You are on page 1of 117

Springer Tracts in Advanced Robotics

Volume 12

Editors: Bruno Siciliano · Oussama Khatib · Frans Groen


Springer
Berlin
Heidelberg
NewYork
Hong Kong
London
Milan
Paris
Tokyo
K. Iagnemma ž S. Dubowsky

Mobile Robots
in Rough Terrain
Estimation, Motion Planning,
and Control with Application
to Planetary Rovers

With 58 Figures
Professor Bruno Siciliano, Dipartimento di Informatica e Sistemistica, Università degli Studi di Napoli
Federico II, Via Claudio 21, 80125 Napoli, Italy, email: siciliano@unina.it
Professor Oussama Khatib, Robotics Laboratory, Department of Computer Science, Stanford University,
Stanford, CA 94305-9010, USA, email: khatib@cs.stanford.edu
Professor Frans Groen, Department of Computer Science, Universiteit van Amsterdam, Kruislaan 403,
1098 SJ Amsterdam, The Netherlands, email: groen@science.uva.nl

STAR (Springer Tracts inAdvanced Robotics) has been promoted under the auspices of EURON (European
Robotics Research Network)

Authors
Dr. Karl Iagnemma
Prof. Dr. Steven Dubowsky
Massachusetts Institute of Technology (MIT)
Department of Mechanical Engineering
77 Massachusetts Avenue
Cambridge, MA 02139-4307
USA

ISSN 1610-7438
ISBN 3-540-21968-4 Springer Berlin Heidelberg New York
Library of Congress Control Number: 2004106986
This work is subject to copyright. All rights are reserved, whether the whole or part of the mate-
rial is concerned, specifically the rights of translation, reprinting, reuse of illustrations, recitation,
broadcasting, reproduction on microfilm or in other ways, and storage in data banks. Duplication
of this publication or parts thereof is permitted only under the provisions of the German Copyright
Law of September 9, 1965, in its current version, and permission for use must always be obtained
from Springer-Verlag. Violations are liable to prosecution under German Copyright Law.
Springer is a part of Springer Science+Business Media
springeronline.com
© Springer-Verlag Berlin Heidelberg 2004
Printed in Germany
The use of general descriptive names, registered names, trademarks, etc. in this publication does
not imply, even in the absence of a specific statement, that such names are exempt from the relevant
protective laws and regulations and therefore free for general use.
Typesetting: Digital data supplied by authors.
Data-conversion and production: PTP-Berlin Protago-TeX-Production GmbH, Germany
Cover-Design: design & production GmbH, Heidelberg
Printed on acid-free paper 62/3020Yu - 5 4 3 2 1 0
Editorial Advisory Board
EUROPE
Herman Bruyninckx, KU Leuven, Belgium
Raja Chatila, LAAS, France
Henrik Christensen, KTH, Sweden
Paolo Dario, Scuola Superiore Sant’Anna Pisa, Italy
Rüdiger Dillmann, Universität Karlsruhe, Germany
AMERICA
Ken Goldberg, UC Berkeley, USA
John Hollerbach, University of Utah, USA
Lydia Kavraki, Rice University, USA
Tim Salcudean, University of British Columbia, Canada
Sebastian Thrun, Carnegie Mellon University, USA
ASIA/OCEANIA
Peter Corke, CSIRO, Australia
Makoto Kaneko, Hiroshima University, Japan
Sukhan Lee, Sungkyunkwan University, Korea
Yangsheng Xu, Chinese University of Hong Kong, PRC
Shin’ichi Yuta, Tsukuba University, Japan
Foreword

$W!WKH!GDZQ!RI!WKH!QHZ!PLOOHQQLXP!URERWLFV!LV!XQGHUJRLQJ!D!PDMRU
WUDQVIRUPDWLRQ LQ VFRSH DQG GLPHQVLRQ )URP D ODUJHO\ GRPLQDQW LQGXVWULDO
IRFXV URERWLFV LV UDSLGO\ H[SDQGLQJ LQWR WKH FKDOOHQJHV RI XQVWUXFWXUHG HQ
YLURQPHQWV!,QWHUDFWLQJ!ZLWK!DVVLVWLQJ!VHUYLQJ!DQG!H[SORULQJ ZLWK!KX
PDQV WKH HPHUJLQJ URERWV ZLOO LQFUHDVLQJO\ WRXFK SHRSOH DQG WKHLU OLYHV
7KH!JRDO!RI!WKH!6SULQJHU 7UDFWV LQ $GYDQFHG 5RERWLFV 67$5 VHULHV!LV
WR!EULQJ!LQ!D WLPHO\!IDVKLRQ!WKH!ODWHVW!DGYDQFHV!DQG!GHYHORSPHQWV!LQ!UR
ERWLFV!RQ!WKH!EDVLV!RI!WKHLU!VLJQLILFDQFH!DQG!TXDOLW\ ,W!LV!RXU!KRSH!WKDW!WKH
ZLGHU!GLVVHPLQDWLRQ!RI!UHVHDUFK!GHYHORSPHQWV!ZLOO!VWLPXODWH!PRUH!H[
FKDQJHV!DQG!FROODERUDWLRQV!DPRQJ!WKH!UHVHDUFK!FRPPXQLW\!DQG!FRQWULEXWH
WR IXUWKHU DGYDQFHPHQW RI WKLV UDSLGO\ JURZLQJ ILHOG
7KH!PRQRJUDSK!ZULWWHQ!E\!.DUO!,DJQHPPD!DQG!6WHYH!'XERZVN\!LV!DQ
HYROXWLRQ!RI!WKH!ILUVW!$XWKRU¶V!3K'!GLVVHUWDWLRQ!0RELOH!URERWLF!V\VWHPV
KDYH!ODWHO\!EHHQ!UHFHLYLQJ!D JUHDW!GHDO!RI!DWWHQWLRQ!WKDQNV!WR WKHLU!LQ
FUHDVHG!XVH!LQ!XQVWUXFWXUHG!HQYLURQPHQWV!VXFK!DV!UXJJHG!ILHOGV!PLQHV
IRUHVWV!GLVDVWHU!VLWHV!DQG!ODVW!EXW!QRW!OHDVW!SODQHWDU\!VXUIDFHV!DIWHU!WKH!UH
FHQW!VXFFHVV!RI!WKH!0DUV!H[SORUDWLRQ!URYHU!PLVVLRQV!7KLV!YROXPH!DG
GUHVVHV!VHYHUDO!FULWLFDO!SUREOHPV DVVRFLDWHG!ZLWK!HVWLPDWLRQ!PRWLRQ!SODQ
QLQJ!DQG!FRQWURO!RI!ZKHHOHG!PRELOH!URERWV!RSHUDWLQJ!LQ!URXJK!WHUUDLQ!7KH
XQLTXH!IHDWXUH RI!WKH!ZRUN!OLHV!LQ!LWV!FRPSUHKHQVLYH!WUHDWPHQW!RI!WKH!SURE
OHP IURP WKH WKHRUHWLFDO GHYHORSPHQW RI WKH YDULRXV VFKHPHV WR VLPXODWLRQ
DQG H[SHULPHQWDO UHVXOWV IRU D QXPEHU RI RXWGRRU DSSOLFDWLRQV
7KH!ILUVW!PRQRJUDSK!EDVHG!RQ!D 86!GRFWRUDO!WKHVLV!WR!PDNH!WKH!VHULHV
WKLV WLWOH FRQVWLWXWHV D ILQH DGGLWLRQ WR 67$5

Naples, Italy Bruno Siciliano


March 2004 STAR Editor
3UHIDFH

1HZDQGH[FLWLQJDSSOLFDWLRQVFRQWLQXH WREHIRXQGIRU PRELOH URERWLFV\V


WHPV 2QHRIWKHPRVW LPSRUWDQWWUHQGVRIWKHSDVW GHFDGHKDVEHHQWKHLQ
FUHDVHG XVH RI PRELOH URERWV LQ URXJKXQVWUXFWXUHG WHUUDLQ VXFKDV XQGHU
JURXQG PLQHV IRUHVWV GLVDVWHU VLWHV DQG SODQHWDU\ VXUIDFHV 7KH
H[WUHPHO\ VXFFHVVIXO 6RMRXUQHU DQG 0DUV ([SORUDWLRQ 5RYHU PLVVLRQV LQ
DQGUHVSHFWLYHO\ DUHKLJKO\SXEOLFL]HG H[DPSOHVRI WKLV WUHQG
0DQ\ OHVVHUNQRZQ V\VWHPV KDYH DOVR EHHQ GHYHORSHG DQG VXFFHVVIXOO\
GHSOR\HG
8QVWUXFWXUHG HQYLURQPHQWV DUH RIWHQ KDUVK GDQJHURXV RU LQDFFHVVLEOH
WR KXPDQV DQG WKXV PRWLYDWH WKH XVH RI URERWLF V\VWHPV )RU H[DPSOH
SODQHWDU\ VXUIDFHH[SORUDWLRQ LVKD]DUGRXVWRKXPDQV GXHWR KLJK OHYHOV RI
UDGLDWLRQH[WUHPHWHPSHUDWXUHVDQGRWKHUHQYLURQPHQWDOIDFWRUV 8QGHU
JURXQG PLQHV KDYH WUDGLWLRQDOO\ EHHQ DVVRFLDWHG ZLWK KHDOWK KD]DUGV
FDXVHGE\ SRRUDLUTXDOLW\ 7KHVH GDQJHUVKDYHVSXUUHG PDQ\ URERWLFVUH
VHDUFKHUVWRVKLIWWKHLUIRFXVIURPGHYHORSLQJ URERWVWKDWRSHUDWHLQLQGRRU
ODERUDWRU\ VHWWLQJV WRWKRVHWKDWFDQVXFFHVVIXOO\ RYHUFRPH WKHUHDOZRUOG
FKDOOHQJHVDVVRFLDWHGZLWKURXJKWHUUDLQRSHUDWLRQ
'HYHORSLQJ PRELOH URERWV IRU RXWGRRU DSSOLFDWLRQV LV GLIILFXOW IRU VHY
HUDO UHDVRQV 7KHVH RSHUDWLQJ HQYLURQPHQWV UHTXLUH URERWV WR WUDYHO RYHU
UXJJHGWHUUDLQ ZLWKRXW EHFRPLQJHQWUDSSHGRUWLSSLQJ RYHU 7KLV UHTXLUHV
DURERWWRDFFXUDWHO\ DVVHVV LWV PRELOLW\ FKDUDFWHULVWLFV RYHUYDULRXVWHUUDLQ
W\SHVDQGDGDSWLWV FRQWUROVWUDWHJ\ DFFRUGLQJO\ 2XWGRRUDSSOLFDWLRQVDOVR
UHTXLUHDURERWWRGHSHQGRQ VLPSOHRQERDUGVHQVRUVWR SHUFHLYH WKH HQYL
URQPHQW 6XFKVHQVRUVFDQEH QRLV\PLVFDOLEUDWHGRUXQUHOLDEOH )LQDOO\
RXWGRRU DSSOLFDWLRQV RIWHQ UHTXLUH D URERW WR SRVVHVV VRPH GHJUHH RI
DXWRQRP\ WRRSHUDWH HIIHFWLYHO\ 6SHFLILFDOO\ URERWVRIWHQPXVW SODQWKHLU
URXWHWKURXJKGLIILFXOWWHUUDLQZLWKRXWKXPDQVXSHUYLVLRQ
7KLVPRQRJUDSKDGGUHVVHVVHYHUDOFULWLFDOSUREOHPVDVVRFLDWHGZLWK HV
WLPDWLRQ PRWLRQ SODQQLQJ DQG FRQWURORIURERWLFV\VWHPV LQ URXJK WHUUDLQ
$OORI WKHVH DUHDV KDYH EHHQ VWXGLHG E\ YDULRXV UHVHDUFKHUV RYHU WKH SDVW
WZHQW\ \HDUV KRZHYHU PXFK RI WKH UHVHDUFK KDV EHHQ GHYHORSHG IRU UR
ERWV RSHUDWLQJ LQ LQGRRU VWUXFWXUHG HQYLURQPHQWV 7KXV WKH ZRUN LQ WKLV
PRQRJUDSK UHSUHVHQWVDQHZYLHZRIVHYHUDO³WUDGLWLRQDO´URERWLFVUHVHDUFK
DUHDV
X 3UHIDFH

7KLV!PRQRJUDSK!LV!FRPSRVHG!RI!ILYH!FKDSWHUV!7KH!ILUVW!FKDSWHU!VHUYHV
DV!DQ!LQWURGXFWLRQ!DQG!RYHUYLHZ!RI!WKH!ZRUN!DQG!VXPPDUL]HV!UHODWHG!UH
VHDUFK!&KDS  DGGUHVVHV WKH LVVXHV RI URXJK WHUUDLQ PRGHOLQJ DQG HVWLPD
WLRQ!$!QRYHO!PHWKRG!IRU!RQOLQH!HVWLPDWLRQ!RI!LPSRUWDQW!WHUUDLQ!SK\VLFDO
SDUDPHWHUV!LV!SUHVHQWHG!DV!LV!D!QRYHO!PHWKRG!IRU!HVWLPDWLQJ!ZKHHOWHUUDLQ
FRQWDFW!DQJOHV! &KDS!!DGGUHVVHV!WKH!SUREOHP!RI!URXJK!WHUUDLQ!PRWLRQ
SODQQLQJ!E\!SUHVHQWLQJ!WZR!PRWLRQ!SODQQLQJ!DOJRULWKPV! 7KH!JRDO!RI!WKH
ILUVW!SODQQLQJ!PHWKRG!LV!WR!ILQG!D!VDIH!GLUHFW!SDWK!IURP!WKH!URYHU¶V!FXUUHQW
SRVLWLRQ!WR!D!GLVWDQW!JRDO!SRVLWLRQ! 7KH!JRDO!RI!WKH!VHFRQG!SODQQLQJ
PHWKRG!LV!WR!GHWHUPLQH!WKH!RSWLPDO!FRQILJXUDWLRQ!RI!DQ!DFWLYHO\!DUWLFXODWHG
VXVSHQVLRQ!URYHU!WR!LPSURYH!WLSRYHU!VWDELOLW\!GXULQJ!WUDYHO!LQ!URXJK!WHU
UDLQ!&KDS  ! DGGUHVVHV WKH SUREOHP RI!URXJK WHUUDLQ FRQWURO!E\!SUHVHQWLQJ
D!VHUYROHYHO!FRQWURO!PHWKRG!IRU!LPSURYHG!ZKHHO!WUDFWLRQ!RU!UHGXFHG
SRZHU!FRQVXPSWLRQ!LQ!URXJK!WHUUDLQ! &KDS!!VXPPDUL]HV!WKH!FRQWULEX
WLRQV!RI!WKLV!PRQRJUDSK!DQG!SUHVHQWV!VXJJHVWLRQV!IRU!IXWXUH!ZRUN!)RU!DOO
RI WKH ZRUN VLPXODWLRQ DQG H[SHULPHQWDO UHVXOWV DUH SUHVHQWHG IRU!ZKHHOHG
PRELOH!URERWV!RSHUDWLQJ!LQ!URXJK!RXWGRRU!HQYLURQPHQWV! 7KHVH!UHVXOWV
GHPRQVWUDWH WKH HIIHFWLYHQHVV RI WKH SURSRVHG PHWKRGV
7KH!FRQFHSWV!SUHVHQWHG!LQ!WKLV!PRQRJUDSK!ZHUH!LQLWLDOO\!GHYHORSHG!LQ
WKH!ILUVW!DXWKRU¶V!!3K'!WKHVLV!DW!WKH!0DVVDFKXVHWWV!,QVWLWXWH!RI!7HFK
QRORJ\!0XFK!RI!WKH!ZRUN!KRZHYHU!KDV!EHHQ!XSGDWHG!DQG!H[SDQGHG!IRU
WKLV!YROXPH!7KLV ZRUN ZDV VXSSRUWHG E\!WKH 1$6$!-HW 3URSXOVLRQ /DER
UDWRU\! -3/ ! 7KH!DXWKRUV!ZRXOG!OLNH!WR!DFNQRZOHGJH!WKH!DVVLVWDQFH!DQG
HQFRXUDJHPHQW!RI!'UV!3DXO!6FKHQNHU!6DPDDG!+D\DWL!DQG!5LFK!9ROSH!RI
-3/
,W LV WKH DXWKRUV¶!KRSH!WKDW!WKLV!PRQRJUDSK ZLOO!EH!RI!LQWHUHVW WR!URERWLFV
UHVHDUFKHUV DQG HQJLQHHUV ZKR VWXG\ DQG GHYHORS URERWLF V\VWHPV GHVLJQHG
IRU!WKH!RXWGRRU!ZRUOG!$V!PRELOH!URERWV!EHFRPH!PRUH!DGYDQFHG!DQG!WKHLU
XVH!PRUH!ZLGHVSUHDG!ZH!IHHO!WKDW!WKLV!VXEMHFW!DUHD!FDQ!RQO\!JURZ!LQ!LP
SRUWDQFH

Cambridge, Karl Iagnemma


March 2004
7DEOHRI&RQWHQWV

&KDSWHU,QWURGXFWLRQ 
3UREOHP6WDWHPHQWDQG0RWLYDWLRQ 
3XUSRVHRI7KLV0RQRJUDSK 
%DFNJURXQGDQG/LWHUDWXUH5HYLHZ 
5RXJK7HUUDLQ0RGHOLQJDQG(VWLPDWLRQ 
5RXJK7HUUDLQ0RWLRQ3ODQQLQJ 
5RXJK7HUUDLQ&RQWURO 
2XWOLQHRI7KLV0RQRJUDSK
$VVXPSWLRQV 

&KDSWHU5RXJK7HUUDLQ0RELOH5RERW0RGHOLQJDQG(VWLPDWLRQ 
,QWURGXFWLRQ 
5RERW.LQHPDWLFDQG)RUFH$QDO\VLV 
5RERW.LQHPDWLF$QDO\VLV 
5RERW)RUFH$QDO\VLV 
7HUUDLQ&KDUDFWHUL]DWLRQDQG,GHQWLILFDWLRQ 
(TXDWLRQ6LPSOLILFDWLRQ 
6HQVLQJDQG,PSOHPHQWDWLRQ,VVXHV 
5HVXOWV7HUUDLQ,GHQWLILFDWLRQ 
6LPXODWLRQ5HVXOWV 
([SHULPHQWDO5HVXOWV 
:KHHO7HUUDLQ&RQWDFW$QJOH(VWLPDWLRQ 
([WHQGHG .DOPDQ)LOWHU,PSOHPHQWDWLRQ 
5HVXOWV:KHHO7HUUDLQ&RQWDFW$QJOH,GHQWLILFDWLRQ 
6LPXODWLRQ5HVXOWV 
([SHULPHQWDO5HVXOWV 
6XPPDU\DQG&RQFOXVLRQV 

&KDSWHU5RXJK7HUUDLQ0RWLRQ3ODQQLQJ 
,QWURGXFWLRQ 
5RXJK7HUUDLQ0RWLRQ3ODQQLQJ 
6WHS2QH5DSLG3DWK6HDUFK 
6WHS7ZR0RGHO%DVHG(YDOXDWLRQ 
8QFHUWDLQW\ LQ5RXJK7HUUDLQ0RWLRQ3ODQQLQJ 
XII 7DEOH RI &RQWHQWV

,QFRUSRUDWLQJ8QFHUWDLQW\ LQWKH5DSLG3DWK6HDUFK 
,QFRUSRUDWLQJ8QFHUWDLQW\LQWKH0RGHO%DVHG(YDOXDWLRQ 
6LPXODWLRQ5HVXOWV²5RXJK7HUUDLQ3ODQQLQJ 
5RXJK7HUUDLQ$UWLFXODWHG6XVSHQVLRQ&RQILJXUDWLRQ3ODQQLQJ  
$UWLFXODWHG6XVSHQVLRQ&RQILJXUDWLRQ3ODQQLQJ3UREOHP
'HVFULSWLRQ 
0RELOLW\ $QDO\VLV 
$UWLFXODWHG6XVSHQVLRQ&RQILJXUDWLRQ3ODQQLQJ
IRU(QKDQFHG7LSRYHU6WDELOLW\
5HVXOWV²5RXJK7HUUDLQ$UWLFXODWHG6XVSHQVLRQ&RQILJXUDWLRQ
3ODQQLQJ 
6LPXODWLRQ5HVXOWV 
([SHULPHQWDO5HVXOWV 
6XPPDU\DQG&RQFOXVLRQV 

&KDSWHU5RXJK7HUUDLQ&RQWURO 
,QWURGXFWLRQ 
0RELOH5RERW5RXJK7HUUDLQ&RQWURO 57&  
:KHHO7HUUDLQ&RQWDFW)RUFH2SWLPL]DWLRQ 
2SWLPL]DWLRQ&ULWHULD 
3UREOHP&RQVWUDLQWV 
5HVXOWV²5RXJK7HUUDLQ&RQWURO 
6LPXODWLRQ5HVXOWV 
([SHULPHQWDO5HVXOWV 
6XPPDU\DQG&RQFOXVLRQV 

&KDSWHU&RQFOXVLRQVDQG6XJJHVWLRQVIRU)XWXUH:RUN 
&RQWULEXWLRQVRI7KLV0RQRJUDSK
6XJJHVWLRQVIRU)XUWKHU:RUN 

5HIHUHQFHV 

,QGH[ 
&KDSWHU 
,QWURGXFWLRQ

 3UREOHP6WDWHPHQWDQG0RWLYDWLRQ

0RELOH URERWV DUH LQFUHDVLQJO\ EHLQJ HPSOR\HG LQ URXJK RXWGRRU WHUUDLQ
IRUDSSOLFDWLRQV VXFKDVIRUHVWU\PLQLQJVHDUFKDQGUHVFXHDQG KD]DUGRXV
VLWHLQVSHFWLRQ 2VERUQ*RQWKLHUDQG3DSDGRSRXORV&XQQLQJ
KDP HWDO0DHHWDO 7KHVHDSSOLFDWLRQVRIWHQUHTXLUHURERWV
WRWUDYHODFURVVXQSUHSDUHGUXJJHGWHUUDLQWR LQVSHFWDORFDWLRQRUWUDQVSRUW
PDWHULDO,Q RXWGRRUVHWWLQJV DURERW¶VPRELOLW\ LVVWURQJO\LQIOXHQFHGE\
WKH WHUUDLQ JHRPHWU\ DQG SK\VLFDO SURSHUWLHV %HNNHU  :RQJ  
)RUH[DPSOHDURERWWUDYHUVLQJORRVHVORSHGVDQG PLJKWH[SHULHQFHVXE
VWDQWLDOZKHHOVOLSSDJHDQGSRRUPRELOLW\ZKHUHDVDURERWWUDYHUVLQJIODW
ILUPFOD\ PLJKWH[SHULHQFHH[FHOOHQW PRELOLW\ 2XWGRRURSHUDWLRQ DOVRRI
WHQ UHTXLUHV URERWV WR UHO\ RQ RQERDUG VHQVRUV VXFK DV UDQJHILQGHUV DQG
LQHUWLDO PHDVXUHPHQWXQLWV IRUQDYLJDWLRQDQGFRQWURO7KHVHVHQVRUVJHQ
HUDOO\ FRQWDLQ VLJQLILFDQWXQFHUWDLQW\DQGHUURULQWKHLUPHDVXUHPHQWV)L
QDOO\ RXWGRRU DSSOLFDWLRQV RIWHQ UHTXLUH URERWV WR RSHUDWH DXWRQRPRXVO\
ZKLFKUHTXLUHVUHDOWLPHGHFLVLRQ PDNLQJWKDWLVFRQVWUDLQHGE\OLPLWHGRQ
ERDUG FRPSXWDWLRQDO UHVRXUFHV 7KH FRPELQHG HIIHFWV RI URXJK YDU\LQJ
WHUUDLQ FRQGLWLRQV VHQVRU PHDVXUHPHQW XQFHUWDLQW\ DQG HUURU DQG OLPLWHG
FRPSXWDWLRQ PDNHURXJKWHUUDLQ PRWLRQ SODQQLQJDQGFRQWUROFKDOOHQJLQJ
SUREOHPV
$Q LPSRUWDQW DSSOLFDWLRQ IRU PRELOH URERWV LV SODQHWDU\ H[SORUDWLRQ
+D\DWL HW DO  6FKHQNHU HW DO  :HLVELQ HW DO    ,Q 
DQGVPDOOZKHHOHGURERWV ³URYHUV´ ODQGHGRQWKHVXUIDFHRI0DUV
WR FRQGXFW VFLHQWLILF H[SHULPHQWV IRFXVHG RQ XQGHUVWDQGLQJ WKH SODQHW¶V
FOLPDWH KLVWRU\ VXUIDFH JHRORJ\ DQG SRWHQWLDO IRU SDVW RU SUHVHQW OLIH
7KHVH 1$6$  -3/ URYHUV ZHUH H[SHFWHG WR QHJRWLDWH ORRVH VORSHG DQG
URFNILOOHG WHUUDLQ WR DFFHVV VFLHQWLILFDOO\ LQWHUHVWLQJ VLWHV  7KH  6R
MRXUQHU URYHU OLPLWHG LWV WUDYHUVHV WR UHODWLYHO\ VKRUW GLVWDQFHV LH D IHZ
PHWHUV WKURXJKIODWURFN\WHUUDLQ XQGHUFORVHKXPDQVXSHUYLVLRQ VHH)LJ
   7KH  0DUV ([SORUDWLRQ 5RYHUV DUH DV WKLV PRQRJUDSK JRHV WR

K. Iagnemma and S. Dubovsky: Mobile Robots in Rough Terrain, STAR 12, pp. 1–15, 2004.
© Springer-Verlag Berlin Heidelberg 2004
 &KDSWHU ,QWURGXFWLRQ

SUHVV SHUIRUPLQJ ORQJHUGLVWDQFH WUDYHUVHV WKURXJK ORRVH VORSHG WHUUDLQ


ZLWK VRPHDXWRQRPRXV RSHUDWLRQ,QJHQHUDOWKHVHURYHUV ZHUHGHVLJQHG
WRQHJRWLDWHPRGHUDWHO\URXJKWHUUDLQXQGHUFORVHJXLGDQFHE\ KXPDQRS
HUDWRUV
*RDOVIRUIXWXUH0DUVH[SORUDWLRQPLVVLRQVDUHKLJKO\DPELWLRXVIURPD
URERWLF PRELOLW\ SHUVSHFWLYH 9ROSH    6FLHQFH REMHFWLYHV DUH H[
SHFWHGWR IRFXVRQH[SORUDWLRQRIJHRJUDSKLFDOIHDWXUHVWKDW ZHUH SRVVLEO\
VKDSHGE\ZDWHU &DUU 7KLVLQFOXGHVWHUUDLQDUHDVVXFKDVJXOOLHV
RXWIORZFKDQQHOVDQGK\GURWKHUPDOUHJLRQV 7KHVHDUHDV DUHRIWHQURXJK
DQGVORSHGZLWKGHQVHURFNGLVWULEXWLRQVDQGORRVHGULIWPDWHULDOWKDWSUH
VHQWVVHYHUH FKDOOHQJHVWRWKHPRELOLW\ FDSDELOLWLHVRIFXUUHQWURYHUV %HU
QDUG DQG *RORPEHN   ,Q VXFK HQYLURQPHQWV D URYHU FRXOG H[SHUL
HQFHVHYHUH ZKHHOVOLSSDJHRUVLQNDJHRUJHW ³KXQJ XS´RQDODUJHURFN
ZKLFKFRXOGOHDG WRHQWUDSPHQW

)LJ  6RMRXUQHU URYHU RQ WKH VXUIDFH RI 0DUV  1$6$ -HW 3URSXOVLRQ
/DERUDWRU\

7R DFFRPSOLVK WKHVH FKDOOHQJLQJ REMHFWLYHV IXWXUH URERW GHVLJQV PD\


HYROYHIURPWUDGLWLRQDO³IL[HGFRQILJXUDWLRQ´GHVLJQVWRWKRVHZLWKDFWLYHO\
DUWLFXODWHG VXVSHQVLRQV 6FKHQNHU HW DO    5RERWV ZLWK DUWLFXODWHG
VXVSHQVLRQV FDQ LPSURYH URXJK WHUUDLQ PRELOLW\ E\ PRGLI\LQJ WKHLU VXV
 3XUSRVH RI7KLV0RQRJUDSK 

SHQVLRQFRQILJXUDWLRQDQGWKXVUHSRVLWLRQLQJ WKHLUFHQWHURIPDVV7KLVDO
ORZVDFFHVVWR FKDOOHQJLQJWHUUDLQUHJLRQVZLWK DKLJKHUGHJUHHRIVWDELOLW\
WKDQ LV RWKHUZLVH SRVVLEOH  $OWKRXJK WKHVH DGYDQFHG VXVSHQVLRQ GHVLJQV
ZLOO \LHOG LPSURYHG URXJK WHUUDLQ PRELOLW\ WKH GRPLQDQW IDFWRUV LQ URERW
PRELOLW\ UHPDLQ WKH WHUUDLQ JHRPHWU\ DQG SK\VLFDO SURSHUWLHV  7KXV DG
YDQFHGURERWGHVLJQV PXVWEHDFFRPSDQLHGE\ PRWLRQ SODQQLQJ DQG FRQ
WURODOJRULWKPVWKDWVSHFLILFDOO\ FRQVLGHUURERWWHUUDLQLQWHUDFWLRQ
0RVW FXUUHQW PRELOH URERW PRWLRQ SODQQLQJ DQG FRQWURO DOJRULWKPV DUH
QRWZHOOVXLWHGWRURXJKWHUUDLQHQYLURQPHQWVVLQFHWKH\JHQHUDOO\GRQRW
FRQVLGHUWKHSK\VLFDOLQWHUDFWLRQRIWKHURERWDQGWHUUDLQ7KLVLVOLNHO\ GXH
WRWKHIDFWWKDWWHUUDLQ SDUDPHWHUVDUH GLIILFXOWWRGLUHFWO\ PHDVXUH $OVR
FXUUHQW SODQQLQJ DQG FRQWURO DOJRULWKPV RIWHQ DVVXPH WKDW WKH URERW KDV
SHUIHFWVHQVRU\NQRZOHGJH RIWKHHQYLURQPHQW ZKLFKLVQHYHUWKHFDVHIRU
WKHVHDSSOLFDWLRQV)DLOXUH WRDFFRXQWIRUURERWWHUUDLQ LQWHUDFWLRQDQGVHQ
VRUXQFHUWDLQW\FDQOHDGWRV\VWHPIDLOXUHWKURXJK ORVVRI PRELOLW\ RU RE
VWDFOH HQWUDSPHQW  $OWHUQDWLYHO\ WKH URERW FRXOG H[KLELW XQQHFHVVDULO\
FRQVHUYDWLYH EHKDYLRU  7KLV FRXOG OLPLW WKH DELOLW\ RI URERWV WR SHUIRUP
YDOXDEOH WDVNV VXFK DV UHDFKLQJ VFLHQFH WDUJHWV WKDW PD\ EH ORFDWHG LQ
FKDOOHQJLQJWHUUDLQ
,Q VXPPDU\ PRELOH URERWV RSHUDWLQJ LQ URXJK WHUUDLQ PXVW XQGHUVWDQG
WKH SK\VLFDO SURSHUWLHV RI WKH WHUUDLQ WKH\ DUH WUDYHUVLQJ DQG DFFRXQW IRU
XQFHUWDLQW\LQKHUHQWLQWKHLUVHQVLQJV\VWHPV7KHVHURERWVPD\KDYH³WUD
GLWLRQDO´GHVLJQVRUDFWLYHO\ DUWLFXODWHGVXVSHQVLRQV7KH\PXVWEHDEOH WR
DFFRPSOLVKSODQQHGWDVNV ZLWKVRPH GHJUHH RI DXWRQRP\ ZKLOHHQVXULQJ
URERWVDIHW\

 3XUSRVHRI7KLV0RQRJUDSK

7KHSXUSRVHRI WKLV PRQRJUDSKLVWRSUHVHQWPHWKRGVIRULPSURYLQJPRELOH


URERWPRELOLW\LQKLJKULVNURXJKWHUUDLQHQYLURQPHQWVWKURXJKWKHGHYHO
RSPHQWRIHVWLPDWLRQPRWLRQ SODQQLQJDQGFRQWURODOJRULWKPVWKDWUHO\RQ
SK\VLFDOPRGHOVRIWKHURERWDQGWHUUDLQ5RXJKWHUUDLQLVGHILQHG KHUHDV
XQVWUXFWXUHG WHUUDLQ WKDW LQFOXGHV IHDWXUHV WKDW FRXOG FDXVH URERW HQWUDS
PHQWRUORVVRIVWDELOLW\ 7KLVLQFOXGHVUHJLRQVRIORRVHVRLOGHQVHURFNV
RU ERXOGHUV VWHHSO\ VORSHG WHUUDLQ RU D FRPELQDWLRQ RI DOO RI WKHVH IHD
WXUHV  5RXJK WHUUDLQ FRXOG RFFXU HLWKHU RXWGRRUV VXFK DV RQ D SODQHWDU\
VXUIDFHRULQGRRUVVXFKDVLQDFROODSVHG EXLOGLQJ7KLVPRQRJUDSK SUH
VHQWVPHWKRGVDQGDOJRULWKPVUHODWHGWRWKUHHEDVLFSUREOHPV LQ URXJKWHU
UDLQURERWPRELOLW\HVWLPDWLRQPRWLRQ SODQQLQJDQGFRQWURO7KHSULPDU\
LQWHQGHG DSSOLFDWLRQDUHDIRUWKLVZRUNLVSODQHWDU\H[SORUDWLRQ+RZHYHU
 &KDSWHU ,QWURGXFWLRQ

WKH!PHWKRGV!DQG!DOJRULWKPV!SUHVHQWHG!KHUH!FDQ!EH!DSSOLHG!WR!D!ZLGH!UDQJH
RI URXJK WHUUDLQ VLWXDWLRQV
(VWLPDWLRQ!DOJRULWKPV!DUH!SUHVHQWHG!WKDW!IRFXV!RQ!URERWWHUUDLQ!LQWHUDF
WLRQ! 6SHFLILFDOO\!PHWKRGV!DUH!SUHVHQWHG!IRU!HVWLPDWLQJ!WHUUDLQ!FRKHVLRQ
DQG!LQWHUQDO!IULFWLRQ!DQJOH! WZR!LPSRUWDQW!SK\VLFDO!SDUDPHWHUV!UHODWHG!WR
WHUUDLQ WUDYHUVDELOLW\  DQG ZKHHOWHUUDLQ FRQWDFW DQJOHV!$ PRGHO RI URERW
WHUUDLQ!LQWHUDFWLRQ!PHFKDQLFV!LV!DOVR!SUHVHQWHG!ZKLFK!XQLWHV!WKH!HVWLPDWHG
WHUUDLQ!TXDQWLWLHV!ZLWK!³FODVVLFDO´!URERW!PRGHOV!7KH!SXUSRVH!RI!WKLV!ZRUN
LV WR!DOORZ!D!URERW!WR!DFFXUDWHO\!DQG!DXWRQRPRXVO\!DVVHVV!ZKHWKHU!RU!QRW!D
SURSRVHG!WHUUDLQ!UHJLRQ!FDQ!EH!VDIHO\!WUDYHUVHG! 7KH!HVWLPDWHG!TXDQWLWLHV
ZLOO DOVR EH XVHG DV LQSXWV WR PRWLRQ SODQQLQJ DQG FRQWURO DOJRULWKPV
$OJRULWKPV DUH SUHVHQWHG IRU WZR GLVWLQFW DVSHFWV RI WKH PRWLRQ SODQQLQJ
SUREOHP!%RWK PHWKRGV UHO\ RQ PRGHOV DQG HVWLPDWLRQ PHWKRGV GHYHORSHG
HDUOLHU!LQ!WKH!PRQRJUDSK!)LUVW!D!SDWK!SODQQLQJ!DOJRULWKP!WKDW!GHWHUPLQHV
D VKRUW WUDYHUVDEOH!SDWK WKURXJK URXJK WHUUDLQ!LV SUHVHQWHG!6HFRQG DQ!DO
JRULWKP!IRU!SODQQLQJ!WKH!VXVSHQVLRQ!FRQILJXUDWLRQ!RI!DFWLYHO\!DUWLFXODWHG
VXVSHQVLRQ!URERWV!LV!SUHVHQWHG!7KLV!DOJRULWKP!PD[LPL]HV!WKH!VWDELOLW\!RI
WKH YHKLFOH DQG DOORZV LW WR VDIHO\ DFFHVV KLJKO\ VORSHG DQG URXJK WHUUDLQ
)LQDOO\!D!URXJK!WHUUDLQ!FRQWURO!DOJRULWKP!LV!SUHVHQWHG! 7KH!DOJRULWKP
XVHV!NQRZOHGJH!RI!WHUUDLQ!SDUDPHWHUV!DQG!ZKHHOWHUUDLQ!FRQWDFW!DQJOHV!WR
PLQLPL]H!ZKHHO!VOLS!DQG!LPSURYH!WUDFWLRQ!7KH!SXUSRVH!RI!WKLV!DOJRULWKP
LV WR DOORZ D URERW WR VDIHO\ DQG HIILFLHQWO\ WUDYHUVH YHU\ URXJK WHUUDLQ

!%DFNJURXQG DQG /LWHUDWXUH 5HYLHZ

,Q!WKLV!VHFWLRQ!D!VXPPDU\!RI!OLWHUDWXUH!UHODWHG!WR!WKH!ZRUN!LQ!WKLV!PRQR
JUDSK!LV!SUHVHQWHG!7KLV!UHYLHZ!LV!GLYLGHG!LQWR!VHFWLRQV!IRFXVLQJ!RQ!PRG
HOLQJ!DQG!HVWLPDWLRQ!PRWLRQ!SODQQLQJ! LQFOXGLQJ!SDWK!SODQQLQJ!DQG!DUWLFX
ODWHG VXVSHQVLRQ FRQILJXUDWLRQ SODQQLQJ  DQG FRQWURO

!5RXJK 7HUUDLQ 0RGHOLQJ DQG (VWLPDWLRQ

0RGHOLQJ!RI!PRELOH!URERWV!KDV!EHHQ!VWXGLHG!E\!PDQ\!UHVHDUFKHUV!LQ!YDUL
RXV FRQWH[WV!.LQHPDWLF DQG G\QDPLF DQDO\VLV RI URERWV RQ IODW VWUXFWXUHG
WHUUDLQ!LV!D!ZHOOXQGHUVWRRG!SUREOHP! 0XLU!!6DUNDU!HW!DO!!/DX
PRQG  0XWDPEDUD DQG 'XUUDQW:K\WH  !.LQHPDWLF DQDO\VLV RI
URERWLF!V\VWHPV!LQ!URXJK!WHUUDLQ!KDV!EHHQ!DGGUHVVHG!PRUH!UHFHQWO\!LQ
0LOHVL%HOOHU!HW!DO!!6UHHQLYDVDQ!DQG!1DQXD!!6UHHQLYDVDQ!DQG
:DOGURQ!!*DMMDU!DQG!-RKQVRQ! !6SHFLILF!NLQHPDWLF!DQDO\VHV!RI
VL[ZKHHOHG!URERWV!ZLWK!URFNHUERJLH!VXVSHQVLRQV! VXFK!DV!WKH!-3/!6R
 %DFNJURXQGDQG/LWHUDWXUH5HYLHZ 

MRXUQHU URYHU  KDYH EHHQ SUHVHQWHG LQ &KRWWLQHU  /LQGHUPDQ DQG


(LVHQ  +DFRW  7DURNK HW DO   )RUFH DQDO\VHV RI PRELOH
URERWV KDVDOVREHHQSHUIRUPHG7KHPRELOHURERWIRUFHDQDO\VLVSUREOHP
LVVLPLODUWRWKHIRUFHGLVWULEXWLRQSUREOHPLQFORVHGNLQHPDWLFFKDLQVDQG
ZDONLQJ PDFKLQHVZKLFK KDV EHHQ VWXGLHG LQ .XPDU DQG *DUGQHU
.XPDUDQG:DOGURQ $FWLYHFRRUGLQDWLRQRI IRUFHVLQZKHHOHGV\V
WHPV ZDVILUVWSURSRVHGLQ .XPDUDQG:DOGURQ DQGZDVODWHUDG
GUHVVHGLQ 6UHHQLYDVDQ6UHHQLYDVDQ DQG1DQXD ,QJHQHUDO
WKHUH LV D VLJQLILFDQW ERG\ RI OLWHUDWXUH UHODWHG WR NLQHPDWLF DQG G\QDPLF
PRGHOLQJ RI PRELOH URERWV LQ ERWK IODW DQG XQHYHQ WHUUDLQ 7KLV PRQR
JUDSK GRHV QRW IRFXV RQ NLQHPDWLF DQG G\QDPLF PRGHOLQJ SHU VH EXW LQ
VWHDG DGGUHVVHVLPSRUWDQWUHODWHGSUREOHPV
$Q LPSRUWDQW DQG RIWHQ QHJOHFWHG DVSHFW RI URERW V\VWHP PRGHOLQJ LV
ZKHHOWHUUDLQ LQWHUDFWLRQ SKHQRPHQD :KHHOWHUUDLQ LQWHUDFWLRQ SOD\V D
FULWLFDO UROH LQ URXJK WHUUDLQ PRELOLW\ VLQFH WUDFWLRQ FKDUDFWHULVWLFV DUH
JRYHUQHG E\ WHUUDLQSK\VLFDOSURSHUWLHV %HNNHU:RQJ  
)RUH[DPSOHDURERWWUDYHOLQJWKURXJKORRVHVDQGKDVYHU\GLIIHUHQW PR
ELOLW\ FKDUDFWHULVWLFV WKDQ RQH PRYLQJ DFURVV ILUP FOD\  3LRQHHULQJ UH
VHDUFKLQWKLV DUHDZDV SHUIRUPHGE\%HNNHU %HNNHU %HNNHU  
7KLV ZRUN IRFXVHG RQ GHYHORSLQJ IXQGDPHQWDO PRGHOV RI ZKHHO DQG
WUDFN WHUUDLQLQWHUDFWLRQ 7RDSSO\WKHVH PRGHOVLQWKHILHOGHTXLSPHQW
DQGWHFKQLTXHVZHUHGHYHORSHGIRUHVWLPDWLQJLPSRUWDQWPRGHOSDUDPHWHUV
1XPHURXVUHVHDUFKHUVKDYHVWXGLHGWHUUDLQSDUDPHWHU HVWLPDWLRQ*HQ
HUDOO\ WKHVH PHWKRGV LQYROYH RIIOLQH HVWLPDWLRQ XVLQJ GHGLFDWHG WHVWLQJ
HTXLSPHQW 1RKVHHWDO6KPXOHYLFKHWDO 3DUDPHWHUHVWLPD
WLRQ IRU D OHJJHG V\VWHP KDV EHHQ VWXGLHG LQ &DXULQ DQG 7VFKLFKROG
*XUPDQ    7KLV DSSURDFK UHOLHV RQ IHHGEDFN IURP DQ HPEHGGHG
PXOWLD[LVIRUFHVHQVRULQWKHURERW¶VOHJ DQGLVQRWDSSOLFDEOHWRZKHHOHG
V\VWHPV 7HUUDLQSDUDPHWHUHVWLPDWLRQIRUWUDFNHG YHKLFOHVKDVEHHQSUR
SRVHGLQ /HHWDO  7KLVDSSURDFKDVVXPHVDVLPSOLILHG³IRUFHFRHI
ILFLHQW´ PRGHO RI WUDFNWHUUDLQ LQWHUDFWLRQ WKDW LV QRW YDOLG LQ GHIRUPDEOH
WHUUDLQ 2WKHUUHVHDUFKHUVKDYHDWWHPSWHG WRFLUFXPYHQWH[SOLFLWSDUDPHWHU
HVWLPDWLRQ E\ XVLQJ VLPSOLILHG PRGHOV WR HVWLPDWH ZKHHO VOLS RU GUDZEDU
SXOO /LQGJUHQHWDO<RVKLGDHWDO <RVKLGDHWDO &RQ
WURO DOJRULWKPV GHVLJQHG WR PLQLPL]H VOLS RU PD[LPL]H GUDZEDU SXOO FDQ
WKHQ EH HPSOR\HG +RZHYHU HVWLPDWLRQ RI WHUUDLQ SDUDPHWHUV DOORZV D
ULFKHU SK\VLFDO GHVFULSWLRQ RI ZKHHOWHUUDLQ LQWHUDFWLRQ WKDQ GRHV HVWLPD
WLRQRIVOLSDORQH
,Q DGGLWLRQ WR LWV XWLOLW\ IURP D PRELOLW\ SHUVSHFWLYH HVWLPDWLRQ RI WHU
UDLQSDUDPHWHUVLVDQLPSRUWDQWVFLHQWLILF JRDORISODQHWDU\VXUIDFHH[SORUD
WLRQPLVVLRQV 0RRUHHWDO0DWLMHYLFHWDO  3DUDPHWHU
HVWLPDWLRQ RI 0DUWLDQ VRLO KDV EHHQ SHUIRUPHG E\ WKH9LNLQJ ODQGHUV DQG
 &KDSWHU ,QWURGXFWLRQ

WKH6RMRXUQHUURYHUDQGLVFXUUHQWO\EHLQJSHUIRUPHGE\WKHWZR0DUV([
SORUDWLRQ 5RYHUV 6SLULW DQG 2SSRUWXQLW\ VHH )LJ    7KH 9LNLQJ
ODQGHUV XVHG PDQLSXODWRU DUPV WR FRQGXFW VRLO WUHQFKLQJ H[SHULPHQWV
0RRUHHWDO 7KH6RMRXUQHUURYHUXVHGLWV ZKHHOVDVWUHQFKLQJGH
YLFHV WRLGHQWLI\VRLOFRKHVLRQ DQGLQWHUQDOIULFWLRQDQJOHDPRQJ RWKHUSD
UDPHWHUV 0DWLMHYLFHWDO %RWKPLVVLRQVXVHGYLVXDOFXHVDQG RII
OLQH LH (DUWKEDVHG DQDO\VLV WHFKQLTXHV WR FRPSXWH VRLO SDUDPHWHUV
(DUWKEDVHGDQDO\VLVUHTXLUHV OHQJWK\ FRPPXQLFDWLRQWLPH GHOD\VWKDW UH
GXFHURYHUHIILFLHQF\ DQGOLPLWLWVDXWRQRP\

)LJ:KHHO WUHQFKGXJE\0DUV ([SORUDWLRQ5RYHU6SLULWIRUWHUUDLQSDUDPHWHU


HVWLPDWLRQ H[SHULPHQW 1$6$-HW3URSXOVLRQ/DERUDWRU\

,WLVLPSRUWDQWWRHVWLPDWHWHUUDLQSK\VLFDOSDUDPHWHUVRQOLQHVLQFHRQ
OLQHHVWLPDWLRQZRXOGDOORZDURERWWR SUHGLFWLWVDELOLW\ WRVDIHO\ WUDYHUVH
FKDQJLQJ WHUUDLQ ,DJQHPPD HW DO    ,W ZRXOG DOVR DOORZ D URERW WR
DGDSW LWV FRQWURO DQG SODQQLQJ VWUDWHJLHV WR YDULDEOH WHUUDLQ FRQGLWLRQV WR
PD[LPL]HZKHHOWUDFWLRQRUPLQLPL]HSRZHU FRQVXPSWLRQ ,DJQHPPD DQG
'XERZVN\E ,QWKLV PRQRJUDSKDPHWKRGIRURQOLQHSDUDPHWHUHV
WLPDWLRQ RIWHUUDLQWKHURERWLVFXUUHQWO\WUDYHUVLQJ LVSUHVHQWHG 7KLVDO
ORZV DFFXUDWH DVVHVVPHQW RI WUDYHUVDELOLW\  $GGLWLRQDOO\ WKH SDUDPHWHUV
FDQ EH XVHG DV LQSXWV WR WHUUDLQ PRGHOV ZKLFK IRUP D EDVLV IRU HQKDQFHG
URXJKWHUUDLQ PRWLRQSODQQLQJ DQGFRQWURODOJRULWKPV
$QRWKHU LPSRUWDQW HOHPHQW RI D URERW V\VWHP PRGHO LV ZKHHOWHUUDLQ
FRQWDFW DQJOHVVLQFHWKH\JUHDWO\LQIOXHQFH URERWWUDYHUVDELOLW\SURSHUWLHV
VHH)LJ  )RUH[DPSOHDURERW WUDYHUVLQJIODWHYHQWHUUDLQKDVYHU\
GLIIHUHQWPRELOLW\FKDUDFWHULVWLFVWKDQ RQHWUDYHUVLQJVWHHSXQHYHQWHUUDLQ
 %DFNJURXQGDQG/LWHUDWXUH5HYLHZ 

7KLV GLIIHUHQFH FDQ LQ SDUW EH DQDO\]HG DQG SUHGLFWHG E\ VHQVLQJ RU HVWL
PDWLQJ WKH ZKHHOWHUUDLQ FRQWDFW DQJOHV  3UHYLRXV UHVHDUFKHUV KDYH SUR
SRVHGLQVWDOOLQJPXOWLD[LVIRUFHVHQVRUVDWHDFKZKHHOKXEWR PHDVXUHWKH
FRQWDFW IRUFH GLUHFWLRQ 6UHHQLYDVDQ DQG :LOFR[    :KHHOWHUUDLQ
FRQWDFW DQJOHV FRXOG EH LQIHUUHG IURP WKH FRQWDFW IRUFH GLUHFWLRQ  +RZ
HYHU LQVWDOOLQJ PXOWLD[LV IRUFH VHQVRUV DW HDFK ZKHHO LV FRVWO\ DQG PH
FKDQLFDOO\FRPSOH[ $PHWKRGIRUFRQWDFWDQJOHHVWLPDWLRQKDVEHHQSUR
SRVHG WKDW LV EDVHG RQ NQRZOHGJH RI WKH WHUUDLQ PDS %DODUDP  
+RZHYHUIRUGHIRUPDEOHRUYHJHWDWLRQFRYHUHGWHUUDLQWKHWHUUDLQ PDS DV
PHDVXUHG E\DODVHU RUVWHUHREDVHGUDQJHVHQVRU  PD\QRWFRUUHVSRQGWR
WKHJHRPHWU\H[SHULHQFHG E\WKHURERW7KLVPHWKRGLVDOVRFRPSXWDWLRQ
DOO\LQWHQVLYH ,QWKLVPRQRJUDSKDPHWKRGLVSUHVHQWHGIRUZKHHOWHUUDLQ
FRQWDFWDQJOHHVWLPDWLRQWKDWXWLOL]HVVLPSOH RQERDUGVHQVRUVDQGLVFRP
SXWDWLRQDOO\HIILFLHQW ,DJQHPPDDQG 'XERZVN\D 

g2

g1

Wheel-Terrain
Contact Angles

)LJ :KHHOWHUUDLQFRQWDFWDQJOHV

!5RXJK 7HUUDLQ 0RWLRQ 3ODQQLQJ

3DWK 3ODQQLQJ
0DQ\!URXJK!WHUUDLQ!DSSOLFDWLRQV!UHTXLUH!PRELOH!URERWV!WR!DXWRQRPRXVO\
GHWHUPLQH D VDIH URXWH WR D GLVWDQW SRVLWLRQ DQG VDIHO\ WUDYHUVH GLIILFXOW WHU
UDLQ WR UHDFK WKDW SRVLWLRQ!7KLV PLJKW EH D PDWHULDO ORDGLQJ VWDWLRQ D ORFD
WLRQ LQ D FROODSVHG EXLOGLQJ RU D VFLHQFH WDUJHW RQ D SODQHWDU\ VXUIDFH!7KH
 &KDSWHU ,QWURGXFWLRQ

SUREOHP RIILQGLQJDURXWHIURPWKHURERW¶VFXUUHQWSRVLWLRQWRDJRDOSRVL
WLRQ LV UHIHUUHG WR DV WKH PRWLRQ SODQQLQJ SUREOHP 1XPHURXV SODQQLQJ
PHWKRGV KDYHEHHQSURSRVHGRYHUWKHSDVWWZHQW\ \HDUVXVLQJWHFKQLTXHV
VXFKDV TXDGWUHHVJUDSKVHDUFKPHWKRGVSRWHQWLDO ILHOGVDQGIX]]\ORJLF
VHH IRUH[DPSOH.KDWLE :DUUHQ6WHQW] +DGGDGHWDO
 <DKMD HW DO  /HH DQG :X    7KHVH PHWKRGV JHQHUDOO\
FRQVLGHU WKH FDVH RI D WZR RU WKUHH GHJUHHRIIUHHGRP URERW PRYLQJ LQ D
SODQDUHQYLURQPHQW$VXUYH\ RIPDQ\ ³WUDGLWLRQDO´SODQQLQJPHWKRGVFDQ
EHIRXQGLQ /DWRPEH 
0DQ\ WUDGLWLRQDO PRWLRQ SODQQLQJ PHWKRGV FDQQRW EH VXFFHVVIXOO\ DS
SOLHG LQ URXJK WHUUDLQ HQYLURQPHQWV VLQFH WKH\ RIWHQ DVVXPH SHUIHFW
NQRZOHGJHRIWKHHQYLURQPHQWLJQRUHYHKLFOHDQGWHUUDLQPHFKDQLFVDQG
UHSUHVHQW REVWDFOHV DQG IUHH VSDFH LQ D ELQDU\ IRUPDW /DWRPEH  
$GGLWLRQDOO\ PDQ\ WUDGLWLRQDO SODQQLQJ PHWKRGV DUH FRPSXWDWLRQDOO\ H[
SHQVLYH  7KHVH IDFWRUV DUH FULWLFDO WR URXJK WHUUDLQ PRWLRQ SODQQLQJ IRU
VHYHUDO UHDVRQV  )LUVW LQ URXJK WHUUDLQ WKH FRQFHSW RI DQ REVWDFOH LV QRW
FOHDUO\ GHILQHG DV LW GHSHQGV RQ DQ XQGHUVWDQGLQJ RI WKH WHUUDLQ DQG WKH
PRELOLW\FKDUDFWHULVWLFVRIWKHURERW7KXVWKHUHH[LVWV DFRQWLQXRXV UDWKHU
WKDQELQDU\ JUDGDWLRQ EHWZHHQHDVLO\ WUDYHUVHGWHUUDLQDQG LPSDVVDEOHRE
VWDFOHV,IDVLPSOLVWLFREVWDFOHGHILQLWLRQLVHPSOR\HGDPRELOHURERWZLOO
OLNHO\ HLWKHUDFWZLWK XQQHFHVVDU\ FDXWLRQRUZLWKH[FHVVLYHULVN6HFRQG
WHUUDLQ GDWD FDQQRW EH DVVXPHG WR EH SHUIHFWO\ NQRZQ GXH WR HUURUV LQ
UDQJHVHQVLQJWHFKQLTXHV +HEHUWDQG.URWNRY0DWWKLHVDQG*UDQG
MHDQ  7KHVHHUURUVDUHFDXVHGE\PLVFDOLEUDWLRQDQG LQKHUHQW HUURULQ
WKH VHQVLQJ GHYLFH  7KLUG WKH SODQQHG SDWK PLJKW QRW EH DFFXUDWHO\ IRO
ORZHG E\ WKH URERW GXH WR SDWKIROORZLQJ HUURUV 9ROSH   )LQDOO\
DXWRQRPRXV PRELOH URERWV ZLOO JHQHUDOO\ KDYH OLPLWHG FRPSXWDWLRQDO UH
VRXUFHVWRGHYRWHWRSDWK SODQQLQJ
5HFHQWO\UHVHDUFKHUVKDYHEHJXQDGGUHVVLQJWKHURXJKWHUUDLQSODQQLQJ
SUREOHP)LUVWZRUNVZHUHGHGLFDWHGWRFRPSXWLQJG\QDPLFWLPHRSWLPDO
SDWKV WKURXJK XQGXODWLQJ WHUUDLQ 6KLOOHU DQG &KHQ  6KLOOHU  
2WKHU UHVHDUFKHUV KDYH XWLOL]HG VLPSOLILHGG\QDPLF YHKLFOH PRGHOV WRHQ
VXUH WKDW SURSRVHG SDWKV GR QRW FDXVH YHKLFOH WLSRYHU 2OLQ DQG 7VHQJ
.HOO\DQG6WHQW]  (PSOR\LQJDNLQHPDWLFPRGHOWRHYDOXDWH
WUDYHUVDELOLW\DWDODUJHQXPEHURISRLQWVLQWKHFRQILJXUDWLRQVSDFHRIWKH
URERW¶V SRVLWLRQ DQG KHDGLQJ KDV EHHQ SURSRVHG LQ 6LPpRQ DQG 'DFUH
:ULJKW  &KHULI DQG /DXJLHU  )DUULWRU HW DO  D  )DUULWRU
 E  &KHULI  %RQQDIRXV HW DO  .XERWD HW DO  6SHUR
DQG-DUYLV 7KHVHPHWKRGV JHQHUDOO\HPSOR\ VHDUFK PHWKRGVWRILQG
DVXLWDEOHSDWK 7KHPHWKRGVGLIIHU ODUJHO\LQWKHW\SHRIVHDUFKWHFKQLTXH
WKH\ HPSOR\  3URSRVHG VHDUFK WHFKQLTXHV LQFOXGH WKH $  DQG '  DOJR
ULWKPV JHQHWLF DOJRULWKPV DQG UDSLGO\H[SORULQJ UDQGRP WUHHV 557V 
 %DFNJURXQGDQG/LWHUDWXUH5HYLHZ 

0RGHOEDVHGVOLSIUHHPRWLRQ SODQQLQJIRUDQDUWLFXODWHGYHKLFOHKDVEHHQ
SURSRVHG &KRL DQG 6UHHQLYDVDQ   $OO RI WKHVH PHWKRGV UHFRJQL]H
WKH LPSRUWDQFH RI PRGHOEDVHG DQDO\VLV WR HQVXUH SDWK WUDYHUVDELOLW\
+RZHYHUWKH\JHQHUDOO\XWLOL]HVLPSOLILHGWHUUDLQPRGHOVDQGGRQRWFRQ
VLGHUXQFHUWDLQW\
$QRWKHU FODVV RI DOJRULWKPV LV EDVHG ODUJHO\ RQ ILQGLQJ WKH VPRRWKHVW
SDWK WKURXJKDJLYHQWHUUDLQUHJLRQ7KHVPRRWKHVW SDWKLVDVVXPHGWREH
WKH PRVW WUDYHUVDEOH  2QH DSSURDFK XVHV IUDFWDOV WR PRGHO WHUUDLQ DQG
VHDUFKHV IRUDSDWKZLWKDFRQVLVWHQWO\ORZIUDFWDOGLPHQVLRQ 3DLDQG5H
LVVHO    $QRWKHU PHWKRG PRGHOV REVWDFOHV ZLWK SRWHQWLDO ILHOGV DQG
VHDUFKHV IRU D SDWK ZLWK ORZ SRWHQWLDO &KDQFORX DQG /XFLDQL    $
IX]]\ORJLFEDVHG PHWKRG KDV EHHQ SURSRVHG WKDWXVHVJURVVNQRZOHGJHRI
WHUUDLQ VORSHDQGURXJKQHVVWRDYRLGKD]DUGRXVUHJLRQV 6HUDML6HUDML
DQG +RZDUG    $ VHQVRUEDVHG PHWKRG KDV EHHQ LPSOHPHQWHG WKDW
FODVVLILHVREVWDFOHVLQD ELQDU\ PDQQHUWRGHWHUPLQHDQREVWDFOHIUHHSDWK
/DXEDFKHWDO/DXEDFKDQG%XUGLFN  ,QJHQHUDOWKHVHPHWK
RGVGR QRWFRQVLGHU YHKLFOHPHFKDQLFVRUDOORZIRUXQFHUWDLQW\7KH\DW
WHPSWWR DYRLG KLJKO\URXJKWHUUDLQDQGLPSOLFLWO\DVVXPHWKDWWKHSODQQHG
SDWKLVIUHHRIKD]DUGV ,WVKRXOG EHQRWHGWKDWIODWWHUUDLQUHJLRQVDUHQRW
DOZD\VWUDYHUVDEOHVLQFH³QRQJHRPHWULFREVWDFOHV´VXFKDVORRVH VRLOPD\
EHXQWUDYHUVDEOH5HOLDEOHGHWHFWLRQRIWKHVHQRQJHRPHWULFREVWDFOHVLVDQ
RSHQUHVHDUFKSUREOHP 7KXVWKHDERYHPHWKRGVPD\EH HIIHFWLYHLQIODW
WHUUDLQ ZLWK ³GLVFUHWH´ REVWDFOHV VXFK DV ODUJH ERXOGHUV EXW PD\ QRW EH
ZHOOVXLWHGWRURXJKXQHYHQWHUUDLQ
,QVXPPDU\ ZLWKWKHH[FHSWLRQRI %HQ $PDUDQG%LGDXG PRVW
SURSRVHGSODQQLQJ PHWKRGVGRQRWHPSOR\ DUHDOLVWLFWHUUDLQ PRGHO 7KLV
LVFULWLFDOWRDQDFFXUDWHDVVHVVPHQW RIWHUUDLQWUDYHUVDELOLW\$GGLWLRQDOO\
ZLWKWKHH[FHSWLRQRI *LIIRUG DQG0XUSK\+DLWDQG6LPpRQ 
PRVWSURSRVHGSODQQLQJ PHWKRGVGRQRW FRQVLGHUXQFHUWDLQW\LQWKHWHUUDLQ
GDWDRUURERWSDWKIROORZLQJDFFXUDF\ ,QURXJKWHUUDLQ IDLOXUHWRDFFRXQW
IRU XQFHUWDLQW\ FDQ FDXVH D URERW WR WUDYHO LQWR XQNQRZQ WHUUDLQ UHJLRQV
ZLWK SRWHQWLDOO\ KD]DUGRXV FRQVHTXHQFHV  ,Q WKLV PRQRJUDSK D PRWLRQ
SODQQLQJ PHWKRGLV SUHVHQWHGWKDWXWLOL]HV PRGHOEDVHG DQDO\VLVRIURERW
WHUUDLQ LQWHUDFWLRQ DQG FRQVLGHUV WHUUDLQ GDWD DQG SDWKIROORZLQJ XQFHU
WDLQW\ ,DJQHPPDHWDOD ,WLVDOVRFRPSXWDWLRQDOO\HIILFLHQWHQRXJK
IRURQERDUGLPSOHPHQWDWLRQ

$UWLFXODWHG6XVSHQVLRQ&RQILJXUDWLRQ3ODQQLQJ
0RWLRQ SODQQLQJ DOJRULWKPV JHQHUDWH D SDWK WKURXJK D WHUUDLQ UHJLRQ WR D
JRDOORFDWLRQ7KHURERWPXVWWKHQVDIHO\ WUDYHUVHWKHSDWKZLWKRXWWLSSLQJ
RYHU JHWWLQJ ³KXQJXS´RQDQREVWDFOHRUEHFRPLQJ LPPRELOL]HGLQORRVH
 &KDSWHU ,QWURGXFWLRQ

VRLO5RERWVZLWKDUWLFXODWHGVXVSHQVLRQVFDQ LPSURYHURXJKWHUUDLQ PRELO


LW\ E\ PRGLI\LQJ WKHLU VXVSHQVLRQ FRQILJXUDWLRQ DQG WKXV UHSRVLWLRQLQJ
WKHLUFHQWHURIPDVV7KLVDOORZVWKHP VDIHDFFHVV WRPRUHGLIILFXOWWHUUDLQ
$UWLFXODWHG VXVSHQVLRQVFDQHLWKHUEHSDVVLYHRUDFWLYH7KHPRVWQRWDEOH
H[DPSOH RI D SDVVLYHO\ DUWLFXODWHG VXVSHQVLRQ GHVLJQHG IRU URXJK WHUUDLQ
PRELOLW\ LV WKH URFNHUERJLH VXVSHQVLRQ HPSOR\HG RQ WKH -3/ IDPLO\ RI
SODQHWDU\ H[SORUDWLRQ URYHUV %LFNOHU    2WKHU UHVHDUFKHUV KDYH GH
YHORSHGVLPLODUV\VWHPV .DZDNDPLHW DO .LPXUDDQG+LURVH
6LHJZDUWHWDO 
$FWLYHO\ DUWLFXODWHG VXVSHQVLRQV DUH JHQHUDOO\ PRUH FRPSOH[ WKDQ SDV
VLYHO\DUWLFXODWHG VXVSHQVLRQVEXWFDQ\LHOGJUHDWO\LPSURYHGURXJKWHUUDLQ
PRELOLW\  2QH H[DPSOH RI DQ DFWLYHO\ DUWLFXODWHG VXVSHQVLRQ URERW LV WKH
-HW 3URSXOVLRQ /DERUDWRU\¶V 6DPSOH 5HWXUQ 5RYHU 655  VKRZQ LQ )LJ
  7KH 655 FDQ DFWLYHO\ PRGLI\ LWV WZR VKRXOGHU MRLQWV WR FKDQJH LWV
FHQWHURI PDVVORFDWLRQDQGHQKDQFHURXJKWHUUDLQPRELOLW\)RUH[DPSOH
ZKHQ WUDYHUVLQJ D VLGH VORSH WKH 655 FDQ DGMXVW DQJOHV T DQG T WR LP
SURYHVWDELOLW\DVLOOXVWUDWHGLQ)LJ,WFDQDOVRUHSRVLWLRQLWVFHQWHURI
PDVVE\ PRYLQJLWVPDQLSXODWRU
3UHYLRXV UHVHDUFKHUV KDYH VXJJHVWHG WKH XVH RI DUWLFXODWHG VXVSHQVLRQ
V\VWHPV WR HQKDQFH URXJK WHUUDLQ PRELOLW\  )LUVW ZRUNV IRFXVHG RQ WKH
IRXUZKHHOHG-3/*2)25 6UHHQLYDVDQDQG :LOFR[  7KLVZRUNUH
OLHGRQDQDO\VLVRI WKH*2)25¶VSDUWLFXODUFRQILJXUDWLRQDQGLV WKHUHIRUH
GLIILFXOW WR DSSO\ WR JHQHUDO PRELOH URERWV $GGLWLRQDOO\ LW FRQVLGHUHG
RQO\ SODQDU YHKLFOH PRWLRQ DQG ZDV QRW GHPRQVWUDWHG H[SHULPHQWDOO\
2WKHU ZRUN VWXGLHG DUWLFXODWHG VXVSHQVLRQ FRQWURO IRU WKH :KHHOHG $F
WLYHO\$UWLFXODWHG9HKLFOH :$$9 WRDOORZ GLIILFXOWPRELOLW\ PDQHXYHUV
6UHHQLYDVDQDQG :DOGURQ   6ROXWLRQVIRUWKH:$$9¶VVSHFLILFNL
QHPDWLF VWUXFWXUH ZHUH SUHVHQWHG DQG VWXGLHG LQ VLPXODWLRQ  2WKHU UH
VHDUFKHUV KDYHGHYHORSHG JHQHWLFDOJRULWKPVIRUUHSRVLWLRQLQJD YHKLFOH¶V
PDQLSXODWRUWRPRGLI\LWVFHQWHURIPDVVORFDWLRQDQGDLGPRELOLW\ )DUULWRU
HWDOE 7KLVDSSURDFKZDV FRPSXWDWLRQDOO\ LQWHQVLYHDQGWKXVQRW
VXLWHG IRU RQOLQH RSHUDWLRQ  1RQH RI WKH SUHYLRXVO\ SURSRVHG PHWKRGV
KDYHEHHQGHPRQVWUDWHGRQDQH[SHULPHQWDOURERWV\VWHPLQURXJKWHUUDLQ
,Q WKLVPRQRJUDSKDQHIILFLHQWPHWKRGIRUSODQQLQJWKHFRQILJXUDWLRQ RI
DQDFWLYHO\ DUWLFXODWHGVXVSHQVLRQLVSUHVHQWHGDQGDSSOLHGH[SHULPHQWDOO\
WR WKH -3/ 6DPSOH 5HWXUQ 5RYHU 655  +XQWVEHUJHU HW DO  ,DJ
QHPPDHWDO F ,DJQHPPDHW DO 6LPXODWLRQ DQGH[SHULPHQ
WDOUHVXOWVIRUWKH655XQGHUILHOGFRQGLWLRQVVKRZWKDWDUWLFXODWHGVXVSHQ
VLRQ FRQWUROFDQ JUHDWO\LPSURYHURYHUVWDELOLW\LQURXJKWHUUDLQ
 %DFNJURXQGDQG/LWHUDWXUH5HYLHZ 

)LJ-HW3URSXOVLRQ/DERUDWRU\6DPSOH 5HWXUQ5RYHU 655  VKRZQZLWKDF


WLYHO\ DUWLFXODWHG VXVSHQVLRQ DW WZR GLIIHUHQW SRVLWLRQV 1$6$ -HW 3URSXOVLRQ
/DERUDWRU\

q1

q2

)LJ$QDFWLYHO\DUWLFXODWHGVXVSHQVLRQURERWLPSURYLQJURXJK WHUUDLQWLSRYHU
VWDELOLW\E\ DGMXVWLQJMRLQWDQJOHV TDQGT

!5RXJK 7HUUDLQ &RQWURO

,Q!URXJK!WHUUDLQ!LW!LV!FULWLFDO!IRU!PRELOH!URERWV!WR!PDLQWDLQ!DGHTXDWH!ZKHHO
WUDFWLRQ! ([FHVVLYH!ZKHHO!VOLS!FRXOG!FDXVH!D!URERW!WR!UROO!RYHU!RU!GHYLDWH
IURP!LWV!LQWHQGHG!URXWH!$OVR!LI!H[FHVVLYH!IRUFH!LV!DSSOLHG!WR!D!WHUUDLQ!UH
JLRQ!WKH!VRLO!PD\!IDLO!DQG!LQGXFH!H[FHVVLYH!ZKHHO!VLQNDJH!ZKLFK!PD\
OHDG!WR!HQWUDSPHQW!6XEVWDQWLDO!ZRUN!KDV!EHHQ!SHUIRUPHG!RQ!WUDFWLRQ!FRQ
WURO!RI!SDVVHQJHU!YHKLFOHV!RSHUDWLQJ!RQ!IODW!URDGV! 0RKDQ!DQG!:LOOLDPV
 &KDSWHU ,QWURGXFWLRQ

 .DZDEH HW DO  9DQ =DQWHQ HW DO  9DQ =DQWHQ HW DO
 7KHVH DSSURDFKHVUHO\RQ PHFKDQLFDOWRUTXH GLVWULEXWLRQV\VWHPV
VXFKDVGLIIHUHQWLDOVZKLFKPRELOHURERWVJHQHUDOO\DUHQRWHTXLSSHGZLWK
)X]]\ ORJLF ZKHHOVOLS FRQWURO KDV EHHQ SURSRVHG IRU SDVVHQJHU YHKLFOHV
RQSDYHGURDGV 0DXHU&KHRNHWDO 7KHVHPHWKRGV DVVXPH
WKDW WKH YHKLFOH IRUZDUG YHORFLW\ LV NQRZQ ZKLFK DOORZV FRPSXWDWLRQ RI
ZKHHO VOLS 7KH ZKHHO VOLS LV WKHQ XVHG DV D FRQWURO YDULDEOH  +RZHYHU
IRUZDUG YHORFLW\ LV GLIILFXOW WR PHDVXUH RU HVWLPDWH IRU VORZPRYLQJ PR
ELOH URERWVVLQFH DWORZ VSHHGV PHDVXUHPHQWVIURP LQHUWLDO PHDVXUHPHQW
XQLWVDUHVXVFHSWLEOHWRQRLVH5HFHQWVWDWHHVWLPDWLRQWHFKQLTXHVEDVHGRQ
YLVXDOIHHGEDFN KDYHVKRZQSURPLVHIRUHVWLPDWLQJURERWIRUZDUGYHORFLW\
DWORZVSHHGV 2OVRQHWDO 
5HVHDUFKHUV KDYH SURSRVHG D YDULDEOHVWUXFWXUH FRQWURO DSSURDFK IRU
WUDFWLRQFRQWURORISDVVHQJHUYHKLFOHVRQSDYHGURDGVWKDW GRHVQRWXWLOL]HD
PHFKDQLFDOGLIIHUHQWLDO 7DQDQG&KLQ 7DQDQG&KLQ /HHDQG
7RPL]XND  +RZHYHUWKHVHDSSURDFKHV DVVXPHDIRUPRI WKH WUDF
WLRQVOLS UDWLR UHODWLRQVKLS WKDW LV YDOLG RQO\ IRU GHIRUPDEOH WLUHV RQ KDUG
WHUUDLQ ,QRIIURDG VLWXDWLRQV WKHZKHHOLVRIWHQULJLGZKLOH WKHWHUUDLQLV
GHIRUPDEOH  7KH UHVXOWLQJ PHFKDQLFV DUH VXEVWDQWLDOO\ GLIIHUHQWIURP WKH
GHIRUPDEOHWLUHULJLGWHUUDLQFDVH$GGLWLRQDOO\WKLVZRUNLV RQO\ SDUWLDOO\
DSSOLFDEOH WR URXJK WHUUDLQ VLWXDWLRQV VLQFH LQ URXJK WHUUDLQ ZKHHO VOLS LV
SULPDULO\ FDXVHG E\ NLQHPDWLF LQFRPSDWLELOLW\ RU ORRVH VRLO FRQGLWLRQV
UDWKHUWKDQ³EUHDNDZD\´ZKHHODFFHOHUDWLRQ
7UDFWLRQ FRQWURO IRU ORZVSHHG PRELOH URERWV RQ IODW WHUUDLQ KDV EHHQ
VWXGLHG 5HLVWHUDQG 8QVHUHQ /DWHUZRUN KDVFRQVLGHUHGWKHLPSRU
WDQW HIIHFWV RI WHUUDLQ XQHYHQQHVV 6UHHQLYDVDQ DQG :LOFR[   7KLV
ZRUNDVVXPHVNQRZOHGJHRIWHUUDLQJHRPHWU\DQGVRLO FKDUDFWHULVWLFV DQG
KDV QRWEHHQYDOLGDWHGH[SHULPHQWDOO\7HUUDLQ JHRPHWU\FDQEH PHDVXUHG
ZLWK VWDQGDUG UDQJH VHQVRUV KRZHYHU DV QRWHG DERYH WKH PHDVXUHG WHU
UDLQJHRPHWU\PD\QRWFRUUHVSRQGWRWKH JHRPHWU\ H[SHULHQFHG E\WKHUR
ERW IRU GHIRUPDEOH RU YHJHWDWLRQFRYHUHG WHUUDLQ $GGLWLRQDOO\ LQ PRVW
DSSOLFDWLRQV WKH VRLO FKDUDFWHULVWLFV DUH XQNQRZQ  $ IX]]\ORJLF WUDFWLRQ
FRQWURODOJRULWKPIRUDURFNHUERJLHURYHUWKDWGRHVQRWDVVXPHNQRZOHGJH
RI WHUUDLQ JHRPHWU\ KDV EHHQ GHYHORSHG +DFRW    7KLV DSSURDFK LV
EDVHG RQ KHXULVWLF UXOHV UHODWHG WR YHKLFOH PHFKDQLFV DQG DJDLQ DVVXPHV
WKDW WKH ZKHHO VOLS UDWLR LV PHDVXUDEOH ZKLFK LV JHQHUDOO\ QRW WUXH IRU
VORZPRYLQJ URERWV2WKHUUHVHDUFKHUV KDYH SURSRVHGDPHWKRGIRU PLQL
PL]LQJ ZKHHOVOLS E\V\QFKURQL]LQJ URERWZKHHO YHORFLWLHVLQ XQHYHQ WHU
UDLQ 3H\QRWDQG /DFURL[   7KLVZRUN UHOLHVRQDVVXPSWLRQVUHJDUG
LQJWKHVOLS VWDWHRID ZKHHO
,QWKLV PRQRJUDSKDURXJKWHUUDLQFRQWUROPHWKRGLV SUHVHQWHGWKDWXWLO
L]HVVLPSOHVHQVRU\LQSXWVWRRSWLPL]HZKHHOWRUTXHIRUPD[LPXPWUDFWLRQ
 $VVXPSWLRQV 

RUPLQLPXPSRZHUFRQVXPSWLRQGHSHQGLQJRQ WKHORFDO WHUUDLQGLIILFXOW\


,DJQHPPDDQG 'XERZVN\ E ,WGRHVQRWUHO\ RQ PHFKDQLFDOWRUTXH
GLVWULEXWLRQ V\VWHPV RU PHDVXUHPHQW RI ZKHHO VOLS 6LPXODWLRQ DQG H[
SHULPHQWDOUHVXOWVGHPRQVWUDWHWKHHIIHFWLYHQHVVRIWKH PHWKRG

!2XWOLQH RI 7KLV 0RQRJUDSK

7KLV!PRQRJUDSK!LV!FRPSRVHG!RI!ILYH!FKDSWHUV! 7KLV!FKDSWHU!VHUYHV!DV!DQ
LQWURGXFWLRQ DQG RYHUYLHZ RI WKH ZRUN DQG VXPPDUL]HV UHODWHG UHVHDUFK
&KDS!!DGGUHVVHV!URXJK!WHUUDLQ!PRGHOLQJ!DQG!HVWLPDWLRQ!E\!SUHVHQWLQJ
PRGHOV!IRU!PRELOH!URERW!NLQHPDWLF!DQDO\VLV!IRUFH!DQDO\VLV!DQG!ZKHHO
WHUUDLQ!LQWHUDFWLRQ! $ !PHWKRG!IRU!RQOLQH!HVWLPDWLRQ!RI!LPSRUWDQW!WHUUDLQ
SK\VLFDO!SDUDPHWHUV!LV!SUHVHQWHG! $ !PHWKRG!IRU!HVWLPDWLQJ!ZKHHOWHUUDLQ
FRQWDFW!DQJOHV!IURP!RQERDUG!VHQVRUV!LV!DOVR!SUHVHQWHG! 6LPXODWLRQ!DQG
H[SHULPHQWDO!UHVXOWV!DUH!SUHVHQWHG!IRU!D!VL[ZKHHOHG!URYHU!LQ!URXJK!VDQG\
WHUUDLQ
&KDS  DGGUHVVHV URXJK WHUUDLQ PRWLRQ SODQQLQJ E\ SUHVHQWLQJ WZR PR
WLRQ SODQQLQJ DOJRULWKPV!7KH JRDO RI WKH ILUVW SODQQLQJ PHWKRG LV WR ILQG D
VDIH GLUHFW SDWK IURP WKH URYHU¶V FXUUHQW SRVLWLRQ WR D !
JRDO SRVLWLRQ VHYHUDO
URYHU!OHQJWKV!GLVWDQW!7KH!JRDO!RI!WKH!VHFRQG!SODQQLQJ!PHWKRG!LV!WR!GHWHU
PLQH!WKH!RSWLPDO!FRQILJXUDWLRQ!RI!DQ!DFWLYHO\!DUWLFXODWHG!VXVSHQVLRQ!URYHU
WR!LPSURYH!WLSRYHU!VWDELOLW\!GXULQJ!WUDYHO!LQ!URXJK!WHUUDLQ!6LPXODWLRQ!DQG
H[SHULPHQWDO!UHVXOWV!DUH!SUHVHQWHG!IRU!WKH!-3/!655!RSHUDWLQJ!LQ!RXWGRRU
WHUUDLQ
&KDS!!DGGUHVVHV!URXJK!WHUUDLQ!FRQWURO!E\!SUHVHQWLQJ!D!VHUYROHYHO!FRQ
WURO!PHWKRG!IRU!LPSURYHG!ZKHHO!WUDFWLRQ!RU!UHGXFHG!SRZHU!FRQVXPSWLRQ!LQ
URXJK WHUUDLQ!6LPXODWLRQ!DQG!H[SHULPHQWDO!UHVXOWV!DUH!SUHVHQWHG IRU!D!VL[
ZKHHOHG URYHU LQ URXJK VDQG\ WHUUDLQ
&KDS!!VXPPDUL]HV!WKH!FRQWULEXWLRQV!RI!WKLV!PRQRJUDSK!DQG!SUHVHQWV
VXJJHVWLRQV IRU IXWXUH ZRUN

!$VVXPSWLRQV

7KHUH!DUH!WKUHH!SULPDU\!DVVXPSWLRQV!PDGH!LQ!WKH!ZRUN!SUHVHQWHG!LQ!WKLV
PRQRJUDSK!7KH ILUVW LV WKDW WKH URERWLF V\VWHPV XQGHU FRQVLGHUDWLRQ PRYH
VORZO\!DQG WKXV IRUFHV DULVLQJ IURP G\QDPLF HIIHFWV DUH VPDOO!$V D UHVXOW
WKH!PHWKRGV!DQG!DOJRULWKPV!SUHVHQWHG!KHUH!UHO\!RQ!NLQHPDWLF! UDWKHU!WKDQ
G\QDPLF DQDO\VLV!7KLV DVVXPSWLRQ ZDV PRWLYDWHG E\ WKH REVHUYDWLRQ WKDW
 &KDSWHU ,QWURGXFWLRQ

D EURDG UDQJH RI URXJK WHUUDLQ V\VWHPV LQFOXGLQJ SODQHWDU\ H[SORUDWLRQ


URYHUVPRYH DWVSHHGVRQWKHRUGHURI FPVHF$W WKHVHVSHHGVIRUFHV
GXH WR URERW G\QDPLFV DUH QHJOLJLEOH  5HFHQW UHVHDUFK LQWR KLJKHUVSHHG
V\VWHPV IRU DSSOLFDWLRQVVXFK DV PLOLWDU\ UHFRQQDLVVDQFH KDVFRQVLGHUHG
V\VWHPV PRYLQJ DW VSHHGV RQ WKH RUGHU RI  PV RU KLJKHU  $W WKHVH
VSHHGV RQXQHYHQWHUUDLQ URERWG\QDPLFVSOD\DVLJQLILFDQWUROHDQGFDQ
QRW EH LJQRUHG  7KH H[WHQVLRQ RI VRPH RI WKH PHWKRGV GHVFULEHG LQ WKLV
PRQRJUDSK WRKLJKVSHHGURERWLFV\VWHPVLVDQDUHDRI FXUUHQWUHVHDUFK
7KHVHFRQG DVVXPSWLRQLVWKDWWKHURERWZKHHOVDUHVWLIIUHODWLYHWRWKH
WHUUDLQ  7KLV DQDO\VLV LV RQH RI IRXU SRVVLEOH ZKHHOWHUUDLQ LQWHUDFWLRQ
FDVHV2WKHUFDVHVDUHDULJLGZKHHOWUDYHOLQJRYHUULJLGWHUUDLQ DGHIRUP
DEOH ZKHHO WUDYHOLQJ RYHU ULJLG WHUUDLQ DQG D GHIRUPDEOH ZKHHO WUDYHOLQJ
RYHUGHIRUPDEOHWHUUDLQDVVKRZQLQ)LJ

D E

 F G
)LJ)RXUFDVHVRIZKHHOWHUUDLQLQWHUDFWLRQPHFKDQLFV D ULJLGZKHHOWUDYHO
LQJ RYHU GHIRUPDEOH WHUUDLQ E  ULJLG ZKHHO WUDYHOLQJ RYHU ULJLG WHUUDLQ F  GH
IRUPDEOH ZKHHO WUDYHOLQJ RYHU ULJLG WHUUDLQ DQG G  GHIRUPDEOH ZKHHO WUDYHOLQJ
RYHUGHIRUPDEOHWHUUDLQ

,W LV LPSRUWDQW WR GLVWLQJXLVK EHWZHHQ WKHVH FDVHV DV IXQGDPHQWDO
ZKHHOWHUUDLQ PHFKDQLFV YDU\ GHSHQGLQJ RQ WKH LQWHUDFWLRQ FRQGLWLRQV
%HNNHU3ODFNHWW:RQJ  +HUHWKHFDVHRIDULJLGZKHHO
LQGHIRUPDEOHWHUUDLQLVH[DPLQHGDVWKLVLV WKHFRQGLWLRQIRUPDQ\URXJK
WHUUDLQV\VWHPVLQFOXGLQJSODQHWDU\H[SORUDWLRQURYHUV1RWHWKDWWKLVFDVH
 $VVXPSWLRQV 

LVFRPPRQLQ WHUUHVWULDOYHKLFOHVVLQFHDSQHXPDWLFWLUHFDQEHFRQVLGHUHG
ULJLGLILWVLQIODWLRQ SUHVVXUHLVKLJKFRPSDUHGWRWKHWHUUDLQVWLIIQHVV %HN
NHU  3URSHUDQDO\VLVRIDZKHHOWHUUDLQV\VWHP GHSHQGV RQWKHUHOD
WLYHVWLIIQHVV RIERWKWKHZKHHODQGWHUUDLQ
7KHWKLUGDVVXPSWLRQXVHGLQWKLVPRQRJUDSKLVWKDWZKHHOWHUUDLQFRQ
WDFWFDQEHPRGHOHGDVRFFXUULQJDWDVLQJOHSRLQWDQGWKDWDZKHHOWHUUDLQ
FRQWDFWDQJOHFDQEH GHILQHG E\WKHORFDWLRQRIWKDWSRLQWRQWKHZKHHOULP
7KLVLV YDOLGIRU WKHDVVXPHGFDVHRI D ULJLGZKHHOWUDYHOLQJRYHUGHIRUP
DEOHWHUUDLQVLQFHDQ³HIIHFWLYH´ ZKHHOWHUUDLQFRQWDFWDQJOH DQG WKHUHIRUH
SRLQW  FDQ EH GHILQHG DV WKH DQJXODU GLUHFWLRQ RI WUDYHO LPSRVHG RQ WKH
ZKHHOE\WKHWHUUDLQGXULQJPRWLRQDVLOOXVWUDWHGLQ)LJ  7KLVDVVXPS
WLRQLVDOVRFOHDUO\ YDOLGIRUWKHFDVH RIDULJLG ZKHHOWUDYHOLQJRYHUULJLG
WHUUDLQ GHVFULEHGDERYH

g
g

)LJ(IIHFWLYHZKHHOWHUUDLQFRQWDFWDQJOHIRUULJLGZKHHORQGHIRUPDEOH WHU
UDLQDQGDQDQDORJRXVFDVHIRUDULJLGZKHHORQULJLGWHUUDLQ
&KDSWHU 
5RXJK 7HUUDLQ 0RELOH 5RERW 0RGHOLQJ
DQG (VWLPDWLRQ

 ,QWURGXFWLRQ

.LQHPDWLFDQGG\QDPLFPRGHOLQJDUHIXQGDPHQWDODVSHFWV RIPRELOHURERW
DQDO\VLVPRWLRQ SODQQLQJDQGFRQWURO7UDGLWLRQDOO\IRUURERWVRSHUDWLQJ
RQOHYHOVPRRWK VXUIDFHV HJODERUDWRU\IDFWRU\RUKRVSLWDOIORRUV  NL
QHPDWLFDQGG\QDPLF PRGHOVUHO\ RQNQRZOHGJHRI URERWGHVLJQSDUDPH
WHUVVXFKDV ZKHHOGLDPHWHUDQGVSDFLQJLQHUWLDOSDUDPHWHUVPRWRUFKDUDF
WHULVWLFV HWF  7KLV LQIRUPDWLRQ FDQ WKHQ EH XVHG WR GHYHORS PRGHOV WKDW
\LHOGLQVLJKWVDERXWURERW PRELOLW\6XFKPRGHOVFDQDOVREHXVHGDVDED
VLVIRUPRWLRQSODQQLQJDQGFRQWURODOJRULWKPV
,QURXJKWHUUDLQVXUIDFHFKDUDFWHULVWLFV KDYH DVLJQLILFDQWLPSDFWRQUR
ERW SHUIRUPDQFH  7KLV LQFOXGHV ERWK VXUIDFH WUDFWLRQ FKDUDFWHULVWLFV DQG
VXUIDFHXQHYHQQHVVSURSHUWLHV,Q DSSOLFDWLRQVVXFKDVSODQHWDU\ H[SORUD
WLRQLWLVLPSRUWDQWWKDWPRWLRQSODQQLQJDQGFRQWURODOJRULWKPVEHUREXVW
DQGIOH[LEOHHQRXJKWRRSHUDWHHIIHFWLYHO\XQGHUYDULRXVWHUUDLQFRQGLWLRQV
7KXV WR RSWLPL]H V\VWHP SHUIRUPDQFH VRPH NQRZOHGJH RI WKH VXUIDFH
FKDUDFWHULVWLFV PXVW EH FRQVLGHUHG LQ WKH URERW PRGHO  7KLV UHSUHVHQWV D
IXQGDPHQWDOGLIIHUHQFHEHWZHHQ³WUDGLWLRQDO´URERWDQDO\VLVDQGURXJKWHU
UDLQURERWLFDQDO\VLV
7KLV FKDSWHU SUHVHQWV D GHVFULSWLRQ RI WKH URXJK WHUUDLQ NLQHPDWLF DQG
IRUFH DQDO\VLV SUREOHPV ZKLFK DUH LQWHJUDO WR PDQ\ DVSHFWV RI PRWLRQ
SODQQLQJ DQGFRQWURO.LQHPDWLFDQGIRUFHDQDO\VHVDUHVKRZQWRUHO\ RQ
DQ XQGHUVWDQGLQJ RI URERW ZKHHOWHUUDLQ LQWHUDFWLRQ  6SHFLILFDOO\ LW LV
VKRZQ LQ6HFWWKDWHVWLPDWLQJWHUUDLQSK\VLFDOSDUDPHWHUVDQGZKHHO
WHUUDLQ FRQWDFWDQJOHVDUHLPSRUWDQWIRUDFFXUDWH NLQHPDWLFDQG IRUFH DQDO\
VLV$PHWKRGIRURQOLQHHVWLPDWLRQRIWHUUDLQSK\VLFDOSDUDPHWHUVLVSUH
VHQWHG LQ 6HFW   6LPXODWLRQ DQG H[SHULPHQWDO UHVXOWV IRU WHUUDLQ SD
UDPHWHU HVWLPDWLRQ DUH SUHVHQWHG LQ 6HFW   $ PHWKRG IRU RQOLQH
HVWLPDWLRQRIZKHHOWHUUDLQFRQWDFWDQJOHVLVSUHVHQWHGLQ6HFW6LPX
ODWLRQDQG H[SHULPHQWDOUHVXOWVIRU FRQWDFW DQJOHHVWLPDWLRQDUH SUHVHQWHG

K. Iagnemma and S. Dubovsky: Mobile Robots in Rough Terrain, STAR 12, pp. 17–50, 2004.
© Springer-Verlag Berlin Heidelberg 2004
 &KDSWHU 5RXJK 7HUUDLQ0RELOH5RERW 0RGHOLQJDQG(VWLPDWLRQ

LQ 6HFW  6HFW  LV D FKDSWHU VXPPDU\ DQG SUHVHQWV FRQFOXVLRQV
GUDZQIURPWKHZRUN
,W LV VKRZQ WKDW WHUUDLQ SK\VLFDO SDUDPHWHUV DQG ZKHHOWHUUDLQ FRQWDFW
DQJOHV FDQ EH DFFXUDWHO\ HVWLPDWHG XVLQJ RQERDUG VHQVRUV ZLWK OLPLWHG
FRPSXWDWLRQDOHIIRUW GHVSLWH WKH SUHVHQFH RI QRLVH 7KLV OHDGV WR DQ LP
SURYHGXQGHUVWDQGLQJRIPRELOHURERWSHUIRUPDQFHLQURXJKWHUUDLQ

!5RERW .LQHPDWLF DQG )RUFH $QDO\VLV

$IXQGDPHQWDO DVSHFWRI PRELOHURERW DQDO\VLVLVNLQHPDWLF DQG G\QDPLF


PRGHOLQJ 1XPHURXVUHVHDUFKHUVKDYHDGGUHVVHGWKHSUREOHPRIPRGHOLQJ
PRELOHURERWVRQOHYHOVPRRWKVXUIDFHVDVGHVFULEHGLQ6HFW +HUH
WKH SUREOHPV RI URXJKWHUUDLQ NLQHPDWLFDQGIRUFHDQDO\VLV DUH SUHVHQWHG
IRU WKH SXUSRVH RI LOOXVWUDWLQJ FKDOOHQJHV UHODWLQJ WR URXJK WHUUDLQ RSHUD
WLRQ 1RWH WKDW LQ WKLV PRQRJUDSK WKH JHQHUDO SUREOHP RI PRELOH URERW
PRGHOLQJLVQRWDGGUHVVHG 2QO\LVVXHVUHODWHGVSHFLILFDOO\WRURXJKWHUUDLQ
RSHUDWLRQDUHFRQVLGHUHG

!5RERW .LQHPDWLF $QDO\VLV

7KHSXUSRVHRINLQHPDWLFDQDO\VLVLVWRGHWHUPLQHDURERW¶VNLQHPDWLFFRQ
ILJXUDWLRQ RQ DQ DUELWUDU\ WHUUDLQ SURILOH 7KLV LV XVHIXO IRU PRWLRQ SODQ
QLQJDOJRULWKPVWKDWDWWHPSWWRGHWHUPLQHLIDURERWFDQSK\VLFDOO\FRQIRUP
WRDJLYHQWHUUDLQUHJLRQZLWKRXW YLRODWLQJ MRLQW OLPLWRULQWHUIHUHQFHFRQ
VWUDLQWV 6XFKDSODQQLQJDOJRULWKPZLOOEHSUHVHQWHGLQ6HFW
,QWKLVZRUNWKHLQYHUVHNLQHPDWLFVSUREOHPLVRISULPDU\LQWHUHVWDQG
FDQEHLQIRUPDOO\VWDWHGDVIROORZV*LYHQ DQ HOHYDWLRQ PDS RI WKH WHUUDLQ
DQG!WKH!SRVLWLRQ!RI!D!SRLQW!RQ!WKH!URERW!ERG\!FRPSXWH!WKH!RULHQWDWLRQ
4)< !RI!WKH!URERW!ERG\!DQG!WKH!FRQILJXUDWLRQ! TTQ !RI!WKH!URERW
VXVSHQVLRQ!7KHTXDQWLWLHV 4)< DUHWKHERG\UROOSLWFKDQG\DZUH
VSHFWLYHO\ DQG TTQ !DUH YDULDEOHV UHODWHG WR DUWLFXODWLRQ RU VXVSHQ
VLRQMRLQWVWKHURERWPD\SRVVHVV $QLOOXVWUDWLRQRIWKHLQYHUVHNLQHPDWLFV
SUREOHPLVVKRZQLQ)LJ
$Q H[DPSOH RI SDUWLFXODU LQWHUHVW LV WKH NLQHPDWLF DQDO\VLV RI D URERW
ZLWKDURFNHUERJLHVXVSHQVLRQDVVKRZQLQ)LJ 7DURNKHWDO
%LFNOHU   6LPLODU NLQHPDWLF FRQILJXUDWLRQV KDYH EHHQ VXFFHVVIXOO\
HPSOR\HGE\WKH0DUV6RMRXUQHUDQG0DUV([SORUDWLRQURYHUV 6XFKVXV
SHQVLRQVFDQEHGHVLJQHGWRHTXDOL]HORDGDPRQJZKHHOVGXULQJWUDYHUVDO
RIXQHYHQWHUUDLQWKHUHE\PD[LPL]LQJDOORZDEOHWUDFWLYHIRUFH
 5RERW .LQHPDWLFDQG)RUFH$QDO\VLV 

7HQ SDUDPHWHUVDUHUHTXLUHG WRGHILQHWKHFRQILJXUDWLRQ RIWKHURERW LQ


)LJ
 7KHSRVLWLRQRI DSRLQWRQWKHURERWERG\ SF >S[S\S]@7H[SUHVVHGLQDQ
LQHUWLDOIUDPH^;<=` +HUHZHFKRRVHZLWKRXWORVVRIJHQHUDOLW\ WKDWSF
LVFRLQFLGHQW ZLWKWKHURERWFHQWHURI PDVV
 7KHRULHQWDWLRQRIWKHURERWERG\ 4)< H[SUHVVHGLQ^;<=`
 7KHMRLQWDQJOHYDOXHVRIWKHURFNHUERJLH PHFKDQLVP TUTUTOTO 
7KH LQYHUVH NLQHPDWLFV SUREOHP FDQ EH VWDWHG DV IROORZV *LYHQ D
SRLQWZLVHWHUUDLQHOHYDWLRQ PDS] [\ WKHSRVLWLRQ RIWKHURERW FHQWHURI
PDVVSFDQGWKHURERWKHDGLQJ <FRPSXWHWKHRULHQWDWLRQ 4) DQGWKH
MRLQWDQJOHYDOXHV TU TU TO TO  +HUHDQ(XOHUDQJOH SDUDPHWHUL]DWLRQ
LVHPSOR\HGLQWKHRUGHU<WKHQ 4WKHQ )1RWHWKDWLQUHDOZRUOGDSSOL
FDWLRQV WKH WHUUDLQ HOHYDWLRQ PDS RU D VSDUVH HVWLPDWH WKHUHRI LV RIWHQ
PHDVXUHGE\ RQERDUGUDQJHILQGHUV\VWHPVRUNQRZQDSULRULIURPVDWHO
OLWHRUVXUYH\PHDVXUHPHQWV

(x,y)

q1

q4
Q
q2
q3

)LJ ,OOXVWUDWLRQRIURERWLQYHUVHNLQHPDWLFVSUREOHP
 &KDSWHU 5RXJK 7HUUDLQ0RELOH5RERW 0RGHOLQJDQG(VWLPDWLRQ

Y
Z
Y F

pc
X Q

q1l
q1r

q2l
q1r

)LJ.LQHPDWLFGHVFULSWLRQRIDVL[ZKHHOHGURERWZLWK DURFNHUERJLHVXVSHQ
VLRQ

)RU D YHKLFOH ZLWK P XQLTXH ZKHHOWHUUDLQ FRQWDFW SRLQWV DW OHDVW P
NLQHPDWLFORRSFORVXUHHTXDWLRQVFDQ EH ZULWWHQ (FNKDUGW )RUWKH
FDVHRIURERWVKRZQ LQ)LJWKHVHORRSFORVXUHHTXDWLRQVFDQEHZULWWHQ
DV
] UU ]OU  O FRV 4 VLQ TU  VLQ TO  Z VLQ 4   

] UU ]OP  FRV 4 O VLQ TU  O FRVTO  O VLQ T O  Z VLQ 4   

] UU ]OI  FRV 4 O VLQ TU  O FRVTO  O FRVT O  Z VLQ 4   

] UU ] UP  FRV 4 O VLQ TU  O FRVTU  O VLQ T  U   

] UU ] UI  FRV 4 O VLQ TU  O FRVTU  O FRVT  U   

ZKHUH ]LML ^UO`M ^UPI`UHIHUVWRWKH]FRPSRQHQWRI SLMZLWKLQGH[ L


UHIHUULQJWRWKHULJKWRU OHIWVLGHDQGLQGH[ MUHIHUULQJWRWKHUHDUPLGGOH
RUIURQWZKHHO
'XHWRWKHPHFKDQLFDOGLIIHUHQWLDOLQWKLVV\VWHPDQ DGGLWLRQDOHTXDWLRQ
FDQEH ZULWWHQ UHODWLQJWKHSLWFK)WRWKHDQJOHV TUDQGTO
T U  T O
)  T cU  

 5RERW .LQHPDWLFDQG)RUFH$QDO\VLV 

ZKHUH TcU!LVWKHYDOXHRI TU!ZKHQWKHURERWLVRQIODWWHUUDLQ 7KXV VL[


XQLTXHNLQHPDWLFHTXDWLRQVFDQEHZULWWHQWRGHVFULEHWKHURERWLQ)LJ
7KHSRVLWLRQSF!DQGKHDGLQJ <DUHWDNHQDVLQSXWVVLQFHWKHJRDORINL
QHPDWLF DQDO\VLV LV WR SUHGLFW NLQHPDWLF YDOLGLW\ DQG VWDWLF VWDELOLW\ DW D
JLYHQ SRLQW LQWKHWHUUDLQ 7KXVWKH URERWZLOO EH ³YLUWXDOO\ SODFHG´DW D
SRLQW LQWKHWHUUDLQ PDS DQGNLQHPDWLFDQDO\VLVZLOOEH SHUIRUPHGWRGH
WHUPLQH LI WKH SRLQW LV NLQHPDWLFDOO\ YDOLG .QRZOHGJH RI SRVLWLRQ DQG
KHDGLQJUHGXFHVWKH QXPEHURI XQNQRZQSDUDPHWHUVWRVL[ZKLFKFDQEH
GHWHUPLQHGE\VROYLQJWKHV\VWHPRI(TV  
1XPHULFDO WHFKQLTXHV VXFK DV 1HZWRQ¶V PHWKRG DQG VWHHSHVW GHVFHQW
FDQ EH DSSOLHG WR WKLV SUREOHP DOWKRXJK FRQYHUJHQFH LV QRW JXDUDQWHHG
VLQFHWKHWHUUDLQ HOHYDWLRQ PDSLVJHQHUDOO\ QRW UHSUHVHQWHGE\ D FRQWLQX
RXVO\ GLIIHUHQWLDEOH IXQFWLRQ $Q HIILFLHQW VROXWLRQ PHWKRG IRU URERW LQ
YHUVHNLQHPDWLFVSUREOHPVKDVEHHQSUHVHQWHGLQ +DFRW  +HUHZH
VLPSO\SRLQWRXWWKDWZKHHOWHUUDLQFRQWDFWRQXQHYHQWHUUDLQFDQRFFXUDW
YDULRXVORFDWLRQVDORQJWKHZKHHOULPDQGWKLVORFDWLRQLQIOXHQFHVWKHVR
OXWLRQWRWKHLQYHUVHNLQHPDWLFVSUREOHP $OVRURERWZKHHOVPD\H[SHUL
HQFHYDU\LQJDPRXQWVRIVLQNDJHZKLFKDOVRDIIHFWVWKHLQYHUVHNLQHPDWLFV
VROXWLRQ

!5RERW )RUFH $QDO\VLV

7KH SXUSRVHRIIRUFHDQDO\VLVLVWRGHWHUPLQHLIDURERWFDQH[HUWHQRXJK
WKUXVWRQDQDUELWUDU\WHUUDLQSURILOHWRSURGXFHPRWLRQLQDJLYHQGLUHFWLRQ
ZLWKRXW YLRODWLQJ PRWRU WRUTXH VDWXUDWLRQ RU WHUUDLQ WUDFWLRQ FRQVWUDLQWV
7KHIRUFHDQDO\VLVSUREOHPFDQEHLQIRUPDOO\VWDWHGDVIROORZV*LYHQ WKH
URERW FRQILJXUDWLRQ DQG ZKHHOWHUUDLQ FRQWDFW DQJOHV GHWHUPLQH LI D VHW RI
ZKHHOWHUUDLQ FRQWDFW IRUFHV H[LVW WKDW FDQ SURYLGH D ERG\ IRUFH!YHFWRU LQ
WKH GLUHFWLRQ RI GHVLUHG PRWLRQ
$VL[ZKHHOHGPRELOHURERWZLWKDURFNHUERJLHVXVSHQVLRQ RQXQHYHQ
WHUUDLQLVVKRZQLQ)LJ 7KHYHFWRUVIL >IL[!IL\!IL]@7L ^ «`UHSUH
VHQWZKHHOWHUUDLQLQWHUDFWLRQIRUFHVDQGDUHH[SUHVVHGLQWKHLQHUWLDOIUDPH
^;<=` 7KH YHFWRUV 3L!  >SL[!SL\!SL]@7 L ! ^«` DUH GLUHFWHG IURP WKH
ZKHHOWHUUDLQFRQWDFWSRLQWVWRWKHURERWFHQWHURIPDVVSF DQGDUHDOVRH[
SUHVVHG LQ WKH LQHUWLDO IUDPH ^;<=` 7KH YHFWRU IV >)V[!)V\!)V]!0V[!0V\
0V]@7!DWWKHFHQWHURIPDVVUHSUHVHQWVWKHVXPPHGHIIHFWVRIJUDYLWDWLRQDO
IRUFHV LQHUWLDO IRUFHV PDQLSXODWLRQ IRUFHV DQG IRUFHV GXH WR LQWHUDFWLRQ
ZLWKWKHHQYLURQPHQW RU RWKHUURERWV /LQN ERG\DQG ZKHHO PDVVHV DUH
OXPSHGDWWKHFHQWHURIPDVVZKLFKLVDVVXPHGWREHIL[HG
1RWHWKDWIV SRVVHVVHVDXVHUVSHFLILHGFRPSRQHQWLQWKHGLUHFWLRQRIGH
VLUHGPRWLRQ 7KXVLIDVHWRIZKHHOWHUUDLQLQWHUDFWLRQIRUFHYHFWRUVIL!FDQ
 &KDSWHU 5RXJK 7HUUDLQ0RELOH5RERW 0RGHOLQJDQG(VWLPDWLRQ

EH IRXQG FDQ SURYLGH DVPDOO SRVLWLYH ERG\ IRUFH YHFWRUIVWKHURERW FDQ
PRYHLQWKHGLUHFWLRQRIGHVLUHGPRWLRQ7KLV DVVXPHVWKDWPRWLRQUHVLV
WDQFH GXH WR WHUUDLQ HIIHFWV VXFK DV VRLO FRPSDFWLRQ  LV VPDOO  ,Q FDVHV
ZKHUHPRWLRQUHVLVWDQFH LVH[SHFWHGWREHODUJHIVFDQEHFKRVHQWREHODU
JHUWKDQWKH HVWLPDWHGQHWUHVLVWDQFHIRUFH

Y
pc
X
fs

p4
p1
p5
f1 p2 f4
p6
p3 f5
f2
f6
f3

)LJ )RUFHDQDO\VLVRIDVL[ZKHHOHGURERWLQURXJKWHUUDLQ

$ VHW RI TXDVLVWDWLF IRUFH EDODQFH HTXDWLRQV IRU WKH VL[ZKHHOHG URERW
VKRZQLQ )LJFDQ EHZULWWHQDV
ª º
« ,  , »
« » ª I º
« \ »«  » IV
«  S] S\  ]
S S » « »
I
« S ]   S[   S]   S[ » ¬ ¼  
« \ »
¬« S S[   S\ S[  ¼»
ZKHUH , UHSUHVHQWV D  [  LGHQWLW\ PDWUL[  7KLV VHW RI HTXDWLRQV FDQ EH
ZULWWHQLQ PDWUL[IRUPDV
*[ IV  
7
ZKHUH [ >I IIIII@ 
7KH VROXWLRQ WR (T   ZLOO EH GLVFXVVHG LQ GHWDLO LQ &KDS  LQ WKH
FRQWH[WRIPRWLRQ FRQWURORIURERWLFV\VWHPVRQ XQHYHQWHUUDLQ+HUHZH
HPSKDVL]H WKDW WKH VROXWLRQ WR (T   UHOLHV RQ DQ XQGHUVWDQGLQJ RI
ZKHHOWHUUDLQLQWHUDFWLRQ6SHFLILFDOO\ QRWHWKDW WKHZKHHOWHUUDLQFRQWDFW
 5RERW .LQHPDWLFDQG)RUFH$QDO\VLV 

IRUFH YHFWRUV IL FDQ EH GHFRPSRVHG LQWR D WUDFWLYH IRUFH 7L WDQJHQW WR WKH
ZKHHOWHUUDLQFRQWDFWSODQHDQRUPDOIRUFH1L QRUPDOWRWKHZKHHOWHUUDLQ
FRQWDFWSODQH DQGDODWHUDOIRUFH/LLQWKHZKHHOWHUUDLQFRQWDFWSODQHSDU
DOOHOWR WKHZKHHOD[LVRIURWDWLRQ VHH)LJ  7L DQG1LDUHIXQFWLRQVRI
WKH DSSOLHG ZKHHO WRUTXH ZKLFK DUH WKH FRQWUROODEOH LQSXWV WR WKH URERW
V\VWHP /L LVJHQHUDOO\XQFRQWUROODEOHH[FHSWIRUYHKLFOHVZLWK H[WHQVLEOH
D[OHV  7KHUHIRUHWRSRVHWKHIRUFHDQDO\VLVSUREOHP WKHRULHQWDWLRQRIWKH
ZKHHOWHUUDLQ FRQWDFWSODQHVKHUH WHUPHGWKH ZKHHOWHUUDLQFRQWDFWDQJOHV
PXVWEH NQRZQ7KHVROXWLRQWRWKLV SUREOHP ZLOOEHGLVFXVVHGODWHULQWKLV
FKDSWHU

Ni fi

Li

Ti

)LJ 'HFRPSRVLWLRQRIZKHHOWHUUDLQFRQWDFWIRUFHYHFWRU

:HDOVRHPSKDVL]HWKDWWKHVROXWLRQRIWKHIRUFHDQDO\VLVSUREOHPPXVW
REH\ SK\VLFDO FRQVWUDLQWV LQFOXGLQJ WKH FRQVWUDLQW WKDW WKH WUDFWLYH IRUFH
PXVWQRWH[FHHGWKH PD[LPXP VKHDUIRUFHWKDWWKH WHUUDLQFDQEHDU7KH
PD[LPXPWHUUDLQ VKHDUIRUFHLVDIXQFWLRQRIWKHWHUUDLQFRKHVLRQDQGLQ
WHUQDOIULFWLRQDQJOHDQGFDQFRPSXWHGIURP&RXORPE¶VHTXDWLRQ
W PD[ F  V PD[ WDQ I  
ZKHUHFLVWKHWHUUDLQFRKHVLRQ DQGILVWKHLQWHUQDOIULFWLRQDQJOH
,IWKHDSSOLHGWUDFWLYH SUHVVXUHH[FHHGVWPD[WHUUDLQIDLOXUHDQGH[FHVVLYH
ZKHHOVOLSPD\RFFXUZKLFKZLOOJUHDWO\UHGXFHWKHZKHHOWUDFWLRQ7KXV
 &KDSWHU 5RXJK 7HUUDLQ0RELOH5RERW 0RGHOLQJDQG(VWLPDWLRQ

WRSUHGLFW WPD[ DQGSURSHUO\FRQVWUDLQWKHIRUFHDQDO\VLVSUREOHP FDQG I


PXVWEHNQRZQ$PHWKRGIRUHVWLPDWLRQRIWKHVHSDUDPHWHUVZLOOEHSUH
VHQWHGODWHULQWKLV FKDSWHU
,Q VXPPDU\ NLQHPDWLF DQG IRUFH DQDO\VHV DUH LPSRUWDQW HOHPHQWV RI
URXJK WHUUDLQ PRWLRQ SODQQLQJ DQG FRQWURO DOJRULWKPV  7R SRVH WKHVH
DQDO\VHVNH\WHUUDLQSDUDPHWHUVDQGWKHZKHHOWHUUDLQFRQWDFWDQJOHVPXVW
EH NQRZQ  0HWKRGV IRU VHQVRUEDVHG HVWLPDWLRQ RI WKHVH TXDQWLWLHV DUH
GLVFXVVHGEHORZ

 7HUUDLQ&KDUDFWHUL]DWLRQDQG,GHQWLILFDWLRQ

7KHSXUSRVHRIWHUUDLQFKDUDFWHUL]DWLRQDQGLGHQWLILFDWLRQLVWRLGHQWLI\NH\
WHUUDLQ SDUDPHWHUV IRU XVH LQ ZKHHOWHUUDLQ LQWHUDFWLRQ PRGHOV  7KLV ZLOO
HQDEOHDFFXUDWHWHUUDLQWUDYHUVDELOLW\ SUHGLFWLRQ
:KHHOWHUUDLQ LQWHUDFWLRQ SOD\V D FULWLFDO UROH LQ URXJK WHUUDLQ PRELOLW\
%HNNHU :RQJ  1XPHURXV UHVHDUFKHUVKDYHGHYHORSHG
PRGHOVRIZKHHOWHUUDLQLQWHUDFWLRQWKDWUHO\RQSK\VLFDOWHUUDLQSDUDPHWHUV
WKDW PXVWEH PHDVXUHGRU HVWLPDWHG,WLVLPSRUWDQWWRHVWLPDWHWKHVHSD
UDPHWHUV RQOLQH VLQFH WKLV ZRXOG DOORZ D URERW WR SUHGLFW LWV DELOLW\ WR
VDIHO\WUDYHUVHWHUUDLQ ,DJQHPPDHWDO ,WZRXOGDOVRDOORZDURERW
WRDGDSWLWVFRQWURODQGSODQQLQJVWUDWHJ\WRFKDQJLQJWHUUDLQFRQGLWLRQVWR
PD[LPL]HZKHHOWUDFWLRQRUPLQLPL]HSRZHU FRQVXPSWLRQ ,DJQHPPD DQG
'XERZVN\E )LQDOO\HVWLPDWLRQ RIWHUUDLQSDUDPHWHUV LVDQLPSRU
WDQW VFLHQWLILFJRDORISODQHWDU\VXUIDFH H[SORUDWLRQPLVVLRQV 0RRUHHWDO
0DWLMHYLFHWDO 
+HUHDPHWKRGIRURQOLQHHVWLPDWLRQRIWZRNH\ WHUUDLQSDUDPHWHUVFR
KHVLRQ F  DQG LQWHUQDO IULFWLRQ DQJOH I LV SUHVHQWHG ,DJQHPPD HW DO
  7KHVH SDUDPHWHUV FDQ EH XVHG WR FRPSXWH WKH PD[LPXP WHUUDLQ
VKHDUVWUHQJWK WPD[IURP&RXORPE¶VHTXDWLRQ (T  6LQFHVRLOIDLO
XUH RFFXUVZKHQWKH PD[LPXP VKHDUVWUHQJWKLVH[FHHGHGNQRZOHGJH RI F
DQGI FDQEHXVHGWRSUHGLFWURERWWUDYHUVDELOLW\RQIODWDQGVORSHGWHUUDLQ
7R HVWLPDWHWHUUDLQSDUDPHWHUVHTXDWLRQVUHODWLQJWKHSDUDPHWHUVRILQ
WHUHVWWRSK\VLFDOO\PHDVXUDEOH TXDQWLWLHVPXVW EHGHYHORSHG $IUHHERG\
GLDJUDPRIDGULYHQ ULJLGZKHHORIUDGLXV UDQGZLGWK EWUDYHOLQJWKURXJK
GHIRUPDEOHWHUUDLQLVVKRZQLQ)LJ$YHUWLFDOORDG:DQGDKRUL]RQWDO
GUDZEDUSXOOIRUFH'3 DUHDSSOLHGWRWKH ZKHHOE\WKHYHKLFOHVXVSHQVLRQ
$WRUTXH7LVDSSOLHGDWWKHZKHHOURWDWLRQD[LVE\DQDFWXDWRU7KHZKHHO
KDV DQJXODU YHORFLW\ Z DQG WKH ZKHHO FHQWHU KDV OLQHDU YHORFLW\ 9  7KH
DQJOHIURPWKHYHUWLFDODWZKLFKWKHZKHHOILUVWPDNHVFRQWDFWZLWKWKHWHU
UDLQ LV GHQRWHG T  7KH DQJOH IURP WKH YHUWLFDO DW ZKLFK WKH ZKHHO ORVHV
 7HUUDLQ&KDUDFWHUL]DWLRQ DQG,GHQWLILFDWLRQ 

FRQWDFW ZLWK WKH WHUUDLQ LV GHQRWHG T  7KXV WKH HQWLUH DQJXODU ZKHHO
WHUUDLQFRQWDFWUHJLRQLVGHILQHGE\ TT

T,w
DP V

q1
q2

q t z

qm s
s2 s1
)LJ )UHHERG\GLDJUDP RIULJLGZKHHORQGHIRUPDEOHWHUUDLQ

$ VWUHVVUHJLRQLVFUHDWHG DWWKHZKHHOWHUUDLQLQWHUIDFH DVLQGLFDWHGE\


WKHUHJLRQV VDQG V+HUH V LVWKHLQWHUIDFHVHFWLRQIURPLQLWLDOWHUUDLQ
FRQWDFW LH T WRWKHSRLQWRIPD[LPXPVWUHVV LH TP DQG V LVWKHUH
JLRQIURPWKHSRLQWRIPD[LPXPVWUHVVWR ILQDOWHUUDLQFRQWDFW LH T $W
DJLYHQSRLQW RQWKHLQWHUIDFHWKHVWUHVV FDQEHGHFRPSRVHGLQWR DFRPSR
QHQWDFWLQJ QRUPDOWRWKHZKHHODWWKHZKHHOWHUUDLQFRQWDFWSRLQW VDQGD
FRPSRQHQW DFWLQJ WDQJHQWLDO WR WKH ZKHHO DW WKH ZKHHOWHUUDLQ FRQWDFW
SRLQW W 7KHDQJOHIURPWKHYHUWLFDODWZKLFKWKHPD[LPXP VWUHVVRFFXUV
LVGHQRWHG TP+HUHZHZLOODVVXPH T VLQFH T LVJHQHUDOO\ VPDOOLQ
SUDFWLFH
,Q WKHIROORZLQJDQDO\VLV LWLVDVVXPHG WKDWWKHIROORZLQJTXDQWLWLHVDUH
NQRZQRUFDQEHVHQVHG RUHVWLPDWHGWKHYHUWLFDOORDG:WRUTXH 7VLQN
DJH ]ZKHHODQJXODUVSHHG ZDQGZKHHOOLQHDU VSHHG 9,VVXHVUHODWHGWR
VHQVLQJRIWKHVHTXDQWLWLHV DUHGLVFXVVHG ODWHULQWKLVVHFWLRQ
)RUFHEDODQFHHTXDWLRQVIRUWKHV\VWHP LQ)LJFDQ EH ZULWWHQDV
§T T ·
¨ ¸
: ³
¨T T
³
UE¨ V T FRV T ˜ GT  W T VLQ T ˜ GT ¸ 
¸
©  ¹ 
 &KDSWHU 5RXJK 7HUUDLQ0RELOH5RERW 0RGHOLQJDQG(VWLPDWLRQ

§ T T ·
¨ ¸
'3
³
© T T
³
UE¨ W T FRV T ˜ GT  V T VLQ T ˜ GT ¸ 
¨ ¸
¹ 
T

7 
³
U E W T ˜ GT 
T 
7KHVKHDUVWUHVVFDQ EH FRPSXWHGDV
§ U
¨  >T T  L VLQ T VLQ T @ ·¸ 
WT F  V T WDQ I   H N
¨ ¸
© ¹
ZKHUH N LV WKH VKHDU GHIRUPDWLRQ PRGXOXV U LV WKH ZKHHO UDGLXV DQG L LV
WKHZKHHOVOLSGHILQHGDV L   9 UZ IRUZ ! :RQJ 
7KHQRUPDOVWUHVVDWWKHZKHHOWHUUDLQLQWHUIDFHLVJLYHQE\
§ NF · 
V ] ¨  NI ¸ ] Q
© E ¹
ZKHUH NFDQGNIDUHSUHVVXUHVLQNDJH PRGXOLDQGQLV WKHVLQNDJHH[SRQHQW
%HNNHU 7KLVHTXDWLRQFDQ EHH[SUHVVHGDVDIXQFWLRQRIWKHZKHHO
DQJXODUORFDWLRQ T E\QRWLQJWKDWVLQNDJHLVUHODWHG WRTDV
]T U FRV T  FRV T  
6XEVWLWXWLQJ (T  LQWR(T  \LHOGVH[SUHVVLRQVIRUWKHQRUPDO
VWUHVVGLVWULEXWLRQDORQJWKHZKHHOWHUUDLQLQWHUIDFHDV
§ NF · Q 
V T ¨  NI ¸ U FRV T  FRV T 
© E ¹
Q
§ NF ·§ § § T  TP · ·· 
V T ¨  NI ¸¨ U ¨¨ FRV¨¨T  T  ¸  FRVT ¸ ¸ 
¸ ¸¸
©E ¹¨© © © TP ¹ ¹¹
7RGHYHORSDSDUDPHWHUHVWLPDWLRQDOJRULWKP DQDO\WLFDOH[SUHVVLRQVIRU
WKH IRUFH EDODQFH HTXDWLRQV (TV   DUH UHTXLUHG VLQFH WKHVH
HTXDWLRQVUHODWHSK\VLFDOO\ PHDVXUDEOH TXDQWLWLHV :7] Z9 WRWKHSD
UDPHWHUV RILQWHUHVW F I +RZHYHU (TV  DUHQRWDPHQDEOHWR
FORVHGIRUPLQWHJUDWLRQ GXHWRWKHLUFRPSOH[LW\7KLVPRWLYDWHVWKHXVHRI
DQ DSSUR[LPDWHIRUPRIWKHVWUHVVHTXDWLRQV (TV  
 7HUUDLQ&KDUDFWHUL]DWLRQDQG ,GHQWLILFDWLRQ 

!(TXDWLRQ 6LPSOLILFDWLRQ

)LJVKRZVW\SLFDOVLPXODWHGSORWVRIVKHDUDQGQRUPDOVWUHVVGLVWULEX
WLRQV DV GHILQHG E\ (TV   DQG   UHVSHFWLYHO\ DURXQGWKH
ULPRIDGULYHQULJLGZKHHORQYDULRXVWHUUDLQVDWPRGHUDWHZKHHOVOLS 3D
UDPHWHUVXVHGLQWKHVHSORWVDUHOLVWHGLQ7DEOHDQGUHSUHVHQWDUDQJHRI
WHUUDLQ W\SHV GU\ VDQG VDQG\ ORDP FOD\H\ VRLO DQG VQRZ :RQJ 
  ,WFDQEHVHHQLQ)LJWKDWWKHVKHDUDQGQRUPDOVWUHVVGLVWULEX
WLRQV DUH DSSUR[LPDWHO\ OLQHDU IRU D GLYHUVH UDQJH RI WHUUDLQV 9LQFHQW
 

 
1RUPDO6WUHVV 1RUPDO6WUHVV
 6KHDU6WUHVV
 6KHDU6WUHVV

6WUHVV N3D

6WUHVV N3D
 







 
         
$QJOH GHJ $QJOH GHJ
'U\ 6DQG 6DQG\ /RDP

 
1RUPDO6WUHVV
 1RUPDO6WUHVV


6WUHVV N3D
6WUHVV N3D

  6KHDU6WUHVV



6KHDU6WUHVV




 
         
$QJOH GHJ $QJOH GHJ
&OD\H\6RLO 6QRZ

)LJ1RUPDODQGVKHDU VWUHVVGLVWULEXWLRQIRUYDULRXV WHUUDLQ W\SHVDWPRGHUDWH


ZKHHOVOLS

%DVHG RQ WKLV REVHUYDWLRQ OLQHDU DSSUR[LPDWLRQV RI WKH VKHDU DQG QRU
PDOVWUHVVHTXDWLRQVFDQEHZULWWHQDV
 &KDSWHU 5RXJK 7HUUDLQ0RELOH5RERW 0RGHOLQJDQG(VWLPDWLRQ

T  T
V / T V P  
T  T P
T
V / T V P  
TP
T  T
W / T W P  
T  T P
T
W / T F  W P  F  
TP
ZKHUH VPDQG WPDUHWKHPD[LPXPYDOXHVRIWKHQRUPDODQGVKHDUVWUHVVUHVSHF
WLYHO\(T  FRQWDLQVDQRIIVHWWHUPIRUFRKHVLYHVRLOV

7DEOH3DUDPHWHUVIRUYDULRXVWHUUDLQW\SHV
'U\VDQG 6DQG\ORDP &OD\H\VRLO 6QRZ
Q    
F>N3D@    
I >GHJ@    
NF>N3DPQ@    
NI>N3DPQ@    
N>P@    

6LPSOLILHGIRUPVRIWKHIRUFHEDODQFHHTXDWLRQVFDQEHZULWWHQE\ FRP
ELQLQJ(TV  ZLWK(TV  
§ TP T ·
¨ ¸
³ /
³ /
¨ V  T FRV T ˜ GT  V  T FRV T ˜ GT ¸
¨
 TP
¸
: UE¨ ¸ 
¨ TP T ¸
¨ ¸ 
¨ 
©
³/

TP
³ /
¨  W  T VLQ T ˜ GT  W  T VLQ T ˜ GT ¸
¸
¹
§TP T ·
¨ ¸
³ /
³ /
¨ W  T FRV T ˜ GT  W  T FRV T ˜ GT ¸
¨
 TP
¸
'3 UE¨ ¸ 
¨ TP T ¸
¨ ¸ 
¨ 
¨ 
©
V
³ 
/
T VLQ T ˜ GT 
T P
V
³

/
T VLQ T ˜ G T ¸
¸
¹
§TP T ·
¨ ¸

©
³ TP
³
7 U  E¨ W / T ˜ GT  W / T ˜ GT ¸ 
¨ ¸
¹ 
 7HUUDLQ&KDUDFWHUL]DWLRQDQG,GHQWLILFDWLRQ 

(YDOXDWLRQ RI(TV  DQG  \LHOGV WKHIROORZLQJH[SUHVVLRQVIRU


WKHQRUPDOORDGDQGWRUTXH
§ V P  T P FRVT  T FRVT P  T ·
UE ¨ ¸ 
:
T P T  T P ¨  W P T P VLQ T  T VLQ T P ¸
¨  F T VLQ T  T VLQ T  T T  T  ¸
©  P P P P  P ¹  
U E 
7 W PT  FT P 

7ZR DVVXPSWLRQVDUHPDGHLQVROYLQJ(TV  DQG  IRUFDQGI
7KHILUVWLVWKDWWKHORFDWLRQRIWKH PD[LPXPVKHDU DQGQRUPDOVWUHVVRF
FXUV DW WKH VDPH ORFDWLRQ TP $QDO\VLV DQG VLPXODWLRQ KDYH VKRZQ WKDW
WKLVDVVXPSWLRQLVUHDVRQDEOHIRUDZLGHUDQJHRIVRLOW\SHV:LWKWKLVDV
VXPSWLRQDQ DGGLWLRQDOUHODWLRQFDQEHZULWWHQEDVHGRQ(T  
§ U
 >T T P  L VLQ T VLQ T P @ ·¸  
WP F  V P WDQ I ¨  H N 
¨ ¸
© ¹
7KHVHFRQGDVVXPSWLRQLVWKDWWKHDQJXODUORFDWLRQRI PD[LPXPVWUHVV
TPRFFXUV PLGZD\ EHWZHHQ TDQGTLH
T  T 
TP  

7KLVDVVXPSWLRQLVUHDVRQDEOHIRUDZLGHUDQJHRIVRLOVDWPRGHUDWHVOLS
UDWLRV .DQJ    7KLV FDQ EH MXVWLILHG E\ QRWLQJ WKDW TP FDQ EH HVWL
PDWHGIURPWKH UHODWLRQ TP  F  LF TZKHUH F DQG F DUHWHUUDLQ SD
UDPHWHUV 7KH UDQJH RI F DQG F LV JHQHUDOO\ F §  DQG  ” F ” 
:RQJDQG5HHFH  7KXVIRU DZLGHUDQJHRI VOLSUDWLRV TPZLOOEH
QHDU
7KHV\VWHPRI(TV  FDQEHFRPELQHGLQWRD VLQJOHHTXDWLRQ
UHODWLQJ FRKHVLRQDQGLQWHUQDOIULFWLRQ DQJOHDV
N  WDQ I  N 
F  
N  WDQ I  N 
ZKHUH
§ T ·
N  $¨T:U  7 VLQ T  7 VLQ  ¸
© ¹
§ T ·
N 7 ¨ FRV T   FRV   ¸
©  ¹
§ T ·
N $TU  E¨ VLQ T   VLQ   T ¸
©  ¹
§ T T ·
N TU  E¨ FRV T   FRV   $ FRV T   $ FRV   $  ¸
©   ¹
 &KDSWHU 5RXJK 7HUUDLQ0RELOH5RERW 0RGHOLQJDQG(VWLPDWLRQ

U ªT § § T · ·º
 «   L ¨¨ VLQ T  VLQ ¨  ¸ ¸¸ »
N ¬«  © ©  ¹ ¹ ¼»
DQG $   H 
(T  FDQEHUHDUUDQJHGWRWKHIROORZLQJIRUP
N N N
F WDQ I  F   WDQ I  
N N N
7KH UHODWLYH FRQWULEXWLRQ RI HDFK WHUP LQ WKH ULJKWKDQG VLGH RI (T
 ZDVVWXGLHG QXPHULFDOO\ RYHUWKHUDQJHRISDUDPHWHUVLQ7DEOH
7KLV VSDFH HQFRPSDVVHV D EURDG YDULHW\ RI WHUUDLQ W\SHV  7KH VLPXODWHG
ZKHHOUDGLXV UZDVPDQGWKHZKHHOZLGWK EZDVP
,W ZDV IRXQG WKDW WKH PD[LPXP UHODWLYH FRQWULEXWLRQ RI WKH
N  N  F WDQ I WHUP ZDV  7KH RWKHU WZR WHUPV KDG D VLJQLILFDQWO\
KLJKHUFRQWULEXWLRQ .DQJ 7KXVWKH N  N  F WDQ I WHUPLVQHJOLJL
EOHDQG(T  FDQEHUHGXFHGWR
N N
F   WDQ I  
N N
(T  LVDVLQJOHHTXDWLRQLQ WZRXQNQRZQV$WOHDVWWZRXQLTXHLQ
VWDQFHV RI(T  DUHUHTXLUHGWRFRPSXWH FDQGI'XULQJWKHSDUDPH
WHUHVWLPDWLRQSURFHVVLW LVH[SHFWHG WKDWVHQVRU GDWDZRXOGEH VDPSOHGDW
DIUHTXHQF\RIVHYHUDOKHUW])RUHDFKXQLTXHVHQVRUVDPSOLQJRFFXUUHQFH
MDXQLTXHLQVWDQFHRI(T  FDQEHZULWWHQ
N  N 
F  WDQ I
N  N 
  
N M N M
F  M WDQ I
N M N
RULQ PDWUL[ IRUP
. .ª F º 
«¬ WDQ I »¼
7
ª    º
ZLWK .  >N 
 N N M N M @  .
7
 « N  N    N M N M » 
¬ ¼

7DEOH 3DUDPHWHUVSDFHIRUDOJRULWKPDQDO\VLV
0LQLPXPYDOXH 3DUDPHWHU 0D[LPXP YDOXH
 Q 
 Iҏ>GHJ@ 
 F>N3D@ 
 NF>N3DPQ@ 
 NI>N3DPQ@ 
 N>P@ 
 7HUUDLQ&KDUDFWHUL]DWLRQDQG,GHQWLILFDWLRQ 

,Q SUDFWLFHPRUHWKDQWZRHTXDWLRQVDUHXVHG WR IRUP DQHVWLPDWHRIF


DQG IWR GHFUHDVHVHQVLWLYLW\WRVHQVRUQRLVH,QWKLVFDVH.LV QRQVTXDUH
DQG(T  FDQ EH VROYHGLQDOHDVWVTXDUHVVHQVHXVLQJ WKHSVHXGRLQ
YHUVHRI.
ª F º . 7 . 

. 7 .   
«¬ WDQ I »¼
1RWH WKDW VLQJXODULW\ RI . 7 .   RQO\ RFFXUV LQ WKH GHJHQHUDWH FDVH
ZKHUHQRQXQLTXHVHQVRUGDWDLVVDPSOHG VXFKDVRQSHUIHFWO\IODWWHUUDLQ
ZLWKQRLVHIUHHVHQVRUV  7KLVFDVHZLOOEHGLVFXVVHGODWHU
$OOTXDQWLWLHVLQ(T  FDQEHVHQVHGH[FHSWWKHVKHDUGHIRUPDWLRQ
PRGXOXV N !LQWKH PDWULFHV. DQG .  ,Q SUDFWLFH WKH HVWLPDWLRQ DOJR
ULWKP H[KLELWV ORZ VHQVLWLYLW\ WR N SDUWLFXODUO\ IRU ODUJH ZKHHO UDGLL DQG
KLJKVOLSUDWLRV 7KHUHIRUHN LVXVXDOO\FKRVHQDVDUHSUHVHQWDWLYHYDOXHIRU
GHIRUPDEOH WHUUDLQ 7HFKQLTXHV IRU HVWLPDWLQJ N !DUH GHVFULEHG LQ .DQJ
 

!6HQVLQJ DQG ,PSOHPHQWDWLRQ ,VVXHV

,QWKHSUHFHGLQJDQDO\VLVLWZDVDVVXPHGWKDWWKHYHUWLFDOORDG:WRUTXH7
VLQNDJH ] ZKHHO DQJXODU VSHHG Z DQG ZKHHO OLQHDU VSHHG 9 !FRXOG EH
PHDVXUHGRUHVWLPDWHG +HUHPHWKRGVIRUPHDVXULQJRUHVWLPDWLQJWKHVH
LQSXWVDUHGLVFXVVHGDORQJZLWKRWKHULPSOHPHQWDWLRQLVVXHVIRUSODQHWDU\
URYHUV
7KHYHUWLFDOORDG: FDQEHFRPSXWHGIURPDTXDVLVWDWLFIRUFHDQDO\VLV
RIWKHURERWZLWKNQRZOHGJHRIWKHURERWFRQILJXUDWLRQDQGPDVVGLVWULEX
WLRQ 4XDVLVWDWLFDQDO\VLVLVYDOLGVLQFHG\QDPLFHIIHFWVDUHQHJOLJLEOHDW
WKHORZVSHHGVRIWKHVHYHKLFOHV :HLVELQHWDO  7KHWRUTXH7 FDQ
EH HVWLPDWHG IURP WKH FXUUHQW LQSXW WR WKH PRWRU DQG DQ HPSLULFDOO\
GHWHUPLQHG PDSSLQJ IURP FXUUHQW WR WRUTXH ,Q DSSOLFDWLRQV ZKHUH ODUJH
WKHUPDOYDULDWLRQLVH[SHFWHG VXFKDV0DUWLDQVXUIDFHH[SORUDWLRQ PRWRU
WHPSHUDWXUHFDQEHLQFOXGHGLQWKLVPDSSLQJ 0DWLMHYLFHWDO  1RWH
WKDWWRUTXHDQGYHUWLFDOORDGFRXOGEHGLUHFWO\PHDVXUHGLIWKHZKHHOZHUH
LQVWUXPHQWHGZLWKDPXOWLD[LVIRUFHVHQVRU +RZHYHUWKLVDGGVFRVWDQG
FRPSOH[LW\WRWKHURERW
7KH VLQNDJH ] !FDQEHFRPSXWHGZLWKYLVLRQEDVHGWHFKQLTXHVRU E\NL
QHPDWLF DQDO\VLV RI WKH URERW VXVSHQVLRQ :LOFR[  ,DJQHPPD HW DO
  7KH ZKHHO DQJXODU VSHHG Z FDQ EH PHDVXUHG ZLWK D WDFKRPHWHU
7KH ZKHHO OLQHDU VSHHG 9 !FDQ EH FRPSXWHG XVLQJ LQHUWLDO PHDVXUHPHQW
XQLW ,08  PHDVXUHPHQWV +RZHYHU DW ORZ VSHHGV ,08 YHORFLW\ PHDV
 &KDSWHU 5RXJK 7HUUDLQ0RELOH5RERW0RGHOLQJDQG(VWLPDWLRQ

XUHPHQWVFDQEHKLJKO\GHJUDGHG E\QRLVH,QWKLVFDVHYLVXDORGRPHWU\
FDQ \LHOGPRUH DFFXUDWHUHVXOWV 2OVRQ HWDO 
7KH VHQVRUV GHVFULEHG DERYH LH URERW FRQILJXUDWLRQ VHQVRUV PRWRU
FXUUHQWVHQVRUZKHHOWDFKRPHWHU,08DQGYLVLRQV\VWHP ZRXOGEHSDUW
RI PRVWDXWRQRPRXVURERWV\VWHPV7KXVDOOUHTXLUHGLQSXWVFDQEH PHDV
XUHG RU HVWLPDWHGZLWKRQERDUG URERW VHQVRUV
$Q LPSRUWDQW LPSOHPHQWDWLRQ LVVXH LV PLQLPL]LQJ VHQVRU QRLVH  0RVW
URERWVHQVRUVFDQEH PRGHOHG DVD³WUXH´VLJQDOFRUUXSWHG E\ ZKLWHQRLVH
,QWKLVFDVHLQFUHDVLQJWKH QXPEHU RI GDWDSRLQWVLQ(T  DFWVDVDQ
DYHUDJLQJ ILOWHU DQG LPSURYHV HVWLPDWLRQ DFFXUDF\  2WKHU ILOWHULQJ WHFK
QLTXHV VXFKDVWKH.DOPDQILOWHUDQG LWVH[WHQVLRQV FRXOGDOVR EHDSSOLHG
WRWKLVSUREOHP
1RWHWKDWDOOGDWDSRLQWVXVHGLQDSDUDPHWHUHVWLPDWH DUHDVVXPHGWREH
VDPSOHGIURPKRPRJHQHRXVWHUUDLQ)RUH[DPSOHFRQVLGHUDURERWPRY
LQJDWFPVHFZLWKDVHQVRU VDPSOLQJUDWHRI+],I GDWDSRLQWVDUH
XVHGWR FRPSXWHDSDUDPHWHUHVWLPDWHLWPXVWEHDVVXPHGWKDWWKHWHUUDLQ
LVKRPRJHQHRXVZLWKLQ DFPGLVWDQFH,IGDWDLVVDPSOHGIURP PL[HG RU
LQKRPRJHQHRXVWHUUDLQUHVXOWLQJSDUDPHWHUHVWLPDWHVZLOOEHHIIHFWLYHHV
WLPDWHV RIWKH FRPELQHGWHUUDLQW\SHV ,Q JHQHUDO DVVXPSWLRQVUHJDUGLQJ
WHUUDLQ KRPRJHQHLW\FDQEH IRUPHGIURP D SULRUL NQRZOHGJHRIORFDOWHU
UDLQ FKDUDFWHULVWLFV  7HUUDLQ FODVVLILFDWLRQ PHWKRGV FRXOG DOVR EH XVHG WR
GHWHFWFKDQJHVLQWHUUDLQW\SH %HOOXWDHW DO 
$ILQDOLPSOHPHQWDWLRQLVVXHDULVHVIRUDURERWWUDYHOLQJDWFRQVWDQWYH
ORFLW\ RQ IODW WHUUDLQ ZKHUH WKH PDWUL[ . 7 .    LQ (T  PD\ EH
SRRUO\FRQGLWLRQHG7KLVRFFXUVEHFDXVHWKHURERWLVFROOHFWLQJDQLGHQWL
FDOVHWRIVHQVRUUHDGLQJVDWHDFKVDPSOLQJLQVWDQFH7KHULGJHUHJUHVVLRQ
WHFKQLTXH FDQ EH XVHG WR VROYH (T   LQ FDVHV ZKHUH . 7 .    LV
SRRUO\FRQGLWLRQHGDV
ª F º . 7 .   G ,

. 7 .  
«¬ WDQ I »¼
ZKHUH G LV D VPDOO SRVLWLYH FRQVWDQW WKDW FDQ EH RSWLPL]HG E\ WHFKQLTXHV
VXFKDVFURVVYDOLGDWLRQ *ROXE DQG YDQ /RDQ  ,Q SUDFWLFH DQGLQ
WKH UHVXOWV SUHVHQWHG EHORZ  QDWXUDO WHUUDLQ YDULDWLRQ ZLOO XVXDOO\ OHDG WR
DFFHSWDEOH HTXDWLRQ FRQGLWLRQLQJ 'HOLEHUDWHO\ LQGXFLQJ YDULDEOH ZKHHO
VOLSDOVRLPSURYHVSDUDPHWHUHVWLPDWHVRQIODWWHUUDLQ
 5HVXOWV7HUUDLQ ,GHQWLILFDWLRQ 

!5HVXOWV 7HUUDLQ ,GHQWLILFDWLRQ

!6LPXODWLRQ 5HVXOWV

'\QDPLF VLPXODWLRQV ZHUH FRQGXFWHG RI D VLQJOH GULYHQ ZKHHO WUDYHOLQJ


WKURXJKGHIRUPDEOHWHUUDLQ 7KHSXUSRVHZDVWRH[DPLQHDOJRULWKPDFFX
UDF\XQGHUYDULRXVWHUUDLQFRQGLWLRQV ,QDOOVLPXODWLRQVWKHZKHHOWUDYHOHG
DW DSSUR[LPDWHO\  FPVHF 7KH ZKHHO KDG UDGLXV  P ZLGWK  P
PDVVNJDQGLQHUWLDNJ˜P $ S URSRUWLRQDOGHULYDWLYHFRQWURODO
JRULWKPFRPPDQGHGWKHZKHHO 7KHVLPXODWHGVDPSOLQJUDWHZDV+]
)XUWKHUGHWDLOVRIWKHVLPXODWLRQDUHJLYHQLQ .DQJ 
6LPXODWLRQVZHUHILUVWSHUIRUPHGZLWKQRLVHIUHHLQSXWV:7 ]DQGLWR
VWXG\IXQGDPHQWDODOJRULWKPDFFXUDF\ 5DQGRPYDULDWLRQRIZDVLQ
WURGXFHGWR: DQGL WRVLPXODWHYDULDWLRQFDXVHGE\QDWXUDOWHUUDLQXQHYHQ
QHVV ZKHUH ZKHHO ORDG DQG YHORFLW\ FKDQJH DV WKH URERW FRQILJXUDWLRQ
FKDQJHV 'XULQJWKHHVWLPDWLRQSURFHGXUHWKHVKHDUGHIRUPDWLRQPRGXOXV
N ZDVDVVXPHGWREHRILWVDFWXDOYDOXHWRVWXG\DOJRULWKPVHQVLWLYLW\
WRWKLVSDUDPHWHU
(VWLPDWHV RI FRKHVLRQ DQG LQWHUQDO IULFWLRQ DQJOH ZHUH FRPSXWHG IRU
 HYHQO\VSDFHG SDUDPHWHU VHWV LQ WKH SDUDPHWHU VSDFH GHVFULEHG LQ
7DEOH 7KLVSDUDPHWHUVSDFHUHSUHVHQWVDEURDGYDULHW\RIWHUUDLQW\SHV
)LYHVDPSOHGGDWDSRLQWVZHUHXVHGWRFRPSXWHHDFKSDUDPHWHUHVWLPDWH
7KH506HUURUEHWZHHQWKHHVWLPDWHGDQGDFWXDOF RYHUDOOVLPXODWLRQV
ZDVN3D F UDQJHVIURPN3D  7KH506HUURUEHWZHHQWKHHVWL
PDWHGDQGDFWXDOIRYHUDOOVLPXODWLRQVZDVq IUDQJHVIURPqq 
7KLVVKRZVWKDWWKHDSSUR[LPDWLRQVLQWURGXFHGLQ6HFWGRQRWLQWUR
GXFH VLJQLILFDQW HUURU LQWR WKH HVWLPDWLRQ DOJRULWKP 7KH FRPSXWDWLRQDO
ORDGIRUWKHDOJRULWKPZDVDSSUR[LPDWHO\PVHFSHUHVWLPDWLRQF\FOHIRU
XQRSWLPL]HG0DWODEFRGHRQD0+]GHVNWRS3&
6LPXODWLRQVZHUHWKHQUXQWRVWXG\WKHHIIHFWRIVHQVRUQRLVHRQHVWLPD
WLRQDFFXUDF\ 7KHLQSXWV: 7 ] DQGL!ZHUHFRUUXSWHGZLWKZKLWHQRLVH
ZLWKVWDQGDUGGHYLDWLRQHTXDOWRRIWKHLUPD[LPXPYDOXH $JDLQHV
WLPDWHV RI FRKHVLRQ DQG LQWHUQDO IULFWLRQ DQJOH ZHUH FRPSXWHG IRU WKH
SDUDPHWHUVHWVGHVFULEHGDERYH 7KHVKHDUGHIRUPDWLRQPRGXOXVN
ZDV DVVXPHG WR EH  RI LWV DFWXDO YDOXH DQG  VDPSOHG GDWDSRLQWV
ZHUHXVHGWRFRPSXWHHDFKSDUDPHWHUHVWLPDWH
7KH506HUURUEHWZHHQWKHHVWLPDWHGDQGDFWXDOF RYHUDOOVLPXODWLRQV
ZDVN3D 7KH506HUURUEHWZHHQWKHHVWLPDWHGDQGDFWXDOIRYHUDOO
VLPXODWLRQV ZDV q $V H[SHFWHG LQFUHDVLQJ WKH VHQVRU QRLVH OHYHOV
OHDGVWRLQFUHDVHGSDUDPHWHU HVWLPDWLRQHUURU 6LPXODWLRQVZHUHWKHQUXQ
 &KDSWHU 5RXJK 7HUUDLQ0RELOH5RERW 0RGHOLQJDQG(VWLPDWLRQ

ZLWKWKHQXPEHURIVDPSOHGGDWDSRLQWVLQFUHDVHGWR 7KH506HUURU
EHWZHHQWKHHVWLPDWHGDQG DFWXDOF ZDVUHGXFHGWR N3DDQGIRU IWR
q  7KH FRPSXWDWLRQDO ORDG IRU WKH DOJRULWKP ZDV DSSUR[LPDWHO\ 
PVHFSHUHVWLPDWLRQ F\FOH7KLVVXJJHVWVWKDWLWLVSRVVLEOHWRFRPSXWHDF
FXUDWH SDUDPHWHU HVWLPDWHV GHVSLWH VHQVRU QRLVH ZLWK ORZ FRPSXWDWLRQDO
FRVW ,WDOVRVKRZV WKDW LQFUHDVLQJWKHQXPEHU RI VDPSOHGGDWDSRLQWVXVHG
WRIRUP DSDUDPHWHUHVWLPDWHGHFUHDVHVWKHHUURUFDXVHGE\VHQVRU QRLVH
)LJV  DQG  VKRZ UHSUHVHQWDWLYH SDUDPHWHU HVWLPDWLRQ VLPXODWLRQ
UHVXOWVIRUGU\ VDQG VHH7DEOH ,WFDQEHVHHQWKDW WKHHVWLPDWHGSD
UDPHWHUV FDQG I UDSLGO\DSSURDFKWKHLU WUXHYDOXHVLQWKHQRLVHIUHHFDVH
6HQVRUQRLVHGHJUDGHVWKHDFFXUDF\RIWKHHVWLPDWHGSDUDPHWHUVFRPSDUHG
WRWKHQRLVHIUHHFDVH7KHHIIHFWRIVHQVRUQRLVHLVGLPLQLVKHGE\ LQFUHDV
LQJWKH QXPEHURI VDPSOHGGDWDSRLQWVIURPWR,QJHQHUDOLWLVSRV
VLEOHWR REWDLQDFFXUDWHSDUDPHWHUHVWLPDWHVXVLQJUHODWLYHO\IHZGDWDVDP
SOHVGHVSLWHVHQVRUQRLVH

7
Estimated Cohesion−−Noise−free
6 Estimated Cohesion−−Noisy, 15 data pts.
Estimated Cohesion−−Noisy, 30 data pts.

4
Cohesion (kPa)

True Cohesion
0

−1
0 5 10 15
Time (sec)

)LJ 6LPXODWHGHVWLPDWLRQRIFRKHVLRQRIGU\VDQGIRU QRLVHIUHHFDVH QRLV\


FDVHXVLQJ GDWDSRLQWVDQGQRLV\ FDVHXVLQJGDWDSRLQWV
 5HVXOWV7HUUDLQ ,GHQWLILFDWLRQ 

35
Estimated Friction Angle−−Noise−free
Estimated Friction Angle−−Noisy, 15 pts.
Estimated Friction Angle−−Noisy, 30 pts.
Internal Friction Angle (deg)

30 True Friction Angle

25

20
0 5 10 15
Time (sec)

)LJ6LPXODWHGHVWLPDWLRQRILQWHUQDOIULFWLRQDQJOHRIGU\VDQGIRUQRLVHIUHH
FDVH QRLV\ FDVHXVLQJGDWDSRLQWVDQGQRLV\ FDVHXVLQJGDWDSRLQWV

!([SHULPHQWDO 5HVXOWV

([SHULPHQWVZHUHSHUIRUPHGRQDODERUDWRU\ WHUUDLQFKDUDFWHUL]DWLRQWHVW
EHG VKRZQ LQ )LJ  7KH WHVWEHG FRQVLVWV RI D GULYHQ ULJLG ZKHHO
PRXQWHGRQDQXQGULYHQYHUWLFDOD[LV 7KHZKHHODVVHPEO\LVPRXQWHGWR
DGULYHQKRUL]RQWDOFDUULDJH %\GULYLQJWKHZKHHODQGFDUULDJHDWGLIIHUHQW
UDWHVYDULDEOHVOLSUDWLRVFDQEHLPSRVHG 7KHYHUWLFDOZKHHOORDGFDQEH
FKDQJHGE\DGGLQJZHLJKWWRWKHYHUWLFDOD[LV
7KHWHVWEHGLVLQVWUXPHQWHGZLWKHQFRGHUVWRPHDVXUHDQJXODUYHORFLWLHV
RIERWKWKHZKHHODQGWKHFDUULDJHSXOOH\ 7KHFDUULDJHOLQHDUYHORFLW\LV
FRPSXWHG IURP WKH FDUULDJH SXOOH\ DQJXODU YHORFLW\ 7KH YHUWLFDO ZKHHO
VLQNDJH LV PHDVXUHG ZLWK D OLQHDU SRWHQWLRPHWHU 7KH ZKHHO WRUTXH 7 !LV
PHDVXUHG E\ D &RRSHU ,QVWUXPHQWV WRUTXH VHQVRU 7KH VL[FRPSRQHQW
ZUHQFK EHWZHHQ WKH ZKHHO DQG FDUULDJH LV PHDVXUHG ZLWK D -5 VL[D[LV
IRUFHWRUTXHVHQVRU 7KHIRUFHVHQVRU DOORZVPHDVXUHPHQWRIWKHQRUPDO
 &KDSWHU 5RXJK 7HUUDLQ0RELOH5RERW 0RGHOLQJDQG(VWLPDWLRQ

ORDG:DQGGUDZEDUSXOO '37KHWHVWEHGLVFRQWUROOHGE\D0+]3&
7KHVRLO ELQLV FP ORQJFPZLGHDQG FP GHHS

9HUWLFDO$[LV &DUULDJH

:KHHO

)LJ7HUUDLQ FKDUDFWHUL]DWLRQWHVWEHG

7KHZKHHOGLDPHWHUDQG ZLGWK DUH DQG  FPUHVSHFWLYHO\7KH


ZKHHO PD[LPXP DQJXODU YHORFLW\ LV  UDGVHF  7KLV UHVXOWV LQ D PD[L
PXP OLQHDU YHORFLW\RIFPVHF7KHZKHHOVL]HDQGVSHHGZHUHFKRVHQ
WREHLQWKHUDQJHRIFXUUHQWDQGSURMHFWHGSODQHWDU\URYHUV
7KUHHGLVWLQFWVRLOW\SHVZHUHFKRVHQ IRUH[SHULPHQWDWLRQZDVKHG VDQG
GULHG EHQWRQLWH FOD\ DQG FRPSDFWHG WRSVRLO  &ODVVLFDO VKHDU IDLOXUH H[
SHULPHQWVZHUHSHUIRUPHGWRGHWHUPLQHEDVHOLQHYDOXHV RI FDQG IIRUDOO
VRLOV,QWKHVHH[SHULPHQWVDYHUWLFDOORDGLV DSSOLHGWR KRPRJHQHRXV VRLO
WKURXJKDGHYLFHFDOOHGDEHYDPHWHUZKLFKLVWUDQVODWHGKRUL]RQWDOO\XQWLO
VKHDUIDLOXUH RFFXUV VHH)LJ   %HNNHU %\ YDU\LQJ WKH YHUWLFDO
ORDG D OLQHDU UHODWLRQVKLS EHWZHHQ QRUPDO VWUHVV DQG VKHDU VWUHVV FDQ EH
REVHUYHG DQG F DQG I FDQ EH HVWLPDWHG  1RWH WKDW WKLV LV DQ RIIOLQH
PHWKRGRIWHUUDLQLGHQWLILFDWLRQDQGLV QRWVXLWDEOHIRURQOLQHFKDUDFWHUL]D
WLRQ
1XPHURXV H[SHULPHQWV ZHUH UXQ WR DFFRXQW IRU QRQXQLIRUPLW\ LQ VRLO
PL[LQJDQGPRLVWXUH FRQWHQW7DEOHVXPPDUL]HVWKHUHVXOWVRIWKHVHH[
SHULPHQWV  7KHVH UHVXOWV DJUHH ZLWK SXEOLVKHG YDOXHV IRU VLPLODU VRLOV
 5HVXOWV7HUUDLQ ,GHQWLILFDWLRQ 

:RQJ   <RQJ HW DO    $ UHVXOW RI VKHDU IDLOXUH H[SHUL
PHQWV IRU GULHGEHQWRQLWH FOD\FDQ EHVHHQLQ)LJ7KLVILJXUH VKRZV
D OLQHDU UHODWLRQVKLS EHWZHHQ QRUPDO VWUHVV DQG VKHDU VWUHVV DV SUHGLFWHG
E\(T  

)LJ %HYDPHWHU %(NNHU9$OXH0(7(5 IRUVRLOSDUDPHWHU LGHQWLILFDWLRQ

3DUDPHWHULGHQWLILFDWLRQH[SHULPHQWVZHUHWKHQSHUIRUPHGRQHDFKVRLO
W\SH7KHVKHDUGHIRUPDWLRQ PRGXOXVNZDVDVVXPHGWR EH 7KLUW\
VDPSOHGGDWDSRLQWVZHUHXVHGWR FRPSXWHHDFK SDUDPHWHUHVWLPDWH
)LJ  VKRZV WKH UHVXOWV RI WKH HVWLPDWLRQ DOJRULWKP IRU GULHG EHQ
WRQLWH FOD\  7KH HVWLPDWHG FRKHVLRQ DQG LQWHUQDO IULFWLRQ DQJOH UDSLGO\
FRQYHUJH WR YDOXHV RI DSSUR[LPDWHO\  N3D DQG q UHVSHFWLYHO\
7KHVHYDOXHVOLH QHDURU ZLWKLQWKHYDULDQFHREVHUYHG LQWKHVKHDU IDLOXUH
H[SHULPHQWV
7DEOH  VXPPDUL]HV WKH UHVXOWV RI WKHVH H[SHULPHQWV  &RPSDULQJ
WKHVH YDOXHV WR WKH YDOXHV RI 7DEOH  LW FDQ EH VHHQ WKDW WKH HVWLPDWHG
YDOXHV DUH VLPLODU WR WKRVH PHDVXUHG WKURXJK VKHDU IDLOXUH H[SHULPHQWV
7KLV VXJJHVWV WKDW WKH SURSRVHG DSSURDFK FDQ LGHQWLI\ F DQG I RI YDULRXV
VRLOVGHVSLWHQRLV\ VHQVRUV(UURUDQG YDULDWLRQLQHVWLPDWHGSDUDPHWHUVLV
OLNHO\GXHWRQRQXQLIRUPLW\LQVRLOPL[LQJDQGPRLVWXUHFRQWHQW1RWHWKDW
WKLVYDULDWLRQ LV QRWXQLTXHWR WKH SURSRVHG PHWKRGEXWLVSUHVHQWLQDQ\
VRLOSURSHUW\ PHDVXUHPHQW WHFKQLTXH(VWLPDWLRQHUURULVDOVRGXHWRVHQ
VRUQRLVHDQGHUURULQ WKHDVVXPHGYDOXHRIN$GGLWLRQDOO\DWKLJKVOLSUD
WLRV WKH WHVWEHG ZKHHO H[KLELWHG FRQWURO FKDWWHU ZKLFK GHJUDGHG VHQVRU
UHDGLQJV
 &KDSWHU 5RXJK 7HUUDLQ0RELOH5RERW 0RGHOLQJDQG(VWLPDWLRQ

3.5

3
Shear Stress (kPa)

2.5

1.5

0.5

0
0 1 2 3 4 5
Normal Stress (kPa)

)LJ  5HVXOW IURP VKHDU IDLOXUH H[SHULPHQWV IRU GULHG EHQWRQLWH FOD\  'DWD
SRLQWVVKRZQZLWKEHVWILWOLQH

40

35
Cohesion (kPa) and Internal Friction Angle (deg)

30

25 Estimated Internal Friction Angle

20

15

10

5
Estimated Cohesion

0
0 50 100 150 200 250
Computation Cycles

)LJ  ([SHULPHQWDO FRKHVLRQ DQG LQWHUQDO IULFWLRQ DQJOH HVWLPDWLRQ IRU GULHG
EHQWRQLWH
 :KHHO7HUUDLQ&RQWDFW$QJOH (VWLPDWLRQ 

7DEOH5HVXOWVIURP VKHDUIDLOXUHH[SHULPHQWV
7HUUDLQ7\SH F>N3D@ I>GHJ@
:DVKHG6DQG “ “
'ULHG%HQWRQLWH&OD\ “ “
&RPSDFWHG7RSVRLO “ “

7DEOH5HVXOWVIURP WHUUDLQ SDUDPHWHUHVWLPDWLRQ H[SHULPHQWV


F>N3D@ I>GHJ@
:DVKHG6DQG “ “
'ULHG%HQWRQLWH&OD\ “ “
&RPSDFWHG7RSVRLO “ “

7KHVH UHVXOWV VKRZ WKDW WKH HVWLPDWLRQ DOJRULWKP SURGXFHV UHDVRQDEO\


DFFXUDWH RQOLQH SDUDPHWHU HVWLPDWHV RQ DQ H[SHULPHQWDO V\VWHP ZLWK
QRLV\VHQVRUVIRUDYDULHW\ RIWHUUDLQW\SHV 7KHOHYHORIDFFXUDF\ VKRZQ
E\WKHDOJRULWKPZRXOGDOORZLWWR GLVWLQJXLVKEHWZHHQGLVWLQFWVRLOW\SHV
VXFKDVFUXVW\PDWHULDO GULIWPDWHULDOFOD\HWF7KHFRPSXWDWLRQWLPHIRU
HDFK HVWLPDWLRQ F\FOH ZDV DSSUR[LPDWHO\  PVHF RQ D  0+] GHVNWRS
3&7KXVWKHDSSURDFKLVVXLWDEOHIRUV\VWHPVZLWKOLPLWHGRQERDUGFRP
SXWDWLRQVXFKDVSODQHWDU\ URYHUV

 :KHHO7HUUDLQ&RQWDFW$QJOH (VWLPDWLRQ

7KH SXUSRVH RI ZKHHOWHUUDLQ FRQWDFW DQJOH HVWLPDWLRQ LV WR HVWLPDWH WKH
DQJOHIURPWKHKRUL]RQWDORIWKHSRLQWRIFRQWDFWRIWKHURERWZKHHODQGWKH
WHUUDLQ7KLVHQDEOHVWHUUDLQ WUDYHUVDELOLW\SUHGLFWLRQDVGHVFULEHGHDUOLHU
DQGLVXVHIXO IRUPRWLRQ SODQQLQJ DOJRULWKPVGLVFXVVHGODWHULQWKLV PRQR
JUDSK  +HUH D PHWKRG IRU HVWLPDWLQJ ZKHHOWHUUDLQ FRQWDFW DQJOHV IURP
RQERDUG URERWVHQVRUVLVSUHVHQWHG
&RQVLGHU D SODQDU WZRZKHHOHG V\VWHP RQ XQHYHQ WHUUDLQ DV VKRZQ LQ
)LJ   $ SODQDU DQDO\VLV LV DSSURSULDWH VLQFH PRVW ZKHHOHG YHKLFOHV
FDQQHLWKHUPRYHLQVWDQWDQHRXVO\ QRUDSSO\IRUFHVLQ WKH WUDQVYHUVHGLUHF
WLRQ7KXVWUDQVYHUVH FRQWDFWDQJOHVDUH QRWFRQVLGHUHG ,QWKLVDQDO\VLV
WKH WHUUDLQ LV WUHDWHG DV ULJLG DQG WKH ZKHHOV DUH DVVXPHG WR PDNH SRLQW
FRQWDFWZLWKWKHWHUUDLQ
,Q )LJ  WKH UHDU DQG IURQW ZKHHOV PDNH FRQWDFW ZLWK WKH WHUUDLQ DW
DQJOHV JDQG J IURPWKHKRUL]RQWDOUHVSHFWLYHO\7KHYHKLFOHSLWFK DLV
DOVRGHILQHGZLWKUHVSHFWWRWKHKRUL]RQWDO7KHZKHHOFHQWHUVKDYHVSHHGV
Q DQG Q 7KHVH VSHHGV DUH LQ D GLUHFWLRQ SDUDOOHO WR WKH ORFDO ZKHHO
 &KDSWHU 5RXJK 7HUUDLQ0RELOH5RERW 0RGHOLQJDQG(VWLPDWLRQ

WHUUDLQWDQJHQWGXHWRWKHULJLGWHUUDLQDVVXPSWLRQ7KHGLVWDQFHEHWZHHQ
WKHZKHHOFHQWHUVLVGHILQHGDV O

n2

g2
l
n1 a

g1

)LJ3ODQDUWZRZKHHOHGV\VWHP

)RUWKLVV\VWHPWKHIROORZLQJNLQHPDWLFHTXDWLRQVFDQEHZULWWHQ
Q  FRV J   D Q  FRV J   D  

Q  VLQ J   D  Q  VLQ J   D O D  


(T   UHSUHVHQWV WKH NLQHPDWLF FRQVWUDLQW WKDW WKH ZKHHO FHQWHU
OHQJWKOGRHVQRWFKDQJH1RWHWKDWWKLV FRQVWUDLQWUHPDLQV YDOLGLQFDVHV
ZKHUH FKDQJHVLQWKHYHKLFOHVXVSHQVLRQFRQILJXUDWLRQ FDXVHFKDQJHVLQO
DVORQJ DVO YDULHVVORZO\(T  LV DULJLGERG\ NLQHPDWLFUHODWLRQEH
WZHHQWKHYHORFLWLHVRIWKHZKHHOFHQWHUVDQGWKHYHKLFOHSLWFKUDWH D 
&RPELQLQJ(TV  DQG  \LHOGV
O D
VLQ J   D  J   D FRV J   D  
Q
:LWKWKHGHILQLWLRQV
T { J   D  E { D  J   D { O D Q  E { Q  Q 
 
(TV  DQG  EHFRPH
E VLQ T  VLQ E FRV T D FRV T  

FRV E E FRV T  


 :KHHO7HUUDLQ&RQWDFW$QJOH (VWLPDWLRQ 

6ROYLQJ (TV   DQG   IRU WKH ZKHHOWHUUDLQ FRQWDFW DQJOHV J
DQGJ \LHOGV
J D  FRV  K  

J FRV  K D  
E

ZKHUH K { D   E   D  E   D   E    
D
7KHUH DUH WZR VSHFLDO FDVHV WKDW PXVW EH FRQVLGHUHG LQ WKLV DQDO\VLV
7KHILUVWVSHFLDOFDVHRFFXUVZKHQWKHURERWLVVWDWLRQDU\,QWKLVFDVH(TV
 DQG  GRQRW\LHOGDVROXWLRQVLQFHLI D  Q  Q  ERWK D
DQGE DUHXQGHILQHG3K\VLFDOO\WKHODFNRIDVROXWLRQUHVXOWVIURPWKHIDFW
WKDWDVWDWLRQDU\URERWFDQKDYHDQLQILQLWHVHWRISRVVLEOHFRQWDFWDQJOHVDW
HDFKZKHHO
7KHVHFRQGVSHFLDOFDVHRFFXUVZKHQFRV T HTXDOV ]HUR,QWKLVFDVH J
rS DIURPWKHGHILQLWLRQRI TDQG(T  \LHOGVWKHVROXWLRQ J
rS D3K\VLFDOO\ WKLVFRUUHVSRQGVWRWZRSRVVLEOH FDVHVWKHURERWXQ
GHUJRLQJSXUHWUDQVODWLRQ RUSXUHURWDWLRQDVVKRZQLQ)LJ

n2
n2

n1

n1
3XUH7UDQVODWLRQ 3XUH5RWDWLRQ
)LJ3K\VLFDOLQWHUSUHWDWLRQVRIFRV T  

:KLOH WKHVH FDVHV DUH XQOLNHO\ WR RFFXU LQ SUDFWLFH WKH\ DUH HDVLO\ GH
WHFWDEOH)RUWKHFDVH RISXUHURWDWLRQQ Q7KHVROXWLRQVIRUJDQG J
FDQ EH ZULWWHQE\LQVSHFWLRQDV
S
J  D  VJQ D  

S
J D VJQ D  

 &KDSWHU 5RXJK 7HUUDLQ0RELOH5RERW 0RGHOLQJDQG(VWLPDWLRQ

)RUWKHFDVHRISXUHWUDQVODWLRQ D DQG
 Q Q 7KXVK LVXQGHILQHG
DQG WKH V\VWHP RI (TV   DQG   KDV QR VROXWLRQ +RZHYHU IRU
ORZVSHHGURERWVFRQVLGHUHGLQWKLVZRUNWKHWHUUDLQSURILOHYDULHVVORZO\
ZLWK UHVSHFW WR WKH GDWD VDPSOLQJ UDWH ,W LV UHDVRQDEOH WR DVVXPH WKDW
ZKHHOWHUUDLQFRQWDFWDQJOHVFRPSXWHGDWDJLYHQWLPHVWHSZLOOEHVLPLODU
WRZKHHOWHUUDLQFRQWDFWDQJOHVFRPSXWHGDWWKH SUHYLRXVWLPHVWHS 7KXV
SUHYLRXVO\HVWLPDWHGFRQWDFWDQJOHVFDQEHXVHGZKHQDVROXWLRQWRWKHHV
WLPDWLRQHTXDWLRQVGRHVQRWH[LVW
7KHSLWFKDQGSLWFKUDWHFDQEHPHDVXUHGZLWKUDWHJ\URVFRSHVRUVLPSOH
LQFOLQRPHWHUV 7KHZKHHOFHQWHUVSHHGVFDQEHHVWLPDWHGIURPWKHZKHHO
DQJXODUUDWHDVPHDVXUHGE\DWDFKRPHWHUSURYLGHGWKHZKHHOVGRQRWKDYH
VXEVWDQWLDOVOLS 7KXVZKHHOWHUUDLQFRQWDFWDQJOHVFDQEHHVWLPDWHGZLWK
FRPPRQORZFRVWRQERDUGVHQVRUV 7KHHVWLPDWLRQSURFHVVLVFRPSXWD
WLRQDOO\VLPSOHDQGWKXVVXLWDEOHIRURQERDUGLPSOHPHQWDWLRQ

!([WHQGHG .DOPDQ )LOWHU ,PSOHPHQWDWLRQ

7KHDERYHDQDO\VLVVXJJHVWVWKDWZKHHOWHUUDLQFRQWDFWDQJOHVFDQEHFRP
SXWHG IURP VLPSOH PHDVXUDEOH TXDQWLWLHV +RZHYHU VHQVRU QRLVH DQG
ZKHHO VOLS ZLOO GHJUDGH WKHVH PHDVXUHPHQWV +HUH DQ H[WHQGHG .DOPDQ
ILOWHU (.) LVGHYHORSHGWRFRPSHQVDWHIRUWKHVHHIIHFWV 7KLVILOWHULVDQ
HIIHFWLYH IUDPHZRUN IRU IXVLQJ GDWD IURP PXOWLSOH QRLV\ VHQVRU PHDVXUH
PHQWVWRHVWLPDWHWKHVWDWHRIDQRQOLQHDUV\VWHP %URZQDQG+ZDQJ
:HOFK DQG %LVKRS   ,Q WKLV FDVH WKH VHQVRU VLJQDOV DUH ZKHHO WD
FKRPHWHUV J\URVFRSHV DQG LQFOLQRPHWHUV DQG DUH DVVXPHG WR EH FRU
UXSWHGE\XQELDVHG*DXVVLDQZKLWHQRLVHZLWKNQRZQFRYDULDQFH $JDLQ
GXHWRWKHDVVXPSWLRQRITXDVLVWDWLFYHKLFOHPRWLRQLQHUWLDOHIIHFWVGRQRW
FRUUXSWWKHVHQVRUPHDVXUHPHQWV $OVRWKHVHQVRUEDQGZLGWKLVDVVXPHG
WR EH VLJQLILFDQWO\ IDVWHU WKDQ WKH YHKLFOH G\QDPLFV DQG WKXV VHQVRU G\
QDPLFVGRQRWFRUUXSWWKHVHQVRUPHDVXUHPHQWV
+HUHWKHVWDWHYHFWRU[ LVHVWLPDWHGFRPSRVHGRIWKHZKHHOWHUUDLQFRQ
WDFW DQJOHV LH [ >J  J  @7   7KH GLVFUHWHWLPH HTXDWLRQ JRYHUQLQJ WKH
HYROXWLRQRI[LV
[ N  ª º [  Z 
«¬ »¼ N N

ZKHUH ZN LV D[YHFWRUUHSUHVHQWLQJWKHSURFHVVQRLVH(T  LP


SOLHV WKDW JURXQG FRQWDFW DQJOH HYROXWLRQ LV D :LHQHU SURFHVV  7KLV LV
SK\VLFDOO\ UHDVRQDEOH VLQFH WHUUDLQ YDULDWLRQ LV LQKHUHQWO\ XQSUHGLFWDEOH
7KHSURFHVVQRLVHFRYDULDQFHFDQEHDVVLJQHGDVWKHH[SHFWHGWHUUDLQYDULD
WLRQ
 :KHHO7HUUDLQ&RQWDFW$QJOH (VWLPDWLRQ 

5N ( [ N   [ N 
 

7KLV LQIRUPDWLRQ FRXOG EH HVWLPDWHG IURP NQRZOHGJH RI ORFDO WHUUDLQ
URXJKQHVVRUFRPSXWHGIURPIRUZDUGORRNLQJUDQJHGDWD
7KH(.)PHDVXUHPHQWHTXDWLRQFDQEHZULWWHQDV
\N ª º [  Q  
«¬  »¼ N N

ZKHUH\N LVDV\QWKHWLF³PHDVXUHPHQW´RIWKHJURXQG FRQWDFWDQJOHVFRP


SXWHG DQDO\WLFDOO\ IURP (TV   DQG UDZ VHQVRU GDWD LH
\ N I ] N ZKHUH ] >D D Q  Q  @7 ,WLVDVVXPHGWKDWWKH YHKLFOHSLWFK
D DQG SLWFK UDWH D  DUH GLUHFWO\ VHQVHG DQG VSHHGV Q DQG Q FDQ EH DS
SUR[LPDWHGIURP NQRZOHGJHRIWKHZKHHODQJXODUYHORFLWLHVDQGUDGLL
7KHIROORZLQJLVDGHVFULSWLRQRIWKH(.)LPSOHPHQWDWLRQSURFHGXUH
 ,QLWLDOL]DWLRQRIWKHVWDWHHVWLPDWH [Ö  DQGWKHHVWLPDWHGHUURUFRYDULDQFH
PDWUL[ 3 +HUH [Ö  \  DQG 3 5 [ ZKHUH 5 [ (^Z Z7 ` 
 3URSDJDWLRQ RI WKH FXUUHQW VWDWH HVWLPDWH DQG FRYDULDQFH PDWUL[ 7KH
VWDWH HVWLPDWH LV JHQHUDOO\ FRPSXWHG IURP D VWDWH WUDQVLWLRQ PDWUL[
ZKLFKKHUHLVWKHLGHQWLW\ PDWUL[7KXV
[Ö N [Ö N    

7KH DSULRUL FRYDULDQFH PDWUL[LVFRPSXWHG DV


3N 3N   5 [  

 &RPSXWDWLRQ RI WKH .DOPDQ JDLQ DQG XSGDWLQJ WKH D SULRUL VWDWH HVWL
PDWH DQG D SULRUL FRYDULDQFH PDWUL[  7KH .DOPDQ JDLQ PDWUL[ . LV
JLYHQE\

.N 3N 3N  5 \N

  

7KHVHQVRUQRLVHFRYDULDQFHPDWUL[ 5 \N FDQEHFRPSXWHGDV
7
§ w\ N § w\
5 \N ^
( Q N Q N7 ` ¨¨
·
¸¸ 5 ] ¨¨ N
·
¸¸  
© w] ¹ © w] ¹
 ZKHUH 5]LVD[GLDJRQDOPDWUL[ RINQRZQ QRLVHFRYDULDQFHVDVVRFL
DWHG ZLWK ] 5 ] GLDJ V D  V D  V Q  V Q   1RWH WKDW DQ HVWLPDWH RI 5 \N
FDQDOVREHIRUPHGE\ FRPSXWLQJWKHXQVFHQWHG WUDQVIRUPRI(TV 
  -XOLHUDQG8KOPDQQ 
7KHVWDWHHVWLPDWHLVXSGDWHGDV
 &KDSWHU 5RXJK 7HUUDLQ0RELOH5RERW 0RGHOLQJDQG(VWLPDWLRQ

[Ö N [Ö N  . N \ N  [Ö N 

DQGWKHFRYDULDQFHPDWUL[LVXSGDWHG DV
3N ,  . N 3N  

7KHVSHFLDOFDVHVGLVFXVVHGLQ6HFWFDQOHDGWRDODFN RI REVHUYDELO
LW\LQWKHILOWHU+RZHYHUDVGHVFULEHGDERYHWKHVHVLWXDWLRQVDUH GHWHFW
DEOH  7KXV QHZ PHDVXUHPHQW XSGDWHV IRU WKH ILOWHU DUH QRW WDNHQ ZKHQ
WKHVHVSHFLDOFDVHVDUHGHWHFWHG
$SLFWRULDO GLDJUDPRIWKH (.)HVWLPDWLRQSURFHVVLV VKRZQLQ)LJ
DGDSWHGIURP:HOFKDQG%LVKRS  

Initial estimates for x^0 and P0 Measurement y k = f (z k )

Compute Kalman gain:


Project state forward:
(
K k = Pk- Pk- + R yk )
-1

- -
xˆ = xˆ
k k -1 Update state estimate with
measurement:
Project covariance forward:
(
xˆ k = xˆ -k + K k y k - xˆ -k )
Pk- = Pk -1 + R x Update error covariance:
Pk = (I - K k )Pk-

)LJ 'LDJUDPRI(.)HVWLPDWLRQSURFHVV IURP:HOFKDQG%LVKRS 

!5HVXOWV :KHHO7HUUDLQ &RQWDFW $QJOH ,GHQWLILFDWLRQ

!6LPXODWLRQ 5HVXOWV

7KHZKHHOWHUUDLQFRQWDFWDQJOHHVWLPDWLRQDOJRULWKPZDVLPSOHPHQWHGLQ
VLPXODWLRQRQDSODQDUYHKLFOHVLPLODUWRWKHRQHLQ)LJZLWKO  P
7KHSLWFK DZDVFRUUXSWHGZLWKZKLWHQRLVHRIVWDQGDUGGHYLDWLRQq 7KH
UHDUDQGIURQWZKHHOYHORFLWLHV Q!DQG QZHUHFRUUXSWHGZLWKZKLWHQRLVH
 5HVXOWV:KHHO7HUUDLQ&RQWDFW$QJOH,GHQWLILFDWLRQ 

RI VWDQGDUG GHYLDWLRQ  FPVHF 7KLV PRGHOV HUURU GXH WR HIIHFWV RI
ZKHHOVOLSDQGWDFKRPHWHUQRLVH
)LJVKRZVWKHUHVXOWVRIDUHSUHVHQWDWLYHVLPXODWLRQWULDORQXQGX
ODWLQJWHUUDLQ +HUHWKHDFWXDODQGHVWLPDWHGZKHHOWHUUDLQFRQWDFWDQJOHV
DUHFRPSDUHG ,WFDQ EH VHHQWKDW DIWHUDQLQLWLDOWUDQVLHQWWKH(.) HVWL
PDWHVRIWKHWHUUDLQFRQWDFWDQJOHVDUHTXLWHDFFXUDWHZLWK506HUURUVRI
qDQGqIRUWKHIURQWDQGUHDUDQJOHVUHVSHFWLYHO\ (UURULQFUHDVHV
DWIODWWHUUDLQUHJLRQV LHZKHUHWKHYDOXHVRIIURQWDQGUHDUFRQWDFWDQJOHV
DUH LGHQWLFDO  VLQFH WKH DQJOH HVWLPDWLRQ HTXDWLRQV EHFRPH SRRUO\ FRQGL
WLRQHGGXHWRUHDVRQVGLVFXVVHGSUHYLRXVO\ +RZHYHUWKHHUURUFRYDULDQFH
PDWUL[UHPDLQHGVPDOOGXULQJWKHVLPXODWLRQ ,QJHQHUDOWKH(.)GRHVDQ
H[FHOOHQW MRE LQ VLPXODWLRQ RI HVWLPDWLQJ ZKHHOWHUUDLQ FRQWDFW DQJOHV LQ
WKHSUHVHQFHRIQRLVH

!([SHULPHQWDO 5HVXOWV

7KHZKHHOWHUUDLQFRQWDFWDQJOHHVWLPDWLRQDOJRULWKPZDVLPSOHPHQWHGRQ
WKH VL[ZKHHOHG H[SHULPHQWDO URYHU V\VWHP VKRZQ LQ )LJ  %XUQ
  7KLVURYHU SRVVHVVHVDURFNHUERJLHVXVSHQVLRQVLPLODUWRWKH6R
MRXUQHUURYHU %LFNOHU  7KHVL[ZKHHOVDUHGULYHQE\JHDUHG'&PR
WRUVZLWKDSHDNWRUTXHRIR]LQDQGPD[LPXPDQJXODUYHORFLW\RI
USP 7KH UHVXOWLQJ PD[LPXP YHORFLW\ RI WKH URYHU LV DSSUR[LPDWHO\ 
FPVHF 7KHURYHULVVWHHUHGZLWKVNLGVWHHULQJ $ P  HFKDQLFDOGLIIHUHQWLDO
LQ WKH URYHU IUDPH DOORZV WKH ERG\ WR ³VSOLW WKH GLIIHUHQFH´ RI WKH WZR
URFNHU DQJOHV 7KH URYHU ZHLJKV  NJ 7KH URYHU KDV RQERDUG SRZHU
DQGD3&FRPSXWHUIRUDXWRQRPRXVFRQWURO $GGLWLRQDO3&PRG
XOHVVXSSRUWGLJLWDODQGDQDORJ,2DQGVHQVRUUHDGLQJ $ Z  LUHOHVVPRGHP
LVXVHGIRUH[WHUQDOFRPPXQLFDWLRQ
7KHURYHUVHQVRUVXLWHLVFRPSRVHGRIWDFKRPHWHUVWRPHDVXUHWKHZKHHO
DQJXODU YHORFLWLHV DQG D WKUHHD[LV &URVVERZ &;/0 DFFHOHURPHWHU
PRXQWHGWRWKHURYHUERG\WRGHWHUPLQHUROODQGSLWFKUHODWLYHWRDQLQHUWLDO
IUDPH $ -50$
 VL[D[LV IRUFHWRUTXH VHQVRU LV PRXQWHG DW WKH
IURQWRIWKHURYHUWRPHDVXUHIRUFHVH[HUWHGRQWKHURYHUERG\E\DWKUHH
GRIPDQLSXODWRU
)RUWKLVW\SHRIURFNHUERJLHVXVSHQVLRQWKHFRQWDFWDQJOHVIRUWKHIURQW
DQGPLGGOHZKHHOVFDQEHHVWLPDWHGZLWK(TXDWLRQV  DQG   7KH
UHDUZKHHOGRHVQRWPDLQWDLQDIL[HGGLVWDQFHIURPHLWKHUWKHIURQWRUPLG
GOH ZKHHO GXH WR WKH URYHU¶V DUWLFXODWHG VXVSHQVLRQ +RZHYHU LW GRHV
PDLQWDLQDIL[HGGLVWDQFHWRWKHERJH\IUHHSLYRWMRLQWDQGLWVFRQWDFWDQJOH
FDQEHHVWLPDWHGIURP(TXDWLRQV  DQG  ZLWKO WDNHQDVWKHGLV
WDQFHIURPWKHUHDUZKHHOFHQWHUWRWKHFHQWHURIWKHERJH\IUHHSLYRWMRLQW
 &KDSWHU 5RXJK 7HUUDLQ0RELOH5RERW 0RGHOLQJDQG(VWLPDWLRQ

25
Actual Angle
Estimated Angle

Front Wheel Contact Angle (deg) 20

15

10

0
0 5 10 15 20 25 30
Travel Distance (m)
)URQWZKHHO
25
Actual Angle
Estimated Angle
Rear Wheel Contact Angle (deg)

20

15

10

0
0 5 10 15 20 25 30
Travel Distance (m)
5HDU:KHHO
)LJ6LPXODWHGZKHHOWHUUDLQFRQWDFWDQJOHVDQGHVWLPDWHVIRUIURQWDQGUHDU
ZKHHOV
 5HVXOWV:KHHO7HUUDLQ&RQWDFW$QJOH,GHQWLILFDWLRQ 

)LJ ([SHULPHQWDOURYHU WHVWEHG

34.0 cm

Differential joint Y
Z
Y F
Free pivot joint
pc
X Q
14.0 cm
11.4 cm
7.0 cm
12.1 cm
20.0 cm

34.8 cm

9.1 cm
)LJ ([SHULPHQWDO URYHUWHVWEHGNLQHPDWLFGHVFULSWLRQ

0HDVXUHPHQWQRLVHFRYDULDQFHVIRUWKH(.)ZHUHHVWLPDWHGRIIOLQHE\
DQDO\]LQJWKHVWDQGDUGGHYLDWLRQ RIVHQVRUUHDGLQJVIRUWKHZKHHOWDFKRPH
 &KDSWHU 5RXJK 7HUUDLQ0RELOH5RERW 0RGHOLQJDQG(VWLPDWLRQ

WHUVDQGMRLQWSRWHQWLRPHWHUVGXULQJ DWULDOPRWLRQ3URFHVVQRLVHFRYDUL
DQFHVZHUHHVWLPDWHGEDVHGRQWKHH[SHFWHG WHUUDLQ YDULDWLRQ
7ZRH[SHULPHQWVZHUHSHUIRUPHG,QWKHILUVWH[SHULPHQWWKHURYHUZDV
GULYHQRYHUDURFNRIDSSUR[LPDWHO\RQHKDOIZKHHOGLDPHWHU LQVL]H7KH
ZKHHOWHUUDLQFRQWDFWDQJOHVZHUHHVWLPDWHGXVLQJWKH(.)IUDPHZRUNGH
VFULEHG DERYH5HVXOWV RIWKLVH[SHULPHQWFDQ EH VHHQLQ )LJ 7KH
ZKHHOWHUUDLQ FRQWDFW DQJOHV LQFUHDVH DV WKH ZKHHO DVFHQGV WKH URFN GH
FUHDVHWR ]HURDWRS WKH URFNDQGEHFRPH QHJDWLYH DVWKHZKHHO GHVFHQGV
WKHURFN$VH[SHFWHGWKHFRQWDFWDQJOH HVWLPDWHVDUH VLPLODUIRUDOOWKUHH
ZKHHOV
,QWKHVHFRQGH[SHULPHQWWKHURYHUZDVGULYHQIURPIODWWHUUDLQXS Dq
LQFOLQH DQG WKH IURQW DQG PLGGOH ZKHHOWHUUDLQ FRQWDFW DQJOHV ZHUH HVWL
PDWHG 5HVXOWV RIWKLVH[SHULPHQW FDQEHVHHQ LQ )LJXUH 7KH506
HUURU RI WKH IURQW ZKHHO FRQWDFW DQJOH HVWLPDWH LV q ZKLOH WKH PLGGOH
ZKHHO 506 HUURU LV q  $YHUDJH FRPSXWDWLRQ WLPH IRU ERWK H[SHUL
PHQWVZDVPVHFF\FOHZKLFKLVUHDVRQDEOHIRURQERDUGLPSOHPHQWD
WLRQ7KXV LWFDQEHFRQFOXGHGWKDWZKHHOWHUUDLQFRQWDFWDQJOHVFDQEHDF
FXUDWHO\HVWLPDWHGE\ DURYHUZLWKQRLV\VHQVRUVDQGOLPLWHGFRPSXWDWLRQDO
UHVRXUFHV

20
Front Wheel
Middle Wheel
15
Rear Wheel

10
Wheel-Terrain Contact Angle (deg)

-5

-10

-15

-2 0

-2 5
0 2 4 6 8 10 12 14 16 18 20 22
Time (s)

)LJ(VWLPDWHGZKHHOWHUUDLQFRQWDFWDQJOHRIIURQWPLGGOHDQG UHDUULJKW
VLGHZKHHOV RIH[SHULPHQWDOURYHUWUDYHUVLQJD URFN
 5HVXOWV:KHHO7HUUDLQ&RQWDFW$QJOH,GHQWLILFDWLRQ 

30
Actual Angle
25
Estimated Angle
Front Wheel Contact Angle (deg)
20

15

10

-5

-10
0 5 10 15 20 25
Time (s)
)URQW:KHHO
30
Actual Angle
25
Estimated Angle
Middle Wheel Contact Angle (deg)

20

15

10

-5

-10
0 5 10 15 20 25
Time (s)
0LGGOH:KHHO

)LJ (VWLPDWHGDQGDFWXDOZKHHOWHUUDLQ FRQWDFWDQJOHV IRUIURQWDQGPLGGOH


ZKHHOVRIH[SHULPHQWDOURYHUWUDYHUVLQJ qLQFOLQH
 &KDSWHU 5RXJK 7HUUDLQ0RELOH5RERW 0RGHOLQJDQG(VWLPDWLRQ

 6XPPDU\ DQG&RQFOXVLRQV

7HUUDLQ SDUDPHWHUV DQG ZKHHOWHUUDLQ FRQWDFW DQJOHV DUH LPSRUWDQW HOH


PHQWVRIURXJKWHUUDLQURERWPRGHOV.QRZOHGJHRIWHUUDLQSDUDPHWHUVDQG
ZKHHOWHUUDLQFRQWDFWDQJOHV DOORZVDFFXUDWHWUDYHUVDELOLW\SUHGLFWLRQDQG
LVXVHIXO IRUPRWLRQ SODQQLQJDQGFRQWURO
$Q HIILFLHQW RQOLQH WHUUDLQ SDUDPHWHU HVWLPDWLRQ DOJRULWKP KDV EHHQ
SUHVHQWHG 7KHHVWLPDWLRQ PHWKRGLVEDVHG RQVLPSOLILHGIRUPVRIFODVVLFDO
WHUUDPHFKDQLFVHTXDWLRQV $OLQHDUOHDVWVTXDUHVHVWLPDWRUZDVXVHGWR HV
WLPDWH FRKHVLRQ DQG LQWHUQDO IULFWLRQ DQJOH LQ UHDO WLPH  6LPXODWLRQ DQG
H[SHULPHQWDOUHVXOWVKDYH VKRZQWKDWWKHPHWKRG FDQHVWLPDWHSDUDPHWHUV
RIWKUHHGLIIHUHQWWHUUDLQW\SHVZLWK JRRGDFFXUDF\ GHVSLWHQRLVHXVLQJOLP
LWHGFRPSXWDWLRQ 7KLV PHWKRGFRXOG EHXVHGIRUSODQHWDU\ URYHUVIRURQ
OLQHWHUUDLQDQDO\VLV
$ZKHHOWHUUDLQ FRQWDFW DQJOHHVWLPDWLRQDOJRULWKPEDVHGRQULJLGERG\
NLQHPDWLF HTXDWLRQV ZDV DOVR SUHVHQWHG  7KH DOJRULWKP XWLOL]HV DQ H[
WHQGHG.DOPDQILOWHUWRIXVHRQERDUGVHQVRUVLJQDOV6LPXODWLRQDQGH[
SHULPHQWDO UHVXOWV IRU D VL[ZKHHOHG URYHU KDYH VKRZQ WKDW WKH DOJRULWKP
FDQDFFXUDWHO\HVWLPDWHZKHHOWHUUDLQFRQWDFWDQJOHVLQ URXJKWHUUDLQ
&KDSWHU 
5RXJK 7HUUDLQ 0RWLRQ 3ODQQLQJ

 ,QWURGXFWLRQ

0RWLRQSODQQLQJDOJRULWKPVIRUPRELOH URERWVLQURXJKWHUUDLQ PXVWH[SOLF


LWO\ FRQVLGHU WKH HIIHFWV RI URERWWHUUDLQ LQWHUDFWLRQ  7KLV GLIIHUV IURP
SODQQLQJIRUV\VWHPVRSHUDWLQJRQOHYHOVPRRWKVXUIDFHVZKHUHWHUUDLQ HI
IHFWVFDQXVXDOO\EHVDIHO\LJQRUHG,Q URXJKWHUUDLQLWLVFUXFLDOWKDWDUR
ERWEHDEOHWR DVVHVVPRELOLW\ KD]DUGV SRVHGE\VORSHGORRVHDQG XQHYHQ
WHUUDLQLQ RUGHUWRIRUPXODWHDVDIHUREXVW PRWLRQSODQ
5RXJKWHUUDLQPRWLRQSODQQLQJDOJRULWKPVPXVWDOVRFRQVLGHUUHDOZRUOG
LPSOHPHQWDWLRQ LVVXHV6SHFLILFDOO\DOJRULWKPV PXVWEHHIILFLHQWHQRXJK
WREHH[HFXWHG RQDV\VWHPZLWKOLPLWHGRQERDUGFRPSXWDWLRQDOUHVRXUFHV
VXFKDVD SODQHWDU\H[SORUDWLRQURYHU$OVRURXJKWHUUDLQ SODQQLQJ DOJR
ULWKPV PXVW FRQVLGHU WKH XQFHUWDLQW\ LQKHUHQW LQ WHUUDLQ VHQVLQJ V\VWHPV
VXFK DV UDQJHILQGHUV  )LQDOO\ SODQQLQJ DOJRULWKPV PXVW DFFRXQW IRU WKH
IDFW WKDW WKH PRELOH URERW FDQQRW SUHFLVHO\ WUDFN D SODQQHG SDWK GXH WR
SDWKIROORZLQJHUURUV
,QWKLVFKDSWHUWZRGLVWLQFWURXJKWHUUDLQPRWLRQSODQQLQJ DOJRULWKPVDUH
SUHVHQWHG7KHILUVWDOJRULWKPSODQV WKHURXWH LHWKHSRLQWZLVHSRVLWLRQ
DQG KHDGLQJ RI D PRELOH URERW WKURXJK XQHYHQ WHUUDLQ  7KH SXUSRVH RI
WKLV DOJRULWKP LV WR DOORZ D PRELOH URERW WR VDIHO\ PRYH IURP LWV FXUUHQW
SRVLWLRQWRDGHVLUHG SRVLWLRQZKLOHRSWLPL]LQJVRPH DVSHFWRIV\VWHPSHU
IRUPDQFH VXFK DV SRZHU FRQVXPSWLRQ   7KH VHFRQG DOJRULWKP SODQV WKH
VXVSHQVLRQ FRQILJXUDWLRQ RI DQ DFWLYHO\ DUWLFXODWHG VXVSHQVLRQ URERW DV LW
WUDYHOV WKURXJK XQHYHQ WHUUDLQ  7KLV DOJRULWKP DSSOLHV WR PRELOH URERWV
WKDWSRVVHVVDFWLYHO\FRQWUROOHGVXVSHQVLRQVWKDWFDQUHSRVLWLRQWKHLUFHQWHU
RIPDVVWRLPSURYHPRELOLW\ LQURXJKWHUUDLQ%RWKDOJRULWKPVFDQEHFRQ
VLGHUHG PRWLRQ SODQQLQJ DOJRULWKPV GHVSLWH WKH IDFW WKDW WKH ILUVW DOJR
ULWKP¶V VROXWLRQ OLHV LQ WKH VSDFH RI WKH URERW¶V SRVLWLRQ DQG KHDGLQJ DQG
WKH VHFRQG DOJRULWKP¶V VROXWLRQ OLHV LQ D VSDFH RI WKH URERW¶V VXVSHQVLRQ
GHJUHHVRIIUHHGRP  %RWK DOJRULWKP DOVR FRQVLGHU LPSRUWDQW WHUUDLQ HI
IHFWV

K. Iagnemma and S. Dubovsky: Mobile Robots in Rough Terrain, STAR 12, pp. 51–79, 2004.
© Springer-Verlag Berlin Heidelberg 2004
 &KDSWHU 5RXJK7HUUDLQ0RWLRQ3ODQQLQJ

7KHURXJKWHUUDLQPRWLRQ SODQQLQJWHFKQLTXHSUHVHQWHGLQ6HFWFRQ
VLGHUV WHUUDLQ FKDUDFWHULVWLFV DQG UHOHYDQW UHDOZRUOG LPSOHPHQWDWLRQ LV
VXHV6LPXODWLRQUHVXOWVIRUWKLVDOJRULWKPDUHSUHVHQWHGLQ6HFW,WLV
VKRZQWKDWWKDWWKHPHWKRGLVDEOHWRHIIHFWLYHO\SODQ VDIHURXWHVWKURXJK
URXJK WHUUDLQ  $ FRQILJXUDWLRQ SODQQLQJ PHWKRG IRU URERWV ZLWK DFWLYHO\
DUWLFXODWHG VXVSHQVLRQV LV SUHVHQWHG LQ 6HFW   6LPXODWLRQ DQG H[SHUL
PHQWDOUHVXOWVDUHVKRZQLQ6HFW,W LV VKRZQ WKDW WKHDOJRULWKP FDQ
JUHDWO\LPSURYHURERWVWDELOLW\LQ URXJKWHUUDLQ

 5RXJK7HUUDLQ0RWLRQ3ODQQLQJ

,QPDQ\URXJKWHUUDLQDSSOLFDWLRQVPRELOHURERWV DUHUHTXLUHGWR DXWRQR


PRXVO\ SODQ D SDWK IURP WKHLU FXUUHQW SRVLWLRQ WR D GLVWDQW JRDO ORFDWLRQ
ZKLOH DYRLGLQJ SK\VLFDO REVWDFOHV DQG XQWUDYHUVDEOH WHUUDLQ UHJLRQV  )RU
H[DPSOHDSODQHWDU\ H[SORUDWLRQ URYHU PLJKWEHUHTXLUHGWRWUDYHUVH UXJ
JHG ERXOGHUVWUHZQ WHUUDLQ WR UHDFK D VFLHQWLILFDOO\ LQWHUHVWLQJ VLWH LQ D
VWHHSO\VORSHGJXOO\ZLWK OLPLWHGKXPDQLQWHUYHQWLRQ
0RWLRQ SODQQLQJ LQ URXJK WHUUDLQ GLIIHUV IURP SODQQLQJ LQ ZHOO
VWUXFWXUHG HQYLURQPHQWV LQ VHYHUDO UHVSHFWV  )LUVW WHUUDLQ GDWD FDQQRW EH
DVVXPHGWREHSHUIHFWO\NQRZQGXHWRHUURUVLQUDQJH VHQVLQJWHFKQLTXHV
DQGVHQVRUPLVFDOLEUDWLRQ6HFRQGWKHSODQQHGSDWKPD\ QRWEHDFFXUDWHO\
IROORZHGE\WKHURERWGXHWRVLJQLILFDQWSDWKIROORZLQJDQGORFDOL]DWLRQ HU
URUV7KLUGLQURXJKWHUUDLQ WKHFRQFHSWRIDQ REVWDFOHLV QRWFOHDUO\ GH
ILQHG DV LW GHSHQGV RQ DQ XQGHUVWDQGLQJ RI WKH WHUUDLQ DQG WKH PRELOLW\
FKDUDFWHULVWLFV RI WKH URERW  )RU H[DPSOH VPRRWK IODW WHUUDLQ PLJKW EH
FRQVLGHUHGDQREVWDFOHLILWVWUDFWLRQ FKDUDFWHULVWLFV DUHSRRU&RQYHUVHO\
UXJJHGWHUUDLQPLJKWEH WUDYHUVDEOHIRUURERWVZLWKZHOOGHVLJQHGVXVSHQ
VLRQV  )LQDOO\ SODQHWDU\ H[SORUDWLRQ V\VWHPV ZLOO JHQHUDOO\ KDYH OLPLWHG
FRPSXWDWLRQDOUHVRXUFHVWRGHYRWHWRSDWKSODQQLQJ
,Q WKLV VHFWLRQ D PRWLRQ SODQQLQJ PHWKRG LV SUHVHQWHG WKDW FRQVLGHUV
UDQJHGDWDDQGURERWORFDOL]DWLRQ XQFHUWDLQW\DQGXWLOL]HVGHWDLOHGSK\VLFDO
PRGHOVRIWKHURERWDQGLWVHQYLURQPHQW WRDVVHVVSDWKWUDYHUVDELOLW\ 7KH
LQSXWWRWKHSODQQLQJ PHWKRGLVDWHUUDLQ HOHYDWLRQ PDS VXFK DVZRXOG EH
REWDLQDEOH IURP D ODVHU UDQJHILQGHU RU VWHUHR FDPHUD SDLU  7KH DVVXPHG
UDQJHRI WKLV GDWDLVDSSUR[LPDWHO\ URERWOHQJWKV
7KHPHWKRG LV FRPSRVHGRIWZRVWHSVDVVKRZQLQ)LJ7KHILUVW
VWHS LV DUDSLGVHDUFKWKURXJK WKHWHUUDLQPDSIRUDFDQGLGDWHSDWK DQGLV
GHVFULEHGLQ 6HFW7KHUDSLGSDWKVHDUFKXVHVDPHDVXUHRIORFDOWHU
UDLQURXJKQHVV DQGDFODVVLFDO$ JUDSKVHDUFKDOJRULWKPWRTXLFNO\ ILQGD
UHDVRQDEOHSDWKWKURXJKWKHUDQJHPDS IURPWKHURERWVWDUWSRVLWLRQWRWKH
 5RXJK 7HUUDLQ0RWLRQ 3ODQQLQJ 

JRDOSRVLWLRQ 1LOVVRQ  7HUUDLQURXJKQHVVLV GHILQHG ZLWKUHVSHFWWR


URERWSK\VLFDOSDUDPHWHUV VXFKDVZKHHOGLDPHWHU
7KHVHFRQGVWHSLV DULJRURXV HYDOXDWLRQRIWKHSURSRVHGSDWKXVLQJUR
ERW DQG WHUUDLQ SK\VLFDO PRGHOV DQG LV GHVFULEHG LQ 6HFW   8QFHU
WDLQW\LQWHUUDLQPHDVXUHPHQWDQGURERW ORFDOL]DWLRQDUHFRQVLGHUHG ,IWKH
PRGHOEDVHGHYDOXDWLRQGHWHUPLQHVWKDW WKHURERWFRXOGEHVXEMHFWWRIDLO
XUHDORQJWKHSURSRVHGSDWKWKH$ FRVWIXQFWLRQLVLQFUHDVHGDWWKHSRWHQ
WLDOIDLOXUHORFDWLRQDQGWKHSDWK LVUHSODQQHGWRDYRLGWKHKD]DUG
6LPXODWLRQUHVXOWVLQ6HFWVKRZWKDWWKHSURSRVHGPHWKRGFDQHIIL
FLHQWO\ DQGVDIHO\SODQURXWHVWKURXJKURXJKWHUUDLQ 7KHPHWKRG LVFRP
SDUHG WRD³FRQYHQWLRQDO´PRWLRQSODQQLQJ PHWKRGDQGLWLVVKRZQWKDWWKH
XVH RI SK\VLFDO PRGHOV RI WKH URERW DQG WHUUDLQ DOORZV WKH URXJK WHUUDLQ
SODQQHU WR DYRLG KD]DUGV WKDW WKH FRQYHQWLRQDO SODQQLQJ PHWKRGV FDQQRW
GHWHFW
INPUT: Range Map

Rapid Path Search


(Sec. 3.2.1)

Model-Based
Modify A*
Evaluation
Cost Function
(Sec. 3.2.2)

NO Is path
safe?

YES

END

)LJ +LJKOHYHOIORZFKDUWRIWKHSODQQLQJDOJRULWKP

!6WHS 2QH 5DSLG 3DWK 6HDUFK

7KH!SXUSRVH!RI!WKH!UDSLG!SDWK!VHDUFK!LV!WR!TXLFNO\!ILQG!D!GLUHFW!UHDVRQDEOH
SDWK!IURP!WKH!FXUUHQW!URERW!SRVLWLRQ!WR!WKH!JRDO!SRVLWLRQ!,Q!WKH!LQWHUHVW!RI
UHGXFLQJ!FRPSXWDWLRQ!WLPH!IRU!RQERDUG!LPSOHPHQWDWLRQ!WKH!UDSLG!VHDUFK
 &KDSWHU 5RXJK7HUUDLQ0RWLRQ3ODQQLQJ

LV QRW D JOREDOO\ RSWLPDO VHDUFK  7KH LQSXW WR WKH VHDUFK LV D ' WHUUDLQ
UDQJHPDSVXFKDVZRXOGEHREWDLQDEOHIURPDODVHUUDQJHILQGHURUVWHUHR
FDPHUDSDLU 7KHWHUUDLQLVUHSUHVHQWHGDVD PDSRIHOHYDWLRQV]DVVRFLDWHG
ZLWKDJULGLQ [\ DVLOOXVWUDWHGLQ)LJ 
$Q $ DOJRULWKPLVXVHGWR UDSLGO\ILQGDSDWKWKURXJKWKHWHUUDLQ JULG
IURP WKH FXUUHQW URERW SRVLWLRQ WR WKH JRDO SRVLWLRQ 1LOVVRQ    7KH
$ DOJRULWKPLVDJUDSKVHDUFKWHFKQLTXHDQGLVDWWUDFWLYHGXHWRLWVKLJK
VSHHGIRUUHODWLYHO\ VPDOOJUDSKV,Q WKLVZRUNWKHDVVXPHGJUDSKVL]HLV
DSSUR[LPDWHO\  FHOOV 7KH $  DOJRULWKP FRPSXWHV D SDWK EDVHG RQ D
XVHUGHILQHGSHUIRUPDQFHLQGH[)

3HUIRUPDQFH,QGH['HILQLWLRQ
7KHSHUIRUPDQFHLQGH[LVIRUPXODWHGDVDIXQFWLRQRI WKUHHYDULDEOHV7HU
UDLQURXJKQHVV ULV FRQVLGHUHGVLQFHLWLVGLUHFWO\UHODWHGWRWUDYHUVDELOLW\
DQG URERW VDIHW\ %HNNHU    5RERW WXUQLQJ DFWLRQ W LV FRQVLGHUHG
VLQFHLQURXJKWHUUDLQH[FHVVLYHWXUQLQJPD\ QRWEHGHVLUDEOHRUSRVVLEOH
HVSHFLDOO\IRUVNLGVWHHUHGURERWV3DWK OHQJWKOLVFRQVLGHUHGLQRUGHUWR
PLQLPL]H HQHUJ\ H[SHQGLWXUH  6LQFH WKH SHUIRUPDQFH LQGH[ PXVW EH
HYDOXDWHGDODUJHQXPEHU RI WLPHVLWVKRXOG EH PDWKHPDWLFDOO\ VLPSOHWR
VSHHGFRPSXWDWLRQ

10

0
10

4
Z z(x,y) 10
8
2 6
Y 4
0 2
X 0

)LJ ([DPSOHRI WHUUDLQGDWDLQSXWWRUDSLGSDWKVHDUFK


 5RXJK 7HUUDLQ0RWLRQ 3ODQQLQJ 

7HUUDLQURXJKQHVVFDQEHGHILQHGLQ QXPHURXVZD\V+HUHDURXJKQHVV
GHILQLWLRQLV SURSRVHGEDVHG RQWKHYDULDQFH RIWKHWHUUDLQHOHYDWLRQRYHUD
URERWVL]HGSDWFK&RQVLGHU DURERW FHQWHUHGDWDSRLQW [\ DQGRULHQWHG
LQWKHGLUHFWLRQRIPRWLRQ DORQJDSURSRVHGSDWK /HWƒ EHWKHVHWRI WHU
UDLQ HOHYDWLRQ SRLQWV LQVLGH WKH FRQYH[ KXOO GHILQHG E\ WKH ZKHHOWHUUDLQ
FRQWDFWSRLQWV RIWKHURERWRQ IODWJURXQG DVVKRZQLQ )LJ 7KHWHUUDLQ
URXJKQHVV UDW [\ LVGHILQHGDVWKHVTXDUHURRWRIWKHYDULDQFHRIDOOHOH
YDWLRQSRLQWVLQƒ
YDU ] ƒ  
U [ \
G
ZKHUHG LVWKHURERWZKHHOGLDPHWHUDQGLVLQFOXGHGWRQRQGLPHQVLRQDOL]H
DQGVFDOHWKHPHWULFWRWKHURERWVL]H1RWHWKDWLWLVLPSRUWDQWWR LQFOXGH
³LQWHULRU´WHUUDLQ SRLQWV LHLQVLGHWKHURERWIRRWSULQW LQRUGHUWR SURYLGH
DQ HVWLPDWH RI SRWHQWLDO URERW KDQJXS IDLOXUH  +DQJXS IDLOXUH RFFXUV
ZKHQ WKH URERW ERG\ EHFRPHV ORGJHG DWRS DQ REVWDFOH FDXVLQJ ORVV RI
ZKHHOWUDFWLRQDQG URERWHQWUDSPHQW
7HUUDLQDUHDVZLWKODUJHURXJKQHVVUHODWLYHWRWKHURERWZKHHOGLDPHWHU
DUHOLNHO\XQWUDYHUVDEOH,WLVGHVLUDEOHWRDVVLJQKLJKFRVWWRWKHVHUHJLRQV
7RDFFRPSOLVKWKLVDPRGLILHGURXJKQHVVPHDVXUHUc LVGHILQHG DV
D
§ YDU ] ƒ ·  
U c [ \ ¨ ¸
¨ G ¸
© ¹
ZKHUHDLVDFRQVWDQWJUHDWHUWKDQRQH7KLVKDVWKHHIIHFWRILQFUHDVLQJO\
SHQDOL]LQJWHUUDLQUHJLRQVWKDWDUHFOHDUO\XQWUDYHUVDEOH ZKLOHPDLQWDLQLQJ
DFRQWLQXRXV DVRSSRVHGWRELQDU\ REVWDFOHUHSUHVHQWDWLRQ

)LJ7HUUDLQ URXJKQHVVUHJLRQGHILQLWLRQ
 &KDSWHU 5RXJK7HUUDLQ0RWLRQ3ODQQLQJ

7KHFRVW DVVRFLDWHGZLWKURERWWXUQLQJ WLVDOVRGHILQHGDVDIXQFWLRQRI


WHUUDLQ URXJKQHVV7XUQLQJ LQKLJKO\URXJK WHUUDLQ LVGLIILFXOW VLQFH PRVW
URERW VXVSHQVLRQV DUH GHVLJQHG WR VXUPRXQW REVWDFOHV LQ WKHLU D[LDO LH
IRUZDUG  GLUHFWLRQ  7XUQLQJ LQ URXJK WHUUDLQ FUHDWHV IRUFHV WKDW LQFUHDVH
WKHOLNHOLKRRGRIUROORYHU$OVRURERWVWKDWDUHVNLGVWHHUHGFDQQRWWXUQLQ
URXJKWHUUDLQGXHWRWHUUDLQLQGXFHGODWHUDOIRUFHVDFWLQJ RQWKHZKHHOV$
FRVW LV WKHUHIRUH DVVLJQHG WR WXUQLQJ WKDW LV SURSRUWLRQDO WR WHUUDLQ URXJK
QHVVDWSRLQWVZKHUHWKHSURSRVHGSDWK FKDQJHVKHDGLQJ7KHWXUQLQJFRVW
IXQFWLRQWLVGHILQHGDV
D
§ YDU ] ƒ ·  
W [ \ ¨ ¸
¨ G ¸
© ¹
ZKHUH D LV D FRQVWDQW JUHDWHU WKDQ RQH DQG ƒƍ LV GHILQHG DV WKH VHW RI
SRLQWV LQVLGH D FLUFOH FHQWHUHG DW [\  ZLWK UDGLXV HTXDO WR WKH GLVWDQFH
IURPWKHURERWFHQWHUWR WKHPRVWGLVWDQWZKHHOWHUUDLQFRQWDFWSRLQW 7KXV
ƒƍ FDQEH YLHZHGDVDVXSHUVHWRI ƒDXJPHQWHGWRLQFOXGHWKHDUHDVZHSW
GXULQJWXUQLQJ7KHZKHHOGLDPHWHULV DJDLQXWLOL]HGIRUVFDOLQJDQGQRQ
GLPHQVLRQDOL]LQJWKHPHWULF
7KHFRVW O DVVRFLDWHGZLWKSDWKOHQJWKLV VLPSO\WDNHQDVWKHOHQJWK /RI
WKHFDQGLGDWHSDWK GLYLGHGE\ DURERWZKHHOGLDPHWHU
/
O [ \   
G
7KH SHUIRUPDQFH LQGH[ ) LV IRUPHG DV D ZHLJKWHG VXP RI WKH PHWULFV
FRQVLGHULQJ WHUUDLQ XQHYHQQHVV WXUQLQJ DQG SDWK OHQJWK DQG D SHQDOW\
WHUP S
ĭ N U c  N  W  N  O  S  
ZLWKFRQVWDQWV NNDQGN FKRVHQ WRDGMXVWWKHUHODWLYHYDOXHVRIUc WDQG
OWR DGGUHVV PLVVLRQVSHFLILFFRQVWUDLQWV7KHSHQDOW\WHUP SLV]HURIRUDOO
SRLQWVH[FHSWWKRVHLGHQWLILHGDVKD]DUGRXVE\WKHPRGHOEDVHGHYDOXDWLRQ
GHVFULEHG EHORZ)RUWKRVHSRLQWVLWLVDODUJHSRVLWLYHQXPEHU
$OHDVWFRVWSDWK 3LVIRXQG IURPWKHFXUUHQWURERWSRVLWLRQWRWKHJRDO
SRVLWLRQXVLQJWKH$ DOJRULWKP7KHSDWK3LVFRPSRVHGRIQQHLJKERULQJ
[\  SDLUV 3 ^[ \«[Q \Q` DQG FRPELQHV WHUUDLQ VPRRWKQHVV PLQL
PXPWXUQLQJDQGVKRUWGLVWDQFH7KHSDWKLVQRWJXDUDQWHHGWREHKD]DUG
IUHHGXHWRWKHVLPSOHKHXULVWLFQDWXUHRIWKHSHUIRUPDQFHLQGH[$JDLQ
WKHSHUIRUPDQFHLQGH[ ZDVVHOHFWHG GXHWRLWVHDVHRIHYDOXDWLRQDQGLQWXL
WLYHUHODWLRQVKLSWRURERWPRELOLW\ ,W LVLQWHQGHGWRUDSLGO\ OHDGWRDUHD
VRQDEOHSDWKWKURXJKWKHWHUUDLQ
 5RXJK 7HUUDLQ0RWLRQ 3ODQQLQJ 

6WHS7ZR 0RGHO%DVHG(YDOXDWLRQ

7KHSDWKJHQHUDWHGE\WKHUDSLGVHDUFKLVQRWJXDUDQWHHGWREHKD]DUGIUHH
$ GHWDLOHG PRGHOEDVHG HYDOXDWLRQ RI WKH SURSRVHG SDWK LV WKHUHIRUH UH
TXLUHGWRHQVXUHURERWVDIHW\
7R SHUIRUP D PRGHOEDVHG HYDOXDWLRQ WKH URERW FRQILJXUDWLRQ LV ILUVW
FRPSXWHGDWHDFK [\ SDLULQSDWK3WKURXJKDNLQHPDWLFDQDO\VLVDVGH
VFULEHGLQ6HFW 7KHURERWFRQILJXUDWLRQDVVRFLDWHGZLWK HDFKSRLQW
FDQ WKHQ EH DQDO\]HG IRU VWDWLF VWDELOLW\ NLQHPDWLF YDOLGLW\ DQG WHUUDLQ
WUDYHUVDELOLW\7KHVHDQDO\VHVDUHGHVFULEHGEHORZ

6WDWLF6WDELOLW\$QDO\VLV
*LYHQDURERWFRQILJXUDWLRQVWDWLFVWDELOLW\FDQ EHFRPSXWHGLQD PDQQHU
VLPLODUWR WKDWSURSRVHG E\ 3DSDGRSRXORVDQG5H\  $JDLQ DVWDWLF
DQDO\VLVLVDSSURSULDWHGXHWRWKHORZVSHHGVRIWKHVHYHKLFOHV,QWKLVDS
SURDFKWKHURERW¶V PZKHHOWHUUDLQFRQWDFWSRLQWVSLL ^«P` DUHQXP
EHUHGLQ DVFHQGLQJ RUGHULQ DFORFNZLVHPDQQHUZKHQYLHZHGIURPDERYH
DVVKRZQLQ )LJ1RWHWKDWDOOYHFWRUVLQWKLVDQDO\VLVDUH H[SUHVVHGLQ
WKHLQHUWLDOIUDPH ^;<=`7KHOLQHVMRLQLQJWKHZKHHOWHUUDLQFRQWDFWSRLQWV
DUHUHIHUUHGWRDVWLSRYHUD[HVDQGGHQRWHG DLZKHUHWKHLWKWLSRYHUD[LVLV
JLYHQE\
DL SL± SLL ^« P`  

DP S± SP  


$YHKLFOHZLWK PZKHHOVRUIHHWLQFRQWDFWZLWKWKHWHUUDLQKDV LQJHQHUDO
P WLSRYHU D[HV  7LSRYHU D[LV QRUPDOV OL WKDW LQWHUVHFW WKH FHQWHU RI PDVV
FDQEHGHVFULEHGDV
OL   DÖ L DÖ 7L S L   

ZKHUH DÖ D  D 
6WDWLFVWDELOLW\DQJOHVFDQ EH FRPSXWHGIRUHDFKWLSRYHUD[LVDVWKHDQJOH
EHWZHHQWKHJUDYLWDWLRQDOIRUFHYHFWRUIJDQGWKHD[LVQRUPDOOL
KL V L FRV  IÖJ ˜ ÖO L  L ^   P`  

ZLWK
­  ÖO L u IÖJ ˜ DÖ L   
VL ® 
¯   RWKHUZLVH
 &KDSWHU 5RXJK7HUUDLQ0RWLRQ3ODQQLQJ

7KHRYHUDOOYHKLFOHVWDELOLW\ DQJOHLVGHILQHGDV WKHPLQLPXPRIWKHP


VWDELOLW\DQJOHV
D PLQ K L  L ^  P`  

:KHQ D   D WLSRYHU LQVWDELOLW\ LV RFFXUULQJ  7KXV D SRLQW LQ 3 LV


GHHPHGDIDLOXUHSRLQWLI D DPLQZKHUH DPLQ LVDSRVLWLYHFRQVWDQW7KLV
FRQVWDQWLVXVHUGHILQHGDQGFDQ EHYLHZHGDVDVDIHW\ PDUJLQ)RUSRLQWV
LGHQWLILHGDVIDLOXUHSRLQWVWKHSHQDOW\ WHUP SLQ(T  LVLQFUHDVHGWRD
ODUJHQXPEHU
Y

X
Z
p1 l1
p
h1 2
a1

fg
a2
p
m

am

)LJ 6WDELOLW\GHILQLWLRQGLDJUDP

.LQHPDWLF9DOLGLW\$QDO\VLV
$URERWFRQILJXUDWLRQLVNLQHPDWLFDOO\YDOLGLIQRMRLQWOLPLWRULQWHUIHUHQFH
FRQVWUDLQWVDUHYLRODWHG7RYHULI\ WKLVDWHDFKFRQILJXUDWLRQLQ 3WKHURERW
MRLQWYDOXHV DUHUHTXLUHGWRVDWLVI\DVHWRILQHTXDOLW\ FRQVWUDLQWV
T LPLQ  T L  T LPD[  L ^   T` 

ZKHUH TLPLQ DQG TLPD[FDQ EH IXQFWLRQVRIWKHURERWFRQILJXUDWLRQDQGTLV


WKHQXPEHURIURERWVXVSHQVLRQMRLQWV,IWKHLQHTXDOLW\ FRQVWUDLQWLVYLR
ODWHG IRU DQ\ MRLQW WKH URERW LV XQDEOH WR FRQIRUP WR WKH WHUUDLQ  3K\VL
FDOO\ WKLV LPSOLHV WKDW D URERW ZKHHO ZLOO ORVH FRQWDFW ZLWK WKH WHUUDLQ
 5RXJK 7HUUDLQ0RWLRQ 3ODQQLQJ 

ZKLFK FDQ OHDG WR ORVV RI WUDFWLRQ!,Q WKLV FDVH WKH SRLQW LV GHHPHG D IDLOXUH
SRLQW DQG WKH SHQDOW\ WHUP S LQ (T  LV LQFUHDVHG WR D ODUJH QXPEHU

7HUUDLQ 7UDYHUVDELOLW\ $QDO\VLV


$W!HDFK!SRLQW!LQ!SDWK!3 D ! TXDVLVWDWLF!IRUFH!DQDO\VLV!LV!SHUIRUPHG!WR!GHWHU
PLQH!LI!WKH!URERW!FDQ!H[HUW!HQRXJK!IRUFH!WR!PRYH!LQ!WKH!GHVLUHG!GLUHFWLRQ
DV!GHVFULEHG!LQ!6HFW!! 7KH!LQSXW!IRUFH!IV!WR!WKH!IRUFH!DQDO\VLV!LV!D
VPDOO!SRVLWLYH!FRQVWDQW!LQ!WKH!GLUHFWLRQ!RI!URERW!PRWLRQ!DORQJ!WKH!SDWK
7KXV!LI!D!VROXWLRQ!WR!WKH!IRUFH!DQDO\VLV!H[LVWV!WKH!URERW!FDQ!JHQHUDWH
HQRXJK!IRUFH!WR!FDXVH!PRWLRQ!LQ!WKH!GHVLUHG!GLUHFWLRQ!,I!WKH!DQDO\VLV!SUH
GLFWV!WKDW!WKH!URERW!FDQQRW!PRYH!LQ!WKH!GHVLUHG!GLUHFWLRQ!WKH!SRLQW!LV
GHHPHG!D!IDLOXUH!SRLQW!DQG!WKH!SHQDOW\!WHUP!S LQ!(T!  !LV!LQFUHDVHG!WR!D
ODUJH QXPEHU
,I!DW!DQ\!SRLQW!WKH!VWDELOLW\!NLQHPDWLF!YDOLGLW\!RU!WHUUDLQ!WUDYHUVDELOLW\
FRQVWUDLQWV!DUH!YLRODWHG!WKH!SHQDOW\!WHUP!S LV!LQFUHDVHG!WR!D!ODUJH!QXPEHU
DW!WKHVH!SRLQWV!,I!QR!VWDELOLW\!NLQHPDWLF!YDOLGLW\!RU!WHUUDLQ!WUDYHUVDELOLW\
FRQVWUDLQWV DUH YLRODWHG!WKH SURSRVHG!SDWK!3 LV!GHHPHG VDIH!1RWH WKDW WKH
SDWK!3!UHSUHVHQWV!DQ!LGHDOL]HG!PRWLRQ!SODQ!WKDW!GRHV!QRW!FRQVLGHU!WKH!HI
IHFWV!RI!XQFHUWDLQW\!DQG!SDWK!IROORZLQJ!HUURU!7KHVH!IDFWRUV!DUH!GLVFXVVHG
QH[W

!8QFHUWDLQW\ LQ 5RXJK 7HUUDLQ 0RWLRQ 3ODQQLQJ

7KHUH!DUH!QXPHURXV!VRXUFHV!RI!XQFHUWDLQW\!DVVRFLDWHG!ZLWK!URXJK!WHUUDLQ
PRWLRQ!SODQQLQJ! 8QFHUWDLQW\!SULPDULO\!OLHV!LQ!WHUUDLQ!HOHYDWLRQ!PHDVXUH
PHQW!DQG!URERW!SDWK!IROORZLQJ!HUURU! 7KH!UDSLG!SDWK!VHDUFK!DQG!PRGHO
EDVHG!HYDOXDWLRQ!SUHVHQWHG!DERYH!LPSOLFLWO\!DVVXPH!WKDW!WHUUDLQ!HOHYDWLRQ
GDWD LV HUURUIUHH DQG WKH URERW FDQ IROORZ D GHVLUHG SDWK ZLWK SHUIHFW DFFX
UDF\!,Q!SUDFWLFH!WHUUDLQ!HOHYDWLRQ!GDWD!FRQWDLQV!HUURU!DQG!URERWV!ZLOO!GH
YLDWH!IURP!D!GHVLUHG!SDWK!ODUJHO\!GXH!WR!ORFDOL]DWLRQ!XQFHUWDLQW\!,I!WKHVH
HIIHFWV DUH!QRW H[SOLFLWO\!FRQVLGHUHG LQ WKH SODQQLQJ!PHWKRG WKH URERW!PD\
DWWHPSW!WR!WUDYHUVH!D!WHUUDLQ!UHJLRQ!WKDW!LV!XQWUDYHUVDEOH!ZKLFK!FDQ!OHDG!WR
HQWUDSPHQW!RU!KDQJXS!IDLOXUH! ,Q!WKLV!VHFWLRQ!PRGHOV!RI!XQFHUWDLQW\
VRXUFHV DUH SUHVHQWHG

7HUUDLQ 0HDVXUHPHQW 8QFHUWDLQW\


7HUUDLQ!HOHYDWLRQ!PHDVXUHPHQW!V\VWHPV!VXFK!DV!ODVHU!UDQJHILQGHUV!DQG!VWH
UHRFDPHUD!UDQJH!VHQVRUV!DUH!VXEMHFW!WR!VLJQLILFDQW!HUURU! +HEHUW!DQG!.URW
NRY!!0DWWKLHV!DQG!*UDQGMHDQ!!0DWWKLHV!HW!DO! !7KLV!HUURU
FDQ!EH!GHFRPSRVHG!LQWR!D!UDQGRP!QRLVHEDVHG!FRPSRQHQW!DQG!D!V\VWHP
 &KDSWHU 5RXJK7HUUDLQ0RWLRQ3ODQQLQJ

DWLFFRPSRQHQWGXHWR VHQVRUELDV DQGPLVFDOLEUDWLRQ 0DWWKLHVDQG *UDQG


MHDQ 
7KHUDQGRP FRPSRQHQWRIVHQVRUHUURULVGRPLQDWHG E\QRLVH)RUVWH
UHR FDPHUD UDQJLQJ V\VWHPV WKLV QRLVH KDV EHHQ VKRZQ WR EH DSSUR[L
PDWHO\*DXVVLDQLQQDWXUHDQGDTXDGUDWLFIXQFWLRQRIUDQJH
V =U VU=  

ZKHUH =LVWKHGLVWDQFHIURP WKHVHQVRUWRWKHWHUUDLQ SRLQWRILQWHUHVWDQG


VULVWKHVWDQGDUGGHYLDWLRQRIWKHVHQVRUQRLVH1RWHWKDWVUFDQEHFKDUDF
WHUL]HGRIIOLQH 0DWWKLHVDQG*UDQGMHDQ  
7KH V\VWHPDWLF FRPSRQHQW RI VHQVRU HUURU LV GRPLQDWHG E\ PLVFDOLEUD
WLRQ  ,W KDV EHHQ VKRZQ WR EH DQ DSSUR[LPDWHO\ OLQHDU IXQFWLRQ RI UDQJH
0DWWKLHVHWDO 
V =V .V= 

ZKHUH .V LV D FRQVWDQW WKDW FDQ EH LGHQWLILHG RIIOLQH WKURXJK VWDQGDUG
WHFKQLTXHV  7KLV HUURU FDQ EH SK\VLFDOO\ LQWHUSUHWHG DV WKH DQJXODU GLV
SODFHPHQWRIWKHWUXHVHQVRUORFDWLRQIURP WKHDVVXPHGORFDWLRQ
&RPELQLQJ (T   DQG   XQFHUWDLQW\ LQ WHUUDLQ PHDVXUHPHQW
FDQEH PRGHOHGDV WKHVXPRIDUDQGRPDQGV\VWHPDWLF FRPSRQHQWDV
V = .V= 
 VU= 
 

5RERW/RFDOL]DWLRQ8QFHUWDLQW\
/RFDOL]DWLRQ UHIHUV WR HVWLPDWLRQ RI WKH URERW¶V SRVLWLRQ DQG RULHQWDWLRQ
ZLWKUHVSHFWWRDIL[HG UHIHUHQFHIUDPH %RUHQVWHLQHWDO  7KHPRVW
FRPPRQPHWKRGRIORFDOL]DWLRQLVGHDG UHFNRQLQJEDVHGRQZKHHORGRPH
WU\ LQIRUPDWLRQ 5HFHQW ORFDOL]DWLRQ PHWKRGV FRPELQH ZKHHO RGRPHWU\
ZLWK LQHUWLDO DQG YLVXDO GDWDWRLPSURYHDFFXUDF\ 2OVRQHW DO  ,Q
JHQHUDOWKHUHLVHUURUDVVRFLDWHGZLWKWKLVW\SHRI ORFDOL]DWLRQGXHWR ZKHHO
VOLSVHQVRUQRLVHDQG SRVVLEO\ WHUUDLQXQHYHQQHVV 0DWWKLHVHWDO 
7KLV HUURU FDXVHV DURERW WRGHYLDWHIURP D SODQQHG SDWK GXHWR LQFRUUHFW
HVWLPDWLRQRILWVWUXHORFDWLRQ
/RFDOL]DWLRQ HUURU KDV EHHQ VWXGLHG IRU JHQHUDO PRELOH URERW V\VWHPV
DQGIRUVSHFLILFSODQHWDU\ H[SORUDWLRQURYHUV 0DWWKLHVHWDO9ROSH
  $OLQHDUUHODWLRQVKLSKDV EHHQREVHUYHGLQWKHHUURULQERWKWKHHV
WLPDWHGGLVWDQFHWUDYHOHGDQGHVWLPDWHGFKDQJHLQKHDGLQJGXULQJWXUQV
V /SRV . SRV G  
 5RXJK 7HUUDLQ0RWLRQ 3ODQQLQJ 

V /KHDG . KHDG '  

ZKHUHGLVWKHOLQHDUGLVWDQFHWUDYHOHG' LVWKH DQJXODUFKDQJHLQKHDGLQJ


DQG.SRV DQG.KHDG DUHFRQVWDQWV7KHVHFRQVWDQWVFDQEHLGHQWLILHGRIIOLQH
YLDH[SHULPHQWDODQDO\VLV

,QFRUSRUDWLQJ8QFHUWDLQW\LQWKH5DSLG3DWK6HDUFK

8QFHUWDLQW\ LV FRQVLGHUHG LQ ERWK WKH UDSLG SDWK VHDUFK DQG PRGHOEDVHG
HYDOXDWLRQ  ,Q WKLV VHFWLRQ PHWKRGV IRU LQFRUSRUDWLQJ WKH WHUUDLQ PHDV
XUHPHQWDQGORFDOL]DWLRQ XQFHUWDLQW\ PRGHOVLQWRWKHUDSLGSDWKVHDUFKDUH
GHVFULEHG

7HUUDLQ0HDVXUHPHQW8QFHUWDLQW\
7KHUDSLGVHDUFKUHOLHVRQ WHUUDLQXQHYHQQHVVHVWLPDWHVWR JHQHUDWHFDQGL
GDWH SDWKV  7KXV LW LV LPSRUWDQW WR FRQVLGHU WHUUDLQ PHDVXUHPHQW XQFHU
WDLQW\LQWKHUDSLGVHDUFK
7HUUDLQ PHDVXUHPHQW XQFHUWDLQW\ FDXVHV PLVUHSUHVHQWDWLRQ RI WKH WUXH
SRVLWLRQRIWHUUDLQIHDWXUHV7KLVLVDWKUHDWWRURERWVDIHW\VLQFHHUURQHRXV
UDQJHVHQVRU GDWDFRXOG OHDGWR PRWLRQSODQVWKDWDUH SK\VLFDOO\ XQWUDYHU
VDEOH 2ISDUWLFXODUSUDFWLFDOLPSRUWDQFHLV PLVUHSUHVHQWDWLRQRIWKHSRVL
WLRQ DV RSSRVHG WR HOHYDWLRQ  RI XQHYHQ WHUUDLQ UHJLRQV VLQFH WKLV PLJKW
OHDGWR PRWLRQSODQVWKDWLQWHUVHFWZLWK REVWDFOHV VXFKDV ODUJHERXOGHUV
RU XQWUDYHUVDEOH UHJLRQV VXFK DV VWHHS VORSHV  7KXV LW LV LPSRUWDQW WR
FRQVLGHU WKH HIIHFWV RI WHUUDLQ PHDVXUHPHQW XQFHUWDLQW\ LQ WKH DOJRULWKP
7R GR WKLV WKH WHUUDLQ UDQJH PDS LV SUHILOWHUHG ZLWK D WZRGLPHQVLRQDO
*DXVVLDQILOWHURIWKHIRUP
[U  \U

V =
H
] c [ \
V = S  
ZKHUHWKHVWDQGDUG GHYLDWLRQ V= RIWKHILOWHULVGHILQHGE\WKHWHUUDLQ PHDV
XUHPHQW XQFHUWDLQW\ PRGHO GHVFULEHG E\ (T   DQG [U DQG \U UHIHU WR
WKH[DQG \GLVWDQFHUHVSHFWLYHO\IURP WKHURERWWRWKHWHUUDLQSRLQW
7KHILOWHU KDVWKH HIIHFW RI³EOXUULQJ´WHUUDLQGDWDDVLOOXVWUDWHGLQ )LJ
7KHILOWHUHGUDQJHPDSSRVVHVVHVDQHQODUJHGDUHDRIXQHYHQ WHUUDLQ
FRPSDUHG WR WKH XQILOWHUHG PDS 7KXV WKH UDSLG VHDUFK ZLOO LPSXWH D
³VDIHW\PDUJLQ´WRWKHSURSRVHGSDWKE\ SODQQLQJ DURXWHWKDWOLHVIXUWKHU
IURPWKHSRWHQWLDOREVWDFOH
 &KDSWHU 5RXJK7HUUDLQ0RWLRQ3ODQQLQJ

/RFDOL]DWLRQ XQFHUWDLQW\ LV QRW H[SOLFLWO\ FRQVLGHUHG LQ WKH UDSLG SDWK


VHDUFK,WLVFRQVLGHUHGLQWKHPRGHOEDVHGHYDOXDWLRQ GLVFXVVHG EHORZ

10
8
6 10
8
4 6
2 4
2
%HIRUH)LOWHULQJ

10
8
6 10
8
4 6
2 4
2
$IWHU)LOWHULQJ
)LJ([DPSOH RIREVWDFOH HOHYDWLRQ EHIRUHDQGDIWHU*DXVVLDQILOWHU

,QFRUSRUDWLQJ8QFHUWDLQW\LQWKH0RGHO%DVHG(YDOXDWLRQ

7KHPRGHOEDVHG HYDOXDWLRQYHULILHVURERWVWDWLFVWDELOLW\ NLQHPDWLFYDOLG


LW\ DQG WHUUDLQ WUDYHUVDELOLW\ DW GLVFUHWH SRLQWV DORQJ WKH SURSRVHG SDWK
7KHPRGHOEDVHGHYDOXDWLRQ PXVWDFFRXQWIRULPSHUIHFWNQRZOHGJHRIWKH
WHUUDLQDQGWKH IDFW WKDWWKH URERWPD\QRWDFFXUDWHO\IROORZ WKHSURSRVHG
SDWKGXHWR ORFDOL]DWLRQHUURU
 5RXJK 7HUUDLQ0RWLRQ 3ODQQLQJ 

7HUUDLQ0HDVXUHPHQW8QFHUWDLQW\
8QFHUWDLQW\LQWHUUDLQPHDVXUHPHQWDIIHFWVWKHPRGHOEDVHGHYDOXDWLRQE\
FUHDWLQJDPELJXLW\ LQWKHWUXHURERWFRQILJXUDWLRQDWDJLYHQWHUUDLQSRLQW
7KLVDIIHFWVFRPSXWDWLRQRIVWDWLFVWDELOLW\NLQHPDWLFYDOLGLW\DQGWHUUDLQ
WUDYHUVDELOLW\ 'XHWRWKHKLJKFRVWDVVRFLDWHGZLWKURERWIDLOXUHDFRQVHU
YDWLYHDSSURDFK WRFRQVLGHULQJWHUUDLQPHDVXUHPHQWXQFHUWDLQW\LVDGRSWHG
,Q WKLV DSSURDFK WKH VHW RI SRWHQWLDO ZRUVWFDVH URERW FRQILJXUDWLRQV DW D
JLYHQWHUUDLQ SRLQWDUHFRPSXWHG DQGDQDO\]HG
3RWHQWLDO ZRUVWFDVH FRQILJXUDWLRQV JHQHUDOO\ H[LVW DW SRVVLEOH WHUUDLQ
SRLQWORFDWLRQERXQGDULHV +HUHZHFRQVLGHUYDULDWLRQLQHOHYDWLRQRQO\WR
VSHHG FRPSXWDWLRQ 7KH HOHYDWLRQ ERXQGDULHV RI D JLYHQ WHUUDLQ SRLQW ]Q
FDQEHFRPSXWHGIURP(T  DV
] Q ]Q  V =  ] Q ] Q  V =   

)RU DQ QZKHHOHG URERW P  Q SRWHQWLDO ZRUVWFDVH URERW FRQILJXUD


WLRQV 4ƍ ^4«4P`DUHFRPSXWHGE\ VROYLQJWKHLQYHUVHNLQHPDWLFVROX
WLRQRIWKHURERWDWHDFK XQLTXHWHUUDLQSRLQWFRPELQDWLRQDVLOOXVWUDWHG LQ
)LJ  $OWKRXJKVRSKLVWLFDWHG WHFKQLTXHV H[LVWIRUGHDOLQJZLWKXQFHU
WDLQW\SURSDJDWLRQGXHWRWKHUHODWLYHO\ VPDOOQXPEHURISRWHQWLDOFRQILJX
UDWLRQVDEUXWHIRUFHDQDO\VLVLVDSSURSULDWH /DWRPEH 3DJHDQG6DQ
GHUVRQ=KDQJHWDO 

sz

)LJ 6HWRISRVVLEOHFRQILJXUDWLRQVRID SODQDU URERWGXHWRWHUUDLQPHDVXUH


PHQWXQFHUWDLQW\
 &KDSWHU 5RXJK7HUUDLQ0RWLRQ3ODQQLQJ

(DFK FRQILJXUDWLRQLQ 4ƍ LV H[DPLQHG IRU VWDWLF VWDELOLW\NLQHPDWLF YD


OLGLW\DQGWHUUDLQWUDYHUVDELOLW\DVGHVFULEHGLQ6HFW,IDQ\FRQILJX
UDWLRQLVGHHPHGXQVDIHWKHSRLQWLVGHHPHGDIDLOXUHSRLQWDQG WKHSHQDOW\
WHUP SLQ(T  LVLQFUHDVHGWRDODUJHQXPEHU7KHUDSLGSDWKVHDUFKLV
WKHQFDOOHG WRUHSODQWKHSDWK
1RWH WKDW IURP (T   WHUUDLQ PHDVXUHPHQW XQFHUWDLQW\ LQFUHDVHV
ZLWK UDQJH GLVWDQFH  &OHDUO\ DW VRPH ILQLWH GLVWDQFH WKH XQFHUWDLQW\ ZLOO
LQFUHDVHWRDSRLQWZKHUHQRNLQHPDWLFDOO\YDOLG URERWFRQILJXUDWLRQFDQEH
IRXQG 7KLV SODFHVDQXSSHUERXQGRQWKHUDQJHRIWKHSODQQLQJDOJRULWKP
LQGHSHQGHQWRI WKHPD[LPXP VHQVLQJGLVWDQFHRIWKHUDQJHVHQVRU

5RERW/RFDOL]DWLRQ8QFHUWDLQW\
5RERW ORFDOL]DWLRQ XQFHUWDLQW\ DIIHFWV WKH PRGHOEDVHG HYDOXDWLRQ E\ LQ
FUHDVLQJ WKH QXPEHU RI SRVVLEOH FRQILJXUDWLRQV D URERW PD\ H[SHULHQFH
GXULQJWUDYHUVDORIWKHSURSRVHGSDWK7RDFFRXQWIRUWKLVDVXSHUVHW3ƍRI
3 FDQEHIRUPHGE\LQFOXGLQJDOOSRLQWVQHDU 3ZLWKLQDGLVWDQFHSURSRU
WLRQDOWRWKHURERWORFDOL]DWLRQXQFHUWDLQW\DVLOOXVWUDWHGLQ)LJ
P P'

)LJ  ,OOXVWUDWLRQRIHIIHFW RIORFDOL]DWLRQXQFHUWDLQW\RQPRGHOEDVHGHYDOXD


WLRQ
 6LPXODWLRQ5HVXOWV²5RXJK7HUUDLQ3ODQQLQJ 

$OOSRLQWVLQ 3ƍDUHH[DPLQHGIRUVWDWLFVWDELOLW\NLQHPDWLFYDOLGLW\DQG
WHUUDLQWUDYHUVDELOLW\DVGHVFULEHGLQ6HFW,IDQ\ FRQILJXUDWLRQVDV
VRFLDWHGZLWK SRLQWVLQ 3ƍDUHGHHPHGXQVDIHWKHSRLQWLVGHHPHGDIDLOXUH
SRLQW DQG WKH SHQDOW\ WHUP S LQ (T   LV LQFUHDVHG WR D ODUJH QXPEHU
7KHUDSLGVHDUFK LVWKHQFDOOHGWRUHSODQWKHSDWK,IWKHFRQILJXUDWLRQVLQ
3ƍ DUH GHHPHGVDIHWKHPRWLRQSODQQLQJSUREOHPLVFRQVLGHUHGVROYHGDQG
WKHDOJRULWKPHQGV

 6LPXODWLRQ5HVXOWV²5RXJK7HUUDLQ3ODQQLQJ

6LPXODWLRQV ZHUH SHUIRUPHG RI WKH VL[ZKHHOHG URYHU GHVFULEHG LQ 6HFW
WUDYHUVLQJURXJKWHUUDLQ 7KHSXUSRVHRIWKHVLPXODWLRQVZDVWRFRP
SDUHWKHURXJKWHUUDLQPRWLRQ SODQQLQJPHWKRGWR DFRQYHQWLRQDOSODQQLQJ
PHWKRG WKDW GRHV QRW XWLOL]H SK\VLFDO PRGHOV GRHV QRW FRQVLGHU XQFHU
WDLQW\DQG WUHDWVREVWDFOHV LQDELQDU\ PDQQHU7KUHHVLPXODWHGWHUUDLQVRI
LQFUHDVLQJ GLIILFXOW\ZHUHJHQHUDWHGE\ DSVHXGRUDQGRPWHUUDLQJHQHUDWRU
3LFNRYHU  VHH)LJ 
7HQ WULDOV ZHUH SHUIRUPHG IRU HDFK WHUUDLQ 6WDUW DQG JRDO ORFDWLRQV
ZHUH UDQGRPO\JHQHUDWHG ZLWK D PLQLPXP VWUDLJKWOLQH VSDFLQJ RI  P
(DFK WHUUDLQ PDS ZDV D JULG RI  [  HTXDOO\VSDFHG WHUUDLQ SRLQWV
ZLWKDXQLIRUP VTXDUHVSDFLQJRIFP 7KLV FRUUHVSRQGHGWRD PDS DS
SUR[LPDWHO\ PVTXDUH)RUWKHURXJKWHUUDLQSODQQLQJ PHWKRGWKHH[SR
QHQWVD DQG D LQ(TV  DQG  ZHUHWDNHQ DV 7KHZHLJKWLQJIDF
WRUVN NDQGNRIWKHSHUIRUPDQFHLQGH[GHILQHGLQ (T  ZHUH
 DQG  UHVSHFWLYHO\ DQG WKH YDOXH RI S ZDV [  7KH SODQQLQJ
PHWKRGZDVVLPXODWHGRQD0+]3HQWLXP3&
7KH URXJK WHUUDLQ SODQQLQJ PHWKRG ZDV FRPSDUHG WR D FRQYHQWLRQDO
SODQQLQJ DOJRULWKP WKDW DWWHPSWHG WR ILQG WKH VKRUWHVW SDWK EHWZHHQ WKH
VWDUWDQGJRDO ZKLOHDYRLGLQJREVWDFOHV+HUHDQREVWDFOHZDVGHILQHGE\
FRQVLGHULQJWKHPD[LPXPFKDQJHLQHOHYDWLRQEHWZHHQD WHUUDLQSRLQWDQG
LWV HLJKW QHDUHVW QHLJKERUV  ,I WKH PD[LPXP FKDQJH LQ HOHYDWLRQ ZDV
JUHDWHUWKDQRI WKH URERWZKHHOGLDPHWHUWKH WHUUDLQSRLQWZDVFRQVLG
HUHG DQ REVWDFOH  7KH REVWDFOH ³FXWRII´ KHLJKW ZDV FKRVHQ KHXULVWLFDOO\
EDVHGRQNQRZOHGJHRIWKHURERWV\VWHP%DVHGRQ WKLVGHILQLWLRQWKHWHU
UDLQPDSV LQ)LJ KDGREVWDFOHGHQVLWLHVRIDQG REVWD
FOHVURERWDUHD7KXVWKHVLPXODWHGWHUUDLQVUDQJHIURPEHQLJQWRGLIILFXOW
 &KDSWHU 5RXJK7HUUDLQ0RWLRQ3ODQQLQJ

2
Z (m)

0
8

Y (m)
4

8
2 7
6
5
4
3
2 X (m)
0 1
0
%HQLJQ7HUUDLQ

2
Z (m)

0
8

4
Y (m)
8
2 7
6
5
4
3
2 X (m)
0 1
0
0RGHUDWH7HUUDLQ

)LJ 6LPXODWHGWHUUDLQHOHYDWLRQPDSV%HQLJQPRGHUDWHDQGGLIILFXOW
 6LPXODWLRQ5HVXOWV²5RXJK 7HUUDLQ3ODQQLQJ 

2
Z (m)

0
8

4
Y (m)
8
2 7
6
5
4
3
2 X (m)
0 1
0
'LIILFXOW7HUUDLQ
)LJ &RQWLQXHG

5HVXOWVRIWKHVLPXODWLRQWULDOVDUHVXPPDUL]HGLQ7DEOH5RXJK WHU
UDLQ SODQQLQJ 573 LQ WKH WDEOH IRXQG VDIH SDWKV WKDW ZHUH RQ DYHUDJH
VKRUWHUWKDQWKHELQDU\SODQQLQJPHWKRG %3LQWKHWDEOH 7KLVLV
GXHWR WKHIDFWWKDWWKHSK\VLFDO PRGHOV HPSOR\HGE\ WKHURXJKWHUUDLQPR
WLRQSODQQLQJ PHWKRGDOORZLWWRSODQ SDWKVWKURXJKUHJLRQVWKDW DELQDU\
SODQQLQJ PHWKRGZRXOGFRQVLGHUDQ REVWDFOH 6LQFHSDWKOHQJWK LVUHODWHG
WRSRZHUFRQVXPSWLRQWKHURXJK WHUUDLQSODQQLQJ PHWKRGLVPRUHSRZHU
HIILFLHQWWKDQDFRQYHQWLRQDOSODQQLQJ PHWKRG

7DEOH5HVXOWVRI PRWLRQSODQQLQJDOJRULWKPFRPSDULVRQ
$YHUDJH3DWK $YHUDJH&RP 1XPEHURI
/HQJWK P  SXWDWLRQ7LPH 5HDFKDEOH
V *RDOV
%HQLJQ7HUUDLQ 573   
 %3  
0RGHUDWH7HUUDLQ 573   
 %3  
'LIILFXOW7HUUDLQ 573   
 %3  
 &KDSWHU 5RXJK7HUUDLQ0RWLRQ3ODQQLQJ

$UJXDEO\ PRUH LPSRUWDQW WKDQ SDWK OHQJWK LV WKH UHVXOW WKDW WKH URXJK
WHUUDLQ SODQQLQJ PHWKRGV UHVXOWHG LQ DQ LQFUHDVHG QXPEHU RI UHDFKDEOH
JRDOV FRPSDUHG WR WKH ELQDU\ SODQQLQJ PHWKRG  )RU WKH KLJKO\ GLIILFXOW
WHUUDLQ VKRZQ LQ )LJ  WKH URXJK WHUUDLQ SODQQLQJ PHWKRG IRXQG 
PRUH VDIH SDWKV WKDQ WKH ELQDU\ SODQQLQJ PHWKRG  7KLV LV VLJQLILFDQW IRU
PDQ\DSSOLFDWLRQV VXFK DVSODQHWDU\H[SORUDWLRQZKHUHWHUUDLQDFFHVVLELO
LW\LVRISULPDU\ FRQFHUQ
$UHSUHVHQWDWLYHVLPXODWLRQWULDO LVSUHVHQWHGLQ )LJ3DWKVWKURXJK
WKHPRGHUDWH WHUUDLQRI)LJ DVIRXQGE\ WKHURXJKWHUUDLQSODQQHUDQG
WKHELQDU\SODQQHUDUHSUHVHQWHG,WFDQ EHVHHQWKDWWKHSDWKJHQHUDWHGE\
WKHURXJKWHUUDLQ SODQQHULV PRUHGLUHFW WKDQWKHRQHJHQHUDWHGE\WKHEL
QDU\ SODQQHU  7KLV LV GXH WR WKH IDFW WKDW WKH ELQDU\ SODQQHU YLHZHG WKH
FUHVWDW [\    DVDQ REVWDFOH DQGDYRLGHGLW7KH URXJKWHUUDLQ
SODQQHUDQDO\]HG WKHFUHVWDQGGHWHUPLQHGLW ZDVWUDYHUVDEOHDQG WKXVSUR
FHHGHGDFURVVLW
$VHFRQGUHSUHVHQWDWLYHVLPXODWLRQWULDOLVVKRZQLQ)LJ+HUHWKH
FXWRII KHLJKW IRU REVWDFOH GHWHFWLRQ LQ WKH ELQDU\ SODQQHU LQFUHDVHG WR
RI WKHZKHHOGLDPHWHU7KLVLVDQDJJUHVVLYHDVVXPSWLRQDERXWWHU
UDLQWUDYHUVDELOLW\ZKLFKPLJKWEHLPSOHPHQWHGWRDOORZWKHURERWWRWUDY
HUVHKLJKO\URXJKWHUUDLQ$JDLQKRZHYHULWLVEDVHGRQKHXULVWLF NQRZO
HGJHRIWKHURERWFDSDELOLWLHVDQGLV QRWMXVWLILHG E\ULJRURXV PRGHOEDVHG
DQDO\VLV$URXWHZDVSODQQHGWKURXJK WKHGLIILFXOWWHUUDLQVKRZQLQ)LJ
 7KLV URXWHZDV GHHPHGVDIHE\WKHELQDU\SODQQLQJDOJRULWKP +RZ
HYHUUHYLHZRIWKHSDWK E\ WKHPRGHOEDVHGDQDO\VLVVKRZHGDNLQHPDWLF
YDOLGLW\IDLOXUHDWSRLQW [\    DQGDWHUUDLQWUDYHUVDELOLW\IDLO
XUH DW SRLQW [\       7KH IDLOXUH SRLQWV ZHUH DYRLGHG LQ WKH
URXJK WHUUDLQ SODQQLQJ DOJRULWKP  7KLV UHVXOW LOOXVWUDWHV WKH ELQDU\ SODQ
QLQJ DOJRULWKP¶VODFNRI SK\VLFDONQRZOHGJHRIWKHURERWV\VWHPOHDGLQJWR
DSRWHQWLDOIDLOXUHVLWXDWLRQ
)URPWKHVHUHVXOWVLW LV FOHDUWKDWWKHURXJK WHUUDLQ SODQQLQJDOJRULWKP
SODQV SDWKV WKDW DUH VKRUWHU DQG VDIHU WKDQ D WUDGLWLRQDO SODQQLQJ PHWKRG
DQGDOORZVDFFHVVWRDODUJHUSHUFHQWDJHRIWKHWHUUDLQ$OORIWKHVHIDFWRUV
DUHLPSRUWDQWFRQVLGHUDWLRQVLQDXWRQRPRXVSODQHWDU\ H[SORUDWLRQ
 6LPXODWLRQ5HVXOWV²5RXJK 7HUUDLQ3ODQQLQJ 

Start Position Crest Goal Position

3
2
Z (m)

1
0
8

Y (m) 4

3
8
7
2 6
5
4
1 3 X (m)
2
0 1
0

)LJ5HSUHVHQWDWLYH VLPXODWLRQWULDO IRUURXJKWHUUDLQ SODQQLQJ PHWKRG EODFN


DQGELQDU\SODQQLQJPHWKRG JUD\ 

)LJ  6LPXODWLRQ WULDO IRU URXJK WHUUDLQ SODQQLQJ EODFN  ELQDU\ SODQQLQJ
PHWKRG ZLWK REVWDFOHFULWHULDRIRIRQHZKHHOGLDPHWHU GDUNJUD\ DQGEL
QDU\SODQQLQJZLWKREVWDFOHFULWHULDRI RIRQH ZKHHO GLDPHWHU OLJKW JUD\
 &KDSWHU 5RXJK7HUUDLQ0RWLRQ3ODQQLQJ

!5RXJK 7HUUDLQ $UWLFXODWHG 6XVSHQVLRQ &RQILJXUDWLRQ


3ODQQLQJ

5RERWV!ZLWK!DFWLYHO\!DUWLFXODWHG!VXVSHQVLRQV!FDQ!LPSURYH!URXJK!WHUUDLQ
PRELOLW\!E\!PRGLI\LQJ!WKHLU!VXVSHQVLRQ!FRQILJXUDWLRQ!DQG!WKXV!UHSRVLWLRQ
LQJ WKHLU FHQWHU RI PDVV!,Q WKLV VHFWLRQ D PHWKRG IRU VWDELOLW\EDVHG DUWLFX
ODWHG!VXVSHQVLRQ!FRQILJXUDWLRQ!SODQQLQJ!LV!SUHVHQWHG!DQG!GHPRQVWUDWHG
H[SHULPHQWDOO\!RQ!WKH!-3/!655! VHH!)LJ! ! 7KH!SUREOHP!LV!VWDWHG!LQ
6HFW!!DQG!D!JHQHUDO!URERW!PRELOLW\!DQDO\VLV!LV!SHUIRUPHG!LQ!6HFW
!.LQHPDWLF!HTXDWLRQV!UHODWLQJ!VXVSHQVLRQ!MRLQW!YDULDEOHV!WR!D!YHKLFOH
VWDELOLW\!PHDVXUH DUH!IRUPXODWHG!LQ!6HFW!!7KH!VWDELOLW\!PHDVXUH!FRQ
VLGHUV JUDYLWDWLRQDO IRUFHV GXH WR URERW ZHLJKW!,W DOVR FRQVLGHUV IRUFHV GXH
WR!PDQLSXODWLRQ ZKLFK DUH SRWHQWLDOO\!ODUJH!DQG FRXOG KDYH D GHVWDELOL]LQJ
HIIHFW!RQ!WKH!YHKLFOH!$!SHUIRUPDQFH!LQGH[!LV!GHILQHG!EDVHG!RQ!WKH!VWDELO
LW\!PHDVXUH!DQG!D!IXQFWLRQ!WKDW!PDLQWDLQV!DGHTXDWH!JURXQG!FOHDUDQFH!DQ
LPSRUWDQW!FRQVLGHUDWLRQ!LQ!URXJK!WHUUDLQ!$!UDSLG!DQG!FRPSXWDWLRQDOO\!LQ
H[SHQVLYH!FRQMXJDWHJUDGLHQW!RSWLPL]DWLRQ!RI!WKH!SHUIRUPDQFH!LQGH[!LV
SHUIRUPHG!VXEMHFW!WR!YHKLFOH!NLQHPDWLF!FRQVWUDLQWV! 6LPXODWLRQ!DQG!H[
SHULPHQWDO!UHVXOWV!LQ!6HFW!!VKRZ!WKDW!DUWLFXODWHG!VXVSHQVLRQ!FRQILJXUD
WLRQ SODQQLQJ FDQ JUHDWO\ LPSURYH URERW VWDELOLW\ LQ URXJK WHUUDLQ

!$UWLFXODWHG 6XVSHQVLRQ &RQILJXUDWLRQ 3ODQQLQJ


3UREOHP!'HVFULSWLRQ

&RQVLGHU!D!JHQHUDO!QOLQN!WUHHVWUXFWXUHG!ZKHHOHG!PRELOH!URERW!RQ!XQHYHQ
WHUUDLQ!DV!VKRZQ!LQ!)LJ!!7KH!Q OLQNV!FDQ!IRUP!K\EULG!VHULDOSDUDOOHO
NLQHPDWLF!FKDLQV!,W!LV!DVVXPHG!WKDW!WKH!URERW¶V!O MRLQWV!DUH!DFWLYH!UHYROXWH
RU!SULVPDWLF!MRLQWV!DQG!WKHLU!YDOXHV!DUH!GHQRWHG!TL!L ^«O`!,W!LV!DOVR
DVVXPHG WKDW WKH ZKHHOV PDNH SRLQW FRQWDFW ZLWK WKH WHUUDLQ ZLWK P ZKHHO
WHUUDLQ!FRQWDFW!SRLQWV!GHQRWHG!SM M ^«P`!9HFWRUV!IURP!WKH!SRLQWV!SM
WR!WKH!YHKLFOH!FHQWHU!RI!PDVV!SF!DUH!GHQRWHG!9L! !>9L[!9L\@7!! L !^«Q`
7KH ZKHHOWHUUDLQ FRQWDFW DQJOHV DW HDFK SRLQW SM!DUH PHDVXUHG ZLWK UHVSHFW
WR WKH KRUL]RQWDO D[LV DQG DUH GHQRWHG JM M ^«P`
7KH!JRDO!RI!DUWLFXODWHG!VXVSHQVLRQ!FRQILJXUDWLRQ!SODQQLQJ!LV!WR!LPSURYH
PRELOLW\!E\!PRGLI\LQJ!WKH!VXVSHQVLRQ!YDULDEOHV!TL! WR!RSWLPL]H!D!XVHU
VSHFLILHG!SHUIRUPDQFH!LQGH[!)!7KLV!SHUIRUPDQFH!LQGH[!FDQ!EH!VHOHFWHG
WR!DVVHVV!VWDWLF!VWDELOLW\!ZKHHO!WUDFWLRQ!YHKLFOH!SRVH!IRU!RSWLPDO!IRUFH!DS
SOLFDWLRQ JURXQG FOHDUDQFH RU D FRPELQDWLRQ RI PHWULFV DQG LV JHQHUDOO\!D
IXQFWLRQ!RI!WKH!VXVSHQVLRQ!DQG!PDQLSXODWLRQ!GHJUHHV!RI!IUHHGRP! ,Q!WKLV
SDSHU RSWLPL]DWLRQ RI VWDWLF VWDELOLW\ DQG JURXQG FOHDUDQFH LV DGGUHVVHG
 5RXJK7HUUDLQ $UWLFXODWHG 6XVSHQVLRQ&RQILJXUDWLRQ 3ODQQLQJ 

3UREOHP FRQVWUDLQWVWDNHWKHIRUP RIMRLQWOLPLWDQG PHFKDQLFDOLQWHUIHU


HQFHFRQVWUDLQWV&RQVWUDLQWVDOVR DULVHIURPV\VWHPPRELOLW\OLPLWDWLRQV
7KHVHFRQVWUDLQWVDUHGLVFXVVHGEHORZ

pc

q1
ql

g1

p1
pm gm

)LJ$JHQHUDOWUHHVWUXFWXUHGPRELOHURERW

!0RELOLW\ $QDO\VLV

7KH!PRELOLW\!RI!DQ!DUWLFXODWHG!VXVSHQVLRQ!URERW!FDQ!EH!DQDO\]HG!XVLQJ!WKH
*UXHEOHU PRELOLW\ FULWHULRQ (FNKDUGW  
M
 
)  O  M   ¦I
L 
L

ZKHUH M LV WKH QXPEHU RI MRLQWV O LV WKH QXPEHU RI OLQNV LQFOXGLQJ WKH
JURXQGDQGIL LVWKHQXPEHURIFRQVWUDLQWVIRUHDFKMRLQW L6RPH KLJKO\DU
WLFXODWHGURERWVPD\KDYH PRELOLW\JUHDWHUWKDQRUHTXDOWRRQHZKLOHVWD
WLRQDU\ RQ WKHWHUUDLQ LH WKH URERW KDV DYDLODEOH VHOIPRWLRQV  ,Q WKHVH
VLWXDWLRQVWKHWHUUDLQ SURILOHGRHVQRWLQIOXHQFHWKHFRQILJXUDWLRQSODQQLQJ
SURFHVV7KXVNQRZOHGJHRIURERWNLQHPDWLFVDORQHLVVXIILFLHQW WRSRVH
WKHRSWLPL]DWLRQSUREOHP
0DQ\DUWLFXODWHGVXVSHQVLRQURERWV KRZHYHUKDYHDPRELOLW\OHVVWKDQ
RUHTXDOWR]HUR7KXVRQHRUPRUHZKHHOWHUUDLQFRQWDFWSRLQWVSMPXVW
PRYH UHODWLYH WR WKH WHUUDLQ GXULQJ WKH FRQILJXUDWLRQ SODQQLQJ SURFHVV DV
LQ WKH H[DPSOHV VKRZQ LQ )LJV  DQG   1RWH WKDW LQ VXFK FDVHV
 &KDSWHU 5RXJK7HUUDLQ0RWLRQ3ODQQLQJ

ZKHHOWHUUDLQFRQWDFWVPXVWEHWUHDWHGDVKLJKHURUGHUSDLUVGXULQJPRELO
LW\DQDO\VLV (FNKDUGW ,QWKHVHVLWXDWLRQVLWLV LPSRVVLEOHWRILQGD
JOREDOO\RSWLPDOVROXWLRQ IRUWKHVXVSHQVLRQFRQILJXUDWLRQZLWKRXWNQRZO
HGJHRIWKHWHUUDLQSURILOH 7KLVLVSUREOHPDWLFVLQFH WKHWHUUDLQ SURILOHLV
RIWHQQRWZHOONQRZQ+RZHYHUWKHORFDOZKHHOWHUUDLQFRQWDFWDQJOHV FDQ
EHHVWLPDWHG DV GHVFULEHGLQ6HFW 
7KHZKHHOWHUUDLQFRQWDFWDQJOH JMGHVFULEHVWKHWHUUDLQSURILOHLQDORFDO
UHJLRQ DERXWWKHSRLQW SM$QRSWLPL]DWLRQSUREOHPFDQWKHUHIRUHEHSRVHG
ZLWK WKH FRQVWUDLQWWKDWWKHURERWVXVSHQVLRQFKDQJH UHVXOWVLQ RQO\VPDOO
GLVSODFHPHQWVRI WKHSRLQWV SM UHODWLYHWRWKHWHUUDLQ VHH)LJ  +HUH
ZH DVVXPH WKDW WKH WHUUDLQ SURILOH GRHV QRW FKDQJH VLJQLILFDQWO\ ZLWKLQ D
VPDOOUHJLRQDERXWWKHZKHHOWHUUDLQ FRQWDFW SRLQWV 7KXVDORFDOO\RSWL
PDOVROXWLRQ IRUWKHVXVSHQVLRQFRQILJXUDWLRQFDQEH IRXQG 2SWLPL]DWLRQ
FRQVWUDLQWV WDNH WKH IRUP RI NLQHPDWLF MRLQW OLPLW DQG LQWHUIHUHQFH FRQ
VWUDLQWV DQG MRLQW H[FXUVLRQ OLPLWV WKDW UHVWULFW WKH GLVSODFHPHQWV RI WKH
SRLQWV SM

pjmin
pj gj
pjmax

)LJ  /LPLWHG PRWLRQ RI ZKHHOWHUUDLQ FRQWDFW SRLQW SM

!$UWLFXODWHG 6XVSHQVLRQ &RQILJXUDWLRQ 3ODQQLQJ IRU


(QKDQFHG 7LSRYHU 6WDELOLW\

$UWLFXODWHG!VXVSHQVLRQ!FRQILJXUDWLRQ!SODQQLQJ!FDQ!EH!XVHG!WR!LPSURYH!FUL
WHULD!VXFK!DV!WLSRYHU!VWDELOLW\!RU!WUDFWLRQ!,Q!WKLV!VHFWLRQ!D!PHWKRG!IRU!HQ
KDQFLQJ!VWDWLF!VWDELOLW\!LV!GHVFULEHG!$JDLQ!D!VWDWLF!DQDO\VLV!LV!YDOLG!VLQFH
SODQHWDU\ URYHUV WUDYHO DW PD[LPXP VSHHGV RQ WKH RUGHU RI  FPVHF
 5RXJK7HUUDLQ $UWLFXODWHG6XVSHQVLRQ&RQILJXUDWLRQ3ODQQLQJ 

,QWKLVZRUNYHKLFOHVWDELOLW\LVGHILQHGLQWKHPDQQHUGHVFULEHGLQ6HF
WLRQ 3DSDGRSRXORV DQG 5H\   ,QWKLVDSSURDFKNQRZOHGJHRI
WKHURERW¶VNLQHPDWLFFRQILJXUDWLRQDOORZVFRPSXWDWLRQ RIDYHKLFOHVWDELO
LW\DQJOH D UHIHUWR(TV  :KHQ DDWLSRYHULQVWDELOLW\ RF
FXUV0HDVXUHPHQWV RIZKHHOWHUUDLQFRQWDFWIRUFHVRUDUWLFXODWLRQWRUTXHV
DUHQRWUHTXLUHGWRGHWHUPLQHVWDELOLW\DVWKLVLVDNLQHPDWLFVEDVHGVWDELO
LW\DQDO\VLV7KHJRDORIDUWLFXODWHG VXVSHQVLRQFRQILJXUDWLRQSODQQLQJ LV
WKHUHIRUHWRPDLQWDLQDODUJHYDOXHRI D
,Q DGGLWLRQWRWUDYHUVLQJURXJKWHUUDLQDURERW PD\EHUHTXLUHGWR PD
QLSXODWH LWV HQYLURQPHQW  6RPH PDQLSXODWLRQ WDVNV VXFK DV VDPSOLQJ RU
FRULQJ PD\UHTXLUHWKH DSSOLFDWLRQRIODUJHIRUFHV ZKLFK FDQGHVWDELOL]H
WKHURERW 'XULQJWKHVH WDVNVLW ZRXOGEHGHVLUDEOHIRUWKHURERWWR RSWL
PL]HLWVVXVSHQVLRQ WRPD[LPL]HVWDELOLW\
7RDFFRXQWIRUPDQLSXODWLRQIRUFHVLQWKHVWDELOLW\FRPSXWDWLRQWKHDS
SOLHGIRUFHIPLVSURMHFWHGDORQJ DWLSRYHUD[LVDV
IL   DÖ L DÖ 7L I J  I P  

ZLWK IP H[SUHVVHGLQDQLQHUWLDOIUDPH,IWKHUH LVDPRPHQWQPDVVRFLDWHG


ZLWK IPWKHQHWIRUFHDERXWDWLSRYHUD[LVLVFRPSXWHGDV
ÖO u DÖ DÖ 7 Q
IL   DÖ L DÖ 7L I J  I P  L L L P
 
OL
7KHVWDELOLW\ DQJOH DLVWKHQFRPSXWHGIURP(TV  XVLQJWKH
QHWIRUFHIL LQSODFHRI IJ
7RRSWLPL]HWKHURERWVXVSHQVLRQIRUPD[LPXP VWDELOLW\DSHUIRUPDQFH
LQGH[ ) LVGHILQHGEDVHGRQWKHDERYHVWDELOLW\ PHDVXUH$IXQFWLRQ RIWKH
IROORZLQJ IRUPLVSURSRVHG
Q
§ .L ·  
) ¦ ¨¨© K
L  L
 . Q L T L  T L 
¸
¸
¹
ZKHUH KL DUH WKH VWDELOLW\ DQJOHV GHILQHG LQ (T   TLƍ DUH WKH QRPLQDO
YDOXHVRIWKHLWK MRLQWYDULDEOHV LHWKHYDOXHV RI TLZKHQWKH URERWLVDWD
XVHUVSHFLILHG FRQILJXUDWLRQ VXFK DV RQ IODW WHUUDLQ  DQG .L DUH FRQVWDQW
ZHLJKWLQJIDFWRUV
7KHILUVWWHUPRI )WHQGVWRLQILQLW\ DVWKHVWDELOLW\DWDQ\WLSRYHUD[LV
WHQGV WR ]HUR  7KH VHFRQG WHUP SHQDOL]HV GHYLDWLRQ IURP D QRPLQDO FRQ
ILJXUDWLRQ RI WKH VKRXOGHU MRLQWV  7KLV WHUP LV XVHG WR PDLQWDLQ DGHTXDWH
JURXQGFOHDUDQFH DQGDYRLG REVWDFOHVWKDWPLJKWFDXVHKDQJXS DQLPSRU
WDQW FRQVLGHUDWLRQ LQ URXJK WHUUDLQ  1RWH WKDW DQ H[SOLFLW JXDUDQWHH RI
JURXQGFOHDUDQFHZRXOGUHTXLUHDQDO\VLVRIGWHUUDLQUDQJHGDWDLPPHGL
DWHO\LQIURQWRIWKHYHKLFOH7KHSURSRVHGPHWKRGLVLQWHQGHGWREHUHDF
 &KDSWHU 5RXJK7HUUDLQ0RWLRQ3ODQQLQJ

WLYH LQ QDWXUH DQG WKXV IRUZDUGORRNLQJ UDQJH LQIRUPDWLRQ LV QRW FRQVLG
HUHG  7KH FRQVWDQWV .L DUH VHOHFWHG WR FRQWURO WKH UHODWLYH LPSRUWDQFH RI
YHKLFOHVWDELOLW\ DQGMRLQWH[FXUVLRQ
7KH JRDO RI WKH RSWLPL]DWLRQ LV WR PLQLPL]H WKH SHUIRUPDQFH LQGH[ )
VXEMHFW WR MRLQWOLPLW LQWHUIHUHQFH DQG SRVVLEO\ NLQHPDWLF PRELOLW\ FRQ
VWUDLQWV 6LQFH )SRVVHVVHVDVLPSOHIRUPIRUPDQ\V\VWHPVDUDSLGRSWL
PL]DWLRQWHFKQLTXHVXFKDVWKHFRQMXJDWHJUDGLHQWVHDUFKFDQEHHPSOR\HG
$URUD    7KH FRQMXJDWH JUDGLHQW DOJRULWKP PLQLPL]HV D SRVLWLYH
GHILQLWH TXDGUDWLF IXQFWLRQ  )RU D QRQOLQHDU IXQFWLRQ VXFK DV (T  
WKH DOJRULWKP FDQ EH DSSOLHG E\ LQWHUSUHWLQJ WKH TXDGUDWLF IXQFWLRQ DV D
VHFRQGRUGHU 7D\ORU VHULHV DSSUR[LPDWLRQ RI WKH SHUIRUPDQFH LQGH[ )
7KLVLVDUHDVRQDEOHDVVXPSWLRQIRUWKHNLQHPDWLFVEDVHGSHUIRUPDQFHLQ
GH[ZKLFKLVFRPSRVHG RIWULJRQRPHWULFIXQFWLRQV
6LQFHWKLVLV D QRQOLQHDURSWLPL]DWLRQSUREOHPORFDOPLQLPD PD\H[LVW
LQWKHVHDUFKVSDFH3UDFWLFDOO\ KRZHYHUWKHH[LVWHQFHRIORFDOPLQLPDLV
XQOLNHO\ GXH WR WKH VPDOO VL]H RI WKH VHDUFK VSDFH  0RUH FRPSOH[ DQG
FRPSXWDWLRQDOO\H[SHQVLYHRSWLPL]DWLRQPHWKRGVZKLFK DUHUREXVW WRORFDO
PLQLPDFDQEHHPSOR\HGKRZHYHUWKH\ DUHXQDWWUDFWLYHVLQFHFRPSXWDWLRQ
VSHHGLVLPSRUWDQWIRUSODQHWDU\H[SORUDWLRQURYHUV7KHDOJRULWKP LVVXP
PDUL]HGLQ)LJ

Compute wheel-terrain
contact angles gi
(Eqs. 2.43-2.53)

Evaluate current rover


configuration
from sensor feedback

Compute rover stability


and performance
index F
(Eqs. 3.6-3.10, 3.23)

Search for joint angles


qi corresponding to
minimum value of F

Move from current


configuration to
optimal configuration

)LJ $OJRULWKPVXPPDU\
! 5HVXOWV! 

 5HVXOWV²5RXJK7HUUDLQ$UWLFXODWHG6XVSHQVLRQ
&RQILJXUDWLRQ3ODQQLQJ

6LPXODWLRQV DQG H[SHULPHQWV RI WKH DUWLFXODWHG VXVSHQVLRQ FRQILJXUDWLRQ


SODQQLQJDOJRULWKPZHUHSHUIRUPHGRQWKH-HW3URSXOVLRQ/DERUDWRU\6DP
SOH 5HWXUQ 5RYHU WUDYHUVLQJ URXJK WHUUDLQ  7KH 655 LV D  NJ IRXU
ZKHHOHG PRELOHURERWZLWKLQGHSHQGHQWO\GULYHQZKHHOVDQGLQGHSHQGHQWO\
FRQWUROOHG VKRXOGHU MRLQWV VKRZQLQ)LJ  +XQWVEHUJHUHWDO  $
 NJWKUHHGRIPDQLSXODWRULV PRXQWHGDWWKHIURQWRIWKH655 &RQ
WUROODEOH VKRXOGHU MRLQWV DQG PDQLSXODWRU DOORZ WKH 655 WR UHSRVLWLRQ LWV
FHQWHURIPDVV7KH655LVHTXLSSHGZLWKDQLQHUWLDOQDYLJDWLRQV\VWHPWR
PHDVXUHERG\ UROODQGSLWFK6LQFHWKHJURXQG VSHHGRIWKH 655LVW\SL
FDOO\ FPVHFG\QDPLFIRUFHVGRQRWKDYHDODUJHHIIHFWRQV\VWHPEHKDY
LRUDQGWKXVVWDWLFDQDO\VLVLVDSSURSULDWH
7KHRSWLPL]DWLRQSHUIRUPDQFHLQGH[XVHGLQ WKHVLPXODWLRQDQGH[SHUL
PHQWV ZDV VLPLODU WR (T   DQG FRQVLGHUHG WKH WZR VKRXOGHU DQJOH
MRLQWV TDQG TDQGWKHWKUHHPDQLSXODWRUGHJUHHVRIIUHHGRP \ \DQG
\
 .M 
 
) ¦K
M  M
 ¦.
L 
L TL  TL 

1RWH WKDW WKH VWDELOLW\ DQJOHV KM DUH IXQFWLRQV RI WKH VKRXOGHU DQG WKH
PDQLSXODWRUGHJUHHVRIIUHHGRP LH KM KM TT\\\ 

6LPXODWLRQ5HVXOWV

7KH DUWLFXODWHG VXVSHQVLRQ FRQILJXUDWLRQ SODQQLQJ DOJRULWKP ZDV LPSOH


PHQWHG LQ D SODQDU VLPXODWLRQ RQ VWHHSO\ UROOLQJ WHUUDLQ  7KH PD[LPXP
SLWFKLQGXFHG E\ WKHWHUUDLQZDVDSSUR[LPDWHO\q7KHVLPXODWHGSLWFK
VHQVRU ZDVFRUUXSWHGZLWKZKLWHQRLVHRI VWDQGDUGGHYLDWLRQq 7KHUHDU
DQGIURQWZKHHO YHORFLWLHV QDQG Q ZHUH FRUUXSWHG ZLWK ZKLWHQRLVH RI
VWDQGDUGGHYLDWLRQFPVHF7KLV PRGHOVHUURUGXHWRHIIHFWVRIZKHHO
VOLSDQGWDFKRPHWHUQRLVH
)LJ  VKRZV D UHSUHVHQWDWLYH VLPXODWLRQ UHVXOW  9HKLFOH VWDELOLW\
PDUJLQ DV GHILQHG E\ (T   LV VKRZQ IRU ERWK DUWLFXODWHG VXVSHQVLRQ
DQG IL[HG VXVSHQVLRQ V\VWHPV  7KH PHDQ VWDELOLW\ RI WKH DUWLFXODWHG VXV
SHQVLRQ V\VWHPZDV JUHDWHUWKDQWKHIL[HGVXVSHQVLRQV\VWHP 7KH
VWDELOLW\ PDUJLQ RIWKHIL[HGVXVSHQVLRQV\VWHPUHDFKHVDPLQLPXP YDOXH
RI q DW WUDYHO GLVWDQFH §  P  LQGLFDWLQJ WKDW WKH V\VWHP QDUURZO\
DYRLGHG WLSRYHU IDLOXUH  7KH PLQLPXP VWDELOLW\ PDUJLQ RI WKH DUWLFXODWHG
 &KDSWHU 5RXJK7HUUDLQ0RWLRQ3ODQQLQJ

VXVSHQVLRQ V\VWHP ZDV q D FRPIRUWDEOH PDUJLQ!7KLV VXJJHVWV WKDW WKH


DUWLFXODWHG!VXVSHQVLRQ!FRQILJXUDWLRQ!SODQQLQJ!DOJRULWKP!FDQ!VXEVWDQWLDOO\
LQFUHDVH YHKLFOH VWDELOLW\ RQ XQHYHQ WHUUDLQ

!([SHULPHQWDO 5HVXOWV

1XPHURXV!H[SHULPHQWV!ZHUH!SHUIRUPHG!RQ!WKH!655!LQ!WKH!-3/!3ODQHWDU\
5RERWLFV!/DERUDWRU\!DQG!DW!DQ!RXWGRRU!URXJK!WHUUDLQ!WHVW!ILHOG!WKH!$UUR\R
6HFR!LQ!$OWDGHQD!&DOLIRUQLD! 7KH!655!ZDV!FRPPDQGHG!WR!WUDYHUVH!D
FKDOOHQJLQJ!SDWK!WKDW!WKUHDWHQHG!YHKLFOH!VWDELOLW\! )RU!HDFK!WULDO!WKH!SDWK
ZDV!WUDYHUVHG!ILUVW!ZLWK!WKH!VKRXOGHU!MRLQWV!IL[HG!DQG!WKHQ!ZLWK!WKH!DUWLFX
ODWHG!VXVSHQVLRQ!FRQILJXUDWLRQ!SODQQLQJ!DOJRULWKP!DFWLYDWHG!'XULQJ!WKHVH
H[SHULPHQWV!WKH!655!HPSOR\HG!D!VWDWHPDFKLQH!FRQWURO!DUFKLWHFWXUH!LQ
ZKLFK!WKH!YHKLFOH!WUDYHOHG!D!VPDOO!GLVWDQFH!VWRSSHG!WKHQ!DGMXVWHG!LWV
VKRXOGHU DQJOHV EDVHG RQ WKH DUWLFXODWHG VXVSHQVLRQ FRQILJXUDWLRQ SODQQLQJ
DOJRULWKP! )LJ!!VKRZV!WKH!655!WUDYHUVLQJ!D!VWHHS!LQFOLQH!ZLWK!ERWK
IL[HG DQG DUWLFXODWHG VXVSHQVLRQV
60
Fixed Suspension
Articulated Suspension
50
Stability Margin (deg)

40

30

20

10

0
0 5 10 15 20 25 30
Travel Distance (m)

)LJ6WDELOLW\PDUJLQIRUURERWZLWKDUWLFXODWHGVXVSHQVLRQ DQGIL[HG VXVSHQ


VLRQGXULQJVLPXODWLRQ
! 5HVXOWV! 

)L[HGVXVSHQVLRQ $UWLFXODWHGVXVSHQVLRQ
)LJ655'XULQJ URXJKWHUUDLQWUDYHUVH

5HVXOWV RI D UHSUHVHQWDWLYH SDLU RI WULDOV DUH VKRZQ LQ )LJV  DQG
)LJVKRZVWKH655VKRXOGHUMRLQWDQJOHVGXULQJWKHWUDYHUVHV
%RWKOHIWDQGULJKWVKRXOGHUDQJOHVUHPDLQZLWKLQWKHMRLQWOLPLWVRIrqRI
WKH LQLWLDO YDOXHV  1RWH WKDW WKH IL[HG VXVSHQVLRQ VKRXOGHU DQJOHV YDU\
VOLJKWO\GXHWR VHUYR FRPSOLDQFH
)LJVKRZVYHKLFOHVWDELOLW\ GXULQJWKHWUDYHUVHV7KHDYHUDJHVWD
ELOLW\ RI WKH DUWLFXODWHG VXVSHQVLRQ V\VWHP ZDV  JUHDWHU WKDQ WKH
IL[HGVXVSHQVLRQV\VWHP 7KHVWDELOLW\PDUJLQRIWKHIL[HG VXVSHQVLRQV\V
WHPUHDFKHGGDQJHURXVPLQLPXPYDOXHVRIqDQGq 7KH PLQLPXP
VWDELOLW\ PDUJLQRIWKHDUWLFXODWHGVXVSHQVLRQV\VWHP ZDV q&OHDUO\
DUWLFXODWHG VXVSHQVLRQ FRQILJXUDWLRQ SODQQLQJ UHVXOWV LQ JUHDWO\ LPSURYHG
VWDELOLW\ LQURXJKWHUUDLQ
2SWLPL]DWLRQZDVSHUIRUPHGRQOLQHZLWK D0+]$0'.SURFHV
VRU $YHUDJHSURFHVVLQJWLPHIRUDVLQJOHFRQVWUDLQHGRSWLPL]DWLRQ FRPSX
WDWLRQ ZDV  PVHF  7KXV WKH DOJRULWKP LV IHDVLEOH IRU RQERDUG LPSOH
PHQWDWLRQ
 &KDSWHU 5RXJK7HUUDLQ0RWLRQ3ODQQLQJ

60
Fixed Suspension
58 Articulated Suspension
56
Left Shoulder Angle (deg)
54

52

50

48

46

44

42

40
0 0. 2 0 .4 0. 6 0 .8 1.0 1.2 1.4 1.6 1.8 2 .0
Wheel Odometry Distance (m)
/HIW6LGH

80 Fixed Suspension
Articulated Suspension
75
Right Shoulder Angle (deg)

70

65

60

55

50

45

40
0 0. 2 0 .4 0. 6 0 .8 1.0 1.2 1.4 1.6 1.8 2.0
Wheel Odometry Distance (m)
5LJKW6LGH
)LJ  655 VKRXOGHU DQJOHV GXULQJ URXJK WHUUDLQ WUDYHUVH IRU DUWLFXODWHG VXV
SHQVLRQV\VWHP DQGIL[HGVXVSHQVLRQV\VWHP
 6XPPDU\DQG&RQFOXVLRQV 

45 Fixed Suspension
Articulated Suspension
40

35
Stability Margin (deg)

30

25

20

15

10

0
0 0. 2 0 .4 0. 6 0.8 1.0 1.2 1.4 1.6 1.8 2 .0
Wheel Odometry Distance (m)

)LJ  655 VWDELOLW\ PDUJLQ IRU DUWLFXODWHGVXVSHQVLRQ V\VWHP DQG IL[HGVXV
SHQVLRQV\VWHPRQXQHYHQWHUUDLQ

 6XPPDU\ DQG&RQFOXVLRQV

5RXJKWHUUDLQPRWLRQSODQQLQJ DOJRULWKPVPXVWH[SOLFLWO\FRQVLGHUWKHHI
IHFWVRIWHUUDLQXQHYHQQHVVDQGWUDFWLRQFKDUDFWHULVWLFVDQGUHDOZRUOGLP
SOHPHQWDWLRQ LVVXHV VXFK DV FRPSXWDWLRQDO HIILFLHQF\ DQG VHQVRU XQFHU
WDLQW\  ,Q WKLV FKDSWHU WZR GLVWLQFW URXJK WHUUDLQ PRWLRQ SODQQLQJ
DOJRULWKPVKDYHEHHQSUHVHQWHG
7KHILUVWDOJRULWKPSODQVWKHURXWHRIDPRELOHURERWWKURXJKXQHYHQWHU
UDLQ 8QFHUWDLQW\LQWHUUDLQUDQJH GDWDWHUUDLQ PRGHOLQJDQGURERW SDWK
IROORZLQJ DUH FRQVLGHUHG 6LPXODWLRQ UHVXOWV GHPRQVWUDWHV WKH HIIHFWLYH
QHVVRIWKHPHWKRG
7KH VHFRQG DOJRULWKP SODQV WKH VXVSHQVLRQ FRQILJXUDWLRQ RI DQ DUWLFX
ODWHG VXVSHQVLRQ URERW DV LW WUDYHOV WKURXJK XQHYHQ WHUUDLQ  7KH PHWKRG
UDSLGO\ RSWLPL]HV D SHUIRUPDQFH LQGH[ EDVHG RQ URERW VWDELOLW\ WR GHWHU
PLQHDQ LPSURYHGVXVSHQVLRQFRQILJXUDWLRQ6LPXODWLRQDQGH[SHULPHQWDO
UHVXOWVIRUWKH-3/655VKRZWKDWWKHDUWLFXODWHGVXVSHQVLRQFRQILJXUDWLRQ
SODQQLQJPHWKRG\LHOGVJUHDWO\LPSURYHGYHKLFOHVWDELOLW\LQURXJKWHUUDLQ
&KDSWHU 
5RXJK 7HUUDLQ &RQWURO

 ,QWURGXFWLRQ

(IIHFWLYHFRQWUROPHWKRGVIRUPRELOHURERWVLQURXJKWHUUDLQ VKRXOG PD[L


PL]H YHKLFOH PRELOLW\ GHVSLWH FKDQJLQJ WHUUDLQ XQHYHQQHVV DQG WUDFWLRQ
FKDUDFWHULVWLFV 7KH\ VKRXOG DOVR PLQLPL]H SRZHU FRQVXPSWLRQ VLQFH
DXWRQRPRXV V\VWHPV RIWHQ SRVVHVV OLPLWHG RQERDUG SRZHU VWRUDJH FDSD
ELOLWLHV2QHPHDQVRILPSURYLQJFRQWUROSHUIRUPDQFHLVWRWDNHDGYDQWDJH
RIWKHDFWXDWLRQUHGXQGDQF\SUHVHQWLQ PRVWPRELOHURERWV$FWXDWLRQUH
GXQGDQF\UHIHUVWRWKHFRQGLWLRQLQ ZKLFKD PRELOHURERWKDV PRUH FRQWURO
ODEOH GULYH DFWXDWRUV WKDQ LV PLQLPDOO\ UHTXLUHG IRU ORFRPRWLRQ  )RU H[
DPSOH D PRELOH URERW ZLWK IRXU GULYHQ ZKHHOV SRVVHVVHV DFWXDWLRQ
UHGXQGDQF\ VLQFH RQO\ WZR GULYHQ ZKHHOV DUH UHTXLUHG WR GULYH IRUZDUG
DQGWXUQYLDVNLGVWHHULQJ
,Q WKLVFKDSWHUDURXJKWHUUDLQFRQWUROPHWKRGRORJ\LVSUHVHQWHGIRUUR
ERWV ZLWK DFWXDWLRQ UHGXQGDQF\  7KH IXQGDPHQWDO FRQWURO SUREOHP LV
SRVHGLQ6HFWDQG SUREOHP FRQVWUDLQWVDUHGHVFULEHGLQ6HFW7KH
DOJRULWKP PD[LPL]HVZKHHOWUDFWLRQ RUPLQLPL]HV SRZHUFRQVXPSWLRQGH
SHQGLQJ RQ WKH ORFDO WHUUDLQ SURILOH  ,Q KLJKO\ XQHYHQ WHUUDLQ WUDFWLRQ LV
RSWLPL]HG ,QEHQLJQWHUUDLQSRZHU FRQVXPSWLRQLVPLQLPL]HG7KHDOJR
ULWKPUHOLHVRQDQHVWLPDWHRIZKHHOWHUUDLQFRQWDFWDQJOHVDQGDVLPSOLILHG
PRGHORIWKHWHUUDLQSK\VLFDOSURSHUWLHV
6LPXODWLRQ UHVXOWV DUH SUHVHQWHG LQ 6HFW  IRU D SODQDU PRGHO RI D
IRXUZKHHOHG URYHU RQ XQHYHQ WHUUDLQ  ,W LV VKRZQ WKDW WKH URXJK WHUUDLQ
FRQWUROPHWKRGOHDGVWRLQFUHDVHG WUDFWLRQDQGLPSURYHG SRZHUFRQVXPS
WLRQ FRPSDUHG WR WUDGLWLRQDO LQGLYLGXDOZKHHO YHORFLW\ FRQWURO  ([SHUL
PHQWDOUHVXOWVLQ6HFW VKRZ WKDWIRUD VL[ZKHHOHG URYHUWUDYHUVLQJ D
GLWFKWKHSURSRVHGFRQWURO PHWKRG LQFUHDVHVWKH QHWIRUZDUG ZKHHOWKUXVW
DQGLPSURYHVURYHUPRELOLW\

K. Iagnemma and S. Dubovsky: Mobile Robots in Rough Terrain, STAR 12, pp. 81–96, 2004.
© Springer-Verlag Berlin Heidelberg 2004
 &KDSWHU 5RXJK7HUUDLQ &RQWURO

 0RELOH5RERW5RXJK 7HUUDLQ&RQWURO 57&

&RQVLGHU DQ QZKHHOHG YHKLFOH RQ XQHYHQ WHUUDLQ DV VKRZQ LQ )LJ 
+HUHLWLVDVVXPHGWKDWWKHYHKLFOHLVVNLGVWHHUHGDQGWKXVRQO\ IRUFHV LQ
WKH ;< SODQH DUH FRQVLGHUHG VLQFH RXWRISODQH IRUFHV FDQQRW EH DFWLYHO\
FRQWUROOHG 1RWHWKDWWKHIROORZLQJDQDO\VLVFDQEHH[WHQGHGWR WKHFDVH
RIYHKLFOHVZLWKVWHHUHGZKHHOV ,WLVDOVRDVVXPHGWKDWHDFKZKHHOPDNHV
FRQWDFWZLWKWKHWHUUDLQDWDVLQJOHSRLQWGHQRWHGSLL ^«Q`9HFWRUV
IURP WKH SRLQWV SL WR WKH YHKLFOH FHQWHU RI PDVV SF DUH GHQRWHG 9L  >9L[
9L\@7L ^«Q` DQG DUHH[SUHVVHGLQWKHFRUUHVSRQGLQJORFDOIUDPH^[\]L`
DWSL7KH[YHFWRU IVLV H[SUHVVHGLQWKHLQHUWLDOIUDPH^;<=`DQGUHSUH
VHQWV WKH VXPPHG HIIHFWV RI YHKLFOH JUDYLWDWLRQDO IRUFHV LQHUWLDO IRUFHV
IRUFHV GXH WR PDQLSXODWLRQ DQG IRUFHV GXH WR LQWHUDFWLRQ ZLWK WKH HQYL
URQPHQW RURWKHU URERWV

fs
pc

yn xn
gn

x2 pn
y1 x1 fn
g1 g2
p2 x
p1 2

f1 f2

)LJ Q:KHHOHGYHKLFOHRQXQHYHQWHUUDLQ

$ ZKHHOWHUUDLQ FRQWDFW IRUFH H[LVWV DW HDFK SRLQW SL DQG LV GHQRWHG
IL >7L 1L@ 7 DV VKRZQ LQ )LJ  7KH YHFWRU LV H[SUHVVHG LQ WKH ORFDO
IUDPH ^[\]L`DQGFDQ EHGHFRPSRVHG LQWRDWUDFWLYHIRUFH 7LWDQJHQWWRWKH
ZKHHOWHUUDLQ FRQWDFW SODQH DQG D QRUPDO IRUFH 1L QRUPDO WR WKH ZKHHO
WHUUDLQFRQWDFW SODQH ,W LVDVVXPHGWKDWWKHUHDUHQRPRPHQWVDFWLQJDWWKH
ZKHHOWHUUDLQLQWHUIDFH7KHDQJOHV JLL ^«Q`UHSUHVHQWWKH DQJOHEH
WZHHQWKHKRUL]RQWDODQGWKHZKHHOWHUUDLQFRQWDFWSODQH
 0RELOH5RERW5RXJK 7HUUDLQ&RQWURO 57&  

)RUWKH SODQDUV\VWHPDERYHTXDVLVWDWLFIRUFHEDODQFHHTXDWLRQVFDQEH
ZULWWHQDV
ª    º ª I º ª )[ º
5 5  5Q «» «) »
« \ »  
¬«9  9[ 9 \  9 [  9 Q\  9 Q[ ¼» «I Q » « \»
¬ ¼ ¬0 ] ¼
ZKHUH L 5 M UHSUHVHQWV D [ PDWUL[ WUDQVIRUPLQJ D YHFWRU H[SUHVVHG LQ
IUDPH MWR RQHH[SUHVVHGLQ IUDPH L
(T  UHSUHVHQWVWKH TXDVLVWDWLFIRUFHEDODQFHRQWKHYHKLFOHDQGLV
UHIHUUHG WR DVWKHIRUFHGLVWULEXWLRQHTXDWLRQV +XQJHWDO ,WLJQRUHV
G\QDPLFHIIHFWVZKLFKDUHVPDOOLQORZVSHHG SODQHWDU\ H[SORUDWLRQYHKL
FOHV )RUFHGLVWULEXWLRQKDV EHHQ VWXGLHGIRUJHQHUDONLQHPDWLFFKDLQV DQG
OHJJHG YHKLFOHV .XPDU DQG :DOGURQ  .XPDU DQG :DOGURQ 
&KXQJDQG:DOGURQ (IILFLHQWIRUPXODWLRQRIWKHIRUFHGLVWULEXWLRQ
HTXDWLRQVIRUPRUHJHQHUDOYHKLFOHVKDVEHHQDGGUHVVHG +XQJHWDO  
(T  FDQ EHH[SUHVVHGLQPDWUL[ IRUPDV
*[ IV  
ZKHUHWKHPDWUL[*LV DIXQFWLRQWKHYHKLFOHJHRPHWU\ZKHHOWHUUDLQFRQ
WDFWORFDWLRQV DQGZKHHOWHUUDLQFRQWDFWDQJOHV[ >71«7Q1Q@7DQG
IV >)[ )\ 0]@7  ,Q WKH SURSRVHG FRQWURO DSSURDFK IV LV DQ LQSXW YHFWRU
1RWH WKDW IV LV GLUHFWHG DORQJ WKH ERG\ D[LV IRU QRUPDO IRUZDUG GULYLQJ
:KHHOWRUTXHVDUHWKXVVRXJKWWKDWUHVXOW LQWKHGHVLUHGIRUFHYHFWRU IV

fi
Ni

yi xi Ti gi

pi

)LJ:KHHOWHUUDLQ LQWHUDFWLRQIRUFHGHFRPSRVLWLRQ

(T   UHSUHVHQWV DQ XQGHUFRQVWUDLQHG SUREOHP LJQRULQJ WKH WULYLDO


FDVH RI D RQHZKHHOHG YHKLFOH   7KHUH DUH DQ LQILQLWH QXPEHU RI ZKHHO
WHUUDLQFRQWDFWIRUFHV7LDQG1LWKDWEDODQFHWKHYHFWRU IV ,QJHQHUDODSOD
 &KDSWHU 5RXJK7HUUDLQ &RQWURO

QDUV\VWHP ZLWKQZKHHOWHUUDLQ FRQWDFWSRLQWV SRVVHVVHV Q GHJUHHVRI


DFWXDWLRQUHGXQGDQF\7KHJRDORI URXJKWHUUDLQFRQWUROLVWRILQGDVHWRI
ZKHHOWHUUDLQ FRQWDFW IRUFHV ZKLFK DUH PRGLILHG E\ PHDQV RI LQGHSHQG
HQWO\FRQWUROOHGPRWRUWRUTXHV WKDWVDWLVI\WKHIRUFHGLVWULEXWLRQHTXDWLRQV
DQGWKHSUREOHPFRQVWUDLQWVZKLOHRSWLPL]LQJDQDVSHFWRIV\VWHP SHUIRUP
DQFH7KHFRQWUROSUREOHPFDQWKXVEH IUDPHGDVDQRSWLPL]DWLRQ SUREOHP
DQGEHJHQHUDOO\VWDWHGDVIROORZV 2SWLPL]HV\VWHPSHUIRUPDQFHVXEMHFWWR
WKHHTXDOLW\FRQVWUDLQW *[ I V ZKLOHVDWLVI\LQJDOOSUREOHPSK\VLFDO FRQ
VWUDLQWV
$VLPSOHDSSURDFKWR VROYLQJ XQGHUFRQVWUDLQHGV\VWHPVLV YLDWKHSVHX
GRLQYHUVHRUOHDVWVTXDUHVVROXWLRQGHILQHG DV [  * 7 *  * 7 I V DVVXP
LQJ * 7 * LVQRQVLQJXODU+RZHYHUZKLOHWKLVVROXWLRQLVFRPSXWDWLRQ
DOO\ LQH[SHQVLYH LW GRHV QRW JXDUDQWHH VDWLVIDFWLRQ RI WKH SUREOHP¶V
SK\VLFDOFRQVWUDLQWV7KHVHFRQVWUDLQWVDQGDQRSWLPL]DWLRQIUDPHZRUNIRU
VROYLQJ(T  DUHGLVFXVVHG EHORZ
7KHDERYHDQDO\VLVKDVFRQVLGHUHG DWZRGLPHQVLRQDOV\VWHP7KHHI
IHFWV RI PRWLRQ RQ JHQHUDO LH WKUHHGLPHQVLRQDO  WHUUDLQ FDQ EH FRQVLG
HUHGE\QRWLQJWKDWWKHJUDYLWDWLRQDOFRPSRQHQWRI IVLVLQIOXHQFHG E\ WKH
YHKLFOH¶VERG\ UROO6LQFHUROOFDQ EH HDVLO\VHQVHGWKHYHUWLFDOFRPSRQHQW
RI IVFDQEHPRGLILHG RQOLQH 7KLVFKDQJHVWKHORDGEDODQFH DQGWKXVWKH
DYDLODEOH WUDFWLYH IRUFH  RQ HDFK VLGH RI WKH YHKLFOH  1RWH WKDW ERG\ UROO
ZLOODOVRLQIOXHQFHZKHHOWHUUDLQORQJLWXGLQDOIRUFHV7KHVHHIIHFWVDUHQRW
FRQVLGHUHGKHUH

 :KHHO7HUUDLQ&RQWDFW)RUFH2SWLPL]DWLRQ

0RELOHURERWVPXVWPDLQWDLQDGHTXDWHZKHHOWUDFWLRQLQ KLJKO\FKDOOHQJLQJ
WHUUDLQ+RZHYHUGXULQJWUDYHORYHUEHQLJQWHUUDLQLWLVLPSRUWDQWIRUV\V
WHPVWRH[KLELWJRRGSRZHUHIILFLHQF\VLQFHRQERDUGSRZHUVWRUDJHLVRI
WHQOLPLWHG 2SWLPL]DWLRQRI ZKHHOWHUUDLQFRQWDFWIRUFHVLVWKHUHIRUHSHU
IRUPHG XVLQJ WZR FULWHULD PD[LPXP WUDFWLRQ RU PLQLPXP SRZHU
FRQVXPSWLRQ7KHVHFULWHULDDUHGLVFXVVHGEHORZ

2SWLPL]DWLRQ&ULWHULD

$QRSWLPL]DWLRQFULWHULDIRUPD[LPL]LQJWUDFWLRQDW WKHZKHHOWHUUDLQ LQWHU


IDFHFDQEHGHYHORSHGEDVHGRQWKHREVHUYDWLRQWKDWWKHPD[LPXPWUDFWLYH
IRUFH D WHUUDLQ FDQ EHDU LQFUHDVHV ZLWK LQFUHDVLQJ QRUPDO IRUFH %HNNHU
   7KXV WR DYRLG WHUUDLQ IDLOXUH DQG UHVXOWLQJ JURVV ZKHHO VOLS WKH
FRQWURODOJRULWKP VKRXOGVHHNWRPLQLPL]HWKHPD[LPXP UDWLRRIWKHWUDF
 :KHHO7HUUDLQ&RQWDFW)RUFH2SWLPL]DWLRQ 

WLYHIRUFHWRWKHQRUPDOIRUFH$Q REMHFWLYHIXQFWLRQUHSUHVHQWLQJ WKLVUDWLR


FDQEH ZULWWHQDV
­7 ½  
5 PD[ ® L ¾ 
L ¯ 1L ¿

6LPLODUFULWHULDKDYH EHHQGHYHORSHGLQ 6UHHQLYDVDQ DQG :LOFR[  


DQGDQDQDO\WLFDOVROXWLRQWRWKHRSWLPL]DWLRQSUREOHPKDVEHHQGHYHORSHG
IRUD WZRZKHHOHGYHKLFOH
$QRSWLPL]DWLRQFULWHULDIRUPLQLPXPSRZHUFRQVXPSWLRQFDQEH GHYHO
RSHG EDVHG RQ WKH IDFW WKDW WKH SRZHU FRQVXPHG E\ D '& PRWRUGULYHQ
ZKHHOHGYHKLFOHXVLQJ3:0DPSOLILHUVFDQ EHHVWLPDWHGE\WKHSRZHUGLV
VLSDWLRQLQWKHPRWRUUHVLVWDQFHV 'XERZVN\HWDO  3RZHUFRQVXPS
WLRQRIWKHYHKLFOHLVUHODWHGWRWKHPRWRUWRUTXHV DV
Q
5J   
3
. W
¦*
L 
L


ZKHUH 5 LV WKH PRWRU UHVLVWDQFH .W LV WKH PRWRU WRUTXH FRQVWDQW J LV WKH
PRWRUJHDUUDWLRDQG *LLVWKHWRUTXHDSSOLHGE\WKH LWKPRWRU7KHSRZHU
FRQVXPSWLRQ FDQWKHQEHUHODWHGWRWKHWUDFWLYHIRUFH7LE\
Q
5J  U   
3
. W
¦7
L 
L


ZKHUHULVWKHZKHHO UDGLXV7R PLQLPL]HSRZHUFRQVXPSWLRQWKHFRQWURO


DOJRULWKPVKRXOG VHHNWRPLQLPL]H3+HUHZHKDYHDVVXPHGWKDWRQEH
QLJQ WHUUDLQ ZLWK OLWWOH ZKHHO VLQNDJH WKH WUDFWLYH IRUFH LV WKH SURGXFW RI
WKHDSSOLHGZKHHO WRUTXHDQGWKHZKHHOUDGLXV,QWKHFDVHRI ODUJHZKHHO
VLQNDJHDQGRUVXEVWDQWLDOZKHHO VOLS WKHWUDFWLYHIRUFH LHWKHQHWZKHHO
WKUXVW LVDIXQFWLRQ RIWKHZKHHOVLQNDJH VOLSDQGYDULRXVWHUUDLQSDUDPH
WHUV +RZHYHULQWKLVFDVHWKHWUDFWLYH IRUFHVWLOOUHPDLQV SURSRUWLRQDOWR
WKHZKHHOWRUTXH :RQJ 
%DVHGRQ(TV  DQG  DGXDOFULWHULDREMHFWLYHIXQFWLRQWKDW RS
WLPL]HVIRUPD[LPXPWUDFWLRQRUPLQLPXPSRZHUFRQVXPSWLRQGHSHQGLQJ
RQWKHWHUUDLQSURILOHFDQEHGHYHORSHG,QURXJKWHUUDLQWUDFWLRQVKRXOG EH
PD[LPL]HG  ,Q EHQLJQ WHUUDLQ SRZHU FRQVXPSWLRQ VKRXOG EH PLQLPL]HG
7HUUDLQ URXJKQHVV FDQ EH GHWHUPLQHG E\ H[DPLQLQJ WKH YDOXHV RI WKH
ZKHHOWHUUDLQFRQWDFWDQJOHV &RQVLGHUWKHVZLWFKLQJIXQFWLRQ 6
6 ­ LI PD[ ^ J L `! &  
® L
¯ RWKHUZLVH
ZKHUH&LVDXVHUGHILQHGWKUHVKROGOHYHO 7KLVIXQFWLRQGLVWLQJXLVKHVEH
WZHHQEHQLJQ DQGFKDOOHQJLQJWHUUDLQE\ H[DPLQLQJWKHVWHHSHVWORFDOWHU
UDLQVORSH 1XPHURXVRWKHUPHWKRGVFRXOG EHXVHG WRDVVHVVWHUUDLQGLIIL
 &KDSWHU 5RXJK7HUUDLQ &RQWURO

FXOW\ )RUH[DPSOHDYHKLFOHHTXLSSHGZLWKDUDQJHVHQVLQJV\VWHP FRXOG


FKDUDFWHUL]HXQHYHQQHVVE\ DQDO\]LQJORFDOWHUUDLQHOHYDWLRQGDWD
$GXDOFULWHULDREMHFWLYHIXQFWLRQZKLFKFRPELQHV(TV    DQG
 FDQWKHQEHH[SUHVVHGDV
4 56  3   6   
7KXV WKH YHKLFOH IRUFH GLVWULEXWLRQ ZLOO EH RSWLPL]HG IRU HLWKHU PD[L
PXPWUDFWLRQRUPLQLPXP SRZHUFRQVXPSWLRQ GHSHQGLQJRQWKHORFDOWHU
UDLQSURILOH7KHIUHTXHQF\ DWZKLFK4LV HYDOXDWHGVKRXOG EH DIXQFWLRQ RI
WKHH[SHFWHG VSDWLDOIUHTXHQF\RIWKHORFDOWHUUDLQ

3UREOHP&RQVWUDLQWV

2SWLPL]DWLRQRIWKHIRUFHGLVWULEXWLRQSUREOHP PXVWFRQVLGHUURERWSK\VL
FDOFRQVWUDLQWV2QHVXFKFRQVWUDLQWLVWKDWDOOURYHUZKHHOVVKRXOGUHPDLQ
LQ FRQWDFW ZLWK WKH WHUUDLQ  7KLV FDQ EH H[SUHVVHG E\ HQVXULQJ WKDW DOO
ZKHHOWHUUDLQQRUPDOIRUFHV1L UHPDLQSRVLWLYHRU
1 L !  L L ^   Q`   
7KHVHFRQGFRQVWUDLQWLVWKDWWKHZKHHOWRUTXHVPXVW UHPDLQZLWKLQ WKH
VDWXUDWLRQOLPLWV RIWKHDFWXDWRURU
*LPLQ d 7L ˜ U d *LPD[ L L ^   Q`   

7KHWKLUGLVWKDWWKHWUDFWLYHIRUFHH[HUWHGRQWKHWHUUDLQPXVWQRWH[FHHG
WKHPD[LPXPIRUFHWKDWWKHWHUUDLQFDQEHDU7KH VLPSOHVWDSSUR[LPDWLRQ
RIWKLVFRQVWUDLQWLVD³WUDFWLRQFRHIILFLHQW´PRGHO
7L d P1 L L L ^   Q` 
ZKHUH P LV WKH ZKHHOWHUUDLQ WUDFWLRQ FRHIILFLHQW 7KLV DSSUR[LPDWLRQ LV
UHDVRQDEOHIRUULJLGZKHHOVWUDYHOLQJ RYHUULJLGWHUUDLQ)RUULJLGZKHHOVLQ
GHIRUPDEOH WHUUDLQWKHPD[LPXPVKHDUVWUHQJWKRI WKHWHUUDLQFDQEHFRP
SXWHGIURP&RXORPE¶VHTXDWLRQ
W PD[ F  1 L $L WDQ I 

ZKHUH $LV DQHVWLPDWHRI WKHZKHHOWHUUDLQFRQWDFWDUHD7KXVWKHWHUUDLQ


VWUHQJWK FRQVWUDLQWFDQ EHZULWWHQIRUGHIRUPDEOHWHUUDLQDV
7L $L d W LPD[ L L ^ Q`  

$ SULRUL HVWLPDWHV RI F DQG IFDQ EH XVHG LI WKH WHUUDLQ SURSHUWLHV DUH
NQRZQLQ DGYDQFH ,I WKHSDUDPHWHUVDUHXQNQRZQ RUYDULDEOHHVWLPDWLRQ
 5HVXOWV²5RXJK7HUUDLQ&RQWURO 

WHFKQLTXHVFDQEH HPSOR\HGDVGHVFULEHGLQ6HFW2QOLQHHVWLPDWLRQ
DOORZVWKHFRQWURODOJRULWKPWRDGDSWLWVSHUIRUPDQFHWRFKDQJLQJWUDFWLRQ
FRQGLWLRQVZKLFK LV H[WUHPHO\EHQHILFLDOLQQDWXUDOWHUUDLQ

 5HVXOWV²5RXJK7HUUDLQ&RQWURO

!6LPXODWLRQ 5HVXOWV

7KHSHUIRUPDQFHRI WKHPXOWLFULWHULDURXJKWHUUDLQFRQWURODOJRULWKPZDV
FRPSDUHG WR WUDGLWLRQDO LQGLYLGXDOZKHHO YHORFLW\ FRQWURO LQ VLPXODWLRQ
7KH VLPXODWHGV\VWHP ZDVDSODQDUYHKLFOHZLWK DPDVVRINJ VKRZQ LQ
)LJ7KHULJLGZKHHOUDGLXV UZDV FPDQGLWVZKHHOZLGWK EZDV
FP  7KH ZKHHO VSDFLQJ O ZDV  P 0HDVXUHG TXDQWLWLHV ZHUH YHKLFOH
SLWFKDDQGZKHHODQJXODUYHORFLWLHV ZDQG Z6HQVRUQRLVHZDVPRGHOHG
E\ZKLWHQRLVHRIVWDQGDUGGHYLDWLRQDSSUR[LPDWHO\HTXDOWRRIWKHIXOO
UDQJHYDOXHV
7KHIRUFHGLVWULEXWLRQHTXDWLRQVIRUWKHV\VWHPFDQEHZULWWHQ DV
ªFRV J   VLQ J  FRV J   VLQ J  º ª 7 º ª )[ º
« VLQ J FRV J  VLQ J  FRV J  » « 1 » «) »
«  » « 7 » « \ »  
\
 9[ 9\  9[ « » ¬« 0 ] ¼»
¬« 9 ¼» ¬ 1  ¼

7KLV V\VWHP RI HTXDWLRQV SRVVHVVHV Q  GHJUHH RI UHGXQGDQF\


7KXV WKHUH H[LVWV D IUHH YDULDEOH WKDW FDQ EH VHOHFWHG EDVHG RQ WKH GXDO
FULWHULDRSWLPL]DWLRQPHWKRGGLVFXVVHGDERYH

w2

g2
l
w1 a

g1

)LJ 6LPXODWHGURYHUV\VWHP
 &KDSWHU 5RXJK7HUUDLQ &RQWURO

7KHWHUUDLQZDVPRGHOHGDV DPRGHUDWHO\GHQVHGHIRUPDEOHVRLOVLPLODU
WR WKDW ZKLFK KDV EHHQ REVHUYHG RQ 0DUV 1$6$  0DWLMHYLF HW DO
 7KH IROORZLQJ SDUDPHWHUVZHUH XVHG
 &RKHVLRQF N3D
 ,QWHUQDOIULFWLRQ DQJOHI q
 6LQNDJHFRHIILFLHQWQ 
 &RKHVLYHPRGXOXVRIGHIRUPDWLRQ.F N1PQ
 )ULFWLRQDOPRGXOXVRI GHIRUPDWLRQ .I N1PQ
 6KHDUGHIRUPDWLRQPRGXOXV. P
$WHDFKVLPXODWLRQWLPHLQFUHPHQWWKHZKHHOVLQNDJH PRWLRQUHVLVWDQFH
DQG ZKHHOWKUXVW ZHUH FRPSXWHG DV D IXQFWLRQ RIWKH VRLO SDUDPHWHUVDQG
WKHDSSOLHGZKHHOWRUTXH
:KHHO VLQNDJH ZDV FRPSXWHG LQ RUGHU WR GHWHUPLQH WKH PRWLRQ UHVLV
WDQFH GXHWRVRLOFRPSDFWLRQ6LQNDJHZDVFRPSXWHGIRUHDFKZKHHOLDV
:RQJ 
  QV 
ª 1 L º 
]L « » 
«¬ E   Q . F E  . I U »¼
7KHPRWLRQUHVLVWDQFH GXH WRVRLOFRPSDFWLRQZDVGHWHUPLQHG E\ :RQJ
 
ª§ . Q  º
·] 
5L E «¨ F  . I ¸ L » 
«¬© E ¹ Q   »¼
7KHZKHHOWKUXVWZDVFRPSXWHGDV :RQJ 
T U

§ §§ N · Q· ·§  >T T  L VLQT VLQT @ ·¸ 
7+ U E ¨F  ¨¨¨¨ F  NI ¸¸ U FRVT  FRVT ¸ WDQI ¸¨ H N ˜ FRVT GT 

³
¨
© © E ¹
¸
¹
¸¨
¹©
¸
¹
7ZRVHWVRIVLPXODWLRQUHVXOWVDUHSUHVHQWHGEHORZ7KHILUVWVLPXODWLRQ
ZDVWKHWUDYHUVHRIJHQWO\ UROOLQJWHUUDLQDVVHHQLQ)LJ7KHYHORFLW\
FRQWUROOHG V\VWHP ZDV FRPPDQGHG E\ DQ LQGLYLGXDOZKHHO 3,' FRQWURO
VFKHPH ZLWK D GHVLUHG DQJXODUYHORFLW\RIUDGVHF7KHURXJKWHUUDLQ
FRQWURO V\VWHP ZDV FRPPDQGHG E\ D KRUL]RQWDO LQHUWLDO IRUFH YHFWRU RI
PDJQLWXGHHTXDOWRWKHGLIIHUHQFHEHWZHHQWKHGHVLUHGERG\YHORFLW\RI 
FPVHF DQG WKH DFWXDO ERG\ YHORFLW\ GLYLGHG E\ WKH YHKLFOH PDVV 7KH
GXDOFULWHULD RSWLPL]DWLRQ WKUHVKROG & ZDV VHW HTXDO WR q VLQFH WHUUDLQ
ZLWK JURXQGFRQWDFW DQJOHV OHVV WKDQqFDQ JHQHUDOO\EHFRQVLGHUHG EH
QLJQ
 5HVXOWV²5RXJK7HUUDLQ&RQWURO 

0. 1

0.0 8

0.0 6

0.0 4

0.0 2
Height (m)

-0.0 2

-0.0 4

-0.0 6

-0.0 8

-0. 1
0 0.25 0.5 0.75 1.0 1.25 1.5
Longitudinal Distance (m)

)LJ 6LPXODWHGEHQLJQWHUUDLQSURILOH

%RWKWKHYHORFLW\FRQWUROOHGV\VWHPDQG WKHURXJKWHUUDLQFRQWUROV\VWHP
VXFFHVVIXOO\WUDYHUVHGWKH EHQLJQ WHUUDLQ+RZHYHU WKHHQHUJ\ FRQVXPHG
E\WKHURXJKWHUUDLQFRQWUROV\VWHP ZDV -FRPSDUHGWR-E\ WKH
YHORFLW\FRQWUROOHGV\VWHPDQLPSURYHPHQWRI 7KLVSRZHUVDYLQJV
LVGXHWRUHGXFHGZKHHOVOLSDVVKRZQ LQ)LJ 7KHURXJKWHUUDLQFRQ
WUROV\VWHPKDVDQDYHUDJH VOLSUDWLR RIGXULQJWKHWUDYHUVHZKLOHWKH
YHORFLW\FRQWUROOHGV\VWHPKDVDQDYHUDJH VOLSRI7KH GXDOFULWHULD
RSWLPL]DWLRQ ZDV LQ HQHUJ\PLQLPL]DWLRQ PRGH GXULQJ PRVW RI WKH WUDY
HUVH 7KXV HYHQLQUHODWLYHO\JHQWOHWHUUDLQWKHURXJKWHUUDLQFRQWUROFDQ
EHEHQHILFLDOE\UHGXFLQJSRZHUFRQVXPSWLRQ
 &KDSWHU 5RXJK7HUUDLQ &RQWURO

1
Velocity Control
0.9
Rough Terrain Control
0.8

0.7

0.6
Slip Ratio

0.5

0.4

0.3

0.2

0.1

0
0 0.5 1 1.5 2 2.5 3 3.5 4 4.5 5
Longitudinal Distance (m)

)LJ$YHUDJHVOLSUDWLR RIIURQW DQGUHDUZKHHOV IRUURXJKWHUUDLQFRQWUROV\V


WHPDQGYHORFLW\FRQWUROOHG V\VWHP

7KH VHFRQG VLPXODWLRQ ZDV WKH WUDYHUVH RI KLJKO\ FKDOOHQJLQJ WHUUDLQ
VHHQLQ)LJ7KHPD[LPXP VORSHVLQWKLVWHUUDLQDUHQHDU WKHLQWHUQDO
IULFWLRQDQJOHRIWKHVRLO &RQWUROSDUDPHWHUVZHUHWKHVDPHDVWKHSUHYL
RXVVLPXODWLRQ
,Q WKLV VLPXODWLRQ WKH URXJK WHUUDLQ FRQWURO V\VWHP LV DEOH WR FRPSOHWH
WKHWUDYHUVHZKLOHWKHYHORFLW\FRQWUROOHG V\VWHPLVQRW7KLVLVGXHWRWKH
DGGLWLRQDO WKUXVW IRUFH JHQHUDWHG E\ WKH URXJK WHUUDLQ FRQWURO DOJRULWKP
VKRZQ LQ )LJ   7KH WRWDO ZKHHO WKUXVW JHQHUDWHG E\ WKH URXJK WHUUDLQ
FRQWURO V\VWHP UHPDLQV KLJKHU WKDQ WKH WKUXVW JHQHUDWHG E\ WKH YHORFLW\
FRQWUROOHG V\VWHPGXULQJPRVWRI WKH WUDYHUVH,Q WKLVFDVHWKHURXJKWHU
UDLQ FRQWURO V\VWHP FRPPDQGV LQFUHDVHG WRUTXH WR WKH UHDU ZKHHO ZKLFK
KDV D PXFK KLJKHU ORDG WKDQ WKH IURQW ZKHHO UHVXOWLQJ LQ LQFUHDVHG QHW
WKUXVW  7KH GXDOFULWHULD RSWLPL]DWLRQ UHPDLQHG LQ WUDFWLRQ PD[LPL]DWLRQ
PRGHIRUWKHPDMRULW\RIWKHWUDYHUVH
7KH DYHUDJH ZKHHO VOLS LQ WKH URXJK WHUUDLQ FRQWURO V\VWHP UHPDLQHG
ORZHU WKDQ WKH YHORFLW\FRQWUROOHG V\VWHP GXULQJ PRVW RI WKH WUDYHUVH DV
VHHQLQ)LJ1RWHWKDWDOWKRXJKVLJQLILFDQWVOLSUHPDLQHGLQ WKHURXJK
WHUUDLQ FRQWUROV\VWHPWKLVLVGXHWRFKDOOHQJLQJ QDWXUHRIWKHWHUUDLQ
 5HVXOWV²5RXJK7HUUDLQ&RQWURO 

1.8

1.6

1.4
Terrain Elevation (m)

1.2

0.8

0.6

0.4

0.2

0
0 0.5 1 1.5 2 2.5 3 3.5 4 4.5 5
Longitudinal Distance (m)

)LJ 6LPXODWHGFKDOOHQJLQJWHUUDLQ

60
Velocity Control
Rough Terrain Control
50
Total Wheel Thrust Force (N)

40

30

20

10

0
0 0.5 1 1.5 2 2. 5 3 3. 5 4 4. 5 5
Longitudinal Distance (m)

)LJ7RWDOZKHHOWKUXVWRI URXJKWHUUDLQFRQWUROV\VWHPYVYHORFLW\FRQWUROOHG
V\VWHP
 &KDSWHU 5RXJK7HUUDLQ &RQWURO

1
Velocity Control
0.9
Rough Terrain Control
0.8

0.7

0.6
Slip Ratio

0.5

0.4

0.3

0.2

0.1

0
0 0.5 1 1.5 2 2.5 3 3.5 4 4.5 5
Longitudinal Distance (m)

)LJ $YHUDJHVOLSUDWLRRIIURQW DQGUHDU ZKHHOVRIURXJKWHUUDLQFRQWUROV\V


WHPYV YHORFLW\FRQWUROOHGV\VWHP

!([SHULPHQWDO 5HVXOWV

7KH!URXJK!WHUUDLQ!FRQWURO!DOJRULWKP!ZDV!DSSOLHG!WR!D!VL[ZKHHOHG!H[SHUL
PHQWDO!URYHU!RSHUDWLQJ!LQ!DQ!LQGRRU!URXJK!WHUUDLQ!HQYLURQPHQW!VKRZQ!LQ
)LJ!!7KLV!URYHU!LV!GHVFULEHG!LQ!GHWDLO!LQ!6HFW!!)LUVW!D!JRQRJR
GLWFK!WUDYHUVDO!H[SHULPHQW!ZDV!SHUIRUPHG!WR!H[DPLQH!WKH!PRELOLW\!LP
SURYHPHQW!SURYLGHG!E\!WKH!URXJK!WHUUDLQ!FRQWURO!DOJRULWKP!FRPSDUHG!WR
LQGLYLGXDOZKHHO YHORFLW\ FRQWURO
7KH!URYHU!ZDV!FRPPDQGHG!WR!WUDYHUVH!D!GLWFK!FRYHUHG!E\!ORRVH!VDQG\
VRLO! 7KH!PD[LPXP!GHSWK!RI!WKH!GLWFK!ZDV!DSSUR[LPDWHO\!RQH!ZKHHO!GL
DPHWHU! 7KH!ZLGWK!RI!WKH!GLWFK!YDULHG!IURP!DSSUR[LPDWHO\!WZR!WR!IRXU
ZKHHO!GLDPHWHUV!7KH!ZKHHOWHUUDLQ!FRQWDFW!DQJOHV!ZHUH!REVHUYHG!WR!YDU\
JUHDWO\!GXULQJ!WUDYHUVDO!RI!WKH!GLWFK!DV!VKRZQ!LQ!)LJ!! 7KXV!GLWFK
WUDYHUVDO LV D FKDOOHQJLQJ PRELOLW\ WDVN
 5HVXOWV²5RXJK7HUUDLQ&RQWURO 

)LJ([SHULPHQWDOURYHUGXULQJJRQRJRGLWFKWUDYHUVDOH[SHULPHQW

30
Front Wheel
20 Middle Wheel
Rear Wheel
Wheel-Terrain Contact Angles (deg)

10

-10

-20

-30

-40
0 2 4 6 8 10 12 14 16
Time (sec)

)LJ  :KHHOWHUUDLQ FRQWDFW DQJOHV GXULQJ GLWFK WUDYHUVDO ULJKW VLGH FRQWDFW
DQJOHVVKRZQ
 &KDSWHU 5RXJK7HUUDLQ &RQWURO

,W ZDV REVHUYHG WKDW WKH YHORFLW\ FRQWUROOHG V\VWHP VXFFHVVIXOO\ FRP


SOHWHGWKHWUDYHUVHWLPHVRXWRIZKLOHWKHURXJKWHUUDLQFRQWUROV\VWHP
VXFFHVVIXOO\ WUDYHUVHG WKH GLWFK  WLPHV RXW RI  DQ LPSURYHPHQW RI
9DULDELOLW\LQWKHUHVXOWVDUHGXHWRLUUHJXODULW\LQVRLOFRPSDFWQHVV
DQGGLVWULEXWLRQDQGLQWKHGLWFKWUDYHUVDOURXWH
0RELOLW\LPSURYHPHQWGXH WRURXJKWHUUDLQFRQWURO FDQ EHXQGHUVWRRG E\
H[DPLQLQJDWLPHKLVWRU\RIWKHURYHU¶VULJKWVLGHZKHHOQRUPDOIRUFHV GXU
LQJGLWFKWUDYHUVDOVKRZQ LQ)LJ $WWLPHW ZKHQWKHURYHULV RQ
IODWWHUUDLQ LW FDQ EH VHHQ WKDW WKHV\VWHP ZHLJKW LV XQHYHQO\ GLVWULEXWHG
ZLWK WKH UHDU ZKHHO EHDULQJ DSSUR[LPDWHO\  RI WKH URYHU ZHLJKW WKH
PLGGOH ZKHHO EHDULQJ  DQG WKH IURQW ZKHHO   7KLV LV GXH WR WKH
URERW¶VVXVSHQVLRQFRQILJXUDWLRQ'XULQJWUDYHUVDOWKHQRUPDOIRUFHVYDU\
E\ DVPXFKDVFRPSDUHGWRWKHLULQLWLDOYDOXHV
40

35

30
Normal Force (N)

25

20

15
Front Wheel
Middle Wheel
10 Rear Wheel

0
0 2 4 6 8 10 12 14 16
Time (sec)

)LJ 1RUPDOIRUFHVGXULQJGLWFKWUDYHUVDO ULJKWVLGHIRUFHVVKRZQ 

7KHYHORFLW\ FRQWUROOHUDSSOLHVWKHWRUTXH QHFHVVDU\ WRDFKLHYHDGHVLUHG


DQJXODUYHORFLW\7KLVUHVXOWVLQDSSOLHGWKUXVWWKDWLV JHQHUDOO\HLWKHUOHVV
WKDQRU JUHDWHUWKDQWKH PD[LPXP WKUXVWWKHVRLOFDQ EHDU,IWKHDSSOLHG
WKUXVWLVOHVVWKDQPD[LPXPWKHUHVXOWLQJWRWDOWKUXVWH[HUWHG E\ WKHURYHU
LVVXERSWLPDO,IWKH DSSOLHGWKUXVWLV JUHDWHUWKDQPD[LPXPVRLOIDLOXUH
RFFXUVDQGZKHHOVOLSUHVXOWV
 5HVXOWV²5RXJK7HUUDLQ&RQWURO 

&RQYHUVHO\ WKH URXJK WHUUDLQ FRQWURO V\VWHP DWWHPSWV WR DSSO\ WKH
PD[LPXPWKUXVWWKHVRLOFDQEHDU 7KXVWKHUHDUZKHHO ZKLFK KDVKLJK
QRUPDO IRUFH  LV FRPPDQGHG JUHDWHU WRUTXH WKDQ WKH IURQW ZKHHO ZKLFK
KDVDORZQRUPDOIRUFH  7KHUHVXOWLQJ QHWYHKLFOHWKUXVWLVJUHDWHUWKDQWKH
YHORFLW\FRQWUROOHG V\VWHP UHVXOWLQJ LQ LPSURYHG URXJK WHUUDLQ PRELOLW\
,Q WKHVH H[SHULPHQWV HVWLPDWHV RI WKH WHUUDLQ SDUDPHWHUV F DQG I ZHUH
EDVHGRQUHVXOWVREWDLQHG IURP SDUDPHWHULGHQWLILFDWLRQ H[SHULPHQWV
$VHFRQGH[SHULPHQWZDVSHUIRUPHGWRTXDQWLI\WKHWKUXVWLQFUHDVHJHQ
HUDWHGE\ WKHURXJKWHUUDLQFRQWURODOJRULWKP$ZHLJKWHG DOXPLQXPVOHG
ZDVDWWDFKHG WRDIRUFHWRUTXHVHQVRUPRXQWHGDWWKHIURQWRIWKHURYHU DV
VKRZQLQ)LJ7KHIRUFHH[HUWHGRQWKHVOHGZDVPHDVXUHGGXULQJWKH
GLWFKWUDYHUVHZLWKDVL[D[LVIRUFHWRUTXHVHQVRU 5HVXOWVRIDUHSUHVHQWD
WLYHSDLURIWULDOVDUHVKRZQLQ)LJ

)RUFH 6OHG
6HQVRU

)LJ5RYHUGXULQJWKUXVWIRUFHPHDVXUHPHQW H[SHULPHQW

,W FDQ EH VHHQ WKDW WKH URXJK WHUUDLQ FRQWURO V\VWHP JHQHUDWHG JUHDWHU
WKUXVWWKDQ WKHYHORFLW\FRQWUROOHG V\VWHP GXULQJWKH PDMRULW\RIWKHWUDY
HUVH$JDLQWKLVWKUXVWLQFUHDVHLVGXHWRRSWLPL]DWLRQRIWKHZKHHOWRUTXH
GLVWULEXWLRQE\ WKHURXJKWHUUDLQFRQWURODOJRULWKP 7KHDYHUDJHWKUXVWLP
SURYHPHQWZDVDVXEVWDQWLDOLPSURYHPHQW7KLVWKUXVWLPSURYHPHQW
DOORZV D URXJK WHUUDLQ FRQWURO URYHU WR WUDYHUVH PRUH FKDOOHQJLQJ WHUUDLQ
WKDQDYHORFLW\FRQWUROOHGURYHU
 &KDSWHU 5RXJK7HUUDLQ &RQWURO

25

Velocity Control
Rough Terrain Control
Total Wheel Thrust Force (N) 20

15

10

0
0 2 4 6 8 10 12 14 16
Time (sec)

)LJ7KUXVWIRUFHGXULQJGLWFKWUDYHUVDOZLWKURXJKWHUUDLQFRQWURODQGYHORF
LW\FRQWURO

 6XPPDU\ DQG&RQFOXVLRQV

5RXJK WHUUDLQ FRQWURO DOJRULWKPV PXVW DGDSW WR FKDQJLQJ WHUUDLQ XQHYHQ
QHVVDQGWUDFWLRQFKDUDFWHULVWLFVWRRSWLPL]HPRELOLW\ 2QHDSSURDFKWRDF
FRPSOLVKLQJWKLVLVWRH[SORLWWKHDFWXDWRUUHGXQGDQF\SUHVHQWLQPRVWPR
ELOHURERWV
,Q WKLV FKDSWHU D URXJK WHUUDLQ FRQWURO PHWKRG KDV EHHQ SUHVHQWHG WKDW
PD[LPL]HVWUDFWLRQRUPLQLPL]HVSRZHU FRQVXPSWLRQGHSHQGLQJRQWKHOR
FDO WHUUDLQ SURILOH  6LPXODWLRQ UHVXOWV KDYH VKRZQ WKDW WKH FRQWURO DOJR
ULWKP FRQVXPHVOHVV SRZHUDQG SURYLGHV JUHDWHU PRELOLW\WKDQWUDGLWLRQDO
LQGLYLGXDOZKHHO YHORFLW\ FRQWURO ([SHULPHQWDOUHVXOWV RQ DVL[ZKHHOHG
URYHUKDYHVKRZQWKDWWKHURXJKWHUUDLQ FRQWUROPHWKRGUHVXOWVLQ PHDVXUD
EO\LPSURYHGPRELOLW\RYHUFKDOOHQJLQJWHUUDLQ
&KDSWHU  !
&RQFOXVLRQV DQG 6XJJHVWLRQV
IRU!)XWXUH :RUN

!&RQWULEXWLRQV RI TKLV 0RQRJUDSK

7KLV!PRQRJUDSK!KDV!SUHVHQWHG!HVWLPDWLRQ!PRWLRQ!SODQQLQJ!DQG!FRQWURO
PHWKRGV!IRU!LPSURYHG!PRELOH!URERW!PRELOLW\!LQ!URXJK!WHUUDLQ!HQYLURQ
PHQWV WKURXJK WKH XVH RI SK\VLFDO PRGHOV RI WKH URYHU DQG WHUUDLQ
,Q!&KDS!!WKH!URXJK!WHUUDLQ!PRGHOLQJ!PRWLRQ!SODQQLQJ!DQG!FRQWURO
SUREOHPV!ZHUH!LQWURGXFHG!,PSRUWDQW!DSSOLFDWLRQV!ZHUH!GHVFULEHG!WKDW!UH
TXLUH URERWV WR RSHUDWH LQ URXJK XQVWUXFWXUHG HQYLURQPHQWV!+RZHYHU UR
ERW!PRELOLW\!LQ!URXJK!WHUUDLQ!LV!IXQGDPHQWDOO\!GLIIHUHQW!WKDQ!LQ!VWUXFWXUHG
LQGRRU!HQYLURQPHQWV!6SHFLILFDOO\!RSHUDWLRQ!LQ!URXJK!WHUUDLQ!UHTXLUHV!WKDW
D!URERW!XWLOL]H!VRPH!NQRZOHGJH!RI!WKH!VXUURXQGLQJ!WHUUDLQ! 0HWKRGV!IRU
URERW!PRGHOLQJ!PRWLRQ!SODQQLQJ!DQG!FRQWURO!ZHUH!LQWURGXFHG!DQG!SUHYL
RXV UHVHDUFK LQ WKHVH DUHDV ZDV UHYLHZHG
,Q &KDS  D PHWKRG IRU HVWLPDWLQJ WHUUDLQ FRKHVLRQ DQG LQWHUQDO IULFWLRQ
DQJOH!GXULQJ!URYHU!PRWLRQ!ZDV!SUHVHQWHG!7KHVH!SDUDPHWHUV!DOORZ!SUHGLF
WLRQ!RI!WHUUDLQ!WUDYHUVDELOLW\!DQG!DUH!LPSRUWDQW!HOHPHQWV!RI!WKH!URXJK!WHU
UDLQ!PRWLRQ!SODQQLQJ!DQG!FRQWURO!DOJRULWKPV!SUHVHQWHG!ODWHU!LQ!WKH!PRQR
JUDSK!$Q DOJRULWKP IRU RQOLQH HVWLPDWLRQ RI ZKHHOWHUUDLQ FRQWDFW DQJOHV
ZDV!DOVR!SUHVHQWHG! 7KHVH!FRQWDFW!DQJOHV!DUH!UHTXLUHG!IRU!URYHU!DQDO\VLV
DQG!FRQWURO! 6LPXODWLRQ!DQG!H[SHULPHQWDO!UHVXOWV!VKRZHG!WKDW!WHUUDLQ!SD
UDPHWHUV!DQG!ZKHHOWHUUDLQ!FRQWDFW!DQJOHV!FDQ!EH!HVWLPDWHG!RQOLQH!ZLWK
JRRG DFFXUDF\
,Q!&KDS!!WZR!URXJK!WHUUDLQ!PRWLRQ!SODQQLQJ!DOJRULWKPV!ZHUH!SUH
VHQWHG WKDW XWLOL]H WKH!PRGHOV DQG WHFKQLTXHV!SUHVHQWHG LQ &KDS !$ SDWK
SODQQLQJ!DOJRULWKP!ZDV!SUHVHQWHG!WKDW!DOORZV!UDSLG!DXWRQRPRXV!GHWHUPL
QDWLRQ!RI!D!VDIH!SDWK!WKURXJK!XQHYHQ!WHUUDLQ! 6LPXODWLRQ!UHVXOWV!VKRZHG
WKDW!WKH!DOJRULWKP!IRXQG!VKRUWHU!VDIHU!SDWKV!WKDQ!D!WUDGLWLRQDO!SODQQLQJ
PHWKRG!$Q!DOJRULWKP!IRU!FRQILJXUDWLRQ!SODQQLQJ!RI!D!URYHU¶V!DFWLYHO\!DU
WLFXODWHG VXVSHQVLRQ ZDV DOVR SUHVHQWHG!7KLV DOJRULWKP ZDV DSSOLHG WR WKH
SDUWLFXODU!FDVH!RI!LPSURYLQJ!WLSRYHU!VWDELOLW\!LQ!URXJK!WHUUDLQ!6LPXODWLRQ

K. Iagnemma and S. Dubovsky: Mobile Robots in Rough Terrain, STAR 12, pp. 97–99, 2004.
© Springer-Verlag Berlin Heidelberg 2004
 &KDSWHU &RQFOXVLRQVDQG6XJJHVWLRQVIRU)XWXUH:RUN

DQGH[SHULPHQWDOUHVXOWVVKRZHGWKDWWKH DOJRULWKP VXEVWDQWLDOO\LPSURYHG


WKHWLSRYHUVWDELOLW\ RIWKH-3/655LQURXJKQDWXUDOWHUUDLQ
,Q &KDSDURXJK WHUUDLQ FRQWURO DOJRULWKPZDVSUHVHQWHGWKDWXVHVD
PXOWLFULWHULDRSWLPL]DWLRQ PHWKRGWRPD[LPL]HSRZHUHIILFLHQF\RUZKHHO
WUDFWLRQGHSHQGLQJRQWKHORFDOWHUUDLQSURILOH7KHDOJRULWKPUHOLHV RQWKH
WHUUDLQ PRGHOVDQGHVWLPDWLRQWHFKQLTXHVSUHVHQWHGLQ &KDS6LPXODWLRQ
DQGH[SHULPHQWDOUHVXOWVVKRZHGWKDWWKHDOJRULWKPOHDGVWRLPSURYHGSHU
IRUPDQFHLQURXJKWHUUDLQ FRPSDUHGWRWUDGLWLRQDOLQGLYLGXDOZKHHOYHORF
LW\FRQWURO
,Q VXPPDU\ WKLV ZRUN KDV SUHVHQWHG QRYHO WHFKQLTXHV IRU HVWLPDWLRQ
PRWLRQSODQQLQJDQGFRQWUROWKDWH[SORLWDQXQGHUVWDQGLQJ RIWHUUDLQLQWHU
DFWLRQ WR DOORZ D PRELOH URERW WR LPSURYH LWV PRELOLW\ LQ URXJK XQVWUXF
WXUHGHQYLURQPHQWV

 6XJJHVWLRQVIRU)XUWKHU:RUN

7KLV PRQRJUDSK KDV LQYHVWLJDWHG VHYHUDO DVSHFWV UHODWHG WR URXJK WHUUDLQ
PRELOLW\ $OWKRXJKVXEVWDQWLDOZRUNKDV EHHQFRPSOHWHGQXPHURXVDYH
QXHVRIIXWXUHUHVHDUFKH[LVW
7KH WHUUDLQ SDUDPHWHU HVWLPDWLRQ PHWKRGRORJ\ SUHVHQWHG LQ &KDS  LV
YDOLGIRUWKHFDVH RIULJLG ZKHHOVRQ GHIRUPDEOHWHUUDLQ$OWKRXJKWKLVLV D
FRPPRQO\RFFXUULQJFDVH DQGLVWKHH[SHFWHGFDVHIRUSODQHWDU\ H[SORUD
WLRQURYHUV LWZRXOGEH XVHIXOWRH[WHQGWKHSURSRVHGDSSURDFKWRWKHFDVH
RIGHIRUPDEOHZKHHOVLQ ULJLGRU GHIRUPDEOH WHUUDLQ$OVRWKHLQWHJUDWLRQ
RIDGGLWLRQDOVHQVLQJPRGHV VXFKFRORUDQGWH[WXUH FRXOG\LHOGDGGLWLRQDO
FXHVWR LPSURYHDQ RYHUDOOXQGHUVWDQGLQJRIWHUUDLQ FRPSRVLWLRQ 7KLV LV
DQDUHD RIFXUUHQWUHVHDUFKDW0,7 2WKHUFXUUHQWZRUNLVIRFXVHGRQ GH
YHORSLQJ QRQSDUDPHWULF PHWKRGV IRU WUDYHUVDELOLW\ DVVHVVPHQW  )RU H[
DPSOHLQVWHDGRIH[SOLFLWO\HVWLPDWLQJFRKHVLRQDQGLQWHUQDOIULFWLRQDQJOH
ZHDUHVWXG\LQJ PHWKRGVWKDWUHVXOW LQOLQJXLVWLF LH³SRRU´³DGHTXDWH´
RU³JRRG´ DVVHVVPHQWVRIDUHJLRQ¶VWUDYHUVDELOLW\
7KHURXJKWHUUDLQ SODQQLQJDOJRULWKPSUHVHQWHG LQ&KDSLVVXLWDEOHIRU
RQOLQHLPSOHPHQWDWLRQEXWFDQEHFRPSXWDWLRQDOO\ FXPEHUVRPH IRUODUJH
WHUUDLQPDSV 0RUHHIILFLHQWVHDUFKDOJRULWKPVFRXOGEHHPSOR\HGLQWKH
UDSLGVHDUFKVWHS WRUHGXFH FRPSXWDWLRQWLPH$OVRWKHDOJRULWKPJOREDOO\
UHSODQVWKHSDWKZKHQLWLVGHHPHGXQVDIHDWDQ\SRLQW/RFDOUHSODQQLQJ
FRXOG OHDG WR PRUH HIILFLHQW FRPSXWDWLRQ  7KH LQWHJUDWLRQ RI UHFHQW
KLJKO\HIILFLHQWVHDUFKDOJRULWKPV VXFKDVSUREDELOLVWLFURDGPDSVPLJKWEH
XVHIXOLQWKLV UHJDUG
7KH DUWLFXODWHG VXVSHQVLRQ FRQILJXUDWLRQ SODQQLQJ DOJRULWKP SUHVHQWHG
LQ &KDS  LV D JHQHUDO DOJRULWKP ZLWK ZLGH DSSOLFDELOLW\ EXW KDV EHHQ
 &RQWULEXWLRQVRIWKLV0RQRJUDSK 

VWXGLHGIRUWKHVSHFLILFFDVHRIWLSRYHUVWDELOLW\RSWLPL]DWLRQ7KLV PHWKRG
FRXOGEH DSSOLHGWRRWKHUFULWHULDVXFKDV PD[LPL]DWLRQRIZKHHOWUDFWLRQ
,W FRXOG DOVR EH DSSOLHG WR G\QDPLF VLWXDWLRQV IRU URERWV PRYLQJ DW KLJK
VSHHGV
5HIHUHQFHV

$URUD -  ,QWURGXFWLRQ WR RSWLPXP GHVLJQ!0F*UDZ+LOO 1HZ <RUN


%DODUDP -  .LQHPDWLF VWDWH HVWLPDWLRQ IRU D 0DUV URYHU!5RERWLFD  
%HNNHU *  7KHRU\ RI ODQG ORFRPRWLRQ!8QLYHUVLW\ RI 0LFKLJDQ 3UHVV $QQ $UERU
%HNNHU!*!  !,QWURGXFWLRQ!WR!WHUUDLQYHKLFOH!V\VWHPV! 8QLYHUVLW\!RI!0LFKLJDQ!3UHVV
$QQ $UERU
%HOOXWWD!3!0DQGXFKL!5!0DWWKLHV!/!2ZHQV!.!5DQNLQ!$!  ! 7HUUDLQ!SHUFHSWLRQ!IRU
'(02 ,,,!,Q 3URF ,QWHOOLJHQW 9HKLFOH 6\PSRVLXP
%HQ!$PDU!)!%LGDXG!3!  !'\QDPLF!DQDO\VLV!RI!RIIURDG!YHKLFOHV! ,Q!3URFHHGLQJV!RI
WKH IRXUWK LQWHUQDWLRQDO V\PSRVLXP RQ H[SHULPHQWDO URERWLFV!SS 
%HUQDUG!'!*RORPEHN!0!  !&UDWHU!DQG!URFN!KD]DUG!PRGHOLQJ!IRU!0DUV!ODQGLQJ! ,Q
3URFHHGLQJV RI WKH $,$$ VSDFH FRQIHUHQFH
%LFNOHU!'!  !$!QHZ!IDPLO\!RI!-3/!SODQHWDU\!VXUIDFH!YHKLFOHV!,Q!0LVVLRQV!WHFKQROR
JLHV DQG GHVLJQ RI SODQHWDU\ PRELOH YHKLFOHV!SS 
%RQQDIRXV ' /DFURL[ 6 6LPHRQ 7  0RWLRQ JHQHUDWLRQ IRU D URYHU RQ URXJK WHUUDLQV
,Q!3URFHHGLQJV!RI!WKH!!,(((56-!LQWHUQDWLRQDO!FRQIHUHQFH!RQ!LQWHOOLJHQW!URERWV
DQG V\VWHPV!SS 
%RUHQVWHLQ!-!(YHUHWW!%!)HQJ!/!  !1DYLJDWLQJ!PRELOH!URERWV!6\VWHPV!DQG!WHFKQLTXHV
$ . 3HWHUV /WG :HOOHVOH\
%URZQ!5!+ZDQJ!3!  !,QWURGXFWLRQ!WR!UDQGRP!VLJQDOV!DQG!DSSOLHG!.DOPDQ!ILOWHULQJ
-RKQ :LOH\ DQG 6RQV
%XUQ 5  'HVLJQ RI D 0DUV H[SORUDWLRQ URYHU!06 7KHVLV 0DVVDFKXVHWWV ,QVWLWXWH RI
7HFKQRORJ\
&DUU 0  :DWHU RQ 0DUV!2[IRUG 8QLYHUVLW\ 3UHVV
&DXULQ!*!7VFKLFKROG*XUPDQ!1!  !7KH!GHYHORSPHQW!RI!D!URERWEHUUDLQ!LQWHUDFWLRQ
V\VWHP IRU ZDONLQJ PDFKLQHV!,Q 3URFHHGLQJV RI WKH ,((( LQWHUQDWLRQDO FRQIHUHQFH RQ
URERWLFV DQG DXWRPDWLRQ!YRO  SS 
&KDQFORX!%!/XFLDQL!$!  !*OREDO!DQG!ORFDO!SDWK!SODQQLQJ!LQ!QDWXUDO!HQYLURQPHQWV!E\
SK\VLFDO!PRGHOLQJ! ,Q!3URFHHGLQJV!RI!WKH!LQWHUQDWLRQDO!FRQIHUHQFH!RQ!LQWHOOLJHQW!UR
ERWV DQG V\VWHPV!SS!
&KHRN!.!+RRJWHUS!)!)DOHV!:!+RED\DVKL!.!6FDFFLD!6!  !)X]]\!ORJLF!DSSURDFK!WR
WUDFWLRQ FRQWURO GHVLJQ!,Q (OHFWURQLF EUDNLQJ WUDFWLRQ DQG VWDELOLW\ FRQWURO!6$( SD
SHU QXPEHU 
&KHULI!0!  !.LQRG\QDPLF!PRWLRQ!SODQQLQJ!IRU!DOOWHUUDLQ!ZKHHOHG!YHKLFOHV! ,Q!3UR
FHHGLQJV!RI!WKH!,(((!LQWHUQDWLRQDO!FRQIHUHQFH!RQ!URERWLFV!DQG!DXWRPDWLRQ! SS! 

&KHULI!0!/DXJLHU!&!  !'HDOLQJ!ZLWK!YHKLFOHWHUUDLQ!LQWHUDFWLRQV!ZKHQ!SODQQLQJ!WKH
PRWLRQV!RI!D!URYHU!,Q!3URFHHGLQJV!RI!WKH!,(((!LQWHUQDWLRQDO!FRQIHUHQFH!RQ!URERWLFV
DQG DXWRPDWLRQ!SS!
&KRL % 6UHHQLYDVDQ 6  0RWLRQ SODQQLQJ RI D ZKHHOHG PRELOH URERW ZLWK VOLSIUHH FD
SDELOLW\!RQ!D!VPRRWK!XQHYHQ!VXUIDFH! ,Q!3URFHHGLQJV!RI!WKH!,(((!LQWHUQDWLRQDO!FRQ
IHUHQFH RQ URERWLFV DQG DXWRPDWLRQ!SS 
! 5HIHUHQFHV

&KXQJ!:!:DOGURQ!.!  !)RUFH!GLVWULEXWLRQ!E\!RSWLPL]LQJ!DQJOHV!IRU!PXOWLILQJHU!V\V


WHPV! ,Q!3URFHHGLQJV!RI!WKH!,(((!LQWHUQDWLRQDO!FRQIHUHQFH!RQ!URERWLFV!DQG!DXWRPD
WLRQ!YRO  SS 
&KRWWLQHU -  6LPXODWLRQ RI D VL[ZKHHOHG 0DUWLDQ URYHU FDOOHG WKH URFNHU ERJLH!06
7KHVLV 2KLR 6WDWH 8QLYHUVLW\
&XQQLQJKDP - &RUNH!3 'XUUDQW:K\WH!+ 'DO]LHO 0  !$XWRPDWHG /+'V DQG XQGHU
JURXQG KDXODJH WUXFNV!$XVWUDOLDQ - 0LQLQJ SS
'XERZVN\!6!0RRUH!&!6XQDGD!&!  !2Q!WKH!GHVLJQ!DQG!WDVN!SODQQLQJ!RI!SRZHU
HIILFLHQW!ILHOG!URERWLF!V\VWHPV!,Q!3URFHHGLQJV!RI!WKH!VL[WK!$16!URERWLFV!DQG!UHPRWH
V\VWHPV FRQIHUHQFH
(FNKDUGW!+!  !.LQHPDWLF!GHVLJQ!RI!PDFKLQHV!DQG!PHFKDQLVPV! 0F*UDZ+LOO!1HZ
<RUN
)DUULWRU 6 D 2Q PRGXODU GHVLJQ DQG SODQQLQJ IRU ILHOG URERWLF V\VWHPV!3K' 7KHVLV
0DVVDFKXVHWWV ,QVWLWXWH RI 7HFKQRORJ\
)DUULWRU!6!+DFRW!+!'XERZVN\!6! E !3K\VLFVEDVHG!SODQQLQJ!IRU!SODQHWDU\!H[SORUD
WLRQ!,Q 3URFHHGLQJV RI WKH ,((( LQWHUQDWLRQDO FRQIHUHQFH RQ URERWLFV DQG DXWRPDWLRQ
SS 
*DMMDU!%!-RKQVRQ!5!  !.LQHPDWLF!PRGHOLQJ!RI!WHUUDLQ!DGDSWLQJ!ZKHHOHG!PRELOH!URERW
IRU 0DUV H[SORUDWLRQ!,Q 3URFHHGLQJV RI WKH WKLUG LQWHUQDWLRQDO ZRUNVKRS RQ URERW PR
WLRQ DQG FRQWURO!SS 
*LIIRUG . 0XUSK\ 5  ,QFRUSRUDWLQJ WHUUDLQ XQFHUWDLQWLHV LQ DXWRQRPRXV YHKLFOH SDWK
SODQQLQJ!,Q 3URFHHGLQJV RI WKH LQWHUQDWLRQDO FRQIHUHQFH RQ LQWHOOLJHQW URERWV DQG V\V
WHPV!SS 
*ROXE * YDQ /RDQ &  0DWUL[ FRPSXWDWLRQV!-+8 3UHVV
*RQWKLHU!<!3DSDGRSRXORV!(!  ! 2Q!WKH!GHYHORSPHQW!RI!D!UHDOWLPH!VLPXODWRU!IRU!DQ
HOHFWURK\GUDXOLF!IRUHVWU\!PDFKLQH!,Q!3URFHHGLQJV!RI!,(((!LQWHUQDWLRQDO!FRQIHUHQFH
RQ URERWLFV DQG DXWRPDWLRQ
+DFRW + !  $QDO\VLV DQG WUDFWLRQ FRQWURO RI D URFNHUERJLH SODQHWDU\ URYHU!06 7KH
VLV 0DVVDFKXVHWWV ,QVWLWXWH RI 7HFKQRORJ\
+DGGDG!+!.KDWLE!0!/DFURL[!6!&KDWLOD!5!  !5HDFWLYH!QDYLJDWLRQ!LQ!RXWGRRU!HQYLURQ
PHQWV!XVLQJ!SRWHQWLDO!ILHOGV!,Q!3URFHHGLQJV!RI!,(((!LQWHUQDWLRQDO!FRQIHUHQFH!RQ!UR
ERWLFV DQG DXWRPDWLRQ!SS 
+DLW!$!6LPHRQ!7!  !0RWLRQ!SODQQLQJ!RQ!URXJK!WHUUDLQ!IRU!DQ!DUWLFXODWHG!YHKLFOH!LQ
SUHVHQFH!RI!XQFHUWDLQWLHV! ,Q!3URFHHGLQJV!RI!WKH!,(((56-!LQWHUQDWLRQDO!V\PSRVLXP
RQ LQWHOOLJHQW URERWV DQG V\VWHPV!SS 
+D\DWL 6 9ROSH 5 %DFNHV 3 %DODUDP - :HOFK :  0LFURURYHU UHVHDUFK IRU H[SORUD
WLRQ!RI 0DUV!,Q 3URFHHGLQJV RI WKH!$,$$!IRUXP RQ!DGYDQFHG GHYHORSPHQWV!LQ!VSDFH
URERWLFV
+HEHUW!0!.URWNRY!(!  !'!0HDVXUHPHQWV!IURP!LPDJLQJ!ODVHU!UDGDUV!,PDJH!DQG!YL
VLRQ FRPSXWLQJ   
+XQJ 0 2ULQ ' :DOGURQ .  )RUFH GLVWULEXWLRQ HTXDWLRQV IRU JHQHUDO WUHHVWUXFWXUHG
URERWLF PHFKDQLVPV ZLWK D PRELOH EDVH!,Q 3URFHHGLQJV RI ,((( LQWHUQDWLRQDO FRQIHU
HQFH RQ URERWLFV DQG DXWRPDWLRQ!SS 
+XQWVEHUJHU!7!%DXPJDUWQHU!(!$JKD]DULDQ!+!&KHQJ!<!6FKHQNHU!3!/HJHU!3!,DJQHPPD
.!'XERZVN\!6!  !6HQVRU!IXVHG!DXWRQRPRXV!JXLGDQFH!RI!D!PRELOH!URERW!DQG!DS
SOLFDWLRQV!WR!0DUV!VDPSOH!UHWXUQ!RSHUDWLRQV!,Q!3URFHHGLQJV!RI!WKH!63,(!V\PSRVLXP
RQ VHQVRU IXVLRQ DQG GHFHQWUDOL]HG FRQWURO LQ URERWLF V\VWHPV!YRO 
!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!5HIHUHQFHV 

,DJQHPPD!.!%XUQ!5!:LOKHOP!(!'XERZVN\!6! E !([SHULPHQWDO!YDOLGDWLRQ!RI!SK\V


LFVEDVHG!SODQQLQJ!DQG!FRQWURO!DOJRULWKPV!IRU!SODQHWDU\!URERWLF!URYHUV! ,Q!3URFHHG
LQJV RI WKH VL[WK LQWHUQDWLRQDO V\PSRVLXP RQ H[SHULPHQWDO URERWLFV
,DJQHPPD!.!'XERZVN\!6! D !9HKLFOH!ZKHHOJURXQG!FRQWDFW!DQJOH!ZVWLPDWLRQ!ZLWK
DSSOLFDWLRQ!WR!PRELOH!URERW!WUDFWLRQ!FRQWURO!,Q!3URFHHGLQJV!RI!WKH!LQWHUQDWLRQDO!V\P
SRVLXP RQ DGYDQFHV LQ URERW NLQHPDWLFV
,DJQHPPD . 'XERZVN\ 6 E 0RELOH URERW URXJKWHUUDLQ FRQWURO 57& IRU SODQHWDU\
H[SORUDWLRQ! ,Q!3URFHHGLQJV!RI!WKH!WK!$60(!ELHQQLDO!PHFKDQLVPV!DQG!URERWLFV
FRQIHUHQFH '(7&
,DJQHPPD!.!.DQJ!6!%URRNV!&!'XERZVN\!6!  !0XOWLVHQVRU!WHUUDLQ!HVWLPDWLRQ!IRU
SODQHWDU\!URYHUV! ,Q!3URFHHGLQJV!RI!WKH!LQWHUQDWLRQDO!V\PSRVLXP!RQ!DUWLILFLDO!LQWHOOL
JHQFH URERWLFV DQG DXWRPDWLRQ LQ VSDFH
,DJQHPPD!.!5]HSQLHZVNL!$!'XERZVN\!6!+XQWVEHUJHU!7!3LUMDQLDQ!3!6FKHQNHU!3
F 0RELOH!URERW NLQHPDWLF!UHFRQILJXUDELOLW\ IRU URXJK WHUUDLQ!,Q 3URFHHGLQJV RI
WKH 63,( V\PSRVLXP RQ VHQVRU IXVLRQ DQG GHFHQWUDOL]HG FRQWURO LQ URERWLF V\VWHPV
,DJQHPPD!. 5]HSQLHZVNL!$!'XERZVN\!6 6FKHQNHU!3!  !&RQWURO RI URERWLF!YHKLFOHV
ZLWK DFWLYHO\ DUWLFXODWHG VXVSHQVLRQV LQ URXJK WHUUDLQ!- $XWRQRPRXV 5RERWV  
,DJQHPPD . 6KLEO\ + 'XERZVN\ 6  2QOLQH WHUUDLQ SDUDPHWHU HVWLPDWLRQ IRU SODQH
WDU\ URYHUV!,Q 3URFHHGLQJV RI ,((( LQWHUQDWLRQDO FRQIHUHQFH RQ URERWLFV DQG DXWRPD
WLRQ
.DQJ!6!  !7HUUDLQ!SDUDPHWHU!HVWLPDWLRQ!DQG!WUDYHUVDELOLW\!DVVHVVPHQW!IRU!PRELOH!UR
ERWV!06 7KHVLV 0DVVDFKXVHWWV ,QVWLWXWH RI 7HFKQRORJ\
.DZDNDPL!$!7RULL!$!0RWRPXUD!.!+LURVH!6!  !60&!URYHU!SODQHWDU\!URYHU!ZLWK
WUDQVIRUPDEOH!ZKHHOV! ,Q!3URFHHGLQJV!RI!WKH!VL[WK!LQWHUQDWLRQDO!V\PSRVLXP!RQ!H[
SHULPHQWDO URERWLFV!SS 
.HOO\ $ 6WHQW] $  5RXJK WHUUDLQ DXWRQRPRXV PRELOLW\SDUW  DQ DFWLYH YLVLRQ SUH
GLFWLYH FRQWURO DSSURDFK!- $XWRQRPRXV 5RERWV  
.KDWLE!2!  !5HDOWLPH!REVWDFOH!DYRLGDQFH!IRU!PDQLSXODWRUV!DQG!PRELOH!URERWV!,QWHU
QDWLRQDO - 5RERWLFV 5HVHDUFK  
.LPXUD!+!+LURVH!+!  !'HYHORSPHQW!RI!*HQEX!DFWLYH!ZKHHO!SDVVLYH!MRLQW!DUWLFXODWHG
PRELOH!URERW!,Q 3URFHHGLQJV!RI!WKH LQWHUQDWLRQDO FRQIHUHQFH!RQ LQWHOOLJHQW URERWV!DQG
V\VWHPV
.XERWD!7!.XURGD!<!.XQML!<!<RVKLPLWVX!7!  !3DWK!SODQQLQJ!IRU!QHZO\!GHYHORSHG
PLFURURYHU! ,Q!3URFHHGLQJV!RI!WKH!LQWHUQDWLRQDO!FRQIHUHQFH!RQ!URERWLFV!DQG!DXWRPD
WLRQ!SS 
.XPDU!9!*DUGQHU!-! .LQHPDWLFV!RI!5HGXQGDQWO\!$FWXDWHG!&ORVHG!&KDLQV!,(((!7UDQVDF
WLRQV RQ 5RERWLFV DQG $XWRPDWLRQ YRO  1XPEHU  SS  
.XPDU!9!:DOGURQ!.! )RUFH!'LVWULEXWLRQ!LQ!&ORVHG!.LQHPDWLF!&KDLQV!,(((!7UDQVDFWLRQV
RQ 5RERWLFV DQG $XWRPDWLRQ YRO  1XPEHU  SS  
.XPDU 9 :DOGURQ .  !$FWLYHO\!FRRUGLQDWHG YHKLFOH!V\VWHPV!$60(!-!PHFKDQLVPV
WUDQVPLVVLRQV DQG DXWRPDWLRQ LQ GHVLJQ  
.XPDU!9!:DOGURQ!.!  !)RUFH!GLVWULEXWLRQ!LQ!ZDONLQJ!YHKLFOHV!$60(!-!0HFKDQLFDO
'HVLJQ  
/DWRPEH -&  5RERW PRWLRQ SODQQLQJ!.OXZHU $FDGHPLF 3XEOLVKHUV
 5HIHUHQFHV

/DXEDFK 6 %XUGLFN -   $Q DXWRQRPRXV VHQVRUEDVHG SDWK SODQQHU IRU PLFURURYHUV
,Q3URFHHGLQJVRIWKH,((( LQWHUQDWLRQDOFRQIHUHQFHRQURERWLFVDQG DXWRPDWLRQSS

/DXEDFK 6%XUGLFN-0DWWKLHV/  $Q DXWRQRPRXVSDWKSODQQHULPSOHPHQWHGRQ WKH
5RFN\ SURWRW\SH PLFURURYHU  ,Q 3URFHHGLQJV RI WKH ,((( LQWHUQDWLRQDO FRQIHUHQFH
RQURERWLFVDQG DXWRPDWLRQSS
/DXPRQG-  5RERWPRWLRQSODQQLQJ DQGFRQWURO 6SULQJHU9HUODJ
/H$5\H''XUUDQW:K\WH+  (VWLPDWLRQRIWUDFNVRLOLQWHUDFWLRQVIRUDXWRQRPRXV
WUDFNHGYHKLFOHV,Q3URFHHGLQJVRI WKH,((( LQWHUQDWLRQDO FRQIHUHQFHRQURERWLFVDQG
DXWRPDWLRQSS
/HH+ 7RPL]XND0  $GDSWLYHYHKLFOHWUDFWLRQ IRUFHFRQWURO IRU LQWHOOLJHQWYHKLFOH
KLJKZD\V\VWHPV ,9+6  ,Q3URFHHGLQJVRIWKH$60( FRQIHUHQFHRQ G\QDPLFVV\V
WHPVDQGFRQWURO SS
/HH 7:X&  )X]]\PRWLRQSODQQLQJRIPRELOHURERWVLQXQNQRZQHQYLURQPHQWV-
LQWHOOLJHQWDQGURERWLFV\VWHPV
/LQGHUPDQ 5(LVHQ+  0RELOLW\DQDO\VLVVLPXODWLRQDQGVFDOHPRGHOWHVWLQJIRUWKH
GHVLJQRI ZKHHOHGSODQHWDU\URYHUV,Q 0LVVLRQVWHFKQRORJLHVDQG VHVLJQRI SODQHWDU\
PRELOHYHKLFOHVSS
/LQGJUHQ' +DJXH7 3UREHUW6PLWK 30DUFKDQW-  5HODWLQJWRUTXHDQGVOLSLQDQ
RGRPHWULF PRGHO IRU DQ DXWRQRPRXV DJULFXOWXUDO YHKLFOH - $XWRQRPRXV 5RERWV 

0DH<<RVKLGD$$UDL7,QRXH.0L\DZDNL .$GDFKL+  $SSOLFDWLRQ RI ORFRPR
WLYHURERW WRUHVFXHWDVNV ,Q 3URFHHGLQJVRIWKH ,(((56-LQWHUQDWLRQDOFRQIHU
HQFHRQLQWHOOLJHQWURERWVDQGV\VWHPV SS
0DWLMHYLF - &ULVS - %LFNOHU ' %DQHV 5 &RRSHU % (LVHQ + *HQVOHU - +DOGHPDQQ $
+DUWPDQ)-HZHWW.0DWWKLHV / /DXEDFK60LVKNLQ$0RUULVRQ-1JX\HQ7 6L
URWD $ 6WRQH + 6WULGH 6 6ZRUG / 7DUVDOD - 7KRPSVRQ $ :DOODFH 0 :HOFK 5
:HOOPDQ( :LOFR[%  &KDUDFWHUL]DWLRQRI 0DUWLDQVXUIDFHGHSRVLWVE\WKH0DUV
SDWKILQGHUURYHUVRMRXUQHU6FLHQFH  
0DWWKLHV/ *UDQGMHDQ3  6WRFKDVWLFSHUIRUPDQFHPRGHOLQJDQGHYDOXDWLRQRIREVWD
FOH GHWHFWDELOLW\ ZLWK LPDJLQJ UDQJH VHQVRUV  ,Q ,((( WUDQVDFWLRQV RQ 5RERWLFV DQG
$XWRPDWLRQ  
0DWWKLHV/*DW ( +DUULVRQ5 :LOFR[% 9ROSH5/LWZLQ7  0DUVPLFURURYHUQDYL
JDWLRQSHUIRUPDQFHHYDOXDWLRQDQGHQKDQFHPHQW -$XWRQRPRXV 5RERWV 
0DXHU*  $ IX]]\ORJLFFRQWUROOHUIRUDQ$%6 EUDNLQJ V\VWHP,Q,((( WUDQVDFWLRQV
RQIX]]\V\VWHPV  
0LOHVL%HOOLHU& /DXJLHU& )DYHUMRQ%  $NLQHPDWLFVLPXODWRUIRU PRWLRQSODQQLQJ
RI DPRELOHURERWRQDWHUUDLQ,Q3URFHHGLQJVRI WKHLQWHUQDWLRQDOFRQIHUHQFHRQLQWHO
OLJHQWURERWVDQGV\VWHPVSS
0RKDQ 6 :LOOLDPV5  $ VXUYH\RI:' WUDFWLRQFRQWUROVWUDWHJLHV,Q(OHFWURQLF
EUDNLQJWUDFWLRQDQGVWDELOLW\FRQWURO6$(SDSHUQXPEHU
0RRUH++XWWRQ 56FRWW56SLW]HU&6KRUWKLOO5  6XUIDFHPDWHULDOVRI WKH9LNLQJ
ODQGLQJ VLWHVRQ 0DUV- *HRSK\VLFDO5HVHDUFK 
0RRUH+%LFNOHU'&ULVS- (LVHQ+*HQVOHU-+DOGHPDQQ$0DWLMHYLF-5HLG/  
6RLOOLNHGHSRVLWVREVHUYHGE\ 6RMRXUQHUWKH3DWKILQGHUURYHU- *HRSK\VLFDO5HVHDUFK
 (
0XLU 3   .LQHPDWLF PRGHOLQJ RI ZKHHOHG PRELOH URERWV  - 5RERWLF 6\VWHPV   

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!5HIHUHQFHV 

0XWDPEDUD $ 'XUUDQW:K\WH +  (VWLPDWLRQ DQG FRQWURO IRU D PRGXODU ZKHHOHG PR
ELOH URERW!,((( 7UDQVDFWLRQV RQ &RQWURO 6\VWHPV 7HFKQRORJ\  
1$6$!7HFKQLFDO!0HPRUDQGXP!!  !(QYLURQPHQW!RI!0DUV!!/\QGRQ!%
-RKQVRQ 6SDFH &HQWHU
1LOVVRQ 1  3ULQFLSOHV RI DUWLILFLDO LQWHOOLJHQFH!7LRJD 3XEOLVKLQJ &RPSDQ\
1RKVH < +DVKXJXFKL . 8HQR!0 6KLNDQDL!7 ,]XPL!+!.R\DPD )  !$!PHDVXUHPHQW
RI!EDVLF!PHFKDQLFDO!TXDQWLWLHV!RI!RIIWKHURDG!WUDYHOLQJ!SHUIRUPDQFH!-!7HUUDPHFKDQ
LFV    
2OLQ . 7VHQJ '  $XWRQRPRXV FURVVFRXQWU\ QDYLJDWLRQ!,((( ([SHUW    
3DJH!/!6DQGHUVRQ!$!  !5RERW!PRWLRQ!SODQQLQJ!IRU!VHQVRUEDVHG!FRQWURO!ZLWK!XQFHU
WDLQWLHV!,Q 3URFHHGLQJV RI WKH ,((( LQWHUQDWLRQDO FRQIHUHQFH RQ URERWLFV DQG DXWRPD
WLRQ!SS 
2OVRQ!&!0DWWKLHV!/!6FKRSSHUV!0!0DLPRQH!0!  !6WHUHR!HJRPRWLRQ!LPSURYHPHQWV
IRU!UREXVW!URYHU!QDYLJDWLRQ!,Q!3URFHHGLQJV!RI!WKH!,(((!LQWHUQDWLRQDO!FRQIHUHQFH!2Q
URERWLFV DQG DXWRPDWLRQ
2VERUQ!-)!  !$SSOLFDWLRQV!RI!URERWLFV!LQ!KD]DUGRXV!ZDVWH!PDQDJHPHQW! ,Q!3URFHHG
LQJV RI WKH 60(  ZRUOG FRQIHUHQFH RQ URERWLFV UHVHDUFK
3DL!'!5HLVVHO!/0!  !0XOWLUHVROXWLRQ!URXJK!WHUUDLQ!PRWLRQ!SODQQLQJ!,(((!7UDQVDF
WLRQV RQ 5RERWLFV DQG $XWRPDWLRQ    
3H\QRW!7!/DFURL[!6!  !(QKDQFHG!ORFRPRWLRQ!FRQWURO!IRU!D!SODQHWDU\!URYHU! ,Q!3UR
FHHGLQJV RI WKH LQWHUQDWLRQDO FRQIHUHQFH RQ LQWHOOLJHQW URERWLFV DQG V\VWHPV
3DSDGRSRXORV!(!5H\!'!  !$!QHZ!PHDVXUH!RI!WLSRYHU!VWDELOLW\!PDUJLQ!IRU!PRELOH!PD
QLSXODWRUV! ,Q!3URFHHGLQJV!RI!WKH!,(((!LQWHUQDWLRQDO!FRQIHUHQFH!RQ!URERWLFV!DQG
DXWRPDWLRQ
3LFNRYHU &  *HQHUDWLQJ H[WUDWHUUHVWULDO WHUUDLQ!,((( &RPSXWHU *UDSKLFV DQG $SSOL
FDWLRQV  
3ODFNHWW &  $ UHYLHZ RI IRUFH SUHGLFWLRQ PHWKRGV IRU RIIURDG ZKHHOV!- $JULFXOWXUDO
(QJLQHHULQJ 5HVHDUFK  
5HLVWHU!'!8QVHUHQ!0!  !3RVLWLRQ!DQG!FRQVWUDLQW!IRUFH!FRQWURO!RI!D!YHKLFOH!ZLWK!WZR!RU
PRUH!VWHHUDEOH!GULYH!ZKHHOV!,(((!7UDQVDFWLRQV!RQ!5RERWLFV!DQG!$XWRPDWLRQ!!

6DUNDU!1!<XQ!;!.XPDU!9!  !&RQWURO!RI!PHFKDQLFDO!V\VWHPV!ZLWK!UROOLQJ!FRQVWUDLQWV
,QWHUQDWLRQDO - 5RERWLFV 5HVHDUFK    
6FKHQNHU!3!HW!DO!  !/LJKWZHLJKW!URYHUV!IRU!0DUV!VFLHQFH!H[SORUDWLRQ!DQG!VDPSOH!UH
WXUQ!,Q!3URFHHGLQJV!RI!63,(!;9,!LQWHOOLJHQW!URERWV!DQG!FRPSXWHU!YLVLRQ!FRQIHUHQFH
YRO  
6FKHQNHU!3 6ZRUG / *DQLQR $ %LFNOHU ' +LFNH\ * %URZQ ' %DXPJDUWQHU!( 0DWWKLHV
/!:LOFR[!%!%DOFK!7!$JKD]DULDQ!+!*DUUHWW!0!  !/LJKWZHLJKW!URYHUV!IRU!0DUV
VFLHQFH H[SORUDWLRQ DQG VDPSOH UHWXUQ!,Q 3URFHHGLQJV RI 63,(!;9, LQWHOOLJHQW URERWV
DQG FRPSXWHU YLVLRQ FRQIHUHQFH!YRO  
6FKHQNHU!6!7UHEL2OOHQQX!$!%DODUDP!-!3LUMDQLDQ!3!+XQWVEHUJHU!7!%DXPJDUWQHU!(
$JKD]DULDQ!+!.HQQHG\!%!'XERZVN\!6!$SRVWRORSRXORV!'!/HJHU!3!0F.HH!*
 !5HFRQILJXUDEOH!URERWV!IRU!DOOWHUUDLQ!H[SORUDWLRQ!,Q!3URFHHGLQJV!RI!WKH!63,(
V\PSRVLXP RQ VHQVRU IXVLRQ DQG GHFHQWUDOL]HG FRQWURO LQ URERWLF V\VWHPV ,,,
6HUDML!+!  !7UDYHUVDELOLW\!LQGH[!D!QHZ!FRQFHSW!IRU!SODQHWDU\!URYHUV!,Q!3URFHHGLQJV
RI WKH ,((( LQWHUQDWLRQDO FRQIHUHQFH RQ URERWLFV DQG DXWRPDWLRQ
6HUDML + +RZDUG $  %HKDYLRUEDVHG URERW QDYLJDWLRQ RQ FKDOOHQJLQJ WHUUDLQ D IX]]\
ORJLF DSSURDFK!,((( 7UDQVDFWLRQV RQ 5RERWLFV DQG $XWRPDWLRQ  
 5HIHUHQFHV

6KLOOHU=  2EVWDFOHWUDYHUVDOIRUVSDFHH[SORUDWLRQ,Q 3URFHHGLQJVRIWKH,((( LQ


WHUQDWLRQDOFRQIHUHQFHRQ URERWLFVDQGDXWRPDWLRQSS
6KLOOHU=&KHQ -  2SWLPDO PRWLRQ SODQQLQJRIDXWRQRPRXV YHKLFOHVLQGLPHQVLRQDO
WHUUDLQV ,Q3URFHHGLQJVRIWKH,(((LQWHUQDWLRQDOFRQIHUHQFHRQURERWLFVDQGDXWRPD
WLRQ SS
6KPXOHYLFK , 5RQDL' :ROI '  $QHZ ILHOG VLQJOHZKHHOWHVWHU-7HUUDPHFKDQLFV
  
6LHJZDUW5/DPRQ3(VWLHU7/DXULD03LJXHW 5  ,QQRYDWLYHGHVLJQIRUZKHHOHG
ORFRPRWLRQLQURXJKWHUUDLQ-5RERWLFVDQG$XWRQRPRXV6\VWHPV
6LPpRQ7 'DFUH:ULJKW%  $SUDFWLFDOPRWLRQSODQQHUIRUDOOWHUUDLQPRELOHURERWV
LQ3URFHHGLQJVRI WKH,(((LQWHUQDWLRQDOFRQIHUHQFH RQLQWHOOLJHQWURERWVDQGV\VWHPV
SS
6SHUR' -DUYLV5  3DWKSODQQLQJ IRUDPRELOHURERWLQDURXJKWHUUDLQHQYLURQPHQW
,Q 3URFHHGLQJVRI WKH WKLUG LQWHUQDWLRQDO ZRUNVKRS RQ URERW PRWLRQ DQG FRQWURO SS

6UHHQLYDVDQ 6   $FWLYHO\ FRRUGLQDWHG ZKHHOHGYHKLFOH V\VWHPV  3K' 7KHVLV 2KLR
6WDWH8QLYHUVLW\
6UHHQLYDVDQ61DQXD3  .LQHPDWLFJHRPHWU\ RIZKHHOHGYHKLFOHV\VWHPV ,Q3UR
FHHGLQJVRIWKH$60(GHVLJQHQJLQHHULQJWHFKQLFDOFRQIHUHQFHV
6UHHQLYDVDQ6 :DOGURQ.  'LVSODFHPHQW DQDO\VLVRI DQ DFWLYHO\DUWLFXODWHGZKHHOHG
YHKLFOHFRQILJXUDWLRQZLWKH[WHQVLRQVWRPRWLRQSODQQLQJRQXQHYHQWHUUDLQ7UDQVDF
WLRQVRIWKH$60( - 0HFKDQLFDO'HVLJQ
6UHHQLYDVDQ6:LOFR[%  6WDELOLW\DQGWUDFWLRQFRQWURORI DQDFWLYHO\DFWXDWHGPLFUR
URYHU-5RERWLF 6\VWHPV   
6WHQW]$  2SWLPDODQGHIILFLHQWSDWK SODQQLQJIRUSDUWLDOO\NQRZQHQYLURQPHQWV ,Q
3URFHHGLQJV RI WKH ,((( LQWHUQDWLRQDO FRQIHUHQFH RQ URERWLFV DQG DXWRPDWLRQ  SS

7DQ+&KLQ<  9HKLFOHWUDFWLRQFRQWUROYDULDEOHVWUXFWXUHFRQWURODSSURDFK$60(
-'\QDPLF6\VWHPV0HDVXUHPHQWDQG&RQWURO
7DQ + &KLQ <   9HKLFOH $QWLORFN EUDNLQJ DQG WUDFWLRQ FRQWURO D WKHRUHWLFDO VWXG\
,QWHUQDWLRQDO-6\VWHPV 6FLHQFH  
7DURNK00F'HUPRWW * +D\DWL6+XQJ-  .LQHPDWLFPRGHOLQJRIDKLJKPRELOLW\
0DUV URYHU  ,Q 3URFHHGLQJV RI WKH ,((( LQWHUQDWLRQDO FRQIHUHQFH RQ URERWLFV DQG
DXWRPDWLRQSS
9DQ =DQWHQ $ (UKDUGW 5 3IDII *   9'& 7KH YHKLFOH G\QDPLFV FRQWURO V\VWHP RI
%RVFK  ,Q (OHFWURQLF EUDNLQJ WUDFWLRQ DQG VWDELOLW\ FRQWURO  6$( SDSHU QXPEHU

9DQ=DQWHQ$(UKDUGW5/DQGHVILHQG .3IDII*  9'&6\VWHPVGHYHORSPHQW DQG
SHUVSHFWLYH,Q(OHFWURQLFEUDNLQJWUDFWLRQDQGVWDELOLW\FRQWURO 6$(SDSHUQXPEHU

9LQFHQW(  3UHVVXUHGLVWULEXWLRQ RQ DQGIORZ RI VDQGSDVW DULJLGZKHHO,Q 3URFHHG
LQJVRIWKHILUVWLQWHUQDWLRQDOFRQIHUHQFHRQWHUUDLQYHKLFOHV\VWHPVSS
9ROSH5  1DYLJDWLRQUHVXOWV IURP GHVHUW ILHOGWHVWVRIWKH5RFN\0DUV5RYHUSURWR
W\SH ,QWHUQDWLRQDO-5RERWLFV5HVHDUFK  
9ROSH 5   5RYHU )XQFWLRQDO DXWRQRP\ GHYHORSPHQW IRU WKH 0DUV PRELOH VFLHQFH
ODERUDWRU\ ,Q3URFHHGLQJVRI,(((DHURVSDFHFRQIHUHQFH
:DUUHQ &   )DVW SDWK SODQQLQJ XVLQJ PRGLILHG $  PHWKRG ,Q 3URFHHGLQJV RI WKH
,(((LQWHUQDWLRQDOFRQIHUHQFHRQURERWLFVDQGDXWRPDWLRQSS
!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!5HIHUHQFHV 

:HLVELQ!&!5RGULJXH]!*!6FKHQNHU!3!'DV!+!+D\DWL!6!%DXPJDUWQHU!(!0DLPRQH!0
1HVQDV!,!9ROSH!5!  !$XWRQRPRXV!URYHU!WHFKQRORJ\!IRU!0DUV!VDPSOH!UHWXUQ!,Q
,QWHUQDWLRQDO V\PSRVLXP RQ DUWLILFLDO LQWHOOLJHQFH URERWLFV DQG DXWRPDWLRQ LQ VSDFH
:LOFR[!%!  !1RQJHRPHWULF!KD]DUG!GHWHFWLRQ!IRU!D!0DUV!PLFURURYHU!,Q!3URFHHGLQJV
RI WKH $,$$ FRQIHUHQFH RQ LQWHOOLJHQW URERWLFV LQ ILHOG IDFWRU\ VHUYLFH DQG VSDFH!YRO

:HOFK!*!%LVKRS!*!  !$Q!LQWURGXFWLRQ!WR!WKH!.DOPDQ!ILOWHU!7HFKQLFDO!UHSRUW!75!
 'HSDUWPHQW RI FRPSXWHU VFLHQFH 8QLYHUVLW\ RI 1RUWK &DUROLQD DW &KDSHO +LOO
:RQJ -  7KHRU\ RI JURXQG YHKLFOHV!-RKQ :LOH\ DQG 6RQV
:RQJ -  7HUUDPHFKDQLFV DQG RIIURDG YHKLFOHV!(OVHYLHU
:RQJ!-!5HHFH!$!  !3UHGLFWLRQ!RI!ULJLG!ZKHHOV!SHUIRUPDQFH!EDVHG!RQ!DQDO\VLV!RI!VRLO
ZKHHO VWUHVVHV SDUW ,!- 7HUUDPHFKDQLFV    
<RVKLGD . +DPDQR + :DWDQDEH 7  6OLSEDVHG WUDFWLRQ FRQWURO RI D SODQHWDU\ URYHU
,Q 3URFHHGLQJV RI WKH VL[WK LQWHUQDWLRQDO V\PSRVLXP RQ H[SHULPHQWDO URERWLFV
<DKMD!$!6WHQW]!$!6LQJK!6!%UXPLWW!%!  !)UDPHGTXDGWUHH!SDWK!SODQQLQJ!IRU!PRELOH
URERWV!RSHUDWLQJ!LQ!VSDUVH!HQYLURQPHQWV! ,Q!3URFHHGLQJV!RI!WKH!,(((!LQWHUQDWLRQDO
FRQIHUHQFH RQ URERWLFV DQG DXWRPDWLRQ
<RQJ 5 )DWWDK ( 6NLDGDV 1  9HKLFOH WUDFWLRQ PHFKDQLFV!(OVHYLHU 6FLHQFH 3XEOLVK
HUV
<RVKLGD!.!:DWDQDEH!7!0L]XQR!1!,VKLJDPL!*!  !6OLS!WUDFWLRQ!FRQWURO!DQG!QDYLJD
WLRQ!RI!D!OXQDU!URYHU! ,Q!,QWHUQDWLRQDO!V\PSRVLXP!RQ!DUWLILFLDO!LQWHOOLJHQFH!URERWLFV
DQG DXWRPDWLRQ LQ VSDFH
=KDQJ + .XPDU 9 2VWURZVNL -  0RWLRQ SODQQLQJ ZLWK XQFHUWDLQW\!,Q 3URFHHGLQJV
RI WKH ,((( LQWHUQDWLRQDO FRQIHUHQFH RQ URERWLFV DQG DXWRPDWLRQ!SS 
,QGH[

$  PDQLSXODWLRQIRUFHV
DUWLFXODWHGVXVSHQVLRQ FRQILJXUDWLRQ 0DUVH[SORUDWLRQ
SODQQLQJ  PRGHOLQJRIPRELOHURERWV
DUWLFXODWHGVXVSHQVLRQV PRWLRQSODQQLQJ
DVVXPSWLRQV PRWLRQUHVLVWDQFH

EHYDPHWHU QRQOLQHDURSWLPL]DWLRQ 

FRQMXJDWHJUDGLHQWVHDUFK SODQHWDU\H[SORUDWLRQ
&RXORPE¶VHTXDWLRQ SRZHUFRQVXPSWLRQ
SUHVVXUHVLQNDJHPRGXOL
H[SHULPHQWDOURYHUV\VWHP 3:0DPSOLILHUV
H[WHQGHG.DOPDQ ILOWHU (.) 
UDQJHPDS
IRUFHDQDO\VLV UDSLGSDWKVHDUFK
IRUFH EDODQFHHTXDWLRQV  ULGJHUHJUHVVLRQ 
URERWORFDOL]DWLRQ
*DXVVLDQILOWHU URFNHUERJLH
*UXHEOHUPRELOLW\FULWHULRQ URXJKWHUUDLQFRQWURO

KDQJXSIDLOXUH 6DPSOH5HWXUQ5RYHU
VHQVLQJ
LQYHUVHNLQHPDWLFV VKHDU GHIRUPDWLRQPRGXOXV
VKHDUIDLOXUHH[SHULPHQWV
NLQHPDWLFDQDO\VLV  VLQNDJH
NLQHPDWLFYDOLGLW\ VLQNDJHH[SRQHQW
VNLGVWHHULQJ
VWDWLFVWDELOLW\
OLWHUDWXUHUHYLHZ
VWUHVVGLVWULEXWLRQV
ORFDOUHSODQQLQJ
ORFDOL]DWLRQXQFHUWDLQW\
 ,QGH[

WHUUDLQFKDUDFWHUL]DWLRQWHVWEHG WUHHVWUXFWXUHGZKHHOHG PRELOH


WHUUDLQPHDVXUHPHQWXQFHUWDLQW\  URERW

WHUUDLQSDUDPHWHUV XQGHUFRQVWUDLQHGV\VWHPV
WHUUDLQURXJKQHVV
WHUUDLQWUDYHUVDELOLW\ ZKHHOVLQNDJH
WHUUDLQW\SHV  ZKHHOVOLS
WKUXVWIRUFH ZKHHOWHUUDLQFRQWDFWDQJOH
WLSRYHUVWDELOLW\ ZKHHOWHUUDLQLQWHUDFWLRQ
WUDYHUVDELOLW\DVVHVVPHQW :LHQHUSURFHVV
Springer Tracts in Advanced Robotics
Edited by B. Siciliano, O. Khatib, and F. Groen
Published Titles:

Vol. 1: Caccavale, F.; Villani, L. (Eds.) Vol. 6: Jarvis, R.A.; Zelinsky, A. (Eds.)
Fault Diagnosis and Fault Tolerance for Mechatronic Robotics Research { The Tenth International Symposium
Systems: Recent Advances 580 p. 2003 [3-540-00550-1]
191 p. 2002 [3-540-44159-X] Vol. 7: Boissonnat, J.-D.; Burdick, J.; Goldberg, K.;
Vol. 2: Antonelli, G. Hutchinson, S. (Eds.)
Underwater Robots: Motion and Force Control of Algorithmic Foundations of Robotics V
Vehicle-Manipulator Systems 577 p. 2004 [3-540-40476-7]
209 p. 2003 [3-540-00054-2] Vol. 8: Baeten, J.; De Schutter, J.
Vol. 3: Natale, C. Integrated Visual Servoing and Force Control
Interaction Control of Robot Manipulators: 198 p. 2004 [3-540-40475-9]
Six-degrees-of-freedom Tasks Vol. 9: Yamane, K.
120 p. 2003 [3-540-00159-X] Simulating and Generating Motions of Human Figures
Vol. 4: Bicchi, A.; Christensen, H.I.; 176 p. 2004 [3-540-20317-6]
Prattichizzo, D. (Eds.) Vol. 10: Siciliano, B.; De Luca, A.; Melchiorri, C.;
Control Problems in Robotics Casalino, G. (Eds.)
296 p. 2003 [3-540-00251-0] Advances in Control of Articulated and Mobile Robots
Vol. 5: Siciliano, B.; Dario, P. (Eds.) 259 p. 2004 [3-540-20783-X]
Experimental Robotics VIII Vol. 11: Kim, J.-H.; Kim, D.-H.; Kim, Y.-J.; Seow, K.-T.
685 p. 2003 [3-540-00305-3] Soccer Robotics
353 p. 2004 [3-540-21859-9]

You might also like