6SDWLDO&RKHUHQFH%DVHG%HDPIRUPLQJ
LQ0XOWL/LQH7UDQVPLW(FKRFDUGLRJUDSK\
*LXOLD0DWURQH 'HSWRI(OHFWULFDO &RPSXWHUDQG%LRPHGLFDO (QJLQHHULQJ 8QLYHUVLW\RI3DYLD 3DYLD,WDO\ JLXOLDPDWURQH#XQLSYLW $OHVVDQGUR5DPDOOL 'HSWRI&DUGLRYDVFXODU 6FLHQFHV .8/HXYHQ /HXYHQ%HOJLXP -DQ'¶KRRJH 'HSWRI&DUGLRYDVFXODU 6FLHQFHV .8/HXYHQ /HXYHQ%HOJLXP 3LHUR7RUWROL 'HSWRI,QIRUPDWLRQ (QJLQHHULQJ 8QLYHUVLW\RI)ORUHQFH )ORUHQFH,WDO\ *LRYDQQL0DJHQHV 'HSWRI(OHFWULFDO &RPSXWHUDQG%LRPHGLFDO (QJLQHHULQJ 8QLYHUVLW\RI3DYLD 3DYLD,WDO\ $EVWUDFW²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²EHDPIRUPLQJFRKHUHQFHIDFWRUGHOD\PXOWLSO\DQG VXP KLJK IUDPHUDWH LPDJLQJ PXOWLOLQH WUDQVPLVVLRQ SKDVH FRKHUHQFHXOWUDVRXQGLPDJLQJ
, ,1752'8&7,21
+LJK IUDPH UDWH XOWUDVRXQG LPDJLQJ FDQ EH DFKLHYHG E\ LPSOHPHQWLQJGLIIHUHQWWHFKQLTXHVLQWUDQVPLVVLRQ7;DQGRU UHFHSWLRQ5;,QVWDQGDUG%PRGHLPDJLQJDQLPDJHIUDPH LV DFTXLUHG E\ VHTXHQWLDOO\ WUDQVPLWWLQJ DQG UHFHLYLQJ D IRFXVHG EHDP XQWLO WKH HQWLUH UHJLRQ RI LQWHUHVW KDV EHHQ FRYHUHG OLQH E\ OLQH ZKLOH LQ KLJK IUDPHUDWH LPDJLQJ VSHFLILF VWUDWHJLHV UHGXFH WKH QXPEHU RI 7; HYHQWV RU SDUDOOHOL]HWKHUHFRQVWUXFWLRQRIPXOWLSOHLPDJHOLQHV
0XOWLOLQH WUDQVPLVVLRQ 0/7 FRQVLVWV LQ VLPXOWDQHRXVO\ WUDQVPLWWLQJPXOWLSOHXOWUDVRXQGEHDPV LQGLIIHUHQWGLUHFWLRQV WKXVLQFUHDVLQJWKHIUDPHUDWHE\DIDFWRUHTXDOWRWKHQXPEHU
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¶V SRLQW VSUHDG IXQFWLRQ 36) DQG LPDJLQJ H[SHULPHQWV RQ D WLVVXHPLPLFNLQJ SKDQWRPXVLQJDSKDVHGDUUD\SUREHDUHFDUULHGRXWWRFRPSDUH WKHVHPHWKRGVLQ0/7VKRZLQJWKHLUVXSHULRUSHUIRUPDQFHIRU SRWHQWLDO XVH LQ HFKRFDUGLRJUDSK\ DV FRPSDUHG WR VLPSOH 'HOD\DQG6XP'$6ZLWK7XNH\DSRGL]DWLRQ
,, 0$7(5,$/6$1'0(7+2'6
$ 0XOWL/LQH7UDQVPLVVLRQ
,QVWDQGDUGXOWUDVRXQG% PRGHLPDJLQJ D VLQJOH IRFXVHG EHDP LV WUDQVPLWWHG DQG UHFHLYHG IRU HYHU\ 7; HYHQW LH 6LQJOH /LQH 7UDQVPLVVLRQ 6/7 DQG WKLV SURFHVV LV UHSHDWHG VHTXHQWLDOO\1/,1(6WLPHVZKHUH1/,1(6LVWKHQXPEHURILPDJH
VFDQOLQHVWREHDFTXLUHG
7KH 0/7 LPDJLQJ WHFKQLTXH FRQVLVWV LQ DFTXLULQJ DQ XOWUDVRXQGLPDJHIUDPHE\VLPXOWDQHRXVO\WUDQVPLWWLQJVHYHUDO 10/7 EHDPV DQG WKHQ EHDPIRUPLQJ WKH FRUUHVSRQGLQJ VFDQ
OLQHV LQ SDUDOOHO LQ 5; +HUHE\ WKH QXPEHU RI 7; HYHQWV LV UHGXFHG E\ D IDFWRU 10/7 UHVXOWLQJ LQ D IUDPHUDWH
LPSURYHPHQWE\10/77RGRVRHDFKQWKWUDQVGXFHURIWKH1
HOHPHQWDFWLYHDSHUWXUHLVH[FLWHGXVLQJDVLJQDOWKDWLVREWDLQHG E\VXPPLQJXSWKHVLJQDOVWKDWZRXOGEHUHTXLUHGWRIRFXVWKH 7KLVZRUNZDVSDUWLDOO\VXSSRUWHGE\WKH8QLYHUVLW\RI
3DYLD XQGHU WKH %OXH 6N\ 5HVHDUFK SURMHFW 08/7,:$9( $ 5DPDOOL ZDV VXSSRUWHG E\ WKH (XURSHDQ 8QLRQ¶V +RUL]RQ UHVHDUFK DQG LQQRYDWLRQ SURJUDPPH XQGHU WKH 0DULH 6NáRGRZVND &XULH JUDQW DJUHHPHQW 1R $&2867,& SURMHFW
© 2018 IEEE. Personal use of this material is permitted. Permission from IEEE must be obtained for all other uses, in any current or future media, including reprinting/republishing this material for advertising or promotional purposes, creating new collective works, for resale or redistribution to servers or lists, or reuse of any copyrighted component of this work in other works.
EHDPLQHDFKRQHRIWKH GHVLUHG7;GLUHFWLRQVWKXVDSSO\LQJ GLIIHUHQWIRFXVLQJGHOD\YDOXHV7KHQWKHHFKRHVUHFHLYHGDIWHU HDFK7;HYHQWDUHEHDPIRUPHGLQSDUDOOHODORQJWKH10/7VFDQ
OLQHVFRUUHVSRQGLQJWRWKHVHOHFWHG7;GLUHFWLRQV
7KHIUDPHUDWHLPSURYHPHQWKRZHYHUFRPHVDWWKHFRVWRI D UHGXFHG LPDJH TXDOLW\ GXH WR LQWHUIHUHQFHV DPRQJ WKH VLPXOWDQHRXV EHDPV ZKLFK LQ WXUQ JHQHUDWH WKH VRFDOOHG 7;5;FURVVWDONDUWLIDFWVLQWKHILQDOLPDJH>@7;FURVVWDON LV JHQHUDWHG ZKHQ WKH 7; EHDP VLGH OREHV LQWHUIHUH ZLWK WKH 5; EHDP PDLQ OREH ZKLOH 5; FURVVWDON DULVHV IURP LQWHUIHUHQFHV EHWZHHQ WKH 7; EHDP PDLQ OREH DQG 5; EHDP VLGHOREHV
% &RKHUHQFH)DFWRUZHLJKWLQJ
7KH &) LV GHILQHG DV WKH UDWLR EHWZHHQ WKH FRKHUHQW DQG LQFRKHUHQW VXP RI WKH G\QDPLFDOO\ GHOD\HG UDGLRIUHTXHQF\ 5)VLJQDOVVQW>@$VVXFK&)LVH[SHFWHGWRKDYHDKLJK
YDOXH DSSURDFKLQJ ZKHQ UHFHLYHG VLJQDOV DUH KLJKO\ FRKHUHQW LH WKH\ FRPH IURP WKHEHDP PDLQOREHDQG ORZHU YDOXHVGRZQWRLQWKHSUHVHQFHRIVWURQJFRQWULEXWLRQVIURP RIID[LV VLJQDOV ZKLFK LQVWHDG UHSUHVHQW LQWHUIHUHQFHV DQG QRLVH7KXVWKH&)UHSUHVHQWVDPHWULFVWRHYDOXDWHWKHTXDOLW\ RI IRFXVLQJ DQG FDQ EH XVHG WR ZHLJKW WKH '$6EHDPIRUPHG VLJQDOVYGDVW>@WRLPSURYHLPDJHUHVROXWLRQDQGFRQWUDVWDV IROORZV
¦
¦
1 Q Q 1 Q Q GDV GDV FI W V 1 W V W Y W &) W Y W Y & 3KDVHDQG6LJQ&RKHUHQFHEHDPIRUPLQJ7KH 3& DOJRULWKP >@ HYDOXDWHV WKH GLVSHUVLRQ RI WKH UHFHLYHGVLJQDOVDIWHUIRFXVLQJLQRUGHUWRGHULYHDPHWULFWKDW DFFRXQWVIRUVLJQDOFRKHUHQFH7KH3&IDFWRU3&)LQIDFWLV GHILQHGDV
(t)} σ γ , { max ) t ( PCF V MnZKHUH ı ʌ√ LV WKH VWDQGDUG GHYLDWLRQ RI D XQLIRUP
GLVWULEXWLRQLQ>ʌʌ@ ıijQW LVWKHVWDQGDUGGHYLDWLRQRIWKH
VLJQDO LQVWDQWDQHRXV SKDVHV ijQW DQG Ȗ LQ WKH UDQJH > @
FRUUHVSRQGV WR WKH VHQVLWLYLW\ RI 3&) ZKHUH KLJKHU YDOXHV LQFUHDVHWKHUHMHFWLRQRIRXWRIIRFXVVLJQDOV
6LJQ FRKHUHQFH >@ LQVWHDG FRQVLGHUV WKH GLVWULEXWLRQ RI VLJQVRIUHFHLYHGVLJQDOVWKH6&)DFWRU6&)LVJLYHQE\ S QW E W 6&) V ZKHUHEQW VLJQVQWDQGStLVDXVHUGHILQHGSDUDPHWHU IRU6&)VHQVLWLYLW\WXQLQJ
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°¿ ° ¾ ½ °¯ ° ®
¦ ¦
1 Q 1 Q P P Q P Q IGPDV W %3ILOWHU VLJQ V WV W V W V W Y ( 6LPXODWLRQVDQG([SHULPHQWV7KH SHUIRUPDQFH RI WKH SUHYLRXVO\ GHVFULEHG FRKHUHQFH EDVHG EHDPIRUPHUV DQG RI '$6 SOXV 7XNH\ 5; DSRGL]DWLRQ LH '$67 ZHUH HYDOXDWHG DQG FRPSDUHG LQ 0/7 LPDJLQJ VLPXODWLRQVDQGSKDQWRPH[SHULPHQWV
)LHOG,,>@ZDVHPSOR\HGWRVLPXODWHWKH36)ZKLFK ZDV XVHG WR DVVHVV ODWHUDO UHVROXWLRQ $ 0+] HOHPHQW SKDVHGDUUD\SUREHZLWKDPPSLWFKDQGPPHOHPHQW KHLJKW ZDV PRGHOOHG WKH VLPXODWHG LPDJH VHFWRU ZDV ZLGHVFDQOLQHVZHUHDFTXLUHGZLWKD7;IRFDOGHSWKRI PP7KHH[FLWDWLRQSXOVHFRQVLVWHGRIDF\FOHVLQXVRLGDO EXUVW DW 0+] ZLWK +DQQLQJ ZHLJKWLQJ $ VLQJOH SRLQW VFDWWHUHUZDVSODFHGDW[] PP
,Q H[SHULPHQWV WKH 8/$23 VFDQQHU >@ FRXSOHG WR DQ (VDRWH 3$ SKDVHGDUUD\ SUREH SLWFK PP ZDV HPSOR\HG E\ DFWLYDWLQJ WKH RGG HOHPHQWV RI WKH DUUD\ LQ RUGHU WR DFKLHYH WKH VDPH FRQILJXUDWLRQ XVHG LQ VLPXODWLRQV 7KH PD[LPXP 7; VLJQDO DPSOLWXGH ZDV 9SS $ &,56 WLVVXHPLPLFNLQJ SKDQWRP PRGHO *6( ZDV VFDQQHG DQG SUHEHDPIRUPLQJ 5) VLJQDOV VDPSOHG DW 0+] ZHUH DFTXLUHGE\WKHV\VWHPDQGWKHQEHDPIRUPHGRIIOLQHLQ0DWODE %RWKD6/7VFDQDQG0/7ZLWK7;EHDPV0/7ZHUH LPSOHPHQWHG 7XNH\ DSRGL]DWLRQ ZLWK Į ZDV DOZD\V DSSOLHGLQ7;WRVXSSUHVV7;FURVVWDON7KHSUHYLRXVO\OLVWHG 5; EHDPIRUPHUV ZHUH WKHQ LPSOHPHQWHG DQG WKH IROORZLQJ SDUDPHWHU YDOXHV ZHUH HPSLULFDOO\ GHWHUPLQHG IRU )'0$6 WKH EDQGSDVV ILOWHU ZDV VHW EHWZHHQ 0+] IRU 3& Ȗ ZDVHPSOR\HGS ZDVFKRVHQIRU6&
,,, 5(68/76
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
)LJ 6LPXODWHG 36) LPDJHV REWDLQHG ZLWK 7XNH\ 7; DSRGL]DWLRQ DQG D E '$6 EHDPIRUPLQJ ZLWK 7XNH\ 5; DSRGL]DWLRQ '$67 F )'0$6 EHDPIRUPLQJ G 3& ZLWK Ȗ 6& ZLWK S DQG&) ZHLJKWLQJ 3DQHOD UHSUHVHQWV D VWDQGDUG 6/7 VFDQ DV D UHIHUHQFH ZKLOH SDQHOV EI DUH REWDLQHGE\ LPSOHPHQWLQJ0/7,PDJHVDUHUHSUHVHQWHGRYHUDG%G\QDPLFUDQJHORJVFDOH
)LJ/DWHUDOSURILOHVDWPPGHSWKRIWKH36)VVKRZQLQ)LJ
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
,9 &21&/86,21
0/7 DOORZV WR DFKLHYH D KLJK IUDPHUDWH LQ FDUGLDF XOWUDVRXQG LPDJLQJ E\ WUDQVPLWWLQJ PXOWLSOH EHDPV VLPXOWDQHRXVO\ ZKLFK XQIRUWXQDWHO\ PDNHV DUWLIDFWV DULVH LQ WKH ILQDO LPDJH 7KDQNV WR WKH DSSOLFDWLRQ RI D EHDPIRUPLQJ DOJRULWKP LQ 5; DEOH WR ORZHU WKH EHDP VLGH OREHV DQG WR LPSURYH UHVROXWLRQ DW WKH VDPH WLPH WKLV GUDZEDFN FDQ EH OLPLWHG
7KH SDSHU KDV VKRZQ VRPH SUHOLPLQDU\ UHVXOWV LQ VLPXODWLRQDQGSKDQWRPVFDQVZKLFKDFWXDOO\GHPRQVWUDWHWKDW WKH FRPELQHG XVH RI FRKHUHQFHEDVHGEHDPIRUPHUV DQG0/7 FRXOG EH YHU\ SURPLVLQJ IRU DSSOLFDWLRQ LQ FDUGLDF LPDJLQJ DFKLHYLQJDVLPLODURUHYHQEHWWHULPDJHTXDOLW\WKDQVWDQGDUG PHWKRGVEXWZLWKKLJKHUIUDPHUDWHV)XUWKHUZRUNLVIRUHVHHQ WR HYDOXDWH WKHLU SHUIRUPDQFH LQ 0/7 HFKRFDUGLRJUDSK\ LQ
YLYR
)LJ([SHULPHQWDOSKDQWRPLPDJHVREWDLQHGZLWK7XNH\7;DSRGL]DWLRQDQGDE'$6EHDPIRUPLQJZLWK7XNH\5;DSRGL]DWLRQ'$67F)'0$6 EHDPIRUPLQJG3&ZLWKȖ 6&ZLWKS DQG&)ZHLJKWLQJ3DQHODUHSUHVHQWVDVWDQGDUG6/7VFDQDVDUHIHUHQFHUHIHUHQFHZLWKZKLWHFLUFOHVKLJKOLJKWLQJ WKHDUHDVXVHGIRUSHUIRUPDQFHSDUDPHWHUVFRPSXWDWLRQZKLOHSDQHOVEIDUHREWDLQHGE\LPSOHPHQWLQJ0/7,PDJHVDUHUHSUHVHQWHGRYHUDG%G\QDPLF UDQJHORJVFDOH 7$%/(, 3(5)250$1&(3$5$0(7(59$/8(6 /5 >PP@ &5>G%@ &15 V615 6/7 0/7 6/7 0/7 6/7 0/7 6/7 0/7 '$67 )'0$6 3& 6& &) '$67VWDQGVIRU'$6ZLWK7XNH\5;DSRGL]DWLRQ 5()(5(1&(6
>@ / 7RQJ $ 5DPDOOL 5 -DVDLW\WH 3 7RUWROL - '¶KRRJH ³0XOWL WUDQVPLWEHDPIRUPLQJIRUIDVWFDUGLDFLPDJLQJ([SHULPHQWDO9DOLGDWLRQ DQG LQ YLYR DSSOLFDWLRQ´ ,((( 7UDQV0HG ,PDJ YRO QR SS
>@ $5DPDOOL$'DOODL)*XLGL/%DVVL(%RQL/7RQJ*)UDGHOOD -'¶KRRJHDQG37RUWROL³5HDOWLPHKLJKIUDPHUDWHFDUGLDF%0RGH DQG WLVVXH 'RSSOHU LPDJLQJ EDVHG RQ PXOWLOLQH WUDQVPLVVLRQ DQG PXOWLOLQH DFTXLVLWLRQ´ ,((( 7UDQV 8OWUDVRQ )HUURHOHFWU )UHT &RQWURO'2,78))&
>@ / 7RQJ + *DR - '¶KRRJH ³0XOWLWUDQVPLW EHDP IRUPLQJ IRU IDVW FDUGLDF LPDJLQJ$ VLPXODWLRQ VWXG\´ ,((( 7UDQV 8OWUDVRQ )HUURHOHFWU)UHT&RQWUROYROQRSS >@ $ 5DELQRYLFK $ )HXHU = )ULHGPDQ ³0XOWLOLQH WUDQVPLVVLRQ
FRPELQHG ZLWK PLQLPXP YDULDQFH EHDPIRUPLQJ LQ PHGLFDO XOWUDVRXQG LPDJLQJ´ ,((( 7UDQV 8OWUDVRQ )HUURHOHFWU )UHT &RQWURO YRO QRSS±
>@ *=XUDNKRY/7RQJ$5DPDOOL37RUWROL-'¶KRRJH=)ULHGPDQ ' $GDP ³0XOWL OLQH WUDQVPLW EHDPIRUPLQJ FRPELQHG ZLWK DGDSWLYH DSRGL]DWLRQ´,(((7UDQV8OWUDVRQ)HUURHOHFWU)UHT&RQWUROYRO QRSS
>@ )3ULHXU%'pQDULp$$XVWHQJ+7RUS³0XOWLOLQHWUDQVPLVVLRQLQ PHGLFDO LPDJLQJ XVLQJ WKH VHFRQGKDUPRQLF VLJQDO´ ,((( 7UDQV 8OWUDVRQ )HUURHOHFWU )UHT &RQWURO YRO QRSS
>@ * 0DWURQH $ 5DPDOOL $ 6 6DYRLD 3 7RUWROL * 0DJHQHV ³+LJK )UDPH5DWH +LJK 5HVROXWLRQ 8OWUDVRXQG ,PDJLQJ :LWK 0XOWL/LQH 7UDQVPLVVLRQ DQG )LOWHUHG'HOD\ 0XOWLSO\ $QG 6XP %HDPIRUPLQJ´ ,(((7UDQV0HG,PDJYROQRSS
>@ - &DPDFKR0 3DUULOOD& )ULWVFK³3KDVH FRKHUHQFH LPDJLQJ´ ,((( 7UDQV 8OWUDVRQ )HUURHOHFWU )UHT &RQWURO YRO QR SS
>@ 3 & /L DQG 0 / /L ³$GDSWLYH LPDJLQJ XVLQJ WKH JHQHUDOL]HG FRKHUHQFH IDFWRU´ ,((( 7UDQV 8OWUDVRQ )HUURHOHFWU )UHT &RQWURO YROQRSS
>@ .:+ROOPDQG.:5LJE\DQG02¶GRQQHOO³&RKHUHQFHIDFWRURI VSHFNOH IURP D PXOWLURZ SUREH´ LQ 3URF ,((( 8OWUDVRQLFV 6\PS SS±
>@ *0DWURQH$66DYRLD*&DOLDQR*0DJHQHV³7KH'HOD\0XOWLSO\ DQG 6XP EHDPIRUPLQJ DOJRULWKP LQ XOWUDVRXQG %PRGH PHGLFDO LPDJLQJ´,(((7UDQV0HG,PDJYROQRSS >@ - $ -HQVHQ DQG 1 % 6YHQGVHQ ³&DOFXODWLRQ RI SUHVVXUH ILHOGV IURP
DUELWUDULO\VKDSHGDSRGL]HGDQGH[FLWHGXOWUDVRXQGWUDQVGXFHUV´ ,((( 7UDQV 8OWUDVRQ )HUURHOHFWU )UHT &RQWURO YRO QR SS
>@ -$-HQVHQ³)LHOGDSURJUDPIRUVLPXODWLQJXOWUDVRXQGV\VWHPV´0HG %LRO(QJ&RPSXWYROSS
>@ ( %RQL / %DVVL $ 'DOODL ) *XLGL $ 5DPDOOL 6 5LFFL 5 - +RXVGHQ DQG 3 7RUWROL ³$ UHFRQILJXUDEOH DQGSURJUDPPDEOH )3*$ EDVHG V\VWHP IRU QRQVWDQGDUG XOWUDVRXQG PHWKRGV´ ,((( 7UDQV 8OWUDVRQ )HUURHOHFWU )UHT &RQWURO YRO QR SS ±