,1752'8&7,21

*(1(5$/

7KLV VHFWLRQ KDV WKH GHVFULSWLRQ DQG RSHUDWLRQ RI WKH

HOHFWURQLF HQJLQH FRQWURO V\VWHP DQG WKH FRPSRQHQWV LQ

WKDW V\VWHP 7KH UHSDLU DQG WURXEOHVKRRWLQJ SURFHGXUHV

IRU WKH V\VWHP XVHG LQ WKH *0 / DQG / HQJLQHV LV

LQ WKH VHFWLRQ (/(&7521,& (1*,1( &21752/

7528%/(6+227,1* $1' 5(3$,5  650



127( (QJLQHV WKDW KDYH DQ /3* IXHO V\VWHP XVH D PL

FURSURFHVVRU VSDUN WLPLQJ V\VWHP 0676 RU D FDUEX

UDWHG HQJLQH PDQDJHPHQW V\VWHP &(06 7KH\ GR QRW

KDYH DQ HOHFWURQLFDOO\ FRQWUROOHG IXHO LQMHFWLRQ V\VWHP

'(6&5,37,21 $1' 23(5$7,21

*(1(5$/

:KHQ D FDUEXUHWRU DQG GLVWULEXWRU DUH XVHG IRU IXHO VXS

SO\ DQG LJQLWLRQ FRQWURO D VLQJOH DGMXVWPHQW FDQ QRW EH

PDGHWRJLYHWKH EHVWDGMXVWPHQW IRUDOO RSHUDWLQJVSHHGV

DQG FRQGLWLRQV 7KH XVH RI PLFURSURFHVVRUV KDV HQDEOHG

WKH GHYHORSPHQW RI HOHFWURQLF V\VWHPV WKDW FDQ EHWWHU

FRQWUROHQJLQHV WKDW XVH JDVROLQH RU OLTXLG SHWUROHXPJDV

/3* GXULQJ DOO RSHUDWLQJ FRQGLWLRQV

$Q HOHFWURQLF HQJLQH FRQWURO FRQWLQXRXVO\ PDNHV DG

MXVWPHQWV WR FRQWURO WKH VSDUN WLPLQJ DQG IXHO PL[WXUH WR

WKH HQJLQH 7KLV FRQWURO JLYHV WKH IROORZLQJ EHQHILWV

œ

(QJLQH LVHDVLHU WRVWDUW DQGRSHUDWH GXULQJFKDQJ

LQJ FRQGLWLRQV

œ

$Q HOHFWURQLF JRYHUQRU LV LQVWDOOHG IRU ILQHU HQ

JLQH VSHHG FRQWURO

œ

(OHFWURQLF PRQLWRULQJ RI HQJLQH RSHUDWLRQ DV DQ

DLG WR WURXEOHVKRRWLQJ

(/(&7521,& &21752/ 02'8/( (&0

7KH (&0 LV D VPDOO FRPSXWHU WKDW FRQWUROV WKH LJQLWLRQ

WLPLQJ DQG IXHO VXSSO\ LQ D JDVROLQH HQJLQH 6HH

),*85(  $Q (OHFWURQLFDOO\ (UDVDEOH 3URJUDPPDEOH

5HDG 2QO\ 0HPRU\ ((3520 LV LQVWDOOHG LQ WKH

(&0 7KLV ((3520 LV SURJUDPPHG ZLWK LQIRUPDWLRQ

IRU WKH EHVW RSHUDWLRQ RI WKH HQJLQH DFFRUGLQJ WR WKHIXHO

WHPSHUDWXUH ORDG DQG RWKHU FRQGLWLRQV 7KH (&0 UH

FHLYHV VLJQDOV IURP VHQVRUV RQ WKH HQJLQH DQG HOHFWURQL

FDOO\ FRQWUROV WKH IROORZLQJ V\VWHPV DQG FRPSRQHQWV

IRU WKH EHVW IXHO XVH DQG HQJLQH SHUIRUPDQFH

œ

$ IXHO LQMHFWLRQ V\VWHP

œ

(OHFWURQLF VSDUN WLPLQJ (67

œ

$Q HOHFWURQLF JRYHUQRU

œ

&KHFN (QJLQH OLJKW

œ

,GOH DLU FRQWURO ,$&

œ

)XHO SXPS UHOD\

œ

$ VHULDO GDWD OLQN IRU WURXEOHVKRRWLQJ

(DFK (&0 KDV D VSHFLILF SURJUDP IRU WKH PRGHO RI OLIW

WUXFN LQ ZKLFK LW LV LQVWDOOHG $ UHSODFHPHQW (&0 PXVW

KDYH WKH VDPH SDUW QXPEHU VR WKDW WKH OLIW WUXFN ZLOO RS

HUDWH FRUUHFWO\

),*85(  (&0





 (&0

 &211(&725 -

 &211(&725 -





),*85(  (/(&7521,& (1*,1( &21752/ &20321(176 $55$1*(0(17 *0 / (1*,1(









723 9,(:



 7+5277/( %2'< ,1-(&7,21 7%, 81,7

 )8(/ ,1-(&725

 )8(/ ,1-(&725 )86(

 (&0 )86( ,*1,7,21

 67$57(5 )86(

 (1*,1( &22/$17 7(03(5$785( (&7

6(1625

 ',675,%8725

 (/(&7521,& &21752/ 02'8/( (&0

 *29(5125 02725





















6,'( 9,(:



 )8(/ 3803 5(/$<

 ',$*1267,& &211(&725

 )86( 3803 )86(

 (&0 )86( %

 0$1,)2/' $%62/87( 35(6685( 0$3

 7+5277/( 326,7,21 6(1625 736

 ,'/( $,5 &21752/ ,$&

 ,*1,7,21 &2,/

 2,/ 35(6685( 6:,7&+











),*85(  (/(&7521,& (1*,1( &21752/ &20321(176 $55$1*(0(17 *0 / (1*,1(



 (1*,1( &22/$17

7(03(5$785( (&7 6(1625

 )86( )8(/ 3803

 )86( (&0 %

 7+5277/( 326,7,21 6(1625

736

 (/(&7521,& &21752/

02'8/( (&0

 ,'/( $,5 &21752/ ,$&

 ',$*1267,& &211(&725

 ,*1,7,21 &2,/

 ',675,%8725 7<3( (67

 )8(/ 35(6685( 7(67 3257

 )8(/ ),/7(5

 7+5277/( %2'< ,1-(&725

 )8(/ ,1-(&7256

 0$1,)2/' $%62/87(

35(6685( 0$3 6(1625

 )8(/ 3803 5(/$<

 2,/ 35(6685( 6:,7&+

 2,/ 35(6685( 6(1'(5

 &22/$17 7(03(5$785(

*$8*( 6(1'(5

 *29(5125 02725



























723 9,(:

9,(: )520 75$160,66,21





















'LDJQRVWLF &RQQHFWRU 6HH ),*85( 

7KH GLDJQRVWLF FRQQHFWRU LV FRQQHFWHG WKURXJK D ZLULQJ

KDUQHVV WR WKH (&0 7KH GLDJQRVWLF FRQQHFWRU LV DQ LP

SRUWDQW OLQN IRU WURXEOHVKRRWLQJ WKH RSHUDWLRQ RI WKH

(&0 DQG WKH HOHFWURQLF HQJLQH FRQWURO V\VWHP 7KH GLDJ

QRVWLF FRQQHFWRU LV IRXQG LQ WKH HQJLQH FRPSDUWPHQW

6HH ,WHP  ),*85(  DQG LWHP  ),*85(  7KH

XVH RI WKH GLDJQRVWLF FRQQHFWRU LV GHVFULEHG LQ WKH

(/(&7521,& (1*,1( &21752/ 7528%/(

6+227,1* $1' 5(3$,56 VHFWLRQ IRU WKHVH HQJLQHV

),*85(  ',$*1267,& &211(&725

$ *5281'

% )$8/7 $1$/<6,6 7(50,1$/

( &+(&. (1*,1( /,*+7

)  92/76

* 6(5,$/ '$7$ )25 6&$1 722/ 7(67(5

+RZ 7KH (&0 %HJLQV 2SHUDWLRQ

:KHQ WKH LJQLWLRQ VZLWFK LV WXUQHG WR 21WKH (&0 GRHV

WKH IROORZLQJ IXQFWLRQV

œ

0HDVXUHV WKH DWPRVSKHULF SUHVVXUH %$52 VLJ

QDO IURP WKH 0$3 VHQVRU

œ

&KHFNV WKH VLJQDO IURP WKH FRRODQW WHPSHUDWXUH

VHQVRU (&7

œ

(QHUJL]HV WKH IXHO SXPS UHOD\ IRU DSSUR[LPDWHO\

WZR VHFRQGV

œ

&KHFNV WKDW WKH WKURWWOH SRVLWLRQ VHQVRU LQGLFDWHV

WKDW WKH WKURWWOH LV OHVV WKDQ  RSHQ ,I WKH

WKURWWOH LV PRUH WKDQ  RSHQ WKH (&0 GHWHU

PLQHV WKDW WKH HQJLQH LV IORRGHG ZLWK IXHO DQG GH

OLYHUV OHVV IXHO WR WKH HQJLQH

œ

'LVWULEXWRU 6\VWHP &KHFNV WKH VWDUWLQJ PRGH

IURP WKH LJQLWLRQ PRGXOH >:KHQ WKH VWDUWHU LV HQ

JDJHG WKH LJQLWLRQ PRGXOH VHQGV HOHFWURQLF

SXOVHV WR WKH (&0 7KH IUHTXHQF\ RI WKH SXOVHV

LQGLFDWHV WR WKH (&0 WKDW WKH HQJLQH LV EHLQJ

VWDUWHG 7KH LJQLWLRQ PRGXOH DOVR HOHFWURQLFDOO\

HQHUJL]HV 21 DQG GHHQHUJL]HV 2)) WKH SUL

PDU\ FLUFXLWRIWKHLJQLWLRQ FRLOWR FUHDWHDVSDUNDW

WKH VSDUN SOXJV@

œ

(QJLQH &RRODQW 7HPSHUDWXUH (&7

œ

(QJLQH &UDQN 6LJQDO

œ

'LVWULEXWRU 5HIHUHQFH

œ

(QJLQH 6SHHG USP

œ

0DQLIROG $EVROXWH 3UHVVXUH 0$3

œ

6\VWHP 9ROWDJH

œ

7KURWWOH 3RVLWLRQ

œ

)XHO 3XPS 9ROWDJH

23(5$7,1* &21',7,216

6(16(' %< (&0

(OHFWURQLF 6SDUN 7LPLQJ (67

)XHO &RQWURO

œ

,GOH $LU &RQWURO

œ

(OHFWULF )XHO 3XPS

7URXEOHVKRRWLQJ

œ

&KHFN (QJLQH /LJKW

œ

7URXEOHVKRRWLQJ 7HUPLQDO

œ

'DWD 2XWSXW

*RYHUQRU &RQWURO

6<67(06 &21752//('

%< (&0

(&0

),*85(  (/(&7521,& (1*,1( &21752/ 6<67(0



7KH (&0 PDNHV WKH FKHFNV LQ D IHZ PLOOLVHFRQGV DQG

GHWHUPLQHV WKH FRUUHFW DLU DQG IXHO UDWLR IRU VWDUWLQJ WKH

HQJLQH 7KH UDQJH RI WKLV DLU DQG IXHO UDWLR LV  DW



•

& 

•

) WR  DW 

•

& 

•

) DV LQGLFDWHG

E\ WKH VLJQDO IURP WKH FRRODQW WHPSHUDWXUH VHQVRU 7KH

(&0 FRQWUROV WKH DPRXQW RI IXHO VHQW WR WKH HQJLQH E\

FKDQJLQJ WKH SXOVH WLPHV >KRZ ORQJ WKH IXHO LQMHFWRU LV

HQHUJL]HG DQG GHHQHUJL]HG@

:KHQ WKH HQJLQH VWDUWV WKH IUHTXHQF\ RI WKH SXOVHV IURP

WKH LJQLWLRQ PRGXOH LQFUHDVHV DQG LQGLFDWHV WR WKH (&0

WKDW WKH HQJLQH LV UXQQLQJ 7KH (&0 WDNHV FRQWURO RI WKH

LJQLWLRQ WLPLQJ DQG WKH ((3520 ZLWKLQ WKH (&0 IRO

ORZV LWV SURJUDP WR JLYH LJQLWLRQ WLPLQJ DQG IXHO FRQWURO

IRU WKHEHVW HQJLQH RSHUDWLRQ :KHQ WKH HQJLQH LV RSHUDW

LQJ WKH (&0 FRQWLQXRXVO\ FKHFNV WKH VLJQDOV IURP WKH

0DQLIROG $EVROXWH 3UHVVXUH 0$3 WKH (QJLQH &RRO

DQW 7HPSHUDWXUH (&7 6HQVRU WKH 7KURWWOH 3RVLWLRQ

6HQVRU 736 DQG HQJLQH VSHHG VHQVRUV WR PDNH WLPLQJ

DQG IXHO DGMXVWPHQWV IRU WKH HQJLQH RSHUDWLQJ FRQGL

WLRQV

(/(&7521,& (1*,1( &21752/

6HH ),*85( 

:KDW 7KH (&0 'RHV

7KH (&0 UHFHLYHV VLJQDOV IURP WKH IROORZLQJ FRPSR

QHQWV

œ

0DQLIROG $EVROXWH 3UHVVXUH 0$3 VHQVRU

7KLV VHQVRULVDSUHVVXUHWUDQVGXFHUWKDWPHDVXUHV

WKH DWPRVSKHULF SUHVVXUH EHIRUH WKH HQJLQH LV

VWDUWHG DQG WKH (&0 XVHV WKLV SUHVVXUH DV D UHIHU

HQFH 7KLV VHQVRU WKHQ PHDVXUHV FKDQJHV LQ SUHV

VXUH LQ WKH LQWDNH PDQLIROG GXULQJ HQJLQH RSHUD

WLRQ

),*85(  (/(&7521,& (1*,1( &21752/ 6<67(0

(/(&7521,&

&21752/

02'8/(

(&0



















 (/(&7521,& &21752/

02'8/( (&0

 7+5277/( 326,7,21

6(1625

 &22/$17 7(03(5$785(

6(1625 (&7

 0$1,)2/' $%62/87(

35(6685( 6(1625 0$3

 )8(/ 3803 5(/$<

 )8(/ 3803

 )8(/ ,1-(&725  )25 /

 )25 /

 *29(5125 02725 / 6+2:1

 &21752//(5 *29(5125 02725

 ',675,%8725

 63$5. 3/8* *0 / 6+2:1

 ,*1,7,21 &2,/







œ

œ





œ

(QJLQH &RRODQW 7HPSHUDWXUH (&7 6HQVRU

7KLV VHQVRU LV D WKHUPLVWRU UHVLVWRU WKDW LV FDOL

EUDWHG WR FKDQJH LWV YDOXH DV LWV WHPSHUDWXUH

FKDQJHV WKDW PRQLWRUV WKH HQJLQH FRRODQW WHP

SHUDWXUH

œ

7KURWWOH 3RVLWLRQ 6HQVRU 736 7KLV VHQVRU LQ

GLFDWHV WKHSRVLWLRQ RI WKH WKURWWOH WKDW LV VHW E\ WKH

RSHUDWRU DQG LV XVHG ZLWK WKH LQGLFDWLRQV IURP WKH

RWKHU VHQVRUV WR GHWHUPLQH WKH FRUUHFW HQJLQH RS

HUDWLRQ

œ

)XHO 3XPS :KHQ WKH NH\ VZLWFK LV ILUVW WXUQHG

WR 21 WKH (&0 HQHUJL]HV WKH IXHO SXPS UHOD\

IRU WZR VHFRQGV 7KLV DFWLRQ TXLFNO\ UDLVHV WKH

IXHO SUHVVXUH WR WKH IXHO LQMHFWRUV ,I WKH HQJLQH LV

QRW FUDQNHG RU VWDUWHG ZLWKLQ WZR VHFRQGV WKH

(&0 GHHQHUJL]HV WKH IXHO SXPS UHOD\ DQG WKH

IXHO SXPS WXUQV RII :KHQ WKH HQJLQH LV FUDQNHG

E\ WKH VWDUWHU WKH (&0 HQHUJL]HV WKH IXHO SXPS

UHOD\ WR RSHUDWH WKH IXHO SXPS

œ

,JQLWLRQ PRGXOH 7KLV FRPSRQHQW LV D VPDOO

HOHFWURQLF PRGXOH ZLWKLQ WKH GLVWULEXWRU 6HH

),*85(  7KLV LJQLWLRQ PRGXOH LV D VLJQDO FRQ

YHUWHU WKDW VHQVHV WKH RSHUDWLRQ RI WKH GLVWULEXWRU

$ VHQVRU FRLO LQ WKH GLVWULEXWRU VHQVHV WKH URWDWLRQ

RI WKH WLPHU FRUH DQG WKH LJQLWLRQ PRGXOH VHQVHV

WKH VSHHG RI URWDWLRQ $ VTXDUH ZDYH JHQHUDWRU LQ

WKH LJQLWLRQ PRGXOH FRQYHUWV WKH SXOVHV IURP WKH

VHQVRU FRLO WR D VTXDUH ZDYH VLJQDO WKDW LV VHQW WR

WKH (&0 ,I WKH VLJQDOV IURP WKH LJQLWLRQ PRGXOH

WRWKH(&0 LQGLFDWH WKDW WKH FUDQNVKDIW LV URWDWLQJ

DW OHVV WKDQ  USP WKH (&0 GHWHUPLQHV WKDW WKH

HQJLQH LV EHLQJ FUDQNHG E\ WKH VWDUWHU 7KH LJQL

WLRQ PRGXOH FRQWUROV WKH LJQLWLRQ IRU DQ HQJLQH

EHLQJ VWDUWHG 7KH (OHFWURQLF 6SDUN 7LPLQJ

(67 IXQFWLRQ IURP WKH (&0 LV GHHQHUJL]HG ,I

WKH VLJQDOV IURP WKH LJQLWLRQ PRGXOH WR WKH (&0

LQGLFDWH WKDW WKH FUDQNVKDIW LV URWDWLQJ DW JUHDWHU

WKDQ  USP WKH (&0 GHWHUPLQHV WKDW WKH HQ

JLQH LV UXQQLQJ DQG WKH (OHFWURQLF 6SDUN 7LPLQJ

(67 IURP WKH (&0 FRQWUROV WKH LJQLWLRQ

œ

(OHFWURQLF JRYHUQRU 7KH (&0 VHQVHV WKH HQ

JLQH VSHHG IURP WKH LJQLWLRQ PRGXOH DQG RSHUDWHV

WKH JRYHUQRU PRWRU RQ WKH WKURWWOH ERG\ WR FRQWURO

WKH HQJLQH VSHHG 7KH JRYHUQRU PRWRU RYHUULGHV

WKH WKURWWOH SRVLWLRQ VHW E\ WKH RSHUDWRU WR FRQWURO

WKH HQJLQH VSHHG ZLWKLQ WKH OLPLWV VHW LQ WKH (&0

),*85( ',675,%8725 3$576

*0 / 6+2:1

 &$3

 52725

 6+$)77,0(5 &25(

 5(7$,1(5

 6+,(/'

 &2,/

 32/( 3,(&(

 ,*1,7,21 02'8/(

 $/,*10(17 3,1

 +286,1*

 :$6+(5

 6($/

 '5,9( *($5

 52// 3,1

 *$6.(7































6

'LVWULEXWRU

$ WLPHU FRUH SHUPDQHQW PDJQHW RQ WKH VKDIW RI WKH GLV

WULEXWRU KDV H[WHUQDO WHHWK ZKLFK DOLJQ ZLWK DQ HTXDO

QXPEHU RI WHHWK RQ WKH SROH SLHFH 6HH ),*85( 

:KHQ WKH WHHWK RI WKH WLPHU FRUH URWDWH SDVW WKH WHHWK RI

WKH SROH SLHFH WKHUH LV D GHFUHDVH LQ WKH DLU JDS EHWZHHQ

WKH WLPHU FRUH DQG WKH SROH SLHFH 7KH PDJQHWLF ILHOG LQ

FUHDVHV :KHQ WHHWK DUH QRW DOLJQHG WKH PDJQHWLF ILHOG

GHFUHDVHV EHWZHHQ WKH WLPHU FRUH DQG WKH SROH SLHFH $V

WKH WLPHU FRUH URWDWHV WKH PDJQHWLF ILHOG LQFUHDVHV DQG

GHFUHDVHV LQ D F\FOH

:KHQ D FRLO LV QHDU D FKDQJLQJ PDJQHWLF ILHOG D YROWDJH

LV JHQHUDWHG LQ WKH FRLO 7KLV SULQFLSOH LV FDOOHG PDJQHWLF

LQGXFWLRQ $ VHQVLQJ FRLO LV LQVWDOOHG RYHU WKHSHUPDQHQW

PDJQHW $V WKH PDJQHWLF ILHOG QHDU WKH SROH SLHFH

FKDQJHV D VPDOO YROWDJH LV JHQHUDWHG LQ WKH VHQVLQJ FRLO



),*85(  ',675,%8725 38/6(

*(1(5$7,1* 3$576



 7,0(5 &25(

 5(7$,1(5

 6+,(/'

 6(16,1* &2,/

 32/( 3,(&( $1'

3(50$1(17 0$*1(7









7KH SULQFLSOH RI PDJQHWLF LQGXFWLRQ DOVR FRQWUROV WKH

SRODULW\ RI WKH YROWDJH JHQHUDWHG LQ WKH FRLO $Q LQFUHDV

LQJ PDJQHWLF ILHOG ZLOO JHQHUDWH D YROWDJH LQ WKH FRLO WKDW

LV WKH RSSRVLWH SRODULW\ RI D PDJQHWLF ILHOG WKDW LV GH

FUHDVLQJ 7KLV VLJQDO SXOVH FDXVHV WKH LQWHJUDWHG FLUFXLWV

LQ WKH LJQLWLRQ PRGXOH WR JHQHUDWH D VTXDUH ZDYH VLJQDO
7KH LJQLWLRQ PRGXOH DQG D PDJQHWLF SXOVH JHQHUDWRU

FRQWURO WKH SULPDU\ FLUFXLW WR WKH LJQLWLRQ FRLO ZKHQ WKH

HQJLQH LV VWDUWHG 7KH (&0 UHFHLYHV WKH VTXDUH ZDYH

VLJQDO IURP WKH PDJQHWLF SXOVH JHQHUDWRU DQG LJQLWLRQ

PRGXOH DV RQH RI WKH VLJQDOV WR FRQWURO WKH (67 7KH SROH

SLHFHKDV WKHVDPH QXPEHU RI WHHWK DV WKH HQJLQH KDV F\O

LQGHUV VR WKDW D VSDUN YROWDJH LV FRUUHFWO\ VHQW WR HDFK

VSDUN SOXJ DV WKH VKDIW LQ WKH GLVWULEXWRU URWDWHV

,JQLWLRQ 0RGXOH 6HH ),*85( 

7KH LJQLWLRQ PRGXOH LV D VROLGVWDWH HOHFWURQLF GHYLFH

WKDW RSHUDWHV OLNH D IDVW VZLWFK H[FHSW WKDW LW GRHV QRW

KDYH DQ\ PRYLQJ RU PHFKDQLFDO SDUWV 6HH ),*85( 

DQG ),*85(  6PDOO HOHFWULFDO SXOVHV IURP WKH VHQV

LQJ FRLO RI WKH SXOVH JHQHUDWRU JR WR WKH LJQLWLRQ PRGXOH

7KH (&0 PXVW DOZD\V NQRZ WKH VSHHG DW ZKLFK WKH HQ

JLQH LV RSHUDWLQJ 7KH HQJLQH VSHHG VLJQDO LV JHQHUDWHG

E\ WKH LJQLWLRQ PRGXOH 7KH VLJQDO FRQYHUWHU 

FKDQJHV WKH VLJQDO YROWDJH IURP WKH VHQVLQJ FRLO WR D

VTXDUH ZDYH UHIHUHQFH VLJQDO IRU WKH (&0 7KLV VTXDUH

ZDYHUHIHUHQFHVLJQDO IRUHQJLQHVSHHG LVFDOOHG 5()+,

7KH (&0 PXVW DOVR KDYH D UHIHUHQFH WR FRPSDUH ZLWK

5() +, $Q DGGLWLRQDO ZLUH EHWZHHQ WKH (&0 DQG WKH

LJQLWLRQ PRGXOH LV FDOOHG 5() /2 *5281' 7KH

5() +, DQG 5() /2 FRQQHFWLRQV JLYH WKH ((3520 LQ

WKH (&0 WKH QHFHVVDU\ LQIRUPDWLRQ DERXW HQJLQH VSHHG

7KH RWKHU WZR ZLUHV EHWZHHQ WKH (&0 DQG WKH GLVWULEX

WRU FRQWURO WKH (OHFWURQLF 6SDUN 7LPLQJ DQG DUH FDOOHG

(67 DQG %<3$66
127( 7KH LJQLWLRQ PRGXOH FRQWUROV VSDUN WLPLQJ RQO\

ZKHQ WKH WKH HQJLQH LV EHLQJ VWDUWHG RU LI WKH (&0 IDLOV

7KH (&0 FRQWUROV WKH VSDUN WLPLQJ GXULQJ HQJLQH RSHU

DWLRQ 7KH LJQLWLRQ PRGXOH ZLOO DOVR FRQWURO WKH VSDUN

WLPLQJ LI WKHUH DUH VRPH IDLOXUHV LQ WKH VLJQDOV WR WKH

(&07KLV EDFNXSPRGHRIRSHUDWLRQZLOORIWHQSHUPLW

RSHUDWLRQ RI WKH HQJLQH VR WKDW WKH OLIW WUXFN FDQ EH

PRYHG WR DQ DUHD IRU UHSDLU 7KH UHVXOW RI IDLOXUHV LQ VLJ

QDOV WR WKH (&0 LV GHVFULEHG LQ WKH SDUDJUDSKV XQGHU

(OHFWURQLF &RQWURO 0RGXOH (&0 &RUUHFWLRQV

:KHQ WKH (QJLQH ,V %HLQJ 6WDUWHG

6HH ),*85(  :KHQ WKH HQJLQH LV FUDQNHG E\ WKH VWDUW

HU WKH HOHFWURQLF UHOD\  LV LQ WKH GHHQHUJL]HG SRVLWLRQ

7KH VHQVLQJ FRLO LV FRQQHFWHG WKURXJK WKH VTXDUH ZDYH

JHQHUDWRU  WR WKH EDVH RI WKH WUDQVLVWRU 

:KHQ WKH VHQVLQJ FRLO  DSSOLHV D SRVLWLYH YROWDJH WKH

VTXDUH ZDYH YROWDJH LV LQFUHDVLQJ WR WKH WUDQVLVWRU 

WKH WUDQVLVWRU WXUQV RQ :KHQ WKH YROWDJH IURP WKH VHQV

LQJ FRLO FKDQJHV WR QHJDWLYH WKH VTXDUH ZDYH YROWDJH LV

GHFUHDVLQJ WKH WUDQVLVWRU WXUQV RII :KHQ WKH WUDQVLVWRU

LV RQ FXUUHQW IORZV WKURXJK WKH SULPDU\ ZLQGLQJ RI WKH

LJQLWLRQ FRLO :KHQ WKH WUDQVLVWRU WXUQV RII WKH FXUUHQW

IORZ WKURXJK WKH SULPDU\ ZLQGLQJ VWRSV 7KH FKDQJLQJ

PDJQHWLF ILHOG LQ WKH SULPDU\ ZLQGLQJ JHQHUDWHV D KLJK

YROWDJH LQ WKH VHFRQGDU\ ZLQGLQJ RI WKH LJQLWLRQ FRLO

7KLV KLJK YROWDJH JHQHUDWHV D VSDUN DW WKH VSDUN SOXJ



),*85(  ,*1,7,21 02'8/( :+(1 (1*,1( ,6 %(,1* 67$57('

(67

5() +,

%<3$66

0$3 6(1625
&76 6(1625

5() /2



*5281'('

12 92/7$*(

$33/,('

*

%

5

(



&

3

1















$

%

&

'

:+7
33/
%51

%/.

 ,*1,7,21 02'8/(

 (/(&7521,& 5(/$<

 648$5( :$9( *(1(5$725

 6(16,1* &2,/

 (/(&7521,& &21752/

02'8/( (&0

 %$77(5<  72 &2,/

 72 ,*1,7,21 &2,/ 

 75$16,6725

),*85(  ,*1,7,21 02'8/( :+(1 (1*,1( ,6 5811,1*

(67

5() +,

%<3$66

0$3 6(1625
&76 6(1625

5() /2



*5281'('

 92/76

$33/,('

*

%

5

(



&

3

1















127

$

%

&

'

:+7
33/
%51

%/.

 ,*1,7,21 02'8/(

 (/(&7521,& 5(/$<

 648$5( :$9( *(1(5$725

 6(16,1* &2,/

 (/(&7521,& &21752/

02'8/( (&0

 %$77(5<  72 &2,/

 72 ,*1,7,21 &2,/ 

 75$16,6725



:KHQ WKH (QJLQH ,V 5XQQLQJ

6HH ),*85(  :KHQ WKH HQJLQH VSHHG LV JUHDWHU WKDQ

DSSUR[LPDWHO\  USP WKH (&0 GHWHUPLQHV WKDW WKH

HQJLQH LV UXQQLQJ DQG DSSOLHV  YROWV RQ WKH %<3$66

ZLUH WR WKH LJQLWLRQ PRGXOH 7KLV YROWDJH HQHUJL]HV WKH

HOHFWURQLF UHOD\  DQG PDNHV WKH IROORZLQJ FKDQJHV

7KH (67 ZLUH LV QRW JURXQGHG DQG LV QRZ FRQQHFWHG WR

WKH EDVH RI WKH WUDQVLVWRU  7KH VHQVLQJ FRLO  LV GLV

FRQQHFWHG IURP WKH EDVH RI WKH WUDQVLVWRU 

7KH LJQLWLRQ PRGXOH DQG WKH LJQLWLRQ WLPLQJ DUH QRZ

FRQWUROOHG E\ WKH (67 VLJQDO IURP WKH (&0 7KLV RSHU

DWLQJ PRGH LV WKH (67 PRGH

(OHFWURQLF &RQWURO 0RGXOH (&0 :LWK

,JQLWLRQ 0RGXOH 'LVWULEXWRU &RUUHFWLRQV

7KH RSHUDWLRQ RI WKH (&0 ZDV GHVFULEHG LQ HDUOLHU SDUD

JUDSKV 6HH WKH GHVFULSWLRQ LQ :KDW 7KH (&0 'RHV

7KHVH SDUDJUDSKV GHVFULEH WKH FRUUHFWLRQV PDGH E\ WKH

(&0 LQ DQ HQJLQH ZLWK DQ LJQLWLRQ PRGXOH GLVWULEXWRU

7KH (&0 GRHV D FKHFN RI WKH V\VWHP FRPSRQHQWV RI WKH

(67 FLUFXLW $ VHW RI QRUPDO RSHUDWLQJ OLPLWV DUH SDUW RI

WKH ((3520 SURJUDP ,I D VHQVRU VHQGV D VLJQDO WKDW LV

RXWVLGH RI WKH OLPLWV RI WKH ((3520 SURJUDP WKH (&0

ZLOO QRW XVH WKH LQIRUPDWLRQ 7KH (&0 XVHV D VWDQGDUG

YDOXH IURP LWV SURJUDP DQG FRQWLQXHV WR RSHUDWH WKH

LJQLWLRQ PRGXOH

7KH IROORZLQJ H[DPSOHV DUH WKH DFWLRQ RI WKH (&0 LI LW

GHWHFW D SUREOHP

0$3 6HQVRU 6LJQDO 9ROWDJH ,V 7RR +LJK 2U

7RR /RZ 7KH (&0 ZLOO XVH D 0$3 YDOXH IURP

LWV ((3520 SURJUDP DQG XVH WKLV YDOXH WR FDOFX

ODWH WKH LJQLWLRQ WLPLQJ
(&7 6LJQDO 9ROWDJH ,V 7RR +LJK 2U 7RR /RZ ,I

WKH FRRODQW VHQVRU VHQGV D VLJQDO YROWDJH WKDW LV

RXWVLGH RI WKH UDQJH SURJUDPPHG E\ WKH (&0

WKH (&0 GHWHUPLQHV WKDW WKH HQJLQH LV FROG 7KH

(&0 XVHV D YDOXH IRU D FROG HQJLQH
2SHQ &LUFXLW ,Q (67 :LUH 1RUPDOO\ WKH VLJ

QDO IURP WKH (&0 WR WKH LJQLWLRQ PRGXOH ULVHV

DQG IDOOV DV WKH YROWDJH IURP WKH VHQVLQJ FRLO ULVHV

DQG IDOOV ,I WKH (67 FLUFXLW LV RSHQ WKH HOHFWURQLF

UHOD\ LQ WKH LJQLWLRQ PRGXOH LV QRW DW JURXQG SR

WHQWLDO7KH HQJLQH VWDUWV EXW ZLOO QRW FRQWLQXH WR

UXQ ,I WKH (67 FLUFXLW EHFRPHV RSHQ GXULQJ HQ

JLQH RSHUDWLRQ WKH HQJLQH VWRSV

6KRUW&LUFXLW *URXQGHG &LUFXLW ,Q (67

:LUH :KHQ WKH HQJLQH LV EHLQJ URWDWHG E\ WKH

VWDUWHU WKH (&0 QRUPDOO\ GHWH(&7  YROWV LQ WKH

(67 FLUFXLWEHFDXVHWKHFLUFXLWLVDWJURXQGSRWHQ

WLDO LQ WKH LJQLWLRQ PRGXOH 7KH (&0 ZRXOG QRW

GHWHFW D SUREOHP XQWLO WKH HQJLQH EHJDQ WR UXQ

7KH (&0 FRXOG QRW RSHUDWH LQ WKH (67 PRGH DQG

WKH HQJLQH ZLOO QRW RSHUDWH ,I WKH (67 FLUFXLW KDV

D VKRUWFLUFXLW JURXQGHG FLUFXLW ZKHQ WKH HQ

JLQH LV UXQQLQJ WKH HQJLQH VWRSV
2SHQ &LUFXLW 2U 6KRUW&LUFXLW ,Q 7KH %<

3$66 &LUFXLW 7KH (&0 ZRXOG QRW GHWHFW D

SUREOHP XQWLO WKH HQJLQH EHJDQ WR UXQ 7KH (&0

FRXOG QRW RSHUDWH LQ WKH (67 PRGH DQG WKH HQJLQH

ZRXOG RSHUDWH ZLWK UHGXFHG SRZHU ,I WKLV SURE

OHP RFFXUV ZKHQ WKH HQJLQH LV UXQQLQJ WKH HQ

JLQH ZLOO RQO\ RSHUDWH LQ WKH VWDUWLQJ PRGH ZLWK

WKH LJQLWLRQ PRGXOH
2SHQ &LUFXLW 2U 6KRUW&LUFXLW ,Q 7KH 5()

+, &LUFXLW 7KH (&0 ZRXOG QRW GHWHFW WKDW WKH

HQJLQH ZDV RSHUDWLQJ 7KH (&0 FRXOG QRW RSHU

DWH LQ WKH (67 PRGH DQG WKH HQJLQH ZLOO QRW RSHU

DWH
2SHQ &LUFXLW 2U 6KRUW&LUFXLW ,Q 7KH 5()

/2 &LUFXLW 7KH (&0 ZRXOG QRW KDYH D FRPSDU

LVRQ IRU RSHUDWLRQ 7KH (&0 FRXOG QRW RSHUDWH LQ

WKH (67 PRGH DQG WKH HQJLQH ZLOO QRW RSHUDWH

FRUUHFWO\

)8(/ &21752/

7KH IXHO FRQWURO V\VWHP LV FRQWUROOHG E\ WKH (&0 7KH

SXUSRVH RIWKH IXHO FRQWURO V\VWHP LV WR GHOLYHUIXHO WR WKH

HQJLQH IRU WKH PRVW HIILFLHQW RSHUDWLRQ LQ DOO RSHUDWLQJ

PRGHV 7KH 6WDUWLQJ 0RGH DQG WKH 5XQ 0RGH DUH GH

VFULEHG LQ WKH SDUDJUDSKV XQGHU +2: 7+( (&0 %(

*,16 23(5$7,21 :KHQ WKH (&0 LV LQ WKH 5XQ

0RGH WKH UDWLR RI WKH DLU DQG IXHO PL[WXUH LV FRQWUROOHG

IRU EHVW RSHUDWLQJ FRQGLWLRQV

&OHDU )ORRG 0RGH ,I WKH HQJLQH IORRGV LW FDQ EH

FOHDUHG E\ RSHQLQJ WKH WKURWWOH WR  ZLGH RSHQ

GXULQJ FUDQNLQJ 7KH (&0 WKHQ VKXWV GRZQ WKH IXHO LQ

MHFWRUV VR QRIXHO LV GHOLYHUHG7KH (&0 KROGV WKLVLQMHF

WRU UDWH DV ORQJ DV WKH WKURWWOH VWD\V DW  DQG WKH HQ

JLQH VSHHG LV EHORZ  530 ,I WKH WKURWWOH SRVLWLRQ EH

FRPHV OHVV WKDQ  WKH (&0 UHWXUQV WR WKH VWDUWLQJ

PRGH



7KH $FFHOHUDWLRQ 0RGH RFFXUV ZKHQ WKH (&0 VHQVHV

UDSLG FKDQJHV LQ WKH WKURWWOH SRVLWLRQ DQG PDQLIROG SUHV

VXUH 7KH (&0 VHQGV DGGLWLRQDO IXHO WR WKH HQJLQH

7KH 'HFHOHUDWLRQ 0RGH RFFXUV ZKHQ WKH (&0 VHQVHV

UDSLG FKDQJHV LQ WKH WKURWWOH SRVLWLRQ DQG PDQLIROG SUHV

VXUH 7KH (&0 UHGXFHV IXHO WR WKH HQJLQH ,I WKH GHFHOHU

DWLRQ LV YHU\ IDVW WKH (&0 FDQ VWRS WKH IXHO VXSSO\ FRP

SOHWHO\ IRU VKRUW SHULRGV

9ROWDJH &RUUHFWLRQ 0RGH :KHQ EDWWHU\ YROWDJH LV

ORZ WKH (&0 FDQ PDNH DGMXVWPHQWV IRU D ZHDN VSDUN

IURP WKH GLVWULEXWRU 7KH 21 WLPH IRU WKH IXHO LQMHFWRUV

FDQ EH LQFUHDVHG WKH HQJLQH LGOH FDQ EH LQFUHDVHG DQG

WKH LJQLWLRQ GZHOO WLPH FDQ EH LQFUHDVHG

)XHO 6KXW2II 0RGH :KHQ WKH LJQLWLRQ VZLWFK LV

WXUQHG WR 2)) WKH (&0 VWRSV WKH SXOVHV WR WKH IXHO LQ

MHFWRUV 7KLV SURFHGXUH VWRSV D FRQGLWLRQ FDOOHG GLHVHO

LQJ LQ D JDVROLQH HQJLQH $OVR QR IXHO LV VHQW WR WKH HQ

JLQH LI WKHUH DUH QR UHIHUHQFH SXOVHV IURP WKH GLVWULEXWRU

7KLV FRQGLWLRQ LQGLFDWHV WKDW WKH HQJLQH LV QRW UXQQLQJ

,I WKH (&0 VHQVHV WKDW WKH HQJLQH VSHHG LV DERYH WKH

PD[LPXP VHW UHY OLPLW LQ WKH ((3520 WKH IXHO WR WKH

HQJLQH LV VWRSSHG XQWLO WKH HQJLQH 530 GURSV EHORZ WKH

PD[LPXP VHW UHY OLPLW 7KLV DFWLRQ QRUPDOO\ RFFXUV LI

WKH JRYHUQRU LV QRW RSHUDWLQJ FRUUHFWO\

7KURWWOH %RG\ ,QMHFWLRQ

7KLV V\VWHP LV VLPLODU WR D FDUEXUHWRU V\VWHP EHFDXVH LW

KDV D WKURWWOH ERG\ LQVWDOOHG RQ DQ LQOHW PDQLIROG 7KHUH

DUH WZR LQMHFWRUV LQ WKH *0 / WKURWWOH ERG\ WKDW

PL[HV WKH DLU DQG IXHO 6HH ),*85( 
127( ,Q WKH *0 / HQJLQH WKHUH LV RQO\ RQH LQMHF

WRU 6HH ),*85( 

7KH IXHO LQMHFWLRQ V\VWHP LV FRQWUROOHG E\ WKH (&0 7KH

EDVLF IXQFWLRQ RI WKH IXHO LQMHFWLRQ V\VWHP LV WR FRQWURO

WKH IXHO GHOLYHU\ IRU WKH PRVW HIILFLHQW RSHUDWLRQ RI WKH

HQJLQH )XHO LV VHQW WR WKH WKURWWOH ERG\ LQMHFWLRQ XQLW E\

WKH IXHO SXPS 7KH (&0 VHQVHV WKH RSHUDWLRQ RI WKH HQ

JLQH IURP WKH VLJQDOV IURP LWV VHQVRUV DQG FRQWUROV WKH

DLU DQG IXHO UDWLR WR WKH HQJLQH E\ FRQWUROOLQJ WKH RSHUD

WLRQ RI WKH IXHO LQMHFWRUV DQG WKH VSDUN WLPLQJ 7KH (&0

FRQWUROV WKH DLU DQG IXHO UDWLR IRU WKH EHVW RSHUDWLQJ FRQ

GLWLRQV RI WKH HQJLQH $OO PRGHV RI HQJLQH RSHUDWLRQ DUH

FRQWUROOHG E\ WKH (&0 DQG WKH FRQGLWLRQV VHW LQ LWV ((

3520

 )8(/ ,1-(&725 

 )8(/ 35(6685( 5(*8/$725

 7+5277/( 326,7,21 6(1625

 ,'/( $,5 &21752/ 9$/9(

 *29(5125 02725 $1'

7+5277/( '5,9( $66(0%/<

 9$&880 32576

),*85(  *0 / 7+5277/( %2'<

,1-(&7,21 7%, 81,7















),*85(  *0 / 7+5277/( %2'<

,1-(&7,21 7%, 81,7

 )8(/ ,1-(&725

 )8(/ ,1/(7

 7+5277/( 326,7,21 6(1625

 )8(/ 287/(7

 ,'/( $,5 &21752/ 9$/9(

 )8(/ 35(6685( 5(*8/$725













7KH IROORZLQJ SDUDJUDSKV GHVFULEH WKH 7KURWWOH %RG\

,QMHFWLRQ XQLW 7%, IXHO LQMHFWLRQ V\VWHP GHVLJQHG E\
*HQHUDO 0RWRUV

·

 6HH ),*85(  7KH 7%, KDV WKH

IROORZLQJ DVVHPEOLHV

œ

)XHO LQMHFWRUV

œ

)XHO SUHVVXUH UHJXODWRU

œ

7KURWWOH SRVLWLRQ VHQVRU



œ

,GOH DLU FRQWURO YDOYH

œ

*RYHUQRU PRWRU DQG WKURWWOH GULYH DVVHPEO\

œ

9DFXXP SRUWV

)XHO ,QMHFWRUV

7KH IXHO LQMHFWRUV DUH VROHQRLGV FRQWUROOHG E\ WKH (&0

7KH (&0 HQHUJL]HV D VROHQRLG ZKLFK OLIWV D QRUPDOO\

FORVHG EDOO YDOYH IURP LWV VHDW 7KH IXHO LV XQGHU D FRQ

VWDQW SUHVVXUH DQG LV LQMHFWHG LQ D FRQH VSUD\ SDWWHUQ LQWR

WKH ERUH RI WKH WKURWWOH ERG\ DERYH WKH WKURWWOH SODWH 7KH

IXHO ZKLFK LV QRW XVHG E\ WKH IXHO LQMHFWRU IORZV WKURXJK

WKH SUHVVXUH UHJXODWRU DQG UHWXUQV WR WKH IXHO WDQN
127( 7KH / HQJLQH KDV RQH IXHO LQMHFWRU ZKLOH WKH

/ HQJLQH KDV WZR IXHO LQMHFWRUV

)XHO 3UHVVXUH 5HJXODWRU

7KH IXHO SUHVVXUH UHJXODWRU LV SDUW RI WKH IXHO PHWHULQJ

DVVHPEO\ RI WKH 7%, 7KH IXQFWLRQ RI WKH IXHO SUHVVXUH

UHJXODWRU LV WR NHHS D FRQVWDQW IXHO SUHVVXUH DW WKH IXHO

LQMHFWRUV GXULQJ DOO RSHUDWLQJ PRGHV $Q DLU FKDPEHU

DQG D IXHO FKDPEHU DUH VHSDUDWHG E\ D GLDSKUDJPRSHU

DWHG UHOLHI YDOYH DQG D FDOLEUDWHG VSULQJ )XHO SUHVVXUH DW

WKH IXHO LQMHFWRUV LV FRQWUROOHG E\ WKH GLIIHUHQFH LQ SUHV

VXUH RQ HDFK VLGH RI WKH GLDSKUDJP 7KH IXHO SUHVVXUH

IURP WKH IXHO SXPS RQ RQH VLGH RI WKH GLDSKUDJP DFWV

DJDLQVW WKH IRUFH IURP WKH FDOLEUDWHG VSULQJ RQ WKH RWKHU

VLGH RI WKH GLDSKUDJP 7KH V\VWHP RSHUDWHV DW D SUHVVXUH

RI   N3D   SVL

7KURWWOH 3RVLWLRQ 6HQVRU

7KH WKURWWOH SRVLWLRQ VHQVRU 736 LV IDVWHQHG WR WKH VLGH

RI WKH WKURWWOH ERG\ 6HH ),*85(  7KH IXQFWLRQ RI

WKH WKURWWOH SRVLWLRQ VHQVRU LV WR VHQVH WKH WKURWWOH SRVL

WLRQ DQG VHQG D VLJQDO WR WKH (&0 7KLV LQIRUPDWLRQ SHU

PLWV WKH (&0 WR JHQHUDWH WKH FRUUHFW SXOVHV WR WKH IXHO

LQMHFWRUV IRU IXHO FRQWURO ,I WKH WKURWWOH SRVLWLRQ VHQVRU

LQGLFDWHV D IXOO\ RSHQHG WKURWWOH WR WKH (&0 WKH (&0

WKHQ LQFUHDVHV WKH SXOVH ZLGWK WR WKH IXHO LQMHFWRUV $Q

LQFUHDVHG SXOVH ZLGWK LQFUHDVHV WKH IXHO IORZ

7KH 736 HOHFWULFDO FLUFXLW KDV D  YROW VXSSO\ OLQH DQG D

JURXQG SDWK OLQH ERWK IURP WKH (&0 $ WKLUG ZLUH LV

XVHG DV D VLJQDO OLQH WR WKH(&0 %\PRQLWRULQJ WKH YROW

DJH RQ WKLV VLJQDO OLQH WKH (&0 FDOFXODWHV WKURWWOH SRVL

WLRQ $V WKH WKURWWOH SODWH DQJOH LV FKDQJHG DFFHOHUDWRU

SHGDO PRYHG WKH VLJQDO YROWDJH RI WKH 736 DOVR

FKDQJHV $W D FORVHG WKURWWOH SRVLWLRQ WKH VLJQDO RI WKH

736 LV EHORZ YROWV $V WKH WKURWWOH SODWH RSHQV WKH

VLJQDO YROWDJH LQFUHDVHV VR WKDW DW ZLGH RSHQ WKURWWOH LW

LV DSSUR[LPDWHO\  YROWV

 7+5277/( %2'< $66(0%/<

 7+5277/( 326,7,21 6(1625

 7+5277/( 6+$)7

),*85(  7+5277/( 326,7,21 6(1625







,GOH $LU &RQWURO

7KH LGOH VSHHG RI WKH HQJLQH LV FRQWUROOHG E\ WKH (&0

WKURXJK WKH LGOH DLU FRQWURO YDOYH 7KH LGOH DLU FRQWURO

YDOYH KDV D OLQHDU '& VWHS PRWRU WKDW PRYHV D SLQWOH

YDOYH WR FRQWURO WKH LGOH DLU V\VWHP 6HH ),*85( 

7KH VKDIW RI WKH SLQWOH YDOYH PRYHV WKURXJK  VWHSV

7KH VWHS PRWRU PRYHV WKH SLQWOH RQH VWHS IRU HDFK FRXQW

WKDW LW UHFHLYHV IURP WKH (&0 (DFK YROWDJH SXOVH IURP

WKH (&0 WR PRYH WKH SLQWOH YDOYH LV D FRXQW



 7+5277/( %2'<

 /,1($5 '& 67(3 02725

 3,17/( 9$/9(

),*85(  ,'/( $,5 &21752/ 9$/9(



$,5 )/2:





7KLV PRYHPHQW RI WKH SLQWOH YDOYH FRQWUROV WKH DLU IORZ

DURXQG WKH WKURWWOH SODWHV 7KLV DLU IORZ FRQWUROV WKH HQ

JLQH LGOH VSHHG DW DOO RSHUDWLQJ WHPSHUDWXUHV $ PLQL

PXP LGOH LV VHW DW WKH IDFWRU\ ZLWK D VHW VFUHZ 7KLV PLQL

PXP VHWWLQJ LV IRU HQJLQH LGOH DW VHD OHYHO DQG QRUPDO

RSHUDWLQJFRQGLWLRQV$KHDYLHU ORDGIURP WKHDOWHUQDWRU

K\GUDXOLF SXPSV DQG RWKHU DFFHVVRULHV ZLOO FDXVH WKH

(&0 WR VHW D KLJKHU QXPEHU RI FRXQWV RQ WKH SLQWOH

YDOYH

7KH QXPEHU RI FRXQWV WKDW LQGLFDWHV SRVLWLRQ RI WKH

SLQWOH YDOYH FDQ EH VHHQ ZKHQ WKH 6FDQ WRRO LV FRQQHFWHG

IRU WURXEOHVKRRWLQJ

*0 / (QJLQH *RYHUQRU 6\VWHP

7KH FRPSRQHQWV RI WKH JRYHUQRU V\VWHP DUH WKH (&0

JRYHUQRU FRQWURO PRGXOH DQG WKH JRYHUQRU WKURWWOH

GULYH DVVHPEO\ 6HH ),*85(  7KH JRYHUQRU SUH

YHQWV HQJLQH VSHHGV DERYH WKH VSHFLILFDWLRQ ZKHQ RSHU

DWLQJ ZLWK OLJKW ORDGV DQG SHUPLWV WKH WKURWWOH WR RSHQ

IRU IXOO SRZHU IRU KHDY\ ORDGV

$ FRQWURO FDEOH FRQQHFWV WKH DFFHOHUDWRU SHGDO WR WKH

WKURWWOH OHYHU FDP 6HH ),*85(  7KH WKURWWOH OHYHU

FDP  LV QRW FRQQHFWHG GLUHFWO\ WR WKH WKURWWOH VKDIW 

7KH WKURWWOH OHYHU FDP LV FRQQHFWHG WR LWV RZQ VKDIW WKDW

KDV D WKURWWOH GULYH OHYHU  7KLV WKURWWOH GULYH OHYHU HQ

JDJHV D IL[HG OHYHU RQ WKH WKURWWOH VKDIW  7KLV VSOLW DU

UDQJHPHQW SHUPLWV WKH WKURWWOH OHYHU FDP WR FORVH WKH

WKURWWOHSODWHVEXW QRW WRRSHQ WKHPGLUHFWO\ 7KHWKURWWOH

OHYHU FDP RQO\ JLYHV D OLPLW WR WKH PD[LPXP RSHQLQJ RI

WKH WKURWWOH SODWHV :KHQ WKH HQJLQH VSHHG LQFUHDVHV WR

LWV PD[LPXP USP WKH JRYHUQRU PRWRU FRQWUROV WKH DF

WXDO SRVLWLRQ RI WKH WKURWWOH SODWHV IURP VLJQDOV IURP WKH

(&0 7KH (&0 VHQVHV WKH HQJLQH VSHHG DQG ORDG DQG

FRQWUROV WKH HQJLQH VSHHG ZLWKLQ WKH VSHFLILFDWLRQV

),*85(  *0 / (1*,1(

*29(5125 6<67(0

(&0

1(7:25. 2)

(1*,1( 6(16256

*29(5125

&21752/

02'8/(

-

$

%

&

'

(

,*1,7,21

6:,7&+





$ QHWZRUN RI HQJLQH VHQVRUV WKURWWOH SRVLWLRQ VHQVRU

FRRODQW WHPSHUDWXUH VHQVRU PDQLIROG DEVROXWH SUHVVXUH

VHQVRU DQG GLVWULEXWRU UHIHUHQFH SXOVHV VHQG GDWD DERXW

RSHUDWLQJ FRQGLWLRQV WR WKH (&0 7KH (&0 XVHV WKH

GDWD WR GHWHUPLQH ZKHWKHU RU QRW JRYHUQHG RSHUDWLRQ LV

QHHGHG

:KHQ WKH HQJLQH VSHHG LV OHVV WKDQ DSSUR[LPDWHO\ 

USP WKH JRYHUQRU PRWRU LV QRW HQHUJL]HG DQG D UHWXUQ

VSULQJ NHHSV WKH JRYHUQRU PRWRU OHYHU DW LWV SDUNHG SRVL

WLRQ LWHP  ),*85(  7KH WKURWWOH SODWHV FDQ PRYH

ZLWK WKH SRVLWLRQ RI WKH WKURWWOH OHYHU FDP DQG QR JRYHU

QRU DFWLRQ LV XVHG



),*85( 

*29(5125 02725 $1' 7+5277/( '5,9( $66(0%/<

 &29(5 3/$7( 7+5277/(

'5,9( $66(0%/<

 '& *29(5125 02725

 7+5277/( /(9(5 &$0

 7+5277/( '5,9( /(9(5

 *29(5125 02725 /(9(5

 6+$)7 72 7+5277/( 3/$7(6

 +286,1* 7+5277/( '5,9(

$66(0%/<



















:KHQ WKH HQJLQH VSHHG LQFUHDVHV WRZDUG DSSUR[LPDWHO\

 USP WKH (&0 VHQGV VLJQDOV WR WKH JRYHUQRU FRQ

WURO PRGXOH WR HQHUJL]H WKH JRYHUQRU PRWRU 7KH JRYHU

QRU FRQWURO OHYHU  PRYHV IURP LWV SDUNHG SRVLWLRQ WR

FRQWURO WKH RSHQLQJ RI WKH WKURWWOH SODWHV ,I WKH HQJLQH

ORDG LQFUHDVHV DQG WKH HQJLQH USP GHFUHDVHV WKH JRYHU

QRU PRWRU PRYHV WKH JRYHUQRU FRQWURO OHYHU WR SHUPLW

WKH WKURWWOH SODWHV WR RSHQ IXUWKHU ,I WKH JRYHUQRU V\VWHP

LV QRW RSHUDWLQJ FRUUHFWO\ WKH (&0 VWRSV IXHO WR WKH HQ

JLQH DW HQJLQH VSHHGV JUHDWHU WKDQ  USP

*0 / (QJLQH *RYHUQRU 6\VWHP

6HH ),*85( 

7KH JRYHUQRU PRWRU LV DQ HOHFWULF '& PRWRU WKDW LV DFWX

DWHG DQG FRQWUROOHG E\ WKH (OHFWURQLF &RQWURO 0RGXOH

(&0 WKURXJK WKH JRYHUQRU FRQWURO PRGXOH JRYHUQRU

PRWRU GULYHU FLUFXLW 7KH JRYHUQRU SUHYHQWV HQJLQH

VSHHGV DERYH VSHFLILFDWLRQV ZKHQ RSHUDWLQJ ZLWK OLJKW

ORDGV DQG SHUPLWV WKH WKURWWOH WR RSHQ IRU IXOO SRZHU IRU

KHDY\ ORDGV

7KH FRPSRQHQWV RI WKH JRYHUQRU V\VWHP DUH WKH (&0

WKH JRYHUQRU FRQWURO PRGXOH DQG WKH JRYHUQRU PRWRU DV

VHPEO\ DQG FDEOHV 7KH FDEOHV DQG GUXP DOORZ WKH

WKURWWOH FRQWURO WR EH VSOLW 7KLV VSOLW DUUDQJHPHQWDOORZV

WKH JRYHUQRU PRWRU GUXP WR FORVH WKH WKURWWOH SODWH \HW

RSHQ WKHP LQGLUHFWO\ 7KH ILUVW GUXP LV WXUQHG E\ WKH DF

FHOHUDWRU SHGDO $ VSULQJ ORFDWHG LQVLGH WKH GUXP SXVKHV

RQ WKH VHFRQG GUXP 7KLV DFWLRQ DOORZV WKH RSHUDWRU WR

RSHQ WKH WKURWWOH ZKHQ XQGHU KHDY\ ORDG EXW WKH PRWRU

ZLOO URWDWH WKH GUXP DJDLQVW WKH VSULQJ WR FORVH WKH

WKURWWOH SODWH XQGHU OLJKW ORDGKLJK USP 8VLQJ HQJLQH

VSHHGDQGORDG WKHJRYHUQRU FRQWUROV WKH DFWXDO SRVLWLRQ

RI WKH WKURWWOH SODWH ZLWKLQ WKDW UDQJH RI SRVVLEOH RSHQ

LQJ

7KH HQJLQH VHQVRUV VXFK DV WKH 7KURWWOH 3RVLWLRQ 73

6HQVRU 0DQLIROG $EVROXWH 3UHVVXUH 0$3 VHQVRU DQG

FUDQNVKDIW UHIHUHQFH SXOVHV USP JLYHV FRQVWDQW LQ

IRUPDWLRQ RQ HQJLQH RSHUDWLQJ FRQGLWLRQV WR WKH (OHF

WURQLF &RQWURO 0RGXOH (&0 7KH (&0 XVHV WKH LQ

IRUPDWLRQ RQ WKURWWOH SODWH SRVLWLRQ DQG HQJLQH USP WR

GHWHUPLQH ZKHWKHU RU QRW JRYHUQHG RSHUDWLRQ LV QHHGHG



),*85(  *0 / (1*,1(

*29(5125 6<67(0

 6(1625 ,13876

 .(< 6:,7&+

 *29(5125 &21752/ 02'8/(

 *29(5125

 7+5277/( &$%/(6

 7%, 81,7

 7+5277/( 0212752/ 3('$/

 (/(&7521,& &21752/ 02'8/( (&0

















$W ORZ HQJLQH VSHHGV EHORZ FDOLEUDWLRQ USP WKH JRYHU

QRU GULYH PRWRU LV QRW HQHUJL]HG $W KLJKHU HQJLQH

VSHHGV DERYH FDOLEUDWLRQ USP ZKHUH WKH JRYHUQRU LV

QHHGHG WKH (&0 VHQGV D VLJQDO WR WKH JRYHUQRU FRQWURO

PRGXOH WR LQFUHDVH FXUUHQW IORZ WR WKH JRYHUQRU PRWRU

7KH JRYHUQRU PRWRU URWDWHV WKH GUXP DQG WKLV FDXVHV WKH

WKURWWOH SODWH WR URWDWH WRZDUG WKH FORVHG SRVLWLRQ &RQ

WURO RI WKH WKURWWOH SODWH LV GHWHUPLQHG E\ WKH 73 6HQVRU

DQG HQJLQH VSHHG VLJQDOV WR WKH (&0 :KHQ HQJLQH ORDG

LQFUHDVHVDQGUSPGHFUHDVHV WKHHOHFWULFDO FXUUHQW WRWKH

PRWRU LV UHGXFHG E\ WKH (&0 WKURXJK WKH JRYHUQRU FRQ

WURO PRGXOH WKXV DOORZLQJ WKH WKURWWOH SODWH WR RSHQ IDU

WKHU

9DFXXP 3RUWV

7KH 7%, KDV YDFXXP SRUWV WR SURYLGH D VRXUFH RI YDFX

XP IRU WKH 0$3 VHQVRU DQG 3&9 YDOYH WKDW UHTXLUH D

YDFXXP VRXUFH WR RSHUDWH

)XHO 3XPS

7KH IXHO LQMHFWLRQ V\VWHP PXVW KDYH D FRQVWDQW IXHO

SUHVVXUH WR RSHUDWH FRUUHFWO\ $ FKHFN IRU WKH FRUUHFW

IXHO SUHVVXUH LV RIWHQ WKH ILUVW WHVW ZKHQ WURXEOHVKRRWLQJ

D IXHO LQMHFWLRQ V\VWHP $ WHVW SRUW LV LQVWDOOHG LQ WKH IXHO

SUHVVXUH OLQH IRU WKLV SXUSRVH $ W\SLFDO IXHO V\VWHP LV

VKRZQ LQ ),*85( 
$ VPDOO WXUELQH SXPS FRQQHFWHG WR DQ HOHFWULF PRWRU LV

LQVWDOOHG LQ WKH IXHO WDQN EHORZ WKH OLTXLG OHYHO 6HH

),*85(  7KH IXHO SUHVVXUH UHJXODWRU RQ WKH WKURWWOH

ERG\ NHHSV WKH IXHO SUHVVXUH DW D FRQVWDQW  N3D 

SVL )XHO WKDW LV QRW XVHG E\ WKH WKURWWOH ERG\ LV UHWXUQHG

WR WKH IXHO WDQN $ VFUHHQ LV FRQQHFWHG WR WKH IXHO SXPS

WR SUHYHQW ODUJH SDUWLFOHV IURP HQWHULQJ WKH IXHO V\VWHP

%DIIOHV DUH LQVWDOOHG LQ WKH IXHO WDQN WR PDNH VXUH WKDW

IXHO LV DOZD\V DYDLODEOH WR WKH IXHO SXPS GXULQJ QRUPDO

RSHUDWLRQ RI WKH OLIW WUXFN
$ IXHO ILOWHU PXVW EH XVHG LQ VHULHV ZLWK WKH IXHO SXPS WR

SUHYHQW DQ\ GLUW IURP HQWHULQJ WKH IXHO LQMHFWRUV LQ WKH

WKURWWOH ERG\ 7KH RULILFHV LQ WKH IXHO LQMHFWRUV DUH YHU\

VPDOO LQ GLDPHWHU DQG D SDUWLFOH RI GLUW FDQ VWRS WKH RSHU

DWLRQ $ OLTXLG OHYHO VHQGHU IRU WKH IXHO JDXJH LV RIWHQ

IDVWHQHG WR WKH VXSSRUW IRU WKH IXHO SXPS
$ IXVH DQG IXHO SXPS UHOD\ VZLWFK IRU WKH IXHO SXPS LV

PRXQWHG LQ WKH HQJLQH FRPSDUWPHQW 6HH ),*85( 

DQG ),*85(  :KHQ WKH NH\ VZLWFK LV ILUVW WXUQHG WR

21 WKH (&0 HQHUJL]HV WKHIXHO SXPS UHOD\IRU WZR VHF

RQGV 7KLV DFWLRQ TXLFNO\ UDLVHV WKH IXHO SUHVVXUH WR WKH

IXHO LQMHFWRUV ,I WKH HQJLQH LV QRW VWDUWHG ZLWKLQ WZR VHF

RQGV WKH (&0 GHHQHUJL]HV WKH IXHO SXPS UHOD\ DQG WKH

IXHO SXPS WXUQV RII :KHQ WKH HQJLQH LV FUDQNHG E\ WKH

VWDUWHU WKH (&0 HQHUJL]HV WKH IXHO SXPS UHOD\ DJDLQ VR

WKDW WKH IXHO SXPS RSHUDWHV



),*85(  7<3,&$/ )8(/ 6833/< 6<67(0



















 )8(/ ,1-(&7256

 )8(/ 35(6685( 5(*8/$725

 7+5277/( %2'<

 )8(/ 35(6685( /,1(

 )8(/ 5(7851 /,1(

 )8(/ ),/7(5

 )8(/ 3803

 6&5((1

 )8(/ 7$1.

 &+(&. 3257 )25 )8(/ 35(6685(

 %$))/(6







),*85(  )8(/ 3803

 287/(7 )8(/ /,1(

 5(7851 )8(/ /,1(

$1' )8(/ 3803

6833257

 &/$03 

 )/(;,%/( &283/,1*

 )8(/ 3803 $1'

02725

 6&5((1















7KLV (&0 FRQWURO DOVR SUHYHQWV WKH IXHO SXPS IURP RS

HUDWLQJ LI WKH LJQLWLRQ VZLWFK LV WXUQHG WR 21 DQG WKH HQ

JLQH LV QRW UXQQLQJ 7KLV FRQWURO SUHYHQWV HPSW\LQJ WKH

IXHO WDQN WKURXJK DQ RSHQ IXHO OLQH LI WKH HQJLQH LV QRW

UXQQLQJ DQG WKH LJQLWLRQ VZLWFK VWD\V 21
:KHQ WKH HQJLQH LV UXQQLQJ RU EHLQJ FUDQNHG E\ WKH

VWDUWHU WKH (&0 UHFHLYHV UHIHUHQFH SXOVHV IURP WKH(67

GLVWULEXWRU RU WKH ',6 PRGXOH 7KH (&0 WKHQ HQHUJL]HV

WKH IXHO LQMHFWRUV
7KH IXHO SXPS FDQ DOVR EH HQHUJL]HG E\ WKH RLO SUHVVXUH

VHQVRU :KHQ WKH HQJLQH LV EHLQJ FUDQNHG E\ WKH VWDUWHU

DQG HQJLQH RLO SUHVVXUH LV DSSUR[LPDWHO\  N3D  SVL

WKH RLO SUHVVXUHVZLWFKFORVHV D FLUFXLW WR RSHUDWH WKH IXHO

SXPS ,I WKH IXHO SXPS UHOD\ LV QRW RSHUDWLQJ FRUUHFWO\ D

ORQJ FUDQNLQJ WLPH IRU D FROG HQJLQH ZLOO EH WKH UHVXOW

7KH RLO SUHVVXUH VZLWFK ZLOO HQHUJL]H WKH IXHO SXPS

ZKHQWKHHQJLQHRLOSUHVVXUH LQFUHDVHVWR DSSUR[LPDWHO\

 N3D  SVL

(&0 6(16256 $1' &21752//(56

0DQLIROG $EVROXWH 3UHVVXUH 0$3

7KH 0DQLIROG $EVROXWH 3UHVVXUH 0$3 VHQVRU LV D

SUHVVXUH WUDQVGXFHU WKDW PHDVXUHV FKDQJHV LQ WKH SUHV

VXUH LQ WKH LQWDNH PDQLIROG 6HH ),*85(  7KH SUHV

VXUH FKDQJHV DUH D UHVXOW RI HQJLQH ORDG DQG VSHHG



FKDQJHV 7KH 0$3 VHQVRU FRQYHUWV WKHVH SUHVVXUH

FKDQJHV WR D VLJQDO YROWDJH WR WKH (&0

),*85(  0$1,)2/' $%62/87(

35(6685( 0$3 6(1625





 6(1625

 (/(&75,&$/ &211(&725

7KH (&0 VHQGV D  YROW UHIHUHQFH VLJQDO WR WKH 0$3

VHQVRU :KHQ WKH SUHVVXUH LQ WKH LQWDNH PDQLIROG

FKDQJHVWKHHOHFWULFDO UHVLVWDQFHLQ WKH0$3 VHQVRUDOVR

FKDQJHV7KHFKDQJHLQ WKH YROWDJH VLJQDOIURP WKH0$3

VHQVRU HQDEOHV WKH (&0 WR VHQVH WKH SUHVVXUH LQ WKH LQ

WDNH PDQLIROG

$FORVHGWKURWWOHFDXVHV DORZ SUHVVXUHKLJK HQJLQHYDF

XXP LQ WKH LQWDNH PDQLIROG 7KLV ORZ SUHVVXUH FDXVHV D

ORZ YROWDJH VLJQDO IURP WKH 0$3 VHQVRU WR WKH (&0 $

IXOO\ RSHQHG WKURWWOH FDXVHV D KLJKHU SUHVVXUH ORZ HQ

JLQH YDFXXP LQ WKH LQWDNH PDQLIROG 7KLV KLJKHU SUHV

VXUHFDXVHV DKLJKHUYROWDJH VLJQDO IURP WKH 0$3VHQVRU

WRWKH(&07KHVH SUHVVXUH FKDQJHV LQGLFDWH WKH ORDG RQ

WKHHQJLQHDQGVHQGV D VLJQDO WR WKH (&0 7KH (&0 WKHQ

FDOFXODWHV WKH VSDUN WLPLQJ DQG IXHO UHTXLUHPHQWV IRU

EHVW HQJLQH SHUIRUPDQFH

7KH 0$3 VHQVRU DOVR PHDVXUHV WKH EDURPHWULF SUHVVXUH

ZKHQ WKH NH\ VZLWFK LV WXUQHG WR 21 DQG EHIRUH WKH HQ

JLQH LV VWDUWHG 7KH (&0 UHPHPEHUV WKH EDURPHWULF

SUHVVXUH %$52 VLJQDO DIWHU WKH HQJLQH LV UXQQLQJ

7KLV PHWKRG HQDEOHV WKH (&0 WR DXWRPDWLFDOO\ DGMXVW

WKH LJQLWLRQ WLPLQJ IRU GLIIHUHQW DOWLWXGHV DQG DWPR

VSKHULF FRQGLWLRQV

(QJLQH &RRODQW 7HPSHUDWXUH (&7

6HQVRU 6HH ),*85( 

7KH (QJLQH &RRODQW 7HPSHUDWXUH (&7 6HQVRU LV D UH

VLVWRU WKDW FKDQJHV LWV UHVLVWDQFH YDOXH ZKHQ WKH WHPSHU

DWXUHFKDQJHVWKHUPLVWRU 7KLVVHQVRULVLQVWDOOHG LQWKH

HQJLQH FRRODQW V\VWHP $ ORZ FRRODQW WHPSHUDWXUH

PDNHV WKH WKHUPLVWRU KDYH D KLJK UHVLVWDQFH >
RKPV DW 

•

& 

•

)@ $ KLJKHU FRRODQW WHPSHUDWXUH

PDNHV WKH WKHUPLVWRU KDYH D ORZHU UHVLVWDQFH > RKPV
DW 

•

& 

•

)@

7KH (&7 VHQVRU XVHV D WKHUPLVWRU WR FRQWURO WKH VLJQDO

YROWDJH WR WKH (&0 7KH (&0 DSSOLHV D YROW UHIHU

HQFH YROWDJH WR WKH (&7 VHQVRU 7KH PHDVXUHG YROWDJH

ZLOO EH KLJK ZKHQ WKH HQJLQH FRRODQW LV FROG 7KH PHD

VXUHG YROWDJH ZLOO EH ORZHU ZKHQ WKH HQJLQHFRRODQW LV DW

RSHUDWLQJ WHPSHUDWXUH 7KH (&0 ZLOO DGMXVW WKH UDQJH
RI WKH DLU DQG IXHO UDWLR EHWZHHQ  DW 

•

& 

•

)

WR  DW 

•

& 

•

) IURP WKH (&7 VHQVRU VLJQDO

7KH (&0 ZLOO DOVR DGMXVW WKH LJQLWLRQ WLPLQJ IRU PRUH

VSDUN DGYDQFH ZKHQ WKH HQJLQH FRRODQW LV FROG DQG OHVV

VSDUN DGYDQFHZKHQ WKHHQJLQHFRRODQW LV KRW $QHQJLQH

DW RSHUDWLQJ WHPSHUDWXUH QRUPDOO\ QHHGV OHVV VSDUN DG

YDQFH

),*85(  (1*,1( &22/$17

7(03(5$785( (&7 6(1625

 7(03(5$785( 6(1625

 (/(&75,&$/ &211(&725

 /2&. 7$%

127( ,I WKH FRQQHFWLRQ EHWZHHQ WKH (&7 VHQVRU DQG

WKH (&0 LV RSHQ GXULQJ VWDUWLQJ RU RSHUDWLRQ RI WKH HQ

JLQH WKH (&0 GHWHUPLQHV WKDW WKH HQJLQH LV FROG DQG DG

MXVWV WKH DLU DQG IXHO PL[WXUH WR WKH IXOO  UDWLR 7KLV

FRQGLWLRQ FDQ IORRG WKH HQJLQH ZLWK IXHO