81,9(56,'$'( '$ %(,5$ ,17(5,25

(QJHQKDULD

,QGXFHG 'UDJ 5HGXFWLRQ ZLWK D :LQJ 7LS 7DLO

&RQILJXUDWLRQ
YHUVmR FRUULJLGD DSyV GHIHVD

+HQULTXH 0LJXHO GH $OPHLGD

'LVVHUWDomR SDUD REWHQomR GR *UDX GH 0HVWUH HP

(QJHQKDULD $HURQiXWLFD
&LFOR GH HVWXGRV LQWHJUDGR

2ULHQWDGRU 3URI 'RXWRU 0LJXHO ÇQJHOR 5RGULJXHV 6LOYHVWUH

&RYLOKm MXOKR GH 

LL
$FNQRZOHGJPHQWV

, ZDQW WR H[SUHVV P\ VLQFHUH JUDWLWXGH WR VHYHUDO SHRSOH WKDW FRQWULEXWHG WR P\ ZRUN RQ WKLV
WKHVLV

)LUVW , ZRXOG OLNH WR WKDQN P\ WKHVLV VXSHUYLVRU 3URIHVVRU 0LJXHO ÇQJHOR 6LOYHVWUH QRW RQO\ IRU
KLV VXSSRUW GXULQJ WKLV ZRUN EXW DOVR IRU DOO WKH LQVSLUDWLRQ DQG NQRZOHGJH VKDULQJ WKURXJK P\
$HURQDXWLFDO (QJLQHHULQJ GHJUHH

7R DOO P\ IULHQGV FROOHDJXHV DQG SURIHVVRUV WKDW DFFRPSDQLHG PH GXULQJ WKLV MRXUQH\ LQ WKH
8QLYHUVLW\ RI %HLUD ,QWHULRU

7R P\ JLUOIULHQG $QD 3DLYD IRU VXSSRUWLQJ PH DQG HQFRXUDJLQJ PH LQ P\ GHFLVLRQV

7R P\ IDPLO\ IRU DOO WKH VXSSRUW HVSHFLDOO\ , KDYH WR WKDQN WR P\ SDUHQWV -RVp /XtV DQG 6DQGUD
WKH\ ZHUH WKH RQHV ZKR PDGH SRVVLEOH P\ HGXFDWLRQ WKLV ZRUN DQG LQVSLUHG PH WR VHHN KLJKHU
DFKLHYHPHQWV

LLL
LY
5HVXPR

2V HQVDLRV HP YRR VmR XPD GDV HWDSDV PDLV GHOLFDGDV H LPSRUWDQWHV GR GHVHQYROYLPHQWR GH
XPD DHURQDYH p D PHOKRU PDQHLUD GH SURYDU TXH XPD DHURQDYH EHP FRPR RV FRQFHLWRV GH
SURMHWR QHOD LPSOHPHQWDGRV VmR IXQFLRQDLV 2V 8$9V JHUDOPHQWH PDLV EDUDWRV GH FRQVWUXLU
GR TXH RV DYL}HV WULSXODGRV VmR XPD PDQHLUD HFRQyPLFD H PDLV VHJXUD GH GHVHQYROYHU XPD
DHURQDYH H[SHULPHQWDO SDUD WHVWDU QRYRV FRQFHLWRV H YDOLGiORV 1D SUHVHQWH GLVVHUWDomR XP
QRYR FRQFHLWR GH FRQILJXUDomR GH FDXGD SDUD UHGX]LU R DUUDVWR LQGX]LGR RQGH DV VXSHUItFLHV
GD FDXGD VmR FRORFDGDV QD HVWHLUD QRV YyUWLFHV GH SRQWD GD DVD p H[SHULPHQWDOPHQWH WHVWDGR
DWUDYpV GH HQVDLRV HP YRR $ QRYD FRQILJXUDomR p FRPSDUDGD FRP XPD FRQILJXUDomR GH EDVH
FRQYHQFLRQDO SULPHLUR QXPHULFDPHQWH FRP XP PpWRGR GH YRUWH[ ODWWLFH PHWKRG H HP VHJXLGD
DWUDYpV GH HQVDLRV HP YRR GD FRQILJXUDomR GR QRYR FRQFHLWR H GD FRQYHQFLRQDO 2 HTXLSDPHQWR
GH DTXLVLomR GH GDGRV IRL GHVHQYROYLGR SDUD HVWH WUDEDOKR $ PHWRGRORJLD GH WHVWHV GH YRR
SDUD REWHU R GHVHPSHQKR GD DHURQDYH EDVHLDVH QDV WURFDV GH HQHUJLD SRWHQFLDO H FLQpWLFD GD
DHURQDYH H p WDPEpP FRPSDUDGD FRP RXWUDV PHWRGRORJLDV &RP HVWD PHWRGRORJLD H DSyV 
KRUDV GH GDGRV REWLGRV FRP HQVDLRV HP YRR R FRQFHLWR SDUD D UHGXomR GR DUUDVWR LQGX]LGR p
YDOLGDGR EHP FRPR D PHWRGRORJLD GH HQVDLRV HP YRR EDVHDGD QDV WURFDV GH HQHUJLD $OWHUDo}HV
SDUD DXPHQWDU R SRWHQFLDO GD FRQILJXUDomR DWXDO VmR WDPEpP VXJHULGDV FRP EDVH QRV UHVXOWDGRV
GR HVWXGR QXPpULFR

3DODYUDVFKDYH

8$9 $UUDVWR ,QGX]LGR :LQJ 7LS 7DLO (QVDLRV HP 9RR 9yUWLFH GH 3RQWD GH $VD

Y
YL
$EVWUDFW

)OLJKW WHVWLQJ LV RQH RI WKH PRVW GHOLFDWH DQG LPSRUWDQW VWDJHV RI DQ DLUFUDIW GHYHORSPHQW LW LV
WKH XOWLPDWH ZD\ WR SURYH WKDW DQ DLUFUDIW DV ZHOO DV WKH GHVLJQ FRQFHSWV LPSOHPHQWHG LQ LW DUH
IXQFWLRQDO 8$9V EHLQJ XVXDOO\ FKHDSHU WR EXLOG WKDQ PDQQHG DLUFUDIW DUH D FRVW HIIHFWLYH DQG
VDIHU ZD\ WR GHYHORS DQ H[SHULPHQWDO DLUFUDIW LQ SDUWLFXODU WR WHVW QHZ FRQFHSWV DQG YDOLGDWH
WKHP ,Q WKH SUHVHQW GLVVHUWDWLRQ D QHZ WDLO FRQILJXUDWLRQ FRQFHSW WR UHGXFH WKH LQGXFHG
GUDJ ZKHUH WKH WDLO VXUIDFHV DUH SODFHG LQ WKH ZLQJ WLS YRUWLFHV ZDNH LV H[SHULPHQWDOO\ WHVWHG
WKURXJK IOLJKW WHVWLQJ 7KH QHZ FRQFHSW FRQILJXUDWLRQ LV FRPSDUHG ZLWK D FRQYHQWLRQDO EDVHOLQH
FRQILJXUDWLRQ ILUVW QXPHULFDOO\ ZLWK D YRUWH[ ODWWLFH PHWKRG DQG WKHQ WKURXJK WKH IOLJKW WHVWLQJ
RI ERWK WKH QHZ FRQFHSW FRQILJXUDWLRQ DQG WKH FRQYHQWLRQDO EDVHOLQH 7KH GDWD DFTXLVLWLRQ
HTXLSPHQW ZDV GHYHORSHG IRU WKLV ZRUN 7KH IOLJKW WHVWLQJ PHWKRGRORJ\ WR REWDLQ WKH DLUFUDIW
SHUIRUPDQFH LV EDVHG LQ WKH SRWHQWLDO DQG NLQHWLF HQHUJ\ FKDQJHV RI WKH DLUFUDIW DQG LW LV DOVR
FRPSDUHG ZLWK RWKHU PHWKRGRORJLHV :LWK WKLV PHWKRGRORJ\ DQG DIWHU  KRXUV RI IOLJKW WHVWLQJ
GDWD WKH FRQFHSW WR UHGXFH WKH LQGXFHG GUDJ LV YDOLGDWHG DV ZHOO DV WKH HQHUJ\ EDVHG IOLJKW
WHVWLQJ PHWKRGRORJ\ &KDQJHV WR LQFUHDVH WKH SRWHQWLDO RI WKH SUHVHQW FRQILJXUDWLRQ DUH DOVR
VXJJHVWHG EDVHG RQ WKH UHVXOWV RI WKH QXPHULFDO VWXG\

.H\ZRUGV

8$9 ,QGXFHG 'UDJ :LQJ 7LS 7DLO )OLJKW 7HVWLQJ :LQJ 7LS 9RUWH[

YLL
YLLL
&RQWHQWV

$FNQRZOHGJPHQWV LLL

5HVXPR Y

$EVWUDFW YLL

&RQWHQWV L[

/LVW RI )LJXUHV [LLL

/LVW RI 7DEOHV [YLL

1RPHQFODWXUH [L[

$FURQ\PV [[LLL

 ,QWURGXFWLRQ 

 0RWLYDWLRQ                                      

 7KH 1HZ &RQILJXUDWLRQ :LQJ 7LS 7DLO                        

 2EMHFWLYHV                                      

 7KHVLV 2XWOLQH                                    

 /LWHUDWXUH 5HYLHZ 

 'UDJ 'XH WR /LIW )XQGDPHQWDOV                           

 9LVFRXV 'UDJ                                 

 /LIW                                      

 'UDJ 'XH WR /LIW                               

 'UDJ 'XH WR /LIW 5HGXFWLRQ  6WDWH RI WKH $UW                    

 )OLJKW 7HVWLQJ )XQGDPHQWDOV                             

 3HUIRUPDQFH                                 

 )OLJKW 7HVWLQJ 7HFKQLTXHV                          

 )OLJKW 7HVWLQJ  6WDWH RI WKH $UW                           

 0HWKRGRORJ\ 

 1XPHULFDO 6WXG\                                   

L[
  :77 &RQFHSW ,PSURYHPHQW                         

 :LQJ 7LS 7DLO &RQFHSW &RQILJXUDWLRQ                         

 %ULHI 'HVFULSWLRQ                               

 3URSXOVLRQ                                  

 $LUIUDPH                                   

 %DVHOLQH &RQILJXUDWLRQ                               

 )OLJKW 7HVWLQJ 0HWKRGRORJ\                             

 $OWHUQDWLYH 0HWKRGRORJLHV                          

 )OLJKW 3URFHGXUH                               

 'DWD $FTXLVLWLRQ (TXLSPHQW                             

 'DWD $QDO\VLV                                    

 %LQV 'LYLVLRQ DQG 2XWOLHUV                          

 (UURQHRXV $SSURDFK                             

 3HUIRUPDQFH $QDO\VLV                            

 (QHUJ\ 0HWKRG DQG 0HWKRGRORJ\ 7HVWV                    

 8QFHUWDLQW\ $QDO\VLV                             

 5HVXOWV DQG 'LVFXVVLRQ 

 )OLJKW 7HVWLQJ &DPSDLJQ 2YHUYLHZ                          

 )OLJKW +DQGOLQJ RI &RQILJXUDWLRQV                      

 8QFHUWDLQW\ $QDO\VLV                             

 $LUVSHHG DQG 3LWRW 7XEH &DOLEUDWLRQ                         

 )OLJKW 7HVWLQJ 5HVXOWV  *OLGHV                            

 1XPHULFDO 5HVXOWV &RPSDULVRQ                        

 (UURQHRXV $SSURDFK 5HVXOW                          

 (QHUJ\ 0HWKRG DQG 0HWKRGRORJ\ 7HVWV 5HVXOWV                    

 $OWHUQDWLYH 0HWKRGRORJLHV &RPSDULVRQ                       

 )OLJKW 7HVWLQJ 5HVXOWV  &OLPEV                            

 :77 &RQILJXUDWLRQ 3DUDPHWULF 6WXG\ 

 &RQFOXVLRQV 

 $FKLHYHPHQWV                                    

[
  )XWXUH :RUN                                     

%LEOLRJUDILD 

$ $SSHQGL[ 

[L
[LL
/LVW RI )LJXUHV

 8%,·V  $&& HGLWLRQ ZLQQLQJ DLUSODQH                      

 8%,·V  $&& HGLWLRQ VHFRQG WHDP DLUSODQH                    

 :DNH PRPHQWXP ORVV IURP DLUIRLO GUDJ                       

 )RUFHV DSSOLHG WR WKH DLUSODQH GXULQJ OHYHO IOLJKW                  

 $LUIRLO IORZILHOG DQG FLUFXODWLRQ DGDSWHG IURP 5D\PHU               

 )ORZ SDWWHUQ DQG GRZQZDVK GLVWULEXWLRQ EHKLQG OLIWLQJ OLQH DQGRU ZLQJV     

 7UHIIW] SODQH UHSUHVHQWDWLRQ                            

 (OOLSWLFDO ZLQJ SODQIRUP                              

 /DWHUDO HGJH DQG ZLQJWLS VKDSH VWXGLHG E\ +RHUQHU                

 ([WHUQDO ZLQJWLS PRXQWHG WDQN VWXGLHG E\ +RHUQHU                 

 3ODQIRUP JHRPHWU\ IRU YDULRXV HOOLSWLFDO ZLQJV RI AR = 7             

 0RGLILHG HOOLSWLFDO ZLQJ SODQIRUP ZLWK HOOLSWLF VSDQZLVH OLIW GLVWULEXWLRQ      

 6SDQ HIILFLHQFLHV IRU YDULRXV RSWLPDOO\ ORDGHG QRQSODQDU V\VWHPV h/b = 0.2    

 :KLWFRPE ZLQJOHW DQG YRUWH[ GLIIXVHU                       

 &RQH WLS VDLO GHVLJQ 3IHQQLQJHU /|EHUW DQG 6SLOOPDQ WLS VDLO GHVLJQV       

 5DNHG ZLQJWLS                                   

 9RUWH[6KHGGLQJ RI D UHFWDQJXODU ZLQJ DQG D ZLQJJULG WLS GHYLFH         

 :LQJJULG ZLQJWLS DQG VSLURLG ZLQJWLS                       

 $FWLYH GHYLFHV WLS EORZLQJ DQG WLS SXVKHU SURSHOOHU                

 2XWERDUG KRUL]RQWDO VWDELOL]HUV FRQILJXUDWLRQ                   

 $GYDQFHG FRQILJXUDWLRQ SURSRVHG E\ 0F*LQQLV                   

 %HOOVKDSHG VSDQORDG                                

 3UDQGWO' IO\LQJ ZLQJ                                

 3URSHOOHU GULYHQ DLUFUDIW SHUIRUPDQFH DQDO\VLV IURP WKH W\SLFDO FXUYHV IRU UHTXLUHG
WKUXVW DQG SRZHU DQG DYDLODEOH WKUXVW DQG SRZHU                  

 ;)/5 FRQILJXUDWLRQV XVHG WR WHVW WKH GLIIHUHQW YRUWH[ ODWWLFH PHWKRGV      

 ;)/5 YRUWH[ ODWWLFH PHWKRGV DQDO\VLV IRU WDLO VXUIDFHV DW WKH ZLQJWLSV      

 :LQJWLS WDLO FRQILJXUDWLRQ                             

 7DLO GHVLJQ FRPSDULVRQ ZLWK ERWK FRQILJXUDWLRQV RYHUODSSHG            

[LLL
  &RQYHQWLRQDO FRQILJXUDWLRQ                             

 )UHH ERG\ GLDJUDP GXULQJ IOLJKW IRU GUDJ DQG WKUXVW FDOFXODWLRQ          

 )UHH ERG\ GLDJUDP GXULQJ IOLJKW IRU WKH OLIW FRUUHFWLRQ FDOFXODWLRQ         

 )OLJKW WHVWLQJ FKHFNOLVW                               

 $UGXLQR 0HJD PLFURFRQWUROOHU                            

 $GDIUXLW *36 UHFHLYHU                                

 7HPSHUDWXUH DQG SUHVVXUH VHQVRU                          

 'LIIHUHQWLDO SUHVVXUH VHQVRU                             

 9ROWDJH GLYLGHU IRU YROWDJH VHQVLQJ VFKHPDWLF                   

 +DOO HIIHFW FXUUHQW VHQVRU                              

 6' FDUG UHDG ZULWHU                                 

 /HYHO VKLIWHU                                    

 3ULQWHG FLUFXLW ERDUG VKLHOG IRU WKH VHQVRU LQWHJUDWLRQ ZLWK WKH PLFURFRQWUROOHU  

 ' SULQWHG 3/$ FDVH IRU WKH FRPSOHWH V\VWHP                   

 &RPSOHWH GDWD DFTXLVLWLRQ HTXLSPHQW                       

 3UREDELOLW\ IRU D QRUPDO GLVWULEXWLRQ FXUYH                     

 ([DPSOH RI OLIW DQG GUDJ FRHIILFLHQWV SRLQWV LQ RQH ELQ GLYLVRQ           

 *OLGH SDWK H[DPSOH IRU WKH H[DPSOH ELQ SRLQWV                  

 $LUVSHHG FDOLEUDWLRQ OLQH                              

 3ORW RI WKH H[SHULPHQWDO CD DQG CL IRU ERWK FRQILJXUDWLRQV            

 3ORW RI WKH H[SHULPHQWDO JOLGH UDWLR YDOXHV DJDLQVW WKH OLIW FRHIILFLHQW IRU ERWK
FRQILJXUDWLRQV                                   

 3ORW RI WKH H[SHULPHQWDO JOLGH UDWLR YDOXHV OLPLWHG WR D PD[LPXP YDOXH RI 
DJDLQVW WKH OLIW FRHIILFLHQW IRU ERWK FRQILJXUDWLRQV                 

 3ORW RI WKH H[SHULPHQWDO JOLGH UDWLR YDOXHV OLPLWHG WR D PD[LPXP YDOXH RI 
DJDLQVW WKH OLIW FRHIILFLHQW IRU WKH :77 FRQILJXUDWLRQ               

 3ORW RI WKH H[SHULPHQWDO JOLGH UDWLR YDOXHV OLPLWHG WR D PD[LPXP YDOXH RI 
DJDLQVW WKH OLIW FRHIILFLHQW IRU WKH FRQYHQWLRQDO FRQILJXUDWLRQ           

 3ORW RI WKH H[SHULPHQWDO JOLGH UDWLR YDOXHV OLPLWHG WR D PD[LPXP YDOXHV RI 
EHIRUH DQG DIWHU UHPRYLQJ WKH RXWOLHU SRLQWV IRU WKH :77 FRQILJXUDWLRQ      

 3ORW RI WKH H[SHULPHQWDO JOLGH UDWLR YDOXHV OLPLWHG WR D PD[LPXP YDOXHV RI 
EHIRUH DQG DIWHU UHPRYLQJ WKH RXWOLHU SRLQWV IRU WKH FRQYHQWLRQDO FRQILJXUDWLRQ  

 3ORW RI WKH JOLGH UDWLR DYHUDJH YDOXHV EHIRUH DQG DIWHU UHPRYLQJ WKH RXWOLHU SRLQWV
IRU WKH :77 FRQILJXUDWLRQ                             

[LY
 3ORW RI WKH JOLGH UDWLR DYHUDJH YDOXHV EHIRUH DQG DIWHU UHPRYLQJ WKH RXWOLHU SRLQWV
IRU WKH FRQYHQWLRQDO FRQILJXUDWLRQ                         

 3ORW RI WKH H[SHULPHQWDO JOLGH UDWLR YDOXHV DIWHU UHPRYLQJ WKH RXWOLHU SRLQWV IRU
ERWK FRQILJXUDWLRQV ZLWKRXW DQ\ OLPLW DW WKH YHUWLFDO D[LV             

 6WDQGDUG GHYLDWLRQ IRU WKH GUDJ DQG OLIW FRHIILFLHQWV IRU ERWK FRQILJXUDWLRQV    

 ([SHULPHQWDO GUDJ SRODU SORW DQG VWDQGDUG GHYLDWLRQ IRU WKH :77 FRQILJXUDWLRQ  

 ([SHULPHQWDO GUDJ SRODU RI WKH 8QLFRUQ 8$9                    

 3ORW RI WKH H[SHULPHQWDO JOLGH UDWLR DYHUDJH YDOXHV IRU ERWK FRQILJXUDWLRQV FRP
SDULVRQ                                       

 $V\PPHWULFDO GUDJ SRODU FXUYH ILWWLQJ DW WKH JOLGH UDWLR YDOXHV SORW        

 $V\PPHWULFDO GUDJ SRODU FXUYH ILWWLQJ DW WKH GUDJ SRODU SORW            

 ;)/5 JOLGH UDWLR YDOXHV FRPSDULVRQ ZLWK WKH H[SHULPHQWDO UHVXOWV IRU ERWK FRQ
ILJXUDWLRQV                                     

 ;)/5 CL DQG CD YDOXHV FRPSDULVRQ ZLWK WKH H[SHULPHQWDO UHVXOWV IRU ERWK FRQ
ILJXUDWLRQV                                     

 (VWLPDWHG SDUDVLWH GUDJ FRHIILFLHQW IRU IXVHODJH DQG RWKHU FRPSRQHQWV IRU ERWK
FRQILJXUDWLRQV                                   

 &RPSDULVRQ RI WKH H[SHULPHQWDO JOLGH UDWLR YDOXHV ZLWK WKH RQHV DYHUDJHG RE
WDLQHG ZLWK WKH HUURQHRXV DSSURDFK                        

 5HVXOWV GLVSHUVLRQ FRPSDULVRQ EHWZHHQ WKH HQHUJ\ PHWKRG DQG WKH PHWKRGRORJ\
ZLWKRXW WKH ILOWUDWLRQ                                

 5HVXOWV GLVSHUVLRQ FRPSDULVRQ EHWZHHQ WKH HQHUJ\ PHWKRG DQG WKH PHWKRGRORJ\
ZLWK WKH FRQVWDQW VSHHG DVVXPSWLRQ                        

 5HVXOWV GLVSHUVLRQ FRPSDULVRQ EHWZHHQ WKH HQHUJ\ PHWKRG DQG WKH PHWKRGRORJ\
ZLWKRXW WKH OLIW FRHIILFLHQW FRUUHFWLRQ                       

 5HVXOWV GLVSHUVLRQ FRPSDULVRQ EHWZHHQ WKH HQHUJ\ PHWKRG DQG WKH PHWKRGRORJ\
ZLWKRXW DOO WKH FRUUHFWLRQV                             

 &RPSDULVRQ RI WKH JOLGH UDWLR YDOXHV REWDLQHG ZLWK WKH JOLGH DQJOH PHWKRGRORJ\
IRU ERWK FRQILJXUDWLRQV                               

 &RPSDULVRQ RI WKH JOLGH UDWLR YDOXHV REWDLQHG ZLWK WKH JHRPHWULFDO PHWKRGRORJ\
IRU ERWK FRQILJXUDWLRQV                               

 &RPSDULVRQ RI WKH JOLGH UDWLR DYHUDJH YDOXHV EHWZHHQ WKH HQHUJ\ PHWKRG DQG WKH
DOWHUQDWLYH PHWKRGRORJLHV IRU WKH :77 FRQILJXUDWLRQ               

 &RPSDULVRQ RI WKH JOLGH UDWLR DYHUDJH YDOXHV EHWZHHQ WKH HQHUJ\ PHWKRG DQG WKH
DOWHUQDWLYH PHWKRGRORJLHV IRU WKH FRQYHQWLRQDO FRQILJXUDWLRQ           

 ([SHULPHQWDO WKUXVW DJDLQVW WKH YHORFLW\ IRU ERWK FRQILJXUDWLRQV ZLWK WKH OLQHDU
UHJUHVVLRQ IRU YHORFLWLHV DERYH 7.5m/s DQG 10m/s                 

[Y
  7KUXVW FXUYHV IRU WKH SURSXOVLYH V\VWHP IURP WKH H[SHULPHQWDO FXUYH ILW 8%, VWXG\
=DJUHE VWXG\ DQG 6WXWWJDUW VWXG\                          

 ([SHULPHQWDO SURSXOVLYH HIILFLHQF\                         

 ;)/5 VWUHDP OLQHV IRU WKH :77 FRQILJXUDWLRQ                   

 ;)/5 FRQILJXUDWLRQ RSWLPL]DWLRQ                         

 ;)/5 FXUYHV IRU CL DQG Cm                             

$ :LQJ WLS WDLO WXEH EHIRUH WKH FUHDWLRQ RI WKH LQWHUIDFH               

$ 7DLO VXUIDFH WXEH ZLWK IHPDOH LQWHUIDFH DQG ' SULQWHG FODPS IRU ZLQJ DWWDFKPHQW 

$ :LQJ WLS WDLO WXEH ZLWK KDUG SRLQW WR UHFHLYH WKH WDLO VXUIDFH FODPS        

$ 'DWD $FTXLVLWLRQ 6\VWHP 6FKHPDWLF                         

[YL
/LVW RI 7DEOHV

 (OHFWULF EUXVKOHVV RXWUXQQHU PRWRU FKDUDFWHULVWLFV                 

 (OHFWURQLF VSHHG FRQWUROOHU (6& FKDUDFWHULVWLFV                  

 %DWWHU\ QXPEHU RQH FKDUDFWHULVWLFV                        

 %DWWHU\ QXPEHU WZR FKDUDFWHULVWLFV                        

 3URSHOOHU FKDUDFWHULVWLFV                              

 :LQJ 7LS 7DLO FRQILJXUDWLRQ PRGHO DLUSODQH·V PDLQ GLPHQVLRQV           

 ,QLWLDO WDLO GLPHQVLRQV IRU WKH EDVHOLQH FRQYHQWLRQDO FRQILJXUDWLRQ         

 )LQDO WDLO GLPHQVLRQV IRU WKH FRQYHQWLRQDO FRQILJXUDWLRQ              

 0LFURFRQWUROOHU ERDUG VSHFLILFDWLRQV                        

 *36 UHFHLYHU VSHFLILFDWLRQV                             

 'LJLWDO VWDWLF SUHVVXUH DQG WHPSHUDWXUH VHQVRU VSHFLILFDWLRQV           

 'LIIHUHQWLDO SUHVVXUH VHQVRU VSHFLILFDWLRQV                     

 9ROWDJH GLYLGHU VSHFLILFDWLRQV                            

 +DOO HIIHFW FXUUHQW VHQVRU VSHFLILFDWLRQV                      

 6' FDUG UHDG ZULWHU VSHFLILFDWLRQV                         

 /HYHO VKLIWHU VSHFLILFDWLRQV                             

 ([DPSOH OLIW DQG GUDJ FRHIILFLHQWV SRLQWV ZLWK WKHLU JOLGH UDWLR YDOXH DQG WKH JOLGH
UDWLR IRU WKH HUURQHRXV DSSURDFK                          

 8QFHUWDLQW\ DQDO\VLV VXPPDU\                           

 8QFHUWDLQW\ DQDO\VLV UHVXOWV                            

[YLL
[YLLL
1RPHQFODWXUH

AR :LQJ $VSHFW 5DWLR

b :LQJVSDQ >m@

b 6SDQZLVH :LQJ 7LS 9RUWH[ 6SDFLQJ >m@

c̄ 0HDQ *HRPHWULF &KRUG >m@

CAS &DOLEUDWHG $LUVSHHG >m/s@

CD 'UDJ &RHIILFLHQW

cd 3URILOH 'UDJ &RHIILFLHQW

CD,0 =HUR /LIW 'UDJ &RHIILFLHQW

CD,e 3DUDVLWH 'UDJ &RHIILFLHQW

CDi ,QGXFHG 'UDJ &RHIILFLHQW

CDmin 0LQLPXP 'UDJ &RHIILFLHQW

CL /LIW &RHIILFLHQW

CLCDmin /LIW &RHIILFLHQW IRU 0LQLPXP 'UDJ &RHIILFLHQW

CG &HQWHU RI *UDYLW\

D 'UDJ )RUFH >N @

Di ,QGXFHG 'UDJ )RUFH >N @

dt ,QILQLWHVLPDO 7LPH >s@

E 7RWDO $LUSODQH (QHUJ\ >J@

e 2VZDOG )DFWRU

e0 6SDQ (IILFLHQF\

Es 6SHFLILF (QHUJ\ >m@

F *HQHULF )RUFH >N @

g *UDYLWDWLRQDO $FFHOHUDWLRQ >m/s2 @

h $OWLWXGH >m@

ḣ $OWLWXGH 'HULYDWLYH >m/s@

ḧ $OWLWXGH 6HFRQG 'HULYDWLYH >m/s2 @

he (QHUJ\ +HLJKW >m@

hrel 5HODWLYH $OWLWXGH >m@

Ibat %DWWHU\ &XUUHQW 'UDLQ >A@

KE .LQHWLF (QHUJ\ >J@

[L[
ki (OOLSWLFDO LQGXFHG GUDJ IDFWRU

K ,QGXFHG 'UDJ )DFWRU

L /LIW )RUFH SHU 8QLW 6SDQ >N/m@

L /LIW )RUFH >N @

l0 ,QWHJUDO 6FDOH RI :DNH 9RUWLFLW\ >m@

L/D *OLGH 5DWLR

lh +RUL]RQWDO 7DLO 0RPHQW $UP >m@

lv 9HUWLFDO 7DLO 0RPHQW $UP >m@

m $LUSODQH 0DVV >kg@

p 6WDWLF 3UHVVXUH >P a@

p0 ,6$ 0HDQ 6HD /HYHO 5HIHUHQFH 3UHVVXUH >P a@

Pa $YDLODEOH 3RZHU >W @

PE 3RWHQWLDO (QHUJ\ >J@

Pe (OHFWULFDO 3RZHU >W @

Pf )LHOG 6WDWLF 3UHVVXUH >P a@

Pr 5HTXLUHG 3RZHU >W @

Ps 6SHFLILF ([FHVV 3RZHU >W/N @

q '\QDPLF 3UHVVXUH >P a@

R2 &RHIILFLHQW RI 'HWHUPLQDWLRQ

r 3DUDVLWH 'UDJ 'XH WR /LIW &RHIILFLHQW

RC 5DWH RI &OLPE >m/s@

rk 9RUWH[FRUH 5DGLXV >m@

S 5HIHUHQFH :LQJ $UHD >m2 @

Sh 5HIHUHQFH +RUL]RQWDO 7DLO $UHD >m2 @

Sv 5HIHUHQFH 9HUWLFDO 7DLO $UHD >m2 @

T 7KUXVW )RUFH >N @

t 7LPH >s@

T0 ,6$ 0HDQ 6HD /HYHO 5HIHUHQFH 7HPSHUDWXUH >K@

Ta $YDLODEOH 7KUXVW >N @

T AS 7UXH $LUVSHHG >m/s@

Tf )O\LQJ )LHOG 7HPSHUDWXUH >K@

Tk 7HPSHUDWXUH LQ .HOYLQ >K@

[[
Tr 5HTXLUHG 7KUXVW )RUFH >N @

Ubat %DWWHU\ 9ROWDJH >V @

V 9HORFLW\ >m/s@

V̇ 9HORFLW\ 'HULYDWLYH >m/s2 @

VAIR $LUVSHHG >m/s@

VGN D *URXQGVSHHG >m/s@

V∞ 5HODWLYH :LQG >m/s@

V¯h +RUL]RQWDO 7DLO 9ROXPH &RHIILFLHQW

V¯v 9HUWLFDO 7DLO 9ROXPH &RHIILFLHQW

W $LUFUDIW :HLJKW )RUFH >N @

*UHHN OHWWHUV

αT r 7KUXVW $QJOH >rad@

ΔP 'LIIHUHQWLDO 3UHVVXUH >P a@

ηp 3URSXOVLYH (IILFLHQF\

Γ $LUIRLO &LUFXODWLRQ >m2 /s@

Γwing :LQJ &LUFXODWLRQ >m3 /s@

γ *OLGH $QJOH >rad@

γx 7UDLOLQJ 9RUWH[ 6WUHQJWK 9RUWLFLW\ LQ WKH /RQJLWXGLQDO $[LV >m2 /s@

ω 'RZQZDVK 9HORFLW\ >m/s@

ρ $LU 'HQVLW\ >kg/m3 @

ρ0 ,6$ 0HDQ 6HD /HYHO 5HIHUHQFH $LU 'HQVLW\ >kg/m3 @

σ 6WDQGDUG 'HYLDWLRQ

π 3L 1XPEHU

φ 'LDPHWHU >mm@

[[L
[[LL
$FURQ\PV
%(& %DWWHU\ (OLPLQDWRU &LUFXLW

&)' &RPSXWDWLRQDO )OXLG '\QDPLFV

&)53 &DUERQ )LEHU 5HLQIRUFHG 3RO\PHU

&69 &RPPD 6HSDUDWHG 9DOXHV

''/ 'UDJ 'XH WR /LIW

'/* 'LVFXV /DXQFK *OLGHU

(6& (OHFWURQLF 6SHHG FRQWUROOHU

*36 *OREDO 3RVLWLRQLQJ 6\VWHP

,6$ ,QWHUQDWLRQDO 6WDQGDUG $WPRVSKHUH

/L3R /LWKLXP 3RO\PHU

//7 /LIWLQJ /LQH 7KHRU\

0$& 0HDQ $HURG\QDPLF &KRUG

1$6$ 1DWLRQDO $HURQDXWLFV DQG 6SDFH $GPLQLVWUDWLRQ

2+6 2XWERDUG +RUL]RQWDO 6WDELOL]HUV

3&% 3ULQWHG &LUFXLW %RDUG

3/$ 3RO\ODFWLF $FLG

5& 5DGLR &RQWUROOHG

8$9 8QPDQQHG $HULDO YHKLFOH

9/0 9RUWH[ /DWWLFH 0HWKRG

:77 :LQJ 7LS 7DLO &RQILJXUDWLRQ

[[LLL
[[LY
&KDSWHU 

,QWURGXFWLRQ

 0RWLYDWLRQ

7KH DLUSODQH GHVLJQ LV LQ FRQVWDQW GHYHORSPHQW VLQFH LWV FUHDWLRQ WKH FRQYHQWLRQDO GHVLJQV DUH
UHDFKLQJ WKHLU PD[LPXP SRWHQWLDO DQG QHZ FRQFHSWV IRU WKH RSWLPL]DWLRQ RI IO\LQJ YHKLFOHV DUH
VWXGLHG 7KH PRWLYDWLRQ IRU WKH SUHVHQW ZRUN FRPHV IURP WKH QHFHVVLW\ RI YDOLGDWLQJ D QHZ
DLUSODQH FRQILJXUDWLRQ FRQFHSW 6LQFH WKH DLUFUDIW ZDV DOUHDG\ GHYHORSHG LPSURYHG DQG EXLOW
HVWLPDWLQJ LWV SHUIRUPDQFH PDLQO\ WKURXJK IOLJKW WHVWLQJ ZDV WKH FKRVHQ VROXWLRQ 7KHUH LV DOVR
D PRWLYDWLRQ IRU VWXG\LQJ D IOLJKW WHVWLQJ PHWKRGRORJ\ WKH GHYHORSPHQW DQG GRFXPHQWDWLRQ RI
WKH FXUUHQWO\ SURSRVHG HQHUJ\ EDVHG PHWKRGRORJ\ ZLOO DOORZ WKH HVWLPDWLRQ RI WKH SHUIRUPDQFH
RI SUHVHQW DQG IXWXUH SURMHFWV IURP WKH 8QLYHUVLW\ RI %HLUD ,QWHULRU 8%, $HURVSDFH 6FLHQFHV
GHSDUWPHQW DQG UHILQH WKH GHVLJQ PHWKRGRORJLHV FUHDWHG KHUHRQ

%H\RQG WKH REMHFWLYHV RI WKLV GLVVHUWDWLRQ WKH 8QPDQQHG $HULDO 9HKLFOHV UHSUHVHQW QRZ D
JUHDW LPSRUWDQFH LQ WKH DHURVSDFH UHVHDUFK DQG LQGXVWU\ WKLV LQGXVWU\ LV WKH RQH LQ WKH DHUR
QDXWLFDO ILHOG WKDW LQ WKH ODVW \HDUV KDV JURZQ WKH PRVW 7KHVH DLUFUDIW KDYH PDQ\ DSSOLFDWLRQV
WKH\ DUH EHLQJ XVHG DV D ILQDO SURGXFW IRU H[DPSOH IRU GDQJHURXV DSSOLFDWLRQV DHULDO PDSSLQJ
RU DV D WHVW ULJ WR WHVW QHZ FRQFHSWV DQG LGHDV EHIRUH EXLOGLQJ D IXOO VFDOH PDQQHG DLUFUDIW
%HLQJ DEOH WR FRQWULEXWH ZLWK QHZ FRQFHSWV DQG WHVWLQJ DSSURDFKHV WR WKH DLUFUDIW GHVLJQ ILHOG
RI VWXG\ ZDV DQ LPSRUWDQW PRWLYDWLRQ WRR

 7KH 1HZ &RQILJXUDWLRQ :LQJ 7LS 7DLO

7KH QHZ SURSRVHG FRQILJXUDWLRQ FDOOHG ZLQJ WLS WDLO FRQILJXUDWLRQ :77  WR UHGXFH WKH ZLQJ
WLS YRUWH[ JHQHUDWHG GUDJ LV LPSOHPHQWHG LQ D IL[HGZLQJ UHPRWHO\ SLORWHG DLUSODQH ZLWK WDLO
VXUIDFHV D IXVHODJH DQG DQ HOHFWULF PRWRU ZLWK D WUDFWRU SURSHOOHU $SDUW IURP WKH WDLO VXUIDFHV
DQG UHODWLYHO\ ORZ DVSHFW UDWLR ZLQJ ZKLFK LV D UHVXOW IURP WKH OLPLWHG VSDQ UHTXLUHPHQW IRU
WKLV DLUFUDIW GHVLJQ HYHU\WKLQJ LV VLPLODU WR D FRQYHQWLRQDO IL[HGZLQJ DLUSODQH RI WKH VDPH VL]H
,Q WKLV QHZ QRQFRQYHQWLRQDO WDLO FRQILJXUDWLRQ WZR WDLO VXUIDFHV DUH SRVLWLRQHG EHKLQG WKH ZLQJ
QHDU HDFK RI WKH ZLQJWLSV WKH\ KDYH D GLKHGUDO DQJOH VR WKH\ DUH GLUHFWHG XSZDUG DQG LQERDUG
7KHLU VSDQZLVH ORFDWLRQ YHUWLFDO SRVLWLRQ GLKHGUDO DQJOH DQG GLVWDQFH IURP ZLQJ DUH GHVLJQ
YDULDEOHV 7KH DLUFUDIW LV H[WHQVLYHO\ GHVFULEHG LQ &KDSWHU 

7KH FRQFHSW RI WKH WHVWHG DLUFUDIW DSSHDUV LQ WKH  GHVLJQEXLOGIO\ 3RUWXJXHVH FRPSH
WLWLRQ )LJXUH  WKH $LU &DUJR &KDOOHQJH $&&  %ULHIO\ WKH $LU &DUJR &KDOOHQJH LV D GHVLJQ
EXLOGIO\ W\SH FRPSHWLWLRQ IRU WKH HQJLQHHULQJ DQG VFLHQFH VWXGHQWV ZLWK WKH PDLQ REMHFWLYH
RI GHYHORSLQJ D UHPRWHO\ SLORWHG DLUFUDIW WKDW FDQ FDUU\ WKH PD[LPXP SRVVLEOH SD\ORDG ZLWKLQ
FHUWDLQ VSHFLILFDWLRQV WKDW FDQ EH FKDQJHG HDFK HGLWLRQ KHOG HYHU\ WZR \HDUV 7KH 8QLYHUVLW\
RI %HLUD ,QWHULRU 8%, WHDP ZRQ WKLV ILUVW HGLWLRQ ZLWK WKH SUHVHQW QHZ DLUFUDIW FRQILJXUDWLRQ


'HVSLWH WKH ILUVW SODFH WKLV DLUFUDIW KDG D G\QDPLF VWDELOLW\ SUREOHP ZKHUH DW D FHUWDLQ DLUVSHHG
LQWHUYDO D GXWFK UROO OLNH PRYHPHQW ZLWK FRQVWDQW DPSOLWXGH WRRN SODFH WKLV SUREOHP UHVXOWHG
IURP WKH LQWHUIHUHQFH RI WKH WDLO VXUIDFHV ZLWK WKH ZLQJWLS YRUWH[ ZKHQ GXULQJ D VLGHVOLS RQH
RI WKH WDLO VXUIDFHV ZRXOG OHDYH WKH YRUWH[ ZDNH FUHDWLQJ DQ DV\PPHWULFDO IRUFH WKDW IRUFHG
WKH DLUFUDIW WR \DZ WKH RWKHU GLUHFWLRQ FUHDWLQJ DJDLQ WKH VDPH HIIHFW LQ WKH RWKHU GLUHFWLRQ
UHSHDWHGO\

)LJXUH  8%,·V  $&& HGLWLRQ ZLQQLQJ DLUSODQH

7KH DLUFUDIW FRQILJXUDWLRQ ZDV IXUWKHU VWXGLHG DQG LPSURYHG LQ WKH  $&& HGLWLRQ )LJ
XUH  ZKHQ WKH FRPSHWLWLRQ EHFDPH (XURSHDQ ZLWK  WHDPV IURP  FRXQWULHV D QHZ DLUFUDIW
ZLWK WKH VDPH FRQILJXUDWLRQ FRQFHSW UHDFKHG WKH WK SODFH ,Q WKLV DLUFUDIW WKH WDLO VXUIDFHV
ZHUH QRW DW WKH ZLQJWLSV EXW VOLJKWO\ LQERDUG WKLV ZD\ WKH DLUFUDIW GLG QRW VKRZ WKH G\QDPLF
VWDELOLW\ SUREOHP WKDW FKDUDFWHUL]HG WKH SUHYLRXV  $&& DLUSODQH +RZHYHU GXH WR WKH ZLQJ
FRQVWUXFWLRQ PHWKRG DQG PDWHULDOV WKH ZLQJ ZDV QRW WRUVLRQDOO\ VWLII %HLQJ WKH WDLO VXUIDFHV
PRXQWHG EHKLQG WKH ZLQJ DW WKH ZLQJWLSV ZKHQ DFWLQJ LQ WKH ORQJ DUP HOHYRQV WDLO VXUIDFHV WR
UROO WKH DLUFUDIW WKH ZLQJ WZLVWV UHVXOWLQJ LQ DQ LQFUHDVLQJ RI WKH DQJOH RI LQFLGHQFH DW WKH WLSV
DV WKH G\QDPLF SUHVVXUH LQFUHDVHV SURGXFLQJ D UROO FRQWURO UHYHUVDO EH\RQG D JLYHQ DLUVSHHG
WKDW FDQ UHVXOW LQ D FUDVK

)LJXUH  8%,·V  $&& HGLWLRQ VHFRQG WHDP DLUSODQH


 7KH DHURG\QDPLF FRQFHSW EHKLQG WKLV QRQFRQYHQWLRQDO FRQILJXUDWLRQ VKDUHV WKH VDPH SULQ
FLSOHV LQKHUHQW WR ZLQJOHWV DQG RWKHU YRUWH[ GUDJ UHGXFWLRQ GHYLFHV %\ SRVLWLRQLQJ WKH WDLO
VXUIDFHV EHKLQG WKH ZLQJ ZDNH QHDU WKH ZLQJWLSV WKH\ ZLOO EH HPHUJHG LQ WKH WLS YRUWH[ 7KLV
ZD\ WKH IORZ DW WKHVH VXUIDFHV FRPHV ZLWK D UHODWLYH DQJOH ZKHQ FUHDWLQJ OLIW GXH WR WKLV
DQJOH WKH UHVXOWDQW IRUFH SRLQWV LQ WKH GLUHFWLRQ RI IOLJKW WUDQVIRUPLQJ WKH RWKHUZLVH LQGXFHG
GUDJ LQ LQGXFHG WKUXVW

 2EMHFWLYHV

7KH PDLQ REMHFWLYH RI WKLV GLVVHUWDWLRQ LV WR PHDVXUH WKH DHURG\QDPLF HIILFLHQF\ LQFUHDVH LQ
DQ DLUFUDIW ZLWK WKH GHVFULEHG QHZ FRQILJXUDWLRQ PDLQO\ WKURXJK IOLJKW WHVWV 7R LQFUHDVH WKH
NQRZOHGJH LQ IOLJKW WHVWLQJ 8$9V DQG LQ WKH HQHUJ\ EDVHG PHWKRGRORJ\ LWVHOI LV DOVR DQ REMHFWLYH
RI WKH SUHVHQW ZRUN 'XULQJ WKLV ZRUN DQG WR DFKLHYH WKH GHVFULEHG REMHFWLYHV WKH IROORZLQJ
SRLQWV DUH DOVR REMHFWLYHV

• &UHDWH D EDVHOLQH FRQYHQWLRQDO WDLO DLUSODQH FRQILJXUDWLRQ WR FRPSDUH ZLWK WKH QHZ FRQILJX
UDWLRQ

• (VWLPDWH WKH GUDJ SRODU DQG FRPSDUH WKH HIILFLHQF\ RI ERWK FRQILJXUDWLRQV

• (VWLPDWH WKH FKDUDFWHULVWLFV RI WKH SURSXOVLYH V\VWHP

• 'HYHORS DQG GRFXPHQW WKH IOLJKW WHVWLQJ SURFHGXUHV

• ,QFUHDVH WKH NQRZOHGJH LQ WKH HQHUJ\ IOLJKW WHVWLQJ PHWKRGRORJ\

• 'HYHORS DQG YDOLGDWH WKH LQVWUXPHQWDWLRQ QHHGHG WR SHUIRUP WKH IOLJKW WHVWV

• ,QFUHDVH WKH NQRZOHGJH LQ DLUFUDIW ZLWK WKLV QHZ FRQILJXUDWLRQ DQG SURSRVH FKDQJHV WR WKH
FRQFHSW WR LQFUHDVH LWV HIILFLHQF\

 7KHVLV 2XWOLQH

$IWHU WKLV ILUVW LQWURGXFWRU\ FKDSWHU LQ ZKLFK WKH VWXGLHG QHZ FRQFHSW PRWLYDWLRQ DQG RE
MHFWLYHV RI WKLV PDVWHU WKHVLV DUH GHVFULEHG WKH SUHVHQW GLVVHUWDWLRQ LV GLYLGHG LQ ILYH PRUH
FKDSWHUV $ EULHI GHVFULSWLRQ RI HDFK FKDSWHU LV SUHVHQWHG EHOORZ

• &KDSWHU  SUHVHQWV WKH OLWHUDWXUH UHYLHZ ,W VWDUWV ZLWK WKH IXQGDPHQWDOV RI WKH LQGXFHG GUDJ
IROORZLQJ ZLWK WKH UHYLHZ RI WKH H[LVWLQJ GHYLFHV DQG FRQILJXUDWLRQV WR UHGXFH WKLV GUDJ
LQFOXGLQJ QRYHO GHYLFHV DLUFUDIW FRQILJXUDWLRQV DQG HYHQ OLIW GLVWULEXWLRQV 7KH IXQGDPHQ
WDOV RI DLUFUDIW SHUIRUPDQFH DQG IOLJKW WHVWLQJ WHFKQLTXHV DUH DOVR SUHVHQWHG WR FRQFOXGH
WKLV FKDSWHU WKH VWDWH RI WKH DUW RI IOLJKW WHVWLQJ PRGHO DLUFUDIW LV SUHVHQWHG DV LW LV WKH
FDVH RI 8$9V

• &KDSWHU  SUHVHQWV WKH PHWKRGRORJ\ IROORZHG WR DFKLHYH WKH REMHFWLYHV RI WKH SUHVHQW ZRUN
,W VWDUWV ZLWK WKH GHVFULSWLRQ RI WKH QXPHULFDO VWXGLHV 7KH QHZ FRQILJXUDWLRQ DLUFUDIW
LV SUHVHQWHG DV ZHOO DV WKH SURSXOVLYH V\VWHP 7KH GHVLJQ SKLORVRSK\ RI WKH EDVHOLQH


 FRQYHQWLRQDO FRQILJXUDWLRQ DLUFUDIW LV WKHQ SUHVHQWHG 7KH HQHUJ\ EDVHG IOLJKW WHVWLQJ
PHWKRGRORJ\ LV IRUPXODWHG WRJHWKHU ZLWK WKH IO\LQJ SURFHGXUHV WR H[HFXWH WKH IOLJKW WHVWV
7KH QHFHVVDU\ GDWD WR JDWKHU GXULQJ IOLJKW DQG D SUHVHQWDWLRQ RI WKH GHYHORSHG GDWD DF
TXLVLWLRQ HTXLSPHQW LV PDGH 7KLV FKDSWHU HQGV ZLWK WKH H[SODQDWLRQ RI WKH PHWKRGRORJ\
XVHG WR DQDO\]H WKH IOLJKW GDWD

• &KDSWHU  SUHVHQWV WKH UHVXOWV RI WKH IOLJKW WHVWLQJ DQG WKHLU GLVFXVVLRQ ,W VWDUWV ZLWK DQ
RYHUYLHZ RI WKH IOLJKW WHVWLQJ FDPSDLJQ D UHYLHZ RI WKH KDQGOLQJ RI WKH DLUFUDIW DQG DQ
XQFHUWDLQW\ DQDO\VLV LV PDGH 7KH UHVXOWV RI WKH 3LWRW WXEH FDOLEUDWLRQ DUH DOVR SUHVHQWHG
7KH UHVW RI WKH FKDSWHU SUHVHQWV WKH GUDJ SRODU DQG JOLGH UDWLR RI ERWK QHZ DQG EDVH
OLQH FRQYHQWLRQDO FRQILJXUDWLRQV WHVWHG DLUFUDIW EHIRUH DQG DIWHU H[FOXGLQJ RXWOLHUV GDWD
SRLQWV 7KHVH UHVXOWV DUH FXUYH ILWWHG DQG FRPSDUHG ZLWK VLPLODU ZRUNV LQ WKH OLWHUDWXUH
DQG DOVR FRPSDUHG ZLWK WKH QXPHULFDO UHVXOWV DQG ZLWK WKRVH RI WKH GHVFULEHG DOWHUQDWLYH
GDWD DQDO\VLV PHWKRGRORJLHV 7KLV FKDSWHU DOVR LQFOXGHV WKH UHVXOWV IRU WKH FKDUDFWHULVWLFV
RI WKH SURSXOVLYH V\VWHP DQG WKH\ DUH FRPSDUHG ZLWK RWKHU ZLQG WXQQHO DQG QXPHULFDO UH
VXOWV 7KH LQIOXHQFH RI VRPH SDUWLFXODULWLHV RI WKLV GDWD DQDO\VLV PHWKRGRORJ\ DUH HYDOXDWHG
WKURXJK WKH UHVXOWDQW GLVSHUVLRQ LQ WKH H[SHULPHQWDOO\ REWDLQHG GUDJ DQG OLIW FRHIILFLHQWV

• &KDSWHU  SUHVHQWV WKH QXPHULFDO SDUDPHWULF VWXG\ RI WKH WDLO SRVLWLRQ RI WKH SUHVHQW QHZ
FRQILJXUDWLRQ WR EHWWHU XQGHUVWDQG WKLV FRQFHSW DQG REWDLQ D IXWXUH LPSURYHG FRQILJXUDWLRQ
IRU WKLV DLUFUDIW

• &KDSWHU  SUHVHQWV WKH PDLQ FRQFOXVLRQV DQG GLVFXVVHV KRZ WKH REMHFWLYHV ZHUH DFKLHYHG
)XWXUH ZRUN FRQFHUQLQJ WKH SHUIRUPDQFH IOLJKW WHVWLQJ RI 8$9V DV ZHOO DV WKH LPSURYHPHQW
RI WKH QHZ FRQILJXUDWLRQ DUH DOVR SUHVHQWHG


&KDSWHU 

/LWHUDWXUH 5HYLHZ

 'UDJ 'XH WR /LIW )XQGDPHQWDOV

 9LVFRXV 'UDJ

7KH GUDJ IRUFH LV WKH VXP RI WKH GUDJ SURGXFHG E\ HDFK FRPSRQHQW LQ WKH DLUFUDIW (DFK FRP
SRQHQW KDV D UHVXOWDQW GUDJ IRUFH ZLWK GLIIHUHQW DQG LQGHSHQGHQW RULJLQV $V WKH VFRSH RI WKLV
VWXG\ LV RQO\ DW VXEVRQLF VSHHGV WKH GUDJ FDXVHG E\ IO\LQJ DW WUDQVRQLF DQG VXSHUVRQLF VSHHGV
ZDYH GUDJ ZLOO QRW EH GLVFXVVHG $SDUW IURP ZDYH GUDJ WKHUH DUH WZR SULQFLSDO IRUPV RI GUDJ
DW VXEVRQLF VSHHGV YLVFRXV DQG LQYLVFLG 7KH YLVFRXV GUDJ DSSHDUV IURP D ERG\ EHLQJ LPPHUVHG
LQ DQ DLUIORZ DQG GHSHQGLQJ RQ WKH GLUHFWLRQ RI WKH UHVXOWDQW IRUFH RI WKLV IRUP RI GUDJ LW FDQ
EH VNLQ IULFWLRQ GUDJ LI WKH IRUFHV DUH WDQJHQW WR WKH ERG\ VXUIDFH DQG SUHVVXUH GUDJ LI WKH IRUFHV
DUH SHUSHQGLFXODU WR WKH ERG\ VXUIDFH 7KHVH GUDJ IRUPV DUH H[SODLQHG LQ GHWDLO DW >@ 7KH
YLVFRXV GUDJ LQ D ' DLUIRLO FDQ EH PHDVXUHG ZLWK WKH PRPHQWXP ORVV DW WKH ERG\ ZDNH IURP
WKH XQGLVWXUEHG IORZ XSVWUHDP )LJXUH 

‫ݑ‬ଶ

‫ݑ‬ଵ
ܷ݂݊݅‫ݕݐ݅ܿ݋݈ܸ݁݉ݎ݋‬

ʹ‫ݕ݀݋ܾܦ‬ š

‫ ݌‬ൌ ‫݌‬ஶ

1
2

)LJXUH  :DNH PRPHQWXP ORVV IURP DLUIRLO GUDJ DGDSWHG IURP >@


 /LIW

$Q\ ERG\ H[SRVHG WR D UHODWLYH ZLQG LV VXEMHFWHG WR D UHVXOWDQW DHURG\QDPLF IRUFH 7KLV DHUR
G\QDPLF IRUFH FDQ EH FRQVLGHUHG DV WKH VXP RI WZR FRPSRQHQWV OLIW DQG GUDJ 'UDJ KDV WKH
VDPH GLUHFWLRQ RI WKH UHODWLYH ZLQG ZKLOH OLIW LV SHUSHQGLFXODU WR WKH UHODWLYH ZLQG 7KH UDWLR
RI OLIW WR GUDJ PDJQLWXGH LV WKH DHURG\QDPLF HIILFLHQF\ RI WKH ERG\ /LIW DQG GUDJ DUH WKH DHUR
G\QDPLF IRUFHV JHQHUDWHG E\ DQ DLUSODQH GXULQJ IOLJKW DQG WKH\ DUH WKH PRVW LPSRUWDQW RQHV WR
WKH DLUSODQH SHUIRUPDQFH 7KHUH DUH WZR PRUH WKH ZHLJKW RI WKH DLUFUDIW DQG WKUXVW SURYLGHG
E\ WKH SURSXOVLRQ V\VWHP ,Q )LJXUH  WKHVH  IRUFHV DUH UHSUHVHQWHG GXULQJ VWHDG\ OHYHO IOLJKW
DQG WKH\ DUH DSSOLHG LQ WKH DLUFUDIW·V FHQWHU RI JUDYLW\ &* 

• :HLJKW W  IRUFH WKDW WKH (DUWK DSSOLHV WR WKH DLUFUDIW GXH WR KLV PDVV LW LV DOZD\V GLUHFWHG
WRZDUG WKH FHQWHU RI WKH (DUWK

• /LIW L  DHURG\QDPLF IRUFH ZKLFK EDODQFHV WKH ZHLJKW RI WKH DLUFUDIW SURGXFHG PDLQO\ E\
WKH ZLQJ DQG LW LV SHUSHQGLFXODU WR WKH UHODWLYH ZLQG V∞ 

• 'UDJ D  DHURG\QDPLF IRUFH WKDW UHVLVWV WR WKH PRYHPHQW RI WKH DLUFUDIW LW LV DOVR D GUDZEDFN
RI SURGXFLQJ OLIW RSSRVHG WR WKH IOLJKW GLUHFWLRQ

• 7KUXVW T  UHVXOWDQW IRUFH JHQHUDWHG E\ WKH SURSXOVLYH V\VWHP FRXQWHUDFWV GUDJ DOORZLQJ D
OHYHO IOLJKW

)LJXUH  )RUFHV DSSOLHG WR WKH DLUSODQH GXULQJ OHYHO IOLJKW

7KH PDLQ FRQWULEXWLRQ IRU OLIW FRPHV IURP WKH ZLQJ DQG WR JHQHUDWH OLIW HIILFLHQWO\ RQH RI
WKH PRVW LPSRUWDQW FKDUDFWHULVWLFV LV WKH ZLQJ FURVV VHFWLRQ VKDSH WKH DLUIRLO

7KH DLUIRLO JHQHUDWHV OLIW E\ DFFHOHUDWLQJ WKH DLU SDVVLQJ RYHU WKH WRS XSSHU VXUIDFH DQG
GHFHOHUDWLQJ WKH DLU SDVVLQJ XQGHU WKH ZLQJ ORZHU VXUIDFH  7KLV FDQ EH DFKLHYHG E\ GHIOHFWLQJ
WKH SODQH ZLWK UHODWLRQ WR WKH UHODWLYH ZLQG FDOOHG DQJOH RI DWWDFN DQGRU ZLWK FXUYDWXUH LQ
WKH DLUIRLO PHDQ OLQH FDPEHU  ZKLFK FRQVHTXHQWO\ GHIOHFWV WKH DLU IORZ DURXQG WKH DLUIRLO 7KH
GHIOHFWHG HOHPHQWV RI DLU FUHDWH D SUHVVXUH GLIIHUHQFH LQ WKH XSSHU VXUIDFH WKLV GLIIHUHQFH
LV QHJDWLYH DQG WKH DLU LV DFFHOHUDWHG LQ WKH ORZHU VXUIDFH WKH GLIIHUHQFH LV SRVLWLYH DQG WKH
DLU LV GHFHOHUDWHG 7KH SUHVVXUH LQ DFFHOHUDWHG DLU LV ORZHU WKDQ LQ WKH XQGLVWXUEHG IORZ DQG
WKH RSSRVLWH IRU WKH GHFHOHUDWHG DLU ZKHUH WKH SUHVVXUH LV KLJKHU 7KLV SUHVVXUH GLIIHUHQFH
JHQHUDWHV DQ XSZDUG IRUFH FDOOHG OLIW LQ WKH DLUIRLO DQG D GRZQZDUG IRUFH LQ WKH DLUIORZ WKDW LV
GHIOHFWHG SDVW WKH DLUIRLO DV GRZQZDVK


 )LJXUH  DGDSWHG IURP 5D\PHU >@ VKRZV WKH IORZILHOG DURXQG DQ DLUIRLO ,Q D WKH IORZ
ILHOG DURXQG WKH DLUIRLO LV UHSUHVHQWHG IURP WKH XQGLVWXUEHG XQLIRUP UHODWLYH ZLQG IUHHVWUHDP
LQ WKH OHIW WR WKH GRZQZDVK RQ WKH ULJKW GRZQVWUHDP RI WKH DLUIRLO ,Q E WKH YHORFLW\ YHFWRUV
UHSUHVHQWHG DUH WKH ORFDO RQHV VXEWUDFWHG E\ WKH IUHHVWUHDP UHVXOWDQW YHFWRUV DUH RQO\ WKH
YHORFLW\ FKDQJH GXH WR WKH DLUIRLO SUHVHQFH :LWK WKLV UHSUHVHQWDWLRQ LW LV FOHDU WKDW WKH DLUIRLO
LQWURGXFHV D FKDQJH LQ DLUIORZ WKDW FLUFXODWHV DURXQG WKH DLUIRLO ,Q F WKH FLUFXODWLRQ DURXQG
WKH DLUIRLO LV UHSUHVHQWHG )RU DQ DLUIRLO WKDW LV JHQHUDWLQJ OLIW WKH OLQH LQWHJUDO RI WKH YHORFLW\
ILHOG LV ILQLWH DQG LW LV WKH FLUFXODWLRQ >@ (TXDWLRQ  ZKHUH V LV WKH YHORFLW\ DQG ds LV WKH
LQILQLWHVLPDO FKRUG OHQJWK RI WKH DLUIRLO


Γ≡ V · ds 

ܽሻ‫ܮܣܷܶܥܣ‬
‫ܦܮܧܫܨܹܱܮܨ‬

ܾሻ‫ܯܣܧܴܶܵܧܧܴܨ‬
ܸ‫ܴܱܶܥܧܸܻܶܫܥܱܮܧ‬
ܷܵ‫ܦܧܶܥܣܴܶܤ‬
‫ܮܣܥܱܮܯܱܴܨ‬
ܸ‫ܴܱܵܶܥܧ‬

ܿሻ̶  ̶

ܴ‫ܱܰܫܶܣܶܰܧܵܧܴܲܧ‬

)LJXUH  $LUIRLO IORZILHOG DQG FLUFXODWLRQ DGDSWHG IURP 5D\PHU >@

7KLV FLUFXODWLRQ DURXQG WKH DLUIRLO DOORZV WKH FDOFXODWLRQ RI OLIW 7KH .XWWD-RXNRZVNL WKH
RUHP VD\V WKDW WKH OLIW SURGXFHG E\ DQ DLUIRLO SHU XQLW VSDQ LV GLUHFWO\ SURSRUWLRQDO WR WKH
FLUFXODWLRQ DURXQG LWVHOI HTXDWLRQ  >@

L = V∞ · ρ · Γ 


 'UDJ 'XH WR /LIW

'UDJ GXH WR OLIW ''/ LV LQYLVFLG GUDJ DQG LW LV DOVR NQRZQ DV µ,QGXFHG 'UDJµ RU µ9RUWH[ 'UDJµ
$V H[SODLQHG LQ  WKLV LV RQH IRUP RI WKH WRWDO GUDJ SURGXFHG E\ WKH DLUFUDIW DQG RQO\ H[LVWV
GXH WR WKH JHQHUDWLRQ RI OLIW HLWKHU E\ ZLQJV WDLO RU IXVHODJH ''/ GRHV QRW H[LVW LQ D WZR
GLPHQVLRQDO LQILQLWH ZLQJ ,W LV FDOOHG YRUWH[ GUDJ EHFDXVH RI WKH DSSHDUDQFH RI D YRUWH[
GRZQVWUHDP WKH ZLQJWLS RI WKH WKUHHGLPHQVLRQDO ILQLWH ZLQJ 7KHVH ZLQJWLS YRUWLFHV DUH WKH
VRXUFH RI YRUWH[ GUDJ ZKLFK UHVXOW IURP WKH OLIW QHHGHG WR PDLQWDLQ IOLJKW

,Q D SUDFWLFDO ZD\ WKH ZLQJWLS YRUWH[ LV FUHDWHG EHFDXVH RI WKH SUHVVXUH GLIIHUHQFH EHWZHHQ
WKH XSSHU DQG ORZHU VXUIDFHV RI WKH ZLQJV 7KH SUHVVXUH RQ WKH XSSHU VXUIDFH RI WKH ZLQJ LV
ORZHU WKDQ RQ WKH ORZHU VXUIDFH VR DV DLU PRYHV IURP KLJKHU WR ORZHU SUHVVXUHV ]RQHV WKH DLU
OHDYHV WKH ERWWRP RI WKH DLUIRLO DQG PRYHV DURXQG WKH ZLQJWLS WR WKH XSSHU VXUIDFH FUHDWLQJ WKH
ZLQJWLS YRUWH[

7KH /LIWLQJ /LQH 7KHRU\ //7  SXEOLVKHG LQ  E\ 3UDQGWO LV D VLPSOH WKHRU\ WR
FRPSXWH WKH OLIW DQG LQGXFHG GUDJ RI D ILQLWH VSDQ ZLQJ ZKLFK OHDGV WR D EHWWHU XQGHUVWDQGLQJ
RI WKH IRUPDWLRQ RI LQGXFHG GUDJ DQG LQKHUHQW FRQFHSWV $OWKRXJK DQ H[WHQVLYH H[SOLFDWLRQ DQG
IRUPXODWLRQ RI WKLV WKHRU\ DV ZHOO DV WKH DVVXPSWLRQV DQG LWV OLPLWDWLRQV DUH GHVFULEHG LQ >@ LQ
WKH ZRUN RI 0LQHFN HW DO IRU LQGXFHG GUDJ PLQLPL]DWLRQ >@ WKHUH LV D VXPPDU\ RI WKH 3UDQGWO
WKHRU\

/LIWLQJ/LQH 7KHRU\ 3UDQGWO/DQFKHVWHU 

7KH IROORZLQJ H[SODQDWLRQ IRU WKH //7 FRPSOHWHV WKH 0LQHFN·V VXPPDU\ ZLWK VRPH PLVVLQJ
GHWDLOV WKDW DUH H[SODLQHG LQ >@ DQG ZLWK WKH VLPSOH DQG SUDFWLFDO H[SODQDWLRQ IURP +RHUQHU
>@

7KH OLIWLQJ OLQH WKHRU\ DQDO\]HV WKH IORZ DV D SRWHQWLDO ILHOG ZKHUH WKH ZLQJ LV PRGHOHG DV
D OLQH YRUWH[ RI YDU\LQJ VWUHQJWK ORFDWHG DW WKH ZLQJ·V TXDUWHUFKRUG OLQH DORQJ WKH VSDQ 7KH
ZLQJVSDQ LV GLYLGHG LQ VHJPHQWV VWDWLRQV DQG DW DQ\ VWDWLRQ WKH FKRUGZLVH FLUFXODWLRQ LV SODFHG
DORQJ WKH VLQJOH VSDQZLVH OLQH Γ(y) 7KLV ZD\ WKH FLUFXODWLRQ RI WKLV VWUDLJKW YRUWH[ LV WKH VDPH
DV WKDW RI WKH SK\VLFDO ZLQJ 7KH OLIW LV REWDLQHG WKURXJK .XWWD-RXNRZVNL WKHRUHP ZLWK WKH
FLUFXODWLRQ (TXDWLRQ   DQG DV WKH OLIW FDQQRW HQG DEUXSWO\ DW WKH HQG RI WKH ZLQJ ERWK OLIW
DQG FLUFXODWLRQ KDYH WR UHGXFH IURP ZLQJ URRW WRZDUGV WKH WLS %HFDXVH RI +HOPKROW] WKHRUHP
D YRUWH[ OLQH FDQQRW VWDUW RU HQG DEUXSWO\ LQ D IOXLG WKHUHIRUH DQ\ FKDQJH RI WKH YRUWH[ OLQH
VWUHQJWK ZKLFK FRUUHVSRQGV WR D FKDQJH LQ FLUFXODWLRQ PXVW EH IROORZHG E\ LQWURGXFLQJ D VLPLODU
YRUWLFLW\ FRPSRQHQW LQ WKH RWKHU GLUHFWLRQ WKLV UHTXLUHV WKDW WKH VSDQZLVH FKDQJH LQ YRUWLFLW\ EH
VKHG LQWR D VKHHW RI GLVWULEXWHG WUDLOLQJ YRUWLFLW\ 7KH WUDLOLQJ YRUWLFLW\ LV DVVXPHG WR EH DOLJQHG
ZLWK WKH IUHHVWUHDP YHORFLW\ DQG WR H[WHQG GRZQVWUHDP WR LQILQLW\ 7KH VWUHQJWK RI WKH WUDLOLQJ
YRUWH[ VKHHW DW DQ\ VSDQZLVH ORFDWLRQ LV HTXDO WR WKH VSDQZLVH FKDQJH LQ YRUWH[ VWUHQJWK DW WKH
FRUUHVSRQGLQJ SRLQW RQ WKH OLIWLQJ OLQH (TXDWLRQ  7KH YHORFLW\ WKDW WKH WUDLOLQJ YRUWH[ VKHHW
LQGXFHV RQ WKH OLIWLQJ OLQH LV XVHG WR FDOFXODWH WKH LQGXFHG GUDJ RI WKH ZLQJ

L = V∞ · ρ · Γwing 


 γx = dΓ(y)/dy 

7KH YRUWH[ VKHHW WKDW OHDYHV WKH WUDLOLQJ HGJH RI WKH ZLQJ KDV D PRUH RU OHVV FRQVWDQW
GRZQZDVK YHORFLW\ $IWHU OHDYLQJ WKH ZLQJ WKLV YRUWH[ VKHHW WUDQVIRUPV LWVHOI µUROOV XSµ LQWR
D SDLU RI ZLQJ WLSV YRUWLFHV WKH GRZQZDVK GLVWULEXWLRQ DORQJ ZLQJVSDQ DQG IORZ SDWWHUQ FDQ EH
REVHUYHG LQ )LJXUH 

݀Ȟሺ‫ݕ‬ሻ
ߛ௫ ‫ ݕ‬ൌ െ ‫ݕݐ݅ܿ݅ݐݎ݋ݒݐ݄݁݁ݏݔ݁ݐݎ݋ݒ‬
݀‫ݕ‬
‫ݐ݄݁݁ݏݔ݁ݐݎ݋ݒ݄݀݁݀݀݁ݏ‬

Ȟ ‫ ݕ‬െ ‫݊݋݅ݐݑܾ݅ݎݐݏ݅݀݁ݏ݅ݓ݊ܽ݌ݏ‬
‫݊݋݅ݐ݈ܽݑܿݎ݂݅ܿ݋‬ሺ݈݂݅‫ݐ‬ሻ

‫ݕ‬

߱ ‫ ݕ‬െ ݀‫ݕݐ݅ܿ݋݈݁ݒ݄ݏܽݓ݊ݓ݋‬

ܾ
ܾԢ

‫ݎ‬௞ െ ‫ݔ݁ݐݎ݋ݒ‬
ܿ‫ݏݑ݅݀ܽݎ݁ݎ݋‬

‫ݕ‬

)LJXUH  )ORZ SDWWHUQ DQG GRZQZDVK GLVWULEXWLRQ EHKLQG OLIWLQJ OLQH DQGRU ZLQJV

7KH LQGXFHG GUDJ FDQ EH VHHQ DV WKH NLQHWLF HQHUJ\ LQ WKH YRUWLFHV OHDYLQJ WKH ZLQJV WLS >@
7KH XQGHUVWDQGLQJ RI LQGXFHG GUDJ SK\VLFV LV LPSRUWDQW VR ZD\V RI UHGXFLQJ LW FDQ EH GHYLVHG DQG
VWXGLHG $W WKH VDPH ZRUN >@ /D 5RFKH SUHVHQWV D ZD\ RI PHDVXULQJ WKH HIIHFW RI ZLQJWLS VKDSH
LQ WKH YRUWH[ GUDJ UHGXFWLRQ XVLQJ WKH FHQWHU RI JUDYLW\ RI WKH FLUFXODWLRQ OHDYLQJ WKH ZLQJ VRPH
GLVWDQFH EHKLQG LW b DQG WKH UDGLXV rk RI WKH YRUWH[FRUH 7KHVH SDUDPHWHUV DUH PHDVXUHG
IDU EHKLQG WKH ZLQJ LQ WKH 7UHIIW]SODQH ZKLFK LV SHUSHQGLFXODU WR WKH ZDNH UHSUHVHQWHG LQ
)LJXUH  +HUH WKH FHQWHU RI JUDYLW\ RI WKH FLUFXODWLRQ OHDYLQJ WKH ZLQJ LV FRLQFLGHQW ZLWK WKH
FHQWHU RI WKH UROOHGXS YRUWLFHV 6R b LV WKH VSDQZLVH GLVWDQFH RI WKH UROOHGXS YRUWLFHV SDLU
DQG rk WKHLU FRUH UDGLXV WKHVH YRUWLFHV DUH 5DQNLQHYRUWH[ ZLWK D FRUH RI UDGLXV rk URWDWLQJ DV D
VROLG ERG\ ,QFUHDVLQJ VSDFLQJ b GHFUHDVHV WKH LQGXFHG GUDJ DQG DQ LQFUHDVH LQ rk ZLOO GHFUHDVH
WKH NLQHWLF HQHUJ\ RI WKH YRUWH[ DQG FRQVHTXHQWO\ WKH LQGXFHG GUDJ

7KURXJK WKH //7 0XQN RQH RI 3UDQGWO·V VWXGHQWV FDOFXODWHG WKDW WKH PLQLPXP LQGXFHG GUDJ
IURP D SODQDU ZLQJ ZRXOG EH REWDLQHG LI WKH GRZQZDVK YHORFLW\ DORQJ WKH ZLQJVSDQ ZDV FRQVWDQW
>@ 7KLV KDSSHQV ZKHQ WKH OLIW GLVWULEXWLRQ DORQJ WKH VSDQ LV HOOLSWLFDO DQG OHDGV WR D ZLQJ
LQGXFHG GUDJ FRHIILFLHQW JLYHQ E\ (TXDWLRQ  $ ZLQJ ZLWK DQ HOOLSWLFDO ORDG RU FLUFXODWLRQ


GLVWULEXWLRQ DOVR KDV DQ HOOLSWLF FKRUG GLVWULEXWLRQ WKH SODQIRUP LV QRW DQ HOOLSVH EHFDXVH WKH
FKRUG GLVWULEXWLRQ LV DURXQG WKH TXDUWHU FKRUG OLQH OLIWLQJ OLQH  VHH )LJXUH 

)LJXUH  7UHIIW] SODQH UHSUHVHQWDWLRQ >@

CL2
CDi = 
πAR

)LJXUH  (OOLSWLFDO ZLQJ SODQIRUP >@

)RU D ZLQJ ZLWK D ORDG GLVWULEXWLRQ RWKHU WKDQ HOOLSWLFDO D FRUUHFWLRQ FRHIILFLHQW FDQ EH
DGGHG VSDQ HIILFLHQF\ e0  W\SLFDOO\ KDYLQJ YDOXHV EHWZHHQ  DQG  EHLQJ WKH YDOXH  IRU WKH
HOOLSWLF OLIW GLVWULEXWLRQ (TXDWLRQ  )RU D QRQSODQDU ZLQJ VSDQ HIILFLHQF\ FDQ EH DV KLJK DV
 IRU D ER[ZLQJ >@

CL2
CDi = 
πe0 AR

AR LV WKH ZLQJ DVSHFW UDWLR AR = b2 /S b LV WKH ZLQJVSDQ DQG S LV WKH ZLQJ UHIHUHQFH DUHD

,W LV DOVR XVXDO WR XVH ki WR GHVFULEH WKH UHODWLYH LQGXFHG GUDJ WR WKH HOOLSWLFDO ZLQJ ZKLFK


LV WKH UDWLR EHWZHHQ WKH LQGXFHG GUDJ FRHIILFLHQWV RI WKH DFWXDO ZLQJ DQG WKH HOOLSWLFDO ZLQJ
(TXDWLRQ  6R ki FDQ EH UHZULWWHQ DV LQ (TXDWLRQ 

CDi
ki = 
(CDi )ell

1
ki = 
e0

-RLQLQJ WKH LQGXFHG GUDJ FRHIILFLHQW ZLWK WKH SURILOH GUDJ FRHIILFLHQW FDXVHG E\ VNLQ IULFWLRQ
DQG SUHVVXUH GUDJ GXH WR IORZ VHSDUDWLRQ cd  UHVXOWV (TXDWLRQ  ZKLFK LV WKH WRWDO ZLQJ GUDJ

CL2
CD = cd + 
πe0 AR

)RU WKH ZKROH DLUFUDIW LQ (TXDWLRQ  WKH cd LV FKDQJHG IRU CD,e  WKLV LV WKH SDUDVLWH GUDJ
FRHIILFLHQW LW FRQWDLQV ZLQJV· SURILOH GUDJ DQG WKH GUDJ RI WDLO VXUIDFHV IXVHODJH ODQGLQJ JHDU
DQG DQ\ RWKHU FRPSRQHQW H[SRVHG WR DLUIORZ $OWKRXJK LW LV SDUDVLWH GUDJ DQG QRW LQGXFHG GUDJ
LW GHSHQGV RQ WKH DQJOH RI DWWDFN HVSHFLDOO\ EHFDXVH RI WKH DPRXQW RI VHSDUDWHG IORZ RYHU
WKH FRPSRQHQWV DQG FRQVHTXHQWO\ GHSHQGV RQ WKH OLIW FRHIILFLHQW CD,e FDQ EH UHZULWWHQ DV LQ
(TXDWLRQ  CD,0 LV FRPPRQO\ NQRZQ DV WKH ]HUROLIW GUDJ FRHIILFLHQW )RU WKH ZKROH DLUFUDIW
DVVXPLQJ WKDW WKH SDUDVLWH GUDJ FRHIILFLHQW LV SURSRUWLRQDO WR WKH VTXDUH RI WKH OLIW FRHIILFLHQW
WKH WRWDO GUDJ HTXDWLRQ EHFRPHV (TXDWLRQ 

CD,e = CD,0 + rCL2 

 
1
CD = CD,0 + r + CL2 
πe0 AR

,Q (TXDWLRQV  DQG  r LV WKH HIIHFW RI WKH YDULDWLRQ RI SDUDVLWLF GUDJ ZLWK OLIW $V
H[SODLQHG E\ $QGHUVRQ LQ >@ r FDQ EH MRLQHG ZLWK WKH VSDQ HIILFLHQF\ IDFWRU e0 UHVXOWLQJ LQ WKH
2VZDOG HIILFLHQF\ IDFWRU :KLOH WKH VSDQ HIILFLHQF\ IDFWRU W\SLFDOO\ YDULHV EHWZHHQ  DQG 
DV WKH 2VZDOG HIILFLHQF\ IDFWRU LQFOXGHV WKH SDUDVLWH GUDJ GXH WR OLIW DQG WKH LQGXFHG GUDJ IRU
D FRPSOHWH DLUSODQH LW XVXDOO\ KDV YDOXHV EHWZHHQ  DQG  :LWK WKH 2VZDOG HIILFLHQF\
IDFWRU ZKLFK LV DOVR e WKH WRWDO GUDJ RI WKH DLUSODQH FDQ EH REWDLQHG IURP (TXDWLRQ  ZKHUH
CD,0 LV WKH ]HUROLIW GUDJ FRHIILFLHQW DQG WKH WHUP CL2 /(πeAR) LV WKH WRWDO GUDJ GXH WR WKH OLIW
FRHIILFLHQW

CL2
CD = CD,0 + 
πeAR


 $V $QGHUVRQ >@ VWDWHV WKH GUDJ SRODU LQ (TXDWLRQ  XVXDOO\ LV QRW DGHTXDWH IRU UHDO
DLUSODQHV :KHQ IO\LQJ DW ]HUROLIW WKH SDUDVLWH GUDJ PLJKW EH KLJKHU WKDQ WKH PLQLPXP YDOXH
7KLV ZD\ WKH GUDJ SRODU KDV WR EH WUDQVODWHG UHVXOWLQJ LQ DQ DV\PPHWULFDO GUDJ SRODU (TXD
WLRQ  CD,0 EHFRPHV WKH ORZHVW CD YDOXH CDmin  DQG WKH SRODU LV WUDQVODWHG E\ WKH CL
YDOXH RI WKH ORZHVW GUDJ FRHIILFLHQW YDOXH CLCDmin 

1
CD = CDmin + (CL − CLCDmin )2 
πeAR

7KHUH LV DQRWKHU DSSURDFK WR HYDOXDWH ''/ RI DQ DLUFUDIW QRW RQO\ WKH LQGXFHG GUDJ FR
HIILFLHQW CDi FDQ EH RSWLPL]HG (TXDWLRQ   EXW E\ ORRNLQJ WR WKH LQGXFHG GUDJ HTXDWLRQ
(TXDWLRQ   LW LV HYLGHQW WKDW WKH ZLQJ·V DVSHFW UDWLR AR GRHV QRW DIIHFW WKH LQGXFHG GUDJ
RQO\ WKH ZLQJVSDQ GRHV :LWK WKH LQGXFHG GUDJ HTXDWLRQ WKHUH LV D FRQFHSW WKDW FDQ EH LQWUR
GXFHG VSDQORDGLQJ Wb  WKDW DIIHFWV H[SRQHQWLDOO\ WKH LQGXFHG GUDJ

W2
Di = 
qπb2 e

ZKHUH q = 12 ρV 2

%HLQJ WKH PDLQ REMHFWLYH WR XQGHUVWDQG KRZ ''/ LV SURGXFHG DQG KRZ WR UHGXFH LW RWKHU
WKDQ E\ XVLQJ DQ HOOLSWLFDO GLVWULEXWHG OLIW VSDQ ORDGLQJ WKH SULQFLSDO DQG PRVW FRPPRQ ZD\
LV WKURXJK ZLQJWLS JHRPHWU\ DQG DGGLQJ ZLQJWLS GHYLFHV ,Q HLWKHU FDVH WKH SDUDPHWHUV WKDW
DIIHFW ''/ VWLOO DSSO\ $PRQJ RWKHU LQIRUPDWLRQ <DWHV SUHVHQWV LQ >@ WKDW WKH YRUWH[ VSDQZLVH
GLVWDQFH b LV DIIHFWHG SULPDULO\ E\ WKH ZLQJ WLS ORDG GLVWULEXWLRQ DQG WKDW WKH LQWHJUDO VFDOH
RI ZDNH YRUWLFLW\ l0  ZKLFK FRUUHVSRQGV WR rk  LV DIIHFWHG E\ WKH YHUWLFDO OHQJWK RI WKH ZLQJWLS
GHYLFH ,Q WKH GHVLJQ RI D ZLQJWLS GHYLFH HQGSODWH ZLQJOHW ZLQJ WLS VDLOV DQG RWKHUV WKH ZLQJ
GLVWULEXWLRQ VKRXOG EH NQRZQ DQG WKH GHYLFH VKRXOG ILUVW SURYLGH DQ RSWLPDO ORDG GLVWULEXWLRQ
7KLV ZD\ WKH YHUWLFDO OHQJWK QHHGHG WR KDYH DQ HIILFLHQF\ LQFUHDVH LV UHGXFHG 7KLV OHDGV WR WKH
FRQFOXVLRQ WKDW UHWURILWWLQJ D ZLQJWLS GHYLFH LQ DQ DOUHDG\ ORDG RSWLPL]HG ZLQJ ZLOO JHQHUDOO\
GHFUHDVH WKH HIILFLHQF\ DQG WKDW D UHFWDQJXODU ZLQJ KDYLQJ WKH WLS KHDYLO\ QRW RSWLPDOO\
ORDGHG LV WKH EHVW FDQGLGDWH WR UHFHLYH D ZLQJWLS GHYLFH

 'UDJ 'XH WR /LIW 5HGXFWLRQ  6WDWH RI WKH $UW

$WWHPSWV WR UHGXFH ''/ ZHUH ILUVW PDGH ZLWKRXW DQ\ DGGLWLRQDO GHYLFHV DV GHVFULEHG LQ 6HF
WLRQ  6LPSO\ E\ FKRRVLQJ DQ DGHTXDWH ZLQJ SODQIRUP DQG DLUIRLO LQFLGHQFH GLVWULEXWLRQ
DORQJ WKH VSDQ HQVXULQJ DQ HOOLSWLF OLIW GLVWULEXWLRQ WKH ZLQJ·V GUDJ GXH WR OLIW ZRXOG EH UH
GXFHG UHVXOWLQJ LQ WKH PD[LPXP VSDQ HIILFLHQF\ e0 RI  2IWHQ LQ WKH OLWHUDWXUH WKH UHGXFWLRQ
LQ LQGXFHG GUDJ RI D ZLQJ GHVLJQ LV QRW GHVFULEHG E\ DQ LQFUHDVH LQ VSDQ HIILFLHQF\ EXW ZLWK D
GHFUHDVH RI ki  (TXDWLRQ 

7KURXJK WKH \HDUV D ORW RI HIIRUW KDV EHHQ SXW LQ UHGXFLQJ HYHQ PRUH ''/ 'LIIHUHQW VROX
WLRQV ZHUH GHYHORSHG DQG WKH\ FDQ EH GLYLGHG LQWR VHYHUDO GLIIHUHQW JURXSV QRQSODQDU GHYLFHV
WKDW FDQ EH DFWLYH OLNH WLS EORZLQJ DQG ZLQJ WLS PRXQWHG SURSHOOHUV RU SDVVLYH OLNH ZLQJOHWV


HQGSODWHV VDLOV SODQDU ZLQJV WLS GHVLJQ OLNH FUHVFHQWPRRQVKDSH ZLQJWLSV QRQ SODQDU VXU
IDFHV OLNH ELSODQHV ER[ ZLQJ QRYHO GHYLFHV WKDW KDYH VRPH SDUWLFXODULWLHV LQ FRPSDULVRQ ZLWK
RWKHU GHYLFHV WKDW PD\ ORRN DOLNH QHZ OLIW GLVWULEXWLRQV DQG XOWLPDWHO\ QRQFRQYHQWLRQDO FRQ
ILJXUDWLRQV OLNH RXWERDUG KRUL]RQWDO VWDELOL]HUV 2+6 

'HVSLWH WKHVH HIIRUWV QRW DOO GHYLFHV WKDW FDQ HIIHFWLYHO\ UHGXFH WKH LQGXFHG GUDJ DUH
FKRVHQ WR EH LPSOHPHQWHG LQ DLUFUDIW 0DLQO\ EHFDXVH WKHUH LV D ODFN RI VWXGLHV RI WKHLU DFWXDO
EHQHILW LQ WKH FRPSOHWH DLUFUDIW VRPH DGG PRUH YLVFRXV SDUDVLWH GUDJ WKDQ WKH\ FDQ UHGXFH
LQ WKH GUDJ GXH WR OLIW DQG RWKHUV KDYH VWUXFWXUDO HQHUJ\ EXGJHW RU HYHQ VWDELOLW\ LVVXHV

6HYHUDO ZLQJWLS GHVLJQV KDYH EHHQ VWXGLHG 7KH ILUVW RQHV ZHUH QRW FDSDEOH RI LQFUHDVLQJ
WKH VSDQ HIILFLHQF\ RYHU  EXW WKH\ FRXOG DFKLHYH WKLV YDOXH RU FORVH ZLWKRXW DQ HOOLSWLF ZLQJ
SODQIRUP ZKLFK LV DOUHDG\ DQ LPSURYHPHQW DV LW PDNHV WKH ZLQJV HDVLHU WR EXLOG

+RHUQHU KDV GHVLJQHG DQG VWXGLHG GLIIHUHQW ZLQJWLSV GHVLJQV >@ +H KDV DQDO\]HG WZR
PDLQ YDULDEOHV ZLQJWLS VKDSH WKH IRUP RI WKH ODWHUDO HGJH DQG LWV LQIOXHQFH RQ WLSYRUWH[ ORFD
WLRQ 7KH ZLQJ ODWHUDO HGJH FDQ EH VTXDUH URXQG RU VKDUS )LJXUH  D  WKH URXQG HGJH OHWV
WKH IORZ HDVLO\ JR IURP WKH ORZHU VXUIDFH WR WKH XSSHU VXUIDFH GHFUHDVLQJ WKH YRUWH[ VSDQZLVH
GLVWDQFH WKH VKDUS HGJH LV WKH PRVW HIILFLHQW LQFUHDVLQJ WKH VSDQZLVH YRUWH[ GLVWDQFH 7R DQ
DO\]H WKH ZLQJWLS VKDSH +RHUQHU LQWURGXFHV WKH HIIHFWLYH DVSHFW UDWLR 7KLV HIIHFWLYH DVSHFW
UDWLR LV FDOFXODWHG ZLWK WKH HIIHFWLYH ZLQJVSDQ DOWKRXJK WKLV QRPHQFODWXUH LV QRW LQWURGXFHG E\
+RHUQHU WKH HIIHFWLYH ZLQJVSDQ LV b  7KHVH QHZ ZLQJWLS GHVLJQV DUH FRPSDUHG ZLWK WKH UHFWDQ
JXODU WURXJK WKH HIIHFWLYH DVSHFW UDWLRQ DQG WKH SDUDVLWH GUDJ RI WKDW ZLQJ WLS VHFWLRQ +RHUQHU
FRQFOXGHV WKDW WKH ZLQJWLS GHVLJQ LV H[WUHPHO\ LPSRUWDQW IRU WKH DLUSODQH·V SHUIRUPDQFH DQG
WKDW D VKDUS HGJH ZLWK WKH ZLQJWLS VKDSH DV VKRZQ LQ )LJXUH  E DQG D PRGHUDWHO\ WDSHUHG
SODQIRUP LV EHOLHYHG WR EH WKH PRVW HIIHFWLYH WR UHGXFH WKH ''/

ܽሻ
bሻ
ܵ‫݁ݎܽݑݍ‬ ܴ‫݀݊ݑ݋‬ ݄ܵܽ‫݌ݎ‬

)LJXUH  /DWHUDO HGJH DQG ZLQJWLS VKDSH VWXGLHG E\ +RHUQHU >@

)LJXUH  ([WHUQDO ZLQJWLS PRXQWHG WDQN VWXGLHG E\ +RHUQHU >@


 7DQNV PRXQWHG RQ WKH ZLQJ WLSV KDYH WKH SRWHQWLDO WR UHGXFH LQGXFHG GUDJ E\  >@ )LJ
XUH  7KH\ KDYH WZR GLVWLQFW HIIHFWV WKH\ LQFUHDVH WKH VSDQ RI WKH ZLQJ WKDW FOHDUO\ UHGXFHV
WKH LQGXFHG GUDJ DV LW LV LQYHUVHO\ SURSRUWLRQDO WR WKH VTXDUH RI WKH ZLQJVSDQ b (TXDWLRQ 
DQG WKH\ FDQ DOVR KDYH D VLPLODU HIIHFW WR HQG SODWHV >@ +RZHYHU DV LQ D URXQG HGJH WKH
FLUFXODU FURVV VHFWLRQ RI WKH WDQN DOORZV WKH IORZ WR WUDYHO PRUH HDVLO\ IURP WKH ORZHU WR WKH
XSSHU VXUIDFH VR RQO\ KDOI RI WKHLU GLDPHWHU FDQ EH FRQVLGHUHG WR EH HIIHFWLYH ZKHQ FRPSDUHG
WR WKH HQGSODWH KHLJKW 7KH SDUDVLWLF DQG LQWHUIHUHQFH GUDJ EHWZHHQ WKH ZLQJ DQG WKH WDQN
UHGXFHV IXUWKHU WKH IDYRUDEOH HIIHFW RI D WLS PRXQWHG WDQN

)LJXUH  3ODQIRUP JHRPHWU\ IRU YDULRXV HOOLSWLFDO ZLQJV RI AR = 7 >@

9DQ 'DP >@ GHYHORSHG D ZLQJ GHVLJQ ZLWK KLJKO\ WDSHUHG DIWVZHSW WLSV +H FODLPHG WKDW
WKHVH W\SHV RI ZLQJ FDOOHG µ&UHVFHQW0RRQ6KDSHGµ ZDV DEOH WR SURGXFH OHVV GUDJ WKDQ WKH
WKHRUHWLFDO PLQLPXP IRU DQ HOOLSWLF ZLQJ %\ FRPSDULQJ GLIIHUHQW FKRUGZLVH ORFDWLRQV RI WKH
ZLQJ WLS xt  KH IRXQG WKDW IRU D WLS GLVWDQFH RI  RI WKH FKRUG YDOXH IURP WKH OHDGLQJ HGJH
xt = 1.5 VHH )LJXUH  WKH GHVLJQ ZRXOG KDYH D ki = 0.919 7KLV UHVXOW ZDV H[SODLQHG E\ D
WKUXVW IRUFH WKDW DSSHDUHG DW WKH ZLQJWLS GXH WR D QRQSODQDU LQWHUDFWLRQ RI WKLV SRUWLRQ RI WKH
ZLQJ ZLWK WKH ORFDO XSZDVK

6PLWK DQG .URR >@ DOVR LQYHVWLJDWHG WKH LQGXFHG GUDJ FKDUDFWHULVWLFV RI FUHVFHQWPRRQ
VKDSHG ZLQJ DQG HYHQ WKH HOOLSWLFDO ZLQJ GHVLJQ 7KH\ KDYH FRQFOXGHG WKDW WKH PHWKRGV XVHG E\
0XQN >@ DQG E\ 9DQ 'DP >@ ZHUH QRW DFFXUDWH HQRXJK WR SUHGLFW WKH LQGXFHG GUDJ 7KURXJK D
KLJKRUGHU SDQHO PHWKRG DQG ZLWK D ZDNH PRGHOLQJ WKDW DFFRXQWV IRU ZDNH UROOXS LQ WKH 7UHIIW]
SODQH WKH\ FRQFOXGHG WKDW WKH UHVXOWV DUH YHU\ VHQVLWLYH WR WKH QXPEHU RI SDQHOV XVHG DQG WKDW
WKH FRQYHQWLRQDO HOOLSWLFDO ZLQJ GRHV QRW KDYH D WUXH HOOLSWLF OLIW GLVWULEXWLRQ 7KLV UHVXOWV LQ D
VSDQ HIILFLHQF\ RI RQO\  LQVWHDG RI  7KURXJK WKH VDPH PHWKRGV WKH FUHVFHQWPRRQVKDSH
ZLWK xt = 1.0 KDV D VSDQ HIILFLHQF\ RI  WKH\ DWWULEXWH WKLV UHVXOW WR WKH OLIW GLVWULEXWLRQ
EHLQJ FORVHU WR HOOLSWLF ZLWK WKLV ZLQJ WKDQ ZLWK WKH FRQYHQWLRQDO HOOLSWLFDO ZLQJ

,Q WKH VDPH VWXG\ 6PLWK DQG .URR KDYH UHGHVLJQHG WKH HOOLSWLFDO ZLQJ ZLWK D WUXH HOOLSWLF OLIW
GLVWULEXWLRQ FRQVWDQW GRZQZDVK VSDQZLVH  )LJXUH  KRZHYHU WKH VSDQ HIILFLHQF\ DFKLHYHG
LV VOLJKWO\ OHVV WKDQ  DV IRU WKH xt = 1.0 FUHVFHQWPRRQVKDSH ZLQJ


 )LJXUH  0RGLILHG HOOLSWLFDO ZLQJ SODQIRUP ZLWK HOOLSWLF VSDQZLVH OLIW GLVWULEXWLRQ >@

2QH RI WKH PRVW FRPPRQ DSSURDFKHV WR LQGXFHG GUDJ UHGXFWLRQ LV WKH XVH QRQSODQDU V\V
WHPV IURP HQGSODWHV WR ZLQJOHWV VSDQZLVH FDPEHU WR ER[SODQHV )LJXUH  VKRZV VHYHUDO
QRQSODQDU FRQFHSWV DQG IRU IL[HG VSDQ DQG KHLJKW WKHLU VSDQ HIILFLHQF\ LV JLYHQ 7KH YHUWLFDO
GLPHQVLRQ QHDU WKH ZLQJWLSV LV WKH FULWLFDO SDUDPHWHU DOWKRXJK WKH ER[ ZLQJ KDV WKH DEVROXWH
PD[LPXP VSDQ HIILFLHQF\ VLPLODU GUDJ UHGXFWLRQV FDQ EH REWDLQHG ZLWK RWKHU FRQFHSWV DV WKH
VSDQZLVH FDPEHU LV PRVW HIIHFWLYH QHDU WKH WLS >@

)LJXUH  6SDQ HIILFLHQFLHV IRU YDULRXV RSWLPDOO\ ORDGHG QRQSODQDU V\VWHPV h/b = 0.2 >@

=LPPHU >@ KDV D UHYLHZ ZLWK WKH QRQSODQDU LQGXFHG GUDJ UHGXFWLRQ GHYLFHV FUHDWHG
XQWLO WKH \HDU  KH UHYLHZV WKH ZRUNLQJ SULQFLSOHV EHKLQG WKH FRQFHSWV WKHLU DSSOLFDWLRQ LQ
RSHUDWLRQDO DLUFUDIW DQG WKHLU GLVDGYDQWDJHV

2QH RI WKH ILUVW FRQFHSWV LV WKH :KLWFRPE ZLQJOHW >@ DQG VRPH YDULDQWV VHH )LJXUH 
D  WKH\ ZHUH WHVWHG LQ KLJK ZLQJ ORDGLQJ DLUSODQHV OLNH WKH µ.& µ DQG WKH µ'& µ 7KH ILUVW
GLVDGYDQWDJH SRLQWHG E\ =LPPHU ZDV WKH QHHG IRU DQ LQFUHDVH LQ WKH ZLQJ VWUXFWXUDO VWUHQJWK
GHFUHDVLQJ WKH DHURG\QDPLF JDLQ 0F'RQQHO'RXJODV FDOFXODWHG IXHO VDYLQJV RI  WR  ZLWK
WKHVH GHYLFHV

(YHQ WKRXJK WKH :KLWFRPE SURYHG WR EH DQ LPSURYHPHQW LW ZDV QRW RSWLPDO +DFNHWW
>@ FODLPHG WR KDYH DQ RSWLPDO ZLQJOHW FRQILJXUDWLRQ WKH YRUWH[ GLIIXVHU VHH )LJXUH  E 
1HYHUWKHOHVV LQ WKLV GHVLJQ WKHUH DUH VWUXFWXUDO LPSOLFDWLRQV 7KH ZLQJOHW UHVWV LQ D VPDOO ERRP
EHKLQG WKH ZLQJ DQG LW LV PRXQWHG YHUWLFDOO\ KRZHYHU ZLWK D VPDOO LQERDUG GLKHGUDO DQJOH 7KLV
ZD\ WKH ZLQJWLS SURGXFHV D VPDOO GRZQZDUG IRUFH WKDW UHOLHIV WKH ZLQJ ORDG EXW EHLQJ PRXQWHG
VR IDU EHKLQG WKH VSDU ZRXOG OHDG WR D QHFHVVLW\ LQ LQFUHDVLQJ WKH ZLQJ·V WRUVLRQDO ULJLGLW\ $OVR


WKH GRZQZDUG IRUFH UHGXFHV WKH WRWDO OLIW RI WKH DLUFUDIW WKDW PXVW EH EDODQFHG IRU H[DPSOH
ZLWK D FKDQJH LQ WKH ZLQJ·V DQJOH RI LQFLGHQFH =LPPHU GRHV QRW KDYH H[DPSOHV RI SUDFWLFDO
IXHO VDYLQJV IURP WKLV W\SH RI ZLQJOHW

)LJXUH  :KLWFRPE ZLQJOHW DQG YRUWH[ GLIIXVHU >@

7KH ODVW GHVLJQV FRYHUHG E\ =LPPHU DUH WKH QRQSODQDU PXOWLSOH VHFWLRQHG DOVR FDOOHG WLS
VDLOV RU IHDWKHUV 7KHVH GHYLFHV KDYH VHYHUDO LQGLYLGXDO ZLQJV PRXQWHG LQ WKH ZLQJ WLSV D GHVLJQ
WKDW UHVHPEOHV ODUJH VRDULQJ ODQG ELUGV =LPPHU UHYLHZV DQG VXPPDUL]HV VHYHUDO VWXGLHV LQ WKHVH
GHYLFHV E\ RWKHUV DXWKRUV

&RQH >@ DQQRXQFHV D GUDJ UHGXFWLRQ RI  LQ FRPSDULVRQ ZLWK WKH SODQDU HOOLSWLFDO ZLQJ
REWDLQHG IURP KLV PDWKHPDWLFDO PRGHO IRU D QDWXUDO IDQQHG ZLQJ GHVLJQ )LJXUH  D  7KLV
GHVLJQ SUHVHQWHG E\ &RQH LV QRW HDV\ WR EXLOG VR : 3IHQQLQJHU FLWHG LQ =LPPHU >@ VXJJHVWV
WKH WLS GHVLJQ SUHVHQW LQ )LJXUH  E 

+XPPHO FLWHG LQ =LPPHU >@  DOVR ZLWK WKHRUHWLFDO VROXWLRQV VWXGLHG ZLQJV ZLWK WZR RU
WKUHH LQGLYLGXDO ZLQJV DW WKH WLS DQG GHULYHG D UHGXFWLRQ RI  LQ FRPSDULVRQ ZLWK WKH SODQDU
HOOLSWLFDO ZLQJ

/|EHUW FLWHG LQ =LPPHU >@ SUHVHQWV DQ RSWLPDO ZLQJ HQG GHVLJQ ZLWK IRUNHG SRLQWV VHH
)LJXUH  F  EDVHG RQ D WKHRUHWLFDO PRGHO $V D IXQFWLRQ RI WKH SRVLWLRQ RI WKH SDUWLDO ZLQJV
WLS DQG WKHLU LQFLGHQFH DQJOH /|EHUW UHSRUWV D UHGXFWLRQ RI WKH WKHRUHWLFDO LQGXFHG GUDJ RI 
LQ FRPSDULVRQ ZLWK WKH SODQDU HOOLSWLFDO ZLQJ

5HFKHQEHUJ FLWHG LQ =LPPHU >@  WKURXJK KLV WKHRUHWLFDO DQG H[SHULPHQWDO VWXGLHV FRQ
FOXGHV WKDW WKH LQGXFHG GUDJ GHFUHDVHV DV WKH WLS YRUWH[ LV GLYLGHG LQWR PRUH VHFWLRQV WKDW LV
XVLQJ PRUH LQGLYLGXDO ZLQJV ZLOO GHFUHDVH HYHQ PRUH WKH LQGXFHG GUDJ +H SUHGLFWHG WKDW D
ZLQJ ZLWK VL[ LQGLYLGXDO ZLQJV DW WKH WLS ZRXOG KDYH RQO\  RI WKH LQGXFHG GUDJ RI WKH SODQDU
HOOLSWLFDO ZLQJ

$OWKRXJK WKHUH DUH VHYHUDO VWXGLHV LQ WKHVH PXOWLSOH GHYLFHV DQG DOO SUHGLFW D UHGXFWLRQ
LQ WKH GUDJ GXH WR OLIW WKHUH LV QRW PXFK LQIRUPDWLRQ DERXW WKH WRWDO GUDJ VDYLQJV 7KHVH
GHYLFHV LQFUHDVH WKH SDUDVLWLF GUDJ DQG PXOWLSOH ZLQJV DWWDFKHG WR WKH PDLQ ZLQJ KDYH D ORW
RI LQWHUIHUHQFH GUDJ WRR =LPPHU FRQFOXGHV WKDW µDQ LQGXFHG GUDJ FOHDUO\ EHORZ WKDW RI DQ
HOOLSWLFDO ZLQJ RI WKH VDPH HIIHFWLYH H[WHQVLRQ KDV SUDFWLFDOO\ QHYHU EHHQ PHDVXUHGµ

2QO\ 6SLOOPDQ >@ UHDOL]HG IOLJKW WHVWV ZLWK WKHVH WLS VDLOV $IWHU H[SHULPHQWDO VWXGLHV LQ
ZLQG WXQQHO KH GHWHUPLQHG WKH EHVW JHRPHWULFDO WRUVLRQ ZKHUH KH FDOFXODWH D . VHH (TXD
WLRQ  RI  IRU WKUHH VDLOV PRXQWHG LQ D WLS WDQN )LJXUH  G  DJDLQVW .  IRU QR
VDLOV 7KH IOLJKW WHVWV ZHUH FRQGXFWHG IRU WKUHH FRQILJXUDWLRQV QR VDLOV RQH VDLO DQG WKUHH


VDLOV 7KH OLIW GHSHQGHQW GUDJ UHGXFHG  IRU RQH VDLO DQG  IRU WKUHH VDLOV KRZHYHU WKHVH
UHVXOWV DUH VXSSRUWHG E\ UHODWLYHO\ ORZ GDWD )RU WKH ]HUROLIW GUDJ IRU RQH VDLO WKHUH LV D VOLJKWO\
LQFUHDVH DQG IRU WKUHH VDLOV WKH UHVXOWV SUHGLFW QR LQFUHDVH LQ FRPSDULVRQ ZLWK WKH FRQILJXUDWLRQ
ZLWKRXW VDLOV 7KH ILQDO UHVXOWV RI WKLV VWXG\ VKRZ DQ LQFUHDVH RI  LQ WKH OLIW WR GUDJ UDWLR RI
WKH DLUFUDIW ZLWK WKUHH VDLOV LQ FRPSDULVRQ ZLWK WKH VDPH DLUFUDIW ZLWKRXW VDLOV

)LJXUH  &RQH WLS VDLO GHVLJQ >@ 3IHQQLQJHU /|EHUW DQG 6SLOOPDQ WLS VDLO GHVLJQV >@

7KH UDNHG ZLQJWLS VHH )LJXUH  ZDV SDWHQWHG E\ %RHLQJ LQ  >@ LW LV VRPHZKDW
VLPLODU WR WKH ZLQJWLS VKDSH RI WKH FUHVFHQWPRRQ SODQIRUP DQG WR D ZLQJOHW ,W ZDV GHYHORSHG
E\ %RHLQJ WR UHWURILW H[LVWLQJ ZLQJV DQG LQFUHDVH WKH DLUFUDIW HIILFLHQF\ $ VWXG\ FRQFHUQLQJ
DHURG\QDPLF RSWLPL]DWLRQ RI WKH .&5 >@ VKRZHG WKDW WKHVH W\SHV RI ZLQJWLS GHYLFHV FDQ
EH HYHQ PRUH HIILFLHQW WKDQ D ZLQJOHW LQFUHDVLQJ WKH HQGXUDQFH DQG UDQJH RI WKH DLUFUDIW LQ
 DQG  UHVSHFWLYHO\ DJDLQVW D  DQG D  LQFUHDVH IURP WKH ZLQJOHW

)LJXUH  5DNHG ZLQJWLS DGDSWHG IURP >@

7KH ZLQJJULG LV D QRYHO GHYLFH SUHVHQWHG E\ /D5RFKH DQG 3DOII\ >@ WKLV GHYLFH GRHV QRW
ILW LQ WKH FRQYHQWLRQDO ZLQJWLS GHYLFHV DV LW KDV D GLIIHUHQW RSHUDWLQJ SULQFLSOH ,W KDV D JURXS RI
KRUL]RQWDO ZLQJOHWV SDUDOOHO WR HDFK RWKHU PRXQWHG YHUWLFDOO\ DW WKH ZLQJ WLS WKLV ZD\ WKHUH LV
D FLUFXODWLRQ WUDQVIHU DQG WKH VKHG YRUWLFHV DORQJ WKH ZLQJVSDQ DUH WUDQVIHUUHG LQWR WKH GHYLFH
)LJXUH   7R DVVXUH WKLV FLUFXODWLRQ WUDQVIHU WKH ZLQJOHWV PXVW KDYH DQ DQJOH RI DWWDFN DQG
RYHUODS FKRUGZLVH VHH )LJXUH  D  7KLV GHYLFH UHGXFHV WKH GUDJ GXH WR OLIW E\ LQFUHDVLQJ b
DQG rk DW WKH VDPH WLPH WKLV ZD\ ki FDQ EH DV ORZ DV 

7KH VSLURLG ZLQJ WLS >@ KDV WKH VDPH ZRUNLQJ SULQFLSOH DV WKH ZLQJJULG KRZHYHU LQVWHDG
RI WKH FLUFXODWLRQ WUDQVIHU E\ JULGLQWHUIHUHQFH LQ WKLV GHYLFH WKH VKHGGHG YRUWLFHV DUH WUDQV
IHUUHG E\ WKH VHPLVSLUDO FRQQHFWLRQ SLHFHV RI ZLQJOHWV ZLWK GLIIHUHQW GLKHGUDO RULHQWDWLRQ VHH
)LJXUH  E 


 )LJXUH  9RUWH[6KHGGLQJ RI D UHFWDQJXODU ZLQJ DQG D ZLQJJULG WLS GHYLFH DGDSWHG IURP >@

)LJXUH  :LQJJULG ZLQJWLS DQG VSLURLG ZLQJWLS

7KH GHYLFHV DOUHDG\ SUHVHQWHG DUH DOO SDVVLYH RQHV WKH\ GR QRW UHTXLUH DQ\ DGGLWLRQDO
HQHUJ\ WR ZRUN 7KHUH DUH DFWLYH GHYLFHV WKDW QHHG H[WHUQDO HQHUJ\ LQSXW VR WKH\ FDQ UHGXFH
WKH GUDJ GXH WR OLIW

+HIIHUQDQ >@ SUHVHQWV D UHYLHZ UHJDUGLQJ VHYHUDO DFWLYH ''/ UHGXFWLRQ GHYLFHV RQH RI WKH
ILUVW RQHV ZDV DQ D[LDO EORZLQJ MHW PRXQWHG DW WKH ZLQJ WLS ZLWK WKH REMHFWLYH RI LQWURGXFLQJ
WXUEXOHQFH DQG FRQVHTXHQWO\ LQFUHDVLQJ WKH YRUWH[ FRUH rk  KRZHYHU QR QRWLFHDEOH FKDQJHV LQ
WKH IDU ZDNH RI WKH ZLQJ ZHUH REVHUYHG 'HIOHFWHG WLS EORZLQJ VHH )LJXUH  D  KDV EHHQ
H[SHULPHQWDOO\ VWXGLHG LQ ZLQG WXQQHO 7KH 2VZDOG IDFWRU LQFUHDVHG IURP e = 0.62 WR e = 1.25
>@ EXW LQ WKH VDPH VWXG\ LW LV FRQFOXGHG WKDW VXFK V\VWHP LV QRW VXLWDEOH IRU SUDFWLFDO DSSOLFD
WLRQV GXH WR ODUJH HQHUJ\ UHTXLUHPHQWV WR EORZ WKH QHFHVVDU\ DLU PDVV UDWH :LQJWLSPRXQWHG
SXVKHU WXUERSURS FRQFHSW )LJXUH  E  KDV EHHQ LQYHVWLJDWHG LQ 1$6$ /DQJOH\ 5HVHDUFK &HQ
WHU >@ ZLWK D SURSHOOHU URWDWLRQ RSSRVLWH WR WKH YRUWH[ UROOXS WKH YRUWH[ FLUFXODWLRQ DURXQG
WKH ZLQJWLS FRXOG EH FRXQWHUHG E\ WKLV GHYLFH 7KH VWXG\ VKRZV WKDW SURSHOOHU HIILFLHQF\ LI
PRXQWHG LQ WKLV ORFDWLRQ LQFUHDVHV WKH WXUERSURS QDFHOOH JLYHV DQ DGGLWLRQDO GUDJ UHGXFWLRQ
DQG WKDW WKH LQGXFHG GUDJ LV VXFFHVVIXOO\ UHGXFHG +RZHYHU DV VWDWHG E\ +HIIHUQDQ WKH HIIHFWV
RI DV\PPHWULF WKUXVW LQ VLQJOH HQJLQH IDLOXUH DQG WKH ZLQJ ZHLJKW LQFUHDVH EHFDXVH RI VWUXFWXUDO
FRQVLGHUDWLRQV PD\ EH SURKLELWLYH 1HYHUWKHOHVV WKLV FRQFHSW FDQ JDLQ OLIH ZLWK HOHFWULF SURSXO
VLRQ VLQFH WKH HOHFWULF PRWRU LV SURPLVLQJ LQ OLJKWZHLJKW DQG UHOLDELOLW\


 )LJXUH  $FWLYH GHYLFHV WLS EORZLQJ >@ DQG WLS SXVKHU SURSHOOHU >@

$GYDQFHG QRQFRQYHQWLRQDO DLUFUDIW FRQILJXUDWLRQV KDYH EHHQ FRQVLGHUHG DQG VWXGLHG WR

IXUWKHU H[WHQG WKH DLUSODQH HIILFLHQF\ .HQWILHOG >@ KDG KLV OLIH GHGLFDWHG WR WKH GHYHORSPHQW
RI RXWERDUG KRUL]RQWDO VWDELOL]HUV 2+6 FRQILJXUDWLRQV ,Q WKLV FRQILJXUDWLRQ WKH KRUL]RQWDO DQG
YHUWLFDO VWDELOL]HUV DUH PRXQWHG LQ ERRPV EHKLQG WKH ZLQJWLS VHH )LJXUH  :LWK WKLV SRVL
WLRQ WKH KRUL]RQWDO VWDELOL]HU LV LQ WKH XSZDVK IORZ UHVXOWDQW IURP WKH ZLQJWLS YRUWH[ FUHDWLQJ D
XSZDUG IRUFH LQVWHDG RI WKH FRQYHQWLRQDO GRZQZDUG LQFUHDVLQJ WKH OLIW $W WKH VDPH WLPH WKH
YHUWLFDO VWDELOL]HUV EHLQJ LQ WKH PLGGOH RI WKH ZLQJWLS YRUWH[ KDYH WKH ORFDO UHODWLYH ZLQG DW D
EHQHILFLDO DQJOH VXFK WKDW WKH UHVXOWDQW IRUFH LV SRLQWLQJ IRUZDUG UHGXFLQJ WKH LQGXFHG GUDJ
7KLV FRQILJXUDWLRQ DOVR LQFUHDVHV WKH VWDWLF ORQJLWXGLQDO VWDELOLW\ KRZHYHU LW EHFRPHV GLIILFXOW
WR DFKLHYH D ]HUR SLWFKLQJ PRPHQW DV WKH KRUL]RQWDO VWDELOL]HU LV QRZ SURGXFLQJ D QRVH GRZQ
SLWFKLQJ PRPHQW LQVWHDG RI WKH QRVH XS H[LVWLQJ ZLWK WKH FRQYHQWLRQDO KRUL]RQWDO WDLO

0F*LQQLV >@ SDWHQWHG D ''/ UHGXFWLRQ QRQFRQYHQWLRQDO FRQILJXUDWLRQ $Q DLUFUDIW ZLWK

HOHYRQ DHURG\QDPLF VXUIDFHV WKDW DUH SRVLWLRQHG RXWZDUG RI WKH FHQWUDO SODQH DQG FRQQHFWHG
WR WKH ZLQJ ZLWK YHUWLFDO VWUXFWXUHV DW WKH ZLQJWLSV DQG DW OHDVW WKUHHIRXUWKV RI WKH GLVWDQFH
IURP WKH ZLQJWLS WR WKH FHQWUDO SODQH VHH )LJXUH  1RW RQO\ WKLV FRQILJXUDWLRQ LV SUHVHQWHG
DV KDYLQJ EHWWHU FRQWURO DXWKRULW\ DQG EHWWHU EHKDYLRU UHJDUGLQJ VWDOO LW LV DOVR VDLG WKDW LW KDV
ORZHU LQGXFHG GUDJ

)LJXUH  2XWERDUG KRUL]RQWDO VWDELOL]HUV FRQILJXUDWLRQ >@


 )LJXUH  $GYDQFHG FRQILJXUDWLRQ SURSRVHG E\ 0F*LQQLV >@

7KH SUHVHQW DXWKRU FRQVLGHUV WKDW WKH ODWHVW GHYHORSPHQW UHJDUGLQJ FRQFHSWV IRU ''/ UH
GXFWLRQ LV XQGRXEWHGO\ WKH ZRUN RI %RZHUV >@ 5HSHDWHGO\ WKH HOOLSWLFDO ZLQJ DQG DQ HOOLSWLF
OLIW GLVWULEXWLRQ DORQJ WKH VSDQ KDYH EHHQ GLVFXVVHG DQG WDNHQ DV WKH UHIHUHQFH RI DQ RSWLPDO
VROXWLRQ IRU UHGXFLQJ WKH LQGXFHG GUDJ +RZHYHU LQ  3UDQGWO WKH IDWKHU RI OLIWLQJ OLQH WKH
RU\ DIWHU SUHVHQWLQJ WKH HOOLSWLF OLIW GLVWULEXWLRQ WRJHWKHU ZLWK KLV VWXGHQW 0XQN DV WKH RSWLPDO
VROXWLRQ KH SUHVHQWV D QHZ OLIW GLVWULEXWLRQ WKH EHOOVKDSHG VSDQORDG )LJXUH  7KLV EHOO
VKDSHG VSDQORDG OHDGV WR D ZLQJ WKDW IRU WKH VDPH VWUXFWXUDO ZHLJKW RI DQ HOOLSWLFDO RQH KDV
 PRUH DHURG\QDPLF HIILFLHQF\ DQG  JUHDWHU ZLQJVSDQ PDNLQJ LW WKH QHZ EHVW VROXWLRQ
IRU PLQLPDO LQGXFHG GUDJ KRZHYHU WKLV VHFRQG VSDQORDG UHPDLQV YLUWXDOO\ XQNQRZQ $URXQG
 5HLPDU +RUWHQ LQGHSHQGHQWO\ UHDFKHG WR DQ HTXLYDOHQW VROXWLRQ LQ KLV IO\LQJ ZLQJ GH
VLJQV 3UDQGWO KDG FDOFXODWHG WKH WRWDO LQGXFHG GUDJ RI D ZLQJ ZLWK WKLV VSDQORDG EXW ZLWKRXW
H[DPLQDWLRQ RI LWV VSDQZLVH GLVWULEXWLRQ DQG +RUWHQ DOWKRXJK KH KDG FDOFXODWHG WKH LQGXFHG
GUDJ DORQJ WKH VSDQ DQG QRWLFHG VRPHWKLQJ VLQJXODU QHYHU FRQFOXVLYHO\ SURYHG LW 'XULQJ KLV
UHVHDUFK %RZHUV FRQFOXGHG WKDW WKLV VSDQORDG KDV D ZHDNHU WLS YRUWH[ WKDW LWV SRVLWLRQ LV QRW
DW WKH WLSV DQG WKDW DW WKH ZLQJWLSV VRPH RI WKH LQGXFHG GUDJ EHFRPHV LQGXFHG WKUXVW 7KLV
LQGXFHG WKUXVW LV µSURYHUVH \DZµ DQG LW LV ZKDW 3UDQGWO GLG QRW UHDOL]H DQG ZKDW +RUWHQ KDG
LQ KLV GHVLJQV EXW QHYHU DFKLHYHG WR SURYH LW %RZHUV XQGHU WKH µ3UDQGWO'µ 1$6$ SURJUDP
FRQGXFWHG VHYHUDO IOLJKW WHVWV ZLWK WKLV GHVLJQ SURYLQJ WKH H[LVWHQFH RI WKH SURYHUVH \DZ DQG
UHDFKHG RWKHU FRQFOXVLRQV UHJDUGLQJ ELUG IOLJKWV IRU H[DPSOH ZK\ WKH\ GR QRW WLS VWDOO DQG ZK\
WKH\ IO\ LQ IRUPDWLRQ ZLWK ZLQJV RYHUODS ,Q )LJXUH  LV D SLFWXUH RI WKH PRGHO IOLJKW WHVWHG
E\ WKH %RZHUV· WHDP ,W KDV VWUHDPHUV DWWDFKHG QHDU WKH ZLQJ WLSV WR YLVXDOO\ VHH WKH ORFDWLRQ
RI WKH ZLQJWLS YRUWH[ +RZHYHU WKHUH DUH QR SXEOLFDWLRQV RI GUDJ UHVXOWV RI WKH EHOOVKDSHG
VSDQORDG SURYLQJ WKDW LW LV EHWWHU WKDQ WKH HOOLSWLF GLVWULEXWLRQ

)LJXUH  %HOOVKDSHG VSDQORDG >@


 )LJXUH  3UDQGWO' IO\LQJ ZLQJ >@

 )OLJKW 7HVWLQJ )XQGDPHQWDOV

6HFWLRQ  VWDUWHG ZLWK WKH YHU\ EDVLFV RI IRUFHV DSSOLHG WR DQ DLUFUDIW GXULQJ IOLJKW +RZ
WKH DLUFUDIW UHVSRQGV WR WKHVH IRUFHV GHWHUPLQHV LWV SHUIRUPDQFH DQG WKH SULQFLSDO REMHFWLYH RI
IOLJKW WHVWLQJ DQ DLUFUDIW LV WR REWDLQ LWV SHUIRUPDQFH 7HFKQLTXHV KDYH WR EH FUHDWHG VR LW LV
SRVVLEOH WR REWDLQ WKHVH IRUFHV WKURXJK PHDVXUDEOH SDUDPHWHUV GXULQJ IOLJKW

.LPEHUOLQ >@ VD\V WKDW µ,I WKH GUDJ SRODU RI DQ DLUFUDIW LV DFFXUDWHO\ GHWHUPLQHG DQG WKH
WKUXVW RU WKUXVW KRUVHSRZHU DYDLODEOH LV NQRZQ WKHQ DOO RI WKH SHUIRUPDQFH FKDUDFWHULVWLFV RI
WKH VXEMHFW DLUSODQH PD\ EH FDOFXODWHGµ 6R WKH PDLQ REMHFWLYH RI IOLJKW WHVWLQJ DQ DLUFUDIW
EHFRPHV WKH GHWHUPLQDWLRQ RI WKH GUDJ SRODU DQG DYDLODEOH WKUXVW

,Q 6HFWLRQ  LW LV H[SODLQHG KRZ WKH SHUIRUPDQFH FKDUDFWHULVWLFV FDQ EH GHWHUPLQHG ZLWK
WKH GUDJ SRODU DQG DYDLODEOH WKUXVW DQG SUHVHQWV WKH IXQGDPHQWDO SHUIRUPDQFH HTXDWLRQV LW
GRHV QRW FRQWDLQ D FRPSOHWH GHGXFWLRQ WR H[SODLQ ZKHUH WKH\ FRPH IURP DV IXUWKHU H[SODQDWLRQV
FDQ EH REWDLQHG LQ UHIHUHQFH >@

,Q 6HFWLRQ  WKH IXQGDPHQWDO WHFKQLTXHV WR REWDLQ WKH GUDJ SRODU DQG DYDLODEOH WKUXVW
WKURXJK IOLJKW WHVWLQJ DUH SUHVHQWHG


 3HUIRUPDQFH

)RU D VWHDG\ OHYHO IOLJKW FRQVLGHULQJ WKDW WKH WKUXVW DQJOH ZLWK WKH UHODWLYH ZLQG αT r LV QHJOL
JLEOH WKH IRUFHV SUHVHQW LQ )LJXUH  DUH LQ EDODQFH L = W DQG D = T  %HFDXVH RI WKLV ODVW
FRQGLWLRQ WKH GUDJ RI WKH DLUSODQH LV FRPPRQO\ NQRZ DV UHTXLUHG WKUXVW Tr 

7KH GUDJ SRODU SUHVHQWHG LQ 6HFWLRQ  (TXDWLRQ  WKURXJK WKH LQWURGXFWLRQ RI WKH
LQGXFHG GUDJ IDFWRU K (TXDWLRQ   FDQ EH UHZULWWHQ DV LQ (TXDWLRQ  DV .LPEHUOLQ VDLG
WKH GUDJ SRODU LV VR LPSRUWDQW EHFDXVH ZH FDQ GLUHFWO\ FDOFXODWH L DQG D ZLWK WKH (TXDWLRQV 
DQG 

1
K= 
πeAR

CD = CD,0 + KCL2 

1 2
W =L= ρV SCL 
2 ∞

1 2
T = Tr = D = ρV SCD 
2 ∞

.QRZLQJ WKH ZHLJKW RI WKH DLUFUDIW W  LWV ZLQJ DUHD S WKH IOLJKW DOWLWXGH WR REWDLQ WKH DLU
GHQVLW\ ρ LW LV SRVVLEOH WR FDOFXODWH CL  IRU DQ\ YHORFLW\ V∞  DQG WKHQ ZLWK WKH GUDJ SRODU FDO
FXODWH WKH UHTXLUHG WKUXVW Tr  7KH SRZHU UHTXLUHG IRU VWHDG\ OHYHO IOLJKW Pr  FDQ EH FDOFXODWHG
E\ PXOWLSO\LQJ WKH UHTXLUHG WKUXVW E\ WKH YHORFLW\ (TXDWLRQ 

1 3
Pr = T r V ∞ = ρV SCD 
2 ∞

2QH RI WKH PRVW LPSRUWDQW SHUIRUPDQFH SDUDPHWHUV LV WKH DHURG\QDPLF HIILFLHQF\ RU JOLGH
UDWLR L/D LW FDQ EH LPPHGLDWHO\ GHWHUPLQHG 7KH DLUFUDIW·V PD[LPXP JOLGH UDWLR LV D GLUHFW
UHVXOW IURP WKH DLUFUDIW GUDJ SRODU (TXDWLRQ  DQG FDQ EH FDOFXODWHG IURP (TXDWLRQ 

  
L 1
= 
D max 4CD,0 K

$OWKRXJK WKH UHVXOWV DOUHDG\ SUHVHQWHG FDQ EH FDOFXODWHG IURP WKH DLUFUDIW·V FKDUDFWHULVWLFV
DORQH WKH SURSXOVLYH V\VWHP KDV WR EH FKDUDFWHUL]HG WRR 7KH DYDLODEOH SRZHU WR RYHUFRPH
GUDJ Pa  LV D IXQFWLRQ RI WKH PD[LPXP DYDLODEOH WKUXVW DQG YHORFLW\ (TXDWLRQ 


 Pa = Ta V∞ 

200 1250

180 1000

Power [W]
160 750

140 500
ܸ௠௔௫ோ஼
120 250
Available

100 Required 0
Série4
80 -250
Série2
Thrust [N]

60 -500

40 -750
ܸ௠௔௫ஓ
20 -1000
ܸ௦
ܸ௠௜௡ ܸ௠௔௫ா ܸ௠௔௫ோ ܸ௠௔௫
0 -1250
0 2 4 6 8 10 12 14 16 18 20 22 24
Velocity [m/s]

)LJXUH  3URSHOOHU GULYHQ DLUFUDIW SHUIRUPDQFH DQDO\VLV IURP WKH W\SLFDO FXUYHV IRU UHTXLUHG WKUXVW
DQG SRZHU DQG DYDLODEOH WKUXVW DQG SRZHU

,Q )LJXUH  W\SLFDO FXUYHV IRU WKH UHTXLUHG DQG DYDLODEOH WKUXVW IRU D SURSHOOHU GULYHQ
DLUFUDIW DUH UHSUHVHQWHG LQ WKH ORZHU SDUW RI WKH ILJXUH DQG IRU WKH UHTXLUHG DQG DYDLODEOH
SRZHU LQ WKH XSSHU SDUW RI WKH ILJXUH 7KHVH FXUYHV DUH REWDLQHG IURP WKH GUDJ SRODU DQG
SURSXOVLYH V\VWHP FKDUDFWHULVWLFV :LWK WKHVH FXUYHV LW LV SRVVLEOH WR REWDLQ WKH SHUIRUPDQFH
FKDUDFWHULVWLFV RI WKH DLUFUDIW 7KH ORZHU SRVVLEOH YHORFLW\ WKH VWDOO VSHHG Vs  FRUUHVSRQGV WR WKH
EHJLQQLQJ RI WKH UHTXLUHG WKUXVW FXUYH ZKHUH WKH PD[LPXP OLIW FRHIILFLHQW CLmax LV UHTXLUHG
7KH PLQLPXP VSHHG IRU D VWHDG\ OHYHO IOLJKW Vmin  RFFXUV IRU WKH ORZHVW YHORFLW\ ZKHUH WKH
DYDLODEOH DQG UHTXLUHG WKUXVW RU SRZHU KDYH WKH VDPH YDOXH XVXDOO\ WKLV YHORFLW\ LV OLPLWHG
E\ WKH VWDOO VSHHG LQVWHDG 7KH PD[LPXP OHYHO VSHHG RFFXUV IRU WKH VDPH FRQGLWLRQ DW WKH
KLJKHVW VSHHG Vmax  7KH VSHHG IRU PD[LPXP HQGXUDQFH VmaxE DQG PD[LPXP UDQJH VmaxR
DUH QRW FRLQFLGHQW E\ PLQLPL]LQJ WKH UHTXLUHG SRZHU WKH HQGXUDQFH LV PD[LPL]HG WKDW PHDQV
WKH YHORFLW\ IRU WKH ORZHVW YDOXH LQ WKH UHTXLUHG SRZHU XSSHU GDVKHG FXUYH LQ WKH ILJXUH  E\
PLQLPL]LQJ WKH UHTXLUHG WKUXVW WKH UDQJH LV PD[LPL]HG WKDW PHDQV WKH YHORFLW\ IRU WKH ORZHVW
YDOXH LQ WKH UHTXLUHG WKUXVW ORZHU GDVKHG FXUYH LQ WKH ILJXUH  7KH GLIIHUHQFH EHWZHHQ WKH
DYDLODEOH DQG UHTXLUHG SRZHU LV FDOOHG WKH H[FHVV SRZHU DQG WKH UDWH RI LQFUHDVH LQ WKH NLQHWLF


RU WKH SRWHQWLDO HQHUJ\ RI WKH DLUFUDIW 7KH UDWH RI FOLPE RC LV WKH YHUWLFDO VSHHG DQG LW
LV FDOFXODWHG GLYLGLQJ H[FHVV SRZHU E\ WKH DLUFUDIW·V ZHLJKW DW FRQVWDQW VSHHG (TXDWLRQ 
,Q WKH UHSUHVHQWDWLRQ WKH YHORFLW\ IRU PD[LPXP UDWH RI FOLPE VmaxRC LV REWDLQHG ZKHQ WKH
GLIIHUHQFH EHWZHHQ UHTXLUHG DQG DYDLODEOH SRZHU LV WKH KLJKHVW WKLV KDSSHQV DW WKH YHORFLW\
ZKHUH ERWK FXUYHV KDYH WKH VDPH GHULYDWLYH :LWK WKH VDPH DQDO\VLV IRU WKH WKUXVW DQG GUDJ
FXUYHV WKH FOLPE DQJOH LV REWDLQHG (TXDWLRQ  7KH PD[LPXP FOLPE DQJOH KDSSHQV IRU WKH
YHORFLW\ WKDW KDV WKH PD[LPXP H[FHVV WKUXVW ZKHUH WKH GUDJ FXUYH KDV WKH VDPH GHULYDWLYH DV
WKH WKUXVW FXUYH Vmaxγ LQ WKH ILJXUH

Pa − Pr
RC = 
W

T −D
sen(γ) = 
W

 )OLJKW 7HVWLQJ 7HFKQLTXHV

:KLFKHYHU WKH IOLJKW WHVWLQJ WHFKQLTXHV RU WKH PHWKRGRORJ\ XVHG WR REWDLQ WKH QHFHVVDU\ SDUDP
HWHUV IRU WKH GUDJ SRODU DQG DYDLODEOH WKUXVW HVWLPDWLRQ WKH HQYLURQPHQW ZLOO DIIHFW WKH IOLJKW
RI WKH DLUFUDIW DV ZHOO DV WKH REWDLQHG UHVXOWV LUUHVSHFWLYH RI WKH W\SH RI DLUFUDIW PDQQHG RU
XQPDQQHG ODUJH RU VPDOO 0HWHRURORJLFDO FRQGLWLRQV DUH YHU\ LPSRUWDQW DOO IOLJKWV VKRXOG EH
FRQGXFWHG LQ VLPLODU FRQGLWLRQV DQG WKH\ VKRXOG QRW DIIHFW WKH DLUFUDIW SHUIRUPDQFH RU LI WKH\
GR WKDW LQIOXHQFH PXVW EH UHGXFHG WR WKH EDUH PLQLPXP 7KH IOLJKW WHVWV VKRXOG EH GRQH LQ
VWLOO DLU ZLWKRXW ZLQG DQG ZLWKRXW WKHUPDO DFWLYLW\ WKHVH IDYRUDEOH FRQGLWLRQV XVXDOO\ KDSSHQ
HDUO\ LQ WKH PRUQLQJ DIWHU GDZQ ZKHQ WKH ZLQG VSHHG LV ORZHU DQG WKH WKHUPDO DFWLYLW\ KDV QRW
VWDUWHG

*OLGH )OLJKWV

*OLGH IOLJKWV DUH WKH HDVLHU WHFKQLTXH WR REWDLQ WKH GUDJ SRODU RI DQ DLUFUDIW E\ PHDVXULQJ
VXFFHVVLYHO\ WKH DLUVSHHG DQG UDWH RI GHVFHQW RI WKH DLUFUDIW GXULQJ D JOLGH GLYLGLQJ WKH ILUVW E\
WKH VHFRQG WKH LQVWDQWDQHRXV JOLGH UDWLR RI WKH DLUFUDIW LV FDOFXODWHG :LWK LWV ZHLJKW WKH OLIW
DQG GUDJ FRHIILFLHQWV DUH REWDLQHG IRU GLIIHUHQW DLUVSHHGV DQG WKH GUDJ SRODU HVWLPDWHG

3UHVVXUH 3UREHV

7KH HDVLHU DQG XVXDO ZD\ WR REWDLQ WKH UDWH RI GHVFHQW DQG WKH DLUVSHHG RI DQ DLUFUDIW WR DSSO\
WKH JOLGH IOLJKWV WHFKQLTXH LV WKURXJK WKH XVH RI SUHVVXUH SUREHV :LWK D VWDWLF SUHVVXUH SUREH
LW LV SRVVLEOH WR PHDVXUH WKH DOWLWXGH RI WKH DLUFUDIW DQG FRQVHTXHQWO\ WKH UDWH RI GHVFHQW :LWK
D SLWRWWXEH DQG D WRWDO SUHVVXUH VHQVRU DQG FRPSDULQJ LW WR WKH VWDWLF SUHVVXUH LW LV SRVVLEOH WR
REWDLQ WKH GLIIHUHQWLDO SUHVVXUH DQG PHDVXUH WKH DLUVSHHG

*36


,W LV SRVVLEOH WR HVWLPDWH WKH GUDJ SRODU RI WKH DLUFUDIW RQO\ ZLWK D *36 *OREDO 3RVLWLRQLQJ
6\VWHP  ,I WKHUH LV QR ZLQG WKH DLUVSHHG DQG JURXQGVSHHG ZLOO EH WKH VDPH 6R LW LV SRVVLEOH WR
PDNH VHYHUDO JOLGHV DW GLIIHUHQW VSHHGV DQG ZLWK WKH DOWLWXGH DQG GLVWDQFH PHDVXUHPHQWV IURP
WKH *36 FDOFXODWH WKH JOLGH UDWLR RI WKH DLUFUDIW :LWK WKH JOLGH UDWLR WKH VSHHG DQG NQRZLQJ WKH
ZHLJKW RI WKH DLUFUDIW LW SRVVLEOH WR FDOFXODWH WKH OLIW FRHIILFLHQW DQG ZLWK WKH JOLGH UDWLR L/D
FDOFXODWH WKH GUDJ DQG GUDJ FRHIILFLHQW KDYLQJ WKLV YDOXHV IRU GLIIHUHQW VSHHGV LW LV SRVVLEOH WR
HVWLPDWH WKH GUDJ SRODU RI WKH DLUFUDIW 7KH XVXDO FRPPHUFLDO DYDLODEOH *36 UHFHLYHUV PRVW
RI WKH WLPHV GR QRW KDYH WKH GHVLUHG SUHFLVLRQ IRU WKLV W\SH RI H[SHULPHQWDO VWXGLHV KRZHYHU
WKHUH DUH DOUHDG\ DYDLODEOH UHFHLYHUV FDSDEOH RI UHDO WLPH NLQHPDWLF 57. FRUUHFWLRQV ZLWK
KRUL]RQWDO SUHFLVLRQ RI D IHZ PLOOLPHWHUV DQG YHUWLFDO SUHFLVLRQ XQGHU RQH PHWHU

/RDG &HOO

:LWK D ORDG FHOO PRXQWHG RQ WKH PRWRUHQJLQH FDSDEOH RI PHDVXULQJ WKH SURSHOOHU WKUXVW
DQG E\ IO\LQJ DW VHYHUDO VSHHGV NQRZLQJ WKHP ZLWKRXW YHUWLFDO YHORFLW\ RU KRUL]RQWDO DFFHOHU
DWLRQ WKH UHTXLUHG WKUXVW IRU VHYHUDO YHORFLWLHV LV REWDLQHG DQG VR LV WKH GUDJ SRODU :LWK WKH
GUDJ SRODU PHDVXULQJ WKH UDWH RI FOLPE WKH PD[LPXP DYDLODEOH WKUXVW FDQ DOVR EH GHWHUPLQHG
DQG WKH SURSXOVLYH V\VWHP FKDUDFWHUL]HG

3DUDEROLF 'UDJ 3RODU

$IWHU REWDLQLQJ WKH GUDJ DQG OLIW YDOXHV RU FRHIILFLHQWV VHYHUDO UHJUHVVLRQ PHWKRGV FDQ EH
DSSOLHG WR ILW WKH GDWD LQWR D FXUYH +RZHYHU WKHUH LV D VSHFLDO LQWHUHVW LQ ILWWLQJ WKH UHVXOWV ZLWK
D FXUYH RI WKH W\SH RI (TXDWLRQ  LW LV FDOOHG WKH V\PPHWULFDO SDUDEROLF GUDJ SRODU $OWKRXJK
LW LV RQO\ DQ DSSUR[LPDWLRQ RI WKH UHDO GUDJ SRODU FXUYH RI DQ DLUSODQH LW LV H[WHQVLYHO\ XVHG WR
ILW WKH DLUSODQH UHDO GUDJ SRODU DV ZLWK LW LV SRVVLEOH WR REWDLQ WKH ]HUROLIW GUDJ FRHIILFLHQW CD,0
DQG WKH GUDJ GXH WR OLIW IDFWRU K 7KH PRVW FRPPRQ ZD\ WR REWDLQ WKH FRHIILFLHQWV CD,0 DQG K
LV WR SORW WKH GUDJ FRHIILFLHQW YDOXHV DJDLQVW WKH VTXDUH RI WKH OLIW FRHIILFLHQWV DQG ILW WKH GDWD
LQWR WR D OLQHDU UHJUHVVLRQ WR REWDLQ D y = mx + b OLQH WKH VORSH RI WKH OLQH m LV WKH IDFWRU
K DQG WKH Y LQWHUFHSW b LV WKH ]HUROLIW GUDJ FRHIILFLHQW CD,0  7R REWDLQ WKH FRHIILFLHQWV IRU
WKH DV\PPHWULFDO GUDJ SRODU WKH PLQLPXP GUDJ FRHIILFLHQW YDOXH KDV WR EH IRXQG WRJHWKHU ZLWK
WKH UHVSHFWLYH OLIW FRHIILFLHQW YDOXH 1H[W WKH YDOXH RI WKH K FRHIILFLHQW KDV WR EH LWHUDWHG
PLQLPL]LQJ WKH HUURU EHWZHHQ WKH LWHUDWHG GUDJ SRODU DQG WKH H[SHULPHQWDO UHVXOWV

(QHUJ\ 0HWKRG

7KH FRQYHQWLRQDO µVWHDG\ VWDWHµ DSSURDFK WR GHWHUPLQH DQ DLUFUDIW·V SHUIRUPDQFH LV FXP

EHUVRPH LW LV KDUG WR PDLQWDLQ FRQVWDQW DLUVSHHG )RU D FOLPE WKH FRQYHQWLRQDO PHWKRG GRHV
QRW DFFRXQW IRU DLUVSHHG FKDQJH ZKLOH LQFUHDVLQJ DOWLWXGH >@

,Q WKH HQHUJ\ PHWKRG GHYHORSHG E\ (GZDUG 6 5XWRZVNL >@ WKHUHIRUH DOVR FDOOHG 5XWRZVNL
HQHUJ\ PHWKRG LW LV FRQVLGHUHG WKDW WKH WRWDO HQHUJ\ RI WKH DLUFUDIW FDQ EH GHVFULEHG E\ WKH VXP
RI WKH NLQHWLF HQHUJ\ DQG SRWHQWLDO HQHUJ\ (TXDWLRQV  DQG  7KH DLUFUDIW·V SHUIRUPDQFH
DQDO\VLV LV SHUIRUPHG FRQVLGHULQJ WKH EDODQFH WKDW PXVW H[LVW EHWZHHQ WKH SRWHQWLDO DQG NLQHWLF
HQHUJ\ FKDQJH WKH HQHUJ\ GLVVLSDWHG GXH WR GUDJ DQG WKH HQHUJ\ SURYLGHG E\ WKH SURSXOVLYH
IRUFH 7KH SULQFLSDO VWUHQJWK RI WKLV PHWKRG LV WKDW WKURXJK RQH HTXDWLRQ IRU WKH UDWH RI FKDQJH
RI WKH VXP RI WKH SRWHQWLDO DQG NLQHWLF HQHUJLHV WKH SDWK WKDW PLQLPL]HV WKH WLPH RU IXHO WR
FKDQJH IURP RQH FRPELQDWLRQ RI VSHHG DQG DOWLWXGH WR DQRWKHU FDQ EH IRXQG


 E = P E + KE 

WV 2
E = Wh + 
2g

7R FRPSDUH GLIIHUHQW DLUFUDIW (TXDWLRQ  LV GLYLGHG E\ WKH DLUFUDIW·V ZHLJKW UHVXOWLQJ LQ
VSHFLILF HQHUJ\ Es  (TXDWLRQ  7KH VSHFLILF HQHUJ\ LV D OHQJWK GLPHQVLRQ PHWHUV IRU WKLV
UHDVRQ LW LV DOVR FDOOHG HQHUJ\ DOWLWXGH he

V2
Es = he = h + 
2g

7KH HTXDWLRQV SUHVHQWHG RQO\ GHVFULEH WKH HQHUJ\ VWDWH RI DQ DLUFUDIW WR GHILQH WKH SHU
IRUPDQFH FDSDELOLWLHV RI D JLYHQ DLUFUDIW WKH DELOLW\ RI FKDQJLQJ LWV HQHUJ\ OHYHO LQ D JLYHQ WLPH
PXVW EH GHWHUPLQHG (TXDWLRQ 

 
dEs dh V dV
= + 
dt dt g dt

7KH OHIW VLGH RI WKLV HTXDWLRQ dE dt  LV FKDQJH RI HQHUJ\ RYHU WLPH WKDW LV WKH GHILQLWLRQ RI
s

SRZHU 6R LW LV FDOOHG VSHFLILF H[FHVV SRZHU Ps DQG FDQ EH DOVR GHILQHG DV

V (T − D) dEs
Ps = = 
W dt

:LWK WKLV DSSURDFK WKH UDWH RI FOLPE FDQ EH GHWHUPLQHG WDNLQJ LQ DFFRXQW WKH DLUFUDIW
DFFHOHUDWLRQ VR (TXDWLRQ  FDQ EH UHZULWWHQ DV (TXDWLRQ 

 
dh V dV
RC = Ps = + 
dt g dt

 )OLJKW 7HVWLQJ  6WDWH RI WKH $UW

)OLJKW WHVWLQJ LV DV ROG DV WKH DLUSODQH LWVHOI 7KURXJK WKH \HDUV VHYHUDO DSSURDFKHV DQG PHWKRG
RORJLHV ZHUH GHYHORSHG DQG GRFXPHQWHG UHJDUGLQJ IOLJKW WHVWLQJ RI ODUJHU PDQQHG DLUFUDIW LQ
VWUXPHQWDWLRQ GDWD DFTXLVLWLRQ DQG FDOLEUDWLRQ SURFHGXUHV )OLJKW WHVWLQJ WKHVH W\SHV RI DLUFUDIW
LV D FRPSOH[ SURFHVV WLPH FRQVXPLQJ H[WUHPHO\ H[SHQVLYH DQG ZLWK D KLJK VDIHW\ ULVN

0RGHOV VFDOHG GRZQ YHUVLRQV RI ODUJH DLUFUDIW DUH EHLQJ XVHG VLQFH WKH ILUVW WLPHV DV IUHH
IOLJKW PRGHOV RU ZLQG WXQQHO PRGHOV &KDPEHUV >@ LQ KLV ERRN H[SODLQV WKH UROH RI G\QDPLFDOO\


VFDOHG PRGHOV LQ VXSSRUW RI 1$6$·V $HURVSDFH 3URJUDPV WKH\ FDQ EH XVHG LQ VHYHUDO DSSOLFD
WLRQV LQFOXGLQJ DHURG\QDPLF GDWD JDWKHULQJ LQ ZLQG WXQQHO LQYHVWLJDWLRQV G\QDPLF VWDELOLW\
UHVSRQVHV DV VSLQ PDQHXYHUV DQG VSLQ UHFRYHU\ SUREOHPVROYLQJ H[HUFLVHV IRU YHKLFOHV DOUHDG\
LQ SURGXFWLRQ DQG SURRIRIFRQFHSW GHPRQVWUDWRUV IRU UDGLFDO DHURQDXWLFDO FRQFHSWV

$QRWKHU W\SH RI IOLJKW PRGHOV DUH WKH SRZHUHG RQHV ZKLFK FDQ EH UHPRWHO\ FRQWUROOHG E\ D
KXPDQ SLORW QRZ W\SLFDOO\ NQRZQ DV 8QPDQQHG $HULDO 9HKLFOHV 8$9V  WKHVH PRGHOV FDQ DOVR
JDWKHU DHURG\QDPLF GDWD G\QDPLF UHVSRQVHV DQG LI VFDOHG GRZQ QRW RQO\ JHRPHWULFDOO\ EXW DOVR
G\QDPLFDOO\ WKH\ FDQ EHKDYH WKH VDPH ZD\ D ODUJHU DLUFUDIW ZRXOG IRU WKH VDPH FRQILJXUDWLRQ
8$9V IOLJKW WHVWLQJ KDV VHYHUDO DGYDQWDJHV LW LV QRW VR FRPSOH[ DV IRU ODUJH PDQQHG DLUFUDIW
8$9V GR QRW UHTXLUH DV PXFK WLPH DQG VSDFH VLQFH WKH\ FDQ EH RSHUDWHG RXWVLGH DLUSRUWV DQG
UHVSHFWLYH DLU WUDIILF WKH\ GR QRW HYHQ QHHG DQ DXWKRUL]HG DLUILHOG 6LPSO\ EHFDXVH RI WKHLU
ORZHU FRVWV DQG VLPSOHU ORJLVWLFV WKH\ DUH DOPRVW FRVWOHVV ZKHQ FRPSDUHG ZLWK IOLJKW WHVWLQJ D
UHJXODU DLUFUDIW DQG PRVW RI WKH WLPHV WKH\ UHSUHVHQW QHJOLJLEOH ULVN %XGG HW DO >@ FRYHU
WKH RSHUDWLRQDO DVSHFWV RI XVLQJ UDGLR FRQWUROOHG PRGHOV LQ IOLJKW WHVW SURJUDPV DQG VWDWHV WKDW
ZLWK WKH DGYDQWDJHV RI WKHVH W\SHV RI DLUFUDIW WKH\ DUH DQ DGHTXDWH ZD\ RI JDWKHULQJ UHVHDUFK
TXDOLW\ GDWD +RZHYHU IOLJKW WHVWLQJ 8$9V LV IDLUO\ QHZ WR WKH DHURQDXWLFDO HQYLURQPHQW WKH
PHWKRGV GHYHORSHG WKURXJK WKH \HDUV IRU ODUJH DLUFUDIW DUH QRW VXLWDEOH IRU VPDOO 8$9 IOLJKW
WHVWLQJ 7KHUH LV QRW PXFK OLWHUDWXUH ZLWK PHWKRGV GHVLJQHG VSHFLILFDOO\ IRU WKHVH VPDOO DLUFUDIW
DQG HYHQ OHVV IRU SHUIRUPDQFH HVWLPDWLRQ IOLJKW WHVWLQJ 7RJHWKHU ZLWK WKLV ODFN RI OLWHUDWXUH
WKHUH DUH RWKHU GLIILFXOWLHV DV UHIHUUHG E\ :LOOLDPV DQG +DUULV >@ 2QH RI WKH SULQFLSDO UXOHV
RI IOLJKW WHVWLQJ ODUJH PDQQHG DLUFUDIW LV WKDW D QHZ HQJLQH PXVW EH WHVWHG LQ DQ DOUHDG\ WHVWHG
DLUIUDPH DQG YLFH YHUVD IRU D QHZ DLUIUDPH QRUPDOO\ ZLWK FHUWLILHG DYLRQLFV DQG GDWD DFTXLVLWLRQ
V\VWHPV 2QH RI WKH FKDOOHQJHV ZLWK VPDOO 8$9V LV WKDW PRVW RI WKH WLPHV WKH WHVWV KDYH WR EH
PDGH ZLWK DQ XQWULHG DLUIUDPH XQWULHG DYLRQLFV DQG GDWD DFTXLVLWLRQ V\VWHPV XQWULHG *URXQG
&RQWURO 6WDWLRQ LI XVHG DQG XVXDOO\ ZLWK DQ HQJLQH RU HOHFWULFDO PRWRU EDVHG RQ PRGHO DLUFUDIW
WHFKQRORJ\ WKDW ZDV GHVLJQHG IRU D GLIIHUHQW XVDJH SURILOH

7KHUH DUH VWLOO RSHUDWLRQDO DGYDQWDJHV RI IOLJKW WHVWLQJ 8$9V 6RPH IOLJKW WHVWLQJ PHWKRG
RORJLHV WKDW ZHUH LPSRVVLEOH VLQFH WKH EHJLQQLQJ RI DLUSODQH WHVWV FDPSDLJQV VXFK DV WKH JOLGH
PHWKRGV GHVFULEHG E\ *UHHQ LQ >@ WR GHWHUPLQH OLIW DQG GUDJ FKDUDFWHULVWLFV ZHUH LPSRVVLEOH
GXH WR WKH LQFUHPHQW LQ FRPSOH[LW\ ZHLJKW DQG XQUHOLDELOLW\ RI D PHFKDQLFDO V\VWHP WR VWRS WKH
SURSHOOHU RU WKH HQJLQH GXULQJ IOLJKW 7KLV PHWKRGRORJ\ FDQ QRZ EH FRQVLGHUHG ZLWK HOHFWULFDO
8$9V DV WKHLU PRWRUV FDQ EH HDVLO\ VWRSSHG GXULQJ IOLJKW DQG UHOLDEO\ VWDUWHG DJDLQ

7KH DYLRQLFV DQG GDWD DFTXLVLWLRQ V\VWHPV SURGXFHG DQG DYDLODEOH FRPPHUFLDOO\ IRU ODUJH
DLUFUDIW DUH QRW VXLWDEOH IRU 8$9V DQG HYHQ LI WKH\ ZHUH WKHLU FRVWV ZRXOG QRW EH FRPSDWL
EOH ZLWK WKH RWKHU DVVRFLDWHG FRVWV :LWK WKH DGYDQFHV LQ PLFURFRQWUROOHU WHFKQRORJ\ VHYHUDO
ORZ FRVW ORZ ZHLJKW DQG YHUVDWLOH V\VWHPV DUH EHLQJ GHYHORSHG IRU ERWK H[SHULPHQWDO OLJKW DLU
FUDIW DQG 8$9V 7KLV OHDGV WR WKH H[LVWHQFH RI GLIIHUHQW V\VWHPV EHLQJ XVHG E\ WKH IHZ DXWKRUV RI
SXEOLVKHG IOLJKW WHVWV UHJDUGLQJ 8$9V EHLQJ WKH PRVW UHVWULFWLYH FKDUDFWHULVWLFV RI WKHVH V\VWHPV
ZHLJKW DQG SULFH 7KH V\VWHP GHYHORSHG E\ 6LOYD DQG 2OLYHLUD IRU H[SHULPHQWDO OLJKW DLUFUDIW DQG
8$9V >@ LV EDVHG RQ D PLFURFRQWUROOHU DQG VHYHUDO VHQVRUV 7KHUH DUH FRPPHUFLDOO\ DYDLODEOH
ORZ FRVW PLFURFRQWUROOHUV WKDW LQWHJUDWH RWKHU KDUGZDUH DV $' FRQYHUWHU 3:0 VHULDO FRPPX
QLFDWLRQ LQWHUQDO FORFN 5$0(3520 PHPRU\ IODVK PHPRU\ DQG SURJUDPPDEOH ,2 LQ D VLQJOH
PLFURFKLS 7KHUH DUH DOVR FRPPHUFLDOO\ DYDLODEOH ORZ FRVW VHQVRUV ZLWK VDWLVIDFWRU\ SUHFLVLRQ
FRPSDWLEOH ZLWK PLFURFRQWUROOHUV DQG PRVW RI WKH WLPHV ZLWK RSHQ VRXUFH FRGH WR XVH WKHP

7KH DGYDQFHV LQ WHFKQRORJ\ IRU DLUFUDIW V\VWHPV DOVR FKDQJHG WKH SURFHGXUHV IRU IOLJKW WHVW


LQJ DQG VHQVRUV FDOLEUDWLRQ $PRQJ WKH PRVW LPSRUWDQW VHQVRUV DUH WKH WRWDO DQG VWDWLF SUHVVXUH
WKH GLIIHUHQFH EHWZHHQ WKRVH SUHVVXUHV WKH GLIIHUHQWLDO SUHVVXUH LV XVHG WR FDOFXODWH WKH DLU
VSHHG RI WKH DLUFUDIW 7KH GLIIHUHQWLDO SUHVVXUH FDQ EH PHDVXUHG ZLWK D SLWRW WXEH DQG VWDWLF
SUHVVXUH SRLQW RU ZLWK D SLWRWVWDWLF SUREH IRU ERWK ,Q WKH OLWHUDWXUH LW LV XVXDO WR VHH WKLV
SUHVVXUH PHDVXUHPHQWV EHLQJ FDOOHG RQO\ E\ DLUVSHHG PHDVXUHPHQW 6WDQGDUG DLUVSHHG FDOL
EUDWLRQ SURFHGXUHV XVHG LQ ODUJH PDQQHG DLUFUDIW DUH ZHOO GRFXPHQWHG >@ WKH\ DUH DFFHSWHG
IRU FHUWLILFDWLRQ DQG FDQ EH XVHG ZLWK VPDOOHU DLUFUDIW RU HYHQ 8$9V ,Q D VLPSOLVWLF ZD\ WKH
DLUVSHHG FDOLEUDWLRQ LV SHUIRUPHG FRPSDULQJ WKH JURXQGVSHHG RI WKH DLUFUDIW ZLWK WKH UHDG DLU
VSHHG KDYLQJ LQ PLQG WKDW LW VKRXOG EH SHUIRUPHG LQ FDOP GD\V RU FDQFHOLQJ WKH HIIHFWV RI WKH
ZLQG E\ UHSHDWLQJ LW LQ RSSRVLWH GLUHFWLRQV

$OWHUQDWLYH SURFHGXUHV ZHUH GHYHORSHG E\ .LPEHUOLQ DQG 6LPV >@ ZLWK WKH DUULYDO RI WKH
*OREDO 3RVLWLRQLQJ 6\VWHP 6PDOO DQG ORZ FRVW *36 UHFHLYHUV KDYH D VDWLVIDFWRU\ SUHFLVLRQ DQG
FDQ EH XVHG WR FDOFXODWH WKH DYHUDJH JURXQG VSHHG ZLWK WKH GLVWDQFH WUDYHOHG DQG WLPH RU ZLWK
WKH LQVWDQW JURXQGVSHHG RXWSXW IURP WKH *36 DQG WKHQ FRPSDUH ZLWK WKH PHDVXUHG DLUVSHHG WR
REWDLQ D FDOLEUDWLRQ FXUYH IRU WKH DLUVSHHG YDOXHV

$OWKRXJK WKH XVXDO PHWKRGRORJLHV IRU IOLJKW WHVWLQJ ODUJH DLUFUDIW DUH QRW DGHTXDWH IRU 8$9V
WKHVH W\SH RI DLUFUDIW VWLOO KDYH WKH VDPH SK\VLFDO ODZV $V VWDWHG DERYH VWRSSLQJ WKH HQJLQH
GXULQJ WKH IOLJKW LV QRW SUDFWLFDO VR PRVW RI WKH OLWHUDWXUH IRFXV LQ KDYLQJ D SUHFLVH PHDVXUH RI
WKH WKUXVW RU RWKHU YDULDEOHV WKDW DOORZ WKH FDOFXODWLRQ RI WKUXVW 'UDJ LV WKHQ GHWHUPLQHG E\
WKH UHTXLUHG WKUXVW WR PDLQWDLQ VWHDG\ OHYHO IOLJKW ZLWK FRQVWDQW DLUVSHHG

0DUVKDOO DQG 6FKZHLNKDUG >@ GHVFULEH WKH PHWKRGRORJ\ IRU PRGHOLQJ WKH SHUIRUPDQFH
RI WKH )* DLUSODQH IURP IOLJKW WHVWV UHVXOWV EDVHG RQ WKH HQHUJ\ PHWKRG DQG WKH IXHO FRQ
VXPSWLRQ ,W VWLOO QHHGV SUHYLRXV WHVWV IRU FKDUDFWHUL]DWLRQ RI WKH HQJLQH DQG DV WKH\ KDYH WKH
SUHGLFWHG GUDJ WKH SURFHGXUH LV EDVHG RQ WKH HQHUJ\ PHWKRG DV WKH\ PHDVXUH WKH DLUSODQH
DFFHOHUDWLRQV DQG FRPSDUH ZLWK WKH SUHGLFWLRQV $OWKRXJK WKH HQHUJ\ PHWKRG FDQ EH XVHG IRU
OHYHO IOLJKW DQG FOLPEV LW LV RQO\ DSSOLFDEOH IRU QRQPDQHXYHULQJ IOLJKW ZLWK FRQVWDQW SRZHU VHW
WLQJ DQG FRQVWDQW GLUHFWLRQ RI IOLJKW ZLWK D QRUPDO ORDG IDFWRU RI  %DVHG RQ WKH HQHUJ\ PHWKRG
DQG WKH GLUHFWLRQ RI WKH IRUFHV GXULQJ IOLJKW WKH DXWKRUV FRPSXWH D VHFRQGDU\ FRUUHFWLRQ IRU
ORDG IDFWRU QHDU RQH ±0.2g 

1RUULV >@ GHYHORSHG D JOLGH IOLJKW WHVWLQJ PHWKRGRORJ\ IRU PHDVXULQJ WKH GUDJ SRODU RI
SURSHOOHU DLUFUDIW 7KHQ ZLWK WKH PHDVXUHG GUDJ SRODU DQG SHUIRUPLQJ OHYHO IOLJKWV WKH SURSXO
VLYH HIILFLHQF\ FDQ EH FDOFXODWHG 7KH GUDJ LV REWDLQHG GXULQJ JOLGHV ZLWK ]HURWKUXVW FRQGLWLRQ
ZKLOH PHDVXULQJ WKH VLQN VSHHG DQG WUXH DLUVSHHG 7KH URWDWLRQDO VSHHG RI WKH HQJLQH WKDW
JLYHV ]HURWKUXVW LV VHQVHG ZLWK WKH IRUH DQG DIW FOHDUDQFH PRWLRQ RI WKH HQJLQH FUDQNVKDIW )RU
SURSXOVLYH HIILFLHQF\ FDOFXODWLRQV WKH SRZHU XVHG E\ WKH HQJLQH LV HLWKHU PHDVXUHG E\ XVLQJ
PHDVXUHG IOLJKW FRQGLWLRQV DQG HQJLQHPDQXIDFWXUHUV SRZHU FKDUWV RU WKH SURSHOOHU SRZHU LV
HVWLPDWHG $OWKRXJK WKH SURSHOOHU LV QRW SURGXFLQJ WKUXVW LW LV VWLOO URWDWLQJ WKH FLWHG ZRUN
IRFXV LQ WKH LQWHUDFWLRQ RI WKH SURSHOOHU VOLSVWUHDP ZLWK WKH UHVW RI DLUFUDIW WKDW UHVXOWV LQ ORZHU
SURSXOVLYH DQG DHURG\QDPLF HIILFLHQFLHV WKDQ H[SHFWHG

7KH OLWHUDWXUH DYDLODEOH FRQFHUQLQJ IOLJKW WHVWLQJ PHWKRGRORJLHV IRU VPDOO HOHFWULFDO 8$9V LV
PDLQO\ FHQWHUHG LQ WKH TXDQWLILFDWLRQ RI VWDELOLW\ DQG G\QDPLFV >@ DQG >@ 1RUPDOO\ GXULQJ
WKH IOLJKW VRPH PDQHXYHUV DQG FRQWURO LPSXOVHV DUH H[HFXWHG DQG WKH UHVSRQVH RI WKH DLUFUDIW
LV UHFRUGHG

7KH DYDLODEOH OLWHUDWXUH IRU VPDOO 8$9V SHUIRUPDQFH HVWLPDWLRQ ZLWK IOLJKW WHVWV XVXDOO\


GRHV QRW JDWKHU HQRXJK GDWD WR REWDLQ WKH GUDJ SRODU RU WKH\ GHVFULEH WHVWLQJ VSHFLILFDOO\ RWKHU
SHUIRUPDQFH SDUDPHWHUV DQG HQG XS QRW SUHGLFWLQJ WKH GUDJ SRODU DQG SURSXOVLYH FXUYH WKDW DUH
HVVHQWLDO WR WKH HQWLUH DLUSODQH SHUIRUPDQFH HVWLPDWLRQ

5DPVDN >@ REWDLQV WKH GUDJ RI D UDGLR FRQWUROOHG 5& GLVFXV ODXQFK JOLGHU '/* PRGHO
ZLWKRXW DQ\ LQVWUXPHQWDWLRQ LQ LW LW KDV QR LQWHUQDO VSDFH WKH LQFUHDVHG ZHLJKW RI DYLRQLFV DQG
GUDJ RI IRU H[DPSOH D SLWRW WXEH ZRXOG GHFUHDVH VLJQLILFDQWO\ LWV HIILFLHQF\ $ SKRWRJUDPPHWU\
DSSURDFK LV XVHG WR GHWHUPLQDWH WKH VSHHG DQG JOLGH DQJOH RI WKH '/* 7KH GUDJ YDOXHV REWDLQHG
DUH FRPSDUHG ZLWK WKH UHVXOWV RI &)' EXW WKH GUDJ SRODU RU RWKHU SHUIRUPDQFH SDUDPHWHUV
ZHUH QRW HVWLPDWHG

+LOOHU >@ FRQGXFWV IOLJKW WHVWV IRU GUDJ HVWLPDWLRQ DOWKRXJK RQO\ IRU WKUHH IODS VHWWLQJV
7KH RYHUDOO SHUIRUPDQFH RI WKH DLUFUDIW LV QRW GLVFXVVHG ,Q KLV PHWKRGRORJ\ WKH GUDJ LV REWDLQHG
WKURXJK JOLGHV FDOFXODWLQJ WKH IOLJKW SDWK DQJOH ZLWK WKH DLUVSHHG DQG VLQN VSHHG :LWK WKH
PHDVXUHG URWDWLRQDO VSHHG RI WKH HQJLQH DQG SUHYLRXV HQJLQH DQG SURSHOOHU WHVWV WKH WKUXVW LV
DOVR SUHGLFWHG WR DOORZ WKH FDOFXODWLRQ RI WKH GUDJ SRODU

-LQ DQG /HH >@ FRQGXFW WKHLU IOLJKW WHVW ZLWK D GLIIHUHQW PHWKRGRORJ\ DV IRU OHYHO IOLJKW
WKH GUDJ DQG WKUXVW KDYH WKH VDPH YDOXH WKH\ SHUIRUPHG D ORQJ IOLJKW DW WKH VDPH DOWLWXGH
DQG FRQVWDQW DLUVSHHG DQG PHDVXUHG WKH EDWWHU\ YROWDJH DQG FXUUHQW GUDZ :LWK SUHYLRXV ZLQG
WXQQHO WHVW IRU WKH SURSXOVLYH V\VWHP FKDUDFWHUL]DWLRQ WKH\ REWDLQ WKH WKUXVW ZKLFK LV DOVR WKH
GUDJ $OWKRXJK WKH\ DUH WHVWLQJ D ORQJ HQGXUDQFH 8$9 ZLWK  KRXUV RI HQGXUDQFH WKH\ RQO\
UHDOL]HG WKH IOLJKW WHVW DW RQH YHORFLW\ PDNLQJ LW LPSRVVLEOH WR REWDLQ D GUDJ SRODU 7KH GUDJ
YDOXH REWDLQHG ZDV FRPSDUHG ZLWK D &)' VLPXODWLRQ FRQFOXGLQJ DQ XQGHU SUHGLFWLRQ RI 
FRPSDUHG ZLWK WKH GUDJ IURP IOLJKW WHVWLQJ

2VWOHU HW DO >@ KDYH WKH PRVW FRPSOHWH ZRUN UHJDUGLQJ IOLJKW WHVWLQJ RI VPDOO HOHFWULFDO
8$9V IRU SHUIRUPDQFH DQDO\VLV $ VLPLODU PHWKRGRORJ\ WR WKH RQH RI -LQ DQG /HH >@ LV XVHG WKH
PRWRU DQG SURSHOOHU DUH WHVWHG WR REWDLQ WKH SURSXOVLYH HIILFLHQF\ D OHYHO IOLJKW LV FRQGXFWHG
DW VHYHUDO DLUVSHHGV PHDVXULQJ WKH EDWWHU\ YROWDJH DQG FXUUHQW GUDZ WR ODWHU FDOFXODWH WKH
UHTXLUHG WKUXVW ZKLFK RQFH DJDLQ LV WKH VDPH DV WKH GUDJ 'RLQJ WKHVH WHVWV DW GLIIHUHQW YDOXHV
RI DLUVSHHG PDNHV SRVVLEOH WR REWDLQ D GUDJ SRODU IRU WKH DLUFUDIW 7RJHWKHU ZLWK WKH SUHYLRXV
WHVWV RI WKH SURSXOVLYH V\VWHP DOO WKH SHUIRUPDQFH SDUDPHWHUV FDQ EH FDOFXODWHG



&KDSWHU 

0HWKRGRORJ\

 1XPHULFDO 6WXG\

7KH SURSRVHG FRQFHSW FRQILJXUDWLRQ WR UHGXFH WKH YRUWH[ GUDJ LV FRPSDUHG ZLWK D EDVHOLQH
FRQILJXUDWLRQ ILUVW WKURXJK QXPHULFDO DQDO\VLV DQG WKHQ ZLWK DQ H[SHULPHQWDO DSSURDFK VHYHUDO
IOLJKW WHVWV RI D VPDOO HOHFWULF XQPDQQHG DHULDO YHKLFOH DUH FRQGXFWHG WR HVWLPDWH WKH GUDJ SRODU
RI ERWK WKH SURSRVHG :LQJ 7LS 7DLO FRQFHSW DQG WKH EDVHOLQH FRQILJXUDWLRQV $W WKH VDPH WLPH
WKH IOLJKW WHVW PHWKRGRORJ\ XVHG LV HYDOXDWHG DQG FRPSDUHG ZLWK RWKHU PHWKRGRORJLHV :LWK
WKLV PHWKRGRORJ\ QRW RQO\ WKH GUDJ SRODU FDQ EH REWDLQHG EXW DOVR WKH WKUXVW FXUYH DQG WKH
JOREDO SURSXOVLYH V\VWHP HIILFLHQF\

7KH QXPHULFDO VWXG\ LV GLYLGHG LQ WKUHH SKDVHV WKH ILUVW SKDVH KDV WKH REMHFWLYH RI HVWL
PDWLQJ WKH PHULW WKH :77 ''/ UHGXFWLRQ FRQFHSW DQG VRPH RI WKH OLPLWDWLRQV RI WKH VRIWZDUH
IRUPXODWLRQ XVHG LQ WKLV SDUWLFXODU VWXG\ WKH VHFRQG SKDVH LV WKH FUHDWLRQ RI WKH EDVHOLQH FRQ
ILJXUDWLRQ DQG FRPSDULVRQ ZLWK WKH SURSRVHG FRQILJXUDWLRQ WKH WKLUG SKDVH VWDUWV ZLWK D VHDUFK
IRU WKH LPSRUWDQW SDUDPHWHUV IRU WKH :77 FRQFHSW WR ZRUN DQG ODWHU ZLWK DQ HIIRUW WR RSWLPL]H
WKH :77 FRQILJXUDWLRQ IRU WKLV SDUWLFXODU DLUFUDIW

7KH VRIWZDUH XVHG LV WKH ;)/5 >@ ZKLFK LQFOXGHV WKH ;)2,/ >@ IRUPXODWLRQ IRU WKH WZR
GLPHQVLRQDO DLUIRLO DQDO\VLV )RU WKH LQYLVFLG ''/ HVWLPDWLRQ WKH OLIWLQJ OLQH WKHRU\ DQG WZR
GLIIHUHQW YRUWH[ ODWWLFH PHWKRG 9/0 DUH XVHG IRU WKH ILQLWH ZLQJ DQG WDLO VXUIDFHV DQDO\VLV
;)/5 LV FRQWLQXRXVO\ EHLQJ GHYHORSHG DQG XSGDWHG WKHUH LV QRW HQRXJK LQIRUPDWLRQ FRYHULQJ
HDFK YHUVLRQ DQG WKH DYDLODEOH LQIRUPDWLRQ QRW RQO\ LV QRW NQRZQ IRU ZKLFK YHUVLRQ LW ZDV
UHOHDVHG DV PRVW RI WKH WLPH GRHV QRW KDYH WKH HVVHQWLDO LQIRUPDWLRQ WR XQGHUVWDQG ZKLFK
DQDO\VLV W\SH LV PRVW VXLWDEOH IRU WKH LQWHQGHG REMHFWLYHV ,Q WKH GRFXPHQW >@ WKDW EULHIO\
H[SODLQV WKH PHWKRGV XVHG LQ WKH FDOFXODWLRQV LW LV H[SODLQHG WKDW WKH 9/0 PHWKRGV DUH WKH PRVW
VXLWDEOH IRU PXOWLSOH VXUIDFHV DQDO\VLV LW LV DOVR VWDWHG WKDW WKH VHFRQG 9/0 PHWKRG 9/0 LV
WKH UHFRPPHQGHG E\ .DW] DQG 3ORWNLQ>@ IRU FDOFXODWLRQV LQ FRQILJXUDWLRQV ZLWK HOHYDWRU DQG
ILQ

%RWK 9/0 DQDO\VLV DUH ZHOO VXLWHG IRU PXOWLSOH VXUIDFHV DOWKRXJK WKH\ DUH QRW GHVFULEHG
LQ WKH GRFXPHQW >@ LQ WKH ZRUN RI 0DVNHZ >@ LW LV H[SODLQHG WKDW WKH TXDGULODWHUDO ULQJ
YRUWLFHV DOORZ WKH FDOFXODWLRQ RI WKH GHIRUPDWLRQ RI IRUFH IUHH ZDNHV WKURXJK WKH YRUWH[ VKHHW
UROOXS ;)/5 KDV WKH W\SH  9/0+RUVHVKRH YRUWH[ DQG W\SH  9/05LQJ YRUWH[ WR EHWWHU XQ
GHUVWDQG WKHLU GLIIHUHQFHV DQG WKHLU LQIOXHQFH LQ WKH VWXGLHG FRQILJXUDWLRQV ERWK PHWKRGV ZHUH
XVHG LQ WZR GLIIHUHQW FRQILJXUDWLRQV 2QH FRQILJXUDWLRQ ZLWK D FRQYHQWLRQDO LQYHUWHG µ7WDLOµ
)LJXUH  E  DQG DQRWKHU ZLWK WKH KRUL]RQWDO WDLO LQ WKH VDPH SRVLWLRQ EXW WKH YHUWLFDO WDLO
GLYLGHG LQ WZR DQG SODFHG QHDU WKH ZLQJWLSV )LJXUH  D  WR XQGHUVWDQG KRZ WKH PHWKRGV VLP
XODWH WKH LQWHUDFWLRQ EHWZHHQ WKH ZLQJ DQG WDLO 7KH VDPH VWXG\ FRXOG EH SHUIRUPHG EHWZHHQ
WKH :77 FRQILJXUDWLRQ DQG D EDVHOLQH FRQYHQWLRQDO FRQILJXUDWLRQ KRZHYHU ERWK 9/0 PHWKRGV
DUH LQIOXHQFHG E\ WKH SODQIRUP RI WKH WDLO ZKDW ZRXOG OHDG WR D PLVOHDGLQJ UHVXOWV GLIIHUHQFH


EHWZHHQ WKH 9/0 PHWKRGV

ܽሻ ܾሻ

)LJXUH  ;)/5 FRQILJXUDWLRQV XVHG WR WHVW WKH GLIIHUHQW YRUWH[ ODWWLFH PHWKRGV

*LYHQ WKH WZR WDLO FRQILJXUDWLRQV LQ )LJXUH  XVHG WR WHVW WKH ;)/5 9/0 PHWKRGV )LJ
XUH  SUHVHQWV WKH UHVXOW ZKHUH µWLSµ LV WKH FRQILJXUDWLRQ D LQ )LJXUH  DQG µFRQYµ LV WKH
FRQILJXUDWLRQ E LQ )LJXUH  7KH ILUVW FRQFOXVLRQ LV 9/0 DQG 9/0 PHWKRGV GR JLYH GLIIHUHQW
UHVXOWV IRU WKH VDPH FRQILJXUDWLRQ :KLOH 9/0+RUVHVKRH YRUWH[ LV QRW VHQVLWLYH WR WKH YHUWLFDO
WDLO SRVLWLRQ 9/05LQJ YRUWH[ HVWLPDWHV WKDW WKH WDLO FRQILJXUDWLRQ ZKHUH WKH YHUWLFDO VXUIDFHV
DUH DW WKH ZLQJWLSV KDV D EHWWHU PD[LPXP YDOXH RI JOLGH UDWLR ,W LV SRVVLEOH WR FRQFOXGH ULJKW
DZD\ WKDW 9/0 LV WKH VXLWDEOH YRUWH[ ODWWLFH PHWKRG IRU WKLV VWXG\ DQG WKDW LW VHHPV WKHUH LV
D GUDJ UHGXFWLRQ IRU D WDLO FRQILJXUDWLRQ ZLWK VXUIDFHV EHKLQG WKH ZLQJWLSV 7KLV GUDJ UHGXFWLRQ
LV PRUH QRWLFHDEOH DW KLJKHU OLIW FRHIILFLHQW YDOXHV

13
conv@VLM1 tip@VLM1 tip@VLM2 conv@VLM2
12

11

10
CL/CD

5
0 0.2 0.4 0.6 0.8 1 1.2
CL

)LJXUH  ;)/5 YRUWH[ ODWWLFH PHWKRGV DQDO\VLV IRU WDLO VXUIDFHV DW WKH ZLQJWLSV

$IWHU FKRRVLQJ WKH DGHTXDWH 9/0 PHWKRG LW LV SRVVLEOH WR SHUIRUP WKH QXPHULFDO DQDO\VLV
7KH SURSRVHG :77 FRQILJXUDWLRQ LV FRPSDUHG ZLWK D EDVHOLQH D FRQYHQWLRQDO FRQILJXUDWLRQ WKDW
VHUYHV DV D UHIHUHQFH WR YHULI\ WKH H[LVWHQFH RI D UHGXFWLRQ LQ WKH YRUWH[ GUDJ DQG D FRQVHTXHQW
JOLGH UDWLR LQFUHDVH 7KH EDVHOLQH FRQILJXUDWLRQ LV GHVLJQHG FDUHIXOO\ WR HQVXUH WKDW DQ\ GLIIHU
HQFHV EHWZHHQ WKHLU SHUIRUPDQFH LV PRVWO\ GXH WR WKH DHURG\QDPLF FRQFHSW LQ VWXG\ WKH GHVLJQ
RI WKLV EDVHOLQH FRQILJXUDWLRQ LV GLVFXVVHG LQ 6HFWLRQ 


 :77 &RQFHSW ,PSURYHPHQW

$ VWXG\ IRU LPSURYLQJ WKH :77 FRQILJXUDWLRQ ZDV SHUIRUPHG E\ V\VWHPDWLFDOO\ FKDQJLQJ WKH
GHVLJQ YDULDEOHV RI WKH :77 FRQFHSW JHRPHWU\ UHJDUGLQJ WKH WDLO SRVLWLRQ DQG FRPSDULQJ WKH
UHVXOWDQW JOLGH UDWLR YDOXH ZLWK WKH RQH IURP WKH RULJLQDO :77 DLUFUDIW 7KH WDLO YDULDEOHV
VSDQZLVH GLVWDQFH IURP WKH FHQWHU SODQH RI WKH WDLO VXUIDFHV WKH YHUWLFDO GLVWDQFH WKH DQJOH RI
LQFLGHQFH WKH ZLQJ·V DQJOH RI LQFLGHQFH WKH GLKHGUDO DQJOH ZDV LQYHUWHG DQG WKH ORQJLWXGLQDO
FKRUGZLVH SRVLWLRQ ZHUH V\VWHPDWLFDOO\ FKDQJHG DQG WKH UHVXOWV DQDO\]HG 7R NHHS WKH WDLO
YROXPH FRHIILFLHQW FRQVWDQW WKH WDLO VXUIDFH DUHD LV FKDQJHG LQ WKH VDPH SURSRUWLRQ RI WKH
WDLO PRPHQW DUP 7KH UHVXOWV IURP WKLV W\SH RI VWXG\ LQ WKLV VRIWZDUH KDYH WR EH FULWLFDOO\
HYDOXDWHG DV VRPHWLPHV D VOLJKW FKDQJH LQ WKH WDLO SRVLWLRQ OHDGV WR ELJ FKDQJHV LQ WKH DLUSODQH
GUDJ WKDW DUH QRW UHDO EXW UDWKHU D OLPLWDWLRQ RI WKH SURJUDP RU IURP WKH VXUIDFHV PHVK

 :LQJ 7LS 7DLO &RQFHSW &RQILJXUDWLRQ

 %ULHI 'HVFULSWLRQ

7KH DLUFUDIW XVHG LQ WKLV VWXG\ LV JHRPHWULFDOO\ VLPLODU WR WKH RQH XVHG LQ WKH  $&& 1HZ
ZLQJV ZHUH EXLOW ZLWK D FDUERQ ILEHU &)53 'ER[ WR LQFUHDVH WKH WRUVLRQDO VWLIIQHVV 7KH DLUFUDIW
ZDV IXUWKHU PRGLILHG IRU WKH SUHVHQW ZRUN $ SUHYLRXVO\ EXLOW IXVHODJH ZDV PRGLILHG WR FDUU\ WKH
GDWD DFTXLVLWLRQ V\VWHP DWWDFK WKH ZLQJV DQG DOORZ WKH DVVHPEO\ RI WKH FRQYHQWLRQDO WDLO 7KLV
ZLQJWLS PRXQWHG WDLO FRQILJXUDWLRQ LV H[WUHPHO\ GLIILFXOW WR WUDQVSRUW LI LW KDV QRW GHWDFKDEOH
WDLO VXUIDFHV 6R WKH H[LVWLQJ WDLO ERRPV ZHUH FXW DQG DQ LQWHUIDFH EHWZHHQ WKHP DQG WKH ZLQJV
ZDV GHVLJQHG WR PDNH LW HDV\ WR GLVDVVHPEOH WUDQVSRUW DQG DVVHPEOH

 3URSXOVLRQ

$V VWDWHG LQ 6HFWLRQ  WKH :77 FRQILJXUDWLRQ LV LPSOHPHQWHG LQ D VPDOO HOHFWULFDO YHKLFOH 7KH
SRZHU SODQW LV WKH VDPH DOORZHG E\ WKH $&& UHJXODWLRQV >@ DQ HOHFWULF EUXVKOHVV RXWUXQQHU
PRWRU D OLWKLXP SRO\PHU /L3R EDWWHU\ RI DQ\ FDSDFLW\ ZLWK WKUHH HOHPHQWV LQ VHULHV DQG DQ
$3& SURSHOOHU *LYHQ WKH RULJLQ RI WKLV DLUFUDIW WKH $LU &DUJR &KDOOHQJH EHVLGHV WKH IOLJKW
WHVWLQJ HTXLSPHQW LW LV DEOH WR FDUU\ D KHDY\ EDWWHU\ DQG VWLOO KDYH JRRG H[FHVV SRZHU WR IO\
FRPIRUWDEO\ 7ZR GLIIHUHQW EDWWHULHV WKDW ZHUH DOUHDG\ DYDLODEOH ZHUH XVHG 7KH SURSXOVLYH
V\VWHP FRPSRQHQWV DQG WKHLU FKDUDFWHULVWLFV DUH GHVFULEHG LQ 7DEOHV     DQG 
%DWWHU\ QXPEHU WZR 7DEOH  ZDV PRGLILHG WR GRXEOH WKH FDSDFLW\ WKH PRGHO RI WKH EDWWHU\
SUHVHQWHG LV WKH RULJLQDO DQG WKH FKDUDFWHULVWLFV DUH WKH ILQDO RQHV DIWHU WKH PRGLILFDWLRQ

 $LUIUDPH

,Q WKLV FRQILJXUDWLRQ WKH DLUFUDIW KDV D 1.71m ZLQJVSDQ 1.5m OHQJWK DQG 4kg RI WDNH RI PDVV
'HWDLOHG GLPHQVLRQV DQG VSHFLILFDWLRQV DUH GHVFULEHG LQ 7DEOH  DQG D SKRWRJUDSK LV SUHVHQW LQ
)LJXUH  $Q LPSRUWDQW GHWDLO DERXW WKLV FRQILJXUDWLRQ LV WKH SRVLWLRQ RI WKH FHQWHU RI JUDYLW\
CG  XVXDOO\ IRU VPDOO 8$9V WKH CG LV EHWZHHQ  DQG  RI WKH PHDQ DHURG\QDPLF FKRUG


 7DEOH  (OHFWULF EUXVKOHVV RXWUXQQHU PRWRU FKDUDFWHULVWLFV >@

7HFKQLFDO 6SHFLILFDWLRQ
0RGHO $;,  *ROG /LQH 9
5RWDWLRQDO &RQVWDQW .9  5309
0D[ (IILFLHQF\ 
1R ORDG FXUUHQW  $
&XUUHQW &DSDFLW\  $
,QWHUQDO 5HVLVWDQFH PΩ
'LPHQVLRQV φ [ / [ PP
0DVV  J

7DEOH  (OHFWURQLF VSHHG FRQWUROOHU (6& FKDUDFWHULVWLFV >@

7HFKQLFDO 6SHFLILFDWLRQ
0RGHO &DVWOH &UHDWLRQV 3KRHQL[ /LWH 
0LQ ,QSXW 9ROWDJH  9 6 /L3R
0D[ ,QSXW 9ROWDJH  9 6 /L3R
0D[ &RQWLQXRXV &XUUHQW  $
%(& 9ROWDJH    9
%(& &XUUHQW $
0DVV  J

7DEOH  %DWWHU\ QXPEHU RQH FKDUDFWHULVWLFV >@

7HFKQLFDO 6SHFLILFDWLRQ
0RGHO 6/6 $3/ P$K 63 9
9ROWDJH  9
&RQILJXUDWLRQ 63
&DSDFLW\ P$K
&RQWLQXRXV 'LVFKDUJH  &
%XUVW 'LVFKDUJH  &
0DVV  J

7DEOH  %DWWHU\ QXPEHU WZR FKDUDFWHULVWLFV >@

7HFKQLFDO 6SHFLILFDWLRQ
0RGHO %DVKHU P$K 6 &
9ROWDJH  9
&RQILJXUDWLRQ 63
&DSDFLW\ P$K
&RQWLQXRXV 'LVFKDUJH  &
%XUVW 'LVFKDUJH  &
0DVV  J
$GGHG %DOODVW  J

7DEOH  3URSHOOHU FKDUDFWHULVWLFV >@

7HFKQLFDO 6SHFLILFDWLRQ
0RGHO $3& [ 6SRUW 3URSHOOHU
'LDPHWHU µ
3LWFK µ
0DVV  J


M AC RI WKH ZLQJ LQ WKLV DLUFUDIW LW LV DW  RI WKH 0$& WKH FRQFHSW EHKLQG WKLV SRVLWLRQ
LV DQ HIIRUW WR LQFUHDVH WKH GUDJ UHGXFWLRQ :LWK D IRUH CG SRVLWLRQ WR DFKLHYH ORQJLWXGLQDO
VWDELOLW\ WKH WDLO PXVW SURGXFH D KLJKHU GRZQIRUFH $V WKH :77 LQGXFHG WKUXVW LV SURSRUWLRQDO
WR WKH GRZQIRUFH LW LV LQFUHDVHG 7KH ODQGLQJ JHDU RQO\ KDV RQH PDLQ ZKHHO LQ WKH FHQWHU RI
WKH IXVHODJH DKHDG RI WKH CG WKH WDLO WXEHV ERRPV KDYH VNLGV IRU GXULQJ WKH WDNHRII UXQ WKH
DLUFUDIW LV FRQWUROODEOH DQG HDV\ WR WDNHRII ZLWK WKLV FRQILJXUDWLRQ 6KRUWO\ LQWR WKH WDNHRII
UXQ WKH WDLO ULVHV DQG WKH DLUFUDIW LV IORZQ ZKLOH VWLOO VXSSRUWHG RQ WKH VLQJOH ZKHHO PDLQ JHDU
E\ WKH JURXQG

7R HQVXUH WKH DLUSODQH LV FRQWUROODEOH XS WR LWV PD[LPXP OHYHO IOLJKW YHORFLW\ WKH ZLQJV
PXVW KDYH D KLJK WRUVLRQDO VWLIIQHVV GXH WR WKH KLJK SLWFKLQJ PRPHQW FDXVHG E\ WKH WDLO DFWLQJ
QHDU WKH ZLQJ WLS UHJLRQ 7KLV LV SDUWLFXODUO\ VHULRXV ZKHQ D UROO HOHYRQ LQSXW LV SHUIRUPHG DW
KLJK DLUVSHHG OHDGLQJ WR DLOHURQ UHYHUVDO DIWHU D FHUWDLQ DLUVSHHG LQ WKH RULJLQDO $&& DLUFUDIW
7R VROYH WKH LVVXH WKH SUHVHQW :77 DLUFUDIW KDV D  FKRUG FDUERQ ILEHU 'ER[ EDOVD ZLQJ ULEV
DQG FRYHULQJ ILOP

,Q WKLV VSHFLILF YHUVLRQ RI WKH :77 FRQILJXUDWLRQ HDFK WDLO VXUIDFH LV PRXQWHG DW  RI WKH
ZLQJVSDQ DW WKH HQG RI D FDUERQ ILEHU WDLO ERRP WXEH ,Q WKH ZLQJ DW WKH WDLO PRXQW SRVLWLRQ
WKHUH LV D ZRRG UHLQIRUFHPHQW DQG D FDUERQ ILEHU WXEH EXLOW LQ WKH 'ER[ EHKLQG WKH ZLQJ
VSDU 7KH ZLQJ ULEV QH[W WR WKH WXEH ZHUH UHLQIRUFHG ZLWK SO\ZRRG VR WKH\ KDG HQRXJK VWUHQJWK
WR DOORZ PRXQWLQJ WKH LQWHUIDFH 7KH LQWHUIDFH EHWZHHQ ERWK FDUERQ ILEHU WXEHV LV GRQH ZLWK
DQ H[WHUQDO Q\ORQ WXEH DQG D FODPS LQ RQH VLGH WKDW LV VFUHZHG WR D ULJLG SRLQW EHWZHHQ WKH
UHLQIRUFHG ZLQJ ULEV VHH )LJXUHV $ $ DQG $ 7KH ZLQJ LV DWWDFKHG WR WKH IXVHODJH WKURXJK
IRXU SRLQWV WZR DW WKH OHDGLQJ HGJH DQG WZR DW WKH ZLQJ VSDU 7KH WDLO LV DOO FRQVWUXFWHG ZLWK
EDOVD DQG FRYHULQJ ILOP

)LJXUH  :LQJWLS WDLO FRQILJXUDWLRQ


 7DEOH  :LQJ 7LS 7DLO FRQILJXUDWLRQ PRGHO DLUSODQH·V PDLQ GLPHQVLRQV

:LQJ 7LS 7DLO &RQILJXUDWLRQ 'LPHQVLRQV >PP@

:LQJ
$LUIRLO 6*
:LQJVSDQ 
)LUVW VHFWLRQ ZLQJVSDQ 
5RRW FKRUG 
7LS VHFWLRQ ZLQJVSDQ 
7LS FKRUG 
7LS GLKHGUDO  GHJ

7DLO
:LQJ WUDLOLQJ HGJH WR WDLO OHDGLQJ HGJH GLVWDQFH 
:LQJVSDQ 
)LUVW VHFWLRQ ZLQJVSDQ 
5RRW FKRUG 
6HFRQG VHFWLRQ ZLQJVSDQ 
0LG FKRUG 
7LS FKRUG 
(OHYDWRU FKRUG 
7DLO GLKHGUDO DQJOH  GHJ
V¯h 
V¯v 

)XVHODJH
1RVH OHQJWK 
7RWDO OHQJWK 
0D[LPXP KHLJKW 
,QWHUQDO ZLGWK 
)XVHODJH ZLGWK 

7DNHRII :HLJKW  1


 %DVHOLQH &RQILJXUDWLRQ

7KH EDVHOLQH FRQILJXUDWLRQ ZKLFK VHUYHV DV D UHIHUHQFH WR DQDO\]H WKH HIIHFWV RI WKH SURSRVHG
FRQILJXUDWLRQ ZDV FDUHIXOO\ GHVLJQHG WR HQVXUH WKDW ERWK DLUFUDIW FRQILJXUDWLRQV DUH VLPLODU LQ
HYHU\WKLQJ H[FHSW IRU WKH WDLO VXFK WKDW DQ\ GLIIHUHQFH LQ WKHLU SHUIRUPDQFH ZLOO EH GXH WR WKH
WDLO GLIIHUHQFHV 7KH HDVLHU DQG EHVW ZD\ WR DFKLHYH WKLV LV WR XVH WKH VDPH ZLQJ DQG IXVHODJH
LQ ERWK FRQILJXUDWLRQV DQG WR FUHDWH WKH QHFHVVDU\ PHFKDQLVPV LQ RUGHU WR FKDQJH EHWZHHQ WKH
WZR VHWV RI WDLOV 7KLV ZD\ WKH WDLOV DUH UHDOO\ WKH RQO\ GLIIHUHQFH EHWZHHQ WKH :77 FRQFHSW
DQG EDVHOLQH FRQILJXUDWLRQ

$W WKLV SRLQW D FRQYHQWLRQDO WDLO ZDV GHVLJQHG DQ LQYHUWHG 7 FRQILJXUDWLRQ )LUVW LW ZDV
FKRVHQ WR GHVLJQ HTXLYDOHQW WDLO VXUIDFHV WR WKRVH RI WKH :77 FRQFHSW FRQILJXUDWLRQ +RZHYHU
DV LQ WKH :77 FRQFHSW FRQILJXUDWLRQ WKH WDLO LV YHU\ FORVH WR WKH ZLQJ WKLV SKLORVRSK\ ZRXOG
OHDG WR D FRQYHQWLRQDO FRQILJXUDWLRQ EXW QRW FRQYHQWLRQDO VXUIDFH GLPHQVLRQV DQG SRVLWLRQV
7KHUHIRUH WKH FRQYHQWLRQDO WDLO GHVLJQ SKLORVRSK\ ZDV D FRPSURPLVH EHWZHHQ DQ DGHTXDWH
OHYHO RI VLPLODULW\ EHWZHHQ ERWK WDLOV DQG DW WKH VDPH WLPH WKH FRQYHQWLRQDO FRQILJXUDWLRQ
VKRXOG QRW EH WRR IDU IURP DQ LQGHSHQGHQWO\ GHVLJQHG WDLO 7KH WDLO VXUIDFH DUHD LV FDOFXODWHG
ZLWK WKH KLVWRULF YROXPH FRHIILFLHQWV IRU WKH WDLO >@ (TXDWLRQV  DQG  *LYHQ WKH UHODWLYHO\
ORZ DVSHFW UDWLR ZLQJ WKH KRUL]RQWDO WDLO ZLOO KDYH D ODUJHU VXUIDFH WKDQ WKH YHUWLFDO WDLO WR NHHS
WKH UHVXOWDQW SDUDVLWH GUDJ LQ FRQYHQWLRQDO YDOXHV WKH KRUL]RQWDO VXUIDFH LV SRVLWLRQHG EHKLQG
WKH YHUWLFDO DQG WKH WUDLOLQJ HGJH RI WKH FRQYHQWLRQDO YHUWLFDO WDLO KDV WKH VDPH GLVWDQFH IURP
WKH ZLQJ DV WKH WUDLOLQJ HGJH RI WKH WDLO VXUIDFHV RI WKH :77 FRQILJXUDWLRQ 7KH WDLO YROXPH
FRHIILFLHQWV DQG GLPHQVLRQV UHVXOWDQW IURP WKLV SKLORVRSK\ DUH SUHVHQWHG LQ 7DEOH 

7DEOH  ,QLWLDO WDLO GLPHQVLRQV IRU WKH EDVHOLQH FRQYHQWLRQDO FRQILJXUDWLRQ

&RQILJXUDWLRQ ,QYHUWHG µ7µ

9HUWLFDO WDLO >PP@
V¯v 
6SDQ 
5RRW FKRUG 
7LS FKRUG 

+RUL]RQWDO WDLO >PP@

V¯h 
6SDQ 
5RRW FKRUG 
7LS FKRUG 

Sh l h
V¯h = 
Sc̄

Sv l v
V¯v = 
Sb

,Q (TXDWLRQV  DQG  Sh LV WKH KRUL]RQWDO WDLO VXUIDFH DUHD DQG Sv LV WKH YHUWLFDO WDLO
VXUIDFH DUHD lh DQG lv DUH WKH PRPHQW DUPV GLVWDQFH IURP WDLO VXUIDFH DHURG\QDPLF FHQWHU WR


DLUFUDIW·V &* IRU WKH KRUL]RQWDO DQG YHUWLFDO WDLO VXUIDFHV UHVSHFWLYHO\ S b DQG c̄ DUH WKH ZLQJ·V
DUHD VSDQ DQG PHDQ FKRUG UHVSHFWLYHO\

7KH UHVXOWDQW WDLO RI WKH EDVHOLQH FRQILJXUDWLRQ DV ZHOO DV WKH WDLO IURP WKH :77 FRQILJXUD
WLRQ DUH RYHUODSSHG LQ )LJXUH  DOORZLQJ D GLUHFW FRPSDULVRQ EHWZHHQ WKH WZR GLIIHUHQW WDLO
FRQILJXUDWLRQV

ܵ݅݀݁‫ݓ݁݅ݒ‬ ܶ‫ݓ݁݅ݒ݌݋‬

‫ݓ݁݅ݒ݇ܿܽܤ‬

)LJXUH  7DLO GHVLJQ FRPSDULVRQ ZLWK ERWK FRQILJXUDWLRQV RYHUODSSHG

)XUWKHU FKDQJHV WR WKH WDLO ZHUH QHFHVVDU\ DIWHU WKH ILUVW IOLJKW RI WKH EDVHOLQH FRQILJX
UDWLRQ 7KH DLUFUDIW KDG GXWFK UROO 7R FRUUHFW WKLV HIIHFW WKH YHUWLFDO WDLO VXUIDFH DUHD ZDV
LQFUHDVHG ,W ZDV LQFUHDVHG WZLFH DQG IORZQ HDFK WLPH $IWHU WKH VHFRQG FRUUHFWLRQ WKH DLUFUDIW
ZDV VXFFHVVIXOO\ FRQWUROODEOH %RWK FRQILJXUDWLRQV KDG WKH VDPH YHUWLFDO WDLO YROXPH FRHIILFLHQW
WKH QHHG RI D ODUJHU YHUWLFDO WDLO VXUIDFH LV MXVWLILHG ZLWK WKH ODFN RI LQWHUDFWLRQ IURP WKLV VXUIDFH
ZLWK WKH ZLQJWLS YRUWH[ DV VHHPV WR EH KDSSHQLQJ LQ WKH :77 6R WKH KRUL]RQWDO WDLO WKDW LV
DOVR QRW LQ WKH ZDNH RI WKH WLS YRUWH[ KDG WKH VXUIDFH DUHD VOLJKWO\ LQFUHDVHG WRR 7KH ILQDO WDLO
GLPHQVLRQV DUH SUHVHQW LQ 7DEOH 

7DEOH  )LQDO WDLO GLPHQVLRQV IRU WKH FRQYHQWLRQDO FRQILJXUDWLRQ

&RQILJXUDWLRQ ,QYHUWHG µ7µ

9HUWLFDO WDLO >PP@
V¯v 
6SDQ 
5RRW FKRUG 
7LS FKRUG 

+RUL]RQWDO WDLO >PP@

V¯h 
6SDQ 
5RRW FKRUG 
7LS FKRUG 

7KH EDVHOLQH FRQILJXUDWLRQ WDLO ZDV QRW WKH RQO\ FKDQJH QHHGHG DIWHU WKH ILUVW IOLJKWV :LWK
LWV WDLO FRQILJXUDWLRQ ZLWK D VLQJOH WDLO ERRP LQ WKH FHQWHU RI WKH DLUSODQH WKH PRQRZKHHO
ODQGLQJ JHDU LV QR ORQJHU VWDEOH HQRXJK WR SHUIRUP WKH WDNHRII UXQ 6LQFH WKH WDNHRII GLVWDQFH
LV VKRUW < 60m  DQG WD[L FDSDELOLWLHV DUH QRW QHHGHG WKH VROXWLRQ ZDV WR DGG WZR ZKHHOV EH
KLQG WKH CG WR DGG ODWHUDO VWDELOLW\ 7KH\ DUH HDVLO\ UHPRYDEOH DQG DOORZ D VXFFHVVIXO WDNHRII


$XWRPDWLFDOO\ ZLWK WZR H[WUD ZKHHOV WKH SDUDVLWH GUDJ LV LQFUHDVHG %XW EHLQJ WKH REMHFWLYH
WR FRPSDUH ERWK FRQILJXUDWLRQV WKLV FDQ EH VHHQ DV D GLVDGYDQWDJH RI WKLV FRQYHQWLRQDO FRQILJ
XUDWLRQ ,Q WKLV FRQILJXUDWLRQ WKH CG SRVLWLRQ KDG WR EH FKDQJHG WRR WR DFKLHYH D FRPIRUWDEOH
DLUFUDIW KDQGOLQJ DQG FRQWURO 7KH CG KDG WR EH FKDQJHG WR DQ DIW SRVLWLRQ RI DERXW  RI
WKH 0$& 7KH ODVW FKDQJH WKDW ZDV GRQH FRQFHUQLQJ WKH SLORWLQJ RI WKH EDVHOLQH FRQILJXUDWLRQ
DLUFUDIW ZDV WKH DQJOH RI WKH PRWRU WKUXVW OLQH $ QHJDWLYH DQJOH KDG WR EH DGGHG VR LW ZDV
SRVVLEOH WR HDVLO\ FOLPE WKH DLUFUDIW RQO\ DSSO\LQJ WKURWWOH ZLWKRXW ORRVLQJ WRR PXFK DLUVSHHG
DQG HQG XS ZLWK D VWDOO IROORZHG E\ DQ DEUXSW DOWLWXGH ORVV

7KH ILQDO EDVHOLQH FRQILJXUDWLRQ LV VKRZQ LQ )LJXUH 

)LJXUH  &RQYHQWLRQDO FRQILJXUDWLRQ

 )OLJKW 7HVWLQJ 0HWKRGRORJ\

7KH IOLJKW WHVWLQJ PHWKRGRORJ\ LV EDVHG LQ WKH NLQHWLF DQG SRWHQWLDO HQHUJ\ RI WKH DLUFUDIW )RU D
FORVHG V\VWHP WKH WRWDO HQHUJ\ UHPDLQV FRQVWDQW VR ZKHQ JOLGLQJ WKH ORVV LQ SRWHQWLDO HQHUJ\
VKRXOG EH FRPSHQVDWHG ZLWK DQ LQFUHDVH LQ WKH NLQHWLF HQHUJ\ ,Q UHDOLW\ QRW DOO WKH SRWHQWLDO
HQHUJ\ LV WUDQVIRUPHG LQ WR NLQHWLF HQHUJ\ DV WKHUH LV HQHUJ\ GLVVLSDWHG IURP WKH GUDJ RI WKH
DLUSODQH $V SUHVHQWHG LQ WKH 6HFWLRQ  WKH HIIHFWV RI HQYLURQPHQW LQ WKH DLUSODQH VKRXOG EH
]HUR KRZHYHU LW LV LPSRVVLEOH WR HQVXUH WKDW VR WKH\ VKRXOG EH PLQLPL]HG :LQG DQG WKHUPDO
DFWLYLW\ UHSUHVHQW DQ H[WHUQDO HQHUJ\ VRXUFH DQG ZRXOG DIIHFW WKH UHVXOWV RI WKH WHVWV 7KH H[DFW
PHWKRGRORJ\ XVHG WKDW LV GHVFULEHG LQ WKH SUHVHQW VHFWLRQ LV RQO\ SRVVLEOH IRU DLUFUDIW WKDW FDQ
WXUQ WKH PRWRUHQJLQH RII GXULQJ IOLJKW DQG WKHQ WXUQ LW RQ DJDLQ 1RW RQO\ LW KDV WR EH WXUQHG
RII EXW LW PXVW EUDNH LWVHOI DV ZHOO DV WKH SURSHOOHU FDQ QRW EH URWDWLQJ 7KLV LV WKH FDVH RI
EUXVKOHVV HOHFWULF PRWRUV VR IRU HOHFWULFDO 8$9V RI DQ\ VL]H WKLV PHWKRGRORJ\ FDQ EH DSSOLHG


$QRWKHU DGYDQWDJH RI WKLV W\SH RI DLUFUDIW IRU WKH PHWKRGRORJ\ LV WKDW HOHFWULFDO DLUSODQHV GR
QRW FKDQJH LWV ZHLJKW GXULQJ WKH IOLJKW ZLWK WKH IXHO FRQVXPSWLRQ

,I WKH VHFRQG 1HZWRQ ODZ F = m dV dt  LV DSSOLHG WR WKH IUHH ERG\ GLDJUDP RI )LJXUH  LQ
WKH GLUHFWLRQ RI WKH UHODWLYH ZLQG WKH UHVXOW LV (TXDWLRQ 

)LJXUH  )UHH ERG\ GLDJUDP GXULQJ IOLJKW IRU GUDJ DQG WKUXVW FDOFXODWLRQ

dV
T − D − W sin(γ) = m 
dt

5HSODFLQJ m = W
g 

W dV
T −D = + W sin(γ) 
g dt

T −D 1 dV
= + sin(γ) 
W g dt

0XOWLSO\LQJ ERWK VLGHV RI (TXDWLRQ  E\ WKH YHORFLW\ (TXDWLRQ  LV REWDLQHG

(T − D)V V dV
= + V sin(γ) 
W gdt

V sin(γ) LV WKH YHUWLFDO YHORFLW\ ZKLFK LV WKH WLPH YDULDWLRQ RI DOWLWXGH dt 

dh
5HSUHVHQWLQJ WKH
GHULYDWLYHV RI WKH DOWLWXGH DQG YHORFLW\ ZLWK ḣ DQG V̇  UHVSHFWLYHO\ VROYLQJ (TXDWLRQ  IRU WKH
GUDJ D DQG FRQVLGHULQJ D JOLGH IOLJKW ZLWK D VWRSSHG SURSHOOHU DQG FRQVHTXHQWO\ ]HUR WKUXVW
T = 0 WKH UHVXOW LV (TXDWLRQ 

ḣW V̇ W
D=− − 
V g


 (TXDWLRQ  LV WKH ILUVW HTXDWLRQ RI WKLV PHWKRGRORJ\ ZLWK LW LW LV SRVVLEOH WR FDOFXODWH WKH
LQVWDQW GUDJ RI WKH DLUSODQH GXULQJ D JOLGH E\ PHDVXULQJ WKH DOWLWXGH DQG YHORFLW\ YDULDWLRQ WKH
YHORFLW\ DQG NQRZLQJ WKH ZHLJKW RI WKH DLUFUDIW

1RZ ZLWK WKH IUHH ERG\ GLDJUDP LQ )LJXUH  DSSO\LQJ WKH VHFRQG 1HZWRQ ODZ WR WKH
YHUWLFDO GLUHFWLRQ LW LV SRVVLEOH WR REWDLQ D FRUUHFWLRQ IRU WKH FDOFXODWLRQ RI OLIW 'XULQJ D JOLGH
WKH DLUSODQH LV QRW SURGXFLQJ HQRXJK OLIW WR NHHS WKH DLUFUDIW LQ D VWHDG\ OHYHO IOLJKW VR WKH
OLIW FRHIILFLHQW VKRXOG EH FDOFXODWHG ZLWK WKLV FRUUHFWLRQ LQVWHDG RI FRQVLGHULQJ WKH OLIW HTXDO WR
WKH DLUFUDIW ZHLJKW )URP (TXDWLRQ  (TXDWLRQ  FDQ EH REWDLQHG FRQVLGHULQJ WKDW IRU VPDOO
JOLGH DQJOHV Dsin(γ) = 0 ,Q (TXDWLRQ  WKH DFFHOHUDWLRQ LV YHUWLFDO VR LW LV WKH GHULYDWLYH RI
WKH YHUWLFDO VSHHG 7KH YHUWLFDO VSHHG ZDV DOUHDG\ SUHVHQWHG DV WKH DOWLWXGH GHULYDWLYH VR WKH
YHUWLFDO DFFHOHUDWLRQ LV WKH VHFRQG DOWLWXGH GHULYDWLYH UHSUHVHQWHG DV ḧ

)LJXUH  )UHH ERG\ GLDJUDP GXULQJ IOLJKW IRU WKH OLIW FRUUHFWLRQ FDOFXODWLRQ

dVv
Lcos(γ) − W + Dsin(γ) = m 
dt

ḧm + W
L= 
cos(γ)

,Q (TXDWLRQ  WKH JOLGLQJ DQJOH γ FDQ EH FDOFXODWHG ZLWK (TXDWLRQ 

 
ḣ
γ = arctg 
V

:LWK (TXDWLRQV    DQG  LW LV SRVVLEOH WR FDOFXODWH WKH GUDJ DQG OLIW FRHIIL
FLHQWV RI WKH DLUSODQH DQG HVWLPDWH WKH GUDJ SRODU WKURXJK VHYHUDO JOLGH IOLJKWV ZLWKRXW PRWRU
DW GLIIHUHQW DLUVSHHGV

2L
CL = 
ρV 2 S


 2D
CD = 
ρV 2 S

5HPHPEHULQJ WKDW (TXDWLRQ  ZDV REWDLQHG FRQVLGHULQJ WKDW WKH WKUXVW LQ (TXDWLRQ 
ZDV ]HUR DIWHU HVWLPDWLQJ WKH GUDJ SRODU RI WKH DLUSODQH WKH GUDJ IRU DQ\ YHORFLW\ LV NQRZQ
,Q (TXDWLRQ  WKH RQO\ XQNQRZQ YDULDEOH LV WKH WKUXVW 6R LI (TXDWLRQ  LV VROYHG IRU WKUXVW
T  (TXDWLRQ  LV REWDLQHG DQG IRU D IOLJKW ZLWK D ORDG IDFWRU QHDU RQH DQG D NQRZQ WKURWWOH
SRVLWLRQ LW LV SRVVLEOH WR FDOFXODWH WKH DYDLODEOH WKUXVW UHSHDWLQJ WKLV SURFHGXUH DW VHYHUDO
DLUVSHHGV WKH WKUXVW FXUYH RI WKH SURSXOVLYH V\VWHP FDQ EH HVWLPDWHG

ḣW V̇ W
T = + +D 
V g

:LWK WKH HVWLPDWLRQ RI WKH WKUXVW FXUYH DV D IXQFWLRQ RI WKH YHORFLW\ WKH DYDLODEOH SRZHU
Pa  FDQ EH FDOFXODWHG GLUHFWO\ ZLWK (TXDWLRQ  7R IXUWKHU HVWLPDWH WKH FKDUDFWHULVWLFV RI WKH
SURSXOVLYH V\VWHP KDYLQJ WKH DYDLODEOH SRZHU E\ PHDVXULQJ WKH HOHFWULFDO SRZHU Pe FRQVXPS
WLRQ IURP WKH EDWWHU\ WKH JOREDO HIILFLHQF\ RI WKH SURSXOVLYH V\VWHP ηp  FDQ EH GHWHUPLQHG
ZLWK (TXDWLRQ  7KH HOHFWULFDO SRZHU Pe LV FDOFXODWHG ZLWK WKH YROWDJH Ubat DQG WKH FXUUHQW
GUDLQ IURP WKH EDWWHU\ Ibat  (TXDWLRQ 

Pa = V T a 

Pa
ηp = 
Pe

Pe = Ubat Ibat 

7KLV IOLJKW WHVWLQJ PHWKRGRORJ\ KDV VHYHUDO DGYDQWDJHV LQ FRPSDULVRQ ZLWK WKH RWKHUV WKDW
DUH EHLQJ XVHG ZLWK 8$9V

,Q FRPSDULVRQ ZLWK WKH PHWKRGRORJ\ XVHG LQ WKH ZRUN RI 2VWOHU >@ DQG WKH VLPLODU RQH LQ
WKH ZRUN RI -LQ >@ WKLV PHWKRGRORJ\ WRJHWKHU ZLWK WKH GHYHORSHG GDWD DFTXLVLWLRQ V\VWHP
H[FOXGHV WKH QHFHVVLW\ RI D PRUH H[SHQVLYH DXWRSLORW V\VWHP WR GR WKH GDWD DFTXLVLWLRQ DQG
SLORWLQJ $Q DXWRSLORW LV XVXDOO\ KDUGHU WR LPSOHPHQW DV LW LV QHFHVVDU\ WR UHDG LWV GRFXPHQWDWLRQ
DQG WKH GDWD DFTXLUHG LV QRW UHDG\ WR EH DQDO\]HG DQG PDQLSXODWHG 7KH GDWD DFTXLVLWLRQ V\VWHP
GHYHORSHG GRHV QRW QHHG DQ\ VSHFLDO DWWHQWLRQ IURP WKH XVHU LW RQO\ UHFRUGV WKH XVHIXO GDWD
IRU WKLV PHWKRGRORJ\ DQG WKH RXWSXW ILOH LV UHDG\ WR EH DQDO\]HG DQG PDQLSXODWHG )URP WKH
SLORWLQJ SRLQW RI YLHZ LQVWDOO DQG WXQH DQ DXWRSLORW WR WHVW DQ DLUFUDIW LV QRW DQ HDV\ WDVN LW LV
YHU\ WLPH FRQVXPLQJ DQG WKH SLORW VWLOO PXVW EH DEOH WR SLORW WKH DLUFUDIW PDQXDOO\ $OWKRXJK WKLV
PHWKRGRORJ\ QHHGV WKH DLUFUDIW WR EH PDQXDOO\ FRQWUROOHG LW LV HDVLHU WKDQ WKH XVXDO G\QDPLF


PHWKRGRORJLHV ZKHUH WKH SLORW PXVW SHUIRUP VHYHUDO PDQHXYHUV VR WKDW SHUIRUPDQFH FDQ EH
HVWLPDWHG (VSHFLDOO\ ZLWK VPDOO 8$9V WKHVH PDQHXYHUV DUH QRW HDV\ WR SHUIRUP DV IO\LQJ OLQH
RI VLJKW LV D OLPLWDWLRQ ,Q WKLV PHWKRGRORJ\ LW LV RQO\ QHHGHG WR SHUIRUP VHYHUDO JOLGHV IROORZHG
E\ D FOLPE )RU HOHFWULF 8$9V WKLV LV UHODWLYHO\ HDV\ DV WKH PRWRU FDQ EH WXUQHG RQ DQG RII DQG
GXULQJ WKH VDPH IOLJKW SHUIRUP VHYHUDO JOLGHV DQG FOLPEV

([SHULPHQWDO ZRUNV LQ DQ\ ILHOG RI VWXG\ DUH D VSHFLDO DFWLYLW\ WKDW XVXDOO\ QHHG PRUH
UHVRXUFHV WLPH IDFLOLWLHV PDQSRZHU KDYH FRPSOH[ SURFHGXUHV DQG WKLV GHWDLOV FRQVHTXHQWO\
LQFUHDVH WKH DVVRFLDWHG FRVWV &RQWLQXLQJ FRPSDULQJ WKH PHWKRGRORJ\ RI WKLV WKHVLV ZLWK WKH
PHWKRGRORJ\ RI 2VWOHU DQG -LQ LQ WKHLU ZRUN WKH SURSXOVLYH V\VWHP DQG DLUFUDIW DUH WHVWHG
VHSDUDWHO\ DQG WKHLU FKDUDFWHUL]DWLRQ DUH ERWK PDQGDWRU\ 7KH GUDJ SRODU RI WKH DLUFUDIW LV GH
WHUPLQHG ZLWK IOLJKW WHVWV WRJHWKHU ZLWK WKH WKUXVW FXUYH WKDW ZDV REWDLQHG ZLWK ZLQG WXQQHO
WHVWV :LWK WKLV PHWKRG RQO\ WKH DLUFUDIW LV QHHGHG DQG WKH GUDJ SRODU FDQ EH HVWLPDWHG ZLWKRXW
WKH WKUXVW FXUYH 1RW RQO\ WKLV LV DQ DGYDQWDJH DV WKH GUDJ RI WKH DLUSODQH FDQ EH HVWLPDWHG
ZLWKRXW ZLQG WXQQHO WHVWV DV WKH FRQYHQWLRQDO ZLQG WXQQHO WHVWV IRU WKH SURSXOVLYH FKDUDFWHUL
]DWLRQ FDQ EH FKDQJHG IRU IOLJKW WHVWV 7KLV LV FOHDUO\ DQ DGYDQWDJH IRU XQLYHUVLWLHV RU FRPSDQLHV
WKDW GR QRW KDYH D ZLQG WXQQHO

,Q WKLV PHWKRGRORJ\ OLNH WKH RWKHUV WKDW DUH EHLQJ XVHG IRU VPDOO 8$9V WKDW DUH UHPRWHO\
SLORWHG DW OLQH RI VLJKW WKH OLQH RI VLJKW LV D GLVDGYDQWDJH (VSHFLDOO\ ZLWK WKLV QRQFRQYHQWLRQDO
WDLO FRQILJXUDWLRQ WKH DLUFUDIW EHFRPHV YHU\ VOLP DW WKH GLVWDQFH DQG LW VWDUWV WR EH XQFRP
IRUWDEOH WR IO\ (VSHFLDOO\ DW KLJKHU VSHHGV DV WKH DLUSODQH FDQ QRW EH SLORWHG DW KLJK GLVWDQFHV
KRUL]RQWDOO\ RU YHUWLFDOO\  WKH WLPH GXUDWLRQ RI WKH JOLGHV LV QRW ORQJ HQRXJK WR REWDLQ DV PXFK
GDWD DV LW ZRXOG EH GHVLUHG

$QRWKHU GLVDGYDQWDJH LI WKLV PHWKRG LV XVHG ZLWK WKH LQWHQWLRQ WR FRPSDUH ZLWK QXPHULFDO
VLPXODWLRQV LV WKH GUDJ RI WKH SURSHOOHU GXULQJ WKH JOLGHV WKH PRWRU LV EUDNHG DQG WKH SURSHOOHU
LV VWRSSHG FDXVLQJ GUDJ ,Q WKH VFRSH RI WKLV ZRUN WKLV LV QRW D OLPLWDWLRQ DV ERWK FRQILJXUDWLRQV
ZLOO KDYH WKH VDPH SURSHOOHU VWRSSHG WKLV H[WUD GUDJ ZLOO EH WKH VDPH IRU ERWK 2QFH DJDLQ
LQ WKH RWKHU PHWKRGRORJLHV WKLV LV D SUREOHP WRR HVSHFLDOO\ IRU VWHDG\ OHYHO IOLJKW ZKHUH WKHUH
LV DOVR WKH VOLSVWUHDP HIIHFW WKDW ZLOO LQFUHDVH WKH GUDJ RI WKH DLUSODQH 7KLV OLPLWDWLRQ RI WKH
SUHVHQWHG PHWKRGRORJ\ FDQ EH UHGXFHG LI D IROGLQJ SURSHOOHU LV XVHG WKH GUDJ RI WKLV W\SH RI
SURSHOOHU LV DOPRVW ]HUR

 $OWHUQDWLYH 0HWKRGRORJLHV

7KHUH DUH RWKHU IOLJKW WHVWLQJ PHWKRGRORJLHV EDVHG LQ JOLGH IOLJKWV :KLOH WKLV PHWKRGRORJ\
HVWLPDWHV GLUHFWO\ WKH GUDJ SRODU RI WKH DLUFUDIW WKH RWKHU PHWKRGRORJLHV ILUVW HVWLPDWH WKH
JOLGH UDWLR DW VHYHUDO VSHHGV DQG WKHQ FDOFXODWH WKH GUDJ SRODU

*HRPHWULFDO JOLGH UDWLR

6LQFH WKH DLUFUDIW LV HTXLSSHG ZLWK D *36 UHFHLYHU LW LV SRVVLEOH WR GHWHUPLQH WKH JHRPHWULFDO
JOLGH UDWLR ZLWK WKH KRUL]RQWDO DQG YHUWLFDO GLVWDQFH 7KH WUDYHOHG GLVWDQFH LV QRW D GLUHFW RXWSXW
RI WKH *36 VR LW LV GHWHUPLQHG E\ WKH VXP RI WKH LQVWDQWDQHRXV JURXQGVSHHG VGN D PXOWLSOLHG E\
WKH WLPH EHWZHHQ PHDVXUHPHQWV 7KH YHUWLFDO GLVWDQFH LV WKH GLIIHUHQFH EHWZHHQ WKH DOWLWXGH
DW WKH EHJLQQLQJ DQG DW WKH HQG RI WKH JOLGH 7KH LQVWDQWDQHRXV OLIW FRHIILFLHQW LV DOVR FDOFXODWHG
ZLWK (TXDWLRQ  EHLQJ WKH JOLGH UDWLR L/D WKH KRUL]RQWDO GLVWDQFH GLYLGHG E\ WKH YHUWLFDO LW
LV FDOFXODWHG ZLWK (TXDWLRQ  DQG IRU HDFK JOLGH WKH L/D IRU WKH DYHUDJH CL LV REWDLQHG


 2W
CL = 
ρV 2 S

n
VGN Di (ti+1 − ti )
L/D = i=1

h1 − hn

*OLGH DQJOH

$V WKH JOLGH UDWLR FDQ EH FDOFXODWHG ZLWK WKH KRUL]RQWDO DQG YHUWLFDO GLVWDQFHV LW LV DOVR
SRVVLEOH WR FDOFXODWH ZLWK WKH JOLGH DQJOH (TXDWLRQ  ,Q WKLV HTXDWLRQ LI WKH JOLGH DQJOH LV
UHSODFHG ZLWK (TXDWLRQ  VROYLQJ IRU WKH JOLGH UDWLR LW FDQ EH FDOFXODWHG ZLWK (TXDWLRQ 
,Q (TXDWLRQ  V LV WKH DLUVSHHG DQG DV DOUHDG\ SUHVHQWHG ḣ LV WKH YHUWLFDO YHORFLW\ ,Q WKLV
PHWKRG WKH LQVWDQWDQHRXV JOLGH UDWLR LV FDOFXODWHG DQG IRU HDFK IOLJKW IRU WKH DYHUDJH CL RI
WKDW JOLGH WKH JOLGH UDWLR LV WKH DYHUDJH RI WKH LQVWDQWDQHRXV JOLGH UDWLRV

1
tg(γ) = − 
L/D

V
L/D = 
ḣ

2QH RI WKH SULQFLSDO GLVDGYDQWDJHV RI WKLV DOWHUQDWLYH PHWKRGRORJ\ LV WKH QXPEHU RI RXWOLHU
SRLQWV LI IRU DQ LQVWDQW WKH DLUFUDIW KDYH D SRVLWLYH RU FORVH WR ]HUR YHUWLFDO VSHHG DV RQO\ WKH
YHUWLFDO VSHHG FRXQWV LW ZLOO UHVXOW LQ D QHJDWLYH RU H[WUHPHO\ KLJK JOLGH UDWLR YDOXH WKDW FDXVHV
WKH JOLGH UDWLR DYHUDJH RI WKDW JOLGH WR FKDQJH FRPSOHWHO\

6XPPLQJ XS WKH SULQFLSDO HTXDWLRQV WR LPSOHPHQW WKH SURSRVHG PHWKRGRORJ\ DUH WKH GUDJ
HTXDWLRQ WKH FRUUHFWHG OLIW HTXDWLRQ DQG WKH WKUXVW HTXDWLRQ (TXDWLRQV   DQG 
UHVSHFWLYHO\ $IWHU WKH DQDO\VLV RI WKHVH HTXDWLRQV LW LV SRVVLEOH WR XQGHUVWDQG WKDW IRU WKH GUDJ
SRODU DQG WKUXVW FXUYH HVWLPDWLRQ ZLWK WKLV PHWKRGRORJ\ ZKDW SDUDPHWHUV KDYH WR PDNH SDUW RI
WKH QHFHVVDU\ GDWD DQG PXVW EH REWDLQHG E\ WKH GDWD DFTXLVLWLRQ HTXLSPHQW ,Q 6HFWLRQ 
WKH SURFHGXUH WR REWDLQ WKHVH GDWD GXULQJ IOLJKW ZLOO EH GLVFXVVHG DQG LQ 6HFWLRQ  KRZ WKH
GDWD DFTXLVLWLRQ E\ WKH V\VWHP LV PDGH ZLOO EH GLVFXVVHG

 )OLJKW 3URFHGXUH

7KLV VHFWLRQ SUHVHQWV WKH DGRSWHG SURFHGXUHV FRQFHUQLQJ WKH IOLJKW WHVWV KRZHYHU SLORWLQJ DQ
8$9 LV QRW DQ H[DFW VFLHQFH DQG IRU VRPH SDUDPHWHUV GLIIHUHQW DSSURDFKHV FRXOG EH XVHG WR UHDFK
WKH VDPH REMHFWLYHV 7KH IOLJKW WHVW FDPSDLJQ FDQ EH GLYLGHG LQ VHYHUDO SDUWV WKH ZHDWKHU WKH
VHWXS WKH ILUVW IOLJKW WKH JOLGH DQG WKH FOLPE

$V SUHVHQWHG LQ WKH IXQGDPHQWDO WKHRU\ 6HFWLRQ  WKH PHWHRURORJLFDO FRQGLWLRQV DQG
WKH HQYLURQPHQW VKRXOG PDNH WKH PLQLPXP LQWHUIHUHQFH SRVVLEOH LQ WKH IOLJKW RI WKH DLUFUDIW


$OWKRXJK WKH HQHUJ\ PHWKRG VKRXOG EH DEOH WR EH XVHG ZLWK VRPH ZLQG VSHHG DQG WHVWLQJ WKLV
LV DQ REMHFWLYH WRR DOO IOLJKW WHVWV ZHUH GRQH LQ GD\V ZLWKRXW RU XQQRWLFHDEOH ZLQG VSHHG 7R
PLQLPL]H WKH SRVVLEOH LQIOXHQFH RI ULVLQJ DLU FXUUHQWV WKDW LV WKHUPDO DFWLYLW\ WKH WHVWV ZHUH
SUHIHUDEO\ GRQH HDUO\ LQ WKH PRUQLQJ DW WKH GDZQ DW WKLV WLPH XVXDOO\ WKH ZLQG DOVR KDV LWV
PLQLPXP YHORFLW\ DQG PRVW RI WKH WLPHV LW LV HYHQ VWLOO

$V VWDWHG E\ RWKHU DXWKRUV >@ DQG DV HYHU\ DFWLYLW\ LQ WKH DHURQDXWLFDO ILHOG DOO DS
SURDFKHV VKRXOG EH PHWKRGRORJLFDO LI RQH UHOLHV LQ KLV PHPRU\ LW ZLOO HYHQWXDOO\ IDLO DQG FDXVH
SUREOHPV RU DQ DFFLGHQW 7KH VHWXS DQG WKH IOLJKW WHVW PXVW EH WKRXJKW RI EHIRUH DV WKH WLPH
LV OLPLWHG $ GHOD\ LQ WKH VHWXS RI WKH WHVW GXH WR D ODFN RI SUHSDUDWLRQ ZLOO GHOD\ WKH IOLJKW DQG
LQFUHDVH WKH SUREDELOLW\ RI ZLQG DQG WKHUPDO DFWLYLW\ WR VWDUW WKDW FDQ PDNH WKH IOLJKW LQDSSUR
SULDWH WR REWDLQ GDWD 7KH VHWXS WLPH VKRXOG LQIOXHQFH WKH SURMHFW RI WKH DLUFUDIW VR HYHU\WKLQJ
FDQ EH DVVHPEOHG DQG SUHSDUHG DW WKH ILHOG ZLWK WKH PLQLPXP WLPH SRVVLEOH 7R HQVXUH WKDW WKH
VHWXS LV GRQH WKH IDVWHVW SRVVLEOH DQG WKDW QRWKLQJ LV OHIW EHKLQG D IOLJKW WHVW FKHFNOLVW VKRXOG
EH SUHSDUHG ZLWK DOO WKH QHFHVVDU\ VWHSV LQ RUGHU )RU DOPRVW DQ\ DLUFUDIW WKH IOLJKW WLPH LV
OLPLWHG IRU 8$9V XVXDOO\ WKH IOLJKW WLPH LV H[WUHPHO\ OLPLWHG VR LW LV LPSRUWDQW WR SODQ WKH IOLJKW
,W LV HDVLHU WR IROORZ WKH SODQ DQG REWDLQ PRUH XVHIXO GDWD LI WKH SLORW NQRZV WKH DLUFUDIW ZHOO
LWV EHKDYLRU DQG FDQ FRPIRUWDEO\ FRQWURO LW )LJXUH  SUHVHQWV WKH PRVW LPSRUWDQW SRLQWV RI
WKH FKHFNOLVW XVHG GXULQJ WKH IOLJKW WHVWLQJ FDPSDLJQ PRVW RI WKH SRLQWV FRYHUHG LQ WKLV OLVW DUH
FRPPRQ WR RWKHU IOLJKW WHVW FDPSDLJQV RI GLIIHUHQW DLUFUDIW

Flight Testing Checklist

Configuration
Date
Mount pitot tube
Screw tail surfaces
RC transmitter is in correct model
Connect total pressure tube
Airspeed sensor is connected
Memory card is inserted
CG balast is in place
GPS is connected
Battery low voltage alarm is connected
Assemble wing
Assemble canopy
Wingtip tail mounting holes are closed
Verify CG
GPS is fix
Remove pitot tube protection
Verify all moving surfaces and motor

)LJXUH  )OLJKW WHVWLQJ FKHFNOLVW

7KH ILUVW IOLJKW LV LPSRUWDQW WR EH GRQH LQ D GD\ ZLWKRXW DQ\ ZLQG DV LW LV QRW D WHVW IOLJKW EXW
D FDOLEUDWLRQ IOLJKW 7KH SLWRW WXEH PXVW EH FDOLEUDWHG VHYHUDO VWHDG\ OHYHO FRQVWDQW DOWLWXGH
DQG ZLWKRXW DFFHOHUDWLRQ SDVVHV DUH GRQH LQ DW OHDVW WZR SHUSHQGLFXODU GLUHFWLRQV DQG LQ ERWK
ZD\V WKLV LV UHSHDWHG IRU WKH PRVW GLIIHUHQW GLUHFWLRQV SRVVLEOH RU HYHQ IO\ LQ ODUJH FLUFXODU
SDWKV :LWK WKLV IOLJKW FRQVLGHULQJ WKDW WKHUH LV QR ZLQG VSHHG WKH DLUVSHHG DQG JURXQGVSHHG
VKRXOG KDYH WKH VDPH YDOXH DQG WKH SLWRW WXEH FDQ EH FDOLEUDWHG ZLWK WKH KHOS RI WKH *36 ,Q
D VHFRQG ILUVW IOLJKW RU DW WKH VDPH IOLJKW WKH DLUSODQH FRQWUROV KDYH WR EH WULPPHG 8VXDOO\
DQ DLUSODQH LV WULPPHG IRU WKH FUXLVH VHWWLQJV KRZHYHU WKH WULP RI DLUSODQH ZKLOH WKH PRWRU
LV UXQQLQJ ZLOO EH DIIHFWHG E\ WKH WRUTXH RI WKH SURSHOOHU DQG GXULQJ WKH JOLGHV DV WKHUH LV QR


WRUTXH WKH DLUSODQH ZRXOG QRW GR D JOLGH ZLWKRXW WXUQLQJ $V WKH JOLGHV DUH WKH PRVW LPSRUWDQW
SDUW RI WKH IOLJKW WKH DLUSODQH LV WULPPHG GXULQJ JOLGHV WR PDNH VXUH WKDW QR LQSXWV DUH QHHGHG
WR PDLQWDLQ D JOLGH WKHVH LQSXWV ZRXOG LQFUHDVH GUDJ ZLWK D ORW RI XQFHUWDLQW\ :LWKRXW WXUQLQJ
DQG FRQWURO LQSXWV WKH DLUFUDIW LV QRW DIIHFWHG E\ WKH LPSUHFLVH FRQWURO LQSXWV

$IWHU WKH ILUVW IOLJKW WKH IOLJKW WHVWLQJ FDPSDLJQ PD\ VWDUW DV ZHOO DV WKH JOLGHV DQG FOLPEV
$V DOUHDG\ H[SODLQHG WKH GUDJ LV HVWLPDWHG WKURXJK WKH JOLGH DQG LW VKRXOG EH DV VWHDG\ DV
SRVVLEOH 7R GR VR WKH FRQWURO LQSXWV VKRXOG EH PLQLPL]HG EHIRUH DIWHU DQG QRQH[LVWHQW GXULQJ
WKH JOLGH 7KH JOLGHV KDYH WR EH SHUIRUPHG DW GLIIHUHQW DLUVSHHGV WKH FRQWURO RI WKH DLUVSHHG LV
PDGH ZLWK WKH HOHYDWRU DV FRQWUROOLQJ LW PDQXDOO\ ZRXOG EH H[WUHPHO\ GLIILFXOW DQG LPSUHFLVH
WKH µWULPµ EXWWRQ DW WKH WUDQVPLWWHU UDGLR FRQWUROOHU LV XVHG WR IO\ DW GLIIHUHQW DLUVSHHGV $IWHU
WKH ILUVW JOLGH DW WKH FUXLVH HOHYDWRU SRVLWLRQ WKH HOHYDWRU LV WULPPHG WR DFKLHYH D GLIIHUHQW
DLUVSHHG DQG WKH JOLGH LV UHSHDWHG WKLV SURFHVV LV UHSHDWHG IRU KLJKHU DLUVSHHGV ZLWK µQRVH
GRZQµ WULP DQG ORZHU DLUVSHHGV ZLWK µQRVH XSµ WULP $W WKH HQG RI WKH JOLGH WKH DOWLWXGH
VKRXOG QRW EH WRR ORZ ILUVW WKH PRWRU LV WXUQHG RQ LI WKH DLUSODQH GRHV QRW VWDUW FOLPELQJ
RQO\ DIWHU LQFUHDVLQJ WKH WKURWWOH WKH HOHYDWRU FDQ EH FRQWUROOHG E\ WKH SLORW WR HQG WKH JOLGH
(VSHFLDOO\ IRU ORZHU DLUVSHHGV DWWHQWLRQ LV QHHGHG DW WKH EHJLQQLQJ RI WKH JOLGH WR VWDUW D JOLGH
WKH RSSRVLWH DW WKH HQG KDV WR EH SHUIRUPHG ILUVW WKH HOHYDWRU VWRSV EHLQJ FRQWUROOHG DQG WKHQ
WKH HQJLQH LV WXUQHG RII %HIRUH WKH EHJLQQLQJ WKH DLUSODQH KDV WR EH FUXLVLQJ DW WKH GHVLUHG
DLUVSHHG IRU WKH QH[W JOLGH LI LW LV IO\LQJ ZLWK WRR PXFK WKURWWOH DQG VSHHG DW D QRQVWHDG\
VWDWH DIWHU WXUQLQJ WKH PRWRU RII WKH DLUSODQH ZLOO RVFLOODWH ORQJLWXGLQDOO\ OHDGLQJ WR DQ LQYDOLG
JOLGH RU HYHQ D VHULHV RI VWDOOV

)RU WKUXVW GHWHUPLQDWLRQ WKH FOLPEV FDQ EH GRQH DW GLIIHUHQW IOLJKWV RU DIWHU HDFK JOLGH
7KH\ VKRXOG EH FDUULHG DW IXOO WKURWWOH WR REWDLQ WKH PD[LPXP WKUXVW FXUYH DQG ZLWK DV OLWWOH
FRQWURO LQSXWV DV SRVVLEOH 'XULQJ WKH FOLPE WKH DLUSODQH FDQ KDYH ORQJLWXGLQDO DFFHOHUDWLRQ EXW
QRW YHUWLFDO VR LI DQ\ FRQWURO LQSXW KDV WR EH JLYHQ WR PDLQWDLQ D FOLPE RU SUHYHQW D VWDOO LW
KDV WR EH GRQH ZLWK VPDOO PRYHPHQWV DW WKH FRQWUROV 'XULQJ WKH IOLJKWV D UXOH RI WKXPE WR
NHHS WKH YHUWLFDO DFFHOHUDWLRQ DV ORZ DV SRVVLEOH LV WR NHHS WKH DQJXODU YHORFLW\ DW D PLQLPXP
RQH VKRXOG QRW VHH WKH DLUSODQH URWDWLQJ DV LQ WDNHRII RU GXULQJ D ORRS ZKHUH D FLUFXODU SDWK LV
GHVFULEHG WKH DLUSODQH VKRXOG DOZD\V IO\ LQ VWUDLJKW OLQHV

 'DWD $FTXLVLWLRQ (TXLSPHQW

$ GDWD DFTXLVLWLRQ HTXLSPHQW ZDV GHYHORSHG WR REWDLQ WKH QHHGHG GDWD GXULQJ WKH IOLJKW 0RUH
WKDQ WKH DELOLW\ WR UHJLVWHU WKH IOLJKW SDUDPHWHUV WKDW DOORZ WKH FRPSXWDWLRQ RI WKH GUDJ DQG OLIW
WR HVWLPDWH WKH GUDJ SRODU RU WKH WKUXVW FXUYH WKHUH DUH WZR FKDUDFWHULVWLFV WKDW DUH H[WUHPHO\
LPSRUWDQW WKH ZHLJKW DQG FRVW $Q HIIRUW WR PLQLPL]H WKHP DQG VWLOO KDYH D UHOLDEOH DQG FDSDEOH
V\VWHP VKRXOG EH GRQH

2EVHUYLQJ VHYHUDO FRPSRQHQWV HTXLSPHQW WKDW DUH RQ WKH PDUNHW DQG WKDW DUH EHLQJ GH
YHORSHG WR GR VLPLODU VWXGLHV LW ZDV FKRVHQ WR XVH D PLFURFRQWUROOHU DV WKH EDVH RI WKH HQWLUH
V\VWHP 7KHUH DUH VHYHUDO PLFURFRQWUROOHUV FRPPHUFLDOO\ DYDLODEOH WKDW ILW WKH FRVW DQG ZHLJKW
UHTXLUHPHQWV ZLWK VDWLVIDFWRU\ SURFHVVLQJ FDSDFLW\ DQG YHU\ LPSRUWDQW WRR D ORW RI VXSSRUW RQ
OLQH ZLWK RSHQVRXUFH FRGH $UGXLQR 0HJD >@ ERDUG ZLWK DQ $7PHJD PLFURFRQWUROOHU
DQG RWKHU IHDWXUHV ZDV FKRVHQ WKDW PDNHV WKH LPSOHPHQWDWLRQ LQ WKLV VWXG\ UHODWLYHO\ HDV\
$UGXLQR ERDUGV DUH WKH PRVW XVHG ZRUOGZLGH ZLWK D ORW RI GRFXPHQWDWLRQ DQG RQOLQH VXSSRUW


LW KDV VHYHUDO VHQVRUV WKDW DUH VSHFLDOO\ GHYHORSHG ZLWK OLEUDULHV RU FRGH ULJKW DYDLODEOH 7KH
UHOHYDQW VSHFLILFDWLRQV IRU WKLV PLFURFRQWUROOHU ERDUG DUH SUHVHQW LQ 7DEOH  DQG LW FDQ EH VHHQ
LQ )LJXUH  $Q HOHFWULFDO VFKHPDWLF RI WKH FRPSOHWH GDWD DFTXLVLWLRQ V\VWHP FDQ EH IRXQG LQ
)LJXUH $

7DEOH  0LFURFRQWUROOHU ERDUG VSHFLILFDWLRQV >@

7HFKQLFDO 6SHFLILFDWLRQ
0RGHO $UGXLQR 0HJD 
0LFURFRQWUROOHU $7PHJD
2SHUDWLQJ 9ROWDJH 9
,QSXW 9ROWDJH  9
'LJLWDO ,2 3LQV 
$QDORJ ,QSXW 3LQV 
)ODVK 0HPRU\  .%
&ORFN 6SHHG  0+]
0DVV  J

)LJXUH  $UGXLQR 0HJD PLFURFRQWUROOHU >@

$IWHU GHVFULELQJ WKH PHWKRGRORJ\ LQ 6HFWLRQ  LW LV SRVVLEOH WR VXPPDUL]H WKH GDWD WKDW
WKH V\VWHP PXVW EH DEOH WR UHFRUG )RU WKH DLUVSHHG FDOFXODWLRQ ZKLFK QHHGV VRPH FRUUHFWLRQV
SUHVHQWHG LQ 6HFWLRQ  IXUWKHU DWPRVSKHULF SDUDPHWHUV KDYH WR EH UHFRUGHG

• 7LPH t

• $OWLWXGH h

• $LUVSHHG V

• *URXQGVSHHG VGN D

• %DWWHU\ YROWDJH Ubat

• &XUUHQW GUDZQ Ibat

• 3UHVVXUH p

• 7HPSHUDWXUH Tk

7LPH DOWLWXGH DQG JURXQGVSHHG DUH UHFRUGHG E\ WKH *36 UHFHLYHU DQ $GDIUXLW *36 >@
)LJXUH  ZLWK D 07. UHFHLYHU LW KDV D OLEUDU\ DYDLODEOH IURP WKH PDQXIDFWXUHU VSHFLDOO\
GHYHORSHG IRU WKLV XQLW WKH SULQFLSDO VSHFLILFDWLRQV DUH GHVFULEHG LQ 7DEOH  7KH GDWH LV
DOVR UHFRUGHG DV WKH VDWHOOLWHV QXPEHU DV ZHOO WR PDNH VXUH WKDW WKH PLQLPXP VDWHOOLWHV IRU D
FRUUHFW SRVLWLRQ DUH DYDLODEOH 7R PDNH WKH V\VWHP IDVWHU WKH FRRUGLQDWHV DUH QRW UHFRUGHG


 7DEOH  *36 UHFHLYHU VSHFLILFDWLRQV >@

7HFKQLFDO 6SHFLILFDWLRQ
0RGHO $GDIUXLW 8OWLPDWH *36 %UHDNRXW
5HFHLYHU 0RGXOH 07.
6HQVLWLYLW\  G%P
8SGDWH 5DWH  +]
&KDQQHOV 1XPEHU 
0D[ 6DWHOOLWH 1XPEHU 
6XSSO\ 9ROWDJH 9
0DVV  J

)LJXUH  $GDIUXLW *36 UHFHLYHU >@

$V WKH SUHVVXUH DQG WHPSHUDWXUH KDYH WR EH UHFRUGHG WRR LW LV SRVVLEOH WR FDOFXODWH WKH
DOWLWXGH SUHVVXUH WKLV UHVXOWV LQ D KLJKHU SUHFLVLRQ DOWLWXGH PHDVXUHPHQW ZKHQ FRPSDUHG ZLWK
WKH RXWSXW IURP WKH *36 7KH GLJLWDO VWDWLF SUHVVXUH VHQVRU LV WKH %03 >@ )LJXUH 
,W DOVR PHDVXUHV WKH WHPSHUDWXUH DQG KDV D OLEUDU\ DYDLODEOH IURP WKH PDQXIDFWXUHU VSHFLDOO\
GHYHORSHG IRU WKLV XQLW WKH SULQFLSDO VSHFLILFDWLRQV DUH GHVFULEHG LQ 7DEOH 

7DEOH  'LJLWDO VWDWLF SUHVVXUH DQG WHPSHUDWXUH VHQVRU VSHFLILFDWLRQV >@

7HFKQLFDO 6SHFLILFDWLRQ
0RGHO %03
6XSSO\ 9ROWDJH  9
,QWHUIDFH ,2 &
3UHVVXUH 5DQJH    K3D
7HPSHUDWXUH 5DQJH    ◦ &
3UHVVXUH (UURU ±  K3D
7HPSHUDWXUH (UURU ±  ◦ &
0DVV J

)LJXUH  7HPSHUDWXUH DQG SUHVVXUH VHQVRU >@

$OWKRXJK WKH DLUVSHHG LV D GLUHFW RXWSXW RI WKH GHYHORSHG V\VWHP LW LV FDOFXODWHG WKURXJK
WKH GLIIHUHQWLDO SUHVVXUH 7KH HTXLSPHQW KDV D 03;9'3 >@ DQDORJ GLIIHUHQWLDO SUHVVXUH
VHQVRU )LJXUH  ,W GRHV QRW KDYH D VSHFLILF OLEUDU\ PRUH LQIRUPDWLRQ FDQ EH IRXQG LQ WKH
GDWDVKHHW >@ DQG WKH SULQFLSDO VSHFLILFDWLRQV DUH GHVFULEHG LQ 7DEOH 


 7DEOH  'LIIHUHQWLDO SUHVVXUH VHQVRU VSHFLILFDWLRQV >@

7HFKQLFDO 6SHFLILFDWLRQ
0RGHO 03;9'3
6XSSO\ 9ROWDJH 9
3UHVVXUH 5DQJH    N3D
(UURU  
0DVV  J

)LJXUH  'LIIHUHQWLDO SUHVVXUH VHQVRU >@

)RU WKH HOHFWULFDO SRZHU GXULQJ IOLJKW LW LV QHFHVVDU\ WR UHFRUG WKH EDWWHU\ YROWDJH DQG
FXUUHQW GUDZQ $ SDUDOOHO YROWDJH GLYLGHU LV FRQQHFWHG WR WKH EDWWHU\ DQG WKH RXWSXW FRQQHFWHG
WR DQ DQDORJ LQSXW RI $UGXLQR WKDW ZLOO FDOFXODWH WKH UHDO EDWWHU\ YROWDJH 5HODWLYHO\ KLJK UHVLVWRUV
KDYH WR EH XVHG WR OLPLW WKH FXUUHQW LQ WKH DQDORJ SRUW RI WKH $UGXLQR DQ\ WZR UHVLVWRUV WKDW
GLYLGH WKH PD[LPXP EDWWHU\ YROWDJH WR D PD[LPXP RI 9 FDQ EH XVHG $ VNHWFK RI WKH YROWDJH
GLYLGHU XVHG LQ WKLV HTXLSPHQW LV SUHVHQW LQ )LJXUH  IXUWKHU VSHFLILFDWLRQV DV WKH UHVLVWRUV
YDOXHV DQG RSHUDWLQJ OLPLWV DUH SUHVHQW LQ 7DEOH  7KH FXUUHQW LV PHDVXUHG ZLWK DQ $&6
 >@ )LJXUH  LW LV DQ DQDORJ VHQVRU ZLWKRXW D VSHFLILF OLEUDU\ DQG LQIRUPDWLRQ LV DYDLODEOH
LQ WKH GDWDVKHHW >@ WKH SULQFLSDO VSHFLILFDWLRQV DUH GHVFULEHG LQ 7DEOH 

7DEOH  9ROWDJH GLYLGHU VSHFLILFDWLRQV

7HFKQLFDO 6SHFLILFDWLRQ
)XQFWLRQ %DWWHU\ 9ROWDJH 6HQVRU
5 YDOXH  NΩ
5 YDOXH  NΩ
0D[LPXP %DWWHU\ 9ROWDJH  9

)LJXUH  9ROWDJH GLYLGHU IRU YROWDJH VHQVLQJ VFKHPDWLF


 7DEOH  +DOO HIIHFW FXUUHQW VHQVRU VSHFLILFDWLRQV >@

7HFKQLFDO 6SHFLILFDWLRQ
0RGHO $&68
0D[ &XUUHQW  $
6HQVLWLYLW\  P9$
6XSSO\ 9ROWDJH 9
0DVV ZLWK ZLUHV  J

)LJXUH  +DOO HIIHFW FXUUHQW VHQVRU >@

$OO GDWD KDYH WR EH UHFRUGHG DQ 6' FDUG ZDV VHOHFWHG $IWHU WKH IOLJKW WKH 6' FDUG LV
UHPRYHG DQG WKH ILOH LV WUDQVIHUUHG WR WKH FRPSXWHU $ 6' FDUG UHDGZULWHU >@ )LJXUH  LV
XVHG 7KLV 6' UHDG ZULWHU ZRUNV RI GLJLWDO OHYHOV ZLWK D YROWDJH RI 9 DV WKH GLJLWDO SLQV RI WKH
$UGXLQR ZRUN DW 9 D OHYHO VKLIWHU >@ LV QHFHVVDU\ )LJXUH  FRQQHFWHG EHWZHHQ $UGXLQR
DQG WKH 6' FDUG UHDGZULWHU GLJLWDO SLQV 7KLV OHYHO VKLIWHU ORZHUV WKH GLJLWDO LQSXW YROWDJH WR
WKH VXSSOLHG YROWDJH WKURXJK LWV GLJLWDO RXWSXW VXSSO\LQJ WKH OHYHO VKLIWHU XVLQJ WKH 9 $UGXLQR
SRZHU RXWSXW WKH GLJLWDO VLJQDOV DUH ORZHUHG IURP 9 WR 9 7KH SULQFLSDO VSHFLILFDWLRQV RI
WKH 6' UHDG ZULWHU DQG WKH OHYHO VKLIWHU DUH GHVFULEHG LQ 7DEOHV  DQG 

7DEOH  6' FDUG UHDG ZULWHU VSHFLILFDWLRQV >@

7HFKQLFDO 6SHFLILFDWLRQ
0RGHO /& 6WXGLR 6' &DUG 5HDG :ULWHU
6XSSO\ 9ROWDJH  9 RU  9
'LJLWDO /HYHOV 9ROWDJH  9
0DVV  J

)LJXUH  6' FDUG UHDG ZULWHU

7DEOH  /HYHO VKLIWHU VSHFLILFDWLRQV >@

7HFKQLFDO 6SHFLILFDWLRQ
0RGHO +&'
0D[ ,QSXW 9ROWDJH  9
,QSXW2XWSXW 1XPEHU 
0DVV J


 )LJXUH  /HYHO VKLIWHU >@

7KH LQWHUQDO VSDFH RI WKH IXVHODJH RI DQ DLUSODQH LV XVXDOO\ OLPLWHG FDUU\LQJ WKLV V\VWHP
PRXQWHG LQ D EUHDG ERDUG LV QRW DQ RSWLRQ FDUU\LQJ LW ZLWK VLQJOH ZLUHV FRQQHFWHG WR WKH VHQ
VRUV DQG WR WKH ERDUG VWLOO QHHG PRUH VSDFH WKDQ QHHGHG DQG ZRXOG FDXVH EDG FRQQHFWLRQV GDWD
UHFRUGLQJ IDLOXUH DQG LW LV QRW SUDFWLFDO $ SULQWHG FLUFXLW ERDUG 3&%  )LJXUH  ZDV GHYHO
RSHG DV D VKLHOG IRU WKH PLFURFRQWUROOHU ERDUG LW KDV FRQQHFWHG RQ LWVHOI WKH VWDWLF SUHVVXUH
VHQVRU WKH OHYHO VKLIWHU WKH 6' FDUG UHDG ZULWHU WKH YROWDJH GLYLGHU DQG VLQJOH SOXJV WR FRQ
QHFW WKH VHQVRUV WKDW FDQ QRW EH DWWDFKHG WR WKH ERDUG *36 GLIIHUHQWLDO SUHVVXUH DQG FXUUHQW
VHQVRU  :LWK WKLV GHYHORSHG VKLHOG WKH V\VWHP EHFRPHV PRUH FRPSDFW HDVLHU WR LQVWDOO LQ WKH
DLUFUDIW DQG PRUH SUDFWLFDO WR LQWHUDFW ZLWK $ ' SULQWHG 3RO\ODFWLF $FLG 3/$ FDVH LV XVHG
WR HQFORVH WKH V\VWHP DQG SURWHFW LW )LJXUH  7KH UHVXOWDQW GDWD DFTXLVLWLRQ HTXLSPHQW
)LJXUH  KDV D WRWDO PDVV RI 250g LW LV LQH[SHQVLYH DQG H[WUHPHO\ YHUVDWLOH LW FDQ EH HDVLO\
PRGLILHG DQG UHGXQGDQF\ FRXOG EH DGGHG ,W LV HDV\ WR LPSOHPHQW LQ DQ\ 8$9 DQG QR FRQILJXUD
WLRQ LV QHHGHG WKH GDWD LV RXWSXWWHG DV D FRPPD VHSDUDWHG YDOXHV &69 ILOH WKDW LV UHDG\ WR EH
DQDO\]HG DQG PDQLSXODWHG IRU WKH GUDJ SRODU HVWLPDWLRQV

7KH V\VWHP DV LW LV KDV D GDWD UDWH RI RQO\ 1Hz WKLV LV GXH WR WKH PLFURFRQWUROOHU XVHG
DQG VSHFLDOO\ WR WKH RSHQ VRXUFH OLEUDULHV 3DUWLFXODUO\ WKH *36 OLEUDU\ LV QRW RSWLPL]HG DQG LV
WRR FRPSOH[ IRU WKH UHTXLUHPHQWV RI WKLV V\VWHP 7KLV UHVXOWV LQ WKH QHHG RI D ERDUG ZLWK PRUH
PHPRU\ FRQVHTXHQWO\ ELJJHU DQG KHDYLHU DV LW LV WKH FDVH RI WKH $UGXLQR 0HJD 7KH GDWD
UDWH FRXOG EH LQFUHDVHG DQG WKH ZHLJKW RI WKH PLFURFRQWUROOHU ERDUG FRXOG EH GHFUHDVHG ZLWK
WKH GHYHORSPHQW RI D QHZ *36 OLEUDU\

)LJXUH  3ULQWHG FLUFXLW ERDUG VKLHOG IRU WKH VHQVRU LQWHJUDWLRQ ZLWK WKH PLFURFRQWUROOHU


 )LJXUH  ' SULQWHG 3/$ FDVH IRU WKH FRPSOHWH V\VWHP

ܵ‫ ݀ݎܽܥ ܦ‬Ƭ
‫ݎ݋ݏ݊݁ܵ ݀݁݁݌ݏݎ݅ܣ‬ Pressure Sensor
‫ݓ ݋݊݅ݑ݀ݎܣ‬Ȁ ݄݈ܵ݅݁݀

ܲ‫ݎ݁ݓ݋‬

‫ܵܲܩ‬

‫ݎ݋ݏ݊݁ܵ ݐ݊݁ݎݎݑܥ‬
ܲ݅‫ܾ݁ݑܶ ݐ݋ݐ‬ ܸ‫ݎ݋ݏ݊݁ܵ ݁݃ܽݐ݈݋‬

)LJXUH  &RPSOHWH GDWD DFTXLVLWLRQ HTXLSPHQW

 'DWD $QDO\VLV

7KH GDWD RXWSXWWHG E\ WKH HTXLSPHQW KDV WR EH DQDO\]HG DQG PDQLSXODWHG VR WKDW WKH PHWKRG
RORJ\ FDQ EH LPSOHPHQWHG WR HVWLPDWH WKH GUDJ SRODU DQG WKUXVW FXUYH $OO SDUDPHWHUV DUH
PHDVXUHG DQG RXWSXWWHG WR D OLQH ZLWK D FRUUHVSRQGLQJ WLPH LQ VWDUW VR HYHU\ VHFRQG D QHZ
VHW RI DOO SDUDPHWHUV LV UHFRUGHG LQ D OLQH RI D ILOH

7KH ILUVW VWHS LV WKH DLUVSHHG FDOLEUDWLRQ DV H[SODLQHG IRU WKH ILUVW IOLJKW WKH JURXQGVSHHG
DQG DLUVSHHG VKRXOG EH WKH VDPH KRZHYHU GXH WR WKH FRQVWUXFWLRQ SRVLWLRQ DQG DOLJQPHQW RI
WKH SLWRW WXEH WKDW PD\ QRW KDSSHQ 7KH JURXQGVSHHG YDOXHV DUH SORWWHG DJDLQVW WKH DLUVSHHG


RQHV WKH WKHRUHWLFDO UHVXOWDQW SORW VKRXOG EH D VHW RI SRLQWV WKDW IRUP D OLQH ZLWK WKH H[SUHVVLRQ
y = x WKH UHDO UHVXOW LV D VFDWWHU SORW D OLQHDU UHJUHVVLRQ LV XVHG LQ WKH OLQHDU HTXDWLRQ y =
mx + b WKDW UHODWHV WKH DLUVSHHG ZLWK WKH JURXQGVSHHG WKLV UHVXOW LV WKH FDOLEUDWHG DLUVSHHG
CAS (TXDWLRQ  ZKHUH WKH FRHIILFLHQWV m DQG b DUH REWDLQHG ZLWK WKH OLQHDU UHJUHVVLRQ DQG
VAIR LV WKH DLUVSHHG

CAS = mVAIR + b 

7KH VHFRQG VWHS LV WR UHJLVWHU WKH SUHVVXUH DQG WHPSHUDWXUH DW WKH ILHOG ,W ZDV FKRVHQ WR
DYHUDJLQJ WKH PHDVXUHV ULJKW EHIRUH WKH WDNHRII

7KH WKLUG VWHS LV WR LGHQWLI\ WKH VHYHUDO JOLGHV GXULQJ WKH HQWLUH IOLJKW 'XH WR WKH SURFHGXUH
XVHG WR GR WKH IOLJKW WHVWV WKH JOLGHV KDSSHQ ZKHQ WKH PRWRU DQG WKH SURSHOOHU DUH VWRSSHG 7R
LGHQWLI\ WKLV VLWXDWLRQ LQ WKH HQWLUH IOLJKW GDWD WKH GHVLUHG GDWD DUH WKH OLQHV ZKHQ WKH FXUUHQW
GUDZ LV ]HUR 7KH GDWD DFTXLVLWLRQ LV GUDZLQJ HQHUJ\ IURP WKH EDWWHU\ DQG WKH PRWRU EUDNH GUDLQV
VRPH HQHUJ\ WRR WKLV FXUUHQW LV ORZ KRZHYHU DW ORZHU FXUUHQWV WKH VHQVRU LV QRW DV SUHFLVH DV
LW LV IRU KLJKHU FXUUHQWV VR LW LV REVHUYHG WKDW ZKHQ WKH PRWRU LV UXQQLQJ WKH PLQLPXP FXUUHQW LV
DERXW 10A DQG WKDW ZKHQ WKH PRWRU LV VWRSSHG WKH PD[LPXP FXUUHQW UHJLVWHUHG E\ WKH VHQVRU
LV DERXW 2A 6R HYHU\ GDWD OLQH WKDW KDV D FXUUHQW GUDZ EHORZ 2A LV D JOLGH LW LV DQDO\]HG DQG
WKHQ WKH GUDJ DQG OLIW FRPSXWHG

7KH IRXUWK VWHS LV WR VWDUW WKH GUDJ DQG OLIW FDOFXODWLRQ LW LV VWDUWHG ZLWK WKH FDOFXODWLRQ RI
WKH WLPH EHWZHHQ HDFK GDWD OLQH dt (TXDWLRQ  7KH LQWHJHU VXEVFULSW i DOZD\V LQGLFDWHV
WKH OLQH QXPEHU LW LV XVHG ZKHQ DQ HTXDWLRQ XVH PXOWLSOH GDWD OLQHV WKDW LV SDUDPHWHUV IURP
GLIIHUHQW WLPH LQVWDQWV  i = 1 FRUUHVSRQGV WR WKH ILUVW OLQH RI WKH JOLGH GDWD i = 0 FRUUHVSRQGV WR
WKH OLQH EHIRUH WKH JOLGH LV LQLWLDWHG WKLV OLQH LV RQO\ XVHG WR FDOFXODWH WKH ILUVW WLPH GLIIHUHQWLDO

⎧
⎨t − t , if (ti − ti−1 ) ≥ 0
i i−1
dti = 
⎩60 − t
i−1 + ti , if (ti − ti−1 ) ≤ 0

7KH ILIWK VWHS LV WKH FDOFXODWLRQ RI UHODWLYH DQG DEVROXWH SUHVVXUH DOWLWXGH (TXDWLRQV 
DQG  UHVSHFWLYHO\

 − λR 
g
Tf p 0
hrel = −1 
λ pf

 − λR 
g
T0 p 0
habs = −1 
λ p0

,Q (TXDWLRQ  Tf LV WKH DYHUDJH RI WKH WHPSHUDWXUH DW WKH ILHOG DQG Pf LV WKH DYHUDJH
RI WKH SUHVVXUH DW WKH ILHOG ,Q (TXDWLRQ  T0 LV UHIHUHQFH WHPSHUDWXUH DW VHD OHYHO IRU WKH
,QWHUQDWLRQDO 6WDQGDUG $WPRVSKHUH ,6$ PRGHO T0 = 288.15K P0 LV WKH UHIHUHQFH SUHVVXUH DW


VHD OHYHO IRU WKH ,6$ PRGHO ZLWK D YDOXH RI P0 = 101325.0P a 7KH FRHIILFLHQW λ LV WKH WHPSHUDWXUH
FKDQJH ZLWK DOWLWXGH λ = 6.5 × 10−3 K/m

7KH VL[WK VWHS LV WR FDOLEUDWH WKH DLUVSHHG UHFRUGHG GXULQJ WKH JOLGH ZLWK WKH DOUHDG\ RE
WDLQHG FDOLEUDWLRQ OLQH $OWKRXJK WKH RXWSXW RI WKH GDWD DFTXLVLWLRQ V\VWHP LV WKH DLUVSHHG WKH
VHQVRU RXWSXWV WKH SUHVVXUH GLIIHUHQWLDO ΔP  WKH DLUVSHHG LV FDOFXODWHG ZLWK WKH (TXDWLRQ 

2 2(ΔP )
VAIR = 
ρ0

7KH VHYHQWK VWHS LV WR DSSO\ D ILOWHU WR WKH DFTXLUHG GDWD $OO H[SHULPHQWDO GDWD KDYH
QRLVH DVVRFLDWHG ZLWK LW $W WKH IOLJKW WHVWV XVXDOO\ WKHUH DUH QRW IDVW FKDQJHV LQ WKH PHDVXUHG
SDUDPHWHUV LI WKLV KDSSHQV SUREDEO\ LW LV QRLVH 6R LW ZDV WHVWHG D ILOWHULQJ PHWKRGRORJ\ WR
UHGXFH WKH QRLVH DQG WKH LQVWDELOLW\ LQ WKH PHDVXUHPHQWV 7KLV ILOWHU LV DSSOLHG WR WKH FDOLEUDWHG
DLUVSHHG DQG WKH UHODWLYH DOWLWXGH (TXDWLRQ  GHVFULEHV WKH ILOWHULQJ PHWKRGRORJ\ XVHG

1 1 1
hf il = hi−1 + hi + hi+1 
4 2 4

7KH HLJKWK VWHS LV WKH DLUVSHHG FRUUHFWLRQ ZLWK WKH DOWLWXGH WR FDOFXODWH WKH WUXH DLU VSHHG
T AS )LUVW LW LV QHFHVVDU\ WR FDOFXODWH WKH DLU GHQVLW\ ZLWK (TXDWLRQ  DIWHU WKDW WKH T AS
LV FDOFXODWHG ZLWK (TXDWLRQ 

p
ρ= 
RT

ρ0
T AS = CAS 
ρ

7KH QLQWK VWHS LV WR FDOFXODWH WKH WKUHH QHHGHG GHULYDWLYHV DOWLWXGH YHUWLFDO YHORFLW\ DQG
WUXH DLU VSHHG WKH WKUHH DUH FDOFXODWHG WKH VDPH ZD\ (TXDWLRQV   DQG 

hi − hi−1
ḣi = 
dt

˙ i= T ASi − T ASi−1
T AS 
dt

˙
ḣi − hi−1
ḧi = 
dt


 7KH WHQWK DQG ODVW VWHS LV WR FDOFXODWH WKH GUDJ DQG OLIW IRU HDFK GDWD OLQH (TXDWLRQV 
DQG  DQG WKH GUDJ DQG OLIW FRHIILFLHQWV (TXDWLRQV  DQG 

%HIRUH REWDLQLQJ WKH GUDJ DQG OLIW SRLQWV WR HVWLPDWH WKH GUDJ SRODU DWWHQWLRQ PXVW EH
SDLG WR WKH DOWLWXGH YDULDWLRQ RI HDFK JOLGH VRPHWLPHV GXH WR WKH SLORWLQJ HVSHFLDOO\ DW WKH
EHJLQQLQJ RI WKH JOLGH WKH DLUSODQH RVFLOODWHV DQG LQVWHDG RI D VWHDG\ JOLGH LW JDLQV DQG ORVHV
DOWLWXGH UHSHDWHGO\ WKLV W\SH RI JOLGHV LV QRW DGHTXDWH WR FRQVLGHU IRU WKH GUDJ SRODU HVWLPDWLRQ

$IWHU REWDLQLQJ WKH H[SHULPHQWDO GUDJ DQG OLIW SRLQWV WKH GDWD KDV WR EH DQDO\]HG DQG
SURFHVVHG LW LV QHFHVVDU\ WR ILW WKH GDWD ZLWK FXUYHV WR HVWLPDWH WKH GUDJ SRODU WKH V\PPHW
ULF SDUDEROLF GUDJ SRODU RU RWKHU DGHTXDWH GUDJ SRODU 7KH GHYLDWLRQ DQG XQFHUWDLQW\ RI WKH
PHDVXUHPHQWV KDYH WR EH FDOFXODWHG WRR

7KH ILUVW VWHS LV WR FRQIURQW WKH H[SHULPHQWDO GDWD ZLWK WKH H[SHFWHG UHVXOWV DQG W\SLFDO
UHVXOWV IRU D VLPLODU V\VWHP LQ WKLV FDVH WKH GUDJ SRODU RI DQ DLUFUDIW 7KH UHOLDELOLW\ RI WKH GDWD
DQG RXWOLHUV DUH GHOLFDWH VXEMHFWV WKH QXPEHU RI SRLQWV DQG WKHLU GLVWULEXWLRQ DOVR LQIOXHQFH
WKHLU UHOLDELOLW\

$V SUHVHQWHG LQ 6HFWLRQ  WR REWDLQ WKH V\PPHWULFDO GUDJ SRODU WKH GUDJ FRHIILFLHQW
LV SORWWHG DJDLQVW WKH VTXDUH RI WKH OLIW FRHIILFLHQW DQG WKH GDWD LV ILWWHG ZLWK D OLQHDU HTXDWLRQ
WR REWDLQ WKH ]HUROLIW GUDJ FRHIILFLHQW CD0 DQG WKH LQGXFHG GUDJ IDFWRU K +RZHYHU WKH V\P
PHWULFDO GUDJ SRODU LV RQO\ DQ DSSUR[LPDWLRQ RI WKH UHDO DLUSODQH GUDJ SRODU ,Q VRPH FDVHV WKLV
DSSUR[LPDWLRQ FDQ OHDG WR D GUDJ SRODU WKDW LV QRW DGHTXDWH WR GHVFULEH WKH UHDO GUDJ SRODU RI
WKH DLUFUDIW

 %LQV 'LYLVLRQ DQG 2XWOLHUV

7R EHWWHU SURFHVV DQG DQDO\]H WKH H[SHULPHQWDO GDWD LW LV GLYLGHG LQ VHYHUDO ELQV WKRVH DUH
VPDOO JURXSV RI VHYHUDO SRLQWV ZKHUH WKH H[SHULPHQWDO FRHIILFLHQWV DUH DYHUDJHG WR VLPSOLI\ WKH
YLVXDOL]DWLRQ DQG GHVFULEH WKH UHVXOWV RI WKH V\VWHP 7KLV GLYLVLRQ LQ ELQV DOORZV WKH FDOFXODWLRQ
RI WKH VWDQGDUG GHYLDWLRQ DQG D FXUYH ILWWLQJ WR REWDLQ WKH GUDJ SRODU )RU HDFK ELQ WKH GLVSHUVLRQ
FDQ EH HYDOXDWHG DQG LW LV SRVVLEOH WR XQGHUVWDQG KRZ WKH GDWD LV GLVWULEXWHG DURXQG WKH PHDQ
7KH QXPEHU RI SRLQWV RI HDFK ELQ FDQ DOVR EH D SDUDPHWHU WR XQGHUVWDQG LI WKH\ DUH UHOLDEOH ,W LV
REVHUYHG WKDW IRU HDFK ELQ WKH GUDJ FRHIILFLHQW SRLQWV DUH FORVH WR D QRUPDO GLVWULEXWLRQ *LYHQ
WKLV GLVWULEXWLRQ DQG REVHUYLQJ )LJXUH  D FULWHULD LV IRUPXODWHG WR H[FOXGH RXWOLHU SRLQWV $OO
WKH GUDJ FRHIILFLHQW RU JOLGH UDWLR SRLQWV ZKRVH YDOXH LV RXWVLGH D  FRQILGHQFH LQWHUYDO
DUH FRQVLGHUHG RXWOLHUV DQG H[FOXGHG IURP WKH GDWD VHW WKLV LV GRQH ZLWK WKH DYHUDJH x̄ DQG
VWDQGDUG GHYLDWLRQ σ RI HDFK ELQ H[FOXGLQJ WKH SRLQWV WKDW KDYH D YDOXH ORZHU WKDQ x̄ − 4σ DQG
KLJKHU WKDQ x̄ + 4σ :LWK WKLV SURFHGXUH WKH DYHUDJH RI HDFK ELQ LV FKDQJHG ZKHQ H[FOXGLQJ
WKH RXWOLHUV WKH VDPH SURFHGXUH LV DSSOLHG WR WKH QHZ GDWD SRLQWV DQG LW LV UHSHDWHG XQWLO WKH
DYHUDJH LV QRW FKDQJHG WKDW LV WKHUH DUH QRW PRUH RXWOLHUV WR H[FOXGH

%HIRUH WKH QH[W SURFHGXUH UHJDUGLQJ WKH GDWD DQDO\VLV WKDW ZRXOG EH D FXUYH ILWWLQJ LW
LV QHFHVVDU\ WR FDUHIXOO\ DQDO\]H WKH GUDJ DQG JOLGH UDWLR UHVXOWV $V DOUHDG\ UHIHUUHG VHYHUDO
WLPHV GXULQJ WKLV ZRUN HVSHFLDOO\ IRU SHUIRUPDQFH IOLJKW WHVWLQJ WKHUH LV QRW PXFK OLWHUDWXUH
DYDLODEOH DQG LQ WKH IHZ DYDLODEOH ZRUNV WKH IROORZLQJ SRLQW LQ 6HFWLRQ  LV QRW GLVFXVVHG


 )LJXUH  3UREDELOLW\ IRU D QRUPDO GLVWULEXWLRQ FXUYH >@

:LWK WKH PHWKRGRORJ\ GHVFULEHG LQ 6HFWLRQ  WKH GUDJ DQG OLIW YDOXHV DV ZHOO DV WKHLU
FRHIILFLHQWV DUH H[SHULPHQWDOO\ REWDLQHG DQG WKH JOLGH UDWLR FDQ DOVR EH REWDLQHG ULJKW DZD\
IRU HDFK OLIW FRHIILFLHQW YDOXH 7KH QH[W VWHS LV WKH ELQV GLYLVLRQ DYHUDJLQJ WKHVH UHVXOWV DQG
H[FOXGH WKH RXWOLHUV WR REWDLQ D PHDQLQJIXO GDWD WR FRPSDUH ERWK FRQILJXUDWLRQV

 (UURQHRXV $SSURDFK

2QH DSSURDFK WR REWDLQ WKH CL /CD WKDW PD\ VHHP UHDVRQDEOH ZRXOG EH WR XVH WKH ELQV DYHU
DJH RI WKH CL DQG CD YDOXHV DQG GLYLGHG WKHP WR REWDLQ WKH JOLGH UDWLR +RZHYHU WKHUH LV D
GLIIHUHQFH EHWZHHQ WKH JOLGH UDWLR WKDW LV REWDLQHG ZLWK WKH DYHUDJH RI WKH JOLGH UDWLR YDOXHV
IRU HDFK H[SHULPHQWDO SRLQW DQG WKH JOLGH UDWLR WKDW LV REWDLQHG ZLWK WKH DYHUDJH RI WKH OLIW
FRHIILFLHQW GLYLGHG E\ WKH DYHUDJH RI WKH GUDJ FRHIILFLHQW 7KH JOLGH UDWLR YDOXHV REWDLQHG IURP
WKH DYHUDJHV RI WKH OLIW DQG GUDJ FRHIILFLHQWV LV DURXQG  ORZHU WKDQ WKH YDOXHV REWDLQHG IURP
WKH JOLGH UDWLR RI HDFK SRLQW 7R XQGHUVWDQG WKLV HIIHFW DQG ZKLFK PHWKRGRORJ\ LV FRUUHFW WR
REWDLQ WKH JOLGH UDWLR YDOXHV WKH IROORZLQJ H[HUFLVH LV PDGH

&RQVLGHULQJ WKH DUELWUDU\ GUDJ DQG OLIW FRHIILFLHQWV UHSUHVHQWHG LQ WKH SORW RI )LJXUH 
HDFK SRLQW KDV D FRUUHVSRQGLQJ JOLGH UDWLR WKH VDPH SRLQWV DQG JOLGH UDWLR YDOXHV DUH LQ 7D
EOH  ,I DOO WKH YDOXHV DUH DYHUDJHG D CL /CD = 6.11 LV REWDLQHG IRU WKH JOLGH UDWLR SRLQWV
DYHUDJH DQG LI WKH CL DYHUDJH LV GLYLGHG E\ WKH CD DYHUDJH D CL /CD = 5 LV REWDLQHG 7KLV
UHVXOW IRU WKLV VLPSOH H[DPSOH LV WKH VDPH UHVXOW REWDLQHG IRU WKH HQWLUH H[SHULPHQWDO SRLQWV 7R
XQGHUVWDQG ZKLFK JOLGH UDWLR LV FRUUHFW WKLV UHVXOW KDV WR EH DQDO\]HG IURP D SHUIRUPDQFH SRLQW
RI YLHZ ,Q )LJXUH  WKH JOLGH SDWK RI DQ DLUFUDIW WKDW GXULQJ D VLQJOH JOLGH H[SHULHQFHG WKUHH
GLIIHUHQW PRPHQWV ZLWK GLIIHUHQW H[SHULPHQWDO JOLGH UDWLR DQG GUDJ YDOXHV LV UHSUHVHQWHG $W
D ILUVW PRPHQW ZLWK D CL = 1 DQG D CD = 0.1 WKH JOLGH UDWLR IRU WKHVH YDOXHV LV CL /CD = 10
DQG DV LW LV RQO\ RQH SRLQW WKH SUREOHP ZLWK WKH DYHUDJHV GRHV QRW RFFXU LQ D VHFRQG PRPHQW
WKH DLUFUDIW IOLHV ZLWK D CL = 1 DQG D CD = 0.2 WKH JOLGH UDWLR IRU WKLV YDOXHV LV CL /CD = 5 LQ
WKH WKLUG PRPHQW WKH DLUFUDIW IOLHV ZLWK D CL = 1 DQG D CD = 0.3 WKH JOLGH UDWLR IRU WKLV YDOXHV
LV CL /CD = 3.33 (DFK PRPHQW ODVWV HQRXJK WLPH IRU WKH DLUFUDIW WR ORVH  PHWHU LQ DOWLWXGH
ZKLFK FRUUHVSRQGV WR D WUDYHOHG GLVWDQFH RI  PHWHUV IRU WKH ILUVW PRPHQW  PHWHUV IRU WKH
VHFRQG  PHWHUV IRU WKH WKLUG PRPHQW DQG  PHWHUV IRU WKH WRWDO GLVWDQFH 7KHVH DUH
WKH UHDO JOLGH UDWLRV DQG GLVWDQFHV IRU WKDW VLQJOH JOLGH 7R UHSUHVHQW WKLV VLQJOH JOLGH LQ RQH
SRLQW WKH UHDO JOLGH UDWLR YDOXH KDV WR EH CL /CD = 6.11 VR WKDW LQ  YHUWLFDO PHWHUV D GLVWDQFH


RI  PHWHUV LV WUDYHOHG 7KLV FRQFOXGHV WKDW WR UHSUHVHQW WKH GDWD ZHOO WKH DYHUDJH RI WKH
JOLGH UDWLR IRU HDFK H[SHULPHQWDO SRLQW VKRXOG EH XVHG 7KHVH DUH WKH YDOXHV WKDW VKRXOG EH
ILWWHG ZLWK DQ DGHTXDWH FXUYH WR UHSUHVHQW WKH GUDJ SRODU RI WKH DLUFUDIW

1.2

0.8

Example bin points

CL

0.6

0.4

0.2

0
0 0.05 0.1 0.15 0.2 0.25 0.3 0.35
CD

)LJXUH  ([DPSOH RI OLIW DQG GUDJ FRHIILFLHQWV SRLQWV LQ RQH ELQ GLYLVRQ

ͳͲ ͷ 3.33
ͳͲ
ͳ
ͷ
ͳ
ͳ
͸Ǥͳͳ ͵Ǥ͵͵
ͳ

ͳ8.33
)LJXUH  *OLGH SDWK H[DPSOH IRU WKH H[DPSOH ELQ SRLQWV

7DEOH  ([DPSOH OLIW DQG GUDJ FRHIILFLHQWV SRLQWV ZLWK WKHLU JOLGH UDWLR YDOXH DQG WKH JOLGH UDWLR IRU
WKH HUURQHRXV DSSURDFK

SRLQWV CL CD CL /CD
   
   
   
DYHUDJH   
averageCL
averageCD



 3HUIRUPDQFH $QDO\VLV

$IWHU HVWLPDWLQJ WKH GUDJ SRODU RI WKH DLUFUDIW LW LV SRVVLEOH WR FDOFXODWH WKH GUDJ RI WKH DLUFUDIW
IRU DQ\ YHORFLW\ DQG DSSO\LQJ (TXDWLRQ  WKH DYDLODEOH WKUXVW IRU HDFK GDWD OLQH FDQ EH
FDOFXODWHG $W WKH VDPH WLPH WKH HOHFWULFDO SRZHU LV DOVR FDOFXODWHG ZLWK WKH (TXDWLRQ 
7KH UHVXOWDQW GDWD SRLQWV DOORZ WKH HVWLPDWLRQ RI WKH WKUXVW FXUYH DV D IXQFWLRQ RI WKH YHORFLW\
.QRZLQJ WKLV FXUYH DQG WKH SUHYLRXV FDOFXODWHG HOHFWULFDO SRZHU LW LV QRZ SRVVLEOH WR FDOFXODWH
WKH DYDLODEOH SRZHU ZLWK (TXDWLRQ  DQG ZLWK (TXDWLRQ  WKH SURSXOVLYH HIILFLHQF\ FDQ
EH FDOFXODWHG WRR 7KH SURSXOVLYH HIILFLHQF\ UHVXOW LV DOVR D VFDWWHU SORW WKDW KDV WR EH ILWWHG
ZLWK D FXUYH WR HVWLPDWH WKH HTXDWLRQ RI WKH SURSXOVLYH HIILFLHQF\ 7KH SURSXOVLYH V\VWHP
EDWWHU\ PRWRU DQG SURSHOOHU DUH WKH VDPH XVHG LQ WKH $&& FRPSHWLWLRQ WKHUH DUH DOUHDG\
VHYHUDO ZLQG WXQQHO WHVWV IRU WKLV SURSXOVLYH V\VWHP E\ RWKHU XQLYHUVLWLHV WKH UHVXOWV REWDLQHG
ZLWK WKLV PHWKRG DUH FRPSDUHG ZLWK WKHVH SUHYLRXV ZLQG WXQQHO WHVWV

$W WKLV SRLQW WKH GUDJ SRODU DQG WKUXVW FXUYHV DUH NQRZQ 7KH SORW SUHVHQW LQ )LJXUH 
FDQ EH REWDLQHG IRU WKLV VSHFLILF DLUFUDIW ERWK FRQILJXUDWLRQV FDQ EH FRPSDUHG DQG DOO WKH
SHUIRUPDQFH SDUDPHWHUV GHVFULEHG LQ 6HFWLRQ  FDQ EH FDOFXODWHG

 (QHUJ\ 0HWKRG DQG 0HWKRGRORJ\ 7HVWV

7KH ILOWHULQJ WHFKQLTXH XVHG ZLWK WKH PHDVXUHG SDUDPHWHUV WKH YHUWLFDO DFFHOHUDWLRQ WR FRUUHFW
WKH OLIW DQG WKH HQHUJ\ PHWKRGRORJ\ WKDW DFFRXQWV IRU WKH FKDQJH LQ WKH DLUVSHHG LQVWHDG RI RQO\
WKH YHUWLFDO VSHHG DV LQ WKH DOWHUQDWLYH PHWKRGV ZHUH DOVR WHVWHG WR XQGHUVWDQG WKHLU LQIOXHQFH
LQ WKH GLVSHUVLRQ RI WKH UHVXOWV 2QH RI WKH IOLJKWV ZDV DQDO\]HG LQ ILYH GLIIHUHQW ZD\V RQH ZD\
ZLWK WKH DOUHDG\ GHVFULEHG PHWKRGRORJ\ WKDW LV FDOOHG µHQHUJ\ PHWKRGµ ,Q WKH VHFRQG ZD\
WKH ILOWHU DSSOLHG ZLWK WKH (TXDWLRQ  LV QRW XVHG WKLV LV FDOOHG µZLWKRXW ILOWHULQJµ ,Q WKH
WKLUG ZD\ LQVWHDG RI FDOFXODWLQJ WKH OLIW ZLWK (TXDWLRQ  WKH ZHLJKW RI WKH DLUFUDIW LV GLUHFWO\
XVHG WKLV LV FDOOHG µZLWKRXW CL FRUUHFWLRQµ ,Q WKH IRXUWK ZD\ WKH FDOFXODWHG GUDJ LV GRQH LQ WKH
FRQYHQWLRQDO ZD\ ZLWKRXW FRQVLGHULQJ WKH FKDQJHV LQ DLUVSHHG WKDW LV FRQVLGHULQJ D FRQVWDQW
DLUVSHHG ZLWK (TXDWLRQ  WKLV LV FDOOHG µFRQVWDQW VSHHG DVVXPSWLRQµ ,Q WKH ODVW ZD\ DOO
WKH FRUUHFWLRQV ZHUH QRW XVHG WKH DLUFUDIW ZHLJKW LV XVHG GLUHFWO\ WR FDOFXODWH WKH CL  WKH ILOWHU
LV QRW XVHG DQG WKH VLPSOLILHG (TXDWLRQ  LV DOVR XVHG WKLV LV PHWKRGRORJ\ LV FDOOHG µZLWKRXW
FRUUHFWLRQµ 7KH PHWKRGRORJ\ XVHG WR DQDO\]H WKH LQIOXHQFH RI WKLV FKDQJH LQ WKH UHVXOWV ZDV
WKH VDPH IRU HYHU\ DOWHUQDWLYH PHWKRG 7KH DOWHUQDWLYH PHWKRGRORJ\ LV SORWWHG WRJHWKHU ZLWK
WKH HQHUJ\ PHWKRG WR YLVXDOO\ HYDOXDWH WKH UHVXOWV LQ WKH GUDJ SRODU 7KHQ WKH GDWD SRLQWV DUH
GLYLGHG LQ ELQV RI  SRLQWV WKH GUDJ DQG OLIW FRHIILFLHQWV DUH DYHUDJHG DQG WKH VWDQGDUG GHYLDWLRQ
IRU WKH GUDJ FRHIILFLHQW RI HDFK ELQ LV FDOFXODWHG -XVW ZLWK WKH VWDQGDUG GHYLDWLRQ YDOXHV LW LV
SRVVLEOH WR DQDO\]H WKH LQIOXHQFH RI WKHVH FRUUHFWLRQV +RZHYHU WKH VWDQGDUG GHYLDWLRQ FKDQJHV
IRU HDFK ELQ LQFUHDVLQJ DQG GHFUHDVLQJ FRQVHFXWLYHO\ VR WKH VWDQGDUG GHYLDWLRQ SRLQWV DUH
ILWWHG ZLWK D SRO\QRPLDO UHJUHVVLRQ DV D IXQFWLRQ RI WKH OLIW FRHIILFLHQW 7KH DYHUDJHG GUDJ
FRHIILFLHQW LV DGGHG DQG VXEWUDFWHG E\ WKH UHVXOW RI WKH SRO\QRPLDO UHJUHVVLRQ WR REWDLQ UDQJHV
RI WKH GLVSHUVLRQ 7KHVH VXSHULRU DQG LQIHULRU GLVSHUVLRQ OLPLWV DUH SORWWHG WRJHWKHU ZLWK WKH
GDWD SRLQWV WR XQGHUVWDQG KRZ WKH UHVXOWV DUH DIIHFWHG ZLWK WKH VHYHUDO PHWKRGRORJLHV XVHG

ḣW
D=− 
V


 8QFHUWDLQW\ $QDO\VLV

7KH XQFHUWDLQW\ RI HDFK PHDVXUHPHQW HTXLSPHQW XVHG LV NQRZQ KRZHYHU WKHLU LQIOXHQFH LQ
WKH ILQDO UHVXOW KDV WR EH FDOFXODWHG &RQVLGHULQJ WKDW WKH GHVLUHG UHVXOW R LV D IXQFWLRQ RI
UDZ SULPDU\ PHDVXUHPHQWV a b c  WKDW DUH PDWKHPDWLFDOO\ LQGHSHQGHQW ZLWK D NQRZQ
XQFHUWDLQW\ >@ (TXDWLRQ  WKH XQFHUWDLQW\ LQ R WKDW UHVXOWV IURP WKH XQFHUWDLQWLHV LQ a
b c  FDQ EH FDOFXODWHG ZLWK (TXDWLRQ  7KH ILQDO XQFHUWDLQW\ LV FDOFXODWHG ZLWK WKH
VHYHUDO FKDQJHV LQ WKH UHVXOW LQGXFHG E\ D FKDQJH LQ WKH SULPDU\ PHDVXUHPHQWV GXH WR WKHLU
XQFHUWDLQW\

R = f (a, b, c...) 

 2  2  2
∂R ∂R ∂R
δ(R) = δ(a) + δ(b) + δ(c) + ... 
∂a ∂b ∂c



&KDSWHU 

5HVXOWV DQG 'LVFXVVLRQ

 )OLJKW 7HVWLQJ &DPSDLJQ 2YHUYLHZ

'XULQJ WKH IOLJKW WHVWLQJ FDPSDLJQ D WRWDO RI  IOLJKWV ZHUH FRQGXFWHG ZLWK  YDOLG IOLJKWV IRU
WKH :77 FRQILJXUDWLRQ DQG  YDOLG IOLJKWV IRU WKH FRQYHQWLRQDO FRQILJXUDWLRQ XVXDOO\ WKH IOLJKW
WHVWV VWDUWHG DURXQG $0 DQG HQGHG D OLWWOH EHIRUH $0 $ OLWWOH RYHU  KRXUV RI IOLJKW
WLPH ZHUH DFFXPXODWHG ZLWK DQ DYHUDJH RI  PLQXWHV SHU IOLJKW DQG D PD[LPXP IOLJKW WLPH
RI  PLQXWHV WKDW KDSSHQHG WZLFH IRU WKH :77 FRQILJXUDWLRQ %HWZHHQ ERWK FRQILJXUDWLRQV
 JOLGHV ZHUH PDGH ZLWK  YDOLG RQHV )RU WKH FOLPE DQDO\VLV  YDOLG FOLPEV ZHUH UHDOL]HG

 )OLJKW +DQGOLQJ RI &RQILJXUDWLRQV

7KH KDQGOLQJ FKDUDFWHULVWLFV RI ERWK FRQILJXUDWLRQV DUH LPSRUWDQW WR EH HYDOXDWHG &UHDWLQJ D

QHZ FRQFHSW DLUFUDIW PLJKW ZRUN LQ WKHRU\ EXW KDQGOLQJ SUREOHPV PD\ DSSHDU

,W ZDV DOUHDG\ GHVFULEHG LQ &KDSWHU  WKDW WR IO\ WKH FRQYHQWLRQDO FRQILJXUDWLRQ FRPIRUWDEO\
VRPH FKDQJHV KDG WR EH PDGH WR WKLV FRQILJXUDWLRQ 7R VROYH WKH GXWFK UROO SUREOHP WKH YHUWLFDO
WDLO VXUIDFH KDG WR EH LQFUHDVHG $OWKRXJK WKH SUREOHP ZDV VROYHG DQG WKH DLUFUDIW FRXOG EH
IORZQ ZLWK UHODWLYH HDVH LW ZDV QRW DV SUHFLVH DV WKH :77 FRQILJXUDWLRQ GXULQJ WXUQV $ ELJ
FKDQJH EHWZHHQ ERWK FRQILJXUDWLRQV LV WKH CG SRVLWLRQ WKH :77 FRQILJXUDWLRQ ZDV HDVLO\ IORZQ
DQG µWULPPHGµ IRU WKH JOLGH WHVWV ZLWK WKH CG DW  RI WKH 0$& EXW IRU WKH FRQYHQWLRQDO
FRQILJXUDWLRQ WKH CG KDG WR EH FKDQJHG WR  RI WKH 0$& LQ RUGHU WR KDYH WKH SRVVLELOLW\ WR
µWULPµ WKH DLUFUDIW IRU WKH JOLGH WHVWV ,W ZDV QRW WKH RQO\ FDXVH EXW FKDQJLQJ WKH CG SRVLWLRQ
PDGH WKH FOLPE WHVWV PRUH GLIILFXOW 7KH DLUFUDIW ZRXOG WHQG WR URWDWH GHFUHDVH WKH DLUVSHHG
DQG HQG LQ D VWDOO )URP WKH SLORWLQJ SRLQW RI YLHZ FRQWUROOLQJ WKH DLUFUDIW LQ WKLV VLWXDWLRQ LV
H[WUHPHO\ XQFRPIRUWDEOH UHTXLULQJ PRUH DWWHQWLRQ DQG LQFUHDVLQJ WKH ZRUN ORDG IRU WKH SLORW
$OWKRXJK ERWK FRQILJXUDWLRQV UHTXLUHG DWWHQWLRQ WR WKH DLUVSHHG EHIRUH LQLWLDWLQJ WKH JOLGH WR
SUHYHQW WKH DLUFUDIW IURP RVFLOODWLQJ DQG JDLQLQJ DQG ORVLQJ DOWLWXGH UHSHDWHGO\ WKH FRQYHQWLRQDO
FRQILJXUDWLRQ UHTXLUHG PRUH DWWHQWLRQ DQG ZDV KDUGHU WR LQLWLDWH D JRRG JOLGH HVSHFLDOO\ DW ORZHU
DLUVSHHGV

2Q WKH RWKHU KDQG WKH :77 FRQILJXUDWLRQ ZDV HDVLO\ IORZQ GXULQJ WKH VHYHUDO WHVWV WKH
SUHYLRXV SUREOHP ZLWK WKH FRQWURO UHYHUVDO GLG QRW RFFXU ZLWK WKLV ZLQJ VWUXFWXUH DQG WKH DLU
SODQH ZDV DOPRVW µVHOI SLORWHGµ GHFUHDVLQJ WKH ZRUN ORDG GXULQJ WKH IOLJKW WHVWV 1RW RQO\ WKLV
FRQILJXUDWLRQ LV RYHUDOO HDVLHU WR IO\ EXW HVSHFLDOO\ DW ORZHU DLUVSHHGV 8QOLNH WKH FRQYHQWLRQDO
FRQILJXUDWLRQ WKDW XVXDOO\ HQGHG XQLQWHQWLRQDOO\ VWDOOLQJ VHYHUDO WLPHV GXULQJ D VLQJOH IOLJKW WKH
:77 ZRXOG QRW VWDOO XQLQWHQWLRQDOO\ DQG WKH VWDOOV ZHUH JHQWOH DQG FRQWUROODEOH $OWKRXJK WKLV
HIIHFW ZDV QRWLFHG ODWHU LQ WKH IOLJKW WHVW FDPSDLJQ DQG LW ZDV QRW IXUWKHU LQYHVWLJDWHG DIWHU
UHYLHZLQJ VRPH IOLJKWV LW ZDV QRWLFHG WKDW PD\EH HYHQ DIWHU WKH VWDOO WKH WDLO VXUIDFHV VWLOO
SURYLGHG FRQWURO WR WKH DLUFUDIW ZKLFK ZRXOG UHVXOW LQ D FRQWUROODEOH GHHS VWDOO


 8QFHUWDLQW\ $QDO\VLV

'LVSHUVLRQ LQ WKH UHVXOWV RI DQ H[SHULPHQWDO WHVW LV LQHYLWDEOH DQG LQ WKLV SDUWLFXODU VWXG\ WKH
GLVSHUVLRQ LV FRQVLGHUDEO\ ODUJH $Q XQFHUWDLQW\ DQDO\VLV PXVW EH FRQGXFWHG LW PDNHV SRVVLEOH WR
XQGHUVWDQG KRZ WKH GLIIHUHQW FRPSRQHQWV RI WKH V\VWHPV DIIHFW WKH ILQDO UHVXOW DQG WR FDOFXODWH
WKH XQFHUWDLQW\ YDOXH RI WKH ILQDO UHVXOW )ROORZLQJ WKH PHWKRGRORJ\ GHVFULEHG LQ 6HFWLRQ 
7DEOH  VXPPDUL]HV WKH XQFHUWDLQW\ DQDO\VLV DQG 7DEOH  KDV WKH XQFHUWDLQW\ UHVXOWV IRU WKH
ILQDO YDOXHV DQG WKH XQFHUWDLQW\ WKDW HDFK PHDVXUDEOH SDUDPHWHU LQGXFHV LQ WKH ILQDO UHVXOW
7KH H[SHULPHQWDO GUDJ YDOXHV KDYH DQ XQFHUWDLQW\ RI  DQG WKH H[SHULPHQWDO GUDJ FRHIIL
FLHQW YDOXHV KDYH DQ XQFHUWDLQW\ RI DOPRVW  )URP 7DEOH  LW LV REVHUYHG WKDW WKH PDLQ
XQFHUWDLQW\ FRPHV IURP WKH SHUWXUEDWLRQ LQ WKH SULPDU\ YDULDEOH d ZKLFK LV WKH DLUVSHHG PHD
VXUHPHQW 7KH XQFHUWDLQW\ RI WKH DLUVSHHG VHQVRU XVHG IRU WKH WRWDO XQFHUWDLQW\ FDOFXODWLRQ
LV WKH RQH SUHVHQW LQ WKH GDWDVKHHW RI WKH VHQVRU >@  +RZHYHU DV UHIHUUHG LQ >@ LW
LV H[SHFWHG WR KDYH OHVV XQFHUWDLQW\ DW KLJKHU DLUVSHHGV WKLV FDQ EH FRQILUPHG ZLWK WKH ORZHU
GLVSHUVLRQ RI WKH UHVXOWV IRU ORZHU CL YDOXHV DQG KLJKHU GLVSHUVLRQ IRU ORZHU DLUVSHHGV WKDW LV
KLJKHU CL YDOXHV  7KLV LV RQH RI WKH OLPLWDWLRQV RI WKH FXUUHQW ZRUN EXW WKHUH LV D SRWHQWLDO
WR UHGXFH WKH XQFHUWDLQW\ E\ FKDQJLQJ WR D EHWWHU GLJLWDO GLIIHUHQWLDO SUHVVXUH VHQVRU >@ ZLWK
DQ HUURU RI OHVV WKDQ 

7DEOH  8QFHUWDLQW\ DQDO\VLV VXPPDU\

3ULPDU\ PHDVXUHPHQWV 3ULPDU\ 4XDQWLW\ 3ULPDU\ 3HUWXUEDWLRQ 3HUWXUEDWHG

YDULDEOH XQFHUWDLQW\ YDOXH
7LPH *36 >V@ D  ( DGDEFGHIJKL 
7HPSHUDWXUH >.@ E   DEGEFGHIJKL 
3UHVVXUH L >3D@ F   DEFGFGHIJKL 
'LIIHUHQWLDO 3UHVVXUH L >3D@ G   DEFGGGHIJKL 
0DVV >NJ@ H  ( DEFGHGHIJKL 
3UHVVXUH#ILHOG >3D@ I   DEFGHIGIJKL 
7HPSHUDWXUH#)LHOG >.@ J   DEFGHIJGJKL 
'LIIHUHQWLDO 3UHVVXUH L >3D@ K   DEFGHIJKGKL 
3UHVVXUH L >3D@ L   DEFGHIJKLGL 

7DEOH  8QFHUWDLQW\ DQDO\VLV UHVXOWV

' >1@ &'

)LQDO 5HVXOW  
8QFHUWDLQW\  
8QFHUWDLQW\   
3ULPDU\ XQFHUWDLQW\ 
DGDEFGHIJKL ( (
DEGEFGHIJKL  
DEFGFGHIJKL  
DEFGGGHIJKL  
DEFGHGHIJKL  
DEFGHIGIJKL ( (
DEFGHIJGJKL  
DEFGHIJKGKL  
DEFGHIJKLGL  


  $LUVSHHG DQG 3LWRW 7XEH &DOLEUDWLRQ

$LUVSHHG XQGRXEWHGO\ LV DQ LPSRUWDQW YDULDEOH DQG LWV UHDGLQJ VKRXOG EH DV DFFXUDWH DV SRVVLEOH
7KH UHVXOW RI WKH FDOLEUDWLRQ RI WKH GLIIHUHQWLDO SUHVVXUH VHQVRU DQG SLWRW WXEH ZLWK WKH KHOS RI
D *36 UHFHLYHU LV SUHVHQW LQ )LJXUH  )URP WKH VFDWWHU SORW LQ )LJXUH  RU IURP WKH UHVXOWDQW
FDOLEUDWLRQ OLQH LW LV SRVVLEOH WR VHH WKDW WKH LQGLFDWHG DLUVSHHG LV YHU\ FORVH WR WKH JURXQGVSHHG
RXWSXW IURP WKH *36 UHFHLYHU 7KH REWDLQHG FDOLEUDWLRQ OLQH LV DSSOLHG WR WKH LQGLFDWHG DLUVSHHG
YDOXHV RI WKLV DQG WKH IROORZLQJ IOLJKWV WR REWDLQ WKH FDOLEUDWHG DLUVSHHG &$6 

35
Calibration
Linear (Calibration)
30
y = 0.9942x - 0.1793
25 R² = 0.9449
Groundspeed [m/s]

20

15

10

0
0 5 10 15 20 25 30 35
Airspeed [m/s]

)LJXUH  $LUVSHHG FDOLEUDWLRQ OLQH

 )OLJKW 7HVWLQJ 5HVXOWV  *OLGHV

7KH IOLJKW WHVWLQJ UHVXOWV IRU ERWK WKH :77 DQG FRQYHQWLRQDO EDVHOLQH FRQILJXUDWLRQV ZLWK WKH
PHWKRGRORJ\ GHVFULEHG IRU WKH GUDJ SRODU GHWHUPLQDWLRQ LV LQ WKH VFDWWHU SORW RI )LJXUH 
WKH W\SLFDO GLVSHUVLRQ RI DQ H[SHULPHQWDO WHVW LV ZHOO SUHVHQW DQG LW LQFUHDVHV ZLWK WKH OLIW
FRHIILFLHQW 2EVHUYLQJ WKH SORW WKH GUDJ FRHIILFLHQW IRU ERWK FRQILJXUDWLRQV LV URXJKO\ LQ WKH
VDPH UHJLRQV ,W LV LPSRUWDQW WR QRWLFH WKDW WRZDUGV WKH HQG RI WKH OLIW FRHIILFLHQW UDQJH WKHUH
DUH MXVW D IHZ SRLQWV DQG ZLWK KLJKHU GLVSHUVLRQ IRU WKH FRQYHQWLRQDO FRQILJXUDWLRQ WKHUH LV D
JURXS RI SRLQWV ZLWK D ORZHU CD WKDQ IRU WKH SUHYLRXV CL YDOXHV IRU WKH :77 FRQILJXUDWLRQ
WKHUH LD D JURXS RI SRLQWV ZLWK DQ H[WUHPHO\ KLJK CD YDOXH ZKHQ FRPSDUHG ZLWK WKH YDOXHV IRU
WKH SUHYLRXV CL  7KHVH YDOXHV DW WKH HQG RI WKH CL UDQJH ZLWK KLJK GLVSHUVLRQ ORZ QXPEHU RI
SRLQWV DQG ZLWK YDOXHV WKDW GR QRW IROORZ ZKDW ZRXOG EH H[SHFWHG IRU WKH GUDJ RI DQ DLUSODQH
DUH UHPRYHG IURP WKH GDWD 7KH IDFW WKDW WKH\ DUH MXVW D IHZ DQG LQ D UHJLRQ ZKHUH LW LV GLIILFXOW
WR IO\ QHDU WKH VWDOO VSHHG ZLOO QRW DIIHFW WKH UHVXOWV QHLWKHU WKH FRQFOXVLRQV RI WKLV ZRUN


 0.6

0.5
WTT Conventional
0.4
CD

0.3

0.2

0.1

0.0
0 0.2 0.4 0.6 0.8 1 1.2 1.4 1.6 1.8 2
CL

)LJXUH  3ORW RI WKH H[SHULPHQWDO CD DQG CL IRU ERWK FRQILJXUDWLRQV

240

220
WTT Conventional
200

180

160

140
CL/CD

120

100

80

60

40

20

0
0 0.2 0.4 0.6 0.8 1 1.2 1.4 1.6 1.8 2
CL

)LJXUH  3ORW RI WKH H[SHULPHQWDO JOLGH UDWLR YDOXHV DJDLQVW WKH OLIW FRHIILFLHQW IRU ERWK FRQILJXUDWLRQV

%RWK FRQILJXUDWLRQV FDQ EH EHWWHU FRPSDUHG WKURXJK WKH JOLGH UDWLR SORW IRU HDFK SRLQW
WKH OLIW FRHIILFLHQW LV GLYLGHG E\ WKH GUDJ FRHIILFLHQW WR REWDLQ WKH JOLGH UDWLR 6RPH RI WKH ORZHU
CD YDOXHV UHVXOW LQ H[WUHPHO\ KLJK JOLGH UDWLR YDOXHV WKLV UHVXOW LV SUHVHQW LQ )LJXUH  7KHVH
KLJK JOLGH UDWLR YDOXHV DIIHFW WKH YLVXDOL]DWLRQ RI WKH UHVXOWV

,Q )LJXUH  H[DFWO\ WKH VDPH YDOXHV DUH SORWWHG KRZHYHU WKH YHUWLFDO D[LV PD[LPXP
YDOXH LV OLPLWHG WR  7R IXUWKHU HQKDQFH WKH JUDSKLFDO UHSUHVHQWDWLRQ RI WKH UHVXOWV WKLV OLPLW
LV KDOYHG DQG WDNLQJ DGYDQWDJH RI WKH PDUNHU VW\OH XVHG IRU WKH FRQYHQWLRQDO FRQILJXUDWLRQ LQ
)LJXUH  WKDW DOORZV WR YLVXDOL]H WKH SRLQWV GHQVLW\ E\ WKH GDUNHU DUHDV 7KH JOLGH UDWLR IRU
ERWK FRQILJXUDWLRQV LV SORWWHG VHSDUDWHO\ ,Q )LJXUH  WKH JOLGH UDWLR IRU WKH :77 FRQILJXUDWLRQ
LV SORWWHG DQG LQ )LJXUH  WKH JOLGH UDWLR IRU WKH FRQYHQWLRQDO FRQILJXUDWLRQ LV SORWWHG


 60

WTT Conventional
50

40

CL/CD
30

20

10

0
0 0.2 0.4 0.6 0.8 1 1.2 1.4 1.6 1.8 2
CL

)LJXUH  3ORW RI WKH H[SHULPHQWDO JOLGH UDWLR YDOXHV OLPLWHG WR D PD[LPXP YDOXH RI  DJDLQVW WKH OLIW
FRHIILFLHQW IRU ERWK FRQILJXUDWLRQV

30
WTT

25

20
CL/CD

15

10

0
0 0.2 0.4 0.6 0.8 1 1.2 1.4 1.6 1.8
CL

)LJXUH  3ORW RI WKH H[SHULPHQWDO JOLGH UDWLR YDOXHV OLPLWHG WR D PD[LPXP YDOXH RI  DJDLQVW WKH OLIW
FRHIILFLHQW IRU WKH :77 FRQILJXUDWLRQ

30

Conventional
25

20
CL/CD

15

10

0
0 0.2 0.4 0.6 0.8 1 1.2 1.4 1.6 1.8 2
CL

)LJXUH  3ORW RI WKH H[SHULPHQWDO JOLGH UDWLR YDOXHV OLPLWHG WR D PD[LPXP YDOXH RI  DJDLQVW WKH OLIW
FRHIILFLHQW IRU WKH FRQYHQWLRQDO FRQILJXUDWLRQ


 7KH JOLGH UDWLR YDOXHV DUH LPSRUWDQW WR FRPSDUH ERWK FRQILJXUDWLRQV DQG WKLV PHWKRGRORJ\
ZLWK RWKHUV 7KHVH JOLGH UDWLR YDOXHV KDYH D JRRG FRUUHODWLRQ EHFDXVH IRU HDFK CD SRLQW LW LV
XVHG WKH UHVSHFWLYH CL YDOXH WKLV GRHV QRW KDSSHQ LI WKH ELQV DUH DSSOLHG WR WKH GUDJ FRHIILFLHQW
YDOXHV DQG WKH CD DYHUDJH LV XVHG ZLWK WKH CL DYHUDJH IRU WKDW ELQ WR REWDLQ WKH JOLGH UDWLR
YDOXHV WKLV HIIHFW LV IXUWKHU H[SODLQHG LQ 6HFWLRQ  7KLV ZD\ WKH PHWKRGRORJ\ GHVFULEHG
LQ 6HFWLRQ  WR H[FOXGH WKH RXWOLHU SRLQWV LV DSSOLHG WR WKH JOLGH UDWLR YDOXHV GDWD DQG WKH
UHVXOWV IRU HDFK FRQILJXUDWLRQ DUH SUHVHQW LQ )LJXUHV  DQG  IRU WKH :77 DQG FRQYHQWLRQDO
FRQILJXUDWLRQ UHVSHFWLYHO\ ZKHUH WKH H[FOXGHG SRLQWV FDQ EH VHHQ 7KH HIIHFW RQ WKH JOLGH
UDWLR DYHUDJH IRU HDFK ELQ DIWHU WKH LWHUDWLRQ RI WKLV PHWKRGRORJ\ LV SUHVHQW LQ )LJXUH  IRU
WKH :77 FRQILJXUDWLRQ DQG LQ )LJXUH  IRU WKH FRQYHQWLRQDO FRQILJXUDWLRQ )RU ERWK SORWV
LQ )LJXUHV  DQG  DOWKRXJK WKH H[WUHPHO\ KLJK YDOXHV DUH QRW VKRZQ REYLRXVO\ WKH\ DUH
FRQVLGHUHG RXWOLHUV )RU WKH :77 FRQILJXUDWLRQ WKH QXPEHU RI RXWOLHU SRLQWV LV KLJKHU WKDQ IRU
WKH FRQYHQWLRQDO FRQILJXUDWLRQ DQG WKH\ RFFXUUHG IRU D ZLGH UDQJH RI CL  )RU WKH FRQYHQWLRQDO
FRQILJXUDWLRQ WKH QXPEHU RI RXWOLHU SRLQWV LV ORZHU DQG WKH\ PRVWO\ RFFXU DW KLJKHU CL YDOXHV
)URP WKH SORWV RI WKH ELQV DYHUDJH )LJXUH  IRU WKH :77 FRQILJXUDWLRQ WKH QXPEHU RI RXWOLHU
SRLQWV DFURVV D ZLGH UDQJH RI CL YDOXHV LV ZHOO HYLGHQW DV WKH UHVXOWDQW DYHUDJH DIWHU H[FOXGLQJ
WKHVH RXWOLHU SRLQWV ZDV ORZHUHG DOPRVW IRU HYHU\ CL YDOXH WKH ELJJHVW FKDQJH ZDV LQ WKH
UHJLRQ ZKHUH WKHUH ZHUH IRXU RXWOLHU SRLQWV ZLWK D JOLGH UDWLR YDOXH DERYH  7KHVH YDOXHV
ZRXOG FDXVH D VSLNH LQ WKH JOLGH UDWLR DYHUDJH WKDW ZLWK WKLV RXWOLHUV PHWKRGRORJ\ GLVDSSHDUHG
)RU WKH FRQYHQWLRQDO FRQILJXUDWLRQ )LJXUH  WKH DYHUDJH LV ORZHUHG PRVWO\ IRU CL YDOXHV
EHWZHHQ  DQG  7KH ILQDO SORW DIWHU H[FOXGLQJ WKH RXWOLHUV IRU ERWK FRQILJXUDWLRQV WKDW
DOORZV WKH FRPSDULVRQ EHWZHHQ ERWK FRQILJXUDWLRQV LV SUHVHQW LQ )LJXUH  5HPRYLQJ WKH
RXWOLHUV SRLQWV UHVXOWHG LQ D PD[LPXP JOLGH UDWLR YDOXH RI DURXQG  IRU WKH :77 FRQILJXUDWLRQ
DQG LW FDQ EH VHHQ WKDW RQO\ WKLV FRQILJXUDWLRQ UHDFKHG WKH KLJKHU JOLGH UDWLR YDOXHV EHWZHHQ 
DQG 

60
WTT
WTT w/o outliers
50

40
CL/CD

30

20

10

0
0 0.2 0.4 0.6 0.8 1 1.2 1.4 1.6
CL

)LJXUH  3ORW RI WKH H[SHULPHQWDO JOLGH UDWLR YDOXHV OLPLWHG WR D PD[LPXP YDOXHV RI  EHIRUH DQG
DIWHU UHPRYLQJ WKH RXWOLHU SRLQWV IRU WKH :77 FRQILJXUDWLRQ


 60
Conventional
Conventional w/o outliers
50

40

CL/CD
30

20

10

0
0 0.2 0.4 0.6 0.8 1 1.2 1.4 1.6
CL

)LJXUH  3ORW RI WKH H[SHULPHQWDO JOLGH UDWLR YDOXHV OLPLWHG WR D PD[LPXP YDOXHV RI  EHIRUH DQG
DIWHU UHPRYLQJ WKH RXWOLHU SRLQWV IRU WKH FRQYHQWLRQDO FRQILJXUDWLRQ

14
WTT
12 WTT w/o outliers

10

8
CL/CD

0
0 0.2 0.4 0.6 0.8 1 1.2 1.4 1.6
CL

)LJXUH  3ORW RI WKH JOLGH UDWLR DYHUDJH YDOXHV EHIRUH DQG DIWHU UHPRYLQJ WKH RXWOLHU SRLQWV IRU WKH
:77 FRQILJXUDWLRQ

14
Conventional
12 Conventional w/o outliers

10

8
CL/CD

0
0 0.2 0.4 0.6 0.8 1 1.2 1.4 1.6
CL

)LJXUH  3ORW RI WKH JOLGH UDWLR DYHUDJH YDOXHV EHIRUH DQG DIWHU UHPRYLQJ WKH RXWOLHU SRLQWV IRU WKH
FRQYHQWLRQDO FRQILJXUDWLRQ


 30

WTT Conventional

25

20
CL/CD

15

10

0
0 0.2 0.4 0.6 0.8 1 1.2 1.4 1.6
CL

)LJXUH  3ORW RI WKH H[SHULPHQWDO JOLGH UDWLR YDOXHV DIWHU UHPRYLQJ WKH RXWOLHU SRLQWV IRU ERWK
FRQILJXUDWLRQV ZLWKRXW DQ\ OLPLW DW WKH YHUWLFDO D[LV 

$IWHU WKH ELQV GLYLVLRQ DQG UHPRYLQJ WKH RXWOLHUV WKH VWDQGDUG GHYLDWLRQ IRU WKH H[SHUL
PHQWDO OLIW DQG GUDJ FRHIILFLHQWV FDQ EH FDOFXODWHG )LJXUH  LV WKH SORW IRU WKH VWDQGDUG
GHYLDWLRQ RI WKH GUDJ DQG OLIW FRHIILFLHQWV IRU ERWK FRQILJXUDWLRQV DORQJ WKH CL UDQJH 7KH
VWDQGDUG GHYLDWLRQ DEVROXWH YDOXH IRU WKH OLIW FRHIILFLHQW UHPDLQV DSSUR[LPDWHO\ FRQVWDQW IRU
HYHU\ CL YDOXH DQG KDV DERXW WKH VDPH YDOXH IRU ERWK FRQILJXUDWLRQV WKLV PHDQV WKDW WKH UHOD
WLYH VWDQGDUG GHYLDWLRQ GHFUHDVHV ZLWK WKH CL  ,Q WKH FDVH RI WKH GUDJ FRHIILFLHQW WKH VWDQGDUG
GHYLDWLRQ LQFUHDVHV ZLWK WKH CL YDOXH DV H[SHFWHG GXH WR WKH LQFUHDVLQJ GLVSHUVLRQ )RU WKH
:77 FRQILJXUDWLRQ WKH UHODWLYH VWDQGDUG GHYLDWLRQ VWD\V FORVH WR FRQVWDQW DQG IRU WKH FRQYHQ
WLRQDO FRQILJXUDWLRQ IRU ORZHU CL YDOXHV WKH GHYLDWLRQ LV FRQVLGHUDEO\ KLJKHU WKDQ IRU WKH :77
FRQILJXUDWLRQ EXW WKH YDOXH GHFUHDVHV ZLWK WKH OLIW FRHIILFLHQW EHLQJ ORZHU WKDQ WKH RQHV IRU
WKH :77 FRQILJXUDWLRQ IRU WKH KLJKHU CL YDOXHV

80

70
CL WTT CD WTT
CL Conventional CD Conventional
60

50
[%]

40

30

20

10

0
0 0.2 0.4 0.6 0.8 1 1.2 1.4 1.6
CL

)LJXUH  6WDQGDUG GHYLDWLRQ IRU WKH GUDJ DQG OLIW FRHIILFLHQWV IRU ERWK FRQILJXUDWLRQV


 7KH W\SLFDO H[SHULPHQWDO GUDJ SRODU WKDW UHVXOWV IURP WKH ELQV GLYLVLRQ ZLWK WKH UHVSHFWLYH
VWDQGDUG GHYLDWLRQ IRU HDFK ELQ IRU WKH :77 FRQILJXUDWLRQ LV SUHVHQW LQ )LJXUH  7KLV UHVXOW
FDQ EH FRPSDUHG ZLWK WKH UHVXOW REWDLQHG IURP 2VWOHU >@ )LJXUH  IRU WKH IOLJKW WHVWLQJ
RI KLV VPDOO IO\LQJ ZLQJ $V DOUHDG\ VWDWHG VHYHUDO WLPHV GXULQJ WKLV ZRUN WKHUH LV QRW PXFK
FRPSOHWH LQIRUPDWLRQ DERXW IOLJKW WHVWLQJ VPDOO 8$9V 7KLV SORW IURP 2VWOHU VKRZV WKDW KLJK
UHVXOWV GLVSHUVLRQ WKDW UHVXOWV LQ D KLJK VWDQGDUG GHYLDWLRQ LV XVXDO IRU IOLJKW WHVWLQJ RI VPDOO 8$9V
IRU SHUIRUPDQFH HVWLPDWLRQ

1.60

1.40

1.20

1.00
Experimental WTT drag polar
CL

0.80

0.60

0.40

0.20

0.00
0.00 0.05 0.10 0.15 0.20 0.25 0.30 0.35 0.40 0.45
CD

)LJXUH  ([SHULPHQWDO GUDJ SRODU SORW DQG VWDQGDUG GHYLDWLRQ IRU WKH :77 FRQILJXUDWLRQ

)LJXUH  ([SHULPHQWDO GUDJ SRODU RI WKH 8QLFRUQ 8$9 >@

7KH ELQV GLYLVLRQ DQG WKH UHVSHFWLYH JOLGH UDWLR DYHUDJH UHVXOW IRU ERWK FRQILJXUDWLRQV LV
SUHVHQW LQ )LJXUH  7KLV SORW LV WKH EHVW VXLWHG WR VXPPDUL]H WKH H[SHULPHQWDO ZRUN ERWK
FRQILJXUDWLRQV FDQ EH FRPSDUHG 7KH VDPH GDWD FDQ EH XVHG WR SORW WKH CD LQVWHDG RI WKH
CL /CD  WKH FRQFOXVLRQV DUH WKH VDPH KRZHYHU WKH GLIIHUHQFH EHWZHHQ ERWK FRQILJXUDWLRQV LV
PRUH QRWLFHDEOH LQ WKH JOLGH UDWLR SORW


 12

WTT Conventional

10

8
CL/CD

0
0 0.2 0.4 0.6 0.8 1 1.2 1.4 1.6
CL

)LJXUH  3ORW RI WKH H[SHULPHQWDO JOLGH UDWLR DYHUDJH YDOXHV IRU ERWK FRQILJXUDWLRQV FRPSDULVRQ

7KH V\PPHWULFDO SDUDEROLF GUDJ SRODU QRW RQO\ GRHV QRW ILW WKH GDWD ZHOO DV WKH PHWKRGRORJ\
GHVFULEHG LQ 6HFWLRQ  WR REWDLQ LW LQ WKLV VWXG\ WHQGV WR RYHUHVWLPDWH RU XQGHUHVWLPDWH
WKH ]HUROLIW GUDJ FRHIILFLHQW ZKLFK UHVXOWV LQ DQ HUURQHRXV LQGXFHG GUDJ IDFWRU K

7KH SORW LQ )LJXUH  LV WKH RQH XVHG WR FXUYH ILW DQ DGHTXDWH GUDJ SRODU 7KH DV\PPHWULFDO
SDUDEROLF GUDJ SRODU LV XVHG (TXDWLRQ  7KH CDmin DQG WKH CLCDmin FRHIILFLHQWV DUH HDV\
WR GHWHUPLQH DV WKH\ DUH WKH ORZHVW GUDJ FRHIILFLHQW YDOXH LQ )LJXUH  DQG WKH UHVSHFWLYH
OLIW FRHIILFLHQW 7KH LQGXFHG GUDJ IDFWRU K LV GHWHUPLQHG PLQLPL]LQJ WKH HUURU EHWZHHQ WKH
DV\PPHWULFDO GUDJ SRODU DQG WKH GDWD SRLQWV ZLWK WKH OHDVW VTXDUH PHWKRG

CD = CDmin + K(CL − CLCDmin )2 

,Q )LJXUH  WKH UHVXOW RI WKH FXUYH ILWWLQJ WRJHWKHU ZLWK WKH HTXDWLRQV DQG WKH FRHIILFLHQW
RI GHWHUPLQDWLRQ R2 LV SUHVHQW $V VKRZQ E\ WKH KLJKHU FRHIILFLHQW RI GHWHUPLQDWLRQ IRU WKH :77
FRQILJXUDWLRQ WKH FXUYH ILWWLQJ KDV D EHWWHU TXDOLW\ IRU WKLV FRQILJXUDWLRQ )RU WKH FRQYHQWLRQDO
FRQILJXUDWLRQ IRU WKH LQWHUPHGLDWH CL YDOXHV WKH JOLGH UDWLR YDOXHV DUH QRW ZHOO UHSUHVHQWHG E\
WKH FXUYH ILWWLQJ %RWK FXUYH ILWWLQJV DUH YHU\ FORVH WR HDFK RWKHU LQ WKH LQWHUPHGLDWH CL UHJLRQ
EXW WKH H[SHULPHQWDO JOLGH UDWLR YDOXHV DUH PXFK ORZHU IRU WKH FRQYHQWLRQDO FRQILJXUDWLRQ

([DFWO\ WKH VDPH GUDJ SRODUV DUH DOVR SUHVHQW LQ )LJXUH  $V WKH RQO\ GLIIHUHQFH LQ WKH
FXUYH ILWWLQJ EHWZHHQ ERWK FRQILJXUDWLRQV LV WKH LQGXFHG GUDJ IDFWRU WKH FXUYH ILWWLQJ LV PRUH
DIIHFWHG E\ WKH SRLQWV DW WKH KLJKHU OLIW FRHIILFLHQW YDOXHV ,Q WKLV CL UHJLRQ WKH FRQYHQWLRQDO
FRQILJXUDWLRQ VWDUWV WR KDYH D KLJKHU JOLGH UDWLR DOWKRXJK LW EHFRPHV KLJKHU WKDQ WKH JOLGH UDWLR
IRU WKH :77 FRQILJXUDWLRQ IRU WKH VDPH CL YDOXHV WKH ILWWLQJ LV DIIHFWHG EXW GRHV QRW VKRZ WKLV
JOLGH UDWLR LQYHUVLRQ

7KH PDLQ REMHFWLYH RI WKLV ZRUN LV WKH FRPSDULVRQ EHWZHHQ ERWK FRQILJXUDWLRQV VR WKH
SORW LQ )LJXUH  LV WKH PRVW UHOHYDQW RQH DV LW VKRZV WKDW IRU LQWHUPHGLDWH CL YDOXHV WKH
:77 FRQILJXUDWLRQ KDV FOHDUO\ D KLJKHU JOLGH UDWLR &XUYH ILWWLQJ WKHVH UHVXOWV LV LPSRUWDQW WR


GHVFULEH WKH GUDJ RI WKH DLUSODQH DQG WR EH XVHG LQ RWKHU HTXDWLRQV DV IRU WKH H[SHULPHQWDO
WKUXVW GHWHUPLQDWLRQ 8VLQJ DQ DGHTXDWH GUDJ SRODU DQG QRW RQO\ DQ\ SRO\QRPLDO HTXDWLRQ KDV
WKH REMHFWLYH RI GHVFULELQJ WKH HIILFLHQF\ LQFUHDVH RI WKH :77 FRQILJXUDWLRQ WKURXJK D GHFUHDVH
LQ WKH LQGXFHG GUDJ IDFWRU KRZHYHU DV WKH HIILFLHQF\ LQFUHDVH LV QRW SUHVHQW IRU HYHU\ CL
YDOXH HVSHFLDOO\ DW KLJKHU OLIW FRHIILFLHQWV WKH KLJKHU JOLGH UDWLR YDOXHV DW LQWHUPHGLDWH OLIW
FRHIILFLHQWV LV QRW ZHOO WUDQVODWHG E\ WKH GLIIHUHQFH LQ WKH LQGXFHG GUDJ IDFWRU EHWZHHQ ERWK
FRQILJXUDWLRQV

12
ൌͲǤͲͶͶͷ൅ͲǤͳʹͷͲሺǦͲǤʹͷ͸ͷሻʹ Ǧ ʹൌͲǤͻͶͺ͹

10

ൌͲǤͲͶ͵ͻ൅ͲǤͳʹ͸ͻሺǦͲǤʹͶͺʹሻʹ Ǧ ʹൌͲǤ͹ͻͲͳ
CL/CD

4
WTT
WTT curve fit
2 Conventional
Conventional curve fit

0
0 0.2 0.4 0.6 0.8 1 1.2 1.4 1.6
CL

)LJXUH  $V\PPHWULFDO GUDJ SRODU FXUYH ILWWLQJ DW WKH JOLGH UDWLR YDOXHV SORW

1.6
WTT
WTT curve fit ൌͲǤͲͶͶͷ൅ͲǤͳʹͷͲሺǦͲǤʹͷ͸ͷሻʹ Ǧ ʹൌͲǤͻͶͺ͹
1.4
Conventional
Conventional curve fit
1.2

1
ൌͲǤͲͶ͵ͻ൅ͲǤͳʹ͸ͻሺǦͲǤʹͶͺʹሻʹ Ǧ ʹൌͲǤ͹ͻͲͳ
CL

0.8

0.6

0.4

0.2

0
0 0.05 0.1 0.15 0.2 0.25
CD

)LJXUH  $V\PPHWULFDO GUDJ SRODU FXUYH ILWWLQJ DW WKH GUDJ SRODU SORW


 1XPHULFDO 5HVXOWV &RPSDULVRQ

7KHVH H[SHULPHQWDO UHVXOWV FDQ EH FRPSDUHG ZLWK WKH QXPHULFDO RQHV DWWHQWLRQ KDV WR EH SDLG
DV WKH QXPHULFDO UHVXOWV GR QRW KDYH D IXVHODJH ERG\ DQG WKH VLPXODWLRQV RQO\ UHDFKHG D VROXWLRQ
XQWLO D OLIW FRHIILFLHQW RI 

$V WKH QXPHULFDO UHVXOWV DUH RQO\ IRU D ZLQJ DQG WDLO VXUIDFHV WKH DEVROXWH JOLGH UDWLR
YDOXHV ZLOO EH KLJKHU WKDQ WKH RQHV REWDLQHG ZLWK WKH H[SHULPHQWDO IOLJKW WHVWLQJ :LWK WKLV
VWXG\ WKH PRVW LPSRUWDQW FRQFOXVLRQV VKRXOG EH WKH FRPSDULVRQ EHWZHHQ ERWK FXUYHV 7KH
SORW LQ )LJXUH  KDV WKH H[SHULPHQWDO DQG QXPHULFDO JOLGH UDWLR UHVXOWV UHSUHVHQWHG WRJHWKHU
)URP D OLIW FRHIILFLHQW RI  XQWLO D OLIW FRHIILFLHQW RI  WKH :77 FRQILJXUDWLRQ VKRZV D
KLJKHU JOLGH UDWLR WRZDUGV WKH KLJKHU OLIW FRHIILFLHQWV WKH JOLGH UDWLR LV DERXW WKH VDPH IRU ERWK
FRQILJXUDWLRQV DQG DW WKH HQG RI WKH CL UDQJH WKH QXPHULFDO VLPXODWLRQ SUHGLFWV DQ LQYHUVLRQ
DQG WKH FRQYHQWLRQDO FRQILJXUDWLRQ KDV D KLJKHU JOLGH UDWLR WKDQ WKH :77 FRQILJXUDWLRQ $JDLQ
ZLWKRXW FRQVLGHULQJ WKH DEVROXWH YDOXHV WKH H[SHULPHQWDO UHVXOWV KDYH D VLPLODU EHKDYLRU 8QWLO
CL = 0.45 WKH DYHUDJH RI WKH JOLGH UDWLR YDOXHV DUH DERXW WKH VDPH IRU ERWK FRQILJXUDWLRQV $W
WKH LQWHUPHGLDWH OLIW FRHIILFLHQW YDOXHV XQWLO D CL = 1.15 WKH :77 FRQILJXUDWLRQ KDV DOZD\V D
KLJKHU DYHUDJH JOLGH UDWLR YDOXH )URP D OLIW FRHIILFLHQW RI  XQWLO  WKH VDPH LQYHUVLRQ LQ
WKH JOLGH UDWLR YDOXH LV REVHUYHG DQG WKH FRQYHQWLRQDO FRQILJXUDWLRQ DV D KLJKHU JOLGH UDWLR LQ
WKLV LQWHUYDO DV LQ WKH QXPHULFDO VWXG\

14
WTT numerical
WTT experimental
12
Conventional numerical
Conventional experimental
10

8
CL/CD

0
0 0.2 0.4 0.6 0.8 1 1.2 1.4 1.6
CL

)LJXUH  ;)/5 JOLGH UDWLR YDOXHV FRPSDULVRQ ZLWK WKH H[SHULPHQWDO UHVXOWV IRU ERWK FRQILJXUDWLRQV

,Q )LJXUH  WKH H[SHULPHQWDO DQG QXPHULFDO UHVXOWV IRU WKH GUDJ SRODU DUH DOVR UHSUH
VHQWHG IRU WKH ORZHVW CL YDOXHV 7KH GLIIHUHQFH EHWZHHQ ERWK FRQILJXUDWLRQV VKRXOG EH WKH
SDUDVLWH GUDJ RI WKH IXVHODJH WDLO ERRPV DQG ODQGLQJ JHDU KRZHYHU WKLV GLIIHUHQFH GRHV QRW
UHPDLQ FRQVWDQW DORQJ WKH CL YDOXHV )RU WKH KLJKHU CL YDOXHV WKH H[SHULPHQWDO DQG QXPHULFDO
UHVXOWV DUH DERXW WKH VDPH ZKLFK LQGLFDWHV WKDW WKH QXPHULFDO UHVXOWV KDYH D KLJKHU LQGXFHG
GUDJ WKDQ WKH RQH H[SHULPHQWDOO\ GHWHUPLQHG ,W LV LQWHUHVWLQJ WKDW WKH QXPHULFDO VLPXODWLRQ
SUHGLFWHG D GUDJ VSLNH IRU D CL EHWZHHQ  DQG  LW LV OHVV QRWLFHDEOH EXW DOVR WKH H[SHUL
PHQWDO UHVXOWV HVSHFLDOO\ IRU WKH :77 FRQILJXUDWLRQ VKRZ WKLV VSLNH DW WKH VDPH CL YDOXH


 ,Q )LJXUH  WKH HVWLPDWHG SDUDVLWH GUDJ FRHIILFLHQW IRU WKH IXVHODJH DQG RWKHU FRPSR
QHQWV LV UHSUHVHQWHG ,W LV REWDLQHG E\ VXEWUDFWLQJ WKH QXPHULFDO GUDJ FRHIILFLHQW IURP WKH
H[SHULPHQWDO GUDJ FRHIILFLHQW )RU WKH ORZHVW CL YDOXHV WKH HVWLPDWLRQ VKRXOG EH FRUUHFW WKH
LQGXFHG GUDJ FRHIILFLHQW LV DSSUR[LPDWHO\ ]HUR DQG WKH RQO\ GLIIHUHQFH LV LQ WKH SDUDVLWH GUDJ
$ORQJ WKH CL YDOXHV WKH IXVHODJH GUDJ FRHIILFLHQW GHFUHDVHV XQWLO YDOXHV RI ]HUR RQFH DJDLQ
WKLV VKRZ WKDW WKH QXPHULFDO LQGXFHG GUDJ FRHIILFLHQW LV KLJKHU WKDQ WKH H[SHULPHQWDOO\ REWDLQHG
LQGXFHG GUDJ FRHIILFLHQW )RU WKH ORZHVW CL YDOXHV ERWK FRQILJXUDWLRQV KDYH DSSUR[LPDWHO\ WKH
VDPH SDUDVLWH GUDJ FRHIILFLHQW ZLWK WKH :77 FRQILJXUDWLRQ KDYLQJ D VOLJKWO\ ORZHU YDOXH $V
WKH QXPHULFDO LQGXFHG GUDJ FRHIILFLHQW LV QRW WKH VDPH DV WKH H[SHULPHQWDO WKH SDUDVLWH GUDJ
LV LQIOXHQFHG DQG GRHV QRW UHPDLQ DV FRQVWDQW DV LW VKRXOG EH

1.4

1.2

0.8
CL

0.6 WTT numerical

WTT experimental

0.4 Conventional numerical

Conventional experimental

0.2

0
0 0.02 0.04 0.06 0.08 0.1 0.12 0.14 0.16 0.18
CD

)LJXUH  ;)/5 CL DQG CD YDOXHV FRPSDULVRQ ZLWK WKH H[SHULPHQWDO UHVXOWV IRU ERWK FRQILJXUDWLRQV

0.03
WTT Conventional

0.025

0.02

0.015
CD

0.01

0.005

0
0 0.2 0.4 0.6 0.8 1 1.2 1.4

-0.005
CL

)LJXUH  (VWLPDWHG SDUDVLWH GUDJ FRHIILFLHQW IRU IXVHODJH DQG RWKHU FRPSRQHQWV IRU ERWK
FRQILJXUDWLRQV


 (UURQHRXV $SSURDFK 5HVXOW

2QH UHVXOW DERXW WKLV PHWKRGRORJ\ WKDW LV QRW GHVFULEHG LQ WKH UHYLHZHG OLWHUDWXUH LV WKH GLI
IHUHQFH EHWZHHQ WKH JOLGH UDWLR WKDW LV REWDLQHG ZLWK WKH DYHUDJH RI WKH JOLGH UDWLR YDOXHV IRU
HDFK H[SHULPHQWDO SRLQW DQG WKH JOLGH UDWLR WKDW LV REWDLQHG ZLWK WKH DYHUDJH RI WKH OLIW FRHI
ILFLHQWV GLYLGHG E\ WKH DYHUDJH RI WKH GUDJ FRHIILFLHQWV $V LW LV PHQWLRQHG LQ 6HFWLRQ  WKH
GDWD DQDO\VLV VKRXOG EH SHUIRUPHG FRQVLGHULQJ WKH JOLGH UDWLR RI HDFK SRLQW DQG QRW WKH GUDJ
FRHIILFLHQW YDOXHV EHFDXVH WKDW ZRXOG OHDG WR HUURQHRXV JOLGH UDWLR YDOXHV ,Q )LJXUH  LW LV
SUHVHQW WKH SORW IRU WKH JOLGH UDWLR YDOXHV REWDLQHG IURP WKH DYHUDJH RI WKH JOLGH UDWLR IRU HDFK
SRLQW DQG WKH JOLGH UDWLR FDOFXODWHG ZLWK WKH DYHUDJH RI CL DQG CD IRU WKH JURXS RI SRLQWV IURP
HDFK ELQ )RU WKH KLJKHU CL /CD YDOXHV WKH GLIIHUHQFH EHWZHHQ ERWK PHWKRGRORJLHV LV DERXW
 DQG WKH YDOXHV REWDLQHG ZLWK WKH DYHUDJH RI WKH OLIW DQG GUDJ FRHIILFLHQWV DUH DOZD\V ORZHU
WKDQ WKH YDOXHV IRU WKH VDPH FRQILJXUDWLRQ ZLWK WKH DYHUDJH RI WKH JOLGH UDWLR IRU HDFK SRLQW

12
WTT
WTT averaged
Conventional
10
Conventional averaged

8
CL/CD

0
0 0.2 0.4 0.6 0.8 1 1.2 1.4 1.6
CL

)LJXUH  &RPSDULVRQ RI WKH H[SHULPHQWDO JOLGH UDWLR YDOXHV ZLWK WKH RQHV DYHUDJHG REWDLQHG ZLWK
WKH HUURQHRXV DSSURDFK

 (QHUJ\ 0HWKRG DQG 0HWKRGRORJ\ 7HVWV 5HVXOWV

%HIRUH FRPSDULQJ WKH SUHVHQWHG PHWKRGRORJ\ ZLWK WKH DOWHUQDWLYH RQHV DQ HIIRUW WR XQGHUVWDQG
KRZ WKH UHVXOWV DUH DIIHFWHG ZLWK WKH HQHUJ\ PHWKRG FRUUHFWLRQV DQG ILOWHULQJ DUH PDGH ,Q
)LJXUH  WKH UHVXOWV IRU WKH HQHUJ\ PHWKRG DQG ZLWKRXW ILOWHULQJ ZLWK WKH UHVSHFWLYH GLVSHU
VLRQ FXUYHV LV SUHVHQW 7KH HIIHFW LV REYLRXV ZLWKRXW WKH ILOWHULQJ LW UHVXOWV LQ QHJDWLYH GUDJ
FRHIILFLHQWV YDOXHV DQG WKH GLVSHUVLRQ LQFUHDVHV WKH UHJUHVVLRQ PHWKRGRORJ\ WR UHSUHVHQW WKH
VWDQGDUG GHYLDWLRQ LV QRW WRWDOO\ DGHTXDWH IRU H[DPSOH IRU D CL EHWZHHQ 0.6 DQG 0.8 WKHUH LV
D ELJ LQFUHDVH LQ WKH GLVSHUVLRQ WKDW LV QRW SUHVHQW LQ WKH UHJUHVVLRQ


 1.8

1.6

1.4

1.2

1
CL

0.8

0.6
Energy method
0.4
W/o filtration

0.2
Energy method std. deviation
W/o filtration std. deviation
0
-0.1 0 0.1 0.2 0.3 0.4 0.5
CD

)LJXUH  5HVXOWV GLVSHUVLRQ FRPSDULVRQ EHWZHHQ WKH HQHUJ\ PHWKRG DQG WKH PHWKRGRORJ\ ZLWKRXW WKH
ILOWUDWLRQ

,Q )LJXUH  WKH HQHUJ\ PHWKRG LV FRPSDUHG ZLWK WKH PHWKRGRORJ\ ZLWK WKH FRQVWDQW
VSHHG DVVXPSWLRQ FRQVLGHULQJ WKDW WKH VSHHG FKDQJH WKDW LV WKH KRUL]RQWDO DFFHOHUDWLRQ LV
ZKDW FKDUDFWHUL]HV WKH HQHUJ\ PHWKRG ZLWKRXW WKLV WKH UHVXOWV DUH HYHQ ZRUVH WKDQ LQ WKH
FRPSDULVRQ EHIRUH WKHUH DUH PRUH QHJDWLYH DQG ORZHU GUDJ FRHIILFLHQW SRLQWV LQ VRPH UHJLRQV
WKH GLVSHUVLRQ LQFUHDVHV DQG IRU VRPH UHJLRQV WKH DYHUDJH FKDQJHV LWV YDOXH FKDQJLQJ FRQVLGHU
DEO\ WKH UHVXOWLQJ GUDJ SRODU

1.8

1.6

1.4

1.2

1
CL

0.8

Energy method
0.6
Constant speed assumption
0.4
Energy method std. deviation
0.2
Constant speed assumption std.
deviation
0
-0.2 -0.1 0 0.1 0.2 0.3 0.4 0.5
CD

)LJXUH  5HVXOWV GLVSHUVLRQ FRPSDULVRQ EHWZHHQ WKH HQHUJ\ PHWKRG DQG WKH PHWKRGRORJ\ ZLWK WKH
FRQVWDQW VSHHG DVVXPSWLRQ

,Q )LJXUH  WKH HQHUJ\ PHWKRG LV FRPSDUHG ZLWK WKH PHWKRGRORJ\ ZLWKRXW WKH OLIW FRU
UHFWLRQ $WWHQWLRQ WR WKLV SORW KDV WR EH SDLG WKH HIIHFW RI WKLV FRUUHFWLRQ LV RQO\ LQ WKH YHUWLFDO
D[LV VR WKH UHSUHVHQWHG VWDQGDUG GHYLDWLRQ FXUYHV DUH IRU WKH VWDQGDUG GHYLDWLRQ RI WKH OLIW


FRHIILFLHQW LQ WKH YHUWLFDO D[LV $OWKRXJK WKH OLIW FRHIILFLHQWV YDOXHV DUH VOLJKWO\ FKDQJHG WKH
GLVSHUVLRQ GRHV QRW LQFUHDVH FRQVLGHUDEO\ LW FDQ EH FRQFOXGHG WKDW WKLV FRUUHFWLRQ KDV WKH OHDVW
HIIHFW RQ WKH UHVXOWV $OWKRXJK WKH VWDQGDUG GHYLDWLRQ LQFUHDVHV IRU ORZHU DQG KLJKHU CL YDO
XHV WKLV FRUUHFWLRQ LV LPSRUWDQW WR DFFRXQW IRU VPDOO DFFHOHUDWLRQV WKDW FKDQJH WKH UHDO OLIW
FRHIILFLHQW YDOXH
1.8

1.6

1.4

1.2

1
CL

0.8

0.6
Energy method
0.4 W/o CL correction
Energy method std. deviation
0.2
W/o CL correction std. deviation
0
-0.05 0 0.05 0.1 0.15 0.2 0.25 0.3 0.35
CD

)LJXUH  5HVXOWV GLVSHUVLRQ FRPSDULVRQ EHWZHHQ WKH HQHUJ\ PHWKRG DQG WKH PHWKRGRORJ\ ZLWKRXW WKH
OLIW FRHIILFLHQW FRUUHFWLRQ

1.8

1.6

1.4

1.2

1
CL

0.8

0.6

Energy method
0.4
W/o corrections
0.2 Energy method std. deviation
W/o corrections std. deviation
0
-0.3 -0.2 -0.1 0 0.1 0.2 0.3 0.4 0.5
CD

)LJXUH  5HVXOWV GLVSHUVLRQ FRPSDULVRQ EHWZHHQ WKH HQHUJ\ PHWKRG DQG WKH PHWKRGRORJ\ ZLWKRXW DOO
WKH FRUUHFWLRQV

,Q )LJXUH  WKH HIIHFW RI QRW XVLQJ DQ\ RI WKH FRUUHFWLRQV LV UHSUHVHQWHG 7KH UHVXOWLQJ
GLVSHUVLRQ LV QRW D VXP RI WKH GLVSHUVLRQ RI HDFK FRUUHFWLRQ DV VRPH FRUUHFWLRQV DIIHFW WKH UH
VXOWV LQ RQH ZD\ DQG RWKHUV LQ WKH RSSRVLWH ZD\ :LWKRXW DOO WKH FRUUHFWLRQV WKH UHVXOWV KDYH
PRUH GLVSHUVLRQ WKDQ ZLWK WKH HQHUJ\ PHWKRG EXW LQ WKH VDPH VFDOH RI WKH SUHYLRXV FRPSDULVRQV


DQDO\]HG 6XPPLQJ XS DSDUW IURP WKH OLIW FRUUHFWLRQ WKDW GRHV QRW KDYH D FRQVLGHUDEO\ LQIOX
HQFH DOO WKH RWKHU FRUUHFWLRQV GHFUHDVH WKH GLVSHUVLRQ LQ WKH UHVXOWV 7KH EDVH RI WKH HQHUJ\
PHWKRG WKH FRUUHFWLRQ RI FKDQJHV LQ WKH YHORFLW\ LV WKH PRVW LPSRUWDQW RQH ,W FDQ EH VHHQ WKDW
ZLWKRXW DOO WKH FRUUHFWLRQV WKH VWDQGDUG GHYLDWLRQ FKDQJH LV QRW FRQVWDQW IRU ERWK WKH VXSHULRU
DQG LQIHULRU OLPLW WKH DYHUDJH YDOXHV RI WKH UHVXOWDQW H[SHULPHQWDO SRLQWV DUH DOVR FKDQJHG
ZLWKRXW WKH FRUUHFWLRQV FKDQJLQJ FRQVLGHUDEO\ WKH H[SHULPHQWDOO\ REWDLQHG GUDJ SRODU

 $OWHUQDWLYH 0HWKRGRORJLHV &RPSDULVRQ

&RPSDULQJ WKH H[SHULPHQWDO UHVXOWV REWDLQHG WKURXJK WKH HQHUJ\ PHWKRG DQG WKH DOWHUQDWLYH
PHWKRGRORJLHV GHVFULEHG LQ 6HFWLRQ  LV GRQH WKURXJK WKH SORWV LQ )LJXUHV  DQG 
7KHVH SORWV DUH WKH FRPSDULVRQ EHWZHHQ WKH DOWHUQDWLYH PHWKRGRORJLHV DQG HQHUJ\ PHWKRG
HDFK IRU HDFK FRQILJXUDWLRQ 7KH GDWD IRU ERWK WKH DOWHUQDWLYH PHWKRGRORJLHV DUH WKH DYHUDJH
RI WKH ELQV GLYLVLRQ DV GRQH SUHYLRXVO\ WKH GDWD WKDW ZDV WKH RULJLQ RI WKLV ELQV GLYLVLRQ WKDW LV
WKH JOLGH UDWLR IRU HDFK JOLGH DQDO\]HG LV SUHVHQW LQ )LJXUHV  DQG  ,Q )LJXUH  WKH
UHVXOW RI WKH JHRPHWULFDO JOLGH UDWLR DOWHUQDWLYH PHWKRGRORJ\ IRU ERWK FRQILJXUDWLRQV LV SUHVHQW
DQG LQ )LJXUH  WKH UHVXOW RI WKH JOLGH UDWLR IURP WKH JOLGH DQJOH DOWHUQDWLYH PHWKRGRORJ\
IRU ERWK FRQILJXUDWLRQV LV SUHVHQW 7KH UHVXOWV EHWZHHQ WKH PHWKRGRORJLHV DUH VOLJKWO\ GLIIHUHQW
EHWZHHQ WKH FRQILJXUDWLRQV IRU ERWK FRQILJXUDWLRQV DW WKH ORZHU CL YDOXHV ERWK WKH DOWHUQDWLYH
PHWKRGRORJLHV XQGHU SUHGLFW WKH JOLGH UDWLR YDOXHV IRU WKH :77 FRQILJXUDWLRQ WKLV WUHQG FRQWLQ
XHV DORQJ WKH CL DQG IRU WKH FRQYHQWLRQDO FRQILJXUDWLRQ IURP D CL = 0.6 DOO WKH PHWKRGRORJLHV
UHVXOW LQ VLPLODU JOLGH UDWLR YDOXHV

20
WTT geometrical
18 Conventional geometrical

16

14

12
CL/CD

10

0
0 0.2 0.4 0.6 0.8 1 1.2 1.4 1.6
CL

)LJXUH  &RPSDULVRQ RI WKH JOLGH UDWLR YDOXHV REWDLQHG ZLWK WKH JOLGH DQJOH PHWKRGRORJ\ IRU ERWK
FRQILJXUDWLRQV


 18
WTT glide angle
16 Conventional glide angle

14

12

10
CL/CD

0
0 0.2 0.4 0.6 0.8 1 1.2 1.4 1.6
CL

)LJXUH  &RPSDULVRQ RI WKH JOLGH UDWLR YDOXHV REWDLQHG ZLWK WKH JHRPHWULFDO PHWKRGRORJ\ IRU ERWK
FRQILJXUDWLRQV

12
Energy method WTT
Glide angle
Geometrical
10

8
CL/CD

0
0 0.2 0.4 0.6 0.8 1 1.2 1.4 1.6
CL

)LJXUH  &RPSDULVRQ RI WKH JOLGH UDWLR DYHUDJH YDOXHV EHWZHHQ WKH HQHUJ\ PHWKRG DQG WKH
DOWHUQDWLYH PHWKRGRORJLHV IRU WKH :77 FRQILJXUDWLRQ

12
Energy method conventional
Glide angle
Geometrical
10

8
CL/CD

0
0 0.2 0.4 0.6 0.8 1 1.2 1.4 1.6
CL

)LJXUH  &RPSDULVRQ RI WKH JOLGH UDWLR DYHUDJH YDOXHV EHWZHHQ WKH HQHUJ\ PHWKRG DQG WKH
DOWHUQDWLYH PHWKRGRORJLHV IRU WKH FRQYHQWLRQDO FRQILJXUDWLRQ


 )OLJKW 7HVWLQJ 5HVXOWV  &OLPEV

7KH SORW LQ )LJXUH  LV WKH UHVXOW RI WKH FOLPE DQDO\VLV IRU ERWK FRQILJXUDWLRQV WR GHWHUPLQH
WKH WKUXVW FXUYH RI WKH SURSXOVLYH V\VWHP $V WKH SURSXOVLYH V\VWHP DQG LWV FRXSOLQJ WR WKH
DLUIUDPH LV WKH VDPH IRU ERWK FRQILJXUDWLRQV DV H[SHFWHG WKH UHVXOWV IRU ERWK FRQILJXUDWLRQV
DUH DERXW WKH VDPH 7KH H[SHULPHQWDO WKUXVW IRU ERWK FRQILJXUDWLRQV LV MRLQHG LQ RQO\ RQH JURXS
RI GDWD WR GHVFULEH WKH SURSXOVLYH V\VWHP DQG D OLQHDU UHJUHVVLRQ LV XVHG LQ WKLV MRLQHG GDWD WR
REWDLQ WKH WKUXVW OLQH 7KH VWDOO VSHHG RI WKH DLUFUDIW LV DERXW 7.5m/s ,Q WKLV SORW WKHUH DUH
GDWD SRLQWV DW YHORFLWLHV ORZHU WKDQ WKH VWDOO VSHHG EHFDXVH QHDU WKH HQG RI VRPH FOLPEV WKH
DLUSODQH ZRXOG HQG QHDU RU LQ D VWDOO ZLWK D ORW RI DQJXODU YHORFLW\ DFKLHYLQJ IRU DQ LQVWDQW
YHORFLWLHV ORZHU WKDQ WKH VWDOO VSHHG 7KHVH LQVWDQWDQHRXV ORZ VSHHG YDOXHV ZLOO UHVXOW LQ D
KLJKHU HVWLPDWHG GUDJ YDOXH DQG FRQVHTXHQWO\ LQFUHDVH WKH H[SHULPHQWDOO\ REWDLQHG WKUXVW 7R
ILW WKH UHVXOWV ZLWK D VWUDLJKW OLQH DQG REWDLQ D UHDOLVWLF FKDUDFWHUL]DWLRQ RI WKH SURSXOVLYH WKUXVW
RQO\ WKH WKUXVW SRLQWV DERYH DQ DLUVSHHG RI 7.5m/s VKRXOG EH FRQVLGHUHG $ OLQHDU UHJUHVVLRQ LV
DOVR DSSOLHG WR WKH VDPH GDWD VHW FRQVLGHULQJ RQO\ SRLQWV ZLWK YHORFLWLHV KLJKHU WKDQ 10m/s
WKLV LV WKH UDQJH RI YHORFLWLHV ZKHUH WKH DLUSODQH IOHZ PRUH DQG WKH GDWD KDYH D PRUH OLQHDU
EHKDYLRU 7KH VWUDLJKW OLQH IRU WKH YHORFLWLHV DERYH 10m/s LV WKH RQH FKRVHQ WR EHVW UHSUHVHQW
WKH SURSXOVLYH V\VWHP 7KLV H[SHULPHQWDO WKUXVW OLQH LV FRPSDUHG ZLWK DOUHDG\ H[LVWLQJ ZLQG
WXQQHO WHVWV IRU WKLV SURSXOVLYH V\VWHP FRPELQDWLRQ ,Q )LJXUH  WKH ZLQG WXQQHO UHVXOWV RI
=DJUHE >@ DQG 6WXWWJDUW >@ XQLYHUVLWLHV WKH 8%,·V QXPHULFDO UHVXOW XVLQJ WKH 35236(/(&725
VRIWZDUH >@ DQG WKH UHJUHVVLRQ OLQH RI WKH IOLJKW WHVWV DUH UHSUHVHQWHG
45
WTT Conventional
40 F.Test V>7.5 F.Test V>10

35

30

25
T [N]

20

15

10

0
0 2 4 6 8 10 12 14 16 18 20 22 24 26 28 30
V [m/s]

)LJXUH  ([SHULPHQWDO WKUXVW DJDLQVW WKH YHORFLW\ IRU ERWK FRQILJXUDWLRQV ZLWK WKH OLQHDU UHJUHVVLRQ
IRU YHORFLWLHV DERYH 7.5m/s DQG 10m/s

7KH WKUXVW OLQH REWDLQHG IRU YHORFLWLHV KLJKHU WKDQ 10m/s QRW RQO\ LW KDV D PRUH OLQHDU
EHKDYLRU DV WKHUH LV QRW DV PXFK GLVSHUVLRQ FDXVLQJ D KLJK VWDWLF WKUXVW HVWLPDWLRQ DV IRU WKH
UHJUHVVLRQ IRU YHORFLWLHV DERYH 7.5m/s &RPSDULQJ WKH µ)7HVW 9!µ OLQH ZLWK WKH ZLQG WXQQHO
UHVXOWV IURP =DJUHE ERWK KDYH D VLPLODU VWDWLF WKUXVW YDOXH KRZHYHU WKH VORSH RI WKUXVW ZLWK WKH
YHORFLW\ LV QRW DV DEUXSW IRU =DJUHE DV WKH RQH REWDLQHG WKURXJK WKH IOLJKW WHVWLQJ &RPSDULQJ
ZLWK WKH 6WXWWJDUW ZLQG WXQQHO WHVW WKH VORSH LV VLPLODU KRZHYHU LW DSSHDUV WKDW WKHLU UHVXOW


XQGHU SUHGLFWHG WKH UHDO WKUXVW IRU DOO WKH VSHHG UDQJH 7KLV VKRXOG EH H[SHFWHG DV WKHLU WHVWV
ZHUH FRQGXFWHG ZLWK WKH HOHFWULFDO FXUUHQW OLPLWHG WR  A 'XULQJ WKH IOLJKW WHVWV FXUUHQW
YDOXHV RI  A ZHUH DFKLHYHG &RPSDULQJ ZLWK WKH 35236(/(&725 UHVXOW IURP 8%, IRU YHORFLWLHV
DERYH 10m/s WKH WKUXVW YDOXHV DUH YHU\ FORVH WR RQH DQRWKHU $V WKH 35236(/(&725 UHVXOW LV QRW D
VWUDLJKW OLQH EXW D FXUYH IRU ORZHU YHORFLWLHV WKH WKUXVW LV FRQVLGHUDEO\ ORZHU ZKHQ FRPSDULQJ WR
WKH IOLJKW WHVWV UHVXOWV 2EVHUYLQJ WKH GLIIHUHQFHV EHWZHHQ ERWK ZLQG WXQQHO WHVWV IRU WKH VDPH
SURSXOVLYH V\VWHP DQG EHWZHHQ WKH VRIWZDUH SUHGLFWLRQ WKH UHVXOWV IURP WKH IOLJKW WHVWLQJ
FOHDUO\ VKRZ WKDW WKLV PHWKRG LV ZHOO VXLWHG WR FKDUDFWHUL]H WKH SURSXOVLYH V\VWHP ZLWK WKH
ELJ DGYDQWDJH WKDW LW GRHV QRW UHTXLUH D ODUJH DQG H[SHQVLYH ZLQG WXQQHO WR REWDLQ D UHOLDEOH
HVWLPDWLRQ RI WKH SURSXOVLYH WKUXVW IRU D GHVLUHG YHORFLW\ UDQJH
30

Zagreb Stuttgart
25
UBI F.Test V>10

20
T [N]

15

10

0
0 5 10 15 20 25 30
V [m/s]

)LJXUH  7KUXVW FXUYHV IRU WKH SURSXOVLYH V\VWHP IURP WKH H[SHULPHQWDO FXUYH ILW 8%, VWXG\ =DJUHE
VWXG\ >@ DQG 6WXWWJDUW VWXG\ >@

:LWK WKH PHDVXUHG HOHFWULFDO SRZHU DQG WKURXJK WKH H[SHULPHQWDO WKUXVW LW LV SRVVLEOH WR
FDOFXODWH WKH DYDLODEOH SRZHU IROORZHG E\ WKH SURSXOVLYH HIILFLHQF\ ,Q )LJXUH  WKH SURSXO
VLYH HIILFLHQF\ IRU WKH V\VWHPV XVHG LQ WKHVH DLUFUDIW LV UHSUHVHQWHG 7KH PD[LPXP H[SHULPHQWDO
SURSXOVLYH HIILFLHQF\ LV DOPRVW  IRU WKH KLJKHU YHORFLWLHV DQG DURXQG  IRU WKH ORZHU YHORF
LWLHV WKHVH YDOXHV DUH WKH H[SHFWHG RQHV IRU D SURSXOVLYH V\VWHP IRU 8$9V RI WKLV VL]H
1.2

ηp Polynomial(eta_p)
1

0.8
ηp

0.6

0.4
y = -7E-05x2 + 0.0161x + 0.2767
R² = 0.1672
0.2

0
0 5 10 15 20 25 30
V [m/s]

)LJXUH  ([SHULPHQWDO SURSXOVLYH HIILFLHQF\


&KDSWHU 

:77 &RQILJXUDWLRQ 3DUDPHWULF 6WXG\

.HHSLQJ LQ VLJKW IXWXUH GHYHORSPHQWV RI WKLV FRQILJXUDWLRQ DQ HIIRUW ZDV PDGH WR LQFUHDVH
WKH SRWHQWLDO RI WKLV FRQILJXUDWLRQ UHFXUULQJ WR WKLV QXPHULFDO VWXG\ )LUVW VPDOO FKDQJHV ZHUH
WHVWHG WKH WDLO VXUIDFHV DUH PRXQWHG 20mm DERYH WKH WUDLOLQJ HGJH RI WKH ZLQJ 6PDOO FKDQJHV LQ
WKH YHUWLFDO SRVLWLRQ WKDW LV 20mm XSZDUG RU GRZQZDUG GR QRW KDYH D FRQVLGHUDEOH HIIHFW LQ WKH
JOLGH UDWLR )XUWKHU FKDQJHV IURP WKHVH SRLQWV WKH UHVXOWDQW JOLGH UDWLR LV GHFUHDVHG ,QFUHDVLQJ
WKH ZLQJ·V LQFLGHQFH WR VPDOO SRVLWLYH YDOXHV DQG GHFUHDVLQJ WKH WDLO VXUIDFHV LQFLGHQFH DQJOH WR
VPDOO QHJDWLYH DQJOHV UHVXOW LQ D GHFUHDVH RI WKH JOLGH UDWLR 7R WHVW ELJJHU FKDQJHV LQ WKH WDLO
SRVLWLRQ WKH IORZ DURXQG WKH ZLQJWLS WKDW LV WKH YRUWH[ SRVLWLRQ ZDV REVHUYHG WR XQGHUVWDQG
KRZ WKH QH[W FKDQJHV VKRXOG EH GRQH )URP )LJXUH  LW LV HYLGHQW WKDW WKH H[WHQGHG ZLQJWLSV
WKDW ZHUH DGGHG WR WKLV FRQILJXUDWLRQ SXVK WKH YRUWH[ RXWERDUG DQG XSZDUG LQFUHDVLQJ WKH
GLVWDQFH EHWZHHQ WKH YRUWH[ DQG WKH WDLO VXUIDFHV

)LJXUH  ;)/5 VWUHDP OLQHV IRU WKH :77 FRQILJXUDWLRQ

$Q REYLRXV GHVLJQ FKDQJH ZRXOG EH SODFLQJ WKH WDLO VXUIDFHV ULJKW EHKLQG WKH YRUWH[ KRZ
HYHU WKLV ZRXOG OHDG EDFN WR WKH  GHVLJQ RI WKH FRQILJXUDWLRQ ZKLFK KDG D GXWFK UROO
SUREOHP

,Q WKH SORW RI )LJXUH  D IHZ GLIIHUHQW FRQILJXUDWLRQV DUH UHSUHVHQWHG 7KH FRQYHQWLRQDO
EDVHOLQH DQG RULJLQDO :77 FRQILJXUDWLRQ OLQHV ZLWK FLUFOH DQG WULDQJOH PDUNHUV UHVSHFWLYHO\ DUH
VWLOO SUHVHQW :LWK D VTXDUH PDUNHU D FRQILJXUDWLRQ ZKHUH WKH WDLO VXUIDFHV DUH IXUWKHU RXWERDUG
DW 750mm RI WKH 855mm VHPL ZLQJVSDQ ZLWK WKH GLKHGUDO DQJOH LQYHUWHG :LWK D GLDPRQG
PDUNHU D FRQILJXUDWLRQ WKDW LV FORVH WR WKH  RQH DQG ZLWKRXW PDUNHUV QHZ FRQILJXUDWLRQV
ZLWK WKH VSDQZLVH DQG ZLQJ GLVWDQFH FKDQJHG $OO WKHVH QHZ FRQILJXUDWLRQV KDYH D FRQVLGHUDEOH
KLJKHU JOLGH UDWLR YDOXH WKDQ WKH EDVHOLQH FRQILJXUDWLRQ HVSHFLDOO\ IURP D CL = 0.45 YDOXH
XS WR WKH KLJKHU CL YDOXHV 7KH FRQILJXUDWLRQ UHSUHVHQWHG E\ WKH GRWWHG OLQH KDV WKH WDLO
VXUIDFHV DW 720mm VSDQZLVH FRPSDULQJ ZLWK WKH FRQILJXUDWLRQ WKDW KDV D VSDQZLVH GLVWDQFH RI
750mm ODUJH GDVK OLQH ,W LV REYLRXV WKDW WKH UHVXOW IRU WKH 720mm SRVLWLRQ LV QRW UHDO %\
IXUWKHU LQFUHDVLQJ WKH VSDQZLVH GLVWDQFH WR WKH 800mm IRU WKH VDPH YHUWLFDO SRVLWLRQ WKH JOLGH
UDWLR VWDUWV WR GHFUHDVH $W WKH 800mm SRVLWLRQ LI WKH YHUWLFDO GLVWDQFH LV KLJKO\ LQFUHDVHG
XS WR 100mm WKH JOLGH UDWLR LQFUHDVHV DQG WKH UHVXOWDQW FRQILJXUDWLRQ LV VLPLODU WR WKH 
FRQILJXUDWLRQ IRU WKH $&& FRPSHWLWLRQ )RU WKH 750mm SRVLWLRQ ZKLFK LV FRQVLGHUHG WKH PRVW
IDYRUDEOH FRQILJXUDWLRQ JLYHQ WKH SDVW H[SHULHQFH WKH WDLO GLVWDQFH IURP WKH ZLQJ ZDV DOVR
FKDQJHG 7KH WDLO PRPHQW DUP ZDV GRXEOHG DQG KDOYHG DFFRPSDQLHG E\ KDOYLQJ DQG GRXEOLQJ


WKH WDLO VXUIDFHV UHVSHFWLYHO\ WR NHHS WKH YROXPH FRHIILFLHQWV FRQVWDQW (TXDWLRQV  DQG 
)RU D WDLO SRVLWLRQ FORVHU WR WKH ZLQJ WKH JOLGH UDWLR ZDV GHFUHDVHG DQG IRU WKH GRXEOHG GLVWDQFH
DV SUHVHQW LQ WKH )LJXUH  WKH JOLGH UDWLR LQFUHDVHV VOLJKWO\

17
Wingtip Conventional Wingtip_y750_dinv Wingtip_y800_z0.1
16 Wingtip_y720 Wingtip_y750 Wingtip_y750_x2 Wingtip_y800

15

14

13
CL/CD

12

11

10

8
0.2 0.4 0.6 0.8 1 1.2 1.4
CL

)LJXUH  ;)/5 FRQILJXUDWLRQ RSWLPL]DWLRQ

(YHQ H[FOXGLQJ WKH FRQILJXUDWLRQ VLPLODU WR WKH  RQH XQGRXEWHGO\ WKDW WKH FRQILJXUD
WLRQ ZLWK WKH LQYHUWHG WDLO GLKHGUDO DQJOH KDV WKH EHVW JOLGH UDWLR DQG KLJKHU HIILFLHQF\ LQFUHDVH
IURP WKH FRQYHQWLRQDO FRQILJXUDWLRQ +RZHYHU ZLWK WKLV FKDQJH WKLV FRQILJXUDWLRQ KDV QRW
DQ\PRUH WKH VDPH DHURG\QDPLF FRQFHSW RI WKLV VWXG\ 7KH WDLO VXUIDFH LV LQ WKH ZLQJV· YRUWH[
SDWK EXW LQ WKH ZLQJV· XSZDVK WKH LQFUHDVH LQ WKH JOLGH UDWLR FRPHV QRW RQO\ IURP WKH GUDJ
GHFUHDVH EXW DOVR IURP DQ LQFUHDVH LQ WKH WRWDO DLUSODQH OLIW 7KH WDLO VXUIDFHV KDYH QRZ D
ORFDO SRVLWLYH DQJOH RI DWWDFN SURGXFLQJ OLIW LQVWHDG RI GRZQIRUFH DV LQ DQ RXWERDUG KRUL]RQWDO
VWDELOL]HUV FRQILJXUDWLRQ 0RUH WKDQ LQFUHDVLQJ WKH JOLGH UDWLR WKLV FRQILJXUDWLRQ DOVR LQFUHDVHV
WKH ORQJLWXGLQDO VWDWLF VWDELOLW\ EXW ZLWK WKH QHJDWLYH QRVH GRZQ SLWFKLQJ PRPHQW WKDW LV
FUHDWHG E\ WKH WDLO LW EHFRPHV H[WUHPHO\ GLIILFXOW WR DFKLHYH D ]HUR SLWFKLQJ PRPHQW YDOXH
ZLWK D FRQYHQWLRQDO FHQWHU RI JUDYLW\ SRVLWLRQ

CL 1.4
0
0 0.2 0.4 0.6 0.8 1 1.2 1.4 1.2
-0.1
1
-0.2 0.8
CL

0.6
Cm

-0.3
Wingtip
0.4 Conventional
-0.4 Wingtip
Wingtip_y750_dinv
Conventional 0.2
Wingtip_y800_z0.1
-0.5 Wingtip_y750_dinv
Wingtip_y800_z0.1 0
-5 0 5 10 15
-0.6 angle of attack, deg

)LJXUH  ;)/5 FXUYHV IRU CL DQG Cm 

7KH OLIW FRHIILFLHQW DQG SLWFKLQJ PRPHQW FXUYHV IRU WKH FRQYHQWLRQDO :77 FRQILJXUDWLRQ
WKH FRQILJXUDWLRQ VLPLODU WR WKH  RQH DQG WKH LQYHUWHG GLKHGUDO DQJOH VLPLODU WR DQ 2+6
FRQILJXUDWLRQ  DUH SUHVHQW LQ )LJXUH  )URP WKH SLWFKLQJ PRPHQW FRHIILFLHQW SORW LW FDQ EH


FRQFOXGHG WKDW QHLWKHU FRQILJXUDWLRQ KDV D ]HUR SLWFKLQJ PRPHQW FRHIILFLHQW YDOXH WKDW LV D
WULPPHG SRLQW WR IO\ HYHQ ZLWK HOHYDWRU RU GHIOHFWLQJ WKH HQWLUH VXUIDFH +RZHYHU ERWK WKH
FRQYHQWLRQDO DQG :77 FRQILJXUDWLRQV ZHUH VXFFHVVIXOO\ IORZQ ZLWK D VWDEOH IO\LQJ SRLQW RYHU D
ZLGH CL UDQJH 7KLV LV VHHQ DV DQRWKHU OLPLWDWLRQ LQ WKH VRIWZDUH XVHG WR REWDLQ WKH QXPHULFDO
UHVXOWV WKH ;)/5 VRIWZDUH



&KDSWHU 

&RQFOXVLRQV

 $FKLHYHPHQWV

7KH FRQFHSW :77 FRQILJXUDWLRQ WKDW XVHV WKH ZLQJWLS YRUWLFHV WR JHQHUDWH D IRUZDUG IRUFH DQG
GHFUHDVHV WKH LQGXFHG GUDJ ZDV VXFFHVVIXOO\ DQG H[WHQVLYHO\ IORZQ DFURVV WKH HQWLUH IOLJKW HQ
YHORSH JDWKHULQJ IOLJKW GDWD DQG H[SHULHQFH ZLWK WKLV QRQFRQYHQWLRQDO DLUSODQH FRQILJXUDWLRQ

6HYHUDO IOLJKW WHVWV ZHUH FRQGXFWHG ZLWK WKLV FRQILJXUDWLRQ DQG ZLWK D EDVHOLQH FRQYHQWLRQDO
FRQILJXUDWLRQ 7KH IOLJKW WHVWLQJ PHWKRGRORJ\ EDVHG LQ WKH HQHUJ\ RI WKH DLUSODQH DQG LQ WKH
FKDQJHV EHWZHHQ WKH SRWHQWLDO DQG NLQHWLF HQHUJ\ DOORZHG QRW RQO\ WKH FKDUDFWHUL]DWLRQ RI WKH
GUDJ SRODU RI ERWK DLUFUDIW EXW DOVR WKH FKDUDFWHUL]DWLRQ RI WKH SURSXOVLYH V\VWHP ZLWKRXW RWKHU
IDFLOLWLHV DV ZLQG WXQQHOV

7KURXJK WKH IOLJKW WHVWLQJ RI ERWK FRQILJXUDWLRQV LW ZDV FRQILUPHG WKH HIILFLHQF\ LQFUHDVH RI
WKH :77 FRQILJXUDWLRQ IRU WKH LQWHUPHGLDWH UDQJH RI OLIW FRHIILFLHQW YDOXHV DV ZDV DOVR H[SHFWHG
IURP WKH QXPHULFDO DQDO\VLV ZLWK WKH ;)/5 VRIWZDUH

$ ORZ ZHLJKW VPDOO DQG ORZ FRVW GDWD DFTXLVLWLRQ HTXLSPHQW EDVHG LQ WKH RSHQ VRXUFH
PLFURFRQWUROOHU $UGXLQR ZDV GHYHORSHG 7KH V\VWHP SURYHG LWV FDSDELOLW\ WR JDWKHU WKH IOLJKW
GDWD DQG LWV UHOLDELOLW\ ZRUNLQJ IODZOHVVO\ GXULQJ WKH IOLJKW WHVWLQJ FDPSDLJQ

 )XWXUH :RUN

$V DOUHDG\ GLVFXVVHG WKURXJKRXW WKH GRFXPHQW WKHUH DUH VRPH OLPLWDWLRQV DQG SRVVLEOH LPSURYH
PHQWV WR WKH ZRUN 7KLV WKHVLV IRFXVHG QRW RQO\ LQ FRPSOHWLQJ WKH LQLWLDO REMHFWLYHV EXW DOVR
LQ OHDYLQJ DOUHDG\ D IHZ ZD\V WR LPSURYH WKH IOLJKW WHVWLQJ RI DLUFUDIW DQG LPSURYH WKLV QHZ
FRQILJXUDWLRQ

&RQFHUQLQJ WKH :77 FRQILJXUDWLRQ

• 7KH SUHVHQWHG ZRUN LQ &KDSWHU  LQFOXGHV D VHULHV RI GLIIHUHQW WDLO RSWLRQV IRU WKH VWXGLHG
DLUFUDIW ZLWK D KLJKHU HIILFLHQF\ LQFUHDVH WKDQ WKH RQH XVHG LQ WKH SUHVHQW VWXG\ ([DFWO\
WKH VDPH DLUSODQH PLJKW EH PRGLILHG DQG WKH HQWLUH VWXG\ UHSHDWHG WKLV WLPH KDYLQJ
DOUHDG\ WKHVH UHVXOWV DV D FRPSDULVRQ

• 'HYHORS WKLV FRQFHSW WKURXJK &)' VLPXODWLRQV RSWLPL]H D QHZ DLUFUDIW ZLWK WKLV WDLO FRQILJX
UDWLRQ DQG UHSHDW WKH IOLJKW WHVWV WR GRFXPHQW D VXEVWDQWLDO HIILFLHQF\ LQFUHDVH IURP WKLV
LQQRYDWLYH FRQFHSW DQG WDLO FRQILJXUDWLRQ


 &RQFHUQLQJ WKH IOLJKW WHVWLQJ

• $V VWDWHG ZLWK WKH XQFHUWDLQW\ DQDO\VLV WKH PDMRU XQFHUWDLQW\ DQG UHVXOWV GLVSHUVLRQ FRPHV
IURP WKH DLUVSHHG VHQVRU &KDQJLQJ WKH FXUUHQW DQDORJ VHQVRU IRU WKH PRUH SUHFLVH GLJL
WDO RQH >@  VKRXOG EH GRQH EHIRUH FDUU\LQJ PRUH IOLJKW WHVWV ZLWK WKH GHYHORSHG GDWD
DFTXLVLWLRQ HTXLSPHQW

• 'HYHORSLQJ D OLEUDU\ WR FRPPXQLFDWH ZLWK WKH *36 PRGXOH EULQJV WKH SRVVLELOLW\ WR LPSURYH
WKH GDWD DFTXLVLWLRQ HTXLSPHQW LQ VHYHUDO ZD\V LW ZRXOG DOORZ D KLJKHU GDWD UDWH DQG
LI WKH GHYHORSHG OLEUDU\ XVHV OHVV PHPRU\ ZKLFK LV SRVVLEOH E\ UHPRYLQJ VRPH IXQFWLRQV
WKDW DUH QRW FUXFLDO WKH PLFURFRQWUROOHU ERDUG FRXOG EH FKDQJHG E\ D OLJKWHU VPDOOHU DQG
FKHDSHU RQH


%LEOLRJUDSK\

>@ 6 ) +RHUQHU )OXLG '\QDPLF 'UDJ     

>@ +RZ WR FDOFXODWH GUDJ RQ DQ DLUIRLO IURP PRPHQWXP HTXDWLRQ /DVW YLVLWHG DW WK
0D\  >2QOLQH@ $YDLODEOH KWWSVDYLDWLRQVWDFNH[FKDQJHFRPTXHVWLRQV
KRZWRFDOFXODWHWKHGUDJRQDQDLUIRLOIURPPRPHQWXPHTXDWLRQIXQGDPHQWDORID 

>@ ' 3 5D\PHU $LUFUDIW 'HVLJQ $ &RQFHSWXDO $SSURDFK $PHULFDQ ,QVWLWXWH RI $HURQDXWLFV
DQG $VWURQDXWLFV ,QF   

>@ - ' $QGHUVRQ )XQGDPHQWDOV RI $HURG\QDPLFV 0F*UDZ+LOO ,QF   

>@ - .DW] DQG $ 3ORWNLQ /RZ6SHHG $HURG\QDPLFV )URP :LQJ 7KHRU\ WR 3DQHO 0HWKRGV
0F*UDZ+LOO ,QF   

>@ 5 ( 0LQHFN . : 0RUWDUD ' 0 6WUDXVVIRJHO DQG 0 ' 0DXJKPHU ´$QDO\VLV DQG 'HVLJQ RI
3ODQDU DQG 1RQ3ODQDU :LQJV IRU ,QGXFHG 'UDJ 0LQLPL]DWLRQµ 7HFK 5HS 1$6$ &5
 

>@ 8 /D 5RFKH DQG 6 3DOII\ ´:LQJ*ULG D 1RYHO 'HYLFH IRU 5HGXFWLRQ RI ,QGXFHG 'UDJ RQ
:LQJVµ LQ $,$$\,&$6 ,QWHUQDWLRQDO $LU DQG 6SDFH 6\PSRVLXP DQG ([SRVLWLRQ  SS
²   

>@ 0 0XQN ´(OHPHQWV RI WKH :LQJ 6HFWLRQ 7KHRU\ DQG RI WKH :LQJ 7KHRU\µ 1DWLRQDO $GYLVRU\
&RPPLWWHH IRU $HURQDXWLFV 7HFK 5HS 1$&$ 1R    

>@ , .URR ´'UDJ 'XH 7R /LIW &RQFHSWV IRU 3UHGLFWLRQ DQG 5HGXFWLRQµ $QQXDO 5HYLHZ RI )OXLG
0HFKDQLFV QR  SS ²    

>@ 6 & 6PLWK DQG , 0 .URR ´&RPSXWDWLRQ RI ,QGXFHG 'UDJ IRU (OOLSWLFDO DQG &UHVFHQW6KDSHG
:LQJVµ -RXUQDO RI $LUFUDIW YRO  QR  SS ²    

>@ - ' $QGHUVRQ $LUFUDIW 3HUIRUPDQFH DQG 'HVLJQ 0F*UDZ+LOO ,QF   

>@ - ( <DWHV DQG & 'RQDOGVRQ ´$ )XQGDPHQWDO 6WXG\ RI 'UDJ DQG DQ $VVHVVPHQW RI &RQYHQ
WLRQDO 'UDJ'XHWR/LIW 5HGXFWLRQ 'HYLFHVµ 7HFK 5HS 1$6$ &5  

>@ 6 +RHUQHU ´$HURG\QDPLF 6KDSH RI WKH :LQJ 7LSVµ :ULJKW3DWWHUVRQ $LU )RUFH %DVH 7HFK
5HS $) 7HFKQLFDO 5HSRUW   

>@ % ( 7LQOLQJ DQG : 5 .RON ´7KH (IIHFWV RI &HQWUDOO\ 0RXQWHG :LQJ7LS 7DQNV RQ WKH
6XEVRQLF $HURG\QDPLF &KDUDFWHULVWLFV RI D :LQJ RI $VSHFW 5DWLR  ZLWK ž RI 6ZHHSEDFNµ
7HFK 5HS 1$6$ 50$.  

>@ & 9DQ'DP ´,QGXFHG'UDJ &KDUDFWHULVWLFV RI &UHVFHQW0RRQ6KDSHG :LQJVµ -RXUQDO RI

$LUFUDIW YRO  QR  SS ²  

>@ 0 9 /RZVRQ ´0LQLPXP ,QGXFHG 'UDJ IRU :LQJV ZLWK 6SDQZLVH &DPEHUµ -RXUQDO RI $LU
FUDIW YRO  QR  SS ²  

>@ + =LPPHU ´7KH $HURG\QDPLF 2SWLPL]DWLRQ RI :LQJV DW 6XEVRQLF 6SHHGV DQG WKH ,QIOXHQFH
RI :LQJWLS 'HVLJQµ 7HFK 5HS 1$6$ 70    


>@ 3 6 .LUN DQG 5 :KLWFRPE ´6\VWHP IRU ,QFUHDVLQJ $LUSODQH )XHO 0LOHDJH DQG $LUSODQH :LQJ
0RGLILFDWLRQ .LWµ  X6$ 

>@ - ( +DFNHWW ´9RUWH[ 'LIIXVHUµ  XQLWHG 6WDWHV  

>@ & ' &RQH ´7KH 7KHRU\ RI ,QGXFHG /LIW DQG 0LQLPXP ,QGXFHG 'UDJ RI 1RQSODQDU /LIWLQJ
6\VWHPVµ 7HFK 5HS 1$6$ 755   

>@ - - 6SLOOPDQ ´7KH 8VH RI :LQJ 7LS 6DLOV WR 5HGXFH 9RUWH[ 'UDJµ $HURQDXWLFDO -RXUQDO
QR  SS ²  

>@ / / +HUULFN % %D\V0XFKPRUH 0 6 +RIIPDQ / /H*UDQG 6 6 2JJ % 3 - 3DXO . '

9LVVHU DQG 6 / :HOOV ´%OXQW/HDGLQJ(GJH 5DNHG :LQJWLSVµ  X6$ 

>@ - ) +DOSHUW ' + 3UHVFRWW 7 5 <HFKRXW DQG 0 $UQGW ´$HURG\QDPLF 2SWLPL]DWLRQ

DQG (YDOXDWLRQ RI .&5 :LQJOHWV  5DNHG :LQJWLSV  DQG D :LQJVSDQ ([WHQVLRQµ $,$$
-RXUQDO YRO  QR -DQXDU\ S   

>@ / % *UDW]HU ´6SLURLG7LSSHG :LQJµ  X6 

>@ . * +HIIHUQDQ ´7UDLOLQJ 9RUWH[ $WWHQXDWLRQ 'HYLFHVµ 0DVWHU·V 7KHVLV 1DYDO 3RVWJUDGXDWH
6FKRRO 0RQWHUH\ &DOLIRUQLD  

>@ + ' &pURQ0XxR] 5 &RVLQ 5 ) ) &RLPEUD / * 1 &RUUHD DQG ) 0 &DWDODQR ´([

SHULPHQWDO ,QYHVWLJDWLRQ RI :LQJ7LS 'HYLFHV RQ WKH 5HGXFWLRQ RI ,QGXFHG 'UDJµ -RXUQDO
RI $LUFUDIW YRO  QR  SS ²   

>@ - & - 3DWWHUVRQ DQG * 5 %DUWOHWW ´(YDOXDWLRQ RI ,QVWDOOHG 3HUIRUPDQFH RI D :LQJ7LS

0RXQWHG 3XVKHU 7XUERSURS RQ D 6HPLVSDQ :LQJµ 7HFK 5HS 1$6$ 73   

>@ - $ .HQWILHOG ´$LUFUDIW ZLWK RXWERDUG KRUL]RQWDO VWDELOL]HUV KLVWRU\ FXUUHQW VWDWXV GH
YHORSPHQW SRWHQWLDOµ 3URJUHVV LQ $HURVSDFH 6FLHQFHV YRO  QR  SS ² 


>@ - : 0F*LQQLV ´(IILFLHQW &RQWURO DQG 6WDOO 3UHYHQWLRQ LQ $GYDQFHG &RQILJXUDWLRQ $LUFUDIWµ
 X6  

>@ - $ .HQWILHOG ´8SZDVK )ORZILHOGV DW WKH 7DLOV RI $LUFUDIW ZLWK 2XWERDUG +RUL]RQWDO 6WD
ELOL]HUVµ $,$$ YRO  QR  SS ²  

>@ $ + %RZHUV 2 - 0XULOOR 5 5 -HQVHQ % (VOLQJHU DQG & *HO]HU ´2Q :LQJV RI WKH
0LQLPXP ,QGXFHG 'UDJ  6SDQORDG ,PSOLFDWLRQV IRU $LUFUDIW DQG %LUGVµ 7HFK 5HS 1$6$73
  

>@ )O\LQJ :LQJ6KDSHG ([SHULPHQWDO $LUSODQH 9DOLGDWLQJ 1HZ :LQJ 'HVLJQ 0HWKRG /DVW YLVLWHG
DW WK 0DUFK  >2QOLQH@ $YDLODEOH KWWSVZZZQDVDJRYFHQWHUVDUPVWURQJ
IHDWXUHV3UDQGWO'^B`YDOLGDWLQJ^B`QHZ^B`ZLQJ^B`GHVLJQKWPO 

>@ 5 ' .LPEHUOLQ )OLJKW WHVWLQJ RI IL[HGZLQJ DLUFUDIW $PHULFDQ ,QVWLWXWH RI $HURQDXWLFV
DQG $VWURQDXWLFV ,QF   

>@ ( 6 5XWRZVNL ´(QHUJ\ $SSURDFK WR WKH *HQHUDO $LUFUDIW 3HUIRUPDQFH 3UREOHPµ -RXUQDO
RI WKH $HURQDXWLFDO 6FLHQFHV YRO  QR  SS ²  

>@ - 5 &KDPEHUV 0RGHOLQJ IOLJKW WKH UROH RI G\QDPLFDOO\ VFDOHG IUHHIOLJKW PRGHOV LQ
VXSSRUW RI 1$6$·V DHURVSDFH SURJUDPV  


>@ * ' %XGG 5 / *LOPDQ DQG ' (LFKVWHGW ´2SHUDWLRQDO DQG 5HVHDUFK $VSHFWV RI D 5DGLR
&RQWUROOHG 0RGHO )OLJKW 7HVW 3URJUDPµ 7HFK 5HS 1$6$ 70  

>@ : :LOOLDPV DQG 0 +DUULV ´7KH &KDOOHQJHV RI )OLJKW7HVWLQJ 8QPDQQHG $LU 9HKLFOHVµ 6\V
WHPV (QJLQHHULQJ 7HVW (YDOXDWLRQ &RQIHUHQFH   

>@ 0 : *UHHQ ´'HWHUPLQDWLRQ RI WKH /LIW $QG 'UDJ &KDUDFWHULVWLFV RI DQ $LUSODQH LQ )OLJKWµ
7HFK 5HS 1$&$ 1R   

>@ ) 0 $ 6LOYD DQG 3 + , $ 2OLYHLUD ´'HYHORSPHQW RI D 'DWD $FTXLVLWLRQ 6\VWHP IRU /LJKW
$LUSODQHV )OLJKW 7HVWVµ LQ WK ,QWHUQDWLRQDO &RQJUHVV RI 0HFKDQLFDO (QJLQHHULQJ 


>@ $ * 'H$QGD ´6WDQGDUG $LUVSHHG &DOLEUDWLRQ 3URFHGXUHVµ (GZDUGV $)% &DOLIRUQLD 7HFK
5HS $LU )RUFH )OLJKW 7HVW &HQWHU7,+  

>@ 5 ' .LPEHUOLQ DQG - 3 6LPV ´$LUVSHHG &DOLEUDWLRQ 8VLQJ *36µ LQ WK $,$$ %LHQQLDO )OLJKW
7HVW &RQIHUHQFH +LOWRQ +HDG ,VODQG 6&  

>@ 5 7 0DUVKDOO DQG : * 6FKZHLNKDUG ´0RGHOLQJ RI $LUSODQH 3HUIRUPDQFH IURP )OLJKW7HVW

5HVXOWV DQG 9DOLGDWLRQ ZLWK DQ )* $LUSODQHµ 7HFK 5HS 1$6$ 71 '  

>@ - 1RUULV DQG $ % %DXHUI ´=HUR7KUXVW *OLGH 7HVWLQJ IRU 'UDJ DQG 3URSXOVLYH (IILFLHQF\ RI
3URSHOOHU $LUFUDIWµ -RXUQDO RI $LUFUDIW YRO  QR  SS ²  

>@ 7 0 )RVWHU DQG : - %RZPDQ ´'\QDPLF 6WDELOLW\ DQG +DQGOLQJ 4XDOLWLHV RI 6PDOO
8QPDQQHG$HULDO9HKLFOHVµ LQ UG $,$$ $HURVSDFH 6FLHQFHV 0HHWLQJ DQG ([KLELW 
SS ² 

>@ 8O /\ DQG 6L +LJDVKLQR ´'HYHORSPHQW RI D 8$9 )OLJKW7HVW 9HKLFOH DW WKH 8QLYHUVLW\ RI
:DVKLQJWRQµ LQ QG $,$$ µ8QPDQQHG 8QOLPLWHGµ 6\VWHPV 7HFKQRORJLHV DQG 2SHUDWLRQV
³ $HURVSDFH 6DQ 'LHJR &DOLIRUQLD  SS ² 

>@ 0 5DPåDN ´5DGLR &RQWUROOHG 6DLOSODQH )OLJKW ([SHULPHQWDO DQG 1XPHULFDO $QDO\VLVµ
6WURMQLVNL 9HVWQLN-RXUQDO RI 0HFKDQLFDO (QJLQHHULQJ YRO  QR  SS ² 


>@ % 6 +LOOHU ´(VWLPDWLRQ RI 'UDJ &KDUDFWHULVWLFV RI D )L[HG :LQJ 8QPDQQHG $HULDO 9HKL
FOHµ LQ $,$$·V VW 7HFKQLFDO &RQIHUHQFH DQG :RUNVKRS RQ 8QPDQQHG $HURVSDFH 9HKLFOHV
3RUWVPRXWK 9LUJLQLD  SS ² 

>@ :M -LQ DQG <J /HH ´,Q)OLJKW DQG 1XPHULFDO 'UDJ 3UHGLFWLRQ RI D 6PDOO (OHFWULF $HULDO
9HKLFOHµ LQ 3URFHHGLQJ RI WKH  .RUHDQ 6RFLHW\ IRU $HURQDXWLFDO 6SDFH 6FLHQFHV
.6$6 6SULQJ &RQIHUHQFH  SS ²  

>@ - 1 2VWOHU : - %RZPDQ ' 2 6Q\GHU DQG 7 : 0F/DLQ ´3HUIRUPDQFH )OLJKW 7HVWLQJ
RI 6PDOO (OHFWULF 3RZHUHG 8QPDQQHG $HULDO 9HKLFOHVµ ,QWHUQDWLRQDO -RXUQDO RI 0LFUR $LU
9HKLFOHV YRO  QR  SS ²    

>@ ;IOU $QDO\VLV WRRO IRU DLUIRLOV ZLQJV DQG SODQHV RSHUDWLQJ DW ORZ UH\QROGV QXPEHUV /DVW
YLVLWHG DW WK )HEUXDU\  >2QOLQH@ $YDLODEOH KWWSZZZ[IOUFRP[IOUKWP 

>@ 0 'UHOD ;)2,/ 6XEVRQLF $LUIRLO 'HYHORSPHQW 6\VWHP /DVW YLVLWHG DW WK $SULO 
>2QOLQH@ $YDLODEOH KWWSZHEPLWHGXGUHOD3XEOLFZHE[IRLO 


>@ ;)/5 ´6RIWZDUH 'RFXPHQWDWLRQ $QDO\VLV RI IRLOV DQG ZLQJV RSHUDWLQJ DW ORZ 5H\QROGV
QXPEHUVµ 7HFK 5HS  

>@ % 0DVNHZ ´$ 4XDGULODWHUDO 9RUWH[ 0HWKRG $SSOLHG WR &RQILJXUDWLRQV ZLWK +LJK &LUFXOD
WLRQµ 7HFK 5HS 1$6$ 1  

>@ $ & &KDOOHQJH ´5HTXLUHPHQWV 5XOHV DQG (YDOXDWLRQ IRU WKH $LU &DUJR &KDOOHQJH µ
 

>@ $[L *ROG HOHFWULF PRWRU VSHFLILFDWLRQV /DVW YLVLWHG DW WK 0DUFK  >2QOLQH@
$YDLODEOH KWWSVZZZPRGHOPRWRUVF]SURGXFWGHWDLO 

>@ &DVWOH &UHDWLRQV (6& VSHFLILFDWLRQV /DVW YLVLWHG DW WK 0DUFK  >2QOLQH@ $YDLODEOH
KWWSZZZFDVWOHFUHDWLRQVFRPHQSKRHQL[HGJHOLWHHVF 

>@ 6/6 $3/ EDWWHU\ VSHFLILFDWLRQV /DVW YLVLWHG DW UG 0DUFK  >2QOLQH@
$YDLODEOH KWWSVZZZVWHIDQVOLSRVKRSGHHQ%DWWHULHV6/60XOWLURWRUKLJK&DSDFLW\
6/6$3/6/6$3/P$K639&&KWPO 

>@ %DVKHU EDWWHU\ VSHFLILFDWLRQV /DVW YLVLWHG DW UG 0DUFK  >2QOLQH@ $YDLODEOH KWWSV
KREE\NLQJFRPHQBXVEDVKHUPDKVFKDUGFDVHSDFNKWPO"BBBVWRUH HQBXV 

>@ $3& SURSHOOHU VSHFLILFDWLRQV /DVW YLVLWHG DW UG 0DUFK  >2QOLQH@ $YDLODEOH
KWWSVZZZDSFSURSFRPSURGXFW[ 

>@ $UGXLQR PHJD VSHFLILFDWLRQV /DVW YLVLWHG DW UG 0DUFK  >2QOLQH@ $YDLODEOH
KWWSVVWRUHDUGXLQRFFDUGXLQRPHJDUHY  

>@ $UGXLQR PHJD /DVW YLVLWHG DW WK 0D\  >2QOLQH@ $YDLODEOH KWWSVZZZ
LQGLDPDUWFRPSURGGHWDLODUGXLQRPHJDZLWKXVEFDEOHKWPO 

>@ $GDIUXLW *36 VSHFLILFDWLRQV /DVW YLVLWHG DW UG 0DUFK  >2QOLQH@ $YDLODEOH
KWWSVZZZDGDIUXLWFRPSURGXFW  

>@ %03 SUHVVXUH VHQVRU GDWDVKHHW /DVW YLVLWHG DW UG 0DUFK  >2QOLQH@ $YDLODEOH
KWWSVFGQVKRSDGDIUXLWFRPGDWDVKHHWV%67%03'6SGI 

>@ %03  SUHVVXUH VHQVRU /DVW YLVLWHG DW WK 0D\  >2QOLQH@ $YDLODEOH
KWWSEGVSHHG\WHFKFRPLQGH[SKS"URXWH SURGXFWSURGXFW SURGXFWBLG  

>@ 03;9 GLIIHUHQWLDO SUHVVXUH VHQVRU GDWDVKHHW /DVW YLVLWHG DW UG 0DUFK 
>2QOLQH@ $YDLODEOH KWWSVZZZQ[SFRPGRFVHQGDWDVKHHW03;9SGI   

>@ 03;9GS GLIIHUHQWLDO SUHVVXUH VHQVRU /DVW YLVLWHG DW WK 0D\  >2Q
OLQH@ $YDLODEOH KWWSVZZZRSHQLPSXOVHFRPEORJSURGXFWVSDJHSURGXFWFDWHJRU\
PS[YGSSUHVVXUHVHQVRUPRGXOH 

>@ $&6 FXUUHQW VHQVRU GDWDVKHHW /DVW YLVLWHG DW UG 0DUFK  >2QOLQH@ $YDLODEOH
JRRJO$W.+9+  

>@ $&6 FXUUHQW VHQVRU /DVW YLVLWHG DW WK 0D\  >2QOLQH@ $YDLODEOH JRRJO=05\


>@ 6& FDUG UHDGZULWHU LQIRUPDWLRQ /DVW YLVLWHG DW UG 0DUFK  >2QOLQH@
$YDLODEOH KWWSKHQU\VEHQFKFDSQIDW]FRPKHQU\VEHQFKDUGXLQRRXWSXWGHYLFHV
DUGXLQROFVWXGLRVGFDUGWXWRULDO 


>@ /HYHO VKLIWHU GDWDVKHHW /DVW YLVLWHG DW UG 0DUFK  >2QOLQH@ $YDLODEOH
KWWSVZZZQ[SFRPGRFVHQGDWDVKHHW+&SGI 

>@ /HYHO VKLIWHU /DVW YLVLWHG DW WK 0D\  >2QOLQH@ $YDLODEOH KWWSVXNUVRQOLQH
FRPZHESEXIIHUOLQHGULYHUFRPELQDWLRQV 

>@ ,QWURGXFWLRQ WR 7KHRUHWLFDO &RPSXWHU 6FLHQFH ³ %RD] %DUDN /DVW YLVLWHG DW WK 0D\
 >2QOLQH@ $YDLODEOH KWWSZZZLQWURWFVRUJSXEOLFOHFBBSUREDELOLW\KWPO 

>@ : - 'HYHQSRUW DQG $ %RUJROW] %DVLF &RQFHSWV LQ ([SHULPHQWV /DVW YLVLWHG DW VW
-XO\  >2QOLQH@ $YDLODEOH KWWSZZZGHSWDRHYWHGXaDERUJROWDRHPDQXDO
FKLQGH[KWPO 

>@ $UGXSLORW 8VLQJ DQ $LUVSHHG 6HQVRU /DVW YLVLWHG DW WK 0D\  >2QOLQH@ $YDLODEOH
KWWSDUGXSLORWRUJSODQHGRFVDLUVSHHGKWPO 

>@ 'LJLWDO GLIIHUHQWLDO SUHVVXUH VHQVRU GDWDVKHHW /DVW YLVLWHG DW WK $SULO  >2QOLQH@
$YDLODEOH JRRJO%P5GL  

>@ - $QGUDåHF 0 %DODåNR - ąXOLQD DQG , .QH]RYLĄ ´3URMHNW OHWMHOLFH +86= 7HUQµ )DNXOWHW
6WURMDUVWYD L %URGRJUDGQMH 7HFK 5HS   

>@ $ 6WXWWJDUW ´$LU &DUJR &KDOOHQJH  3URMHFW 5HSRUWµ   

>@ 3URSHOOHU VHOHFWRU VRIWZDUH /DVW YLVLWHG DW WK 0D\  >2QOLQH@ $YDLODEOH
KWWSZZZKRSSHQEURXZHUKRPHQOLNDUXVVRIWZDUHSURSVHOHFWRUKWP 



$SSHQGL[ $

$SSHQGL[

)LJXUH $ :LQJ WLS WDLO WXEH EHIRUH WKH FUHDWLRQ RI WKH LQWHUIDFH

)LJXUH $ 7DLO VXUIDFH WXEH ZLWK IHPDOH LQWHUIDFH DQG ' SULQWHG FODPS IRU ZLQJ DWWDFKPHQW


 )LJXUH $ :LQJ WLS WDLO WXEH ZLWK KDUG SRLQW WR UHFHLYH WKH WDLO VXUIDFH FODPS


)LJXUH $ 'DWD $FTXLVLWLRQ 6\VWHP 6FKHPDWLF