Proceedings of the 37th Chinese Control Conference

July 25-27, 2018, Wuhan, China

7KH PHDVXUHPHQW RI VRODU SDQHO¶V VXQVKLQH IDFWRUV

DQG GHVLJQ RI WKH EHVW GLS DQJOH

6RQJFKHQ -LDQJ  ;LRQJQDQ +H 4LX\H 6XQ

6FKRRO RI LQIRUPDWLRQ VFLHQFH DQG HQJLQHHULQJ1RUWKHDVWHUQ 8QLYHUVLW\  6KHQ\DQJ 
(PDLO QHXMLDQJVRQJFKHQ#VLQDFRP #FRP VXQTLX\H#LVHQHXHGXFQ

$EVWUDFW ,Q RUGHU WR VWXG\ OLJKW LQWHQVLW\ DQG OLJKW LQFLGHQW DQJOH RQ WKH VRODU FHOO RXWSXW FDSDFLW\ LQ WKH QDWXUDO HQYLURQPHQW ZH
KDYH OLJKW LQWHQVLW\ H[SHULPHQWV RYHU WKH VRODU FHOO LQ WKH ODE HQYLURQPHQW DQG WKH GLS DQJOH DQG D]LPXWK DQJOH H[SHULPHQW XQGHU
WKH QDWXUDO HQYLURQPHQW DQG JHW WKH UHODWLRQ RI RXWSXW SRZHU DQG GLIIHUHQW OLJKW FRQGLWLRQV ,Q RUGHU WR JHW WKH EHVW WLOW DQJOH RI
VRODU 39 SDQHOV WKH FDOFXODWLRQ IRUPXOD RI WKH EHVW GLS DQJOH LV REWDLQHG WKURXJK WKH WKHRU\ RI VRODU UDGLDWLRQ DQG WKH FDOFXODWLRQ
PHWKRG RI VRODU PRWLRQ DQG UDGLDWLRQ LQWHQVLW\ ,Q RUGHU WR DFKLHYH WKH UHDOWLPH FRQWURO RI VRODU FHOO V\VWHP DQG WR PD[LPL]H WKH
HIILFLHQF\ WDNH D UHIHUHQFH RI WKH HIIHFW RI OLJKW IDFWRUV RQ RXWSXW SRZHU DQG LQWHJUDWH VRODU SDQHO DQJOH DQG VRODU LQFLGHQW
DQJOHFRPH XS WKH LQFOLQDWLRQ IXQFWLRQ RI VRODU UDGLDWLRQ ILOOLQJ IDFWRU DQG ILQG WKH RSWLPDO VROXWLRQ E\ XVLQJ JHQHWLF DOJRULWKP WR
RSWLPL]H %3 QHXUDO QHWZRUN DOJRULWKP LQ RUGHU WR ILW WKH VRODU DQJOH IXQFWLRQ $IWHU WKH DERYH PHDVXUHV ZH FDQ JHW WKH VRODU
SDQHOV¶ GLS DQJOH XQGHU UHDOWLPH FRQGLWLRQV FRUUHVSRQGLQJ WR WKH RSWLPDO ILOOLQJ IDFWRUQDPHO\ WKH EHVW DQJOH RI GHVLJQ 7KURXJK
0$7/$% SURJUDPPLQJ VLPXODWLRQ WKH SUHGLFWHG UHVXOWV DUH LQ JRRG DJUHHPHQW ZLWK WKH RXWSXW UHVXOWV DQG WKH UHVXOWV DUH
SUDFWLFDO
.H\ :RUGV VRODU HQHUJ\  RSWLPDO GLS DQJOH  V\VWHP UHDO WLPH FRQWUROOLQJ PRGHO  QHXUDO QHWZRUN

 5HODWHG WKHRU\ RI VRODU SDQHOV¶ FKDUDFWHULVWLFV

6RODU SDQHOV PDNH XVH RI VRPH PDWHULDOV¶ SKRWRJHQHUDWH

HIIHFW WR WUDQVIHU VRODU HQHUJ\ WR HOHFWULFLW\ $V IRU WKH
GLIIHUHQFH RI PDQXIDFWXULQJ SURFHVV VRODU SDQHOV FDQ EH
GLYLGHG DV PRQRFU\VWDOOLQH VLOLFRQ SRO\VLOLFRQ DPRUSKRXV
VLOLFRQ WKLQ ILOP VRODU FHOO DQG VR RQ $ ORW RI SQ MXQFWLRQV
PDNH XS VRODU SDQHOV¶ VXUIDFH:KHQ SQ MXQFWLRQV JHW
VXQKLQH DQG LQFLGHQW SKRWRQ HQHUJ\ UHDFKHV WKH LPSULVRQHG )LJ  7KH HTXLYDOHQW FLUFXLW RI VRODU SDQHOV
HQHUJ\ YDOXH SKRWRQ ZLOO EH DEVRUEHG LQ HYHU\ DUHD DQG 6LQJOH H[SRQHQWLDO PRGHO
FRPH LQWR EHLQJ HOHFWURQ KROH SDLUV 7KH HOHFWURQ KROH SDLUV¶
RULHQWHHULQJ PDNHV VHPLFRQGXFWRU PDWHULDOV SURGXFH $FFRUGLQJ WR WKH 2KP V ODZ DQG VRPH SURSHUWLHV RI VRODU
SKRWRJHQHUDWHG HOHFWURPRWLYH IRUFH DW ERWK HQGV>@ SDQHOV ZH FDQ JHW WKH VLQJOH H[SRQHQWLDO PDWKHPDWLFDO
PRGHO RI VRODU SDQHOV

T 9  ,5V
9  ,5V
, , SK  , R >H .$7
 @  ˄˅
5VK

&RPSDUHG ZLWK GRXEOH H[SRQHQWLDO PRGHO WKHVH WZR

PRGHOV KDYH WKH VDPH SK\VLFDO VLJQLILFDQFH +RZHYHUWKH
)LJ  6FKHPDWLF GLDJUDP RI FU\VWDO VLOLFRQ VRODU FHOO VWUXFWXUH
VLQJOH H[SRQHQWLDO PRGHO LV PRUH FRQYHQLHQW GXULQJ
FDOFXODWLRQ SURFHVV DQG LW LV XVXDOO\ DSSOLHG LQ SURGXFWLRQ
$FFRUGLQJ WR WKH ZRUNLQJ SULQFLSOHV RI VRODU SDQHOV ZH DQG HQJLQHHULQJ
FDQ KDYH LWV HTXLYDOHQW FLUFXLWFRPSRVLQJ RI FRQVWDQW
FXUUHQW VRXUFH IRU WKH FKDUDFWHUL]DWLRQ RI SKRWRLQGXFHG  7KH RSHQ FLUFXLW YROWDJH
FXUUHQW GLRGH RI SQ MXQFWLRQV FKDUDFWHULVWLFV SQ MXQFWLRQV 7KH RSHQ FLUFXLW YROWDJH RI VRODU SDQHOV LV WKH RQH ZKHQ
OHDNDJH FXUUHQW VKXQW UHVLVWDQFH DQG VHULHV UHVLVWDQFH DQG
H[WHUQDO FLUFXLW LV RSHQ H[SUHVVHG DV 8 f  :KHQ WKHUH LV QR
ORDG UHVLVWDQFH EURXJKW E\ WKH HOHFWURGH RI VRODU SDQHOV
VXQOLJKW 8 f   7KH RSHQ FLUFXLW YROWDJH RI VRODU SDQHOV LV
UHODWHG ZLWK PDNLQJ PDWHULDOV DQG WKH LQFLGHQW OLJKW LQWHQVLW\
7KH ELJJHU WKH LQFLGHQW OLJKW LQWHQVLW\ WKH ODUJHU WKH RSHQ
FLUFXLW YROWDJH %XW WKH\ DUH QRW OLQHDU UHODWLRQ
 7KH VKRUW FLUFXLW FXUUHQW

7650
Authorized licensed use limited to: University of Virginia Libraries. Downloaded on April 08,2024 at 21:36:04 UTC from IEEE Xplore. Restrictions apply.
 7KH VKRUW FLUFXLW FXUUHQW RI VRODU SDQHOV LV WKH RQH XQGHU , P$      
QR ORDG FRQGLWLRQ H[SUHVVHG DV , VF  8SRQ WKH WKHRU\ RI
8 9      
HOHFWURQ KROH SDLUV VKRUW FLUFXLW FXUUHQW KDV OLQHDU UHODWLRQ
ZLWK LQFLGHQW OLJKW LQWHQVLW\ LQFUHDVLQJ DORQJ ZLWK WKH +HUH FRPH FXUYHV RI RSHQ FLUFXLW YROWDJH DQG VKRUW FLUFXLW
LQFUHDVH RI WKH LQFLGHQW OLJKW LQWHQVLW\ FXUUHQW E\ DERYH GDWD
 7KH RXWSXW FKDUDFWHULVWLFV RI VRODU SDQHOV
:KHQ WZR HQGV RI VRODU SDQHOV FRQQHFW YDULDEOH UHVLVWRUV
XQGHU WKH FRQGLWLRQ WKDW OLJKW LQWHQVLW\  WHPSHUDWXUH DQG VR
RQ DUH LQYDULDEOH WKH FXUUHQW DQG YROWDJH ZLOO FKDQJH DORQJ
ZLWK WKH FKDQJH RI ORDG UHVLVWRU VR ZH FDQ JHW WKH
FKDUDFWHULVWLF EHWZHHQ VRODU SDQHOV RXWSXW YROW  DPSHUH
FKDUDFWHULVWLFV DQG RXWSXW SRZHU FKDUDFWHULVWLFV
,Q WKHVH ILJXUHV ZH FDQ JHW WKH PD[LPXP RXWSXW SRZHU
δ 3PS εDQG LWV FRUUHVSRQGLQJ YROWDJHδ 8 PS εDQG FXUUHQW
δ , PS ε $QG WKH FRUUHVSRQGLQJ UHVLVWDQFH δ 5PS εZKHQ
JHWWLQJ WKH PD[LPXP SRZHU LV FDOOHG WKH EHVW ORDG
UHVLVWDQFH )LJ  7KH FXUYH RI VKRUW FLUFXLW FXUUHQW FKDQJHV DORQJ ZLWK
URWDWLRQ DQJOH RI VRODU SDQHO
 6RODU FHOO ILOOLQJ IDFWRU
)LOO )DFWRU LV GHILQHG WR H[SUHVV WKH DELOLW\ RI VRODU SDQHOV
RXWSXW SRZHU ,WV PDWKHPDWLFDO H[SUHVVLRQ LV 
8 PS ˜ , PS
)) ˄˅
8 f ˜ , VF
)LOO IDFWRU H[SUHVVHV WKH UHODWLRQVKLS EHWZHHQ WKH
PD[LPXP RXWSXW SRZHU DQG LQKHUHQW SURSHUW\ 2EYLRXVO\
WKH ODUJHU WKH PD[LPXP RXWSXW SRZHU WKH KLJKHU WKH ILOO
IDFWRU DQG WKH EHWWHU WKH RXWSXW SURSHUW\ RI VRODU SDQHOV>@
 7KH LQIOXHQFH RI OLJKW LQWHQVLW\ RQ VRODU SDQHOV
,Q ODE HQYLURQPHQW ZH FDQ NQRZ WKH LPSDFW WKDW OLJKW
LQWHQVLW\ KDV RQ VRODU HQHUJ\ LQGH[ E\ WKH OLJKW VRXUFHV DQG
)LJ  7KH FXUYH RI RSHQ FLUFXLW YROWDJH FKDQJHV DORQJ ZLWK
VRODU SDQHOV 'XULQJ WKH H[SHULPHQW SURFHVVZH FDQ LJQRUH URWDWLRQ DQJOH RI VRODU SDQHO
WKH FKDUDFWHULVWLFV FKDQJHV LQ QDWXUDO HQYLURQPHQW DQG
ILJXUH RXW WKH LPSDFWV WKDW VLQJOH SK\VLFDO TXDQWLW\ KDV RQ )URP )LJ ZLWK OLJKW LQWHQVLW\ GHFUHDVHV VKRUW FLUFXLW
WKH ZKROH V\VWHP>@>@ FXUUHQW DOVR GHFUHDVHV DQG WKH\ DUH QHDUO\ OLQHDU UHODWLRQ
)URP )LJ RSHQ FLUFXLW YROWDJH DQG OLJKW LQWHQVLW\ KDYH
 7KH LQIOXHQFH RI OLJKW LQWHQVLW\ RQ RSHQ FLUFXLW SRVLWLYH FRUUHODWLRQ EXW REYLRXV QRQOLQHDU UHODWLRQ
YROWDJH DQG VKRUW FLUFXLW FXUUHQW
 7KH LQIOXHQFH RI OLJKW LQWHQVLW\ RQ PD[LPXP
0DNH XVH RI OLJKW VRXUFH DQG VRODU SDQHOV WR PHDVXUH OLJKW
RXWSXW SRZHU DQG ILOO IDFWRU
LQWHQVLW\ PDNH VXUH OLJKW VRXUFH FHQWHU DQG VRODU SDQHOV
JHRPHWULF FHQWHU QRW FKDQJH DQG WKH GLVWDQFH RI WKHP 'XULQJ WKH PHDVXULQJ SURFHVVZH FDQ JHW WKH EHVW SRZHU
FRQVWDQW URWDWH VRODU SDQHOV DQG FKDQJH WKH SDQHOV¶ DQJOH WR SRLQW GDWD LQ GLIIHUHQW ORDGV DQG FDOFXODWH ILOO IDFWRU
FKDQJH WKH OLJKW LQWHQVLW\ RI ODE HQYLURQPHQW 7KURXJK
7DEOH  WKH PD[LPXP RXWSXW SRZHU DQG ILOO IDFWRU GDWD LQ
DERYH PHDVXUHV ZH FDQ KDYH WKH YDULDWLRQ RI RSHQ FLUFXLW FKDQJHDEOH OLJKW LQWHQVLW\
YROWDJH DQG VKRUW FLUFXLW FXUUHQW LQ GLIIHUHQW OLJKW LQWHQVLW\
+HUH FRPHV GDWD RI OLJKW LQWHQVLW\ WKURXJK H[SHULPHQW șƒ      
7DEOH  GDWD RI RSHQ FLUFXLW YROWDJH DQG VKRUW FLUFXLW FXUUHQW 3 :      
ZKHQ OLJKW LQWHQVLW\ FKDQJHV
))      
șƒ       șƒ      
, P$       3 :      
8 9       ))      
șƒ       șƒ      
, P$       3 :      
8 9       ))      
șƒ      

7651
Authorized licensed use limited to: University of Virginia Libraries. Downloaded on April 08,2024 at 21:36:04 UTC from IEEE Xplore. Restrictions apply.
 $FFRUGLQJ WR WKH FXUYH RI PD[LPXP RXWSXW SRZHU DQG ILOO
IDFWRU FKDQJLQJ ZLWK OLJKW LQWHQVLW\ WKH PD[LPXP RXWSXW
SRZHU LQFUHDVHV DORQJ ZLWK OLJKW LQWHQVLW\ LQFUHDVHV ZKLOH
ILOO IDFWRU GHFUHDVHV DORQJ ZLWK OLJKW LQWHQVLW\ LQFUHDVHV

)LJ WKH WHQGHQF\ ILJXUH RI GLS DQJOH WR V\VWHP WUDQVIHU HIILFLHQF\

 7KH LQIOXHQFH RI D]LPXWK
$]LPXWK RI VRODU V\VWHP LV UHIHUUHG WR WKH DQJOH RI VRODU
)LJ WKH FXUYH RI WKH PD[LPXP RXWSXW SRZHU FKDQJHV DORQJ ZLWK PRGXOH¶V YHUWLFDO SODQH DQG QRUWKVRXWK OLQH ,I ZH WDNH
URWDWLQJ DQJOH RI VRODU SDQHOV FRQWURO RI WHPSHUDWXUH IDFWRU FRQVWDQWWKH HUURU EURXJKW E\
VRODU PLJUDWLRQ FDQ EH LJQRUHG VLQFH WKH WLPH LV VR VKRUW
$IWHU H[SHULPHQW PHDVXULQJ LQ QDWXUDO HQYLURQPHQW ZH FDQ
JHW WKH UHODWLRQ ILJXUH RI D]LPXWK DQG WUDQVIHU HIILFLHQF\

)LJ WKH FXUYH RI ILOO IDFWRU FKDQJHV DORQJ ZLWK URWDWLQJ DQJOH RI
VRODU SDQHOV

 7KH LQIOXHQFH RI VXQOLJKW FRQGLWLRQV RQ RXWSXW

FDSDFLW\ RI VRODU EDWWHU\ )LJ WKH WHQGHQF\ GLDJUDP RI D]LPXWK RQ V\VWHP WUDQVIHU
HIILFLHQF\
7KH PDLQ IDFWRU RI LQIOXHQFLQJ RXWSXW FDSDFLW\ RI VRODU
EDWWHU\ DQG WUDQVIHU HIILFLHQF\ DUH WHPSHUDWXUH DQG VXQOLJKW  %DVLF SDUDPHWHUV RI VXQOLJKW UDGLDWLRQ
UDGLDWLRQ :H QRZ KDYH D UHVHDUFK RQ WKH LQIOXHQFH RI  7KH LQWHQVLW\ RI VXQOLJKW UDGLDWLRQ RXWVLGH
VXQOLJKW LQFLGHQW DQJOH RQ VRODU EDWWHU\ V\VWHP RXWSXW SRZHU DWPRVSKHUH
LQ QDWXUDO HQYLURQPHQW$PRQJ WKHVH WKH VXQOLJKW DQJOH¶V
LQIOXHQFLQJ IDFWRU KDV GLS DQJOH DQG D]LPXWK $QG VRODU 7KH UDGLDWLRQ LQWHQVLW\ RI VXQOLJKW YHUWLFDO LUUDGLDWLRQ
UDGLDWLRQ LQWHQVLW\ DQG VXQOLJKW DQJOH DOVR LQIOXHQFH VRODU
WUDQVIHU HIILFLHQF\>@>@ 1
,R 6R    FRV S ˜ ˄˅
 7KH LQIOXHQFH RI GLS DQJOH 
7KH GLS DQJOH RI VRODU V\VWHP LV UHIHUUHG WR WKH DQJOH RI ,Q WKLV IRUPXOD 6R LV WKH VXQOLJKW UDGLDWLRQ FRQVWDQW ZH
VRODU SDQHOV DQG KRUL]RQWDO SODQH ,W LQIOXHQFHV WKH GHJUHH RI WDNH LW DV :ͅ
WKH ZKROH VRODU SDQHOV UHFHLYH VXQOLJKW UDGLDWLRQ $FFRUGLQJ
WR WKH H[LVWLQJ SK\VLFDO WKHRU\ ZKHQ WKH GLS DQJOH DQG VRODU  7KH VXQ V GHFOLQDWLRQ DQJOH DQG WLPH DQJOH
DOWLWXGH DQJOH DUH LQWHUUHODWHG VRODU SDQHOV FDQ JHW WKH 7KH DQJOH RI HTXDWRU DQG FHQWHU OLQH RI VXQ DQG HDUWK LV
PD[LPXP UDGLDWLRQ DQG VR GRHV WKH WUDQVIHU HIILFLHQF\ FDOOHG GHFOLQDWLRQ DQG IURP &RRSHU IRUPXOD ZH FDQ QHDUO\
ZLWKRXW FRQVLGHULQJ WHPSHUDWXUH LPSDFWV 7KH WHQGHQF\ JHW WKH IROORZLQJ UHODWLRQ
FXUYH RI GLS DQJOH¶V LPSDFWV RQ VRODU EDWWHU\ WUDQVIHU
HIILFLHQF\ FDQ EH JRWWHQ IURP H[SHULPHQW DQG DFFRUGLQJ WR S ˜ q   1
WKH H[LVWLQJ H[SHULPHQWDO UHVXOWV WKH FXUYH WUHQG PDS FDQ EH G ˜ VLQ S ˜ ˄˅
REWDLQHG
q 

7652
Authorized licensed use limited to: University of Virginia Libraries. Downloaded on April 08,2024 at 21:36:04 UTC from IEEE Xplore. Restrictions apply.
 7KH WLPH DQJOH GHVFULEHV FKDQJHV RI VXQ LQ D GD\ DQG  7KH EHVW GLS DQJOH PRGHO EDVHG RQ QHXUDO
IURP WKLV GHILQLWLRQ ZH FDQ NQRZ QHWZRUN
S ˜q ,Q DFWXDO HQJLQHHULQJ JHRJUDSK\ IDFWRU DQG VXQOLJKW
ZV ˄7  ˅ ˄˅ UDGLDWLRQ IDFWRU VKRXOG EH FRQVLGHUHG ZKHQ PDNLQJ VXUH WKH
q
EHVW ZRUNLQJ FRQGLWLRQ RI VRODU EDWWHU\ V\VWHP 6R ZH
 'LUHFW VXQOLJKW DQG VFDWWHULQJ WUDQVSDUHQF\ VKRXOG DGG DGGUHVV IDFWRUV DQG VXQOLJKW UDGLDWLRQ IDFWRUV
FRHIILFLHQW RWKHU WKDQ WKH IRUPDO FULWHULRQV )URP WKH DERYH DQDO\VLV ZH
FDQ NQRZ WKDW GLS DQJOH RI VRODU SDQHOV KDV DQ LPSRUWDQW
6FLHQWLVWV .UHWLWK DQG .UHLGHU>@>@ FDPH XS WKH IRUPXOD LPSDFW RQ V\VWHP WUDQVIHU HIILFLHQF\ ,Q RUGHU WR PD[LPL]H
FDOFXODWLQJ VFDWWHULQJ WUDQVSDUHQF\ FRHIILFLHQW W E  WKH V\VWHP DELOLW\ ZH DSSO\ JHQHWLF DOJRULWKP DQG
RSWLPL]DWLRQ RI %3 QHXUDO QHWZRUN DOJRULWKP WR ILW DQG
WE  H  $0 K  H  $0 K ˄˅ FDOFXODWH WKH EHVW VROXWLRQUHDOL]LQJ WKH GHVLJQ DQG FRQWURO RI
WKH EHVW GLS DQJOH
,Q WKLV IRUPXOD $0 K UHSUHVHQWV DLU FDSDFLW\ RI FHUWDLQ
 7KH ILWWLQJ RI GLS DQJOH IXQFWLRQ RI VXQOLJKW
KHLJKW RI WHUUDLQ 6FDWWHULQJ WUDQVSDUHQF\ FRHIILFLHQW WG KDV UDGLDWLRQ
OLQHDU UHODWLRQ ZLWK GLUHFW UDGLDWLRQ 7KH GLS DQJOH IXQFWLRQ RI VXQOLJKW UDGLDWLRQ ILOOLQJ IDFWRU
WG   W E ˄˅ LV REYLRXV QRQOLQHDU IXQFWLRQ %\ DSSO\LQJ JHQHWLF
DOJRULWKP DQG RSWLPL]DWLRQ RI %3 QHXUDO QHWZRUN DOJRULWKP
 &DOFXODWLRQ RI UDGLDQW HQHUJ\ DQG GHVLJQ RI GLS WR ILW DQG DQDO\]H ZH FDQ JHW WKH QHWZRUN ZHLJKW YDOXH DQG
DQJOH WKUHVKROG DQG FDQ EH RXWSXW DIWHU WUDLQLQJ WKH SUHGLFWLRQ
IXQFWLRQ
:KHQ VRODU SKRWRYROWDLF V\VWHP LV ZRUNLQJ VXQOLJKW 7KH ILWWLQJ DOJRULWKP¶V PDLQ IXQFWLRQ LV DV IROORZHG
UDGLDWLRQ UHFHLYHG E\ VRODU SDQHOV FDQ EH GLYLGHG DV WKUHH 6WHS φUDQGRP LQLWLDOL]LQJ SRSXODWLRQ
SDUWV QDPHO\ GLUHVW UDGLDWLRQ VFDWWHULQJ UDGLDWLRQ DQG 6WHS φFDOFXODWH WKH SRSXODWLRQ ILWQHVV YDOXH DQG ILQG WKH
UHIOHFWLRQ UDGLDWLRQ %HFDXVH WKH ZRUNLQJ HQYLURQPHQW LV EHVW LQGLYLGXDO
FKRVHQ DUWLILFLDOO\ WKH UHIOHFWLRQ UDGLDWLRQ LV QHDUO\  $V D 6WHS φFKRRVLQJ RSHUDWLRQ
UHVXOW RI WKLV ZH FDQ VHW WKH VXQOLJKW UDGLDWLRQ DV WZR SDUWV
6WHS φRYHUODSSLQJ RSHUDWLRQ
,W ,E  , G ˄˅ 6WHS φYDULDWLRQ RSHUDWLRQ
,Q WKLV IRUPXODWKH GLUHFW UDGLDWLRQ RI VRODU SDQHOV LV 6WHS φMXGJH ZKHWKHU WKH HYROXWLRQ ILQLVKHV RU QRW ,I QRW
UHWXUQ WR VWHS 
,E , W E FRV T ˄˅ 6WHS  φ JLYH WKH EHVW LQGLYLGXDO WR %3 QHXUDO QHWZRUN
DOJRULWKP DQG ILW WKH WDUJHW IXQFWLRQ
$QG WKH VFDWWHULQJ UDGLDWLRQ LV $IWHU LQLWLDOL]DWLRQ WKH VXIILFLHQF\ IXQFWLRQ FDQ EH
HVWDEOLVKHG
FRV  E
,G , W G ˄˅ Q
 VLQ D ) N ¦ DEV \L  RL ˄˅
7KH UDGLDWLRQ HQHUJ\ LQ WKH VXUIDFH RI VRODU SDQHOV LQ XQLW L 
WLPH LV ,Q WKLV IRUPXOD Q LV WKH QHWZRUN RXWSXW SRLQW \ LV WKH
7VU LGHDO RXWSXW DQG R LV WKH SUHGLFWHG RXWSXW 7KURXJK URXOHWWH
41 ³ 7VV
, W G7 4%  4' ˄˅ WKHUH FRPH WKH VHOHFWLYH GLVWULEXWLRQ
N
2YHU WKH DERYH DQDO\VLV ZH FDQ JHW WKH EHVW GLS DQJOH IL ˄˅
DFFRUGLQJ WR DEVRUSWLRQ UDGLDQW HQHUJ\ LI WKHUH DUH V\VWHP
)L
HQYLURQPHQWDO SDUDPHWHUV>@>@ IL
7UDQVIHU HIILFLHQF\ RI VRODU SKRWRVROWDLF DQG DEVRUSWLRQ RI SL 1
˄˅
UDGLDWLRQ LQWHQVLW\ KDV OLQHDU UHODWLRQ )URP WKH DERYH
GHGXFWLRQ ZH NQRZ WKDW VRODU UDGLDWLRQ DFFHSWDQFH LV UHODWHG
¦I
M 
L

WR GLS DQJOH RI SKRWRVROWDLF SDQHOV DQG WKH UHODWLRQ LV WKH

IXQFWLRQ ZLWK GLS DQJOH DV YDULDEOH 6R ZH FDQ WDNH WKH (QFRGH WKH DFWXDO QXPEHU RI LQGLYLGXDO VWDWHV XQGHU WKH
GHULYDWLYH RI UDGLDWLRQ DEVRUSWLRQ DQG JHW H[WUHPH YDOXH IDFWRUV RI VRODU UDGLDWLRQ WR SHUIRUP WKH YDULDWLRQ RSHUDWLRQ
$IWHU WKLV ZH FDQ JHW WKH EHVW DQJOH VWDWLVWLFV LQ YDULDEOH
HQYLURQPHQW ­°DLM  DLM  DPD[ ˜ I J U ! 
DLM ® ˄˅
G41 E °̄DLM  DPLQ  DLM ˜ I J U d 
 ˄˅
GE 8VH 0$7/$% WR SURJUDP WR UHDOL]H WKH DOJRULWKP DQG
JHW WKH ILWWLQJ UHVXOWV RI VRODU GLS DQJOH IXQFWLRQ
6ROYH WKLV HTXDWLRQ DQG ZH FDQ JHW WKH DQVZHU,Q WKH EHVW
GLS DQJOH VLWXDWLRQZH FDQ PDNH VXUH WKH EHVW ZRUNLQJ  )XQFWLRQ H[WUHPH YDOXH WR ILQG WKH EHVW GLS DQJOH
FRQGLWLRQ RI VRODU EDWWHU\ V\VWHP

7653
Authorized licensed use limited to: University of Virginia Libraries. Downloaded on April 08,2024 at 21:36:04 UTC from IEEE Xplore. Restrictions apply.
 ,Q H[DFW JHRJUDSKLF HQYLURQPHQW ZH XVH QHXUDO QHWZRUN ,W FDQ EH VHHQ IURP WKH UHVXOWV WKDW WKH %3 QHXUDO QHWZRUN
DQG JHQHWLF DOJRULWKP WR JHW WKH RSWLPL]DWLRQ H[WUHPH YDOXH FDQ SUHGLFW WKH RXWSXW UHODWLYHO\ DFFXUDWHO\ VR WKH ILWWLQJ
RI IXQFWLRQ ,Q WKH IXQFWLRQ VRODU GHFOLQDWLRQ DQJOH WLPH UHVXOWV FDQ EH DSSUR[LPDWHG WR WKH DFWXDO RXWSXW YDOXH
DQJOH DQG WUDQVSDUHQF\ FRHIILFLHQW LV FRQVWDQW XQGHU VSHFLILF $IWHU WKH WUDLQLQJ RI %3 QHXUDO QHWZRUN ZH FDQ JHW WKH
FRQGLWLRQV )DFWRUV DIIHFWLQJ WKH V\VWHP RXWSXW FDSDFLW\ DUH PD[LPXP RI VRODU UDGLDWLRQ ILOO IDFWRU IXQFWLRQ XVLQJ JHQHWLF
WKH VRODU SDQHO DQJOH DQG VRODU LQFLGHQW DQJOH %\ WKH QHXUDO DOJRULWKP 7KH SDUDPHWHUV RI QXPEHUV RI LWHUDWLRQ DQG
QHWZRUN FRPSXWLQJ ZH FDQ JHW WKH RSWLPDO VRODU SDQHOV¶ GLS SRSXODWLRQ VL]H PXVW EH GHWHUPLQHG E\ HQJLQHHULQJ QHHGV
DQJOH FKDQJLQJ ZLWK LQFLGHQW DQJOH 7DNH ILOO IDFWRU DV D 7DNLQJ WKH GHILQHG HQYLURQPHQW DV DQ H[DPSOH WKH
FULWHULRQ ZH FDQ UHDOL]H WKH VHUYR FRQWURO RI VRODU SDQHOV WR QXPEHU RI LWHUDWLRQV LV  WKH SRSXODWLRQ VL]H LV  WKH
PD[LPL]H WKH HIILFLHQF\ RI WKH V\VWHP FURVVRYHU SUREDELOLW\ LV  DQG WKH PXWDWLRQ SUREDELOLW\ LV
7KH DOJRULWKP FDQ EH GLYLGHG DV %3 QHXUDO QHWZRUN  7KH RSWLPXP LQGLYLGXDO VXIILFLHQF\ FXUYH LV REWDLQHG
DOJRULWKP WR WUDLQ ILWWLQJ DQG JHQHWLF DOJRULWKP WR JHW WKH E\ XQLW SURFHVVLQJ RI WKH VRODU UDGLDWLRQ LQFOLQDWLRQ IXQFWLRQ
RSWLPL]DWLRQ H[WUHPH YDOXH 7KH DOJRULWKP IORZ FKDUW LV DV
IROORZHG

)LJ &XUYH RI VXIILFLHQF\ FKDQJH

,W FDQ EH VHHQ WKDW WKHUH LV QR VLJQLILFDQW GLIIHUHQFH
EHWZHHQ VXIILFLHQF\ DQG WKH ILWWLQJ RSWLPDO LQGLYLGXDO UHVXOW
RI WKH VRODU UDGLDWLRQ ILOOLQJ IDFWRU ZKLFK VKRZV WKH
HIIHFWLYHQHVV RI WKH PHWKRG
 &RQFOXVLRQ
)LJ $OJRULWKP IORZ FKDUW
7KURXJK WKH H[SHULPHQWWKH HIIHFWV RI OLJKW LQWHQVLW\ RQ
7KH QHXUDO QHWZRUN XVHV WKH LQSXW DQG RXWSXW GDWD RI WKH RSHQ FLUFXLW YROWDJH VKRUW FLUFXLW FXUUHQW RXWSXW
VRODU GLS DQJOH IXQFWLRQ WR WUDLQ WKH QHWZRUN DQG WKH FKDUDFWHULVWLFV DQG ILOOLQJ IDFWRUV DUH REWDLQHG  7KURXJK WKH
SUHGLFWHG RXWSXW LV REWDLQHG 7KH H[WUHPH YDOXH TXDOLWDWLYH UHVHDUFK RI WKH QDWXUDO IDFWRUV RI VRODU UDGLDWLRQ
RSWLPL]DWLRQ SDUW WDNHV WKH SUHGLFWLRQ UHVXOWV DIWHU WUDLQLQJ DV WKH LQVWDOODWLRQ DQJOH RI VRODU SDQHOV DQG WKH LQFLGHQFH DQJOH
LQGLYLGXDO VXIILFLHQF\ DQG REWDLQV WKH PD[LPXP RXWSXW RI VRODU UDGLDWLRQ WKH IRUPXOD IRU FDOFXODWLQJ WKH RSWLPXP
VWDWH DQG FRUUHVSRQGLQJ LQFOLQDWLRQ LQSXW RI WKH V\VWHP GLS DQJOH XQGHU FHUWDLQ FRQGLWLRQV LV REWDLQHG
WKURXJK VHOHFWLRQ FURVVRYHU DQG YDULDWLRQ VWHSV ,Q RUGHU WR UHDOL]H WKH UHDOWLPH VHUYR FRQWURO V\VWHP RI
VRODU HQHUJ\ ZH XVH JHQHWLF DOJRULWKP DQG %3 QHXUDO
QHWZRUN DOJRULWKP WR KDYH WKH QRQOLQHDU IXQFWLRQ ILWWLQJDQG
JHW WKH LQFOLQDWLRQ IXQFWLRQ FKDUDFWHULVWLFV RI VRODU UDGLDWLRQ
ILOO IDFWRU &RPELQHG ZLWK WKH LQFLGHQW DQJOH RI VXQ DQG WKH
VRODU SDQHOV¶ GLS DQJOH WDNHQ ILOO IDFWRU DV WKH MXGJPHQW ZH
FDQ JHW WKH EHVW DQJOH XQGHU GLIIHUHQW FRQGLWLRQV7KURXJK
WKH YHULILFDWLRQ WKH PHWKRG LV HIIHFWLYH 7KHUHIRUH WKH VRODU
V\VWHP IROORZXS WHFKQRORJ\ FDQ EH XVHG IRU UHDOWLPH
FRQWURO DQG SUHGLFWLRQ VR WKDW WKH HIILFLHQF\ RI VRODU V\VWHP
LV IXUWKHU RSWLPL]HG DQG WKH HQHUJ\ HIILFLHQF\ RI IL[HG
V\VWHP LQ WKH VRODU PLJUDWLRQ SURFHVV LV UHGXFHG
5HIHUHQFH
>@ :DQJ <XTLQJ 5HQ ;LQFKHQJ 8QLYHUVLW\ SK\VLFDO
H[SHULPHQWDO VWXG\ RI >-@ OLJKW LQWHQVLW\ LQ VRODU FHOOV
   
>@ )DFWRUV DIIHFWLQJ WKH HIILFLHQF\ RI WKH VRODU FHOO RI >-@ +DR
)LJ 1HWZRUN SUHGLFWLQJ RXWSXW +XDOL /LX :HQIX 0RGHUQ HOHFWURQLF WHFKQRORJ\  

7654
Authorized licensed use limited to: University of Virginia Libraries. Downloaded on April 08,2024 at 21:36:04 UTC from IEEE Xplore. Restrictions apply.
>@ ([SHULPHQWDO VWXG\ RI >@ OLJKW >-@ -L LPSDFW RQ VRODU FHOO
SHUIRUPDQFH IDU 0LQJ &KHQ *XRTLDQJ (OHFWURQLF
WHFKQRORJ\   
>@ 7KH RXWSXW FKDUDFWHULVWLFV RI VRODU FHOO UHVHDUFK >-@ /LX
&KDQJTLQJ =KRQJ UHVHUYRLU =KDQJ -LER *XDQJ[L  
SK\VLFV
>@ ([SHULPHQWDO VWXG\ RQ WKH HIIHFW RI OLJKW LQWHQVLW\ RQ WKH >-@
IURP WKH VRODU FHOO SHUIRUPDQFH IDU 0LQJ &KHQ *XRTLDQJ
(OHFWURQLF WHFKQRORJ\   
>@ $QDO\VLV RI VRODU FHOO ,9 FKDUDFWHULVWLFV RI 31 MXQFWLRQ DQG
WKH >-@ VLPXODWLRQ EDVHG RQ 5HQ -X *XR *H =KHQJ -LDQEDQJ
$FWD 3+2721,&$ 6LQLFD  
>@ 7KH LQIOXHQFH RI WKH LQFLGHQW DQJOH RI OLJKW RQ WKH RXWSXW
SRZHU RI VRODU FHOOV >-@ -RXUQDO RI &KLQD -LOLDQJ
8QLYHUVLW\  
>@ SKRWRYROWDLF SRZHU VWDWLRQ SKRWRYROWDLF LQVWDOODWLRQ DQJOH
VHOHFWLRQ GHVLJQ RI >-@ 'RQJ ;LDZHL 3DQJ &KXQ 6XH &KLQD
*XROLDQJ   SRZHU
>@ 3KRWRYROWDLF SRZHU JHQHUDWLRQ IL[HG SKRWRYROWDLF DUUD\
GHWHUPLQH WKH RSWLPXP WLOW DQJOH RI >-@ /L :HQWLQJ  
4LQJKDL VFLHQFH DQG WHFKQRORJ\
>@ 7KH EHVW LQVWDOODWLRQ DQJOH RI D IL[HG VRODU VWUHHW OLJKWLQJ
V\VWHP EDWWHU\ FRPSRQHQWV >-@ -LGXR ;X -LDQJ 6KLSLQJ
7HFKQRORJ\   ZLQG
>@ 2SWLPL]DWLRQ RI EXLOGLQJLQWHJUDWHG SKRWRYROWDLF V\VWHPV
60,/(< ( :67$0(1,& / 3KRWRYROWDLF 6SHFLDOLVWV
&RQIHUHQFH  
>@ (IIHFWV RI VRODU LUUDGLDWLRQ FRQGLWLRQV RQ WKH RXWGRRU
SHUIRUPDQFH RI SKRWRYROWDLF PRGXOHV 3$55(77$
$6$512 $ 2SWLFV &RPPXQLFDWLRQ  
>@ +DQ )HL 3DQ <XOLDQJ 6X =KRQJ[LDQ 5HVHDUFK RQ WKH
RSWLPXP DQJOH GHVLJQ PHWKRG RI IL[HG VRODU SKRWRYROWDLF
SDQHOV >-@ HQJLQHHULQJ GHVLJQ MRXUQDO   

>@ &DOFXODWLRQ RI 0RQWKO\ 0HDQ 6RODU 5DGLDWLRQ IRU +RUL]RQWDO
DQG ,QFOLQHG 6XUIDFH +D\ - ( 6RODU (QHUJ\  
>@ &DOFXODWLRQ RI PRQWKO\ DYHUDJH LQVRODWLRQ RQ WLOWHG VXUIDFHV
.OHLQ 6 $ 6RODU (QHUJ\  
>@ 7KH LQWHUUHODWLRQVKLS DQG FKDUDFWHULVWLF GLVWULEXWLRQ RI GLUHFW
GLIIXVH DQG WRWDO VRODU UDGLDWLRQ /LX % < +-RUGDQ 5 & 6RODU
(QHUJ\  
>@ .UHLWK).UHLGHU- ) 3ULQFLSOHV RI VRODU HQJLQHHULQJ  

7655
Authorized licensed use limited to: University of Virginia Libraries. Downloaded on April 08,2024 at 21:36:04 UTC from IEEE Xplore. Restrictions apply.