Deep C

'((3&
,1752'8&7,21$1'%$6,&6
&KDS 3JQR
352*5$0'(6,*1
&KDS 3JQR
&2167$1767<3(6DQG7<3(&219(56,216
&KDS 3JQR
'(&/$5$7,216$1',1,7,$/,=$7,216
&KDS 3JQR
23(5$7256(;35(66,216DQG&21752/)/2:
&KDS 3JQR
32,17(56$55$<6DQG675,1*6
&KDS 3JQR
6758&785(6$1'81,216
&KDS 3JQR
)81&7,216
&KDS 3JQR
'<1$0,&0(025<$//2&$7,21
&KDS 3JQR
35(352&(6625
&KDS 3JQR
67$1'$5'+($'(5),/(6$1',2
&KDS 3JQR
2%-(&725,(17$7,21$1'&
&KDS 3JQR
&DQG&
&KDS 3JQR
&DQG-DYD
&KDS 3JQR
&DQG&
&KDS 3JQR
&RPSLOHU'HVLJQDQG&
&KDS 3JQR
81,;DQG:,1'2:6352*5$00,1*,1&
&KDS 3JQR
7+(1(:&;67$1'$5'
&KDS 3JQR
,1752'8&7,21$1'%$6,&6
2SHQVHVDPH
7KH+LVWRU\RI$OL%DED
&$Q2YHUYLHZ
&LVRQHRIWKHZLGHO\XVHGODQJXDJHV,WLVDYHU\SRZHUIXOODQJXDJHVXLWDEOHIRU
V\VWHP SURJUDPPLQJ WDVNV OLNH ZULWLQJ RSHUDWLQJ V\VWHPV DQG FRPSLOHUV )RU H[DPSOH
WKH RSHUDWLQJ V\VWHPV 81,; DQG 26 DUH ZULWWHQ LQ & DQG ZKHQ VSHDNLQJ DERXW
FRPSLOHUV LWV HDV\ WR OLVW RXW WKH FRPSLOHUV WKDW DUH QRW ZULWWHQ LQ & $OWKRXJK LW ZDV
RULJLQDOO\ GHVLJQHG DV V\VWHPV SURJUDPPLQJ ODQJXDJH LW LV XVHG LQ ZLGH UDQJH RI
DSSOLFDWLRQV,WLVXVHGLQWKHHPEHGGHGGHYLFHVZLWKMXVW.%RIPHPRU\DQGLVDOVR
XVHGLQVXSHUFRPSXWHUVDQGSDUDOOHOFRPSXWHUVWKDWUXQDWXQLPDJLQDEOHVSHHGV&DQG
LWVVXFFHVVRU&FRYHUPRVWRIWKHSURJUDPPLQJDUHDVDQG DUHSUHGRPLQDQWODQJXDJHV
LQWKHZRUOGRISURJUDPPLQJ
7R SXW LQ WKH ZRUGV RI WKH FUHDWRU RI & %MDUQH 6WURXVWUXS[Stroustrup
1986],
³& LV FOHDUO\ QRW WKH FOHDQHVW ODQJXDJH HYHU GHVLJQHG QRU WKH HDVLHVW WR XVH VR
ZK\GRPDQ\SHRSOHXVHLW"
,WLVIOH[LEOH>WRDSSO\WRDQ\SURJUDPPLQJDUHD@«
,WLVHIILFLHQW>GXHWRORZOHYHOVHPDQWLFVRIWKHODQJXDJH@«
,WLVDYDLODEOH>GXHWRDYDLODELOLW\RI&FRPSLOHUVLQHVVHQWLDOO\HYHU\SODWIRUP@«
,WLVSRUWDEOH>FDQEHH[HFXWHGRQPXOWLSOHSODWIRUPVHYHQWKRXJKWKHODQJXDJHKDV
PDQ\QRQSRUWDEOHIHDWXUHV@«´
&LVDODQJXDJHIRUSURJUDPPHUVDQGVFLHQWLVWVDQGQRWIRUEHJLQQHUVDQGOHDUQHUV
6RLW¶VQDWXUDOO\WKHODQJXDJHRIFKRLFHIRUWKHPPRVWRIWKHWLPHV
&LVQRWDSHUIHFWO\GHVLJQHGODQJXDJH)RUH[DPSOHIHZRIWKHRSHUDWRUSUHFHGHQFH
DUHZURQJ%XWWKHHIIHFWLVLUUHYHUVLEOHDQGWKHVDPHRSHUDWRUSUHFHGHQFHFRQWLQXHVWREH
HYHQLQQHZHU&EDVHGODQJXDJHV
& FRQFHQWUDWHV RQ FRQYHQLHQFH ZULWDELOLW\= ZRUNDELOLW\ DQG HIILFLHQF\ WR VDIHW\
DQGUHDGDELOLW\7KLVLVWKHVHFUHWRILWVZLGHVSUHDGVXFFHVV/HWVVHHDFODVVLFH[DPSOHIRU
VXFKFRGH
YRLGVWUFS\FKDU WFKDU V
ZKLOH W V
7KLVFRGHKDVOHVVUHDGDELOLW\,WLVFXUWDQGWRWKHSRLQW,WLVHIILFLHQWFRPSDUHGWR
WKHµREYLRXV¶LPSOHPHQWDWLRQ,WJLYHVSRZHUWRWKHSURJUDPPHU,WLVQRWYHUERVH«
&LVWKXVDODQJXDJHIRUWKHSURJUDPPHUVE\WKHSURJUDPPHUVDQGWKDWLVWKHEDVLF
UHDVRQZK\LWLVVRVXFFHVVIXO
& LV GLIIHUHQW IURP RWKHU SURJUDPPLQJ ODQJXDJHV E\ LWV GHVLJQ REMHFWLYHV LWVHOI
DQG WKLV IDFW LV UHIOHFWHG LQ LWV VWDQGDUGL]DWLRQ SURFHVV DOVR Some of the facets of the
spirit of C can be summarized in phrases like [Rationale ANSI C 1999],

• Trust the programmer.
• Don’t prevent the programmer from doing what needs to be done.
• Keep the language small and simple.
• Make it fast, even if it is not guaranteed to be portable.
8QGHUVWDQGLQJWKLVGHVLJQSKLORVRSK\PD\KHOS\RXXQGHUVWDQGVRPHSX]]OLQJGHWDLOVRIZK\
&LVOLNHWKLVLQLWVSUHVHQWIRUP
3RLQWWR3RQGHU
&LVDQDWWLWXGH
%ULHIKLVWRU\RI&ODQJXDJH
=
7KHUHLVQRVXFKMDUJRQDVµZULWDELOLW\¶DQGKHUH,UHIHULWWRDVWKHDELOLW\WRZULWHSURJUDPVOXFLGO\
$OJRO
&3/
$OJRO
%&3/
3DVFDO
&
$16,&&
$16,&&; &
7KHHYROXWLRQRI&ODQJXDJH
&ODQJXDJHLVWKHPHPEHURI$/*2/EDVHGODQJXDJHV$V,KDYHDOUHDG\VDLG
&LVQHLWKHUDODQJXDJHWKDWLVGHVLJQHGIURPVFUDWFKQRUKDGSHUIHFWGHVLJQDQGFRQWDLQHG
PDQ\IODZV
&3/ &RPELQHG SURJUDPPLQJ ODQJXDJH ZDV D ODQJXDJH GHVLJQHG EXW QHYHU
LPSOHPHQWHG/DWHU%&3/%DVLF&3/FDPHDVWKHLPSOHPHQWDWLRQODQJXDJHIRU&3/E\
0DUWLQ5LFKDUGV,WZDVUHILQHGWRODQJXDJHQDPHGDV %E\.HQ 7KRPSVRQLQIRU

WKH'(&3'3,WZDVZULWWHQIRULPSOHPHQWLQJ81,;V\VWHP/DWHU'HQQLV05LWFKH
DGGHGW\SHVWRWKHODQJXDJHDQGPDGHFKDQJHVWR%WRFUHDWHWKHODQJXDJHZKDWZHKDYH
DV&ODQJXDJH
&GHULYHVDORWIURPERWK%&3/DQG%ODQJXDJHVDQGZDVIRUXVHZLWK81,;RQ
'(& 3'3 FRPSXWHUV 7KH DUUD\ DQG SRLQWHU FRQVWUXFWV FRPH IURP WKHVH WZR
ODQJXDJHV 1HDUO\ DOO RI WKH RSHUDWRUV LQ % LV VXSSRUWHG LQ & %RWK %&3/ DQG % ZHUH
W\SHOHVVODQJXDJHV7KHPDMRU PRGLILFDWLRQ LQ & ZDV DGGLWLRQ RI W\SHV >5LWFKLH @
VD\VWKDWWKHPDMRUDGYDQFHRI&RYHUWKHODQJXDJHV%DQG%&3/ZDVLWVW\SLQJVWUXFWXUH
³7KHW\SHOHVVQDWXUHRI%DQG%&3/KDGVHHPHGWRSURPLVHDJUHDWVLPSOLILFDWLRQLQWKH
LPSOHPHQWDWLRQ XQGHUVWDQGLQJ DQG XVH RI WKHVH ODQJXDJHV« EXW LW VHHPHG
LQDSSURSULDWH IRU SXUHO\ WHFKQRORJLFDO UHDVRQV WR WKH DYDLODEOH KDUGZDUH´ ,W GHULYHV
VRPHLGHDVIURP$OJRODOVR
$16,&6WDQGDUG
$OWKRXJK. 5&KDGDULFKVHWRIIHDWXUHVLWZDVWKHLQLWLDOYHUVLRQDQG&KDGD
ORW WR JURZ 7KH >.HUQLJKDQ DQG 5LWFKLH @ ZDV WKH UHIHUHQFH PDQXDO IRU ERWK WKH
SURJUDPPHUVDQGFRPSLOHUZULWHUVIRUDOPRVWDGHFDGH6LQFHLWLVQRWPHDQWIRUFRPSLOHU
ZULWHUVLWOHIWORWRIDPELJXLW\LQLWVLQWHUSUHWDWLRQDQGPDQ\RIWKHFRQVWUXFWVZHUHQRW
FOHDU2QHVXFKH[DPSOHLVWKHOLVWRIOLEUDU\IXQFWLRQV1RWKLQJVLJQLILFDQWLVVDLGDERXW
WKH KHDGHU ILOHV LQ WKH >.HUQLJKDQ DQG 5LWFKLH @ DQG VR HDFK LPSOHPHQWDWLRQ KDG
WKHLURZQVHWRIOLEUDU\IXQFWLRQV7KHFRPSLOHUYHQGRUVKDGGLIIHUHQWLQWHUSUHWDWLRQVDQG
DGGHG PRUH IHDWXUHV ODQJXDJH H[WHQVLRQV RI WKHLU RZQ 7KLV FUHDWHG PDQ\
LQFRQVLVWHQFLHVEHWZHHQWKHSURJUDPVZULWWHQIRUYDULRXVFRPSLOHUVDQGORWRISRUWDELOLW\
DQGHIILFLHQF\SUREOHPVFURSSHGXS
7RRYHUFRPHWKHSUREOHPRILQFRQVLVWHQF\DQGVWDQGDUGL]HWKHDYDLODEOHODQJXDJH
IHDWXUHV $16, IRUPHG D FRPPLWWHH FDOOHG ;- ,WV SULPDU\ DLP ZDV WR PDNH ³DQ
XQDPELJXRXVDQGPDFKLQHLQGHSHQGHQWGHILQLWLRQRI&´ZKLOHVWLOOUHWDLQLQJWKHVSLULWRI
&7KHFRPPLWWHHPDGHD UHVHDUFK DQGVXEPLWWHGDGRFXPHQW DQG WKDW ZDV WKH ELUWK RI
$16, & VWDQGDUG 6RRQ WKH ,62 FRPPLWWHH DGRSWHG WKH VDPH VWDQGDUG ZLWK YHU\ OLWWOH
PRGLILFDWLRQV DQG VR LW EHFDPH DQ LQWHUQDWLRQDO VWDQGDUG ,W FDPH WR EH FDOOHG DV
$16,,62&VWDQGDUGRUPRUHSRSXODUO\DVMXVW$16,&VWDQGDUG
(YHQH[SHULHQFHG&SURJUDPPHUVDOVRGRHVQ¶WNQRZPXFKDERXW$16,VWDQGDUG
H[FHSW ZKDW WKH\ IUHTXHQWO\ UHDG RU KHDU DERXW ZKDW WKH VWDQGDUG VD\V :KHQ WKH\ JHW
FXULRXVHQRXJKWRJRWKURXJKWKH$16,&GRFXPHQWWKH\VWXPEOHDOLWWOHWRXQGHUVWDQG
WKH GRFXPHQW 7KH GRFXPHQW LV KDUG WR XQGHUVWDQG E\ WKH SURJUDPPHUV EHFDXVH LW LV
PHDQW IRU FRPSLOHU ZULWHUV DQG YHQGRUV HQVXUHV DFFXUDF\ DQG GHVFULEHV WKH & ODQJXDJH
SUHFLVHO\6RWKHODQJXDJHXVHGLQWKHGRFXPHQWLVMRFXODUO\FDOOHGDVµVWDQGDUGHVH¶)RU
H[DPSOHWRGHVFULEHVLGHHIIHFWVWKHVWDQGDUGXVHVWKHLGHDRIµVHTXHQFHSRLQWV¶WKDWPD\
KHOSFRQIXVLQJWKHUHDGHUPRUH/YDOXHLVQRWVLPSO\WKHµ/+6WR YDOXH¶,WLVPRUH
SURSHUO\DORFDWRUYDOXHGHVLJQDWLQJDQREMHFW
$16, VWDQGDUG LV QRW D SDQDFHD IRU DOO SUREOHPV 7R JLYH DQ H[DPSOH $16, &
ZLGHQHG WKH GLIIHUHQFH EHWZHHQ WKH & XVHG DV D µKLJKOHYHO ODQJXDJH¶ DQG DV µSRUWDEOH
DVVHPEO\ ODQJXDJH¶ 7KH RULJLQDO [Kernighan and Ritchie 1978] LV PRUH
SUHIHUUHGHYHQQRZE\WKHYDULRXVODQJXDJHFRPSLOHUVWRJHQHUDWH&DVWKHLUWDUJHWODQJXDJH
%HFDXVH LW LV OHVVW\SHG WKDQ $16, & 7R JLYH DQRWKHU H[DPSOH PDQ\ WKLQN µVHTXHQFH
SRLQWV¶IXOO\GHVFULEHVLGHHIIHFWVDQGWKHEHOLHIWKDWNQRZLQJLWVPHFKDQLVPZLOOKHOSWR
IXOO\ XQGHUVWDQG VLGHHIIHFWV 7KLV LV D IDOVH QRWLRQ DERXW VHTXHQFHSRLQWV RI >$16, &
@6HTXHQFHSRLQWVGRHVQ¶WKHOSIXOO\XQGHUVWDQGVLGHHIIHFWV
7KH)XWXUHRI&/DQJXDJH
$OWKRXJKWKH&PD\EHDEDVHIRUVXFFHVVIXOREMHFWRULHQWHGH[WHQVLRQVOLNH&
DQG-DYD&VWLOOFRQWLQXHVWRUHPDLQDQGEHXVHGZLWKVDPHTXDOLWLHVDVHYHU&LVVWLOOD
SUHIHUDEOH ODQJXDJH WR ZULWH VKRUW HIILFLHQW ORZOHYHO FRGH WKDW LQWHUDFWV ZLWK WKH
KDUGZDUHDQG267KHDQDORJ\PD\EHWKHIROORZLQJRQH
7KH ROG & SURJUDPPHUV VRPHWLPHV XVHG DVVHPEO\ ODQJXDJH IRU GRLQJ MREV WKDW
DUHWHGLRXVRUQRWSRVVLEOHWRGRLQ&,QIXWXUHWKHSURJUDPPHUVLQRWKHUSURJUDPPLQJ
ODQJXDJHVPD\GRWKHVDPH7KH\ZLOOZULWHWKH FRGHLQWKHLU IDYRULWHODQJXDJH DQGIRU
ORZOHYHOURXWLQHVDQGHIILFLHQF\WKH\ZLOOFRGHLQ&XVLQJLWDVDQDVVHPEO\ODQJXDJH
7KH/LIHWLPHRID&3URJUDP
,QYRNHGE\26
&RQWUROEDFNWR26
6WDUWXS
URXWLQH
PDLQ
IXQFWLRQ
&DOOHGE\ &DOOHGE\
PDLQ PDLQ
,QWXUQLWPD\FDOOPRUH
IXQFWLRQV ([LW
IXQFWLRQ
([LWDOZD\VFDOOVDOO
H[LWKDQGOHUV
([LW ([LW
KDQGOHU KDQGOHU
7KHOLIHRID&SURJUDPVWDUWVE\EHLQJFDOOHGE\WKH267KHVSDFHLVDOORFDWHG
IRULWDQGWKHQHFHVVDU\GDWDLQLWLDOL]DWLRQVDUHPDGH7KHVWDUWXSURXWLQHDIWHUGRLQJWKH
LQLWLDOL]DWLRQ ZRUN DOZD\V FDOOV WKH PDLQ IXQFWLRQ ZLWK WKH FRPPDQG OLQH SDUDPHWHUV
SDVVHG DV WKH DUJXPHQWV WR LW 7KH PDLQ IXQFWLRQ PD\ LQWXUQ FDOO DQ\ IXQFWLRQ FDOOV
DYDLODEOHLQWKHFRGHDQGWKHFDOOLQJRIIXQFWLRQVFRQWLQXHVLIDQ\VXFKFDOOVDUHWKHUH
,IQRWKLQJDEQRUPDOO\KDSSHQVWKHFRQWUROILQDOO\UHWXUQVWRPDLQPDLQUHWXUQV
WRVWDUWXSURXWLQH6WDUWXSURXWLQHFDOOVH[LWWR WHUPLQDWH WKH SURJUDP ZLWK WKH UHWXUQ
YDOXHIURPPDLQ,WLVDVLIWKHVWDUWXSURXWLQHKDV
H[LWPDLQ RU
H[LWPDLQDUJFDUJY
7KHH[LWIXQFWLRQFDOOVDOOWKHH[LWKDQGOHUVLHWKHIXQFWLRQVUHJLVWHUHGE\DWH[LW$OO
ILOHVDQGVWGRXWDUHIOXVKHGDQGWKHFRQWUROUHWXUQVEDFNWR26
,IDERUWLVFDOOHGE\DQ\RIWKHIXQFWLRQVWKHQWKHFRQWUROGLUHFWO\UHWXUQVWRWKH
261RRWKHUFDOOVWRRWKHUIXQFWLRQVDUHPDGHQRUGRWKHDFWLYLWLHVOLNHIOXVKLQJWKHILOHV
WDNHSODFH
0RUHLQIRUPDWLRQDERXWWKLVSURFHVVDQGWKHIXQFWLRQVLQYROYHGDUH H[SODLQHGLQ
WKHFKDSWHURQIXQFWLRQV
6RXUFH)LOHV
6RXUFH ILOHV DUH RI WZR W\SHV LQWHUIDFH VRXUFH ILOHV DQG LPSOHPHQWDWLRQ VRXUFH
ILOHV7KHLQWHUIDFHVRXUFHILOHVDUHQRUPDOO\UHIHUUHGWRDVKHDGHUILOHVQRUPDOO\KDYHK
H[WHQVLRQDQGLPSOHPHQWDWLRQILOHVKDYHFH[WHQVLRQ
7KH LQWHUIDFH ILOHV FRQWDLQ WKH IXQFWLRQ SURWRW\SHV YDULDEOH GHFODUDWLRQV
VWUXFWXUHXQLRQGHILQLWLRQVHWF
7KHLPSOHPHQWDWLRQVRXUFHILOHVFRQWDLQWKHLQIRUPDWLRQOLNHIXQFWLRQGHILQLWLRQV
RWKHUGHILQLWLRQVDQGWKHLQIRUPDWLRQQHHGHGWRJHQHUDWHWKHH[HFXWDEOHILOHDOORFDWHDQG
LQLWLDOL]HGDWD
7KH VWDQGDUG KHDGHU ILOHV DUH H[DPSOHV IRU WKH LQWHUIDFH ILOHV DQG WKH FRGH LV
DYDLODEOHDVOLEILOHVDQGDUHOLQNHGDWOLQNWLPHE\WKHOLQNHUWRJHQHUDWHWKHH[HILOH,W
VKRXOGEHQRWHGWKDWRQO\WKHFRGHIRUWKHIXQFWLRQVXVHGLQWKHSURJUDPJHWVLQWRWKHH[H
ILOHHYHQWKRXJKPDQ\PRUHIXQFWLRQVDUHDYDLODEOHLQWKHKHDGHUILOHV
7UDQVODWLRQSKDVHV
7R XQGHUVWDQG DQG UHVROYH DPELJXLW\ ZLWK VHTXHQFH LQ ZKLFK WKH RSHUDWLRQV LV
GRQHZKLOHWUDQVODWLQJWKHSURJUDPWUDQVODWLRQSKDVHVDUHDYDLODEOHLQ$16,&>$16,&
@7KHLPSOHPHQWDWLRQPD\GRWKLVMRELQDVLQJOHVWUHWFKRUFRPELQHWKHSKDVHVEXW
WKHHIIHFWLVDVLIWKHSURJUDPVDUHWUDQVODWHGDFFRUGLQJWRWKDWVHTXHQFH)RUH[DPSOHWKH
LPSOHPHQWDWLRQFDQKDYHDSUHSURFHVVRUWKDWGRHVWKHZRUNRIDOOWKHSKDVHVLQWHQGHGIRU
WKDWLQDVLQJOHVWUHWFK
PXOWLE\WHFKDUDFWHUVDUHPDSSHGWRWKHVRXUFHFKDUDFWHUVHW
WULJUDSKVHTXHQFHVDUHUHSODFHGE\FRUUHVSRQGLQJVLQJOHFKDUDFWHULQWHUQDO
UHSUHVHQWDWLRQV
EDFNVODVK FKDUDFWHU ? LPPHGLDWHO\ IROORZHG E\ D QHZOLQH FKDUDFWHU LV
GHOHWHGVSOLFLQJSK\VLFDOVRXUFHOLQHVWRIRUPORJLFDOVRXUFHOLQHV
WKHVRXUFHILOHLVGHFRPSRVHGLQWRSUHSURFHVVLQJWRNHQVDQGVHTXHQFHVRI
ZKLWHVSDFHFKDUDFWHUVLQFOXGLQJFRPPHQWV
SUHSURFHVVLQJGLUHFWLYHVDUHH[HFXWHGPDFURLQYRFDWLRQVDUHH[SDQGHGDQG
B3UDJPD XQDU\ RSHUDWRU H[SUHVVLRQV DUH H[HFXWHG $OO SUHSURFHVVLQJ
GLUHFWLYHVDUHWKHQGHOHWHG
PDSSLQJ IURP HDFK VRXUFH FKDUDFWHU VHW PHPEHU DQG HVFDSH VHTXHQFH LQ
VWULQJOLWHUDOVLVFRQYHUWHGWRWKHFRUUHVSRQGLQJPHPEHURIWKHH[HFXWLRQ
FKDUDFWHUVHW
DGMDFHQWVWULQJOLWHUDOWRNHQVDUHFRQFDWHQDWHG
ZKLWHVSDFH FKDUDFWHUV VHSDUDWLQJ WRNHQV DUH QR ORQJHU VLJQLILFDQW (DFK
SUHSURFHVVLQJWRNHQLVFRQYHUWHGLQWRDWRNHQ
DOO H[WHUQDO REMHFW DQG IXQFWLRQ UHIHUHQFHV DUH UHVROYHG /LEUDU\
FRPSRQHQWVDUHOLQNHGWRVDWLVI\ H[WHUQDO UHIHUHQFHV WR IXQFWLRQV DQG REMHFWV
QRWGHILQHG LQWKHFXUUHQWWUDQVODWLRQ
6WDUWXS0RGXOH
,Q&ORJLFDOO\PDLQLVWKHIXQFWLRQILUVWFDOOHGE\WKHRSHUDWLQJV\VWHPLQDSURJUDP
%XW EHIRUH PDLQ LV H[HFXWHG 26 FDOOV DQRWKHU IXQFWLRQ FDOOHG µVWDUWXS PRGXOH¶ WR VHWXS
YDULRXVHQYLURQPHQWDOYDULDEOHVDQGRWKHUWDVNVWKDWKDYHWREHGRQHEHIRUHFDOOLQJPDLQDQG
JLYLQJFRQWUROWRLW7KLVIXQFWLRQLVPDGHLQYLVLEOHWRWKHSURJUDPPHU
6D\\RXDUHZULWLQJFRGHIRUDQHPEHGGHGV\VWHP,QWKHH[HFXWLRQHQYLURQPHQW
WKHUH LV QR 26 WR LQLWLDOL]H GDWDVWUXFWXUHV XVHG ,Q VXFK FDVHV \RX PD\ KDYH WR LQVHUW
\RXU FRGH LQ WKDW µVWDUWXS PRGXOH¶ &RPSLOHUV VXFK DV 7XUER DQG 0LFURVRIW & SURYLGH
IDFLOLWLHVWRDGGFRGHLQVXFKFDVHVIRUDSDUWLFXODUWDUJHWPDFKLQHIRUHJ
PDLQ
PDLQ LV D VSHFLDO IXQFWLRQ DQG LV ORJLFDOO\ WKH HQWU\ SRLQW IRU DOO SURJUDPV
5HWXUQLQJDYDOXHIURPPDLQLVHTXLYDOHQWWRFDOOLQJH[LWZLWKWKHVDPHYDOXH
PDLQ
LQWL
VWDWLFLQWM
7KHYDULDEOHVLDQGMGHFODUHGKHUHKDYHQRGLIIHUHQFHEHFDXVHWKHVFRSHOLIHWLPH
DQGYLVLELOLW\DUHDOOWKHVDPH,QRWKHUZRUGVWKHORFDOYDULDEOHVLQVLGHPDLQDUHFUHDWHG
ZKHQ WKH SURJUDP VWDUWV H[HFXWLRQ DQG DUH GHVWUR\HG RQO\ ZKHQ WKH SURJUDP LV
WHUPLQDWHG 6R LW GRHV QRW PDNH PXFK VHQVH WR GHFODUH DQ\ YDULDEOH DV VWDWLF LQVLGH WKH
PDLQ
7KHRWKHUGLIIHUHQFHVEHWZHHQPDLQDQGRWKHURUGLQDU\IXQFWLRQVDUH
¾ WKHSDUDPHWHUVZLWKZKLFKPDLQFDQEHGHFODUHGDUHUHVWULFWHG
¾ it is the only function that can be declared with either zero or two (or sometimes
three) arguments. This is possible with main() function because it is declared
implicitly, and is a special function. For other functions, the number of
arguments must match exactly between invocation and definition.
¾ SDUDPHWHUVWRPDLQDUHSDVVHGIURPFRPPDQGOLQH
¾ PDLQLVWKHRQO\IXQFWLRQGHFODUHGE\WKHFRPSLOHUDQGGHILQHGE\WKHXVHU
¾ PDLQLVE\FRQYHQWLRQDXQLTXHH[WHUQDOIXQFWLRQ
¾ PDLQLVWKHRQO\ IXQFWLRQ ZLWK LPSOLFLW UHWXUQ DW WKH HQG RI PDLQ :KHQ
FRQWUROFURVVHVWKHHQGLQJµ`¶IRUPDLQLWUHWXUQVFRQWUROWRWKHRSHUDWLQJV\VWHP
E\UHWXUQLQJWRLWLIWKHUHLVQRH[SOLFLWUHWXUQVWDWHPHQWZLWKDUHWXUQYDOXH
7KH26QRUPDOO\WUHDWVUHWXUQDVWKHVXFFHVVIXOWHUPLQDWLRQRIWKHSURJUDP
¾ UHWXUQ W\SH IRU PDLQ LV DOZD\V LV DQ LQW VRPH FRPSLOHUV PD\ DFFHSW YRLG
PDLQRUDQ\RWKHUUHWXUQW\SHEXWWKH\DUHDFWXDOO\WUHDWHGDVLILWLVGHFODUHG
DVLQWPDLQ,WPDNHVWKHFRGHQRQSRUWDEOH$OZD\VXVHLQWPDLQ
6WDQGDUG & VD\V WKDW WKH DUJXPHQWV WR PDLQ WKH DUJF DQG DUJY FDQ EH PRGLILHG 7KH
IROORZLQJSURJUDPHPSOR\VWKLVLGHDWRFDOOWKHPDLQUHFXUVLYHO\
ILOHQDPHLVUHFXUVLRQF
FDOOHGIURPFRPPDQGOLQHDV
UHFXUVLRQ
LQWPDLQLQWDUJFFKDU DUJY>@
LIDWRLDUJY>@!
VSULQWIDUJY>@GDWRLDUJY>@
PDLQDUJY
`
SULQWV
PDLQLVWREHFDOOHGWLPHV\HW
&RPPDQGOLQHDUJXPHQWV
LQWPDLQLQWDUJFFKDU DUJY>@
7KHQDPHRIWKHDUJXPHQWVLVFXVWRPDU\DQG \RXFDQXVH \RXURZQQDPHV7KH
ILUVW WZR DUJXPHQWV QHHGHG WR EH VXSSRUWHG E\ WKH RSHUDWLQJ V\VWHP ,I QXPHULF GDWD LV
SDVVHG LQ FRPPDQG OLQH WKH\ DUH DYDLODEOH DV VWULQJV VR \RX PXVW H[SOLFLWO\ FRQYHUW
WKHPEDFN
$16,&DVVXUHVWKDWDUJY>DUJF@ LVDOZD\VWUXH6R
LQWPDLQLQWDUJFFKDU DUJYFKDU HQYS
LQWL
ZKLOHLDUJF
SULQWIV?QDUJY>L@
DQGWKHIROORZLQJRQHDUHHTXLYDOHQW
ZKLOH DUJY
SULQWIV?Q DUJY
7KHWKLUGDUJXPHQWFKDU HQYSLVXVHGZLGHO\WRJHWWKHLQIRUPDWLRQDERXWWKH
HQYLURQPHQWDQGLVQRQVWDQGDUG
WRVKRZWKHHQYLURQPHQW
LQWPDLQLQWDUJFFKDU DUJYFKDU HQYS
ZKLOH HQYS
SULQWIV?Q HQYS
7KLVSURJUDPZKHQH[HFXWHGLQRXUPDFKLQHLWSULQWHG
7(03 &?:,1'2:6?7(03
352037 SJ
ZLQERRWGLU &?:,1'2:6
&2063(& &?:,1'2:6?&200$1'&20
3$7+ &?:,1'2:6&?:,1'2:6?&200$1''?6$5$/??%,1
ZLQGLU &?:,1'2:6
%/$67(5 $,'7
&0'/,1( QRQDPH
8VLQJWKHWKLUGDUJXPHQWLQPDLQLVQRWVWULFWO\FRQIRUPLQJWRVWDQGDUG
7KHUH LV DQRWKHU ZLGHO\ XVHG QRQVWDQGDUG ZD\ RI DFFHVVLQJ WKH HQYLURQPHQWDO
YDULDEOHVDQGWKDWLVWKURXJKWKHµHQYLURQ¶H[WHUQDOYDULDEOH
LQWL
H[WHUQFKDU HQYLURQ
ZKLOHHQYLURQ>L@
SULQWI?QVHQYLURQ>L@
7KHUHFRPPHQGHGZD\LVWRXVHWKHVROXWLRQSURYLGHGE\$16,DVJHWHQYIXQFWLRQIRU
PD[LPXPSRUWDELOLW\
LQWPDLQ
FKDU HQY JHWHQY³352037´
JHWHQYLVGHFODUHGLQVWGOLEK
LIHQY
SXWVHQY
HOVH
SXWV³7KHHQYLURQPHQWDOYDULDEOHQRWDYDLODEOH´
7KLVSURJUDPZKHQH[HFXWHGLQRXUPDFKLQHLWSULQWHG
SJ
([HUFLVH
DUJY>@FRQWDLQVWKHQDPHXVHGWRLQYRNHWKHSURJUDP,VWKHUHDQ\FLUFXPVWDQFH
WKDWLWSRVVLEOHWKDWLWZLOOFRQWDLQQXOOVWULQJ³´"
3URJUDP7HUPLQDWLRQ
7KHWHUPLQDWLRQRIWKHSURJUDPPD\KDSSHQLQRQHRIWKHIROORZLQJZD\V
1RUPDOWHUPLQDWLRQ
x E\FDOOLQJUHWXUQH[SOLFLWO\IURPWKHPDLQ
x E\UHDFKLQJWKHHQGRIPDLQUHWXUQVZLWKLPSOLFLWYDOXH
x E\FDOOLQJH[LW
\HVFDOOLQJH[LWLVDZD\IRUQRUPDOSURJUDPWHUPLQDWLRQ
$EQRUPDOWHUPLQDWLRQ
x E\FDOOLQJDERUW
x E\WKHRFFXUUHQFHRIH[FHSWLRQFRQGLWLRQDWUXQWLPH
x E\UDLVLQJVLJQDOV
6WUXFWXUHRID&3URJUDPLQ0HPRU\
7KH JHQHUDO ZD\ LQ ZKLFK & SURJUDPV DUH ORDGHG LQWR WKH PHPRU\ LV LQ WKH
IROORZLQJIRUPDW
&RPPDQGOLQHDUJXPHQWV
6WDFN
IUHH
KHDS
,QLWLDOL]HG'DWDVHJPHQW
,QLWLDOL]HGWR=HUR%66
3URJUDP&RGH
0DMRUSDUWVDUH
¾ 'DWDVHJPHQW
¾ ,QLWLDOL]HG GDWD VHJPHQWLQLWLDOL]HG WR H[SOLFLW LQLWLDOL]HUV E\
SURJUDPPHUV
¾ 8QLQLWLDOL]HGGDWDVHJPHQW,QLWLDOL]HGWR]HURGDWDVHJPHQW±%66
¾ &RGHVHJPHQW
¾ 6WDFNDQGKHDSDUHDV
'DWDVHJPHQW
7KHGDWDVHJPHQWFRQWDLQVWKHJOREDODQGVWDWLFGDWDWKDWDUHH[SOLFLWO\LQLWLDOL]HG
E\WKHXVHUVFRQWDLQLQJWKHLQLWLDOL]HGYDOXHV
7KH RWKHU SDUW RI GDWD VHJPHQW LV FDOOHG DV %66 VHJPHQW VWDQGLQJ IRU %ORFN
6WDUWLQJZLWK6\PERO±EHFDXVHRIWKHROG ,%0 V\VWHPV KDG WKDW VHJPHQW LQLWLDOL]HG WR
]HURLVWKHSDUWRIWKHPHPRU\ZKHUHWKHRSHUDWLQJV\VWHPLQLWLDOL]HVLWWR=HURHV7KDWLV
KRZ WKH XQLQLWLDOL]HG JOREDO GDWD DQG VWDWLF GDWD JHW GHIDXOW YDOXH DV ]HUR 7KLV DUHD LV
IL[HGKDVVWDWLFVL]HLHWKHVL]HFDQQRWEHLQFUHDVHGG\QDPLFDOO\
7KHGDWDDUHDLVVHSDUDWHGLQWRWZRDUHDVEDVHGRQH[SOLFLWLQLWLDOL]DWLRQEHFDXVH
WKHYDULDEOHVWKDWDUHWREHLQLWLDOL]HGFDQLQLWLDOL]HGRQHE\RQH+RZHYHUWKHYDULDEOHV
WKDWDUHQRWLQLWLDOL]HGQHHGQRWEHH[SOLFLWO\LQLWLDOL]HGZLWK]HURVRQHE\RQH,QVWHDGRI
WKDWWKHMRERILQLWLDOL]LQJWKHYDULDEOHVWR]HURLVOHIWWRWKHRSHUDWLQJV\VWHPWREHWDNHQ
FDUHRI7KLVEXONLQLWLDOL]DWLRQFDQJUHDWO\UHGXFHWKHWLPHUHTXLUHGWRORDG
0RVWO\WKHOD\RXWRIWKHGDWDVHJPHQWLVLQWKHFRQWURORIWKHXQGHUO\LQJRSHUDWLQJ
V\VWHP VWLOO VRPH ORDGHUV JLYH SDUWLDO FRQWURO WR WKH XVHUV 7KLV LQIRUPDWLRQ PD\ EH
XVHIXOLQDSSOLFDWLRQVVXFKDVHPEHGGHGV\VWHPV
7KLVDUHDFDQEHDGGUHVVHGDQGDFFHVVHGXVLQJSRLQWHUVIURPWKHFRGH$XWRPDWLF
YDULDEOHVKDYHRYHUKHDGLQLQLWLDOL]LQJWKHYDULDEOHVHDFKWLPHWKH\DUHUHTXLUHGDQGFRGH
LV UHTXLUHG WR GR WKDW LQLWLDOL]DWLRQ +RZHYHU YDULDEOHV LQ GDWD DUHD GRHV QRW KDYH VXFK
UXQWLPHRYHUKHDGEHFDXVHWKHLQLWLDOL]DWLRQLVGRQHRQO\RQFHDQGWKDWWRRDWORDGLQJWLPH
&RGHVHJPHQW
7KH SURJUDP FRGH LV WKH FRGH DUHD ZKHUH WKH H[HFXWDEOH FRGH LV DYDLODEOH IRU
H[HFXWLRQ7KLVDUHDLVDOVRRIIL[HGVL]H7KLVFDQEHDFFHVVHGRQO\EHIXQFWLRQSRLQWHUV
DQG QRW E\ RWKHU GDWD SRLQWHUV $QRWKHU LPSRUWDQW LQIRUPDWLRQ WR QRWH KHUH LV WKDW WKH
V\VWHPPD\FRQVLGHUWKLVDUHDDVUHDGRQO\PHPRU\DUHDDQGDQ\DWWHPSWWRZULWHLQWKLV
DUHDOHDGVWRXQGHILQHGEHKDYLRU
&RQVWDQWVWULQJVPD\EHSODFHGHLWKHULQFRGHRUGDWDDUHDDQGWKDWGHSHQGVRQWKH
LPSOHPHQWDWLRQ
7KH DWWHPSW WR ZULWH WR FRGH DUHD OHDGV WR XQGHILQHG EHKDYLRU )RU H[DPSOH WKH
IROORZLQJ FRGH PD\ UHVXOW LQ UXQWLPH HUURU RU HYHQ FUDVK WKH V\VWHP VXUSULVLQJO\ LW
ZRUNHGZHOOLQP\V\VWHP
LQWPDLQ
VWDWLFLQWL
VWUFS\FKDU PDLQVRPHWKLQJ

SULQWIVPDLQ
LIL
PDLQ
6WDFNDQGKHDSDUHDV
)RUH[HFXWLRQWKHSURJUDPXVHVWZRPDMRUSDUWVWKHVWDFNDQGKHDS6WDFNIUDPHV
DUHFUHDWHGLQVWDFNIRUIXQFWLRQVDQGKHDSIRUG\QDPLFPHPRU\DOORFDWLRQ7KHVWDFNDQG
KHDS DUH XQLQLWLDOL]HG DUHDV 7KHUHIRUH ZKDWHYHU KDSSHQV WR EH WKHUH LQ WKH PHPRU\
EHFRPHVWKHLQLWLDOJDUEDJHYDOXHIRUWKHREMHFWVFUHDWHGLQWKDWVSDFH7KHVHDUHDVDUH
GLVFXVVHGLQGHWDLOLQWKHFKDSWHURQIXQFWLRQV
/HWVORRNDWDVDPSOHSURJUDPWRVKRZZKLFKYDULDEOHVJHWVWRUHGZKHUH
LQWLQLW7R=HUR
VWDWLFIORDWLQLW7R=HUR
),/( LQLW7R=HUR
DOODUHVWRUHGLQLQLWLDOL]HGWR]HURVHJPHQW%66
GRXEOHLQWLWLDOL]HG
VWRUHGLQLQLWLDOL]HGGDWDVHJPHQW
LQWPDLQ
VL]HBW ISFRQVWFKDU VWUOHQ

ISLVDQDXWRYDULDEOHWKDWLVDOORFDWHGLQVWDFN
EXWLWSRLQWVWRFRGHDUHDZKHUHFRGHRIVWUOHQLVVWRUHG
FKDU G\QDPLF FKDU PDOORF
G\QDPLFPHPRU\DOORFDWLRQGRQHLQKHDS
LQWVWULQJ/HQJWK
WKLVLVDQDXWRYDULDEOHWKDWLVDOORFDWHGLQVWDFN
VWDWLFLQWLQLW7R=HUR
VWRUHGLQ%66
VWDWLFLQWLQLWLDOL]HG
VWUFS\G\QDPLF´VRPHWKLQJ´
IXQFWLRQFDOOXVHVVWDFN
VWULQJ/HQJWK ISG\QDPLF
DJDLQDIXQFWLRQFDOO
2UFRQVLGHUDVWLOOPRUHFRPSOH[H[DPSOH
LQWPDLQLQWQXP2I$UJVFKDU DUJXPHQWV>@
^FRPPDQGOLQHDUJXPHQWVPD\EHVWRUHGLQDVHSDUDWHDUHD
VWDWLFLQWL
VWRUHGLQ%66
LQW ISLQWFKDU PDLQ
SRLQWVWRFRGHVHJPHQW
VWDWLFFKDU VWU>@ ^WKLV)LOH1DPHDUJ
DUJ`
ZKLOH DUJXPHQWV
SULQWI?QV DUJXPHQWV
LIL
ISVWU
LQP\V\VWHPLWSULQWHG
WHPSH[H
WKLV)LOH1DPH
DUJ
DUJ
$IWHUVHHLQJKRZD&SURJUDPLVRUJDQL]HGLQWKHPHPRU\WRFURVVFKHFNWKH
YDOLGLW\RIWKHLGHD\RXPD\WU\FRGHOLNHWKLV
YRLGFURVV&KHFN
LQWDOORF,Q6WDFN
DOODXWRYDULDEOHVDUHDOORFDWHGLQVWDFN
YRLG SWU7R+HDS
SWU7R+HDS PDOORF
E\WHVDOORFDWHGLQKHDSSRLQWHGE\DYDULDEOHLQVWDFN
LISWU7R+HDS^
DVVHUWDOORF,Q+HDS DOORF,Q6WDFN
SULQWI$GGUHVVRIDOORF,Q6WDFNS DQG$GGUHVVRIKHDS
PHPRU\DOORFDWHGS?Q DOORF,Q6WDFNSWU7R+HDS
FURVV&KHFN
HOVH
SULQWI0HPRU\H[KDXVWHGRIFRQWLQRXVXVDJH
LQWPDLQ^
FURVV&KHFN
+RZHYHUWKLVSURJUDPFRGHVXIIHUVWZRPDMRUGUDZEDFNV
¾ &RPSDULVRQRIWZRXQUHODWHGSRLQWHUVLQVLGHDVVHUW
$16, VD\V WKDW WKH SRLQWHU FRPSDULVRQ LV YDOLG RQO\ ZKHQ WKH FRPSDULVRQ LV
OLPLWHGRQO\WRWKHOLPLWVRIWKHDUUD\
¾ $VVXPLQJVRPHLPSOHPHQWDWLRQGHSHQGHQWGHWDLOV
,WLVRQO\DJHQHUDOFDVHWKDWVWDFNDQGKHDSJURZWRZDUGVHDFKRWKHUDQGVWDFNLV
LQKLJKHUPHPRU\ORFDWLRQVWKDQWKHKHDS&GRHVQRWDVVXUHDQ\WKLQJDVVXFK
7KLVSURJUDPLVQRWSRUWDEOH7KHVHNLQGVRISUREOHPVDUHGLVFXVVHGWKURXJKRXWWKHERRN
DQG\RXZLOOEHIDPLOLDUZLWKVXFKLGHDVZKHQ\RXILQLVKUHDGLQJWKLVERRN
([HUFLVH
&RQVLGHUWKHVWDWHPHQW
VWDWLFLQWL
:KHUHZLOOEHWKHYDULDEOHLDOORFDWHGVSDFH",VLWLQ%66RULQLWLDOL]HGGDWDVHJPHQW"
([HUFLVH
7KHGLDJUDPGRHVQ¶WVKRZZKHUHWKHYDULDEOHVRIVWRUDJHFODVVµH[WHUQ¶DQG
µUHJLVWHU¶DUHVWRUHG&RXOG\RXWHOOZKHUHZRXOGWKH\EHVWRUHG"
(UURUV
(UURUVFDQRFFXUDQ\ZKHUHLQWKHFRPSLODWLRQSURFHVV7KHSRVVLEOHHUURUVDUH
¾ SUHSURFHVVRUHUURUV
¾ FRPSLOHWLPHHUURUV
¾ OLQNHUHUURUV
$SDUWIURPWKHVH UXQWLPH HUURUVFDQDOVR RFFXU ,I SUHYHQWLRQ LV QRWWDNHQ IRU VXFK
UXQWLPH HUURUV LW ZLOO WHUPLQDWH WKH SURJUDP H[HFXWLRQ DQG VR DYRLGLQJKDQGOLQJ WKHP
VKRXOGEHJLYHQXWPRVWLPSRUWDQFH
,Q&LIH[FHSWLRQVRFFXUHUURUIODJVNHSWE\WKHV\VWHPLQGLFDWHWKHP$SURJUDP
PD\ FKHFN IRU H[FHSWLRQV XVLQJ WKHVH IODJV DQG SHUIRUP FRUUHVSRQGLQJ SDWFK XS ZRUN
7KHSURJUDPFDQDOVRWKURZDQH[FHSWLRQH[SOLFLWO\XVLQJVLJQDOVWKDWDUHGLVFXVVHGXQGHU
GLVFXVVLRQ RQ VLJQDOK! $ GLIIHUHQW PHWKRG RI HUURU LQGLFDWLRQ LV DYDLODEOH WKURXJK
HUUQRGHILQHGLQHUUQRK!0RUHGLVFXVVLRQDERXWWKHVHKHDGHUILOHVLVLQODWHUFKDSWHUV
5XQWLPH HUURUV DUH GLIIHUHQW IURP H[FHSWLRQV (UURUV LQGLFDWH WKH IDWDOLW\ RI WKH
SUREOHPDQGQRWPHDQWWREHKDQGOHG
([HUFLVH
7KH IROORZLQJ FRGH PDNHV IODJV D ³'LYLGH E\ ]HUR´ HUURU ,V LW D FRPSLOH RU
UXQWLPHHUURU"
LQWL
352*5$0'(6,*1
+LJKWKRXJKWVPXVWKDYHKLJKODQJXDJH
$ULVWRSKDQHV
&OHDU HIILFLHQW DQG SRUWDEOH SURJUDPV UHTXLUH FDUHIXO GHVLJQ 'HVLJQ RI SURJUDPV
LQYROYHVVRPDQ\DVSHFWVLQFOXGLQJWKHSURJUDPPHU¶VH[SHULHQFHDQGLQWXLWLRQ7KXVLWLVDQ
DUWUDWKHUWKDQDVFLHQFH7KLVFKDSWHUH[SORUHVYDULRXVLVVXHVLQYROYHGLQSURJUDPGHVLJQ
3RUWDELOLW\
3RUWDELOLW\LVDQLPSRUWDQWLVVXHLQWKHSURJUDPGHVLJQDQGWKH$16,FRPPLWWHH
KDV GHGLFDWHG DQ DSSHQGL[ WR SRUWDELOLW\ LVVXHV ,62 GHILQHV SRUWDELOLW\ DV $ VHW RI
DWWULEXWHVWKDWEHDURQWKHDELOLW\RIWKHVRIWZDUHWREHWUDQVIHUUHGIURPRQHHQYLURQPHQW
WRDQRWKHU>+HQULFVRQDQG1\TXLVW@
7KHUHIRUH D SRUWDEOH SURJUDP VKRXOG SURGXFH VDPH RXWSXW DFURVV YDULRXV
HQYLURQPHQWVWKDWGLIIHULQ
¾ 2SHUDWLQJ6\VWHPV
¾ +DUGZDUH
¾ &RPSLOHU
¾ XVHU
VQDWXUDOODQJXDJH
¾ SUHVHQWDWLRQIRUPDWVGDWHWLPHIRUPDWVHWF
$OWKRXJK & ZDV RULJLQDOO\ GHYHORSHG IRU RQO\ RQH SODWIRUP WKH 3'3 LW KDV
EHHQ VXFFHVVIXOO\ LPSOHPHQWHG RQ DOPRVW DOO SODWIRUPV DYDLODEOH +RZHYHU & VWLOO KDV
VRPH QRQSRUWDEOH IHDWXUHV ,Q RWKHU ZRUGV & KDV WKH UHSXWDWLRQ RI D EHLQJ D KLJKO\
SRUWDEOHODQJXDJHEXWLWKDVVRPHLQKHUHQWO\QRQSRUWDEOHIHDWXUHV ,QIDFWVSHFLDO FDUH
VKRXOG EH WDNHQ IRU SURJUDPV WKDW DUH WR EH SRUWHG DQG GHWDLOV DERXW EHKDYLRUDO W\SHV
GLVFXVVHGEHORZPXVWEHNQRZQ
%HKDYLRUDO7\SHV
7KHZD\WKHSURJUDPDFWVDWUXQWLPHGHWHUPLQHGE\WKHEHKDYLRUDOW\SH7KH
YDULRXVEHKDYLRUDOW\SHVDUH
¾ ZHOOGHILQHGEHKDYLRU
¾ LPSOHPHQWDWLRQGHILQHGEHKDYLRU
¾ XQVSHFLILHGEHKDYLRU
¾ XQGHILQHGEHKDYLRU
%HKDYLRUDO W\SHV DUH QRW WR EH FRQIXVHG ZLWK HUURUV ,OOHJDO FRGH FDXVHV
HUURUVH[FHSWLRQVWRRFFXUDWHLWKHUFRPSLOHWLPHRUUXQWLPH%XWWKHDERYHEHKDYLRUDO
W\SHVRFFXULQOHJDOFRGHDQGDUHGHILQHGRQO\IRUWKHDFWLRQVRIWKHFRGHDWUXQWLPH
<RX FDQ ZULWH FRGH ZLWKRXW NQRZLQJ DQ\WKLQJ DERXW WKH EHKDYLRUDO W\SHV %XW
NQRZOHGJHDERXWWKLVLV YHU\ FUXFLDO LI \RX ZDQW WR PDNH \RXU FRGH EH SRUWDEOH DQG RI
KLJKTXDOLW\7KHSUREOHPVWKDWDULVHRXWRISRUWDELOLW\DUHYHU\KDUGWRILQGDQGFRUUHFW
:HOOGHILQHGEHKDYLRU
:KHQ WKH ODQJXDJH VSHFLILFDWLRQ FOHDUO\ VSHFLILHV KRZ WKH FRGH EHKDYHV
LUUHVSHFWLYHRIWKHSODWIRUPVRULPSOHPHQWDWLRQVLWLVNQRZQDVZHOOGHILQHGEHKDYLRU,W
LVWKHPRVWSRUWDEOHFRGHDQGKDVQRGLIIHUHQFHLQLWVRXWSXWDFURVVYDULRXVSODWIRUPV
7KH>.HUQLJKDQDQG5LWFKLH@DQG$16,6WDQGDUGGRFXPHQWVDUHWKHFORVHVW
GRFXPHQWVDYDLODEOHWRDµ&ODQJXDJHVSHFLILFDWLRQ¶,IWKHEHKDYLRURIWKHFRQVWUXFWFRGH
LV GHVFULEHG LQ WKHVH GRFXPHQWV WKHQ WKH FRQVWUXFWFRGH LV VDLG WR EH RI ZHOOGHILQHG
EHKDYLRU
0RVW RI WKH FRGH ZH ZULWH LV RI ZHOOGHILQHG EHKDYLRU 7R JLYH DQ µREYLRXV¶
H[DPSOH WKH VWDQGDUG OLEUDU\ IXQFWLRQ PDOORFVL]H UHWXUQV WKH VWDUWLQJ DGGUHVV RI WKH
DOORFDWHGPHPRU\LIµVL]H¶E\WHVDUHDYDLODEOHLQWKHKHDSHOVHLWUHWXUQVD18//SRLQWHU
%RWK[Kernighan and Ritchie 1988] DQG$16,GHVFULEHKRZPDOORFEHKDYHV
ZKHQVXIILFLHQWPHPRU\LVDYDLODEOHDQGQRWDYDLODEOHVRLVDZHOOGHILQHGEHKDYLRU7R
VHHDµQRQREYLRXV¶H[DPSOH
XQVLJQHGLQWL 8,17B0$;
L
LIL
SULQWI³7KLVLVDZHOOGHILQHGEHKDYLRU´
QRZLURWDWHVDQGVREHFRPHV
SULQWV
7KLVLVDZHOOGHILQHGEHKDYLRU
7KHFRGHEHKDYHVWKHVDPHZD\LUUHVSHFWLYHRIWKHLPSOHPHQWDWLRQDQGWKHVDPHRXWSXW
LVSULQWHG
,PSOHPHQWDWLRQGHILQHGEHKDYLRU
:KHQWKHEHKDYLRURIWKHFRGHLVGHILQHGDQGGRFXPHQWHGE\WKHLPSOHPHQWHUVRU
FRPSLOHUZULWHUVWKH FRGHLV VDLG WR KDYH LPSOHPHQWDWLRQ GHILQHG EHKDYLRU 7KHUHIRUH
WKHVDPHFRGHPD\SURGXFHGLIIHUHQWRXWSXWRQGLIIHUHQWFRPSLOHUVHYHQLIWKH\UHVLGHRQ
DVDPHPDFKLQHDQGRQDVDPHSODWIRUP
7KHEHVWH[DPSOHIRUWKLVFRXOGEHWKHVL]HRIWKHGDWDW\SHV7KHGRFXPHQWDWLRQ
RIWKHFRPSLOHUZRXOGVSHFLI\WKHVL]HRIWKHGDWDW\SHV
6LQFHLWLVDOPRVWLPSRVVLEOHWRZULWHFRGHZLWKRXWLPSOHPHQWDWLRQGHILQHGFRGH)RURXU
H[DPSOHLI\RXGHFODUH
LQWL
WKLVKDVLPSOHPHQWDWLRQGHILQHGEHKDYLRUVL]HRILQW "
WKHQ \RXU SURJUDP KDV VXFK EHKDYLRU $ SURJUDPPHU LV IUHH WR XVH VXFK FRGH EXW KH
VKRXOGQHYHUUHO\RQVXFKEHKDYLRU)RUH[DPSOH
FKDUFK
7KLV LV LPSOHPHQWDWLRQGHILQHG EHKDYLRU 7KH ODQJXDJH VSHFLILFDWLRQ OHDYHV WKH
GHFLVLRQ RI ZKHWKHU D FKDU VKRXOG EH VLJQHG RU XQVLJQHG WR WKH LPSOHPHQWRU 6R WKH
DERYHFRGHLVQRWUHFRPPHQGHG
7KH OLVW RI WKH LPSOHPHQWDWLRQGHILQHG EHKDYLRUV JLYHQ E\ $16, LV JLYHQ LQ
DSSHQGL[
8QVSHFLILHGEHKDYLRU
7KH GHVLJQHUV RI WKH ODQJXDJH KDYH XQGHUVWRRG WKDW LW LV QDWXUDO WKDW WKH
LPSOHPHQWDWLRQVYDU\ IRUYDULRXVFRQVWUXFWVGHSHQGLQJRQWKHSODWIRUP 7KLV PDNHV WKH
LPSOHPHQWDWLRQHIILFLHQWDQGILWIRUWKDWSDUWLFXODUSODWIRUP6RPHRIWKHVHGHWDLOVDUHWRR
LPSOHPHQWDWLRQ VSHFLILF WKDW WKH SURJUDPPHU QHHG QRW XQGHUVWDQG WKDW 7KHVH DUH QHHG
QRW EH GRFXPHQWHG E\ WKH LPSOHPHQWDWLRQ 7KH EHKDYLRU RI VXFK FRGH LV NQRZQ DV
XQVSHFLILHG EHKDYLRU 2QH VXFK H[DPSOH LV WKH VHTXHQFH LQ ZKLFK WKH DUJXPHQWV DUH
HYDOXDWHGLQDIXQFWLRQFDOO
VRPH)XQL DL
FDOO7ZR)XQVJI
7KHDUJXPHQWVRIDIXQFWLRQFDOOFDQEHHYDOXDWHGLQDQ\RUGHU7KHH[SUHVVLRQL D
PD\EHHYDOXDWHGEHIRUHLDQGYLFHYHUVD
<RXVKRXOGQRWZULWHFRGHWKDWUHOLHVXSRQVXFKEHKDYLRU
,PSOHPHQWDWLRQ GHILQHG EHKDYLRU DQG XQVSHFLILHG EHKDYLRU DUH VLPLODU %RWK
VSHFLILHVWKDWWKHEHKDYLRUWKDWLVLPSOHPHQWDWLRQVSHFLILF7KHPDLQGLIIHUHQFHLVWKDWWKH
LPSOHPHQWDWLRQGHILQHGEHKDYLRULVWREHGRFXPHQWHGE\WKHYHQGRUDQGDUHIHDWXUHVWKDW
WKHXVHUJHQHUDOO\DFFHVVHVGLUHFWO\:KHUHDVLQXQVSHFLILHGEHKDYLRUWKHFRPSLOHUYHQGRU
PD\QRWGRFXPHQWLWDQGDUHLPSOHPHQWDWLRQGHWDLOVWKDWDUHJHQHUDOO\QRWDFFHVVHGE\WKH
XVHUV
7KH VWDQGDUG FRPPLWWHH GLG QRW GHILQH WKH FRQVWUXFWV RI WKHVH WZR EHKDYLRUDO
W\SHV LQWHQWLRQDOO\ WR KDYH IXOO DFFHVV WR XQGHUO\LQJ KDUGZDUH DQG HIILFLHQW
LPSOHPHQWDWLRQ
8QGHILQHGEHKDYLRU
,IQHLWKHUWKHODQJXDJHVSHFLILFDWLRQQRUWKHLPSOHPHQWDWLRQVSHFLILHVWKHEHKDYLRU
RIDQHUURQHRXVFRGHWKHQWKHFRGHLVVDLGWREHKDYHXQGHILQHGEHKDYLRU7KHEHKDYLRU
RIWKHFRGHLQWKHHQYLURQPHQWFDQQRWWKHVDLGSUHFLVHO\
6R WKH FRGH WKDW FRQWDLQV VXFK EHKDYLRU VKRXOG QRW EH XVHG DQG LV LQFRUUHFW
EHFDXVH RI HUURQHRXV FRGH RU GDWD 8QGHILQHG EHKDYLRU PD\ OHDG WR DQ\ HIIHFW IURP
JLYLQJHUURQHRXVUHVXOWVWRV\VWHPFUDVK
LQWL M
L DVVLJQWKHYDOXHWRM
+HUHWKHYDULDEOHMLVDVVLJQHGZLWKH[SORLWLQJWKHIDFWWKDWLQWKDWHQYLURQPHQWWKH
YDULDEOHVLDQGMDUHVWRUHGLQDGMDFHQWORFDWLRQV
LQW L
L
LLVDZLOGSRLQWHUDQGWKHUHVXOWDQGEHKDYLRURIWKHFRGHRIDSSO\LQJLQGLUHFWLRQ
RSHUDWRURQLWXQGHILQHG
7KHVHDUHH[DPSOHVRIXVLQJXQGHILQHGEHKDYLRU&RGHZLWKXQGHILQHGEHKDYLRULV
DOZD\VXQGHVLUDEOHDQGVKRXOGEHVWULFWO\DYRLGHG,QVXFKFDVHVHLWKHUXVHDVVHUWWRPDNH
VXUHWKDW\RXGRQ¶WXVHWKDWDFFLGHQWDOO\RUUHPRYHVXFKEHKDYLRUIURPWKHFRGH
/DQJXDJHH[WHQVLRQV
7KHFRPSLOHUYHQGRUVPDNHODQJXDJHH[WHQVLRQVIRUYDULRXVUHDVRQV
¾ WR H[WHQG WKH ODQJXDJH LWVHOI DV DGGLQJ H[WUD IHDWXUHV WR WKH ODQJXDJH WKLV
KDSSHQV QDWXUDOO\ DV WKH ODQJXDJH HYROYHV DQG QRUPDOO\ EHIRUH WKH
VWDQGDUGL]DWLRQWDNHVSODFH
¾ VRPHWLPHV WR PDNH LW SRVVLEOH IRU FRGH WR EH JHQHUDWHG IRU D SDUWLFXODU
SODWIRUP
¾ WRPDNHWKHFRGHJHQHUDWHGIRUDSDUWLFXODUSODWIRUPWREHPRUHHIILFLHQW(J
QHDUIDUDQGKXJHSRLQWHUW\SHVLQ0LFURVRIWDQG%RUODQGFRPSLOHUVIRU [
SODWIRUP
/HW
VVHHDQLQVWDQFHIRUDUHTXLUHPHQWRIODQJXDJHH[WHQVLRQDQGKRZWKDWUHTXHVW
LVVDWLVILHG
,QZULWLQJSURJUDPVOLNHGHYLFHGULYHUVDQGJUDSKLFDOOLEUDULHVWKHVSHHGLVFUXFLDO
$FFHVVWRWKHKDUGZDUHUHJLVWHUVDQGRWKHUV\VWHPUHVRXUFHVPD\EHUHTXLUHGVRPHWLPHV
7KHUH DUH LQVWDQFHV ZKHUH PDQLSXODWLRQ RI UHJLVWHUV DQG H[HFXWH LQVWUXFWLRQV WKDW DUH
LQDFFHVVLEOH WKURXJK & EXW DUH DFFHVVLEOH WKURXJK DVVHPEO\ ODQJXDJH & KDV ORZOHYHO
IHDWXUHVEXWQRWWKLVPXFKORZOHYHODWWKHFRVWRISRUWDELOLW\,Q&WKHDVVLJQPHQWRIRQH
DUUD\VWULQJWRDQRWKHULVQRWVXSSRUWHG%XWWKHDVVHPEO\ODQJXDJHIRUWKDWKDUGZDUHPD\
KDYHLQVWUXFWLRQVWKDWPD\GRWKHVHRSHUDWLRQVDWRPLFDOO\EORFNFRS\ZKLFKZLOOUHTXLUH
&FRGHWRGRHOHPHQWE\HOHPHQWFRS\3URYLGLQJVWDQGDUGOLEUDU\IXQFWLRQVZKLFKPD\
EHLPSOHPHQWHGLQ&RULQDVVHPEO\ODQJXDJHUHFRJQLVHVWKHQHHGIRUVXFKDFFHVVWRWKH
VSHFLDOFDVHV([DPSOHVIRUVXFKOLEUDU\IXQFWLRQVDUHJHWFKDUPHPFS\HWF
7KXVWKHUHLVDQHHGWKDWWKHDVVHPEO\FRGHEHGLUHFWO\ZULWWHQLQ&7KLVZLOOKHOS
WKHSURJUDPPHUWRFRGHLQDVVHPEO\ODQJXDJHLQ&SURJUDPVZKHUHYHUJUHDWHUHIILFLHQF\
LVUHTXLUHGORZOHYHOLQWHUDFWLRQLVQHHGHG
7KLVIHDWXUHLVDYDLODEOHLQPDQ\LPSOHPHQWDWLRQVDVDVPVWDWHPHQW
DVPDVVHPEO\BLQVWUXFWLRQ
ZLOOLQVHUWWKHDVVHPEO\BLQVWUXFWLRQEHGLUHFWO\LQMHFWHGLQWRWKHDVVHPEO\FRGHJHQHUDWHG
/HW¶VVD\ZHKDYHWRLQVWDOODQHZ,2GHYLFH+RZWKHLQWHUIDFLQJWRWKDWGHYLFH
EHPDGH"7KLVFDQEHGRQHXVLQJ& FRGHQRZ DQGXVLQJ DVVHPEO\ FRGH ZKHUHYHULW LV
UHTXLUHG
7KLVIHDWXUHLVDOVRXVHIXOIRUWLPHFULWLFDODSSOLFDWLRQVZKHUHDQRYHUKHDGRIHYHQ
DIXQFWLRQFDOOPD\EHKLJK
8VLQJ DVVHPEO\ FRGH IRU HIILFLHQF\ KDV PDQ\ GLVDGYDQWDJHV 7KH SURJUDPPHUV
ZKR XSGDWH WKH FRGH PD\ QRW EH IDPLOLDU ZLWK WKH SDUWLFXODU DVVHPEO\ ODQJXDJH XVHG
0RUHRYHU SRUWLQJ WKH FRGH WR RWKHU V\VWHPV UHTXLUHV WKH FRGH EH UHZULWWHQ LQ WKDW
SDUWLFXODUDVVHPEO\ODQJXDJH7KLVIHDWXUHDQGDVLQWKHFDVHRIDOOODQJXDJHH[WHQVLRQV
FRPSURPLVHVSRUWDELOLW\IRUHIILFLHQF\
$YRLGXVLQJODQJXDJHH[WHQVLRQVXQOHVV\RXDUHZULWLQJFRGHRQO\IRUDSDUWLFXODU
HQYLURQPHQWDQGWKH HIILFLHQF\ LV RI WRS SULRULW\ 6WD\ ZLWKLQ WKH PDLQVWUHDP DQG ZHOO
GHILQHGFRQVWUXFWVRIWKHODQJXDJHWRDYRLGSRUWDELOLW\SUREOHPV
6WHSVIRU:ULWLQJ3RUWDEOH&RGH
:ULWLQJSRUWDEOHFRGHLVQRWGRQHDXWRPDWLFDOO\DQGLWLVRQO\E\FRQVFLRXVHIIRUW
DVIDUDV&LVFRQFHUQHG7KHIROORZLQJVWHSVDUHUHFRPPHQGHGZKHQZULWLQJDQ\VHULRXV
&FRGH
$QDO\]HWKHSRUWDELOLW\REMHFWLYHVRIDQ\SURJUDPEHIRUHZULWLQJDQ\&FRGH
:ULWHFRGHWKDWFRQIRUPVWRWKHVWDQGDUG&7KLVVKRXOGEHGRQHHYHQLI\RXU
FRPSLOHU RU SODWIRUP KDV ORW RI H[WUD IHDWXUHV WR XVH OLNH ODQJXDJH
H[WHQVLRQV8VLQJVXFKIHDWXUHVZKHQZULWLQJVWDQGDUG& FRGH SRVVLEO\ ZLOO
KDUP WKH SRUWDELOLW\ RI WKH FRGH 8VH VWDQGDUG & OLEUDU\ ZKHQHYHU SRVVLEOH
$YRLG XVLQJ WKLUG SDUW\ OLEUDULHV ZKHQ DFKLHYLQJ WKH VDPH IXQFWLRQDOLW\
WKURXJKWKHVWDQGDUGOLEUDU\LVSRVVLEOH
:KHQWKHVXSSRUWIRUWKHIXQFWLRQDOLW\LVQRWDYDLODEOHLQWKHVWDQGDUGOLEUDU\
ORRNIRUWKHIXQFWLRQDOLW\LQWKHOLEUDU\SURYLGHGE\\RXUFRPSLOHUYHQGRU6HH
LIWKDWIXQFWLRQDOLW\LVDYDLODEOHLQWKHVRXUFHFRGHIRUP
:KHQWKHIXQFWLRQDOLW\\RXZDQWLVQRWDYDLODEOHHYHQLQWKHOLEUDU\SURYLGHG
E\\RXUFRPSLOHUYHQGRUORRNIRUDQ\VXFKOLEUDU\LQWKHPDUNHWSUHIHUDEO\LQ
WKHVRXUFHFRGHIRUP
2QO\DIWHUIDLOLQJWRKDYHVXFKIXQFWLRQDOLW\LQWKHWKLUGSDUW\OLEUDULHVGHFLGH
WRGHYHORS\RXURZQFRGHWKDWWRRNHHSLQJSRUWDEO\LQPLQG7U\WRGRLWLQ&
FRGHDQGRQO\LIQRWSRVVLEOH JR WR WKH RSWLRQV OLNH XVLQJ DVVHPEO\ FRGH IRU
\RXUSURJUDPV
/HWVORRNDWDQH[DPSOHRIKRZWKLVFDQEHDSSOLHGV\VWHPDWLFDOO\IRUDSUREOHP
DWKDQG ;<= FRPSDQ\ ZDQWV D WRRO IRU VWRULQJ UHWULHYLQJ DQG GLVSOD\LQJ WKH
SKRWRJUDSKVRIWKHLUHPSOR\HHVLQDGDWDEDVHIRUP7KHFRPSDQ\DOUHDG\KDVDFTXLUHGD
VSHFLDOKDUGZDUHIRUVFDQQLQJWKHSKRWRJUDSKV,WLVDOUHDG\XVLQJVRIWZDUHGHYHORSHGLQ
&IRURIILFHDXWRPDWLRQDQGWKH\KDYHWKHVRXUFHFRGHIRUWKHVDPH
)RU WKH SUREOHP & VXLWV ZHOO EHFDXVH WKH\ DUH DOUHDG\ KDYH WKH DSSOLFDWLRQ
UXQQLQJLQ&DQGVRXUFHFRGHLVDOVRDYDLODEOHDQGWKHWRROIRUVFDQQLQJDQGVWRULQJWKH
SKRWRJUDSKVFDQEHGRQHLQ&YHU\ZHOO
2Q WKH ILUVW KDQG H[DPLQH WKH VFRSH RI WKH SUREOHP 7KLV LV D UHTXLUHPHQW WKDW
PD\EHUHTXLUHGLQPDQ\FRPSDQLHVDQGVRLWKDVORWRIVFRSHIRUEHLQJXVHGRXWVLGHWKH
FRPSDQ\ 7KH SODFHV ZKHUH LW PD\ EH UHTXLUHG PD\ KDYH WR LQWHUIDFH ZLWK GLIIHUHQW
KDUGZDUHOLNHVFDQQHUVDQGPD\UHTXLUHUXQQLQJRQGLIIHUHQWSODWIRUPV7KHUHIRUHWKH
JDLQV GXH WR SRUWDELOLW\ VHHP WR EH DWWUDFWLYH HYHQ LI SRUWDEOH FRGH LV QRW SRVVLEOH WKH
QRQSRUWDEOHFRGHZLOOVHUYHWKHSXUSRVHDWKDQG
$VWKHQH[WVWHS\RXVHHLIWKHFRGHFDQEHZULWWHQFRPSOHWHO\LQVWDQGDUG&7KH
SODWIRUP\RXZRUNLV81,;DQGVRIRUVWRULQJWKHGDWDORZOHYHOILOHVFDQEHXVHG'RLQJ
VR ZLOO KDUP SRUWDELOLW\ VR XVH VWDQGDUG OLEUDU\ IXQFWLRQV IRU GRLQJ WKDW )RU WKLV
SUREOHPLQWHUIDFLQJZLWKWKHKDUGZDUHLVUHTXLUHGDQGIRUGLVSOD\LQJWKHSKRWRVJUDSKLFV
VXSSRUWLVQHHGHG(YHQWKRXJKZULWLQJFRPSOHWHFRGHLQVWDQGDUG&LVQRWSRVVLEOHPRVW
RIWKHFRGH FDQVWLOOEHZULWWHQLQVWDQGDUG&0DNHVXUH WR NHHS WKH QRQSRUWDEOH FRGH
HDV\WRILQGDQGLVRODWHLWWRVHSDUDWHILOHV
)RU LQWHUIDFLQJ ZLWK H[WHUQDO KDUGZDUH GHYLFHV \RXU FRPSLOHU SURYLGHV VSHFLDO
KHDGHU ILOHV DQG WKH VRXUFH FRGH LV DOVR DYDLODEOH IRU \RX 7KH VFDQQHU LV DFFRPSDQLHG
ZLWKVRIWZDUHIRULQWHUIDFLQJLWZLWK\RXUFRGH<RXREVHUYHWKDWWKHVDPHIXQFWLRQDOLW\LV
DFKLHYDEOH E\ XVLQJ WKH OLEUDU\ SURYLGHG E\ \RXU YHQGRU ZLWKRXW XVLQJ WKH LQWHUIDFLQJ
VRIWZDUHIURPWKHVFDQQHU+HQFH\RXUHVRUWWRXVLQJWKHOLEUDU\VLQFHWKLVFDQZRUNIRU
DQ\RWKHUVFDQQHUVDOVRDOWKRXJK\RXQHHGWRZULWHVRPHPRUHFRGH
7KHVWDQGDUG&GRHVQRWKDYHDQ\JUDSKLFVOLEUDU\8QIRUWXQDWHO\\RXUFRPSLOHU
YHQGRU DOVR KDSSHQV WR QRW SURYLGH RQH VXFK OLEUDU\ <RX KDYH D JRRG DVVHPEOHU DOVR
\RXDUHDQDFFRPSOLVKHGDVVHPEO\ODQJXDJHSURJUDPPHUDQG\RXUFRPSLOHUKDVRSWLRQV
WR LQWHJUDWH WKH DVVHPEO\ FRGH LQ \RXU FRGH +RZHYHU \RX REVHUYH WKDW D SRUWDEOH
JUDSKLFVSDFNDJH DYDLODEOH E\ D WKLUGSDUW\ VRIWZDUH YHQGRU <RX KDYH WR VSHQG D OLWWOH
IRUSXUFKDVLQJWKDWDQGWKDWJUDSKLFVSDFNDJHGRHVQRWSHUIRUPDVJRRGDV\RXUDVVHPEO\
FRGH <RX HQG XS E\ EX\LQJ WKH JUDSKLFV SDFNDJH EHFDXVH LW KDV EHWWHU SRUWDELOLW\
RSWLRQV
7KXV \RX HQG XS ZULWLQJ WKH FRGH WKDW LV PD[LPDOO\ SRUWDEOH ZLWKRXW XVLQJ
ODQJXDJHH[WHQVLRQVSODWIRUPGHSHQGHQWFRGHRUDVVHPEO\FRGH ,Q DGGLWLRQ \RX PDNH
ORWRIPRQH\VHOOLQJWKHSDFNDJHWRRWKHUFRPSDQLHVZLWKOLWWOHRUQRPRGLILFDWLRQV6RLW
LVDOZD\VSUHIHUDEOHWRZULWHPD[LPDOO\SRUWDEOHFRGHLIQRWIXOO\SRUWDEOHFRGH
:ULWLQJQRQSRUWDEOHFRGH
7KURXJKRXWWKHERRN,VWUHVVRQWKHLPSRUWDQFHRISRUWDELOLW\DQGZULWLQJSRUWDEOH
FRGH7KLVGRHVQ¶W PHDQWKDW\RXVKRXOGQHYHU ZULWHQRQSRUWDEOHFRGH0\SRLQWLVWKDW
ZULWLQJ SRUWDEOH FRGH KHOSV \RX WR KDYH PD[LPXP EHQHILW E\ GLVWULEXWLQJ WKH FRGH WR
YDULRXVSODWIRUPV,WDOVRPLQLPL]HV\RXUHIIRUWWRSRUWWRQHZSODWIRUPV
6RPHWLPHV LW LV QHFHVVDU\ IRU \RX WR ZULWH QRQSRUWDEOH FRGH IRU H[DPSOH D
JUDSKLFVSDFNDJHOLEUDU\RUKDUGZDUHLQWHUIDFH,QVXFKFDVHV
¾ PDNHQRQSRUWDEOHFRGHHDV\WRLGHQWLI\DQGORFDWH
¾ XVH FRQGLWLRQDO FRPSLODWLRQ WR PDNH LW SRVVLEOH WR KDYH FRGH GHSHQGLQJ RQ
WKHSODWIRUPVXSSRUWHG
¾ XVHW\SHGHIVWRKLGHDEVWUDFWVXFKSODWIRUPGHSHQGDQWGHWDLOV
¾ LVRODWHJURXS DOO WKH SODWIRUP VSHFLILF FRGH WR IHZ ILOHV LI WKH FRGH LV WR EH
SRUWHGWRRWKHUSODWIRUPVLWLVHQRXJKWRFKDQJHRQO\WKHFRGHLQWKRVHILOHV
7KHDELOLW\WRZULWH QRQSRUWDEOH DQG SODWIRUP VSHFLILF FRGH LV DFWXDOO\ D RQH RI
WKHUHDVRQVIRUZLGHVSUHDGVXFFHVVRI&
As the [ANSI-98] puts it as one of the underlying principles of standardization of C
itself as “ C code can be non-portable” . Since C can be effectively used to write code for a
particular platform, you can reap the maximum benefit from the available underlying
platform. For example lets see an example of using system calls of UNIX for exHFXWLQJRQH
SURJUDPIURPZLWKLQDQRWKHU
7KH V\VWHP FDOOV XVHG IRU ORZOHYHO SURFHVV FUHDWLRQ DUH H[HFOS DQG H[HFYS
7KHH[HFOSFDOORYHUOD\VWKHH[LVWLQJSURJUDPZLWKWKHQHZRQHUXQVWKDWDQGH[LWV7KH
RULJLQDOSURJUDPJHWVEDFNFRQWURORQO\ZKHQDQHUURURFFXUV
H[HFOSSDWKILOHBQDPHDUJXPHQWV
ODVWDUJXPHQWPXVWEH18//
$YDULDQWRIH[HFOSFDOOHGH[HFYSLVXVHGZKHQWKHQXPEHURIDUJXPHQWVLVQRWNQRZQLQ
DGYDQFH
H[HFYSSDWKDUJXPHQWBDUUD\
DUJXPHQWDUUD\VKRXOGEH18//WHUPLQDWHG
6\VWHP FDOOV DUH IXUWKHU GLVFXVVHG XQGHU WKH FKDSWHU LQ ³8QL[ DQG :LQGRZV
SURJUDPPLQJLQ&´
/DQJXDJH)HDWXUHVWR$YRLG
(YHU\ ODQJXDJH KDV LWV RZQ VWUHQJWKV DQG ZHDNQHVVHV 7KH\ KDYH VWURQJKROGV
WUDSVDQGSLWIDOOV6RODQJXDJHVXSSRUWVDIHDWXUHGRHVQ¶WPHDQWKDWWKDWIHDWXUHVKRXOGEH
XVHG7KLVLVWUXHIRUHYHQD VPDOO ODQJXDJH OLNH & ZLWK OHVV IHDWXUHV )RU H[DPSOH WKH
ODQJXDJHVXSSRUWVµSUDJPDV¶EXWXVLQJWKDWOHDGVWRQRQSRUWDEOHFRGH
6RPHWLPHV \RX KDYH WR DYRLG XVLQJ VRPH ODQJXDJH IHDWXUHV GHSHQGLQJ RQ WKH
HQYLURQPHQW \RX SURJUDP )RU H[DPSOH ZKLOH SURJUDPPLQJ IRU HPEHGGHG V\VWHPV
QRUPDOO\WKHXVHRIG\QDPLFPHPRU\DOORFDWLRQLVSURKLELWHG
&LVDODQJXDJHZKHUH\RXFDQFRGHLQGLIIHUHQWZD\VWRVROYHWKHVDPHSUREOHP
6RFDUHIXOGHFLVLRQVKRXOGEHPDGHLQVHOHFWLQJWKHODQJXDJHIHDWXUHVWKDWDUHKDUPOHVV
ZHOO XQGHUVWRRG DQG OHVV HUURUSURQH )RU H[DPSOH WDNH D VLPSOH WDVN RI ILQGLQJ WKH
ELJJHVWRIWKUHHQXPEHUV'HSHQGLQJRQWKHUHTXLUHPHQWDQGVLWXDWLRQ\RXFDQHLWKHURSW
IRUPDFURVRUIXQFWLRQVEXWLQJHQHUDOLWLVEHWWHUWRDYRLGPDFURVDQGJRIRUIXQFWLRQV,
GLVFXVV D VLWXDWLRQ ZKHUH PDFURV LV SUHIHUDEOH WR IXQFWLRQV LQ WKH FKDSWHU RQ
³SUHSURFHVVRU´
6REHFDXWLRXVLQVHOHFWLQJDQGXVLQJWKHIHDWXUHVVXSSRUWHGE\WKHODQJXDJH
3HUIRUPDQFHDQG2SWLPL]DWLRQ&RQVLGHUDWLRQV
)RU VHULRXV VFLHQWLILF DSSOLFDWLRQV SHUIRUPDQFH LV DQ LPSRUWDQW FULWHULRQ DQG
VOLJKWGLIIHUHQFHLQVSHHGFDQPDNHDELJGLIIHUHQFH&ZDVRIFRXUVHGHVLJQHGNHHSLQJ
HIILFLHQF\ LQ PLQG EXW WKH SUREOHP LV WKDW LW ZDV EDVHG RQ 3'3 PDFKLQHV 2QH VXFK
H[DPSOHLVWKHPHPRU\DFFHVVWHFKQLTXHVLQ&WKDWDUHEDVHGRQ3'30DFKLQHV
2QHFDQQRWIXOO\UHO\RQWKHFRPSLOHUWRRSWLPL]HDQGLWLVDOZD\VJRRGWRKDQG
RSWLPL]H WKH FRGH DV PXFK DV SRVVLEOH SDUWLFXODUO\ LQ WLPHFULWLFDO DQG VFLHQWLILF
DSSOLFDWLRQV %HFDXVH WKH SURJUDPPHU NQRZV KLV LQWHQWLRQV FOHDUO\ DQG FDQ RSWLPL]H
EHWWHU ZKLOH ZULWLQJ WKH FRGH WR WKH FRPSLOHU DQDO\]LQJ WKH FRGH DQG PDNH WKH FRGH
HIILFLHQW
7KHRSWLPL]DWLRQVWKDWDUHSRVVLEOHFDQYDU\ZLWKUHTXLUHPHQWV,QVRPHFDVHVWKH
UHDGDELOLW\RIWKHFRGHQHHGVWREHVOLJKWO\DIIHFWHGIRURSWLPL]LQJWKHFRGH,QDGGLWLRQ
RSWLPL]LQJ GHSHQGV RQ WKH SODWIRUP WKH PLQXWH KDUGZDUH GHWDLOV DQG PDQ\
LPSOHPHQWDWLRQGHWDLOVDQGNQRZOHGJHRIVXFKGHWDLOVLVVRPHWLPHVQHFHVVDU\WRZULWHD
PXFKRSWLPL]HGFRGH
)RU H[DPSOH LQILQLWH ORRS IRU JHQHUDWHV IDVWHU FRGH WKDQ WKH ZKLOH HYHQ
WKRXJKERWKLQWHQGVWRGRWKHVDPH7KLVLVEHFDXVHIRULVDVSHFLDOL]HGFRQGLWLRQIRU
WKHµIRU¶ORRSWKDWLVDOORZHGE\&ODQJXDJHWRLQGLFDWHLQILQLWHORRSVRWKHFRPSLOHUFDQ
JHQHUDWH FRGH GLUHFWO\ IRU WKH LQILQLWH ORRS :KHUHDV IRU µZKLOH¶ WKH FRGH KDV WR EH
JHQHUDWHGVXFKWKDWWKHFRQGLWLRQKDVWREHFKHFNHGDQGWUDQVIHUUHGDIWHUDOZD\VFKHFNLQJ
WKHFRQGLWLRQ
6RPHPDFKLQHVKDQGOHXQVLJQHGYDOXHVIDVWHU WKDQ WKH VLJQHG YDOXHV 'XH WR LWV
GHVLUDEOH SURSHUWLHV OLNH WKH\ YDOXHV QHYHU RYHUIORZ PDNLQJ H[SOLFLW WKDW WKH YDOXH FDQ
QHYHU JR QHJDWLYH WKURXJK WKH FRGH LWVHOI HWF PDNHV XVDJH RI XQVLJQHG RYHU VLJQHG
ZKHQHYHU SRVVLEOH &RS\LQJ EXON RI GDWD IURP RQH ORFDWLRQ WR DQRWKHU ORFDWLRQ FDQ EH
HIILFLHQWLILWLVGRQHLQEORFNPXOWLSOHVRIHLJKWE\WHVWKDQE\WHE\E\WH6XFKDQH[DPSOH
RIFRS\LQJRSWLPL]DWLRQLVWKH'XIIVGHYLFHGLVFXVVHGODWHU
5HFXUVLRQLVDFFHSWDEOHWRPDSWKHSUREOHPGLUHFWO\WRVROXWLRQEXWFDQEHFRVWO\
LI WKH IXQFWLRQ KDV ORW RI DXWR YDULDEOHV RFFXS\LQJ ORW RI VSDFH ,Q VXFK FDVHV DYRLG
UHFXUVLRQDQGWU\WKHLWHUDWLYHHTXLYDOHQWV
5ROHRI2SWLPL]HUV
,QWKHHDUO\GD\VRI&LWZDVXVHGPRVWO\IRUV\VWHPVSURJUDPPLQJRQO\,QLWLDOO\
WKH V\VWHP SURJUDPPHUV ZHUH UHOXFWDQW WR GR SURJUDPPLQJ LQ & WR DVVHPEO\ ODQJXDJH
VLQFHLWLVZLGHO\EHOLHYHGWKDWGRLQJSURJUDPPLQJLQKLJKOHYHOODQJXDJHVKDYHWKHFRVW
RIHIILFLHQF\6RRQWKH&FRPSLOHUVEHFDPHDYDLODEOHLQPXOWLSOHSODWIRUPVDQGWKH\ZHUH
ZULWWHQ VXFK WKDW WKH\ JHQHUDWHG VSHFLDOL]HG FRGH WR ILW WKH XQGHUO\LQJ PDFKLQHV
,PSRUWDQWO\RSWLPL]HUVGLGD JRRGMRE DQG EHFDPH DQ LPSRUWDQW SDUW LQ DOPRVW HYHU\ &
FRPSLOHU2SWLPL]HUVFDQGRVRPHRSWLPL]DWLRQVOLNHUHJLVWHURSWLPL]DWLRQVWKDWDUHQRW
DOZD\VSRVVLEOHRUWHGLRXVWRGRLQGRLQJDVVHPEO\SURJUDPPLQJGLUHFWO\3URJUDPPHUV
FDQ FRQFHQWUDWH RQ RWKHU DVSHFWV RI SURJUDPPLQJ E\ OHDYLQJ ORZOHYHO SURJUDPPLQJ WR
EHWDNHQFDUHE\WKHFRPSLOHU
(IILFLHQF\LVQRWMXVWDGHVLJQJRDOEXWDGULYLQJIRUFHLQ&¶VGHVLJQ6RZULWLQJ
HIILFLHQWFRGHLVQDWXUDOLQ&DQGPRVWRIXVWKH&SURJUDPPHUVHYHQGRLWVRPHWLPHV
XQFRQVFLRXVO\
6RWKHSURJUDPPHUVVWDUWHGSUHIHUULQJ&FRGHWRDVVHPEO\ODQJXDJHSURJUDPPLQJ
DQG WKDW LV DQ LQWHUHVWLQJ WUDQVLWLRQ VWDQGLQJ DV D WHVWLPRQ\ RI &¶V FRPPLWPHQW WR
HIILFLHQW FRGH (IILFLHQF\ LV WKXV WKH FRPELQHG TXDOLW\ RI ERWK WKH ODQJXDJH DQG LWV
LPSOHPHQWDWLRQ
$OWKRXJKWKHRSWLPL]HUVGRDJRRGGHDORIZRUNLQLPSURYLQJWKHHIILFLHQF\RIWKH
FRGHLWLVQRWJRRGWRZULWHFRGHWKDWGHSHQGVRQRSWLPL]DWLRQEHGRQHE\LW0RVWRIWKH
RSWLPL]DWLRQVFDQEHGRQHE\JRRGSURJUDPPLQJSUDFWLFHVFDUHIXODQG JRRGGHVLJQLQJ
7KHUH DUH QXPHURXV WHFKQLTXHV WR ZULWH RSWLPDO FRGH DQG LW LV DOZD\V EHWWHU WR ZULWH
RSWLPDODQGHIILFLHQWFRGHE\XV
6L]HRIWKH([HFXWDEOH)LOH
7KHVL]HRIWKHH[HFXWDEOHFRGHPD\EHXQQHFHVVDULO\ODUJHGXHWRPDQ\UHDVRQV
7KHSULPDU\UHDVRQVDUH
¾ UHSHWLWLRQGXSOLFDWLRQRIWKHFRGH
¾ XQQHFHVVDU\IXQFWLRQVWKDWKDYHEHHQDGGHG
7KHUHXVHRIWKHFRGHLVJRRGLQWKHVHQVHLWPDNHVXVHRIDOUHDG\DYDLODEOHFRGH
WKDW LV QRUPDOO\ D WHVWHG RQH ,W UHGXFHV WKH GHYHORSPHQW WLPH DOVR +RZHYHU LW KDV D
WUDGHRII WRR /DUJH DPRXQW RI FRGH GXSOLFDWLRQ WDNHV SODFH LI FRGH UHXVH LV QRW GRQH
FDUHIXOO\ ,W PDNHV WKH FRGH KDUGHU WR PDLQWDLQ DV RSSRVHG WR WKH SRSXODU EHOLHI WKDW
UHXVH PDNHV PDLQWHQDQFH HDVLHU 2I FRXUVH WKLV LV WUXH LI FDUH LV WDNHQ ZKLOH UHXVLQJ
FRGHEHFDXVHWKHRULJLQDOFRGHLVQRWWDLORUHGWRVROYHWKHFXUUHQWQHHG
7KH WUDGHRII IRU WKH SURJUDP VL]H LV WKH SHUIRUPDQFH ,I WKH ILOH LV WRR ELJ WKH
ZKROHSURJUDPFDQQRWUHVLGHLQWKHPHPRU\7KHUHIRUHIUHTXHQWVZDSSLQJRISDJHVKDV
WR WDNH SODFH WR JLYH VSDFH IRU QHZ SDJHV< 7KH RYHUDOO HIIHFW LV WKH SHUIRUPDQFH
GHJUDGDWLRQ
<
,QFDVHRISDJHGPHPRU\PDQDJHPHQWV\VWHPVOLNH'26QRWLQHYHU\RSHUDWLQJV\VWHP0\LGHDLVWR
FRQYH\WKDWPDNLQJH[HILOHVXQQHFHVVDULO\ELJDIIHFWVSHUIRUPDQFH
0HPRU\0DQDJHPHQW
:KHQHYHUSRVVLEOHSUHIHUDXWRPDWLFVWRUDJHDVRSSRVHGWRG\QDPLFVWRUDJH7KLV
LVEHFDXVHWKHFRGHKDVWREHZULWWHQWRWDNHFDUHRIG\QDPLFVWRUDJHDOORFDWLRQIDLOXUHV
DQG UXQWLPH RYHUKHDG LV LQYROYHG LQ FDOOLQJ WKH PHPRU\ DOORFDWLRQ IXQFWLRQV WKDW PD\
VRPHWLPHV WDNH PRUH WLPH 0DQDJLQJ WKH DOORFDWLRQ DQG GHDOORFDWLRQ RI PHPRU\
H[SOLFLWO\E\WKHSURJUDPPHULVHUURUSURQHDQGHYHQH[SHULHQFHGSURJUDPPHUVVWXPEOH
RQWKLVVRPHWLPHV([DPSOHVDUHWKHGHDOORFDWLRQRIPHPRU\WZLFHDQGXVLQJWKHPHPRU\
DUHD WKDW KDV DOUHDG\ EHHQ GHDOORFDWHG )RU WKHVH UHDVRQV DXWRPDWLF VWRUDJH PXVW EH
SUHIHUUHGWRG\QDPLFVWRUDJHZKHQHYHUSRVVLEOH
&2167$1767<3(6DQG7<3(&219(56,216
& SURYLGHV \RX ZLWK GLIIHUHQW IODYRUV RI W\SHV WKDW FDQ EH WDLORUHG WR VXLW DQ\
SDUWLFXODUQHHG7KHODQJXDJHGRHVQRWVSHFLI\DQ\OLPLWRQWKHUDQJHRIWKHGDWDW\SHV
6RGHSHQGLQJRQWKHKDUGZDUHWKHFRPSLOHUVFDQLPSOHPHQWWKHPHIILFLHQWO\7KLVPHDQV
WKDWLQWHJHUFDQEHLPSOHPHQWHGZLWKWKHQDWLYHZRUGVL]HRIWKHSURFHVVRUZKLFKPDNHV
WKHRSHUDWLRQVIDVWHU,QDGGLWLRQWKHOLEUDU\FRGHRUWKHPDWKFRSURFHVVRUGHSHQGLQJRQ
WKHDYDLODELOLW\FDQGRWKHIORDWLQJSRLQWRSHUDWLRQV
,Q&WKHW\SHVPD\EHEURDGO\FODVVLILHGLQWRVFDODUDJJUHJDWHIXQFWLRQDQGYRLG
7KHUH DUH IXUWKHU VXEGLYLVLRQV ZKLFK FDQ EH XQGHUVWRRG IURP WKH GLDJUDP %HIRUH
NQRZLQJDERXWFRQVWDQWVDQGW\SHVOHWVVHHDERXWYDULDEOHV
9DULDEOHV
9DULDEOHVDUHQDPHVJLYHQWRWKHPHPRU\ORFDWLRQVDZD\WRLGHQWLI\DQGXVHWKH
DUHDWRVWRUHDQGUHWULHYHYDOXHV,WLVIRUWKHSURJUDPPHUDQGVRWKH\GRQRWH[LVWDIWHU
WKHH[HFXWDEOHFRGHLVFUHDWHG:KHUHDVWKHFRQVWDQWVOLYHXSWRWKHFRPSLODWLRQSURFHVV
RQO\DQGKDYHQRPHPRU\ORFDWLRQVDVVRFLDWHGZLWKWKHP
LQWL LS L
LLVDOORZHGEHFDXVHLKDVDPHPRU\ORFDWLRQ

,ZDQWWRFODULI\WKHGLIIHUHQFHEHWZHHQµW\SH¶DQGµGDWDW\SH¶'DWDW\SHVSHFLILHVDVHWRIYDOXHVDQGDVHW
RIRSHUDWLRQVRQWKRVHYDOXHV+RZHYHUW\SHLVDVXSHUVHWRIGDWDW\SHREWDLQHGE\XVLQJH[LVWLQJGDWD
W\SHVWRFRPHRXWZLWKDFRPSRVLWHVHWRIYDOXHVDQGDVHWRIRSHUDWLRQVRQWKRVHYDOXHVHJXVLQJ
W\SHGHIV+HUHDIWHU,XVHµW\SH¶V\QRQ\PRXVO\ZLWKµGDWDW\SH¶
DQGVRFDQWDNHDGGUHVVRILW
LQWFS
LVQRWDOORZHGEHFDXVHWKHµ¶LVQRWVWRUHG
DQ\ZKHUHDQGVR\RXFDQQRWDSSO\ WRLW
7KDWLVWKHVDPHUHDVRQZK\FRQVWDQWVFDQQRWEHXVHGLQWKHFDVHRISDVVLQJWRIXQFWLRQV
YRLGLQW6ZDSLQW LLQW M
LQWWHPS L
L M
M WHPS
IRUWKLVIXQFWLRQFDOOOLNH
LQW6ZDS L M
LVSHUIHFWO\DFFHSWDEOH
LQW6ZDS
LVLOOHJDOEHFDXVHLQWHJHUFRQVWDQWGRHVQ¶W
UHVHUYHPHPRU\VSDFH
2QHREYLRXVH[FHSWLRQLVWKHVWULQJFRQVWDQWVWKDWDUHVWRUHGLQWKHPHPRU\)RU
H[DPSOH\RXVKRXOGKDYHXVHGWKHFRGHOLNHWKLVXVLQJWKLVIDFW
LQWL VWUFPS³VWULQJ´´VWULQJ´
SDVVWKHDGGUHVVHVRIVWULQJDQGVWULQJ
ZKLFKDUHVWRUHGVRPHZKHUHLQWKHPHPRU\
FKDU VWU ³WKLVVWULQJLVDYDLODEOHLQPHPRU\´
DGGUHVVRIWKHVWULQJFRQVWDQWLVVWRUHGLQVWU
SULQWI³S´´VRPH6WULQJ´
SULQWVWKHDGGUHVVRIWKHVWULQJFRQVWDQW³VRPH6WULQJ´
,Q RWKHU ZRUGV YDULDEOHV DUH DGGUHVVDEOH ZKHUHDV OLWHUDO FRQVWDQWV DUH QRQ
DGGUHVVDEOHDQGWKDWLVZK\\RXFDQDSSO\XQDU\ RSHUDWRURQO\WRYDULDEOHVDQGQRWIRU
FRQVWDQWV
7\SHVRIYDULDEOHV
9DULDEOHVFDQEHFODVVLILHGE\WKHQDWXUHZLWKZKLFKWKHYDOXHLWVWRUHVFKDQJHV
6\QFKURQRXVYDULDEOHV
7KH YDOXH RI WKHVH YDULDEOHV FDQ RQO\ EH FKDQJHG WKURXJK SURJUDP FRGH OLNH
DVVLJQVWDWHPHQWVZKLFKFKDQJHVWKHYDOXHVWRUHGLQWKDWYDULDEOH$OOWKHYDULDEOHVXVHG
LQ&SURJUDPVDUHV\QFKURQRXVXQOHVVRWKHUZLVHH[SOLFLWO\VSHFLILHGE\FRQVWRUYRODWLOH
TXDOLILHUV
LQWV\Q V\QS
DQGDQ\RWKHUYDULDEOHVZLWKRXWWKHTXDOLILHUVFRQVWRUYRODWLOH
DUHV\QFKURQRXV
$V\QFKURQRXVYDULDEOHV
7KHVHYDULDEOHVUHSUHVHQWWKHPHPRU\ORFDWLRQVZKHUHWKHYDOXHLQWKDWORFDWLRQLV
PRGLILHG E\ WKH V\VWHP DQG LV LQ WKH FRQWURO RI WKH V\VWHP )RU H[DPSOH WKH VWRUDJH
ORFDWLRQWKDWFRQWDLQVWKHFXUUHQWWLPHLQWKDWV\VWHPWKDWLVXSGDWHGE\WKHWLPHULQWKH
V\VWHP7RLQGLFDWHWKDWWKHYDULDEOHDVDV\QFKURQRXVXVHYRODWLOHTXDOLILHU
YRODWLOHIORDWDV\Q
WKLVLQGLFDWHVWRWKHFRPSLOHUWKDWWKHYDULDEOHDV\QLVQRWDQ
RUGLQDU\YDULDEOHDQGLWVYDOXHPD\EHFKDQJHGE\H[WHUQDOIDFWRUV
5HDG2QO\YDULDEOHV
7KHVHDUHLQLWLDOL]HGYDULDEOHVWKDWFDQRQO\EHUHDGEXWQRWPRGLILHG7KHFRQVW
TXDOLILHULQGLFDWHVWKHYDULDEOHRIWKLVW\SH
FRQVWLQWURY
PHDQVWKDWWKHYDULDEOHURYPD\EHXVHGIRUUHDGLQJSXUSRVHVRQO\
DQGQRWIRUZULWLQJLQWRLW
0RUHDERXWFRQVWDQGYRODWLOHTXDOLILHUVLVGLVFXVVHGODWHU
7KLVFODVVLILFDWLRQRIYDULDEOHVZDVQRWWKHUHLQWKHRULJLQDO. 5&EHFDXVHWKHUH
ZHUHQRFRQVWRUYRODWLOHTXDOLILHUVWKHQ7KLVLVGXHWR$16,&ZKLFKLQWURGXFHGWKHVH
WZRTXDOLILHUVFDOOHGDVFYTXDOLILHUVVWDQGLQJIRUFRQVWDQGYRODWLOHTXDOLILHUV
&RQVWDQWV
&RQVWDQWVDUHQDPLQJRILQWHUQDOUHSUHVHQWDWLRQRIWKHELWSDWWHUQRIWKHREMHFWV,W
PHDQV WKDW WKH LQWHUQDO UHSUHVHQWDWLRQ PD\ FKDQJH EXW WKH PHDQLQJ RI FRQVWDQW QHYHU
GRHV,Q&WKHZRUGVµFRQVWDQW¶DQGµOLWHUDO¶DUHXVHGLQWHUFKDQJHDEO\

µREMHFW¶LVDUHJLRQRIPHPRU\WKDWFDQKROGDIL[HGRUYDULDEOHYDOXHRUVHWRIYDOXHV7KLVXVHRI
ZRUGµREMHFW¶LVGLIIHUHQWIURPWKHPHDQLQJXVHGLQREMHFWRULHQWHGODQJXDJHV+HUHDIWHUWKHZRUGµREMHFW¶
LVXVHGWRPHDQWKHYDULDEOHDQGLWVDVVRFLDWHGVSDFH
3UHIL[HVDQGVXIIL[HV
3UHIL[HVDQGVXIIL[HVIRUFHWKHW\SHRIWKHFRQVWDQWV7KHPRVWFRPPRQSUHIL[HV
DUHµ[¶DQGµ¶XVHGLQKH[DGHFLPDODQGRFWDOLQWHJHUVUHVSHFWLYHO\3UHIL[µ/¶LVXVHG
WR VSHFLI\ WKDW D FKDUDFWHU FRQVWDQW LV IURP D UXQWLPH ZLGH FKDUDFWHU VHW ZKLFK LV
DYDLODEOHLQVRPHLPSOHPHQWDWLRQV
7KHVXIIL[HVXVHGLQLQWHJHUVDUH/O8XRUGHULPPDWHULDO/GHQRWHVORQJDQG
8IRUXQVLJQHG,QDGGLWLRQWRWKHVXIIL[/OWKHIORDWLQJFRQVWDQWVFDQKDYH)IVXIIL[,I
QRVXIIL[HVDUHWKHUHWKHIORDWLQJSRLQWFRQVWDQWLVVWRUHGDVGRXEOHWKH)IIRUFHVLWWREH
DIORDWDQG/OIRUFHVLWWREHORQJGRXEOH
3RLQWWR3RQGHU
,Q WKH DEVHQFH RI DQ\ RYHUULGLQJ VXIIL[HV WKH GDWD W\SH RI DQ LQWHJHU FRQVWDQW LV
GHULYHGIURPLWVYDOXH
(VFDSHFKDUDFWHUV
(VFDSH FKDUDFWHUV DUH WKH FRPELQDWLRQ RI WKH ? DQG D FKDUDFWHU IURP WKH VHW RI
FKDUDFWHUV JLYHQ EHORZ RU DQ LQWHJHU HTXLYDOHQW RI WKH FKDUDFWHU ZKLFK KDV D VSHFLDO
PHDQLQJLQ&7KH\DUHRIWZRW\SHV
&KDUDFWHUHVFDSHFRGH
,IZHXVHDFKDUDFWHUWRVSHFLI\WKHFRGHWKHQLWLVFDOOHGDFKDUDFWHUHVFDSHFRGH
7KH\DUH
?D?E?I?Q?U?W?Y?"???¶?´
1XPHULFHVFDSHFRGH
,IZHVSHFLI\WKHHVFDSHFKDUDFWHUZLWKWKH?LQWHJHUIRUPWKHQLWLVFDOOHGQXPHULF
HVFDSHFRGH
([HUFLVH
(VFDSHFKDUDFWHUVLQSDUWLFXODUQXPHULFFRGHVDOORZWKHPDSSLQJVXSSRUWHGE\
WKHWDUJHWFRPSXWHU-XVWLI\
6FDODU7\SH
,IDOOWKHYDOXHVRIDGDWDW\SHOLHDORQJDOLQHDUVFDOHWKHQWKHGDWDW\SHLVVDLGWR
EHRIVFDODUGDWDW\SH ,H WKH YDOXHV RI WKH GDWD W\SH FDQ EH XVHG DV DQ RSHUDQG WR WKH
UHODWLRQDORSHUDWRUV
$ULWKPHWLF7\SH
7KHVHDUHWKHW\SHVZKLFKFDQEHLQWHUSUHWHGDVQXPEHUV
,QWHJUDO7\SH
7KHVHDUHWKHW\SHVZKLFKDUHEDVLFDOO\LQWHJHUV
&KDUDFWHU7\SH
&KDUDFWHU W\SH LV GHULYHG IURP LQWHJHU DQG LV FDSDEOH RI VWRULQJ WKH H[HFXWLRQ
FKDUDFWHU VHW 7KH VL]H VKRXOG EH DW OHDVW RQH E\WH ,I D FKDUDFWHU IURP WKH H[HFXWLRQ
FKDUDFWHUVHWLVVWRUHGWKHHTXLYDOHQWQRQQHJDWLYHLQWHJHUFRGHLVVWRUHG
7\SHV
6FDODU
$ULWKPHWL
,QWHJUDO
&KDU
,QWHJHU
(QXP
)ORDWLQJ
)ORDW
'RXEOH
3RLQWHU
$JJUHJDWH
9RLG
)XQFWLRQ
9DULRXV'DWDW\SHVDYDLODEOHLQ&
:H VKRXOG QRW DVVXPH DQ\WKLQJ DERXW WKH XQGHUO\LQJ KDUGZDUH VXSSRUW IRU
FKDUDFWHUV
9HUVLRQ
FK! FK LVLQWHQGHGWRFKHFNLIWKHFKDUDFWHULVDQXSSHUFDVH
DOSKDEHW ,W LV QRW SRUWDEOH EHFDXVH WKH KDUGZDUH PD\ VXSSRUW VRPH RWKHU FKDUDFWHU VHW
VD\(%&',&DQGVREHFRPHVZURQJ
9HUVLRQ
FK ! ¶$¶ FK ¶=¶ $VVXPLQJ WKDW WKH VHTXHQFH $= LV FRQWLQXRXV
7KLVPD\QRWEHWKHFDVHLQHYHU\FKDUDFWHUVHWVRPD\IDLO
9HUVLRQ
LVXSSHUFK 7KLVJLYHVWKHUHTXLUHGUHVXOWDVLWLVVXUHWREHSRUWDEOH
,I\RXZDQWWRSULQWWKH$6&,,FKDUDFWHUVHWVXSSRVLQJ\RXUV\VWHPVXSSRUWVLW
\RXPD\ZULWHDFRGHVHJPHQWOLNHWKLV
FKDUFK
IRUFK FK FK
SULQWI³FG?Q³FKFK
WR\RXUVXUSULVHWKLVFRGHVHJPHQWPD\QRWZRUN7KHVLPSOHUHDVRQIRUWKLVLVWKDWWKH
FKDUPD\EHVLJQHGRUXQVLJQHGE\GHIDXOW,ILWLVVLJQHGWKHQFKLVH[HFXWHGDIWHUFK
UHDFKHVDQGURWDWHVEDFNWR7KXVFKLVDOZD\VVPDOOHUWKDQ
([HUFLVH
&DQZHXVHFKDUDVµWLQ\¶LQWHJHU"-XVWLI\ \RXUDQVZHU ,I \HVGRHVWKH IDFWWKDW
WKHFKDUPD\EHVLJQHGRUXQVLJQHGZLOODIIHFW\RXUDQVZHU"
&KDUDFWHUFRQVWDQWV
7KH FRQVWDQWV UHSUHVHQWHG LQVLGH WKH VLQJOH TXRWHV DUH UHIHUUHG WR DV FKDUDFWHU
FRQVWDQWV,Q$16,&DFKDUDFWHUFRQVWDQWLVRIW\SHLQWHJHU
$16,&DOORZVPXOWLE\WHFRQVWDQWV6LQFHWKHVXSSRUWIURPWKHLPSOHPHQWDWLRQV
PD\ YDU\ WKH XVH RI PXOWLE\WH FRQVWDQWV PDNHV WKH SURJUDP QRQSRUWDEOH PXOWLE\WH
FKDUDFWHUVDUHGLIIHUHQWIURPZLGHFKDUDFWHUV
LQWFK µ[\¶
VD\KHUHVL]HRILQW E\WHV
7KLVLVDPXOWLE\WHFKDU
3UHIL[/VLJQLILHVWKDWWKHIROORZLQJLV DPXOWLE\WH FKDUDFWHUZKHUHORQJW\SHLV
XVHGWRVWRUHWKHLQIRUPDWLRQRIPRUHWKDQRQHE\WHDYDLODEOH
ZFKDUBWFK /µ[\¶
WKLVLVDZLGHFKDUDFWHUWDNLQJE\WHV
([HUFLVH
%RWKRIWKHIROORZLQJDUHHTXLYDOHQW
FKDUQDPH>@ ³QDPH´
FKDUQDPH>@ ^µQ¶¶D¶¶P¶¶H¶¶?¶`
%XW\RXNQRZWKDWLWWDNHVWZRE\WHVIRUDFKDUDFWHUFRQVWDQW7KHQZK\GRHVQ¶WQDPH
WDNHPRUHVSDFHEHFDXVHLWLVPDGHXSRIFKDUDFWHUFRQVWDQWV"
0XOWLE\WHDQG:LGHFKDUDFWHUV
$16,&SURYLGHVDZD\WR UHSUHVHQW WKH FKDUDFWHU VHW LQ YDULRXV ODQJXDJHV E\ D
PHFKDQLVPFDOOHGPXOWLE\WHFKDUDFWHUV:KHQXVHGWKHUXQWLPHHQYLURQPHQWLQWHUSUHWV
FRQWLJXRXVE\WHVDVDFKDUDFWHU7KHQXPEHURIE\WHVLQWHUSUHWHGDVDVLQJOHFKDUDFWHULV
LPSOHPHQWDWLRQGHILQHG
ORQJFK µDEFG¶
ZKHUHORQJKROGVIRXUFKDUDFWHUVDQGWUHDWVDVDVLQJOHPXOWLE\WH
FKDUDFWHU
:LGHFKDUDFWHUPD\RFFXS\ ELWV RU PRUH DQG DUH UHSUHVHQWHG DV LQWHJHUV DQG
PD\EHGHILQHGDVIROORZV
W\SHGHIXQVLJQHGVKRUWZFKDUBW
7RLQLWLDOL]HDFKDUDFWHURIW\SHZFKDUBWMXVWGRLWDVXVXDODVIRUDFKDU
ZFKDUBWFK
&
RU
ZFKDUBWFK /
&
SUHIL[/LVRSWLRQDO
3UHIL[/LQGLFDWHVWKDWWKHFKDUDFWHULVRIW\SHZLGHFKDUDFWHUDQGWZRE\WHVDUHDOORFDWHG
IRUWKDWFKDUDFWHU
)RUWKHZLGHFKDUDFWHUVWULQJVVLPLODUIRUPDWLVWREHIROORZHG+HUHWKHSUHIL[/
LVPDQGDWRU\
ZFKDUBW ZLGH6WU /DZLGHVWULQJ RU
ZFKDUBWZLGH6WU>@ /DZLGHVWULQJ
WKHVDPHLGHDDSSOLHVWRDUUD\RIVWULQJVHWF
7KHZLGHFKDUDFWHUVWULQJVDUHQXOOWHUPLQDWHGE\WZRE\WHV$V\RXFDQVHH\RX
FDQQRWDSSO\WKHVDPHVWULQJIXQFWLRQVIRURUGLQDU\FKDUVWRVWULQJVRIZLGHFKDUV
VWUOHQZLGH6WU ZLOOJLYHZURQJUHVXOWV
)RUWKLV$16,SURYLGHVHTXLYDOHQWZLGHFKDUDFWHUVWULQJOLEUDU\IXQFWLRQVWRSODLQFKDUV
)RUHJ
ZFVOHQZLGH6WU
IRUILQGLQJWKHOHQJWKRIWKHZLGHFKDUDFWHUVWULQJ
WKLVLVHTXLYDOHQWWRVWUOHQIRUSODLQFKDUVDQGZSULQWIIRUSULQWIHWF
<RXFDQORRNLWWKLVZD\3ODLQFKDUVWDNHE\WHDQGZLGHFKDUDFWHUVQRUPDOO\
E\WHV %RWK FRH[LVW ZLWK RXW SUREOHPV DV LQW DQG ORQJ FRH[LVW DQG ERWK KDYH VLPLODU
OLEUDU\IXQFWLRQVRIWKHLURZQ
0XOWLE\WHFKDUDFWHUVDUHGLIIHUHQWIURPZLGHFKDUDFWHUV0XOWLE\WHFKDUDFWHUVDUH
PDGHXS RI PXOWLSOH VLQJOH E\WH FKDUDFWHUV DQG DUH LQWHUSUHWHG DV D VLQJOH FKDUDFWHU DW
UXQWLPH LQDQLPSOHPHQWDWLRQGHILQHGZD\:KHUHDVLQZLGHFKDUDFWHULVDW\SHZFKDUBW
DQGLVLQWHUQDOO\UHSUHVHQWHGDVDQLQWHJHU
/LEUDU\ IXQFWLRQV VXSSRUW LV DYDLODEOH IRU WKH ZLGH FKDUDFWHUV EXW QRW IRU WKH
PXOWLE\WHFKDUDFWHUV)RUZLGHFKDUDFWHUVLWLVLQDQLPSOHPHQWDWLRQGHILQHGOLEUDU\DQG
QRW PXFK VXSSRUW LV DYDLODEOH IRU ZLGH FKDUDFWHU PDQLSXODWLRQ IRU LWV IXOOIOHGJHG XVH
3RUWDELOLW\ SUREOHPV ZLOO DULVH E\ WKH E\WH RUGHU RU E\ WKH HQFRGLQJ VFKHPH VXSSRUWHG
VD\IRU8QLFRGH87),I\RXZDQW\RXUVRIWZDUHWREHLQWHUQDWLRQDO\RXPD\QHHGWKLV
IDFLOLW\EXWXQIRUWXQDWHO\WKHIDFLOLWLHVSURYLGHGE\WKHZLGHFKDUDFWHUVLVQRWDGHTXDWH
7KH UXQWLPH OLEUDU\ URXWLQHV IRU WUDQVODWLQJ EHWZHHQ PXOWLE\WH DQG ZLGH
FKDUDFWHUVLQFOXGHPEVWRZFVPEWRZFZFVWRPEVDQGZFWRPE)RUH[DPSOH
VL]HBW ZFVWRPEVFKDU V FRQVW ZFKDUBW SZFV VL]HBW
Q
WKLV IXQFWLRQ FRQYHUWV WKH ZLGHFKDUDFWHU VWULQJ WR WKH PXOWLE\WH FKDUDFWHU VWULQJ LW
UHWXUQVWKHQXPEHURIFKDUDFWHUVVXFFHVVIXOO\FRQYHUWHG
FKDUPEEXI>@
ZFKDUBW ZFVWULQJ /6RPHZLGHVWULQJ
ZFVWRPEVPEEXIZFVWULQJ
6LPLODUO\
LQWZFWRPEFKDU VZFKDUBWZF
7KLVIXQFWLRQWHOOVQXPEHURIE\WHVUHTXLUHGWRUHSUHVHQWWKHZLGHFKDUDFWHUµZF¶
ZKHUHµV¶LVWKHPXOWLE\WHFKDUDFWHUVWULQJ
&DQG8QLFRGH
$6&,,LVRQO\IRU(QJOLVKWDNLQJVHYHQELWVWRUHSUHVHQWHDFKFKDUDFWHU7KHRWKHU
(XURSHDQODQJXDJHVXVHH[WHQGHG$6&,,WKDWWDNHVELWVWRUHSUHVHQWWKHFKDUDFWHUVWKDW
WRR ZLWK ORW RI SUREOHPV 7KH ODQJXDJHV VXFK DV -DSDQHVH &KLQHVH HWF XVHG D FRGLQJ
VFKHPH FDOOHG DV 'RXEOH %\WH &RGLQJ 6FKHPH '%&6 %HFDXVH WKH FKDUDFWHU VHW IRU
VXFK ODQJXDJHV DUH TXLWH ODUJH FRPSOH[ DQG ELWV DUH QRW VXIILFLHQW WR UHSUHVHQW VXFK
FKDUDFWHUVHWV)RUPXOWLOLQJXDOFRPSXWLQJORWRIFRGLQJVFKHPHVSUROLIHUDWHGWKDWOHDGWR
ORWV RI LQFRQVLVWHQFLHV 7R KDYH D XQLYHUVDO FRGLQJ VFKHPH IRU DOO WKH ZRUOG ODQJXDJHV
FKDUDFWHU VHWV 8QLFRGH ZDV LQWURGXFHG 8QLFRGH WDNHV ELWV WR XQLTXHO\ UHSUHVHQW
HDFKFKDUDFWHU
$16,&LQKHUHQWO\VXSSRUWV8QLFRGHLQWKHIRUPRIZLGHFKDUDFWHUV(YHQWKRXJK
ZLGHFKDUDFWHUV DUH QRW PHDQW IRU 8QLFRGH WKH\ PDWFK ZLWK WKH UHSUHVHQWDWLRQ RI
8QLFRGH
:H DOUHDG\ VDZ DERXW PXOWLE\WH FKDUDFWHUV WKDW DUH FRPSRVHG RI VHTXHQFH RI
VLQJOHE\WHV7KHSUHFHGLQJE\WHVFDQPRGLI\WKHPHDQLQJRIVXFFHVVLYHE\WHVDQGVRDUH
QRW XQLIRUP 7KH\ DUH VWULFWO\ FRPSLOHU GHSHQGHQW &RPSDUDWLYHO\ ZLGHFKDUDFWHUV DUH
XQLIRUP DQG DUH WKXV VXLWDEOH WR UHSUHVHQW 8QLFRGH FKDUDFWHUV $V , KDYH VDLG IDFLOLWLHV
DYDLODEOHIRUXVHRIZLGHFKDUDFWHUVIRU8QLFRGHQRWDGHTXDWHEXWLVWKDWLV WKH VROXWLRQ
RIIHUHGE\$16,&
([HFXWLRQ&KDUDFWHU6HW
7KHH[HFXWLRQFKDUDFWHUVHWLVQRWQHFHVVDULO\WKHVDPHDVWKHVRXUFHFKDUDFWHUVHW
XVHG IRU ZULWLQJ & SURJUDPV 7KH H[HFXWLRQ FKDUDFWHU VHW LQFOXGHV DOO FKDUDFWHUV LQ WKH
VRXUFH FKDUDFWHU VHW DV ZHOO DV WKH QXOO FKDUDFWHU QHZOLQH FKDUDFWHU EDFNVSDFH
KRUL]RQWDO WDE YHUWLFDO WDE FDUULDJH UHWXUQ DQG HVFDSH VHTXHQFHV 7KH VRXUFH DQG
H[HFXWLRQFKDUDFWHUVHWVPD\GLIIHUDQGLQLPSOHPHQWDWLRQV
7ULJUDSKV
Not all characters used in the C source code, like the character '{', are available in
all other character sets. The important character set that does not have these characters to
represent is ISO invariant character set. Some keyboards may also be missing some
characters to type in C source code. To solve these problems the idea of trigraph
sequences were introduced in ANSI C as alternate spellings of some characters.

&KDUDFWHUVHTXHQFH &6RXUFH&KDUDFWHU
""
"" >
"" ?
"" @
""¶ A
"" ^
"" _
""! `
"" a
7ULJUDSK6HTXHQFHV
,QWHJHU7\SH
,QWHJHULVWKHPRVWQDWXUDOUHSUHVHQWDWLRQRIQXPEHUVLQDFRPSXWHU7KHUHIRUHLW
LVWKHPRVWHIILFLHQWGDWDW\SHLQWHUPVRIVSHHG7KHVL]HRIDQLQWHJHULVXVXDOO\WKHZRUG
VL]HRIWKHSURFHVVRUDOWKRXJKWKHFRPSLOHULVIUHHWRFKRRVHWKHVL]H+RZHYHU$16,&
GRHVQRWSHUPLWDQLQWHJHUZKLFKLVOHVVWKDQELWV
,QWHJHUFRQVWDQW
,QWHJHUFRQVWDQWVFDQEHGHQRWHGLQWKUHHQRWDWLRQVGHFLPDORFWDORUKH[DGHFLPDO
2FWDO FRQVWDQWV $16, & EHJLQ ZLWK DQG VKRXOG QRW FRQWDLQ WKH GLJLWV RU
+H[DGHFLPDOFRQVWDQWEHJLQVZLWK[RU;IROORZHGE\WKHFRPELQDWLRQRIWR$WR
) LQ HLWKHU FDVH 7KH FRQVWDQW ZKLFK VWDUWV ZLWK D QRQ]HUR QXPEHU LV D GHFLPDO
FRQVWDQW ,I WKH FRQVWDQW LV EH\RQG WKH UDQJH RI WKH LQWHJHU WKHQ LW LV DXWRPDWLFDOO\
SURPRWHGWRWKHQH[WDYDLODEOHVL]HVD\XQVLJQHGRUORQJ
LQWL
LQWM
EHZDUHRFWDOQXPEHU
,WLVQRWRQO\WKHEHJLQQHUVZKRHDVLO\IRUJHWWKDWDQGDUHGLIIHUHQWDQGWKDW
WKHSUHFHGLQJKDVVSHFLDOPHDQLQJ2FWDOFRQVWDQWVVWDUWZLWKLVFHUWDLQO\QRQLQWXLWLYH
DQGKLVWRU\VKRZVWKDWLWKDVOHDGWRPDQ\EXJVLQSURJUDPV
([HUFLVH
+DYH \RX HYHU WKRXJKW RI LI DQ RFWDO FRQVWDQW RU GHFLPDO FRQVWDQW 'RHV WKH
LQIRUPDWLRQLILVGHFLPDORUQRWPDNHDQ\GLIIHUHQFHLQLWVLQWHUSUHWDWLRQXVDJH"
(QXPHUDWLRQ7\SH
(QXPHUDWLRQLVDVHWRIQDPHGFRQVWDQWV7KHVHFRQVWDQWVDUHFDOOHGHQXPHUDWRUV
(QXPHUDWLRQW\SHVDUHLQWHUQDOO\UHSUHVHQWHGDVLQWHJHUV7KHUHIRUHWKH\FDQWDNHSDUWLQ
H[SUHVVLRQVDVLILWZHUHRILQWHJUDOW\SH,IWKHYDULDEOHVRIHQXPHUDWLRQW\SHDUHDVVLJQHG
ZLWKDYDOXHRWKHUWKDQWKDWRILWVGRPDLQWKHFRPSLOHUPD\FKHFNLWDQGLVVXHDZDUQLQJ
RUHUURU
7KHXVHRIHQXPVLVVXSHULRUWRWKHXVHRILQWHJHUFRQVWDQWVRUGHILQHVEHFDXVHWKH
XVHRIHQXPVPDNHVWKHFRGHPRUHUHDGDEOHDQGVHOIGRFXPHQWLQJ
([HUFLVH
,VLWSRVVLEOHWRKDYHWKHVDPHVL]HIRUVKRUWLQWORQJLQVRPHPDFKLQH"
)ORDWLQJ3RLQW7\SH
7KHVH W\SHV FDQ UHSUHVHQW WKH QXPEHUV ZLWK GHFLPDO SRLQWV )ORDWV DUH RI VLQJOH
SUHFLVLRQ DQG DV WKH QDPH LQGLFDWHV GRXEOHV DUH RI GRXEOH SUHFLVLRQ 7KH XVXDO VL]H RI
GRXEOHW\SHLVELWV
$OOWKHIORDWLQJSRLQWW\SHVDUHLPSOLFLWO\VLJQHGE\GHILQLWLRQVRµXQVLJQHGIORDW¶
LVPHDQLQJOHVV 'HSHQGLQJRQWKH UHTXLUHGGHJUHHRI HIILFLHQF\DQG DYDLODEOHPHPRU\
ZHFDQFKRRVHEHWZHHQIORDWDQGGRXEOH
$16, & GRHV QRW VSHFLI\ DQ\ UHSUHVHQWDWLRQ VWDQGDUG IRU WKHVH W\SHV 6WLOO LW
SURYLGHV D PRGHO ZKRVH FKDUDFWHULVWLFV DUH JXDUDQWHHG WR EH SUHVHQW LQ DQ\
LPSOHPHQWDWLRQ 7KH VWDQGDUG KHDGHU ILOH IORDWK! GHILQHV PDFURV WKDW SURYLGH
LQIRUPDWLRQDERXWWKHLPSOHPHQWDWLRQRIIORDWLQJSRLQWDULWKPHWLF
$OO IORDWLQJSRLQW RSHUDWLRQV DUH GRQH LQ GRXEOH SUHFLVLRQ WR UHGXFH WKH ORVV LQ
SUHFLVLRQGXULQJWKHHYDOXDWLRQRI H[SUHVVLRQV >.HUQLJKDQ DQG 5LWFKLH @ +RZHYHU
$16,&VXJJHVWVWKDWLWFDQEHGRQHLQVLQJOHSUHFLVLRQLWVHOIDVWKHW\SHFRQYHUVLRQPD\
EHFRVWO\LQWHUPVRISURFHVVRUWLPH
$OLWWOHELWRIKLVWRU\
6LQFH & ZDV RULJLQDOO\ GHVLJQHG IRU ZULWLQJ 81,; V\VWHP SURJUDPPLQJ WKH
QDWXUHRILWVDSSOLFDWLRQUHGXFHGWKHQHFHVVLW\IRUIORDWLQJSRLQWRSHUDWLRQV0RUHRYHULQ
WKH KDUGZDUH RI WKH RULJLQDO DQG LQLWLDO LPSOHPHQWDWLRQV RI & 3'3 IORDWLQJ SRLQW
DULWKPHWLFZDVGRQHLQGRXEOHSUHFLVLRQRQO\)RUZULWLQJOLEUDU\IXQFWLRQVVHHPHGWREH
HDV\ LI RQO\ RQH W\SH ZDV KDQGOHG )RU WKHVH UHDVRQV WKH OLEUDU\ IXQFWLRQV LQYROYLQJ
PDWKHPDWLFVPDWKK!ZDVGRQHIRUGRXEOHW\SHVDQGDOOWKHIORDWLQJSRLQWFDOFXODWLRQV
ZHUHSURPRWHGDQGZDVGRQHLQGRXEOHSUHFLVLRQRQO\
7RVRPHH[WHQWLWLPSURYHGHIILFLHQF\DQGPDGHWKHFRGHVLPSOH+RZHYHUWKLV
VXIIHUHGPDQ\GLVDGYDQWDJHV,QODWHULPSOHPHQWDWLRQVPRVWRIWKHLPSOHPHQWDWLRQVKDG
PRVW HIILFLHQW FDOFXODWLRQV LQ VLQJOH SUHFLVLRQ RQO\ /DWHU WKH & EHFDPH SRSXODU LQ
HQJLQHHULQJDSSOLFDWLRQVZKLFKSODFHGJUHDWLPSRUWDQFHRQIORDWLQJSRLQWRSHUDWLRQV)RU
WKHVHUHDVRQVWKH$16,PDGHDFKDQJHWKDWIRUIORDWLQJSRLQWRSHUDWLRQVLPSOHPHQWDWLRQV
PD\FKRRVHWRGRLWLQVLQJOHSUHFLVLRQLWVHOI
3DLQV VKRXOG EH WDNHQ LQ XQGHUVWDQGLQJ WKH IORDWLQJSRLQW LPSOHPHQWDWLRQ
$OWKRXJK WKH DFWXDO UHSUHVHQWDWLRQ PD\ YDU\ ZLWK LPSOHPHQWDWLRQV WKH PRVW FRPPRQ
UHSUHVHQWDWLRQLVWKH,(((VWDQGDUG
,(((6WDQGDUG
7KHIORDWLQJSRLQWDULWKPHWLFZDVRQHRIWKHZHDNSRLQWVLQ. 5&$VLQGLFDWHG
SUHYLRXVO\ RQH RI WKH FKDQJHV VXJJHVWHG E\ WKH $16, FRPPLWWHH LV WKH UHFRPPHQGHG
XVHRI,(((IORDWLQJSRLQWVWDQGDUG
6LQJOH3UHFLVLRQ6WDQGDUG
7KLVVWDQGDUGXVHVELWVE\WHIRUUHSUHVHQWLQJWKHIORDWLQJSRLQW7KHIRUPDW
LVH[SODLQHGEHORZ
x 7KHILUVWELWUHVHUYHGIRUVLJQELW
x 7KHQH[WELWVDUHXVHGWRVWRUHWKHH[SRQHQWHLQWKHXQVLJQHGIRUP
x 7KHUHPDLQLQJELWVDUHXVHGWRVWRUHPDQWLVVDP
6 ([SRQHQW 0DQWLVVD

'RXEOH3UHFLVLRQ6WDQGDUG
6 ([SRQHQW 0DQWLVVD

)RUPDWRI/RQJ'RXEOH
)RUORQJGRXEOHWKH ,(((H[WHQGHGGRXEOHSUHFLVLRQVWDQGDUGRIELWVPD\EH
XVHG
6 ([SRQHQW 0DQWLVVD

/LPLWVLQIORDWK!
7KHUHDUHIRXUOLPLWVLQVSHFLI\LQJWKHIORDWLQJSRLQWVWDQGDUG7KH\DUHPLQLPXP
DQGPD[LPXPYDOXHVWKDWFDQEHUHSUHVHQWHGWKHQXPEHURIGHFLPDOGLJLWVRISUHFLVLRQ
DQG WKH GHOWDHSVLORQ YDOXH ZKLFK VSHFLILHV WKH PLQLPDO SRVVLEOH FKDQJH RI YDOXH WKDW
DIIHFWVWKHW\SH)/7B0,1)/7B0$;)/7B',*DQG)/7B(36,/21UHVSHFWLYHO\
&DUH VKRXOG EH WDNHQ LQ XVLQJ WKH IORDWLQJ SRLQWV LQ HTXDOLW\ H[SUHVVLRQV VLQFH
IORDWLQJ YDOXHV FDQQRW H[DFWO\ EH UHSUHVHQWHG +RZHYHU WKH PXOWLSOHV RI
V FDQ EH
UHSUHVHQWHGDFFXUDWHO\ZLWKRXWORVVRIDQ\LQIRUPDWLRQLQDIORDWGRXEOHLH
FDQEHUHSUHVHQWHGDFFXUDWHO\
IORDWI
GRXEOHG
LII G
SULQWI³WKLVZLOOFHUWDLQO\EHSULQWHG´
,WLVXVXDOWRFKHFNIORDWLQJSRLQWFRPSDULVRQVOLNHWKLV
LIIS IS
GRVRPHWKLQJ
$V ZH KDYH VHHQ WKLV PD\ QRW ZRUN ZHOO VLQFH WKH YDOXHV FDQQRW EH H[DFWO\
UHSUHVHQWHG&DQ\RXWKLQNRIDQ\RWKHUZD\WRFKHFNWKHHTXDOLW\RIWZRIORDWLQJSRLQWV
WKDWLVEHWWHUWKDQWKLVRQH"
LIIDEVISIS )/7B(36,/21
GRVRPHWKLQJ
:KHUH)/7B(36,/21LVGHILQHGLQIORDWK!DQGVWDQGVIRUWKHVPDOOHVWSRVVLEOH
FKDQJH WKDW FDQ EH UHSUHVHQWHG LQ WKH IORDWLQJ SRLQW QXPEHU <RX FKHFN IRU WKH VPDOO
FKDQJHEHWZHHQWKHWZRQXPEHUVDQGLIWKHFKDQJH LV YHU\ VPDOO \RX FDQ LJQRUH LW DQG
FRQVLGHUWKDWERWKDUHHTXDO,IWKLVVWLOOGRHVQRWZRUNWU\FDVWLQJWRGRXEOHWRFKHFNWKH
HTXDOLW\2IFRXUVHWKLVZLOOQRWZRUNLI\RXZDQWWRWKHYDOXHVH[DFWO\
:KDW KDSSHQV LI D IORDWLQJ SRLQW FRQVWDQW WKDW LV YHU\ ELJ WR EH VWRUHG LQ D
IORDWLQJSRLQWYDULDEOHOLNHZKHQHLVDVVLJQHGWRDIORDWYDULDEOH"
7KHQXPEHULVDKXJHQXPEHUWKDWDIORDWYDULDEOHFDQQRWFRQWDLQ6RDQRYHUIORZ
RFFXUV DQG WKH EHKDYLRU LV QRW GHILQHG LQ $16, & VLQFH LW LV DQ XQGHILQHG EHKDYLRU LW
PD\SURGXFHDQH[FHSWLRQRUUXQWLPHHUURURUHYHQPD\FRQWLQXHH[HFXWLRQVLOHQWO\
([HUFLVH
,VLWSRVVLEOHWRKDYHWKHVDPHVL]HIRUIORDWGRXEOHDQGORQJGRXEOHW\SHVLQVRPH
PDFKLQH"
)ORDWLQJFRQVWDQW
)ORDWLQJ SRLQW FRQVWDQWV FDQ HLWKHU E\ UHSUHVHQWHG ZLWK RUGLQDU\ QRWDWLRQ RU
VFLHQWLILF QRWDWLRQ ,Q RUGLQDU\ QRWDWLRQ ZH ZLOO LQFOXGH D GHFLPDO SRLQW EHWZHHQ WKH
QXPEHUV 7KH VFLHQWLILF QRWDWLRQ ZLOO EH LQ WKH IRUP PDQWLVVD _(H_ H[SRQHQW 7KH
PDQWLVVDFDQRSWLRQDOO\ FRQWDLQDGHFLPDO SRLQW DOVR $ IORDWLQJSRLQW FRQVWDQW LV QHYHU
H[SUHVVHGLQRFWDORUKH[DGHFLPDOQRWDWLRQ
3RLQWHU7\SH
$SRLQWHULVFDSDEOHRIKROGLQJWKHDGGUHVVRIDQ\PHPRU\ORFDWLRQ3RLQWHUVIDOO
LQWRWZRPDLQFDWHJRULHV
¾ SRLQWHUVWRIXQFWLRQVDQG
¾ SRLQWHUVWRREMHFWV
$ IXQFWLRQ SRLQWHU LV GLIIHUHQW IURP GDWD SRLQWHUV 'DWD SRLQWHUV MXVW VWRUH SODLQ
DGGUHVV ZKHUH WKH YDULDEOH LV ORFDWHG 2Q WKH RWKHU KDQG WKH IXQFWLRQ SRLQWHUV KDYH
VHYHUDOFRPSRQHQWVVXFKDVUHWXUQW\SHRIWKHIXQFWLRQDQGWKHVLJQDWXUHRIWKHIXQFWLRQ
3RLQWHUVDUHGLVFXVVHGLQWKHFKDSWHUGHGLFDWHGIRULW
3RLQWHUFRQVWDQWV
&RQVWDQWV ZKLFK VWRUH SRLQWHUV DGGUHVV RI GDWD VKRXOG EH FDOOHG DV SRLQWHU
FRQVWDQWV3RLQWHUFRQVWDQWVDUHQRWVXSSRUWHGLQ&EHFDXVHJLYLQJWKHXVHUWKHDELOLW\WR
PDQLSXODWH DGGUHVVHV PDNHV QR VHQVH +RZHYHU WKHUH LV RQH VXFK DGGUHVV WKDW FDQ EH
JLYHQ DFFHVVWR IUHHO\ 7KDW LV 18// SRLQWHU FRQVWDQW 7KLV LV WKH RQO\ H[SOLFLW SRLQWHU
FRQVWDQWLQ&
,Q '26 DQG :LQGRZV EDVHG V\VWHPV WKH PHPRU\ ORFDWLRQ [ KROGV WKH
LQIRUPDWLRQ DERXW WKH VWDWXV RI WKH NH\ERDUG NH\V OLNH &$36 ORFN 180 ORFN HWF 7KH
VL[WKELWSRVLWLRQKROGVWKHVWDWXVRIWKH180ORFN,IWKDWELWLVRQLWPHDQVWKDWWKH
180ORFNLVRQLQWKHNH\ERDUGDQGPHDQVLWLVRII7KHSURJUDPFRGHQRQSRUWDEOH
'26EDVHGFRGHWRFKHFNWKHVWDWXVORRNVDVIROORZV
FKDUIDU NEGSWU FKDUIDU [
LI NEGSWU
SULQWI180ORFNLV21
HOVH
SULQWI180ORFNLV2))
+HUH WKH UHTXLUHPHQW RI SRLQWHU FRQVWDQW LV WKHUH DQG WKDW UROH LV WDNHQ E\ WKH LQWHJHU
FRQVWDQWDQGWKHFDVWLQJVLPXODWHVDSRLQWHUFRQVWDQWWRVWRUHWKHDGGUHVV[LQµNESWU¶
$JJUHJDWH7\SH
7KH DJJUHJDWH W\SHV DUH FRPSRVLWH LQ QDWXUH 7KH\ FRQWDLQ RWKHU DJJUHJDWH RU
VFDODUW\SHV+HUHORJLFDOO\UHODWHGW\SHVDUHRUJDQL]HGDWSK\VLFDOO\DGMDFHQWORFDWLRQV,W
FRQVLVWVRIDUUD\VWUXFWXUHDQGXQLRQW\SHVWKHVHZLOOEHGLVFXVVHGLQGHWDLOODWHU
9RLG7\SH
9RLG VSHFLILHV QRQH[LVWHQWHPSW\ VHW RI YDOXHV 6LQFH LW VSHFLILHV QRQH[LVWHQW
YDOXHRQHFDQQRWFUHDWHDYDULDEOHRIW\SHYRLG
)XQFWLRQ7\SH
7KHIXQFWLRQW\SHVUHWXUQVSHFLILFGDWDW\SHV
:K\VKRXOGIXQFWLRQVEHFRQVLGHUHGDV DVHSDUDWHYDULDEOH W\SH" 7KH IROORZLQJ
IDFWVPDNHLWUHDVRQDEOH
¾ 7KHRSHUDWRUV FDQEHDSSOLHGWRIXQFWLRQVDVLIWKH\DUHYDULDEOHV
¾ 3RLQWHUVWRIXQFWLRQVLVDYDLODEOH
¾ 7KH\FDQSDUWLFLSDWHLQH[SUHVVLRQVDVLIWKH\DUHYDULDEOHV
¾ )XQFWLRQGHILQLWLRQVUHVHUYHVSDFH
¾ 7KHW\SHRIWKHIXQFWLRQLVLWVUHWXUQW\SH
)RUWKHFORVHUHODWLRQVKLSEHWZHHQWKHYDULDEOHVDQGIXQFWLRQVIXQFWLRQVDUHDOVR
FRQVLGHUHGDVDYDULDEOHW\SH
'HULYHG7\SHV
$UUD\VDQGSRLQWHUVDUHVRPHWLPHVUHIHUUHGWRDVGHULYHGGDWDW\SHVEHFDXVHWKH\
DUHQRWGDWDW\SHVRIWKHLURZQEXWDUHRIVRPHEDVHGDWDW\SHV
,QFRPSOHWH7\SHV
,I VRPH LQIRUPDWLRQ DERXW WKH W\SH LV PLVVLQJ WKDW ZLOO SRVVLEO\ JLYHQ ODWHU LV
UHIHUUHGWRDVLQFRPSOHWHW\SH
VWUXFWD
LQFRPSOHWHW\SH
LQWL VL]HRID
HUURUDVVL]HRILVDSSOLHGWRDLQFRPSOHWHW\SH
+HUH WKH VWUXFWXUH µD¶ LV GHFODUHG DQG QRW \HW GHILQHG 7KHUHIRUH µD¶ LV DQ LQFRPSOHWH
W\SH7KHGHILQLWLRQPD\DSSHDULQWKHODWHUSDUWRIWKHFRGHOLNHWKLV
VWUXFWD^LQWL`
ILOOLQJWKHLQIRUPDWLRQRIWKHLQFRPSOHWHW\SH
LQWL VL]HRID
RNQRZQHFHVVDU\LQIRUPDWLRQUHTXLUHGIRUVWUXFWDLVNQRZQ
&RQVLGHU
W\SHGHIVWUXFWVWDFNVWDFN7\SH
+HUHWKHVWUXFWVWDFNFDQEHRILQFRPSOHWHW\SH
VWDFN7\SHIXQ
VWUXFWVWDFNIXQ
DUHIXQFWLRQGHFODUDWLRQVWKDWPDNHXVHRIWKLVIHDWXUHWKDWWKHVWUXFWVWDFNDQGVWDFN7\SH
DUH XVHG EHIRUH LWV GHILQLWLRQ 7KLV VHUYHV DV DQ H[DPSOH RI WKH XVH RI IRUZDUG
GHFODUDWLRQV
$QRWKHUH[DPSOHIRUVXFKLQFRPSOHWHW\SHLVLQFDVHRIDUUD\V
W\SHGHILQW7<3(>@
7<3(W ^`
SULQWIGVL]HRIW
DFFHSWDEOHQHFHVVDU\LQIRUPDWLRQDERXWLWLVNQRZQ
SULQWIGVL]HRI7<3(
HUURU6L]HRI7<3(LVXQNQRZQ
,QWKHVHWZRH[DPSOHVLWLVHYLGHQWWKDWVRPHLQIRUPDWLRQLVPLVVLQJWRWKHFRPSLOHUDQG
VR LW LVVXHV VRPH HUURU /HWV QRZ PRYH WR WKH FDVH RI SRLQWHUV DQ H[DPSOH IRU ORJLFDO
LQFRPSOHWHW\SHZKHUHLWLVQRWHYLGHQWWKDWVRPHLQIRUPDWLRQLVQRWDYDLODEOH
LQW L [
LSRLQWVWRWKHDGGUHVV
L
VHWWKHYDOXHRIPHPRU\ORFDWLRQSRLQWHGE\L
7KH VHFRQG VWDWHPHQW LV SUREOHPDWLF EHFDXVH LW SRLQWV WR VRPH ORFDWLRQ ZKRVH
YDOXHPD\QRWEHDYDLODEOHIRUPRGLILFDWLRQ7KLVLVDQH[DPSOHIRU
,QFRPSOHWHW\SH
LQ
FDVHRISRLQWHUVLQZKLFKWKHUHLVQRQDYDLODELOLW\RIWKHLPSOHPHQWDWLRQRIWKHUHIHUHQFHG
ORFDWLRQ8VLQJVXFKLQFRPSOHWHW\SHVOHDGVWRXQGHILQHGEHKDYLRU
3RLQWWR3RQGHU
7KHYRLGW\SHLVDQLQFRPSOHWHW\SHWKDWFDQQRWEHFRPSOHWHG
7\SH6SHFLILHUV
7\SH VSHFLILHUV DUH XVHG WR PRGLI\ WKH GDWD W\SH¶V PHDQLQJ 7KH\ DUH XQVLJQHG
VLJQHGVKRUWDQGORQJ
8QVLJQHGDQG6LJQHG
:KHQHYHUZHZDQWQRQQHJDWLYHFRQVWUDLQWWREHDSSOLHGIRUDQLQWHJUDOW\SHZH
FDQ XVH WKH XQVLJQHG W\SH VSHFLILHU 7KH LGHD RI KDYLQJ XQVLJQHG DQG VLJQHG W\SHV
VHSDUDWHO\VWDUWHGZLWKWKHUHTXLUHPHQWRIKDYLQJDODUJHUUDQJHRISRVLWLYHYDOXHVZLWKLQ
WKHVDPHDYDLODEOHVSDFH
8QVLJQHG W\SHV VRPHWLPHV EHFRPH HVVHQWLDO LQ FDVHV ZKHUH ORZOHYHO DFFHVV LV
UHTXLUHGOLNHHQFU\SWLRQGDWDIURPQHWZRUNVHWF
7KHVLJQHGRQRWKHUKDQGRSHUDWHVLQDQRWKHUZD\PDNLQJWKH06%WREHDVLJQ
ELW LW DOORZV WKH VWRUDJH RI WKH QHJDWLYH QXPEHU ,W DOVR UHVXOWV LQ D VLGH HIIHFW E\
UHGXFLQJWKHUDQJHRISRVLWLYHYDOXHV,IZHGRQRWH[SOLFLWO\PHQWLRQZKHWKHUDQLQWHJUDO
W\SHLVVLJQHGRUQRWVLJQHGLVWDNHQDVGHIDXOWH[FHSWFKDUZKLFKLVGHWHUPLQHGE\WKH
LPSOHPHQWDWLRQ
7KH ZD\ VLJQHG DQG XQVLJQHG GDWD W\SHV DUH LPSOHPHQWHG LV VDPH 7KH RQO\
GLIIHUHQFHLVWKDWWKHLQWHUSUHWDWLRQRIWKH06%YDULHV
7KH IROORZLQJ H[DPSOH ILQGV RXW LI WKH GHIDXOW W\SH RI FKDUDFWHU W\SH LQ \RXU
V\VWHP LV VLJQHG RU XQVLJQHG ,Q DGGLWLRQ WKH SURSHUW\ RI DULWKPHWLF DQG ORJLFDO ILOO E\
XVLQJULJKWVKLIWRSHUDWRULVGHPRQVWUDWHG
FKDUFK
XQVLJQHGFKDUFK
FK!!
FK!!
SULQWI'HIDXOW FKDU W\SH LQ \RXU V\VWHP LV V³
FK FK"³XQVLJQHG³VLJQHG
,I \RXDUHYHU\VHULRXVDERXWWKH SRUWDELOLW\ RI WKH FKDUDFWHUV XVH FKDUDFWHUV IRU
WKHUDQJHZKLFKLVFRPPRQIRUERWKWKHXQVLJQHGDQGVLJQHGLHWKHYDOXHVWR,I
WKHUDQJHH[FHHGVWKDWOLPLWXVHLQWHJHUVLQVWHDG
8QVLJQHGW\SHVREH\WKHODZVRIDULWKPHWLFPRGXORFRQJUXHQFHQZKHUHQLV
WKHQXPEHURIELWVLQWKHUHSUHVHQWDWLRQ6RXQVLJQHGLQWHJUDOW\SHVFDQQHYHURYHUIORZ
+RZHYHU LW LV QRW LQ WKH FDVH RI IORDWLQJ SRLQW W\SHV 7KLV LV RQH RI WKH GHVLUDEOH
SURSHUWLHVRIXQVLJQHGW\SHV
([HUFLVH
3UHGLFWWKHRXWSXWRIWKHSURJUDP
PDLQ^
LQWL M L
L!!
L
LIL MSULQWI³8DUHVPDUW´
HOVHSULQWI³8DUHQRWVPDUWHQRXJK´
`
6KRUWDQG/RQJ
6KRUW ORQJ DQG LQW DUH SURYLGHG WR UHSUHVHQW YDULRXV VL]HV RI SRVVLEOH LQWHJUDO
W\SHV VXSSRUWHG E\ WKH KDUGZDUH 7KH $16, & WHOOV WKDW WKH VL]H RI WKHVH W\SHV DUH
LPSOHPHQWDWLRQGHILQHGEXWDVVXUHVWKDWWKHQRQGHFUHDVLQJRUGHURIFKDUVKRUWLQWORQJ
LVSUHVHUYHGQRQGHFUHDVLQJRUGHUPHDQVWKDWWKHVL]HVDUHFKDU VKRUW LQW ORQJ
DQGQRWWKHRWKHUZD\
7\SH4XDOLILHUV
,I ZH QHHG WR DGG VRPH VSHFLDO SURSHUWLHV WR WKH W\SHV ZH FDQ XVH WKH W\SH
TXDOLILHUV 7KH DYDLODEOH W\SH TXDOLILHUV DUH FRQVW DQG YRODWLOH $16, & DGGHG WKHVH
TXDOLILHUVWRWKHODQJXDJH7KHLGHDRIFRQVWREMHFWVLVIURP3DVFDO
&RQVW4XDOLILHU
:KHQHYHU ZH ZDQW VRPH YDOXH RI DQ REMHFW WR EH XQFKDQJHG WKURXJKRXW WKH
H[HFXWLRQRIWKHSURJUDPZHFDQXVHWKHFRQVWTXDOLILHU$QH[SUHVVLRQHYDOXDWLQJWRDQ
FRQVWREMHFWVKRXOGQRWEHXVHGDVOYDOXH7KHREMHFWVGHFODUHGDUHDOVRVRPHWLPHVFDOOHG
DVV\PEROLFFRQVWDQWV
&RQVWQHVVLVDFRPSLOHWLPHFRQFHSW,WMXVWHQVXUHVWKDWWKHREMHFWLVQRWPRGLILHG
DQG LV GRFXPHQWDWLRQ DERXW WKH LGHD WKDW LW LV D QRQPRGLILDEOH RQH ,W KHOSV FRPSLOHU
FDWFKVXFKDWWHPSWVWRPRGLI\WKHFRQVWYDULDEOHV
7KHGHIDXOWYDOXHIRUXQLQLWLDOL]HGFRQVWYDULDEOHLV$OVRLIGHFODUHGDVDJOREDO
RQHLWVGHIDXOWOLQNDJHLVH[WHUQ
H[WHUQLQWL
LPSOLFLWO\LQLWLDOL]HGWR
,ILQJOREDOVFRSHLWKDVH[WHUQOLQNDJH
8VLQJ V\PEROLF FRQVWDQWV VRPHWLPHV PD\ EH XVHIXO LQ FRPSLOH WLPH RSHUDWLRQ
VRPHWLPHV FDOOHG DV FRQVWDQW IROGLQJ 1RW WR EH FRQIXVHG ZLWK FRQVWDQWH[SUHVVLRQ
HYDOXDWLRQ
FRQVWIORDW3,
IRUL LL
DUHD 3, U
,QWKLVFRGHWKHFRPSLOHUPD\UHSODFH3,ZLWKZKLFKKHOSVFUHDWLQJHIILFLHQW
FRGHVWLOOVPDUWHUFRPSLOHUVPD\WUHDW DV D FRQVWDQW H[SUHVVLRQ DQG HYDOXDWH
WKHH[SUHVVLRQDWFRPSLOHWLPHLWVHOI
1RWH FRQVW LV QRW D FRPPDQG WR WKH FRPSLOHU UDWKHU LW LV D JXLGHOLQH WKDW WKH REMHFW
GHFODUHGDVFRQVWZRXOGQRWEHPRGLILHGE\WKHXVHU7KH FRPSLOHULVIUHHWRLPSRVHRU
QRWLPSRVHWKLVFRQVWUDLQWVWULFWO\
([HUFLVH
&DQZHFKDQJHWKHYDOXHRIWKHFRQVWLQWKHIROORZLQJPDQQHU",I\HVWKHQZKDWLV
WKHHIIHFWRIVXFKFKDQJLQJRIYDOXH"
FRQVW9DU YDU"
([HUFLVH
:KDWLVWKHGLIIHUHQFHEHWZHHQWKHFRQVWQHVVDVLQFRQVWLQWL DQGµ¶"
9RODWLOH4XDOLILHU
7KHFRPSLOHUXVXDOO\PDNHVRSWLPL]DWLRQRQWKHREMHFWV
ZKLOHLG
IODJ VHWIODJWRIDOVH
D>L@ L
+HUHWKHRSWLPL]DWLRQSDUWRIWKHFRPSLOHUPD\WKLQNWKDWWKHVHWWLQJRIIODJWRLV
UHSHDWHG WLPHV XQQHFHVVDULO\ 6R LW PD\ PRGLI\ WKH FRGH VXFK WKDW WKH HIIHFW LV DV
IROORZV
IODJ VHWIODJWRIDOVH
ZKLOHL
D>L@ L
ZKHUH ERWK WKH ORRSV DUH HTXLYDOHQW +RZHYHU WKH VHFRQG LV RSWLPL]HG YHUVLRQ DQG
H[HFXWHVIDVWHU:KLOHPDNLQJRSWLPL]DWLRQ LW DVVXPHV WKDW WKH YDOXH RI WKH REMHFW ZLOO
QRWFKDQJHZLWKRXWWKHNQRZOHGJHRIWKHFRPSLOHU%XWLQVRPHFDVHVWKHREMHFWPD\EH
PRGLILHGZLWKRXWWKHNQRZOHGJHFRQWUROGHWHFWLRQRIWKHFRPSLOHUUHDGDERXWW\SHVRI
YDULDEOHVLQWKHEHJLQQLQJRIWKHFKDSWHUµZLWKRXWNQRZOHGJHRIWKHFRPSLOHU¶PHDQVLWLV
DQ DV\QFKURQRXV REMHFW ,Q WKRVH FDVHV WKH UHTXLUHG REMHFWLYH PD\ QRW EH UHDFKHG LI
RSWLPL]DWLRQLVGRQHRQWKRVHREMHFWV,IZHZDQWWRSUHYHQWDQ\RSWLPL]DWLRQVRQWKRVH
REMHFWVWKHQZHFDQXVHYRODWLOHTXDOLILHU
7KHREMHFWLYHLVWRGHOD\WKHSURJUDPIRUDFRQVLGHUDEOHDPRXQWRIWLPHDQGSULQW
WKHILQDOWLPHODWHU7KHFRGHXVHVDORFDWLRQ[ZKHUHWKHFXUUHQWWLPHLVXSGDWHGDQG
VWRUHGLQWKLVORFDWLRQLQWKHV\VWHP
FRQVWLQW6,*1,),&$17
LQW WLPHU [
DV\QFKURQRXVYDULDEOH
DVVXPHWKDWDWORFDWLRQ[WKHFXUUHQWWLPHLVDYDLODEOH
LQWVWDUW7LPH WLPHUFXUU7LPH WLPHU
LQLWLDOL]HERWKYDULDEOHVZLWKFXUUHQWWLPH
ZKLOHFXUU7LPH±VWDUW7LPH6,*1,),&$17
ÔRRSXQWLOWKHGLIIHUHQFHLV6,*1,),&$17
FXUU7LPH WLPHU XSGDWHFXUU7LPH
SULQWI³G´FXUU7LPH
7KHFRPSLOHUWKLQNVWKDWWKHDVVLJQPHQW
FXUU7LPH WLPHU
LVH[HFXWHGDJDLQDQGDJDLQZLWKRXWDQ\QHFHVVLW\DQGSXWVLWRSWLPL]HVWKHFRGH
RXWRIWKHORRSDQGWKHFRGHORRNVDVIROORZV
FRQVWLQW6,*1,),&$17
LQW WLPHU [
LQWVWDUW7LPH WLPHUFXUU7LPH WLPHU
LIFXUU7LPH±VWDUW7LPH6,*1,),&$17
FXUU7LPH WLPHU
RSWLPL]HVDQGH[HFXWHVWKHVWDWHPHQWRQO\RQFH
ZKLOHFXUU7LPH±VWDUW7LPH6,*1,),&$17
LWJRHVWRLQILQLWHORRSQRZ
SULQWI³G´FXUU7LPH
,Q DGGLWLRQ DV \RX FDQ VHH WKH SUREOHP LV WKDW WKH RSWLPL]DWLRQ LV PDGH RQ WKH
DV\QFKURQRXV YDULDEOH OHDGLQJ WR SUREOHP 4XDOLI\LQJ WKH YDULDEOH DV YRODWLOH PDNHV
DYRLGVXFKXQGHVLUDEOHRSWLPL]DWLRQV
YRODWLOHFXUU7LPH WLPHU
ZLOOSUHYHQWRSWLPL]DWLRQGRQHRQFXUU7LPH
%HIRUH VHHLQJ DQRWKHU H[DPSOH OHWV VHH ZKDW LW PHDQV WR KDYH ERWK FRQVW DQG YRODWLOH
TXDOLILHUVIRUDVDPHYDULDEOH6D\
FRQVWYRODWLOHLQWL
+HUHLLVGHFODUHGDVWKHYDULDEOHWKDWWKHSURJUDPPHUVKRXOGQRWPRGLI\EXWLWFDQEH
PRGLILHGE\VRPHH[WHUQDOUHVRXUFHVDQGVRQRRSWLPL]DWLRQVVKRXOGEHGRQHRQLW
/HW XV VHH DQRWKHU H[DPSOH &RQVLGHU WKDW \RXU REMHFWLYH LV WR DFFHVV WKH GDWD
IURPDVHULDOSRUW,WVSRUWDGGUHVVLVVWRUHGLQDYDULDEOHDQGXVLQJWKDW\RXKDYHWRUHDG
WKHLQFRPLQJGDWD
LQW FRQVWSRUW$GGUHVV [
DVVXPHWKDWWKLVLVWKHSRUWDGGUHVV
DQG\RXVKDOOQRWPRGLI\WKHSRUWDGGUHVV
ZKLOH SRUW$GGUHVV VRPHWHUPLQDWLQJFRQGLWLRQ
SRUW$GGUHVV EHIRUHUHDGLQJLWVHWLWWR

DQGWKLVVKRXOGQ¶WEHRSWLPL]HG
SRUW$GGUHVV UHDG3RUW UHDGIURPSRUW
KDGRSWLPL]DWLRQEHGRQHRQWKHFRGHWKHFRGHZLOOORRNOLNHWKLV
LQW FRQVWSRUW$GGUHVV [
DVVXPHWKDWWKLVLVWKHSRUWDGGUHVV
DQG\RXVKDOOQRWPRGLI\WKHSRUWDGGUHVV
ZKLOH SRUW$GGUHVV VRPHWHUPLQDWLQJFRQGLWLRQ
SRUW$GGUHVV UHDG3RUW UHDGIURPSRUW
WKHFRPSLOHUPD\WKLQNWKDWWKHDVVLJQPHQW
SRUW$GGUHVV
LV D GHDG FRGH EHFDXVH LW KDV QR HIIHFW RQ WKH FRGH VLQFH SRUW$GGUHVV
UHDG3RUWLVGRQHLPPHGLDWHO\OLNHLIFRGHLVDYDLODEOHOLNHD D WKHQWKHILUVW
VWDWHPHQWEHFRPHVPHDQLQJOHVV
7KHUHIRUH WKH RSWLPL]HG FRGH ZLOO QRW ZRUN DV H[SHFWHG ,Q WKHVH FDVHV XVH
YRODWLOHWRVSHFLI\WKDWQRRSWLPL]DWLRQVWREHGRQHRQWKDWREMHFW
6RWRDFKLHYHWKLVFKDQJHWKHGHFODUDWLRQWR
YRODWLOHLQW FRQVWSRUW$GGUHVV [
PHDQLQJ WKDW WKH DGGUHVV VWRUHG LQ WKH SRUW$GGUHVV FDQQRW EH FKDQJHG DQG WKH YDOXH
SRLQWHGE\WKHSRUW$GGUHVVVKRXOGQRWEHRSWLPL]HG
9RODWLOHPD\EHDSSOLHGWRDQ\W\SHRIREMHFWVOLNHDUUD\VDQGVWUXFWXUHV,IWKLV
LVGRQHWKHQWKHREMHFWDQGDOOLWVFRQVWLWXHQWVZLOOEHOHIWXQRSWLPL]HG
2WKHUH[DPSOHVIRUVXFKFDVHVZKHUHYRODWLOHVKRXOGEHXVHGDUH
¾ WKHPHPRU\ORFDWLRQZKRVHYDOXHLVXVHGWRJHWWKHFXUUHQWWLPHDFFHVVLQJWKH
VFDQFRGHIRUPDNH\ERDUGEXIIHUXVLQJLWVDGGUHVV DQGLQJHQHUDOPHPRU\
PDSSHGGHYLFHV
¾ ZULWLQJFRGHIRULQWHUUXSWKDQGOLQJ7KHUHPD\EHVRPHYDULDEOHVWKDWLVDFFHVVLEOHERWK
E\WKHLQWHUUXSWVHUYLFLQJURXWLQH,65DQGWKHUHJXODUFRGH,QVXFKFDVHVWKH
RSWLPL]DWLRQVGRQHE\WKHFRPSLOHUPD\OHDGWRHUURQHRXVUHVXOWV
¾ ZULWLQJ FRGH ZKHUH PXOWLWKUHDGLQJ LV GRQH )RU H[DPSOH VD\ WZR WKUHDGV
DFFHVV D PHPRU\ ORFDWLRQ %RWK WKUHDGV VWRUH WKH YDOXH RI WKLV YDULDEOH LQ D
UHJLVWHUIRURSWLPL]DWLRQ6LQFHERWKWKUHDGVZRUNLQGHSHQGHQWO\LIRQHWKUHDG
FKDQJHV WKH YDOXH WKDW LV VWRUHG LQ D UHJLVWHU LW UHPDLQV XQDIIHFWHG WR WKH
YDULDEOHVWRUHGLQUHJLVWHULQWKHDQRWKHUWKUHDG,IWKHYDULDEOHLVGHFODUHGDV
YRODWLOHLWZLOOQRWEHVWRUHGLQDUHJLVWHUDQGRQO\RQHFRS\ZLOOEHPDLQWDLQHG
LUUHVSHFWLYHRIWKHQXPEHURIWKUHDGV
¾ ZULWLQJFRGHLQPXOWLSURFHVVLQJHQYLURQPHQWDQGWKHLGHDLVVLPLODUWRPXOWL
WKUHDGHGHQYLURQPHQW7KHUHPD\EHVKDUHGPHPRU\ORFDWLRQVDQGPRUHWKDQ
RQHSURFHVVRUPD\DFFHVVDQGPRGLI\WKHYDOXHOHDGLQJWRLQFRQVLVWHQWYDOXHV
,QDOOVXFKFDVHVYRODWLOHPXVWEHXVHGWRSUHYHQWRSWLPL]DWLRQVEHGRQHRQWKRVH
YDULDEOHV
/LPLWVRIWKH$ULWKPHWLF7\SHV
/LPLWVDUHWKHFRQVWUDLQWVDSSOLHGLQWKHUHSUHVHQWDWLRQRIWKHGDWDW\SH
7UDQVODWLRQ/LPLWV
7UDQVODWLRQ OLPLWV VSHFLI\ WKH FRQVWUDLQWV ZLWK KRZ WKH FRPSLOHU WUDQVODWHV WKH
VHTXHQFHRIWKHFKDUDFWHUVLQWKHVRXUFHWH[WWRWKHLQWHUQDOUHSUHVHQWDWLRQ
(J $16, & GHILQHV WKDW WKH FRPSLOHU VKRXOG JLYH WKH VXSSRUW WR DW OHDVW
FKDUDFWHUVLQDVWULQJOLWHUDODIWHUFRQFDWHQDWLRQ
1XPHULFDO/LPLWV
7KH UDQJH RI YDOXHV ZKLFK WKH GDWD W\SH FDQ UHSUHVHQW LV VSHFLILHG E\ WKH
QXPHULFDOOLPLWV
7KHVWDQGDUGKHDGHUILOHVOLPLWVK!DQGIORDWK!GHILQHVWKHQXPHULFDOOLPLWVIRU
WKHSDUWLFXODULPSOHPHQWDWLRQ
+RZHYHUWKHYDOXHVLQWKHOLPLWVK!GHILQHWKHPLQLPDODQGPD[LPDOOLPLWVIRU
WKHW\SHV7RILQGRXWWKHDFWXDOOLPLWVLQWKHV\VWHPWKDW\RXDUHZRUNLQJWKHIROORZLQJ
PHWKRG FDQ EH XVHG DOWKRXJK RWKHU LPSOHPHQWDWLRQV DUH SRVVLEOH WKLV LPSOHPHQWDWLRQ
VHHPVWREHGLUHFWKDQG\DQGZRUNVZHOO
GHILQH,17B0$;XQVLJQHGa!!
6LPLODUO\WKHRWKHUPDFURFRQVWDQWVFDQEHGHILQHG7KLVLVIRULQWHJHUZKHUHWKH
VL]H RI LQWHJHU LV LPSOHPHQWDWLRQ GHILQHG %XW IRU FKDU WKH VL]H LV DOUHDG\ NQRZQ 6R
ZULWLQJRXURZQYHUVLRQVRI&+$5B0,1&+$5B0$;LVGLUHFW%XWNHHSLQJWKHIDFWLQ
WKHPLQGWKDWWKHFKDULPSOHPHQWDWLRQFRXOGEHVLJQHGRUXQVLJQHGE\GHIDXOW
LILQWFKDU[
GHILQH&+$5B0$;[I
GHILQH&+$5B0,1[
HOVH
GHILQH&+$5B0$;[II
GHILQH&+$5B0,1[
HQGLI
&UHDWLQJ7\SH1DPHV
7\SHGHIV FUHDWH QHZ W\SH QDPHV 7KLV DGGV D QHZ QDPH IRU DQ H[LVWLQJ W\SH
UDWKHUWKDQFUHDWLQJDQHZW\SH
7\SHGHIVDUHVXEMHFWHGWRWKHUXOHVIRUVFRSH
W\SHGHIFKDU:25'
:25'LVFKDU
:25'Z
ZLVDQFKDU
W\SHGHILQW:25'
:25'LVLQW
:25'Z
ZLVDQLQWQRZ
GHILQHDQGW\SHGHI
&RQVLGHUWKHWZRZD\VWRKDYHDµE\WH¶W\SH
W\SHGHIFKDUE\WH
E\WHEE
QHZW\SHQDPHE\WHLVFUHDWHG
,WPD\VHHPWKDWWKLVLVVWUDLJKWIRUZDUGWRXVHGHILQHWRGRWKHVDPH
GHILQH%<7(FKDU
7KH DELOLW\ WR FUHDWH QHZ W\SH QDPHV XVLQJ GHILQH DQG W\SHGHI VHHPV WR EH
VLPLODUDQGRIVDPHSRZHU%XWWKLVVLPLODULW\LVVXSHUILFLDO/HWVVWDUWZLWKDYHU\VLPSOH
H[DPSOH
GHILQHSWUFKDU
W\SHGHIFKDU SWU
SWUS ³VRPH6WU´S ³DQRWKHU6WU´
HUURUFDQQRWFRQYHUWIURPFKDU>@WRFKDU
SWUS ³VRPH6WU´S ³DQRWKHU6WU´
RN
%HFDXVHWKH DSSOLHVRQO\WRSDQGQRWWRS7KLVSUREOHPGRHVQ¶WDULVHLQWKH
FDVHRIW\SHGHI1RZFRQVLGHU
LQWYDU
GHILQHSWUFKDU
W\SHGHIFKDU SWU
FRQVWSWUP\3WU YDU
FRQVWSWUP\3WU YDU
RUSWUFRQVWP\3WUERWKDUHHTXLYDOHQW
P\3WU 18//
RN
P\3WU 18//
HUURU
P\3WU LV HTXLYDOHQW WR EH GHFODUHG DV FRQVW FKDU P\3WU ZKLFK LV VLPSOH
WH[WXDO UHSODFHPHQW %XW P\3WU LV HTXLYDOHQW WR EH GHFODUHG DV FKDU FRQVW P\3WU
EHFDXVH SWU LV RI W\SH FKDU SRLQWHU ,Q DGGLWLRQ LW VKRZV W\SHGHI LV QRW WH[WXDO
UHSODFHPHQW
7KHFDSDELOLW\RIFUHDWLQJDQHZW\SHQDPHXVLQJW\SHGHILVVXSHULRUWRGHILQH
W\SHGHIYRLG I7\SH
GHFODUHVI7\SHWREHRIW\SHYRLG
LHI7\SHLVSRLQWHUWRIXQFWLRQZLWKUHWXUQW\SHYRLGDQGWDNLQJQRDUJXPHQWV
I7\SHP\3WU
P\3WU FOUVFU
P\3WUSRLQWVWRWKHIXQFWLRQFOUVFU
7KHVWUHQJWKRIWKHW\SHGHIOLHVLQWKHIDFWWKDWWKH\DUHHIILFLHQWO\KDQGOHGE\WKH
SDUVHU6LQFHGHILQHPD\UHVXOWLQKDUGWRILQGHUURUVLWLVDGYLVDEOHWRUHSODFHWKHPZLWK
W\SHGHIV
6RPH,QWHUHVWLQJ3UREOHPV
&RQVLGHUWKHIROORZLQJFRGH
W\SHGHILQWQXP7LPHV
VKRUWQXP7LPHVWLPHV
WKH FRGH LV YHU\ VLPSOH DQG GLUHFW EXW WKH FRPSLOHU IODJV DQ HUURU *XHVV ZK\"
7KHIROORZLQJOLQHLVWKHFXOSULW
VKRUWQXP7LPHVWLPHV
(UURU&DQQRWXVHPRGLILHUVIRUW\SHGHIV
WKHW\SHWKDWLVGHILQHGE\WKHW\SHGHIFDQQRWEHXVHGZLWKPRGLILHUV7KHUHDVRQLVWKDW
WKH W\SHV GHFODUHG ZLWK W\SHGHI DUH WUHDWHG DV VSHFLDO W\SHV E\ WKH FRPSLOHU DQG QRW DV
WH[WXDO UHSODFHPHQW ,I LW ZHUH WH[WXDO UHSODFHPHQW WKLV FRGH VKRXOG EH OHJDO 6R
DSSO\LQJVKRUWWRPRGLI\WKHW\SHQXP7LPHVWRGHFODUHWLPHVDVVKRUWLQWIDLOV
7RDFKLHYHWKHVDPHUHVXOWQXP7LPHVKDVWREHDJDLQW\SHGHIHGWRWKHQHZW\SH
W\SHGHIVKRUWQXP7LPHVVKRUW1XP7LPHV
VKRUW1XP7LPHVWLPHV QRZRN
W\SHGHIVDOVRKDYHVRPHSHFXOLDUO\TXDOLWLHVIRUH[DPSOHDW\SHGHIFDQGHFODUHD
QDPHWRUHIHUWKHVDPHW\SHPRUHWKDQRQFH
W\SHGHILQWVRPHWKLQJ
W\SHGHIVRPHWKLQJVRPHWKLQJ
LVYDOLG
1RZFRQVLGHUWKHIROORZLQJH[DPSOH
W\SHGHIFKDU FKDU3WU
FRQVWFKDU3WUVWU ³VRPHWKLQJ´
VWU ³DQRWKHU´
LVVXHVDQHUURUVWDWLQJWKDW³OYDOXHVSHFLILHVDFRQVWDQWREMHFW´:KDWZHQWZURQJ"
7KHSURJUDPPHUH[SHFWHGWRGHFODUHVWUDV
FRQVWFKDU VWU ³VRPHWKLQJ´
DQGXVHGDW\SHGHILQVWHDGWRGHFODUHLWLQGLUHFWO\DV
FRQVWFKDU3WUVWU ³VRPHWKLQJ´
%XWWKLVDFWXDOO\VWDQGVIRU
FKDU FRQVWVWU ³VRPHWKLQJ´
ZKLFKVWDWHVVWULVDFRQVWSRLQWHUWRDFKDUDFWHUDQGVRDQDWWHPSWWRFKDQJHLWXVLQJWKH
DVVLJQPHQW
VWU ³DQRWKHU´
IODJVDQHUURU
7R IRUFH ZKDW WKH SURJUDPPHU LQWHQGHG WR GR WKH FRGH VKRXOG EH PRGLILHG DV
IROORZV
W\SHGHIFRQVWFKDU FRQVW&KDU3WU
FRQVW&KDU3WUVWU VRPHWKLQJ
VWU DQRWKHU
7KLVLVDQDQRWKHUH[DPSOHWRVKRZWKDWWKHW\SHGHILVQRWWKHVDPHDVWKHWH[WXDO
UHSODFHPHQWDVLQGHILQH
$V , KDYH VDLG W\SHGHI QDPHV VKDUH WKH QDPH VSDFH ZLWK RUGLQDU\ LGHQWLILHUV
7KHUHIRUHDSURJUDPFDQKDYHDW\SHGHIQDPHDQG DORFDOVFRSHLGHQWLILHUE\ WKHVDPH
QDPH
W\SHGHIFKDU7
LQWPDLQ
77
SULQWIG7
+HUHWKHFRPSLOHUFDQGLVWLQJXLVKEHWZHHQWKHW\SHQDPHDQGWKHYDULDEOHQDPH
2QH PRUH LQWHUHVWLQJ SUREOHP DULVHV ZLWK W\SHGHIV EHFDXVH RI WKLV SURSHUW\
&RQVLGHUWKDW,KDYHGHFODUHGDW\SH7
W\SHGHIFKDU7
\RXZDQWWRGHFODUHDFRQVWLQWYDULDEOHQDPHGDV7LQWKHVDPHVFRSHDVW\SH7
FRQVWLQW7
%XW \RX NQRZ WKDW ZKHQ WKH W\SH QDPH LV PLVVLQJ LQ D GHFODUDWLRQ WKH W\SH LQW LV
DVVXPHG6R\RXFDQZULWHWKLVGHFODUDWLRQRIFRQVWLQWYDULDEOH7OLNHWKLV
FRQVW7
DVNFRPSLOHUWRDVVXPHWKHW\SHLQWKHUHDVD
VKRUWFXWIRUWKHSUHYLRXVGHFODUDWLRQ
%XW\RXNQRZWKDWWKHQDPH7DOVRVWDQGVIRUFKDUW\SHVLQFHWKDWQDPHLVW\SHGHILQHG
6RIRUWKHFRPSLOHUGHFODUDWLRQORRNVOLNHDVLILWLVJLYHQDV
FRQVWFKDU
ZKHUHWKHFRPSLOHUWKLQNVWKDWYDULDEOHQDPHLVPLVVLQJ6RLWLVVXHVDQHUURU
7KHUHIRUH WKH UXOH LV WKDW ZKHQ GHFODULQJ D ORFDOVFRSH LGHQWLILHU E\ WKH VDPH
QDPHDVDW\SHGHIWKHW\SHQDPHPXVWEHVSHFLILHGH[SOLFLWO\
([HUFLVH
,VWKHUHDQ\SRVVLELOLW\WKDWVL]HRIW\SH2U2EMHFWRSHUDWRUUHWXUQYDOXHDVWKH
VL]HRIWKHW\SHREMHFW"
$EVWUDFWLQJ'HWDLOV
7\SHGHIVDUHXVHIXOLQDEVWUDFWLQJWKHGHWDLOVIURPWKHXVHUV
VWUXFWBLREXI^
FKDU BSWU
LQWBFQW
FKDU BEDVH
LQWBIODJ
LQWBILOH
LQWBFKDUEXI
LQWBEXIVL]
FKDU BWPSIQDPH
`RQHSRVVLEOHLPSOHPHQWDWLRQ
W\SHGHIVWUXFWBLREXI),/(
7KH GHWDLO EHKLQG ),/( LV DEVWUDFWHG DQG WKH XVHU XVHV ),/( IUHHO\ DV LI LW LV D
GDWDW\SH
7\SHGHIVPD\EHXVHIXOLQFDVHVOLNHWKLVDQGSDUWLFXODUO\LQWKHFRPSOH[GHFODUDWLRQV
&RQVLGHUWKDW\RXUUHTXLUHPHQWLVWRDFFHVVWKHYLGHREXIIHUWRPDQLSXODWHVFUHHQ
,WZRXOGEHYHU\KDQG\WRDFFHVVWKHZKROHVFUHHQDV DUUD\
7KLVLVPDFKLQHVSHFLILFLPSOHPHQWDWLRQJLYHQKHUH
IRUGHPRQVWUDWLRQRIW\SHGHIV
LIGHILQHG0212 LIPRQRPRQLWRU
GHILQH%$6([E
IRUPRQRPRQLWRUYLGHRPHPRU\EHJLQVKHUH
HOVH
GHILQH%$6([E
IRURWKHUPRQLWRUVYLGHRPHPRU\EHJLQVKHUH
HQGLI
GHILQH52:6
GHILQH&2/6
W\SHGHIVWUXFW^
XQVLJQHGFKDUFK
FKDUDFWHUWDNHVRQHE\WH
XQVLJQHGFKDUDWWU
LWVDWWULEXWHWDNHVRQHE\WH
`XQLW
WKLVPDNHVRQHXQLW
W\SHGHIXQLWYLGHR0HPRU\>52:6@>&2/6@
7KHVFUHHQLV DUUD\RIXQLWV
YLGHR0HPRU\IDU VFUHHQ YLGHR0HPRU\IDU %$6(
GHILQHWKHVFUHHQ
GHILQH6&5((1 VFUHHQ
YRLG VHW&KDULQW [3RV LQW \3RV XQVLJQHG FKDU FK
XQVLJQHGFKDUDWWU
6&5((1>[3RV@>\3RV@FK FK
VHWDFKDUDFWHUWRFRUUHVSRQGLQJ[DQG\SRVLWLRQV
6&5((1>[3RV@>\3RV@DWWU DWWU
VHWWKHFKDUDFWHU¶VDWWULEXWH
KHUHW\SHGHIVDEVWUDFWWKHGHWDLORIWKHW\SHDQGDOORZVIUHHO\FUHDWLQJDQGPDQLSXODWLQJ
REMHFWVDVLIWKH\ZHUHEXLOWLQW\SHV
3RUWDELOLW\DQG7\SHGHI
7\SHGHI KHOSV LQ LQFUHDVLQJ WKH SRUWDELOLW\ 2QH RI WKH PDLQ UHDVRQV IRU XVLQJ
W\SHGHILVWRPDNHLWHDV\IRUDSURJUDPWREHPRUHSRUWDEOHZLWKQRRUPLQLPDOFKDQJHV
7KH W\SHV GHFODUHG E\ W\SHGHIV FDQ EH FKDQJHG DFFRUGLQJ WR WKH WDUJHW PDFKLQH E\ WKH
LPSOHPHQWDWLRQ
VL]HBWVWUOHQFRQVWFKDU
QRWLFHWKDWVWUOHQUHWXUQVVL]HBW,QRXUFRPSLOHULWZDVGHILQHGLQVWGLRK!DV
W\SHGHIXQVLJQHGVL]HBW
RWKHUH[DPSOHVDUHFORFNBWDQGWLPHBWGHILQHGLQWLPHK!2QHVXFKLPSOHPHQWDWLRQLV
W\SHGHIORQJWLPHBW
+RZHYHUZLWKHTXDOSUREDELOLW\FDQEHLPSOHPHQWHGDV
W\SHGHIXQVLJQHGORQJWLPHBW
7KH FKRLFH LV PDGH EDVHG RQ WKH WDUJHW PDFKLQH DQG WKH FRPSLOHU 7KHUHIRUH LW
HIIHFWLYHO\ VXLWV WKH QHHGV SURYLGLQJ SRUWDELOLW\ DFURVV SODWIRUPV ZLWKRXW UHTXLULQJ WKH
VRXUFHFRGHOHDYLQJXQWRXFKHGRIFKDQJH ,QRWKHUZRUGVLIW\SHGHIV DUHXVHGIRUGDWD
W\SHVWKDWPD\EHPDFKLQHGHSHQGHQWRQO\WKHW\SHGHIVQHHGFKDQJHZKHQWKHSURJUDP
LV PRYHG ,I DQ\ XSJUDGDWLRQ RI WKH VRIWZDUH LV QHHGHG LW LV HQRXJK WKDW WKH W\SHGHI LV
FKDQJHG
W\SHGHIXQVLJQHGLQWSWUGLIIBW
ZKHQLWLVQHHGHGWREHXVHGLQKXJHDUUD\VFDQEHPRGLILHGDQGXVHGDV
W\SHGHIXQVLJQHGORQJSWUGLIIBW
([HUFLVH
:KDWLV\HDUSUREOHP"KLQWLWLVUHODWHGWRW\SHGHILQJWLPHBWGLVFXVVHGKHUH
7\SH(TXLYDOHQFH
7ZRW\SHVDUHVDLGWREHHTXLYDOHQWLIWKH\KDYHVDPHW\SHDWWULEXWHV
W\SHGHILQWGXPP\
LQWD
GXPP\E
DXWRF
`
+HUH D E F DUH VDLG WR EH YDULDEOHV HTXLYDOHQW LQ W\SH 0RUH WHFKQLFDOO\ WZR
W\SHV DUH VDLG WR EH RI HTXLYDOHQW W\SHV LI WKHUH LV VWUXFWXUDO FRPSDWLELOLW\ LQ &
6WUXFWXUDO FRPSDWLELOLW\ DSSOLHV IRU DOO W\SHV H[FHSW VWUXFWXUHV DQG IRU VWUXFWXUHV QDPH
FRPSDWLELOLW\LVUHTXLUHG&RQVLGHUWKHWZRVWUXFWXUHGHILQLWLRQV
VWUXFWGLYBW^
LQWTXRW
LQWUHP
`GLY ^`
VWUXFWWBGLY^
LQWTXRW
LQWUHP
`GLY
GLY GLY
HUURUFDQQRWFRQYHUWIURPGLYBWWRGLYW
GLY WBGLYGLY
HUURUFDQQRWFDVWIURPGLYBWWRGLYW
QDPHFRPSDWLELOLW\LVUHTXLUHGIRUVWUXFWXUHDVVLJQPHQW
$V\RXFDQVHHLQWKLVH[DPSOHWKHWZRVWUXFWXUHVRQO\GLIIHUE\QDPHDQGVRFDQQRWEH
DVVLJQHGWRHDFKRWKHU
7<3(&219(56,216
& LV D W\SHG ODQJXDJH 7KLV PHDQV HYHU\ YDULDEOH DQG H[SUHVVLRQ EHORQJV WR D
SDUWLFXODU W\SH ,W LV QRW D VWURQJO\ W\SHG ODQJXDJH :H VD\ LW LV QRW VWURQJO\ W\SHG
EHFDXVHWKHYDULDEOHVFDQEHIUHHO\DVVLJQHGZLWKWKHYDULDEOHVRIRWKHUW\SHVDQGVWULFW
W\SHFKHFNLQJLVQRWPDGH)RUHJLWLVDOPRVWXQLYHUVDODPRQJWKH&SURJUDPPHUVWR
LQWHUFKDQJHµLQW¶DQGµFKDU¶DVVLJQPHQWV
(YHQWKHVWDQGDUGOLEUDU\VRPHWLPHVIROORZVLWDVLQWKHSURWRW\SH
LQWJHWFKDU
ZKHUH LW LV FXVWRPDU\ WR DVVLJQ WKH YDOXH UHWXUQHG IURP JHWFKDU WR D FKDUDFWHU
ZLWKRXW H[SOLFLW FDVW 6LPLODUO\ FRQYHUVLRQV IURP YRLG WR RWKHU SRLQWHU W\SHV DUH
DVVXPHGDQGH[SOLFLWFDVWLQJLVQRWQRUPDOO\PDGH
LQW L2EM PDOORFVL]HRILQW
7\SHFDVWLQJLVRIWZRW\SHVH[SOLFLWDQGLPSOLFLW
([SOLFLW&RQYHUVLRQV
&RQYHUVLRQVLIPDGHXVLQJDFDVWLQJRSHUDWRUDUHFDOOHGDVH[SOLFLWFRQYHUVLRQV
&DVWLQJVKRXOGQRWEHGRQHWRMXVWWRHVFDSHIURPWKHHUURUVDQGZDUQLQJVLVVXHGE\WKH
FRPSLOHU 7KH FRPSLOHU DFWXDOO\ ZDQWV WR ZDUQ \RX WKDW WKHUH LV SRVVLELOLW\ RI ORVV RI
LQIRUPDWLRQGXULQJFRQYHUVLRQDQGWRPDNHVXUHWKDW \RXUHDOO\NQRZZKDW \RXZDQWWR
GR ([SOLFLW FDVWLQJ LV WKH PRUH SRZHUIXO WKDQ DVVLJQPHQW DQG PHWKRG LQYRFDWLRQ

,WPXVWEHVDLGKHUHWKDWYLHZSRLQWVGLIIHURQZKHWKHU&LVVWURQJO\W\SHGRUQRW7KHUHDGHULVHQFRXUDJHG
WRDGRSWWKHYLHZSRLQWWKDWKHVKHLVPRVWFRPIRUWDEOHZLWK,VWURQJO\VXJJHVWWRWUHDW&DVQRWDVWURQJO\
W\SHGODQJXDJHDQGWKDWLVWKHYLHZSRLQWDGRSWHGDQGDFFHSWHGZLGHO\
FRQYHUVLRQVDQGIRUFHVWKHFRPSLOHUWRFKDQJHWKHW\SH,WDOVRLPSURYHVWKHUHDGDELOLW\
E\VD\LQJWKDWWKHW\SHFRQYHUVLRQLVGRQHRQWKDWSRLQW
&DVWLQJ VRPHWLPHV LQGLFDWHV WKH EDG GHVLJQ %XW LQ VRPH FDVHV FDVWLQJ LV
QHFHVVDU\ ,I W\SH FRQYHUVLRQV DUH UHTXLUHG LW LV DOZD\V UHFRPPHQGHG WR XVH H[SOLFLW
FDVWLQJ
/HW XV VWDUW ZLWK WKH PLVWDNHV WKH QRYLFH & SURJUDPPHUV PDNH &RQVLGHU WKH
IROORZLQJFRGHZULWWHQE\RQHVXFKWRFDOFXODWHKLVKHUSHUFHQWDJHRIPDUNV
IORDWSHUFHQWDJH
LQWPDUNV2EWDLQHGWRWDO0DUNV
PDUNV2EWDLQHG
WRWDO0DUNV
SHUFHQWDJH PDUNV2EWDLQHGWRWDO0DUNV
SULQWI³3HUFHQWDJH I´SHUFHQWDJH
7KHSURJUDPPHUH[SHFWVWKHSURJUDPWRSULQWDQGLVGLVDSSRLQWHGWRVHH
WKDWLWSULQWV7KLVLVEHFDXVHWKHGLYLVLRQRSHUDWRUSHUIRUPVDQLQWHJHUGLYLVLRQWKDW
\LHOGVIRU6RWRJHWSURSHUUHVXOWVKHOHDUQVGRDQH[SOLFLWFRQYHUVLRQ
SHUFHQWDJH IORDWPDUNV2EWDLQHGWRWDO0DUNV
IRUKLVKHUGLVPD\DJDLQJHWV
:KDW ZHQW ZURQJ" ,Q WKH DERYH H[DPSOH PDUNV2EWDLQHG DQG WRWDO0DUNV ERWK
DUHLQWHJHUV6RLQWHJHUDULWKPHWLFLVPDGHRQLWUHVXOWLQJLQRIFRXUVHWKHUHVXOWDQW
ZLOOEHW\SHFDVWHGWR)LQDOO\DUULYLQJDWWKHFRUUHFWVROXWLRQ
SHUFHQWDJH IORDWPDUNV2EWDLQHGWRWDO0DUNV

,PSOLFLW&RQYHUVLRQV
:KHQRSHUDWRUVLQH[SUHVVLRQVLQYROYHGLIIHUHQWW\SHVLPSOLFLWFRQYHUVLRQVRFFXU
6LQFH WKH FRPSLOHU DXWRPDWLFDOO\ GRHV LPSOLFLW FRQYHUVLRQV WKH\ PD\ UHVXOW LQ KDUGWR
ILQGHUURUVVLQFHWKHVHFRQYHUVLRQVPD\QRWEHZHOOSUHGLFWHG
&RQVLGHUWKLVSUREOHPLQYROYLQJLPSOLFLWFRQYHUVLRQV
FKDUFK
ZKLOHFK JHWFKDU (2)
VNLS
,I WKH FKDU LV XQVLJQHG E\ GHIDXOW WKHQ WKH ORRS PD\ QRW WHUPLQDWH %HFDXVH
FRPSDULQJIRUHTXDOLW\RI(2)XVXDOO\ZLWKDQXQVLJQHGQXPEHU\LHOGVDIDOVH
7KHSUREOHPZLOOEHVROYHGLIWKHYDULDEOHµFK¶LVGHFODUHGDVDQLQWHJHUZKLFKLV
VLJQHG
/21*'28%/(
'28%/(
)/2$7
816,*1('/21*,17
/21*,17
816,*1(',17
,17
,PSOLFLWW\SHFRQYHUVLRQKLHUDUFK\
,QWHJUDO:LGHQLQJ3URPRWLRQV
7KH\ DUH FRQYHUVLRQV IURP VKRUW FKDU HQXP DQG ELWILHOGV WR LQW DQG IORDW WR
GRXEOH 7KHVH SURPRWLRQV GR QRW ORVH DQ\ LQIRUPDWLRQ UHJDUGLQJ VLJQ RU RUGHU RI
PDJQLWXGH EXW IRU XQVLJQHG W\SHV UHDG DERXW XQVLJQHG YDOXH SUHVHUYLQJ 7KHVH
FRQYHUVLRQV PD\ RFFXU WR LPSURYH HIILFLHQF\ IRU HJ LQWHJUDO W\SHV DUH LQWHUQDOO\
UHSUHVHQWHGDVLQWHJHUV
In the expressions (including the ones that have constants), when unsigned chars
and unsigned shorts are involved, integral promotion takes place to accommodate the
resulting value. Based on the resulting type, signed int or unsigned int, the results may
differ considerably. This issue of promotion to either signed int or unsigned one is called
as unsigned/value preserving.
It is to be noted that ANSI standard supports value preserving.
8QVLJQHG3UHVHUYLQJ
If the sign (the unsigned-ness) has to be preserved, i.e., if promoted to unsigned
int, then it is called as unsigned preserving or just 'sign preserving' VLQFHSUHVHUYLQJWKH
VLJQLVJLYHQSUHFHGHQFHRI
XQVLJQHGUHVXOW XVXIIL[8XPHDQVXQVLJQHG
LIUHVXOW
SULQWI³7KLVZLOOQHYHUEHSULQWHG´
HOVH
SULQWI³XÚHVXOW
,QRXUV\VWHPLWSULQWV
,QWKLVFDVHWKHXQVLJQHGDQGVLJQHGFRQVWDQWVDUHPL[HG6RWKHVLJQHGYDOXHLV
SURPRWHGWRXQVLJQHGUHVXOWLQJLQDYHU\ODUJHYDOXH6RDOZD\VWKHHOVHSDUWLVH[HFXWHG
<RXFDQIRUFHVLJQSUHVHUYLQJE\JLYLQJWKH8XVXIIL[IRURSHUDQGVHJXX
9DOXH3UHVHUYLQJ
On the other hand, if the promotion is to signed int to preserve the value rather
than the sign, it is called as value preserving.
6LJQ SUHVHUYLQJ LV VXSSRUWHG LQ . 5 & DQG LQ 81,; & FRPSLOHUV ZKHUHDV
$16,&VXSSRUWVYDOXHSUHVHUYLQJ
7R VROYH WKLV SUREOHP RI VLJQHG DQG XQVLJQHG PL[LQJ HLWKHU FDVW WKH VLJQHG WR
XQVLJQHG LI \RX DUH VXUH WKDW LW FDQQRW WDNH QHJDWLYH YDOXHV 2U HOVH FDVW XQVLJQHG WR
VLJQHGLILWVYDOXHFDQQRWH[FHHG,17B0$;7KLVZLOOKHOSHOLPLQDWHQDVW\EXJVGXHWR
WKLVSUREOHP
([HUFLVH
&RPPHQWRQWKHEHKDYLRURIWKHIROORZLQJFRGHVHJPHQW
LQWL
ZKLOHLVL]HRIFKDU
SULQWI³G´L
$VVLJQPHQW&RQYHUVLRQV
$VVLJQPHQW FRQYHUVLRQV FKDQJH W\SH RI WKH 5+6 RI DQ DVVLJQPHQW VWDWHPHQW WR
WKH W\SH RI WKH /+6 LI WKH\ DUH QRW WKH VDPH (LWKHU WUXQFDWLRQ RU ZLGHQLQJ RI YDOXHV
RFFXUV
$ULWKPHWLF&RQYHUVLRQV
$ULWKPHWLF FRQYHUVLRQV RFFXU LQ H[SUHVVLRQV &HUWDLQ RSHUDWRUV UHTXLUH WKHLU
RSHUDQGVWREHRIVSHFLILFW\SHV7KHVHFRQYHUVLRQVWDNHSODFHZKHQWKHJLYHQW\SHGRHV
QRWPDWFKZLWKWKHUHTXLUHGW\SH7KH\IROORZGDWDW\SHKLHUDUFK\
&RQYHUVLRQ'XH7R)XQFWLRQ&DOOV
:KHQ WKH IRUPDO SDUDPHWHU DQG WKH DFWXDO SDUDPHWHU GLIIHU LQ W\SH WKH DFWXDO
SDUDPHWHULVDXWRPDWLFDOO\FRQYHUWHGLQWRDFWXDOSDUDPHWHU¶VW\SH7KHVDPHUXOHDSSOLHV
ZKLOHUHWXUQLQJYDOXHV+RZHYHULWLVQRWUHFRPPHQGHGWRUHO\RQWKLVIDFLOLW\
)ORDWLQJ3RLQW&RQYHUVLRQV
&RQYHUVLRQRIDIORDWLQJSRLQWYDOXHWRDQLQWHJHUYDOXHUHVXOWVLQWUXQFDWLRQRIWKH
GHFLPDOSRVLWLRQ,IWKHQXPEHULVQHJDWLYHWUXQFDWLRQLVGHILQHGWREHWRZDUGV]HUR,ID
IORDWLQJSRLQWYDULDEOHLVDVVLJQHGZLWKDQLQWHJHUFRQVWDQWLWQHHGQRWH[DFWO\UHSUHVHQWLW
VLQFHH[DFWSUHFLVLRQRILQWHJHUYDOXHVLVQRWSRVVLEOH
3RLQWHU&RQYHUVLRQV
LQW QXPEHU LQW³7KLV LV WKH PHVVDJH WR EH
GLVSOD\HG´
QXPEHUPD\KROGWKHDGGUHVVRIWKHVWULQJ
SULQWI³V´QXPEHU
,I\RXUXQWKLVFRGHVRPHRI\RXZLOOEHDPD]HGWRVHHWKHVWULQJSULQWHGRQWKH
VFUHHQ
,Q [Kernighan and Ritchie 1988], pRLQWHUV DUH WUHDWHG DV XQVLJQHG
LQW ZKHQ WKH\ LQYROYH LQ H[SUHVVLRQV DQG VLJQSUHVHUYLQJ FRQYHUVLRQV DUH PDGH
&RQYHUVLRQVIURPRQHSRLQWHUW\SHWRDQRWKHUDQGEDFNUHVXOWVLQQRORVVRILQIRUPDWLRQ
+RZHYHU FRQYHUVLRQV IURP SRLQWHU W\SH WR LQWORQJ DQG EDFN LV QRW DVVXUHG LW LV DOVR
ZURQJWRDVVXPHWKDWDOZD\VWKHVL]HRILQWLVHQRXJKWRKROGWKHSRLQWHU7KLVLVZKDW
[Kernighan and Ritchie 1988] SXWVLQZRUGV$SRLQWHUFDQEHDVVLJQHGWR
DQ\LQWHJHUYDOXHRUDSRLQWHUYDOXHRIDQRWKHUW\SH7KLVFDQFDXVHDGGUHVVH[FHSWLRQV
ZKHQ PRYHG WR DQRWKHU PDFKLQH >$16, & 1988] DOVR WHOOV WKH VDPH EXW LQ RWKHU
ZRUGVWKDWWKHUHLVQRDVVXUDQFHRIHTXDOLW\EHWZHHQSRLQWHUVDQGLQWHJHUV
7KH IUHHGRP JLYHQ E\ & LQ PDQ\ FDVHV OLNH WKH RQH JLYHQ KHUH PD\ EH KDUPIXO WR
SRUWDELOLW\RI\RXUSURJUDPRQHH[FHSWLRQIRUWKLVFDVHLVLIWKHLQWHJHUYDOXHLVZKLFKFDQ
EHIUHHO\DVVLJQHG
$ FODVVLFDO H[DPSOH LV DVVLJQLQJ WKH 18// WR YDULRXV W\SHV ZLWKRXW H[SOLFLW
FRQYHUVLRQV 1RUPDOO\ 18// LV GHILQHG DV YRLG DQG LW LV XELTXLWRXV WR VHH WKH
FRGHOLNHWKLV
FKDU F 18//

VRPH3RLQWHU 18//
ZLWKRXW H[SOLFLW FDVWLQJ WKLV LV DQRWKHU SODFH ZKHUH WKH W\SH DUH IUHHO\ PL[HG
ZLWKRXWH[SOLFLWFDVWLQJLQ&
*HQHULF SRLQWHU W\SH YRLG PD\ EH XVHG DV DQ LQWHUPHGLDWH IRU FRQYHUVLRQ IURP
RQH SRLQWHU WR DQRWKHU ,W PD\ DOVR EH XVHG LQ WKH FDVHV ZKHQ WKH SRLQWHU W\SH LV QRW
NQRZQ
([HUFLVH
&RPPHQWRQWKHIROORZLQJFRGH
LQW IS
LQW S LQW IS
LQW S LQW LQWIS
9RLG&RQYHUVLRQV
$Q\REMHFWFDQEHFRQYHUWHGWRYRLG7KLVFRQYHUVLRQLVWRH[SOLFLWO\VSHFLI\WKDW
WKHYDOXHLVGLVFDUGHG)XQFWLRQVZLWKUHWXUQW\SHYRLGVSHFLILHVWKHGLVFDUGLQJYDOXHRI
WKHIXQFWLRQFDOO
1R&RQYHUVLRQV
1R FKDQJHV RI YDOXH UHSUHVHQWDWLRQ RFFXU ZKLOH FRQYHUVLRQV ZLWKLQ HTXLYDOHQW
W\SHVRFFXU
'(&/$5$7,216$1',1,7,$/,=$7,216
'HFODUDWLRQ
$VVRFLDWLQJDQREMHFWQDPHZLWKDW\SHLVNQRZQDVGHFODUDWLRQRIDQREMHFW
LQWDGGLQWLQW
LVWKHIXQFWLRQGHFODUDWLRQIRUDGG
H[WHUQLQWL
LVDQH[WHUQDOGHFODUDWLRQWKDWGRHVQRWUHVHUYHRUDVVRFLDWHDQ\VSDFHZLWK9DULRXVW\SHV
RIGHFODUDWLRQVDUHFDWHJRUL]HGDV
¾ ([SOLFLW'HFODUDWLRQV
7KHVHDUHGHFODUDWLRQVPDGHH[SOLFLWO\LQWKHSURJUDPZLWKQRH[WUDLQIRUPDWLRQ
DVVXPHG
¾ ,PSOLFLW'HFODUDWLRQV
7KHVH DUH GHIDXOW DVVXPSWLRQV PDGH E\ WKH FRPSLOHU ZKHQ W\SH RU UHODWLYH
LQIRUPDWLRQLVPLVVLQJ
¾ ([WHUQDO'HFODUDWLRQV
([WHUQDO GHFODUDWLRQV VSHFLI\ WKDW WKH REMHFW QDPHV DUH GHFODUHG LQ VRPH RWKHU
SODFHDQGZLOOEHDYDLODEOHDWWKHODWHUVWDJH
¾ 'XSOLFDWH'HFODUDWLRQV
'HFODUDWLRQV IRU REMHFW QDPHV FDQ EH UHSHDWHG ZLWKRXW FKDQJLQJ WKH PHDQLQJ
([DPSOH7HQWDWLYHGHFODUDWLRQV
)RUZDUG5HIHUHQFHV
)RUZDUGUHIHUHQFHVDUHXVLQJRIYDULDEOHVEHIRUHWKHLUGHFODUDWLRQV,Q&WKH\DUH
DOORZHGLQRQO\WKUHHFDVHV
,QVWUXFWXUHHQXPHUDWLRQXQLRQWDJQDPHVFDQEHXVHGLQGHFODUDWLRQVEHIRUH
WKHLUGHFODUDWLRQ
6RGHFODUDWLRQVOLNH
VWUXFWD^VWUXFWE QH[W`
VWUXFWE^VWUXFWD QH[W`
DUHYDOLG
/DEHOVDIWHUJRWRVWDWHPHQWVZKHUHWKDWODEHOLVGHFODUHGODWHU
JRWRHQG
«
«
HQG
RYHU
HQGODEHOKHUHLVWKHIRUZDUGUHIHUHQFH
)XQFWLRQFDOOVZKHUHWKHQDPHRIWKHIXQFWLRQLVXQGHFODUHG
LQWPDLQ
IXQ
`
DWWKHSRLQWWKHQDPHIXQLVHQFRXQWHUHGWKHQDPHLVQRWNQRZQWRWKHFRPSLOHU
6LQFH LW UHVHPEOHV D IXQFWLRQ FDOO LW DVVXPHV LW WR EH WKH QDPH RI WKH IXQFWLRQ DQG
JHQHUDWHVFRGHIRUFDOOLQJWKDWIXQFWLRQ,QRWKHUZRUGVLWDVVXPHVLWWREHGHFODUHGDV
H[WHUQLQWIXQ
LHWKHIROORZLQJGHWDLOVDUHDVVXPHG
¾ IXQLVH[WHUQVRLWLVDVVXPHGWKDWLWLVGHILQHGVRPHZKHUHHOVH
¾ IXQ WDNHV DQ\ QXPEHU RI DUJXPHQWV GHFODUDWLRQ IXQ GRHVQ¶W PHDQ WKDW LW
WDNHV QR DUJXPHQWV EXW WKDW LW WDNHV DQ\ QXPEHU RI DUJXPHQWV 7KLV LV
H[SODLQHGLQWKHFKDSWHURQIXQFWLRQV
¾ UHWXUQW\SHRIIXQLVLQWHJHU
.QRZLQJ WKHVH GHWDLOV RI ZKDW WKH FRPSLOHU DVVXPHV IRU WKH IRUZDUG GHFODUDWLRQ RI
IXQFWLRQVQRZ\RXFDQUHDVRQLWRXWZK\WKHIROORZLQJFRGHPDNHVFRPSLOHULVVXHHUURU
PHVVDJHVXFKDV³W\SHPLVPDWFKLQWKHUHGHFODUDWLRQRIIXQ´
LQWPDLQ
IXQ
IORDWIXQ
UHWXUQ
6LQFHWKHFRPSLOHUDVVXPHVWKDWUHWXUQW\SHRIIXQLVLQWHJHUDQGODWHULWVDVVXPSWLRQLV
FRQWUDGLFWHGE\WKHGHILQLWLRQRIWKHIXQWKDWLWUHWXUQVIORDWLWLVVXHVDQHUURU
:ULWLQJFRGHWKDWGHSHQGVRQWKHLPSOLFLWDVVXPSWLRQVGXHWRIRUZDUGUHIHUHQFHV
PD\OHDGWRXQH[SHFWHGEXJVLQFRGH&RQVLGHURQHVXFKFRGH
LQWPDLQ
LQWL IXQ
DVVXPHUHWXUQW\SHDVLQWDQGFDSWXUHWKDWUHWXUQHG
JDUEDJHYDOXHLQL
IXQLQWL
GRHVQ¶WLVVXHDQHUURUEHFDXVHIXQLVDVVXPHGWRWDNHDQ\QXPEHU
RIDUJXPHQWV6RPHJDUEDJHYDOXHLVSDVVHG
SULQWI³G´L
WKLV LV DQ H[DPSOH RI KRZ VXFK DVVXPSWLRQV PD\ OHDG WR EXJJ\ FRGH DQG VXFK FRGH
VKRXOGQRWEHZULWWHQ
,QVKRUWGRQRWGHSHQGRQWKHIRUZDUGGHFODUDWLRQRIIXQFWLRQVDQGLQVXFKFDVHV
GHFODUH WKHP H[SOLFLWO\ VR WKDW WKH LQWHQWLRQ ZLOO EH FOHDU WR ERWK WKH FRPSLOHU DQG WKH
UHDGHURIWKHSURJUDP7KLVZLOODOVRKHOSWKHFRPSLOHUWRFDWFKHUURUVGXHZURQJQXPEHU
RIDUJXPHQWVRUZURQJW\SHRIDUJXPHQWVDVLQWKHIROORZLQJ
H[WHUQIORDWIXQLQW
JRRGIXQLVGHFODUHGH[SOLFLWO\DQGGRHVQ¶WGHSHQGRQIRUZDUG
GHFODUDWLRQ
LQWPDLQ
^
IORDWI IXQ
IORDWIXQLQWL
UHWXUQIORDWL
'HILQLWLRQ
$V RSSRVHG WR GHFODUDWLRQ GHILQLWLRQ DVVRFLDWHV DQ REMHFW QDPH ZLWK D PHPRU\
DGGUHVV
7HQWDWLYH'HILQLWLRQ
$ WHQWDWLYH GHILQLWLRQ LV D GHFODUDWLRQ WKDW FDQ EHFRPH HLWKHU D GHFODUDWLRQ RU D
GHILQLWLRQ ,Q WKH ODWHU SDUWV RI D SURJUDP LI WKDW YDULDEOH LV GHILQHG WKHQ WKDW WHQWDWLYH
GHILQLWLRQEHFRPHVDGHFODUDWLRQ(OVHLWEHFRPHVDGHILQLWLRQ
(J WKLVLVLQJOREDODUHD
LQWL
WHQWDWLYH GHILQLWLRQ 7KLV EHFRPHV GHFODUDWLRQ DIWHU VHHLQJ
WKHQH[WGHILQLWLRQ
LQWL GHILQLWLRQ
$16, & XVHV WKH SUHVHQFH RU DEVHQFH RI DQ LQLWLDOL]HU WR GHWHUPLQH ZKHWKHU D
GHFODUDWLRQLVDGHILQLWLRQRUDQDOOXVLRQ
,IQRUHDOGHILQLWLRQ LV DYDLODEOH XS WR WKH HQG RI WKH ILOH RQO\ RQH GHILQLWLRQ IRU
WKDWYDULDEOHLVFUHDWHGDQGLVLQLWLDOL]HGWR]HUR(J
FRQWHQWVRIVRXUFHK
LQWL
LQWL
PDLQ
^`
LQWL
HQGRIVRXUFHK
GHILQLWLRQQRWDYDLODEOH6RLLVDXWRPDWLFDOO\GHILQHG
2QH'HILQLWLRQ5XOH2'5
2QH GHILQLWLRQ UXOH VWDWHV WKDW WKHUH PD\ EH DQ\ QXPEHU RI GHFODUDWLRQV IRU D
YDULDEOHIXQFWLRQEXWWKHUHFDQEHRQO\RQHGHILQLWLRQIRUWKDWYDULDEOHIXQFWLRQZKLFK
LVDVVRFLDWHGZLWKDPHPRU\DGGUHVV
2'5VHHPVWREHHDV\DQGVWUDLJKWIRUZDUGEXWLVWRXJKIRUWKHFRPSLOHUWRIROORZLQ
WKH FDVH RI PXOWLILOH SURJUDPV EHFDXVH LW PXVW NHHS WUDFN RI VR PDQ\ GHFODUDWLRQV DQG
GHILQLWLRQVDQGFKHFNIRUW\SHHTXLYDOHQFH7KHSUREOHPVDVVRFLDWHGZLWK2'5FURSXSRQO\
DWWKHWLPHRIOLQNLQJDJJUDYDWLQJWKHSUREOHP
3RLQWWR3RQGHU
'HFODUDWLRQ LQWURGXFHV D QDPH LQWR WKH SURJUDP DQG D GHILQLWLRQ LQWURGXFHV VRPH
FRGH
'LIIHUHQFHEHWZHHQGHFODUDWLRQVDQGGHILQLWLRQV
$ GHFODUDWLRQ DVVRFLDWHV D QDPH ZLWK D W\SH ZKHUHDV D GHILQLWLRQ DVVRFLDWHV WKH
QDPHZLWKLWVW\SHDQGVSDFH6RWKHGHILQLWLRQSHUIRUPVWKHIXQFWLRQRIWKHGHFODUDWLRQ
DOVR7KHDLPRIWKHGHFODUDWLRQLVWRLQWURGXFHWRWKHFRPSLOHURIWKHW\SHDVVRFLDWHGZLWK
WKHQDPHXVHG
7KHUHFDQEHDQ\QXPEHURIGHFODUDWLRQVIRUDQDPHDQGDOOWKHGHFODUDWLRQVPXVW
DJUHH RQ WKH W\SH RI WKH HQWLW\ UHIHUUHG WR DOVR UHIHU WR µW\SH HTXLYDOHQFH¶ ZKHUHDV D
GHILQLWLRQVKRXOGEHXQLTXH
'HFODUDWLRQVDQGGHILQLWLRQV DUH GLVWLQFW LQ WKH FDVHV RI VWUXFW XQLRQ H[WHUQ DQG
W\SHGHI7KH\DUHGHFODUHGVHSDUDWHO\DQGYDULDEOHVDUHGHILQHGODWHU
VWUXFWDQ\WKLQJ^
LQWLM
`
DV\RXFDQVHHLWLVDOZD\VDGHFODUDWLRQ
VWUXFWDQ\WKLQJVRPHWKLQJ
GHILQLWLRQ
H[WHUQLVDYHU\JRRGH[DPSOHIRUWKHGHFODUDWLRQRIYDULDEOHV
H[WHUQLQWL
LWLVFOHDUWKDWWKLVLVDGHFODUDWLRQ
LGRHVQRWUHVHUYHDQ\VSDFHEXWFDQEHXVHGLQWKHFRGH
'LIIHUHQFHEHWZHHQWKHGHFODUDWLRQDQGGHILQLWLRQLVVWLOOPRUHHYLGHQWLQFDVHRI
IXQFWLRQV
GHFODUDWLRQRIDGGIXQFWLRQ
LQWDGGLQWLQW
WKHIROORZLQJGHILQHVIXQFWLRQDGG
LQWDGGLQWDLQWE
UHWXUQDE
$OWKRXJKW\SHGHIVWDQGVIRU³W\SHGHILQLWLRQ´W\SHGHIDOZD\VLVDGHFODUDWLRQRI
W\SHV
W\SHGHILQW,17
$V \RX FDQ VHH WKH ,17 LV RQO\ DQ LQIRUPDWLRQ WR WKH FRPSLOHU DQG UHVHUYHV QR
VSDFH H[FHSW WKDW WKH QDPH LV HQWHUHG LQWR WKH V\PERO WDEOH 6R W\SHGHIV DUH DQG FDQ
RQO\EHGHFODUDWLRQV
,QPRVWFDVHVGHFODUDWLRQVDQGGHILQLWLRQVDUHFRPELQHG
LQWL
GHFODUHVDQGGHILQHVL
1RZZKDWDERXWWKHVWDWHPHQW
H[WHUQLQWL
LVLWDGHFODUDWLRQGHILQLWLRQRUDQHUURU"
7KLVLVDGHILQLWLRQH[WHUQNH\ZRUGLVLJQRUHGLQWKLVFDVH6LQFHWKHLQLWLDOYDOXH
LVVSHFLILHGWKLVLQIRUPDWLRQWDNHVSUHFHGHQFHLJHWVSDFHDOORFDWHGDQGLQLWLDOL]HGWR
'HFODUDWRUV
LQWLM
+HUH WKH YDULDEOHV L DQG M DUH VDLG WR EH GHFODUDWRUV LH WKH YDULDEOHV WKDW DUH
GHFODUHGGHILQHGDUHVDLGWREHWKHGHFODUDWRUV$GHFODUDWRULVDYDLODEOHWREHUHIHUUHGLQ
WKH SURJUDP FRGH DQG XVHG IURP WKH SRLQW ZKHUH WKH GHFODUDWLRQGHILQLWLRQ LV PDGH
([FHSWLRQIRUWKLVLVIRUZDUGUHIHUHQFHV
6RGHFODUDWLRQVOLNH
LQWD VL]HRID
LQWL M LN M
HQXPVRPH^6XQGD\ KROLGD\ 6XQGD\`
DUHYDOLG7KHVHH[DPSOHVDUHPHDQLQJIXODQGZRUNVFRUUHFWO\EXWQRWWKHIROORZLQJ
LQWD
LQWE ED
EQRZFRQWDLQVVRPHJDUEDJHYDOXHVLQFHLWLVDDXWRPDWLF
YDULDEOHDQGJDUEDJHLQLVJDUEDJHRXW*,*2
&RQVLGHUWKHIROORZLQJH[DPSOH
LQWPDLQ
LQWORFDO JOREDO
HUURU7KHFRPSLOHUGRHVQRWNQRZYDULDEOHQDPH
JOREDO
DWWKLVSRLQW
LQWJOREDO
YRLGIXQ
LQWORFDO JOREDO
RN7KHFRPSLOHUNQRZVYDULDEOHQDPH
JOREDO
DWWKLVSRLQW
WRRYHUFRPHWKLVGHFODUHOLNHWKLVDVZHGLGLQFDVHRIIXQFWLRQV
H[WHUQLQWJOREDO
LQWPDLQ
LQWORFDO JOREDO
RN7KHFRPSLOHUQRZNQRZVYDULDEOHQDPH
JOREDODWWKLVSRLQW
LQWJOREDO
0RUHDERXWGHFODUDWRUV
&RQVLGHUWKHIROORZLQJGHFODUDWLRQ
VWDWLFLQWLM
WKLVGHFODUHVERWKLDQGMDVVWDWLFLQWHJHUV%XWWKHIROORZLQJ
LQW LM
GHFODUHVLDVLQWHJHUSRLQWHUDQGMDVDQLQWHJHU,QVKRUWWKH GHFODUHGLVDSSOLHGRQO\WR
WKH LPPHGLDWH GHFODUDWRU 7KH VSDFH EHWZHHQ WKH DQG GHFODUDWRU GRHVQ¶W PDNH DQ\
GLIIHUHQFH
LQW LM
,I\RXLQWHQGWRGHFODUHERWKLDQGMDVSRLQWHUVWRLQWHJHUVGRLWH[SOLFLWO\DVLQ
LQW L M
,I \RX ZDQW WR PDNH WKH GLVWLQFWLRQ FOHDU WR WKH UHDGHU RI WKH SURJUDP \RX FDQ
H[SOLFLWO\SXWLWOLNHWKLV
LQW LM
&RQVLGHUWKLVH[DPSOH
LQW LSS LSL
1RWHWKDWWKLVDOVREHFRPHVDQ H[DPSOH IRU UHGXQGDQW SDUHQWKHVLV ZKHUH SDUHQWKHVLV LV
XVHGIRUJURXSLQJ7KLVPD\KHOSDQGEHFOHDUHUWRDQRYLFHSURJUDPPHU
,QVKRUWWDNHFDUHWRPDNHVXUHWKDW\RXGHFODUHWKHGHFODUDWRUVFRUUHFWO\ZKHQPRUH
WKDQRQHVXFKLVGHFODUHGVHSDUDWHGE\FRPPDV
2UGHULQJ,Q'HFODUDWLRQV'HILQLWLRQV
$Q\RUGHURIW\SHPRGLILHUVVWRUDJHFODVVVSHFLILHUVLVDOORZHG7KXV
VWDWLFLQWXQVLJQHGFK
LQWVLJQHGH[WHUQL
FRQVWYRODWLOHLQWXQVLJQHGVWDWLFD
DUHOHJDO7KHRUGHUPD\FKDQJHDQGPDNHVQRGLIIHUHQFH6R
FRQVWYRODWLOHLQWXQVLJQHGVWDWLFD
LQWFRQVWVWDWLFYRODWLOHXQVLJQHGD
XQVLJQHGFRQVWVWDWLFYRODWLOHLQWD
DQGDOOWKHSRVVLEOHFRPELQDWLRQVDUHHTXLYDOHQW2QO\OHJDOFRPELQDWLRQV
DUH DOORZHG /HJDO FRPELQDWLRQV PHDQ WKDW WKH VHPDQWLFV RI WKH GHFODUDWLRQGHILQLWLRQ
VKRXOGEHPHDQLQJIXODQGYDOLG
XQVLJQHGLQWVLJQHGL
LQWLQWVKRUWL
GHFODUDWLRQVOLNHWKLVPDNHVQRVHQVHDQGZLOOIODJHUURU'HFODUDWRUVRFFXURQO\DWWKHHQG
RIGHFODUDWLRQVGHILQLWLRQVDQGWKXVFDQQRWEHPRYHGIRUZDUG
VWDWLFORQJLVLJQHG HUURU
6FRSHOLIHWLPHDQGYLVLELOLW\
:KHQHYHU \RX DUH GHFODULQJ D YDULDEOH \RX DXWRPDWLFDOO\ GHWHUPLQH WKH VFRSH
OLIHWLPH DQG YLVLELOLW\ 7KHVH WKUHH DUH LPSRUWDQW LVVXHV DVVRFLDWHG ZLWK DQ\ YDULDEOH
8QGHUVWDQGLQJ WKH SURSHU PHDQLQJ DQG XVDJH RI WKHVH FRQFHSWV LV HVVHQWLDO IRU JRRG
SURJUDPPLQJ
6FRSH
6FRSHLVGHILQHGDVWKHDUHDLQZKLFKWKHREMHFWLVDFWLYH7KHUHDUHILYHVFRSHVLQ
&7KH\DUH
3URJUDP6FRSH
7KH\DUHGHFODUDWLRQVDWWKHWRSPRVWOD\HUV7KH\DUHDYDLODEOHXSWRWKHOLIHRID
SURJUDP$OOWKHIXQFWLRQVKDYHWKLVVFRSH7KLVLVRWKHUZLVHNQRZQDVJOREDOVFRSH
)LOH6FRSH
,WKDVVFRSHVXFKWKDWLWPD\EHDFFHVVHGIURPWKDWSRLQWWRWKHHQGRIWKHILOH
YRLGGXPP\YRLG^`
DEVHQFHRIVWDWLFDXWRPDWLFDOO\JLYHVSURJUDPVFRSHWRGXPP\
VWDWLFYRLGGXPP\YRLG^`
VWDWLFNH\ZRUGKHUHJLYHVIQGXPP\DILOHVFRSH
)XQFWLRQ6FRSH
2QO\ ODEHOV KDYH WKLV VFRSH ,Q WKLV VFRSH WKH\ DUH DFWLYH XS WR HQG RI WKH
IXQFWLRQ
YRLGSULQW)XQ
SULQW
SULQWI³LLVOHVVWKDQM´
LQWPDLQ
LQWL M
LILM
JRWRSULQW
7KLVFRGHZLOOEHIODJJHGHUURUE\WKHFRPSLOHUVD\LQJWKDWWKHODEHOSULQWLVQRWNQRZQ
EHFDXVHODEHOVKDYHRQO\IXQFWLRQVFRSH,I\RXKDYHWRMXPSXQFRQGLWLRQDOO\EHWZHHQWKH
IXQFWLRQV\RXKDYHWRXVHVHWMPSORQJMPSIXQFWLRQV
%ORFN6FRSH
'HFODUDWLRQVWKDWDUHDFWLYHXSWRWKHHQGRIWKHEORFNZKHUHDEORFNLVGHILQHGDV
VWDWHPHQWVZLWKLQ^`$OOWKHGHFODUDWLRQVLQVLGHWKHIXQFWLRQKDYHRQO\EORFNVFRSH
LQWIXQLQWDLQWE
LQWF
LQWG
DEFGDOOKDYHEORFNVFRSH
$V,KDYHVDLGIXQFWLRQVFRSHDSSOLHVRQO\WRODEHOV6RVKRXOGQRWEHFRQIXVHG
ZLWK EORFN VFRSH 7KH IXQFWLRQ DUJXPHQWV DUH WUHDWHG DV LI WKH\ ZHUH GHFODUHG DW WKH
EHJLQQLQJ RI WKH EORFN ZLWK RWKHU YDULDEOHV UHPHPEHU WKDW WKH IXQFWLRQ ERG\ LV DOVR
FRQVLGHUHG DV D EORFN ZLWKLQ ^ ` 6R WKH IXQFWLRQ DUJXPHQWV KDYH EORFN VFRSH QRW
IXQFWLRQVFRSH
/RFDO VFRSH LV JHQHUDO XVDJH WR UHIHU WKH VFRSH WKDW LV HLWKHU IXQFWLRQ RU EORFN
VFRSH
3URWRW\SH6FRSH
7KH\ DUH KDYLQJ WKH VFRSH RQO\ LQVLGH WKH SURWRW\SH GHFODUDWLRQ 7KLV VFRSH LV
LQWHUHVWLQJEHFDXVHWKHYDULDEOHQDPHVDUHYDOLGRQO\LQWKHGHFODUDWLRQRISURWRW\SHDQG
GRHVQRWFRQIOLFWZLWKRWKHUYDULDEOHQDPHV ,W H[LVWVIRUYHU\OLWWOHWLPHDQGRIOHVVXVH
DQGVRJRHVXQQRWLFHG
HJLQWDGGLQWDIORDWE
+HUHWKHYDULDEOHVDDQGE DUHVDLGWRKDYHSURWRW\SHVFRSH
LQWELJLQWSLQWT
STKDYHSURWRW\SHVFRSHELJKDVJOREDOVFRSH
LQW[ \
[\KDYHILOHVFRSH
LQWELJLQWDLQWE
LQWWHPS
WHPSDEKDYHEORFNVFRSH
LIDE
JRWR5HWXUQ%
UHWXUQD
5HWXUQ%
5HWXUQ%KDVIXQFWLRQVFRSH
UHWXUQE
`
6HOHFWLQJ0LQLPDO6FRSH
:KHQDQDPHKDVWREHUHVROYHGWKDWQDPHLVVHDUFKHGLQWKHPLQLPDOVFRSHDQG
LIWKDWLVQRWDYDLODEOHLWLVVHDUFKHGDWKLJKHUOHYHOVRIVFRSH6RLIDYDULDEOHKDVWREH
GHFODUHG \RXKDYHWRVHOHFWDPLQLPDOVFRSHSRVVLEOH ,I \RXFDQOLPLW \RXUVFRSHWKDW
LQFUHDVHV WKH HIILFLHQF\ UHDGDELOLW\ DQG PDLQWDLQDELOLW\ RI \RXU SURJUDP ,I \RX ZDQW D
YDULDEOH ZKLFK LV QRW XVHIXO RXWVLGH D EORFN GHFODUH LW LQVLGH WKH EORFN DQG QRW LQ WKH
RXWHURQHV6LPLODUO\LI\RXZDQWDYDULDEOHZKRVHYDOXHZLOOEHDFFHVVHGRQO\ZLWKLQWKH
IXQFWLRQEXWKDVWRUHWDLQWKHYDOXHEHWZHHQWKHIXQFWLRQFDOOVRSWIRUVWDWLFYDULDEOHWRD
JOREDORQH
([HUFLVH
:KDWLVOH[LFDOVFRSHDQGLVLWUHODWHGZLWKWKHVFRSLQJGLVFXVVHGKHUH"
/LIH7LPH
,WLVWKHSHULRGRIWLPHWKHREMHFWDOORFDWHGVSDFHµOLYHV¶LHLWLVWKHWLPHLQZKLFK
WKHYDULDEOHLVDOORFDWHGVSDFHDOVRFDOOHGDVH[WHQW
LQWK
JOREDOVWDWLFOLIHWLPH
LQWIRR
LQWL
DXWRPDWLFOLIHWLPH
LQW M PDOORF

IUHHM
G\QDPLFOLIHWLPH
LQWN
DXWRPDWLFOLIHWLPH
M N
SULQWI³G´ M
SULQWV/LIHWLPHRINLVRIWKDWRIIXQFWLRQIRR
6WDWLF/LIHWLPH
7KH REMHFW OLYHV LH VWRUDJH UHPDLQV XS WR WHUPLQDWLRQ RI WKH SURJUDP DV LQ
JOREDOYDULDEOHV
LQWIRRLQWL
VWDWLFLQWM IRRL
UHWXUQM
ZKHQKDSSHQVZKHQFDOOHGZLWKIRR"5HWXUQVYDOXHWRWKHFDOOLQJIXQFWLRQ,WGRHV
QRWJRLQWRLQILQLWHORRS
)RUWKHILUVWWLPHWKH IXQFWLRQ IRR LV FDOOHG ZLWK DUJXPHQW DV WKH FRQWURO VHHV
WKHUHLVDVWDWLFYDULDEOHMWKDWLVWREHLQLWLDOL]HG)RUWKDWLWFDOOVIRRDJDLQZLWKLYDOXH
1RZ IRU WKH VHFRQG WLPH WKH FRQWURO HQWHUV WKH IXQFWLRQ IRR VLQFH VWDWLF YDULDEOH LV
FDOOHG DOUHDG\ IRU LQLWLDOL]DWLRQ LW H[HFXWHV UHWXUQ VWDWHPHQW $OO VWDWLF YDULDEOHV E\
GHIDXOW DUH LQLWLDOL]HG WR VR LW UHWXUQV DV WKH YDOXH RI M 7KH IXQFWLRQ UHWXUQ
EDFNVWRLQLWLDOL]HWKHMWR)LQDOO\IRRUHWXUQVWRWKHFDOOLQJIXQFWLRQZLWKYDOXH
$XWRPDWLF/LIHWLPH
7KHREMHFWOLYHVLHVWRUDJHUHPDLQVXSWRWHUPLQDWLRQRIWKHIXQFWLRQLQZKLFKLW
LVGHILQHGDVLQWKHFDVHRIORFDOYDULDEOHV
'\QDPLF/LIHWLPH
7KHOLIHLVFUHDWHGVWRUDJHDOORFDWHGDQGH[LWHGVWRUDJHGHOHWHGE\WKHZKLPVRI
WKH XVHU DV LQ WKH G\QDPLFDOO\ DOORFDWHG PHPRU\ $OWKRXJK G\QDPLF OLIHWLPHG\QDPLF
PHPRU\ DOORFDWLRQ LV WUHDWHG KHUH IDFLOLWLHVIXQFWLRQV KHUH VD\ PDOORF IXQFWLRQ
SURYLGHG LQ VWDQGDUG KHDGHU ILOHV DUH QRW FRQVLGHUHG DV SDUW RI WKH ODQJXDJH (YHQ LI
G\QDPLFOLIHWLPHPDNHVVHQVHWKDWLVZK\VRPHDXWKRUVGRQRWFRQVLGHUG\QDPLFOLIHWLPH
DVDW\SHRIOLIHWLPHLQ&
9LVLELOLW\
&RQFHSW RI YLVLELOLW\ FRPHV RQO\ EHFDXVH RI RYHUORDGLQJ RI QDPHV UHIHU WR
QDPHVSDFHV$QREMHFWLVVDLGWREHYLVLEOHDWDSRLQWLILWLVDFFHVVLEOHWKURXJKSURJUDP
FRGH$QREMHFWDVVRFLDWLRQPD\EHµKLGGHQ¶IURPRWKHUREMHFWDVVRFLDWLRQVGXHWRQDPH
VSDFHV
HJ ^
IORDWL
LLVDVVRFLDWHGZLWKIORDWW\SH
LQWL
LLVDVVRFLDWHGZLWKLQWW\SH
+HUH QDPH L ZLWK DVVRFLDWHG ZLWK IORDW REMHFW LV KLGGHQ LQVLGH WKH EORFN GXH WR
RYHUORDGLQJRIQDPHLZLWKLQWREMHFWDVVRFLDWLRQ
9LVLELOLW\9V6FRSH
9LVLELOLW\ PXVW QRW EH FRQIXVHG ZLWK VFRSH $OWKRXJK ERWK FRQFHSWV DUH UHODWHG
WKH\DUHGLVWLQFW
IORDWL
VFRSHRIIORDWLEHJLQVZLWKEORFNVFRSH
LQWL
LLVDVVRFLDWHGZLWKLQWW\SHDQGWKH
YLVLELOLW\RIIORDWLLVORVWEORFNVWLOOUHPDLQV
VFRSHRIIORDWLHQGV
7R SXW LW VLPSO\ YLVLELOLW\ LV WKH DFFHVVLELOLW\ RI WKH YDULDEOH ZKLOH VFRSH LV WKH
DYDLODELOLW\LIWKHYDULDEOH,QWKHDERYHH[DPSOHIORDWLLVVWLOODYDLODEOHLQVLGHWKHLQQHU
EORFNEXWLWFDQQRWEHDFFHVVHG
3RLQWWR3RQGHU
9LVLELOLW\FDQQRWH[FHHGVFRSHEXWVFRSHFDQH[FHHGYLVLELOLW\
6FRSH9V/LIHWLPH
6LPLODUO\VFRSHPXVWQRWEHFRQIXVHGZLWKOLIHWLPH
LQWIRR
LQW L3WU
LQWL
L3WU L
SULQWI³G´ L3WU
SULQWV

& LV D EORFNVWUXFWXUHG ODQJXDJH :KHQ WKH IXQFWLRQ UHWXUQV WR WKH FDOOLQJ
IXQFWLRQ WKH VWDFNIUDPH JHWV HUDVHG DQG VR DOO WKH ORFDO GDWD IRU WKDW IXQFWLRQ LV
GHVWUR\HG+RZHYHULWKDVWREHUHPHPEHUHGWKDWWKHVSDFHLVQRWHUDVHGDVWKHEORFNLV
H[LWHGDOWKRXJKWKHVFRSHRIWKDWYDULDEOHLVRYHUKHQFHEORFNVFRSH
,Q WKLV H[DPSOH µL¶ KDV EORFNVFRSH /LIHWLPH RI L GRHV QRW HQG ZLWK WKH H[LW RI
EORFN,QRWKHUZRUGVWKHVSDFHIRUµL¶UHPDLQVDOORFDWHGHYHQDIWHUWKHµ`¶RIWKHEORFNLV
UHDFKHG6RWKLVH[DPSOHVHUYHVDVWRGLIIHUHQWLDWHEHWZHHQVFRSHDQGOLIHWLPH
1RWH $OWKRXJKWKLVFRGHZRUNVZLWKRXWDQ\SUREOHPWKHIROORZLQJRQHPD\QRW
LQWIRR
LQW L3WU
LQWL
L3WU L
LQWN
SULQWI³G´ L3WU
PD\SULQW
RU
LQP\V\VWHPLWSULQWHG
`
7KLV LV EHFDXVH WKH VRPH RSWLPL]LQJ FRPSLOHUV PD\ UHDOORFDWH WKH PHPRU\ RI
YDULDEOH µL¶ WR µN¶ EHFDXVH WKH EORFN LV H[LWHG 'XH WR VXFK UHDOORFDWLRQV ZKLOH
RSWLPL]DWLRQVWKLVFRGHPD\QRWZRUNDVH[SHFWHG
3RLQWWR3RQGHU
$GHFODUDWLRQLQWURGXFHVDYDULDEOHWRDVFRSHQRWYLVLELOLW\RUOLIHWLPH
1DPH6SDFHV
,IYDULDEOHQDPHVDUHDYDLODEOHDIUHVKWRXVHDQGLQGHSHQGHQWRIRWKHUDVVRFLDWLRQV
WKH\DUHFDOOHGDVQDPHVSDFHV7RWHUPLQRWKHUZRUGVQDPHVSDFHLVWKHVFRSHZLWKLQ
ZKLFKDQLGHQWLILHUPXVWEHXQLTXH
,Q&QDPHVSDFHVDUHQRWVRSKLVWLFDWHG1HZQDPHVSDFHVDUHFUHDWHGLQIROORZLQJ
FDVHV
7DJQDPHVFUHDWHDQDPHVSDFH
VWUXFWQDPH
XQLRQQDPH
HQXPQDPH^LQWD`
FUHDWHVWKUHHVHSDUDWHQDPHVSDFHVVRLVYDOLG
2. 0HPEHUVRIVWUXFWXUHVXQLRQVFUHDWHDQDPHVSDFH
LQWQDPH
VWUXFWQDPH^LQWQDPH`
3. /DEHOVFUHDWHVHSDUDWHQDPHVSDFH
QDPH
LQWQDPH
LQWIRRLQWIRR
IRR
SULQWI³GÍRR
LVDOHJDOFRGHWKDWVKRZVKRZWKHQDPHVSDFHVFDQEHDQGVWLOOPDNHVHQVH
6LQFH FRPSLOHU FDQ NHHS WUDFN RI WKH OLVW RI GLIIHUHQW YDULDEOHV LQ VHSDUDWH OLVWV
WKHUH H[LVWV QR DPELJXLW\ LQ GLIIHUHQWLDWLQJ EHWZHHQ WKH XVDJH RI WKH YDULDEOHV 7KLV LV
FDOOHGDVRYHUORDGLQJRIQDPHVSDFHV
2YHUORDGLQJRIQDPHVLVDOORZHGZKHQQDPHVSDFHVDUHGLIIHUHQW
VWUXFWQDPH^LQWQDPH`QDPH
LV YDOLG EHFDXVH QDPH LV RYHUORDGHG LQ WKUHH GLIIHUHQW QDPH VSDFHV :H VD\ QDPH LV
RYHUORDGHGDQGWKHPHDQLQJLVUHVROYHGDFFRUGLQJWRWKHFRQWH[W
VWUXFWQDPHG
GQDPH
QDPHQDPH
LQ DOO WKUHH FDVHV WKH XVDJH PDNHV FOHDU GLVWLQFWLRQ IRU WKH FRPSLOHU RI ZKLFK QDPH LV
ZKLFKDQGKHQFHVDLGWKDWWKH\OLHLQGLIIHUHQWQDPHVSDFHV,QRWKHUZRUGVLWVKRXOGEH
FOHDUO\UHVROYDEOHWRWKHFRPSLOHUE\FRQWH[WZLWKRXWDPELJXLW\,IDQ\DPELJXLW\DULVHV
DQHUURULVIODJJHG
W\SHGHIVWUXFWGXPP\^LQWGXPP\`GXPP\
GXPP\GXPP\
HUURUDPELJXLW\ZKLFKGXPP\LVZKLFK"
HUURULVIODJJHGKHUHEHFDXVHWKHWDJQDPHVFUHDWHGE\W\SHGHIVVKDUHVDPHQDPHVSDFHDV
YDULDEOHQDPHV
3RLQWWR3RQGHU
'XSOLFDWHQDPHVDUHOHJDOIRUGLIIHUHQWQDPHVSDFHVLUUHVSHFWLYHRIVFRSH
/LQNDJH
,W LV FUHDWLQJ WKH FRUUHVSRQGLQJ OLQN EHWZHHQ WKH DFWXDO GHFODUDWLRQ DQG WKH
FRUUHVSRQGLQJREMHFWDQGWKHOLQNHUGRHVWKLVSURFHVV
1R/LQNDJH
1ROLQNDJHLQGLFDWHVWKDWWKHQDPHLVUHVROYHGDWFRQWH[WLWVHOIDQGQROLQNDJHLV
QHFHVVDU\WREHGRQHE\WKH FRPSLOHU7KHOLQNHU KDV QR MRE ZRUNLQJ RQ WKLV VR VDLG WR
KDYHQROLQNDJH$QH[DPSOHIRULVORFDOYDULDEOHV
LLVLQVLGHWKHEORFNDQGLVUHVROYHGLQVLGHWKH
EORFNLWVHOIDQGVRQROLQNDJHLVUHTXLUHG
LQWL
IRUL LL
D>L@
`
,QWHUQDO/LQNDJH
,W VSHFLILHV WKDW WKH QDPH WKDW VKRXOG EH OLQNHG LV ZLWKLQ WKH FXUUHQW WUDQVODWLRQ
XQLW VD\ FXUUHQW ILOH 6R LW VLPSOLILHV WKH MRE EHFDXVH LW NQRZV WKDW WKH GHILQLWLRQ LV
DYDLODEOHLQWKDWILOHLWVHOIDQGVRGRHVQRWKDYHWRORRNLQRWKHUILOHV
LQWL
PDLQ
SULQWI³G´L
KHUH WKH YDULDEOH QDPH L LV RI ILOH VFRSH VR LV DYDLODEOH RQO\ LQ WKH FXUUHQW WUDQVODWLRQ
XQLW6ROLQNHUVHDUFKHVDQGOLQNVZLWKWKHQDPHRQO\ZLWKLQWKHWUDQVODWLRQXQLW
([WHUQDO/LQNDJH
7KLV LQGLFDWHV WKDW WKH GHILQLWLRQ DYDLODEOH IRU WKH FRUUHVSRQGLQJ GHFODUDWLRQV
FDQEH DYDLODEOH DQ\ZKHUH RXWVLGH WKH FXUUHQW WUDQVODWLRQ XQLW ,W DV WKH NH\ZRUG H[WHUQ
LQGLFDWHV WKDW LW LV H[WHUQDO WR WKH FRPSLOHU DQG WKH FXUUHQW WUDQVODWLRQ XQLW DQG VR LV
EH\RQGWKHFRQWURORIFRPSLOHU
LQFOXGH³VRPHILOHK´
H[WHUQLQWRXW
LQWPDLQ
^
RXW
7KH OLQNHU KDV WR UHVROYH WKH QDPH µRXW¶ WKDW LV QRW GHILQHG LQ WKH FXUUHQW
WUDQVODWLRQXQLW6RLWLVVDLGWRKDYHH[WHUQDOOLQNDJH
([HUFLVH
:KDWW\SHRIOLQNDJHGR\RXWKLQNIXQFWLRQDUJXPHQWVKDYH"
([HUFLVH
:KDW DUH VWDWLF JOREDO DQG G\QDPLF OLQNDJHV DQG HDUO\ DQG ODWH ELQGLQJ LQ
SURJUDPPLQJODQJXDJHVSRLQWRIYLHZ"
6WRUDJH&ODVV
9DULDEOHV FDQ EH SXW LQWR VRPH FRPELQDWLRQ RI VFRSH OLIHWLPH DQG YLVLELOLW\ E\
XVLQJVRPHNH\ZRUGVDQGSODFLQJWKHPDSSURSULDWHO\DQGWKLVLVFDOOHGDVVWRUDJHFODVVRI
WKHYDULDEOH
%URDGO\ VSHDNLQJ WKHUH DUH RQO\ WZR VWRUDJH FODVVHV $XWR DQG VWDWLF 2WKHU
VWRUDJHFODVVHVDUHH[WHUQDQGUHJLVWHU
6WDWLF
'HSHQGLQJ RQ WKH FRQWH[W ZKHUH WKH VWDWLF GHFODUDWLRQ LV XVHG LW FDQ JLYH WZR
GLIIHUHQWPHDQLQJV
,IGHFODUHGDWJOREDOVFRSHLWPHDQVWKDWWKHYDULDEOHKDVILOHVFRSH
(J
VWDWLFP\SULQWIRQO\ILOHVFRSH
GHFODUHVWKDWP\SULQWIIXQFWLRQLVKDYLQJILOHVFRSHDQGLVQRWDFFHVVLEOHWRRWKHUILOHV
(J
LQWD JOREDOVFRSH
VWDWLFLQWE ILOHVFRSH
,I GHFODUHG ZLWKLQ D EORFN LW PHDQV WKDW WKH YDULDEOH LV KDYLQJ VWDWLF
OLIHWLPHEXWZLWKORFDOVFRSH
$VDZKROHWKHVWDWLFNH\ZRUGKHOSVLQOLPLWLQJ WKH YDULDEOHV WR ILOH VFRSH VXFK
WKDW FROOLVLRQ RI QDPHV DW WLPH RI OLQNDJH LV DYRLGHG ,Q RWKHU ZRUGV VWDWLF OLPLWV
YDULDEOHVWRLQWHUQDOOLQNDJH
$VWDWLFYDULDEOHZLWKORFDORUEORFNVFRSHFDQEHLQLWLDOL]HGZLWKWKHDGGUHVVRI
DQ\ H[WHUQDO RU VWDWLF LWHP EXW QRW ZLWK WKH DGGUHVV RI DQRWKHU DXWR LWHP %HFDXVH WKH
DGGUHVVRIDQDXWRLWHPLVQRWDFRQVWDQWVLQFHDXWRLWHPVDUHFUHDWHGLQVWDFNVDQGHUDVHG
DVWKHIXQFWLRQH[LWV
([WHUQ
µH[WHUQ¶LVXVHGIRUWZRPDLQSXUSRVHVLWFDQEHXVHGIRU
¾ IRUVSHFLI\LQJJOREDOOLQNDJHDQG
¾ IRUZDUGGHFODUDWLRQV
7KHILUVWXVHRIH[WHUQLVWRH[SOLFLWO\VSHFLI\WKDWWKHYDULDEOHLVD FDQGLGDWHIRU
H[WHUQDOOLQNDJH
H[WHUQLQWIRR
VSHFLILHVWKDWWKHIXQFWLRQIRRLVGHILQHGVRPHZKHUHHOVHDQGWKDWZLOOEHNQRZQRQO\DW
OLQNWLPH
)RU GHFODULQJ D IRUZDUG GHFODUDWLRQ IRU D VWUXFWXUH GHFODUH RQO\ WKH QDPH VD\
VWUXFW VRPH DQG ODWHU \RX FDQ JLYH WKH ERG\ %XW WKLV LV QRW SRVVLEOH LI \RX ZDQW WR
IRUZDUGGHFODUHDYDULDEOH)RUWKLVH[WHUQFRPHVKDQG\
H[WHUQLQWL
GHFODUHLLVGHILQHGVRPHZKHUHHOVH

LQWL
LUHVROYHVWRWKLVYDULDEOHL
7KLVLVUHVROYHGE\WKHOLQNHUDQGWKHSURJUDPPHUPD\KDYH
XVHGLWIRUIRUZDUGUHIHUHQFH
$XWR
$XWR NH\ZRUG VSHFLILHV WKDW WKH YDULDEOH LV RI DXWRPDWLF OLIHWLPH ,W LV QRW
LQVWUXFWLYH WR FRPSLOHU EXW IRU \RX WR MXVW UHPHPEHU WKDW LW LV RI DXWRPDWLF W\SH
3UDFWLFDOO\ LW VHUYHV QR SXUSRVH RI FRXUVH \RX NQRZ WKDW WKH YDULDEOHV GHFODUHG LQVLGH
IXQFWLRQV DUH DXWRPDWLF DQG WHOOLQJ H[SOLFLWO\ WKDW WKH YDULDEOH LV DXWR GRHVQ¶W KHOS \RX
DQ\ZD\
5HJLVWHU
<RX FDQ VSHFLI\ D ORFDO YDULDEOH DV UHJLVWHU LI \RX WKLQN WKDW YDULDEOH PD\ EH
DFFHVVHG IUHTXHQWO\ 7KH FRPSLOHU ZLOO WU\ WR SXW WKDW YDULDEOH LQ D PLFURSURFHVVRU
UHJLVWHULIRQHLVDYDLODEOH(OVHWKLVNH\ZRUGLVLJQRUHGDQGWUHDWHGDVLILWLVGHFODUHGDV
DXWR'HFODULQJVXFKIUHTXHQWO\XVHGYDULDEOHVWREHSODFHGLQUHJLVWHUVPD\RQO\OHDGWR
VPDOOSHUIRUPDQFHLPSURYHPHQW0RGHUQFRPSLOHUVZLOOHDVLO\ILQGRXWWKHYDULDEOHVWKDW
ZLOOEHIUHTXHQWO\DFFHVVHGDQGZLOOSODFHWKHPDFFRUGLQJO\7KLVLVDGHSUHFDWHGIHDWXUH
VRZLOOEHRPLWWHGLQIXWXUHYHUVLRQVRI&DQGVRLVQRWUHFRPPHQGHGWRXVH
,W LV LOOHJDO WR DSSO\ µ ¶ RSHUDWRU WR D UHJLVWHU YDULDEOH :K\ EHFDXVH ERWK WKH
SRLQWHUWKDWVWRUHVWKHDGGUHVVRIWKHYDULDEOHDQGWKHYDOXHLQWKDWDGGUHVVKDYHWREHLQ
WKH PHPRU\ IRU DSSO\LQJ DQG RSHUDWRUV 7KHQ RQO\ WKHVH RSHUDWLRQV UHPDLQ
PHDQLQJIXODQGYDOLG+RZHYHUUHJLVWHUYDULDEOHVPD\QRWEHLQDFWLYHPHPRU\ZKHQWKH
RSHUDWRUDSSOLHGDQGVR&SURKLELWVDSSO\LQJWKLVRSHUDWRURQUHJLVWHUYDULDEOHV
5HJLVWHU YDULDEOHV FDQ EH XVHG WR LPSURYH WKH SURJUDP HIILFLHQF\ /RRSLQJ
YDULDEOHVDUHJRRGFDQGLGDWHVIRUVXFKUHJLVWHURSWLPL]DWLRQV
UHJLVWHULQWL
IRUL L,17B0$;L
DUUD\$FFHVV>L@
,QVXFKFDVHVWKHHIILFLHQF\RIH[HFXWLRQFHUWDLQO\LQFUHDVHV,IDPHPRU\UHJLVWHU
LV QRW DYDLODEOH IRU SODFLQJ LW LQ PHPRU\ LW PD\ DWOHDVW SODFH WKH YDULDEOH LQ FDFKH
PHPRU\WKDWLVVWLOODQLPSURYHPHQWLQH[HFXWLRQVSHHG
$Q\ZD\XVLQJUHJLVWHUYDULDEOHVLVIRXQGWRVSHHGXSPDQ\SURJUDPVE\DIDFWRU
RIWZR
([HUFLVH
$IWHU UHDGLQJ WKLV SDUDJUDSK FDQ \RX UHDVRQ LW RXW ZK\ WKH UHJLVWHU YDULDEOHV
FDQQRWEHJOREDOVWDWLF"
([HUFLVH
&DQORFDOUHJLVWHUYDULDEOHVEHGHFODUHGH[WHUQ"
2PLVVLRQRI6WRUDJH&ODVVHV
,I YDULDEOHV RI ORFDO VFRSH DUH QRW JLYHQ D VWRUDJH DXWR FODVV LV DVVXPHG )RU
YDULDEOHV RXWVLGH IXQFWLRQV H[WHUQ LV DVVXPHG QRW VWDWLF 7KLV DSSOLHV WR XQGHFODUHG
IXQFWLRQVDOVR'HIDXOWVWRUDJHFODVVIRUDUUD\RIFKDULVVWDWLF
,WLVQRWSRVVLEOHWRKDYHPRUHWKDQRQHVWRUDJHFODVVVSHFLILHULQDGHFODUDWLRQ
W\SHGHIVWDWLFLQWL
IODJVHUURU1RWZRVWRUDJHFODVVHVFDQEHFRPELQHG
,VW\SHGHIDVWRUDJHFODVV"
,QLWLDOO\WKLVTXHVWLRQPD\QRWPDNHDQ\VHQVHDWDOOWR\RXEHFDXVHDOORIXVNQRZ
WKDWW\SHGHILVFRQFHUQHG ZLWKW\SHV DQGLWKDVQRWKLQJWR GR ZLWK VWRUDJH FODVVHV )LUVW
OHWVVHHWKHDQVZHU
<HVW\SHGHILVDOVRFRQVLGHUHGDVDVWRUDJHFODVVVSHFLILHU$VWKHJUDPPDUIRU&
VSHFLILHV
VWRUDJHFODVVVSHFLILHURQHRI
DXWRUHJLVWHUVWDWLFH[WHUQW\SHGHI
W\SHGHILVDVWRUDJHFODVV
$V [Kernighan and Ritchie 1988] VD\V WKLV FODVVLILFDWLRQ RI W\SHGHI
XQGHU VWRUDJH FODVV VSHFLILHU LV SXUHO\ IRU V\QWDFWLF FRQYHQLHQFH +HUH V\QWDFWLF
FRQYHQLHQFHPHDQV
¾ WR OLVW W\SHGHI ZLWK VWRUDJH FODVV VSHFLILHUV PDNHV JUDPPDU VLPSOH RU HOVH
DQRWKHUSURGXFWLRQLVQHHGHGWREHDGGHGWRWKHJUDPPDU
¾ ,WPDNHVHDV\WRFKHFNWKHUXOHVOLNHQRWZRVWRUDJHFODVVVSHFLILHUVFDQRFFXU
LQDGHFODUDWLRQ
VWDWLFH[WHUQLQWVWDW([WHUQ
HUURUVWDWLFDQGH[WHUQFDQQRWRFFXUWRJHWKHULQDGHFODUDWLRQ
WKHVDPHUXOHDSSOLHVWRW\SHGHI
W\SHGHIVWDWLFLQWVWDW,QW
GRHVQ¶WPDNHDQ\VHQVHKRZFDQDW\SHQDPHFDQQRWKDYHVWRUDJH
FODVVVSHFLILHU
0RUHRYHUGLVFXVVLRQRIWKLVTXHVWLRQKHOSVLQXQGHUVWDQGLQJWKDWJUDPPDULVWKH
ILQDO DXWKRULW\ IRU DQVZHULQJ VXFK TXHVWLRQV EHFDXVH LW LV WKH RQH WKDW GHVFULEHV WKH
ODQJXDJHLWVHOI7KHUHDUHIHZLQVWDQFHVZKHUHRQO\JRLQJWKURXJKJUDPPDURIODQJXDJH
JLYH \RX ILQDO DQVZHU DQG WKDW FDQQRW IDLO $QRWKHU VXFK H[DPSOH LV FRPSOH[
GHFODUDWLRQV,I\RXKDYHDQ\DUJXPHQWLQILQGLQJWKHPHDQLQJRIDFRPSOH[GHFODUDWLRQ
UHIHUJUDPPDU,WDOZD\VJLYHVWKHFRUUHFWDQGILQDODQVZHU
&RPSOH['HFODUDWLRQV
& LV LQIDPRXV IRU LWV FRPSOLFDWHG GHFODUDWLRQ V\QWD[ ZKHUH WKH EHJLQQHU ZLOO
FHUWDLQO\VWXPEOH&RPSOH[GHFODUDWLRQVDUHKDUGWRGHFRGHDQGXQGHUVWDQG+RZHYHULW
LV DQ HVVHQWLDO DUHD WR PDVWHU EHFDXVH \RX PD\ UHTXLUH LW LQ UHDO SURJUDPPLQJ
DSSOLFDWLRQV
7KHUH LV D VLPSOH WUDGLWLRQDO WHFKQLTXH DYDLODEOH FDOOHG DV µFORFNZLVH¶ UXOH
>%LQVRFN @³7DNH DQ\ GHFODUDWLRQ VWDUW ZLWK WKH LQQHUPRVW SDUHQWKHVLV LQ WKH
DEVHQFHRISDUHQWKHVLVVWDUWZLWKWKHGHFODUHGLWHP¶VQDPHDQGZRUNFORFNZLVHWKURXJK
WKHGHFODUDWLRQJRLQJWRWKHULJKWILUVW³
&RQVLGHU
YRLG [>@
$VWKHUXOHVD\VVWDUWIURPWKHLQQHUPRVWSDUHQWKHVLVWDNHRQO\ [>@QRZ,Q
WKDW SDUW VWDUW ZLWK WKH YDULDEOH QDPH KHUH LW LV [ :RUN FORFNZLVH DQG UHDG LW [ LV DQ
DUUD\>@RISRLQWHU7KHQFRQWLQXHUHDGLQJUHPDLQLQJSDUWVWRIXQFWLRQUHWXUQLQJW\SH
YRLG5HDGLQJLWIXOO\LWFRPHVRXWWKDW[LVDQDUUD\>@RISRLQWHUWRIXQFWLRQUHWXUQLQJ
W\SHYRLG
7KLVUXOHZRUNVIRUDOOGHFODUDWLRQVRI[Kernighan and Ritchie 1978]
LQWKHDEVHQFHRITXDOLILHUVOLNHFRQVWDQGYRODWLOH
+RZHYHU ZKHQ WKHVH TXDOLILHUV FRQVW YRODWLOH DUH LQYROYHG WKHUH LV QR
µVKRUWFXW¶IRUUHDGLQJWKHGHFODUDWLRQ(YHQWKRXJKVKRUWFXWVFDQKHOSIRUVRPHH[WHQWLWV
EHWWHU WR UHO\ RQ JUDPPDU WR KHOS ZKLFK LV WKH IRUPDO ZD\ DQG FDQ QHYHU IDLO 7KH
SURGXFWLRQVDVVRFLDWHGZLWKWKLVSUREOHPRIGHFRGLQJWKHFRPSOH[GHFODUDWLRQVDUH
GHFODUDWRU
¶VRSW GLUHFWGHFODUDWRU
GLUHFWGHFODUDWRU
LGHQWLILHU
GHFODUDWRU
GLUHFWGHFODUDWRU>FRQVWDQWH[SUHVVLRQRSW@
GLUHFWGHFODUDWRULGHQWLILHUOLVWRSW
/LVWHGKHUHDUHWZRSURGXFWLRQVIRUQRQWHUPLQDOVGHFODUDWRUDQGGLUHFWGHFODUDWRU
1RQWHUPLQDOVPHDQWKDWWKH\GRQRWPDNHSDUWRIWKHUHVXOWEXWWKH\DUHWRROVIRUJHWWLQJ
WKH UHVXOW ,Q WKH SURGXFWLRQV WKH RWKHU QRQWHUPLQDOV DUH FRQVWDQWH[SUHVVLRQ DQG
SDUDPHWHUW\SHOLVW ZKLFK PHDQ WKDW WKH\ LQ WXUQ ZLOO KDYH RWKHU SURGXFWLRQV DQG WKH\
ZLOOEHLQWKH/+6RSWVSHFLILHVWKDWWKHSDUWLFXODUSDUWLVRSWLRQDO
7RSDUVHDQ\FRPSOH[GHFODUDWLRQVMXVWVWDUWZLWKWKHQRQWHUPLQDOGHFODUDWRUDQG
UHSODFH WKDW QRQWHUPLQDO ZLWK WKH 5+6 RI WKH SURGXFWLRQ ,Q D SURGXFWLRQ LI WKHUH DUH
PRUHWKDQRQHDOWHUQDWLYHWRFKRRVHIURP5+6DVLQWKHFDVHRIGLUHFWGHFODUDWRUVHOHFW
WKHEHVWPDWFKWKDWILWV \RXU LQSXW *R RQ UHSODFLQJ WKH QRQWHUPLQDOV XQWLO DOO WKH QRQ
WHUPLQDOVDUHUHSODFHGZLWKWHUPLQDOVDQGWKHSURFHVVRIUHSODFLQJLVWKHUHTXLUHGUHVXOW
IRUXV
,QLWLDOL]DWLRQ
,QLWLDOL]DWLRQ LV VHWWLQJ WKH YDOXHV LQ WKH REMHFW DW WKH WLPH ZKHQ WKH REMHFWV DUH
DOORFDWHGVSDFH
,QLWLDOL]DWLRQPD\EHH[SOLFLWRULPSOLFLW
*OREDO9DULDEOHV
*OREDO YDULDEOHV DUH LQLWLDOL]HG LPSOLFLWO\ 7KH\ DUH LQLWLDOL]HG WR ]HUR VLQFH WKH
DOORFDWLRQLVPDGHDWWKHFRGHVHJPHQW
JOREDOVFRSH
IORDWI
I
LQWL
L
VWUXFW^LQWDIORDWEÈ
ED EE
XQLRQ^LQWDIORDWEÈ
EE LHDOOWKHVSDFHVDUH]HUR
GRXEOH L
L 18//
LQWD>@
D>@ D>@ D>@
7KH DXWRPDWLF LQLWLDOL]DWLRQ LV DVVXUHG E\ WKH VWDQGDUG DQG VR LQLWLDOL]LQJ WKHP
DJDLQOLNH
LQWL
LVUHGXQGDQWDQG,GRQ¶WUHFRPPHQGWRXVHOLNHWKLV
7KHVDPHUXOHVDSSO\IRUVWDWLFYDULDEOHVDVIRUWKHJOREDOYDULDEOHVIRUH[DPSOH
WKHLQLWLDOL]DWLRQFDQQRWLQYROYHH[SUHVVLRQV
/RFDO9DULDEOHV
/RFDOYDULDEOHVRQWKHRWKHUKDQGDUHQRWLQLWLDOL]HGDXWRPDWLFDOO\VLQFHWKH\DUH
DOORFDWHG VSDFH LQ VWDFN IUDPHV 7KHUHIRUH FDUH VKRXOG EH WDNHQ WR LQLWLDOL]H WKHP
PDQXDOO\8QOLNHJOREDOYDULDEOHVWKH\FDQEHLQLWLDOL]HGZLWKH[SUHVVLRQV
LQWL M L
WKLVZLOOLVVXH DQ HUURU LI WKLV GHFODUDWLRQ LV LQ JOREDO VFRSH EXW QR SUREOHP LI WKLV LV LQ
EORFN VFRSH 7KLV LV SRVVLEOH EHFDXVH WKH FUHDWLRQ DQG VR LQLWLDOL]DWLRQ RI WKH ORFDO
YDULDEOHVDUHGRQHDWUXQWLPHLQVWDFNIUDPHV
$UUD\V
IRUL LL
DUU>L@
7KLVPHWKRGRIWUDYHUVLQJWKHDUUD\DQGLQLWLDOL]LQJLWLVQRWHIILFLHQW
LQWDUU>@ ^`
JLYHV WKH FXUW ZD\ WR LQLWLDOL]H DOO HOHPHQWV WR ]HUR 7KLV WHFKQLTXH IRU
LQLWLDOL]DWLRQLVSRVVLEOHDWWKHSRLQWRIGHFODUDWLRQRQO\ ,QWKRVHFDVHVPHPVHW FRPHV
KDQG\
YRLG PHPVHWYRLG VWULQWFKVL]HBWQ
,WVHWVQE\WHVRIVWUWRFKDUDFWHUFK7KHGLIIHUHQFHLVWKDWWKHLQLWLDOL]DWLRQZLWK
^`LVGRQHDWFRPSLOHWLPHDQGPHPRU\VHWE\ PHPVHW LV DW UXQWLPH 6R LW LV HIILFLHQW
DQGUHOLDEOHWRXVHWKHIRUPHUPHWKRGZKHQHYHUSRVVLEOH
$UUD\VFDQEHLQLWLDOL]HGZLWKYDOXHVJLYHQZLWKLQFXUO\EUDFHV,IWKHLQLWLDOL]DWLRQ
OLVW FRQWDLQV PHPEHUV OHVV WKDQ WKH DYDLODEOH PHPEHUV GR WKH UHPDLQLQJ PHPEHUV DUH
LQLWLDOL]HGWR]HUR
,W LV DQ HUURU WR LQLWLDOL]H DQ DUUD\ ZLWK PRUH WKDQ WKH SRVVLEOH HOHPHQWV 2QH
H[FHSWLRQ IRU WKLV UXOH LV FKDUDFWHU DUUD\V EHFDXVH WKH REMHFWLYH PD\ EH WR KDYH QRW D
VWULQJEXWDVHTXHQFHRIFKDUDFWHUV
FKDUYRZHOV>@ DHLRX
LVYDOLG1RVSDFHIRU
?
VRQRW18//WHUPLQDWHG
7KHLQLWLDOL]DWLRQOLVWPD\FRQWDLQFRQVWDQWH[SUHVVLRQV
,QWHUHVWLQJO\HQRXJKWKH[Kernighan and Ritchie 1988] GLGQRWKDYH
RSWLRQIRUDUUD\LQLWLDOL]DWLRQLQVLGHWKHIXQFWLRQV7KHUHDVRQZDVWKDWWKHVWDFNIUDPHVDUH
DOORFDWHGDWUXQWLPHDQGLIWKHDUUD\VKDYHWREHLQLWLDOL]HGWKHFRGHKDVWREHJHQHUDWHGIRU
WKDW
LQWJOREDO$UU>@ ^`
QRFRGHLVJHQHUDWHGDQGJHWVLQLWLDOL]HGLQ
LQLWLDOL]HGGDWDVHJPHQW
LQWIXQ
LQWORFDO$UU>@ ^`
RN$16,&FRGHLVJHQHUDWHGIRULQLWLDOL]LQJµDUU¶
DQGJHWVLQLWLDOL]HGZKHQVWDFNIUDPHLVFUHDWHG
6WDWLFLQWVWDWLF$UU>@ ^`
VLPLODUO\QRFRGHLVJHQHUDWHG
7KHFRGHJHQHUDWHGLVEXON\WKDW¶VZK\WKHLQLWLDO[Kernighan and Ritchie
1988] GLG QRW KDYH WKDW IHDWXUH /DWHU[ANSI C 1988] DGGHG WKLV IHDWXUH DOWKRXJK LW
UHVXOWVLQLQFUHDVHGFRGHVL]H
'LIIHUHQFH%HWZHHQ,QLWLDOL]DWLRQDQG$VVLJQPHQW
,W LV JRRG WR UHPHPEHU WKDW LQ FDVH RI ORFDO YDULDEOH GHFODUDWLRQV WKH FRPSLOHU
PD\SRVWSRQHDOORFDWLQJPHPRU\XQWLOWKHYDULDEOHLVUHIHUHQFHGRQFH7KLVJLYHVULVHWR
WKH FRQFHSW RI HDUO\ DQG ODWH LQLWLDOL]DWLRQ 3UDFWLFDOO\ LQ & ODWH LQLWLDOL]DWLRQV FDQ EH
WUHDWHGDVDVVLJQPHQWV
LQWL M
HDUO\LQLWLDOL]DWLRQ

M
ODWHLQLWLDOL]DWLRQKHUHVDPHDVDVVLJQPHQW
+HUH ZKHQ GHILQLQJ LWVHOI L LV LQLWLDOL]HG WR 6R LW LV VDLG WR EH KDYH HDUO\
LQLWLDOL]DWLRQ+RZHYHULQWKHFDVHRIMZHLQLWLDOL]HLWDIWHUVRPHWLPHDQGZHFDOOLWDV
ODWHLQLWLDOL]DWLRQ
'HSHQGLQJ RQ WKH VLWXDWLRQ \RX FDQ IROORZ HLWKHU HDUO\ RU ODWH LQLWLDOL]DWLRQ
+RZHYHULWLVHDV\WRGHFODUHDYDULDEOHDQGIRUJHWWRLQLWLDOL]HLWEHIRUHXVLQJLW6RLWLV
UHFRPPHQGHGWRXVHHDUO\LQLWLDOL]DWLRQZKHQHYHUSRVVLEOH
:KHQ D YDOXH LV VWRUHG LQWR D PHPRU\ ORFDWLRQ DV VRRQ DV LWV LV FUHDWHG LW LV
LQLWLDOL]DWLRQ$VVLJQPHQWLVVWRULQJDYDOXHDIWHUWKHPHPRU\ORFDWLRQLVFUHDWHG7KLVLV
WKHSULPDU\GLIIHUHQFH$QRWKHUGLIIHUHQFHLVWKDWWKHWDUJHWRILQLWLDOL]DWLRQLVDOZD\VDQ
XQLQLWLDOL]HGORFDWLRQZKHUHDVIRUDVVLJQPHQWLWFDQEHHLWKHULQLWLDOL]HGRUXQLQLWLDOL]HG
,QFDVHRIVWDWLFDQGJOREDOYDULDEOHVWKHGLIIHUHQFHLVWKDWWKHLQLWLDOL]DWLRQYDOXHV
DUHVWRUHGLQWKHDUHDVOLNHLQLWLDOL]HGGDWDVHJPHQWDV\RXKDYHVHHQLQWKHVWUXFWXUHRID
&SURJUDPLQPHPRU\7KHFRPSLOHUGRHVWKLVZRUNZKHUHDVFRGHLVJHQHUDWHGIRUWKH
DVVLJQPHQWVWDWHPHQWV7KLVPDNHVOLWWOHHIILFLHQF\GLIIHUHQFHEHWZHHQLQLWLDOL]DWLRQDQG
DVVLJQPHQW
LQWM
JOREDOYDULDEOHDQGDOORFDWHGLQ%66
VWDWLFLQWL
LLVDOORFDWHGVSDFHDQGVWRUHGLQLWLDOL]HGGDWDVHJPHQW

M
FRGHLVJHQHUDWHGWRVWRUHYDOXHLQM
([FHSW WKHVH PLQXWH GLIIHUHQFHV WKHUH LV QR ELJ GLIIHUHQFH EHWZHHQ LQLWLDOL]DWLRQ
DQGDVVLJQPHQWLQPRVWRIWKHFDVHV DQGFDQEH XVHG LQWHUFKDQJHDEO\ $Q H[DPSOH IRU
WKLVLVWKHQHJOLJLEOHGLIIHUHQFHEHWZHHQVWRULQJWKHYDOXHLQWRLDQGMZHVDZQRZ
/HWVVHHIHZFDVHVZKHUHRQO\LQLWLDOL]DWLRQFDQEHGRQHDQGQRWWKHDVVLJQPHQW
,QWKHFDVHRILQLWLDOL]LQJWKHFRQVWDQWYDULDEOHV
FRQVWLQWL
DQG
FRQVWLQWL
L
HUURU6RERWKDUHQRWHTXLYDOHQW
6LQFHWKHUHDGRQO\YDULDEOHVFDQRQO\EHLQLWLDOL]HGDQGWKHDVVLJQPHQWKDSSHQV
WRYLRODWHWKHUHDGRQO\QDWXUHWKHGLIIHUHQFHLVHYLGHQW
,QWKHFDVHRILQLWLDOL]DWLRQRIVWULQJFRQVWDQWVWRFKDUDFWHUDUUD\V
FKDUVWU>@ ³VWULQJ´
DQG
FKDUVWU>@
VWU ³VWULQJ´
HUURU6RERWKDUHQRWHTXLYDOHQW
7KH FDVH ZKHQ WKH VWUXFWXUHXQLRQ FRQWDLQV D FRQVW PHPEHU &RQVLGHU WKH
FRGH
VWUXFWWHPS^
FRQVWLQWL
`
VWUXFWWHPSV ^`W
W V
HUURUOYDOXHVSHFLILHVDFRQVWDQWREMHFW
WL
HUURUOYDOXHVSHFLILHVDFRQVWDQWREMHFW
)XQFWLRQGHFODUDWLRQ9V)XQFWLRQFDOOV
7KHFRPSLOHUFDQHDVLO\ILQGWKHGLIIHUHQFHEHWZHHQWKHIXQFWLRQGHFODUDWLRQDQGD
FDOOLIWKHVWDWHPHQWFRQWDLQVDQ\RIWKHNH\ZRUGVOLNHLQWVWDWLFHWF
VWDWLFLQWVRPH)XQFKDU
LV FOHDUO\ D IXQFWLRQ GHFODUDWLRQ EHFDXVH WKH IXQFWLRQ FDOO FDQ RQO\ FRQWDLQ WKH YDULDEOH
QDPHVFRQVWDQWVDQGFDQQRWLQYROYHZLWKVXFKNH\ZRUGV6LPLODUO\
FOUVFU
LQWPDLQ
^
VRPHWKLQJKHUH
LQWKLVFDVHWKHFOUVFULVWKHGHFODUDWLRQRIWKHIXQFWLRQWKDWKDVLPSOLFLWDVVXPSWLRQRI
WKHLQWW\SHDVUHWXUQW\SHDQGWKDWWKHIXQFWLRQFDQWDNHDQ\QXPEHURIDUJXPHQWV
:KHQ LW LV QRW FOHDU LI WKH IXQFWLRQ GHFODUDWLRQ RU D IXQFWLRQ FDOO WKH FRPSLOHU
JLYHVWKHEHQHILWRIGRXEWWRWKHIXQFWLRQFDOODQGWKXVUHVROYHVWRIXQFWLRQFDOODVLQ
LQWPDLQ
FOUVFU
,QWKLVFDVHDV\RXFDQVHHWKLVFDQEHDIXQFWLRQGHFODUDWLRQLWLVDIXQFWLRQFDOO
WUHDWLQJLWDVDVWDWHPHQW7KHUHIRUHWKHFRPSLOHUUHVROYHVLWWRDIXQFWLRQFDOO
23(5$7256(;35(66,216DQG&21752/)/2:
2IDOOWKHWKLQJV\RXZHDU
\RXUH[SUHVVLRQLVWKHPRVWLPSRUWDQW
-DQHW/DQH
([SUHVVLRQV DUH WKH IXQGDPHQWDO PHDQV RI PDQLSXODWLQJ WKH YDOXH RI D GDWD $Q
H[SUHVVLRQLVDVHWRIGDWDREMHFWVDQGRSHUDWRUVWKDWFDQEHHYDOXDWHG$Q\H[SUHVVLRQLQ&
FDQEHPDGHLQWRDVWDWHPHQWE\DSSHQGLQJDVHPLFRORQZLWKLW
/YDOXHVDQG5YDOXHV
$QREMHFWLVDUHJLRQRIPHPRU\WKDWFDQEHH[DPLQHGDQGVWRUHGLQWR$OYDOXHLV
DQH[SUHVVLRQWKDWUHIHUVWRDQREMHFWLQVXFKDZD\WKDWWKHREMHFWPD\EHDOWHUHGDVZHOO
DV H[DPLQHG 7UDGLWLRQDOO\ OYDOXHV DUH YDULDEOHV WKDW DSSHDU RQ WKH /+6 RI RSHUDWRU
7KH\FDQDSSHDUERWKDV/+6RU5+6SDUWRIDQH[SUHVVLRQ
([DPSOH QDPHV RI YDULDEOHV GHFODUHG WR EH RI DULWKPHWLF SRLQWHU DQG
HQXPHUDWLRQW\SHV
6RPHRSHUDWLRQVRQQRQOYDOXHVFDQSURGXFHOYDOXHV
+RZHYHUQRWHYHU\OYDOXHPD\EHXVHGIRUDVVLJQPHQW7KH\DUHQRQPRGLILDEOH
OYDOXHV $ IXQFWLRQ QDPH LV DQ OYDOXH KRZHYHU \RX FDQQRW PRGLI\ LW VR LV D QRQ
PRGLILDEOH OYDOXH $QRWKHU H[DPSOH LV DQ DUUD\ QDPH ZKLFK LV D SRLQWHU FRQVWDQW DQG
FDQQRWEHPRGLILHG
$Q H[SUHVVLRQ WKDW SHUPLWV H[DPLQDWLRQ EXW QRW DOWHUDWLRQ RI DQ REMHFWYDOXH LV
FDOOHGWKHUYDOXH ,WFDQEHXVHGRQWKH5+6RIDQH[SUHVVLRQ6RPHWLPHVUYDOXH LV WKH
YDOXHVWRUHGLQDGGUHVVRIGDWDREMHFW
([DPSOHQDPHGFRQVWDQWVQDPHVRIDUUD\VDQGHQXPHUDWLRQFRQVWDQWV
7U\WKHH[SUHVVLRQOLNHDDQG\RXZLOOJHWDFRPSLOHUHUURU7KLVLVEHFDXVH
LWLVWUHDWHGDVDVLQFHWKHSRVWIL[WDNHVSUHFHGHQFHWRWKHSUHIL[DLVD
UYDOXHDQGSUHIL[WULHVWRRSHUDWHRQLWUHVXOWLQJLQDQHUURU
1RWH 7KLV H[DPSOH DVVXPHV WKDW µD¶ LV MXVW D OYDOXH DQG LW LV QRW RI DQ\ SRLQWHU W\SH
&RQVLGHUWKHFRGH
FKDU S &DOZD\VKDYHVRPHZD\DURXQG S
S S
ZKLOH S
?

S
+HUHWKHH[SUHVVLRQ SLVSHUIHFWO\YDOLG S\LHOGVDQOYDOXHDQGSUHIL[
RSHUDWHVRQWKDWOYDOXHVRLVYDOLG
3RLQWWR3RQGHU
$OOOYDOXHVDUHUYDOXHVEXWWKHFRQYHUVHGRHVQ¶WKROG
([HUFLVH
VWUXFWFRQVW6WUXFW^
LQWL
FRQVWLQWM
QRWHFRQVWKHUH
`
LQWPDLQ
VWUXFWWHPSWHPS
WHPSL
WHPSM
,Q JHQHUDO GR \RX DJUHH ZLWK WKH VWDWHPHQWV ÍRU VWUXFWXUHV DQG XQLRQV WR EH
PRGLILDEOH OYDOXHV WKH\ PXVW QRW KDYH DQ\ PHPEHUV ZLWK WKH FRQVW DWWULEXWH´ DQG
³RSHUDWLRQVRQWKHVWUXFWXUHVDQRQOYDOXHPD\\LHOGDQOYDOXH´"
([HUFLVH
%RWKWKHQRQPRGLILDEOHOYDOXHVDQGUYDOXHVGRQ¶WDOORZDVVLJQPHQWWREHGRQHRQ
WKHPWKHQZKDWLVWKHGLIIHUHQFHEHWZHHQWKHP"
'LIIHUHQFHEHWZHHQRSHUDWRUVDQGSXQFWXDWRUV
8QOLNH RSHUDWRUV SXQFWXDWRUV GR QRW VSHFLI\ DQ RSHUDWLRQ WR EH SHUIRUPHG WKH\
KDYHVSHFLDOPHDQLQJVLQ&VRXUFHWH[WDQGKHOSVWKHFRPSLOHUWRXQGHUVWDQGWKHSURJUDP
)RU H[DPSOH FRORQ LV D SXQFWXDWRU DQG QRW DQ RSHUDWRU WKDW FRPHV DIWHU ODEHOV DQG
FDVHVWDWHPHQWVLQVZLWFKWKDWKHOSVWKHFRPSLOHULQXQGHUVWDQGLQJWKHLQWHQGHGPHDQLQJ
RIWKHSURJUDP&HUWDLQRSHUDWRUVDOVRZRUNDVSXQFWXDWRUVGHSHQGLQJRQWKHFRQWH[W$Q
H[DPSOH LV WKDW KHOSV WR JURXS WKH H[SUHVVLRQV +HUH LW DFWV DV SXQFWXDWRU ,W DFWV DV
RSHUDWRU LQ IXQFWLRQ FDOO $QRWKHU H[DPSOH LV FRPPD RSHUDWRU WKDW LV XVHG LQ
H[SUHVVLRQV DQG ZKHQ XVHG LQ IRU ORRSV RU IXQFWLRQ GHFODUDWLRQV ZRUN DV SXQFWXDWRU
VRPHWLPHVFDOOHGDVVHSDUDWRU
SXQFWXDWRU RQHRI
>@^`
¶$ULW\·RI2SHUDWRUV
7KHQXPEHURIRSHUDQGVDQRSHUDWRUWDNHVLVNQRZQDVµDULW\¶RIRSHUDWRUV
DQG DUHWKHRSHUDWRUVWKDWKDYHEHXVHGERWKDVXQDU\DQGELQDU\RSHUDWRUV"LVWKH
RQO\RSHUDWRUWKDWWDNHVWKUHHRSHUDQGVWKDWVZK\LWLVµWHUQDU\¶RSHUDWRU
([HUFLVH
:KDWLVWKHµDULW\¶RIFRPPDRSHUDWRU"
8QDU\([SUHVVLRQV
,WLVRIRSHUDWRUVWKDWWDNHRQO\RQHRSHUDQG
¾ 1DPHVDQG/LWHUDOV
7KH YDOXH RI QDPH GHSHQGV RQ LWV GDWD W\SH ZKLFK LV GHWHUPLQHG E\ WKH
GHFODUDWLRQRIWKDWQDPH7KHQDPHLWVHOILVFRQVLGHUHGDVDQH[SUHVVLRQDQGLVDQOYDOXH
$OLWHUDOLVDQXPHULFFRQVWDQWZKHQH[HFXWHGDVDQH[SUHVVLRQ\LHOGVWKDWFRQVWDQWDVLWV
YDOXH
¾ 3DUHQWKHVL]HGDQG6XEVFULSW([SUHVVLRQV
>@GRW!RSHUDWRUVFRPHLQWKHWRSRIWKHRSHUDWRUSUHFHGHQFHKLHUDUFK\
$ SDUHQWKHVL]HG H[SUHVVLRQ FRQVLVWV RI DQ RSHQ SDUHQWKHVLV DQ H[SUHVVLRQ
IROORZHG E\ D FORVLQJ SDUHQWKHVLV 7KH YDOXH RI WKLV LV WKH YDOXH RI WKH HQFORVHG
H[SUHVVLRQDQGZLOOEHDQOYDOXHLIDQGRQO\LIWKHHQFORVHGH[SUHVVLRQLVDQOYDOXH7KH
SUHVHQFHRISDUHQWKHVLVGRHVQRWDIIHFWZKHWKHUWKHH[SUHVVLRQLVDQOYDOXHRUQRW
¾ &RPSRQHQW6HOHFWLRQ([SUHVVLRQV
&RPSRQHQWVHOHFWLRQRSHUDWRUVDUHXVHGWRDFFHVVILHOGVRIWKHVWUXFWXUHDQGXQLRQ
W\SHV7KH\DUHGRWDQG!RSHUDWRUV
VWUXFWVWXGHQW^
LQWUROO1R
FKDUQDPH>@
` VWXGHQW3WUVWXGHQW
VWXGHQWUROO1R
GRWRSHUDWRUWRDFFHVVWKHPHPEHU
VWXGHQW!UROO1R
ERWKDUHHTXLYDOHQW
6LQFHGRWRSHUDWRULVKDYLQJKLJKHUSUHFHGHQFHRYHU LQGLUHFWLRQRSHUDWRUD
SDUHQWKHVLV EHFRPHV QHFHVVDU\ DV LQ VRPHWKLQJPHPEHU %XW WKLV UHTXLUHV FOXPV\
V\QWD[ RI XVLQJ SDUHQWKHVLV HYHU\ WLPH WR GHUHIHUHQFH WKH PHPEHU 7R DYRLG WKLV !
RSHUDWRU ZDV LQWURGXFHG VRPHWKLQJ!PHPEHU LV WKH VKRUWFXW IRU VRPHWKLQJPHPEHU
,QDQ\FDVH DQG!ERWKDUHHTXLYDOHQW
VWXGHQW3WU!UROO1R
XVLQJDUURZRSHUDWRUWRDFFHVVWKHPHPEHU
VWXGHQW3WUUROO1R
ERWKDUHHTXLYDOHQWSDUHQWKHVLVLVQHFHVVDU\KHUHEHFDXVH LV
KDYLQJOHVVHUSULRULW\WKDQGRW
¾ )XQFWLRQ&DOOV
$IXQFWLRQFDOOFRQVLVWVRIDSRVWIL[H[SUHVVLRQWKHIXQFWLRQH[SUHVVLRQ
¾ 3RVW,QFUHPHQW'HFUHPHQW([SUHVVLRQV
7KH SRVWIL[ RSHUDWRU SHUIRUPV WKHVH RSHUDWLRQV UHVSHFWLYHO\ D VLGH HIIHFW
SURGXFLQJRSHUDWLRQ7KHRSHUDQGPXVWEHDQOYDOXHDQGPD\EHRIDQ\RILQWHJUDOW\SH
7KH FRQVWDQW LV DGGHGVXEWUDFWHG WR WKH RSHUDQG PRGLI\LQJ LW 7KH UHVXOW LV WKH ROG
YDOXHRIWKHRSHUDQGEHIRUHLWZDVLQFUHPHQWHGGHFUHPHQWHG7KLVYDOXHLVQRWDQOYDOXH
¾ 7\SH&DVWLQJ
$ FDVW H[SUHVVLRQ FDXVHV WKH RSHUDQG YDOXH WR EH FRQYHUWHG WR WKH W\SH QDPHG
ZLWKLQ WKH SDUHQWKHVLV 7KH UHVXOW LV QRW DQ OYDOXH 6RPH LPSOHPHQWDWLRQV LQ & LJQRUH
FHUWDLQFDVWVZKRVHRQO\HIIHFWLVWRPDNHDYDOXHQDUURZHUWKDQQRUPDO
¾ 8QDU\0LQXV3OXV
7KHXQDU\RSHUDWRUFRPSXWHVWKHDULWKPHWLFQHJDWLRQRILWVRSHUDQG7KHRSHUDQG
PD\ EH DQ\ RI WKH DULWKPHWLF W\SH 7KH XVXDO XQDU\ FRQYHUVLRQV DUH SHUIRUPHG RQ WKH
RSHUDQG7KHUHVXOWLQQRWDQOYDOXH
,H[ ±[
HUURU/YDOXHUHTXLUHG
8QDU\SOXVRSHUDWRULVLQWURGXFHGLQ$16,&IRUV\PPHWU\ZLWKXQDU\PLQXV,WLV
WKHRQO\GXPP\RSHUDWRULQ&GXPP\RSHUDWRUPHDQVQHLWKHULWZLOOKDYHHIIHFWLQWKH
SURJUDP QRU WKH FRPSLOHU ZLOO JHQHUDWH DQ\ FRGH 7KLV LV GXH WR WKH PXOWLSOLFDWLYH
SURSHUW\RIVLJQHGQXPEHUVLQPDWKHPDWLFV
LQWQHJDWLYH SRVLWLYH
SULQWI³GG´QHJDWLYHSRVLWLYH
QHJDWHVSULQWV
SULQWI³GG´QHJDWLYHSRVLWLYH
QRHIIHFWSULQWV
7KHUHLVDQLQWHUHVWLQJTXHVWLRQWRDVNDERXWFRQVWDQWV,V±WKHQHJDWLYH
LQWHJHUFRQVWDQWRUDFRQVWDQWH[SUHVVLRQDQH[SUHVVLRQFRQWDLQLQJ±XQDU\PLQXV
DSSOLHGWR"
)RUILQGLQJWKHDQVZHUOHWVH[SHULPHQWZLWKVRPHVDPSOHYDOXHV
LQP\V\VWHPVL]HRILQW
QRWHUDQJHRIE\WHLQWLV±WR
SULQWI³G´VL]HRI
SULQWV6LQFHLVLQSRVLWLYHUDQJHRILQW
LWFDQEHVWRUHGLQDQLQW
SULQWI³G´VL]HRI
SULQWV6LQFHLVEH\RQGWKHSRVLWLYHUDQJHRILQW
LWFDQ¶WEHVWRUHGLQDQLQW,WUHTXLUHVORQJVRLWSULQWV
7KHVLPLODUORJLFFDQEHDSSOLHGWRWKHQHJDWLYHYDOXHVDOVR:HGRQ¶WNQRZLIQHJDWLYH
YDOXHVDUHWUHDWHGDVLQWHJHUFRQVWDQWVRUFRQVWDQWH[SUHVVLRQV
SULQWI³G´VL]HRI
SULQWV%RWKDQGDUHLQYDOLGUDQJHRILQW
VRZHFDQQRWILQGRXWLILWLVDQHJDWLYHLQWHJHUFRQVWDQWRU
DFRQVWDQWH[SUHVVLRQ
SULQWI³G´VL]HRI
SULQWV,I±ZHUHWUHDWHGDVQHJDWLYHLQWHJHUFRQVWDQWLW
VKRXOGKDYHSULQWHGEHFDXVHLWLVLQYDOLGLQWHJHUUDQJH
FDQQRWEHUHSUHVHQWHGVRSURPRWHGWRLQWHJHUDQG±RSHUDWRU
LVDSSOLHGRQLW6RWKHRQO\SRVVLELOLW\LVWKDWWKLVLVD
FRQVWDQWH[SUHVVLRQ
6R WKH UHVXOW RI IURP WKLV H[SHULPHQW LV WKDW WKH ± PLQXV VLJQ LQ WKH FRQVWDQWV
PDNHVLWDFRQVWDQWH[SUHVVLRQ
,I\RXZDQWWRWDNHDGYDQWDJHWKDWWKHYDOXHEHUHSUHVHQWHGLQLQWHJHULWVHOI
EHFDXVHLWLVLQYDOLGLQWHJHUUDQJHXVHH[SOLFLWFDVWLQJ
SULQWI³G´VL]HRILQW
SULQWV1RORVVRILQIRUPDWLRQVLQFHWKLVYDOXHFDQEH
UHSUHVHQWHGLQDQE\WHLQWHJHU
¾ 1HJDWLRQ
7KH XQDU\ RSHUDWRU FRPSXWHV WKH ORJLFDO QHJDWLRQ RI LWV RSHUDQG 7KH RSHUDQG
PD\EHDQ\RIWKHVFDODUW\SH7KHUHVXOWRIWKHRSHUDWRULVRIW\SHLQW
7KH XQDU\ RSHUDWRU a FRPSXWHV WKH ELWZLVH QHJDWLRQ RI LWV RSHUDQG 7KH RSHUDQG
PD\EHDQ\RIWKHLQWHJUDOW\SH(YHU\ELWLQWKHELQDU\UHSUHVHQWDWLRQUHVXOWLVWKHLQYHUVH
RIZKDWLWZDVLQWKHRSHUDQG7KHUHVXOWLVQRWDQOYDOXH
7KHIROORZLQJH[DPSOHVKRZVWKHUHODWLRQVKLSEHWZHHQWKH±XQDU\PLQXVDQGa
ELWZLVHQHJDWLRQRSHUDWRUV7KHVHUHODWLRQVDUHGXHWRWKHQDWXUHRIWZR
VFRPSOHPHQW
DULWKPHWLF
LQWL
LIL aL L aL
SULQWI7KLVLVDOZD\VJHWSULQWHG´
7KLVVKRZVWKHHTXLYDOHQFHEHWZHHQWKHVHRSHUDWRUV
EHFDXVHRIWKHVLPSOHUHDVRQWKDWaSURGXFHVRQHV
FRPSOHPHQW
LQWZRV
FRPSOHPHQWPDFKLQHV
$QRWKHUUHODWLRQLVEHWZHHQWKHaDQGAH[RURSHUDWRUV
aD AD
WKHUHDVRQEHLQJWKDWLVUHSUHVHQWHGDVDOO
VDQGH[RULQJLWZLWKWKHYDULDEOH
LVVDPHDVRQHVFRPSOLPHQW
¾ $GGUHVVRI
7KH XQDU\ RSHUDWRU UHWXUQV D SRLQWHU WR LWV RSHUDQG ZKLFK PXVW EH D OYDOXH
1RQH RI WKH XVXDO FRQYHUVLRQV DUH UHOHYDQW WR WKH RSHUDWRU DQG LWV UHVXOW LV QHYHU DQ
OYDOXH
¾ ,QGLUHFWLRQ
7KH XQDU\ RSHUDWRU SHUIRUPV LQGLUHFWLRQ RSHUDWLRQ WKURXJK D SRLQWHU 7KH
RSHUDWRU LV WKH LQYHUVH RI DQG YLFHYHUVD 7KH FRQYHUWHG RSHUDQG PXVW EH D SRLQWHU
DQGWKHUHVXOWLVDQOYDOXHUHIHUULQJWRWKHREMHFWZKLFKWKHRSHUDQGSRLQWV
LQWL
M L
DVVLJQVLWRM
+HUH RSHUDWRU FUHDWHVD UHIHUHQFHDQG GHUHIHUHQFHVLW7KLVVHTXHQFH FDQ EH
DSSOLHGDQ\QXPEHURIWLPHVDQGFDQEHDVVLJQHGXQWLOWKHW\SHVRI/+6DQG5+6DJUHH
7KHUXQWLPHHIIHFWRIDSSO\LQJLQGLUHFWLRQRSHUDWRUWRDQXOOSRLQWHULVXQGHILQHG
¾ 3UH,QFUHPHQW'HFUHPHQW
7KH XQDU\ RSHUDWRU SHUIRUPV WKHVH RSHUDWLRQV UHVSHFWLYHO\ D VLGH HIIHFW
SURGXFLQJRSHUDWLRQ7KHRSHUDQGPXVWEHDQOYDOXHDQGPD\EHRIDQ\RILQWHJUDOW\SH
7KDWLVZK\H[SUHVVLRQVVXFKDVDUHQRWYDOLG7KHFRQVWDQWLVDGGHGVXEWUDFWHG
WRWKHRSHUDQGDQGWKHUHVXOWVWRUHGEDFNLQWKHOYDOXH7KHUHVXOWLVWKHQHZ YDOXHRIWKH
RSHUDQGEXWLVQRWDQOYDOXH
$Q\QXPEHURIXQDU\RSHUDWRUVPD\RSHUDWHRQDQRSHUDQGSURYLGHGLWLVOHJDO
LQWL VD\LQWWDNHVE\WHV
L aVL]HRIL
SULQWI³G´L SULQWV
7KHXQDU\RSHUDWRUVHYDOXDWHIURPULJKWWROHIW,QWKLVFDVHVL]HRIL !7KHQ
DSSO\LQJWRLWPDNHVaLVLV7KHUHIRUHJHWVSULQWHG
6L]HRI
7KH VL]HRI RSHUDWRU LV XVHG WR REWDLQ WKH VL]H RI D W\SH RU GDWD REMHFW 6L]HRI
RSHUDWRULVDVSHFLDORSHUDWRULQ&EHFDXVH
&ODQJXDJHLVWKHODQJXDJHLQZKLFKWKHVL]HRIDGDWDW\SHPD\GLIIHUDFFRUGLQJ
WR WKH XQGHUO\LQJ PDFKLQH DQG WR WDFNOH WKLV SUREOHP LQ D SRUWDEOH ZD\ WKLV RSHUDWRU LV
UHTXLUHG
¾ LWLVWKHRQO\RSHUDWRUHYDOXDWHGHQWLUHO\DWFRPSLOHWLPH
¾ LWDOVRLVDNH\ZRUG
,WWDNHVWZRIRUPV
¾ VL]HRIIROORZHGE\SDUHQWKHVL]HGW\SHQDPHDQG
¾ VL]HRIIROORZHGE\DQRSHUDQGH[SUHVVLRQ
7KHW\SHQDPHVKRXOGQRWEH
¾ IXQFWLRQW\SH
¾ QDPHRIDUUD\W\SHRIQRH[SOLFLWOHQJWKLQFRPSOHWHW\SH
¾ W\SHYRLG
LQWL VL]HRILQW

RNSDUDQWKHVL]HGW\SHQDPH
LQWM VL]HRILQW
HUU RUW\SHQDPHVXVHGLQVL]HRIVKRXOGEHSDUDQWKHVL]HG
6LPLODUO\
LQWIXQ
UHWXUQ
LQWPDLQ
SULQWI³G´VL]HRIIRR
HUURU
RNEHFDXVHLWEHFRPHVDQH[SUHVVLRQ
ZKHQIXQFWLRQFDOOVDUHLQYROYHGLWVW\SHLVLWVUHWXUQW\SH
7KHUHVXOWRIDSSO\LQJVL]HRIRSHUDWRUWRDQH[SUHVVLRQFDQDOZD\VEHGHGXFHGDW
FRPSLOH WLPH E\ H[DPLQLQJ WKH W\SH RI WKH REMHFWV LQ WKH RSHUDQG WKXV WKH H[SUHVVLRQ
LWVHOI LV QRW FRPSLOHG LQWR H[HFXWDEOH FRGH ,Q RWKHU ZRUGV WKH H[SUHVVLRQ ZLWKLQ WKH
VL]HRIRSHUDWRUDUHQRWHYDOXDWHGEXWSDUVHGIRUILQGLQJLWVW\SH+HQFHDQ\VLGHHIIHFWV
WKDWPLJKWEHSURGXFHGE\WKHH[HFXWLRQZLOOQRWWDNHSODFH)RUHJ
N VL]HRIM
ZLOODVVLJQVRPHYDOXHWRNEXWZLOOQRWLQFUHPHQWM
7KH RSHUDQGV WKDW FDQQRW EH XVHG LQ WKLV RSHUDWRU DUH IXQFWLRQ W\SH LQFRPSOHWH
W\SHDQGELWILHOGV
:KHQ DUUD\ QDPH LV DSSOLHG WR VL]HRI RSHUDWRU WKHQ WKH UHVXOW LV WKH VL]H RI WKH
DUUD\7KHUHWXUQW\SHRIVL]HRILVVL]HBWWKDWLVGHILQHGLQVWGGHIK!
:KHQWKHVWULQJFRQVWDQWLVJLYHQDVSDUDPHWHULWUHWXUQVWKHQXPEHURIFKDUDFWHUV
LQWKDWVWULQJ
VL]HRIDEFG
SULQWVQRWEHFDXVH
?
FKDUDFWHULVLQFOXGHG
)RUSRLQWHUWRDQDUUD\LWLVVL]HRIWKHSRLQWHUW\SH
$PDFURWRILQGWKHGLPHQVLRQRIDQDUUD\FDQEHGHILQHGDVIROORZV
GHILQH',0DUUD\W\SHVL]HRIDUUD\VL]HRIW\SH
LQWDUU>@
SULQWI³7KH GLPHQVLRQ RI WKH DUUD\ LV G´ ',0DUU
LQW
SULQWV
VL]HRI FDQ WDNH SDUW LQFRQVWDQW H[SUHVVLRQV 7KLV LV EHFDXVHLW LVHYDOXDWHG DQG UHSODFHGDW
FRPSLOHWLPH
([HUFLVH
&RPPHQWRQWKHRXWSXWRIWKHIROORZLQJFRGH
2XWSXWZDVVL]HRIDUU>@ DQGLWKDVHOHPHQWV
LQWVL]HLQWDUU>@^
SULQWI³VL]HRIDUU>@ GDQG´VL]HRIDUU
UHWXUQVL]HRIDUUVL]HRILQW
PDLQ^
LQWDUU>@
SULQWI³LWKDVGHOHPHQWV´VL]HDUU
([HUFLVH
:KDWLVWKHRXWSXWIRUWKHIROORZLQJFRGHVHJPHQW"
YRLGIXQ
%LQDU\([SUHVVLRQV
7KHVHDUHH[SUHVVLRQLQYROYLQJWZRRSHUDQGV
¾ 0XOWLSOLFDWLYH
7KHPXOWLSOLFDWLYHRSHUDWRUVDUH 7KHRSHUDQGVDUHRIDULWKPHWLFW\SHIRU
DQGZKLOHLQWHJUDOW\SHIRUFRPSXWHVTXRWLHQWZKHUHDVFRPSXWHVUHPDLQGHU
7KHEDVLFUXOHWRIROORZZKLOHSUHGLFWLQJWKHUHVXOWLV
&RQGLWLRQ
D DE EDE
&RQGLWLRQ
DEVDEDEVE
1RFRQIXVLRQDULVHVLIERWKWKHRSHUDQGVDUHSRVLWLYH ,IDQ\RIWKHRSHUDQGVDUH
QHJDWLYHLWLVDVVXUHGWKDWFRQGLWLRQRQO\KROGV
& IROORZV µ(XOHULDQ¶ DULWKPHWLF 7R DYRLG DPELJXLW\ DOZD\V XVH XQVLJQHG RU
SRVLWLYHLQWHJHUVDVRSHUDQGV
7KHIROORZLQJLVWKHUHODWLRQEHWZHHQDQG RSHUDWRUV
DE D E
,QWHUHVWLQJO\HQRXJKPD\DOVR\LHOGGLYLGHE\]HURHUURU
¾ $GGLWLYH
$GGLWLYHRSHUDWRUVDUHDQG2SHUDQGVRIVKRXOGHLWKHUERWKEHDULWKPHWLFRU
RQH LV DULWKPHWLF DQG DQRWKHU LV SRLQWHU 1R RWKHU RSHUDQGV DUH DOORZHG %RWK WKH
RSHUDQGV PD\ EH RI W\SH SRLQWHUV RU DULWKPHWLF W\SH IRU VXEWUDFWLRQ 7KH IROORZLQJ LV D
IDPRXVH[DPSOHIRUVZDSSLQJWZRYDOXHVZLWKRXWXVLQJDQ\WHPSRUDU\YDULDEOHV
YRLGVZDSLQW LLQW M
L L M
M L± M
L L± M
+RZHYHU VXFK H[DPSOHV RI VZDSSLQJ WKH WZR YDULDEOHV VHUYH RQO\ IRU DHVWKHWLF
SXUSRVHRQO\QRWSUDFWLFDOO\
GHILQH6,=(
LQWL
LQWDUU>6,=(@ ^`
IRUL L6,=(L
VZDS DUU>L@ DUU>6,=(L@
IRUL L6,=(L
SULQWI³G³DUU>L@
SULQWV
7KHPLGGOHHOHPHQWDUU>@FRQWDLQVQRZ:KDWKDSSHQHG"
7KHSUREOHPLVQRWZLWKWKHDUUD\LWLVZLWKWKHVZDSSLQJIXQFWLRQ:KHQHOHPHQWVWREH
VZDSSHG KDSSHQV WR UHIHU WR WKH VDPH ORFDWLRQ WKH VZDSSLQJ IDLOV <RX FDQ YHULI\ WKLV
IDFWE\WKHIROORZLQJH[DPSOH
LQWL
VZDS L L
SULQWI³G´L
SULQWV
1RWH WKDW WKLV SUREOHP ZRXOG KDYH JRQH XQQRWLFHG ZLWK WHVWLQJ GRQH RQO\ RQ DUUD\V
FRQWDLQLQJHYHQQXPEHURIHOHPHQWVDVLQ
LQWDUU>6,=(@ ^`
7KH PRUDO LV WKDW SURSHU WHVWLQJ VKRXOG EH PDGH DQG PRVW RI WKH SRVVLEOH FDVHV LI
SRVVLEOHDOOKDYHWREHFRQVLGHUHGEHIRUHUHVRUWLQJWRDQ\VROXWLRQ
¾ 6KLIW
7KHELQDU\RSHUDWRULQGLFDWHVDOHIWVKLIWDQG!!LQGLFDWHVDULJKWVKLIW7KH\
DUH OHIW DVVRFLDWLYH 7KH RSHUDQGV IRU WKHVH PXVW EH RI LQWHJUDO W\SH 7KH XVXDO
FRQYHUVLRQVDUHSHUIRUPHGVHSDUDWHO\RQHDFKRSHUDQGDQGWKHW\SHRIWKHUHVXOWLVWKDWRI
WKHFRQYHUWHGOHIWRSHUDQG
7KHYDOXHRIH[SH[SLVH[SOHIWVKLIWHGH[SELWVLQDEVHQFHRYHUIORZWKH
HTXLYDOHQWLVPXOWLSOLHGE\H[S,QFDVHRIH[S!!H[SWKHYDOXHLVH[SULJKWVKLIWHG
H[S ELWV RU LV HTXLYDOHQW WR GLYLGLQJ E\ H[S LI H[S LV XQVLJQHG RU LI LW KDV D QRQ
QHJDWLYH YDOXH ,I H[S LV D VLJQHG QXPEHU WKH UHVXOW GHSHQGV LI WKH LPSOHPHQWDWLRQ
IROORZVDULWKPHWLFRUORJLFDOVKLIWGHSHQGLQJRQFRPSLOHUKDUGZDUH
LQWL
VD\VL]HRILQW VRLVUHSUHVHQWHGDV
L!!
VKLIWLRQFHE\ULJKWLEHFRPHV"
,I WKH ELW LQGLFDWHG E\ " LV ILOOHG ZLWK WKH YDOXH RI WKH VLJQ ELW ZH VD\ LW LV
DULWKPHWLFVKLIW,IE\GHIDXOWLWLVILOOHGZLWKVLQWKHYDFDWHGVSDFHZHFDOOLWDVORJLFDO
VKLIW
x $ULWKPHWLF6KLIW
7KH06%LVILOOHGZLWKWKHFRS\RIVLJQELWSUHVHUYLQJWKHVLJQRIWKHYDOXH
x /RJLFDO6KLIW
7KH06%LVILOOHGZLWK]HURWKXVPRGLI\LQJWKHVLJQRIWKHYDOXH
6RLWLVDOZD\VVDIHUWRXVHXQVLJQHGVKRUWRULQWIRUULJKWVKLIW
,Q!!WKHULJKWRSHUDQGVKRXOGQRWEHODUJHUWKDQWKHVL]HRIWKHREMHFW
(J!!
XQSUHGLFWDEOHUHVXOWLIVL]HRILQW
&RGHVHJPHQWWRGHPRQVWUDWHWKHSURSHUW\RIDULWKPHWLF
DQGORJLFDOILOOZKLOHXVLQJULJKWVKLIWRSHUDWRU
DQGWKHSURSHUW\WKDWFKDUDFWHUVPD\EHVLJQHGRUXQVLJQHG
FKDUFK
XQVLJQHGFKDUFK
SULQWI³FK GFK G?Q´FKFK
FK!!
FK!!
LIFK FK
SULQWI'HIDXOW FKDU W\SH LQ P\ V\VWHP LV
XQVLJQHG
HOVH
SULQWI'HIDXOW FKDU W\SH LQ P\ V\VWHP LV VLJQHG
LQRXUV\VWHPLWSULQWHG
FK FK
'HIDXOWFKDUW\SHLQP\V\VWHPLVVLJQHG
¾ 5HODWLRQDO
7KH RSHUDWRUV ! ! LQGLFDWH FRPSDULVRQ (LWKHU WKH RSHUDQGV PD\ EH RI
DULWKPHWLF W\SH RU ERWK PD\ EH RI WKH VDPH SRLQWHU W\SH 7KH UHVXOW LV HLWKHU RU )RU
SRLQWHURSHUDQGVWKHUHVXOWGHSHQGVRQWKHUHODWLYHORFDWLRQZLWKLQWKHDGGUHVVVSDFHRIWKH
WZRREMHFWVSRLQWHGWRWKHUHVXOWLVSRUWDEOHRQO\LIWKHREMHFWSRLQWHGWROLHZLWKLQWKHVDPH
DUUD\
&RPSDULVRQVOLNHLMNLVYDOLGLQWUDGLWLRQDOPDWKHPDWLFV,WDOVRORJLFDOO\PDNHV
VHQVHWKHDLPLVWRVHHLILLVVPDOOHUWKDQMDQGLVLQWXUQVPDOOHUWKDQN
7KLV H[SUHVVLRQ LV DOVR D YDOLG & H[SUHVVLRQ EXW \LHOGV DQ XQOLNHO\ UHVXOW )RU LM
UHVXOW LV HLWKHU RU 7KLV UHVXOWLQJ YDOXH LV FRPSDUHG ZLWK N ZKLFK \LHOGV ZURQJ UHVXOW
H[FHSWLINLVQRWRU
¾ (TXDOLW\
7KHRSHUDWRUV DQG LQGLFDWHHTXDOLW\FRPSDULVRQ(LWKHUWKHRSHUDQGVPD\EH
ERWKRIDULWKPHWLFW\SHRUERWKPD\EH RI WKH VDPH SRLQWHU W\SH RU RQH RI WKH RSHUDQG
PD\EHDSRLQWHUDQGWKHRWKHUDFRQVWDQWLQWHJHUH[SUHVVLRQZLWKYDOXH7KH UHVXOWLV
DOZD\VRIWKHW\SHRILQWHJHUHLWKHURU
¾ %LWZLVH
7KHVH RSHUDWRUV SHUIRUP ELWZLVH PDQLSXODWLRQ 7KH RSHUDQGV XVHG PXVW EH RI
LQWHJUDOW\SH7KHUHVXOWLVWKDWRIWKHFRQYHUWHGRSHUDQGV7KHRSHUDWRUVDUH ADQG_
&RQVLGHUWKHSUREOHPRIFOHDULQJDSDUWLFXODUELWLQDQLQWHJHU
LQW[
[ [)))(
DLPVWRUHVHWWKHILUVWELW
+RZHYHU WKLV VXIIHUV D SRUWDELOLW\ SUREOHP 7KLV VHWWLQJ DVVXPHV WKDW \RXU
PDFKLQHKDVWKHLQWHJHUVL]HRIE\WHVKHQFHLWFOHDUVDOOWKHELWVUHPDLQLQJ
6RWKHVROXWLRQLVWRUHZULWHFRGHOLNHWKLV
[ a[
7KLVGRHVQRWDVVXPHDQ\WKLQJDERXWWKHLQWHUQDOLQWVL]HDQGSRUWVZHOO
¾ /RJLFDO
7KH RSHUDWRUV DQG _ _ DUH XVHG IRU ELQDU\ ORJLFDO RSHUDWLRQV 7KH\ DFFHSW
RSHUDQGV RI DQ\ VFDODU W\SH 7KHUH LV QR FRQVWUDLQW EHWZHHQ WKH W\SHV RI WKH WZR
RSHUDWRUV7KHW\SHRIUHVXOWLVDOZD\VLQWHJHUHLWKHURU
7KH%RROHDQH[SUHVVLRQLQYROYLQJWKHVHRSHUDWRUVDUHH[HFXWHGRQO\DVIDUDVLWLV
UHTXLUHG WR GHWHUPLQH WKH WUXWKYDOXH RI WKH H[SUHVVLRQ ,W GHULYHV IURP WKH ORJLFDO IDFW
WKDWWKHUHLVQRSRLQWLQFRQWLQXLQJHYDOXDWLQJWKHWUXWKYDOXHRIWKH%RROHDQH[SUHVVLRQ
RQFH LW LV GHWHUPLQHG DQG FDQQRW FKDQJH DIWHU WKDW 6R WKH UHPDLQLQJ H[SUHVVLRQ LV
DEDQGRQHG 7KLV DOVR WR LPSURYHV HIILFLHQF\ EHFDXVH XQQHFHVVDU\ FRPSXWDWLRQV DUH
DYRLGHG)RUH[DPSOH
LQWL
LIL __L
SULQWI³L G´L
SULQWVL
L
LIL L
HOVH
SULQWI³L G´L
SULQWVL
7DNH WKH ILUVW FDVH L LV WUXH DQG WKH IROORZLQJ RSHUDWRU LV __ WUXH __ DQ\WKLQJ LV
WUXH6RWKHUHPDLQLQJH[SUHVVLRQZLOOQRWEHHYDOXDWHG6RL LVQRWH[HFXWHG DQG
WKH UHVXOW LV HYLGHQW E\ WKH RXWSXW IURP SULQWI VWDWHPHQW 6LPLODUO\ L LV IDOVH DQG WKH
IROORZLQJRSHUDWRULV ,WVWUXWKYDOXHLVGHWHUPLQHGIDOVH DQ\WKLQJLVIDOVH7KH
UHPDLQLQJ H[SUHVVLRQ LV QRW HYDOXDWHG DQG WKLV LV HYLGHQW E\ WKH YDOXH RI L LQ SULQWI
VWDWHPHQW
7HUQDU\2SHUDWRU
7KH FRQGLWLRQDO RSHUDWRU " LV NQRZQ DV WKH WHUQDU\ RSHUDWRU DV LW WDNHV WKUHH
RSHUDQGVDQGLVWKHRQO\RSHUDWRULQ&WKDWWDNHVWKUHHRSHUDQGV
,ILWVRSHUDQGVDUHRIGLIIHUHQWW\SHVW\SHFRQYHUVLRQWDNHVSODFH
&RQGLWLRQDO RSHUDWRU KDV ULJKW WR OHIW DVVRFLDWLYLW\ 7KLV FDQ EH VKRZQ ZLWK DQ
H[DPSOHRIDVLPSOHIXQFWLRQWRILQGELJJHVWRIJLYHQWKUHHQXPEHUV
LQWELJJHVW2I7KUHHLQWDLQWELQWF
UHWXUQD!E"D!F"DFE!F"EF

D!E"D!F"DFE!F"EF

7KHQXPEHULQJVDQGSDUHQWKHVLVVKRZZKLFKµ"¶LVOLQNHGWRZKLFKµ¶
&RQGLWLRQDO RSHUDWRU FDQ EH SODFHG RQ WKH OHIWKDQG VLGH RI WKH DVVLJQPHQW
RSHUDWRULIWKHUHVXOWLQJYDULDEOHVDUHOYDOXHV6RH[SUHVVLRQVOLNH
D!E"DE
LVYDOLG
,WLVWKHVKRUWFXWIRULIWKHQHOVHVWDWHPHQWZLWKDVLQJOHVWDWHPHQW$VDQH[DPSOH
OHWXVVHHKRZHIILFLHQWO\FDQLWEHXVHGLQLPSOHPHQWLQJµDVVHUW¶PDFUR
7KHµDVVHUW¶PDFURLVXVHGWRYHULI\FHUWDLQFRQGLWLRQVLQWKHSURJUDPDQGUHSRUWLI
WKHFRQGLWLRQIDLOVDQGVRDFWVDVDGHEXJJLQJWRRO7KHDGYDQWDJHRIXVLQJWKH DVVHUWLV
WKDWGHILQLQJ1'(%8*ZLOOUHPRYHDOOWKHDVVHUWVWDWHPHQWVIURPWKHVRXUFHFRGH(YHQ
DIWHUGHEXJJLQJLVRYHUWKHDVVHUWVWDWHPHQWVEHFRPHDGRFXPHQWDWLRQIRUWKHFRQGLWLRQV
WREHDVFHUWDLQHGDQGEHFRPHVDKHOSIXOWRROIRUPDLQWHQDQFH
2QHSRVVLEOHLPSOHPHQWDWLRQXVLQJFRQGLWLRQDORSHUDWRULVDVIROORZV
LIQGHI1'(%8*
GHILQHDVVHUWFRQGFRQG"ISULQWI
VWGHUUDVVHUWLRQIDLOHGVILOHVOLQHG
?QFRQGBB),/(BBBB/,1(BBDERUW
HOVH
GHILQHDVVHUWFRQG
HQGLI
8VLQJFRQGLWLRQDORSHUDWRULQWKHSODFHRILIKDVWKHDGYDQWDJHRIEHLQJYHU\FXUW
DQG GRHV QRW KDYH WKH SUREOHP RI

LI PDWFKLQJ QHDUHVW HOVH
LV DYRLGHG 7R HODERUDWH
FRQVLGHULWZHUHLPSOHPHQWHGXVLQJLIWKHQWKHUHLVDFKDQFHWKDWLWZLOOFDXVHSUREOHPV
ZKHQDVVHUWPDFURLVXVHGLQLIHOVHVWDWHPHQWV
GHILQHDVVHUWFRQGLIFRQG?
ISULQWIVWGHUUDVVHUWLRQIDLOHGVILOHV?
OLQHG?QFRQGBB),/(BBBB/,1(BBDERUW
DQGFDOOHGZLWK
LQWL
LIL
DVVHUWL
EXJKHUHLQLPSOHPHQWLQJDVVHUW
HOVH
SULQWI7KLVSDUWEHFRPHVHOVHRILILQDVVHUW
WKLVSULQWHG
7KLVSDUWEHFRPHVHOVHRILILQDVVHUW
7KHEXJLVLQWKHLIFRQGLWLRQRIDVVHUWPDFUR7KHHOVHSDUWLQZKLFKWKHSULQI
VWDWHPHQWLVDYDLODEOHEHFRPHVWKHHOVHRIWKHLIFRQGLWLRQRIDVVHUWPDFUR:KHQWKH
FRQGLWLRQRIDVVHUWEHFRPHVWUXHWKHHOVHSDUWLVH[HFXWHGOHDGLQJWREXJLQWKHFRGH
3ODFLQJWKHLIVWDWHPHQWRIDVVHUWPDFURLQVLGHDEORFNLVWKHXVXDOPHWKRGWR
DYRLGWKHµQHVWLQJWRQHDUHVWHOVH¶SUREOHP
GHILQHDVVHUWFRQG^ ?
LIFRQG ?
OLQHG?QFRQGBB),/(BBBB/,1(BBDERUW?
%XW WKH FDOOHU FDOOV WKH DVVHUW PDFUR HQGLQJ ZLWK DQ VHPLFRORQ ,Q PDFUR
H[SDQVLRQWKHFRPELQDWLRQÈHFRPHVDYDLODEOHOHDGLQJWRWKHHUURU³LOOHJDOHOVHZLWKRXW
PDWFKLQJLI´6RWKLVSUREOHPRIµQHVWLQJWRQHDUHVWHOVH¶FDQQRWEHVROYHGE\HQFORVLQJLI
VWDWHPHQWLQVLGHDEORFN7KHEHVWVROXWLRQKDSSHQVWREHXVLQJWKHFRQGLWLRQDOVWDWHPHQW
DVZHVDZLQWKHILUVWFDVH
([HUFLVH
7KHWHUQDU\RSHUDWRU"LVURXJKO\DQHTXLYDOHQWIRULIWKHQHOVH&DQ\RXWKLQN
RIDQ\UHDVRQZK\WKHUHLVQRRSHUDWRUOLNHDVLQJOHTXHVWLRQPDUN"DVDELQDU\RSHUDWRU
HTXLYDOHQWWRLIWKHQVWDWHPHQW"
([HUFLVH
([SODLQKRZWKHH[SUHVVLRQLVHYDOXDWHGDV
LQWD E
LQWF DE"ED"DED
$VVLJQPHQWH[SUHVVLRQ
$VVLJQPHQW H[SUHVVLRQ FRQVLVWV RI WZR H[SUHVVLRQV VHSDUDWHG E\ DQ DVVLJQPHQW
RSHUDWRU (YHU\ DVVLJQPHQW UHTXLUHV DQ OYDOXH DV LWV OHIW RSHUDQG DQG PRGLILHV LW E\
VWRULQJ QHZ YDOXH LQWR LW 7KH UHVXOW RI WKLV H[SUHVVLRQ LV QHYHU DQ OYDOXH $VVLJQPHQW
EHWZHHQDOOW\SHVLVSHUPLWWHGH[FHSWDUUD\V
¾ 6LPSOH
*LYHQE\ ZKLFKUHSODFHVWKHYDOXHRIWKHH[SUHVVLRQE\WKHREMHFWUHIHUUHGE\
WKHOYDOXH
¾ &RPSRXQG
7KH FRPSRXQG VWDWHPHQWV DUH RI WKH IRUP YDU RS H[S ZKHUH RS LV D YDOLG
ELQDU\RSHUDWRU7KLVLVQRWKLQJEXWWKHVKRUWFXWIRUYDU YDURSH[S
7KLVPD\VHHPWREHDWULYLDODGYDQWDJH+RZHYHULWVHUYHVWZRSXUSRVHV
,WEHFRPHVKDQG\ZKHQWKHH[SEHFRPHVLQFUHDVLQJO\FRPSOH[
(IILFLHQF\ 0RVW RI WKH PDFKLQHV KDYH PDFKLQH LQVWUXFWLRQV ZLWK
LPPHGLDWHRSHUDQGV7KHVHLQVWUXFWLRQVLQFUHDVHGLUHFWO\VSHFLI\WKHUHTXLUHGLQIRUPDWLRQ
VRKHOSLQIDVWHUH[HFXWLRQ
&
PDNHVHIILFLHQWXVHRIWKLVIHDWXUHE\SURYLGLQJFRPSRXQG
VWDWHPHQWV IRU ZKLFK WUDQVODWLRQ FDQ EH GRQH GLUHFWO\ WR LWV FRUUHVSRQGLQJ PDFKLQH
LQVWUXFWLRQ)RUH[DPSOH
D D
PD\EHFRQYHUWHGWR
029$;BD
$''
029BD$;
:KHUHDVD PD\EHFRQYHUWHGGLUHFWO\WR
,1&BD
LQVRPHPDFKLQH
6HTXHQWLDO&RPPD2SHUDWRU
&RPPD RSHUDWRU KDV WKH ORZHVW SUHFHGHQFH RI DOO RSHUDWRUV &RPPD RSHUDWRU LV
RQHRIWKHIHZRSHUDWRUVWRZKLFKWKHRUGHURIHYDOXDWLRQLVVSHFLILHG%RWKFRPPDDQG
FRQGLWLRQDO RSHUDWRUV HYDOXDWH IURP OHIW WR ULJKW 7KH YDOXHV RI OHIW H[SUHVVLRQV DUH
GLVFDUGHG 7KH W\SH DQG YDOXH RI WKH HQWLUH H[SUHVVLRQ LV WKH W\SH DQG YDOXH RI WKH
ULJKWPRVWH[SUHVVLRQ
LQWL
DVVLJQVWRLµ¶RSHUDWHVIURPOHIWWRULJKW
YDOXHLVGLVFDUGHG
LQWL
DVVLJQVWRLVLQFHµ ¶LVKDYLQJKLJKHUSUHFHGHQFHWKDQ
µ¶LVHYDOXDWHGEXWQRWXVHG,WLVDVLI
JLYHQDVL
7KH DPD]LQJ SRZHU RI FRPPD RSHUDWRU FDQ EH UHDOLVHG E\ WKH IDFW WKDW WKH
VHPLFRORQVDWWKHHQGRIVWDWHPHQWVE\FRPPDRSHUDWRU
YRLGLQWHU&KDQJHLQW DLQW E
DA EEA DDA E
ZLOOGRWKHMRE
RU
DA EEA DDA E
GRHVLWLQDVLQJOHVWDWHPHQW
RUHYHQ
DA EEA DDA E
WRVKRZH[SOLFLW\KRZWKHH[SUHVVLRQLVHYDOXDWHG
EXWQRWWKLV
DA EA DA E
EHFDXVHVLGHHIIHFWVLVLQYROYHGGXHWRWKHDWWHPSWVWRPRGLI\
WKH YDULDEOH WZLFH EHWZHHQ VHTXHQFH SRLQWV 5HIHU DERXW VHTXHQFH
SRLQWVDQGVLGHHIIHFWV
6RPHV\PEROVFDQDFWDVERWKDVHSDUDWRUDQGDQRSHUDWRU&RPPDRSHUDWRULVRQH
VXFKRSHUDWRU,QWKHIROORZLQJFRGHVHJPHQW
LQWLM
IRUL M LL
DGG
LQDOOWKHVHWKUHHFDVHVFRPPDDFWVDVDVHSDUDWRU
LQWM
IRULMM
DGG
LQDOOWKHVHFDVHVFRPPDDFWVDVDQRSHUDWRUHYDOXDWHVWRDQGSDVVHGDVDILUVW
DUJXPHQWDQGDVWKHVHFRQGDUJXPHQW
6LJQLILFDQFHRI(TXDOLW\RI2SHUDWRUV
(TXLYDOHQFH RI RSHUDWRUV LV KHOSIXO LQ UHGXFLQJ WKH VWUHQJWK RI WKH RSHUDWLRQV
5HGXFLQJ WKH VWUHQJWK RI WKH RSHUDWLRQV PHDQV UHSODFLQJ WKH RSHUDWRUV ZLWK HTXLYDOHQW
EXWPRUHHIILFLHQWRQHV)RUH[DPSOH
LH[S
FDQEHUHSODFHGE\
LH[S
%HFDXVHPXOWLSOLFDWLRQE\LVHTXLYDOHQWWROHIWVKLIWE\LVPXOWLSOHRIDQGVRLV
HTXDOWROHIWVKLIWE\/HIWVKLIWUHTXLUHVOHVVPLFURSURFHVVRUUHVRXUFHVWKDQPXOWLSOLFDWLRQ
LQFUHDVLQJWKHHIILFLHQF\
7KHVHRSWLPL]DWLRQVDUHGRQHE\WKHFRPSLOHURSWLPL]DWLRQVZLWKRXW\RXUNQRZOHGJH
+RZHYHU\RXFDQPDNHWKLVH[SOLFLWLIH[HFXWLRQHIILFLHQF\DWRSFRQFHUQIRU\RX
2SHUDWRU3UHFHGHQFH
:KHQ WZR RU PRUH RSHUDWRUV DUH PL[HG ZLWK HDFK RWKHU SUHFHGHQFH GHWHUPLQHV
ZKLFKRSHUDQGVDUHHYDOXDWHGILUVW,WPHDQVWKDWDQRSHUDWRUV¶SUHFHGHQFHLVPHDQLQJIXO
RQO\ LI RWKHU RSHUDWRUV ZLWK KLJKHU RU ORZHU SUHFHGHQFH DUH SUHVHQW 7KH SUHFHGHQFH RI
FRQYHQWLRQDORSHUDWRUVLVHDV\WRXQGHUVWDQGEHFDXVHWKH\IROORZWUDGLWLRQDOPDWKHPDWLFV
&LVULFKLQRSHUDWRUVVRWKHSUHFHGHQFHPD\QRWEHHYLGHQWLQVRPHFDVHV
&RQVLGHUWKHH[SUHVVLRQ
VRPHWKLQJ DE
7KHSURJUDPPHULQWHQGHGWRFDOFXODWH DDQG DGGEWRWKHUHVXOW %XW LW LV
LQWHUSUHWHGDV
VRPHWKLQJ DE
$QRWKHUVXFKLQVWDQFHLVWKHSUHFHGHQFHRIRSHUDWRUV __ YV
D E F G
LVKDYLQJKLJKHUSUHFHGHQFHWKDQ 6RLWLVLQWHUSUHWHGDV
D E F G
7KLVLVFRXQWHULQWXLWLYH+LVWRU\JLYHVWKHUHDVRQIRUWKDW
7KHUHZKHUHQRVHSDUDWHRSHUDWRUVIRUWKHELWZLVHDQGORJLFDORSHUDWRUV _
DQG__ZKHQ&ZDVRULJLQDOO\GHYHORSHG7KH DQG_RSHUDWRUVVHUYHGDGXDOUROHDQGKDG
WKH SUHFHGHQFH OHYHO DV LW LV QRZ ,W XVHG WKH WUDGLWLRQDO QRWLRQ RI ILQGLQJ WKH PHDQLQJ
EDVHGRQFRQWH[WDQGXVDJH³WUXWKYDOXHFRQWH[W´
7R VHSDUDWH WKH FRQFHSWV RI ELWZLVH DQG ORJLFDO RSHUDWLRQV WKHVH WZR QHZ
RSHUDWRUV DQG__RSHUDWRUVZHUHDGGHG%XWWKHSUREOHPVSHUVLVWHGZLWKSUHFHGHQFH
OHYHOV)RUH[DPSOHWKHFRQGLWLRQVOLNHWKHIROORZLQJRQHZHUHVWLOODSUREOHP
LID E F G
³,QUHWURVSHFWLWZRXOGKDYHEHHQEHWWHUWRJRDKHDGDQGFKDQJHWKHSUHFHGHQFHRI
WRKLJKHUWKDQ EXWLWVHHPHGVDIHUMXVWWRVSOLW DQG ZLWKRXWPRYLQJ SDVWDQ
H[LVWLQJRSHUDWRU³[Ritchie1982]
>@!
a W\SHVL]HRI

!!
!!

__
"
RS
7KHRSHUDWRUSUHFHGHQFHWDEOH
1RWH +HUH RSHUDWRUV DUH OLVWHG LQ GHVFHQGLQJ RUGHU RI SUHFHGHQFH 6HYHUDO RSHUDWRUV
DSSHDULQJRQWKHVDPHOLQHRULQDJURXSKDYHHTXDOSUHFHGHQFH
$QRWKHUH[DPSOHIRUFRQIXVLRQZLWKRSHUDWRUSUHFHGHQFHLVJLYHQKHUH
D!"DD
+HUHWKHSURJUDPPHULQWHQGVWRLQFUHPHQWWKHYDOXHRIµD¶LILWLVJUHDWHUWKDQ]HURHOVH
LQFUHPHQWµD¶E\6LQFH"RSHUDWRULVKDYLQJKLJKHUSUHFHGHQFHWKDQ RSHUDWRULWLV
WUHDWHGDV
D!"DD
ZKLFK LV PDNHV FRPSLOHU WR LVVXH DQ HUURU 6R LI \RX DUH QRW FOHDU RI WKH RSHUDWRU
SUHFHGHQFHXVHH[SOLFLWSDUDQWKHVLVWRJURXSWKHH[SUHVVLRQVH[SOLFLWO\DVLQ
D!"DD
$VVRFLDWLYLW\
$VVRFLDWLYLW\ GHWHUPLQHV KRZ WKH RSHUDWRUV JURXS LI WKH\ DUH DW WKH VDPH
SUHFHGHQFHOHYHO2SHUDWRUV FDQ EH OHIWDVVRFLDWLYH ULJKWDVVRFLDWLYH RU VRPHWLPHV KDYH
QRDVVRFLDWLYLW\DWDOO<)RUH[DPSOH
D E F G
LVHTXLYDOHQWWR
D E F G
EHFDXVH WKH RSHUDWRU LV ULJKW DVVRFLDWLYH $OO WKH DVVLJQPHQW RSHUDWRUV OLNH
FRQGLWLRQDO RSHUDWRU DQG PRVW RI WKH XQDU\ RSHUDWRUV DUH ULJKW DVVRFLDWLYH $OO RWKHU
RSHUDWRUVDUHOHIWDVVRFLDWLYH
2UGHURI(YDOXDWLRQ
2UGHU RI HYDOXDWLRQ LV WKH VHTXHQFH LQ ZKLFK WKH RSHUDQGV DUH HYDOXDWHG LQ DQ
H[SUHVVLRQ JLYHQ WKDW WKH RSHUDQGV DUH RI VDPH SUHFHGHQFH UHPHPEHU WKDW RUGHU RI
HYDOXDWLRQLVGLIIHUHQWIURPDVVRFLDWLYLW\DQGSUHFHGHQFH
LQWD EFG
LWPD\EHHYDOXDWHGDVEFGRUDVEFG
7KH UHDVRQ IRU DOORZLQJ FRPSLOHU LV IUHH WR HYDOXDWH H[SUHVVLRQV LQ LWV GHVLUHG
RUGHULVWRLPSURYHWKHHIILFLHQF\
<
)RUH[DPSOHVXFKFDVHRIQRDVVRFLDWLYLW\DULVHVLQFDVHRI)2575$1ZKHUHWKHUHODWLRQDORSHUDWRUV
FDQQRWEHFRPELQHGWRJHWKHU
LQWL LML
FDQEHUHSODFHGZLWK
LQWL LM
,QJHQHUDOWKHFRPSLOHULVIUHHWRHYDOXDWHH[SUHVVLRQVLQDQ\RUGHU,WPD\HYHQ
UHDUUDQJHWKHH[SUHVVLRQDVORQJDVWKHUHDUUDQJHPHQWGRHVQRWDIIHFWWKHILQDOUHVXOWEXW
ZLWKIHZFRQVWUDLQWV
5HDUUDQJHPHQW RI DUJXPHQWV RI D IXQFWLRQ FDOO RU WZR RSHUDQGV RI D ELQDU\
RSHUDWRULQVRPHSDUWLFXODURUGHUH[FHSWOHIWWRULJKW
7KHELQDU\RSHUDWRUV A_DUHDVVXPHGWREHFRPSOHWHO\FRPPXWDWLYHDUH
DVVRFLDWLYHDQGWKHFRPSLOHULVIUHHWRH[SORLWWKLVDVVXPSWLRQ
LQWD DEF
WKLVFDQQRWEHFKDQJHGWR
LQWD EDF
6LPLODUO\WKHIROORZLQJRSWLPL]DWLRQFDQQRWEHGRQH
LQWL LML
FDQQRWEHUHSODFHGZLWK
LQWL LM
EHFDXVHWKHIXQFWLRQFDOOLZRXOGEHGRQHRQO\RQFHLQVWHDGRIWZR
1RWH $OWKRXJKWKHRSHUDWRUSUHFHGHQFHDVVRFLDWLYLW\DQGRUGHURIHYDOXDWLRQDUHDOO
FORVHO\UHODWHGWKH\DUHGLVWLQFW
6LGH(IIHFWV
$V WKH QDPH LQGLFDWHV VLGH HIIHFWV DUH FKDQJHV EHFDXVH RI HYDOXDWLRQ RI D PDLQ
FRPSXWDWLRQ
$QH[SUHVVLRQEHFRPHVDVWDWHPHQWLILWLVIROORZHGE\DVHPLFRORQDQGH[HFXWHG
RQO\IRULWVVLGHHIIHFWDQGWKHYDOXHUHWXUQHGLVLJQRUHG
LQWWLPHV&DOOHG
YRLGVRPH)XQFWLRQLQW[LQW\
SULQWI³6XP G´[\
WLPHV&DOOHG
+HUH WLPHV&DOOHG LV D JOREDO YDULDEOH DQG ZKHQHYHU \RX FDOO VRPH)XQFWLRQ
WLPHV&DOOHG ZLOO EH LQFUHPHQWHG DV D VLGH UHVXOW 7KH EHWWHU ZD\ WR DFKLHYH WKH VDPH
UHVXOWE\WKHIROORZLQJFRGH
LQWVRPH)XQFWLRQLQW[LQW\
VWDWLFLQWWLPHV&DOOHG
SULQWI³6XP G´[\
UHWXUQWLPHV&DOOHG
,Q WKLV IXQFWLRQ FDOO WKH LQIRUPDWLRQ WKDW WLPHV&DOOHG LV PDGH H[SOLFLW DQG WKDW
YDULDEOHLVDOVRFRQWDLQHGZLWKLQWKHIXQFWLRQVRLWLVEHWWHUWKDQWKHSUHYLRXVYHUVLRQDQG
DOVRPDNHVXVHRIWKHYDOXDEOHLQIRUPDWLRQRIUHWXUQYDOXH
6RVLGHHIIHFWVQHHGQRWRQO\EHFDXVHGE\YDULDEOHVLWPD\EH HYHQGRQH E\ D
IXQFWLRQSDUWLFLSDWLQJLQDQH[SUHVVLRQ6LGHHIIHFWVKLGGHQZLWKLQWKHIXQFWLRQVKRZVWKH
GHVLJQLVQRWJRRGDQGVXFKIXQFWLRQVPDNHGHEXJJLQJFRPSOH[DQGUHGXFHUHDGDELOLW\
6LGHHIIHFWVLVWKHLGHDWREHXQGHUVWRRGZHOOVLQFHLWFDQDIIHFWWKHSRUWDELOLW\RI
\RXUFRGHDQGUHGXFHVWKHTXDOLW\RI\RXUFRGHLIXVHGZLWKRXWFDUH
0RVWRIWKHLQH[SHULHQFHG&SURJUDPPHUVILQGKDSSLQHVVLQSRVLQJTXHVWLRQVWR
WKHLUIHOORZSURJUDPPHUVOLNH
SULQWI³GGGG´LLLL
L LLL
WKDW FDQ OHDG QRZKHUH 7KH SRLQW LV WKDW VXFK H[SUHVVLRQV LQYROYH VLGH HIIHFWV DQG WKH
UHVXOWYDOXHRIHYDOXDWLQJWKHH[SUHVVLRQZLOOQRWEHWKHVDPHDFURVVYDULRXVV\VWHPV
2QFH P\ IULHQG DVNHG PH DERXW WKH UHVXOW RI H[HFXWLQJ WKH IROORZLQJ SLHFH RI
FRGH
VLJQHGFKDUFK
ZKLOHFK FK
SULQWI³G´FK
+LV DLP ZDV WR SULQW WKH YDOXH RI FK DQG GHFUHPHQW LW DV WKH ORRS H[HFXWHV WKDW
ZRXOGHYHQWXDOO\WHUPLQDWHZKHQWKHYDOXHRIFKEHFRPHV6RIRUWKLVFRGHKHH[SHFWHG
WKHRXWSXWWREH%XWWKHSURJUDPZHQWWRLQILQLWHORRSSULQWLQJ«6XFK
DUHWKHYDJDULHVRIWKHVLGHHIIHFWV
$FWXDOO\LI \RXWKLQN \RXFDQUHDVRQLWRXWZK\WKLVFRGHZHQWWR LQILQLWH ORRS
+RZHYHUUHPHPEHUWKDWWKHVDPHFRGHPD\UXQSHUIHFWO\DVH[SHFWHGLQDQRWKHUV\VWHP
JLYLQJH[SHFWHGUHVXOWV6REHZDUHRIVLGHHIIHFWV8QGHUVWDQGLQJDERXWVLGHHIIHFWVLVVR
LPSRUWDQW
1RUPDOO\ LQFUHPHQW GHFUHPHQW DQG DVVLJQPHQW RSHUDWRUV FDXVH VLGH HIIHFWV
FDOOHGDVVLGHHIIHFWRSHUDWRUV$SUREOHPLQVLGHHIIHFWRSHUDWRUVLVWKDWLWLVQRWDOZD\V
SRVVLEOHWRSUHGLFWWKHRUGHULQZKLFKWKHVLGHHIIHFWVRFFXU)RUH[DPSOH
LQWDL
LQWD LL
FDQ JLYH GLIIHUHQW UHVXOWV GHSHQGLQJ RQ WKH LPSOHPHQWDWLRQ ,I D VLGH HIIHFW RSHUDWRU LV
XVHGLQDQH[SUHVVLRQWKHQWKHHIIHFWHGYDULDEOHVKRXOGQRWEHXVHGDQ\ZKHUHHOVHLQWKH
H[SUHVVLRQ 2Q WKH RWKHU KDQG WKH DPELJXLW\ FDQ EH UHPRYHG E\ EUHDNLQJ LW LQWR WZR
DVVLJQPHQWVWDWHPHQWVOLNHWKLV
LQWD L
D L
6LGH HIIHFWV ZLOO EH FRPSOHWHG LQ FDVH D VHPLFRORQ RU D IXQFWLRQ FDOO LV
HQFRXQWHUHG
$SURJUDPVKRXOGQRWGHSHQGKHDYLO\RQVLGHHIIHFWV,WLVQRWDGHVLUDEOHSURSHUW\
LILWQHHGVWREHSRUWDEOH)RUH[DPSOH
D>L@ L
ZLOODOZD\VJLYHWKHVDPHUHVXOWZKHQH[HFXWHGLQ\RXUV\VWHPEXWPD\\LHOGVRPHRWKHU
UHVXOWLWRWKHUV\VWHPV
%\ XVLQJ VLGH HIIHFWV GHEXJJLQJ EHFRPHV KDUGHU )RU H[DPSOH $ IXQFWLRQ
SDUWLFLSDWLQJLQDQH[SUHVVLRQWKDWDOWHUVWKHYDOXHRIDJOREDOYDULDEOH
2Q WKH RWKHU KDQG VLGH HIIHFWV DUH QRW DOZD\V EDG 6RPHWLPHV LW LQFUHDVHV WKH
UHDGDELOLW\ RI WKH FRGH RU LW VPRRWKHQV WKH IORZ RI FRQWURO DQG FDQ EH KDQG\ LI XVHG
FDUHIXOO\
)RUH[DPSOH,SUHIHUUHGXVLQJWKHIROORZLQJFRGHLQRQHRIP\SURJUDPV
ZKLOHFK JHWFK

?Q

VNLS
WKLVKDVEHWWHUUHDGDELOLW\WKDQWKHHTXLYDOHQWFRGHDQGLVVKRUWDQGVR,SUHIHUUHGLW
6HTXHQFHSRLQWV
7RGHWHUPLQHWKHHIIHFWRIVLGHHIIHFWVLQDQH[SUHVVLRQ$16,&GHILQHVVHTXHQFH
SRLQWV %HWZHHQ WKH SUHYLRXV DQG QH[W VHTXHQFH SRLQW DQ REMHFW VKDOO KDYH LWV VWRUHG
YDOXH PRGLILHG DW PRVW RQFH E\ WKH HYDOXDWLRQ RI DQ H[SUHVVLRQ )XUWKHUPRUH WKH SULRU
YDOXH VKDOO EH DFFHVVHG RQO\ WR GHWHUPLQH WKH YDOXH WR EH VWRUHG ,I WKH VWDWHPHQW
LQYROYHVFKDQJHRIYDOXHZLWKLQDVHTXHQFHSRLQWZHFDQVD\WKDWVLGHHIIHFWLVLQYROYHG
DQGWKDWWKHEHKDYLRULVXQGHILQHG
Most operators impose no sequencing requirements, but a few operators impose
sequence points upon their evaluation [Rationale ANSI C 1999]. The operators
are:
¾ comma,
¾ logical-AND,
¾ logical-OR, and
¾ conditional.
7KHH[SUHVVLRQVLQYROYLQJWKHVHRSHUDWRUVPRVWO\GRQRWVXIIHUIURPWKHSUREOHPRI
VLGHHIIHFWV
'LVFDUGHG9DOXHV
7KHUHDUHVRPHFRQWH[WVLQZKLFKWKHH[SUHVVLRQDSSHDUVEXWLWVYDOXHLVQRWXVHG
¾ $QH[SUHVVLRQVWDWHPHQW
³JRRG´
YRLG
VKRXOGEHJLYHQZKHUHGHFODUDWLRQLVSRVVLEOH
YRLGL M
LQWHQWLRQDOO\GLVFDUGLQJWKHYDOXHRIH[SUHVVLRQ
¾ 7KHILUVWRSHUDQGRIWKHFRPPDRSHUDWRU
LQWL
WKHYDOXHLVLJQRUHG
¾ 7KHLQLWLDOL]DWLRQDQGLQFUHPHQWH[SUHVVLRQVLQDIRU VWDWHPHQW EHFDXVH WKH\
DUHH[HFXWHGIRUWKHLUVLGHHIIHFWV
LQWL
IRULLL
GRVRPHWKLQJ
¾ 5HWXUQYDOXHIURPIXQFWLRQFDOORIQRWIHWFKHGLQDYDULDEOH(J
LQWDGGLQWDLQWEÛHWXUQDE`
LQWPDLQ^
DGG
`
QRYDULDEOHWRDVVLJQWKHUHWXUQYDOXH
7KLVGLVFDUGLQJRIUHWXUQYDOXHFDQEHPDGHH[SOLFLWE\FDVWLQJLWWRYRLG
YRLGDGG
,Q DOO WKHVH FDVHV WKH H[SUHVVLRQ¶V YDOXH LV GLVFDUGHG 9DOXH RI DQ H[SUHVVLRQ
ZLWKRXWVLGHHIIHFWVLVGLVFDUGHGWKHFRPSLOHUPD\LVVXHDQHUURUZDUQLQJPHVVDJHWKLV
PD\DOVRRFFXULIPDLQRSHUDWRURIDGLVFDUGHGH[SUHVVLRQKDVQRVLGHHIIHFW6LGHHIIHFW
SURGXFLQJRSHUDWLRQVLQFOXGHDVVLJQPHQWDQGIXQFWLRQFDOOV
&RQVWDQW([SUHVVLRQV
7KHVH H[SUHVVLRQV PXVW HYDOXDWH WR D FRQVWDQW DW FRPSLOH WLPH RU VRPHWLPHV DW
OLQNWLPH ,Q DOO FDVHV HYDOXDWLQJ D FRQVWDQW H[SUHVVLRQ LV LGHQWLFDO WR WKH UHVXOW RI
HYDOXDWLQJWKHVDPHDWUXQWLPH
¾ <RXFDQXVHDFRQVWDQWH[SUHVVLRQDQ\ZKHUHWKDWDFRQVWDQWLVOHJDO
¾ $OOFRQVWDQWH[SUHVVLRQVPD\FRQWDLQLQWHJHUFRQVWDQWVFKDUFRQVWDQWVVL]HRI
RSHUDWRUDQGHQXPHUDWLRQFRQVWDQWV
¾ &RQVWDQWH[SUHVVLRQVDUHUHTXLUHGLQIROORZLQJVLWXDWLRQV
¾ DIWHUFDVHLQVZLWFKVWDWHPHQW
¾ WRVSHFLI\VL]HRIDQDUUD\
¾ IRUDVVLJQLQJYDOXHWRHQXPHUDWLRQFRQVWDQW
¾ DVLQLWLDOYDOXHVIRUH[WHUQDODQGVWDWLFYDULDEOHVIRUWKLVXQDU\ RSHUDWRU
FDQEHXVHG
¾ WRVSHFLI\ELWILHOGVL]HLQVWUXFWXUHGHILQLWLRQ
¾ DVDQH[SUHVVLRQIROORZLQJWKHLIKHUHVL]HRIDQGHQXPHUDWLRQFRQVWDQWV
DUHQRWSHUPLWWHG
¾ &RQVWDQWH[SUHVVLRQVFDQQRWFRQWDLQDQ\RIWKHIROORZLQJRSHUDWRUVXQOHVVWKH
RSHUDWRUVDUHFRQWDLQHGZLWKLQWKHRSHUDQGRIDVL]HRIRSHUDWRU
¾ $VVLJQPHQW
¾ &RPPD
¾ 'HFUHPHQW
¾ ,QFUHPHQW
DQGIXQFWLRQFDOO
,W LV ZRUWK QRWLQJ WKDW " RSHUDWRU FDQ EH XVHG LQ FRQVWDQW H[SUHVVLRQV 7KH YDOXHV
GHILQHGXVLQJFRQVWTXDOLILHUFDQQRWEHXVHGLQFRQVWDQWH[SUHVVLRQ
FRQVWLQWDUUD\6L]H
LQWDUUD\>DUUD\6L]H@
WKLVZLOOLVVXHDQHUURU
&RQWUROIORZ
&RQWURO IORZ LQ WKH SURJUDP LV DOWHUHG E\ LIWKHQHOVH VWDWHPHQWV ORRSV EUHDN
FRQWLQXH DQG JRWR VWDWHPHQWV 'LUHFW ZD\ RI DOWHULQJ WKH SURJUDP IORZ LQ & LV WKURXJK
JRWR DQG VHWMXPS ORQJMPS OLEUDU\ URXWLQHV 7KH XVH RI JRWR LV FRQVLGHUHG WR KDUP WKH
VWUXFWXUHGGHVLJQRIWKHSURJUDP>'LMNVWUD@DOWKRXJKPRVWRIWKHODQJXDJHVVXSSRUW
JRWRVWDWHPHQWV'LMNVWUDQRWHV³7KHJRWRVWDWHPHQWDVLWVWDQGVLVMXVWWRRSULPLWLYHLWLV
WRR PXFK DQ LQYLWDWLRQ WR PDNH D PHVV RI RQH¶V SURJUDP´ 7KDW SDSHU VWLUUHG ORW RI
DUJXPHQWV LQ SURJUDPPLQJ FRPPXQLW\ OHDGLQJ WR ZLGHU DSSURYDO WKDW JRWR VWDWHPHQWV
KXUWVWUXFWXUHGSURJUDPPLQJ6RWKHXVHRI JRWRVWDWHPHQWVLVVWURQJO\ GLVFRXUDJHG DQG
JRWRV FDQ EH DOWRJHWKHU HOLPLQDWHG IURP XVH LQ WKH SURJUDPV E\ XVLQJ WKH RWKHU FRQWURO
WUDQVIHUVWDWHPHQWV
2QH FRQWURO WUDQVIHU VWDWHPHQW LV VZLWFK DQG LQ WKDW FDVH VWDWHPHQWV LQWHJUDO
FRQVWDQWV DUH H[SHFWHG Floating types are not possible to use with ‘switch’ statements
because the designers have thought that since checking of exact equality in floating point
is not portable [Rationale ANSI C 1999].
'XII¶V'HYLFH
2QH RI WKH VRXUFHV RI QDVW\ EXJV LQ & LV WKDW WKH FDVH VWDWHPHQWV LQ VZLWFK
VWDWHPHQW DUH IDOOWKURXJK 7KLV SURSHUW\ LV H[SORLWHG LQ D WHFKQLTXH FDOOHG DV 'XII¶V
GHYLFH>'XII@7KHREMHFWLYHLVWRJHWµFRXQW¶QXPEHURIGDWDSRLQWHGE\µIURP¶WR
µWR¶7KHFRGHIRUWKLVZDV
VHQGWRIURPFRXQW
UHJLVWHUVKRUW WR IURP
UHJLVWHUFRXQW
GR
WR IURP
ZKLOHFRXQW!
`WKLVSURJUDPIDLOVLIFRXQWLVHTXDOWR]HUR
DQGWKLVYHUVLRQFRPSLOHGLQ9$;&FRPSLOHUUDQYHU\VORZIRUVRPHUHDVRQ6R
7RP'XIISURSRVHGDQRWKHUYHUVLRQ
VHQGWRIURPFRXQW
UHJLVWHUVKRUW WR IURP
UHJLVWHUFRXQW
UHJLVWHUQ FRXQW
JHWQXPEHURIWLPHVWRH[HFXWHZKLOHORRS
VZLWFKFRXQW^
JRWRWKHUHPDLQLQJPRGYDOXH
FDVHGR^ WR IURP
FDVH WR IURP
FDVH WR IURP
FDVH WR IURP
FDVH WR IURP
FDVH WR IURP
FDVH WR IURP
FDVH WR IURP
`ZKLOHQ!
WKLVORRSLVH[HFXWHGQWLPHV
WKLVSURJUDPIDLOVLIFRXQWLVHTXDOWR]HUR
7KHLGHDLVWRILQGRXWWKHQXPEHURIWLPHVWKHORRSWREHH[HFXWHGLQµQ¶DQGFDOO
VZLWFKWRFRS\IRUPRGXOXVYDOXH7KHGRZKLOHORRSMXVWLJQRUHVWKHFDVHVWDWHPHQWVDV
ODEHOV7KLVWHFKQLTXHH[SORLWVWKHIDFWWKDWFDVHVWDWHPHQWVGRQRWEUHDNDXWRPDWLFDOO\,W
LV QRW FOHDU ZKHWKHU WKLV WHFKQLTXH LV IRU RU DJDLQVW WKH IDOOWKURXJK SURSHUW\ RI VZLWFK
EXWLVSUHVHQWHGKHUHMXVWWRVKRZKRZVXFKPHFKDQLVPVFDQEHH[SORLWHG
7KH6WUXFWXUH7KHRUHP
,VLWHQRXJKWRKDYHRQO\IHZFRQWUROIORZVWDWHPHQWVOLNHLIZKLOHIRUHWF'RHV
WKLVOLPLWWKHH[SUHVVLYHSRZHURIDSURJUDPPLQJODQJXDJH"
7KHVWUXFWXUHWKHRUHP>%RKPDQG-DFRELQL@VKRZVWKDWDQ\SURJUDPFRQVWUXFW
FDQ EH FRQYHUWHG LQWR RQH XVLQJ RQO\ ZKLOH DQG LI VWDWHPHQWV 7R JLYH RQH H[DPSOH WKH
HTXLYDOHQFHEHWZHHQWKHIRUDQGZKLOHORRSVLVDZHOONQRZQRQH
IRULQLWFKHFNLQFU
ERG\
LVHTXLYDOHQWWR
LQLW
ZKLOHFKHFN
ERG\
LQFU
7KH WKHRUHP SURYHV WKDW DOO WKH SURJUDPV FDQ EH SURJUDPPHG XVLQJ RQO\ VWDQGDUG
VWUXFWXUHVIRU\RXUDVWRQLVKPHQWRQO\µZKLOH¶LVHQRXJKDQGHYHQµLI¶LVQRWQHFHVVDU\$
OLWWOHDQDO\VLVZLOOKHOS\RXXQGHUVWDQGWKDW
3RLQWWR3RQGHU
$Q\ DOJRULWKP FDQ EH ZULWWHQ LQ WHUPV RI VHTXHQFH RI VWDWHPHQWVVHTXHQFH
DOWHUQDWLRQVHOHFWLRQDQGUHSHWLWLRQDQGZLWKVRPHERROHDQYDULDEOHV
32,17(56$55$<6DQG675,1*6
$GGUHVVHVDUHJLYHQWRXVWRFRQFHDORXUZKHUHDERXWV
µ6DNL¶++0XQUR
3RLQWHUVDUHIRUWHRI&DQG&HPSOR\VSRLQWHUVPRUHH[SOLFLWO\DQGRIWHQWKDQLQ
DQ\RWKHUSURJUDPPLQJODQJXDJH,WLVWKHPRVWGLIILFXOWDUHDWRPDVWHUDQGHUURUSURQH
&
VSRZHULVVRPHWLPHVDWWULEXWHGWRSRLQWHUV
,Q & WKH GHVLJQ GHFLVLRQ LV PDGH VXFK WKDW WKH XVDJH RI SRLQWHUV LV H[SOLFLW &
SRLQWHUVFDQSRLQWWRYLUWXDOO\DQ\REMHFWDQ\ZKHUHLWVLQWHJUDWLRQRISRLQWHUVDUUD\V
DQG DGGUHVV DULWKPHWLF LV RQH RI WKH PDMRU VWUHQJWKV RI WKH ODQJXDJH [Kernighan
and Ritchie 1988]
3RLQWWR3RQGHU
$SRLQWHULVDQDGGUHVV>$OOLVRQ@
9RLGSRLQWHU
YRLG DFWVDVDJHQHULFSRLQWHURQO\EHFDXVHFRQYHUVLRQVDUHDSSOLHGDXWRPDWLFDOO\
ZKHQ RWKHU SRLQWHU W\SHV DUH DVVLJQHG WR DQG IURP YRLG
V
V EXW QRWH WKDW WKH $16,
VWDQGDUG PDGH YRLG SRLQWHUV D JHQHULF W\SH IRU SRLQWHUV WR REMHFWV LW H[HPSWHG IXQFWLRQ
SRLQWHUV IURP WKLV XQLYHUVDOLW\ ,Q PHPRU\ LW LV DOLJQHG LQ VXFK D ZD\ WKDW LW FDQ EH XVHG
ZLWKSRLQWHUWRDQ\RWKHUW\SHVDQGIRUFRPSRXQGW\SHVDOVR
$ SRLQWHU PXVW EH GHFODUHG DV SRLQWLQJ WR VRPH SDUWLFXODU W\SH 7KLV KROGV WUXH
HYHQIRUYRLG YRLG LVPHDQVLWLVFDSDEOHRISRLQWLQJWRDQ\WKLQJ DVRSSRVHGWRWKH
SRSXODUEHOLHIWKDWLWLVDSRLQWHUWRQRWKLQJ
0XOWLSOHOHYHORISRLQWHUV
'HFODULQJPXOWLSOHOHYHORISRLQWHUVLVSRVVLEOH7KHUHLVQROLPLWIRULQGLUHFWLRQDV
IDUDVWKHVWDQGDUGLVFRQVLGHUHGEXWIRUSUDFWLFDOSURJUDPPLQJPRUHWKDQWKUHHOHYHOVRI
LQGLUHFWLRQLVUDUHO\UHTXLUHG)RUHDFKOHYHORILQGLUHFWLRQTXDOLILHUVPD\EHLQWURGXFHG
XQVLJQHGLQW FRQVW YRODWLOHPXOWL/HYHO
&RQVLGHUWKHIROORZLQJFRGHWKDWPDNHVFRPSLOHULVVXHDQHUURU
LQWDUU'>@>@
LQW SWU' DUU'
7KLVLVEHFDXVHERWKDUHQRWRIWKH FRPSDWLEOHW\SH6LQFHWKHFRPSLOHU LVVXHV DQ HUURU
DQGERWKDUHRIGLIIHUHQWW\SHV\RXDOZD\VUHVRUWWRH[SOLFLWFDVWLQJ
LQW SWU' LQW DUU'

$ODV WKH FRPSLOHU DJDLQ LVVXHV DQ HUURU VWDWLQJ WKDW WKH DUUD\ W\SH FDQQRW EH FDVWHG WR
FKDU %XW \RX DUH LQWHOOLJHQW DQG NQRZ WKDW \RX FDQ DOZD\V FDVW DQ\ SRLQWHU W\SH WR
YRLG VRWU\WKLVWHFKQLTXH
YRLG WHPS YRLG DUU'
LQW SWU' LQW WHPS
7R \RXU IUXVWUDWLRQ WKH FRPSLOHU FRPSODLQV WKDW LW FDQQRW FRQYHUW DUUD\ W\SH WR
YRLG W\SHDQG\RXJLYHXSWU\LQJDQGHQGXSGHFLGLQJWRJHWDQHZ&FRPSLOHU
, LOOXVWUDWHG WKURXJK WKH VWHSV EHFDXVH WKLV LV QRUPDOO\ WKH ZD\ ZH DWWDFN
SUREOHPV :KHQ DQ HUURU PHVVDJH RFFXUV ZH WU\ WR GR VRPHWKLQJ WKDW ZLOO VKXWXS WKH
FRPSLOHU
$FWXDOO\ WKH SUREOHP DVVRFLDWHG ZLWK LV GLIIHUHQW +DG \RX FORVHO\ IROORZHG WKH
HUURUPHVVDJH\RXZRXOGKDYHNQRZQWKDWDUU'LVQRWRIWZRGLPHQVLRQDOSRLQWHUW\SH
LWLVRIW\SHLQW >@
([HUFLVH
YRLG LVJHQHULFSRLQWHUW\SHIRUDQ\SRLQWHUW\SHOLNHFKDU LQW HWF)LQGRXW
ZKDW LV WKH JHQHULF SRLQWHU W\SHV IRU SRLQWHUSRLQWHU SRLQWHUSRLQWHUSRLQWHU OLNH FKDU
«HWF",VLWYRLG «RULVVXFKJHQHULFSRLQWHUW\SHVQHFHVVDU\DWDOO"
6L]HRID3RLQWHU9DULDEOH
SULQWI³VL]HRIYRLG G³VL]HRIYRLG
SULQWI³VL]HRILQW G´VL]HRILQW

SULQWI³VL]HRIGRXEOH G´VL]HRIGRXEOH
SULQWI³VL]HRIVWUXFW XQNQRZQ G´ VL]HRIVWUXFW
XQNQRZQ
$OOZLOOSULQWWKHVDPHYDOXHIRUDSDUWLFXODUPDFKLQH6LPLODUO\WKHZKDWHYHUPD\
EHWKHGLPHQVLRQRIWKHSRLQWHUEHWKHVL]HUHPDLQVWKHVDPH
$OO ZLOO SULQW WKH VDPH YDOXH IRU D SDUWLFXODU PDFKLQH &RQVLGHU WKH IROORZLQJ WZR
VWDWHPHQWV
LQW DUU3WU LQW PDOORFVL]HRILQW
LQW DUU3WU LQW PDOORFVL]HRILQW
ERWKRIWKHVWDWHPHQWVDUHHTXLYDOHQWHYHQWKRXJKWKHILUVWLVPRUHFOHDUDQGWKHSXUSRVH
LVHYLGHQW
7KH SRLQW LV WKDW SRLQWHU LV DOVR D YDULDEOH EXW XQOLNH RWKHU YDULDEOHV WKHVH
YDULDEOHVVWRUHDGGUHVVHVRIRWKHUPHPRU\ORFDWLRQV7KHUHIRUHWKHVL]HRIDQ\SRLQWHU
YDULDEOHLUUHVSHFWLYHRIWKHW\SH RU GLPHQVLRQV LV VDPH1RZ FRPLQJ WR WKH SUHYLRXVO\
GLVFXVVHGSRLQWRQIRUZDUGUHIHUHQFHV,VDLGGHFODUDWLRQVOLNH
VWUXFWD^VWUXFWE QH[W`
VWUXFWE^VWUXFWD QH[W`
DUHYDOLG7KLVLVEHFDXVHWKHFRPSLOHUNQRZVWKHVL]HRIDQ\SRLQWHUYDULDEOH6RLWKDV
QRSUREOHPLQGHWHUPLQLQJWKHVL]HRIWKHVWUXFWXUHZKLFKFRQWDLQVWKHIRUZDUGUHIHUHQFH
6WLOOWKHGHFODUDWLRQVOLNH
W\SHGHIVWUXFWD^
E QH[W
È
WKDWLQYROYHW\SHGHIVZLOOIODJDQHUURU7\SHGHIVFDQQRWEHIRUZDUGUHIHUHQFHGEHFDXVH
WKH W\SH LWVHOI WKDW LV EHLQJ XVHG LV QRW NQRZQ DW WKDW SRLQW 6R WKH FRPSLOHU FDQQRW
XQGHUVWDQGZKDWWKHLGHQWLILHUµE¶PHDQVUHVXOWLQJLQLVVXLQJDQHUURUPHVVDJH
3RLQWHUVWR(QXPHUDWLRQ7\SHV
HQXPERRO^WUXHIDOVHÈRRO9DU ERRO3WU
ERRO3WU ERRO9DU
ERRO3WU WUXH
SULQWIG ERRO3WU
SULQWV

3RLQWHUV IRU HQXPHUDWLRQ W\SHV FDQ EH FUHDWHG DQG WKLV VKRZV WKH FORVH
UHODWLRQVKLS EHWZHHQ WKH LQWHJHUV DQG HQXPV EHFDXVH HQXPV DUH LQWHUQDOO\ RI LQWHJUDO
W\SHV$OWKRXJKVXFKSRLQWHUW\SHVDUHUDUHO\XVHGLWVQRQHWKHOHVVSRVVLEOH
3RLQWHUVWR6WUXFWXUH0HPEHUV
& DVVXUHV WKDW WKH RUGHU RI WKH VWUXFWXUH PHPEHUV LV DVVXUHG DV JLYHQ E\ WKH
SURJUDPPHU&RQVLGHUWKHLPSOLFDWLRQRIWKLVLQWKHIROORZLQJFRGH
VWUXFWVRPH6WUXFW^
LQWL
IORDWM
`D6WUXFW
YRLG SV YRLG D6WUXFWL
YRLG SV YRLG D6WUXFWM
LISVSV
SULQWI³7KLVDOZD\VJHWSULQWHG´
LWSULQWV
7KLVDOZD\VJHWVSULQWHG
7KHRUGHURIWKHPHPEHUVLVPDLQWDLQHGLQWKHPHPRU\7KLVFRQFHSWLVHDVLO\XQGHUVWRRG
LQWKHFDVHRIVWUXFWXUHV:KDWDERXWXQLRQV"/RRNDWWKHIROORZLQJFRGH
XQLRQVRPH8QLRQ^
LQWL
IORDWI
`D8QLRQ
YRLG SX YRLG D8QLRQL
YRLG SX YRLG D8QLRQI
LISX SX
SULQWI³7KLVWRRLVDOZD\VJHWSULQWHG´
LWSULQWV
7KLVWRRLVDOZD\VJHWVSULQWHG
7KLV VKRZV WKDW WKH SRLQWHUV WR WKH PHPEHUV RI WKH VDPH VWUXFWXUH DUH DOZD\V
HTXDOVWDWLQJWKDWWKH\VWDUWDWWKHVDPHORFDWLRQDVKDUHGORFDWLRQ
3RLQWHU$ULWKPHWLF
$ULWKPHWLFRQSRLQWHUVGLIIHUVIURPRUGLQDU\DULWKPHWLFVRLWLVFDOOHGDVSRLQWHU
DULWKPHWLF $ULWKPHWLF RQ SRLQWHUV LV OLPLWHG WR DGGLWLRQ VXEWUDFWLRQ DQG FRPSDULVRQ
$GGLWLRQ RSHUDWLRQ KDV UHVWULFWHG XVDJH 7ZR SRLQWHUV FDQQRW EH DGGHG $Q\ RWKHU
PDWKHPDWLFDO RSHUDWLRQ LV PHDQLQJOHVV DQG QRW DOORZHG %XW HYHQ LQ WKH WKUHH DOORZHG
RSHUDWLRQVWKHDULWKPHWLFLVDVVXUHGWREHPHDQLQJIXODQGGHILQHGRQO\LIWKHDGGUHVVWR
ZKLFKLWSRLQWVWRLVOLPLWHGWRWKHUDQJHRIWKHVDPHDUUD\
FKDUF$UU>@>@
SULQWI³SS´F$UUF$UU
ILUVWLVWKHEDVHDGGUHVVDQGWKHQH[WLVORFDWLRQV
DIWHUWKDWDQGVL]HRIFKDULVE\WH
LQWL$UU>@>@
SULQWI³SS´L$UUL$UU
ILUVWLVWKHEDVHDGGUHVVDQGWKHVHFRQGLV
VL]HRILQWORFDWLRQVIURPWKHEDVHDGGUHVV
LQWL$UU>@>@
LQW SWU LQW L$UU
SULQWI³SS´SWUSWU
ILUVWLVWKHEDVHDGGUHVVRIL$UUDQGWKHVHFRQGORFDWLRQ
DIWHUVL]HRILQWORFDWLRQVIURPSWUSWULVDQRUGLQDU\
LQWHJHUSRLQWHUDQGNQRZVQRWKLQJDERXWWKHW\SHRUGLPHQVLRQ
RIWKHDUUD\LWSRLQWVWR
$ULWKPHWLFDORSHUDWLRQVRQREMHFWSRLQWHUVRIW\SHSRLQWHUWRW\SHDXWRPDWLFDOO\
WDNHLQWRDFFRXQWWKHVL]HRIW\SHLHWKHQXPEHURIE\WHVQHHGHGWRVWRUHDW\SHREMHFW
LQW3WU
LQFUHPHQWVSRLQWHUWRWKHORFDWLRQIRUVL]HRILQW
GRXEOH3WU
LQFUHPHQWVSRLQWHUWRWKHORFDWLRQIRUVL]HRIGRXEOH
VRPH6WUXFW3WU
LQFUHPHQWVSRLQWHUWRWKHORFDWLRQIRUVL]HRIVRPH6WUXFW
6XEWUDFWLQJWZRSRLQWHUVWRHOHPHQWVRIWKHVDPHDUUD\REMHFWJLYHVDQLQWHJUDOYDOXH
RIW\SHSWUGLIIBWGHILQHGLQVWGGHIK!
$V,KDYHVDLGDGGLWLRQRSHUDWLRQKDVUHVWULFWHGXVDJH5HVWULFWHGXVDJHLQWKH
VHQVHWZRSRLQWHUVFDQQRWEHDGGHGEXWRWKHUDGGLWLRQRSHUDWLRQVOLNHLQFUHPHQWDQGWKH
DGGLWLRQZLWKFRQVWDQWYDOXHVYDULDEOHVDUHDOORZHG
LQW LDUU ^`
LQW MDUU ^`
LQWL
LDUU L
DOORZHG
LDUU
DOORZHG
LDUU
DOORZHG
LDUUMDUU
QRWDOORZHG
/HWXVVHHDQRWKHUH[DPSOHWRIL[LWLQPLQG
LQWLDUU>@
LQW L LDUU>@ M LDUU>@
LQW N LM
1RWSRVVLEOH7ZRSRLQWHUVFDQQRWEHDGGHG +HUHLWVHOI\RX
FDQQRWHWKDWWKHNZLOOSRLQWEH\RQGWKHOLPLWVRILDUU
LQWGLII M±L
LQWGLII LDUU>@ LDUU>@LVDOVRWKHVDPH
SULQWI³G´GLII
SULQWVLUUHVSHFWLYHRIWKHVL]HRILQWHJHULQWKDWV\VWHP
,QRWKHUZRUGVWKHVXEWUDFWLRQRSHUDWLRQJLYHVWKHGLIIHUHQFH
RISRVLWLRQV
$V,KDYHVDLGWZRSRLQWHUVFDQQRWEHDGGHG+RZHYHUSUDFWLFDOO\UHTXLUHPHQWV
PD\ DULVH IRU VXFK SRLQWHU DGGLWLRQV DV LQ WKH IROORZLQJ RQH WKLV H[DPSOH LV LQ
>.HUQLJKDQDQG5LWFKLH@SDJH
7KH UHTXLUHPHQW LV WR ILQG WKH PLGGOH HOHPHQW RI WKH DUUD\ LQ ELQDU\ VHDUFK
DOJRULWKPµORZ¶DQGµKLJK¶DUHWKHWZRSRLQWHUVSRLQWLQJWRWKHEHJLQQLQJRIWKHDUUD\
VWUXFWNH\ ORZ WDE>@
VWUXFWNH\ KLJK WDE>Q@
VWUXFWNH\ PLG ORZKLJK
QRWSRVVLEOHFDQQRWDGGWRSRLQWHUV
,QVXFKFDVHVWKHDOWHUQDWHZD\FDQEHXVHGIRUILQGLQJWKHPLGGOHYDOXH
VWUXFWNH\ PLG ORZKLJKORZ
6LQFHVXEWUDFWLQJWZRSRLQWHUVLVSHUIHFWO\DFFHSWDEOHWKLVWXUQVRXWWREHDILQHVROXWLRQ
7KH18//3RLQWHU
18//LVDSRLQWHUFRQVWDQWDQGLWVGHILQLWLRQPD\YDU\ZLWKLPSOHPHQWDWLRQV,WLV
WKHXQLYHUVDOLQLWLDOL]HUIRUDOOSRLQWHUW\SHV,WLVQRUPDOO\GHILQHGDVIROORZV
GHILQH18//YRLG
,QVWHDGRIWKLV\RXFDQXVHRU/H[SOLFLWO\LI\RXSUHIHU
:K\18//LVXVHGDVHQGRIWKHVWULQJ"
%HFDXVH WKH 18// LV WKH RQO\ FKDUDFWHU WKDW LV QHLWKHU SULQWDEOH QRU D FRQWURO
FKDUDFWHU
,Q JHQHUDO ZKHQ ZH SURJUDP ZLWK SRLQWHUV LW LV QHFHVVDU\ WR JXDUG DJDLQVW
SRVVLELOLWLHVRIDFFHVVLQJQXOOSRLQWHUV7KHIROORZLQJFRGHWHOOVRQHVXFKZD\WRGRWKDW
LQWIRRLQW S^
LIS^
EHIRUHXVLQJSPDNHVXUHWKDWLWLVQRWDQXOOSRLQWHU
EHIRUHSURFHVVLQJRQLW
2UVWLOOPRUHLQWHOOLJHQWO\LQFDVHRIVWULQJVDVIROORZV
LIS VWUOHQS!
QRSUREOHPLIS WKHQVWUOHQSZLOOQRWEHHYDOXDWHGWKLVLV

DJRRGZD\WRPDNHVXUHWKDWDFFHVVWRQXOOSRLQWHULVQRWPDGH
,OOHJDO$FFHVVHV
,IWKHSRLQWHUYDULDEOHLVQRWLQLWLDOL]HGDQGLIDFFHVVLVPDGHWRWKDWYDULDEOHWKH
EHKDYLRULVXQGHILQHG7KHSRLQWHUDULWKPHWLFKROGVRQO\LIWKHUDQJHLVZLWKLQWKHDUUD\
6RLWLVDOZD\VJRRGWRFKHFNWKHYDOLGLW\RIWKHSRLQWHUEHIRUHDFFHVVLQJLW7KHIROORZLQJ
FRGHPDNHVVXUHWKDWSWULVQRW18//EHIRUHDFFHVVLQJLW
LISWU SWU
SULQWI³G´ SWU
7KLVXVHVWKHSURSHUW\WKDWERROHDQRSHUDWRUZLOOEHHYDOXDWHGXQWLOWKHWUXWKYDOXH
LVGHWHUPLQHG6RLIWKHYDOXHRISWULV]HURWKHFRQGLWLRQZLOOIDLODQGZLOOFRPHRXW
'DQJOLQJ3RLQWHUV
'DQJOLQJSRLQWHUVDQGPHPRU\OHDNVDUHWKHQDVWLHVWSUREOHPVWKDWPD\DULVHLQD
SURJUDP'DQJOLQJSRLQWHUVDULVHVZKHQ\RXXVHWKHDGGUHVVRIDQREMHFWDIWHULWVOLIHWLPH
LVRYHU7KLVPD\RFFXULQWKHVLWXDWLRQVOLNH
¾ UHWXUQLQJDGGUHVVHVRIWKHDXWRPDWLFYDULDEOHVIURPDIXQFWLRQ
LQW IXQ
LQW[
UHWXUQ [
«
LQW N IXQ
GDQJOLQJSRLQWHUQHYHUUHWXUQDXWRYDULDEOHVIURPIXQFWLRQV
¾ XVLQJWKHDGGUHVVRIWKHPHPRU\EORFNDIWHULWLVIUHHG
LQW EORFN LQW PDOORFVL]HRILQW
LID!E^
IUHHEORFN
«
EORFN
GDQJOLQJSRLQWHUDFFHVVLQJWKHPHPRU\DUHDDIWHULWLVIUHHG
'DQJOLQJ SRLQWHUV PD\ KDUP WKH H[HFXWLRQ RI \RXU SURJUDP WR DQ\ H[WHQW 6R LW
VKRXOGEHVWULFWO\DYRLGHG
0HPRU\VWRUDJH/HDNV
0HPRU\VWRUDJHOHDNVRFFXUZKHQ\RXIDLOWRIUHHWKHVWRUDJHZKHQLWLVQRORQJHU
XVHG
LQW SWU PDOORF
SWU SWU
QRZWKHUHLVQRSRLQWHUWRSRLQWDWWKHDOORFDWHG
PHPRU\EORFNDQGWKDWWRRLVQRWIUHHG
7KH SURJUDPPHUV IUHTXHQWO\ IRUJHW WKDW WKH OLIHWLPH RI D G\QDPLFDOO\ DOORFDWHG
EORFNLVWKDWRIWKHSURJUDP
0RVWRIWKHV\VWHPVVXSSRUWDIXQFWLRQNQRZQDVµDOORFD¶WKDWDOORFDWHVPHPRU\
G\QDPLFDOO\ LQ VWDFN 7KH DGYDQWDJH LV WKDW WKH PHPRU\ LV DXWRPDWLFDOO\ UHFROOHFWHG
ZKHQ WKH IXQFWLRQ H[LWV DQG LV ORFDO WR D IXQFWLRQ VR QR SRVVLELOLW\ RI PHPRU\ OHDNV
7KHSUREOHPDOVRLVWKHVDPHSURSHUW\LWVHOI:HFDQQRWUHWXUQWKHG\QDPLFDOO\DOORFDWHG
FKXQN EDFN IURP WKH IXQFWLRQ DQG RWKHU IXQFWLRQV FDQQRW PDQLSXODWH LW ,Q DGGLWLRQ
VWDQGDUGOLEUDU\GRHVQRWVXSSRUWLW
7KHHIIHFWRIPHPRU\OHDNVLVQRWHYLGHQWXQWLO WKH V\VWHP UXQV RXW RI PHPRU\
&RQVLGHU WKH FDVH ZKHUH PXOWLSOH SURJUDPV DUH H[HFXWHG DW D WLPH ZKLFK VKDUH VDPH
KHDS,IWKHPHPRU\OHDNLVPXFKWKHV\VWHPZLOOUXQRXWRIPHPRU\DQGWKHRQO\ZD\WR
UHFRYHU LV WR UHVHW WKH V\VWHP 7KHUHIRUH LW LV WKH UHVSRQVLELOLW\ RI WKH SURJUDPPHU WR
SURPSWO\IUHHWKHUHVRXUFHV
:LOG3RLQWHUV
¾ 'DQJOLQJUHIHUHQFHV
¾ 8QLQLWLDOL]HGSRLQWHUVDQG
¾ &RUUXSWHGSRLQWHUV
DUHVRPHWLPHVUHIHUUHGWRDVZLOGSRLQWHUV
$JOREDOSRLQWHUVKRXOGQHYHUUHIHUHQFHDORFDODXWRYDULDEOHEHFDXVHZKHQWKDW
ORFDO YDULDEOH JRHV RXW RI VFRSH LWV PHPRU\ LV UHOHDVHG WR EH UHXVHG E\ WKH VWDFN IRU
VRPHWKLQJHOVH1RZWKLVJOREDOSRLQWHUEHFRPHVDGDQJOLQJSRLQWHU,IWKHJOREDOSRLQWHU
LVODWHUXVHGLWPD\EHHUURQHRXVO\UHIHUHQFLQJVRPHWKLQJHOVH
7RDYRLGWKHSUREOHPVZLWKXQLQLWLDOL]HGSRLQWHUVWKDWLVGLVFXVVHGDERYHWKH\
VKRXOGEHLQLWLDOL]HGLINQRZQZLWKWKHLQWHQGHGYDULDEOHDGGUHVVHVRUWR18//
0LVXVLQJSRLQWHUDULWKPHWLFDQGPDNLQJWKHPSRLQWLQJWRLOOHJDODGGUHVVHVFUHDWHV
FRUUXSWHGSRLQWHUV7KH\DUHDOVRFUHDWHGLIPDGHSRLQWHGWRRWKHUZRUGERXQGDULHVWKDQ
LWVLQWHQGHGW\SH
6LQFH ZLOG SRLQWHUV FDQ SRVH VHULRXV WKUHDWV WR WKH FRUUHFW H[HFXWLRQ YDOLGLW\ RI
WKH SURJUDPV DQG QRWRULRXVO\ KDUG WR GHEXJ 7KH SURJUDPV VKRXOG EH IUHH IURP WKHVH
ZLOGSRLQWHUV
7KHFKHFNLQJYDOLGLW\RIDSRLQWHUREMHFWLHLIWKHSRLQWHULVSRLQWLQJWR D YDOLG
ORFDWLRQRUQRWLVDYHU\ELJSUREOHPDQGLQVRPHFDVHVWKHYDOLGDWLRQFDQQRWEHGRQHDW
DOO$QH[DPSOHLVIXQFWLRQDUJXPHQWVWDNLQJSRLQWHUV)RUH[DPSOH
VL]HBWVWUOHQFRQVWFKDU
,W LV WDNHQ IRU JUDQWHG WKDW WKH DGGUHVV SDVVHG LV D YDOLG RQH DQG SURFHVVLQJ LV
PDGHDFFRUGLQJO\DQGWKHUHLVQRZD\WRYHULI\HLWKHU
([HUFLVH
)LQGRXWWKHVXEWOHHUURULQWKHIROORZLQJFRGHVHJPHQW
YRLGIXQLQWQLQWDUU>@^
LQW S
LQWL
ZKLOHLQ
S DUU>L@
S
`
3RLQWHUVDQG&RQVW4XDOLILHU
:KHQWKHSRLQWHUGHFODUDWLRQLQYROYHVFRQVWTXDOLILHULWFDQEHXQGHUVWRRGHDVLO\
E\UHDGLQJIURPULJKWWROHIW
FRQVWLQW SWU YDU
LQWFRQVW SWU YDU
ERWKDUHSRLQWHUWRFRQVW
DUH HTXLYDOHQW ,W FDQ EH UHDG DV SWU LV D SRLQWHU WR D YDULDEOH RI W\SH LQWHJHU WKDW LV D
FRQVWDQW,WVD\VWKHYDOXHRIWKHYDULDEOHSRLQWHGE\SWUPD\QRWEHPRGLILHG
SWU
LQYDOLGEXW
SWU YDU
LVYDOLG
7KLVFDQDOVRHDVLO\EHUHPHPEHUHGE\WKHIDPLOLDUSURWRW\SHRIVWUFPS
FKDU VWUFPSFRQVWFKDU VWUFRQVWFKDU VWU
ZKHUHWKHFRQVWLQWKHDUJXPHQWVJXDUDQWHHWKDWWKHVWULQJVSRLQWHGE\WKHDUJXPHQWVZLOO
QRWEHFKDQJHG
LQW FRQVWSWU YDU
FRQVWDQWSRLQWHU
ZKLFK FDQ EH UHDG DV SWU LV D FRQVWDQW SRLQWHUGRQ¶ JHW FRQIXVHG ZLWK SRLQWHU
FRQVWDQW3RLQWHUFRQVWDQWLVXVHGLQFDVHRIDUUD\QDPHVWRYDULDEOHVRIW\SHLQW1RZ
SWU YDU
LQYDOLGEXW
SWU
LVYDOLG
&RPELQLQJWKHERWK
FRQVWLQW FRQVWSWU YDU
ZKLFK FDQ EH UHDG DV SWU LV D FRQVWDQW SRLQWHU WR D YDULDEOH RI W\SH LQW ZKLFK LV
FRQVWDQW6RERWKWKHSRLQWHUDQGWKHYDULDEOHSRLQWHGE\LWFDQQRWEHPRGLILHG
SWU YDU
LQYDOLGDOVR
SWU
LVLQYDOLG
'LIIHUHQFH%HWZHHQ3RLQWHU&RQVWDQWDQG&RQVWDQW3RLQWHU
3RLQWHUFRQVWDQWLVGLVWLQFWIURPFRQVWDQWSRLQWHUDQGVKRXOGQRWEHFRQIXVHGZLWK
HDFK RWKHU $Q DUUD\ QDPH IRU H[DPSOH LV D SRLQWHU FRQVWDQW )XQFWLRQ QDPHV DUH DOVR
SRLQWHU FRQVWDQWV EHFDXVH WKH\ DGGUHVV WKH\ SRLQW WR FDQQRW EH FKDQJHG 18// DV ZH
KDYHMXVWVHHQLVDOVRDSRLQWHUFRQVWDQW,WLVXVHGLQWKHVHQVHDVWKHZRUGµFRQVWDQW¶DV
XVHG LQ FKDUDFWHU FRQVWDQW LQWHJHU FRQVWDQW HWF :KHUH WKH LPSOLFLW PHDQLQJ LV WKDW WKH
REMHFWLWVHOILVDFRQVWDQWDQGVRQRFKDQFHRIPRGLI\LQJ,QRWKHUZRUGVLWFDQQHYHUEH
DQOYDOXHDQGWKHµFRQVW¶QHVVLVLPSOLFLWDQGLVDPXVW
%XW LQ WKH FDVH RI FRQVWDQW SRLQWHUV WKH ZRUG FRQVW LV DSSOLHG DV DQ DGMHFWLYH
TXDOLI\LQJWKHSRLQWHUDVDFRQVWDQW6RLWPHDQVWKDWLWDOVRPD\QRWDSSHDUDVDQOYDOXH
DQGWKHDGGUHVVLWµFRQWDLQV¶PD\QRWEHPRGLILHG8QOLNHSRLQWHUFRQVWDQWVWKHFRQVWDQW
SRLQWHU LW FDQ EH PRGLILHG LQGLUHFWO\ DQG WKH µFRQVW¶QHVV LV LPSRVHG DUWLILFLDOO\ E\ WKH
FRPSLOHU
LQWDUUD\>@VRPH$UUD\>@
KHUHµDUUD\¶µVRPH$UUD\¶DUHSRLQWHUFRQVWDQWV
LQW FRQVWSWU DUUD\
SWULVDFRQVWDQWSRLQWHUDQGLWLVLQLWLDOL]HG
ZLWKWKHUYDOXHµDUUD\¶
LQW WHPS
SWU VRPH$UUD\
HUURUDGGUHVVLWVWRUHVFDQQRWEHPRGLILHG
SWU>@ RN
WHPS SWU
WHPS VRPH$UUD\
RN1RZSWUSRLQWVWRVRPH$UUD\
WHPS DUUD\
WHPS VRPH$UUD\
QRFKDQFH7KLVLVDSRLQWHUFRQVWDQW
3RLQWWR3RQGHU
3RLQWHU WR D FRQVWDQW PHDQV WKDW WKH YDOXH LV QRW FKDQJHG WKURXJK WKDW SRLQWHU
QRWWKDWLWLVXQFKDQJHGWKURXJKDQ\SRLQWHU
1HDU)DUDQG+XJH3RLQWHUV
3RLQWHULVGHILQHGDVWKHW\SHWKDWFDQKROGWKHDGGUHVVDEOHUDQJHRIWKHV\VWHP,Q
DGGLWLRQWKHVL]HRIWKHSRLQWHULVQRUPDOO\WKHVL]HRILQWIRUHIILFLHQF\7KLVWZRPD\
QRW QHFHVVDULO\ DUH EH FRPSDWLEOH ZLWK HDFK RWKHU VR OHDGV WR SUREOHPV LQ IHZ
LPSOHPHQWDWLRQV
,Q,QWHO¶V[V\VWHPVWKHVL]HRILQWLVE\WHV6RSRLQWHUVPD\EHLPSOHPHQWHG
WRKROGWZRE\WHV7KLVFDQDGGUHVVXSWRPHPRU\ORFDWLRQVVL]HRIRQHVHJPHQWLQ
WKHVH PDFKLQHV 7KLV LV HQRXJK IRU VPDOO SURJUDPV WKDW PDQLSXODWH IHZHU DPRXQWV RI
GDWD 1HYHUWKHOHVV WKLV LV IDU OHVV WKDQ WKH DGGUHVVDEOH SRUWLRQ RI WKH PHPRU\ 7R
RYHUFRPHWKLVGLIILFXOW\WKH\KDYHDQDOWHUQDWLYHSDWFKZRUNZKHUHWKH\KDYHIDUSRLQWHUV
7KHUHIRUHDSRLQWHUYDULDEOHZKHQGHFODUHGDVIDULVRIE\WHVWKDWFDQDGGUHVVXSWR
7KLVWRRFDQQRWGHWHUPLQHDPHPRU\ORFDWLRQH[DFWO\LIXVHGLQFRPSDULVRQVOLNHSWU
SWU%HFDXVHLWLVVWRUHGLQWKHIRUPDWVHJPHQWRIIVHW7RRYHUFRPHWKLVZKHQ\RX
GHFODUHDSRLQWHUDVKXJHLWDOVRWDNHVE\WHVRIPHPRU\EXWZKLFKVWRUHVWKHDGGUHVVHV
DVDEVROXWHDGGUHVVHV$JDLQWRPDNHWKHVHNLQGVRIFKDQJHVWRSRLQWHUV DVGHIDXOW W\SH
WKH\KDYHPHPRU\PRGHOVHWFZKLFKPDNHVWKHSUREOHPZRUVH
6XFKLPSOHPHQWDWLRQVFRPSLOHUYHQGRUVOLNH0LFURVRIW%RUODQGHWFVXSSRUWWKLV
RQH DUH VSHFLILF WR VRPH VXEVHW RQO\ DQG WKH UHDGHU LV UHFRPPHQGHG WR IROORZ WKH
VWDQGDUGVWULFWO\LIKHZDQWVKLVVRIWZDUHWREHSRUWDEOH
$UUD\V
$UUD\VDUHOLVWRIREMHFWVRIVDPHW\SH$UUD\QDPHLVDQOYDOXH+RZHYHUDQRQ
PRGLILDEOHOYDOXHDSRLQWHUFRQVWDQW6LQFHDQDUUD\QDPHSRLQWVWRWKHEHJLQQLQJRID
PHPRU\ORFDWLRQLILWLVPRGLILHGMXVWOLNHDSRLQWHUUHIHUHQFHWKDWPHPRU\ORFDWLRQZLOO
EHORVW6RLWLVFDOOHGDVSRLQWHUFRQVWDQWVLJQLI\LQJWKDW\RXPD\UHIHULWVYDOXHEXWPD\
QRWPRGLI\LW$VZHVDLGSUHYLRXVO\DVVLJQPHQWEHWZHHQDUUD\VLVQRWDOORZHGZKHUHDV
DOORWKHUDVVLJQPHQWW\SHVDUHDOORZHG7KHUHDVRQEHLQJWKDWDUUD\VDUHSRLQWHUFRQVWDQWV
LQGLFDWLQJ WKH\ DUH DGGUHVVHV ZKHUHDV D VWUXFWXUH DVVLJQPHQW LV DOORZHG EHFDXVH D
VWUXFWXUHQDPHVLJQLILHVDYDOXH
/RZ/HYHO1DWXUHRI$UUD\V
7KH & DUUD\V DUH ORZOHYHO LQ QDWXUH 7KH\ UHIOHFW WKH VWRUDJH RI WKH DUUD\
HOHPHQWVLQWKHSK\VLFDOKDUGZDUH7RVXSSRUWWKHDUJXPHQWWKDW&DUUD\VDUHVXIILFLHQWO\
ORZOHYHOFRQVLGHUWKHIROORZLQJSRLQWV
¾ 7KHDUUD\QDPHUHIHUVWRWKHVWDUWLQJDGGUHVVRIZKHUHWKHDFWXDOVWRUDJHRIWKH
DUUD\PHPEHUVEHJLQDQGWKLVKHOSVLQDVVLJQLQJWKHDUUD\WRDSRLQWHURIWKH
VDPHHOHPHQWW\SH
¾ 7KHDUUD\HOHPHQWVDUHVWRUHGLQDFRQWLJXRXVVWRUDJHRIE\WHV
¾ 1RSDGGLQJLVGRQH
¾ 7KHDUUD\VDUHQRWVHOIGHVFULELQJ
:KHQ\RXGHFODUHDQDUUD\LWLVDVVXUHGWKDWLWLVDOORFDWHGFRQWLJXRXVO\DQGZLWK
QRSDGGLQJEHWZHHQWKHDUUD\HOHPHQWVGRQH:HUHSDGGLQJSRVVLEOHLWZRXOGEHFRVWO\
LQFDVHRIODUJHDQGPXOWLGLPHQVLRQDODUUD\V$UUD\VGRHVQ¶WKDYHDQ\LQIRUPDWLRQVWRUH
LQ LWVHOI RQ WKH W\SH RI LQIRUPDWLRQ WKH\ VWRUH RU LWV VL]H HWF &RQVLGHU WKH IROORZLQJ
H[DPSOH
YRLGIRRYRLG Y3WU
"""LVY3WU
LQWL$UU>@ ^`
IRRYRLG L$UU
QRZXVLQJY3WUWKHUHLVQRZD\WRGHWHUPLQHWKHW\SHRIWKHDUUD\RUVL]HRIWKH
DUUD\RURWKHUUHODWHGLQIRUPDWLRQ
2QO\ WKURXJK DOO WKHVH SURSHUWLHV SRLQWHU DUUD\ UHODWLRQVKLS LV SRVVLEOH DQG
SRLQWHUDULWKPHWLFEHFRPHVSRVVLEOHZLWKDUUD\V
$UUD\%RXQGV
LQWLD>@
IRUL L L
D>L@
7KLVVHHPVWREHDKDUPOHVVFRGH%XWWKHIRUORRSDFFHVVHVD>@ZKLFKLVQRWWKHUH7KLV
LVFDOOHGDV
RQHSDVWHUURU
DOVRUHIHUUHGWR DVµIHQFHSRVW¶HUURUWKDW HYHQH[SHULHQFHG
SURJUDPPHUVFRPPLW,Q&DUUD\LQGH[EHJLQVIURPDQGWKHUHLVQRZD\WRFKDQJHWKLV
GHIDXOW EDVH 3RLQWHU DULWKPHWLF VKRXOG EH OLPLWHG ZLWKLQ WKH DYDLODEOH EORFN 6R
UHIHUHQFHVOLNHD>@DQGD>@DUHLOOHJDOVLQFHWKHUHIHUHQFHLVRXWVLGHWKHEORFNDQGVR
WKHEHKDYLRULVXQGHILQHG$16,&ORRVHQVWKLVUXOHE\DOORZLQJDFFHVVRQHHOHPHQWSDVW
WKHPHPRU\EORFN+RZHYHULWFDQQRWSRLQWEHORZWKHEDVHDGGUHVV
LQWDUUD\>@
DUUD\>@
2.$16,&UHOD[HVWKHUXOH
DUUD\>@
LOOHJDO
DUUD\>@
LOOHJDO&DQQRWSRLQWEHORZEDVHDGGUHVV
7RUHDVRQRXWWKLVEHKDYLRUFRQVLGHUWKHIROORZLQJFRGHLQD[PDFKLQH
LQWDUUD\>@
LQWIDU SWU DUUD\
VD\WKHDUUD\LVORFDWHGLQ
SWU
ZLOOQRZSRLQWWR))))
LIDUUD\SWU
SULQWI³7KH FRQGLWLRQ EHFRPHV IDOVH DQG WKLV
VWDWHPHQWZLOOQRWEHH[HFXWHG´
'XH WR VXFK SUREOHPV DV LQ WKH SUHYLRXV FRGH LW LV LOOHJDO WR DFFHVV WKH HOHPHQWV
EHORZWKHEDVHDGGUHVV%XWZKDWDERXWµRQHSDVWHUURU¶7KHVDPHSUREOHPRFFXUVLIWKH
DUUD\ HQGV DW WKH HQG RI D VHJPHQW DQG WULHV WR PRYH SDVW LW ,Q WKLV FDVH DQ $16,
FRPSLOHUPDNHVVXUHWKDWWKHDUUD\ERXQGLVDWOHDVWRQHEHORZWKHVHJPHQWOLPLW$OOWKLV
LV GXH WR WKLV XELTXLWRXV RQH SDVW HUURU 6R E\ DFFLGHQWDOO\ DFFHVVLQJ D>@ DV LQ WKDW
H[DPSOH ZLOO QRW OHDG WR XQGHILQHG EHKDYLRU EXW LW E\ QR PHDQV VD\ WKDW D>@ LV
FRUUHFW,WMXVWDYRLGVXQGHILQHGEHKDYLRU
$UUD\VDQGSRLQWHUV
$UUD\VDQGSRLQWHUVDUHFORVHO\UHODWHG3RLQWHUVDUHMXVWOYDOXHWRWKHREMHFWWKH\
SRLQWWRDUUD\>LQGH[@LVH[DFWO\VDPHDV DUUD\LQGH[RULQWXUQ LQGH[DUUD\LQ
DQ\ FDVH 6LQFH PRVW RI WKH WLPHV WKHUH LV D GLUHFW KDUGZDUH VXSSRUW WKH SRLQWHU
LPSOHPHQWDWLRQLVYHU\HIILFLHQW
,Q PRVW RI WKH ODQJXDJHV DUUD\V DUH LPSOHPHQWHG DV SRLQWHUV RQO\ ,Q & WKH
UHODWLRQLVGLUHFWDQGH[SOLFLW6RZHFDQUHIHUDUUD\>LQGH[@DVLQGH[>DUUD\@WKDWPHDQVWKH
VDPH ([DFWO\ RQH RI D E PXVW EH D SRLQWHU DQG RQH RI D E PXVW EH DQ LQWHJHU
H[SUHVVLRQ 6R DUUD\>@ LV HTXDO WR >DUUD\@ VLQFH DUUD\ LV D SRLQWHU DQG LV DQ LQWHJHU
H[SUHVVLRQ (YHQ FDVWLQJ PD\ EH DSSOLHG DQG LV YDOLG WLOO WKH FRQGLWLRQ LV VDWLVILHG )RU
H[DPSOH
D>E@ FKDU D>LQWE@
&RQVLGHUWKLVH[DPSOH
LQWD>@>@
LQWN >D@>@
2.7UHDWHGDV D
LQWP >@>D@
(UURU7UHDWHGDV DZKLFKLVLOOHJDO
6KRZLQJ WKH UHODWLRQVKLS EHWZHHQ DUUD\V DQG SRLQWHUV LV YHU\ VLPSOH DV LQ WKH
IROORZLQJDVVXPHWKDWµDUU¶LVGHFODUHGDV
W\SHGHIFKDU7\SH
7\SHDUU>@
/HWVVWDUWZLWKDVVXPLQJWKHUHODWLRQ
DUU>@ DUU
7KHEDVHDGGUHVVRIWKHDUUD\LV DUU>@DQGLWLVHTXDOWRMXVWVD\LQJDUU,QRWKHU
ZRUGV WKH DUUD\ VWDUWV DW WKH

WK SRVLWLRQ DQG DSSO\LQJ WKH RSHUDWRU WR WKDW SRVLWLRQ
\LHOGVQRWKLQJEXWWKHEDVHDGGUHVVRIWKDWDUUD\7KHVDPHFDQEHH[SDQGHGDV
DUU>@ FKDU DUU VL]HRI7\SH
1RWH WKDW WKH FDVWLQJ µDUU¶ WR FKDU LV HVVHQWLDO WR PDNH VXUH WKDW WKH DGGUHVVHV DUH
DGGHGLQDVFDOHRI
6RZKDWHYHUPD\EHWKHW\SHIRUDUU>@WKHIROORZLQJUHODWLRQKROGVWUXH
DUU>@ FKDU DUU VL]HRI7\SH
$QG\RXFDQDOVRJHQHUDOL]HLWIRU
DUU>L@ FKDU DUUL VL]HRI7\SH
7KLVVKRZVWKHUHODWLRQVKLSEHWZHHQVLQJOHGLPHQVLRQDODUUD\VDQGSRLQWHUV
:K\GLG ,XVHDW\SHGHIIRUµ7\SH¶"7KDWLVWRH[WHQGWKLVUHODWLRQVKLSWRPXOWL
GLPHQVLRQDODUUD\V&RQVLGHU
W\SHGHIFKDU7\SH>@
W\SHGHIFKDU7\SH>@>@
RUPRUH
DQG VWLOO WKH UHODWLRQ KROGV JRRG IRU WKH VLPSOH UHDVRQ WKDW PXOWLGLPHQVLRQDO
DUUD\VDUHPDGHXSRIVLQJOHGLPHQVLRQDODUUD\V
)ODWWHQLQJRI$UUD\V
$UUD\VDUHLPSOHPHQWHGDVDFRQWLJXRXVPHPRU\EORFN7KLVLQIRUPDWLRQFDQEH
XVHGWRPDQLSXODWHWKHYDOXHVVWRUHGLQWKHDUUD\DQGDOORZVUDSLGDFFHVVWRDSDUWLFXODU
DUUD\ORFDWLRQ
LQWDUU>@>@
LQW SWU LQW DUU
SWU>@
WKLVLVHTXLYDOHQWWRDUU>@>@ DVVLJQD'DUUD\
DQGPDQLSXODWHQRZDVDVLQJOHGLPHQVLRQDODUUD\
7KH WHFKQLTXH RI H[SORLWLQJ WKH FRQWLJXRXV QDWXUH RI DUUD\V LV NQRZQ DV µIODWWHQLQJ RI
DUUD\V¶
5DJJHG$UUD\V
FKDU OLVW
OLVW>@ 8QLWHG6WDWHVRI$PHULFD
OLVW>@ ,QGLD
OLVW>@ 8QLWHG.LQJGRP
IRULQWL LL
SULQWIGVWUOHQOLVW>L@
SULQWV
OLVW>@!8QLWHG6WDWHVRI$PHULFD
OLVW>@!,QGLD
OLVW>@!8QLWHG.LQJGRP
7KLV W\SH RI LPSOHPHQWDWLRQ LV NQRZQ DV UDJJHG DUUD\ DQG LV XVHIXO LQ SODFHV
ZKHUHWKHVWULQJVRIYDULDEOHVL]HDUHXVHG3RSXODUPHWKRGLVWRKDYHG\QDPLFPHPRU\
DOORFDWLRQWREHGRQHRQWKHHYHU\GLPHQVLRQ7KHFRPPDQGOLQHDUJXPHQWVIRUH[DPSOH
DUHSDVVHGRQO\DVUDJJHGDUUD\V
&RPSDULQJIODWWHQHGDQGUDJJHGDUUD\V
$IWHUNQRZLQJZKDWLVIODWWHQLQJRIDUUD\VDQGUDJJHGDUUD\VLWLVWKHWLPHWR
FRPSDUHWKHWZR/HWXVKDYHDQH[DPSOH
LQWIODWWHQHG>@>@>@
LQW UDJJHG
LQWLMQXP(OHPHQWV QXP3RLQWHUV
UDJJHG LQW PDOORFVL]HRILQW
QXP3RLQWHUV
IRUL LL
UDJJHG>L@ LQW PDOORFVL]HRILQW
QXP3RLQWHUV
IRUM MM
UDJJHG>L@>M@ LQW PDOORFVL]HRILQW
QXP(OHPHQWV
`
SULQWI1XPEHURIHOHPHQWV GQXP(OHPHQWV
SULQWI1XPEHURISRLQWHUV GQXP3RLQWHUV
LWSULQWV
1XPEHURIHOHPHQWV
1XPEHURISRLQWHUV
$V \RX FDQ VHH WKH UDJJHG DUUD\V UHTXLUH SRLQWHUV LQ RWKHU ZRUGV
VL]HRILQW H[WUDPHPRU\ORFDWLRQVIRUSRLQWLQJLQWHJHUV:KHUHDVWKHIODWWHQHG
DUUD\ UHTXLUHV RQO\ RQH EDVH SRLQWHU WKH QDPH RI WKH DUUD\ HQRXJK WR SRLQW WR WKH
FRQWLJXRXVPHPRU\ORFDWLRQV
2QWKHRWKHUKDQGWKHUDJJHGDUUD\VDUHIOH[LEOH,QFDVHVZKHUHWKHH[DFWQXPEHU
RIPHPRU\ORFDWLRQVUHTXLUHGLVQRWNQRZQ\RXFDQQRWKDYHWKHOX[XU\RIDOORFDWLQJWKH
PHPRU\IRUZRUVWSRVVLEOHFDVH$JDLQLQVRPHFDVHVWKHH[DFWQXPEHURIPHPRU\VSDFH
UHTXLUHGLVNQRZQRQO\DWUXQWLPH,QVXFKVLWXDWLRQVUDJJHGDUUD\VEHFRPHKDQG\
7RLOOXVWUDWHFRQVLGHUWKHH[DPSOHRIDWH[WHGLWRU7KHVL]HRIWKHWH[WWKHXVHULV
JRLQJ WR W\SH FDQQRW EH SUHGLFWHG ,I ZRUVW FDVH RI FROXPQV DQG OLQHV LV
DVVXPHGDQGWKHVSDFHLVDOORFDWHGVWDWLFDOO\LWZLOOUHTXLUH E\WHVRUNLOR
E\WHV (YHQ LI ZH DOORFDWH VXFK ELJ FKXQN RI PHPRU\ RXU WH[WHGLWRU ZLOO KDYH WKH
OLPLWDWLRQWKDWWKHXVHUFDQW\SHRQO\XSWRFKDUDFWHUVSHUOLQHDQGOLQHVDWWKH
PD[LPXP 2Q WKH RWKHU KDQG GHFODUH D ' SRLQWHU IRU VWRULQJ WKH LQIRUPDWLRQ WKDW WKH
XVHU W\SHV 0HPRU\ FDQ EH DOORFDWHG G\QDPLFDOO\ WR ILW WKH QHHG ,I WKH XVHU W\SHV
QRWKLQJQRVSDFHZLOOEHDOORFDWHG,IKHW\SHVDORWZLWKYDULHGQXPEHURIFKDUDFWHUVLQ
HDFKOLQHWKHVSDFHFDQEHDOORFDWHGH[DFWO\ZLWKDGGLWLRQDOVSDFHIRUVWRULQJWKHSRLQWHUV
IRUHDFKOLQH7KHUHLVQROLPLWRQWKHQXPEHURIOLQHVVLQFHWKHSRLQWHUVWRWKHOLQHLVDOVR
DOORFDWHGG\QDPLFDOO\DQGFDQYDU\6RWKHRQO\OLPLWDWLRQKDSSHQVLVWREHWKHVL]HRIWKH
DYDLODEOHPHPRU\$V \RX FDQVHHWKLVUDJJHG DUUD\ DSSURDFK FRQVHUYHV ORW RI VSDFH LQ
WKLVFDVHDQGLVYHU\IOH[LEOH
6RWKHVHOHFWLRQGHSHQGVRQRXU UHTXLUHPHQWDQGHDFKDSSURDFKKDYH WKHLU RZQ
DGYDQWDJHVDQGGLVDGYDQWDJHV
5RZPDMRURI$UUD\V
8QOLNHWKHODQJXDJHV3DVFDODQG)2575$1WKDWIROORZVFROXPQPDMRURUGHU&
IROORZV URZPDMRU RUGHULQJ IRU PXOWLGLPHQVLRQDO DUUD\V µ)ODWWHQLQJ RI DUUD\V¶ FDQ EH
YLHZHGDVDQHIIHFWGXHWKLVDVSHFWLQ&
:KDW LV WKH VLJQLILFDQFH RI URZPDMRU RUGHU RI &" ,W ILWV WR WKH QDWXUDO ZD\ LQ
ZKLFK PRVW RI WKH DFFHVVLQJ LV PDGH LQ WKH SURJUDPPLQJ /HWV ORRN DW DQ H[DPSOH IRU
WUDYHUVLQJD1 0'PDWUL[
IRUL L1L
IRUM M0M
SULQWI³G´PDWUL[>L@>M@
(DFK URZ LQ WKH PDWUL[ LV DFFHVVHG RQH E\ RQH E\ YDU\LQJ WKH FROXPQ UDSLGO\
7KH&DUUD\LVDUUDQJHGLQPHPRU\LQWKLVQDWXUDOZD\&RQVLGHUWKHIROORZLQJRQH
IRUL L0L
IRUM M1M
SULQWI³G´PDWUL[>M@>L@
7KLVFKDQJHVWKHFROXPQLQGH[PRVWIUHTXHQWO\WKDQWKHURZLQGH[ ,VWKHUHDQ\
GLIIHUHQFHLQHIILFLHQF\EHWZHHQWKHWZRFRGHV"
<HV 7KH ILUVW RQH LV PRUH HIILFLHQW WKDQ WKH VHFRQG RQH %HFDXVH WKH ILUVW RQH
DFFHVVHVWKHDUUD\LQWKHQDWXUDORUGHUURZPDMRURUGHURI&KHQFHLWLVIDVWHUZKHUHDV
WKHVHFRQGRQHWDNHVPRUHWLPHWRMXPS,I\RXZDQWWRYHULI\WKHIDFWWKDWWKHILUVWRQHLV
IDVWHUWKDQWKHVHFRQGRQHXVHFORFNIXQFWLRQLQWLPHK!UXQLQ\RXUPDFKLQHDQGVHH
WKHWLPHGLIIHUHQFHWRH[HFXWHWKHP,QRXUPDFKLQHWKHVHFRQGFRGHWRRNWZLFHDVPXFK
WLPHWKDQWKHILUVWRQHWRH[HFXWH
7KHGLIIHUHQFHPD\EHVPDOOLQFDVHRIVPDOODUUD\V+RZHYHUDVWKHQXPEHURI
GLPHQVLRQV DQG WKH VL]H RI HOHPHQW LQFUHDVHV WKH SHUIRUPDQFH GLIIHUHQFH ZRXOG EH
VLJQLILFDQW
6WDWLF$OORFDWLRQ
,Q & VWDWLF DOORFDWLRQ LV PDGH IRU DUUD\V 6R DOO WKH LQIRUPDWLRQ UHTXLUHG IRU
DOORFDWLRQRIPHPRU\LVQHHGHG ,QRWKHUZRUGVLQFRPSOHWHLQIRUPDWLRQZLOO QRW VXIILFH
DQGZLOOOHDGWRFRPSLOHWLPHHUURU7KLVLVH[FHSWIRUILUVWGLPHQVLRQ
LQWD>@ ^`
YDOLG,WLVOHIWIRUFRPSLOHUWRFDOFXODWHWKH GLPHQVLRQ
LQWD>@>@ ^^`^``
QRWYDOLG2QO\RQHGLPHQVLRQPD\EHOHIWIUHH
WREHFDOFXODWHGE\WKHFRPSLOHU
$FRQVWDQWH[SUHVVLRQLVDOORZHGWRVSHFLI\WKHVL]HRIWKHDUUD\
LQWD>@ ^` RN
LQW D ^` HUURU

>@DQG XVDJHDUHQRWHTXLYDOHQWDQGVRFDQQRWEHXVHGLQWHUFKDQJHDEO\ LQW DFDQQRW
EHXVHGLQSODFHRILQWD>@LQWKHDERYHGHFODUDWLRQDQGWKH\LQQRZD\DUHHTXLYDOHQW7KH
FRQIXVLRQ EHWZHHQ WKH WZR RI WKH XVDJH DULVHV IURP WKH IDFW WKDW WKH\ KDYH WKH VDPH
PHDQLQJZKHQXVHGDVIXQFWLRQDUJXPHQWV
,H IRRLQW DUU DQG IRRLQW DUU>@ DUH HTXLYDOHQW 6LPLODUO\ IRRLQW DUU DQG
IRRLQW DUU>@DUHDOOHTXLYDOHQW%XWWKH\DUHQRW HTXLYDOHQWHOVHZKHUH
&RQVLGHU
FKDU SVWU ³VWULQJ´
FKDUDVWU>@ ³VWULQJ´
SULQWI³SVWU GDVWU ³G´VL]HRISVWU
VL]HRIDVWU
LIVL]HRISRLQWHUW\SHLVDVVXPHGWREHE\WHVLWSULQWV
SVUW DVWU
7KHGLIIHUHQFHLVHYLGHQWLQFDVHRIPXOWLGLPHQVLRQDODUUD\V
LQW L
LQWM>@
L M
QRSUREOHPLDQGMERWKDUHRIW\SHLQW
LQW L
LQWM>@>@
L M
HUURUZDUQLQJFDQQRWFRQYHUWIURPLQW >@WRLQW
7KHVHWZRDUHQRWHTXLYDOHQWLDQGMDUHRIGLIIHUHQWW\SHVDQGKHQFHLFDQQRWEHDVVLJQHG
WRM$QH[SOLFLWFDVWLQJLVUHTXLUHGWRGRWKHVDPH
L LQW M
RNH[SOLFLWFDVWLQJ
+RZHYHUWKHVDPHMFDQEHSDVVHGZLWKRXWFDVWLQJDVLQ
H[WHUQLQWIRRLQW DUU>@
LQWM>@>@
IRRM
RNIRRLQW MLVQRWUHTXLUHG
7KLVLVEHFDXVHRQO\SRLQWHUVQRWDUUD\VFDQEHSDVVHGWRIXQFWLRQVDQGRQO\KHUHWKH>@
DQG FDQEHXVHGLQWHUFKDQJHDEO\
8VDJHRIQHJDWLYHLQGLFHVLVQRWDQHUURU
LQWLDUU>@ ^`
LQW LSWU LDUU>@
SULQWI³G´LSWU>@
SULQWV
7KH QHJDWLYH LQGLFHV PD\ HYHQ EH XVHIXO LQ VRPH FDVHV ,I µLSWU¶ LV SRLQWLQJ
VRPHZKHUHPLGGOHLQWKHLQWHJHUDUUD\WKHQLSWU>@LSWU>@LSWU>@ZLOOJLYHWKHSUHYLRXV
FXUUHQWDQGQH[WLQWHJHUVUHVSHFWLYHO\
FKDU OLVW2I7RNHQV>@ ^ ³FKDU´ ´VKRUW´ ³LQWHJHU´
³ORQJ´³IORDW´³GRXEOH´`
FKDU FXUU7RN OLVW2I7RNHQV
SULQWI³SUHY7RN V?QFXUU7RN V?QQH[W7RN V´?
FXUU7RN>@FXUU7RN>@FXUU7RN>@
SULQWV
SUHY7RN LQWHJHU
FXUU7RN ORQJ
QH[W7RN IORDW
8VLQJ QHJDWLYH LQGLFHV LV QRW UHFRPPHQGHG EHFDXVH LW PD\ FRQIXVH WKH UHDGHU
ZKR UHDGV WKH SURJUDP 7KH DUUD\ DFFHVV VKRXOG EH ZLWKLQ WKH OLPLWV RI WKH DUUD\ DQG
XVLQJQHJHWLYHLQGLFHVPD\SRVVLEO\YLRODWHLW
LQWLDUU>@ ^`
SULQWI³G´LDUU>@
XQGHILQHGEHKDYLRU
$UUD\1DPHVDUH3RLQWHU&RQVWDQWV
FKDU SWU ³VWULQJ´
FKDUDUU>@ ³VWULQJ´
SWU
SHUIHFWO\RN
DUU
FRPSLOHUHUURU
7KHUHDVRQIRUWKHEHKDYLRUEHLQJWKDWDUULVDQDPHRIDQDUUD\DQGLIH[SUHVVLRQV
VXFKDVDZHUHDOORZHGLWPD\OHDYHWKHPHPRU\DUHDDOORFDWHGWREHVWUDQGHGDQG\RX
PD\PLVVWKHOLQNODWHU7RDYRLGWKHVHNLQGRISLWIDOOV&UHVWULFWVWKHDULWKPHWLFRQDUUD\
QDPHVDFDOOVLWDVSRLQWHUFRQVWDQW7KLVPHDQV\RXFDQH[DPLQHWKHFRQWHQWVXVLQJWKH
QDPHEXWPD\QRWPRGLI\LW,QFDVHRISWULQWKHH[DPSOHLWLVGHFODUHGDVDSRLQWHUVRLV
KDYLQJDOOWKHULJKWVWREHDULWKPHWLFSHUIRUPHGRQLW
6WULQJV
6WULQJVDUHLPSOHPHQWHGDVFRQVWFKDUSRLQWHUV6LQFHWKH\DUHSRLQWHUVWKHVWULQJ
PDQLSXODWLRQDVSRLQWHUVLVYHU\HIILFLHQWHJWKHLPSOHPHQWDWLRQRIPRVWRIIXQFWLRQVLQ
VWULQJK!
6WULQJFRQVWDQWV
$ VHTXHQFH RI FKDUDFWHUV HQFORVHG ZLWKLQ GRXEOH TXRWHV LV NQRZQ DV VWULQJ
FRQVWDQW ,W LQFOXGHV SULQWDEOH FKDUDFWHUV DQG HVFDSH FKDUDFWHUV 7ZR FRQWLQXRXV VWULQJV
VHSDUDWHGE\ZKLWHVSDFHFKDUDFWHUVWKDWLQFOXGHQHZOLQHFKDUDFWHUDUHFRQFDWHQDWHGE\
WKHFRPSLOHUDQGWUHDWHGDVDVDPHVWULQJµVWULQJL]DWLRQ¶RSHUDWLRQ
FKDUVWU>@ ³VWULQJL´
´]DWLRQ´
SXWVVWU
SULQWVVWULQJL]DWLRQ
FKDUQDPH>@ ÛDYLNXPDU
KDUL
³UDQMLWKD´
³SUDNDVK´

`
ZKLOHQDPH>L@
SXWVQDPH>L@
7KHSURJUDPPHUH[SHFWHGWKDWIRXUQDPHVEHSULQWHGEXWKHJRWRQO\WKUHH:KDW
ZHQW ZURQJ" &OXH ,W SULQWHG UDYLNXPDU KDUL DQG UDQMLWKDSUDNDVK 7KH SURJUDPPHU
PLVVHGDFRPPDZKLOHW\SLQJWKDWOHGWRVWULQJL]DWLRQRIVWULQJVFDXVLQJDQXQH[SHFWHG
SUREOHP
&RQVWDQW VWULQJV PD\ JHW SODFHG HLWKHU LQ FRGH RU GDWD DUHD DQG WKDW GHSHQGV RQ
WKH LPSOHPHQWDWLRQ 7KDW PHDQV WKH VWULQJ FRQVWDQWV DUH DYDLODEOH WR XVH HYHQ DIWHU
IXQFWLRQVDUHH[LWHG/HWXVVHHDQH[DPSOH
FKDU WU\
FKDU WHPS ³VWULQJFRQVWDQW
UHWXUQWHPS
FKDU WU\
FKDUWHPS>@ ³FKDUDFWHUVWULQJ
UHWXUQWHPS
FKDU WU\
FKDUWHPS>@ ^µF¶¶K¶¶D¶¶U¶¶V¶¶?¶`
UHWXUQWHPS
`
LQWPDLQ
SXWVWU\
SULQWV³VWULQJFRQVWDQW´
SXWVWU\
XQGHILQHGEHKDYLRU
SXWVWU\
XQGHILQHGEHKDYLRU
,QWKHWU\µWHPS¶LVLQLWLDOL]HGWRDFKDUDFWHUFRQVW6LQFHWKHFKDUDFWHUFRQVWDQWV
DUH VWRUHG LQ FRGHGDWD DUHD DQG QRW DOORFDWHG LQ VWDFN WKLV GRHVQ¶W OHDG WR GDQJOLQJ
SRLQWHUV%XWWKLVLVQRWWKHFDVHRIWU\DQGWU\7KHVHWZRIXQFWLRQVVXIIHUIURPWKH
SUREOHPRIGDQJOLQJSRLQWHUV,QWU\WHPSLVDFKDUDFWHUDUUD\DQGVRWKHVSDFHIRULWLV
DOORFDWHG LQ KHDS DQG LV LQLWLDOL]HG ZLWK WKH FKDUDFWHU VWULQJ ³FKDUDFWHU VWULQJ´ 7KLV LV
FUHDWHG G\QDPLFDOO\ DV WKH IXQFWLRQ LV FDOOHG VR LV DOVR GHOHWHG G\QDPLFDOO\ RQ H[LWLQJ
WKHIXQFWLRQVRWKHVWULQJGDWDLVQRWDYDLODEOHLQWKHFDOOLQJIXQFWLRQPDLQ6RWKHSXWV
UHDGV VRPH XQNQRZQ SRVLWLRQ OHDGLQJ WR XQGHILQHG EHKDYLRU 7KH IXQFWLRQ WU\ DOVR
VXIIHUV IURP WKH VDPH SUREOHP DQG WKH SUREOHP LV PRUH HDVLO\ LGHQWLILDEOH EHFDXVH WKH
LQLWLDOL]DWLRQLVGRQHFKDUDFWHUE\FKDUDFWHUH[SOLFLWO\
6KDUHG6WULQJV
FKDU SWU ³VWULQJ´
SWU>@ µD¶
SXWVDUU
PD\SULQWµVWUDQJ¶
<RX NQRZ WKDW FRQVWDQWV DUH DOVR DOORFDWHG VSDFH ZKLOH FRPSLODWLRQ RI WKH
SURJUDP,QWKLVH[DPSOH³VWULQJ´LVVWRUHGVRPHZKHUHLQWKHPHPRU\DQGLWVDGGUHVVLV
VWRUHGLQSWU&RPSLOHUPD\VWRUHERWKWKHVWULQJVLQDVLQJOHORFDWLRQDQGDVVLJQWKHVDPH
VWULQJWRERWKDUUDQGSWU$Q\PRGLILFDWLRQVWKURXJKSWUPD\DOVRDIIHFWDUU7KLVFRQFHSW
LVNQRZQDVVKDUHGVWULQJV
,WLVWREHQRWHGWKDWWKHVKDUHGVWULQJVGRHVQRWKDYHWRRFFXULQIXOOVWULQJVSDUW
RIWKHVWULQJVFDQDOVRRYHUODS
FKDU VWU VRPHVWULQJ
FKDU VWU VWULQJ
EHZDUHWKDWWKHSDUWVWULQJPD\EHFRPPRQLQERWKWKHVWULQJV
DQGVRPD\RYHUODS
&KHFNLQJIRULI\RXUFRPSLOHUXVHVVKDUHGVWULQJVRUQRWLVHDV\
FKDU SWU ³VWULQJ´
LISWU DUU
SULQWI³<HVVKDUHGVWULQJV´
RUFKHFNLWGLUHFWO\ZLWKWKHVWULQJFRQVWDQWV
LI³VWULQJ´ ³VWULQJ´
SULQWI³<HVVKDUHGVWULQJV´
7KHVHFKHFNLQJZRUNVRQWKHFRPPRQVHQVHWKDWQRWZRGLIIHUHQWVWULQJFRQVWDQWV
FDQEHVWRUHGLQWKHVDPHORFDWLRQ
LI³VRPH6WULQJ´ ³GLIIHUHQW6WULQJ´
SULQWI³7KLVZLOOQHYHUJHWSULQWHG´
7KLV VKDULQJ RI VWULQJ RSWLPL]DWLRQ E\ WKH FRPSLOHU LV WR VDYH VSDFH 7KLV PD\
UHVXOW LQ D VLJQLILFDQW JDLQ LQ VWRUDJH VSDFH LI WHQV RU KXQGUHGV RI VLPLODU FKDUDFWHU
FRQVWDQWVDUHXVHGLQWKHVRXUFHSURJUDP)RUH[DPSOH\RXPD\KDYH³VRPHVWULQJ´DV
WKHVWULQJXVHGWLPHVLQWKHWH[W,IVKDUHGVWULQJVDUHXVHGLWZLOODYRLGVWRULQJ³VRPH
VWULQJ´WLPHVLQWKHFRGHJHQHUDWHGDQGVWRUHRQO\RQHVWULQJLQVWHDG
6LQFHVKDUHGVWULQJVFDQHFRQRPL]HVSDFHKRZZLOO\RXIRUFHVKDULQJRIVWULQJVWR
EH HQIRUFHG E\ WKH FRPSLOHU" 2QH REYLRXV ZD\ LV WR VZLWFK RQ WKH VKDUHG VWULQJ IODJ
RSWLRQLQ\RXUFRPSLOHU$QRWKHULQGLUHFWZD\WRGRLWLQSURJUDPVLVWRKDYHDFKDUDFWHU
SRLQWHULQLWLDOL]HGZLWKWKDWFKDUDFWHUFRQVWDQWOLNHWKHIROORZLQJ
FRQVWFKDU VRPHWKLQJ ³VRPHVWULQJ´
DQGXVHWKDWLGHQWLILHUµVRPHWKLQJ¶LQVWHDGRIWKDWVWULQJ
SXWVVRPHWKLQJ
LQVWHDGRISXWV³VRPHVWULQJ´
LQSODFHVZKHUHWKHVWULQJ³VRPHVWULQJ´LVUHTXLUHG
6KDOORZ9V'HHS&RS\
FKDU W
FKDUV>@ ´VRPHWKLQJ´
W V
QRZWDOVRFRQWDLQVWKHDGGUHVVRIWKHVWULQJFRQVWDQW
1RFRS\LQJRIFRQWHQWVWDNHVSODFH2QO\ WKH DGGUHVV LV FRSLHG 6WLOO FKDQJHV PDGH
WKURXJKWDIIHFWVWKHREMHFWLWLVSRLQWLQJ
W>@ µP¶
QRZWKHVWULQJEHFRPHV³PRPHWKLQJ´
7KLV LV FDOOHG DV VKDOORZ FRS\ %\ GHIDXOW LQ & VKDOORZ FRS\ LV GRQH IRU SRLQWHU
DVVLJQPHQW
,I\RXZDQWWKHFRSLQJWREHGRQHLQWKHVSDFHIRUWKHWWKHQ\RXVKRXOGGRWKHVDPH
H[SOLFLWO\
FKDU W PDOORFVWUOHQV
VWUFS\WV
GHHSFRS\LVDIIHFWHGQRZ
6LQFH LW LV SRLQWLQJ WR WKH GLIIHUHQW ORFDWLRQ IURP WKH VRXUFH HYHQ WKRXJK WKH
FRQWHQWVRIWKHERWKDUHVDPHDIWHUWKHFRS\LQJFKDQJHE\RQHYDULDEOHGRHVQ¶WDIIHFWWKH
DQRWKHU
W>@ µP¶
QRZWKHVWULQJSRLQWHGE\WEHFRPHV³PRPHWKLQJ´
VWULQJSRLQWHGE\VUHPDLQVWKHVDPH³VRPHWKLQJ´
,Q RWKHU ZRUGV VKDOORZ FRS\ LV MXVW WR FRS\ WKH SRLQWHUV ZKHUHDV GHHS FRS\ LV WR
SURYLGHDGGUHVVIRUWKHQHZREMHFWZKHUHWKHFRS\RIWKHVRXUFHFRQWHQWLVVWRUHG
$UUD\VDQG6WULQJV
$UUD\V DQG VWULQJV DUH FORVHO\ UHODWHG DV VWULQJ LV MXVW DQ DUUD\ RI FKDUDFWHUV
&RQVLGHUDQH[DPSOH
FKDUVWULQJ>@
VWUQFS\VWULQJ´7RPFUXLVH´>@ µ?¶
VWUQFS\UHWXUQVFKDU
&RSLHV ³7RP´ LQWR VWULQJ DQG 18// WHUPLQDWHV LW 6LPLODUO\ WR WUDYHUVH D
FKDUDFWHUDUUD\WKLVSHUIHFWO\ZRUNV
IRUL LL
SXWFKDU´DHLRX´>L@
$OWKRXJKWKHVH H[DPSOHVZLOOQRWKHOSLQUHDOOLIHSURJUDPVWKH\VKRZ KRZ WKH
DUUD\VSRLQWHUVDQGVWULQJVDUHFORVHO\DVVRFLDWHGZLWKHDFKRWKHU
/RRNDWWKHIROORZLQJFRGHWRVHHWKDWWKHUXOHVWKDWDSSO\IRUPXOWLGLPHQWLRQDODUUD\V
DOVRDSSO\WRFKDUDFWHUDUUD\V
FKDU DUUD\>@ ^JRRGEDGEHWWHU`
$OORFDWHVWKUHHSRLQWHUVHDFKRIVL]HE\WHV
FKDU DUUD\>@ ^JRRGEDGEHWWHU`
$OORFDWHVWKUHHSRLQWHUVRIVL]HE\WHVUHVSHFWLYHO\
FKDU DUUD\>@ ^^JRRGEDG`ÊHWWHU``
(UURU5HTXLUHGLQIRUPDWLRQLVPLVVLQJ
FKDU VDQGFKDU$UUD\V
:KDWLVWKHGLIIHUHQFHEHWZHHQWKHGHFODUDWLRQV
FKDUDUUD\,QIR>@ ´KHOOR´
FKDU SWU,QIR ´KDL´
:KDWKDSSHQVLIDVVLJQPHQWOLNHWKLVRFFXU"
SWU,QIR>@ ¶D¶
7KH ILUVW RQH GHILQHV DQ RUGLQDU\ FKDUDFWHU DUUD\ 7KH VHFRQG RQH SRLQWV WR D
FKDUDFWHU VWULQJ 7KH FRPSLOHU LV IUHH WR VWRUH WKH VWULQJ FRQVWDQW ³KDL´ DQ\ZKHUH LW
ZLVKHV&RQVLGHUWKDWLWKDSSHQVWREHVWRUHGLQDUHDGRQO\PHPRU\520,IZHZDQW
WR FKDQJH WKLV VWULQJ DW UXQWLPH LW PD\ SURGXFH XQH[SHFWHG UHVXOW 6R LI \RX ZDQW WR
PRGLI\WKHVWULQJODWHULWLVDGYLVDEOHWRVWRUHLWLQDQDUUD\DVLQWKHILUVWRQH
$UUD\VDQG6WUXFWXUHV
$QDUUD\FDQQRWEHSDVVHGRUUHWXUQHGIURPWKHIXQFWLRQZKHUHDVVWUXFWXUHVFDQ
EH6LPLODUO\VWUXFWXUHVFDQEHDVVLJQHGWRHDFKRWKHUZKHUHDVDUUD\VFDQQRWEHDOWKRXJK
ERWK DUH DJJUHJDWH GDWDW\SHV 7KLV LV D SDUWLFXODU SODFH ZKHUH & VXIIHUV IURP WKH
SUREOHPFDOOHGDVµODFNRIRUWKRJRQDOLW\¶LQSURJUDPPLQJODQJXDJH¶VWHUPLQRORJ\7KLV
LVEHFDXVH WKH DUUD\ ERXQGV QHHG QRW EH SHUIHFWO\ NQRZQ +HQFH WKH VL]H RI WKH ZKROH
DUUD\PD\QRWEHSUHGLFWHGH[DFWO\DQGGXHWRWKHFORVHUHODWLRQVKLSEHWZHHQWKHSRLQWHUV
DQG DUUD\V DQ DUUD\ QDPH LV D SRLQWHU FRQVWDQW DQG GRHVQ¶W FRUUHVSRQG WR WKH ZKROH
DUUD\%XWWKLVLVQRWLQWKHFDVHRIVWUXFWXUHV6RLWLVSRVVLEOHWRHPEHGWKHDUUD\LQD
VWUXFWXUHLQDQDUUD\DQGUHWXUQLW
6758&785(6$1'81,216
5DZGDWDW\SHVZKHQFRPELQHGWRJHWKHUWRKDYHDORJLFDOUHODWLRQVKLSZLWKWKHP
LWEHFRPHVYHU\SRZHUIXO6WUXFWXUHVGRWKDWMRERIFRQWDLQWHUVKLSXQLRQVDQGELWILHOGV
DUHVOLJKWYDULDWLRQVRIVWUXFWXUHV
,QLWLDOL]LQJ6WUXFWXUHV
6WUXFWXUHVPD\EHLQLWLDOL]HGZLWKWKHH[SUHVVLRQVRIWKHVDPHW\SH7KHVWUXFWXUH
PHPEHUVFDQEHLQLWLDOL]HGZLWKDOLVWRIYDOXHVHQFORVHGZLWKLQWKHEUDFHVDFFRUGLQJWR
WKH RUGHU RI PHPEHUV ,I DQ\ PHPEHUV DUH OHIW XQLQLWLDOL]HG WKHQ WKH\ DUH LQLWLDOL]HG WR
]HUR
6WUXFWXUHVDQGXQLRQVFDQDOVREHLQLWLDOL]HGMXVWOLNHDUUD\VDVIROORZV
VWUXFWVWUXFW7\SHD6WUXFW ^`
LQLWLDOL]HVDOOPHPEHUVRIV6WUXFWWR]HURLQFOXGLQJWKHSDGGLQJELWVLIDQ\7KLVDSSOLHV
WRXQLRQVDOVR
XQLRQXQLRQ7\SHD8QLRQ ^`
LQLWLDOL]HVWKHVSDFHRFFXSLHGE\WKHXQLRQWRLQFOXGLQJWKHSDGGLQJELWVLIDQ\
1DPH(TXLYDOHQFHRI6WUXFWXUHV
,Q& VWUXFWXUHV FDQ EH DVVLJQHG RQO\ LI WKH\ KDYH WKH VDPH QDPH UHIHU WR ³W\SH
HTXLYDOHQFH´7KLVLVFDOOHGDVQDPHHTXLYDOHQFHRIVWUXFWXUHV LQ&
)HZRWKHUODQJXDJHVSURYLGHVWUXFWXUHDVVLJQPHQWWKDWIROORZVWUXFWXUDOHTXLYDOHQFH
VWUXFWVWUXFWXUH^LQWL`VY ^`VY
VWUXFWVWUXFWXUH^LQWL`V
VY VY
2.6LQFHERWKYDULDEOHVDUHRIVWUXFWXUHVRIVDPHQDPH
V V
&RPSLOHUHUURULQFRPSDWLEOHW\SHV
%RWKDUHRIGLIIHUHQWVWUXFWXUHW\SHV
7KLV NLQG RI DVVLJQPHQWV FDQQRW EH GRQH LQ & EHFDXVH & IROORZV QDPH
HTXLYDOHQFH RI VWUXFWXUHV ,W VHUYHV DQ LPSRUWDQW SXUSRVH ,W SURYLGHV D PHDQV WR DVVXUH
WKDWWZRGLIIHUHQWVWUXFWXUHVWKDWDUHPHDQWIRUGLIIHUHQWSXUSRVHVFDQ
WEHPL[HGWRJHWKHU
DFFLGHQWDOO\RUSXUSRVHIXOO\7KLVOHDGVWRVDIHDQGFOHDQPRGHOIRUVWUXFWXUHDVVLJQPHQW
>6WURXVWUXS@
6RLQ&E\IROORZLQJQDPHHTXLYDOHQFHLVWKDW
SRZHU
ORVW"1R
&RQVLGHUWKHH[DPSOH
VWUXFWVWUXFWXUH^LQWL`V ^` VS V
VWUXFWVWUXFWXUH^LQWL` VS
VS VWUXFWVWUXFWXUH VS
QRZ2.H[SOLFLWFDVW
SULQWI?QGGVS!LVS!L
LWSULQWV

7KLV LGHD LV IRU DVVLJQLQJ WR VWUXFWXUH SRLQWHUV RI GLIIHUHQW QDPHV 6LPLODUO\ WKLV
LGHDFDQEHH[WHQHGWRDVVLJQRQHVWUXFWYDULDEOHDQRWKHUZLWKGLIIHUHQWQDPH
VWUXFWVWUXFWXUH^LQWL`V ^`
VWUXFWVWUXFWXUH^LQWL`V ^`
V VWUXFWVWUXFWXUH V
QRZ2.H[SOLFLWFDVW
SULQWI?QGGVLVL
LWSULQWV

+HUHDQH[SOLFLWFDVWGRHVWKHMREWRRYHUULGHWKHQDPHHTXLYDOHQFH:KHQPDNLQJ
H[SOLFLW FDVW WKH SURJUDPPHU LV DZDUH WKDW KH LV H[SOLFLWO\ FKDQJLQJ WKH W\SH VR
DFFHSWDEOH :KHQ D VLWXDWLRQ DULVHV WKDW \RX PXVW RYHUULGH WKH QDPHHTXLYDOHQFH DQG
UHTXLUHVWUXFWXUDOHTXLYDOHQFHWKHVLPSOHWHFKQLTXHRIH[SOLFLWFDVWLQJFDQEHXVHG
2IIVHWRI0DFUR
$16, SURYLGHV D ZD\ WR GHWHUPLQH WKH E\WH RIIVHW RI DQ\ QRQELWILHOG VWUXFWXUH
PHPEHUIURPWKHEDVHE\RIIVHWRIPDFUR
VL]HBW RIIVHWRIW\SHPHP
V\QWD[
VL]HBWSRVLWLRQ RIIVHWRIVWXGHQWUROOQR
HJRIXVDJH
2QHRIWKHSRVVLEOHLPSOHPHQWDWLRQIRUWKLVPDFURLV
GHILQHRIIVHWRIW\SHPHPVL]HBW?
FKDU W\SH !PHPFKDU W\SH
RUVLPSO\DV
GHILQHRIIVHWW\SHPHPVL]HBW W\SH !PHP

7KLV LQIRUPDWLRQ FDQ EH YHU\ XVHIXO LQ GHWHUPLQLQJ KRZ WKH FRPSLOHU DOLJQV WKH
PHPEHUVDQGDERXWWKHHQGLDQVFKHPHIROORZHG
7KLVPDFURFDQEHDSSOLHGWRXQLRQVDOVR
1HVWHG6WUXFWXUHV
1HVWHGVWUXFWXUHVDUHDOORZHGLQ&
VWUXFWWHPS^
FKDU QDPH
VWUXFWGDWH2I%LUWK^
LQWGD\PRQWK\HDU
`'2%
`VWXGHQW
7KHDERYH H[DPSOHXVHVDQHVWHGVWUXFWXUH6LQFH DQHZQDPHVSDFHLVFUHDWHGLQVLGH D
VWUXFWXUH WKH QDPHV PD\ EH RYHUORDGHG 7KH QHVWHG VWUXFWXUHV QHHG WR EH GHILQHG LW LV
QRW SRVVLEOH WR MXVW GHFODUH VWUXFWXUH EHFDXVH D VWUXFWXUH PHPEHU LV QHHGHG LQVLGH WKH
VWUXFWXUH
,WSRVVLEOHWRFUHDWHDLQQHUVWUXFWXUHYDULDEOH RXWVLGHWKHHQFORVLQJVWUXFWXUH)RU
H[DPSOH
VWUXFWGDWH2I%LUWKP\'2%
OHJDO
RIWKHSUHYLRXVQHVWHGVWUXFWXUHH[DPSOH
6WUXFWXUHVDQG)XQFWLRQV
<RX FDQ FUHDWH RQWKHIO\ VWUXFWXUH GHILQLWLRQV LQ WKH IXQFWLRQ DUJXPHQWV DQG
UHWXUQW\SHV6XFKVWUXFWXUHVDUHDYDLODEOHIURPWKDWSRLQWRIGHILQLWLRQ
VWUXFWVRPH^LQWLÌRRVRPHV
GHILQHVDVWUXFWXUHFDOOHGVRPHDQGSDVVHVDYDULDEOHRIWKHVDPHW\SHWRWKHIXQFWLRQIRR
7KLVVW\OHUHGXFHVWKHUHDGDELOLW\RIWKHFRGHPXFKVRVKRXOGEHDYRLGHG
3DVVLQJDVWUXFWXUHE\YDOXHWRDIXQFWLRQUHTXLUHVDFRS\RIWKHVWUXFWXUHEHVHQW
WR WKH IXQFWLRQ 6LQFH SDVVLQJ LV GRQH WKURXJK VWDFN SDVVLQJ VWUXFWXUHV E\ YDOXH LV
FRVWOLHU6RLI\RXUHDOO\ZDQWWRVHQGDVWUXFWXUHE\YDOXHPDNHVXUHWKDWLWLVYHU\VPDOO
RUDOWHUWKHSURJUDPVXFKWKDWLWLVVHQWWKURXJKDSRLQWHUWRWKDWVWUXFWXUH
8QLRQV
8QLRQV FDQ EH FRQVLGHUHG DV VSHFLDO FDVH RI VWUXFWXUHV 7KH V\QWD[ IRU ERWK LV
PRVWO\WKHVDPHDQGRQO\WKHVHPDQWLFVGLIIHU7KHPHPRU\LVDOORFDWHGVXFKWKDWLWFDQ
DFFRPPRGDWHWKHELJJHVWPHPEHU7KHUHLVQRLQEXLOWPHFKDQLVPWRNQRZZKLFKXQLRQ
PHPEHULVFXUUHQWO\XVHGWRVWRUHWKHYDOXH&RQVLGHUWKHIROORZLQJFRGH
XQLRQYDOXH^
LQWL9DOGRXEOHG9DOYRLG IS
`
XQLRQYDOXHIRR
XQLRQYDOXHY IRR
SULQWI³GÝL9DO
EHFDXWLRXV+RZGR\RXNQRZWKDWIRRKDVRQO\VHW
WKHLQWPHPEHURIWKHXQLRQ"
,QRWKHUZRUGVZLWKWKHXQLRQLWVHOILWLVQRWSRVVLEOHWRNQRZWKHPHPEHUWKDWLW
LVFXUUHQWO\XVHG6RWKHUHLVPRUHSRVVLELOLW\WKDW\RXDFFHVVDZURQJPHPEHUW\SHDQG
JHWLQWRSUREOHP
7KH VROXWLRQ PD\ VHHP VLPSOH E\ LQWURGXFLQJ DQRWKHU YDULDEOH RI W\SH LQWHJHU
1RZZLWKDGGLWLRQWRWKHRULJLQDOFRGH\RXKDYH
GHILQH,17
GHILQH'28%/(
GHILQH)81&
LQWW\SH
XQLRQYDOXHY IRR
WKHIRRVKRXOGVHWWKHJOREDOYDULDEOHµW\SH¶WRFRUUHFWYDOXH
VZLWFKW\SH^
FDVH,17 SULQWI³GÝL9DOEUHDN
FDVH'28%/( SULQWI³OIÝG9DOEUHDN
GHIDXOW YIS
,WVEHWWHUWRXVHHQXPVWRLQWVEHFDXVHLWVSHFLILHVDFORVHGVHWRIYDOXHVDVLQWKLV
FDVH
HQXPW\SH^,17'28%/()81&`
+RZHYHU WKHUH LV QR ORJLFDO UHODWLRQVKLS EHWZHHQ WKH LQWHQXP DQG WKH XQLRQ
FRQFHUQHG7RSURYLGHWKDWORJLFDOUHODWLRQVKLSXVH D VWUXFWXUH 7KH IXOO FRGH PD\ QRZ
EHFRPH
HQXPW\SH^,17 '28%/()81&3`
XQLRQYDOXH^
LQWL9DOGRXEOHG9DOYRLG IS
`
VWUXFWGXPP\^
HQXPW\SHW
XQLRQYDOXHYDO
`
VWUXFWGXPP\IRR^
VWUXFWGXPP\Y
YW ,17
YYDOL9DO
UHWXUQY
LQWPDLQ^
VWUXFWGXPP\Y IRR
VZLWFKYW^
FDVH,17 SULQWIGYYDOL9DOEUHDN
FDVH'28%/(SULQWIOIYYDOG9DOEUHDN
GHIDXOW YYDOIS
`
<HVWKHFRGHEHFRPHVORQJHUEXWWKLVLVDUREXVWVROXWLRQIRUXVLQJWKHXQLRQV
6LPLODUO\LQFDVHRIHQXPVWKHUHLVQRZD\WRNQRZWKHQXPEHURIHQXPHUDWLYH
FRQVWDQWVDYDLODEOHXVLQJWKHHQXPHUDWLRQLWVHOI,WLVDJRRGGHVLJQWRKDYHWKHFRXQWLQ
WKH HQG RI WKH HQXPHUDWLRQ 6LPLODUO\ DGG D HQXPHUDWLRQ FRQVWDQW VSHFLI\LQJ WKH LOOHJDO
YDOXH)RUH[DPSOH
HQXP KROLGD\V^ ,//(*$/ 6$785'$< 681'$<
1802)+2/,'$<6 `
µ1802)+2/,'$<6¶UHIHUVWRQXPEHURIYDOLGKROLGD\V
%LWILHOGV
7KH PHPEHUV RI VWUXFWXUHV WKDW KDYH ELWILHOGV FDQQRW EH DSSOLHG ZLWK WKH
IROORZLQJRSHUDWRUV
¾ LQGLUHFWLRQ
¾ DGGUHVVRI
¾ >@VXEVFULSWLQJDQG
¾ VL]HRIRSHUDWRU
DQGDOORWKHURSHUDWRUVFDQEHDSSOLHGRQWKHPDVZLWKVWUXFWV
3RLQWHUV VWRUH DGGUHVVHV DQG WKDW PHDQV WKH PHPRU\ ORFDWLRQV WKDW DUH GLUHFWO\
DGGUHVVDEOHFDQRQO\EHXVHGIRUSRLQWHUVDVVLJQLQJWRSRLQWHUV,QFDVHRIELWILHOGVGLUHFW
DGGUHVVLQJ RI ELWV LV QRW SRVVLEOH 7KDW LV ZK\ SRLQWHU RSHUDWLRQV LQGLUHFWLRQ DQG
DGGUHVVRIFDQQRWEHGRQHRQELWILHOGV
:K\>@FDQQRWEHDSSOLHGRQELWILHOGV" 6LPSO\ EHFDXVH RI LQGLUHFWLRQ FDQQRW EH
DSSOLHGRQELWILHOGVUHPHPEHUWKDWD>L@LVWUHDWHGDV DL
6L]HRIUHWXUQVWKHQXPEHURIE\WHVLWRFFXSLHVDQGQRWELWV,IVL]HRIZHUHWRDOORZHG
RQELWILHOGVFRQIXVLRQPD\DULVHLILWWHOOVWKHQXPEHURIELWVRUE\WHVWKHPHPEHURFFXSLHV
,Q WKH FDVH ZKHQ ELWILHOGV DQG RWKHU GDWD ILHOGVFRPH WRJHWKHU WKH ELWILHOGV VKRXOG
FRPHILUVW
HJVWUXFWVWXGHQW ^
XQVLJQHGLQWUROOQR
XQVLJQHGLQWVH[
XQVLJQHGLQW
XQQDPHGPHPEHUXVHGDVSDGGLQJELWV
FKDU QDPH
QRWHKHUHWKDWWKHELWILHOGVFRPHILUVW
`
$OOWKHPHPEHUVLQDELWILHOGQHHGQRWEHQDPHGRQHV8QQDPHGPHPEHUVFDQQRW
EHDFFHVVHGDQGXVHGIURPWKHFRGHDQGVHUYHWKHSXUSRVHRISDGGLQJ
&RQVLGHUWKHIROORZLQJSUREOHP
VWUXFWELW)LHOG^
LQWGD\
LQWVH[
`VDPSOH
HQXP
ZRUNLQJ'D\^PRQGD\ WXHVGD\ZHGQHVGD\WKXUVGD\IULGD\`
GHILQH0$/(
GHILQH)(0$/(
VDPSOHGD\ IULGD\
VDPSOHVH[ )(0$/(
SULQWI³?QGD\ GVH[ G´VDPSOHGD\
VDPSOHVH[
LWSULQWHG
GD\ VH[
7KHSRRUSURJUDPPHUH[SHFWHGGD\ VH[ WREHSULQWHGEXWZKDWKDSSHQHG"
%HIRUH WKDW OHWV VHH VRPHWKLQJ DERXW WKH UDQJH RI W\SHV )RU VLJQHG FKDUV WKH UDQJH LV
IURP ± LQFOXGLQJ WR ,Q RWKHU ZRUGV LW LV IURP LQFOXGLQJ WR
*HQHUDOL]LQJWKLVLGHDIRUVLJQHGLQWHJUDOTXDQWLWLHVRIELWVL]HQWKHUDQJHLVIURP±Q
LQFOXGLQJWRQ
&RPLQJEDFNWRWKHSUREOHPQRWLFHWKDWWKHELWILHOGVDUHLQWVDQGWKHVLJQHGLVWKH
GHIDXOW IRU LQWV )RU WKH PHPEHU µGD\¶ LW WDNHV ELWV )LQGLQJ WKH UDQJH E\ XVLQJ RXU
IRUPXODLWLV±WRµIULGD\¶LVWKDWFDQQRWEHUHSUHVHQWHGLQWKHUDQJHDQGWKXVURWDWHV
WR±7KHVDPHDSSOLHVWRµVH[¶ILHOGDQGFDQQRWEHUHSUHVHQWHGZLWKVLQJOHVLJQHGELW
DQGVRWKHRQO\ELWDYDLODEOHLVWUHDWHGDVWKHVLJQELWDQGWKHYDOXHSULQWHGLV±
7KHFRVWRIXVLQJELWILHOGVLVORVLQJRISRUWDELOLW\+RZWKHELWILHOGGHILQLWLRQDQG
GHFODUDWLRQ ZLOO SDFN WKH ELWV LQ WKH JLYHQ VSDFH GHSHQGV PRVWO\ RQ WKH XQGHUO\LQJ
KDUGZDUH
7KH IROORZLQJ H[DPSOH LV D KLJKO\ XQSRUWDEOH ZD\ WR JHW WKH SDUWV RI D IORDWLQJ
SRLQWYDULDEOH,WLVDVVXPHGWKDWWKHPDFKLQHLVVPDOOHQGLDQDQGLWIROORZV,(((IORDWLQJ
SRLQWDULWKPHWLF
XQLRQ^
IORDWIOW
VWUXFW^
XQVLJQHGLQWPDQWLVVD
XQVLJQHGLQWPDQWLVVD
XQVLJQHGLQWPDQWLVVD
XQVLJQHGLQWH[SRQHQW
XQVLJQHGLQWVLJQ
ÈLW)LHOG
ÌORDW9DU ^`
SULQWI7KHIORDWLQJSRLQWQXPEHUI?QIORDW9DUIOW
SULQWI,WVVLJQELWG?QIORDW9DUELW)LHOGVLJQ
SULQWI,WVH[SRQHQWG?Q
IORDW9DUELW)LHOGH[SRQHQW
SULQWV
7KHIORDWLQJSRLQWQXPEHU
,WVVLJQELW
,WVH[SRQHQW
6LQFHSRUWDELOLW\LVWKHFRVWELWILHOGVVKRXOGEHXVHGLQSODFHVZKHUHVSDFHLVYHU\
OLPLWHGDQGWKDWIXQFWLRQDOLW\LVGHPDQGLQJ7KHVSDFHYVWLPHFRPSOH[LW\LVLQYROYHGLQ
IHWFKLQJELWILHOGV,QDVVLJQLQJVWRUDJHIRULQWHJHUVELWILHOGVVKRXOGQRWEHXVHGLQVWHDGWR
VDYHVSDFH
VWUXFWELUWKGDWH^
XQVLJQHGLQWGD\
XQVLJQHGLQWPRQWK
XQVLJQHGLQW\HDU
`P\'2%
LVQRWUHFRPPHQGHGEHFDXVHWKHVSDFHRQHE\WHVDYHGLVFRPSDUDWLYHO\OHVVSUHIHUDEOH
WR WKH FRPSOH[ VKLIWLQJ RI ELWV LQYROYHG WLPH FRPSOH[LW\ LV LQYROYHG VR XVLQJ WKUHH
LQWHJHUVLQVWHDGRIELWILHOGVLVPRUHHIILFLHQWDQGLVUHFRPPHQGHG6HSDUDWHLQWHJHUVPD\
EH XVHG IRU UHSUHVHQWLQJ WUXH DQG IDOVH YDOXHV UDWKHU WKDQ XVLQJ LQGLYLGXDO ELWV IRU
UHSUHVHQWLQJWUXHIDOVHIRUWKHVDPHUHDVRQ
+RZHYHUELWILHOGV
¾ DUHLQYDOXDEOHLQDFFHVVLQJWKHSDUWLFXODUV\VWHPUHVRXUFHV
¾ DUHWRDYRLGXQQHFHVVDU\PDQLSXODWLRQVE\WKHELWPDQLSXODWLRQRSHUDWRUV
¾ RQFH GHILQHG FDQ EH DFFHVVHG LQ WKH VDPH ZD\ DV ZH DFFHVV WKH RUGLQDU\
YDULDEOHV
6HOIUHIHUHQWLDOVWUXFWXUHV
/HWVVHHDQH[DPSOHWRLOOXVUDWHWKHXVHRIVHOIUHIHUHQWLDOVWUXFWXUHV
WKLVFRGHIUDJPHQWSULQWVWKHOLVWRIQDPHVLQVRUWHGRUGHU
W\SHGHIVWUXFWQDPH/LVW^
FKDUQDPH>@
VWUXFWQDPH/LVW QH[W
`QDPH/LVW
QDPH/LVWOLVW>@ ^^FDUOFOHPHQVOLVW`
^SUDEKDNDU`
^DELODVKOLVW`
^DUYLQGOLVW`
`
QDPH/LVW WHPS OLVW
ZKLOHWHPS
SULQWI?QVWHPS!QDPH
WHPS WHPS!QH[W
LWSULQWHG
DELODVK
DUYLQG
FDUOFOHPHQV
SUDEKDNDU
7KLV SURJUDP ZRUNV RQ WKH UXOH ZH KDYH DOUHDG\ VHHQ WKDW µD GHFODUDWRU LV
DYDLODEOH WR EH UHIHUUHG LQ WKH SURJUDP FRGH DQG XVHG IURP WKH SRLQW ZKHUH WKH
GHFODUDWLRQGHILQLWLRQ LV PDGH¶ +HUH WKH LGHQWLILHU OLVW LV DYDLODEOH DQG XVHG LQ LWV
LQLWLDOL]DWLRQOLVWLWVHOIDQGWKLVLVEDVHGRQWKHSRLQWHUDULWKPHWLF7KHFRPSLOHUNQRZVWKH
VL]HRIWKHVWUXFWXUHVRLWFDQFDOFXODWHWKHDGGUHVVHVOLNHOLVWZKLFKLVQRWKLQJEXWOLVW
VL]HRIQDPH/LVW
6XFK VHOIUHIHUHQWLDO VWUXFWXUHV DUH YHU\ XVHIXO LQ LPSOHPHQWLQJ GDWD VWUXFWXUHV
OLNHOLQNHGOLVWVWUHHVHWFWKDWXVHVSRLQWHUVWRWKHQRGHVRIVDPHW\SH
3DGGLQJLQ6WUXFWXUHV
3DGGLQJ DOVR UHIHUUHG WR DV EXIIHULQJ LV DQ LPSRUWDQW LVVXH DVVRFLDWHG ZLWK WKH
VWUXFWXUHV7KHUHPD\EHVRPHDOLJQPHQWUHTXLUHPHQWVUHTXLUHGE\WKHHQYLURQPHQW)RU
H[DPSOH LQWV PD\ UHTXLUHG WR EH DOLJQHG DW HYHQ QXPEHUHG DGGUHVVHV DQG ORQJV DW
DGGUHVVQXPEHUVGLYLVLEOHE\7KLVOHDGVWRLQWHUQDODQGWUDLOLQJSDGGLQJRIE\WHVLQWKH
VWUXFWXUH
'XH WR WKLV SDGGLQJ WKH YDOXH UHWXUQHG E\ WKH VL]HRI PD\ QRW EH HTXDO WR WKH
VLPSOH DGGLWLRQ RI WKH VL]HRI WKH VWUXFWXUH PHPEHUV %HFDXVH VL]HRI ZKHQ DSSOLHG WR
VWUXFWXUHV UHWXUQV QXPEHU RI E\WHV UHTXLUHG WR UHSUHVHQW WKH VWUXFWXUH LQFOXGLQJ WKDW
SDGGLQJE\WHV7KHIROORZLQJFRGHLOOXVWUDWHVWKLV
VWUXFWVRPH6WUXFW^
FKDUFF
IORDWII
GRXEOHGG
YRLG YS
`
LQWVL]H VL]HRIVWUXFWVRPH6WUXFW
LQWVL]H VL]HRIFKDUVL]HRIIORDW
VL]HRIGRXEOHVL]HRIYRLG
LIVL]H VL]H
SULQWI³1RSDGGLQJLVGRQH´
HOVH
SULQWI³GE\WHVXVHGIRUSDGGLQJ³VL]HVL]H
LQP\V\VWHPLWSULQWHG
E\WHVXVHGIRUSDGGLQJ
3RUWDELOLW\,VVXHV
7KH DOLJQPHQW DQG EXIIHULQJ RI VWUXFWXUH PHPEHUV LQ D VWUXFWXUH DUH PDFKLQH
GHSHQGHQW 7KHUHIRUH ZULWLQJ WKH VWUXFWXUH LQIRUPDWLRQ WR D ILOH LQ RQH PDFKLQH DQG
UHDGLQJWKDWILOHLQDQRWKHUPDFKLQHPD\QRWZRUNHYHQLI\RXXVHWKHVDPHVWUXFWXUH6R
WUDQVIHUULQJ ELQDU\ ILOHV LV QRW SRUWDEOH +RZHYHU WKHVH SUREOHPV DUH QRW WKHUH LQ
WUDQVIHUULQJWKHWH[WILOHVDQGVRLWLVEHWWHUWRVWRUHDQGWUDQVIHUWKHLQIRUPDWLRQDVDWH[W
ILOHDOWKRXJKVRPHH[WUDRYHUKHDGPD\EHWKHUH
<RXFDQDVVLJQRQHVWUXFWXUHWRDQRWKHUVWUXFWXUH
6LQFH \RX FDQQRW XVH RSHUDWRU WR FKHFN WKH HTXDOLW\ EHWZHHQ WKH WZR
VWUXFWXUHV \RX KDYH WR ZULWH D VHSDUDWH IXQFWLRQ WKDW ZLOO FKHFN IRU HTXDOLW\ RI HDFK
VWUXFWXUHPHPEHUVPHPFPSVKRXOGQRWEHXVHGEHFDXVHWKHUHPD\EHSDGGLQJEHWZHHQ
WKHPHPEHUVZKHUHDVPHPFS\FDQEHXVHGIRUFRS\LQJWKHVWUXFWXUH
PHPFPSVWUXFWVWUXFWVL]HRIVWUXFW
LVQRWFRUUHFWDQGVKRXOGQ¶WEHXVHG
PHPFS\VWUXFWVWUXFWVL]HRIVWUXFW
RN%HFDXVHDOOWKHILHOGVLQFOXGLQJWKH SDGGLQJSDUW DUH FRSLHG
%XW\RXZLOOQRWUHTXLUHWKLVEHFDXVH\RXFDQDVVLJQDV
VWUXFW VWUXFW
$16,&VSHFLILHVWKDWWKHUHVKRXOGDWOHDVWEHRQHGDWDPHPEHULQDVWUXFWXUH
8QLRQVGRQRWDVVXUHWKHZD\ LQ ZKLFK WKH ILHOGV DUH DUUDQJHG DQG DUH FRPSLOHU
GHSHQGHQW6RWKHSURJUDPVKRXOGQ¶WGHSHQGRQWKHLQWHUQDODUUDQJHPHQWRIWKHILHOGV,I
\RX ZDQW WR GR VRPH W\SH FRQYHUVLRQ EHWZHHQ WZR W\SHV XVH FDVWLQJ WR GR WKH VDPH
'RQ¶WXVHWKHXQLRQVWRFRQYHUWIURPRQHW\SHWRDQRWKHUDVLQWKHIROORZLQJH[DPSOH
XQLRQYDOXH^
LQWLQW9DOXH
ORQJORQJ9DOXH
`YDO
YDOLQW9DOXH
ORQJVRPH/RQJ YDOORQJ9DOXH
QHYHUDVVLJQOLNHWKLV
+HUH WKHUH DUH WZR W\SHV LQW DQG ORQJ WKDW DUH PHPEHUV RI XQLRQ YDOXH 7R
FRQYHUWIURPLQWWRIORDWW\SHXVHFDVWLQJLQDVVLJQPHQW
ORQJVRPH/RQJ ORQJYDOLQW9DOXH
LVWKHFRUUHFWZD\WRSHUIRUPWKHFRQYHUVLRQ7KHUHDVRQLVWKDWLQWKHSUHYLRXVFDVH\RX
DUHGHSHQGLQJRQWKHZD\LQZKLFKWKHILHOGVRIXQLRQDUHDOLJQHG
7KH¶VWUXFWKDFN·7HFKQLTXH
In C the sizeof the structures should be known at compile-time itself and its size
cannot be expanded as required. For example, to have a structure for storing computer
hardware details, following details are required:

#define MAX_POSSIBLE 10
struct system{
char type[10];
char manufacturer[20];
int numOfPeripherals;
int perpheralID[MAX_POSSIBLE];
// worst-case assumption of number of peripherals
};
The number of peripherals shall vary with systems and worst case size should be
allocated for accommodate that. Still if more peripherals than the ‘MAX_POSSIBLE’ are
required to be accommodated that cannot be done. So the solution as a whole is
unsatisfactory.
There is a common idiom known as the “ struct hack” in C community to work as
a short cut for this problem of creating a structure containing a variable-size array:
struct system{
char type[10];
// this field has the number of items that are pointed
// by the following ‘nameOfPeripherals’ member.
int perpheralID[1];
};
And for allocation of space:
struct system *structPtr;
int num = 5, i;
structPtr = malloc( sizeof(struct system) + (num - 1) *
sizeof(int));
// note how space is allocated for the structure
if(structPtr == NULL)
errorHandle(“ Error: cannot allocate space” );
structPtr->numOfPeripherals = num;
for (i = 0; i < structPtr->numOfPeripherals; i++)
structPtr->peripheralID = getID();
Surprisingly this technique is known to work for almost all systems where C is
implemented (because of contiguous space allocation).

)81&7,216
7DNHFDUHRIWKHPHDQVDQG
WKHHQGZLOOWDNHFDUHRILWVHOI
0DKDWPD*DQGKL
)XQFWLRQV LQFUHDVH PRGXODULW\ PDNH SURJUDP PRUH UHDGDEOH DQG UHGXFH
UHGXQGDQWFRGHDQGKHOSLQUHXVDELOLW\)RU H[DPSOHWKHIXQFWLRQVSURYLGHGLQVWDQGDUG
KHDGHUILOHV
*HQHUDO,QIRUPDWLRQ$ERXW)XQFWLRQV
'HFODUDWLRQ RI WKH IXQFWLRQ PHDQV LQWURGXFLQJ WKH IXQFWLRQ ZLWK UHWXUQ W\SH DQG
DUJXPHQWV
6WRUDJHFODVVIRUIXQFWLRQVPD\EHHLWKHUVWDWLFRUH[WHUQ([WHUQLVWKHGHIDXOWIRU
IXQFWLRQVDQGIRUIXQFWLRQGHFODUDWLRQVLWLVWKHRQO\VWRUDJHFODVVDOORZHG6R
YRLGIXQLQW
H[WHUQYRLGIXQLQW
ERWKGHFODUDWLRQVDUHQRGLIIHUHQWIURPHDFKRWKHU
6WDWLFLVWKHRQO\VWRUDJHFODVVVSHFLILHUDOORZHGEHIRUHDIXQFWLRQGHILQLWLRQ7KLV
OLPLWVWKHIXQFWLRQWRILOHVFRSH
1HVWLQJRIIXQFWLRQVLVQRWDOORZHGLQ&EXWRQO\H[WHUQIXQFWLRQGHFODUDWLRQVDUH
DOORZHGLQVLGHIXQFWLRQGHILQLWLRQV
7KH&ODQJXDJHRQO\KDVIXQFWLRQVVLQFHDOOXQLWVUHWXUQDYDOXHDVRSSRVHGWRWKH
LGHD RI SURFHGXUHV DV LQ RWKHU ODQJXDJHV OLNH 3DVFDO 7KH UHWXUQ W\SH YRLG PHDQV WKDW
VRPHYDOXHLVUHWXUQHGIURPWKHIXQFWLRQEXWWKDWUHWXUQYDOXHLVSXUSRVHIXOO\LJQRUHG
,Q. 5&WKHERWKRIWKHIXQFWLRQVDUHHTXLYDOHQW
LQWIXQ LVHTXLYDOHQWWR
LQWIXQ
HOOLSVLVVSHFLI\WKDWDQ\QRRIDUJXPHQWVRUQRQHZLOOEHDFFHSWHGZLWKRXWW\SHFKHFNLQJ
RUFRQYHUVLRQVIXQspecifies that nothing is said about the function arguments. This is
an example for incomplete-type. It can be later defined to take any number of arguments.
$16,&LQWURGXFHVYRLGDQGVRLI\RXZDQWWRVSHFLI\WKDWWKHIXQFWLRQWDNHVQR
DUJXPHQWVH[SOLFLWO\JLYHVLWDV
LQWIXQYRLG
VSHFLILHVWKDWWKHIXQFWLRQWDNHVQRDUJXPHQWV
)XQFWLRQVDV/YDOXHV
LQWL
LQW IRR
SXWV³IRRLVLQOKVDQGLVFDOOHG´
UHWXUQ L
LQWPDLQ
^
IRR
VHWLWRSULQWV³IRRLVLQOKVDQGLVFDOOHG´
SULQWI³G´L
SULQWV
WKH IXQFWLRQ QDPH LQ /+6 RI RSHUDWRU LV QRWKLQJ EXW WKH YDULDEOH L LQ GLVJXLVH 7KLV
FRGHHPSOR\VWKHSRLQWHUFRQFHSWWRVKRZWKDWWKHSRLQWHUVDUHDGGUHVVHVDQGGHPRQVWUDWH
KRZSRZHUIXOWKHPDQLSXODWLRQRQLWLV
:KDWDERXWWKHIROORZLQJIXQFWLRQDVOYDOXH"
LQW IRR
LQWM
UHWXUQ M
1R FRPSLOHU HUURUV DUH UDLVHG 7KH EHKDYLRU RI WKLV FRGH LV XQGHILQHG -XVW
UHPHPEHU WKDW WKH IXQFWLRQV DQG WKH DXWR YDULDEOHV DUH DOORFDWHG VSDFH LQ VWDFN DQG DUH
DXWRPDWLFDOO\ UHPRYHG IURP PHPRU\ DIWHU WKH IXQFWLRQ UHWXUQV ,Q WKLV FDVH M WDNLQJ
DGGUHVVRI µM¶ ZLOO JLYH VRPH DGGUHVV ZKLFK LV QRW DOORFDWHG IRU WKLV SXUSRVH DQG
DVVLJQPHQWOLNH
IRR
PHDQV DVVLJQLQJ WR WKDW XQNQRZQ DGGUHVV 7KLV OHDGV WR WKH XQGHILQHG EHKDYLRU RI WKH
FRGH
1RZFRQVLGHUWKHIROORZLQJFRGHVHJPHQW
LQW IRR
VWDWLFLQWM
UHWXUQ M
7KLVFRGHLVDFFHSWDEOH7KHVWDWLFGDWDLVDOORFDWHGLQWKHVSDFHWKDWH[LVWVXSWRWKHHQG
RISURJUDPH[HFXWLRQ6RDVVLJQPHQWOLNH
IRR
LVDFWXDOO\
M
ZKHUHMLVORFDOWRIRRDQGDFFHVVHGRXWVLGHIRR
LVUHDVRQDEOH,KDYHVHHQVRPHH[SHUWSURJUDPPHUVXVLQJWKHIXQFWLRQVDVOYDOXHVOLNH
WKLVXVLQJWKLVLGHD5HPHPEHULQJWKHSUHYLRXVO\VHWYDOXHLVXVHGLQWKHFDVHRIVWUWRN
VWDQGDUGOLEUDU\IXQFWLRQ
7RIL[WKHLGHDLQWKHPLQGOHWXVVHHDQRWKHUH[DPSOH
FKDU ZLVK
VWDWLFFKDUV>@ :DNHXS´
SULQWIV?QV
UHWXUQV
LQWPDLQ
^
VWUFS\ZLVK*RRGPRUQLQJ
ZLVK
LWSULQWV
:DNHXS
*RRGPRUQLQJ
2Q WKH ILUVWFDOO LW LVVXHV WKH PHVVDJH :DNH XS DQG DIWHU WKDW LW DOZD\V LVVXHV WKH
SUHYLRXVO\VHWPHVVDJHRUDOORZV\RXWRVHWLWWRDQHZPHVVDJH
2UJDQL]DWLRQRID&DFWLYDWLRQUHFRUG
7KHZRUGµDFWLYDWLRQUHFRUG¶LVXVHGLQWKHVDPHPHDQLQJ DVµVWDFN IUDPH¶KHUH
(YHU\IXQFWLRQWKDWLVFDOOHGLVDOORFDWHGPHPRU\LQWKHVWDFNDQGWKDWLVFDOOHGDVVWDFN
IUDPH
,QFRPLQJDFWXDO
SDUDPHWHUV
K W
6DYHGVWDWHLQIRUPDWLRQ
OLNHROGVWDFNSRLQWHU
)UDPHVWDFNSRLQWHU
/RFDOGDWDYDULDEOHV
7HPSRUDU\VWRUDJHDUHD
2XWJRLQJSDUDPHWHUV
EHFRPHVLQFRPLQJIRU
QH[WIUDPH
)RUPDWRIDJHQHUDOL]HGDFWLYDWLRQUHFRUG
7KLV IRUPDW RI JHQHUDOL]HG & DFWLYDWLRQ UHFRUG LV DGDSWHG IURP >-RKQVRQ DQG
5LWFKLH@7KLVIRUPDWLVJHQHUDOO\IROORZHGLQPDQ\LPSOHPHQWDWLRQVEXWPD\GLIIHU
IURPLPSOHPHQWDWLRQV
5HWXUQYDOXHVDUHDFWXDOO\SDVVHGE\UHJLVWHU7KHVL]HRIDOOWKHFRQWHQWVFDQEH
SUHGHWHUPLQHG E\ WKH FRPSLOHU LQ WKH FRPSLOH WLPH LWVHOI ,I WKH DUJXPHQWV DUH YDULDEOH
OHQJWKDUJXPHQWVWKHQWKHVL]HPD\YDU\RQO\IRUWKDWSDUWRIWKHIUDPH6RH[FHSWIRUWKH
YDULDEOHOHQJWKDUJXPHQWVWKHVL]HRIWKHDFWLYDWLRQUHFRUGUHPDLQVIL[HG
,WKDVWREHQRWHGWKDWWKHLQFRPLQJSDUDPHWHUVDUHVDYHGE\WKHFDOOLQJIXQFWLRQ
UDWKHU WKDQ LQ WKH FDOOHG IXQFWLRQ

V DFWLYDWLRQ UHFRUG 7KH VWDFN IUDPH RI WKH FDOOHG
IXQFWLRQRYHUODSVWKHVWDFNIUDPHRIWKHFDOOLQJIXQFWLRQWRJHWWKHSDUDPHWHUV6LPLODUO\
ZKHQ WKH FDOOHG IXQFWLRQ FDOOV \HW DQRWKHU IXQFWLRQ LW VWRUHV WKH SDUDPHWHU GDWD WR EH
SDVVHGWRWKHQH[WIUDPHLQLWVDFWLYDWLRQUHFRUGDQGVRRQ
7KHVDYHGLQIRUPDWLRQLQFOXGHVWKHFRQWUROOLQNWRWKHFDOOLQJIXQFWLRQ2QO\IRU
WKHDFWLYDWLRQUHFRUGVRIVDPHIXQFWLRQWKHVL]HUHPDLQVWKHVDPH)RUGLIIHUHQWIXQFWLRQV
WKH VL]H PD\ YDU\ 6R FRQWURO OLQNV DUH UHTXLUHG WR NHHS WUDFN RI KRZ WR UHWXUQ WR WKH
IXQFWLRQWKDWFDOOHGLW
)XQFWLRQ3DUDPHWHUV
:KHQ D IXQFWLRQ LV FDOOHG WKH FDOOLQJ SRVLWLRQ RI WKH FDOOLQJ IXQFWLRQ LV
UHPHPEHUHG E\ SXVKLQJ WKH DGGUHVV LQ WKH VWDFN )XQFWLRQ LQVWDQFH RU VWDFN IUDPH LV
FUHDWHG RQ HDFK FDOO WR D IXQFWLRQ /RFDO YDULDEOHV DUH DOORFDWHG VSDFH LQ WKH VWDFN DUHD
LWVHOI 7KH SDUDPHWHUV DUH WUHDWHG DV ORFDO YDULDEOHV 7KHUHIRUH LW LV OHJDO WR DSSO\
DGGUHVVRIRSHUDWRUWRWKHSDUDPHWHUV%XWQHYHUUHWXUQWKHDGGUHVVRIWKHORFDOYDULDEOHV
VLQFHVSDFHLVUHWXUQHGEDFNIRUIXUWKHUXVDJHDQGLVLPPHGLDWHO\GHVWUR\HG
7KHIXQFWLRQSDUDPHWHUVDUHWUHDWHGDVORFDOYDULDEOHVGHFODUHGLQWKHILUVWOHYHORI
VFRSH LQVLGH D IXQFWLRQ VR LW IRUFHV WKH FRPSLOHU WR HQWHU D QHZ VFRSH EHIRUH WKH ^ LV
HQFRXQWHUHG
LQWIRRLQWL
WKHSDUDPHWHULLVWUHDWHGDVLILWZHUHGHFODUHGZLWKM
LQWM
LWLVDVLI LQWLM
7KHRQO\OHJDOVWRUDJHFODVVLQIXQFWLRQDUJXPHQWVLVUHJLVWHUVWRUDJHFODVV
3DVV%\9DOXH
7KH & IXQFWLRQV VXSSRUW RQO\ SDVV E\ YDOXH 7KH FRS\ RI WKH GDWD LV VHQW WR WKH
FDOOHGIXQFWLRQV3DVVE\UHIHUHQFHLVDFWXDOO\SDVVLQJDGGUHVVHVE\YDOXH
VZDS L M
SDVVWKHDGGUHVVHVVD\DQG
VZDSLQW DLQW E
SDVVHVWKH
DGGUHVVHV
E\YDOXH
LQWWHPS D
FKDQJHPDGHWRWKHPHPRU\ORFDWLRQVSRLQWHG
D E
E\DDQGELHWKHYDOXHVLQWKHPHPRU\ORFDWLRQV
E WHPS
SRLQWHGE\DQGDUHLQWHUFKDQJHG
6LQFH DQ\ FKDQJHV PDGH WR WKH PHPRU\ ORFDWLRQ SRLQWHG E\ WKDW DGGUHVV WKH
FKDQJHPDGHLVQRWORFDOWRWKDWSDUWLFXODUIRUWKDWIXQFWLRQ7KXVLWVXFFHVVIXOO\LPLWDWHV
SDVVE\UHIHUHQFH
1RW\SHFKHFNLQJLVPDGHLQSDVVLQJDFWXDODUJXPHQWVWRIXQFWLRQV,IWKHW\SHV
GR QRW DJUHH WKHQ W\SH FRQYHUVLRQ WDNHV SODFH DFFRUGLQJ WR WKH FRQYHUVLRQ UXOHV ,I WKH
QXPEHURIDUJXPHQWVGRQRWDJUHHWKHQODVWVLJQLILFDQWDUJXPHQWVDUHWDNHQLQWRDFFRXQW
7KHIXQFWLRQFDOO
DGG LML
ZLOOOHDGWRFRPSLOHWLPHHUURUEHFDXVHLQSDVVE\UHIHUHQFHWKHIXQFWLRQH[SHFWVDFWXDO
DGGUHVVHV WR EH SDVVHG 7R FDOFXODWH L M D WHPSRUDU\ YDULDEOH LV FUHDWHG DQG WKH
DGGUHVVHVRIWKDWYDULDEOHLVWULHGWREHSDVVHGUHVXOWLQJLQDQHUURU
(QGLDQSUREOHP
,I \RXUPDFKLQHIROORZVµVPDOOHQGLDQ¶RUGHULWZLOOEHVWRUHGLQ WKH PDFKLQH DV
LQWKHORZHUE\WHDQGLQWKHKLJKHUE\WH,HWKHORZHURUGHUE\WHVDUHVWRUHGLQ
WKH KLJKHU DGGUHVVHV DQG YLFHYHUVD )RU H[DPSOH WKLV RUGHULQJ PHWKRG LV IROORZHG LQ
,QWHOEDVHGPDFKLQHV,QWKHµELJHQGLDQ¶PDFKLQHVWKHKLJKHURUGHUE\WHVDUHNHSWLQWKH
KLJKHU DGGUHVVHV LWVHOI ([DPSOHV DUH V\VWHPV ZLWK WKH SURFHVVRUV 681¶V 63$5& DQG
0RWRUROD3RZHU3&
7DNHDWZRE\WHLQWHJHU
LQWDQ,QWHJHU [
WDNHVWZRE\WHV
7KHILJXUHVOLVWHGVKRZVKRZWKHE\WHVDUHRUJDQL]HGLQWKHPHPRU\
8QLRQVFDQEHXVHGWRILQGWKHHQGLDQQHVVRIWKHPDFKLQH
XQLRQILQG(QGLDQ^
LQWL
FKDUF>VL]HRILQW@
`P\(QGLDQ
P\(QGLDQL
LIP\(QGLDQF>@
SULQWI\RXU PDFKLQH IROORZV VPDOO HQGLDQ
VFKHPH
HOVH
SULQWI\RXUPDFKLQHIROORZVELJHQGLDQVFKHPH
%\XVLQJSRLQWHUVDOVR\RXFDQGHWHUPLQHWKHE\WHRUGHURI\RXUPDFKLQH
LQW[
LI FKDU [
SULQWIOLWWOHHQGLDQ?Q
HOVH
SULQWIELJHQGLDQ?Q
6SHQGVRPHWLPHWRWKLQNKRZLWZRUNVWRILQGWKHHQGLDQHVVRIWKHPDFKLQH
3UREOHPV PD\ RFFXU LI WKH LQIRUPDWLRQ RI ERWK WKH W\SHV LV XVHG LQ D PL[HG
PDQQHU 6XFK SUREOHPV WKDW RFFXU GXH WR WKH PL[ EHWZHHQ WKH WZR W\SHV RI HQGLDQ
VFKHPHVDUHNQRZQLQJHQHUDODVµWKHHQGLDQSUREOHPV¶
7KH µHQGLDQ SUREOHP¶ PD\ FURS XS LQ \RXU SURJUDP LI \RX LQWHQG WR PDNH \RXU
SURJUDP ZRUN EHWZHHQ PDFKLQHV VD\ QHWZRUNV )RU H[DPSOH LI \RX DUH WDNLQJ WKH
DGGUHVVRIWKHSDUDPHWHU
LQWWUDQVIHULQWGDWDFKDU DGGU
^GRQ¶WSDVVDGGUHVVHV
LQW SWU GDWD
7KLVPD\VXIIHUµHQGLDQ¶SUREOHP
DQ,QWHJHU
DQ,QWHJHUVWRUHGLQVPDOOHQGLDQRUGHU

DQ,QWHJHUVWRUHGLQELJHQGLDQRUGHU

7KHVROXWLRQLVWRGHFODUHDORFDOYDULDEOHDQGXVHWKHDGGUHVVRIWKDWORFDOYDULDEOH
LQWWUDQVIHULQWGDWD
LQWYDOXH GDWD
LQW SWU YDOXH
\RXFDQDFFHVVWKHLQIRUPDWLRQOLNHWKLVZLWKQRSUREOHPV
([HUFLVH
:KDWZRXOGEHWKHEHKDYLRURIWKHIROORZLQJFRGHVHJPHQW"
LQWL
VL]HRILQW
VFDQI³F´ L
LQSXWKHUH
SULQWI³G´L
)XQFWLRQ'HFODUDWLRQ3URWRW\SHV
6LQFH IXQFWLRQV E\ GHIDXOW KDYH H[WHUQDO OLQNDJH LI WKH IXQFWLRQ LV QRW DOUHDG\
GHILQHGWKHPDWFKEHWZHHQWKHIRUPDODQGDFWXDOSDUDPHWHUVJRXQFKHFNHG7KHUHLVORW
RI VFRSH WKDW WKH SURJUDPPHU PDNHV PLVWDNH E\ FDOOLQJ WKH IXQFWLRQ ZLWK ZURQJ
DUJXPHQW W\SH 7KLV FDQ EH FRVWO\ VLQFH WKH IXQFWLRQ H[HFXWLQJ ZLWK ZURQJ DUJXPHQWV
PD\HYHQOHDGFUDVKLQJWKHV\VWHP
7RDYRLGWKLVIXQFWLRQVFDQEHGHFODUHGE\XVLQJWKHSURWRW\SHV7KLVSURWRW\SH
IHDWXUH LV DGGHG LQ $16, & IROORZLQJ WKH LGHD IURP & 3URWRW\SHV DUH MXVW DQ
LQGLFDWLRQWRWKHFRPSLOHUDERXWWKHQDPHRIDIXQFWLRQLWVDUJXPHQWDQGLWVUHWXUQW\SH
7KLVKHOSVWKHFRPSLOHUWRPDNHVWULFWW\SHFKHFNLQJZKHQWKHIXQFWLRQFDOOVDUHPDGH
7RVXSSRUWSURWRW\SHVWKHFRPSLOHUUHTXLUHVRQO\VRPHOLWWOHPRUHHIIRUWDQGQR
FRGH LV JHQHUDWHG 6R WKHUH LV QR RYHUKHDG LQYROYHG LQ ZULWLQJ SURWRW\SHV 'R ZULWH
SURWRW\SHVZKHQHYHUQHFHVVDU\DQGSRVVLEOH
)XQFWLRQGHFODUDWLRQZLWKQRSDUDPHWHUVLVXVHGWRVSHFLI\WKHUHWXUQW\SH
GRXEOHIRR
LQ&GHFODUHVIRRWRWDNHDQ\QXPEHURIDUJXPHQWV
ZLWKUHWXUQW\SHGRXEOH
7KHUHLVDQRWKHULPSRUWDQWXVHRISURWRW\SHVLQFHLWLVDGHFODUDWLRQLWLVXVHIXO
IRULQLWLDOL]LQJWKHSRLQWHUVWRIXQFWLRQVEHIRUHWKRVHIXQFWLRQVDUHGHILQHG
5HWXUQ9DOXHV
7KHUHWXUQW\SHDOVRLVE\YDOXH:KHQWKHIXQFWLRQHQFRXQWHUVUHWXUQVWDWHPHQWLW
UHWXUQV WR WKH FDOOLQJ SRVLWLRQ RI WKH FDOOLQJ IXQFWLRQ 7KH GHIDXOW UHWXUQ W\SH LV LQW LI
UHWXUQW\SHLVQRWVSHFLILHG7KHYDOXHLVQRUPDOO\UHWXUQHGYLDUHJLVWHUV
&RQVLGHUWKHH[DPSOH
ILOH
GRXEOHIRR
ÛHWXUQ`
ILOH
LQWL LQWIRR
PD\ QRW DVVLJQ L VLQFH IRR LV QRW GHFODUHG LQ ILOH LW LV
DVVXPHGWREHRIUHWXUQW\SHLQW6RHYHQLILWLVW\SHFDVWHGLW
GRHVQ¶WZRUNDVH[SHFWHG
6RFDUHVRVKRXOGEHWDNHQWRVHHWKDWIXQFWLRQVDUHSURSHUO\GHFODUHGDQGUHWXUQ
W\SHVDUHPDWFKHG
5HWXUQVWDWHPHQWZLWKRXWH[SUHVVLRQ
LH UHWXUQ
LVXVHGLQWKHIXQFWLRQVWRUHWXUQWKHFRQWUROWRWKHFDOOLQJIXQFWLRQ,IWKHUHWXUQW\SHIRUD
IXQFWLRQ LV YRLG WKHQ LW LV PRUH PHDQLQJIXO WR KDYH VXFK FRQVWUXFW )RU IXQFWLRQV ZLWK
RWKHUUHWXUQW\SHVWKHIXQFWLRQPD\UHWXUQXQSUHGLFWDEOHYDOXHV
6R LW LV DOZD\V JRRG WR PDNH VXUH WKDW WKH DFWXDO SDUDPHWHUV DQG UHWXUQ W\SHV DUH
PDWFKHGZLWKIRUPDOSDUDPHWHUVDQGUHWXUQW\SHV
7KH&DUJXPHQWSDVVLQJPHFKDQLVP
7KH VWDQGDUG VSHFLILHV QRWKLQJ DERXW WKH PHFKDQLVP RI DUJXPHQW SDVVLQJ LQ &
1RUPDOO\WKHDUJXPHQWVDUHSXVKHGLQWRWKHVWDFNEHIRUHWKHIXQFWLRQLVFDOOHG7KHHIIHFW
LVWKDWWKHDUJXPHQWVDUHSDVVHGIURPULJKWWROHIW)RUH[DPSOH
LQWDGGLQWRSLQWRSLQWRS
UHWXUQRSW RSW RSW
ZKHQWKLVIXQFWLRQDGGLVFDOOHGDV
DGG
WKH DUJXPHQWV DUH SXVKHG LQWR WKH VWDFN RQH E\ RQH 7KHQ WKH DUJXPHQWV DUH
SRSSHGXSIURPWKHVWDFNJHWWLQJ
,I \RX ZDQW WR H[DPLQH WKH SDUDPHWHUV E\ \RXUVHOI DQG XQGHUVWDQG WKDW WKH\ DUH
UHDOO\SDVVHGWKURXJKVWDFNWU\WKLVSURJUDP
DGGLQWDLQWELQWF
LQW SWU D
LQW L
LQWQXP2I$UJXPHQWV
SULQWI7KHDUJXPHQWVDUH
IRUL SWULSWUQXP2I$UJXPHQWVL
SULQWIG L
,I \RX ZDQW WR VHH WKH FDOO VWDFN WKH VWDFN LQ ZKLFK WKH UHWXUQ DGGUHVVHV RI WKH
SUHYLRXVO\FDOOHGIXQFWLRQVDUHVWRUHGGHFUHPHQWLLQWKHDERYHSURJUDP7RYHULI\WKDW
WKH\ UHDOO\ DUH WKH SUHYLRXVO\ FDOOHG IXQFWLRQV WU\ SULQWLQJ WKH ORFDWLRQV ZKLFK ZLOO
FRQWDLQWKHDGGUHVVHVRIIXQFWLRQVWRJHWKHUZLWKWKHUHJLVWHUVSFYDOXHVHWFE\\RXURZQ
& LV RQH RI WKH IHZ ODQJXDJHV WKDW UHTXLUH D UXQWLPH VWDFN DQG D KHDS 6WDFNV
QRUPDOO\JURZIURPWRSWRERWWRPDQGKHDSVIURPERWWRPWRWRSDVVKRZQLQWKHGLDJUDP
ZKLFK LV D JHQHUDOL]HG RQH $16, & UHTXLUHV D GRZQZDUGJURZLQJ VWDFN %RWK WKH
VWDFN DQG KHDSV VKDUH WKH FRPPRQ VSDFH DQG DUH XQLQLWLDOL]HG DQG WKDW¶V ZK\ LW LV
DVVHUWHG WKDW LW LV WKH GXW\ RI WKH SURJUDPPHU WR SURSHUO\ LQLWLDOL]H LW ,W LV D FRPPRQ
GHVLJQWRKDYHWKHGHVLJQRIKHDSDQGVWDFNJURZLQJWRZDUGVHDFKRWKHU7KLVLVEHFDXVH
LQPRVWRIWKHFDVHVHLWKHURIWKHPZLOOEHXVHGPXFKDQGVRWKLVW\SHRIRUJDQL]DWLRQWR
KHOSVWRHIILFLHQWO\XVHWKHPHPRU\7KHILJXUHDOVRVKRZVKRZWKHFRGHZKHUHWKHDFWXDO
SURJUDPFRGHUHVLGHVDQGWKHGDWDDUHDZKHUHDOOWKHVWDWLFGDWDDUHDOORFDWHGVSDFH
6WDFN
)UHH
+HDS
YRLGIRR
LQWLMNO
SULQWI³SSSS´ L M N O
`LQRXUV\VWHPLWSULQWHG))(2))&2))$2))
6LQFHORFDOYDULDEOHVDUHDOORFDWHGLQVWDFNIUDPHVWKHSURJUDPVKRZVWKDWWKHDGGUHVVHV
RIWKHORFDOYDULDEOHVDUHLQGHVFHQGLQJRUGHU
$16, & GRHV QRW DVVXUH DQ\WKLQJ DERXW WKH RUGHU LQ ZKLFK WKH DUJXPHQWV DUH
HYDOXDWHG
VRPH)XQFWLRQ³GG´ LQGH[ DUUD\>LQGH[@
7KLVIXQFWLRQFDOOGHSHQGVRQWKHLQGH[YDOXHWREHVFDQQHGILUVWDQGWKDWVFDQQHG
YDOXH LV XVHG DV DQ LQGH[ LQ QH[W DUJXPHQW WHFKQLFDOO\ WKLV VWDWHPHQW LQYROYHV VLGH
HIIHFWV7KHUHLVQRDVVXUDQFHWKDWµLQGH[¶ZLOOEHVFDQQHGILUVW,QWKLVH[DPSOHHYHQLI
ZHDVVXPHWKDW LQGH[LVHYDOXDWHGILUVWWKHUHLVQRDVVXUDQFHWKDWYDOXHRILQGH[ZLOOEH
VXFFHVVIXOO\ VFDQQHG 7R VHH KRZ LW SUDFWLFDOO\ DSSOLHV FRQVLGHU DJDLQ WKH H[DPSOH RI
VZDSSLQJWZRYDOXHV
LQWD
LQWE
E IXQFD ED
ZKHUHIXQFLVGHILQHGDV
LQWIXQFLQW[LQW\
UHWXUQ\
7KH LGHD LV WR XVH WKH RUGHU RI HYDOXDWLRQ RI WKH IXQFWLRQ DUJXPHQWV )XQFWLRQ
DUJXPHQWVDUHHYDOXDWHGDQGSXVKHGIURPULJKWWROHIW6RIXQFVHQGVYDOXHRIµD¶DQG
UHPHPEHUHGLQVLGHWKHIXQFWLRQDQGJRHVRQEHLQJDVVLJQHGE\µE¶7KHIXQFUHWXUQVWKH
UHPHPEHUHG YDOXH RI µD¶ ZKLFK LV LQ WXUQ DVVLJQHG WR µE¶ LQ HIIHFW LQWHUFKDQJLQJ WKH
YDOXHVRIµD¶DQGµE¶
7KLV VROXWLRQ VXIIHUV IURP WKH SUREOHP WKDW WKH ILQGLQJ RI YDOXHV GHSHQG RQ WKH
RUGHURIHYDOXDWLRQRIWKHIXQFWLRQDUJXPHQWV
3DVVLQJDUJXPHQWVXVLQJUHJLVWHUV
,QWHUHVWLQJO\ HQRXJK SDVVLQJ WKH DUJXPHQWV E\ VSHFLI\LQJ LW DV UHJLVWHU YDULDEOH
DOORZVLWWREHSDVVHGWKURXJKWKHPDFKLQHUHJLVWHUVUDWKHUWKDQWKHVWDFN
LQWSURFHVVUHJLVWHULQWLUHJLVWHULQWM
WKHDUJXPHQWVDUHSDVVHGXVLQJUHJLVWHUVWKDQXVLQJVWDFN
6LQFHWKHDUJXPHQWVDUHUHJLVWHUYDULDEOHVWKLVKHOSVWRLPSURYHWKHHIILFLHQF\DOVRLIWKH
YDULDEOHVLDQGMDUHDFFHVVHGYHU\IUHTXHQWO\
,W VKRXOG DOVR EH QRWHG WKDW DUJXPHQW SDVVLQJ IRU IXQFWLRQV LV VLPLODU WR
LQLWLDOL]DWLRQ)RUH[DPSOHXVXDODULWKPHWLFFRQYHUVLRQVDUHSHUIRUPHGLQERWKWKHFDVHV
&DQG3$6&$/DUJXPHQWSDVVLQJPHFKDQLVPV
3DVFDOFDOOLQJFRQYHQWLRQLVNQRZQDVVWDQGDUGFDOOLQJFRQYHQWLRQ,WLVJLYHQDV
H[WHQVLRQVWRWKHODQJXDJHOLNH3$6&$/NH\ZRUGLQ%RUODQGFRPSLOHUVDQGDVBBVWGFDOO
LQ0LFURVRIWFRPSLOHUV7KH&FDOOLQJFRQYHQWLRQLVJLYHQDVFGHFOLQ%RUODQGFRPSLOHUV
DQGDVBBVWGFDOOLQ0LFURVRIWFRPSLOHUV
7KHVHNH\ZRUGVPD\DSSHDURQO\EHIRUH IXQFWLRQVµFGHFO¶ IRUFHV WKH DUJXPHQWV
EH DFFHSWHG LQ FRQYHQWLRQDO & VW\OH 3DVFDO NH\ZRUG VSHFLILHV WKDW WKH DUJXPHQWV DUH
SDVVHGWKHRWKHUZD\)RUH[DPSOH
DGG
KHUHµFGHFO¶LVDVVXPHGDQGWKHQXPEHURIRSHUDQGVGRHVQRWPDWFK6LQFHWKHYDOXHVDUH
SRSSHG LQ WKH UHYHUVH GLUHFWLRQ WKH UHWXUQ YDOXH LV ,I LW LV 3DVFDO W\SH IXQFWLRQ EH
FDOOHGWKHUHWXUQYDOXHZLOOEH
8QGHUVWDQGLQJWKLVGLIIHUHQFHFDQKHOS \RXXQGHUVWDQGPDQ\LQWHUHVWLQJQXDQFHV
DERXWWKHDUJXPHQWSDVVLQJPHFKDQLVP
(JSDVFDOIXQLQWDUJDUJDUJ
DUJ
DUJ VWDFNIUDPHPRGHOIRUIXQ
DUJ
(JFGHFOIXQLQWDUJDUJDUJ
DUJ
DUJ VWDFNIUDPHPRGHOIRUIXQ
DUJ
& 3$6&$/
3XVKHVWKHDUJXPHQWVLQWKHUHYHUVH 3XVKHVWKHDUJXPHQWVLQWKHVWDFN
RUGHUWKDQLWLVOLVWHGLQWKHIXQFWLRQ DVOLVWHGLQWKHIXQFWLRQGHFODUDWLRQ
7KHILUVWDUJXPHQWLQWKHIXQFWLRQ 7KHODVWDUJXPHQWLVDWWKHWRSRIWKH
GHFODUDWLRQLVDWWKHWRSRIWKHVWDFN VWDFN
,WUHTXLUHVH[WUDFRGHJHQHUDWHGE\WKH 1RH[WUDFRGHLVQHHGHGWREH
FRPSLOHULQWKHH[HFXWLRQWRIDFLOLWDWH JHQHUDWHGE\WKHFRPSLOHULQWKLV
WKLVFRQYHQWLRQ FRQYHQWLRQ
7KHVWDFNLVFOHDUHGE\WKHFDOOHGIXQFWLRQ 7KH VWDFN LV FOHDUHG E\ WKH FDOOLQJ
IXQFWLRQ
,WLVSRVVLEOHWRKDYHYDULDEOHQXPEHURI ,WLVSRVVLEOHWRKDYHYDULDEOHQXPEHU
DUJXPHQWVGXHWRWKLVPHFKDQLVP RIDUJXPHQWV
:KHQ WKH IXQFWLRQ IROORZV 3DVFDO FRQYHQWLRQ LW LV WKH UHVSRQVLELOLW\ RI WKH
IXQFWLRQV WR UHPRYH WKH DUJXPHQWV IURP WKH VWDFN EHIRUH WKH\ UHWXUQ IURP WKH FDOOHU
:KHUHDVLQWKHµFGHFO¶WKHFDOOLQJIXQFWLRQLVUHVSRQVLEOHIRUFOHDQLQJXSWKHVWDFN7KLV
LVRQHRIWKHPDLQGLIIHUHQFHVEHWZHHQWKH3DVFDOFDOOLQJDQG&FDOOLQJFRQYHQWLRQ
0RVWRIWKHODQJXDJHVIROORZWKHVWDQGDUG3DVFDOFDOOLQJFRQYHQWLRQOLNH9LVXDO
%DVLFDQG$3,VVXFKDV:LQ7KLVLVEHFDXVHLWUHGXFHVWKHVL]HRIWKHFRGHJHQHUDWHG
2QWKHRWKHUKDQGWKHFGHFODOORZVWKHYDULDEOHDUJXPHQWOLVWVWREHLPSOHPHQWHG
7KHGLIIHUHQFHVEHWZHHQWKHWZRFDOOLQJFRQYHQWLRQVDUHVXPPDUL]HGLQWKHWDEOH
JLYHQ
5HFXUVLRQ
)XQFWLRQVFDQEHFDOOHGLQ&UHFXUVLYHO\HLWKHUGLUHFWRULQGLUHFW)RUHDFKFDOOD
QHZ VWDFN IUDPH LV FUHDWHG 7KLV PDNHV WKHP LQGHSHQGHQW RI DXWRPDWLF YDULDEOHV RI
SUHYLRXVVHW
7KH IROORZLQJ LV D VLPSOH SURJUDP WR FKHFN IRU ZHOO IRUPHG SDUHQWKHVLV WKDW
DSSOLHVUHFXUVLRQDQGLQWURGXFHVWKHXVHRIIXQFWLRQVOLNHDGYDQFHDQGPDWFKWKDWDUH
QRUPDOO\XVHGLQOH[LFDODQDO\VHUVWKDWLVGLVFXVVHGODWHU
VWDWLFFKDUFXUUHQW7RNHQ
FKDU LQSXW6WULQJ
FKDUDGYDQFH
^
UHWXUQFXUUHQW7RNHQ LQSXW6WULQJ
YRLGPDWFKFKDUWRNHQ
LIFXUUHQW7RNHQ WRNHQ
SULQWI?Q(UURUPLVVLQJPDWFKLQJ

HOVH
DGYDQFH
YRLGSDUHQV
ZKLOHFXUUHQW7RNHQ

DGYDQFH
SDUHQV
PDWFK

LQWPDLQ
DGYDQFH
SDUHQV
LIFXUUHQW7RNHQ

SULQWI?Q(UURU

ZLWKRXWPDWFKLQJ

5HFXUVLRQ LV YHU\ SRZHUIXO LQ PRGHOLQJ WKH UHDOZRUOG SUREOHPV 7KH IROORZLQJ
H[DPSOHLVDERXWVROYLQJWKHQTXHHQVSUREOHPXVLQJ UHFXUVLRQWKLVWHFKQLTXHLVFDOOHG
EDFNWUDFNLQJDOJRULWKP
WKHSRZHURIUHFXUVLRQ
LQFOXGHPDWKK!
LQFOXGHVWGLRK!
LQFOXGHVWGOLEK!
LQW[>@
LQWQXP
LQW[\]
LQWSODFHLQWNLQWL
IRULQWM M NM
LI[>M@ L__DEV[>M@L DEVMN
UHWXUQ
UHWXUQ
LQWQ4XHHQVLQWNLQWQ
^
IRULQWL L QL L
LISODFHNL
[>N@ L
LIN Q
SULQWIGQXP
IRULQWM M QM
SULQWIG[>M@
SULQWI?Q
QXP
HOVH
Q4XHHQVNQ
LQWPDLQ
Q4XHHQV
VROYHIRUTXHHQV
SULQWI?QGFRPELQDWLRQVQXP
LWSULQWV
3RLQWWR3RQGHU
)RUDOOUHFXUVLYHSURJUDPVWKHUHH[LVWVDQHTXLYDOHQWLWHUDWLYHSURJUDP
([HUFLVH
:ULWHDUHFXUVLYHIXQFWLRQWRUHYHUVHDVWULQJ7KHVROXWLRQPD\VHHPVLPSOHDQG
GLUHFW +RZHYHU ILQGLQJ D YHU\ JRRG VROXWLRQ WR WKLV SUREOHP FDQ EH FKDOOHQJLQJ DQG
LQWHUHVWLQJ
)XQFWLRQ3RLQWHUV
)XQFWLRQVMXVWOLNHGDWDW\SHVDUHGHFODUHGDQGGHILQHG7KHGHILQHGIXQFWLRQLV
DYDLODEOHLQWKHPHPRU\6RZHFDQWDNHDGGUHVVRILWDQGVWRUHLWLQDIXQFWLRQSRLQWHU
,QRWKHUZRUGVDSRLQWHUWRDIXQFWLRQLVEHVWWKRXJKWRIDVDQDGGUHVVXVXDOO\LQD
FRGH VHJPHQW ZKHUH WKDW IXQFWLRQ

V H[HFXWDEOH FRGH LV VWRUHG WKDW LV WKH DGGUHVV WR
ZKLFKFRQWUROLVWUDQVIHUUHGZKHQWKDWIXQFWLRQLVFDOOHG
LQW IRR3WU
+HUHIRR3WULVDIXQFWLRQSRLQWHU,WFDQEHDVVLJQHGZLWKDQ\IXQFWLRQKDYLQJQR
DUJXPHQWVZLWKUHWXUQW\SHLQW
LQWIRR
/HWEHDIXQFWLRQ,WFDQEHDVVLJQHGWRIRR3WUDV
IRR3WU IRR
RU
IRR3WU IRR
ERWKDUHHTXLYDOHQW
7KHSRLQWHUFDQEHXVHGODWHUWRFDOOWKDWFRUUHVSRQGLQJIXQFWLRQLQWZRZD\V
IRR3WU
RU
IRR3WU
%RWKWKHZD\VDUHHTXLYDOHQW$16,VWDQGDUG,H LVRSWLRQDO
)RUH[DPSOHWKH LVWRLQGLUHFWWKHIXQFWLRQSRLQWHUDQGWKHVXUURXQGLQJSDUHQWKHVLVLVWR
IRUFHWKDWLQGLUHFWLRQ
6RLWFRPHVRXWWKDW
IRR3WU RU
IRR3WU RU
IRR3WURU
IRR3WURUPRUHDUHDOOHTXLYDOHQW
PRUHWKDQRQHLQGLUHFWLRQFDQQRWFKDQJHWKHDGGUHVV
ZKHUHWKHIXQFWLRQLVDYDLODEOHVRYDOLG
6LPLODUO\GXHWRWKLVthe syntax of function pointers, the following is valid:
LQWIXQ
GHFODUHIXQDVIXQFWLRQUHWXUQLQJLQW
IXQ
FDOOLWXVLQJWKH RSHUDWRUWRIXQFWLRQQDPH
because &fun is nothing but the address of the function and so (&fun)()is same as fun()
or (fun)().
,QRWKHUZRUGVLWFDQEH YLHZHGDVLIIXQFWLRQVDUHDOZD\VFDOOHGYLDSRLQWHUVDQG
WKDWUHDOIXQFWLRQQDPHVDOZD\VGHFD\LPSOLFLWO\LQWRSRLQWHUV7KHVDPHUHDVRQLQJWKDW
DSSOLHVWRWKHHTXLYDOHQFHRID>@>D@ DDQG DDUHIHUHQFHWRDQDUUD\LV
FRQYHUWHGE\WKHFRPSLOHUWRDSRLQWHUWRWKHEHJLQQLQJRIWKHDUUD\[Kernighan and
Ritchie 1988]DQGVRXQDPELJXRXVDQGYDOLG
7KLVHTXLYDOHQFHLVWUXHH[FHSWLQVLGHVL]HRI
LQWIRR
VL]HRIIRR
HUURUEHFDXVHIRRLVDIXQFWLRQQDPHKHUHLQVLGHDVL]HRI
DQG\RXFDQQRWDSSO\VL]HRIWRILQGWKHVL]HRIDIXQFWLRQ
LWVKRXOGEHVL]HRI IRRWRILQGWKHVL]HRIWKH
IXQFWLRQSRLQWHU
7KHSRLQWWRUHPHPEHULVWKDWWKHUHWXUQW\SHDQGDUJXPHQWVPXVWEHLGHQWLFDOIRU
WKHIXQFWLRQSRLQWHUVDQGWKHIXQFWLRQDVVLJQHG
LQW ISIORDW
ISLVDSRLQWHUWRIXQFWLRQVWKDWWDNHIORDWDV
DUJXPHQWDQGUHWXUQWKHYDOXHRIW\SHLQW
LQWIRRIORDWIÛHWXUQ`
IS IRR
2.WKHDUJXPHQWDQGUHWXUQW\SHVPDWFKHV
H[WHUQIRR
IS IRR
(UURQHRXV7KHUHLVQRZD\E\ZKLFKWKHFRPSLOHUFDQYHULI\WKH
W\SHV,IWKHUHWXUQW\SHRUDUJXPHQWW\SHVGLIIHUIRUIRRWKHQ
XQGHILQHGEHKDYLRU
7KLVLVDYHU\FUXFLDOSRLQWWRUHPHPEHUEHFDXVHPRVWRIWKHWLPHVWKHFRPSLOHUV
FDQQRW IODJ HUURU E\ QRWLQJ WKH PLVPDWFK 7KLV LV EHFDXVH PDQ\ RI WKH DVVLJQPHQWV DUH
GRQHDWUXQWLPHDQGWKHW\SHLQIRUPDWLRQPD\QRWEHDYDLODEOHWRWKHFRPSLOHU
3RO\PRUSKLF5RXWLQHV
)XQFWLRQ SRLQWHU LV D SRZHUIXO PHFKDQLVP WKDW LW FDQ SURYLGH SRO\PRUSKLF
URXWLQHVEVHDUFK DQGTVRUW GHILQHGLQVWGOLEK!DUHH[DPSOHVIRUVXFKIXQFWLRQV
YRLG TVRUWYRLG EDVH VL]HBW Q VL]HBW VL]H LQW
FPSFRQVWYRLG FRQVWYRLG
7KLVVRUWVWKHDUUD\EDVHKDYLQJQHOHPHQWVRIHDFKVL]HLQDVFHQGLQJRUGHU7KLV
SURYLGHV VRUWLQJ IXQFWLRQ IRU DQ\ W\SH RI REMHFWV LQFOXGLQJ VWUXFWXUHV 7KH FRPSDULVRQ
IXQFWLRQ RI HDFK W\SH VKRXOG EH SDVVHG DQG WKH DSSURSULDWH VL]H VKRXOG EH JLYHQ 7KH
VDPHDSSOLHVWREVHDUFK
7KH IROORZLQJ H[DPSOH LV WR VKRZ WKH UHDO ZRUOG H[DPSOH RI XVLQJ IXQFWLRQ
SRLQWHUV6D\\RXZDQWWRZULWHDPHQXSURJUDP7KHDLPLVWRZULWHDSURJUDPWKDWZLOO
FDOOFRUUHVSRQGLQJIXQFWLRQLVVHOHFWHGLQWKHPHQXDWUXQWLPH7KHUHIRUHWKHUHTXLUHPHQW
LV WR ZULWH GHFODUDWLRQ D IXQFWLRQ SRLQWHU ZLWK LQW DV FRPPRQ UHWXUQ W\SH ,W PD\ EH
GHFODUHGDV
LQW IQ3WU
VZLWFKVHOHFW ^
FDVH1(:IQ3WU QHZEUHDN
FDVH23(1IQ3WU QHZEUHDN
«
DVVLJQWKHDGGUHVVRIWKHFRUUHVSRQGLQJIXQFWLRQWRIQ3WU
IQ3WU
7KLV LV DQ HDV\ H[DPSOH EXW LW VKRZV WKH\ DSSO\ LQ UHDO SURJUDPPLQJ DQG LW LV
HVVHQWLDO WR EH DEOH WR XQGHUVWDQG DQG FRPSRVH VXFK GHFODUDWLRQV &DOOLQJ RI IXQFWLRQV
XVLQJ WKHVH IXQFWLRQ SRLQWHUV ZKRVH YDOXH LV GHWHUPLQHG DW UXQWLPH LV NQRZQ DV
FDOO
EDFN

/LEUDU\)XQFWLRQV
,Q ZULWLQJ FRGH IRU OLEUDU\ IXQFWLRQV IUHTXHQWO\ FDOOHG IXQFWLRQV RU LQ FULWLFDO
DSSOLFDWLRQVFDUHVKRXOGEHWDNHQDQGSUREOHPVPD\FURSXSHYHQLQXQH[SHFWHGSODFHV
&RQVLGHUWKHH[DPSOHRIFRPSDULQJWZRLQWHJHUVDQDORJRXVWRVWUFPS,WPD\EH
ZULWWHQDV
LQWLQW&PSLQW[LQW\^
UHWXUQ[\
7KLV VROXWLRQ PD\ VXIIHU D SUREOHP ,I [ LV D ELJ SRVLWLYH LQWHJHU DQG \ D ELJ
QHJDWLYHRQHWKHQ[\PD\ OHDGWRRYHUIORZ DQGVRZLOOJLYHLQFRUUHFWRXWSXWH JWDNH
DQGDVVXPHVL]HRILQW
6RLQGLYLGXDOFRPSDULVRQEHPDGHDQGUHZULWWHQDFFRUGLQJO\
LQWLQW&PSLQW[LQW\^
LI[\UHWXUQ
HOVHLI[ \UHWXUQ
HOVHUHWXUQ
`QRFKDQFHRIRYHUIORZLQWKLVFDVH
'HVLJQRILQWHUIDFH
5HWXUQW\SHDQGDUJXPHQWVRIDIXQFWLRQLVFDOOHGDVWKHLQWHUIDFHRIWKHIXQFWLRQ
,WLVFDOOHGDVDQLQWHUIDFHEHFDXVHWKHVHDUHWKHDFWXDOSDUWVWKDWIRUPWKHZLQGRZWRWKH
XVH WKDW IXQFWLRQ )XQFWLRQV DEVWUDFW WKH LPSOHPHQWDWLRQ RI WKH IXQFWLRQ DV WKH XVHU LV
LQWHUHVWHGRQO\LQXVLQJLW6LQFHIXQFWLRQV\RXZULWHPD\EHIUHTXHQWO\XVHGWKHLQWHUIDFH
GHVLJQVKRXOGEHWDNHQFDUH,WLVDJRRGPHWKRGRORJ\WRPDNHLQWHUIDFHVVWUDLJKWIRUZDUG
DQGWKHUHVKRXOGEHQRµVXUSULVHV¶E\XVLQJWKHIXQFWLRQV
,WLVDOVRDQRWJRRGGHVLJQWRPRGLI\WKHYDOXHVSDVVHGWRWKHIXQFWLRQVZLWKRXW
H[SOLFLWO\HYLGHQWWKDWWKHFKDQJHLVPDGH$QXQXVXDOH[DPSOHRIKRZDIXQFWLRQVKRXOG
QRWEHGHVLJQHGLVIURPWKHVWDQGDUGOLEUDU\LWVHOI
&RQVLGHU WKH IXQFWLRQ VWUWRN ,W LV XVHG WR VHSDUDWH WKH WRNHQV IURP WKH SDVVHG
VWULQJ,IWKHILUVWDUJXPHQWLVQRW18//WKHSRLQWHUYDOXHLVUHPHPEHUHG LQVLGHWKHVWUWRN
IXQFWLRQWREHXVHGLQWKHVXEVHTXHQWFDOOV,QIROORZLQJFDOOVVWUWRNLIILUVWDUJXPHQWDV
18// WKH WRNHQV IURP SUHYLRXVO\ UHPHPEHUHG VWULQJ DUH UHWXUQHG VWUWRN UHWXUQV
18//ZKHQLWUHDFKHVHQGRIWKHVWULQJ$OVRZKHQVWUWRNLVFDOOHGLWUHSODFHVWKHHQG
RIWRNHQLQWKHSDVVHGVWULQJZLWKD18//FKDUDFWHU
FKDUVWDWHPHQW>@ ³7KLVLVDERXWLQWHUIDFHGHVLJQ´
FKDUVHSHUDWRU>@ ³?Q´
EODQNVSDFHDQGQHZOLQHDUHVHSDUDWRUV
FKDU D7RNHQ
D7RNHQ VWUWRNVWDWHPHQWVHSDUDWRU
ZKLOHD7RNHQ VWUWRN18//VHSDUDWRU
SXWVD7RNHQ
,QWKLVH[DPSOHDWILUVWWKHVWUWRNJHWVWKHDGGUHVVRIµVWDWHPHQW¶LQWKHILUVWFDOO
,QWKHVXEVHTXHQWFDOOVLWLVFDOOHGZLWKILUVWDUJXPHQWDV18//VRLWUHWXUQVWRNHQVIURP
WKH¶VWDWHPHQW¶VHSDUDWHGE\DQ\RIWKH µVHSDUDWRU¶$WHQGWKHRULJLQDOVWULQJORRNVOLNH
WKLV
³7KLV?LV?DERXW?LQWHUIDFH?GHVLJQ´
LQZKLFKWKHRULJLQDOVWULQJLVPRGLILHGDVDVLGHHIIHFWRIWKHPDLQHIIHFWRIUHWXUQLQJD
WRNHQIURPWKHVWULQJVRWKDWWKHVXEVHTXHQWFDOOVZLOOUHWXUQWKHFRQVHFXWLYHFDOOV6RLW
LVQHFHVVDU\IRUWKHXVHUVWRNQRZDERXWWKHHIIHFWRIVWUWRNDQGVRKHPXVWSDVVWKHFRS\
RI WKH RULJLQDO VWULQJ UDWKHU WKDQ WKH RULJLQDO VWULQJ LWVHOI ZKLFK LV DQ XQGHVLUDEOH
SURSHUW\
9DULDEOH$UJXPHQWV
9DULDEOH DUJXPHQWV LQ & DUH LPSOHPHQWHG XVLQJ WKH WKUHH PDFURV GHILQHG LQ
VWGDUJK!YDBVWDUWYDBDUJDQGYDBHQGYDBOLVWLVXVHGWRGHFODUHYDULDEOHWRDFFHVVWKH
OLVW([DPSOHVIRUYDULDEOHDUJXPHQWIXQFWLRQVDUHWKHXELTXLWRXVVFDQIDQGSULQWI
9DULDEOHIRUYDULDEOHDUJXPHQWOLVWVKRXOGEHGHFODUHGWRDFFHVVWKHDUJXPHQWVRI
W\SHYDBOLVW7KHQYDBVWDUWLQLWLDOL]HVWKDWOLVWDQGDUJXPHQWVDUHDFFHVVHGRQHE\RQHE\
FDOOLQJYDBDUJUHSHDWHGO\
W\SHYDBDUJYDBOLVWW\SH
ZKHUHW\SHLQGLFDWHVGDWDW\SH
%HIRUH JHWWLQJ WKH QH[W DUJXPHQW LW LV QHFHVVDU\ WR NQRZ WKH DUJXPHQW W\SH LQ
SULQWIVFDQIWKLVLVDFKLHYHGE\LQIRUPDWLRQLQIRUPDWVWULQJ
7KHDFFHVVLQJHQGVZLWKFDOOLQJYDBHQG
7KHOLPLWDWLRQVRIYDULDEOHDUJXPHQWPHFKDQLVPDUH
x LWLVLPSOHPHQWHGDVPDFURVLWVHOILVDGLVDGYDQWDJHIRUHJPDFURVGRHVQRW
NQRZ WKH DUJXPHQW W\SH 6R GHIDXOW FRQYHUVLRQV ZLOO EH PDGH RQ WKH
DUJXPHQWVSDVVHG
x LW FDQ EH DFFHVVHG RQO\ VHTXHQWLDOO\ LW PHDQV WKDW \RX FDQQRW DFFHVV WKH
DUJXPHQWLQWKHPLGGOHGLUHFWO\
x W\SHKDVWREHSUHGLFWHGEHIRUHDFFHVVLQJWKHQH[WDUJXPHQW
x LWVKRXOGKDYHDWOHDVWRQHQDPHGDUJXPHQW
LQFOXGHVWGDUJK!
LQFOXGHVWGLRK!
DVPDOOYHUVLRQRISULQWI
VXSSRUWVVDQGGRQO\DQGHVFDSHVHTXHQFH?W
LQWP\3ULQWFKDU IRUPDW^
YDBOLVWSULQW/LVW
YDBVWDUWSULQW/LVWIRUPDW
YDULDEOHDUJXPHQWOLVWVGHSHQGRQWKHDVVXPSWLRQWKDW
WKHDUJXPHQWVDUHSDVVHGLQDFRQWLJXRXVPHPRU\WRWKHIXQFWLRQ
FDOOHGYDBVWDUWJHWVWKHLQLWLDOSRVLWLRQDQGYDBOLVWLQFUHPHQWV
WRWKHQH[WDUJXPHQW7KLVLVGRQHE\LQFUHPHQWLQJWKHSRLQWHUWR
WKHQH[WORFDWLRQ
IRUFKDU S IRUPDW S

?
S^
LI S

VZLWFK S^
FDVH
G
^
LQWL9DO YDBDUJSULQW/LVWLQW
SULQWIGL9DO
ÈUHDN
FDVH
V
^
FKDU V9DO YDBDUJSULQW/LVWFKDU
SULQWIVV9DO
ÈUHDN
GHIDXOW SULQWIQRWVXSSRUWHG\HW
HOVHLI S
??
^
HVFDSHVHTXHQFH
VZLWFK S^
FDVH
W
SXWFKDU
?W
EUHDN
GHIDXOW SULQWIQRWVXSSRUWHG\HW
`
HOVH
SXWFKDU S
YDBHQGSULQW/LVW
LQWPDLQ^
LQWL
P\3ULQWIRUPDWGVVULUDP
:UDSSHU)XQFWLRQV
3URFHGXUDOSURJUDPPLQJODQJXDJHVDUHYXOQHUDEOHWRWKHFKDQJHVLQWKHLQWHUIDFH
&RQVLGHUWKHH[DPSOHRIDVWXGHQWVWUXFWXUH
LQWDGG6WXGHQWFKDU QDPHLQWW\SH2I(QWU\
,I WKH VHFRQG DUJXPHQW W\SH2I(QWU\ LV QRW QHFHVVDU\ WKHQ WKH GHFODUDWLRQ
EHFRPHV
LQWDGG6WXGHQWFKDU QDPH
7KLV PHDQV WKDW DOO WKH FRGH WKDW LV FDOOLQJ WKH IXQFWLRQ DGG6WXGHQW QHHGV WR EH
PRGLILHG WR WDNH VLQJOH DUJXPHQW WKLV SUREOHP RI FKDQJLQJ WKH LQWHUIDFH FDQ EH HDVLO\
VROYHG LQ REMHFW RULHQWHG ODQJXDJHV E\ IXQFWLRQ RYHUORDGLQJ GHIDXOW DUJXPHQWV HWF
+HUHWKHZUDSSHUIXQFWLRQVPD\EHXVHG
LQWDGG6WXGHQWFKDU QDPHLQWW\SH2I(QWU\^
LJQRUHW\SH2I(QWU\WKDWLVXVHOHVV
LQWDGG6WXGHQW:UDSSHGQDPH
7KH LGHD LV WR ZUDS WKH QHZ IXQFWLRQ LQWR WKH ROG RQH VXFK WKDW WKH LQWHUIDFH
UHPDLQV WKH VDPH 7KH ROG FRGH UHPDLQV XQDIIHFWHG 6LPLODUO\ OHW XV FRQVLGHU WKDW WKH
QHZVWUXFWXUH
W\SHGHIVWUXFW^
FKDU QDPH
LQWW\SH2I(QWU\
`VWXGHQW
LVGHILQHG1RZWKHDGG6WXGHQWIXQFWLRQLVFKDQJHGWR
LQWDGG6WXGHQWVWXGHQW
,QWKLVFDVHDOVRZUDSSHUIXQFWLRQFDQEHXVHGZLWKRXWDIIHFWLQJWKHOHJDF\FRGH
ZUDSSHU$GG6WXGHQWVWXGHQW VWXG^
DGG6WXGHQWVWXG!QDPHVWXG!W\SH2I(QWU\
7KXV WKH LGHD RI ZUDSSHU IXQFWLRQV FDQ EH SUHFLRXV LQ UHXVH RI FRGH DQG ZKLOH
PDLQWHQDQFHLVGRQH
'<1$0,&0(025<$//2&$7,21
,Q&IXQFWLRQVG\QDPLF PHPRU\ DOORFDWLRQ IXQFWLRQV DUH GHFODUHG LQ WKH KHDGHU
ILOHVWGOLEK!DOVRDOORFK!LQVRPHLPSOHPHQWDWLRQV,IDWWKHFRPSLODWLRQWLPHLWVHOI
ZH GR QRW NQRZ WKH DPRXQW RI PHPRU\ UHTXLUHG ZH GR G\QDPLF DOORFDWLRQ $OZD\V
DOORFDWHULJKWDPRXQWRIPHPRU\VLQFHG\QDPLFPHPRU\DOORFDWLRQLVQRWWKHSDUWRIWKH
ODQJXDJHLWVHOI,ILWZHUHSDUWRIWKHODQJXDJHWKHUHZLOOEHVRPHVXSSRUWWRDOORFDWHWKH
ULJKWDPRXQWRIPHPRU\EXWVLQFHWKLVLVQRWDOORFDWLQJULJKWDPRXQWRIPHPRU\VKRXOG
EHWDNHQFDUHE\WKHSURJUDPPHU
0HPRU\$OORFDWRU
7KH IXQFWLRQV OLNH PDOORF UHDOORF DUH LPSOHPHQWHG PLQLPDOO\ GHSHQGHQW RQ
RSHUDWLQJV\VWHPRUXQGHUO\LQJKDUGZDUH7KHUHLVDPHPRU\DOORFDWRUWKDWZLOOPDQDJH
WKHVHUYLFHVUHTXLUHGE\DOORFDWLRQIXQFWLRQVE\DFTXLULQJDYHU\ODUJHFKXQNRIPHPRU\
IURPWKHRSHUDWLQJV\VWHP7KHQLWIUDJPHQWVWKHPHPRU\NHHSVWUDFNRIDOORFDWHGSDUWV
DQGGHDOORFDWHVDVUHTXLUHG,IWKHDOORFDWHGEORFNRIPHPRU\LVH[KDXVWHGWKHPHPRU\
PDQDJHU UHTXHVWV IRU DQRWKHU EORFN IURP WKH 26 DQG FRQWLQXHV IXQFWLRQLQJ ,QWHUHVWHG
UHDGHUV DUH UHFRPPHQGHG WR UHDG RQH VXFK LPSOHPHQWDWLRQ RI D G\QDPLF PHPRU\
DOORFDWLRQ PDQDJHU SURJUDP IRU 81,; RSHUDWLQJ V\VWHP WKDW LV GHVFULEHG LQ
[Kernighan and Ritchie 1988] ,I HLWKHU PHPRU\ DOORFDWRU IDLOV WR DOORFDWH
PHPRU\ GXH WR H[FHVV IUDJPHQWDWLRQ RU DQ\ RWKHU UHDVRQ RU LI 26 IDLOV WR SURYLGH
PHPRU\LWVLOHQWO\UHWXUQV18//6RDOZD\VFKHFNLIPHPRU\LVSURSHUO\DOORFDWHG
7KHIROORZLQJVLPSOHSURJUDPPD\EHXVHGWRGHWHUPLQH\RXUKHDSVL]H
LQWPDLQ^
FRQVWLQW6,=(
LQWNEV
ZKLOHPDOORF6,=(
NEV
SULQWI G NLORE\WHV RI PHPRU\ FDQ EH DOORFDWHG
G\QDPLFDOO\LQ\RXUV\VWHPNEV
1HYHUDVVXPHDERXWWKHVL]HRIWKHGDWDW\SHZKHQDOORFDWLQJPHPRU\IRUYDULRXV
GDWDW\SHV)RUH[DPSOHVD\\RXZDQWWRDOORFDWHPHPRU\IRULQWHJHUV,WLVSRUWDEOHWR
XVHPDOORFVL]HRILQW WRPDOORF ZKHUH\RXDVVXPHWKDWDQLQWHJHULVRIVL]H
E\WHV
0HPRU\6L]H$OORFDWHGE\PDOORF
,WLVDIDOVHQRWLRQWREHOLHYHWKDWPDOORF DOORFDWHVH[DFWDPRXQWRIPHPRU\\RX
UHTXHVW,QSUDFWLFHLWPD\DOORFDWHPRUHRUHYHQQRWKLQJLIQRPHPRU\LVDYDLODEOHE\
UHWXUQLQJ 18// 6D\ RXU UHTXLUHPHQW LV WR KDYH D OLQNHG OLVW RI LQGLYLGXDO FKDUDFWHUV
\RXPD\GHFODUHDVWUXFWXUHOLNHWKLV
VWUXFWQRGH^
FKDUGDWD
VWUXFWQRGH QH[W
` QRGH
QRGH VWUXFWQRGH PDOORFVL]HRIVWUXFWQRGH
GRHVQ¶WDOORFDWHH[DFWO\E\WHVEXWPRUH
LQRXUV\VWHPLWWRRNE\WHV
DQGVRPD\WKLQNWKDWLWWDNHVDSSUR[LPDWHO\WKUHHE\WHVDVVXPLQJWZRE\WHVIRUSRLQWHU
%XW WKH PHPRU\ DOORFDWRU LQ & LV LPSOHPHQWHG VXFK WKDW LW DOORFDWHV PHPRU\ RQO\ LQ
PXOWLSOHV RI EORFNV RI SUHGHWHUPLQHG VL]H VD\ E\WHV RU E\WHV 7KLV LV WR DYRLG
PLQXWHIUDJPHQWDWLRQDQGWRLPSURYHWKHDFFHVVVSHHG
6RLWFRPHVRXWWKDWG\QDPLFDOORFDWLRQLVQRWVXLWDEOHIRUDSSOLFDWLRQVZKHUHYHU\
VPDOOFKXQNVRIPHPRU\DUHQHHGHG7KHVROXWLRQWRWKLVSUREOHPPD\EH
3UHGLFWWKHDSSUR[LPDWHDPRXQWRIPHPRU\WKDWZLOOEHUHTXLUHGDQGDOORFDWH
DWFRPSLOHWLPHLWVHOI
8VH\RXURZQPHPRU\DOORFDWRUWDLORUHGWR\RXUQHHGWKLVPD\ZRUNRXWYHU\
HIILFLHQWO\LI\RXKDYHWRDOORFDWHPHPRU\EORFNVRIVDPHVL]H
,QLWLDOL]LQJ0HPRU\%ORFN
)RUDOORFDWLQJODUJHEORFNVWKHDYDLODEOHDOORFDWLRQPHFKDQLVPVXLWHVYHU\ZHOO,W
LVDOVRWKHGXW\RIWKHSURJUDPPHUWRSURSHUO\LQLWLDOL]HWKHVSDFHDOORFDWHGG\QDPLFDOO\
FDOORF IXQFWLRQ UHWXUQV WKH PHPRU\ DOO LQLWLDOL]HG WR ]HUR VR PD\ EH KDQG\ WR \RX LI
\RXZDQWWRPDNHVXUHWKDWWKHPHPRU\LVSURSHUO\LQLWLDOL]HGFDOORFLVLQWHUQDOO\PDOORF
ZLWKIDFLOLW\WRLQLWLDOL]HWKHPHPRU\EORFNDOORFDWHGWR]HUR
FDOORFPQLV
S PDOORFP Q
PHPVHWSP Q
+HUH WKH PHPVHW IXQFWLRQ LV HPSOR\HG WR LQLWLDOL]H WKH DOORFDWHG EORFN 7KLV
IXQFWLRQLVYHU\XVHIXODQGKDQG\WRLQLWLDOL]HODUJHEORFNRIPHPRU\ZLWKRXWWKHQHHGWR
WUDYHUVHWKHZKROHDUUD\$SRLQWWRQRWHKHUHLVWKDWWKHVHFRQGDUJXPHQWWKHYDOXHWR
LQLWLDOL]H LV D FKDUDFWHU 6R IRU LQLWLDOL]LQJ IORDWV RU GRXEOHV WKH VDPH ROG WHFKQLTXH RI
WUDYHUVLQJDQGLQLWLDOL]LQJVKRXOGEHHPSOR\HG
6LPLODUO\WKHEORFNVRIPHPRU\FDQEHFRSLHGXVLQJPHPFS\DQGPHPPRYH
IXQFWLRQV PHPVHW DQG WKHVH WZR IXQFWLRQV DUH GHFODUHG LQ VWULQJK! 7KH RQO\
GLIIHUHQFHEHWZHHQWKHVHWZRIXQFWLRQVLVWKDWPHPPRYHFDQEHXVHGZLWKRYHUODSSLQJ
PHPRU\ DUHD ZKHUHDV PHPFS\ IRU QRQRYHUODSSLQJ PHPRU\ DUHDV RI FRXUVH ZLWK
VRPHORVVRIHIILFLHQF\
YRLG DQGFKDU
. 5&GLGQ
WKDYHWKHJHQHULFSRLQWHUYRLG VRLWKDGFKDU DVWKHUHWXUQW\SH
IRUPDOORF:K\DFKDU " :K\QRWDQLQW RUIORDW " 7KHUHDVRQEHLQJWKDWFKDUDFWHUV
UHTXLUHQRSDGGLQJVLQFHFKDUVDUHDVVXUHGWREHRQHE\WHLQOHQJWKQRWKLQJLVUHTXLUHGWR
SDGDQGSDGGLQJLVRQHRIWKHPDLQUHDVRQVZK\FDVWLQJVKRXOGEHGRQHEHWZHHQSRLQWHU
W\SHV6RLWLVDVLI\RXDUHDFFHVVLQJLQGLYLGXDOE\WHVDQGVRVHUYHGWKHSXUSRVHZHOO
6LQFHSRLQWHUVRIW\SHYRLGFDQEHDVVLJQHGWRDQ\W\SHZLWKRXWFDVWLQJ \RXFDQ
XVHPDOORFZLWKRXWDQ\FDVWLQJ
LQW DUUD\ PDOORFVL]HRILQW
VLQFH $16, & VD\V WKDW PDOORF UHWXUQV YRLG %XW WKH ROG IXQFWLRQ FKDU PDOORF
QHHGHGWREHFDVWHGEHIRUHEHLQJDVVLJQHGWRRWKHUSRLQWHUW\SHV,WLVWKHPDWWHURIWDVWH
WRVHOHFWEHWZHHQWKHWZRPHWKRGVWRFDVWH[SOLFLWO\RUQRW
([HUFLVH
<RX NQRZ WKDW LQ VRPH PDFKLQHV FHUWDLQ W\SHV KDYH WR PHHW WKH DOLJQPHQW
UHTXLUHPHQWVIRUH[DPSOHLQWVDQGIORDWVVKRXOGVWDUWDWWKHHYHQDGGUHVVHV7KLVZLOOEH
WDNHQ FDUH E\ WKH FRPSLOHU ZKHQ DOORFDWLQJ PHPRU\ IRU VXFK W\SHV GHFODUHG LQ WKH
SURJUDPV +RZ ZLOO \RX WDNH FDUH RI WKH SUREOHP RI DOLJQLQJ WKH W\SHV WR UHTXLUHG
ERXQGDULHV ZKHQ \RX DOORFDWH PHPRU\ H[SOLFLWO\ E\ XVLQJ G\QDPLF PHPRU\ DOORFDWLRQ
VD\PDOORF"
UHDOORFDFRPSOHWHPHPRU\PDQDJHU
YRLG UHDOORFYRLG SWUVL]HBWVL]H
¾ LISWULV18//WKHQLWLVVDPHDVPDOORFVL]HLVFDOOHG
¾ FKDQJHVWKHDUHDRIPHPRU\SRLQWHGE\SWUWRVL]HE\WHV
¾ LI WKH VSDFH FDQ EH FRQWLQXRXVO\ DOORFDWHG DIWHU SWU WKH PHPRU\ VL]H LV
H[WHQGHG DQG WKH VDPH SWU LV UHWXUQHG ,I WKH VSDFH LV QRW DYDLODEOH
FRQWLQXRXVO\ DIWHU SWU LW LV FKHFNHG LI WKH VL]H RI PHPRU\ FDQ EH DOORFDWHG
VRPHZKHUH HOVH ,I VR WKH GDWD SRLQWHG E\ SWU LV FRSLHG E\WH E\ E\WH WR WKH
QHZ ORFDWLRQ DQG WKH QHZ DGGUHVV LV UHWXUQHG ,I VL]H E\WHV DUH QRW DYDLODEOH
18//LVUHWXUQHG
¾ LWDOZD\VVXFFHHGVLQVKULQNLQJDEORFN
¾ LIVL]HLVDQGSWULVQRW18//WKHQLWDFWVOLNHIUHHSWUDQGDOZD\VUHWXUQV
18//
FKDU SWU 18//
SWU UHDOORFSWU
SWULV18//,WQRZDFWVDVLIPDOORFLVJLYHQ
LISWU 18// PD\RUPD\QRWVXFFHHG
SULQWI³(UURUFDQQRWDOORFDWHPHPRU\´
SWU UHDOORFSWU
H[WHQGV WKH EORFN RI VL]H FXUUHQWO\ SRLQWHG E\ SWU WR VL]H
RI E\WHV LI SRVVLEOH (OVH LW DOORFDWHV E\WHV VRPHZKHUH HOVH
SUHVHUYHVROGEORFNFRQWHQWVXSWRE\WHVDQGUHWXUQVQHZSRLQWHU
LISWU 18// PD\RUPD\QRWVXFFHHG
SWU UHDOORFSWU
VKULQNWKHPHPRU\EORFNE\E\WHVNHHSLQJRQO\ILUVWE\WHV
$OZD\VVXFFHHGV6RQRWQHFHVVDU\WRYHULI\LILWLVVXFFHHGHGRUQRW
SWU UHDOORFSWU

SWU 18//DQGVL]H 6RLWDFWVDVLWIUHHSWULVFDOOHG
'XH WR LWV G\QDPLF EHKDYLRU DV IUHH PDOORF DQG UHDOORF GHSHQGLQJ RQ WKH
DUJXPHQWVSDVVHGLWLVFDOOHGDVµDFRPSOHWHPHPRU\PDQDJHU¶,WLVZRQGHUIXOWRVHHWKDW
LW EHKDYHV OLNH WKLV GHSHQGLQJ RQ WKH DUJXPHQWV SDVVHG ,W LV PHDQLQJIXO DQG JLYHV WKH
SRZHU +RZHYHU GR QRW GR WKLV LQ \RXU SURJUDPV 7KLV DSSURDFK LV VXLWDEOH IRU OLEUDU\
IXQFWLRQV <RX FDQQRW H[SHFW XVHUV RI \RXU XVHUV EH DZDUH RI VXFK EHKDYLRU E\ \RXU
IXQFWLRQVGHSHQGLQJRQWKHDUJXPHQWVSDVVHG,I\RXKDYHWRZULWHVXFKIXQFWLRQSURYLGH
IRXUIXQFWLRQVHDFKIRURQHEHKDYLRUOLNHVKULQN0HPH[WHQG0HPHWF7KLVZLOOPDNH
\RXU FRGH PRUH UHDGDEOH DQG DOORZ \RXU XVHUV WR VHOHFW WKH IXQFWLRQ GHSHQGLQJ RQ WKH
IXQFWLRQDOLW\UHTXLUHG
&RQVLGHU D SUREOHP OLNH D VWULQJ WKDW PD\ UHTXLUH JURZLQJ VWULQJ DW UXQWLPH E\
FRQFDWHQDWLQJLWUHDOORFFRPHVKHUHKDQG\IRULPSOHPHQWLQJWKLVJURZLQJDUUD\V<RX
SDVVWKHSRLQWHUWRWKHDOUHDG\DYDLODEOHVWULQJSDQGWKHVWULQJWREHFRQFDWHQDWHGS
FRQVWLQW6,=(
FKDU DGG6WUFKDU SFKDU S^
LIS 18//
S PDOORFVWUOHQS
LIS 18//LIPDOORFIDLOV
UHWXUQ18//
HOVHLISUHYLRXVO\DOORFDWHGVRPHPHPRU\VWUFDWLW
^
S UHDOORFSVWUOHQSVWUOHQS
LIS 18// LIUHDOORFIDLOV
UHWXUQ18//
VWUFDWSS
UHWXUQS
$ VXEWOH SUREOHP LV WKHUH LQ WKH UHDOORF LW WR VRXUFH ,I UHDOORF IDLOV WKHQ VRXUFH
ZLOO EH VHW WR 18// VR WKH SRLQWHU WR SUHYLRXVO\ DOORFDWHG VWULQJ ZLOO EH ORVW 6R WKH
PRGLILHGYHUVLRQLV
FKDU WHPS
WHPS UHDOORFVRXUFHVWUOHQVRXUFH
VWUOHQWDUJHW
LIWHPS 18// LIUHDOORFIDLOV
UHWXUQ
VRXUFH WHPS
VWUFDWVRXUFHWDUJHW
«
%\ LQWURGXFLQJ D QHZ WHPSRUDU\ YDULDEOH WHPS WKH RULJLQDO DUUD\ LV SUHVHUYHG
HYHQLIUHDOORFIDLOV
6LQFH WKHUH LV FORVH UHODWLRQVKLS EHWZHHQ SRLQWHUV DQG DUUD\V WKH PHPRU\
DOORFDWHGIURPG\QDPLFPHPRU\FDQEHXVHGDVLILWLVDVWDWLFDOO\DOORFDWHGDUUD\
IRUL LL
DUUD\>L@
QRGLIIHUHQFHEHWZHHQWKHVWDWLFDQGG\QDPLFDOO\DOORFDWHG
DUUD\DFFHVV
IUHH
1RW IUHHLQJ WKH G\QDPLFDOO\ DOORFDWHG PHPRU\ DIWHU XVH PD\ OHDG WR VHULRXV
SUREOHPV5HDGDERXWPHPRU\OHDNVLQWKLVFKDSWHU
IUHH DVVXPHV WKDW WKH DUJXPHQW JLYHQ LV D SRLQWHU WR WKH PHPRU\ WKDW LV WR EH
IUHHG DQGSHUIRUPVQRFKHFNWRYHULI\ WKDW PHPRU\ KDV DOUHDG\ EHHQ DOORFDWHG )UHHLQJ
WKHXQDOORFDWHGPHPRU\ZLOOOHDGWRXQGHILQHGEHKDYLRU6LPLODUO\LIIUHHLVFDOOHGZLWK
LQYDOLG DUJXPHQW WKDW PD\ FROODSVH WKH PHPRU\ PDQDJHPHQW PHFKDQLVP 6R DOZD\V
PDNHVXUHWKDWIUHHLVFDOOHGZLWKRQO\YDOLGDUJXPHQW
&RQVLGHU WKH H[DPSOH RI IUHHLQJ D OLQNHG OLVW [Kernighan and Ritchie
1988]
IRUSWU KHDGSWU 18//SWU SWU!QH[W
IUHHSWU
+HUHLQWKHH[SUHVVLRQSWU SWU!QH[WSWULVDFFHVVHGDIWHUSWULVUHOHDVHGXVLQJ
IXQFWLRQIUHH7KLVDOVRVHUYHVDVH[DPSOHIRUGDQJOLQJSRLQWHUVZKHUHWKHSRLQWHULVXVHG
HYHQDIWHUIUHHLQJWKHEORFN6RWKHEHKDYLRURIWKLVFRGHVHJPHQWLVXQGHILQHG
)RU WKLV SUREOHP >.HUQLJKDQ DQG 5LWFKLH @ VXJJHVWV D VLPSOH VROXWLRQ
LQWURGXFHDWHPSRUDU\YDULDEOHWRKROGWKHDGGUHVVWREHSRLQWHGQH[W7KHFRGHFDQQRZ
EHZULWWHQDV
IRUSWU KHDGSWU 18//SWU WHPS
WHPS SWU!QH[W
IUHHSWU
$QRWKHUIUHTXHQWO\PDGHPLVWDNHLVWRIUHH D VDPH EORFN WZLFH 7KLV PD\ RFFXU
DFFLGHQWDOO\LIWZRSRLQWHUVSRLQWDQREMHFWDQG\RXFDOOIUHHE\XVLQJERWKWKHSRLQWHUV$
JRRGSRLQWLVWRUHPHPEHULVWKDWWKHSRLQWHULVQRWVHWWR18//DIWHULWLVIUHHGDQGVRLW
LVRXUGXW\WRPDNHVXUHWKDWWKLVSUREOHPGRHVQRWRFFXU0RVWRIWKHFRPSLOHUVGRQRW
SRVHDQ\SUREOHPLQIUHHLQJDSRLQWHUZKRVHYDOXHLV18//6RLWLVDJRRGLGHDWRVHW
WKHSRLQWHUWR18//DIWHU IUHHLQJ LW DQG LI WKH VDPH SRLQWHU XVHG LQ IUHH ZLOO QRW FDXVH
SUREOHPV
LQW SWU
^DEORFNEHJLQVKHUH
SWU PDOORF
«
IUHHSWU
IUHHLQJGRHVQ¶WVHWSWUWR18//
SWU 18//
JRRGSUDFWLFHQRSUREOHP LIDFFLGHQWDOO\XVHGLQIUHHDJDLQ
IUHHSWU
QRZQRSUREOHP
'\QDPLFPHPRU\DOORFDWLRQLVOLNHDNQLIH1RGRXEWLWLVYHU\ D SRZHUIXO WRRO
EXWWKDWKDVWREHXVHGYHU\FDUHIXOO\&OHDYHVWKLVG\QDPLFPHPRU\PDQDJHPHQWWREH
FRQWUROOHGE\WKHSURJUDPPHUDQGVRLWLVWKHSURJUDPPHU¶VGXW\WRXVHLWFRUUHFWO\
35(352&(6625
& LV D IUHH IRUPDWWHG ODQJXDJH ([FHSW IRU SUHSURFHVVRU (YHU\ SUHSURFHVVRU
VWDWHPHQW EHJLQV ZLWK D V\PERO LQ D VHSDUDWH OLQH DQG VR LV QRW D IUHH IRUPDWWHG RQH
%HJLQQLQJ HYHU\ SUHSURFHVVRU GLUHFWLYH ZLWK EHJLQQLQJ V\PERO KDV DQ DGYDQWDJH ,W
DOORZVSUHSURFHVVRUWRMXVWFKHFNRQO\WKHILUVWFKDUDFWHURIHYHU\OLQHDQGGHWHUPLQHLILW
EHORQJVWRSUHSURFHVVRURUQRW7KLVKHOSVLQLQFUHDVLQJWKHVSHHGRISUHSURFHVVLQJ
3UHSURFHVVRU LQ & LV FRQVLGHUHG DV D VHSDUDWH ORJLFDO SDVV 7KH RXWSXW IURP
SUHSURFHVVRU LV VHQW WR WKH & FRPSLOHU IRU FRPSLODWLRQ ,W VKRXOG EH QRWHG WKDW
SUHSURFHVVRU LV QRW D SDUW RI & ODQJXDJH LWVHOI DQG LV FRQVLGHUHG DV D WUDGLWLRQDO XWLOLW\
3UHSURFHVVLQJ LV D SRZHUIXO WRRO WKDW VKRXOG EH XVHG ZLWK FDUH EHFDXVH LW FDQ UHVXOW LQ
KDUGWRILQGHUURUVEHFDXVHWKHFRGHDIWHUSUHSURFHVVLQJLVQRWYLVLEOHWUDQVSDUHQWWRWKH
XVHU7KHFRGHZKDWWKHXVHUVHHVLVGLIIHUHQWIURPWKHSUHSURFHVVHGFRGHWKDWLVVHQWWR
WKHFRPSLOHUDQGVRORJLFDOO\IRUPVDOD\HUEHWZHHQWKHXVHUDQGWKHDFWXDOFRGHPDNLQJ
LWKDUGWRGHEXJ
1RUPDOO\DVVHPEOHUVKDYHSUHSURFHVVLQJIDFLOLW\DQG&KDVDSUHSURFHVVRUGXHWR
LWVFORVHDVVRFLDWLRQZLWKORZOHYHOSURJUDPPLQJ DQG DVVHPEO\ ODQJXDJH SURJUDPPLQJ
,WV SRZHU LV PRVW RIWHQ XQGHUXWLOL]HG EHFDXVH PDFURSURFHVVRUV DUH PRUH IDPLOLDU WR
DVVHPEO\ODQJXDJHSURJUDPPHUVWKDQWRWKHKLJKOHYHOODQJXDJHSURJUDPPHUV
7KHPDLQUHVSRQVLELOLWLHVRIWKHSUHSURFHVVRUDUH
¾ FRQGLWLRQDOFRPSLODWLRQ
¾ WH[WUHSODFHPHQW
¾ ILOHLQFOXVLRQ
7KHRWKHUIXQFWLRQVLQFOXGH
¾ VWULSSLQJFRPPHQWVIURPVRXUFHFRGH
¾ SURFHVVLQJHVFDSHVHTXHQFHV
¾ SURFHVVLQJRIWULJUDSKVHTXHQFHV
¾ VWULQJL]DWLRQRSHUDWLRQ
¾ WDFNOLQJOLQHFRQWLQXDWLRQFKDUDFWHU
¾ VHSDUDWLRQRIWRNHQVHWF
&RPPHQWV
&RPPHQWV FDQ EH SUHVHQW LQ

DQ\
SDUW RI WKH & FRGH ZKHUH D ZKLWH VSDFH LV
DOORZHG &RPPHQWV DUH VWULSSHG IURP WKH VRXUFH FRGH DQG D ZKLWH VSDFH LV LQVHUWHG LQ
SODFHRIWKHFRPPHQW
[Kernighan and Ritchie 1988] VSHFLILHVWKDWWKHFRPPHQWVFDQQRWEH
QHVWHG7KLVPHDQVFRPPHQWZLWKLQFRPPHQWVDUHQRWDOORZHG
7KHDWWHPSWVWRFRPPHQWRXWDOLQH
ILUVWRQH QHVWHGRQH FRQWLQXLQJILUVWRQH
IDLOVEHFDXVHWKHILUVW HQGVDWWKHILUVW 7KLVOHDYHV
FRQWLQXLQJILUVWRQH
ZKLFKZRXOGJHQHUDWHDV\QWD[HUURU
%XW LW LV D FRQYHQLHQW IRU WKH SURJUDPPHUV WR XVH VXFK FRPPHQWV DQG VRPH
FRPSLOHUV KDYH WKH RSWLRQ WR KDYH QHVWHG FRPPHQWV $Q LQWHUHVWLQJ SUREOHP RQ QHVWHG
FRPPHQWVLVGLVFXVVHGLQ>.2(@7KHSUREOHPLVWRZULWHD&FRGHWKDWZRXOGUXQLQ
WKHFRPSLOHUVWKDWVXSSRUWERWKWKHQHVWHGFRPPHQWVDQGQRUPDOFRPPHQWVDQGILQGRXW
LWLVEHLQJUXQLQVXFKDFRPSLOHUZLWKRXWHUURUPHVVDJHV ,QWHUHVWLQJSUREOHPLQGHHG ,
GLGQ¶W IHHO WKH WRXJKQHVV RI WKH SUREOHP WLOO , WULHG +H JLYHV D KLQW WRR ³D FRPPHQW
V\PERO LQVLGH D TXRWHG VWULQJ LV MXVW SDUW RI WKH VWULQJ D GRXEOH TXRWH LQVLGH D
FRPPHQWLVSDUWRIWKHFRPPHQW´7KHVROXWLRQILQDOO\>.2(@JLYHLVFRPSOH[EXWWKH
ZD\WRDUULYHWKDWVROXWLRQLVLQWHUHVWLQJ7KHVROXWLRQLV

WKLVH[SUHVVLRQLVHTXLYDOHQWWR LIFRPPHQWVQHVW
DQG LIWKH\GRQ¶W
>.2(@FRQWLQXHVZLWKWKHVROXWLRQE\&RXJ0F,OUR\DQDVWRQLVKLQJVROXWLRQ

7KLVWDNHVDGYDQWDJHRIWKHPD[LPDOPXQFKUXOHWKDWLV
GLVFXVVHGRQWKHFKDSWHU³&RPSLOHU'HVLJQLQ&´
([HUFLVH
:ULWHVLPSOH&FRGHWRVWULSWKH&VW\OHFRPPHQWVIURPWKHVRXUFHFRGH
/LQH&RQWLQXDWLRQ&KDUDFWHU
(YHQWRNHQVFDQEHVSOLWWHGDFURVVOLQHVDFFRUGLQJWR$16,&
(J D&RQWLQ?
XRXV7RNHQ
7KLV IDFLOLW\ LV DOVR XVHIXO LQ GHILQLQJ OHQJWK\ GHILQHV EHFDXVH GHILQHV DUH
WHUPLQDWHGZLWKQHZOLQHFKDUDFWHUV
GHILQHHUURU0VJVWUSULQWI³&RPSLOHUHUURUDW/LQH?
G)LOHVV´BB/,1(BBBB),/(BBVWU
7KLVDOORZVWKHPDFURUHSODFHPHQWWH[WWREHW\SHGLQWKHQH[WOLQHDQGE\WKHOLQH
FRQWLQXDWLRQFKDUDFWHULWLVFRQVLGHUHGWREHWKHVDPHOLQH
6WULQJ6XEVWLWXWLRQ
6WULQJ VXEVWLWXWLRQ FDQ VHUYH QXPEHU RI SXUSRVHV ZKHUH LW UHDOO\ VXLWV WR WKH
SXUSRVHDQGRWKHUDOWHUQDWLYHVOLNHIXQFWLRQVFRQVWVDUHQRWVXLWDEOH,W
x VHUYHVWRLPSURYHUHDGDELOLW\
x EHFRPHVHDV\IRUXSGDWLQJDSURJUDP
x FDQEHXVHGLQFRQVWDQWH[SUHVVLRQV
(YHQ WKRXJK RWKHU EHWWHU DOWHUQDWLYHV WR GHFODUH D FRQVWDQW H[LVW OLNH FRQVWV DQG
HQXPVSUHSURFHVVRUVWDWHPHQWVVXFKDV
GHILQH0$;
DUHYHU\FRPPRQDQGDUHQRUPDOO\KDUPOHVVWRXVH
FRQVWLQW0$;
,WLVEHWWHUWRGHFODUHFRQVWDQWYDULDEOHVOLNHWKLVLQVWHDGRIGHILQHVEHFDXVHW\SH
FKHFNLQJFDQEHGRQHE\WKHFRPSLOHUDQGW\SHHUURUVFDQEHFDXJKWHDVLO\
6WLOOEHWWHUYHUVLRQZRXOGEHWRGHFODUHFRQVWDQWVXVLQJDQHQXP
HQXP^0$; `
%XWHQXPVVXLWVEHWWHULQFDVHRIFORVHGVHWRIFRQVWDQWYDOXHVOLNHWKHIROORZLQJRQH
HQXPHUURU7\SH^ZDUQLQJV\QWD[(UURUIDWDO(UURU`
+HQFHWKHUHDUHWKUHHZD\VIRUGHFODULQJFRQVWDQWV
¾ GHILQHV
¾ FRQVWDQWYDULDEOHVDQG
¾ HQXPV
)RUPHVHOHFWLQJWKHZD\WRGHFODUHDFRQVWDQWPRVWO\PDNHVQRPXFKGLIIHUHQFH
DQGLVDPDWWHURIWDVWH
3UHSURFHVVRU&RQVWDQWV
7KHUHDUHVRPHSUHGHILQHGPDFURFRQVWDQWVIRUXVHLQWKHSURJUDPV
BB/,1(BB +DV WKH FXUUHQW OLQH QXPEHU ,I \RX ZDQW WR SULQW WKH LQIRUPDWLRQ RI LQ
ZKLFKOLQHWKHSURJUDPLV\RXFDQXVHWKLV
BB'$7(BB5HSODFHVWKHVWULQJGDWHZKHUHBB'$7(BBDSSHDUVDWWKHSODFHRISUHSURFHVVLQJ
BB7,0(BB5HSODFHVWKHWH[WWLPHZKHUHBB7,0(BB DSSHDUVDQGLVWKHWLPHDWWKDW
SRLQWRISUHSURFHVVLQJ
BB),/(BB'HILQHVWKHILOHQDPHLQZKLFKLWDSSHDUV
BB67'&BB'HILQHGLIWKHFRPSLOHUFRQIRUPVWR$16,,62&VWDQGDUG
LIGHILQHGBB67'&BB
SULQWI \RXUV LV DQ $16,,62 FRPSOLDQW &
FRPSLOHU
IRUHJLQ$16,FRPSOLDQWFRPSLOHUV\RXGHFODUH
IXQFWLRQVZLWKSDUDPHWHUV
LQWGHPR)Q'FOLQWDUJFKDU DUJ
HOLI
SULQWI$ODV \RXU LV QRW DQ $16, FRPSOLDQW &
FRPSLOHU8SJUDGHVRRQ
RQRWKHUFRPSLOHUVVD\. 5\RXFDQGHFODUHIXQFWLRQV
ZLWKRXWSDUDPHWHUV
GHPR)Q'FO
HQGLI
W\SHWKLVDWWKHHQGRI WKHVRXUFHFRGHWKLVLVWR
GHPRQVWUDWHWKHXVHRISUHSURFHVVRUFRQVWDQWV
SULQWI 7KLV ILOH V KDV V OLQHV RI VRXUFH FRGH
BB),/(BBBB/,1(BB
SULQWI ?Q &RPSLOHG RQ V V BB'$7(BB
BB7,0(BB
18//'LUHFWLYH
:KHQ WKH V\PERO LV JLYHQ ZLWKRXW DQ\ WH[W VHUYHV QR SXUSRVH EXW WR LQFUHDVH
UHDGDELOLW\
OLQH
7KHFRPSLOHUNHHSVWUDFNRIWKHOLQHQXPEHUVLQWKHSURJUDPFRGHIRULQGLFDWLQJ
WKHFRPSLOHUHUURUV)RUH[DPSOHLQ\RXUFRPSLOHU\RXPD\JHWDFRPSLOHUHUURUOLNHWKLV
³P\SURJFÓLQHV\QWD[HUURUXQGHILQHGV\PEROµ]¶
7KH SUHSURFHVVRU FRPPDQG OLQH KHOSV WR FKDQJH WKH OLQH QXPEHU DQG WKH ILOHQDPH
GLVSOD\HGLQWKHHUURUPHVVDJHV
OLQHOLQH1XPEHU
IRUFHVWKHBB/,1(BBFRQVWDQWWREHFKDQJHGWROLQH1XPHU
OLQHOLQH1XPEHUILOH1DPH
WKHRSWLRQDOILOH1DPHIRUFHVWKHBB),/(BBFRQVWDQWWREHFKDQJHGWRWKHJLYHQ
YDOXH
OLQHQHZILOHF
SULQWIVWGHUU?Q (UURU LQ V G 8QGHILQHG V\PERO
BB),/(BBBB/,1(BB
2XWSXW(UURULQQHZILOHF8QGHILQHGV\PERO
IRUFHV WKH FRUUHVSRQGLQJ FRQVWDQWV EHLQJ FKDQJHG WR DQ QHZILOHF UHVSHFWLYHO\ ,W
PD\ EH XVHG LQ XWLOLWLHV OLNH V\QWD[ DQDO\VHU RU D FRPSLOHU WR VKRZ WKH HUURU PHVVDJHV
ZLWKPRGLILHGYDOXHV
/HWXVKDYHDQRWKHUH[DPSOH$VVXPHWKDWWKHIROORZLQJFRGHLVJLYHQLQWKH VDPH
ILOH
OLQHIXQ2QH OLQHQXPEHUV
YRLGIXQ2QH
^
LQWL
L M
`
OLQHIXQ7ZR
YRLGIXQ7ZR
^
FKDUVWU>@ ³VRPHWKLQJ
`
+HUHLWSULQWVWKHHUURUPHVVDJHVDV
³IXQ2QHÓLQH V\QWD[HUURU±XQGHILQHGV\PEROµ\¶
³IXQ7ZRÓLQHV\QWD[HUURU±HQGLQJ³PLVVLQJ
7KLVKHOSVGHEXJJLQJEHWWHULQWKHELJJHUSURJUDPV7KHOLQHFRPPDQGIRUFHVWKH
OLQHQXPEHUDQGILOHQDPHPDLQWDLQHGE\WKHFRPSLOHUWREHFKDQJHG
SUDJPD
& DOORZV LWV FRPSLOHUV WR SURYLGH IDFLOLWLHV WKDW DUH FRPSLOHU GHSHQGDQW
LPSOHPHQWDWLRQGHSHQGHQWRUPDFKLQHVSHFLILF7KLVLVE\WKHSUDJPDGLUHFWLYH)RUHJ
7XUER&SURYLGHV
SUDJPDVWDUWXS
WRVSHFLI\WKHVWDUWLQJIXQFWLRQWREHJLQH[HFXWLRQZLWK
+HDGHU)LOHV
+HDGHUILOHVDUHLQFOXGHGE\XVLQJWKHLQFOXGHGLUHFWLYH3XUSRVHRIXVLQJKHDGHU
ILOHVLQFOXGH
¾ 7KHGHILQLWLRQRIGDWDVWUXFWXUHVDQGW\SHV
¾ 7KHGHFODUDWLRQRIIXQFWLRQVZKLFKXVHWKHGDWDVWUXFWXUHV
¾ 7KHGHFODUDWLRQRIH[WHUQDOGDWDREMHFWV
)ROORZLQJWHFKQLTXHLVSRSXODUWRDYRLGUHLQFOXGLQJDQ\KHDGHUILOHVLQPXOWLSOH
ILOHSURJUDPV
WKLVLVP\KHDGHUK
GHILQHB0<+($'(5B
WKHFRQWHQWVJRKHUH
WKLVLVDFWXDOF
LIQGHIB0<+($'(5B
LQFOXGH P\KHDGHUK
HQGLI
+HDGHUILOHVFDQRQO\EHWH[WILOHV,WLVEHWWHUWRLQFOXGHGHFODUDWLRQVRIIXQFWLRQV
DQGRWKHUGDWDVWUXFWXUHVLQ\RXURZQKHDGHUILOHV,WLVEHWWHUWRNHHSFRGLQJSDUWVHSDUDWH
IURPKHDGHUILOH
One point to note about the file-inclusion:
LQFOXGHVRPHILOHQDPH
Here the "somefilename" is not a string literal. So the escape characters are not
considered and similarly any \ inside "somefilename" need not be written as \\.
1HVWLQJRILQFOXGHV
2IWHQDGHFODUDWLRQDSSHDULQJLQDKHDGHUILOHGHSHQGVRQDQRWKHUGHFODUDWLRQLQD
VHFRQGKHDGHUILOH7KDWLVLQRUGHUIRUDGHFODUDWLRQLQDKHDGHUWRFRPSLOHZLWKRXWHUURU
WKH FRPSLOHU PXVW KDYH DOUHDG\ LQFOXGHG DQRWKHU KHDGHU ILOH 7KHUH DUH SULPDULO\ WZR
ZD\VRIVDWLVI\LQJWKLVUHTXLUHPHQWVKDOORZDQGGHHSQHVWLQJRIKHDGHUILOHV
7KHµVKDOORZQHVWLQJ¶DSSURDFKIRUFHVWKHSURJUDPPHUWRH[SOLFLWO\LQFOXGHWKH
UHTXLUHGKHDGHUILOHVZKHUHLWLVXVHG)RUH[DPSOH
FRQWHQWVRIILUVWK
VWUXFWV^`
FRQWHQWVRIVHFRQGK
VWUXFWV^VWUXFWVVRPH6`
QRWHKHUHWKDWWKLVUHTXLUHVWKHILUVWKEHIRUXVLQJWKLV
FRQWHQWVRI P\SURJF
LQFOXGH³ILUVWK´
LQFOXGH³VHFRQGK´
WKLVLQFOXVLRQVHTXHQFHLVDPXVW
VWUXFWVVRPH6
2.1RSUREOHP
$V \RX FDQ VHH WKH LQFOXVLRQ RI WKH ILOH ³VHFRQGK´ UHTXLUHV WKDW ³ILUVWK´ LV
DOUHDG\LQFOXGHG7KLVLVWKHHYLGHQWGLVDGYDQWDJHRIWKLVDSSURDFK
2Q WKH RWKHU KDQG LQ ³GHHS QHVWLQJ´ DSSURDFK DXWRPDWHV PXFK RI WKH ZRUN RI
LQFOXGLQJ E\ DXWRPDWLFDOO\ LQFOXGLQJ ³ILUVWK´ LQ DQ\ ILOH WKDW LQFOXGHV ³VHFRQGK´
/RRNDWWKHFRGH
FRQWHQWVRIILUVWK
VWUXFWV^`
FRQWHQWVRIVHFRQGK
LQFOXGH³ILUVWK´
VWUXFWV^VWUXFWVVRPH6`
7KLVNLQGRIQHVWLQJUHOLHYHVWKHSURJUDPPHUIURPWKHEXUGHQRIPDQXDOLQFOXVLRQ7KLV
DSSURDFK LV SUHIHUDEOH ZKHQ DQ HQWLUH KHDGHU ILOH PXVW EH SURFHVVHG WR HQDEOH WKH
FRPSLODWLRQRIDVHFRQGKHDGHU%XWWKH\KDYHDSUREOHP&RQVLGHUWKHFRGH
FRQWHQWVRIFRPPRQK
VWUXFWV^`
FRQWHQWVRIILUVWK
LQFOXGH³FRPPRQK´
FRQWHQWVRIVHFRQGK
LQFOXGH³FRPPRQK´
FRQWHQWVRI P\SURJF
LQFOXGH³ILUVWK´
LQFOXGH³VHFRQGK´
SUREOHPRIPXOWLSOHGHILQLWLRQDWWKLVSRLQW
6RWKLVPD\OHDGIRUSRVVLEOHUHGHILQLWLRQHUURUVWRRFFXURIFRXUVHWKLVSUREOHPFDQEH
DYRLGHGE\KDYLQJWKHFRQGLWLRQDOFRPSLODWLRQWRDYRLGPXOWLSOHLQFOXVLRQRIILOHV
,W LV QRW DOZD\V SRVVLEOH WR IROORZ WKH VDPH DSSURDFK DQG VR GHSHQGLQJ RQ WKH
VLWXDWLRQ WKH QHVWLQJ DSSURDFK VKRXOG EH FKRVHQ ,Q JHQHUDO WU\ WR XVH IRUZDUG
GHFODUDWLRQVWRDYRLGQHVWLQJRIKHDGHUVEXWLQWKHH[DPSOHGLVFXVVHGWKLVLVQRWSRVVLEOH
&LUFXODULQFOXGHV
$QRWKHU LQWHUHVWLQJ SUREOHP DULVHV ZKHQ \RX WU\ WR LQFOXGH RQH KHDGHU ILOH LQ
DQRWKHUZKHQIRUZDUGGHFODUDWLRQVDUHQRWSRVVLEOH&RQVLGHUWKHFRGH
FRQWHQWVRI ILUVWK
LQFOXGHVHFRQGK
VWUXFWV^
VWUXFWVVRPH6
`
FRQWHQWVRI VHFRQGK
LQFOXGHILUVWK
VWUXFWV^
VWUXFWVVRPH6
`
HUURU³LQFOXGHQHVWLQJOHYHOLVGHHSSRVVLEOHLQILQLWH
UHFXUVLRQ´
,W LV LOOHJDO WR GLUHFWO\ RU LQGLUHFWO\ VHOIFRPSRVH D VWUXFWXUH VR VXFK FLUFXODU
LQFOXGHVDUHQRWSRVVLEOH
3UHFRPSLOHGKHDGHUILOHV
,Q PRVW RI WKH SURJUDPV ORW RI VWDQGDUG KHDGHU ILOHV DQG RWKHU KHDGHU ILOHV DUH
LQFOXGHG 7KH FRPSLOHU SDUVHV WKH FRQWHQWV RI WKH KHDGHU ILOHV DQG WKH LQIRUPDWLRQ LV
LQFOXGHGLQWKHV\PEROWDEOHVRFFXS\LQJVSDFH,QFDVHRISURMHFWVWKDWDUHOLQNHGIURP
YDULRXVILOHVWKHUHLVPXFKFKDQFHWKDWWKHKHDGHUILOHVDUHUHLQFOXGHGDQGWKXVSURFHVVHG
DJDLQ E\ WKH FRPSLOHU DJDLQ UHGRLQJ WKH SURFHVVLQJ DOUHDG\ GRQH 7KXV PRVW RI WKH
FRPSLOHU¶VWLPHLVVSHQWOLNHWKLVFDUHVKRXOGEHWDNHQQRWWRUHLQFOXGHDQ\KHDGHUILOHV
ZHMXVWVDZWHFKQLTXHVIRUDYRLGLQJVXFKUHLQFOXVLRQRIKHDGHUILOHV
6RPHFRPSLOHUVIRULQVWDQFH%RUODQGFRPSLOHUVSURYLGHDQRSWLRQIRUKDQGOLQJ
WKLV SUREOHP LQ D GLIIHUHQW ZD\ DXWRPDWLFDOO\ LV WKURXJK SURFRPSLOHG KHDGHU ILOHV
6\PEROWDEOHVFRUUHVSRQGLQJWRWKHSDUVHRIKHDGHUILOHVZKHQWKH\DUHFRPSLOHGIRUWKH
ILUVW WLPH DUH HQWHUHG DQG VWRUHG LQWR WKH GLVN DV ILOHV SRVVLEO\ ZLWK 6<0 H[WHQVLRQ
7KH QH[W WLPH WKH KHDGHU ILOH LV LQFOXGHG E\ DQ\ RWKHU ILOHV WKH LQIRUPDWLRQ IURP WKH
FRUUHVSRQGLQJILOHDOUHDG\VWRUHGLVORDGHGDQGXVHG7KLVJUHDWO\LPSURYHVWKHVSHHGRI
WKHFRPSLODWLRQRIWKHUHLQFOXGHGKHDGHUILOHV8VLQJWKLVFRPSLOHUIDFLOLW\ZLOOQRWDIIHFW
SRUWDELOLW\ LQ DQ\ ZD\ 6HH \RXU FRPSLOHU GRFXPHQWDWLRQ IRU PRUH LQIRUPDWLRQ DERXW
SUHFRPSLOHGKHDGHUILOHV
0DFUR3URFHVVLQJ
IRR
UHWXUQ
GHILQHIRRUHWXUQ
LQWPDLQ
IRRWKLVLVUHSODFHGE\UHWXUQ
IRRWKLVFDOOVWKHIRRIXQFWLRQ
3UHSURFHVVRUGRHVQRWKDYHDVHSDUDWHQDPHVSDFH,WMXVWRSHUDWHVRQFRGHEHIRUH
FRPSLOHURSHUDWHVRQLW6RWKHSUHSURFHVVRUWRNHQVDQGWKHSURJUDPWH[WVKDUHWKHVDPH
QDPHVSDFHDQGWKHDERYHH[DPSOHSRLQWVRXWWKHSUREOHPGXHWRWKLVIDFW7KLVLVRQHRI
WKHUHDVRQVZK\XVLQJSUHSURFHVVRUPD\OHDGWRKDUGWRILQGHUURUV
$ PDFUR WDEOH LV FRQVWUXFWHG LQWHUQDOO\ IRU SURFHVVLQJ PDFURV 7KH PDFUR
UHSODFHPHQW WH[W LV VWRUHG ZLWKRXW H[SDQGLQJ LW ZLWK DUJXPHQWV WKH HIIHFW LV WKDW DQ\
HUURUVLQPDFURH[SDQVLRQVDUHUHSRUWHGRQO\LIPDFURVDUHFDOOHGLQWKHVRXUFHWH[W
,WLVYDOLGWRLIFKHFNZLWKRUZLWKRXWPDFURDUJXPHQWV
LIGHILQHGJHWFKDU
LIGHILQHGJHWFKDUFK
DUHHTXLYDOHQW
0DFURVZLWKLQPDFURVDUHDOORZHGDQGDUHH[SDQGHGDFFRUGLQJO\
GHILQHPDFURVWU PDFURVWU
GHILQHPDFURVWU SXWVVWU
LVRQHVXFKH[DPSOHRIPDFURZLWKLQDPDFUR
%HZDUHWKDWZHFDQUHGHILQHWKHSUHSURFHVVRULGHQWLILHUV)RUH[DPSOH
GHILQHVRPHWKLQJILUVW
LQWPDLQ^
GHILQHVRPHWKLQJVHFRQG
SXWVVRPHWKLQJ
`
,W SULQWV
VHFRQG
+RZHYHU LW VKRXOG EH QRWHG WKDW WKH SUHSURFHVVRU LV D QDLYH
WRRO6RVFRSHUXOHVGRQ¶WDSSO\WRLW
&RQGLWLRQDO&RPSLODWLRQ
7KH XVH RI SUHSURFHVVRU LV QRW RQO\ OLPLWHG WR LQFOXGLQJ ILOHV DQG PDFURV
+RZHYHUWKHLQHYLWDEOHXVHRISUHSURFHVVRULVFRQGLWLRQDOFRPSLODWLRQ
&RQGLWLRQDOFRPSLODWLRQLVXVHIXOPDNLQJWKHFRGHSRUWDEOH)RUH[DPSOH
LIGHILQHGBB67'&BB
SULQWI7KLVLVFRPSOLHGE\DQ$16,&FRPSLOHU
HOVH
SULQWI7KLV LV QRW FRPSLOHG E\ DQ $16, &
FRPSOLHU
HQGLI
7KLVDOVRKHOSVLQHOLPLQDWLQJWKHUHGXQGDQWGHFODUDWLYHFRGH:KDWZLOOKDSSHQLI
DKHDGHUILOHLVLQFOXGHGLQWKHSURJUDPOLNHWKLV":LOOWKHFRGHEHLQFOXGHGWZLFH"
LQFOXGHVWGLRK!
LQFOXGHVWGLRK!
1R,W ZLOOLQFOXGHWKHUHTXLUHGLQIRUPDWLRQRQO\RQFHVLQFHFRQGLWLRQDOLQFOXVLRQ
LVPDGH
7KHKHDGHUILOHVQRUPDOO\KDYHDJXDUGOLNHWKLV
LQVLGHVWGLRK!
LIGHILQHGBB67',2B+
WKLVLVKRZFRQWHQWVRIVWGLRK!PD\VWDUWZLWK
GHILQHBB67',2B+
FRGHIRUVWGLRK!JRHVKHUH

HQGLI
FRGHIRUVWGLRK!HQGVKHUH
:KHQWKHLQFOXGHVWGLRK!LVHQFRXQWHUHGIRUWKHILUVWWLPHWKHPDFURFRQVWDQW
BB67',2B+ JHWV GHILQHG )RU WKH VHFRQG WLPH WKH SUHSURFHVVRU HQFRXQWHUV
LQFOXGHVWGLRK!VLQFHBB67',2B+LVDOUHDG\GHILQHGQRFRGHLQVWGLRK!LVLQFOXGHG
DJDLQ7KHVDPHLGHDFDQEH XVHG IRU WKH KHDGHU ILOHV ZULWWHQ E\ WKH XVHUV IRU JXDUGLQJ
DJDLQVWUHLQFOXGLQJWKHP
&RQGLWLRQDO FRPSLODWLRQ UHPRYHV SDUWV RI VRXUFH FRGH ORJLFDOO\ &RQGLWLRQDO
FRPSLODWLRQ FDQ EH XVHG LQ SODFHV ZKHUH ZH ZDQW WR KDYH GHSHQGHQW LQIRUPDWLRQ WR EH
LQFOXGHG
7KH IROORZLQJ H[DPSOH GHPRQVWUDWHV KRZ WKH FRGH FDQ EH XVHG DW WKH
GHYHORSPHQWSKDVHWRLQFOXGHGHEXJJLQJLQIRUPDWLRQ
VDPSOHSURJUDPWRGHPRQVWUDWHWKHXVHRIFRQGLWLRQDOFRPSLODWLRQ
SXWGHILQH7(67KHUHWRPDNHLWDWHVWLQJSURJUDP
LIGHILQHG7(67
WHVW3ULQWVWUVWUSULQWIVWUVWU
HOVH
WHVW3ULQWVWUVWU
HQGLI

LIGHILQHG7(67
LQWPDLQ^

HQGLI
&RQVWDQW H[SUHVVLRQV XVHG LQ SUHSURFHVVRU GLUHFWLYHV DUH NQRZQ DV PDFUR
H[SUHVVLRQV DQG DUH VXEMHFW WR DGGLWLRQDO UHVWULFWLRQV NQRZQ DV ³UHVWULFWHG FRQVWDQW
H[SUHVVLRQV´WKDQRUGLQDU\FRQVWDQWH[SUHVVLRQV$UHVWULFWHGFRQVWDQWH[SUHVVLRQFDQQRW
FRQWDLQVL]HRIH[SUHVVLRQVHQXPHUDWLRQFRQVWDQWVW\SHFDVWVWRDQ\W\SHRUIORDWLQJW\SH
FRQVWDQWV
VL]HRI RSHUDWRU FDQQRW EH XVHG LQ PDFUR H[SUHVVLRQV EHFDXVH WKH SUHSURFHVVRU LV D
QDwYHRQHDQGLWFDQQRWUHFRJQL]HSDUVHW\SHQDPHV,QDGGLWLRQWRWKDWVL]HRILVDFRPSLOH
WLPH RSHUDWRU DQG VRSKLVWLFDWLRQ RQH VXFK WKDW LV DYDLODEOH LQ WKH VHPDQWLF DQDO\]HU LV
QHHGHG WR ILQG RXW WKH VL]H RI WKH W\SH RU WKH VL]H UHTXLUHG IRU VWRULQJ WKH UHVXOW RI WKH
H[SUHVVLRQ
6RPDFURH[SUHVVLRQVDUHQRWRUGLQDU\H[SUHVVLRQV$OZD\VEHFDXWLRXVZKLOHXVLQJ
PDFURH[SUHVVLRQVWRDYRLGµVXUSULVHV¶/RRNDWWKHIROORZLQJH[DPSOH
XQGHI620(7+,1*
LI620(7+,1*
SULQWI³7KLVLVZKDW,H[SHFWHGWRR´
HOVH
SULQWI³7KDW¶V&´
HQGLI
LWDOZD\VSULQWV³7KDW¶V&´
&RQYHQWLRQDOO\ DOO WKH YDULDEOHV RFFXUULQJ LQ WKH SUHSURFHVVRU H[SUHVVLRQV DUH
H[SHFWHG WR EH SUHGHILQHG 7KH & SUHSURFHVVRU DVVXPHV DOO WKH XQGHILQHG SUHSURFHVVRU
FRQVWDQWVDVHTXDOWRVLJQLI\LQJWKDWLWLVXQGHILQHG
/HWXVORRNDWDQRWKHUH[DPSOH
,Q SUDFWLFDO SURJUDPPLQJ IRUJHWWLQJ WR LQFOXGH KHDGHU ILOHV PD\ UHVXOW LQ VXEWOH
HUURUV )RU HJ LI \RX IRUJHW WR LQFOXGH OLPLWVK! WKHQ WKH IROORZLQJ FRQGLWLRQ EHFRPHV
DOZD\VIDOVHDQGWKXVQHYHUH[HFXWHG
LI,17B0$;!
WKLVZLOOQHYHUEHHQFRXQWHUHGLIOLPLWVK!LVQRWLQFOXGHG
VLQFH,17B0$;LVDVVXPHGWRKDYHYDOXH
HQGLI
7KHµDVVHUW¶PDFURGHILQHGLQDVVHUWK!LVDILQHH[DPSOHRIKRZ \RXFDQXVH
PDFURV HIILFLHQWO\ DVVHUW PDFUR LV GLVFXVVHG HODERWUDWHO\ LQ WKH FKDSWHU µRSHUDWRUV
H[SUHVVLRQVDQGFRQWUROIORZ¶
:KLOH WHVWLQJ WKH SURJUDPV ZKHUH FRQGLWLRQDO FRPSLODWLRQ LV GRQH DOO WKH
DOWHUQDWLYHSDWKVLQWKHFRGHKDVWREHWHVWHG
GHILQHG2SHUDWRU
GHILQHGLVDVSHFLDORSHUDWRULQSUHSURFHVVRUZKLFKFDQEHXVHGDIWHULIRUHOLI
LIGHI0<'() LV HTXLYDOHQW WR LI GHILQHG0<'() 7KH GHILQHG
RSHUDWRUUHWXUQVHLWKHURUEDVHGRQLIWKHLGHQWLILHULVGHILQHGRUQRW
:LWKGHILQHGRSHUDWRU\RXFDQFKHFNOLNHWKLV
LIGHILQHG9$5 GHILQHG&2167$17

ZKLFKPDNHVFRGHFULVSDQGWRWKHSRLQWDQGWKHDERYHFRGHFDQQRWEHJLYHQLQD
VLQJOHLIGHIVWDWHPHQWDQGZLOOUHTXLUHPXOWLSOHLIGHIVWRDFKLHYHWKHVDPHUHVXOW
0DFURV9V)XQFWLRQV
7KHPDLQGLIIHUHQFHVEHWZHHQWKHPDFURVDQGIXQFWLRQVFLUFOHDURXQGWKHIROORZLQJ
IRXUSRLQWV
¾ 7\SHFKHFNLQJ
¾ 6SHHGYHUVXVVL]H
¾ )XQFWLRQHYDOXDWLRQDIXQFWLRQHYDOXDWHVWRDQDGGUHVVDPDFURGRHVQRW
¾ 0DFURVLGHHIIHFWV
0DFURH[SDQVLRQLVQRWMXVWWH[WUHSODFHPHQWZLWKDUJXPHQWVLWLV&
VYHUVLRQRI
SDVVE\QDPHIXQFWLRQV6LQFHWKHSUHSURFHVVRUGRHVLWPDFURVGRQRWNQRZW\SHVDQGVR
LQGLUHFWO\JLYHV
W\SHLQGHSHQGHQWIXQFWLRQV
7KLVLVDIDFLOLW\WREHXVHGFDXWLRXVO\
0DFURV DOVR PLPLFV

LQOLQH IXQFWLRQV
ZKLFK LV FRPSLOHWLPH RSHUDWLRQ DQG DOVR
HQDEOHV FULVS FRGH DQG IDVWHU RSHUDWLRQ VLQFH WKHUH LV QR RYHUORDG RI FUHDWLQJ DQG
GHVWUR\LQJVWDFNIUDPHVLHQRRYHUKHDGRIIXQFWLRQFDOOVLVLQYROYHG7KLVSHUIRUPDQFH
JDLQZDVYDOXDEOHDWWKHWLPHZKHQ&ZDVGHVLJQHGDQGWKHPDFKLQHVZHUHVORZ+HDY\
XVH RI PDFURV LQ VWDQGDUG KHDGHU ILOHV GHPRQVWUDWHV WKLV IDFW %XW WKLV QRWLRQ LV ORVLQJ
JURXQGWRGD\EHFDXVHPRGHUQPDFKLQHVDUHFRQVLGHUDEO\HIILFLHQWDQGIDVWDQGWKHH[WUD
RYHUKHDGRIFDOOLQJIXQFWLRQLVPLQLPDOFRPSDUHGWRWKHGLVDGYDQWDJHVRIXVLQJPDFURV
&RQVLGHUDYHU\VLPSOHH[DPSOHRIZULWLQJDPDFURIRUVZDSSLQJWZRYDOXHV
GHILQHVZDS[\^LQWWHPS [[ \\ WHPS`

LWZRUNVIRUFDOOVOLNH
LQWD
LQWE
VZDSDE
EXWZKDWDERXWWKLV
LQWM
LQWD>@ ^`
VZDSMD>M@
SULQWI³M GD>M@ G´MD>M@
LWSULQWV³M D>M@ ´
+RZHYHU WKHUH LV D VXEWOH EXJ LQ WKH SURJUDP ,W VHHPV WR ZRUN FRUUHFWO\ EXW
P\VWHULRXVO\ WKH DUUD\ QRZ FRQWDLQV WKH YDOXHV ^` :KDW KDSSHQHG LQ PDFUR
UHSODFHPHQW"
7KHPDFURUHSODFHPHQWWH[WLV
^LQWWHPS MM D>M@D>M@ WHPS`
MLVDVVLJQHGZLWKWKHH[SHFWHGYDOXH7KHSUREOHPLVZLWKWKHVWDWHPHQWD>M@ WHPS+HUH
ZKDWKDSSHQVLVWKHYDOXHRIMLVPRGLILHGWRGXHWRWKHDVVLJQPHQWM D>M@1RZWKLV
QHZYDOXHRIMLVXVHGWRDFFHVVWKHYDOXHD>M@LHD>@ZKLFKLVDVVLJQHGWRWKHYDOXHWKH
YDOXH WHPS ZKLFK LV ,Q RWKHU ZRUGV WKH DVVLJQPHQW D>@ WHPS KDV WDNHQ SODFH
OHDGLQJWKHP\VWHULRXVFKDQJHLQWKHRXWSXW\RXSULQWYDOXHVRIWKHPRGLILHGMVRRXWSXW
VHHPVWKDWLWLVDVH[SHFWHG
7KLV LV D IUHTXHQWO\ HQFRXQWHUHG SUREOHP ZLWK PDFURV ,W FDQQRW EH JHQHUDOL]HG
DQGVRPHWLPHVIRUXQH[SHFWHGLQSXWVWKHPDFURVIDLO
7KHQ \RX PD\ DVN PH WR JLYH WKH FRUUHFW PDFUR )RU \RXU VXUSULVH JHQHUDOL]HG
PDFURIRUVZDSSLQJWZRYDOXHVFDQQRWEHZULWWHQ
6LPLODUO\ WKH XELTXLWRXV IDFWRULDO H[DPSOH XVHG WR VKRZ WKH XVH RI UHFXUVLRQ
FDQQRWEHZULWWHQXVLQJPDFURVEHFDXVHLWLVWH[WXDOUHSODFHPHQW
GHILQHIDFWQ Q!"Q IDFWQQ
GRHVQRWZRUNFRUUHFWO\DQG\RXFDQYHULI\WKDW
)XQFWLRQ(TXLYDOHQWIRU0DFURVLQ6WDQGDUG/LEUDU\
6LQFH PDQ\ RI OLEUDU\

IXQFWLRQV
LQ KHDGHU ILOHV DUH PDFURV LV LW WUXH WKDW \RX
FDQQRWWDNHDGGUHVVRIWKRVHOLEUDU\IXQFWLRQV"
)RUH[DPSOH
FKDU IS
IS JHWFKDU
ZLOOWKLVUHVXOWLQDQHUURU"
1R $16, & VWDQGDUG JXDUDQWHHV WKDW WKHUH LV DQ µDFWXDO IXQFWLRQ¶ IRU HDFK
VWDQGDUG OLEUDU\ IXQFWLRQ 6R WKHUH H[LVWV ERWK PDFUR DQG IXQFWLRQ IRU FHUWDLQ µOLEUDU\
IXQFWLRQV¶
:KHQDKHDGHUILOHGHFODUHVERWKDIXQFWLRQDQGDPDFURYHUVLRQRIDURXWLQHWKH
PDFUR GHILQLWLRQ WDNHV SUHFHGHQFH EHFDXVH LW DOZD\V DSSHDUV DIWHU WKH IXQFWLRQ
GHFODUDWLRQ :KHQ \RX LQYRNH D URXWLQH WKDW LV LPSOHPHQWHG DV ERWK D IXQFWLRQ DQG D
PDFUR\RXFDQIRUFHWKHFRPSLOHUWRXVHWKHIXQFWLRQYHUVLRQLQWZRZD\V
x (QFORVHWKHµIXQFWLRQ¶QDPHLQSDUHQWKHVHV
D WRXSSHUD
XVHPDFURYHUVLRQRIWRXSSHU
D WRXSSHUD
IRUFHFRPSLOHUWRXVHIXQFWLRQYHUVLRQRIWRXSSHU
x ³8QGHILQH´WKHPDFURGHILQLWLRQZLWKWKHXQGHIGLUHFWLYH
LQFOXGHFW\SHK!
XQGHIWRXSSHU
)RUFRPSDULVRQOHWVVHHKRZDVVHUWµPDFUR¶ FDQEHLPSOHPHQWHGXVLQJIXQFWLRQV
YRLGDVVHUW)XQLQWFRQGFKDUFRQVW FRQG([SUFKDUFRQVW
ILOH1DPHLQWOLQH1R
LIFRQG
SULQWI$VVHUWLRQIDLOHGVILOHVOLQHG?Q
FRQG([SUILOH1DPHOLQH1R
DERUW
LIGHI1'(%8*
GHILQHDVVHUWFRQGYRLG
HOVH
GHILQHDVVHUWFRQG?DVVHUW)XQFRQGFRQG
BB),/(BBBB/,1(BB
HQGLI
6RWKHDYDLODELOLW\RIERWKWKHPDFURDQGIXQFWLRQHTXLYDOHQWPDNHVVXUHWKDWWKH
DGGUHVVRIWKDWµIXQFWLRQ¶FDQEHWDNHQDQGSDVVHGDVIXQFWLRQSRLQWHUWRRWKHUIXQFWLRQV
67$1'$5'+($'(5),/(6$1',2
7KLVFKDSWHU JLYHV DTXLFNORRNDWZKDWWKHVWDQGDUG KHDGHU ILOHV LQ DOSKDEHWLFDO
RUGHUWRVKRZZKDWWKH\FDQRIIHUVWGLRK!LVGLVFXVVHGLQGHWDLOLQWKLVFKDSWHUEHFDXVH
PDQ\RIWKHIXQFWLRQDOLW\IRUVWDQGDUG,2DUHDYDLODEOHLQWKLVVWDQGHUGKHDGHUDQGVRLV
LPSRUWDQW
6WDQGDUG+HDGHU)LOHV
7KHUH DUH PDQ\ KHDGHU ILOHV VXSSRUWHG E\ \RXU FRPSLOHU )RU H[DPSOH
JUDSKLFVK! FRQLRK! DUH VXSSRUWHG LQ %RUODQG 7XUER & FRPSLOHUV ZKLFK DUH QRQ
VWDQGDUG DQG DUH SODWIRUP VSHFLILF IRU JUDSKLFDO DQG FRQVROH LQSXWRXWSXW IXQFWLRQV
UHVSHFWLYHO\ $16, & JLYHV D VHW RI VWDQGDUG KHDGHU ILOHV WKDW KDYH WR EH VXSSRUWHG E\
HYHU\$16,FRQIRUPLQJFRPSLOHUVDQGXVLQJWKHIXQFWLRQVLVKLJKO\UHFRPPHQGHGDQGLV
DVVXUHGWREHSRUWDEOH
7KLVFKDSWHUGHDOVZLWKWKHGHWDLOVDVVRFLDWHGZLWKWKHVHVWDQGDUGKHDGHUILOHV
7KH KHDGHU ILOHV PD\ FRQWDLQ IXQFWLRQV DQG IXQFWLRQ OLNH PDFURV 7KH ZRUG
µIXQFWLRQ¶LQWKLVFKDSWHUPD\UHIHUWRERWKIXQFWLRQVDQGPDFURVGHILQHGLQLW
1DPLQJ&RQYHQWLRQ
7KHQDPHVLQVWDQGDUGKHDGHUILOHVIROORZQDPLQJFRQYHQWLRQDVIROORZV
FW\SH DOOQDPHVVWDUWZLWKLVWR
HUUQR DOOQDPHVVWDUWZLWK(
ORFDOH DOOQDPHVVWDUWZLWK/&B
VLJQDO DOOQDPHVVWDUWZLWKVDB6,*6$B
VWULQJ DOOQDPHVVWDUWZLWKVWUPHPZFV
IORDW DOOQDPHVVWDUWZLWK)/7B'%/B
OLPLWV DOOQDPHVHQGZLWKB0$;B0$;
,W PD\ OHDG WR P\VWLI\LQJ EXJV LI \RX XVH DQ\ IXQFWLRQ RU YDULDEOH QDPH WKDW LV
VDPH DV WKH UXQWLPH IXQFWLRQ LGHQWLILHUV $OVR DYRLG XVLQJ YDULDEOHV VWDUWLQJ ZLWK B
XQGHUVFRUHVLQFHFRPSLOHUPD\XVHWKHPLQWHUQDOO\
/LEUDU\)XQFWLRQ1DPHV 9DULDEOHV
7KH OLEUDU\ IXQFWLRQ QDPHV VKDUH WKH VDPH QDPHVSDFH RI WKH RUGLQDU\ YDULDEOHV
GHFODUHGDQGIRUJHWWLQJWKLVPD\OHDGWRVXEWOHHUURUV
LISRZ
SULQWI³DOZD\VJHWSULQWHG´
DOZD\VHYDOXDWHVWRWUXH7KHSURJUDPPHULQWHQGHGWRXVHWKHYDULDEOHQDPHSRZ
DQGVLQFHSRZLVWKHQDPHRIDOLEUDU\IXQFWLRQDQGµLI¶FRQGLWLRQFKHFNVIRULWVDGGUHVV
WKDW LV DOZD\V D QRQ]HUR YDOXH ,Q SDUWLFXODU OLEUDU\ IXQFWLRQ QDPHV VKRXOG QRW EH
RYHUODSSHGZLWKXVHUGHILQHGIXQFWLRQQDPHV
(UURUKDQGOLQJLQ/LEUDU\)XQFWLRQV
&RQVLGHUWKHIROORZLQJFRGH
LQW S LQW PDOORFVL]HRILQW
LIS
,W EHFRPHV HVVHQWLDO WR FKHFN LI WKH PHPRU\ DOORFDWLRQ KDV VXFFHHGHG RU QRW
PDOORF UHWXUQV LI LW FDQQRW DOORFDWH PHPRU\ WR LQGLFDWH HUURU 7KLV W\SH RI HUURU
LQGLFDWLRQLVEHWWHUWKDQWRJLYHUXQWLPHHUURUDQGWKHQWHUPLQDWHWKHSURJUDPDEQRUPDOO\
(UURULQGLFDWLRQLVSDUWRIWKHUHWXUQYDOXHVLQOLEUDU\IXQFWLRQVDQGLWLVFXVWRPDU\WRXVH
QRQ]HURYDOXHVIRUVXFFHVVDQGIRUIDLOXUHDVLQWKHSUHYLRXVFDVH,WLVDOVRWKHGXW\
RIWKHSURJUDPPHUVWRFKHFNRUWRIRUJHWRYHUORRNIRUWKHSRVVLEOHHUURUWKDWPD\KDYH
RFFXUUHG
5HWXUQLQJQRQ]HURWRLQGLFDWHVXFFHVVLQLVWUXHRQO\IRU&OLEUDU\IXQFWLRQV)RU
81,;LWLVWKHRWKHUZD\7KHUHLQGLFDWHVVXFFHVVDVLQH[LWIRUVXFFHVVIXOQRUPDO
H[LW 7KLVLV EHFDXVHWKHUHWXUQYDOXHLVQRWIRUWKHXVHLQWKHSURJUDP5DWKHULWLVIRU
XVHE\WKH26SRVVLEO\81,;VRLVRQHVXFKH[FHSWLRQ$QRWKHUH[DPSOHVIRULQGLFDWLQJ
HUURUVE\UHWXUQYDOXHVLVJHWFKDUJHWFHWFWKDWPD\UHWXUQ(2)
JHWFUHWXUQV(2)ZKHQVRPHHUURURFFXUVZKLOHUHDGLQJRULILWFDQQRWUHDGIURP
WKHVSHFLILHGILOH,IHQGRIILOHLVUHDFKHGLQWKHILOHLWLVUHDGLQJDOVRLWUHWXUQV(2),WLV
OHIWWRWKHSURJUDPPHUIRUILQGLQJWKHFDXVHRIUHWXUQRI(2))RUH[DPSOH
LQWFK JHWFVRPH6WUHDP
QRWHWKHW\SHRIFKLVLQWQRWFKDU
LIFK (2)
ILQGRXWLILWLVGXHWRHUURURUGXHWRDFWXDO(2)ILOHUHDFKHG
^
LIIHUURUVRPH6WUHDP
ISULQWIVWGHUU(UURUUHDGLQJWKHVWUHDP
FOHDUUHUUVRPH6WUHDP
FOHDUWKHHUURUVHWWKHILOHSRLQWHUWRUHDGDJDLQ
HOVH
ISULQWIVWGRXW(QGRIILOHUHDFKHG
,QGLFDWLQJHUURUVE\UHWXUQYDOXHVSRVHVQRSUREOHPDVIDUDVWKHYDOXHVIRUHUURU
DQGWKHYDOLGYDOXHVWKDWVKRXOGEHUHWXUQHGE\WKHIXQFWLRQGRHVQ¶WRYHUODS
,QWKHH[DPSOHRIPDOORFZHVDZLWLVHDV\WRGLIIHUHQWLDWHQRRYHUODSEHWZHHQ
WKHHUURUYDOXHLHDQGYDOLGUHWXUQYDOXHEHFDXVHLVQRWDYDOLGSRLQWHUYDOXH%XW
FRQVLGHUWKHIROORZLQJH[DPSOH
FKDU VWU ³´
LQWL DWRLVWU
DWRLUHWXUQVLILWFDQQRWFRQYHUWWKHVWULQJDUJXPHQWWRLQWHJHU
LIL
SULQWI³(UURUVWUFDQQRWEHFRQYHUWHGWRLQW´
&DQ\RXVSRWRXWWKHSUREOHP"DWRLFRQYHUWVWKHVWULQJYDOXH³´VXFFHVVIXOO\WR
LQWHJHUYDOXHDQGUHWXUQVWKHVDPH7KHFKHFNLQJFRQGLWLRQFKHFNVIRUDQGPLVWDNHVLW
WR EH DQ HUURU LQ FRQYHUVLRQ DQG LVVXHV DQ HUURU ,Q WKLV FDVH RYHUODSSLQJ RI WKH YDOLG
UHWXUQYDOXHVDQGWKHHUURUFRQGLWLRQLVWKHUHUHVXOWLQJLQVXEWOHEXJHUURU$QRWKHUVXFK
H[DPSOHLVJHWFKDUZKLFKPD\UHWXUQ(2)
,I\RXZHUHWRGHVLJQWKHLQWHUIDFHIRUVXFKIXQFWLRQVDQDOWHUQDWLYHDSSURDFKFDQ
EHXVHG
LQWP\$WRLLQW L9DOFKDU VWU
VHSDUDWLQJ WKH UHWXUQ YDOXH ZKLFK FDQ HLWKHU UHWXUQ WUXHIDOVH DQG WKH YDOXH WKDW LV
UHTXLUHGDVUHVXOWLVSDVVHGE\UHIHUHQFH
7KHSUHYLRXVH[DPSOHKDVWREHWKHQPRGLILHGDV
FKDU VWU ³´
LQWL
LQWIODJ P\$WRL LVWU
LIIODJ
SULQWI³(UURUVWUFDQQRWEHFRQYHUWHGWRLQW´
WKLVPHDQVH[WUDHIIRUWWRSURJUDPPHUEXWZRUNVIRUPRVWRIWKHFDVHV
6LPLODUO\IRUJHWFKDUWKHPRGLILHGIRUPLV
LIP\*HW&KDU FK
QRSUREOHP
HOVH
VRPHSUREOHPLQJHWWLQJWKHLQSXWIURPVWGLQ
XVHIHUURUVWGLQWRWUDFHWKHHUURURXW
2Q WKH RWKHU KDQG WKH FRQYHQLHQFH RI XVLQJ ROG VKRUWFXWV OLNH SULQWI³G´
DWRLVWULVORVW0RVWO\DQRYHUKHDGRIH[WUDDUJXPHQWVLVWKHUH

7KHPHWKRGRIFRPELQLQJWKHUHWXUQYDOXHVDQGHUURUFRGHVVWHPIURP&WUDGLWLRQ
IRUHIILFLHQWDQGFRPSDFWFRGH
DVVHUWK!
7KLVKHDGHUILOHFRQWDLQVWKHDVVHUWPDFURWKDWLVIRUPLQLPDOVXSSRUWDYDLODEOHLQ
&ODQJXDJHIRUGHEXJJLQJSXUSRVH(QRXJKKDVEHHQGLVFXVVHGDOUHDG\DERXWLWVXVHDQG
LPSOHPHQWDWLRQV(DFKRIWKHLPSOHPHQWDWLRQRIDVVHUWPDFURKDYHKHLURZQPHULWVDQG
GHPHULWV)LQDOO\OHWVVHHWKHIROORZLQJLPSOHPHQWDWLRQRIDVVHUWDVIXQFWLRQ
LIQGHI1'(%8*
YRLGBBDVVHUW)XQBBFRQVWFKDU FRQGFRQVWFKDU
ILOH1DPHLQWOLQH1R
WKLVLVWKHSURWRW\SH
GHILQHDVVHUWFRQGILOH1DPHOLQH1R ?
LIFRQG ?
^` ?
HOVH ?
BBDVVHUW)XQBBFRQGILOH1DPHOLQH1R ?
HOVH
GHILQHDVVHUWFRQGILOH1DPHOLQH1R
HQGLI
7KHIXQFWLRQGHILQLWLRQVKRXOGQRWEHLQFOXGHGWZLFHDQGVRVKRXOGQRW
EHSDUWRIWKHKHDGHUILOH3XWWKHIROORZLQJIXQFWLRQGHILQLWLRQ
LQVRPHRWKHUFRQYHQLHQWVRXUFHILOH
LIQGHI1'(%8*
YRLGBBDVVHUW)XQBBFRQVWFKDU FRQGFRQVWFKDU
ILOH1DPHLQWOLQH1R
IIOXVK18//
OLQHG?QFRQGILOH1DPHOLQH1R
IIOXVKVWGHUU
DERUW
HQGLI
2QH SRLQW WR QRWH ZKLOH XVLQJ WKH DVVHUW VWDWHPHQWV LV WKDW WKHUH VKRXOGQ¶W EH DQ\ VLGH
HIIHFWVLQYROYHGLQDVVHUWH[SUHVVLRQV)RUH[DPSOHFDQ\RXVHHZKDWPD\JRZURQJZLWK
WKLVVWDWHPHQW"
DVVHUWYDO
,Q WKLV FDVH WKH DVVHUW H[SUHVVLRQ LQYROYHV VLGHHIIHFWV 6R WKH EHKDYLRU RI WKH FRGH
EHFRPHV GLIIHUHQW LQ FDVH RI GHEXJ YHUVLRQ DQG WKH UHOHDVH YHUVLRQ WKXV OHDGLQJ WR D
VXEWOHEXJ'RQ¶WXVHDVVHUWH[SUHVVLRQVWKDWKDYHVLGHHIIHFWV
µDVVHUW¶VKRXOGQRWEHXVHGIRUHUURUH[FHSWLRQKDQGOLQJ,WVKRXOGRQO\EHXVHGIRU
GHEXJJLQJDQGILQGLQJRXWEXJV&RQVLGHUWKHIROORZLQJH[DPSOH
LQW IRR^
LQW V LQW PDOORFVL]HRILQW
DVVHUWV 18//
UHWXUQV
7KLVLVZURQJ%HFDXVHµDVVHUW¶ZRXOGEHGLVDEOHGZKHQFRGHLVUHOHDVHGDQGVR
WKHUHLVQRZD\WRKDQGOHWKHG\QDPLFPHPRU\DOORFDWLRQIDLOXUHDWUXQWLPH6RDSODLQLI
VWDWHPHQW FKHFNLQJ WKH FRQGLWLRQ DQG WKH FRUUHVSRQGLQJ UHPHG\ VWDWHPHQW KDV WR EH
JLYHQ
FW\SHK!
7KLV KHDGHU ILOH FRQWDLQV IXQFWLRQVPDFURV IRU WKDW DUH XVHG IRU WHVWLQJ WKH
FKDUDFWHUV 7KH IXQFWLRQV DYDLODEOH LV KLJKO\ UHFRPPHQGHG WR EH XVHG LQVWHDG RI
H[SOLFLWO\FKHFNLQJWKHYDOXHVRIWKHFKDUDFWHUVWKDWDUHSDUWLFXODUWRDFKDUDFWHUVHWVD\
$6&,,RU(%&',&DQGKHQFHXVDJHRIWKHVHIXQFWLRQVLVKLJKO\SRUWDEOH
HUUQRK!
7KH H[FHSWLRQV ZH VDZ LQ WKH IRUP RI VLJQDOV DUH DXWRPDWLF ,I DQ H[FHSWLRQ
RFFXUVWKHQWKHFRUUHVSRQGLQJKDQGOHUZLOOEHFDOOHG$QRWKHUDSSURDFKE\&LVE\OHWWLQJ
WKHXVHUWRFKHFNIRUDQ\HUURQHRXVFRQGLWLRQVµHUUQR¶LVDJOREDOYDOXHDYDLODEOHWRWKH
ZKROHSURJUDP,WLVDQLQWHJHUYDOXHDQGLVVHWWRDWSURJUDPVWDUW
,WPD\KDYHEHHQGHILQHGLQHUUQRK!DVIROORZV
H[WHUQLQWHUUQR
(DFK SRVVLEOH HUURU UHFRJQL]HG E\ WKH V\VWHP LV DVVLJQHG D XQLTXH YDOXH 7KH
VWDQGDUGOLEUDU\IXQFWLRQVPD\DOVRVHWHUUQR7KHPRVWUHFHQWO\RFFXUUHGHUURUZRXOGEH
DYDLODEOHLQWKHHUUQR,WVKRXOGEHUHPHPEHUHGWKDWQHLWKHUH[DPLQLQJWKHHUUQRGRHVQRW
UHVHWWKHHUURUFRQGLWLRQQRUDQ\RWKHUOLEUDU\IXQFWLRQVUHVHWLWWR6RWRGHWHFWDQHUURU
ILUVW VHW HUUQR WR ]HUR FDOO WKH OLEUDU\ IXQFWLRQ DQG DIWHU WKDW WR YHULI\ WKDW WKH OLEUDU\
IXQFWLRQH[HFXWHGZLWKRXWDQ\SUREOHPFKHFNLWVYDOXHDJDLQ
$16, VWDQGDUG PDQGDWHV WKH IROORZLQJ WKUHH HUURUV WR EH GHILQHG E\ WKH
LPSOHPHQWDWLRQ
¾ ('20 GRPDLQHUURU
¾ (5$1*( UDQJHHUURU
¾ (,/6(4 PXOWLE\WHVHTXHQFHHUURU
,WLVOHIWIRUWKHFRPSLOHUWRGHILQHPRUHHUURUV
)RUH[DPSOHOHWVVHHWKHVSHFLILFDWLRQIRUORJIXQFWLRQ
ORJ QDWXUDOORJDULWKPIXQFWLRQ
SURWRW\SH GRXEOHORJGRXEOH[
5HWXUQ9DOXH
2QVXFFHVVORJUHWXUQVWKHQDWXUDOORJRI[
2QHUURULI[ WKHVHIXQFWLRQVVHWHUUQRWR(5$1*(
2QHUURULI[LVUHDODQGLWVHWVHUUQRWR('20
WRGHPRVWUDWHKRZWRXVHHUUQR
LQFOXGHHUUQRK!
LQFOXGHPDWKK!
LQFOXGHVWGLRK!
LQWPDLQYRLG
GRXEOHUHVXOW
GRXEOH[
HUUQR
UHVXOW ORJ[
LIHUUQR ('20
SHUURUGRPDLQHUURU
HOVHLIHUUQR (5$1*(
SHUURUUDQJHHUURU
HOVH
SULQWI7KH QDWXUDO ORJ RI OI LV OI?Q [
UHVXOW
UHWXUQ
ZKHQH[HFXWHGLQRXUV\VWHPLWSULQWHG
GRPDLQHUURUPDWKHUURU
SHUURULVWKHVWDQGDUGOLEUDU\IXQFWLRQWKDWZLOOVHQGDQHUURUWRWKHVWGHUU
IORDWK!DQGOLPLWVK!
7KHVHWZRKHDGHUILOHVGHILQHVFRQVWDQWVWKDWVSHFLI\YDULRXVWKHQXPHULFDOOLPLWV
ORFDOHK!
7KHIXQFWLRQVDVVRFLDWHGZLWKORFDOHLVVXHV
PDWKK!
6LQFHOLEUDU\IXQFWLRQVDUHLQFOXGHGLQWKRXVDQGVRIVRXUFHILOHVHIILFLHQF\RIWKH
OLEUDU\ZDVDGULYLQJIRUFHEHKLQGGHVLJQLQJOLEUDU\IXQFWLRQV)RUH[DPSOHFRQVLGHUWKH
SRZ OLEUDU\ IXQFWLRQ LQ PDWKK! 7KH H[SRQHQWLDWLRQ RSHUDWLRQ LV QRW D SDUW RI WKH
ODQJXDJH DV LQ VRPH RWKHU ODQJXDJHV 7KH SURJUDPPHU KDV WR H[SOLFLWO\ LQYRNH WKH
IXQFWLRQ WR SHUIRUP WKH RSHUDWLRQ 7KLV LV EHFDXVH WKH ODQJXDJH GHVLJQ GHFLVLRQV ZDV
PDGHVXFKWKDWWKHIHDWXUHVWKDWPD\EHLPSOHPHQWHGHIILFLHQWO\XVLQJUXQWLPHIXQFWLRQV
DUHOHIWIURPODQJXDJHSURSHU
VHWMPSK!
7KLVKHDGHUILOHKDVPDFURVVHWMPSDQGORQJMPSWRVXSSRUWQRQORFDOMXPSV
6HWMPS VDYHV WKH HQWLUH VWDWH RI WKH FRPSXWHU

V &38 LQ D EXIIHU GHFODUHG LQ WKH
MPSBEXIMEXIVWDWHPHQWDQGORQJMPSUHVWRUHVLWH[DFWO\ZLWKWKHH[FHSWLRQRIWKHUHJLVWHU
ZKLFKFDUULHVWKHUHWXUQYDOXHIURPORQJMPS
7KHVWDFNDQGIUDPHSRLQWHUUHJLVWHUVDUHUHVHWWRWKHROGYDOXHVDQGDOOWKHORFDO
YDULDEOHVEHLQJXVHGDWWKHWLPHRIWKHORQJMPSFDOODUHJRLQJWREHORVWIRUHYHU1RWHWKDW
DQ\SRLQWHUWRPHPRU\DOORFDWHGIURPWKHKHDSZLOODOVREHORVWDQG\RXZLOOEHXQDEOHWR
DFFHVV WKH GDWD VWRUHG LQ WKH EXIIHU 7KH VROXWLRQ LV WR NHHS D UHFRUG RI WKH EXIIHUV
DGGUHVVHVDQGIUHHWKHPEHIRUHWKHFDOOWRORQJMPS
LQFOXGHVHWMPSK!
LQFOXGHVWGLRK!
LQFOXGHVWGOLEK!
MPSBEXIMEXI
SXWLWDVDJOREDOYDULDEOHWREHFDOOHG
E\ORQJMXPSIURPDQ\VXEURXWLQH
LQWFDOO6RPH5RXWLQH
LQWPDLQ^
LQWYDO
YDO VHWMPSMEXI
LIYDO ^
SULQWI?Q(UURURFFXUHGLQRQHRIVXEURXWLQHV
H[LW
FDOO6RPH5RXWLQH
LQWFDOO6RPH5RXWLQH^
SULQWI?Q7KLVLVIURPWKHVXEURXWLQH
ORQJMPSMEXI
`LWSULQWV
7KLVLVIURPWKHVXEURXWLQH
(UURURFFXUHGLQRQHRIVXEURXWLQHV
,W LV ZHOO NQRZQ WKDW WKH XVDJH RI JRWR FDQ EH FRPSOHWHO\ HOLPLQDWHG E\ XVLQJ
VWUXFWXUHGSURJUDPPLQJWHFKQLTXHVDQGVHWMPSORQJMPSLVDNLQGRIJRWR
VLJQDOK!
6LJQDOVDUH&
VSULPLWLYHVROXWLRQIRU
¾ $YRLGLQJDQGKDQGOLQJWKHH[FHSWLRQDOFRQGLWLRQVH[FHSWLRQKDQGOLQJ
¾ +DQGOLQJRIDV\QFKURQRXVHYHQWVHYHQWPDQDJHPHQW
7KLV VWDQGDUG KHDGHU ILOH SURYLGHV WKH SURWRW\SHV IRUVLJQDO DQG UDLVH IXQFWLRQV
VLJQDOLVXVHGIRULQVWDOOLQJWKHKDQGOHUIRUWKHYDULRXVVLJQDOV
W\SHGHIYRLG IQLQWVLJ&RGH
LQWVLJQDOLQWVLJ1DPHIQI1DPH
ZKHUHI1DPHLV
¾ WKHLQVWDOOHGIXQFWLRQE\WKHXVHU
¾ 6,*B')/
¾ 6,*B,*1
DQGWKHVLJ1DPHFDQEHDQ\RIWKHIROORZLQJ
¾ 6,*$%57 WHUPLQDWLRQHUURUDERUW
¾ 6,*)3( IORDWLQJSRLQWHUURU
¾ 6,*,// EDGLOOHJDOLQVWUXFWLRQ
¾ 6,*,17 LQWHUUXSWXVHUSUHVVHGWKHNH\FRPELQDWLRQA&
¾ 6,*6(*9 LOOHJDOPHPRU\DFFHVV
¾ 6,*7(50 WHUPLQDWHSURJUDP
7KHVH DUH WKH VL[ VWDQGDUG VLJQDOV GHILQHG E\ WKH $16, VWDQGDUG $GGLWLRQ WR WKLV WKH
LPSOHPHQWDWLRQPD\VXSSRUWPRUHVLJQDOV7KHXVHU FDQQRWGHFODUHKLVKHURZQVLJQDOV
RQO\FDQKDYHRZQKDQGOHUV)RUH[DPSOH
YRLGP\+DQGOHULQW
GHFODUHVLJQDOKDQGOHUIXQFWLRQ
VLJQDO6,*6(*9P\+DQGOHU
LQVWDOOWKHKDQGOHUWRWKHFRUUHVSRQGLQJVLJQDO

UDLVH6,*6(*9
UDLVHVWKH6,*6(*9VLJQDOUHVXOWLQJLQFDOOWRP\+DQGOHU
+DQGOHUV DUH PHDQW IRU UHFRYHULQJ RU UHVXPLQJ IURP H[FHSWLRQ RFFXUUHG 7KHUH
DUH SUHGHILQHG VLJQDO KDQGOHUV DYDLODEOH IRU HDFK VLJQDO DQG IRU LQVWDOOLQJ WKH GHIDXOW
VLJQDOWKHFRUUHVSRQGLQJVLJ1DPHKDVWREH FDOOHGLQVLJQDOZLWKVHFRQGDUJXPHQW DV
6,*B')/ 7R LJQRUH WKH VLJQDO VLJ1DPH LQVWDOO WKDW VLJ1DPH ZLWK I1DPH YDOXH
6,*B,*1
VLJQDO6,*)3(6,*B')/
LQVWDOOVWKHGHIDXOWKDQGOHUIRUIORDWLQJSRLQWHUURUV
6LJQDO6,*,//6,*B,*1
LJQRUHDQ\VLJQDOVGXHWREDGLQVWUXFWLRQV
1RWHWKDWWKHUHWXUQW\SHRIWKHVLJQDOLVLQW,WUHWXUQVSRLQWHUWRWKHSUHYLRXVO\
LQVWDOOHGKDQGOHULILWFDQVXFFHVVIXOO\LQVWDOOWKHIXQFWLRQDQGLQFDVHRIIDLOXUHLWUHWXUQV
6,*B(55
LIVLJQDO6,*6(*9P\+DQGOHU 6,*B(55
SULQWI(UURU &DQQRW LQVWDOO KDQGOHU WR
6,*6(*9
8QGHUHYHQWPDQDJHPHQWLQWHUUXSWVFDQEHKDQGOHGXVLQJVLJQDOV([DPSOHVIRUVXFK
HYHQWVDUHKDUGZDUHLQWHUUXSWVDQGWKHLQWHUUXSWVOLNH&WUO&
VLJQDOK!DOVRGHILQHVWKHW\SHVLJBDWRPLFBW7KLVLVWKHW\SHZLWKZKLFKWKH
H[LWKDQGOHUVFDQFRPPXQLFDWHWRRWKHUIXQFWLRQV7KHZRUG
DWRPLF
LQGLFDWHVWKDWDQ\
DVVLJQPHQWVWKDWDUHPDGHWRWKHREMHFWVRIWKLVW\SHDUHGRQHDWRPLFDOO\IUHHRIKLQGHUHG
E\LQWHUUXSWV
VWGDUJK!
7KLVKHDGHUILOHLVIRUWKHVXSSRUWRIYDULDEOHDUJXPHQWOLVWVWKDWDUHGHVFULEHGLQ
WKH FKDSWHU RQ IXQFWLRQV ,W KDV WKH GHFODUDWLRQ RI W\SH YDBOLVW DQG WKH PDFURV YDBVWDUW
YDBDUJDQGYDBHQG
VWGGHIK!
,WFRQWDLQVGHFODUDWLRQVRIW\SHVOLNH18//SWUGLIIBWVL]HBWDQGZFKDUBW
VWGLRK!
7KLV LV WKH PRVW LPSRUWDQW KHDGHU ILOH WKDW DOPRVW DOO SURMHFWV XVH EHFDXVH LW
FRQVWDLQVIXQFWLRQVIRU,2ILOHPDQDJHPHQWHWF7KLVLVDELJKHDGHUILOHWKDWQHDUO\RQH
WKLUGRIIXQFWLRQVPDFURVLQWKHVWDQGDUGOLEUDU\DUHIURPWKLVKHDGHUILOH
,2)XQFWLRQV
7KH & ODQJXDJH SURYLGHV QR IDFLOLW\ IRU ,2 OHDYLQJ WKLV MRE WR OLEUDU\ URXWLQHV
>5LWFKLHHWDO@LOOXVWUDWHVRQHGLIILFXOW\ZLWKWKLVDSSURDFK,QPDFKLQHVZKHUHLQWLVQRW
WKHVDPHDVORQJWRLQGLFDWHWKHGLIIHUHQFHWKHIRUPDWVSHFLILHUPD\EHZULWHQDV³'´
LQVWHDGRI³G´
³7KXVFKDQJLQJWKHW\SHRI[LQYROYHVFKDQJLQJQRWRQO\LWVGHFODUDWLRQEXWDOVR
RWKHU SDUWV RI WKH SURJUDP ,I ,2 ZHUH EXLOW LQWR WKH ODQJXDJH WKH DVVRFLDWLRQ EHWZHHQ
WKHW\SHRIDQH[SUHVVLRQDQGWKHIRUPDWLQZKLFKLWLVSULQWHGFRXOGEHUHFRQFLOHGE\WKH
FRPSLOHU´
,QRWKHUZRUGVVHSDUDWLQJWKH,2SDUWIURPWKHODQJXDJHSURSHUPD\KDYHEHHQD
JRRGGHVLJQDSSURDFK7KLVZLOOPDNHWKHODQJXDJHVPDOODQGDOVROHDYHLWWRWKHOLEUDULHV
WRWDNHFDUHRI$QGWKLVKDVIHZGLVDGYDQWDJHV%\QRWEHLQJSDUWRIWKHODQJXDJHWKH,2
FDQQRWWDNHDGYDQWDJHRIWKHW\SHLQIRUPDWLRQDYDLODEOHWRWKHFRPSLOHU
LQWL
SULQWI³G´L
+HUHWKHIRUPDWVWULQJLVUHTXLUHGWRVSHFLI\WKHW\SHRIWKH DUJXPHQWDVVRFLDWHG
ZLWKL,ILWZHUHWKHSDUWRIWKHODQJXDJHWKLVUHGXQGDQWLQIRUPDWLRQZLOOQRWEHUHTXLUHG
7KHSUREOHPRIPLVPDWFKRIQXPEHURILWHPVLQIRUPDWVWULQJDQGWKHDUJXPHQWVFDQQRW
EH IRXQG RXW DW FRPSLOH WLPH IRU WKH VDPH UHDVRQ $QG DOVR LI D FKDQJH LV PDGH LQ WKH
W\SH RU QXPEHU RI DUJXPHQWV LQ WKH ,2 URXWLQH WKH FKDQJH PXVW EH UHIOHFWHG LQ WKH
IRUPDWVWULQJDOVR
IORDWI9DU
SULQWII9DU G DQG VL]HRII9DU G
I9DUVL]HRII9DU
SULQWHGI9DU DQGVL]HRI9DU LQRXUV\VWHP
FOXHVL]HRIIORDW DQGVL]HRILQW LQRXUV\VWHP
7KLV LV DQ H[DPSOH RI WKH SUREOHPV WKDW PD\ DULVH GXH WR WKH PLVPDWFK EHWZHHQ WKH
IRUPDW VWULQJ DQG WKH DUJXPHQWV 7KH ILUVW DUJXPHQW LV D IORDWLQJ SRLQW YDULDEOH DQG LW
WDNHVE\WHV%XWWKHIRUPDWVWULQJH[SHFWVWKHILUVWDUJXPHQWWREHDQLQWHJHUGDQG
VRUHDGVWZRE\WHVIURPWKHVWUHDPLWGRHVQ
WGRDQ\W\SHFDVWWKDW\RXPD\H[SHFW7KH
HIIHFW LV UHIOHFWHG LQ WKH DUJXPHQW UHDG QH[W LH WKH VL]HRII9DU OHDGLQJ WR ZURQJ
RXWSXW
'HVLJQ&RQVLGHUDWLRQV
7KH PDLQ DLP EHKLQG GHVLJQLQJ WKH VWDQGDUG ,2 OLEUDU\ LV WKH SURYLVLRQ IRU
HIILFLHQW H[WHQVLYHSRUWDEOHILOH DFFHVVIDFLOLWLHV DQG HDV\ IRUPDWWLQJ 7KH URXWLQHV WKDW
PDNHXS WKH OLEUDU\ DFKLHYH HIILFLHQF\ E\ SURYLGLQJ DQ DXWRPDWLF EXIIHULQJ PHFKDQLVP
LQYLVLEOH WR WKH XVHU ZKLFK PLQLPL]HV ERWK WKH QXPEHU RI DFWXDO ILOH DFFHVVHV DQG WKH
QXPEHURIORZOHYHOV\VWHPFDOOVPDGH
),/(LVDSRLQWHUWRDVWUXFWXUHXVHGE\WKHVWDQGDUG,2WRLGHQWLI\ILOHV$OOGDWD
WKDWDUHUHDGRUZULWWHQSDVVWKURXJK),/(
VFKDUDFWHUEXIIHU)RUHJ\RXVHQGFKDUDFWHU
E\ FKDUDFWHU WR D ILOH XVLQJ D ),/( <RX DUH DFWXDOO\ ZULWLQJ WR WKDW ),/(
V FKDUDFWHU
EXIIHU DQG ZKHQ WKDW EXIIHU JHWV ILOOHG WKH GDWD LV ZULWWHQ LQ EXON EORFN WR WKH ILOH
LQWHQGHGWREHZULWWHQ6LPLODUO\ZKLOHUHDGLQJIURPILOHDQ\LQSXWGHYLFHWKHGDWDUHDGLV
WKURXJKWKH),/(
VEXIIHUDQGZKHQLWJHWVIXOOLWZLOOFDOOWKHUHDGSULPLWLYHV\VWHPFDOO
7KHVHGHWDLOVDUHFRPSOHWHO\KLGGHQIURPWKHXVHUV7KLVEXIIHULQJPDNHVOLPLWHG
XVHRIV\VWHPFDOOVOLNHIHZFDOOVWRUHDGZULWHV\VWHPFDOOV,WDOVRDYRLGVXQQHFHVVDU\
PDQLSXODWLRQ GLUHFWO\ E\ WKH XVHU WKH XVHU QHHG QRW PDLQWDLQ WKH EXIIHU H[SOLFLWO\ DQG
RIIHUVDKLJKOHYHORIDEVWUDFWLRQWKDWWKH\FDQEHLPSOHPHQWHGLQDQ\VXSSRUWHG26
3RLQWHUV$VVRFLDWHGZLWK)LOHV
7KHUHDUHWKUHHLPSRUWDQWSRLQWHUVDVVRFLDWHGZLWKILOHV
¾ ILOHSRLQWHU
¾ EXIIHUSRLQWHU
¾ ILOHFXUVRU
)LOH3RLQWHU
,W LV WKH SRLQWHU WR WKH ),/( VWUXFWXUH )URP WKLV SRLQWHU RQO\ WKH LQIRUPDWLRQ
UHJDUGLQJWKHILOHFDQEHDFFHVVHG,QRWKHUZRUGVLWLVWKHDGGUHVVRIWKHDOORFDWHGVWUHDP
EXIIHUWKDWLVDVVRFLDWHGZLWKDILOHRQRSHQLQJWKHVWUHDP
%XIIHU3RLQWHU
7KLVLVWKHFKDUDFWHUSRLQWHUWKDWSRLQWVWRWKHFKDUDFWHUEXIIHUWKDWLVLQWHUQDOO\
PDLQWDLQHG,WVRQO\ZKHQWKHEXIIHUSRLQWHUUHDFKHVWKHHQGRIEXIIHUWKHEXIIHULV
IOXVKHG
)LOH&XUVRU
,W LV WKH SRLQWHU WKDW NHHSV WUDFN RI WKH FXUUHQW DFFHVV SRVLWLRQ RI WKH ILOH XVHG
:KHQHYHU \RXXVHWKHIXQFWLRQVOLNHIUHDGIVHHNIVHWSRVHWF \RXDUHDFWXDOO\ XSGDWLQJ
WKHYDOXHILOHFXUVRU6LPLODUO\WKHIJHWSRVIWHOOHWFUHWXUQWKHFXUUHQWSRVLWLRQRIWKHILOH
FXUVRU
6WUHDPV
6WUHDPV DV [Kernighan and Ritchie 1988] GHILQHV LV D VRXUFH RU
GHVWLQDWLRQ RI GDWD WKDW PD\ EH DVVRFLDWHG ZLWK D GLVN RU RWKHU SHULSKHUDOV )RU XVDJH
VWUHDPFDQEHFRQVLGHUHGWREHILOHSRLQWHUV)RUHJWKHSURWRW\SHIRUWKHIIOXVKLV
YRLGIIOXVK),/( VWUHDP
DQGVRPD\EHFDOOHGOLNHWKLV
IIOXVKVWGLR
IRUIOXVKLQJWKHVWDQGDUGLQSXWZKLFKPD\EHDNH\ERDUG
3UHGHILQHGVWUHDPV
3UHGHILQHGVWUHDPVWKDWDUHRSHQHGDXWRPDWLFDOO\ZKHQWKHSURJUDPLVRSHQHGDUH
VWGLR VWGRXW VWGHUU VWDQGDUG LQSXW VWDQGDUG RXWSXW VWDQGDUG HUURU DQG GHYLFHV
UHVSHFWLYHO\$GHYLFHDOVRNQRZQDVILOHKDQGOHLVDJHQHUDOL]HGLGHDRIILOHDQGFDQEH
WUHDWHGDVLILWZHUHDILOH)RUH[DPSOHVD\WKHVWGLRPD\EHWKHNH\ERDUG&WUHDWVWKH
LQIRUPDWLRQFRPLQJIURPWKHNH\ERDUGDVLILWZHUHIURPDWH[WILOHLWHYHQUHWXUQV(2)
OLNHDILOHLIWKHLQSXWLVQRWYDOLG
3UDFWLFDOO\ERWKWKHVWGRXWDQGVWGHUUZULWHWRWKHFRQVROHRQO\
ISULQWIVWGRXW´(UURU$QHUURURFFXUUHG´
ISULQWIVWGHUU´(UURU$QHUURURFFXUUHG´
KDYH WKH VDPH HIIHFW %XW WKH VHFRQG RQH LV SUHIHUDEOH WR WKH ILUVW RQH IRU WZR PDLQ
UHDVRQV
&RQVLGHUWKHFDVHRIUHGLUHFWLQJWKHRXWSXWWRRWKHUILOHVDVLQSXWIRUH[DPSOHDV
SLSHVLQ8QL[,QVXFKFDVHVLIWKHHUURUPHVVDJHLVZULWWHQWRWKHVWGRXWWKDWZLOOJRDV
MXQNLQSXWWRWKHUHFHLYLQJILOH6RSUHIHUXVLQJVWGHUUWRVWGRXWLQLVVXLQJHUURUV
7KH VHFRQG UHDVRQ LV WKH GLIIHUHQFH LQ ZD\ VWGRXW DQG VWGHUU ZRUNV 7KH VWGRXW
ZULWHVWREXIIHUVRLWPD\WDNHVRPHWLPHWRVHQGWKHRXWSXWWRWKHGHYLFH ZKHUHDVWKH
ZULWH WR VWGHUU LV DQ XQEXIIHUHG RQH 7KLV PHDQV WKH LQIRUPDWLRQ ZULWWHQ WR VWGHUU LV
LPPHGLDWHO\ VHQW WR WKH GHYLFH ZLWKRXW EHLQJ VWRUHG DQG ZDLWHG LQ WKH EXIIHU WR EH
IOXVKHG
6R ZKLOH ZULWLQJ HUURU PHVVDJHV WR VWGRXW XVH IIOXVKVWGRXW WR ZULWH WKH RXW
RXWSXWIXOO\WRPDNHVXUHWKDWWKHPHVVDJHLVVKRZQZLWKRXWGHOD\%HFDXVHWKHSRVVLEO\
IROORZLQJ DERUW IXQFWLRQ PDNHV SURJUDP WHUPLQDWH ZLWKRXW SURSHUO\ IOXVKLQJ DQG
FORVLQJWKHVWUHDPV
ISULQWIVWGRXW´(UURU$QHUURURFFXUUHG´
IIOXVKVWGRXW
DERUW
2UVLPSO\XVH
ISULQWIVWGHUU´(UURU$QHUURURFFXUUHG´
QRQHFHVVLW\RIIIOXVKVWGHUUEHFDXVHWKHUHLVQREXIHULQJIRU
VWGHUUVRIIOXVKVWGHUULVPHDQLQJOHVV
DERUW
&ODVVLILFDWLRQRIVWUHDPV
,2VWUHDPVFDQEHFODVVLILHGLQWRWZRW\SHV
FKDU,2RUWH[W,2
(JJHWFKSXWVHWF
EORFN,2
(JIUHDGIIOXVKUHZLQGHWF
6WUHDPV9V)LOHGHVFULSWRUV
:KHQ \RX ZDQW WR GR LQSXW RU RXWSXW WR D ILOH \RX KDYH D FKRLFH RI WZR EDVLF
PHFKDQLVPV IRU UHSUHVHQWLQJ WKH FRQQHFWLRQ EHWZHHQ \RXU SURJUDP DQG WKH ILOH ILOH
GHVFULSWRUV DQG VWUHDPV )LOH GHVFULSWRUV DUH UHSUHVHQWHG DV REMHFWV RI W\SH LQW ZKLOH
VWUHDPVDUHUHSUHVHQWHGDV),/( REMHFWV
6WUHDPV SURYLGH D KLJKHUOHYHO LQWHUIDFH WR WKH ORZHU OHYHO RI ILOH KDQGOLQJ
,QWHUQDOO\ WKH\ XVH WKH SULPLWLYH ORZOHYHO RSHUDWLRQV IRU UHDGLQJ DQG ZULWLQJ RI ILOHV
<RX FDQ XVH WKH IXQFWLRQV OLNH RSHQ WKDW UHWXUQ WKH ILOH GHVFULSWRUV UDWKHU WKDQ WKH ILOH
SRLQWHUV DQG DUH FRQVLGHUDEO\ ORZOHYHO 7KDW ZLOO LQFUHDVH WKH HIILFLHQF\ EXW WKH
SRUWDELOLW\ZLOOEHORVW7KHRWKHURSHUDWLQJV\VWHPVPD\QRWVXSSRUWWKHVDPHSULPLWLYHV
DQGIDFLOLWLHV
+RZHYHU WKH PDLQ DGYDQWDJH LV WKDW WKH VWUHDPV SURYLGH ULFKHU SRZHUIXO
IDFLOLWLHV DQG IRUPDWWLQJ IHDWXUHV LQ WKH IRUP RI QXPHURXV IXQFWLRQV 7KH VWUHDPV WDNH
FDUH RI ORW RI GHWDLOV OLNH EXIIHULQJ LQWHUQDOO\ VR WKDW WKH SURJUDPPHU GRHV QRW KDYH WR
ERWKHUDERXWWKHP)RUH[DPSOHWKH8QL[26KDVORWRIV\VWHPFDOOVWKDWFDQDFFHVVDQG
JHWWKHMREGRQHIURPWKH26GLUHFWO\%XWWKH&SURJUDPPHUVIRU8QL[VWLOOSUHIHUWRXVH
WKH&VWDQGDUGOLEUDU\IXQFWLRQVEHFDXVHRIWKHIDFLOLWLHVWKH\SURYLGH
:KHUHDVWKHRSHUDWLQJV\VWHPSULPLWLYHVOLNH8QL[V\VWHPFDOOVSURYLGHRQO\WKH
EDVLFIDFLOLWLHVOLNHEORFNUHDGDQGZULWHDQGSURJUDPPHUKDYHWRWDNHFDUHRIPDQDJLQJ
DQGNHHSLQJWUDFNRILW7KHRSHUDWLQJV\VWHPSULPLWLYHVDUH DGYDQWDJHRXVLQFDVHV )RU
H[DPSOHWKHRSHUDWLRQVWKDWKDVWREHGRQHWKDWDUHSDUWLFXODUWRDGHYLFH,QVXFKFDVHV
VWUHDPVWKDWSURYLGHWKHVWDQGDUGL]HGIXQFWLRQDOLW\DUHRIQRXVH
6R WKH VHOHFWLRQ EHWZHHQ WKH 26 SULPLWLYHV DQG VWDQGDUG ,2 IXQFWLRQV GHSHQGV
RQ WKH QHHG 7R KDYH KLJKHU SRUWDELOLW\ VWLFN WR VWUHDPV XQOHVV \RX ZDQW VRPH GLUHFW
DFFHVV RI VSHFLDO IXQFWLRQDOLW\ <RX FDQ DOVR RSHQ D ILOH LQLWLDOO\ DV ORZOHYHO RQH DQG
ODWHUFDQFRQYHUWLWWRDVWUHDP
,QROGHUYHUVLRQVRI&µORQJIORDW¶ZDVDV\QRQ\PIRUGRXEOH6RDIRUPDWVSHFLILHU
IRU ORQJ IORDW DQG GRXEOH UHPDLQV WKH VDPH \RX XVH OI IRU SULQWLQJ WKH GRXEOH YDOXH LQ
SULQWIVFDQI
([HUFLVH
7KHUHZHUHWKUHHUHFRUGVVWRUHGLQWKHILOHSRLQWHGE\ISEXWWKHIROORZLQJ FRGH
SULQWHGIRXUQDPHV)LQGRXWZKDWZHQWZURQJ"
ZKLOHIHRIIS
IUHDG VWXGHQW5HFVL]HRIVWXGHQW5HFIS
SXWVVWXGHQW5HFQDPH
&DQ\RXJXHVVZK\WKHUHLVQRGLVWLQFWIRUPDWVSHFLILHUIRUGRXEOHLQSULQWIVFDQI
IRUPDWVWULQJDOWKRXJKLWLVRQHRIWKHIRXUEDVLFGDWDW\SHV"
&KDULQSXWRXWSXWIXQFWLRQV
7KHIXQFWLRQVJHWFKDUDQGSXWFKDUJHWSXWDFKDUDFWHUIURPWKHVWGLQVWGRXWDQG
WKH\DUHWKHVKRUWFXWYHUVLRQVRIJHWFDQGSXWF
JHWFKDU JHWFVWGLQ
SXWFKDU SXWFLQWVWGRXW
6LQFH WKH FKDUDFWHU LQSXWRXWSXW IURP WKH VWGLQVWGRXW LV WKH DUH IUHTXHQWO\ XVHG
DQGXVLQJ JHWFDQGSXWFYHUVLRQVWKDW WDNH ),/( DV RQH RI WKHLU DUJXPHQWV LV WHGLRXV
7KHGHFODUDWLRQVIRUJHWFDQGSXWFORRNOLNH
LQWJHWF),/(
LQWSXWFLQW),/(
DQGWKH\DFWWR JHWSXWDFKDUIURPWKHVSHFLILHGILOH7KH\ DUHPDFURV7KH HTXLYDOHQW
IXQFWLRQYHUVLRQVDUH
LQWIJHWF),/(
LQWISXWFLQW),/(
DQGWKHIXQFWLRQDOLW\RIWKHPDFURDQGWKHIXQFWLRQYHUVLRQVUHPDLQWKHVDPH7KLV
LV RQH RI IHZ H[SOLFLW SODFHV LQ VWDQGDUG OLEUDU\ ZKHUH ERWK WKH PDFUR DQG IXQFWLRQ
YHUVLRQVDUHSURYLGHG
$V \RX FDQVHHWKHDUJXPHQWVDQGW\SHVDUHLQWV WKDW LV FRXQWHULQWXLWLYH 7KHUH
DUHWZRPDLQUHDVRQVIRUWKLV
¾ WR HQDEOH WKH FKDUDFWHUV RI VL]H PRUH WKDQ RQH E\WH WR EH KDQGOHG E\ WKH
LPSOHPHQWDWLRQV
¾ WRHQDEOHWKHYDOXHRI(2)WKDWLVQRUPDOO\GHILQHGDV±WREHUHSUHVHQWHG
LQWKHYDOLGUDQJH
FKDUFK FKDUPD\EHVLJQHGXQVLJQHGE\GHIDXOW
ZKLOHFK JHWFKDU (2)LIFKDULVXQVLJQHGWKHQSUREOHP
GRVRPHWKLQJ
7KLVSUREOHPLVHOLPLQDWHGLIWKHUHWXUQW\SHLVLQWDQGWKHFKLVRIW\SHLQW
LQWFK LQWLVVLJQHGE\GHIDXOWDQGKDVELJUDQJH
ZKLOHFK JHWFKDU (2) QRZQRSUREOHP
GRVRPHWKLQJ
JHWFKDU
JHWFKDU WHUPLQDWHV RQO\ ZKHQ D QHZOLQH FKDUDFWHU LV JRW 7KLV PD\ FUHDWH
SUREOHPV LQ LQWHUDFWLYH HQYLURQPHQWV LI JHWFKDU LV XVHG WKHUH IRU XVHU UHVSRQVH 6LQFH
JHWFKDU WHUPLQDWHV RQO\ RQ VHHLQJ D QHZOLQH DQG UHWXUQV RQO\ RQH FKDUDFWHU WKH
UHPDLQLQJFKDUDFWHUVWKDWPD\KDYHEHHQSUHVVHGVKDOOUHPDLQLQLQSXWEXIIHU7KLVPD\
DJJUDYDWH WKH SUREOHP 7KH SUREOHP PD\ EH VROYHG E\ UHSODFLQJ JHWFKDU E\
JHWFKJHWFKH EXW WKH\ DUH QRW SDUW RI VWDQGDUG KHDGHU ILOH DQG DUH GHFODUHG LQ
FRQLRK!LQWKRVHLPSOHPHQWDWLRQVVXSSRUWLQJWKHVHIXQFWLRQV
IVHHN IWHOO
7KHIXQFWLRQVLQVWGLRK!IVHHNDQGIWHOOUHWXUQORQJ7KLVOLPLWVWKHILOHVL]HWKDW
FDQEHKDQGOHGE\WKHVHIXQFWLRQVWR/21*B0$;7RDYRLGWKLV$16,KDVGHILQHGWZR
IXQFWLRQVIJHWSRV DQG IVHWSRV WKDW UHWXUQV ISRVBW ZKLFK LV D SODWIRUP GHSHQGHQW ILOH
SRVLWLRQW\SH7KHVHWZRIXQFWLRQVDUHDOVRGHILQHGLQVWGLRK!
5XQQLQJRQH3URJUDPIURP$QRWKHU
2QHRIWKHZD\VWRUXQRQHSURJUDPIURPDQRWKHULVXVLQJµV\VWHP¶IXQFWLRQ
LQWV\VWHPFRQVWFKDU FRPPDQG6WU
ZKHUH WKH FRQWHQW RI WKH FRPPDQG6WU GHSHQGV RQ WKH VRXUFH RSHUDWLQJ V\VWHP ,W LV
QRUPDOO\ VHQW DV FRPPDQG VWULQJ IRU WKH VKHOO FRPPDQG LQWHUSUHWHU RI WKH XQGHUO\LQJ
RSHUDWLQJV\VWHP
7KHPDMRUGLVDGYDQWDJHRIWKHV\VWHPIXQFWLRQLVWKDWWKHSURJUDPFDQQRWDFFHVV
DQGXVHWKHRXWSXWRIWKHFRPPDQGLWUXQVLQWKH
VKHOO
)RUWKLVWKHUHDUHWZRURXWLQHV
SURYLGHG
),/( SRSHQFRQVWFKDU FRPPDQG6WUFRQVWFKDU W\SH
LQWSFORVH),/( VWUHDP
WKHVHDUHQRQVWDQGDUGRQHVWKDWDUHDYDLODEOHLQVRPHV\VWHPVWKDWUHWXUQWKHILOHSRLQWHU
IRUPDQLSXODWLQJWKHRXWSXWRIWKHUHVXOWRIWKHH[HFXWLRQRIWKH
FRPPDQG6WU

VWGOLEK!
7KLVKHDGHUILOHLQFOXGHVPLVFLOODQHRXVIXQFWLRQVWKDWLQFOXGHV
¾ QXPHULFDOFRQYHUVLRQVDWRLVWUWRGHWF
¾ UDQGRPQXPEHUJHQHUDWLRQVUDQGVUDQGHWF
¾ PHPRU\DOORFDWLRQPDOORFFDOORFHWF
¾ SURJUDPWHUPLQDWLRQDERUWH[LWDQGDWH[LW
¾ LQWHUDFWLRQZLWK26V\VWHPDQGJHWHQY
¾ VRUWDQGVHDUFKTVRUWDQGEVHDUFKUHVSHFWLYHO\
¾ RWKHUVDEVODEVGLYDQGOGLY
H[LW
H[LWWDNHVLQWHJHUDVDUJXPHQWH[LWLQGLFDWHVQRUPDOSURJUDPWHUPLQDWLRQDQG
H[LW LQGLFDWHV DEQRUPDO SURJUDP WHUPLQDWLRQ ,I \RXU SURJUDP LV FRPSOHWHG
VXFFHVVIXOO\ DQG ZDQW WR UHWXUQ EDFN XVH H[LW ORJLFDOO\ WR 26 DQG 8VHU ,I \RX
HQFRXQWHUHG DQ\ DEQRUPDO FRQGLWLRQ RU UXQWLPH HUURU DQG ZDQW WR TXLW SUHPDWXUHO\ XVH
H[LW7KLVUHWXUQYDOXHPD\EHXVHGE\WKH26VD\81,;WRVHHLIWKHSURJUDPKDV
VXFFHVVIXOO\ H[HFXWHG RU QRW EXW WKLV YDOXH LV QRUPDOO\ LJQRUHG H[LW FDOOV XS DOO WKH
H[LWKDQGOHUVWKDWDUHUHJLVWHUHGZLWKDWH[LWLQUHYHUVHRUGHU
DERUW
DERUW LV XVHG LQ FDVH RI VHULRXV SURJUDP HUURU DQG WKXV IRU DEQRUPDO SURJUDP
WHUPLQDWLRQ DERUW GRHV QRW UHWXUQ FRQWURO WR WKH FDOOLQJ SURFHVV %\ GHIDXOW LW
WHUPLQDWHVWKHFXUUHQWSURFHVVDQGUHWXUQVDQH[LWFRGHRI$ERUWGRHVQ¶W FDOODQ\H[LW
KDQGOHUVDWH[LWDQGLPPHGLDWHO\ UHWXUQV FRQWUROWR26 XVLQJ VLJQDOV DERUW FDQ EH
PDGH WR FDOO DQ\ FOHDQXS IXQFWLRQV ,W DOVR GRHVQ¶W IOXVK WKH VWUHDP EXIIHUV ,W PD\ EH
WKRXJKWRIEHLQJGHILQHGDVIROORZV
YRLGDERUWYRLG
SULQWIVWGHUU³DEQRUPDOSURJUDPWHUPLQDWLRQ´
UDLVH6,*$%57
H[LW(;,7B)$,/85(
$V \RX FDQ VHH WKHUH DUH GLIIHUHQFHV EHWZHHQ XVLQJ H[LW DQG DERUW DQG
VHOHFWLRQVKRXOGEHEDVHGRQWKHUHTXLUHPHQW,QVKRUW
H[LWLQW FDXVHV DWH[LW WR EH FDOOHG DQG RWKHU WHUPLQDWLRQ DFWLRQV WR WDNH SODFH
DERUWFDXVHVWRWHUPLQDWHWKHSURJUDPDEQRUPDOO\DQGLPPHGLDWHO\ZLWKRXWDQ\UROOXS
DFWLRQV
DWH[LW
<RX PD\ UHTXLUH SHUIRUPLQJ VRPH FOHDQXS WDVNV RU RWKHU WDVNV EHIRUH WKH
SURJUDP WHUPLQDWH )RU WKLV WDVN DWH[LW IXQFWLRQ FRPHV KDQG\ ,W WDNHV SRLQWHU WR D
IXQFWLRQDVDUJXPHQW7KHIXQFWLRQVSRLQWHGE\DWH[LWZLOOEHFDOOHGEHIRUHWKHSURJUDP
WHUPLQDWLRQLIDQ\VXFKGHILQHGDQGLWLVDQRUPDOSURJUDPWHUPLQDWLRQ
YRLGUROOXS
SULQWI³,DPEHLQJFDOOHGE\H[LW´
LQWPDLQ
LIDWH[LWUROOXS
SULQWI³&DQQRWUHJLVWHUZLWKDWH[LW´
H[LW
7KLVSULQWV³,DPEHLQJFDOOHGE\H[LWÉHFDXVHZKLOHH[LWLQJIURPSURJUDPH[LW
FDOOVWKHIXQFWLRQVUHJLVWHUHGZLWKDWH[LW
7KH IXQFWLRQV UHJLVWHUHG ZLWK DWH[LW DUH DOVR FDOOHG DV H[LWKDQGOHUV 6LQFH H[LW
KDQGOHUV DUH FDOOHG IRU UROOXS DFWLYLWLHV DQG UHVRXUFHIUHHLQJ DFWLYLWLHV WKH\ DUH
VRPHWLPHVFDOOHGDVSVHXGRGHVWUXFWRUV
VWULQJK!
$OORIWKHIXQFWLRQVWKDWDUHOLVWHGLQVWULQJK!UHO\RQ18//WHUPLQDWLRQRIWKH
VWULQJV ,I 18// LV PLVVLQJ WKHQ WKHVH IXQFWLRQV ZLOO FRQWLQXH SURFHVVLQJ SRVVLEO\
FRUUXSWLQJ PHPRU\ DV WKH\ JR )RU PRVW RI WKH VWULQJ IDPLO\ RI IXQFWLRQV OLVWHG LQ
VWULQJK! \RX ZLOO VHH D FRUUHVSRQGLQJ µQ¶ IDPLO\ RI IXQFWLRQV LH VWUFS\ DQG VWUQFS\
VWULFPSDQGVWUQLFPSVWUFDWDQGVWUQFDWHWF7KHFRUUHVSRQGLQJµQ¶IXQFWLRQVSHUIRUPWKH
VDPHWDVNVDVWKHLUFRUUHVSRQGLQJFRXQWHUSDUWVZLWKWKHH[FHSWLRQWKDWWKH\WDNHDQH[WUD
SDUDPHWHU µQ¶ ZKLFK VSHFLILHV KRZ PDQ\ FKDUDFWHUV LQ WKH VWULQJ WR RSHUDWH RQ ,W LV
VWURQJO\ UHFRPPHQGHG WKDW WKLV µQ¶ IDPLO\ RI IXQFWLRQV EH XVHG UDWKHU WKDQ WKHLU
FRXQWHUSDUWV LI \RX FDQQRW DOZD\V HQVXUH WKDW WKH VWULQJV \RX XVH DUH SURSHUO\ 18//
WHUPLQDWHG
1RWH +RZHYHU XVH RI VWUQFS\ D IXQFWLRQ LQ VXFK µQ¶ IDPLO\ RI IXQFWLRQV UHTXLUH D
VSHFLDO FDXWLRQ 7KH SUREOHP LV LWV LQFRQVLVWHQW EHKDYLRU 6RPHWLPHV LW WHUPLQDWHV WKH
GHVWLQDWLRQ VWULQJ ZLWK 18// FKDU DQG VRPHWLPHV LW GRHVQ¶W 6R GRQ¶W GHSHQG RQ WKH
IHDWXUHRIDXWRPDWLF18//WHUPLQDWLRQE\WKHVWUQFS\'RLWH[SOLFLWO\E\\RXUVHOI
FKDUW>@V>@ ´VRPHWKLQJ´
VWUQFS\WV
FRS\VRPHLQWRW
W>@ µ?¶
18//WHUPLQDWH\RXUVHOI
7KH VWDQGDUG OLEUDU\ SDUWLFXODUO\ VWULQJK! FRQVLVWV RI PDQ\ IXQFWLRQV WKDW DUH
ZHLUGORRNLQJDQGUDUHO\XVHG)RUHJWKHVWUVSQDQGVWUFVSQIXQFWLRQV
VL]HBWVWUVSQFRQVWFKDU VFRQVWFKDU V
LV WKH SURWRW\SH IRU VWUVSQ VWULQJ VSDQ ,W UHWXUQV PD[LPXP OHQJWK RI WKH LQLWLDO VXE
VWULQJHQWLUHO\PDGHXSRIFKDUDFWHUVLQVHFRQGRQH
VWUVSQ³RXUV\VWHP´´DHLRX´
ZLOO UHWXUQ EHFDXVH WKH LQLWLDO VXEVWULQJ RX LV PDGH HQWLUHO\ RI WKH FKDUDFWHUV LQ WKH
VHFRQGVWULQJ³DHLRX´
VWUFVSQ LV WKH FRPSOLPHQW RI WKH VWUVSQ IXQFWLRQ ,W UHWXUQV WKH VSDQ RI WKH ILUVW
VXEVWULQJFRQVLVWLQJRIFKDUDFWHUVQRWLQVHFRQGVWULQJ
VWUVSQ³V\VWHP´´DHLRX´
\LHOGV EHFDXVH WKH LQLWLDO VXEVWULQJ V\VW LV PDGH XS RI WKH FKDUDFWHUV WKDW DUH QRW LQ
VHFRQGVWULQJ
([HUFLVH
FKDULQSXW6WULQJ>@ ^`
7RJHWVWULQJLQSXWIURPWKHNH\ERDUGZKLFKRQHRIWKHIROORZLQJLVEHWWHU"
JHWVLQSXW6WULQJ
IJHWVLQSXW6WULQJVL]HRILQSXW6WULQJIS
([HUFLVH
:KLFKYHUVLRQGR\RXSUHIHURIWKHIROORZLQJWZR
SULQWI³V´VWU
RUWKHPRUHFXUWRQH
SULQWIVWU
WLPHK!
,WKDVIXQFWLRQVIRUPDQLSXODWLQJGDWHDQGWLPH2QHRIWKHPDQ\UHTXLUHPHQWVIRU
UHDOOLIH SURJUDPPLQJ LV UHTXLUHPHQW RI D GHOD\VOHHS IXQFWLRQ WKDW ZDLWV IRU VRPH
DPRXQW RI WLPH IRU FRQWLQXLQJ WKH SURFHVV 7KDW IXQFWLRQDOLW\ LV QRW DYDLODEOH LQ WKH
VWDQGDUGOLEUDU\EXWRQHFDQEHHDVLO\ZULWWHQXVLQJWKHFORFNIXQFWLRQDYDLODEOHLQWKLV
KHDGHUILOH
ZDLWVVOHHSVIRUDVSHFLILHGQXPEHURIPLOOLVHFRQGV
YRLGVOHHSFORFNBWZDLW7LPH
FORFNBWWDUJHW
WDUJHW ZDLW7LPHFORFN
ZKLOHWDUJHW!FORFN
QXOOVWDWHPHQW
7KLV VOHHS LPSOHPHQWDWLRQ PDNHV SURJUDP ZDLW LQ WHUPV RI PLOOLVHFRQGV ,I ZDLWLQJ
VKRXOGEHGRQHLQVHFRQGVWKHQQHZIXQFWLRQQHHGQRWEHZULWWHQDQGWKHH[LVWLQJLWVHOI
VXIILFHVDQGWKHFDOOLQJPHWKRGGLIIHUV
VOHHSFORFNBW &/2&.6B3(5B6(&
7KLVFRQVWDQW&/2&.6B3(5B6(&UHIHUVWRWKHQXPEHURIFORFNWLFNVWKDWWLFNLQ
DVHFRQG6RWKHFDOOWKDWLVJLYHQKHUHPDNHVWKHSURJUDPWRZDLWIRUVHFRQG,QVRPH
V\VWHPVWKLVFRQVWDQWLV&/.B7&.
FORFNIXQFWLRQUHWXUQVWKHSURFHVVRUWLPHHODSVHGVLQFHWKHSURJUDPLQYRFDWLRQ
6RWKLVIXQFWLRQFDQEHXVHGWRILQGWKHHIILFLHQF\RIWKHFRGHDQGIRUWHVWLQJSXUSRVHV
FORFNBWVWDUWILQLVK
ORQJGXUDWLRQL
VWDUW FORFN
IRUL L/L WKHFRGHWREHWHVWHG
ILQLVK FORFN
GXUDWLRQ GRXEOHILQLVKVWDUW&/2&.6B3(5B6(&
SULQWIIVHFRQGV?QGXUDWLRQ
2%-(&725,(17$7,21$1'&
2EMHFWRULHQWHG SURJUDPPLQJ UXOHV WKH SURJUDPPLQJ ODQJXDJH ZRUOG WRGD\
2EMHFWRULHQWHGGHVLJQLVDJRRGGHVLJQPHWKRGRORJ\WKDWKHOSVLQRYHUDOOGHVLJQRIWKH
VRIWZDUH 7KLV FKDSWHU H[SORUHV WKH UHODWLRQVKLS RI REMHFWRULHQWDWLRQ DQG & DQG KRZ WR
LPSOHPHQWREMHFWRULHQWHGGHVLJQLQ&
5HODWLRQVKLS%HWZHHQ2EMHFW2ULHQWHGDQG3URFHGXUDO/DQJXDJHV
7DNH DQ DEVWUDFW GDWD W\SH VD\ VWDFN 2EMHFWRULHQWHG ODQJXDJHV HQIRUFHV WKH
DFFHVVLELOLW\RIWKHVWDFNRQO\WRLWVPHPEHUIXQFWLRQVPHWKRGV ,WSUHYHQWVWKH LOOHJDO
XVHRIWKHGDWDE\WKHSURJUDPPHUSXUSRVHIXOO\VRPHWLPHVDQGDFFLGHQWDOO\PRVWRIWKH
WLPHV%\WKLVZD\LWDOORZVRQO\FHUWDLQRSHUDWLRQVRQLWWKHQHFHVVDU\GHWDLOVDUHNQRZQ
WR WKH XVHU SURJUDPPHU 7KH VDPH FDQ EH HQIRUFHG LQ SURFHGXUDO ODQJXDJH OLNH & E\
VWULFWVWDQGDUGVDQGWKHFDUHIXOFRGLQJE\WKHSURJUDPPHUEXWWKHVDPHOHYHORIGHVLJQ
UREXVWQHVVPD\QRWEHDFKLHYHGE\WKLVDSSURDFK
FRQWHQWVRIWKHILOH³VWDFNF´
W\SHGHILQWERROHDQ
WKHIROORZLQJDUHGDWDHOHPHQWV
1RWHWKDWWKHVWDWLFTXDOLILHUWKDWOLPLWVWKHPWRILOHVFRSH
VWDWLFLQWWRS
VWDWLFHOHPHQW7\SHDUUD\>67.B6,=(@
GHFODUDWLRQRIWKHIXQFWLRQDOHOHPHQWV
HOHPHQW7\SHSRS
YRLGSXVKHOHPHQW7\SH
ERROHDQLV(PSW\
ERROHDQLV)XOO
,Q D KLJK OHYHO RI DEVWUDFWLRQ HDFK ILOH FDQ EH WUHDWHG DV D FODVV 7KH JOREDO
YDULDEOHV VKDOO EHFRPH µSXEOLF¶ YDULDEOHV DQG WKH VWDWLF YDULDEOHV EHFRPH µSULYDWH¶
YDULDEOHV7KHIXQFWLRQVGHFODUHGDFWVRQWKHGDWDDYDLODEOHDUHPXFKOLNHWKHPHWKRGVLQ
REMHFWRULHQWHG ODQJXDJHV WKDW DFW RQ WKH FODVVREMHFW GDWD 0RVW RI WKH IXQFWLRQDOLW\ RI
REMHFWRULHQWDWLRQFDQEHYLHZHGOLNHWKLV%XWWKHµYDULDEOHV¶RIW\SHµVWDFNF¶WKDWLVWKH
ILOHFDQQRWEHFUHDWHGLQ&EHFDXVH&LVQRWPHDQWIRUWKDW
7KLV VWULNLQJ VLPLODULW\ EHWZHHQ WKH REMHFWRULHQWHG ODQJXDJHV LV QRW DFFLGHQWDO
2EMHFWRULHQWDWLRQLVVWURQJO\EDVHGRQSURFHGXUDOQDWXUHHYHQWKRXJKWKLVIDFWPD\QRW
EHDVHYLGHQWLQODQJXDJHVOLNH(IILHORU6PDOOWDONWKDQLQODQJXDJHVVXFKDV&
+RZ2EMHFW2ULHQWDWLRQLVEHWWHUWKDQ3URFHGXUDO
,Q PDQ\ IDFHWV REMHFWRULHQWDWLRQ VSDUHV EHWWHU WKDQ SURFHGXUDO RQH $V DQ
LOOXVWUDWLRQ RI WKLV LGHD OHW PH VKRZ KRZ REMHFWRULHQWDWLRQ FDQ LPSURYH UHDGDELOLW\
&RQVLGHUWKHIXQFWLRQV
VVFDQIFKDU
VSULQWIFKDU
WDNHILUVWDUJXPHQWDVFKDU
$OVRFRQVLGHU
IVFDQI),/(
ISULQWI),/(
WKDWWDNH),/( DVDUJXPHQWV$ORRNWKURXJKWKHVWDQGDUGOLEUDU\VKRZVWKDWWKHUHDUH
PDQ\ FORQHVIRUWKH VDPH VFDQI DQG SULQWI IXQFWLRQV WKDW DUH JHQHUDO SXUSRVH LQ XVHU
V
SRLQWRIYLHZ
,QDQREMHFWRULHQWHGODQJXDJH LIVDPHLPSOHPHQWDWLRQLVPDGHQDPHO\),/(DQG
6WULQJFODVVHVWKHIXQFWLRQVPD\EHFDOOHGOLNHWKLV
VWUVFDQI
VWUSULQWI
DQG
ISVFDQI
ISSULQWI
HWF ZKHUH WKH SULQWI DQG VFDQI QDPHV DUH XVHG ZLWK WKH VDPH QDPH EXW DIWHU D
TXDOLILFDWLRQ,QYHQWLRQRIQHZQDPHVLVQRWQHFHVVDU\DQGWKHUHDGDELOLW\DOVRLQFUHDVHV
EHFDXVHRIWKHXVDJHRISULQWIDQGVFDQILQGLIIHUHQWQDPHVSDFHV2UHOVHDVLQJOHYHUVLRQ
RIRYHUORDGHGVFDQIRUSULQWIIXQFWLRQVFDQEHSURYLGHGDQGGHSHQGLQJRQWKHDUJXPHQWV
SDVVHGWKHUHVROYLQJRIWKHIXQFWLRQDOLW\FDQWDNHSODFH
([WHQGLQJ WKH VDPH LGHD WR IRU WKH ),/( REMHFW \RX FDQ ORRN IRSHQ DV D
FRQVWUXWRUISULQWIIVFDQIIJHWFHWFDVPHPEHUIXQFWLRQVDQGIFORVHDVGHVWUXFWRU7KLV
OHDGVWRVLPSOLFLW\RIRUJDQL]DWLRQRILGHDVDQGHQFDSVXODWLRQDQGSRZHUDQGLVWKXVWKH
VXFFHVVRIREMHFWRULHQWHGSDUDGLJP
2EMHFW2ULHQWHG'HVLJQDQG3URFHGXUDO/DQJXDJHV
2EMHFWRULHQWHG GHVLJQV LQYROYH FRQFHSWV OLNH DEVWUDFWLRQ HQFDSVXODWLRQ WKDW DUH
GLUHFWO\LPSOHPHQWHGLQREMHFWRULHQWHGODQJXDJHV
6RPH DYLG REMHFWRULHQWHG GHVLJQHUV FODLP WKDW REMHFWRULHQWHG GHVLJQ FDQQRW EH
GRQH LQ SURJUDPPLQJ ODQJXDJHV VXFK DV & 1RWKLQJ LV IDU IURP WUXH (YHQ WKHUH LV DQ
H[LVWHQFH WKHRUHP VWDWLQJ WKDW 2EMHFWLYH& LV LPSOHPHQWHG LQ & WKHUH DUH HYHQ VRPH
DWWHPSWVWRZULWHREMHFWRULHQWHGFRGHLQDVVHPEO\ODQJXDJHV³,VREMHFWRULHQWHGGHVLJQ
XVLQJSURFHGXUDOODQJXDJHV HIILFLHQWHDV\DQGPDLQWDLQDEOH"´VKDOOEH D EHWWHU TXHVWLRQ
WRGLVFXVVDERXW
2EMHFWRULHQWHGGHVLJQVGRQRWUHTXLUHDQREMHFW±RULHQWHGODQJXDJHWRLPSOHPHQW
WKH GHVLJQV %XW VXFK GHVLJQV DUH EHVW LPSOHPHQWHG XVLQJ REMHFWRULHQWHG ODQJXDJHV
3URFHGXUDOODQJXDJHVFDQDOVREHXVHGWRLPSOHPHQWGHVLJQVLQDQREMHFWRULHQWHGIDVKLRQ
ZLWK VRPH GLIILFXOW\ (YHQ LI \RX GRQ¶W SODQ RU QHHG REMHFWRULHQWHG GHVLJQ IRU \RXU
SURJUDPPLQJLWZLOOEHXVHIXOWRXVHWKHREMHFWRULHQWHGLGHDV
>5XPEDXJKHWDO@SXWVWKLVDV³,PSOHPHQWLQJDQREMHFWRULHQWHGGHVLJQLQ
D QRQREMHFWRULHQWHG ODQJXDJH UHTXLUHV EDVLFDOO\ WKH VDPH VWHSV DV LPSOHPHQWLQJ D
GHVLJQ LQ DQ REMHFWRULHQWHG ODQJXDJH 7KH SURJUDPPHU XVLQJ D QRQREMHFWRULHQWHG
ODQJXDJH PXVW PDS REMHFWRULHQWHG FRQFHSWV LQWR WKH WDUJHW ODQJXDJH ZKHUHDV WKH
FRPSLOHUIRUDQREMHFWRULHQWHGODQJXDJHSHUIRUPVVXFKDPDSSLQJDXWRPDWLFDOO\´
6R SURFHGXUDO ODQJXDJHV OLNH & FDQ EH XVHG WR LPSOHPHQW WKH VDPH GHVLJQ
2EMHFWRULHQWHG ODQJXDJHV HQIRUFH WKH FRQVWUDLQWV H[WHUQDOO\ EXW WKH EDVH UHPDLQV WKH
VDPH7RLOOXVWUDWHWKHHDUO\LPSOHPHQWDWLRQVRI&FRQYHUWHGWKH&FRGHWR&FRGH
GRHV LW ORRNV VDPH DV REMHFWRULHQWHG SURJUDPV ZULWWHQ LQ &" (LIIHO LV DQ REMHFW
RULHQWHGODQJXDJH(LIIHOFRPSLOHUVWUDQVODWHVRXUFHSURJUDPVLQWR&$&FRPSLOHUWKHQ
FRPSLOHV WKH JHQHUDWHG FRGH WR H[HFXWH LW ODWHU $QRWKHU VXFK H[DPSOH LV WKH '60
ODQJXDJH
2EMHFWRULHQWDWLRQ LV QRW WKH SDQDFHD IRU DOO SUREOHPV LQ SURJUDPPLQJ DQG RQH
VXFK H[DPSOH LV WKH SHUIRUPDQFH GHJUDGDWLRQ 2I FRXUVH WKH PDLQ REMHFWLYH LQ XVLQJ
REMHFWRULHQWDWLRQ LV QRW SRZHU RU HIILFLHQF\ EXW PDNLQJ WKH SURJUDPV PRUH UREXVW
PDLQWDLQDEOH DQG UHXVDEOH HWF DQG WR PDNH WKH SURJUDPPHUV OLIH HDVLHU 6R LW LV ZRUWK
DSSO\LQJREMHFWRULHQWHGGHVLJQIRUXVHLQSURFHGXUDOODQJXDJHV
,PSOHPHQWLQJ22'HVLJQLQ3URFHGXUDO/DQJXDJHV
2EMHFWRULHQWHG ODQJXDJHV KDYH FODVV KLHUDUFKLHV EXLOW WKURXJK LQKHULWDQFH WR KDYH
FRGHUHXVH&RQYHQWLRQDOODQJXDJHVGRQ¶WKDYHWKDWPHFKDQLVPVRIRUFRGHUHXVHH[WUDZRUN
KDVWREHFDUULHGRXW
,Q >0DUWLQ HW DO @ WKH DXWKRUV KDYH PHQWLRQHG WKUHH EDVLF ZD\V WR GR WKLV
ZLWKFRQYHQWLRQDOODQJXDJHV
3K\VLFDOO\FRS\FRGHIURPVXSHUW\SHPRGXOHVFRS\WKHFRGHDQGKDYHSURSHU
PDLQWHQDQFHSURFHGXUHVIRUWKDW
&DOOWKHURXWLQHLQVXSHUW\SHPRGXOHVFDOOWKHFRSLHGPRGXOHVIURPWKHH[WUD
FRGHZLWKSURSHU PDLQWHQDQFH FRGH 7KLV ZRUNV DV ORQJ DV DOO WKH LQIRUPDWLRQ
UHJDUGLQJWKHVXEW\SHVDUHNQRZQDQGFOHDURIZKDWDVSHFWVWRLQKHULW
7KLVLVQRWDFDWHJRULFDOVWDWHPHQW,W¶VMXVWFRPSDULVRQRISHUIRUPDQFHRISURFHGXUDO9VREMHFWRULHQWHG
ODQJXDJHVWRJLYH)RUWUDQDQG&DVH[DPSOHVRIKLJKSHUIRUPDQFHODQJXDJHV
%XLOGDQLQKHULWDQFHVXSSRUWV\VWHP
6LPLODUO\LVVXHVFRQFHUQLQJWKHKDQGOLQJRIPHWKRGVFDQEHKDQGOHG
,PSOHPHQWLQJ22'HVLJQLQ&
& LV RQH RI WKH IHZ SURFHGXUDO ODQJXDJHV IRU ZKLFK REMHFWRULHQWDWLRQ FDQ EH
HDVLO\LPSOHPHQWHG7KLVLVEHFDXVHRILWVIHDWXUHVOLNHSUHVHQFHRISRLQWHUVSDUWLFXODUO\
IXQFWLRQSRLQWHUVLWVORRVHO\W\SHGQDWXUHG\QDPLFPHPRU\DOORFDWLRQ/HWVQRZGLVFXVV
KRZ YDULRXV REMHFWRULHQWHG LGHDV FDQ EH LPSOHPHQWHG LQ & XVLQJ WKHVH IHDWXUHV
WKHRUHWLFDOO\ DQG KDYLQJ DQ H[DPSOH DIWHU WKDW IRU LOOXVWUDWLQJ KRZ WKHVH FRQFHSWV
PDWHULDOL]H
¾ 5HSUHVHQWLQJ&ODVVHV
,Q&HDFKFODVVFDQEHLPSOHPHQWHGDVDVWUXFWXUHZLWKRQHWRRQHFRUUHVSRQGHQFH
EHWZHHQWKH FODVVGDWD PHPEHUV DQG WKH VWUXFWXUH PHPEHUV ,Q RWKHU ZRUGV WKH FODVVHV
DUH FRQYHUWHG WR HTXLYDOHQW GDWDVWUXFWXUHV WR EH UHSUHVHQWHG SURFHGXUDOO\ $OO WKH
PHWKRGVRIWKHFODVVZLWKWKHVWUXFWXUHVKRXOGEHSXWLQWRDVHSDUDWHILOHXQLW
¾ (QFDSVXODWLRQ
& GRHV DOORZ HQFDSVXODWLRQ EXW WKLV UHTXLUHV GLVFLSOLQH 7R LPSURYH WKH
HQFDSVXODWLRQLQ&WKHIROORZLQJUXOHVKDYHWREHIROORZHG>5XPEDXJKHWDO@
$YRLGXVHRIJOREDOYDULDEOHV
3DFNDJHPHWKRGVIRUHDFKFODVVLQWRDVHSDUDWHILOH
7UHDWREMHFWVRIRWKHUFODVVHVDVW\SH³YRLG ´
¾ 5HSUHVHQWLQJ0HWKRGV
7KHIXQFWLRQFDOOVFDQEH UHVROYHG VWDWLFDOO\ DQG VR FRPSLOHWLPH SRO\PRUSKLVP
FDQEHLPSOHPHQWHGVRDVWRLPSOHPHQWFODVVDQGREMHFWPHWKRGV
¾ &UHDWLQJREMHFWV
&UHDWLQJ REMHFWV LV MXVW WKH VDPH DV FUHDWLQJ VWUXFWXUH YDULDEOHV %XW WKH
LQLWLDOL]DWLRQ FRQVWUXFWRU DQG GHVWUR\HU GHVWUXFWRU IXQFWLRQV KDYH WR EH FDOOHG
H[SOLFLWO\7KHG\QDPLFDOORFDWLRQIDFLOLW\PDOORFDQGIUHHFDQEHXVHGIRUWKDW
¾ ,QKHULWDQFH
&¶V RQH RI ORZOHYHO IHDWXUH WKH IXQFWLRQ SRLQWHU LV XVHIXO LQ LPSOHPHQWLQJ
DFWXDOO\HPXODWLQJLQKHULWDQFH,Q&UXQWLPHSRO\PRUSKLVPFDQQRWEHLPSOHPHQWHG
¾ 0LVFHOODQHRXVVXSSRUW
2EMHFWRULHQWHG ODQJXDJHV VXSSRUW WKH FRQFHSW RI SRLQWHU WR WKH VHOI OLNH µWKLV¶
SRLQWHULQ&DQGµVHOI¶LQ$GD3DVVLQJ DQH[WUDSDUDPHWHU DV ILUVW SDUDPHWHUWR DOO
WKHREMHFWPHWKRGVLQWKHVWUXFWXUHFDQGRWKDW
22,PSOHPHQWDWLRQRID6WDFN
&RQVLGHU WKH IROORZLQJ LPSOHPHQWDWLRQ RI D VWDFN WKDW LV EDVHG RQ WKH REMHFW
RULHQWHGSULQFLSOHV
,PSOHPHQWLQJWKHEDVLFSDUWV
W\SHGHIVWUXFWVWDFNVWDFN
VWUXFWVWDFN^
WKHGDWDHOHPHQWV
LQWWRS
HOHPHQW7\SHDUUD\>67.B6,=(@
WKHIXQFWLRQDOHOHPHQWV
HOHPHQW7\SH SRSVWDFN
YRLG SXVKVWDFN HOHPHQW7\SH
ERROHDQ LV(PSW\VWDFN
ERROHDQ LV)XOOVWDFN
`
7KLVEHFRPHVWKHVNHOHWRQRULQREMHFWRULHQWHGWHUPLQRORJ\DVFODVV,WLVPDSSHG
DV D GDWDVWUXFWXUH LQ IRUP RI D VWUXFWXUH WKDW KDV HQFDSVXODWLRQ DQG WKH PHWKRGV DUH
LPSOHPHQWHGXVLQJIXQFWLRQSRLQWHUV
,I\RXZDQWWKHYDULDEOHREMHFWRIW\SHVWDFNLW¶VMXVWDVVLPSOHDV
VWDFND6WDFN
%XW WKLV KDV IXQFWLRQ SRLQWHUV WKDW KDYH WR EH LQLWLDOL]HG 7KH IXQFWLRQ SRLQWHUV
KDYHWREHLQLWLDOL]HGE\ZULWLQJWKHIXQFWLRQV
HOHPHQW7\SHSRS)XQVWDFN VWN
^
LIVWN!WRS
UHWXUQVWN!DUUD\>VWN!WRS@
SULQWI(UURU1RWKLQJWRSRSIURPVWDFN
YRLGSXVK)XQVWDFN VWNHOHPHQW7\SHHOHPHQW
LIVWN!WRS67.B6,=(
VWN!DUUD\>VWN!WRS@ HOHPHQW
HOVH
SULQWI(UURU6WDFNLVIXOO&DQQRWSXVK
6LPLODUO\WKHIXQFWLRQVLV(PSW\)XQDQGLV)XOO)XQLVWREHZULWWHQ
1RZDQLQLWLDOL]HUIXQFWLRQFRQVWUXFWRUKDVWREHFDOOHGIRUHDFKYDULDEOHEHIRUH
LWLVXVHGWKDWWDNHVWKHUHVSRQVLELOLW\RILQLWLDOL]LQJYDULDEOHHOHPHQWVSURSHUO\
+HUHLQRXUH[DPSOHLWVKRXOGEHLQLWLDOL]HWKHD6WDFNDVIROORZV
YRLGLQLWVWDFN VWN
VWN!WRS
VWN!SRS SRS)XQ
VWN!SXVK SXVK)XQ
VWN!LV(PSW\ LV(PSW\)XQ
VWN!LV)XOO LV)XOO)XQ
`
7KHFRGHZKLFKXVHVWKLVVWDFNVWUXFWXUHORRNVOLNHWKLV
LQWPDLQ
VWDFND6WDFN
LQLW D6WDFN
D6WDFNSXVK D6WDFN
SULQWIGD6WDFNSRS D6WDFN
,PSURYLQJWKHEDVLFVWUXFWXUH
7KLVLPSOHPHQWDWLRQMXVWGRHVZKDWLVUHTXLUHGDQGFDQEHLPSURYHG 7KH VSDFH
FDQ EH PDGH DOORFDWHG G\QDPLFDOO\ DQG IUHHG ZKHQ WKH VFRSH H[LWV )RU VXFK G\QDPLF
DOORFDWLRQWREHGRQHWKHLQLWIXQFWLRQKDVWREHFKDQJHG
YRLGLQLWVWDFN VWN
VWN VWDFN PDOORFVL]HRIVWDFN
LIVWN
SULQWI³HUURU LQ DOORFDWLQJ PHPRU\ IRU
REMHFW´
H[LW
VWN!WRS
VWN!SRS SRS)XQ
VWN!SXVK SXVK)XQ
VWN!LV(PSW\ LV(PSW\)XQ
VWN!LV)XOO LV)XOO)XQ
6XEVHTXHQWO\WKHZD\ RI FUHDWLRQ RI REMHFWV LV DOVR FKDQJHG WR VXSSRUW G\QDPLF
DOORFDWLRQ
VWDFN VRPH6WDFN
LQLWVRPH6WDFN
,Q WKH VWUXFWXUH \RX FDQ VHH WKDW IRU HDFK IXQFWLRQ PHWKRG VXSSRUWHG LQ WKH
VWUXFWXUH WKH IXQFWLRQ SRLQWHUV RFFXSLHV VSDFH 6LQFH WKH IXQFWLRQV DUH JRLQJ WR UHPDLQ
VDPHIRUDOOWKHREMHFWVDVVRFLDWHGZLWKWKHFODVVWKH\FDQEHSXWLQDVHSDUDWHVWUXFWXUH
FDOOHGDVµFODVVGHVFULSWRU¶7KLVZLOOPDNHWKH6WDFNVWUXFWXUHWRFRQWDLQ
VWUXFWVWDFN^
WKHGDWDHOHPHQWV
LQWWRS
HOHPHQW7\SHDUUD\>67.B6,=(@
WKHIXQFWLRQDOHOHPHQWVDUHLQFODVVGHVFULSWRU
VWUXFWFODVV'HVFULSWRU VWUXFW'HVFULSWRU
`
7KHFODVVGHFULSWRUZLOOFRQWDLQWKHIROORZLQJPHWKRGV
VWUXFWFODVV'HVFULSWRU^
HOHPHQW7\SH SRS6WDFN
YRLG SXVK6WDFN HOHPHQW7\SH
ERROHDQ LV(PSW\6WDFN
ERROHDQ LV)XOO6WDFN
`
1RZ HYHU\ REMHFW RI WKH VWDFN W\SH LV HQRXJK WR FRQWDLQ WKH SRLQWHU WR WKH
FODVV'HVFULSWRU7KLVZLOOJUHDWO\PLQLPL]HWKHVL]HRIWKHREMHFWUHTXLUHGWRVXSSRUWWKH
PHPEHUIXQFWLRQV7KHSULFHLVWKHH[WUDOHYHORILQGLUHFWLRQWKDWKDYHWREHDSSOLHGIRU
HYHU\IXQFWLRQFDOORIWKDWFODVV
,PSOHPHQWLQJ,QKHULWDQFH
7KHVDPHLGHDRIFODVVGHVFULSWRULVEHXVHGIRULPSOHPHQWLQJLQKHULWDQFH6LQJOH
LQKHULWDQFH LV GLUHFW DQG HDV\ $GG WKH QHZ GDWD DQG FODVV GHVFULSWRUV WR WKH QHZ FODVV
GHVFULSWRU %XW LPSOHPHQWLQJ PXOWLSOH LQKHULWDQFH LV QRW SRVVLEOH E\ IROORZLQJ WKLV
PHWKRG
7KLV LV DQ H[DPSOH RI KRZ WKH REMHFWRULHQWDWLRQ FDQ EH LPSOHPHQWHG LQ &
6LPLODUO\WKHIHDWXUHVOLNHSRO\PRUSKLVPH[FHSWLRQKDQGOLQJHWFFDQEHKDQGOHG 7KHVH
IHDWXUHVDUHPRUHH[SORLWHGLQWKHREMHFWRULHQWHGODQJXDJHVWKDWJHQHUDWH&DVWKHWDUJHW
FRGHWKDQWKH&SURJUDPPHUVGR7KHROGHUYHUVLRQVRI&DQG2EMHFWLYH&KDGVLPLODU
NLQGRIREMHFWWHFKQRORJ\LPSOHPHQWDWLRQ
$V D ZKROH &¶V ORRVH W\SH FKHFNLQJ SRLQWHUV G\QDPLF PHPRU\ DOORFDWLRQ
IXQFWLRQVLWVH[SUHVVLYHIOH[LEOHQDWXUHDOORZVREMHFWRULHQWHGFRQFHSWVEHLPSOHPHQWHG
LQLWDIWHUVRPHZRUN0DQ\RIWKHODQJXDJHVDQGDSSOLFDWLRQV\VWHPVLQGHHGJHQHUDWH&
FRGHDVRXWSXW
7KH XVHUV ZKR DUH PRUH LQWHUHVWHG ERWK LQ WKH & DQG WKH REMHFW WHFKQRORJ\ WKH
VROXWLRQVDUHWKHREMHFWH[WHQVLRQVWRWKH&ODQJXDJHOLNH&DQG-DYDDQGSRVVLEO\&
LQ QHDU IXWXUH %XW LW ZLOO EH LQWHUHVWLQJ WR VHH KRZ & LWVHOI FDQ EH XVHG WR HPXODWH
REMHFWRULHQWHG FRQFHSWV 7R HODERUDWH XSRQ KRZ & FDQ EH XVHG WR LPSOHPHQW REMHFW
RULHQWHGGHVLJQOHWVKDYHDQH[DPSOH
$V , KDYH VDLG LW LV SRVVLEOH EXW LW GRHVQ¶W PHDQ WKDW ZH KDYH WR XVH REMHFW
RULHQWDWLRQLQ&&LVQRWPHDQWIRUREMHFWRULHQWDWLRQDQGQHLWKHULVGHVLJQHGKDYLQJLWLQ
PLQG&LVEHWWHUXVHGDVDV\VWHPSURJUDPPLQJODQJXDJHDQGWKDW¶VZKDWLWLVPHDQWIRU
,I \RX ZDQW WR GHYHORS DQ REMHFWRULHQWHG V\VWHP EHWWHU XVH DQ REMHFWRULHQWHG
ODQJXDJH %XW ZKDW DERXW WKH PLOOLRQV RI FRGH ZULWWHQ LQ &" ,I , ZDQW REMHFWRULHQWHG
GHVLJQ WKHQ VKRXOG , VWDUW HYHU\WKLQJ IURP VFUDWFK IRUJHW DQG WKURZ DOO WKH KDUG ZRUN
SUHYLRXVO\ GRQH" ,Q VXFK FDVHV WKH LGHD RI XVLQJ & IRU REMHFWRULHQWHG GHVLJQ LV
DWWUDFWLYH 1HYHUWKHOHVV GHVLJQLQJ VXFK V\VWHPV LV QRQLQWXLWLYH KDUGWRPDQDJH DQG
WRXJK%XWLWZLOOVHUYHWKHSXUSRVH7KHH[DPSOHZHMXVWVDZH[SORUHVWKHSRVVLELOLWLHVRI
LPSOHPHQWLQJVXFKREMHFWRULHQWDWLRQLQ&
&-DYD&DQG2EMHFWLYH&
7RGD\&DQG-DYDDUHWKHPRVWIDPRXVREMHFWRULHQWHGODQJXDJHV
& IROORZV WKH PHUJHG DSSURDFK ZLWK & WR WKDW RI RUWKRJRQDO DSSURDFK E\
2EMHFWLYH& 7KLV PHDQV WKDW WKH & SURJUDPV FDQ VWLOO EH ZULWWHQ LQ & DQG & LV
HVVHQWLDOO\DVXEVHWRI&
& LV D QHZ ODQJXDJH IURP 0LFURVRIW $OO WKH WKUHH DUH REMHFWRULHQWHG DQG DUH
EDVHG RQ & 7KH\ KDYH WKH VWURQJ EDVH EXLOW E\ & 7KH\ LPSURYH XSRQ & E\ KDYLQJ
REMHFWRULHQWDWLRQ UHPRYLQJ WKH SUREOHPDWLF DQG HUURQHRXV SDUWV RI & DQG DGG XSRQ
IHDWXUHVWKDWPDNHWKHPIXOOIOHGJHGODQJXDJHVRIWKHLURZQ
-DYDLVFRPPHUFLDOO\VXFFHVVIXODQGLVDSXUHREMHFWRULHQWHGODQJXDJH
6HSDUDWHFKDSWHUVDUHGHYRWHGIRUGLVFXVVLQJWKHODQJXDJHV&-DYDDQG&DVD
FRPSDULVRQEHWZHHQ&
$OWKRXJK2EMHFWLYH&LVDODQJXDJHWKDWLVEDVHGRQ&LWZDVQRWFRPPHUFLDOO\
PXFKVXFFHVVIXO6RLWLVGLVFXVVHGKHUH
2EMHFWLYH&
2EMHFWLYH& LV GHVLJQHG DW WKH 6WHSVWRQH &RUSRUDWLRQ E\ %UDG &R[ ,W LV DQ
RUWKRJRQDODGGLWLRQRIREMHFWRULHQWHGLGHDVWR&2UWKRJRQDODGGLWLRQPHDQVWKDWWKHUHLV
DQDGGLWLRQDOOD\HURIREMHFWRULHQWDWLRQDQGWKHFRGHLVLQWXUQFRQYHUWHGWREDUH&FRGH
7KLVNLQGRIGHVLJQKDVDSDUWLFXODUDGYDQWDJH7KHV\QWD[QHHGQRWEHWKHVDPHDVWKDWRI
&DQGFDQKDYHLWVRZQFRQVWUXFWV
2EMHFWLYH& LV EDVHG RQ RUGLQDU\ & ZLWK D OLEUDU\ RIIHULQJ PXFK RI WKH REMHFW
RULHQWHG IXQFWLRQDOLW\ ,W LQWURGXFHV D QHZ GDWDW\SH REMHFW LGHQWLILHU DQG D QHZ
RSHUDWLRQ PHVVDJH SDVVLQJ DQG LV D VWULFW VXSHUVHW RI & 2EMHFWLYH& RSHUDWHV DV D
SUHSURFHVVRU ZKLFK DFFHSWV WKH 2EMHFWLYH& FRGH WR FRQYHUW LW LQWR D RUGLQDU\ & FRGH
ZKLFKLVSURFHVVHGWKHQE\D&FRPSLOHU
&DQG&
1RZWKHZKROHHDUWKXVHGWKHVDPHODQJXDJH
DQGWKHVDPHZRUGV
*HQHVLV
µ&ZLWKFODVVHV¶ZDVWKHDQVZHUWRWKHREMHFWRULHQWHGH[WHQVLRQWR&ODQJXDJHE\
%MDUQH6WURXVWUXS,WZDVPRGLILHGDQGQDPHGDV&&LVDVHSDUDWHODQJXDJHWKDWLV
FRPSOH[DQGKXJHFRPSDUHGWR&DQGDSSURDFKWRZDUGVWKHSUREOHPVROYLQJLWVHOIGLIIHUV
IURP & 2QH RI WKH PDLQ UHDVRQV EHKLQG WKH SRSXODULW\ RI & LV GXH WR LWV EDFNZDUG
FRPSDWLELOLW\ZLWK&
³&ZDVFKRVHQDVWKHEDVHODQJXDJHIRU&EHFDXVHLW
LVYHUVDWLOHWHUVHDQGUHODWLYHO\ORZOHYHO
LVDGHTXDWHIRUPRVWV\VWHPVSURJUDPPLQJWDVNV
UXQVHYHU\ZKHUHDQGRQHYHU\WKLQJDQG
ILWVLQWRWKH81,;SURJUDPPLQJHQYLURQPHQW´
FUHDWRURI&%MDUQH6WURXVWUXS>6WURXVWUXS@
$OPRVW HYHU\ & SURJUDP LV D YDOLG & SURJUDP & ZDV ILUVW LPSOHPHQWHG DV
WUDQVODWLRQLQWR&E\XVHRIDSUHSURFHVVRU1RZDOPRVWDOOWKHDYDLODEOH&FRPSLOHUV
FRQYHUW & SURJUDPV GLUHFWO\ WR REMHFW FRGH & LPSURYHV XSRQ & E\ FKDQJLQJ WKH
µSUREOHPDWLF¶ FRQVWUXFWVLQ&6LQFHERWKWKH ODQJXDJH VXSSRUW GLIIHUHQW SDUDGLJPV LW LV

QRWZRUWKZULWLQJSURJUDPVLQ&DVµSXUH&¶8QOHVV\RXLQWHQGWRGRREMHFWRULHQWHG
SURJUDPPLQJLWLVEHWWHUWRVWLFNWR&SURJUDPPLQJ6WLOOLI\RXZDQWWRGRSURJUDPPLQJ
LQ & \RX VKRXOG UHPHPEHU FHUWDLQ LPSRUWDQW SRLQWV WKDW DUH VLJQLILFDQWO\ GLIIHUHQW
IURP&
7KH5DZ3RZHU2I&
&LVDV\VWHPVSURJUDPPLQJODQJXDJHDQGVRKDVUDZSRZHUDQG&HQMR\VWKH
VDPHGXHWRLWVEDFNZDUGFRPSDWLELOLW\ZLWK&)RUH[DPSOHWKHXVHRISRLQWHUVLQ&LV
PDLQO\GXHWRLWVLPPLQHQWXVHLQ&WKDWLVDYHU\SRZHUIXOIHDWXUH
$QRWKHU H[DPSOH LV RI SUHSURFHVVRU & XVHV SUHSURFHVVRU EHFDXVH & XVHV LW
3UHSURFHVVRULVDQDLYHWRROIRUVHULRXVSURJUDPPLQJZKHUHDVYLUWXDOIXQFWLRQVRI&
DUH YHU\ SRZHUIXO WKDW SURYLGHV UXQWLPH SRO\PRUSKLVP /HWV ORRN DW DQ H[DPSOH ZKHUH
SUHSURFHVVRUPDFURVDUHSUHIHUDEOHWRYLUWXDOIXQFWLRQV
>'-.@ GHVFULEHV D VLWXDWLRQ ZKHUH WKH RYHUKHDG RI YLUWXDO IXQFWLRQV LV
VLJQLILFDQW
0HVVDJH PDSV
DUH XVHG IRU SDVVLQJ VSHFLILHG PHVVDJHV WR GHULYHG FODVV
PHPEHU IXQFWLRQV +DG 0)& XVHG YLUWXDO IXQFWLRQV IRU PHVVDJHV LW KDV WR DOORFDWH
E\WHVIRUHDFKFRQWUROWKDWWKHDSSOLFDWLRQQHHGV(DFKFRQWUROKDVWRLQKHULWIURP
DKLHUDUFK\RIQHDUO\ZLQGRZFODVVHVGHULYHGIURP&:QGDQG&:QG,WDOVRGHFODUHV
YLUWXDOIXQFWLRQVIRUPRUHWKDQPHVVDJHV$VVXPHWKDWVL]HRILQW DQGVRLWXVHVD
YWEO WKDW QHHGV E\WH HQWU\ IRU HDFK IXQFWLRQ 6R LW FRPHV RXW WKDW FRQWRO QHHGV WR JHW
DOORFDWHGE\WHV IRUVXSSRUWLQJYLUWXDOIXQFWLRQV6RLWLVEHWWHUWRJR
IRUPDFURVZKHUHQRVXFKPHPRU\RYHUKHDGLVWKHUHLQVXFK FDVHV7KLVLVDQH[DPSOH
IRUDVLWXDWLRQZKHUHWKHVHOHFWLRQRIDODQJXDJHIHDWXUHWRXVHEDVHGRQWKHUHTXLUHPHQW
DWKDQG
0\ SRLQW LV WKDW GXH WR LWV ORZOHYHO QDWXUH & KDV PXFK SRZHU 6LQFH & LV
VXSHUVHWRI&LWPDNHVXVHRIWKLVUDZSRZHUZKHQWKHUHLVDQHHG
6XEWOHGLIIHUHQFHVEHWZHHQ&DQG&
(YHQWKRXJK&LVDVXSHUVHWRI&WKHUHDUHVXEWOHGLIIHUHQFHVEHWZHHQWKHWZR
8QGHUVWDQGLQJWKHVHGLIIHUHQFHLVFUXFLDOLQXQGHUVWDQGLQJWKHSUREOHPVDVVRFLDWHGZLWK
PDLQWDLQLQJWKHFRPSDWLELOLW\DQGPLJUDWLRQIURP&WR&,QSDUWLFXODUIURP$16,&
WR$16,&
x ,PSOLFLWLQWLVUHPRYHG7KHLPSOLFLWDVVXPSWLRQRILQWLVQR ORQJHU DVVXPHG
ZKHUHLWLVUHTXLUHG7KXV
VWDWLFL
FRQVWL
IRRÛHWXUQ`
LPSOLFLWUHWXUQW\SHLQWDVVXPHG
DUH QR ORQJHU OHJDO 7KLV LPSOLFLW DVVXPSWLRQ RI LQW ZDV D VXEWOH VRXUFH RI
FRQIXVLRQDQGHUURUVDQGLWUHGXFHVWKHUHDGDELOLW\
x ,PSOLFLWFKDUWRLQWLVUHPRYHG,Q&WKHDXWRPDWLFFRQYHUVLRQIURPFKDUWRLQW
LVPDGHLQWKHFDVH ZKHUHFKDUYDULDEOHVLQYROYH LQ H[SUHVVLRQV %XW LQ &
WKLVFRQVWUDLQWLVUHPRYHG
7KLV LV YHU\ FRPPRQ LQ & (YHQ WKH VWDQGDUG OLEUDU\ LQ & GRHV WKLV 7KH
SURWRW\SHIRUJHWFKDULV
LQWJHWFKDU
DQGLWLVFRPPRQWRKDYHDVVLJQPHQWVOLNHWKLV
FKDUFK JHWFKDU
7KH LPSOLFLW FRQYHUVLRQ IURP FKDU WR LQW LV QRW YDOLG LQ & EHFDXVH & LV
VWURQJO\W\SHGWR&
x ,PSOLFLW FDVWLQJV WR YRLG LV UHPRYHG $ YHU\ JRRG H[DPSOH LV WKDW RI
PDOORFPDOORFUHWXUQVYRLG DQGLWLVFRPPRQLQ&WRDVVLJQOLNHWKLV
LQW LSWU PDOORFVL]HRILQW
LPSOLFLWFRQYHUVLRQIURPYRLG WRLQW
YDOLGLQ&EXWQRW&
7KHUHDVRQLVVDPH&LVPRUHVWURQJO\W\SHGWKDQ&7KLVH[SOLFLWFDVWLQJ
PDNHV SURJUDPPHUV LQWHQWLRQ FOHDUHU DQG SUHYHQWV XQQHFHVVDU\ EXJV GXH WR
LPSOLFLWFRQYHUVLRQ
x 7UDQVODWLRQOLPLWVDUHLQFUHDVHG
x &DOOLQJ PDLQ IURP ZLWKLQ WKH SURJUDP LV DOORZHG LQ & EXW LQ & LW LV
SURKLELWHG7KXV
LQWPDLQ
^
PDLQ
OHDGVWRLQILQLWHORRSLQ&
$QHUURULVLVVXHGLIGRQHLQ&
&DOOLQJ PDLQ DJDLQ PDNHV QR VHQVH DQG & FRUUHFWV WKLV SUREOHP E\
GLVDOORZLQJPDLQWREHFDOOHGIRUPDQ\ZKHUHIURPWKHSURJUDP
x 7DNLQJDGGUHVVRIDUHJLVWHUYDULDEOHLVQRZSRVVLEOHLQ&
x ZFKDUBWLVDEXLOWLQGDWDW\SHLQ&ZKLFKZDVSUHYLRXVO\µW\SHGHI¶LQHGLQ
&7KLVSULPDULO\LVWRLQFUHDVHWKHVXSSRUWWKHWZRE\WHFRGLQJVFKHPHVOLNH
8QLFRGHWKDWDUHEHFRPLQJLQFUHDVLQJO\SRSXODU
x &&RQVROHDQG)LOH,2DUHGLIIHUHQW%XWLQ&WKHUHLVQRWPXFKGLIIHUHQFH
EHWZHHQWKHWZR
x FRQVWVFDQEHXVHGIRUVSHFLI\LQJVL]HRIDUUD\VLQ&EXWQRWLQ&
FRQVWLQWVL]H
LQWDUUD\>VL]H@OHJDOLQ&
x ,Q&WKHVL]HRIHQXPHUDWLRQFRQVWDQWLVVL]HRILQWEXWQRWLQ&,Q&WKH
VL]H RI WKH HQXPHUDWHG PD\ EH VPDOOHU RU JUHDWHU WKDQ VL]HRILQW 7KLV LV
EHFDXVHWKHLPSOHPHQWDWLRQVPD\VHOHFWWKHPRUHDSSURSULDWHVL]HWRUHSUHVHQW
WKHHQXPHUDWHGFRQVWDQWV
x 8VLQJSURWRW\SHVIRUIXQFWLRQVLVRSWLRQDOLQ&%XWLQ&IXQFWLRQVDUHQRW
IRUZDUGUHIHUHQFHGDQGIXQFWLRQSURWRW\SHVDUHDPXVW
x 7HQWDWLYH GHILQLWLRQV DUH QRW DOORZHG LQ & 7KH H[DPSOH WKDW ZH VDZ IRU
WHQWDWLYHGHILQLWLRQEHFRPHVLOOHJDOLQ&
WKLVLVLQJOREDODUHD
LQWL
WHQWDWLYHGHILQLWLRQ7KLVEHFRPHVGHFODUDWLRQDIWHUVHHLQJ
WKHQH[WGHILQLWLRQ
LQWL
GHILQLWLRQ/HJDOLQ&QRWLQ&
x 7KHXVHRI18//SRLQWHUV,Q&18//LVQRUPDOO\GHILQHGDV
GHILQH18//YRLG
,Q&18//LVXVHGXQLYHUVDOO\IRULQLWLDOL]LQJDOOSRLQWHUW\SHV
LQW LSWU 18//
VLQFHLPSOLFLWFRQYHUVLRQIURPYRLG LVUHPRYHGWKLVLV
LQYDOLGLQ&
,Q&18//LVXVXDOO\GHILQHGDV
FRQVWLQW18// RU
GHILQH18//
WKLVLVEHFDXVHRIWKHVDPHUHDVRQLQ&LVDVWURQJO\W\SHGODQJXDJH
&SURJUDPPHUVSUHIHUXVLQJSODLQRU/IRUORQJWRXVLQJ18//
FKDU FSWU
&SURJUDPPHUVSUHIHUWKLVWR18//
ORQJ OSWU /
WKLVLVDORQJW\SHSRLQWHU
x ,Q & WKH JOREDO FRQVW YDULDEOHV E\ GHIDXOW KDYH H[WHUQDO OLQNDJH $OO FRQVW
YDULDEOHVWKDWDUHQRWLQLWLDOL]HGZLOOEHDXWRPDWLFDOO\VHWWR]HUR%XWLQ&
JOREDOFRQVWYDULDEOHVKDYHVWDWLFOLQNDJH DQGDOOWKHFRQVWYDULDEOHVPXVWEH
H[SOLFLWO\LQLWLDOL]HG
FRQVWLQWL
HUURULQ&LKDVWREHH[SOLFLWO\LQLWLDOL]HG
FRQVWIORDWI
KDVVWDWLFOLQNDJH
'RHVWKHIROORZLQJFRGHLQ&KDYHVWDWLFRUJOREDOOLQNDJH"
FRQVWFKDU VWU ³VRPHWKLQJ´
µVWU¶ KDV JOREDO OLQNDJH µVWU¶ LV D SRLQWHU WR D FRQVW FKDUDFWHU ,W LV QRW D
FRQVWDQWSRLQWHU+HQFHLWKDVJOREDOOLQNDJH7RIRUFHVWDWLFOLQNDJHPRGLI\
WKHGHFODUDWLRQOLNHWKLV
FRQVWFKDU FRQVWVWU ³VRPHWKLQJ´
QRZµVWU¶KDVVWDWLFOLQNDJH
x ,Q & WKHUH VKRXOG EH HQRXJK VSDFH IRU 18// WHUPLQDWLRQ FKDUDFWHU LQ
VWULQJFRQVWDQWV
FKDUYRZHOV>@ ³DHLRX´
LVLQYDOLGLQ&EXWYDOLGLQ &
%\PLVWDNHWKHSURJUDPPHUPD\KDYHIRUJRWWHQWR JLYHVSDFHIRUWKH18//
WHUPLQDWLRQ FKDUDFWHU SXWVYRZHOV ZLOO SULQW XSWR 18// WHUPLQDWLRQ WKDW
ZLOO EH HQFRXQWHUHG VRPHZKHUH HOVH 6LQFH WKH DFFHVVLV EH\RQG WKH OLPLW RI
FKDUDFWHU DUUD\ WKLV OHDGV WR XQGHILQHG EHKDYLRU 7R SUHYHQW VXFK SUREOHPV
WKLVLVIODJJHGDVDQHUURULQ&
x 7KHUH H[LVW VRPH YHU\ VXEWOH GLIIHUHQFH EHWZHHQ & DQG & 2QH VXFK
H[DPSOH LV WKH UHVXOW RI DSSO\LQJ D SUHIL[ RSHUDWRU WR D YDULDEOH ,Q & LW
\LHOGV DQ UYDOXH [Kernighan and Ritchie 1988] %XW LQ & LW
\LHOGVDQOYDOXH
LQWL
L
HUURULQERWK&DQG&
L
HUURULQ&EXWYDOLGLQ&
L
HUURULQ&EXWYDOLGLQ&
x 7KHVL]HRIDFKDUDFWHUFRQVWDQWLVWKHVL]HRILQWLQ&7KLVLVIROORZHGLQ&
EHFDXVHLQWLVWKHPRVWHIILFLHQWGDWDW\SH WKDW FDQ EH KDQGOHG %XW LW ZDVWHV
PHPRU\WRR,IWKHVL]HRIDQLQWHJHULVE\WHVWKHQWKHFKDUDFWHUFRQVWDQWDOVR
WDNHVE\WHVZKLFKLVZHLUG ,Q&VL]HRID FKDUDFWHUFRQVWDQWLVQRPRUH
WKHVL]HRILQWUDWKHUPRUHQDWXUDOO\LWLVWKHVL]HRIFKDUDFWHU
LIVL]HRIµD¶ VL]HRIFKDU
SULQWI³WKLVLV&´
HOVHLIVL]HRIµD¶ VL]HRILQW
SULQWI³WKLVLV&´
x ,Q & \RX FDQQRW E\HSDVV DQ\ GHFODUDWLRQV RU LQLWLDOL]DWLRQV WKDW DUH QRW
JLYHQZLWKLQDVHSDUDWHEORFNE\XVLQJMXPSVDUHWKHUH6XFKMXPSVFDQRFFXU
LQFDVHVOLNHVZLWFKFDVHVUHWXUQFRQWLQXHDQGEUHDNVWDWHPHQWV
VZLWFKVRPHWKLQJ
FDVHµD¶LQWM
EUHDN
FDVHµE¶M
GHFODUDWLRQRIMPD\EHPLVVLQJHUURU
EUHDN
FDVHµF¶SULQWI³G´M
%RWKWKHGHFODUDWLRQDQGLQLWLDOL]DWLRQRIMPD\EHPLVVLQJ
HUURU
`
7KLV LV EHFDXVH LI WKH GHFODUDWLRQV DQG LQLWLDOL]DWLRQV DUH VNLSSHG DQG WKH
GHVWUXFWRUVPD\EHFDOOHGZLWKRXWWKHFDOORIFRUUHVSRQGLQJFRQVWUXFWRUV
JRWRHQG
LQWM
HQG
WKLVLVDQHUURULQ&DQGWKHIROORZLQJRQHWRR
LI!
LQWM
x ,Q DGGLWLRQ WR WKH SUHGHILQHG PDFUR FRQVWDQWV BB/,1(BB BB),/(BB
BB7,0(BB BB'$7(BB & FRPSLOHUV PXVW GHILQH DQRWKHU SUHSURFHVVRU
FRQVWDQWQDPHO\BBFSOXVSOXV
LIGHIBBFSOXVSOXV
GHILQH18//
HOVH
GHILQH18//YRLG
HQGLI
6XFK FRGH WKDW VKRXOG EH DYDLODEOH DFFRUGLQJ WR WKH FRPSLOHU XVHG IRU
FRPSLOLQJ FRGH FDQ EH JLYHQ WKLV ZD\ XVLQJ WKH FRQVWDQW BBFSOXVSOXV IRU
FRQGLWLRQDOFRPSLODWLRQ
x (PSW\SDUDPHWHUOLVWLQ&PHDQVDQ\QXPEHURIDUJXPHQWVFDQEHSDVVHGWR
WKHIXQFWLRQ%XWLQ&LWPHDQVWKHIXQFWLRQWDNHVQRDUJXPHQWV
LQWIXQ
LQ&LWPHDQVIXQWDNHVDQ\QXPEHURIDUJXPHQWV
LQWL IXQ
WKLVLVOHJDOLQ&%XWLQ&HPSW\DUJXPHQWOLVWPHDQVWKH
IXQFWLRQWDNHVQRDUJXPHQWV6RWKLVLVDQHUURULQ&
7KXVLQ&
LQWIXQ
DQG
LQWIXQYRLG
DUHHTXLYDOHQW
7KHUHDVRQZK\LQWIRRPHDQVWKDWLWPD\WDNHDQ\QXPEHURIDUJXPHQWVLV
EHFDXVHRI[Kernighan and Ritchie 1978] VW\OHIXQFWLRQGHILQLWLRQ
,WKDGWKHGHILQLWLRQVOLNHWKLV
LQWIXQ
LQWDLQWG
IXQFWLRQFRGHKHUH
7RPDNHDSURWRW\SHIRUWKLVIXQFWLRQLWZLOOORRNOLNHWKLV
LQWIXQ
VRLWPHDQVIXQPD\WDNHDQ\QXPEHURIDUJXPHQWV
([HUFLVH
&RPPHQWRQWKHIROORZLQJFRGHZLWKUHVSHFWWR&DQG&
VWUXFWVRPH6WUXFW^
`
SULQWI³G´VL]HRIVWUXFWVRPH6WUXFW
&DQG&/LQNDJH
& OLQNDJH RI IXQFWLRQV LV GLIIHUHQW IURP WKH OLQNDJH RI & IXQFWLRQV 7KLV LV
EHFDXVH WKH & IXQFWLRQV DUH FDSDEOH WR EH RYHUORDGHG DQG WKH LQIRUPDWLRQ DERXW WKH
DUJXPHQWVVKRXOGEHSDVVHGWRWKHOLQNHU
&RQVLGHUWKH&IXQFWLRQ
LQWIXQLQW
6LQFHRYHUORDGLQJRIIXQFWLRQVFDQQRWEHGRQHLQ&LWLVHQRXJKIRUWKHFRPSLOHU
WRWHOOWKHFRPSLOHUWKDWWKHLGHQWLILHUµIXQ¶LVDIXQFWLRQQDPH7KHOLQNHUMXVWFKHFNVIRU
WKHIXQFWLRQQDPHDQGUHVROYHVDQ\IXQFWLRQFDOOV
&RQVLGHUWKHFDVHRI&)XQFWLRQVFDQEHRYHUORDGHGKHUH
LQWIXQLQW
DQG
LQWIXQIORDW
DQG
LQWIXQLQWLQW
DUHDOOGLIIHUHQWEHFDXVHWKH\DUHRYHUORDGHG
7KLVRYHUORDGHGIXQFWLRQµIXQ¶KDVWREHUHVROYHGE\WKHOLQNHU6RLWLVHVVHQWLDO
WKDW QRW RQO\ WKH FRPSLOHU SDVV WKH LQIRUPDWLRQ DERXW WKH IXQFWLRQ QDPH LW DOVR KDV WR
SDVV WKH LQIRUPDWLRQ DERXW WKH DUJXPHQWV 7KLV LV GRQH E\ D WHFKQLTXH FDOOHG DV µQDPH
PDQJOLQJ¶
µ1DPHPDQJOLQJ¶PHDQVWKDWWKHLQIRUPDWLRQDERXWWKHIXQFWLRQQDPHDUJXPHQW
W\SHV DQG RWKHU UHODWHG LQIRUPDWLRQ OLNH LI LW LV D FRQVW RU QRW DOO DUH HQFRGHG WR JLYH D
XQLTXHIXQFWLRQLGHQWLILHUWRWKHOLQNHU7KHMRERIWKHOLQNHUEHFRPHVHDV\WRUHVROYHWKH
FDOOVIRURYHUORDGHGIXQFWLRQVFRUUHFWO\EHFDXVHRIWKLVµQDPHPDQJOLQJ¶
,I µQDPH PDQJOLQJ¶ LV QRW GRQH WKH IXQFWLRQ KDV & OLQNDJH HOVH LW IROORZV &
OLQNDJH
)RUFLQJ&/LQNDJH
,I&IXQFWLRQVDUHFDOOHGIURP&SURJUDPVWKHQLWLVOLNHO\WRVKRZOLQNHUHUURUV
VD\LQJ WKDW WKH IXQFWLRQ GHILQLWLRQ LV QRW IRXQG 7KLV LV EHFDXVH WKH IXQFWLRQV LQ &
SURJUDPVKDYH&OLQNDJHDQGWKHIXQFWLRQVFRPSLOHGLQ&KDYH&OLQNDJHDVZHKDYH
VHHQMXVWQRZ
LQF3URJF
LQWFIXQ^
VRPHFRGH
LQFSS3URJFSS
LQWFIXQ
LQWPDLQ^
FIXQ
HUURU&IXQIROORZVFOLQNDJH
7RPDNHWKLV&IXQFWLRQDFFHSWDEOHLQ&FRGHWKHGHFODUDWLRQIRUµFIXQ¶VKRXOG
EHFKDQJHGDVIROORZV
LQFSS3URJFSS
H[WHUQ&
LQWFIXQ
LQWPDLQ^
FIXQ
1RZ2.FIXQFDQEHFDOOHGIURP&FRGHQRZ
3UHFHGLQJ WKH IXQFWLRQ GHFODUDWLRQ E\ H[WHUQ & LQVWUXFWV WKH & FRPSLOHU WR
IROORZ&OLQNDJHIRUWKDWIXQFWLRQLH
QDPHPDQJOLQJ
LVQRWGRQHIRUWKDWIXQFWLRQ$V
ZHKDYHVHHQWKH
QDPHPDQJOLQJ
LVQHFHVVDU\IRUIXQFWLRQRYHUORDGLQJ6RLIDIXQFWLRQ
LVGHFODUHGWRKDYH&OLQNDJHLWFDQQRWEHRYHUORDGHG
LQFSS3URJFSS
H[WHUQ&LQWFIXQ
H[WHUQ&LQWFIXQLQW
HUURU6LQFH&OLQNDJHLVIROORZHGFIXQFDQQRWEHRYHUORDGHG
0RUHWKDQRQH&IXQFWLRQVDUHLIQHFHVVDU\WREHGHFODUHGWRKDYH&OLQNDJHWKHQWKRVH
IXQFWLRQVFDQEHJURXSHGWRJHWKHULQDEORFNSUHFHGHGE\H[WHUQ&
H[WHUQ&^
LQWFIXQ
YRLGFIXQVWUXFWV
RWKHUFIXQFWLRQGHFODUDWLRQVJRKHUH
2WKHUZLVHWKH\ FDQ EH SXW LQ D KHDGHU ILOH DQG WKDW LQFOXVLRQ FDQ EH GHFODUHG WR
KDYH&OLQNDJH
H[WHUQ&^
LQFOXGHFIXQGHFOK
7KLVIRUFHVDOOWKHIXQFWLRQVGHFODUHGLQWKHKHDGHUILOHFIXQGHFOKWREHXVHGLQ
WKLV&ILOHWRKDYH&OLQNDJH,I\RXWKLQNSUHFHGLQJHYHU\&KHDGHUILOHWREHSUHFHGHG
ZLWKH[WHUQ&LVWHGLRXVRWKHUWDFWLFFDQDOVREHIROORZHG,IWKHGHFODUDWLRQVPD\KDYH
WR EH XVHG LQ ERWK & DQG & FRPSLOHUV & FRPSLOHUV GRHVQ
W UHFRJQL]H WKH NH\ZRUG
H[WHUQ&VRLWKDVWREHJLYHQXVLQJFRQGLWLRQDOFRPSLODWLRQDVIROORZV
LQFIXQGHFOK
LIGHIBBFSOXVSOXV
H[WHUQ&^
WKLVFRGHLVLQYLVLEOHWRD&FRPSLOHU
HQGLI
LQWFIXQLQW
DQGDOORWKHU&IXQFWLRQGHFODUDWLRQVJRKHUH
LIGHIBBFSOXVSOXV
HQGLI
2UWKLVFRQGLWLRQDOFDQEHVWLOOVLPSOHU-XVWVWULSWKHWZRWRNHQVH[WHUQDQG ³&´
IURPDOOIXQFWLRQGHFODUDWLRQVLQWKHVRXUFHFRGH
LQFIXQGHFOK
LIQGHIBBFSOXVSOXV
GHILQHH[WHUQ&
PDNHH[WHUQDQG³&´LQYLVLEOHWR&FRPSLOHUVE\UHSODFLQJ
WKHP
WRZKLWHVSDFH
HQGLI
H[WHUQ³&´LQWFIXQLQW
DOOWKHRWKHUIXQFWLRQGHFODUDWLRQVJRKHUH
7KLV FRQGLWLRQDO FRPSLODWLRQ VWUXFWXUH LV QHFHVVDU\ WR EH SUHVHQW RQO\ LQ WKH
VWDUWLQJDQGHQGLQJRIWKH&KHDGHUILOHV
1RWH7KLVNLQGRIVSHFLDOLQFOXVLRQ RI & KHDGHU ILOHV LV QHFHVVDU\ IRU WKH QRQVWDQGDUG
DQG XVHUGHILQHG KHDGHU ILOHV RQO\ )RU VWDQGDUG KHDGHU ILOHV RUGLQDU\ LQFOXVLRQ LV
HQRXJK
LQFOXGHFVWGLRK!
WKLVRUGLQDU\LQFOXVLRQLVHQRXJK1RµH[WHUQ³&´¶MRE
,Q$16,&FKHDGHUILOHVDUHSUHIL[HGZLWKµF¶
7KLV NLQG RI XVLQJ & IXQFWLRQV IURP & FRGH KDV PDQ\ DGYDQWDJHV 2QH ELJ
DGYDQWDJHLVWKDWWKHOHJDF\&FRGHFDQGLUHFWO\EHUHXVHGLQ&FRGH
$FFHVVLQJ&2EMHFWVIURP&FRGH
7KHXQGHUO\LQJUHSUHVHQWDWLRQIRUWKH&FODVVHVDQGSODLQ&VWUXFWXUHVLVDOPRVW
WKHVDPH
FODVVFSSVWULQJ^
SULYDWH
LQWVL]H
LQWFDSDFLW\
FKDU EXII
SXEOLF
VWULQJ
RWKHUPHPEHUIXQFWLRQVIRUVWULQJFODVV
DQGGHVWUXFWRU
`
&RPSDULQJZLWKWKH&HTXLYDOHQW
VWUXFWFVWULQJ^
LQWVL]H
LQWFDSDFLW\
FKDU EXII
`
7KHPHPRU\OD\RXWIRUWKHVWUXFWXUHµFVWULQJ¶DQGµFSSVWULQJ¶DUHDOPRVWWKHVDPH
,QRWKHUZRUGVWKH&FRPSLOHUWUHDWVWKHFODVVµFSSVWULQJ¶MXVWDVµFVWULQJ¶VWUXFWXUH,W
PHDQVWKDWWKHPHPEHUIXQFWLRQVDUHLQWHUQDOO\WUHDWHGDVJOREDOIXQFWLRQVDQGWKHFDOOVWR
WKHPHPEHUIXQFWLRQVDUHUHVROYHGDFFRUGLQJO\7KH\GRQRWRFFXS\VSDFHLQWKHPHPRU\
OD\RXWIRUWKHREMHFW7KLVPDNHV&REMHFWPRGHOYHU\HIILFLHQW7KLVLVWRVKRZKRZ
FORVHWKH&DQG&DUHLQWKHLULQWHUQDOUHSUHVHQWDWLRQ
7KHDGYDQWDJHLVWKDWWKHFRGHOLNHWKHIROORZLQJFDQEHXVHG
YRLGSULQWFVWULQJ FV^
SULQWIVL]H GFDSDFLW\ GFV!VL]H
FV!FDSDFLW\
WKHROGOHJDF\FRGHIRUFVWULQJFDQEHXVHGIRUDFFHVVLQJ
WKH&REMHFW
LQWPDLQ^
FSSVWULQJ FSSV QHZFSSVWULQJ
SULQWFVWULQJ FSSV
7KLV HTXDOLW\ EHWZHHQ WKH VWUXFW DQG FODVV LV WUXH XQOHVV WKH FODVV KDV QR YLUWXDO
PHPEHUV KDV QR YLUWXDO EDVH FODVV LQ LWV KLHUDUFK\ DQG QR PHPEHU REMHFWV KDYH HLWKHU
YLUWXDOPHPEHUVRUYLUWXDOEDVHFODVVHV ,QVKRUWWKHFODVVVKRXOGQRWEH DVVRFLDWHGZLWK
DQ\ WKLQJ µYLUWXDO¶ LQ QDWXUH 7KLV LV EHFDXVH WKH PHPRU\ OD\RXW ZLOO WKHQ KDYH YLUWXDO
SRLQWHUWDEOHWKDWPDNHVWKHFODVVDQGVWUXFWXUHUHSUHVHQWDWLRQQRPRUHDVHTXLYDOHQWV
$QRWKHUSRLQWWRQRWHLVWKDWWRKDYHWKHHTXLYDOHQFHEHWZHHQWKHFODVVDQGVWUXFW
WKH GDWD RI WKH FODVV VKRXOG QRW EH LQWHUIHUHG E\ DFFHVV VSHFLILHUV SULYDWH SXEOLF
SURWHFWHG7KLVUHVWULFWLRQLVE\$16,EHFDXVHWKHUHLVDSRVVLELOLW\WKDWWKHOD\RXWPD\
GLIIHU LQ FDVH RI LQWHUYHQLQJ DFFHVV VSHFLILHUV %XW DOPRVW DOO FRPSLOHUV DYDLODEOH QRZ
GRHVQ¶WPDNHDQ\GLIIHUHQFHGXHWRWKLVDQGVRWKLVSRLQWFDQEHVDIHO\LJQRUHG7RSXWLW
WRJHWKHU \RX FDQ VDIHO\ DFFHVV D & REMHFW

V GDWD IURP D & IXQFWLRQ LI WKH & FODVV
KDV
¾ QRYLUWXDOIXQFWLRQVLQFOXGLQJLQKHULWHGYLUWXDOIXQFWLRQV
¾ QRIXOO\FRQWDLQHGVXEREMHFWVZLWKYLUWXDOIXQFWLRQV
¾ DOOLWVGDWDLQWKHVDPHDFFHVVOHYHOVHFWLRQDFFHVVVSHFLILHUVSULYDWH
SURWHFWHGSXEOLF
1HYHUWKHOHVVWKLVSURSHUW\RIWKHREMHFWPRGHORI&LVXVHGLQWKHDSSOLFDWLRQV
VXFK DV VWRULQJ WKH GDWD REMHFWV LQ '%06 QHWZRUN GDWD WUDQVIHU RI REMHFWV HWF 7KLV
PDNHV WKH OHJDF\ & FRGH EH XVHG LQ WKH REMHFWRULHQWHG FRGH EDFNZDUG FRPSDWLELOLW\
ZLWK&DQGVRPDQ\RWKHUDGYDQWDJHV
2WKHU'LIIHUHQFHV
2WKHU WKDQ WKH GLIIHUHQFHV GLVFXVVHG EHWZHHQ & DQG & WKHUH DUH RWKHU VXEWOH
GLIIHUHQFHVWKDWKDYHWREHXQGHUVWRRGZKHQPL[LQJ&DQG&FRGH
7KH PDLQ KDV WR EH FRPSLOHG E\ D & FRPSLOHU RQO\ %HFDXVH WKH FRGH IRU
VWDWLFLQLWLDOL]DWLRQIRUWKH&REMHFWVKDVWREHLQVHUWHGRQO\E\WKH&FRPSLOHU
:KHQ PL[LQJ & DQG & IXQFWLRQV PDNH VXUH WKDW ERWK WKH FRPSLOHUV DUH IURP
VDPHYHQGRU)RUH[DPSOHWKHFRPSLOHUVZLOOIROORZVLPLODUIXQFWLRQFDOOLQJPHFKDQLVPV
VRWKDWWKHIXQFWLRQVZLOOEHFDOOHGFRUUHFWO\
0RVW&FRGHFDQEHFDOOHGIURP&ZLWKRXWPXFKSUREOHPV6LPLODUO\&FRGH
FDQDOVREHFDOOHGIURP&FRGHXQGHUFHUWDLQFRQVWUDLQWV7UDQVLWLRQIURP&WR&ZLOO
EHVPRRWKLIWKHVXEWOHGLIIHUHQFHVEHWZHHQWKHWZRODQJXDJHVDUHXQGHUVWRRGZHOO
7KH GRZQZDUG FRPSDWLELOLW\ ZLWK & LV RQH RI WKH PDLQ UHDVRQV EHKLQG WKH
ZLGHVSUHDGVXFFHVVRI&,WLVSUREDEO\WKHWRSLFWKDWFUHDWHVKHDWHGDUJXPHQWVDPRQJ
& SURJUDPPHUV DQG HDFK KDYH WKHLU RZQ YLHZV DERXW WKLV & ZRXOG KDYH EHHQ
FHUWDLQO\GLIIHUHQWDQGµEHWWHU¶LIGRZQZDUGFRPSDWLELOLW\ZHUHQRWWKHRQHRIWKHPDLQ
GHVLJQJRDOVRI&%XWLWLVWREHUHPHPEHUHGWKDW&LVXELTXLWRXVEHFDXVHRI&
&DQG-DYD
-DYD LV D FRPPHQGDEOH DGGLWLRQ WR & EDVHG ODQJXDJHV %LOO -R\ GHILQHV -DYD DV
³-DYDLVMXVWDVPDOOVLPSOHVDIHREMHFWRULHQWHGLQWHUSUHWHGRUG\QDPLFDOO\RSWLPL]HG
E\WHFRGHGDUFKLWHFWXUHQHXWUDOJDUEDJHFROOHFWHGPXOWLWKUHDGHGSURJUDPPLQJODQJXDJH
ZLWKDVWURQJO\W\SHGH[FHSWLRQKDQGOLQJPHFKDQLVPIRUZULWLQJGLVWULEXWHGG\QDPLFDOO\
H[WHQVLEOHSURJUDPV´>*RVOLQJDQG-R\@
-DYD LV EDVHG RQ & DQG ERUURZV D ORW IURP & DQG VR LV FORVHO\ UHODWHG WR LW 2I
FRXUVH RQH PDMRU GLIIHUHQFH LV WKDW -DYD LV DQ REMHFWRULHQWHG ODQJXDJH -DYD DOVR
ERUURZVORWRILGHDVIURP&EXWWKHUHODWLRQVKLSZLWK&LVFORVHUEHFDXVH&LVWKHEDVH
ODQJXDJH
+RZ-DYDGLIIHUVIURP&
-DYD FXWV ORWV RI IHDWXUHV IURP & PRGLILHV VRPH IHDWXUHV DQG DOVR DGGV PRUH
IHDWXUHVIURP&7KLVSDUWGLVFXVVHVKRZ-DYDOHDUQWOHVVRQVIURP&E\LPSURYHVXSRQ&
DQGZKHUHLWIDLOVWRJDLQ
&LVDJUHDWVXFFHVV7KHUHLVQRGRXEWDERXWLW%XWVRPHFRVWLVLQYROYHGLQWKDW
VXFFHVV & LV D SURJUDPPLQJ ODQJXDJH IRU SURJUDPPHUV DQG VR LW JLYHV LPSRUWDQFH WR
ZULWDELOLW\
,QWHJHU LV
LQW
DQG
VWULQJ FRS\
LV
VWUFS\
LQ & -DYD DOVR XVHV WKH VDPH
NH\ZRUGVLQ&EHFDXVHWKH\DUHDFFHSWHGDQGZLGHO\XVHGE\WKH SURJUDPPHUV %XW LQ

WKHFDVHRI&VWDQGDUGOLEUDU\LW LV SRZHUIXO EXW YHU\ VPDOO DQG & SURJUDPPHUV KDG WR
UHLQYHQWORWRIFRGH-DYDVROYHVLWE\KDYLQJDFRQVLGHUDEO\ELJOLEUDU\
-DYDUHPRYHVORWRIIHDWXUHVIURP&ZKLFKDUHHLWKHUQRWVXLWDEOHRUSUREOHPDWLF
IRU YDULRXV UHDVRQV OLNH UHDGDELOLW\ SRUWDELOLW\ HWF 3RLQWHUV DUH WKH WRXJKHVW DUHD WR
PDVWHUDQGLVPRUHHUURUSURQHDQGQLJKWPDUHIRUQRYLFHSURJUDPPHUV7KHGHVLJQHUVRI
-DYD WKRXJKW WKDW WKH SUHSURFHVVRU FRQFHSW LV DQ DQWLTXDWHG RQH DQG VR UHPRYHG IURP
-DYD6RIHDWXUHVOLNHFRQGLWLRQDOFRPSLODWLRQLVQRWWKHUHDQGFDQQRWEHGRQHLQWKHSXUH
VHQVH -DYD LV D SXUH REMHFWRULHQWHG ODQJXDJH DQG XVH RI JOREDO YDULDEOHV YLRODWHV WKH
UXOHVRIDEVWUDFWLRQVRWKHUHLVQRFRQFHSWRIJOREDOYDULDEOHVLQ-DYD
,Q & WKH VL]H RI PRVW RI WKH GDWDW\SHV LV LPSOHPHQWDWLRQGHSHQGHQW DQG VR WKH
SURJUDPPHUKDVWREHYHU\FDXWLRXVLQDVVXPLQJWKHVL]HRIDGDWDW\SH$VZHKDYHVHHQ
WKLVPD\KHOSVXLWWKHKDUGZDUHDQGLPSURYHWKHHIILFLHQF\,Q-DYDWKHVL]HVRIWKHGDWD
W\SHVDUHZHOOGHILQHG
,Q&WKHE\WHRUGHUPD\EHELJHQGLDQRUVPDOOHQGLDQGHSHQGLQJRQWKH
XQGHUO\LQJSODWIRUP%XWLQ-DYDWKHE\WHRUGHULV%LJHQGLDQ7KLVUHVROYHVSUREOHPV
WKDWDULVHGXHWRWKHGLIIHUHQFHLQE\WHRUGHUEHWZHHQPDFKLQHVSDUWLFXODUO\ZKHQWKHGDWD
LVWUDQVIHUUHGIURPRQHPDFKLQHWRDQRWKHULQQHWZRUNV7KLVLVKHOS-DYDPXFKEHFDXVH
-DYDLVDSURJUDPPLQJODQJXDJHIRU,QWHUQHW
,Q&ZKHQ!!RSHUDWRULVDSSOLHGWRDYDULDEOHWKHILOOLQJRIWKHULJKWPRVWYDFDWHG
ELWVE\RULVLPSOHPHQWDWLRQGHILQHG7KLVILOOLQJLVFDOOHGDVDULWKPHWLFRUORJLFDOILOO
6R WKH SURJUDPPHU VKRXOG QRW DVVXPH DQ\WKLQJ DERXW WKH ILOOLQJ IROORZHG -DYD VROYHV
WKLVSUREOHPE\KDYLQJVHSDUDWHRSHUDWRUIRUDULWKPHWLFDQGORJLFDOILOOV

$OWKRXJKWKHUHLVQRVXFKMDUJRQDVµZULWDELOLW\¶KHUH,UHIHULWWRWKHDELOLW\WRZULWHWKHSURJUDPVHDVLO\
!!LVIRUORJLFDOILOOYDFDWHGULJKWPRVWELWVDUHILOOHGE\
!!!LVIRUDULWKPHWLFILOOYDFDWHGULJKWPRVWELWVDUHILOOHGE\
7KHSUREOHPVZLWKVLGHHIIHFWVDUHZHOONQRZQLQ&
LQWL
L LL
WKHYDOXHRILFDQQRWEHSUHGLFWHGLQFDVHRI&
7KLVLVQRWWKHFDVHRI-DYD-DYDVD\VWKDWWKHFKDQJHLVLPPHGLDWHO\DYDLODEOHWR
WKHQH[WXVDJH
LQWL
L LL
WKHYDOXHRIL LQFDVHRI-DYD
7KLVHOLPLQDWHVWKHPRVWRIWKHEXJVWKH&SURJUDPPHUVPDNH
'XH WR HIILFLHQF\ DQG SRUWDELOLW\ FRQVLGHUDWLRQV & OHDYHV PRVW RI WKH GHWDLOV
LPSOHPHQWDWLRQGHSHQGHQW,WLVDSDUDGR[WKDWWKLVLVWKHPDLQUHDVRQWKDWWKHSRUWDELOLW\
RI & SURJUDPV JHWV DIIHFWHG HYHQ WKRXJK & SURJUDPV KDYH UHSXWDWLRQ RI EHLQJ YHU\
SRUWDEOH 7KLV VHHPV WR EH D OHVVVLJQLILFDQW SUREOHP EXW LV UHDOO\ D ELJ RQH EHFDXVH
SRUWDELOLW\LVRQHRIWKHPDLQUHDVRQVIRU-DYD¶VELUWKRQHRIWKHPDLQGHVLJQJRDOVDQG
WKDWPDNHVLWWKHPRVWSRUWDEOHSURJUDPPLQJODQJXDJHDVRIWRGD\-DYDLPSURYHVXSRQ&
E\UHPRYLQJWKHFRQVWUXFWVKDYLQJYDULRXVEHKDYLRUDOW\SHVLQ&E\KDYLQJPRVWO\ZHOO
GHILQHGEHKDYLRULQVWHDG
7KH&V\QWD[LVIOH[LEOHDQGWKHUHDUHQRUPDOO\PRUHWKDQRQHZD\VWRVSHFLI\WKH
VDPHWKLQJ 3RLQWHUV DUH &

V VWURQJKROG LV DOVR WKH SUREOHPDWLF DQG WRXJK IHDWXUH WR EH
XQGHUVWRRG E\ WKH SURJUDPPHUV 3RLQWHU DULWKPHWLF LV WKH SODFH ZKHUH HYHQ WKH
H[SHULHQFHG & SURJUDPPHUV VWXPEOH -DYD GRHVQ

W KDYH H[SOLFLW SRLQWHUV EXW KDYH
UHIHUHQFHVWKDWFDQEHFRQVLGHUHGDVFXWGRZQYHUVLRQRISRLQWHUVDQGDULWKPHWLFFDQQRW
EHGRQHRQLW'\QDPLFPHPRU\PDQDJHPHQWQHHGVWKHSURJUDPPHUWRFDUHIXOO\KDQGOH
DQGPHPRU\H[SOLFLWO\DQGWKHUHLVORWRIVFRSHWRPDNHIDWDOPLVWDNHV-DYDKDVJDUEDJH
FROOHFWLRQWKDWPDNHVWKHSURJUDPPHUIUHHIRUZRUU\LQJDERXWUHFROOHFWLQJWKH DOORFDWHG
PHPRU\
-DYD LPSURYHV XSRQ & V\QWDFWLFDOO\ DQG WKLV PDNHV WULFN\ SURJUDPPLQJ KDUG WR
ZULWHLQ-DYD,QDQ\SURJUDPPLQJODQJXDJHLWLVOHIWWRWKHSURJUDPPHUWRQRWWRUHVRUW
WRWULFN\SURJUDPPLQJDQGRQHFDQDOZD\VZULWHRQHVXFK7RJLYHRQHH[DPSOHLQ-DYD
FRQVLGHUWKHIROORZLQJSURJUDP
FODVVWULFN\^
VWDWLF^
6\VWHPRXWSULQWOQ³+HOORZRUOG´
SXEOLFVWDWLFYRLGPDLQ
QRWHWKHPLVVLQJDUJXPHQWVLQPDLQ
7KLV SURJUDP ZKHQ UXQ SULQWV WKH PHVVDJH ³+HOOR ZRUOG´ DQG WHUPLQDWHV E\
UDLVLQJ DQ H[FHSWLRQ VWDWLQJ WKDW DUJXPHQWV WR PDLQ DUH PLVVLQJ %HFDXVH LQ -DYD WKH
FRPPDQGOLQHDUJXPHQWVDUHQRWRSWLRQDO
,Q -DYD VWULQJV DUH VSHFLDO REMHFWV DQG VR ORW RI IXQFWLRQDOLW\ LV DYDLODEOH ZLWK
VWULQJV6LQFHWKH\ DUH WUHDWHG DV VSHFLDO REMHFWV RQH PDLQ GUDZEDFN LV DOVR WKHUH -DYD
REMHFWVDUHQRWDVHIILFLHQWDVRWKHUSULPLWLYHGDWDW\SHVLQ-DYDLWVHOI
SXEOLFVWDWLFYRLGPDLQ6WULQJDUJY>@
2QO\RQHDUJXPHQWLVHQRXJKWREHSDVVHGDVWKHFRPPDQGOLQHDUJXPHQWLQ-DYD
EHFDXVH
V
LV D 6WULQJ DUUD\ VR DUJYOHQJWK DUJF &RPPDQG OLQH DUJXPHQWV DUH QRW
RSWLRQDODQGVRFDQQRWEHRPLWWHGIURPGHFODUDWLRQ
:KHQ JLYLQJ SDWKQDPHV LQ LQFOXGH ILOHV H[SOLFLWO\ JLYLQJ WKH SDWK QDPH FDQ
KDUPWKHSRUWDELOLW\RIWKHSURJUDP)RUH[DPSOH
LQFOXGH&?P\GLU?V\VF
WKHSURJUDPXVLQJWKLVOLQHZULWWHQWREHXVHGLQ:LQGRZVUHTXLUHVLWWREHFKDQJHGWR
LQFOXGHP\GLUV\VF
IRU81,;EDVHGV\VWHPV<
7KHSDWKLVIRUWKHRULJLQDOV\VWHPZKHUHWKHILOHLVORFDWHGDQGZLOOFHUWDLQO\YDU\
ZLWK WKH SDWK ZKHUH WKH ILOH ZLOO EH DYDLODEOH ZKHQ LW LV SRUWHG DQG FRPSLOHG LQ VRPH
RWKHUPDFKLQH-DYDVROYHVWKLVSUREOHPE\KDYLQJWKHFRQFHSWRISDFNDJHVDQGZLWKWKH
XVH RI WKH HQYLURQPHQWDO YDULDEOH &/$663$7+ WKDW LV XVHG WR LQGLFDWH WKH FRPSLOHU
ZKHUHWKHILOHVDUHWREHVHDUFKHGIRU
<
DVVXPLQJWKDWWKHILOHVDUHVWRUHGLQERWKWKHV\VWHPVZLWKVDPHGLUHFWRU\DQGILOHQDPHVDQGUHODWLYH
SDWK
-DYD7HFKQRORJ\
7KH EDVLF WHFKQRORJ\ ZLWK ZKLFK WKH -DYD ZRUNV LWVHOI LV GLIIHUHQW IURP WKH &
EDVHG ODQJXDJHV & OLNH ODQJXDJHV KDV VWDWLF OLQNDJH DQG ZRUN RQ WKH EDVLV RI
FRQYHQWLRQDO ODQJXDJH WHFKQLTXHV %XW -DYD LV GLIIHUHQW LQ WKH VHQVH LW KDV WKH SODWIRUP
LQGHSHQGHQFHIRUDJUHDWHUH[WHQWDQGRWKHUDGYDQWDJHVWKDWLWVUHODWLYHODQJXDJHVODFN
0DLQFRPSRQHQWVRI-DYDWHFKQRORJ\DUH
¾ -DYDFRPSLOHU
¾ -DYDE\WHFRGHV
¾ -DYDILOHIRUPDWDQG
¾ -DYDYLUWXDOPDFKLQH
7KH -DYD FRPSLOHU LV QR GLIIHUHQW IURP FRPSLOHUV RI RWKHU ODQJXDJHV WKDW LW LV
ILUPO\ EDVHG RQ WKH FRQYHQWLRQDO FRPSLOHU WHFKQLTXHV %\WHFRGHV DUH SODWIRUP
LQGHSHQGHQW FRGHV WKDW IRUP WKH EDVLV RI WKH SODWIRUP LQGHSHQGHQFH E\ -DYD 7KH\ DUH
WDUJHWHG DW WKH VWDFNRULHQWHG DSSURDFK $OO WKH HYDOXDWLRQ LV GRQH LQ WKH VWDFN E\
H[HFXWLRQRIWKHE\WHFRGHV
E D
PD\EHFRQYHUWHGWR-DYDE\WHFRGHVDVIROORZV
LORDGB VWDQGVIRULQWHJHUORDGWKHILUVWORFDO
YDULDEOHLQWRWKHRSHUDQGVWDFN
ELSXVK ELSXVKVWDQGVIRUSXVKµE\WHLQWHJHU¶LQWR
WKHRSHUDQGVWDFN
LDGG DGGWKHWRSPRVWWZRDUJXPHQWVLQWKHVWDFN
LVWRUHB VWRUHWKHUHVXOWLQWRSRIWKHVWDFNWRWKH
VHFRQGYDULDEOHE
$ -DYD FRPSLOHU LUUHVSHFWLYH RI WKH PDFKLQH LW LV FRPSLOHG JHQHUDWHV WKH VDPH
FRGH
7KHQH[WSDUWLVWKH-DYDLQWHUPHGLDWHILOHIRUPDW7KLVLVDVWDQGDUGIRUPDWWKDWLV
XQGHUVWRRG E\ WKH -DYD YLUWXDO PDFKLQH -90 RU -DYD LQWHUSUHWHU WKDW RSHUDWHV RQ DQG
H[HFXWHVLW7KHE\WHFRGHVDQGDOORWKHUUHODWHGLQIRUPDWLRQIRUH[HFXWLRQRIWKHSURJUDP
DUHDYDLODEOHLQDRUJDQL]HGZD\LQWKHLQWHUPHGLDWHFODVVILOH7KLVLVVLPLODUWRWKH(;(
FRGHWKDWLVRUJDQL]HGLQDSDUWLFXODUIRUPDWWKDWFRXOGEHXQGHUVWRRGE\WKHXQGHUO\LQJ
RSHUDWLQJ V\VWHP 7KH -DYD FODVV ILOH IRUPDW LV YHU\ FRPSDFW DQG SOD\V YHU\ LPSRUWDQW
UROHLQPDNLQJ-DYDSODWIRUPLQGHSHQGHQW
& OLNH ODQJXDJHV KDV VRXUFH FRGH SRUWDELOLW\ IRU VRPH H[WHQW $ORQJ ZLWK IXOO
VRXUFH FRGH SRUWDELOLW\ -DYD JRHV WR QH[W OHYHO RI SRUWDELOLW\ WKDW PD\ EH WHUPHG DV
H[HFXWDEOH ILOH SRUWDELOLW\ 7KDW PHDQV WKDW WKH -DYD FODVV ILOHV WKDW DUH SURGXFHG E\
FRPSLOLQJ -DYD SURJUDPV LQ RQ DQ\ FRPSLOHU DQG SODWIRUP ZLOO UXQ RQ DQ\ PDFKLQH
SURYLGHGWKDW-90LVDYDLODEOHWRUXQWKDW7KLVLVDFKLHYHGRQO\WKURXJKWKH FODVVILOH
SURGXFHGE\WKH-DYDFRPSLOHUV
7KHODVWSDUWDQGWKHPRVWLPSRUWDQWRQHLVWKH-DYDLQWHUSUHWHURURWKHUZLVHFDOOHG
DV-DYDYLUWXDOPDFKLQH7KLVVLPXODWHVDYLUWXDOPDFKLQHWKDWPD\EHLPSOHPHQWHGLQDQ\
PDFKLQH 7KXV WKH XQLIRUP EHKDYLRU RI WKH -DYD SURJUDPV LV DVVXUHG HYHQ DFURVV
SODWIRUPV
-DYD1DWLYH,QWHUIDFH
-DYD FRGH KDV SRUWDELOLW\ DQG WKH QDWLYH FRGHV OLNH WKH RQH ZULWWHQ LQ & FDQ
SURGXFHFRGHWKDWLVHIILFLHQW7RJHWWKHEHVWRIERWKZRUOGVWKHSRUWDEOH-DYDFRGHFDQ
EHXVHGDQGWKHYHU\IUHTXHQWO\XVHGIXQFWLRQVOLNHOLEUDU\IXQFWLRQVFDQEHZULWWHQLQ&
DQG-DYD1DWLYH,QWHUIDFH-1,DFKLHYHVMXVWWKDW7KLVSDUWRIWKHFKDSWHUH[SORUHVZKDW
-1,FDQSURYLGHLQWKHFRQWH[WRI&8VLQJ-1,\RXFDQ
¾ &DOO&FRGHIURP-DYDFRGH
¾ &DOO-DYDFRGHIURP&FRGH
¾ (PEHG-90LQ&SURJUDPV
-1,DFWVDVDQLQWHUIDFHEHWZHHQWKH&DQG-DYDFRGH:LWKWKLVIXQFWLRQDOLW\RI&
FDQEHDFKLHYHGIURP-DYDSURJUDPVDQGYLFHYHUVD
&DOOLQJ-DYDFRGHIURP&FRGH
&DOOLQJ-DYDFRGHIURP&FRGHFDQEHGRQHIRUDQGKDYHIROORZLQJDGYDQWDJHV
¾ 7RDFKLHYHWKHHIILFLHQF\RIWKHFRGHDQGIRUWLPHFULWLFDODSSOLFDWLRQVWKDWLV
SRVVLEOHWKURXJKWKH&&RUHYHQDVVHPEO\FRGH
¾ 7RKDYHSODWIRUPGHSHQGHQWFRGHZULWWHQLQ&WREHXVHGE\WKH-DYDSURJUDP
WRDFKLHYHWKHSODWIRUPGHSHQGHQWIXQFWLRQDOLW\LQGLUHFWO\
¾ /RW RI OLEUDULHV DQG WHVWHG FRGH WKDW DUH DYDLODEOH LQ WKH RWKHU PRUH PDWXUH
ODQJXDJHVVXFKDV&DQG&EHFRPHVDYDLODEOHWR-DYDFRGH
&DOOLQJ-DYDFRGHIURP&FRGH
&DOOLQJ-DYDFRGHIURP&FRGHFDQEHGRQHIRUDQGKDYHIROORZLQJDGYDQWDJHV
¾ ,I VRPH IXQFWLRQDOLW\ LV DOUHDG\ DYDLODEOH LQ -DYD FRGH WKH & SURJUDPV QHHG
QRWEHZULWWHQDJDLQ7KH&FRGHFDQMXVWFDOOWKH-DYDFRGHEXWWKURXJK-1,
¾ )XQFWLRQDOLW\RIWKH-DYDSURJUDPPLQJODQJXDJHFDQEHH[SORLWHGE\WKLV)RU
H[DPSOH & GRHVQ¶W KDYH VRSKLVWLFDWHG H[FHSWLRQKDQGOLQJ PHFKDQLVP DQG
WKURXJK QDWLYH PHWKRGV WKLV FDQ EH DFKLHYHG 5XQWLPH W\SH FKHFNLQJ LV WKH
IHDWXUHWKDWLVQRWDYDLODEOHLQ&DQGIRUWKDW-1,FDQEHXVHGWRGRWKHVDPH
7R H[SODLQ KRZ WKH -DYD FRGH FDQ EH ZULWWHQ WR FDOO WKH & FRGH OHWV KDYH DQ
H[DPSOH7KHSURFHVVLVDOLWWOHWHGLRXVRQH7KHH[DPSOHLQFOXGHVDIXQFWLRQZULWWHQLQ&
WRDGGDQGGLVSOD\WKHWZRIORDWYDULDEOHVWKDWDUHSDVVHGWRWKHQDWLYHIXQFWLRQ7KHUHLV
DQRWKHUPHWKRGWRKDYHDZUDSSHUIXQFWLRQWRFDOOWKH&VWDQGDUGOLEUDU\IXQFWLRQV7KH
SURFHVVH[SODLQHGLVWKHJHQHUDOL]HGRQHDQGWKHH[DFWGHWDLORIKRZWKHLQWHUIDFHEHWZHHQ
WKH&DQG-DYDFRGHGHSHQGVRQWKHLPSOHPHQWDWLRQ
FODVVFDOO&)URP-DYD^
SXEOLFQDWLYHYRLGDGG7ZR)ORDWVIORDWLIORDWM
SXEOLFQDWLYHGRXEOHVLQGRXEOHYDOXH
WKHVHDUHGHFODUDWLRQVIRUWKH&QDWLYHIXQFWLRQVWKDWZLOO
EHDYDLODEOHDWUXQWLPH
VWDWLF^
6\VWHPORDG/LEUDU\WZRIORDWV
WKHQDPHRIWKH'//ZKHUHWKHFRGHIRUWKHQDWLYH
PHWKRGVLVORFDWHG
`
SXEOLFVWDWLFYRLGPDLQ6WULQJ>@DUJV^
IORDWL IM I
QHZFDOO&)URP-DYDDGG7ZR)ORDWVLM
6\VWHPRXWSULQWOQQHZFDOO&)URP-DYDVLQ
QRWHKRZWKHQDWLYHIXQFWLRQVDUHFDOOHG
,QWKH-DYDFRGHDQGWKHQRWDEOHSRLQWVWRHQDEOHFDOOLQJQDWLYHFRGHDUH
¾ 7KH & IXQFWLRQV WR EH FDOOHG DGG7ZR)ORDWV DQG VLQ DUH GHFODUHG ZLWK
NH\ZRUGµQDWLYH¶WRLQGLFDWHWKHFRPSLOHUWKDWWKH\DUHQDWLYHPHWKRGV
¾ 7KHQDWLYHPHWKRGVDUHWUHDWHGDQGFDOOHGWKHVDPHZD\DV-DYDPHWKRGV
¾ ,QVLGHWKHVWDWLFEORFNWKLVEORFNLVIRULQLWLDOL]DWLRQRIVWDWLFYDULDEOHVDQGLV
FDOOHGEHIRUHPDLQWKHOLEUDU\ZKHUHWKHFRGHIRU&SURJUDPVLVDYDLODEOHLV
ORDGHG
7KLVFRGHLVFRPSLOHGDVXVXDOZLWKWKH-DYDFRPSLOHU
MDYDFFDOO&)URP-DYDMDYD
DQGWKHFODVVILOHLVJHQHUDWHG
7KHQH[WVWHSLVWRJHQHUDWHDKHDGHUILOHWKDWFRQWDLQVWKHLQIRUPDWLRQDERXWWKH
PHWKRGVWKDWVKRXOGEHDYDLODEOHIRUWKH&&FRPSLOHUVIRUJHQHUDWLQJ'//VVXFKWKDW
LWZLOOEHDFFHVVLEOHWRWKH-90$XWLOLW\FDOOHGDVMDYDKLVDYDLODEOHIRUWKLVSXUSRVHDQG
FDOOLVPDGHOLNHWKLV
MDYDKFDOO&)URP-DYD
7KLVJHQHUDWHVWKHKHDGHUILOH³FDOO&)URP-DYDKÍRUWKHQDWLYHPHWKRG7KLVKHDGHUILOH
KDVWREHLQFOXGHGLQWKH&FRGHZKHUHWKHFRGHIRUWKH&IXQFWLRQVLVDYDLODEOH
7KH QH[W RQH LV WKH LPSRUWDQW VWHS RI ZULWLQJ WKH & QDWLYH PHWKRGV 7KH FRGH
ORRNVOLNHWKLV
LQFOXGHMQLK!
SURJUDPVWKDWGHFODUHQDWLYHPHWKRGVVKRXOGLQFOXGHWKLVKHDGHU
ILOH
LQFOXGHVWGLRK!
LQFOXGHPDWKK!
QRWHWKDWWKHKHDGHUILOHIRUQDWLYHPHWKRGVLVLQFOXGHGKHUH
LQFOXGHFDOO&)URP-DYDK
WKHGHFODUDWLRQIRUWKHIXQFWLRQLVPDGH ZLWKWZR
H[WUDSDUDPHWHUV
-1,(;3257YRLG-1,&$//
-DYDBFDOO&)URP-DYDBDGG7ZR)ORDWV-1,(QY HQYMREMHFW
REMMIORDWLMIORDWM
IORDWN LM
SULQWII?QN
UHWXUQ
-1,(;3257MGRXEOH-1,&$//
-DYDBFDOO&)URP-DYDBVLQ-1,(QY HQYMREMHFWREM
MGRXEOHYDOXH
UHWXUQVLQYDOXH
(DFKIXQFWLRQGHILQLWLRQIROORZVWKHIRUPDW
-1,(;32575HWXUQ7\SH-1,&$//-DYDB&ODVV1DPHBVLQ-1,(QY
HQYMREMHFWREM)RUPDO$UJXPHQWV
7KHIXQFWLRQQDPHVDOVRKDYHVSHFLDO ZD\RIQDPLQJ$OOWKHIXQFWLRQVVWDUWZLWK
-DYDB IROORZHG E\ WKH FODVV QDPH WR ZKLFK WKH QDWLYH PHWKRG EHORQJV DQG WKDW LV
IROORZHG E\ WKH DFWXDO IXQFWLRQ QDPH $OVR QRWH WKDW DOO WKH QDWLYH IXQFWLRQV KDYH ILUVW
WZRDUJXPHQWVDVPDQGDWRU\-1,(QY HQYDQGMREMHFWREM
7KHQHZQDPLQJFRQYHQWLRQWKHLQFOXVLRQRIWKHKHDGHUILOHVHQDEOHVWKH&&
FRPSLOHUV WR FRPSLOH WKH FRGH WR D '// WKDW ZLOO EH DFFHVVHG E\ WKH -DYD ,QWHUSUHWHU
:LWKWKLVWKHSURFHVVRIFDOOLQJ-DYDFRGHIURP&FRGHHQGV
7KLV '// LV XVHG E\ WKH -DYD LQWHUSUHWHU DW UXQWLPH WR ILQG DQG H[HFXWH WKH
FRUUHVSRQGLQJQDWLYHPHWKRG7RLQYRNHWKH-90
MDYDFDOO&)URP-DYD
SULQWV

WKHRXWSXWVKRZVWKHH[HFXWLRQRIWKHQDWLYHPHWKRGV
(PEHGGLQJ-90LQ&SURJUDPV
7KLVLVWRDFKLHYHWKHIXQFWLRQDOLW\RIWKH-DYDFRGHWKURXJKWKH-90LWVHOIIURP
WKH & FRGH )RU H[DPSOH \RX PD\ ZULWH D EURZVHU SURJUDP DQG WR VXSSRUW DSSOHW
IXQFWLRQDOLW\WKH-90KDVWREHHPEHGGHGLQWRWKHSURJUDP,QWKLVFDVH-1,FDQEHXVHG
WRHPEHGWKH-90DQGZKHQHYHUDQDSSOHWKDYHWREHGLVSOD\HGWKH-DYD,QWHUSUHWHUFDQ
EHLQYRNHGIURPWKHFRGHWRGRWKHVDPH7KLVLVWKURXJKWKHµLQYRFDWLRQ$3,V¶WKDWDUH
DYDLODEOHZLWK-1,
&DQG&
³7KHTXHVWLRQLV´VDLG+XPSW\'XPSW\
³ZKLFKLVWREHPDVWHUWKDW¶VDOO´
/HZLV&DUUROO
&= SURQRXQFHG ³& VKDUS´ GHILQHG E\ 0LFURVRIW DV ³& LV D VLPSOH PRGHUQ
REMHFW RULHQWHG DQG W\SHVDIH SURJUDPPLQJ ODQJXDJH GHULYHG IURP & DQG &´
>+HMOVEHUJ DQG :LODPXWK @ LV D QHZ DGGLWLRQ WR WKH & EDVHG SURJUDPPLQJ
ODQJXDJHV )RU WKH SDVW WZR GHFDGHV & DQG & KDYH EHHQ WKH PRVW ZLGHO\ XVHG DQG
VXFFHVVIXO ODQJXDJHV IRU GHYHORSLQJ VRIWZDUH RI YDULHG NLQG :KLOH ERWK ODQJXDJHV
SURYLGH WKH SURJUDPPHU ZLWK D WUHPHQGRXV DPRXQW RI ILQHJUDLQHG FRQWURO WKLV
IOH[LELOLW\ FRPHV DW D FRVW WR SURGXFWLYLW\ DQG 0LFURVRIW FODLPV LW KDV FRPH RXW ZLWK D
ODQJXDJHRIIHULQJEHWWHUEDODQFHEHWZHHQSRZHUDQGSURGXFWLYLW\
,WUHPDLQVWREHVHHQKRZVXFFHVVIXO&LVJRLQJWREH ,W LV WKH LGHD WR JHW WKH
IHDWXUHVRIUDSLGDSSOLFDWLRQGHYHORSPHQWRI9LVXDO%DVLFDQGWKHSRZHURI9LVXDO&
DQGWKHVLPSOLFLW\VLPLODUWRLWVFRPSHWLWRU-DYD7KLVFKDSWHUGHYRWHVWKHVHHWKHIHDWXUHV
DQGLGHDVRIKRZ&LVEDVHGRQ&DQGLPSURYHVXSRQ&
=
6LQFHWKHODQJXDJHLVEHLQJGHYHORSHGZKHQWKLVERRNLVZULWWHQDQGWKHLQIRUPDWLRQDERXWWKHODQJXDJH
LVQRWVWLOO IXOO\ DYDLODEOH WKH LQIRUPDWLRQ SURYLGHG LQ WKLV FKDSWHU PD\ QRW IXOO\ FRPSO\ WR WKH ODQJXDJH
WKDW LV DFWXDOO\ UHOHDVHG 0RVW RI WKH LQIRUPDWLRQ DYDLODEOH LV EDVHG RQ WKH SUHOLPLQDU\ LQIRUPDWLRQ
DYDLODEOHLQWKH,QWHUQHWDQG>+HMOVEHUJDQG:LODPXWK@
:KDW&SURPLVHV"
& LV SDUW RI 0LFURVRIW 9LVXDO 6WXGLR ,W KDV FRPPRQ H[HFXWLRQ HQJLQH WKDW
ODQJXDJHFDQEHXVHGWRUXQWKHSURJUDPVIURPRWKHUODQJXDJHVVXFKDV9LVXDOEDVLFDQG
VXSSRUWVVFULSWLQJODQJXDJHVVXFKDV3\WKRQ9%6FULSW-VFULSWDQGRWKHUODQJXDJHV,WLV
FDOOHGDV&RPPRQ/DQJXDJH6XEVHW&/6,WGRHVQ¶WKDYHLWVRZQOLEUDU\7KHDOUHDG\
DYDLODEOH9&DQG9%OLEUDULHVDUHXVHG&LVQRWDVSODWIRUPLQGHSHQGHQWDV-DYDDQG
WDUJHWV DW 1H[W *HQHUDWLRQ :LQGRZV 6HUYLFHV 1:*6 SODWIRUP >+HMOVEHUJ DQG
:LODPXWK@
¶+HOOR:RUOG¶LQ&
/HWVVHHKRZWKHVLPSOH³+HOORZRUOG´SURJUDPORRNVOLNHLQ&
XVLQJ6\VWHP
FODVV+HOOR
VWDWLFYRLG0DLQ^
&RQVROH:ULWH/LQH+HOORZRUOG
7KHXVLQJGLUHFWLYHLVIURP3DVFDOODQJXDJHDQGWKLVEHFRPHVVKRUWFXWIRU
6\VWHP&RQVROH:ULWH/LQH+HOORZRUOG
$V \RX FDQ VHH HYHU\WKLQJ LV ZLWKLQ D FODVV DQG VR & LV D SXUH REMHFWRULHQWHG
SURJUDPPLQJODQJXDJH7KH0DLQGHFODUHGDV D VWDWLF PHWKRG LV WKH VWDUWLQJ SRLQW IRU
WKHSURJUDPH[HFXWLRQ7KH:ULWH/LQHIXQFWLRQJUHHWV\RX³+HOOR:RUOG´
'DWDW\SHVLQ&
&KDVWZRPDMRU NLQGVRIW\SHV
¾ 9DOXHW\SHV
¾ 5HIHUHQFHW\SHV
&GRHVQ¶WKDYHH[SOLFLWSRLQWHUW\SHVDQGLQVWHDGKDYHUHIHUHQFHW\SHV,QWHUQDOO\
UHIHUHQFHV DUH QRWKLQJ EXW SRLQWHUV EXW ZLWK ORW RI UHVWULFWLRQV LPSRVHG RQ LWV XVDJH
5HIHUHQFHV KDYH WKHLU RZQ PHULWV DQG GHPHULWV 8QOLNH SRLQWHUV SRLQWHU DULWKPHWLF
FDQQRWEHGRQHRQUHIHUHQFHW\SHVDQGWKHSRZHURIWKHUHIHUHQFHW\SHLVOHVVWKDQWKDWRI
SRLQWHUV%XWLWLVVDIHDQGHDV\WREHKDQGOHGE\DEHJLQQHULQWKDWODQJXDJH
&KDVDKLJKOHYHORIYLHZWKDWDOOW\SHVDUHREMHFWVLWLVUHIHUUHGWRDVVRPHVRUW
RI³XQLILHGW\SHV\VWHP´
9DOXHW\SHV
7KH YDOXH W\SHV DUH MXVW OLNH VLPSOH & GDWDW\SHV WKDW GR QRW KDYH DQ\ REMHFW
RULHQWHGWRXFKZLWKWKHP,WLQFOXGHVVLJQHGW\SHVVE\WHELWVVKRUWELWVLQW
ELWVORQJELWVDQGWKHLUXQVLJQHGHTXLYDOHQWVE\WHXVKRUWXLQWXORQJ
7KHUH LV RQH FKDUDFWHU W\SH LQ & OLNH -DYD WKDW FDQ UHSUHVHQW D 8QLFRGH
FKDUDFWHU
7KH IORDWLQJSRLQW W\SHV DUH IORDW GRXEOH ERRO W\SH ZKLFK FDQ WDNH WUXHIDOVH
REMHFWEDVHW\SHIRUDOOW\SHV6WULQJPDGHXSRIVHTXHQFHRI8QLFRGHFKDUDFWHUVDUH
DYDLODEOH,WDOVRLQFOXGHVW\SHVOLNHVWUXFWDQGHQXP&GRHVQ¶WVXSSRUWXQLRQV
&LPSOHPHQWVEXLOWLQVXSSRUWIRUGDWDW\SHVOLNHGHFLPDODQGVWULQJERUURZHG
IURP 64/ DQG OHWV \RX LPSOHPHQW QHZ SULPLWLYH W\SHV WKDW DUH DV HIILFLHQW DV WKH
H[LVWLQJRQHV,Q&IRUPRVWRIWKHUHTXLUHPHQWVWKHW\SHµLQW¶VXIILFHVDQGZKHQXVHIRU
VXFKGHFLPDODULVHVLWLVFXVWRPDU\WRW\SHGHIDQGXVHWKHH[LVWLQJGDWDW\SHDVQHZW\SH
6WULQJVDV \RXNQRZWKHUHLVQRWPXFKVXSSRUWLQ&ODQJXDJHLWLVQRWDGDWDW\SH DQG
FORVHO\UHODWHGWRSRLQWHUV
$UUD\V
$UUD\VLQ&DUHRIUHIHUHQFHW\SHDQGPRVWO\IROORZ-DYDVW\OH&KDVWKHEHVW
RIERWKZRUOGVE\KDYLQJWKHUHJXODU&DUUD\ZKLFKLVUHIHUUHGLQ&DVUHFWDQJXODUDUUD\
DQGDOVRKDYH-DYDVW\OHµMDJJHG¶DUUD\V
LQWUHJXODU'$UUD\>@
WKLVLVDUHFWDQJXODU&OLNHDUUD\
LQWMDJJHG'$UUD\>@>@
WKLVLVDµMDJJHG¶DUUD\
,Q&DVZHKDYHVHHQµUDJJHG¶RUµMDJJHG¶DUUD\VFDQEHLPSOHPHQWHGE\KDYLQJD
SRLQWHU DUUD\ DQG DOORFDWLQJ PHPRU\ G\QDPLFDOO\ IRU HDFK DUUD\ 7KH VDPH LGHD LV
IROORZHG KHUH H[FHSW WKDW LQVWHDG RI SRLQWHU W\SH UHIHUHQFH W\SH LV XVHG 7KLV PDNHV
RSWLPDO XVH RI VSDFH VRPHWLPHV VLQFH WKH VXEDUUD\V PD\ EH RI YDU\LQJ OHQJWK 7KH
FRPSURPLVHLVWKDWDGGLWLRQDOLQGLUHFWLRQVDUHQHHGHGWRUHIHUWRDFFHVVVXEDUUD\V7KLV
DFFHVVRYHUKHDGLVQRWWKHUHLQUHFWDQJXODUDUUD\VLQFHDOOWKHVXEDUUD\VDUHRIVDPHVL]H
:KHQPRUHWKDQRQZD\RIUHSUHVHQWDWLRQLVVXSSRUWHGWKHQDWVRPHSRLQWRIWLPH
WKHXVHUZLOOUHTXLUHVZLWFKLQJIURPRQHUHSUHVHQWDWLRQWRDQRWKHU+HUHWRFRQYHUWIURP
RQHDUUD\W\SHWRDQRWKHUWHFKQLTXHVFDOOHGDVER[LQJDQGXQER[LQJDUHXVHG
6WUXFWVDQG&ODVVHV
6WUXFWV DUH RI YDOXH W\SH FRPSDUHG WR FODVVHV WKDW DUH RI UHIHUHQFH W\SH 7KLV
PHDQVVWUXFWVDUHSODLQVWUXFWVDVLQ&DQGWKHFODVVHVDUHXVHGIRUREMHFWRULHQWDWLRQDVLQ
&RU -DYD 7KH DGYDQWDJH KHUH LV WKDW LI DQ DUUD\ RI VWUXFW W\SH QHHGV WR EH GHFODUHG
WKH\FDQIXOO\EHFRQWDLQHGLQWKHDUUD\LWVHOI:KHUHDVDQDUUD\RIFODVVW\SHZLOODOORFDWH
WKHVSDFHRQO\IRUWKHUHIHUHQFHVDQGWKHDOORFDWLRQRIVSDFHIRUREMHFWVVKRXOGWDNHSDOFH
VWUXFW7\SH>@VWUXFW$UUD\ QHZVWUXFW7\SH>@
ZKHUHDVIRUWKHFODVVW\SH
FODVV7\SH>@REMHFW$UUD\ QHZFODVV7\SH>@
IRULQWL LL
REMHFW$UUD\>L@ QHZ3RLQW
'HOHJDWHV
'HOHJDWHVDUHWKHDQVZHUIRUWKHIXQFWLRQSRLQWHUVLQ&$VZHKDYHVHHQIXQFWLRQ
SRLQWHU LV D YHU\ SRZHUIXO IHDWXUH LQ & EXW FDQ EH HDVLO\ PLVXVHG DQG LV VRPHWLPHV
XQVDIH'HOHJDWHVFORVHO\UHVHPEOHIXQFWLRQSRLQWHUVDQG&SURPLVHVWKDWGHOHJDWHVDUH
W\SHVDIHVHFXUHDQGREMHFWRULHQWHG
GHOHJDWHYRLGGHOHJDWH7\SH
GHOHJDWH7\SHLVWKHW\SHWKDWFDQEHXVHGWRLQVWDQWLDWHGHOHJDWHV
WKDWWDNHQRDUJXPHQWVDQGUHWXUQQRWKLQJ
YRLGD)XQ
&RQVROH:ULWH/LQH³&DOOHGXVLQJD'HOHJDWH´
GHOHJDWH7\SHD'HOHJDWH QHZGHOHJDWH7\SHD)XQ
D'HOHJDWH FDOOD)XQ
(QXPV
&HQXPHUDWLRQVGLIIHUIURP&HQXPVVXFKWKDWWKHHQXPHUDWHGFRQVWDQWVQHHGWR
EHTXDOLILHGE\WKHQDPHRIWKHHQXPHUDWLRQ
HQXPZRUNLQJ'D\^
PRQGD\WXHVGD\ZHGQHVGD\WKXUVGD\IULGD\`
ZRUNLQJ'D\WRGD\
WRGD\ ZRUNLQJ'D\PRQGD\
QRWHWKDWPRQGD\LVTXDOLILHGE\ZRUNLQJ'D\
7KLVKHOSVWKHHQXPHUDWLRQFRQVWDQWVWRUHPDLQLQDVHSDUDWHQDPHVSDFH
&DVWLQJ
2QHRIWKHPDMRUSUREOHPVLQ&LVWKDWYLUWXDOO\DQ\ W\SH FDQEH FDVWHGWRRWKHU
W\SH 7KLV JLYHV SRZHU WR WKH SURJUDPPHU ZKHQ GRLQJ ORZOHYHO SURJUDPPLQJ & LV
VWURQJO\W\SHGDQGDULWKPHWLFRSHUDWLRQVDQGFRQYHUVLRQVDUHQRWDOORZHGLIWKH\RYHUIORZ
WKH WDUJHW YDULDEOH RU REMHFW ,I \RX DUH D SRZHU SURJUDPPHU & DOVR KDV IDFLOLW\ WR
GLVDEOHVXFKFKHFNLQJH[SOLFLWO\
7KHSUHSURFHVVRU
&VXSSRUWVSUHSURFHVVLQJ7KHSUHSURFHVVRUHOHPHQWV
GHILQH
XQGHI
LI
HOLI
HOVH
HQGLI
GRWKHVDPHMREDVLQ&)RUH[DPSOH
GHILQH35(
XQGHI35(
FODVV6RPH&ODVV
VWDWLFYRLGVRPH^
LI35(
'R7KLV)XQFWLRQ
HOVH
'R7KDW)XQFWLRQ
LI35(
'R6RPH)XQFWLRQWKLV7R6WULQJ
HQGLI
HQGLI
& WULHV WR LPSURYH XSRQ WKH &SUHSURFHVVRU DQG RQH VXFK LV µFRQGLWLRQDO
PHWKRGV¶WKDWLVGLVFXVVHGQRZ
&RQGLWLRQDOPHWKRGV
$QLQWHUHVWLQJDGGLWLRQLVWKHFRQGLWLRQDOPHWKRGV6FDWWHULQJWKHVRXUFHSURJUDP
ZLWK LIV DQG HQGLIV ORRNV XJO\ DQG LW EHFRPHV KDUG WR WHVW FRGH ZLWK SRVVLEOH
FRQGLWLRQDOLQFOXVLRQV)RUWKDW&SURYLGHVFRQGLWLRQDOPHWKRGVWKDWZLOOEHLQFOXGHGLI
WKDWSUHSURFHVVRUYDULDEOHLVGHILQHG)LUVWWKHPHWKRGKDVWREHGHFODUHG DV FRQGLWLRQDO
OLNHWKLV
LQWKHILOH³FRQGFV´
>&RQGLWLRQDO³35(´@
YRLGVWDWLF'R7KLV)XQFWLRQ
^
6\VWHP&RQVROH:ULWH/LQH³7KLVPHWKRGZLOOEHH[HFXWHG
RQO\LI35(LVGHILQHGLQWKHSODFHRILQYRFDWLRQ´
LQVLGH³VRPHFODVVFV´LQVLGHWKHFODVVGHILQLWLRQ
GHILQH35(
SXEOLFYRLGVWDWLFVRPH)XQFWLRQ^
FRQG'R7KLV)XQFWLRQ
IXQFWLRQLVFDOOHGEHFDXVH35(LVGHILQHG
XQGHI35(
SXEOLFYRLGVWDWLFVRPH)XQFWLRQ^
FRQG'R7KLV)XQFWLRQ
WKLVVWDWHPHQWLVLJQRUHGEHFDXVH35(LVQRWGHILQHGKHUH
7KLV LV QRW D YHU\ VLJQLILFDQW DGGLWLRQ DQG WKLV PD\ DIIHFW WKH FODVV KLHUDUFKLHV
)RUH[DPSOHLIWKHIXQFWLRQLQEDVHFODVVLVDFRQGLWLRQDOPHWKRGWKHQGHSHQGLQJRQWKH
SUHSURFHVVRUYDULDEOHLVGHILQHGRUQRWWKHGHULYHGFODVVHVPD\RYHUULGHLWRUFUHDWHDQHZ
IXQFWLRQ,QP\YLHZFRQGLWLRQDOPHWKRGVZLOOKHOSFRQIXVLQJWKHSURJUDPPHUPRUHWKDQ
KHOSSURJUDPPHU
& DOVR VXSSRUWV HUURU DQG OLQH LQ DGGLWLRQ WR D QHZ GLUHFWLYH ZDUQLQJ WKDW
ZRUNLQDVLPLODUZD\
8VLQJ¶QDWLYH·FRGH
7KH UHDOZRUOG DSSOLFDWLRQV UHTXLUH WR ZRUN ZLWK ROG FRGH WKDW LV DYDLODEOH DQG
WKDWLVSRVVLEOHLQ&WKURXJK
¾ ,QFOXGLQJQDWLYHVXSSRUWIRUWKH&RPSRQHQW2EMHFW0RGHO&20DQG
:LQGRZVEDVHG$3,V
¾ /RZOHYHOSURJUDPPLQJLVSRVVLEOHDQGEDVLFEORFNVOLNH&OLNHVWUXFWXUHVDUH
VXSSRUWHG
¾ $OORZLQJUHVWULFWHGXVHRIQDWLYHSRLQWHUV
$Q LQWHUHVWLQJ SRLQW WR QRWH LV WKDW WKH HYHU\ REMHFW LQ & EHFRPHV &20
FRPSRQHQW DXWRPDWLFDOO\ 6R WKH LQWHUIDFHV OLNH ,8QNQRZQ DUH DXWRPDWLFDOO\
LPSOHPHQWHG DQG QRW KDYH WR EH GRQH E\ WKH SURJUDPPHU H[SOLFLWO\ 'XH WR LWV FORVH
UHODWLRQVKLSZLWK&20REMHFWVWKH&SURJUDPVFDQQDWLYHO\XVHWKH&20FRPSRQHQWV
,W VKRXOG EH QRWHG WKDW WKH &20 FDQ EH ZULWWHQ LQ DQ\ ODQJXDJH DQG WKDW GLIIHUHQFH
GRHVQ¶WSURKLELWWKHLUXVHZLWKRWKHUFRPSRQHQWV
$WRQHOHYHOZKHUHWKHIXOOFRQWURORYHUWKHUHVRXUFHVLVUHTXLUHGWKH&&OLNH
SURJUDPPLQJRIXVLQJSRLQWHUVDQG H[SOLFLW PHPRU\ PDQDJHPHQW LQVLGH PDUNHG EORFNV
FDQEHGRQH
$OOWKLVPHDQVWKDWWKHWHVWHGOHJDF\&&FRGHQHHGQRWEHGLVFDUGHGDQGFDQ
VWLOOEHXVHGDQGEXLOGXSRQ
&RPSLOHU'HVLJQDQG&
7R KDYH D JRRG XQGHUVWDQGLQJ RQ WKH QXDQFHV RI & ODQJXDJH LW LV QHFHVVDU\ WR
KDYHVRPHLGHDDERXWWKHFRPSLODWLRQSURFHVV
$Q2YHUYLHZRI&RPSLODWLRQ3URFHVV
&RPSLODWLRQLVDSURFHVVE\ZKLFKWKHKLJKOHYHOODQJXDJHFRGHLVWUDQVODWHGLQWR
PDFKLQH XQGHUVWDQGDEOH FRGH 7KH VRIWZDUH WKDW SHUIRUPV WKLV MRE LV NQRZQ DV D
FRPSLOHU7KLVPDFKLQHOHYHOFRGHLVDOVRNQRZQDVREMHFWFRGHVLQFHFUHDWLQJWKLVFRGHLV
WKHREMHFWLYHRIWKHFRPSLOHU,QWKLVSDUWRIWKHFKDSWHUZHZLOOKDYHDQRXWORRNRQWKH
JHQHUDOFRPSLODWLRQSURFHVV
&RPSLODWLRQ LV QRW XVXDOO\ GRQH DW D VLQJOH VWUHWFK ,W FDQ JR WKURXJK VHYHUDO
SDVVHVGHSHQGLQJXSRQWKHFRPSOH[LW\6RPHWLPHVWKHVHSDVVHVPD\EHRUJDQL]HGWRGR
LWORJLFDOO\UDWKHUWKDQDFWXDOO\JRLQJWKURXJKRQHSDVVDIWHUDQRWKHU7KHFRQWUROIORZLQ
DW\SLFDOFRPSLOHULVJLYHQEHORZ
SUHSURFHVVLQJ ! OH[LFDO DQDO\VLV ! V\QWD[ DQDO\VLV ! VHPDQWLF DQDO\VLV !
DVVHPEO\FRGHJHQHUDWLRQ !RSWLPL]DWLRQ !REMHFWFRGH
$W WKLV VWDJH ZH JHW D UHORFDWDEOH FRGH ZKLFK LV JLYHQ WR WKH OLQNHU LQ WXUQ
SURGXFHV DQ H[HFXWDEOH FRGH 7R H[HFXWH LW ZH QHHG WR ORDG WKH FRGH LQ PHPRU\ $
ORDGHULVXVHGWRDFFRPSOLVKWKLVMRE
3UHSURFHVVLQJ
3UHSURFHVVRULVJHQHUDOO\XVHGIRUVXEVWLWXWLRQRIVWULQJVDQGPDFURV,WSURYLGHVD
ZD\ WR KDYH V\PEROLF FRQVWDQWV DQG LQOLQH IXQFWLRQV 2QH RI WKH PDLQ IHDWXUHV RI WKH
SUHSURFHVVRULVFRQGLWLRQDOFRPSLODWLRQ
3UHSURFHVVRU LV 127 D SDUW RI FRPSLOHU UDWKHU LW LV D WRRO WKDW UXQV EHIRUH WKH
FRPSLOHU RSHUDWHV RQ WKH FRGH 7KLV IHDWXUH LV PDLQO\ XVHG LQ DVVHPEOHUV 0RVW RI WKH
ODQJXDJHV GRQ¶W KDYH D SUHSURFHVVLQJ IDFLOLW\ DOWKRXJK RQH FDQ EH DGGHG WR LW 7KH
SUHSURFHVVRULQ&LVGHVLJQHGVXFKWKDWLWFDQEHGRQHLQDVLQJOHSDVV
/H[LFDO$QDO\VLV
µ'LYLGH DQG FRQTXHU¶ LV D JRRG UXOH ,I ZH FDQQRW LQWHUSUHW WKH PHDQLQJ RI D
OHQJWK\ VHQWHQFH DV D ZKROH ZH GLYLGH LW LQWR ZRUGV DQG WU\ WR DQDO\]H LW 6LPLODUO\ D
FRPSLOHUGLYLGHVWKHHQWLUHVRXUFHSURJUDPLQWROH[LFDOXQLWVEHWWHUNQRZQDVWRNHQVDQG
WKHQSURFHVVLW$WRNHQLVDZHOOGHILQHGZRUGRIWKHSURJUDPPLQJODQJXDJH,WPD\EHD
FRQVWDQWDNH\ZRUGDQLGHQWLILHUHWF«
7KHOH[LFDODQDO\]HUDOVRFDOOHGDVVFDQQHUDFFRPSOLVKHVWKLVEUHDNLQJXSMRE,Q
VRPH LPSOHPHQWDWLRQV WKH OH[LFDO DQDO\]HUV HYHQ HQWHU WKH LGHQWLILHU QDPHV LQWR WKH
V\PEROWDEOHIRUODWHUXVHE\RWKHUSDUWVRIWKHFRPSLOHU
&RQVLGHU D W\SLFDO H[DPSOH ZKHUH D VSHOO FKHFNHU RI D ZRUG SURFHVVRU WULHV WR
UHDGWKHZRUG³PDQQHU´,WIROORZVWKHJUHHG\DOJRULWKPLHORRNIRUWKHORQJHVWZRUG
:KHQ LW KDV UHDGV WKH FKDUDFWHUV µP¶ µD¶ µQ ¶ LW QHYHU LPPHGLDWHO\ LQWHUSUHWV LW DV D
ZRUGPDQ ,WDOZD\VDVVXPHVWKDWWKHIROORZLQJFKDUDFWHUVPD\EH DSDUWRIWKLVZRUG
DQG LQ WKLV H[DPSOH LW LV 6R µQHU¶ LV DOVR UHDG DQG µPDQQHU¶ LV FRQVLGHUHG DV D ZRUG
:KHQ WKH DVVXPSWLRQ IDLOV WKH ZRUG DOUHDG\ IRUPHG LV UHWXUQHG DQG WKH UHFHLYHG
FKDUDFWHULVFRQVLGHUHGDVDEHJLQQLQJRIWKHQH[WZRUG
$ & OH[LFDO DQDO\]HU ZLOO DOZD\V IROORZ WKLV µPD[LPDO PXQFK¶ UXOH VRPHWLPHV
UHIHUUHG WR DV µJUHHG\ WHFKQLTXH¶ 8QGHUVWDQGLQJ WKLV UXOH LV YHU\ XVHIXO LQ FDVH RI
RSHUDWRUVOLNH$IHZH[DPSOHVZRXOGH[SODLQWKLV
¾ [\
¾ [\
¾ [\
¾ [\
7KH VFDQQHU VHHV WKH LQSXW [ ,W UHFRJQL]HV [ DV DQ LGHQWLILHU DQG UHWXUQV
µLGHQWLILHU¶ WR WKH SDUVHU $QG WKHQ LW ORRNV IRU WKH QH[W WRNHQ ,W PRYHV WR VFDQ ,W
GRHVQ¶WLPPHGLDWHO\UHWXUQµSOXV¶7KHQH[WFKDUDFWHULVDOVRµ¶$VLVYDOLGLWUHWXUQV
µSOXVBSOXV¶DQGVWDUWVVFDQQLQJIRUWKHQH[WWRNHQµ\¶LVUHDGDQGUHWXUQHGDVDQLGHQWLILHU
6R WKH VHTXHQFH LV UHFRJQL]HG DV [ \ DQG QRW DV [ \ 7KLV
H[SUHVVLRQLVLQYDOLGDQGWKHFRPSLOHULVVXHVDQHUURU
8VLQJ WKH VDPH LGHD [\ ZLOO EH UHFRJQL]HG DV [ \ VR LV D YDOLG
H[SUHVVLRQ
&RQVLGHULQJ[\ LWZLOOEHUHDGDV[\ ZKLFKLVLOOHJDO
$QGILQDOO\[\ ZLOOEHUHDGDV[ \ZKLFKLVDOVRLOOHJDO
6RLI\RXZDQWWKHOH[LFDODQDO\]HUWRLQWHUSUHWOLNH[\ \RXVKRXOG
JLYHWKHVDPHE\LQVHUWLQJEODQNVH[SOLFLWO\
7KDW¶VZK\[!\ LVLQWHUSUHWHGDV[!\ DQGQRWDV[!\

([HUFLVH
LMLVVFDQQHGDV L M +HUH LV D ELQDU\ RSHUDWRU &RQVLGHU WKLV L M
WKDWLVVFDQQHGDVL M+HUHLV DXQDU\RUELQDU\RSHUDWRU"6LPLODUO\FRQVLGHUWKLV
L MZKLFKLVVFDQQHGDVL M:KLFK EHFRPHVXQDU\DQGZKLFKEHFRPHVELQDU\",Q
JHQHUDOKRZGR\RXWKLQNWKHUHVROXWLRQRIXQDU\DQGELQDU\RSHUDWRUVDUHPDGHLQVXFK
FDVHV"
([HUFLVH
LQWL
LQW LS L
LQW LSS L
/HW XV FRQVLGHU DQ LQWHUHVWLQJ SUREOHP DVVRFLDWHG ZLWK DSSOLFDWLRQ RI WKLV
µPD[LPDOPXQFK¶UXOH
LQWL M
LQW LS L MS M
LQWN LS MS
SULQWI³GŃ
7KH FRPSLOHU LVVXHG DQ HUURU VWDWLQJ WKDW ³8QH[SHFWHG HQG RI ILOH LQ FRPPHQW
VWDUWHGLQOLQH´7KHSURJUDPPHULQWHQGHGWRGLYLGHWZRLQWHJHUVEXWE\WKHµPD[LPXP
PXQFK¶UXOHWKHFRPSLOHUWUHDWVWKHRSHUDWRUVHTXHQFHDQG DV ZKLFKKDSSHQVWREH
WKHVWDUWLQJRIFRPPHQW7RIRUFHZKDWLVLQWHQGHGE\WKHSURJUDPPHU
LQWN LS MS
JLYHVRPHVSDFHH[SOLFLWO\WRVHSDUDWHDQG
RU
LQWN LS MS
SXWEUDFHVWRIRUFHWKHLQWHQWLRQ
ZLOOVROYHWKHSUREOHP
6\QWD[$QDO\]HU
-XVWOLNHDQ\QDWXUDOODQJXDJHZHXVHDOOWKHSURJUDPPLQJODQJXDJHVKDYHWKHLU
RZQV\QWD[7KHV\QWD[LVH[SODLQHGE\WKHXQLTXH JUDPPDURIWKHODQJXDJH*UDPPDU
DFWV DV D WRRO WR UHFRJQL]H WKH SURJUDP JLYHQ DV LQSXW 6\QWD[ DQDO\]HU DV WKH QDPH
VXJJHVWVYHULILHVWKHVWUXFWXUHRIWKHSURJUDPDJDLQVWWKHODQJXDJHVSHFLILFDWLRQVZLWKWKH
KHOSRIJUDPPDU(YHU\YDOLGSURJUDPVKRXOGFRQIRUPWRWKHFRUUHVSRQGLQJJUDPPDU&
DOVR KDV D ZHOOGHILQHG JUDPPDU *UDPPDU LV D YHU\ SRZHUIXO WRRO )RU H[DPSOH WKH
SUHFHGHQFHDQGDVVRFLDWLYLW\RIWKHRSHUDWRUVLQWKHH[SUHVVLRQVFDQEHGLUHFWO\VSHFLILHG
E\WKHJUDPPDU
The rules of precedence are encoded into the production rules for each operator.
Production rules in-turn call others so, the precedence is formed.
For example, the syntax for additive-expression includes the rule:
DGGLWLYHH[SUHVVLRQ
DGGLWLYHH[SUHVVLRQ RU PXOWLSOLFDWLYH
H[SUHVVLRQ
First the production rules that involve the lowest levels is called. They in-turn
check for the production rules that involve the operators of higher level. Thus the
precedence is given through grammar.
Similarly the associativity is also expressed in the production rules. Consider the
same additive-expression production. All the +(or)- operators are recognized from left-to
right because the left-non-terminal comes in the left-side of the production rule. Compare
it to other productions with right-to-left associativity.
&RQGLWLRQDO([SU
&RQGLWLRQDO2U([SU
&RQGLWLRQDO2U([SU"([SU&RQGLWLRQDO([SU
The left-non-terminal comes in the RHS of the production rule. In this way, the
associativity can be expressed in the grammar productions.
$QVZHUVWRTXHVWLRQVUHODWHGWRPDQ\TXHVWLRQVVXFKDVZK\WKHFRPSLOHUVUHTXLUH
W\SHQDPHWREHSXWLQWRWKHSDUHQWKHVLVLQVL]HRIRSHUDWRUDVLQWKHIROORZLQJ
VL]HRILQW
GRHVQ¶WLVVXHHUURU
VL]HRILQW
LVVXHVHUURU
DUHUHODWHGZLWKV\QWDFWLFLVVXHV$ORRNDWWKHJUDPPDURI&ZLOOKHOSXQGHUVWDQGWKLV
XQDU\H[SUHVVLRQ
SRVWIL[H[SUHVVLRQ
XQDU\H[SUHVVLRQ
XQDU\H[SUHVVLRQ
XQDU\RSHUDWRUFDVWH[SUHVVLRQ
VL]HRIXQDU\H[SUHVVLRQ
VL]HRIW\SHQDPH
7KH JUDPPDU VD\V WKDW XQDU\H[SUHVVLRQ PD\ EH PDGH XS RI DQ\ RQH RI WKH VL[
RSWLRQV $V \RX FDQ VHH WKDW WKH V\QWD[ RI WKH VL]HRI VD\V WKDW WKH W\SHQDPH KDV WR EH
JLYHQRQO\ZLWKLQWKHSDUHQWKHVLVSURYLGLQJWKHDQVZHU
/HWVVHHDQRWKHUH[DPSOH
YRLGIXQLQWLLQWM
LIL!M
JRWRHQG
HOVH
UHWXUQ
HQG
7KHFRPSLOHULVVXHVDV\QWD[HUURUVWDWLQJWKDW³LVPLVVLQJEHIRUH`´
+DYHDORRNDWWKHJUDPPDUIRUODEHOV
ODEHOHGVWDWHPHQW
LGHQWLILHUVWDWHPHQW
FDVHFRQVWDQWH[SUHVVLRQVWDWHPHQW
GHIDXOWVWDWHPHQW
6R WKH JUDPPDU PDQGDWHV WKH ODEHO VKRXOG EH IROORZHG E\ D FRORQ DQG D
VWDWHPHQW 7KH V\QWD[ DQDO\]HU LVVXHG DQ HUURU EHFDXVH WKH SURJUDP GLGQ¶W IROORZ WKH
JUDPPDU FRUUHFWO\ .QRZLQJ WKLV \RX FDQ LQVHUW DQ\ VWDWHPHQW RU D QXOO VWDWHPHQW WR
PDNHLWFRQIRUPDQWWRWKHJUDPPDU
YRLGIXQLQWLLQWM
LIL!M
JRWRHQG
HOVH
UHWXUQ
HQG
LQVHUW DW OHDVW D QXOO VWDWHPHQW WR PDNH LW FRQIRUPDQW WR WKH
V\QWD[
7KXVWKHGXW\RIWKHV\QWD[DQDO\]HULVWRPDNHVXUHWKDWWKHSURJUDPFRQFHUQHG
FRQIRUPVIXOO\WRWKHJUDPPDUDQGSURPSWO\LVVXHPHVVDJHVWRWKHXVHULIYLRODWHG
6HPDQWLF$QDO\VLV &RGH*HQHUDWLRQ
$IWHU YHULI\LQJ WKH FRUUHFWQHVV IRU WKH V\QWD[ WKH FRPSLOHU JRHV RQ WR WKH QH[W
SKDVH FDOOHG VHPDQWLF DQDO\VLV ,Q WKLV SKDVH WKH FRPSLOHU XQGHUVWDQGV WKH ODQJXDJH
FRQVWUXFWVDQGWKHDSSURSULDWHREMHFWFRGHLVSURGXFHGHLWKHUH[SOLFLWO\RULPSOLFLWO\7KH
JUDPPDUKDVWKH OLPLWDWLRQ WKDW LW FDQ RQO\ FKHFN WKH V\QWDFWLF YDOLGLW\ RI WKH SURJUDP
,QIHUULQJ WKH PHDQLQJ RI D VWDWHPHQW LQYROYHV FDUHIXO DQDO\VLV RI WKH VRXUFH SURJUDP
2QO\LIWKHVWDWHPHQWVPDNHDQ\VHQVHWKHFRGHLVJHQHUDWHGHOVHDQHUURULVLVVXHG
3DUVHULVWKHSDUWRIWKH FRPSLOHUWKDWWDNHVFDUHRIV\QWD[DQGVHPDQWLFDQDO\VLV
6\QWD[DQGVHPDQWLFDQDO\VLVQRUPDOO\JRKDQGLQKDQG
FRQVWLQWL
LIL!
L
,I WKLV FRGH LV H[HFXWHG WKH FRPSLOHU ZLOO LVVXH D ZDUQLQJ PHVVDJH OLNH
³XQUHDFKDEOHFRGHL´,WSUHGLFWVWKDWWKHLIFRQGLWLRQZLOOQHYHUEHH[HFXWHG DQGWKLV
LQIRUPDWLRQLVIRXQGLQVHPDQWLFDQDO\VLVSKDVH
&RGHJHQHUDWLRQLQYROYHVJHQHUDWLQJWKHFRGHWKDWLVIRUWKHWDUJHWPDFKLQHZKHUH
WKHSURJUDPUXQV
2SWLPL]DWLRQ
7KLVLVDQRSWLRQDOEXWGHVLUDEOHSDUWRIWKHFRPSLOHU$FWXDOO\WKHJHQHUDWHGFRGH
PD\ QRW EH WKH RSWLPDO FRGH WR GR WKH MRE 6R WKH FRPSLOHU ZLOO XVH ZHOONQRZQ
DOJRULWKPVWRDQDO\]HDQGSURGXFHDVPDOOHUDQGHIILFLHQWFRGHWKDWGRHVWKHVDPHMRE
/HWVVHHIHZH[DPSOHVRIKRZWKHFRPSLOHUVRSWLPL]HWKHFRGHWKDWZHZULWH
'HDGFRGHHOLPLQDWLRQ
&RQVLGHUWKHFRGH
L M
,WKDVWREHUHPHPEHUHGWKDWWKHVWDWHPHQWVDUHH[HFXWHGIRUWKHLUVLGHHIIHFWV,Q
WKLVFDVHLDQGMDUHPXOWLSOLHGZLWKQRVLGHHIIHFWVDQGVRKDVQRHIIHFWLQWKHSURJUDP
H[HFXWLRQ6RWKHRSWLPL]HUFDQVDIHO\RPLWWKHFRGHJHQHUDWHGIRUWKHVWDWHPHQW
6WUHQJWKUHGXFWLRQ
6WUHQJWKUHGXFWLRQLQYROYHVUHSODFLQJRIFRQVWUXFWVWKDWWDNHPRUHUHVRXUFHVZLWKWKH
RQHWKDWWDNHVOHVVHU
LQWL M
IRUM MLM
D>M@ M
7KHIRUORRSFDQEHUHSODFHGZLWKPRUHHIILFLHQWDQGVLPSOHUVWDWHPHQWVDVIROORZV
D>@
D>@
D>@
7KLVPDNHVWKHFRGHPRUHHIILFLHQW
$ VLPLODU WHFKQLTXH LV WR UHSODFH D VPDOO VZLWFK VWDWHPHQW ZLWK LIWKHQHOVH
VWDWHPHQWV
&RPPRQ6XEH[SUHVVLRQV
:KHQ LQ D VWDWHPHQW H[SUHVVLRQV LI UHSHDWHG FDQ EH UHSODFHG LI WKH YDULDEOHV
LQYROYHGLQERWKWKHH[SUHVVLRQVSURYLGHGWKDWQRYDULDEOHWKDWLVSDUWRIWKHH[SUHVVLRQ
RFFXUUHG LQ WKH /+6 RI DQ\ DVVLJQPHQW VWDWHPHQW LH GLGQ¶W XQGHUJR DQ\ FKDQJH
LQWM N
O P N N
+HUHWKHH[SUHVVLRQN LVHQRXJKWREHHYDOXDWHGRQFHDQGWKHUHVXOWFDQEHXVHGLQ
WKH QH[W H[SUHVVLRQ DVVXPLQJ WKDW N¶V YDOXH LV QRW PRGLILHG EHIRUH WKDW UHSODFHPHQW
RFFXUV
LQWM N
O P MN
QRWHRSWLPL]DWLRQKHUH
5HSODFLQJUXQWLPHHYDOXDWLRQVZLWKFRPSLOHWLPHRQHV
7KLV LV WKH LGHD ZH KDYH DOUHDG\ GLVFXVVHG LQ WKH IRUP RI FRQVWDQWH[SUHVVLRQ
HYDOXDWLRQ 6XEVWLWXWLRQ RI FRQVWDQW YDULDEOHV ZLWK LWV HTXLYDOHQW FRQVWDQWV LV DOVR RQH
VXFKRSWLPL]DWLRQ
8QUHDFKDEOHFRGH
6HPDQWLF DQDO\VLV FDQ UHYHDO PDQ\ LPSRUWDQW GHWDLOV WKDW PD\ EH XVHIXO LQ
RSWLPL]DWLRQVDQGDOVRLQJLYLQJLQWHOOLJHQWPHVVDJHVWRWKHSURJUDPPHU
FRQVWLQW758(
LI758(
WKLVOLQHZLOOQHYHUEHH[HFXWHG
+HUHDWFRPSLOHWLPHFRPSLOHUFDQLGHQWLI\WKDWWKHFRGH JLYHQFRQWDLQVVWDWHPHQWVWKDW
ZLOO QHYHU EH H[HFXWHG $Q LQWHOOLJHQW RSWLPL]HU ZLOO QRW SURGXFH DQ\ FRGH IRU WKRVH
XQUHDFKDEOH VWDWHPHQWV 7KDW¶V ZK\ \RX VRPHWLPHV JHW ZDUQLQJ PHVVDJHV OLNH
³XQUHDFKDEOHFRGHLQIXQFWLRQB[\]´DQG³WKHFRGHKDVQRHIIHFWLQIXQFWLRQBSTU´
/RRSRSWLPL]DWLRQV
6LQFH PRVW RI WKH H[HFXWLRQ WLPH LV VSHQW LQ H[HFXWLQJ WKH VWDWHPHQWV LQVLGH WKH
ORRSV LQ DOPRVW DQ\ SURJUDP RSWLPL]DWLRQV RQ ORRSV KDYH VLJQLILFDQW HIIHFW LQ WKH
H[HFXWLRQWLPHHIILFLHQF\
ZKLOHL M
LIL^
L
GRVRPHWKLQJ
HOVH ^
GRVRPHWKLQJHOVH
L
7KLVORRSFDQEHRSWLPL]HGWR
ZKLOHL M
L
LIL^
GRVRPHWKLQJ
HOVH ^
GRVRPHWKLQJHOVH
EHFDXVH WKH VWDWHPHQW L LV SDUW RI ERWK WKH LI DQG HOVH VWDWHPHQWV DQG WKH FRGH
EHFRPHVFRPSDFW
7KHUH DUH VHYHUDO ORRS RSWLPL]DWLRQ WHFKQLTXHV OLNH WKLV DUH DYDLODEOH >$KR DQG
8OOPDQ@LVRQHJRRGUHIHUHQFHWKDWZLOOEHXVHIXOLQ DSSO\LQJ RSWLPL]DWLRQV HYHQ
WKHSURJUDPVZHZULWH
&RPSLOHUV KDYH YDULRXV RSWLRQV WR IRUFH WKH RSWLPL]DWLRQV RU WR DYLRG
RSWLPL]DWLRQV)RUGHEXJJLQJSXUSRVHVWKHRSWLPL]DWLRQVFDQEHVZLWFKHGRII)RUUHOHDVH
YHULRQVRIWKHVRIWZDUH DQG IRU WHVWLQJ LW LV EHWWHU WR KDYH RSWLPL]DWLRQV EH GRQH RQ WKH
FRGH
([HUFLVH
&RQVLGHUWKHWZRFRGHV
DIRUL LQXPL
EIRUL QXPL!L
:KLFKRQHGH\RXWKLQNH[HFXWHVIDVWHU"LIQHFHVVDU\DVVXPHWKDWQRFRGHRSWLPL]DWLRQ
LVGRQHWKHPLFURSURFHVVRUKDVIODJVHWF
2WKHU,PSRUWDQW3DUWV
7KHRWKHULPSRUWDQWSDUWVRIWKHFRPSLOHUDUH
7DEOHPDQDJHPHQWURXWLQHV
6\PERO WDEOH LV WKH VWUXFWXUH WKDW ZLOO EH DFFHVVHG E\ DOPRVW DOO VWDJHV RI WKH
FRPSLOHUDQGORWRIRWKHUWDEOHVKDVWREHPDQDJHG7KHWDEOHPDQDJHPHQWPRGXOHVWDNH
FDUHRIWKHPDQDJHPHQWRIWKHYDULRXVWDEOHVLQYROYHGLQWKHSURFHVVRIFRPSLOLQJ
(UURU+DQGOHU
:KLOHFRPSLOLQJHUURUVFDQRFFXUDWDQ\WLPHDQGWKHHUURUKDQGOLQJPRGXOHWDNHV
FDUHRIWKHSURFHVVRILVVXLQJWKHHUURUPHVVDJHVWRWKHXVHU,WDOVRKDVWKHLPSRUWDQWMRE
RIUHFRYHULQJIRUPWKHHUURUDQGFRQWLQXHVWKHFRPSLODWLRQSURFHVVLISRVVLEOH
$QH[DPSOH
/HWVORRNDWDQH[DPSOHRIWDNLQJDFRGHDQGVHHLWWKURXJKYDULRXVVWDJHVRIKRZ
LWLVFRPSLOHG7KHVRXUFHFRGHLV
LQWL IRXU IXQ
7KHOH[LFDODQDO\]HULVWKHILUVWSDUWRIWKHFRPSLOHUWRDWWDFNLWDQGLWUHWXUQVWKHWRNHQVWR
WKHSDUVHU7KHWRNHQVUHWXUQHGDUH
.(<:25'LQW
,'(17,),(5L
(48$/B72B23
,'(17,),(5IRXU
08/7,B23
,17B&2167$17
$''B23
,'(17,),(5IXQ
23(1B3$5(16
&/26(B3$5(16
6(0,B&2/21
7KH V\QWD[ DQDO\]HU FKHFNV IRU WKH FRUUHFWQHVV RI WKH FRGH SURJUDP FRGH DQG
ILQGV LW WR EH DFFHSWDEOH ,W VHHV WKDW WKH RSHUDWRUV DUH KDYLQJ YDOLG RSHUDQGV DQG WKH
VWDWHPHQWHQGVZLWKVHPLFRORQ
1H[W WKH VHPDQWLF DQDO\]HU RSHUDWHV RQ LW WR VHH ZKDW WKH FRGH PHDQV +HUH LW
HQWHUV WKH YDULDEOH L LQWR WKH V\PERO WDEOH ,W FKHFNV LI WKH LGHQWLILHUV IRXU DQG IXQ DUH
DOUHDG\GHFODUHGDQGORRNVIRULWVGHWDLOVLQWKHV\PEROWDEOH
1RZWKHLQWHUPHGLDWHFRGHJHQHUDWRUFUHDWHVFRGHIRUWKLVFRGHVHJPHQWWKDWPD\
ORRNOLNH
029BWHPS
PRYWRWHPS
08/BWHPSBIRXU
PXOWLSO\IRXUDQGWHPSDQGVWRUHUHVXOWLQWHPS
&$//BWHPSBIXQ
FDOOWKHIXQDQGVWRUHWKHUHVXOWLQ
$''BWHPSWHPS
DGGWHPSDQGWHPSVWRUHWKHUHVXOWLQWHPS
029BLBWHPS
PRYHWKHILQDOUHVXOWWRL
7KH RSWLPL]HU PD\ RSWLRQDOO\ RSHUDWH RQ WKLV LQWHUPHGLDWH FRGH WR JHQHUDWH D PRUH
HIILFLHQWYHUVLRQRIWKHFRGH
7KH ILQDO SDUW LV WKH FRGH JHQHUDWRU WKDW FRQYHUWV WKH SODWIRUP LQGHSHQGHQW
LQWHUPHGLDWHFRGHWRSODWIRUPGHSHQGHQWREMHFWFRGH:LWKWKLVWKH FRPSLODWLRQ SURFHVV
HQGVDQGWKHOLQNHUWDNHVFDUHWROLQNWKHREMHFWILOHVWRJHQHUDWHWKHILQDOH[HFXWDEOHFRGH
&RPSLOHUVIRU&
7KRXVDQGV RI FRPSLOHUV KDYH EHHQ ZULWWHQ IRU & ODQJXDJH $ ZLGH UDQJH RI
FRPSLOHUVLVDYDLODEOHFRPPHUFLDOO\WREHFKRVHQIURP&LVDUHODWLYHO\VPDOOODQJXDJH
VRLWUHTXLUHVDFRPSDUDWLYHO\VPDOOFRPSLOHU,QIDFW'HQQLV05LWFKLHZURWHWKHILUVW&
FRPSLOHUIRU3'3WKDWFDQEHVWRUHGLQMXVWNRIPHPRU\,WZDVEDVLFDOO\DWZRSDVV
FRPSLOHU DQG RSWLRQDO WKLUG SDVV IRU RSWLPL]DWLRQ ZDV DOVR DYDLODEOH ,W XVHG RSHUDWRU
SUHFHGHQFHIRUH[SUHVVLRQVDQGUHFXUVLYHGHVFHQWSDUVLQJIRUDOORWKHUFRQVWUXFWV
$V,VDLGHDUOLHUPRVWRIWKHFRPSLOHUVLQWKHPDUNHWKDYHWZRSDVVVWUXFWXUH7KH
ILUVW SDVV LV XVHG IRU OH[LFDO DQG V\QWD[ DQDO\VLV DQG SURGXFHV LQWHUPHGLDWH FRGH 7KH
VHFRQGSDVVHPSOR\VWKHRSWLPL]DWLRQDQGFRGHJHQHUDWLRQ
3DUVLQJ
Parsing is the general term for the part of the compiler that involve the parts of
syntax-analyzer, semantic analyzer and sometimes the code-generator. 7KLVVHUYHVDVWKH
QH[WFRPSRQHQWWROH[LFDODQDO\]HU3DUVLQJWHFKQLTXHVLQYROYHLQDQDO\]LQJWKHV\QWDFWLF
DQGVHPDQWLFSDUWVRIWKHSURJUDPIURPWKHWRNHQVUHWXUQHGIURPWKHOH[LFDODQDO\]HUDQG
VHUYHV WR JHQHUDWH FRGH E\ WKH LQWHUPHGLDWH FRGH JHQHUDWRU 7KHUH DUH ORWV RI SDUVLQJ
WHFKQLTXHVDYDLODEOHIURPVLPSOHWRFRPSOH[DQGVXLWDEOHIRUKDQGZULWWHQRUDXWRPDWHG
5HFXUVLYHGHVFHQWSDUVLQJ
7KLV W\SH RI SDUVHU LV RQH RI WKH HDVLHVW SDUVHU WR LPSOHPHQW $V WKH QDPH
LQGLFDWHV LW HPSOR\V WKH UHFXUVLRQ DV WKH EDVLV IRU SDUVLQJ WKH JLYHQ VRXUFH 7KH
SURGXFWLRQ UXOHV RI WKH JLYHQ JUDPPDU FDQ GLUHFWO\ EH FRQYHUWHG WR IXQFWLRQV LQ WKH
SDUVHU ,Q RWKHU ZRUGV LW FDQ KDYH RQHWRRQH UHODWLRQVKLS EHWZHHQ WKH JUDPPDU
SURGXFWLRQVDQGWKHIXQFWLRQVWKDWKDYHWREHZULWWHQLQWKHUHFXUVLYHGHVFHQWSDUVHU6RLW
EHFRPHVHDV\WRKDQGFRGHWKHZKROHSDUVHUDQGKDVPRUHUHDGDELOLW\DQGLVFOHDUHUIRU
WKHFRPSLOHUZULWHU
7KH SURGXFWLRQ UXOHV LQYROYH OHIWUHFXUVLRQ ZKLFK PHDQV WKDW WKH VDPH QRQ
WHUPLQDOVWKDWDUHLQWKH/+6DSSHDULQWKH5+6RIWKHSURGXFWLRQDOVR6LQFHWKHSDUVHU
HPSOR\VUHFXUVLRQWKLVPD\OHDGWRLQILQLWHORRS
FRQVLGHUWKHSURGXFWLRQ
DGGLWLYHH[SUHVVLRQ
DGGLWLYHH[SUHVVLRQRUPXOWLSOLFDWLYH
H[SUHVVLRQ
LILWLVFRQYHUWHGGLUHFWO\WRWKHUHFXUVLYHIXQFWLRQDV
DGGLWLYH([SU
^
DGGLWLYH([SU
ZKLOHDGGLWLYH2SHUDWRUVWRNHQ
DGYDQFH
PXOWLSOLFDWLYH([SU
DV\RXFDQVHHLQWKLVFRGHLWOHDGVWRLQILQLWHORRS
7KH JUDPPDU SURGXFWLRQ PHDQV VRPHWKLQJ GLIIHUHQW ,W PHDQV WKDW DOO WKH
PXOWLSOLFDWLRQ H[SUHVVLRQV KDYH WR EH FRPSLOHG EHIRUH KDQGOLQJ WKH DGGLWLYHV\PEROV
7KHPXOWLSOLFDWLYHH[SUHVVLRQSURGXFWLRQLQWXUQZLOOLQWXUQFKHFNIRUWKHRSHUDWRUVZLWK
VWLOO KLJKHU SUHFHGHQFH WKDQ WKHP WR JHW WKHP UHFRJQL]HG ILUVW WKURXJK VLPLODU JUDPPDU
SURGXFWLRQV
7RUHPRYHWKHOHIWUHFXUVLRQWKHJUDPPDUSURGXFWLRQFDQEHZULWWHQDV
DGGLWLYHH[SUHVVLRQ
PXOWLSOLFDWLYHH[SUHVVLRQ DGGLWLYHH[SUHVVLRQ
SULPH
DGGLWLYHH[SUHVVLRQSULPH
RU PXOWLSOLFDWLYHH[SUHVVLRQ DGGLWLYH
H[SUHVVLRQSULPH
1RZLWFDQEHLPSOHPHQWHGXVLQJHTXLYDOHQWIXQFWLRQVDV
DGGLWLYH([SU
PXOWLSOLFDWLYH([SU
DGGLWLYH([SU3ULPH
DGGLWLYH([SU3ULPH
LIDGGLWLYH2SHUDWRUVWRNHQ
DGYDQFH
PXOWLSOLFDWLYH([SU
DGGLWLYH([SU3ULPH
$V\RXFDQVHHWKHILUVWIXQFWLRQDGGLWLYH([SULVFDOOHGRQO\RQFHDQGLW
LQWXUQ FDOOV DGGLWLYH([SU3ULPH 7KLV VHFRQG IXQFWLRQ KDV UHFXUVLRQ DQG FDOOV
RYHUDJDLQDQGDJDLQWLOODOOWKHDGGLWLYHRSHUDWRUVDUHH[KDXVWHG
7KHERWKFDQEHFRPELQHGDQGWKHHTXLYDOHQWIXQFWLRQFDQEHZULWWHQPRUHQRQ
IRUPDOO\DV
DGGLWLYH([SU
PXOWLSOLFDWLYH([SU
ZKLOHDGGLWLYH2SHUDWRUVWRNHQ

^
DGYDQFH
PXOWLSOLFDWLYH([SU
DGGLWLYH([SU3ULPH
/RRNDWWKHRULJLQDOJUDPPDUSURGXFWLRQDQGWKHDYDLODEOHIXQFWLRQLPSOHPHQWDWLRQ7KLV
LV KRZ WKH UHFXUVLYHGHVFHQW SDUVHUV FDQ EH LPSOHPHQWHG GLUHFWO\ IURP JUDPPDU
SURGXFWLRQV
7KH¶WLQ\([SU·([SUHVVLRQ&RPSLOHU
-DYD LQKHULWV PRVW RI WKH RSHUDWRUV IURP & DQG VR WKH & DQG -DYD H[SUHVVLRQV
ZRUN YHU\ VLPLODU µWLQ\([SU¶ LV D VPDOO H[SUHVVLRQ FRPSLOHU WKDW FRPSLOHV WKH
H[SUHVVLRQV WR WKH LQWHUPHGLDWH FRGH E\ WKH VWDQGDUG FRPSLODWLRQ SURFHVV 7KLV
LPSOHPHQWDWLRQRIWKHFRPSLOHUVHUYHVPXOWLSOHSXUSRVHV
¾ WR H[SODLQ WKH RYHUDOO ZRUNLQJ RI WKH VWDQGDUG FRPSLODWLRQ SURFHVV E\
LPSOHPHQWLQJ YDULRXV SDUWV RI WKH FRPSLOHU WKH OH[LFDO DQDO\]HU SDUVHU HWF
DQG KRZ WKH\ LQWHUDFW DQG ZRUN WRJHWKHU WR FRQYHUW WKH VRXUFH FRGH WR WKH
WDUJHWFRGHKHUHE\WHFRGH
¾ DVRQHDSSOLFDWLRQWRVKRZKRZSRZHUIXOUHFXUVLRQLVDQGH[SODLQWKHZRUNLQJ
RIDUHFXUVLYHGHVFHQWSDUVHU
¾ WRXQGHUVWDQGKRZFRPSLOHUVZRUNWRXQGHUVWDQGWKHH[SUHVVLRQVZHZULWHLQ
RXU SURJUDPV DQG XQGHUVWDQGLQJ WKH ZRUNLQJ RI WKLV FRPSLOHU PD\ VHUYH WR
XQUDYHO VRPH
VHFUHWV
RI KRZ H[SUHVVLRQV DUH HYDOXDWHG DQG ZK\ VRPHWLPHV
WKH\JLYHVRPH
ZHLUG
UHVXOWVWRH[SODLQKRZ-DYDE\WHFRGHVDUHSURGXFHGDQG
KRZWKH\VHUYHWRPDNH-DYDSODWIRUPLQGHSHQGHQW
¾ WKH EDVLFV RI KRZ E\WHFRGH LQWHUSUHWHUV YLUWXDO PDFKLQHV -DYD ZRUNV DQG
KRZWKHSODWIRUPLQGHSHQGHQWEHKDYLRULVDFKLHYHG
¾ WR VHUYH DV D SULPLWLYH VWDUWLQJ SRLQW IRU ZULWH D IXOOIOHGJHG & RU -DYD
FRPSLOHU
<HV7KHLPSOHPHQWDWLRQLVVRVPDOODQGVHUYHVLWVSXUSRVHRIFRPSLOLQJH[HFXWLQJ
H[SUHVVLRQVDQGDWWKHVDPHWLPHIXOILOOVDOOWKHSXUSRVHVLQRQH7KHIXOOLPSOHPHQWDWLRQLV
JLYHQDVDSSHQGL[DQGWKHFRQFHSWVDUHH[SODLQHGLQWKHUHPDLQLQJRIWKHFKDSWHU
µWLQ\([SU¶ FRPSLOHU WDNHV H[SUHVVLRQV DV LQSXW DQG FRQYHUW WKHP WR HTXLYDOHQW
E\WHFRGHV 7KHVH E\WHFRGHV DUH VXEVHW RI DFWXDO -DYD E\WHFRGHV 7KH FRPSLOHU JHQHUDWHV
FRGHIRUDYLUWXDOVWDFNRULHQWHGPDFKLQH
7KHIHDWXUHVRIWKHFRPSLOHUDUH
¾ VXSSRUWPRVWRIWKHRSHUDWRUVDULWKPHWLFELWZLVHDQGDVVLJQPHQWRSHUDWRUV
DUHDOORZHGWKDWDUHDYDLODEOHLQ&DQG-DYD
¾ HUURUPHVVDJHVDUHLVVXHGZKHQHYHUSRVVLEOH
¾ DXWRPDWLFYDULDEOHGHFODUDWLRQDQGWKHYDULDEOHVDUHDVVXPHGWREHRIW\SHLQW
¾ PRUHWKDQRQHH[SUHVVLRQFDQEHVHSDUDWHGE\FRPPDV
¾ SURGXFHVE\WHFRGHVWKDWDUHVXEVHWRI-DYDE\WHFRGHV
7KHIHDWXUHVPLVVLQJIURPWKLVFRPSLOHULPSOHPHQWDWLRQDUH
¾ RSWLPL]DWLRQ
¾ IXOOIOHGJHGVXSSRUWIRUHUURUKDQGOLQJ
¾ VXSSRUWIRUDQ\FRQWUROVWUXFWXUHV
¾ VXSSRUWIRUGDWDW\SHVRWKHUWKDQLQWHJHU
¾ VXSSRUWIRUFRPPHQWV
¾ FRQVWDQWH[SUHVVLRQHYDOXDWLRQ
7KHPRGXOHGLVWULEXWLRQLVDVIROORZV
WLQ\H[SUK WKLV KHDGHU ILOH LQWXUQ LQFOXGHV VWDQGDUG KHDGHU ILOHV DQG FRQWDLQV
IXQFWLRQSURWRW\SHV
PQHPRQLFK WKHPQHPRQLFFRGHVIRUE\WHFRGHVDUHDYDLODEOHLQWKLVKHDGHUILOH
WLQ\H[SUF WKLVLVWKHPDLQILOHWKDWFRQWDLQVWKHUHFXUVLYHGHVFHQWSDUVHUDQGLWV
FRGHJHQHUDWRU
OH[F DWLQ\OH[LFDODQDO\]HULVDYDLODEOHLQWKLVILOH
V\PWDEOHF WKLVILOHFRQWDLQVWKHVLPSOHV\PEROWDEOHDQGWKHIXQFWLRQVRSHUDWLQJ
RQLW
FRGHJHQF WKLVILOHFRQWDLQVIHZFRGHJHQHUDWLRQURXWLQHVXVHGLQPDLQILOH
HUUKDQGOF WKLVILOHFRQWDLQVDQHUURUKDQGOHUIXQFWLRQ
µWLQ\([SU¶DOVRKDVDVPDOOLQWHUSUHWHUWR ORDGDQG H[HFXWHWKH E\WHFRGHV JHQHUDWHG
6XFKIXOOIOHGJHGLQWHUSUHWHULVDOVRNQRZQDVµYLUWXDOPDFKLQH¶EHFDXVHWKHPQHPRQLFFRGHV
DUHH[HFXWHGLQDVLPXODWHGPDQQHUDQGWKHEHKDYLRURIWKHE\WHFRGHVFDQEHPDGHSODWIRUP
LQGHSHQGHQWEHFDXVHRIWKLV
7KHPRGXOHGLVWULEXWLRQIRUWKLVµWLQ\([SU¶LQWHUSUHWHULVDVIROORZV
LQWHUSUHK WKHIXQFWLRQGHFODUDWLRQVDQGLQFOXVLRQRIVWDQGDUGKHDGHUILOHV
PQHPRQLFK WKLV KHDGHU ILOH FRQWDLQV WKH E\WHFRGH YDOXHV RI YDULRXV
PQHPRQLFV XVHG DQG LV WKH VDPH RQH XVHG LQ WKH µWLQ\([SU¶
FRPSLOHUDOVR
LQWUHSUHF WKLVLVWKHPDLQLQWHUSUHWHUILOHZKHUHWKHLQWHUSUHWHUORRSLVWKHUH
DQGWKHPQHPRQLFIXQFWLRQVDUHLPSOHPHQWHGKHUH
RVWDFNF WKLV SURJUDP KDV RSHUDQG VWDFN ZKHUH RSHUDQGV DUH VWRUHG DQG
HYDOXDWHGDQGIXQFWLRQVRSHUDWLQJRQLW
HUURUF WKLVSURJUDPKDVDWLQ\HUURUKDQGOHUURXWLQH
7RJLYHDQH[DPSOHRIYDOLGµWLQ\([SU¶H[SUHVVLRQ
D DE F
2UH[SUHVVLRQVOLNH
YDU YDU YDU YDUYDU ZULWHYDU
FDQEHZULWWHQ6LQFHWKHYDULDEOHVDUHLPSOLFLWO\GHFODUHGDQ\YDULDEOHQDPHFDQEHMXVW
XVHG +RZHYHU LW VKRXOG EH QRWHG WKDW WKH YDULDEOH QDPHV DUH FDVHVHQVLWLYH +HUH WKH
YDULDEOHVYDUYDUDUHLQLWLDOL]HGDQGWKHQXVHGWRLQLWLDOL]HWKHYDOXHRIDQRWKHUYDULDEOH
YDUZKLFKLVVXEVHTXHQWO\SULQWHGXVLQJWKH$3,µZULWH¶,WLVWKHRQO\$3,VXSSRUWHGLQ
µWLQ\([SU¶DVRIQRZ
7KH/H[LFDO$QDO\]HU
µWLQ\([SU¶ UHTXLUHV WKDW WKH OH[LFDO HOHPHQWV WR EH H[SOLFLWO\ VHSDUDWHG E\ ZKLWH
VSDFH )RU H[DPSOH IRU JLYLQJ WKH H[SUHVVLRQ D EF LW KDV WR EH JLYHQ DV D E F
H[SOLFLWO\
7KH µWLQ\([SU¶ FRPSLOHU LPSOHPHQWV D VLPSOH OH[LFDO DQDO\]HU ,W HPSOR\V WKH
VWDQGDUG OLEUDU\ IXQFWLRQ VWUWRN WR VHSDUDWH WKH WRNHQV WKDW LV DYDLODEOH LQ WKH VRXUFH
H[SUHVVLRQ6LQFHWKLVPHWKRGLVXVHLQVWHDGRIZULWLQJDOH[LFDODQDO\]HUIURPVFUDWFKWKH
OH[LFDODQDO\]HUEHFRPHVYHU\VPDOODQGLWVVWUXFWXUHKRZ LW ZRUNV DQG LWV XVH EHFRPH
YHU\ FOHDU DQG VHUYHV WKH SXUSRVH RQKDQG 7KH IXQFWLRQ RI WKH OH[LFDO DQDO\]HU LV WKXV
VLPSOLILHG VLJQLILFDQWO\ EHFDXVH WKH XVHU ZKLOH JLYLQJ WKH H[SUHVVLRQ LWVHOI H[SOLFLWO\
VHSDUDWHVWKHOH[LFDOHOHPHQWV
7KH OH[LFDO DQDO\]HU JLYHV XQLTXH ,' LQ WKH IRUP RI HQXPHUDWRU FRQVWDQWV WR DOO
WKH WRNHQV 7KH WRNHQV DUH UHWXUQHG WR WKH SDUVHU ,W PRGLILHV WZR JOREDO YDOXHV WKDW
FRQWDLQ WKH QDPH RI WKH LGHQWLILHU DQG WKH LQWHJHU YDOXH RI WKH FXUUHQW WRNHQ WKDW LV
DQDO\]HG
)RUWKHH[SUHVVLRQDE FLWUHWXUQV
,'(17,),(5ZLWKVLGHHIIHFWRIPRGLI\LQJWKHJOREDO
YDULDEOH
FXUU,GHQWLILHU
WRFRQWDLQ
D
3/86 WKHRSHUDWRUSOXV
YDULDEOH
FXUU,GHQWLILHU
WRFRQWDLQ
E
67$5 WKHPXOWLSOLFDWLRQRSHUDWRU
YDULDEOH
FXUU,GHQWLILHU
WRFRQWDLQ
F
5HFXUVLYH'HVFHQW3DUVHU
µWLQ\([SU¶HPSOR\VDUHFXUVLYHGHVFHQWSDUVHUWRJHQHUDWHWKHLQWHUPHGLDWHFRGH
,QWKLVSDUVHUWKHVFDQQHUEHFRPHVMXVWDIXQFWLRQWKDWLWLVFDOOHGZKHQHYHUDQHZWRNHQLV
UHTXLUHG ,W LQWHJUDWHV WKH IXQFWLRQDOLW\ RI V\QWD[ DQDO\VLV VHPDQWLF DQDO\VLV DQG FRGH
JHQHUDWLRQ
7KHH[DPSOHJUDPPDUSURGXFWLRQIRUDGGLWLYHH[SUHVVLRQZHVDZDOVRLVWKHUHLQ
WKLVFRPSLOHU/HWXVVHHKRZLWLVLPSOHPHQWHG
YRLGDGGLWLYH([SU
PXOWLSOLFDWLYH([SU
ZKLOHWRNHQ 3/86__WRNHQ 0,186
LQWLQGH[ WRNHQ
DGYDQFH
PXOWLSOLFDWLYH([SU
LILQGH[ 3/86
ISULQWIRXW)LOHF,$''
HOVH
ISULQWIRXW)LOHF,68%
`
$V\RXFDQVHHLWORRNVMXVWDVVLPLODUWRZKDWZHKDYHGRQHSUHYLRXVO\7KHH[WUD
LQIRUPDWLRQLVIRULQWHJUDWHGFRGHJHQHUDWRU$VWKHSURFHVVRISDUVLQJJRHVWKHFRGHLV
JHQHUDWHG LQ SDUDOOHO DQG LV VWRUHG LQ DQ LQWHUPHGLDWH ILOH IRU ODWHU H[HFXWLRQ E\ WKH
LQWHUSUHWHU +HUH LQ WKLV H[DPSOH WKH WZR PQHPRQLFV DVVRFLDWHG ZLWK WKH DGGLWLYH
H[SUHVVLRQDUH,$''DQG,68%WKDWVWDQGVIRULQWHJHUVDGGLWLRQDQGLQWHJHUVVXEWUDFWLRQ
UHVSHFWLYHO\:KHQWKHSDUVHUVHHVWKHRU±V\PEROLWDFWVMXVWDVWRJHQHUDWHWKHFRGH
IRUWKHFRUUHVSRQGLQJV\PEROVµWRNHQ¶VWDQGVIRUWKHUHSUHVHQWDWLRQRIWKHWRNHQWKDW LV
UHWXUQHGIURPWKHOH[LFDODQDO\]HU
7KHµWLQ\([SU¶,QWHUSUHWHUWKHYLUWXDOPDFKLQH
&RPLQJEDFNWRRXUH[SUHVVLRQD DE FDVZHKDYHVHHQLWLVFRQYHUWHGDV
LQWHUPHGLDWHFRGHWR
LORDGB
LORDGB
LORDGB
LPXO
LDGG
LVWRUHB
7KLVLV DYDLODEOH LQ WKH LQWHUPHGLDWH FRGH ILOH ³DRXW´ 7KH E\WHFRGHV DUH ORDGHG
LQWRPHPRU\DQGDUHWREHH[HFXWHG
7KH YDULDEOHV DUH DVVLJQHG QXPEHUV EDVHG RQ WKH DSSHDUDQFH RI WKH YDULDEOHV LQ
WKHH[SUHVVLRQLORDGBUHIHUVWRORDGWKHLQWHJHUYDOXHRIWKHYDULDEOHQXPEHUHG
7KLV FRGH LV IRU D VWDFNRULHQWHG PDFKLQH 6R WKH YDULDEOH LV ORDGHG LQWR WKH
UXQWLPHVWDFNZKLOHH[HFXWLRQ
6LPLODUO\ WKH YDOXHV RI E DQG F DUH DOVR ORDGHG LQWR WKH VWDFN $IWHU WKDW WKH
LQVWUXFWLRQLPXOLVHQFRXQWHUHG
LPXOUHIHUVWRLQWHJHUPXOWLSOLFDWLRQDQGKDVWKHHIIHFWRISRSSLQJWZRLQWHJHUV
RQWKHWRSRIWKHVWDFNPXOWLSO\WKHUHVXOWDQGSXVKWKHPEDFNRQWKHVWDFN6RWKHWRWDO
UHVXOWLVRIUHSODFLQJWKHWRSWZRYDOXHVLQWKHVWDFNE\WKHLUPXOWLSOLHGYDOXH1RZWKH
VWDFNFRQWDLQVWZRLQWHJHUV7KHYDOXHRI
D
LQWKHERWWRPDQGWKHPXOWLSOLHGUHVXOWRIE
DQGFLQWKHWRSRILW
1RZWKHLDGGLVHQFRXQWHUHGDQGLWKDVWKHVLPLODUIXQFWLRQDOLW\DVRILPXO,W
SRSVWKHWZRYDOXHVWKDWDUHRQWKHVWDFNDGGVWKHPDQGSXVKHVWKHUHVXOWLQWKHVWDFN
1RZWKHVWDFNFRQWDLQVWKHHQGUHVXOWRIHYDOXDWLQJWKHH[SUHVVLRQDE F
7KH ILQDO PQHPRQLF FRGH LVWRUHB SRSV WKH UHVXOW IURP WKH RSHUDQG VWDFN DQG
VWRUHVLWLQWKHORFDOYDULDEOHµD¶ZKRVHLQGH[LVWKDW¶VZKDWKHVXIIL[BRIWKHRSFRGH
LVWRUHBLVPHDQWIRU
([WHQGLQJµWLQ\([SU¶
7KHFXUUHQWLPSOHPHQWDWLRQRIWKHH[SUHVVLRQFRPSLOHULVYHU\OLPLWHGLQPDQ\
ZD\V)RUH[DPSOHLWGRHVQ¶WVXSSRUWHYHQVWDWHPHQWVDQG%RROHDQH[SUHVVLRQV/RRSLQJ
FRQVWUXFWVDQGRWKHUIHDWXUHVFDQEHDGGHGHDVLO\LIODEHOVDUHVXSSRUWHG)RUH[DPSOHWKH
µLI¶FRQWUROVWUXFWXUHFDQEHLPSOHPHQWHGLQWKHIROORZLQJZD\
LILM
L
,WFDQEHFRPSLOHGWRE\WHFRGHDVIROORZV
LORDGB
LORDGB
LIBLFPSO7B
)B
LFRQVWB
JRWR(B
7B
LFRQVWB
(B
LIHT287B2)B,)B
LLQF
LORDGB
287B2)B,)B
UHWXUQ
6LPLODUO\ WKH IXQFWLRQV FDQ EH VXSSRUWHG DQG WKH OLVW RI H[WHQVLRQV SRVVLEOH LV
HQGOHVV6HH>/LQGKROPDQG<HOOLQ@IRUPRUHLQIRUPDWLRQ
81,;DQG:,1'2:6352*5$00,1*,1&
7KHJHQLXVRIWKH81,;LVLWVIUDPHZRUNZKLFKHQDEOHV
SURJUDPPHUVWRVWDQGRQWKHZRUNRIRWKHUV
7XULQJ$ZDUG6HOHFWLRQ&RPPLWWHH
& ZDV RULJLQDOO\ LQWHQGHG WR EH D V\VWHP SURJUDPPLQJ ODQJXDJH LV VWLOO ZLGHO\
XVHG IRU ZULWLQJ 26 DQG FRPSLOHUV 0RVW RI WKH :LQGRZV SURJUDPPLQJ LV GRQH WRGD\
XVLQJ0)&DQG&2QWKHRWKHUKDQGPRVWRIWKH&SURJUDPPHUVDUHZHOOYHUVHGLQ
XVLQJLWIRUSURJUDPPLQJLQ81,;6RWKLVFKDSWHUVSURYLGHVDVKRUWVHVVLRQRQKRZWKH
WZRRIWKHIDPRXVRSHUDWLQJV\VWHPVWKDWPDNHVXVHRIWKHSRZHURI&
81,;DQG&
81,; V\VWHPV QRUPDOO\ SURYLGH FRPSLOHUV IRU ODQJXDJHV VXFK DV %$6,&
)2575$1 3DVFDO DQG 5DWIRU HWF 6XFK FRPSLOHUV WUDQVODWH WKH ODQJXDJH FRGH WR &
LQWHUPHGLDWH FRGH 7KH RUGLQDU\ & FRPSLOHU WKHQ FRPSLOHV WKLV & LQWHUPHGLDWH FRGH
$GYDQWDJHRIXVLQJVXFKDSSURDFKLVWKDWQHZFRPSLOHUVDUHSDUWLFXODUO\HDV\WRZULWH,W
LVMXVWHQRXJKWRZULWHDWUDQVODWRUIURPWKDWVRXUFHODQJXDJHWR&$OOWKHLVVXHVVXFKDV
SRUWDELOLW\DUHWDNHQFDUHE\WKH&FRPSLOHUWKDWLVZRUNLQJDWWKHEDFNHQG$QRWKHUELJ
DGYDQWDJH LV WKDW WKH FRGH ZULWWHQ LQ GLIIHUHQW VRXUFH ODQJXDJHV FDQ EH LQWHJUDWHG ZLWK
HDFK RWKHUV ZLWK QR SUREOHP DQG FDQ EH LQWHUIDFHG ZLWK YDULRXV DSSOLFDWLRQV ZULWWHQ LQ
YDULRXVODQJXDJHVVXFKDVJUDSKLFVSURJUDPVXWLOLWLHVHWF
81,; DOVR SURYLGHV XWLOLWLHV VXFK DV /(; DQG <$&& <HW $QRWKHU &RPSLOHU
&RPSLOHU /(; LV D OH[LFDO DQDO\]HU JHQHUDWRU DQG <$&& LV D SDUVHU JHQHUDWRU ERWK
JHQHUDWLQJ&FRGHDVRXWSXW
%HQHILWVRI81,;EHLQJZULWWHQLQ&
7KHUH ZHUH PDMRU EHQHILWV DVVRFLDWHG ZLWK ZULWLQJ WKH ZKROH 81,; RSHUDWLQJ
V\VWHP LQ & '0 5LWFKLH >5LWFKLH @ OLVWV WKH EHQHILWV E\ XVLQJ & DV WKH
LPSOHPHQWLQJODQJXDJH
³«2QH RI WKH UHDVRQV ZK\ 81,; LV VR SRSXODU LV EHFDXVH RI LWV P\UDLG RI
VRIWZDUHWRROVLWSURYLGHVWRWKHXVHUVRIWKH81,;:ULWLQJVXFKVRIWZDUHSDFNDJHVZDV
SRVVLEOH RQO\ EHFDXVH RI XVLQJ KLJKOHYHO ODQJXDJHV OLNH & 7KHVH VRIWZDUH SDFNDJHV
¶WKDW ZRXOG KDYH EHHQ QHYHU ZULWWHQ DW DOO LI WKHLU DXWKRUV KDG WR ZULWH DVVHPEO\ FRGH
PDQ\ RI RXU PRVW LQYHQWLYH FRQWULEXWRUV GR QRW NQRZ DQG GR QRW ZLVK WR OHDUQ WKH
LQVWUXFWLRQVHWRIWKHPDFKLQH¶
:ULWLQJWKHFRGHIRURSHUDWLQJV\VWHPVLQYROYHWKRXVDQGVRIOLQHVRIFRGHWKDWLV
KDUGWRPDLQWDLQDQGGHEXJLIDVVHPEO\ODQJXDJHZHUHXVHGµ7KH&YHUVLRQVRISURJUDPV
WKDWZHUHUHZULWWHQDIWHU&EHFDPHDYDLODEOHDUHPXFKPRUHHDVLO\XQGHUVWRRGUHSDLUHG
DQGH[WHQGHGWKDQWKHDVVHPEOHUYHUVLRQV7KLVDSSOLHVHVSHFLDOO\WRWKHRSHUDWLQJV\VWHP
LWVHOI 7KHRULJLQDOV\VWHPZDVYHU\GLIILFXOWWRPRGLI\HVSHFLDOO\WRDGGQHZGHYLFHV
EXWDOVRWRPDNHPLQRUFKDQJHV¶
81,; UXQV LQ YDULRXV SODWIRUPV DQG LWV SRUWDELOLW\ LV DWWULEXWHG WR & µ$Q
H[WUHPHO\YDOXDEOHWKRXJKRULJLQDOO\XQSODQQHGEHQHILWRIZULWLQJLQ&LVWKHSRUWDELOLW\
RI WKH V\VWHP ,W DSSHDUV WR EH SRVVLEOH WR SURGXFH DQ RSHUDWLQJ V\VWHP DQG VHW RI
VRIWZDUHWKDWUXQVRQVHYHUDOPDFKLQHVDQGZKRVHH[SUHVVLRQLQVRXUFHFRGHLVH[FHSWIRU
IHZPRGXOHVLGHQWLFDORQHDFKPDFKLQH¶´
7RKDYHDWDVWHRIKRZ&FDQEHXVHGGLUHFWO\E\SURYLGLQJVSHFLDOKHDGHUILOHVIRU
81,;OHWVVHHDERXWVHPDSKRUHVLQ&
6HPDSKRUHVLQ&
&XQGHU81,;KDV VHPDSKRUHV DQG WKH IXQFWLRQV DUH GHILQHG LQ WKH KHDGHU ILOHV
V\VW\SHVK!V\VLSFK!DQGV\VVHPK!
µVHPJHW¶LVDIXQFWLRQXVHGWRFUHDWHDVHPDSKRUH
VHPFWOQHZVHPYDOXH
UHVHWVQHZVHPWRYDOXH
VHPRSVHPDSKRUBVHQG«
ZLOO VHQG D VLJQDO IRU IXQFWLRQDOLW\ OLNH VHPDSKRUHBZDLW DQG VHPDSKRUHBVHQG
FRUUHVSRQGLQJWRZDLWDQGVLJQDORIVHPDSKRUHV
6\VWHPFDOOVLQ81,;
6\VWHPFDOOVDUHXVHGWRDFFHVVWKHVHUYLFHVIURPWKHNHUQHO)RUWKHSURJUDPPHU
LWLVMXVWOLNHDOLEUDU\IXQFWLRQDQGLQYRNHVLWLQWKHVDPHZD\DV&IXQFWLRQVDUHFDOOHG
,I \RX SURJUDP IRU 81,; LQ & \RX ZLOO EH XVLQJ WKH 81,; VSHFLILF IXQFWLRQV
LQQXPHUDEOH WLPHV ,I WKH FRGH IRU WKH IXQFWLRQ LV LQFOXGHG LQ WKH H[HFXWDEOH FRGH WKDW
ZLOO XQQHFHVVDULO\ EORDWLQJ WKH FRGH VL]H 7R DYRLG WKLV RYHUKHDG LQ 81,; \RX KDYH
V\VWHP FDOOV <RX MXVW GHFODUH WKHP DQG XVH LW LQ \RXU FRGH EXW WKH FRGH ZLOO QRW EH
LQFOXGHGLQWKHH[HFXWDEOHILOH,QVWHDGRIWKDWWKHV\VWHPFDOOVZLOOEHFDOOHGDWUXQWLPH
7R SXW LQ RWKHU ZRUGV WKH HVVHQWLDO GLIIHUHQFH EHWZHHQ WKH & IXQFWLRQV DQG
V\VWHPFDOOLVWKDWZKHQDSURJUDPFDOOVDVXEURXWLQHWKHFRGHH[HFXWHGLVDOZD\VSDUWRI
WKH ILQDO REMHFW SURJUDP HYHQ LI LW LV D OLEUDU\ IXQFWLRQ :LWK WKH V\VWHP FDOO LW LV
DYDLODEOHZLWKWKHNHUQHODQGQRWZLWKWKHSURJUDPVLPLODUWRWKH$3,VLQWKH:LQGRZV
3URJUDPPLQJ
6\VWHP FDOOV FRQVWLWXWH SULPLWLYH RSHUDWLRQV RQ WKH REMHFWV OLNH ILOH RU SURFHVVHV
DQGVRDUHYHU\HIILFLHQW
$OWKRXJKWKHVWDQGDUG,2LVYHU\HIILFLHQWWKH\XOWLPDWHO\XVHVV\VWHPFDOOVRQO\
WRDFKLHYHWKHIXQFWLRQDOLW\
3RLQWWR3RQGHU
$Q\ SURFHVV WKDW LQWHUDFWV ZLWK LWV HQYLURQPHQW KRZHYHU VPDOO ZD\ LW LV PXVW
PDNHXVHRIV\VWHPFDOOVDWVRPHSRLQW
:LQGRZV3URJUDPPLQJLQ&
:LQGRZVLVRQHRIWKHPRVWIDPRXV26DQGZHSURJUDPPHUVWRJHWRSWLPDOXVH
RI:LQGRZVFDQGRSURJUDPPLQJ2QHLPSRUWDQWSRLQWWRQRWHLVWKDWWKH:LQGRZV$3,V
DUHZULWWHQLQ&LWVHOIDQG:LQGRZV6'.IXOO\XVHV&IRU:LQGRZVSURJUDPPLQJ8VLQJ
&DQGWKHQDWLYH$3,VLVQRWWKHRQO\ZD\WRZULWHSURJUDPVIRU:LQGRZV+RZHYHUWKLV
DSSURDFK RIIHUV WKH EHVW SHUIRUPDQFH WKH PRVW SRZHU DQG WKH JUHDWHVW YHUVDWLOLW\ LQ
H[SORLWLQJ WKH IHDWXUHV RI :LQGRZV ([HFXWDEOHV DUH UHODWLYHO\ VPDOO DQG GRQ
W UHTXLUH
H[WHUQDO OLEUDULHV WR UXQ H[FHSW :LQGRZV '//V DV RSSRVHG WR RWKHU DSSURDFKHV OLNH
XVLQJ0)&IRUDFKLHYLQJWKHVDPHIXQFWLRQDOLW\,QWKLVFKDSWHUZHDUHJRLQJWRVHHKRZ
&LVUHODWHGWRSURJUDPPLQJ:LQGRZVDQGZKDWZHFDQOHDUQIURPWKDW
µ+HOOR:RUOG¶LQ:LQGRZV3URJUDPPLQJ
LQFOXGHZLQGRZVK!
LQW:,1$3,:LQ0DLQ+,167$1&(K,QVWDQFH+,167$1&(
K3UHY,QVWDQFH3675V]&PG/LQHLQWL&PG6KRZ^
0HVVDJH%R[18//7(;7+HOOR:RUOG7(;7
)LUVW3URJUDP
UHWXUQ
7KH VWDUWLQJ IXQFWLRQ LQ :LQGRZV LV :LQ0DLQ DV RSSRVHG WR PDLQ LQ & 7KH
RXWSXWLQ:LQGRZV26LVWKURXJK:LQGRZV$3,V,WLVQRORQJHUYDOLGWRGLUHFWRXWSXWWR
GHYLFHVVXFKDVVWGRXWDQGVWGHUUDQGJHWLQSXWXVLQJVWGLQLI\RXZDQWVXFKIDFLOLWLHVOLNH
XVLQJ SODLQ & IXQFWLRQV OLNH JHWV VFDQI SULQWI HWF \RX VKRXOG GR :LQGRZV &RQVROH
DSSOLFDWLRQV7KHVH GHYLFHV FDQ EH WDNHQ IRU JUDQWHG IRU EHLQJ SUHVHQW DOUHDG\ RSHQHG
DQGXVHGLQ26VXFKDV'26DQG81,;EXWQRWLQ:LQGRZV)LOHKDQGOLQJOLNHWKHFDOOV
IRSHQWRRSHQDILOHHWFVWLOOZRUNV
,Q \RXU:LQGRZVSURJUDP \RXXVHWKH:LQGRZVIXQFWLRQFDOOVLQ JHQHUDOO\ WKH
VDPHZD\ \RXXVH&OLEUDU\IXQFWLRQVVXFK DVVWUOHQ7KHSULPDU\GLIIHUHQFHLVWKDWWKH
FRGH IRU & OLEUDU\ IXQFWLRQV LV OLQNHG LQWR \RXU SURJUDP FRGH ZKHUHDV WKH FRGH IRU
:LQGRZVIXQFWLRQVLVORFDWHGRXWVLGHRI\RXUSURJUDPLQWKH'//V
+XQJDULDQ1RWDWLRQ
$V \RX PD\ KDYH QRWLFHG WKH DUJXPHQWV RI WKH :LQ0DLQ KDYH YHU\ GLIIHUHQW
EHJLQQLQJV OLNH V] LQ V]&PG/LQH 7KLV LV D YDULDEOHQDPLQJ FRQYHQWLRQ FDOOHG DV
+XQJDULDQ 1RWDWLRQ DWWULEXWHG WR &KDUOHV 6LPRQ\L ,W MXVW PHDQV WKDW HYHU\ YDULDEOH
QDPHLVSUHIL[HGZLWKOHWWHUVGHQRWLQJWKHGDWDW\SHRIWKHYDULDEOH ,Q V]&PG/LQH V]
VWDQGVIRUVWULQJWHUPLQDWHGE\]HUR
3UHIL[ 'DWDW\SH
%\ 8QVLJQHGFKDU±VWDQGVIRU%\WH
& &KDU
'Z 8QVLJQHGORQJ±VWDQGVIRU'RXEOH:RUGRU'ZRUG
, ,QW
/ /RQJ±VWDQGVIRU/RQJ
6 6WULQJ
6] 6WULQJWHUPLQDWHGE\FKDUDFWHU
)Q )XQFWLRQ
3 3RLQWHU
6XJJHVWHG3UHIL[HVIRU+XQJDULDQ1RWDWLRQ
7KHSUHFHGLQJWDEOHOLVWVWKHSUHIL[HVXVHGIRUYDULRXVW\SHVWKDWPD\EHXVHIXOIRU
ZULWLQJ&SURJUDPV
+XQJDULDQ1RWDWLRQKHOSVLQLGHQWLI\LQJWKHW\SHVIURPWKHLUSUHIL[HVDQGVRFDQ
KHOS LQ GHEXJJLQJ DQG DYRLG PLVWDNHV %XW DV \RX FDQ VHH LW PDNHV WKH SURJUDPV OHVV
UHDGDEOH7KHLGHDEHKLQGWKH+XQJDULDQQRWDWLRQLVWKDWFRQYH\LQJLQIRUPDWLRQDERXWWKH
YDULDEOHLVLPSRUWDQW$QGIRUWKDWVRPHWLPHVUHDGDELOLW\LVDIIHFWHG%XWLWFHUWDLQO\VXLWV
IRU UHTXLUHPHQWV OLNH :LQGRZV SURJUDPPLQJ ZKHUH D FRXSOH RI WKRXVDQGV RI $3,V DUH
WKHUHVXFKQRWDWLRQFRPHVKDQG\LQXQGHUVWDQGLQJWKHW\SHVRIWKHDUJXPHQWV%XWIRUPH
LWGRHVQ¶WPDNHPXFKVHQVHLQXVLQJ+XQJDULDQQRWDWLRQIRURUGLQDU\SURJUDPV
'HULYHGGDWDW\SHV
:LQGRZV SURJUDPPLQJ XVHV ORWV RI µGHULYHG GDWDW\SHV¶ EH\RQG SODLQ LQWV DQG
FKDUV 7KH\ DUH PRVWO\ W\SHGHILQHG DQG VRPHWLPHV GHILQHG 7KH\ DUH DOO LQ FDSLWDO
OHWWHUV -XVW ORRN DW WKH WKLUG DUJXPHQW 3675 LQ :LQ0DLQ ,W LV D GHULYHG GDWDW\SH WKDW
VD\V LW LV D SRLQWHU WR D VWULQJ FKDU 7KHUH DUH IHZ QRQLQWXLWLYH GHULYHG W\SHV OLNH
/3$5$0DQG:3$5$0(YHQWKRXJKWKH\ORRNDZNZDUGWRGHFODUHYDULDEOHVOLNH
+,167$1&(K,QVWDQFHRU
:1'&/$66ZQG&ODVV
WKH\ VHUYH D IHZ LPSRUWDQW SXUSRVHV DQG XVH D YHU\ JRRG LGHD RI & 7KH\ DOORZ WKH
YDULDEOHVWREHGHILQHGE\ WKH SURJUDPPHU ZLWKRXW DQ\ QHFHVVLW\ WR NQRZ KRZ RU ZKDW
W\SHLWLVGHILQHGDV7KH\PDNHXVDJHDEVWUDFWDQGHQFDSVXODWHWKHVWUXFWXUHGHILQLWLRQV
1HDUXQLYHUVDOO\WKH:LQGRZVSURJUDPPHUVXVH+,167$1&(ZLWKRXWNQRZLQJZKDWLW
LVGHILQHGDV7KH\VHUYHWRLPSURYHPDLQWDLQDELOLW\DQGSRUWDELOLW\)RUHJ
W\SHGHIVWUXFW^
LQW[
LQW\
`32,17
ZDVWKHGHILQLWLRQRIWKH32,17GHULYHGW\SHZKHQGHILQHGLQ:LQGRZVDELW26
:KHQ:LQGRZVZKLFKLVDELW26FDPH32,17ZDVUHGHILQHGDV
W\SHGHIVWUXFW^
ORQJ[
ORQJ\
`32,17
$JDLQ LQ ELW SURJUDPPLQJ LQ :LQGRZV DOO WKH SRLQWHUV DUH ELWV VR DOO WKH
SRLQWHUV DUH FDSDEOH RI SRLQWLQJ DQ\ZKHUH LQ WKH PHPRU\ QHDU DQG IDU SRLQWHUV DUH MXVW
PHDQLQJOHVV7KLVWRRZDVHDVLO\WDFNOHGE\WKLVDSSURDFK
7KH:LQGRZVSURJUDPVZULWWHQIRU:LQGRZVVWLOOUHPDLQHGYDOLGDQGUHPDLQ
XQFKDQJHGHYHQLIUDGLFDOFKDQJHVOLNHWKLVZHUHPDGH
:LQGRZV UXQV QRW RQO\ (QJOLVK EXW DOVR YDULRXV ODQJXDJHV OLNH &KLQHVH ,WDOLDQ
HWFDQGIRUWKDW8QLFRGHLVXVHG
LIGHI81,&2'(
W\SHGHI:1'&/$66::1'&/$66
HOVH
W\SHGHI:1'&/$66$:1'&/$66
HQGLI
7KLV GHILQHV :1'&/$66 WR EH HLWKHU VXSSRUWLQJ 8QLFRGH :1'&/$66:
ZKHUH:VWDQGVIRUµZLGH¶RUWKHROGRQHVXSSRUWLQJ$6&,, :1'&/$66$ZKHUH$
VWDQGV IRU µ$6&,,¶ $QG WKH SURJUDPV VWLOO UHPDLQ XQFKDQJHG HYHQLI ZKROH LQWHUQDO
UHSUHVHQWDWLRQFKDQJHV7KHSRUWLQJDQGPDLQWHQDQFHWKXVEHFRPHVHDV\
'//VLQ:LQGRZV
,Q & WKH OLQNHU OLQNV DOO IXQFWLRQV XVHG LQ WKH VRXUFH SURJUDP ZLWK WKH
FRUUHVSRQGLQJFRGHDQGEHFRPHVSDUWRIWKH(;(ILOHJHQHUDWHG7KH(;(ILOHVDUHWKXV
ODUJH LQ VL]H EXW WKH\ DUH YHU\ IDVW WR H[HFXWH EHFDXVH WKH FRGH IRU WKH IXQFWLRQV LV
FRQWDLQHGZLWKLQ7KLVLVFDOOHGDVVWDWLFOLQNLQJ:KHUHDVLQ:LQGRZVSURJUDPPLQJWKH
FDOOVWRWKH$3,DUHRQO\SURYLGHG7KHOLQNHUMXVWDWWDFKHVWKHQDPHRIWKH'//DQGWKH
FDOOLQJLQIRUPDWLRQZLWKWKH(;(7KLVLVFDOOHGDVG\QDPLFOLQNLQJ7KLVPDNHVWKH(;(
FRGH JHQHUDWHG YHU\ FRPSDFW 7KH FRGH IRU WKH $3,V LV SUHVHQW LQ WKH '//V WKDW DUH
DYDLODEOHLQHYHU\V\VWHPLQVWDOOHGZLWK:LQGRZV7KH\DUHFDOOHGZKHQHYHUWKHSURJUDP
LVORDGHGLQWRWKHPHPRU\DQGWKRVHIXQFWLRQVDUHQHHGHGWREHH[HFXWHG6RWKHFRGHLV
QRW UHGXQGDQWO\ VWRUHG LQ HYHU\ ILOH WKDW LV SUHVHQW LQ WKH V\VWHP :KHQ XSGDWLQJ LV
QHHGHGLVHQRXJKWRXSGDWHWKH'//VDQGDOOWKHDSSOLFDWLRQVWKDWDUHXVLQJWKH$3,VDUH
QRZZLWKXSGDWHGIXQFWLRQV
$Q LQWHUHVWLQJ TXHVWLRQ WR DVN LV ³LI :LQGRZV XVH '//V WKDW ZLOO EH DYDLODEOH
RQO\DWUXQWLPHFDQWKHLUQDPHVEHXVHGIRUDVVLJQLQJWRIXQFWLRQSRLQWHUV"´
7KHDQVZHULV<HV&DOOLQJRIVXFKIXQFWLRQVXVLQJIXQFWLRQSRLQWHUVZKRVHYDOXH
LV GHWHUPLQHG DW UXQWLPH LV NQRZQ DV

FDOO EDFN
7KLV PD\ EH LQGLFDWHG E\ D VSHFLDO
NH\ZRUG&$//%$&.LQVRPHFRPSLOHUVVXSSRUWLQJ:LQGRZVSURJUDPPLQJ
7KH&RQFHSWRI9HUVLRQLQJ
:KHQD:LQGRZVDSSOLFDWLRQSURJUDPLVZULWWHQLWXVHVORWVRI:LQGRZV$3,,I
LQWKHQHZHUYHUVLRQRI:LQGRZVDQ\FKDQJHLQWKDW$3,VKRXOGDIIHFWWKDWDSSOLFDWLRQ
LHLWPLJKWIDLOLILWHQFRXQWHUHGQHZHURUROGHUYHUVLRQRI$3,WKDQLWPLJKWH[SHFW$V
WKHIXQFWLRQVDUHPRGLILHGWRFRQWDLQWKHLPSURYHGIXQFWLRQDOLW\WKHLQWHUIDFHVQHHGWREH
FKDQJHGVRPHWLPHV6XFKFKDQJHLQLQWHUIDFHVZLOOPDNHWKHDSSOLFDWLRQVPDNLQJXVHRI
ROGLQWHUIDFHVKDYHWREHUHFRPSLOHGWRVXSSRUWWKHIXQFWLRQVZLWKPRGLILHGLQWHUIDFHVRU
HOVHWKHDSSOLFDWLRQVEHFRPHLQYDOLG7KLVLVFDOOHGDVYHUVLRQLQJSUREOHP
7KH SUREOHPV GXH WR YHUVLRQLQJ RFFXU EHFDXVH LW LV QRW WKH SDUW RI WKH ODQJXDJH
LWVHOI7KLVLVDJHQHUDOSUREOHPHQFRXQWHUHGLQPDLQWDLQLQJDQ\DSSOLFDWLRQ/HWVORRNDW
LWLQWKHFDVHRI:LQGRZVSURJUDPPLQJZLWKWKHKHOSRIDKLVWRULFDOH[DPSOH
0RYH7RZDVDJUDSKLFVIXQFWLRQLQELWYHUVLRQVRI:LQGRZVWRVHWWKHFXUUHQW
SRVLWLRQIRUGUDZLQJ
XQVLJQHGORQJ0RYH7R+'&LQWLQW
)LUVWDUJXPHQWLVWKHGHYLFHFRQWH[WKDQGOHWKDWLVXVHGDVDFRQWUROIRUGUDZLQJ
SXUSRVH IROORZHG E\ YDOXHV RI [ DQG \FRRUGLQDWHV ,W UHWXUQV WKH SUHYLRXV FXUUHQW
SRVLWLRQ DQG LV SDFNHG DV WZR ELW YDOXHV XQVLJQHG ORQJ WDNHV ELWV LQ ELW
YHUVLRQ
,Q WKH ELW YHUVLRQV RI :LQGRZV WKH FRRUGLQDWHV DUH ELW YDOXHV 6R WKH
SUREOHPRFFXUUHGEHFDXVHWKHELWYHUVLRQVRI&ZDVQRWDYDLODEOHZLWKELWLQWHJUDO
W\SH 7KLV PHDQW WKDW WKH SUHYLRXV FXUUHQW FRRUGLQDWH FDQQRW EH UHWXUQHG DV ELW WZR
ELW YDOXHV SDFNHG WRJHWKHU DQG WKH IXQFWLRQ LQWHUIDFH QHHGHG WR EH FKDQJHG 7KH
VROXWLRQLVWRGHFODUHWKHQHZIXQFWLRQDVIROORZV
%22/ 0RYH7R+'&LQWLQW/332,17
7KHODVWDUJXPHQWLVDSRLQWHUWRD32,17VWUXFWXUHWKDWFRQWDLQVSUHYLRXVFXUUHQW
SRVLWLRQDIWHULWVFDOO
+DG&KDGWKHFDSDELOLW\RIIXQFWLRQSRO\PRUSKLVPWKHUHZRXOGEHQRSUREOHP
DQG ERWK WKH ROG DQG QHZ 0RYH7R IXQFWLRQV ZLOO FRH[LVW 6R WKH LQWHUIDFH FKDQJHV DQG
VXFKFKDQJHZLOOUHTXLUHDOOWKHDSSOLFDWLRQVWKDWXVH0RYH7RWREHUHFRPSLOHGWRXVHWKH
LPSURYHG YHUVLRQ RI 0RYH7R 7KH DOWHUQDWH VROXWLRQ LV WR FKDQJH WR WKH QHZ QDPH
0RYH7R([ ZLWK WKLV PRGLILHG LQWHUIDFH DQG UHWDLQ WKH ROG 0RYH7R IXQFWLRQ DV LW ZDV
7KDWLVZKDWLQWURGXFLQJWKH0RYH7R([IXQFWLRQKDYLQJGHFODUDWLRQH[DFWO\GRHVLQWKLV
FDVH
%22/ 0RYH7R([+'&LQWLQW/332,17
7KXV WKH SUREOHP RI LQWURGXFLQJ WKH QHZ IXQFWLRQDOLW\ ZDV VROYHG ZLWKRXW
DIIHFWLQJWKHROGRQHV7KHQHZ0RYH7R([QHHGQRWEHZULWWHQDJDLQDQGFDQZRUNDVD
ZUDSSHU IXQFWLRQ WKDW LV DOUHDG\ GLVFXVVHG /RW VXFK RWKHU H[DPSOHV DUH WKHUH LQ
:LQGRZVSURJUDPPLQJDQGRQHVXFKLVGLVFXVVHGKHUHWRH[SODLQWKHYHUVLRQLQJFRQFHSW
0RVW RI WKH YHUVLRQLQJ SUREOHPV FDQ EH DYRLGHG LI WKH LQWHUIDFHV DUH GHVLJQHG
SURSHUO\,QWHUIDFHVVKRXOGEHGHVLJQHGNHHSLQJIXWXUHUHYLVLRQVLQPLQGDQGWKHWVKRXOG
EH/HWVORRNDWDVLPLODUVLWXDWLRQLQ&VWDQGDUGOLEUDU\DQGKRZWKDWSUREOHPLVWDFNOHG
GLYBWGLYLQWQXPLQWGHQRP
ZKHUHGLYBWPD\EHGHFODUHGDV
VWUXFWGLYBW^
LQWTXRW
LQWUHP
`
7KHVWDQGDUGOLEUDU\IXQFWLRQGLYGHFODUHGLQVWGOLEK!UHWXUQVREMHFWRIW\SHGLYBWWR
FRQWDLQTXRWLHQWDQGUHPDLQGHUDQGQRWRIW\SHORQJ ZKLFKPD\FRQWDLQWZRLQWHJHUVLQ
XSSHUDQGORZHUSDUWVRIWKHORQJ
$SSO\LQJWKHVDPHLGHDWR0RYH7RIXQFWLRQDFDUHIXOGHVLJQZRXOGKDYHORRNHG
OLNHWKLV
32,170RYH7R+'&LQWLQW
ZKHUH32,17LVDGHULYHGW\SHW\SHGHIHGVWUXFWXUHWKDWLVUHDGLO\DYDLODEOHLQ:LQGRZV
7KXVDSUREOHPRIFKDQJLQJWKHLQWHUIDFHZRXOGKDYHEHHQDYRLGHGLQODWHUVWDJHV
7KHQDPLQJVROXWLRQLQFDVHRI:LQGRZVLVQRWWKHEHVWRQHHLWKHU/HW¶VVD\WKDW
VRPHPRUHPRGLILFDWLRQVDUHUHTXLUHGWRWKHIXQFWLRQ0RYH7R([LQODWHUGDWH+RZVKDOO
LW EH QDPHG" 0RYH7R([([ 0RYH7R([([([« HWF" 7KH EHWWHU QDPLQJ ZRXOG EH
0RYH7R 0RYH7R 0RYH7R HWF $QG WKLV NLQG RI QDPLQJ FRQYHQWLRQ LV RI FRXUVH D
PDWWHURIWDVWH
7+(1(:&;67$1'$5'
2KZKDWWLPHV2KZKDWVWDQGDUGV
0DUFXV7XOOLXV&LFHUR
7KH QHZ VWDQGDUG &; LV GHILQHG DQG LV YHU\ UHFHQWO\ JRW DSSURYHG 7KLV LV D
VLJQLILFDQW GHYHORSPHQW WR WKH & FRPPXQLW\ $V WKLV ERRN LV ZULWWHQ WKHUH DUH QR
FRPSLOHUVFRQIRUPLQJWRWKLVQHZVWDQGDUG,WIRUPDOL]HVPDQ\SUDFWLFHVLPSURYHVXSRQ
WKHSUHYLRXV$16,VWDQGDUGWKDWUHIHUUHGWRDV&EHFDXVHWKLVILUVWVWDQGDUGIRU&ZDV
DSSURYHGLQ
2QHRIWKHEDVLFJRDOVRIWKH&;FRPPLWWHHZDVWRPDNHVXUHWKDWWKHROGFRGH
UHPDLQV OHJDO DQG UHPDLQ XQDIIHFWHG LQ WKH QHZ VWDQGDUG ,W DGGV ORQJ DZDLWHG EDVLF
IDFLOLWLHVOLNHVLQJOHOLQHFRPPHQWVDQGPL[LQJRIGHFODUDWLRQVDQGVWDWHPHQWV
7KLVFKDSWHULVQRWDH[KDXVWLYHFRYHUDJHRIFKDQJHVDQGRQO\GLVFXVVHVWKHPRVW
LPSRUWDQW RI WKH FKDQJHV DQG WKDW DUH LQWURGXFHG LQ &; 7KH EDVH GRFXPHQWV IRU WKLV
FKDSWHU LV >$16, & @ DQG >5DWLRQDOH $16, & @ DQG IRU PRUH LQIRUPDWLRQ WKH
UHDGHUVDUHHQFRXUDJHGWRJRWKURXJKWKHVHGRFXPHQWV
3ULQFLSOHVRI6WDQGDUGL]DWLRQ3URFHVV
6WDQGDUGL]DWLRQ SURFHVV LV QRW UHGHVLJQLQJ WKH ODQJXDJH RU PRGLI\LQJ WKH
ODQJXDJHDVRSSRVHGWRWKHSRSXODUEHOLHI,WVPDLQDLPLVWRSURPRWHSRUWDELOLW\DQGJLYH
DFRPPRQVWDQGDUGWKDWFRGLILHVWKHFRPPRQH[LVWLQJSUDFWLFH
2YHUDOO*RDO
The Committee’s overall goal was to develop a clear, consistent, and
unambiguous Standard for the C programming language which codifies the common,
existing definition of C and which promotes the portability of user programs across C
language environments [Rationale ANSI C 1999].
8QGHUO\LQJ3ULQFLSOHV
The committee considered and followed several principles in achieving the
overall goal of specifying the standard of the language. Most important of these
principles listed here are based upon the ideas given in [Rationale ANSI C 1999]:
¾ Existing code is important, existing implementations are not.
When change is to be suggested the most important criteria to be considered is the
change of code. The existing code should not get or should be least affected. But if the
same change can be achieved by affecting the change in the existing implementations
(say compiler implementations), it is preferably be done.
¾ C code can be portable

C has been successfully ported to varied variety of operating systems and
platforms so the standard tries to make the language as widely implementable and as
general as possible.
¾ C code can be non-portable
The ability to write non-portable code is always a distinguishing mark and can get
the maximum utility from any target system. The standard doesn’t want to make C not
possible to be used as ‘high-level-assembly’ language due to standardization.
¾ Avoid “ quiet changes.”
Any changes should be visible and the implementations should be able to give
clear diagnostic messages to the users. The change in the behavior of code without any
evident reason and diagnostic is strictly avoided.
¾ A standard is a treaty between implementor and programmer
This is the basic reason why the standardization process is required, exists and
developed and so the committee understands this fact.
¾ Keep the spirit of C
The changes can be done to the language but it should not violate the basic design
principles involved in the language.

0RVW,PSRUWDQW&KDQJHVE\&;
1HZ.H\ZRUGVDQG7\SHV
7KHQHZNH\ZRUGVLQWURGXFHGDUH
LQOLQHUHVWULFWB%RROB&RPSOH[DQGB,PDJLQDU\
7KH QHZ W\SHV DGGHG LQ &; DUHB%RRO ORQJ ORQJ XQVLJQHG ORQJ ORQJ IORDW
B,PDJLQDU\ IORDW B&RPSOH[ GRXEOH B,PDJLQDU\ GRXEOH B&RPSOH[ ORQJ GRXEOH
B,PDJLQDU\ ORQJ GRXEOH B&RPSOH[ 1RWH WKDW PDQ\ RI WKHVH QHZ W\SHV XVHV DOUHDG\
DYDLODEOHNH\ZRUGV
The new type long long that has at-least 64-bit precision is introduced in C9X
primarily to support the new hardware available:
1) The disk-capacity has increased a lot and there is a requirement that its
memory be directly addressed.
2) 64-bit microprocessors are becoming common that the new type will help
exploit its power.
$ QHZ W\SH ORQJ ORQJ LV XVHIXO LQ SODWIRUPV ZKHUH WKH VL]H LQW DQG
VL]HRIORQJ (YHQ LQ RWKHU PDFKLQHV KDYLQJ JUHDWHU ZRUG VL]H WKH LQWHJUDO YDOXHV
RFFXS\LQJ PRUH WKDQ WKH VL]HRIORQJ E\WHV PD\ EH UHTXLUHG ,Q VXFK FDVHV WKHUH LV D
UHTXLUHPHQWWRUHSUHVHQWLQWHJUDOYDOXHRFFXS\LQJE\WHVDQGWKHQHZW\SHVDWLVILHVWKDW
Many implementations provide a header file like <complex.h> to provide the
functionality of complex numbers because C is also used heavily in the mathematical and
scientific areas and there complex types are often required. For that C9X introduced the
complex type as basic data-type itself.

0L[LQJ'HFODUDWLRQVDQG6WDWHPHQWV
,QVLGHWKHEORFNVPL[LQJRIGHFODUDWLRQVDQGVWDWHPHQWVLVDOORZHG$JDLQWKLVLV
IURP&
LQWL
«DIWHUORWRIFRGH
SULQWI³G´L
E\WKHWLPHRISRLQWRIXVDJH
ZHIRUJHWWKDWLLVQRWLQLWLDOL]HG
7KHSUREOHPVRIIRUJHWWLQJWRLQLWLDOL]HLVWKHPLVWDNHDOPRVWHYHU\&SURJUDPPHU
PDNHV6LQFHLQPRVWFDVHVWKHYDOXHWREHLQLWLDOL]HGLVDYDLODEOHRQO\LQWKHODWHUSDUWRI
WKHFRGH
,W LV D YHU\ QDWXUDO WR IRUJHW LQLWLDOL]LQJ WKH YDULDEOHV $QG WKH VLPSOH UXOH QRZ
ZLWK&;VWDQGDUGLVWRGHFODUHWKHYDULDEOHDQGLQLWLDOL]HLWMXVWEHIRUHLWVXVH:LWKWKLV
VLPSOHUXOHLWEHFRPHVYHU\FRQYHQLHQWIRUWKHSURJUDPPHUWRGHFODUHDQGXVHYDULDEOHV
WKURXJKRXWWKHEORFN
0L[LQJGHFODUDWLRQVDQGLQLWLDOL]DWLRQOHDGVWRDQRWKHUVHULRXVSUREOHP ,W LV GXH
WR JRWR VWDWHPHQWV :KDW VKRXOG KDSSHQ LI WKH GHFODUDWLRQV DUH E\HSDVVHG E\ D JRWR
VWDWHPHQW"
JRWRRXW
LQWL
RXWSULQWI³L G´L
SULQWVL µVRPHJDUEDJHYDOXH¶
7KHVWDQGDUGVD\VWKDWa jump forward past a declaration leaves it uninitialized
6LPLODUO\ZKDWLIWKHGHFODUDWLRQLVHQFRXQWHUHGWZLFH"
LQ
LQWL M
SULQWI³L GM G´LM
ZKHQLWLVHQFRXQWHUHGWKHVHFRQGWLPHLWSULQWV
L M µVRPHJDUEDJHYDOXH¶
M
JRWRLQ
,I WKH GHFODUDWLRQ KDV WKH LQLWLDOL]DWLRQ YDOXH WKHQ LW LV LQLWLDOL]HG WZLFH ,I WKH
YDULDEOHLVXQLQLWLDOL]HGLWPD\EHVHWWRVRPHJDUEDJHYDOXH
'HFODUDWLRQVLQµIRU¶6WDWHPHQWV
7KHµLQLW¶SDUWRIWKHµIRU¶ORRSFDQKDYHGHFODUDWLRQV7KHVFRSHRIWKHYDULDEOHV
WKXVGHFODUHGLVRQO\ZLWKLQWKHORRS
LQWL
IRUL LL
SULQWI³G´D>L@
+HUHWKHYDULDEOHLLVUHTXLUHGRQO\ZLWKLQWKHEORFN7KLVLVWKHFDVHIRUPRVWRI
WKH µIRU¶ ORRSV ZH ZULWH LQ & 'HFODULQJ WKH YDULDEOH RXWVLGH WKH µIRU¶ ORRS PDNHV WKH
VFRSHRIWKHYDULDEOHWRWKHHQFORVLQJEORFN$OORZLQJWKHYDULDEOHVEHGHFODUHGLQVLGHWKH
µIRU¶ORRSPDNHVSURJUDPPLQJHDVLHU
IRULQWL LL

SULQWI³G´D>L@
LVFRQYHQLHQW
&RPSRXQG/LWHUDOV
&RQVLGHUWKHSUREOHPRIILQGLQJWKHELJJHVWHOHPHQWLQDQDUUD\
LQWWHPS$UU>@ ^`
LQWM ELJJHVWWHPS$UU
,Q VXFK FDVHV LW ZRXOG EH KHOSIXO LI \RX FDQ SDVV WKH DUUD\ GLUHFWO\ ZLWKRXW FUHDWLQJ D
WHPSRUDU\DUUD\MXVWWRFDOOWKHIXQFWLRQ
)RUWKLV&[LQWURGXFHVWKHLGHDRIFRPSRXQGOLWHUDOV Compound literals provide
a mechanism for specifying constants of aggregate or union type. So no temporary
variables are required when an aggregate or union value will be needed only once. )RU
H[DPSOHDQDUUD\FDQEHFUHDWHGLQWKHDUJXPHQWLWVHOIDQGSDVVHGWRWKHIXQFWLRQ
LQWM ELJJHVWLQW>@^`
XVLQJFRPSRXQGOLWHUDOV
6L]HFDQEHVSHFLILHGZKLOHFDVWLQJDOVR
ptr = (int[5]){9, 8, 7, 6, 5};
9DULDEOH/HQJWK$UUD\V
C9X adds a new array type called a variable length array type. The inability to
declare arrays whose size is known only at execution time was often considered as one of
the major drawbacks associated with C. By the inclusion of variable length array this
restriction is removed. So nRZLWLVQRWQHFHVVDU\IRUKDYLQJRQH¶VRZQLPSOHPHQWDWLRQ
IRUJURZLQJYDULDEOHOHQJWKDUUD\V
YRLGVL]LQJ)XQLQWQ
LQWDUUD\>Q@ LVSRVVLEOH

The number of elements specified in the declaration of a variable length array type is a
runtime expression. Previously the length of the arrays was fixed and the array dimension
was required to be a constant expression.
It should be noted that since the space for variable length array is allocated at
runtime, it couldn’t be static or extern. But a pointer to the variable length array can be
static.
VWDWLFLQWDUUD\>Q@
HUURUYDULDEOHOHQJWKDUUD\VFDQQRWEHVWDWLF
sizeof operator can be applied to such arrays to find the sizeof the array,
LQWVL]H2I9DU$UU VL]HRILQW >Q@
It can be specified if the argument passed to a function is a variable length array
or not with the notation:
YRLGYDU/HQ$UU)XQLQWY$UU>VWDWLF@LQWY$UU
>VWDWLF@
This declaration assures that the variable length arrays passed are surely of length
at-least 10 elements, and the static indicates just that.

We already saw that, to specify that the arrays are non-overlapping, restrict
qualifier is used.
void varLenArrFun(int vArr1[static restrict 10], int
vArr2[static restrict 10]);
So this specifies that the arrays passed are of length at-least 10 (so it indirectly specifies
that the address passed cannot be NULL) and they are non-overlapping.
And as usual the const can be used to specify that the pointer always will point to
the same array.
YRLGYDU/HQ$UU)XQLQWY$UU>VWDWLFFRQVW@LQW
Y$UU>VWDWLFFRQVW@
This is similar to what we used to declare as for passing array as pointers:
void varLenArrFun(int *const arr1, int *const arr2);
The function prototype for using variable length argumenst is similar:
void varLenArrFun(int vArr1[*], int vArr2[*]);
Similar syntax is used for casting variable length arrays:
int (*vArrPtr)[n] = (int (*)[n]) somePtr;
typedef for variable length arrays is made in the following example:
W\SHGHILQWL9DU$UU>Q@
L9DU$UUDUUD\ DUUD\LVRIW\SHLQW >Q@
Now lets consider that value of 'n' is changed:
Q
Now what happens to the declarations like this:

L9DU$UUDQRWKHU
DUUD\LVRIW\SHLQW >Q@DQGQRWRIW\SHLQW >Q@
So the type remains the same and such side-effects doesn't affect typedefs.
9DULDEOH/HQJWK0DFUR$UJXPHQWV
One of the main design consideration C9X for macros is that there should be
some way provided such that what-ever that is possible to do with functions should also
be made possible using macros. Functions have variable length argument passing
mechanism and C9X introduces the same way of using ellipsis in macro definition to
indicate variable length list.
The identifier __VA_ARGS__ is used to replace such variable length list in C9X.
For example:
#define varLenMacro(filePtr,...) \
fprintf(filePtr, "VarLenList: "__VA_ARGS__)
and can be called like:
varLenMacro(stdout,” %d” ,someThing);
this will be expanded as:
fprintf(stdout, "VarLenList: "” %d” ,someThing);

GXHWRVWULQJL]DWLRQLWEHFRPHV
fprintf(stdout, "VarLenList: %d” ,someThing);
Additional rule for variable length macro list is: there must be at least one
argument to match the ellipsis.

7KHµUHVWULFW¶4XDOLILHU
[ANSIC-88] added ‘const’ and ‘volatile’ qualifiers to the language. C9X adds the
‘restrict’ type qualifier to allow programs to be written so that translators can produce
significantly faster code for certain cases.
What is the requirement of this new qualifier? For that rHPHPEHU ZKDW ZH KDYH
GLVFXVVHGRIWKHGLIIHUHQFHEHWZHHQWKHIROORZLQJWZROLEUDU\IXQFWLRQV
void *memcpy(void * s1, const void * s2,size_t n);
void *memmove(void * s1, const void * s2, size_t n);
³7KHRQO\GLIIHUHQFHEHWZHHQWKHVHWZRIXQFWLRQVLVWKDWPHPPRYHFDQEHXVHG
ZLWK RYHUODSSLQJ PHPRU\ DUHD ZKHUHDV PHPFS\ IRU QRQRYHUODSSLQJ PHPRU\ DUHDV
RIFRXUVHZLWKVRPHORVVRIHIILFLHQF\´
,QRWKHUZRUGVWKHSUREOHPPHPPRYHVXIIHUVLVFDOOHGDVWKHSUREOHPRIµDOLDVLQJ¶
7KHLPSOHPHQWDWLRQEHFRPHVVORZEHFDXVHLWFDQQRWDVVXPHWKDWWKHORFDWLRQVSRLQWHGE\WKH
V
DQG
V
DUH GLVMRLQW DQG VR FDQQRW GR RSWLPL]DWLRQV RQ LW &RQVLGHU WKH FDVH RI WKH
PHPFS\ ,W H[SOLFLWO\ VSHFLILHV WKDW WKH

V
DQG
V
DUH RI GLVMRLQW DUUD\V DQG VR HIILFLHQW
FRGHFDQEHJHQHUDWHGIRULW
7KLVLVMXVWRQHVXFKH[DPSOHRI
DOLDVLQJ
,f a translator cannot determine that two
different pointers are being used to reference different objects, then it cannot apply
optimizations such as maintaining the values of the objects in registers rather than in
memory, or reordering loads and stores of these values. ,I GRHVVRLWZLWKRXWFRQVLGHULQJ
µDOLDVLQJ¶WKDWPD\JLYHULVHWRZURQJUHVXOWVIn other words, tKHFRPSLOHUFDQQRWGRPXFK
RSWLPL]DWLRQEHFDXVHRIWKDWRSWLPL]DWLRQPD\DIIHFWWKHDOLDV)RUH[DPSOH
void f1(int * a1, const int * a2,int n)
{
int i;
for ( i = 0; i < n; i++ )
a1[i] += a2[i];
here there is a chance that the pointers a1 and a2 refer to the same position. So
optimization cannot be done on this. For such cases if the restrict qualifier is specified
then it means that the pointers a2 and a1 are the pointers that primarily point to the
memory and aliases point only 'through' them. Since both are restrict that means they
should be the primary means of the pointing the area, so no chance of overlapping.
Now the function looks like this:
void f1(int n, float * restrict a1, const float *
restrict a2)
This permits optimizations be done by the compilers generating code that is many
times faster.
With the restriction visible to a translator, a straightforward implementation of
memcpy in C can now give a level of performance that previously required assembly
language or other non-standard means. Thus the ‘restrict’ qualifier provides a standard
means with which to make, in the definition of any function, an aliasing assertion of a
type that could previously be made only for library functions. The ‘restrict’ keyword
allows the prototype to express what was previously expressed by words [Rationale
ANSI C 1999].
So the new prototype for the memcpy looks like this:
void *memcpy(void * restrict s1, const void * restrict
s2, size_t n);

1RZ OHWV ORRN KRZ WKH RUGLQDU\ GHFODUDWLRQV EH PDGH ZLWK UHVWULFW TXDOLILHU 7R
VSHFLI\WKDWWKHLQWHJHUSRLQWHULVUHVWULFWHG\RXVKRXOGGHFODUHDV
int *restrict rp;

// read as ‘rp is a restricted pointer to integers
7KLVLVGLIIHUHQWIURP
restrict int *rp;

// reads as ‘rp is a pointer to restricted int’ that is invalid
:LWK WKH DGGLWLRQ RI UHVWULFW WR OLVW RI TXDOLILHUV WKH µFY TXDOLILHU¶ VWDQGV IRU
µFRQVWYRODWLOH TXDOLILHU¶ QRZ EHFRPHV µFYU TXDOLILHU¶ 0RVW RI WKH VHPDQWLFV RI µFY
TXDOLILHUV¶DSSO\WRµUHVWULFW¶IRUH[DPSOH
typedef float *floatPtr;
restrict floatPtr ptr;

// ok. Similar to what we did for const.
Point to Ponder:
µUHVWULFW¶LVRQO\IRUDGGLWLRQDORSWLPL]DWLRQVRLWFDQVDIHO\EHGHOHWHGIURPWKH
SURJUDP
7KHµVWUXFWKDFN¶WHFKQLTXHVWDQGDUGL]HG
7KHµVWUXFWKDFN¶WHFKQLTXHZHVDZLQWKHFKDSWHURQ µVWUXFWXUH DQGXQLRQV¶LVD
XVHIXORQHSince this is a popular and widely used technique, C9X has standardized the
method of such usage. So ‘struct hack’ is now valid code but with some little change in
the syntax.
7KHODVWPHPEHURIVWUXFWXUHVQRZPD\KDYHDQLQFRPSOHWHDUUD\W\SH
&RQVLGHUWKHVWUXFWXUH
struct system{
char type[10];
// this field has the number of items that are pointed by
// the following ‘nameOfPeripherals’ member.
int perpheralID[];
};
+HUH WKH VL]H RI WKH PHPEHU µSHULSKHUDO,'¶ FDQ GLIIHU DFFRUGLQJ WR WKH
UHTXLUHPHQW %XW DV WKH VWDQGDUG VSHFLILHV RQO\ WKH ODVW HOHPHQW FDQ EH VXFK PHPEHU
7KLVIHDWXUHLVQRZFDOOHGDV³IOH[LEOHDUUD\PHPEHUV´
$QRWKHUSRLQWWREHnoted is that, sizeof applied to the structure ignores the array
but counts any padding before it. This makes the malloc call as simple as possible. That is
the allocation is as follows:
int num = 5;
structPtr = malloc( sizeof(struct system) + num *
sizeof(int));
+HUH QRWH WKH FKDQJH WKDW LW LV QXP VL]HRILQW DQG QRW QXP VL]HRILQW
EHFDXVHRIWKHUHDVRQWKDWWKHVL]HRIRSHUDWRUGRHVQ¶WLQFOXGHWKHµIOH[LEOHDUUD\PHPEHU¶
PDNLQJWKHPDOORFVLPSOH
,QOLQH)XQFWLRQV
,QOLQHIXQFWLRQVDUHQRZSRVVLEOHZLWKWKHKHOSRIWKHNH\ZRUGµLQOLQH¶Ddapted
from C++). ,W VKRXOG KRZHYHU EH QRWHG WKDW WKH µLQOLQH¶ NH\ZRUG LV D is a function-
specifier that can be used only in function declarations.
7KLVLVWRPDNHWKHVPDOOIXQFWLRQVLQOLQHVXFKWKDWWKHRYHUKHDGIRUIXQFWLRQFDOOV
LV DYRLGHG 7KLV DQ DOWHUQDWLYH IRU XVLQJ PDFURV DQG E\ XVLQJ VXFK LQOLQH IXQFWLRQV WKH
GLVDGYDQWDJHVLQXVLQJPDFURVLVDYRLGHGPDFURV9VIXQFWLRQVLVGLVFXVVHGLQFKDSWHURQ
SUHSURFHVVRU
'HVLJQDWHGLQLWLDOL]HUV
Designated initializers provide a mechanism for initializing structures, unions
and arrays by name.
Previously unions can only be initialized with their first member. But now with
the help of designated initializers, unions can be initialized via any member, regardless of
whether or not it is the first member.
/LQHFRPPHQWVDVLQ&
7KLVRQHRIWKHPRVWEDVLFDQGH[SHFWHGIDFLOLWLHVWKH&SURJUDPPHUVKDYHORQJHG
IRU)RUZULWLQJVKRUWFRPPHQWVVLQJOHOLQH FRPPHQWVDUHYHU\ FRQYHQLHQW ,WLVDQDVW\
EXJWKDWLVIUHTXHQWO\PDGHLVWRIRUJHWWRJLYHWKHFORVLQJ FRPPHQWIRUVWDUWLQJ
:LWK WKH QHZ FRPPHQW WKDW LV ERUURZHG IURP & ZLOO KHOS SURJUDPPHUV WR HDVLO\
ZULWHVLQJOHOLQHFRPPHQWV
2WKHU6LJQLILFDQW&KDQJHVLQ&;
¾ 6LJQLILFDQWLPSURYHPHQWLVVXSSRUWIRU8QLFRGHFKDUDFWHUVLQWKHIRUPRI?XDQG
?8IROORZHGE\IRXUKH[DGHFLPDOGLJLWV
HJ?8DD
WRVSHFLI\VRPH8QLFRGHFKDUDFWHU
¾ 7KHUHWXUQW\SHLQWDVGHIDXOWW\SHLQIXQFWLRQVLIRPLWWHGLVQRORQJHUOHJDO
7KLV IRUPDOL]HV WKH LGHD WKDW WKH UHWXUQ W\SHV KDYH WR EH H[SOLFLWO\ VSHFLILHG
7KLV ZLOO KHOS DYRLGLQJ HUURUV GXH WR LPSOLFLW DVVXPSWLRQ RI UHWXUQ W\SHV
GLVFXVVHGLQFKDSWHURQIXQFWLRQV7KLVZLOODOVRKHOSLQFUHDVHUHDGDELOLW\
¾ Using function prototypes was a desirable feature with [ANSIC-88] but now
using them becomes a necessity. Because, implicit function declarations is
removed in C9X.
¾ WUXHDQGIDOVHDUHSUHGHILQHGPDFURV
¾ C9X introduces predefined identifiers, which have block scope. This is similar
to the predefined macros such as __FILE__, but these are identifiers (also note
that the predefined macros have file scope. E.g. BBIXQFBB that allows the
function name to be used at execution time.
YRLGIXQ1DPH
^
LIVRPH(UURU
SULQWI(UURUDWIXQFWLRQVBBIXQFBB
SULQWV
(UURUDWIXQFWLRQIXQ1DPH
¾ hexadecimal notation is now available for floating constants.
¾ ERROLVW\SHGHILQHGLQVWGERROK!
8VLQJ LQWHJHUV IRU ERROHDQV DV LQ WUDGLWLRQDO & KDV ORW RI DGYDQWDJHV DQG
GLVDGYDQWDJHV1RZLQWHJHUVQHHGQRWGRDOOWKHZRUNRIWKHERROHDQW\SHVVLQFH
DERROLVDYDLODEOHQRZ
$33(1',;,²$16:(56726(/(&7('(;(5&,6(6
7KHQXPEHUVEHIRUHWKHDQVZHUVUHIHUWRWKHTXHVWLRQQXPEHUVLQWKHWH[W
,Q%66
VWDWLFLQWL
VWDWLFLQWL
ERWKDUHHTXLYDOHQW7KHYDULDEOHµL¶EHLQJH[SOLFLWO\LQLWLDOL]HGWRLQWKHILUVW
FDVHPDNHVQRGLIIHUHQFH
&RPSLOHWLPHHUURU&RQVWDQWH[SUHVVLRQVDUHHYDOXDWHGDWFRPSLOHWLPHLWVHOI
<HV&KDUGDWDW\SHFDQWDNHSDUWLQH[SUHVVLRQVPXFKOLNHDVLQWGDWDW\SH,IWKH
FKDU LV XQVLJQHG WKHQ QR SUREOHP DULVHV +RZHYHU IRU WKH RWKHU FDVH D SUREOHP
DULVHV%HFDXVHWKHUHSUHVHQWDWLRQRIVLJQHGYDULDEOHLQWKH PHPRU\ ELW SDWWHUQ
FDQQRWEHSUHGLFWHGDQGVRLVQRWSRUWDEOH
<HV
<HV 7KH NH\ZRUG WR UHPHPEHU LV QRQGHFUHDVLQJ RUGHU RI VL]H DQG WKLV LV WKH
RQO\UHVWULFWLRQODLGIRUWKHVL]HRIWKHVHGDWDW\SHV(TXDOVL]HVIRUDOOWKHVHW\SHV
GRQRWYLRODWHWKLVDQGVRLVSRVVLEOH
7KHRXWSXWGHSHQGVRQZKHWKHUWKHLPSOHPHQWDWLRQIROORZVDULWKPHWLFRUORJLFDO
VKLIW
$OWKRXJKVRPH LPSOHPHQWDWLRQV DOORZ LW LW LV QRW DVVXUHG WKDW WKH YDOXH ZLOO EH
FKDQJHG,WPD\HYHQSURGXFHDUXQWLPHHUURU
1R
0RVWRIWKHLPSOHPHQWDWLRQVW\SHGHIWLPHBWDVLQWRUDVORQJLQW,IWKHVL]HRIORQJ
LQWRULQWKDSSHQVWREHE\WHVWKHUHLVDSUREOHP%HFDXVHWLPHBWVWRUHVQXPEHU
RI VHFRQGV ODSVHG DIWHU PLGQLJKW RI -DQ DQG FDQ FRQWDLQ XSWR A
VHFRQGV7KHQXPEHURI\HDUVWKDWFDQEHUHSUHVHQWHGOLNHWKLVHQGVXSDW-DQ
6R WKH QH[W GD\ RI WKLV GD\ ZLOO EH LQWHUSUHWHG DV -DQ DQG WKLV LV
UHIHUUHG WR DV \HDU SUREOHP 7KLV SUREOHP FDQ EH VROYHG E\ W\SHGHILQLQJ
WLPHBWZLWKDQLQWHJHUDOW\SHRFFXS\LQJPRUHWKDQE\WHV
7KH RXWSXW GHSHQGV RQ ZKHWKHU YDOXH RU VLJQHG SUHVHUYLQJ LV IROORZHG VL]HRI
UHWXUQV VL]HBW ,I LW LV µW\SHGHI¶LQHG DV XQVLJQHG LQW WKHQ WKHUH LV D SUREOHP RI
YDOXHVLJQSUHVHUYLQJ
1R/LQNDJH
1REHFDXVHWKHORFDOUHJLVWHUYDULDEOHVKDYHQROLQNDJHDQGDUHDOORFDWHGLQVWDFN
DQG PLFURSURFHVVRU UHJLVWHUV UHVSHFWLYHO\ /LQNHU OLQNV WKH QDPH DQG LWV
DVVRFLDWHG VSDFH DW OLQN WLPH DQG VLQFH ORFDOUHJLVWHU YDULDEOHV DUH DYDLODEOH DW
UXQWLPHWKH\FDQQRWEHH[WHUQ
7KHIXQFWLRQVFDQQHYHUSDVVDQDUUD\6RLQWKLVIXQFWLRQDFWXDOO\DQDUUD\SRLQWHU
LVSDVVHGLWKDSSHQHGKHUHWKDWVL]HZDVE\WHVERWKIRULQW DQGLQW
&RPSLOHUHUURUVL]HRIFDQQRWEHDSSOLHGRQYRLG6LQFHWKHIXQFWLRQUHWXUQVYRLG
WKHIXQFWLRQFDOOH[SUHVVLRQEHFRPHVDYRLGH[SUHVVLRQ
,I WKH ERG\ RI WKH ORRS QHYHU H[HFXWHV S LV DVVLJQHG QR DGGUHVV 6R S UHPDLQV
18// ZKHUH S PD\ UHVXOW LQ SUREOHP PD\ ULVH WR UXQWLPH HUURU 18//
SRLQWHUDVVLJQPHQW
,ILWZHUHDVPDOOHQGLDQPDFKLQHLWZLOOSULQWWKH$6&,,HTXLYDOHQWRILH,I
LW ZHUH D ELJHQGLDQ PDFKLQH LW ZLOO SULQW WKH YDOXH HTXLYDOHQW RI UHYHUVLQJ WKH
E\WHV
ZKLOHIHRIIS^
FK IJHWFIS
LIFK

LIFKDQFHIRUEHJLQQLQJDFRPPHQW
^
FK IJHWFIS
LIFK ¶ ¶
ZKLOHFK IJHWFISIHRIIS^
LIFK

LIFKHFNLIIS

^
FK IJHWFIS
EUHDN
IUHDGUHDGVWKUHHUHFRUGVVXFFHVVIXOO\,WZLOOUHWXUQ(2)RQO\ZKHQIUHDGWULHVWR
UHDG DQRWKHU UHFRUG DQG IDLOV UHDGLQJ (2) DQG UHWXUQLQJ (2) 6R LW SULQWV WKH
ODVWUHFRUGWZRWLPHVDQGFRPHVRXWDIWHUVHHLQJ(2)
7KH VHFRQG RQH LV EHWWHU EHFDXVH JHWVLQSXW6WULQJ GRHVQ
W NQRZ WKH VL]H RI WKH
VWULQJSDVVHGDQGVRLIDYHU\ELJLQSXWKHUHPRUHWKDQFKDUVWKHFKDUDFWHUV
ZLOOEHZULWWHQSDVW WKH LQSXW VWULQJ :KHQ IJHWV LV XVHG ZLWK VWGLQ SHUIRUPV WKH
VDPHRSHUDWLRQDVJHWVEXWLVVDIH
,IWKHVWUFRQWDLQVDQ\IRUPDWWLQJFKDUDFWHUVOLNHGWKHQLWZLOOUHVXOWLQDVXEWOH
EXJ6RDOZD\VSUHIHUWKHILUVWRQH
$16,&PDQGDWHVDWOHDVWRQHPHPEHUWREHSUHVHQWLQDVWUXFWXUHVRWKLVVKRXOG
LVVXH DQ HUURU LQ & 7KLV LV DFFHSWDEOH LQ FDVH RI & EXW DQ REMHFW VKRXOG EH
DVVRFLDWHG ZLWK VRPH PHPRU\ DQG WKH REMHFW VKRXOG EH RI VL]H DWOHDVW VR WKH
SULQWIPD\SULQWWKHYDOXHRUDELJJHUQXPEHUDVWKHVL]HRIWKHVWUXFWXUH
$33(1',;,,¶7,1<(;35·(;35(66,21&203,/(5
,17(535(7(5,03/(0(17$7,21
7KLV³WLQ\([SU´H[SUHVVLRQFRPSLOHUDQGLQWHUSUHWHULPSOHPHQWDWLRQ LVD
VDPSOH LPSOHPHQWDWLRQ IRU H[SODLQLQJ WKH FRQFHSWV SUHVHQWHG LQ WKH
FKDSWHUV³&RPSLOHU'HVLJQLQ&´ DQG³&DQG-DYD´7KLVLQGHQWVWREHD
VLPSOH DQG HDV\ WR XQGHUVWDQG LPSOHPHQWDWLRQ IRU D FRPSLOHU DQG D
UXQWLPH LQWHUSUHWHU DQG LV QRW LQWHQGHG WR EH D IXOOIOHGJHG RQH )RU
H[DPSOH VXSSRUW IRU HUURU GHWHFWLRQ DQG UHFRYHU\ DUH YHU\ SRRU
6LPLODUO\LWLVOLWWOHELWSODWIRUPGHSHQGHQWWRR
$OO5LJKWV5HVHUYHG
$XWKRU6**DQHVK
'DWH
PQHPRQLFK
+HDGHUILOHIRURSFRGHPQHPRQLFFRQVWDQWVXVHGERWKLQWKHµWLQ\([SU¶
FRPSLOHUDQGLQWHUSUHWHU7KHVHE\WHFRGHVDQGHTXLYDOHQWPQHPRQLFVDUH
DVLQ-DYD
HQXPPQHPRQLF^
,&2167B0
,&2167B
,&2167B
,&2167B
,&2167B
,&2167B
,&2167B
%,386+
6,386+
,/2$'
,/2$'B
,/2$'B
,/2$'B
,/2$'B
,6725(
,6725(B
,6725(B
,6725(B
,6725(B
,$''
,68%
,08/
,',9
,5(0
,1(*
,6+/
,6+5
,$1'
,25
,;25
,,1&
,192.(0(7+2'
5(7851
`
FRGHIRUWKHFRPSLOHUSDUW
WLQ\H[SUK
DOOWKHVWDQGDUGKHDGHUILOHVUHTXLUHGDUHLQFOXGHGKHUH
LQFOXGHVWULQJK!
LQFOXGHVWGLRK!
LQFOXGHFRQLRK!
LQFOXGHVWGOLEK!
LQFOXGHFW\SHK!
LQFOXGHOLPLWVK!
IXQFWLRQGHFODUDWLRQVIURPWKHOH[LFDODQDO\VHUPRGXOHOH[F
W\SHGHIHQXPOH[9DOVOH[7RNHQ
OH[7RNHQVHDUFK6\PEROVFKDU WRNHQ6WULQJ
OH[7RNHQDGYDQFHYRLG
LQWYHULI\HQXPOH[9DOVH[SHFWHG
OH[7RNHQJHW7RNHQ)URP6WULQJFKDU WRNHQ6WU
IXQFWLRQGHFODUDWLRQIURPWKHHUURUKDQGOHUPRGXOHHUUKDQGOF
OH[7RNHQHUURU+DQGOHUHQXPHUURU7\SHHUU7\SHFKDU VWU
IXQFWLRQGHFODUDWLRQVIURPWKHPDLQPRGXOHRIUHFXUVLYHGHVFHQW
SDUVHU
DQGLQWHJUDWHGFRGHJHQHUDWHGPRGXOHVWLQ\H[SUF
YRLGVWDWHPHQW([SUHVVLRQ
YRLGSUH,QFUHPHQW([SUHVVLRQ
YRLGSUH'HFUHPHQW([SUHVVLRQ
YRLGSRVW,QFUHPHQW([SUHVVLRQ
YRLGSRVW'HFUHPHQW([SUHVVLRQ
YRLGDVVLJQPHQW
YRLGH[SU
YRLGDVVLJQPHQW([SU
YRLGDVVLJQPHQW
LQWLV(TX2SHUDWRULQWLQGH[
YRLGLQFOXVLYH2U([SU
YRLGH[FOXVLYH2U([SU
YRLGVKLIW([SU
YRLGDGGLWLYH([SU
YRLGDQG([SU
YRLGPXOWLSOLFDWLYH([SU
YRLGXQDU\([SU
YRLGSUH,QFUHPHQW([SU
YRLGSUH'HFUHPHQW([SU
YRLGXQDU\([SU1RW3OXV0LQXV
YRLGSRVWIL[([SU
YRLGSULPDU\
YRLGQDPH
YRLGSRVW,QFUHPHQW([SU
YRLGSRVW'HFUHPHQW([SU
YRLGPHWKRG,QYRFDWLRQ
IXQFWLRQGHFODUDWLRQVIURPWKHIHZFRGHJHQHUDWHGPRGXOHV
FRGHJHQF
YRLGHPLW3UH,QF'HF&RGHLQWRIIVHWLQWLQF2U'HF
YRLGHPLW1XP&RQVW&RGH
YRLGHPLW/RDG&RGHLQWRIIVHW
YRLGHPLW6WRUH&RGHLQWRIIVHW
HUUKDQGOF
HQXPHUURU7\SH^:$51,1*(5525`
HQXPOH[9DOVHUURU+DQGOHUHQXPHUURU7\SHHUU7\SHFKDU VWU^
LIHUU7\SH :$51,1*
ISULQWIVWGHUU?Q:$51,1*VVWU
UHWXUQDGYDQFH
`
HOVH HUURU
ISULQWIVWGHUU?Q(5525V?QVWU
ISULQWIVWGHUU?Q([LWLQJ3UHVVDQ\NH\
JHWFKDU
H[LW
OH[F
WKLVLVWKHVRXUFHILOHIRUWKHVLPSOHOH[LFDODQDO\]HU
GHILQH0$;/(1
HQXPERROÎDOVH WUXH`
LQWLQLW/H[ WUXH WRLQLWLDWHWKHOH[LFDODQDO\VHU
H[WHUQFKDUVRXUFH([SU>0$;/(1@
WKLVLVWKHVWULQJWKDWKROGVWKHH[SUHVVLRQWKDWLVWREHFRPSLOHG
HQXPOH[9DOVWRNHQ WKLVKROGVWKHFXUUHQWWRNHQ
VOH[LFDOYDOXH
FKDU FXUU,GHQWLILHU WKHLGHQWLILHUVWULQJLILWLVDYDULDEOH
LQWFXUU,QWHJHU
WKHLQWHJHUYDOXHLIWKHFXUUHQWRQHLVDLQWHJHUFRQVWDQW
HQXPOH[9DOVQH[W7RNHQ
WKLVOH[LFDODQDO\]HUVXSSRUWVWKHORRNDKHDGRIRQHWRNHQ
WKHVHDUHWKHQXPEHUVJLYHQWRWKHYDULRXVOH[LFDOLWHPV
W\SHGHIHQXPOH[9DOV ^
,'(17,),(5 ,17(*(5B&2167 (48$/ %B3$5(16
(B3$5(16 /()7B6+,)7 5,*+7B6+,)7 3/86
3/86B3/86 3/86B(4 0,186
0,186B0,186
0,186B(4 67$5 67$5B(4 ',9
',9B(4 02' 02'B(4 %,7B$1'
%,7B25 %,7B127 (;25
/()7B6+,)7B(4
5,*+7B6+,)7B(4 (;25B(4 25B(4 $1'B(4
816,*1('B5,*+7B6+,)7816,*1('B5,*+7B6+,)7B(4 &200$
,//(*$/B72.(1
ÒH[7RNHQ
WKHVHDUHWKHHTXLYDOHQWV\PEROVWREHPDWFKHGWRILQGWKHWRNHQ
VWDWLFFKDU V\PERO>@

!!

_ a A
!! A _
!!! !!!

`
HQXPOH[9DOVVHDUFK6\PEROVFKDU WRNHQ6WULQJ
HQXPOH[9DOVL
IRUL (48$/L &200$L VLPSOHOLQHDUVHDUFK
LIVWUFPSV\PERO>L@WRNHQ6WULQJ
UHWXUQL UHWXUQWDEOHORFDWLRQRQH
UHWXUQ,//(*$/B72.(1
HQXPOH[9DOVJHW7RNHQ)URP6WULQJFKDU WRNHQ6WU
HQXPOH[9DOVWHPS
LIWRNHQ6WU
LILVDOSKDWRNHQ6WU>@
LILWFRQWDLQVDOSKDEHWLFFKDUDFWHUVLWLVDYDULDEOHQDPH
FXUU,GHQWLILHU WRNHQ6WU
WHPS ,'(17,),(5
`
HOVHLILVGLJLWWRNHQ6WU>@ LILWVWDUWVZLWKDGLJLWWKHQ
LWLVDLQWHJHUFRQVWDQW
WHPS ,17(*(5B&2167
FXUU,QWHJHU DWRLWRNHQ6WU
HOVH HOVHVHDUFKIRUWKHRSHUDWRUVWULQJV
WHPS VHDUFK6\PEROVWRNHQ6WU
LIWHPS ,//(*$/B72.(1
WHPS HUURU+DQGOHU:$51,1*8QNQRZQV\PEROLQWKHJL YHQ
H[SUHVVLRQ
UHWXUQWHPS
HOVH
UHWXUQ,//(*$/B72.(1
HQXPOH[9DOVDGYDQFHYRLG GLVFDUGFXUUHQWYDOXHRIWRNHQDQGJHW
QHZ
YDOXHVE\UHDGLQJPRUH
FKDU WRNHQ6WU
LILQLW/H[ LILWLVIRUWKHILUVWWLPHLQWKH
H[SUHVVLRQ
LQLW/H[ IDOVH
VWUWRNSODFHVD18//WHUPLQDWRULQIURQWRIWKHWRNHQLI
IRXQG
WRNHQ6WU VWUWRNVRXUFH([SU?W
QH[W7RNHQ JHW7RNHQ)URP6WULQJWRNHQ6WU
WRNHQ QH[W7RNHQ
$VHFRQGFDOOWRVWUWRNXVLQJD18//DVWKHILUVWSDUDPHWHU
UHWXUQVDSRLQWHUWRWKHFKDUDFWHUIROORZLQJWKHWRNHQ
WRNHQ6WU VWUWRN18//?W
QH[W7RNHQ JHW7RNHQ)URP6WULQJWRNHQ6WU
UHWXUQWRNHQ
LQWYHULI\HQXPOH[9DOVH[SHFWHG XVHGLQSODFHVZKHUHVRPHWRNHQ
LV
UHTXLUHGWREHSUHVHQW
LIWRNHQ H[SHFWHG
DGYDQFH
UHWXUQWUXH
HOVH
HUURU+DQGOHU(5525([SHFWHGWRNHQLVPLVVLQJ
UHWXUQIDOVH
`
LIGHI/(;B'(%8* RQO\IRUGHEXJJLQJSXUSRVH
LQWPDLQ
LQWL
FOUVFU
ZKLOHL DGYDQFH!
LIL
SULQWI?QVFXUU,GHQWLILHU
HOVHLIL
SULQWI?QGFXUU,QWHJHU
HOVH
SULQWI?QVV\PERO>L@
HQGLI
V\PWDEOHF
WKLVSURJUDPFRQWDLQVFRGHIRUWKHV\PEROWDEOHPDQDJHPHQWWKDWLV
XVHGE\WKHPDLQPRGXOH
HQXPVL]HV^WDEOH6L]H WRNHQ6L]H `

JOREDOYDULDEOHVUHTXLUHGIRUV\PEROWDEOHV\P EROWDEOHLVMXVW
DQDUUD\RIVWULQJV
FKDUV\PERO7DEOH>WDEOH6L]H@>WRNHQ6L]H@
VWDWLFLQWV\PERO7RS
VHWVDQHZYDULDEOHSURYLGHGWKDWQDPHDQGW\SHDUHDYDLODEOH
LQWVHW9DULDEOHFKDU VWULQJ
LIV\PERO7RS! WDEOH6L]H
HUURU+DQGOHU(5525?Q,QWHUQDO6\PEROWDEOHRYHUIORZ&DQQRW
LQVHUWHQWU\
UHWXUQ
HOVH
VWUFS\V\PERO7DEOH>V\PERO7RS@VWULQJ
UHWXUQV\PERO7RS
VHHLQV\PEROWDEOHLIWKHVWULQJLVDOUHDG\EHHQGHFODUHGHOVHVHW
LWHPSOR\VGLUHFWOLQHDUVHDUFKWRILQGWKHV\PERO
LQWORRN8S6HWFKDU VWULQJ
LQWL V\PERO7RS
ZKLOHL!
^
LIVWUFPSV\PERO7DEOH>L@VWULQJ
UHWXUQL
L
LILWUHDFKHVKHUHLWPHDQVWKDWWKHV\PEROLVDQHZRQH
UHWXUQVHW9DULDEOHVWULQJ
WKHFRGHPRGXOHVLQFRGHJHQFWKHFRGHJHQHUDWLRQIXQFWLRQV
H[WHUQ),/( RXW)LOH
YRLGHPLW3UH3RVW,QF'HF&RGHLQWRIIVHWLQWLQF2U'HF
ISULQWIRXW)LOHFGG,,1&RIIVHWLQF2U'HF
YRLGHPLW1XP&RQVW&RGH
LIFXUU,QWHJHU! FXUU,QWHJHU
VZLWFKFXUU,QWHJHU
FDVHISULQWIRXW)LOHF,&2167BEUHDN

HOVHLIFXUU,QWHJHU! FXUU,QWHJHU
ISULQWIRXW)LOHFF%,386+FXUU,QWHJHU
HOVHLIFXUU,QWHJHU! ,17B0,1 FXUU,QWHJHU ,17B0$;
ISULQWIRXW)LOHFG6,386+FXUU,QWHJHU
YRLGHPLW/RDG&RGHLQWRIIVHW
LIRIIVHW OHVVWKDQ]HURLQGLFDWHVXQNQRZQLGHQWLILHU
HUURU+DQGOHU(55258QGHILQHGV\PEROLQH[SUHVVLRQ
HOVHLIRIIVHW
VZLWFKRIIVHW
FDVHISULQWIRXW)LOHF,/2$'BEUHDN
HOVH
ISULQWIRXW)LOHFG,/2$'RIIVHW
`
YRLGHPLW6WRUH&RGHLQWRIIVHW
LIRIIVHW OHVVWKDQ]HURLQGLFDWHVXQNQRZQLGHQWLILHU
HUURU+DQGOHU(55258QGHILQHGV\PEROLQH[SUHVVLRQ
HOVHLIRIIVHW
VZLWFKRIIVHW
FDVHISULQWIRXW)LOHF,6725(BEUHDN
HOVH
ISULQWIRXW)LOHFG,6725(RIIVHW
WLQ\H[SUF
WKLVLVWKHPDLQVRXUFHILOHWKDWFRQWDLQVWKHLPSOHPHQWDWLRQRIWKH
UHFXUVLYHGHVFHQWSDUVHU
LQFOXGHPQHPRQLFK
PQHPRQLFFRGHVIRUE\WHFRGHVDUHDYDLODEOHLQWKLVKHDGHUILOH
LQFOXGHWLQ\H[SUK
WKLVKHDGHUILOHLQWXUQLQFOXGHVVWDQGDUGKHDGHUILOHVDQGFRQWDLQV
IXQFWLRQGHFODUDWLRQV
LQFOXGHHUUKDQGOF
WKLVILOHFRQWDLQVDHUURUKDQGOHUIXQFWLRQ
LQFOXGHOH[F
DWLQ\OH[LFDODQDO\VHULVDYDLODEOHLQWKLVILOH
LQFOXGHV\PWDEOHF
WKLVILOHFRQWDLQVWKHVLPSOHV\PEROWDEOHDQGWKHIXQFWLRQV
RSHUDWLQJRQLW
LQFOXGHFRGHJHQF
WKLVILOHFRQWDLQVIHZFRGHJHQHUDWLRQURXWLQHVXVHGKHUH
FKDUVRXUFH([SU>0$;/(1@
WKLVLVWKHVWULQJWKDWKROGVWKHH[SUHVVLRQWREHFRPSLOHG
),/( RXW)LOH
WKLVLVSRLQWHUWR),/(ZKHUHWKHRXWSXWE\WHFRGHVVKRXOGEHVHQH
IXQFWLRQVDYDLODEOHKHUHUHSUHVHQWJUDPPDUSURGFXWLRQV WKHVH
IXQFWLRQVFROOHFWLYHO\PDNHWKHUHFXUVLYHGHVFHQWSDUVHU
YRLGVWDWHPHQW([SUHVVLRQ
VWDWHPHQW([SUHVVLRQFDQEHDQ\RQHRIWKHVHEXWRQO\RQHLVVHOHFWHG
DQGRWKHUDUHRSWLRQDOVRWKHIXQFWLRQDUHGHVLJQHGLQWKDWZD\
SUH,QFUHPHQW([SUHVVLRQ
SUH'HFUHPHQW([SUHVVLRQ
SRVW,QFUHPHQW([SUHVVLRQ
SRVW'HFUHPHQW([SUHVVLRQ
PHWKRG,QYRFDWLRQ
DVVLJQPHQW
YRLGSUH,QFUHPHQW([SUHVVLRQ
LIWRNHQ 3/86B3/86
LQWL
DGYDQFH
L ORRN8S6HWFXUU,GHQWLILHU
HPLW3UH3RVW,QF'HF&RGHL
HPLW/RDG&RGHL
DGYDQFH
YRLGSUH'HFUHPHQW([SUHVVLRQ
^
LIWRNHQ 0,186B0,186
LQWL
DGYDQFH
HPLW/RDG&RGHL
DGYDQFH
YRLGSRVW,QFUHPHQW([SUHVVLRQ
LIWRNHQ ,'(17,),(5 QH[W7RNHQ 3/86B3/86
LQWL ORRN8S6HWFXUU,GHQWLILHU
DGYDQFH
DGYDQFH
YRLGSRVW'HFUHPHQW([SUHVVLRQ
LIWRNHQ ,'(17,),(5 QH[W7RNHQ 0,186B0,186

DGYDQFH
DGYDQFH
YRLGH[SU
DVVLJQPHQW([SU
LIWRNHQ &200$
DGYDQFH
H[SU
YRLGDVVLJQPHQW([SU
DVVLJQPHQW
LQFOXVLYH2U([SU
YRLGDVVLJQPHQW
LIWRNHQ ,'(17,),(5 LV(TX2SHUDWRUQH[W7RNHQ
LQWLLQGH[
DGYDQFH HDWLGHQWLILHUQDPH
LIWRNHQ (48$/
HPLW/RDG&RGHL
LQGH[ WRNHQ
DGYDQFH
DVVLJQPHQW([SU
VZLWFKLQGH[
FDVH67$5B(4ISULQWIRXW)LOHF,08/EUHDN
FDVH',9B(4ISULQWIRXW)LOHF,',9EUHDN
FDVH02'B(4ISULQWIRXW)LOHF,5(0EUHDN
FDVH3/86B(4ISULQWIRXW)LOHF,$''EUHDN
FDVH0,186B(4ISULQWIRXW)LOHF,68%EUHDN
FDVH/()7B6+,)7B(4ISULQWIRXW)LOHF,6+/EUHDN
FDVH5,*+7B6+,)7B(4ISULQWIRXW)LOHF,6+5EUHDN
FDVH$1'B(4ISULQWIRXW)LOHF,$1'EUHDN
FDVH(;25B(4ISULQWIRXW)LOHF,;25EUHDN
FDVH25B(4ISULQWIRXW)LOHF,25EUHDN
HPLW6WRUH&RGHL
` HQGVZLWFK
LQWLV(TX2SHUDWRULQWLQGH[
^
LILQGH[ (48$/__LQGH[ 67$5B(4__LQGH[ ',9B(4__
LQGH[ 02'B(4__ LQGH[ 3/86B(4__LQGH[ 0,186B(4__
LQGH[ /()7B6+,)7B(4__LQGH[ 5,*+7B6+,)7B(4__
LQGH[ 816,*1('B5,*+7B6+,)7B(4__LQGH[ $1'B(4__LQGH[ (;25B(4__
LQGH[ 25B(4
UHWXUQ
UHWXUQ
YRLGLQFOXVLYH2U([SU
H[FOXVLYH2U([SU
ZKLOHWRNHQ %,7B25
DGYDQFH
H[FOXVLYH2U([SU
ISULQWIRXW)LOHF,25
YRLGH[FOXVLYH2U([SU
DQG([SU
ZKLOHWRNHQ (;25
DGYDQFH
DQG([SU
ISULQWIRXW)LOHF,;25
YRLGDQG([SU
VKLIW([SU
ZKLOHWRNHQ %,7B$1'
DGYDQFH
VKLIW([SU
ISULQWIRXW)LOHF,$1'
YRLGVKLIW([SU
DGGLWLYH([SU
ZKLOHWRNHQ /()7B6+,)7__WRNHQ 5,*+7B6+,)7
LQWLQGH[
LQGH[ WRNHQ
DGYDQFH
DGGLWLYH([SU
LILQGH[ /()7B6+,)7
ISULQWIRXW)LOHF,6+/
HOVH
ISULQWIRXW)LOHF,6+5
YRLGDGGLWLYH([SU
PXOWLSOLFDWLYH([SU
ZKLOHWRNHQ 3/86__WRNHQ 0,186
LQWLQGH[
LQGH[ WRNHQ
DGYDQFH
PXOWLSOLFDWLYH([SU
LILQGH[ 3/86
ISULQWIRXW)LOHF,$''
HOVH
ISULQWIRXW)LOHF,68%
YRLGPXOWLSOLFDWLYH([SU
XQDU\([SU
LIWRNHQ 67$5__WRNHQ ',9__WRNHQ 02'
LQWLQGH[
LQGH[ WRNHQ
DGYDQFH
XQDU\([SU
VZLWFKLQGH[
FDVH67$5ISULQWIRXW)LOHF,08/EUHDN
FDVH',9ISULQWIRXW)LOHF,',9EUHDN
FDVH02'ISULQWIRXW)LOHF,5(0EUHDN
YRLGXQDU\([SU
LIWRNHQ 3/86__WRNHQ 0,186
LQWLQGH[ WRNHQ
DGYDQFH
XQDU\([SU
LILQGH[ 3/86
GRQRWKLQJVRQRRSFRGH
HOVHLILQGH[ 0,186
ISULQWIRXW)LOHF,1(*
HOVHLIWRNHQ 3/86B3/86__WRNHQ 0,186B0,186
LIWRNHQ 3/86B3/86
SUH,QFUHPHQW([SU
HOVHLIWRNHQ 0,186B0,186
SUH'HFUHPHQW([SU
DGYDQFH
HOVH
XQDU\([SU1RW3OXV0LQXV
YRLGSUH,QFUHPHQW([SU
LQWL
DGYDQFH
LIL
HUURU+DQGOHU(5525,GHQWLILHUH[SHFWHGDIWHU
HOVH
HPLW/RDG&RGHL
YRLGSUH'HFUHPHQW([SU
LQWL
DGYDQFH
HPLW/RDG&RGHL
YRLGXQDU\([SU1RW3OXV0LQXV
LIWRNHQ %,7B127
DGYDQFH
XQDU\([SU
ISULQWIRXW)LOHF,&2167B0
ISULQWIRXW)LOHF,;25
HOVH
SRVWIL[([SU
YRLGSRVWIL[([SU
SULPDU\
QDPH
SRVW,QFUHPHQW([SU
SRVW'HFUHPHQW([SU
YRLGQDPH
^
LIWRNHQ ,'(17,),(5
HPLW/RDG&RGHL
DGYDQFH
YRLGSULPDU\
PHWKRG,QYRFDWLRQ
LIWRNHQ %B3$5(16
DGYDQFH
H[SU
YHULI\(B3$5(16
HOVHLIWRNHQ ,17(*(5B&2167
HPLW1XP&RQVW&RGH
DGYDQFH
YRLGSRVW,QFUHPHQW([SU
LIWRNHQ 3/86B3/86
^
LQWL
DGYDQFH
SRVWIL[([SU
YRLGSRVW'HFUHPHQW([SU
LIWRNHQ 0,186B0,186
LQWL
DGYDQFH
SRVWIL[([SU
VWDWLFFKDU $3,/LVW>@ ^ZULWH18//`
DWSUHVHQWVXSSRUWVRQO\RQH$3,QDPHO\ZULWH<RXFDQLQFOXGH
\RXU UHTXLUHGOLVWRI$3,VKHUHDQGVXEVHTXHQWO\VXSSRUWLQWKH
LQWHUSUHWHU
LQWORRNXS$3,FKDU V
^
LQWL
ZKLOH$3,/LVW>L@ VLPSOHOLQHDUVHDUFK
LIVWUFPS$3,/LVW>L@V
UHWXUQL UHWXUQWDEOHORFDWLRQRQH
UHWXUQ
YRLGDUJXPHQW/LVW
H[SU
ZKLOHWRNHQ &200$
DGYDQFH
DUJXPHQW/LVW
YRLGPHWKRG,QYRFDWLRQ
LIWRNHQ ,'(17,),(5 QH[W7RNHQ %B3$5(16
LQWLQGH[ ORRNXS$3,FXUU,GHQWLILHU
LILQGH[!
DGYDQFH HDWREMHFWQDPH
YHULI\%B3$5(16 HDWEHJLQQLQJSDUDQV

DUJXPHQW/LVW RSWLRQDO
ISULQWIRXW)LOHF,192.(0(7+2'
ISULQWIRXW)LOHFLQGH[
YHULI\(B3$5(16
HOVH
HUURU+DQGOHU(55258QNQRZQIXQFWLRQQDPH
YRLGFRPSLOH
RXW)LOH IRSHQDRXWZE
LIRXW)LOH 18//
HUURU+DQGOHU(5525&DQQRWRSHQRXWSXWILOH
LQLW/H[ WUXH
DGYDQFH
H[SU
ISULQWIRXW)LOHF5(7851
IFORVHRXW)LOH
SULQWI6XFFHVVIXOO\FRPSLOHG
LQWPDLQ
FKDU SURPSW H[SU!
SULQWI?Q7KLVLVWKHWLQ\([SUH[SUHVVLRQFRPSLOHU?
?Q2QO\DULWKPHWLFELWZLVHDQGDVVLJQPHQWRSHUDWRUVDUHDOORZHG?
?Q0RUHWKDQRQHH[SUHVVLRQFDQEHVHSDUDWHGE\FRPPDV?
?Q0DNHVXUHWKDWWKHWRNHQVDUHVHSDUDWHGE\ZKLWHVSDFHV?
?Q)RUH[DPSOHDYDOLGH[SUHVVLRQLV?
?QYDU YDU YDU YDU YDUZULWHYDU?
?Q7KHFRPSLOHGLQWHUPHGLDWHILOHLVVWRUHGLQILOH?DRXW??
?Q7\SH?H[HF?WRH[HFXWHWKHLQWHUPHGLDWHILOHRU?
?Q8VH?LQWHUSUHH[H?WRLQYRNHLWODWHUIURPFRPPDQGSURPSW?
?Q?Q7\SH
TXLW
WRUHWXUQ EDFNWRFRPPDQGSURPSW
ZKLOH ORRSWLOO
TXLW
LVRSWHG
SULQWI?QVSURPSW
JHWVVRXUFH([SU
LIVWUFPSVRXUFH([SUTXLW
EUHDN
HOVHLIVWUFPSVRXUFH([SUH[HF
V\VWHPLQWHUSUHH[H
HOVH
FRPSLOH
HQGRIFRPSLOHUSDUW
FRGHIRULQWHSUHWHUVWDUWVKHUH
LQWHUSUHK
WKHKHDGHUILOHVLQFOXVLRQDQGWKHSURWRW\SHGHFODUDWLRQVIRUWKH
FRPSLOHUJRKHUH
WKHVHDUHWKHVWDQGDUGKHDGHUILOHVUHTXLUHG
LQFOXGHVWGLRK!
LQFOXGHVWGOLEK!
GHFODUDWLRQIRUHUURUKDQGOLQJURXWLQHJRKHUH
YRLGHUURUFKDU VWU
GHFODUDWLRQVIRURSHUDWLRQVRQRSHUDQGVWDFN
YRLGSXVKLQWRSHU
LQWSRS
GHFODUDWLRQVIRUPQHPRQLFIXQFWLRQVJRKHUH
YRLGLVWRUH&RGH
YRLGLVWRUHLQWL
YRLGLDGG
YRLGLVXE
YRLGLPXO
YRLGLGLY
YRLGLUHP
YRLGLQHJ
YRLGLVKO
YRLGLVKU
YRLGLDQG
YRLGLRU
YRLGL[RU
YRLGLLQF
YRLGMUHWXUQ
YRLGLQYRNHPHWKRG
GHFODUDWLRQVIRURWKHUIXQFWLRQV
YRLGFDOO)XQFWLRQLQWIXQFWLRQ&RGH
ORQJILOH6L]H),/( VWUHDP
YRLGDWH[LW)UHH
HUURUF
WKLVSURJUDPKDVDWLQ\HUURUKDQGOHUURXWLQH
YRLGHUURUFKDU VWU
ISULQWIVWGHUU?Q(5525V?QVWU
ISULQWIVWGHUU?Q([LWLQJ3UHVVDQ\NH\
JHWFKDU
H[LW
RVWDFNF
WKLVSURJUDPKDVVWDFNDQGIXQFWLRQVRSHUDWLQJRQLW
GHILQH0$;6,=(
WKLVLVWKHRSHUDQGVWDFNZKHUHDOOH[HFXWLRQWDNHVSODFH
VWDWLFLQWRSHUDQG>0$;6,=(@
WKLVSRLQWVWR WKHWRSRIWKHVWDFN
VWDWLFXQVLJQHGLQWR7RS
YRLGSXVKLQWRSHU
LIR7RS0$;6,=(
RSHUDQG>R7RS@ RSHU
HOVH
HUURU5XQWLPH(UURU2SHUDQGVWDFNRYHUIORZ
LQWSRS
LIR7RS!
UHWXUQRSHUDQG>R7RS@
HOVH
HUURU5XQWLPH(UURU2SHUDQGVWDFNXQGHUIORZ
LQWHUSUHF
LQFOXGHLQWHUSUHK
IXQFWLRQGHFODUDWLRQV LQFOXVLRQRIVWDQGDUGKHDGHUILOHV
LQFOXGHPQHPRQLFK
WKLVKHDGHUILOHFRQWDLQVWKHE\WHFRGHYDOXHVRIYDULRXV
PQHPRQLFVXVHG
LQFOXGHHUURUF
WKLVSURJUDPKDVDWLQ\HUURUKDQGOHUURXWLQH
LQFOXGHRVWDFNF
WKLVSURJUDPKDVVWDFNDQGIXQFWLRQVRSHUDWLQJRQLW
VWDWLFXQVLJQHGFKDU E\WH&RGH
WKHDFWXDOE\WHFRGHVUHDGIURPWKHILOHLVSRLQWHGE\WKLV
YDULDEOH
VWDWLFLQWORFDO9DULDEOH>0$;6,=(@
WKLVLVWKHORFDOYDULDEOHWDEOHDQGLQWKLVGDWDFDQEH
VWRUHG
DQGUHWULHYHGE\WKHE\WHFRGHRSHUDWLQJRQLW
VWDWLFLQW3&
3URJUDP&RXQWHUNHHSVWUDFNRIWKHFXUUHQWSRLQWRIE\WHFRGH
H[HFXWLRQ
WKHIROORZLQJPQHPRQLFIXQFWLRQVRSHUDWHRQORFDOYDULDEOH
WDEOHWRVWRUHWKHYDOXHVRIWKHFRUUHVSRQGLQJYDULDEOHV
YRLGLVWRUH&RGH
LQWYDOXH SRS
ORFDO9DULDEOH>3&@ YDOXH
`
YRLGLVWRUHLQWL
LQWYDOXH SRS
ORFDO9DULDEOH>L@ YDOXH
WKHIROORZLQJPQHPRQLFIXQFWLRQVRSHUDWHRQWKHRSHUDQGVWDFN
WRGR DULWKPHWLFRSHUDWLRQVRQLWE\SRSSLQJWRSWZRYDOXHVDQGSXVKHV
WKHUHVXOW EDFNRQWKHVWDFN
YRLGLDGG
LQWYDOXH SRS
LQWYDOXH SRS
SXVKYDOXHYDOXH
YRLGLVXE
LQWYDOXH SRS
LQWYDOXH SRS
SXVKYDOXHYDOXH
YRLGLPXO
LQWYDOXH SRS
LQWYDOXH SRS
SXVKYDOXH YDOXH
YRLGLGLY
LQWYDOXH SRS
LQWYDOXH SRS
SXVKYDOXHYDOXH
YRLGLUHP
LQWYDOXH SRS
LQWYDOXH SRS
LQWYDO YDOXHYDOXH YDOXHYDOXH
SXVKYDO
YRLGLQHJ
LQWYDOXH SRS
SXVKYDOXH
WKHIROORZLQJPQHPRQLFIXQFWLRQVRSHUDWHRQWKHRSHUDQGVWDFN
WRGR ELWZLVHRSHUDWLRQVRQLWLQDVLPLODUZD\WRDULWKPHWLF
RSHUDWRUV
YRLGLVKO
LQWYDOXH SRS
LQWYDOXH SRS
SXVKYDOXHYDOXH
YRLGLVKU
LQWYDOXH SRS
LQWYDOXH SRS
SXVKYDOXH!!YDOXH
YRLGLDQG
LQWYDOXH SRS
LQWYDOXH SRS
SXVKYDOXH YDOXH
YRLGLRU
LQWYDOXH SRS
LQWYDOXH SRS
SXVKYDOXH_YDOXH
`
YRLGL[RU
LQWYDOXH SRS
LQWYDOXH SRS
SXVKYDOXHAYDOXH
WKHIROORZLQJLLQFPQHPRQLFIXQFWLRQGLUHFWO\RSHUDWHRQWKH
ORFDO YDULDEOHWDEOHDQGLQFUHPHQWVRUGHFUHPHQWVLWVYDOXH
YRLGLLQF
LQWLQGH[ E\WH&RGH>3&@
VLJQHGFKDUMFRQVW VLJQHGFKDUE\WH&RGH>3&@
VLJQHGEHFDXVHLWPD\EHYHRUYH
ORFDO9DULDEOH>LQGH[@ MFRQVW
UHWXUQIXQFWLRQGRHVQRWKLQJ+DG
WLQ\([SU
VXSSRUWHG
IXQFWLRQV LWZRXOGKDYHEHHQYHU\XVHIXO
YRLGMUHWXUQ
WKLVPQHPRQLFIXQFWLRQJLYHVVXSSRUWIRU$3,
V:KHQ
WLQ\([SU
LVH[WHQGHGWRVXSSRUWIXQFWLRQVWKLVZLOOEHFRPHYHU\
XVHIXO
YRLGLQYRNHPHWKRG
LIE\WH&RGH>3&@
ZULWH$3,SULQWWKHLQWHJHUDUJXPHQWSDVVHG
SULQWIGSRS
HOVH H[WHQGWKLVWRVXSSRUWPRUH$3,V
HUURU,OOHJDORSHUDQGIRULQYRNHPHWKRGLQVWUXFWLRQ
WKLVIXQFWLRQZRUNVDVWKHLQWHUSUHWHUIXQFWLRQWRH[HFXWHWKH
DFWLRQVFRUUHVSRQGLQJWRWKHPQHPRQLFVRUWRLGHQWLI\DQGFDOOWKH
FRUUHVSRQGLQJPQHPRQLFIXQFWLRQ
YRLGFDOO)XQFWLRQLQWIXQFWLRQ&RGH
VZLWFKIXQFWLRQ&RGH
FDVH,&2167B0SXVKEUHDN
FDVH,&2167BSXVKEUHDN
FDVH%,386+SXVKE\WH&RGH>3&@ EUHDN
FDVH6,386+SXVK LQW E\WH&RGH>3&@
3& EUHDN
FDVH,/2$'SXVKORFDO9DULDEOH>3&@EUHDN
FDVH,/2$'BSXVKORFDO9DULDEOH>@EUHDN
FDVH,6725(LVWRUH&RGHEUHDN
FDVH,6725(BLVWRUHEUHDN
FDVH,$''LDGGEUHDN
FDVH,68%LVXEEUHDN
FDVH,08/LPXOEUHDN
FDVH,',9 LGLYEUHDN
FDVH,5(0LUHPEUHDN
FDVH,1(*LQHJEUHDN
FDVH,6+/LVKOEUHDN
FDVH,6+5LVKUEUHDN
FDVH,$1'LDQGEUHDN
FDVH,25LRUEUHDN
FDVH,;25L[RUEUHDN
FDVH,,1&LLQFEUHDN
FDVH,192.(0(7+2'LQYRNHPHWKRGEUHDN
FDVH5(7851 MUHWXUQEUHDN
GHIDXOWHUURU)$7$/,OOHJDO,QVWUXFWLRQHQFRXQWHUHG
ORQJILOH6L]H),/( VWUHDP
ORQJFXUSRVOHQJWK
FXUSRV IWHOOVWUHDP
IVHHNVWUHDP/6((.B(1'
OHQJWK IWHOOVWUHDP
IVHHNVWUHDPFXUSRV6((.B6(7
UHWXUQOHQJWK
YRLGDWH[LW)UHH
IUHHE\WH&RGH
EHIRUHH[LWLQJIUHHWKHDOORFDWHGPHPRU\
LQWPDLQ
ORQJOHQJWK
LQWVL]H
RSHQWKHE\WHFRGHILOH
),/( VWUHDP IRSHQDRXWUE
LIVWUHDP 18//
HUURU)$7$/&DQQRWRSHQLQSXWILOH?DRXW?
UHDGWKHE\WHFRGHVLQWRPHPRU\IURPWKHE\WHFRGHILOH
OHQJWK ILOH6L]HVWUHDP
E\WH&RGH FKDU PDOORFOHQJWK
LIE\WH&RGH 18//
HUURU)$7$/&DQQRWDOORFDWHHQRXJKPHPRU\
DWH[LWDWH[LW)UHH
VL]H IUHDGE\WH&RGHOHQJWKVWUHDP
LIVL]H
HUURU)$7$/&DQQRWUHDGE\WHFRGHVIURPWKHILOH
?DRXW?
H[HFXWHHDFKDQGHYHU\PQHPRQLFIXQFWLRQ
ZKLOH3&OHQJWK WKLVLVWKHPDLQLQWHUSUHWHUORRS
FDOO)XQFWLRQE\WH&RGH>3&@
SULQWI?Q3URJUDPVXFFHVVIXOO\H[HFXWHGLQWHUSUHWHG
IFORVHVWUHDP
`
$33(1',;,,,$16,&'HFODUDWLRQV
6WDQGDUG&JOREDOYDULDEOHV
HUUQRK!
H[WHUQYRODWLOHLQWHUUQR
6WDQGDUG&W\SHGHFODUDWLRQV
W\SHGHI KHDGHUILOHLQZKLFKLWLVGHFODUHG
FORFNBW WLPHK!
GLYBW VWGOLEK!
),/( VWGLRK!
ISRVBW VWGLRK!
MPSBEXI VHWMPSK!
OGLYBW VWGOLEK!
SWUGLIIBW VWGGHIK!
VLJBDWRPLFBW VLJQDOK!
VL]HBW VWGGHIK!
WLPHBW WLPHK!
YDBOLVW VWGDUJK!
ZFKDUBW VWGGHIK!
6WDQGDUG&VWUXFWXUHDQGXQLRQGHFODUDWLRQV
VWGOLEK!
W\SHGHIVWUXFW^
ORQJLQWTXRW TXRWLHQW
ORQJLQWUHP UHPDLQGHU
`GLYBW
W\SHGHIVWUXFW^
ORQJLQWTXRW TXRWLHQW
ORQJLQWUHP UHPDLQGHU
ÒGLYBW
ORFDOHK!
VWUXFWOFRQY^
FKDU GHFLPDOBSRLQW
FKDU WKRXVDQGVBVHS
FKDU JURXSLQJ
FKDU LQWBFXUUBV\PERO
FKDU FXUUHQF\BV\PERO
FKDU PRQBGHFLPDOBSRLQW
FKDU PRQBWKRXVDQGVBVHS
FKDU PRQBJURXSLQJ
FKDU SRVLWLYHBVLJQ
FKDU QHJDWLYHBVLJQ
FKDULQWBIUDFBGLJLWV
FKDUIUDFBGLJLWV
FKDUSBFVBSUHFHGHV
FKDUSBVHSBE\BVSDFH
FKDUQBFVBSUHFHGHV
FKDUQBVHSBE\BVSDFH
FKDUSBVLJQBSRVQ
FKDUQBVLJQBSRVQ
`
WLPHK!
VWUXFWWP^
LQWWPBVHF 6HFRQGV
LQWWPBPLQ 0LQXWHV
LQWWPBKRXU +RXU
LQWWPBPGD\ 'D\RIPRQWK
LQWWPBPRQ 0RQWK
LQWWPB\HDU <HDUFDOHQGDU\HDUPLQXV
LQWWPBZGD\ :HHNGD\6XQGD\
LQWWPB\GD\ 'D\RI\HDU
LQWWPBLVGVW LIGD\OLJKW VDYLQJVWLPHLVQRWLQ
HIIHFW
`
$33(1',;,9$16,&,03/(0(17$7,2163(&,),&67$1'$5'6
&HUWDLQDVSHFWVRIWKH$16,&VWDQGDUGDUHQRWGHILQHGH[DFWO\E\$16,,QVWHDG
HDFKLPSOHPHQWRURID&FRPSLOHULVIUHHWRGHILQHWKHVHDVSHFWVLQGLYLGXDOO\
,Q&PDQ\GHWDLOVDUHOHIWDVLPSOHPHQWDWLRQGHSHQGHQWEHFDXVHLPSOHPHQWDWLRQ
PD\WDNHWKHPD[LPXPDGYDQWDJHRIWKHXQGHUO\LQJKDUGZDUH$ZHOONQRZQH[DPSOHLV
WKHVL]HRILQWHJHU7KHSURJUDPPHU FDQ WDNH DGYDQWDJH RI WKH XQGHUO\LQJ KDUGZDUH IRU
PD[LPXP HIILFLHQF\ DQG WR DFFHVV WKH UHVRXUFHV RI XQGHUO\LQJ KDUGZDUH 7KLV LV DW WKH
FRVWRISRUWDELOLW\VRPHWLPHVIRUH[DPSOHWKHFDVHRIELWILHOGV
+RZWRLGHQWLI\DGLDJQRVWLF
7KHVHPDQWLFVRIWKHDUJXPHQWVWRPDLQ
:KDWFRQVWLWXWHVDQLQWHUDFWLYHGHYLFH
7KHFROODWLRQVHTXHQFHRIWKHH[HFXWLRQFKDUDFWHUVHW
0HPEHUVRIWKHVRXUFHDQGH[HFXWLRQFKDUDFWHUVHWV
0XOWLE\WHFKDUDFWHUV
7KHGLUHFWLRQRISULQWLQJ
7KHQXPEHURIELWVLQDFKDUDFWHULQWKHH[HFXWLRQFKDUDFWHUVHW
7KHQXPEHURIVLJQLILFDQWLQLWLDOFKDUDFWHUVLQLGHQWLILHUV
:KHWKHUFDVHGLVWLQFWLRQVDUHVLJQLILFDQWLQH[WHUQDOLGHQWLILHUV
7KHUHSUHVHQWDWLRQVDQGVHWVRIYDOXHVRIWKHYDULRXVW\SHVRIIORDWLQJSRLQW
QXPEHUV
7KHUHSUHVHQWDWLRQVDQGVHWVRIYDOXHVRIWKHYDULRXVW\SHVRILQWHJHUV
7KHPDSSLQJEHWZHHQVRXUFHDQGH[HFXWLRQFKDUDFWHUVHWV
7KH YDOXH RI DQ LQWHJHU FKDUDFWHU FRQVWDQW WKDW FRQWDLQV D FKDUDFWHUHVFDSH
VHTXHQFHQRWUHSUHVHQWHGLQWKHEDVLFH[WHQGHGH[HFXWLRQFKDUDFWHUVHWIRUDZLGH
FKDUDFWHUFRQVWDQW
7KHFXUUHQWORFDOHXVHGWRFRQYHUWPXOWLE\WHFKDUDFWHUVLQWRFRUUHVSRQGLQJZLGH
FKDUDFWHUVIRUDZLGHFKDUDFWHUFRQVWDQW
7KH YDOXH RI DQ LQWHJHU FRQVWDQW WKDW FRQWDLQV PRUH WKDQ RQH FKDUDFWHU RU D
ZLGHFKDUDFWHUFRQVWDQWWKDWFRQWDLQVPRUHWKDQRQHPXOWLE\WHFKDUDFWHU
7KHUHVXOWRIFRQYHUWLQJDQLQWHJHUWRDVKRUWHUVLJQHGLQWHJHURUWKHUHVXOWRI
FRQYHUWLQJ DQ XQVLJQHG LQWHJHU WR D VLJQHG LQWHJHU RI HTXDO OHQJWK LI WKH YDOXH
FDQQRWEHUHSUHVHQWHG
7KHGLUHFWLRQRIWUXQFDWLRQZKHQDQLQWHJUDOQXPEHULVFRQYHUWHGWRDIORDWLQJ
SRLQWQXPEHUWKDWFDQQRWH[DFWO\UHSUHVHQWWKHRULJLQDOYDOXH
7KH GLUHFWLRQ RI WUXQFDWLRQ RU URXQGLQJ ZKHQ D IORDWLQJSRLQW QXPEHU LV
FRQYHUWHGWRDQDUURZHUIORDWLQJSRLQWQXPEHU
7KHUHVXOWVRIELWZLVHRSHUDWLRQVRQVLJQHGLQWHJHUV
:KDWKDSSHQVZKHQDPHPEHURIDXQLRQREMHFWLVDFFHVVHGXVLQJDPHPEHURI
DGLIIHUHQWW\SH
7KHW\SHRILQWHJHUUHTXLUHGWRKROGWKHPD[LPXPVL]HRIDQDUUD\
7KHUHVXOWRIFDVWLQJDSRLQWHUWRDQLQWHJHURUYLFHYHUVD
7KHVLJQRIWKHUHPDLQGHURQLQWHJHUGLYLVLRQ
7KH W\SH RI LQWHJHU UHTXLUHG WR KROG WKH GLIIHUHQFH EHWZHHQ WZR SRLQWHUV WR
HOHPHQWVRIWKHVDPHDUUD\SWUGLIIBW
7KHUHVXOWRIDULJKWVKLIWRIDQHJDWLYHVLJQHGLQWHJUDOW\SH
7KH H[WHQW WR ZKLFK REMHFWV FDQ DFWXDOO\ EH SODFHG LQ UHJLVWHUV E\ XVLQJ WKH
UHJLVWHUVWRUDJHFODVVVSHFLILHU
:KHWKHUDSODLQLQWELWILHOGLVWUHDWHGDVDVLJQHGLQWRUDVDQXQVLJQHGLQWELW
ILHOG
7KHRUGHURIDOORFDWLRQRIELWILHOGVZLWKLQDQLQW
7KHSDGGLQJDQGDOLJQPHQWRIPHPEHUVRIVWUXFWXUHV
:KHWKHUDELWILHOGFDQVWUDGGOHDVWRUDJHXQLWERXQGDU\
7KHLQWHJHUW\SHFKRVHQWRUHSUHVHQWWKHYDOXHVRIDQHQXPHUDWLRQW\SH
:KDWFRQVWLWXWHVDQDFFHVVWRDQREMHFWWKDWKDVYRODWLOHTXDOLILHGW\SH
7KHPD[LPXPQXPEHURIGHFODUDWRUVWKDWFDQPRGLI\DQDULWKPHWLFVWUXFWXUH RU
XQLRQW\SH
7KHPD[LPXPQXPEHURIFDVHYDOXHVLQDVZLWFKVWDWHPHQW
:KHWKHU WKH YDOXH RI D VLQJOHFKDUDFWHU FKDUDFWHU FRQVWDQW LQ D FRQVWDQW
H[SUHVVLRQ WKDW FRQWUROV FRQGLWLRQDO LQFOXVLRQ PDWFKHV WKH YDOXH RI WKH VDPH
FKDUDFWHU FRQVWDQW LQ WKH H[HFXWLRQ FKDUDFWHU VHW :KHWKHU VXFK D FKDUDFWHU
FRQVWDQWFDQKDYHDQHJDWLYHYDOXH
7KHPHWKRGIRUORFDWLQJLQFOXGDEOHVRXUFHILOHV
7KHVXSSRUWIRUTXRWHGQDPHVIRULQFOXGDEOHVRXUFHILOHV
7KHPDSSLQJRIVRXUFHILOHQDPHFKDUDFWHUVHTXHQFHV
7KHGHILQLWLRQVIRUBB'$7(BBDQGBB7,0(BBZKHQWKH\DUHXQDYDLODEOH
7KHGHFLPDOSRLQWFKDUDFWHU
7KHW\SHRIWKHVL]HRIRSHUDWRUVL]HBW
7KHQXOOSRLQWHUFRQVWDQWWRZKLFKWKHPDFUR18//H[SDQGV
7KHGLDJQRVWLFSULQWHGE\DQGWKHWHUPLQDWLRQEHKDYLRURIWKHDVVHUWIXQFWLRQ
7KH LPSOHPHQWDWLRQGHILQHG DVSHFWV RI FKDUDFWHU WHVWLQJ DQG FDVH PDSSLQJ
IXQFWLRQV
7KHVHWVRIFKDUDFWHUVWHVWHGIRUE\LVDOQXPLVDOSKDLVFQWUOLVORZHULVSULQWDQG
LVXSSHUIXQFWLRQV
7KHYDOXHVUHWXUQHGE\WKHPDWKHPDWLFVIXQFWLRQVRQGRPDLQHUURUV
:KHWKHUWKHPDWKHPDWLFVIXQFWLRQVVHWWKHLQWHJHUH[SUHVVLRQHUUQRWRWKHYDOXH
RIWKHPDFUR(5$1*(RQXQGHUIORZUDQJHHUURUV
:KHWKHUDGRPDLQHUURURFFXUVRU]HURLVUHWXUQHGZKHQWKHIPRGIXQFWLRQKDVD
VHFRQGDUJXPHQWRI]HUR
7KHVHWRIVLJQDOVIRUWKHVLJQDOIXQFWLRQ
7KHVHPDQWLFVIRUHDFKVLJQDOUHFRJQL]HGE\WKHVLJQDOIXQFWLRQ
7KH GHIDXOW KDQGOLQJ DQG WKH KDQGOLQJ DW SURJUDP VWDUWXS IRU HDFK VLJQDO
UHFRJQL]HGE\WKHVLJQDOIXQFWLRQ
,IWKHHTXLYDOHQWRIVLJQDOVLJ6,*B')/LVQRWH[HFXWHGSULRUWRWKHFDOORID
VLJQDOKDQGOHUWKHEORFNLQJRIWKHVLJQDOWKDWLVSHUIRUPHG
:KHWKHU WKH GHIDXOW KDQGOLQJ LV UHVHW LI WKH 6,*,// VLJQDO LV UHFHLYHG E\ D
KDQGOHUVSHFLILHGWRWKHVLJQDOIXQFWLRQ
:KHWKHUWKHODVWOLQHRIDWH[WVWUHDPUHTXLUHVDWHUPLQDWLQJQHZOLQHFKDUDFWHU
:KHWKHU VSDFH FKDUDFWHUV WKDW DUH ZULWWHQ RXW WR D WH[W VWUHDP LPPHGLDWHO\
EHIRUHDQHZOLQHFKDUDFWHUDSSHDUZKHQUHDGLQ
7KHQXPEHURIQXOOFKDUDFWHUVWKDWPD\EHDSSHQGHGWRGDWDZULWWHQWRDELQDU\
VWUHDP
:KHWKHU WKH ILOH SRVLWLRQ LQGLFDWRU RI DQ DSSHQG PRGH VWUHDP LV LQLWLDOO\
SRVLWLRQHGDWWKHEHJLQQLQJRUHQGRIWKHILOH
:KHWKHU D ZULWH RQ D WH[W VWUHDP FDXVHV WKH DVVRFLDWHG ILOH WR EH WUXQFDWHG
EH\RQGWKDWSRLQW
7KHFKDUDFWHULVWLFVRIILOHEXIIHULQJ
:KHWKHUD]HUROHQJWKILOHDFWXDOO\H[LVWV
:KHWKHUWKHVDPHILOHFDQEHRSHQPXOWLSOHWLPHV
7KHHIIHFWRIWKHUHPRYHIXQFWLRQRQDQRSHQILOH
7KHHIIHFWLIDILOHZLWKWKHQHZQDPHH[LVWVSULRUWRDFDOOWRUHQDPH
7KHRXWSXWIRUSFRQYHUVLRQLQISULQWI
7KHLQSXWIRUSFRQYHUVLRQLQIVFDQI
7KHLQWHUSUHWDWLRQRIDQK\SKHQFKDUDFWHUWKDWLVQHLWKHUWKHILUVWQRUWKHODVW
FKDUDFWHULQWKHVFDQOLVWIRUD>FRQYHUVLRQLQIVFDQI
7KHYDOXHWRZKLFKWKHPDFURHUUQRLVVHWE\WKHIJHWSRVRUIWHOOIXQFWLRQRQ
IDLOXUH
7KHPHVVDJHVJHQHUDWHGE\SHUURU
7KHEHKDYLRURIFDOORFPDOORFRUUHDOORFLIWKHVL]HUHTXHVWHGLV]HUR
7KHEHKDYLRURIWKHDERUWIXQFWLRQZLWKUHJDUGWRRSHQDQGWHPSRUDU\ILOHV
7KH VWDWXV UHWXUQHG E\ H[LW LI WKH YDOXH RI WKH DUJXPHQW LV @ RWKHU WKDQ ]HUR
(;,7B68&&(66RU(;,7B)$,/85(
7KHVHWRIHQYLURQPHQWQDPHVDQGWKHPHWKRGIRUDOWHULQJWKHHQYLURQPHQWOLVW
XVHGE\JHWHQY
7KHFRQWHQWVDQGPRGHRIH[HFXWLRQRIWKHVWULQJE\WKHV\VWHPIXQFWLRQ
7KHFRQWHQWVRIWKHHUURUPHVVDJHVWULQJVUHWXUQHGE\VWUHUURU
7KHORFDOWLPH]RQHDQG'D\OLJKW6DYLQJ7LPH
7KHHUDIRUFORFN7KHIRUPDWVIRUGDWHDQGWLPH
1RWH 7KHVHFWLRQQXPEHUVUHIHUWRWKH$16,6WDQGDUGDVRQ)HEUXDU\

6XJJHVWHG5HDGLQJV
>.HUQLJKDQDQG5LWFKLH@>.HUQLJKDQDQG5LWFKLH@
7KLVLVDµPXVWWRUHDG¶IRUDQ\RQHVHULRXVDERXW&SURJUDPPLQJ7KHILUVWHGLWLRQ
VHUYHGDVWKHRQO\SULPDU\VRXUFHRI&UHIHUHQFHIRUQHDUO\DGHFDGH0DQ\LQWULFDWHSDUWV
RIWKHODQJXDJHFDQEHXQGHUVWRRGIURPWKLVERRNEHFDXVHWKLVERRNLVIURPWKHDXWKRURI
WKHODQJXDJHLWVHOI,WVDSSHQGL[KDVDFRPSDFWUHIHUHQFHPDQXDOIRU&
>+DUELVRQDQG6WHHOH@
1RZWKLV&UHIHUHQFHPDQXDOLVLQLWVIRXUWKHGLWLRQ7KLVLVDQH[FHOOHQWUHIHUHQFH
QH[W WR [Kernighan and Ritchie 1988] DQG LW KDV IXOO FRYHUDJH RI EDVLF
EXLOGLQJ EORFNV RI & OLNH RSHUDWRUV DQG H[SUHVVLRQV ,WV VHFRQG SDUW H[SORUHV WKH &
VWDQGDUGOLEUDU\IXOO\
>.RHQLJ@
$QGUHZ .RHQLJ LV D VNLOOHG DXWKRU ZKR UHDOO\ NQRZV KRZ WR HIIHFWLYHO\
FRPPXQLFDWHLGHDV7KLVLVDVPDOOERRNZRUWKUHDGLQJEHFDXVH&LVWKHODQJXDJHZKHUH
SURJUDPPHUV FDQ HDVLO\ PDNH PLVWDNHV 7KH ERRN H[SORUHV WKH LQWULFDWH SDUWV RI WKH
ODQJXDJHWRPDNH\RXDZDUHRIWKHWUDSVDQGWRDYRLGSLWIDOOVWKDWDUHLQ&
>$OOLVRQ@
7KLVLVDYHU\JRRGERRNIRUNQRZLQJYDULRXVLVVXHVDVVRFLDWHGZLWKWKHODQJXDJH
IHDWXUHVZLWKLQQXPHUDEOHH[DPSOHV,WKDVDJRRGFRYHUDJHRISUDFWLFDOXVDJHRIYDULRXV
IHDWXUHVDQGKDVDIUHHIORZLQJODQJXDJHIRUH[SODQDWLRQ
5HIHUHQFHV
>$KRDQG8OOPDQ@
$OIUHG9$KRDQG-HIIUH\'8OOPDQ³3ULQFLSOHVRI&RPSLOHU'HVLJQ´$GGLVRQ
:HVOH\3XEOLVKLQJ&RPSDQ\
>$OOLVRQ@
&KXFN$OOLVRQ³&&&RGH&DSVXOHV´±$JXLGHWR3UDFWLWLRQHUV3UHQWLFH+DOO
RI,QGLD3YW/WG
>$16,&@
$PHULFDQ 1DWLRQDO 6WDQGDUGV ,QVWLWXWH $16, ;- &RPPLWWHH ´3URJUDPPLQJ
/DQJXDJH&´'RFXPHQW;[1RY
>$16,&@
$PHULFDQ 1DWLRQDO 6WDQGDUGV ,QVWLWXWH ´3URJUDPPLQJ /DQJXDJH &´ &RPPLWWHH
'UDIW:*1$XJXVW
>%LQVRFN@
$QGUHZ %LQVRFN ³WKH VLPSOH µ&ORFNZLVH¶ UXOH KHOSV GHFLSKHU FRPSOH[
GHFODUDWLRQV´7KH&XVHU¶VJURXSQHZVOHWWHU-XQH
>%RKPDQG-DFRELQL@
%RKP&DQG-DFRELQL*)ORZ'LDJDPV³7XULQJ0DFKLQHVDQGODQJXDJHVZLWK
RQO\WZRIRUPDWLRQUXOHV´&RPPXQLFDWLRQVWR$&0
>'LMNVWUD@
(GVJDU 'LMVWUD ³*272 6WDWHPHQW &RQVLGHUHG +DUPIXO´ &$&0 0DUFK

>'XII@
7RP'XII³QHWQHZV´0D\
>*RVOLQJDQG-R\@
-DPHV *RVOLQJ DQG %LOO -R\ ³7KH -DYD 3URJUDPPLQJ /DQJXDJH´ $GGLVRQ
:HVOH\
>+DUELVRQDQG6WHHOH@
6DPXHO 3 +DUELVRQ DQG *X\ / 6WHHOH -U ³& $ 5HIHUHQFH 0DQXDO´ 6HFRQG
HGLWLRQ3UHQWLFH+DOO,QF(QJOHZRRG&OLIIV
>+HQULFVRQDQG1\TXLVW@
,QGXVWULDO6WUHQJWK&5XOHVDQG5HFRPPHQGDWLRQV0DWV+HQULFVRQ(ULF
1\TXLVW3UHQWLFH+DOORI,QGLD3YW/WG
>+HMOVEHUJDQG:LODPXWK@
$QGHUV +HMOVEHUJ DQG 6FRWW :LOWDPXWK ³& /DQJXDJH 5HIHUHQFH´ 0LFURVRIW
&RUSRUDWLRQ
>+ROXE@
$OOHQ , +ROXE ³&RPSLOHU GHVLJQ LQ &´ 6HFRQG HGLWLRQ 3UHQWLFH+DOO ,QF
(QJOHZRRG&OLIIV1-
>-RKQVRQDQG5LWFKLH@
-RKQVRQ6&DQG5LWFKLH'0 ³7KH & ODQJXDJH FDOOLQJ VHTXHQFH´ &RPSXWLQJ
6FLHQFH7HFKQLFDO5HSRUW1R$7 7%HOO/DERUDWRULHV0XUUD\+LOO1-
>.HUQLJKDQDQG5LWFKLH@
%ULDQ:.HUQLJKDQDQG'HQQLV05LWFKLH³7KH&3URJUDPPLQJ/DQJXDJH´
)LUVWHGLWLRQ3UHQWLFH+DOO,QF(QJOHZRRG&OLIIV
>.HUQLJKDQDQG5LWFKLH@
%ULDQ : .HUQLJKDQ DQG 'HQQLV 0 5LWFKLH ³7KH & 3URJUDPPLQJ
/DQJXDJH´6HFRQGHGLWLRQ3UHQWLFH+DOO,QF(QJOHZRRG&OLIIV
>.RHQLJ@
$QGUHZ.RHQLJ³&7UDSVDQG3LWIDOOV´$GGLVRQ:HVOH\
>.UXJOLQVNL@
'DYLG-.UXJOLQVNL³,QVLGH9&´HG0LFURVRIW3UHVV
>/LQGKROPDQG<HOOLQ@
7LP /LQGROP )UDQN <HOOLQ ³-DYD 9LUWXDO PDFKLQH VSHFLILFDWLRQ´ $GGLVRQ
:HVOH\
>0DUWLQHWDO@
0DUWLQ -DPHV DQG -DPHV 2GHOO ³2EMHFWRULHQWHG 0RGHOLQJ DQG 'HVLJQ´
(QJOHZRRG&OLIIV3UHQWLFH+DOO,QF1-
>5DWLRQDOH$16,&@
5DWLRQDOH IRU ,QWHUQDWLRQDO 6WDQGDUG3URJUDPPLQJ /DQJXDJHV ± & 5HYLVLRQ
$PHULFDQ1DWLRQDO6WDQGDUGV,QVWLWXWH2FWREHU
>5LWFKLH@
5LWFKLH'081,;WLPHVKDULQJV\VWHP$UHWURVSHFWLYH%HOO6\VWHPV
7HFKQLFDO-RXUQDO
>5LWFKLH@
'HQQLV05LWFKLH³2SHUDWRUSUHFHGHQFH´QHWODQJF
>5LWFKLHHWDO@
'05LWFKLH 6&-RKQVRQ 0(/HVN DQG %:.HUQLJKDQ ³81,; 7LPHVKDULQJ
6\VWHP7KH&SURJUDPPLQJODQJXDJH´
>5XPEDXJKHWDO@
-DPHV5XPEDXJK0LFKDHO%ODKD:LOOLDP3HUDUODQL)UHGHULFN(GG\DQG:LOOLDP
/RUHQVHQ³2EMHFW2ULHQWHG0RGHOLQJDQG'HVLJQ´3UHQWLFH+DOO,QF(QJOHZRRG&OLIIV
1-
>6WURXVWUXS@
%MDUQH6WURXVWUXS³7KH&SURJUDPPLQJODQJXDJH´$GGLVRQ:HVOH\5HDGLQJ
0$
>6WURXVWUXS@
%MDUQH6WURXVWUXS³7KH'HVLJQDQG(YROXWLRQRI&´$GGLVRQ:HVOH\
,1'(;
$JUHDWSDUWRILQIRUPDWLRQ,KDYHZDVDFTXLUHGE\
ORRNLQJXSVRPHWKLQJ
DQGILQGLQJVRPHWKLQJHOVHRQWKHZD\
)UDQNOLQ3$GDPV

Deep C

Caricato da

Informazioni sul documento

Copyright

Formati disponibili

Condividi questo documento

Condividi o incorpora il documento

Opzioni di condivisione

Hai trovato utile questo documento?

Questo contenuto è inappropriato?

Copyright:

Formati disponibili

Deep C

Caricato da

Copyright:

Formati disponibili

'((3&

YRLGVWUFS\ FKDU WFKDU V

ZKLOH W V 

spirit of C can be summarized in phrases like [Rationale ANSI C 1999],

• Don’t prevent the programmer from doing what needs to be done.

• Keep the language small and simple.

• Make it fast, even if it is not guaranteed to be portable.

$16,& & 

$16,& &; &

&3/ &RPELQHG SURJUDPPLQJ ODQJXDJH ZDV D ODQJXDJH GHVLJQHG EXW QHYHU

LPSOHPHQWHG/DWHU%&3/ %DVLF&3/ FDPHDVWKHLPSOHPHQWDWLRQODQJXDJHIRU&3/E\

0DUWLQ5LFKDUGV,WZDVUHILQHGWRODQJXDJHQDPHGDV %E\.HQ 7KRPSVRQLQIRU

&7KHFRPPLWWHHPDGHD UHVHDUFK DQGVXEPLWWHGDGRFXPHQW DQG WKDW ZDV WKH ELUWK RI

KHOSFRQIXVLQJWKHUHDGHUPRUH/YDOXHLVQRWVLPSO\WKHµ/+6 WR YDOXH¶,WLVPRUH

ODQJXDJHVPD\GRWKHVDPH7KH\ZLOOZULWHWKH FRGHLQWKHLU IDYRULWHODQJXDJH DQGIRU

,IQRWKLQJDEQRUPDOO\KDSSHQVWKHFRQWUROILQDOO\UHWXUQVWRPDLQ PDLQ UHWXUQV

WRVWDUWXSURXWLQH6WDUWXSURXWLQHFDOOVH[LW WR WHUPLQDWH WKH SURJUDP ZLWK WKH UHWXUQ

H[LW PDLQ  RU

H[LW PDLQ DUJFDUJY 

7KHH[LWIXQFWLRQFDOOVDOOWKHH[LWKDQGOHUV LHWKHIXQFWLRQVUHJLVWHUHGE\DWH[LW $OO

 EDFNVODVK FKDUDFWHU ? LPPHGLDWHO\ IROORZHG E\ D QHZOLQH FKDUDFWHU LV

B3UDJPD XQDU\ RSHUDWRU H[SUHVVLRQV DUH H[HFXWHG $OO SUHSURFHVVLQJ

 ZKLWHVSDFH FKDUDFWHUV VHSDUDWLQJ WRNHQV DUH QR ORQJHU VLJQLILFDQW (DFK

 DOO H[WHUQDO REMHFW DQG IXQFWLRQ UHIHUHQFHV DUH UHVROYHG /LEUDU\

FRPSRQHQWVDUHOLQNHGWRVDWLVI\ H[WHUQDO UHIHUHQFHV WR IXQFWLRQV DQG REMHFWV

three) arguments. This is possible with main() function because it is declared

implicitly, and is a special function. For other functions, the number of

arguments must match exactly between invocation and definition.

LQWPDLQ LQWDUJFFKDU DUJY>@

VSULQWI DUJY>@G DWRL DUJY>@  

LQWPDLQ LQWDUJFFKDU DUJY>@ 

7KHQDPHRIWKHDUJXPHQWVLVFXVWRPDU\DQG \RXFDQXVH \RXURZQQDPHV7KH

LQWPDLQ LQWDUJFFKDU DUJYFKDU HQYS

SULQWI V?Q DUJY 

SULQWI V?Q HQYS 

FKDU HQY JHWHQY ³352037´ 

¾ ,QLWLDOL]HG GDWD VHJPHQW LQLWLDOL]HG WR H[SOLFLW LQLWLDOL]HUV E\

6WDUWLQJZLWK6\PERO±EHFDXVHRIWKHROG ,%0 V\VWHPV KDG WKDW VHJPHQW LQLWLDOL]HG WR

VWUFS\ FKDU PDLQVRPHWKLQJ 

EHFRPHVWKHLQLWLDO JDUEDJH YDOXHIRUWKHREMHFWVFUHDWHGLQWKDWVSDFH7KHVHDUHDVDUH

VL]HBW IS FRQVWFKDU VWUOHQ

FKDU G\QDPLF FKDU PDOORF  

VWULQJ/HQJWK IS G\QDPLF 

LQWPDLQ LQWQXP2I$UJVFKDU DUJXPHQWV>@

LQW IS LQWFKDU PDLQ

VWDWLFFKDU VWU>@ ^WKLV)LOH1DPHDUJ

SULQWI ?QV DUJXPHQWV 

DVVHUW DOORF,Q+HDS DOORF,Q6WDFN 

SULQWI $GGUHVVRIDOORF,Q6WDFNS DQG$GGUHVVRIKHDS

7KHUHIRUH D SRUWDEOH SURJUDP VKRXOG SURGXFH VDPH RXWSXW DFURVV YDULRXV

SRUWDEOHODQJXDJHEXWLWKDVVRPHLQKHUHQWO\QRQSRUWDEOHIHDWXUHV ,QIDFWVSHFLDO FDUH

%RWK[Kernighan and Ritchie 1988] DQG$16,GHVFULEHKRZPDOORFEHKDYHV

FRPSLOHUZULWHUVWKH FRGHLV VDLG WR KDYH LPSOHPHQWDWLRQ GHILQHG EHKDYLRU 7KHUHIRUH

WKLVKDVLPSOHPHQWDWLRQGHILQHGEHKDYLRUVL]HRI LQW "

7KLV LV LPSOHPHQWDWLRQGHILQHG EHKDYLRU 7KH ODQJXDJH VSHFLILFDWLRQ OHDYHV WKH

LPSOHPHQWDWLRQVYDU\ IRUYDULRXVFRQVWUXFWVGHSHQGLQJRQWKHSODWIRUP 7KLV PDNHV WKH

VRPH)XQ L DL 

,PSOHPHQWDWLRQ GHILQHG EHKDYLRU DQG XQVSHFLILHG EHKDYLRU DUH VLPLODU %RWK

L  DVVLJQWKHYDOXHWRM

KDYHLQVWUXFWLRQVWKDWPD\GRWKHVHRSHUDWLRQVDWRPLFDOO\ EORFNFRS\ ZKLFKZLOOUHTXLUH

VSHFLDOFDVHV([DPSOHVIRUVXFKOLEUDU\IXQFWLRQVDUHJHWFKDU PHPFS\ HWF

EHPDGH"7KLVFDQEHGRQHXVLQJ& FRGHQRZ DQGXVLQJ DVVHPEO\ FRGH ZKHUHYHULW LV

H[WHQVLRQV 8VLQJVXFKIHDWXUHVZKHQZULWLQJVWDQGDUG& FRGH SRVVLEO\ ZLOO

KDUGZDUH OLNHVFDQQHUV DQGPD\UHTXLUHUXQQLQJRQGLIIHUHQWSODWIRUPV7KHUHIRUHWKH

YRLGVWUFS\FKDU WFKDU V

ZKLOH W V

$16,&&

$16,&&; &

LPSOHPHQWHG/DWHU%&3/%DVLF&3/FDPHDVWKHLPSOHPHQWDWLRQODQJXDJHIRU&3/E\

0DUWLQ5LFKDUGV,WZDVUHILQHGWRODQJXDJHQDPHGDV %E\.HQ 7KRPSVRQLQIRU

&7KHFRPPLWWHHPDGHD UHVHDUFK DQGVXEPLWWHGDGRFXPHQW DQG WKDW ZDV WKH ELUWK RI

KHOSFRQIXVLQJWKHUHDGHUPRUH/YDOXHLVQRWVLPSO\WKHµ/+6WR YDOXH¶,WLVPRUH

ODQJXDJHVPD\GRWKHVDPH7KH\ZLOOZULWHWKH FRGHLQWKHLU IDYRULWHODQJXDJH DQGIRU

,IQRWKLQJDEQRUPDOO\KDSSHQVWKHFRQWUROILQDOO\UHWXUQVWRPDLQPDLQUHWXUQV

WRVWDUWXSURXWLQH6WDUWXSURXWLQHFDOOVH[LWWR WHUPLQDWH WKH SURJUDP ZLWK WKH UHWXUQ

H[LWPDLQ RU

H[LWPDLQDUJFDUJY

7KHH[LWIXQFWLRQFDOOVDOOWKHH[LWKDQGOHUVLHWKHIXQFWLRQVUHJLVWHUHGE\DWH[LW$OO

EDFNVODVK FKDUDFWHU ? LPPHGLDWHO\ IROORZHG E\ D QHZOLQH FKDUDFWHU LV

B3UDJPD XQDU\ RSHUDWRU H[SUHVVLRQV DUH H[HFXWHG $OO SUHSURFHVVLQJ

ZKLWHVSDFH FKDUDFWHUV VHSDUDWLQJ WRNHQV DUH QR ORQJHU VLJQLILFDQW (DFK

DOO H[WHUQDO REMHFW DQG IXQFWLRQ UHIHUHQFHV DUH UHVROYHG /LEUDU\

LQWPDLQLQWDUJFFKDU DUJY>@

VSULQWIDUJY>@GDWRLDUJY>@

LQWPDLQLQWDUJFFKDU DUJY>@

7KHQDPHRIWKHDUJXPHQWVLVFXVWRPDU\DQG \RXFDQXVH \RXURZQQDPHV7KH

LQWPDLQLQWDUJFFKDU DUJYFKDU HQYS

SULQWIV?Q DUJY

SULQWIV?Q HQYS

FKDU HQY JHWHQY³352037´

¾ ,QLWLDOL]HG GDWD VHJPHQWLQLWLDOL]HG WR H[SOLFLW LQLWLDOL]HUV E\

VWUFS\FKDU PDLQVRPHWKLQJ

EHFRPHVWKHLQLWLDOJDUEDJHYDOXHIRUWKHREMHFWVFUHDWHGLQWKDWVSDFH7KHVHDUHDVDUH

VL]HBW ISFRQVWFKDU VWUOHQ

FKDU G\QDPLF FKDU PDOORF

VWULQJ/HQJWK ISG\QDPLF

LQWPDLQLQWQXP2I$UJVFKDU DUJXPHQWV>@

LQW ISLQWFKDU PDLQ

VWDWLFFKDU VWU>@ ^WKLV)LOH1DPHDUJ

SULQWI?QV DUJXPHQWV

DVVHUWDOORF,Q+HDS DOORF,Q6WDFN

SULQWI$GGUHVVRIDOORF,Q6WDFNS DQG$GGUHVVRIKHDS

7KHUHIRUH D SRUWDEOH SURJUDP VKRXOG SURGXFH VDPH RXWSXW DFURVV YDULRXV

SRUWDEOHODQJXDJHEXWLWKDVVRPHLQKHUHQWO\QRQSRUWDEOHIHDWXUHV ,QIDFWVSHFLDO FDUH

FRPSLOHUZULWHUVWKH FRGHLV VDLG WR KDYH LPSOHPHQWDWLRQ GHILQHG EHKDYLRU 7KHUHIRUH

WKLVKDVLPSOHPHQWDWLRQGHILQHGEHKDYLRUVL]HRILQW "

7KLV LV LPSOHPHQWDWLRQGHILQHG EHKDYLRU 7KH ODQJXDJH VSHFLILFDWLRQ OHDYHV WKH

LPSOHPHQWDWLRQVYDU\ IRUYDULRXVFRQVWUXFWVGHSHQGLQJRQWKHSODWIRUP 7KLV PDNHV WKH

VRPH)XQL DL

,PSOHPHQWDWLRQ GHILQHG EHKDYLRU DQG XQVSHFLILHG EHKDYLRU DUH VLPLODU %RWK

L DVVLJQWKHYDOXHWRM

KDYHLQVWUXFWLRQVWKDWPD\GRWKHVHRSHUDWLRQVDWRPLFDOO\EORFNFRS\ZKLFKZLOOUHTXLUH

VSHFLDOFDVHV([DPSOHVIRUVXFKOLEUDU\IXQFWLRQVDUHJHWFKDUPHPFS\HWF

H[WHQVLRQV8VLQJVXFKIHDWXUHVZKHQZULWLQJVWDQGDUG& FRGH SRVVLEO\ ZLOO

KDUGZDUHOLNHVFDQQHUVDQGPD\UHTXLUHUXQQLQJRQGLIIHUHQWSODWIRUPV7KHUHIRUHWKH

RIWKHFRGH FDQVWLOOEHZULWWHQLQVWDQGDUG&0DNHVXUH WR NHHS WKH QRQSRUWDEOH FRGH

ODQJXDJHH[WHQVLRQVSODWIRUPGHSHQGHQWFRGHRUDVVHPEO\FRGH ,Q DGGLWLRQ \RX PDNH

FRGH7KLVGRHVQ¶W PHDQWKDW\RXVKRXOGQHYHU ZULWHQRQSRUWDEOHFRGH0\SRLQWLVWKDW

7KHDELOLW\WRZULWH QRQSRUWDEOH DQG SODWIRUP VSHFLILF FRGH LV DFWXDOO\ D RQH RI

6RPHPDFKLQHVKDQGOHXQVLJQHGYDOXHVIDVWHU WKDQ WKH VLJQHG YDOXHV 'XH WR LWV

FRPSLOHU2SWLPL]HUVFDQGRVRPHRSWLPL]DWLRQVOLNHUHJLVWHURSWLPL]DWLRQVWKDWDUHQRW

YRLGLQW6ZDSLQW LLQW M

LQWL VWUFPS³VWULQJ´´VWULQJ´

FKDU VWU ³WKLVVWULQJLVDYDLODEOHLQPHPRU\´

7KHVXIIL[HVXVHGLQLQWHJHUVDUH/O8XRUGHULPPDWHULDO/GHQRWHVORQJDQG

(VFDSHFKDUDFWHUVLQSDUWLFXODUQXPHULFFRGHVDOORZWKHPDSSLQJVXSSRUWHGE\

FK! FK LVLQWHQGHGWRFKHFNLIWKHFKDUDFWHULVDQXSSHUFDVH

IRUFK FK FK

VD\KHUHVL]HRILQW E\WHV

3UHIL[/VLJQLILHVWKDWWKHIROORZLQJLV DPXOWLE\WH FKDUDFWHUZKHUHORQJW\SHLV

ZFKDUBW ZLGH6WU /DZLGHVWULQJ RU

VWUOHQZLGH6WU ZLOOJLYHZURQJUHVXOWV

UXQWLPH LQDQLPSOHPHQWDWLRQGHILQHGZD\:KHUHDVLQZLGHFKDUDFWHULVDW\SHZFKDUBW

ZFKDUBW ZFVWULQJ /6RPHZLGHVWULQJ

LQWZFWRPEFKDU VZFKDUBWZF

DYDLODEOHIRUXVHRIZLGHFKDUDFWHUVIRU8QLFRGHQRWDGHTXDWHEXWLVWKDWLV WKH VROXWLRQ

LVPHDQLQJOHVV 'HSHQGLQJRQWKH UHTXLUHGGHJUHHRI HIILFLHQF\DQG DYDLODEOHPHPRU\

SUHFLVLRQGXULQJWKHHYDOXDWLRQRI H[SUHVVLRQV >.HUQLJKDQ DQG 5LWFKLH @ +RZHYHU

PDWKHPDWLFVPDWKK!ZDVGRQHIRUGRXEOHW\SHVDQGDOOWKHIORDWLQJSRLQWFDOFXODWLRQV

3DLQV VKRXOG EH WDNHQ LQ XQGHUVWDQGLQJ WKH IORDWLQJSRLQW LPSOHPHQWDWLRQ

7KLVVWDQGDUGXVHVELWVE\WHIRUUHSUHVHQWLQJWKHIORDWLQJSRLQW7KHIRUPDW

LIIDEVISIS )/7B(36,/21

IORDWLQJSRLQWYDULDEOHOLNHZKHQHLVDVVLJQHGWRDIORDWYDULDEOH"

PDQWLVVDFDQRSWLRQDOO\ FRQWDLQDGHFLPDO SRLQW DOVR $ IORDWLQJSRLQW FRQVWDQW LV QHYHU