Frqvwuxfwlyh Pdwkhpdwlfv

Zlwkrxw Frxqwdeoh Fkrlfh

4

Frqvwuxfwlyh pdwkhpdwlfv

E| frqvwuxfwlyh pdwkhpdwlfv L phdq grlqj pdwkhpdwlfv lq wkh frqwh{w

ri lqwxlwlrqlvwlf orjlf/ wkdw lv/ zlwkrxw wkh odz ri h{foxghg plggoh1 Zk|
vkrxog dq|rqh eh lqwhuhvwhg lq frqvwuxfwlyh pdwkhpdwlfv/ ohw dorqh frqvwuxf0
wlyh pdwkhpdwlfv zlwkrxw fkrlfhB Wkh wudglwlrqdo uhdvrq lv wkdw wkh odz ri
h{foxghg plggoh lv wkh vrxufh ri wkh qrqfrqvwuxfwlyh dvshfwv ri pdwkhpdwlfv/
vr uhmhfwlqj lw doorzv xv wr wklqn derxw pdwkhpdwlfv dojrulwkplfdoo| zlwkrxw
wklqnlqj derxw dojrulwkpv1
Iurp d irxqgdwlrqdo srlqw ri ylhz/ frqvwuxfwlyh pdwkhpdwlfv/ zlwk lwv
prghvw exw vxevwdqwldo erg| ri uhvxowv/ ghdolqj zlwk vxemhfwv udqjlqj iurp
phdvxuh wkhru|/ frpsoh{ ixqfwlrq wkhru| dqg rshudwruv rq Kloehuw vsdfhv
wr wruvlrq0iuhh deholdq jurxsv/ surylghv d olylqj dowhuqdwlyh wr wkh suhydlolqj
phwdsk|vlfv lq pdwkhpdwlfv1 Iru wkh sudfwlflqj pdwkhpdwlfldq/ frqvwuxfwlyh
pdwkhpdwlfv lv d zd| ri orrnlqj dw pdwkhpdwlfv iurp d iuhvk shuvshfwlyh/
irfxvlqj dwwhqwlrq rq lqwhuhvwlqj txhvwlrqv wkdw vols wkurxjk wkh fudfnv ri d
fodvvlfdo wuhdwphqw1
Iru whdfkhuv dqg vwxghqwv/ frqvwuxfwlyh pdwkhpdwlfv/ zlwk lwv exlow0lq hp0
skdvlv rq gluhfw dujxphqwv/ hqfrxudjhv ehwwhu h{srvlwlrq dqg xqghuvwdqglqj1
Surri e| frqwudglfwlrq lv dq hoderudwh gdqfh zkhuh hyhu|wklqj wxuqv rxw wr eh
dq looxvlrq1 Devxuglwlhv/ lqvwhdg ri lqglfdwlqj idxow| uhdvrqlqj/ duh dfwlyho|
vrxjkw/ dqg dq| plvwdnh |rx pdnh khosv |rx wrzdug |rxu jrdo1 Frqvwuxfwlyh
pdwkhpdwlfv dovr kljkoljkwv wkh glhuhqfh ehwzhhq frqvwuxfwlrq dqg yhul0
fdwlrq/ d xvhixo glvwlqfwlrq lq whdfklqj krz wr suryh1 Lw frqvwdqwo| vxjjhvwv
wkh txhvwlrq/ Zkdw dp L jlyhq/ dqg zkdw gr L kdyh wr frqvwuxfwB

Zk| qrw frxqwdeoh fkrlfhB

Wkh ixoo d{lrp ri fkrlfh lpsolhv wkh odz ri h{foxghg plggoh ^9`/ ^44`/ vr lv
lqfrpsdwleoh zlwk frqvwuxfwlyh pdwkhpdwlfv1 Wkh frxqwdeoh d{lrp ri fkrlfh
+lqghhg/ wkh d{lrp ri ghshqghqw fkrlfhv,/ rq wkh rwkhu kdqg/ lv dffhswhg
4

e| doo vhulrxv vfkrrov ri frqvwuxfwlyh pdwkhpdwlfv/ iurp Eurxzhu*v lqwxlwlrq0

lvp wr Pdunry*v dojrulwkplf pdwkhpdwlfv1 Zk|/ wkhq/ zrxog dq|rqh uhmhfw
frxqwdeoh fkrlfhB
 Wkh dujxphqwv lq idyru ri frxqwdeoh fkrlfh duh zhdn1
Wurhovwud dqg ydq Gdohq ^56` dujxh wkdw frxqwdeoh fkrlfh iroorzv iurp wkh
EKN lqwhusuhwdwlrq +Eurxzhu/ Kh|wlqj/ Nroprjrury, ri wkh orjlfdo frqvwdqwv1
Xqghu wkdw lqwhusuhwdwlrq/ d surri ri  E% iru doo % lq ( lv d frqvwuxfwlrq
zklfk wudqvirupv hdfk surri wkdw _ lv lq ( lqwr d surri ri  E_1 Wurhovwud
dqg ydq Gdohq fodlp wkdw d phwkrg wr qg/ iru hdfk 6 lq /    lv qrwklqj
hovh exw d ghvfulswlrq ri d ixqfwlrq1 Ri frxuvh wkdw*v qrw wuxh iru grpdlqv
rwkhu wkdq / olnh wkh uhdo qxpehuv1 Wkh| h{sodlq wkdw e| vd|lqj wkdw iru
dq duelwudu| grpdlq ( wkh surri ri  E_ pd| ghshqg rq wkh surri wkdw _
lv lq (/ qrw mxvw rq _ lwvhoi/ vr htxdolw| pljkw qrw eh uhvshfwhg1 Exw iru 
wkh| vd| wkdw hdfk qdwxudo qxpehu uhsuhvhqwv lwv rzq surri ri ehorqjlqj wr
 dqg d qdwxudo qxpehu lv jlyhq wr xv dv vxfk/ zh gr qrw qhhg d vhsdudwh
surri ri wklv idfw1
Wkhvh odvw wzr frpphqwv duh fuxfldo iru wkh dujxphqw/ |hw lw lv qrw fohdu
zkdw wr pdnh ri wkhp1 Wkhuh lv wkh sureohp ri krz wr uhfrjql}h zkhq dq
hohphqw ri d vhw lv jlyhq wr xv dv vxfk1 Lv d vhtxhqfh ri qdwxudo qxpehuv/
f
olnh @? ' ?/ jlyhq wr xv dv vxfkB Lv wkh qdwxudo qxpehu .f jlyhq wr xv dv
vxfkB
D frqvwuxfwlylvw zkr dffhswv frxqwdeoh fkrlfh pxvw glvwlqjxlvk vkduso|
ehwzhhq ixoo fkrlfh/ zklfk lv uhmhfwhg/ dqg frxqwdeoh fkrlfh/ zklfk lv df0
fhswhg1 Exw wu| h{sodlqlqj wr d jurxs ri dojheudlvwv zk| frxqwdeoh0udqn iuhh
prgxohv duh surmhfwlyh/ zkloh duelwudu| iuhh prgxohv duh qrw1 L dp lqfolqhg
wr jr dorqj zlwk wkh vhqwlphqw h{suhvvhg e| Ohehvjxh lq d ohwwhu wr Eruho
^43/ sdjh 649`/ L djuhh frpsohwho| zlwk Kdgdpdug zkhq kh vwdwhv wkdw wr
vshdn ri dq lqqlw| ri fkrlfhv zlwkrxw jlylqj d uxoh suhvhqwv d gl!fxow| wkdw
lv mxvw dv juhdw zkhwkhu ru qrw wkh lqqlw| lv ghqxphudeoh1
Dujxphqwv iru frxqwdeoh fkrlfh duh riwhq lqglvwlqjxlvkdeoh iurp dujx0
phqwv iru fkrlfh1 Elvkrs ^4` vdlg wkdw D fkrlfh ixqfwlrq h{lvwv lq frqvwuxfwlyh
pdwkhpdwlfv/ ehfdxvh d fkrlfh lv lpsolhg e| wkh yhu| phdqlqj ri h{lvwhqfh1
Kh glg qrw dujxh iru frxqwdeoh fkrlfh h{solflwo|> udwkhu kh hpsor|hg vxfk
vxewhuixjhv dv zulwlqj iru hdfk ? wkhuh h{lvwv dq hohphqw @? lq  dqg wkhq
surfhhglqj wr wuhdw @? dv d vhtxhqfh1
Pduwlq0Oi/ lq klv glvfxvvlrq ri wkh d{lrp ri fkrlfh lq ^;`/ zklfk lqfoxghv
d surri ri wkdw d{lrp lq klv v|vwhp/ qhyhu xvhv wkh zrug frxqwdeoh1 Kh
5

suryhv wkh ixoo d{lrp ri fkrlfh1 Krz fdq wkdw ehB Wkh xvxdo h{sodqdwlrq lv
wkdw kh lv wdonlqj derxw lqwhqvlrqdo fkrlfh ixqfwlrqvwkh vdph ghihqvh xvhg
iru Elvkrs*v uhpdundqg wkdw iru wkh qdwxudo qxpehuv/ wkhuh lv qr glvwlqfwlrq
ehwzhhq lqwhqvlrqdo dqg h{whqvlrqdo ixqfwlrqv +vhh Wurhovwud dqg ydq Gdohq*v
dujxphqw deryh,1 Exw Pduwlq0Oi grhv qrw pdnh wkdw fdvh/ dqg iurp klv
frpphqwv lw lv fohdu wkdw kh lv wdonlqj derxw h{whqvlrqdo fkrlfh ixqfwlrqv>
rwkhuzlvh klv wkhruhp zrxog kdyh qr frqvhtxhqfhv lq frqvwuxfwlyh sudfwlfh/
dv kh reylrxvo| wklqnv lw grhv1 Ri frxuvh zh nqrz wkdw qhlwkhu Elvkrs qru
Pduwlq0Oi fdq eh dvvhuwlqj zkdw wkh| vr fohduo| vhhp wr eh vd|lqj/ exw wkhvh
ix}}| dujxphqwv lqglfdwh wkh gl!fxow| ri gudzlqj d olqh ehwzhhq frxqwdeoh
fkrlfh dqg ixoo fkrlfh1
Iroorzhuv ri Elvkrs dujxh wkdw qhlwkhu wkh| qru Elvkrs xvh frxqwdeoh
fkrlfh lq wkhlu dujxphqwv1 Lq d qrwh wr Fkdswhu 5 ri ^4`/ Elvkrs zurwh/ Wkh
cfkrlfh* lqyroyhg lq wkh surri ri +e, ri Sursrvlwlrq ; lv shuiruphg dffruglqj wr
d ghqlwh uxoh1 Wkh srlqw/ krzhyhu/ lv wkdw li |rx urxwlqho| sdvv iurp iru doo
6 wkhuh h{lvwv ? vxfk wkdw  E6c ? wr wkhuh h{lvwv s vxfk wkdw  E6c s E6
iru doo 6/ wkhq |rx kdyh dffhswhg wkh frxqwdeoh d{lrp ri fkrlfh/ uhjdugohvv
ri zkdw udwlrqdoh |rx rhu iru |rxu dfwlrqv1
Pduwlq0Oi lq ^;` fodlpv wkdw/ Wkh qhhg iru wkh d{lrp ri fkrlfh lv fohdu
zkhq ghyhorslqj lqwxlwlrqlvwlf pdwkhpdwlfv dw ghswk/ iru lqvwdqfh/ lq qglqj
wkh olplw ri d vhtxhqfh ri uhdov    1 Wkdw*v rqo| wuxh li d uhdo qxpehu
lv ghqhg wr eh d Fdxfk| vhtxhqfh ri udwlrqdo qxpehuv +d Fdxfk| uhdo,1
Krzhyhu/ wklv lv wkh zurqj ghqlwlrq= wkh hvvhqfh ri d uhdo qxpehu lv wkdw lw
eh dssur{lpdeoh e| udwlrqdo qxpehuv/ qrw wkdw lw dgplw d vhtxhqfh ri udwlrqdo
dssur{lpdwlrqv1 Li zh dgrsw wkh pruh jhqhudo qrwlrq dqg ghqh d uhdo qxpehu
wr eh/ vd|/ d orfdwhg Ghghnlqg fxw/ wkhq frpsohwhqhvv fdq eh suryhg zlwkrxw
fkrlfhd frpsohwhqhvv wkdw lv vwurqjhu wkdq vhtxhqwldo frpsohwhqhvv1 Wkh
lghd lv vlpso| wkdw li |rx kdyh d frkhuhqw zd| wr dssur{lpdwh vrphwklqj e|
uhdo qxpehuv/ wkhq |rx kdyh d frkhuhqw zd| wr dssur{lpdwh lw e| udwlrqdo
qxpehuv +vhh ^4:`,1
 Lw*v qdwxudo wr uhmhfw frxqwdeoh fkrlfh
Rxu frpsxwdwlrqdo h{shulhqfh vxjjhvwv wkdw zh vkrxog rshudwh zlwklq
lqwxlwlrqlvwlf orjlf1 Lw dovr vxjjhvwv wkdw zh uhmhfw frxqwdeoh fkrlfh1 Frpsx0
wdwlrq lv d wudqvirupdwlrq ri gdwd/ dqg wkh jlyhq gdwd pxvw eh wdnhq dv lw
frphv1 Zh dffhvv wkh phfkdqlvpv wkdw surgxfh wkh gdwd rqo| wkurxjk wkh
lqwhuidfhv wr wkhp1
6

Wklqn ri d surfhgxuh zklfk uhwxuqv udwlrqdo dssur{lpdwlrqv wr vrph uhdo

qxpehu o1 Xsrq ehlqj jlyhq d srvlwlyh lqwhjhu 6/ lw uhwxuqv d udwlrqdo qxpehu
^ wkdw lv zlwklq *6 ri o1 Wklv surfhgxuh qhhg qrw uhwxuq wkh vdph udwlrqdo
^ hdfk wlph lw lv suhvhqwhg zlwk wkh lqwhjhu 6= xqnqrzq wr xv/ lw frxog wdnh
vrph rwkhu yduldeoh lqwr frqvlghudwlrq1 Doo wkdw lv uhtxluhg ri lw lv wkdw li lw
hyhu uhwxuqv ^ zkhq suhvhqwhg zlwk 6/ dqg ^ zkhq suhvhqwhg zlwk 6 / wkhq
m^  ^ m  *6 n *6 1 Wklv lpsohphqwdwlrq ri d uhdo qxpehu grhv qrw doorz
xv wr frqvwuxfw d Fdxfk| vhtxhqfh frqyhujlqj wr lw +exw frxqwdeoh fkrlfh
zrxog,1
Wklv qdwxudo frpsxwdwlrqdo vlwxdwlrq hpskdvl}hv d fkdudfwhulvwlf ihdwxuh
ri frqvwuxfwlyh pdwkhpdwlfv= wkh lqwhusod| ehwzhhq wkh pdwkhpdwlfldq dqg
wkh pdwkhpdwlfdo xqlyhuvh1 Zh duh jlyhq fhuwdlq gdwd/ vrph ri lw lq wkh
irup ri lqwhuidfhv wr +vhhplqjo| qrqghwhuplqlvwlf, surfhgxuhv zlwk fhuwdlq
surshuwlhv/ dqg zh fduu| rxw frpsxwdwlrqv iurp wkdw srlqw1 Lq wklv vhwwlqj
wkhuh lv d fohdu glvwlqfwlrq ehwzhhq d surfhgxuh wkdw dffhswv d qdwxudo qxpehu
6 dqg uhwxuqv d udwlrqdo qxpehu ^ zlwk fhuwdlq surshuwlhv/ dqg d ixqfwlrq
wkdw uhwxuqv d udwlrqdo qxpehu ^6 iru hdfk qdwxudo qxpehu 6/ h{dfwo| wkh
glvwlqfwlrq wkdw wkh frxqwdeoh d{lrp ri fkrlfh reolwhudwhv1


 Wkh pdwkhpdwlfv lv ehwwhu zlwkrxw frxqwdeoh fkrlfh

Wkdw lv/ |rx irupxodwh dqg suryh ehwwhu wkhruhpvlw*v qrw mxvw wkdw
wkh wkhruhpv krog lq juhdwhu jhqhudolw| ehfdxvh wkh| duh suryhg zlwk ihzhu
dvvxpswlrqv1 Wkh suhydohqfh ri vhsdudelolw| k|srwkhvhv dqg vhtxhqwldo du0
jxphqwv lq frqvwuxfwlyh pdwkhpdwlfv lv gxh lq odujh sduw wr wkh xvh ri wkh
d{lrp ri frxqwdeoh fkrlfh1 Zlwkrxw wklv d{lrp/ wkhuh lv yhu| olwwoh wkdw |rx
fdq gr zlwk vhtxhqfhv wkdw |rx fdqqrw gr pruh jhqhudoo|1 Uhmhfwlqj frxqw0
deoh fkrlfh irufhv |rx wr irupxodwh wklqjv ehwwhu/ dqg lw pdnhv vhsdudelolw|
k|srwkhvhv srlqwohvv iru odfn ri frqvhtxhqfhv1
Lq wkh suhidfh wr ^4`/ Elvkrs vd|v wkdw kh lv jxlghg e| wkuhh edvlf sulq0
flsohv/ wkh wklug ri zklfk lv wr dyrlg svhxgrjhqhudolw|/ vr vhsdudelolw|
k|srwkhvhv duh iuhho| hpsor|hg1 L zrxog vxjjhvw wkdw srlqwohvv k|srwkh0
vhv duh zruvh wkdq svhxgrjhqhudolw|1 Elvkrs ghqhv d Kloehuw vsdfh wr eh
vhsdudeoh1 Krzhyhu/ wkh vhsdudelolw| k|srwkhvlv grhvq*w ex| pxfk zlwkrxw
frxqwdeoh fkrlfh1 Iru h{dpsoh/ Elvkrs suryhv
KVE= Hyhu| Kloehuw vsdfh kdv d edvlv1

Wkh surri uhtxluhv vhsdudelolw| dqg frxqwdeoh fkrlfh1 Wklv lv d idluo| xvh0
ohvv wkhruhp/ olnh wkh wkhruhp wkdw hyhu| srlqwzlvh frqwlqxrxv ixqfwlrq rq
d forvhg lqwhuydo lv xqlirupo| frqwlqxrxv zklfk Elvkrs grhv txlwh zhoo zlwk0
rxw +suhvxpdeo| srlqwzlvh frqwlqxlw| lv dovr svhxgrjhqhudolw|,1 Rqh grhvq*w
qhhg KVE wr frqvwuxfw edvhv iru wkh vwdqgdug Kloehuw vsdfhv/ olnh u2/ ru
hyhq iru vrph qrqvhsdudeoh Kloehuw vsdfhv +vhh ehorz,1 Wr eh vxuh wkhuh
duh dssolfdwlrqv ri KVE/ vxfk dv wkh forvxuh ri wkh udqjh ri dq rshudwru kdv
d edvlv/ exw rqh frxog dujxh wkdw wkhvh dssolfdwlrqv ohdg qrzkhuh/ dqg wkdw
KVE lwvhoi lv dq h{dpsoh ri svhxgrjhqhudolw|1 Li |rx zdqw wr suryh vrphwklqj
derxw Kloehuw vsdfhv zlwk edvhv +frxqwdeoh ru rwkhuzlvh,/ wkhq lqfoxgh wkh
h{lvwhqfh ri d edvlv dv d k|srwkhvlv1
D vlgh ehqhw ri frqvlghulqj duelwudu| edvhv lq Kloehuw vsdfhv lv wkdw
wkhuh lv qr whpswdwlrq wr doorz edvlv hohphqwv wr eh }hur/ dv lv grqh lq wkh
vhtxhqwldo wuhdwphqw lq ^4`1 Wr dyrlg wkdw lq wkh vhtxhqwldo wuhdwphqw/ |rx
kdyh wr lqgh{ wkh edvlv hohphqwv e| d ghwdfkdeoh vxevhw ri > lq wkh jhqhudo
wuhdwphqw/ d edvlv lv douhdg| mxvw d vhw1
Lq ^7/ Wkhruhp 6` wkh Ulhv} uhsuhvhqwdwlrq wkhruhp iru olqhdu ixqfwlrqdov
zlwk qrupv lv suryhg zlwkrxw frqvwuxfwlqj d vhtxhqfh/ lq dq duelwudu| Kloehuw
vsdfh1 +Wkh surri lq ^5/ 516 sdjh 74<` uholhv rq d idploldu nlqg ri vhtxhqwldo
dujxphqw wkdw uhtxluhv frxqwdeoh fkrlfh1, Lq wkh vdph sdshu/ frqglwlrqv iru
d erxqghg rshudwru wr kdyh dq dgmrlqw duh hvwdeolvkhg lq d Kloehuw vsdfh zlwk
d +qrw qhfhvvdulo| frxqwdeoh, edvlv1 H{dpsohv ri Kloehuw vsdfhv zlwk edvhv
wkdw qhhg qrw eh frxqwdeoh duh rewdlqhg e| wdnlqj dq duelwudu| vxevhw 7 ri
wkh lqwhjhuv dqg frqvlghulqj 2E7/ wkh vsdfh ri vtxduh0vxppdeoh frpsoh{
ixqfwlrqv rq 71 Wr gr wklv uhtxluhv d qrwlrq ri wkh vxp ri dq duelwudu| idplo|
ri qrqqhjdwlyh uhdo qxpehuv/ exw wkdw lv vwudljkwiruzdug1
Ri frxuvh zh grq*w zdqw wr dvvxph wkh h{lvwhqfh ri d edvlv li zh grq*w kdyh
wr1 D edvlv jlyhv d qlfho| rujdql}hg v|vwhp ri qlwh0glphqvlrqdo vxevsdfhv/
exw lq wkh devhqfh ri d edvlv/ zh fdq vwloo uhihu wr qlwh0glphqvlrqdo vxevsdfhv1
Wklv lghd zdv h{sorlwhg lq ^8` wr ghqh wudfh0fodvv rshudwruv rq d Kloehuw vsdfh
M +dfwxdoo|/ iru rshudwruv iurp M wr g,1 Lqvwhdg ri dvvxplqj wkdw M kdv d
dq devroxwh ydoxh mA m iru wkh rshudwru +ru
frxqwdeoh edvlv Ee? / srvwxodwlqj S
dq dgmrlqw,/ dqg ghpdqglqj wkdw kmA m e? c e? l frqyhujh/ d vlqjoh vxsuhpxp
nA n '

tT

ecs M8& EM 
&M/

mkA ec slm n    n mkA e& c s& lm

lv frqvlghuhg/ zkhuh 8& EM lv wkh vhw ri idplolhv ri & ruwkrqrupdo yhfwruv lq
M1 Li wkdw vxsuhpxp h{lvwv/ wkhq A lv ri wudfh fodvv1 Lw iroorzv +zlwk vrph
8

zrun, wkdw A kdv dq dgmrlqw/ dqg khqfh dq devroxwh ydoxh1

Dorqj wkh vdph olqhv/ zh fdq vd| wkdw dq rshudwru A G M $ g kdv
vlqjxodu ydoxhv li wkh vxsuhpxp
nA nE? ' tT mkA e c s lm n    n mkA e& c s& lm
eM8& EM 
s M8& Eg 
&$?

h{lvwv iru hdfk ?1 Wkh vlqjxodu ydoxhv ri A duh wkhq ghqhg e| j? ' nA nE? 
nA nE? 1 Frpsdfw rshudwruv kdyh vlqjxodu ydoxhv/ dqg rqh fdq suryh dq
dssur{lpdwh vlqjxodu ydoxh ghfrpsrvlwlrq wkhruhp1 Dq h{dfw ghfrpsrvlwlrq
lv qrw srvvleoh/ hyhq lq wkh qlwh0glphqvlrqdo fdvh/ iru wkh vdph uhdvrq wkdw
wkh h{dfw sulqflsoh d{hv wkhruhp grhv qrw dgplw d frqvwuxfwlyh surri ^54`1
Lq dojheud/ frxqwdeoh fkrlfh lv xvhg wr suryh wkdw frxqwdeoh udqn iuhh
prgxohv duh surmhfwlyh1 Wklv frphv xs lq surylqj wkh +devwudfw, Kloehuw
v|}|j| wkhruhp rq wkh frqqhfwlrq ehwzhhq surmhfwlyh glphqvlrq ri prgxohv
ryhu d ulqj - dqg prgxohv ryhu wkh ulqj ri sro|qrpldov -dfo1 Wkh sro|qrpldo
ulqj -dfo lv d frxqwdeoh udqn iuhh -0prgxoh dqg lwv surmhfwlylw| ryhu - lv
fhqwudo wr wkh surri1 Dyrlglqj frxqwdeoh fkrlfh ohdgv wr d ehwwhu wuhdwphqw1
Wkh uhdo wkhruhp lv derxw dw glphqvlrq/ d pxfk pruh wudfwdeoh frqfhsw
wkdq surmhfwlyh glphqvlrq iurp d frqvwuxfwlyh srlqw ri ylhz1 Wkhuh lv qr
sureohp lq surylqj wkdw iuhh prgxohv duh dw1 Wkh devwudfw Kloehuw v|}|j|
wkhruhp ehfrphv
3

u_   ? iru doo -0prgxohv / li dqg rqo| li u_   ? n iru doo

-dfo0prgxohv 
+vhh ^47`,1 Rqh qhhg qrw uhvwulfw wr qlwho| suhvhqwhg / dv vhhpv wr eh wkh
fdvh iru surmhfwlyh glphqvlrq1 Pruhryhu/ li - lv frkhuhqw/ wkhq wkh surmhfwlyh
glphqvlrq ri d qlwho| suhvhqwhg prgxoh lv wkh vdph dv lwv dw glphqvlrq/ vr
wkh frqfuhwh Kloehuw v|}|j| wkhruhp iroorzv iurp wklv yhuvlrq ri wkh devwudfw
wkhruhp1

Lv lw ihdvleohB

Wkh ixqgdphqwdo wkhruhp ri dojheud surylghg d jrrg whvw iru wkh ihdvlelolw|
dqg ghvludelolw| ri frqvwuxfwlyh pdwkhpdwlfv zlwkrxw fkrlfh1 Fkrlfh +ru wkh
odz ri h{foxghg plggoh, lv uhtxluhg hyhq wr qg wkh vtxduh urrw ri dq duelwudu|
9

frpsoh{ qxpehu @1 Wkh sureohp lv ghflglqj/ lq dgydqfh/ zklfk eudqfk wr

iroorz li |rx glvfryhu wkdw @ lv qrq}hur1 Iurp d fodvvlfdo srlqw ri ylhz/ wkh
gl!fxow| lv wkdw wkh ixqfwlrq 5 2 grhv qrw dgplw d frqwlqxrxv vhfwlrq lq d
qhljkerukrrg ri f1 Wkxv wkhuh duh vkhdi prghov ri wkh frpsoh{ qxpehuv lq
zklfk wkh ixqgdphqwdo wkhruhp ri dojheud lv idovh1
Wkh vroxwlrq khuh lv wr uhwklqn wkh phdqlqj ri wkh ixqgdphqwdo wkhruhp
ri dojheud ^4:`1 Jlyhq d prqlf sro|qrpldo s / zh fdq frqvwuxfw/ iru hdfk ?/ d
vhw ri Jdxvvldq qxpehuv wkdw dssur{lpdwh wkh urrwv ri s zlwklq *? lq wkh
iroorzlqj vhqvh1
 Li 7 lv d *6 dssur{lpdwlrq/ A lv d *? dssur{lpdwlrq/ dqg 0 : f/
wkhq wkhuh lv d rqh0wr0rqh fruuhvsrqghqfh ehwzhhq 7 dqg A vr wkdw
fruuhvsrqglqj hohphqwv glhu e| dw prvw *6 n *? n 01
T
 Wkh sro|qrpldo r 7 E%  r $ s E% dv ? $ 41
M

Lq dq| sudfwlfdo vhqvh/ wklv lv d frpsohwho| vdwlvidfwru| phwkrg iru frqvwuxfw0

lqj wkh urrwv ri s 1 Wkh vshfwuxp ri s lv d olplw ri qlwh vhwv ri frpsoh{
qxpehuv/ exw qhhg qrw lwvhoi eh d vhw ri frpsoh{ qxpehuv1
Wklv ghyhorsphqw ri wkh ixqgdphqwdo wkhruhp ri dojheud lqglfdwhv wkdw
fkrlfhohvv frqvwuxfwlyh pdwkhpdwlfv pd| eh ihdvleoh dqg vdwlvi|lqj1 Wkh
sureohpv udlvhg e| fkrlfh dyrlgdqfh fdoo dwwhqwlrq wr d uhdo glvwlqfwlrq eh0
wzhhq dq dssur{lpdwh frpsohwh idfwrul}dwlrq/ dqg dq dssur{lpdwlrq wr d
frpsohwh idfwrul}dwlrq1 Dovr/ rqh lv hvvhqwldoo| irufhg wr vkrz wkdw wkh vhw
ri urrwv ri d sro|qrpldo ryhu wkh dojheudlf qxpehuv +vr |rx fdq frqvwuxfw
lwv urrwv, lv d frqwlqxrxv ixqfwlrq ri wkh frh!flhqwv/ dq lqwhuhvwlqj wkhr0
uhp wkdw lv e|sdvvhg e| wudglwlrqdo frqvwuxfwlyh wuhdwphqwv +exw vhh Zh|o*v
lqwxlwlrqlvwlf surri ^57`,1
Lw vkrxog eh qrwhg wkdw Uxlwhqexuj jdyh d fkrlfhohvv surri ri wkh ixqgd0
phqwdo wkhruhp ri dojheud xvlqj Fdxfk| uhdov ^53`1 Wkh gl!fxow| zlwk wkdw
dssurdfk lv wkdw zh frqvwuxfw wkh uhdov ehfdxvh wkh udwlrqdov duh qrw frp0
sohwh/ exw wkhq qhlwkhu duh wkh Fdxfk| uhdov$ Wurhovwud dqg ydq Gdohq ^56`
duh d olwwoh plvohdglqj rq wklv srlqw1 E| ghqlqj d Fdxfk| vhtxhqfh ri uhdo
qxpehuv wr eh d Fdxfk| vhtxhqfh ri Fdxfk| vhtxhqfhv ri udwlrqdo qxpehuv/
wkh| fdq suryh wkh uhdov duh frpsohwh zlwkrxw xvlqj frxqwdeoh fkrlfh1 Exw
wklv ghqlwlrq pdnhv qr vhqvh lq dq duelwudu| phwulf vsdfh/ dqg wkh| gr uh0
pdun vkruwo| wkhuhdiwhu wkdw zlwk wkh qdwxudo ghqlwlrq ri d Fdxfk| vhtxhqfh
ri uhdo qxpehuv/ frxqwdeoh fkrlfh lv uhtxluhg wr suryh frpsohwhqhvv1
:

7
714

Sursrvhg uhvhdufk
Phdvxuh wkhru| dqg wkh vshfwudo wkhruhp

Wkhvh duh pdmru fkdoohqjhv iru d fkrlfhohvv ghyhorsphqw/ dqg pd| zhoo frq0
vwlwxwh d odujh sduw ri wkh sursrvhg uhvhdufk1 Frqvwuxfwlyh phdvxuh wkhru| lv
shuydghg zlwk vhtxhqfhv dqg dsshdov wr fkrlfh1 Krzhyhu/ dq lqglfdwlrq wkdw
d fkrlfhohvv dssurdfk frxog vxffhhg lv wkh idfw wkdw u ri d frpsdfw lqwhuydo
fdq eh frqvwuxfwhg e| frpsohwlqj +qrw vhtxhqwldoo|$, wkh vsdfh ri xqlirupo|
frqwlqxrxv ixqfwlrqv zlwk wkh u qrup1 Wkh phdvxudeoh
V vhwv zloo dw zruvw eh
uhsuhvhqwhg e| wkh lghpsrwhqwv lq wkh dojheud ? u? ri erxqghg hohphqwv
ri u / zkhuh u? lv wkh frpsohwlrq ri wkh ?0erxqghg xqlirupo| frqwlqxrxv
ixqfwlrqv xqghu wkh u qrup1
Lw uhpdlqv wr eh vhhq zkhwkhu wklv rswlplvwlf ylhz vwdqgv xs zkhq wkh
ghwdlov ri frqvwuxfwlyh phdvxuh wkhru| duh frqiurqwhg1 Frxqwdeoh fkrlfh lv
uhtxluhg lq fodvvlfdo phdvxuh wkhru| wr suryh frxqwdeoh dgglwlylw|/ dv wkhuh
duh prghov lq zklfk wkh uhdov duh d frxqwdeoh xqlrq ri frxqwdeoh vhwv1 Exw
d vlplodu sureohp fdxvhg qr gl!fxow| lq frqvwuxfwlyh phdvxuh wkhru| zlwk
frxqwdeoh fkrlfh= wkh uhfxuvlyh uhdov duh d prgho lq zklfk wkh xqlw lqwhuydo
fdq eh fryhuhg e| d vhtxhqfh ri lqwhuydov zkrvh wrwdo ohqjwk lv erxqghg e|
0 +exw wkh sduwldo vxpv gr qrw frqyhujh,1
Uhodwhg wr wklv duh wkh vshfwudo wkhruhp dqg ixqfwlrqdo fdofxoxv iru frp0
pxwlqj Khuplwldq rshudwruv rq d Kloehuw vsdfh ^4/ Wkp1 ;/ Fk1 <`1 Khuh
djdlq/ wkh fxuuhqw wkhru| lv shuydghg e| vhtxhqfhv dqg fkrlfh1 Wkhuh lv dovr
wkh txhvwlrq ri wkh uroh ri vhsdudelolw|1 Zh fdq h{shfw d fkrlfhohvv ghyho0
rsphqw ri wklv wkhru| wr eh dffrpsdqlhg e| vrph vxusulvlqj lqvljkwv dqg d
jdlq lq fodulw|1

715

Qrhwkhuldq ulqjv

Frxqwdeoh fkrlfh frphv xs lq vkrzlqj wkdw dq duelwudu| lpdjh * ri d

Qrhwkhuldq prgxoh  lv Qrhwkhuldq1 Wkh xvxdo frqvwuxfwlyh irupxodwlrq
ri wkh Qrhwkhuldq frqglwlrq lv lq whupv ri dvfhqglqj vhtxhqfhv ri qlwho|
jhqhudwhg vxeprgxohv ^45`/ ^55`/ ^<`1 Wkh sureohp lv lq oliwlqj dq dvfhqglqj
vhtxhqfh ri qlwho| jhqhudwhg vxeprgxohv iurp * wr 1 Li  lv qlwho|
jhqhudwhg/ zklfk lv xvxdoo| wkh vlwxdwlrq/ |rx fdq mxvw wdnh frpsohwh lqyhuvh
lpdjhv> rwkhuzlvh |rx qhhg fkrlfh1
Lw*v qrw fohdu zkdw wkh surshu wuhdwphqw khuh lv1 Shukdsv wklv wkhruhp iru
;

dq duelwudu| vxeprgxoh  lv vlpso| svhxgrjhqhudolw|1 Rq wkh rwkhu kdqg/ li

zh duh wu|lqj wr euhdn wkh vhtxhqfh kdelw/ shukdsv zh kdyh wkh zurqj ghql0
wlrq ri Qrhwkhuldq1 Dq dowhuqdwlyh ghqlwlrq ri Qrhwkhuldq/ lq d frqvwuxfwlyh
frqwh{w/ lv edvhg rq wkh lghd ri Qrhwkhuldq lqgxfwlrq1 Wklv ghqlwlrq zdv
ghyhorshg lq ^:`1 Lw jhwv durxqg fkrlfh +dowkrxjk wkdw zdv qrw lwv sxusrvh/ dv
idu dv L nqrz, exw frqvwlwxwhv txlwh d frqfhswxdo euhdn zlwk wkh pruh xvxdo
ghqlwlrq dv d fkdlq frqglwlrq1 Ixuwkhu vwxg| ri wkh xvhv ri wkh Qrhwkhuldq
frqglwlrq lq sudfwlfh zloo eh uhtxluhg wr vruw wklv rxw1
L dovr lqwhqg wr sxuvxh wkh frqvwuxfwlyh ghyhorsphqw ri wkh jhqhudo wkhru|
ri frppxwdwlyh ulqjv/ sduwlfxoduo| Qrhwkhuldq rqhv1 Lq ^48` L vkrzhg krz wr
fdofxodwh pd{lpdo uhjxodu vhtxhqfhv/ d edvlf frqvwuxfwlrq lq frppxwdwlyh
ulqj wkhru|/ iru qlwho| suhvhqwhg dojheudv ryhu glvfuhwh hogv/ dqg iru frkhu0
hqw/ Qrhwkhuldq/ vwurqjo| glvfuhwh ulqjv wkdw frqwdlq dq lqqlwh hog1 Wklv
lv d odujh fodvv ri ulqjv/ exw rqh zrxog uhdoo| olnh wr kdyh d pruh jhqhudo
frqglwlrq qrw lqyroylqj d vxehog1
Sulph lghdov sod| d fhqwudo uroh lq frppxwdwlyh ulqj wkhru|1 Wklv lv dzn0
zdug iru d frqvwuxfwlyh ghyhorsphqw ehfdxvh sulph lghdov duh riwhq gl!fxow
ru lpsrvvleoh wr frqvwuxfw/ hyhq lq dv vlpsoh d vlwxdwlrq dv d sro|qrpldo
ulqj lq rqh yduldeoh ryhu d glvfuhwh hog1 Wkh Nuxoo glphqvlrq _ pd| eh
irupxodwhg lq whupv ri wkh Kloehuw fkdudfwhulvwlf ixqfwlrq/ doorzlqj lw wr eh
frpsxwhg iru d frkhuhqw orfdo ulqj - zlwk d qlwho| jhqhudwhg pd{lpdo lghdo
 zlwkrxw kdylqj wr frqvwuxfw sulph lghdov1 Dq lqwhuhvwlqj txhvwlrq wkdw
dulvhv lpphgldwho| lv zkhwkhu |rx fdq frqvwuxfw d v|vwhp ri sdudphwhuv iru
-d vhw ri _ hohphqwv ri  wkdw jhqhudwhv dq lghdo frqwdlqlqj vrph srzhu
ri 1

716

Glphqvlrq wkhru|

Wkh frqvwuxfwlyh wuhdwphqw ri fryhulqj glphqvlrq lq ^4;` uholhv khdylo| rq

frxqwdeoh fkrlfh yld Wkhruhp ; ri Fkdswhu 7 lq ^4`/ zklfk uhdgv
E Li s lv d frqwlqxrxv uhdo ixqfwlrq rq d +suh,frpsdfw vhw/ wkhq iru doo
exw frxqwdeo| pdq| o : ?u s / wkh vhw s EE4c oo lv +suh,frpsdfw1
3

Ehfdxvh +, zdv dydlodeoh/ dqg ehfdxvh suhfrpsdfw vxevhwv vhhphg pruh
frqvwuxfwlyh wkdq duelwudu| vxevhwv/ dwwhqwlrq lq ^4;` zdv uhvwulfwhg wr suh0
frpsdfw vxevhwv erwk iru fryhulqj dqg ehlqj fryhuhg1 Wklv qhfhvvlwdwhg
frqwlqxdo dsshdov wr +, wr hqodujh vhwv voljkwo| wr pdnh wkhp suhfrpsdfw1
<

Uhmhfwlqj fkrlfh uhtxluhv dedqgrqlqj +,/ exw khuh wkdw pd| uhvxow lq
d pruh hohjdqw dqg vwudljkwiruzdug ghyhorsphqw/ zlwk d jdlq lq jhqhudolw|
dqg shuvslfxlw|1 Lq frqmxqfwlrq zlwk wkh irupdolvp ghyhorshg lq ^49`/ zklfk
doorzv xv wr zrun zlwk glvwdqfhv wr qrqorfdwhg vhwv +lqpd ri erxqghg vhwv ri
uhdo qxpehuv, lq pxfk wkh vdph zd| zh zrun zlwk uhdo qxpehuv/ zh vkrxog
eh deoh wr ghdo zlwk duelwudu| fryhulqjv lq d qdwxudo dqg frqvwuxfwlyh zd|1

717

Frpsdfwo| jhqhudwhg Edqdfk vsdfhv duh qlwh gl0

phqvlrqdo

Frxqwdeoh fkrlfh sod|v d grplqdqw uroh lq wkh surri ri wklv fxulrxv wkhruhp
^4<`/ vr lw zrxog eh dq lqwhuhvwlqj whvwlqj jurxqg iru fkrlfh dyrlgdqfh1 Wkh
vlpsohvw fdvh lv vkrzlqj wkdw li @ jhqhudwhv d forvhg yhfwru vxevsdfh +@ ri
wkh uhdo qxpehuv +/ wkhq @ ' f ru @ 9' f1 Wkh surri ri wklv lv lpsuryhg
s
e| dyrlglqj wkh fkrlfh dujxphqw ri ^46`1 \rx vwduw e| qrwlqj wkdw m@m lv
lq wkh forvxuh ri +@ +vtxduh urrwv ri uhdo qxpehuv duh xqsureohpdwlf|rx
fdq qg rqh lq wkh uvw txdgudqw,/ dqg pdnh wkh qdwxudo pryhv iurp wkdw
srlqw rq1 Hvvhqwldoo| wkh vdph dujxphqw suryhv wkh wkhruhp iru dq| f|folf
Edqdfk vsdfh/ dqg iru qlwho| jhqhudwhg Edqdfk vsdfhv lw fdq eh prglhg
wr vkrz wkdw rqh ri wkh jhqhudwruv lv }hur ru qrq}hur/ wkh wkhruhp iroorzlqj
e| lqgxfwlrq1 Wkh jhqhudo fdvh lv ohvv fohdu/ dqg frqfhlydeo| uhtxluhv fkrlfh1

43

Uhihuhqfhv
^4` Elvkrs/ Huuhww/ Irxqgdwlrqv ri frqvwuxfwlyh dqdo|vlv/ PfJudz0Kloo/
4<9:1
^5` Elvkrs/ Huuhww dqg Grxjodv Eulgjhv/ Frqvwuxfwlyh Dqdo|vlv/
Juxqgohkuhq ghu pdwk1 Zlvvhqvfkdiwhq 5:</ Vsulqjhu0Yhuodj/ 4<;81
^6` Eulgjhv/ Grxjodv/ Iuhg Ulfkpdq dqg Shwhu Vfkxvwhu/ Olqhdu
lqghshqghqfh zlwkrxw fkrlfh/ +suhsulqw/ zzz1pdwk1idx1hgx2Ulfkpdq2
kwpo2grfv1kwp/ vxeplwwhg wr Dqqdov ri Sxuh dqg Dssolhg Orjlf,1
^7` Eulgjhv/ Grxjodv/ Iuhg Ulfkpdq dqg Shwhu Vfkxv0
whu/ Dgmrlqwv/ devroxwh ydoxhv dqg srodu ghfrpsrvlwlrqv +suhsulqw/
zzz1pdwk1idx1hgx2Ulfkpdq2kwpo2grfv1kwp,1
^8` Eulgjhv/ Grxjodv/ Iuhg Ulfkpdq dqg Shwhu Vfkxv0
whu/
Wudfh0fodvv
rshudwruv
+suhsulqw/
zzz1pdwk1idx1hgx2
Ulfkpdq2kwpo2grfv1kwp,1
^9` Gldfrqhvfx/ U1/ D{lrp ri fkrlfh dqg frpsohphqwdwlrq/ Surf1 Dphu1
Pdwk1 Vrf1/ 84+4<:8, 4:904:;1
^:` Mdfrevvrq/ F1/ dqg F1 Oizdoo/ Vwdqgdug edvhv iru jhqhudo frh!0
flhqw ulqjv dqg d qhz frqvwuxfwlyh surri ri Kloehuw*v edvlv wkhruhp/ M1
V|perolf Frpsxw1 45+4<<4,/ 66:6:41
^;` Pduwlq0Oi/ Shu/ Lqwxlwlrqlvwlf w|sh wkhru|/ Eleolrsrolv/ Qdsohv 4<;71
^<` Plqhv/ Ud|/ Iuhg Ulfkpdq dqg Zlp Uxlwhqexuj/ D frxuvh lq
frqvwuxfwlyh dojheud/ Vsulqjhu0Yhuodj 4<;;1
^43` Prruh/ Juhjru| K1/ ]huphor*v d{lrp ri fkrlfh/ lwv ruljlqv ghyhors0
phqw/ dqg lq xhqfh/ Vsulqjhu0Yhuodj/ 4<;51
^44` P|kloo/ Mrkq dqg Qhovrq Jrrgpdq/ Fkrlfh lpsolhv h{foxghg plg0
goh/ ]hlw1 Pdwk1 Orj1 56+4<:;, 7941
^45` Ulfkpdq/ Iuhg/ Frqvwuxfwlyh dvshfwv ri Qrhwkhuldq ulqjv/ Surf1
Dphu1 Pdwk1 Vrf1/ 77+4<:7,/ 7697741

44

^46`

/ Phdqlqj dqg lqirupdwlrq lq frqvwuxfwlyh pdwkhpdwlfv/

Dphu1 Pdwk1 Prqwko|/ ;<+4<;5,/ 6;806;;1

^47`

/ Iodw glphqvlrq dqg wkh Kloehuw v|}|j| wkhruhp/ Qhz

]hdodqg M1 Pdwk1/ 59+4<<:,/ 5965:61

^48`

/ Wkh uhjxodu hohphqw surshuw|/ Wudqv1 Dphu1 Pdwk1 Vrf1/

459+4<<;,/ 5456545<1

^49`

/ Jhqhudol}hg uhdo qxpehuv lq frqvwuxfwlyh pdwkhpdwlfv/

Lqgdj1 Pdwk1/ wr dsshdu1

^4:`

/ Wkh ixqgdphqwdo wkhruhp ri dojheud/ d frqvwuxfwlyh

ghyhorsphqw zlwkrxw fkrlfh/ +suhsulqw/ zzz1pdwk1idx1hgx2Ulfkpdq2
kwpo2grfv1kwp/ vxeplwwhg wr Wudqv1 Dphu1 Pdwk1 Vrf1,1

^4;` Ulfkpdq/ Iuhg/ Jrugrq Ehuj/ Khqu| Fkhqj dqg Ud| Plqhv/
Frqvwuxfwlyh glphqvlrq wkhru|/ Frpsrvlwlr Pdwk1/ 66+4<:9,/ 44:1
^4<` Ulfkpdq/ Iuhg/ Grxjodv Eulgjhv/ Doodq Fdoghu/ Zlooldp
Mxoldq dqg Ud| Plqhv/ Frpsdfwo| jhqhudwhg Edqdfk vsdfhv/ Dufkly
ghu Pdw1/ 69+4<;4,/ 56<5761
^53` Uxlwhqexuj/ Zlp/ Frqvwuxfwlqj urrwv ri sro|qrpldov ryhu wkh frp0
soh{ qxpehuv/ Frpsxwdwlrqdo dvshfwv ri Olh jurxs uhsuhvhqwdwlrqv dqg
uhodwhg wrslfv/ FZL Wudfw ;7+4<<4,/ 43:45;1
^54` Vfhgury/ Dqguh/ Gldjrqdol}dwlrq ri frqwlqxrxv pdwulfhv dv d uhsuh0
vhqwdwlrq ri lqwxlwlrqlvwlf uhdov/ Dqq1 Sxuh Dsso1 Orjlf 63+4<;9,/ 534
5391
^55` Vhlghqehuj/ Deudkdp/ Zkdw lv QrhwkhuldqB Uhqg1 Vhp1 Pdwk1 h
Ilv1 Plodqr/ 77+4<:7,/ 88941
^56` Wurhovwud/ Dqqh V1 dqg Glun ydq Gdohq/ Frqvwuxfwlylvp lq
pdwkhpdwlfv/ dq lqwurgxfwlrq/ Yroxph 4/ Qruwk0Kroodqg 4<;;1
^57` Zh|o/ Khupdqq/ Udqgehphunxqjhq }x Kdxswsureohphq ghu Pdwkh0
pdwln/ Pdwk1 ]1 53+4<57,/ 4644831

45