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 @ 4  @ 5 > lv dovr fdoohg Xsshu Frpsrvlwlrq lq Prxolq ^5333` ^4<<<`/ dqg
Sdwk Lqghshqghqfh lq Prxolq ^4<;:`/ Khuuhur ^4<<;` dqg rwkhuv1 Wkh vwdqgdug
lqwhusuhwdwlrq fduulhv ryhu= li zh nqrz dq xsshu erxqg w3 ri wkh dfwxdo uhvrxufhv
w/ zh pd| xvh rxu phwkrg wr +udqgrpo|, uhgxfh wkh fodlpv dw wkh ohyho +w3 > {,
+hudvlqj { iurp wkh uhfrugv, dqg ghdo odwhu zlwk wkh doorfdwlrq ri wkh w xqlwv
dffruglqj wr wkh uhgxfhg fodlpv> wkh odwwhu sureohp lqyroyhv d vpdoohu orvv wkdq
wkh lqlwldo sureohp1
Wkh ghqlwlrq ri wkh sursruwlrqdo phwkrg e| wkh xuq0oolqj ru hpsw|lqj
dojrulwkpv pdnhv lw fohdu wkdw wklv phwkrg phhwv erwk Orzhu dqg Xsshu Frp0
srvlwlrq1
Rxu qh{w uhvxow lv d xvhixo uhsuhvhqwdwlrq ri doo phwkrgv lq U phhwlqj OF ru
XF> lw dovr hvwdeolvkhv wkdw wkhvh wzr d{lrpv duh gxdo ri hdfk rwkhu1 Zh xvh wkh
iroorzlqj qrwdwlrq1 Iru dq| phwkrg  lq U dqg dq| +Q> {, vxfk wkdw {Q A 3
zh vhw =

+Q> {, @ +Q> 4> {,> +Q> {, @ {  +Q> {Q  4> {, +43,

Zh fdoo  +uhvs1 , wkh lqfuhphqwdo jdlq +uhvs1 lqfuhphqwdo orvv, ri wkh

phwkrg = Wkxv +Q> {, lv lq ]+Q> 4> {,/ qdpho| d udqgrp yduldeoh rq wkh vhw
ri xqlw yhfwruv hl vxfk wkdw {l A 3= lw doorfdwhv d vlqjoh xqlw zkhq wkh fodlpv duh
{1 Gxdoo|/ +Q> {, doorfdwhv rqh xqlw ri ghflw dprqj wkh djhqwv zlwk d srvlwlyh
fodlp= +Q> {, lv lq {  ]+Q> {Q  4> {, @ ]+Q> 4> {, dv zhoo1

43
 Qrwh wkdw wkh ghqlwlrq ri  lv htxlydohqwo| zulwwhq dv =

+Q> {,+hl , @ +Q> {Q  4> {,+{  hl , iru doo l v=w= {l A 3 +44,

Ohppd 4
l, Jlyhq d phwkrg  lq U dqg wkh gxdo phwkrg  > wkh lqfuhphqwdo jdlq
+uhvs1 orvv, ri  htxdov wkh lqfuhphqwdo orvv +uhvs1 jdlq, ri  =   @  dqg
 @ =
ll, Wkh surshuwlhv Orzhu dqg Xsshu Frpsrvlwlrq duh gxdo ri hdfk rwkhu1
lll, Wkh phwkrg  lq U phhwv Orzhu Frpsrvlwlrq li dqg rqo| li lw lv jhqhudwhg
iurp lwv lqfuhphqwdo jdlq  dorqj wkh iroorzlqj lqfuhdvlqj udqgrp sdwk=

 . +3> {, @ 3 >  . +4> {, @ +{,

 . +n . 4> {, @  . +n> {, . +{   . +n> {,, iru n @ 3> 4> ===> w  4
+w> {, @  . +w> {, +45,

ru htxlydohqwo|=

[ w4
\
+w> {,+}, @ +{  g+n,,+g+n . 4,  g+n,,iru doo } 5 ]+Q> w> {, +46,
g5G+}, n@3

ly, Wkh phwkrg  lq U phhwv Xsshu Frpsrvlwlrq li dqg rqo| li lw lv jhqhudwhg

iurp lwv lqfuhphqwdo orvv  dorqj wkh iroorzlqj ghfuhdvlqj udqgrp sdwk=

  +{Q > {, @ { >   +{Q  4> {, @ {  +{,

  +n  4> {, @   +n> {,  +  +n> {,, iru n @ {Q > {Q  4> ===> w . 4
+w> {, @   +w> {, +47,

ru htxlydohqwo|=

[ Q w
{\
+w> {,+}, @ +} . g+n,,=+g+n,  g+n  4,, iru doo } 5 ]+Q> w> {,
g5G+{}, n@4
+48,

Surri
Vwdwhphqw l lv fohdu1 Iru vwdwhphqw ll/ vwduw zlwk  lq U phhwlqj OF/ dqg
fkhfn wkdw  phhwv XF1 Zh { Q> { dqg wzr lqwhjhuv v> v3 v1w1 v  v3  {Q dqg
zloo vkrz htxdwlrq +;, qdpho|=

 +v> {, @5  +v>4  +v3 > {,,

44
 Vhw w @ {Q  v> w3 @ {Q  v3 dqg ghyhors wkh uljkw0kdqg whup dv=

4 
 +v3 > {,  5 +v3  v>4  +v3 > {,, @ +{  4 +w3 > {,,  5 +w  w3 > {  4 +w3 > {,,
@ {  +4 +w3 > {, . 5 +w  w3 > {  4 +w3 > {,,,
@ {  +w> {, @  +v> {,

dv zdv wr eh suryhq1
Iru vwdwhphqw lll/ vwduw zlwk  lq U phhwlqj OF1 Il{ Q> { dqg fkhfn e|
lqgxfwlrq rq w wkdw +w> {, rewdlqv dv +45,1 Wklv lv fohdu iru w @ 41 Iru dq
duelwudu| w/ dsso| +9, wr w3 @ w  4 dqg xvh wkh lqgxfwlrq dvvxpswlrq1
Frqyhuvho|/ dvvxph wkdw  lv frqvwuxfwhg iurp lwv lqfuhphqwdo jdlq yld wkh
udqgrp sdwk +45,1 Fkhfnlqj surshuw| +9, lv vwudljkwiruzdug1
Ilqdoo|/ vwdwhphqw ly1 Vwduw zlwk  lq U phhwlqj XF1 Wkxv +e| vwdwhphqwv
ll dqg lll,  phhwv OF dqg  rewdlqv iurp lwv lqfuhphqwdo jdlq yduldeoh  yld
wkh lqfuhdvlqj udqgrp sdwk  . jlyhq e| +45,1
Jlyhq +Q> w> {,/ zh ghqh d ghfuhdvlqj udqgrp sdwk   dv iroorzv=

  +n> {, @ {   . +{Q  n> {, iru n @ {Q > {Q  4> ===> w

Frpsxwh qh{w

  +n  4> {, @ {   . +{Q  n . 4> {,

@ {   . +{Q  n> {,   +{   . +{Q  n> {,,
@   +n> {,   +  +n> {,, @   +n> {,  +  +n> {,,

+zkhuh  @  iroorzv iurp vwdwhphqw l,1 E| frqvwuxfwlrq   +{Q > {, @ {

dqg   +w> {, @ {   +{Q  w> {, @ +w> {, dqg wkh surri lv frpsohwh1

D sulrulw| phwkrg u phhwv wkh +ghwhuplqlvwlf, surshuwlhv OF dqg XF1 Lwv

+ghwhuplqlvwlf, lqfuhphqwdo jdlq dqg orvv duh=

+Q> {, @ hl zkhuh l pd{lpl}hv  lq P+Q> {,

+Q> {, @ hm zkhuh m plqlpl}hv  lq P+Q> {,

+uhfdoo wkh qrwdwlrq P+Q> {, @ il 5 Q m {l A 3j,

Krzhyhu/ dq| vwulfw frqyh{ frpelqdwlrq ri sulrulw| phwkrgv idlov erwk d{0
lrpv1 Zh fkhfn wklv iru wkh udqgrp sulrulw| phwkrg +4, dqg uhihu wkh uhdghu
wr Uhpdun 6 +vhh Dsshqgl{/ diwhu surri ri Ohppd 7, zkhuh zh h{sodlq wkh
lqwhuhvwlqj idfw wkdw OF/ XF duh doprvw qhyhu vwdeoh e| frqyh{ frpelqdwlrqv1
Frqvlghu Q @ i4> 5j > dqg +{4 > {5 , vxfk wkdw {l  5> l @ 4> 51 Wkh yduldeoh
us+Q> 5> {, wdnhv wkh ydoxh +5> 3, ru +3> 5,> hdfk zlwk suredelolw| 45 > lw qhyhu
uhdfkhv +4> 4,1 Rq wkh rwkhu kdqg 4 +4> {,. 5 +4> { 4 +4> {,, wdnhv wkh ydoxh
+5/3,/ +4/4, dqg +3/5, zlwk suredelolw| 47 > 45 dqg 47 / uhvshfwlyho|1

45
 Ri frxuvh/ wkh lqfuhphqwdo jdlq dqg orvv ri wkh sursruwlrqdo phwkrg duh =

{l
+Q> {,+hl , @ +Q> {,+hl , @ iru doo l
{Q

8 Iluvw fkdudfwhul}dwlrq ri wkh sursruwlrqdo phwkrg

Wkhruhp 4
Wkh sursruwlrqdo suredelolvwlf udwlrqlqj phwkrg lv fkdudfwhul}hg e| wkh wzr
iroorzlqj frpelqdwlrqv ri d{lrpv=
l, Orzhu Frpsrvlwlrq/ Xsshu Frpsrvlwlrq/ dqg Htxdo Wuhdwphqw ri Htxdov/
ll, Vhoi0gxdolw| dqg Orzhu +ru Xsshu, Frpsrvlwlrq1
Lq wkh fodvvlfdo prgho +ghwhuplqlvwlf vkduhv/ glylvleoh jrrgv,/ wkhuh lv d odujh
idplo| ri phwkrgv phhwlqj wkh wkuhh surshuwlhv lq vwdwhphqw l= lw lqfoxghv xql0
irup jdlqv/ xqlirup orvvhv/ dv zhoo dv dv|pphwulf yhuvlrqv ri wkhvh phwkrgv1 Rq
wkh rwkhu kdqg/ vwdwhphqw ll krogv wuxh zrug iru zrug lq wkh fodvvlfdo prgho=
Wkhruhp 6 lq \rxqj ^4<;;`1 Qrwh wkdw vhoi0gxdolw| lv dq lqyduldqfh surshuw| ri
zklfk wkh qrupdwlyh frqwhqw lv kdug wr lqwhusuhw= Dxpdqq dqg Pdvfkohu ^4<;8`
sursrvhv d edujdlqlqj lqwhusuhwdwlrq ri wkh d{lrp1
Surri
Vwdwhphqw l
Zh douhdg| nqrz wkdw wkh phwkrg sur phhwv wkh wkuhh d{lrpv olvwhg1 Frq0
yhuvho|/ ohw  eh d phwkrg lq U phhwlqj OF/ XF dqg HWH1 Lwv lqfuhphqwdo
jdlq dqg orvv glvwulexwlrqv duh ghqrwhg >  dqg zh xvh wkh vlpsohu qrwdwlrqv
l +{, @  l +{, lq olhx ri +Q> {,+hl ,/ +Q> {,+hl ,= Li {l @ 3 +l 5
@ P+Q> {,, zh
srvlw l +{, @  l +{, @ 3 +wkh hduolhu ghqlwlrq uhtxluhv {l A 3,=
Iru dq| { lq L‚Q v1w1 {Q  6> zh dsso| +:, +qdpho|/ OF, wr w3 @ 4> w @ {Q  4
dqg dq djhqw l 5 P+{, =

[
+{Q  4> {,+{  hl , @ m +{,=+{Q  5> {  hm ,+{  hlm ,
m5P+{,

zkhuh iru m 9@ l/ wkh qrwdwlrq hlm vwdqgv iru hl . hm dqg hll phdqv 5hl 1 Qrwlfh
wkdw li {l @ 4> wkh yhfwru {  hll kdv d qhjdwlyh frruglqdwh exw lq wklv fdvh wkhuh
lv qr whup l lq wkh uljkw0kdqg vxp dqg zh vhw +{Q  5> {  hm ,+{  hll , htxdo
wr }hur= wklv lv htxlydohqw wr rxu frqyhqwlrq  l +}, @ 3 zkhqhyhu }l @ 3=
Qrz wkh deryh htxdwlrq zulwhv

[
 l +{, @ m +{,= l +{  hm , iru doo { v=w={Q  6 dqg doo l 5 P+{, +49,
m5P +{,

Gxdoo|/ zh dsso| +<, +qdpho|/ XF, wr w @ 4> w3 @ {Q  4 dqg zh rewdlq

[
l +{, @  m +{,=l +{  hm , iru doo { v=w={Q  6 dqg doo l 5 P+{, +4:,
m5P+{,

46
 Zh xvh wkh v|vwhp +49, +4:, wr vkrz/ e| lqgxfwlrq rq {Q > wkdw  @  lv wkh
sursruwlrqdo lqfuhphqwdo glvwulexwlrq1 Li { lv d xqlw yhfwru +{Q @ 4, wkhuh lv
qrwklqj wr suryh/ qh{w frqvlghu wkh fdvh {Q @ 5= Li { @ 5hl > wkhuh lv qrwklqj
wr suryh> zh duh ohiw zlwk wkh fdvh { @ h4 . h5 = Zh fdqqrw dsso| OF dv deryh
ehfdxvh {Q  4 @ 4> exw HWH jlyhv l +{, @ 45 dqg  l +{, @ 45 iru l @ 4> 5> dv
ghvluhg1 Qrwh wkdw wklv lv wkh rqo| sodfh lq wkh surri zkhuh zh xvh wkh htxlw|
dvvxpswlrq1
Qh{w zh dvvxph wkh surshuw| krogv xs wr n  5>dqg slfn d yhfwru { zlwk
{Q @ n . 4= Zh fdq dsso| +49, khqfh iru doo l 5 P+{, =

{l  4 [ {l
 l +{, @ l +{,= . m +{,=
{Q  4 {Q  4
P+{, l

Xsrq uhduudqjlqj dqg xvlqj P+{, @ 4> wklv jlyhv=

4 {l
 l +{, . =l +{, @
{Q  4 {Q  4
Vlploduo|/ ghyhorslqj +4:, zlwk wkh khos ri wkh lqgxfwlyh dvvxpswlrq=

4 {l
l +{, . = l +{, @
{Q  4 {Q  4
Iru doo l 5 P+{,> wkh deryh wzr htxdwlrqv irup d qrq vlqjxodu v|vwhp lq
l +{,>  l +{, +ehfdxvh {Q  4  5,>zlwk vroxwlrq l +{, @  l +{, @ {l @{Q dv
ghvluhg1
Vwdwhphqw ll
Qrz zh dvvxph wkdw  lv vhoi0gxdo dqg phhwv OF/ XF1 Wkh suhylrxv surri
fdq eh hqwluho| uhsolfdwhg/ surylghg zh vkrz wkdw iru d yhfwru { @ h4 . h5 > zh
kdyh l +{, @  l +{, @ 45 iru l @ 4> 51 Revhuyh wkdw iru dq| phwkrg  lq U/ wkh
ghqlwlrq ri > > +43, +44, lpso| iru vxfk d yhfwru {=

4 +{, @  5 +{,> 5 +{, @  4 +{,

E| Ohppd 4 dqg vhoi0gxdolw|/  @ > dqg wkh surri lv frpsohwh1

Uhpdun 4
Wkh surri vkrzv zh rqo| qhhg wr dvvxph Htxdo Wuhdwphqw ri Htxdov iru wkh
sureohpv +Q> 4> {, zkhuh wzr djhqwv fodlp 4 xqlw hdfk dqg doo rwkhu fodlpv duh
}hur1 Wklv lv dujxdeo| d plog v|pphwu| surshuw|1
Wkh qdwxudo qh{w vwhs lv wr fkdudfwhul}h doo phwkrgv/ v|pphwulf ru qrw/
vdwlvi|lqj Orzhu dqg Xsshu Frpsrvlwlrq= li zh gurs wkh HWH uhtxluhphqw/
doo +ghwhuplqlvwlf, sulrulw| phwkrgv u duh qrz lq wkh idplo| fdswxuhg e| wkh
frpelqdwlrq OF fxp XF1 Zkdw hovhB

47
 Wkh frpsohwh dqvzhu wr wklv txhvwlrq iru dq| fduglqdolw| ri Q lv txlwh frp0
solfdwhg= vhh Prxolq dqg Vwrqj ^5333d`1 Lq wkh fxuuhqw sdshu/ zh dqvzhu wkh
txhvwlrq rqo| lq wkh fdvh mQ m @ 5 = wklv wxuqv rxw wr eh hqrxjk iru rxu pdlq
uhvxow/ Wkhruhp 5 lq wkh qh{w vhfwlrq1 Iru wkh uhvw ri wkh vhfwlrq/ zh dvvxph
Q @ Q @ i4> 5j =
Iru dq| uhdo qxpehu > zh zulwh  @ 4  > iru dq|  vxfk wkdw 3 ?  ? 4
dqg  9@ 45 / zh ghqh dq lqfuhphqwdo jdlq dqg dq lqfuhphqwdo orvv glvwulexwlrqv=

+{4  {4 ,={5  {4 =+{5  {5 ,

4 +{, @ {4 .{5 > 5 +{, @ iru doo { v=w={4 . {5 A 3
  {4 .{5 {4 .{5  {4 .{5
+4;,

+{4  {4 ,={5  {4 =+{5  {5 ,

 4 +{, @ >  5 +{, @ iru doo { v=w={4 . {5 A 3
{4 .{5  {4 .{5 {4 .{5  {4 .{5
+4<,

Fohduo|  +{, dqg   +{, duh wzr suredelolw| glvwulexwlrqv rq P+{,1 Qrwh
wkh vlpsohu qrwdwlrq l +{, lqvwhdg ri +{,+hl ,=

Ohppd 5
Iru doo  vxfk wkdw 3 ?  ? 4 dqg  9@ 45 / wkhuh lv d xqltxh suredelolvwlf
udwlrqlqj phwkrg/ ghqrwhg  > wkdw vdwlvhv Orzhu dqg Xsshu Frpsrvlwlrq/ kdv
 iru lqfuhphqwdo jdlq glvwulexwlrq/ dqg   iru lqfuhphqwdo orvv glvwulexwlrq1

Iurp Ohppd 4/ wkhuh lv h{dfwo| rqh phwkrg lq U phhwlqj OF dqg zlwk

lqfuhphqwdo jdlq  > vlploduo| wkhuh lv d xqltxh phwkrg phhwlqj XF dqg zlwk
lqfuhphqwdo orvv   = Ohppd 5 vwdwhv wkdw wkhvh wzr phwkrgv frlqflgh1 Lwv surri
lv lq wkh Dsshqgl{/ dorqj zlwk wkdw ri Ohppd 6 ehorz1
Qrwh wkdw/ dv  jrhv wr }hur/ wkh suredelolvwlf udwlrqlqj phwkrg  frqyhujhv
wr wkh sulrulw| phwkrg u zkhuh djhqw 4 kdv sulrulw| ryhu djhqw 51 Khuh frq0
yhujhqfh lv srlqwzlvh/ qdpho| iru dq| jlyhq w dqg {1 Vlploduo|/  frqyhujhv

wr wkh gxdo sulrulw| phwkrg u zkhq  jrhv wr rqh1 Ilqdoo|/ dv  jrhv wr 45 / 
frqyhujhv wr wkh sursruwlrqdo phwkrg1
Wkhuhiruh zh vshdn ri wkh frqwlqxrxv sdudphwulf idplo|  lq U/ zkhuh 
4
ydulhv lq ^3/4`/ zkhuh 3 > 4 duh wkh wzr sulrulw| phwkrgv/ dqg  5 lv wkh sursru0
wlrqdo rqh1 Lq wklv idplo|/ gxdolw| lv wkh v|pphwu| durxqg 45 / qdpho| + , @  =
Lq sduwlfxodu/ wkh sursruwlrqdo phwkrg lv wkh rqo| vhoi0gxdo phwkrg1

Ohppd 6
Wkh suredelolvwlf udwlrqlqj phwkrgv  > 3    4> duh wkh rqo| phwkrgv lq
U+45, phhwlqj erwk Orzhu dqg Xsshu Frpsrvlwlrq1

48
9 Frqvlvwhqf|/ dqg wkh pdlq fkdudfwhul}dwlrq uhvxow
Wkh Frqvlvwhqf| surshuw| +lq vkruw/ FV\,/ uhodwhv wkh vroxwlrqv ri udwlrqlqj
sureohpv zlwk glhuhqw srsxodwlrqv/ l1h1/ glhuhqw vhwv ri djhqwv vkdulqj wkh
uhvrxufhv1 Lq d qxwvkhoo/ wklv h{wuhpho| srsxodu d{lrpdwlf uhtxluhphqw uhtxluhv
wkh iroorzlqj= li wkh phwkrg dssolhg wr srsxodwlrq Q vhohfwv d fhuwdlq doorfdwlrq
ri wkh uhvrxufhv/ wkh phwkrg dssolhg wr d vxevhw Q 3 ri Q dqg wr wkh wrwdo
uhvrxufhv uhfhlyhg e| Q 3 lq wkh Q  doorfdwlrq/ pxvw frqup wkh vkduhv ri wkhvh
djhqwv1
Rqh zd| wr zulwh wkh ghqlwlrq ri wkh FV\ d{lrp iru d phwkrg lq U+Q ,
pdnhv lw irupdoo| lghqwlfdo wr wkh xvxdo ghqlwlrq iru ghwhuplqlvwlf phwkrgv=

l +Q> w> {, @ 5 +Q l> w  4 l +Q> w> {,> {l , iru doo Q> w> { dqg l +53,

Lq htxdwlrq +53,/ wkh ohiw kdqg whup lv wkh surmhfwlrq ri wkh udqgrp yduldeoh
+Q> w> {, rqwr Ql +wkdw lv/ zh ljqruh wkh l  wk frruglqdwh,1 Wkh uljkw kdqg
vlgh lv wkh frpsrvlwlrq ri wzr vwrfkdvwlfdoo| lqghshqghqw udqgrp yduldeohv= uvw
4
l ghwhuplqhv djhqwv l3 v +udqgrp, vkduh zkhq w lv glylghg dprqj Q > iru hyhu|
uhdol}dwlrq }l ri wklv vkduh/ wkh udqgrp yduldeoh 5  ghwhuplqhv wkh doorfdwlrq ri
w  }l dprqj Q l=
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wkh vwdqgdug irupxodwlrq ri Frqvlvwhqf|1 Lq rughu wr glylgh w xqlwv dprqj wkh
djhqwv lq Q/ zh pd|/ iru dq| djhqw l lq Q / vhsdudwh wkh doorfdwlrq wr djhqw l
iurp wkdw wr wkh djhqwv lq Ql = uvw/ zh udqgrpo| vhohfw djhqw l3 v vkduh }l lq
wkh Q udwlrqlqj sureohp/ qh{w zh udqgrpo| doorfdwh wkh uhpdlqlqj w  }l xqlwv
dprqj Ql= Hdfk ri wkh wzr vwhsv iroorzv wkh suredelolw| glvwulexwlrq vhohfwhg
e| wkh udwlrqlqj phwkrg> wkh nh| ihdwxuh lv wkdw wkhvh wzr vwhsv duh vwrfkdvwlfdoo|
lqghshqghqw1 Wkh FV\ d{lrp uhtxluhv wkdw wkh wzr vwhsv doorfdwlrq surfhvv mxvw
ghvfulehg dqg wkh rqh vwhs doorfdwlrq ri w xqlwv dprqj Q eh htxlydohqw/ lq wkh
vhqvh ri jhqhudwlqj suhflvho| wkh vdph wzr pdujlqdo suredelolw| glvwulexwlrqv iru
wkh vkduh \l ri djhqw l> dqg wkh vdph wzr pdujlqdo suredelolw| glvwulexwlrqv iru
wkh yhfwru ri vkduhv \^Q  l` ri wkh djhqwv rwkhu wkdq l=
Qh{w zh jlyh wkh r!fldo ghqlwlrq ri FV\ lq whupv ri wkh suredelolw| glvwul0
exwlrq lqgxfhg e| = Zh lqwurgxfh d slhfh ri qrwdwlrq uvw1 Jlyhq Q> w> {> l 5 Q
dqg }l > 3  }l  w> zh zulwh

+Q> w> {,+\l @ }l , @ +Q> w> {,+i}l j  ]+Ql> w  }l > {l ,,

Wklv lv wkh suredelolw| wkdw dw wkh udwlrqlqj sureohp +Q> w> {,/ djhqw l uhfhlyhv
}l = wkh qrwdwlrq xvhv wkh udqgrp yduldeoh \l iru fodulw| rqo|1

Ghqlwlrq 6
Wkh suredelolvwlf udwlrqlqj phwkrg >  5 U+Q ,/ vdwlvhv Frqvlvwhqf| li
iru dq| Q> w> { dqg l lq Q zh kdyh=

49
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+54,
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Ohppd 7
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Surri
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w$+{Q  w,$ {l $ [\ {m $
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4:
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Ghqlwlrq 7
Jlyhq Q / d phwkrg  lq U+Q , dqg wzr djhqwv l > m lq Q / zh vd| wkdw 
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Htxdo Wuhdwphqw ri Htxdov +5,1
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ri =
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ryhu m +Ghqlwlrq 7,1

Ohppd 8
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wkdw
 iru doo l> m 5 Q / li l " m wkhq +Q , jlyhv sulrulw| wr l ryhu m >
 iru hdfk htxlydohqfh fodvv P ri / +Q , surmhfwv rqwr +P,=
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Zh fdoo wklv phwkrg wkh   sulrulw| frpsrvlwlrq ri wkh phwkrgv +P,1

Wkh deryh ghqlwlrq lv lqwurgxfhg e| Prxolq ^5333` iru ghwhuplqlvwlf/ uhdo0

ydoxhg udwlrqlqj phwkrgv1
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4;
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Sn
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 |^Qn ` @ +Pn ,+Qn > w  wn4
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Ohppd 9
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uhvxow1

Wkhruhp 5
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ri / ohw +P, eh d phwkrg lq U+ P, vxfk wkdw=
 li mPm  6 +P, lv wkh sursruwlrqdo phwkrg
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Xsshu dqg Orzhu Frpsrvlwlrq1
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d fkdudfwhul}dwlrq ri wkh sursruwlrqdo phwkrg1
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: Srvlwlyh vkduhv2ulvnv/ dqg wzr pruh fkdudfwhul}dwlrq

uhvxowv
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srvlwlyh suredelolw|1

Wkhruhp 6
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wzr iroorzlqj +gxdo, frpelqdwlrqv ri d{lrpv=
l, Frqvlvwhqf|/ Orzhu Frpsrvlwlrq dqg Srvlwlyh Vkduh>
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fohdu,1
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; Irxu hjdolwduldq suredelolvwlf udwlrqlqj phwkrgv

Zh vhw uvw d slhfh ri qrwdwlrq1 Iru dq| Q lq Q dqg dq| } lq L‚Q / zh zulwh

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phhwlqj Xsshu Frpsrvlwlrq1

53
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dexvh ri qrwdwlrq= uhfdoo wkdw +Q> {, dqg +Q> {, duh ghqhg dv suredelolw|
glvwulexwlrqv rq ]+Q> 4> {,/ qdpho| wkh vhw ri yhfwruv hl > l 5 P+Q> {,= Wkhq wkh
wzr htxlydohqw ghqlwlrqv +45, +46, jlyh wkh xqltxh phwkrg  zlwk lqfuhphqwdo
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Ghqlwlrq 9
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 Wkh htxdo fkdqfh ri orvvhv +hfo, phwkrg phhwv XF dqg lwv lqfuhphqwdo
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 Wkh udqgrp xqlirup jdlqv + u xj, phwkrg phhwv XF dqg lwv lqfuhphqwdo
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: 48 75
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54
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55
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56
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58
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wkdw wkhuh lv dw prvw rqh phwkrg  lq U/ phhwlqj OF/ XF dqg vxfk wkdw
5 +4> 4, @  4 +4> 4, @ =
Rq wkh rwkhu kdqg/ wkh phwkrg  ghqhg iru doo > 3    4> +vhh Ohppd
6 dqg wkh glvfxvvlrq wkhuhdiwhu, phhwv OF dqg XF1 Lw lv lpphgldwh wr fkhfn
iurp +4;, +4<, wkdw  +4> 4,+5, @   +4> 4,+4, @ > dqg wkh fdvhv  @ 3> 45 > 4 duh
htxdoo| fohdu1
Wkh frqvflhqwlrxv uhdghu pd| dovr fkhfn wkdw wkh irupxodv +4;, +4<, iru
5 +{, dqg  4 +{, gholyhu lqghhg wkh xqltxh vroxwlrq ri v|vwhp +5:, +5;, vwduwlqj
dw =

Uhpdun 6
Zh qrwhg lq Vhfwlrq 7 wkdw d frqyh{ frpelqdwlrq ri sulrulw| phwkrgv idlov
erwk OF dqg XF= vhh wkh glvfxvvlrq diwhu Ohppd 41 Wklv lv d jhqhudo ihdwxuh
ri wkh OF dqg XF d{lrpv1

63
 Ohw 4 > 5 eh wzr phwkrgv lq U phhwlqj OF/ dqg  @ 4 . 5 eh d surshu
frqyh{ frpelqdwlrq/ iru vrph > 3 ?  ? 4> zlwk wkh xvxdo qrwdwlrq  @ 4  =
Wkh phwkrg  5 U fdq eh lqwhusuhwhg dv d orwwhu| ryhu 4 > 5 zlwk suredelo0
lwlhv  dqg  uhvshfwlyho|1
Zh dvvxph wkdw  phhwv OF dv zhoo dqg frqvlghu/ iru dq| l dqg dq| { v1w1
{l  5/ wkh htxdolw|

+5> {,+5hl , @ 4 +5> {,+5hl , . =5 +5> {,+5hl ,

E| OF/ hdfk whup fdq eh frpsxwhg iurp wkh lqfuhphqwdo jdlq glvwulexwlrq/
ghqrwhg uhvshfwlyho| > 4 > 5 =

l +{,=l +{  hl , @ =4l +{,=4l +{  hl , . =5l +{,=5l +{  hl ,

Xvlqj l @ =4l . =5l dqg uhduudqjlqj/ zh jhw

+4l +{,  5l +{,,=+4l +{  hl ,  5l +{  hl ,, @ 3

q r
Ohw Dl @ { 5 L‚Q m 4l +{, @ 5l +{, = Zh kdyh mxvw vkrzq wkdw iru doo {>
{l  4>rqh ri { ru {  hl lv lq Dl +li {l @ 4 wklv lv reylrxv,1 D vlplodu dujxphqw
iru +6> {,+6hl , vkrzv wkdw iru doo {> {l  5> dw prvw rqh ri {> {  hl > {  5hl
l
lv
q qrw lq D 1 Dq lqgxfwlrq
r dujxphqw wkhq jlyhv wkdw lq dq| olqh E+{l , @
} 5 L‚ m }l @ {l > wkhuh lv dw prvw rqh srlqw rxwvlgh Dl = Lq rwkhu zrugv/
Q

wkh lqfuhphqwdo glvwulexwlrqv ri 4 dqg 5 fdqqrw eh wrr glhuhqw1

Iru vlpsolflw|/ frqvlghu wkh wzr djhqwv fdvh/ Q @ i4> 5j1 Khuh D4 @ D5 >
khqfh 4 dqg 5 fdq glhu dw prvw rq wkh judsk d elmhfwlrq iurp L‚ lqwr lwvhoi1
Xsrq h{dplqlqj wkh lpsdfw ri  @ 4 . 5 lq irupxod +46,/ zh qg wkdw wkh
vhw rq zklfk 4 dqg 5 glhu pxvw lqwhuvhfw dq| lqfuhdvlqj sdwk lq L‚ 5 dw prvw
rqfh1 Wkhuhiruh lw lv wkh judsk ri d ghfuhdvlqj pds iurp L‚ ^ i3j lqwr lwvhoi1 Iru
lqvwdqfh zh fdq kdyh=

4 +{, @
9 5 +{, iru doo { v=w= {4 . {5 @ 43
 +{, @ 5 +{, hovhzkhuh
4

61 Surri ri Wkhruhp 5 dqg Fruroodu|

Vwdwhphqw l iroorzv dw rqfh iurp Ohppdv 5/ 7 dqg 91 Wkh surri ri vwdwhphqw
ll surfhhgv lq irxu vwhsv1
Vwhs 4 Dq dx{loldu| uhvxow
Dvvxph mQ m  6 dqg ohw  5 U+Q , eh d phwkrg vdwlvi|lqj Frqvlvwhqf| dqg
zlwk dq lqfuhphqwdo jdlq  vxfk wkdw
iru doo l> m 5 Q / doo { 5 L‚il>mj = {l A 3 @, l +il> mj > {, A 3

64
 Wkhq wkhuh h{lvwv iru doo l d uhdoydoxhg ixqfwlrq il ghqhg rq ‚L >
zlwk il +3, @ 3> il +{l , A 3 iru {l A 3> dqg vxfk wkdw=

il +{l ,
l +Q> {, @ S iru doo Q  Q > doo l 5 Q dqg doo { 9@ 3 +64,
Q im +{m ,

Surri= iru dq| qlwh vxevhw Q ri Q / Frqvlvwhqf| +54, dssolhg wr w @ 4/ dq|

{> } @ hm dqg dq| l 9@ m |lhogv

m +Q> {, @ m +Ql> {l ,=+4  l +Q> {,, +65,

Qrz wdnh Q3 @ i4> 5> 6j > { { vxfk wkdw {l A 3 iru l @ 4> 5> 6> dqg zulwh
iru vlpsolflw| l @ l +Q3 > {, dqg l +l> m, @ l +il> mj > +{l > {m ,,=
Dsso| +65, wr doo vl{ rughuhg sdluv +l> m, lq Q3 =

4 @ +4  5 ,=4 +46, > 5 @ +4  6 ,=5 +45, > 6 @ +4  4 ,=6 +56,

4 @ +4  6 ,=4 +45, > 5 @ +4  4 ,=5 +56, > 6 @ +4  5 ,=6 +46,

Wkh dvvxpswlrq l +l> m, A 3 lpsolhv l ? 4 iru doo l +h1j1/ 4 @ 4 eulqjv d

frqwudglfwlrq iurp 5 @ +4  6 ,=5 +45,,= Wkxv zh fdq pxowlso| wkh wkuhh wrs
htxdwlrqv/ wkh wkuhh erwwrp rqhv/ dqg vlpsoli|=

4 +46,=5 +45,=6 +56, @ 4 +45,=5 +56,=6 +46,

Htxlydohqwo|

4 5 6
+45> +{4 > {5 ,,= +56> +{5 > {6 ,,= +46> +{4 > {6 ,, @ 4
5 6 4
Ohwwlqj {4> {5 ydu| dqg nhhslqj {6 {hg/ wkh deryh htxdwlrq lpsolhv wkdw
4 @5 wdnhv wkh irup

4 i+{4 ,
+45> +{4 > {5 ,, @ iru doo {4> {5 @ 4> 5===
5 j+{5 ,

zkhuh wkh ixqfwlrqv i> j duh uhdoydoxhg dqg srvlwlyh iru doo {l A 3= Zh fdq
dsso| wkh vdph dujxphqw wr 5 @6 +56, dqg 6 @4 +46,> pruhryhu d vwudljkwiru0
zdug qrupdol}dwlrq |lhogv wkuhh uhdoydoxhg ixqfwlrqv il / vxfk wkdw iru doo l> m lq
i4> 5> 6j > dqg doo {l > {m A 3=

l il +{l , il +{l ,
+l> m> +{l > {m ,, @ +, l +lm> +{l > {m ,, @
m im +{m , il +{l , . im +{m ,

65
 Li {l @ 3>zh nqrz wkdw l +lm> +{l > {m ,, @ 3 wkhuhiruh e| h{whqglqj il wr
il +3, @ 3> zh kdyh frqvwuxfwhg wkuhh ixqfwlrqv i4 > i5 > i6 dv lq wkh vwdwhphqw ri
Ohppd 9 dqg vxfk wkdw +64, krogv iru doo wkuhh vxevhwv ilmj ri Q3 @ i4> 5> 6j =
Lw lv qrz d vlpsoh pdwwhu wr h{whqg wkh ghqlwlrq ri il wr doo l 5 Q 1 Iru dq|
l 5 Q Q3 >dsso| wkh dujxphqw deryh wr i4> 5> lj >nhhslqj wkh vdph ixqfwlrqv
i4 > i5 mxvw ghqhg dqg ghqlqj d qhz il = Iru dq| sdlu l> m glvmrlqw iurp i4> 5j >
zh dsso| wkh suhylrxv dujxphqw wr wkh vhw i4> l> mj wr jhw surshuw| +64, iru wkh
sdlu il> mj =
Lw uhpdlqv wr h{whqg wkh surshuw| +64, iurp wkh vhwv Q ri vl}h wzr wr doo
qlwh vxevhwv ri Q 1 Wklv iroorzv iurp +65, dq hdv| lqgxfwlrq dujxphqw rq mQm =
Dvvxph +64, krogv xs wr mQ m  4> wkhq slfn { AA 3 dqg dq duelwudu| sdlu l> m=
htxdwlrq +65, zulwhv dv iroorzv

S
m +Q> {, Q  l n +Q> {, 4
@ S @S
im +{m , i
Ql n n +{ , Q n +{n ,
i

dv ghvluhg1

Vwhs 51 Dqrwkhu dx{loldu| uhvxow

Ohw  5 U+Q , eh d phwkrg vdwlvi|lqj Frqvlvwhqf|1 Zh zulwh vxs+> Q> {,
iru wkh vxssruw ri wkh suredelolw| glvwulexwlrq +> Q> {, zkhq w ydulhv iurp 3 wr
{Q =

vxs+> Q> {, @ i} 5 ^3> {` m +Q> }Q > {, A 3j

Iru doo qlwh vxevhwv P > Q ri Q zlwk P  Q dqg doo { lq ‚L Q / zh kdyh=

vxs+> P> surmP +{,,  surmP ^vxs+> Q> {,` +66,

zkhuh surm P lv wkh surmhfwlrq rshudwru iurp ‚L Q rqwr ‚L P =

Slfn dq duelwudu| hohphqw } 5 vxs+> Q> {, dqg dq djhqw l5 Q P= Lq wkh
Frqvlvwhqf| htxdwlrq +54,/ wkh ohiw0kdqg whup lv srvlwlyh/ khqfh wkh uljkw0kdqg
whupv duh srvlwlyh dv zhoo/ lpso|lqj }l 5 vxs+> Ql> {l ,= Uhshdw wkh du0
jxphqw e| vxffhvvlyho| ghohwlqj doo djhqwv lq Q P> wr rewdlq surmP +}, 5
vxs+> P> surmP +{,,> dqg wkh lqfoxvlrq +66, lv hvwdeolvkhg1
Qrwh wkdw wkh frqyhuvh lqfoxvlrq krogv wuxh dv zhoo/ iru dq| phwkrg phhwlqj
Frqvlvwhqf| dqg Orzhu dqg2ru Xsshu Frpsrvlwlrq1 Zh rplw wkh surri1
Vwhs 61 Frqvwuxfwlqj wkh sulrulw| suhrughulqj
Zh vwduw qrz wkh surri ri vwdwhphqw ll= zh { d phwkrg  5 U+Q , phhwlqj
FV\/ OF dqg XF1 Lq wklv vwhs zh dqdo|}h wkh sulrulw| uhodwlrq +Ghqlwlrq 7,
ri  = zh vkrz wkdw wklv uhodwlrq lv d suhrughulqj/ dqg dsso| wkhq Ohppd 8 wr
ghfrpsrvh  lqwr d idplo| ri sulrulw|0iuhh phwkrgv1
Iru dq| sdlu l> m frqvlghu wkh surshuw|=  jlyhv sulrulw| wr l ryhu m> Ghql0
wlrq 71 E| vwhs 5/ zh kdyh iru doo Q> {=

66
 vxs+> il> mj > i{l > {m j,  surmil>mj ^vxs+> Q> {,`

Wkhuhiruh li surshuw| +55, krogv iru Q @ il> mj > lw krogv iru dq| Q1 Iru
Q @ il> mj > surshuw| +55, vd|v wkdw wkh phwkrg +lm, 5 U+lm, lv wkh sulrulw|
phwkrg zlwk l uvw1 Rq wkh rwkhu kdqg/ +lm, phhwv OF dqg XF/ vr e| Ohppd
4/ +lm, lv wkh sulrulw| zlwk l uvw li dqg rqo| li m +lm> +4> 4,, @ 3 +uhfdoo wkdw wkh
phwkrg  lv hqwluho| ghwhuplqhg e|  @ l +4> 4,,=
Zh ghqh wkh sulrulw| uhodwlrq ( ri > lwv vwulfw frpsrqhqw dqg lqglhuhqfh
uhodwlrq dv iroorzv=

l " m +,  jlyhv sulrulw| wr l ryhu m +, m +lm> +4> 4,, @ 3

l y m +, +lm, lv sulrulw|0iuhh +, 3 ? l +lm> +4> 4,, ? 4
+, 3 ? m +lm> +4> 4,, ? 4
l ( m +, m +lm> +4> 4,, A 3 +67,

Zh vkrz qh{w wkdw ( lv d suhrughulqj1 Lw lv reylrxvo| frpsohwh> iru wudqvl0

wlylw|/ zh slfn wkuhh duelwudu| djhqwv 4/5/6 dqg suryh wkh iroorzlqj=

i4 +45> +4> 4,, A 3 dqg 5 +56> +4> 4,, A 3j @, i4 +46> +4> 4,, A 3j +68,

Zh xvh uhshdwhgo| surshuw| +65, iru Q @ 4> 5> 6/ xvlqj wkh vkruwkdqg=

l @ l +Q> +4> 4> 4,, dqg l +lm, @ l +lm> +4> 4,,=

Zh suryh +68, e| frqwudglfwlrq1 Dvvxph wkh lqhtxdolwlhv lq wkh suhplvhv dqg

4 +46, @ 3= Dsso| +65, wkuhh wlphv lq vhtxhqfh=

4 +46, @ 3 dqg 4 @ +4  5 ,=4 +46, @, 4 @ 3

4 +45, A 3 dqg 4 @ +4  6 ,=4 +45, @, 6 @ 4 @, 5 @ 3
5 +56, A 3 dqg 5 @ +4  4 ,=5 +56, @, frqwudglfwlrq

Li wkh sulrulw| uhodwlrq ri d phwkrg  ghqhv d suhrughulqj ( +wkh vwulfw

frpsrqhqw ri zklfk lv wkh uhodwlrq lq Ghqlwlrq 7,/ wkh phwkrg lwvhoi lv wkh (
sulrulw| frpsrvlwlrq ri lwv surmhfwlrqv +P, ryhu doo lqglhuhqfh fodvvhv ri ( =
Wklv idfw lv mxvw d uhzruglqj ri Ohppd 81
Lq wkh fdvh ri rxu phwkrg  phhwlqj FV\/ OF dqg XF/ zh qrwh wkdw wkh
phwkrgv +P, phhw wkhvh wkuhh d{lrpv dv zhoo1 Wkh dgglwlrqdo surshuw| ri
+P, lv wr eh sulrulw|0iuhh1 Lq wkh qh{w dqg odvw vwhs ri wkh surri/ zh vkrz wkdw
wklv irufhv wkh sursruwlrqdo phwkrg zkhqhyhu mPm  6=
Vwhs 71 Wkh fdvh ri sulrulw|0iuhh phwkrgv1

67
 Doo wkdw uhpdlqv wr eh vkrzq lv wklv= ohw  5 U+Q , eh d sulrulw|0iuhh phwkrg
phhwlqj FV\/ OF dqg XF> li mQ m  6>  pxvw eh wkh sursruwlrqdo phwkrg1
Iru hyhu| sdlu ri djhqwv l> m/ wkh phwkrg +lm, +wkh surmhfwlrq ri  rq il> mj >
vhh Ohppd 8, phhwv OF dqg XF/ wkhuhiruh lw lv d phwkrg  iurp Ohppd 51
Sulrulw|0iuhhqhvv lpsolhv 3 ?  ? 4=
Rq wkh rwkhu kdqg/ zh fdq dsso| wkh dx{loldu| uhvxow ri Vwhs 4/ dqg l +lm> {,
wdnhv wkh irup +64, iru vrph uhdo0ydoxhg ixqfwlrq il =Zh qrz frpelqh wkhvh wzr
uhsuhvhqwdwlrqv ri l +lm> +{l > {m ,,=
E| ghqlwlrq ri wkh phwkrgv  > wkh udwlr l +lm> {, @ m +lm> {, fdq rqo| wdnh
rqh ri wzr irupv=

l {l
+lm> {, @ li +lm, lv wkh sursruwlrqdo phwkrg
m {m
l {l  {l {m
+lm> {, @ = rwkhuzlvh1
m {l {m  {m

Ghqh +l> m, @ 45 lq wkh iruphu fdvh dqg +l> m, @  lq wkh odwwhu1 Frpsdulqj
wkhvh irupxodv zlwk +64, jlyhv

il +{l , @ dl ={l iru vrph frqvwdqw dl A 3> li+lm,lv sursruwlrqdo

{l  {l
il +{l , @ dl = iru vrph frqvwdqw dl A 3> rwkhuzlvh=
{l
Ghqh +l> m, @ 45 li +l> m, lv wkh sursruwlrqdo phwkrg dqg +l> m, @ 
rwkhuzlvh1 Wkh deryh v|vwhp vkrzv wkdw +l> m, lv lqghshqghqw ri m +ehfdxvh il
lv,= +l> m, @ +l> n, iru doo wulsoh l> m> n1 Lw dovr lpsolhv +l> m, . +m> l, @ 4= Wkhvh
wzr surshuwlhv/ wrjhwkhu zlwk mQ m  6> |lhog +l> m, @ 45 iru doo l> m1 Wkxv +lm,
lv wkh sursruwlrqdo phwkrg iru doo l> m=
D qdo lqgxfwlrq dujxphqw edvhg rq surshuw| +65, +dqg vlplodu wr wkh du0
jxphqw dw wkh hqg ri Vwhs 4, vkrzv wkdw l +Q> {, lv sursruwlrqdo wr {l iru doo
l> Q> {/ dqg wkh surri ri Wkhruhp 5 lv frpsohwh1
Vwhs 81 Surri ri wkh Fruroodu|1
Lw lv suhflvho| wkh remhfw ri Vwhs 7 deryh1

71 Surri ri Wkhruhp 6
Ohw  5 U+Q , phhw FV\/ OF dqg Srvlwlyh Vkduh1 E| wkh uhvxow lq Vwhs 4
ri wkh suhylrxv surri/ wkh lqfuhphqwdo jdlq glvwulexwlrq ri  wdnhv wkh irup +64,
iru vrph uhdoydoxhg ixqfwlrqv il dv ghvfulehg lq wkh uhvxow1
Zh dsso| Frqvlvwhqf| +54, wr dq duelwudu| wulsoh Q @ i4> 5> 6j lq Q dqg wr
l @ 5> w @ 5> { v=w= {m  4 iru m @ 4> 5> 6> dqg } @ +4> 4> 3, =

+Q> 5> {,+4> 4> 3, @ +46> 4> +{4 > {6 ,,+4> 3,=+Q> 5> {,+\5 @ 4, +69,

Zh frpsxwh wkh ohiw0kdqg whup lq +69, zlwk wkh khos ri Orzhu Frpsrvlwlrq
+:,

68
 +Q> 5> {,+4> 4> 3, @ 4 +Q> {,=5 +Q> {  h4 , . 5 +Q> {,=4 +Q> {  h5 ,
S S
Ghqrwh iru vlpsolflw| il @ il +{l ,> v @ Q il > vl @ il +{l  4, . Q l im / doo
srvlwlyh/ dqg dsso| +64,=

 
4 4 4
+Q> 5> {,+4> 4> 3, @ i4 =i5 = .
v v4 v5

Vlploduo|/

+Q> 5> {,+\5 @ 4, @ +Q> 5> {,+4> 4> 3, . +Q> 5> {,+3> 4> 4, @
   
4 4 4 4 4 4
i4 =i5 = = . . i5 =i6 = = .
v v4 v5 v v5 v6

Qrz +69, ghyhorsv dv

      
i4 i5 4 4 i4 i4 i5 4 4 i5 i6 4 4
. @ = = . . = .
v v4 v5 i4 . i6 v v4 v5 v v5 v6
+, v4 @ v6 +, i4 +{4 ,  i4 +{4  4, @ i6 +{6 ,  i6 +{6  4,

Lq wklv frpsxwdwlrq/ wkh djhqwv 4/6 zhuh duelwudu|/ dqg vr zhuh {4  4 dqg
{6  4=
Wkhuhiruh il +{l ,  il +{l  4, @ d lv lqghshqghqw erwk ri l dqg ri {l  4= Dv
il +3, @ 3 dqg il +4, A 3 iru doo l/ zh ghgxfh d A 3 dqg il +{l , @ d={l iru doo l
dqg doo {l  3= Wkhuhiruh +Q> {, lv sdudooho wr wkh yhfwru {/ dv ghvluhg1
Wkh surri ri vwdwhphqw l lv frpsohwh1 Wkdw ri vwdwhphqw ll iroorzv dw rqfh
e| gxdolw|1

69