2016 IEEE International Conference on Computational Science and Engineering, IEEE International Conference on Embedded

and Ubiquitous Computing, and International Symposium on Distributed Computing and Applications to Business, Engineering
and Science

/LQJXLVWLFVDQG4XDQWXP7KHRU\(SLVWHPRORJLFDO
3HUVSHFWLYHV

)UDQFHVFR*DORIDUR %LFK/LrQ'RDQ=HQR7RIIDQR
3ROLWHFQLFRGL0LODQR /5,/6
&HQWUDOH6XSpOHF
0LODQR,WDO\
*LIVXU<YHWWH)UDQFH

Abstract²7KHDUWLFOHZLOOH[SORUHWKHSKLORVRSKLFDOFRQVHTXHQFH WKH PRGHO ZKLFK DUH UHOHYDQW LQ D VHPDQWLF SHUVSHFWLYH
RQWKHQRWLRQRIPHDQLQJRIWKHDGRSWLRQRIDTXDQWXPJHRPHWU\ VXSHUSRVLWLRQDQGHQWDQJOHPHQW,QZHZLOOVKRZKRZWKH
EDVHG DSSURDFK LQ OLQJXLVWLF GLVFLSOLQHV VXFK ,QIRUPDWLRQ PRGHO DOORZ PDQ\ FRQYHUJHQFHV EHWZHHQ WKH GLIIHUHQW
5HWULHYDO ZKLFK LPSRUWDQFH JUHZ ZLWK ,QWHUQHW DQG ELJ GDWD
7KH SDSHU UHFRQVWUXFWV DQ DUFKDHRORJ\ RI WKH WXUQ WR
SUREDELOLVWLF DQG D TXDQWXP SHUVSHFWLYHV LQ ODQJXDJH UHVHDUFK
DQG LWV UHDVRQV ZH FRQVLGHUV VRPH OLQJXLVWLF IHDWXUHV ZKLFK
MXVWLI\ WKH DGRSWLRQ RI D TXDQWXP SHUVSHFWLYH QRQ
GLVWULEXWLYHQHVV IDLOXUHV RI WKH VXEVWLWXWLYLW\ SULQFLSOH
WUDGLWLRQV LQ SKLORVRSK\ RI ODQJXDJH ,Q  ZH ZLOO FRQVLGHU
VRPH SKLORVRSKLFDO FRQVHTXHQFHV DQG RSHQ TXHVWLRQV ZKLFK
DULVH IURP WKH QRWLRQ RI ³PHDQLQJ´ LQ XVH LQ TXDQWXP
JHRPHWU\EDVHGPRGHOV
SHULRGLFLW\RIWKHPHDQLQJIXQFWLRQLWXQGHUOLQHVWZRIHDWXUHVRI ,, *(1($/2*<2)3+,/2623+,&$/$3352$&+(672
TXDQWXP PRGHOV VXSHUSRVLWLRQ DQG HQWDQJOHPHQW ZKLFK VHHPV
LQWHUHVWLQJ WR UHSUHVHQW VHPDQWLFV ZH KRSH WR VKRZ KRZ
V LW ZDV SRVVLEOH WR VXEGLYLGH
TXDQWXP PRGHOV DOORZ D FRQYHUJHQFH RI WKHLQWHUHVW RI GLIIHUHQW
SHUVSHFWLYHVLQSKLORVRSK\RIODQJXDJH
Keywords : information retrieval; semantics; superposition;
entanglement; indetermination
, ,1752'8&7,21
'XULQJWKHODVWWHQ\HDUVPDQ\UHVHDUFKHUVLQ,QIRUPDWLRQ
/,1*8,67,&6
$W WKH EHJLQQLQJ RI WKH
WKH SKLORVRSKLFDO DWWLWXGHV WRZDUG ODQJXDJH LQ WKUHH
DSSURDFKHV DQDO\WLFDO SKLORVRSK\ FRJQLWLYH VFLHQFHV DQG
VHPLRWLFV 2EYLRXVO\ LQVLGH HDFK VFKRRO LW ZDV SRVVLEOH WR
LGHQWLI\ GLIIHUHQFHV DQG VKDGHG IURQWLHUV 7KH\ DOO IRFXVHG RQ
ODQJXDJHEXWWKHLUUHDOREMHFWZDVDOZD\VD UHODWLRQLQZKLFK
ODQJXDJH MXVW UHSUHVHQWHG D SROH 7KLV H[SODLQV WKH JUHDW
GLIIHUHQFHVEHWZHHQWKHPDVFRQFHSWXDOWRROVDQGFRQFOXVLRQV
5HWULHYDO,5WXUQHGWKHLUDWWHQWLRQWRTXDQWXPEDVHGPHWKRGV )RU H[DPSOH DQDO\WLFDO SKLORVRSK\ ZDV PDLQO\ LQWHUHVWHG LQ
VHH IRU H[DPSOH &/$5.( DQG 38//0$1  %58=$ WKH UHODWLRQ EHWZHHQ ODQJXDJH DQG WUXWK LWV PRVW SURPLQHQW
DQG :22'6  :,77(. DQG '$5$1<,  ,Q WKH
SUHVHQW SDSHU ZH DVN LI WKLV FKDQJHV RXU SHUVSHFWLYHV RQ
VHPDQWLFV*HQHUDOO\VSHDNLQJLQWKH,5DQG'DWD0LQLQJHUD
WKHJRDORIDPRGHOLVQRWWRJHQHUDWHV\QWKHWLFDOO\OLQJXLVWLF
VWUXFWXUHVDQGHQXQFLDWHVE\GHWHUPLQLVWLFPHDQVDVJHQHUDWLYH
JUDPPDUV GLG EXW WR SURYLGH VWDWLVWLFDO PRGHOV WR DQDO\VH
WH[WXDO UHODWLRQVKLSV DQG WR ZHLJKW WKHP 0HDQLQJ EHFRPHV D
WH[WXDOFRQVWUXFWLRQSURYLGHGE\WKHFRQWH[WVLQZKLFKDFHUWDLQ
VFKRODUV ZHUH ORJLFLDQV 7KH SUREOHP LQ WKLV IUDPH ZDV KRZ
ODQJXDJH VKRZV RU KLGHV WUXWK ZKDW GR ZH PHDQ ZLWK WKH
DGMHFWLYH ³WUXH´ DQG WR ZKDW H[WHQW QRW WUXHIXQFWLRQDOLW\ FDQ
EHDOORZHGLQODQJXDJH6HPDQWLFVZDVPDLQO\FRQVLGHUHGDVD
UHODWLRQ EHWZHHQ ODQJXDJH DQG DQ H[WHUQDO RQWRORJLFDO RU
QRQORJLFDOGLPHQVLRQ7KLVRSSRVLWLRQZDVDOVRPDSSHGRQWKH
PRGHO RI VLJQ VLJQ LV WKH SROH RI D WULDGLF UHODWLRQ WKDW DOVR
FRPSUHKHQGHGFRQFHSWVDQGREMHFWVLQDWUDGLWLRQZKLFKGDWHV
ZRUGLVORFDWHG/81'DQG%85*(667KXVPHDQLQJ
LV LPPDQHQW WR WH[WV ,5 DOJRULWKPV OHW HPHUJH PHDQLQJIXO
UHODWLRQVKLSV ZLWKRXW UHTXLULQJ DQ\ H[SOLFLW KXPDQ DSULRUL
W EH LGHQWLILHG ZLWK PHDQLQJ
MXGJPHQW7KH\VHHPDSURPLVLQJEHQFKPDUNWRWHVWVHPDQWLF
WKHRULHVRQHPSLULFDOGDWD
EDFNWR)UHJHDQG5XVVHOO)5(*(2QWKHRWKHUKDQG
ERWKLQJHQHUDWLYHJUDPPDUDQGVHPLRWLFVWUXWKZDVFRQVLGHUHG
VLPSO\ QRWUHOHYDQW 7UXWK FDQ
EHFDXVH WKH ODWWHU LV PDLQO\ DUELWUDU\ 7KLV ZDV D FRPPRQ
SRLQW EXW WKH WZR VFKRROV IDWDOO\ GLYHUJHG EHFDXVH VHPLRWLFV
ZDV LQWHUHVWHG LQ WKH UHODWLRQ EHWZHHQ ODQJXDJH DQG FXOWXUH
7KH VWUXFWXUH RI WKH SDSHU LV LQ SDUDJUDSK  ZH ZLOO ZKHUHDV FRJQLWLYH VFLHQFHV ZHUH RULHQWHG WRZDUG WKH UHODWLRQ
SUHVHQW D IDPLO\ SRUWUDLW GDWLQJ WR WKH
V :H ZLOO FRQVLGHU EHWZHHQ ODQJXDJH DQG PLQG 2Q D FRQVHTXHQFH RI WKLV D
WKUHH FODVVLFDO DSSURDFKHV LQ SKLORVRSK\ 7KH\ ZHUH ZHOO VHFRQG GLYHUJHQFH EHWZHHQ WKH WZR VFKRROV FRQFHUQHG RXU
GLIIHUHQWLDWHG DW WKRVH WLPHV QHYHUWKHOHVV WKH\ VKDUHG D NQRZOHGJH DERXW ODQJXDJH 6HPLRWLF PRGHOV UHSUHVHQW RQO\
GHWHUPLQLVWLFSRLQWRIYLHZ,QZHZLOOSUHVHQWDWUDQVLWLRQ LQWHUVXEMHFWLYH FRQYHQWLRQV RI WKH VFLHQWLILF FRPPXQLW\ 2Q
WR SUREDELOLVWLF PRGHOV LQ OLQJXLVWLFV ZKLFK GDWHV WR WKH
V WKH FRQWUDU\ LQ WKH ILUVW JHQHUDWLRQ RI FRJQLWLYH VFLHQFHV
7KLVWUDQVLWLRQZDVMXVWLILHGE\WKHDFKLHYHGUHVXOWVEXWLWZDV JUDPPDUVZHUHVHHQDVDVRUWRIEXLOWLQVRIWZDUHRIWKHEUDLQ
QHJOHFWHG LQ SKLORVRSK\ RI ODQJXDJH ZLWK IHZ H[FHSWLRQV ,Q KDUGZDUH)2'251HYHUWKHOHVVWKHNLQGRIVHPDQWLFV
 ZH LQWURGXFH WKH TXDQWXP JHRPHWU\ EDVHG PRGHOV ZKLFK RI FRJQLWLYH VFLHQFHV DQG VHPLRWLFV LV VLPLODU ,Q FRJQLWLYH
KDYH EHHQ GHYHORSHG LQVLGH WKH ,QIRUPDWLRQ 5HWULHYDO SHUVSHFWLYHV ODQJXDJH ZDV JHQHUDWHG E\ D IRUPDO JUDPPDU
IUDPHZRUNVWDUWLQJIURPWKHWXUQRIWKHFHQWXU\,QZHZLOO &+206.< DQGVHPDQWLFV PDLQO\ FRLQFLGHG ZLWK WKH
GHHSHQ VRPH OLQJXLVWLF SX]]OHV HYLGHQFHG E\ GLIIHUHQW JUDPPDU
VFDWHJRULHVVHPLRWLFVSRLQWRIYLHZZDVFRPSDUDEOH
DSSURDFKHV ZKLFK FDQ EH LQWHUSUHWHG LQ WHUPV RI TXDQWXP EHFDXVHPHDQLQJZDVVHHQDVDUHODWLRQEHWZHHQDPDQLIHVWLQJ
JHRPHWU\ ,Q  ZH ZLOO HQWHU LQWR WZR WHFKQLFDO IHDWXUHV RI VLJQLILHU DQG DQ LPPDQHQW VWUXFWXUH *5(,0$6  7KLV

978-1-5090-3593-9/16 $31.00 © 2016 IEEE 660

DOI 10.1109/CSE-EUC-DCABES.2016.257
10.1109/.116
FDQEHH[SODLQHGEHFDXVHRIWKHLQIOXHQFHRI6DXVVXUH
VSRLQWRI VHULRXVO\ WKH PHWDSKRU RI WKH ³VHPDQWLF VSDFH´ DVNLQJ ZKDW
YLHZRQERWKWUDGLWLRQV*5(,0$6&+206.< NLQGRIVSDFHLWLVIURPDJHRPHWULFDOSRLQWRIYLHZDQGZKDW
  *LYHQ WKDW WKH ILUVW DSSURDFK VHHV ODQJXDJH DV D
SURGXFWLRQJHQHUDWHGE\WKHUXOHVRIDJUDPPDUWKHJHQHUDWLYH
SRLQWRIYLHZLVQRWVKDUHGE\DOOVHPLRWLFLDQV0DQ\RIWKHP
LQKHULWHG WKH PHWKRGV DQG WKH JRDOV RI ROGVFKRRO OLQJXLVWLFV
DLPHG WR W\SLI\ PRUSKRORJLFDO HOHPHQWV $QRWKHU LPSRUWDQW
SRLQWLVWKHVWUXFWXUDOLVWHSLVWHPRORJ\DFFRUGLQJWRZKLFKWKH
VXEMHFW LV SURGXFHG DQG RYHUGHWHUPLQHG E\ FXOWXUDO VWUXFWXUHV
NLQGRILQVWUXPHQWVDUHQHHGHGWRRSHUDWHLQLW
,,, )520'(7(50,1,6072352%$%,/,7,(6
7KHWUDGLWLRQDODSSURDFKHVWRSKLORVRSK\RIODQJXDJHVHHP
WR GLIIHU FRPSOHWHO\ DV SHUVSHFWLYHV DQG LQWHUHVWV 6WLOO WKH\
KDYHLQFRPPRQPDQ\IHDWXUHV)LUVWRIDOOGHWHUPLQLVP:LWK
VXFKDVODQJXDJH0,/1(57KDW
VZK\VHPLRWLFVFDQ
W OLWWOHH[FHSWLRQVDOOWKHVHUHVHDUFKHVVKDUHDKLGGHQSRVWXODWH
DSSURYH DQDOD\WLFDO SKLORVRSKHUV
 SDVVLRQ IRU WUXWK QRU DW DQ\ WLPH LW LV SRVVLEOH WR UHDFK SHUIHFW NQRZOHGJH RQ
FRJQLWLYHVFLHQWLVWV
LQFOLQDWLRQWRZDUGQDWXUH OLQJXLVWLFIHDWXUHVVXFKDVV\QWD[DQGVHPDQWLFV/HWXVPRGLI\
7DUVNL
VGHILQLWLRQRIWUXWKLQWKLVZD\
 ³6QRZLVZKLWH´LIDQGRQO\LIVQRZLIZKLWHZLWKD
$SSURDFKHV /DQJXDJHLV 7RROVRI
UHODWHGWR DQDO\LV
1DWXUDOLVP (SLVWHPROR
FXOWXUDOLVP J\
7KHVLJQLV
«
.LQGRI
VHPDQWLFV
SUREDELOLW\RI
«

$QDO\WLFDO 7UXWK /RJLFV %RWK )XQFWLRQDOLVW $UELWUDU\ ([WHUQDOLVW

$ILUVWFRPPHQWFRXOGEHWKDWDSUREDELOLVWLFGHILQLWLRQRI
SKLORVRSK\ WKH WUXWK IXQFWLRQ ZRXOG EH XQXVHIXO XQOHVV ZH GHDO ZLWK
&RJQLWLYH 0LQG &RPSXWDWLRQ 1DWXUDOLVP 5HDOLVW $UELWUDU\ ,PPDQHQWLVW LQGXFWLYH ORJLF $FFRUGLQJ WR &DUQDS WKH IXQFWLRQ FK H
VFLHQFHV DOWKHRU\ 
H[SUHVVHVWKHGHJUHHRIFRQILUPDWLRQRIDQHYLGHQFHVHQWHQFHH
6HPLRWLFV &XOWXUH 6WUXFWXUDO
OLQJXLVWLFV
&XOWXUDOLVP 6WUXFWXUDOLVW $UELWUDU\ ,PPDQHQWLVW LQUHODWLRQWRWKHK\SRWKHVLVK&$51$3,QSDUWLFXODU
LIPVLVWKHSUREDELOLW\RIDVHQWHQFHVWKHQ
7DE7KUHHDSSURDFKHVWRPHDQLQJLQSKLORVRSK\RIODQJXDJH
 FKH PK‫ר‬HPH
*LYHQWKHWKUHHSHUVSHFWLYHVLWLVVRPHKRZREYLRXVWKDWWKH 6RLIH ³LWUDLQV´PH K ³LWLVFKLOO\´DQGPK‫ר‬H
RSHQ SUREOHPV LQ HDFK DSSURDFK ZHUH GLIIHUHQW DQG FDXVHG D   WKHQ ³LW UDLQV´ FRQILUPV WKH IDFW WKDW LW LV FKLOO\ ZLWK D
VRUW RI GLDOHFWLFDO WUDQVIRUPDWLRQ RI WKH GLVFLSOLQH LQ LWV GHJUHHRIFHUWDLQW\$QLQWHUHVWLQJSRLQWKHUHLVWKDWFLVD
RSSRVLWHGRSSHOJDQJHU PHWDOLQJXLVWLF IXQFWLRQ ZKLFK UHIHUV WR WKH UHODWLRQ EHWZHHQ
WZRVHQWHQFHV6LQFHSUREDELOLW\WRWKLVUHODWLRQWKLVGHILQLWLRQ
7KH VHFRQG JHQHUDWLRQ RI FRJQLWLYH VFLHQWLVW DEDQGRQHG LVUHDOO\VXLWDEOHWRWKHVWXG\RIODQJXDJHDQGLWDYRLGVDWWKH
IXQFWLRQDOLVP DQG FRPSXWDWLRQDO PHWKRGV IRU GLIIHUHQW VDPHWLPHDQ\PHWDSK\VLFDODVVXPSWLRQ+RZHYHUH[FHSWIRU
UHDVRQV 3XWQDP ZDV XQVDWLVILHG E\ IRUPDOLVW H[SODQDWLRQ WKH VWXGLHV RQ SUREDELOLW\ DQG LQGXFWLRQ WKH UHODWLRQ EHWZHHQ
EHFDXVH WKHUH
V QR ZD\ WR FKRRVH EHWZHHQ HTXLYDOHQW PRGHOV WUXWK DQG PHDQLQJ KDV XVXDOO\ FRQVLGHUHG GHWHUPLQLVWLF LQ WKH
DQG HPEUDFHG SUDJPDWLVW SRVLWLRQV 3871$0  PDQ\ DQDO\WLFDOWUDGLWLRQ
RWKHU VFKRODU VXFK DV /DNRII WXUQHG WKHLU DWWHQWLRQ WRZDUG
HPERGLPHQWLQDQDWWHPSWWRH[SODLQWKHLQQDWHIHDWXUHVRIWKH ,Q VHPLRWLFV WKHUH LV QR UHVHDUFK RQ SUREDELOLW\ 7KH
PLQG /$.2)) $1' -2+1621  ,Q WKH ILHOG RI SUREOHP DULVHV ZLWK +MHOPVOHY ZKR H[SOLFLWO\  GLVWUXVWHG
DQDO\WLFDO SKLORVRSK\ WKHUH KDV QHYHU EHHQ D FRPPRQ
V
FRQFHSWLRQRQWKHQDWXUHRIPHDQLQJZKLFKH[LVWHQFHLWVHOILV
GHEDWHG DQG ZKLFK KDV EHHQ LGHQWLILHG ZLWK RSSRVLWH
GLPHQVLRQV *ULFH GHILQHG WKHP DV PHQWDO VWDWHV ZKHUHDV
:LWWJHQVWHLQFRQVLGHUHGWKHPDVXVHV±3,&$5',
VWDWLVWLFDO OLQJXLVWLFV ± +-(/06/(9  +MHOPVOHY
SUHIHUHQFHVJRWRZDUGWKHRULHVZKLFKDQDO\VHFRPSOH[REMHFWV
LQDILQLWHQXPEHURIHOHPHQWVWKURXJKDILQLWHQXPEHURIVWHSV
E\ UHSHDWLQJ WKH DSSOLFDWLRQ RI D SURFHGXUH 6WUXFWXUDO
VHPDQWLFV KDV EHHQ FRQVWUXFWHG LQ FRQIRUPLW\ WR WKLV
 HSLVWHPRORJ\*5(,0$65$67,(53UREDELOLW\
KDV QR SODFH LQ (FR
V LQWHUSUHWLYH VHPDQWLFV ± (&2  LQ
6WDUWLQJIURPFXOWXUDOLVWSRVLWLRQVPDQ\VHPLRWLFLDQVWDUWHG VSLWH RI WKH IDFW WKDW &KDUOHV 3HLUFH GHGLFDWHG PDQ\ SDJHV WR
LQTXLULHV RQ PRWLYDWHG YLVXDO VLJQV HYHQWXDOO\ UHGLVFRYHULQJ LQGHWHUPLQLVWLF UHDVRQLQJ DQG LQGXFWLRQ 7KH PRUSKRJHQHWLF
SHUFHSWLRQ DQG WKH UROH RI QDWXUH (&2  DQG WR DSSURDFK VHHPV PRUH SURPLVLQJ 7KRP
V FDWDVWURSKH WKHRU\
UHGLVFRYHU&KDUOHV3HLUFH
VSHUVSHFWLYHVRQVLJQZKLFKLVFORVH DLPHG WR H[SODLQ SURFHVVXDO ELIXUFDWLRQ VWDUWLQJ IURP KLGGHQ
WR DQDO\WLFDO WUDGLWLRQ 1HYHUWKHOHVV D FRQYHUJHQFH ZLWK
FRJQLWLYH VFLHQFHV ZDV LPSRVVLEOH ZKLOH FRJQLWLYLVP ZDV
VFROOHDJXHV
VHDUFKLQJIRUDOLPLWHGQXPEHURIXQLYHUVDOVHPDQWLFSULPLWLYHV
UHSUHVHQWLQJWKHDSULRULWUDQVFHQGHQWDOFRQGLWLRQRIODQJXDJH
VHPLRWLFV FRQVLGHU LQWHUSUHWDWLRQ DV D SURFHVV ZLWKRXW VWDUWLQJ
SDUDPHWHUV SUHJQDQFLHV (YHQ LI WKLV SRLQW RI YLHZ UHPDLQV
GHWHUPLQLVWLWLVQRWVXUSULVLQJLIVRPHRI3HWLWRW
LQWHUHVWHG LQ SHUFHSWLRQ WULHG WR LPSURYH WKH FRUUHVSRQGHQFHV
EHWZHHQWKHRUHWLFDOPRGHOVDQGSKHQRPHQRORJLFDOGDWDPDNLQJ
XVH RI SUREDELOLVWLF PRGHOV %$5%,(5, &,77, &2&&,
RUHQGLQJSRLQWV 6$57,7KLVDSSURDFKJDLQHGDQKLJKUHSXWDWLRQLQWKH
$PRQJ WKH RWKHUV 5DVWLHUV
 DQG 3HWLWRW
V SHUVSHFWLYHV ILHOG RI QHXURPDWKHPDWLFV RI YLVLRQ 8QIRUWXQDWHO\ IURP WKH
VHHPVWKHPRVWIHUWLOH5DVWLHUGHYHORSHGVWUXFWXUDOVHPDQWLFV 1LQHWLHV VHPLRWLF PDLQVWUHDP UHQRXQFHG WR GHYHORS QHZ
WUDQVIRUPHG LW LQWR DQ RSHUDWLYH WRRO DQG SDUWLDOO\ FRQYHUJHG IRUPDO PRGHOV *UHLPDV PRGHO LV GHWHUPLQLVWLF EHFDXVH LW LV
ZLWK FRPSXWHU VFLHQFH WR DSSO\ LW WR LQIRUPDWLRQ UHWULHYDO WHOHRORJLF (FR
V QRWLRQ RI (QF\FORSHGLD OHDYHV RSHQ WKH
5$67,(5  3HWLWRW DSSOLHG 5HQp 7KRP FDWDVWURSKH SUREOHPRQPHDVXULQJWKHSUREDELOLW\RIDQLQIHUHQFH
WKHRU\ WR VWXG\ WKH SURFHVVXDO G\QDPLFV RI WKH IRUP RI
PHDQLQJ 3(7,727  ,QWHUHVWLQJO\ WKLV DSSURDFK WDNHV

661
A. Probabilities and computation 7KHVH DWWHPSWV KDYH DOVR DQ XQGRXEWIXO SKLORVRSKLF LQWHUHVW
$OO FRQVLGHUHG WUDGLWLRQDO DSSURDFKHV LQ SKLORVRSK\ RI SUREDELOLW\LVQRWRQO\DPHDVXUHRIWKHLQFRPSOHWHQHVVRIRXU
ODQJXDJHQHJOHFWHGWKHUROHRISUREDELOLW\GXULQJWKH
VZLWK NQRZOHGJH $V D IHDWXUH LW VHHPV LPPDQHQW WR OLQJXLVWLF
VRPH UHPDUNDEOH H[FHSWLRQV 2QH UHDVRQ FRXOG EH WKDW SURFHVVHV :LWK +MHOPVOHY ZH NQRZ WKDW ODQJXDJH DOORZV D
HSLVWHPRORJ\ LV DOZD\V LQ UHWDUG LI FRPSDUHG WR VFLHQWLILF UHODWLRQRILPSOLFDWLRQEHWZHHQFRQVWDQWHOHPHQWVDQGYDULDEOHV
DGYDQFHPHQWVDVHFRQGUHDVRQLVWKDWWKHUHDOVSUHDGRIWKHVH +,(/06/(9SUREDELOLW\LQWURGXFHVDJUDGDEOHQHVVRI
PRGHOVDQGRIWKHLUH[FHSWLRQDOUHVXOWVKDSSHQHGWZHQW\\HDUV VXFK DQ LPSOLFDWLRQ $V WKH UHDGHU FDQ XQGHUVWDQG WKH
ODWHUZLWKWKHDGYHQWRI,QWHUQHWDQGRIWKHVRFDOOHG³ELJGDWD´ SURSRVHGQRWLRQRISUREDELOLW\LVPRUHVLPLODUWR&DUQDS
VWKDQ
1HYHUWKHOHVVFRPSXWDWLRQDOUHVHDUFKRQSUREDELOLVWLFDXWRPDWD WR%D\HV
RQH)RUH[DPSOHLIZHWKLQNWRWUDQVODWLRQKXPDQ
GDWHV EDFN WR WKH
V 5$%,1  ,Q SDUWLFXODU XVH RI ODQJXDJH LQYROYHV VRPH NLQG RI SDUVLQJ SURFHVV ,I ZH
SUREDELOLVWLF DXWRPDWD SHUIRUP EHWWHU WKDQ GHWHUPLQLVWLF RQHV QRUPDOO\ FRQVLGHU D WH[W DV UHODWHG WR D ZHOO GHWHUPLQHG
2QHUHDVRQLVWKDWWKHFODVVRIODQJXDJHVZKLFKDUHFRPSXWDEOH PHDQLQJWKLVLVRQO\EHFDXVHZHFRQVLGHULWWHOHRORJLFDOO\LH
E\DSUREDELOLVWLFDXWRPDWRQLVEURDGHU7REHSUHFLVHWKHFODVV ³IURPWKHHQG´
RI WKH UHJXODU ODQJXDJHV ZKLFK LV FRPSXWDEOH E\ D ILQLWH
DXWRPDWRQ LV D VXEVHW RI WKH FODVV RI WKH VWRFKDVWLF ODQJXDJHV ,9 48$1780*(20(75<
ZKLFK LV FRPSXWDEOH E\ D SUREDELOLVWLF DXWRPDWRQ +RZHYHU $QRWKHU LQWHUHVWLQJ IUDPHZRUN RQ ODQJXDJH LQ ZKLFK
HYHU\VWRFKDVWLFODQJXDJHZLWKDUDWLRQDOFXWSRLQWLVDUHJXODU SUREDELOLVWLFPRGHOVDUHLQXVHLVWKHLQIRUPDWLRQUHWULHYDO,5
ODQJXDJH  6$/20$$  7KLV PHDQV WKDW IRU SUDFWLFDO
SXUSRVHV D ODUJH QXPEHU RI SUREDELOLVWLF DOJRULWKPV FDQ EH
VLPXODWHG ZLWK OLWWOH DSSUR[LPDWLRQ E\ D QRUPDO FRPSXWHU
ZKLFKLVDILQLWHVWDWHPDFKLQH8QOHVVZHHIIHFWLYHO\SURGXFHD
SUREDELOLVWLF DXWRPDWRQ SUREDELOLVWLF DOJRULWKPV VLPXODWHG E\
D ILQLWH VWDWH PDFKLQH ZLOO VKDUH WKH VDPH FRPSXWDWLRQDO
OLPLWDWLRQV RI WKH VLPXODWLQJ FRPSXWHU 7KH SUREOHP RI WKH
VXSSRUWIRUSUREDELOLVWLFFRPSXWDWLRQLVUHOHYDQWLQWKHFDVHRI
TXDQWXPDOJRULWKPVDVZHZLOOVHHLQEHFDXVHLWLVUHODWHG
WRWKHPLQGERG\SUREOHP)RUH[DPSOH3XWQDPVXJJHVWHGWKDW
KXPDQ PLQG FRXOG EH UHSUHVHQWHG DV SUREDELOLVWLF DXWRPDWRQ
ILHOG $OWKRXJK ,5 ZDV WKHRUL]HG IURP WKH YHU\ EHJLQQLQJ RI
WKHLQIRUPDWLRQHUDE\9DQQHYDU%XVKLWVLPSRUWDQFHJUHZDV
WKH TXDQWLW\ RI GLJLWDO GDWD VWRUHG LQ RXU QHWZRUNV DQG LWV
REYLRXVO\ UHODWHG WR WKH DYDLODELOLW\ RI JUHDW TXDQWLW\ RI WH[WV
ZKLFK FRXOG EH UHOHYDQW WR D JLYHQ UHVHDUFK TXHVWLRQ 6LQFH
GDWD VHWV DUH JURZLQJ ERWK LQ TXDQWLW\ DQG FRPSOH[LW\ ,5
VHDUFKHG IRU PRGHOV WR UHGXFH WKH GDWD VPRJ ZKLFK FRXOG
LQKLELWRXUGHFLVLRQPDNLQJSURFHVVHV
'LIIHUHQW PRGHOV DUH DFWXDOO\ LQ XVH LQ ,5 7R QDPH WKH
PRVW LPSRUWDQW VRPH RI WKHP DUH ORJLFDO DQG UHSUHVHQW
ZLWK D ³SUHIHUHQFH´ IXQFWLRQ 3871$0  +RZHYHU LI
ZH ZH ZDQW WR XQGHUVWDQG WKH UHDVRQ IRU WKH VXFFHVV RI
SUREDELOLVWLF DOJRULWKPV ZH KDYH WR VHDUFK HOVHZKHUH LW LV
LPPDQHQWWRWKHODQJXDJHLQLWVHOI
&KRPVN\
V JUDPPDU WKHRU\ LV GHWHUPLQLVWLF HYHU\
GRFXPHQWV DV VHWV RI VHQWHQFHV DQG ZRUGV 2WKHU PRGHOV DUH
JHRPHWULF WKH\ UHSUHVHQW GRFXPHQWV DV YHFWRUV LQ D JLYHQ
VSDFH )LQDOO\ ZH KDYH SUREDELOLVWLF PRGHOV ZKLFK UHSUHVHQW
WKH UHOHYDQFH RI D TXHU\ WR D GRFXPHQW DV D SUREDELOLVWLF
LQIHUHQFH,QDVHPLQDOZRUN.HLWKYDQ5LMVEHUJHQSURSRVHGD
XQLI\LQJ PRGHO ZKLFK EDVHV RQ TXDQWXP JHRPHWU\ 9$1
VXEVWLWXWLRQUXOHLVDSSOLHGZLWKDSUREDELOLW\GHJUHHRIZLWK 5,-6%(5*(1
WKHUHVXOWWKDWHDFKSURGXFWLRQIURPWKHUXOHVRIWKHJUDPPDULV
FHUWDLQ7KLVLVPDLQO\EHFDXVHWKHSRLQWRIYLHZLVJHQHUDWLYH 4XDQWXPJHRPHWU\LVXQGRXEWHGO\DJRRGFDQGLGDWHVLQFH
,IRXUSUREOHPLVQRWWRJHQHUDWHDQHZVHQWHQFHEXWWRSDUVH LWPHUJHVJHRPHWU\SUREDELOLW\DQGORJLFTXDQWXPIRUPDOLVP
DQH[LVWLQJRQHWKHQZHFRXOGH[SHULHQFHVRPHSUREOHPV H[WHQGV WKH (XFOLGHDQ VSDFH EDVHG YHFWRU PRGHO 960
WKH V\QWDFWLF FRYHUDJH RIIHUHG E\ DQ\ DYDLODEOH JUDPPDU LV FRPPRQO\XVHGLQDQG'DWD0LQLQJWRDQ+LOEHUWVSDFHEDVHG
LQFRPSOHWH  6XFK JUDPPDUV JHQHUDWHV D ODUJH QXPEHU RI
VSXULRXVDPELJXLWLHV
)RU H[DPSOH LQ WKH VHQWHQFH ³, VDZ WKH ERDW ZLWK WKH
WHOHVFRSH´WKHSUHSRVLWLRQDOSKUDVHZLWKWKHWHOHVFRSHLVPRVW
HDVLO\LQWHUSUHWHGDVWKHLQVWUXPHQWXVHGLQVHHLQJZKLOHLQ³,
RQH/,DQG&811,1*+$07KHODWWHUSURYLGHVPRUH
SRVVLELOLWLHVIRULPSURYLQJ,5PHWKRGV6HFRQGLWLVDIRUPRI
SUREDELOLW\ FDOFXOXV EDVHG RQ SUREDELOLW\ DPSOLWXGHV LH
VTXDUHURRWVRISUREDELOLW\YDOXHV7KLUGLWKDVDQLQQHUORJLF±
QDPHO\DTXDQWXPORJLFZKLFKVWUXFWXUHLVVLPLODUWRDERROHDQ
DOJHEUD H[FHSW IRU WKH GLVWULEXWLYLW\ D[LRPV VHH '$//$
VDZ WKH SROLFHPDQ ZLWK WKH ULIH´ WKH SUHSRVLWLRQDO SKUDVH &+,$5$DQG*,817,1,
XVXDOO\ UHFHLYHV D GLIIHUHQW LQWHUSUHWDWLRQ LQ ZKLFK WKH
SROLFHPDQKDVWKHULIH*(50$1DQG-2+1621
$VZHJXHVVODQJXDJHLVGHVSHUDWHO\DPELJXRXV)RUWKHVH
UHDVRQ DXWRPDWLF SDUVHV DVVRFLDWHV D FHUWDLQ GHJUHH RI
SUREDELOLW\ WR UXOHV GHULYDWLRQV DQG VHQWHQFHV LQ RUGHU WR
³ZHLJKW´ WKHP 6RPH RI WKHP ZLOO EH SRVVLEOH EXW OHVV
SUREDEOHWKDQRWKHUV)RUWKLVUHDVRQSUREDELOLVWLFDOJRULWKPV
DUH EHWWHU WKDQ GHWHUPLQLVWLF RQHV LQ ODQJXDJH UHFRJQLWLRQ

  ZLWKRXW LQWHUPHGLDWH GHJUHHV LQ IDFW WKH SDWLHQW FDQ RQO\ KDYH D
 $ VWRFKDVWLF ODQJXDJH LQWHUSUHWHG E\ D SUREDELOLVWLF
DXWRPDWRQ 3$ LV FKDUDFWHUL]HG E\ D UHDO QXPEHU (cut point) VXFK
V H[SHFWDWLRQV DERXW WKH
WKDW IRU DOO ZRUG ZKLFK FDXVH D VHTXHQFH RI VWDWH WUDQVLWLRQV WKH
SUREDELOLW\RI3$WREHLQDILQDOVWDWH6LVJUHDWHUWKDQ .
662
9 027,9$7,216
:K\ TXDQWXP WKHRU\" 7KHUH LV D QXPEHU RI OLQJXLVWLF
³SX]]OH´ZKLFKFDQEHH[SODLQHGLQWKLVIUDPH0DQ\RIWKHP


 $V DQ H[DPSOH RI WKH %D\HVLDQ QRWLRQ RI SUREDELOLW\ ZH FDQ
FRQVLGHU WKH UHSRUW RI D GRFWRU ZKLFK KDV D FHUWDLQ SUREDELOLW\ RI
EHLQJFRUUHFW7KHSUREDELOLW\RIWKHHYHQWRIDGLVHDVHLVFOHDUO\RU
WXEHUFXORVLVRUQRW7KHGHJUHHRISUREDELOLW\RIWKHFRUUHFWQHVVRIWKH
UHSRUW REYLRXVO\ UHIHUV RQO\ WR WKH GRFWRU
ERG\RIWKHSDWLHQW,WLVVXEMHFWLYHDQGGRHVQRWUHTXLUHWKHUHSHWLWLRQ
RIWKHHYHQW
FRQFHUQVVRPHVWUDQJHEHKDYLRUVFRQFHUQLQJVHPDQWLFVZKLFK GLVWLQJXLVKHU IHDWXUH RI VWUXFWXUDOLVP 0,/1(5  7KXV
VXJJHVWWRHPSOR\QRQFRPPXWDWLYHIRUPDO ODQJXDJHVWRPDS VWUXFWXUDOQRWLRQRIPHDQLQJLVQRWUHGXFLEOHWRWKHUHIHUHQWRI
WKHPLQWRDPRGHO WKH ZRUG RU WR WKH VSHDNHU
V NQRZOHGJH RU EHOLHIV ,Q RWKHU
WHUPVWKHIRUPXOD
A. The problem with the distributivity principle [ \ĺ‫]א\ุ]א[]׊‬
/HW XV VWDUW IURP D SUREOHP RI ERROHDQ DOJHEUD DSSOLHG WR
,5)RUH[DPSOHOHWXVFRQVLGHUWKHLQWHUVHFWLRQEHWZHHQELUGV GRHV QRW KROG LQ WKLV IUDPHZRUN 7KH VDPH KDSSHQV
[ DQG OL]DUGV \ ,W LV HPSW\ DV LW LV WKH RQH EHWZHHQ ELUGV TXDQWXPVHWWKHRU\7$.(87,IRUWKLVUHDVRQTXDQWXP
DQG KXPDQV ] 7KXV[ŀ\‫[׫‬ŀ]LV HPSW\ 1RZ LI ZH JHRPHWU\ VHHPV D JRRG UHVHDUFK GLUHFWLRQ WR VROYH WKLV
FRQVLGHU WKH XQLRQ EHWZHHQ OL]DUGV DQ KXPDQV ZH REWDLQ WKH SUREOHP
FODVV RI WKH YHUWHEUDWHV  7KH LQWHUVHFWLRQ EHWZHHQ ELUGV DQG
YHUWHEUDWHV [ŀ\‫ ]׫‬LV UHSUHVHQWHG E\ ELUGV :H REWDLQ DQ C. Meaning as a periodic function
LQHTXDOLW\ZKLFKGRHVQRWKROGLQFODVVLFDOORJLF $FFRUGLQJ WR VWUXFWXUDO VHPDQWLFV WKH VLPSOHVW VHPDQWLF
UHODWLRQVDUHDQWRQ\P\$9V%DQGFRQWUDGLFWLRQ$YVQRW
[ŀ\‫[]׫‬ŀ\‫[׫‬ŀ]
$7KXVJLYHQDVHPDQWLFWUDLW$ZHREWDLQ$%$DQG%±
7KH UHODWLRQV RI K\SRQ\P\ FDQ EH QRW GLVWULEXWLYH 7KLV *5(,0$6 $1' 5$67,(5  ,W LV SRVVLEOH WR ILQG
IDLOXUHRIWKHGLVWULEXWLYLW\ODZKROGVLQTXDQWXPORJLF FRPSOH[WHUPVERWK$DQG%QHXWUDOWHUPVQRW$RU%DQG
RWKHUNLQGRIPL[HGYDOXHV)RUH[DPSOHWKHDGMHFWLYH
SUHWW\

7KHUHDVRQOD\VLQWKHGLIIHUHQWEHKDYLRXURIGLVMXQFWLRQLQ LQ(QJOLVKFDUULHVWKHYDOXHQRWPDOHLHIHPDOHRUQHXWUDO
4XDQWXP 7KHRU\ GLIIHUHQWO\ IURP FODVVLFDO ELYDOHQW 7KH FRQWH[W VHOHFWV WKH YDOXH DPRQJ WKH YLUWXDO RQHV
VHPDQWLFV D TXDQWXP GLVMXQFWLRQ ; ّ < PD\ EH WUXH HYHQ LI 5$67,(5  $FFRUGLQJ WR 3RWWLHU H[SHULHQFH DOORZV
QHLWKHUPHPEHULVWUXH,QIDFWLWPD\KDSSHQWKDWDSXUHVWDWH PDQ\ LQWHUPHGLDWH QXDQFHV LQ PHDQLQJ WKH IRXU SRVLWLRQV
ȥEHORQJVWRDVXEVSDFH;ّ<HYHQLIȥEHORQJVQHLWKHUWR; ZRXOG RQO\ GHILQH WKH D[HV RI D SHULRGLF IXQFWLRQ ± HJ
QRUWR<'$//$&+,$5$DQG*,817,1,FK ³SUHVFULEHG YROXQWDU\ RSWLRQDO GLVFRXUDJHG EDQQHG
7KH QRQGLVWULEXWLYHQHVV LV UHIOHFWHG LQ TXDQWXP JHRPHWU\ DXWKRUL]HG SHUPLWWHG UHFRPPHQGHG SUHVFULEHG´ 3277,(5
E\QRQFRPPXWDWLYLW\WKHRUGHURIWKHRSHUDWLRQVLVUHOHYDQWDV  WKXV DOORZLQJ GLIIHUHQW GHJUHHV EHWZHHQ $ % $ %
LWFRQFHUQVWKHUHVXOW $V ZH ZLOO VHH TXDQWXP JHRPHWU\ DOORZV WKH FRQVWUXFWLRQ RI
VLPLODU SHULRGLF IXQFWLRQV 7KH UHDO SUREOHP LV KRZ WR PDS
B. The problem with the substitutivity principle. FRPSOH[VHPDQWLFPL[VXFKDV3RWWLHU
VH[DPSOHRQDJUDSK
,I ZH FRPSDUH WKH WHUP ³LVOH´ WR WKH WHUP ³LVODQG´ ZH /HW
V UHWXUQ WR RXU SUHYLRXV H[DPSOH $V ZH VDLG WKH
PLJKWEHOLHYHWKDWWKHILUVWLVDVKRUWIRUPRIWKHVHFRQG7KLV FRQWH[WGHFLGHVLIWKHYDOXHRIWKHDGMHFWLYH
SUHWW\
LVIHPDOH
ZRXOGOHDGWRDIDOVHHW\PRORJ\ RUQRWPDOHRUIHPDOHGHSHQGLQJRQWKHVXEVHTXHQWZRUGV±

D SUHWW\ JLUO

SUHWW\ ZRUGV
 ,I WKH VHTXHQW ZRUG LV
PDQ
 WKH
 WKH WHUP LVOH GHULYHV IURP /DWLQ LQVXOD WKURXJK WKH HIIHFWLVWRQHXWUDOL]HLWVYDOXHPDOHVRWRREWDLQDFKDXYLQLVW
)UHQFK LVOH $FFRUGLQJ WR GLIIHUHQW UHFRQVWUXFWLRQV LQVXOD MXGJPHQW 4XDQWXP JHRPHWU\ DOORZV XV WR VHH WKHVH UHODWLRQV
GHULYHVIURP³LQVDOR´LH³LQWKHVHD´ DVHQWDQJOHPHQWIXQFWLRQVEHWZHHQZRUGV:HFDQFRQVLGHUWKH
WKHWHUPLVODQGKDVDWRWDOO\GLIIHUHQWVWRU\DQGPHDQLQJ YDOXH RI D ZRUG DV
SUHWW\
 RU
PDQ
 LQ D PL[HG VWDWH ERWK
,WGHULYHVIURP2OG(QJOLVKƯHJODQG2QLWVWXUQODQGLVUHODWHG IHPDOHDQGQHXWUDOWLOOWKHLUUHODWLRQLQWKHFRQWH[WDFWXDOL]HV
WRWKH,QGR(XURSHDQURRWOHQGKZKHUHDVƯHJLVUHODWHGWRWKH RQH DPRQJ WKH SRVVLEOH YDOXHV RI WKH V\VWHP UHDOL]LQJ DQ
URRW
DNZƗZKLFKPHDQV³ZDWHU´LVODQG ZDWHUODQG DJUHHPHQWEHWZHHQWKHWZRZRUGVRQDSXUHVWDWH
1RZLIZHFRQVLGHUWKHFXUUHQWIUDPHZRUNRQPHDQLQJLQ
SKLORVRSK\ RI ODQJXDJH LVOH DQG LVODQG SRLQW WR WKH VDPH 9, 620(,17(5(67,1*7(&+1,&$/)($785(6
UHIHUHQFH DQG WKH\ FDQ EH VXEVWLWXWHG LQ HYHU\ FRQWH[W ,Q WKLV VHFWLRQ ZH ZLOO SUHVHQW WZR IHDWXUHV RI TXDQWXP
$FFRUGLQJ WR )UHJH
V VXEVWLWXWLYLW\ SULQFLSOH ZH VKRXOG DGPLW JHRPHWU\ ZKLFK FDQ EH XVHIXO LI DSSOLHG WR D PRGHO RI
WKH\ KDYH WKH VDPH PHDQLQJ 7KLV FRXOG EH WUXH LQ HYHU\GD\ ODQJXDJHVXSHUSRVLWLRQDQGHQWDQJOHPHQW:HZLOOQRWSUHVHQW
XVH RI WKH (QJOLVK ODQJXDJH EXW LW LV IDOVH LQ GLDFKURQLF WKH WKHRU\ LQ LWV FRPSOH[LW\ $W WKH ULVN RI DQ
OLQJXLVWLFV,QSDUWLFXODUVWUXFWXUDOOLQJXLVWLFVEDVHVRQVLPLODU RYHUVLPSOLILFDWLRQ ZH ZLOO WU\ WR SUHVHQW WKH EDVLF FORFNZRUN
FDVHVWRH[SODLQKRZOLQJXLVWLFHOHPHQWVGRQRWKDYHDSRVLWLYH LQ DQ HGXFDWLRQDO ZD\ EHFDXVH ZH DLP WR XQGHUOLQH WKH
LGHQWLW\ WKHLU YDOXH GHSHQGVRQ WKHLU SRVLWLRQ LQ WKH ODQJXDJH SKLORVRSKLFDOFRQVHTXHQFHVZKLFKFDQDULVHIURPWKHDGRSWLRQ
V\VWHP 6LQFH
LVOH
 DQG
LVODQG
 HYHQWXDOO\ RFFXSLHG WKH VDPH RIWKLVSRLQWRIYLHZ
SODFH LQ WKH V\VWHP WKH\ KDYH EHHQ DVVLPLODWHG HYHQ
RUWKRJUDSKLFDOO\ EHFDXVH RI D SULQFLSOH RI HFRQRP\ A. Superposition
0$57,1(7  7KLV QRWLRQ RI WKH UHODWLRQ EHWZHHQ
V\VWHP DQG HOHPHQWV LV D KLJKO\ LPSRUWDQW HSLVWHPRORJLFDO

VVD\WKDWUHOHYDQFHFDQEHVHHQDVD<HV1RTXHVWLRQLV

 :HFRXOGVD\WKDWWKH\FDQ
WEHVXEVWLWXWHGLQVFLHQWLILFFRQWH[WVRWKDWWKH
VXEVWLWXWLYLW\ SULQFLSOH LV VDIH 1HYHUWKHOHVV WKH ³VFLHQWLILF FRQWH[W´ LV WKH
PHWDODQJXDJHZHXVHWRDQDO\VHPHDQLQJDQGWKHSUREOHPLVSUHFLVHO\LIWKH
:H DUH LQWHUHVWHG LQ WKH SDUWLFXODU ZD\ LQ ZKLFK TXDQWXP
JHRPHWU\DVVLJQVSUREDELOLW\WRVHPDQWLFIHDWXUHVLQ,5PRGHOV
/HW


 ,5 PDNHV XVH RI WKH spectral theorem WR GHFRPSRVH FRPSOH[ TXHULHV LQWR
VXEVWLWXWLYLW\SULQFLSOHVKRXOGEHDGPLWWHGRUQRWLQWRWKLVPHWDODQJXDJH VLPSOHU<1TXHVWLRQV9$15,-6%(5*(1

663
WKHGRFXPHQW
+DSS\
VSL]]D
UHOHYDQWWRWKHTXHU\
FKLFNHQ
",Q B. Entanglement
TXDQWXP JHRPHWU\ DOWHUQDWLYH SRVVLELOLWLHV VXFK DV <1 DUH 7KH VDPH JHRPHWULFDO UHSUHVHQWDWLRQ FDQ EH XVHG WR
UHSUHVHQWHG DV RUWKRJRQDO VWDWHV :H ZLOO UHSUHVHQW WKH UHSUHVHQW VHPDQWLF UHODWLRQV DV FDVHV RI HQWDQJOHPHQW
GRFXPHQWDVLQILJ %$5526 72))$12 0(*8(%/, '2$1  *LYHQ
 WZR ZRUG DQG DQ DSSURSULDWH FKRLFH RI TXHU\ RSHUDWRUV D
YLRODWLRQ RI %HOO
V LQHTXDOLW\ &/$86(5 +251(
6+,021<+2/7ZRXOGUHSUHVHQWWKHUHDOL]DWLRQRID
UHOHYDQW VHPDQWLF ELQG EHWZHHQ WKH WZR ZRUGV LQ WKH JLYHQ
WH[W7KHIRUPXODRI%HOO
VLQHTXDOLW\LV
a
6B%HOO _($%($&__(%'(&'_
,Q,5WKHIRUPXODLVLQWHUSUHWHGLQWKLVZD\$%&DQG'
c DUH TXHU\ RSHUDWRUV ZLWK WZR ELQDU\ RXWFRPHV DQG ( ; <
b
 VWDQGV IRU WKH H[SHFWDWLRQ YDOXH RI WKH RXWFRPH RI PXWXDO
RSHUDWRUV ; DQG < $FFRUGLQJ WR WKHRU\ DQ HQWDQJOHPHQW
b
a  FRUUHODWLRQEHWZHHQWZRWHUPVLVUHDOL]HGZKHQ6B%HOO¥
  ,QRUGHUWRXQGHUVWDQGKRZWRUHSUHVHQWWKHWZRZRUGVZKRVH
UHOHYDQFH ZH DUH LQYHVWLJDWLQJ DQG ZKDW ZH PHDQ ZLWK
)LJXUH±3UREDELOLW\DVVLJQPHQWLQTXDQWXPJHRPHWU\ ³RSHUDWRU´ZHFDQKDYHDORRNDWILJ
,Q OLQH ZLWK WKH WHUPLQRORJ\ LQ XVH LQ TXDQWXP JHRPHWU\
UHOHYDQFH ZLOO EH VHHQ DV DQ RSHUDWRU U WKH HTXLYDOHQW RI DQ
REVHUYDEOHLQTXDQWXPSK\VLFV7KHGRFXPHQWLVUHSUHVHQWHGDV
WKHXQLWDU\YHFWRU_ȥۧZKRVHOHQJKLVF 7KHD[HVDUHWKH
WZR YHFWRUV _U ۧ ZKLFK UHSUHVHQWV WKH DQVZHU ³<HV´ WR WKH
TXHVWLRQDERXWWKHUHOHYDQFHRIWKHGRFXPHQWWRWKHTXHU\DQG
_U ۧ ZKLFK UHSUHVHQWV WKH RSSRVLWH DQVZHU WR WKH VDPH
TXHVWLRQ 7KH SURMHFWLRQ RI F RQWR _U ۧLV D DQG E LV WKH c
SURMHFWLRQ RI F RQWR _U ۧ 6LQFH F   WKHQ DFFRUGLQJ WR  
3\WKDJRUDV
WKHRUHPDAEA RULQWHUPVRIWULJRQRPHWULFDO
IXQFWLRQVFRVA șFRVA ij  7KXV LI S DQG S DUH WKH )LJXUH7KHGRFXPHQWLQWKHFRQWH[WRIWZRZRUGV$DQG
UHVSHFWLYH SUREDELOLWLHV RI WKH WZR DQVZHUV < DQG 1 ZH JHW %
WKDWSB FRVA șDQG SB FRVA ij 2Q WKHLU WXUQ D DQG E DUH ,Q WKH ILJXUH WKH WZR ZRUGV $ DQG % DUH GHILQHG DV WZR
FDOOHG DPSOLWXGHV RI SUREDELOLW\ LH VTXDUH URRWV RI PHDVXUHV GLIIHUHQWYHFWRULDOEDVHV‫פ‬Z$ۧDQG‫פ‬Z%ۧLQVHPDQWLFVSDFH:H
RI SUREDELOLW\ 7R H[HPSOLI\ WKH PHWKRG ZH UHSUHVHQWHG WKH VHHKRZWKHVHPDQWLFUHODWLRQEHWZHHQ$DQG%FDQEHGHILQHG
VLWXDWLRQLQDQ(XFOLGHDQWZRGLPHQVLRQDOVSDFHEXWWKLVZD\ DVDURWDWLRQRSHUDWRUDURXQGWKHDQJOHș
RI DVVLJQLQJ SUREDELOLWLHV FDQ EH HDVLO\ JHQHUDOL]HG WR Q
GLPHQVLRQVDQGWRD+LOEHUWVSDFH
9,, &219(5*(1&(6:,7+27+(5$3352$&+(6
,Q WKLV SHUVSHFWLYH SURSHUWLHV VXFK DV UHOHYDQFH DUH QRW
7KH DSSOLFDWLRQ RI TXDQWXP JHRPHWU\ WR ODQJXDJH VWXGLHV
³REMHFWLYHO\´SRVVHVVHGE\GRFXPHQWV7KHYHFWRU_ȥۧLQILJ
VHHPV SURPLVLQJ EHFDXVH LW FRXOG OHDG WR LQWHUHVWLQJ
LV LQ D FRKHUHQW VXSHUSRVLWLRQ RI FRQWUDGLFWRU\ VWDWHV <1
FRQYHUJHQFHV EHWZHHQ GLIIHUHQW SDUDGLJPV ORJLF VWUXFWXUDO
HDFK RQH GHILQHG E\ D GHILQHG DPSOLWXGH RI SUREDELOLW\ 7KH
VHPDQWLFV WKHRU\ RI FRPSXWDWLRQ $V ORJLF LV FRQFHUQHG ZH
UHOHYDQFHRSHUDWRU5³IRUFHV´DSURMHFWLRQRI_ȥۧLQWRRQHRIWKH
UHIHUWRVRPHUHFHQWZRUNRI0DULD/XLVD'DOOD&KLDUDDQGKHU
WZRSXUHQRWPL[HGPD[LPDOVWDWHV_U ۧRU_U ۧ*HQHUDOO\
SURSRVDO RI D KROLVWLF TXDQWXP VHPDQWLFV '$//$ &+,$5$
VSHDNLQJ WKH GRFXPHQW SURSHUWLHV DUH WKH UHVXOW RI WKHLU ,QKHURSLQLRQWKHWZRNH\FRQFHSWVRIVXSHUSRVLWLRQRI
LQWHUDFWLRQZLWKGLIIHUHQWRSHUDWRUVZKLFKSURMHFWRUURWDWHWKH
VWDWHV DQG HQWDQJOHPHQW FDQ EH WKH EDVLV WR IRXQG D VHPDQWLF
GRFXPHQWYHFWRULQWKHVHPDQWLFVSDFH:HZLOOUHWXUQODWHURQ
IUDPHZRUN LQ ZKLFK LW LV SRVVLEOH WR LQYHVWLJDWH WKH
WKH SKLORVRSKLFDO FRQVHTXHQFHV RI WKLV QRWLRQ RI ³PHDQLQJ´
SKHQRPHQRQ RI YDJXHQHVV 7KH VWDWH YHFWRU_ȥۧUHSUHVHQWV D
7KHRUGHULQZKLFKZHDSSO\WKHRSHUDWRUVWRWKHVWDWHYHFWRULV
FRPSOH[ LQIRUPDWLRQ RU DQ LGHD DQG LWV VXSHUSRVHG
UHOHYDQWQRQFRPPXWDWLYH
FRPSRQHQWVFDQEHVHHQDVDOWHUQDWLYHLQIRUPDWLRQVZKLFKDUH
$ VHFRQG SRLQW LV LPSRUWDQW WKLV DSSURDFK KDV D VWURQJ DOO YLUWXDOO\ SUHVHQW LQ WKH FRQWH[W_ȥۧ HDFK RQH ZLWK LWV
FRQQHFWLRQ WR VWUXFWXUDO VHPDQWLFV $ VWUXFWXUDO DQDO\VLV LQ DPSOLWXGH RI SUREDELOLW\ 7KH VWDWH YHFWRU_ȥۧLV D FRPSOH[
VHPDQWLFVFDQEHVHHQDVDVHULHVRITXHVWLRQVVXFKDV³,VWKH PHDQLQJ ZKLFK VXJJHVW RWKHU PHDQLQJV DV LW KDSSHQV LQ
VHPHPDOHSUHVHQWLQWKHVHPHPH
SUHWW\
"´7KLVZD\ZHFDQ SRHWU\ $V HQWDQJOHPHQW LV FRQFHUQHG LI % DQG & UHSUHVHQWV
JHQHUDOL]H WKH PHWKRGV SURSRVHG LQ ,5 WR DQ LQTXLU\ LQWR WKH WZR HQWDQJOHG SDUW RI WKH GRFXPHQW WKHQ % QRU & FDQ EH
VHPDQWLF GLPHQVLRQ RI ODQJXDJH DW D SULFH WKDW UHOHYDQFH UHSUHVHQWHG E\ SXUH VWDWHV DQG %  & LV D PD[LPDO
EHFRPHVDPHWDVHPDQWLFSURSHUW\ LQIRUPDWLRQ 7KH PHDQLQJ RI WKH ZKROH GRFXPHQW GHWHUPLQHV
WKHPHDQLQJRILWVSDUWVQRWYLFHYHUVD'DOOD&KLDUD
VH[DPSOH
 LV SDUWLFXODUO\ HYRFDWLYH VKH UHIHUV WR WKH PHDQLQJ RI

:HXVH'LUDF
VQRWDWLRQ

664
/HRSDUGL
V FRPSRVLWLRQ /
LQILQLWR ZKLFK FDQ
W EH FRQVLGHUHG 4XDQWXP FRPSXWDWLRQ DVVXUHV WR D TXDQWXP VHPDQWLFV D
MXVW D VXP EHWZHHQ WKH PHDQLQJ RI LWV YHUVHV 7KLV EDVLV RI FDOFXOXV ZKLFK ZDV RQH RI WKH DLP RI VHPLRWLF
LQWHUSUHWDWLRQ RI TXDQWXP IRUPDOLVP LV LQWHUHVWLQJ LQ VHPLRWLF
WHUPVEHFDXVHWKHDXWKRUJHQHUDOL]HVLWIURPODQJXDJHWRRWKHU
V\VWHPVRIVLJQVVXFKDVPXVLF7KHGLIIHUHQFHEHWZHHQ'DOOD
&KLDUD
V DSSURDFK DQG VHPLRWLFV FRQVLVW LQ WKH IDFW WKDW
HSLVWHPRORJ\+,(/06/(9)XUWKHUPRUHLWLVSRVVLEOH
WRGHVLJQDTXDQWXPJHQHUDWLYHJUDPPDUZKLFKJHQHUDWHVWKH
NLQG RI IRUPDO ODQJXDJHV ZKLFK FDQ EH LQWHUSUHWHG E\ D
TXDQWXP DXWRPDWRQ 0225( DQG &587&+),(/' 
PHDQLQJLVFRQVLGHUHGDVH[WHUQDOWRODQJXDJH±LWLVDFRQFHSW &+(1*DQG:$1*7KLVNLQGRIJUDPPDULVVLPLODUWR
RUDUHIHUHQWQRWQHFHVVDULO\OLYLQJLQ+LOEHUW
VVSDFH'$//$ DSUREDELOLVWLFRQHZLWKWKHPDLQGLIIHUHQFHWKDWDQDPSOLWXGH
&+,$5$ *,817,1, /(''$ /(325,1, 6(5*,2/, RISUREDELOLW\LVDVVRFLDWHGWRHDFKUXOH7KHIHDVLELOLW\RIWKLV
 +RZHYHU WKH QRWLRQ RI LQIRUPDWLRQ VHHPV WR RIIHU D JUDPPDU SOD\V DQ LPSRUWDQW UROH EHFDXVH LW DOORZV WKH
EULGJHWRWKHLPPDQHQWUHODWLRQDOQRWLRQRIPHDQLQJZKLFKLV JHQHUDWLRQ RI WKH UHFXUVLYH VWUXFWXUHV RI PHDQLQJ VXFK DV WKH
FXUUHQW LQ VHPLRWLFV LQ JHQHUDO DQG LQ VWUXFWXUDO VHPDQWLFV LQ VHOIHPEHGGHGRQHVWKDWIHDWXUHWKHV\QWD[RIQDWXUDOODQJXDJH
SDUWLFXODUPHDQLQJLVQRWQHFHVVDULO\DVHWRIVWDWHVRITXDQWXP &+206.<  DQG EHFDXVH LW FRXOG EH HDVLO\ HPSOR\HG
REMHFWV DV 9RQ 1HXPDQ FRQVLGHUHG LW 2Q WKH FRQWUDU\ WRGHYHORSQHZOLQJXLVWLFDSSOLFDWLRQVLQDUWLILFLDOLQWHOOLJHQFH
PHDQLQJLVDPL[WXUHRI4ELWV'$//$&+,$5$*,817,1,
/(325,1, B. Biological evidences?
4XDQWXP JHRPHWU\ LV D IRUPDO PRGHO ,W GRHVQRWQHHGRI
A. From quantum automata to quantum grammars DQ\³TXDQWXPVXSSRUW´WRZRUNWKHRQO\FULWHULRQWRMXGJHLV
7KLVOHDGVXVWRWKHFRQYHUJHQFHVZLWKFRPSXWDWLRQWKHRU\ LWV DGHTXDWHQHVV WR WKH REMHFW ZH DUH VWXG\LQJ ODQJXDJH DQG
VLQFH 'DOOD &KLDUD
V ORJLF LV D IRUPDOL]DWLRQ RI TXDQWXP PHDQLQJ 7KH VHFRQG RQH LQ SDUWLFXODU LV VXFK D YDJXH
FRPSXWDWLRQ LQ ZKLFK SURSRVLWLRQV UHSUHVHQWV V\VWHPV RI SKHQRPHQRQUHVLOLHQWWRDQ\DWWHPSWWRGHILQHLWDVLWLVSOHQW\
4ELWV ZKLOH ORJLFDO FRQQHFWLYHV DUH LQWHUSUHWHG DV VSHFLDO RISKLORVRSKLFDOFRQVHTXHQFHV±WKHVDPHFDQEHVDLGRIRWKHU
TXDQWXP ORJLFDO JDWHV '$//$ &+,$5$ *,817,1, SKLORVRSKLFDO EUDLQ WHDVHUV DV WKH ³PLQG´ ,Q VRPH WUDGLWLRQV
/(''$ /(325,1, 6(5*,2/,  7KH FRQFHSW RI
XQLYHUVDO TXDQWXP FRPSXWHU ZDV GHVLJQHG E\ 'DYLG 'HXWVFK
WR VXJJHVW D VWURQJHU QRWLRQ RI WKH &KXUFK7XULQJ WKHVLV $
8QLYHUVDO TXDQWXP FRPSXWHU VKRXOG EH FDSDEOH RI HIILFLHQWO\
VLPXODWLQJ DQ DUELWUDU\ SK\VLFDO V\VWHP TXDQWXP PHFKDQLFV
VXFK DV LQ VWUXFWXUDO VHPLRWLFV WKH TXHVWLRQ ZKHWKHU WKH WKH
IRUPDO PRGHOV RQ PHDQLQJ KDYH VRPHWKLQJ WR GR ZLWK RXU
ELRORJLFDO RUJDQL]DWLRQ LV FRQVLGHUHG LUUHOHYDQW DQG VRPHKRZ
PLVOHDGLQJ VLQFH ³1DWXUH&XOWXUH´  LV RQ LWV WXUQ D JHQHUDO
WUDQVFXOWXUDORSSRVLWLRQZKLFKSURGXFHVVXEMHFWVIRUH[DPSOH
LQFOXGHG 1,(/6(1 $1' &+8$1*    7KXV WKH UHVHDUFKHUV LQ ELRORJ\ DQG WKHLU DFWLRQV LQVLGH LWV VHPDQWLF
IUDPHZRUNRI4&LVDUHVHDUFKTXHVWLRQRQWKHFRPSXWDWLRQDO
SRZHURIDWKHRUHWLFDODEVWUDFWPDFKLQH7KHLQIRUPDWLRQXQLW
LVWKH4ELWZKLFKFDQDVVXPHHYHU\PL[HGVWDWHEHWZHHQDQG
 DQG ZKLFK FDQ EHGHVFULEHG LQ WHUPV RI TXDQWXP JHRPHWU\
7KH FRPSXWDWLRQV RI WKHVH DEVWUDFW PDFKLQHV DUH H[HFXWHG RQ
YHFWRU VWDWHV ZKLFK DUH UHJLVWHUV RI 4ELWV WKH\ DUH FDSDEOH RI
FRPSXWLQJ HQWDQJOHG VWDWHV EHWZHHQ 4ELWV 7KLV NLQG RI
DEVWUDFW PDFKLQH FDQ EH FRQVLGHUHG D VSHFLDO NLQG RI
SUREDELOLVWLF PDFKLQH 7KH PDLQ GLIIHUHQFH FRQVLVWV LQ WKDW D
SUREDELOLVWLF 7XULQJ PDFKLQH FDQ H[HFXWH RQO\ D VLQJOH ZDON
EHWZHHQ LWV LQWHUQDO VWDWHV ,I WKH ZDONV DUH Q WKHQ WKH
SUREDELOLW\ RI HDFK ZDON LV Q 2Q WKH FRQWUDU\ WKH
FRPSXWDWLRQ RI D 4XDQWXP FRPSXWHU HYROYHV WKURXJK D
FRKHUHQWVXSHUSRVLWLRQRIWKHGLIIHUHQWDOWHUQDWLYHZDONV6RPH
RI WKHVH ZDONV FDQ LQWHUIHUH FRQVWUXFWLYHO\ HQKDQFLQJ WKH
VSDFH %$67,'( DQG )$%%5,  0$5521( 
8QGRXEWHGO\KXPDQEHLQJVGHYHORSHGWKLVNLQGRIPDWKHPDWLF
ODQJXDJH KRZ WR GHQ\ WKDW LW LV DW OHDVW XQGHUVWDQGDEOH E\
KXPDQ EUDLQV" +RZHYHU D FODVVLF DUJXPHQW DJDLQVW WKH
DSSOLFDWLRQ RI TXDQWXP PRGHOV WR ODQJXDJH FRQFHUQV WKHLU
³FRPSXWDELOLW\ E\ EUDLQ KDUGZDUH´ WR XVHG DQ LQWHUHVWLQJ
FXOWXUDO PHWDSKRU6LQFHZHDUHFRQVLGHULQJWKHFRQYHUJHQFHV
EHWZHHQ GLIIHUHQW DSSURDFKHV DOORZHG E\ TXDQWXP JHRPHWU\
WKH TXHVWLRQ PXVW EH FRQVLGHUHG UHOHYDQW WR D QHXURFRJQLWLYH
SHUVSHFWLYH ,I QDWXUDO ODQJXDJH LV D SURGXFWLRQ RI D KXPDQ
EUDLQLWFDQEHDVNHGLIWKLVEUDLQLVGHWHUPLQLVWLFSUREDELOLVWLF
RU D TXDQWXP GHYLFH 7KH TXHVWLRQ KDV EHHQ SRVHG WR 5RJHU
3HQURVH WKH FKDPSLRQ RI WKH TXDQWXP PLQG VXSSRUWHUV LQ D
QRQVFLHQWLILFPRQRJUDSKKHSURSRVHGWRLGHQWLI\WKHELRORJLFDO
ORFXV ZKHUH SK\VLFDO TXDQWXP VXSHUSRVLWLRQV WDNH SODFH ZLWK
SUREDELOLW\ RI D FHUWDLQ UHVXOW RU GHVWUXFWLYHO\ JLYLQJ D QXOO WKH PLFURWXEXOHV ZLWKLQ QHXURQV 3(1526(  7KLV
UHVXOW/83$&&+,1,6HHILJ
K\SRWKHVLV KDV QHYHU EHHQ SURYHG 0DQ\ SK\VLFLDQV ZHUH
VNHSWLFDO DERXW WKH SRVVLELOLW\ RI PDLQWDLQLQJ TXDQWXP
FRKHUHQFH IRU ORQJ WLPHVFDOHV DW SK\VLRORJLFDO WHPSHUDWXUH
+RZHYHUUHFHQWVWXGLHVGHPRQVWUDWHGVXFKTXDQWXPSURFHVVHV
VXSSRUWHG E\ WKH FKURPRSKRUHV RI WKH SODQWV LQ WKH
SKRWRV\QWKHVLV RI FKORURSK\OO VHH IRU H[DPSOH +,/'1(5
%5,1.6 1,('(5 &2*'(// 9$1 +8/67  LW KDV
DOVR EHHQ SURSRVHG WR XVH WKHP IRU FRPSXWDWLRQ SXUSRVHV
VLQFH LW LV VWLOO XQFOHDU ZKHQ UHVHDUFKHV RQ PRUH H[SHQVLYH
 WHFKQRORJLHV ZLOO OHDG WR LQGXVWULDO DSSOLFDWLRQV :$1*
3TT SSSS 3TT _FFFF_ /(%(&. ':<(5  1HYHUWKHOHVV WKH DQVZHU WR WKH
SUREOHPRIWKHELRORJLFDOSODXVLELOLW\RITXDQWXPPRGHOVLVVWLOO
)LJXUH±3UREDELOLVWLF9V4XDQWXP$XWRPDWRQDGDSWHG XQFOHDU DQG WKH DXWKRU RI WKH SUHVHQW VWXG\ GRHV QRW WDNH D
IURP/83$&&+,1, SRVLWLRQRQWKLVVXEMHFW

665
C. Language Vs. Support
7KH SUREOHP ZH DUH GLVFXVVLQJ LV VLPLODU WR WKH RQH ZH
DOUHDG\ PHW LQ WKH FDVH RI SUREDELOLVWLF DXWRPDWD 4XDQWXP
DOJRULWKPV LQ ,5 GR QRW QHHG WR ZDLW IRU WKH LQYHQWLRQ RI D
TXDQWXP PDFKLQH WR ZRUN $W WKH SUHVHQW WKH\ DUH VLPXODWHG
E\ GHWHUPLQLVWLF ILQLWH DXWRPDWD VXFK RXU FRPSXWHUV 7KH
UHDVRQIRUWKHLUHIILFLHQF\KDVWREHVHDUFKHGLQODQJXDJHQRW
LQ WKH KDUGZDUH ZH XVH $V ZH DOUHDG\ VDLG ODQJXDJH LV
DPELJXRXV DQG YDJXH LQ LWVHOI )XUWKHUPRUH LWV VHPDQWLFV LV
QRWGLVWULEXWLYH DQG QRWFRPPXWDWLYH $QRWKHU UHDVRQ LV PRUH 
SKLORVRSKLFDODQGLWLVUHODWHGWRWKHGHILQLWLRQRI³UHOHYDQFH´ )LJXUH  ± 5HODWLRQ EHWZHHQ OLQJXLVWLF LPPDQHQFH DQG
ZKLFK LV WKH FRUHFRQFHSW RI ,5 5HOHYDQFH LV D SUREOHP IRU
FODVVLFDOORJLFJLYHQWKHIDFWWKDWDFRQGLWLRQDODV³LIWKHPRRQ
LVPDGHRIURFN$PHULFDZDVGLVFRYHUHGLQ´LVWUXHHYHQ
LIWKHFRQGLWLRQLVLUUHOHYDQWWRWKHFRQFOXVLRQ)XUWKHUPRUHWKH
UHOHYDQFH RI D GRFXPHQW GHSHQGV RQ D SRLQW RI YLHZ RQ WKH
REVHUYHU
V EHOLHYHV YDOXHV HSLVWHPRORJ\ )RU H[DPSOH LQ
,WDO\ HYHU\ SDJH RQ ³SL]]D´ ZRXOG EH LUUHOHYDQW WR D TXHU\
DERXW ³FKLFNHQV´ EHFDXVH FKLFNHQ SL]]D LV DQ DOLPHQWDU\
WDERR /HW XV TXRWH D EULOOLDQW H[DPSOH IURP WKH :LNLSHGLD
SDJHDERXWUHOHYDQFH³,I\RXVXEVFULEHWRWKHHSLVWHPRORJ\RI
HPSLULFLVPWKHQRQO\LQWHUVXEMHFWLYHO\FRQWUROOHGREVHUYDWLRQV
DUH UHOHYDQW ,I RQ WKH RWKHU KDQG \RX VXEVFULEH WR IHPLQLVW
HSLVWHPRORJ\WKHQWKHVH[RIWKHREVHUYHUEHFRPHVUHOHYDQW´
UHIHUHQFHWRFRQFHSWVDQGRUREMHFWV6RXUFH5$67,(5
6LQFH LW KDV D WKLFN LPPDQHQW GLPHQVLRQ TXDQWXP
VHPDQWLFV FDQ EH LQWHUSUHWHG LQ WKH OLJKW RI WKH VWUXFWXUDO
VHPDQWLF FDWHJRULHV ,Q SDUWLFXODU WKH UHODWLRQ EHWZHHQ WKH
FRPSOH[VWDWHYHFWRUVDQGWKHLUHOHPHQWVFDQEHDVVLPLODWHGWR
WKH RQH EHWZHHQ VHPHPHV DQG VHPHV 7KXV HYHU\ UHODWLRQ
EHWZHHQ VHPHV FDQ EH VHHQ DV WKH UHVXOW RI DQ LQWHUDFWLRQ
EHWZHHQWKHGRFXPHQWYHFWRUVRPHYHFWRULDOEDVHVDQGRQHRU
PRUH RSHUDWRUV ZKLFK SHUIRUPV SURMHFWLRQV RU URWDWLRQV LQ
VHPDQWLF VSDFH 7KLV SRLQW RI YLHZ RQ PHDQLQJ KDV WKH
DGYDQWDJH RI EHLQJ SURFHVVXDO LW FDWFKHV WKH PHDQLQJ DV LW
SURGXFHG E\ WKH WH[W ± LW LV D PRUSKRG\QDPLF SHUVSHFWLYH
7KXVUHOHYDQFHLVDVRUWRIUHODWLRQDOSURSHUW\GRFXPHQWVDUH
QRW UHOHYDQW SHU VH EXW RQO\ LQ UHODWLRQ WR D VHULHV RI YDOXHV
ZKLFKUHPDLQPDLQO\XQH[SUHVVHGE\DFHUWDLQTXHU\)RUWKLV
UHDVRQ HYHU\ DOJRULWKP DERXW UHOHYDQFH ZLOO VWDUW IURP D WH[W
ZKLFKLVLQDIXQGDPHQWDOXQGHWHUPLQHGVWDWH,QGHWHUPLQDWLRQ
LVDIHDWXUHRIWKHLPPDQHQWGLPHQVLRQRIWH[WV
3(7,727
+RZHYHU DOO WKLV LV QRW VXIILFLHQW WR FKDUDFWHUL]H PHDQLQJ
LQDTXDQWXPSHUVSHFWLYHDFFRUGLQJWRWKHPRGHOPHDQLQJLV
QRW D IHDWXUH SRVVHVVHG ³REMHFWLYHO\´ E\ D GRFXPHQW 7KH
GRFXPHQWLVLQDFRKHUHQWVXSHUSRVLWLRQRIFRQWUDGLFWRU\VWDWHV
WLOO ZH GR QRW SXW LW LQ UHODWLRQ WR RQH RU PRUH RSHUDWRUV
9,,, &21&/86,21
V LQHTXDOLW\ ZH GLVFRYHU WKDW WKH
,QFRQFOXVLRQLWFRXOGEHLQWHUHVWLQJWRXQGHUOLQHZKDWNLQG
RI FRQFHSWLRQ RI ³PHDQLQJ´ LV GHSLFWHG LQ D TXDQWXP
IUDPHZRUN)LUVWRIDOOWKHH[SUHVVLRQ³VHPDQWLFVSDFH´LVQRW
DPHWDSKRU,WLVDJHRPHWULFDOVSDFHDQGHYHU\RQHUHIHUVWRLW
³REVHUYDEOHV´ LQ WHUPV RI FODVVLFDO TXDQWXP WKHRU\ ,I ZH
ORRN EDFN WR %HOO
HQWDQJOHPHQWVWDWHGHSHQGVPDLQO\RQWKHFKRLFHRIWKH³ULJKW´
RSHUDWRUV 7KLV SRLQW LV SX]]OLQJ IURP D SKHQRPHQRORJLFDO
SRLQW RI YLHZ 0HDQLQJ VHHPV WR LPSO\ DQ LPSHUVRQDO VHW RI
WUDQVIRUPDWLRQVWREHDFWXDOL]HG)UDQFHVFR0DUVFLDQLFDOOVWKLV
VKRXOGVSHFLI\ZKDWNLQGRIVSDFHLVZKDWLVLWVGLPHQVLRQDOLW\
HWF :H DUH SUHSDUHG WR WKLV VFHQDULR PDNLQJ XVH RI
VQRVLJQLILFDWLRQDWDOO7KLVLPSOLHVDQLQVWDQFH
FDWDVWURSKH WKHRU\ WR EXLOG XS KLV PRGHO RI VHPDQWLFV 3HWLWRW
HPSOR\HG DQ (XFOLGHDQ VSDFH ZLWK D PD[LPXP RI VHYHQ
D SULQFLSOH RI LQKHUHQFH 0$56&,$1,  VLJQLILFDWLRQ LV
DFWXDORUWKHUH
WR ZKLFK RU LQ IURQW RI ZKLFK VLJQLILFDWLRQ KDV D YDOXH DV
DUWLFXODWHGPHDQLQJ7KHSUREOHPLVWKHQDWXUHRIWKLVSROHRI
GLPHQVLRQV 3(7,727  ,Q TXDQWXP JHRPHWU\ ZH GHDO
ZLWKDQ+LOEHUWVSDFHZLWKDXQOLPLWHGQXPEHURIGLPHQVLRQWR
UHSUHVHQWWKHULFKQHVVRIWKHVHPDQWLFUHODWLRQVZHFDQILQGLQD
WH[W ,Q WKLV VSDFH PHDQLQJ FDQ EH VHHQ DV D FRQWLQXRXV
SHULRGLF IXQFWLRQ 0HDQLQJ DULVHV IURP WKH UHODWLRQV SRVHG E\
WKH GRFXPHQW EHWZHHQ WKH HOHPHQWV RI WKH WH[W ,Q SDUWLFXODU
WKHDPSOLWXGHVRISUREDELOLW\DUHQRWUHIHUUHGWRH[WUDOLQJXLVWLF
WKH PHDQLQJ IXQFWLRQ LW LV GLIILFXOW WR UHSUHVHQW LW LQ WHUPV RI
FODVVLFDO HQXQFLDWLRQ WKHRU\ DV DQWKURSRPRUSKRXV LQVWDQFHV
VXFKDVWKHHQXQFLDWRUDQGWKHHQXQFLDWHHRIWKHWH[W$IWHUDOO
RXU RSHUDWRUV DUH PDWULFHV DQG QRW KXPDQ VXEMHFWV ZKLFK
DOWHUQDWHVWKHPVHOYHVLQWKHWZRSRVLWLRQVRIWKH³VSHDNHU´DQG
WKH ³KHDUHU´ 2SHUDWRUV OHW HPHUJH PHDQLQJIXO UHODWLRQVKLSV
ZLWKRXW UHTXLULQJ DQ\ H[SOLFLW KXPDQ MXGJPHQW 7KH LQWHU
HOHPHQWV UHIHUHQWV RU FRQFHSWV EXW WR WKH UHODWLRQV EHWZHHQ
WKH SDUWV RI WKH ODQJXDJH LQ D VHQVH ZKLFK H[WHQGV &DUQDS
V DSSOLFDWLRQRIDPDWUL[WRDYHFWRULVQRWDPDWWHURISUDJPDWLFV
FRQFHSWLRQ RI SUREDELOLW\ IURP WKH HQXQFLDWHV WR WKHLU
FRPSRQHQWV 6LQFH WKHVH UHODWLRQV DUH RI HQWDQJOHPHQW
PHDQLQJ LV QRW FRPSRVLWLRQDO 7KLV QRWLRQ RI PHDQLQJ LV ILUVW
RI DOO LPPDQHQW WR WKH WH[W LQ D VHFRQG PRPHQW LW IL[HV
VXEMHFWLYHGLPHQVLRQRIPHDQLQJLVQRWDVRFLDOIHDWXUHDQGWKH
LW LV PRUH WKH FRQGLWLRQ RI SRVVLELOLW\ RI VXEMHFWLYLW\
6XEMHFWLYLW\DVDSKHQRPHQRQLVSURGXFHGLQVLGHWKHVHPDQWLF
VSDFHRSHQHGE\WKHLQWHUDFWLRQEHWZHHQWKHGRFXPHQWDQGWKH
³REVHUYDEOHV´7KHODWWHUUHSUHVHQWWKHRQO\SRVVLEOHKDQGKROG
VRPHWLPHV PRUH SUHFLVHO\ VRPH RWKHUV PRUH YDJXHO\ D WRDFFHVVPHDQLQJWRGLVFORVHLWVGLPHQVLRQ:HDUHWHPSWHGWR
UHIHUHQFHLQDVHWRIFRQFHSWVDQGRUREMHFWV±VHHILJ7KLV LGHQWLI\ WKHP ZLWK ³LQWHQWLRQDOLW\´ FRQVLGHUHG LQ LWVHOI DV D
SRLQWRIYLHZRQWKHWZRVHPDQWLFGLPHQVLRQVLQVLGHWH[WV9V JHQHUDOIXQFWLRQRIPHDQLQJIXOQHVVZKLFKFDQEHFDXJKWE\DQ
LQVLGHZRUOGKDVEHHQDOUHDG\SURSRVHGLQVWUXFWXUDOVHPDQWLFV REVHUYHUDQGOLYHGDVFRQVWDQWWUDQVIRUPDWLRQRIPHDQLQJ
5$67,(5


666
 %$5%,(5, &,77, &2&&, 6$57,  ³$ &RUWLFDO,QVSLUHG /$.2))*HRUJHDQG-2+16210DUN3KLORVRSK\,Q7KH)OHVK
*HRPHWU\IRU&RQWRXU3HUFHSWLRQDQG0RWLRQ,QWHJUDWLRQ´LQ-0DWK,PDJLQJ WKH(PERGLHG0LQGDQGLWV&KDOOHQJHWR:HVWHUQ7KRXJKW1HZ<RUN%DVLF
9LVSS± %RRNV
%$5526 72))$12 0(*8(%/, '2$1  &RQWH[WXDO 4XHU\ /L <DR\RQJ DQG &811,*+$0 +DPLVK  ³*HRPHWULF DQG
8VLQJ%HOO7HVWV4,/1&6SS 4XDQWXP0HWKRGVIRU,QIRUPDWLRQ5HWULHYDO´LQ$&06,*,5)RUXP9RO
1RSS
%$67,'()UDQoRLVHDQG)$%%5,3DROR([SORUDWLRQGXFURLUH
GDQVOHGRPDLQHVFLHQWLILTXH5LPLQL*XDUDOGL /81'.HYLQDQG%85*(66&XUW³3URGXFLQJKLJKGLPHQVLRQDO
VHPDQWLF VSDFHV IURP OH[LFDO FRRFFXUUHQFH´ LQ %HKDY 5HV 0HWK ,QVWUXP
%58=$ 3' DQG :22'6 -  ³4XDQWXP FROODSVH LQ VHPDQWLF &RPSXWSS±
VSDFH LQWHUSUHWLQJ QDWXUDO ODQJXDJH DUJXPHQWDWLRQ´ LQ 3URFHHGLQJV RI WKH
6HFRQG4XDQWXP,QWHUDFWLRQ6\PSRVLXP4, /83$&&+,1, 5RVVHOOD  (OHPHQWL GL FRPSXWD]LRQH TXDQWLVWLFD
%RORJQD&/8(%
&$51$3 5XGROI  /RJLFDO )RXQGDWLRQV RI 3UREDELOLW\ VHFRQG
HGLWLRQ&KLFDJR7KH8QLYHUVLW\RI&KLFDJR3UHVV 0$5521(*LDQIUDQFR$GGLRDOODQDWXUD7RULQR(LQDXGL
&+(1*:DQG:$1*-³*UDPPDU7KHRU\%DVHGRQ4XDQWXP 0$56&,$1, )UDQFHVFR  ³6RJJHWWLYLWj H LQWHUVRJJHWWLYLWj WUD
/RJLF´LQ,QWHUQDWLRQDO-RXUQDORI7KHRUHWLFDO3K\VLFV9RO1R VHPLRWLFD H IHQRPHQRORJLD´ LQ LQ /(21( 0 H 3H]]LQL , >HGV@ 6HPLRWLFD
GHOOHVRJJHWWLYLWj3HU2PDU,VDJJLGL/H[LDQ5RPD$UDFQH
&+206.<1RDP6\QWDFWLF6WUXFWXUHV7KH+DJXH0RXWRQ
0$57,1(7$QGUp³)XQFWLRQ6WUXFWXUHDQG6RXQG&KDQJH´LQ
&+206.< 1RDP  ³)RUPDO 3URSHUWLHV RI *UDPPDU´ LQ :RUGYROQSS±
'81&$1/XFH%86+DQG*$/$17(5>HGV@+DQGERRNRI0DWKHPDWLFDO
3V\FKRORJ\1HZ<RUNDQG/RQGRQ-RKQ:LOH\DQG6RQV,QFSS± 0,/1(5-HDQ&ODXGH/H3pULSOHVWUXFWXUDO)LJXUHVHWSDUDGLJPH
/DJUDVVH9HUGLHU
&/$5. 6 DQG 38/0$1 6  ³&RPELQLQJ V\PEROLF DQG
GLVWULEXWLRQDOPRGHOVRIPHDQLQJ´LQ3URFHHGLQJVRI$$$,6SULQJ6\PSRVLXP 0225(&KDQG&587&+),(/'-3 ³4XDQWXP DXWRPDWDDQG
RQ4XDQWXP,QWHUDFWLRQ$$$,3UHVV TXDQWXPJUDPPDUV´LQ7KHRUHWLFDO&RPSXWHU6FLHQFHSS
&/$86(5+251(6+,021<+2/7³3URSRVHGH[SHULPHQWWR 1,(/6(1 0LFKDHO $ DQG &+8$1* ,6$$& /  4XDQWXP
WHVW ORFDO KLGGHQYDULDEOH WKHRULHV´ 3K\V 5HY /HWW $PHULFDQ 3K\VLFDO &RPSXWDWLRQ DQG 4XDQWXP ,QIRUPDWLRQ &DPEULGJH 8. &DPEULGJH
6RFLHW\SS 8QLYHUVLW\3UHVV
'$//$ &+,$5$ 0DULD /XLVD  ³'DOOD WHRULD GHOO ¶LQIRUPD]LRQH 3(1526( 5RJHU  6KDGRZV RI WKH 0LQG 2[IRUG 2[IRUG
TXDQWLVWLFDDOODVHPDQWLFDGHOODPXVLFD´LQ3LDQHWD*DOLOHRSS 8QLYHUVLW\3UHVV
'$//$ &+,$5$ 0DULD /XLVD DQG *,817,1, 5LFFDUGR  3(7,727-HDQ0RSUKRJHQHVLVRIPHDQLQJ%HUQ3HWHU/DQJ
³4XDQWXP ORJLFV´ LQ *$%%$< '0 *8(17+(5 ) >HGV@ +DQGERRN RI
3KLORVRSKLFDO/RJLFYRO'RUGUHFKW.OXZHU$FDGHPLF3XEOLVKHUVSS± 3,&$5',(YD/HWHRULHGHOVLJQLILFDWR%DUL/DWHU]D
 3277,(5 %HUQDUG  6pPDQWLTXH JpQHUDOH 3DULV 3UHVV
'$//$&+,$5$*,817,1,/(''$/(325,1,6(5*,2/, 8QLYHUVLWDLUH)UDQFDLVH
³(QWDQJOHPHQWDVDVHPDQWLFUHVRXUFH´LQ)RXQGDWLRQVRI3K\VLFV9ROXPH 3871$0 +LODU\  ³7KH QDWXUH RI PHQWDO VWDWHV´ LQ 0LQG
,VVXHSS /DQJXDJH DQG 5HDOLW\ SKLORVRSKLFDO SDSHUV YRO ,, &DPEULGJH 8.
(&2 8PEHUWR (FR  6HPLRWLFV DQG 3KLORVRSK\ RI /DQJXDJH &DPEULGJH8QLYHUVLW\3UHVVSS
%ORRPLQJWRQ,QGLDQD8QLYHUVLW\3UHVV 3871$0 +LODU\  7KH 0DQ\ )DFHV RI 5HDOLVP &KLFDJR 2SHQ
(&28PEHUWR.DQWHO
RUQLWRULQFR0LODQR%RPSLDQL FRXUW

)2'25 -HUU\  7KH 0RGXODULW\ RI 0LQG &DPEULGJH 0DVV 0,7 5$67,(5)UDQoRLV6pPDQWLTXHLQWHUSUpWDWLYH3DULV38)
3UHVV 5$67,(5  )UDQoRLV  ³6HPDQWLFD LQWHUSUHWDWLYD GDOOH IRUPH
)5(*( *RWWORE  ³hEHU 6LQQ DQG %HGHXWXQJ´ LQ =HLWVFKULIW IU VHPDQWLFKHDOODWHVWXDOLWj´LQ3$28/8&&,&ODXGLR>HG@6WXGLGLVHPLRWLFD
3KLORVRSKLHXQGSKLORVRSKLVFKH.ULWLNQSS LQWHUSUHWDWLYD0LODQR%RPSLDQL

*(0$16WXDUWDQG-2+16210DUN³3UREDELOLW\DQGVWDWLVWLFV 6$/20$$$UWR7KHRU\RI$XWRPDWD2[IRUG3HUJDPRQ3UHVV

LQ FRPSXWDWLRQDO OLQJXLVWLFV D EULHI UHYLHZ´ LQ -2+1621 0 7$.(87,*DLVL³4XDQWXPVHWWKHRU\´LQ%(/75$0(77,(*
.+8'$1385 63 267(1'25) 0 526(1)(/' 5 >(GV@ DQG9$1)5$$66(1%&>HGV@&XUUHQW,VVXHVLQ4XDQWXP/RJLF9RORI
0DWKHPDWLFDOIRXQGDWLRQVRIVSHHFKDQGODQJXDJHSURFHVVLQJ;SS (WWRUH 0DMRUDQD ,QWHUQDWLRQDO 6FLHQFH 6HULHV 1HZ <RUN 3OHQXP SS ±
*5(,0$6 $OJLUGDV -  ³$FWXDOLWp GX VDXVVXULVPH´ LQ /H 
)UDQoDLVHPRGHUQHQ 9$1 5,-6%(5*(1 .HLWK  7KH *HRPHWU\ RI ,QIRUPDWLRQ
*5(,0$6 $OJLUGDV -  6pPDQWLTXH VWUXFWXUDOH 5HFKHUFKH GH 5HWULHYDO&DPEULGJH8.&DPEULGJH8QLYHUVLW\3UHVV
PpWKRGH3DULJL/DURXVVH :$1* 6 /(%(&. $5 ':<(5 &  ³1DQRVFDOH 5HVRQDQFH
*5(,0$6 $OJLUGDV -  ³6HPLRWLFD R PHWDILVLFD´ LQ 6WUXPHQWL (QHUJ\ 7UDQVIHU%DVHG 'HYLFHV IRU 3UREDELOLVWLF &RPSXWLQJ´ LQ ,(((
FULWLFLD,,Q7RULQR(LQDXGL 0,&52SS±

*5(,0$6$OJLUGDV-DQG5$67,(5)UDQoRLV7KH,QWHUDFWLRQRI :,77(. 3 DQG '$5$1<, 6  ³6SHFWUDO FRPSRVLWLRQ RI
6HPLRWLF&RQVWUDLQWVLQ<DOH)UHQFK6WXGLHV VHPDQWLFVSDFHV´LQ621*'0(/8&&,0)5200+2/=,=+$1*
3 :$1* / $5$)$7 6 >HGV@ LQ 4, /1&6 YRO  SS ±
+,/'1(5 5LFKDUG %5,1.6 'DDQ 1,('(5 -DQD % &2*'(// +HLGHOEHUJ6SULQJHU
5LFKDUG - DQG 9$1 +8/67 1LHN )  ³4XDQWXP &RKHUHQW (QHUJ\
7UDQVIHU RYHU 9DU\LQJ 3DWKZD\V LQ 6LQJOH /LJKW+DUYHVWLQJ &RPSOH[HV´ LQ
6FLHQFHSS
+-(/06/(9 /RXLV  2PNULQJ VSURJWHRULHQV JUXQGODVJJHOVH
0XQVNJDDUG.¡EHQKDYQ(QJOLVKWUDQV:KLWILHOG)->HG@3UROHJRPHQDWRD
7KHRU\RI/DQJXDJH0DGLVRQ8QLYHUVLW\RI:LQVFRQVLQ3UHVV

667