Citation
Vector pursuit path tracking for autonomous ground vehicles

Material Information

Title:
Vector pursuit path tracking for autonomous ground vehicles
Creator:
Wit, Jeffrey S., 1971-
Publication Date:
Language:
English
Physical Description:
vii, 307 leaves : ill. ; 29 cm.

Subjects

Subjects / Keywords:
Bytes ( jstor )
Carrots ( jstor )
Coordinate systems ( jstor )
Navigation ( jstor )
Robotics ( jstor )
Robots ( jstor )
Simulations ( jstor )
Speed ( jstor )
Steering ( jstor )
Velocity ( jstor )
Dissertations, Academic -- Mechanical Engineering -- UF ( lcsh )
Mechanical Engineering thesis, Ph.D ( lcsh )
Genre:
bibliography ( marcgt )
theses ( marcgt )
non-fiction ( marcgt )

Notes

Thesis:
Thesis (Ph.D.)--University of Florida, 2000.
Bibliography:
Includes bibliographical references (leaves 299-306).
General Note:
Printout.
General Note:
Vita.
Statement of Responsibility:
by Jeffrey S. Wit.

Record Information

Source Institution:
University of Florida
Holding Location:
University of Florida
Rights Management:
Copyright [name of dissertation author]. Permission granted to the University of Florida to digitize, archive and distribute this item for non-profit research and educational purposes. Any reuse of this item in excess of fair use or other copyright exemptions requires permission of the copyright holder.
Resource Identifier:
024913775 ( ALEPH )
45805631 ( OCLC )

Downloads

This item has the following downloads:


Full Text











VECTOR PURSUIT PATH TRACKING
FOR AUTONOMOUS GROUND VEHICLES













*





By

JEFFREY S. WIT


A DISSERTATION PRESENTED TO THE GRADUATE SCHOOL
OF THE UNIVERSITY OF FLORIDA IN PARTIAL FULFILLMENT
OF THE REQUIREMENTS FOR THE DEGREE OF
DOCTOR OF PHILOSOPHY

UNIVERSITY OF FLORIDA


2000



























Copyright 2000

by

Jeffrey S. Wit














ACKNOWLEDGMENTS

The author would like to convey his appreciation to his supervisory committee

(Dr. Carl Crane, Dr. Joseph Duffy, Dr. Paul Mason, Dr. John Schueller, and Dr. Antonio

Arroyo) for their support and guidance. Special thanks go to Dr. Crane who gave the

author the opportunity to work on the autonomous vehicle project and continually

provided important insight and advice.

This work would not have been possible without the support of the Air Force

Research Laboratory at Tyndall Air Force Base, Florida. Thanks go to Al Neese and the

rest of his staff.

The author's work presented in this dissertation focuses on only part of the tasks

required for autonomous navigation. Other project members have addressed the

remaining tasks. Therefore, thanks go to those who have worked on the autonomous

navigation project, both past and present, at the Center for Intelligent Machines and

Robotics. Individual thanks go to the project manager, David Armstrong, for his

invaluable input, and to office mate David Novick, for his unending programming advice.

Finally, special thanks go to the author's wife, Jennifer Lisa Wit, who provided

continuous encouragement and inspiration needed to finish this dissertation.















TABLE OF CONTENTS

Rage

ACKN OW LED GM EN TS................................................................................................. iii

ABSTRA CT .......................................................................................................................vi

INTROD UCTION ............................................................................................................... 1

Problem Statem ent........................................................................................................... 1
Project Background ......................................................................................................... 2
H history of V vehicles Autom ated at CIM A R ................................................................. 2
Evolution of the N TV 's Architecture .......................................................................... 5
Research M otivation........................................................................................................ 7
Research Objective.......................................................................................................... 9

REV IEW OF THE LITERA TURE ................................................................................... 11

Autonom ous Ground Vehicle Applications................................................................... 11
Planetary Rovers........................................................................................................ 11
A agricultural V ehicles................................................................................................. 12
Cleaning V ehicles...................................................................................................... 13
Passenger Vehicles .................................................................................................... 14
M military Vehicles ....................................................................................................... 16
Security Vehicles ....................................................................................................... 18
Inspection V ehicles.................................................................................................... 19
Autonomous Ground Vehicle Navigation Architecture ................................................ 20
Behavioral Architecture............................................................................................. 21
Hierarchical Architecture........................................................................................... 22
Hybrid Architecture................................................................................................... 40

VECTOR PU RSU IT PA TH TRA CKIN G ......................................................................... 41

Screw Theory Basics ..................................................................................................... 41
Vector Pursuit................................................................................................................ 44
Defined Coordinate System s..................................................................................... 45
M ethod 1 .................................................................................................................... 47
M ethod 2.................................................................................................................... 56
Desired Vehicle V elocity State.................................................................................. 63









EXECUTION CON TRO L................................................................................................. 65

Fuzzy Controller............................................................................................................ 66
Fuzzification.............................................................................................................. 67
Inference M echanism ................................................................................................. 68
Defuzzification .......................................................................................................... 70
Fuzzy Reference M odel Learning Control [86]............................................................. 71
Vehicle Linear V elocity FRM LC .................................................................................. 75
Vehicle Angular Velocity FRM LC ............................................................................... 79

RESU LTS ..........................................................................................................................83

M ethod for Evaluating Path Tracking ........................................................................... 86
N aviation Test V vehicle (N TV) .................................................................................... 86
Sim ulation M odel ...................................................................................................... 87
Throttle M odel........................................................................................................... 89
Steering M odel........................................................................................................... 89
Sim ulation Results..................................................................................................... 91
Im plem entation Results............................................................................................. 94
N avigating the N TV in Reverse .............................................................................. 102
Cyberm otion K2A Im plem entation Results ............................................................. 103
All-purpose Remote Transport System (ARTS) Implementation Results .................. 105

CON CLU SION S AND FUTU RE W ORK ...................................................................... 107

Conclusions.................................................................................................................. 107
Future W ork................................................................................................................. 108

APPENDIX A MAX INTERFACE SPECIFICATION................................................. 110

APPENDIX B NTV SIMULATION RESULTS ........................................................... 196

APPENDIX C NTV EXPERIMENTAL RESULTS...................................................... 239

LIST OF REFEREN CES................................................................................................. 299

BIOGRAPH ICA L SKETCH ........................................................................................... 307















Abstract of Dissertation Presented to the Graduate School
of the University of Florida in Partial Fulfillment of the
Requirements for the Degree of Doctor of Philosophy

VECTOR PURSUIT PATH TRACKING
FOR AUTONOMOUS GROUND VEHICLES

By

Jeffrey S. Wit

August 2000

Chairman: Dr. Carl D. Crane III
Major Department: Mechanical Engineering

The Air Force Research Laboratory at Tyndall Air Force Base, Florida, has

contracted the University of Florida to develop autonomous navigation for various

ground vehicles. Autonomous vehicle navigation can be broken down into four tasks.

These tasks include perceiving and modeling the environment, localizing the vehicle

within the environment, planning and deciding the vehicle's desired motion, and finally,

executing the vehicle's desired motion. The work presented here focuses on tasks of

deciding the vehicle's desired motion and executing the vehicle's desired motion.

The third task above involves planning the vehicle's desired motion as well as

deciding the vehicle's desired motion. In this work it is assumed that a planned path

already exists and therefore only a technique to decide the vehicle's desired motion is

required. Screw theory can be used to describe the instantaneous motion of a rigid body,

i.e., the vehicle, relative to a given coordinate system. The concept of vector pursuit is to

calculate an instantaneous screw that describes the motion of the vehicle from its current









position and orientation to a position and orientation on the planned path. Once the

desired motion is determined, a controller is required to track this desired motion.

The fourth task for autonomous navigation is to execute the desired motion. In

order to accomplish this task, two fuzzy reference model learning controllers (FRMLCs)

are implemented to execute the vehicle's desired turning rate and speed. The controllers

are designed to be dependent on certain vehicle characteristics such as the maximum

vehicle speed maximum turning rate. This is done to facilitate the transfer of these

controllers to different vehicles.

The vector pursuit path-tracking method and the FRMLCs were first tested in

simulation by modeling the Navigation Test Vehicle (NTV) developed by the Center for

Intelligent Machines and Robotics (CIMAR) at the University of Florida. In addition to

testing in simulation, vector pursuit path tracking and the FRMLCs were implemented on

the NTV. Results show that vector pursuit is more robust with respect to disturbances

and to different vehicle speeds compared with other geometric path-tracking techniques.













CHAPTER 1
INTRODUCTION

An autonomous vehicle is one that is capable of automatic navigation. It is self-

acting and self-regulating, therefore it is able to operate in and react to its environment

without outside control. The process of automating vehicle navigation can be broken

down into four steps: 1) perceiving and modeling the environment, 2) localizing the

vehicle within the environment, 3) planning and deciding the vehicle's desired motion

and 4) executing the vehicle's desired motion [1]. There has been much interest and

research done in each of these areas in the past decade. The research proposed here

focuses on deciding the vehicle's desired motion and then executing that desired motion.


Problem Statement

Given:

A path made up of two or more waypoints that an Autonomous Ground
Vehicle (AGV) must track. It is assumed that the AGV has a path planner,
position system, and a vehicle control unit that conform to the interface
specification in the MAX Architecture currently being developed at the
University of Florida. (See Appendix A)

Develop:

A path-tracking algorithm for an AGV to navigate a given path accurately
at speeds up to 4.5 meters per second (-10 mph). This is the principle task
of the mobility control unit in the MAX architecture. This task can be
broken down into two subtasks. First, develop an algorithm that
determines the current desired motion of the AGV that causes it to track
the given path. Second, develop a control algorithm that executes this
desired motion.










Project Background

The Center for Intelligent Machines and Robotics (CIMAR) began working with

autonomous vehicles in 1990 and has continued working with them to the present day.

The Air Force Research Laboratory located at Tyndall Air Force Base, Florida, sponsors

this work.

History of Vehicles Automated at CIMAR

In 1991, CIMAR completely automated its first vehicle. A Kawasaki MULE 500

all-terrain vehicle was modified for computer control and currently serves as a

Navigation Test Vehicle (NTV) at the University of Florida. Computer control of the

vehicle was accomplished by mounting motors and encoders on the vehicle's steering

wheel, throttle, brake and transmission. An integrated inertial navigation unit (INU) and

differential global positioning system (DGPS) provided real-time vehicle position and

velocity data for feedback. An array of sonar sensors was mounted on the front of the

vehicle to detect any unexpected obstacle in the vehicle's path. The NTV has undergone

several revisions, over the years, as current technology continues to advance. Figure 1.1

shows a picture of the NTV as it is today.


figure 1.1: iNavigauon iest venicie.









The technology developed on the NTV has been used to automate several other

vehicles. Figure 1.2 shows a John Deere Gator that was automated to serve as an

autonomous survey vehicle (ASV). It was designed to survey various Department of

Defense (DOD) facilities that contain buried unexploded ordnance (UXO). The John

Deere Gator tows a sensor package, which is composed of a magnetometer array and

ground-penetrating radar, over the entire area to be surveyed. As the ASV navigates, it

collects and stores time-tagged position data and data from the sensor package. This data

can then be postprocessed to determine the location of possible buried UXO.













Figure 1.2: Autonomous Survey Vehicle.



A John Deere Excavator also was automated using the technology developed on

the NTV. The John Deere Excavator, shown in Figure 1.3, was automated in order to

navigate to the location of buried UXO. After navigating to the location of the buried

UXO, an operator was able to dig up and remove the UXO through a tele-remote

procedure.

The technology developed on the NTV also was used to automate a D7G

bulldozer for the Marines. Figure 1.4 shows the D7G bulldozer outfitted with a mine

plow and explosive netting. Its mission was to clear a 50x50-yard area of mines and other









obstructions in order to create a landing area for the deployment of the Marines and their

supplies.


Figure 1.3: Autonomous John Deere Excavator.


T-


Figure 1.4: Autonomous D7G Bulldozer.


The latest vehicle to use the technology developed on the NTV is the All-Purpose

Remote Transport System (ARTS) shown in Figure 1.5. ARTS is a commercially

available vehicle outfitted with a tele-remote package developed by Applied Research

Associates, Inc. of Tyndall Air Force Base, FL. This vehicle was automated for a

demonstration during the October 1999 Joint Architecture for Unmanned Ground

Vehicles (JAUGS) working group meeting held at the University of Florida.



















Figure 1.5: Autonomous ARTS.


Evolution of the NTV's Architecture

The original NTV architecture was a blackboard approach. An area in memory

was created to which each system had access for reading and writing to allow them to

communicate with other systems. This approach has the advantage of allowing a system

the ability to share its resultant data easily and immediately with other systems running in

parallel. This architecture was implemented on the NTV with a VME chassis with

multiple 68030 CPU boards. Shared memory was created to allow the systems running

in parallel on different CPU boards to communicate their results via the VME backplane.

There are two major problems with this blackboard implementation that make it

difficult to maintain and upgrade. First, debugging system software can be very difficult.

For example, system A may have a memory leak that overwrites data in shared memory

but appears to be operating correctly. System B now uses this data not knowing it has

been overwritten by system A. By simply looking at its results, system B would appear

to have a software bug in it and system A would not. To make things worse, different

programmers may be responsible for different systems, where each programmer may

require changes to variables in shared memory. This has the possibility of quickly

becoming a debugging nightmare with each programmer blaming another.








A second problem with this blackboard implementation is the difficulty in

transferring only one system to another application or replacing an existing system with a

different one. Take for example a system that provides position feedback for the AGV.

Suppose the positioning system on AGV 1 was tested fully and known to operate

correctly. Now, it is desired to use this positioning system on a newly developed AGV 2.

In order for this transfer to work, both the hardware and software on AGV 2 must be

identical to AGV 1. That is, AGV 2 also must have a VME chassis and must have the

exact shared memory structure. Obviously this is not always the case, and substantial

hardware and software changes must be made in order to use the positioning system on

AGV 2.

Because of these problems a new architecture was designed. Based on experience

from previous work, one main requirement was specified for this new architecture. The

architecture must allow systems to be self-contained submodules, where only the

interface of each submodule is defined rigorously. The effect of this requirement benefits

both the developer and the user. The developer now has a great amount of freedom in

choosing specific hardware and software for his or her system. And, the user now has the

ability to scale his or her AGV's functionality by combining different submodules.

Developing an architecture that meets this requirement is a two-step process

accomplished by first determining a list of submodules required to automate a vehicle

and then determining their interface. The Modular Architecture eXperimental (MAX),

currently being developed at the University of Florida, attempts to meet this requirement.

MAX currently consists of the following submodules: Position System (POS),

Vehicle Control Unit (VCU), Path Planner (PLN), Detection and Mapping System









(DMS) and Mobility Control Unit (MCU). The modular structure of MAX is shown in

Figure 1.6. The interface between each submodule defined by MAX (See Appendix A)

allows communication with other submodules and/or the user.




Operator
Control
Unit

4








Figure 1.6: MAX sub-module structure.




Research Motivation

As indicated in the problem statement, there are two tasks considered in this

research. The first task of this research is to develop an algorithm to determine the

current desired motion of the AGV that causes it to track a given path. Currently various

methods exist that are based on the geometry of some look-ahead point on the path

relative to a vehicle coordinate system. The distance to this look-ahead point is used as a

tuning parameter. Unfortunately there is a tradeoff in setting the look-ahead distance.

For accurate path tracking it is desirable to have a look-ahead distance that is small so

that the lateral error is reduced quickly. On the other hand, a large look-ahead distance is

desirable when considering system stability. These methods only consider the position of

the look-ahead point and not the orientation of the path at that point. The motivation








behind this part of the research is to allow for smaller look-ahead distances without

giving up system stability.

The second task of this research is to develop a control algorithm that executes the

AGV's desired motion. There are two main motivations for this work. The first

motivation is to have the ability to operate the NTV under various conditions and speeds.

Operating conditions most likely change as new applications are established for the

technology developed on the NTV. Some possible changes in operating conditions

include the weight of the payload, towing a trailer, the desired vehicle speed, and the type

of ground on which it is operating (i.e., asphalt, grass, sand, etc...). All of these

conditions affect the ability of the NTV to navigate a path accurately. Currently, if the

operating conditions are too different, the NTV must be re-tuned to achieve an acceptable

performance.

Using the MAX architecture, it is desired to develop an MCU that has the ability

to operate under these various conditions without the need to re-tune it. This suggests

that the MCU must have the ability to adapt to its current operating conditions.

The second motivation for this part of the research is to reduce the amount of time

required to transfer the technology to different vehicles. One of the main reasons for

developing a modular architecture is to have the ability of transferring a module from one

vehicle to another or to be able to use modules that are made up differently on the same

vehicle. This makes sense for a POS module since it is, for the most part, independent of

the vehicle it is on. For example, one positioning system could be made up of GPS and

INS units while another positioning system could be made up of just a GPS unit. Since








by using MAX the interfaces between the two positioning systems are the same, they can

easily be switched on the same vehicle or transferred to a new vehicle.

The ability to switch or transfer modules becomes much more difficult when

dealing with the MCU module. Without using MAX architecture, control of a ground

vehicle was accomplished typically by commanding a throttle position and steering wheel

angle for a car-like vehicle or commanding left track and right track velocities for a

tracked vehicle. Obviously the commands depended highly on the type of vehicle. By

using MAX, the commands to control the vehicle are now the same, a propulsive wrench

and a resistive wrench. Additionally, ground vehicles typically will use the same

components of the propulsive wrench and resistive wrench. The component Fx is used to

control the vehicle's linear speed, and the component Mz is used to control the vehicle's

angular speed.

Having the commands to control an AGV be the same for most ground vehicles

makes the idea of being able to switch out or transfer the MCU more feasible. Therefore,

the second motivation for this part of the research is to develop an MCU that can be

transferred to different vehicles with few or no changes to the MCU. This suggests that

the MCU must have the ability to adapt not only to different operating conditions but also

to different vehicles.


Research Objective
The objective of this research is to develop an adaptive control algorithm for the

NTV to track a given path accurately at speeds up to 4.5 meters per second. This task is

broken down into two subtasks. First, develop an algorithm to determine the current








desired motion of the AGV that causes it to track the given path. Second, develop an

adaptive control algorithm that executes the AGV's desired motion. '

The remainder of this dissertation is outlined as follows: Chapter 2 is a broad

overview of different AGVs and their navigation architectures. Chapter 3 introduces a

new path-tracking algorithm that gives the vehicle's desired motion based on the current

vehicle position and orientation relative to a path. Chapter 4 presents a fuzzy model

reference learning controller (FMRLC) to track the AGV's desired motion. Chapter 5

presents the development of a simulation of the NTV and presents the results of using the

simulation to test the new path-tracking algorithm and the adaptive control algorithm. It

also presents the test results from implementing the algorithms on the NTV. Chapter 5

concludes by presenting the test results from implementing the path-tracking algorithm

and adaptive control algorithm on a synchronous drive vehicle and a tracked vehicle.

And finally, Chapter 6 presents some conclusions and future work.













CHAPTER 2
REVIEW OF THE LITERATURE

Recently, within the past couple of decades, there has been much research in the

area of autonomous mobile robots. The reason for the sudden interest in autonomous

mobile robots is the advancement of supporting technology. Both sensor and computing

technology have increased greatly. Sensors are more accurate and give more information

about the current state of the robot and its environment. And computers are faster and

have larger memory to run larger, more complicated programs. The advancement of

these two areas has made possible the idea of autonomous mobile robots. Today,

autonomous mobile robots consist of air, land, and sea vehicles. This chapter focuses on

the research done on autonomous mobile land vehicles, or autonomous ground vehicles

(AGVs). First we consider some of the current applications of AGVs. Then we review

the current research on various navigation architectures.


Autonomous Ground Vehicle Applications

There are many applications for autonomous ground vehicles. The motivations

for automating different vehicles are typically to reduce risk of human life or injury in

hazardous areas, to relieve human operators from overly monotonous tasks, or to increase

the precision of navigation. Some of these applications are discussed below.

Planetary Rovers

Green et al. present an algorithm that achieves path tracking and obstacle

avoidance for a planetary rover [2,3]. Path tracking is accomplished through the

feedback of position and orientation errors relative to the planned path. The position and








orientation of the rover is estimated using an inertial navigation unit integrated with an

odometer. The rover avoids obstacles by creating an artificial potential field from the

data received from a range sensor. An obstacle avoidance error is calculated from this

artificial potential field. Both the tracking and the obstacle avoidance errors are used as

inputs to a linear-feedback steering controller. Simulated results of the controller are

presented.

Boissier presents the work done by the French Space Agency on planetary rovers

for the IARES Eureka project [4]. The IARES mobile robot has six independent

steerable wheels, three rotating axles, wheel and walking modes, passive adaptation to

obstacles along the transversal axis and mixed passive/active longitudinal deformation,

active wheel loading equalization on slopes and maximum speeds of 0.10 m/s or 0.35

m/s. It has a SAGEM inertial unit for localization that uses zero velocity updates to

minimize the amount of drift in position. The IARES mobile robot also has stereovision

in order to create a digital terrain model that is used to navigate the vehicle. It was

evaluated successfully in different terrain conditions for both predictive tele-remote

operation and autonomous navigation.

Agricultural Vehicles

O'Connor et al. at Stanford University rely solely on Carrier Phase Differential

GPS (CPGPS) to provide position and attitude feedback to control the position of

agricultural equipment relative to a preplanned path [5]. The position and attitude are

calculated using four single-phase GPS antennas on the vehicle. The test platform used

by O'Connor et al. to test autonomous navigation is a John Deere 7800 tractor. A hybrid

controller is used to control the vehicle's heading. For large heading errors, a "bang-

bang" control technique is used. Otherwise, for small heading errors, a Linear Quadratic








Regulator is used. Tests showed the lateral position standard deviation to be less than 2.5

cm and the heading standard deviation to be less than 1 degree.

Another group interested in autonomous agriculture vehicles is from the Silsoe

Research Institute in Bedford, UK [6]. Marchant et al. present a row-following

autonomous vision-guided agriculture vehicle. They use image analysis and odometer

data to localize the vehicle. A proportional controller is used to track the desired path.

Marchant tested the vehicle on four fields of cauliflower. The control error for these runs

was determined to be less than 20 mm RMS.

Cleaning Vehicles

Hofher and Schmidt present MACROBE, an autonomous floor-cleaning and

inspecting robot [7,8]. Navigation is achieved by executing one of five preprogrammed

motion macros. A planner on MACROBE uses its current knowledge of the workspace

to generate a serpentine path made up of these motion macros. If an unexpected obstacle

is encountered, MACROBE adds it to its knowledge of the workspace and then plans a

new path.

Ulrich et al., from the Swiss Institute of Technology in Lausanne, Switzerland,

present an autonomous vacuum cleaner [9]. A Koala robot is used as the platform for the

autonomous vacuum cleaner. The robot is equipped with a 2-DOF arm that is used to

facilitate the cleaning process. The arm also is used tactically to sense unknown objects

and then classify them as legs, walls, comers or unknowns. Through the use of the object

data along with compass and odometer data, the robot builds a map of its workspace. An

algorithm to clean the workspace begins by attempting to travel the perimeter of the

workspace. This allows the robot to build an initial map of its workspace. After the

perimeter is traversed, the robot attempts to clean the interior part of the workspace by








traveling back and forth between known walls. Ulrich tested the robot in a 2-3 square

meter area that was covered with sawdust. The robot was able to clean 95% of the area

in its internal map.

Nolfi uses a recently developed technique to evolve the desired behavior of an

autonomous vehicle to collect garbage and remove it from an arena [10]. The platform

chosen is a Khepera robot that is developed at EPFL in Lausanne, Switzerland. It is a

wheeled vehicle controlled by two DC motors with incremental encoders. The Khepera

robot also is equipped with a gripper module that has 2-DOF and eight infrared proximity

sensors. The robot is automated through the use of a neural controller. The neural

network chosen is made up of seven sensory neurons, 16 motor neurons and no internal

neurons. A genetic algorithm is used to evolve this neural network to perform various

tasks such as exploring the environment, locating and picking up target objects and

removing the objects from the arena. As the network evolves, the number of successful

pickup and release tasks increases and the number of crashes decreases.

Passenger Vehicles

Two areas of research for the development of an Automated Highway System

(AHS) are vehicle longitudinal control and lateral control. Longitudinal control typically

involves controlling the vehicle's throttle and brake. Spooner and Passino present their

results of two fuzzy longitudinal controllers for vehicle following [11]. The controllers

they use are a direct adaptive controller and an indirect adaptive controller that use

Takagi-Sugeno fuzzy systems. Performance results of their controllers in simulation are

shown graphically.

Huang and Ren also have done work on vehicle longitudinal control [12]. Their

work deals with a switching strategy between the throttle and brakes. They compute a








control signal for the throttle and a control signal for the brake. Each signal is optimized

in order to meet some tracking criterion by a learning algorithm. These two signals then

are used to determine brake and throttle positions. Results from simulations are

presented graphically.

Vehicle lateral control, on the other hand, involves controlling the vehicle's

steering. Unyelioglu et al. present their design and stability analysis of a controller for

lane following [13]. Their objective is to steer a vehicle so that it stays in the middle of

the lane. This is accomplished by defining a reference line in the middle of the lane and a

look-ahead point on the vehicle's longitudinal axis at a given distance in front of the

vehicle. The controller uses the offset distance between the look-ahead point and the

point on the reference line closest to the look-ahead point. Using Routh-Hurwitz stability

criterion they prove that for a given range of speeds, by choosing a sufficiently large

look-ahead distance, the system is stable for that range. Simulation results are given to

demonstrate the performance of their controller.

O'Brien et al. also address the lateral motion control of automated highway

vehicles [14]. They designed an IHo. controller to track the center of the current lane on

both curved and straight highways. The result of considering performance requirements

in the controller design, is a controller that is robust to model uncertainty. The

controller's robustness to different speeds, road conditions and wind gusts are examined.

The controller is tested in simulation for various conditions. For each condition tested,

the lateral offset is less than 20 centimeters and the yaw angle error is less than 0.01

radians.

Two other areas of research dealing with passenger vehicles are active steering

assistance and parallel parking. The concept behind active steering assistance is to









monitor the driver's actions and to intervene when needed. Hsu et al. developed a system

named cooperative copilot that keeps a vehicle safely in its lane [15]. The copilot

generates bounds of feasible steering angles and determines whether a correction should

be applied. The steering angle bounds are determined from the current road curvature,

vehicle motion and road width. A driving simulator is used to test the performance of the

copilot and to determine how it works with a human driver.

Parallel parking can be a difficult task for many people. Therefore automating

this procedure would be very useful and appreciated. Gorinevsky et al. developed an

automated parking control system that uses artificial neural network technology [16].

The neural network is used to generate a trajectory and to control the automated car. The

design is based on a radial basis function architecture to calculate the reference trajectory

and a feedback-feedforward controller to track the reference trajectory. The design is

tested in simulation for different parking situations.

Paromtchik and Laugier present an iterative algorithm for parallel parking based

on ultrasonic range data [17,18]. They use sinusoidal reference functions to control the

steering angle and the vehicle's velocity. The control scheme is implemented in a

reactive scheme in order to avoid obstacle collisions. They experimentally verify their

algorithm on a LIGIER electric autonomous vehicle.

Military Vehicles

There are many areas where the military is researching the use of AGVs. One

area is in a project for the United States Army that involves automatic target acquisition

(ATA) [19]. A typical mission involves a scout driving from a secondary observation

point to a main observation point. This allows the vehicle to record a path using position

data from an integrated inertial navigation system and a differential global positioning









system. A remote operator then takes over and the ATA mission begins. The operator is

alerted to any possible target by the ATA, at which point the operator can request

additional data. At any point during the mission the operator has the option to command

the vehicle to return to the secondary observation point. The vehicle then autonomously

drives back to the secondary observation point. Murphy and Legowik from the National

Institute of Standards and Technology present their work on the mobility system that

controls the vehicle during autonomous navigation for this project. They use a pure

pursuit algorithm to track the recorded path and a gain-scheduling algorithm to track a

commanded speed. Results on performance of the autonomous navigation are not given.

Another area in which the military has shown an interest in AGVs is the Defense

Advanced Research Program Agency's (DARPA) program for Tactical Mobile Robots

(TMR) [20]. The main goal of the TMR program is to develop the technology for small

robots that can be deployed easily in urban environments. This places some unique

requirements on system size, navigation capabilities, communication capabilities and

operator interface. The size restrictions they are trying to achieve are a maximum size of

24" x 20" x 8" and a maximum weight of 20-25 pounds. This allows the robot to be

deployed and controlled at the platoon or squad level. The TMR robots must be able to

navigate in urban environments. This requires the robot to be able to open and close

doors, to navigate over rubble, and up and down stairs. The environment may not be

communication-friendly, but each robot must keep in contact with its operator and other

TMR robots in the area. Finally, the TMR robots must be able to operate with a

minimum level of intuitive operator direction. This project currently is scheduled for

completion by the year 2002.









Security Vehicles

There are many applications for both indoor and outdoor security AGVs.

ROBART III is an indoors-nonlethal autonomous security response robot presented by

Ciccimaro et al. [21]. It is designed to operate in a previously unexplored area with little

support required from the operator. It is capable of detecting intruders through the use of

eight passive-infrared motion detectors. The infrared motion detectors are validated

partially by a Doppler microwave motion detector. A black-and-white video surveillance

camera mounted to the robot's head is used for further assessment of possible intruders.

The nonlethal response capabilities include a Gatling gun and three sirens. The Gatling

gun is a six-barreled pneumatically powered gun capable of firing tranquilizer darts. A

visible laser is used to facilitate the accuracy of the gun when it is operated remotely.

The three sirens are capable of an ear-piercing 103 decibels that can alert those nearby

and disorient the intruder.

Pastore et al. present their work on the Mobile Detection Assessment and

Response System-Exterior (MDARS-E), an outdoor security AGV [22]. Robotics

Systems Technology developed the MDARS-E. Navigation is accomplished by

combined inputs from differential GPS, a fiber-optic gyro, a wheel odometer, and

landmark recognition. Obstacle avoidance is achieved with a two-tier layered approach.

Long-range sensors are used to provide first-alert obstacle detection from 0 to 100 feet.

Short-range sensors are used to provide higher resolution data for precise obstacle

avoidance. The sensors that are used for obstacle detection include radar, laser ranging,

ultrasonic ranging, and stereovision. Two sensors are used for intruder detection, vision

and radar, to achieve a high probability of detection and to minimize false detections.








Inspection Vehicles

AIRIS 21 is an underwater inspection robot presented by Koji [23]. The specific

task for the AIRIS 21 robot is to inspect the outside surface of a reactor pressure vessel of

nuclear power stations. It performs a nondestructive inspection of welds in the reactor

pressure vessel shell from the inside. The AIRIS 21 uses thrusters to provide a chamber

underneath it with negative pressure. This allows it to be sucked securely onto the

reactor pressure vessel's wall. Two drive wheels and one idle wheel enable it to

maneuver on the wall. Position of the robot is accomplished with a depth gauge, an

optical beam, gravity sensor and an encoder. The depth gauge is used to determine the

elevation of the robot. The optical beam is used to locate a known structure relative to

the robot. Then, a map of the operating environment is used to locate the robot. The

gravity sensor is used to determine the direction of travel while the encoder keeps track

of the distance traveled.

A wheeled, multi-articulated robot that operates in a sewage system is presented

by Cordes et al. [24]. The objective behind this project is to be able to inspect Germany's

360,000-km long public sewage system. Germany's public sewage system is over 25

years old and possibly could be polluting the soil and ground water. The robot is

required to operate wirelessly, to navigate 90-degree turns and steps of 0.3 meters high,

and to operate in pipes with a diameter of 20 to 80 centimeters. The design looks like a

wheeled snake that consists of different modules. These modules include sensor, drive,

and power supply modules. This allows the driving and the sensing modules to be

developed independently.








Autonomous Ground Vehicle Navigation Architecture

In general, current navigation architectures are labeled as behavioral, hierarchical

or a hybrid of behavioral and hierarchical. Behavioral architectures, also known as

reactive architectures, assign the AGV to execute a particular behavior because of current

sensor readings. The behaviors are defined in such a way that they cause the AGV to

tend toward completing its task. This allows the vehicle to navigate reliably with quick

response in a dynamic environment. However, as the complexity of the AGV's task or

its operating environment increases, the number of behaviors usually increases as well.

This makes it very difficult to predict the behavior of the AGV, and it makes it more

difficult for the designer to determine the correct behavior for all possible sensor

readings. Also, behavioral architectures do not guarantee the best solution since they

consider only the current sensor readings.

Hierarchical, or top-down, architectures break down the AGV's task into subtasks

and create functions to achieve these subtasks. This allows for the design of a

straightforward approach to accomplishing the task. Hierarchical architectures typically

maintain a model of its operating environment. They use this model along with

sophisticated planners to determine the best course of action in order to achieve a task.

Unfortunately, using sophisticated planners also tends to be complex, and results in a

slow response to changing environments.

Hybrid architectures attempt to combine behavioral and hierarchical architectures

in order to attain the desirable qualities of both architectures while overcoming their

individual shortcomings.








Behavioral Architecture

Some of the recent methods used to implement behavioral architecture include

potential field [25], fuzzy logic [26-32], neural networks [33-35] and genetic algorithms

[36,37]. Some researchers have combined one or more of these methods in an attempt to

overcome the weaknesses of a particular method with the strengths of another. Some of

these combinations are fuzzy-neural networks [38-42], fuzzy-genetic algorithms [43],

fuzzy potential field [44,45] and fuzzy-neural networks-genetic algorithms [46].

Song and Sheen present a fuzzy-neural controller for obstacle avoidance of a

differentially driven vehicle [40]. The operating environment is assumed to be unknown

completely and, the vehicle is required to maneuver to a target location. Heuristic rules

are combined with a neural network to map input from sonar sensors to the left and right

motor velocities. Two behaviors implemented for vehicle navigation include avoid

obstacle and danger. The avoid obstacle behavior attempts to navigate the vehicle in the

direction of the target unless impeded by an obstacle. The danger behavior is used to

escape from any undesirable situations. When the danger behavior is activated, the

vehicle spins around to find a direction of escape. The danger behavior takes priority

over the avoid obstacle behavior. Results are shown graphically of a robot navigating to

a target while avoiding walls and a box-shaped obstacle.

A sensory-based navigation scheme is presented by Tani and Fukumura [35]. The

navigation architecture consists of two levels, a control level and a navigation level. The

control level incorporates a potential method in order to limit the desired trajectories so

that each one is smooth and avoids obstacles. This leaves the task of the navigation level

to decide the direction of travel at branches in the task space. A recurrent neural network








is used to accomplish this task. The network is trained through the supervision of a

trainer who knows the optimal path.

The mobile robot YAMABICO is used to test this navigation technique. The

experiment involves navigating the task space by alternating between a figure 8 route and

a figure 0 route. At a specific branch in the task space, the vehicle must switch between

the two different routes by deciding the direction of travel. Results of this test are shown

graphically where for the most part, the navigation level chose the correct direction of

travel at the various branches in the task space.

Hoffmnan and Pfister present a fuzzy logic controller to navigate a vehicle to a

goal point while avoiding obstacles [43]. The fuzzy logic controller is used to map the

perceived input to an appropriate control action. This fuzzy logic controller is designed

automatically through the use of a genetic algorithm. The genetic algorithm uses an

objective function to select the best individuals for reproduction of offspring. The fuzzy

logic controller's performance is measured with respect to the two tasks of reaching the

goal and avoiding obstacles. If the vehicle collides with an obstacle the controller is

given a reward proportional to the number of steps prior to the collision. If the vehicle

does not collide but does not reach the goal in the allotted steps, an additional reward is

given depending on how close the vehicle is to the goal. If the vehicle is within a given

distance to the goal, the controller receives a third reward. The method was applied

successfully and the results are shown graphically.

Hierarchical Architecture

Hierarchical architectures typically involve either a path-tracking or trajectory-

tracking algorithm. Since the work done here involves path tracking, a more detailed

review of hierarchical architectures is warranted. Desired paths or trajectories can be









generated in real-time based on current sensor readings or generated once based on a map

of the operating environment. The method used, either real-time or not, to generate the

paths or trajectories generally depends on whether the operating environment is known a

priori and if it is static. Once the path or trajectory is known, there are several different

techniques used to track the path or trajectory. Some of these techniques include

Proportional-Integral-Derivative (PID) [47-53], pure pursuit [54-56], sliding-mode

[57,58], state feedback [59-66], fuzzy logic [67,68], neural networks [69-73] and fuzzy

neural networks [74,75].

PID techniques calculate errors based on the path or trajectory and the current

vehicle pose and velocity. These errors, and possibly their derivative and integral, are

multiplied by gains to determine the controlled input to the system. The first method

used to control the NTV, called follow-the-carrot, is a PID technique. The follow-the-

carrot path tracking method comes from the idea of holding a carrot in front of a farm

animal in order to coax the animal to move in a desired direction. With this in mind, the

follow-the-carrot method calculates a desired heading from the current vehicle position to

a look-ahead point called the carrot. The look-ahead point is a point on the path that is a

given distance in front of the orthogonal projection of the current vehicle position onto

the path. A PID controller is used with the error between the vehicle's current heading

and desired heading as its input and outputs the current steering wheel angle. This

method works well for straight paths but has problems with curved paths. By having the

look-ahead point a certain distance in front of the vehicle on the path, the desired heading

causes the vehicle to cut comers. Even if the vehicle were able to track the desired

heading with no errors, the vehicle would still have errors in its position.








Kanayama and Fahroo propose a new steering function as a line tracking method

for nonholonomic vehicles [51]. The current state of a ground vehicle can be represented

by its current linear speed, v, and its current path curvature, K = /r. Therefore, their

controller is designed to determine the optimal change in path curvature in order to track

a given line. They choose to control the vehicle's path curvature because it is related

more directly to vehicle control, and it is independent of the global coordinate system.

The steering function they propose is:

dK =- aK-b(O-0,)-cAd, (2.1)
ds

where a, b and c are positive constants, K is the current vehicle's path curvature, 6-LA is

the vehicle's heading error and Ad is the vehicle's position error. Immediately, it is

apparent that there is a problem of mixed units in their proposed steering function.

Unfortunately, Kanayama and Fahroo did not address this issue. By requiring that the

magnitude of (0-0i) be less than n/2, they determined that the relationship between the

constants should be, a = 3k, b = k2 and c = k3, for the controller to be stable. The term k is

the gain of the steering function and controls how fast or how slow the vehicle converges

to the line. This technique was tested in simulation as well as on the autonomous vehicle

Yamabico. The results of these tests are shown graphically for different values of the

steering function gain k.

Egerstedt et al. present the autonomous navigation of a car-like robot by tracking

a reference point [49]. As long as the vehicle's position and heading errors relative to the

reference point are small, the reference point moves along the path as the vehicle follows

it. If the errors are too large, the reference point may stop to wait for the vehicle.

Therefore, they call the reference point a virtual vehicle. The location of the virtual








vehicle depends on both the vehicle's current speed and position. Once the location of

the virtual vehicle is determined, the steering is controlled by the proportional controller:

6f =-k((p- pPd), (2.2)

where 5f is the steering angle, Vo is the vehicle heading, 'pd is the desired heading and k is

chosen based on the vehicle's maximum steering angle. This technique was tested on a

modified radio-controlled car and a Nomad 200. Results for both vehicles are shown

graphically and considered satisfactory.

A geometric path-tracking control of a differential drive vehicle that takes into

account the kinematic and dynamic properties of the vehicle is proposed by DeSanits

[48]. The vehicle has rear differentially driven wheels and a front castor wheel. A

reference frame is placed at the center of the rear wheel's axle. Using this reference

frame, differential equations of the vehicle's dynamic model are derived. Then, this

model is simplified by assuming no slip in either the lateral or longitudinal directions. A

path is assumed to be defined by a set of continuous functions of position and orientation

that the guide point must track. It is assumed also that both velocity and acceleration

profiles of the path are given and described by continuous functions. A path-tracking

controller is designed then in terms of the heading, lateral, and velocity errors. Assuming

the errors are kept sufficiently small, the vehicle's controller can be decentralized

allowing separate controllers for speed and steering. It turns out that the speed controller

is in the form of a PI controller and the steering controller is in the form of a PID

controller. Therefore, the gains of the controllers are determined through the use of

classical PID techniques. An example of applying this control technique to a wheelchair

is given, but no results are given of its accuracy.








Lee and Williams present a control method for a differentially driven autonomous

mobile robot [52]. The control structure is made up of two loops. In the vehicle

controller loop, a trajectory generator first provides the desired displacement and rate.

Then, the errors between the desired and actual are used as input to a PID controller that

converts them to a desired torque. The second loop calculates an error between a desired

posture and an actual posture. The desired posture is determined using the desired

displacement and rate along with a kinematic model of the vehicle. Similarly, the actual

posture is determined with the measured displacement and rate along with a kinematic

model of the vehicle. The error in posture is used then to calculate a torque in order to

drive the error to zero. The total commanded torque is the sum of the torque calculated

from the vehicle controller and the torque computed from the error in posture.

This navigation technique was tested both in simulation and experimentally.

Experimental results are shown graphically of the controller's ability to handle an initial

lateral error of 1 cm, initial longitudinal errors of 0.5, 1 and 2 cm, and initial heading

errors of 1, 2 and 3 degrees. The lateral error converged almost to zero in approximately

six seconds. The longitudinal and heading errors were able to converge to zero in about

0.2 seconds.

Choi presents an adaptive controller for the lateral position of a vehicle for the

Intelligent Vehicle Highway System (IVHS) [47]. The lateral error is measured using

look-down sensing which can be realized using electrified wires, radar reflection or

buried permanent magnets. Using the lateral error as input, a PD type controller is

presented. This results in the possibility of a steady state error. In order to deal with this,

the PD controller is modified by adding an unknown lateral disturbance force. This

lateral force is used to model unmeasured disturbances such as wheel misalignment,








unbalanced tire pressure, side wind, and offset errors on the steering actuator or its

sensor. This unknown lateral force is updated continually based on Lyapunov criterion.

The controller was tested on a track that is 330 meters long and 5 meters wide.

Permanent magnets, 2.2 cm in diameter and 10.2 cm long, were placed every meter. At a

low speed of 10 m/s, the vehicle followed the center of the track with a maximum lateral

error of 0.1 meters. The controller was tested also at a higher speed of 22 m/s and again

the maximum lateral error was 0.1 meters.

A control technique for high-speed autonomous navigation of a full-size outdoor

vehicle is presented by Shin et al. [53]. This technique separates the control of the

vehicle speed and steering by choosing the center of the rear axle as the point on the

vehicle to control. The desired speed of the vehicle is determined by factors such as the

current path curvature and the vehicle's distance to nearby obstacles. To control the

vehicle's steering, a feedforward module that incorporates the vehicle's dynamics is used

in conjunction with a feedback controller. The control input then takes the form:

U, = R, + Ke,, (2.3)

where Ri is the feedforward compensation and Ke, is the feedback error multiplied by

some gain.

The dynamic model of the feedforward compensator considers only the latency of

the steering. The latency is considered the dominant characteristic of the vehicle's

dynamics. It is modeled using a lumped system of first-order lag. The feedforward

compensator, in effect, sends commands in advance so that the steering maneuver starts

before a turn is encountered.

The feedback controller uses the vehicle's position, heading, and curvature errors.

Using the geometry of the errors, a quintic polynomial function is determined that








converges to zero at a specified look-ahead distance. Then, the variation of the steering

angle is determined from this polynomial. The look-ahead distance is used to adjust the

sensitivity of the system and is a function of the current vehicle speed.

Testing of this autonomous navigation technique was accomplished in simulation

and through experiments. In simulation, the technique was tested using an open-loop

controller, just the feedback controller, just the feedforward controller, and finally with

both the feedback and feedforward controller. The best results were obtained using the

feedback with the feedforward controller. The results of this technique had a position

error of 0.1 meters with a standard deviation of 0.1 meters, and a velocity error of 2.8

meters per second with a standard deviation of 4.8 meters per second.

Shin et al. used the autonomous vehicle Navlab as a test bed. The desired path

consisted of a 20-meter straight line ending with a 5-meter lateral jump and then followed

by an additional 80-meter straight line. Results are shown graphically for various

feedforward compensation times. With these results the feedforward compensation time

of Navlab is determined to be 0.5 seconds. Using this time, the navigation technique is

tested on a path that is over 500 meters in length at speeds up to 10 meters per second.

Results of this test are shown graphically and are considered acceptable.

Jagannathan et al. present the path planning and control of a nonholonomic

vehicle [50]. A path planner that considers the nonholonomic constraints generates a

desired trajectory. The control structure consists of an inner feedback linearizing loop to

eliminate the nonlinearities in their equation to model the vehicle dynamics. A second

feedback linearization loop is required after converting the path trajectories to a local

vehicle coordinate system. Finally, Lyapunov techniques are used to design an outer








control loop to guarantee that the vehicle follows the desired trajectory. This selection of

the control law yields a PD controller.

The path planning and control proposed by Jagannathan et al. is tested in

simulation. The width of the vehicle is assumed to be 10 cm and the radius of its wheels

is assumed to be 3 cm. The position and velocity gains for the outer loop PD controller

are set to 100 and 20, respectively, for a critically damped system. Several tests are done

where an initial position and orientation are specified, as well as a goal position and

orientation. Results of these tests are shown graphically.

Murphy presents a simple vehicle and path following model for vehicle

navigation at highway speeds [55]. A military HMMWV was modified by attaching

motors to the steering wheel, brake, and throttle. In addition, a video camera was

mounted on the vehicle in order to determine its lateral position on the road. Pure pursuit

is used to determine the instantaneous curvature of the vehicle's path. Using the models

developed, it is proven that the system's stability increases by reducing the controller

delay and decreases by increasing the vehicle speed. In order to compensate for the

computational delay of the vision, Murphy suggests using an inertial navigation sensor.

Ollero and Heredia present their stability analysis of a pure pursuit path tracking

technique that is applied to a computer controlled HMMWV [56]. Kinematic equations

of the vehicle's motion are determined in terms of the vehicle's speed and angular

velocity. The vehicle's angular velocity is modeled by a first order differential equation.

The vehicle's desired turning radius is calculated using pure pursuit:


L2 (2.4)
2x








where L is the look-ahead distance and x is the lateral error. This is a proportional

controller where the look-ahead distance determines the gain to be applied to the lateral

error. Assuming a small lateral error and a small angle between the vehicle heading and

the heading from the vehicle position to the look-ahead position, they derive the

condition for stability to be L>1.

Next, the stability is analyzed by assuming a time delay, ;, of the steering

command due to computing and communication delays. Conditions for stability are

derived and shown graphically by plotting the nondimensional quantities r/T by LI(VT),

where Tis the steering time constant and Vis the vehicle velocity.

To determine the accuracy of their stability analysis, experimental data is taken of

the computer controlled HMMWV at speeds of 3, 6 and 9 meters per second. For each

speed, the minimum and maximum look-ahead distance that results in a stable system is

determined. The results are displayed graphically by plotting the stable look-ahead

distance determined by the analysis without delay and with delay as a function of velocity

and plotting the experimental results on the same plot. The experimental results require a

slightly larger look-ahead distance than the stability analysis with delay requires. This is

accounted for because of the fact that nonlinear terms are not considered in the vehicle

model.

Ku and Tsai present an autonomous navigation of an indoor vehicle that follows a

person [54]. The navigation technique presented is broken down into seven steps. First,

acquire an image. An image of the environment in front of the vehicle is captured using a

CCD camera that is mounted on the vehicle. In order to reduce the time to detect the

person to follow, a rectangular shape is attached to their back. The second step involves

detecting feature points of this rectangular shape. Third, transform the feature points








from the image coordinate system to a 3-dimensional space coordinate system and

determine the location of the person. Fourth, using a sequential pattern recognition

technique, determine if the person is walking straight or turning. Step five calculates the

speed of the person from the location of the person in consecutive cycles. Step six

calculates a desired turning radius of the vehicle using pure pursuit. Finally, step seven

controls the speed of the vehicle using a fuzzy control technique. This method is tested

using an autonomous vehicle and results are shown graphically. Successful and smooth

navigation is claimed while a person walks in different directions.

Balluchi et al. present a path-tracking controller designed according to sliding-

mode techniques for Dubin's cars, i.e., cars that can only move forward with curvature

bounds [57]. They assume the forward velocity is given, and therefore consider only the

lateral stabilization of the vehicle to the desired path. The input of their controller

consists of the lateral and heading errors, the sign of the path curvature and the current

vehicle speed. Note that only the sign of the path's curvature is used and not its

magnitude. This is a result of assuming that the path shape is not known a priori. Using

the sliding-mode design technique an equivalent control is derived. This result did not

satisfy the minimum turning radius constraint of their Dubin's car. A control law similar

in form of the equivalent control is proposed instead. This control law converges to the

reference path while satisfying the constraints provided the initial position and heading

errors are small. This technique is tested in simulation and the results are shown

graphically.

State feedback techniques generally use kinematic equations to model the

vehicle's motion. Then, these equations are converted and possibly linearized, to state








space equations. Using various methods, a feedback gain matrix is determined to control

the system.

Aguilar et al. present a path-following controller for differential drive mobile

robots [59]. It is assumed that a path exists whose curvature is both continuous and

bounded. A moving reference frame is defined with the origin located at the orthogonal

projection of the vehicle's position onto the reference path and orientated with the

tangential of the path at that point in the direction to follow. Differential equations of the

position and heading errors are derived based on the location of the vehicle's reference

frame relative to the moving reference frame. Using these differential equations and

assuming a nonzero linear velocity, a state feedback controller is presented to control the

vehicle's angular velocity that drives the position and heading errors to zero.

Two constraints on the system are required for guaranteeing exponential stability.

The first constraint requires the distance from the vehicle to the path be less than the

current reference path curvature. This is required in order to be able to define the

reference frame uniquely. A second constraint is a result of dealing with discontinuities

with the path curvature. This constraint limits the distance the vehicle can be from the

path as a function of the current velocity.

The control laws are implemented on a robot of the Hilare family. The robot's

position and orientation are determined by integrating the variation of each wheel. Two

different paths made up of line segments and arcs are used to test the controller. Results

of these two tests are presented graphically.

Hemami et al. present their work on the path tracking control of a mobile robot

with front steering [62]. Only the kinematic equations of the system are considered as the

vehicle is intended to operate at low speeds. The equations derived are based on a








coordinate system at the center of mass. With these equations, a state feedback controller

is designed to minimize the control input as well as the position and heading errors. The

performance index used to accomplish this is:


J=J(qi +q2, e+rtan2 t, (2.5)
0

where ed is the position error, 0 is the heading error, 8 is the steering angle and qi, q2,

and r are weighting factors. The state feedback gain matrix is derived as functions of

known variables and of the weighting factors. Examples are presented that calculate the

state feedback gain matrix at different forward velocities. No results of its accuracy to

track paths are given from real experimental data or simulation.

Guldner et al. present a controller for the automatic steering of passenger cars

[63]. Some of the performance requirements of their design include being robust with

changing road adhesion due to different weather conditions, limiting the lateral

displacement to 0.15 meters with good road adhesion and 0.3 meters with poor road

adhesion, and keeping the passenger comfort similar to a manually steered vehicle. Their

control design considers a lookdown reference system where sensors to measure the

lateral offsets of the vehicle are placed on the front and rear bumpers. Dynamic

equations are derived in terms of the front and rear lateral displacements and their

derivatives. In order to deal with the performance requirements, the parameter space

approach in an invariance plane is used to determine a state feedback controller.

The controller is tested on a Pontiac 6000 STE Sedan. A 2-kilometer test track is

made up of straight sections as well as left and right turns with a turning radius of 800

meters. Magnets are placed every 1.2 meters over the entire track. The vehicle has a

gyroscope and accelerometer to record the motion of the vehicle, as well as








magnetometers on the front and rear bumpers. Results of the experiments are shown

graphically where the steady state error in the curves is approximately 0.2 meters for

good road adhesion and approximately 0.5 meters for poor road adhesion.

Behringer and Mi'ller present an autonomous vehicle based on vision that is able

to navigate on public roads in normal traffic [61]. One of the requirements of this vehicle

is to be able to recognize intersections and then to navigate the vehicle in the right

direction. In addition to the vision, a dead-reckoning system, made up of an odometer

and gyros, is used to measure the current state of the vehicle. Separate feedback

controllers are used to control the vehicle's lateral and longitudinal movements. The

longitudinal controller is based on lookup tables to actuate the vehicle's brake and

throttle. The lateral controller uses state feedback where the states are defined to be the

lateral offset, yaw angle rate, yaw angle, slip angle, and steering angle.

The autonomous navigation is tested on a track that includes curves of constant

radii of 40, 50 and 100 meters, as well as curves with approximately clothoid shape. The

results of these tests are shown graphically. The steering algorithm is claimed to be

sufficiently reliable such that the operation on arbitrary intersections is assumed to work

as well.

The tracking control of a mobile robot, using a time-varying state feedback

controller based on the backstepping technique, is presented by Jiang and Nijmeijer [64].

Local and global controllers are presented based on a kinematic model of the vehicle. In

addition, another controller is presented based on a simplified dynamic model.

Simulations in MATLAB were carried out to test the local and global controllers. The

results of their simulation showed that the local controller performs better for small initial









tracking errors and that the global controller was able to handle large initial tracking

errors.

Astolfi presents a controller for chained systems with two control inputs using a

discontinuous state feedback control law and applies it to a drive car-like vehicle [60].

The kinematic model of the car is given by

x= cos 0vI (2.6)
= sin 0v1
0=-tan v,'
1


where x andy are the location of the vehicle with heading 0, 0 is the steering wheel angle,

and vi and v2 are the vehicle velocity and steering wheel, respectively. This system is put

into a chained form using the state transformation:

x = x (2.7)

x2 =-sec20tan 0
x3 =tanO
x4 =y


and input change:

U1 -(2.8)
vI = cos 9
v2 -3sin2 tan 0 sec0u, + cos2 cos3 Ou2
+lc


Results of this controller, which was tested in simulation with different initial conditions,

are presented graphically.

Mouri and Furusho compare the results of using a PD controller versus using a

state feedback controller that was developed using linear quadratic (LQ) control for

navigating a vehicle on a highway [65]. The PD controller uses the lateral error to








determine a steering command. The proportional gain can be increased to achieve the

desired response and still converge by setting the derivative gain up to a certain point.

After that point, continuing to increase the proportional gain results in not being able to

construct a controller that provides both good response and convergence. Because of this

fact, a state feedback controller is developed using LQ control, where the lateral velocity

and the lateral deviation are chosen as states.

These two methods were tested on a vehicle with a speed of 80 km/h. The lateral

offset was determined from a magnetic sensor on the front bumper of the car that was

able to detect magnetic markers buried in the road. The PD control had large overshoots

when attempting to improve the systems time response. The system was also more

susceptible to noise. The gains for the LQ control could be increased by a factor of 10

compared to the PD controller gains that gave them the desired response and still

achieved the desired lateral convergence.

Rekow et al. present an adaptive steering controller for tractors using a

differential global positioning system [66]. The following vehicle model is used:

Y 0vx p2 0 0 y 0 (2.9)
S0 0 1 0 0 Vo 0
z = 0 0 -P3 v.P4 0 2, + 0 u,
0 0 0 0 1 8 0
6) 0 0 0 0 -p5 P o Ps5

where y is the lateral error, qp is the heading error, Q, is the yaw rate, 8 is the steering

angle, aw is the slew rate, vx is the forward velocity, and p2 through p5 are unknown

vehicle parameters. A least mean square algorithm is used to identify the unknown

parameters. A linear Kalman filter is used to estimate the unmeasured states required by








the least square algorithm. Finally, a feedback controller uses the estimated parameters

to calculate linear quadratic regulator control gains.

The control algorithm is tested using a tractor equipped with carrier phase

differential global positioning system that provides position data to within 2 cm and

attitude data to within 0.1 degrees. Results of these tests are shown graphically.

Additionally, the average lateral error is claimed to be 2.55 cm with a standard deviation

of 3.1 cm.

One of the more recent techniques of path or trajectory tracking is fuzzy logic.

One of the main attractions to using fuzzy logic is the ability to develop a controller

without the need of a precise vehicle model. Baxter and Bumby present a fuzzy logic

navigation controller for an autonomous vehicle in the presence of obstacles [67]. Five

principles are used to develop fuzzy sets and rules to navigate to a desired location with a

desired orientation. First, if the vehicle is a large distance from the goal, then steer the

vehicle to have a heading that goes to the goal. Second, if the vehicle is a medium

distance from the goal, then steer the vehicle to have a heading that goes to the goal and

has the same orientation as the goal orientation. Third, if the vehicle is a small distance

from the goal, then steer so that the current orientation goes directly to the goal position

and equals the desired goal orientation. Fourth, if the third step is unattainable, then steer

away from the goal for a new approach. And fifth, if the vehicle is almost on top of the

goal position, then steer to achieve desired goal orientation. Obstacle avoidance is

achieved by adding rules that inhibit the vehicle from steering in certain directions. By

using rules that inhibit motion, the number of possible active outputs is reduced. The

navigation control is tested in simulation and experimentally at a constant speed of 0.1

m/s. Results of these tests are shown graphically.








SAnchez et al. present an adaptive fuzzy control for autonomous navigation [68].

The inputs to the fuzzy controller are the vehicle's distance from the goal point, the

vehicle's velocity, the difference between the vehicle's heading and the path heading, and

the vehicle's curvature. The outputs of the controller are the vehicle's required curvature

and velocity. The controller attempts to adapt to the current system and operating

conditions by using a learning function that estimates the values of the center and width

of membership functions of the input vector and the values of the singleton output vector.

The learning function uses measured data of the controller's input and the measured data

of the controller's output that an expert provides during a learning stage.

This control technique is applied to the autonomous mobile robot Romeo 3R.

Romeo 3R was developed by adapting a conventional tricycle electric vehicle. The

controller was trained first from data obtained in experiments performed with a human

driver. Results of the path-tracking algorithm with an initial position error are given

graphically.

Another more recent technique to track paths or trajectories is neural networks.

Neural networks can be used to determine the controlled inputs to the plant based on

current measurements or it can be used to estimate model parameters. Yang et al. present

a predictive control approach to path tracking [73]. The basic concept of their predictive

controller is first to estimate the future location and orientation of the vehicle based on

the current location and orientation and the current control inputs. An error is calculated

then based on this prediction by comparing it to the desired path. Finally, an

optimization technique is used to determine the output of the controller for the next time

period.








The predictive controller uses a kinematic model of the vehicle that is dependent

on the current vehicle velocity and steering wheel angle. The vehicle velocity is modeled

by a simple linear system. The model of the vehicle steering, on the other hand, is

determined by using a neural network. Unfortunately, using a neural network to identify

the steering model is computationally intensive. Therefore, tuning this model must be

done off-line.

Yang et al. apply their predictive controller to a four-wheel outdoor vehicle,

THMR-III. Results of the vehicle's ability to track a given path are shown graphically

and considered quite satisfactory.

Fierro and Lewis present a controller that is designed to deal with trajectory

tracking, path tracking and stabilizing about a point [69-71]. The controller requires no

knowledge of the vehicle's dynamics. The task of the neural network is to learn the

vehicle dynamics on-line and a kinematic controller is used to determine the controlled

input to the system. The control scheme presented is valid as long as the velocity control

inputs are small, smooth and bounded, and the disturbances are bounded also.

The neural network control scheme is tested in simulation and compared to a

controller that assumes perfect velocity tracking, and a controller that assumes complete

knowledge of the vehicle's dynamics. The performance of each controller is shown

graphically. The performance of the controller assuming perfect velocity tracking is

considered poor. It is noted that the controller that assumes to know the vehicle's

dynamics requires exact knowledge in order to work properly. The neural network

controller's response is considered to be improved compared to the previous two

controllers.








A guidance controller for automated transit vehicles is presented by Rajagopalan

and Minano [72]. The controller is based on a feedforward neural network with the back

propagation algorithm for learning. The back propagation network is used because of its

capability to learn constantly through nonlinear mapping. The neural network takes the

current position and heading error as inputs and then generates the steering angle

command. This command is used by a kinematic model to determine the desired

velocities of the left and right wheels. The controller is tested in simulation where it is

able to reduce tracking errors quickly and minimize overshoot for vehicle speeds up to

4.0 m/s.

Hybrid Architecture

Hybrid architectures [76-85] combine the methods described in the previous two

sections, and therefore is mentioned here briefly. Hybrid architectures typically are used

to accomplish path tracking or trajectory tracking, as well as obstacle avoidance. This is

accomplished by combining a technique that uses behavioral architecture for obstacle

avoidance, and a technique that uses hierarchical architecture for path tracking.

Therefore, some arbitration is required then to decide whether to track the path or

trajectory or to avoid the obstacle.













CHAPTER 3
VECTOR PURSUIT PATH TRACKING

This chapter presents a new geometric path-tracking method for navigating AGVs

with nonholonomic constraints. This method uses the theory of screws that was

introduced by Sir Robert S. Ball in 1900 [86]. Screw theory can be used to describe the

instantaneous motion of a moving rigid body relative to a given coordinate system. It

therefore is natural and appropriate to use screw theory to represent the instantaneous

desired motion of an AGV, i.e., a rigid body, from its current position and orientation to a

desired position and orientation that is on a given path. Before developing the new path-

tracking method, a brief overview of screw theory used in these methods is presented.


Screw Theory Basics

A screw consists of a centerline that is defined in a given coordinate system and a

pitch. The motion of a rigid body at any instant can be represented as if it was attached to

a screw and rotating about that screw at some angular velocity.

One way to define the centerline of a screw is by using Pliicker line coordinates.

Two points given by the vectors ri and 2 in a given coordinate system define a line as

shown in Figure 3.1. This line can also be defined as a unit vector, S, in the direction of

the line and a moment vector, So, of the line about the origin. From Figure 3.1 we see

that:

S-= 2-r, (3.1)
I2 _rli










So = r, x S


'*17
Figure 3.1: Line Defined by Two Points


The vectors (S ; So) are the Plicker line coordinates of this line. By defining S-

[L, M, N]T and So = [P, Q, R]T, and noting that rl = [xl, yh, zIT and r? = [x2, Y2, z2T, we see

that:

Lx2 -x (3.3)
J(x2 -x1)2 + (Y2 Y)2 +(z2 -z)2


(3.4)


M=_X2 Y2 Y-
(x2 -x)2 +(Y2 -y)2 +(z2 -z)2


(N =z2 -Z1
V(x2 _x1)2 +(Y2 -(Y)2 +(z2 -z,)2


and


(3.5)


P = yN zIM,

Q = zL -xN,

R=x1M-y1L.


(3.6)

(3.7)

(3.8)


(3.2)








Figure 3.2 depicts the instantaneous motion of a rigid body rotating with an

angular velocity, wC, about a screw, $, that has a centerline defined by (S ; So) and that has

a pitch, h. The velocity of any point on the rigid body is equal to the velocity due to the

rotation plus the translational velocity due to the pitch of the screw. The velocity of the

rigid body can be quantified by:

a4 = (oS; ,)SOh), (3.9)

where

S o=S + hS = r x S + hS, (3.10)

and r is any vector from the origin to the centerline of the screw. The instantaneous

velocity of a point in the rigid body that is coincident with the origin of the coordinate

system is given by:

Cos-Oh (3.11)











Figure 3.2: Instantaneous Motion About a Screw.


Two specific screws are used in developing the path-tracking algorithms in this

chapter, translation screws and rotation screws. The motion about a screw with an

infinite pitch models pure translation of a rigid body at a velocity v along the direction S.

In the limit, as the pitch goes to infinity, (3.9) simplifies to:








v$ = (0;vS), (3.12)

which is a screw that has a centerline at infinity.

On the other hand, the motion about a screw whose pitch is equal to zero models

pure rotation of a rigid body. By substituting a pitch, h, equal to zero, (3.9) simplifies to:

0)$= (coS;aoS0). (3.13)

In addition to using rotation and translation screws, a property of instantaneous

screws that proves to be very useful is that they are additive. Note that the units of (3.12)

and (3.13) are the same even though (3.12) is a translation screw and (3.13) is a rotation

screw.


Vector Pursuit

Vector pursuit is a new geometric path-tracking method that uses the theory of

screws. This is a new technique that is developed here and which represents one of the

contributions of this dissertation. It is similar to other geometric methods in that a look-

ahead distance is used to define a current goal point, and then geometry is used to

determine the desired motion of the vehicle. On the other hand, it is different from

current geometric path-tracking methods, such as follow-the-carrot or pure pursuit, which

do not use the orientation at the look-ahead point. Proportional path tracking is a

geometric method that does use the orientation at the look-ahead point. This method

adds the current position error multiplied by some gain to the current orientation error

multiplied by some gain, and therefore becomes geometrically meaningless since terms

with different units are added. Vector pursuit uses both the location and orientation of

the look-ahead point while remaining geometrically meaningful.








The first step in vector pursuit calculates two instantaneous screws. The first

instantaneous screw, $j, accounts for the translation from the current vehicle position to

the location of the look-ahead point while the second instantaneous screw, $r, accounts

for the rotation from the current vehicle orientation to the desired orientation at the look-

ahead point. The second step uses the additive property of instantaneous screws to

calculate $d, the sum of $j and 5., which defines the desired instantaneous motion of the

vehicle. Two different methods are considered to calculate the two screws, $, and &.

The first method initially ignores the nonholonomic constraints of the vehicle to calculate

IS and $,. and then deals with the constraints after adding the two instantaneous screws.

Conversely, the second method does not ignore the nonholonomic constraints to calculate

$j and S. It turns out, for this method, that the sum of $ and S, also does not violate the

nonholonomic constraints. Finally, the last step calculates a desired turning radius, or a

desired turning rate if the current vehicle velocity is considered, from $d.

Defined Coordinate Systems

Before developing the screw theory based path-tracking methods, a few

coordinate systems must first be defined. First, the world coordinate system is defined

where the x-axis points north, the z-axis points down and the y-axis points east to form a

right hand coordinate system. The origin of the world coordinate system defined here is

determined by the conversion from a geodetic coordinate system to a UTM coordinate

system. It is assumed that the desired path is given, or can be converted to, the world

coordinate system. The world coordinate system can be seen in Figure 3.3.

In addition to the world coordinate system, both a moving and the vehicle

coordinate systems are shown in Figure 3.3 also. A moving coordinate system is defined

where the origin is a point on the planned path, the look-ahead point, which is a given









distance called the look-ahead distance, L, in front of the orthogonal projection of the

vehicle's position onto the planned path. Its x-axis is oriented in the direction of the

planned path at that point, i.e., the direction from the previous waypoint wi-I to the current

waypoint w,, the z-axis is down and the y-axis is defined to form a right hand coordinate

system. Since the moving coordinate system's origin is located at the look-ahead point,

this coordinate system will be referred to as the look-ahead coordinate system. The

selection of the distance L will be discussed later.









\









WXX


w!
WiY
---- > wy

Figure 3.3: Defined Coordinate Systems.



Finally, the vehicle coordinate system is defined where the x-axis is in the

forward direction of the vehicle, the z-axis is down and the y-axis forms a right hand

coordinate system. The origin of the vehicle coordinate system depends on the type of

vehicle. For nonholonomic vehicles, it is defined in a way that decouples the control of

the linear and angular velocities. For example, on a car-like vehicle with rear wheel







drive, the origin is defined to be the center of the rear axle. With these three coordinate
systems defined, the development of vector pursuit path tracking is presented now.
A method is required to indicate the coordinate system a vector is referenced
since more than one coordinate system was defined here. Therefore, vectors are written
with a leading superscript indicating the coordinate system to which they are referenced.

Method 1
Recall that this first method initially ignores the nonholonomic constraints of the
vehicle. With this in mind and using (3.12), $, is defined to be:

W t = kt 000; W XLWXV WYLWY ) (3.14)
Id d '

where d is the distance from the look-ahead point to the vehicle position, (WxL,WyL) are the
coordinates of the look-ahead point in the world coordinate system, and (Wxv, Wyv) are the
coordinates of the vehicle position in the world coordinate system. The term k, is a
weighting factor that will be dealt with later. Similarly, using (3.13), $r is defined to be:
W $r = k(0,0,1;WyV,-WxV,O), (3.15)

where kr is a weighting factor. Note that the axis of rotation is chosen to be the origin of
the vehicle coordinate system so that no translation is associated with &. Now the
desired instantaneous screw, $d, is calculated to be:

W d= +W _$r (3.16)

=0(9OOk,; kr WkYV + W XldWXV ,-kw xv + W YLdwYV ),).

The weighting factors k, and kr are used to control how much the desired
instantaneous screw is influenced by and &,, respectively. To determine these
weighting factors it is noted from (3.12) and (3.13) that k, is a linear velocity and kr is an









angular velocity. Assuming the vehicle travels on the screw defined by $ at some

velocity, k, = v, the time required for the vehicle to reach the look-ahead point would be:

d (3.17)
V

Using the same line of reasoning, if the vehicle travels on the screw defined by $

at some angular velocity, kr = co, the time required for the vehicle to rotate from its

current orientation to the orientation at the look-ahead point would be:

tr=, 0V (3.18)
0)

where OL is the angle from the x-axis of the world coordinate system going clockwise to

the x-axis of the look-ahead coordinate system, O( is the angle from the x-axis of the

world coordinate system going clockwise to the x-axis of the vehicle coordinate system,

and their difference must be in the interval (-nj,r]. Next, the assumption is made that the

relationship between t, and tr can be defined by:

tr =kt,, (3.19)

where k is some positive constant greater than zero. Therefore, the weighting factors can

now be determined from:

kt= V, (3.20)

and

k OL -ov =o v((OL -) (3.21)
t, ktI kd

where again, the difference OL-Ov must be in the interval (-7n,7].

In order to determine the desired motion of the vehicle defined by this

instantaneous screw, the location of its centerline must be determined in the vehicle








coordinate system. To do this, the location of the desired instantaneous screw's

centerline is determined first in the world coordinate system by:

_, X Vyj-w k-(WY y k (3.22)


and

w Y L, vW lwy, +k x Lxv (3.23)
,= k d ) Yv +k _0v

Note that equations (3.22) and (3.23) are valid only ifkr, i.e. OL-Ovv, is nonzero. If

kr is nonzero, the location of the desired instantaneous screw's centerline in the vehicle

coordinate system is determined by:
V X = W Xv cos(0v )+wyv sin(0)v )(w Xs cos(Ov)+Wysd sin(Ov)) (3.24)

and
V d_ =-w xv sin( v)+Wyv cos(Ov) (-w xs sin(O,)+Wyd cos(O9)) (3.25)

Otherwise, if kr is zero, equation (3.16) reduces to equation (3.14), which is a

screw whose centerline in the vehicle coordinate system is located at infinity in a

direction perpendicular to the line that connects the vehicle position and the look-ahead

point.

The desired motion of the vehicle can be determined now that the location of the

desired screw's centerline is determined in the vehicle coordinate system. An example of

a desired instantaneous screw and its associated desired motion is shown graphically in

Figure 3.4. In this figure, one instantaneous screw is executed continually over time to

exaggerate the desired vehicle motion. From Figure 3.4, it is noted that the initial desired

motion from the current vehicle location is a translation along the vehicle's negative y-








axis and a rotation clockwise. This motion is not possible for a vehicle that is constrained

to translational motion only in the direction of its current orientation. In other words, in

order for the vehicle in Figure 3.4 to translate in the direction of the current vehicle's

negative y-axis, it must first rotate counter-clockwise. This is opposite of the desired

rotation defined by the instantaneous screw. Therefore, it is noted that the possibility

exists where the vehicle may be unable to execute the motion defined by the desired

instantaneous screw defined in equation (3.16) because of the motion constraints of the

vehicle.


Figure 3.4: Vehicle Motion if Desired Instantaneous Screw is Continually Executed.


Nonholonomic constraints exist when the motion orthogonal to the vehicle's

forward direction is not possible. In other words, using the vehicle's coordinate system

defined earlier, motion is restricted at any instant only in a direction parallel vehicle's x-








axis. Therefore, the velocity along the vehicle's y-axis must be equal to zero. This can

be expressed as an equation in the world coordinate system through a simple coordinate

transformation as:

w i sin(O )- Wcos(v) = 0. (3.26)

In order to deal with these constraints, a new desired screw, id, is calculated based

on the previously calculated desired screw, $d. The new desired screw is determined by

first obtaining a new look-ahead point that is a distance L from the vehicle's position

along an arc defined by the desired screw (see Figure 3.5). A circle can then be obtained

that passes through both the new look-ahead point and the vehicle point and that is

tangent to the vehicle direction. The new desired screw, $., with its corresponding

desired screw, $, can be seen in Figure 3.5.









-. ^ '
/




/


Figure 3.5: Desired Screw, W$d, and New Desired Screw, w%,.








Unfortunately, this could place a restriction on the location of $'s centerline in

order for the new look-ahead point to exist. The distance from the vehicle position to the

centerline of & must be greater than VzL. This restriction turns out to be a case where the

vehicle needs to simply turn around, and therefore the location of the new desired screw,

$d, in the vehicle's reference frame can be determined by the vehicle's minimum turning

radius rmin using:

V X = 0 (3.27)

and

V Ys,, =r' (3.28)

if the direction of the desired screw's centerline is in the positive z-direction, or:

v Xs, = 0 (3.29)

and

$y' = -r'1,, (3.30)

if the direction of the desired screw's centerline is in the negative z-direction.

If the distance to the centerline of $ is greater than VzL, then two points exist on a

circle whose center is the centerline of $4 and whose radius is the distance to the vehicle

position that are a distance L away from the vehicle position. This can be seen in Figure

3.6. In order to determine the location of these two points in the vehicle coordinate

system, the angle from the x-axis of the vehicle coordinate system to the centerline of $d

is determined first by:

a = atan2(V yV X Sd) (3.31)








Next, it is noted through symmetry that the angle between the line from the

vehicle position to pi and the line from the vehicle position to &'s centerline is equal to

the angle between the line from the vehicle position to p2 and the line from the vehicle

position to the desired screw's centerline. Through simple geometry, the magnitude of

this angle can be determined by:


/=a3cos L (3.32)
2 =__ ayO


where fP must be in the interval (0,7/2] radians. Now the angle from the x-axis of the

vehicle coordinate system to both Pi and p2 can be determined by:

y=af. (3.33)






/








L\ \Y '/
/\
N r








Figure 3.6: Possible Look-ahead Points p, and p2.


Only one of these two points is used as the new look-ahead point, so to determine

which point to use, the direction of _d's centerline is considered. The new look-ahead








point is defined to be the point that is encountered first by traveling along the arc defined

by $d starting from the vehicle position. Therefore, if the direction of $d's centerline is in

the positive z-axis of the vehicle coordinate system, then the angle from the vehicle

coordinate system's x-axis to the look-ahead point is:

r = a -f. (334)

This is the case of the desired screw, $d, shown in Figure 3.6 where p, is determined now

to be the new look-ahead point. Similarly, if the direction of the desired screw's

centerline is in the negative z-axis of the vehicle reference frame, the angle from the x-

axis of the vehicle coordinate system to the new look-ahead point is:

r =a +/j. (3.35)

Since the angle from x-axis to the new look-ahead point is determined in the

vehicle coordinate system, the location of the new look-ahead point in the vehicle

coordinate system can be calculated by:

VXL = L cos(y), (3.36)

and

vYL = L sin(y). (3.37)

Now that the location of the new look-ahead point is known in the vehicle's

coordinate system, the location of the new desired screw's centerline can be located in

the vehicle's coordinate system. Assuming p = p, or p = p2, from Figure 3.7 we see that

the location of the new desired screw's centerline is on the vehicle's y-axis at a distance

R from the x-axis. From Figure 3.7,

2 2 = 2(3.38)
a +,x =R. (3.38)


Substituting:








a = R-vyp, (3.39)

V L2 = Z2-yp2, (3.40)

and solving for R gives:

L2 (3.41)
2vYP

Therefore, the new desired screw's centerline is located at:

v x, =0, (3.42)


v L2 (3.43)
2vyp





^*-2


| [y>S ,^ "" /./ j/ /' .( L







Figure 3.7: Locating v$e's centerline.



The direction of the new desired screw's centerline can be determined by the

location of the new look-ahead point in the vehicle's coordinate system. The direction of

the commanded screw's centerline depends on which quadrant of the vehicle's coordinate

system the new look-ahead point is located. This is summarized in Table 3.1.








Table 3.1: Desired Screw's Centerline Direction.
vsign of yp Screw's Centerline Direction
sign of x, sign of Along the z-axis
Positive Positive Positive
Positive Negative Negative
Negative Positive Negative
Negative Negative Positive


Note that when the new look-ahead point's x-value is negative, the vehicle's

velocity would have to be negative, or in other words, the vehicle direction would have to

change from forward to reverse. In order to keep the vehicle direction from changing, the

x-value of the look-ahead point must be greater than zero, otherwise the vehicle is

commanded simply to turn around. Equations (3.27) and (3.28) or equations (3.29) and

(3.30) are used again to calculate the location of the commanded screw's centerline in

this situation.

Finally, it is important to note that the look-ahead distance, L, and the constant k,

are free choices and as such represent parameters that must be selected in order to

optimize or tune the vehicle's performance.

Method 2

The second method developed to calculate $_ and $, takes into account the

vehicle's nonholonomic constraints. In order to satisfy the constraints, the centerlines of

the instantaneous screws must be on the vehicle's y-axis and a distance from the x-axis

greater than or equal to the vehicle's minimum turning radius. The requirement that the

instantaneous screws' centerlines be a distance greater than or equal to the vehicle's

minimum turning radius from the x-axis is ignored initially. It is ignored at first because

of the fact that some vehicles, e.g., a differentially driven vehicle, with nonholonomic

constraints have no minimum turning radius. Therefore, the only initial constraint placed







on the location of the centerlines of the instantaneous screws is that they must be on the

vehicle's y-axis. With this in mind, the screw to correct the translational error, $_, was

selected as the center of a circle that passes through the origins of the vehicle coordinate

system and the look-ahead coordinate system and which is tangent to the vehicle's

current orientation, i.e. the x-axis of the vehicle coordinate system. (See Figure 3.8)

Hence, $j is defined to be:

=k ,O,l;wy, + d' cos(O-)wx + sin(o9, (3.44)
S2 vYL 2 vYL

where d is the distance from the origin of the vehicle coordinate system to the origin of
the look-ahead coordinate system (where the look-ahead coordinate system is defined as

before), (VxL,VyL) are the coordinates of the look-ahead coordinate system's origin in the

vehicle coordinate system, (wxvwyv) are the coordinates of the vehicle position in the

world coordinate system, and Oy is the angle from the x-axis of the world coordinate

system to the x-axis of the vehicle coordinate system. The term k, is used again as a

weighting factor that will be dealt with later. Equation (3.44) is valid only if the term VYL

is nonzero. Otherwise, $ is determined by:
w k] ^ -"~ ^n (3.45)
W,= kt 0,0,0; WXL-WXV YLY- V 0) (3.45)
d d

The instantaneous screw, $r, is defined to be:

w $r = kr (0,0,1;Wyv,- w, ,o), (3.46)

which is the same as equation (3.15), but the weighting factor kr is determined differently.



























Figure 3.8: Instantaneous Screw for Translating to Look-ahead Point.


Now the desired instantaneous screw is determined as either

W $d=W $, w $= +k;k, Wyv +k, W yv +d 2 cos(V (3.47)
-s 2 YL

-krWxv +k Wxv + -- sin(OV ,0) ,
2vYL

if the term yL is nonzero, or

$-= $+W$=0,0,kr;k y+kw-d (3.48)
W-d $+~= j~OO~ WYV +k dL~v


krxW +k,( Ld }oIJ

if the term vYL is zero.

The weighting factors k, and kr are used again to control how much the desired

instantaneous screw is influenced by $ and $r, respectively. These two weighting factors








are related again by the time required to translate to the look-ahead point and rotate to the

desired orientation. Assuming that the term vyL is nonzero, note that while the

instantaneous screw defined in equation (3.44) describes a motion to translate the vehicle

from its current location to the look-ahead point, it also describes a motion that rotates the

vehicle. This can easily be seen in Figure 3.9. Therefore, from equation (3.13), the

weighting factor kt is an angular velocity now instead of a linear velocity. The amount of

rotation, 0, can be determined by:

S=atan2((2Vy2 d2 (2VxL V YL ))- atan2((d2VyL ,o. (3.49)

where 0 must be in the interval (0,2nt] radians. It is noted that the last part of Equation

(3.49) will always be _C/2 radians depending only on the sign of VyL.


Figur Wy 0 w,_I
Figure 3.9: Rotation defined by $j Instantaneous Screw.








The time required to translate from the current vehicle position to the look-ahead

point, assuming that k, = aot, some angular velocity, is determined by


= (3.50)
cot

The time required to rotate from the current vehicle orientation to the orientation

at the look-ahead point must also account for the rotation, q0, due to $S. This will either

increase or decrease the time needed to rotate. Assuming kr = (,O, some angular velocity,

this time can be determined by:

tr(OL -0V)- (3.51)
COr

Again, the assumption is made that the relationship between tt and tr can be

defined by:

t, =kt, (3.52)

where k is some positive constant greater than zero. Therefore, the weighting factors can

now be determined from:

k, =cot, (3.53)

and

kr =Or = (OL -OV)-- (OL -OV) -O(()OL -OV)--) (3.54)
tr kt, k

Using equation (3.47), the centerline of the desired screw can be determined in

the world coordinate system by:








Wx -wX ki d 2 cos(0)j (3.55)

V ( kd f 2 cos(1
s_,- v k,+r 2YL }

(k--l)+(O -_Ov)k(d2o)

and

+ ki d 2 sin(O, (3.56)
_=WYv + kq- d (0))
=y-t(k-l)0+(0L -Ov)(.2VYL

Note that the above calculations of the weighting factors assumed that VYL was
nonzero. If, on the other hand, vyL is zero, then from equation (3.12), the weighting

factor k, is a linear velocity. The amount of time to translate from the current vehicle

position to the look-ahead point at some velocity, k, = v, can be determined by:

d (3.57)
V
The time required to rotate from the current vehicle orientation to the orientation

at the look-ahead point can be calculated using equation (3.51) where 0 is now zero.

Therefore, assuming kr = ao, some angular velocity, this time can be determined by:

tr = OL -V (3.58)

Using equation (3.52) for the relationship between the two times, the weighting
factors can be determined from:

k, = V, (3.59)

and

k = OL -O= OL -O v(OL-Ov) (3.60)
rtr ]4t kd








Using equation (3.48), the centerline of the desired screw can be determined in

the world coordinate system by:
W x $dy -tyv (3.61)
k, d yL0y =- -V


and

W Ys_,, d=_+k___ (3.62)
"^ =v ,=, -^+ ^ -
kr d )d ( OL ,

Finally, using equations (3.24) and (3.25), the centerline of the desired

instantaneous screw can be determined in the vehicle coordinate system to determine the

desired motion of the vehicle. Recall that the vehicle's nonholonomic constraints were

considered when calculating $_ and $ but that the minimum turning radius was ignored.

This has a nice result where vx~d will always equal zero, which does not break the

nonholonomic constraints. In order to comply with the minimum turning radius

constraint, the magnitude of Vy~d must be greater than or equal to the minimum turning

radius. If it is less than the minimum turning radius, equations (3.27) and (3.28) or

equations (3.29) and (3.30) are used again to calculate the location of the desired screw's

centerline in the vehicle coordinate system.

As in the first method, the direction of the desired screw's centerline is

determined by the location of the look-ahead point in the vehicle's coordinate system and

Table 3.1. Again, when the look-ahead point's x-value is negative, the vehicle direction

would have to change from forward to reverse. In order to keep the vehicle direction

from changing, the x-value of the look-ahead point must be greater than zero, otherwise

the vehicle is commanded to turn around. Equations (3.27) and (3.28) or equations (3.29)








and (3.30) are used again to calculate the location of the commanded screw's centerline

in this situation.

Finally, it is important to note again that the look-ahead distance, L, and the

constant k, are free choices in this method too and as such represent parameters that must

be selected in order to optimize or tune the vehicle's performance.

Desired Vehicle Velocity State

The desired velocity-state of the AGV for it to track the given path can now be

determined from the final desired screw calculated from either method 1 or method 2.

The velocity-state is made up of two vectors, a linear velocity vector, v = [vi, vy, v]T, and

an angular velocity vector, -o= [x, C ]r, that can represent the motion of any rigid

body in three-dimensional space. In the vehicle coordinate system the linear velocity of

the AGV is limited to the x-axis and the angular velocity is limited to rotation about the

z-axis because of the nonholonomic constraints. Therefore, only the terms v, and ao need

to be determined. The desired linear velocity, vx, is determined by the desired speed to

follow the path. The user, based on the current mission of the AGV, typically decides

this. The desired angular velocity, o,, is calculated based on the current location of the

desired screw's centerline and the current velocity of the AGV. The desired angular

velocity is calculated by:


= Vcuren, (3.63)
SV 1~

where Vysd is equal to vy d for the first method.

Recall that the task of an AGV to accurately track a given path was broken down

into two steps. The first step is to determine the AGV's desired motion, or velocity state,






64

which was accomplished in this chapter. The second step is to execute the desired

velocity-state. This is the topic of the next chapter.













CHAPTER 4
EXECUTION CONTROL

Execution control is the task of executing the AGV's desired velocity-state as

determined in Chapter 3. After considering the motion constraints of an AGV, the only

two components of an AGV's velocity-state that can influence the system are vx, and ao.

By carefully choosing the origin of the vehicle's coordinate system, vx and ac can be

decoupled allowing for the design of separate controllers. There are a number of

different control techniques that would work here and therefore a design choice must be

made.

Some of the more conventional control techniques include classical control,

proportional-integral-derivative control (PID), adaptive control, and state space methods.

These techniques require a relatively accurate model of the system in order to develop a

satisfactory controller. In addition, these techniques typically restrict the complexity of

the system model (e.g., linearity). Some of the newer control techniques that could be

used here include fuzzy logic control and neural networks. One draw back with neural

network controllers is that they typically require a long learning time where they are

"taught" how to control a system, before they can be effectively used. Fuzzy logic

controllers, on the other hand, do not require a model of the system and do not require a

long learning time. Instead, they rely on the knowledge of an expert on controlling the

particular system. Therefore, with all of this in mind, the proposed controllers of v, and

act are both chosen to be fuzzy controllers.









This chapter begins with an introduction to the fuzzy controller and a general

introduction to the fuzzy reference model learning controller (FRMLC) [87], which is a

direct adaptive controller. It concludes by presenting the designed FRMLC for executing

the AGV's desired linear and angular velocities, respectively.


Fuzzy Controller

Before designing any controller, the inputs and outputs of the process must be

determined. The input variables to the controller are used to determine how to control the

process. The output variables of the controller must therefore have some impact on

process. A feedback fuzzy controller shown in Figure 4.1 has three steps: fuzzification,

inference and defuzzification. The fuzzification step takes the crisp inputs of the process

and converts them to linguistic variables. The inference step uses these linguistic

variables to decide the best course of action based on the knowledge of an expert. The

expert's knowledge is stored in a rule-base made up of a set of if-then statements. The

defuzzification step takes the linguistic results of the inference step and converts them to

crisp outputs.




Fuzzy Controller


Inferen1 e


Figure 4.1: Feedback Fuzzy Controller.









Fuzzification

Fuzzification is the process of taking a crisp value and converting it to a linguistic

variable. This is accomplished by using membership functions. Membership functions

take a crisp value and map it to a linguistic variable with a value between 0 and 1. For

example, Figure 4.2 shows graphically the membership functions that convert the crisp

value of height, h, to the linguistic variables short, medium and tall. Figure 4.2 shows the

very common triangular membership function with saturated boundaries. From Figure

4.2, a height equal to 5.8 feet gives the linguistic variable "tall" a membership value of

0.8, or /,taI(5.8) = 0.8. Similarly, the linguistic variables medium and short would have a

membership values of 0.2 and 0.0, respectively, or /,,,jum,,(5.8)= 0.2 and /4short(5.8)= 0.0.




/1

1.0
0.5
S I I h (feet)

1 2 3 4 5 6 7

Figure 4.2: Height Membership Functions.



A membership function is not limited to being triangular. This can be seen by

other examples of membership functions in Figure 4.3. The choice of the membership

function depends on the application and the designer or the expert. Fuzzification is

therefore a highly subjective process where two different designers may quantify the

same variable differently and both be considered correct.









/a



I I
1.0 1.0
0.5 0.5







0 .5 0.5



Figure 4.3: Possible Fuzzy Membership Functions.



Inference Mechanism

The inference mechanism is made to imitate the expert's decision process as if he

or she was controlling the process directly. In other words, it interprets the current state

of the process and then uses its knowledge of the plant to decide the best way to control

the plant.

The knowledge of how to control the plant is represented by creating a rule-base

of if , then statements. Take, for example, the inverted

pendulum problem shown in Figure 4.4a. It is desired to balance the pendulum in a

vertical position by controlling the force F. Suppose that the angular error, 0, from the

vertical and its derivative are measured and used as inputs. Using the membership

functions shown in Figure 4.4b, one rule may be, if the error is "Positive Small" (PS) and

the change in error is "Negative Large" (NL), then the force is "Positive Medium" (PM).

A second rule may be if the error is "Zero" (Z) and the change in error is "Positive

Small" (PS), then the force is "Negative Small" (NS). A rule for each possible

combination of error and change in error can be determined similarly. If the number of






69


inputs is small, around two or three, a convenient way to store the rules is in a tabular

form as shown in Table 4.1.



a. .4



F -


b. NL NM NS Z PS PM PL


-30 -20 -10 10 20 30 (degrees)

NL NM NS z PS PM PL


-15 -10 -5 5 10 15 (degrees/sec)
jNF)
NL NM NS Z PS PM PL


-8 -6 -4 -2 2 4 6 8 (Ibf)

Figure 4.4: Pendulum Example.







Table 4.1: Rule Base for Inverted Pendulum.
Force _______Change in Error
_______NL NM NS Z PS PM PL
NL PL PL PL PL PM PS Z
NM PL PL PL PM PS Z NS
NS PL PL PM PS Z NS NM
Error Z PL PM PS Z NS NM NL
PS PM PS Z NS NM NL NL
PM PS Z NS NM NL NL NL
____ PL Z NS NM NL NL NL NL


The inference step is simply the conclusions determined by the rule-base. In

order to determine the conclusions of the rule-base, the premise must first be quantified.

Typically, the premise contains two or more linguistic terms that are combined by the








"and" logical operator. Two common ways to define the "and" operator is the minimum

or the product of the operands. This can be easily seen through an example. Consider

again the example of the inverted pendulum. Suppose that the current angular error was

-6 degrees and the current change in error was -4 degrees/second. From Table 4.1, one

of the rules is, if the error is "Negative Small" (NS) and the change in error is "Negative

Small" (NS), then the force is "Positive Medium" (PM). Using the membership

functions from Figure 4.4b, the membership of linguistic variable negative small for the

-6 degrees error is 0.6 and the membership of linguistic variable negative small for the -4

degree/second change in error is 0.8. The premise can now be quantified for this rule by

finding the minimum or the product of these values, i.e. premise = minimum[0.6,0.8] =

0.6, or premise = (0.6)(0.8) = 0.48. The value premise is a measure of how applicable this

rule is to the current system state. This process is done for each rule, and the results

where premise > 0 are considered the conclusions of the rule-base.

Defuzzification

Defuzzification is the step where the conclusions from the inference step are

converted to a crisp output. Two of the more popular defuzzification techniques are the

center of gravity (COG) and center average methods. The COG method calculates the

crisp output by:

U crisp b Jj (4.1)


where b, is the center of the membership function of the consequent of rule i. The

calculation of the term 4/,) is simplified greatly when the output membership functions

are triangular and symmetric. For this case, it can be calculated by:









JUpre"mi,,, 2} (4.2)
P/i) = W l premise( 2s '


where w is the width of the base of the triangle.

The center average method calculates the crisp output by:

u crisp b_ premise(o (4.3)
cris _____________
U, P11 premise(,)

Continuing with the inverted pendulum example where the angular error was -6

degrees and the change in error was -4 degrees/second, using equation (4.1) and using

the minimum function to quantify the premise of each rule gives a crisp output of:

u crisp = (4)(1.68) + (2)(0.72) + (2)(1.28) + (0)(0.72) = 2.44.
1.68 + 0.72 +1.28 + 0.72

Finally, using equation (4.3) and the minimum function to quantify the premise of each

rule gives a crisp output of:

u cisp = (4)(0.6) + (2)(0.2) + (2)(0.4) + (0)(0.2) = 2.57.
0.6 + 0.2 + 0.4 + 0.2

Fuzzy Reference Model Learning Control [86]

There are two general techniques for adaptive control, direct and indirect. Direct

adaptive control, shown in Figure 4.5, monitors a system's response and then modifies

the controller in order to achieve a specified desired performance. On the other hand,

indirect adaptive control monitors a system's response in order to identify parameters of

the system's model. The controller is designed as a function of these model parameters

to achieve a specified desired performance. A block diagram of an indirect adaptive

controller is shown in Figure 4.6. Fuzzy reference model learning control (FRMLC) is a

direct adaptive controller.



















Figure 4.5: Direct Adaptive Controller.



Plant Paameter's
Z ------ Sstem
__ ID

r(t) u))Controller -- Plat -





Figure 4.6: Indirect Adaptive Controller.



The main parts of a FRMLC are the fuzzy controller, the plant, the learning

mechanism, and the reference model. The fuzzy controller has already been discussed in

the previous section, and the plant is simply the system to be controlled. The reference

model gives the desired system response based on the current input. The learning

mechanism uses the outputs of the plant and of the reference model in order to calculate

an error between the desired and actual response. This error is used then to decide how to

modify the rule-base of the fuzzy controller in order to drive the error to zero. A block

diagram of the FRMLC is given in Figure 4.7.

The reference model is used to specify the desired performance of the system.

The main constraint on the reference model is that it must be reasonable. It is not

reasonable to expect a system to achieve a better performance than what the system is








capable of achieving. Every system has its limitations, and these limitations must be

considered when choosing the reference model.


Figure 4.7: FRMLC Block Diagram.


Once the reference model is determined, a discrete error signal is calculated by:

e(kT) = ym (kT)- y(kT), (4.4)

where e(kT) is the current error, ym(kT) is the output of the reference model, y(kT) is the

output of the system, and T is the sample time. Depending on the system characteristics,

it may also be useful to calculate the discrete change in error by:

c(kT) e(kT) e(kT T) (4.5)
T

where c(kT) is the change in error, e(kT) is the current error from equation (4.4), and

e(kT-T) is the error calculated on the previous time sample. Then, these results and any








other system data are used to determine the necessary changes to the process inputs,

p(kT), by the learning mechanism.

The learning mechanism is made up of a fuzzy inverse model and a rule-base

modifier. The purpose of the fuzzy inverse model is to take the calculations e(kT) and

c(kT) and determine how to change the process input, u(kT), in order to drive e(kT) to

zero. The output of the fuzzy inverse model is the desired change in process input and is

represented by p(kT). First, the inputs are fuzzified by membership functions specified

by the designer. The inference mechanism then uses rules such as, if the error is

"positive small" and the change in error is "zero," then the change in process input is

"negative small." It is referred to as the fuzzy inverse model because these rules typically

depend on the plant dynamics. Finally, the output, p(kT), is defuzzified by the COG,

center-average or some other defuzzification technique. Then the output, p(kT), is used

to modify the controllers rule-base.

The fuzzy controller's rule-base is modified by first determining which rules are

active. In other words, determine which rule's certainty is greater than zero:

flprermse(,) > 0. (4.6)

Then, for all the rules that are active, the center of the mth output membership function is

adjusted by:

b, (kT) = bm (kT- T) + p(kT), (4.7)

where bm(kT) is the current center of the mth output membership function, bm(kT-T) is the

center of the mth output membership function at the previous time sample, and p(kT) is

the desired change in process input that was calculated by the inverse model.








Vehicle Linear Velocity FRMLC

The first task in designing a controller is to determine its inputs and outputs.

Under the MAX architecture, the propulsive and resistive wrenches are used to control

the AGVs motion. Each wrench is made up of a force vector, f= [f,fy,f], and a moment

vector, m = [mr, my, mj]. The propulsive wrench is used to propel the AGV in the

direction of the force or about the axis of the moment. Since, by the careful selection of

the vehicle's reference frame, the only term that has an affect on the linear velocity isfx,

it is chosen to be the linear velocity's controller output. One of the inputs to the

controller is obviously the desired linear velocity, Vxd. A second input to the controller is

the vehicle pitch, Oy, since it can have a substantial effect on the AGV's linear velocity.

A block diagram of the FRMLC for the linear velocity is given in Figure 4.8.

Reference vO______________________
model





Moife g.Z
[ ________ FuzaV Inverse Model --



__Fuzzy C'n R ule -Base___




Figure 4.8: Discrete Linear Velocity FRMLCV Block Diagram.


From Figure 4.8, the controller's input vj.dkT) is the desired linear velocity, and

the controller's input Oy(kT) is the vehicle's pitch. The gains, gv and go, are used to









normalize the inputs. By doing this, both inputs are fuzzified using the membership

functions given in Figure 4.9. Therefore, the gain gv is chosen to be l/v,,,ax, where v,,m, is

the maximum velocity of the AGV, and the gain go is chosen to be 1/y,,,,,, where 4y,", is

the maximum allowable pitch. Both of these terms, the maximum AGV velocity and the

maximum allowable pitch, are available from the VCU configuration message under the

MAX architecture.

Iu

5- N4 N3 2 N1 I P1 2 P3 4 PS


-1.0 -0.8 -0.6 -0.4 -0.2 0.2 0.4 0.6 0.8 1.0
Figure 4.9: Normalized Input Membership Functions.



The controller's output in Figure 4.8 fj(kT) is the first term in the propulsive

wrench. Using the output membership functions shown in Figure 4.10, the output of the

inference mechanism is normalized also. The gain gf is used to scale this output to allow

the controller to command the entire range of the term fx. In the MAX architecture, the

term f has the range from -100 to 100 percent, and therefore the gain gf is chosen to be

100.



N5 N4 N3 N2 N1 IP1 2 P3 P4 P5
/P5



-1.0 -0.8 -0.6 -0.4 -0.2 0.2 0.4 0.6 0.8 1.0
Figure 4.10: Normalized Output Membership Functions.



Now that the inputs and the output of the fuzzy controller are defined, the rule-

base for the inference mechanism must be defined. Typically, if little or nothing is









known about the plant's characteristics, each rule's consequent is initialized to the

linguistic variable "zero." This requires the controller to completely learn the system it is

trying to control. By using the MAX architecture, an important conclusion about the

plant's characteristics can be made. This conclusion is that increasing the termfi should

have the general characteristic of increasing vx, and decreasing the termfj should have the

general characteristic of decreasing v.,. With this in mind, and using the membership

function defined in Figures 4.9 and 4.10, the rule base for the fuzzy controller is

initialized with the rules given in Table 4.2.




Table 4.2: Linear Velocity Initial Rule-Base
Force Desired Linear Velocity
N5 N4 N3 N2 N 1 Z PI1 P2 P3 P4 P5
N5 N5 N4 N3 N2 N 1 Z P 1 P2 P3 P4 P5
N4 N5 N4 N3 N2 N 1 Z P1 P2 P3 P4 P5
N3 N5 N4 N3 N2 N1 Z P1 P2 P3 P4 P5
N2 N5 N4 N3 N2 NI1 Z P1 P2 P3 P4 P5
NI N5 N4 N3 N2 NI Z P1 P2 P3 P4 P5
Pitch Z N5 N4 N3 N2 N1 Z PI1 P2 P3 P4 P5
P1 N5 N4 N3 N2 NI Z P1 P2 P3 P4 P5
P2 N5 N4 N3 N2 NI1 Z P1 P2 P3 P4 P5
P3 N5 N4 N3 N2 Ni Z P1 P2 P3 P4 P5
P4 N5 N4 N3 N2 NI Z P1 P2 P3 P4 P5
_____ P5 N5 N4 N3 N2 N1 Z P1 P2 P3 P4 P5


It is assumed in Table 4.2 that the pitch has no affect on the control of the AGV's

linear velocity. This assumption is made initially because there is not enough

information about the plant's characteristics to make a conclusion on how the pitch will

affect the control of the AGV's linear velocity. Therefore, the controller must learn how

to control the plant for different vehicle pitches.

The reference model takes the desired linear velocity as input and outputs an

estimate of what the vehicle linear velocity should be. The model implemented here is a









simple first order model. This was chosen for its simplicity where only one model

variable needs to be determined, the time constant. This time constant is set to the

systems average response time to various, commands.

The learning mechanism uses the linear velocity calculated by the reference

model and the current AGV linear velocity to calculate an error, e(kT) and change in

error, ce(kT). The error is scaled by the gain ge and the change in error is scaled by gee in

order to use the membership functions given in Figure 4.9 for fuzzification. These gains

are determined by the maximum possible errors. Therefore ge is set to Il/Vdesired and gee is

set to TI Vdesred, where Vdesred is the desired tracking speed and T is the time interval. The

rules used by the inference mechanism are given in Table 4.3. The conclusions of the

rule-base are defuzzified using the COG and the membership function in Figure 4.10.

And finally, the gain gp is used to control how fast the system adapts and is left as a

tuning parameter.




Table 4.3: Learning Mechanism Rule-Base.
Change in Change in error____
process input N5 N4 N3 N2 NI1 Z P1 P2 P3 P4 P5
N5 N5 N5 N5 N5 N5 N5 N4 N3 N2 N 1 Z
N4 N5 N5 N5 N5 N5 N4 N3 N2 N1 Z P1
N3 N5 N5 N5 N5 N4 N3 N2 N1 Z PI P2
N2 N5 N5 N5 N4 N3 N2 N1 Z P1 P2 P3
NI1 N5 N5 N4 N3 N2 N1 Z P1 P2 P3 P4
Error Z N5 N4 N3 N2 NI Z P1 P2 P3 P4 P5
P1 N4 N3 N2 N1 Z P1 P2 P3 P4 P5 P5
P2 N3 N2 N1 Z P1 P2 P3 P4 P5 P5 P5
P3 N2 N1 Z P1 P2 P3 P4 P5 P5 P5 P5
P4 NI1 Z P1 P2 P3 P4 P5 P5 P5 P5 P5
____ P5 Z P1 P2 P3 P4 P5 P5 P5 P5 P5 P5








Vehicle Angular Velocity FRMLC

The angular velocity FRMLC uses the block diagram given in Figure 4.11, which

is very similar to the linear velocity FRMLC block diagram. Here the controller

reference input, az,(kT), is the current desired angular velocity, and the input v(kT) is the

vehicle's current linear velocity. The linear velocity is chosen as an input since it is

expected that more slip will occur between the vehicle tires and the ground at higher

speeds, and therefore affect the vehicle's angular velocity. The gains, g and g,,, are used

again to normalize the inputs. The gain g0, is chosen to be l/Uzmax, where cp,max is the

vehicle's maximum angular velocity. Similarly, the gain gv is chosen to be 1/Vmax where

Vmax is the vehicle's maximum linear velocity. Again, the information required in order

to calculate these gains are given either by the Vehicle Control Unit (VCU) configuration

report or measured by the Position system (POS).


Figure 4.11: Angular Velocity FRMLC Block Diagram.








For vehicles with a nonzero minimum turning radius, (Oz,.max turns out to be a

function of the AGV's current linear velocity and its minimum turning radius:


v, Mu = Vcur.nt (4.8)


Note that when the current linear velocity is equal to zero, the gain g for vehicles with a

nonzero minimum turning radius is infinite. This is because the vehicle is not capable of

turning unless the linear velocity is nonzero. Since it is impossible for the vehicle to turn

unless the linear velocity is nonzero, the gain gw, is set to zero if the linear velocity is

zero. This is done so that the controller does not attempt to adapt for this case.

The controller's output in Figure 4.11 m(kT) is the last term of the propulsive

wrench. Using the output membership functions shown in Figure 4.10, the output of the

inference mechanism is normalized. The gain gm is used to scale this output to allow the

controller to command the entire range of the term mw. In the MAX architecture, the term

mz also has the range from -100 to 100 percent, and therefore the gain gm is chosen to be

100.

Just as the MAX architecture provided information for the linear velocity

controller, it also provides some information about the angular velocity in order to

initialize the rule-base of its controller. It is expected that by increasing the term m, in

the propulsive wrench, the AGVs angular velocity will increase. And, by decreasing the

term m, in the propulsive wrench, the AGVs angular velocity will decrease. This is, of

course, with the exception when the linear velocity is equal to zero as mentioned earlier.

With this information, and using the membership functions defined in Figures 4.9 and

4.10, the rule-base for the angular velocity controller is initialized with the rules given in

Table 4.4.









Table 4.4: Angular Velocity Initial Rule-Base
Moment Desired Angular Velocity
N5 N4 N3 N2 NI1 Z PI1 P2 P3 P4 P5
N5 N5 N4 N3 N2 N1 Z PI P2 P3 P4 P5
N4 N5 N4 N3 N2 N1 Z P1 P2 P3 P4 P5
N3 N5 N4 N3 N2 N1 Z P1 P2 P3 P4 P5
N2 N5 N4 N3 N2 NI1 Z P1 P2 P3 P4 P5
N1 N5 N4 N3 N2 N1 Z P1 P2 P3 P4 P5
Linear Z N5 N4 N3 N2 N1 Z P1 P2 P3 P4 P5
Vel. P1 N5 N4 N3 N2 N1 Z P1 P2 P3 P4 P5
P2 N5 N4 N3 N2 NI1 Z P1 P2 P3 P4 P5
P3 N5 N4 N3 N2 N1 Z P1 P2 P3 P4 P5
P4 N5 N4 N3 N2 N1 Z P1 P2 P3 P4 P5
____ P5 N5 N4 N3 N2 N1 Z P1 P2 P3 P4 P5


It is assumed in Table 4.4 that the linear velocity has no affect on the control of

the AGVs angular velocity. This assumption is made initially because there is not

enough information about the plant's characteristics to make a conclusion on how the

linear velocity will affect the control of the AGVs angular velocity. Therefore, the

controller must learn how to control the plant for different linear velocities.

The reference model here takes the desired angular velocity as input and outputs

an estimate of what the current vehicle angular velocity should be. The model

implemented, like the linear velocity controller, is also a simple first order model. Again,

this was chosen for its simplicity where only one model variable needs to be determined,

the time constant. This time constant is set to the systems average response time to

various mz commands.

The learning mechanism uses the angular velocity calculated by the reference

model and the current AGV angular velocity to calculate an error, e(kT) and change in

error, ce(kT). The error is scaled by the gain ge and the change in error is scaled by gce in

order to use the membership functions given in Figure 4.9 for fuzzification. These gains

are determined again by the maximum possible errors. Therefore ge is set to l/COdesired and






82

gce is set to T/Odesred, where ddes,,red is the desired angular velocity and T is the time

interval. The rules used by the inference mechanism are given in Table 4.3. The

conclusions of the rule-base are defuzzified using the COG and the membership function

in Figure 4.10. And finally, the gain gp is used to control how fast the system adapts and

is again left as a tuning parameter.













CHAPTER 5
RESULTS

The new path-tracking algorithm developed in this dissertation, vector pursuit, is

a geometric technique. Geometric techniques use a look-ahead point, which is on the

path at a distance L ahead of the orthogonal projection of the vehicle's position onto the

path, to determine the desired motion of the vehicle. Unfortunately, there is a tradeoff in

determining the distance L. Increasing L tends to dampen the system leading to a stable

system with less oscillation. On the other hand, increasing L also tends to cause the

vehicle to cut comers of a path. Therefore, it is desirable to have a small look-ahead

distance in order to accurately navigate the path, but out of necessity, a large value

typically is used to achieve a stable system with little oscillation.

A factor that must be considered when choosing the look-ahead distance is the

vehicle speed. As the vehicle speed increases, the look-ahead distance typically needs to

be increased, too. Having a look-ahead distance greater than zero allows the vehicle to

start turning before it actually reaches a curve in the path. Starting the turn early is

desirable because of the fact that a certain amount of time is required for the vehicle to

execute a commanded turning rate. The faster the vehicle is going, the sooner the vehicle

needs to start its turn.

Ideally then, a geometric path-tracking technique would allow small look-ahead

distances to accurately track the given path, and not be sensitive to small changes in

vehicle speed. This chapter presents the results of tests done to determine vector

pursuit's ability to track paths accurately with different look-ahead distances and at








different speeds. For comparison, tests are done using follow-the-carrot and pure pursuit.

Follow-the-carrot is the original path-tracking technique used on the Navigation Test

Vehicle (NTV), and pure pursuit is currently a popular technique.

Another factor that must be considered when choosing the look-ahead distance is

the anticipated vehicle position and heading errors. These errors are obviously preferably

small. Unfortunately, this is not always the case. One example where large position and

heading errors may be expected is if an unexpected obstacle is encountered. Large errors

may exist once the vehicle navigates around the obstacle and then continues to track the

desired path. This chapter also presents results of tests where a jog in the middle of the

desired path is used to simulate a jump in the desired position and heading. Again,

follow-the-carrot and pure pursuit path-tracking techniques are used for comparison.

The NTV developed by CIMAR at the University of Florida was the main tool

used to test the vector pursuit path-tracking algorithm as well as the FRMLC controllers

developed in chapters 3 and 4, respectively. Before actually implementing the path-

tracking algorithms and the controllers on the vehicle, they were tested in simulation with

a simple model of the vehicle. After achieving positive results from simulation, the new

path-tracking algorithm and the FRMLC controllers were implemented on the NTV for

further testing. In addition to implementing them on the NTV for testing, they were

implemented also on a K2A robot developed by Cybermotion, Inc., of Roanoke, Virginia

(See Figure 5.1), and on an All-Purpose Remote Transport System (ARTS) (See Figure

5.2), which is a vehicle used by the United States Air Force Research Laboratory for

research and design. Before presenting the results of these tests, the method used for

evaluating the path-tracking algorithm is presented first.



























f igure 5.1: Cybermotlon K2A.


r figure 3.z: All-purpose Kemote I transport system.








Method for Evaluating Path Tracking

In order to evaluate the path-tracking algorithm, two errors are measured. A

position error and a heading error are measured for every new position data from the POS

module. These errors are calculated relative to a coordinate system that is defined to

have its origin located at the perpendicular projection of the current vehicle location onto

the planned path. Its x-axis is orientated with the path direction at that point, its z-axis is

down, and its y-axis forms a right hand coordinate system. This coordinate system,

referred to as the perpendicular coordinate system, as well as the position and heading

errors, are shown graphically in Figure 5.3. Then the position error, e, is defined to be:

e=Py,, (5.1)

where (PxvPyv) are the coordinates of the vehicle position in the perpendicular coordinate

system defined above. Note that by the definition of this coordinate system, Pxv always

equals zero. Next, the heading error, 0e, is defined to be:

0e =OP -0V, (5.2)

where Op is the angle from the x-axis of the world coordinate system to the x-axis of the

perpendicular coordinate system, Ov is the angle from the x-axis of the world coordinate

system to the x-axis of the vehicle coordinate system, and 0e is in the interval (-7rt,7t].


Navigation Test Vehicle (NTV)

This section first presents the results of testing the vector pursuit path-tracking

algorithm and the fuzzy reference model learning controllers in simulation and then

presents the implementation results. It concludes with the results of tests done where the

NTV is driving backwards.

























wXw


01Y
Figure 5.3: Defining Position and Heading Errors.



Simulation Model

Using the world and vehicle coordinate systems defined in Chapter 3, a kinematic

model of the NTV is given by the following equations:

Wiv =vcos(Ov), (5.3)


w v =v sin(Ov ),(5.4)


and

vvtan() (5.5)
W

where xXv and Wyv give the vehicle position, Ov is the vehicle heading, v is the vehicle


speed, 0 is the steering wheel angle and W is the vehicle's wheelbase.

Recall that the outputs of the controllers designed in Chapter 4 are the percent

force along the vehicle's x-axis and the percent moment about the vehicle's z-axis. On

the NTV, the magnitude of percent force maps directly to the percent of the maximum








throttle position and the percent moment maps to the percent of the maximum steering

wheel angle. Assuming that there is no slip between the tires and the ground, mapping

the percent moment to the percent steering wheel angle results in a linear relationship, at

a given speed, between the percent steering wheel angle and the current angular velocity.

On the other hand, mapping the percent force to the percent throttle results in a nonlinear

relation between the throttle position and the current vehicle speed.

In order to simulate the NTV's speed, a look-up table was created that gives the

vehicle speed based on the current throttle position. The results given in Table 5.1 are the

average speeds of the NTV after it had started moving. The results are specified as being

after the NTV had started moving because a larger percent throttle position was required

to get the NTV moving than was required to keep it moving. In an attempt to make the

simulation more realistic, a minimum throttle position was chosen before any motion

would occur. Once the NTV began moving the look-up table was used to determine the

vehicle speed but with a limit on the acceleration.




Table 5.1: Mapping of Percent Throttle to Average Vehicle Speed.
Percent Throttle Vehicle Speed (m/s)
0 0.0
10 0.0
20 1.3
30 1.9
40 2.7
50 3.8
60 4.9
70 5.4
80 5.9
90 6.3
100 6.6









With the NTV's linear and angular velocity determined as functions of the current

throttle and steering wheel positions, models are required for the NTV's throttle and

steering wheel. The models for the NTV's throttle and steering presented in the next two

sections were developed from data taken from the NTV.

Throttle Model

In order to develop a simple model of the NTV's throttle, data was taken of the

response of the throttle to various commanded step inputs. With this data, it was

determined initially that a first-order model would be sufficient. In the end, a limit on the

throttle's velocity was required in order for the model to be more accurate. This

saturation point of the throttle's velocity was determined experimentally. Some of the

results of this model compared to the actual data are given in Figures 5.4 and 5.5.







/*
t' :

Z //


,cU
is 4
/ .
.. .. acua

0 0A 115 1 2 3 IS 4

Figure 5.4: 40 Percent Throttle Step Input.



Steering Model

The model for the steering wheel was developed in a similar manner as the

throttle. Data was taken of the steering wheel's response to various commanded step

inputs. Again, with this data, it was determined initially that a first-order model would be






90


sufficient with a limit on the steering wheel's velocity. But, a limit on the steering

wheel's acceleration was required also in order for the model to be more accurate. Both

of these saturation points of the steering wheel's velocity and acceleration were

determined experimentally. Some of the results of this model compared to the actual data

are given in Figures 5.6 and 5.7.







"' /
EIm








aet. -
/ "
/
/ ;








'U
a s 1 ii 2 La S i- 5 4&

Figure 5.5: 100 Percent Throttle Step Input.







-. / '

/ *




I.3
Fu /5
% 5 1 13 2 15 1 18

Figure 5.6: 40 Percent Steering Step Input.












/



i -



//
% C. 1 \ ~ts u $ 4

Figure 5.7: 100 Percent Steering Step Input.



Simulation Results

Three different paths are used to test the new geometric path-tracking algorithm.

A "U" shape path is used to test going from a straight section into a curve, and from a

curve back into a straight section. A figure eight path is used to test going from a right

curve into a left curve, and from a left curve into a right curve. And finally, a straight

path with a jog in the middle is used to test jumping from a small error in position and

orientation to large errors. For comparison, follow-the-carrot and pure pursuit path-

tracking methods are implemented and tested using the same paths in simulation. In

order to focus on each path-tracking technique's sensitivity to the look-ahead distance at

various speeds, the constant k for vector pursuit methods 1 and 2 was chosen first through

some initial experiments. The constant was chosen to be 4.0 and 1.5 for methods 1 and 2,

respectively. On account of the large number of tests, the results are shown graphically

in Appendix B.

The first tests, shown in Figures B. 1 through B.4, are a "U" shape path with a

tracking speed of 1.5 mps and a look-ahead distance of 3 meters. Each method was








capable of navigating this path with relatively small position and heading errors. Next,

using the same path, the look-ahead distance was increased to 5 meters, and the tracking

speed was increased to 3.0 mps for the tests shown in Figure B.5 through B.8. Again,

each method navigated the path with small position and heading errors. The last group of

tests using the "U" shape path is shown in Figures B.9 through B. 12. The tracking speed

for these tests was increased to 4.5 mps and the look-ahead distance was increased to 7

meters. Follow-the-carrot path-tracking method was unable to execute this path without

large oscillations coming out of the curved section. The other path-tracking techniques,

pure pursuit and vector pursuit methods 1 and 2, were able to execute the path with small

position and heading errors.

The next path used to test the different path-tracking techniques is a figure eight

path. Just as before, the tracking speed and the look-ahead distance were varied. Figures

B. 13 through B. 16 show the results of the path-tracking techniques with a tracking speed

of 1.5 mps and a look-ahead distance of 3 meters. Each technique was able to navigate

the path with small position and heading errors. Next, in Figures B. 17 through B.20, the

tracking speed was increased to 3.0 mps and the look-ahead distance was increased to 5

meters. Again, all path-tracking techniques tested were able to navigate the path with

relatively small position and heading errors. Figures B.21 through B.24 show the results

of increasing the tracking speed to 4.5 mps and the look-ahead distance to 7 meters. Just

as for the "U" shape path at 4.5 mps, the follow-the-carrot method is no longer able track

the path without large oscillations, while the remaining techniques were able to navigate

the figure eight path with small position and heading errors.








Finally, a path with a sudden jog in the middle is used to test the path-tracking

techniques. Initially, the tracking speed is set to 1.5 mps and the look-ahead distance is

set to 3 meters. Each path-tracking technique is tested with the distance of the jog

varying from 2 to 6 meters. These results are shown in Figures B.25 through B.44. Both

the follow-the-carrot and the vector pursuit method 1 resulted in oscillations after the jog.

Both pure pursuit and vector pursuit method 2 are able to navigate the path without

resultant oscillations. It is noticed that the pure pursuit method converges slightly faster

than the vector pursuit method 2. This is characteristic is the result of vector pursuit

method 2 considering the orientation of the look-ahead point as well as the position.

In Figures B.45 through B.64, the tracking speed is set to 3.0 mps now and the

look-ahead distance is set to 5 meters. Similar results are obtained from the follow-the-

carrot method and the vector pursuit method 2 after the jog as was obtained for the slower

tracking speed. Pure pursuit path-tracking technique results in large position errors, but

still no oscillations. Vector pursuit method 2 results in a much smaller position error than

pure pursuit, and also does not exhibit the oscillations, whereas follow-the-carrot and

vector pursuit method 1 do exhibit oscillations.

Finally, the tracking speed is set to 4.5 mps and the look-ahead distance is set to 7

meters. The results of these tests of the paths with a jog in the middle are given in

Figures B.65 through B.84. Again, follow-the-carrot and vector pursuit method 1 result

in large oscillations about the path. Pure pursuit results in some oscillation for the

smaller jogs and large position errors for the larger jogs. Vector pursuit method 2, on the

other hand, results in a very smooth transition from the path before the jog to the path

after the jog.




Full Text
xml version 1.0 encoding UTF-8
REPORT xmlns http:www.fcla.edudlsmddaitss xmlns:xsi http:www.w3.org2001XMLSchema-instance xsi:schemaLocation http:www.fcla.edudlsmddaitssdaitssReport.xsd
INGEST IEID E5Z82RUBI_BPYN3S INGEST_TIME 2014-05-01T01:50:30Z PACKAGE AA00020437_00001
AGREEMENT_INFO ACCOUNT UF PROJECT UFDC
FILES



PAGE 1

9(&725 38568,7 3$7+ 75$&.,1* )25 $872120286 *5281' 9(+,&/(6 %\ -())5(< 6 :,7 $ ',66(57$7,21 35(6(17(' 72 7+( *5$'8$7( 6&+22/ 2) 7+( 81,9(56,7< 2) )/25,'$ ,1 3$57,$/ )8/),//0(17 2) 7+( 5(48,5(0(176 )25 7+( '(*5(( 2) '2&725 2) 3+,/2623+< 81,9(56,7< 2) )/25,'$

PAGE 2

&RS\ULJKW E\ -HIIUH\ 6 :LW

PAGE 3

$&.12:/('*0(176 7KH DXWKRU ZRXOG OLNH WR FRQYH\ KLV DSSUHFLDWLRQ WR KLV VXSHUYLVRU\ FRPPLWWHH 'U &DUO &UDQH 'U -RVHSK 'XII\ 'U 3DXO 0DVRQ 'U -RKQ 6FKXHOOHU DQG 'U $QWRQLR $UUR\Rf IRU WKHLU VXSSRUW DQG JXLGDQFH 6SHFLDO WKDQNV JR WR 'U &UDQH ZKR JDYH WKH DXWKRU WKH RSSRUWXQLW\ WR ZRUN RQ WKH DXWRQRPRXV YHKLFOH SURMHFW DQG FRQWLQXDOO\ SURYLGHG LPSRUWDQW LQVLJKW DQG DGYLFH 7KLV ZRUN ZRXOG QRW KDYH EHHQ SRVVLEOH ZLWKRXW WKH VXSSRUW RI WKH $LU )RUFH 5HVHDUFK /DERUDWRU\ DW 7\QGDOO $LU )RUFH %DVH )ORULGD 7KDQNV JR WR $ 1HHVH DQG WKH UHVW RI KLV VWDII 7KH DXWKRUf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fV ZLIH -HQQLIHU /LVD :LW ZKR SURYLGHG FRQWLQXRXV HQFRXUDJHPHQW DQG LQVSLUDWLRQ QHHGHG WR ILQLVK WKLV GLVVHUWDWLRQ LLL

PAGE 4

7$%/( 2) &217(176 SDJH $&.12:/('*0(176 LLL $%675$&7 YL ,1752'8&7,21 3UREOHP 6WDWHPHQW 3URMHFW %DFNJURXQG +LVWRU\ RI 9HKLFOHV $XWRPDWHG DW &,0$5 (YROXWLRQ RI WKH 179f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

PAGE 5

(;(&87,21 &21752/ )X]]\ &RQWUROOHU )X]]LILFDWLRQ ,QIHUHQFH 0HFKDQLVP 'HIX]]LILFDWLRQ )X]]\ 5HIHUHQFH 0RGHO /HDUQLQJ &RQWURO >@ 9HKLFOH /LQHDU 9HORFLW\ )50/& 9HKLFOH $QJXODU 9HORFLW\ )50/& 5(68/76 0HWKRG IRU (YDOXDWLQJ 3DWK 7UDFNLQJ 1DYLJDWLRQ 7HVW 9HKLFOH 179f 6LPXODWLRQ 0RGHO 7KURWWOH 0RGHO 6WHHULQJ 0RGHO 6LPXODWLRQ 5HVXOWV ,PSOHPHQWDWLRQ 5HVXOWV 1DYLJDWLQJ WKH 179 LQ 5HYHUVH &\EHUPRWLRQ .$ ,PSOHPHQWDWLRQ 5HVXOWV $OOSXUSRVH 5HPRWH 7UDQVSRUW 6\VWHP $576f ,PSOHPHQWDWLRQ 5HVXOWV &21&/86,216 $1' )8785( :25. &RQFOXVLRQV )XWXUH :RUN $33(1',; $ 0$; ,17(5)$&( 63(&,),&$7,21 $33(1',; % 179 6,08/$7,21 5(68/76 $33(1',; & 179 (;3(5,0(17$/ 5(68/76 /,67 2) 5()(5(1&(6 %,2*5$3+,&$/ 6.(7&+ Y

PAGE 6

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fV GHVLUHG PRWLRQ DQG ILQDOO\ H[HFXWLQJ WKH YHKLFOHfV GHVLUHG PRWLRQ 7KH ZRUN SUHVHQWHG KHUH IRFXVHV RQ WDVNV RI GHFLGLQJ WKH YHKLFOHfV GHVLUHG PRWLRQ DQG H[HFXWLQJ WKH YHKLFOHfV GHVLUHG PRWLRQ 7KH WKLUG WDVN DERYH LQYROYHV SODQQLQJ WKH YHKLFOHfV GHVLUHG PRWLRQ DV ZHOO DV GHFLGLQJ WKH YHKLFOHfV GHVLUHG PRWLRQ ,Q WKLV ZRUN LW LV DVVXPHG WKDW D SODQQHG SDWK DOUHDG\ H[LVWV DQG WKHUHIRUH RQO\ D WHFKQLTXH WR GHFLGH WKH YHKLFOHfV GHVLUHG PRWLRQ LV UHTXLUHG 6FUHZ WKHRU\ FDQ EH XVHG WR GHVFULEH WKH LQVWDQWDQHRXV PRWLRQ RI D ULJLG ERG\ LH WKH YHKLFOH UHODWLYH WR D JLYHQ FRRUGLQDWH V\VWHP 7KH FRQFHSW RI YHFWRU SXUVXLW LV WR FDOFXODWH DQ LQVWDQWDQHRXV VFUHZ WKDW GHVFULEHV WKH PRWLRQ RI WKH YHKLFOH IURP LWV FXUUHQW YL

PAGE 7

SRVLWLRQ DQG RULHQWDWLRQ WR D SRVLWLRQ DQG RULHQWDWLRQ RQ WKH SODQQHG SDWK 2QFH WKH GHVLUHG PRWLRQ LV GHWHUPLQHG D FRQWUROOHU LV UHTXLUHG WR WUDFN WKLV GHVLUHG PRWLRQ 7KH IRXUWK WDVN IRU DXWRQRPRXV QDYLJDWLRQ LV WR H[HFXWH WKH GHVLUHG PRWLRQ ,Q RUGHU WR DFFRPSOLVK WKLV WDVN WZR IX]]\ UHIHUHQFH PRGHO OHDUQLQJ FRQWUROOHUV )50/&Vf DUH LPSOHPHQWHG WR H[HFXWH WKH YHKLFOHfV GHVLUHG WXUQLQJ UDWH DQG VSHHG 7KH FRQWUROOHUV DUH GHVLJQHG WR EH GHSHQGHQW RQ FHUWDLQ YHKLFOH FKDUDFWHULVWLFV VXFK DV WKH PD[LPXP YHKLFOH VSHHG PD[LPXP WXUQLQJ UDWH 7KLV LV GRQH WR IDFLOLWDWH WKH WUDQVIHU RI WKHVH FRQWUROOHUV WR GLIIHUHQW YHKLFOHV 7KH YHFWRU SXUVXLW SDWKWUDFNLQJ PHWKRG DQG WKH )50/&V ZHUH ILUVW WHVWHG LQ VLPXODWLRQ E\ PRGHOLQJ WKH 1DYLJDWLRQ 7HVW 9HKLFOH 179f GHYHORSHG E\ WKH &HQWHU IRU ,QWHOOLJHQW 0DFKLQHV DQG 5RERWLFV &,0$5f DW WKH 8QLYHUVLW\ RI )ORULGD ,Q DGGLWLRQ WR WHVWLQJ LQ VLPXODWLRQ YHFWRU SXUVXLW SDWK WUDFNLQJ DQG WKH )50/&V ZHUH LPSOHPHQWHG RQ WKH 179 5HVXOWV VKRZ WKDW YHFWRU SXUVXLW LV PRUH UREXVW ZLWK UHVSHFW WR GLVWXUEDQFHV DQG WR GLIIHUHQW YHKLFOH VSHHGV FRPSDUHG ZLWK RWKHU JHRPHWULF SDWKWUDFNLQJ WHFKQLTXHV 9OO

PAGE 8

&+$37(5 ,1752'8&7,21 $Q DXWRQRPRXV YHKLFOH LV RQH WKDW LV FDSDEOH RI DXWRPDWLF QDYLJDWLRQ ,W LV VHOIn DFWLQJ DQG VHOIUHJXODWLQJ WKHUHIRUH LW LV DEOH WR RSHUDWH LQ DQG UHDFW WR LWV HQYLURQPHQW ZLWKRXW RXWVLGH FRQWURO 7KH SURFHVV RI DXWRPDWLQJ YHKLFOH QDYLJDWLRQ FDQ EH EURNHQ GRZQ LQWR IRXU VWHSV f SHUFHLYLQJ DQG PRGHOLQJ WKH HQYLURQPHQW f ORFDOL]LQJ WKH YHKLFOH ZLWKLQ WKH HQYLURQPHQW f SODQQLQJ DQG GHFLGLQJ WKH YHKLFOHfV GHVLUHG PRWLRQ DQG f H[HFXWLQJ WKH YHKLFOHfV GHVLUHG PRWLRQ >@ 7KHUH KDV EHHQ PXFK LQWHUHVW DQG UHVHDUFK GRQH LQ HDFK RI WKHVH DUHDV LQ WKH SDVW GHFDGH 7KH UHVHDUFK SURSRVHG KHUH IRFXVHV RQ GHFLGLQJ WKH YHKLFOHfV GHVLUHG PRWLRQ DQG WKHQ H[HFXWLQJ WKDW GHVLUHG PRWLRQ 3UREOHP 6WDWHPHQW *LYHQ $ SDWK PDGH XS RI WZR RU PRUH ZD\SRLQWV WKDW DQ $XWRQRPRXV *URXQG 9HKLFOH $*9f PXVW WUDFN ,W LV DVVXPHG WKDW WKH $*9 KDV D SDWK SODQQHU SRVLWLRQ V\VWHP DQG D YHKLFOH FRQWURO XQLW WKDW FRQIRUP WR WKH LQWHUIDFH VSHFLILFDWLRQ LQ WKH 0$; $UFKLWHFWXUH FXUUHQWO\ EHLQJ GHYHORSHG DW WKH 8QLYHUVLW\ RI )ORULGD 6HH $SSHQGL[ $f 'HYHORS $ SDWKWUDFNLQJ DOJRULWKP IRU DQ $*9 WR QDYLJDWH D JLYHQ SDWK DFFXUDWHO\ DW VSHHGV XS WR PHWHUV SHU VHFRQG a PSKf 7KLV LV WKH SULQFLSOH WDVN RI WKH PRELOLW\ FRQWURO XQLW LQ WKH 0$; DUFKLWHFWXUH 7KLV WDVN FDQ EH EURNHQ GRZQ LQWR WZR VXEWDVNV )LUVW GHYHORS DQ DOJRULWKP WKDW GHWHUPLQHV WKH FXUUHQW GHVLUHG PRWLRQ RI WKH $*9 WKDW FDXVHV LW WR WUDFN WKH JLYHQ SDWK 6HFRQG GHYHORS D FRQWURO DOJRULWKP WKDW H[HFXWHV WKLV GHVLUHG PRWLRQ

PAGE 9

3URMHFW %DFNJURXQG 7KH &HQWHU IRU ,QWHOOLJHQW 0DFKLQHV DQG 5RERWLFV &,0$5f EHJDQ ZRUNLQJ ZLWK DXWRQRPRXV YHKLFOHV LQ DQG KDV FRQWLQXHG ZRUNLQJ ZLWK WKHP WR WKH SUHVHQW GD\ 7KH $LU )RUFH 5HVHDUFK /DERUDWRU\ ORFDWHG DW 7\QGDOO $LU )RUFH %DVH )ORULGD VSRQVRUV WKLV ZRUN +LVWRU\ RI 9HKLFOHV $XWRPDWHG DW &,0$5 ,Q &,0$5 FRPSOHWHO\ DXWRPDWHG LWV ILUVW YHKLFOH $ .DZDVDNL 08/( DOOWHUUDLQ YHKLFOH ZDV PRGLILHG IRU FRPSXWHU FRQWURO DQG FXUUHQWO\ VHUYHV DV D 1DYLJDWLRQ 7HVW 9HKLFOH 179f DW WKH 8QLYHUVLW\ RI )ORULGD &RPSXWHU FRQWURO RI WKH YHKLFOH ZDV DFFRPSOLVKHG E\ PRXQWLQJ PRWRUV DQG HQFRGHUV RQ WKH YHKLFOHfV VWHHULQJ ZKHHO WKURWWOH EUDNH DQG WUDQVPLVVLRQ $Q LQWHJUDWHG LQHUWLDO QDYLJDWLRQ XQLW ,18f DQG GLIIHUHQWLDO JOREDO SRVLWLRQLQJ V\VWHP '*36f SURYLGHG UHDOWLPH YHKLFOH SRVLWLRQ DQG YHORFLW\ GDWD IRU IHHGEDFN $Q DUUD\ RI VRQDU VHQVRUV ZDV PRXQWHG RQ WKH IURQW RI WKH YHKLFOH WR GHWHFW DQ\ XQH[SHFWHG REVWDFOH LQ WKH YHKLFOHfV SDWK 7KH 179 KDV XQGHUJRQH VHYHUDO UHYLVLRQV RYHU WKH \HDUV DV FXUUHQW WHFKQRORJ\ FRQWLQXHV WR DGYDQFH )LJXUH VKRZV D SLFWXUH RI WKH 179 DV LW LV WRGD\ )LJXUH 1DYLJDWLRQ 7HVW 9HKLFOH

PAGE 10

7KH WHFKQRORJ\ GHYHORSHG RQ WKH 179 KDV EHHQ XVHG WR DXWRPDWH VHYHUDO RWKHU YHKLFOHV )LJXUH VKRZV D -RKQ 'HHUH *DWRU WKDW ZDV DXWRPDWHG WR VHUYH DV DQ DXWRQRPRXV VXUYH\ YHKLFOH $69f ,W ZDV GHVLJQHG WR VXUYH\ YDULRXV 'HSDUWPHQW RI 'HIHQVH '2'f IDFLOLWLHV WKDW FRQWDLQ EXULHG XQH[SORGHG RUGQDQFH 8;2f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

PAGE 11

REVWUXFWLRQV LQ RUGHU WR FUHDWH D ODQGLQJ DUHD IRU WKH GHSOR\PHQW RI WKH 0DULQHV DQG WKHLU VXSSOLHV )LJXUH $XWRQRPRXV -RKQ 'HHUH ([FDYDWRU )LJXUH $XWRQRPRXV '* %XOOGR]HU 7KH ODWHVW YHKLFOH WR XVH WKH WHFKQRORJ\ GHYHORSHG RQ WKH 179 LV WKH $OO3XUSRVH 5HPRWH 7UDQVSRUW 6\VWHP $576f VKRZQ LQ )LJXUH $576 LV D FRPPHUFLDOO\ DYDLODEOH YHKLFOH RXWILWWHG ZLWK D WHOHUHPRWH SDFNDJH GHYHORSHG E\ $SSOLHG 5HVHDUFK $VVRFLDWHV ,QF RI 7\QGDOO $LU )RUFH %DVH )/ 7KLV YHKLFOH ZDV DXWRPDWHG IRU D GHPRQVWUDWLRQ GXULQJ WKH 2FWREHU -RLQW $UFKLWHFWXUH IRU 8QPDQQHG *URXQG 9HKLFOHV -$8*6f ZRUNLQJ JURXS PHHWLQJ KHOG DW WKH 8QLYHUVLW\ RI )ORULGD

PAGE 12

)LJXUH $XWRQRPRXV $576 (YROXWLRQ RI WKH 179f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

PAGE 13

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fV IXQFWLRQDOLW\ E\ FRPELQLQJ GLIIHUHQW VXEPRGXOHV 'HYHORSLQJ DQ DUFKLWHFWXUH WKDW PHHWV WKLV UHTXLUHPHQW LV D WZRVWHS SURFHVV DFFRPSOLVKHG E\ ILUVW GHWHUPLQLQJ D OLVW RI VXEPRGXOHV UHTXLUHG WR DXWRPDWH D YHKLFOH DQG WKHQ GHWHUPLQLQJ WKHLU LQWHUIDFH 7KH 0RGXODU $UFKLWHFWXUH H[SHULPHQWDO 0$;f FXUUHQWO\ EHLQJ GHYHORSHG DW WKH 8QLYHUVLW\ RI )ORULGD DWWHPSWV WR PHHW WKLV UHTXLUHPHQW 0$; FXUUHQWO\ FRQVLVWV RI WKH IROORZLQJ VXEPRGXOHV 3RVLWLRQ 6\VWHP 326f 9HKLFOH &RQWURO 8QLW 9&8f 3DWK 3ODQQHU 3/1f 'HWHFWLRQ DQG 0DSSLQJ 6\VWHP

PAGE 14

'06f DQG 0RELOLW\ &RQWURO 8QLW 0&8f 7KH PRGXODU VWUXFWXUH RI 0$; LV VKRZQ LQ )LJXUH 7KH LQWHUIDFH EHWZHHQ HDFK VXEPRGXOH GHILQHG E\ 0$; 6HH $SSHQGL[ $f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

PAGE 15

EHKLQG WKLV SDUW RI WKH UHVHDUFK LV WR DOORZ IRU VPDOOHU ORRNDKHDG GLVWDQFHV ZLWKRXW JLYLQJ XS V\VWHP VWDELOLW\ 7KH VHFRQG WDVN RI WKLV UHVHDUFK LV WR GHYHORS D FRQWURO DOJRULWKP WKDW H[HFXWHV WKH $*9fV GHVLUHG PRWLRQ 7KHUH DUH WZR PDLQ PRWLYDWLRQV IRU WKLV ZRUN 7KH ILUVW PRWLYDWLRQ LV WR KDYH WKH DELOLW\ WR RSHUDWH WKH 179 XQGHU YDULRXV FRQGLWLRQV DQG VSHHGV 2SHUDWLQJ FRQGLWLRQV PRVW OLNHO\ FKDQJH DV QHZ DSSOLFDWLRQV DUH HVWDEOLVKHG IRU WKH WHFKQRORJ\ GHYHORSHG RQ WKH 179 6RPH SRVVLEOH FKDQJHV LQ RSHUDWLQJ FRQGLWLRQV LQFOXGH WKH ZHLJKW RI WKH SD\ORDG WRZLQJ D WUDLOHU WKH GHVLUHG YHKLFOH VSHHG DQG WKH W\SH RI JURXQG RQ ZKLFK LW LV RSHUDWLQJ LH DVSKDOW JUDVV VDQG HWFf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

PAGE 16

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fV OLQHDU VSHHG DQG WKH FRPSRQHQW 0] LV XVHG WR FRQWURO WKH YHKLFOHfV DQJXODU VSHHG +DYLQJ WKH FRPPDQGV WR FRQWURO DQ $*9 EH WKH VDPH IRU PRVW JURXQG YHKLFOHV PDNHV WKH LGHD RI EHLQJ DEOH WR VZLWFK RXW RU WUDQVIHU WKH 0&8 PRUH IHDVLEOH 7KHUHIRUH WKH VHFRQG PRWLYDWLRQ IRU WKLV SDUW RI WKH UHVHDUFK LV WR GHYHORS DQ 0&8 WKDW FDQ EH WUDQVIHUUHG WR GLIIHUHQW YHKLFOHV ZLWK IHZ RU QR FKDQJHV WR WKH 0&8 7KLV VXJJHVWV WKDW WKH 0&8 PXVW KDYH WKH DELOLW\ WR DGDSW QRW RQO\ WR GLIIHUHQW RSHUDWLQJ FRQGLWLRQV EXW DOVR WR GLIIHUHQW YHKLFOHV 5HVHDUFK 2EMHFWLYH 7KH REMHFWLYH RI WKLV UHVHDUFK LV WR GHYHORS DQ DGDSWLYH FRQWURO DOJRULWKP IRU WKH 179 WR WUDFN D JLYHQ SDWK DFFXUDWHO\ DW VSHHGV XS WR PHWHUV SHU VHFRQG 7KLV WDVN LV EURNHQ GRZQ LQWR WZR VXEWDVNV )LUVW GHYHORS DQ DOJRULWKP WR GHWHUPLQH WKH FXUUHQW

PAGE 17

GHVLUHG PRWLRQ RI WKH $*9 WKDW FDXVHV LW WR WUDFN WKH JLYHQ SDWK 6HFRQG GHYHORS DQ DGDSWLYH FRQWURO DOJRULWKP WKDW H[HFXWHV WKH $*9fV GHVLUHG PRWLRQ 7KH UHPDLQGHU RI WKLV GLVVHUWDWLRQ LV RXWOLQHG DV IROORZV &KDSWHU LV D EURDG RYHUYLHZ RI GLIIHUHQW $*9V DQG WKHLU QDYLJDWLRQ DUFKLWHFWXUHV &KDSWHU LQWURGXFHV D QHZ SDWKWUDFNLQJ DOJRULWKP WKDW JLYHV WKH YHKLFOHfV GHVLUHG PRWLRQ EDVHG RQ WKH FXUUHQW YHKLFOH SRVLWLRQ DQG RULHQWDWLRQ UHODWLYH WR D SDWK &KDSWHU SUHVHQWV D IX]]\ PRGHO UHIHUHQFH OHDUQLQJ FRQWUROOHU )05/&f WR WUDFN WKH $*9f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

PAGE 18

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f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

PAGE 19

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f&RQQRU HW DO DW 6WDQIRUG 8QLYHUVLW\ UHO\ VROHO\ RQ &DUULHU 3KDVH 'LIIHUHQWLDO *36 &3*36f WR SURYLGH SRVLWLRQ DQG DWWLWXGH IHHGEDFN WR FRQWURO WKH SRVLWLRQ RI DJULFXOWXUDO HTXLSPHQW UHODWLYH WR D SUHSODQQHG SDWK >@ 7KH SRVLWLRQ DQG DWWLWXGH DUH FDOFXODWHG XVLQJ IRXU VLQJOHSKDVH *36 DQWHQQDV RQ WKH YHKLFOH 7KH WHVW SODWIRUP XVHG E\ 2f&RQQRU HW DO WR WHVW DXWRQRPRXV QDYLJDWLRQ LV D -RKQ 'HHUH WUDFWRU $ K\EULG FRQWUROOHU LV XVHG WR FRQWURO WKH YHKLFOHfV KHDGLQJ )RU ODUJH KHDGLQJ HUURUV D fEDQJ EDQJf FRQWURO WHFKQLTXH LV XVHG 2WKHUZLVH IRU VPDOO KHDGLQJ HUURUV D /LQHDU 4XDGUDWLF

PAGE 20

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

PAGE 21

WUDYHOLQJ EDFN DQG IRUWK EHWZHHQ NQRZQ ZDOOV 8OULFK WHVWHG WKH URERW LQ D VTXDUH PHWHU DUHD WKDW ZDV FRYHUHG ZLWK VDZGXVW 7KH URERW ZDV DEOH WR FOHDQ b RI WKH DUHD LQ LWV LQWHUQDO PDS 1ROIL XVHV D UHFHQWO\ GHYHORSHG WHFKQLTXH WR HYROYH WKH GHVLUHG EHKDYLRU RI DQ DXWRQRPRXV YHKLFOH WR FROOHFW JDUEDJH DQG UHPRYH LW IURP DQ DUHQD >@ 7KH SODWIRUP FKRVHQ LV D .KHSHUD URERW WKDW LV GHYHORSHG DW (3)/ LQ /DXVDQQH 6ZLW]HUODQG ,W LV D ZKHHOHG YHKLFOH FRQWUROOHG E\ WZR '& PRWRUV ZLWK LQFUHPHQWDO HQFRGHUV 7KH .KHSHUD URERW DOVR LV HTXLSSHG ZLWK D JULSSHU PRGXOH WKDW KDV '2) DQG HLJKW LQIUDUHG SUR[LPLW\ VHQVRUV 7KH URERW LV DXWRPDWHG WKURXJK WKH XVH RI D QHXUDO FRQWUROOHU 7KH QHXUDO QHWZRUN FKRVHQ LV PDGH XS RI VHYHQ VHQVRU\ QHXURQV PRWRU QHXURQV DQG QR LQWHUQDO QHXURQV $ JHQHWLF DOJRULWKP LV XVHG WR HYROYH WKLV QHXUDO QHWZRUN WR SHUIRUP YDULRXV WDVNV VXFK DV H[SORULQJ WKH HQYLURQPHQW ORFDWLQJ DQG SLFNLQJ XS WDUJHW REMHFWV DQG UHPRYLQJ WKH REMHFWV IURP WKH DUHQD $V WKH QHWZRUN HYROYHV WKH QXPEHU RI VXFFHVVIXO SLFNXS DQG UHOHDVH WDVNV LQFUHDVHV DQG WKH QXPEHU RI FUDVKHV GHFUHDVHV 3DVVHQJHU 9HKLFOHV 7ZR DUHDV RI UHVHDUFK IRU WKH GHYHORSPHQW RI DQ $XWRPDWHG +LJKZD\ 6\VWHP $+6f DUH YHKLFOH ORQJLWXGLQDO FRQWURO DQG ODWHUDO FRQWURO /RQJLWXGLQDO FRQWURO W\SLFDOO\ LQYROYHV FRQWUROOLQJ WKH YHKLFOHfV WKURWWOH DQG EUDNH 6SRRQHU DQG 3DVVLQR SUHVHQW WKHLU UHVXOWV RI WZR IX]]\ ORQJLWXGLQDO FRQWUROOHUV IRU YHKLFOH IROORZLQJ >@ 7KH FRQWUROOHUV WKH\ XVH DUH D GLUHFW DGDSWLYH FRQWUROOHU DQG DQ LQGLUHFW DGDSWLYH FRQWUROOHU WKDW XVH 7DNDJL6XJHQR IX]]\ V\VWHPV 3HUIRUPDQFH UHVXOWV RI WKHLU FRQWUROOHUV LQ VLPXODWLRQ DUH VKRZQ JUDSKLFDOO\ +XDQJ DQG 5HQ DOVR KDYH GRQH ZRUN RQ YHKLFOH ORQJLWXGLQDO FRQWURO >@ 7KHLU ZRUN GHDOV ZLWK D VZLWFKLQJ VWUDWHJ\ EHWZHHQ WKH WKURWWOH DQG EUDNHV 7KH\ FRPSXWH D

PAGE 22

FRQWURO VLJQDO IRU WKH WKURWWOH DQG D FRQWURO VLJQDO IRU WKH EUDNH (DFK VLJQDO LV RSWLPL]HG LQ RUGHU WR PHHW VRPH WUDFNLQJ FULWHULRQ E\ D OHDUQLQJ DOJRULWKP 7KHVH WZR VLJQDOV WKHQ DUH XVHG WR GHWHUPLQH EUDNH DQG WKURWWOH SRVLWLRQV 5HVXOWV IURP VLPXODWLRQV DUH SUHVHQWHG JUDSKLFDOO\ 9HKLFOH ODWHUDO FRQWURO RQ WKH RWKHU KDQG LQYROYHV FRQWUROOLQJ WKH YHKLFOHfV VWHHULQJ 8Q\HOLRJOX HW DO SUHVHQW WKHLU GHVLJQ DQG VWDELOLW\ DQDO\VLV RI D FRQWUROOHU IRU ODQH IROORZLQJ >@ 7KHLU REMHFWLYH LV WR VWHHU D YHKLFOH VR WKDW LW VWD\V LQ WKH PLGGOH RI WKH ODQH 7KLV LV DFFRPSOLVKHG E\ GHILQLQJ D UHIHUHQFH OLQH LQ WKH PLGGOH RI WKH ODQH DQG D ORRNDKHDG SRLQW RQ WKH YHKLFOHfV ORQJLWXGLQDO D[LV DW D JLYHQ GLVWDQFH LQ IURQW RI WKH YHKLFOH 7KH FRQWUROOHU XVHV WKH RIIVHW GLVWDQFH EHWZHHQ WKH ORRNDKHDG SRLQW DQG WKH SRLQW RQ WKH UHIHUHQFH OLQH FORVHVW WR WKH ORRNDKHDG SRLQW 8VLQJ 5RXWK+XUZLW] VWDELOLW\ FULWHULRQ WKH\ SURYH WKDW IRU D JLYHQ UDQJH RI VSHHGV E\ FKRRVLQJ D VXIILFLHQWO\ ODUJH ORRNDKHDG GLVWDQFH WKH V\VWHP LV VWDEOH IRU WKDW UDQJH 6LPXODWLRQ UHVXOWV DUH JLYHQ WR GHPRQVWUDWH WKH SHUIRUPDQFH RI WKHLU FRQWUROOHU 2f%ULHQ HW DO DOVR DGGUHVV WKH ODWHUDO PRWLRQ FRQWURO RI DXWRPDWHG KLJKZD\ YHKLFOHV >@ 7KH\ GHVLJQHG DQ +RF FRQWUROOHU WR WUDFN WKH FHQWHU RI WKH FXUUHQW ODQH RQ ERWK FXUYHG DQG VWUDLJKW KLJKZD\V 7KH UHVXOW RI FRQVLGHULQJ SHUIRUPDQFH UHTXLUHPHQWV LQ WKH FRQWUROOHU GHVLJQ LV D FRQWUROOHU WKDW LV UREXVW WR PRGHO XQFHUWDLQW\ 7KH FRQWUROOHUfV UREXVWQHVV WR GLIIHUHQW VSHHGV URDG FRQGLWLRQV DQG ZLQG JXVWV DUH H[DPLQHG 7KH FRQWUROOHU LV WHVWHG LQ VLPXODWLRQ IRU YDULRXV FRQGLWLRQV )RU HDFK FRQGLWLRQ WHVWHG WKH ODWHUDO RIIVHW LV OHVV WKDQ FHQWLPHWHUV DQG WKH \DZ DQJOH HUURU LV OHVV WKDQ UDGLDQV 7ZR RWKHU DUHDV RI UHVHDUFK GHDOLQJ ZLWK SDVVHQJHU YHKLFOHV DUH DFWLYH VWHHULQJ DVVLVWDQFH DQG SDUDOOHO SDUNLQJ 7KH FRQFHSW EHKLQG DFWLYH VWHHULQJ DVVLVWDQFH LV WR

PAGE 23

PRQLWRU WKH GULYHUf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fV YHORFLW\ 7KH FRQWURO VFKHPH LV LPSOHPHQWHG LQ D UHDFWLYH VFKHPH LQ RUGHU WR DYRLG REVWDFOH FROOLVLRQV 7KH\ H[SHULPHQWDOO\ YHULI\ WKHLU DOJRULWKP RQ D /,*,(5 HOHFWULF DXWRQRPRXV YHKLFOH 0LOLWDU\ 9HKLFOHV 7KHUH DUH PDQ\ DUHDV ZKHUH WKH PLOLWDU\ LV UHVHDUFKLQJ WKH XVH RI $*9V 2QH DUHD LV LQ D SURMHFW IRU WKH 8QLWHG 6WDWHV $UP\ WKDW LQYROYHV DXWRPDWLF WDUJHW DFTXLVLWLRQ $7$f >@ $ W\SLFDO PLVVLRQ LQYROYHV D VFRXW GULYLQJ IURP D VHFRQGDU\ REVHUYDWLRQ SRLQW WR D PDLQ REVHUYDWLRQ SRLQW 7KLV DOORZV WKH YHKLFOH WR UHFRUG D SDWK XVLQJ SRVLWLRQ GDWD IURP DQ LQWHJUDWHG LQHUWLDO QDYLJDWLRQ V\VWHP DQG D GLIIHUHQWLDO JOREDO SRVLWLRQLQJ

PAGE 24

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fV '$53$f SURJUDP IRU 7DFWLFDO 0RELOH 5RERWV 705f >@ 7KH PDLQ JRDO RI WKH 705 SURJUDP LV WR GHYHORS WKH WHFKQRORJ\ IRU VPDOO URERWV WKDW FDQ EH GHSOR\HG HDVLO\ LQ XUEDQ HQYLURQPHQWV 7KLV SODFHV VRPH XQLTXH UHTXLUHPHQWV RQ V\VWHP VL]H QDYLJDWLRQ FDSDELOLWLHV FRPPXQLFDWLRQ FDSDELOLWLHV DQG RSHUDWRU LQWHUIDFH 7KH VL]H UHVWULFWLRQV WKH\ DUH WU\LQJ WR DFKLHYH DUH D PD[LPXP VL]H RI f [ f [ f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

PAGE 25

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f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f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

PAGE 26

,QVSHFWLRQ 9HKLFOHV $,5,6 LV DQ XQGHUZDWHU LQVSHFWLRQ URERW SUHVHQWHG E\ .RML >@ 7KH VSHFLILF WDVN IRU WKH $,5,6 URERW LV WR LQVSHFW WKH RXWVLGH VXUIDFH RI D UHDFWRU SUHVVXUH YHVVHO RI QXFOHDU SRZHU VWDWLRQV ,W SHUIRUPV D QRQGHVWUXFWLYH LQVSHFWLRQ RI ZHOGV LQ WKH UHDFWRU SUHVVXUH YHVVHO VKHOO IURP WKH LQVLGH 7KH $,5,6 XVHV WKUXVWHUV WR SURYLGH D FKDPEHU XQGHUQHDWK LW ZLWK QHJDWLYH SUHVVXUH 7KLV DOORZV LW WR EH VXFNHG VHFXUHO\ RQWR WKH UHDFWRU SUHVVXUH YHVVHOf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fV NP ORQJ SXEOLF VHZDJH V\VWHP *HUPDQ\fV SXEOLF VHZDJH V\VWHP LV RYHU \HDUV ROG DQG SRVVLEO\ FRXOG EH SROOXWLQJ WKH VRLO DQG JURXQG ZDWHU 7KH URERW LV UHTXLUHG WR RSHUDWH ZLUHOHVVO\ WR QDYLJDWH GHJUHH WXUQV DQG VWHSV RI PHWHUV KLJK DQG WR RSHUDWH LQ SLSHV ZLWK D GLDPHWHU RI WR FHQWLPHWHUV 7KH GHVLJQ ORRNV OLNH D ZKHHOHG VQDNH WKDW FRQVLVWV RI GLIIHUHQW PRGXOHV 7KHVH PRGXOHV LQFOXGH VHQVRU GULYH DQG SRZHU VXSSO\ PRGXOHV 7KLV DOORZV WKH GULYLQJ DQG WKH VHQVLQJ PRGXOHV WR EH GHYHORSHG LQGHSHQGHQWO\

PAGE 27

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fV WDVN RU LWV RSHUDWLQJ HQYLURQPHQW LQFUHDVHV WKH QXPEHU RI EHKDYLRUV XVXDOO\ LQFUHDVHV DV ZHOO 7KLV PDNHV LW YHU\ GLIILFXOW WR SUHGLFW WKH EHKDYLRU RI WKH $*9 DQG LW PDNHV LW PRUH GLIILFXOW IRU WKH GHVLJQHU WR GHWHUPLQH WKH FRUUHFW EHKDYLRU IRU DOO SRVVLEOH VHQVRU UHDGLQJV $OVR EHKDYLRUDO DUFKLWHFWXUHV GR QRW JXDUDQWHH WKH EHVW VROXWLRQ VLQFH WKH\ FRQVLGHU RQO\ WKH FXUUHQW VHQVRU UHDGLQJV +LHUDUFKLFDO RU WRSGRZQ DUFKLWHFWXUHV EUHDN GRZQ WKH $*9f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

PAGE 28

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

PAGE 29

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fV SHUIRUPDQFH LV PHDVXUHG ZLWK UHVSHFW WR WKH WZR WDVNV RI UHDFKLQJ WKH JRDO DQG DYRLGLQJ REVWDFOHV ,I WKH YHKLFOH FROOLGHV ZLWK DQ REVWDFOH WKH FRQWUROOHU LV JLYHQ D UHZDUG SURSRUWLRQDO WR WKH QXPEHU RI VWHSV SULRU WR WKH FROOLVLRQ ,I WKH YHKLFOH GRHV QRW FROOLGH EXW GRHV QRW UHDFK WKH JRDO LQ WKH DOORWWHG VWHSV DQ DGGLWLRQDO UHZDUG LV JLYHQ GHSHQGLQJ RQ KRZ FORVH WKH YHKLFOH LV WR WKH JRDO ,I WKH YHKLFOH LV ZLWKLQ D JLYHQ GLVWDQFH WR WKH JRDO WKH FRQWUROOHU UHFHLYHV D WKLUG UHZDUG 7KH PHWKRG ZDV DSSOLHG VXFFHVVIXOO\ DQG WKH UHVXOWV DUH VKRZQ JUDSKLFDOO\ +LHUDUFKLFDO $UFKLWHFWXUH +LHUDUFKLFDO DUFKLWHFWXUHV W\SLFDOO\ LQYROYH HLWKHU D SDWKWUDFNLQJ RU WUDMHFWRU\n WUDFNLQJ DOJRULWKP 6LQFH WKH ZRUN GRQH KHUH LQYROYHV SDWK WUDFNLQJ D PRUH GHWDLOHG UHYLHZ RI KLHUDUFKLFDO DUFKLWHFWXUHV LV ZDUUDQWHG 'HVLUHG SDWKV RU WUDMHFWRULHV FDQ EH

PAGE 30

JHQHUDWHG LQ UHDOWLPH EDVHG RQ FXUUHQW VHQVRU UHDGLQJV RU JHQHUDWHG RQFH EDVHG RQ D PDS RI WKH RSHUDWLQJ HQYLURQPHQW 7KH PHWKRG XVHG HLWKHU UHDOWLPH RU QRW WR JHQHUDWH WKH SDWKV RU WUDMHFWRULHV JHQHUDOO\ GHSHQGV RQ ZKHWKHU WKH RSHUDWLQJ HQYLURQPHQW LV NQRZQ D SULRUL DQG LI LW LV VWDWLF 2QFH WKH SDWK RU WUDMHFWRU\ LV NQRZQ WKHUH DUH VHYHUDO GLIIHUHQW WHFKQLTXHV XVHG WR WUDFN WKH SDWK RU WUDMHFWRU\ 6RPH RI WKHVH WHFKQLTXHV LQFOXGH 3URSRUWLRQDO,QWHJUDO'HULYDWLYH 3,'f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fV FXUUHQW KHDGLQJ DQG GHVLUHG KHDGLQJ DV LWV LQSXW DQG RXWSXWV WKH FXUUHQW VWHHULQJ ZKHHO DQJOH 7KLV PHWKRG ZRUNV ZHOO IRU VWUDLJKW SDWKV EXW KDV SUREOHPV ZLWK FXUYHG SDWKV %\ KDYLQJ WKH ORRNDKHDG SRLQW D FHUWDLQ GLVWDQFH LQ IURQW RI WKH YHKLFOH RQ WKH SDWK WKH GHVLUHG KHDGLQJ FDXVHV WKH YHKLFOH WR FXW FRPHUV (YHQ LI WKH YHKLFOH ZHUH DEOH WR WUDFN WKH GHVLUHG KHDGLQJ ZLWK QR HUURUV WKH YHKLFOH ZRXOG VWLOO KDYH HUURUV LQ LWV SRVLWLRQ

PAGE 31

.DQD\DPD DQG )DKURR SURSRVH D QHZ VWHHULQJ IXQFWLRQ DV D OLQH WUDFNLQJ PHWKRG IRU QRQKRORQRPLF YHKLFOHV >@ 7KH FXUUHQW VWDWH RI D JURXQG YHKLFOH FDQ EH UHSUHVHQWHG E\ LWV FXUUHQW OLQHDU VSHHG Y DQG LWV FXUUHQW SDWK FXUYDWXUH 0U 7KHUHIRUH WKHLU FRQWUROOHU LV GHVLJQHG WR GHWHUPLQH WKH RSWLPDO FKDQJH LQ SDWK FXUYDWXUH LQ RUGHU WR WUDFN D JLYHQ OLQH 7KH\ FKRRVH WR FRQWURO WKH YHKLFOHfV SDWK FXUYDWXUH EHFDXVH LW LV UHODWHG PRUH GLUHFWO\ WR YHKLFOH FRQWURO DQG LW LV LQGHSHQGHQW RI WKH JOREDO FRRUGLQDWH V\VWHP 7KH VWHHULQJ IXQFWLRQ WKH\ SURSRVH LV 8. E^ _f F$G f GV ZKHUH D E DQG F DUH SRVLWLYH FRQVWDQWV N LV WKH FXUUHQW YHKLFOHfV SDWK FXUYDWXUH ? LV WKH YHKLFOHfV KHDGLQJ HUURU DQG $G LV WKH YHKLFOHfV SRVLWLRQ HUURU ,PPHGLDWHO\ LW LV DSSDUHQW WKDW WKHUH LV D SUREOHP RI PL[HG XQLWV LQ WKHLU SURSRVHG VWHHULQJ IXQFWLRQ 8QIRUWXQDWHO\ .DQD\DPD DQG )DKURR GLG QRW DGGUHVV WKLV LVVXH %\ UHTXLULQJ WKDW WKH PDJQLWXGH RI ?f EH OHVV WKDQ QLO WKH\ GHWHUPLQHG WKDW WKH UHODWLRQVKLS EHWZHHQ WKH FRQVWDQWV VKRXOG EH D N E N DQG F N IRU WKH FRQWUROOHU WR EH VWDEOH 7KH WHUP N LV WKH JDLQ RI WKH VWHHULQJ IXQFWLRQ DQG FRQWUROV KRZ IDVW RU KRZ VORZ WKH YHKLFOH FRQYHUJHV WR WKH OLQH 7KLV WHFKQLTXH ZDV WHVWHG LQ VLPXODWLRQ DV ZHOO DV RQ WKH DXWRQRPRXV YHKLFOH @ $V ORQJ DV WKH YHKLFOHfV SRVLWLRQ DQG KHDGLQJ HUURUV UHODWLYH WR WKH UHIHUHQFH SRLQW DUH VPDOO WKH UHIHUHQFH SRLQW PRYHV DORQJ WKH SDWK DV WKH YHKLFOH IROORZV LW ,I WKH HUURUV DUH WRR ODUJH WKH UHIHUHQFH SRLQW PD\ VWRS WR ZDLW IRU WKH YHKLFOH 7KHUHIRUH WKH\ FDOO WKH UHIHUHQFH SRLQW D YLUWXDO YHKLFOH 7KH ORFDWLRQ RI WKH YLUWXDO

PAGE 32

YHKLFOH GHSHQGV RQ ERWK WKH YHKLFOHfV FXUUHQW VSHHG DQG SRVLWLRQ 2QFH WKH ORFDWLRQ RI WKH YLUWXDO YHKLFOH LV GHWHUPLQHG WKH VWHHULQJ LV FRQWUROOHG E\ WKH SURSRUWLRQDO FRQWUROOHU 6I NSWSGf f ZKHUH 6I LV WKH VWHHULQJ DQJOH S LV WKH YHKLFOH KHDGLQJ T! LV WKH GHVLUHG KHDGLQJ DQG N LV FKRVHQ EDVHG RQ WKH YHKLFOHfV PD[LPXP VWHHULQJ DQJOH 7KLV WHFKQLTXH ZDV WHVWHG RQ D PRGLILHG UDGLRFRQWUROOHG FDU DQG D 1RPDG 5HVXOWV IRU ERWK YHKLFOHV DUH VKRZQ JUDSKLFDOO\ DQG FRQVLGHUHG VDWLVIDFWRU\ $ JHRPHWULF SDWKWUDFNLQJ FRQWURO RI D GLIIHUHQWLDO GULYH YHKLFOH WKDW WDNHV LQWR DFFRXQW WKH NLQHPDWLF DQG G\QDPLF SURSHUWLHV RI WKH YHKLFOH LV SURSRVHG E\ 'H6DQLWV >@ 7KH YHKLFOH KDV UHDU GLIIHUHQWLDOO\ GULYHQ ZKHHOV DQG D IURQW FDVWRU ZKHHO $ UHIHUHQFH IUDPH LV SODFHG DW WKH FHQWHU RI WKH UHDU ZKHHOfV D[OH 8VLQJ WKLV UHIHUHQFH IUDPH GLIIHUHQWLDO HTXDWLRQV RI WKH YHKLFOHf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fV FRQWUROOHU FDQ EH GHFHQWUDOL]HG DOORZLQJ VHSDUDWH FRQWUROOHUV IRU VSHHG DQG VWHHULQJ ,W WXUQV RXW WKDW WKH VSHHG FRQWUROOHU LV LQ WKH IRUP RI D 3, FRQWUROOHU DQG WKH VWHHULQJ FRQWUROOHU LV LQ WKH IRUP RI D 3,' FRQWUROOHU 7KHUHIRUH WKH JDLQV RI WKH FRQWUROOHUV DUH GHWHUPLQHG WKURXJK WKH XVH RI FODVVLFDO 3,' WHFKQLTXHV $Q H[DPSOH RI DSSO\LQJ WKLV FRQWURO WHFKQLTXH WR D ZKHHOFKDLU LV JLYHQ EXW QR UHVXOWV DUH JLYHQ RI LWV DFFXUDF\

PAGE 33

/HH DQG :LOOLDPV SUHVHQW D FRQWURO PHWKRG IRU D GLIIHUHQWLDOO\ GULYHQ DXWRQRPRXV PRELOH URERW >@ 7KH FRQWURO VWUXFWXUH LV PDGH XS RI WZR ORRSV ,Q WKH YHKLFOH FRQWUROOHU ORRS D WUDMHFWRU\ JHQHUDWRU ILUVW SURYLGHV WKH GHVLUHG GLVSODFHPHQW DQG UDWH 7KHQ WKH HUURUV EHWZHHQ WKH GHVLUHG DQG DFWXDO DUH XVHG DV LQSXW WR D 3,' FRQWUROOHU WKDW FRQYHUWV WKHP WR D GHVLUHG WRUTXH 7KH VHFRQG ORRS FDOFXODWHV DQ HUURU EHWZHHQ D GHVLUHG SRVWXUH DQG DQ DFWXDO SRVWXUH 7KH GHVLUHG SRVWXUH LV GHWHUPLQHG XVLQJ WKH GHVLUHG GLVSODFHPHQW DQG UDWH DORQJ ZLWK D NLQHPDWLF PRGHO RI WKH YHKLFOH 6LPLODUO\ WKH DFWXDO SRVWXUH LV GHWHUPLQHG ZLWK WKH PHDVXUHG GLVSODFHPHQW DQG UDWH DORQJ ZLWK D NLQHPDWLF PRGHO RI WKH YHKLFOH 7KH HUURU LQ SRVWXUH LV XVHG WKHQ WR FDOFXODWH D WRUTXH LQ RUGHU WR GULYH WKH HUURU WR ]HUR 7KH WRWDO FRPPDQGHG WRUTXH LV WKH VXP RI WKH WRUTXH FDOFXODWHG IURP WKH YHKLFOH FRQWUROOHU DQG WKH WRUTXH FRPSXWHG IURP WKH HUURU LQ SRVWXUH 7KLV QDYLJDWLRQ WHFKQLTXH ZDV WHVWHG ERWK LQ VLPXODWLRQ DQG H[SHULPHQWDOO\ ([SHULPHQWDO UHVXOWV DUH VKRZQ JUDSKLFDOO\ RI WKH FRQWUROOHUfV DELOLW\ WR KDQGOH DQ LQLWLDO ODWHUDO HUURU RI FP LQLWLDO ORQJLWXGLQDO HUURUV RI DQG FP DQG LQLWLDO KHDGLQJ HUURUV RI DQG GHJUHHV 7KH ODWHUDO HUURU FRQYHUJHG DOPRVW WR ]HUR LQ DSSUR[LPDWHO\ VL[ VHFRQGV 7KH ORQJLWXGLQDO DQG KHDGLQJ HUURUV ZHUH DEOH WR FRQYHUJH WR ]HUR LQ DERXW VHFRQGV &KRL SUHVHQWV DQ DGDSWLYH FRQWUROOHU IRU WKH ODWHUDO SRVLWLRQ RI D YHKLFOH IRU WKH ,QWHOOLJHQW 9HKLFOH +LJKZD\ 6\VWHP ,9+6f >@ 7KH ODWHUDO HUURU LV PHDVXUHG XVLQJ ORRNGRZQ VHQVLQJ ZKLFK FDQ EH UHDOL]HG XVLQJ HOHFWULILHG ZLUHV UDGDU UHIOHFWLRQ RU EXULHG SHUPDQHQW PDJQHWV 8VLQJ WKH ODWHUDO HUURU DV LQSXW D 3' W\SH FRQWUROOHU LV SUHVHQWHG 7KLV UHVXOWV LQ WKH SRVVLELOLW\ RI D VWHDG\ VWDWH HUURU ,Q RUGHU WR GHDO ZLWK WKLV WKH 3' FRQWUROOHU LV PRGLILHG E\ DGGLQJ DQ XQNQRZQ ODWHUDO GLVWXUEDQFH IRUFH 7KLV ODWHUDO IRUFH LV XVHG WR PRGHO XQPHDVXUHG GLVWXUEDQFHV VXFK DV ZKHHO PLVDOLJQPHQW

PAGE 34

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fV GLVWDQFH WR QHDUE\ REVWDFOHV 7R FRQWURO WKH YHKLFOHfV VWHHULQJ D IHHGIRUZDUG PRGXOH WKDW LQFRUSRUDWHV WKH YHKLFOHfV G\QDPLFV LV XVHG LQ FRQMXQFWLRQ ZLWK D IHHGEDFN FRQWUROOHU 7KH FRQWURO LQSXW WKHQ WDNHV WKH IRUP 8 5.HQ f ZKHUH 5 LV WKH IHHGIRUZDUG FRPSHQVDWLRQ DQG .H LV WKH IHHGEDFN HUURU PXOWLSOLHG E\ VRPH JDLQ 7KH G\QDPLF PRGHO RI WKH IHHGIRUZDUG FRPSHQVDWRU FRQVLGHUV RQO\ WKH ODWHQF\ RI WKH VWHHULQJ 7KH ODWHQF\ LV FRQVLGHUHG WKH GRPLQDQW FKDUDFWHULVWLF RI WKH YHKLFOHfV G\QDPLFV ,W LV PRGHOHG XVLQJ D OXPSHG V\VWHP RI ILUVWRUGHU ODJ 7KH IHHGIRUZDUG FRPSHQVDWRU LQ HIIHFW VHQGV FRPPDQGV LQ DGYDQFH VR WKDW WKH VWHHULQJ PDQHXYHU VWDUWV EHIRUH D WXUQ LV HQFRXQWHUHG 7KH IHHGEDFN FRQWUROOHU XVHV WKH YHKLFOHfV SRVLWLRQ KHDGLQJ DQG FXUYDWXUH HUURUV 8VLQJ WKH JHRPHWU\ RI WKH HUURUV D TXLQWLF SRO\QRPLDO IXQFWLRQ LV GHWHUPLQHG WKDW

PAGE 35

FRQYHUJHV WR ]HUR DW D VSHFLILHG ORRNDKHDG GLVWDQFH 7KHQ WKH YDULDWLRQ RI WKH VWHHULQJ DQJOH LV GHWHUPLQHG IURP WKLV SRO\QRPLDO 7KH ORRNDKHDG GLVWDQFH LV XVHG WR DGMXVW WKH VHQVLWLYLW\ RI WKH V\VWHP DQG LV D IXQFWLRQ RI WKH FXUUHQW YHKLFOH VSHHG 7HVWLQJ RI WKLV DXWRQRPRXV QDYLJDWLRQ WHFKQLTXH ZDV DFFRPSOLVKHG LQ VLPXODWLRQ DQG WKURXJK H[SHULPHQWV ,Q VLPXODWLRQ WKH WHFKQLTXH ZDV WHVWHG XVLQJ DQ RSHQORRS FRQWUROOHU MXVW WKH IHHGEDFN FRQWUROOHU MXVW WKH IHHGIRUZDUG FRQWUROOHU DQG ILQDOO\ ZLWK ERWK WKH IHHGEDFN DQG IHHGIRUZDUG FRQWUROOHU 7KH EHVW UHVXOWV ZHUH REWDLQHG XVLQJ WKH IHHGEDFN ZLWK WKH IHHGIRUZDUG FRQWUROOHU 7KH UHVXOWV RI WKLV WHFKQLTXH KDG D SRVLWLRQ HUURU RI PHWHUV ZLWK D VWDQGDUG GHYLDWLRQ RI PHWHUV DQG D YHORFLW\ HUURU RI PHWHUV SHU VHFRQG ZLWK D VWDQGDUG GHYLDWLRQ RI PHWHUV SHU VHFRQG 6KLQ HW DO XVHG WKH DXWRQRPRXV YHKLFOH 1DYODE DV D WHVW EHG 7KH GHVLUHG SDWK FRQVLVWHG RI D PHWHU VWUDLJKW OLQH HQGLQJ ZLWK D PHWHU ODWHUDO MXPS DQG WKHQ IROORZHG E\ DQ DGGLWLRQDO PHWHU VWUDLJKW OLQH 5HVXOWV DUH VKRZQ JUDSKLFDOO\ IRU YDULRXV IHHGIRUZDUG FRPSHQVDWLRQ WLPHV :LWK WKHVH UHVXOWV WKH IHHGIRUZDUG FRPSHQVDWLRQ WLPH RI 1DYODE LV GHWHUPLQHG WR EH VHFRQGV 8VLQJ WKLV WLPH WKH QDYLJDWLRQ WHFKQLTXH LV WHVWHG RQ D SDWK WKDW LV RYHU PHWHUV LQ OHQJWK DW VSHHGV XS WR PHWHUV SHU VHFRQG 5HVXOWV RI WKLV WHVW DUH VKRZQ JUDSKLFDOO\ DQG DUH FRQVLGHUHG DFFHSWDEOH -DJDQQDWKDQ HW DO SUHVHQW WKH SDWK SODQQLQJ DQG FRQWURO RI D QRQKRORQRPLF YHKLFOH >@ $ SDWK SODQQHU WKDW FRQVLGHUV WKH QRQKRORQRPLF FRQVWUDLQWV JHQHUDWHV D GHVLUHG WUDMHFWRU\ 7KH FRQWURO VWUXFWXUH FRQVLVWV RI DQ LQQHU IHHGEDFN OLQHDUL]LQJ ORRS WR HOLPLQDWH WKH QRQOLQHDULWLHV LQ WKHLU HTXDWLRQ WR PRGHO WKH YHKLFOH G\QDPLFV $ VHFRQG IHHGEDFN OLQHDUL]DWLRQ ORRS LV UHTXLUHG DIWHU FRQYHUWLQJ WKH SDWK WUDMHFWRULHV WR D ORFDO YHKLFOH FRRUGLQDWH V\VWHP )LQDOO\ /\DSXQRY WHFKQLTXHV DUH XVHG WR GHVLJQ DQ RXWHU

PAGE 36

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fV SDWK 8VLQJ WKH PRGHOV GHYHORSHG LW LV SURYHQ WKDW WKH V\VWHPfV VWDELOLW\ LQFUHDVHV E\ UHGXFLQJ WKH FRQWUROOHU GHOD\ DQG GHFUHDVHV E\ LQFUHDVLQJ WKH YHKLFOH VSHHG ,Q RUGHU WR FRPSHQVDWH IRU WKH FRPSXWDWLRQDO GHOD\ RI WKH YLVLRQ 0XUSK\ VXJJHVWV XVLQJ DQ LQHUWLDO QDYLJDWLRQ VHQVRU 2OOHUR DQG +HUHGLD SUHVHQW WKHLU VWDELOLW\ DQDO\VLV RI D SXUH SXUVXLW SDWK WUDFNLQJ WHFKQLTXH WKDW LV DSSOLHG WR D FRPSXWHU FRQWUROOHG +00:9 >@ .LQHPDWLF HTXDWLRQV RI WKH YHKLFOHfV PRWLRQ DUH GHWHUPLQHG LQ WHUPV RI WKH YHKLFOHfV VSHHG DQG DQJXODU YHORFLW\ 7KH YHKLFOHfV DQJXODU YHORFLW\ LV PRGHOHG E\ D ILUVW RUGHU GLIIHUHQWLDO HTXDWLRQ 7KH YHKLFOHfV GHVLUHG WXUQLQJ UDGLXV LV FDOFXODWHG XVLQJ SXUH SXUVXLW f

PAGE 37

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f ZKHUH 7 LV WKH VWHHULQJ WLPH FRQVWDQW DQG 9 LV WKH YHKLFOH YHORFLW\ 7R GHWHUPLQH WKH DFFXUDF\ RI WKHLU VWDELOLW\ DQDO\VLV H[SHULPHQWDO GDWD LV WDNHQ RI WKH FRPSXWHU FRQWUROOHG +00:9 DW VSHHGV RI DQG PHWHUV SHU VHFRQG )RU HDFK VSHHG WKH PLQLPXP DQG PD[LPXP ORRNDKHDG GLVWDQFH WKDW UHVXOWV LQ D VWDEOH V\VWHP LV GHWHUPLQHG 7KH UHVXOWV DUH GLVSOD\HG JUDSKLFDOO\ E\ SORWWLQJ WKH VWDEOH ORRNDKHDG GLVWDQFH GHWHUPLQHG E\ WKH DQDO\VLV ZLWKRXW GHOD\ DQG ZLWK GHOD\ DV D IXQFWLRQ RI YHORFLW\ DQG SORWWLQJ WKH H[SHULPHQWDO UHVXOWV RQ WKH VDPH SORW 7KH H[SHULPHQWDO UHVXOWV UHTXLUH D VOLJKWO\ ODUJHU ORRNDKHDG GLVWDQFH WKDQ WKH VWDELOLW\ DQDO\VLV ZLWK GHOD\ UHTXLUHV 7KLV LV DFFRXQWHG IRU EHFDXVH RI WKH IDFW WKDW QRQOLQHDU WHUPV DUH QRW FRQVLGHUHG LQ WKH YHKLFOH PRGHO .X DQG 7VDL SUHVHQW DQ DXWRQRPRXV QDYLJDWLRQ RI DQ LQGRRU YHKLFOH WKDW IROORZV D SHUVRQ >@ 7KH QDYLJDWLRQ WHFKQLTXH SUHVHQWHG LV EURNHQ GRZQ LQWR VHYHQ VWHSV )LUVW DFTXLUH DQ LPDJH $Q LPDJH RI WKH HQYLURQPHQW LQ IURQW RI WKH YHKLFOH LV FDSWXUHG XVLQJ D &&' FDPHUD WKDW LV PRXQWHG RQ WKH YHKLFOH ,Q RUGHU WR UHGXFH WKH WLPH WR GHWHFW WKH SHUVRQ WR IROORZ D UHFWDQJXODU VKDSH LV DWWDFKHG WR WKHLU EDFN 7KH VHFRQG VWHS LQYROYHV GHWHFWLQJ IHDWXUH SRLQWV RI WKLV UHFWDQJXODU VKDSH 7KLUG WUDQVIRUP WKH IHDWXUH SRLQWV

PAGE 38

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n PRGH WHFKQLTXHV IRU 'XELQfV FDUV LH FDUV WKDW FDQ RQO\ PRYH IRUZDUG ZLWK FXUYDWXUH ERXQGV >@ 7KH\ DVVXPH WKH IRUZDUG YHORFLW\ LV JLYHQ DQG WKHUHIRUH FRQVLGHU RQO\ WKH ODWHUDO VWDELOL]DWLRQ RI WKH YHKLFOH WR WKH GHVLUHG SDWK 7KH LQSXW RI WKHLU FRQWUROOHU FRQVLVWV RI WKH ODWHUDO DQG KHDGLQJ HUURUV WKH VLJQ RI WKH SDWK FXUYDWXUH DQG WKH FXUUHQW YHKLFOH VSHHG 1RWH WKDW RQO\ WKH VLJQ RI WKH SDWKfV FXUYDWXUH LV XVHG DQG QRW LWV PDJQLWXGH 7KLV LV D UHVXOW RI DVVXPLQJ WKDW WKH SDWK VKDSH LV QRW NQRZQ D SULRUL 8VLQJ WKH VOLGLQJPRGH GHVLJQ WHFKQLTXH DQ HTXLYDOHQW FRQWURO LV GHULYHG 7KLV UHVXOW GLG QRW VDWLVI\ WKH PLQLPXP WXUQLQJ UDGLXV FRQVWUDLQW RI WKHLU 'XELQfV FDU $ FRQWURO ODZ VLPLODU LQ IRUP RI WKH HTXLYDOHQW FRQWURO LV SURSRVHG LQVWHDG 7KLV FRQWURO ODZ FRQYHUJHV WR WKH UHIHUHQFH SDWK ZKLOH VDWLVI\LQJ WKH FRQVWUDLQWV SURYLGHG WKH LQLWLDO SRVLWLRQ DQG KHDGLQJ HUURUV DUH VPDOO 7KLV WHFKQLTXH LV WHVWHG LQ VLPXODWLRQ DQG WKH UHVXOWV DUH VKRZQ JUDSKLFDOO\ 6WDWH IHHGEDFN WHFKQLTXHV JHQHUDOO\ XVH NLQHPDWLF HTXDWLRQV WR PRGHO WKH YHKLFOHfV PRWLRQ 7KHQ WKHVH HTXDWLRQV DUH FRQYHUWHG DQG SRVVLEO\ OLQHDUL]HG WR VWDWH

PAGE 39

VSDFH HTXDWLRQV 8VLQJ YDULRXV PHWKRGV D IHHGEDFN JDLQ PDWUL[ LV GHWHUPLQHG WR FRQWURO WKH V\VWHP $JXLODU HW DO SUHVHQW D SDWKIROORZLQJ FRQWUROOHU IRU GLIIHUHQWLDO GULYH PRELOH URERWV >@ ,W LV DVVXPHG WKDW D SDWK H[LVWV ZKRVH FXUYDWXUH LV ERWK FRQWLQXRXV DQG ERXQGHG $ PRYLQJ UHIHUHQFH IUDPH LV GHILQHG ZLWK WKH RULJLQ ORFDWHG DW WKH RUWKRJRQDO SURMHFWLRQ RI WKH YHKLFOHfV SRVLWLRQ RQWR WKH UHIHUHQFH SDWK DQG RULHQWDWHG ZLWK WKH WDQJHQWLDO RI WKH SDWK DW WKDW SRLQW LQ WKH GLUHFWLRQ WR IROORZ 'LIIHUHQWLDO HTXDWLRQV RI WKH SRVLWLRQ DQG KHDGLQJ HUURUV DUH GHULYHG EDVHG RQ WKH ORFDWLRQ RI WKH YHKLFOHfV UHIHUHQFH IUDPH UHODWLYH WR WKH PRYLQJ UHIHUHQFH IUDPH 8VLQJ WKHVH GLIIHUHQWLDO HTXDWLRQV DQG DVVXPLQJ D QRQ]HUR OLQHDU YHORFLW\ D VWDWH IHHGEDFN FRQWUROOHU LV SUHVHQWHG WR FRQWURO WKH YHKLFOHf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fV SRVLWLRQ DQG RULHQWDWLRQ DUH GHWHUPLQHG E\ LQWHJUDWLQJ WKH YDULDWLRQ RI HDFK ZKHHO 7ZR GLIIHUHQW SDWKV PDGH XS RI OLQH VHJPHQWV DQG DUFV DUH XVHG WR WHVW WKH FRQWUROOHU 5HVXOWV RI WKHVH WZR WHVWV DUH SUHVHQWHG JUDSKLFDOO\ +HPDPL HW DO SUHVHQW WKHLU ZRUN RQ WKH SDWK WUDFNLQJ FRQWURO RI D PRELOH URERW ZLWK IURQW VWHHULQJ >@ 2QO\ WKH NLQHPDWLF HTXDWLRQV RI WKH V\VWHP DUH FRQVLGHUHG DV WKH YHKLFOH LV LQWHQGHG WR RSHUDWH DW ORZ VSHHGV 7KH HTXDWLRQV GHULYHG DUH EDVHG RQ D

PAGE 40

FRRUGLQDWH V\VWHP DW WKH FHQWHU RI PDVV :LWK WKHVH HTXDWLRQV D VWDWH IHHGEDFN FRQWUROOHU LV GHVLJQHG WR PLQLPL]H WKH FRQWURO LQSXW DV ZHOO DV WKH SRVLWLRQ DQG KHDGLQJ HUURUV 7KH SHUIRUPDQFH LQGH[ XVHG WR DFFRPSOLVK WKLV LV -JUeM TeJ UWDQ fGW R ZKHUH eG LV WKH SRVLWLRQ HUURU e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

PAGE 41

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fV ODWHUDO DQG ORQJLWXGLQDO PRYHPHQWV 7KH ORQJLWXGLQDO FRQWUROOHU LV EDVHG RQ ORRNXS WDEOHV WR DFWXDWH WKH YHKLFOHf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

PAGE 42

WUDFNLQJ HUURUV DQG WKDW WKH JOREDO FRQWUROOHU ZDV DEOH WR KDQGOH ODUJH LQLWLDO WUDFNLQJ HUURUV $VWROIL SUHVHQWV D FRQWUROOHU IRU FKDLQHG V\VWHPV ZLWK WZR FRQWURO LQSXWV XVLQJ D GLVFRQWLQXRXV VWDWH IHHGEDFN FRQWURO ODZ DQG DSSOLHV LW WR D GULYH FDUOLNH YHKLFOH >@ 7KH NLQHPDWLF PRGHO RI WKH FDU LV JLYHQ E\ [ FRVY@ f \ VLQ Y[ WDQ MQ[ f M! Y ZKHUH [ DQG !! DUH WKH ORFDWLRQ RI WKH YHKLFOH ZLWK KHDGLQJ Mf LV WKH VWHHULQJ ZKHHO DQJOH DQG YL DQG 9 DUH WKH YHKLFOH YHORFLW\ DQG VWHHULQJ ZKHHO UHVSHFWLYHO\ 7KLV V\VWHP LV SXW LQWR D FKDLQHG IRUP XVLQJ WKH VWDWH WUDQVIRUPDWLRQ rL r f [ VHF WDQA [ WDQ r \ DQG LQSXW FKDQJH YL 9 fL FRV \VLQ MfWDQVHFX[ FRV AFRV X f 5HVXOWV RI WKLV FRQWUROOHU ZKLFK ZDV WHVWHG LQ VLPXODWLRQ ZLWK GLIIHUHQW LQLWLDO FRQGLWLRQV DUH SUHVHQWHG JUDSKLFDOO\ 0RXUL DQG )XUXVKR FRPSDUH WKH UHVXOWV RI XVLQJ D 3' FRQWUROOHU YHUVXV XVLQJ D VWDWH IHHGEDFN FRQWUROOHU WKDW ZDV GHYHORSHG XVLQJ OLQHDU TXDGUDWLF /4f FRQWURO IRU QDYLJDWLQJ D YHKLFOH RQ D KLJKZD\ >@ 7KH 3' FRQWUROOHU XVHV WKH ODWHUDO HUURU WR

PAGE 43

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nRn S S 3L 9r! 2f 3VB œ B3VB ZKHUH \ LV WKH ODWHUDO HUURU FS LV WKH KHDGLQJ HUURU 4 LV WKH \DZ UDWH LV WKH VWHHULQJ DQJOH FR LV WKH VOHZ UDWH Yr LV WKH IRUZDUG YHORFLW\ DQG S WKURXJK S DUH XQNQRZQ YHKLFOH SDUDPHWHUV $ OHDVW PHDQ VTXDUH DOJRULWKP LV XVHG WR LGHQWLI\ WKH XQNQRZQ SDUDPHWHUV $ OLQHDU .DOPDQ ILOWHU LV XVHG WR HVWLPDWH WKH XQPHDVXUHG VWDWHV UHTXLUHG E\

PAGE 44

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

PAGE 45

6£QFKH] HW DO SUHVHQW DQ DGDSWLYH IX]]\ FRQWURO IRU DXWRQRPRXV QDYLJDWLRQ >@ 7KH LQSXWV WR WKH IX]]\ FRQWUROOHU DUH WKH YHKLFOHfV GLVWDQFH IURP WKH JRDO SRLQW WKH YHKLFOHfV YHORFLW\ WKH GLIIHUHQFH EHWZHHQ WKH YHKLFOHfV KHDGLQJ DQG WKH SDWK KHDGLQJ DQG WKH YHKLFOHfV FXUYDWXUH 7KH RXWSXWV RI WKH FRQWUROOHU DUH WKH YHKLFOHfV UHTXLUHG FXUYDWXUH DQG YHORFLW\ 7KH FRQWUROOHU DWWHPSWV WR DGDSW WR WKH FXUUHQW V\VWHP DQG RSHUDWLQJ FRQGLWLRQV E\ XVLQJ D OHDUQLQJ IXQFWLRQ WKDW HVWLPDWHV WKH YDOXHV RI WKH FHQWHU DQG ZLGWK RI PHPEHUVKLS IXQFWLRQV RI WKH LQSXW YHFWRU DQG WKH YDOXHV RI WKH VLQJOHWRQ RXWSXW YHFWRU 7KH OHDUQLQJ IXQFWLRQ XVHV PHDVXUHG GDWD RI WKH FRQWUROOHUfV LQSXW DQG WKH PHDVXUHG GDWD RI WKH FRQWUROOHUfV RXWSXW WKDW DQ H[SHUW SURYLGHV GXULQJ D OHDUQLQJ VWDJH 7KLV FRQWURO WHFKQLTXH LV DSSOLHG WR WKH DXWRQRPRXV PRELOH URERW 5RPHR 5 5RPHR 5 ZDV GHYHORSHG E\ DGDSWLQJ D FRQYHQWLRQDO WULF\FOH HOHFWULF YHKLFOH 7KH FRQWUROOHU ZDV WUDLQHG ILUVW IURP GDWD REWDLQHG LQ H[SHULPHQWV SHUIRUPHG ZLWK D KXPDQ GULYHU 5HVXOWV RI WKH SDWKWUDFNLQJ DOJRULWKP ZLWK DQ LQLWLDO SRVLWLRQ HUURU DUH JLYHQ JUDSKLFDOO\ $QRWKHU PRUH UHFHQW WHFKQLTXH WR WUDFN SDWKV RU WUDMHFWRULHV LV QHXUDO QHWZRUNV 1HXUDO QHWZRUNV FDQ EH XVHG WR GHWHUPLQH WKH FRQWUROOHG LQSXWV WR WKH SODQW EDVHG RQ FXUUHQW PHDVXUHPHQWV RU LW FDQ EH XVHG WR HVWLPDWH PRGHO SDUDPHWHUV @ 7KH EDVLF FRQFHSW RI WKHLU SUHGLFWLYH FRQWUROOHU LV ILUVW WR HVWLPDWH WKH IXWXUH ORFDWLRQ DQG RULHQWDWLRQ RI WKH YHKLFOH EDVHG RQ WKH FXUUHQW ORFDWLRQ DQG RULHQWDWLRQ DQG WKH FXUUHQW FRQWURO LQSXWV $Q HUURU LV FDOFXODWHG WKHQ EDVHG RQ WKLV SUHGLFWLRQ E\ FRPSDULQJ LW WR WKH GHVLUHG SDWK )LQDOO\ DQ RSWLPL]DWLRQ WHFKQLTXH LV XVHG WR GHWHUPLQH WKH RXWSXW RI WKH FRQWUROOHU IRU WKH QH[W WLPH SHULRG

PAGE 46

7KH SUHGLFWLYH FRQWUROOHU XVHV D NLQHPDWLF PRGHO RI WKH YHKLFOH WKDW LV GHSHQGHQW RQ WKH FXUUHQW YHKLFOH YHORFLW\ DQG VWHHULQJ ZKHHO DQJOH 7KH YHKLFOH YHORFLW\ LV PRGHOHG E\ D VLPSOH OLQHDU V\VWHP 7KH PRGHO RI WKH YHKLFOH VWHHULQJ RQ WKH RWKHU KDQG LV GHWHUPLQHG E\ XVLQJ D QHXUDO QHWZRUN 8QIRUWXQDWHO\ XVLQJ D QHXUDO QHWZRUN WR LGHQWLI\ WKH VWHHULQJ PRGHO LV FRPSXWDWLRQDOO\ LQWHQVLYH 7KHUHIRUH WXQLQJ WKLV PRGHO PXVW EH GRQH RIIOLQH @ 7KH FRQWUROOHU UHTXLUHV QR NQRZOHGJH RI WKH YHKLFOHfV G\QDPLFV 7KH WDVN RI WKH QHXUDO QHWZRUN LV WR OHDUQ WKH YHKLFOH G\QDPLFV RQOLQH DQG D NLQHPDWLF FRQWUROOHU LV XVHG WR GHWHUPLQH WKH FRQWUROOHG LQSXW WR WKH V\VWHP 7KH FRQWURO VFKHPH SUHVHQWHG LV YDOLG DV ORQJ DV WKH YHORFLW\ FRQWURO LQSXWV DUH VPDOO VPRRWK DQG ERXQGHG DQG WKH GLVWXUEDQFHV DUH ERXQGHG DOVR 7KH QHXUDO QHWZRUN FRQWURO VFKHPH LV WHVWHG LQ VLPXODWLRQ DQG FRPSDUHG WR D FRQWUROOHU WKDW DVVXPHV SHUIHFW YHORFLW\ WUDFNLQJ DQG D FRQWUROOHU WKDW DVVXPHV FRPSOHWH NQRZOHGJH RI WKH YHKLFOHfV G\QDPLFV 7KH SHUIRUPDQFH RI HDFK FRQWUROOHU LV VKRZQ JUDSKLFDOO\ 7KH SHUIRUPDQFH RI WKH FRQWUROOHU DVVXPLQJ SHUIHFW YHORFLW\ WUDFNLQJ LV FRQVLGHUHG SRRU ,W LV QRWHG WKDW WKH FRQWUROOHU WKDW DVVXPHV WR NQRZ WKH YHKLFOHfV G\QDPLFV UHTXLUHV H[DFW NQRZOHGJH LQ RUGHU WR ZRUN SURSHUO\ 7KH QHXUDO QHWZRUN FRQWUROOHUfV UHVSRQVH LV FRQVLGHUHG WR EH LPSURYHG FRPSDUHG WR WKH SUHYLRXV WZR FRQWUROOHUV

PAGE 47

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

PAGE 48

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n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

PAGE 49

7KH YHFWRUV 6 ef DUH WKH 3OFNHU OLQH FRRUGLQDWHV RI WKLV OLQH %\ GHILQLQJ 6B >/ 0 9@U DQG 6R >3 4 L"@7 DQG QRWLQJ WKDW UB? >[L\L ]?@DQG U >r\L ]L@O? ZH VHH WKDW rarL f W-[ arLfa 7 f§ 7Lf } f 9r Af 7 f7Of = =Of ]La]? f 9; AOf 7 7Of A a=Of 3 \[1]@0 f 4 ][/[[1 f 5 MF0 \c/ f

PAGE 50

)LJXUH GHSLFWV WKH LQVWDQWDQHRXV PRWLRQ RI D ULJLG ERG\ URWDWLQJ ZLWK DQ DQJXODU YHORFLW\ FR DERXW D VFUHZ WKDW KDV D FHQWHUOLQH GHILQHG E\ 6 6Rf DQG WKDW KDV D SLWFK K 7KH YHORFLW\ RI DQ\ SRLQW RQ WKH ULJLG ERG\ LV HTXDO WR WKH YHORFLW\ GXH WR WKH URWDWLRQ SOXV WKH WUDQVODWLRQDO YHORFLW\ GXH WR WKH SLWFK RI WKH VFUHZ 7KH YHORFLW\ RI WKH ULJLG ERG\ FDQ EH TXDQWLILHG E\ UR UXUXf ZKHUH 6K 6 K6 U[6 K6 f DQG U LV DQ\ YHFWRU IURP WKH RULJLQ WR WKH FHQWHUOLQH RI WKH VFUHZ 7KH LQVWDQWDQHRXV YHORFLW\ RI D SRLQW LQ WKH ULJLG ERG\ WKDW LV FRLQFLGHQW ZLWK WKH RULJLQ RI WKH FRRUGLQDWH V\VWHP LV JLYHQ E\ r6RK f FM )LJXUH ,QVWDQWDQHRXV 0RWLRQ $ERXW D 6FUHZ 7ZR VSHFLILF VFUHZV DUH XVHG LQ GHYHORSLQJ WKH SDWKWUDFNLQJ DOJRULWKPV LQ WKLV FKDSWHU WUDQVODWLRQ VFUHZV DQG URWDWLRQ VFUHZV 7KH PRWLRQ DERXW D VFUHZ ZLWK DQ LQILQLWH SLWFK PRGHOV SXUH WUDQVODWLRQ RI D ULJLG ERG\ DW D YHORFLW\ Y DORQJ WKH GLUHFWLRQ 6 ,Q WKH OLPLW DV WKH SLWFK JRHV WR LQILQLW\ f VLPSOLILHV WR

PAGE 51

Y Y6f f ZKLFK LV D VFUHZ WKDW KDV D FHQWHUOLQH DW LQILQLW\ 2Q WKH RWKHU KDQG WKH PRWLRQ DERXW D VFUHZ ZKRVH SLWFK LV HTXDO WR ]HUR PRGHOV SXUH URWDWLRQ RI D ULJLG ERG\ %\ VXEVWLWXWLQJ D SLWFK K HTXDO WR ]HUR f VLPSOLILHV WR Rf Rf6HR6f f ,Q DGGLWLRQ WR XVLQJ URWDWLRQ DQG WUDQVODWLRQ VFUHZV D SURSHUW\ RI LQVWDQWDQHRXV VFUHZV WKDW SURYHV WR EH YHU\ XVHIXO LV WKDW WKH\ DUH DGGLWLYH 1RWH WKDW WKH XQLWV RI f DQG f DUH WKH VDPH HYHQ WKRXJK f LV D WUDQVODWLRQ VFUHZ DQG f LV D URWDWLRQ VFUHZ 9HFWRU 3XUVXLW 9HFWRU SXUVXLW LV D QHZ JHRPHWULF SDWKWUDFNLQJ PHWKRG WKDW XVHV WKH WKHRU\ RI VFUHZV 7KLV LV D QHZ WHFKQLTXH WKDW LV GHYHORSHG KHUH DQG ZKLFK UHSUHVHQWV RQH RI WKH FRQWULEXWLRQV RI WKLV GLVVHUWDWLRQ ,W LV VLPLODU WR RWKHU JHRPHWULF PHWKRGV LQ WKDW D ORRNn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

PAGE 52

7KH ILUVW VWHS LQ YHFWRU SXUVXLW FDOFXODWHV WZR LQVWDQWDQHRXV VFUHZV 7KH ILUVW LQVWDQWDQHRXV VFUHZ DFFRXQWV IRU WKH WUDQVODWLRQ IURP WKH FXUUHQW YHKLFOH SRVLWLRQ WR WKH ORFDWLRQ RI WKH ORRNDKHDG SRLQW ZKLOH WKH VHFRQG LQVWDQWDQHRXV VFUHZ DFFRXQWV IRU WKH URWDWLRQ IURP WKH FXUUHQW YHKLFOH RULHQWDWLRQ WR WKH GHVLUHG RULHQWDWLRQ DW WKH ORRNn DKHDG SRLQW 7KH VHFRQG VWHS XVHV WKH DGGLWLYH SURSHUW\ RI LQVWDQWDQHRXV VFUHZV WR FDOFXODWH  WKH VXP RI DQG tf ZKLFK GHILQHV WKH GHVLUHG LQVWDQWDQHRXV PRWLRQ RI WKH YHKLFOH 7ZR GLIIHUHQW PHWKRGV DUH FRQVLGHUHG WR FDOFXODWH WKH WZR VFUHZV DQG 7KH ILUVW PHWKRG LQLWLDOO\ LJQRUHV WKH QRQKRORQRPLF FRQVWUDLQWV RI WKH YHKLFOH WR FDOFXODWH DQG bU DQG WKHQ GHDOV ZLWK WKH FRQVWUDLQWV DIWHU DGGLQJ WKH WZR LQVWDQWDQHRXV VFUHZV &RQYHUVHO\ WKH VHFRQG PHWKRG GRHV QRW LJQRUH WKH QRQKRORQRPLF FRQVWUDLQWV WR FDOFXODWH DQG ,W WXUQV RXW IRU WKLV PHWKRG WKDW WKH VXP RI DQG DOVR GRHV QRW YLRODWH WKH QRQKRORQRPLF FRQVWUDLQWV )LQDOO\ WKH ODVW VWHS FDOFXODWHV D GHVLUHG WXUQLQJ UDGLXV RU D GHVLUHG WXUQLQJ UDWH LI WKH FXUUHQW YHKLFOH YHORFLW\ LV FRQVLGHUHG IURP 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

PAGE 53

GLVWDQFH FDOOHG WKH ORRNDKHDG GLVWDQFH / LQ IURQW RI WKH RUWKRJRQDO SURMHFWLRQ RI WKH YHKLFOHnV SRVLWLRQ RQWR WKH SODQQHG SDWK ,WV [D[LV LV RULHQWHG LQ WKH GLUHFWLRQ RI WKH SODQQHG SDWK DW WKDW SRLQW LH WKH GLUHFWLRQ IURP WKH SUHYLRXV ZD\SRLQW Zcc WR WKH FXUUHQW ZD\SRLQW Zf WKH ]D[LV LV GRZQ DQG WKH \D[LV LV GHILQHG WR IRUP D ULJKW KDQG FRRUGLQDWH V\VWHP 6LQFH WKH PRYLQJ FRRUGLQDWH V\VWHPf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

PAGE 54

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f LV GHILQHG WR EH Z r I Z; Z[ Z 9 A r ? G G f ZKHUH G LV WKH GLVWDQFH IURP WKH ORRNDKHDG SRLQW WR WKH YHKLFOH SRVLWLRQ &[/:\Lf DUH WKH FRRUGLQDWHV RI WKH ORRNDKHDG SRLQW LQ WKH ZRUOG FRRUGLQDWH V\VWHP DQG +[ YA\Yf DUH WKH FRRUGLQDWHV RI WKH YHKLFOH SRVLWLRQ LQ WKH ZRUOG FRRUGLQDWH V\VWHP 7KH WHUP N LV D ZHLJKWLQJ IDFWRU WKDW ZLOO EH GHDOW ZLWK ODWHU 6LPLODUO\ XVLQJ f LV GHILQHG WR EH ZU NU?nY\YZ[Yf f ZKHUH NU LV D ZHLJKWLQJ IDFWRU 1RWH WKDW WKH D[LV RI URWDWLRQ LV FKRVHQ WR EH WKH RULJLQ RI WKH YHKLFOH FRRUGLQDWH V\VWHP VR WKDW QR WUDQVODWLRQ LV DVVRFLDWHG ZLWK b‘ 1RZ WKH GHVLUHG LQVWDQWDQHRXV VFUHZ  LV FDOFXODWHG WR EH f UL ZIU I ZY BZ Y ? Z NUNU \YN [/ [Y NU Z ;\ N \/ \Y 7KH ZHLJKWLQJ IDFWRUV N DQG NU DUH XVHG WR FRQWURO KRZ PXFK WKH GHVLUHG LQVWDQWDQHRXV VFUHZ LV LQIOXHQFHG E\ DQG UHVSHFWLYHO\ 7R GHWHUPLQH WKHVH ZHLJKWLQJ IDFWRUV LW LV QRWHG IURP f DQG f WKDW N LV D OLQHDU YHORFLW\ DQG NU LV DQ

PAGE 55

DQJXODU YHORFLW\ $VVXPLQJ WKH YHKLFOH WUDYHOV RQ WKH VFUHZ GHILQHG E\ DW VRPH YHORFLW\ N Y WKH WLPH UHTXLUHG IRU WKH YHKLFOH WR UHDFK WKH ORRNDKHDG SRLQW ZRXOG EH f Y 8VLQJ WKH VDPH OLQH RI UHDVRQLQJ LI WKH YHKLFOH WUDYHOV RQ WKH VFUHZ GHILQHG E\ DW VRPH DQJXODU YHORFLW\ NU FR WKH WLPH UHTXLUHG IRU WKH YHKLFOH WR URWDWH IURP LWV FXUUHQW RULHQWDWLRQ WR WKH RULHQWDWLRQ DW WKH ORRNDKHDG SRLQW ZRXOG EH /HY f rU &2 ZKHUH *L LV WKH DQJOH IURP WKH [D[LV RI WKH ZRUOG FRRUGLQDWH V\VWHP JRLQJ FORFNZLVH WR WKH [D[LV RI WKH ORRNDKHDG FRRUGLQDWH V\VWHP 2Y LV WKH DQJOH IURP WKH [D[LV RI WKH ZRUOG FRRUGLQDWH V\VWHP JRLQJ FORFNZLVH WR WKH [D[LV RI WKH YHKLFOH FRRUGLQDWH V\VWHP DQG WKHLU GLIIHUHQFH PXVW EH LQ WKH LQWHUYDO W[F@ 1H[W WKH DVVXPSWLRQ LV PDGH WKDW WKH UHODWLRQVKLS EHWZHHQ W DQG WU FDQ EH GHILQHG E\ f ZKHUH N LV VRPH SRVLWLYH FRQVWDQW JUHDWHU WKDQ ]HUR 7KHUHIRUH WKH ZHLJKWLQJ IDFWRUV FDQ QRZ EH GHWHUPLQHG IURP 1 Y! f DQG N B&LBLrY A rL aHY ƒH/ $\f f WU NW NG ZKHUH DJDLQ WKH GLIIHUHQFH OY PXVW EH LQ WKH LQWHUYDO WUW@ ,Q RUGHU WR GHWHUPLQH WKH GHVLUHG PRWLRQ RI WKH YHKLFOH GHILQHG E\ WKLV LQVWDQWDQHRXV VFUHZ WKH ORFDWLRQ RI LWV FHQWHUOLQH PXVW EH GHWHUPLQHG LQ WKH YHKLFOH

PAGE 56

FRRUGLQDWH V\VWHP 7R GR WKLV WKH ORFDWLRQ RI WKH GHVLUHG LQVWDQWDQHRXV VFUHZfV FHQWHUOLQH LV GHWHUPLQHG ILUVW LQ WKH ZRUOG FRRUGLQDWH V\VWHP E\ ^Z\/Z\$ Z[ Z\/aZ\\n NU ^ G f§ \ Y ? t/ap9 f DQG IZ \b \Yf§ NU [/ [ Z Z Z \Y N Z A ;/a ;Y 9 f 1RWH WKDW HTXDWLRQV f DQG f DUH YDOLG RQO\ LI NU LH %O2Y LV QRQ]HUR ,I NU LV QRQ]HUR WKH ORFDWLRQ RI WKH GHVLUHG LQVWDQWDQHRXV VFUHZfV FHQWHUOLQH LQ WKH YHKLFOH FRRUGLQDWH V\VWHP LV GHWHUPLQHG E\ Y[b [YFRVYfZ\YV?Q^Yf\ [b FRV!.f\ VLQ!Uff f f§G n f§G f§G n n DQG f \V Z[\ VLQYfZ\Y FRVYff[V VLQ9f:\V FRVMf f 2WKHUZLVH LI NU LV ]HUR HTXDWLRQ f UHGXFHV WR HTXDWLRQ f ZKLFK LV D VFUHZ ZKRVH FHQWHUOLQH LQ WKH YHKLFOH FRRUGLQDWH V\VWHP LV ORFDWHG DW LQILQLW\ LQ D GLUHFWLRQ SHUSHQGLFXODU WR WKH OLQH WKDW FRQQHFWV WKH YHKLFOH SRVLWLRQ DQG WKH ORRNDKHDG SRLQW 7KH GHVLUHG PRWLRQ RI WKH YHKLFOH FDQ EH GHWHUPLQHG QRZ WKDW WKH ORFDWLRQ RI WKH GHVLUHG VFUHZfV FHQWHUOLQH LV GHWHUPLQHG LQ WKH YHKLFOH FRRUGLQDWH V\VWHP $Q H[DPSOH RI D GHVLUHG LQVWDQWDQHRXV VFUHZ DQG LWV DVVRFLDWHG GHVLUHG PRWLRQ LV VKRZQ JUDSKLFDOO\ LQ )LJXUH ,Q WKLV ILJXUH RQH LQVWDQWDQHRXV VFUHZ LV H[HFXWHG FRQWLQXDOO\ RYHU WLPH WR H[DJJHUDWH WKH GHVLUHG YHKLFOH PRWLRQ )URP )LJXUH LW LV QRWHG WKDW WKH LQLWLDO GHVLUHG PRWLRQ IURP WKH FXUUHQW YHKLFOH ORFDWLRQ LV D WUDQVODWLRQ DORQJ WKH YHKLFOHfV QHJDWLYH \

PAGE 57

D[LV DQG D URWDWLRQ FORFNZLVH 7KLV PRWLRQ LV QRW SRVVLEOH IRU D YHKLFOH WKDW LV FRQVWUDLQHG WR WUDQVODWLRQDO PRWLRQ RQO\ LQ WKH GLUHFWLRQ RI LWV FXUUHQW RULHQWDWLRQ ,Q RWKHU ZRUGV LQ RUGHU IRU WKH YHKLFOH LQ )LJXUH WR WUDQVODWH LQ WKH GLUHFWLRQ RI WKH FXUUHQW YHKLFOHfV QHJDWLYH \D[LV LW PXVW ILUVW URWDWH FRXQWHUFORFNZLVH 7KLV LV RSSRVLWH RI WKH GHVLUHG URWDWLRQ GHILQHG E\ WKH LQVWDQWDQHRXV VFUHZ 7KHUHIRUH LW LV QRWHG WKDW WKH SRVVLELOLW\ H[LVWV ZKHUH WKH YHKLFOH PD\ EH XQDEOH WR H[HFXWH WKH PRWLRQ GHILQHG E\ WKH GHVLUHG LQVWDQWDQHRXV VFUHZ GHILQHG LQ HTXDWLRQ f EHFDXVH RI WKH PRWLRQ FRQVWUDLQWV RI WKH YHKLFOH )LJXUH 9HKLFOH 0RWLRQ LI 'HVLUHG ,QVWDQWDQHRXV 6FUHZ LV &RQWLQXDOO\ ([HFXWHG 1RQKRORQRPLF FRQVWUDLQWV H[LVW ZKHQ WKH PRWLRQ RUWKRJRQDO WR WKH YHKLFOHfV IRUZDUG GLUHFWLRQ LV QRW SRVVLEOH ,Q RWKHU ZRUGV XVLQJ WKH YHKLFOHfV FRRUGLQDWH V\VWHP GHILQHG HDUOLHU PRWLRQ LV UHVWULFWHG DW DQ\ LQVWDQW RQO\ LQ D GLUHFWLRQ SDUDOOHO YHKLFOHfV [

PAGE 58

D[LV 7KHUHIRUH WKH YHORFLW\ DORQJ WKH YHKLFOHfV \D[LV PXVW EH HTXDO WR ]HUR 7KLV FDQ EH H[SUHVVHG DV DQ HTXDWLRQ LQ WKH ZRUOG FRRUGLQDWH V\VWHP WKURXJK D VLPSOH FRRUGLQDWH WUDQVIRUPDWLRQ DV Z [ VLQ. fZ\ FRVYf f ,Q RUGHU WR GHDO ZLWK WKHVH FRQVWUDLQWV D QHZ GHVLUHG VFUHZ LV FDOFXODWHG EDVHG RQ WKH SUHYLRXVO\ FDOFXODWHG GHVLUHG VFUHZ 7KH QHZ GHVLUHG VFUHZ LV GHWHUPLQHG E\ ILUVW REWDLQLQJ D QHZ ORRNDKHDG SRLQW WKDW LV D GLVWDQFH / IURP WKH YHKLFOHfV SRVLWLRQ DORQJ DQ DUF GHILQHG E\ WKH GHVLUHG VFUHZ VHH )LJXUH f $ FLUFOH FDQ WKHQ EH REWDLQHG WKDW SDVVHV WKURXJK ERWK WKH QHZ ORRNDKHDG SRLQW DQG WKH YHKLFOH SRLQW DQG WKDW LV WDQJHQW WR WKH YHKLFOH GLUHFWLRQ 7KH QHZ GHVLUHG VFUHZ  ZLWK LWV FRUUHVSRQGLQJ GHVLUHG VFUHZ FDQ EH VHHQ LQ )LJXUH )LJXUH 'HVLUHG 6FUHZ Z DQG 1HZ 'HVLUHG 6FUHZ f

PAGE 59

8QIRUWXQDWHO\ WKLV FRXOG SODFH D UHVWULFWLRQ RQ WKH ORFDWLRQ RI V FHQWHUOLQH LQ RUGHU IRU WKH QHZ ORRNDKHDG SRLQW WR H[LVW 7KH GLVWDQFH IURP WKH YHKLFOH SRVLWLRQ WR WKH FHQWHUOLQH RI PXVW EH JUHDWHU WKDQ / 7KLV UHVWULFWLRQ WXUQV RXW WR EH D FDVH ZKHUH WKH YHKLFOH QHHGV WR VLPSO\ WXUQ DURXQG DQG WKHUHIRUH WKH ORFDWLRQ RI WKH QHZ GHVLUHG VFUHZ n LQ WKH YHKLFOHfV UHIHUHQFH IUDPH FDQ EH GHWHUPLQHG E\ WKH YHKLFOHfV PLQLPXP WXUQLQJ UDGLXV UPP XVLQJ ; f DQG ; UQP!! f LI WKH GLUHFWLRQ RI WKH GHVLUHG VFUHZfV FHQWHUOLQH LV LQ WKH SRVLWLYH ]GLUHFWLRQ RU ; f DQG ; f LI WKH GLUHFWLRQ RI WKH GHVLUHG VFUHZf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nr ff f

PAGE 60

1H[W LW LV QRWHG WKURXJK V\PPHWU\ WKDW WKH DQJOH EHWZHHQ WKH OLQH IURP WKH YHKLFOH SRVLWLRQ WR SL DQG WKH OLQH IURP WKH YHKLFOH SRVLWLRQ WR fV FHQWHUOLQH LV HTXDO WR WKH DQJOH EHWZHHQ WKH OLQH IURP WKH YHKLFOH SRVLWLRQ WR S DQG WKH OLQH IURP WKH YHKLFOH SRVLWLRQ WR WKH GHVLUHG VFUHZfV FHQWHUOLQH 7KURXJK VLPSOH JHRPHWU\ WKH PDJQLWXGH RI WKLV DQJOH FDQ EH GHWHUPLQHG E\ 3 D FRV f ZKHUH PXVW EH LQ WKH LQWHUYDO WF@ UDGLDQV 1RZ WKH DQJOH IURP WKH [D[LV RI WKH YHKLFOH FRRUGLQDWH V\VWHP WR ERWK SL DQG S FDQ EH GHWHUPLQHG E\ \ Ds S f )LJXUH 3RVVLEOH /RRNDKHDG 3RLQWV SL DQG S 2QO\ RQH RI WKHVH WZR SRLQWV LV XVHG DV WKH QHZ ORRNDKHDG SRLQW VR WR GHWHUPLQH ZKLFK SRLQW WR XVH WKH GLUHFWLRQ RI fV FHQWHUOLQH LV FRQVLGHUHG 7KH QHZ ORRNDKHDG

PAGE 61

SRLQW LV GHILQHG WR EH WKH SRLQW WKDW LV HQFRXQWHUHG ILUVW E\ WUDYHOLQJ DORQJ WKH DUF GHILQHG E\ VWDUWLQJ IURP WKH YHKLFOH SRVLWLRQ 7KHUHIRUH LI WKH GLUHFWLRQ RI fV FHQWHUOLQH LV LQ WKH SRVLWLYH ]D[LV RI WKH YHKLFOH FRRUGLQDWH V\VWHP WKHQ WKH DQJOH IURP WKH YHKLFOH FRRUGLQDWH V\VWHPfV [D[LV WR WKH ORRNDKHDG SRLQW LV < DS f 7KLV LV WKH FDVH RI WKH GHVLUHG VFUHZ  VKRZQ LQ )LJXUH ZKHUH SL LV GHWHUPLQHG QRZ WR EH WKH QHZ ORRNDKHDG SRLQW 6LPLODUO\ LI WKH GLUHFWLRQ RI WKH GHVLUHG VFUHZfV FHQWHUOLQH LV LQ WKH QHJDWLYH ]D[LV RI WKH YHKLFOH UHIHUHQFH IUDPH WKH DQJOH IURP WKH [ D[LV RI WKH YHKLFOH FRRUGLQDWH V\VWHP WR WKH QHZ ORRNDKHDG SRLQW LV U r S f 6LQFH WKH DQJOH IURP [D[LV WR WKH QHZ ORRNDKHDG SRLQW LV GHWHUPLQHG LQ WKH YHKLFOH FRRUGLQDWH V\VWHP WKH ORFDWLRQ RI WKH QHZ ORRNDKHDG SRLQW LQ WKH YHKLFOH FRRUGLQDWH V\VWHP FDQ EH FDOFXODWHG E\ U[/ /FRV\f f DQG Y\/ /VP\f f 1RZ WKDW WKH ORFDWLRQ RI WKH QHZ ORRNDKHDG SRLQW LV NQRZQ LQ WKH YHKLFOHfV FRRUGLQDWH V\VWHP WKH ORFDWLRQ RI WKH QHZ GHVLUHG VFUHZfV FHQWHUOLQH FDQ EH ORFDWHG LQ WKH YHKLFOHfV FRRUGLQDWH V\VWHP $VVXPLQJ S S? RU S SL IURP )LJXUH ZH VHH WKDW WKH ORFDWLRQ RI WKH QHZ GHVLUHG VFUHZfV FHQWHUOLQH LV RQ WKH YHKLFOHfV \D[LV DW D GLVWDQFH 5 IURP WKH [D[LV )URP )LJXUH DY[S 5 f 6XEVWLWXWLQJ

PAGE 62

DQG VROYLQJ IRU 5 JLYHV IO r\ Y[ /Y [3? A \ S } 7KHUHIRUH WKH QHZ GHVLUHG VFUHZfV FHQWHUOLQH LV ORFDWHG DW f f f f f f 7KH GLUHFWLRQ RI WKH QHZ GHVLUHG VFUHZfV FHQWHUOLQH FDQ EH GHWHUPLQHG E\ WKH ORFDWLRQ RI WKH QHZ ORRNDKHDG SRLQW LQ WKH YHKLFOHfV FRRUGLQDWH V\VWHP 7KH GLUHFWLRQ RI WKH FRPPDQGHG VFUHZfV FHQWHUOLQH GHSHQGV RQ ZKLFK TXDGUDQW RI WKH YHKLFOHfV FRRUGLQDWH V\VWHP WKH QHZ ORRNDKHDG SRLQW LV ORFDWHG 7KLV LV VXPPDUL]HG LQ 7DEOH

PAGE 63

7DEOH 'HVLUHG 6FUHZfV &HQWHUOLQH 'LUHFWLRQ VLJQ RI[S VLJQ RI Y\S 6FUHZfV &HQWHUOLQH 'LUHFWLRQ $ORQJ WKH ]D[LV 3RVLWLYH 3RVLWLYH 3RVLWLYH 3RVLWLYH 1HJDWLYH 1HJDWLYH 1HJDWLYH 3RVLWLYH 1HJDWLYH 1HJDWLYH 1HJDWLYH 3RVLWLYH 1RWH WKDW ZKHQ WKH QHZ ORRNDKHDG SRLQWfV [YDOXH LV QHJDWLYH WKH YHKLFOHfV YHORFLW\ ZRXOG KDYH WR EH QHJDWLYH RU LQ RWKHU ZRUGV WKH YHKLFOH GLUHFWLRQ ZRXOG KDYH WR FKDQJH IURP IRUZDUG WR UHYHUVH ,Q RUGHU WR NHHS WKH YHKLFOH GLUHFWLRQ IURP FKDQJLQJ WKH [YDOXH RI WKH ORRNDKHDG SRLQW PXVW EH JUHDWHU WKDQ ]HUR RWKHUZLVH WKH YHKLFOH LV FRPPDQGHG VLPSO\ WR WXUQ DURXQG (TXDWLRQV f DQG f RU HTXDWLRQV f DQG f DUH XVHG DJDLQ WR FDOFXODWH WKH ORFDWLRQ RI WKH FRPPDQGHG VFUHZfV FHQWHUOLQH LQ WKLV VLWXDWLRQ )LQDOO\ LW LV LPSRUWDQW WR QRWH WKDW WKH ORRNDKHDG GLVWDQFH / DQG WKH FRQVWDQW N DUH IUHH FKRLFHV DQG DV VXFK UHSUHVHQW SDUDPHWHUV WKDW PXVW EH VHOHFWHG LQ RUGHU WR RSWLPL]H RU WXQH WKH YHKLFOHfV SHUIRUPDQFH 0HWKRG 7KH VHFRQG PHWKRG GHYHORSHG WR FDOFXODWH DQG WDNHV LQWR DFFRXQW WKH YHKLFOHfV QRQKRORQRPLF FRQVWUDLQWV ,Q RUGHU WR VDWLVI\ WKH FRQVWUDLQWV WKH FHQWHUOLQHV RI WKH LQVWDQWDQHRXV VFUHZV PXVW EH RQ WKH YHKLFOHfV \D[LV DQG D GLVWDQFH IURP WKH [D[LV JUHDWHU WKDQ RU HTXDO WR WKH YHKLFOHfV PLQLPXP WXUQLQJ UDGLXV 7KH UHTXLUHPHQW WKDW WKH LQVWDQWDQHRXV VFUHZVf FHQWHUOLQHV EH D GLVWDQFH JUHDWHU WKDQ RU HTXDO WR WKH YHKLFOHfV PLQLPXP WXUQLQJ UDGLXV IURP WKH [D[LV LV LJQRUHG LQLWLDOO\ ,W LV LJQRUHG DW ILUVW EHFDXVH RI WKH IDFW WKDW VRPH YHKLFOHV HJ D GLIIHUHQWLDOO\ GULYHQ YHKLFOH ZLWK QRQKRORQRPLF FRQVWUDLQWV KDYH QR PLQLPXP WXUQLQJ UDGLXV 7KHUHIRUH WKH RQO\ LQLWLDO FRQVWUDLQW SODFHG

PAGE 64

RQ WKH ORFDWLRQ RI WKH FHQWHUOLQHV RI WKH LQVWDQWDQHRXV VFUHZV LV WKDW WKH\ PXVW EH RQ WKH YHKLFOHfV \D[LV :LWK WKLV LQ PLQG WKH VFUHZ WR FRUUHFW WKH WUDQVODWLRQDO HUURU ZDV VHOHFWHG DV WKH FHQWHU RI D FLUFOH WKDW SDVVHV WKURXJK WKH RULJLQV RI WKH YHKLFOH FRRUGLQDWH V\VWHP DQG WKH ORRNDKHDG FRRUGLQDWH V\VWHP DQG ZKLFK LV WDQJHQW WR WKH YHKLFOHfV FXUUHQW RULHQWDWLRQ LH WKH [D[LV RI WKH YHKLFOH FRRUGLQDWH V\VWHP 6HH )LJXUH f +HQFH LV GHILQHG WR EH f Z N O9Y ef§FRV2Y?Z[U 7f§ VLQYf2 \/ \/ ZKHUH G LV WKH GLVWDQFH IURP WKH RULJLQ RI WKH YHKLFOH FRRUGLQDWH V\VWHP WR WKH RULJLQ RI WKH ORRNDKHDG FRRUGLQDWH V\VWHP ZKHUH WKH ORRNDKHDG FRRUGLQDWH V\VWHP LV GHILQHG DV EHIRUHf O [/9\G DUH WKH FRRUGLQDWHV RI WKH ORRNDKHDG FRRUGLQDWH V\VWHPfV RULJLQ LQ WKH YHKLFOH FRRUGLQDWH V\VWHP +[Y:\Yf DUH WKH FRRUGLQDWHV RI WKH YHKLFOH SRVLWLRQ LQ WKH ZRUOG FRRUGLQDWH V\VWHP DQG \ LV WKH DQJOH IURP WKH [D[LV RI WKH ZRUOG FRRUGLQDWH V\VWHP WR WKH [D[LV RI WKH YHKLFOH FRRUGLQDWH V\VWHP 7KH WHUP N LV XVHG DJDLQ DV D ZHLJKWLQJ IDFWRU WKDW ZLOO EH GHDOW ZLWK ODWHU (TXDWLRQ f LV YDOLG RQO\ LI WKH WHUP Y\ LV QRQ]HUR 2WKHUZLVH LV GHWHUPLQHG E\ Z N I :; Z[ ZY b A f§f§f§f§ f§Af§f§ f 7KH LQVWDQWDQHRXV VFUHZ LV GHILQHG WR EH ZU NU$Z\YZ[Y f f ZKLFK LV WKH VDPH DV HTXDWLRQ f EXW WKH ZHLJKWLQJ IDFWRU NU LV GHWHUPLQHG GLIIHUHQWO\

PAGE 65

9\ )LJXUH ,QVWDQWDQHRXV 6FUHZ IRU 7UDQVODWLQJ WR /RRNDKHDG 3RLQW 1RZ WKH GHVLUHG LQVWDQWDQHRXV VFUHZ LV GHWHUPLQHG DV HLWKHU :/:O:/ NW NU?NUQ \Y N NUQn[\ N Z\Y FRVAUf \/ ZrY WYf§VLQ \/ ? A R M M LI WKH WHUP Y\ LV QRQ]HUR RU I ‘ :n f :nY $ : M fr NUNU \\N NUZ [Y N I Z Y BIIY A 1 9O \Y LI WKH WHUP Y\L LV ]HUR f f 7KH ZHLJKWLQJ IDFWRUV N DQG NU DUH XVHG DJDLQ WR FRQWURO KRZ PXFK WKH GHVLUHG LQVWDQWDQHRXV VFUHZ LV LQIOXHQFHG E\ DQG A UHVSHFWLYHO\ 7KHVH WZR ZHLJKWLQJ IDFWRUV

PAGE 66

DUH UHODWHG DJDLQ E\ WKH WLPH UHTXLUHG WR WUDQVODWH WR WKH ORRNDKHDG SRLQW DQG URWDWH WR WKH GHVLUHG RULHQWDWLRQ $VVXPLQJ WKDW WKH WHUP O\ LV QRQ]HUR QRWH WKDW ZKLOH WKH LQVWDQWDQHRXV VFUHZ GHILQHG LQ HTXDWLRQ f GHVFULEHV D PRWLRQ WR WUDQVODWH WKH YHKLFOH IURP LWV FXUUHQW ORFDWLRQ WR WKH ORRNDKHDG SRLQW LW DOVR GHVFULEHV D PRWLRQ WKDW URWDWHV WKH YHKLFOH 7KLV FDQ HDVLO\ EH VHHQ LQ )LJXUH 7KHUHIRUH IURP HTXDWLRQ f WKH ZHLJKWLQJ IDFWRU N LV DQ DQJXODU YHORFLW\ QRZ LQVWHDG RI D OLQHDU YHORFLW\ 7KH DPRXQW RI URWDWLRQ FDQ EH GHWHUPLQHG E\ ZKHUH f DWDQY\?G?^OY[/ r!-fDWDQ YY n: f Mf PXVW EH LQ WKH LQWHUYDO W@ UDGLDQV ,W LV QRWHG WKDW WKH ODVW SDUW RI (TXDWLRQ ZLOO DOZD\V EH sUU UDGLDQV GHSHQGLQJ RQO\ RQ WKH VLJQ RI Y\ )LJXUH 5RWDWLRQ GHILQHG E\ ,QVWDQWDQHRXV 6FUHZ

PAGE 67

7KH WLPH UHTXLUHG WR WUDQVODWH IURP WKH FXUUHQW YHKLFOH SRVLWLRQ WR WKH ORRNDKHDG SRLQW DVVXPLQJ WKDW NW FRK VRPH DQJXODU YHORFLW\ LV GHWHUPLQHG E\ f 2 7KH WLPH UHTXLUHG WR URWDWH IURP WKH FXUUHQW YHKLFOH RULHQWDWLRQ WR WKH RULHQWDWLRQ DW WKH ORRNDKHDG SRLQW PXVW DOVR DFFRXQW IRU WKH URWDWLRQ I! GXH WR 7KLV ZLOO HLWKHU LQFUHDVH RU GHFUHDVH WKH WLPH QHHGHG WR URWDWH $VVXPLQJ NU &U VRPH DQJXODU YHORFLW\ WKLV WLPH FDQ EH GHWHUPLQHG E\ /*YfS f ,I DU $JDLQ WKH DVVXPSWLRQ LV PDGH WKDW WKH UHODWLRQVKLS EHWZHHQ W DQG WU FDQ EH GHILQHG E\ rrf f ZKHUH N LV VRPH SRVLWLYH FRQVWDQW JUHDWHU WKDQ ]HUR 7KHUHIRUH WKH ZHLJKWLQJ IDFWRUV FDQ QRZ EH GHWHUPLQHG IURP N FRW f DQG N HYfO! B tOHYfW! B HYfI!f f WU NW NI! 8VLQJ HTXDWLRQ f WKH FHQWHUOLQH RI WKH GHVLUHG VFUHZ FDQ EH GHWHUPLQHG LQ WKH ZRUOG FRRUGLQDWH V\VWHP E\

PAGE 68

Z Z ; [Y A NN ;\ a G Y\L N! FRV f f WOWI IR6ff I G &26, 0 DQG Z\Y ‘ I A f§S VLQYf O \L N! f G Y! VLQ ‘rf rf + ID2\f 1RWH WKDW WKH DERYH FDOFXODWLRQV RI WKH ZHLJKWLQJ IDFWRUV DVVXPHG WKDW n\L ZDV QRQ]HUR ,I RQ WKH RWKHU KDQG O\L LV ]HUR WKHQ IURP HTXDWLRQ f WKH ZHLJKWLQJ IDFWRU N LV D OLQHDU YHORFLW\ 7KH DPRXQW RI WLPH WR WUDQVODWH IURP WKH FXUUHQW YHKLFOH SRVLWLRQ WR WKH ORRNDKHDG SRLQW DW VRPH YHORFLW\ N Y FDQ EH GHWHUPLQHG E\ f GB Y 7KH WLPH UHTXLUHG WR URWDWH IURP WKH FXUUHQW YHKLFOH RULHQWDWLRQ WR WKH RULHQWDWLRQ DW WKH ORRNDKHDG SRLQW FDQ EH FDOFXODWHG XVLQJ HTXDWLRQ f ZKHUH S LV QRZ ]HUR 7KHUHIRUH DVVXPLQJ NU FR VRPH DQJXODU YHORFLW\ WKLV WLPH FDQ EH GHWHUPLQHG E\ W %\ &2 f 8VLQJ HTXDWLRQ f IRU WKH UHODWLRQVKLS EHWZHHQ WKH WZR WLPHV WKH ZHLJKWLQJ IDFWRUV FDQ EH GHWHUPLQHG IURP DQG N Y H/U HHU \JJf N FR f f NW NG

PAGE 69

8VLQJ HTXDWLRQ f WKH FHQWHUOLQH RI WKH GHVLUHG VFUHZ FDQ EH GHWHUPLQHG LQ WKH ZRUOG FRRUGLQDWH V\VWHP E\ ‘9 Ur.  : : ? Z Z ? N \/ 7Y L X + ‘s ,, \/a 7Y NU O G t/ f§ M f DQG rB-9U IZ BZ ? ;/ $Y : A ;/ $Y 9 #/a#9 f 9 f )LQDOO\ XVLQJ HTXDWLRQV f DQG f WKH FHQWHUOLQH RI WKH GHVLUHG LQVWDQWDQHRXV VFUHZ FDQ EH GHWHUPLQHG LQ WKH YHKLFOH FRRUGLQDWH V\VWHP WR GHWHUPLQH WKH GHVLUHG PRWLRQ RI WKH YHKLFOH 5HFDOO WKDW WKH YHKLFOHfV QRQKRORQRPLF FRQVWUDLQWV ZHUH FRQVLGHUHG ZKHQ FDOFXODWLQJ DQG EXW WKDW WKH PLQLPXP WXUQLQJ UDGLXV ZDV LJQRUHG 7KLV KDV D QLFH UHVXOW ZKHUH [bcM ZLOO DOZD\V HTXDO ]HUR ZKLFK GRHV QRW EUHDN WKH QRQKRORQRPLF FRQVWUDLQWV ,Q RUGHU WR FRPSO\ ZLWK WKH PLQLPXP WXUQLQJ UDGLXV FRQVWUDLQW WKH PDJQLWXGH RI \LG PXVW EH JUHDWHU WKDQ RU HTXDO WR WKH PLQLPXP WXUQLQJ UDGLXV ,I LW LV OHVV WKDQ WKH PLQLPXP WXUQLQJ UDGLXV HTXDWLRQV f DQG f RU HTXDWLRQV f DQG f DUH XVHG DJDLQ WR FDOFXODWH WKH ORFDWLRQ RI WKH GHVLUHG VFUHZfV FHQWHUOLQH LQ WKH YHKLFOH FRRUGLQDWH V\VWHP $V LQ WKH ILUVW PHWKRG WKH GLUHFWLRQ RI WKH GHVLUHG VFUHZfV FHQWHUOLQH LV GHWHUPLQHG E\ WKH ORFDWLRQ RI WKH ORRNDKHDG SRLQW LQ WKH YHKLFOHfV FRRUGLQDWH V\VWHP DQG 7DEOH $JDLQ ZKHQ WKH ORRNDKHDG SRLQWfV [YDOXH LV QHJDWLYH WKH YHKLFOH GLUHFWLRQ ZRXOG KDYH WR FKDQJH IURP IRUZDUG WR UHYHUVH ,Q RUGHU WR NHHS WKH YHKLFOH GLUHFWLRQ IURP FKDQJLQJ WKH [YDOXH RI WKH ORRNDKHDG SRLQW PXVW EH JUHDWHU WKDQ ]HUR RWKHUZLVH WKH YHKLFOH LV FRPPDQGHG WR WXUQ DURXQG (TXDWLRQV f DQG f RU HTXDWLRQV f

PAGE 70

DQG f DUH XVHG DJDLQ WR FDOFXODWH WKH ORFDWLRQ RI WKH FRPPDQGHG VFUHZfV FHQWHUOLQH LQ WKLV VLWXDWLRQ )LQDOO\ LW LV LPSRUWDQW WR QRWH DJDLQ WKDW WKH ORRNDKHDG GLVWDQFH / DQG WKH FRQVWDQW N DUH IUHH FKRLFHV LQ WKLV PHWKRG WRR DQG DV VXFK UHSUHVHQW SDUDPHWHUV WKDW PXVW EH VHOHFWHG LQ RUGHU WR RSWLPL]H RU WXQH WKH YHKLFOHfV SHUIRUPDQFH 'HVLUHG 9HKLFOH 9HORFLW\ 6WDWH 7KH GHVLUHG YHORFLW\VWDWH RI WKH $*9 IRU LW WR WUDFN WKH JLYHQ SDWK FDQ QRZ EH GHWHUPLQHG IURP WKH ILQDO GHVLUHG VFUHZ FDOFXODWHG IURP HLWKHU PHWKRG RU PHWKRG 7KH YHORFLW\VWDWH LV PDGH XS RI WZR YHFWRUV D OLQHDU YHORFLW\ YHFWRU \ >Y[ Y\ Y]@7 DQG DQ DQJXODU YHORFLW\ YHFWRU FR >Xr 2\ [!@WKDW FDQ UHSUHVHQW WKH PRWLRQ RI DQ\ ULJLG ERG\ LQ WKUHHGLPHQVLRQDO VSDFH ,Q WKH YHKLFOH FRRUGLQDWH V\VWHP WKH OLQHDU YHORFLW\ RI WKH $*9 LV OLPLWHG WR WKH [D[LV DQG WKH DQJXODU YHORFLW\ LV OLPLWHG WR URWDWLRQ DERXW WKH ]D[LV EHFDXVH RI WKH QRQKRORQRPLF FRQVWUDLQWV 7KHUHIRUH RQO\ WKH WHUPV Yr DQG FR QHHG WR EH GHWHUPLQHG 7KH GHVLUHG OLQHDU YHORFLW\ Y[ LV GHWHUPLQHG E\ WKH GHVLUHG VSHHG WR IROORZ WKH SDWK 7KH XVHU EDVHG RQ WKH FXUUHQW PLVVLRQ RI WKH $*9 W\SLFDOO\ GHFLGHV WKLV 7KH GHVLUHG DQJXODU YHORFLW\ FR LV FDOFXODWHG EDVHG RQ WKH FXUUHQW ORFDWLRQ RI WKH GHVLUHG VFUHZfV FHQWHUOLQH DQG WKH FXUUHQW YHORFLW\ RI WKH $*9 7KH GHVLUHG DQJXODU YHORFLW\ LV FDOFXODWHG E\ FR f ZKHUH LV HTXDO WR f\tU IRU WKH ILUVW PHWKRG 5HFDOO WKDW WKH WDVN RI DQ $*9 WR DFFXUDWHO\ WUDFN D JLYHQ SDWK ZDV EURNHQ GRZQ LQWR WZR VWHSV 7KH ILUVW VWHS LV WR GHWHUPLQH WKH $*9fV GHVLUHG PRWLRQ RU YHORFLW\ VWDWH

PAGE 71

ZKLFK ZDV DFFRPSOLVKHG LQ WKLV FKDSWHU 7KH VHFRQG VWHS LV WR H[HFXWH WKH GHVLUHG YHORFLW\VWDWH 7KLV LV WKH WRSLF RI WKH QH[W FKDSWHU

PAGE 72

&+$37(5 (;(&87,21 &21752/ ([HFXWLRQ FRQWURO LV WKH WDVN RI H[HFXWLQJ WKH $*9fV GHVLUHG YHORFLW\VWDWH DV GHWHUPLQHG LQ &KDSWHU $IWHU FRQVLGHULQJ WKH PRWLRQ FRQVWUDLQWV RI DQ $*9 WKH RQO\ WZR FRPSRQHQWV RI DQ $*9fV YHORFLW\VWDWH WKDW FDQ LQIOXHQFH WKH V\VWHP DUH Y[ DQG FR] %\ FDUHIXOO\ FKRRVLQJ WKH RULJLQ RI WKH YHKLFOHfV FRRUGLQDWH V\VWHP Y[ DQG FR] FDQ EH GHFRXSOHG DOORZLQJ IRU WKH GHVLJQ RI VHSDUDWH FRQWUROOHUV 7KHUH DUH D QXPEHU RI GLIIHUHQW FRQWURO WHFKQLTXHV WKDW ZRXOG ZRUN KHUH DQG WKHUHIRUH D GHVLJQ FKRLFH PXVW EH PDGH 6RPH RI WKH PRUH FRQYHQWLRQDO FRQWURO WHFKQLTXHV LQFOXGH FODVVLFDO FRQWURO SURSRUWLRQDOLQWHJUDOGHULYDWLYH FRQWURO 3,'f DGDSWLYH FRQWURO DQG VWDWH VSDFH PHWKRGV 7KHVH WHFKQLTXHV UHTXLUH D UHODWLYHO\ DFFXUDWH PRGHO RI WKH V\VWHP LQ RUGHU WR GHYHORS D VDWLVIDFWRU\ FRQWUROOHU ,Q DGGLWLRQ WKHVH WHFKQLTXHV W\SLFDOO\ UHVWULFW WKH FRPSOH[LW\ RI WKH V\VWHP PRGHO HJ OLQHDULW\f 6RPH RI WKH QHZHU FRQWURO WHFKQLTXHV WKDW FRXOG EH XVHG KHUH LQFOXGH IX]]\ ORJLF FRQWURO DQG QHXUDO QHWZRUNV 2QH GUDZ EDFN ZLWK QHXUDO QHWZRUN FRQWUROOHUV LV WKDW WKH\ W\SLFDOO\ UHTXLUH D ORQJ OHDUQLQJ WLPH ZKHUH WKH\ DUH fWDXJKW KRZ WR FRQWURO D V\VWHP EHIRUH WKH\ FDQ EH HIIHFWLYHO\ XVHG )X]]\ ORJLF FRQWUROOHUV RQ WKH RWKHU KDQG GR QRW UHTXLUH D PRGHO RI WKH V\VWHP DQG GR QRW UHTXLUH D ORQJ OHDUQLQJ WLPH ,QVWHDG WKH\ UHO\ RQ WKH NQRZOHGJH RI DQ H[SHUW RQ FRQWUROOLQJ WKH SDUWLFXODU V\VWHP 7KHUHIRUH ZLWK DOO RI WKLV LQ PLQG WKH SURSRVHG FRQWUROOHUV RI Y[ DQG &2 DUH ERWK FKRVHQ WR EH IX]]\ FRQWUROOHUV

PAGE 73

7KLV FKDSWHU EHJLQV ZLWK DQ LQWURGXFWLRQ WR WKH IX]]\ FRQWUROOHU DQG D JHQHUDO LQWURGXFWLRQ WR WKH IX]]\ UHIHUHQFH PRGHO OHDUQLQJ FRQWUROOHU )50/&f >@ ZKLFK LV D GLUHFW DGDSWLYH FRQWUROOHU ,W FRQFOXGHV E\ SUHVHQWLQJ WKH GHVLJQHG )50/& IRU H[HFXWLQJ WKH $*9f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fV NQRZOHGJH LV VWRUHG LQ D UXOHEDVH PDGH XS RI D VHW RI LIWKHQ VWDWHPHQWV 7KH GHIX]]LILFDWLRQ VWHS WDNHV WKH OLQJXLVWLF UHVXOWV RI WKH LQIHUHQFH VWHS DQG FRQYHUWV WKHP WR FULVS RXWSXWV )X]]\ &RQWUROOHU )LJXUH )HHGEDFN )X]]\ &RQWUROOHU

PAGE 74

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fWDOOf D PHPEHUVKLS YDOXH RI RU WRf 6LPLODUO\ WKH OLQJXLVWLF YDULDEOHV PHGLXP DQG VKRUW ZRXOG KDYH D PHPEHUVKLS YDOXHV RI DQG UHVSHFWLYHO\ RU MXPHGLXPf DQG +VKRƒf )LJXUH +HLJKW 0HPEHUVKLS )XQFWLRQV $ PHPEHUVKLS IXQFWLRQ LV QRW OLPLWHG WR EHLQJ WULDQJXODU 7KLV FDQ EH VHHQ E\ RWKHU H[DPSOHV RI PHPEHUVKLS IXQFWLRQV LQ )LJXUH 7KH FKRLFH RI WKH PHPEHUVKLS IXQFWLRQ GHSHQGV RQ WKH DSSOLFDWLRQ DQG WKH GHVLJQHU RU WKH H[SHUW )X]]LILFDWLRQ LV WKHUHIRUH D KLJKO\ VXEMHFWLYH SURFHVV ZKHUH WZR GLIIHUHQW GHVLJQHUV PD\ TXDQWLI\ WKH VDPH YDULDEOH GLIIHUHQWO\ DQG ERWK EH FRQVLGHUHG FRUUHFW

PAGE 75

WL 0 WL 0 )LJXUH 3RVVLEOH )X]]\ 0HPEHUVKLS )XQFWLRQV ,QIHUHQFH 0HFKDQLVP 7KH LQIHUHQFH PHFKDQLVP LV PDGH WR LPLWDWH WKH H[SHUWf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f3RVLWLYH 6PDOOf 36f DQG WKH FKDQJH LQ HUURU LV f1HJDWLYH /DUJHf 1/f WKHQ WKH IRUFH LV f3RVLWLYH 0HGLXPf 30f $ VHFRQG UXOH PD\ EH LI WKH HUURU LV f=HURf =f DQG WKH FKDQJH LQ HUURU LV f3RVLWLYH 6PDOOf 36f WKHQ WKH IRUFH LV f1HJDWLYH 6PDOOf 16f $ UXOH IRU HDFK SRVVLEOH FRPELQDWLRQ RI HUURU DQG FKDQJH LQ HUURU FDQ EH GHWHUPLQHG VLPLODUO\ ,I WKH QXPEHU RI

PAGE 76

LQSXWV LV VPDOO DURXQG WZR RU WKUHH D FRQYHQLHQW ZD\ WR VWRUH WKH UXOHV LV LQ D WDEXODU IRUP DV VKRZQ LQ 7DEOH 1/ 10 16 36 30 3/ f;;!;7 H GHJUHHVf 1/ 10 16 U[[[[[!F H GHJUHHVVHFf )f 1/ 10 16 ;;;;;;? GEIf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

PAGE 77

fDQGf ORJLFDO RSHUDWRU 7ZR FRPPRQ ZD\V WR GHILQH WKH fDQGf RSHUDWRU LV WKH PLQLPXP RU WKH SURGXFW RI WKH RSHUDQGV 7KLV FDQ EH HDVLO\ VHHQ WKURXJK DQ H[DPSOH &RQVLGHU DJDLQ WKH H[DPSOH RI WKH LQYHUWHG SHQGXOXP 6XSSRVH WKDW WKH FXUUHQW DQJXODU HUURU ZDV GHJUHHV DQG WKH FXUUHQW FKDQJH LQ HUURU ZDV GHJUHHVVHFRQG )URP 7DEOH RQH RI WKH UXOHV LV LI WKH HUURU LV f1HJDWLYH 6PDOOf 16f DQG WKH FKDQJH LQ HUURU LV f1HJDWLYH 6PDOOf 16f WKHQ WKH IRUFH LV f3RVLWLYH 0HGLXPf 30f 8VLQJ WKH PHPEHUVKLS IXQFWLRQV IURP )LJXUH E WKH PHPEHUVKLS RI OLQJXLVWLF YDULDEOH QHJDWLYH VPDOO IRU WKH GHJUHHV HUURU LV DQG WKH PHPEHUVKLS RI OLQJXLVWLF YDULDEOH QHJDWLYH VPDOO IRU WKH GHJUHHVHFRQG FKDQJH LQ HUURU LV 7KH SUHPLVH FDQ QRZ EH TXDQWLILHG IRU WKLV UXOH E\ ILQGLQJ WKH PLQLPXP RU WKH SURGXFW RI WKHVH YDOXHV LH XSUHPLVH PLQLPXP>@ RU QSUHPLVH ff 7KH YDOXH QSUHPLVH LV D PHDVXUH RI KRZ DSSOLFDEOH WKLV UXOH LV WR WKH FXUUHQW V\VWHP VWDWH 7KLV SURFHVV LV GRQH IRU HDFK UXOH DQG WKH UHVXOWV ZKHUH QSUHPLVH DUH FRQVLGHUHG WKH FRQFOXVLRQV RI WKH UXOHEDVH 'HIX]]LILFDWLRQ 'HIX]]LILFDWLRQ LV WKH VWHS ZKHUH WKH FRQFOXVLRQV IURP WKH LQIHUHQFH VWHS DUH FRQYHUWHG WR D FULVS RXWSXW 7ZR RI WKH PRUH SRSXODU GHIX]]LILFDWLRQ WHFKQLTXHV DUH WKH FHQWHU RI JUDYLW\ &2*f DQG FHQWHU DYHUDJH PHWKRGV 7KH &2* PHWKRG FDOFXODWHV WKH FULVS RXWSXW E\ /. f f ZKHUH E LV WKH FHQWHU RI WKH PHPEHUVKLS IXQFWLRQ RI WKH FRQVHTXHQW RI UXOH L 7KH FDOFXODWLRQ RI WKH WHUP -M8>cf LV VLPSOLILHG JUHDWO\ ZKHQ WKH RXWSXW PHPEHUVKLS IXQFWLRQV DUH WULDQJXODU DQG V\PPHWULF )RU WKLV FDVH LW FDQ EH FDOFXODWHG E\

PAGE 78

.f Z A SUHPLVHA $ SUHPLVHA A ? ZKHUH Z LV WKH ZLGWK RI WKH EDVH RI WKH WULDQJOH 7KH FHQWHU DYHUDJH PHWKRG FDOFXODWHV WKH FULVS RXWSXW E\ f FULVS 70 SUHPLVHf SUHPLVH f &RQWLQXLQJ ZLWK WKH LQYHUWHG SHQGXOXP H[DPSOH ZKHUH WKH DQJXODU HUURU ZDV GHJUHHV DQG WKH FKDQJH LQ HUURU ZDV GHJUHHVVHFRQG XVLQJ HTXDWLRQ f DQG XVLQJ WKH PLQLPXP IXQFWLRQ WR TXDQWLI\ WKH SUHPLVH RI HDFK UXOH JLYHV D FULVS RXWSXW RI 0B ; f ;f ; f ff _ )LQDOO\ XVLQJ HTXDWLRQ f DQG WKH PLQLPXP IXQFWLRQ WR TXDQWLI\ WKH SUHPLVH RI HDFK UXOH JLYHV D FULVS RXWSXW RI XFUV3 ;f ;f ;f ff )X]]\ 5HIHUHQFH 0RGHO /HDUQLQJ &RQWURO I 7KHUH DUH WZR JHQHUDO WHFKQLTXHV IRU DGDSWLYH FRQWURO GLUHFW DQG LQGLUHFW 'LUHFW DGDSWLYH FRQWURO VKRZQ LQ )LJXUH PRQLWRUV D V\VWHPfV UHVSRQVH DQG WKHQ PRGLILHV WKH FRQWUROOHU LQ RUGHU WR DFKLHYH D VSHFLILHG GHVLUHG SHUIRUPDQFH 2Q WKH RWKHU KDQG LQGLUHFW DGDSWLYH FRQWURO PRQLWRUV D V\VWHPfV UHVSRQVH LQ RUGHU WR LGHQWLI\ SDUDPHWHUV RI WKH V\VWHPfV PRGHO 7KH FRQWUROOHU LV GHVLJQHG DV D IXQFWLRQ RI WKHVH PRGHO SDUDPHWHUV WR DFKLHYH D VSHFLILHG GHVLUHG SHUIRUPDQFH $ EORFN GLDJUDP RI DQ LQGLUHFW DGDSWLYH FRQWUROOHU LV VKRZQ LQ )LJXUH )X]]\ UHIHUHQFH PRGHO OHDUQLQJ FRQWURO )50/&f LV D GLUHFW DGDSWLYH FRQWUROOHU

PAGE 79

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

PAGE 80

FDSDEOH RI DFKLHYLQJ (YHU\ V\VWHP KDV LWV OLPLWDWLRQV DQG WKHVH OLPLWDWLRQV PXVW EH FRQVLGHUHG ZKHQ FKRRVLQJ WKH UHIHUHQFH PRGHO )LJXUH )50/& %ORFN 'LDJUDP 2QFH WKH UHIHUHQFH PRGHO LV GHWHUPLQHG D GLVFUHWH HUURU VLJQDO LV FDOFXODWHG E\ HN7f \f N7f \N7f f ZKHUH H^N7f LV WKH FXUUHQW HUURU \P^N7f LV WKH RXWSXW RI WKH UHIHUHQFH PRGHO \N7f LV WKH RXWSXW RI WKH V\VWHP DQG 7 LV WKH VDPSOH WLPH 'HSHQGLQJ RQ WKH V\VWHP FKDUDFWHULVWLFV LW PD\ DOVR EH XVHIXO WR FDOFXODWH WKH GLVFUHWH FKDQJH LQ HUURU E\ F^N7fAPHS77fn f ZKHUH FN7f LV WKH FKDQJH LQ HUURU HN7f LV WKH FXUUHQW HUURU IURP HTXDWLRQ f DQG HN77f LV WKH HUURU FDOFXODWHG RQ WKH SUHYLRXV WLPH VDPSOH 7KHQ WKHVH UHVXOWV DQG DQ\

PAGE 81

RWKHU V\VWHP GDWD DUH XVHG WR GHWHUPLQH WKH QHFHVVDU\ FKDQJHV WR WKH SURFHVV LQSXWV S^N7f E\ WKH OHDUQLQJ PHFKDQLVP 7KH OHDUQLQJ PHFKDQLVP LV PDGH XS RI D IX]]\ LQYHUVH PRGHO DQG D UXOHEDVH PRGLILHU 7KH SXUSRVH RI WKH IX]]\ LQYHUVH PRGHO LV WR WDNH WKH FDOFXODWLRQV HN7f DQG FN7f DQG GHWHUPLQH KRZ WR FKDQJH WKH SURFHVV LQSXW XN7f LQ RUGHU WR GULYH HN7f WR ]HUR 7KH RXWSXW RI WKH IX]]\ LQYHUVH PRGHO LV WKH GHVLUHG FKDQJH LQ SURFHVV LQSXW DQG LV UHSUHVHQWHG E\ S^N7f )LUVW WKH LQSXWV DUH IX]]LILHG E\ PHPEHUVKLS IXQFWLRQV VSHFLILHG E\ WKH GHVLJQHU 7KH LQIHUHQFH PHFKDQLVP WKHQ XVHV UXOHV VXFK DV LI WKH HUURU LV fSRVLWLYH VPDOOf DQG WKH FKDQJH LQ HUURU LV f]HURf WKHQ WKH FKDQJH LQ SURFHVV LQSXW LV fQHJDWLYH VPDOOf ,W LV UHIHUUHG WR DV WKH IX]]\ LQYHUVH PRGHO EHFDXVH WKHVH UXOHV W\SLFDOO\ GHSHQG RQ WKH SODQW G\QDPLFV )LQDOO\ WKH RXWSXW SN7f LV GHIX]]LILHG E\ WKH &2* FHQWHUDYHUDJH RU VRPH RWKHU GHIX]]LILFDWLRQ WHFKQLTXH 7KHQ WKH RXWSXW SN7f LV XVHG WR PRGLI\ WKH FRQWUROOHUV UXOHEDVH 7KH IX]]\ FRQWUROOHUfV UXOHEDVH LV PRGLILHG E\ ILUVW GHWHUPLQLQJ ZKLFK UXOHV DUH DFWLYH ,Q RWKHU ZRUGV GHWHUPLQH ZKLFK UXOHfV FHUWDLQW\ LV JUHDWHU WKDQ ]HUR 0SUHPVHOf A f f 7KHQ IRU DOO WKH UXOHV WKDW DUH DFWLYH WKH FHQWHU RI WKH PWK RXWSXW PHPEHUVKLS IXQFWLRQ LV DGMXVWHG E\ EPN7f EPN77f SN7f f ZKHUH EPN7f LV WKH FXUUHQW FHQWHU RI WKH POK RXWSXW PHPEHUVKLS IXQFWLRQ EPN77f LV WKH FHQWHU RI WKH ZWK RXWSXW PHPEHUVKLS IXQFWLRQ DW WKH SUHYLRXV WLPH VDPSOH DQG S^N7f LV WKH GHVLUHG FKDQJH LQ SURFHVV LQSXW WKDW ZDV FDOFXODWHG E\ WKH LQYHUVH PRGHO

PAGE 82

9HKLFOH /LQHDU 9HORFLW\ )50/& 7KH ILUVW WDVN LQ GHVLJQLQJ D FRQWUROOHU LV WR GHWHUPLQH LWV LQSXWV DQG RXWSXWV 8QGHU WKH 0$; DUFKLWHFWXUH WKH SURSXOVLYH DQG UHVLVWLYH ZUHQFKHV DUH XVHG WR FRQWURO WKH $*9V PRWLRQ (DFK ZUHQFK LV PDGH XS RI D IRUFH YHFWRU >I[I\I]@ DQG D PRPHQW YHFWRU P >P[ P\ P]? 7KH SURSXOVLYH ZUHQFK LV XVHG WR SURSHO WKH $*9 LQ WKH GLUHFWLRQ RI WKH IRUFH RU DERXW WKH D[LV RI WKH PRPHQW 6LQFH E\ WKH FDUHIXO VHOHFWLRQ RI WKH YHKLFOHfV UHIHUHQFH IUDPH WKH RQO\ WHUP WKDW KDV DQ DIIHFW RQ WKH OLQHDU YHORFLW\ LV I[ LW LV FKRVHQ WR EH WKH OLQHDU YHORFLW\fV FRQWUROOHU RXWSXW 2QH RI WKH LQSXWV WR WKH FRQWUROOHU LV REYLRXVO\ WKH GHVLUHG OLQHDU YHORFLW\ Y[Fc $ VHFRQG LQSXW WR WKH FRQWUROOHU LV WKH YHKLFOH SLWFK \ VLQFH LW FDQ KDYH D VXEVWDQWLDO HIIHFW RQ WKH $*9fV OLQHDU YHORFLW\ $ EORFN GLDJUDP RI WKH )50/& IRU WKH OLQHDU YHORFLW\ LV JLYHQ LQ )LJXUH 5HIHUHQFH 0RGHO 5XOHEDVH 0RGLILHU SN' .QRZOHGJH%DVH HN7f ,QIHUHQFH f§ 0HFKDQLVP f§Qf§ OU )X]]\ ,QYHUVH 0RGHO .rQB W )X]]\ 6HWV 5XOH%DVH .QRZOHGJH%DVH r b ,QIHUHQFH 0HFKDQLVP 9 )X]]\ &RQWUROOHU IMP 3URFHVV YfrQ )LJXUH 'LVFUHWH /LQHDU 9HORFLW\ )50/&9 %ORFN 'LDJUDP )URP )LJXUH WKH FRQWUROOHUfV LQSXW Y[FM^N7f LV WKH GHVLUHG OLQHDU YHORFLW\ DQG WKH FRQWUROOHUfV LQSXW *\N7f LV WKH YHKLFOHfV SLWFK 7KH JDLQV JY DQG Jt DUH XVHG WR

PAGE 83

QRUPDOL]H WKH LQSXWV %\ GRLQJ WKLV ERWK LQSXWV DUH IX]]LILHG XVLQJ WKH PHPEHUVKLS IXQFWLRQV JLYHQ LQ )LJXUH 7KHUHIRUH WKH JDLQ JY LV FKRVHQ WR EH O$Z ZKHUH YPD[ LV WKH PD[LPXP YHORFLW\ RI WKH $*9 DQG WKH JDLQ JJLLV FKRVHQ WR EH ?\PD[ ZKHUH !`PD[ LV WKH PD[LPXP DOORZDEOH SLWFK %RWK RI WKHVH WHUPV WKH PD[LPXP $*9 YHORFLW\ DQG WKH PD[LPXP DOORZDEOH SLWFK DUH DYDLODEOH IURP WKH 9&8 FRQILJXUDWLRQ PHVVDJH XQGHU WKH 0$; DUFKLWHFWXUH )LJXUH 1RUPDOL]HG ,QSXW 0HPEHUVKLS )XQFWLRQV 7KH FRQWUROOHUfV RXWSXW LQ )LJXUH I[N7f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

PAGE 84

NQRZQ DERXW WKH SODQWfV FKDUDFWHULVWLFV HDFK UXOHfV FRQVHTXHQW LV LQLWLDOL]HG WR WKH OLQJXLVWLF YDULDEOH f]HURf 7KLV UHTXLUHV WKH FRQWUROOHU WR FRPSOHWHO\ OHDUQ WKH V\VWHP LW LV WU\LQJ WR FRQWURO %\ XVLQJ WKH 0$; DUFKLWHFWXUH DQ LPSRUWDQW FRQFOXVLRQ DERXW WKH SODQWf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fV OLQHDU YHORFLW\ 7KLV DVVXPSWLRQ LV PDGH LQLWLDOO\ EHFDXVH WKHUH LV QRW HQRXJK LQIRUPDWLRQ DERXW WKH SODQWfV FKDUDFWHULVWLFV WR PDNH D FRQFOXVLRQ RQ KRZ WKH SLWFK ZLOO DIIHFW WKH FRQWURO RI WKH $*9fV OLQHDU YHORFLW\ 7KHUHIRUH WKH FRQWUROOHU PXVW OHDUQ KRZ WR FRQWURO WKH SODQW IRU GLIIHUHQW YHKLFOH SLWFKHV 7KH UHIHUHQFH PRGHO WDNHV WKH GHVLUHG OLQHDU YHORFLW\ DV LQSXW DQG RXWSXWV DQ HVWLPDWH RI ZKDW WKH YHKLFOH OLQHDU YHORFLW\ VKRXOG EH 7KH PRGHO LPSOHPHQWHG KHUH LV D

PAGE 85

VLPSOH ILUVW RUGHU PRGHO 7KLV ZDV FKRVHQ IRU LWV VLPSOLFLW\ ZKHUH RQO\ RQH PRGHO YDULDEOH QHHGV WR EH GHWHUPLQHG WKH WLPH FRQVWDQW 7KLV WLPH FRQVWDQW LV VHW WR WKH V\VWHPV DYHUDJH UHVSRQVH WLPH WR YDULRXV I[ FRPPDQGV 7KH OHDUQLQJ PHFKDQLVP XVHV WKH OLQHDU YHORFLW\ FDOFXODWHG E\ WKH UHIHUHQFH PRGHO DQG WKH FXUUHQW $*9 OLQHDU YHORFLW\ WR FDOFXODWH DQ HUURU HN7f DQG FKDQJH LQ HUURU FHN7f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

PAGE 86

9HKLFOH $QJXODU 9HORFLW\ )50/& 7KH DQJXODU YHORFLW\ )50/& XVHV WKH EORFN GLDJUDP JLYHQ LQ )LJXUH ZKLFK LV YHU\ VLPLODU WR WKH OLQHDU YHORFLW\ )50/& EORFN GLDJUDP +HUH WKH FRQWUROOHU UHIHUHQFH LQSXW F2] --W7f LV WKH FXUUHQW GHVLUHG DQJXODU YHORFLW\ DQG WKH LQSXW YN7f LV WKH YHKLFOHfV FXUUHQW OLQHDU YHORFLW\ 7KH OLQHDU YHORFLW\ LV FKRVHQ DV DQ LQSXW VLQFH LW LV H[SHFWHG WKDW PRUH VOLS ZLOO RFFXU EHWZHHQ WKH YHKLFOH WLUHV DQG WKH JURXQG DW KLJKHU VSHHGV DQG WKHUHIRUH DIIHFW WKH YHKLFOHfV DQJXODU YHORFLW\ 7KH JDLQV JD DQG JY DUH XVHG DJDLQ WR QRUPDOL]H WKH LQSXWV 7KH JDLQ Jf LV FKRVHQ WR EH ?D!] PD[ ZKHUH \PD[ LV WKH YHKLFOHfV PD[LPXP DQJXODU YHORFLW\ 6LPLODUO\ WKH JDLQ JY LV FKRVHQ WR EH OYPD[ ZKHUH YPD[ LV WKH YHKLFOHfV PD[LPXP OLQHDU YHORFLW\ $JDLQ WKH LQIRUPDWLRQ UHTXLUHG LQ RUGHU WR FDOFXODWH WKHVH JDLQV DUH JLYHQ HLWKHU E\ WKH 9HKLFOH &RQWURO 8QLW 9&8f FRQILJXUDWLRQ UHSRUW RU PHDVXUHG E\ WKH 3RVLWLRQ V\VWHP 326f )LJXUH $QJXODU 9HORFLW\ )50/& %ORFN 'LDJUDP

PAGE 87

)RU YHKLFOHV ZLWK D QRQ]HUR PLQLPXP WXUQLQJ UDGLXV tfPD[ WXUQV RXW WR EH D IXQFWLRQ RI WKH $*9fV FXUUHQW OLQHDU YHORFLW\ DQG LWV PLQLPXP WXUQLQJ UDGLXV 9FXUUHQ f PD[ U PLQ 1RWH WKDW ZKHQ WKH FXUUHQW OLQHDU YHORFLW\ LV HTXDO WR ]HUR WKH JDLQ JR IRU YHKLFOHV ZLWK D QRQ]HUR PLQLPXP WXUQLQJ UDGLXV LV LQILQLWH 7KLV LV EHFDXVH WKH YHKLFOH LV QRW FDSDEOH RI WXUQLQJ XQOHVV WKH OLQHDU YHORFLW\ LV QRQ]HUR 6LQFH LW LV LPSRVVLEOH IRU WKH YHKLFOH WR WXUQ XQOHVV WKH OLQHDU YHORFLW\ LV QRQ]HUR WKH JDLQ JA LV VHW WR ]HUR LI WKH OLQHDU YHORFLW\ LV ]HUR 7KLV LV GRQH VR WKDW WKH FRQWUROOHU GRHV QRW DWWHPSW WR DGDSW IRU WKLV FDVH 7KH FRQWUROOHUfV RXWSXW LQ )LJXUH P]N7f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

PAGE 88

7DEOH $QJXODU 9HORFLW\ ,QLWLDO 5XOH%DVH 0RPHQW 'HVLUHG $QJXODU 9HORFLW\ 1 1 1 1 1 = 3, 3 3 3 3 /LQHDU 9HO 1 1 1 1 1 1 = 3, 3 3 3 3 1 1 1 1 1 1 ] 3, 3 3 3 3 1 1 1 1 1 1 ] 3, 3 3 3 3 1 1 1 1 1 1 ] 3, 3 3 3 3 1 1 1 1 1 1 ] 3, 3 3 3 3 = 1 1 1 1 1 ] 3, 3 3 3 3 3, 1 1 1 1 1 ] 3, 3 3 3 3 3 1 1 1 1 1 ] 3, 3 3 3 3 3 1 1 1 1 1 ] 3, 3 3 3 3 3 1 1 1 1 1 ] 3, 3 3 3 3 3 1 1 1 1 1 ] 3, 3 3 3 3 ,W LV DVVXPHG LQ 7DEOH WKDW WKH OLQHDU YHORFLW\ KDV QR DIIHFW RQ WKH FRQWURO RI WKH $*9V DQJXODU YHORFLW\ 7KLV DVVXPSWLRQ LV PDGH LQLWLDOO\ EHFDXVH WKHUH LV QRW HQRXJK LQIRUPDWLRQ DERXW WKH SODQWf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f DQG FKDQJH LQ HUURU FHN7f 7KH HUURU LV VFDOHG E\ WKH JDLQ JH DQG WKH FKDQJH LQ HUURU LV VFDOHG E\ JFH LQ RUGHU WR XVH WKH PHPEHUVKLS IXQFWLRQV JLYHQ LQ )LJXUH IRU IX]]LILFDWLRQ 7KHVH JDLQV DUH GHWHUPLQHG DJDLQ E\ WKH PD[LPXP SRVVLEOH HUURUV 7KHUHIRUH JH LV VHW WR OFRGHVUHG DQG

PAGE 89

JHH LV VHW WR 2GHVLUHG ZKHUH FRGHVLUHG LV WKH GHVLUHG DQJXODU YHORFLW\ DQG 7 LV WKH WLPH LQWHUYDO 7KH UXOHV XVHG E\ WKH LQIHUHQFH PHFKDQLVP DUH JLYHQ LQ 7DEOH 7KH FRQFOXVLRQV RI WKH UXOHEDVH DUH GHIX]]LILHG XVLQJ WKH &2* DQG WKH PHPEHUVKLS IXQFWLRQ LQ )LJXUH $QG ILQDOO\ WKH JDLQ JS LV XVHG WR FRQWURO KRZ IDVW WKH V\VWHP DGDSWV DQG LV DJDLQ OHIW DV D WXQLQJ SDUDPHWHU

PAGE 90

&+$37(5 5(68/76 7KH QHZ SDWKWUDFNLQJ DOJRULWKP GHYHORSHG LQ WKLV GLVVHUWDWLRQ YHFWRU SXUVXLW LV D JHRPHWULF WHFKQLTXH *HRPHWULF WHFKQLTXHV XVH D ORRNDKHDG SRLQW ZKLFK LV RQ WKH SDWK DW D GLVWDQFH / DKHDG RI WKH RUWKRJRQDO SURMHFWLRQ RI WKH YHKLFOHf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fV DELOLW\ WR WUDFN SDWKV DFFXUDWHO\ ZLWK GLIIHUHQW ORRNDKHDG GLVWDQFHV DQG DW

PAGE 91

GLIIHUHQW VSHHGV )RU FRPSDULVRQ WHVWV DUH GRQH XVLQJ IROORZWKHFDUURW DQG SXUH SXUVXLW )ROORZWKHFDUURW LV WKH RULJLQDO SDWKWUDFNLQJ WHFKQLTXH XVHG RQ WKH 1DYLJDWLRQ 7HVW 9HKLFOH 179f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n WUDFNLQJ DOJRULWKPV DQG WKH FRQWUROOHUV RQ WKH YHKLFOH WKH\ ZHUH WHVWHG LQ VLPXODWLRQ ZLWK D VLPSOH PRGHO RI WKH YHKLFOH $IWHU DFKLHYLQJ SRVLWLYH UHVXOWV IURP VLPXODWLRQ WKH QHZ SDWKWUDFNLQJ DOJRULWKP DQG WKH )50/& FRQWUROOHUV ZHUH LPSOHPHQWHG RQ WKH 179 IRU IXUWKHU WHVWLQJ ,Q DGGLWLRQ WR LPSOHPHQWLQJ WKHP RQ WKH 179 IRU WHVWLQJ WKH\ ZHUH LPSOHPHQWHG DOVR RQ D .$ URERW GHYHORSHG E\ &\EHUPRWLRQ ,QF RI 5RDQRNH 9LUJLQLD 6HH )LJXUH f DQG RQ DQ $OO3XUSRVH 5HPRWH 7UDQVSRUW 6\VWHP $576f 6HH )LJXUH f ZKLFK LV D YHKLFOH XVHG E\ WKH 8QLWHG 6WDWHV $LU )RUFH 5HVHDUFK /DERUDWRU\ IRU UHVHDUFK DQG GHVLJQ %HIRUH SUHVHQWLQJ WKH UHVXOWV RI WKHVH WHVWV WKH PHWKRG XVHG IRU HYDOXDWLQJ WKH SDWKWUDFNLQJ DOJRULWKP LV SUHVHQWHG ILUVW

PAGE 92

)LJXUH &\EHUPRWLRQ .$ )LJXUH $OOSXUSRVH 5HPRWH 7UDQVSRUW 6\VWHP

PAGE 93

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f ZKHUH S[\S\\f DUH WKH FRRUGLQDWHV RI WKH YHKLFOH SRVLWLRQ LQ WKH SHUSHQGLFXODU FRRUGLQDWH V\VWHP GHILQHG DERYH 1RWH WKDW E\ WKH GHILQLWLRQ RI WKLV FRRUGLQDWH V\VWHP S[\ DOZD\V HTXDOV ]HUR 1H[W WKH KHDGLQJ HUURU *H LV GHILQHG WR EH 4H 3*Y f ZKHUH *S LV WKH DQJOH IURP WKH [D[LV RI WKH ZRUOG FRRUGLQDWH V\VWHP WR WKH [D[LV RI WKH SHUSHQGLFXODU FRRUGLQDWH V\VWHP *\ LV WKH DQJOH IURP WKH [D[LV RI WKH ZRUOG FRRUGLQDWH V\VWHP WR WKH [D[LV RI WKH YHKLFOH FRRUGLQDWH V\VWHP DQG *H LV LQ WKH LQWHUYDO @ 1DYLJDWLRQ 7HVW 9HKLFOH 179f 7KLV VHFWLRQ ILUVW SUHVHQWV WKH UHVXOWV RI WHVWLQJ WKH YHFWRU SXUVXLW SDWKWUDFNLQJ DOJRULWKP DQG WKH IX]]\ UHIHUHQFH PRGHO OHDUQLQJ FRQWUROOHUV LQ VLPXODWLRQ DQG WKHQ SUHVHQWV WKH LPSOHPHQWDWLRQ UHVXOWV ,W FRQFOXGHV ZLWK WKH UHVXOWV RI WHVWV GRQH ZKHUH WKH 179 LV GULYLQJ EDFNZDUGV

PAGE 94

)LJXUH 'HILQLQJ 3RVLWLRQ DQG +HDGLQJ (UURUV 6LPXODWLRQ 0RGHO 8VLQJ WKH ZRUOG DQG YHKLFOH FRRUGLQDWH V\VWHPV GHILQHG LQ &KDSWHU D NLQHPDWLF PRGHO RI WKH 179 LV JLYHQ E\ WKH IROORZLQJ HTXDWLRQV :; \ 9&26 *\f f Z \Y YVLQ.f f DQG YWDQAf Z f ZKHUH Z[\ DQG Z\\ JLYH WKH YHKLFOH SRVLWLRQ *Y LV WKH YHKLFOH KHDGLQJ Y LV WKH YHKLFOH VSHHG Mf LV WKH VWHHULQJ ZKHHO DQJOH DQG :LV WKH YHKLFOHfV ZKHHOEDVH 5HFDOO WKDW WKH RXWSXWV RI WKH FRQWUROOHUV GHVLJQHG LQ &KDSWHU DUH WKH SHUFHQW IRUFH DORQJ WKH YHKLFOHfV [D[LV DQG WKH SHUFHQW PRPHQW DERXW WKH YHKLFOHfV ]D[LV 2Q WKH 179 WKH PDJQLWXGH RI SHUFHQW IRUFH PDSV GLUHFWO\ WR WKH SHUFHQW RI WKH PD[LPXP

PAGE 95

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fV VSHHG D ORRNXS WDEOH ZDV FUHDWHG WKDW JLYHV WKH YHKLFOH VSHHG EDVHG RQ WKH FXUUHQW WKURWWOH SRVLWLRQ 7KH UHVXOWV JLYHQ LQ 7DEOH DUH WKH DYHUDJH VSHHGV RI WKH 179 DIWHU LW KDG VWDUWHG PRYLQJ 7KH UHVXOWV DUH VSHFLILHG DV EHLQJ DIWHU WKH 179 KDG VWDUWHG PRYLQJ EHFDXVH D ODUJHU SHUFHQW WKURWWOH SRVLWLRQ ZDV UHTXLUHG WR JHW WKH 179 PRYLQJ WKDQ ZDV UHTXLUHG WR NHHS LW PRYLQJ ,Q DQ DWWHPSW WR PDNH WKH VLPXODWLRQ PRUH UHDOLVWLF D PLQLPXP WKURWWOH SRVLWLRQ ZDV FKRVHQ EHIRUH DQ\ PRWLRQ ZRXOG RFFXU 2QFH WKH 179 EHJDQ PRYLQJ WKH ORRNXS WDEOH ZDV XVHG WR GHWHUPLQH WKH YHKLFOH VSHHG EXW ZLWK D OLPLW RQ WKH DFFHOHUDWLRQ 7DEOH 0DSSLQJ RI 3HUFHQW 7KURWWOH WR $YHUDJH 9HKLFOH 6SHHG 3HUFHQW 7KURWWOH 9HKLFOH 6SHHG PVf

PAGE 96

:LWK WKH 179fV OLQHDU DQG DQJXODU YHORFLW\ GHWHUPLQHG DV IXQFWLRQV RI WKH FXUUHQW WKURWWOH DQG VWHHULQJ ZKHHO SRVLWLRQV PRGHOV DUH UHTXLUHG IRU WKH 179fV WKURWWOH DQG VWHHULQJ ZKHHO 7KH PRGHOV IRU WKH 179fV WKURWWOH DQG VWHHULQJ SUHVHQWHG LQ WKH QH[W WZR VHFWLRQV ZHUH GHYHORSHG IURP GDWD WDNHQ IURP WKH 179 7KURWWOH 0RGHO ,Q RUGHU WR GHYHORS D VLPSOH PRGHO RI WKH 179fV WKURWWOH GDWD ZDV WDNHQ RI WKH UHVSRQVH RI WKH WKURWWOH WR YDULRXV FRPPDQGHG VWHS LQSXWV :LWK WKLV GDWD LW ZDV GHWHUPLQHG LQLWLDOO\ WKDW D ILUVWRUGHU PRGHO ZRXOG EH VXIILFLHQW ,Q WKH HQG D OLPLW RQ WKH WKURWWOHfV YHORFLW\ ZDV UHTXLUHG LQ RUGHU IRU WKH PRGHO WR EH PRUH DFFXUDWH 7KLV VDWXUDWLRQ SRLQW RI WKH WKURWWOHfV YHORFLW\ ZDV GHWHUPLQHG H[SHULPHQWDOO\ 6RPH RI WKH UHVXOWV RI WKLV PRGHO FRPSDUHG WR WKH DFWXDO GDWD DUH JLYHQ LQ )LJXUHV DQG )LJXUH 3HUFHQW 7KURWWOH 6WHS ,QSXW 6WHHULQJ 0RGHO 7KH PRGHO IRU WKH VWHHULQJ ZKHHO ZDV GHYHORSHG LQ D VLPLODU PDQQHU DV WKH WKURWWOH 'DWD ZDV WDNHQ RI WKH VWHHULQJ ZKHHOfV UHVSRQVH WR YDULRXV FRPPDQGHG VWHS LQSXWV $JDLQ ZLWK WKLV GDWD LW ZDV GHWHUPLQHG LQLWLDOO\ WKDW D ILUVWRUGHU PRGHO ZRXOG EH

PAGE 97

VXIILFLHQW ZLWK D OLPLW RQ WKH VWHHULQJ ZKHHOfV YHORFLW\ %XW D OLPLW RQ WKH VWHHULQJ ZKHHOfV DFFHOHUDWLRQ ZDV UHTXLUHG DOVR LQ RUGHU IRU WKH PRGHO WR EH PRUH DFFXUDWH %RWK RI WKHVH VDWXUDWLRQ SRLQWV RI WKH VWHHULQJ ZKHHOfV YHORFLW\ DQG DFFHOHUDWLRQ ZHUH GHWHUPLQHG H[SHULPHQWDOO\ 6RPH RI WKH UHVXOWV RI WKLV PRGHO FRPSDUHG WR WKH DFWXDO GDWD DUH JLYHQ LQ )LJXUHV DQG )LJXUH 3HUFHQW 7KURWWOH 6WHS ,QSXW )LJXUH 3HUFHQW 6WHHULQJ 6WHS ,QSXW

PAGE 98

)LJXUH 3HUFHQW 6WHHULQJ 6WHS ,QSXW 6LPXODWLRQ 5HVXOWV 7KUHH GLIIHUHQW SDWKV DUH XVHG WR WHVW WKH QHZ JHRPHWULF SDWKWUDFNLQJ DOJRULWKP $ f8f VKDSH SDWK LV XVHG WR WHVW JRLQJ IURP D VWUDLJKW VHFWLRQ LQWR D FXUYH DQG IURP D FXUYH EDFN LQWR D VWUDLJKW VHFWLRQ $ ILJXUH HLJKW SDWK LV XVHG WR WHVW JRLQJ IURP D ULJKW FXUYH LQWR D OHIW FXUYH DQG IURP D OHIW FXUYH LQWR D ULJKW FXUYH $QG ILQDOO\ D VWUDLJKW SDWK ZLWK D MRJ LQ WKH PLGGOH LV XVHG WR WHVW MXPSLQJ IURP D VPDOO HUURU LQ SRVLWLRQ DQG RULHQWDWLRQ WR ODUJH HUURUV )RU FRPSDULVRQ IROORZWKHFDUURW DQG SXUH SXUVXLW SDWKn WUDFNLQJ PHWKRGV DUH LPSOHPHQWHG DQG WHVWHG XVLQJ WKH VDPH SDWKV LQ VLPXODWLRQ ,Q RUGHU WR IRFXV RQ HDFK SDWKWUDFNLQJ WHFKQLTXHfV VHQVLWLYLW\ WR WKH ORRNDKHDG GLVWDQFH DW YDULRXV VSHHGV WKH FRQVWDQW N IRU YHFWRU SXUVXLW PHWKRGV DQG ZDV FKRVHQ ILUVW WKURXJK VRPH LQLWLDO H[SHULPHQWV 7KH FRQVWDQW ZDV FKRVHQ WR EH DQG IRU PHWKRGV DQG UHVSHFWLYHO\ 2Q DFFRXQW RI WKH ODUJH QXPEHU RI WHVWV WKH UHVXOWV DUH VKRZQ JUDSKLFDOO\ LQ $SSHQGL[ % 7KH ILUVW WHVWV VKRZQ LQ )LJXUHV %O WKURXJK % DUH D f8f VKDSH SDWK ZLWK D WUDFNLQJ VSHHG RI PSV DQG D ORRNDKHDG GLVWDQFH RI PHWHUV (DFK PHWKRG ZDV

PAGE 99

FDSDEOH RI QDYLJDWLQJ WKLV SDWK ZLWK UHODWLYHO\ VPDOO SRVLWLRQ DQG KHDGLQJ HUURUV 1H[W XVLQJ WKH VDPH SDWK WKH ORRNDKHDG GLVWDQFH ZDV LQFUHDVHG WR PHWHUV DQG WKH WUDFNLQJ VSHHG ZDV LQFUHDVHG WR PSV IRU WKH WHVWV VKRZQ LQ )LJXUH % WKURXJK % $JDLQ HDFK PHWKRG QDYLJDWHG WKH SDWK ZLWK VPDOO SRVLWLRQ DQG KHDGLQJ HUURUV 7KH ODVW JURXS RI WHVWV XVLQJ WKH f8f VKDSH SDWK LV VKRZQ LQ )LJXUHV % WKURXJK % 7KH WUDFNLQJ VSHHG IRU WKHVH WHVWV ZDV LQFUHDVHG WR PSV DQG WKH ORRNDKHDG GLVWDQFH ZDV LQFUHDVHG WR PHWHUV )ROORZWKHFDUURW SDWKWUDFNLQJ PHWKRG ZDV XQDEOH WR H[HFXWH WKLV SDWK ZLWKRXW ODUJH RVFLOODWLRQV FRPLQJ RXW RI WKH FXUYHG VHFWLRQ 7KH RWKHU SDWKWUDFNLQJ WHFKQLTXHV SXUH SXUVXLW DQG YHFWRU SXUVXLW PHWKRGV DQG ZHUH DEOH WR H[HFXWH WKH SDWK ZLWK VPDOO SRVLWLRQ DQG KHDGLQJ HUURUV 7KH QH[W SDWK XVHG WR WHVW WKH GLIIHUHQW SDWKWUDFNLQJ WHFKQLTXHV LV D ILJXUH HLJKW SDWK -XVW DV EHIRUH WKH WUDFNLQJ VSHHG DQG WKH ORRNDKHDG GLVWDQFH ZHUH YDULHG )LJXUHV % WKURXJK % VKRZ WKH UHVXOWV RI WKH SDWKWUDFNLQJ WHFKQLTXHV ZLWK D WUDFNLQJ VSHHG RI PSV DQG D ORRNDKHDG GLVWDQFH RI PHWHUV (DFK WHFKQLTXH ZDV DEOH WR QDYLJDWH WKH SDWK ZLWK VPDOO SRVLWLRQ DQG KHDGLQJ HUURUV 1H[W LQ )LJXUHV % WKURXJK % WKH WUDFNLQJ VSHHG ZDV LQFUHDVHG WR PSV DQG WKH ORRNDKHDG GLVWDQFH ZDV LQFUHDVHG WR PHWHUV $JDLQ DOO SDWKWUDFNLQJ WHFKQLTXHV WHVWHG ZHUH DEOH WR QDYLJDWH WKH SDWK ZLWK UHODWLYHO\ VPDOO SRVLWLRQ DQG KHDGLQJ HUURUV )LJXUHV % WKURXJK % VKRZ WKH UHVXOWV RI LQFUHDVLQJ WKH WUDFNLQJ VSHHG WR PSV DQG WKH ORRNDKHDG GLVWDQFH WR PHWHUV -XVW DV IRU WKH f8f VKDSH SDWK DW PSV WKH IROORZWKHFDUURW PHWKRG LV QR ORQJHU DEOH WUDFN WKH SDWK ZLWKRXW ODUJH RVFLOODWLRQV ZKLOH WKH UHPDLQLQJ WHFKQLTXHV ZHUH DEOH WR QDYLJDWH WKH ILJXUH HLJKW SDWK ZLWK VPDOO SRVLWLRQ DQG KHDGLQJ HUURUV

PAGE 100

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

PAGE 101

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fV VHQVLWLYLW\ WR WKH ORRNDKHDG GLVWDQFH 7KH UHVXOWV RI YHFWRU SXUVXLW SDWK WUDFNLQJ RQ WKH 179 DUH FRPSDUHG DJDLQ WR IROORZWKHFDUURW DQG SXUH SXUVXLW SDWKWUDFNLQJ WHFKQLTXHV ZKLFK ZHUH LPSOHPHQWHG RQ WKH 179 %HFDXVH RI WKH ODUJH QXPEHU SORWV RI WKH SODQQHG SDWK DQG RI WKH DFWXDO SDWK PHDVXUHG IURP WKH SRVLWLRQ V\VWHP IRU WKHVH WHVWV DUH VKRZQ LQ $SSHQGL[ & 7KH SDWK XVHG ILUVW IRU WHVWLQJ WKH SDWKWUDFNLQJ WHFKQLTXHV LV D f8f VKDSH SDWK ZLWK PHWHU VWUDLJKW VHFWLRQV DQG D PHWHU WXUQLQJ UDGLXV RQ WKH FXUYHG VHFWLRQ (DFK

PAGE 102

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f8f 6KDSH 3DWK DW PSV )LJXUH $QDO\VLV RI 3RVLWLRQ DQG +HDGLQJ (UURUV RI 3XUH 3XUVXLW 3DWK 7UDFNLQJ RI D f8f 6KDSH 3DWK DW PSV

PAGE 103

)LJXUH $QDO\VLV RI 3RVLWLRQ DQG +HDGLQJ (UURUV RI 9HFWRU 3XUVXLW 0HWKRG f 3DWK 7UDFNLQJ RI D f8f 6KDSH 3DWK DW PSV 6LPLODU UHVXOWV DUH REWDLQHG ZKHUH WKH WUDFNLQJ VSHHG LV LQFUHDVHG WR PSV DQG PSV :LWK D WUDFNLQJ VSHHG RI PSV 6HH )LJXUHV & WKURXJK &f WKH ORRNDKHDG GLVWDQFH PXVW EH JUHDWHU WKDQ PHWHUV IRU IROORZWKHFDUURW DQG JUHDWHU WKDQ PHWHUV IRU SXUH SXUVXLW 9HFWRU SXUVXLW PHWKRG REWDLQHG JRRG UHVXOWV RYHU WKH HQWLUH UDQJH WHVWHG )LQDOO\ IRU D WUDFNLQJ VSHHG RI PSV 6HH )LJXUHV & WKURXJK &f IROORZWKHFDUURW UHTXLUHG D ORRNDKHDG GLVWDQFH JUHDWHU WKDQ PHWHUV DQG SXUH SXUVXLW UHTXLUHG D ORRNn DKHDG GLVWDQFH JUHDWHU WKDQ PHWHUV 9HFWRU SXUVXLW PHWKRG DJDLQ JDYH JRRG UHVXOWV RYHU WKH HQWLUH UDQJH RI ORRNDKHDG GLVWDQFHV WHVWHG )LJXUHV WKURXJK VXPPDUL]H WKH UHVXOWV REWDLQHG IRU WKH f8f VKDSH SDWK E\ ORRNLQJ DW WKH VWDQGDUG GHYLDWLRQ RI WKH SRVLWLRQ DQG KHDGLQJ HUURUV 7KH QH[W SDWK XVHG IRU WHVWLQJ WKH SDWKWUDFNLQJ WHFKQLTXHV LV D ILJXUH HLJKW SDWK ZLWK D PHWHU WXUQLQJ UDGLXV RQ HDFK FXUYHG VHFWLRQ $JDLQ HDFK WHFKQLTXH ZDV UHTXLUHG WR WUDFN WKLV SDWK DW VSHHGV RI PSV PSV DQG PSV 6LPLODUO\ WKH ORRNn DKHDG GLVWDQFH ZDV YDULHG IRU GLIIHUHQW UXQV LQ RUGHU WR DSSUR[LPDWH WKH VHQVLWLYLW\ RI HDFK SDWKWUDFNLQJ WHFKQLTXH RQ WKH ORRNDKHDG GLVWDQFH

PAGE 104

)LJXUH 6WDQGDUG 'HYLDWLRQ RI 3RVLWLRQ DQG +HDGLQJ (UURUV RI D f8f VKDSH SDWK DW PSV Ef )LJXUH 6WDQGDUG 'HYLDWLRQ RI 3RVLWLRQ DQG +HDGLQJ (UURUV RI D f8f VKDSH SDWK DW PSV Ef )LJXUH 6WDQGDUG 'HYLDWLRQ RI 3RVLWLRQ DQG +HDGLQJ (UURUV RI D f8f VKDSH SDWK DW PSV

PAGE 105

5HVXOWV RI WKHVH WHVWV IRU D PSV WUDFNLQJ VSHHG DUH VKRZQ LQ )LJXUHV & WKURXJK & DQG )LJXUHV WKURXJK -XVW DV ZLWK WKH f8f VKDSH SDWK WKH ORRNn DKHDG GLVWDQFH PXVW EH JUHDWHU WKDQ PHWHUV IRU IROORZWKHFDUURW DQG JUHDWHU WKDQ PHWHUV IRU SXUH SXUVXLW WR REWDLQ JRRG UHVXOWV 9HFWRU SXUVXLW DJDLQ DFKLHYHV JRRG UHVXOWV RYHU WKH HQWLUH UDQJH RI ORRNDKHDG GLVWDQFHV WHVWHG )LJXUH $QDO\VLV RI 3RVLWLRQ DQG +HDGLQJ (UURUV RI )ROORZ WKH &DUURW 3DWK 7UDFNLQJ RI D )LJXUH (LJKW SDWK DW PSV )LJXUH $QDO\VLV RI 3RVLWLRQ DQG +HDGLQJ (UURUV RI 3XUH 3XUVXLW 3DWK 7UDFNLQJ RI D )LJXUH (LJKW 3DWK DW PSV

PAGE 106

)LJXUH $QDO\VLV RI 3RVLWLRQ DQG +HDGLQJ (UURUV RI 9HFWRU 3XUVXLW 0HWKRG f 3DWK 7UDFNLQJ RI D f8f 6KDSH 3DWK DW PSV $V H[SHFWHG VLPLODU UHVXOWV DUH REWDLQHG IRU WKH ILJXUH HLJKW SDWK DV IRU WKH f8f VKDSH SDWK ZKHUH WKH WUDFNLQJ VSHHG LV LQFUHDVHG WR PSV DQG PSV :LWK D WUDFNLQJ VSHHG RI PSV 6HH )LJXUHV & WKURXJK &f WKH ORRNDKHDG GLVWDQFH PXVW EH JUHDWHU WKDQ PHWHUV IRU IROORZWKHFDUURW DQG JUHDWHU WKDQ PHWHUV IRU SXUH SXUVXLW 9HFWRU SXUVXLW PHWKRG REWDLQHG JRRG UHVXOWV RYHU WKH HQWLUH UDQJH WHVWHG )LQDOO\ IRU D WUDFNLQJ VSHHG RI PSV 6HH )LJXUHV & WKURXJK &f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

PAGE 107

)LJXUH 6WDQGDUG 'HYLDWLRQ RI 3RVLWLRQ DQG +HDGLQJ (UURUV RI D )LJXUH (LJKW 3DWK DW PSV )LJXUH 6WDQGDUG 'HYLDWLRQ RI 3RVLWLRQ DQG +HDGLQJ (UURUV RI D )LJXUH (LJKW 3DWK DW PSV : )LJXUH 6WDQGDUG 'HYLDWLRQ RI 3RVLWLRQ DQG +HDGLQJ (UURUV RI D )LJXUH (LJKW 3DWK DW PSV

PAGE 108

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f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

PAGE 109

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f8f VKDSH DQG D ILJXUH HLJKW SDWK DUH XVHG IRU WHVWLQJ )LJXUHV &O WKURXJK &O JLYH WKH UHVXOWV RI WKH f8f VKDSH SDWK DW PSV PSV DQG PSV UHVSHFWLYHO\ $QG ILJXUHV &O WKURXJK &O JLYH WKH UHVXOWV RI WKH ILJXUH HLJKW SDWK DW PSV PSV DQG PSV UHVSHFWLYHO\ 6LPLODU UHVXOWV ZHUH REWDLQHG JRLQJ EDFNZDUGV DV ZHUH REWDLQHG JRLQJ IRUZDUG

PAGE 110

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f8f VKDSHG SDWK ZKHUH WKH FXUYHG VHFWLRQ KDV D WXUQLQJ UDGLXV RI DSSUR[LPDWHO\ PHWHUV 7HVW UHVXOWV IRU WKLV SDWK KDG DQ DYHUDJH HUURU RI FP DQG D PD[LPXP HUURU RI FP 7KH WRWDO WLPH UHTXLUHG WR LPSOHPHQW YHFWRU SXUVXLW DQG WKH WZR )50/& FRQWUROOHUV RQ WKH .$ ZDV OHVV WKDQ D GD\ 7KH 0&8 ZDV WKH RQO\ PRGXOH WKDW ZDV XSGDWHG VLQFH WKH &\EHUPRWLRQ .$ ZDV RSHUDWLQJ DOUHDG\ XQGHU WKH 0$; DUFKLWHFWXUH 7KLV ZDV DFFRPSOLVKHG E\ VLPSO\ FRS\LQJ WKH VRXUFH FRGH RQ WKH 179fV 0&8 WR WKH .$fV 0&8 $ VKRUW DPRXQW RI WLPH ZDV XVHG WR DGMXVW WKH ORRNDKHDG GLVWDQFH DQG FRQVWDQW N WXQLQJ SDUDPHWHUV $ f8f VKDSH SDWK DQG D ILJXUH HLJKW SDWK ZHUH XVHG WR WHVW WKH QDYLJDWLRQ ZLWK D ORRNDKHDG GLVWDQFH RI PHWHUV DQG WKH FRQVWDQW N ZDV VHW WR 7KH SODQQHG SDWK DQG WKH DFWXDO SDWK PHDVXUHG E\ WKH SRVLWLRQ V\VWHP RI WKHVH WZR WHVWV DUH VKRZQ LQ )LJXUHV DQG )RU WKH f8f VKDSH WHVW SDWK WKH DYHUDJH HUURU ZDV FP ZLWK D VWDQGDUG GHYLDWLRQ RI FP DQG D PD[LPXP PDJQLWXGH RI HUURU RI FP )RU WKH ILJXUH HLJKW SDWK WKH DYHUDJH HUURU ZDV FP ZLWK D FP VWDQGDUG GHYLDWLRQ DQG D PD[LPXP PDJQLWXGH RI HUURU RI FP

PAGE 111

(DVW PHWHUVf )LJXUH .$ )LJXUH (LJKW 7HVW 3DWK

PAGE 112

$OOSXUSRVH 5HPRWH 7UDQVSRUW 6\VWHP $576nf ,PSOHPHQWDWLRQ 5HVXOWV $576 LV D WUDFNHG YHKLFOH WKDW LV FRQWUROOHG E\ PDQLSXODWLQJ WKH WKURWWOH LQ DGGLWLRQ WR WKH OHIW DQG ULJKW WUDFN VSHHGV 7KH 9&8 RQ $576 ZDV GHYHORSHG E\ $5$ WR FRQYHUW ZUHQFK FRPPDQGV WR WKURWWOH SRVLWLRQV DQG OHIW DQG ULJKW WUDFN VSHHGV 7KH WLPH UHTXLUHG WR LPSOHPHQW WKH YHFWRU SXUVXLW SDWK WUDFNLQJ DQG WKH )50/& FRQWUROOHUV ZDV OHVV WKDQ D GD\ 7KH YHFWRU SXUVXLW FRQVWDQW N ZDV VHW WR DQG WKH ORRNDKHDG GLVWDQFH ZDV VHW WR PHWHUV IRU D YHORFLW\ RI PHWHUV SHU VHFRQG $ f8f VKDSH SDWK ZKLFK KDV PHWHU VWUDLJKW VHJPHQWV DQG PHWHU WXUQLQJ UDGLXV IRU WKH FXUYHG VHFWLRQ DQG D ILJXUH HLJKW SDWK ZKLFK KDV PHWHU WXUQLQJ UDGLXV DUH XVHG DV WHVW SDWKV 3ORWV RI WKH SODQQHG SDWK DQG WKH DFWXDO SDWK PHDVXUHG E\ WKH SRVLWLRQ V\VWHP DUH JLYHQ LQ )LJXUHV DQG 7KH DYHUDJH HUURU IRU WKH f8f VKDSH SDWK ZDV FP ZLWK D VWDQGDUG GHYLDWLRQ RI FP DQG D PD[LPXP PDJQLWXGH RI FP 7KH DYHUDJH HUURU IRU WKH ILJXUH HLJKW SDWK ZDV FP ZLWK D VWDQGDUG GHYLDWLRQ RI FP DQG D PD[LPXP PDJQLWXGH RI FP 7KHVH UHVXOWV ZHUH DFFRPSOLVKHG ZLWKRXW DQ\ WLPH XVHG IRU WXQLQJ

PAGE 113

(DVW PHWHUVf )LJXUH $576 f8f 6KDSH 7HVW 3DWK (DVW PHWHUVf )LJXUH $576 )LJXUH (LJKW 7HVW 3DWK

PAGE 114

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f ZDV LPSOHPHQWHG WR WUDFN WKH GHVLUHG YHKLFOH WXUQLQJ UDWH 7KLV FRQWUROOHU ZDV GHVLJQHG IURP SDUDPHWHUV RI NQRZQ YHKLFOH FKDUDFWHULVWLFV VXFK DV WKH PD[LPXP WXUQLQJ UDWH DQG WKH PD[LPXP VSHHG $VVXPLQJ WKDW WKH XVHU ZRXOG VHW WKH GHVLUHG WUDFNLQJ VSHHG D VHFRQG )50/& ZDV LPSOHPHQWHG WR WUDFN WKLV GHVLUHG VSHHG $JDLQ WKLV FRQWUROOHU ZDV GHVLJQHG IURP

PAGE 115

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f ZKLFK ZDV GHVLJQHG DQG EXLOW E\ WKH &HQWHU IRU ,QWHOOLJHQW 0DFKLQHV DQG 5RERWLFV &,0$5f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

PAGE 116

WKDW KDV D MRJ LQ WKH PLGGOH ,W LV SUHVXPHG WKDW WKH UHDVRQ IRU WKH RVFLOODWLRQV LV WKDW WKH YHKLFOH FRQVWUDLQWV ZHUH LJQRUHG LQLWLDOO\ :LWK WKDW LQ PLQG LW ZRXOG EH LQWHUHVWLQJ WR WHVW WKLV PHWKRG RQ D YHKLFOH WKDW GRHV QRW KDYH WKHVH FRQVWUDLQWV $QRWKHU DUHD RI SRVVLEOH ZRUN LV LQ GHWHUPLQLQJ WKH WZR WXQLQJ SDUDPHWHUV RI YHFWRU SXUVXLW WKH ORRNDKHDG GLVWDQFH / DQG WKH FRQVWDQW N 7KHUH DUH RSWLPL]DWLRQ WHFKQLTXHV WKDW FRXOG EH XVHG WR GR WKLV VXFK DV WKH JROGHQ VHFWLRQ VHDUFK RSWLPL]DWLRQ WHFKQLTXH )LQDOO\ D ODVW DUHD RI SRVVLEOH ZRUN PHQWLRQHG KHUH LV LQ WKH DUHD RI KLJK VSHHG SDWK WUDFNLQJ 7KH QHZ SDWKWUDFNLQJ WHFKQLTXH WHVWHG VXFFHVVIXOO\ RQ YHKLFOHV WKDW FDQ RQO\ RSHUDWH DW VSHHGV RI PLOHV SHU KRXU RU OHVV %HFDXVH RI YHFWRU SXUVXLWfV DELOLW\ WR LQIOXHQFH KRZ IDVW WKH YHKLFOH FRQYHUJHV WR WKH GHVLUHG SDWK WKLV WHFKQLTXH FRXOG SRVVLEO\ EH XVHG RQ YHKLFOHV WUDYHOLQJ DW KLJKHU VSHHGV

PAGE 117

$33(1',; $ 0$; ,17(5)$&( 63(&,),&$7,21 )25 810$11(' 9(+,&/(6 'HYHORSHG E\ WKH &HQWHU IRU ,QWHOOLJHQW 0DFKLQHV DQG 5RERWLFV DW WKH 8QLYHUVLW\ RI )ORULGD XQGHU WKH VSRQVRUVKLS RI WKH $LU )RUFH 5HVHDUFK /DERUDWRU\ 7\QGDOO $LU )RUFH %DVH )ORULGD

PAGE 118

,OO ,QWURGXFWLRQ 6WDQGDUGL]HG 0HVVDJH )RUPDW $6&,,f 9HKLFOH &RQWURO 8QLW 9&8f $6&,,f 9&8 6WDUW 5HSRUW 9&8 6WRS 5HSRUW 9&8 6KXWGRZQ 9&8 5HLQLWLDOL]H 9&8 6WDQGE\ 9&8 5HTXHVW &RQILJXUDWLRQ 9&8 5HTXHVW 6WDWXV 9&8 3URSXOVLYH :UHQFK 9&8 5HVLVWLYH :UHQFK 9&8 5HSRUW 9&8 &RQILJXUDWLRQ 5HSRUW 9&8 6WDWXV 5HSRUW 3RVLWLRQ 6\VWHPV 326f $6&,,f 326 6WDUW 5HSRUW 326 6WRS 5HSRUW 326 6KXWGRZQ 326 5HLQLWLDOL]H 326 6WDQGE\ 326 6HW &RQILJXUDWLRQ 326 5HTXHVW &RQILJXUDWLRQ 326 5HTXHVW 6WDWXV 326 5HSRUW 326 &RQILJXUDWLRQ 5HSRUW 326 6WDWXV 5HSRUW 0RELOLW\ &RQWURO 8QLW 0&8f $6&,,f 0&8 6WDUW 5HSRUW 0&8 6WRS 5HSRUW 0&8 6KXWGRZQ 0&8 5HLQLWLDOL]H 0&8 6WDQGE\ 0&8 6HW &RQILJXUDWLRQ

PAGE 119

0&8 5HTXHVW &RQILJXUDWLRQ 0&8 5HTXHVW 6WDWXV 0&8 ([HFXWH 3DWK 0&8 3DXVH 0&8 &RQWLQXH 0&8 6HW 0RGH 0&8 5HSRUW 0&8 &RQILJXUDWLRQ 5HSRUW 0&8 6WDWXV 5HSRUW 'HWHFWLRQ 0DSSLQJ 6\VWHPV '06f $6&,,f '06 6WDUW 5HSRUW '06 6WRS 5HSRUW '06 6KXWGRZQ '06 5HLQLWLDOL]H '06 6WDQGE\ '06 6HW &RQILJXUDWLRQ '06 5HTXHVW &RQILJXUDWLRQ '06 5HTXHVW 6WDWXV '06 5HSRUW '06 &RQILJXUDWLRQ 5HSRUW '06 6WDWXV 5HSRUW 3DWK 3ODQQHU 3/1f $6&,,f 3/1 6KXWGRZQ 3/1 5HLQLWLDOL]H 3/1 6WDQGE\ 3/1 6HW &RQILJXUDWLRQ 3/1 5HTXHVW &RQILJXUDWLRQ 3/1 5HTXHVW 6WDWXV 3/1 5HTXHVW 3DWK 3/1 3DWK 5HSRUW 3/1 &RQILJXUDWLRQ 5HSRUW 3/1 6WDWXV 5HSRUW

PAGE 120

,QWURGXFWLRQ 7KH &HQWHU IRU ,QWHOOLJHQW 0DFKLQHV DQG 5RERWLFV &,0$5f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f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f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

PAGE 121

)LJXUH $ $UFKLWHFWXUH 2YHUYLHZ 0RELOLW\ &RQWURO 8QLW 9HKLFOH &RQWURO 8QLW 'HWHFWLRQ t 0DSSLQJ 6\VWHP 3DWK 3ODQQHU 3RVLWLRQ 6\VWHP )LJXUH $ 'HWDLO RI 0RELOLW\

PAGE 122

6WDQGDUGL]HG 0HVVDJH )RUPDW $6&,,f 7KLV VHFWLRQ SUHVHQWV WKH VWDQGDUGL]HG PHVVDJH IRUPDW LQFOXGLQJ WKH KHDGHU DQG HQG RI PHVVDJH WKDW ZLOO DFFRPSDQ\ HYHU\ PHVVDJH $OO PHVVDJHV VHQW WR RU UHFHLYHG IURP DQ\ RI WKH 0$; DUFKLWHFWXUH PRGXOHV ZLOO FRQIRUP WR WKLV IRUPDW +HDGHU VHFWLRQ )LHOG 1DPH 'HVFULSWLRQ ([DPSOH 6WDUW RI 7H[W FKDU[f QRW SULQWDEOH $6&,, [ 0HVVDJH ,' 'HVWLQDWLRQ 326 6RXUFH 6HW E\ WKH KRVW V\VWHP 0&8 2&8f 0&8 9HKLFOH 08/ 'DWD 6WDWXV 6WDWXV RI GDWD IXOO VWDUW FRQWLQXH HQGf 'DWD 6L]H 1XPEHU RI E\WHV LQ GDWD GHFLPDOf ([FOXGH WKH OHDGLQJ t WUDLOLQJ 'DWD 6HFWLRQ )LHOG 1DPH 'HVFULSWLRQ ([DPSOH 6RPH 'DWD (QG RI 0HVVDJH 6HFWLRQ )LHOG 1DPH 'HVFULSWLRQ ([DPSOH &KHFNVXP ELW XQVLJQHG VXP ,QFOXGH HYHU\WKLQJ EXW [t [ "" (QG RI 7H[W FKDU[f [ 1RWH $OO PHVVDJHV DUH FRPPD GHOLPLWHG DV VKRZQ LQ WKH H[DPSOH EHORZ 1RWH 'DWD ILHOGV WKDW DUH QRW XVHG FDQ EH UHSUHVHQWHG ZLWK MXVW D FRPPD QR UHTXLUHGf 1RWH )LHOG QDPHV VXFK DV GHVWLQDWLRQ DQG YHKLFOH DUH 127 FDVH VHQVLWLYH 1RWH 7KHUH FDQ EH 12 ZKLWH VSDFHV LQ D ILHOG ([DPSOH $08/ LV QRW DOORZHGf 6DPSOH 0HVVDJH >[@3260&808/f"">[@

PAGE 123

6WDUW RI WH[W 7KH VWDUW RI WH[W ZLOO EH PDUNHG E\ WKH E\WH [ 0HVVDJH ,GHQWLILFDWLRQ ,'f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f 7KH PHVVDJH VHQW FRQWDLQV D IXOO GDWD VHW 67$57 '$7$ f 7KH PHVVDJH LV ORQJHU WKDQ WKH PD[LPXP DQG LV WKHUHIRUH EURNHQ LQWR VPDOOHU SDFNHWV 7KLV VLJQLILHV WKH VWDUW RI WKH SDFNHWV &217,18('$7$ f 7KLV VLJQLILHV WKH FRQWLQXDWLRQ RI WKH GDWD (1' '$7$ f 7KLV VLJQLILHV WKH ODVW GDWD SDFNHW RI WKH PHVVDJH 'DWD 6L]H 'DWD 6L]H JLYHV WKH VL]H LQ E\WHV RI WKH GDWD 'DWD 7KH GDWD FRQWHQW DQG IRUPDW LV VSHFLILHG LQ HDFK 0$; PRGXOHV LQWHUIDFH GRFXPHQW &KHFNVXP &KHFNVXP LV WKH ELW XQVLJQHG VXP RI DOO E\WHV FRPSULVLQJ WKH PHVVDJH SDFNHW QRW LQFOXGLQJ WKH VWDUW RI WH[W DQG WKH HQG RI WH[W ,QFOXGHV WKH FRPPD SULRU WR WKH FKHFNVXP 7KH FKHFNVXP LV DOVR UHSUHVHQWHG LQ $6&,, E\WHVf (QG RI 7H[W 7KH HQG RI WH[W ZLOO EH WKH E\WH [ 1RWHV ,Q WKH GDWD ILHOG VHQGLQJ RQO\ WKH FRPPD ZKHUH GDWD LV QRW DYDLODEOH LV DOORZHG ([ f $OO ILHOGV LQ WKH KHDGHU PXVW EH ILOOHG

PAGE 124

6WDQGDUG 0HVVDJHV ,Q DQ DWWHPSW WR PDNH WKH LQWHUIDFHV EHWZHHQ DOO RI WKH PRGXOHV JHQHULF DQG WR SHUIRUP PRUH DOLNH ZH KDYH GHYHORSHG WKH OLVW RI EDVHOLQH PHVVDJHV VKRZQ EHORZ 7KHVH EDVHn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fV V\VWHP GRFXPHQWDWLRQ ,Q WKLV ZD\ \RX FDQ DOZD\V LQWHUFKDQJH SRVLWLRQ V\VWHPV IRU H[DPSOH DQG VWLOO KDYH DOO RI WKH FRUH PHVVDJLQJ UHTXLUHG IRU FRPPXQLFDWLRQ ZLWK LW
PAGE 125

LQ D ULJKWKDQGHG VHQVH DERXW WKH ]D[LV DV VKRZQ LQ Ef 6XEVHTXHQWO\ WKH YHKLFOH LV URWDWHG E\ DQ DQJOH \ DERXW WKH PRGLILHG \D[LV DV VKRZQ LQ Ff IROORZHG E\ D URWDWLRQ RI ; DERXW WKH PRGLILHG [D[LV DV VKRZQ LQ Gf )LJXUH $ 'HILQLWLRQ RI 2ULHQWDWLRQ

PAGE 126

9HKLFOH &RQWURO 8QLW 9&8f $6&,, 9HUVLRQ 7KLV VHFWLRQ SUHVHQWV WKH PHVVDJHV WKDW PD\ EH VHQW WR WKH 9HKLFOH &RQWURO 8QLW 9&8f DQG WKH PHVVDJHV WKDW ZLOO EH UHWXUQHG (YHU\ PHVVDJH ZLOO EH FRPSRVHG RI D KHDGHU VHFWLRQ D GDWD VHFWLRQ DQG DQ HQG RI PHVVDJH VHFWLRQ 7KH GDWD VHFWLRQ RI HDFK PHVVDJH LV GHILQHG KHUH 6HH WKH VWDQGDUGL]HG PHVVDJH IRUPDW GRFXPHQWDWLRQ VHFWLRQ f IRU WKH KHDGHU DQG HQG RI PHVVDJH IRUPDWV 1RWH 6HH VSHFLILF PRGXOH GRFXPHQWDWLRQ IRU DGGLWLRQDO V\VWHP VSHFLILF QRQ UHTXLUHGf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

PAGE 127

9&8 6WDUW 5HSRUW ,QSXW 0HVVDJH 7KH 9&8 6WDUW 5HSRUW PHVVDJH FDXVHV WKH V\VWHP WR VWDUW RXWSXWWLQJ WKH 9&8 5HSRUW PHVVDJH 7KH RXWSXW UDWH LV VSHFLILHG E\ WKH SDUDPHWHU UDWH ZKLFK LV FRQWDLQHG LQ WKLV PHVVDJH ,I WKH UDWH LV VHW WR ]HUR WKHQ RQO\ RQH PHVVDJH LV UHWXUQHG 7KLV LV HTXLYDOHQW WR D SROOHG PRGH +HDGHU VHFWLRQ )LHOG 1DPH 'HVFULSWLRQ ([DPSOH 0HVVDJH ,' 'HVWLQDWLRQ 9&8 6RXUFH 6HW E\ WKH KRVW V\VWHP 0&8 2&8f 0&8 9HKLFOH 08/ 'DWD 6WDWXV 6HH VHFWLRQ 6WDQGDUGL]HG PHVVDJH IRUPDW 'DWD 6L]H 9DULDEOH VHW SULRU WR VKLSSLQJ 'DWD 6HFWLRQ )LHOG 1DPH 'HVFULSWLRQ ([DPSOH 5DWH RI XSGDWHV +] ([DPSOH 0HVVDJH >[@9&80&808/"">[@

PAGE 128

9&8 6WRS 5HSRUW ,QSXW 0HVVDJH 7KH 9&8 6WRS 5HSRUW PHVVDJH FDXVHV WKH V\VWHP WR VWRS RXWSXWWLQJ WKH 9&8 5HSRUW PHVVDJH 7KH 9&8 UHPDLQV LQ D UHDG\ LQLWLDOL]HGf VWDWH +HDGHU VHFWLRQ )LHOG 1DPH 'HVFULSWLRQ ([DPSOH 0HVVDJH ,' 'HVWLQDWLRQ 9&8 6RXUFH 6HW E\ WKH KRVW V\VWHP 0&8 2&8f 0&8 9HKLFOH 08/ 'DWD 6WDWXV 6HH VHFWLRQ 6WDQGDUGL]HG PHVVDJH IRUPDW 'DWD 6L]H 1XPEHU RI E\WHV LQ GDWD GHFLPDOf ([FOXGH WKH OHDGLQJ t WUDLOLQJ 9 'DWD 6HFWLRQ )LHOG 1DPH 'HVFULSWLRQ ([DPSOH 12 '$7$ ([DPSOH 0HVVDJH >[@9&80&808/"">[@

PAGE 129

9&8 6KXWGRZQ ,QSXW 0HVVDJH 7KH 9&8 6KXWGRZQ PHVVDJH FDXVHV WKH 9&8 WR VKXWGRZQ DOO RI LWV VXEV\VWHPV LQ WKH SURSHU IDVKLRQ $W WKLV WLPH WKH V\VWHP PD\ VDYH DQ\ ILOHV RU LQIRUPDWLRQ WKDW PD\ EH XVHG RQ WKH QH[W VWDUWXS 7KH SRZHU WR WKH PRGXOH PD\ WKHQ EH WXUQHG RII +HDGHU VHFWLRQ )LHOG 1DPH 'HVFULSWLRQ ([DPSOH 0HVVDJH ,' 'HVWLQDWLRQ 9&8 6RXUFH 6HW E\ WKH KRVW V\VWHP 0&8 2&8f 0&8 9HKLFOH 08/ 'DWD 6WDWXV 6HH VHFWLRQ 6WDQGDUGL]HG PHVVDJH IRUPDW 'DWD 6L]H 1XPEHU RI E\WHV LQ GDWD GHFLPDOf ([FOXGH WKH OHDGLQJ t WUDLOLQJ 'DWD 6HFWLRQ )LHOG 1DPH 'HVFULSWLRQ ([DPSOH 12 '$7$ ([DPSOH 0HVVDJH >[@9&82&808/"">[@

PAGE 130

9&8 5HLQLWLDOL]H ,QSXW 0HVVDJH &RPPDQGV WKH 9&8 WR UHLQLWLDOL]H HDFK VXEV\VWHP LQ WKH SURSHU VHTXHQFH WR EULQJ WKH V\VWHP XS WR D VWDWH RI UHDGLQHVV 2QFH LQLWLDOL]HG WKH 9&8 ZLOO H[HFXWH FRPPDQGV WKDW FDXVH RU UHVLVW YHKLFOH PRWLRQ 7KH 9&8 PXVW EH LQLWLDOL]HG IRU YHKLFOH PRWLRQ WR RFFXU +HDGHU VHFWLRQ )LHOG 1DPH 'HVFULSWLRQ ([DPSOH 0HVVDJH ,' 'HVWLQDWLRQ 9&8 6RXUFH 6HW E\ WKH KRVW V\VWHP 0&8 2&8f 0&8 9HKLFOH 08/ 'DWD 6WDWXV 6HH VHFWLRQ 6WDQGDUGL]HG PHVVDJH IRUPDW 'DWD 6L]H 1XPEHU RI E\WHV LQ GDWD GHFLPDOf ([FOXGH WKH OHDGLQJ t WUDLOLQJ 9 'DWD 6HFWLRQ )LHOG 1DPH 'HVFULSWLRQ ([DPSOH 12 '$7$ ([DPSOH 0HVVDJH >[@9&80&808/"">[@

PAGE 131

9&8 6WDQGE\ ,QSXW 0HVVDJH 7KH 9&8 6WDQGE\ PHVVDJH FDXVHV WKH V\VWHP WR JR LQWR D VWDQGE\ PRGH ,Q VWDQGE\ PRGH WKH V\VWHP LV DOLYH DQG UHDG\ WR EH UHLQLWLDOL]HG 1RWH $ 9&8 6KXWGRZQ VKRXOG EH JLYHQ SULRU WR WXUQLQJ V\VWHP SRZHU RII +HDGHU VHFWLRQ )LHOG 1DPH 'HVFULSWLRQ ([DPSOH 0HVVDJH ,' 'HVWLQDWLRQ 9&8 6RXUFH 6HW E\ WKH KRVW V\VWHP 0&8 2&8f 0&8 9HKLFOH 08/ 'DWD 6WDWXV 6HH VHFWLRQ 6WDQGDUGL]HG PHVVDJH IRUPDW 'DWD 6L]H 1XPEHU RI E\WHV LQ GDWD GHFLPDOf ([FOXGH WKH OHDGLQJ t WUDLOLQJ 9 'DWD 6HFWLRQ )LHOG 1DPH 'HVFULSWLRQ ([DPSOH 12 '$7$ ([DPSOH 0HVVDJH >[@9&80&808/"">[@

PAGE 132

9&8 5HTXHVW &RQILJXUDWLRQ ,QSXW 0HVVDJH 7KLV PHVVDJH LV XVHG WR UHTXHVW WKH FXUUHQW FRQILJXUDWLRQ RI WKH 9&8 6HH 9&8 &RQILJXUDWLRQ 5HSRUW IRU WKH UHVSRQVH GHILQLWLRQ +HDGHU VHFWLRQ )LHOG 1DPH 'HVFULSWLRQ ([DPSOH 0HVVDJH ,' & 'HVWLQDWLRQ 9&8 6RXUFH 6HW E\ WKH KRVW V\VWHP 0&8 2&8f 0&8 9HKLFOH 08/ 'DWD 6WDWXV 6HH VHFWLRQ 6WDQGDUGL]HG PHVVDJH IRUPDW 'DWD 6L]H 1XPEHU RI E\WHV LQ GDWD GHFLPDOf ([FOXGH WKH OHDGLQJ t WUDLOLQJ 9 'DWD 6HFWLRQ )LHOG 1DPH 'HVFULSWLRQ ([DPSOH 12 '$7$ ([DPSOH 0HVVDJH >[@&9&80&808/"" >[@

PAGE 133

9&8 5HTXHVW 6WDWXV ,QSXW 0HVVDJH 7KLV PHVVDJH LV XVHG WR UHTXHVW WKH FXUUHQW VWDWXV RI WKH 9&8 6HH 9&8 6WDWXV 5HSRUW IRU WKH UHVSRQVH GHILQLWLRQ +HDGHU VHFWLRQ )LHOG 1DPH 'HVFULSWLRQ ([DPSOH 0HVVDJH ,' ( 'HVWLQDWLRQ 9&8 6RXUFH 6HW E\ WKH KRVW V\VWHP 0&8 2&8f 0&8 9HKLFOH 08/ 'DWD 6WDWXV 6HH VHFWLRQ 6WDQGDUGL]HG PHVVDJH IRUPDW 'DWD 6L]H 1XPEHU RI E\WHV LQ GDWD GHFLPDOf ([FOXGH WKH OHDGLQJ t WUDLOLQJ 'DWD 6HFWLRQ )LHOG 1DPH 'HVFULSWLRQ ([DPSOH 12 '$7$ ([DPSOH 0HVVDJH >[@(9&80&808/"">[@

PAGE 134

9&8 3URSXOVLYH :UHQFK ,QSXW 0HVVDJH 7KH SURSXOVLYH ZUHQFK LV DSSOLHG WR WKH FHQWHU RI PDVV SRLQW RI WKH YHKLFOH DQG LV XVHG WR SURSHO WKH YHKLFOH 7KH IRUFH FRPSRQHQW RI WKH ZUHQFK DFWV WR WUDQVODWH WKH YHKLFOH ZKLOH WKH PRPHQW FRPSRQHQW DFWV WR URWDWH WKH YHKLFOH (VVHQWLDOO\ ZH DUH WHOOLQJ WKH 9&8 KRZ ZH ZDQW WR SXVK RQ WKH YHKLFOH ZKHUH WKH SHUFHQWDJH LQGLFDWHV WKH PDJQLWXGH RI WKH SXVK )RU H[DPSOH LI WKH YHKLFOH ZHUH D FDU WKHQ WKH 9&8 ZRXOG PDS D b )RUFH ; WR WKH WKURWWOH DQG WUDQVPLVVLRQ HJ b WKURWWOH DQG WUDQVPLVVLRQ LQ GULYHf DQG 0RPHQW = ZRXOG PDS WR WKH VWHHULQJ 7KH UHPDLQLQJ SDUDPHWHUV ZRXOG QRW EH XVHG +HDGHU VHFWLRQ )LHOG 1DPH 'HVFULSWLRQ ([DPSOH 0HVVDJH ,' 'HVWLQDWLRQ 9&8 6RXUFH 6HW E\ WKH KRVW V\VWHP 0&8 2&8f 0&8 9HKLFOH 08/ 'DWD 6WDWXV 6HH 6WDQGDUGL]HG PHVVDJH IRUPDW 'DWD 6L]H 9DULDEOH VHW SULRU WR VKLSSLQJ "" 'DWD 6HFWLRQ )LHOG 1DPH 'HVFULSWLRQ ([DPSOH b )RUFH ; 'HVLUHG 3XVK LQ WKH [ GLUHFWLRQ 6FDOHG IURP WR D SHUFHQWDJH RI WKH PD[LPXP IRUFHf b )RUFH < b )RUFH = b 0RPHQW ; 'HVLUHG PRPHQW DERXW WKH [ D[LV 6FDOHG IURP WR D SHUFHQWDJH RI WKH PD[LPXP PRPHQWf b 0RPHQW < b 0RPHQW = ([DPSOH 0HVVDJH >[@9&80&808/"" "">[@

PAGE 135

9&8 5HVLVWLYH :UHQFK ,QSXW 0HVVDJH 7KH UHVLVWLYH ZUHQFK LV DSSOLHG WR WKH FHQWHU RI PDVV SRLQW RI WKH YHKLFOH DQG LV XVHG WR LPSHGH YHKLFOH PRWLRQ 7KH UHVLVWLYH ZUHQFK XVHV WKH VDPH VL[ SDUDPHWHUV DV WKH SURSXOVLYH ZUHQFK )RU H[DPSOH LI WKH YHKLFOH ZHUH D FDU WKHQ D b )RUFH ; FRPPDQG ZRXOG PDS WR WKH EUDNH HJ EUDNH GHSUHVVHG bf +HDGHU VHFWLRQ )LHOG 1DPH 'HVFULSWLRQ ([DPSOH 0HVVDJH ,' 'HVWLQDWLRQ 9&8 6RXUFH 6HW E\ WKH KRVW V\VWHP 0&8 2&8f 0&8 9HKLFOH 08/ 'DWD 6WDWXV 6HH 6WDQGDUGL]HG PHVVDJH IRUPDW 'DWD 6L]H 9DULDEOH VHW SULRU WR VKLSSLQJ "" 'DWD 6HFWLRQ )LHOG 1DPH 'HVFULSWLRQ ([DPSOH b )RUFH ; 'HVLUHG UHVLVWLYH IRUFH LQ WKH [ GLUHFWLRQ 6FDOHG IURP WR D SHUFHQWDJH RI WKH PD[LPXP IRUFHf b )RUFH < b )RUFH = b 0RPHQW ; 'HVLUHG UHVLVWLYH PRPHQW DERXW WKH [ D[LV 6FDOHG IURP WR D SHUFHQWDJH RI WKH PD[LPXP PRPHQWf b 0RPHQW < b 0RPHQW = ([DPSOH 0HVVDJH >[@ 9 &80&808/"" ff"">[@

PAGE 136

9&8 5HSRUW 2XWSXW 0HVVDJH 7KH 9&8 5HSRUW PHVVDJH UHWXUQV WKH FXUUHQW VWDWH RI WKH 9&8 +HDGHU VHFWLRQ )LHOG 1DPH 'HVFULSWLRQ ([DPSOH 0HVVDJH ,' $2 'HVWLQDWLRQ 'HVWLQDWLRQ ZLOO EH VHW HTXDO WR WKH VRXUFH RI WKH 6WDUW 5SW PHVVDJH 0&8 6RXUFH 9&8 9HKLFOH 08/ 'DWD 6WDWXV 6HH VHFWLRQ 6WDQGDUGL]HG PHVVDJH IRUPDW 'DWD 6L]H 1XPEHU RI E\WHV LQ GDWD GHFLPDOf ([FOXGH WKH OHDGLQJ t WUDLOLQJ 9 'DWD 6HHO GRQ )LHOG 1DPH 'HVFULSWLRQ ([DPSOH b )RUFH ; $FWXDO b 3URSXOVLYH )RUFH ; b )RUFH < $FWXDO b 3URSXOVLYH )RUFH < b )RUFH = $FWXDO b 3URSXOVLYH )RUFH = b 2PHJD ; $FWXDO b 3URSXOVLYH 2PHJD ; b 2PHJD < $FWXDO b 3URSXOVLYH 2PHJD < b 2PHJD = $FWXDO b 3URSXOVLYH 2PHJD = b )RUFH ; $FWXDO b 5HVLVWLYH )RUFH ; b )RUFH < $FWXDO b 5HVLVWLYH )RUFH < b )RUFH = $FWXDO b 5HVLVWLYH )RUFH = b 2PHJD ; $FWXDO b 5HVLVWLYH 2PHJD ; b 2PHJD < $FWXDO b 5HVLVWLYH 2PHJD < b 2PHJD = $FWXDO b 5HVLVWLYH 2PHJD = 6WDWXV 6HH %HORZ ([DPSOH 0HVVDJH >[@ D20&89 &808/ fff"">[@ 6WDWXV %\WH 'HVFULSWLRQ 6WDWXV E\WH LV JHQHULF DQG ZLOO QRW FKDQJH IURP V\VWHP WR V\VWHP 6WDWXV E\WH LV VHW DVLGH WR EH V\VWHP VSHFLILF GHILQHG E\ WKH YDULRXV 9&8 V\VWHP PRGXOHV 0HVVDJH>VO@>V@ 6WDWXV %\WHV DQG 6WDWXV %\WH 6WDWXV %\WH %LW &RQGLWLRQ ZKHQ VHW VHWf %LW &RQGLWLRQ ZKHQ VHW O VHWf 6WDUWXS &RQWUDFWRU 5HVHUYHG %XV\ &RQWUDFWRU 5HVHUYHG

PAGE 137

6WDQGE\ &RQWUDFWRU 5HVHUYHG 5HDG\ &RQWUDFWRU 5HVHUYHG 3UREOHP &RQWUDFWRU 5HVHUYHG (UURU &RQWUDFWRU 5HVHUYHG )DLOXUH &RQWUDFWRU 5HVHUYHG 6KXWGRZQ &RQWUDFWRU 5HVHUYHG 'HVFULSWLRQ 6WDUWXS %XV\ 6WDQGE\ 5HDG\ 3UREOHP (UURU )DLOXUH ,QGLFDWHV WKH V\VWHP KDV MXVW EHHQ SRZHUHG XS ,QGLFDWHV WKH V\VWHP LV FXUUHQWO\ SURFHVVLQJ WKH ODVW FRPPDQG ,QGLFDWHV WKH IROORZLQJ VWDWHPHQWV DSSO\ 7KH V\VWHP LV UHDG\ WR EH UHLQLWLDOL]HG 7KH V\VWHP ZLOO QRW UHVSRQG WR FRPPDQGV WKDW FDXVH RU UHVLVW PRWLRQ 7KH YHKLFOH VKRXOG UHPDLQ VWDWLRQDU\ 7KH YHKLFOH DFWXDWRUV VKRXOG QRW PRYH )URP D PRELOLW\ VWDQGSRLQW WKH YHKLFOH VKRXOG EH FRQVLGHUHG VDIH ,QGLFDWHV WKDW WKH V\VWHP LV LQLWLDOL]HG DQG LV RSHUDWLRQDO ,QGLFDWHV WKDW D VHOIFRUUHFWLQJ SUREOHP KDV RFFXUUHG DQG WKH SUREOHP LV EHLQJ FRUUHFWHG LQWHUQDOO\ 7KLV SUREOHP UHTXLUHV QR LQSXW IURP WKH KRVW ,QGLFDWHV WKDW D SUREOHP KDV RFFXUUHG WKDW WKH V\VWHP FRXOG QRW UHVROYH $Q HUURU UHTXLUHV WKH LQWHUYHQWLRQ RI WKH KRVW WR EH UHVROYHG ,QGLFDWHV WKDW WKH V\VWHP KDV IDLOHG DQG ZLOO QRW UHFRYHU

PAGE 138

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f 9HKLFOH :LGWK :LGWK RI WKH YHKLFOH 0HWHUVf 9HKLFOH +HLJKW +HLJKW RI WKH YHKLFOH 0HWHUVf 7XUQLQJ UDGLXV 9HKLFOHV PLQLPXP WXUQLQJ UDGLXV 0HWHUVf 1RWH ,I WKH YHKLFOH LV RPQLGLUHFWLRQDO WKHQ WKLV YDULDEOH VKRXOG EH VHW WR ]HUR 0D[ VSHHG ; 0HWHUVVHF 0D[ 6SHHG < 0HWHUVVHF 0D[ 6SHHG = 0HWHUVVHF 0D[ VSHHG ; 0HWHUVVHF 0D[ 6SHHG < 0HWHUVVHF 0D[ 6SHHG = 0HWHUVVHF 0D[ 2PHJD ; UDGVHF 0D[ 2PHJD < UDGVHF 0D[ 2PHJD = UDGVHF 0D[ 7KHWD ; 3RLQW RI VWDWLF UROO RYHU 0D[ 7KHWD < 3RLQW RI VWDWLF SLWFK RYHU ([DPSOH 0HVVDJH >[@$0&89&808/""9&8 6\VWHP 3& "" fff"">[@

PAGE 139

9&8 6WDWXV 5HSRUW 2XWSXW 0HVVDJH 3URYLGHV WKH KRVW ZLWK WKH V\VWHP VWDWXV LQIRUPDWLRQ +HDGHU VHFWLRQ )LHOG 1DPH 'HVFULSWLRQ ([DPSOH 0HVVDJH ,' $ 'HVWLQDWLRQ 'HVWLQDWLRQ ZLOO EH VHW HTXDO WR WKH VRXUFH RI WKH 6WDUW 5SW PHVVDJH 0&8 6RXUFH 9&8 9HKLFOH 08/ 'DWD 6WDWXV 6HH VHFWLRQ 6WDQGDUGL]HG PHVVDJH IRUPDW 'DWD 6L]H 1XPEHU RI E\WHV LQ GDWD GHFLPDOf ([FOXGH WKH OHDGLQJ t WUDLOLQJ 9 'DWD 6HFWLRQ )LHOG 1DPH 'HVFULSWLRQ ([DPSOH 6WDWXV E\WHV 6HH %HORZ ([DPSOH 0HVVDJH >[@ D0&89&808/ "">[@ 6HH 9&8 5HSRUW IRU 6WDWXV %\WH 'HVFULSWLRQ

PAGE 140

3RVLWLRQ 6\VWHPV 326f $6&,,f 9HUVLRQ 7KLV VHFWLRQ SUHVHQWV WKH PHVVDJHV WKDW PD\ EH VHQW WR WKH SRVLWLRQ V\VWHP DQG WKH PHVVDJHV WKDW ZLOO EH UHWXUQHG (YHU\ PHVVDJH ZLOO EH FRPSRVHG RI D KHDGHU VHFWLRQ D GDWD VHFWLRQ DQG DQ HQG RI PHVVDJH VHFWLRQ 7KH GDWD VHFWLRQ RI HDFK PHVVDJH LV GHILQHG KHUH 6HH WKH VWDQGDUGL]HG PHVVDJH IRUPDW GRFXPHQWDWLRQ VHFWLRQ f IRU WKH KHDGHU DQG HQG RI PHVVDJH IRUPDWV 1RWH 6HH VSHFLILF PRGXOH GRFXPHQWDWLRQ IRU DGGLWLRQDO V\VWHP VSHFLILF QRQ UHTXLUHGf PHVVDJHV ,QSXW 0HVVDJHV 326 6WDUW 5HSRUW [ 326 6WRS 5HSRUW [ 326 6KXWGRZQ [ 326 5HLQLWLDOL]H [ 326 6WDQGE\ [ 326 6HW &RQILJXUDWLRQ [$ 326 5HTXHVW &RQILJXUDWLRQ [& 326 5HTXHVW 6WDWXV [( ,, 2XWSXW 0HVVDJHV 326 5HSRUW [$ 326 &RQILJXUDWLRQ 5HSRUW [$ 326 6WDWXV 5HSRUW [$

PAGE 141

326 6WDUW 5HSRUW ,QSXW 0HVVDJH 7KH 326 6WDUW 5HSRUW PHVVDJH FDXVHV WKH V\VWHP WR VWDUW RXWSXWWLQJ WKH 326 5HSRUW PHVVDJH 7KH RXWSXW UDWH LV VSHFLILHG E\ WKH SDUDPHWHU UDWH FRQWDLQHG LQ WKLV PHVVDJH ,I WKH UDWH LV VHW WR ]HUR WKHQ RQO\ RQH PHVVDJH LV UHWXUQHG WKLV LV HTXLYDOHQW WR SROOHG PRGH +HDGHU VHFWLRQ )LHOG 1DPH 'HVFULSWLRQ ([DPSOH 0HVVDJH ,' 'HVWLQDWLRQ 326 6RXUFH 6HW E\ WKH KRVW V\VWHP 0&8 2&8f 0&8 9HKLFOH 6HW XVLQJ WKH 6HW &RQIJ PVJ 08/ 'DWD 6WDWXV 6HH VHFWLRQ 6WDQGDUGL]HG PHVVDJH IRUPDW 'DWD 6L]H 9DULDEOH VHW SULRU WR VKLSSLQJ 'DWD 6HFWLRQ )LHOG 1DPH 'HVFULSWLRQ ([DPSOH 5DWH RI XSGDWHV +] ([DPSOH 0HVVDJH >[@3260&808/"">[@

PAGE 142

326 6WRS 5HSRUW ,QSXW 0HVVDJH 7KH 326 6WRS 5HSRUW PHVVDJH FDXVHV WKH V\VWHP WR VWRS RXWSXWWLQJ WKH 326 5HSRUW PHVVDJH 7KH SRVLWLRQ V\VWHP UHPDLQV LQ D UHDG\ LQLWLDOL]HGf VWDWH +HDGHU VHFWLRQ )LHOG 1DPH 'HVFULSWLRQ ([DPSOH 0HVVDJH ,' 'HVWLQDWLRQ 326 6RXUFH 6HW E\ WKH KRVW V\VWHP 0&8 2&8f 0&8 9HKLFOH 6HW XVLQJ WKH 6HW &RQILJ PVJ 08/ 'DWD 6WDWXV 6HH VHFWLRQ 6WDQGDUGL]HG PHVVDJH IRUPDW 'DWD 6L]H 1XPEHU RI E\WHV LQ GDWD GHFLPDOf ([FOXGH WKH OHDGLQJ t WUDLOLQJ 9 'DWD 6HFWLRQ )LHOG 1DPH 'HVFULSWLRQ ([DPSOH 12 '$7$ ([DPSOH 0HVVDJH >[@3260&808/"">[@

PAGE 143

326 6KXWGRZQ ,QSXW 0HVVDJH 7KH 326 6KXWGRZQ PHVVDJH FDXVHV WKH SRVLWLRQ V\VWHP WR VKXWGRZQ DOO RI LWV VXEn V\VWHPV LQ WKH SURSHU IDVKLRQ $W WKLV WLPH WKH V\VWHP PD\ VDYH DQ\ ILOHV RU LQIRUPDWLRQ WKDW PD\ EH XVHG RQ WKH QH[W VWDUWXS 7KH SRZHU WR WKH PRGXOH PD\ WKHQ EH WXUQHG RII +HDGHU VHFWLRQ )LHOG 1DPH 'HVFULSWLRQ ([DPSOH 0HVVDJH ,' 'HVWLQDWLRQ 326 6RXUFH 6HW E\ WKH KRVW V\VWHP 0&8 2&8f 0&8 9HKLFOH 6HW XVLQJ WKH 6HW &RQILJ PVJ 08/ 'DWD 6WDWXV 6HH VHFWLRQ 6WDQGDUGL]HG PHVVDJH IRUPDW 'DWD 6L]H 1XPEHU RI E\WHV LQ GDWD GHFLPDOf ([FOXGH WKH OHDGLQJ t WUDLOLQJ 'DWD 6HFWLRQ )LHOG 1DPH 'HVFULSWLRQ ([DPSOH 12 '$7$ ([DPSOH 0HVVDJH >[@3262&808/"">[@

PAGE 144

326 5HLQLWLDOL]H ,QSXW 0HVVDJH 7KH 326 5HLQLWLDOL]H PHVVDJH FDXVHV WKH V\VWHP WR UHVWDUW DQG UHLQLWLDOL]H DOO VXEn V\VWHPV LQ WKH SURSHU VHTXHQFH DQG EULQJ WKH V\VWHP XS WR D VWDWH RI UHDGLQHVV 7KH 3RVLWLRQ 6\VWHP PXVW EH LQLWLDOL]HG IRU WKH 3RVLWLRQ 0HVVDJH WR EH YDOLG ZLWK WKH H[FHSWLRQ RI WKH WZR VWDWXV E\WHV ZKLFK DUH DOZD\V YDOLGf +HDGHU VHFWLRQ )LHOG 1DPH 'HVFULSWLRQ ([DPSOH 0HVVDJH ,' 326 5HLQLWLDOL]H 'HVWLQDWLRQ 326 6RXUFH 6HW E\ WKH KRVW V\VWHP 0&8 2&8f 0&8 9HKLFOH 6HW XVLQJ WKH 6HW &RQILJ PVJ 08/ 'DWD 6WDWXV 6HH VHFWLRQ 6WDQGDUGL]HG PHVVDJH IRUPDW 'DWD 6L]H 1XPEHU RI E\WHV LQ GDWD GHFLPDOf ([FOXGH WKH OHDGLQJ t WUDLOLQJ < 'DWD 6HFWLRQ )LHOG 1DPH 'HVFULSWLRQ ([DPSOH 12 '$7$ ([DPSOH 0HVVDJH >[@3260&808/"">[@

PAGE 145

326 6WDQGE\ ,QSXW 0HVVDJH 7KH 326 6WDQGE\ PHVVDJH FDXVHV WKH V\VWHP WR JR LQWR D VWDQGE\ PRGH ,Q VWDQGE\ PRGH WKH V\VWHP LV DOLYH DQG UHDG\ WR EH UHLQLWLDOL]HG 1RWH $ 326 6KXWGRZQ VKRXOG EH JLYHQ SULRU WR WXUQLQJ V\VWHP SRZHU RII +HDGHU VHFWLRQ )LHOG 1DPH 'HVFULSWLRQ ([DPSOH 0HVVDJH ,' 'HVWLQDWLRQ 326 6RXUFH 6HW E\ WKH KRVW V\VWHP 0&8 2&8f 0&8 9HKLFOH 6HW XVLQJ WKH 6HW &RQILJ PVJ 08/ 'DWD 6WDWXV 6HH VHFWLRQ 6WDQGDUGL]HG PHVVDJH IRUPDW 'DWD 6L]H 1XPEHU RI E\WHV LQ GDWD GHFLPDOf ([FOXGH WKH OHDGLQJ t WUDLOLQJ 9 'DWD 6HFWLRQ )LHOG 1DPH 'HVFULSWLRQ ([DPSOH 12 '$7$ ([DPSOH 0HVVDJH >[@3260&808/"">[@

PAGE 146

326 6HW &RQILJXUDWLRQ ,QSXW 0HVVDJH 7KH 326 6HW &RQILJXUDWLRQ PHVVDJH LV XVHG WR VHW XS WKH FRQILJXUDWLRQ RI WKH V\VWHP 7KH IROORZLQJ JLYHV DQ H[SODQDWLRQ RI WKH SDUDPHWHUV GHDGHU VHFWLRQ )LHOG 1DPH 'HVFULSWLRQ ([DPSOH 0HVVDJH ,' $ 'HVWLQDWLRQ 326 6RXUFH 6HW E\ WKH KRVW V\VWHP 0&8 2&8f 0&8 9HKLFOH 6HW XVLQJ WKH 6HW &RQILJ PVJ 08/ 'DWD 6WDWXV 6HH VHFWLRQ 6WDQGDUGL]HG PHVVDJH IRUPDW 'DWD 6L]H 9DULDEOH VHW SULRU WR VKLSSLQJ XVH VL]HRI4f "" 'DWD 6HFWLRQ )LHOG 1DPH 'HVFULSWLRQ ([DPSOH 9HKLFOH 7KH V\VWHP WKDW WKH PRGXOH LV SK\VLFDOO\ FRQWDLQHG LQ 08/ 5HIHUHQFH /DWLWXGH GHJUHHV 7KLV PD\ EH JLYHQ WR VSHFLI\ WKH ORFDWLRQ RI D EDVH VWDWLRQ LI D '*36 LV XVHGf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

PAGE 147

RQ WKH YHKLFOH WKDW WKH XVHU FKRRVHV $OO RI WKH VHQVRUV PXVW EH UHIHUHQFHG WR WKH VDPH FRRUGLQDWH V\VWHP $QJXODU 2IIVHW < $[LV UDGLDQV $QJXODU 2IIVHW=O $[LV UDGLDQV 3RV 2IIVHW ;Q 3RV 2IIVHW [@$3260&808/""f08/ "">[@

PAGE 148

326 5HTXHVW &RQILJXUDWLRQ ,QSXW 0HVVDJH 7KLV PHVVDJH LV XVHG WR UHTXHVW WKH FXUUHQW FRQILJXUDWLRQ RI WKH SRVLWLRQ V\VWHP 6HH 326 &RQILJXUDWLRQ 5HSRUW IRU WKH UHVSRQVH GHILQLWLRQ +HDGHU VHFWLRQ )LHOG 1DPH 'HVFULSWLRQ ([DPSOH 0HVVDJH ,' & 'HVWLQDWLRQ 326 6RXUFH 6HW E\ WKH KRVW V\VWHP 0&8 2&8f 0&8 9HKLFOH 6HW XVLQJ WKH 6HW &RQILJ PVJ 08/ 'DWD 6WDWXV 6HH VHFWLRQ 6WDQGDUGL]HG PHVVDJH IRUPDW 'DWD 6L]H 1XPEHU RI E\WHV LQ GDWD GHFLPDOf ([FOXGH WKH OHDGLQJ t WUDLOLQJ < 'DWD 6HFWLRQ )LHOG 1DPH 'HVFULSWLRQ ([DPSOH 12 '$7$ ([DPSOH 0HVVDJH >[@&3260&808/"">[@

PAGE 149

326 5HTXHVW 6WDWXV ,QSXW 0HVVDJH 7KLV PHVVDJH LV XVHG WR UHTXHVW WKH FXUUHQW VWDWXV RI WKH SRVLWLRQ V\VWHP 6HH WKH 326 6WDWXV 5HSRUW IRU WKH UHVSRQVH GHILQLWLRQ +HDGHU VHFWLRQ )LHOG 1DPH 'HVFULSWLRQ ([DPSOH 0HVVDJH ,' ( 'HVWLQDWLRQ 326 6RXUFH 6HW E\ WKH KRVW V\VWHP 0&8 2&8f 0&8 9HKLFOH 6HW XVLQJ WKH 6HW &RQILJ PVJ 08/ 'DWD 6WDWXV 6HH VHFWLRQ 6WDQGDUGL]HG PHVVDJH IRUPDW 'DWD 6L]H 1XPEHU RI E\WHV LQ GDWD GHFLPDOf ([FOXGH WKH OHDGLQJ t WUDLOLQJ < 'DWD 6HFWLRQ )LHOG 1DPH 'HVFULSWLRQ ([DPSOH 12 '$7$ ([DPSOH 0HVVDJH >[@(3260&808/"">[@

PAGE 150

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f UDGLDQV ML WR UF 8VHV WKH ULJKW KDQG UXOH [ LV IRUZDUG ] LV GRZQ D[LV DWWDFKHG WR YHKLFOHf WKHWDB\ SLWFKf UDGLDQV WR W WKHWD] \DZf UDGLDQV WR W *HRGHWLF 1RUWK WKHWD 506 UDGLDQV YHO[ PHWHUVVHFf 7KH LQVWDQWDQHRXV YHORFLW\ RI WKH YHKLFOH LQ WKH GLUHFWLRQ RI WKH YHKLFOHfV [D[LV 7KH WKUHH OLQHDU YHORFLW\ SDUDPHWHUV GHILQH WKH ILUVW KDOI RI WKH YHORFLW\ VWDWH 7KH VHFRQG KDOI LV GHILQHG E\ RPHJD[ RPHJDB\ DQG RPHJD ] WKH URWDWLRQDO UDWHV DERXW WKH D[HV YHO \ PHWHUVVHF YHO ] PHWHUVVHF YHORFLW\ 506 PHWHUVVHF

PAGE 151

RPHJD[ UDGVHF 7KH URWDWLRQDO UDWH DERXW WKH [D[LV RI WKH YHKLFOH RPHJDB\ UDGVHF 7KH URWDWLRQDO UDWH DERXW WKH \D[LV RI WKH YHKLFOH RPHJD] UDGVHF 7KH URWDWLRQDO UDWH DERXW WKH ]D[LV RI WKH YHKLFOH 2PHJD 506 UDGLDQVVHF 7LPH 6WDPS -XOLRQ 7LPH KKPPVVVVf 7KH WLPH ZKHQ WKH SRVLWLRQ GDWD ZDV YDOLG 6WDWXV 6HH %HORZ ([DPSOH 0HVVDJH >[@D0&832608/"" "">[@ 6WDWXV %\WH 'HVFULSWLRQ 6WDWXV E\WH LV JHQHULF DQG ZLOO QRW FKDQJH IURP V\VWHP WR V\VWHP 6WDWXV E\WH LV VHW DVLGH WR EH V\VWHP VSHFLILF GHILQHG E\ WKH YDULRXV 326 V\VWHP PRGXOHV 0HVVDJH>VL @>V@ 6WDWXV %\WHV DQG 6WDWXV %\WH 6WDWXV %\WH %LW &RQGLWLRQ ZKHQ VHW VHWf %LW &RQGLWLRQ ZKHQ VHW O VHWf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f ,QGLFDWHV WKDW WKH V\VWHP LV LQLWLDOL]HG DQG LV RSHUDWLRQDO ,QGLFDWHV WKDW D VHOIFRUUHFWLQJ SUREOHP KDV RFFXUUHG DQG WKH SUREOHP LV EHLQJ FRUUHFWHG LQWHUQDOO\ 7KLV SUREOHP UHTXLUHV QR LQSXW IURP WKH KRVW

PAGE 152

(UURU )DLOXUH ,QGLFDWHV WKDW D SUREOHP KDV RFFXUUHG WKDW WKH V\VWHP FRXOG QRW UHVROYH $Q HUURU UHTXLUHV WKH LQWHUYHQWLRQ RI WKH KRVW WR EH UHVROYHG ,QGLFDWHV WKDW WKH V\VWHP KDV IDLOHG DQG ZLOO QRW UHFRYHU

PAGE 153

326 &RQILJXUDWLRQ 5HSRUW 2XWSXW 0HVVDJH 7KLV PHVVDJH LV XVHG WR UHSRUW WKH FXUUHQW FRQILJXUDWLRQ RI WKH SRVLWLRQ V\VWHP 7KH IROORZLQJ LV D GHVFULSWLRQ RI WKH SDUDPHWHUV +HDGHU VHFWLRQ )LHOG 1DPH 'HVFULSWLRQ ([DPSOH 0HVVDJH ,' $ 'HVWLQDWLRQ 'HVWLQDWLRQ ZLOO EH VHW HTXDO WR WKH VRXUFH RI WKH 6WDUW 5HSRUW PHVVDJH 0&8 6RXUFH 326 9HKLFOH 6HW XVLQJ WKH 6HW &RQILJ PVJ 08/ 'DWD 6WDWXV 6HH VHFWLRQ 6WDQGDUGL]HG PHVVDJH IRUPDW 'DWD 6L]H 9DULDEOH VHW SULRU WR VKLSSLQJ XVH VL]HRI4f "" 'DWD 6HF WLRQ )LHOG 1DPH 'HVFULSWLRQ ([DPSOH 7H[W 'HVFULSWLRQ )UHH IRUP WH[W GHVFULSWLRQ 0D\ OLVW WKH PDLQ FRPSRQHQWV XVHG E\ WKH V\VWHP DQG RU RWKHU SHUWLQHQW LQIRUPDWLRQ 3RVLWLRQ 6\VWHP 0$36 7\SH + '*36 $VKWHFK 7\SH = ([WHUQDO .DOPDQ )LOWHU 6\VWHP ,GHQWLILFDWLRQ *LYHV D KH[ QXPEHU DVVLJQHG WR WKH SDUWLFXODU SRVLWLRQ V\VWHP VR WKDW LW PD\ EH PRUH XQLTXHO\ GHVFULEHG 5HIHUHQFH /DWLWXGH GHJUHHV 7KLV PD\ EH JLYHQ WR VSHFLI\ WKH ORFDWLRQ RI D EDVH VWDWLRQ LI D '*36 LV XVHGf RU SHUKDSV WKH UHIHUHQFH RIIVHW LI D QRQDEVROXWH SRVLWLRQ V\VWHP LV XVHG 7KH GHILQLWLRQ ZRXOG EH JLYHQ E\ WKH SDUWLFXODU SRVLWLRQ V\VWHP GRFXPHQWDWLRQ 5HIHUHQFH /RQJLWXGH GHJUHHV 5HIHUHQFH(OHYDWLRQ 0HWHUV (OOLSVRLG KHLJKW 6HQVRUV RI VHQVRUV UHTXLULQJ DQ RIIVHW 3RVLWLRQ 2IIVHW ;, PHWHUV 7KH SRVLWLRQ RIIVHWV JLYH WKH ORFDWLRQ RI D VHQVRU UHODWLYH WR D FRRUGLQDWH V\VWHP RQ WKH YHKLFOH WKDW WKH XVHU FKRRVHV

PAGE 154

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

PAGE 155

326 6WDWXV 5HSRUW 2XWSXW 0HVVDJH 3URYLGHV WKH KRVW ZLWK WKH V\VWHP VWDWXV LQIRUPDWLRQ +HDGHU VHFWLRQ )LHOG 1DPH 'HVFULSWLRQ ([DPSOH 0HVVDJH ,' $ 'HVWLQDWLRQ 'HVWLQDWLRQ ZLOO EH VHW HTXDO WR WKH VRXUFH RI WKH 6WDUW 5HSRUW PHVVDJH 0&8 6RXUFH 326 9HKLFOH 6HW XVLQJ WKH 6HW &RQILJ PVJ 08/ 'DWD 6WDWXV 6HH VHFWLRQ 6WDQGDUGL]HG PHVVDJH IRUPDW 'DWD 6L]H 1XPEHU RI E\WHV LQ GDWD GHFLPDOf ([FOXGH WKH OHDGLQJ t WUDLOLQJ 9 'DWD 6HFWLRQ )LHOG 1DPH 'HVFULSWLRQ ([DPSOH 6WDWXV E\WHV 6HH %HORZ ([DPSOH 0HVVDJH >[@D0&832608/"">[@ 6HH 326 5HSRUW IRU 6WDWXV %\WH 'HVFULSWLRQ

PAGE 156

0RELOLW\ &RQWURO 8QLW 0&/ $6&,, 9HUVLRQ 7KH 0RELOLW\ &RQWURO 8QLW 0&8f LV HVVHQWLDOO\ WKH VXSHUYLVRU IRU WKH PRELOLW\ WDVN $ XVHU PD\ LQWHUDFW ZLWK WKH V\VWHP E\ VHQGLQJ PHVVDJHV IURP WKH 2SHUDWRU &RQWURO 8QLW 2&8f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

PAGE 157

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

PAGE 158

0&8 6WDUW 5HSRUW ,QSXW 0HVVDJH 7KH 0&8 6WDUW 5HSRUW PHVVDJH FDXVHV WKH V\VWHP WR VWDUW RXWSXWWLQJ WKH 0&8 5HSRUW PHVVDJH 7KH RXWSXW UDWH LV VSHFLILHG E\ WKH SDUDPHWHU UDWH FRQWDLQHG LQ WKLV PHVVDJH ,I WKH UDWH LV VHW WR ]HUR WKHQ RQO\ RQH PHVVDJH LV UHWXUQHG WKLV LV HTXLYDOHQW WR SROOHG PRGH +HDGHU VHFWLRQ )LHOG 1DPH 'HVFULSWLRQ ([DPSOH 0HVVDJH ,' 'HVWLQDWLRQ 0&8 6RXUFH 6HW E\ WKH KRVW V\VWHP 2&8f 2&8 9HKLFOH 6HW XVLQJ WKH 6HW &RQILJ PVJ 08/ 'DWD 6WDWXV 6HH VHFWLRQ 6WDQGDUGL]HG PHVVDJH IRUPDW 'DWD 6L]H 9DULDEOH VHW SULRU WR VKLSSLQJ XVH VL]HRI4f 'DWD 6HFWLRQ )LHOG 1DPH 'HVFULSWLRQ ([DPSOH 5DWH RI XSGDWHV +] ([DPSOH 0HVVDJH >[@0&82&808/"">[@ I

PAGE 159

0&8 6WRS 5HSRUW ,QSXW 0HVVDJH 7KH 0&8 6WRS 5HSRUW PHVVDJH FDXVHV WKH V\VWHP WR VWRS RXWSXWWLQJ WKH 0&8 5HSRUW PHVVDJH 7KH 0&8 V\VWHP UHPDLQV LQ D UHDG\ LQLWLDOL]HGf VWDWH +HDGHU VHFWLRQ )LHOG 1DPH 'HVFULSWLRQ ([DPSOH 0HVVDJH ,' 'HVWLQDWLRQ 0&8 6RXUFH 6HW E\ WKH KRVW V\VWHP 2&8f 2&8 9HKLFOH 6HW XVLQJ WKH 6HW &RQILJ PVJ 08/ 'DWD 6WDWXV 6HH VHFWLRQ 6WDQGDUGL]HG PHVVDJH IRUPDW 'DWD 6L]H 'DWD 6HFWLRQ )LHOG 1DPH 'HVFULSWLRQ ([DPSOH 12 '$7$ ([DPSOH 0HVVDJH >[@0&82&808/"">[@

PAGE 160

0&8 6KXWGRZQ ,QSXW 0HVVDJH 7KH 0&8 6KXWGRZQ PHVVDJH FDXVHV WKH 0&8 V\VWHP WR VKXWGRZQ DOO RI LWV VXEV\VWHPV LQ WKH SURSHU IDVKLRQ $W WKLV WLPH WKH V\VWHP PD\ VDYH DQ\ ILOHV RU LQIRUPDWLRQ WKDW PD\ EH XVHG RQ WKH QH[W VWDUWXS 7KH SRZHU WR WKH PRGXOH PD\ WKHQ EH WXUQHG RII +HDGHU VHFWLRQ )LHOG 1DPH 'HVFULSWLRQ ([DPSOH 0HVVDJH ,' 'HVWLQDWLRQ 0&8 6RXUFH 6HW E\ WKH KRVW V\VWHP 2&8f 2&8 9HKLFOH 6HW XVLQJ WKH 6HW &RQILJ PVJ 08/ 'DWD 6WDWXV 6HH VHFWLRQ 6WDQGDUGL]HG PHVVDJH IRUPDW 'DWD 6L]H 'DWD 6HFWLRQ )LHOG 1DPH 'HVFULSWLRQ ([DPSOH 12 '$7$ ([DPSOH 0HVVDJH >[@0&82&808/"">[@

PAGE 161

0&8 5HLQLWLDOL]H ,QSXW 0HVVDJH 7KH 0&8 5HLQLWLDOL]H PHVVDJH FDXVHV WKH V\VWHP WR UHVWDUW DQG UHLQLWLDOL]H DOO VXEn V\VWHPV LQ WKH SURSHU VHTXHQFH DQG EULQJ WKH V\VWHP XS WR D VWDWH RI UHDGLQHVV 1RWH 7KH 0&8 PD\ HOHFW WR FKHFN VXEV\VWHP VWDWXV DQG GHFLGH ZHDWKHU RU QRW D UHLQLWLDOL]H LV QHFHVVDU\ IRU HDFK VXEV\VWHP +HDGHU VHFWLRQ )LHOG 1DPH 'HVFULSWLRQ ([DPSOH 0HVVDJH ,' 'HVWLQDWLRQ 0&8 6RXUFH 6HW E\ WKH KRVW V\VWHP 2&8f 2&8 9HKLFOH 6HW XVLQJ WKH 6HW &RQILJ PVJ 08/ 'DWD 6WDWXV 6HH VHFWLRQ 6WDQGDUGL]HG PHVVDJH IRUPDW 'DWD 6L]H 'DWD 6HFWLRQ )LHOG 1DPH 'HVFULSWLRQ ([DPSOH 12 '$7$ ([DPSOH 0HVVDJH >[@0&82&808/"">[@

PAGE 162

0&8 6WDQGE\ ,QSXW 0HVVDJH 7KH 0&8 6WDQGE\ PHVVDJH FDXVHV WKH V\VWHP WR JR LQWR D VWDQGE\ PRGH ,Q VWDQGE\ PRGH WKH V\VWHP LV DOLYH DQG UHDG\ WR EH UHLQLWLDOL]HG $OO VXEV\VWHPV DUH SODFHG LQWR VWDQGE\ PRGH DQG ZRXOG UHTXLUH D WR EH UHLQLWLDOL]HG SULRU WR IXUWKHU XVH 1RWH $Q 0&8 6KXWGRZQ VKRXOG EH JLYHQ SULRU WR WXUQLQJ V\VWHP SRZHU RII +HDGHU VHFWLRQ )LHOG 1DPH 'HVFULSWLRQ ([DPSOH 0HVVDJH ,' 'HVWLQDWLRQ 0&8 6RXUFH 6HW E\ WKH KRVW V\VWHP 2&8f 2&8 9HKLFOH 6HW XVLQJ WKH 6HW &RQILJ PVJ 08/ 'DWD 6WDWXV 6HH VHFWLRQ 6WDQGDUGL]HG PHVVDJH IRUPDW 'DWD 6L]H 'DWD 6HFWLRQ )LHOG 1DPH 'HVFULSWLRQ ([DPSOH 12 '$7$ ([DPSOH 0HVVDJH >[@0&82&808/"">[@

PAGE 163

0&8 6HW &RQILJXUDWLRQ ,QSXW 0HVVDJH 7KH 0&8 6HW &RQILJXUDWLRQ PHVVDJH LV XVHG WR VHW XS WKH FRQILJXUDWLRQ RI WKH V\VWHP 7KH IROORZLQJ JLYHV DQ H[SODQDWLRQ RI WKH SDUDPHWHUV +HDGHU VHFWLRQ )LHOG 1DPH 'HVFULSWLRQ ([DPSOH 0HVVDJH ,' $ 'HVWLQDWLRQ 0&8 6RXUFH 6HW E\ WKH KRVW V\VWHP 2&8f 2&8 9HKLFOH 6HW XVLQJ WKH 6HW &RQILJ PVJ 08/ 'DWD 6WDWXV 6HH VHFWLRQ 6WDQGDUGL]HG PHVVDJH IRUPDW 'DWD 6L]H 9DULDEOH VHW SULRU WR VKLSSLQJ XVH VL]HRI4f 'DWD 6HFWLRQ )LHOG 1DPH 'HVFULSWLRQ ([DPSOH 9HKLFOH 7KH V\VWHP WKDW WKH PRGXOH LV SK\VLFDOO\ FRQWDLQHG LQ 08/ ([DPSOH 0HVVDJH >[@$0&8&f&808/08/"">[@

PAGE 164

0&8 5HTXHVW &RQILJXUDWLRQ ,QSXW 0HVVDJH 7KLV PHVVDJH LV XVHG WR UHTXHVW WKH FXUUHQW FRQILJXUDWLRQ RI WKH 0&8 V\VWHP 6HH 0&8 &RQILJXUDWLRQ 5HSRUW IRU WKH UHVSRQVH GHILQLWLRQ +HDGHU VHFWLRQ )LHOG 1DPH 'HVFULSWLRQ ([DPSOH 0HVVDJH ,' & 'HVWLQDWLRQ 0&8 6RXUFH 6HW E\ WKH KRVW V\VWHP 0&8 2&8f 2&8 9HKLFOH 6HW XVLQJ WKH 6HW &RQILJ PVJ 08/ 'DWD 6WDWXV 6HH VHFWLRQ 6WDQGDUGL]HG PHVVDJH IRUPDW 'DWD 6L]H 'DWD 6HFWLRQ )LHOG 1DPH 'HVFULSWLRQ ([DPSOH 12 '$7$ ([DPSOH 0HVVDJH >[@&0&82&808/"" >[@

PAGE 165

0&8 5HTXHVW 6WDWXV ,QSXW 0HVVDJH 7KLV PHVVDJH LV XVHG WR UHTXHVW WKH FXUUHQW VWDWXV RI WKH 0&8 V\VWHP 6HH 0&8 6WDWXV 5HSRUW IRU WKH UHVSRQVH GHILQLWLRQ +HDGHU VHFWLRQ )LHOG 1DPH 'HVFULSWLRQ ([DPSOH 0HVVDJH ,' ( 'HVWLQDWLRQ 0&8 6RXUFH 6HW E\ WKH KRVW V\VWHP 0&8 2&8f 2&8 9HKLFOH 6HW XVLQJ WKH 6HW &RQILJ PVJ 08/ 'DWD 6WDWXV 6HH VHFWLRQ 6WDQGDUGL]HG PHVVDJH IRUPDW 'DWD 6L]H 'DWD 6HFWLRQ )LHOG 1DPH 'HVFULSWLRQ ([DPSOH 12 '$7$ ([DPSOH 0HVVDJH >[@(0&82&808/"">[@

PAGE 166

0&8 ([HFXWH 3DWK ,QSXW 0HVVDJH 0&8 ([HFXWH 3DWK FDXVHV WKH YHKLFOH WR EHJLQ H[HFXWLRQ RI WKH SDWK 7KH SDWK H[HFXWHG LV WKH RQH FXUUHQWO\ ORDGHG RQ WKH 0&8 XQOHVV D SDWK LV JLYHQ LQ WKLV PHVVDJH +HDGHU VHFWLRQ )LHOG 1DPH 'HVFULSWLRQ ([DPSOH 0HVVDJH ,' 'HVWLQDWLRQ 0&8 6RXUFH 6HW E\ WKH KRVW V\VWHP 0&8 2&8f 2&8 9HKLFOH 6HW XVLQJ WKH 6HW &RQILJ PVJ 08/ 'DWD 6WDWXV 6HH VHFWLRQ 6WDQGDUGL]HG PHVVDJH IRUPDW 'DWD 6L]H 9DULDEOH "" 'DWD 6HHO LRQ )LHOG 1DPH 'HVFULSWLRQ ([DPSOH 'HVLUHG 9HKLFOH 6SHG PHWHUVVHF VXEJRDOV 7KH QXPEHU RI SRLQWV WKDW PDNH XS WKH SDWK 1RWH ,I ]HUR WKHQ H[HFXWH H[LVWLQJ SDWK RQ 'HVWLQDWLRQ LV XVHG /DWLWXGH GHJUHHV /DWLWXGH RI WKH ILUVW VXEJRDO :*6f /RQJLWXGH GHJUHHV /RQJLWXGH RI WKH ILUVW VXEJRDO :*6f $OWLWXGH PHWHUV $OWLWXGH RI WKH ILUVW VXEJRDO WKHWD [ UROOf UDGLDQV 2ULHQWDWLRQ DERXW WKH [D[LV Q WR Q 8VH WKH ULJKW KDQG UXOH [ LV IRUZDUG ] LV GRZQ D[LV DWWDFKHG WR YHKLFOHf WKHWDB\ SLWFKf UDGLDQV 2ULHQWDWLRQ DERXW WKH \D[LV Q WR Q WKHWD] \DZf UDGLDQV 2ULHQWDWLRQ DERXW WKH ]D[LV WR *HRGHWLF 1RUWK "" /DWLWXGH Q "" /RQJLWXGH Q "" $OWLWXGH Q "" WKHWD [ UROOf "" WKHWD \ SLWFKf "" WKHWD ] \DZf ([DPSOH 0HVVDJH >[@0&82&808/"" "">[@

PAGE 167

0&8 3DXVH ,QSXW 0HVVDJH 7KLV PHVVDJH FDXVHV WKH YHKLFOH WR VWRS SDWK H[HFXWLRQ ,W LV PHDQW WR EH XVHG DV D WHPSRUDU\ VWRS SDXVHf 7KH 0&8fV VXEV\VWHPV ZLOO UHPDLQ LQ WKH DFWLYH UHDG\f VWDWH VR WKDW SDWK H[HFXWLRQ FDQ FRQWLQXH LPPHGLDWHO\ XSRQ UHFHLSW RI WKH 0&8 &RQWLQXH PHVVDJH ,I D PRUH VHFXUH VWDWH LV GHVLUHG WKDQ D 0&8 6WDQGE\ PHVVDJH VKRXOG EH XVHG DV WKLV ZLOO SODFH DOO RI WKH 0&8fV VXEV\VWHPV LQ D VDIH 6WDQGE\f PRGH +HDGHU VHFWLRQ )LHOG 1DPH 'HVFULSWLRQ ([DPSOH 0HVVDJH ,' 'HVWLQDWLRQ 0&8 6RXUFH 6HW E\ WKH KRVW V\VWHP 0&8 2&8f 2&8 9HKLFOH 6HW XVLQJ WKH 6HW &RQILJ PVJ 08/ 'DWD 6WDWXV 6HH VHFWLRQ 6WDQGDUGL]HG PHVVDJH IRUPDW 'DWD 6L]H 'DWD 6HFWLRQ )LHOG 1DPH 'HVFULSWLRQ ([DPSOH 12 '$7$ ([DPSOH 0HVVDJH >[@0&82&808/"">[@

PAGE 168

0&8 &RQWLQXH ,QSXW 0HVVDJH 7KLV PHVVDJH LV XVHG WR UHVXPH YHKLFOH PRWLRQ DIWHU UHFHLSW RI D 0&8 3DXVH +HDGHU VHFWLRQ )LHOG 1DPH 'HVFULSWLRQ ([DPSOH 0HVVDJH ,' 'HVWLQDWLRQ 0&8 6RXUFH 6HW E\ WKH KRVW V\VWHP 0&8 2&8f 2&8 9HKLFOH 6HW XVLQJ WKH 6HW &RQILJ PVJ 08/ 'DWD 6WDWXV 6HH VHFWLRQ 6WDQGDUGL]HG PHVVDJH IRUPDW 'DWD 6L]H YDULDEOH "" 'DWD 6HFWLRQ )LHOG 1DPH 'HVFULSWLRQ ([DPSOH 9HKLFOH 6SHHG 7KH GHVLUHG YHKLFOH VSHHG ([DPSOH 0HVVDJH >[@0&82&808/"""">[@

PAGE 169

0&8 6HW 0RGH ,QSXW 0HVVDJH 7KLV PHVVDJH LV XVHG WR SODFH WKH YHKLFOH LQ D VSHFLILF PRGH RI RSHUDWLRQ +HDGHU VHFWLRQ )LHOG 1DPH 'HVFULSWLRQ ([DPSOH 0HVVDJH ,' 'HVWLQDWLRQ 0&8 6RXUFH 6HW E\ WKH KRVW V\VWHP 0&8 2&8f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

PAGE 170

0&8 5HSRUW 2XWSXW 0HVVDJH 7KLV PHVVDJH LV WKH 0&8 UHSRUW 7KH IROORZLQJ LV D GHVFULSWLRQ RI WKH SDUDPHWHUV +HDGHU VHFWLRQ )LHOG 1DPH 'HVFULSWLRQ ([DPSOH 0HVVDJH ,' $ 'HVWLQDWLRQ 'HVWLQDWLRQ ZLOO EH VHW HTXDO WR WKH VRXUFH RI WKH 6WDUW 5HSRUW PHVVDJH 0&8 6RXUFH 2&8 9HKLFOH 6HW XVLQJ WKH 6HW &RQILJ PVJ 08/ 'DWD 6WDWXV 6HH VHFWLRQ 6WDQGDUGL]HG PHVVDJH IRUPDW 'DWD 6L]H 9DULDEOH VHW SULRU WR VKLSSLQJ XVH VL]HRI4f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f %LW &RQGLWLRQ ZKHQ VHW O VHWf 6WDUWXS &RQWUDFWRU 5HVHUYHG %XV\ &RQWUDFWRU 5HVHUYHG 6WDQGE\ &RQWUDFWRU 5HVHUYHG 5HDG\ &RQWUDFWRU 5HVHUYHG 3UREOHP &RQWUDFWRU 5HVHUYHG (UURU &RQWUDFWRU 5HVHUYHG )DLOXUH &RQWUDFWRU 5HVHUYHG 6KXWGRZQ &RQWUDFWRU 5HVHUYHG

PAGE 171

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

PAGE 172

0&8 &RQILJXUDWLRQ 5HSRUW 2XWSXW 0HVVDJH 7KLV PHVVDJH LV XVHG WR UHSRUW WKH FXUUHQW FRQILJXUDWLRQ RI WKH 0&8 V\VWHP 7KH IROORZLQJ LV D GHVFULSWLRQ RI WKH SDUDPHWHUV +HDGHU VHFWLRQ )LHOG 1DPH 'HVFULSWLRQ ([DPSOH 0HVVDJH ,' $ 'HVWLQDWLRQ 'HVWLQDWLRQ ZLOO EH VHW HTXDO WR WKH VRXUFH RI WKH 6WDUW 5HSRUW PHVVDJH 0&8 6RXUFH 2&8 9HKLFOH 6HW XVLQJ WKH 6HW &RQILJ PVJ 08/ 'DWD 6WDWXV 6HH VHFWLRQ 6WDQGDUGL]HG PHVVDJH IRUPDW 'DWD 6L]H 9DULDEOH VHW SULRU WR VKLSSLQJ XVH VL]HRI4f "" 'DWD 6HFWLRQ )LHOG 1DPH 'HVFULSWLRQ ([DPSOH 7H[W 'HVFULSWLRQ )UHH IRUP WH[W GHVFULSWLRQ 0D\ OLVW WKH PDLQ FRPSRQHQWV XVHG E\ WKH V\VWHP DQG RU RWKHU SHUWLQHQW LQIRUPDWLRQ 0&8 UHTXLUHV 3/1 326 DQG 9&8 PRGXOHV 6\VWHP ,GHQWLILFDWLRQ *LYHV D KH[ QXPEHU DVVLJQHG WR WKH SDUWLFXODU 0&8 V\VWHP VR WKDW LW PD\ EH PRUH XQLTXHO\ GHVFULEHG ([DPSOH 0HVVDJH >[@$0&82&808/""0&8 UHTXLUHV 3/1 326 DQG 9&8 PRGXOHV ,"">[@

PAGE 173

0&8 6WDWXV 5HSRUW 2XWSXW 0HVVDJH 3URYLGHV WKH KRVW ZLWK WKH V\VWHP VWDWXV LQIRUPDWLRQ +HDGHU VHFWLRQ )LHOG 1DPH 'HVFULSWLRQ ([DPSOH 0HVVDJH ,' $ 'HVWLQDWLRQ 'HVWLQDWLRQ ZLOO EH VHW HTXDO WR WKH VRXUFH RI WKH 6WDUW 5HSRUW PHVVDJH 0&8 6RXUFH 2&8 9HKLFOH 6HW XVLQJ WKH 6HW &RQILJ PVJ 08/ 'DWD 6WDWXV 6HH VHFWLRQ 6WDQGDUGL]HG PHVVDJH IRUPDW 'DWD 6L]H 'DWD 6HFWLRQ )LHOG 1DPH 'HVFULSWLRQ ([DPSOH 0&8 6WDWXV 6HH %HORZ ([DPSOH 0HVVDJH >[@D0&82&808/f"">[@ 6HH 0&8 5HSRUW IRU 6WDWXV %\WH 'HVFULSWLRQ

PAGE 174

'HWHFWLRQ 0DSSLQJ 6\VWHPV '06f $6&,,f 9HUVLRQ 7KLV VHFWLRQ SUHVHQWV WKH PHVVDJHV WKDW PD\ EH VHQW WR WKH '06 DQG WKH PHVVDJHV WKDW ZLOO EH UHWXUQHG (YHU\ PHVVDJH ZLOO EH FRPSRVHG RI D KHDGHU VHFWLRQ D GDWD VHFWLRQ DQG DQ HQG RI PHVVDJH VHFWLRQ 7KH GDWD VHFWLRQ RI WKH PHVVDJHV DUH GHILQHG KHUH 6HH WKH VWDQGDUGL]HG PHVVDJH IRUPDW GRFXPHQWDWLRQ VHFWLRQ f IRU WKH KHDGHU DQG HQG RI PHVVDJH IRUPDWV 1RWH 6HH VSHFLILF PRGXOH GRFXPHQWDWLRQ IRU DGGLWLRQDO V\VWHP VSHFLILF QRQ UHTXLUHGf PHVVDJHV ,QSXW 0HVVDJHV '06 6WDUW 5HSRUW '06 6WRS 5HSRUW '06 6KXWGRZQ '06 5HLQLWLDOL]H '06 6WDQGE\ '06 6HW &RQILJ '06 5HTXHVW &RQILJ '06 5HTXHVW 6WDWXV 326 5HSRUW ,, 2XWSXW 0HVVDJHV '06 5HSRUW '06 &RQILJ 5HSRUW '06 6WDWXV 5HSRUW 326 6WDUW 5HSRUW 326 6WRS 5HSRUW [ [ [ [ [ [$ [& [( 6HH 326 LQWHUIDFH GRFXPHQW [$ [$ [$ 6HH 326 LQWHUIDFH GRFXPHQW

PAGE 175

'06 6WDUW 5HSRUW ,QSXW 0HVVDJH 7KH '06 6WDUW 5HSRUW PHVVDJH FDXVHV WKH V\VWHP WR VWDUW RXWSXWWLQJ WKH '06 5HSRUW PHVVDJH 7KH RXWSXW UDWH LV VSHFLILHG E\ WKH SDUDPHWHU UDWH FRQWDLQHG LQ WKLV PHVVDJH ,I WKH UDWH LV VHW WR ]HUR WKHQ RQO\ RQH PHVVDJH LV UHWXUQHG WKLV LV HTXLYDOHQW WR SROOHG PRGH +HDGHU VHFWLRQ )LHOG 1DPH 'HVFULSWLRQ ([DPSOH 0HVVDJH ,' 'HVWLQDWLRQ '06 6RXUFH 6HW E\ WKH KRVW V\VWHP 0&8 2&8f 0&8 9HKLFOH 6HW XVLQJ WKH 6HW &RQILJ PVJ 08/ 'DWD 6WDWXV 6HH VHFWLRQ 6WDQGDUGL]HG PHVVDJH IRUPDW 'DWD 6L]H 1XPEHU RI E\WHV LQ GDWD GHFLPDOf ([FOXGH WKH OHDGLQJ t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

PAGE 176

'06 6WRS 5HSRUW ,QSXW 0HVVDJH 7KH '06 6WRS 5HSRUW PHVVDJH FDXVHV WKH V\VWHP WR VWRS RXWSXWWLQJ WKH '06 5HSRUW PHVVDJH 7KH '06 UHPDLQV LQ D UHDG\ LQLWLDOL]HGf VWDWH +HDGHU VHFWLRQ )LHOG 1DPH 'HVFULSWLRQ ([DPSOH 0HVVDJH ,' 'HVWLQDWLRQ '06 6RXUFH 6HW E\ WKH KRVW V\VWHP 0&8 2&8f 0&8 9HKLFOH 6HW XVLQJ WKH 6HW &RQILJ PVJ 08/ 'DWD 6WDWXV 6HH VHFWLRQ 6WDQGDUGL]HG PHVVDJH IRUPDW 'DWD 6L]H 1XPEHU RI E\WHV LQ GDWD GHFLPDOf ([FOXGH WKH OHDGLQJ t WUDLOLQJ < 'DWD 6HFWLRQ )LHOG 1DPH 'HVFULSWLRQ ([DPSOH 12 '$7$ ([DPSOH 0HVVDJH >[@'060&808/"">[@

PAGE 177

'06 6KXWGRZQ ,QSXW 0HVVDJH 7KH '06 6KXWGRZQ PHVVDJH FDXVHV WKH '06 WR VKXWGRZQ DOO RI LWV VXEV\VWHPV LQ WKH SURSHU IDVKLRQ $W WKLV WLPH WKH V\VWHP PD\ VDYH DQ\ ILOHV RU LQIRUPDWLRQ WKDW PD\ EH XVHG RQ WKH QH[W VWDUWXS 7KH SRZHU WR WKH PRGXOH PD\ WKHQ EH WXUQHG RII +HDGHU VHFWLRQ )LHOG 1DPH 'HVFULSWLRQ ([DPSOH 0HVVDJH ,' 'HVWLQDWLRQ '06 6RXUFH 6HW E\ WKH KRVW V\VWHP 0&8 2&8f 0&8 9HKLFOH 6HW XVLQJ WKH 6HW &RQILJ PVJ 08/ 'DWD 6WDWXV 6HH VHFWLRQ 6WDQGDUGL]HG PHVVDJH IRUPDW 'DWD 6L]H 1XPEHU RI E\WHV LQ GDWD GHFLPDOf ([FOXGH WKH OHDGLQJ t WUDLOLQJ 9 'DWD 6HFWLRQ )LHOG 1DPH 'HVFULSWLRQ ([DPSOH 12 '$7$ ([DPSOH 0HVVDJH >[@'062&808/"">[@

PAGE 178

'06 5HLQLWLDOL]H ,QSXW 0HVVDJH 7KH '06 5HLQLWLDOL]H PHVVDJH FDXVHV WKH V\VWHP WR UHVWDUW DQG UHLQLWLDOL]H DOO VXEn V\VWHPV LQ WKH SURSHU VHTXHQFH DQG EULQJ WKH V\VWHP XS WR D VWDWH RI UHDGLQHVV +HDGHU VHFWLRQ )LHOG 1DPH 'HVFULSWLRQ ([DPSOH 0HVVDJH ,' 'HVWLQDWLRQ '06 6RXUFH 6HW E\ WKH KRVW V\VWHP 0&8 2&8f 0&8 9HKLFOH 6HW XVLQJ WKH 6HW &RQILJ PVJ 08/ 'DWD 6WDWXV 6HH VHFWLRQ 6WDQGDUGL]HG PHVVDJH IRUPDW 'DWD 6L]H 1XPEHU RI E\WHV LQ GDWD GHFLPDOf ([FOXGH WKH OHDGLQJ t WUDLOLQJ 9 'DWD 6HFWLRQ )LHOG 1DPH 'HVFULSWLRQ ([DPSOH 12 '$7$ ([DPSOH 0HVVDJH >[@'060&808/"">[@

PAGE 179

'06 6WDQGE\ ,QSXW 0HVVDJH 7KH '06 6WDQGE\ PHVVDJH FDXVHV WKH V\VWHP WR JR LQWR D VWDQGE\ PRGH ,Q VWDQGE\ PRGH WKH V\VWHP LV DOLYH DQG UHDG\ WR EH UHLQLWLDOL]HG 1RWH $ '06 6KXWGRZQ VKRXOG EH JLYHQ SULRU WR WXUQLQJ V\VWHP SRZHU RII +HDGHU VHFWLRQ )LHOG 1DPH 'HVFULSWLRQ ([DPSOH 0HVVDJH ,' 'HVWLQDWLRQ '06 6RXUFH 6HW E\ WKH KRVW V\VWHP 0&8 2&8f 0&8 9HKLFOH 6HW XVLQJ WKH 6HW &RQILJ PVJ 08/ 'DWD 6WDWXV 6HH VHFWLRQ 6WDQGDUGL]HG PHVVDJH IRUPDW 'DWD 6L]H 1XPEHU RI E\WHV LQ GDWD GHFLPDOf ([FOXGH WKH OHDGLQJ t WUDLOLQJ 9 'DWD 6HFWLRQ )LHOG 1DPH 'HVFULSWLRQ ([DPSOH 12 '$7$ ([DPSOH 0HVVDJH >[@'060&808/"">[@

PAGE 180

'06 6HW &RQILJXUDWLRQ ,QSXW 0HVVDJH 7KH '06 6HW &RQILJXUDWLRQ PHVVDJH LV XVHG WR VHW XS WKH FRQILJXUDWLRQ RI WKH V\VWHP 7KH IROORZLQJ JLYHV DQ H[SODQDWLRQ RI WKH SDUDPHWHUV +HDGHU VHFWLRQ )LHOG 1DPH 'HVFULSWLRQ ([DPSOH 0HVVDJH ,' $ 'HVWLQDWLRQ '06 6RXUFH 6HW E\ WKH KRVW V\VWHP 0&8 2&8f 0&8 9HKLFOH 6HW XVLQJ WKH 6HW &RQILJ PVJ 08/ 'DWD 6WDWXV 6HH VHFWLRQ 6WDQGDUGL]HG PHVVDJH IRUPDW 'DWD 6L]H 9DULDEOH VHW SULRU WR VKLSSLQJ "" 'DWD 6HHO WLRQ )LHOG 1DPH 'HVFULSWLRQ ([DPSOH 9HKLFOH 7KH V\VWHP LQ ZKLFK WKH PRGXOH LV SK\VLFDOO\ FRQWDLQHG 08/ &RQILGHQFH &XWRII 'R QRW UHSRUW REVWDFOHV ZLWK D FRQILGHQFH OHVV WKHQ WKLV FXWRII &RQILGHQFH 5DQJH f 0LQLPXP +HLJKW PHWHUV 'XDO 3XUSRVH 'R QRW UHSRUW REVWDFOHV ZLWK D KHLJKW OHVV WKDQ WKLV VHWWLQJ $OVR XVHG WR VHW WKH ORZHU OLPLW RQ WKH ELWZLVH KHLJKW VHH '06 5HSRUW IRU GHWDLOVf 5DQJH LV WR PHWHUV 0D[LPXP +HLJKW PHWHUV 8VHG WR VHW WKH PD[ KHLJKW IRU WKH ELWZLVH KHLJKW VHH '06 5(3257 IRU GHWDLOVf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

PAGE 181

1RWH $ VHQVRU SODFHG DW WKH RULJLQ DQG RULHQWHG ZLWK WKH D[LV KDV DOO ]HUR RIIVHWV $QJXODU 2IIVHW;O $[LV UDGLDQV 7KH DQJXODU RIIVHWV JLYH WKH URWDWLRQ RI D VHQVRU UHODWLYH WR WKH VDPH FRRUGLQDWH V\VWHP RQ WKH YHKLFOH ZKLFK WKH XVHU FKRRVHV $OO RI WKH VHQVRUV PXVW EH UHIHUHQFHG WR WKH VDPH FRRUGLQDWH V\VWHP $QJXODU 2IIVHW[@$'060&808/""08/ "">[@

PAGE 182

'06 5HTXHVW &RQILJXUDWLRQ ,QSXW 0HVVDJH 7KLV PHVVDJH LV XVHG WR UHTXHVW WKH FXUUHQW FRQILJXUDWLRQ RI WKH '06 6HH '06 &RQILJXUDWLRQ 5HSRUW IRU WKH UHVSRQVH GHILQLWLRQ +HDGHU VHFWLRQ )LHOG 1DPH 'HVFULSWLRQ ([DPSOH 0HVVDJH ,' & 'HVWLQDWLRQ '06 6RXUFH 6HW E\ WKH KRVW V\VWHP 0&8 2&8f 0&8 9HKLFOH 6HW XVLQJ WKH 6HW &RQILJ PVJ 08/ 'DWD 6WDWXV 6HH VHFWLRQ 6WDQGDUGL]HG PHVVDJH IRUPDW 'DWD 6L]H 1XPEHU RI E\WHV LQ GDWD GHFLPDOf ([FOXGH WKH OHDGLQJ t WUDLOLQJ 9 'DWD 6HFWLRQ )LHOG 1DPH 'HVFULSWLRQ ([DPSOH 12 '$7$ ([DPSOH 0HVVDJH >[@&'060&808/"" >[@

PAGE 183

'06 5HTXHVW 6WDWXV ,QSXW 0HVVDJH 7KLV PHVVDJH LV XVHG WR UHTXHVW WKH FXUUHQW VWDWXV RI WKH '06 6HH '06 6WDWXV 5HSRUW IRU WKH UHVSRQVH GHILQLWLRQ +HDGHU VHFWLRQ )LHOG 1DPH 'HVFULSWLRQ ([DPSOH 0HVVDJH ,' ( 'HVWLQDWLRQ '06 6RXUFH 6HW E\ WKH KRVW V\VWHP 0&8 2&8f 0&8 9HKLFOH 6HW XVLQJ WKH 6HW &RQILJ PVJ 08/ 'DWD 6WDWXV 6HH VHFWLRQ 6WDQGDUGL]HG PHVVDJH IRUPDW 'DWD 6L]H 1XPEHU RI E\WHV LQ GDWD GHFLPDOf ([FOXGH WKH OHDGLQJ t WUDLOLQJ 9 'DWD 6HFWLRQ )LHOG 1DPH 'HVFULSWLRQ ([DPSOH 12 '$7$ ([DPSOH 0HVVDJH >[@('060&808/"">[@

PAGE 184

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f 7KH IROORZLQJ LV D GHVFULSWLRQ RI WKH SDUDPHWHUV +HDGHU VHFWLRQ )LHOG 1DPH 'HVFULSWLRQ ([DPSOH 0HVVDJH ,' $ 'HVWLQDWLRQ 'HVWLQDWLRQ ZLOO EH VHW HTXDO WR WKH VRXUFH RI WKH VWDUW UHSRUW PHVVDJH 0&8 6RXUFH '06 9HKLFOH 6HW XVLQJ WKH 6HW &RQILJ PVJ 08/ 'DWD 6WDWXV 6HH VHFWLRQ 6WDQGDUGL]HG PHVVDJH IRUPDW 'DWD 6L]H 9DULDEOH VHW SULRU WR VKLSSLQJ XVH VL]HRI4f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f &RQILGHQFH H[LVWHQFHf 7KH FRQILGHQFH UHSUHVHQWV SUREDELOLW\ WKDW DQ REVWDFOH RFFXSLHV WKH VSDFH 7KH FRQILGHQFH PXVW EH JUHDWHU WKDQ WKH FRQILGHQFH FXWRII VHW LQ '06HW&RQILJ 5DQJH WR f 7LPH 6WDPS 7KH WLPH ZKHQ WKH REVWDFOH ZDV SODFHG ZLWKLQ WKH GDWDEDVH *07 -XOLRQ KKPPVVVVf 506 PHWHUV (VWLPDWLRQ RI WKH ORFDWLRQ HUURU RI WKH REVWDFOH

PAGE 185

&ODVVLILFDWLRQ 7KH LGHQWLILHU RI WKH REVWDFOHfV FODVVLILFDWLRQ LH ZKHWKHU WKH REVWDFOH LV D URFN WUHH ZDOO HWF 6HH 7DEOH RI FODVV LGHQWLILHUV QR LQIRUPDWLRQ 7\SH 7KH LGHQWLILHU RI WKH REVWDFOHfV W\SH LH ZKHWKHU WKH fWUHHf LV DQ RDN SLQH HWF 6HH 7DEOH RI W\SH LGHQWLILHUV QR LQIRUPDWLRQ &ODVV &RQILGHQFH &ODVVLILFDWLRQ t 7\SHf 7KH FRQILGHQFH UHSUHVHQWV SUREDELOLW\ WKDW WKH REVWDFOH LV RI WKH JLYHQ FODVVLILFDWLRQ DQG W\SH 5DQJH WR f ,I &RQI t WKHQ WKHUH LV D KLJK SUREDELOLW\ WKDW WKH FODVV LV FRUUHFW EXW W\SH LV VWLOO XQNQRZQ ,I &RQI WKHQ WKHUH LV D KLJK SUREDELOLW\ WKDW ERWK WKH FODVV DQG W\SH DUH FRUUHFW LQGLFDWHV QR LQIRUPDWLRQ RQ W\SH RU FODVV YHUWLFHV REVWDFOH 7KH QXPEHU RI YHUWLFHV IRU REVWDFOH /DWLWXGH YHUW ODWLWXGH RI WKH VW YHUWH[ :*6 f /RQJLWXGH OYHUW ORQJLWXGH RI WKH VW YHUWH[ :*6 f $OWLWXGH YHUW $OWLWXGH RI WKH VW YHUWH[ PHWHUVf "" /DWLWXGH Q YHUW ODWLWXGH RI WKH QWK YHUWH[ :*6 f "" /RQJLWXGH QYHUW ORQJLWXGH RI WKH QWK YHUWH[ :*6 f "" $OWLWXGH Q YHUW $OWLWXGH RI WKH QWK YHUWH[ PHWHUVf +HLJKW 7KH ELWZLVH KHLJKW LV XVHG LQ FRQMXQFWLRQ ZLWK WKH PLQLPXP DQG PD[LPXP REVWDFOH KHLJKW VHH '06&RQILJ5HSRUWf WR FUHDWH D WKUHH GLPHQVLRQDO UHSUHVHQWDWLRQ RI WKH GDWD )RU LQVWDQFH LI WKH PLQLPXP DQG PD[LPXP KHLJKW ZHUH VHW WR DQG PHWHUV HDFK RI WKH ELWV LQ WKH ELWZLVH KHLJKW ZRXOG UHSUHVHQW D PHWHU LQ KHLJKW $ YDOXH RI 2[22)2 ZRXOG PHDQ WKDW DQ REMHFW LV PHWHUV RII RI WKH JURXQG DQG LV PHWHUV LQ KHLJKW RU PHWHUV IURP WKH JURXQGf 22I2 "" $GGLWLRQGHOHWLRQ 1WK 2EVWDFOH ,' QWKf &RQILGHQFH H[LVWHQFHf QWKf 7LPH 6WDPS QWKf 506 QWKf &ODVVLILFDWLRQ QWKf 7\SH QWKf &RQILGHQFH &ODVVLILFDWLRQf YHUWLFLHV REVWDFOH QWK /DWLWXGH YHUW /RQJLWXGH OYHUW

PAGE 186

$OWLWXGH YHUW /DWLWXGH Q YHUW /RQJLWXGH QYHUW $OWLWXGH Q YHUW +HLJKW QWKf 22I2 6WDWXV ([DPSOH 0HVVDJH >[@D0&8'0608/"" If "">[@ &ODVVLILFDWLRQ WDEOH &ODVVLILFDWLRQ ,GHQWLILHU 'HVFULSWLRQ 1R LQIRUPDWLRQ )UHH VSDFH &OHDU VFDQQHG DUHDV 7UHH $ WDOO WKLQJ ZLWK OHDYHV RQ LW 5RFN 6WDWXV %\WH 'HVFULSWLRQ 6WDWXV E\WH LV JHQHULF DQG ZLOO QRW FKDQJH IURP V\VWHP WR V\VWHP 6WDWXV E\WH LV VHW DVLGH WR EH V\VWHP VSHFLILF GHILQHG E\ WKH YDULRXV '06 V\VWHP PRGXOHV 6WDWXV %\WH 6WDWXV %\O H %LW &RQGLWLRQ ZKHQ VHW VHWf %LW &RQGLWLRQ ZKHQ VHW O VHWf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

PAGE 187

'06 &RQILJXUDWLRQ 5HSRUW 2XWSXW 0HVVDJH 7KLV PHVVDJH LV XVHG WR UHSRUW WKH FXUUHQW FRQILJXUDWLRQ RI WKH '06 7KH IROORZLQJ LV D GHVFULSWLRQ RI WKH SDUDPHWHUV +HDGHU VHFWLRQ )LHOG 1DPH 'HVFULSWLRQ ([DPSOH 0HVVDJH ,' $ 'HVWLQDWLRQ 'HVWLQDWLRQ ZLOO EH VHW HTXDO WR WKH VRXUFH RI WKH VWDUW UHSRUW PHVVDJH 0&8 6RXUFH '06 9HKLFOH 6HW XVLQJ WKH 6HW &RQILJ PVJ 08/ 'DWD 6WDWXV 6HH VHFWLRQ 6WDQGDUGL]HG PHVVDJH IRUPDW 'DWD 6L]H 9DULDEOH VHW SULRU WR VKLSSLQJ XVH VL]HRI4f "" 'DWD 6HFWLRQ )LHOG 1DPH 'HVFULSWLRQ ([DPSOH 7H[W 'HVFULSWLRQ )UHH IRUP WH[W GHVFULSWLRQ 0D\ OLVW WKH PDLQ FRPSRQHQWV XVHG E\ WKH V\VWHP DQG RU RWKHU SHUWLQHQW LQIRUPDWLRQ '06 -3/ 9LVLRQ 75& 6RQDU 6,&. /DVHU 7DNDR )XVHG 6\VWHP ,GHQWLILFDWLRQ *LYHV D KH[ QXPEHU DVVLJQHG WR WKH SDUWLFXODU '06 VR WKDW LW PD\ EH PRUH XQLTXHO\ GHVFULEHG 9HKLFOH 6HH '066HW&RQILJ 08/ &RQILGHQFH &XWRII 6HH '066HW&RQILJ 0LQLPXP +HLJKW 6HH '066HW&RQILJ 0D[LPXP +HLJKW 6HH '066HW&RQILJ 6HQVRUV 6HH '066HW&RQILJ 3RVLWLRQ 2IIVHW ; 6HH '066HW&RQILJ 3RVLWLRQ 2IIVHW < 6HH '066HW&RQILJ 3RVLWLRQ 2IIVHW = 6HH '066HW&RQILJ $QJXODU 2IIVHW;O $[LV 6HH '066HW&RQILJ $QJXODU 2IIVHW< $[LV 6HH '066HW&RQILJ $QJXODU 2IIVHW=O $[LV 6HH '066HW&RQILJ 3RVLWLRQ 2IIVHW ;Q 6HH '066HW&RQILJ 3RVLWLRQ 2IIVHW
PAGE 188

$QJXODU 2IIVHW[@$0&8'0608/""'06 -3/ YLVLRQ 75& VRQDU 6,&. ODVHU 7DNDR IXVHG08/ "">[@

PAGE 189

'06 6WDWXV 5HSRUW 2XWSXW 0HVVDJH 3URYLGHV WKH KRVW ZLWK WKH V\VWHP VWDWXV LQIRUPDWLRQ +HDGHU VHFWLRQ )LHOG 1DPH 'HVFULSWLRQ ([DPSOH 0HVVDJH ,' $ 'HVWLQDWLRQ 'HVWLQDWLRQ ZLOO EH VHW HTXDO WR WKH VRXUFH RI WKH VWDUW UHSRUW PHVVDJH 0&8 6RXUFH '06 9HKLFOH 6HW XVLQJ WKH 6HW &RQILJ PVJ 08/ 'DWD 6WDWXV 6HH VHFWLRQ 6WDQGDUGL]HG PHVVDJH IRUPDW 'DWD 6L]H 1XPEHU RI E\WHV LQ GDWD GHFLPDOf ([FOXGH WKH OHDGLQJ t WUDLOLQJ 9 'DWD 6HFWLRQ )LHOG 1DPH 'HVFULSWLRQ ([DPSOH 6WDWXV E\WHV 6HH %HORZ ([DPSOH 0HVVDJH >[@D0&8'0608/"">[@ 6HH '06 5HSRUW IRU 6WDWXV %\WH 'HVFULSWLRQ

PAGE 190

3DWK 3ODQQHU 3/1f $6&,,f 9HUVLRQ 7KLV VHFWLRQ SUHVHQWV WKH PHVVDJHV WKDW PD\ EH VHQW WR WKH SODQQHU V\VWHP DQG WKH PHVVDJHV WKDW ZLOO EH UHWXUQHG (YHU\ PHVVDJH ZLOO EH FRPSRVHG RI D KHDGHU VHFWLRQ D GDWD VHFWLRQ DQG DQ HQG RI PHVVDJH VHFWLRQ 7KH GDWD VHFWLRQ RI WKH PHVVDJHV DUH GHILQHG KHUH 6HH WKH VWDQGDUGL]HG PHVVDJH IRUPDW GRFXPHQWDWLRQ VHFWLRQ f IRU WKH KHDGHU DQG HQG RI PHVVDJH IRUPDWV 1RWH 6HH VSHFLILF PRGXOH GRFXPHQWDWLRQ IRU DGGLWLRQDO V\VWHP VSHFLILF QRQ UHTXLUHGf PHVVDJHV ,QSXW 0HVVDJHV 3/1 6KXWGRZQ 3/1 5HLQLWLDOL]H 3/1 6HW &RQILJ 3/1 5HTXHVW &RQILJ 3/1 5HTXHVW 6WDWXV 3/1 5HTXHVW 3DWK '06 5HSRUW ,, 2XWSXW 0HVVDJHV 3/1 &RQILJ 5HSRUW 3/1 6WDWXV 5HSRUW 3/1 3DWK 5HSRUW '06 6WDUW 5HSRUW '06 6WRS 5HSRUW [ [ [$ [& [( [ 6HH 'HWHFWLRQ 0DSSLQJ 6\VWHP ,' [ $ [ $ [& 6HH 'HWHFWLRQ 0DSSLQJ 6\VWHP ,'

PAGE 191

3/1 6KXWGRZQ ,QSXW 0HVVDJH 7KH 3/1 6KXWGRZQ PHVVDJH FDXVHV WKH SODQQHU V\VWHP WR VKXWGRZQ DOO RI LWV VXEn V\VWHPV LQ WKH SURSHU IDVKLRQ $W WKLV WLPH WKH V\VWHP PD\ VDYH DQ\ ILOHV RU LQIRUPDWLRQ WKDW PD\ EH XVHG RQ WKH QH[W VWDUWXS 7KH SRZHU WR WKH PRGXOH PD\ WKHQ EH WXUQHG RII +HDGHU VHFWLRQ )LHOG 1DPH 'HVFULSWLRQ ([DPSOH 0HVVDJH ,' 'HVWLQDWLRQ 3/1 6RXUFH 6HW E\ WKH KRVW V\VWHP 0&8 2&8f 0&8 9HKLFOH 6HW XVLQJ WKH 6HW &RQILJ PVJ 08/ 'DWD 6WDWXV 6HH VHFWLRQ 6WDQGDUGL]HG PHVVDJH IRUPDW 'DWD 6L]H 1XPEHU RI E\WHV LQ GDWD GHFLPDOf ([FOXGH WKH OHDGLQJ t WUDLOLQJ 'DWD 6HFWLRQ )LHOG 1DPH 'HVFULSWLRQ ([DPSOH 12 '$7$ ([DPSOH 0HVVDJH >[@3/12&808/"">[@

PAGE 192

3/1 5HLQLWLDOL]H ,QSXW 0HVVDJH 7KH 3/1 5HLQLWLDOL]H PHVVDJH FDXVHV WKH V\VWHP WR UHVWDUW DQG UHLQLWLDOL]H DOO VXEn V\VWHPV LQ WKH SURSHU VHTXHQFH DQG EULQJ WKH V\VWHP XS WR D VWDWH RI UHDGLQHVV +HDGHU VHFWLRQ )LHOG 1DPH 'HVFULSWLRQ ([DPSOH 0HVVDJH ,' 'HVWLQDWLRQ 3/1 6RXUFH 6HW E\ WKH KRVW V\VWHP 0&8 2&8f 0&8 9HKLFOH 6HW XVLQJ WKH 6HW &RQILJ PVJ 08/ 'DWD 6WDWXV 6HH VHFWLRQ 6WDQGDUGL]HG PHVVDJH IRUPDW 'DWD 6L]H 1XPEHU RI E\WHV LQ GDWD GHFLPDOf ([FOXGH WKH OHDGLQJ t WUDLOLQJ < 'DWD 6HFWLRQ )LHOG 1DPH 'HVFULSWLRQ ([DPSOH ([DPSOH 0HVVDJH >[@3/10&808/"">[@

PAGE 193

3/1 6WDQGE\ ,QSXW 0HVVDJH 7KH 3/1 6WDQGE\ PHVVDJH FDXVHV WKH V\VWHP WR JR LQWR D VWDQGE\ PRGH ,Q VWDQGE\ PRGH WKH V\VWHP LV DOLYH DQG UHDG\ WR EH UHLQLWLDOL]HG 1RWH $ 3/1 6KXWGRZQ VKRXOG EH JLYHQ SULRU WR WXUQLQJ V\VWHP SRZHU RII +HDGHU VHFWLRQ )LHOG 1DPH 'HVFULSWLRQ ([DPSOH 0HVVDJH ,' 'HVWLQDWLRQ 3/1 6RXUFH 6HW E\ WKH KRVW V\VWHP 0&8 2&8f 0&8 9HKLFOH 6HW XVLQJ WKH 6HW &RQILJ PVJ 08/ 'DWD 6WDWXV 6HH VHFWLRQ 6WDQGDUGL]HG PHVVDJH IRUPDW 'DWD 6L]H 1XPEHU RI E\WHV LQ GDWD GHFLPDOf ([FOXGH WKH OHDGLQJ t WUDLOLQJ 9 'DWD 6HFWLRQ )LHOG 1DPH 'HVFULSWLRQ ([DPSOH 12 '$7$ ([DPSOH 0HVVDJH >[@3/10&808/"">[@

PAGE 194

3/1 6HW &RQILJXUDWLRQ ,QSXW 0HVVDJH 7KH 3/1 6HW &RQILJXUDWLRQ PHVVDJH LV XVHG WR VHW XS WKH FRQILJXUDWLRQ RI WKH V\VWHP 7KH IROORZLQJ JLYHV DQ H[SODQDWLRQ RI WKH SDUDPHWHUV +HDGHU VHFWLRQ )LHOG 1DPH 'HVFULSWLRQ ([DPSOH 0HVVDJH ,' $ 'HVWLQDWLRQ 3/1 6RXUFH 6HW E\ WKH KRVW V\VWHP 0&8 2&8f 0&8 9HKLFOH 6HW XVLQJ WKH 6HW &RQILJ PVJ 08/ 'DWD 6WDWXV 6HH VHFWLRQ 6WDQGDUGL]HG PHVVDJH IRUPDW 'DWD 6L]H 9DULDEOH VHW SULRU WR VKLSSLQJ "" 'DWD 6HF LRQ )LHOG 1DPH 'HVFULSWLRQ ([DPSOH 9HKLFOH 7KH V\VWHP WKDW WKH PRGXOH LV SK\VLFDOO\ FRQWDLQHG LQ 08/ /HQJWK /HQJWK RI WKH YHKLFOH PHWHUVf :LGWK :LGWK RI WKH YHKLFOH PHWHUVf +HLJKW +HLJKW RI WKH YHKLFOH PHWHUVf 7XUQLQJ UDGLXV 9HKLFOHV PLQLPXP WXUQLQJ UDGLXV 0HWHUVf 1RWH ,I WKH YHKLFOH LV RPQLGLUHFWLRQDO WKHQ WKLV YDULDEOH VKRXOG EH VHW WR ]HUR 1XPEHU RI SDWK SDUDPHWHUV 7KH QXPEHU RI SDWK SODQQLQJ SDUDPHWHUV WKDW DUH VSHFLILF WR D JLYHQ SDWK SODQQHU LQ WKH FXUUHQW PHVVDJH 3DUDPHWHU 1 SDUDPHWHUV WKDW DUH VSHFLILF WR D JLYHQ SDWK SODQQHU HJ XVH D ERXQGDU\ UHVWULFW VWDUW URZ GLVWDQFH HWFf 3DUDPHWHU 1 ([DPSOH 0HVVDJH >[@$3/10&808/""08/ "">[@

PAGE 195

3/1 5HTXHVW &RQILJXUDWLRQ ,QSXW 0HVVDJH 7KLV PHVVDJH LV XVHG WR UHTXHVW WKH FXUUHQW FRQILJXUDWLRQ RI WKH SODQQHU V\VWHP 6HH 3/1 &RQILJXUDWLRQ 5HSRUW IRU WKH UHVSRQVH GHILQLWLRQ +HDGHU VHFWLRQ )LHOG 1DPH 'HVFULSWLRQ ([DPSOH 0HVVDJH ,' & 'HVWLQDWLRQ 3/1 6RXUFH 6HW E\ WKH KRVW V\VWHP 0&8 2&8f 0&8 9HKLFOH 6HW XVLQJ WKH 6HW &RQILJ PVJ 08/ 'DWD 6WDWXV 6HH VHFWLRQ 6WDQGDUGL]HG PHVVDJH IRUPDW 'DWD 6L]H 1XPEHU RI E\WHV LQ GDWD GHFLPDOf ([FOXGH WKH OHDGLQJ t WUDLOLQJ < 'DWD 6HFWLRQ )LHOG 1DPH 'HVFULSWLRQ ([DPSOH 12 '$7$ ([DPSOH 0HVVDJH >[@&3/10&808/"" >[@

PAGE 196

3/1 5HTXHVW 6WDWXV ,QSXW 0HVVDJH 7KLV PHVVDJH LV XVHG WR UHTXHVW WKH FXUUHQW VWDWXV RI WKH SODQQHU V\VWHP 6HH 3/1 6WDWXV 5HSRUW IRU WKH UHVSRQVH GHILQLWLRQ +HDGHU VHFWLRQ )LHOG 1DPH 'HVFULSWLRQ ([DPSOH 0HVVDJH ,' ( 'HVWLQDWLRQ 3/1 6RXUFH 6HW E\ WKH KRVW V\VWHP 0&8 2&8f 0&8 9HKLFOH 6HW XVLQJ WKH 6HW &RQILJ PVJ 08/ 'DWD 6WDWXV 6HH VHFWLRQ 6WDQGDUGL]HG PHVVDJH IRUPDW 'DWD 6L]H 1XPEHU RI E\WHV LQ GDWD GHFLPDOf ([FOXGH WKH OHDGLQJ t WUDLOLQJ 9 'DWD 6HFWLRQ )LHOG 1DPH 'HVFULSWLRQ ([DPSOH 12 '$7$ ([DPSOH 0HVVDJH >[@(3/10&808/"">[@

PAGE 197

3/1 5HTXHVW 3DWK ,QSXW 0HVVDJH 7KLV PHVVDJH LV XVHG WR UHTXHVW D SODQ 7KH IROORZLQJ LV D GHILQLWLRQ RI WKH PHVVDJH SDUDPHWHUV 6HH 3/1 3DWK 5HSRUW IRU WKH UHVSRQVH UHSRUW GHILQLWLRQ +HDGHU VHFWLRQ )LHOG 1DPH 'HVFULSWLRQ ([DPSOH 0HVVDJH ,' 'HVWLQDWLRQ 3/1 6RXUFH 6HW E\ WKH KRVW V\VWHP 0&8 2&8f 0&8 9HKLFOH 6HW XVLQJ WKH 6HW &RQILJ PVJ 08/ 'DWD 6WDWXV 6HH VHFWLRQ 6WDQGDUGL]HG PHVVDJH IRUPDW 'DWD 6L]H 1XPEHU RI E\WHV LQ GDWD GHFLPDOf ([FOXGH WKH OHDGLQJ t WUDLOLQJ 9 "" 'DWD 6HHO LRQ )LHOG 1DPH 'HVFULSWLRQ ([DPSOH 3DWK 7\SH 7KH SDWK W\SH GHVFULEHV ZKDW NLQG RI SODQ LV EHLQJ UHTXHVWHG )RU H[DPSOH \RX PD\ UHTXHVW D JR WR JRDO SDWK DQG JLYH WKH VWDUW DQG JRDO SRVHV $OWHUQDWLYHO\ \RX PD\ UHTXHVW D VZHHS SDWK DQG VSHFLI\ WKH FRPHU SRLQWV RI WKH ILHOG 6HH WKH 3DWK 7\SH WDEOH IRU W\SH LGHQWLILHUV SRLQWV 7KH QXPEHU RI SRLQWV VSHFLILHG 7KHVH ZRXOG EH WKH VWDUW JRDO FRPHU SRLQWV HWF /DWLWXGH GHJUHHV /DWLWXGH RI WKH ILUVW SRLQW :*6f /RQJLWXGH GHJUHHV /RQJLWXGH RI WKH ILUVW SRLQW :*6f $OWLWXGH PHWHUV $OWLWXGH RI WKH ILUVW SRLQW WKHWD [ 5ROOf UDGLDQV WL WR Q 2ULHQWDWLRQ DERXW WKH [ D[LV RI WKH ILUVW SRLQW 8VH WKH ULJKW KDQG UXOH [ LV IRUZDUG ] LV GRZQ D[LV DWWDFKHG WR YHKLFOHf WKHWDB\SLWFKf UDGLDQV Q WR Q 2ULHQWDWLRQ DERXW WKH \ D[LV DW WKH ILUVW SRLQW WKHWD]\DZf UDGLDQV WR Q *HRGHWLF 1RUWK 2ULHQWDWLRQ DERXW WKH ] D[LV DW WKH ILUVW SRLQW /DWLWXGH Q /RQJLWXGH Q

PAGE 198

" $OWLWXGH Q WKHWD [ 5ROOf WKHWD \SLWFKf WKHWD ]\DZf ([DPSOH 0HVVDJH >[@3/10&808/""f ">[@ 3DWK 7\SH 7DEOH 3DWK 7\SH 'HVFULSWLRQ 5HTXLUHG ,QIRUPDWLRQ *R WR *RDO 6WDUW 3RVLWLRQ *RDO 3RVLWLRQ )LHOG 6ZHHS &RPHU SRLQWV RI ILHOG

PAGE 199

3/1 3DWK 5HSRUW 2XWSXW 0HVVDJH 7KLV LV WKH PDLQ PHVVDJH IURP WKH SODQQHU V\VWHP 7KH IROORZLQJ LV D GHVFULSWLRQ RI WKH SDUDPHWHUV +HDGHU VHFWLRQ )LHOG 1DPH 'HVFULSWLRQ ([DPSOH 0HVVDJH ,' & 'HVWLQDWLRQ 'HVWLQDWLRQ ZLOO EH VHW HTXDO WR WKH VRXUFH RI WKH 6WDUW 5HSRUW PHVVDJH 0&8 6RXUFH 3/1 9HKLFOH 6HW XVLQJ WKH 6HW &RQILJ PVJ 08/ 'DWD 6WDWXV 6HH VHFWLRQ 6WDQGDUGL]HG PHVVDJH IRUPDW 'DWD 6L]H 9DULDEOH VHW SULRU WR VKLSSLQJ XVH VL]HRI4f "" 'DWD 6HFWLRQ )LHOG 1DPH 'HVFULSWLRQ ([DPSOH 3DWK 7\SH 6HH WDEOH RI SDWK W\SHV XQGHU 3/1 5HTXHVW 3ODQ 3DWK 6WDWXV 3DWK 2. O 3DWK LV QRW YDOLG 3DWK /HQJWK 0HWHUV VXEJRDOV QXPEHU RI VXEJRDOV /DWLWXGH GHJUHHV /DWLWXGH RI WKH ILUVW SRLQW :*6f /RQJLWXGH GHJUHHV /RQJLWXGH RI WKH ILUVW SRLQW :*6f $OWLWXGH PHWHUV $OWLWXGH RI WKH ILUVW SRLQW WKHWD[ 5ROOf UDGLDQV 7LOO W2 7LOO 2ULHQWDWLRQ DERXW WKH [ D[LV RI WKH ILUVW SRLQW 8VH WKH ULJKW KDQG UXOH [ LV IRUZDUG ] LV GRZQ D[LV DWWDFKHG WR YHKLFOHf WKHWDB\SLWFKf UDGLDQV 7LOO WR QLO 2ULHQWDWLRQ DERXW WKH \ D[LV DW WKH ILUVW SRLQW WKHWD]\DZf UDGLDQV WR ML *HRGHWLF 1RUWK 2ULHQWDWLRQ DERXW WKH ] D[LV DW WKH ILUVW SRLQW "" /DWLWXGH Q "" /RQJLWXGH Q "" $OWLWXGH Q "" WKHWD [ 5ROOf "" WKHWD \ SLWFKf "" WKHWD ] \DZf "" 3/1 6WDWXV 6HH %HORZ

PAGE 200

([DPSOH 0HVVDJH >[@D0&83/108/""f "">[@ 6WDWXV %\WH 'HVFULSWLRQ 6WDWXV E\WH LV JHQHULF DQG ZLOO QRW FKDQJH IURP V\VWHP WR V\VWHP 6WDWXV E\WH LV VHW DVLGH WR EH V\VWHP VSHFLILF GHILQHG E\ WKH YDULRXV 3/1 V\VWHP PRGXOHV 6WDWXV %\WH 6WDWXV %\WH %LW &RQGLWLRQ ZKHQ VHW VHWf %LW &RQGLWLRQ ZKHQ VHW VHWf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

PAGE 201

3/1 &RQILJXUDWLRQ 5HSRUW 2XWSXW 0HVVDJH 7KLV PHVVDJH LV XVHG WR UHSRUW WKH FXUUHQW FRQILJXUDWLRQ RI WKH SODQQHU V\VWHP 7KH IROORZLQJ LV D GHVFULSWLRQ RI WKH SDUDPHWHUV +HDGHU VHFWLRQ )LHOG 1DPH 'HVFULSWLRQ ([DPSOH 0HVVDJH ,' $ 'HVWLQDWLRQ 'HVWLQDWLRQ ZLOO EH VHW HTXDO WR WKH VRXUFH RI WKH 6WDUW 5HSRUW PHVVDJH 0&8 6RXUFH 3/1 9HKLFOH 6HW XVLQJ WKH 6HW &RQILJ PVJ 08/ 'DWD 6WDWXV 6HH VHFWLRQ 6WDQGDUGL]HG PHVVDJH IRUPDW 'DWD 6L]H 9DULDEOH VHW SULRU WR VKLSSLQJ XVH VL]HRI4f "" 'DWD 6HHO WLRQ )LHOG 1DPH 'HVFULSWLRQ ([DPSOH 7H[W 'HVFULSWLRQ )UHH IRUP WH[W GHVFULSWLRQ 0D\ OLVW WKH PDLQ FRPSRQHQWV XVHG E\ WKH V\VWHP DQG RU RWKHU SHUWLQHQW LQIRUPDWLRQ 3ODQQHU 6\VWHP 3ODQV JR WR JRDO DQG ILHOG VZHHS SDWKV 6\VWHP ,GHQWLILFDWLRQ *LYHV D KH[ QXPEHU DVVLJQHG WR WKH SDUWLFXODU SODQQHU V\VWHP VR WKDW LW PD\ EH PRUH XQLTXHO\ GHVFULEHG ([DPSOH 0HVVDJH >[@$0&83/108/""3ODQQHU 6\VWHP 3ODQV JR WR JRDO DQG ILHOG VZHHS SDWKV OO"">[@

PAGE 202

3/1 6WDWXV 5HSRUW 2XWSXW 0HVVDJH 3URYLGHV WKH KRVW ZLWK WKH V\VWHP VWDWXV LQIRUPDWLRQ +HDGHU VHFWLRQ )LHOG 1DPH 'HVFULSWLRQ ([DPSOH 0HVVDJH ,' $ 'HVWLQDWLRQ 'HVWLQDWLRQ ZLOO EH VHW HTXDO WR WKH VRXUFH RI WKH VWDUW 5HSRUW PHVVDJH 0&8 6RXUFH 3/1 9HKLFOH 6HW XVLQJ WKH 6HW &RQILJ PVJ 08/ 'DWD 6WDWXV 6HH VHFWLRQ 6WDQGDUGL]HG PHVVDJH IRUPDW 'DWD 6L]H 1XPEHU RI E\WHV LQ GDWD GHFLPDOf ([FOXGH WKH OHDGLQJ t WUDLOLQJ < 'DWD 6HFWLRQ )LHOG 1DPH 'HVFULSWLRQ ([DPSOH 6WDWXV E\WHV 6HH %HORZ ([DPSOH 0HVVDJH >[@D0&83/108/"">[@ 6HH 3/1 5HSRUW IRU 6WDWXV %\WH 'HVFULSWLRQ

PAGE 203

$33(1',; % 179 6,08/$7,21 5(68/76 6LPXODWLRQV ZHUH GRQH E\ XVLQJ D 6LOLFRQ *UDSKLFV FRPSXWHU DQG 0RWLI DQG ,QYHQWRU VRIWZDUH OLEUDULHV 7KH PRGHO XVHG WR GHWHUPLQH WKH YHKLFOH PRWLRQ LV JLYHQ LQ &KDSWHU (DVW PHWHUVf )LJXUH %O )ROORZ WKH &DUURW DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNDKHDG GLVWDQFH

PAGE 204

(DVW PHWHUVf )LJXUH % 3XUH 3XUVXLW DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNDKHDG GLVWDQFH (DVW PHWHUVf )LJXUH % 9HFWRU 3XUVXLW 0HWKRG DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNDKHDG GLVWDQFH

PAGE 205

(DVW PHWHUVf )LJXUH % 9HFWRU 3XUVXLW 0HWKRG DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNDKHDG GLVWDQFH (DVW PHWHUVf )LJXUH % )ROORZ WKH &DUURW DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNDKHDG GLVWDQFH

PAGE 206

(DVW PHWHUVf )LJXUH % 3XUH 3XUVXLW DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNDKHDG GLVWDQFH (DVW PHWHUVf )LJXUH % 9HFWRU 3XUVXLW 0HWKRG DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNDKHDG GLVWDQFH

PAGE 207

(DVW PHWHUVf )LJXUH % 9HFWRU 3XUVXLW 0HWKRG DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNDKHDG GLVWDQFH (DVW PHWHUVf )LJXUH % )ROORZ WKH &DUURW DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNDKHDG GLVWDQFH

PAGE 208

(DVW PHWHUVf )LJXUH % 3XUH 3XUVXLW DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNDKHDG GLVWDQFH (DVW PHWHUVf )LJXUH %OO 9HFWRU 3XUVXLW 0HWKRG DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNn DKHDG GLVWDQFH

PAGE 209

(DVW PHWHUVf )LJXUH % 9HFWRU 3XUVXLW 0HWKRG DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNn DKHDG GLVWDQFH (DVW PHWHUVf )LJXUH % )ROORZ WKH &DUURW DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNDKHDG GLVWDQFH

PAGE 210

(DVW PHWHUVf )LJXUH % 3XUH 3XUVXLW DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNDKHDG GLVWDQFH (DVW PHWHUVf )LJXUH % 9HFWRU 3XUVXLW 0HWKRG DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNn DKHDG GLVWDQFH

PAGE 211

(DVW PHWHUVf )LJXUH % 9HFWRU 3XUVXLW 0HWKRG DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNn DKHDG GLVWDQFH (DVW PHWHUVf )LJXUH % )ROORZ WKH &DUURW DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNDKHDG GLVWDQFH

PAGE 212

(DVW PHWHUVf )LJXUH % 3XUH 3XUVXLW DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNDKHDG GLVWDQFH (DVW PHWHUVf )LJXUH % 9HFWRU 3XUVXLW 0HWKRG DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNn DKHDG GLVWDQFH

PAGE 213

(DVW PHWHUVf )LJXUH % 9HFWRU 3XUVXLW 0HWKRG DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNn DKHDG GLVWDQFH )LJXUH % )ROORZ WKH &DUURW DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNDKHDG GLVWDQFH

PAGE 214

(DVW PHWHUVf )LJXUH % 3XUH 3XUVXLW DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNDKHDG GLVWDQFH (DVW PHWHUVf )LJXUH % 9HFWRU 3XUVXLW 0HWKRG DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNn DKHDG GLVWDQFH

PAGE 215

(DVW PHWHUVf )LJXUH % 9HFWRU 3XUVXLW 0HWKRG DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNn DKHDG GLVWDQFH (DVW PHWHUVf )LJXUH % )ROORZ WKH &DUURW DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNDKHDG GLVWDQFH DQG PHWHU MRJ LQ SDWK

PAGE 216

)LJXUH % )ROORZ WKH &DUURW DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNDKHDG GLVWDQFH DQG PHWHU MRJ LQ SDWK (DVW PHWHUVf )LJXUH % )ROORZ WKH &DUURW DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNDKHDG GLVWDQFH DQG PHWHU MRJ LQ SDWK

PAGE 217

)LJXUH % )ROORZ WKH &DUURW DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNDKHDG GLVWDQFH DQG PHWHU MRJ LQ SDWK (DVW PHWHUVf )LJXUH % )ROORZ WKH &DUURW DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNDKHDG GLVWDQFH DQG PHWHU MRJ LQ SDWK

PAGE 218

)LJXUH % 3XUH 3XUVXLW DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNDKHDG GLVWDQFH DQG PHWHU MRJ LQ SDWK (DVW PHWHUVf )LJXUH % 3XUH 3XUVXLW DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNDKHDG GLVWDQFH DQG PHWHU MRJ LQ SDWK

PAGE 219

)LJXUH % 3XUH 3XUVXLW DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNDKHDG GLVWDQFH DQG PHWHU MRJ LQ SDWK (DVW PHWHUVf )LJXUH % 3XUH 3XUVXLW DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNDKHDG GLVWDQFH DQG PHWHU MRJ LQ SDWK

PAGE 220

(DVW PHWHUVf )LJXUH % 3XUH 3XUVXLW DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNDKHDG GLVWDQFH DQG PHWHU MRJ LQ SDWK (DVW PHWHUVf )LJXUH % 9HFWRU 3XUVXLW 0HWKRG DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNn DKHDG GLVWDQFH DQG PHWHU MRJ LQ SDWK

PAGE 221

)LJXUH % 9HFWRU 3XUVXLW 0HWKRG DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNn DKHDG GLVWDQFH DQG PHWHU MRJ LQ SDWK (DVW PHWHUVf )LJXUH % 9HFWRU 3XUVXLW 0HWKRG DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNn DKHDG GLVWDQFH DQG PHWHU MRJ LQ SDWK

PAGE 222

)LJXUH % 9HFWRU 3XUVXLW 0HWKRG DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNn DKHDG GLVWDQFH DQG PHWHU MRJ LQ SDWK (DVW PHWHUVf )LJXUH % 9HFWRU 3XUVXLW 0HWKRG DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNn DKHDG GLVWDQFH DQG PHWHU MRJ LQ SDWK

PAGE 223

)LJXUH % 9HFWRU 3XUVXLW 0HWKRG DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNn DKHDG GLVWDQFH DQG PHWHU MRJ LQ SDWK (DVW PHWHUVf )LJXUH % 9HFWRU 3XUVXLW 0HWKRG DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNn DKHDG GLVWDQFH DQG PHWHU MRJ LQ SDWK

PAGE 224

)LJXUH % 9HFWRU 3XUVXLW 0HWKRG DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNn DKHDG GLVWDQFH DQG PHWHU MRJ LQ SDWK (DVW PHWHUVf )LJXUH % 9HFWRU 3XUVXLW 0HWKRG DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNn DKHDG GLVWDQFH DQG PHWHU MRJ LQ SDWK

PAGE 225

)LJXUH % 9HFWRU 3XUVXLW 0HWKRG DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNn DKHDG GLVWDQFH DQG PHWHU MRJ LQ SDWK (DVW PHWHUVf )LJXUH % )ROORZ WKH &DUURW DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNDKHDG GLVWDQFH DQG PHWHU MRJ LQ SDWK

PAGE 226

)LJXUH % )ROORZ WKH &DUURW DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNDKHDG GLVWDQFH DQG PHWHU MRJ LQ SDWK (DVW PHWHUVf )LJXUH % )ROORZ WKH &DUURW DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNDKHDG GLVWDQFH DQG PHWHU MRJ LQ SDWK

PAGE 227

)LJXUH % )ROORZ WKH &DUURW DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNDKHDG GLVWDQFH DQG PHWHU MRJ LQ SDWK )LJXUH % )ROORZ WKH &DUURW DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNDKHDG GLVWDQFH DQG PHWHU MRJ LQ SDWK

PAGE 228

)LJXUH % 3XUH 3XUVXLW DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNDKHDG GLVWDQFH DQG PHWHU MRJ LQ SDWK )LJXUH % 3XUH 3XUVXLW DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNDKHDG GLVWDQFH DQG PHWHU MRJ LQ SDWK

PAGE 229

)LJXUH % 3XUH 3XUVXLW DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNDKHDG GLVWDQFH DQG PHWHU MRJ LQ SDWK (DVW PHWHUVf )LJXUH % 3XUH 3XUVXLW DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNDKHDG GLVWDQFH DQG PHWHU MRJ LQ SDWK

PAGE 230

(DVW PHWHUVf )LJXUH % 3XUH 3XUVXLW DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNDKHDG GLVWDQFH DQG PHWHU MRJ LQ SDWK (DVW PHWHUVf )LJXUH % 9HFWRU 3XUVXLW 0HWKRG DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNn DKHDG GLVWDQFH DQG PHWHU MRJ LQ SDWK

PAGE 231

)LJXUH % 9HFWRU 3XUVXLW 0HWKRG DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNn DKHDG GLVWDQFH DQG PHWHU MRJ LQ SDWK (DVW PHWHUVf )LJXUH % 9HFWRU 3XUVXLW 0HWKRG DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNn DKHDG GLVWDQFH DQG PHWHU MRJ LQ SDWK

PAGE 232

)LJXUH % 9HFWRU 3XUVXLW 0HWKRG DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNn DKHDG GLVWDQFH DQG PHWHU MRJ LQ SDWK (DVW PHWHUVf )LJXUH % 9HFWRU 3XUVXLW 0HWKRG DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNn DKHDG GLVWDQFH DQG PHWHU MRJ LQ SDWK

PAGE 233

)LJXUH % 9HFWRU 3XUVXLW 0HWKRG DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNn DKHDG GLVWDQFH DQG PHWHU MRJ LQ SDWK (DVW PHWHUVf )LJXUH % 9HFWRU 3XUVXLW 0HWKRG DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNn DKHDG GLVWDQFH DQG PHWHU MRJ LQ SDWK

PAGE 234

)LJXUH % 9HFWRU 3XUVXLW 0HWKRG DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNn DKHDG GLVWDQFH DQG PHWHU MRJ LQ SDWK (DVW PHWHUVf )LJXUH % 9HFWRU 3XUVXLW 0HWKRG DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNn DKHDG GLVWDQFH DQG PHWHU MRJ LQ SDWK

PAGE 235

)LJXUH % 9HFWRU 3XUVXLW 0HWKRG DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNn DKHDG GLVWDQFH DQG PHWHU MRJ LQ SDWK )LJXUH % )ROORZ WKH &DUURW DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNDKHDG GLVWDQFH DQG PHWHU MRJ LQ SDWK

PAGE 236

)LJXUH % )ROORZ WKH &DUURW DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNDKHDG GLVWDQFH DQG PHWHU MRJ LQ SDWK )LJXUH % )ROORZ WKH &DUURW DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNDKHDG GLVWDQFH DQG PHWHU MRJ LQ SDWK

PAGE 237

)LJXUH % )ROORZ WKH &DUURW DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNDKHDG GLVWDQFH DQG PHWHU MRJ LQ SDWK f f§rf§r (DVW PHWHUVf )LJXUH % )ROORZ WKH &DUURW DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNDKHDG GLVWDQFH DQG PHWHU MRJ LQ SDWK

PAGE 238

)LJXUH % 3XUH 3XUVXLW DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNDKHDG GLVWDQFH DQG PHWHU MRJ LQ SDWK )LJXUH % 3XUH 3XUVXLW DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNDKHDG GLVWDQFH DQG PHWHU MRJ LQ SDWK

PAGE 239

)LJXUH % 3XUH 3XUVXLW DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNDKHDG GLVWDQFH DQG PHWHU MRJ LQ SDWK )LJXUH % 3XUH 3XUVXLW DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNDKHDG GLVWDQFH DQG PHWHU MRJ LQ SDWK

PAGE 240

)LJXUH % 3XUH 3XUVXLW DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNDKHDG GLVWDQFH DQG PHWHU MRJ LQ SDWK )LJXUH % 9HFWRU 3XUVXLW 0HWKRG DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNn DKHDG GLVWDQFH DQG PHWHU MRJ LQ SDWK

PAGE 241

)LJXUH % 9HFWRU 3XUVXLW 0HWKRG DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNn DKHDG GLVWDQFH DQG PHWHU MRJ LQ SDWK )LJXUH % 9HFWRU 3XUVXLW 0HWKRG DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNn DKHDG GLVWDQFH DQG PHWHU MRJ LQ SDWK

PAGE 242

)LJXUH % 9HFWRU 3XUVXLW 0HWKRG DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNn DKHDG GLVWDQFH DQG PHWHU MRJ LQ SDWK )LJXUH % 9HFWRU 3XUVXLW 0HWKRG DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNn DKHDG GLVWDQFH DQG PHWHU MRJ LQ SDWK

PAGE 243

)LJXUH % 9HFWRU 3XUVXLW 0HWKRG DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNn DKHDG GLVWDQFH DQG PHWHU MRJ LQ SDWK )LJXUH % 9HFWRU 3XUVXLW 0HWKRG DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNn DKHDG GLVWDQFH DQG PHWHU MRJ LQ SDWK

PAGE 244

-]DVW PHWHUVf )LJXUH % 9HFWRU 3XUVXLW 0HWKRG DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNn DKHDG GLVWDQFH DQG PHWHU MRJ LQ SDWK )LJXUH % 9HFWRU 3XUVXLW 0HWKRG DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNn DKHDG GLVWDQFH DQG PHWHU MRJ LQ SDWK

PAGE 245

)LJXUH % 9HFWRU 3XUVXLW 0HWKRG DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNn DKHDG GLVWDQFH DQG PHWHU MRJ LQ SDWK

PAGE 246

$33(1',; & 179 (;3(5,0(17$/ 5(68/76 )ODYHW )LHOG DW WKH 8QLYHUVLW\ RI )ORULGD ZDV XVHG DV WKH VLWH IRU WHVWLQJ YHFWRU SXUVXLW SDWK WUDFNLQJ 7KH 1DYLJDWLRQ 7HVW 9HKLFOH GHVFULEHG LQ &KDSWHU GHYHORSHG E\ WKH &HQWHU IRU ,QWHOOLJHQW 0DFKLQHV DQG 5RERWLFV ZDV XVHG LQ WKHVH H[SHULPHQWV 7KH IROORZLQJ SORWV VKRZ WKH UHVXOWV DORQJ ZLWK WKH UHVXOWV RI IROORZWKHFDUURW DQG SXUH SXUVXLW SDWK WUDFNLQJ PHWKRGV (DVW PHWHUVf )LJXUH &O )ROORZ WKH &DUURW DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNDKHDG GLVWDQFH

PAGE 247

(DVW PHWHUVf )LJXUH & )ROORZ WKH &DUURW DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNDKHDG GLVWDQFH (DVW PHWHUVf )LJXUH & )ROORZ WKH &DUURW DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNDKHDG GLVWDQFH

PAGE 248

(DVW PHWHUVf )LJXUH & )ROORZ WKH &DUURW DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNDKHDG GLVWDQFH (DVW PHWHUVf )LJXUH & 3XUH 3XUVXLW DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNDKHDG GLVWDQFH

PAGE 249

(DVW PHWHUVf )LJXUH & 3XUH 3XUVXLW DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNDKHDG GLVWDQFH (DVW PHWHUVf )LJXUH & 3XUH 3XUVXLW DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNDKHDG GLVWDQFH

PAGE 250

(DVW PHWHUVf )LJXUH & 3XUH 3XUVXLW DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNDKHDG GLVWDQFH (DVW PHWHUVf )LJXUH & 9HFWRU 3XUVXLW 0HWKRG f DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNDKHDG GLVWDQFH

PAGE 251

(DVW PHWHUVf )LJXUH & 9HFWRU 3XUVXLW 0HWKRG f DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNn DKHDG GLVWDQFH (DVW PHWHUVf )LJXUH &OO 9HFWRU 3XUVXLW 0HWKRG f DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNn DKHDG GLVWDQFH

PAGE 252

(DVW PHWHUVf )LJXUH & 9HFWRU 3XUVXLW 0HWKRG f DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNn DKHDG GLVWDQFH (DVW PHWHUVf )LJXUH & )ROORZ WKH &DUURW DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNDKHDG GLVWDQFH

PAGE 253

(DVW PHWHUVf )LJXUH & )ROORZ WKH &DUURW DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNDKHDG GLVWDQFH (DVW PHWHUVf )LJXUH & )ROORZ WKH &DUURW DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNDKHDG GLVWDQFH

PAGE 254

(DVW PHWHUVf )LJXUH & )ROORZ WKH &DUURW DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNDKHDG GLVWDQFH (DVW PHWHUVf )LJXUH & 3XUH 3XUVXLW DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNDKHDG GLVWDQFH

PAGE 255

(DVW PHWHUVf )LJXUH & 3XUH 3XUVXLW DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNDKHDG GLVWDQFH (DVW PHWHUVf )LJXUH & 3XUH 3XUVXLW DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNDKHDG GLVWDQFH

PAGE 256

(DVW PHWHUVf )LJXUH & 3XUH 3XUVXLW DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNDKHDG GLVWDQFH (DVW PHWHUVf )LJXUH & 9HFWRU 3XUVXLW 0HWKRG f DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNn DKHDG GLVWDQFH

PAGE 257

(DVW PHWHUVf )LJXUH & 9HFWRU 3XUVXLW 0HWKRG f DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNn DKHDG GLVWDQFH (DVW PHWHUVf )LJXUH & 9HFWRU 3XUVXLW 0HWKRG f DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNn DKHDG GLVWDQFH

PAGE 258

(DVW PHWHUVf )LJXUH & 9HFWRU 3XUVXLW 0HWKRG f DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNn DKHDG GLVWDQFH (DVW PHWHUVf )LJXUH & )ROORZ WKH &DUURW DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNDKHDG GLVWDQFH

PAGE 259

(DVW PHWHUVf )LJXUH & )ROORZ WKH &DUURW DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNDKHDG GLVWDQFH (DVW PHWHUVf )LJXUH & )ROORZ WKH &DUURW DW PHWHUV SHU VHFRQG ZLWK DQ PHWHU ORRNDKHDG GLVWDQFH

PAGE 260

(DVW PHWHUVf )LJXUH & )ROORZ WKH &DUURW DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNDKHDG GLVWDQFH (DVW PHWHUVf )LJXUH & 3XUH 3XUVXLW DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNDKHDG GLVWDQFH

PAGE 261

(DVW PHWHUVf )LJXUH & 3XUH 3XUVXLW DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNDKHDG GLVWDQFH (DVW PHWHUVf )LJXUH & 3XUH 3XUVXLW DW PHWHUV SHU VHFRQG ZLWK DQ PHWHU ORRNDKHDG GLVWDQFH

PAGE 262

(DVW PHWHUVf )LJXUH & 3XUH 3XUVXLW DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNDKHDG GLVWDQFH (DVW PHWHUVf )LJXUH & 9HFWRU 3XUVXLW 0HWKRG f DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNn DKHDG GLVWDQFH

PAGE 263

(DVW PHWHUVf )LJXUH & 9HFWRU 3XUVXLW 0HWKRG f DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNn DKHDG GLVWDQFH (DVW PHWHUVf )LJXUH & 9HFWRU 3XUVXLW 0HWKRG f DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNn DKHDG GLVWDQFH

PAGE 264

(DVW PHWHUVf )LJXUH & 9HFWRU 3XUVXLW 0HWKRG f DW PHWHUV SHU VHFRQG ZLWK DQ PHWHU ORRNn DKHDG GLVWDQFH (DVW PHWHUVf )LJXUH & )ROORZ WKH &DUURW DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNDKHDG GLVWDQFH

PAGE 265

)LJXUH & )ROORZ WKH &DUURW DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNDKHDG GLVWDQFH (DVW PHWHUVf )LJXUH & )ROORZ WKH &DUURW DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNDKHDG GLVWDQFH

PAGE 266

)LJXUH & )ROORZ WKH &DUURW DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNDKHDG GLVWDQFH (DVW PHWHUVf )LJXUH & 3XUH 3XUVXLW DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNDKHDG GLVWDQFH

PAGE 267

)LJXUH & 3XUH 3XUVXLW DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNDKHDG GLVWDQFH (DVW PHWHUVf )LJXUH & 3XUH 3XUVXLW DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNDKHDG GLVWDQFH

PAGE 268

)LJXUH & 3XUH 3XUVXLW DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNDKHDG GLVWDQFH (DVW PHWHUVf )LJXUH & 9HFWRU 3XUVXLW 0HWKRG f DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNn DKHDG GLVWDQFH

PAGE 269

(DVW PHWHUVf )LJXUH & 9HFWRU 3XUVXLW 0HWKRG f DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNn DKHDG GLVWDQFH (DVW PHWHUVf )LJXUH & 9HFWRU 3XUVXLW 0HWKRG f DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNn DKHDG GLVWDQFH

PAGE 270

Z H = f§, , ,,, (DVW PHWHUVf )LJXUH & 9HFWRU 3XUVXLW 0HWKRG f DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNn DKHDG GLVWDQFH (DVW PHWHUVf )LJXUH & )ROORZ WKH &DUURW DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNDKHDG GLVWDQFH

PAGE 271

(DVW PHWHUVf )LJXUH & )ROORZ WKH &DUURW DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNDKHDG GLVWDQFH (DVW PHWHUVf )LJXUH & )ROORZ WKH &DUURW DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNDKHDG GLVWDQFH

PAGE 272

)LJXUH & )ROORZ WKH &DUURW DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNDKHDG GLVWDQFH (DVW PHWHUVf )LJXUH & 3XUH 3XUVXLW DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNDKHDG GLVWDQFH

PAGE 273

(DVW PHWHUVf )LJXUH & 3XUH 3XUVXLW DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNDKHDG GLVWDQFH (DVW PHWHUVf )LJXUH & 3XUH 3XUVXLW DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNDKHDG GLVWDQFH

PAGE 274

(DVW PHWHUVf )LJXUH & 3XUH 3XUVXLW DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNDKHDG GLVWDQFH &' & H R (DVW PHWHUVf )LJXUH & 9HFWRU 3XUVXLW 0HWKRG f DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNn DKHDG GLVWDQFH

PAGE 275

)LJXUH & 9HFWRU 3XUVXLW 0HWKRG f DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNn DKHDG GLVWDQFH (DVW PHWHUVf )LJXUH & 9HFWRU 3XUVXLW 0HWKRG f DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNn DKHDG GLVWDQFH

PAGE 276

(DVW PHWHUVf )LJXUH & 9HFWRU 3XUVXLW 0HWKRG f DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNn DKHDG GLVWDQFH (DVW PHWHUVf )LJXUH & )ROORZ WKH &DUURW DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNDKHDG GLVWDQFH

PAGE 277

(DVW PHWHUVf )LJXUH & )ROORZ WKH &DUURW DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNDKHDG GLVWDQFH (DVW PHWHUVf )LJXUH & )ROORZ WKH &DUURW DW PHWHUV SHU VHFRQG ZLWK DQ PHWHU ORRNDKHDG GLVWDQFH

PAGE 278

)LJXUH & )ROORZ WKH &DUURW DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNDKHDG GLVWDQFH (DVW PHWHUVf )LJXUH & 3XUH 3XUVXLW DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNDKHDG GLVWDQFH

PAGE 279

)LJXUH & 3XUH 3XUVXLW DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNDKHDG GLVWDQFH (DVW PHWHUVf )LJXUH & 3XUH 3XUVXLW DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNDKHDG GLVWDQFH

PAGE 280

(DVW PHWHUVf )LJXUH & 3XUH 3XUVXLW DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNDKHDG GLVWDQFH Z f ‘f§} + & WU ] (DVW PHWHUVf )LJXUH & 9HFWRU 3XUVXLW 0HWKRG f DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNn DKHDG GLVWDQFH f§ 3ODQQHG 3DWK $FWXDO 3DWK

PAGE 281

)LJXUH & 9HFWRU 3XUVXLW 0HWKRG f DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNn DKHDG GLVWDQFH (DVW PHWHUVf )LJXUH & 9HFWRU 3XUVXLW 0HWKRG f DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNn DKHDG GLVWDQFH

PAGE 282

)LJXUH & 9HFWRU 3XUVXLW 0HWKRG f DW PHWHUV SHU VHFRQG ZLWK DQ PHWHU ORRNn DKHDG GLVWDQFH (DVW PHWHUVf )LJXUH & )ROORZ WKH &DUURW DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNDKHDG GLVWDQFH DQG PHWHU MRJ LQ SDWK

PAGE 283

)LJXUH & )ROORZ WKH &DUURW DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNDKHDG GLVWDQFH DQG PHWHU MRJ LQ SDWK (DVW PHWHUVf )LJXUH & )ROORZ WKH &DUURW DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNDKHDG GLVWDQFH DQG PHWHU MRJ LQ SDWK

PAGE 284

)LJXUH & )ROORZ WKH &DUURW DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNDKHDG GLVWDQFH DQG PHWHU MRJ LQ SDWK (DVW PHWHUVf )LJXUH & )ROORZ WKH &DUURW DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNDKHDG GLVWDQFH DQG PHWHU MRJ LQ SDWK

PAGE 285

)LJXUH & 3XUH 3XUVXLW DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNDKHDG GLVWDQFH DQG PHWHU MRJ LQ SDWK (DVW PHWHUVf )LJXUH & 3XUH 3XUVXLW DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNDKHDG GLVWDQFH DQG PHWHU MRJ LQ SDWK

PAGE 286

)LJXUH & 3XUH 3XUVXLW DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNDKHDG GLVWDQFH DQG PHWHU MRJ LQ SDWK (DVW PHWHUVf )LJXUH & 3XUH 3XUVXLW DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNDKHDG GLVWDQFH DQG PHWHU MRJ LQ SDWK

PAGE 287

)LJXUH & 3XUH 3XUVXLW DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNDKHDG GLVWDQFH DQG PHWHU MRJ LQ SDWK (DVW PHWHUVf )LJXUH & 9HFWRU 3XUVXLW 0HWKRG f DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNn DKHDG GLVWDQFH DQG PHWHU MRJ LQ SDWK

PAGE 288

)LJXUH & 9HFWRU 3XUVXLW 0HWKRG f DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNn DKHDG GLVWDQFH DQG PHWHU MRJ LQ SDWK (DVW PHWHUVf )LJXUH & 9HFWRU 3XUVXLW 0HWKRG f DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNn DKHDG GLVWDQFH DQG PHWHU MRJ LQ SDWK

PAGE 289

)LJXUH & 9HFWRU 3XUVXLW 0HWKRG f DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNn DKHDG GLVWDQFH DQG PHWHU MRJ LQ SDWK (DVW PHWHUVf )LJXUH & 9HFWRU 3XUVXLW 0HWKRG f DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNn DKHDG GLVWDQFH DQG PHWHU MRJ LQ SDWK

PAGE 290

)LJXUH & )ROORZ WKH &DUURW DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNDKHDG GLVWDQFH DQG PHWHU MRJ LQ SDWK (DVW PHWHUVf )LJXUH & )ROORZ WKH &DUURW DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNDKHDG GLVWDQFH DQG PHWHU MRJ LQ SDWK

PAGE 291

(DVW PHWHUVf )LJXUH & )ROORZ WKH &DUURW DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNDKHDG GLVWDQFH DQG PHWHU MRJ LQ SDWK (DVW PHWHUVf )LJXUH & )ROORZ WKH &DUURW DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNDKHDG GLVWDQFH DQG PHWHU MRJ LQ SDWK

PAGE 292

)LJXUH & )ROORZ WKH &DUURW DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNDKHDG GLVWDQFH DQG PHWHU MRJ LQ SDWK (DVW PHWHUVf )LJXUH & 3XUH 3XUVXLW DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNDKHDG GLVWDQFH DQG PHWHU MRJ LQ SDWK

PAGE 293

)LJXUH & 3XUH 3XUVXLW DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNDKHDG GLVWDQFH DQG PHWHU MRJ LQ SDWK (DVW PHWHUVf )LJXUH & 3XUH 3XUVXLW DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNDKHDG GLVWDQFH DQG PHWHU MRJ LQ SDWK

PAGE 294

(DVW PHWHUVf )LJXUH & 3XUH 3XUVXLW DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNDKHDG GLVWDQFH DQG PHWHU MRJ LQ SDWK (DVW PHWHUVf )LJXUH & 3XUH 3XUVXLW DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNDKHDG GLVWDQFH DQG PHWHU MRJ LQ SDWK

PAGE 295

)LJXUH & 9HFWRU 3XUVXLW 0HWKRG f DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNn DKHDG GLVWDQFH DQG PHWHU MRJ LQ SDWK (DVW PHWHUVf )LJXUH & 9HFWRU 3XUVXLW 0HWKRG f DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNn DKHDG GLVWDQFH DQG PHWHU MRJ LQ SDWK

PAGE 296

(DVW PHWHUVf )LJXUH & 9HFWRU 3XUVXLW 0HWKRG f DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNn DKHDG GLVWDQFH DQG PHWHU MRJ LQ SDWK (DVW PHWHUVf )LJXUH & 9HFWRU 3XUVXLW 0HWKRG f DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNn DKHDG GLVWDQFH DQG PHWHU MRJ LQ SDWK

PAGE 297

)LJXUH & 9HFWRU 3XUVXLW 0HWKRG f DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNn DKHDG GLVWDQFH DQG PHWHU MRJ LQ SDWK (DVW PHWHUVf )LJXUH & 3XUH 3XUVXLW DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNDKHDG GLVWDQFH DQG PHWHU MRJ LQ SDWK

PAGE 298

)LJXUH & 3XUH 3XUVXLW DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNDKHDG GLVWDQFH DQG PHWHU MRJ LQ SDWK (DVW PHWHUVf )LJXUH & 3XUH 3XUVXLW DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNDKHDG GLVWDQFH DQG PHWHU MRJ LQ SDWK

PAGE 299

)LJXUH & 3XUH 3XUVXLW DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNDKHDG GLVWDQFH DQG PHWHU MRJ LQ SDWK (DVW PHWHUVf )LJXUH & 3XUH 3XUVXLW DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNDKHDG GLVWDQFH DQG PHWHU MRJ LQ SDWK

PAGE 300

)LJXUH & 9HFWRU 3XUVXLW 0HWKRG f DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNn DKHDG GLVWDQFH DQG PHWHU MRJ LQ SDWK (DVW PHWHUVf )LJXUH & 9HFWRU 3XUVXLW 0HWKRG f DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNn DKHDG GLVWDQFH DQG PHWHU MRJ LQ SDWK

PAGE 301

)LJXUH &O 9HFWRU 3XUVXLW 0HWKRG f DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNn DKHDG GLVWDQFH DQG PHWHU MRJ LQ SDWK (DVW PHWHUVf )LJXUH &OOO 9HFWRU 3XUVXLW 0HWKRG f DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNn DKHDG GLVWDQFH DQG PHWHU MRJ LQ SDWK

PAGE 302

)LJXUH & 9HFWRU 3XUVXLW 0HWKRG f DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNn DKHDG GLVWDQFH DQG PHWHU MRJ LQ SDWK (DVW PHWHUVf )LJXUH & 9HFWRU 3XUVXLW 0HWKRG f DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNn DKHDG GLVWDQFH

PAGE 303

)LJXUH & 9HFWRU 3XUVXLW 0HWKRG f DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNn DKHDG GLVWDQFH (DVW PHWHUVf )LJXUH & 9HFWRU 3XUVXLW 0HWKRG f DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNn DKHDG GLVWDQFH

PAGE 304

(DVW PHWHUVf )LJXUH & 9HFWRU 3XUVXLW 0HWKRG f DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNn DKHDG GLVWDQFH (DVW PHWHUVf )LJXUH & 9HFWRU 3XUVXLW 0HWKRG f DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNn DKHDG GLVWDQFH

PAGE 305

(DVW PHWHUVf )LJXUH & 9HFWRU 3XUVXLW 0HWKRG f DW PHWHUV SHU VHFRQG ZLWK D PHWHU ORRNn DKHDG GLVWDQFH

PAGE 306

/,67 2) 5()(5(1&(6 >@ *ROGEHUJ HW DO $OJRULWKPLF )RXQGDWLRQV RI 5RERWLFV :$)5 WKH :RUNVKRS RQ WKH $OJRULWKPLF )RXQGDWLRQ RI 5RERWLFV $. 3HWHUV :HOOHVOH\ 0DVVDFKXVHWWV >@ *UHHQ '1 6DVLDGHN -= DQG 9XNRYLFK *6 f*XLGDQFH DQG &RQWURO RI DQ $XWRQRPRXV 3ODQHWDU\ 5RYHUf 3URFHHGLQJV RI WKH ,(((,(( 9HKLFOH 1DYLJDWLRQ DQG ,QIRUPDWLRQV 6\VWHPV &RQIHUHQFH 2WWDZD 2QWDULR &DQDGD S >@ *UHHQ '1 6DVLDGHN -= DQG 9XNRYLFK *6 f3DWK 7UDFNLQJ 2EVWDFOH $YRLGDQFH DQG 3RVLWLRQ (VWLPDWLRQ E\ DQ $XWRQRPRXV :KHHOHG 3ODQHWDU\ 5RYHUf 3URFHHGLQJV RI WKH ,((( ,QWHUQDWLRQDO &RQIHUHQFH RQ 5RERWLFV DQG $XWRPDWLRQ 6DQ 'LHJR &$ SL >@ %RLVVLHU / f,$5(6/ $ *URXQG 'HPRQVWUDWRU RI 3ODQHWDU\ 5RYHU 7HFKQRORJLHVf 5RERWLFV DQG $XWRQRPRXV 6\VWHPV Y S >@ 2f&RQQRU 0 %HOO 7 (ONDLP DQG 3DUNLQVRQ % f$XWRPDWLF 6WHHULQJ RI )DUP 9HKLFOHV 8VLQJ *36f 6WDQIRUG 8QLYHUVLW\ &DOLIRUQLD >@ 0DUFKDQW $ +DJXH 7 DQG 7LOOHW 1 f5RZIROORZLQJ DFFXUDF\ RI DQ DXWRQRPRXV YLVLRQJXLGHG DJULFXOWXUDO YHKLFOHf &RPSXWHUV DQG (OHFWURQLFV LQ $JULFXOWXUH YO Q -DQXDU\ SL >@ +RIQHU & DQG 6FKPLGW f3DWK 3ODQQLQJ DQG *XLGDQFH 7HFKQLTXHV IRU DQ $XWRQRPRXV 0RELOH &OHDQLQJ 5RERWf 5RERWLF DQG $XWRQRPRXV 6\VWHPV YO Q 0D\ SO >@ 6FKPLGW DQG +RIQHU & f$GYDQFHG 3ODQQLQJ DQG 1DYLJDWLRQ $SSURDFK IRU $XWRQRPRXV &OHDQLQJ 5RERW 2SHUDWLRQVf 3URFHHGLQJV RI WKH ,(((56,QWHUQDWLRQDO &RQIHUHQFH RQ ,QWHOOLJHQW 5RERWV DQG 6\VWHPV 9LFWRULD &DQDGD SO >@ 8OULFK 0RQGDGD ) DQG 1LFRXG -' f$XWRQRPRXV YDFXXP FOHDQHUf 5RERWLFV DQG $XWRQRPRXV 6\VWHPV YO Q 0DUFK S >@ 1ROIL 6 f(YROYLQJ QRQWULYLDO EHKDYLRUV RQ UHDO URERWV $ JDUEDJH FROOHFWLQJ URERWf 5RERWLFV DQG $XWRQRPRXV 6\VWHPV Y Q 'HFHPEHU SL

PAGE 307

>@ 6SRRQHU 7 DQG 3DVVLQR 0 f6WDEOH $GDSWLYH )X]]\ &RQWURO IRU DQ $XWRPDWHG +LJKZD\ 6\VWHPf ,((( ,QWHUQDWLRQDO &RQIHUHQFH RQ ,QWHOOLJHQW &RQWURO 0RQWHUH\ &$ S >@ +XDQJ 6 DQG 5HQ : f9HKLFOH ORQJLWXGLQDO FRQWURO XVLQJ WKURWWOHV DQG EUDNHVf 5RERWLFV DQG $XWRQRPRXV 6\VWHPV Y Q 0DUFK S >@ 8Q\HOLRJOX $ +DWLSRJOX & DQG 2]JXQHU 8 f'HVLJQ DQG 6WDELOLW\ $QDO\VLV RI D /DQH )ROORZLQJ &RQWUROOHUf ,((( 7UDQVDFWLRQV RQ &RQWURO 6\VWHPV 7HFKQRORJ\ Y QO -DQXDU\ SL >@ 2f%ULHQ 5 7 ,JOHVLDV 3 $ DQG 8UEDQ 7 f9HKLFOH /DWHUDO &RQWURO IRU $XWRPDWHG +LJKZD\ 6\VWHPVf ,((( 7UDQVDFWLRQV RQ &RQWURO 6\VWHPV 7HFKQRORJ\ Y Q S >@ +VX -& &KHQ :/ 6KLHQ .+ DQG @ *RULQHYVN\ .DSLWDQRYVN\ $ DQG *ROGHQEHUJ $ f1HXUDO 1HWZRUN $UFKLWHFWXUH IRU 7UDMHFWRU\ *HQHUDWLRQ DQG &RQWURO RI $XWRPDWHG &DU 3DUNLQJf ,((( 7UDQVDFWLRQV RQ &RQWURO 6\VWHPV 7HFKQRORJ\ Y QO -DQXDU\ S >@ 3DURPWFKLN ,( DQG /DXJLHU & f$XWRQRPRXV 3DUDOOHO 3DUNLQJ RI D 1RQKRORQRPLF 9HKLFOHf 3URFHHGLQJV RI WKH ,((( ,QWHOOLJHQW 9HKLFOH 6\PSRVLXP 7RN\R -DSDQ SL >@ 3DURPWFKLN ,( DQG /DXJLHU & f0RWLRQ *HQHUDWLRQ DQG &RQWURO IRU 3DUNLQJ DQ $XWRQRPRXV 9HKLFOHf 3URFHHGLQJV RI WKH ,((( WK ,QWHUQDWLRQDO &RQIHUHQFH RQ 5RERWLFV DQG $XWRPDWLRQ 0LQQHDSROLV 01 S >@ 0XUSKH\ DQG /HJRZLN 6 f*36 $LGHG 5HWURWUDYHUVH )RU 8QPDQQHG *URXQG 9HKLFOHVf 63,( WK $QQXDO $HUR6HQVH 6\PSRVLXP 2UODQGR )/ $SULO >@ *DJH : $Q (YROXWLRQDU\ 6WUDWHJ\ IRU $FKLHYLQJ $XWRQRPRXV 1DYLJDWLRQ 63,( 3URF 0RELOH 5RERWV ;,,, %RVWRQ 0$ 1RYHPEHU >@ &LFFLPDUR $ (YHUHWW + 5 %UXFK 0 + DQG 3KLOOLSV & % $ 6XSHUYLVHG $XWRQRPRXV 6HFXULW\ 5HVSRQVH 5RERW $PHULFDQ 1XFOHDU 6RFLHW\ WK ,QWHUQDWLRQDO 7RSLFDO 0HHWLQJ RQ 5RERWLFV DQG 5HPRWH 6\VWHPV $16nf 3LWWVEXUJK 3$ $SULO >@ 3DVWRUH 7+ (YHUHWW + 5 DQG %RQQHU 0RELOH 5RERWV IRU 2XWGRRU 6HFXULW\ $SSOLFDWLRQV $PHULFDQ 1XFOHDU 6RFLHW\ WK ,QWHUQDWLRQDO 7RSLFDO 0HHWLQJ RQ 5RERWLFV DQG 5HPRWH 6\VWHPV $16nf 3LWWVEXUJK 3$ $SULO

PAGE 308

>@ .RML f8QGHUZDWHU ,QVSHFWLRQ 5RERW$,5,6 f 1XFOHDU (QJLQHHULQJ DQG 'HVLJQ YO S >@ &RUGHV 6 %HPV (EHUO 0 ,OJ : DQG 6XQD 5 f$XWRQRPRXV VHZHU LQVSHFWLRQ ZLWK D ZKHHOHG PXOWLDUWLFXODWHG URERWf 5RERWLFV DQG $XWRQRPRXV 6\VWHPV Y QO -XO\ SO >@ 5HLI -+ DQG :DQJ + f6RFLDO 3RWHQWLDO )LHOGV $ 'LVWULEXWHG %HKDYLRUDO &RQWURO IRU $XWRQRPRXV 5RERWVf 5RERWLFV DQG $XWRQRPRXV 6\VWHPV Y SL >@ %DUIRRW & : DQG ,EUDKLP 0 < f'HYHORSPHQW RI DQ $GDSWLYH )X]]\ %HKDYLRXUDO &RQWURO 6\VWHP ZLWK ([SHULPHQWDO DQG ,QGXVWULDO $SSOLFDWLRQVf &RPSXWHUV DQG ,QGXVWULDO (QJLQHHULQJ Y Q 6HSWHPEHU S >@ &DVWHOODQR $WWROLFR DQG 'LVWDQWH $ f$XWRPDWLF JHQHUDWLRQ RI IX]]\ UXOHV IRU UHDFWLYH URERW FRQWUROOHUVf 5RERWLFV DQG $XWRQRPRXV 6\VWHPV Y Q 1RYHPEHU SO >@ /HH 36 DQG :DQJ // f&ROOLVLRQ $YRLGDQFH E\ )X]]\ /RJLF &RQWURO IRU $XWRPDWHG *XLGHG 9HKLFOH 1DYLJDWLRQf -RXUQDO RI 5RERWLF 6\VWHPV YOO Q S >@ 0DUWLQH] $ 7XQVWHO ( DQG -DPVKLGL 0 f)X]]\ ORJLF EDVHG FROOLVLRQ DYRLGDQFH IRU D PRELOH URERWf 5RERWLFD YO S >@ 6DIILRWWL $ 5XVSLQL ( + DQG .RQROLJH f%OHQGLQJ 5HDFWLYLW\ DQG *RDO 'LUHFWHGQHVV LQ D )X]]\ &RQWUROOHUf 3URFHHGLQJV RI WKH 6HFRQG ,((( &RQIHUHQFH RQ )X]]\ 6\VWHPV 6DQ )UDQFLVFR &$ 0DUFK SS >@ 6DIILRWWL $ 5XVSLQL ( + DQG .RQROLJH f5REXVW ([HFXWLRQ RI 5RERW 3ODQV 8VLQJ )X]]\ /RJLFf )X]]\ /RJLF LQ $UWLILFLDO ,QWHOOLJHQFH ,-&$, n :RUNVKRS /1$, 6SULQJHU9HUODJ %HUOLQ '( SS >@ ;X : / 7VR 6 DQG )XQJ < + f)X]]\ UHDFWLYH FRQWURO RI D PRELOH URERW LQFRUSRUDWLQJ D UHDOYLUWXDO WDUJHW VZLWFKLQJ VWUDWHJ\f 5RERWLFV DQG $XWRQRPRXV 6\VWHPV Y Q $SULO SL >@ )ORUHDQR DQG 0RQGDGD ) f(YROXWLRQDU\ QHXURFRQWUROOHUV IRU DXWRQRPRXV PRELOH URERWV I 1HXUDO 1HWZRUNV YOO Q 2FWREHU SO >@ 5HLJQLHU 3 +DQVHQ 9 DQG &URZOH\ / f,QFUHPHQWDO VXSHUYLVHG OHDUQLQJ IRU PRELOH URERW UHDFWLYH FRQWUROf 5RERWLFV DQG $XWRQRPRXV 6\VWHPV YO Q 0DUFK S

PAGE 309

>@ 7DQL DQG )XNXPXUD 1 f6HOIRUJDQL]LQJ ,QWHUQDO 5HSUHVHQWDWLRQ LQ /HDUQLQJ RI 1DYLDJDWLRQ $ 3K\VLFDO ([SHULPHQW E\ WKH 0RELOH 5RERW <$0$%,&2f 1HXUDO 1HWZRUNV YO2 QO -DQXDU\ SL >@ 5DP $ $UNLQ 5 %RRQH DQG 3HDUFH 0 f8VLQJ *HQHWLF $OJRULWKPV WR /HDP 5HDFWLYH &RQWURO 3DUDPHWHUV IRU $XWRQRPRXV 5RERWLF 1DYLJDWLRQf $GDSWLYH %HKDYLRU Y Q S >@ 6WDI\ORSDWLV $ DQG %OHNDV f$XWRQRPRXV YHKLFOH QDYLJDWLRQ XVLQJ HYROXWLRQDU\ UHLQIRUFHPHQW OHDUQLQJf (XURSHDQ -RXUQDO RI 2SHUDWLRQDO 5HVHDUFK YO Q -XO\ S >@ *RGMHYDF DQG 6WHHOH 1 f$GDSWLYH )X]]\ &RQWUROOHU IRU 5RERW 1DYLJDWLRQf ,((( ,QWHUQDWLRQDO &RQIHUHQFH RQ )X]]\ 6\VWHPV YO 1HZ 2UOHDQV /$ SO >@ /L : 0D & DQG :DKO )0 f$ QHXURIX]]\ V\VWHP DUFKLWHFWXUH IRU EHKDYLRU EDVHG FRQWURO RI D PRELOH URERW LQ XQNQRZQ HQYLURQPHQWVf )X]]\ 6HWV DQG 6\VWHPV Y Q $SULO SL >@ 6RQJ .7 DQG 6KHHQ /)/ f)X]]\QHXUR &RQWURO 'HVLJQ IRU 2EVWDFOH $YRLGDQFH RI D 0RELOH 5RERWf ,((( ,QWHUQDWLRQDO &RQIHUHQFH RQ )X]]\ 6\VWHPV YO @ @ =KDQJ 0 3HQJ 6 DQG 0HQJ 4 f1HXUDO QHWZRUN DQG IX]]\ ORJLF WHFKQLTXHV EDVHG FROOLVLRQ DYRLGDQFH IRU D PRELOH URERWf 5RERWLFD YO S >@ +RIIPDQ ) DQG 3ILVWHU f(YROXWLRQDU\ 'HVLJQ RI D )X]]\ .QRZOHGJH %DVH IRU D 0RELOH 5RERWf ,QWHUQDWLRQDO -RXUQDO RI $SSUR[LPDWH 5HDVRQLQJ YO Q 1RYHPEHU S >@ 0F)HWULGJH / DQG ,EUDKLP 0 < f1HZ 7HFKQLTXH RI 0RELOH 5RERW 1DYLJDWLRQ 8VLQJ D +\EULG $GDSWLYH )X]]\SRWHQWLDO )LHOG $SSURDFKf &RPSXWHUV t ,QGXVWULDO (QJLQHHULQJ Y Q 'HFHPEHU S >@ :X .+ &KHQ &+ DQG .R -0 f3DWK 3ODQQLQJ DQG 3URWRW\SH 'HVLJQ RI DQ $*9f 0DWKHPDWLFDO DQG &RPSXWHU 0RGHOOLQJ Y SL >@ ;LDRZHL 0 $ ;LDROL / /
PAGE 310

>@ &KRL 6 % 7KH 'HVLJQ RI D /RRN'RZQ )HHGEDFN $GDSWLYH &RQWUROOHU IRU WKH /DWHUDO &RQWURO RI )URQW:KHHO6WHHULQJ $XWRQRPRXV +LJKZD\ 9HKLFOHVf 3URFHHGLQJV RI WKH $PHULFDQ &RQWURO &RQIHUHQFH Y $OEXTXHUTXH 1HZ 0H[LFR SO >@ 'H6DQWLV 5 0 f0RGHOLQJ DQG SDWKWUDFNLQJ FRQWURO RI D PRELOH ZKHHOHG URERW ZLWK D GLIIHUHQWLDO GULYHf 5RERWLFD YO S >@ (JHUVWHGW 0 +X ; DQG 6WRWVN\ $ f&RQWURO RI D &DU/LNH 5RERW 8VLQJ D '\QDPLF 0RGHOf ,((( ,QWHUQDWLRQDO &RQIHUHQFH RQ 5RERWLFV DQG $XWRPDWLRQ Y /HXYHQ %HOJLXP S >@ -DJDQQDWKDQ 6 =KX 6 4 DQG /HZLV ) / f3DWK SODQQLQJ DQG FRQWURO RI D PRELOH EDVH ZLWK QRQKRORQRPLF FRQVWUDLQWVf 5RELWLFD YO S >@ .DQD\DPD @ /HH 6 6 DQG :LOOLDPV + f$ IDVW WUDFNLQJ HUURU FRQWURO PHWKRG IRU DQ DXWRQRPRXV PRELOH URERWf 5RERWLFD YO S >@ 6KLQ '+ 6LQJK 6 DQG /HH -f([SOLFLW 3DWK 7UDFNLQJ %\ $XWRQRPRXV 9HKLFOHVf 5RERWLFD YO2 S >@ .X &+ DQG 7VDL :+ f6PRRWK 9LVLRQ%DVHG $XWRQRPRXV /DQG 9HKLFOH 1DYLJDWLRQ LQ ,QGRRU (QYLURQPHQWV E\ 3HUVRQ )ROORZLQJ 8VLQJ 6HTXHQWLDO 3DWWHUQ 5HFRJQLWLRQf -RXUQDO RI 5RERWLF 6\VWHPV YO Q S >@ 0XUSK\ .1 f$QDO\VLV RI 5RERWLF 9HKLFOH 6WHHULQJ DQG &RQWUROOHU 'HOD\f 3URFHHGLQJV RI WKH )LIWK ,QWHUQDWLRQDO 6\PSRVLXP RQ 5RERWLFV DQG 0DQXIDFWXULQJ :DLOHD 0DXL +, $XJXVW >@ 2OOHUR $ DQG +HUHGLD 6WDELOLW\ DQDO\VLV RI PRELOH URERW SDWK WUDFNLQJ 3URFHHGLQJV RI WKH ,(((56,QWHUQDWLRQDO &RQIHUHQFH RQ ,QWHOOLJHQW 5RERWV DQG 6\VWHPV 3DUW RI f 3LWWVEXUJK 3$ S >@ %DOOXFKL $ %LFFKL $ %DOHVWULQR $ DQG &DVDOLQR f3DWK 7UDFNLQJ &RQWURO IRU 'XELQfV &DUf 3URFHHGLQJV RI WKH ,((( ,QWHUQDWLRQDO &RQIHUHQFH RQ 5RERWLFV DQG $XWRPDWLRQ 0LQQHDSROLV 01 $SULO S >@
PAGE 311

>@ $JXLODU 0 / ( 6RXHUHV 3 &RXUGHVVHV 0 DQG )OHXU\ 6 fn5REXVW 3DWKn IROORZLQJ &RQWURO ZLWK ([SRQHQWLDO 6WDELOLW\ IRU 0RELOH 5RERWVf ,((( ,QWHUQDWLRQDO &RQIHUHQFH RQ 5RERWLFV DQG $XWRPDWLRQ Y /HXYHQ %HOJLXP S >@ $VWROIL $ f([SRQHQWLDO 6WDELOL]DWLRQ RI D &DU/LNH 9HKLFOHf ,((( ,QWHUQDWLRQDO &RQIHUHQFH RI 5RERWLFV DQG $XWRPDWLRQ SL >@ %HKULQJHU 5 DQG 0XOOHU 1 f$XWRQRPRXV 5RDG 9HKLFOH *XLGDQFH IURP $XWREDKQHQ WR 1DUURZ &XUYHVf ,((( 7UDQVDFWLRQV RQ 5RERWLFV DQG $XWRPDWLRQ YO Q 2FWREHU S >@ +HPDPL $ 0HKUDEL 0 DQG &KHQJ 5 0 + f2SWLPDO NLQHPDWLF SDWK WUDFNLQJ FRQWURO RI PRELOH URERWV ZLWK IURQW VWHHULQJf 5RERWLFD YO S >@ *XOGQHU 6LHQHO : 7DQ +6 $FNHUPDQQ 3DWZDUGKDQ 6 DQG %XQWH 7 f5REXVW $XWRPDWLF 6WHHULQJ &RQWURO IRU /RRNGRZQ 5HIHUHQFH 6\VWHPV ZLWK )URQW DQG 5HDU 6HQVRUVf ,((( 7UDQVDFWLRQV RQ &RQWURO 6\VWHPV 7HFKQRORJ\ Y QO -DQXDU\ SO >@ -LDQJ =3 DQG 1LMPHLMHU + f7UDFNLQJ &RQWURO RI 0RELOH 5RERWV $ &DVH 6WXG\ LQ %DFNVWHSSLQJf $XWRP£WLFD Y Q -XO\ SL >@ 0RXUL + DQG )XUXVKR + f$XWRPDWLF 3DWK 7UDFNLQJ 8VLQJ /LQHDU 4XDGUDWLF &RQWURO 7KHRU\f 3URFHHGLQJV RI WKH ,((( &RQIHUHQFH RQ ,QWHOOLJHQW 7UDQVSRUWDWLRQ 6\VWHPV %RVWRQ 0$ S >@ 5HNRZ $ %HOO 7 %HYO\ DQG 3DUNLQVRQ % f6\VWHP ,GHQWLILFDWLRQ DQG $GDSWLYH 6WHHULQJ RI 7UDFNWRUV 8WLOL]LQJ 'LIIHUHQWLDO *OREDO 3RVLWLRQLQJ 6\VWHPf -RXUQDO RI *XLGDQFH &RQWURO DQG '\QDPLFV Y Q S >@ %D[WHU -: DQG %XPE\ -5 f)X]]\ &RQWURO RI D 0RELOH 5RERWLF 9HKLFOHf 3URFHHGLQJV RI WKH ,QVWLWXWLRQ RI 0HFKDQLFDO (QJLQHHUV 3DUW -RXUQDO RI 6\VWHPV t &RQWURO (QJLQHHULQJ Y Q S >@ 6DQFKH] 2 2OOHUR $ DQG +HUHGLD f$GDSWLYH )X]]\ FRQWURO IRU $XWRPDWLF 3DWK 7UDFNLQJ RI 2XWGRRU 0RELOH 5RERWV $SSOLFDWLRQ WR 5RPHR 5f ,((( ,QWHUQDWLRQDO &RQIHUHQFH RQ )X]]\ 6\VWHPV YO %DUFHORQD 6SDLQ S >@ )LHUUR 5 DQG /HZLV ) / f&RQWURO RI D 1RQKRORQRPLF 0RELOH 5RERW %DFNVWHSSLQJ .LQHPDWLFV LQWR '\QDPLFVf -RXUQDO RI 5RERWLF 6\VWHPV YO Q SOO

PAGE 312

>@ )LHUUR 5 DQG /HZLV ) / f&RQWURO RI D 1RQKRORQRPLF 0RELOH 5RERW 8VLQJ 1HXUDO 1HWZRUNVf ,((( ,QWHUQDWLRQDO &RQIHUHQFH RQ ,QWHOOLJHQW &RQWURO 0RQWHUH\ &$ S >@ )LHUUR 5 DQG /HZLV ) / f&RQWURO RI D 1RQKRORQRPLF 0RELOH 5RERW 8VLQJ 1HXUDO 1HWZRUNVf ,((( 7UDQVDFWLRQV RQ 1HXUDO 1HWZRUNV Y Q -XO\ S >@ 5DMDJRSDODQ 5 DQG 0LQDQR f9DULDEOH /HDUQLQJ 5DWH 1HXURPRUSKLF *XLGDQFH &RQWUOOHU IRU $XWRPDWHG 7UDQVLW 9HKLFOHVf ,((( ,QWHUQDWLRQDO &RQIHUHQFH RQ ,QWHOOLJHQW &RQWURO 0RQWHUH\ &$ S >@ @ 7RSDORY $9 .LP -+ DQG 3UR\FKHY 73 f)X]]\QHW FRQWURO RI QRQKRORQRPLF PRELOH URERW XVLQJ HYROXWLRQDU\ IHHGEDFNHUURUOHDPLQJf 5RERWLFV DQG $XWRQRPRXV 6\VWHPV Y Q $SULO SO' >@ :DWDQDEH 7DQJ 1DNDPXUD 0 .RJD 6 DQG )XNXGD 7 f$ )X]]\*DXVVLDQ 1HXUDO 1HWZRUN DQG ,WV $SSOLFDWLRQ WR 0RELOH 5RERW &RQWUROf ,((( 7UDQVDFWLRQV RQ &RQWURO 6\VWHPV 7HFKQRORJ\ Y Q 0DUFK SL >@ %DOFK 7 DQG $UNLQ 5 $YRLGLQJ WKH SDVW $ VLPSOH EXW HIIHFWLYH VWUDWHJ\ IRU UHDFWLYH QDYLJDWLRQ 3URFHHGLQJV RI WKH ,((( ,QWHUQDWLRQDO &RQIHUHQFH RQ 5RERWLFV DQG $XWRPDWLRQ $WODQWD *HRUJLD S >@ %LFKR ( DQG 6FKRQHU f7KH G\QDPLF DSSURDFK WR DXWRQRPRXV URERWLFV GHPRQVWUDWHG RQ D ORZOHYHO YHKLFOH SODWIRUPf 5RERWLFV DQG $XWRQRPRXV 6\VWHPV Y QO -XO\ S >@ )XMLPRUL $ 1LNLIRUXN 3 1 DQG *XSWD 0 0 f$GDSWLYH 1DYLJDWLRQ RI 0RELOH 5RERWV ZLWK 2EVWDFOH $YRLGDQFHf ,((( 7UDQVDFWLRQV RQ 5RERWLFV DQG $XWRPDWLRQ YO Q $XJXVW S >@ +XQWVEHUJHU 7 DQG 5RVH f%,60$5& $ %LRORJLFDOO\ ,QVSLUHG 6\VWHP IRU 0DS %DVHG $XWRQRPRXV 5RYHU &RQWUROf 1HXUDO 1HWZRUNV YO SL >@ /DQJODQG % $ -DQVN\ 2 / %\UG 6 DQG 3HWWXV 5 2 f7KH LQWHJUDWLRQ RI 'LVVLPLODU &RQWURO $UFKLWHFWXUHV IRU 0RELOH 5RERW $SSOLFDWLRQVf -RXUQDO RI 5RERWLF 6\VWHPV YO Q S >@ /LQ &+ DQG :DQJ // ,QWHOOLJHQW FROOLVLRQ DYRLGDQFH E\ IX]]\ ORJLF FRQWURO 5RERWLFV DQG $XWRQRPRXV 6\VWHPV Y QO $SULO S

PAGE 313

>@ 0XUSK\ 5 5 +XJKHV 0DU]LOOL $ DQG 1ROO ( f,QWHJUDWLQJ ([SOLFLW 3DWK 3ODQQLQJ ZLWK 5HDFWLYH &RQWURO RI 0RELOH 5RERWV 8VLQJ 7UXOOD 5RERWLFV DQG $XWRQRPRXV 6\VWHPV Y S >@ 7VFKLFKROG*XUPDQ 1 f7KH QHXUDO QHWZRUN PRGHO 5XOH1HW DQG LWV DSSOLFDWLRQ WR PRELOH URERW QDYLJDWLRQf )X]]\ 6HWV DQG 6\VWHPV Y Q -DQXDU\ S >@ ;X + DQG 9DQ %UXVVHO + f$ EHKDYLRUEDVHG EODFNERDUG DUFKLWHFWXUH IRU UHDFWLYH DQG HIILFLHQW WDVN H[HFXWLRQ RI DQ DXWRQRPRXV URERWf 5RERWLFV DQG $XWRQRPRXV 6\VWHPV YO Q 1RYHPEHU SL >@ =HOHN 6 DQG /HYLQH 0 f63277 $ 0RELOH 5RERW &RQWURO $UFKLWHFWXUH IRU 8QNQRZQ RU 3DUWLDOO\ .QRZQ (QYLURQPHQWVf $$$, 6SULQJ 6\PSRVLXP RQ 3ODQQLQJ ZLWK ,QFRPSOHWH ,QIRUPDWLRQ IRU 5RERW 3UREOHPV >@ %DOO 6LU 5REHUW 6WDZHOO $ 7UHDWLVH RQ WKH 7KHRU\ RI 6FUHZV &DPEULGJH 8QLYHUVLW\ 3UHVV &DPEULGJH 8QLWHG .LQJGRP >@ 3DVVLQR .0 DQG @ 6KDZYHU $: f$XWRQRPRXV 1DYLJDWLRQ RI DQ ,QGRRU 9HKLFOH ,PSOHPHQWLQJ D 0RGXODU $UFKLWHFWXUHf 0DVWHUfV 7KHVLV 8QLYHUVLW\ RI )ORULGD

PAGE 314

%,2*5$3+,&$/ 6.(7&+ -HIIUH\ 6FRWW :LW ZDV ERP -XO\ LQ 0LGGOHWRZQ 1HZ
PAGE 315

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

PAGE 316

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

PAGE 317

WtO