Page 1 of 8

&21752/2)0,&52*5,'&211(&7('396285&(6


$OL(OUD\\DK
D\H#]LSVXDNURQHGX

<LOPD]6R]HU

0DOLN(OEXOXN

\V#XDNURQHGX


'HSDUWPHQWRI(OHFWULFDODQGFRPSXWHU(QJLQHHULQJ
7KH8QLYHUVLW\RI$NURQ

PHOEXOXN#XDNURQHGX


$EVWUDFW  7KLV SDSHU VWXGLHV WKH FRQWURO FRQILJXUDWLRQ RI D
0LFURJULG &RQQHFWHG 3KRWR 9ROWDLF 0&39 VRXUFH ,Q WKH
FRQWURO RI D 0&39 PD[LPXP SRZHU SRLQW 033 WUDFNLQJ
GURRS FRQWURO DQG '& EXV YROWDJH UHJXODWLRQ DUH WKH PDLQ
UHTXLUHG IXQFWLRQV 7R LQFUHDVH WKHLU SHQHWUDWLRQ LQ WKH
PLFURJULG0&39VRXUFHVKDYHWRSDUWLFLSDWHLQWKHPLFURJULGV
IUHTXHQF\ UHJXODWLRQ &RQVHTXHQWO\ 0&39 PD\ EH IRUFHG WR
GHSDUW IURP 033 IRU VKRUW SHULRGV RI WLPH ,Q WKLV SDSHU D
FRQWUROPHWKRGLVSURSRVHGWRRSHUDWHWKH0&39LQWKH033DW
DOOWLPHVH[FHSWZKHQWKHUHLVDQHHGWRVWDELOL]HWKHIUHTXHQF\
7KH PHWKRG DFKLHYHV WKLV REMHFWLYH DXWRQRPRXVO\ ZLWKRXW DQ\
QHHG WR FKDQJH WKH FRQWURO FRQILJXUDWLRQ 7KLV PHWKRG LV
H[SODLQHG DQG LWV VXSHULRULW\ RYHU RWKHU FRQWUROOHUV WR DFKLHYH
WKH VDPH REMHFWLYH LV LQYHVWLJDWHG 7KH SDUDPHWHUV RI WKH
XQLYHUVDO FRQWUROOHU DUH VHOHFWHG VXFK WKDW WKH FRQWUROOHU FDQ
DFKLHYH WKH UHTXLUHG SHUIRUPDQFH 7KH VXJJHVWHG FRQWURO
FRQILJXUDWLRQVDUHYDOLGDWHGWKURXJKVLPXODWLRQVWXGLHV


,QGH[ 7HUPV  3KRWRYROWDLF 39 0LFURJULG 'URRS
&RQWURO 0D[LPXP 3RZHU 3RLQW 7UDFNLQJ 033 DQG
&RQWUROOHUV&RQILJXUDWLRQV

, ,1752'8&7,21
'XHWRPDQ\HQYLURQPHQWDODQGHFRQRPLFDOUHDVRQVWKHUHLV
LQFUHDVLQJ LQWHUHVW LQ PRUH GHSOR\PHQW RI UHQHZDEOH HQHUJ\
VRXUFHV ,Q DGGLWLRQ WKH SRZHU V\VWHP QHHG WR EH H[SDQGHG
ERWK KRUL]RQWDOO\ JHRJUDSKLFDO H[SDQVLRQ >@ >@ DQG
YHUWLFDOO\ SRZHU TXDOLW\ >@ 2QH SURSRVHG VROXWLRQ WKDW
PD\SURYLGHUHPHGLHVIRUWKHVHLVVXHVLVWKHPLFURJULGZKLFK
LVGHILQHGDVDQLQGHSHQGHQW ORZRU PHGLXPYROWDJHSRZHU
QHWZRUN FRPSULVLQJ YDULRXV GLVWULEXWHG JHQHUDWRUV HQHUJ\
VWRUDJHV DQG FRQWUROODEOH ORDGV  7KH PLFURJULG FDQ EH
RSHUDWHG LQ WKUHH GLVWLQFW PRGHV  JULGFRQQHFWHG 
LVODQGHGDXWRQRPRXVRUWUDQVLWLRQPRGH>@
2QHRI WKH PRVWSURPLVLQJUHQHZDEOHHQHUJ\VRXUFHV5(6
LVWKHSKRWRYROWDLF397KHLQFUHDVLQJLQWHUHVWLQ39EDVHG
VRXUFHV LV GXH WR WKHLU PDQ\ DGYDQWDJHV VXFK DV HDVH RI
LQVWDOODWLRQOHVVPDLQWHQDQFHDQGORQJOLIHWLPH>@
)RUEHWWHUFRQWURODQGHDVLHULQWHJUDWLRQD39VRXUFHFDQEH
SDUW RI D PLFURJULG RSHUDWHG DV PLFURJULGFRQQHFWHG 39
0&39VRXUFH>@>@7KHPRVWHIILFLHQWXVHRIWKH0&39
VRXUFH LV WR RSHUDWH LW LQ WKH PD[LPXP SRZHU SRLQW 033
WKURXJKRXW LWV RSHUDWLRQ WLPH 7KH FRQFHSW RI SURGXFLQJ D
JLYHQ DPRXQW RI SRZHU XVLQJ 033 VKRXOG EH ZRUNLQJ LQ
KDUPRQ\ ZLWK NHHSLQJ EDODQFH EHWZHHQ VXSSO\ DQG GHPDQG
>@ :KHQ WKH SHQHWUDWLRQ RI WKH 0&39 VRXUFHV LQFUHDVHV

ZKLFKLVWKHSUHIHUUHGVFHQDULR>@DVSHFLDODWWHQWLRQKDVWR
EH SDLG WR WKH 0&39 SURGXFHG SRZHU WR HQVXUH WKH VWDEOH
PLFURJULGRSHUDWLRQ
7KHREMHFWLYHRIWKLVSDSHULVWRGHYHORSFRQWUROV\VWHPVIRU
WKH 0&39 VRXUFHV WKDW LQFUHDVH WKHLU SHQHWUDWLRQ LQ WKH
PLFURJULG 7KH PDLQ LGHD LV WR PDNH WKH 0&39 VRXUFHV
RSHUDWH LQ WKH 033 IRU WKH ORQJHVW SRVVLEOH WLPH +RZHYHU
ZKHQ WKHUH LV D PLVPDWFK EHWZHHQ VXSSO\ DQG GHPDQG WKH
0&39 VKRXOG GHYLDWH IURP WKH 033 WHPSRUDULO\ WR
SDUWLFLSDWHLQVWDELOL]LQJWKHSRZHUIORZDQGIUHTXHQF\$IWHU
DFKLHYLQJWKDWWKH0&39VRXUFHVFDQEHVHWEDFNWRWKH033
ZLWKRXWDIIHFWLQJWKHVWDELOLW\RIWKHPLFURJULG6ZLWFKLQJWKH
FRQWURO REMHFWLYH EHWZHHQ WUDFNLQJ WKH 033 DQG VWDELOL]LQJ
WKH IUHTXHQF\ QHHGV WR EH SHUIRUPHG DXWRQRPRXVO\ ZLWK QR
H[WHUQDOFRPPDQGIURPVXSHUYLVRU\FRQWUROOHUV,QWKLVZD\
WKHFRQWURORIWKH0&39ZLOOEHVLPSOHHIILFLHQWDQGKDYHD
SOXJDQGSOD\FDSDELOLW\
7KH SDSHU LV RUJDQL]HG DV IROORZV ,Q 6HFWLRQ ,, WKH PDLQ
FRQWURO IXQFWLRQV WR EH LPSOHPHQWHG E\ WKH 0&39 DUH
H[SODLQHG7KHUHDUHGLIIHUHQWSDUDPHWHUVWKDWFDQEHXVHGWR
PDQLSXODWHWKHRSHUDWLRQRIWKH0&397KHVHSDUDPHWHUVDQG
WKHLU HIIHFW RQ WKH 0&39 DUH GLVFXVVHG LQ 6HFWLRQ ,,, 7R
FRQWUROWKH0&39LWFDQVZLWFKEHWZHHQDQG033WUDFNLQJ
0337 FRQWUROOHUV DQG D GURRS FRQWUROOHU EDVHG RQ
PLFURJULG VWDWXV 7KLV FRQWUROOHU LV FDOOHG LQ WKLV SDSHU WKH
K\EULG FRQWUROOHU DQG LV GHILQHG LQ 6HFWLRQ ,9 7KH K\EULG
FRQWUROOHU VXIIHUV IURP VRPH SUREOHPV WKHUHIRUH DQRWKHU
FRQWUROOHUGHQRWHGDVWKHXQLYHUVDOFRQWUROOHUWKDWLVIUHHIURP
WKRVH SUREOHPV LV SURSRVHG LQ WKH VDPH VHFWLRQ 6LPXODWLRQ
UHVXOWVWRYDOLGDWHWKHHIIHFWLYHQHVVRIWKHSURSRVHGFRQWUROOHU
DUHSUHVHQWHGLQ6HFWLRQ9
,, 32:(5)/2:,10&39
7KHPRVWHIILFLHQWXVHRIWKH0&39VRXUFHLVWRRSHUDWHLWDW
033 +RZHYHU ZKHQ WKH 0&39V SHQHWUDWLRQ LQ WKH
PLFURJULG LV KLJK WKH\ PD\ QHHG WR SDUWLFLSDWH LQ WKH
IUHTXHQF\ UHJXODWLRQ 2WKHUZLVH DV IHZHU XQLWV SHUIRUP
IUHTXHQF\ FRQWURO WKH VWHDG\VWDWH IUHTXHQF\ ZLOO EH
QHJDWLYHO\ DIIHFWHG >@ 7R VWDELOL]H WKH YROWDJH DQG WKH
IUHTXHQF\RQDQLVODQGHGPLFURJULGWKH0&39PD\QHHGWR
XVH WKH ZHOO NQRZQ GURRS FRQWURO >@>@ $FFRUGLQJO\
ERWKWKHGURRSDQGWKH0337FRQWUROQHHGWREHLPSOHPHQWHG
E\ WKH 0&39 FRQWURO V\VWHP $ EULHI GHVFULSWLRQ RI WKRVH
WZRFRQWUROOHUVLVSUHVHQWHGQH[W


978-1-4673-0332-3/12/$31.00 2012 IEEE

Page 2 of 8



)LJ$&VRXUFHFRXSOHGLQGXFWLYHO\ZLWKWKHJULG





ZKHUH DQG DUHWKHDPSOLWXGHVRIWKHVRXUFHDQGJULG

YROWDJHV UHVSHFWLYHO\  LV WKH LPSHGDQFH RI WKH FRXSOLQJ
OLQHDQGLVWKHSKDVHGLIIHUHQFHEHWZHHQWKHVRXUFHDQGJULG
YROWDJH 8VXDOO\  LV VPDOO ZKLFK PDNHV 
DQG  7KHUHIRUH WKH RXWSXW UHDO SRZHU GHSHQGV
PDLQO\RQWKHSKDVHZKLFKLVDIIHFWHGE\WKHIUHTXHQF\DQG
WKHUHDFWLYHSRZHUGHSHQGVPDLQO\RQWKHYROWDJHGLIIHUHQFH
EHWZHHQWKHVRXUFHDQGJULGYROWDJHV

7KH GURRS FRQWUROOHUV DUH YHU\ HIIHFWLYH LQ UHJXODWLQJ WKH

YROWDJH DQG IUHTXHQF\ RI D PLFURJULG DV ZHOO DV LQ SRZHU
VKDULQJ>@7KHUHIRUHPDQ\DGYDQWDJHVFDQEHREWDLQHGE\
DSSO\LQJWKHGURRSFRQWURORQDQLVODQGHGPLFURJULG
% 0337FRQWURO
7KH SRZHUYROWDJH FKDUDFWHULVWLFV FXUYH RI D W\SLFDO 39
VRXUFH LV VKRZQ LQ )LJ   7KLV FXUYH LV QRQOLQHDU DQG
PD[LPXP SRZHU LV REWDLQHG DW D VLQJOH RSHUDWLQJ SRLQW
033 'LIIHUHQW PHWKRGV KDYH EHHQ SURSRVHG WR WUDFN WKH
033 LQ 39 EDVHG V\VWHP E\ FKDQJLQJ WKH HTXLYDOHQW ORDG
FRQQHFWHGWRLW>@>@6LQFH033RFFXUVZKHQGSGYRI
WKH 39 LV ]HUR WKH 0337 FDQ EH SHUIRUPHG E\ XVLQJ D 3,
FRQWUROOHUZKRVHREMHFWLYHLVWRPDNHWKHYDOXHRIGSGY]HUR
>@ $V )LJ  VKRZV WKH VORSH RI GSGY FKDQJHV DOPRVW
OLQHDUO\ ZLWK WKH YROWDJH LQ PRVW RI WKH YROWDJH RSHUDWLQJ
UDQJH,QWKLV ZD\D3,FRQWUROOHULVH[SHFWHGWRDFKLHYHWKH
0337ZLWKRXWPXFKFRPSOLFDWLRQ
033

3GSGY

$ 'URRS&RQWURO
)RU VRXUFHV FRXSOHG WR WKH JULG WKURXJK LQGXFWLYH OLQHV WKH
UHDODQGUHDFWLYHSRZHUFRPSRQHQWV DQG DUHJLYHQ
E\VHH)LJ

:KHQ D QXPEHU RI VRXUFHV DUH FRQQHFWHG WR WKH PLFURJULG

WKH GURRS FRQWUROOHU FDQ EH XVHG WR VKDUH WKH ORDG DPRQJ
WKHPHQVXULQJWKHV\VWHPVWDELOLW\>@7KHGURRSFRQWUROOHU
DGMXVWWKH IUHTXHQF\LHWKH SKDVHDQGDPSOLWXGHEDVHGRQ
WKHDFWXDOYDOXHVRI DQG 7KHVHFRQWUROOHUVDUHJLYHQ
E\


ZKHUH DQG DUHWKHDFWXDODQGUHIHUHQFHYDOXHVRIWKH
LQYHUWHUIUHTXHQF\UHVSHFWLYHO\ LVWKHUHIHUHQFHYROWDJH
DQG  DQG  DUH WKH GURRS FRQWUROOHU FRHIILFLHQWV )LJ 
VKRZVWKHRSHUDWLRQRIWKHGURRSFRQWUROOHUV)URP(TQDV
WKH UHDO RXWSXW SRZHU RI WKH VRXUFH LQFUHDVHV WKH IUHTXHQF\
DQG DFFRUGLQJO\ WKH SKDVH RI WKDW VRXUFH ZLOO EH GHFUHDVHG
)URP(TQWKHGHFUHDVHLQWKHSKDVHFDVHVDGHFUHDVHLQWKH
UHDO RXWSXW SRZHU 7KHUHIRUH WKH GURRS FRQWUROOHU LQ (TQ 
LQWURGXFHVDQHJDWLYHIHHGEDFNLQWKHUHDOSRZHUFRQWUROORRS
$ VLPLODU GLVFXVVLRQ FDQ EH PHQWLRQHG DERXW WKH UHODWLRQ
EHWZHHQWKHYROWDJHDQGWKHUHDFWLYHSRZHU

IUHI

ILQY

9LQY
9UHI
9LQY
9LQY

ILQY
ILQY

3LQYR3LQY

4LQYR 4LQY

4
3
D5HDOSRZHUGURRSFXUYHE5HDFWLYHSRZHUGURRSFXUYH

)LJ5HDODQGUHDFWLYHSRZHUGURRSFRQWUROFXUYHV


GSGY
3
9

SY

9

)LJ0337FRQWUROZLWK033RFFXUVZKHQGSGYLV]HURV

,,,0&39&20321(176$1'23(5$7,21
7KHUHDUHWZRSRSXODUDSSURDFKHVWRLQWHUIDFHWKH39VRXUFHV
WR WKH JULG RU WKH PLFURJULG 7KH ILUVW DSSURDFK XVHV VLQJOH
VWDJH LQYHUWHU '&$& WR LQWHUIDFH VHULHV RU VHULHVSDUDOOHO
FRQILJXUHG 39 SDQHOV >@ 7KLV FRQILJXUDWLRQ LV HFRQRPLF
EXW WKH RXWSXW SRZHU LQ WKLV FDVH LV VHQVLWLYH WR WKH
IOXFWXDWLRQV LQ WKH WHUPLQDO YROWDJH >@  )XUWKHUPRUH WKLV
FRQILJXUDWLRQLPSRVHVFRQVWUDLQVRQWKHQXPEHURI39SDQHOV
WKDW VKRXOG EH FRQQHFWHG LQ VHULHV WR SURGXFH WKH UHTXLUHG
YROWDJH 7KHVH FRQVWUDLQV LV DJDLQVW WKH WUHQGV RI LQFUHDVLQJ
WKHIOH[LELOLW\RILQWHJUDWLQJWKH39VRXUFHVZLWKWKHJULG7KH
VHFRQG FRQILJXUDWLRQ LV WKH WZRVWDJH FRQILJXUDWLRQ ,W
FRPSULVHV RI FDVFDGHG '&'& DQG '&$& FRQYHUWHUV WR
LQWHUIDFH DQ\ FRPELQDWLRQ RI WKH 39 SDQHOV >@ ,Q WKLV
SDSHUWKHODWHUFRQILJXUDWLRQLVVHOHFWHGDVLWDOORZVDEHWWHU
FRQWURORYHUWKHV\VWHPVYDULDEOHVDQGPRUHIOH[LELOLW\LQWKH
39 FRQILJXUDWLRQ )LJ  VKRZV WKH EORFN GLDJUDP RI WKH
0&39FRPSRQHQWVRIWKHVHFRQGFRQILJXUDWLRQ
7R XQGHUVWDQG WKH 0&39 RSHUDWLRQ FRQVLGHU WKH HIIHFW RI
FKDQJLQJ GXW\ UDWLR G DQG WKH SKDVH DQJOH RI WKH LQYHUWHU
YROWDJH7KHHIIHFWRIWKH$&VLGHLQYHUWHURXWSXWRQWKH
'& VLGH FDQ EH UHSUHVHQWHG E\ DQ HTXLYDOHQW '& ORDG 5HT
7KHUHDORXWSXWSRZHURIWKHLQYHUWHULVJLYHQE\



978-1-4673-0332-3/12/$31.00 2012 IEEE

Page 3 of 8




:KHUH9LVWKHDPSOLWXGHRIWKHPLFURJULGYROWDJH9GFLVWKH
'& EXV YROWDJH DQG  LV WKH LQYHUWHU PRGXODWLRQ LQGH[
ZKLFKLVWKHUDWLREHWZHHQWKHLQYHUWHUSHDN YROWDJHDQGWKH
'& EXV YROWDJH 7KH RXWSXW SRZHU RI WKH FRQYHUWHU LV JLYHQ
E\

'XW\&KDQJH
5

39



ZKHUH5HTLVWKHHTXLYDOHQW'&ORDGWKDWUHIOHFWVWKHHIIHFWRI
WKH$&FLUFXLWRQWKH'&VLGH$VVXPLQJDORVVOHVVLQYHUWHU
WKHQIURP(TQVDQG






ZKLFKJLYHV







ZKHUH . LV FRQVWDQW 7KH ODVW DSSUR[LPDWLRQ LV YDOLG VLQFH
XVXDOO\ LVPDLQWDLQHGDWDIL[HGYDOXH9GFLVUHJXODWHGWRD
IL[HG YDOXH DQG WKH YDULDWLRQV LQ 9 FDQ EH QHJOHFWHG ZKHQ
FRPSDUHGWRWKHFKDQJHVLQVLQ

)LJ0&39FRPSRQHQWV

$VZKDWZLOOEHVKRZQODWHUWKUHHREMHFWLYHVQHHGWREHPHW
E\WKH0&39FRQWUROV\VWHPV7KHVHREMHFWLYHVDUHWUDFNLQJ
WKH 033 UHJXODWLQJ WKH '& EXV YROWDJH DQG SHUIRUPLQJ WKH
GURRSFRQWURO7RDFKLHYH0337DQG9GFUHJXODWLRQERWKG
DQG  KDYH WR EH FRQWUROOHG LQ D FRRUGLQDWHG ZD\ )RU
H[DPSOH FRQVLGHU WKH SRZHUYROWDJH FKDUDFWHULVWLFV DW WKH
RXWSXWRIWKH'&'&FRQYHUWHUDQGWKDWRIWKHHTXLYDOHQWORDG
LQ)LJIRUDUHTXLUHG'&EXVYROWDJHRI97KHRULJLQDO
SRZHUYROWDJHFKDUDFWHULVWLFVFXUYHRIWKHFRQYHUWHURXWSXWLV
WKH RQH GHQRWHG E\ 39 DQG WKH RULJLQDO FXUYH RI WKH
HTXLYDOHQWORDGLVWKH5FXUYH7KHYDULDEOHGFDQEHDGMXVWHG
XQWLO WKH 033 LV DOLJQHG ZLWK WKH UHTXLUHG '& EXV YROWDJH
IURP  FXUYH WR  FXUYH 7KH HTXLYDOHQW ORDG FDQ EH
DGMXVWHGE\FKDQJLQJVXFKWKDWWKHORDGFXUYHPRYHVIURP
5 WR 5 ,Q WKLV ZD\ WKH HTXLYDOHQW ORDGV SRZHUYROWDJH
FKDUDFWHULVWLFV FXUYH LQWHUVHFWV ZLWK WKH SRZHUYROWDJH
FKDUDFWHULVWLFVFXUYHRIWKHFRQYHUWHURXWSXWRQO\DWWKH033
7KLV XQGHUVWDQGLQJ IRU WKH RSHUDWLRQ RI WKH 0&39 ZLOO EH
XVHGLQWKHQH[WVHFWLRQWRFRQILJXUHWKHFRQWUROV\VWHPLH
WRGHWHUPLQHZKLFKYDULDEOHVKRXOGFRQWUROWKHGXW\UDWLRDQG
ZKLFKRQHVKRXOGGHULYHWKHLQYHUWHURXWSXWSKDVH

5





G &KDQJH



3RZHU:

39





9ROWDJH9





)LJ&RQWURORI39DQGORDGE\FKDQJLQJDQGG

,90&39&21752/
7KHUH DUH WKUHH REMHFWLYHV WKDW DUH QHHGHG WR EH PHW E\
FRQWUROV\VWHPRIWKH0&39VRXUFH7KHILUVWREMHFWLYHLVWR
H[WUDFW WKH PD[LPXP SRVVLEOH SRZHU IURP WKH 39 GXULQJ
QRUPDO RSHUDWLRQ 7KH VHFRQG REMHFWLYH LV WR SHUIRUP WKH
GURRSFRQWUROZKHQWKHUHLVDVLJQLILFDQWFKDQJHLQORDG7KH
WKLUGREMHFWLYHLVWRUHJXODWHWKH'&EXVYROWDJHDWWKHLQSXW
RI WKH '&$& FRQYHUWHU 5HJXODWLQJ WKH '& EXV YROWDJH LV
YHU\ LPSRUWDQW WR HQVXUH SURSHU RSHUDWLRQ RI WKH PLFURJULG
HVSHFLDOO\ GXULQJ WKH LVODQGHG PRGH VLQFH WKH ORFDO VRXUFHV
DUH UHVSRQVLEOH IRU PLFURJULG YROWDJH HVWDEOLVKPHQW >@
0RUHRYHU ZKHQWKH'&EXV LVUHJXODWHGWKH YROWDJH YHUVXV
UHDFWLYHSRZHUGURRSFRQWUROOHUZLOOEHGHFRXSOHGIURPRWKHU
FRQWUROOHUVLQWKHV\VWHP
)RU WKH 0&39 VKRZQ LQ )LJ  WKHUH DUH WKUHH FRQWURO
SDUDPHWHUV WKDW FDQ EH DGMXVWHG QDPHO\ PD  DQG G 7KH
SDUDPHWHUPDLVXVHGIRUWKHUHDFWLYHSRZHUGURRS>@ZKLOH
WKLVSDSHUIRFXVHVRQWKHUHDOSRZHUFRQWURO7KHUHIRUHPDLV
GLVUHJDUGHGLQWKLVSDSHU7KHUHIRUHRQO\DQGGZLOOEHXVHG
DV FRQWURO SDUDPHWHUV  &RQYHQWLRQDOO\ WKHUH DUH PDQ\
FRQWUROOHUV XVHG WR DFKLHYH 0337 IRU WKH 0&39 2Q WKH
RWKHUKDQGIRUGLVSDWFKDEOHVRXUFHVWKDW KDYHDIXHOUHVHUYH
OLNH IXHO FHOOV WKH GURRS FRQWUROOHUV DUH XVHG WR HQVXUH WKH
EDODQFH EHWZHHQ WKH SURGXFHG DQG FRQVXPHG SRZHUV 6LQFH
ERWKFRQWUROOHUVDUHQHHGHGDFRPELQDWLRQRIWKHWZRFDQEH
XVHGWRFRQWUROWKH0&397KLVFRQWUROOHULVGHQRWHGLQWKLV
SDSHU DV WKH K\EULG FRQWUROOHU DQG LV GHVFULEHG ILUVW LQ WKH
QH[W VXEVHFWLRQ $IWHU WKDW WKH PDLQ FRQWULEXWLRQ RI WKLV
SDSHU LV SUHVHQWHG ZKLFK UHSUHVHQWV D QHZ FRQWUROOHU FDOOHG
WKH XQLYHUVDO FRQWUROOHU 7KH DGYDQWDJHV RI WKH XQLYHUVDO
FRQWUROOHURYHUWKHK\EULGFRQWUROOHUZLOOEHGLVFXVVHG
$ +\EULG&RQWUROOHU
7KH K\EULG FRQWUROOHU XVHV WZR GLIIHUHQW FRQWURO
FRQILJXUDWLRQV2QHFRQWUROOHULVXVHGWRRSHUDWHDWWKH033
GXULQJWKHQRUPDORSHUDWLRQDQGZKLOHWKHRWKHULVGHVLJQDWHG
IRUGURRSFRQWURO2QO\RQHRIWKRVHFRQWUROOHUVZLOOEHDFWLYH
DWDQ\SRLQWLQWLPH
7KH PHWKRG SURSRVHG LQ >@ LV FRQVLGHUHG IRU WKH 0337
FRQWUROOHU$VVKRZQLQ)LJDWKH'&'&FRQYHUWHUWUDFNV
WKH033ZKLOHWKHHUURULQWKH'&EXVYROWDJHDGMXVWVWKH$&
HTXLYDOHQWORDG7KHLQWHUDFWLRQEHWZHHQWKH0337FRQWUROOHU


978-1-4673-0332-3/12/$31.00 2012 IEEE

Page 4 of 8


DQG WKH YROWDJH FRQWUROOHU ZLOO SURGXFH D UHVXOW OLNH WKDW

SUHVHQWHGLQ)LJ
)LJ E VKRZV WKH FRQILJXUDWLRQ VHOHFWHG WR DFKLHYH GURRS
FRQWURO LQ WKH 0&39 %\ UHJXODWLQJ WKH '& EXV YROWDJH
WKURXJK G WKH 39 SDQHO DQG WKH '&'& FRQYHUWHU DFW DV D
FRQYHQWLRQDO'&VRXUFH7KHGURRSFRQWUROLVLPSOHPHQWHGLQ
WKH $& VLGH ,W PHDVXUHV WKH LQYHUWHU RXWSXW SRZHU DQG
LPSRVHVIUHTXHQF\XVLQJGURRSFRQWURO
2QH DSSURDFK WR RSHUDWH LQ WKH 033 DQG DFKLHYH WKH GURRS
FRQWURO ZKHQ QHHGHG LV WR FRPELQH WKH WZR FRQWUROOHUV
H[SODLQHGDERYH'HSHQGLQJRQWKHPRGHRIRSHUDWLRQRQHRI
WKHWZRFRQWUROOHUVZLOOEHDFWLYDWHG:KHQWKHUHLVDFKDQJH
LQ WKH PRGH RI RSHUDWLRQ D VZLWFKLQJ VLJQDO LV QHHGHG WR
DFWLYDWH WKH 0&39 VZLWFK IURP RQH FRQWUROOHUV
FRQILJXUDWLRQWRWKHRWKHU

FRQWUROOHULVRQO\D3FRQWUROOHUZKLOHWKH0337FRQWUROOHULV
D 3, FRQWUROOHU WKH 0337 FDQ EH DFKLHYHG HYHQ ZKHQ WKH
GURRS FRQWUROOHU LV DFWLYH ,Q WKH XQLYHUVDO FRQWUROOHU WKH
IUHTXHQF\GURRSUHODWLRQLVJLYHQE\




6XSSRVH D FKDQJH LQ ORDG RFFXUUHG ZKHQ WKH 0&39 ZDV

RSHUDWLQJDWWKH0337KLVFKDQJHZLOOFDXVHWKHRSHUDWLRQWR
GHYLDWHIURPWKH033DQGWKHLQYHUWHURXWSXWSRZHU ZLOO
EH UHGXFHG FDXVLQJ WKH GURRS FRQWUROOHU WR LQFUHDVH 
+RZHYHU WKH 0337 FRQWUROOHU WKURXJK WKH LQWHJUDO WHUP

ZLOO FKDQJH   XQWLO LW PDWFKHV WKH IUHTXHQF\

RIWKHRWKHUVRXUFHV,IQRWVHOHFWHGSURSHUO\WKHYDOXHVRIWKH
SDUDPHWHUV  DQG PD\OHDGWRVWDELOLW\SUREOHP
7KH XQLYHUVDO FRQWUROOHU LPSURYHV WKH UHVSRQVH GXULQJ WKH
WUDQVLWLRQ DQG DFKLHYHV WKH UHTXLUHG REMHFWLYH HIILFLHQWO\
ZLWKRXW WKH QHHG WR VZLWFK EHWZHHQ GLIIHUHQW FRQWUROOHUV
FRQILJXUDWLRQVDVZDVGLVFXVVHGLQWKHK\EULGFRQWUROOHU

D033FRQWUROFRQILJXUDWLRQ

)LJ8QLYHUVDOFRQWUROFRQILJXUDWLRQRI0&39

E'URRSFRQWUROFRQILJXUDWLRQ

)LJ+\EULGFRQWUROFRQILJXUDWLRQRI0&39

% 8QLYHUVDO&RQWUROOHU
7KHXQLYHUVDOFRQWUROOHULVDVLQJOHFRQILJXUDWLRQWKDWFDQEH
XVHGIRUERWK0337DQGGURRSFRQWURO7KHFRQILJXUDWLRQLV
REWDLQHG E\ PRGLI\LQJ WKH GURRS FRQWUROOHU WKURXJK DGGLQJ
DQRWKHU WHUP WR FRQWURO  WDNHQ IURP WKH 0337 FRQWUROOHU
VHH )LJ  7KH JDLQV RI WKH 0337 FRQWUROOHU VKRXOG EH
VPDOO UHODWLYH WR WKH JDLQ RI WKH GURRS FRQWUROOHU WR HQVXUH
VWDEOHRSHUDWLRQ7KH0337FRQWUROOHUZLOONHHSRQDGMXVWLQJ
 WR H[WUDFW PRUH SRZHU  EXW  VORZO\ WR DYRLG UDGLFDO
FKDQJH LQ WKH IUHTXHQF\ 7KLV FDXVHV WKH HTXLYDOHQW ORDG WR
LQFUHDVHDQGDFFRUGLQJO\WKH9GFFRQWUROOHUPRYHVWKHVRXUFH
SRZHUYROWDJH FKDUDFWHULVWLFV XQWLO WKH YDOXH RI  LV
UHJXODWHG 7KH WZR ORRSV ZLOO EH ZRUNLQJ LQ WKLV ZD\ XQWLO
ERWKREMHFWLYHVRI0337DQG'&EXVUHJXODWLRQDUHDFKLHYHG
7KH GURRS FRQWUROOHU DQG WKH 0337 FRQWUROOHU DUH VHOHFWHG
EDVHGRQWKHPHWKRGVGLVFXVVHGLQ6HFWLRQ,,6LQFHWKHGURRS

& $GYDQWDJHVRIWKH8QLYHUVDOFRQWUROOHURYHUWKHK\EULG
FRQWUROOHU
7KH PDLQ GLVDGYDQWDJH RI WKH K\EULG FRQWUROOHU ZKHQ
FRPSDUHG ZLWK WKH XQLYHUVDO RQH LV WKH QHHG IRU VZLWFKLQJ
GHFLVLRQ WR FKDQJH IURP RQH FRQILJXUDWLRQ WR WKH RWKHU
0RUHRYHU GXULQJ WKLV VZLWFKLQJ WKHUH FRXOG EH VLJQLILFDQW
FKDQJHLQWKHVWDWHVRIWKHFRQWUROOHUV
,QWKHK\EULGFRQWUROOHUWKHVZLWFKLQJEHWZHHQWKH0337WR
WKH GURRS FRQWUROOHU UHTXLUHV FKDQJH LQ WKH YDULDEOHV WKDW
GHULYHGDQG7KHUHIRUHWKHUHLVDQHHGIRUH[SOLFLWVLJQDOWR
FRPPDQG WKLV FKDQJH 7KLV VLJQDO UHTXLUHV H[WUD KDUGZDUH
DQGRU DOJRULWKP WR PDNH WKH GHFLVLRQ DQG VHQG WKH
FRPPDQG 2Q WKH RWKHU KDQG WKH XQLYHUVDO FRQWUROOHU
LQKHUHQWO\ SDUWLFLSDWHV LQ WKH IUHTXHQF\ UHJXODWLRQ DOO WKH
WLPH :KHQ WKHUH LV D VLJQLILFDQW FKDQJH LQ WKH ORDG WKH
XQLYHUVDOFRQWUROOHUPRYHVEDFNWRWKH033DXWRPDWLFDOO\EXW
VORZO\ZKLFKUHPRYHWKHQHHGIRUVZLWFKLQJGHFLVLRQ
$QRWKHU GLVDGYDQWDJH WKDW DULVHV ZKHQ XVLQJ WKH K\EULG
FRQWUROOHU LV WKH H[SHFWHG MXPSV LQ WKH FRQWURO VLJQDOV DIWHU
WKH VZLWFKLQJ 'XULQJ 033 FRQWURO LQ WKH K\EULG FRQWUROOHU
QHLWKHU WKH ORDG SRZHU QRU WKH PLFURJULG IUHTXHQF\ LV
PHDVXUHG:KHQDVZLWFKLQJLVPDGHIURP033WRWKHGURRS


978-1-4673-0332-3/12/$31.00 2012 IEEE

Page 5 of 8


FRQWUROOHUWKHLQLWLDOYDOXHVHOHFWHGIRUWKH0&39IUHTXHQF\
PD\ EH YHU\ GLIIHUHQW IURP WKH PLFURJULG IUHTXHQF\ 7KLV
GLIIHUHQFH PD\ FDXVH ODUJH GLVWXUEDQFH LQ WKH IUHTXHQF\ RI
WKHLVODQGHGPLFURJULG,QWKHXQLYHUVDOFRQWUROOHUFDVHDOOWKH
YDULDEOHVDUHPHDVXUHGDOOWKHWLPHDQGWKHUHLVQRFKDQJHLQ
WKHFRQWUROOHUVSDUDPHWHUV

7KH VLPXODWHG V\VWHP SDUDPHWHUV DUH JLYHQ LQ 7DEOH  7KH
SRZHUYROWDJH FKDUDFWHULVWLFV FXUYH RI WKH 0&39 LV OLNH WKH
RQHVKRZQLQ)LJ
7DEOH/RDGYDULDWLRQV

7LPHSHULRG




7KH K\EULG FRQWUROOHU PD\ VZLWFK WR WKH GURRS FRQWUROOHU WR
VWDELOL]H WKH IUHTXHQF\ DQG WKHQ LW ZLOO EH ZDLWLQJ IRU D
VZLWFKLQJVLJQDOWRPRYHEDFNWRWKH033FRQWURO%DVHGRQ
WKH VRXUFH RI WKH VZLWFKLQJ VLJQDO W\SH WKLV VLJQDO FRXOG EH
GHOD\HG IRU VRPH WLPH WR LQVXUH WKDW WKH IUHTXHQF\ LQ WKH
PLFURJULG LV VWDEOH HQRXJK WR KDQGOH WKH IDVW UHDFWLRQ IURP
WKH0337FRQWUROOHU7KLVGHOD\LQFUHDVHVWKHLQHIILFLHQWXVH
RI WKH 0&39 2Q WKH RWKHU KDQG WKH XQLYHUVDO FRQWUROOHUV
RSHUDWHPRVWRIWKHWLPHLQWKH033ZKLFKLQGLFDWHVDPRUH
HIILFLHQWRSHUDWLRQ

7DEOH0&39FRQWUROFRQILJXUDWLRQLQ6LPXODWLRQ

7LPHSHULRG






+\EULGFRQWUROOHULQWKHILUVWVLPXODWLRQ
8QLYHUVDOFRQWUROOHULQWKHVHFRQGVLPXODWLRQ

6RXUFH




)LJ,VODQGHGPLFURJULGZLWKRQH0&39DQGDGLVSDWFKDEOH
VRXUFH

7KHREMHFWLYHRIWKH VLPXODWLRQVLVWRVWXG\WKHG\QDPLFV LQ

WKHPLFURJULGIRUWKHIROORZLQJHYHQWV



/RDGFKDQJHLQFUHDVHDQGGHFUHDVH

&RQWUROOHUPRGHFKDQJHK\EULGFRQWUROOHU

9DOXH
H+
H)
H+
9
9

3DUDPHWHU
9DOXH
UDG

$


$




UDGV

$ +\EULG&RQWUROOHUV6LPXODWLRQ
,Q WKH ILUVW VLPXODWLRQ 0&39 XVHG WKH GURRS FRQWUROOHU
FRQILJXUDWLRQ XQWLO  V DQG DIWHUZDUG LW VZLWFKHV WR WKH
03377KHGHFLVLRQWRVZLWFKIURPRQHFRQILJXUDWLRQWRWKH
RWKHULVGHFLGHGE\DVXSHUYLVRU\FRQWUROOHU7KHJDLQVRIWKH
GURRS FRQWUROOHU DUH VHW WR  EDVHG RQ WKH UHTXLUHG
IUHTXHQF\ UHJXODWLRQ 7KH WUDQVIHU IXQFWLRQ RI WKH 0337
FRQWUROOHU   RI WKH 0&39 LV VHOHFWHG WR JLYH IDVW
UHVSRQVHDV

0&39

&RQWUROFRQILJXUDWLRQ
'URRS&RQWURO
0337&RQWURO

7DEOH6LPXODWLRQ3DUDPHWHUV

3DUDPHWHU
/[
&
/[
9GFBUHI
9

9 6,08/$7,215(68/76
7RYDOLGDWHWKHHIIHFWLYHQHVVRIWKHSURSRVHGFRQWUROPHWKRG
WZR VLPXODWLRQ VWXGLHV ZHUH REWDLQHG 7KH VLPXODWLRQV ZHUH
PDGHIRUDQLVODQGHGPLFURJULGLQWKHIDFHRIORDGFKDQJLQJ
7KH PLFURJULG FRPSULVHV RI WZR VRXUFHV DQG D FRPPRQ
UHVLVWLYHORDGEHWZHHQWKHPDVVKRZQLQ)LJ6RXUFHLVD
GLVSDWFKDEOH VRXUFH DQG DVVXPHG WR RSHUDWH XVLQJ GURRS
FRQWUROOHUV WKURXJKRXW WKH FRXUVH RI WKHQ VLPXODWLRQ 7KH
RWKHUVRXUFHLVD0&39VRXUFH0&39LVFRQWUROOHGE\

/RDG






)LJVKRZVWKHYDULDWLRQVLQWKHUHVLVWLYHORDGVXJJHVWHGLQ
7DEOH  DQG WKH G\QDPLFV RI WKH '& EXV YROWDJH RI WKH
0&39 LV VKRZQ LQ )LJ  7KH '& EXV YROWDJH LV
VXFFHVVIXOO\UHJXODWHGDWWKHUHTXLUHGYDOXHVZLWKWKHYROWDJH
FRQWURO +RZHYHU DW VZLWFKLQJ LQVWDQFHV D KLJK RYHUVKRRW
DSSHDUHG LQ WKH YROWDJH WUDQVLHQW GXH WR WKH FKDQJH EHWZHHQ
WKHFRQWUROOHUV


7KHFKDQJHLQ WKHORDGSDWWHUQLVSUHVHQWHGLQ7DEOH7KLV
ORDGYDULDWLRQZDVDVVXPHGWRLQYHVWLJDWHWKHUHVSRQVHRIWKH
V\VWHP IRU WKH ORDG FKDQJHV 7DEOH  VKRZV WKH FRQWUROOHU
FRQILJXUDWLRQ VHOHFWHG IRU K\EULG FRQWUROOHU RI WKH 0&39 LQ
6LPXODWLRQ ,Q WKDW VLPXODWLRQ 0&39 VWDUWV LQLWLDOO\ ZLWK
WKHGURRSFRQWUROFRQILJXUDWLRQ$WVDVZLWFKLQJLVPDGH
LQWKH0&39FRQWUROFRQILJXUDWLRQIURPWKHGURRSFRQWUROWR
WKH0337FRQWURO7KLVVZLWFKLQJLVVXJJHVWHGWRLQYHVWLJDWH
WKH SHUIRUPDQFH RI WKH K\EULG FRQWUROOHU DW WKH VZLWFKLQJ
PRPHQW ,Q 6LPXODWLRQ 0&39 LV XQGHU WKH XQLYHUVDO
FRQWUROOHUFRQILJXUDWLRQWKURXJKRXWWKHVLPXODWLRQGXUDWLRQ

/RDG

RKP











7LPHV





)LJ9DULDWLRQVRIWKHUHVLVWLYHORDGLQ)LJ





978-1-4673-0332-3/12/$31.00 2012 IEEE

Page 6 of 8



6RXUFH


)UHTXHQF\+]

9ROWDJH9







0&39
K\EULG





0&39K\EULG










7LPHV





)LJ'&EXVYROWDJHRIWKHK\EULG0&39

)LJ$VKRZVWKHSRZHUSURGXFHGE\WKHWZRVRXUFHV7KH
GURRSFRHIILFLHQWVDUHVHOHFWHGVXFKWKDWERWKVRXUFHVSURGXFH
WKHVDPHDPRXQWRISRZHU7KLVLVDFKLHYHGH[DFWO\XSWR
V ZKHQ 0&39 VZLWFKHV WR WKH 0337 FRQWUROOHU
FRQILJXUDWLRQ $IWHU  V 0&39 PRYHV WR WKH 033 DQG
PDLQWDLQVLWHYHQZKHQWKHORDGGHFUHDVHGDWV)URP)LJ
%GSGYLVPDLQWDLQHGDV]HURDIWHUWKH0&39LVVZLWFKHG
WRWKH0337FRQWUROOHULQGLFDWLQJWKDWWKHRSHUDWLQJSRLQWLV
WKH033


3RZHU:


6RXUFH
0&39
K\EULG









7LPHV





$3RZHUSURYLGHGE\VRXUFHDQGWKHK\EULG0&39

0&39K\EULG

DSGY:9











)LJ)UHTXHQFLHVRIVRXUFHDQGWKHK\EULG0&39

% 8QLYHUVDO&RQWUROOHUV6LPXODWLRQ
7KHXQLYHUVDOFRQWUROOHUKDVLVGHVLJQHGVXFKWKDWLWSURYLGHV
VDWLVIDFWRU\ SHUIRUPDQFH IRU ERWK WUDQVLHQW DQG GXULQJ WKH
VWHDG\ VWDWH 7KH FRQWUROOHUV ZHUH GHVLJQHG E\ ILQGLQJ WKH
VPDOOVLJQDO PRGHO RI WKH 0&39 DQG VHOHFWLQJ WKH
SDUDPHWHUV RI WKH FRQWUROOHUV DFFRUGLQJO\ 7KH GHWDLOV RI WKH
PRGHOLQJ SURFHGXUH DQG WKH DSSURDFK WR VHOHFW WKH
FRQWUROOHUV SDUDPHWHUV ZLOO EH SUHVHQWHG LQ ODWHU UHVHDUFK
ZRUN 3, FRQWUROOHUV ZHUH GHVLJQHG IRU ERWK 0337 DQG
YROWDJHUHJXODWLRQ)RUWKHYROWDJHUHJXODWLRQD3,FRQWUROOHU
 LVVHOHFWHG7KHFRQWUROOHULQWKHVGRPDLQLVJLYHQE\




:KLOHWKH0337FRQWUROOHULQWKHVGRPDLQLVJLYHQE\




7KH ODWHU FRQWUROOHU ZDV VHOHFWHG VXFK WKDW WKH FORVHG ORRS
WUDQVIHUIXQFWLRQIURPWR KDVDVPDOOEDQGZLGWK ZKLFK
HQVXUHVVORZUHVSRQVHWLPHUHTXLUHGWRVWDELOL]HWKHIUHTXHQF\
RIWKHPLFURJULG
7KH DERYH GHVLJQHG XQLYHUVDO FRQWUROOHUV ZHUH WHVWHG LQ WKH
VHFRQGVLPXODWLRQ7KHVDPHORDGYDULDWLRQVVKRZQLQ)LJ
DUH DVVXPHG IRU WKLV VLPXODWLRQ 0&39 XVHV WKH XQLYHUVDO
FRQWUROOHU ZKLOH 6RXUFHRSHUDWHVXVLQJWKHGURRSFRQWUROOHU
7KHHIIHFWLYHQHVVRIWKHYROWDJHFRQWUROOHURIWKH0&39FDQ
EH VHHQ FOHDUO\ IURP WKH VPRRWK YROWDJH UHVSRQVH VKRZQ LQ
)LJ  7KH '& YROWDJH RI 0&39 FRXOG EH UHJXODWHG YHU\
VPRRWKO\WRWKHUHTXLUHGYDOXHDIWHUDQ\ORDGFKDQJH

0&39XQLYHUVDO





7LPHV



%7KHYDOXHRIIRUWKHK\EULG0&39



)LJ5HVSRQVHVRIWKHSRZHUDQGRIWKH+\EULG0&39

)LJ  VKRZV WKDW WKH IUHTXHQF\ RI WKH K\EULG 0&39
LQWURGXFHVDODUJHGLVWXUEDQFHWRWKHPLFURJULGIUHTXHQF\)RU
0&39 WR PRYH WR WKH 033 DIWHU DQ\ WUDQVLHQW WKH LQYHUWHU
SKDVHLVFKDQJHGDJJUHVVLYHO\7KLVDJJUHVVLYHFKDQJHLQWKH
SKDVHPDNHVDODUJHVSLNHLQWKH0&39IUHTXHQF\7KLVNLQG
RIIUHTXHQF\WUDQVLHQWPD\GHVWDELOL]HWKHZKROHPLFURJULGLI
DVLJQLILFDQWDPRXQWRIWKHSURGXFHGSRZHULQWKHPLFURJULG
LVFRPLQJIURP0&39VRXUFHV

'&%XV9ROWDJH9






7LPHV










7LPHV



)LJ'&EXVYROWDJHRIWKHXQLYHUVDO0&39



7KH UHVSRQVHV RI WKH RXWSXW SRZHUV RI WKH WZR VRXUFHV DUH
VKRZQ LQ )LJ $ 7KH 0&39 RSHUDWHV LQ WKH 033 EXW


978-1-4673-0332-3/12/$31.00 2012 IEEE

Page 7 of 8


ZKHQ WKHUH LV D FKDQJH LQ WKH ORDG LW DEDQGRQV WKH 033 WR
SDUWLFLSDWH LQ WKH IUHTXHQF\ UHJXODWLRQ 7KLV LV DOVR
GHPRQVWUDWHGLQGSGYFXUYHVVKRZQLQ)LJ%7KHYDOXH
RI GSGY IRU 0&39 LV GLIIHUHQW IURP ]HUR DIWHU DQ\ ORDG
FKDQJHIRUVRPHSHULRGRIWLPHEXWLWPRYHVEDFNWRWKH]HUR
YDOXHVPRRWKO\


3RZHU:


6RXUFH



0&39XQLYHUVDO








7LPHV





$3RZHUSURYLGHGE\VRXUFHDQGWKHXQLYHUVDO0&39

GSGY:9





0&39XQLYHUVDO








7LPHV





%7KHYDOXHRIIRUWKHXQLYHUVDO0&39

)LJ5HVSRQVHVRIWKHSRZHUDQGIRUWKHXQLYHUVDO0&39

)UHTXHQF\+]

7KHIUHTXHQFLHVRIWKHVRXUFHVZLWKWKHXQLYHUVDO0&39DUH
VKRZQ LQ )LJ  7KH WUDQVLHQWV LQ WKH IUHTXHQFLHV ZHUH
IRXQG WR EH YHU\ VPRRWK ZLWK QR VSLNHV DV WKRVH VKRZQ LQ
)LJ  $IWHU DQ\ ORDG FKDQJH WKH GURRS FRQWUROOHU RI WKH
0&39 HIIHFW ZLOO EH GRPLQDQW 7KHQ YHU\ VORZO\ WKH
0&39 LQFUHDVHV LWV RXWSXW SRZHU KHDGLQJ WRZDUG WKH 033
DXWRPDWLFDOO\ ZLWKRXW WKH QHHG IRU DQ\ VZLWFKLQJ VLJQDOV ,Q
WKLV ZD\ WKH VWDELOLW\ RI WKH PLFURJULG IUHTXHQF\ ZDV
SUHVHUYHG DV WKH 0&39 LQFUHDVHV LWV RXWSXW SRZHU XQWLO LW
UHDFKHVWKH033DQGPDLQWDLQVLWVRSHUDWLRQDWWKDWSRLQW



6RXUFH



0&39XQLYHUVDO











7LPHV





)LJ)UHTXHQFLHVRIVRXUFHDQGWKHXQLYHUVDO0&39

 &21&/86,216
,Q WKLV SDSHU FRQWURO VWUDWHJLHV IRU PLFURJULG FRQQHFWHG 39
VRXUFH 0&39 ZHUH LQYHVWLJDWHG 7KH FRQVLGHUHG 0&39
FRPSRVHGRIWKH39VRXUFH'&'&DQG'&$&FRQYHUWHUV
7KHQHHGIRUQHZFRQWUROFRQILJXUDWLRQIRU0&39VRXUFHVWR
SDUWLFLSDWHLQWKHIUHTXHQF\DQGYROWDJHUHJXODWLRQLQDGGLWLRQ
WRWKH0337FRQWUROOHUZDVMXVWLILHG2QHZD\WRFRQWUROWKH
0&39LVWRXVHWZRFRQWUROOHUVRQHIRU0337DQGWKHRWKHU
LV WR SHUIRUP GURRS FRQWURO 7KH FRPELQDWLRQ RI WKH WZR
FRQWUROOHUV LV FDOOHG WKH K\EULG FRQWUROOHU 7KH K\EULG
FRQWUROOHU VXIIHUHG WZR SUREOHPV 7KH ILUVW LV D QHHG IRU DQ
H[WHUQDOVZLWFKLQJVLJQDOWRVZLWFKIURPRQHFRQWUROOHUWRWKH
RWKHU LQGLFDWLQJ D ODFN RI SOXJ DQG SOD\ FDSDELOLW\ 7KH
VHFRQG SUREOHP LV WKH DJJUHVVLYH WUDQVLHQW LQ WKH G\QDPLFV
ZKHQHYHU WKHUH LV D FKDQJH LQ WKH FRQWUROOHU RU WKH ORDG
$QRWKHU FRQWUROOHU LV WKHQ SURSRVHG ZKLFK FDQ DFKLHYH
0337GURRSFRQWURODQG'&EXVYROWDJHUHJXODWLRQZLWKRXW
WKH QHHG WR VZLWFK EHWZHHQ GLIIHUHQW FRQILJXUDWLRQV 7KH
SURSRVHGFRQWUROOHULVGHQRWHGDVWKHXQLYHUVDOFRQWUROOHU,Q
WKLV FRQWUROOHU D '& EXV UHJXODWRU FRQWUROV WKH '& EXV
YROWDJH WKURXJK DGMXVWLQJ WKH GXW\ UDWLR RI WKH '&'&
FRQYHUWHU ZKLOH ERWK WKH GURRS FRQWUROOHU DQG WKH 0337
FRQWUROOHU GHULYH WKH '&$& LQYHUWHU SKDVH 7KH FRQWUROOHUV
ZHUHWXQHGVXFKWKDWZKHQHYHUWKHUHLVDVLJQLILFDQWFKDQJHLQ
WKHORDGWKHGURRSFRQWUROOHUUHVSRQVHZRXOGEHGRPLQDQWWR
VWDELOL]H WKH IUHTXHQF\ RI WKH PLFURJULG /DWHU WKH 0337
PRYHV WKH RSHUDWLQJ SRLQW WR WKH 033 DXWRPDWLFDOO\ EXW
VPRRWKO\ WR DYRLG DQ\ GLVUXSWLRQ LQ WKH IUHTXHQF\ 7KH
SURSRVHG FRQWUROOHUV ZHUH WHVWHG E\ VLPXODWLRQ ZKHUH WKH
YDOLGLW\ RI WKH PHWKRG LV YHULILHG LQ WHUP RI VWDELOL]LQJ WKH
IUHTXHQF\PD[LPL]LQJWKHHIILFLHQF\UHJXODWLQJWKH'&EXV
YROWDJH DQG RSHUDWLQJ DXWRQRPRXVO\ ZLWKRXW WKH QHHG IRU
H[WHUQDOVZLWFKLQJGHFLVLRQ
5()(5(1&(6
>@ 0 $PLQ 7RZDUG VHOIKHDOLQJ HQHUJ\ LQIUDVWUXFWXUH V\VWHPV,(((
&RPSXW$SSO3RZHUYROSS
>@ * 9HQNDWDUDPDQDQ DQG & 0DUQD\$ /DUJHU UROH IRU
PLFURJULGV,(((3RZHU(QHUJ\YROQRSS
>@ 03URGDQRYLFDQG7*UHHQ+LJKTXDOLW\SRZHU JHQHUDWLRQWKURXJK
GLVWULEXWHG FRQWURO RI D SRZHU SDUN PLFURJULG,((( 7UDQV ,QG
(OHFWURQYROSS
>@ 6HRQ-X $KQ -LQ:RR 3DUN ,O<RS &KXQJ 6HXQJ,O 0RRQ
6DQJ+HH .DQJ 6RRQ5\XO 1DP 3RZHU6KDULQJ 0HWKRG RI
0XOWLSOH 'LVWULEXWHG *HQHUDWRUV &RQVLGHULQJ &RQWURO 0RGHV DQG
&RQILJXUDWLRQVRID0LFURJULG,(((7UDQVDFWLRQVRQ3RZHU'HOLYHU\
YRO,VVXHSS
>@ )$ )DUUHWDQG0*6LPRHV,QWHJUDWLRQRI$OWHUQDWLYH6RXUFHVRI
(QHUJ\:LOH\
>@ - =KHQKXD 5$ 'RXJDO +LHUDUFKLFDO PLFURJULG SDUDGLJP IRU
LQWHJUDWLRQ RI GLVWULEXWHG HQHUJ\ UHVRXUFHV 3URFHHGLQJV RI WKH ,(((
3RZHU DQG (QHUJ\ 6RFLHW\  *HQHUDO 0HHWLQJ &RQYHUVLRQ DQG
'HOLYHU\RI(OHFWULFDO(QHUJ\LQWKHVW&HQWXU\
>@ 0 0F*UDQDJKDQ 7 2UWPH\HU ' &UXGHOH - 6PLWK DQG 3 %DUNHU
5HQHZDEOH 6\VWHPV ,QWHUFRQQHFWLRQ 6WXG\ $GYDQFHG *ULG 3ODQQLQJ
DQG 2SHUDWLRQV 6$1' 3 3UHSDUHG E\ 6DQGLD 1DWLRQDO
/DERUDWRULHV$OEXTXHUTXHDQG/LYHUPRUH)HE
>@ 3 'HQKROP DQG 5 0DUJROLV 9HU\ ODUJHVFDOH GHSOR\PHQW RI JULG
FRQQHFWHG VRODU SKRWRYROWDLFV LQ WKH 8QLWHG 6WDWHV &KDOOHQJHV DQG
RSSRUWXQLWLHV SUHSULQW LQ 6RODU  &RQIHUHQFH *ROGHQ &RORUDGR
86$-XOSS




978-1-4673-0332-3/12/$31.00 2012 IEEE

Page 8 of 8


>@ 5 *URVV 0 /HDFK $ %DXHQ 3URJUHVV LQ UHQHZDEH HQHUJ\
(QYLURQPHQW,QWHUQDWLRQDOYROQRSS
>@ 0LFKDHO$QJHOR3HGUDVD7HG6SRRQHU$6XUYH\RI7HFKQLTXHV8VHG
WR&RQWURO0LFURJULG*HQHUDWLRQDQG6WRUDJHGXULQJ,VODQG2SHUDWLRQ
$83(&
>@ 3/L3K'HJREHUW%)UDQoRLV%5RE\QV3RZHU&RQWURO6WUDWHJ\
RID3KRWRYROWDLF3RZHU3ODQWIRU0LFURJULGDSSOLFDWLRQV,6(66RODU
:RUOG&RQJUHVV6:&%HLMLQJ&KLQD6HSWHPEHU
>@ / )UHULV DQG ' ,QILHOG 5HQHZDEOH HQHUJ\ LQ SRZHU V\VWHPV -RKQ
:LOH\ 6RQV,QF
>@ ( /LX - %HELF 'LVWULEXWLRQ 6\VWHP 9ROWDJH 3HUIRUPDQFH $QDO\VLV
IRU+LJK3HQHWUDWLRQ3KRWRYROWDLFV1DWLRQDO5HQHZDEOH/DERUDWRULHV
UHSRUW15(/65
>@ & . 6DR DQG 3 : /HKQ&RQWURO DQG SRZHU PDQDJHPHQW RI
FRQYHUWHUIHGPLFURJULGV,(((7UDQV3RZHU6\VWYROSS

>@ ; /LQ 6 'XDQ < .DQJ HW DO 7KH GURRS FKDUDFWHULVWLF FRQWURO
VFKHPHEDVLQJRQGHFRXSOLQJFRQWUROLQWKHSDUDOOHORSHUDWLRQRI836
ZLWKQRFRQWUROFRQQHFWLRQ3URFHHGLQJVRIWKH&6((YROQR
SS
>@ :;LDRDQG:*'XQIRUG$PRGLILHGDGDSWLYHKLOOFOLPELQJ0337
PHWKRGIRUSKRWRYROWDLFSRZHUV\VWHPV,(((3RZHU(OHFWURQ6SHF
&RQISS
>@ 1 )HPLD * 3HWURQH * 6SDQXROR DQG 0 9LWHOOL 2SWLPL]DWLRQ RI
SHUWXUE DQG REVHUYH PD[LPXP SRZHU SRLQW WUDFNLQJ PHWKRG ,(((
7UDQV3RZHU(OHFWURQYROQRSS
>@ 7ULVKDQ(VUDPDQG3DWULFN/&KDSPDQ&RPSDULVRQRI3KRWRYROWDLF
$UUD\0D[LPXP3RZHU3RLQW7UDFNLQJ7HFKQLTXHV,(((7UDQVDFWLRQ
RQ(QHUJ\&RQYHUVLRQ9ROXPH,VVXHSS
>@ 6 <XYDUDMDQ ' <X DQG 6 ;X $ QRYHO SRZHU FRQYHUWHU IRU
SKRWRYROWDLF DSSOLFDWLRQV -RXUQDO RI 3RZHU 6RXUFHV YRO  SS

>@ 0 &LRERWDUX  5 7HRGRUHVFX DQG ) %ODDEMHUJ &RQWURO RI VLQJOH
VWDJH VLQJOHSKDVH 39 LQYHUWHU 3URF ,((( WK (XU &RQI 3RZHU
(OHFWURQ$SSOSS
>@ ( 5RPDQ  5 $ORQVR  3 ,EDQH]  6 (ORUGXL]DSDWDULHW[H DQG '
*RLWLD,QWHOOLJHQW39PRGXOHIRUJULGFRQQHFWHG39V\VWHPV,(((
7UDQV,QG(OHFWURQYROSS
>@ ) .DWLUDHL DQG 0 5 ,UDYDQL3RZHU PDQDJHPHQW VWUDWHJLHV IRU D
PLFURJULG ZLWK PXOWLSOH GLVWULEXWHG JHQHUDWLRQ XQLWV,((( 7UDQV
3RZHU6\VWYROSS
>@ (0)OHPLQJDQG,$+LVNHQV'\QDPLFRIDPLUFRJULGVXSSOLHGE\
VROLGR[LGHIXHOFHOOV3URF,(((L5(36\PSSS
>@ / +DVVDLQH ( 2OLDV - 4XLQWHUR DQG 0 +DGGDGL 'LJLWDO 3RZHU
)DFWRU &RQWURO DQG 5HDFWLYH 3RZHU 5HJXODWLRQ IRU *ULG&RQQHFWHG
3KRWRYROWDLF ,QYHUWHU 5HQHZDEOH (QHUJ\ (OVHYLHU -RXUQDO YRO 
1R
>@ * & *RRGZLQ 6 ) *UDHEH DQG 0 ( 6DOJDGR &RQWURO 6\VWHP
'HVLJQ3UHQWLFH+DOO




978-1-4673-0332-3/12/$31.00 2012 IEEE