You are on page 1of 20

$LULQWHUIDFH

7RSLF

7DEOHRI&RQWHQWV

3DJH

6SHFWUXPDOORFDWLRQ 
5DGLRDFFHVVPHWKRGV  
'XSOH[ 
0XOWLSOHDFFHVV  
6SUHDGLQJ  
&KDQQHOL]DWLRQ  
6FUDPEOLQJ  
6XPPDU\RIVSUHDGLQJSURFHVV  
%DQGZLGWKRQGHPDQG  
3RZHUFRQWURO  
&ORVHORRSSRZHUFRQWURO 
2SHQORRSSRZHUFRQWURO  
2XWHUORRSSRZHUFRQWURO 
+DQGRYHU  
,QWUDIUHTXHQF\KDQGRYHU 
,QWHUIUHTXHQF\KDQGRYHU 
0XOWLSDWKUDGLRFKDQQHOV 
5DNHUHFHLYHU  




:&'0$5DGLR1HWZRUN3ODQQLQJ

6SHFWUXPDOORFDWLRQ

7KH:RUOG$GPLQLVWUDWLYH5DGLR&RQIHUHQFHRIWKH,QWHUQDWLRQDO
7HOHFRPPXQLFDWLRQ8QLRQ ,78 LQGHFLGHGWRLGHQWLI\WKHIUHTXHQFLHVDURXQG
*+]WREHDYDLODEOHIRUWKHWKLUGJHQHUDWLRQV\VWHP:LWKLQWKH,78WKHWKLUG
JHQHUDWLRQV\VWHPLVFDOOHG,QWHUQDWLRQDO0RELOH7HOHSKRQ\ ,07 ,Q
(XURSHDQGLQPRVWRI$VLDWKH,07EDQGVRIu0+]DUHDYDLODEOHIRU
:&'0$)'',QWKHXSOLQNGLUHFWLRQWKHIUHTXHQFLHVVWDUWIURPWR0+]
7KHGRZQOLQNGLUHFWLRQFRYHUVWKHIUHTXHQF\VSHFWUXPIURPWR0+]

7KHOLFHQFHG:&'0$7''VSHFWUXPLQ(XURSHLV0+]GLYLGHGLQWRWZREDQGV
0+]DQG0+]7KHUHVWRIWKHXQSDLUHGVSHFWUXPLVH[SHFWHG
WREHXVHGIRUXQOLFHQFHG7''DSSOLFDWLRQV

0RUHIUHTXHQFLHVKDYHEHHQLGHQWLILHGIRUWKH,07LQDGGLWLRQWRWKH
IUHTXHQFLHVPHQWLRQHGDERYH$WWKH:RUOG$GPLQLVWUDWLYH5DGLR&RQIHUHQFH
PHHWLQJRIWKH,78LQ0D\ :$5& WKHIROORZLQJIUHTXHQF\EDQGVZHUH
LGHQWLILHG
x 0+]
x 0+]
x 0+]
6RPHRIWKHIUHTXHQFLHVEHORZ*+]DUHDOUHDG\XWLOLVHGE\*60V\VWHP

)LJXUH6SHFWUXPDOORFDWLRQLQ(XURSH*60LVWKHVHFRQGJHQHUDWLRQV\VWHP'(&7VWDQGVIRU
'LJLWDO(QKDQFHG&RUGOHVV7HOHSKRQH066VWDQGVIRU0RELOH6DWHOOLWH6\VWHP

5DGLRDFFHVVPHWKRGV
'XSOH[

7KHUHDUHWZRGLUHFWLRQVRIWUDQVPLVVLRQWKDWPXVWEHVHSDUDWHGIURPHDFKRWKHUWR
DYRLGFROOLVLRQV7KLVVHSDUDWLRQSURFHVVLVFDOOHGGXSOH[7UDQVPLVVLRQIURPWKH
PRELOHVWDWLRQWRWKHEDVHVWDWLRQLVUHIHUUHGWRDV8SOLQN 8/ ZKLOHWKH
WUDQVPLVVLRQIURPWKHEDVHVWDWLRQWRWKHPRELOHVWDWLRQLVUHIHUUHGWRDV'RZQOLQN
'/ 7KHGLUHFWLRQVRIWUDQVPLVVLRQFDQEHVHSDUDWHGLQIUHTXHQF\RUWLPHGRPDLQ
)UHTXHQF\'LYLVLRQ'XSOH[ )'' V\VWHPXVHVGLIIHUHQWIUHTXHQF\EDQGVIRUXSOLQN
DQGGRZQOLQNVHSDUDWHGE\WKHGXSOH[GLVWDQFHVHH)LJXUHZKLOHWKH7LPH



$LULQWHUIDFH
'LYLVLRQ'XSOH[ 7'' V\VWHPXVHVWKHVDPHIUHTXHQF\EDQGIRUERWKXSOLQNDQG
GRZQOLQNZKLFKLVWLPHVKDUHGDVSUHVHQWHGLQ)LJXUH

)LJXUH)''FRQFHSW

)LJXUH7''FRQFHSW

,QFDVHRI)UHTXHQF\'LYLVLRQ'XSOH[WKHXSOLQNLVSODFHGRQWKHORZHUIUHTXHQF\
EDQGEHFDXVHWKHWUDQVPLVVLRQRIORZHUIUHTXHQF\UDGLRZDYHUHTXLUHVOHVVHQHUJ\
FRPSDULQJWRWKHKLJKHUIUHTXHQF\EDQGRQZKLFKWKHGRZQOLQNLVSODFHG,Q)''
VROXWLRQWKHWUDQVPLVVLRQDQGUHFHSWLRQPD\WDNHSODFHFRQWLQXRXVO\RU
GLVFRQWLQXRXVO\$QH[DPSOHVRIWKH)''V\VWHPLV*60

7LPH'LYLVLRQ'XSOH[UHTXLUHVRQO\RQHIUHTXHQF\WKDWPD\EHDQDGYDQWDJHLQFDVH
ZKHQWKHDYDLODELOLW\RIUDGLRUHVRXUFHVLVDOLPLWLQJIDFWRU2QWKHRWKHUKDQGWR
DYRLGDQ\FROOLVLRQV7''V\VWHPUHTXLUHVDWLPHVWUXFWXUH V\QFKURQL]DWLRQ WR
VHSDUDWHWKHXSOLQNDQGGRZQOLQNWUDQVPLVVLRQZKLFKLVDOZD\VGLVFRQWLQXRXV$Q
H[DPSOHVRIWKH7''V\VWHPLVFRUGOHVVWHOHSKRQ\V\VWHP

0XOWLSOHDFFHVV

$QRWKHUSUREOHPDSDUWRIGXSOH[WUDQVPLVVLRQVHSDUDWLRQWKDWPXVWEHVROYHGLVWKH
ZD\RIDFFHVVLQJWKHUDGLRUHVRXUFHV7KHUHIRUHDQKDUPRQL]HGDFFHVVRIPXOWLSOH
PRELOHVWDWLRQVWRWKHVKDUHGUDGLRUHVRXUFHVPXVWH[LVW,QXSOLQNGLUHFWLRQDQXPEHU
RIPRELOHVWDWLRQVWUDQVPLWWRWKHEDVHVWDWLRQ7KXVWKHPXOWLSOHDFFHVVWHFKQRORJ\LV


:&'0$5DGLR1HWZRUN3ODQQLQJ
UHTXLUHGZKLFKDOORZVWKHEDVHVWDWLRQWRVHSDUDWHWUDQVPLVVLRQVIURPGLIIHUHQW06V
,QGRZQOLQNGLUHFWLRQDVLQJOHEDVHVWDWLRQKDVWRNHHSDFRQQHFWLRQZLWKPXOWLSOH
XVHUV)RUWKDWUHDVRQDPXOWLSOH[LQJPHWKRGLVDSSOLHGZKLFKDOORZVWKHVLJQDOV
GHGLFDWHGWRGLIIHUHQWXVHUVWREHPXOWLSOH[HGLQRUGHUWREHFRUUHFWO\GHWHFWHGDWWKH
UHFHLYLQJVLGH
)'0$

)UHTXHQF\'LYLVLRQ0XOWLSOH$FFHVV )'0$ ZDVWKHILUVWPXOWLSOHDFFHVV


WHFKQRORJ\DSSOLHG7KHDYDLODEOHUDGLRUHVRXUFHVZHUHGLYLGHGLQIUHTXHQF\GRPDLQ
)RUHDFKFRQQHFWLRQDVHSDUDWHIUHTXHQF\EDQGRIHTXDOZLGWKZDVDOORFDWHG7KH
WUDQVPLVVLRQZDVFRQWLQXRXVDQGQRV\QFKURQLVDWLRQLQWLPHZDVUHTXLUHG$Q
H[DPSOHRI)'0$V\VWHPLV$GYDQFHG0RELOH3KRQH6\VWHPV $036 WKHILUVW
JHQHUDWLRQFHOOXODUV\VWHPGHYHORSHGLQ1RUWK$PHULFD
7'0$

$QRWKHUVROXWLRQRIDPXOWLSOHDFFHVVWHFKQRORJ\LV7LPH'LYLVLRQ0XOWLSOH$FFHVV
7'0$ 7KHDYDLODEOHUDGLRUHVRXUFHVDUHGLYLGHGLQWLPHGRPDLQLQWRWLPHVORWV
76 $FHUWDLQQXPEHURIWLPHVORWVFUHDWHVRFDOOHG7'0$IUDPH7KLVQXPEHULV
V\VWHPVSHFLILF)RUH[DPSOHLQ*60V\VWHPZKLFKLVDQH[DPSOHRI7'0$
V\VWHPHLJKW76VPDNHXSD7'0$IUDPH$VLQJOHPRELOHVWDWLRQKDVDF\FOLF
DFFHVVWRWKHFRPPRQUDGLRUHVRXUFHVGXULQJWKHDOORFDWHGWLPHVORW7KXVWKH
WUDQVPLVVLRQLVGLVFRQWLQXRXVDQGWKHV\QFKURQLVDWLRQLVQHHGHGLQRUGHUWRDYRLG
RYHUODSSLQJRIEXUVWVWKDWLVWKHLQIRUPDWLRQFRQWHQWVHQWLQDGMDFHQWWLPHVORWV

,QIDFW*60V\VWHPXVHVDFRPELQDWLRQRI)'0$DQG7'0$WHFKQRORJ\)RU
H[DPSOHLQ*60V\VWHPIUHTXHQF\EDQGLVGLYLGHGLQWR7'0$IUDPHV
HDFKFRQWDLQLQJHLJKWWLPHVORWV7KHVDPHFRPELQDWLRQRIUDGLRDFFHVVWHFKQRORJ\LV
XVHGLQRWKHUVHFRQGJHQHUDWLRQFHOOXODUV\VWHPVOLNH'LJLWDO$GYDQFHG0RELOH
3KRQH6\VWHPV '$036 GHYHORSHGLQ8QLWHG6WDWHVRU3HUVRQDO'LJLWDO&HOOXODU
3'& XVHGLQ-DSDQ
&'0$

&RGH'LYLVLRQ0XOWLSOH$FFHVV &'0$ DOORZVIRUVLPXOWDQHRXVWUDQVPLVVLRQRI


PXOWLSOHXVHUVLQWKHVDPHZLGHIUHTXHQF\EDQG6HSDUDWLRQRIGLIIHUHQWFRQQHFWLRQV
LVDFKLHYHGE\XVHRIGLIIHUHQWFRGHVZLWKDVSHFLILFSURSHUWLHVZKLFKDUHIXUWKHU
GLVFXVVHGLQWKLVFKDSWHU7KHPDLQFKDUDFWHULVWLFRIWKH:LGHEDQG&'0$
:&'0$ V\VWHPLVZLGHEDQGWUDQVPLVVLRQWKDWDOORZVWRORZHUWKHSRZHUGHQVLW\
DQGDYHUDJHSRZHULWVHOI)RUH[DPSOHLQ)'0$V\VWHPVQDUURZFKDQQHOVDUHXVHG
DQGDFHUWDLQDPRXQWRISRZHUPXVWEHDOORFDWHG7KHVSHFWUDOSRZHUGHQVLW\WKDWLV
WKHDYHUDJHSRZHUSHUEDQGZLGWKLVUHODWLYHO\KLJK

6SUHDGLQJ

:&'0$FRQFHSWDVVXPHVWKDWZLGHIUHTXHQF\FKDQQHOVDUHXVHGEXWWKHVLJQDOLV
RULJLQDOO\QDUURZEDQG,WPHDQVWKDWEHIRUHWUDQVPLVVLRQWKHVLJQDOPXVWEHVSUHDG
VHH)LJXUH



$LULQWHUIDFH

)LJXUH6SUHDGLQJFRQFHSW7ZRVHUYLFHVYRLFHWUDQVIHUDQGYLGHRWUDQVIHURFFXS\RULJLQDOO\GLIIHUHQW
EDQGZLGWKEXWDIWHUVSUHDGLQJWKH\DUHWUDQVPLWWHGLQWKHVDPHIUHTXHQF\EDQG

7KHUHDUHWKUHHJURXSVRIVSUHDGVSHFWUXPWHFKQRORJLHV
x )UHTXHQF\+RSSLQJ6SUHDG6SHFWUXP )+66 
x 7LPH+RSSLQJ6SUHDG6SHFWUXP 7+66 
x 'LUHFW6HTXHQFH6SUHDG6SHFWUXP '666 

7KHRIILFLDOQDPHRIWKH,78VWDQGDUGIRU:&'0$LV,QWHUQDWLRQDO0RELOH
7HOHSKRQ\'LUHFW6HTXHQFH ,07'6 :&'0$LVEDVHGRQWKH'666WHFKQRORJ\
ZKLFKXVHVWKHVSUHDGLQJFRGHGLUHFWO\WRH[SDQGWKHEDQG

6SUHDGLQJFRQVLVWVRIWZRVWHSVFKDQQHOL]DWLRQDQGVFUDPEOLQJZKLFKLVLOOXVWUDWHG
LQ)LJXUH

)LJXUH6SUHDGLQJIORZ



:&'0$5DGLR1HWZRUN3ODQQLQJ

&KDQQHOL]DWLRQ

7KHFKDQQHOL]DWLRQRSHUDWLRQLVWKHPXOWLSOLFDWLRQRIHDFKXVHUGDWDELWZLWKD
VHTXHQFHRIFRGHELWVFDOOHGFKLSVVHH)LJXUH7KHRXWSXWVWUHDPIURPWKH
FKDQQHOL]DWLRQSURFHVVFRQVLVWVRIFRGHVHTXHQFHVRULQYHUVHFRGHVHTXHQFHV
GHSHQGLQJRQWKHLQSXWELWYDOXHV,QSXWELWLVPDSSHGWRWKHFRGLQJVHTXHQFH
ZKLOHLQSXWELWLVPDSSHGWRWKHLQYHUVHFRGLQJVHTXHQFH,WPHDQVWKDWLQSXWELWV
DUHPRGXORDGGHGZLWKHDFKELWRIWKHFRGH

)LJXUH&KDQQHOL]DWLRQFRQFHSW

,IWKHXVHUGDWDELWVHTXHQFHLVRIUDWH; 7LVHH)LJXUHDQGWKHOHQJWKRIFRGH
ELWVLV6) 6SUHDGLQJ)DFWRU WKHUHVXOWLQJVSUHDGGDWDUDWHFDQEHFDOFXODWHG
DFFRUGLQJWRWKHHTXDWLRQ  

6SUHDGGDWDUDWH
ZKHUH



7F


6) 
7L

 

7F  GXUDWLRQRIRQHFKLSLQWKHVSUHDGVLJQDO
7L  GXUDWLRQRIRQHLQIRUPDWLRQELW

6)  6SUHDGLQJ)DFWRUWKDWLVQXPEHURIFRGHELWVLQWKHVSUHDGLQJ
FRGH

,QWKHLQYHUVHRSHUDWLRQWKDWLVGXULQJGHVSUHDGLQJWKHVSUHDGXVHUGDWDVHTXHQFHLV
PXOWLSOLHGELWGXUDWLRQE\ELWGXUDWLRQZLWKWKHFRGHFKLSVRIWKHVDPHOHQJWK6)
7KHRULJLQDOXVHUELWVHTXHQFHLVUHFRYHUHGSHUIHFWO\GXULQJGHVSUHDGLQJSURFHGXUH
SURYLGLQJDOVRSHUIHFWV\QFKURQL]DWLRQEHWZHHQWKHVSUHDGXVHUVGDWDELWVDQGWKH
VSUHDGLQJGHVSUHDGLQJFRGH'HVSUHDGLQJUHVWRUHVDEDQGZLGWKSURSRUWLRQDOO\WRWKH
OHQJWKRIWKHELWVHTXHQFH

$IWHUFKDQQHOL]DWLRQWKHEDQGZLGWKRIWKHVLJQDOLVIL[HGWR0+]UHODWLYHWRWKHFKLS
UDWHRI0FSV,QRUGHUWRPDLQWDLQDFRQVWDQWFKLSUDWHGLIIHUHQWFRGHVPXVWEH
XVHGGHSHQGLQJRQWKHLQSXWELWUDWH&KDQQHOL]DWLRQFRGHVFDQEHFKDQJHGHYHU\
PVLHHYHU\UDGLRIUDPH


$LULQWHUIDFH

)LJXUH'LUHFW6HTXHQFH6SUHDG6SHFWUXPWHFKQRORJ\

7KH7DEOHSUHVHQWVFRPELQDWLRQRIDELWUDWHDQGVSUHDGLQJIDFWRUV 6) 
%LWUDWH
>NESV@


6)


&KLSUDWH
>0FSV@



































7DEOH&RPELQDWLRQRIDELWUDWHDQGVSUHDGLQJIDFWRUUHVXOWLQJLQFRQVWDQWFKLSUDWH

7RDFKLHYHKLJKHUELWUDWHVXSWR0ESVPXOWLFRGHRSHUDWLRQPXVWEHXVHG,QSXW
VWUHDPLVGLYLGHGLQWRVXEVWUHDPDQGWKHQHDFKVXEVWUHDPLVFKDQQHOL]HGZLWK
GLIIHUHQWFRGH

7RPLQLPL]HLQWHUIHUHQFHVDPRQJVWUHDPVRUWKRJRQDO:DOVKFRGHVDUHXVHG7KH
FKDQQHOL]DWLRQFRGHVDUHEDVHGRQ2UWKRJRQDO9DULDEOH6SUHDGLQJ)DFWRU 296) 
WHFKQLTXH7KHXVHRI296)FRGHVDOORZVWRFKDQJHWKHVSUHDGLQJIDFWRUGHSHQGLQJ
RIDXVHUELWUDWH,WDOVRPDLQWDLQVWKHRUWKRJRQDOLW\EHWZHHQGLIIHUHQWFRGHVRI
GLIIHUHQWOHQJWKV7KHFRGHVDUHSLFNHGIURPWKHFRGHWUHHLOOXVWUDWHGLQ)LJXUH

,QRUGHUWRPDLQWDLQRUWKRJRQDOLW\FHUWDLQUHVWULFWLRQVDUHSXWRQ:DOVKFRGHVWKDW
PD\OLPLWWKHDYDLODEOHFRGHVSDFH,WLVDSUREOHPZKHQWKHUHLVDORWRI
VLPXOWDQHRXVFRQQHFWLRQVIURPDEDVHVWDWLRQVSHFLDOO\LIKLJKGDWDUDWHFRQQHFWLRQV
DUHDFWLYH7KHQWKHUHLVDULVNWKDWWKHV\VWHPEHFRPHVFRGHOLPLWHGEHFDXVHQRW
HYHU\FRPELQDWLRQRIFRGHVIURPWKHWUHHPD\EHXVHGVLPXOWDQHRXVO\

7KHUHDUHUHVWULFWLRQVDVWRZKLFKRIWKHFKDQQHOL]DWLRQFRGHVFDQEHXVHGIRUD
WUDQVPLVVLRQIURPDVLQJOHVRXUFH$QRWKHUSK\VLFDOFKDQQHOPD\XVHDFHUWDLQFRGH
LQWKHWUHHLIQRRWKHUSK\VLFDOFKDQQHOWREHWUDQVPLWWHGXVLQJWKHVDPHFRGHWUHHLV
XVLQJDFRGHWKDWLVRQDQXQGHUO\LQJEUDQFKWKDWLVXVLQJDKLJKHUVSUHDGLQJIDFWRU



:&'0$5DGLR1HWZRUN3ODQQLQJ
FRGHJHQHUDWHGIURPWKHLQWHQGHGVSUHDGLQJFRGHWREHXVHG1HLWKHUFDQDVPDOOHU
VSUHDGLQJIDFWRUFRGHRQWKHSDWKWRWKHURRWRIWKHWUHHEHXVHG7KHGRZQOLQN
RUWKRJRQDOFRGHVZLWKLQHDFKEDVHVWDWLRQDUHPDQDJHGE\WKH5DGLR1HWZRUN
&RQWUROOHU 51& ,WPD\EHQRWLFHGWKDWWKHQXPEHURIDYDLODEOHFRGHVRIDVSHFLILF
OHQJWKLVHTXDOWRWKHVSUHDGLQJIDFWRU,QWKLVZD\WKHUHFDQEHPRUHORZGDWDUDWH
XVHUVVHUYHGIURPRQHEDVHVWDWLRQWKDQKLJKGDWDUDWHXVHUV

)LJXUH([DPSOHRIFKDQQHOL]DWLRQFRGHWUHH

&KDQQHOL]DWLRQSURFHVVLVGHVLJQHGWRFDWHUIRUWKHIROORZLQJWDVNV
x 6HSDUDWHVHUYLFHVIURPRQHPRELOHVWDWLRQRUDEDVHVWDWLRQ
x 0LQLPL]HLQWHUIHUHQFHDPRQJVWUHDPVWUDQVPLWWHGIURPWKHVDPHVRXUFHWKDWLV
FURVVFRUUHODWLRQVKRXOGEHDVORZDVSRVVLEOH

8076V\VWHPHQDEOHVPXOWLSOHVLPXOWDQHRXVVHUYLFHV&KDQQHOL]DWLRQFRGHVDUH
XWLOL]HGWRVHSDUDWHWKHWUDQVPLVVLRQIURPDVLQJOHVRXUFHVHH)LJXUH

)LJXUH&KDQQHOL]DWLRQFRGHVDSSOLHGLQ8/'/GLUHFWLRQV

6FUDPEOLQJ

$VFUDPEOLQJLVDSDUWRIWKHVSUHDGLQJSURFHVVZKLFKWDNHVSODFHLQDWKHWUDQVPLWWHU
7KHVFUDPEOLQJLVGHVLJQHGWRVHSDUDWHWHUPLQDOVRUEDVHVWDWLRQVIURPHDFKRWKHUDV
LOOXVWUDWHGLQ)LJXUH

6FUDPEOLQJLVXVHGRQWRSRIVSUHDGLQJDQGLWGRHVQRWFKDQJHWKHVLJQDOEDQGZLGWK
)LJXUHVKRZVWKHZKROHVSUHDGLQJSURFHVV$VWKHFKLSUDWHLVDFKLHYHGLQWKH
VSUHDGLQJE\WKHFKDQQHOL]DWLRQFRGHVWKHV\PEROUDWHLVQRWDIIHFWHGE\WKH
VFUDPEOLQJ


$LULQWHUIDFH

)LJXUH8VDJHRIVFUDPEOLQJFRGHV

)LJXUH5HODWLRQEHWZHHQFKDQQHOL]DWLRQDQGVFUDPEOLQJ

$SDUWIURPWKHWUDQVPLWWHULGHQWLILFDWLRQZLWKVFUDPEOLQJWKHIROORZLQJWDVNDUH
DFKLHYHG
x 6LJQDOFKDUDFWHULVWLFVLPSURYHPHQW
x %HWWHUV\QFKURQL]DWLRQSURFHVV
x 6\VWHPVHFXULW\LPSURYHPHQW

6FUDPEOLQJRSHUDWLRQLVGRQHE\FKLSE\FKLSPXOWLSOLFDWLRQRIVLJQDODQGFRGH
&RGHVXVHGIRUVFUDPEOLQJDUHFDOOHG3VHXGR1RLVH 31 FRGHVGXHWRWKHLUFRPPRQ
QRLVHOLNHFKDUDFWHULVWLFV

([DPSOHRI3VHXGR1RLVHFRGHVDUH*ROGFRGHVZKLFKDUHXVHGLQ:&'0$V\VWHP
7KH\DUHH[DPSOHRIORQJFRGHV7KHORQJFRGHVZLWKGHJUHHJHQHUDWRU
SRO\QRPLDOVDUHWUXQNDWHGWRWKHPVIUDPHOHQJWKUHVXOWLQJLQFKLSVZLWK
0FSV7RJHQHUDWHD*ROGFRGHVVSHFLDODUUDQJHPHQWRI31FRGHJHQHUDWRULV
UHTXLUHG7KHOHQJWKRIWKHUHJLVWHUDQGIHHGEDFNDUUDQJHPHQWVDUHIL[HG6WDUWLQJ
YHFWRURURIIVHWEHWZHHQWZR31FRGHJHQHUDWRUVPD\YDU\

$OORFDWLRQRIVFUDPEOLQJFRGHVLQGRZQOLQNGLUHFWLRQLVGRQHGXULQJDV\VWHP
SODQQLQJSKDVH$OORFDWLRQRIFRGHVLQXSOLQNGLUHFWLRQLVPDQDJHGE\WKH51&DQG
LVG\QDPLF(DFKPRELOHVWDWLRQLVDVVLJQHGRQHVFUDPEOLQJFRGHGXULQJUHJLVWUDWLRQ

7RVHSDUDWHEDVHVWDWLRQVRUPRELOHVWDWLRQVWKHFRUUHODWLRQDPRQJVFUDPEOLQJFRGHV
VKRXOGWHQGWR]HUR,QFDVHRI*ROGFRGHVWKHFURVVFRUUHODWLRQLVORZEXWLWGRHVQRW
UHDFK]HUR7KHFURVVFRUUHODWLRQGHSHQGVRQWKHELWUDWH7KHORZHUWKHELWUDWHWKH
ORZHU EHWWHU LVWKHFURVVFRUUHODWLRQRI*ROGFRGHV

6XPPDU\RIVSUHDGLQJSURFHVV
7KHVSHFWUXPVSUHDGLQJKDVVHYHUDODGYDQWDJHV
x 7KHVLJQDOORRNVVLPLODUWRQRLVH



:&'0$5DGLR1HWZRUN3ODQQLQJ
x
x
x
x

/RZHUVHQVLWLYLW\WRQDUURZEDQGLQWHUIHUHQFHRUIDGLQJ
6SHFWUDOHIILFLHQWV\VWHP
9HU\WLJKWUHXVHSDWWHUQDSSOLHG
)OH[LELOLW\LQV\VWHPGHVLJQ

7KHZLGHIUHTXHQF\EDQGWUDQVPLVVLRQZLWKORZSRZHUGHQVLW\PDNHVWKHVLJQDO
VLPLODUWRQRLVH EHORZWKHWKHUPDOQRLVHOHYHO ,WLVYHU\GLIILFXOWWRVHSDUDWHWKH
VLJQDOIURPEDFNJURXQGQRLVHZLWKRXWNQRZOHGJHRIVSUHDGLQJVHTXHQFHRUHYHQ
GHWHFWWKDWVRPHWKLQJZDVWUDQVPLWWHG)RUWKLVUHDVRQVSUHDGVSHFWUXPV\VWHPVKDYH
WKHLURULJLQLQPLOLWDU\DSSOLFDWLRQV

0RVWRIWKHLQWHUIHUHQFHRUIDGLQJWHQGWREHQDUURZEDQG,IWKHLQIRUPDWLRQWUDQVIHU
WDNHVSODFHLQZLGHIUHTXHQF\FKDQQHOVWKHTXDOLW\LVDYHUDJHGZKDWUHVXOWVLQHDVLHU
UHFRYHU\RIGHVLUHGVLJQDODVSUHVHQWHGLQ)LJXUH

)LJXUH,QWHUIHUHQFHDQGIDGLQJDYHUDJLQJ

&'0$HQDEOHVVLPXOWDQHRXVWUDQVIHURIGDWDLQWKHVDPHIUHTXHQF\EDQGWKDWUHVXOWV
LQYHU\VSHFWUDOHIILFLHQWV\VWHPV

:LGHEDQGV\VWHPDOORZVIRUXVDJHRIWKHVDPHVHWRIIUHTXHQFLHVLQDGMDFHQWFHOOV,W
PHDQVWKDWIUHTXHQF\UHXVHIDFWRULVHTXDORQH)UHTXHQF\SODQQLQJLVUHSODFHGE\
FRGHSODQQLQJVHH)LJXUH

)LJXUH)UHTXHQF\SODQQLQJDQGFRGHSODQQLQJSULQFLSOHV



$LULQWHUIDFH
7KHVSUHDGLQJGHVSUHDGLQJGRHVQRWSURYLGHDQ\VLJQDOHQKDQFHPHQWIRUZLUHOHVV
DSSOLFDWLRQV0RUHRYHUWKHUHDUHVRPHSUREOHPVZLWKVSUHDGVSHFWUXPUHODWHGWR
LQWHUIHUHQFHV,QWHUIHUHQFHOHYHOLVDYHU\KDUGOLPLWLQJIDFWRULQ&'0$V\VWHP
EHFDXVHWKHWUDQVPLVVLRQLVLQWKHVDPHIUHTXHQF\EDQG$SURSHUGHVLJQRI
VSUHDGLQJFRGHVFRQWUROVFRFKDQQHOLQWHUIHUHQFHV$QRWKHUZD\RIUHGXFLQJ
H[FHVVLYHLQWHUIHUHQFHLVIDVWSRZHUFRQWURO

%DQGZLGWKRQGHPDQG

,Q:&'0$V\VWHPXVHULQIRUPDWLRQELWVDUHVSUHDGRYHUDZLGHEDQGZLGWKE\
PXOWLSOH[LQJWKHXVHUGDWDZLWKTXDVLUDQGRPELWVFDOOHGFKLSV$FDUULHUEDQGZLGWK
RI0+]FRUUHVSRQGVWRWKHFKLSUDWHRI0FSV7KHDFWXDOFDUULHUVSDFLQJFDQ
EHVHOHFWHGRQDN+]JULGEHWZHHQDQG0+]GHSHQGLQJRQWKHLQWHUIHUHQFH
VLWXDWLRQEHWZHHQWKHFDUULHUV

(DFKXVHULVDOORFDWHGIUDPHVRIPVGXUDWLRQGXULQJZKLFKDXVHUGDWDUDWHLV
FRQVWDQWVHH)LJXUHKRZHYHUWKHFDSDFLW\DPRQJXVHUVFDQEHFKDQJHGIURP
IUDPHWRIUDPH7KLVIDVWUDGLRFDSDFLW\DOORFDWLRQLVFRQWUROOHGE\WKHQHWZRUNWR
DFKLHYHDQRSWLPXPWKURXJKSXW%DQGZLGWKRQ'HPDQG %R' VXSSRUWVIRUPXOWLSOH
VLPXOWDQHRXVFRQQHFWLRQVDQGYDULDEOHELWUDWHV,WLVVSHFLDOO\LPSRUWDQWWRPDLQWDLQ
WKHWUDQVPLVVLRQRIYDULDEOHXVHUELWUDWHVDVVRUWHGVHUYLFHVDQGTXDOLW\UHTXLUHPHQWV
DVLWZDVDOUHDG\SUHVHQWHGLQ)LJXUH

)LJXUH:&'0$EDQGZLGWKDOORFDWLRQ%R'FRQFHSWLVGHVLJQHGWRVXSSRUWUHTXHVWHGXVHUGDWDUDWH

3RZHUFRQWURO

6LQFHPDQ\XVHUVVKDUHWKHVDPHZLGHEDQGFDUULHUDWLJKWSRZHUFRQWURODQG
KDQGRYHUVPXVWEHDSSOLHGWRDYRLGLQWHUIHUHQFHDQGEORFNHGFRQQHFWLRQV

7KHSRZHUFRQWUROLVRQHRIWKHPRVWLPSRUWDQWIHDWXUHVDVIUHTXHQF\UHXVH
SDWWHUQXWLOL]HGLQ:&'0$V\VWHPUHVXOWVLQWKHVDPHIUHTXHQF\FKDQQHODOORFDWHG
LQDOOWUDQVPLWWHUV'XHWRLPSHUIHFWVHSDUDWLRQDPRQJVLJQDOVEHORQJLQJWRGLIIHUHQW
WUDQVPLWWHUVWKLUGJHQHUDWLRQV\VWHPVDUHXVXDOO\LQWHUIHUHQFHOLPLWHG,WPHDQVWKDW
DOVRFRYHUDJHDQGFDSDFLW\ZKLFKDUHOLPLWHGE\WKHLQWHUIHUHQFHOHYHOFDQEH
LPSURYHGZLWKSRZHUFRQWURO
3RZHUFRQWUROKHOSVWRNHHSLQWHUIHUHQFHDWORZHVWSRVVLEOHOHYHOE\DGMXVWLQJWKH
WUDQVPLWWHURXWSXWSRZHUWRWKHRSWLPXPOHYHO7KHRXWSXWSRZHUVKRXOGEHQRWWR



:&'0$5DGLR1HWZRUN3ODQQLQJ
KLJKLQRUGHUWRDYRLGZDVWLQJWKHFDSDFLW\DQGQRWWRRORZLQRUGHUWRPDLQWDLQWKH
TXDOLW\

&ORVHORRSSRZHUFRQWURO

)LJXUHSUHVHQWVDV\VWHPZLWKRXWSRZHUFRQWURO0RELOHVWDWLRQVWUDQVPLWZLWK
HTXDORXWSRZHU7KH06ZKLFKLVFORVHGWR%DVH6WDWLRQ %6 PD\VKRXWGRZQWKH
PRELOHVWDWLRQDWWKHFHOOERUGHU7KLVVLWXDWLRQLVFDOOHGQHDUIDUSUREOHPLQ
:&'0$V\VWHP

)LJXUH1HDUIDUSUREOHPV$V\VWHPZLWKRXWSRZHUFRQWUROLVSUHVHQWHGZKHUHPRELOHVWDWLRQWUDQVPLW
ZLWKWKHVDPHRXWSXWSRZHU

3RZHUFRQWUROVROYHVWKHQHDUIDUSUREOHPE\HTXDOL]LQJWKHUHFHLYHGSRZHUIURPDOO
PRELOHVWDWLRQV0RELOHVDWWKHFHOOERUGHURUWKRVHWKDWH[SHULHQFHKLJKVLJQDO
DWWHQXDWLRQDUHWROGWRLQFUHDVHWKHLURXWSXWSRZHUZKLOHPRELOHVVLWXDWHGFORVHWRWKH
EDVHVWDWLRQRUUHFHLYLQJVLJQDOZLWKDJRRGRUDWOHDVWDFFHSWDEOHTXDOLW\DUH
LQVWUXFWHGWRGHFUHDVHWKHLUWUDQVPLVVLRQSRZHU$SHUIHFWSRZHUFRQWUROFRUUHVSRQGV
WRWKHVLWXDWLRQZKHUHDOOVLJQDOVLUUHVSHFWLYHRIWKHVHUYLFHDUHUHFHLYHGDWWKHVDPH
SRZHUSHULQIRUPDWLRQELWVHH)LJXUH7KLVPHWKRGDOVRPD[LPLVHVWKHFDSDFLW\

)LJXUH&ORVHGORRSSRZHUFRQWURO



$LULQWHUIDFH
7KHFORVHGORRSSRZHUFRQWUROLVDSSOLHGVHSDUDWHO\IRUXSOLQNDQGGRZQOLQN
FRQQHFWLRQVGXHWRGLIIHUHQWUHDVRQV

7KHSRZHUFRQWUROLVWKHPRVWFUXFLDOSRLQWRI:&'0$V\VWHPHVSHFLDOO\LQWKH
XSOLQNGLUHFWLRQ,QWKHFORVHGORRSLQWKHXSOLQNWKHEDVHVWDWLRQIUHTXHQWO\
HVWLPDWHVWKHUHFHLYHG6LJQDOWR,QWHUIHUHQFH5DWLR 6,5 DQGFRPSDUHVLWWRDWDUJHW
6,5,IWKHPHDVXUHG6,5LVKLJKHUWKDQWKHWDUJHWRQHWKH%6RUGHUVWKHPRELOH
VWDWLRQWRORZHUWKHSRZHU,QRSSRVLWHVLWXDWLRQLIWKH06RXWSXWSRZHULVWRRORZ
WKH%6RUGHUVLWWRLQFUHDVHWKHSRZHU

7KHSRZHUFRQWUROFRQFHSWFDQEHGHVFULEHGE\DQH[SUHVVLRQPHDVXUHFRPPDQG
UHDFWSURFHGXUH7KHF\FOHLVH[HFXWHGDWDUDWHRIN+]IRUHDFKPRELOHVWDWLRQ
7KHFORVHGORRSSRZHUFRQWUROLVFDSDEOHWRSUHYHQWDQ\SRZHULPEDODQFHDPRQJDOO
WKHVLJQDOVUHFHLYHGDWWKHEDVHVWDWLRQ0RUHRYHUWKHFORVHGORRSSRZHUFRQWUROLV
IDVWHQRXJKWRHDVLO\FRPSHQVDWHVIRUDQ\FKDQJHRISDWKORVVDQG5D\OHLJKIDGLQJ

7KHQHDUIDUSUREOHPGRHVQRWH[LVWVLQWKHGRZQOLQNGLUHFWLRQEHFDXVHVLJQDOVWR
PRELOHVWDWLRQVZLWKLQRQHFHOOFRPHVIURPRQHEDVHVWDWLRQ+RZHYHUWKHUHLVDQHHG
WRSURYLGHDPDUJLQDODPRXQWRIDGGLWLRQDOSRZHUWRPRELOHVWDWLRQVDWDFHOOERUGHU
DVWKHPRELOHVWDWLRQV
x 0D\VXIIHUIURPLQFUHDVHGLQWHUIHUHQFHVRULJLQDWHGIURPRWKHUFHOOV
x 5HFHLYHDZHDNVLJQDOFDXVHGE\5D\OHLJKIDGLQJZKHQWKH06VSHHGLVORZ
x 'RQRWSHUIRUPHIIHFWLYHHQRXJKHUURUFRUUHFWLRQSURFHGXUH

,QWKHFORVHGORRSSRZHUFRQWURODPRELOHVWDWLRQLVLQVWUXFWHGWRUDPSLWVWUDQVPLWWHG
SRZHUXSDQGXVHWKHSRZHUSURSRUWLRQDOWRWKHLQYHUVHRIWKHUHFHLYHGSRZHURU6,5
)URPWKHEDVHVWDWLRQUHFHLYHUSRLQWRIYLHZDQLQFUHDVHGWUDQVPLWWHGSRZHUDWWKH
PRELOHVWDWLRQFDQFHOV5D\OHLJKIDGLQJVZKLFKUHVXOWVLQDOPRVWQRQIDGLQJFKDQQHO
EXWLWKDSSHQVDWWKHH[SHQVHRILQFUHDVHGDYHUDJHWUDQVPLWWHGSRZHUWKDWPD\FDXVH
LQFUHDVHGLQWHUIHUHQFHWRRWKHUFHOOV

2SHQORRSSRZHUFRQWURO

%HIRUHHVWDEOLVKLQJDELGLUHFWLRQDOGHGLFDWHGFKDQQHODPRELOHVWDWLRQVHQGVD
UDQGRPDFFHVVPHVVDJH,Q:&'0$V\VWHPDPRELOHVWDWLRQGRHVQRWVWDUWLWV
WUDQVPLVVLRQZLWKWKHPD[LPXPDOORZHGSRZHUOHYHOEHFDXVHLWPD\FDXVHH[FHVVLYH
LQWHUIHUHQFH7KHLQLWLDOYDOXHRIWKHPRELOHVWDWLRQWUDQVPLWWLQJSRZHUGHSHQGVRQ
WKHPRELOHVWDWLRQSRVLWLRQ7KHRSHQORRSSRZHUFRQWUROLVXVHGWRVHWDSURSHU06
RXWSXWSRZHUIRUWKHUDQGRPDFFHVVPHVVDJH

(DFKPRELOHVWDWLRQPHDVXUHVD3LORWWUDQVPLVVLRQSRZHUWUDQVPLWWHGRQEURDGFDVW
FKDQQHOV$&RPPRQ3LORW&KDQQHO &3,&+ LVDW\SHRIDSK\VLFDOFKDQQHOWKDW
FDUULHVRQO\LQIRUPDWLRQUHOHYDQWWRSK\VLFDOOD\HUSURFHGXUHV,WLVQRWGLUHFWO\
YLVLEOHWRKLJKHUOD\HUVDQGLVPDQGDWRU\IURPWKHV\VWHPSRLQWRIYLHZWREH
WUDQVPLWWHGIURPHYHU\EDVHVWDWLRQ$3LORWFKDQQHOFRQWDLQVFHOOVUHIHUHQFHSRZHU
ZKLFKLVVHWGXULQJDSODQQLQJSKDVH$PRELOHVWDWLRQUHDGVWKH3LORWWUDQVPLVVLRQ
SRZHUDQGHVWLPDWHVDSDWKORVV$QRSHQORRSSRZHUFRQWURODOJRULWKPFDOFXODWHV
WKHPLQLPXPWUDQVPLVVLRQSRZHUUHTXLUHGWRUHDFKWKHEDVHVWDWLRQVHH)LJXUH
,IWKHPRELOHVWDWLRQGRHVQRWUHFHLYHDUHVSRQVHIURPWKHEDVHVWDWLRQLWLQFUHDVHV
WKHSRZHUDQGUHWULHV7KHRSHQORRSSRZHUFRQWUROZRUNVLQDF\FOHPHDVXUHUHDG
GHFLGH



:&'0$5DGLR1HWZRUN3ODQQLQJ

2XWHUORRSSRZHUFRQWURO

7KHLGHDRIRXWHUORRSSRZHUFRQWUROLVWRDGMXVWWKHWDUJHW6,5VHWSRLQWLQWKHEDVH
VWDWLRQDFFRUGLQJWRWKHQHHGVRIWKHLQGLYLGXDOUDGLROLQN$OVRDFRQVWDQWTXDOLW\
GHILQHGDVDFHUWDLQ%(5 %LW(UURU5DWLR YDOXHRU%/(5 %ORFN(UURU5DWLR LV
DFKLHYHGE\PHDQVRIRXWHUORRSSRZHUFRQWURO

7KHUHTXLUHG6,5GHSHQGVRQWKHPRELOHVSHHGPXOWLSDWKSURILOHDQGWKH(E1R
UHTXLUHPHQWZKHUH(ELVWKHHQHUJ\RUSRZHUGHQVLW\SHUXVHUELWDQG1RLVWKH
LQWHUIHUHQFHDQGQRLVHSRZHUGHQVLW\

)LJXUH2SHQORRSSRZHUFRQWURO

,IWKH6,5LVVHWIRUWKHZRUVWFDVHWKDWLVKLJKPRELOHVSHHGDWORZVSHHGPXFK
FDSDFLW\ZRXOGEHZDVWHSHUFRQQHFWLRQ7KHEHVWVWUDWHJ\LVWROHWWKHWDUJHW6,5WR
EHGHILQHGDURXQGWKHPLQLPXPYDOXHWKDWIXOILOVWKHUHTXLUHGWDUJHWTXDOLW\DQG
EHLQJPRGLILHGGHSHQGLQJRQWKHVSHHGDQGSURSDJDWLRQHQYLURQPHQWFKDQJHV

2XWHUORRSSRZHUFRQWUROLVGRQHEHWZHHQEDVHVWDWLRQDQG51&7KH\FRPPXQLFDWH
RXWVLGHWKHDLULQWHUIDFHZKLFKH[SODLQVWKHQDPHRXWHUORRS$EDVHVWDWLRQVHQGV
IUDPHUHOLDELOLW\LQIRUPDWLRQIRUHDFKFRQQHFWLRQ,IWKHTXDOLW\LVGHFUHDVLQJWKH
51&RUGHUVWKHEDVHVWDWLRQWRLQFUHDVHWKHSRZHUWDUJHWYDOXH

)LJXUH2XWHUORRSSRZHUFRQWURO

+DQGRYHU

+DQGRYHURFFXUVZKHQDPRELOHVWDWLRQEHLQJLQDQDFWLYHPRGHFKDQJHVDSK\VLFDO
FKDQQHO7KLVPD\KDSSHQIRUPRELOLW\UHDVRQVZKHQPRELOHVWDWLRQVPRYHVIURP
RQHFHOOWRDQRWKHURUIRUTXDOLW\RUORDGEDODQFLQJUHDVRQV



$LULQWHUIDFH
'HSHQGLQJRQKRZWKHSK\VLFDOFKDQQHOLVFKDQJHGWZRJHQHUDOW\SHVRIKDQGRYHUV
DUHVSHFLILHG
x ,QWHUIUHTXHQF\KDQGRYHU7KLVKDQGRYHURFFXUVZLWKLQWKHVDPHIUHTXHQF\
EDQGDQGV\VWHP
x ,QWUDIUHTXHQF\KDQGRYHU7KLVKDQGRYHURFFXUVZKHQWKHQHZSK\VLFDO
FKDQQHOXVHVDQRWKHUIUHTXHQF\EDQGRUEHORQJVWRDQRWKHUV\VWHP HJ*60 

,QWUDIUHTXHQF\KDQGRYHU

7KHUHDUHWZRNLQGVRILQWUDIUHTXHQF\KDQGRYHUVLQ:&'0$V\VWHPVVRIWDQG
VRIWHUKDQGRYHU7KH\DUHXVHGWRVROYHQHDUIDUSUREOHPVRIDPRELOHVWDWLRQPRYLQJ
IURPRQHFHOOLQWRDGMDFHQWFHOOZLWKRXWSRZHUFRQWUROSURYLGHGE\WKHODWWHUEDVH
VWDWLRQ+RZHYHUYHU\IDVWDQGIUHTXHQWKDQGRYHUVKHOSWRDYRLGWKLVSUREOHPWKH\
FDQEHH[HFXWHGRQO\ZLWKDFHUWDLQGHOD\GXULQJZKLFKQHDUIDUSUREOHPVFRXOG
DULVH

4XDOLW\DQGUHOLDELOLW\DUHQRWWKHPDLQFDXVHIRU:&'0$VSHFLILFKDQGRYHUV
*HQHUDOO\KDQGRYHUVDUHLQWURGXFHGIRUWKHVDPHUHDVRQDVWKHIDVWSRZHUFRQWURO
WKDWLVLQRUGHUWRUHGXFHH[FHVVLYHLQWHUIHUHQFHLQWKHDLULQWHUIDFH7KHUHIRUHWKH\
DUHDQHVVHQWLDOWRROLQ:&'0$V\VWHP6RIWDQGVRIWHUKDQGRYHUDUHWKHW\SHRI
LQWHUIUHTXHQF\KDQGRYHUVLQFHIUHTXHQF\UHXVLQJLQ:&'0$V\VWHPDVZDV
PHQWLRQHGEHIRUHHTXDOVRQH7KHIDFWWKDWWKHRULJLQDWLQJDQGGHVWLQDWLRQXVHWKH
VDPHIUHTXHQF\PDNHVLWSRVVLEOHWRKDYHVLPXOWDQHRXVFRQQHFWLRQVZLWKERWKRI
WKHP7KLVLVGHVFULEHGDVPDNHEHIRUHEUHDNZKLFKPHDQVWKDWILUVWDQHZ
FRQQHFWLRQLVHVWDEOLVKHGDQGWKHQDIWHUVXFFHVVIXOKDQGRYHUWKHROGFRQQHFWLRQLV
UHOHDVHG
6RIWKDQGRYHU

,QVRIWKDQGRYHUDPRELOHVWDWLRQLVLQWKHRYHUODSSLQJFHOOFRYHUDJHDUHDRIWZRFHOOV
EHORQJLQJWRGLIIHUHQWEDVHVWDWLRQVVHH)LJXUH

)LJXUH6RIWKDQGRYHU

7KHPRELOHVWDWLRQUHFHLYHVWZRVLJQDOVE\PD[LPDOUDWLRFRPELQLQJ5DNH
SURFHVVLQJ,QWKHXSOLQNGLUHFWLRQWKHFRGHFKDQQHORIWKHPRELOHVWDWLRQLVUHFHLYHG


:&'0$5DGLR1HWZRUN3ODQQLQJ
IURPERWKEDVHVWDWLRQVDQGWKHUHFHLYHGGDWDDUHURXWHGWRWKH51&IRUFRPELQLQJ
7RVHOHFWWKHEHWWHUIUDPHEHWZHHQWKHWZRSRVVLEOHFDQGLGDWHVZLWKLQWKH51&D
UHOLDELOLW\LQGLFDWRULVXVHG7KLVVHOHFWLRQWDNHVSODFHDIWHUHDFKLQWHUOHDYLQJSHULRG
WKDWLVHYHU\PV

$OVRGXULQJVRIWKDQGRYHUWZRSRZHUFRQWUROORRSVSHUFRQQHFWLRQDUHDFWLYHRQHIRU
HDFKEDVHVWDWLRQ

7KHVRIWKDQGRYHURFFXUVLQDERXWRIFRQQHFWLRQV'XHWRWKLVIDFWWRFDWHU
IRUVRIWKDQGRYHUFRQQHFWLRQVWKHIROORZLQJDGGLWLRQDOUDGLRUHVRXUFHVKDYHWREH
SURYLGHGE\WKHV\VWHPLQWKHFHOOSODQQLQJSKDVH
x $QDGGLWLRQDO5DNHUHFHLYHUFKDQQHOLQWKHEDVHVWDWLRQ
x $GGLWLRQDOWUDQVPLVVLRQOLQNVEHWZHHQWKHEDVHVWDWLRQDQGWKH51&
x $GGLWLRQDO5DNHILQJHUVLQWKHPRELOHVWDWLRQ

7KHVRIWKDQGRYHUKDVVRPHGLVDGYDQWDJHV7ZREDVHVWDWLRQVDUHLQYROYHGLQVLJQDO
SURFHVVLQJWZLFHPRUHKDUGZDUHLVQHHGHGDQGWKHSK\VLFDOOLQNVIURPWKH51&WR
WKHEDVHVWDWLRQVDUHRFFXSLHGE\WKHVDPHLQIRUPDWLRQFRQWHQW$OWKRXJKERWKEDVH
VWDWLRQVWUDQVPLWWKHVDPHLQIRUPDWLRQWKHWUDQVPLWWHGSRZHUFDQEHUHGXFHGEHFDXVH
5DNHUHFHLYHULQWKHPRELOHVWDWLRQGRHVPD[LPDOUDWLRFRPELQLQJZKLFKPHDQVWKDW
WZRVLJQDOVDUHDGGHGLQDFRQVWUXFWLYHZD\
6RIWHUKDQGRYHU

6RIWHUKDQGRYHUWDNHVSODFHIRUDPRELOHVWDWLRQEHLQJLQWKHRYHUODSSLQJFHOO
FRYHUDJHDUHDRIDGMDFHQWVHFWRUVRIWKHVDPHVLWHDVSUHVHQWHGLQ)LJXUH

)LJXUH6RIWHUKDQGRYHU

7KHFRPPXQLFDWLRQEHWZHHQWKHPRELOHVWDWLRQDQGWKHEDVHVWDWLRQUHTXLUHVWZRDLU
LQWHUIDFHFKDQQHOVRQHIRUHDFKFHOODQGWZRVHSDUDWHFRGHVLQWKHGRZQOLQNGLUHFWLRQ
WRHQDEOHWKHPRELOHVWDWLRQWRGLVWLQJXLVKWKHVLJQDOV5DNHUHFHLYHULVXVHGWR
JHQHUDWHDSURSHUFRGHIRUHDFKVHFWRUIRUWKHDSSURSULDWHGHVSUHDGLQJRSHUDWLRQWR
PDNHLWSRVVLEOHWRUHFHLYHWKHWZRVLJQDOVLQWKHPRELOHVWDWLRQ

7KHVDPHSURFHVVWDNHVSODFHIRUWKHXSOLQNGLUHFWLRQLQWKHEDVHVWDWLRQ7KHFRGH
FKDQQHORIWKHPRELOHVWDWLRQLVUHFHLYHGLQHDFKVHFWRUWKHQURXWHGWRWKHVDPHEDVH
EDQG5DNHUHFHLYHUIRUWKHPD[LPDOUDWLRFRPELQLQJ

6RIWKDQGRYHURFFXUVLQDERXWRIFRQQHFWLRQVDQGZKHQWKHVRIWKDQGRYHULV
H[HFXWHGRQO\RQHSRZHUFRQWUROORRSSHUFRQQHFWLRQFDQEHDFWLYH



$LULQWHUIDFH
6RIWDQGVRIWHUKDQGRYHUVDUHXVHGIRUGHGLFDWHGFKDQQHOV,IDPRELOHVWDWLRQLVLQ
VRIWRUVRIWHUKDQGRYHULWUHFHLYHVWKHVDPHLQIRUPDWLRQFRQWHQWIURPWZREDVH
VWDWLRQVLQFDVHRIVRIWKDQGRYHURUVHFWRUVLQFDVHRIVRIWHUKDQGRYHU7KHGDWD
VWUHDPIURPHDFKEDVHVWDWLRQRUVHFWRULVVFUDPEOHGE\WKHGLIIHUHQWVFUDPEOLQJ
FRGH,QWKHGRZQOLQNGLUHFWLRQWKHPRELOHVWDWLRQFRPELQHVWKHWZRGDWDVWUHDPV
6LPLODUO\LQXSOLQNGLUHFWLRQWKHVLJQDOWUDQVPLWWHGIURPWKHPRELOHVWDWLRQLV
GHWHFWHGE\WZREDVHVWDWLRQVRUVHFWRUVVLPXOWDQHRXVO\DQGFRPELQHG0RUHRYHUVRIW
DQGVRIWHUKDQGRYHUFDQWDNHSODFHLQFRPELQDWLRQZLWKHDFKRWKHUDVSUHVHQWHGLQ
)LJXUH

)LJXUH&RPELQLQJVRIWDQGVRIWHUKDQGRYHUVFHQDULRV

,QWHUIUHTXHQF\KDQGRYHU

%HVLGHVWKHVRIWDQGWKHVRIWHUKDQGRYHUVWKHUHDUHRWKHUW\SHVRIKDQGRYHUVXVHGLQ
:&'0$V\VWHP
x ,QWHUIUHTXHQF\KDUGKDQGRYHU
x ,QWHUV\VWHPKDUGKDQGRYHU
,QWHUIUHTXHQF\KDUGKDQGRYHU

,QWHUIUHTXHQF\KDQGRYHULVXVHGWRKDQGDPRELOHVWDWLRQIURPRQH:&'0$
IUHTXHQF\FDUULHUWRDQRWKHU7KLVLVW\SLFDOLQFDVHRIKRWVSRWVWKDWLVVPDOOPLFUR
FHOOVWKDWFDQFDUU\DORWRIWUDIILFRUKLHUDUFKLFDOFHOOVWUXFWXUH,QERWKRIWKRVH
VFHQDULRVFHOOVDUHDOORFDWHGPXOWLSOHIUHTXHQFLHV,IWUDIILFLQDFHOOLQFUHDVHVXVHUV
PD\EHVZLWFKHGWRDGGLWLRQDOFDUULHUV

,QWHUIUHTXHQF\KDQGRYHULVDOZD\VKDUG,WPHDQVWKDWWKHWUDIILFFKDQQHOEHWZHHQ
WKHPRELOHVWDWLRQDQGWKHRULJLQDWLQJFHOOLVUHOHDVHGILUVWDQGWKHQDFRQQHFWLRQWRD
GHVWLQDWLRQFHOOLVHVWDEOLVKHG,Q:&'0$V\VWHPLQWHUIUHTXHQF\KDQGRYHULV
QHHGHGZKHQPXOWLSOHFDUULHUVDUHDOORFDWHGLQWKHV\VWHP



:&'0$5DGLR1HWZRUN3ODQQLQJ
,QWHUV\VWHPKDUGKDQGRYHU

,QWHUV\VWHPKDQGRYHUWDNHVSODFHEHWZHHQWZRV\VWHPVOLNH:&'0$DQGWKH*60
RU:&'0$)''DQG:&'0$7''7KLVW\SHRIKDQGRYHULVHVSHFLDOO\LPSRUWDQW
LQWKHLQLWLDOSKDVHRIV\VWHPGHSOR\PHQWZKHQWKH8076FRYHUDJHLVOLPLWHG,ID
PRELOHVWDWLRQPRYHVLQWRDQDUHDRXWVLGH8076FRYHUDJHLWVKDOOKDYHDSRVVLELOLW\
RIFRQWLQXLQJFRQQHFWLRQLQ*60V\VWHP

0XOWLSDWKUDGLRFKDQQHOV

,QWKHUHDOHQYLURQPHQWWKHUHDUHDORWRIREVWDFOHVEHWZHHQWUDQVPLWWHUDQGUHFHLYHU
ZKLFKKDYHVLJQLILFDQWLPSDFWRQVLJQDOSURSDJDWLRQUHVXOWLQJLQPXOWLSOHUHIOHFWLRQV
GLIIUDFWLRQVDQGDWWHQXDWLRQRIWKHVLJQDOHQHUJ\7KHSKHQRPHQDOHDGWRPXOWLSDWK
SURSDJDWLRQZKLFKPHDQVWKDWPXOWLSOHFRSLHVRIWKHVDPHVLJQDOSURSDJDWHRQ
GLIIHUHQWSDWKVDQGUHDFKWKHUHFHLYHUZLWKGLIIHUHQWGHOD\DQGSRZHUVHH)LJXUH
,QXUEDQDUHDVWKHW\SLFDOVLJQDOGHOD\LVIURPWRVZKLOHLQKLOO\WHUUDLQ
GHOD\VRIVORQJRUHYHQJUHDWHUDUHREVHUYHG7KHGHOD\OHDGVWRDSKDVHVKLIW
EHWZHHQVLJQDOFRPSRQHQWVSURSDJDWHGRQGLIIHUHQWSDWKV7KHSURSDJDWHGVLJQDO
FRPSRQHQWVVXSHULPSRVHDWWKHUHFHLYHUDQGFDQUHVXOWLQWKHVLJQDODWWHQXDWLRQ

)LJXUH0XOWLSDWKSURSDJDWLRQ

7KHFKLSGXUDWLRQDW0FSVLVV,IWKHWLPHGLIIHUHQFHRIPXOWLSDWK
FRPSRQHQWVLVDWOHDVWVWKH:&'0$UHFHLYHUFDQVHSDUDWHWKRVHPXOWLSDWK
FRPSRQHQWVDQGFRPELQHWKHPFRKHUHQWO\WRREWDLQPXOWLSDWKGLYHUVLW\7KHV
GHOD\FRUUHVSRQGVWRDGLIIHUHQFHLQSDWKOHQJWKVRIPZKLFKLVFDOFXODWHGIURP
WKHIROORZLQJHTXDWLRQ
'V 9 7F 
ZKHUH





'V  WKHGLIIHUHQFHLQSDWKOHQJWKV
9  WKHVSHHGRIOLJKW

7F  WKHLQYHUVHRIWKHFKLSUDWH

 

$LULQWHUIDFH
,WFDQEHVHHQIURPWKHHTXDWLRQ  WKDWLIWKHFKLSUDWHGHFUHDVHVWKHSDWKOHQJWKV
GLIIHUHQFHRIWKHPXOWLSDWKFRPSRQHQWVLQFUHDVHV,Q8076WKHFKLSUDWHLVFRQVWDQW
EXWFDQEHGLIIHUHQWLQRWKHU&'0$V\VWHPV7KHFKLSUDWHUHVXOWVIRUPWKH
IUHTXHQF\EDQGXVHG7KHUHIRUHWKH0+]:&'0$IUHTXHQF\EDQGZKLFKHQWDLOV
0FSVFKLSUDWHFDQSURYLGHPXOWLSDWKGLYHUVLW\LQVPDOOFHOOV7KHPXOWLSDWK
GLYHUVLW\FDQVRPHKRZLPSURYHWKHUDGLRLQWHUIDFHSHUIRUPDQFH:LWKDZLGHEDQG
VLJQDOWKHGLIIHUHQWSURSDJDWLRQSDWKVRIZLUHOHVVUDGLRVLJQDOFDQEHVROYHGDWKLJKHU
DFFXUDF\WKDQWKHVLJQDOVDWDORZHUEDQGZLGWK7KLVUHVXOWVLQDKLJKHUGLYHUVLW\
FRQWHQWDJDLQVWIDVWIDGLQJ

0XOWLSDWKIDGLQJFDQQRWEHHOLPLQDWHG,QWKHZRUVWFDVHLWPD\FDXVHWKHVLJQDO
FDQFHOODWLRQIRUH[DPSOHLISDWKOHQJWKVGLIIHUHQFHLVHTXDOKDOIRIWKHZDYHOHQJWK
LQYROYHGLQWKHSURSDJDWLRQZKLFKLVFDOOHGIDVWIDGLQJ+RZHYHUWKHUHDUHVRPH
PHWKRGVXVHGWRRYHUFRPHIDGLQJSUREOHPV$SDUWIURPIDVWSRZHUFRQWURODVWURQJ
FRGLQJLQWHUOHDYLQJDQGUHWUDQVPLVVLRQSURWRFROVDQRWKHUPHWKRGLVDSSOLHGFDOOHG
5DNHUHFHLYHU

5DNHUHFHLYHU

5DNHUHFHLYHUHTXDOL]HVGHOD\VRIPXOWLSDWKFRPSRQHQWVDQGFRPELQHVWKHVLJQDOVLQ
DSRVLWLYHPDQQHU

7KHIDVWSRZHUFRQWURORULQKHUHQWGLYHUVLW\UHFHSWLRQRIWKHUDNHUHFHLYHUDUHXVHGWR
PDNHWKHIDGLQJSUREOHPOHVVVHULRXV7KHVWURQJFRGLQJDQGLQWHUOHDYLQJWRJHWKHU
ZLWKUHWUDQVPLVVLRQSURWRFROVDGGDUHGXQGDQF\DQGDWLPHGLYHUVLW\WRWKHVLJQDO
DQGWKXVKHOSWKHUHFHLYHULQUHFRYHULQJWKHXVHUELWVDFURVVIDGHV

7KHRSHUDWLQJSURFHVVIRUWKHVLJQDOUHFHSWLRQFRQVLVWVRIWKHIROORZLQJVWHSV
 ,GHQWLI\WKHWLPHGHOD\SRVLWLRQDWZKLFKVLJQLILFDQWVLJQDODUULYHVDQGDOORFDWH
FRUUHODWLRQUHFHLYHUWKDWLV5DNHILQJHUWRWKHGHWHFWHGHQHUJ\SHDN7KH
PHDVXUHPHQWJULGIRUDFTXLULQJWKHPXOWLSDWKGHOD\SURILOHLVLQWKHRUGHURI
RQHFKLSGXUDWLRQZLWKDQXSGDWHUDWHLQWKHRUGHURIVRPHWHQVRIPLOOLVHFRQGV
 :LWKLQHDFKFRUUHODWLRQUHFHLYHUWUDFNWKHIDVWFKDQJLQJSKDVHDQGDPSOLWXGH
YDOXHVRULJLQDWLQJIURPWKHIDVWIDGLQJSURFHVVDQGUHPRYHWKHP7KLVWUDFNLQJ
SURFHVVKDVWREHYHU\IDVWZLWKDQXSGDWHUDWHRIPVRUOHVV7RDFKLHYHWKLV
:&'0$V\VWHPXVHVSLORWV\PEROVVHQWLQ3LORWFKDQQHOZKLFKSURYLGHDQ
HVWLPDWHRIWKHPRQHWDU\FKDQQHOVWDWH YDOXHRIWKHZHLJKWHGSKDVRU IRUD
SDUWLFXODUILQJHU7KHQWKHUHFHLYHGV\PEROLVURWDWHGEDFNWRXQGRWKHSKDVH
URWDWLRQFDXVHGE\WKHFKDQQHO6XFKFKDQQHOFRPSHQVDWHGV\PEROVFDQEH
VLPSO\VXPPHGWRJHWKHUWRUHFRYHUWKHHQHUJ\DFURVVDOOGHOD\SRVLWLRQV7KLV
SURFHVVLQJLVFDOOHGPD[LPDOUDWLRFRPELQLQJDQGLVSUHVHQWHGLQ)LJXUH
 &RPELQHVLJQDOVDIWHUHTXDOL]LQJVLJQDOGHOD\VDFURVVDOO5DNHUHFHLYHUILQJHUV
DQGSUHVHQWWKHPWRWKHGHFRGHUIRUIXUWKHUSURFHVVLQJ
)LJXUHVKRZVWKHEORFNGLDJUDPRI5DNHUHFHLYHUZLWKRQHILQJHU'LJLWLVHG
LQSXWVDPSOHVDUHUHFHLYHGLQWKHIRUPRILDQGUEUDQFKHV&RGHJHQHUDWRUVDQG
FRUUHODWRUSHUIRUPWKHGLVSUHDGLQJDQGLQWHJUDWLRQWRXVHUGDWDV\PEROV7KHFKDQQHO
HVWLPDWRUXVHVWKHSLORWV\PEROVIRUHVWLPDWLQJWKHFKDQQHOVWDWHZKLFKZLOOWKHQEH
UHPRYHGE\WKHSKDVHURWDWRUIURPWKHUHFHLYHGV\PEROV7KHGHOD\LVFRPSHQVDWHG
IRUWKHGLIIHUHQFHLQWKHDUULYDOWLPHVRIWKHV\PEROVLQHDFKILQJHU7KH5DNH


:&'0$5DGLR1HWZRUN3ODQQLQJ
FRPELQHUWKHQVXPVWKHFKDQQHOFRPSHQVDWHGV\PEROVSURYLGLQJPXOWLSDWKGLYHUVLW\
DJDLQVWIDGLQJ$PDWFKILOWHULVXVHGIRUGHWHUPLQLQJDQGXSGDWLQJWKHFXUUHQW
PXOWLSDWKGHOD\SURILOHRIWKHFKDQQHO7KHGHOD\SURILOHGHWHUPLQHVKRZPXFKWKH
HQHUJ\RIRQHFKLSLVVPHDUHGLQWLPH7KHPHDVXUHGDQGDYHUDJHGPXOWLSDWKGHOD\
SURILOHLVWKHQXVHGWRDVVLJQWKH5DNHILQJHUVWRWKHODUJHVWSHDNV

)LJXUH7KHSULQFLSOHRIPD[LPDOUDWLRFRPELQLQJZLWKLQWKH5DNHUHFHLYHU

5DNHUHFHLYHUILQJHUVDUHDOVRXVHGIRUPD[LPDOUDWLRFRPELQLQJLQVRIWDQGVRIWHU
KDQGRYHUVDVZDVGHVFULEHGHDUOLHU5DNHUHFHLYHULVDOVRLPSOHPHQWHGLQWKH
PXOWLSOHUHFHLYHDQWHQQDV0XOWLSOHUHFHLYHDQWHQQDVFDQEHDFFRPPRGDWHGLQWKH
VDPHZD\DVPXOWLSOHSDWKVUHFHLYHGIURPDVLQJOHDQWHQQDE\DGGLQJDGGLWLRQDO
5DNHILQJHUVWRWKHDQWHQQDV\VWHP,QWKLVZD\DOOWKHHQHUJ\IURPPXOWLSOHSDWKV
DQGDQWHQQDVFDQEHUHFHLYHG)URPWKH5DNHUHFHLYHUVSRLQWRIYLHZWKHUHLVQR
GLIIHUHQFHEHWZHHQWKHVHWZRIRUPVRIGLYHUVLW\UHFHSWLRQ

)LJXUH%ORFNGLDJUDPRI5DNHUHFHLYHU



You might also like