Scribd
Upload
173 views17 pages

Identity and Access Management

Frederick Chong discusses the challenges of identity and access management (IAM) in a service-oriented architecture. He defines key concepts like digital identities, IAM frameworks, and common IAM issues companies face. Specifically, Chong outlines the components of a digital identity, describes how IAM components relate and interact, and analyzes challenges like entitlement management and auditing that make IAM difficult to implement. The goal is to provide an overview of IAM and help readers understand common problems in this area.

Uploaded by

Achintya Kumar
Copyright
© © All Rights Reserved
We take content rights seriously. If you suspect this is your content, claim it here.
Available Formats
Download as PDF, TXT or read online on Scribd
173 views17 pages

Identity and Access Management

Frederick Chong discusses the challenges of identity and access management (IAM) in a service-oriented architecture. He defines key concepts like digital identities, IAM frameworks, and common IAM issues companies face. Specifically, Chong outlines the components of a digital identity, describes how IAM components relate and interact, and analyzes challenges like entitlement management and auditing that make IAM difficult to implement. The goal is to provide an overview of IAM and help readers understand common problems in this area.

Uploaded by

Achintya Kumar
Copyright
© © All Rights Reserved
We take content rights seriously. If you suspect this is your content, claim it here.
Available Formats
Download as PDF, TXT or read online on Scribd
You are on page 1/ 17

 ,GHQWLW\DQG$FFHVV0DQDJHPHQW

,GHQWLW\DQG$FFHVV0DQDJHPHQW

)UHGHULFN&KRQJ
0LFURVRIW&RUSRUDWLRQ

-XO\

6XPPDU\)UHGULFN&KRQJGLVFXVVHVWKHSULQFLSOHVDQGEHQHILWVRI6HUYLFH2ULHQWHG$UFKLWHFWXUH 62$ VSHFLILFDOO\DV


WKH\UHODWHWRWKHWHFKQLFDOFKDOOHQJHVLQLGHQWLW\DQGDFFHVVPDQDJHPHQWDQGVHFRQGDULO\WRKHOSWKHUHDGHUJDLQDQ
XQGHUVWDQGLQJRIWKHFRPPRQO\HQFRXQWHUHGLVVXHVLQLGHQWLW\PDQDJHPHQW SULQWHGSDJHV

&RQWHQWV
2YHUYLHZ
,QWURGXFWLRQ
$QDWRP\RID'LJLWDO,GHQWLW\
,GHQWLW\DQG$FFHVV0DQDJHPHQW)UDPHZRUN
&KDOOHQJHVLQ,GHQWLW\DQG$FFHVV0DQDJHPHQW
(QWLWOHPHQW0DQDJHPHQW
$XGLWLQJ
&RQFOXVLRQV
5HIHUHQFHV

2YHUYLHZ
7RGDWHPDQ\WHFKQLFDOGHFLVLRQPDNHUVLQODUJH,7HQYLURQPHQWVKDYHKHDUGDERXWWKHSULQFLSOHVDQGEHQHILWVRI6HUYLFH
2ULHQWHG$UFKLWHFWXUH 62$ 'HVSLWHWKLVIDFWYHU\IHZ,7RUJDQL]DWLRQVDUH\HWDEOHWRWUDQVODWHWKHWKHRUHWLFDO
XQGHUSLQQLQJVRI62$LQWRSUDFWLFDO,7DFWLRQV

2YHUWKHODVW\HDUDIHZLQGLYLGXDOVROXWLRQDUFKLWHFWVRQP\WHDPKDYHDWWHPSWHGWRGLVWLOOWKHSUDFWLFDOHVVHQFHRI62$
LQWRWKHIROORZLQJDUHDV,GHQWLW\DQG$FFHVV0DQDJHPHQW6HUYLFH0DQDJHPHQW(QWLW\$JJUHJDWLRQDQG3URFHVV
,QWHJUDWLRQ7KHVHIRXUNH\WHFKQLFDODUHDVSUHVHQWVLJQLILFDQWWHFKQLFDOFKDOOHQJHVWRRYHUFRPHEXW\HWSURYLGHWKH
FULWLFDO,7IRXQGDWLRQVWRKHOSEXVLQHVVHVUHDOL]HWKHEHQHILWVRI62$

1RWHWKDWLWLVRXUIUHTXHQWLQWHUDFWLRQVZLWKDUFKLWHFWVLQWKHHQWHUSULVHVWKDWHQDEOHXVWRFROODWHV\QWKHVL]HDQG
FDWHJRUL]HWKHSUDFWLFDOFKDOOHQJHVRI62$LQWRWKHVHDUHDV2XUWHDPRUJDQL]HVWKH6WUDWHJLF$UFKLWHFW)RUXPVWKDWDUH
KHOGPXOWLSOHWLPHVZRUOGZLGHDQQXDOO\,QWKHVHHYHQWVZHFRQGXFWVPDOOGLVFXVVLRQJURXSVWRILQGRXWWKHSDLQSRLQWV
DQGWHFKQLFDOJXLGDQFHFXVWRPHUVDUHORRNLQJIRU7KHIHHGEDFNIURPRXUFXVWRPHUVKDVEHHQYHU\FRQVLVWHQWLVVXHVLQ
PDQDJLQJLGHQWLWLHVDJJUHJDWLQJGDWDPDQDJLQJVHUYLFHVDQGLQWHJUDWLQJEXVLQHVVSURFHVVHVKDYHEHHQFLWHGRYHUDQG
RYHUDJDLQDVPDMRUURDGEORFNVWRUHDOL]LQJPRUHHIILFLHQWDQGDJLOHRUJDQL]DWLRQV

,QDGGLWLRQRXUWHDPDOVRFRQGXFWVSURRIRIFRQFHSWSURMHFWVZLWKFXVWRPHUVWRGULOOGHHSHULQWRWKHUHDOZRUOG
UHTXLUHPHQWVDQGLPSOHPHQWDWLRQLVVXHV,WLVWKURXJKWKHVHFRPELQDWLRQVRIEURDGDQGGHHSHQJDJHPHQWVZLWK
FXVWRPHUVWKDWZHRQWKH$UFKLWHFWXUH6WUDWHJ\WHDPGHULYHGRXUFRQFOXVLRQVRQWKHIRXUVLJQLILFDQWDUHDVIRU,7WRLQYHVW
LQ

7KHNH\IRFXVRIWKLVSDSHULVWRSURYLGHDQRYHUYLHZRIWKHWHFKQLFDOFKDOOHQJHVLQRQHRIWKRVHDUHDVQDPHO\LGHQWLW\
DQGDFFHVVPDQDJHPHQWDQGVHFRQGDULO\WRKHOSWKHUHDGHUJDLQDQXQGHUVWDQGLQJRIWKHFRPPRQO\HQFRXQWHUHG

KWWSVPVGQPLFURVRIWFRPHQXVOLEUDU\DD G SULQWHU DVS[ 


 ,GHQWLW\DQG$FFHVV0DQDJHPHQW

LVVXHVLQWKLVEURDGVXEMHFW

,QWURGXFWLRQ
,GHQWLW\DQGDFFHVVPDQDJHPHQW , $0 LVDUHODWLYHO\QHZWHUPWKDWPHDQVGLIIHUHQWWKLQJVWRGLIIHUHQWSHRSOH
)UHTXHQWO\,7SURIHVVLRQDOVKDYHWHQGHGWRSLJHRQKROHLWVPHDQLQJLQWRFHUWDLQLGHQWLW\DQGVHFXULW\UHODWHGSUREOHPV
WKDWWKH\DUHFXUUHQWO\IDFHGZLWK)RUH[DPSOH, $0KDVEHHQSHUFHLYHGWREHDV\QRQ\PIRUVLQJOHVLJQRQSDVVZRUG
V\QFKURQL]DWLRQPHWDGLUHFWRU\ZHEVLQJOHVLJQRQUROHEDVHGHQWLWOHPHQWVDQGVLPLODULGHDV

7KHSULPDU\JRDORIWKLVSDSHULVWRSURYLGHWKHUHDGHUZLWKDVXFFLQFWDQGFRPSUHKHQVLYHRYHUYLHZRIZKDW, $0
PHDQV,QRUGHUWRDFFRPSOLVKWKLVSXUSRVHZHKDYHVWUXFWXUHGWKHLQIRUPDWLRQLQWKLVSDSHUWRKHOSDQVZHUWKH
IROORZLQJTXHVWLRQV

:KDWLVDGLJLWDOLGHQWLW\"
:KDWGRHVLGHQWLW\DQGDFFHVVPDQDJHPHQWPHDQ"
:KDWDUHWKHNH\WHFKQRORJ\FRPSRQHQWVRI, $0"
+RZGRWKHFRPSRQHQWVRI, $0UHODWHWRRQHDQRWKHU"
:KDWDUHWKHNH\DUFKLWHFWXUHFKDOOHQJHVLQ,$ 0"

$QDWRP\RID'LJLWDO,GHQWLW\
3HUVRQDOLGHQWLILFDWLRQVLQWRGD\
VVRFLHW\FDQWDNHPDQ\GLIIHUHQWIRUPV6RPHH[DPSOHVRIWKHVHIRUPVDUHGULYHU
OLFHQVHVWUDYHOSDVVSRUWVHPSOR\HHFDUGNH\VDQGFOXEPHPEHUVKLSFDUGV7KHVHIRUPVRILGHQWLILFDWLRQVW\SLFDOO\
FRQWDLQLQIRUPDWLRQWKDWLVVRPHZKDWXQLTXHWRWKHKROGHUIRUH[DPSOHQDPHVDGGUHVVDQGSKRWRVDVZHOODV
LQIRUPDWLRQDERXWWKHDXWKRULWLHVWKDWLVVXHGWKHFDUGVIRUH[DPSOHDQLQVLJQLDRIWKHORFDOGHSDUWPHQWRIPRWRU
YHKLFOHV

:KLOHWKHQRWLRQRILGHQWLWLHVLQWKHSK\VLFDOZRUOGLVIDLUO\ZHOOXQGHUVWRRGWKHVDPHFDQQRWEHVDLGDERXWWKHGHILQLWLRQ
RIGLJLWDOLGHQWLWLHV7RKHOSOD\WKHJURXQGZRUNIRUWKHUHVWRIWKHGLVFXVVLRQVLQWKLVSDSHUWKLVVHFWLRQGHVFULEHVRQH
QRWLRQRIDGLJLWDOLGHQWLW\DVLOOXVWUDWHGLQ)LJXUH2XUGHILQLWLRQRIGLJLWDOLGHQWLW\FRQVLVWVRIWKHIROORZLQJSDUWV

,GHQWLILHU$SLHFHRILQIRUPDWLRQWKDWXQLTXHO\LGHQWLILHVWKHVXEMHFWRIWKLVLGHQWLW\ZLWKLQDJLYHQFRQWH[W
([DPSOHVRILGHQWLILHUVDUHHPDLODGGUHVVHV;GLVWLQJXLVKHGQDPHVDQG*OREDOO\8QLTXH,GHQWLILHUV *8,'V 
&UHGHQWLDOV3ULYDWHRUSXEOLFGDWDWKDWFRXOGEHXVHGWRSURYHDXWKHQWLFLW\RIDQLGHQWLW\FODLP)RUH[DPSOH
$OLFHHQWHUVLQDSDVVZRUGWRSURYHWKDWVKHLVZKRVKHVD\VVKHLV7KLVPHFKDQLVPZRUNVEHFDXVHRQO\WKH
DXWKHQWLFDWLRQV\VWHPDQG$OLFHVKRXOGNQRZZKDWWKHSDVVZRUGIRU$OLFHLV$SULYDWHNH\DQGWKHDVVRFLDWHG
;SXEOLFNH\FHUWLILFDWHLVDQRWKHUH[DPSOHRIFUHGHQWLDOV
&RUH$WWULEXWH'DWDWKDWKHOSGHVFULEHWKHLGHQWLW\&RUHDWWULEXWHVPD\EHXVHGDFURVVDQXPEHURIEXVLQHVVRU
DSSOLFDWLRQFRQWH[WV)RUH[DPSOHDGGUHVVHVDQGSKRQHQXPEHUVDUHFRPPRQDWWULEXWHVWKDWDUHXVHGDQG
UHIHUHQFHGE\GLIIHUHQWEXVLQHVVDSSOLFDWLRQV
&RQWH[WVSHFLILF$WWULEXWHV'DWDWKDWKHOSGHVFULEHWKHLGHQWLW\EXWZKLFKLVRQO\UHIHUHQFHGDQGXVHGZLWKLQ
VSHFLILFFRQWH[WZKHUHWKHLGHQWLW\LVXVHG)RUH[DPSOHZLWKLQDFRPSDQ\WKHHPSOR\HH
VSUHIHUUHGKHDOWKSODQ
LQIRUPDWLRQLVDFRQWH[WVSHFLILFDWWULEXWHWKDWLVLQWHUHVWLQJWRWKHFRPSDQ\
VKHDOWKFDUHSURYLGHUEXWQRW
QHFHVVDULO\VRWRWKHILQDQFLDOVHUYLFHVSURYLGHU

KWWSVPVGQPLFURVRIWFRPHQXVOLEUDU\DD G SULQWHU DVS[ 


 ,GHQWLW\DQG$FFHVV0DQDJHPHQW

)LJXUH$QDWRP\RIDGLJLWDOLGHQWLW\

:KDWLV,GHQWLW\DQG$FFHVV0DQDJHPHQW"
7KH%XUWRQ*URXSGHILQHVLGHQWLW\PDQDJHPHQWDVIROORZV,GHQWLW\PDQDJHPHQWLVWKHVHWRIEXVLQHVVSURFHVVHVDQGD
VXSSRUWLQJLQIUDVWUXFWXUHIRUWKHFUHDWLRQPDLQWHQDQFHDQGXVHRIGLJLWDOLGHQWLWLHV

,QWKLVSDSHUZHGHILQHLGHQWLW\DQGDFFHVVPDQDJHPHQW , $0 DVIROORZV

,GHQWLW\DQGDFFHVVPDQDJHPHQWUHIHUVWRWKHSURFHVVHVWHFKQRORJLHVDQGSROLFLHVIRUPDQDJLQJGLJLWDOLGHQWLWLHVDQG
FRQWUROOLQJKRZLGHQWLWLHVFDQEHXVHGWRDFFHVVUHVRXUFHV

:HFDQPDNHDIHZLPSRUWDQWREVHUYDWLRQVIURPWKHDERYHGHILQLWLRQV

, $0LVDERXWWKHHQGWRHQGOLIHF\FOHPDQDJHPHQWRIGLJLWDOLGHQWLWLHV$QHQWHUSULVHFODVVLGHQWLW\
PDQDJHPHQWVROXWLRQVKRXOGQRWEHPDGHXSRILVRODWHGVLORVRIVHFXULW\WHFKQRORJLHVEXWUDWKHUFRQVLVWVRIZHOO
LQWHJUDWHGIDEULFRIWHFKQRORJLHVWKDWDGGUHVVWKHVSHFWUXPRIVFHQDULRVLQHDFKVWDJHRIWKHLGHQWLW\OLIHF\FOH:H
ZLOOWDONPRUHDERXWWKHVHVFHQDULRVLQDODWHUVHFWLRQRIWKLVSDSHU
, $0LVQRWMXVWDERXWWHFKQRORJ\EXWUDWKHULVFRPSULVHGRIWKUHHLQGLVSHQVDEOHHOHPHQWVSROLFLHVSURFHVVHV
DQGWHFKQRORJLHV3ROLFLHVUHIHUWRWKHFRQVWUDLQWVDQGVWDQGDUGVWKDWQHHGVWREHIROORZHGLQRUGHUWRFRPSO\
ZLWKUHJXODWLRQVDQGEXVLQHVVEHVWSUDFWLFHVSURFHVVHVGHVFULEHWKHVHTXHQFHVRIVWHSVWKDWOHDGWRWKH
FRPSOHWLRQRIEXVLQHVVWDVNVRUIXQFWLRQVWHFKQRORJLHVDUHWKHDXWRPDWHGWRROVWKDWKHOSDFFRPSOLVKEXVLQHVV
JRDOVPRUHHIILFLHQWO\DQGDFFXUDWHO\ZKLOHPHHWLQJWKHFRQVWUDLQWVDQGJXLGHOLQHVVSHFLILHGLQWKHSROLFLHV
7KHUHODWLRQVKLSVEHWZHHQHOHPHQWVRI, $0FDQEHUHSUHVHQWHGDVWKHWULDQJOHLOOXVWUDWHGLQ)LJXUH2I
VLJQLILFDQWLQWHUHVWLVWKHIDFWWKDWWKHUHLVDIHHGEDFNORRSWKDWOLQNVDOOWKUHHHOHPHQWVWRJHWKHU7KHOHQJWKVRI
WKHHGJHVUHSUHVHQWWKHSURSRUWLRQVRIWKHHOHPHQWVUHODWLYHWRRQHDQRWKHULQDJLYHQ, $0V\VWHP9DU\LQJWKH
SURSRUWLRQRIRQHHOHPHQWZLOOXOWLPDWHO\YDU\WKHSURSRUWLRQRIRQHRUPRUHRWKHUHOHPHQWVLQRUGHUWRPDLQWDLQ
WKHVKDSHRIDWULDQJOHZLWKDVZHHWVSRW VKRZQDVDQLQWHUVHFWLRQLQWKHWULDQJOH 
7KHWULDQJOHDQDORJ\LVSHUIHFWIRUGHVFULELQJWKHUHODWLRQVKLSVDQGLQWHUDFWLRQVRISROLFLHVSURFHVVHVDQG
WHFKQRORJLHVLQDKHDOWK\, $0V\VWHPDVZHOO(YHU\RUJDQL]DWLRQLVGLIIHUHQWDQGWKHULJKWPL[RIWHFKQRORJLHV
SROLFLHVDQGSURFHVVHVIRURQHFRPSDQ\PD\QRWQHFHVVDULO\EHWKHULJKWEDODQFHIRUDGLIIHUHQWFRPSDQ\
7KHUHIRUHHDFKRUJDQL]DWLRQQHHGVWRILQGLWVRZQEDODQFHUHSUHVHQWHGE\WKHXQLTXHQHVVRILWVWULDQJOH
KWWSVPVGQPLFURVRIWFRPHQXVOLEUDU\DD G SULQWHU DVS[ 
 ,GHQWLW\DQG$FFHVV0DQDJHPHQW

$QRUJDQL]DWLRQ
V, $0V\VWHPGRHVQRWUHPDLQVWDWLFRYHUWLPH1HZWHFKQRORJLHVZLOOJHWLQWURGXFHGDQG
DGRSWHGQHZEXVLQHVVPRGHOVDQGFRQVWUDLQWVZLOOFKDQJHWKHFRUSRUDWHJRYHUQDQFHDQGSURFHVVHVWRGRWKLQJV
$VZHPHQWLRQHGEHIRUHZKHQRQHRIWKHHOHPHQWVFKDQJHLWLVWLPHWRILQGDQHZEDODQFH,WLVFRQVHTXHQWO\
LPSRUWDQWWRXQGHUVWDQGWKDW, $0LVDMRXUQH\QRWDGHVWLQDWLRQ

)LJXUH(VVHQWLDOHOHPHQWVRIDQLGHQWLW\DQGDFFHVVPDQDJHPHQWV\VWHP

,GHQWLW\DQG$FFHVV0DQDJHPHQW)UDPHZRUN
$VLPSOLHGLQWKHSUHYLRXVVHFWLRQVLGHQWLW\DQGDFFHVVPDQDJHPHQWLVDYHU\EURDGWRSLFWKDWFRYHUVERWKWHFKQRORJ\
DQGQRQWHFKQRORJ\DUHDV:HZLOOIRFXVWKHUHVWRIWKLVSDSHUDURXQGWKHWHFKQRORJ\DVSHFWVRILGHQWLW\DQGDFFHVV
PDQDJHPHQW

7RIXUWKHUFRQWDLQWKHWHFKQLFDOVFRSHRIWKLVWRSLFWKDWLVVWLOOVXIILFLHQWO\EURDGLWLVXVHIXOWRDELGHE\VRPHVWUXFWXUHIRU
RXUGLVFXVVLRQV:HZLOOXVHWKHIUDPHZRUNVKRZQLQ)LJXUHZKLFKLOOXVWUDWHVVHYHUDONH\ORJLFDOFRPSRQHQWVRI, $0
WROHDGWKHGLVFXVVLRQVRQWKLVVXEMHFW

7KLVSDUWLFXODUIUDPHZRUNKLJKOLJKWHGWKUHHNH\EXFNHWVRIWHFKQRORJ\FRPSRQHQWV

,GHQWLW\OLIHF\FOHPDQDJHPHQW
$FFHVVPDQDJHPHQW
'LUHFWRU\VHUYLFHV

7KHFRPSRQHQWVLQWKHVHWHFKQRORJ\EXFNHWVDUHXVHGWRPHHWDVHWRIUHFXUULQJUHTXLUHPHQWVLQLGHQWLW\PDQDJHPHQW
VROXWLRQV:HZLOOGHVFULEHWKHUROHVWKDWWKHVHFRPSRQHQWVSOD\LQWKHQH[WIHZVHFWLRQV

'LUHFWRU\6HUYLFHV
$VPHQWLRQHGSUHYLRXVO\DGLJLWDOLGHQWLW\FRQVLVWVRIDIHZORJLFDOW\SHVRIGDWDWKHLGHQWLILHUFUHGHQWLDOVDQG
DWWULEXWHV7KLVGDWDQHHGVWREHVHFXUHO\VWRUHGDQGRUJDQL]HG'LUHFWRU\VHUYLFHVSURYLGHWKHLQIUDVWUXFWXUHIRUPHHWLQJ
VXFKQHHGV(QWLWOHPHQWVDQGVHFXULW\SROLFLHVRIWHQFRQWUROWKHDFFHVVDQGXVHRIEXVLQHVVDSSOLFDWLRQVDQGFRPSXWLQJ
LQIUDVWUXFWXUHZLWKLQDQRUJDQL]DWLRQ(QWLWOHPHQWVDUHWKHULJKWVDQGSULYLOHJHVDVVRFLDWHGZLWKLQGLYLGXDOVRUJURXSV
6HFXULW\SROLFLHVUHIHUWRWKHVWDQGDUGVDQGFRQVWUDLQWVXQGHUZKLFK,7FRPSXWLQJUHVRXUFHVRSHUDWH

$SDVVZRUGFRPSOH[LW\SROLF\LVDQH[DPSOHRIDVHFXULW\SROLF\$QRWKHUH[DPSOHLVWKHWUXVWFRQILJXUDWLRQRIDEXVLQHVV

KWWSVPVGQPLFURVRIWFRPHQXVOLEUDU\DD G SULQWHU DVS[ 


 ,GHQWLW\DQG$FFHVV0DQDJHPHQW

DSSOLFDWLRQZKLFKPD\GHVFULEHWKHWUXVWHGWKLUGSDUW\WKDWWKHDSSOLFDWLRQUHOLHVXSRQWRKHOSDXWKHQWLFDWHDQGLGHQWLI\
DSSOLFDWLRQXVHUV/LNHGLJLWDOLGHQWLWLHVHQWLWOHPHQWVDQGVHFXULW\SROLFLHVQHHGWREHVWRUHGSURSHUO\PDQDJHGDQG
GLVFRYHUHG,QPDQ\FDVHVGLUHFWRU\VHUYLFHVSURYLGHDJRRGIRXQGDWLRQIRUVDWLVI\LQJWKHVHUHTXLUHPHQWV

$FFHVV0DQDJHPHQW
$FFHVVPDQDJHPHQWUHIHUVWRWKHSURFHVVRIFRQWUROOLQJDQGJUDQWLQJDFFHVVWRVDWLVI\UHVRXUFHUHTXHVWV7KLVSURFHVVLV
XVXDOO\FRPSOHWHGWKURXJKDVHTXHQFHRIDXWKHQWLFDWLRQDXWKRUL]DWLRQDQGDXGLWLQJDFWLRQV$XWKHQWLFDWLRQLVWKH
SURFHVVE\ZKLFKLGHQWLW\FODLPVDUHSURYHQ$XWKRUL]DWLRQLVWKHGHWHUPLQDWLRQRIZKHWKHUDQLGHQWLW\LVDOORZHGWR
SHUIRUPDQDFWLRQRUDFFHVVDUHVRXUFH$XGLWLQJLVWKHDFFRXQWLQJSURFHVVIRUUHFRUGLQJVHFXULW\HYHQWVWKDWKDYHWDNHQ
SODFH7RJHWKHUDXWKHQWLFDWLRQDXWKRUL]DWLRQDQGDXGLWLQJDUHDOVRFRPPRQO\NQRZQDVWKHJROGVWDQGDUGVRIVHFXULW\
7KHUHDVRQLQJEHKLQGWKLVVWHPVIURPWKHSHULRGLFV\PEROIRU*ROG
$X
WKHSUHIL[IRUDOOWKUHHSURFHVVHV

7KHUHDUHVHYHUDOWHFKQLFDOLVVXHVWKDWVROXWLRQVDUFKLWHFWVPD\HQFRXQWHUZKHQGHVLJQLQJDQGLQWHJUDWLQJ
DXWKHQWLFDWLRQDXWKRUL]DWLRQDQGDXGLWLQJPHFKDQLVPVLQWRWKHDSSOLFDWLRQDUFKLWHFWXUH

6LQJOH6LJQ2Q
7UXVWDQG)HGHUDWLRQ
8VHU(QWLWOHPHQWV
$XGLWLQJ

:HZLOOGHVFULEHWKHVHFKDOOHQJHVDQGWKHLUVROXWLRQVLQPRUHGHWDLOODWHURQLQWKLVGRFXPHQW

)LJXUH/RJLFDOFRPSRQHQWVRI, $0

,GHQWLW\/LIH&\FOH0DQDJHPHQW
7KHOLIHF\FOHRIDGLJLWDOLGHQWLW\FDQEHIUDPHGLQVLPLODUVWDJHVWRWKHOLIHF\FOHVRIOLYLQJWKLQJV

KWWSVPVGQPLFURVRIWFRPHQXVOLEUDU\DD G SULQWHU DVS[ 


 ,GHQWLW\DQG$FFHVV0DQDJHPHQW

&UHDWLRQ
8WLOL]DWLRQ
7HUPLQDWLRQ

(YHU\VWDJHLQDQLGHQWLW\
VOLIHF\FOHKDVVFHQDULRVWKDWDUHFDQGLGDWHVIRUDXWRPDWHGPDQDJHPHQW)RUH[DPSOHGXULQJ
WKHFUHDWLRQRIDGLJLWDOLGHQWLW\WKHLGHQWLW\GDWDQHHGVWREHSURSDJDWHGDQGLQLWLDOL]HGLQLGHQWLW\V\VWHPV,QRWKHU
VFHQDULRVDQLGHQWLW\
VHQWLWOHPHQWVPLJKWQHHGWREHPDJQLILHGZKHQWKHXVHUUHSUHVHQWHGE\WKHLGHQWLW\UHFHLYHDMRE
SURPRWLRQ

)LQDOO\ZKHQWKHGLJLWDOLGHQWLW\LVQRORQJHUSXWWRDFWLYHXVHLWVVWDWXVPLJKWQHHGWREHFKDQJHGRUWKHLGHQWLW\PLJKW
QHHGWREHGHOHWHGIURPWKHGDWDVWRUH

$OOHYHQWVGXULQJWKHOLIHF\FOHRIDGLJLWDOLGHQWLW\QHHGWREHVHFXUHO\HIILFLHQWO\DQGDFFXUDWHO\PDQDJHGZKLFKLV
H[DFWO\ZKDWLGHQWLW\OLIHF\FOHPDQDJHPHQWLVDERXW

)LJXUH/HYHOVRILGHQWLW\OLIHF\FOHPDQDJHPHQWUHTXLUHPHQWV

7KHUHTXLUHPHQWVIRULGHQWLW\OLIHF\FOHPDQDJHPHQWFDQEHGLVFXVVHGDWVHYHUDOOHYHOVDVUHSUHVHQWHGLQ)LJXUH7KH
W\SHVRIGDWDWKDWQHHGWREHPDQDJHGDUHVKRZQDWWKHLGHQWLW\GDWDOHYHO%DVHGRQRXUSUHYLRXVGHILQLWLRQVRIGLJLWDO
LGHQWLW\WKHUHOHYDQWGDWDLQFOXGHVFUHGHQWLDOVVXFKDVSDVVZRUGVDQGFHUWLILFDWHVDQGXVHUDWWULEXWHVVXFKDVQDPHV
DGGUHVVDQGSKRQHQXPEHUV,QDGGLWLRQWRFUHGHQWLDOVDQGDWWULEXWHVWKHUHDUHDOVRXVHUHQWLWOHPHQWVGDWDWRPDQDJH
7KHVHHQWLWOHPHQWVDUHGHVFULEHGLQPRUHGHWDLOODWHURQEXWIRUQRZHQWLWOHPHQWVVKRXOGEHFRQVLGHUHGDVWKHULJKWV
DQGSULYLOHJHVDVVRFLDWHGZLWKLGHQWLWLHV

0RYLQJXSDOHYHOLQWKHLOOXVWUDWLRQWKHUHTXLUHPHQWVOLVWHGUHIOHFWWKHNLQGVRIRSHUDWLRQVWKDWFDQEHSHUIRUPHGRQ
LGHQWLW\GDWD&UHDWH5HDG8SGDWHDQG'HOHWH &58' DUHGDWDRSHUDWLRQSULPLWLYHVFRLQHGE\WKHGDWDEDVHFRPPXQLW\
:HUHXVHWKHVHSULPLWLYHVKHUHDVWKH\SURYLGHDYHU\FRQYHQLHQWZD\IRUFODVVLI\LQJWKHNLQGVRILGHQWLW\PDQDJHPHQW
RSHUDWLRQV)RUH[DPSOHZHFDQFODVVLI\FKDQJHVWRDFFRXQWVWDWXVHQWLWOHPHQWVDQGFUHGHQWLDOVXQGHUWKH8SGDWHGDWD
SULPLWLYH

7KHQH[WOHYHOLQWKHLOOXVWUDWLRQVKRZVWZRLGHQWLW\OLIHF\FOHDGPLQLVWUDWLRQPRGHOVVHOIVHUYLFHDQGGHOHJDWHG,Q
WUDGLWLRQDO,7RUJDQL]DWLRQVFRPSXWHUDGPLQLVWUDWLRQWDVNVDUHSHUIRUPHGE\DFHQWUDOL]HGJURXSRIV\VWHPV
DGPLQLVWUDWRUV2YHUWLPHRUJDQL]DWLRQVKDYHUHDOL]HGWKDWWKHUHPD\EHJRRGHFRQRPLFDQGEXVLQHVVUHDVRQVWRHQDEOH
RWKHUNLQGVRIDGPLQLVWUDWLRQPRGHOVDVZHOO)RUH[DPSOHLWLVRIWHQPRUHFRVWHIIHFWLYHDQGHIILFLHQWIRULQGLYLGXDOVWR
EHDEOHWRXSGDWHVRPHRIWKHLUSHUVRQDODWWULEXWHVVXFKDVDGGUHVVDQGSKRQHQXPEHUE\WKHPVHOYHV7KHVHOIVHUYLFH
DGPLQLVWUDWLRQPRGHOHQDEOHVVXFKLQGLYLGXDOHPSRZHUPHQW7KHPLGGOHJURXQGEHWZHHQWKHVHOIVHUYLFHDQG

KWWSVPVGQPLFURVRIWFRPHQXVOLEUDU\DD G SULQWHU DVS[ 


 ,GHQWLW\DQG$FFHVV0DQDJHPHQW

FHQWUDOL]HGDGPLQLVWUDWLRQPRGHOVLVGHOHJDWHGDGPLQLVWUDWLRQ,QWKHGHOHJDWHGPRGHOWKHUHVSRQVLELOLWLHVRILGHQWLW\OLIH
F\FOHDGPLQLVWUDWLRQDUHVKDUHGEHWZHHQGHFHQWUDOL]HGJURXSVRIDGPLQLVWUDWRUV7KHFRPPRQFULWHULDXVHGWRGHWHUPLQH
WKHVFRSHRIGHOHJDWLRQDUHRUJDQL]DWLRQVWUXFWXUHDQGDGPLQLVWUDWLRQUROHV$QH[DPSOHRIGHOHJDWHGDGPLQLVWUDWLRQ
EDVHGRQRUJDQL]DWLRQVWUXFWXUHLVWKHKLHUDUFK\RIHQWHUSULVHXQLWDQGGHSDUWPHQWOHYHODGPLQLVWUDWRUVLQDODUJH
RUJDQL]DWLRQ

7KHDERYHOLIHF\FOHDGPLQLVWUDWLRQPRGHOVFDQEHXVHGWRVXSSRUWDYDULHW\RIEXVLQHVVVFHQDULRVVRPHRIZKLFKDUH
OLVWHGLQ)LJXUH)RULQVWDQFHQHZHPSOR\HHVRIWHQUHTXLUHDFFRXQWVWREHFUHDWHGDQGSURYLVLRQHGIRUWKHP
&RQYHUVHO\ZKHQDQHPSOR\HHLVQRORQJHUHPSOR\HGWKHH[LVWLQJDFFRXQWVWDWXVPLJKWQHHGWREHFKDQJHG-RE
FKDQJHVFHQDULRVFDQDOVRKDYHVHYHUDOLPSDFWVRQWKHGLJLWDOLGHQWLWLHV)RUH[DPSOHZKHQ%REUHFHLYHVDSURPRWLRQKLV
WLWOHPLJKWQHHGWREHFKDQJHGDQGKLVHQWLWOHPHQWVPLJKWQHHGWREHH[WHQGHG1RZWKDWZHKDYHDEHWWHU
XQGHUVWDQGLQJRILGHQWLW\OLIHF\FOHPDQDJHPHQWUHTXLUHPHQWVZHDUHUHDG\WRGULOOLQWRWKHFKDOOHQJHVLQYROYHGLQ
PHHWLQJWKRVHUHTXLUHPHQWV

)LJXUH&XUUHQWVWDWHRIDIIDLUVPXOWLSOHLGHQWLW\V\VWHPVLQWKHHQWHUSULVH

7KHLOOXVWUDWLRQLQ)LJXUHVSHDNVWRWKHIDFWWKDWDW\SLFDOXVHULQDQHQWHUSULVHW\SLFDOO\KDVWRGHDOZLWKPXOWLSOHGLJLWDO
LGHQWLWLHVZKLFKPLJKWEHVWRUHGDQGPDQDJHGLQGHSHQGHQWO\RIRQHDQRWKHU7KLVFXUUHQWVWDWHRIDIIDLUVLVGXHWRWKH
RQJRLQJHYROXWLRQWKDWHYHU\EXVLQHVVRUJDQL]DWLRQJRHVWKURXJK(YHQWVVXFKDVPHUJHUVDQGDFTXLVLWLRQVFDQLQWURGXFH
LQFRPSDWLEOHV\VWHPVLQWRWKHH[LVWLQJ,7LQIUDVWUXFWXUHDQGHYROYLQJEXVLQHVVUHTXLUHPHQWVPLJKWKDYHEHHQPHW
WKURXJKWKLUGSDUW\DSSOLFDWLRQVWKDWDUHQRWZHOOLQWHJUDWHGZLWKH[LVWLQJRQHV

2QHPD\SUHVXPHWKDWLWZRXOGKDYHEHHQPXFKHDVLHUIRUHQWHUSULVHVWRGHSUHFDWHWKHFXUUHQWV\VWHPVDQGVWDUWRYHU
+RZHYHUWKLVVROXWLRQLVVHOGRPDYLDEOHRSWLRQ:HKDYHWRUHFRJQL]HWKDWH[LVWLQJLGHQWLW\V\VWHPVPLJKWEHDURXQG
IRUDORQJWLPHZKLFKOHDGVXVWRILQGRWKHUVROXWLRQVIRUUHVROYLQJWZRNH\LVVXHVDULVLQJIURPPDQDJLQJGDWDDFURVV
GLVSDUDWHLGHQWLW\V\VWHPV

KWWSVPVGQPLFURVRIWFRPHQXVOLEUDU\DD G SULQWHU DVS[ 


 ,GHQWLW\DQG$FFHVV0DQDJHPHQW

'XSOLFDWLRQRILQIRUPDWLRQ,GHQWLW\LQIRUPDWLRQLVRIWHQGXSOLFDWHGLQPXOWLSOHV\VWHPV)RUH[DPSOHDWWULEXWHV
VXFKDVDGGUHVVHVDQGSKRQHQXPEHUVDUHRIWHQVWRUHGDQGPDQDJHGLQPRUHWKDQRQHV\VWHPLQDQ
HQYLURQPHQW:KHQLGHQWLW\GDWDLVGXSOLFDWHGLWFDQHDVLO\JHWRXWRIV\QFLIXSGDWHVDUHSHUIRUPHGLQRQH
V\VWHPEXWQRWWKHRWKHUV
/DFNRILQWHJUDWLRQ7KHFRPSOHWHYLHZRIDJLYHQXVHU
VDWWULEXWHVFUHGHQWLDOVDQGSULYLOHJHVDUHRIWHQGLVWULEXWHG
DFURVVPXOWLSOHLGHQWLW\V\VWHPV)RUH[DPSOHIRUDJLYHQHPSOR\HHWKHKXPDQUHVRXUFHUHODWHGLQIRUPDWLRQ
PLJKWEHFRQWDLQHGLQDQ6$3+5V\VWHPWKHQHWZRUNDFFHVVDFFRXQWLQDQ$FWLYH'LUHFWRU\DQGWKHOHJDF\
DSSOLFDWLRQSULYLOHJHVVWRUHGLQDPDLQIUDPH0DQ\LGHQWLW\OLIHF\FOHPDQDJHPHQWVFHQDULRVUHTXLUHLGHQWLW\
LQIRUPDWLRQWREHSXOOHGIURPDQGSXVKHGLQWRVHYHUDOGLIIHUHQWV\VWHPV:HUHIHUWRWKHDERYHLVVXHVDVWKH
LGHQWLW\DJJUHJDWLRQFKDOOHQJHZKLFKZHZLOOGHVFULEHLQPRUHGHWDLOLQDODWHUVHFWLRQ

&KDOOHQJHVLQ,GHQWLW\DQG$FFHVV0DQDJHPHQW
6LQJOH6LJQ2Q
$W\SLFDOHQWHUSULVHXVHUKDVWRORJLQPXOWLSOHWLPHVLQRUGHUWRJDLQDFFHVVWRWKHYDULRXVEXVLQHVVDSSOLFDWLRQVWKDWWKH\
XVHLQWKHLUMREV)URPWKHXVHU
VSRLQWRIYLHZPXOWLSOHORJLQVDQGWKHQHHGWRUHPHPEHUPXOWLSOHSDVVZRUGVDUHVRPH
RIWKHOHDGLQJFDXVHVRIEDGDSSOLFDWLRQH[SHULHQFHV)URPWKHPDQDJHPHQWSRLQWRIYLHZIRUJRWWHQSDVVZRUGLQFLGHQWV
PRVWGHILQLWHO\LQFUHDVHPDQDJHPHQWFRVWVDQGZKHQFRPELQHGZLWKEDGXVHUSDVVZRUGPDQDJHPHQWKDELWV VXFKDV
ZULWLQJSDVVZRUGVGRZQRQ\HOORZVWLFN\QRWHV FDQRIWHQOHDGWRLQFUHDVHGRSSRUWXQLWLHVIRUVHFXULW\EUHDFKHV%HFDXVH
RIWKHVHHPLQJO\LQWUDFWDEOHSUREOHPVWKDWPXOWLSOHLGHQWLWLHVSUHVHQWWKHFRQFHSWRIVLQJOHVLJQRQ 662 WKHDELOLW\WR
ORJLQRQFHDQGJDLQDFFHVVWRPXOWLSOHV\VWHPVKDVEHFRPHWKH
+RO\*UDLO
RILGHQWLW\PDQDJHPHQWSURMHFWV

6LQJOH6LJQ2Q6ROXWLRQV
%URDGO\VSHDNLQJWKHUHDUHILYHFODVVHVRI662VROXWLRQV1RRQHW\SHRIVROXWLRQLVULJKWIRUHYHU\DSSOLFDWLRQVFHQDULR
7KHEHVWVROXWLRQLVYHU\PXFKGHSHQGHQWRQIDFWRUVVXFKDVZKHUHWKHDSSOLFDWLRQVUHTXLULQJ662DUHKRVWHGOLPLWDWLRQV
SODFHGE\WKHLQIUDVWUXFWXUH HJILUHZDOOUHVWULFWLRQV DQGWKHDELOLW\WRPRGLI\WKHDSSOLFDWLRQV7KHVHDUHWKHILYH
FDWHJRULHVRI662VROXWLRQV

:HE662
2SHUDWLQJ6\VWHP,QWHJUDWHG6LJQ2Q
)HGHUDWHG6LJQ2Q
,GHQWLW\DQG&UHGHQWLDO0DSSLQJ
3DVVZRUG6\QFKURQL]DWLRQ

:HE662VROXWLRQVDUHGHVLJQHGWRDGGUHVVZHEDSSOLFDWLRQVLJQRQUHTXLUHPHQWV,QWKHVHVROXWLRQVXQDXWKHQWLFDWHG
EURZVHUXVHUVDUHUHGLUHFWHGWRORJLQZHEVLWHVWRHQWHULQXVHULGHQWLILFDWLRQVDQGFUHGHQWLDOV8SRQVXFFHVVIXO
DXWKHQWLFDWLRQ+773FRRNLHVDUHLVVXHGDQGXVHGE\ZHEDSSOLFDWLRQVWRYDOLGDWHDXWKHQWLFDWHGXVHUVHVVLRQV0LFURVRIW
3DVVSRUWLVDQH[DPSOHRI:HE662VROXWLRQV

2SHUDWLQJV\VWHPLQWHJUDWHGVLJQRQUHIHUVWRDXWKHQWLFDWLRQPRGXOHVDQGLQWHUIDFHVEXLOWLQWRWKHRSHUDWLQJV\VWHP
7KH:LQGRZVVHFXULW\VXEV\VWHPSURYLGHVVXFKFDSDELOLW\WKURXJKV\VWHPPRGXOHVVXFKDV/RFDO6HFXULW\$XWKRULW\ /6$
DQG6HFXULW\6SHFLILF3URYLGHUV 663 663,UHIHUVWRWKHSURJUDPPLQJLQWHUIDFHVLQWRWKHVH663'HVNWRSDSSOLFDWLRQVWKDW
XVHWKH663,$3,VIRUXVHUDXWKHQWLFDWLRQFDQWKHQ
SLJJ\EDFN
RQ:LQGRZVGHVNWRSORJLQWRKHOSDFKLHYHDSSOLFDWLRQ
662*66$3,RQYDULRXV81,;LPSOHPHQWDWLRQVDOVRSURYLGHWKHVDPHDSSOLFDWLRQ662IXQFWLRQDOLW\

)HGHUDWHGVLJQRQUHTXLUHVWKHDSSOLFDWLRQDXWKHQWLFDWLRQLQIUDVWUXFWXUHVWRXQGHUVWDQGWUXVWUHODWLRQVKLSVDQG
LQWHURSHUDWHWKURXJKVWDQGDUGSURWRFROV.HUEHURVDQGWKHIXWXUH$FWLYH'LUHFWRU\)HGHUDWLRQ6HUYLFHDUHH[DPSOHVRI
IHGHUDWLRQWHFKQRORJLHV)HGHUDWHGVLJQRQPHDQVWKDWWKHDXWKHQWLFDWLRQUHVSRQVLELOLW\LVGHOHJDWHGWRDWUXVWHGSDUW\
$SSOLFDWLRQXVHUVQHHGQRWEHSURPSWHGWRVLJQRQDJDLQDVORQJDVWKHXVHUKDVEHHQDXWKHQWLFDWHGE\DIHGHUDWHG LH
WUXVWHG DXWKHQWLFDWLRQLQIUDVWUXFWXUHFRPSRQHQW

,GHQWLW\DQGFUHGHQWLDOPDSSLQJVROXWLRQVW\SLFDOO\XVHFUHGHQWLDOFDFKHVWRNHHSWUDFNRIWKHLGHQWLWLHVDQGFUHGHQWLDOVWR
KWWSVPVGQPLFURVRIWFRPHQXVOLEUDU\DD G SULQWHU DVS[ 
 ,GHQWLW\DQG$FFHVV0DQDJHPHQW

XVHIRUDFFHVVLQJDFRUUHVSRQGLQJOLVWVRIDSSOLFDWLRQVLWHV7KHFDFKHPD\EHXSGDWHGPDQXDOO\RUDXWRPDWLFDOO\ZKHQ
WKHFUHGHQWLDO IRUH[DPSOHSDVVZRUG FKDQJHV([LVWLQJDSSOLFDWLRQVPD\RUPD\QRWQHHGWREHPRGLILHGWRXVH
LGHQWLW\PDSSLQJVROXWLRQV:KHQWKHDSSOLFDWLRQFDQQRWEHPRGLILHGDVRIWZDUHDJHQWPD\EHLQVWDOOHGWRPRQLWRU
DSSOLFDWLRQORJLQHYHQWV:KHQWKHDJHQWGHWHFWVVXFKHYHQWVLWILQGVWKHXVHUFUHGHQWLDOLQWKHFDFKHDQGDXWRPDWLFDOO\
LQSXWVWKHFUHGHQWLDOLQWRWKHDSSOLFDWLRQORJLQSURPSW

7KHSDVVZRUGV\QFKURQL]DWLRQWHFKQLTXHLVXVHGWRV\QFKURQL]HSDVVZRUGVDWWKHDSSOLFDWLRQFUHGHQWLDOGDWDEDVHVVR
WKDWXVHUVDQGDSSOLFDWLRQVGRQRWKDYHWRPDQDJHPXOWLSOHSDVVZRUGVFKDQJHV3DVVZRUGV\QFKURQL]DWLRQDVDVLORHG
WHFKQRORJ\GRHVQRWUHDOO\SURYLGHVLQJOHVLJQRQEXWUHVXOWVLQVRPHFRQYHQLHQFHVWKDWDSSOLFDWLRQVFDQWDNH
DGYDQWDJHRI)RUH[DPSOHZLWKSDVVZRUGV\QFKURQL]DWLRQDPLGGOHWLHUDSSOLFDWLRQFDQDVVXPHWKDWWKHSDVVZRUGIRU
DQDSSOLFDWLRQXVHULVWKHVDPHDWWKHYDULRXVV\VWHPVLWQHHGDFFHVVWRVRWKDWWKHDSSOLFDWLRQGRHVQRWKDYHWRDWWHPSW
ORRNLQJXSIRUGLIIHUHQWSDVVZRUGVWRXVHZKHQDFFHVVLQJUHVRXUFHVDWWKRVHV\VWHPV

(QWLWOHPHQW0DQDJHPHQW
(QWLWOHPHQWPDQDJHPHQWUHIHUVWRWKHVHWRIWHFKQRORJLHVXVHGWRJUDQWDQGUHYRNHDFFHVVULJKWVDQGSULYLOHJHVWR
LGHQWLWLHV,WLVFORVHO\DVVRFLDWHGZLWKDXWKRUL]DWLRQZKLFKLVWKHDFWXDOSURFHVVRIHQIRUFLQJWKHDFFHVVUXOHVSROLFLHVDQG
UHVWULFWLRQVWKDWDUHDVVRFLDWHGZLWKEXVLQHVVIXQFWLRQVDQGGDWD

7RGD\
VHQWHUSULVHDSSOLFDWLRQVIUHTXHQWO\XVHDFRPELQDWLRQRIUROHEDVHGDXWKRUL]DWLRQDQGEXVLQHVVUXOHVEDVHG
SROLFLHVWRGHWHUPLQHZKDWDJLYHQLGHQWLW\FDQRUFDQQRWGR

:LWKLQDGLVWULEXWHGQWLHUHGDSSOLFDWLRQDFFHVVGHFLVLRQVFDQEHPDGHDWDQ\OD\HULQWKHDSSOLFDWLRQ
VDUFKLWHFWXUH)RU
H[DPSOHWKHSUHVHQWDWLRQWLHUPLJKWRQO\SUHVHQW8,FKRLFHVWKDWWKHXVHULVDXWKRUL]HGWRPDNH$WWKHVHUYLFHOD\HURI
WKHDUFKLWHFWXUHWKHVHUYLFHPLJKWFKHFNWKDWWKHXVHUPHHWVWKHDXWKRUL]DWLRQFRQGLWLRQIRULQYRNLQJWKHVHUYLFH)RU
H[DPSOHRQO\XVHUVLQWKHPDQDJHUUROHFDQLQYRNHWKH
/RDQ$SSURYDO
VHUYLFH%HKLQGWKHVFHQHVDWWKHEXVLQHVVORJLF
WLHUWKHUHPLJKWQHHGWREHILQHJUDLQEXVLQHVVSROLF\GHFLVLRQVVXFKDV
,VWKLVUHTXHVWPDGHGXULQJEXVLQHVVKRXUV
DW
WKHGDWDOD\HUWKHGDWDEDVHVWRUHGSURFHGXUHPLJKWILOWHUUHWXUQHGGDWDEDVHGRQWKHUHODWLRQVKLSEHWZHHQWKHVHUYLFH
LQYRNHU
VLGHQWLW\DQGWKHUHTXHVWHGGDWD

*LYHQWKHXVHIXOQHVVDQGRIWHQLQWHUVHFWLQJXVHRIERWKUROHDQGUXOHEDVHGDXWKRUL]DWLRQVFKHPHVLWLVQRWDOZD\VFOHDU
WRDSSOLFDWLRQDUFKLWHFWVKRZWRPRGHODQHQWLWOHPHQWPDQDJHPHQWIUDPHZRUNWKDWLQWHJUDWHVERWKVFKHPHVFOHDQO\
0DQ\HQWHUSULVHVKDYHVHSDUDWHFXVWRPHQJLQHVWRGRERWK

)LJXUH,QWHJUDWLQJUROHDQGUXOHEDVHGDXWKRUL]DWLRQLOOXVWUDWHVDUHSUHVHQWDWLRQRIKRZERWKVFKHPHVPLJKW
EHFRPELQHGDQGLQWHJUDWHG

,QWKLVUHSUHVHQWDWLRQZHFDQHQYLVLRQDUROHGHILQLWLRQ ZKLFKW\SLFDOO\UHIOHFWVDMREUHVSRQVLELOLW\ ZLWKWZRVHWVRI

KWWSVPVGQPLFURVRIWFRPHQXVOLEUDU\DD G SULQWHU DVS[ 


 ,GHQWLW\DQG$FFHVV0DQDJHPHQW

SURSHUWLHV2QHVHWRISURSHUWLHVFRQWDLQWKHLGHQWLWLHVRISHRSOHRUV\VWHPVWKDWDUHLQWKHJLYHQUROH)RUH[DPSOH$OLFH
%REDQG&KDUOLHPD\EHDVVLJQHGWRWKH0DQDJHUUROH7KHVHFRQGVHWRISURSHUWLHVFRQWDLQVWKHVHWRIULJKWVWKDWD
JLYHQUROHKDV5LJKWVFDQUHSUHVHQWEXVLQHVVIXQFWLRQVRUDFWLRQVRQFRPSXWLQJUHVRXUFHV)RUH[DPSOHWUDQVIHUIXQG
GHILQHVDEXVLQHVVIXQFWLRQDQGUHDGILOHUHIHUVWRDQRSHUDWLRQRQDFRPSXWLQJUHVRXUFH)XUWKHUPRUHZHFDQDVVLJQD
VHWRIFRQGLWLRQDOVWDWHPHQWV EXVLQHVVUXOHV IRUHDFKULJKW)RUH[DPSOHWKHWUDQVIHUIXQGULJKWPD\KDYHDFRQGLWLRQDO
VWDWHPHQWWRDOORZWKHDFWLRQLIWKHFXUUHQWWLPHLVZLWKLQEXVLQHVVKRXU1RWHWKDWWKHFRQGLWLRQDOVWDWHPHQWPLJKWEDVH
LWVGHFLVLRQRQG\QDPLFLQSXWGDWDWKDWFDQRQO\EHGHWHUPLQHGDWDSSOLFDWLRQUXQWLPH

,WLVDOVRLPSRUWDQWIRUPRVWRUJDQL]DWLRQVWRKDYHDFRQVROLGDWHGYLHZRIDOOWKHULJKWVWKDWDJLYHQLGHQWLW\SRVVHVVHV7R
PHHWWKLVUHTXLUHPHQWHQWLWOHPHQWPDQDJHPHQWDSSOLFDWLRQVW\SLFDOO\OHYHUDJHDFHQWUDOL]HGSROLF\VWRUHWRKHOS
IDFLOLWDWHFHQWUDOL]HGPDQDJHPHQWDQGUHSRUWLQJRIXVHUV
ULJKWV

,GHQWLW\$JJUHJDWLRQ
(QWHUSULVH,7V\VWHPVHYROYHRUJDQLFDOO\RYHUWKHFRXUVHRIDQRUJDQL]DWLRQ
VKLVWRU\7KLVLVRIWHQGXHWRUHDVRQVVXFKDV
PHUJHUVDQGDFTXLVLWLRQVRUSUHIHUHQFHVDQGFKDQJHVRI,7OHDGHUVKLSV7KHFRQVHTXHQFHVRIWKLVDUHRIWHQPDQLIHVWHG
WKURXJKKRGJHSRGJHVRIGLVFRQQHFWHG,7V\VWHPVZLWKXQGHVLUDEOHDUFKLWHFWXUDODUWLIDFWV,GHQWLW\UHODWHGV\VWHPVDUH
QRH[FHSWLRQVWRVXFK,7HYROXWLRQV

)UHTXHQWO\WKHHQWHUSULVHZLOOKDYHQRWMXVWRQHLGHQWLW\V\VWHPVEXWVHYHUDOHDFKVHUYLQJGLIIHUHQWEXVLQHVVIXQFWLRQV
EXWVWRULQJGXSOLFDWHGDQGUHODWHGGDWD$SSOLFDWLRQVWKDWQHHGWRLQWHJUDWHZLWKWKRVHEXVLQHVVIXQFWLRQVDUHWKHQ
IRUFHGWRUHFRQFLOHWKHGLIIHUHQFHVDQGV\QFKURQL]HWKHGXSOLFDWLRQV

)RUH[DPSOHDEDQNLQJFXVWRPHUVHUYLFHDSSOLFDWLRQPLJKWQHHGWRREWDLQFXVWRPHULQIRUPDWLRQIURPDQ,%0'%
GDWDEDVHDQ2UDFOHEDVHGDXWKRUL]DWLRQGDWDEDVHDQGDKRPHJURZQ&50,QWKLVFDVHWKHDSSOLFDWLRQ
VFRQFHSWRI

&XVWRPHU
LVGHILQHGE\WKUHHGLIIHUHQWV\VWHPV$WWULEXWHVWKDWGHVFULEHFXVWRPHUVXFKDVFXVWRPHUQDPHDGGUHVVDQG
VRFLDOVHFXULW\QXPEHUPLJKWEHVWRUHGDQGGXSOLFDWHGLQPXOWLSOHV\VWHPV2QWKHRWKHUKDQGQRQGXSOLFDWHGGDWDVXFK
DVWKHILQDQFLDOSURGXFWVWKDWWKHFXVWRPHUKDVSXUFKDVHGDQGWKHFXVWRPHU
VEDQNEDODQFHPLJKWEHNHSWLQVHSDUDWH
V\VWHPV7KHDSSOLFDWLRQZLOOQHHGWRDJJUHJDWHWKLVGDWDIURPGLIIHUHQWV\VWHPVWRJHWWKHQHFHVVDU\YLHZRIWKH
FXVWRPHU

0RYLQJWKHXQGHUO\LQJLGHQWLW\GDWDLQWRRQHKXJHJLDQWLGHQWLW\V\VWHPPLJKWVHHPOLNHDQREYLRXVDQVZHUWRWKLV
SUREOHP+RZHYHUWKHUHDUHPDQ\UHDOZRUOGLVVXHV IRUH[DPSOHWKHULVNRIEUHDNLQJOHJDF\DSSOLFDWLRQV WKDWSUHYHQW
VXFKVROXWLRQIURPEHLQJEURDGO\DGRSWHGDQ\WLPHVRRQ,GHQWLW\DJJUHJDWLRQWKHUHIRUHUHIHUVWRWKHVHWRIWHFKQRORJLHV
WKDWKHOSDSSOLFDWLRQVDJJUHJDWHLGHQWLW\LQIRUPDWLRQIURPGLIIHUHQWLGHQWLW\V\VWHPVZKLOHUHGXFLQJWKHFRPSOH[LW\RI
GDWDUHFRQFLOLDWLRQV\QFKURQL]DWLRQDQGLQWHJUDWLRQ

7KHUHDUHVHYHUDOWHFKQLFDOFKDOOHQJHVWKDWLGHQWLW\DJJUHJDWLRQWHFKQRORJLHVVKRXOGKHOSDGGUHVV

0DLQWDLQLQJUHODWLRQVKLSVIRUGDWDWUDQVIRUPDWLRQV
2SWLPL]LQJGDWD&58'RSHUDWLRQV
6\QFKURQL]LQJGDWD

7KHQH[WIHZVXEVHFWLRQVSURYLGHDQRYHUYLHZRIWKHVHGHVLJQLVVXHV

D 0DLQWDLQLQJ5HODWLRQVKLSVIRU'DWD7UDQVIRUPDWLRQV
$QLGHQWLW\DJJUHJDWLRQVROXWLRQFDQSURYLGHVHYHUDOEHQHILWVWRDSSOLFDWLRQVZLWKGLVSDUDWHYLHZVRILGHQWLW\LQIRUPDWLRQ
WKDWPDQLSXODWHGDWDLQGLIIHUHQWV\VWHPV7KHILUVWEHQHILWLQYROYHVSURYLGLQJDSSOLFDWLRQVZLWKDFRQVROLGDWHGYLHZRUDQ
DJJUHJDWHGYLHZRIWKHGDWDLQWKHLQGLYLGXDOV\VWHPV,QRUGHUWRWUDQVIRUPDQGUHSUHVHQWGDWDLQGLIIHUHQWYLHZVWKH
LGHQWLW\DJJUHJDWLRQVROXWLRQQHHGVWRPDLQWDLQPHWDGDWDGHVFULELQJWKHVFKHPDUHSUHVHQWLQJWKHFRQVROLGDWHGYLHZ
DQGLWVUHODWLRQVKLSZLWKWKHGDWDVFKHPDLQWKHYDULRXVLGHQWLW\V\VWHPV

/HW
VORRNDWDVSHFLILFH[DPSOHRIDQLGHQWLW\OLIHF\FOHPDQDJHPHQWDSSOLFDWLRQWKDWLVPDQDJLQJGDWDDFURVVDIHZ
KWWSVPVGQPLFURVRIWFRPHQXVOLEUDU\DD G SULQWHU DVS[ 
 ,GHQWLW\DQG$FFHVV0DQDJHPHQW

H[LVWLQJV\VWHPV7KHFRQVROLGDWHGYLHZRIWKHPDQDJHPHQWDSSOLFDWLRQLVUHSUHVHQWHGE\DQHZVFKHPDZKLFKLVPDGH
XSRIQHZDQGH[LVWLQJLGHQWLW\DWWULEXWHV

)LJXUH5HFRQFLOLQJLGHQWLW\VFKHPDV

)LJXUHLOOXVWUDWHVDQH[DPSOHZKHUHDQHZLGHQWLW\VFKHPDLVGHILQHGIRUWKHDSSOLFDWLRQ7KHQHZVFKHPDUHIHUVWR
DWWULEXWHVLQWZRH[LVWLQJLGHQWLW\VFKHPDVDQGDOVRGHILQHGQHZRQHVWKDWDUHQRWFXUUHQWO\VSHFLILHG $FFRXQW1XPEHU
&HOOSKRQHDQG3UHIHUHQFHV 

,QRUGHUIRUDSSOLFDWLRQVWRTXHU\DQGXSGDWHGDWDLQH[LVWLQJVWRUHVZHZLOOQHHGWRPDLQWDLQGDWDUHODWLRQVKLSVEHWZHHQ
WKHDWWULEXWHVGHILQHGLQWKHQHZVFKHPDDQGWKHFRUUHVSRQGLQJDWWULEXWHVLQWKHH[LVWLQJVFKHPDV)RUH[DPSOHWKH
IROORZLQJUHODWLRQVKLSVZLOOQHHGWREHPDLQWDLQHG

5HIHUHQFH$UHIHUHQFHUHIHUVWRDSLHFHRILQIRUPDWLRQWKDWXQDPELJXRXVO\LGHQWLILHVDQLQVWDQFHRIGDWDDV
UHSUHVHQWHGE\DSDUWLFXODUGDWDVFKHPD)RUH[DPSOHWKH
&XVWRPHU,'
DWWULEXWHDOORZVDGDWDLQVWDQFHDV
KWWSVPVGQPLFURVRIWFRPHQXVOLEUDU\DD G SULQWHU DVS[ 
 ,GHQWLW\DQG$FFHVV0DQDJHPHQW

UHSUHVHQWHGE\WKHDSSOLFDWLRQVFKHPHLQ)LJXUHWRILQGLWVFRUUHVSRQGLQJGDWDLQVWDQFHDVUHSUHVHQWHGE\
H[LVWLQJVFKHPD'LIIHUHQWVFKHPDVPD\XVHGLIIHUHQWUHIHUHQFHVWRLGHQWLI\WKHLURZQGDWDLQVWDQFHV
2ZQHUVKLS$GDWDDWWULEXWHPD\EHGHILQHGLQPRUHWKDQRQHH[LVWLQJVFKHPD8VLQJWKHVDPHH[DPSOHVKRZQ
LQ)LJXUHDJDLQZHFDQVHHWKDWWKH
1DPH
DQG
$GGUHVV
DWWULEXWHVDUHGHILQHGLQERWKH[LVWLQJVFKHPDV,QWKH
HYHQWRIDGDWDFRQIOLFWWKHDSSOLFDWLRQQHHGVWRNQRZZKLFKYHUVLRQKROGVWKHDXWKRULWDWLYHFRS\WRNHHS,Q
DGGLWLRQWKHUHPD\EHVFHQDULRVZKHUHDQDWWULEXWHFDQJHWLWVYDOXHIURPDSULRULWL]HGOLVWRIRZQHUV,QWKRVH
VFHQDULRVZKHQWKHYDOXHIRUDQDWWULEXWHLVQRWSUHVHQWLQWKHILUVWDXWKRULWDWLYHVRXUFHWKHDJJUHJDWLRQVHUYLFH
VKRXOGTXHU\WKHQH[WV\VWHPLQWKHSULRULWL]HGOLVWRIRZQHUV
$WWULEXWH0DSSLQJ$WWULEXWHVGHILQHGLQPXOWLSOHGDWDVWRUHPD\KDYHWKHVDPHVHPDQWLFPHDQLQJEXWKDYH
WKHVDPHRUGLIIHUHQWV\QWDFWLFUHSUHVHQWDWLRQV:KHQTXHU\LQJRUXSGDWLQJDGDWDDWWULEXWHWKHLGHQWLW\
DJJUHJDWLRQVHUYLFHQHHGVWRNQRZWKHDWWULEXWHVWKDWDUHVHPDQWLFDOO\HTXLYDOHQWWRRQHDQRWKHU)RUH[DPSOH
DOWKRXJKFXVWRPHULGLVGHILQHGLQDOOWKUHHVFKHPDVLWLVQDPHGGLIIHUHQWO\DV&XVW,'LQLGHQWLW\VFKHPD:KHQ
WKHDSSOLFDWLRQSHUIRUPVDQXSGDWHIRUDQLGHQWLW\
VFXVWRPHULGQXPEHUWKHV\VWHPPXVWDOVRNQRZWRXSGDWH
WKH&XVW,'DWWULEXWHIRUWKHGDWDLQVWDQFHUHSUHVHQWHGE\VFKHPD

E 2SWLPL]LQJ'DWD&58'2SHUDWLRQ
$VSUHYLRXVO\LGHQWLILHG&58'LVDGDWDEDVHDFURQ\PWKDWVWDQGVIRU&UHDWH5HDG8SGDWHDQG'HOHWH&58'GHILQHVWKH
EDVLFSULPLWLYHRSHUDWLRQVIRUPDQLSXODWLQJGDWD7KHUHDVRQZK\&58'LVUDLVHGDVDWHFKQLFDOFKDOOHQJHLVEHFDXVHWKH
SHUIRUPDQFHIRUFRPSOHWLQJDQDJJUHJDWLRQUHODWHGDFWLYLW\WKDWLQYROYHV&58'RSHUDWLRQVDFURVVPXOWLSOHGDWDEDFNHQG
V\VWHPVFDQYDU\VLJQLILFDQWO\GHSHQGLQJRQWKHGDWDUHODWLRQVKLSV

,QWKHEHVWFDVHVFHQDULR&58'RSHUDWLRQVFDQEHSDUDOOHOL]HG7KLVLVPRVWO\WUXHLQVLWXDWLRQVZKHUHWKHGDWDLQVWDQFHV
FDQEHUHVROYHGXVLQJWKHVDPHUHIHUHQFHDQGWKHGDWDUHIHUHQFHDOZD\VUHVROYHVWRDXQLTXHLQVWDQFH)RUH[DPSOHLI
WKHVRFLDOVHFXULW\QXPEHULVWKHRQO\NH\XVHGIRUTXHU\LQJDQGDJJUHJDWLQJGDWDDFURVVGDWDVWRUHVWKDWSDUWLFXODU
TXHU\FDQEHLVVXHGLQSDUDOOHO

,QWKHZRUVWFDVHVFHQDULRWKH&58'RSHUDWLRQVDUHVHULDOL]HGDFURVVGDWDVWRUHV6HULDOL]HGRSHUDWLRQLVFRPPRQLQ
VLWXDWLRQVZKHUHWKHUHIHUHQFHVXVHGIRUUHVROYLQJGDWDLQVWDQFHVKDYHGHSHQGHQFLHVRQRWKHUGDWDLQVWDQFHV$VDVLPSOH
LOOXVWUDWLRQOHW
VVXSSRVHZHQHHGWRDJJUHJDWHGDWDIURPWKH+5DQG%HQHILWVGDWDEDVHVDQGWKHLQVWDQFHUHIHUHQFHVDUH
HPSOR\HH,'DQGVRFLDOVHFXULW\,'UHVSHFWLYHO\,IWKHRQO\LQLWLDONH\ZHKDYHIRUWKHTXHU\LVWKHHPSOR\HH,'DQGWKH
VRFLDOVHFXULW\,'FDQRQO\EHREWDLQHGIURPWKH+5GDWDEDVHWKHQZHZLOOQHHGWRVHULDOL]HWKHTXHU\LQWKHIROORZLQJ
RUGHU

4XHU\WKH+5GDWDEDVHXVLQJWKHHPSOR\HH,'DVWKHNH\
([WUDFWWKHVRFLDOVHFXULW\QXPEHUIURPWKHDERYHTXHU\UHVXOWV
4XHU\WKHEHQHILWVGDWDEDVH
$JJUHJDWHWKHTXHU\UHVXOWV

5HSOLFDWLRQLVDFRPPRQWHFKQLTXHXVHGWRDGGUHVVSHUIRUPDQFHGHJUDGDWLRQGXHWR&58'RSHUDWLRQVDFURVVGDWD
VWRUHV7RDGGUHVVWKHSHUIRUPDQFHLVVXHDSRUWLRQRIWKHEDFNHQGGDWDDWWULEXWHVPD\EHUHSOLFDWHGWRDVWRUH
PDLQWDLQHGE\WKHLGHQWLW\DJJUHJDWLRQVHUYLFH,QDGGLWLRQWKHORFDOFRS\RIWKHUHSOLFDWHGGDWDFDQEHIXUWKHUGH
QRUPDOL]HGWRKHOSLPSURYHWKH&58'SHUIRUPDQFH

F 6\QFKURQL]LQJ'DWD
'DWDV\QFKURQL]DWLRQLVQHHGHGLQVLWXDWLRQVZKHQRQHRUERWKRIWKHIROORZLQJFRQGLWLRQVDUHWUXH

'XSOLFDWHLGHQWLW\DWWULEXWHVH[LVWLQPXOWLSOHEDFNHQGVWRUHV
'DWDLVUHSOLFDWHGWRDQLQWHUPHGLDWHLGHQWLW\DJJUHJDWRUVWRUH

+RZHYHUWKHXVHRIGDWDV\QFKURQL]DWLRQPD\DOVRLQWURGXFHRWKHUGHVLJQLVVXHV

KWWSVPVGQPLFURVRIWFRPHQXVOLEUDU\DD G SULQWHU DVS[ 


 ,GHQWLW\DQG$FFHVV0DQDJHPHQW

'DWDFRQIOLFWUHVROXWLRQ,QVLWXDWLRQVZKHUHWKHGDWDFDQEHXSGDWHGIURPPRUHWKDQRQHVRXUFHLWLVRIWHQHDV\
WRLQWURGXFHFRQIOLFWLQJGDWD6RPHFRPPRQSUDFWLFHVWRKHOSPLWLJDWHWKHVLWXDWLRQVDUHDVIROORZV
$VVLJQGDWDRZQHUVKLSSULRULW\VRWKDWLQWKHHYHQWRIFRQIOLFWZHZLOOXVHWKHDVVLJQHGDXWKRULW\
,QDFRQIOLFWWKHODVWZULWHUZLQV
6\QFKURQL]DWLRQWULJJHUV$FRXSOHRIFRPPRQDSSURDFKHVDUHVFKHGXOHGXSGDWHVDQGHYHQWQRWLILFDWLRQ
EDVHG

7UXVWDQG)HGHUDWLRQ
$VPHQWLRQHGLQWKHVLQJOHVLJQRQVHFWLRQIHGHUDWLRQRIIHUVDIRUPRIVLQJOHVLJQRQVROXWLRQ+RZHYHUIHGHUDWLRQLV
PRUHWKDQMXVWVLQJOHVLJQRQ)HGHUDWLRQLPSOLHVGHOHJDWLRQRIUHVSRQVLELOLWLHVKRQRUHGWKURXJKWUXVWUHODWLRQVKLSV
EHWZHHQIHGHUDWHGSDUWLHV$XWKHQWLFDWLRQLVMXVWRQHIRUPRIGHOHJDWHGUHVSRQVLELOLW\$XWKRUL]DWLRQSURILOH
PDQDJHPHQWSVHXGRQ\PVHUYLFHVDQGELOOLQJDUHRWKHUIRUPVRILGHQWLW\UHODWHGIXQFWLRQVWKDWPD\EHGHOHJDWHGWR
WUXVWHGSDUWLHV

7KHUHDUHWKUHHWHFKQRORJ\HOHPHQWVWKDWDUHFUXFLDOWRWKHFRQFHSWRIIHGHUDWLRQ

$IHGHUDWLRQSURWRFROWKDWHQDEOHVSDUWLHVWRFRPPXQLFDWH
$IOH[LEOHWUXVWLQIUDVWUXFWXUHWKDWVXSSRUWVDYDULHW\RIWUXVWPRGHOV
$QH[WHQVLEOHSROLF\PDQDJHPHQWIUDPHZRUNWKDWVXSSRUWVGLIIHULQJJRYHUQDQFHUHTXLUHPHQWV

)HGHUDWLRQSURWRFROVDUHWKH
ODQJXDJHV
WKDWDUHXVHGE\IHGHUDWLQJSDUWLHVWRFRPPXQLFDWHZLWKHDFKRWKHU6LQFH
IHGHUDWLRQLPSOLHVWKDWDUHVSRQVLELOLW\LVGHOHJDWHGWRDQGSHUIRUPHGE\DGLIIHUHQWSDUW\WKHSURWRFROPXVWDOORZ
LQGLYLGXDOVWRREWDLQ
FDSDELOLWLHV
HVVHQWLDOO\WDPSHUSURRIFODLPVWKDWDJLYHQLGHQWLW\KDVVXFFHVVIXOO\FRPSOHWHGDQ
DFWLRQRULVHQWLWOHGWRDFROOHFWLRQRISULYLOHJHV)RUH[DPSOHLQWKHFDVHRIIHGHUDWHGVLJQRQDQDXWKHQWLFDWHGLGHQWLW\
REWDLQVDFDSDELOLW\WKDWSURYHVWKDWWKHLQGLYLGXDOKDVVXFFHVVIXOO\DXWKHQWLFDWHGZLWKDQDSSURYHGDXWKHQWLFDWLRQ
VHUYLFH

,QDFRPSOH[EXVLQHVVZRUOGLWLVSRVVLEOHWRKDYHUHODWLYHO\FRPSOH[WUXVWVFKHPHVLQYROYLQJPXOWLSOHEXVLQHVVSDUWLHV
)HGHUDWLRQWHFKQRORJ\PXVWEHDEOHWRFDSWXUHWKHHVVHQFHRIWKRVHUHDOZRUOGWUXVWUHODWLRQVKLSVLQWRVLPSOHWR
XQGHUVWDQGEXWSRZHUIXOWUXVWPRGHOVWKDWZLOOKHOSHQDEOHYDULRXVEXVLQHVVVFHQDULRV6RPHFRPPRQWUXVWPRGHOV
LOOXVWUDWHGLQ)LJXUHDUHDVIROORZV

+XEDQGVSRNH
+LHUDUFKLFDO
3HHUWRSHHU:HERI7UXVW

)LJXUH&RPPRQWUXVWPRGHOV

7KHKXEDQGVSRNHPRGHOLVWKHVLPSOHVWWRXQGHUVWDQG,QWKLVPRGHOWKHUHLVDFHQWUDOEURNHUWKDWLVGLUHFWO\WUXVWHGE\
WKHIHGHUDWLQJSDUWLHV7KH(XURSHDQ8QLRQLVDQH[DPSOHRIWKLVIHGHUDWLRQPRGHOZKHUHWKH(8FRXQWULHVGLUHFWO\WUXVW
WKH(8ERG\WRSURYLGHFRPPRQHFRQRPLFJXLGHOLQHVDQGWUDGHRSSRUWXQLWLHVWRIHGHUDWHGSDUWLHV

KWWSVPVGQPLFURVRIWFRPHQXVOLEUDU\DD G SULQWHU DVS[ 


 ,GHQWLW\DQG$FFHVV0DQDJHPHQW

,QWKHKLHUDUFKLFDOPRGHOWZRSDUWLHVKDYHDQLQGLUHFWWUXVWUHODWLRQVKLSLIWKH\ERWKKDYHDWUXVWSDWKLQWKHLUUHVSHFWLYH
EUDQFKHVLQWKHKLHUDUFKLFDOWUHHWRDFRPPRQURRWDXWKRULW\7KH$PHULFDQSROLWLFDOV\VWHPGHPRQVWUDWHVWKLVWUXVW
PRGHO7KLVSROLWLFDOV\VWHPKDVIHGHUDOVWDWHFRXQW\DQGORFDOFLW\SROLWLFDOERGLHVHDFKH[LVWLQJDWYDULRXVOHYHOVRIWKH
KLHUDUFK\

7KHSHHUWRSHHUPRGHOUHSUHVHQWVDFROOHFWLRQRIDGKRFGLUHFWWUXVWUHODWLRQVKLSV3HUVRQDOUHODWLRQVKLSVEHWZHHQ
IULHQGVLQWKHSK\VLFDOZRUOGDUHJRRGH[DPSOHVRIWKLVWUXVWPRGHO1RWHWKDWLWLVDOVRSRVVLEOHWRH[WHQGDQGIRUPQHZ
QHWZRUNVRIIHGHUDWLRQVWKDWFRQVLVWRIGLIIHUHQWWUXVWPRGHOVRUK\EULGPRGHOV

$EDVLFSROLF\PDQDJHPHQWIUDPHZRUNPXVWDOORZSROLFLHVWREHFUHDWHGGHOHWHGPRGLILHGDQGGLVFRYHUHG,QRUGHUWR
SURPRWHIHGHUDWHGV\VWHPVWKDWHQDEOHQHZEXVLQHVVPRGHOVDQGSDUWQHUVKLSVWREHTXLFNO\LQWHJUDWHGWKHSROLF\
PDQDJHPHQWIUDPHZRUNPXVWDOVREHH[WHQVLEOHWRUHIOHFWWKHG\QDPLFLW\RIWKHHQYLURQPHQWLWDLPVWRVXSSRUW

6RPHH[DPSOHVRIDSSOLFDWLRQSROLFLHVWKDWDUHUHOHYDQWLQWKHIHGHUDWHGZRUOGDUH

7UXVWHGLVVXHURILGHQWLW\UHODWHGFDSDELOLWLHV
7KHW\SHVRIFDSDELOLWLHVUHTXLUHGWRLQYRNHDQDSSOLFDWLRQ
VRSHUDWLRQ
7KHNLQGVRILGHQWLW\LQIRUPDWLRQWKDWWKHDSSOLFDWLRQH[SHFWVLQFDSDELOLWLHV
7KHNLQGVRISULYLOHJHVWKDWDQLGHQWLW\PXVWGHPRQVWUDWHLQRUGHUWRLQYRNHDVHUYLFH

$XGLWLQJ
$XGLWLQJLQWKHFRQWH[WRI, $0LVDERXWNHHSLQJUHFRUGVRI
ZKRGLGZKDWZKHQ
ZLWKLQWKH,7LQIUDVWUXFWXUH)HGHUDO
UHJXODWLRQVVXFKDVWKH6DUEDQHV2[OH\$FWDUHNH\GULYHUVRIWKHLGHQWLW\UHODWHGDXGLWLQJUHTXLUHPHQWV

D ,7$XGLW3URFHVV
7KH,7DXGLWSURFHVVW\SLFDOO\LQYROYHVWKHIROORZLQJSKDVHVDVLOOXVWUDWHGLQ)LJXUH

$XGLWJHQHUDWLRQ
'DWDFROOHFWLRQDQGVWRUDJH
$QDO\VLVDQGIHHGEDFN

KWWSVPVGQPLFURVRIWFRPHQXVOLEUDU\DD G SULQWHU DVS[ 


 ,GHQWLW\DQG$FFHVV0DQDJHPHQW

)LJXUH,7DXGLWSURFHVV

$XGLWWUDLOVFDQEHJHQHUDWHGE\GLIIHUHQWLQIUDVWUXFWXUHDQGDSSOLFDWLRQFRPSRQHQWVIRUGLIIHUHQWSXUSRVHV)RUH[DPSOH
ILUHZDOOVDQG931VHUYHUVFDQJHQHUDWHHYHQWVWRKHOSGHWHFWH[WHUQDOLQWUXVLRQVPLGGOHZDUHFRPSRQHQWVFDQJHQHUDWH
LQVWUXPHQWDWLRQGDWDWRKHOSGHWHFWSHUIRUPDQFHDQRPDOLHVDQGEXVLQHVVDSSOLFDWLRQVFDQSURGXFHDXGLWGDWDWRDLG
GHEXJJLQJRUFRPSO\ZLWKUHJXODWRU\DXGLWUHTXLUHPHQWV

$IWHUWKHDXGLWGDWDKDVEHHQSURGXFHGLWQHHGVWREHFROOHFWHGDQGVWRUHG7KHUHDUHWZRPDLQPRGHOVWRFRQVLGHU
KHUHGLVWULEXWHGDQGFHQWUDOL]HG,QWKHGLVWULEXWHGPRGHODXGLWGDWDW\SLFDOO\UHPDLQVLQWKHV\VWHPZKHUHWKHGDWDLV
JHQHUDWHG:LWKWKHFHQWUDOL]HGDSSURDFKGDWDLVVHQWWRDFHQWUDOFROOHFWLRQDQGGDWDVWRUDJHIDFLOLW\

2QFHWKHGDWDLVFROOHFWHGWKH\PD\EHSURFHVVHGDQGDQDO\]HGDXWRPDWLFDOO\RUPDQXDOO\7KHDXGLWDQDO\VLVLV
GHVLJQHGWROHDGWRFRQFOXVLRQVRQZKDWFRUUHFWLYHDFWLRQVLIDQ\DUHQHHGHGWRLPSURYHWKH,7V\VWHPVDQGSURFHVVHV

E $XGLW6\VWHPV'HVLJQ&RQVLGHUDWLRQV
*LYHQWKHW\SLFDODXGLWLQJSURFHVVGHVFULEHGLQWKHSUHYLRXVVHFWLRQVWKHUHDUHVHYHUDOFRQVLGHUDWLRQVWKDWDUHLPSRUWDQW
WRWKHGHVLJQRIDXGLWLQJV\VWHPV

/RFDOLW\RIDXGLWJHQHUDWLRQDQGVWRUDJH
6HSDUDWLRQRIDXGLWRU
VUROH
)ORZRIDXGLWHGHYHQWV

2QFHDQDXGLWWUDLOLVJHQHUDWHGWKHDXGLWGDWDFDQEHVWRUHGORFDOO\RQWKHVDPHV\VWHPRUWUDQVIHUUHGWRDQRWKHU
VWRUDJHORFDWLRQ7KLVFRQVLGHUDWLRQLVLPSRUWDQWIURPDVHFXULW\SHUVSHFWLYHDVDXGLWGDWDFDQEHHDVLHUWRFKDQJHDQG
PRGLI\LILWLVVWRUHGRQWKHVDPHV\VWHPWKDWJHQHUDWHVLW7KLVSRLQWFDQEHLOOXVWUDWHGE\DVLPSOHH[DPSOHLQWKHHYHQW
WKDWDV\VWHPKDVEHHQFRPSURPLVHGWKHDWWDFNHUPLJKWEHDEOHWRPRGLI\WKHDXGLWWUDLORQWKHORFDOV\VWHPWRFRYHU
XSWKHKDFNLQJDWWHPSW7KHUHIRUHIRUKLJKHUDVVXUDQFHDJDLQVWVXFKDWWDFNV\RXPLJKWZDQWWKHDXGLWV\VWHPWRVWRUH
WKHGDWDVHSDUDWHO\RQDUHPRWHPDFKLQH

KWWSVPVGQPLFURVRIWFRPHQXVOLEUDU\DD G SULQWHU DVS[ 


 ,GHQWLW\DQG$FFHVV0DQDJHPHQW

5ROHVHSDUDWLRQLVDFRPPRQEHVWSUDFWLFHWRKHOSPLQLPL]HWKHRFFXUUHQFHRILOOHJDODFWLYLWLHVUHVXOWLQJIURPDFWLRQVWKDW
PLJKWFLUFXPYHQWDFFRXQWDELOLW\FKHFNV)RUH[DPSOHDFRUSRUDWHDFTXLVLWLRQRIILFHUVKRXOGQRWEHDEOHWRDSSURYH
SXUFKDVLQJUHTXHVWV,QWKHILHOGRI,7DXGLWLWLVFRPPRQSUDFWLFHWRVHSDUDWHWKHV\VWHPDGPLQLVWUDWRUUROHIURPWKH
DXGLWRU
VUROH'RLQJVRSUHYHQWVWKHV\VWHPDGPLQLVWUDWRUZKRXVXDOO\KDV
JRGVWDWXV
RQFRPSXWHUVWRFRYHUXSDXGLW
WUDLOVRIXQDXWKRUL]HGDFWLYLWLHV

,QDGLVWULEXWHGGHVLJQPRGHOZKHUHDXGLWGDWDLVJHQHUDWHGDQGVWRUHGLQGLIIHUHQWV\VWHPVRQO\DOORZLQJGDWDWRIORZ
RXWRIWKHDXGLWJHQHUDWLRQV\VWHPVFDQDGGDQRWKHUOHYHORIVDIHJXDUG7KLVSUHYHQWLYHPHDVXUHUHGXFHVWKHFKDQFHVRI
WDPSHUHGDXGLWGDWDUHSODFLQJDFWXDOWUDLOV

,QDGGLWLRQLGHQWLW\DXGLWLQJLQIUDVWUXFWXUHVDUHDOVRH[SHFWHGWREH

(IILFLHQW W\SLFDOO\PHDQVDPHVVDJHEDVHGDV\QFKURQRXVFRPPXQLFDWLRQFKDQQHO 
$YDLODEOH W\SLFDOO\PHDQVGLVWULEXWHGFOXVWHUHGDQGIDXOWWROHUDQW 
$FFXUDWH NHHSDFFXUDWHUHFRUGVDQGWUDFHV 
1RQUHSXGLDWHG FDQEHDGPLWWHGLQWRWKHFRXUWVRIODZDVHYLGHQFHW\SLFDOO\PHDQVWKHUHFRUGVQHHGWREH
GLJLWDOO\VLJQHG 

&RQFOXVLRQV
2UJDQL]DWLRQVDUHPDGHXSRISHRSOHDQGV\VWHPVUHSUHVHQWHGZLWKLQWKH,7V\VWHPVDVGLJLWDOLGHQWLWLHV(YHU\WKLQJWKDW
RFFXUVLQEXVLQHVVHVLVWKHFRQVHTXHQFHRIDFWLRQVLQLWLDWHGE\DQGIRUWKRVHLGHQWLWLHV:LWKRXWLGHQWLWLHV HYHQ
DQRQ\PRXVLGHQWLWLHV WKHUHZRXOGEHQRDFWLYLWLHVDQGEXVLQHVVHVZRXOGEHOLIHOHVVFRQVWUXFWV

$WWKHKLJKHVWOHYHO62$FDQEHVHHQDVDZD\WRRUJDQL]HWKHEXVLQHVV,7LQIUDVWUXFWXUHWKDWH[HFXWHVDQGPDQDJHV
EXVLQHVVDFWLYLWLHV7KHUHIRUHHQWHUSULVHVVHHNLQJWRUHDOL]H62$PXVWILJXUHRXWKRZWRUHVROYHWKHLGHQWLW\DQGDFFHVV
PDQDJHPHQWFKDOOHQJHVWKH\IDFHWRGD\:HKDYHSURYLGHGDQRYHUYLHZRQDIHZNH\VWHFKQRORJ\DUHDV

$FKLHYLQJXVHUDQGDSSOLFDWLRQVLQJOHVLJQRQ
$JJUHJDWLQJWUDQVIRUPLQJV\QFKURQL]LQJDQGSURYLVLRQLQJLGHQWLW\GDWDIURPYDULRXVLGHQWLW\V\VWHPV
0DQDJLQJDFFHVVWREXVLQHVVIXQFWLRQVDQGGDWDXVLQJUROHVDQGUXOHV
)HGHUDWLQJZLWKEXVLQHVVSDUWQHUV
$XGLWLQJLGHQWLW\UHODWHGDFWLYLWLHV

:HDOVRKRSHWKDWWKHWHFKQLFDOGLVFXVVLRQVRQFKDOOHQJHVKDYHKHOSHGWKHUHDGHUVJDLQVRPHDSSUHFLDWLRQRIWKH
SURGXFWVDQGVROXWLRQVLQWKLVVSDFH

2XUILQDOFRQFOXVLRQLV,GHQWLW\DQGDFFHVVPDQDJHPHQWLVDFRUQHUVWRQHWRUHDOL]LQJ62$6KRZPHDQHQWHUSULVHWKDW
FODLPVWREH62$FFHVVIXODQG,
OOVKRZ\RXDQHQWHUSULVHWKDWKDVJRRGKDQGOHRQLWVLGHQWLW\DQGDFFHVVPDQDJHPHQW

5HIHUHQFHV
&RQWH[WGHILQHVWKHERXQGDU\LQVLGHRIZKLFKDQLGHQWLW\LVXVHG7KHERXQGDU\FRXOGEHEXVLQHVVRUDSSOLFDWLRQ
UHODWHG)RUH[DPSOH$OLFHPD\XVHDZRUNLGHQWLW\ZLWKWKHLGHQWLILHU$OLFH#:DOO6WUHHW$FHFRPWRLGHQWLI\KHUVHOIDWKHU
:DOO6WUHHWHPSOR\HU :DOO6WUHHW$FH DVZHOODVWRH[HFXWHDVWRFNWUDGHLQ1<6(+HU:DOO6WUHHWHPSOR\HUDQGWKH
1<6(ZRXOGEHWZRGLIIHUHQWEXVLQHVVFRQWH[WVZKHUHWKHVDPHLGHQWLILHULVXVHG62$&KDOOHQJHV(QWLW\$JJUHJDWLRQ
5DPNXPDU.RWKDQGDUDPDQ1(7$UFKLWHFWXUH&HQWHU0D\ 85/
KWWSPVGQPLFURVRIWFRPDUFKLWHFWXUHGHIDXOWDVS["
SXOO OLEUDU\HQXVGQEGDKWPOGQJUIVRDFKDOOHQJHVHQWLW\DJJUHJDWLRQDVS

(QWHUSULVH,GHQWLW\0DQDJHPHQW,W
V$ERXWWKH%XVLQHVV-DPLH/HZLV7KH%XUWRQ*URXS'LUHFWRU\DQG6HFXULW\6WUDWHJLHV
KWWSVPVGQPLFURVRIWFRPHQXVOLEUDU\DD G SULQWHU DVS[ 
 ,GHQWLW\DQG$FFHVV0DQDJHPHQW

5HSRUWY-XO\QG

7KHWHUPOLIHF\FOHZKHQXVHGLQWKHFRQWH[WRIGLJLWDOLGHQWLWLHVLVVRPHZKDWLQDSSURSULDWHVLQFHGLJLWDOLGHQWLWLHVDUH
W\SLFDOO\QRWUHF\FOHG+RZHYHUVLQFHWKHSKUDVHLGHQWLW\OLIHF\FOHPDQDJHPHQWLVZHOOHQWUHQFKHGLQWKH,7
FRPPXQLW\ZHZLOOVWLFNZLWKWKHOLIHF\FOHWHUPLQRORJ\0LFURVRIW,GHQWLW\DQG$FFHVV0DQDJHPHQW6HULHV0LFURVRIW
&RUSRUDWLRQ0D\WK 85/KWWSZZZPLFURVRIWFRPGRZQORDGVGHWDLOVDVS[")DPLO\,G (&
%)$%%)(''' GLVSOD\ODQJ HQ

(QWHUSULVH,GHQWLW\0DQDJHPHQW(VVHQWLDO62$3UHUHTXLVLWH=DSIODVK-DVRQ%ORRPEHUJ=DSIODVK-XQHWK 85/
KWWSZZZ]DSWKLQNFRPUHSRUWKWPO"LG =DS)ODVK

$ERXWWKHDXWKRU
)UHGHULFN&KRQJLVDVROXWLRQVDUFKLWHFWLQWKH0LFURVRIW$UFKLWHFWXUH6WUDWHJ\7HDPZKHUHKHGHOLYHUVJXLGDQFHRQ
LQWHJUDWLQJDSSOLFDWLRQVZLWKLGHQWLW\DQGDFFHVVPDQDJHPHQWWHFKQRORJLHV+HGLVFRYHUHGKLVLQWHUHVWLQVHFXULW\ZKLOH
SURWRW\SLQJDQHOHFWURQLFFDVKSURWRFROLQWKHQHWZRUNVHFXULW\JURXSDWWKH,%07-:DWVRQ5HVHDUFK&HQWHU6LQFH
WKHQKHKDVLPSOHPHQWHGVHFXULW\IHDWXUHVDQGOLFHQVLQJHQIRUFHPHQWSURWRFROLQ0LFURVRIWSURGXFWWHDPVDQG
FROODERUDWHGZLWKYDULRXVHQWHUSULVHFXVWRPHUVWRDUFKLWHFWDQGLPSOHPHQWDYDULHW\RIVHFXULW\VROXWLRQVLQFOXGLQJZHE
VLQJOHVLJQRQ66/931DQGZHEVHUYLFHVVHFXULW\SURWRFRO+HFDQEHUHDFKHGDWIUHGFK#PLFURVRIWFRP

7KLVDUWLFOHZDVSXEOLVKHGLQWKH$UFKLWHFWXUH-RXUQDODSULQWDQGRQOLQHSXEOLFDWLRQSURGXFHGE\0LFURVRIW)RUPRUH
DUWLFOHVIURPWKLVSXEOLFDWLRQSOHDVHYLVLWWKH$UFKLWHFWXUH-RXUQDOZHEVLWH

0LFURVRIW&RUSRUDWLRQ$OOULJKWVUHVHUYHG

0LFURVRIW

KWWSVPVGQPLFURVRIWFRPHQXVOLEUDU\DD G SULQWHU DVS[ 

You might also like