$6WXG\RI'LUHFW/LTXLG&RROLQJIRU+LJKGHQVLW\&KLSVDQG$FFHOHUDWRUV


7LDQ\L*DR
6KXDL6KDR<DQ&XL%U\DQ(VSLULWX&KDUOHV,QJDO]+X7DQJ$OL+H\GDUL

%DLGX86$//&%RUGHDX['U6XQQ\YDOH&$

%DLGX,QWHUQDWLRQDO7HFKQRORJ\6KHQ]KHQ&R/WG;XHIX5G1DQVKDQ'LVWULFW6KHQ]KHQ*XDQJGRQJ&KLQD
*WLDQ\LJDR#EDLGXFRP


$EVWUDFW
/LTXLG FRROLQJ SURYLGHV D IHDVLEOH WKHUPDO PDQDJHPHQW
VROXWLRQLQWKHFDVHRIKLJKSRZHUGHQVLW\FRROLQJLQDGGLWLRQ
LW RIIHUV VHYHUDO DGYDQWDJHV IRU LPSURYLQJ GDWD FHQWHU HQHUJ\
HIILFLHQF\)RUH[DPSOHOLTXLGFRROLQJVROXWLRQPD\HOLPLQDWH
WKH XWLOL]DWLRQRIFRQYHQWLRQDOFKLOOHULQ DGDWDFHQWHUFRROLQJ
LQIUDVWUXFWXUH 6LQFH D ODUJH SRUWLRQ RI KHDW FDQ EH H[WUDFWHG
GLUHFWO\WRWKHOLTXLGWKHUHTXLUHPHQWRIFRROLQJDLUIORZFDQLV
VLJQLILFDQWO\GHFUHDVHGHVSHFLDOO\LQWKHFDVHVRIFRROLQJKLJK
SRZHUGHQVLW\UDFNV$JUHDWDPRXQWRIHQHUJ\VDYLQJPD\EH
DFKLHYHG VLQFH FKLOOHU FRPSUHVVRU DQG &5$+&5$&
FRQVXPHVKXJHDPRXQWRIHOHFWULFLW\:LWKSURSHUGHVLJQDQG
GHSOR\PHQWWKH GLUHFWOLTXLG FRROLQJVROXWLRQ PD\EHDFRVW
HIIHFWLYH DOWHUQDWLYH WR PDQ\ H[LVWLQJ GDWD FHQWHU FRROLQJ
WHFKQRORJLHVXQGHUVRPHFLUFXPVWDQFHV
7KLV ZRUN IRFXV RQ WKH GLUHFW OLTXLG FRROLQJ WHFKQRORJ\
XVLQJFROGSODWHVLQWKHFDVHVRIFRROLQJKLJKGHQVLW\SURFHVVRU
FKLSVDQG*38DFFHOHUDWRUV7KHFXUUHQWSDSHUVXPPDULHVWZR
SDUWV RI ZRUN DQ H[SHULPHQWDO WHVWLQJ ZRUN DQG D &)'
PRGHOLQJ VWXG\ ,Q WKH PRGHOLQJ VWXG\ GLIIHUHQW
PHWKRGRORJLHVXVLQJDFRPPHUFLDODYDLODEOH&)'SDFNDJHDUH
GHYHORSHG 6HYHUDO FRPSDFW OLTXLG FRROLQJ FROG SODWH PRGHOV
DUH GHYHORSHG DQG YDOLGDWHG DJDLQVW H[SHULPHQWDO GDWD 7KH
UHVXOWV VKRZ JRRG DJUHHPHQW ,Q WKH H[SHULPHQWDO ZRUN D
VLQJOHSKDVH SXPSHGOLTXLGV\VWHPWHVW VHWXSLVGHYHORSHGLQ
WKH ODE DQG LW LV XVHG IRU OLTXLG FRROLQJ WHVWV 7KH WHVW VHWXS
HQDEOHV WR DGMXVW WKH IOXLGVXSSO\WHPSHUDWXUH DQG IOXLG PDVV
IORZUDWHWRWKHGHVLJQHGWHVWFRQGLWLRQV$QHOHFWULFDOKHDWHULV
XVHGLQWKHV\VWHPWRJHQHUDWHKLJKIOXLGVXSSO\WHPSHUDWXUHV
WRWKHFROGSODWHVXFKDVƒ& RUHYHQKLJKHU,QWKHFXUUHQW
ZRUNDWKHUPDO PRFNXSFKLSDQGDQDFWXDO*38DFFHOHUDWRU
DUH XVHG IRU FKDUDFWHUL]LQJ WKH FROG SODWH OLTXLG FRROLQJ
SHUIRUPDQFH
 OLTXLG FRROLQJ WHFKQRORJ\ XVLQJ FROG SODWH LQ WKH FDVH RI
.H\ ZRUGV OLTXLG FRROLQJ FROG SODWH GDWD FHQWHU FRPSDFW
PRGHO KLJK SHUIRUPDQFH FRPSXWH KLJK ZDWHU WHPSHUDWXUH
FRROLQJ
 FRPSXWDWLRQDO DQG H[SHULPHQWDO HIIRUWV 0RFNXS FKLS DV D
,QWURGXFWLRQ
/LTXLGFRROLQJVROXWLRQLVQRWDQHZFRQFHSW7KHVROXWLRQ
KDVEHHQSURSRVHGDQGVWXGLHGVLQFHWKUHHRUIRXUGHFDGHVDJR
$QG LQ UHFHQW \HDUV LW KDV DWWUDFWHG D ORW RI DWWHQWLRQV IURP
ERWK LQGXVWU\ DQG DFDGHPLF RQH RI WKH UHDVRQV LV WKDW WKH
FRQVWDQWO\LQFUHDVLQJFKLSVHUYHUSRZHUGHQVLW\SDFNDJHGLQD
FRPSDFWVSDFH,QDGGLWLRQWKHUDSLGJURZWKRI$,WHFKQRORJ\
UHTXLUHV KLJKHU FRPSXWH SHUIRUPDQFH ZKLFK UHVXOWV LQ KLJKHU
SRZHU GHQVLW\ LQ D VHUYHU RU LQ DQ HOHFWURQLF UDFN :KHQ WKH
SRZHU GHQVLW\ JRHV KLJKHU OLTXLG FRROLQJ EHFRPHV D PRUH
IHDVLEOH VROXWLRQ ,W LV QRW RQO\ EHFDXVH WKH OLTXLG FRROLQJ LV
DEOHWRKDQGOHKLJKGHQVLW\WKHUPDOPDQDJHPHQWUHTXLUHPHQW
EXWDOVRLWUHTXLUHVPXFKOHVVRSHUDWLQJHQHUJ\DQGVLPSOLILHV
WKH FRROLQJ LQIUDVWUXFWXUH GHVLJQ DV ZHOO 7KLV ZRUN LV
SURSRVHG WR LGHQWLI\ HYDOXDWH DQG GHYHORS VHUYHU OLTXLG
FRROLQJVROXWLRQVIRUKLJKSHUIRUPDQFHFRPSXWH
7KH GLUHFW OLTXLG FRROLQJ VROXWLRQ SURYLGHV D IHDVLEOH
VROXWLRQ IRU KLJK SRZHU GHQVLW\ FRROLQJ 8QGHU VRPH
FLUFXPVWDQFHV LW PD\EH EHFRPH WKH RQO\ SRVVLEOH VROXWLRQ
ZKHQ WKH GHQVLW\ LV VR KLJK WKDW H[FHHGV WKH OLPLWDWLRQ RI DLU
FRROLQJ VROXWLRQV ,W RIIHUV D QXPEHU RI DGYDQWDJHV IRU
LPSURYLQJ HQHUJ\ HIILFLHQF\ )RU LQVWDQFH LW PD\ EHFRPH DV
DQ DOWHUQDWLYH VROXWLRQ WR FRQYHQWLRQDO FKLOOHG DLU FRROLQJ
V\VWHPVIRUGDWDFHQWHUVDJUHDWDPRXQWRIHQHUJ\VDYLQJFDQ
EH DFKLHYHG VLQFH FKLOOHU FRPSUHVVRU FRQVXPHV KXJH DPRXQW
RI HOHFWULFLW\ > @ ,Q SDUWLFXODU WKH GLUHFW OLTXLG FRROLQJ
V\VWHPV PD\ XWLOL]H DYDLODEOH ZDWHU DW HQYLURQPHQWDO
WHPSHUDWXUHV VXFK DV ƒ& ZKLFK PD\ KDYH FRQVLGHUDEOH
HQHUJ\ HIILFLHQF\ LPSURYHPHQW +RZHYHU WKHUH DUH VWLOO
VHYHUDOPDMRULVVXHVUHJDUGLQJWKHOLTXLGFRROLQJHVSHFLDOO\LQ
WKH FDVH RI DFWXDO GHSOR\PHQW VXFK DV H[SHQVLYH OLTXLG
KDUGZDUHFRVWUHOLDELOLW\LVVXHVDQGVRRQ
$UHFHQWSXEOLVKHGDUWLFOHSUHVHQWHGDQH[SHULPHQWDOVWXG\
WKDW FKDUDFWHUL]LQJ D GLUHFW OLTXLG FRROLQJ FROG SODWH RQ D
VSHFLDO GHVLJQHG WHVW VHWXS >@ $ FRPPHUFLDO DYDLODEOH FROG
SODWH SURGXFWLVWHVWHG7KH FROGSODWHWKHUPDOUHVLVWDQFHGDWD
DUH UHSRUWHG XQGHU GLIIHUHQW SRZHU FRQGLWLRQV DQG IOXLG PDVV
IORZUDWHV7KLVVWXG\SURYLGHVDEDVLFXQGHUVWDQGLQJRIGLUHFW
FRROLQJWKHKLJKGHQVLW\FKLSV7KHFXUUHQWZRUNLVGHYHORSHG
WR DFKLHYH DQ LQGHSWK XQGHUVWDQGLQJ RI WKLV VLQJOH SKDVH
OLTXLG FRROLQJ WHFKQRORJ\ XVLQJ D FRPELQDWLRQ RI
GXPP\ ORDG DV ZHOO DV DQ DFWXDO *38 DUH XVHG WR WHVW WKHLU
WKHUPDO SHUIRUPDQFH ZKHQ FRROLQJ XVLQJ VXFK OLTXLG FRROLQJ
VROXWLRQ
$QRWKHULPSRUWDQWUHVHDUFKIRFXV IRUOLTXLGFRROLQJLVWKH
VHOHFWLRQRIWKHKHDWWUDQVIHUIOXLGHVSHFLDOO\LQWKHFROGSODWH
HQHUJ\ HIILFLHQF\ LQ GDWD FHQWHU EHFRPHV PRUH DQG PRUH
LPSRUWDQW >@ 6HUYHU OLTXLG FRROLQJ WHFKQRORJ\ XVHV OLTXLG
FROG SODWH RU FROG UDLO GLUHFWO\ DWWDFKHG WR WKH KLJK SRZHU
GHQVLW\ FRPSRQHQWV VXFK DV &38 *38 PHPRU\ YROWDJH
UHJXODWRUDQGVRRQ7KHKHDWGLVVLSDWHGE\WKHVHFRPSRQHQWV
LV UHPRYHG E\ FLUFXODWLQJ WKH FRRODQW VXFK DV ZDWHU WKURXJK
DWWDFKHG FROG SODWHV >@ ,W EHFRPHV PRUH FULWLFDO ZLWK WKH
978-1-5090-2994-5/$31.00 ©2017 IEEE
ORRS WKH VHFRQGDU\ ORRS :KHQ FKRRVLQJ WKH IOXLG LW LV
FULWLFDO WR XQGHUVWDQG DQG HYDOXDWH WKH FRPSDWLELOLW\ RI WKH
IOXLG ZLWK WKH PDWHULDOV XVHG LQ WKH FRROLQJ ORRS VXFK DV WKH
FROGSODWHWKH KRVHV IOXLGFRXSOLQJ DQGOLTXLG PDQLIROGDQG
VRRQ7KLVLVDVLPSRUWDQWDVWKHWKHUPDOSHUIRUPDQFHRIWKH
KHDW WUDQVIHU IOXLG *O\FRO ZDWHU LV XVHG LQ PDQ\ LQGXVWU\
SUDFWLFHV IRU VLQJOH SKDVH IOXLG *O\FRO LV FRPSDWLEOH ZLWK
565 16th IEEE ITHERM Conference
PRVWRIWKH PDWHULDOVLQFOXGLQJFRSSHUEUDVVDOXPLQXPDQG
VWDLQOHVV VWHHO ,W QHHGV WR EH PHQWLRQHG WKDW JO\FRO ZLWKRXW
SURSHU FRUURVLRQ LQKLELWRU PD\ DOVR FDXVH SUREOHP $QRWKHU
W\SHRIFRRODQWLVGHLRQL]HGZDWHU 2QHLPSRUWDQWDWWULEXWHRI
GHLRQL]HG ZDWHU LVWKDWLW PD\SUHYHQW³VKRUWLQJ´LIWKHUHLVD
OHDNDJH +RZHYHU WKLV GHLRQL]HG ZDWHU PD\ DWWDFK WKH
PDWHULDOV VXFK DV FRSSHU DQG DOXPLQXP XVHG LQ WKH V\VWHP
7KHPRUHSXUHWKHGHLRQL]HGZDWHULVWKHOHVVFRQGXFWLYHEXW
WKHPRUHDJJUHVVLYHLWZLOOEH,QDGGLWLRQVXFKOLTXLGUHTXLUHV
UHJXODUPDLQWHQDQFH$6+5$(KDVSXEOLVKHGVRPHJXLGHOLQHV
IRUWKHOLTXLGFRROLQJGHVLJQLQFOXGLQJVHOHFWLRQUHTXLUHPHQWV
RIKHDWWUDQVIHUIOXLGDQGZHWWHGPDWHULDO>@
7KH ILUVW REMHFWLYH RI WKH FXUUHQW ZRUN LV WR GHYHORS
FRPSDFWFROGSODWHPRGHOVZKLFKDUHIDVWHQRXJKDQGDFFXUDWH
WR EH DEOH WR EH LPSOHPHQWHG LQWR VHUYHU OHYHO URRP OHYHO
PRGHOLQJ 7KH VHFRQG REMHFWLYH LV WR DFKLHYH DQ LQGHSWK
XQGHUVWDQGLQJRIWKHGLUHFWO\OLTXLGFRROLQJVROXWLRQXVLQJWKH
FROGSODWHGHYLFHVLQWKHFDVHVRIFRROLQJ KLJKSRZHUGHQVLW\
FKLSVDQG*38DFFHOHUDWRUV2QHLPSRUWDQWIRFXVLVWRWHVWDQG
FKDUDFWHUL]HWKHSHUIRUPDQFHRIKLJKZDWHUVXSSO\WHPSHUDWXUH
FRROLQJ 7KH UHVXOWV DQG FRQFOXVLRQV LQ WKH FXUUHQW ZRUN ZLOO
EH XVHIXO LQIRUPDWLRQ DQG LQVLJKWV IRU XQGHUVWDQGLQJ DQG
GHYHORSLQJ VXFK W\SH RI OLTXLG FRROLQJ VROXWLRQ LQ KLJK
FRPSXWH SHUIRUPDQFH DQG GHQVLW\ VHUYHUV DV ZHOO DV LQ GDWD
FHQWHUV
 PRGHOFDQEHGLUHFWO\XVHGLIWKHUHLVQRVSHFLILFFROGSODWHWR
1RPHQFODWXUH
*30 *DOORQSHUPLQXWH
&)' &RPSXWDWLRQDOIOXLGG\QDPLF
/30 /LWWHUSHUPLQXWH
*38 *UDSKLFSURFHVVLQJXQLW
7&2 7RWDOFRVWRIRZQHUVKLS
38( 3RZHUXVDJHHIIHFWLYHQHVV
530 5HYROXWLRQVSHUPLQXWH
+6 +HDWVLQN
5WK 7KHUPDOUHVLVWDQFH
7 7HPSHUDWXUH
LQ ,QOHW
7,0 7KHUPDOLQWHUIDFHPDWHULDOV
&5$+ &RPSXWHUURRPDLUKDQGOHU
7'3 7KHUPDO'HVLJQ3RZHU
 PRGHOHGXVLQJWKHUPDOUHVLVWDQFH
&RPSXWDWLRQDO0RGHOLQJ
%DVLFDOO\WKHUHDUHWZRZD\VIRUPRGHOLQJDQREMHFWXVLQJ
D FRPPHUFLDO &)' FRGH 2QH LV GHWDLOHG PRGHOLQJ DQG WKH
RWKHURQHLV FRPSDFW PRGHOLQJ$ GHWDLOHG PRGHOLQJUHTXLUHV
WR GHYHORS WKH REMHFW XVLQJ VXIILFLHQW DQG GHWDLOHG SK\VLFDO
SDUDPHWHUV DQG GHVLJQ LQIRUPDWLRQ 8VXDOO\ D PHFKDQLFDO
PRGHOLVGHYHORSHGLQ&$'VRIWZDUHILUVWDQGWKHQWKHPRGHO
LV LPSRUWHGLQWRD&)'FRGH 7KHUH DUH VHYHUDOFKDOOHQJHV WR
GHYHORS D GHWDLOHG PRGHO 7KLV PHWKRG UHTXLUHV IXOO GHWDLOHG
LQIRUPDWLRQRIWKHPRGHOLQJREMHFWRUDGHWDLOHG&$'PRGHO
6XFK GHWDLOHG &)' PRGHOV FDQ EH XVHG RQO\ IRU RQH VSHFLILF
REMHFWZKLFKPHDQVWKHPRGHOKDVWREHUHEXLOWFRPSOHWHO\IRU
DQHZREMHFW,QDGGLWLRQVROYLQJDGHWDLOHGPRGHOUHTXLUHVD
ORW RI PHVKLQJ HIIRUW DQG FRPSXWDWLRQDO WLPH 7KH RWKHU
FDWHJRU\LVDFRPSDFWPRGHOLQJPHWKRG$FRPSDFWPRGHOLVD
VLPSOLILHG PRGHO ZKLFK LV GHYHORSHG EDVHG RQ SK\VLFDO
FRUUHODWLRQV&RPSDFWPRGHOVVKRXOGEHVXIILFLHQWO\VLPSOHWR
EHDEOHWRLQFRUSRUDWHLQDV\VWHPOHYHOPRGHOLQJ$FRPSDFW
PRGHO VKRXOG EH DV FORVH WR UHDOLW\ DV SRVVLEOH LQ RUGHU WR
SHUIRUP DFFXUDWHO\ DQG IDVW HQRXJK LQ D FRPSXWDWLRQDO
DQDO\VLV
,Q WKH FXUUHQW ZRUN WKH DLP LV WR GHYHORS FROG SODWH
FRPSDFW PRGHOV ,Q DGGLWLRQ WKH FROG SODWH PRGXOH PRGHOV
ZLOOEHXVHGIRUIXWXUHVHUYHUOHYHODQGGDWDFHQWHUURRPOHYHO
DQDO\VHV ,W QHHGV WR EH PHQWLRQHG KHUH WKDW WKH DSSURDFKHV
GLVFXVVHG LQ WKLV ZRUN FRQVLGHU XVLQJ FRPPHUFLDO DYDLODEOH
&)' SDFNDJH 6LJPD(7 'LIIHUHQW &)' SDFNDJHV PD\ KDYH
GLIIHUHQW DYDLODELOLWLHV RU WKH\ PD\ KDYH H[LVWLQJ FROG SODWH
PRGXOHV FDQ EH XVHG GLUHFWO\ ,Q WKH IROORZLQJ VHFWLRQV WKH
PRGHOLQJ PHWKRGV DUH LQWURGXFHG DQG WKH PRGHOV DUH
YDOLGDWHGXVLQJH[SHULPHQWDOGDWDDYDLODEOHLQ>@,QDGGLWLRQ
WKH DVVHVVPHQW RI HDFK PRGHO DQG FRUUHVSRQGLQJ DSSOLFDWLRQ
VFHQDULRLVSUHVHQWHG

0RGHO&ROGSODWHPRGXOH
,Q 6LJPD(7 SDFNDJH WKHUH LV D FROG SODWH PRGXOH
DYDLODEOH7KHPRGHOUHTXLUHVXVHUWRVHWSDUDPHWHUVLQFOXGLQJ
SK\VLFDO GLPHQVLRQV DQG PDWHULDO SURSHUWLHV ,Q DGGLWLRQ
OLTXLG WXELQJ VKRXOG EH DGGHG WR WKH PRGXOH WR UHSUHVHQW WKH
OLTXLG SDWKV :LWKLQ WKHVH OLTXLG SDWKV WKH 1DYLHU6WRNHV
HTXDWLRQDUHVROYHG7KLVPRGHOLVDYDLODEOHLQWKHFRGHDQGLW
SURYLGHVDIHDVLEOHPHDQIRUVRPHVFHQDULRV)RUH[DPSOHWKLV
EH FRQVLGHUHG 7KH PRGHO FDQ SURYLGH D JHQHUDO HYDOXDWLRQ
TXLFNO\ +RZHYHU WKLV LV QRW D FRPSDFW PRGHO VLQFH LW
UHTXLUHVWKHLQIRUPDWLRQVXFKDVSK\VLFDOGLPHQVLRQVRIDFROG
SODWH DQG GHWDLOHG LQQHU GHVLJQ RI WKH IORZ SDWK DQG WKH IORZ
DUUDQJHPHQW

0RGHO+HDWVLQNPRGHO
7KHVHFRQGPRGHOLQJPHWKRGFRQVLGHUVXVLQJDQDLUFRROHG
KHDW VLQN )RU PRVW RI WKH FRPPHUFLDO DYDLODEOH FROG SODWH
SURGXFWVDFRPPRQGHVLJQLVKDYLQJZDWHUILQVRQWKHFRSSHU
SDG 7KHVH ILQV FUHDWH PLFUR FKDQQHOV DV WKH IOXLG SDWKV WR
DFKLHYH KLJKHU KHDW WUDQVIHU FRHIILFLHQW 7KH FRRSHU SDG LV
GLUHFWO\DWWDFKHGWRWKHFKLSVWKURXJK7,07KHEDVLFFRQFHSW
RIDOLTXLGFRROHGFROGSODWHFDQEHXQGHUVWRRGDVWKHVDPHDV
DQDLUFRROHGKHDWVLQNDQGWKH\ERWKFDQEHUHSUHVHQWHG DQG
7KH DLU FRROHG KHDW VLQN PRGHO LV WKHQ XVHG WR GHYHORS D
FRPSDFWFROGSODWHPRGHO7KHSDUDPHWHUV LQFOXGLQJSUHVVXUH
GURSWKHUPDOUHVLVWDQFHDQGYHORFLW\DUHDVLQSXWYDOXHVIURP
WKH XVHU 7KH FRPSDFW KHDW VLQN PRGXOH DYDLODEOH LQ
6LJPD(7 LV D SRURXV REVWUXFWLRQ 1DYLHU6WRNHV HTXDWLRQ LV
VROYHG7KH µKHDW¶ DSSOLHGWRWKH KHDW VLQN LVGLVWULEXWHGRYHU
WKHHQWLUHGRPDLQRIWKHKHDWVLQNDFFRUGLQJWRORFDOYHORFLWLHV
DQG WHPSHUDWXUHV 7KLV FRPSDFW KHDW VLQN PRGXOH DOORZV WR
XVHWKHUPDOUHVLVWDQFHGDWDHLWKHUDVLQJOHYDOXHXQGHUFHUWDLQ
IORZ UDWH FRQGLWLRQ RU D WKHUPDO UHVLVWDQFH FXUYH XQGHU
PXOWLSOH IORZ UDWH FRQGLWLRQV DV LQSXW 7KH UHVLVWDQFH YDOXH
FDQEHDFKLHYHGHLWKHUIURPDSURGXFWVSHFLILFDWLRQGRFXPHQW
RU FDOFXODWHG EDVHG RQ H[SHULPHQWDO GDWD 7KH H[SHULPHQWDO
GDWDLQ>@LVXVHGWRFDOFXODWHWKHWKHUPDOUHVLVWDQFHYDOXHVDW
GLIIHUHQWOLTXLGIORZUDWHV7KHQWKHFXUYHLVWKHLQWHJUDWHGLQWR
WKH PRGHO ,W LV IRXQG WKDW WKH PRGHOLQJ UHVXOWV DUH LQ ODUJHU
HUURUV ZKHQ FRPSDULQJ ZLWK WKH H[SHULPHQWDO GDWD DW ORZHU SUHGLFWHG E\ WKH PRGHO DUH LQ JRRG DJUHHPHQW ZLWK WKH
IORZUDWHFRQGLWLRQV H[SHULPHQWDOGDWDDWGLIIHUHQWIORZUDWHFRQGLWLRQV
$IWHU KDYLQJ D IHZ WHFKQLFDO GLVFXVVLRQV ZLWK WKH &)' 
FRGH GHYHORSHU DQG FRQGXFWLQJ D IHZ DGGLWLRQDO SDUDPHWULF
PRGHOLQJ VWXGLHV LW LV IRXQG WKDW LW¶V D FRPPRQ EHKDYLRU RI
WKLV FRPSDFW KHDW VLQN PRGXOH 7DEOH  VKRZV D PRGHOLQJ
UHVXOWV RI DLU FRROHG KHDW VLQN >@ 7KH 'HWDLOHG +HDWVLQN
UHSUHVHQWV D KHDW VLQN PRGHO ZLWK GHWDLOHG JHRPHWU\
FRQVLGHUHG LQFOXGLQJ ILQ WKLQQHVV DQG ILQ QXPEHUV 7KH
&RPSDFW+HDWVLQNUHSUHVHQWVWKHKHDWVLQNPRGHOHGXVLQJRQO\
WKHUPDOUHVLVWDQFH6L[GLIIHUHQWIOXLGYHORFLWLHVDUHFRQVLGHUHG
LQWKLVVWXG\WKHUPDOUHVLVWDQFHYDOXHVVKRZQLQ7DEOHZHUH
FDOFXODWHGEDVHGRQWKHGHWDLOHGKHDWVLQNPRGHOLQJUHVXOWVDQG
(T  7KHVH QXPEHUV DUH XVHG DV LQSXW YDOXHV LQ WKH
FRPSDFWKHDWVLQNPRGHO¨7LVWKHKHDWVLQNEDVHWHPSHUDWXUH
GLIIHUHQFHEHWZHHQWKHWZRPRGHOV,WFDQEHVHHQIURP7DEOH
 WKDW WKH PRGHOLQJ UHVXOWV DUH LQ ODUJHU GLIIHUHQFH DW ORZ DLU 
YHORFLW\FRQGLWLRQV )LJXUH&DOLEUDWLRQDQGYDOLGDWLRQRIWKHFRPSDFWKHDWVLQN
 PRGHOXVLQJDFRQVWDQWWKHUPDOUHVLVWDQFHYDOXH3XEOLFDWLRQ
 5WK 7+6 B EDVH  7LQ   4   GDWDIURP>@


,WLVIRXQGWKDWWKHFRPSDFWKHDWVLQNPRGHOFDQEHXVHGWR
2QH SRVVLEOH H[SODQDWLRQ IRU WKLV EHKDYLRU LV WKDW WKH
GHYHORS D FROG SODWH FRPSDFW PRGHO 7KH PRGHO UHTXLUHV D
VRIWZDUHFDOFXODWHVDQHZKHDWWUDQVIHUFRHIILFLHQWYDOXHGXHWR
VLQJOH WKHUPDOUHVLVWDQFH YDOXH DV LQSXWDQGWKH KHDWWUDQVIHU
DFKDQJHLQIOXLGPDVVIORZUDWH7KLVLQFRPELQDWLRQZLWKWKH FRHIILFLHQWYDULDWLRQFDQEHFDOFXODWHGE\WKHFRGHLWVHOIXVLQJ
PDQXDO UHVHW KHDW WUDQVIHU FRHIILFLHQW UHVXOWV LQ LQDFFXUDWH DQ H[LVWLQJ KHDW WUDQVIHU FRHIILFLHQW FRUUHODWLRQ SDFNDJHG LQ
UHVXOWV 7KH UHDVRQ ZK\ ORZHU IORZ UDWH FRQGLWLRQV VKRZLQJ
WKH FRGH +RZHYHU LW LV UHFRPPHQGHG WKDW DGGLWLRQDO
ODUJHUHUURUVLVEHFDXVHWKHKHDWWUDQVIHUFRHIILFLHQWYDULDWLRQV
YDOLGDWLRQ FDVHV VKRXOG EH FRQGXFWHG WR DFKLHYH D PRUH
IROORZ D SRZHU ODZ GHSHQGHQF\ ZLWK WKH YDULDWLRQ LQ IOXLG
FRPSOHWHYHULILFDWLRQRIWKLVPRGHO
PDVVIORZUDWH$WUHODWLYHODUJHUIORZUDWHFRQGLWLRQVWKHKHDW

WUDQVIHU FRHIILFLHQW EHFRPHV OHVV VHQVLWLYH ZLWK D YDULDWLRQ LQ
0RGHO,,,'HWDLOHGKHDWVLQNPRGHO
IORZUDWH
)ROORZLQJ WKH SUHYLRXV FRPSDFW KHDW VLQN PRGHO WKH

GHWDLOHG KHDW VLQN PRGHO LV WKHQ XVHG WR GHYHORS D FRPSDFW
7DEOH  &RPSDULVRQ EHWZHHQ GHWDLO PRGHO DQG FRPSDFW
FROG SODWH PRGHO 7KH GLIIHUHQFH EHWZHHQ WKH FRPSDFW KHDW
PRGHORIKHDWVLQNUHJDUGLQJDLUIORZ>@
VLQNPRGHODQGWKHGHWDLOHGKHDWVLQNPRGHOLVWKDWWKHGHWDLOHG
'HWDLOHG+HDWVLQN &RPSDFW+HDWVLQN VLQN PRGHO UHTXLUHV LQSXW VXFK DV GHWDLOHG ILQ GHVLJQ
9HORFLW\ +6%DVH 5WK +6%DVH ǻ7 LQIRUPDWLRQ )LJXUH  VKRZV WKH &)' PRGHO RI D FROG SODWH
PV 7HPSÛ& Û&: 7HPSÛ& Û& DWWDFKHGWRWKHFHUDPLFKHDWHUWRUHSUHVHQWWKHWHVWVHWXSLQ>@
$ GHWDLOHG PRGHO RI KHDW VLQN DQG D FRSSHU VROLG PRGXOH DUH
    
XVHGWRPRGHOWKHFROGSODWHXVHGLQ>@$PRGHOLVGHYHORSHG
     WR KDYH D VDPH VHW RI IRUP IDFWRUV DV WKH FROG SODWH SURGXFW
     ,QVWHDGRIXVLQJDQDFWXDOILQLQIRUPDWLRQZKLFKLVH[WUHPHO\
GLIILFXOWWRJHWRIWKHFROGSODWHWKHQXPEHUVRIILQLVFKDQJHG
     DQG GHFLGHG E\ DQ LWHUDWLRQ VWXG\ 7KH QXPEHU RI WKH ILQ LV
     YDULHGXQWLOWKHWKHUPDOUHVLVWDQFHYDOXHKDVDJRRGDJUHHPHQW
ZLWK WKH H[SHULPHQWDO GDWD $V DQ H[DPSOH WKH FROG SODWH LV
     FDOLEUDWHG E\ XVLQJ /30 GDWD LQ ZKLFK FDVH WKH
 FRUUHVSRQGLQJ WKHUPDO UHVLVWDQFH 5WK LV Û&: 7KH
7KH VHFRQG DWWHPSW LV WR FDOLEUDWH WKH PRGHO XVLQJ VLQJOH FDOLEUDWHGPRGHOLVYDOLGDWHGE\DSSO\LQJGLIIHUHQWSRZHUDQG
VHW RI WKH H[SHULPHQWDO GDWD 7KLV PHDQV RQO\ RQH VHW RI IOXLG PDVV IORZ UDWH FRQGLWLRQV )LJXUH  VKRZV WKH &)'
H[SHULPHQWDO GDWD LV XVHG WR FDOFXODWH WKH WKHUPDO UHVLVWDQFH PRGHOLQJ UHVXOWV IURP WKH FDOLEUDWHG PRGHO DQG WKH
DQGWKHUHVLVWDQFHYDOXHLVXVHGDVDQLQSXWIRUWKHPRGHO7KH H[SHULPHQWDO PHDVXUHPHQWV DW GLIIHUHQW SRZHU FRQGLWLRQV ,W
GDWD FROOHFWHG DW /30 LV XVHG WR FDOFXODWH WKH FDQ EH VHHQ WKDW WKH PRGHOLQJ UHVXOWV DUH LQ JRRG DJUHHPHQW
FRUUHVSRQGLQJ WKHUPDO UHVLVWDQFH 7KH PRGHO LV WKHQ XVHG WR ZLWKWKHWHVWGDWD,QDGGLWLRQWKHPRGHOLVDEOHWRSUHGLFWWKH
SUHGLFW WKH KHDW VLQN EDVH WHPSHUDWXUH E\ JLYLQJ D FRQVWDQW KHDW WUDQVIHU FRHIILFLHQW YDULDWLRQ ZKHQ WKH IOXLG PDVV IORZ
OLTXLGVXSSO\WHPSHUDWXUHDWÛ&IROORZVWKHFRQGLWLRQXVHG UDWH YDULHV )LJXUH  VKRZV WKH YDOLGDWLRQ RI WKH &)'
LQ >@ DQG WHQ GLIIHUHQW IORZ UDWHV 7KH UHVXOWV VKRZQ LQ PRGHOLQJ UHVXOWV XVLQJ H[SHULPHQWDO GDWD DW GLIIHUHQW IOXLG
)LJXUH  LQGLFDWH WKDW WKH KHDW VLQN WHPSHUDWXUHV ZKLFK DUH PDVV IORZ UDWH FRQGLWLRQV 7KH UHVXOWV VKRZQ LQ JRRG
DJUHHPHQW



)LJXUH5HSUHVHQWDWLYHRI&)'FRPSDFWFROGSODWHPRGHO
XVLQJGHWDLOHGKHDWVLQNPRGXOH


)LJXUH5HSUHVHQWDWLYHRI&)'FRPSDFWFROGSODWHPRGHO
XVLQJVROLGEORFNPRGXOH

:KHQ PRGHOLQJ WKH FROG SODWH XVLQJ WKLV PHWKRG VLPLODU
DVWKHSUHYLRXVRQHVRQHVHWRIGDWDLVQHHGHGWRFDOLEUDWHWKH
PRGHO 7KH WKHUPDO UHVLVWDQFH LV FDOFXODWHG XVLQJ RQH GDWD
SRLQW DQG XVHG DV DQ LQSXW IRU WKH PRGHO )RU H[DPSOH WKH
VDPH WKHUPDO UHVLVWDQFH DV XVHG LQ WKH SUHYLRXV FDVH
FDOFXODWHGEDVHGRQWKHGDWDZKHQWKHIORZUDWHLV/30
DUH XVHG LQ WKH PRGHO 7KH PRGHO LV WKHQ XVHG WR SUHGLFW WKH
WHPSHUDWXUHVDWGLIIHUHQWSRZHULQSXWFRQGLWLRQVDQGIORZUDWH
FRQGLWLRQV )LJXUH  VKRZV WKH PRGHOLQJ UHVXOWV DQG WKH
H[SHULPHQWDOGDWDDWGLIIHUHQWSRZHUFRQGLWLRQV,WQHHGVWREH
PHQWLRQHG KHUH WKDW WKH IORZ UDWH LV NHSW DV WKH VDPH DV
)LJXUH&RPSDULVRQRIFDVHWHPSHUDWXUHDQGRXWOHWFRRODQW /30,WFDQEHVHHQWKDWWKHPRGHOLQJUHVXOWVDUHLQJRRG
WHPSHUDWXUHEHWZHHQ&)'UHVXOWVDQGPHDVXUHPHQWGDWD>@ DJUHHPHQW ZLWK WKH PHDVXUHPHQW GDWD ERWK WKH FRSSHU EORFN
 WHPSHUDWXUHDQGWKHIOXLGRXWOHWWHPSHUDWXUHVDUHSUHVHQWHGLQ
 WKHVDPHILJXUH
 )LJXUHVKRZVWKHPRGHOLQJUHVXOWVDWGLIIHUHQWIOXLGIORZ
UDWHV,WFDQEHVHHQWKDWZKHQWKHIOXLGPDVVIORZUDWHYDULHV
D ODUJHU HUURU LV VHHQ RQ WKH WKHUPDO UHVLVWDQFH YDOXHV ZKLFK
DUH FDOFXODWHG XVLQJ (T  7KH GLIIHUHQW LQ WKH WKHUPDO
UHVLVWDQFH PHDQV D GLIIHUHQFH LQ WKH FROG SODWH EDVH
WHPSHUDWXUH ,W LQGLFDWHV WKDW VXFK DV PRGHO LV QRW DEOH WR
SUHGLFWWKHYDULDWLRQLQIOXLGPDVVIORZUDWHDFFXUDWHO\


)LJXUH&RPSDULVRQRIKHDWVLQNFDVHWHPSHUDWXUHDQGRXWOHW
FRRODQWWHPSHUDWXUHEHWZHHQ&)'UHVXOWVDQGPHDVXUHPHQW
GDWD>@

0RGHO,96ROLGEORFNPRGHO
7KH VROLG EORFN PRGXOH LQ WKH FRGH LV XVHG WR GHYHORS D
FRPSDFW FROG SODWH PRGHO VLQFH LW KDV WKH IXQFWLRQ RI VHWWLQJ
WKHUPDO UHVLVWDQFH )LJXUH  VKRZV D ' UHSUHVHQWDWLYH RI D
&)' PRGHO GHYHORSHG XVLQJ WKH VROLG EORFN PRGHO ZLWK RQH )LJXUH&RPSDULVRQRIKHDWVLQNFDVHWHPSHUDWXUHDQGRXWOHW
RSHQLQJ 7KH RSHQLQJ LV PRGHOHG WR UHSUHVHQW OLTXLG IORZ FRRODQWWHPSHUDWXUHEHWZHHQFROGSDWHPRGHODQG
SDWKV PHDVXUHPHQWGDWD>@

 'LIIHUHQW FRQGLWLRQV LQFOXGLQJ WKH FRRODQW WHPSHUDWXUHV DQG
FRRODQWIORZUDWHVDUHFRQGXFWHG


)LJXUH&RPSDULVRQRIWKHUPDOUHVLVWDQFHEHWZHHQ&)'
UHVXOWVDQGPHDVXUHPHQWGDWD>@

 )LJXUH0RFNXSFKLSGLDJUDP
([SHULPHQWDO7HVWLQJ 
7ZRGLIIHUHQWWHVWVHWXSVDUHFRQGXFWHGLQFOXGLQJRQH VHW
RI PRFNXSGXPP\ORDGWHVWDQG RQHVHWRI DFWXDO*38FDUG
%RWKWZRWHVWVXWLOL]H WKHVDPHVHWRIOLTXLGSXPSLQJV\VWHP
7KHSXPSHGOLTXLGGHOLYHU\V\VWHPKDVWZRKHDWWUDQVIHUORRSV
ZKLFK DUH WKH SULPDU\ ORRS DQG WKH VHFRQGDU\ ORRS 7KH
SULPDU\ ORRS LQFOXGHV DQ DLU FRROHU FKLOOHU DQG D OLTXLGWR
OLTXLG KHDW H[FKDQJHU 7KH OLTXLGWROLTXLG KHDW H[FKDQJHU LV
WKHLQWHUPHGLDWH XQLWEHWZHHQ WZRORRSV7KH VHFRQGDU\ORRS
FRQVLVWV RI D OLTXLG WDQN ZLWK KHDWHU IORZ PHWHUV SUHVVXUH
VHQVRUV WHPSHUDWXUH VHQVRUV DQG D '& SXPS $ KHDWHU
FRQWUROOHU LV LQVWDOOHG WR FRQWURO WKH OLTXLG WHPSHUDWXUH LQ WKH
WDQN 7HPSHUDWXUH VHQVRUV IORZ PHWHUV DQG SUHVVXUH VHQVRUV 
DUHLQVWDOOHGRQWKHVHFRQGDU\ORRSWRPHDVXUHWKHVXSSO\DQG )LJXUHD0RFNXSWHVWVHWXS
UHWXUQIORZUDWHVSUHVVXUHGURSDQGWHPSHUDWXUHV,QDGGLWLRQ 
D QHHGOHYDOYH LVXVHGWRDGMXVWWKH V\VWHP IORZUHVLVWDQFH WR
EHWWHUDGMXVWWKHIORZUDWHGHVLJQHGLQWKHH[SHULPHQWV
)RU WKH PRFNXS GXPP\ ORDG WHVW WKH PRFNXS *38 FKLS
XVHVDSRZHUUHVLVWRUDVWKHKHDWVRXUFHZKLFKLVPRXQWHGWRD
FRSSHU EORFN WR UHSUHVHQW WKH WKHUPDO DQG SRZHU SURILOH RI D
KLJKGHQVLW\FKLS7KHGLPHQVLRQRIWKHFRSSHULVGHVLJQHGWR
KDYH WKH VDPH IRUP IDFWRU DV .P *38 FKLS $
WKHUPRFRXSOH LV LQVWDOOHG LQ WKH FRSSHU SODWH WR PHDVXUH WKH
FRRSHU WHPSHUDWXUH $ FKLS FDVH LV DVVHPEOHG DW WKH YHU\
ERWWRPDVDEDVHDQGWKHSRZHUUHVLVWRUDQGPRFNXSFKLSDUH
DWWDFKHGRQWRLW7KHFROGSODWHLVWKHQDWWDFKHGWRWKHFRSSHU
GLH VXUIDFH GLUHFWO\ ,W QHHGV WR EH PHQWLRQHG KHUH WKDW HYHQ
WKRXJK WKH FKLS FDVH LV SURYLGLQJ D IXQFWLRQ DV WKHUPDO
LQVXODWLQJ VWLOO D FHUWDLQ DPRXQW RI KHDW IORZ LV H[WUDFWHG WR 
)LJXUHE([SHULPHQWDOWHVWVHWXS
WKH DPELHQW WKURXJK WKH VXUURXQGLQJV )LJXUH  VKRZV WKH

PHFKDQLFDO GUDZLQJV RI WKH PRFNXS GHVLJQ DQG )LJXUH D
0HDVXUHPHQWV
VKRZVWKHHQWLUHVHWXSZKHQDWWDFKLQJWRWKHVKHHWPHWDOFDUG
,Q WKLV VWXG\ WHPSHUDWXUH SUHVVXUH IORZ UDWH DQG SRZHU
7KH FROG SODWH LV WKHQ DWWDFKHG WR WKH PRFNXS FKLS ZLWK LWV
GDWD DUH FROOHFWHG WKURXJK $JLOHQW GDWD ORJJHU XVLQJ D VHOI
FRYHU DQG WXELQJ SURSHUO\ LVRODWHG )LJXUH E VKRZV WKH
EXLOW /DE9,(: SURJUDP 7KH EXUQLQJ WHVW VFULSW LV WKH
SXPSHGOLTXLGH[SHULPHQWDOVHWXSZKLFKDUHXVHGIRUERWKWKH
19,',$WKHUPDOWHVWVRIWZDUH194XDODQGLWLVDOVRXVHGWR
WKHUPDO PRFNXS WHVWV DQG DFWXDO *38 VHUYHU OLTXLG FRROLQJ
FROOHFW GDWD LQFOXGLQJ *38 FDUG SRZHU GUDZ *38 FRUH
WHVWV
WHPSHUDWXUH DQG FDUG FORFN VSHHG 7KH PRFNXS FKLS SRZHU
$FWXDO*38FDUGLVDOVRWHVWHG19/,1.3*38FDUG
RQ WKH RWKHU KDQG FDQ EH DGMXVWHG E\ FKDQJLQJ WKH YROWDJH
ZDV VHOHFWHG DQG WHVWHG LQ WKH FXUUHQW ZRUN $ FRPPHUFLDO
VXSSO\ WR WKH SRZHU UHVLVWRU 7ZR GLIIHUHQW SRZHU FRQGLWLRQV
FROGSODWHSURGXFWLVVHOHFWHGWRFRQGXFWWKHWHVWV7KHSXUSRVH
DUH FRQVLGHUHG LQ WKH FXUUHQW VWXG\ : DQG : 7KH
RIWKHWHVWLVWRFROOHFWVRPHSUHOLPLQDU\SHUIRUPDQFHGDWDRI
SRZHU FRQGLWLRQ RI WKH DFWXDO 3 *38 FDUG LV ORDGHG DV
XVLQJ OLTXLG FRROLQJ RQ D KLJK SHUIRUPDQFH *38 FDUGV
7'3 DV : 7KH IORZ UDWH LV FRQWUROOHG EHWZHHQ /30
DQG /30 E\ HLWKHU DGMXVWLQJ WKH SXPS VSHHG LQ PRVW RI
WKH FDVHV RU DGMXVWLQJ WKH QHHGOH YDOYH 7KH FRRODQW
WHPSHUDWXUHLVDGMXVWHGEHWZHHQÛ&DQGÛ&

5HVXOWVDQG'LVFXVVLRQ
)LJXUHVKRZVWKHIORZUDWHFRQGLWLRQVDWGLIIHUHQWSXPS
VSHHGYDOXHV,WFDQEHVHHQDWWKHVDPHSXPSVSHHGFRQGLWLRQ
RQO\DVOLJKWYDULDWLRQLVVHHQLQWKHIORZUDWHDWGLIIHUHQWFKLS
SRZHUFRQGLWLRQVDQGIOXLGVXSSO\WHPSHUDWXUHV7KHDYHUDJHG
IORZUDWHEDVHGRQWKHUHDGLQJVRIWKHVHVL[FDVHVXQGHUHDFK
SXPSVSHHGDUHXVHGLQWKHIROORZLQJVWXGLHV
)LJXUH±)LJXUHVKRZWKHUHVXOWVRIWKHPRFNXSWHVWV
,Q WKHVH WHVWV WKH SRZHU FRQGLWLRQV DUH : DQG : 
'LIIHUHQW ZDWHUWHPSHUDWXUHVDQG ZDWHU IORZUDWHVDUH SORWWHG )LJXUH&RSSHUWHPSHUDWXUHVXQGHUGLIIHUHQWIOXLGVXSSO\
LQWKHVDPHILJXUH)LJXUHVKRZVWKHFRSSHUWHPSHUDWXUHVDW WHPSHUDWXUHVDQGIOXLGIORZUDWHV:FKLSSRZHU
GLIIHUHQW FRRODQW FRQGLWLRQV ,W FDQ EH VHHQ WKDW ZLWK WKH 
LQFUHDVLQJ RI WKH VXSSO\ OLTXLG WHPSHUDWXUH WKH FRSSHU
WHPSHUDWXUHLQFUHDVHVDQGDOPRVWDOLQHDUGHSHQGHQF\LVVHHQ
LQPRVWRIWKHFDVHV,QDGGLWLRQLWLVVKRZQLQ)LJXUHWKDW
WKH LPSDFW RI WKH IORZ UDWH RQ WKH FRSSHU WHPSHUDWXUH LV LQ D
QRQOLQHDU GHSHQGHQF\ 7KH KLJKHU WKH IORZ UDWH LV WKH OHVV
VHQVLWLYHWKH*38FRUHWHPSHUDWXUHWRWKHYDULDWLRQLV)LJXUH
 VKRZV WKH FRUUHVSRQGLQJ FRSSHU WHPSHUDWXUH DW GLIIHUHQW
OLTXLG WHPSHUDWXUHV DQG OLTXLG IORZ UDWHV DW : SRZHU
FRQGLWLRQ 6LPLODU SHUIRUPDQFH LV VHHQ DV : FDVH 7KH
REVHUYHG EHKDYLRUV VHHQ LQ )LJXUH  DQG )LJXUH  ZLOO EH
XVHIXO WR GHVLJQ WKH FROG SODWH OLTXLG RSHUDWLQJ FRQGLWLRQV LV
WKH SXUSRVH RI DFKLHYLQJ D EHWWHU FRROLQJ SHUIRUPDQFH DQG
RSHUDWLQJHQHUJ\HIILFLHQF\
 
)LJXUH&RSSHUWHPSHUDWXUHVXQGHUGLIIHUHQWIOXLGVXSSO\
WHPSHUDWXUHVDQGIOXLGIORZUDWH:FKLSSRZHU

)LJXUH  VKRZV WKH KHDW UHPRYDO SHUFHQWDJH FDOFXODWHG
XVLQJ WKH ZDWHU LQOHW WHPSHUDWXUHV ZDWHU RXWOHW WHPSHUDWXUHV
DQGWKHFRUUHVSRQGLQJIORZUDWHV,WFDQEHVHHQWKDWQRW
KHDW LV FDSWXUHG E\ WKH OLTXLG 7KH FXUUHQW GDWD VKRZV WKDW
DURXQGWRRIWKHKHDWLVH[WUDFWHGWRWKHOLTXLG7KLV
PHDQV WKDW  RI WKH KHDW LV QRW FDSWXUHG E\ WKH OLTXLG ,Q
DOVRVHHQWKDWD KLJKHU IORZUDWH FDXVHODUJHU KHDWORVVLQWKH
FXUUHQWH[SHULPHQWDOGHVLJQ ,W PLJKWEHGXH WRWKHGHVLJQRI
WKH FXUUHQW PRFNXS GHYLFH VR WKDW VRPH SRUWLRQ RI KHDW LV
H[WUDFWHG WR WKH DPELHQW $QRWKHU SRVVLEOH UHDVRQ LV WKH FROG
 SODWH GHVLJQ ZKLFK HQDEOH FHUWDLQ DPRXQW RI KHDW IORZ
)LJXUH)ORZUDWHVDWGLIIHUHQWSXPSVSHHGV FRQGXFWHGTXLFNO\WRWKHVKHHWPHWDO7KLVPHDQVWKDWWKHFROG
 SODWH GHVLJQ LQ WHUPV RI LWV PDWHULDO VHOHFWLRQ VLQFH PD\EH
FULWLFDOLW PD\FDXVH VRPH KHDW ORVVWRWKH DPELHQW ,WFDQ EH
VHHQWKDWZLWKWKHLQFUHDVLQJRIWKHOLTXLGWHPSHUDWXUHWKHKHDW
UHPRYDOSHUFHQWDJHGHFUHDVHVWKLVLVVHHQLQPRVWRIWKHFDVHV
7KLV LV EHFDXVH D KLJKHU WHPSHUDWXUH UHVXOWV LQ D KLJKHU
WHPSHUDWXUHGLIIHUHQFHEHWZHHQWKHHQWLUHPRFNXSV\VWHPDQG
WKHDPELHQW$KLJKHUWHPSHUDWXUHGLIIHUHQFHUHVXOWVLQDPRUH
LQWHQVH FRQGXFWDQFH,WFDQEH VHHQ LQ VRPH RIWKH FDVHVWKDW
WKH KHDW UHPRYDO SHUFHQWDJH LQFUHDVHV ZLWK WKH LQFUHDVLQJ LQ
WKH OLTXLG VXSSO\ WHPSHUDWXUH ZKHQ WKH SXPS VSHHG LV VHW DV
/30DQG/30FDVHV7KLVSHUIRUPDQFHLVVHHQLQ
ERWK WZR SRZHU FRQGLWLRQ FDVHV 2QH RI WKH SRVVLEOH
H[SODQDWLRQLVWKHFKDQJHLQWKHIOXLGWKHUPDOSURSHUW\GXHWR
WKH YDULDWLRQ RI IOXLG WHPSHUDWXUH 7KH IOXLG YLVFRVLW\
GHFUHDVHV GXH WR D KLJKHU OLTXLG WHPSHUDWXUH 7KHUHIRUH D
FRPELQDWLRQRIOLTXLGVXSSO\WHPSHUDWXUHDQGIORZUDWHUHVXOWV
LQDPRUHFRPSOH[YDULDWLRQKHDWUHPRYDOSHUFHQWDJHEHKDYLRU
$QRWKHUSRVVLEOHH[SODQDWLRQLVWKHHUURU6LQFHWKHWRWDOKHDW
UHPRYDO SHUFHQWDJH LV YHU\ VHQVLWLYH ZLWK DQ\ HUURU LQ WKH
WHPSHUDWXUHDQGIORZUDWHPHDVXUHPHQWV
7KHVH UHVXOWV SURYLGH VRPH XVHIXO LQIRUPDWLRQ IRU
GHSOR\LQJVXFKWHFKQRORJ\LQGDWDFHQWHUV:KHQPDQ\SLHFHV
RIFKLSVDUHFRROHGE\FROGSODWHVWKHKHDWUHPRYDOSHUFHQWDJH
RI WKH FROG SODWH EHFRPHV YHU\ FULWLFDO 7KH KLJKHU WKH KHDW
H[WUDFWHG WR WKH OLTXLG DQG FRQWDLQHG LQ WKH OLTXLG WKH EHWWHU
SHUIRUPDQFH LQ WHUPV RI WKH URRP OHYHO WKHUPDO PDQDJHPHQW
DQG 38( RI WKH HQWLUH V\VWHP ZLOO EH ,I WKHUH LV  RI WKH
KHDWIORZH[WUDFWHGWRWKH DLUEHIRUH H[WUDFWHGWRWKH EXLOGLQJ
IDFLOLW\ ORRS WKH HIILFLHQF\ RI WKH OLTXLG FRROLQJ ZLOO EH
VLJQLILFDQWO\ GHFUHDVHG %HFDXVH WKLV  RI WKH KHDW ZLOO EH
UHO\LQJRQWKHFRROLQJDLU7KHFROGSODWHQHHGVWREHFDUHIXOO\
GHVLJQHG WR EH DEOH WR SUHYHQW KHDW ORVV WR WKH DPELHQW 7KH
WXELQJ DQG IOXLG FRXSOLQJV PDQLIROGV PD\ EH LQYROYHG LQ
ORVLQJWKHKHDWWRWKHURRPDLUWKURXJKFRQGXFWLRQ7KLVPD\
QHHGWREHWDNHQLQWRDFFRXQWLQDQDFWXDOGHSOR\PHQW
 GHSHQGHQFHV
 

)LJXUH+HDWUHPRYDOSHUFHQWDJHXQGHUGLIIHUHQWIOXLG
VXSSO\WHPSHUDWXUHVDQGIOXLGIORZUDWH:FKLSSRZHU
 
)LJXUH+HDWUHPRYDOSHUFHQWDJHXQGHUGLIIHUHQWIOXLG
VXSSO\WHPSHUDWXUHVDQGIOXLGIORZUDWH:FKLSSRZHU

$FWXDO*38FDUGWHVWLQJ
,Q WKH DFWXDO *38 FDUG WHVWV WZR PHWULFV DUH XVHG WR
HYDOXDWH WKH SHUIRUPDQFH RI WKH FROG SODWH DQG WKH
FRUUHVSRQGLQJ SHUIRUPDQFH 7KH\ DUH WKH *38 FRUH
WHPSHUDWXUH DQG WHPSHUDWXUH ULVH RYHU WKH OLTXLG VXSSO\ LQOHW
WHPSHUDWXUHDWGLIIHUHQWOLTXLGIORZUDWHV
7KH *38 FDUG SRZHU LV ORDGHG DV : 7HVW UHVXOWV DW
WKUHH GLIIHUHQW OLTXLG WHPSHUDWXUHV DQG ILYH GLIIHUHQW OLTXLG
IORZ UDWHV DUH UHSRUWHG )LJXUH  VKRZV WKH *38 FRUH
WHPSHUDWXUH DQG )LJXUH  VKRZV FDVH WHPSHUDWXUH ULVH RYHU
OLTXLG VXSSO\ LQOHW WHPSHUDWXUH UHVSHFWLYHO\ ,W FDQ EH VHHQ
WKDW WKH *38 FRUH WHPSHUDWXUH LV PDLQWDLQHG XQGHU WKH
PD[LPXP GHVLJQ WHPSHUDWXUH IRU WKLV FDUG 7KH YDULDWLRQV LQ
WKH OLTXLG IORZ UDWH DQG WKH OLTXLG VXSSO\ WHPSHUDWXUH KDYH
VRPHLPSDFWVRQWKH*38WHPSHUDWXUHV7KHYDULDWLRQLQIORZ
UDWH GRHV QRW KDYH D VLJQLILFDQW LPSDFW RQ WKH WHPSHUDWXUH
HVSHFLDOO\DWKLJKHUIORZUDWHVLPLODUDVVKRZQLQPRFNXSWHVW
7KH YDULDWLRQ LQ OLTXLG VXSSO\ WHPSHUDWXUH KDV D UHODWLYHO\
ODUJHU LPSDFW RQ WKH *38 WHPSHUDWXUH $Q LQWHUHVWLQJ
SHUIRUPDQFH LV VHHQ WKDW DW ORZHU IORZ UDWHV ZLWK WKH
LQFUHDVLQJRIWKHIOXLGWHPSHUDWXUHLWVKRZVDUDSLGLQFUHDVLQJ
LQ FDVH WHPSHUDWXUH IURP Û& WR Û& 7KLV SHUIRUPDQFH LV
DOVRVHHQLQWKHPRFNXSWHVWV)RUWKHRWKHUIRXUIORZUDWHVWKH
UHVXOWV VKRZ WKDW WKH YDULDWLRQV DUH YHU\ FORVH WR OLQHDU
)LJXUH&DVHWHPSHUDWXUHDWGLIIHUHQWOLTXLGIORZDQGOLTXLG
VXSSO\FRQGLWLRQV

)LJXUH&ROGSODWHSHUIRUPDQFHFXUYH

,W FDQ EH VHHQ LQ )LJXUH  WKDW WKH IOXLG IORZ PDVV IORZ
UDWHVDUHLQVOLJKWO\GLIIHUHQFHHYHQWKRXJKWKHSXPS530LV
VHW DV WKH VDPH 7KLV PHDQV HYHQ WKRXJK VHW D VDPH 530 WR
WKH SXPS WKH V\VWHP IORZ UDWHV DUH LQ VOLJKWO\ GLIIHUHQW DW
GLIIHUHQW VXSSO\ WHPSHUDWXUHV 7KLV LV GXH WR WKH FKDQJH RI
IOXLGWKHUPDOSURSHUW\ZLWKWKHYDULDWLRQLQIOXLGWHPSHUDWXUHV
,WFDQEHVHHQIURP)LJXUHWKDWWKHWHPSHUDWXUHULVLQJRYHU
WKHOLTXLGVXSSO\WHPSHUDWXUH GHFUHDVHV ZLWK DQLQFUHDVLQJ LQ
WKH IOXLG PDVV IORZ UDWH 7KLV YDULDWLRQ EHFRPHV LQYLVLEOH
ZKHQ WKH IORZ UDWHV DUH ODUJHU WKDQ /30 ,W QHHGV WR EH
PHQWLRQHGKHUHWKDWDWWKHVDPHIORZUDWHRUVLPLODUIORZUDWH
FRQGLWLRQVWKHWHPSHUDWXUHULVHLVDOPRVWWKHVDPHYDOXHHYHQ
WKRXJK WKH IOXLG VXSSO\ WHPSHUDWXUHV DUH GLIIHUHQW 7KLV FROG
SODWH FKDUDFWHUL]DWLRQSHUIRUPDQFH FXUYH LV XVHIXO IRU
HVWLPDWLQJ WKH GLUHFWO\ OLTXLG FRROLQJ SHUIRUPDQFH XQGHU
GLIIHUHQWGHVLJQFRQGLWLRQVLQFOXGLQJERWKWKHIOXLGPDVVIORZ
UDWHDQGIOXLGVXSSO\WHPSHUDWXUHIRUWKLVFDUGLQWKLVFRROLQJ
IORZ UDWH QHHG WR EH FDUHIXOO\ GHVLJQHG EDVHG RQ WKH FRROLQJ
UHTXLUHPHQWV DV ZHOO DV WKH HQWLUH GDWD FHQWHU WKHUPDO
HQYLURQPHQW 7KLV DOVR UHTXLUHV D IXOO FKDUDFWHUL]DWLRQ DQG
XQGHUVWDQGLQJ RI WKH FROG SODWHV 7KHUHIRUH WKH PRGHOLQJ
PHWKRGRORJLHV DQG WKH SHUIRUPDQFH GDWD IURP WKH SUHVHQW
VWXGLHV DUH XVHIXO WHFKQLTXHV DQG LQIRUPDWLRQ IRU
DQDO\]LQJGHSOR\LQJDOLTXLGFRROLQJVROXWLRQLQGDWDFHQWHUV

$FNQRZOHGJHPHQW
7KH DXWKRUV ZRXOG OLNH WR DFNQRZOHGJH WKH VXSSRUW DQG
WHFKQLFDOLQSXWSURYLGHGE\)XWXUH)DFLOLWLHV/WG

5HIHUHQFH
>@6FKPLGW5RJHU³/LTXLGFRROLQJLVEDFN´(OHFWURQ
GHVLJQ(VSHFLDOO\LWFDQEHXVHGWRDFKLHYHDUHODWLYHDFFXUDWH &RROLQJQR
HVWLPDWLRQ RQ WKH *38 FRUH WHPSHUDWXUH DW RWKHU GLIIHUHQW >@%HDW\'RQDQG5RJHU6FKPLGW³%DFNWRWKH)XWXUH
FRROLQJFRQGLWLRQVYDULHV /LTXLG&RROLQJ'DWD&HQWHU&RQVLGHUDWLRQV´$6+5$(
 -RXUQDOQR
&RQFOXVLRQ >@0,\HQJDUHWDO³6HUYHUOLTXLGFRROLQJZLWKFKLOOHUOHVV
7KLVZRUNSUHVHQWVDVWXG\RQDGLUHFWOLTXLGFRROLQJXVLQJ GDWDFHQWHUGHVLJQWRHQDEOHVLJQLILFDQWHQHUJ\VDYLQJV´
VLQJOH SKDVH FROG SODWH VROXWLRQ LQ WKH FDVH RI FRROLQJ KLJK ,Q6HPLFRQGXFWRU7KHUPDO0HDVXUHPHQWDQG
GHQVLW\ FKLSV XVLQJ ERWK FRPSXWDWLRQDO PRGHOLQJ DQG
H[SHULPHQWDO WHVWLQJ WHFKQLTXHV ,Q WKH ILUVW SDUW VHYHUDO
PRGHOLQJ PHWKRGV IRU VLQJOH SKDVH FROG SODWHV DUH SUHVHQWHG
7KH PRGHOV DUH FDOLEUDWHG DQG WKHQ YHULILHG XVLQJ VHYHUDO VHW
RI H[SHULPHQWDO GDWD LQ WKH H[LVWLQJ OLWHUDWXUH 7KHVH PRGHOV
FDQ EH XVHG DQG LQWHJUDWHG LQ GLIIHUHQW DSSOLFDWLRQ VFHQDULRV
VXFKDVDOLTXLGFRROHGVHUYHUOHYHOPRGHO,QWKHILUVWVHFWLRQ
WKH PHDQV WR DSSO\ WKH GLIIHUHQW PRGHOV LQ GLIIHUHQW VSHFLILF
PRGHOLQJVFHQDULRVDUHGLVFXVVHGLQGHWDLOV,WLVVKRZQWKDWE\
SURSHU PRGHOLQJ PRGLILFDWLRQV WKH KHDW VLQN PRGHO FDQ EH
XVHGWRFUHDWHDFRPSDFWFROGSODWHPRGHO,WLVDOVRIRXQGWKDW
WKLV FRPSDFW PRGHO LV DEOH WR FDOFXODWH WKH QHZ KHDW WUDQVIHU
0DQDJHPHQW6\PSRVLXP6(0,7+(50WK
$QQXDO,(((SS,(((
>@6WHLQNH0DUN(9LQRG.DPDWKDQG/\QQ3DUQHOO
³7KHUPRG\QDPLF&KDUDFWHUL]DWLRQRID6HUYHU2SWLPL]HG
IRU+LJK3HUIRUPDQFH&RPSXWLQJ8VLQJ:DWHU&RROLQJ´
,Q$60(,QWHUQDWLRQDO7HFKQLFDO&RQIHUHQFHDQG
([KLELWLRQRQ3DFNDJLQJDQG,QWHJUDWLRQRI(OHFWURQLFDQG
3KRWRQLF0LFURV\VWHPVFROORFDWHGZLWKWKH$60(
WK,QWHUQDWLRQDO&RQIHUHQFHRQ1DQRFKDQQHOV
0LFURFKDQQHOVDQG0LQLFKDQQHOVSS97$
97$$PHULFDQ6RFLHW\RI0HFKDQLFDO
(QJLQHHUV
FRHIILFLHQW GXH WR D FKDQJH LQ IOXLG PDVV IORZ UDWH ,W DOVR >@&ROHV+HQU\/DZUHQFH%HUNHOH\1DWLRQDO/DERUDWRU\
IRXQGWKDWWKHPRGHOLVPRUHDFFXUDWHZKHQFDOLEUDWHGXVLQJD DQG6WHYH*UHHQEHUJ/DZUHQFH%HUNHOH\1DWLRQDO
VHWRIWHVWGDWDDWDODUJHUIORZUDWHFRQGLWLRQ /DERUDWRU\³'HPRQVWUDWLRQRI'LUHFW/LTXLG&RROLQJIRU
,QWKHVHFRQGSDUWDQH[SHULPHQWDOZRUNLVSUHVHQWHG7ZR (OHFWURQLF(TXLSPHQW
&DOLIRUQLD(QHUJ\&RPPLVVLRQ´
VHWXSV DUH LQWURGXFHG ZKLFK DUH WKH WKHUPDO PRFNXS FKLS
VHWXS DQG WKH DFWXDO *38 FDUG VHWXS 7KHVH WHVWV DUH
FRQGXFWHGWRFKDUDFWHUL]HWKHGHWDLOHGOLTXLGFRROLQJFROGSODWH
SHUIRUPDQFHDWGLIIHUHQWFRROLQJFRQGLWLRQVDQGFRROLQJORDGV
7KHIROORZLQJGDWDLQFOXGLQJWKHFRSSHUWHPSHUDWXUHVWKHKHDW
UHPRYDO SHUFHQWDJHV DQG WKH *38 FDVH WHPSHUDWXUHV DQG
FROG SODWH SHUIRUPDQFH GDWD DUH UHSRUWHG LQ WKLV VHFWLRQ 7KH
VWXG\ SURYLGHV VHYHUDO RULJLQDO SHUIRUPDQFH GDWD RI D OLTXLG
3XEOLFDWLRQQXPEHU&(&UHSRUWQXPEHUSHQGLQJ
$OVRDYDLODEOHDWKWWSGDWDFHQWHUVOEOJRYUHVRXUFHV
>@'DYLG0LOQHV30DGKXVXGDQ.,\HQJDU3ULWLVK3DULGD
5REHUW(6LPRQV0DUN6FKXOW]0LFKDHO*D\QHV5RJHU
6FKPLGWDQG7LPRWK\&KDLQHU³,PSDFWRIRSHUDWLQJ
FRQGLWLRQVRQDFKLOOHUOHVVGDWDFHQWHUWHVWIDFLOLW\ZLWK
OLTXLGFRROHGVHUYHUV´,Q7KHUPDODQG
7KHUPRPHFKDQLFDO3KHQRPHQDLQ(OHFWURQLF6\VWHPV
FRROHG *38 FDUGV DW GLIIHUHQW FRROLQJ WHPSHUDWXUHV DQG
FRROLQJ IORZ UDWHV ,Q DGGLWLRQ WKH ZRUN FKDUDFWHUL]HV WKH
DFWXDOFROGSODWHSHUIRUPDQFHXVLQJWKHPHWULFDVKHDWUHPRYDO
SHUFHQWDJH+HUHDUHVHYHUDOXVHIXOILQGLQJVWKURXJKWKLVZRUN
WKH KHDW UHPRYDEOH SHUFHQWDJH LV D FULWLFDO PHWULF IRU
HYDOXDWLQJ WKH FROG SODWH OLTXLG FRROLQJ WHFKQRORJ\ ,W LV DQ
LPSRUWDQW PHWULF IRU FKDUDFWHULQJ WKH WRWDO DPRXQW RI KHDW
H[WUDFWHG WR WKH OLTXLG FRROLQJ V\VWHP ,Q D URRP OHYHO
DSSOLFDWLRQWKLVWRWDOKHDWUHPRYDOSHUFHQWDJHEHFRPHVDPRUH
FULWLFDO SDUDPHWHU IRU HYDOXDWLQJ D OLTXLG FRROLQJ V\VWHP
HIILFLHQF\ 7KLV LV RQH RI WKH PDMRU GLIIHUHQFH RI OLTXLG
FRROLQJ DSSOLFDWLRQ EHWZHHQ IRU D GDWD FHQWHU DQG IRU D 3&
:KHQ XVLQJ GLUHFW OLTXLG FRROLQJ V\VWHP LWV RSHUDWLQJ
FRQGLWLRQV LQFOXGLQJ WKH OLTXLG VXSSO\ WHPSHUDWXUH DQG WKH
,7KHUPWK,(((,QWHUVRFLHW\&RQIHUHQFHRQSS
,(((
>@9DOOXU\$SDUQD0DUN(6WHLQNH9LQRG.DPDWKDQG
/\QQ3DUQHOO³$&RPSXWDWLRQDO6WXG\WR&RPSDUHWKH
'DWD&HQWHU&RROLQJ(QHUJ\6SHQW8VLQJ7UDGLWLRQDO$LU
&RROHGDQG+\EULG:DWHU&RROHG6HUYHUV´,Q$60(
,QWHUQDWLRQDO7HFKQLFDO&RQIHUHQFHDQG([KLELWLRQ
RQ3DFNDJLQJDQG,QWHJUDWLRQRI(OHFWURQLFDQG3KRWRQLF
0LFURV\VWHPVFROORFDWHGZLWKWKH$60(WK
,QWHUQDWLRQDO&RQIHUHQFHRQ1DQRFKDQQHOV
0LFURFKDQQHOVDQG0LQLFKDQQHOVSS97$
97$$PHULFDQ6RFLHW\RI0HFKDQLFDO
(QJLQHHUV
>@*5:DJQHU-56FKDDGW-'L[RQ*&KDQ:0DOW] >@$6+5$(³7KHUPDO*XLGHOLQHVIRU/LTXLG
DQG(&RROLQJ³7HVW5HVXOWVIURPWKH&RPSDULVRQRI &RROHG'DWD3URFHVVLQJ(QYLURQPHQWV´:KLWHSDSHU
7KUHH/LTXLG&RROLQJ0HWKRGVIRU+LJK3RZHU SUHSDUHGE\$+65$(7HFKQLFDO&RPPLWWLH7&
3URFHVVRUV´LQ,(((,7+(50SS± >@3HUVRQDOFRPPXWDWLRQVDQGWHFKQLFDOVXSSRUW)XWXUH
)DFLOLWLHV/WG