=Paper=
{{Paper
|id=Vol-2926/paper4
|storemode=property
|title=Natural Language Processing Tool for Extraction of Patient-reported Outcomes from a National Multi-EHR Registry
|pdfUrl=https://ceur-ws.org/Vol-2926/paper4.pdf
|volume=Vol-2926
|authors=Marie Humbert-Droz,Zara Izadi,Gabriela Schmajuk,Jinoos Yazdany,Suzanne Tamang
|dblpUrl=https://dblp.org/rec/conf/ijcai/Humbert-DrozISY21
}}
==Natural Language Processing Tool for Extraction of Patient-reported Outcomes from a National Multi-EHR Registry
==
https://ceur-ws.org/Vol-2926/paper4.pdf
/BUVSBM -BOHVBHF 1SPDFTTJOH UPPM GPS FYUSBDUJPO PG
QBUJFOUSFQPSUFE PVUDPNFT GSPN B OBUJPOBM NVMUJ&)3
SFHJTUSZ
.BSJF )VNCFSU%SP[ ;BSB *[BEJ (BCSJFMB 4DINBKVL +JOPPT :B[EBOZ BOE
4V[BOOF 5BNBOH
4UBOGPSE 6OJWFSTJUZ 4DIPPM PG .FEJDJOF 4UBOGPSE $BMJGPSOJB
6OJWFSTJUZ PG $BMJGPSOJB 4BO 'SBODJTDP 4BO 'SBODJTDP $BMJGPSOJB
"CTUSBDU
1BUJFOUSFQPSUFE PVUDPNFT 130 BSF JNQPSUBOU NFBTVSFT PG RVBMJUZ PG MJGF GPS DISPOJDBMMZ JMM QBUJFOUT 5IFTF JOEJDBUPST
BSF PॎFO EJसDVMU UP BDDFTT CFDBVTF UIFZ BSF EPDVNFOUFE JO UIF DMJOJDBM OPUFT 8F QSPQPTF B OBUVSBM MBOHVBHF QSPDFTTJOH
QJQFMJOF UP FYUSBDU 130T EFWFMPQFE VTJOH EBUB GSPN B OBUJPOBM NVMUJFMFDUSPOJD IFBMUI SFDPSE &)3 SFHJTUSZ 0VS BQQSPBDI JT
SVMFCBTFE BOE HFOFSBM FOPVHI UP TVDDFTTGVMMZ FYUSBDU 130T GSPN OPUFT DPNJOH GSPN NPSF UIBO QSBDUJDFT VTJOH NPSF
UIBO EJवFSFOU &)3 CSBOET EFNPOTUSBUJOH B HSFBU HFOFSBMJ[BCJMJUZ BOE QPUFOUJBM GPS USBOTQPSUBCJMJUZ
,FZXPSET
1BUJFOUSFQPSUFE PVUDPNF $MJOJDBM OBUVSBM MBOHVBHF QSPDFTTJOH )FBMUI JOGPSNBUJPO TZTUFNT
*OUSPEVDUJPO FYUSBDUJPO PG EBUB JT LFZ IFSF BT JU BMMPXT QSBDUJDFT UP
DPOUSJCVUF &)3 EBUB UIBU JT DPMMFDUFE EVSJOH UIF DPVSTF
1BUJFOUSFQPSUFE PVUDPNFT 130T BSF JNQPSUBOU NFB PG SPVUJOF DMJOJDBM DBSF UIFSFCZ NJOJNJ[JOH JNQBDU PO
TVSFT PG RVBMJUZ PG MJGF GPS DISPOJDBMMZ JMM QBUJFOUT QPQVMB UIFJS XPSLषPX< >
UJPO IFBMUI NBOBHFNFOU PS DMJOJDBM EFDJTJPO TVQQPSU GPS 5IF EBUB DPMMFDUFE CZ 3*4& BMMPXT UIF DBMDVMBUJPO PG
FYBNQMF 5IFTF NFBTVSFT BSF GPVOE JO UIF DMJOJDBM OPUFT QFSGPSNBODF PO TQFDJशD RVBMJUZ NFBTVSFT TVDI BT BTTFTT
NBLJOH UIFJS BDDFTT GPS EJTFBTF USBDLJOH QPQVMBUJPO NFOU PG EJTFBTF BDUJWJUZ %" BOE GVODUJPOBM TUBUVT '4
IFBMUI NBOBHFNFOU BOE RVBMJUZ SFQPSUJOH DIBMMFOHJOH GPS SIFVNBUPJE BSUISJUJT QBUJFOUT 5IFTF UXP RVBMJUZ NFB
130T BSF FTQFDJBMMZ JNQPSUBOU JO SIFVNBUPJE BSUISJUJT TVSFT BSF PॎFO OPU BWBJMBCMF GSPN DPEFE EBUB SFTPVSDFT
3" B MFBEJOH DBVTF PG EJTBCJMJUZ JO UIF 6OJUFE 4UBUFT BOE BOE PCUBJOFE VTJOH TUBOEBSEJ[FE BOE WBMJEBUFE RVFTUJPO
NBOZ PUIFS DPVOUSJFT 'VODUJPOBM TUBUVT BTTFTTNFOUT BSF OBJSFT BCPVU UIFJS RVBMJUZ PG MJGF 5IFTF RVFTUJPOOBJSFT
JNQPSUBOU PVUDPNF NFBTVSF JO 3" DMJOJDBM USJBMT BOE IBWF BSF SFGFSSFE UP BT QBUJFOU SFQPSUFE PVUDPNF 130 JO
CFFO TIPXO UP CF TUSPOH QSFEJDUPST PG GVUVSF EJTBCJMJUZ TUSVNFOUT BOE DBO CF GPS HFOFSBM IFBMUI PS TQFDJशD UP B
BOE NPSUBMJUZ<> *O BEEJUJPO 130T IBWF CFFO TVDDFTT EJTFBTF PS DPOEJUJPO *O UIF DBTF PG 3" QBUJFOUT UIFSF JT B
GVMMZ VTFE UP JOGPSN FWJEFODFCBTFE USFBUNFOU EFDJTJPOT NVMUJUVEF PG EJवFSFOU JOTUSVNFOUT NFBTVSJOH EJTFBTF BD
BOE FOHBHF UIF QBUJFOU JO EFDJTJPONBLJOH GBDJMJUBUJOH UJWJUZ PS GVODUJPOBM TUBUVT 5XP DPNNPOMZ VTFE NFBTVSFT
NPSF QBUJFOUDFOUFSFE DBSF< > PG EJTFBTF BDUJWJUZ BSF UIF 3PVUJOF "TTFTTNFOU PG 1BUJFOU
8F BSF VTJOH EBUB GSPN UIF 3IFVNBUPMPHZ *OGPSNBU *OEFY 3"1*% BOE $MJOJDBM %JTFBTF "DUJWJUZ *OEFY
JDT 4ZTUFN GPS &वFDUJWFOFTT 3*4& 3*4& JT B OBUJPOBM $%"* RVFTUJPOOBJSFT<> 'VODUJPOBM TUBUVT BTTFTTNFOU
&)3FOBCMFE SFHJTUSZ UIBU QBTTJWFMZ DPMMFDUT EBUB GSPN JT PCUBJOFE XJUI UIF )FBMUI "TTFTTNFOU 2VFTUJPOOBJSF
&)3T PG QBSUJDJQBUJOH QSBDUJDFT *U IBT CFFO EFWFMPQFE )"2 PS POF PG JUT WFSTJPOT<> &BDI JOTUSVNFOU IBT
CZ UIF "NFSJDBO $PMMFHF PG 3IFVNBUPMPHJTUT "$3 UP B OVNCFS PG DPNQPOFOUT UIBU BSF UIFO BEEFE UP ZJFME
CVJME EJHJUBM SFTFBSDI JOGSBTUSVDUVSF OBUJPOBMMZ BOE GBDJM UIF UPUBM TDPSF 'PS FYBNQMF UIF $%"* JOTUSVNFOU IBT
JUBUF RVBMJUZ SFQPSUJOH 5IF SFHJTUSZ QBTTJWFMZ FYUSBDUT GPVS DPNQPOFOUT TXPMMFO KPJOUT DPVOUT UFOEFS KPJOUT
EBUB GSPN QSBDUJDFT BHHSFHBUFT BOE BOBMZTFT JU DFOUSBMMZ DPVOUT QBUJFOU HMPCBM BTTFTTNFOU BOE QIZTJDJBO HMPCBM
BOE GFFET UIF JOGPSNBUJPO CBDL UP DMJOJDJBOT JO UIF GPSN BTTFTTNFOU 5IF TVN PG FBDI TDPSF ZJFMET UIF UPUBM $%"*
PG B EBTICPBSE TVNNBSJ[JOH QFSGPSNBODF 5IF QBTTJWF TDPSF TFF 'JHVSF D GPS BO FYBNQMF
.BOBHFNFOU PG QBUJFOUT XJUI 3" GPDVT PO FBSMZ JOUFS
"*'VODUJPO
WFOUJPO BOE B USFBUUPUBSHFU HPBM PG SFNJTTJPO PS MPX EJT
£ NIESP[!TUBOGPSEFEV . )VNCFSU%SP[ [BSBJ[BEJ!VDTGFEV
; *[BEJ HBCSJFMBTDINBKVL!VDTGFEV ( 4DINBKVL FBTF BDUJWJUZ<> 5IJT TUSBUFHZ IBT CFFO TIPXO FवFDUJWF
KJOPPTZB[EBOZ!VDTGFEV + :B[EBOZ TUBNBOH!TUBOGPSEFEV JO SFEVDJOH EJTFBTF BDUJWJUZ BOE KPJOU EBNBHF CVU EPFT
4 5BNBOH OPU BDDPVOU GPS UIF QBUJFOU۟T XFMMCFJOH JNQSPWFNFOU<>
i $PQZSJHIU GPS UIJT QBQFS CZ JUT BVUIPST 6TF QFSNJUUFE VOEFS $SFBUJWF
$PNNPOT -JDFOTF "UUSJCVUJPO *OUFSOBUJPOBM $$ #: 5IF VTF PG QBUJFOU SFQPSUFE PVUDPNFT 130T BMMPX UP
CEUR
Workshop
Proceedings
http://ceur-ws.org
ISSN 1613-0073
$&63 8PSLTIPQ 1SPDFFEJOHT $&6384PSH
36
1PSUBCJMJUZ BOE "DDPVOUBCJMJUZ "DU )*1"" <> 8F QSP
DFTTFE OPUFT GSPN +BOVBSZ UP %FDFNCFS
DPNJOH GSPN QSBDUJDFT BOE &)3 CSBOET &BSMJFS
OPUFT +BOVBSZ UP %FDFNCFS XFSF VTFE
GPS UIF QJQFMJOF EFWFMPQNFOU 0WFS NJMMJPO OPUFT GPS
QBUJFOUT XFSF QSPDFTTFE UISPVHI UIF QJQFMJOF
$IBMMFOHFT GPS EFWFMPQJOH B
SVMFCBTFE /-1 TZTUFN XJUI NVMUJQMF
&)3 QSPEVDUT
%VF UP UIF MBSHF OVNCFS PG EJवFSFOU QSBDUJDFT BOE &)3
CSBOET VTFE GPS UIF EFWFMPQNFOU PG UIJT QJQFMJOF POF PG
UIF JOJUJBM DIBMMFOHFT XBT UP IBSNPOJ[F UIF SBX OPUFT
.BOZ SBX OPUFT DPOUBJOFE GPSNBUUJOH BOE 9.- UBHT
UIBU JOUSPEVDF B TJHOJशDBOU BNPVOU PG OPJTF BOE BSUJशDJBM
BSUFGBDUT JO UIF OPUFT NBLJOH JU EJसDVMU UP EFWFMPQ B
SVMFCBTFE TZTUFN UP FYUSBDU 130 JOTUSVNFOUT BOE UIFJS
BTTPDJBUFE TDPSFT %JवFSFOU QSBDUJDFT NBZ BMTP IBWF EJG
GFSFOU TUZMFT BOE UFNQMBUFT GPS UIFJS OPUFT 4PNF NBZ
IBWF B TFNJTUSVDUVSFE UFNQMBUF GPS SFQPSUJOH UFTU SF
TVMUT GPS FYBNQMF 4PNF NBZ SFQPSU 130T EJवFSFOUMZ
'PS FYBNQMF GPS DPNQPTJUF BTTFTTNFOUT MJLF $%"* TPNF
QSPWJEFST NBZ SFQPSU UIF EFUBJMFE SFTVMUT GPS FBDI DPNQP
OFOU CFGPSF SFQPSUJOH UIF UPUBM TDPSF 'JHVSF D 0UIFS
QSPWJEFST NBZ SFQPSU UIF TDPSF JOUFSQSFUBUJPO XJUI 'JH
VSF B PS XJUIPVU 'JHVSF F UIF OVNFSJDBM TDPSF
'JOBMMZ UIF EFJEFOUJशDBUJPO QSPDFTT BMTP MFE UP DIBM
MFOHFT GPS PVS /-1 UPPM EFWFMPQNFOU 4PNF JOTUSVNFOU
OBNFT BOEPS TDPSFT BT XFMM BT EBUFT IBWF CFFO SFNPWFE
GSPN UIF PSJHJOBM OPUFT
1JQFMJOF EFTDSJQUJPO
5IF 130 BOE BTTPDJBUFE TDPSFT FYUSBDUJPO QJQFMJOF 'JH
VSF JT DPOTUJUVUFE PG UISFF TUFQT 5IF शSTU TUFQ PG JT B
UFYU DMFBOJOH TUFQ 5IF TFDPOE TUFQ JT UIF BOOPUBUJPO TUFQ
XIFSF UIF DPODFQUT PG JOUFSFTU BOE TDPSFT BSF BOOPUBUFE
'JHVSF 1JQFMJOF EFTDSJQUJPO 'JOBMMZ UIF QPTUQSPDFTTJOH TUFQ JT B TVDDFTTJPO PG DMFBO
JOH GVODUJPOT UIBU GPSNBU UIF NFOUJPOT BOE QFSGPSNT UIF
TDPSF SFTPMVUJPO
BDDPVOU GPS UIF QBUJFOU۟T QFSTQFDUJWF JO UIF BTTFTTNFOU 5IF QSFQSPDFTTJOH PG UIF SBX UFYU UP IBSNPOJ[F UIF
PG EJTFBTF JNQBDU BOE EJTFBTF BDUJWJUZ XJUI UIF HPBM PG OPUFT BOE DMFBO PVU UIF UFYU PG BOZ 9.- PS GPSNBUUJOH
QSPWJEJOH QBUJFOUDFOUFSFE DBSF VMUJNBUFMZ JNQSPWJOH NBSLVQ TFF 'JHVSF GPS BO JMMVTUSBUJWF FYBNQMF 5IF
PVUDPNFT $PMMFDUJOH 130T QSPWJEFT VTFGVM JOGPSNBUJPO GPSNBUUJOH NBSLVQ JT DMFBOFE VTJOH SFHVMBS FYQSFTTJPOT
BCPVU UIF JNQBDU PG 3" PO B QBUJFOU۟T RVBMJUZ PG MJGF BOE BOE UIF UFYU JT FYUSBDUFE GSPN UIF 9.- NBSLVQ VTJOH UIF
NPOJUPS UIF FवFDUT PG JOUFSWFOUJPOT #FBVUJGVM4PVQ QBDLBHF<> /FYU UIF OPUF JT UPLFOJ[FE
VTJOH B TQBDZ QJQFMJOF <> VTJOH UIF FO@DPSF@TDJ@NE
MBOHVBHF NPEFM CZ TDJTQBDZ <> " UFSNJOPMPHZ DV
.BUFSJBMT BOE NFUIPET SBUFE CZ EPNBJO FYQFSUT JT VTFE BT UIF TPVSDF GPS B TUSJOH
NBUDIJOH NPEVMF UP BOOPUBUF 130 NFOUJPOT BOE OPO
8F SFDFJWFE EFJEFOUJशFE OPUFT GSPN 3*4& XIFSF NFO OVNFSJDBM TDPSFT 4PNFUJNFT UIF TDPSF SFTVMUJOH GSPN
UJPOT PG QFSTPOBMMZ JEFOUJशBCMF JOGPSNBUJPO TVDI BT UIF RVFTUJPOOBJSF JT OPU EPDVNFOUFE JO UIF OPUF *OTUFBE
OBNFT EBUFT PS ;*1 DPEFT GPS FYBNQMF XFSF BVUPNBUJ UIF DMJOJDBM JOUFSQSFUBUJPO PG UIF EJTFBTF BDUJWJUZ PS GVOD
DBMMZ SFNPWFE JO DPNQMJBODF XJUI UIF )FBMUI *OTVSBODF UJPOBM TUBUVT JT 5IJT JOUFSQSFUBUJPO JT XIBU XF SFGFS UP
37
'JHVSF 4OJQQFU FYBNQMFT GPS UIF QSFQSPDFTTJOH TUFQ
'JHVSF 4OJQQFU FYBNQMFT GPS TPNF DIBMMFOHJOH FYUSBDUJPOT
*OTUSVNFOUT OBNFT BSF PWFSMJOFE JO ZFMMPX 8IFO UIF TDPSF
BT OPOOVNFSJDBM TDPSF TFF 'JHVSF F GPS BO FYBNQMF JT QJDLFE VQ DPSSFDUMZ JU JT PWFSMJOFE JO HSFFO JO SFE XIFO JO
'JOBMMZ B TFU PG SVMFT UP JEFOUJGZ OVNCFST JO UIF QSPYJNJUZ DPSSFDU 'JOBMMZ UIF QVSQMF PWFSMJOF TIPXT BO FYBNQMF XIFSF
PG UIF 130 NFOUJPO JT VTFE UP SFTPMWF UIF TDPSF BTTPDJ UIFSF JT NFOUJPO UIBU B GPSN XBT HJWFO UP UIF QBUJFOU GPS
BUFE XJUI UIF NFOUJPO 5IF SVMFT BSF GBJSMZ TJNQMF BOE DPNQMFUJPO CVU OP TDPSF XBT SFDPSEFE
JEFOUJGZ OVNCFST BॎFS UIF JOTUSVNFOU NFOUJPO VQ UP UIF
FOE PG UIF TFOUFODF
'JOBMMZ UIF FYUSBDUJPOT BSF DMFBOFE PVU JO UIF QPTU
1FSGPSNBODF BTTFTTNFOU
QSPDFTTJOH TUFQ 5IJT MBTU TUFQ IBT UISFF NBKPS DPNQP
OFOUT 'JSTU OPOOVNFSJDBM TDPSFT UIBU XFSF EFUFDUFE CZ NFOUJPOT GSPN SBOEPNMZ TFMFDUFE OPUFT XFSF VTFE
UIF NBUDIJOH NPEVMF BSF BTTPDJBUFE XJUI UIFJS SFTQFDUJWF GPS NBOVBM DIBSU SFWJFX PG EJTFBTF BDUJWJUZ BOE GVODUJPOBM
130 NFOUJPO 5IJT QBSU JT EPOF BTTPDJBUJOH 130 NFO TUBUVT BTTFTTNFOU 5IF QFSGPSNBODF XBT FWBMVBUFE BU UIF
UJPOT BOE OPOOVNFSJDBM TDPSFT JO UIF TBNF TFOUFODF JO NFOUJPO MFWFM GPS TDPSF FYUSBDUJPO 1SFDJTJPO TFOTJUJWJUZ
DMPTF EJTUBODF UP FBDI PUIFS 5IFO TDPSFT UIBU BSF EPDV TQFDJशDJUZ XFSF FWBMVBUFE GPS FBDI NFOUJPOTDPSF QBJS
NFOUFE BT B GSBDUJPO SFQSFTFOUJOH 4$03&4$"-& TFF 0VU PG NFOUJPOT BTTPDJBUFE XJUI B TDPSF XFSF
'JHVSF C GPS BO FYBNQMF BSF SFTPMWFE 'JOBMMZ TPNF DPSSFDU BOE PVU PG NFOUJPOT XJUIPVU BTTPDJBUFE
NJOPS GPSNBUUJOH FSSPST BSF SFTPMWFE BOE TDPSFT PVUTJEF TDPSF JO UIF OPUF XFSF DPSSFDUMZ FYUSBDUFE 5IJT SFTVMUT
UIF 130TQFDJशD SBOHF BSF EJTDBSEFE UP B QSFDJTJPO PG SFDBMM PG BOE ' TDPSF PG
5IF शOBM PVUQVU DPOUBJOT HMPCBM BOOPUBUJPO UBCMFT 5IF PWFSBMM BDDVSBDZ PG UIF TZTUFN JT
SFBEZ GPS QPTUBOBMZTJT TDPSF EJTUSJCVUJPO QMPUT BOE B 8F BSF DPOUJOVJOH UP FYUFOE PVS NBOVBM DIBSU SFWJFX
TVNNBSZ TUBUJTUJDT GPS OVNFSJDBM TDPSFT POMZ UP EPDVNFOUT
3FTVMUT 4UBUJTUJDT PG /-1 FYUSBDUJPOT
"ॎFS QSPDFTTJOH UISPVHI UIF FYUSBDUJPO QJQFMJOF OPUFT
'JHVSF TIPXT TPNF FYBNQMFT PG UIF BOOPUBUJPO PVUQVU GSPN QSBDUJDFT ZJFMEFE 130 FYUSBDUJPOT 5IF SBX OPUFT
*OTUSVNFOU OBNFT BSF JO ZFMMPX UIF BTTPDJBUFE TDPSFT DBNF GSPN EJवFSFOU &)3 WFOEPST 5BCMF TIPXT B
BSF JO HSFFO XIFO DPSSFDU PS SFE XIFO JODPSSFDU *O TVNNBSZ TUBUJTUJDT PG BMM UIF EJवFSFOU JOTUSVNFOUT FY
'JHVSF B NPTU TDPSFT BSF QJDLFE VQ DPSSFDUMZ FYDFQU USBDUFE GSPN UIF OPUFT 3"1*% BOE $%"* XFSF UIF NPTU
GPS UIF TFDPOE $%"* NFOUJPO XIFSF UIF MPXFS CPVOE FYUSBDUFE EJTFBTF BDUJWJUZ JOTUSVNFOUT BOE .%)"2 UIF
PG UIF SBOHF JT QJDLFE VQ "OPUIFS DIBMMFOHJOH QBSU PG NPTU FYUSBDUFE GVODUJPOBM TUBUVT BTTFTTNFOU JOTUSVNFOU
FYUSBDUJOH TDPSFT BTTPDJBUFE XJUI B 130 JOTUSVNFOU JT SFषFDUJOH UIF HFOFSBM QPQVMBSJUZ PG UIFTF NFBTVSFT 5IF
FYFNQMJशFE JO 'JHVSF D XIFSF UIF TDPSF QJDLFE VQ SFTVMU SBOHF DPMVNO PG UIF UBCMF TIPXT UIF SBOHF PG UIF
JT GSPN B DPNQPOFOU PG UIF $%"* JOTUSVNFOU TXPMMFO FYUSBDUFE TDPSFT QSPWJEJOH B TBOJUZ DIFDL XJUI SFTQFDU UP
KPJOUT UIF WBMJEJUZ PG UIF TDPSF SFTPMVUJPO GPS FBDI JOTUSVNFOU
38
5BCMF
&YUSBDUJPO TUBUJTUJDT QFS JOTUSVNFOU
*OTUSVNFOU BTTFTTNFOUT QBUJFOUT QSBDUJDF %BUF SBOHF 3FTVMU SBOHF 5IFPSFUJDBM SBOHF
%JTFBTF "DUJWJUZ
3"1*%
$%"*
%"4
4%"*
'VODUJPOBM 4UBUVT
.%)"2
)"2
.)"2
)"2 **
'JHVSF 4DPSF EJTUSJCVUJPOT GPS BMM DPOTJEFSFE JOTUSVNFOUT
*OEFFE UIF FYUSBDUFE SBOHFT GBMM XJUIJO OPSNBM SBOHF QSPWJEFT EJTFBTF QSPHSFTTJPO JOGPSNBUJPO BOE IJHIMJHIUT
GPS FBDI JOTUSVNFOU 'JHVSF TIPXT UIF EJTUSJCVUJPO PG QBUJFOUT۟ QBJO BOE PWFSBMM QFSDFQUJPO PG UIFJS DPOEJUJPO
UIF TDPSFT GPS FBDI JOTUSVNFOU 5IF TDPSFT FYUSBDUFE BSF'VODUJPOBM TUBUVT BTTFTTNFOU MJLF UIF )"2 GPS FYBNQMF
XJUIJO UIF UIFPSFUJDBM SBOHF GPS FBDI NFBTVSF BOE UIF DBO BMTP CF TFMGBENJOJTUFSFE BOE NFBTVSFT UIF QBUJFOUT۟
EJTUSJCVUJPO JT BT FYQFDUFE #PUI 5BCMF BOE 'JHVSF QIZTJDBM GVODUJPOJOH UISPVHI QBUJFOUDFOUFSFE EPNBJOT
EFNPOTUSBUF UIF GFBTJCJMJUZ PG FYUSBDUJOH 130 JOTUSVNFOUTEJTBCJMJUZ QBJO HMPCBM IFBMUI 5IF RVFTUJPOOBJSF JT WFSZ
BOE TDPSFT XJUI IJHI शEFMJUZ SFTQPOTJWF UP DIBOHF BOE DPNPSCJEJUJFT IFBMUIDBSF SF
TPVSDF VTF PS OFFE GPS TPDJBM TVQQPSU NFBTVSFT DBO CF
QSFEJDUFE CZ UIF )"2 TDPSF 4VDI JOGPSNBUJPO DBO CF
%JTDVTTJPO VTFE GPS IFBMUIDBSF QFSGPSNBODF BOE RVBMJUZ NFBTVSF
NFOU 1BJSFE XJUI B QSFEJDUJWF MBZFS JU NBZ BMTP IBWF
0VS XPSL EFNPOTUSBUFE B GSBNFXPSL GPS EFWFMPQJOH B
UIF BCJMJUZ UP CF VTFE QSPBDUJWFMZ XJUIJO DMJOJDBM EFDJTJPO
OFX UPPM UP FYUSBDU JOGPSNBUJPO SFMBUFE UP 130 NFBTVSF
TVQQPSU TZTUFNT
NFOU UIBU BSF PॎFO BCTFOU GPSN IFBMUIDBSF EBUB JO &.3T
0VS TZTUFN BDIJFWFE HPPE शEFMJUZ GPS 130 NFBTVSF
'PS FYBNQMF PVS TZTUFN FYUSBDUT TFMGSFQPSUFE EJTFBTF
NFOU BOE TDPSF FYUSBDUJPO 5IF EPDVNFOUJOH PG EJTFBTF
BDUJWJUZ NFBTVSFT MJLF UIF 3"1*% RVFTUJPOOBJSF XIJDI
BDUJWJUZ PS GVODUJPOBM TUBUVT BTTFTTNFOU JT VTVBMMZ EPOF
39
JO UIF DMJOJDBM OPUFT UIVT JO B GPSNBU OPU SFBEJMZ BWBJMBCMF BSUISJUJT JO EBJMZ DBSF $MJOJDBM BOE FYQFSJNFOUBM
GPS BOBMZTJT 0VS UPPM UIBU UBHT OPUFT GPS UIF NFOUJPO PG SIFVNBUPMPHZ ۙ
WBSJPVT 130 JOTUSVNFOUT BOE FYUSBDUT CPUI UIF NFOUJPO <> & % /FXNBO 7 -FSDI + #JMMFU " #FSHFS ) -
PG UIF JOTUSVNFOU BOE JUT TDPSF JG QSFTFOU 0VS UPPM JT ,JSDIOFS *NQSPWJOH UIF RVBMJUZ PG DBSF PG QBUJFOUT
SVMFCBTFE BOE HFOFSJD FOPVHI UP TVDDFTTGVMMZ FYUSBDU XJUI SIFVNBUJD EJTFBTF VTJOH QBUJFOUDFOUSJD FMFD
NFOUJPOT BOE TDPSFT UISPVHIPVU B WBSJFUZ PG QSBDUJDFT USPOJD SFEFTJHO TPॎXBSF "SUISJUJT $BSF 3FTFBSDI
BOE &)3 CSBOET "MUIPVHI NPSF TPQIJTUJ ۙ
DBUFE BMHPSJUINT NBZ BMTP CF VTFE UP BDIJFWF UIF TBNF <> + :B[EBOZ / #BOTCBDL . $MPXTF % $PM
HPBM UIF TJNQMJDJUZ PG PVS BQQSPBDI JT BUUSBDUJWF *U BMTP MJFS , -BX , 1 -JBP , .JDIBVE & . .PS
QSPWJEFT BO JOUFSQSFUBCMF CBTFMJOF BQQSPBDI GPS DPNQBSJ HBO + $ 0BUFT $ 0SP[DP " 3FJNPME + '
TPO XJUI NPSF TPQIJTUJDBUFE NBDIJOF BOE EFFQ MFBSOJOH 4JNBSE 3 .ZTMJOTLJ 4 ,B[J 3IFVNBUPMPHZ JO
NFUIPET UIBU NBZ IBWF UIF QPUFOUJBM UP JNQSPWF QFSGPS GPSNBUJDT TZTUFN GPS FवFDUJWFOFTT " OBUJPOBM
NBODF JOGPSNBUJDTFOBCMFE SFHJTUSZ GPS RVBMJUZ JNQSPWF
8F GPVOE LFZ UZQFT PG TZTUFNBUJD FSSPST UIBU XFSF NFOU "SUISJUJT $BSF 3FTFBSDI
BUUSJCVUFE UP PVS TZTUFN TVDI BT UIF FYUSBDUJPO PG UIF ۙ 63- IUUQTPOMJOFMJCSBSZXJMFZDPN
MPXFS CPVOE PG UIF JOUFSQSFUBUJPO TDBMF 'JHVSF B PS UIF EPJBCTBDS EPJIUUQTEPJPSH
FYUSBDUJPO PG UIF JOTUSVNFOU DPNQPOFOU JOTUFBE PG UIF BDS
UPUBM TDPSF 'JHVSF D DPVME CF SFNPWFE 5IF WBSJBUJPO <> $ 5POOFS ( 4DINBKVL + :B[EBOZ " OFX FSB
PG EPDVNFOUBUJPO TUZMFT BNPOH UIF EJवFSFOU QSBDUJDFT PG RVBMJUZ NFBTVSFNFOU JO SIFVNBUPMPHZ FMFD
NJHIU IBWF DPOUSJCVUFE UP UIF PDDVSSFODF PG TVDI UZQF PG USPOJD DMJOJDBM RVBMJUZ NFBTVSFT BOE OBUJPOBM SFH
FSSPST 4JODF UIF QJQFMJOF JT CBTFE Pव PG FYQFSUDVSBUFE JTUSJFT $VSSFOU 0QJOJPO JO 3IFVNBUPMPHZ
UFSNJOPMPHZ UIF FYUFOU PG UIF 130T FYUSBDUFE DBO CF ۙ
FBTJMZ FYUFOEFE 'JOBMMZ CFDBVTF UIF UPPM XBT EFWFMPQFE <> , "OEFSTPO +BDMZO - ;JNNFSNBO - $BQMBO
UP FYUSBDU JOGPSNBUJPO TVDDFTTGVMMZ GSPN NVMUJQMF TPVSDFT , .JDIBVE .FBTVSFT PG SIFVNBUPJE BSUISJUJT
JU JT MJLFMZ UP HFOFSBMJ[F UP PUIFS QSBDUJDFT PS JOQBUJFOU EJTFBTF BDUJWJUZ QBUJFOU QUHB BOE QSPWJEFS QSHB
TFUUJOH GPS FYBNQMF HMPCBM BTTFTTNFOU PG EJTFBTF BDUJWJUZ EJTFBTF BD
'VUVSF BOE POHPJOH XPSL JODMVEFT BO FYUFOTJPO PG UIF UJWJUZ TDPSF EBT BOE EJTFBTF BDUJWJUZ TDPSF XJUI
DIBSU SFWJFX UP EPDVNFOUT SBUIFS UIBO NFOUJPOT KPJOU DPVOUT EBT TJNQMJशFE EJTFBTF BDUJWJUZ
DPNQBSJTPO PG UIF /-1FYUSBDUFE TDPSFT XJUI TUSVDUVSFE JOEFY TEBJ DMJOJDBM EJTFBTF BDUJWJUZ JOEFY DEBJ QB
EBUB GPS UIF QSBDUJDFT GPS XIJDI TVDI JOGPSNBUJPO JT BWBJM UJFOU BDUJWJUZ TDPSF QBT BOE QBUJFOU BDUJWJUZ TDPSF
BCMF BT XFMM BT B BO BOBMZTJT PG UIF QFSGPSNBODF QFS &)3 JJ QBTJJ SPVUJOF BTTFTTNFOU PG QBUJFOU JOEFY EBUB
CSBOE BOE QSBDUJDF UZQF 'JOBMMZ XF QMBO UP FYQMPSF UIF SBQJE SIFVNBUPJE BSUISJUJT EJTFBTF BDUJWJUZ JOEFY
GFBTJCJMJUZ PG DPNQVUJOH "$3FOEPSTFE RVBMJUZ NFBTVSFT SBEBJ BOE SIFVNBUPJE BSUISJUJT EJTFBTF BDUJWJUZ
GSPN UIF EBUB FYUSBDUFE XJUI PVS UPPM JO UIF IPQFT PG JOEFY SBEBJ DISPOJD BSUISJUJT TZTUFNJD JOEFY
JNQSPWJOH UIF DVSSFOU TUBOEBSE DBTJ QBUJFOUCBTFE EJTFBTF BDUJWJUZ TDPSF XJUI FTS
QEBT BOE QBUJFOUCBTFE EJTFBTF BDUJWJUZ TDPSF
XJUIPVU FTS QEBT BOE NFBO PWFSBMM JOEFY GPS
3FGFSFODFT SIFVNBUPJE BSUISJUJT NPJSB "SUISJUJT $BSF 3F
TFBSDI 4ۙ4
<> - .BTLB + "OEFSTPO , .JDIBVE .FB
<> + 4 4NPMFO % "MFUBIB + 8 + #JKMTNB ' $ #SFFE
TVSFT PG GVODUJPOBM TUBUVT BOE RVBMJUZ PG MJGF JO
WFME % #PVNQBT ( #VSNFTUFS # $PNCF . $V
SIFVNBUPJE BSUISJUJT )FBMUI BTTFTTNFOU RVFT
UPMP . EF 8JU . %PVHBEPT 1 &NFSZ " (J
UJPOOBJSF EJTBCJMJUZ JOEFY IBR NPEJशFE IFBMUI
CPGTLZ + + (PNF[3FJOP # )BSBPVJ + ,BMEFO
BTTFTTNFOU RVFTUJPOOBJSF NIBR NVMUJEJNFO
& $ ,FZTUPOF 5 , ,WJFO * .D*OOFT & .BSUJO
TJPOBM IFBMUI BTTFTTNFOU RVFTUJPOOBJSF NEIBR
.PMB $ .POUFDVDDP . 4DIPFMT % WBO EFS )FJKEF
IFBMUI BTTFTTNFOU RVFTUJPOOBJSF JJ IBRJJ JN
5SFBUJOH SIFVNBUPJE BSUISJUJT UP UBSHFU SFDPNNFO
QSPWFE IFBMUI BTTFTTNFOU RVFTUJPOOBJSF JNQSPWFE
EBUJPOT PG BO JOUFSOBUJPOBM UBTL GPSDF "OOBMT PG
IBR BOE SIFVNBUPJE BSUISJUJT RVBMJUZ PG MJGF
UIF 3IFVNBUJD %JTFBTFT ۙ 63-
SBRPM "SUISJUJT $BSF 3FTFBSDI 4ۙ4
IUUQTBSECNKDPNDPOUFOU EPJ
63- IUUQTPOMJOFMJCSBSZXJMFZDPNEPJBCT
BSE
BDS EPJIUUQTEPJPSHBDS
<> # 'BVUSFM 3 "MUFO # ,JSLIBN * EF MB 5PSSF ' %V
SBOE + #BSSZ 5 )PM[LBFNQFS 8 'BLIPVSJ 1 $
<> 0 .BMZTIFWB " #FESJDI + ,VJQFST ) ,MFJOF
5BZMPS $BMM GPS BDUJPO IPX UP JNQSPWF VTF PG
# 8PMव $ #BFSXBME 6TF PG DMJOJDBM TDPSFT UP HVJEF
QBUJFOUSFQPSUFE PVUDPNFT UP HVJEF DMJOJDBM EFDJ
UIFSBQFVUJD EF DJTJPOT JO QBUJFOUT XJUI SIFVNBUPJE
TJPO NBLJOH JO SIFVNBUPJE BSUISJUJT 3IFVNBUPMPHZ
40
*OUFSOBMUJPOBM ۙ
<> $FOUFST GPS .FEJDBSF .FEJDBJE 4FSWJDFT
5IF )FBMUI *OTVSBODF 1PSUBCJMJUZ BOE "D
DPVOUBCJMJUZ "DU PG )*1"" 0OMJOF BU
IUUQXXXDNTIITHPWIJQBB
<> - 3JDIBSETPO #FBVUJGVM TPVQ EPDVNFOUBUJPO "QSJM
<> . )POOJCBM * .POUBOJ 4 7BO -BOEFHIFN
" #PZE TQB$Z *OEVTUSJBMTUSFOHUI /BUVSBM -BO
HVBHF 1SPDFTTJOH JO 1ZUIPO 63- IUUQTEPJ
PSH[FOPEP EPJ[FOPEP
<> . /FVNBOO % ,JOH * #FMUBHZ 8 "NNBS 4DJT
QB$Z 'BTU BOE 3PCVTU .PEFMT GPS #JPNFEJDBM /BU
VSBM -BOHVBHF 1SPDFTTJOH JO 1SPDFFEJOHT PG UIF
UI #JP/-1 8PSLTIPQ BOE 4IBSFE 5BTL "TTPDJB
UJPO GPS $PNQVUBUJPOBM -JOHVJTUJDT 'MPSFODF *UBMZ
41