHOODVWKHIXQGLQJV RXUFH (VWLPDWHGDQQXDOFRVWLVEHWZHHQDQGIRUPDLQWHQDQFHEDVHG RQVHUYLFHDELOLW\
¾ %HDQEDJPXQLWLRQVZHUHLQLWLDOO\SXUFKDVHGRYHU\HDUVDJRI RUDQ XQNQRZQDPRXQWXVLQJXQNQRZQIXQGV,WLVHVWLPDWHGWRFRVW DQQXDOO\EDVHGRQOLIHVSDQDQGTXDQWLWLHV
¾ PP ODXQFKHUV ZHUH SXUFKDVHG LQ ZLWK JHQHUDO IXQG PRQH\
SHU ODXQFKHU
(VWLPDWHG DQQXDO FRVW LV WR WR
PDLQWDLQDQGVHUYLFHWKHODXQFKHUV
¾ PPPXOWLVKRWODXQFKHUZDVSXUFKDVHGLQZLWKJHQHUDOIX QG PRQH\IRU(VWLPDWHGFRVWLVDQQXDOO\WRPDLQW DLQ DQGVHUYLFHWKHODXQFKHU
¾ PPVSRQJHPXQLWLRQVZHUHLQLWLDOO\SXUFKDVHGLQZLWKJH QHUDO IXQG PRQH\
SHU PXQLWLRQ
(VWLPDWHG FRVW LV WR
DQQXDOO\WRPDLQWDLQDQGVHUYLFHWKHVHPXQLWLRQV
/HJDODQG3ROLF\5XOHV
5XOHVDUHHVWDEOLVKHGXQGHU3ROLF\DQGWKHSWAT Manual ,W LV WKH SROLF\ RI WKH $3' WR XWLOL]H WKH NLQHWLF HQHUJ\ URXQG V IRU RIILFLDO ODZ HQIRUFHPHQWSXUSRVHVDQGDFFRUGLQJWRVWDWHDQGIHGHUDOODZVVXFKDV3HQDO&RGH