InTech-Hardware in The Loop Simulation of Renewable Distributed Generation Systems

You might also like

Download as pdf or txt
Download as pdf or txt
You are on page 1of 20

*CTFYCTGKPVJGNQQRUKOWNCVKQPQHTGPGYCDNGFKUVTKDWVGFIGPGTCVKQPU[UVGOU 


:

*CTFYCTGKPVJGNQQRUKOWNCVKQPQHTGPGYCDNG
FKUVTKDWVGFIGPGTCVKQPU[UVGOU

0DUFR0DXUL
'HSDUWPHQWRI0HFKDQLFV3ROLWHFQLFRGL0LODQR
,WDO\


+PVTQFWEVKQP

7KH VWURQJ JURZWK RI 'LVWULEXWHG *HQHUDWLRQ '*  V\VWHPV LQVWDOOHG RQ /RZ 9ROWDJH /9 
HOHFWULFDOSRZHUQHWZRUNV ZLWKDW\SLFDOSRZHUUDQJHRIWRN: KDVHPSKDVL]HGWKH
QHHG WR SHUIRUP SUHOLPLQDU\ WHVWV EHIRUH WKH\ DUH SXW LQWR VHUYLFH WR FKHFN WKHLU HIILFLHQF\
DQG YDOLGDWH 3RZHU 4XDOLW\ 34  IXQFWLRQV 7\SLFDOO\ WKHVH WHVWV DUH PDGH RQ '* V\VWHP
SURWRW\SHVDQGHQWDLOKLJKH[SHULPHQWDOFRVWDQGHIIRUW,QDGGLWLRQLWLVRIWHQYHU\KDUGWR
SHUIRUPVLJQLILFDQWWHVWVLQDVKRUWWLPHEHFDXVH'*V\VWHPVXVHUHQHZDEOHHQHUJ\VRXUFHV
OLNHWKHZLQGRUVXQWKDWDUHQRWDOZD\VDYDLODEOH$K\EULGDSSURDFKXVLQJ+DUGZDUHLQ
WKH/RRS +,/ VLPXODWLRQKDVWXUQHGRXWWREHDQHIIHFWLYHWRROIRUWKHHYDOXDWLRQRIWKHVH
V\VWHPVDQGYDULRXVPHWKRGVKDYHEHHQSURSRVHGLQWKHOLWHUDWXUHZKHUH+DUGZDUHLQWKH
/RRS +,/  VLPXODWLRQ UHIHUV WR D V\VWHP LQ ZKLFK SDUWV RI D SXUH VLPXODWLRQ KDYH EHHQ
UHSODFHGZLWKDFWXDOSK\VLFDOFRPSRQHQWV
+DUGZDUH LQ WKH ORRS VLPXODWLRQV +,/6  DUHQRW QHZ EXW KDYH EHHQ XVHG H[WHQVLYHO\ IRU
FRQWUROOHUDVVHVVPHQWIRUDORQJWLPH7KHDHURVSDFHLQGXVWU\KDVEHHQXVLQJWKLVWHFKQLTXH
HYHUVLQFHVRIWZDUHEHFDPHDVDIHW\FULWLFDODVSHFWRIIOLJKWFRQWUROV\VWHPV0RUHUHFHQWO\
KRZHYHUDFRPELQDWLRQRIVHYHUDOIDFWRUVKDVOHGWRDVKDUSLQFUHDVHLQLWVXVHSULQFLSDOO\
WKH UHGXFHG FRVW DQG JUHDWHU DYDLODELOLW\ RI +,/6 SURGXFWV DQG WKH LQWHQVH SUHVVXUH WR
UHGXFHGHYHORSPHQWWLPHDQGFRVWV
+,/ VLPXODWLRQ LV QRZ XVHG PRUH DQG PRUH WR GHYHORS QHZ FRPSRQHQWV DQG DFWXDWRUV LQ
PDQ\ILHOGV9HKLFOHFRPSRQHQWHYDOXDWLRQGULYHFRQWURODVVHVVPHQWSRZHUHOHFWURQLFVDQG
HOHFWULF JULGV VHUYR FRQWURO DQG URERWLFV UDLOZD\ WUDFWLRQ V\VWHPV IRU WUDLQV DQG VXEZD\V
DQGHGXFDWLRQDODSSOLFDWLRQVFDQDOOEHFLWHG0RUHUHFHQWO\+,/VLPXODWLRQVKDYHDOVREHHQ
XVHGWRWHVWGLVWULEXWHGJHQHUDWLRQV\VWHPVHJWRYDOLGDWHFRQWURODOJRULWKPVRU0D[LPXP
3RZHU 3RLQW 7UDFNLQJ 0337  VWUDWHJLHV *HQHUDOO\ WKHVH +,/ WHFKQLTXHV DUH OLPLWHG WR
FRQWURODSSOLFDWLRQVLHWKHUHLVRQO\VLJQDOFRXSOLQJEHWZHHQWKHKDUGZDUHDQGWKHYLUWXDO
V\VWHP 7KLV DSSURDFK HYHQ LI LW LV YHU\ XVHIXO GXULQJ WKH FRQWURO GHVLJQ VWDJH SUHVHQWV
VRPH GHILFLHQFLHV ZKHQ LW LV XVHG WR GHYHORS HOHFWULFDO GULYHV IRU UHQHZDEOH ORZ SRZHU
HQHUJ\JHQHUDWRUV
,QWKHVHV\VWHPVLWLVYHU\LPSRUWDQWWRHYDOXDWHWKHLQWHUDFWLRQVEHWZHHQWKHHOHFWULFDOGULYHV
DQG WKH PHFKDQLFDO FRPSRQHQWV LQ RUGHU WR DYRLG GDQJHURXV ZRUNLQJ FRQGLWLRQV DQG
PRUHRYHUWRHVWLPDWHSUHFLVHO\WKHV\VWHP·VHQHUJ\HIILFLHQF\,QSDUWLFXODUWKLVSDUDPHWHULV
 4GPGYCDNG'PGTI[

DQLPSRUWDQWYDULDEOHLQDUHQHZDEOHHQHUJ\SODQWEHFDXVHWKHVHV\VWHPVDUHTXLWHH[SHQVLYH
DQG D VPDOO LQFUHDVH LQ JOREDO HIILFLHQF\ FDQ GUDVWLFDOO\ UHGXFH WKH SD\EDFN WLPH )RU WKLV
UHDVRQGLIIHUHQWNLQGVRI+,/VLPXODWLRQVFDQEHXVHGWRPHHWWKHVHUHTXLUHPHQWV

*+.UKOWNCVKQPEQPEGRVUHQT&KUVTKDWVGF)GPGTCVKQPU[UVGOU

'*V\VWHPVFDQSUHVHQWGLIIHUHQWWRSRORJLHVEXWDZLGHQXPEHURIWKHPUHTXLUHWKDWDVWDWLF
SRZHU FRQYHUWHU EH HIILFLHQWO\ FRQQHFWHG WR DQ /9 QHWZRUN RU WKDW DFWLYH SRZHU ZLWK D
VWDEOHYROWDJHDQGIUHTXHQF\LVSURYLGHG,QGHHGWKHSRZHUFRQYHUWHULQWHUIDFHFDQSHUIRUP
GLIIHUHQWIXQFWLRQV
x &RPSHQVDWLRQRIUHDFWLYHSRZHU ZLWKRUZLWKRXWVWRUDJHHOHPHQWV 
x &RPSHQVDWLRQ RI QHJDWLYH VHTXHQFH FRPSRQHQWV DQG FRPSRQHQWV ZLWK GLIIHUHQW
IUHTXHQFLHVIRUWKHFXUUHQW
x &RPSHQVDWLRQRIYROWDJHVDJVPLFURLQWHUUXSWLRQVDQGLQWHUUXSWLRQV ZLWKVWRUDJH
HOHPHQWV 
'*VRXUFHVFDQUHO\RQERWKUHQHZDEOHDQGQRQUHQHZDEOHVRXUFHVVXFKDVZLQGWXUELQHV
SKRWRYROWDLFJHQHUDWRUVVPDOOK\GURIXHOFHOOVDQGJDVSRZHUHGFRPELQHGKHDWDQGSRZHU
&+3 VWDWLRQV)LJXUHVKRZVDVLPSOLILHGVFKHPDWLFRIDFRPSOHWH'*V\VWHP

'*6285&(

$& '&

'& $&

%UDNLQJ
'& '& <
6* FKRSSHU '& '&
6HQVLWLYH ,QVHQVLWLYH
)LHOGFLUFXLW ORDG ORDG
'LVVLSDWLYH 39
ORDG V\VWHP
8'& +0, 
*( 7KHUPDOORDG c 3XEOLFQHWZRUN

*(*DV(QJLQH
6* 6\QFKURQRXV *HQHUDWRU

)LJ7KHVLPSOLILHGDUFKLWHFWXUHRIDJHQHULF'LVWULEXWHG*HQHUDWLRQ '* V\VWHP

7KH (OHFWULFDO 'ULYH FRQVWLWXWHV WKH PDLQ VXEV\VWHP RI D UHQHZDEOH '* V\VWHP DQG WKH
PDMRU GHYHORSPHQW HIIRUW LV RIWHQ FRQFHQWUDWHG RQ WKLV SDUW $Q HOHFWULFDO GULYH FDQ EH
GHFRPSRVHG LQWR VHYHUDO VXEV\VWHPV WKH FRQWURO VRIWZDUH WKH SRZHU HOHFWURQLFV VHW WKH
HOHFWULFDOPDFKLQHDQGWKHPHFKDQLFDOORDGWRPRYH )LJ 7\SLFDOO\DGHGLFDWHGFRQWURO
ERDUGLPSOHPHQWVWKHFRQWUROVRIWZDUHDQGVXSSOLHVWKHVZLWFKLQJFRPPDQGVWRWKHSRZHU
HOHFWURQLFV FRQYHUWHU 0HDVXUHPHQWV RI DOO WKH SRZHU SDUWV DUH LQSXWV IRU WKH FRQWUROOHU
ERDUG


3RZHU (OHFWULFDO 0HFKDQLFDO


(OHFWURQLFV 0DFKLQH /RDG*HQ

0HDVXUHPHQW

3URFHVV&RQWURO
6ZLWFKLQJ
VLJQDOV

)LJ7KH(OHFWULFDO'ULYHVWUXFWXUH


*CTFYCTGKPVJGNQQRUKOWNCVKQPQHTGPGYCDNGFKUVTKDWVGFIGPGTCVKQPU[UVGOU 

,QDWUDGLWLRQDOFRPSXWHUVLPXODWLRQDOORIWKHVHSDUWVDUHVLPXODWHGLQWKHVDPHVLPXODWLRQ
VRIWZDUH HQYLURQPHQW DQG LQ RUGHU WR UHGXFH WKH FRPSXWDWLRQ WLPH VLPSOH PRGHOV DQG
RWKHU VLPSOLILFDWLRQV DUH FRQVLGHUHG HJ WKH VDPSOLQJ SHULRG RI WKH FRQWURO LV RIWHQ
QHJOHFWHG  7KLV DSSURDFK LV QRW DOZD\V DFFXUDWH HQRXJK WR DOORZ D UHDOWLPH
LPSOHPHQWDWLRQRIWKHFRQWUROZLWKRXWRWKHULQWHUPHGLDWHVWHSV+,/VLPXODWLRQFRXOGEHD
YHU\ XVHIXO LQWHUPHGLDU\ VWHS RQH RI WKH VLPXODWHG SDUWV FDQ EH UHSODFHG E\ LWV KDUGZDUH
FRPSRQHQWLQRUGHUWRWDNHLQWRDFFRXQWWKHUHDOFRQVWUDLQWVLQWKHVLPXODWLRQORRS )LJ 


6RIWZDUH6LPXODWLRQ

+,/WHVWV

+DUGZDUH
LPSOHPHQWDWLRQ



)LJ(OHFWULFDO'ULYHGHVLJQSURFHGXUH

'LIIHUHQWNLQGVRI+,/VLPXODWLRQVFDQEHFRQVLGHUHG

x 6LJQDO OHYHO +,/ VLPXODWLRQ ZKHUH RQO\ WKH FRQWURO ERDUG LV WHVWHG DQG WKH RWKHU
SDUWV DUH VLPXODWHG LQ UHDOWLPH 7KLV NLQG RI +,/ VLPXODWLRQ KDV YHU\ RIWHQ EHHQ
HPSOR\HG LQ DHURVSDFH DQG DXWRPRWLYH DSSOLFDWLRQV IRU WKH DVVHVVPHQW RI
FRQWUROOHUERDUGV )LJ 
x 3RZHU OHYHO +,/ VLPXODWLRQ ZKHUH WKH FRQWURO ERDUG DQG WKH SRZHU HOHFWURQLFV
FRQYHUWHU DUH HYDOXDWHG DQG WKH HOHFWULFDO PDFKLQH DQG WKH PHFKDQLFDO ORDG DUH
VLPXODWHG )LJ 
x 0HFKDQLFDO OHYHO +,/ VLPXODWLRQ ,Q WKLV FDVH WKH ZKROH GULYH FRQWURO SRZHU
HOHFWURQLFV DQG HOHFWULFDO PDFKLQH  LV WHVWHG DQG WKH PHFKDQLFDO SDUW LV VLPXODWHG
)LJ 

(DFK RI WKHVH VLPXODWLRQV FDQ EH XVHG WR WHVW D '* HOHFWULFDO GULYH DOWKRXJK REYLRXVO\
KLJKOLJKWLQJGLIIHUHQWDVSHFWVDQGSUREOHPV

5KIPCN.GXGN*+.UKOWNCVKQP
,Q D 6LJQDO /HYHO +DUGZDUH LQ WKH /RRS 6LPXODWLRQ RQO\ WKH FRQWUROOHU ERDUG ZKLFK
FRQWDLQVWKHSURFHVVFRQWURO LVWHVWHG )LJ 7KHRWKHUSDUWV SRZHUHOHFWURQLFVPDFKLQH
DQG PHFKDQLFDO ORDG  DUH VLPXODWHG LQ UHDOWLPH 7KH VLPXODWLRQ V\VWHP PXVW PDQDJH WKH
LQSXWVDQGRXWSXWVRIWKHFRQWUROOHUERDUGXQGHUWHVW$VHFRQGFRQWUROOHUERDUGLVWKXVXVHG
WR VLPXODWH LQ UHDOWLPH WKH SRZHU SDUWV RI WKH V\VWHP 6SHFLILF VLJQDO FRQGLWLRQLQJ LV
UHTXLUHG WR LPSRVH WKH VDPH LQSXWV DQG RXWSXWV DV LPSRVHG E\ WKH SRZHU SDUWV 7KLV
PHWKRG FDQ EH FDOOHG ´VLJQDO OHYHO +,/ VLPXODWLRQµ EHFDXVH RQO\ VLJQDOV DUH XVHG DW WKH


 4GPGYCDNG'PGTI[

LQWHUIDFHEHWZHHQWKHV\VWHPXQGHUWHVWDQGWKHVLPXODWLRQHQYLURQPHQW7KLVNLQGRI+,/
KDVYHU\RIWHQEHHQHPSOR\HGLQDHURVSDFHDQGDXWRPRWLYHDSSOLFDWLRQVIRUWKHDVVHVVPHQW
RIFRQWUROOHUERDUGV


6\VWHP 6LPXODWLRQ
XQGHUWHVW HQYLURQPHQW

5HDOWLPH
FRQWURO
VLPXODWLRQ



)LJ6LJQDO/HYHO+,/VLPXODWLRQ

2QYGT.GXGN*+.UKOWNCVKQP
,Q D 3RZHU /HYHO +,/ VLPXODWLRQ WKH DFWXDO FRQWUROOHU ERDUG DQG WKH SRZHU HOHFWURQLFV
FRQYHUWHU DUH HYDOXDWHG 7KH RWKHU SDUWV HOHFWULFDO PDFKLQH DQG PHFKDQLFDO ORDG  DUH
VLPXODWHG7KHVLPXODWLRQV\VWHPPXVWLPSRVHLQSXWVDQGRXWSXWVIRUWKHSRZHUHOHFWURQLFV
DQGWKHFRQWUROOHUERDUGXQGHUWHVW7KHVLPXODWLRQHQYLURQPHQWLVJHQHUDOO\FRPSRVHGRID
VHFRQG SRZHU HOHFWURQLFV VHW HOHFWULF ORDG  DQG D VHFRQG FRQWUROOHU ERDUG UHDOWLPH
VLPXODWLRQ  )LJ 


6\VWHP 6LPXODWLRQ
XQGHUWHVW HQYLURQPHQW

3RZHU (OHFWURQLF 5HDOWLPH


FRQWURO
FRQYHUWHU ORDG VLPXODWLRQ



)LJ3RZHU/HYHO+,/VLPXODWLRQ

/GEJCPKECN.GXGN*+.UKOWNCVKQP
,QWKLVFDVHWKHZKROHGULYH FRQWUROSRZHUHOHFWURQLFVDQGHOHFWULFPDFKLQH LVWHVWHGDQG
WKH PHFKDQLFDO SDUW LV VLPXODWHG 7KH VLPXODWLRQ V\VWHP PXVW LPSRVH PHFKDQLFDO LQSXWV
DQG RXWSXWV RQ WKH HOHFWULFDO PDFKLQH XQGHU WHVW 0RUHRYHU PHDVXUHPHQWV RQ WKH
PHFKDQLFDO SDUW KDYH WR EH VHQW WR WKH FRQWUROOHU ERDUG XQGHU WHVW $QRWKHU HOHFWULFDO
PDFKLQH ORDG PDFKLQH  LV RIWHQ XVHG DV D FRQWUROOHG PHFKDQLFDO ORDG ,W LV VXSSOLHG E\ D
VHFRQGSRZHUHOHFWURQLFVVHW ORDGVXSSO\ $VHFRQGFRQWUROOHUERDUG UHDOWLPHVLPXODWLRQ 
LVUHTXLUHGWRFRQWUROWKHORDGPDFKLQHDQGWRVHQGILFWLWLRXVPHFKDQLFDOPHDVXUHPHQWVWR
WKHFRQWUROOHUERDUGXQGHUWHVW )LJ 



*CTFYCTGKPVJGNQQRUKOWNCVKQPQHTGPGYCDNGFKUVTKDWVGFIGPGTCVKQPU[UVGOU 


6\VWHP 3RZHU 6LPXODWLRQ
3RZHU
XQGHUWHVW &RQYHUWHU HQYLURQPHQW
&RQYHUWHU
(OHFWULFDO (OHFWULFDO 5HDOWLPH
FRQWURO
0DFKLQH 0DFKLQH VLPXODWLRQ



)LJ0HFKDQLFDO/HYHO+,/VLPXODWLRQ

4GCN6KOGOQFGNKPIEQPEGRVU

7KHLPSOHPHQWDWLRQRIUHDOWLPHPRGHOVRIFRQWUROOHGGHYLFHVLVDZHOONQRZQSUREOHPEXW
EHFRPHV D PRUH GLIILFXOW FKDOOHQJH ZKHQ WKH WLPH FRQVWUDLQWV DUH YHU\ QDUURZ 7KH
VLPXODWLRQPRGHOVVKRXOGVDWLVI\GLIIHUHQWUHTXLUHPHQWV
x SUHFLVLRQDQGUHOLDELOLW\WRUHSUHVHQWSK\VLFDOV\VWHPEHKDYLRU
x D VLPSOH PDWKHPDWLFDO VWUXFWXUH WR DOORZ IRU IDVW QXPHULFDO LQWHJUDWLRQ DQG HDV\
VRIWZDUHLPSOHPHQWDWLRQ
x DVWDQGDUGVWUXFWXUHIRUWKHPRGHOHTXDWLRQLQRUGHUWRREWDLQDPRUHIOH[LEOHDQG
HDVLO\FRQILJXUDEOHVLPXODWLRQSODWIRUP
$Q2EMHFW2ULHQWHGDSSURDFKLVW\SLFDOO\IROORZHGWRPHHWWKHVHFKDUDFWHULVWLFVGXULQJWKH
LPSOHPHQWDWLRQRIHPXODWLRQPRGHOVPDNLQJLWSRVVLEOHWRLPSURYHWKHHPXODWRUIOH[LELOLW\
(DFKSDUWRIWKHFRPSOHWHV\VWHPKDVEHHQFRQVLGHUHGDVDVLQJOHREMHFWZLWKLQSXWVRXWSXWV
DQG LQWHUQDO VWDWHV ,Q WKLV ZD\ LW LV YHU\ VLPSOH WR UHFRQILJXUH WKH VLPXODWLRQ V\VWHP
ZLWKRXWFKDQJLQJWKHKDUGZDUHDQGVRIWZDUHVWUXFWXUH

5KIPCN.GXGN/QFGNKPI

L Q  Y Q  L  Q 

L  Q  L  Q 
 
'&EULGJH   

,QYHUWHU 


Y Q  Y Q  


)LJ([DPSOHRIDQ2EMHFW2ULHQWHGLQWHJUDWLRQSURFHGXUHIRUWKH'&6WDJH

,Q VLJQDO OHYHO UHDOWLPH PRGHOLQJ WKH VPDOOHVW ERXQG LV WKH WLPH VWHS QHFHVVDU\ WR
LPSOHPHQWWKHKLJKG\QDPLFEHKDYLRURIWKHSRZHUHOHFWURQLFVVWDJH7KLVWLPHVWHSLVYHU\
VPDOO W\SLFDOO\  PV  VR LW LV QHFHVVDU\ WR PDNH D JUHDW HIIRUW WR GHYHORS VXLWDEOH
PRGHOV


 4GPGYCDNG'PGTI[

+RZHYHU D VXLWDEOHFKRLFH IRU LQSXWRXWSXW REMHFW VLJQDOVPDNHV LW SRVVLEOH WR H[WHQG WKH
2EMHFW 2ULHQWHG DSSURDFK GXULQJ WKH VLPXODWLRQ SKDVHLQRUGHU WRLPSURYH WKHVLPXODWLRQ
VSHHGEHFDXVHHDFKREMHFWFDQEHLQWHJUDWHGVHSDUDWHO\DQGLQDSDUDOOHOZD\
,WLVREYLRXVWKDWWKLVDSSUR[LPDWLRQLVDFFHSWDEOHRQO\LILQSXWRXWSXWREMHFWVLJQDOVFKDQJH
VORZO\6LJQDOVWKDWVDWLVI\WKLVUHTXLUHPHQWDUHWKHVWDWHYDULDEOHVRIHDFKVXEV\VWHP)LJXUH
VKRZVWKHSURSRVHGSURFHGXUHIRUWKHFRQQHFWLRQEHWZHHQWZRSRZHUFRQYHUWHUVRID'*
V\VWHP )LJ 7KHSUHVHQFHRIDFDSDFLWRURQWKH'&EXVPDNHVLWSRVVLEOHWRGHFRXSOHWKH
LQWHJUDWLRQRIWKHWZRSRZHUFRQYHUWHUPRGHOV
$QRWKHU ELJ SUREOHP WKDW LV W\SLFDO RI WKLV +,/ VLPXODWLRQ LV WKH KLJK VDPSOLQJ VSHHG
QHFHVVDU\LQRUGHUWRDFTXLUHFRQWUROERDUGVZLWFKLQJFRPPDQGV,QRUGHUWRGHFRXSOHWKH
DFTXLVLWLRQ WLPH RI WKH VZLWFKLQJ VWDWH DQG WKH LQWHJUDWLRQ WKH DYHUDJH YDOXHV RI WKH
VZLWFKLQJIXQFWLRQVDUHRIWHQXVHGLQVWHDGRIWKHDFWXDOYDOXHV'LIIHUHQWDYHUDJLQJPHWKRGV
DUH SUHVHQWHG LQ WKH OLWHUDWXUH DFFRUGLQJ WR WKH VLPXODWLRQ UHTXLUHPHQWV HVSHFLDOO\ LQ WKH
HPXODWLRQRIV\VWHPIDXOWV$QLQWHUHVWLQJDYHUDJLQJODZLVSUHVHQWHGLQ %XFFDHWDO 
ZKHUHDWZROHYHOLQYHUWHUKDVEHHQPRGHOHGXVLQJDGHGLFDWHGDFTXLVLWLRQERDUGZLWKWZR
FRXQWHUV,QIDFWWKHRXWSXWYROWDJHYHFWRURIWKHWZROHYHOLQYHUWHUGHSHQGVRQWKH'&EXV
YROWDJHYDOXHDQGRQWKHJDWHVLJQDOVHTXHQFHRQO\ )LJ 
7KHFRXQWHULQFUHPHQWLVDJDWHVLJQDOIXQFWLRQ 7DEOH DQGWKHPHDQYDOXHVRIWKHGDQGT
FRPSRQHQWVRIWKHRXWSXWYROWDJHVSDFHYHFWRUFRXOGEHREWDLQHGXVLQJ(TXDWLRQ  

 4
 

  



'




)LJ2XWSXWYROWDJHYHFWRUVIRUDWZROHYHOLQYHUWHU


*DWHVLJQDOV VZG VZTLQFUHPHQW
 L 
      
     
  
  
     
    
  
7DEOH&RXQWHULQFUHPHQWV



*CTFYCTGKPVJGNQQRUKOWNCVKQPQHTGPGYCDNGFKUVTKDWVGFIGPGTCVKQPU[UVGOU 

1
 
YVG

9'&
1
¦ VZ Q
G
Q 
1
  
 
YVT

9'&
1
¦ VZ Q
T
Q 

ZKHUH
x 1LVWKHQXPEHURIJDWHVLJQDOVDPSOHVGXULQJDQLQWHJUDWLRQVWHS
x VZG Q VZT Q DUHWKHQWKYDOXHVRIWKHFRXQWHUVDFFRUGLQJWR7DEOH
x 9'&LVWKHYDOXHRIWKH'&EXVYROWDJH

%HFDXVH WKLV YROWDJH LV W\SLFDOO\ XVHG DV DQ LQSXW RI HOHFWULFDO PDFKLQH PRGHOV WKDW DUH
ZULWWHQ RQ D GT D[LV WKLV DYHUDJLQJ PHWKRG UHGXFHV WKH QXPEHU RI FDOFXODWLRQV ZLWK D
UHPDUNDEOHLPSURYHPHQWLQWKHVLPXODWLRQVSHHG

2QYGT.GXGN/QFGNKPI
3RZHU OHYHO +,/ VLPXODWLRQV KDYH SUREOHPV VLPLODU WR 6LJQDO OHYHO +,/ EHFDXVH WKH WLPH
ERXQGDULHVGHSHQGRQWKHVDPHHOHFWULFDOFRPSRQHQWV
$ ELJ SUREOHP LQ D 3RZHU OHYHO +,/ VLPXODWLRQ LV WKDW LW LV QHFHVVDU\ WR GHFRXSOH WKH
G\QDPLFV RI DQ HOHFWURQLF ORDG IURP WKH SRZHU HOHFWURQLF FRQYHUWHU 7\SLFDOO\ WKLV
VLPXODWLRQKDVEHHQXVHGLQ'*+,/VLPXODWLRQVWRWHVWWKH39ILHOGFRQWUROOHULQRUGHUWR
DOVRHYDOXDWHWKHSRZHUFRQYHUWHUHIILFLHQF\
$W\SLFDOVFKHPDWLFRIDQ+,/SRZHUOHYHOWHVWEHQFKLVVKRZQLQ)LJ


&RQWURO
ERDUG

&RQYHUWHU 5/& &RQWUROOHG


XQGHU ILOWHU LQYHUWHU
WHVW



)LJ6FKHPDWLFRI3RZHUOHYHO+,/WHVWEHQFK

$ WKUHHSKDVH 5/& ILOWHU FRQQHFWV WKH KDUGZDUH XQGHU WHVW ZLWK WKH FRQWUROOHG FRQYHUWHU
7KH ILOWHU GHFRXSOHV WKH RSHUDWLRQ RI WKH FRQYHUWHU IURP WKH KDUGZDUH XQGHU WHVW DQG
UHGXFHVWKHULSSOHLQWURGXFHGE\WKHVZLWFKLQJRSHUDWLRQVRIWKHFRQWUROOHGLQYHUWHU,QWKLV
FRQILJXUDWLRQ WKH FXUUHQWV GUDLQHG LQ HDFK EUDQFK RI WKH ILOWHU FDQ EH UHJXODWHG E\
FRQWUROOLQJWKHRXWSXWYROWDJHVRIWKHLQYHUWHULQRUGHUWRWUDFNWKHUHIHUHQFHVFRPSXWHGE\
WKHUHDOWLPHVLPXODWLRQ


 4GPGYCDNG'PGTI[

$ FULWLFDO VWHS LQ WKH UHDOL]DWLRQ RI WKLV WHVW EHQFK LV WKH PHDVXUHPHQW RI WKH YROWDJHV
JHQHUDWHG E\ WKH FRQYHUWHU XQGHU WHVW EHFDXVH WKHVH YROWDJHV UHSUHVHQW WKH LQSXWV IRU WKH
UHDOWLPH VLPXODWLRQ $ ZD\ WR RYHUFRPH WKLV SUREOHP LV WR HVWLPDWH WKHVH YROWDJHV E\
DFTXLULQJ WKH VZLWFK VLJQDO LQ D ZD\ VLPLODU WR WKH VLJQDO OHYHO +,/ WHVW EHQFK EXW WKLV
VWUXFWXUHGHSHQGVRQWKHFRQWUROHOHFWURQLFVRIWKHFRQYHUWHUXQGHUWHVW,QIDFWWKHSODWIRUP
LQWHUIDFH KDV WR EH VSHFLILFDOO\ FXVWRPL]HG EDVHG RQ WKH FKDUDFWHULVWLFV RI WKH VLJQDOV WKDW
GULYH WKH VZLWFK JDWHV ,Q DGGLWLRQ WKHVH VLJQDOV PD\ QRW EH DYDLODEOH LQ LQGXVWULDO
FRQYHUWHUV
7KHHDVLHVWVROXWLRQLIWKHJDWHVLJQDOVFDQQRWEHXVHGLVWRPHDVXUHWKHDYHUDJHYROWDJHRI
WKHFRQYHUWHURXWSXWGLUHFWO\7KHYROWDJHVDUHVFDOHGDQGUHGXFHGWRDVLJQDOOHYHOE\PHDQV
RI VXLWDEOH VHQVRUV HJ KDOO VHQVRUV  WKDW SURYLGH JDOYDQLF LVRODWLRQ DQG WKHQ WKH\ DUH
DYHUDJHGRYHUDVLPXODWLRQSHULRG7KHPDLQDGYDQWDJHRIWKLVWHFKQLTXHLVWKDWWKHYROWDJH
XVHGLQWKHUHDOWLPHVLPXODWLRQLVUHFRQVWUXFWHGIURPWKHSRZHUVLJQDOLQVWHDGRIWKHJDWH
VLJQDO LQ RUGHU WR LQFOXGH VZLWFKLQJ QRQOLQHDULW\ DQG LPSURYH WKH +,/ WHVW EHQFK
VWDQGDUGL]DWLRQ

/GEJCPKECN.GXGN/QFGNKPI
,QDPHFKDQLFDOOHYHO+,/VLPXODWLRQWKHSUHVHQFHRIDUHDOHOHFWULFDOGULYHUHPRYHVWKHYHU\
VPDOOWLPHVWHSERXQGDULHVRIVLJQDOOHYHODQGSRZHUOHYHO+,/VLPXODWLRQVDQGLQWURGXFHV
QHZERXQGDULHVWKDWGHSHQGRQPHFKDQLFDOG\QDPLFV  

GZ
7P 7U  -   
 GW

ZKHUH7PLVWKHHOHFWURPDJQHWLFWRUTXH7ULVWKHORDGWRUTXHDQG-LVWKHHTXLYDOHQWLQHUWLD
(TXDWLRQ   VKRZV WKDW WKH HOHFWULFDO GULYH XVHG WR HPXODWH WKH PHFKDQLFDO ORDG VKRXOG
VXSSO\QRWRQO\WKHORDGWRUTXHEXWDOVRWKHLQHUWLDOWRUTXHZKLFKFRXOGSUHVHQWKLJKYDOXHV
DQGG\QDPLFV7RVDWLVI\WKLVUHTXLUHPHQWLWLVQHFHVVDU\WRXVHDKLJKSHUIRUPDQFHGULYH
ZKLFKLVQRWYHU\VLPSOHWRLPSOHPHQWDQGFRQWURO
7RDYRLGWKLVSUREOHPDGLIIHUHQWDSSURDFKFDQEHXVHGDVSURSRVHGLQ ,QSDUWLFXODUWKH
'*SRZHUVRXUFHSUHVHQWVDORZG\QDPLFVSHHGYDULDWLRQGXHWRDKLJKGDPSLQJIDFWRUDQG
LQHUWLD VR LW LV SRVVLEOH WR PRGLI\ WKH PHFKDQLFDO HPXODWRU FRQWURO RI WKH HOHFWULFDO GULYH
IURP WRUTXH WR VSHHG FRQWURO ,Q WKLV ZD\ WKH PHFKDQLFDO PRGHO FRXOG EH UHGXFHG WR D
TXDVLVWHDG\VWDWH PRGHO E\ FRQVLGHULQJ WKH '* SRZHU VRXUFH VSHHG DV D FRQVWDQW GXULQJ
WKH LQWHJUDWLRQ VWHS 7KLV LV SRVVLEOH EHFDXVH WKH LQWHJUDWLRQ PRGHO VWHS LV YHU\ VPDOO
FRPSDUHGZLWKWKHPHFKDQLFDOWLPHFRQVWDQWVGXHWRWKHSUHYLRXVFRQVLGHUDWLRQV
8VLQJWKLVDSSURDFKWKHDFFHOHUDWLRQWRUTXHFDQEHFDOFXODWHGE\VXEWUDFWLQJWKHORDGSRZHU
3O  IURP WKH DYDLODEOH PHFKDQLFDO VRXUFH SRZHU 3V  DQG GLYLGLQJ WKH UHVXOW E\ WKH DFWXDO
VSHHG 7KH ORDG SRZHU LV PHDVXUHG E\ WKH HOHFWULFDO GULYH WR WDNH LQWR DFFRXQW DOO WKH
PHFKDQLFDOORVVHVLQWKHSRZHUWUDLQ
7KHQHZVSHHGUHIHUHQFH ǚUHI IRUWKHHOHFWULFDOGULYHWKDWHPXODWHVWKH'*SRZHUVRXUFHLV
FDOFXODWHG E\ GLYLGLQJ WKH DFFHOHUDWLRQ WRUTXH E\ WKH V\VWHP HTXLYDOHQW LQHUWLD DV LV
LQGLFDWHGLQ  DQG  DQGUHSUHVHQWHGLQ)LJ



*CTFYCTGKPVJGNQQRUKOWNCVKQPQHTGPGYCDNGFKUVTKDWVGFIGPGTCVKQPU[UVGOU 

3V  3O 
7D  
 Z DFW
G 'Z P 
7DFF  %Z DFW   
 GW -
'W
§7 ·
 'Z P ³ ¨ D  %Z DFW ¸GW ŸZUHI Z DFW  'Z P 
-
 
 © ¹


6SHHG
 $FFHOHUDWLRQ
 WRUTXH
0HFKDQLFDO  
PRGHO Z -
 6SHHG
UHIHUHQFH

(OHFWULFDOGULYHWRUTXH

)LJ&DOFXODWLRQRIWKHQHZVSHHGUHIHUHQFH

7KHSURSRVHGDSSURDFKVLPSOLILHVWKHPRGHOLQJRIKLJKLQHUWLDORDGVPDNLQJLWSRVVLEOHWR
WHVW FRQWURO VWUDWHJLHV XQGHU G\QDPLF FRQGLWLRQV ZKLOH DYRLGLQJ WKH PHDVXUHPHQW RI ORDG
DFFHOHUDWLRQ0RUHRYHULWLVSRVVLEOHWRXVHDOHVVVRSKLVWLFDWHGHOHFWULFDOGULYHFRQWUROERDUG
DQGHPXODWLRQERDUGWKXVUHGXFLQJWKHWHVWEHQFKFRVW
$ GLIIHUHQW DSSURDFK ZDV SURSRVHG LQ .XSHUPDQ DQG 5DELQRYLFL   ZKHUH WKH
VLPXODWLRQRIORDGYDULDWLRQZDVLQWURGXFHGE\DGGLQJDYLUWXDOORDGVLJQDOWRWKHRXWSXWRI
WKH HOHFWULFDO PRWRU FRQWUROOHU (YHQ WKRXJK WKLV DSSURDFK LV YHU\ LQWHUHVWLQJ LW LV YHU\
GLIILFXOWWRLPSOHPHQWLWEHFDXVHLWLVQHFHVVDU\WRPRGLI\WKHFRQWUROOHUVRIWZDUH

'ZRGTKOGPVCNTGUWNVU

,QWKHIROORZLQJVHFWLRQVVRPHH[SHULPHQWDOUHVXOWVXVLQJGLIIHUHQW+,/FRQILJXUDWLRQVDUH
SUHVHQWHG
0RWRU 
5DWHGSRZHUDW+] :
5DWHGWRUTXH 1P
5DWHGVSHHG USP
5DWHGFXUUHQW $
6WDUWLQJFXUUHQW $
3RZHUIDFWRU 
6WDUWLQJ7RUTXH 1P
5RWRULQHUWLD uNJP
1URISROHSDLUV 
6WDWRULFSKDVHUHVLVWDQFH :
5RWRULFSKDVHUHVLVWDQFH :
0DJQHWL]LQJLQGXFWDQFH +
(OHFWULFDO7LPHFRQVWDQW uV


 4GPGYCDNG'PGTI[

&RQYHUWHU 
,QSXWYROWDJH VLQJOHSKDVH9
2XWSXWSRZHU :RYHUOPLQ
2XWSXWYROWDJH 9
3RZHUVZLWFKHV ,*%7

7DEOH(PXODWHG&RQYHUWHUDQG0RWRUFKDUDFWHULVWLFV

5KIPCN.GXGN*+.UKOWNCVKQP
$QH[DPSOHRIDUHDOWLPHHPXODWRUKDUGZDUHVWUXFWXUHIRUVLJQDOOHYHO+,/VLPXODWLRQVLV
SUHVHQWHG LQ )LJ  7KH +,/ WHVW EHQFK HPXODWHV DQ DV\QFKURQRXV GULYH ZLWK WKH
FKDUDFWHULVWLFV LQGLFDWHG LQ 7DEOH  7KH HOHFWULFDO GULYH XVHG IRU WKH WHVW ZDV D 7HFKQRVRIW
LQGXFWLRQPRWRUGULYHZLWKDFRQWUROERDUGEDVHGRQ706)'63


3:0 3:0
VLJQDO VLJQDO 

'VSDFH  ,QWHUIDFH  &RQWURO 


%RDUG V %RDUG  %RDUG 

VSHHG DQG 
(QFRGHUDQG 
FXUUHQW 
FXUUHQWVLJQDOV 

'LJLWDOFRQWUROVLJQDO V


)LJ6LJQDOOHYHO+,/WHVWEHQFKDUFKLWHFWXUH

$ G6SDFH V\VWHP GV ERDUG EDVHG  ZDV XVHG WR LQWHJUDWH WKH HOHFWULFDO GULYH PRGHOV
DFTXLUH WKH 3:0 VLJQDO DQG JHQHUDWH VSHHG DQG FXUUHQW VLJQDOV $ GHGLFDWHG LQWHUIDFH
ERDUGZDVXVHGWRDGDSWWKHDQDORJXHVLJQDOOHYHOVDQGJHQHUDWHWKHHQFRGHUVLJQDOV

N+] 
(QF
FRQGLWLRQLQJ 

6SHHG  3UHVHW
6LJQDOV


9+]
9 (QF

3UHVHW 



)LJ(QFRGHUHPXODWLRQ

7KH HQFRGHU VLJQDO JHQHUDWLRQ ZDV GRQH XVLQJ D 9ROWDJH)UHTXHQF\ FRQYHUWHU DQG WZR
GLJLWDO FRXQWHUV )LJ   7KH EDVLF LGHD ZDV EDVHG RQ WKH REVHUYDWLRQ WKDW LI WKH FRXQWHU


*CTFYCTGKPVJGNQQRUKOWNCVKQPQHTGPGYCDNGFKUVTKDWVGFIGPGTCVKQPU[UVGOU 

FKLSV KDYH EHHQ LQLWLDOL]HG WR  DQG  UHVSHFWLYHO\ WKH RXWSXW QG ELW VLJQDOV DUH VTXDUH
VLJQDOVZLWKDǑSKDVHVKLIW
)LJVKRZVWKHSKDVHFXUUHQWDQGVSHHGVLJQDOVDFTXLUHGE\WKHFRQWUROERDUGIRUGLIIHUHQW
VSHHGWUDQVLHQWV7KHLQGXFWLRQPRWRUZDVFRQWUROOHGXVLQJFORVHORRSILHOGRULHQWHGFRQWURO




D 3KDVHFXUUHQW E 6SHHG



F 3KDVHFXUUHQW G 6SHHG
)LJ  &RPSDULVRQ EHWZHHQ UHDO PRWRU DFTXLVLWLRQ DQG HPXODWHG V\VWHP DFTXLVLWLRQ RI
SKDVHFXUUHQWDQGVSHHGIRUGLIIHUHQWVSHHGWUDQVLHQWV

,W LV LQWHUHVWLQJ WR QRWH WKDW WKH UHDO WUDQVLHQWV DQG HPXODWHG WUDQVLHQWV DUH YHU\ VLPLODU
7KHUH ZDV D OLWWOH GLIIHUHQFH LQ WKH ILUVW VSHHG DFTXLVLWLRQ )LJ E  EXW LW ZDV SUDFWLFDOO\
OLPLWHG WR WKH OHVV VLJQLILFDQW ELW RI WKH GLJLWDO DFTXLVLWLRQ 7KLV GLIIHUHQFH ZDV SULQFLSDOO\
FDXVHGE\WKHDEVHQFHRIDQ\DGGLWLRQDOFRQGLWLRQLQJVWDJHEHWZHHQWKHHQFRGHUHPXODWLRQ
ERDUGDQGWKHFRQWUROERDUGDQGZDVPRUHVLJQLILFDQWDWORZVSHHG FRPSDULQJ)LJEG 

2QYGT.GXGN*+.UKOWNCVKQP
$ SRZHU OHYHO +,/ VLPXODWLRQ RI D 39 ILHOG ZDV SHUIRUPHG $ W\SLFDO FRQILJXUDWLRQ IRU D
SKRWRYROWDLF 39 JHQHUDWRULVVKRZQLQ)LJ



 4GPGYCDNG'PGTI[


)LJ&RQILJXUDWLRQRIHPXODWHG39ILHOG

1RUPDOO\DVHWRI39PRGXOHVLVVHULHVDQGSDUDOOHOFRQQHFWHGWRIRUPD39PXOWLSOHPRGXOH
RU39VXEILHOGZLWKVXLWDEOHUDWHGYROWDJHDQGFXUUHQW7KH39VXEILHOGLVWKHQFRQQHFWHGWR
D'&'&FRQYHUWHU,WLVDOVRSRVVLEOHWRFRQQHFWLQGLYLGXDO39VWULQJVWRWKHLURZQ'&'&
FRQYHUWHUV7KH39JHQHUDWRUFDQZRUNHLWKHULQDJULGFRQQHFWLRQPRGHRULQVWDQGDORQH
RSHUDWLRQ ZLWKRXW D VWRUDJH V\VWHP WKDQNV WR D VXLWDEOH FRQWURO VWUDWHJ\ :KHQ D
SKRWRYROWDLF V\VWHP ZRUNV LQ WKH JULG FRQQHFWLRQ PRGH D 0337 FRQWURO WHFKQLTXH LV
LPSOHPHQWHGLQRUGHUWRH[WUDFWWKHPD[LPXPHOHFWULFDOHQHUJ\IURPWKH39SDQHO
8VLQJ WKH +,/ WHVW EHQFK D '&'& FRQYHUWHU IRU D 39 ILHOG ZLWK D 3HUWXUE DQG 2EVHUYH
0337DOJRULWKPZDVWHVWHG7KHEHKDYLRURID6+(//6439SDQHOZDVHPXODWHG)LJ
VKRZV WKH EHKDYLRU RI D 6+(// 64 39 SDQHO IRU GLIIHUHQW LUUDGLDQFH OHYHOV DQG
WHPSHUDWXUHV

 

  
6 :P  7 .
7 .
 6 :P   
GDWD
 GDWD  GDWD
GDWD GDWD
 
 

 
 
 
 

 
         

)LJ6+(//4399,FKDUDFWHULVWLFV

7KHLPSOHPHQWHG3 2DOJRULWKPRSHUDWHVE\SHULRGLFDOO\SHUWXUELQJ LHLQFUHPHQWLQJRU
GHFUHPHQWLQJ WKHDUUD\WHUPLQDOYROWDJHDQGFRPSDULQJWKH39RXWSXWSRZHUZLWKWKDWRI
WKH SUHYLRXV SHUWXUEDWLRQ F\FOH ,I WKH 39 DUUD\ RSHUDWLQJ YROWDJH FKDQJHV DQG WKH SRZHU
LQFUHDVHV G3G939!  WKH FRQWURO V\VWHP PRYHV WKH 39 DUUD\ RSHUDWLQJ SRLQW LQ WKDW
GLUHFWLRQ RWKHUZLVH WKH RSHUDWLQJ SRLQW LV PRYHG LQ WKH RSSRVLWH GLUHFWLRQ ,Q WKH QH[W
SHUWXUEDWLRQF\FOHWKHDOJRULWKPFRQWLQXHVLQWKHVDPHZD\
$FRPPRQSUREOHPLQ3 2DOJRULWKPVLVWKDWWKHDUUD\WHUPLQDOYROWDJHLVSHUWXUEHGHYHU\
0337 F\FOH WKHUHIRUH ZKHQ WKH 033 LV UHDFKHG WKH RXWSXW SRZHU RVFLOODWHV DURXQG WKH
PD[LPXP UHVXOWLQJ LQ SRZHU ORVV LQ WKH 39 V\VWHP 7KLV LV HVSHFLDOO\ WUXH LQ FRQVWDQW RU
VORZO\YDU\LQJDWPRVSKHULFFRQGLWLRQVEXWDOVRRFFXUVXQGHUUDSLGO\FKDQJLQJDWPRVSKHULF
FRQGLWLRQV LQWKLVFDVHWKHSHUWXUEDWLRQGLUHFWLRQFDQEHZURQJ 


*CTFYCTGKPVJGNQQRUKOWNCVKQPQHTGPGYCDNGFKUVTKDWVGFIGPGTCVKQPU[UVGOU 

7KHUH DUH PDQ\ GLIIHUHQW 3 2 PHWKRGV DYDLODEOH LQ WKH VFLHQWLILF OLWHUDWXUH ,Q WKLV FDVH D
PRGLILHG 3 2 DOJRULWKP ZDV DGRSWHG LQ ZKLFK WKH SHUWXUEDWLRQ DPSOLWXGH RI WKH 39
RSHUDWLQJSRLQWKDVDFRQVWDQWO\YDULDEOHPDJQLWXGH7KHPDJQLWXGHRIWKHSHUWXUEDWLRQLVD
IXQFWLRQRIWKHSRZHUYDULDWLRQQHFHVVDU\WRUHDFKWKHWDUJHW

D E 

)LJD N:39VXEILHOG,9RXWSXWFKDUDFWHULVWLFVGXULQJVWDUWXSSKDVH , $ !9
9 9 !9 E ,9FKDUDFWHULVWLFVGXULQJVWDUWXSSKDVHRI0337FRQWURO

D E 

)LJ   N: 39 VXEILHOG ,9 RXWSXW FKDUDFWHULVWLFV ZKHQ YDULDEOH VWHS 3 2 DOJRULWKP LV
XVHG , $ !99 9 !9 D GXULQJSRZHUGLVFKDUJLQJ IURP:WR: DQG
E GXULQJSRZHUFKDQJLQJ IURP:WR: 

)LJSUHVHQWVWKH9,FKDUDFWHULVWLFVGXULQJWKH39VXEILHOGVWDUWXSVLPXODWLRQ7KH39
VXEILHOGFXUUHQWVWDUWVIURPDQXOOYDOXHZLWKWKHPD[LPXPYROWDJHYDOXHDQGUHDFKHVWKH
033LQVHFRQGVZLWKFRQVWDQWFXUUHQWULSSOHDPSOLWXGH
$QLQVWDQWDQHRXVUHGXFWLRQLQWKH39VXEILHOGSRZHUIURP:WR:ZDVVLPXODWHG
7KH 033 FKDQJHV IURP 9$ WR 9$ )LJ  UHSUHVHQWV WKH DOJRULWKP EHKDYLRU
GXULQJDQLQVWDQWDQHRXVLQFUHDVHIURP:WR:7KH033FKDQJHVIURP9$WR
9$



 4GPGYCDNG'PGTI[

/GEJCPKECN.GXGN*+.UKOWNCVKQP
7ZRGLIIHUHQW'*V\VWHPVZHUHHPXODWHGXVLQJDQ+,/PHFKDQLFDOOHYHOWHVWEHQFK

x VPDOO&+3*HQHUDWLQJ6HW
x 6PDOOVFDOHK\GURSRZHUJHQHUDWRU

5OCNN%*2IGPGTCVKPIUGV
6PDOO SRZHU &+3 &RPELQHG +HDW DQG 3RZHU  JHQHUDWLQJ VHWV EDVHG RQ LQWHUQDO
FRPEXVWLRQHQJLQHVDUHQRUPDOO\JULGFRQQHFWHGDQGKDYHDSRZHUUDQJHRIN:WR
N: 7KHVH VPDOO &+3 JHQHUDWLQJ VHWV FDQ EH HTXLSSHG ZLWK ERWK GLHVHO HQJLQHV DQG JDV
IXHOOHG HQJLQHV 7KH DGYDQWDJH RI XVLQJ FRPELQHG KHDW DQG SRZHU JHQHUDWLRQ LV WKDW WKH
JOREDOHIILFLHQF\FDQEHLQFUHDVHGWRWRZKLFKPDNHWKHPDYHU\IDYRUDEOHVROXWLRQ
IRU 'LVWULEXWHG *HQHUDWLRQ V\VWHPV 7KH PRVW FRQYHQLHQW DUUDQJHPHQW LV WR XVH DQ
DV\QFKURQRXVJHQHUDWRUHYHQLILWVKRZVVRPHGUDZEDFNV,QSDUWLFXODULWUHTXLUHVUHDFWLYH
SRZHU IRU WKH H[FLWDWLRQ RI LWV PDJQHWLF FLUFXLWV DQG LQ WKH FDVH RI IDLOXUH RI WKH PDLQV LW
GRHVQRWZRUNLQDVWDQGDORQHPRGHWRSURYLGHHOHFWULFDOSRZHUWRWKHRQVLWHDFORDG
&RQYHQWLRQDO&+3VHWVZRUNDWDIL[HGVSHHGLQRUGHUWRJHQHUDWHHOHFWULFDOSRZHUDWDIL[HG
IUHTXHQF\ EXW WKH\ VKRZ ORZ HQHUJ\ HIILFLHQF\ ZKHQ WKH\ RSHUDWH DW SDUWLDO ORDG $Q
LPSURYHPHQW FDQ EH REWDLQHG E\ XVLQJ D YDULDEOH VSHHG JDV HQJLQH WR GULYH WKH HOHFWULFDO
JHQHUDWRU DW D YDULDEOH IUHTXHQF\ 2SHUDWLQJ WKH &+3 VHW DW D YDULDEOH VSHHG PDNHV LW
SRVVLEOHWRDFKLHYHWKHKLJKHVWHQHUJ\FRQYHUVLRQHIILFLHQF\DWDQ\SDUWLDOORDGRIPRUHWKDQ
 EXW LW LV QHFHVVDU\ WR XVH DQ $&$& IUHTXHQF\ FRQYHUWHU LQ RUGHU WR FRQQHFW WKH
YDULDEOHVSHHG&+3VHWWRWKHSXEOLFJULG
7KH EHKDYLRU RI D YDULDEOH VSHHG &+3 VHW FDQ EH IXUWKHU HQKDQFHG E\ LQWURGXFLQJ DQ
DGGLWLRQDO'&'&VWDWLFFRQYHUWHULQRUGHUWRLQFUHDVHWKHDPRXQWRIHOHFWULFDOSRZHUWKDW
FDQ EH WUDQVIRUPHG LQWR KHDW GLVVLSDWLQJ HOHFWULFDO SRZHU RQ D UHVLVWRU  ,Q WKLV ZD\ D
FRQWUROVWUDWHJ\ZLWKKHDWLQJSULRULW\FDQPHHWDWHPSRUDU\KLJKGHPDQGIRUKHDWUHGXFLQJ
WKHSURGXFWLRQRIHOHFWULFLW\

5OCNNUECNGJ[FTQRQYGTIGPGTCVQT
+\GURHOHFWULFJHQHUDWLRQKDVEHHQZHOOUHFRJQL]HGDVHQYLURQPHQWDOO\IULHQGO\DQGVRFLDOO\
EHQHILFLDO IRU PDQ\ DSSOLFDWLRQV EXW ODUJHVFDOH K\GURHOHFWULF SODQW GHYHORSPHQWV KDYH
EHFRPHPRUHDQGPRUHGLIILFXOWEHFDXVHRIWKHVKRUWDJHRIXQGHYHORSHGVXLWDEOHVLWHVDQG
FRQFHUQVDERXWJOREDOHQYLURQPHQWDOSURWHFWLRQ+RZHYHUWKHUHDUHPDQ\VLWHVZKHUHLWLV
SRVVLEOHWRLQVWDOODVPDOOVFDOHK\GURHOHFWULFSODQW
7KHVHV\VWHPVQRUPDOO\DGRSWH[SHQVLYH.DSODQWXUELQHVWKDWDOORZRSWLPDOFRQWURORIWKH
ZDWHUIORZ,QRUGHUWRUHGXFHSODQWFRVWVLQVPDOOVFDOHSODQWVLWLVSUHIHUDEOHWRXVHIL[HG
EODGHSURSHOOHUZDWHUWXUELQHV
7KLV FKRLFH FDQ UHGXFH WKH SODQW SRZHU HIILFLHQF\ EHFDXVH W\SLFDOO\ LQ WUDGLWLRQDO
K\GURHOHFWULF SRZHU SODQWV WKH VSHHG RI WKH JHQHUDWLQJ XQLW UHPDLQV FRQVWDQW WR NHHS LW
V\QFKURQL]HGZLWKWKHJULGQHJOHFWLQJWXUELQHGLVFKDUJHYDULDWLRQRYHUWLPH0RUHRYHUWKLV
VLWXDWLRQ EHFRPHV FULWLFDO LQ VWDQGDORQH RSHUDWLRQ PRGH ZKHUH NHHSLQJ WKH VSHHG RI WKH
JHQHUDWLRQ XQLW FRQVWDQW UHGXFHV WKH SRZHU SODQW HIILFLHQF\ GUDVWLFDOO\ ,Q WKHVH FDVHV D
YDULDEOHVSHHGRSHUDWLRQPRGHDQGPD[LPXPSRZHUHIILFLHQF\RSHUDWLRQSRLQWWUDFNLQJLV
ZHOFRPH EXW LW SUHVHQWV QXPHURXV GHVLJQ SUREOHPV UHJDUGLQJ WKH GHILQLWLRQ RI WKH


*CTFYCTGKPVJGNQQRUKOWNCVKQPQHTGPGYCDNGFKUVTKDWVGFIGPGTCVKQPU[UVGOU 

KDUGZDUH DUFKLWHFWXUH DQG SRZHU PDQDJHPHQW VWUDWHJLHV 6XFK VPDOOVFDOH K\GURHOHFWULF


SODQWVJHQHUDOO\XVHD30V\QFKURQRXVPDFKLQHDVDQHOHFWULFDOJHQHUDWRU

6JG*+.VGUVDGPEJ
(DFK RI WKHVH DSSOLFDWLRQV SUHVHQWV VLPLODU SUREOHPV ,Q SDUWLFXODU LW LV YHU\ LPSRUWDQW WR
HYDOXDWH WKH PHFKDQLFDO SHUIRUPDQFH DQG PRUHRYHU LW LV QHFHVVDU\ WR HYDOXDWH WKH JOREDO
HIILFLHQF\ FRQYHUWHU DQG PRWRU  ZLWK D JRRG DSSUR[LPDWLRQ 7KLV LW LV YHU\ GLIILFXOW WR GR
XVLQJ DQ +,/ HQYLURQPHQW ZKHUH WKH SRZHU FRQYHUWHU LV DOVR HPXODWHG WKH FDOFXODWLRQ
HIIRUW QHFHVVDU\ WR VLPXODWH WKH HOHFWULFDO GULYH FKDUDFWHULVWLFV DQG ORVVHV GRHV QRW DOORZ
VLPSOHDQGORZFRVWUHDOWLPHLPSOHPHQWDWLRQ
%HFDXVH RI WKHVH FRQVLGHUDWLRQV PHFKDQLFDO HPXODWLRQ LV WKH EHWWHU FKRLFH $Q H[DPSOH RI
PHFKDQLFDOWHVWEHQFKKDUGZDUHDUFKLWHFWXUHLVVKRZQLQ)LJZKLFKLQFOXGHV

x $ PRWRU GULYH LQFOXGLQJ DQ LQYHUWHU FRQWUROOHG VTXLUUHO FDJH LQGXFWLRQ PRWRU 7KLV
PRWRU ZDV XVHG WR HPXODWH WKH VWDWLF DQG G\QDPLF PHFKDQLFDO EHKDYLRU RI WKH '*
SRZHUVRXUFH$QLQFUHPHQWDORSWLFDOHQFRGHUZDVXVHGWRIHHGEDFNWKHVSHHGVLJQDO
IRUFRQWURODQGHPXODWLRQSXUSRVHV
x $ '& PRWRU ZDV XVHG WR HPXODWH WKH JHQHUDWRU VLGH RI WKH '* V\VWHP 7KH UDWHG
SDUDPHWHUVRIWKHLQGXFWLRQPRWRUDQGJHQHUDWRUDUHOLVWHGLQ7DEOH,

,QGXFWLRQ0RWRU '&0RWRU
5DWHGYROWDJH 9 5DWHGYROWDJH 9
5DWHGFXUUHQW $ 5DWHGFXUUHQW $
5DWHG3RZHU N: 5DWHGSRZHU N:
3RZHUIDFWRU   
5DWHGVSHHG USP 5DWHGVSHHG USP
:RXQG '  
FRQQHFWLRQ
1ƒRISROHV  1ƒRISROHV 
7DEOH,QGXFWLRQ0RWRUDQG'&0RWRUUDWHG3DUDPHWHUV



 4GPGYCDNG'PGTI[


)LJ([DPSOHRIPHFKDQLFDO+,/WHVWEHQFK

x $GHVNWRS3&ZLWKDG6SDFHERDUGWKDWLPSOHPHQWVWKH'*SRZHUVRXUFHPRGHO
$ GHGLFDWHG LQWHUIDFH ERDUG ZDV XVHG WR DFTXLUH PHDVXUHPHQW VLJQDOV IURP WKH ILHOG
DQGWKHPRWRUGULYHDQGWRWUDQVPLWFRQWUROUHIHUHQFHVLJQDOVIURPWKHG6SDFHERDUGWR
WKHPRWRUGULYH
x $SDVVLYHORDGWRGLVVLSDWHWKHJHQHUDWHGSRZHU

'ZRGTKOGPVCNTGUWNVU
$FFRUGLQJWRWKHSUHYLRXVGLVFXVVLRQZKHQVLPXODWLQJWKHJDVHQJLQHRID&+3V\VWHPLWLV
QHFHVVDU\ WR HYDOXDWH WKH HTXLYDOHQW LQHUWLD DQG GDPSLQJ IDFWRU DORQJ ZLWK WKH JHQHUDWHG
SRZHUYVURWDWLRQDOVSHHGFXUYH,QDJDVHQJLQHWKLVFXUYHLVSURSRUWLRQDOWRWKHWKURWWOH
YDOYHRSHQLQJ


*CTFYCTGKPVJGNQQRUKOWNCVKQPQHTGPGYCDNGFKUVTKDWVGFIGPGTCVKQPU[UVGOU 


)LJ*HQHUDWHGSRZHUYVVSHHGDQGWKURWWOHYDOYHRSHQLQJ

)LJ  UHSUHVHQWV WKH JHQHUDWHG SRZHU YV URWDWLRQDO VSHHG IRU GLIIHUHQW WKURWWOH YDOYH
RSHQLQJV LQ SHUFHQWDJH  IRU D  N: JDV HQJLQH ,Q RUGHU WR YDOLGDWH GLIIHUHQW FRQWURO
VWUDWHJLHV LW ZDV DOVR QHFHVVDU\ WR HPXODWH WKH IXHO FRQVXPSWLRQ XQGHU GLIIHUHQW ORDG
FRQGLWLRQV)LJVKRZVWKHIXHOIORZLQNJKYVVSHHGDQGWKHWKURWWOHYDOYHRSHQLQJVIRU
WKHVDPHPRWRU


)LJ)XHOIORZYVVSHHGDQGWKURWWOHYDOYHRSHQLQJ

-  NJP 
  
%  -  UDG V

7KHHVWLPDWHGLQHUWLDDQGGDPSLQJIDFWRURIWKHPRWRUDUHLQGLFDWHGLQ  
7KHIL[HGEODGHWXUELQHRIDVPDOOVFDOHK\GURSRZHUSODQWFDQEHPRGHOHGLQWKHVDPHZD\
DV WKH JDV HQJLQH ,Q WKLV FDVH WKH WXUELQH GLVFKDUJH 4  DQG HIILFLHQF\ Lj  YV VSHHG DUH
REWDLQHG XVLQJ WKH VWHDG\VWDWH FXUYHV DQG WKHVH YDOXHV DUH XVHG LQ FRPELQDWLRQ ZLWK WKH
WXUELQH KHDG +  WR FDOFXODWH WKH DYDLODEOH PHFKDQLFDO SRZHU   7DEOH  VKRZV WKH
SDUDPHWHUVXVHG



 4GPGYCDNG'PGTI[

3K\G +4J ˜ K   

5DWHGSRZHU N:
5DWHGGLVFKDUJH PV
'HVLJQKHDG P
5DWHG5RWDWLRQDO6SHHG USP
7DEOH+\GURWXUELQHWHFKQLFDOGDWD

-  NJP 
  
%  -  UDG V

7KHHIILFLHQF\RIWKHV\VWHPGHSHQGVRQWKHRSHQLQJRIWKHGLVWULEXWLQJYDOYHDQGWKHVSHHG
DVLQGLFDWHGLQ)LJDQGWKHWXUELQHVSHHGLVFRQVLGHUHGWRKDYHDFRQVWDQWYDOXHGXULQJ
WKHLQWHJUDWLRQVWHS LQWKLVFDVHLWZDVVHWWRPV 



)LJ(IILFLHQF\YVWXUELQHVSHHGDQGGLVWULEXWLQJYDOYHRSHQLQJ

)LJVKRZVWKHJHQHUDWHGSRZHUUHIHUHQFHYVWLPHDQGWKHUHDOJHQHUDWHGSRZHUYVWLPH
XVLQJ WKH K\GURSRZHU WXUELQH PRGHO HPXODWLQJ D JULG FRQQHFWLRQ ZRUNLQJ PRGH )LJ 
FRPSDUHV WKH HVWLPDWHG JHQHUDWHG SRZHU XVLQJ WKH +,/ K\GURSRZHU PRGHO DQG WKH UHDO
SRZHUGLVVLSDWHGRQWKHUHVLVWLYHORDGRIWKHWHVWEHQFK7KHSRZHUUHIHUHQFHZDVFDOFXODWHG
EDVHGRQWKHORDGYDULDWLRQVZKLOHWKHJHQHUDWHGSRZHUVKRXOGDOVRWDNHLQWRDFFRXQWWKH
SODQWORVVHV7KHVHORVVHVSURGXFHGWKHVWDWLRQDU\GLIIHUHQFHEHWZHHQWKHJHQHUDWHGSRZHU
DQGSRZHUUHIHUHQFH



*CTFYCTGKPVJGNQQRUKOWNCVKQPQHTGPGYCDNGFKUVTKDWVGFIGPGTCVKQPU[UVGOU 


)LJ3RZHUUHIHUHQFHDQGJHQHUDWHGSRZHUYVWLPH



)LJ  (VWLPDWHG JHQHUDWHG SRZHU IURP +,/ WHVW EHQFK  DQG GLVVLSDWHG SRZHU RQ WKH
UHVLVWLYHORDG

%QPENWUKQP

+DUGZDUH LQ WKH ORRS VLPXODWLRQV +,/6  DUH D SRZHUIXO PHWKRG WR WHVW '* V\VWHP
FRPSRQHQWV VXFK DV FRQWURO V\VWHP HOHFWURQLFV ZLWKRXW FRQQHFWLRQ WR WKH UHDO HTXLSPHQW
XQGHUFRQWURO
7KH XVH RI WKLV WHFKQLTXH GRHV KRZHYHU UDLVH FKDOOHQJHV VXFK DV FRPSOH[ LQWHUIDFLQJ
UHTXLUHPHQWV DQG WKH H[HFXWLRQ RI DQ DFFXUDWH HTXLSPHQW VLPXODWLRQ WKDW PXVW RSHUDWH LQ
UHDOWLPH
7KH LQFUHDVLQJ DGRSWLRQ RI +,/6 KDV EHHQ GULYHQ E\ D QXPEHU RI IDFWRUV LQFOXGLQJ WKH
DELOLW\ WR SHUIRUP V\VWHP WHVWLQJ EHIRUH WKH FRPSOHWH V\VWHP LV DYDLODEOH DQG WR VLPXODWH
IDLOXUHFRQGLWLRQVWKDWZRXOGEHGDQJHURXVRUH[SHQVLYHWRFUHDWHLQDUHDOSODQW


 4GPGYCDNG'PGTI[

+,/6LVDQLPSRUWDQWWRROWRUHGXFHGHYHORSPHQWWLPHDQGHQVXUHWKHVDIHW\DQGUHOLDELOLW\
RI'*FRPSRQHQWV7KHDYDLODELOLW\RIFRVWHIIHFWLYHWRROVWRSHUIRUP+,/6VKRXOGOHDGWRDQ
LQFUHDVHLQWKHXVHRIWKLVWHFKQLTXHDVDVWDQGDUGPHWKRGWRWHVW'*FRPSRQHQWV

4GHGTGPEGU

%RXVFD\URO   'LIIHUHQW W\SHV RI +DUGZDUH,QWKH/RRS VLPXODWLRQ IRU HOHFWULF GULYHV
3URFHHGLQJVRI,(((,QWHUQDWLRQDO6\PSRVLXPRQ,QGXVWULDO(OHFWURQLFV,6,(
SS²,6%1&DPEULGJH-XO\,(((
%LQ/X;LQ:X)LJXHURD+ 0RQWL$  $/RZ&RVW5HDO7LPH+DUGZDUHLQWKH
/RRS 7HVWLQJ $SSURDFK RI 3RZHU (OHFWURQLFV &RQWUROV ,QGXVWULDO (OHFWURQLFV ,(((
7UDQVDFWLRQVRQYROQSS²,661
%XFFD * 0DSHOOL )  0DXUL 0   $ 5HDOWLPH HQYLURQPHQW IRU LQGXVWULDO HOHFWULFDO
GULYH FRQWURO ERDUG WHVWLQJ 3URFHHGLQJV RI ,QWHUQDWLRQDO &RQIHUHQFH RQ (OHFWULFDO
0DFKLQHV,&(0
)DFFKLQHWWL $  0DXUL 0   +DUGZDUH LQ WKH ORRS WHVWULJ IRU SDQWRJUDSK DFWLYH
FRQWURO HYDOXDWLRQ 3URFHHGLQJV RI ,((( ,QWHUQDWLRQDO 6\PSRVLXP RQ ,QGXVWULDO
(OHFWURQLFV  ,6,(  SS  ²  ,6%1  &DPEULGJH
-XO\,(((
-LDQ :X <RQJ &KHQJ 6ULYDVWDYD $. 6FKXO] 11 *LQQ +/   +DUGZDUH LQ WKH
/RRS7HVWIRU3RZHU6\VWHP0RGHOLQJDQG6LPXODWLRQ3URFHHGLQJVRI3RZHU6\VWHPV
&RQIHUHQFH DQG ([SRVLWLRQ  36&(
 SS  ,6%1 
$WODQWD*$1RYHPEHU,(((3(6
.XSHUPDQ$ 5DELQRYLFL5  9LUWXDOWRUTXHDQGLQHUWLDORDGLQJRIFRQWUROOHGHOHFWULF
GULYH(GXFDWLRQ,(((7UDQVDFWLRQVRQYROQSS,661
0DFOD\'  6LPXODWLRQJHWVLQWRWKHORRS,((5HYLHZYROQSS²,661

0RKDQ15REELQV:38QGHODQG701LOVVHQ5 0R2  6LPXODWLRQRISRZHU
HOHFWURQLF DQG PRWLRQ FRQWURO V\VWHPVDQ RYHUYLHZ 3URFHHGLQJV RI WKH ,(((YRO 
QSS²,661
0DXUL 0 &DVWHOOL 'H]]D )  * 0DUFKHJLDQL   $ QRYHO VPDOOVFDOH YDULDEOH VSHHG
K\GURSRZHUHPXODWRUXVLQJ DQLQYHUWHUFRQWUROOHGLQGXFWLRQPRWRU3URFHHGLQJVRI
(XURSHDQ&RQIHUHQFHRQ3RZHU(OHFWURQLFVDQG$SSOLFDWLRQVSS,6%1
$DOERUJ6HSWHPEHU,(((
0DXUL0&DVWHOOL'H]]D) 0DUFKHJLDQL*  +DUGZDUHLQWKH/RRS +,/ WHVWEHQFK
IRU VPDOOVFDOH 'LVWULEXWHG *HQHUDWLRQ V\VWHPV 3URFHHGLQJV RI ,((( ,QWHUQDWLRQDO
6\PSRVLXP RQ ,QGXVWULDO (OHFWURQLFV  ,6,(  SS  ²  ,6%1 
&DPEULGJH-XO\,(((
6KL <  0RQWL $   )3*$EDVHG IDVW UHDO WLPH VLPXODWLRQ RI SRZHU V\VWHPV
3URFHHGLQJV RI 3RZHU DQG (QHUJ\ 6RFLHW\ *HQHUDO 0HHWLQJ  &RQYHUVLRQ DQG 'HOLYHU\ RI
(OHFWULFDO (QHUJ\ LQ WKH VW &HQWXU\ SS  ²  ,6%1  -XO\ 
,(((

You might also like