Theses 9 : Marc A Herwald

&21752/'(6,*1$1'$1$/<6,62)$1$'9$1&(' ,1'8&7,2102725(/(&75,&9(+,&/('5,9( 0DUF$+HUZDOG

7KHVLVVXEPLWWHGWRWKHIDFXOW\RIWKH9LUJLQLD3RO\WHFKQLF,QVWLWXWHDQG6WDWH 8QLYHUVLW\LQSDUWLDOIXOILOOPHQWRIWKHUHTXLUHPHQWVIRUWKHGHJUHHRI

0DVWHURI6FLHQFH LQ (OHFWULFDO(QJLQHHULQJ

'U'XVDQ%RURMHYLF&KDLU 'U-DVRQ/DL 'U'RXJODV./LQGQHU

$SULO %ODFNVEXUJ9LUJLQLD

.H\ZRUGV(OHFWULF9HKLFOH,QGXFWLRQ0RWRU'ULYHV)LHOG2ULHQWHG&RQWURO6SDFH9HFWRU0RGXODWLRQ'ULYH &\FOH6LPXODWLRQ&RPSDULVRQRI,QGXFWLRQ0RWRU/RVVHV'ULYH5HVRQDQFH&RPSHQVDWLRQ6WDWRU)OX[/LQNDJH 0HDVXUHPHQW

&21752/'(6,*1$1'$1$/<6,62)$1$'9$1&(' ,1'8&7,2102725(/(&75,&9(+,&/('5,9( 0DUF$+HUZDOG $EVWUDFW

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

$&.12:/('*0(176 ,ZRXOGOLNHWRWKDQNWKHPDQ\SHRSOHZKRKDYHFRQWULEXWHGWRWKLVWKHVLV,KDYH EHQHILWHGJUHDWO\E\EHLQJDVWXGHQWDWWKH&HQWHUIRU3RZHU(OHFWURQLFV6\VWHPV&3(6  IRUPHUO\WKH9LUJLQLD3RZHU(OHFWURQLFV&HQWHU93(& DW9LUJLQLD7HFK,UHFHLYHGKHOSIURP PDQ\SDVWDQGSUHVHQWVWXGHQWVIDFXOW\DQGVWDIIIURP&3(6DQGWKHXQLYHUVLW\,ZRXOGOLNHWR WKDQNP\FRPPLWWHHPHPEHUVZKRKDYHEHHQVXSSRUWLYHDQGLQSDUWLFXODU,ZRXOGOLNHWRWKDQN P\DGYLVRU'U%RURMHYLFIRUVKDULQJKLVNQRZOHGJHZLWKPHDQGIRUSURYLGLQJPHZLWKPXFK JXLGDQFHVXSSRUWDQGHQFRXUDJHPHQW6SHFLDOWKDQNVWR5:%RRWKHZKRWDXJKWPHDORW DERXWPDQ\RIWKHHQJLQHHULQJDVSHFWVRILQGXFWLRQPRWRUHOHFWULFYHKLFOHGULYHVWKDWDUH GLVFXVVHGLQWKLVWKHVLV0RVWRIDOO,ZRXOGOLNHWRWKDQNHYHU\RQHLQP\IDPLO\HVSHFLDOO\P\ SDUHQWVZKRKDYHKHOSHGWRPDNHPHLQWRZKDW,DP

LLL

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

'HYHORSPHQWRID3URFHGXUHWR0HDVXUH,03KDVH&XUUHQW+DUPRQLFVXSWRN+] &RPSDULVRQRI,0/RVVHV8VLQJD6HPL(PSLULFDO/RVV0RGHO

)8'6$1'+:)(7352),/(63(5)250$1&(&203$5,621  ,03$&72)6:,7&+,1*)5(48(1&<:,7+ 237,0$/690 6800$5<2)6<67(0()),&,(1&<,03529(0(176:,7+ 690  &+$37(5'(9(/230(172)$'5,9(5(621$1&(&203(16$725  '(6&5,37,212) '5,9(5(621$1&(  02'(/,1*2)(972548(7263(('75$16)(5)81&7,21  &203(16$725'(9(/230(17  7\SHRI&RPSHQVDWRUDQG*DLQ6HWWLQJ   &RPSHQVDWRU,PSOHPHQWDWLRQ,VVXHV  

6SHHG)HHGEDFN&RPSXWDWLRQV &RQWUROOHU6WUXFWXUH0DJQLWXGHRI)HHGEDFN*DLQDQG&ODPSLQJ

LY

&RPSHQVDWLRQ5ROORIIZLWK,QFUHDVLQJ9HKLFOH6SHHG

(9$/8$7,212)7+( ,03/(0(17('6<67(0  6LPXODWLRQRI6KXGGHU&RPSHQVDWLRQ   6KXGGHU&RPSHQVDWLRQ([SHULPHQWDO5HVXOWV   &+$37(5'(9(/230(172)$'63%$6(')/8;)(('%$&.&203(16$725 

'(6&5,37,212) )/8;)(('%$&.352%/(0  '(7(50,1$7,212))/8;0$*1,78'($1' 3+$6((5525$7/2:)5(48(1&,(6)5207+( (;,67,1* &,5&8,7  $1$/<6,62)72548()(('%$&.(5525$7/2:)5(48(1&,(6  '(9(/230(172)$ /2:63((')/8;0$*1,78'($1' 3+$6((5525&203(16$725  0DJQLWXGH(UURU&RPSHQVDWLRQ    3KDVH(UURU&RPSHQVDWLRQ   ,PSOHPHQWDWLRQ,VVXHV   )/8;)(('%$&.&203(16$7257(675(68/76  &+$37(56800$5<$1'&21&/86,21  5()(5(1&(6  $33(1',;   $33(1',; $9(+,&/(3$5$0(7(56)25$0,'6,=((9758&.  $33(1',;%'5,9(352),/(6,08/$7,21',$*5$0  $33(1',;&)/2:&+$57)254%$6,&'5,9(352),/(*(1(5$7,21352*5$0  $33(1',;'+($'(5),/()25,1'8&7,21 0272502'(/  $33(1',;(6285&(),/()25,1'8&7,21 0272502'(/  $33(1',;)+($'(5),/()25+<67(5(6,6&855(17&21752//(502'(/  $33(1',;*6285&(),/()25+<67(5(6,6&855(17&21752//(502'(/ $33(1',;++($'(5),/()25690&21752//(502'(/  $33(1',;,6285&(),/()25690&21752//(502'(/  $33(1',;-+($'(5),/()25'4&855(175(*8/$72502'(/  $33(1',;.6285&(),/()25'4&855(175(*8/$72502'(/  $33(1',;/0$7/$%,1'8&7,21 02725/266$1$/<6,662)7:$5(  $33(1',;06+8''(5&203(16$7,21'63$66(0%/<&2'(5287,1()257+($'0&&+,3 $33(1',;1,17(*5$725&203(16$7,21'63$66(0%/<&2'(5287,1()257+($'0&&+,3  9,7$ 

Y

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¤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

YL

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

YLL

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

YLLL

7$%/(6 7DEOH0HDVXUHG*(,QGXFWLRQ0RWRU3DUDPHWHUV#q& 7DEOH6ZLWFKLQJVWDWHVLQDWZROHYHO96,DQGWKHFRUUHVSRQGLQJRXWSXWOLQHWROLQH YROWDJHVDQGVWDWRUGTFRPSOH[YROWDJHVSDFHYHFWRU 7DEOH&KDQJHRIEDVLVPDWUL[IRUHDFKRIWKHVL[VHFWRUV 7DEOH&RPSDULVRQRILQYHUWHUORVVUROORIIUDWHZLWKGHFUHDVLQJGFOLQNDQGSKDVHFXUUHQW 7+'DWUSPDQGDQG1˜P 7DEOH&RPSDULVRQRI7RWDO,QGXFWLRQ0RWRU/RVV 7DEOH&RPSDULVRQRI6HSDUDWH,QGXFWLRQ0RWRU+DUPRQLF/RVVHV 7DEOH&RPSDULVRQRI7RWDO&DOFXODWHG&X/RVVHV3&X 3URW3VWDW 7DEOH&RPSRI&DOFXODWHG0HFKDQLFDOSOXV,URQ/RVVHV3ZU7H 3LURQ 3PRWORVV3&X 7DEOH)8'6690&RQWURO 7DEOH+:)(7690&RQWURO 7DEOH)8'6+\VWHUHVLV&RQWURO 7DEOH+:)(7+\VWHUHVLV&RQWURO

L[

/,672)6<0%2/6 ,D ,F ,VG ,VT ,V OVG OVT OV TU TVOLS TV D ZU ZVOLS ZH 9GF 7H 7/ 7FRUU 7PHDV % 3 WU WUO . V 5V 5U /OV /OU /K /V /U GDGEGF GGGT GDGE G G

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

G G IV WV W URWRU USP VKDIW U *5 *5GLII P Y &5 &5 &$ $ &' 1 / )V 7V ) 7 Q P N KWUDQ (

'XW\F\FOHRIUHIHUHQFHYHFWRUSURMHFWHGRQWRWKHODJJLQJVZLWFKLQJYHFWRU =HURYHFWRUGXW\F\FOH G¤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



,IDV\PEROLVVKRZQZLWKDVWDU¦ §VXSHUVFULSWLWUHSUHVHQWVHLWKHUDFRPPDQGHGYDOXHRU SDUDPHWHU  $FDSLWDOL]HGYDULDEOHLVUHSUHVHQWHGLQWKHV\QFKURQRXVUHIHUHQFHIUDPH  $ORZHUFDVHYDULDEOHLVQRUPDOO\LQWKHVWDWLRQDU\UHIHUHQFHIUDPHEXWLWFDQEHLQWKH V\QFKURQRXVUHIHUHQFHIUDPHGHSHQGLQJRQWKHVLWXDWLRQ

[L



&KDSWHU,QWURGXFWLRQ

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



I,0 9GF

 

96,

0RGXODWRU

&RQWUROOHU

)LJ%ORFN'LDJUDPRIWKH96,IHG,0GULYH

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¤ UDGVHFRIDSSOLHGVWDWRUDQJXODUIUHTXHQF\ GXHWRLQWHJUDWRUGULIW>@ >@ 3UREOHP   LV VROYHG LQ WKLV WKHVLV E\ GHYHORSLQJ D FRPSHQVDWRU WR FRUUHFW IRU GULYH UHVRQDQFHDOVRWHUPHGVKXGGHUE\IHHGLQJEDFNWKHURWRUVKDIWVSHHG>@7KHFRPSHQVDWRULV DGGHG WR WKH GLJLWDO VLJQDO SURFHVVRU '63  FRQWURO VRIWZDUH DV SDUW RI WKH WRUTXH FRPPDQG JHQHUDWLQJ IXQFWLRQ  0DQ\ RI WKH SUDFWLFDO LPSOHPHQWDWLRQ LVVXHV DUH FRQVLGHUHG VXFK DV WKH W\SH RI VWUXFWXUH IRU WKH GLJLWDO LPSOHPHQWDWLRQ RI WKH FRPSHQVDWRU DFFXUDWH URWRU URWDWLRQDO VSHHGPHDVXUHPHQWFRPSHQVDWRURXWSXWVDWXUDWLRQUHVHWDQGUROORIIRIWKHFRPSHQVDWRURXWSXW ZLWKLQFUHDVLQJYHKLFOHVSHHG 3UREOHP DVOLVWHGDERYHLVVROYHGLQWKLVWKHVLVE\WKHGHYHORSPHQWRID'63EDVHG VWDWRU IOX[ OLQNDJH PHDVXUHPHQW FRPSHQVDWRU WKDW FDQ LPSURYH WKH SHUIRUPDQFH RI WKH GULYH V\VWHPDWORZVSHHGVOHVVWKDQUDGVHFRIFRPPDQGHGVWDWRUHOHFWULFDOIUHTXHQF\7KHJDLQ DQG SKDVH HUURU LQ WKH PHDVXUHPHQW RI WKH VWDWRU IOX[ OLQNDJH DW ORZ VSHHGV GHJUDGHV WKH SHUIRUPDQFHRIWKHWRUTXHUHJXODWRUZKLFKLVXVHGDVSDUWRIWKHILHOGRULHQWHGFRQWUROOHUGXHWR DQ LQFRUUHFW FRPSXWDWLRQ RI WKH IHHGEDFN HOHFWURPDJQHWLF WRUTXH  )LUVW WKH HIIHFWV WKDW WKH LQDFFXUDWHPHDVXUHPHQWRIHOHFWURPDJQHWLFWRUTXHKDVRQWKHGULYHV\VWHPDUHH[DPLQHG7KHQ D'63EDVHGFRPSHQVDWRULVGHYHORSHGWRFRUUHFWIRUWKHLQDFFXUDFLHVLQWKHPHDVXUHPHQWRIWKH



HOHFWURPDJQHWLFWRUTXHLQVWHDG\VWDWHZKLFKZLOOEHVKRZQWRLPSURYHWKHSHUIRUPDQFHRIWKH WRUTXHUHJXODWRUDWORZVWDWRUDQJXODUIUHTXHQFLHV 7RVXPPDUL]HVLPXODWLRQH[SHULPHQWDWLRQDQGDQDO\VLVZLOOEHXVHGWRPHHWDOORIWKH JRDOVRIWKLVWKHVLV x 6WXG\RIPRGXODWLRQDOJRULWKPVIRULQGXFWLRQPRWRUFRQWUROLQDQ(9&KDSWHU x 6LPXODWLQJGULYLQJF\FOHVRQDG\QDPRPHWHU&KDSWHU x 6LPXODWLRQRILQGXFWLRQPRWRUSKDVHFXUUHQWV&KDSWHU x &RPSDULVRQRIPRGXODWLRQDOJRULWKPV&KDSWHU x &RQWUROGHVLJQRIDVKXGGHUFRPSHQVDWRU&KDSWHU x &RQWUROGHVLJQRIDVWDWRUIOX[IHHGEDFNFRPSHQVDWRU&KDSWHU

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



)LJ*(,QGXFWLRQ0RWRU3KRWR&RXUWHV\RI937,QF

7KHURWRURIWKH,0VKRZQLQ)LJULGHVRQSUHFLVLRQEDOOEHDULQJVZKLFKDOORZVIRUDYHU\ VPDOO DLUJDS  PLO  EHWZHHQ WKH VWDWRU DQG URWRU  7KH VTXLUUHO FDJH URWRU LV FDVW LURQ ZLWK 1(0$ W\SH ' VORWV IRU KLJK WRUTXH SURGXFWLRQ  6SHFLDO IOX[ FRLO ZLQGLQJV DUH ZRXQG RQ WKH VWDWRUIRUPHDVXUHPHQWRIWKHGDQGTD[LVVWDWRUIOX[OLQNDJHVZKHUHWKH¦G§FRLOD[LVLVFROLQHDU ZLWKWKH¦D§SKDVHEHOWD[LV7KHIOX[FRLOVSURGXFHDOLQHDUO\LQFUHDVLQJYROWDJHXSWRWKHEDVH VSHHGRIWKHLQGXFWLRQPRWRU%H\RQGWKHEDVHVSHHGWKHIOX[LVUHGXFHGLQYHUVHO\ZLWKVSHHG SURGXFLQJDFRQVWDQW VWDWRU YROWDJH DQG KHQFH IOX[ FRLO YROWDJH VLQFH WKH IOX[ FRLOV UHIOHFW WKH VWDWRUYROWDJH(TXDWLRQ VKRZVWKDWWKHVWDWRUIOX[OLQNDJHLVIRXQG DVWKHLQWHJUDORIWKH PHDVXUHGFRLOYROWDJHWLPHVDVFDOLQJFRQVWDQW )OX[&RLO 9ROWV



URWRUUSP VSHHG



)LJ$PSOLWXGHRIIOX[FRLOYROWDJHYVURWRUVSHHG



OV .˜³9FRLOGW  7KHIOX[PHDVXUHPHQWZLQGLQJVDUHFRQFHQWULFDQGGLVWULEXWHGRQWKHVWDWRUZLWKDHOHFWULFDO GHJUHHVVHSDUDWLRQDQJOH 7KH*(LQGXFWLRQPRWRUSDUDPHWHUVDUHNQRZQIURPPHDVXUHPHQWDQGDUHVXPPDUL]HGLQ 7DEOH 7DEOH0HDVXUHG*(,QGXFWLRQ0RWRU3DUDPHWHUV#q& 5V6WDWRU5HVLVWDQFH

:

5U5RWRU5HVLVWDQFH

:

5F&RUH/RVVUHVLVWDQFH

:

/OV6WDWRU/HDNDJH,QGXFWDQFH

P+

/OU5RWRU/HDNDJH,QGXFWDQFH

P+

/K0DLQ,QGXFWDQFH

P+

7RLQWHUIDFHWKHYHKLFOHGFEDWWHULHVDQGWKHLQGXFWLRQPRWRUDQLQYHUWHUSRZHUVWDJHDQG LWVDVVRFLDWHGFRQWUROVHUYHVDVDQLQWHUIDFH7KHLQYHUWHULVD'&WR $& SRZHU FRQYHUWHU WKDW GHOLYHUV DF SKDVH FXUUHQWV WR WKH LQGXFWLRQ PRWRU IURP WKH HOHFWULF YHKLFOH©V EDWWHULHV  7KH LQYHUWHUSRZHUVWDJHXVHV$9,*%7VDVWKHVZLWFKLQJGHYLFHV$VVKRZQLQ)LJWKH DUUDQJHPHQWRIWKH,*%7VLVIRUWKHVWDQGDUGOHYHOYROWDJHVRXUFHLQYHUWHU96, ZKHUHRQHRI WKH WKUHH EDVLF SRZHU HOHFWURQLF EXLOGLQJ EORFNV LV VKRZQ KLJKOLJKWHG  7KH WRSRORJ\ DOORZV PRWRULQJDQGUHJHQHUDWLYHSRZHUIORZ$X)HOHFWURO\WLFFDSDFLWRUSURGXFHVDVWLIIGFOLQN LQSXWYROWDJHIURPWKHGFEDWWHULHVRIWKH(9



 9



P)

I ,0

9GF

)LJ'&$&,QGXFWLRQ0RWRU96,XVHG

7KHDQDORJVFDOLQJ FLUFXLWU\DQGGLJLWDOFRQWUROSURFHVVRUVUHTXLUHGIRUWKHRSHUDWLRQRI WKHLQYHUWHUDUHFRQWDLQHGRQDFLUFXLWERDUGPRXQWHGRQWRSRIWKHSRZHUVWDJHDVVKRZQLQ)LJ 

)LJ,QYHUWHUSRZHUVWDJHDQGFRQWUROOHUERDUGV3KRWRFRXUWHV\RI937,QF

)LJXUH  VKRZV WKH LQYHUWHU FLUFXLW ERDUG EORFN GLDJUDP  7KH EDVLF LQYHUWHU VKRZQ FRQWDLQVHQRXJKJDWHGULYHUVIRUWKHVWDQGDUGKDUGVZLWFKHGLQYHUWHUEXWDGGLWLRQDOJDWHGULYHUV QHHGHG IRU VRIWVZLWFKLQJ FRPSRQHQWV FDQ DOVR EH LPSOHPHQWHG  $V VKRZQ LQ )LJ  WKH +& >@ PLFURSURFHVVRU FRQWDLQHG RQ WKH LQYHUWHU FRQWURO ERDUG FRPPXQLFDWHV ZLWK WKH '63XVLQJDIXOOGXSOH[KLJKVSHHGV\QFKURQRXVVHULDOFRPPXQLFDWLRQOLQN63, 7KH+& 

LV XVHG WR SURFHVV VWDWXV LQIRUPDWLRQ FRQFHUQLQJ RSHUDWLRQ RI WKH GULYH DQG WKH +& DOVR LPSOHPHQWVDSULPLWLYHSHHNSRNHV\VWHPWKDWLVXVHGWRGLVSOD\DQGPRGLI\'63GDWDPHPRU\ YDULDEOHV DV FRPPDQGHG UHPRWHO\ RYHU WKH 56 VHULDO GDWD OLQN  7KH +& UHFHLYHV GLVFUHWH LQSXWV IURP WKH YHKLFOH RSHUDWRU LQFOXGLQJ WKH VHWWLQJ RI WKH 351'/ SDUN UHYHUVH QXHWUDO GULYH VHOHFWLRQ  DQG WKH NH\VWDUW SRVLWLRQ DQG WKH +& FRPPXQLFDWHV WKLV LQIRUPDWLRQWRWKH'63$GGLWLRQDOO\WKHGULYHULQGLFDWRUVZKLFKLQFOXGHWKHVSHHGRPHWHUIDXOW OLJKWVDQGDODUPOLJKWVDUHFRQWUROOHGE\WKH+& 7KHSULPDU\IXQFWLRQRIWKH'63LVWRSURFHVVWKHUHDOWLPHFRQWURODOJRULWKPVUHTXLUHG E\WKHILHOGRULHQWHGFRQWUROOHUDQGWKH3:0URXWLQHVDVZHOODVWKHDGGLWLRQDOURXWLQHVDGGHGDV DSDUWRIWKLVWKHVLV7KH'63LVDVSHFLDOSXUSRVHPRWRUFRQWUROFKLSPDQXIDFWXUHGE\$QDORJ 'HYLFHVFDOOHGWKH$'0&>@

6HULDO/LQN

'LVFUHWH,2

7HPS 6FDOLQJ

56 ,QWHUIDFH

9HKLFOH,QWHUIDFH $'0& '63&RQWUROOHU

+&

6HULDO/LQN

$' &RQWURO3RZHU 6XSSO\

3KDVH$ *DWH &RQWURO

8

/

3KDVH% *DWH &RQWURO

8

3KDVH& *DWH &RQWURO

8

/

+HDW6LQN7HPS 0RWRU7HPS

7DFK ,QWHUIDFH

ZU

)OX[ 6FDOLQJ

OVG OVT

&XUUHQW 6FDOLQJ

,D ,F

9ROWDJH 6FDOLQJ

/

9GF

)LJ,QYHUWHUFRQWUROERDUG

)RUFRQWUROSXUSRVHV WKH SKDVH FXUUHQWV DUH PHDVXUHG XVLQJ +DOOHIIHFW FXUUHQW VHQVRUV ZLWKDFRQYHUVLRQUDWLR7KHSKDVHDDQGFFXUUHQWVDUHGLUHFWO\PHDVXUHGDQGWKHSKDVH EFXUUHQWLVIRXQGDVWKHQHJDWLYHRIWKHSKDVHDSOXVSKDVHFFXUUHQWVDVVKRZQLQ)LJ



,DPHDV

,D  ,E 

,FPHDV

,F

)LJ7HFKQLTXHXVHGIRUPHDVXUHPHQWRIWKHSKDVHFXUUHQWV

$OVRVHQVHGIRULQGLUHFWWRUTXHFRQWUROPRGHLVWKHURWDWLRQDOVSHHGRIWKHURWRUZUZKLFK LV GRQH E\ DQ DWWDFKHG LQFUHPHQWDO HQFRGHU DV H[SODLQHG LQ VHFWLRQ   )LJXUH  VXPPDUL]HV WKH VLJQDOV PHDVXUHG IURP WKH LQGXFWLRQ PRWRU WKDW DUH XVHG IRU ILHOG RULHQWHG FRQWURO

,D ,F

GD

OVG

)LHOG2ULHQWHG&RQWUROOHU

OVT



ZU

3:0

9GF

)LJ)LHOGRULHQWHGFRQWUROOHULQSXWVDQG3:0RXWSXWV



GE

GF

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

7H

 , «  VT V





O V

.



VWU

V WUO

 ,VT



,VT

 7H

,VG





.V.  





VWUO

V

ZVOLS

R R

WUHJXODWRU

 V

T

T

VOLS

V

 

7PHDV

ZU

 V

T

U

)LJ)LHOGRULHQWHGFRQWUROOHULQWKHVWDWRUIOX[UHIHUHQFHIUDPH/LPLWHUVQRWVKRZQ 

7KH ILHOG RULHQWHG FRQWUROOHU SROH ORFDWLRQV ]HUR ORFDWLRQV DQG FRQVWDQWV DUH GHWHUPLQHG DV VKRZQLQ  IRUWKHVWDWRUIOX[UHIHUHQFHIUDPH>@>@

´U

5U  ´ UO /U

³



5U  . ³ /U

 ³ /V

/K ¦WRWDOOHDNDJHIDFWRU§ /V /U

 ZKHUH /V /K/OV /U /K/OU 1RWH$OOV\PEROVKDYHEHHQGHILQHGLQWKH/LVWRI6\PEROV

7KHILHOGRULHQWHGFRQWUROOHUFDQEHVLPXODWHGLQVRIWZDUHDVLWVGLVFUHWHWLPHHTXLYDOHQW )LJXUHVKRZVWKHILHOGRULHQWHGFRQWUROOHURXWSXWVIRUDVWHSLQSXWRIWKHPD[LPXPWRUTXH



FRPPDQG RI  1P DQG WKH UDWHG IOX[ OLQNDJH FRPPDQG RI  :E  $V VKRZQ LQ WKH )LJXUHIRUWKHPD[LPXPWRUTXHFRPPDQGWKHPD[LPXPVOLSVSHHGLVDERXWUDGVHFLQVWHDG\ VWDWH$OVRWKHVWHDG\VWDWHGFXUUHQWFRPPDQGLVDERXW$DQGWKHVWHDG\VWDWHT FXUUHQW FRPPDQG LV DERXW  $  7KHVH FXUUHQW FRPPDQGV JLYH D SRZHU IDFWRU RI  DV VKRZQ LQ  ZKLFKLVWKHH[SHFWHGYDOXHIURPWKHPRWRUVSHFLILFDWLRQV

FRV   WDQ 

SI

, VT , VG





Torque Command

Q-Current Command

300 200

600

100

500 Amps

N-m

700

0

400 300

-100 200 -200 -300 0

100 50

100 150 n samples

200

0

250

0

50

D-Current Command

100 150 n samples

200

250

200

250

Slip Speed 100

700 600

50 rad/sec

Amps

500 400 300 200

0

-50

100 0

0

50

100 150 n samples

200

-100

250

0

50

100 150 n samples

)LJ([DPSOHZDYHIRUPVRIWKHILHOGRULHQWHGFRQWUROOHUZLWKPD[LPXPWRUTXHFRPPDQG

7KH ILHOG RULHQWHG FRQWUROOHU VKRXOG VKRZ GHFRXSOLQJ EHWZHHQ WKH GD[LV DQG TD[LV FXUUHQW FRPPDQGV IRU D FRQVWDQW VWDWRU IOX[ OLQNDJH FRPPDQG LQSXW DQG D YDU\LQJ WRUTXH FRPPDQG )LJXUH  VKRZV WKDW WKH G FKDQQHO FXUUHQW KDV YHU\ OLWWOH SHUWXUEDWLRQ IRU D r 1P RVFLOODWLRQRIWKHWRUTXHFRPPDQGDQGDFRQVWDQWVWDWRUIOX[UHIHUHQFH



Torque Command

Q-Current Command

300

500

200

Amps

N-m

100 0

0

-100 -200 -300

0

50

100 150 n samples

200

-500

250

0

50

D-Current Command

250

200

250

100

400

50

300

rad/sec

Amps

200

Slip Speed

500

200

0

-50

100 0

100 150 n samples

0

50

100 150 n samples

200

-100

250

0

50

100 150 n samples

)LJ([DPSOHZDYHIRUPVRIWKHILHOGRULHQWHGFRQWUROOHUZLWKDVLQXVRLGDOWRUTXHFRPPDQG

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



5V



, VG

 

3,5HJXODWRU

, VG



GG

(|Z HOV

, VT , VT









GT 

3,5HJXODWRU 5V

)LJGTFXUUHQWUHJXODWRUVLQWKHV\QFKURQRXVUHIHUHQFHIUDPH

7KH RXWSXWV RI WKH FXUUHQW UHJXODWRUV IRUP WKH LQSXWV WR WKH VSDFH YHFWRU PRGXODWRU VKRZQ LQ )LJ   7KH RXWSXWV RI WKH FXUUHQW UHJXODWRUV WKH GG DQG GT GXW\ F\FOHV DUH JLYHQ LQ WKH URWDWLQJUHIHUHQFHIUDPH7KHGGDQGGTGXW\F\FOHVDUHUHWXUQHGWRWKHVWDWLRQDU\UHIHUHQFHIUDPH E\XVLQJDURWDWLQJWRVWDWLRQDU\UHIHUHQFHIUDPHWUDQVIRUPDWLRQDVVKRZQLQ 7KHRXWSXWV RI WKH UHIHUHQFH IUDPH WUDQVIRUPDWLRQ GD DQG GE DUH XVHG DV WKH LQSXWV WR WKH VSDFH YHFWRU PRGXOH

G GD

GG

GT

G

DE GT

U

GE

G 9VHFWRU

GD 'XW\ &\FOH &RPS

=HURYHFW

TV

)LJ6SDFH9HFWRU0RGXODWLRQFRQWUROOHU



GE GF

GD

FRVTV

VLQTV

GG

GE

VLQTV

FRVTV

GT

 7KHVSDFHYHFWRUPRGXOHFRPSXWHVWKHLQYHUWHUVZLWFKLQJVWDWHVEDVHGRQWKHORFDWLRQRI WKH UHIHUHQFH YHFWRU ZLWKLQ WKH LQYHUWHU RXWSXW VSDFH >@ >@ >@  ,Q WKLV FDVH DQ RSWLPDO ]HUR YHFWRU VHOHFWLRQ URXWLQH LV XVHG WKDW DOORZV WKH SKDVH OHJ ZLWK WKH ODUJHVW LQVWDQWDQHRXV FXUUHQWWRUHPDLQXQVZLWFKHGIRUWKHPDMRULW\RIWKHORDGRSHUDWLQJSRLQWV>@>@ZKLOHVWLOO PDLQWDLQLQJVLQXVRLGDOSKDVHFXUUHQWV7KHILQDORXWSXWVDUHWKH¦RQ§GXW\F\FOHWLPHVIRUWKHWRS ,*%7RIHDFKLQYHUWHUSKDVHOHJRUGDGEDQGGF7RJHWKHUWKHGTFXUUHQWUHJXODWRUVDQGWKH VSDFH YHFWRU PRGXODWRU IRUP WKH 3:0 FRQWURO EORFN  7KH EDVLF FRQWUROOHU EHIRUH WKH DGGHG LPSURYHPHQWVRIVKXGGHUFRPSHQVDWLRQDQGIOX[IHHGEDFNFRPSHQVDWLRQLVVKRZQLQ)LJ

,VG

OV 7H 7PHDV

)LHOG2ULHQWHG &RQWUROOHU

,VT

GT &XUUHQW 5HJXODWRUV

GG GT

GD 6SDFH9HFWRU 3:0

TV

GE GF

ZU

9GF

)LJ6FKHPDWLFRIEDVLFFRQWUROVRIWZDUHIRULQGXFWLRQPRWRUGULYHFRQWURO



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



&KDSWHU'HVFULSWLRQRI(93:0 $OJRULWKPV7HVWHG

7KLVFKDSWHUGHVFULEHVWKHGLIIHUHQWPRGXODWLRQPHWKRGVWKDWZHUHWHVWHGIRUXVHLQDQ(9 LQGXFWLRQPRWRUGULYH7KHILUVWPRGXODWLRQPHWKRGGLVFXVVHGLVK\VWHUHVLVFXUUHQWFRQWURO ZKLFKZLOOIRUPWKHSHUIRUPDQFHEDVHOLQH1H[WWKHXVHRIVSDFHYHFWRUPRGXODWLRQ690 LQ DQ(9LVGLVFXVVHG

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

OV

,VG

7H

,VT

7PHDV

)LHOG2ULHQWHG &RQWUROOHU

LDV 

,V 0$5

ZVOLS  

TW   V

TV 

&XUUHQW &RPPDQG 6\QWKHVL]HU

LEV

D



+\VWHUHVLV &XUUHQW &RQWUROOHU

 

LFV

 

LDV

LEV LFV

ZU

)LJ%DVLFFRQWUROVWUXFWXUHIRULQGXFWLRQPRWRUFRQWUROXVLQJDK\VWHUHVLVFXUUHQW FRQWUROOHU



E F

7KH WKUHH VWDWRU FXUUHQW FRPPDQGV DUH V\QWKHVL]HG LQ WKH &XUUHQW &RPPDQG 6\QWKHVL]HU IURPWKHFRPPDQGHGVWDWRUFXUUHQWSKDVRUDFFRUGLQJWRWKHIRUPXODVLQ  L DV ,V VLQ¨ V °  ° ,V VLQ¨ V  

L EV ,V VLQ¨ V  L FV

 7KHDFWXDOVWDWRUSKDVHFXUUHQWVDUHVXEWUDFWHGIURPWKHFRPPDQGHGVWDWRUSKDVHFXUUHQWVWR GHWHUPLQH WKH FXUUHQW HUURU  :LWK K\VWHUHVLV FRQWURO WKH LQYHUWHU VZLWFKLQJ VWDWH GHSHQGV RQ WKHVH FRPSXWHG LQVWDQWDQHRXV FXUUHQW HUURUV  7KH FXUUHQW HUURUV IRUP WKH LQSXWV LQWR WKUHH FRPSDUDWRUV ZLWK K\VWHUHVLV  (DFK RI WKH WKUHH LQGLYLGXDO FRPSDUDWRUV KDV DQ LQSXW WR RXWSXW FKDUDFWHULVWLFGHVFULEHGE\)LJ

S

'L

'L

LHUURU

Q

)LJ,OOXVWUDWLRQRIK\VWHUHVLVEDQGVHWWLQJIRUWKHFXUUHQWFRPSDUDWRUV1RWH'LGHSHQGVRQ WKHFRPPDQGHGWRUTXH 

7KH(9LQYHUWHUXVHVDIL[HGEDQGW\SHFRQWUROOHUZKLFKLVWKHVLPSOHVWWRLPSOHPHQW EXW GRHV QRW QHFHVVDULO\ KDYH WKH EHVW VSHFWUDO FKDUDFWHULVWLFV >@  +RZHYHU WKH IL[HGEDQG



FRQWUROOHU XVHG LQ WKH (9 YDULHV WKH FXUUHQW EDQGZLGWK GHSHQGLQJ RQ WKH FRPPDQGHG WRUTXH  7KH FXUUHQW EDQGZLGWK r'L LV DOZD\V JUHDWHU WKDQ r $ EXW FDQQRW H[FHHG r $ >@  7KH FXUUHQW EDQGZLGWK LV DGMXVWHG DV VKRZQ LQ )LJ  WR KHOS UHGXFH WKH VZLWFKLQJ IUHTXHQF\DWKLJKHUFXUUHQWV

'L$PSV 





7H

)LJ3ORWRIWKH'LYVWRUTXHFRPPDQGIRUWKH(9

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



7KHHLJKWSRVVLEOHVZLWFKLQJVWDWHVDUHGHWHUPLQHGIURPWKHGLIIHUHQWSRVVLEOHYDOXHVRIWKH LQGXFWLRQPRWRUOLQHWROLQHYROWDJHV,QDGGLWLRQWKHLQYHUWHURXWSXWOLQHWROLQHYROWDJHVSDFH YHFWRULVGHVLJQDWHGDV>9DE9EF9FD@77RKHOSGHWHUPLQHWKHSRVVLEOHLQYHUWHURXWSXWOLQHWROLQH YROWDJHVDVLPSOLILHGUHSUHVHQWDWLRQRIWKH96,LVVKRZQLQ)LJ(DFKSKDVHOHJRIWKH LQGXFWLRQPRWRUPXVWEHHLWKHUFRQQHFWHGWRWKHSRVLWLYHVLGHRIWKHGFOLQNRUSRUWRWKH QHJDWLYHVLGHRIWKHGFOLQNRUQ S  D

E

9GF

F

I ,0

 Q

)LJ96,LQVZLWFKLQJVWDWHSQS

7KHHTXDWLRQUHODWLQJWKHVWDWRUDEFOLQHWROLQHYROWDJHVWRWKHVWDWRUGTFRPSOH[VSDFHYHFWRULV H[SUHVVHGE\ >@ !

Y TGVOLQH  OLQH

ƒ ƒ   9DE  9EF H M  9FD H M 

 7KHSRVVLEOHVZLWFKLQJVWDWHVUHVXOWLQJOLQHWROLQHYROWDJHVDQGFRPSOH[YROWDJHVSDFHYHFWRUV DUHJLYHQLQ7DEOH



7DEOH6ZLWFKLQJVWDWHVLQDWZROHYHO96,DQGWKHFRUUHVSRQGLQJRXWSXWOLQHWROLQHYROWDJHV DQGVWDWRUGTFRPSOH[YROWDJHVSDFHYHFWRU 9DE

9EF

9FD

! TGVOLQHOLQH

QQQ









SSS









SQQ

9GF



9GF

9GFM

SSQ



9GF

9GF

M

QSQ

9GF

9GF



QSS

9GF



QQS



SQS

9GF



Y

9GF 

 Mq 9GF H 

9GF 

 Mq 9GFH 

9GFM

9GF 

 Mq 9GF H 

9GF

9GFM

9GF 

 Mq 9GFH 

9GF

9GF

M

9GF 

 Mq 9GFH 

9GF



9GF 

 Mq 9GFH 

9GFM

7KHVWDWRUOLQHWRPLGSRLQWLQGXFWLRQPRWRUGTFRPSOH[VSDFHYHFWRUVDUHUHODWHGWRWKH VWDWRUOLQHWROLQHGTFRPSOH[VSDFHYHFWRUVE\WKHH[SUHVVLRQJLYHQLQ ZKLFKUHODWHVWKH OLQHWROLQHYROWDJHVRIDWKUHHSKDVH<FRQQHFWHGORDGWRWKHOLQHWRPLGSRLQWYROWDJHV !

Y TGVOLQHPLGSW

!

Y TGVOLQHOLQH 

H  Mƒ 

7KHVSDFHYHFWRUGLDJUDPZLWKDOORIWKHDYDLODEOHLQYHUWHURXWSXWYROWDJHYHFWRUVLVVKRZQLQ )LJZKHUHWKHVL[QRQ]HURYROWDJHYHFWRUVKDYHEHHQLGHQWLILHG



9EF

YEV 9QSQ

9SSQ  U 



TG

9QSS

9SQQ

YDV



 

9FD

9DE

9QQS

9SQS

YFV

)LJ,QYHUWHURXWSXWYROWDJHYHFWRUVLQWKHDEVWDWLRQDU\IUDPH

7ZRDGGLWLRQDOVZLWFKLQJYHFWRUVZKLFKDUHQRWVKRZQLQ)LJDUHWKH]HURYHFWRUV9QQQ DQG9SSS  !

7KHUHIHUHQFHYHFWRU U VKRZQLQ)LJKDVDOHQJWKRI ˜G˜9GF˜DQGDQDQJOHRITG 7KHTXDQWLWLHVGDQGTGDUHGHILQHGLQ DQG UHVSHFWLYHO\ZKHUHGDDQGGEDUHLQSXWDV VKRZQLQ)LJ

G

G ¡  G ¢  

¨G

WDQ  

G¢ G¡



 !

U

 ‡ 9GF ‡ G ‘TG 





7KHWDQJHQWLQYHUVHXVHGIRUGHWHUPLQLQJTGLQ(TXDWLRQ PXVWEHIRXUTXDGUDQWWRKDYH FRUUHFWURWDWLRQRIWKHUHIHUHQFHYHFWRU3RVLWLYHVHTXHQFHYROWDJHH[FLWDWLRQRIWKHLQGXFWLRQ PRWRUDEFFRUUHVSRQGVWRURWDWLRQRIWKHUHIHUHQFHYHFWRULQ)LJLQWKH&&:GLUHFWLRQ 1HJDWLYHVHTXHQFHYROWDJHH[FLWDWLRQRIWKHLQGXFWLRQPRWRUFRUUHVSRQGVWRURWDWLRQRIWKH UHIHUHQFHYHFWRULQ)LJLQWKH&:GLUHFWLRQ  !

7KHFLUFOHLQVFULEHGLQWKHKH[DJRQLQ)LJLVWKHPD[LPXPPDJQLWXGHRI U IRUQRQ GLVWRUWHGSKDVHYROWDJHV7KHPD[LPXPUHIHUHQFHYHFWRUPDJQLWXGHGHILQHVWKHPD[LPXP UDGLXVRIWKHLQVFULEHGFLUFOHDQGLVJLYHQE\ IRUQRUPDOL]HGGXW\F\FOHWLPLQJV

_ U _ PD[

 ‡G ‡ 9GF  PD[

  ‡ ‡ 9GF  

9GF 

 2QFHWKHUHIHUHQFHYHFWRUULVNQRZQLWLVV\QWKHVL]HGGXULQJHDFKVZLWFKLQJSHULRGE\ ILQGLQJLWVSURMHFWLRQRQWRWKHQHDUHVWWZRDGMDFHQWVZLWFKLQJYHFWRUV8VLQJDGMDFHQWVZLWFKLQJ YHFWRUVSURGXFHVWKHOHDVWDPRXQWRIKDUPRQLFGLVWRUWLRQDQGVZLWFKLQJORVVHV>@>@,QWKH FDVHRIWKH(9GULYHV\VWHPGHYHORSHGWKHVZLWFKLQJSHULRG7VLVPVZKLFKFRUUHVSRQGVWR DQLQYHUWHUVZLWFKLQJIUHTXHQF\)VRIN+]7KHV\QWKHVLVRIULQYROWDJHVHFWRULVVKRZQLQ )LJ 9SSQ

 ˜ G ˜9 GF 

U



9SQQ

 ˜ ˜9 G GF 

)LJ6\QWKHVLVRIWKHUHIHUHQFHYHFWRULQVHFWRU 6LQFHWKHGXW\F\FOHWLPLQJLQIRUPDWLRQLVQRUPDOL]HGWRRQHWKH]HURYHFWRUPXVWEHXVHGWR DFFRXQWIRUWKHGLIIHUHQFHEHWZHHQGSOXVGDQGXQLW\DVVKRZQLQ 



G ¤G¤G  ,IWKHUHIHUHQFHYHFWRUPDJQLWXGHEHFRPHVODUJHUWKDQJLYHQLQ WKH]HURGXW\F\FOHZLOO EHJDQWREHQHJDWLYHZKHQHYHUWKHUHIHUHQFHYHFWRUOHDYHVWKHGRWWHGKH[DJRQVKRZQLQ)LJ ZKLFKLVRQHZD\WRGHWHFWWKHHQWUDQFHLQWRRYHUPRGXODWLRQ>@ ,QDGLPHQVLRQDOOLQHDUYHFWRUVSDFHDQ\VHWRIOLQHDUO\LQGHSHQGHQWYHFWRUVTXDOLILHV  !

DVDEDVLV7KHUHIRUHWKHGDQGGGXW\F\FOHVFDQEHGHWHUPLQHGIURPDFKDQJHRIEDVLVRI U IURPWKHRUWKRJRQDODEEDVLVWRWKHEDVLVGHILQHGE\WKHWZRDGMDFHQWVZLWFKLQJYHFWRUVZKLFK IRUVHFWRUDUH9DQG9DVVKRZQLQ)LJ H E 9SSQ

 ˜ G ˜9 GF 

U



9SQQ

 ˜ G˜ 9 GF 

D H

)LJ,OOXVWUDWLRQRIEDVLVYHFWRUFRRUGLQDWHV

7KHVWDQGDUGEDVLVLVJLYHQDVVKRZQLQ DQGWKHUHTXLUHGEDVLVLVJLYHQE\ 7KH EDVLVYHFWRUVKDYHEHHQQRUPDOL]HGWRXQLWOHQJWKLQWKHLUUHVSHFWLYHGLUHFWLRQV



  

> D E @

 



  



> HH @

   

 7KHLQYHUVHFKDQJHRIEDVLVPDWUL[LVGHWHUPLQHGE\H[SDQGLQJWKHQHZEDVLVYHFWRUV>HH@LQ WHUPVRIWKHVWDQGDUGEDVLVYHFWRUV>DE@ZKLFKLVVKRZQLQ 

H   DE  >DE@   H

   D  E  >DE@      

7KHUHIRUHIRUVHFWRUWKHLQYHUVHFKDQJHRIEDVLVPDWUL[LVJLYHQDVVKRZQLQ DQGWKH FKDQJHRIEDVLVPDWUL[LVJLYHQE\  



% 



   

 

%



   





*LYHQWKHFKDQJHRIEDVLVPDWUL[%WKHGDQGGGXW\F\FOHVDUHGHWHUPLQHGDVVKRZQLQ IRUVHFWRU

G G

%

GD GE

? G GD GE   ? G GD GE    $VLPLODUFKDQJHRIEDVLVSURFHGXUHFDQEHXVHGLQWKHUHPDLQLQJILYHVHFWRUV7KHFKDQJHRI EDVLVPDWULFHVIRUHDFKVHFWRUDUHVXPPDUL]HGLQ7DEOH 7DEOH&KDQJHRIEDVLVPDWUL[IRUHDFKRIWKHVL[VHFWRUV 6HFWRU

%

   

 

%



6HFWRU %





 

 

    

%

 

    

%

 

   

    

%

 

   

2QFHGGDQGGKDYHEHHQGHWHUPLQHGWKHQH[WVWHSLVWRFRPSXWHWKHGDGEDQGGF GXW\F\FOHVDVVKRZQLQ)LJ7KHQRUPDOL]HGGDGEDQGGFGXW\F\FOHVFRUUHVSRQGWRWKH WLPHWKHWRSVZLWFKRIWKHFRUUHVSRQGLQJSKDVHDERUFOHJLVWXUQHGRQGXULQJWKHVZLWFKLQJ SHULRG:KHQDSKDVHOHJLVRQWKHVWDWHLV¨S©DQGWKHWRSVZLWFKRI)LJLVFORVHGDQGWKH ERWWRPVZLWFKLVRSHQ7KHSKDVHOHJGXW\F\FOHVDUHGHWHUPLQHGEDVHGRQWKHVHFWRUWKH UHIHUHQFHYHFWRULVLQDQGWKHVZLWFKLQJVWDWHRIWKHDGMDFHQWVZLWFKLQJYHFWRUV6LQFHWKHUHDUH 

WZRSRVVLEOH]HURYHFWRUVWDWHVXVHGIRUWKHGGXW\F\FOHWLPH9QQQ RU9SSS WKHUHDUH WZRVHSDUDWHVHWVRIHTXDWLRQVIRUWKHGDGEDQGGFGXW\F\FOHVIRUHDFKVHFWRU)RUH[DPSOHDV VKRZQLQ)LJWKHGGXW\F\FOHLQVHFWRULVGHWHUPLQHGIURP9SQQ DQGWKHGGXW\ F\FOHLQVHFWRULVGHWHUPLQHGIURP9SSQ 7KHUHIRUHIRUWKHUHIHUHQFHYHFWRULQVHFWRUWKH GDGEDQGGFGXW\F\FOHVDUHJLYHQDVVKRZQLQ ZKHQWKH]HURYHFWRU9QQQ LVXVHG 7KHGDGEDQGGFGXW\F\FOHVDUHJLYHQDVVKRZQLQ ZKHQWKH]HURYHFWRU9SSS LVXVHG GD GG GE G GF  

GD  GE GG GF G 

2QFH WKH GXW\ F\FOH WLPHV GD GE DQG GF DUH GHWHUPLQHG WKH\ DUH WUDQVODWHG LQWR FHQWHU EDVHG ,*%7SKDVHJDWLQJVLJQDOVYLDWKH3:0JHQHUDWLRQXQLWWKDWLVEXLOWLQWRWKH'63>@DVVKRZQ LQ)LJIRUVHFWRUIRUWKHFDVHZKHQWKH]HURYHFWRULV9SSS 



GD±7V 7V

D

S Q GE±7V G±7VG±7V

E

F

S Q

GF±7V G±7V

S Q WVHF



7V 

7V

)LJ&HQWHUEDVHGSKDVHJDWLQJVLJQDOVLQVHFWRUDQGWKH]HURYHFWRULV9SSS 

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



_LDV__LEV__LFV_

7 

7 

7 

7 

7 

7

WVHF 

)LJ$EVROXWHYDOXHRIWKHLQGXFWLRQPRWRUSKDVHFXUUHQWVLQGLFDWLQJWKHVHFWLRQLQJLQWRVL[ VHFWRUVRIWKHPD[LPXPFXUUHQWLQRQHIXQGDPHQWDOSHULRG 7KHRQHVL[WKRIDSHULRGLQWHUYDOVGHILQHVL[FXUUHQWVHFWRUVURWDWHGDZD\IURPWKHYROWDJH UHIHUHQFHD[LVE\WKHSRZHUIDFWRUDQJOHD7KLVURWDWLRQRIWKHFXUUHQWUHIHUHQFHD[LVLVVKRZQ LQ)LJIRUIRUZDUGPRWRULQJZKLFKKDVDQDEFSRVLWLYHSKDVHVHTXHQFH7KHFXUUHQWVHFWRUV IRUWKHFDVHVKRZQLQ)LJDUHJLYHQ)LJZKHUHWKHFXUUHQWVHFWRUVWKDWLGHQWLI\WKH PD[LPXPSKDVHFXUUHQWDUHDVKDYHEHHQFRORUFRGHG YEV L EV

L DV D

YFV

YDV

LFV

)LJ,OOXVWUDWLRQRIFXUUHQWUHIHUHQFHD[LVSKDVHURWDWLRQIRUIRUZDUGPRWRULQJ7KH FXUUHQWVHFWRUVIRUWKHFDVHVKRZQLQ)LJDUHJLYHQLQ)LJ



YEV

E

LEV D





U 

D

 

LDV YDV

:KHQULVLQ



LDVLVWKHODUJHVW LEVLVWKHODUJHVW LFVLVWKHODUJHVW

YFV

LFV

)LJ&XUUHQWVHFWRUVIRUIRUZDUGPRWRULQJ7KHFXUUHQWVHFWRUVKDYHEHHQSDWWHUQFRGHG DQGQXPEHUHG¤ $VDQH[DPSOHZKHQWKHUHIHUHQFHYHFWRULVLQVHFWRUIRUIRUZDUGPRWRULQJWKHODUJHVW FXUUHQWLVHLWKHULDVRULFVDVORQJDVDGRHVQRWH[FHHGq6RZKHQLDVLVWKHODUJHVWFXUUHQWWKH ]HURYHFWRU9SSS LVFKRVHQEHFDXVHWKHVWDWHRIWKHVZLWFKHVIRUSKDVHDDUHERWKSIRU 9SQQ DQG9SSQ 7KHUHIRUHWKHSKDVHDFXUUHQWLVQRWVZLWFKHGZKHQLDVLVWKHODUJHVW FXUUHQW:KHQLFVLVWKHODUJHVWFXUUHQWLQVHFWRUWKH]HURYHFWRU9QQQ LVFKRVHQEHFDXVHWKH VWDWHRIWKHVZLWFKHVIRUSKDVHFDUHERWKQIRU9SQQ DQG9SSQ 7KHUHIRUHWKHSKDVHF FXUUHQWLVQRWVZLWFKHGZKHQLFVLVWKHODUJHVWFXUUHQW,IDLVJUHDWHUWKDQqLEVFDQEHWKH ODUJHVWFXUUHQWLQVHFWRUDQGVRWKHODUJHURIHLWKHULDVRULFVLVXVHGWRGHWHUPLQHZKLFK]HUR YHFWRULVXVHG7KH]HURYHFWRUVHOHFWLRQORJLFIRUVHFWRUFDQEHUHSUHVHQWHGE\)LJ



_LDV_!_LFV_

1

]HURYHFWRU 9QQQ

< ]HURYHFWRU 9SSS

)LJ=HURYHFWRUVHOHFWLRQORJLFIRUVHFWRU

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q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



GE Induction Motor PF Mesh

1 0.95 0.9 0.85 0.8 0

100 50

5000 10000

0

Rotor Torque [N-m]

Rotor Speed [rpm]

)LJ*(LQGXFWLRQPRWRUIXQGDPHQWDOSRZHUIDFWRUFKDUDFWHULVWLF

)LJ0HDVXUHGSKDVHDFXUUHQWDQGSKDVHYROWDJHZLWKRSWLPDO]HURYHFWRUVHOHFWLRQ690



° ¹ H

W FRQG

 #PVIRUWKHZDYHIRUPLQ)LJ

,IRSWLPDO]HURYHFWRUVHOHFWLRQ690LVXVHGGRZQWR]HURURWRUVSHHGWKHQWKH,*%7PDLQ VZLWFKPXVWEHDEOHWRKDQGOHWKHPD[LPXPSKDVHFXUUHQWIRUDERXWPVDVFRPSXWHGE\   7KH690LQWURGXFHGLQWKLVVHFWLRQLVLPSOHPHQWHGLQ&KDSWHULQVRIWZDUHVLPXODWLRQV DQGLQ&KDSWHU690LVWHVWHGLQWKHDFWXDOGULYHV\VWHPZKLFKZDVLQWURGXFHGLQ&KDSWHU



&KDSWHU'HYHORSPHQWRI'ULYH3URILOH 7HVWLQJ6RIWZDUHIRU(9'ULYHV

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

'HYHORSPHQWRID3URJUDPIRU*HQHUDWLRQRI'\QR%HQFK7RUTXHDQG 6SHHG&RPPDQGV 7KLVVHFWLRQGLVFXVVHVWKH4EDVLF'ULYH3URILOH*HQHUDWLRQ3URJUDPWKDWLVXVHGWRFUHDWH FRPPDQGVIRUWKHG\QDPRPHWHUEHQFKWRUTXHDQGORDGLQGXFWLRQPRWRUV7KHG\QDPRPHWHUWHVW EHQFKZKRVHGLDJUDPLVVKRZQLQ)LJLVSURJUDPPHGWRPRGHOWKHRSHUDWLRQRIDYHKLFOH RQDGULYLQJSURILOH

6KDIW7RUTXH 5HIHUHQFH0RWRU 0RWRU8QGHU7HVW

6KDIW6SHHG 5HIHUHQFH0RWRU /RDG0RWRU 6KDIW

W URWRU

USP VKDIW

)LJ&3(6ODEHOHFWULFPRWRUG\QDPRPHWHU

0RGHOLQJ9HKLFOH'\QDPLFVRQWKH'\QDPRPHWHU 7KHSXUSRVHRIWKH4EDVLF'ULYH3URILOH*HQHUDWLRQ3URJUDPLVWRGHWHUPLQHWKHUHTXLUHG G\QDPRPHWHUVKDIWVSHHGDQGWRUTXHWKDWZRXOGRFFXULIWKH(9GULYHZDVRSHUDWHGLQDQDFWXDO YHKLFOH>@$PRGHORIYHKLFOHG\QDPLFVLVXVHGWRGHWHUPLQHWKHFRUUHFWVKDIWVSHHGDQG WRUTXH7KHPRGHOLQSXWVDUHVWDQGDUGGULYHSURILOHVSHHGYVWLPHGDWDSRLQWVWKDWKDYHEHHQ VDPSOHGDW+]7KHVHSURILOHVDUHJHQHUDOO\SORWWHGDVNPKYVWLPHDQGDUHGLVWULEXWHGWR DXWRPRELOHPDQXIDFWXUHUVWRFRPSDUHWKHIXHOHIILFLHQF\RIWKHLUQHZYHKLFOHGHVLJQV



7KHGULYHSURILOHVPRGHOHGLQWKLVWKHVLVDUHWKH)HGHUDO8UEDQ'ULYLQJ6FKHGXOH)8'6 DQGWKH+LJKZD\)XHO(FRQRP\7HVW+:)(7 >@7KH)8'6SURILOHLVFRQVLGHUHGWR UHSUHVHQWFLW\W\SHRIGULYLQJDQGWKH+:)(7SURILOHLVFRQVLGHUHGWRUHSUHVHQWKLJKZD\W\SHRI GULYLQJ7KHSORWVRIWKHVHSURILOHVDUHVKRZQLQ)LJ7KHSDUWLFXODU)8'6DQG+:)(7 SURILOHVWKDWDUHXVHGZHUHREWDLQHGIURPDFRPPHUFLDOO\DYDLODEOHVRIWZDUHSDFNDJHXVHGIRU VLPXODWLRQRIWKHRSHUDWLRQRI(9DQG+(9YHKLFOHV>@



YHORFLW\NPK

     









WLPHV









9HORFLW\NPK

     









 WLPHV









)LJ3ORWRI)8'6WRS DQG+:)(7ERWWRP GULYLQJSURILOHV

*LYHQWKHSDUWLFXODU)8'6DQG+:)(7VSHHGYVWLPHSURILOHVVDPSOHGDW+]D GLVFUHWHWLPHDOJRULWKPZDVGHYLVHGWKDWFRPSXWHVFRPPDQGHGVKDIWWRUTXHDQGVSHHG FRPPDQGVEDVHGRQDVLPSOLILHGGLIIHUHQWLDOHTXDWLRQUHSUHVHQWDWLRQRIWKHYHKLFOHG\QDPLFV 7KHDOJRULWKPXVHGLVVKRZQLQEORFNGLDJUDPIRUPLQ)LJ



Y W NPKU

+]

'LVFUHWH7LPH $OJRULWKP%DVHG RQ9HKLFOH '\QDPLFV

>Q@1P W URWRU USP VKDIW >Q@

)LJ%ORFN'LDJUDPRIWKH*HQHUDWLRQRI6KDIW6SHHGDQG7RUTXH&RPPDQGV

7KHGLIIHUHQWLDOHTXDWLRQXVHGWRUHSUHVHQWYHKLFOHG\QDPLFVLVJLYHQLQ 

W URWRU

 U GY & & ˜ >P  PJ& 5  5 Y  $ Y @ *5 GW Y UHI Y UHI



:KHUH & $

 & ' $± DLU Y UHI   PJ

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



7KHVSHHGGHSHQGHQWIRUFHDQGWKHDHURG\QDPLFGUDJIRUFHDUHERWKGHSHQGHQWRQWKH VL]HRIWKHFRPPDQGHGYHKLFOHYHORFLW\UHODWLYHWRWKHYHKLFOHUHIHUHQFHYHORFLW\DVVKRZQE\ WKH&5DQG&$IRUFHWHUPV7KHGLVFUHWHYHUVLRQRI LVVKRZQLQ ZKHUHDGLIIHUHQFH DSSUR[LPDWLRQLVPDGHIRUWKHHYDOXDWLRQRIWKHGHULYDWLYHWHUP

W URWRU > Q@

U & & ˜ >PY >Q@ Y >Q  @  PJ& 5  5 Y >Q@ $ Y >Q@ @ *5 Y UHI Y UHI 

)RU WREHDYDOLGDSSUR[LPDWLRQRIWKHGHULYDWLYHDOLDVLQJRIWKHIUHTXHQFLHVLQWKH VDPSOHGYHKLFOHYHORFLW\FRPPDQGPXVWEHDYRLGHG7KHUHIRUHWKHPD[LPXPIUHTXHQF\ FRPSRQHQWRIWKH)8'6DQG+:)(7SURILOHVPXVWEHOHVVWKDQ+]VLQFHWKHVDPSOLQJ IUHTXHQF\LV+])LJXUHVKRZVWKDWWKHVSHFWUDOFRPSRQHQWVRIWKH)8'6DQG+:)(7 SURILOHVDUHPRVWO\OHVVWKDQ+]$OVRVKRZQLQ)LJLVWKDWWKH+:)(7SURILOHKDVWKH ODUJHVWDYHUDJHVSHHGZKLOHWKH)8'6SURILOHKDVPRUHKLJKIUHTXHQF\FRPSRQHQWV

Spectral Content for HWFET 50

40

40

30

30

20

20 Mag dB

Mag dB

Spectral Content for FUDS 50

10

10

0

0

-10

-10

-20 -4 10

-3

10

-2

10 f Hz

-20 -4 10

-1

10

-3

10

-2

10 f Hz

-1

10

)LJ6SHFWUDOFRQWHQWRIWKH)8'6DQG+:)(7SURILOHV

7KHFRPPDQGHGYDOXHRIWKHVKDIWUSPZKLFKLVWKHVSHHGRIWKHVKDIWFRQQHFWLQJWKH WZRLQGXFWLRQPRWRUVLQ)LJLVGHWHUPLQHGE\WKHUDGLXVRIWKHYHKLFOHZKHHODQGWKHJHDULQJ



UDWLRRIWKHYHKLFOHGLIIHUHQWLDO$VVXPLQJDGLIIHUHQWLDOJHDUUDWLRRI*5GLIIIRUHYHU\ FRPSOHWHUHYROXWLRQRIWKHYHKLFOHGULYHZKHHOWKHUHDUH*5GLIIUHYROXWLRQVRIWKHGULYHVKDIW FRQQHFWLQJWKHLQGXFWLRQPRWRUV7RGHWHUPLQHWKHQXPEHURIUHYROXWLRQVRIWKHGULYHVKDIWSHU UHYROXWLRQRIWKHYHKLFOHZKHHOWKHGLVWDQFHWUDYHOHGE\RQHUHYROXWLRQRIWKHYHKLFOHZKHHO QHHGVWREHGHWHUPLQHGDVVKRZQLQ)LJ

U G SU 'LVWDQFH7UDYHOHGLQ2QH:KHHO5HYROXWLRQ

)LJ,OOXVWUDWLRQRIWKHGLVWDQFHWUDYHOHGLQRQHZKHHOUHYROXWLRQXVHGLQWUDQVODWLQJYHKLFOH VSHHGWRVKDIWVSHHG %\WUDQVODWLQJZKHHOUHYROXWLRQVSHUVHFRQGWRUDGLDQVSHUVHFRQGDQGXWLOL]LQJWKHUHODWLRQVKLS VKRZQLQ)LJDIRUPXODJLYHQE\ LVGHULYHGIRUWUDQVODWLQJWKHVDPSOHGYHKLFOHVSHHG FRPPDQGLQNPKY >Q@WRWKHG\QDPRPHWHUFRPPDQGHGVKDIWVSHHGLQUSPUSP VKDIW>Q@

USP VKDI W >Q@ Y >Q@˜

 PV URWV  S UDGV  USP ˜ ˜ *5 GLI I ˜ ˜ NPK  S U PV URWV  S UDGV

 ˜ Y >Q@˜

*5 GLI I U

 (TXDWLRQV DQG IRUPWKHGLVFUHWHWLPHHTXDWLRQVWKDWDUHLPSOHPHQWHGWRPRGHOD YHKLFOHGULYLQJSURILOHRQWKHG\QDPRPHWHUWDEOH$VLPXODWLRQGLDJUDPWKDWXWLOL]HVWKHVH HTXDWLRQVLVVKRZQLQ$SSHQGL[%)LJXUH%7KHDUUDQJHPHQWVKRZQLQ)LJ%LVUHSHDWHGO\ XVHGODWHULQWKLVWKHVLVWRVLPXODWHWKHYHKLFOHG\QDPLFV



'HVFULSWLRQRIWKH4EDVLF'ULYH3URILOH*HQHUDWLRQ3URJUDP $4EDVLFSURJUDPZDVZULWWHQWRXVH(TXDWLRQV DQG ZKLFKZHUHGHYHORSHGLQ WKHSUHYLRXVVHFWLRQWRGHWHUPLQHWKHG\QDPRPHWHUWRUTXHDQGVSHHGFRPPDQGVIRUWKH)8'6 DQG+:)(7SURILOHV7KHFRPSOHWHIORZFKDUWIRUWKH4EDVLFSURJUDPLVVKRZQLQ$SSHQGL[& )LJXUH&7KHSURJUDPZULWWHQLVWH[WEDVHGDQGFRQVLVWVRIWKHPDLQPHQXVKRZQEHORZ 0$,10(18 &KRRVHDQDFWLRQIURPWKHIROORZLQJOLVW  &RQILJXUHYHKLFOHFKDUDFWHULVWLFV  &KRRVHDGULYHSURILOH  2XWSXWGULYHSURILOHFRPPDQGVWRGDWDILOH  (QGVHVVLRQ

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



72548(W URWRU! 63(('USP VKDIW! 75(9(56( 718(75$/ 6)25:$5'

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

Y W NPKU

    















)LJ([DPSOHYHKLFOHYHORFLW\SURILOH



WVHF

67$5763((' 6)25:$5' 75(9(56( 63((' 72548( 63((' 72548( 63((' 72548( 63((' 72548( 63((' 72548( (1'718(75$/

'HYHORSPHQWRI'ULYH3URILOH,PSOHPHQWDWLRQ6RIWZDUH8VLQJWKH *UDSKLFDO3URJUDPPLQJ/DQJXDJH+39((

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



+39((LVDJUDSKLFDOSURJUDPPLQJODQJXDJH7KHGLIIHUHQWSURJUDPPLQJFRQGLWLRQDO VWDWHPHQWVEUDQFKLQJVWDWHPHQWVDQGORRSFRQWURODUHDOOUHSUHVHQWHGDVREMHFWVWKDWDUH FRQQHFWHGWRJHWKHUE\GDWDOLQHV$VDQH[DPSOHDW\SLFDODSSOLFDWLRQXVXDOO\UHTXLUHVSXVK EXWWRQVWKDWWKHXVHUFDQFOLFNRQZLWKWKHPRXVH7KHLPSOHPHQWDWLRQRIDSXVKEXWWRQLQ+3 9((LVVKRZQLQ)LJ

8QWLO%UHDN %XWWRQ

,I7KHQ(OVH



)LJ,PSOHPHQWDWLRQRIDSXVKEXWWRQLQ+39((

$VVKRZQLQ)LJWKHYDULRXV+39((SURJUDPPLQJHOHPHQWVDUHFRQQHFWHGE\GDWDOLQHV ZKLFKFDUU\WKHIORZRILQIRUPDWLRQEHWZHHQWKHEORFNV$Q¦8QWLO%UHDN§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

4EDVLF &RPPDQG )LOH

VWU3RV&KDUVWUFKDU



*HQHUDWH6SHHG ,QYHUWHU &RPPDQG

VWU3RV&KDUVWUFKDU



*HQHUDWH7RUTXH ,QYHUWHU &RPPDQG

6

7

)LJ'LDJUDPRIKRZ+39((LQWHUSUHWVWKH&RPPDQG'DWD)LOH

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



7 QRZ 4EDVLF &RPPDQG )LOH

3DUVHWKH &RPPDQGV 2XWSXW &RPPDQGV

&RPPDQG 1 7RUTXH 6SHHG8SGDWH" <

1

QRZ  7" <

)LJ)ORZFKDUWIRUWKHVHQGLQJRIFRPPDQGVE\WKH+39((SURJUDP

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



)LJ+39((GULYHF\FOHLPSOHPHQWDWLRQSURJUDPJUDSKLFDOLQWHUIDFHGHYHORSHG

,Q)LJWKHEXWWRQVLQWKHPLGGOHDUHFRPPDQGVWRWKH+39((SURJUDPLWVHOI FRQFHUQLQJWKHH[HFXWLRQRIWKHFXUUHQWGULYHSURILOH)RUH[DPSOHSUHVVLQJWKH¦67$57 352*5$0§EXWWRQSURPSWVWKHXVHGWRHQWHUWKHORFDWLRQRIWKH4EDVLF&RPPDQG'DWD)LOH DQGLQLWLDOL]HVWKH3&&20SRUWV¦6WDUW&\FOH§LVXVHGWREHJLQWKHGULYHF\FOHRQWKH G\QDPRPHWHU7KHEXWWRQ¦6723&<&/(§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



FRQWUROYHUVXVDQLQYHUWHUXVLQJK\VWHUHVLVFXUUHQWFRQWURORQWKH)8'6DQG+:)(7SURILOHV,Q WKHQH[W&KDSWHUPRGHOLQJRIWKHDFWXDOGULYHV\VWHPLQ9LVXDO&LVLQWURGXFHG



&KDSWHU'ULYH6\VWHP6LPXODWLRQ DQG$QDO\VLV

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

±

LVT LVG LUT LUG

5V/U ZU/K N 5U/K ZU /U/K   ZU/K N 5V/U ZU/U /K 5 /K U ' 5 V/K ZU/K/V 5U /V ZU/U /V N Z U/K/V 5 V/K Z U/U/V N 5 / U V

LVT LVG LUT LUG



/U /K   /U  /K ' /K  /V /K  /V 

YVT YVG  

 ' /V/U¤/K  N IRUVWDWLRQDU\UHIHUHQFHIUDPH  N ZH˜'IRUV\QFKURQRXVUHIHUHQFHIUDPH  7H

 3/ L L  L L  P VT UG VG UT

 ‡

¹U

3 7H  7/ % ‡ ‡ ¹U  -





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

YVT YVG 7/ ZH

,QGXFWLRQ 0RWRU &ODVV0RGHO

LVT LVG ZU 7H

)LJ5HSUHVHQWDWLRQRIWKH0RWRUFODVV

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



IURPD0RWRUREMHFW7KHWHUP,V ‘TV LVWKHFRPPDQGHGVWDWRUSKDVHFXUUHQWYHFWRUZKLFK PXVWEHFDOFXODWHGE\WKHILHOGRULHQWHGFRQWUROOHUDVVKRZQLQ)LJLQ&KDSWHU7KH FRPSOHWHK\VWHUHVLVFXUUHQWFRQWUROOHUPRGHOFDQEHUHSUHVHQWHGDVVKRZQLQ)LJ

L V T V LVT LVG

+\VWHUHVLV &XUUHQW &RQWUROOHU &ODVV0RGHO

YVT YVG

9GF )LJ5HSUHVHQWDWLRQRIWKH0RG+\VWFODVV

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



GG GT TV LVT LVG

6SDFH9HFWRU 0RGXODWLRQ &RQWUROOHU &ODVV0RGHO

YVT YVG

9GF )LJ5HSUHVHQWDWLRQRIWKH0RG690FODVV

7RFUHDWHWKHGGDQGGTGXW\F\FOHVLQSXWLQWRD0RG690REMHFWDGTFXUUHQWUHJXODWRULV FUHDWHGE\LQYRNLQJDQREMHFWRIW\SH&XU5HJ7KHFXUUHQWUHJXODWRUVDUHRIWKH3,W\SHDQG LPSOHPHQWHGLQGLVFUHWHWLPHLQWKHV\QFKURQRXVUHIHUHQFHIUDPH>@$SXEOLFPHPEHU IXQFWLRQLVXVHGDVWKHLQWHUIDFHWRWKH&XU5HJFODVV7KH&XU5HJFODVVKHDGHUDQGGHILQLWLRQ ILOHVDUHVKRZQLQ$SSHQGLFHV-DQG.UHVSHFWLYHO\$VVKRZQLQ$SSHQGLFHV-DQG.WKH LQWHUIDFHIXQFWLRQLQSXWVWRD&XU5HJREMHFWDUH,VT ,VG LVTLVGDQGZH DQGWKH&XU5HJRXWSXWV DUHGTDQGGGZKLFKFDQEHLQSXWWRD0RG690REMHFW7KHLQSXWVLVTDQGLVGDUHDYDLODEOHIURP D0RWRUREMHFWDQGZH LVWKHFRPPDQGHGVWDWRUDQJXODUIUHTXHQF\ZKLFKLVDYDLODEOHIURPWKH ILHOGRULHQWHGFRQWUROOHU)LJXUHVKRZVWKHUHSUHVHQWDWLRQRIDGTFXUUHQWUHJXODWRUREMHFW

,VG ,VT ZH LVT LVG

GT &XUUHQW 5HJXODWRUV

)LJ5HSUHVHQWDWLRQRIWKH&XU5HJFODVV



GG GT

7KHGULYHV\VWHPPRGHOVGHYHORSHGLQWKLVVHFWLRQXVLQJ9LVXDO&KDYHPDQ\SRVVLEOH XVHVLQLQGXFWLRQPRWRUGULYHV\VWHPGHVLJQ7KHQH[WVHFWLRQZLOOGHPRQVWUDWHVRPHRIWKHXVHV RIWKHPRGHOVGHYHORSHG

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

,0

7/

6WDWLRQDU\ )UDPH

‡0+] ‡

Y VG Y VT

6SDFH9HFWRU 3:0

0+]



9GF



ZU 

ZU

‡



GG 6SHHG 5HJ

7H

‡

N+]

OV

‡

)LHOG 2ULHQWHG &RQWUROOHU

,VG

‡

N+]

,VT

‡

N+]

N+]

GT

GT &XUUHQW 5HJXODWRUV

OV

)LJ6LPXODWLRQDUUDQJHPHQWIRUVWDWRUIOX[OLQNDJHVHOHFWLRQ

)LJXUHVKRZVWKHVLPXODWHGSKDVHYROWDJHVDQGFXUUHQWVDWDURWRUVSHHGRIUSP DQG1PURWRUWRUTXHIRU690DWN+]DQGLQDGGLWLRQWKHVLPXODWHGSKDVHYROWDJHVDQG FXUUHQWVIRUWKHK\VWHUHVLVFXUUHQWFRQWUROLQWURGXFHGLQ&KDSWHUDUHVKRZQLQWKHVDPHSORWV )LJXUH  VKRZV WKH FRUUHVSRQGLQJ H[SHULPHQWDO UHVXOWV PHDVXUHG RQ WKH G\QDPRPHWHU WHVW EHQFK7KHVLPXODWHGDQGH[SHULPHQWDOUHVXOWVDUHLQJHQHUDODJUHHPHQWDOWKRXJKWKHLQGXFWLRQ PRWRU PRGHO XVHG GRHV QRW LQFRUSRUDWH DQ\ LQKHUHQW QRQOLQHDULWLHV WKDW FRXOG OHDG WR PRUH DFFXUDWHUHVXOWV>@>@+RZHYHUIRUWKLVSDUWLFXODURSHUDWLQJSRLQWWKHKDUPRQLFDPSOLWXGHV DUHQHDUO\WKHVDPHDQGWKHUHLVRQO\DVOLJKWGLIIHUHQFHLQWKHORFDWLRQRIWKHKDUPRQLFVIRUWKH K\VWHUHVLV FXUUHQW FRQWURO UHVXOWV  )URP WKH UHVXOWV REWDLQHG LW LV VKRZQ WKDW WKH KDUPRQLF FRPSRQHQWV ZKHQ XVLQJ K\VWHUHVLV FRQWURO DUH EURDGO\ VSDFHG DURXQG DQ DYHUDJH VZLWFKLQJ IUHTXHQF\RIDERXWN+]aN+]IURPVLPXODWLRQ :KHQXVLQJ690FRQWUROWKHKDUPRQLF FRPSRQHQWVDUHFORVHO\VSDFHGDURXQGWKHVZLWFKLQJIUHTXHQF\XVHGZKLFKZDVN+]DQGDUH IHZHULQQXPEHU,Q&KDSWHUH[SHULPHQWDOUHVXOWVZLOOEHVKRZQWKDWLQGLFDWHWKDWWKHORZHUHG FXUUHQWKDUPRQLFVSURGXFHGE\DQLQYHUWHUZLWK690DWN+]VLJQLILFDQWO\ORZHUVWKHV\VWHP



ORVVHVDVFRPSDUHGWRDWKHVDPHLQYHUWHUZLWKK\VWHUHVLVFXUUHQWFRQWURO7KHORZHUHGV\VWHP ORVVHVZLOOEHVKRZQWROHDGWRDODUJHLQFUHDVHLQWKHGULYLQJUDQJHRIWKHYHKLFOH



Phase Voltage for SVM

Phase Voltage for Hysteresis

200

200

100

100 Volts

300

Volts

300

0

0

-100

-100

-200

-200

-300

0

0.01

0.02

0.03

0.04

-300

0.05

0

0.01

0.02

t sec

30

30

20

10

20

0

0.5

1

1.5

2

0

2.5 x 10

0

0.5

100

100 Amps

200

Amps

200

0

-100

-200

-200

0.03

0.04

-300

0.05

0

0.01

0.02

4

4

3

3

2

2

1

1

1

1.5 f Hz

0.03

0.04

0.05

Spectrum of Phase Current for Hysteresis 5

Amps

Amps

Spectrum of Phase Current for SVM 5

0.5

4

t sec

t sec

0

2.5 x 10

0

-100

0.02

2

Phase Current for Hysteresis 300

0.01

1.5 f Hz

Phase Current for SVM

0

1

4

300

0

0.05

10

f Hz

-300

0.04

Spectrum of Phase Voltage for Hysteresis 40

Volts

Volts

Spectrum of Phase Voltage for SVM 40

0

0.03 t sec

2

0

2.5 x 10

0

0.5

1

1.5 f Hz

4

2

2.5 x 10

4

)LJ6LPXODWHG,0SKDVHYROWDJHDQGFXUUHQWKDUPRQLFVDWUSPDQG1P



Phase Voltage for SVM

Phase Voltage for Hysteresis

200

200

100

100 Volts

300

Volts

300

0

0

-100

-100

-200

-200

-300

0

0.01

0.02

0.03

0.04

-300

0.05

0

0.01

0.02

30

30

20

10

20

0

0.5

1

1.5

2

0

2.5 x 10

0

0.5

200

100

100 Amps

200

0

-100

-200

-200

0.02

0.03

0.04

-300

0.05

0

0.01

0.02

t sec Spectrum of Phase Current for SVM

4

3

3

Amps

4

2

2

1

1

0.5

1

1.5 f Hz

0.03

0.04

0.05

Spectrum of Phase Current for Hysteresis 5

0

4

t sec

5

0

2.5 x 10

0

-100

0.01

2

Phase Current for Hysteresis 300

0

1.5 f Hz

Phase Current for SVM

-300

1

4

300

Amps

0.05

10

f Hz

Amps

0.04

Spectrum of Phase Voltage for Hysteresis 40

Volts

Volts

Spectrum of Phase Voltage for SVM 40

0

0.03 t sec

t sec

2

0

2.5 x 10

0

0.5

1

1.5 f Hz

4

2

2.5 x 10

4

)LJ0HDVXUHG,0SKDVHYROWDJHDQGFXUUHQWKDUPRQLFVDWUSPDQG1P



7KLV&KDSWHUKDVGHVFULEHGWKHGHYHORSPHQWRIVLPXODWLRQPRGHOVIRU,0GULYHVDQGLQ DGGLWLRQWKLV&KDSWHUKDVXWLOL]HGWKHPRGHOVGHYHORSHGWRFRPSDUHWKHVLPXODWHGDQGPHDVXUHG LQGXFWLRQPRWRUSKDVHFXUUHQWVZKLFKZHUHLQJHQHUDODJUHHPHQW7KHQH[W&KDSWHU&KDSWHU ZLOOIXUWKHUXVHWKHVLPXODWLRQPRGHOVGHYHORSHGLQWKLV&KDSWHUZKHQWKHSHUIRUPDQFHDQDO\VLV RIWKHPRGXODWLRQDOJRULWKPVLQDQ(9DUHGLVFXVVHG



&KDSWHU&RPSDULVRQRI(9'ULYH 3HUIRUPDQFHZLWK690YV+\VWHUHVLV

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



&RPSDULVRQRI'ULYH6\VWHP(IILFLHQF\0DSV 7KLVVHFWLRQFRPSDUHVWKHPHDVXUHGVWHDG\VWDWHHIILFLHQFLHVRIWKHLQYHUWHUDQGLQGXFWLRQ PRWRU ZLWK 690 FRQWURO YHUVXV WKH PHDVXUHG VWHDG\ VWDWH HIILFLHQFLHV ZLWK K\VWHUHVLV FRQWURO ZKHUH WKH 690 LQYHUWHU XVHV D  N+] VZLWFKLQJ IUHTXHQF\  7KH HIILFLHQF\ SRLQWV WHVWHG DUH ZLWKLQWKHUDQJHRIDVWDQGDUGHOHFWULFYHKLFOHLQYHUWHURQWKH)8'6RU+:)(7SURILOHV$IWHU WKHPHDVXUHGHIILFLHQF\SORWVDUHLQWURGXFHGWKHLQYHUWHUDQGLQGXFWLRQPRWRUSRZHUORVVHVDUH H[DPLQHGLQVHFWLRQDWYDULRXVVWHDG\VWDWHWRUTXHVDQGVSHHGVZKLFKZLOORIIHUH[SODQDWLRQV RIWKHH[SHULPHQWDOUHVXOWVREWDLQHGLQWKLVVHFWLRQ )LUVW WKH H[SHULPHQWDO HIILFLHQF\ PDSV RI WKH WZR GLIIHUHQW V\VWHPV DUH VKRZQ  7KH HIILFLHQFLHV DUH VKRZQ LQ )LJXUHV  DV FRQWRXUV RQ WKH URWRU WRUTXH YHUVXV VSHHG SODQH 0HDVXUHG HIILFLHQFLHV DUH VKRZQ LQ WKH )LJXUHV ZLWKLQ WKH VWDQGDUG *( LQGXFWLRQ PRWRU DQG LQYHUWHU RSHUDWLQJ UDQJHV  7KH DUHDV WKDW DUH VKDGHG LQ WKH )LJXUHV DUH EH\RQG WKH VWDQGDUG RSHUDWLQJ UHJLRQ  1RWH WKDW WKH VKDGHG SDUW JURZV DV WKH USP LQFUHDVHV EHFDXVH WKH ILHOG ZHDNHQLQJRUFRQVWDQWSRZHUUHJLRQEHJLQVDW  USP ZKLFK LV ZKHUH WKH PD[LPXP URWRU WRUTXHVWDUWVWREHUHGXFHGLQYHUVHO\ZLWKVSHHG 7KH GDWD WR PDNH )LJXUHV  ZDV PHDVXUHG E\ XVLQJ WKH G\QDPRPHWHU WHVW EHQFK WKDWZDVGHVFULEHGLQ&KDSWHU7KHHIILFLHQF\FRQWRXUVVKRZQLQ)LJXUHVDUHOLQHDUO\ LQWHUSRODWHGDFURVVDFORVHO\VSDFHGJULGRIGLVFUHWHWRUTXHDQGVSHHGWHVWSRLQWV7RRSHUDWHWKH G\QDPRPHWHUDWHDFKWRUTXHDQGVSHHGWHVW SRLQW D FRQVWDQW VKDIW WRUTXH UHIHUHQFH W URWRU DQG VKDIW VSHHG UHIHUHQFH USP VKDIW ZHUH DSSOLHG DQG WKHQ SRZHU PHDVXUHPHQWV ZHUH WDNHQ RQFH VWHDG\ VWDWH ZDV UHDFKHG  :LWK WKH GF OLQN YROWDJH FODPSHG WR  9ROWV E\ DQ DX[LOLDU\ GF SRZHUVXSSO\WKHLQYHUWHULQSXWDQGRXWSXWSRZHUZHUHPHDVXUHGZLWKDSKDVHSRZHUDQDO\]HU 9ROWHFK 30$  >@  7KH PHDVXUHG LQYHUWHU HIILFLHQF\ ZDV WKHQ IRXQG DV WKH PHDVXUHG LQYHUWHURXWSXWSRZHUGLYLGHGE\WKHPHDVXUHGLQYHUWHULQSXWSRZHU¥6HH 7KHLQGXFWLRQ PRWRULQSXWSRZHUHTXDOVWKHLQYHUWHURXWSXWSRZHUDQGWKHLQGXFWLRQPRWRURXWSXWSRZHUZDV PHDVXUHGE\D+LPPHOVWHLQWRUTXHPHWHUZKHUHDQRQFRQWDFWVWUDLQJDJHWRUTXHWUDQVGXFHULV XVHG RQ WKH VKDIW WKDW FRQQHFWV WKH WZR LQGXFWLRQ PRWRUV RQ WKH G\QDPRPHWHU >@  7KH PHDVXUHG LQGXFWLRQ PRWRU HIILFLHQF\ ZDV WKHQ IRXQG DV WKH PHDVXUHG LQGXFWLRQ PRWRU RXWSXW SRZHUGLYLGHGE\WKHPHDVXUHGLQGXFWLRQPRWRULQSXWSRZHULQYHUWHURXWSXWSRZHU ¥6HH 



§ LQYHUWHU

3RZHU ,QYHUWHU RXW 3RZHU ,QYHUWHU LQ



§ ,0

3RZHU ,0 RXW 3RZHU ,QYHUWHU RXW

 7KHV\VWHPHIILFLHQF\ZDVIRXQGE\PXOWLSO\LQJWKHLQYHUWHUDQGLQGXFWLRQPRWRUHIILFLHQFLHV § V\VWHP

§ LQYHUWHU Õ § ,0

 )LJXUHVD F VKRZWKHHIILFLHQF\FRQWRXUVIRUWKHLQYHUWHUZLWK690WKHLQGXFWLRQ PRWRUZLWK690DQGWKHV\VWHPHIILFLHQF\ZLWK690UHVSHFWLYHO\)LJXUHVD F VKRZWKH HIILFLHQF\ LPSURYHPHQW FRQWRXUV REWDLQHG ZKHQ 690 FRQWURO LV XVHG UDWKHU WKDQ K\VWHUHVLV FRQWURO1RWHWKDW¦LPSURYHPHQW§LVGHILQHGDVWKHSHUFHQWLQFUHDVHLQHIILFLHQF\WKDWLVREWDLQHG E\XVLQJ690DVRSSRVHGWRK\VWHUHVLVIRUHDFKRIWKHWRUTXHDQGVSHHGSRLQWVWKDWZHUHWHVWHG



5RWRU7RUTXH>1P@









        





  





















5RWRU6SHHG>USP@

5RWRU7RUTXH>1P@

)LJD 690LQYHUWHUPHDVXUHGHIILFLHQF\SORW





 

 





 



 























5RWRU6SHHG>USP@

5RWRU7RUTXH>1P@

)LJE 690LQGXFWLRQPRWRUPHDVXUHGHIILFLHQF\SORW

 



 

 

 









        

5RWRU6SHHG>USP@

)LJF 690V\VWHPPHDVXUHGHIILFLHQF\SORW



5RWRU7RUTXH>1P@





   

 



 













 







         

5RWRU6SHHG>USP@

5RWRU7RUTXH>1P@

)LJD ,QYHUWHUHIILFLHQF\LPSURYHPHQWZLWK690





 















'

 

'

 

'





' 









         

5RWRU6SHHG>USP@

5RWRU7RUTXH>1P@

)LJE ,QGXFWLRQPRWRUHIILFLHQF\LPSURYHPHQWZLWK690





  



 

 

  



 

 



 



        

5RWRU6SHHG>USP@

)LJF 6\VWHPHIILFLHQF\LPSURYHPHQWZLWK690 

)URP)LJXUHVWKHV\VWHPZLWK690VKRZVLPSURYHPHQWLQERWKWKHLQYHUWHUDQG LQGXFWLRQPRWRUHIILFLHQF\RYHUWKHPDMRULW\RIWKHWRUTXHYVVSHHGSODQH7KHODUJHVWLQYHUWHU HIILFLHQF\LQFUHDVHZKHQXVLQJ690DUHIRUWKHVSHHGVEHWZHHQWRUSPIRUDOOORDGV DQGDOVRDWUSPXQGHUOLJKWORDG 7KH ODUJHVW LQGXFWLRQ PRWRU HIILFLHQF\ LQFUHDVHV ZKHQ XVLQJ690DUHIRUWKH URWRUVSHHGEHWZHHQ WR  USP IRU DOO ORDGV HVSHFLDOO\ DW OLJKW ORDG

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

3URWRU

5RWRU 6SHHG LQ USP Õ

° Õ7  H

 $OO FRPSDULVRQV EHWZHHQ WKH K\VWHUHVLV DQG 690 LQYHUWHU DUH PDGH DW WKH VDPH FRPPDQGHG VKDIWSRZHURUSDUWLFXODUORFDWLRQLQWKHWRUTXHYVVSHHGSODQH

,QYHUWHUORVVFRPSDULVRQ 7KH LQYHUWHU SRZHU ORVVHV DUH FRPSDUHG RQ WKH JULG RI WHVW SRLQWV VKRZQ E\ D VWDU LQ )LJ D   &RPSDULVRQV EHWZHHQ WRWDO LQYHUWHU ORVVHV RQ D YDU\LQJ GF OLQN DUH H[DPLQHG DQG WKH 7+'RIWKHLQGXFWLRQPRWRUSKDVHFXUUHQWVDUHFRPSDUHG



7KHLQYHUWHULQSXWDQGRXWSXWSRZHUVDUHPHDVXUHGIRUVHYHUDOGLIIHUHQWYDOXHVRIWKHGF OLQNYROWDJH7KHVZLWFKLQJORVVLVH[SHFWHGWRGHFUHDVHLQSURSRUWLRQWRWKHGHFUHDVHLQWKHGF OLQNYROWDJH7KHGFOLQNYROWDJHLVYDULHGIURPYROWVWRYROWV7KHLQYHUWHUSRZHUORVV ZLOOGHFUHDVHDVWKHGFOLQNYROWDJHLVGHFUHDVHG)LJXUHVKRZVWKHFRPSDULVRQRIWKH LQYHUWHUSRZHUORVVDVWKHGFOLQNYROWDJHLVYDULHGIRUDURWRUVSHHGRIUSPDQGDQG 1˜PRIURWRUWRUTXH)URP)LJLWLVVKRZQWKDWZKHQK\VWHUHVLVFRQWUROLVXVHGWKHUHLVD VWHHSHUUROORIIRIWKHLQYHUWHUSRZHUORVVLQGLFDWLQJODUJHUVZLWFKLQJORVV$GGLWLRQDOO\WKH LQYHUWHUZLWKK\VWHUHVLVFRQWUROLVH[SHFWHGWRKDYHODUJHUFRQGXFWLRQORVVHVLQWKHGLRGHVDQG ,*%7VGXHWRWKHLQFUHDVHG7+'RIWKHSKDVHFXUUHQWV7KHFRPSDULVRQVEHWZHHQWKHUROORII UDWHRUVORSHRIWKHLQYHUWHUSRZHUORVVZLWKGHFUHDVLQJGFOLQNDQGWKHSKDVHFXUUHQW7+'VDUH JLYHQLQ7DEOH$OOFRPSDULVRQVDUHJLYHQDVWKHSHUFHQWDJHRIWKHYDOXHZKHQ690FRQWURO LVXVHGDVRSSRVHGWRK\VWHUHVLVFRQWURO

Comparison of Inverter Power Loss at 2500 rpm and Varying DC Link 1600 Hysteresis SVM 1400 30 N-m

VORSH

+\VW

1200 20 N-m 1000 Watts

10 N-m

800

VORSH

30 N-m

690

600 20 N-m 10 N-m

400

200 260

270

280

290

300

310

320

330

Volts

)LJ&RPSDULVRQRILQYHUWHUSRZHUORVVDWUSPDQGYDU\LQJ'&OLQN



7DEOH&RPSDULVRQRILQYHUWHUORVVUROORIIUDWHZLWKGHFUHDVLQJGFOLQNDQGSKDVHFXUUHQW 7+'DWUSPDQGDQG1˜P USP

W1˜P

  

  

7+'690 7+'+\VW   

VORSH690 VORSH+\VW   

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

,0/RVV&RPSDULVRQ :KHQ WKH LQGXFWLRQ PRWRU LV VXSSOLHG E\ D QRQVLQXVRLGDO YROWDJH VXSSO\ WKHUH DUH DGGHG SRZHUORVVHVGXHWRWKHKDUPRQLFFRPSRQHQWVDSSOLHGWKDWDUHLQDGGLWLRQWRWKHORVVHVGXHWRWKH IXQGDPHQWDO FRPSRQHQWV >@ >@  )LJXUH  LV DQ H[DPSOH RI D W\SLFDO 3:0 YROWDJH ZDYHIRUP&OHDUO\WKHZDYHIRUPLVQRQVLQXVRLGDO



7\SLFDO3:09ROWDJH:DYHIRUP  

9ROWV

     











WVHF

)LJ([DPSOHRID3:09ROWDJH:DYHIRUP) +] 7KHXVXDOZD\WRYLHZWKHHIIHFWRIWKH3:0ZDYHIRUPRI)LJRQWKHLQGXFWLRQPRWRU LVWRGHWHUPLQHWKHORVVGXHWRHDFKKDUPRQLFDQGWKHQDGGWKHVHSDUDWHORVVHVWRJHWWKHWRWDOORVV XVLQJWKHSULQFLSOHRIVXSHUSRVLWLRQ7KH3:0YROWDJHZDYHDSSOLHGWRWKHLQGXFWLRQPRWRUFDQ WKHQ EH YLHZHG DV VKRZQ LQ )LJ  ZKHUH WKH VHSDUDWH YROWDJH KDUPRQLFV DUH FRQQHFWHG LQ VHULHVDFURVVWKHPRWRUWHUPLQDOV>@

9 9 ,QGXFWLRQ 0RWRU /LQH1HXWUDO

9 ± ± ± 9N

)LJ,QGXFWLRQPRWRUZLWKQRQVLQXVRLGDOYROWDJHH[FLWDWLRQHTXLYDOHQWFLUFXLW



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



LW .F

))7

)V N+]

6HQVRU

,N

:LQGRZ 6FDOH

)LJ&XUUHQWVDPSOLQJDQGGHWHUPLQDWLRQRIKDUPRQLFV

7KHZLQGRZXVHGLVWKH+DPPLQJZLQGRZEHFDXVHRILWVUHODWLYHO\QDUURZPDLQOREHZLGWKDQG JRRG VLGHOREH DWWHQXDWLRQ >@  7KH IROORZLQJ GHILQLWLRQV DUH XVHG IRU WKH KDUPRQLF DQDO\VLV FDUULHGRXW x

11XPEHURIVDPSOHVRIWKHWLPHZDYHIRUP

x

/))7OHQJWKDIWHU]HURSDGGLQJRIWKHWLPHZDYHIRUP

x

)V6DPSOLQJIUHTXHQF\

x

7V6DPSOLQJSHULRG )V

x

)7LPHZDYHIRUPIXQGDPHQWDOIUHTXHQF\

x

77LPHZDYHIRUPIXQGDPHQWDOSHULRG )

x

Q7LPHVDPSOH

x

P6SHFWUDOVDPSOHQXPEHU

x

N+DUPRQLFIUHTXHQF\VDPSOHQXPEHU

(QRXJK VDPSOHV RI WKH FXUUHQW ZDYHIRUP PXVW EH WDNHQ LQ RUGHU WR JHW JRRG IUHTXHQF\ DQG DPSOLWXGH UHVROXWLRQ LQ WKH UHVXOWLQJ VSHFWUXP DQG KHQFH DFFXUDWH PHDVXUHPHQW RI WKH FXUUHQW KDUPRQLFV:LWKDJLYHQVDPSOLQJIUHTXHQF\)VDQGIXQGDPHQWDOFXUUHQWZDYHIRUPIUHTXHQF\ )WKHQXPEHURIWLPHVDPSOHV1VKRXOGEHJUHDWHUWKDQRUHTXDOWRWKHYDOXHJLYHQE\ WR KDYHDJRRGVHSDUDWLRQRIWKHPHDVXUHGKDUPRQLFV

1 !

 )  )V





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

,P

 6)

/

LQ7 V H

S M / PQ

P ž/

Q 

 ,Q WKHWHUP6)LVDFRQVWDQWDQGLVGHWHUPLQHGDVVKRZQLQ IRUWKH+DPPLQJZLQGRZ

1

6) Q 

S

>FRV 1 Q

1 

@ 

7KHIUHTXHQF\YDOXHVLQ+]WKDWFRUUHVSRQGWRWKHVWDWRUSKDVHFXUUHQWVSHFWUDOVDPSOHVJLYHQE\  DUHJLYHQE\ 



I P

)V /

±P

P ž/

 :KHQDOORIWKH,PKDYHEHHQFRPSXWHGWKHQH[WVWHSLVWRVHDUFKIRUWKHSHDNYDOXHVRIFXUUHQW VSHFWUXP VDPSOHV YV WKH IUHTXHQF\ VDPSOHV ,P YV IP WR GHWHUPLQH WKH FXUUHQW KDUPRQLFV )LQGLQJWKHSHDNVLQWKHVSHFWUDOVDPSOHVFDQEHSHUIRUPHGLQDORRSLQJDOJRULWKPZKRVHIORZ FKDUWLVJLYHQLQ)LJ

67$57 P  N 

P PPD[

1

NPD[ N

(1'

< ,P,P ,P!,P

<

,N ,P IN IP

1

N N

)LJ)ORZFKDUWIRUH[WUDFWLRQRIFXUUHQWKDUPRQLFVIURPWKHFXUUHQWVSHFWUXPVDPSOHV

,Q )LJ  PPD[ UHSUHVHQWV WKH PD[LPXP IUHTXHQF\ ZKHUH KDUPRQLFV DUH VHDUFKHG IRU DQG LV JLYHQDV 



PPD[

/±

)PD[ )V

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

3HVW

,

NPD[ ,N N 

3PHDV 

) )V

7 LQW 7V

LQ7 V



Q 

 ,Q HYHU\ FDVH WHVWHG 3HVW ZDV DOZD\V YHU\ VOLJKWO\ OHVV WKDQ 3PHDV DQG LV ZKDW ZDV H[SHFWHG EHFDXVHRQO\KDUPRQLFVXSWRN+]ZHUHFRXQWHGLQ )RUDQ\H[SHULPHQW PXVWEH ZLWKLQDFHUWDLQWROHUDQFHRI RUWKHKDUPRQLFVDPSOHVDUHGHWHUPLQHGWREHLQYDOLG7KH H[SUHVVLRQ LQ   PXVW EH VDWLVILHG IRU DQ DSSURSULDWHO\ VPDOO WROHUDQFH VR WKDW WKH FXUUHQW



KDUPRQLFV FRPSXWHG DUH NQRZQ WR EH YDOLG  ,Q WKLV ZRUN HWRO ZDV FKRVHQ WR EH YHU\ VPDOO EHFDXVHWKHFXUUHQWKDUPRQLFVZHUHIRXQGDFFXUDWHO\GXHWRWKHSURSHUVHOHFWLRQRIWKHVDPSOLQJ IUHTXHQF\)VQXPEHURIFXUUHQWZDYHIRUPVDPSOHV1DQGDPRXQWRI]HURSDGGLQJ 3PHDV  3HVW  ¥ WRO 3PHDV

 $SSHQGL[/OLVWVWKHFRPSOHWHVWDWRUSKDVHFXUUHQWKDUPRQLFGHWHUPLQDWLRQURXWLQHDVD0DWODE PILOH 2QFHDOORIWKH,NKDYHEHHQFRPSXWHGWKHFXUUHQWZDYHIRUP7+'FDQEHHVWLPDWHGIURP (TXDWLRQ 

NPD[



,N N 

7+'

,

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

NPD[

3URW ˜,U˜5U˜

N 

5U$&˜,VN 

NPD[

3VWDW ˜,V˜5V˜

N 

5V$&˜,VN 

,Q DQG WKH&XORVVGXHWRWKHIXQGDPHQWDOFXUUHQWFRPSRQHQWLVVKRZQDV WKHILUVWORVVFRPSRQHQWDQGWKHVHFRQGFRPSRQHQWZKHUHDVXPPDWLRQLVXVHGGHWHUPLQHVWKH &XORVVHVGXHWRWKHKDUPRQLFVWDWRUSKDVHFXUUHQWV7KHWHUP,VLVWKH506YDOXHRIWKH IXQGDPHQWDOVWDWRUSKDVHFXUUHQWZKLFKFDQEHGLUHFWO\PHDVXUHGDQGWKHWHUP,ULVWKH506 YDOXHRIWKHIXQGDPHQWDOURWRUFXUUHQWZKLFKFDQEHDSSUR[LPDWHGE\(TXDWLRQ EHFDXVH QHDUSHUIHFWFXUUHQWUHJXODWLRQLVDVVXPHG



,U#

,VT

 7H ˜  O V



 

7KHWHUPV5U$&DQG5V$&LQ(TXDWLRQV DQG UHSUHVHQWWKHUHVLVWDQFHWKDWLV VHHQE\WKHKLJKIUHTXHQF\KDUPRQLFFRPSRQHQWVRIWKHVWDWRUSKDVHFXUUHQWWKH,VN7KHVH UHVLVWDQFHVDUHODUJHUWKDQWKH'&UHVLVWDQFHVGXHWRKLJKIUHTXHQF\VNLQDQGSUR[LPLW\HIIHFWV DQGFDQEHHVWLPDWHGE\ DQG 

5U$& 5U˜>.I @  5V$& 5V˜>.I @  ,QWKHDERYHHTXDWLRQVWKH.WHUPVDUHIUHTXHQF\GHSHQGHQWDQGUHSUHVHQWKRZWKHUHVLVWDQFHV YDU\ZLWKIUHTXHQF\DQGWKHVHWHUPVGHSHQGRQWKHLQGXFWLRQPDFKLQHVL]HDQGJHRPHWU\ $SSUR[LPDWLRQVIRU.I DQG.I IRUWKH*(LQGXFWLRQPRWRUDUHVKRZQEHORZ>@

.I |N&X˜ I

˜ I 



.I |N&X˜I ˜I



 1H[WWKHLURQORVV3LURQLQ(TXDWLRQ FDQEHDSSUR[LPDWHGE\WKHIROORZLQJ (TXDWLRQ



NPD[

3LURQ

.I ˜,VN

N 

 7KHWHUP.I LQ(TXDWLRQ UHSUHVHQWVWKHVFDOLQJIDFWRUWKDWLVPXOWLSOLHGE\WKHVTXDUHG KDUPRQLFFXUUHQWVLQRUGHUWRILQGWKHKDUPRQLFLURQORVVHV.I PXVWDFFRXQWIRUWKHLQIOXHQFH RIWKHFRUHORVVHVDQGWKHLUYDULDWLRQZLWKDSSOLHGIUHTXHQF\DQGYROWDJHWKHVNHZOHDNDJH ORVVHVWKHVWDWRUDQGURWRUHQGOHDNDJHORVVHVDQGWKHYDULDWLRQRIWKHOHDNDJHLQGXFWDQFHZLWK IUHTXHQF\

.I |N)H˜I



 ,Q N)HLVDQXQNQRZQVFDOLQJFRQVWDQW 1RZWKDWH[SUHVVLRQVIRUWKHYDULRXVKDUPRQLFORVVHVKDYHEHHQGHWHUPLQHGWKHGLIIHUHQW ORVVHVEHWZHHQK\VWHUHVLVDQG690DUHFRPSDUHG7KHSHUFHQWDJHGHFUHDVHLQKDUPRQLFORVVHV ZKHQXVLQJ690DVRSSRVHGWRK\VWHUHVLVFRQWURODUHDQDO\]HG7DEOHVXPPDUL]HVWKH SHUFHQWDJHRIWKHWRWDOLQGXFWLRQPRWRUSRZHUORVVPHDVXUHGIRU690DVFRPSDUHGWRK\VWHUHVLV FRQWURORQWKHJULGRIWHVWSRLQWVLQ)LJE 

7DEOH&RPSDULVRQRI7RWDO,QGXFWLRQ0RWRU/RVV 3PRWORVV 3PRWORVV690 USP 7H1P 3PRWORVV+\VW 3PRWORVV690 +\VW 3    

   

: : : :

 : : :

PRWORVV

   

7KH UDWLR RI KDUPRQLF ORVVHV ORVVHV WKDW DUH LQ DGGLWLRQ WR WKH IXQGDPHQWDO DSSOLHG ZDYHIRUP ORVVHV ZLWK690FRQWURODVFRPSDUHGWRK\VWHUHVLVFRQWURODUHVKRZQDVDSHUFHQWDJHLQ7DEOH  

7DEOH&RPSDULVRQRI6HSDUDWH,QGXFWLRQ0RWRU+DUPRQLF/RVVHV USP

7H1˜P

   

   

3URWIN 690 3URWIN +\VW

   

3VWDWIN 690 3VWDWIN +\VW

   

3LURQIN 690 3LURQIN +\VW

   

7DEOHVKRZVWKDWZLWK690DOORIWKHFDOFXODWHGKDUPRQLFORVVHVDUHVLJQLILFDQWO\ ORZHUHG7DEOHFRPSDUHVWKHWRWDOFDOFXODWHG&XORVVHVZKLFKDUHHTXDOWR3 URWDQG3VWDWDV GHWHUPLQHGIURP(TXDWLRQV DQG UHVSHFWLYHO\ 7DEOH&RPSDULVRQRI7RWDO&DOFXODWHG&X/RVVHV3&X 3URW3VWDW USP 7H1P 3&X+\VW 3&X690   : :   : :   : :   : :

7KH WRWDO FDOFXODWHG &X ORVVHV IRU 690 DUH DW OHDVW KDOI DV ODUJH DV WKH &X ORVVHV IRU 690 $GGLWLRQDOO\ WKH LURQ SOXV PHFKDQLFDO ORVVHV FDQ QRZ EH GHWHUPLQHG DV WKH WRWDO PHDVXUHG LQGXFWLRQ PRWRU ORVVHV 3PRW ORVV PLQXV WKH FDOFXODWHG &X ORVVHV 3&X  7KH UHVXOWV RI WKLV FRPSXWDWLRQDUHVKRZQLQ7DEOHZKHUHODUJHGHFUHDVHVLQWKHPHFKDQLFDOSOXVLURQORVVHVDUH SUHGLFWHG 7DEOH&RPSRI&DOFXODWHG0HFKDQLFDOSOXV,URQ/RVVHV3ZU7H 3LURQ 3PRWORVV3&X USP 7H1P 3&X+\VW 3&X690   :    : :   : :   : :



7KHUHVXOWVIRXQGLQWKLVVHFWLRQDUHQRWXQH[SHFWHGEHFDXVHWKHVSHFWUXPVRIWKHFXUUHQW VKRZQLQVHFWLRQUHYHDOHGWKDWZLWK690FRQWUROWKHUHLVDODUJHUHGXFWLRQLQWKHKDUPRQLF FRQWHQWRIWKHSKDVHFXUUHQWRIWKHLQGXFWLRQPRWRU7KH UHGXFWLRQLQFXUUHQWKDUPRQLFVKHOSV H[SODLQWKHUHGXFHGLQGXFWLRQPRWRUORVVHVPHDVXUHGLQWKLVVHFWLRQ

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



10000



8000



6000



rpm

NPKU

Required Rotor Speed for the FUDS Profile



4000



2000



0 0

200

400

600

800

1000

1200

1400

1200

1400

t sec Required Rotor Torque for the FUDS Profile 70 60

Tor Nm

50 40 30 20 10 0 0

200

400

600

800

1000

t sec

)LJ5HTXLUHGURWRUWRUTXHDQGVSHHGIRUWKH)8'6SURILOH

10000



8000



6000



rpm

NPKU

Required Rotor Speed for the HWFET Profi le



4000



2000



0

0

100

200

300

400 t sec

500

600

700

800

600

700

800

Required Rotor Torque for the HWFET Profile 70 60

Tor Nm

50 40 30 20 10 0

0

100

200

300

400 t sec

500

)LJ5HTXLUHGURWRUWRUTXHDQGVSHHGIRUWKH+:)(7SURILOH $VVKRZQLQ)LJWKH)8'6SURILOHFRQVLVWVPRVWO\RIORZVSHHGKLJKWRUTXHDFFHOHUDWLRQV $VVKRZQLQ)LJWKH+:)(7SURILOHFRQVLVWVPRVWO\RIKLJKVSHHGORZWRUTXHDFFHOHUDWLRQV DQGFRQVWDQWVSHHGFUXLVLQJWRUTXHV$OVRQRWHWKDWRQO\SRVLWLYHWRUTXHVKDYHEHHQFRQVLGHUHG ,IUHJHQHUDWLRQZDVWXUQHGRQLWFRXOGEHPRGHOHGDVDFRQVWDQWYDOXHRIQHJDWLYHO\DSSOLHG WRUTXHZKHQWKHYHKLFOHGHFHOHUDWHVKRZHYHUHQHUJ\UHFRYHUHGWKURXJKUHJHQHUDWLRQZDV FRQVLGHUHGWREHDVPDOOIUDFWLRQRIWKHHQHUJ\FRQVXPHGDQGVRZDVLJQRUHG



7RFRPSDUHWKHGULYHV\VWHPZLWK690DQGK\VWHUHVLVRQWKH)8'6DQG+:)(7SURILOHV WKHHQHUJ\QHHGVWREHPHDVXUHGDWHDFKSRLQWLQWKHV\VWHPEHFDXVHWKHWUDQVLHQWHIILFLHQF\LV JRLQJWREHGHILQHGDVRXWSXWHQHUJ\GLYLGHGE\LQSXWHQHUJ\

§ WUDQ

( RXW Õ  ( LQ



7R PDNH WUDQVLHQW HIILFLHQF\ PHDVXUHPHQWV WKH HQHUJ\ XVHG DW HDFK SRLQW RI WKH GULYH V\VWHPQHHGVWREHHLWKHUGLUHFWO\PHDVXUHGRUHVWLPDWHG7KHGULYHV\VWHPFDQEHUHSUHVHQWHG DVVKRZQEHORZLQ)LJ7KHLQYHUWHULQSXWHQHUJ\(LQYLQDQGRXWSXWHQHUJ\(LQYRXWFDQEH GLUHFWO\ PHDVXUHG E\ WKH SRZHU DQDO\]HU 9ROWHFK 30$  GXULQJ D GULYH F\FOH WHVW WR GHWHUPLQHWKHLQYHUWHUWUDQVLHQWHIILFLHQF\>@ ( LQY RXW Õ  ( LQY LQ

§ WUDQ LQYHUWHU



(LQYLQ

PHDVXUHG

%DWWHU\

,QYHUWHU

(LQYRXW

(PRWRXW

PHDVXUHG

FDOFXODWHG

,0

(VKDIW

PHDVXUHG

3ODQHWDU\ *HDU

9HKLFOH

)LJ'LDJUDPVKRZLQJZKDWHQHUJLHVDUHXVHGWRFRPSXWHWKHWUDQVLHQWHIILFLHQFLHV 7KHLQGXFWLRQPRWRULQSXWHQHUJ\LVFOHDUO\WKHVDPHDVWKHLQYHUWHURXWSXWHQHUJ\PHDVXUHG(LQY RXWKRZHYHUWKHLQGXFWLRQPRWRURXWSXWHQHUJ\LVQRWDVHDVLO\IRXQG7ZRZD\VFDQEHXVHGWR

GHWHUPLQHWKHLQGXFWLRQPRWRURXWSXWHQHUJ\LQRUGHUWRHVWLPDWHWKHLQGXFWLRQPRWRUWUDQVLHQW HIILFLHQF\)LUVWWKHPRWRURXWSXWHQHUJ\FDQEHFRQVLGHUHGWREHWKHYDOXHWKDWLVGHWHUPLQHGE\ LQWHJUDWLQJWKHPHDVXUHGVKDIWWRUTXHWLPHVWKHPHDVXUHGVKDIWVSHHGRYHUDGULYHSURILOH



(VKDIW ³WVKDIWPHDVW ±ZVKDIWPHDVW ±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

§ WUDQ PRWRU

( PRW RXW (LQY RXW

Õ

 (PRW RXW IRU WKH )8'6 DQG +:)(7 SURILOHV IRU D PLGVL]H WUXFN DV GHWHUPLQHG IURP WKH VLPXODWLRQGLDJUDPVKRZQLQ$SSHQGL[%DUHOLVWHGEHORZ (PRWRXWIRUPRWRUVKDIWRQ)8'6 N:KU (PRWRXWIRUPRWRUVKDIWRQ+:)(7 N:KU

1RZWKDWWKHWHFKQLTXHVIRUPHDVXULQJWKHWUDQVLHQWHIILFLHQF\KDYHEHHQH[SODLQHGWKH UHVXOWVREWDLQHGZLOOEHVKRZQQH[W 7KH )8'6 DQG +:)(7 GULYLQJ SURILOHV ZHUH VLPXODWHG RQ DQ HOHFWULF PRWRU G\QDPRPHWHU DV GHVFULEHG LQ &KDSWHU  WR GHWHUPLQH WKH HQHUJLHV UHTXLUHG WR FRPSXWH WKH WUDQVLHQWHIILFLHQFLHVRYHUDJLYHQSURILOH>@>@2QFHWKHUHTXLUHGHQHUJLHVZHUHPHDVXUHG IURPDVLPXODWHGGULYHSURILOHRQWKHG\QDPRPHWHUWKHWUDQVLHQWHIILFLHQF\RIWKHLQYHUWHU DQG LQGXFWLRQPRWRURYHUWKHSDUWLFXODUSURILOHZHUHFRPSXWHGE\XVLQJ(TXDWLRQV DQG 



UHVSHFWLYHO\  7KH DYHUDJHG UHVXOWV REWDLQHG IRU WKH WUDQVLHQW HIILFLHQFLHV ZKHQ XVLQJ RSWLPDO 690FRQWUROZLWKDVZLWFKLQJIUHTXHQF\RIN+]DUHVXPPDUL]HGLQ7DEOHVDQGIRUWKH )8'6DQG+:)(7SURILOHVUHVSHFWLYHO\

7DEOH)8'6690&RQWURO N:KULQYHUWHULQ N:KU N:KULQYHUWHURXW N:KU  KWUDQLQYHUWHU  KWUDQPRWRU

7DEOH+:)(7690&RQWURO N:KULQYHUWHULQ N:KU N:KULQYHUWHURXW N:KU  KWUDQLQYHUWHU  KWUDQPRWRU

7KH DYHUDJH UHVXOWV IRU WUDQVLHQW HIILFLHQF\ ZKHQ XVLQJ K\VWHUHVLV FRQWURO DUH VKRZQ LQ 7DEOHV DQGIRUWKH)8'6DQG+:)(7SURILOHVUHVSHFWLYHO\

7DEOH)8'6+\VWHUHVLV&RQWURO N:KULQYHUWHULQ N:KU N:KULQYHUWHURXW N:KU  KWUDQLQYHUWHU  KWUDQPRWRU

7DEOH+:)(7+\VWHUHVLV&RQWURO N:KULQYHUWHULQ N:KU N:KULQYHUWHURXW N:KU  KWUDQLQYHUWHU  KWUDQPRWRU



7KHWUDQVLHQWHIILFLHQF\UHVXOWVVKRZWKDWZKHQ690FRQWUROLVXVHGWKHUHTXLUHGHQHUJ\ LQSXW RI WKH LQYHUWHU LV UHGXFHG IRU WKH VDPH JLYHQ GULYLQJ SURILOH  5HGXFHG HQHUJ\ LQSXW LQGLFDWHVLQFUHDVHGGULYLQJUDQJHIRUWKHVDPHDYDLODEOHHQHUJ\IURPWKHYHKLFOHEDWWHULHV)RU H[DPSOH IRU YHKLFOH RSHUDWLRQ VLPLODU WR WKH )8'6 SURILOH D UDQJH LQFUHDVH RI  LV H[SHFWHGDVFRPSXWHGYLD(TXDWLRQ 

UDQJH LQFUHDVH

N:KU LQ +\VW  N:KU LQ 690 N:KU LQ +\VW

Õ

 /LNHZLVH IRU YHKLFOH RSHUDWLRQ VLPLODU WR WKH +:)(7 SURILOH D UDQJH LQFUHDVH RI  LV H[SHFWHG7KHVHUHVXOWVDUHVXPPDUL]HGEHORZ

5DQJH,QFUHDVHIRUWKH)8'6 5DQJH,QFUHDVHIRUWKH+:)(7

7KH ODUJHU UDQJH LQFUHDVH IRU WKH )8'6 SURILOH DV RSSRVHG WR WKH +:)(7 SURILOH LV H[SODLQHGE\WKHORFDWLRQRIWKHODUJHVWGHQVLWLHVRIWKHWRUTXHYHUVXVVSHHGRSHUDWLQJSRLQWVIRU WKHWZRGLIIHUHQWSURILOHV7KHRSHUDWLQJSRLQWGHQVLWLHVIRUWKH)8'6SURILOHDUHVKRZQLQ)LJ WREHFRQFHQWUDWHGLQWKHDUHDVRIWKHJUHDWHVWV\VWHPHIILFLHQF\LPSURYHPHQWVDVVKRZQLQ )LJ F   7KH ODUJHVW RSHUDWLQJ SRLQW GHQVLWLHV IRU WKH +:)(7 SURILOH DUH FRQFHQWUDWHG LQ DUHDVRIOHVVHIILFLHQF\V\VWHPHIILFLHQF\JDLQVDVVKRZQLQ)LJDQG)LJF 



Operating Point Density Map for FUDS

40 seconds

30 20 10 0 80 60 40

8000 20

Rotor Torque [N-m]

0

2000 0

4000

10000

6000

Rotor Speed [rpm]

)LJ2SHUDWLQJSRLQWGHQVLW\PDSIRUWKH)8'6SURILOHIRUDPLGVL]H(9WUXFN

Operating Point Density Map for HWFET

40 seconds

30 20 10 0 80 60 40

8000 20

Rotor Torque [N-m]

0

2000 0

4000

10000

6000

Rotor Speed [rpm]

)LJ2SHUDWLQJSRLQWGHQVLW\PDSIRUWKH+:)(7SURILOHIRUDPLGVL]H(9WUXFN



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

fs = 13.3k Hz 200

100

100

0

0

A

A

fs = 10k Hz 200

-100

-100

-200

-200 0

0.02

0.04

0

0.02

t fs = 16.7k Hz

fs = 20k Hz

200

200

100

100

0

0

A

A

0.04 t

-100

-100

-200

-200 0

0.02

0.04

0

t

0.02

0.04 t

)LJ5HVXOWDQWVWDWRUSKDVHFXUUHQWVIRUWKHUSP1PWHVWDWYDULRXVLQYHUWHU VZLWFKLQJIUHTXHQFLHV



$VVKRZQLQ)LJWKHKDUPRQLFVLQWKHVLPXODWHGVWDWRUSKDVHFXUUHQWVDSSHDUWREH UHGXFHGDVWKHVZLWFKLQJIUHTXHQF\LVLQFUHDVHG$QHVWLPDWLRQRIWKHDPRXQWRIUHGXFWLRQLQWKH FXUUHQWKDUPRQLFVLQWKHZDYHIRUPVFDQEHIRXQGE\FRPSXWLQJWKHWRWDOKDUPRQLFGLVWRUWLRQ 7+' RIWKHZDYHIRUPVDVGHWHUPLQHGE\(TXDWLRQ ZKHUHWKHFXUUHQWKDUPRQLFVFDQEH GHWHUPLQHGE\WKHSURFHGXUHRXWOLQHGLQVHFWLRQ7KH7+'RIWKH,0VWDWRUSKDVHFXUUHQW YHUVXVIUHTXHQF\DWWKHRSHUDWLQJSRLQWUSPDQG1PLVVKRZQLQ)LJ

THD vs. Frequency 0.1 0.09 0.08 0.07

THD

0.06 0.05 0.04 0.03 0.02 0.01 0 10

12

14

16

18

20

f kHz

)LJ3ORWVKRZLQJWKHUHGXFWLRQLQ7+'YHUVXVVZLWFKLQJIUHTXHQF\IRUWKHFXUUHQWVLQ)LJ  *HQHUDOO\DGGLWLRQDOVLPXODWLRQVVKRZHGWKDWWKH7+'LVUHGXFHGLQURXJKO\WKHVDPH SURSRUWLRQVKRZQLQ)LJDFURVVWKHHQWLUHWRUTXHYVVSHHGSODQH

6XPPDU\RI6\VWHP(IILFLHQF\,PSURYHPHQWVZLWK690 7KLVFKDSWHUKDVVKRZQWKDWXVLQJRSWLPDO]HURYHFWRUVHOHFWLRQ690FRQWUROZLWKD N+]VZLWFKLQJIUHTXHQF\DVRSSRVHGWRK\VWHUHVLVFRQWUROKDVLQFUHDVHGWKH(9LQYHUWHUDQG LQGXFWLRQPRWRUHIILFLHQF\DFURVVWKHPDMRULW\RIWKHWRUTXHYHUVXVVSHHGSODQH7KHODUJHVW



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



&KDSWHU'HYHORSPHQWRID'ULYH 5HVRQDQFH&RPSHQVDWRU

'HVFULSWLRQRI'ULYH5HVRQDQFH 7KLV&KDSWHUGLVFXVVHVLPSURYHPHQWRIWKHEDVHFRQWUROOHUVKRZQLQ)LJWKURXJK WKHDGGLWLRQRIDGULYHUHVRQDQFHFRPSHQVDWRU7KHFRPSHQVDWRUGHYHORSHGDOVRWHUPHGWKH VKXGGHUFRPSHQVDWRUFDQFRUUHFWIRUURWRUVKDIWRVFLOODWLRQVDWORZVSHHGVRIWKH(9WKDWDUHGXH WRDUHVRQDQFHLQGXFHGEHWZHHQWKHLQGXFWLRQPRWRUURWRUDQGWKHYHKLFOHPDVVFDXVHGE\WKH VSULQJOLNHQDWXUHRIWKHGULYHVKDIW7KHVKXGGHUFRPSHQVDWRUDGGHGLVVKRZQVFKHPDWLFDOO\LQ )LJ

O V

7H

)LHOG2ULHQWHG &RQWUROOHU

 

, VG

, VT

TV

7 PHDV

GT

&XUUHQW

5HJXODWRUV

GG GT

GD 6SDFH9HFWRU 3:0

GE

GF

7FRUU

6KXGGHU &RPSHQVDWRU

ZU

9GF

)LJ%DVLFFRQWUROOHUVWUXFWXUHZLWKDGGHGVKXGGHUFRPSHQVDWRUKLJKOLJKWHG 

6KXGGHUZDVPHDVXUHGLQWKHYHKLFOHE\ORJJLQJWKHGDWDVDPSOHVRIWKHURWRUVSHHG IHHGEDFNZKLOHGULYLQJWKHWHVWYHKLFOHDWORZVSHHGV7KHPHDVXUHGRVFLOODWLRQVDUHVKRZQLQ )LJ



Speed Shudder on an Incline 60

50

40

6SHHG

30

20

10

0 0

0.1

0.2

0.3

0.4

0.5

WVHF )LJ0HDVXUHGYHKLFOHVSHHGRVFLOODWLRQVGXHWRGULYHVKDIWUHVRQDQFH7VDPSOH PV

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

0RGHOLQJRI(97RUTXHWR6SHHG7UDQVIHU)XQFWLRQ ,QWKLVVHFWLRQWKHPRWRUDQGGULYHV\VWHPLVPRGHOHGDVDWZRPDVVV\VWHPDQGWKH VKDIWUHVRQDQFHVKXGGHU LVVLPXODWHGXVLQJWKHSODQWWUDQVIHUIXQFWLRQGHYHORSHG7KHLQHUWLDO



PDVVRIWKHURWRULVWLHGWRWKHYHKLFOHLQHUWLDOPDVVWKURXJKWKHPRWRUJHDULQJDQGGULYHVKDIW 7KHRYHUDOOVLWXDWLRQFDQEHDSSUR[LPDWHGDVVKRZQEHORZLQ)LJ \

WURW

'

\

T

[

T

.F

[

'

- -

)LJ'LDJUDPRIURWRUPDVVFRQQHFWHGWRYHKLFOHPDVVWKURXJKWKHGULYHVKDIW

7KHLQHUWLDRIWKHLQGXFWLRQPRWRUURWRUVKRZQDV-LQ)LJFDQEHGHWHUPLQHGIURP (TXDWLRQ  -

P URW N  

 1 ‡ P ‡ V 

5RWRUPDVV PURW NJ 5RWRUUDGLXVRIJ\UDWLRQ N P



7KHURWRUGDPSLQJUDWLRVKRZQDV'LQ)LJLVFKRVHQWRUHSUHVHQWWKHDPRXQWRIGDPSLQJ WRUTXHDSSOLHGWRWKHURWRUIURPWKHIULFWLRQDQGZLQGDJHRIWKHGULYHOLQH$YDOXHRI1˜PLV FKRVHQWRUHSUHVHQWWKHGDPSLQJWRUTXHDWWKHPD[LPXPURWRUUSPRIUSPZKLFKHTXDOV UDGVHF+HQFH'FDQEHGHWHUPLQHGE\(TXDWLRQ  '  1˜P˜V



7KHVSULQJFRQVWDQWRIWKHYHKLFOHGULYHVKDIWVKRZQDV.FLQ)LJLVJRLQJWREHGHWHUPLQHG E\H[SHULPHQWDOPHDVXUHPHQWVWKDWZLOOEHGLVFXVVHGODWHULQWKLVVHFWLRQ /DVWO\WKHUHIOHFWHGLQHUWLDRIWKHYHKLFOH-DQGWKHYHKLFOHGDPSLQJUDWLR'DUHQRZ GHWHUPLQHG7KHDSSOLHGWRUTXHRQWKHURWRUGXHWRWKHYHKLFOHG\QDPLFVLVJLYHQE\ ZKLFK KDVEHHQGHVFULEHGLQGHWDLOLQ&KDSWHU 

 U GY & & ˜ >P  PJ& 5  5 Y  $ Y @ *5 GW Y UHI Y UHI

W URWRU



7KHODVWWHUPVLQWKHHTXDWLRQZLWKLQWKHSDUHQWKHVLVUHSUHVHQWWKHYHKLFOHUROOLQJUHVLVWDQFHDQG DHURG\QDPLFGUDJIRUFHV6LQFHWKHVKXGGHUFRPSHQVDWLRQLVPHDQWIRUVORZHUVSHHGVWKHVH WHUPVDUHLJQRUHGEHFDXVHWKHDHURG\QDPLFGUDJLVVPDOODWVORZVSHHGDQGWKHUROOLQJUHVLVWDQFH LVXVXDOO\VPDOO7KHUHIRUHWKHGDPSLQJUDWLR'WKDWLVVKRZQLV)LJLVVHWWR]HUR ?'# 7KHILUVWWHUPLQ(TXDWLRQ UHSUHVHQWVWKHWRUTXHUHTXLUHGWRDFFHOHUDWHWKHPDVVRIWKH YHKLFOH)RUDQDFFHOHUDWLRQRIPV WKHURWRUWRUTXHUHTXLUHGLVJLYHQE\(TXDWLRQ 

´ URW

U Õ P Õ *5

 Õ 

 1 ‡ P



$VVKRZQLQ DPVDFFHOHUDWLRQRIWKHYHKLFOHFDQEHWUDQVODWHGWRDUDGV  DFFHOHUDWLRQRIWKHURWRUVKDIW UDG

P





V

V

Õ

*5 U

P V

Õ 



7KHUHIRUHWKHWHUP-FDQEHGHWHUPLQHGDVVKRZQ  -u 1˜P ?-#1˜P˜V



7KHHTXDWLRQVRIPRWLRQLQWKHFRPSOH[GRPDLQRIWKHWZRPDVVV\VWHPRI)LJFDQQRZEH ZULWWHQDVVKRZQLQ  -V'V.F.F

TV

.F-V.F TV

WURWV  



6ROYLQJIRUWKHTV WURWV WUDQVIHUIXQFWLRQOHDGVWR(TXDWLRQ 

¨  V ´ URW V

- V   . F

V   . F

V -  -  V   -  ' V    -   -  . F V  '  . F

VV   V   . F V   . F

 7RFRPSOHWHWKHSODQWPRGHOJLYHQE\ WKHIUHTXHQF\RIWKHVKDIWRVFLOODWLRQVZHUH PHDVXUHGLQWKHYHKLFOHWRGHWHUPLQHWKHVKDIWVSULQJFRQVWDQW. FZKLFKLVGLVFXVVHGQH[W 7KHVSHFWUXPRIWKHVSHHGVKXGGHUPHDVXUHGLQ)LJLVVKRZQLQ)LJ7KLV VSHFWUXPSORWLVWKHVDPSOHYDOXHVRIWKHVKXGGHUZDYHIRUP'LVFUHWH7LPH)RXULHU7UDQVIRUP '7)7 ZKHUHDUHFWDQJXODUZLQGRZZDVXVHGRQWKHVDPSOHGGDWDSRLQWV7KHVDPSOHVSDFLQJ RIWKH'7)7LVHYHU\+]DQGWKHVDPSOHVZHUHIRXQGE\XVLQJWKH))7)URP)LJLWFDQ EHVHHQWKDWWKHPDLQVKXGGHUFRPSRQHQWVDUHIRXQGDWDQG+]

Frequency Components of the Speed Shudder 30

25

20

0DJ

15

10

5

0 -50

0

50

I+] )LJ6SHFWUDOVDPSOHVRIWKHVSHHGVKXGGHU

7KHURRWVRIWKHFKDUDFWHULVWLFHTXDWLRQRIWKHTV 7V WUDQVIHUIXQFWLRQRI(TXDWLRQ DUH JLYHQDV(TXDWLRQV  

3  3 URRWVVV.FV.F

 7KHLPDJLQDU\URRWVDUHQHDUO\XQGDPSHGVRWKHIUHTXHQF\RIRVFLOODWLRQVKRXOGEHFORVH WRWKHQDWXUDOIUHTXHQF\WKDWZDVPHDVXUHGLQWKHYHKLFOH ZQ S UDGVHF

Plot of the Imaginary Part of the Complex Roots vs. Kc 80 75 70

Imag

65 60 55 50 45 40 200

250

300

350

400 Kc

450

500

550

600

)LJ3ORWRIWKH,PDJLQDU\SDUWRIWKHFRPSOH[URRWVYVVSULQJFRQVWDQW

)URPWKHSORWRIWKHLPDJLQDU\SDUWRIWKHFRPSOH[SODQWSROHVYHUVXVWKHVSULQJFRQVWDQWVKRZQ LQ)LJIRU.FDERXWWKHUHTXLUHGUHVRQDQWIUHTXHQF\LVFRUUHFW7KHUHVXOWLQJWUDQVIHU IXQFWLRQLVJLYHQLQ  .F#



¨ V ´ URW V

- V   . F V -- V  -  'V    -   - . FV  '. F

V   V V  V  V  

 7RREWDLQWKHGHVLUHGWUDQVIHUIXQFWLRQWKHDERYHWUDQVIHUIXQFWLRQLVPXOWLSOLHGE\VWRREWDLQ WKHZV WURWV 7KHUHVXOWLQJSODQWPRGHOLVJLYHQLQ 

Z V ´ URW V

V   V  V  V  



7KHXQFRPSHQVDWHGV\VWHPSODQWPRGHOJLYHQE\(TXDWLRQ LVWHVWHGE\DSSO\LQJDWRUTXH SXOVHRI1˜PDWVHFRQGVDQGUHPRYLQJLWDWVHFRQGV7KHV\VWHPVKRXOGVKRZVOLJKWO\ GDPSHGRVFLOODWLRQVDWDIUHTXHQF\RIDERXW+]7KLVLVVKRZQWREHWKHFDVHLQ)LJ

Uncompensated Rotor Speed Torque Pulse Response 15

wr rad/sec

10

5

0

-5

0

0.5

1

1.5 t sec

2

2.5

3

)LJ7HVWRIWKHSODQWPRGHOIRUDSXOVHWRUTXHLQSXW



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

7\SHRI&RPSHQVDWRUDQG*DLQ6HWWLQJ 7KHSUHYLRXVVHFWLRQGHYHORSHGWKHSODQWPRGHOWUDQVIHUIXQFWLRQEHWZHHQWKHURWRU WRUTXHDQGURWRUVSHHGLQUDGLDQVSHUVHFRQG7KHYDULRXVFRPSRQHQWVRIWKHFRPSHQVDWHG V\VWHPDUHVKRZQEHORZLQ)LJ

7H SX 7FRUU 6KXGGHU &RPSHQVDWRU

 

SX





7HWRW SX

7H1P 

3ODQW ZV  WURWV

Z

 S

5RWRU6SHHGUSP



5RWRU6SHHGSX

 

1RWH7KHJDLQEORFNWUDQVODWHVWKHWRUTXHFRPPDQG WRDFWXDOWRUTXHLQ1P

)LJ&RPSHQVDWHGV\VWHPFRQWUROGLDJUDP



)LJXUHVKRZVWKDWWKHVSHHGVKXGGHUFDQEHFRPSHQVDWHGE\IHHGLQJEDFNWKHURWRU VSHHGWKURXJKDFRPSHQVDWRUDQGWKHQDGGLQJWKHFRPSHQVDWRURXWSXW7 FRUUWRWKHWRUTXH FRPPDQG7H ,Q)LJWKHWRUTXHUHJXODWRUZKLFKH[HFXWHVDWPVLVDVVXPHGWRKDYHD FRQVWDQWJDLQWUDQVIHUIXQFWLRQDQGLVPRGHOHGDVDFKDQJHIURPSXWRUTXHWRDFWXDOWRUTXH ZKLFKLVDJDLQRIVLQFHWKHEDVHWRUTXHLV1˜P7H DQG7FRUUDUHERWKLQSXRQD 1˜PEDVHLQ)LJEHFDXVHWKLVLVKRZWKH\DUHDFWXDOO\UHSUHVHQWHGLQWKH'637RKHOSVKRZ WKDWLWLVDYDOLGDVVXPSWLRQWRPRGHOWKHFKDQJHIURPFRPPDQGHGWRUTXHWRDFWXDODVDFRQVWDQW JDLQLQ)LJWKHVWHSUHVSRQVHRIWKHWRUTXHLVVLPXODWHGXVLQJWKHVLPXODWLRQPRGHOV GHYHORSHGLQ&KDSWHU)LJVKRZVWKHVWHSUHVSRQVHRIWKHTFXUUHQWDQGTFXUUHQW FRPPDQGLQWKHV\QFKURQRXVUHIHUHQFHIUDPH7KHURWRUVSHHGFRPPDQGZDVUDGVHFZKLFK WUDQVODWHVWRWKHVDPHYHKLFOHVSHHGUDQJHZKHUHVKXGGHULVDSUREOHP$IWHUDQLQLWLDOVWDUWXS WKHTFXUUHQWFRPPDQGZDVVWHSSHGE\$PSVDWW VHFRQGV

Step Response of the Torque Producing Stator Phase Current 400

350

300

Amps

250

200

150

100

50

0 0.124

0.125

0.126

0.127 t sec

0.128

0.129

)LJ6LPXODWHGWRUTXHFRPPDQGVWHSUHVSRQVH



0.13

)LJXUHVKRZVWKDWWKHWRUTXHFXUUHQWULVHVDQGVHWWOHVLQDERXWPVZKLFKLQGLFDWHVDPXFK IDVWHUG\QDPLFUHVSRQVHWKDQWKHSODQWZKRVHIUHTXHQF\UHVSRQVHLVVKRZQEHORZLQ)LJDV GHWHUPLQHGIURP(TXDWLRQ DQGWKHVFDOLQJFRQVWDQWVVKRZQLQWKHEORFNGLDJUDPLQ)LJ 

Open Loop Frequency Response 150

Mag dB

100

50

0

-50 -5 10

10

-4

10

-3

10

-2

-1

10 log f Hz

10

0

10

1

10

2

10

3

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‡V V  S F





7KHWZRSDUDPHWHUVWREHGHWHUPLQHGDUHS FDQG.7KHYDOXHSFLVFKRVHQDVEHFDXVHDJRRG FORVHGORRSUHVSRQVHZDVREWDLQHGZLWKWKLVYDOXH7KLVOHDYHVWKHVKXGGHUFRPSHQVDWRUJDLQ. ZKLFKFDQEHGHWHUPLQHGYLDURRWORFXVWHFKQLTXHV,WZLOOEHLPSRUWDQWWKDWWKHFORVHGORRS IUHTXHQF\UHVSRQVHKDVJRRGGDPSLQJRIWKHUHVRQDQWSHDN+RZHYHUWKHFORVHGORRSV\VWHP EDQGZLGWKVKRXOGQRWH[WHQGIDUEH\RQGWKHSODQWEDQGZLGWKRUHOVHODUJHFRQWUROVLJQDOVFRXOG UHVXOWOLPLWHGWRWKHFODPSYDOXHWKDWZLOOEHSODFHGDIWHUWKHFRPSHQVDWRU)LJVKRZVWKH URRWORFXVSORWRIWKHV\VWHP7KHODUJHDUFLVWKHHYHQWXDOORFDWLRQRIWKHFORVHGORRSSROHV7R SURYLGHJRRGGDPSLQJWKHFORVHGORRSSROHVVKRXOGEHDVIDULQWRWKHOHIWKDOISODQHDVLV IHDVLEOH )LJXUHVKRZVWKHGDPSLQJYHUVHVJDLQIRUWKHFRPSOH[SROHSDLUZKHUHWKHGDPSLQJ KDVEHHQGHWHUPLQHGE\WDNLQJWKHFRVLQHRIWKHDQJOHEHWZHHQWKHQHJDWLYH5HD[LVDQGWKH FRPSOH[SROHORFDWLRQ$VVKRZQLQ)LJDODUJHJDLQLVUHTXLUHGIRUJRRGGDPSLQJ +RZHYHUDSUDFWLFDOXSSHUOLPLWRQWKHJDLQLVGHWHUPLQHGE\QXPHULFDOLVVXHVLQWKH'63DQG XQPRGHOHGSODQWG\QDPLFV,ISRVVLEOHVDWXUDWLRQDQGOLPLWLQJVKRXOGEHDYRLGHGLQWKHUDQJHRI RSHUDWLRQRIWKHVKXGGHUFRPSHQVDWRU$VZLOOEHVKRZQLQVHFWLRQDr1˜PFODPS ZKLFKHTXDOVrSXLVLQFOXGHGDIWHUWKHVKXGGHUFRPSHQVDWRULQWKHDFWXDO LPSOHPHQWDWLRQWRDYRLGWKHDSSOLFDWLRQRIRYHUO\ODUJHFRUUHFWLRQWRUTXHV7KHUHIRUHWKH SUDFWLFDOXSSHUOLPLWRQWKHVKXGGHUFRPSHQVDWRUJDLQ.LVFKRVHQWREHZKLFKZLOOEH VKRZQWREHDFFHSWDEOHLQWKHH[SHULPHQWDOUHVXOWV



'DPSLQJ ] &RVT T

)LJ5RRW/RFXVSORWIRUWKHV\VWHPVKRZQLQ)LJDQGWKHFRPSHQVDWRUJLYHQE\  Amount of Damping vs. Gain for the Complex Pole Pair 1 0.9 0.8 0.7

Eta

0.6 0.5 0.4 0.3 0.2 0.1 0

0

20

40 60 Compensator Gain

80

100

)LJ$PRXQWRIGDPSLQJRIWKHV\VWHPFRPSOH[SROHSDLUYVFRPSHQVDWRUJDLQ.



&RPSHQVDWRUJDLQVRI. DQG. DUHXVHGLQGHWHUPLQLQJIUHTXHQF\UHVSRQVHRIWKH FORVHGORRSV\VWHPWUDQVIHUIXQFWLRQZKLFKLV5RWRU6SHHGV 7 H V LQ)LJ7KLVFORVHGORRS WUDQVIHUIXQFWLRQLVVKRZQLQ)LJDQG)LJUHVSHFWLYHO\IRUWKHWZRGLIIHUHQW FRPSHQVDWRUJDLQVWHVWHG Closed Loop Frequency Response, K = 1 150

Mag dB

100

50

0

-50 -5 10

10

-4

10

-3

10

-2

-1

10 log f Hz

10

0

10

1

10

2

10

3

)LJ5RWRU6SHHGV 7H FORVHGORRSIRU.  Closed Loop Frequency Response, K = 10 150

Mag dB

100

50

0

-50 -5 10

10

-4

10

-3

10

-2

-1

10 log f Hz

10

0

10

1

10

2

)LJ5RWRU6SHHGV 7H FORVHGORRSIRU. 



10

3

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



7WDFK

RSWLFDO SLFNXS

WDFK$ WDFK%

WRRWKWDFKRPHWHUZKHHO DWWDFKHGWRURWRU

)LJ,OOXVWUDWLRQRIWKHJHQHUDWLRQRIWKHWDFKRPHWHUTXDGUDWXUHSXOVHV

7KHIUHTXHQF\RIWKHWDFK$DQGWDFK%VTXDUHZDYHVVKRZQLQ)LJDUHUHODWHGWRWKHURWRU VSHHGLQUSPDVVKRZQLQ  I WDFK

5RWRU 6SHHG LQ USP Õ  



7KHWDFKRPHWHUVLJQDOVSURGXFHGE\WKHHQFRGHUPRXQWHGRQWKHLQGXFWLRQPRWRUDUHSURFHVVHG WKURXJKDFRQWUROOHULQWHUIDFHFLUFXLWFRPSDUDWRUEXIIHUDQRSWRFRXSOHU DQGDUHWKHQVHQWWR WKH'63¥UHIHUWR)LJ7KHEXLOWLQ'63HQFRGHULQWHUIDFHKDUGZDUHZKLFKUHFHLYHVWKH ILQDOWDFKVLJQDOVLVVKRZQLQ)LJ>@ 0+]

((7',9 y

((71

y

ODWFKDQG UHVHWRQ ULVLQJHGJH

I&/. 0+] ? FQW PV

((77

ELWHQFRGHU HYHQWWLPHU

WDFK$ WDFK%

)LJ'63HQFRGHULQWHUIDFHKDUGZDUHIRUWKH$'0&3URFHVVRU



7KHYDOXHI&/.VKRZQLQ)LJDQGFRPSXWHGDVVKRZQLQ GHWHUPLQHVKRZIDVWWKH FRXQWYDOXHLQWKHELWHQFRGHUHYHQWWLPHULVLQFUHPHQWHGRUGHFUHPHQWHG

I &/.

0+] ((7',9



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

IWDFKPD[ u +] ?7WDFKPLQ PV



7KHPLQLPXPFRXQWYDOXHIRUUHJLVWHU((77IRUDURWRUVKDIWVSHHGRIUSPLVJLYHQE\   ((77PLQ FQWV

7WDFK PLQ I &/. 

 FQWV



7KH'63VSHHGFRPSXWDWLRQDOJRULWKPXVHVWKHYDOXHJLYHQLQ WRFRPSXWHWKHURWRUUSPDW DOOVSHHGVE\XVLQJWKHHTXDWLRQVJLYHQLQ DQG (TXDWLRQ LVWKHDFWXDOURWRU VSHHGLQUSPDQG(TXDWLRQ LVWKHSHUXQLWURWRUVSHHGLQUSPRQDUSPEDVH

5RWRU 6SHHG LQ USP

((77PLQ FQWV Õ  ((77



 Õ  ((77



5RWRU 6SHHG LQ SX

((77PLQ FQWV ((77

 ((77



7KHVPDOOHVWSRVVLEOHURWRUUSPWKDWFDQEHUHSUHVHQWHGLVZKHQWKH((77UHJLVWHUYDOXHLVHTXDO WRZKLFKLVZKHUHWKHURWRUVSHHGHTXDOVUSPDVGHWHUPLQHGIURP *LYHQ WKHURWRUUSPDVGHWHUPLQHGIURP WKHVSHHGRIWKHYHKLFOHLQPLOHVSHUKRXUFDQEH GHWHUPLQHGE\WKHDSSUR[LPDWLRQJLYHQLQ 

PSKYHKLFOH#5RWRUUSP   IW  SL    PSKIWVHF 7RWDO*HDULQJ %HWZHHQWKH5RWRU 7UDQVODWH5RWDWLRQV LQWR'LVWDQFH DQGWKH:KHHO 7UDYHOHG

&RQYHUWIURP IWPLQWR IWVHF

&RQYHUW WRPSK

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

    

¬



:KHQ((77LVHTXDOWRFRXQWVWKHURWRUVSHHGLV#USPRUDERXWUDGVHF7KLV LVDGLIIHUHQFHRIUDGVHFIURPZKHQ((77HTXDOHGFRXQWVDQGUHSUHVHQWVWKH 

TXDQWL]DWLRQVWHSLQWKHURWRUDQJXODUVSHHG$VVKRZQLQ)LJWKHTXDQWL]DWLRQLQWHUYDOVLQ WKH((77FRXQWYDOXHVEHFRPHVPDOOHUDVWKHURWRUVSHHGLVLQFUHDVHG

3.5

x 10

4

quantization intervals of eett

3

2.5

2

1.5

1

0.5

0

0

0.5

1

1.5

2 eett

2.5

3

3.5 x 10

4

)LJ4XDQWL]DWLRQLQWHUYDOVRI((77

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



DPRXQWRITXDQWL]DWLRQLVQRWH[SHFWHGWROLPLWWKHRSHUDWLRQRIWKHVKXGGHUFRPSHQVDWRUEXWWKH DPRXQWRITXDQWL]DWLRQQHHGHGWREHGHULYHGWRUXOHRXWDOORIWKHSRVVLEOLOLWLHV

&RQWUROOHU6WUXFWXUH0DJQLWXGHRI)HHGEDFN*DLQDQG&ODPSLQJ 7KHSUHYLRXVVHFWLRQKDVVKRZQWKDWWKHVSHHGIHHGEDFNUHVROXWLRQLVDGHTXDWHIRUXVHE\ WKHVKXGGHUFRPSHQVDWRU,QWKLVVHFWLRQWKHVKXGGHUFRPSHQVDWRUGHWHUPLQHGSUHYLRXVO\WREH LQWKHIRUPJLYHQE\ LVGHVLJQHG .V V  



7KHWUDQVIHUIXQFWLRQVKRZQLQ LVUHZULWWHQLQ ZKHUHWKHILOWHUWLPHFRQVWDQW7LV RQHTXDUWHURIDVHFRQG . ‡V  V 7

.  



7  V 7

.  

   7V



7KHVKXGGHUFRPSHQVDWRULVLPSOHPHQWHGIURP(TXDWLRQ XVLQJWKHVWUXFWXUHVKRZQLQ)LJ 

6KXGGHU &RPSHQVDWRU

,QSXW  5RWRU6SHHGLQSX

.

U>Q@

F>Q@ 

RXWSXW 7 FRUU SX>Q@

/3)





)LJ)RUPRILPSOHPHQWDWLRQRIWKHVKXGGHUFRPSHQVDWRU



7KHFRPSHQVDWRUVKRZQLQ)LJLPSOHPHQWV(TXDWLRQ E\VXEWUDFWLQJRXWWKHILOWHUHG DYHUDJHYDOXHRIWKHURWRUVSHHGIHHGEDFNVLJQDOIURPWKHURWRUVSHHGIHHGEDFNVLJQDO2QFHWKH DYHUDJHYDOXHLVUHPRYHGWKHUHVXOWLQJQHJDWHGVLJQDO7 FRUUSXLVXVHGWRFRUUHFWWKHURWRU RVFLOODWLRQVE\DGGLQJ7FRUUSXWRWKHSXWRUTXHUHIHUHQFHDVVKRZQLQ)LJ1RWH7 FRUULV OLPLWHGE\DFODPSDQGVSHHGUROORIIZKLFKDUHGLVFXVVHGVKRUWO\ 7KHORZSDVVILOWHULQ)LJ 7V LVLPSOHPHQWHGGLJLWDOO\XVLQJWKHVWUXFWXUHVKRZQLQ)LJZKHUHWKHH[HFXWLRQ SHULRGLV'W PV7LVVHFDVSUHYLRXVO\LQGLFDWHGDQG]LVHMV'W LPF Magnitude Response 1 0.9 0.8

/3)

0.7

U>Q@



'W



Mag

0.6



F>Q@

0.5 0.4

7'W 

0.3 0.2 0.1

]



0 -25

-20

-15

-10

-5

0 f Hz

5

10

15

20

25

)LJ6WUXFWXUHXVHGDQGIUHTXHQF\UHVSRQVHIRUWKHGLJLWDOLPSOHPHQWDWLRQRIWKHORZSDVV ILOWHU

)URP)LJWKHGLIIHUHQFHHTXDWLRQWKDWUHSUHVHQWVWKHLQSXWWRRXWSXWWUDQVIHUIXQFWLRQRIWKH ORZSDVVILOWHUVWUXFWXUHLVJLYHQE\ 

F> Q @

…W  U>Q @  F>Q  @  F>Q  @ 7  …W



7KHIUHTXHQF\UHVSRQVHRIWKH/3)WKDWLVVKRZQLQ)LJLQGLFDWHVWKDWWKHUHLVDODUJH DWWHQXDWLRQRIWKHKLJKIUHTXHQF\URWRUVSHHGLQSXWFRPSRQHQWVZKLFKLVZKDWLVGHVLUHGIRU REWDLQLQJWKHDYHUDJHURWRUVSHHG 7KHQXPHULFUHSUHVHQWDWLRQLQWKH'63IRUWKHIHHGEDFNJDLQ.ORFDWHGDVVKRZQLQ)LJ LVQRZGHWHUPLQHG)RUDIHHGEDFNJDLQ.OHVVWKDQWKHQXPHULFUHSUHVHQWDWLRQLQWKH '63IRU.FDQEHLQELQDU\IUDFWLRQDOIRUPDW>@7KHHTXDWLRQIRUGHWHUPLQLQJWKLV QXPEHULQKH[DGHFLPDOLV  

.  

URXQG

. Õ  

! +H[DGHFLPDO 

2QFHWKHURWRUVSHHGLQSXLVPXOWLSOLHGE\. DOORIWKHVLJQDOVLQWKHORZSDVVILOWHU VWUXFWXUHDUHLQIRUPDW)RUDELQDU\IUDFWLRQDOQXPEHUWKH/6%UHSUHVHQWV ZKLFK HTXDOVP7KLVPDJQLWXGHRIWKH/6%LV1˜PRQD1˜PEDVH$UHVROXWLRQRI 1˜PLVVKRZQLQWKHH[SHULPHQWDOUHVXOWVWREHHQRXJKUHVROXWLRQIRUWKLVDSSOLFDWLRQ ,QWKH'63LPSOHPHQWDWLRQWKHVKXGGHUFRPSHQVDWRURXWSXW7 FRUUSXLVQRWDOORZHGWR LQFUHDVHZLWKRXWERXQGEXWLVFODPSHG2QDEDVHRI1˜PIRUWKHWRUTXHDQGDFODPSYDOXH RIr1˜PWKHFODPSLVrSX&ODPSLQJRIWKHVKXGGHUFRPSHQVDWRURXWSXWLVGHSLFWHGLQ )LJ

5RWRU6SHHGLQSX



6KXGGHU &RPSHQVDWRU

7FRUUSX



)LJ,QVHUWLRQRIDFODPSIROORZLQJWKHVKXGGHUFRPSHQVDWRURXWSXW

,IWKHRXWSXWRIWKHFRPSHQVDWRUGRHVEHFRPHFODPSHGDFODPSUHVHWPHFKDQLVPKDVEHHQ HPSOR\HGWKDWNHHSVWKH/3)RXWSXWVHWDWWKHFRUUHFWYDOXH)LJXUHVKRZVWKHDUUDQJHPHQW DQGGHILQLWLRQRIYDULDEOHVXVHGIRUHPSOR\LQJWKHFODPSUHVHWPHFKDQLVP

/3) 5RWRU6SHHGLQSX

.

7

;

V7

7&/03

 



<

7&/03

7FRUUSX

)LJ,OOXVWUDWLRQRIWKHYDULDEOHVXVHGLQWKHUHVHWLQJRIWKHVKXGGHUFRPSHQVDWRURXWSXW ZKHQWKHV\VWHPEHFRPHVFODPSHG

:KHQWKHRXWSXWLVQRWFODPSHGWKHFRUUHFWLRQWRUTXHLV<PLQXV; 7FRUUSX <¤;



,IWKHV\VWHPHQWHUVFODPS;LVVHWWR<¤7 FRUUSX)RUSRVLWLYHFODPSWKLVWUDQVODWHVWR; <¤ 7&/03DQGIRUQHJDWLYHFODPSWKLVWUDQVODWHVWR; <7&/03,QWKLVZD\WKH FRPSHQVDWRUGRHVQRWKDYHWRUHVHWE\LQWHJUDWLQJRXWWKH/3)RXWSXWHUURUZKHQLWFRPHVRXWRI FODPS

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

7FRUU SX 

 Õ USP UROORII



a 7FRUU SX  Õ   SX  Õ USP URW SX 



7KHVFDOLQJHPSOR\HGLQ(TXDWLRQ HQVXUHVWKDWWKHQXPHUDWRULVOHVVWKDQWKHGHQRPLQDWRU ZKLFKLVUHTXLUHGIRUWKHUHVXOWRIWKHGLYLGHWRQRWRYHUIORZ,IUHJXODULQYHUVHVSHHGUROORIILV QRWIDVWHQRXJKWKHQWKHVSHHGVTXDUHGUROORIIVKRZQLQ(TXDWLRQ FDQEHXVHG  ,QERWK DQG USPUROORIILVWKHVSHHGZKHUHWKHUROORIIEHJLQVDQGLVVHWWRUSPRU SXRQDUSPEDVH)LJXUHLVDJUDSKLFDOFRPSDULVRQRIWKHLQYHUVHVSHHG UROORIIJLYHQE\ DQGWKHLQYHUVHVSHHGVTXDUHGUROORIIJLYHQE\  Inverse Speed and Inverse Speed Squared Rolloffs 1

0.9

0.8

0.7

0.6

0.5 Inverse Speed Rolloff 0.4

0.3 Inverse Speed Squared Rolloff 0.2

0.1

0

0

1000

2000

3000

4000

5000 speed rpm

6000

7000

8000

9000

10000

)LJ&RPSDULVRQRIVKXGGHUFRPSHQVDWRURXWSXWUROORIIUDWHV )LJXUHVKRZVWKDWVTXDUHGUROORIIRIWKHFRPSHQVDWRURXWSXWLVPXFKIDVWHUWKDQUHJXODU LQYHUVHVSHHGUROORII+RZHYHULQWKHYHKLFOHWKHUHJXODUVSHHGUROORIIZDVIRXQGWREH DFFHSWDEOHHYHQVRLWLVEHQHILFLDOWRKDYHERWKRSWLRQVDYDLODEOH7KHILQDOIRUPRIWKHVKXGGHU FRPSHQVDWRUWREHLPSOHPHQWHGLQWKH'63LVVKRZQVFKHPDWLFDOO\LQ)LJ



6KXGGHU&RPSHQVDWRU)LQDO9HUVLRQ 6DWXUDWLRQ5HVHW 5RWRU6SHHGLQSX

.

/3)

7&/03

 

7FRUUSX

 [

7&/03 _VSHHG_

63'B52//2))

)LJ)LQDOIRUPRIWKHLPSOHPHQWHGVKXGGHUFRPSHQVDWRU

(YDOXDWLRQRIWKH,PSOHPHQWHG6\VWHP 7KLVVHFWLRQHYDOXDWHVWKHSHUIRUPDQFHRIWKHFRPSHQVDWRUGHYHORSHGWKURXJKERWK VLPXODWLRQDQGH[SHULPHQW7KHFRPSHQVDWRULVVKRZQWRZRUNZHOOLQDOOFDVHV

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



Rotor Torque Applied N-m 200

0.5

100

Trot

Te*

Rotor Torque Command p.u. 1

0

-0.5

-1

0

-100

0

2

4 t sec

6

8

6

8

-200

0

2

4 t sec

6

8

Rotor Speed in rpm 2500 2000

rpm

1500 1000 500 0 -500

0

2

4 t sec

)LJ6LPXODWLRQRIWKHURWRUVSHHGUHVSRQVHZLWKRXWVKXGGHUFRPSHQVDWLRQHQDEOHG



Output of LPF

Unclamped Compensator Output

1.5

0.3 0.2

1 Tcorr uc

Output

0.1 0.5

0 -0.1

0 -0.2 -0.5

0

2

4 t sec

6

8

0

6

8

Shudder Compensator Correction Torque Command p.u. 0.06

0.04

0.04

0.02

0.02 Tcorr

Tcorr cl

4 t sec

0.06

Clamped Compensator Output

0

0

-0.02

-0.02

-0.04

-0.04

-0.06

0

2

4 t sec

6

-0.06

8

0

Rotor Torque Command p.u. 200

0.5

100

0

-0.5

-1

2

4 t sec

6

8

Rotor Torque Applied N-m

1

Trot

Te*

2

0

-100

0

2

4 t sec

6

8

6

8

-200

0

2

4 t sec

6

8

Rotor Speed in rpm 2500 2000

rpm

1500 1000 500 0 -500

0

2

4 t sec

)LJ6LPXODWLRQRIWKHURWRUVSHHGUHVSRQVHZLWKVKXGGHUFRPSHQVDWLRQHQDEOHG



6KXGGHU&RPSHQVDWLRQ([SHULPHQWDO5HVXOWV 7KHVKXGGHUFRPSHQVDWRUKDVEHHQDGGHGWRWKH'63VRIWZDUHDQGWKRURXJKO\WHVWHGLQD PLGVL]H(9WUXFN7KH'63FRGHGHYHORSHGLVOLVWHGLQ$SSHQGL[0)LJXUHVKRZVWKH FRPSDULVRQRIWKHURWRUVKDIWRVFLOODWLRQVZLWKDQGZLWKRXWWKHVKXGGHUFRPSHQVDWLRQHQDEOHG :KHQFRPSHQVDWLRQLVHQDEOHGWKHRVFLOODWLRQVKDYHEHHQODUJHO\UHGXFHG)LJXUHVKRZV WKDWWKHDGGHGFRUUHFWLRQWRUTXHIRUWKHFDVHVKRZQLQ)LJLVZHOOZLWKLQWKHOLPLWRIr 1P7KLVLVEHWWHUWKDQSUHGLFWHGE\WKHVLPXODWLRQUHVXOWV7KHVKXGGHUFRPSHQVDWRU GHYHORSHGKDVEHHQIRXQGVDWLVIDFWRU\IRUHOLPLQDWLQJVKXGGHUDQGRSHUDWHVSURSHUO\XQGHU YDU\LQJGULYLQJFRQGLWLRQV7KHQH[WDQGILQDOFKDSWHUGLVFXVVHVWKHILQDODGGHGFRQWUROEORFNIRU LQFUHDVHG(9GULYHSHUIRUPDQFH'63EDVHGIOX[IHHGEDFNFRPSHQVDWLRQ

)LJ2VFLOODWLRQVLQWKHVSHHGIHHGEDFNEHIRUHDQGDIWHUVKXGGHUFRPSHQVDWLRQ



)LJ$PRXQWRIDGGHGFRUUHFWLRQWRUTXHGXHWRVKXGGHUFRPSHQVDWLRQ



&KDSWHU'HYHORSPHQWRID'63%DVHG)OX[ )HHGEDFN&RPSHQVDWRU

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



OV 7H

 

)LHOG2ULHQWHG &RQWUROOHU

,VG

,VT

7FRUU

GG

GT &XUUHQW 5HJXODWRUV 0$5

GT TV

TW 

GD 6SDFH9HFWRU 3:0

GE GF



TI

6KXGGHU &RPSHQVDWRU

9GF

ZU

6WDWRU)OX[ /LQNDJH &RPSHQVDWRU

7H

OVG OVT ,D ,F

)LJ)LQDOFRQWUROOHUVWUXFWXUHVKRZLQJDGGHGVWDWRUIOX[OLQNDJHFRPSHQVDWRU KLJKOLJKWHG 

6HFWLRQLVDQDQDO\VLVRIWKHH[LVWLQJKDUGZDUHWKDWLVXVHGWRGHWHUPLQHWKHVWDWRUIOX[ OLQNDJHGDQGTFRPSRQHQWV7KHH[LVWLQJFLUFXLWLVVKRZQWREHKDYHOLNHDQLGHDOLQWHJUDWRU GRZQWRDSSUR[LPDWHO\UDGVHFRIDSSOLHGDQJXODUIUHTXHQF\%HORZUDGVHFWKHFLUFXLW GHYHORSVVLJQLILFDQWSKDVHDQGWKHQJDLQHUURU7KHJDLQDQGSKDVHHUURUVZLOOEHGHWHUPLQHGDQG SORWWHG ,QVHFWLRQWKHPDQQHULQZKLFKWKHIHHGEDFNHOHFWURPDJQHWLFWRUTXHLVFRPSXWHGLQ WKH'63LVLQWURGXFHG7KHQWKHHUURULQWKHIHHGEDFNHOHFWURPDJQHWLFWRUTXHFDXVHGE\MXVWWKH SKDVHHUURURIWKHVWDWRUIOX[IHHGEDFNFLUFXLWZLOOEHGHWHUPLQHGDQGSORWWHG7KHQH[WVHFWLRQ VHFWLRQGLVFXVVHVWKHGHYHORSPHQWRIWKHJDLQDQGSKDVHFRUUHFWLRQDOJRULWKP*DLQ FRUUHFWLRQLVSHUIRUPHGE\XVLQJDJDLQPXOWLSOLHUDQGSKDVHFRUUHFWLRQLVSHUIRUPHGE\DYHFWRU URWDWLRQLQGTFRRUGLQDWHV7KHQWKHSUDFWLFDOLPSOHPHQWDWLRQRIWKHJDLQDQGSKDVHFRUUHFWLRQV LQWKH'63VWDWRUIOX[OLQNDJHFRPSHQVDWRUDUHGLVFXVVHG ,QVHFWLRQWKHH[SHULPHQWDOUHVXOWVREWDLQHGIURPWKHLPSOHPHQWHGFRPSHQVDWRUDUH VKRZQ



'HWHUPLQDWLRQRI)OX[0DJQLWXGHDQG3KDVH(UURUDWORZ)UHTXHQFLHV IURPWKH([LVWLQJ&LUFXLW 7KHVWDWRUIOX[OLQNDJHRIWKH*(LQGXFWLRQPRWRULVGHWHUPLQHGE\LQWHJUDWLQJWKH YROWDJHSURGXFHGDFURVVDVSHFLDOSDLURIIOX[FRLOVLQWKHGDQGTD[LVRIWKHVWDWRUZLQGLQJ7KH LQWHJUDWLRQFLUFXLWLVORFDWHGRQWKHLQWHUIDFHERDUGEHWZHHQWKHLQGXFWLRQPRWRUDQGWKH'63DV VKRZQLQ)LJ7KLVLQWHJUDWRULVFRPSRVHGRIWKHDQDORJFLUFXLWU\VKRZQLQ)LJ

& P)

5 0:

9L

5

5 N:

5

N:

&

N:

P)



9R



)LJ,QWHJUDWLRQFLUFXLWXVHGIRUIOX[FRLOYROWDJHLQWHJUDWLRQ

7KHWUDQVIHUIXQFWLRQIRUWKHFLUFXLWVKRZQLQ)LJLVVROYHGDQGJLYHQLQ(TXDWLRQ  9R 9L

5  5   ‡ ‡ ‡ 5  5  5   5  5    5 &V    5  5   5 &V



7KHVHFRQGSROHJLYHQE\5 5 5& LVIDULQWRWKH/+3DQGGRHVQRWDIIHFWWKHORZ IUHTXHQF\G\QDPLFV+RZHYHUWKLVSROHLVKHOSIXOLQILOWHULQJWKHKLJKIUHTXHQF\FRPSRQHQWVRI WKHLQGXFHGIOX[FRLOYROWDJHGXHWKH3:0SRZHUVXSSO\7KHORZIUHTXHQF\G\QDPLFVFDQWKHQ EHHVWLPDWHGE\(TXDWLRQ IRUWKHFRPSRQHQWYDOXHVVKRZQLQ)LJ 

9R V 9L V

   V

 V  

 ,GHDOO\WKHWUDQVIHUIXQFWLRQVKRXOGEHDVVKRZQLQ(TXDWLRQ ZKLFKLVWKHHTXDWLRQIRUD SHUIHFWLQWHJUDWRU

9R V 9L V

 V 

7KHFRPSDULVRQEHWZHHQWKHDFWXDOWUDQVIHUIXQFWLRQJLYHQE\ DQGWKHLGHDOWUDQVIHU IXQFWLRQJLYHQE\ LVVKRZQLQ)LJ

G%  MZ

 MZ

ORJI

)LJ&RPSDULVRQRILGHDODQGDFWXDOLQWHJUDWRUWUDQVIHUIXQFWLRQV



7KHGFJDLQRIWKHLGHDOLQWHJUDWRULVLQILQLWH$OVRWKHLGHDOLQWHJUDWRUKDVDFRQVWDQW SKDVHODJRIGHJUHHV7KHJDLQDQGSKDVHGLIIHUHQFHVEHWZHHQWKHLGHDOLQWHJUDWRUDQGWKH DFWXDOLQWHJUDWRUDUHVKRZQLQ)LJ

Comparison of Ideal and Actual Integrator Phase -40

18

-45

16

-50

14

-55

12

-60 Phase

Gain

Comparison of Ideal and Actual Integrator Gain 20

10

-65

8

-70

6

-75

4

-80

2

-85

0

0

5

10

15 w_e rad/sec

20

25

-90

30

0

5

10

15 w_e rad/sec

20

25

30



LGHDO BBBBBB

DFWXDO

)LJ,OOXVWUDWLRQRIWKHJDLQDQGSKDVHGLIIHUHQFHVRIWKHLGHDODQGDFWXDOLQWHJUDWRUV

$QDO\VLVRI7RUTXH)HHGEDFN(UURUDW/RZ)UHTXHQFLHV ,QWKLVVHFWLRQWKHHUURULQWKHPHDVXUHGWRUTXHIHHGEDFN7 PHDVLVGHWHUPLQHGEDVHGRQ WKHJDLQDQGSKDVHHUURUVLQWKHVWDWRUIOX[OLQNDJHPHDVXUHPHQWVWKDWZHUHVKRZQLQWKHSUHYLRXV VHFWLRQ )RUWKHSROH*(LQGXFWLRQPDFKLQHWKHHOHFWURPDJQHWLFWRUTXHLVFRPSXWHGIRUPWKH IROORZLQJHTXDWLRQZKLFKLVJLYHQLQWHUPVRIWKHFRPSOH[VWDWRUFXUUHQWDQGIOX[OLQNDJH YHFWRUV

7H

 ,P^L O ` TGV TGV 

 O  VGLVT OVTLVG  



7KHFRPSOH[VWDWRUIOX[OLQNDJHYHFWRUODJVWKHFRPSOH[VWDWRUYROWDJHYHFWRUE\qEHFDXVHWKH IOX[OLQNDJHLVWKHLQWHJUDORIWKHDSSOLHGYROWDJH7KLVVLWXDWLRQLVVKRZQLQ)LJ

YVG

YVT

HM Z

OVG

HM Z

OVT

)LJ,OOXVWUDWLRQRIVWDWRUIOX[OLQNDJHODJJLQJWKHVWDWRUYROWDJH

7KHFRPSOH[VWDWRUFXUUHQWYHFWRUODJVWKHFRPSOH[VWDWRUYROWDJHYHFWRUE\WKHSRZHUIDFWRU DQJOHD7KHFXUUHQWYHFWRUWKHQOHDGVWKHVWDWRUIOX[OLQNDJHYHFWRUE\qD7KLVLVVKRZQLQ )LJIRUSRVLWLYHVHTXHQFHURWDWLRQRIWKHFXUUHQWYHFWRU

E

LTGV

 D

O TGV T

D

G F

)LJ/RFDWLRQRIVWDWRUFXUUHQWDQGVWDWRUIOX[OLQNDJHYHFWRUVIRUIRUZDUGPRWRULQJ



$VVXPLQJDEDODQFHGV\VWHPWKHGTFRPSRQHQWVRIWKHFRPSOH[VWDWRUFXUUHQWYHFWRUDUHJLYHQ E\  LQWKHURWDWLQJUHIHUHQFHIUDPH

L VT

° °  >L DV FRV ¹ H W  L EV FRV¹ H W   L FV FRV¹ H W  @    

L VG

 ° ° >L DV VLQ ¹ H W  L EV VLQ ¹ H W   L FV VLQ ¹ H W  @   

 ,Q  WKHSKDVHFXUUHQWVIRUSRVLWLYHVHTXHQFHDUHJLYHQE\   L DV

, V FRV ¹ H W 

L EV

, V FRV¹ H W 

° 

 L FV

, V FRV¹ H W 

° 

 6LPLODUO\WKHFRPSOH[VWDWRUIOX[OLQNDJHYHFWRULVGHWHUPLQHGLQWKHURWDWLQJUHIHUHQFH IUDPHE\  

« VT

°  ° >« DV FRV¹ H W  « EV FRV¹ H W   « FV FRV¹ H W  @   

 « VG

° °  >« DV VLQ¹ H W  « EV VLQ¹ H W   « FV VLQ¹ H W  @   





,Q  WKHVWDWRUIOX[OLQNDJHVIRUSRVLWLYHVHTXHQFHDUHJLYHQE\  ZKHUH WKHSRZHUIDFWRUDQJOHKDVEHHQGHQRWHGE\D

° « V FRV¹ H W   ¡ 

« DV

 « EV

« V FRV¹ H W 

° °   ¡   

« FV

« V FRV¹ H W 

° °   ¡   

:LWKWKHDSSOLHGVWDWRUDQJXODUIUHTXHQF\ZHVPDOOWKHFRPSXWHGWRUTXHZLOOEHOHVV WKDQWKHDFWXDOWRUTXHGXHWRWKHILQLWHLQWHJUDWRUJDLQDQGWKHLQWHJUDWRUSKDVHHUURU:LWKDGGHG SKDVHHUURUWKHPHDVXUHGORFDWLRQRIWKHFRPSOH[VWDWRUIOX[OLQNDJHYHFWRUEHFRPHVSKDVH DGYDQFHGDVVKRZQLQ)LJ

E

LTGV  DT

TZ H

OTGV

T

D

G F

)LJ,OOXVWUDWLRQRISKDVHHUURUDGYDQFLQJRIWKHPHDVXUHGVWDWRUIOX[OLQNDJHYHFWRU



:LWKDQDGGHGSKDVHDGYDQFHGXHWRPHDVXUHPHQWHUURUWKHH[SUHVVLRQVIRUWKHVWDWRUIOX[ OLQNDJHVEHFRPH  

« DV

° « V FRV¹ H W    ¨¹ H  ¡  

« EV

« V FRV¹ H W 

° °    ¨ ¹ H  ¡  

 « FV

° °    ¨ ¹ H  ¡  

« V FRV¹ H W 

 1RPLQDOYDOXHVIRUWKH*(LQGXFWLRQPRWRUDUH,V $OV :EDQGD  UDG:KHQWKHVHQXPEHUVDUHXVHGLQ(TXDWLRQ WKHQRPLQDOHOHFWURPDJQHWLFWRUTXHLV IRXQGWREH1˜P:LWKTZH DOORZHGWRYDU\EHWZHHQWRGHJUHHVRUWRUDGLDQV WKHUHGXFWLRQLQFRPSXWHGHOHFWURPDJQHWLFWRUTXHLVSORWWHGLQ)LJ 180

160

140

7H1P

120

100

80

60

40

0

5

10

15

20

25

30

35

40

45

50

TZ H LQGHJUHHV

)LJ5HGXFWLRQLQFRPSXWHGHOHFWURPDJQHWLFWRUTXHGXHWRSKDVHHUURULQWKHVWDWRUIOX[ OLQNDJHPHDVXUHPHQW



$GGLWLRQDOUHGXFWLRQLQWKHPHDVXUHGHOHFWURPDJQHWLFWRUTXHRFFXUVGXHWRWKHJDLQHUURURIWKH IOX[LQWHJUDWRUVHVSHFLDOO\ZKHQWKHDSSOLHGVWDWRUDQJXODUIUHTXHQF\LVOHVVWKDQUDGVHFDV VKRZQE\)LJ

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

0DJQLWXGH(UURU&RPSHQVDWLRQ 7KHDFWXDOIOX[LQWHJUDWRUWUDQVIHUIXQFWLRQZDVVKRZQSUHYLRXVO\WREH(TXDWLRQ DQGWKH GHVLUHGWUDQVIHUIXQFWLRQZDV(TXDWLRQ 7RFRUUHFWWKHJDLQHUURULQWURGXFHGDQDGMXVWDEOH JDLQFRUUHFWLRQIDFWRU*ZH LVPXOWLSOLHGE\WKHDFWXDOWUDQVIHUIXQFWLRQPDJQLWXGHWRREWDLQWKH LGHDOWUDQVIHUIXQFWLRQPDJQLWXGH7KHSODFHPHQWRIWKHJDLQFRUUHFWLRQIDFWRULVVKRZQLQ (TXDWLRQ 

*¹ H Õ    ¹ H 

 _¹H _ 

)URP WKHJDLQFRUUHFWLRQIDFWRUFDQEHGHWHUPLQHGDV



  ¹ H 

* ¹ H

 

_¹H _

 7KHJDLQFRUUHFWLRQIDFWRULVDIXQFWLRQRIWKHDSSOLHGVWDWRUDQJXODUIUHTXHQF\DQGWKH5&WLPH FRQVWDQWRIWKHIHHGEDFNLPSHGDQFHRIWKHRSDPSLQWHJUDWRUZKLFKIRUWKHFLUFXLWXQGHUWHVWLV $SORWRIWKHJDLQFRUUHFWLRQIDFWRUIRU_ZH_LVVKRZQLQ)LJ

G a in C o rre ctio n F a cto r vs. w

e

1 .5 1 .4 5 1 .4 1 .3 5

G

1 .3 1 .2 5 1 .2 1 .1 5 1 .1 1 .0 5 1 -3 0

-2 0

-1 0 w

e

0 (ra d /se c )

10

20

30

)LJ3ORWRIWKHJDLQFRUUHFWLRQIDFWRUYVDSSOLHGVWDWRUDQJXODUIUHTXHQF\

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



3KDVH(UURU&RPSHQVDWLRQ 7KHVWDWRUIOX[IHHGEDFNSKDVHHUURULVFDXVHGE\WKHGLIIHUHQFHEHWZHHQWKHDFWXDO WUDQVIHUIXQFWLRQDQJOHDQGq7KHSKDVHHUURULQWURGXFHGE\WKHDFWXDOIOX[IHHGEDFNWUDQVIHU IXQFWLRQLVDVIROORZV

¨ ¹ H

°  DWDQ¹ H  

7KHSKDVHFRUUHFWLRQIDFWRUTZH LVDIXQFWLRQRIWKHDSSOLHGVWDWRUDQJXODUIUHTXHQF\ZHDQG WKH5&WLPHFRQVWDQWRIWKHIHHGEDFNLPSHGDQFHRIWKHRSDPSLQWHJUDWRUZKLFKIRUWKHFLUFXLW XQGHUWHVWLV7KHSKDVHFRUUHFWLRQIDFWRULVSORWWHGLQ)LJ

P hase C orrection Factor vs. w e 180 160 140

T het

120 100 80 60 40 20 0 -30

-20

-10

0 w e (rad/sec)

10

20

30

)LJ3ORWRIWKHSKDVHFRUUHFWLRQIDFWRUYVDSSOLHGVWDWRUDQJXODUIUHTXHQF\DVGHWHUPLQHG IURP(TXDWLRQ 



7KHSKDVHFRUUHFWLRQFDQEHLPSOHPHQWHGYLDDYHFWRUURWDWLRQWKDWDGGVSKDVHODJWRWKH PHDVXUHGFRPSOH[VWDWRUIOX[OLQNDJHYHFWRU7KLVYHFWRUURWDWLRQLVLPSOHPHQWHGYLDWKHPDWUL[ PXOWLSO\VKRZQLQ IRUSRVLWLYHDSSOLHGVWDWRUDQJXODUIUHTXHQF\

OVGBHVW

FRV TZH

VLQTZH

O VGBPHDV

O VTBHVW

VLQTZH

FRV TZH

O VTBPHDV

 )RUQHJDWLYHDSSOLHGVWDWRUDQJXODUIUHTXHQF\WKHGDQGTFRPSRQHQWVRIWKHPHDVXUHGVWDWRU IOX[OLQNDJHDUHQHJDWHGEXWWKHPDWUL[PXOWLSO\VWD\VWKHVDPHDVVKRZQLQ 

OVGBHVW

FRVTZH

VLQTZ H

OVGBPHDV

OVTBHVW

VLQTZ H

FRVTZ H

OVTBPHDV

 )RUQHJDWLYHDSSOLHGVWDWRUDQJXODUIUHTXHQF\WKHSKDVHFRUUHFWLRQIDFWRUFDQEHH[SUHVVHGDV VKRZQLQ 

¨ Z H

a

H M °  ¨ Z H

ZH   

:KHUH a ¨ZH

_ WDQ   Z H _ 

° 

ZH   



)RUQHJDWLYHZHWKHYDOXHVOVGBPHDVDQGOVTBPHDVDUHQHJDWHGRUPXOWLSOLHGE\HMSWRFDQFHOWKH RIIVHWRISUDGLDQVq LQWKHSKDVHFRUUHFWLRQIDFWRUWKDWLVVKRZQLQ)LJIRUZH $OVRIRUQHJDWLYHZHWKHYHFWRUURWDWLRQZLOOEHLQWKHRSSRVLWHGLUHFWLRQIRUDQHWHTXLYDOHQW QHJDWLYHSKDVHFRUUHFWLRQIDFWRUZKLFKLVVKRZQWREHFRUUHFWEDVHGRQWKHYHFWRUGLDJUDP VKRZQLQ)LJIRUQHJDWLYHSKDVHURWDWLRQ

E

OTGV TZ H

T

D

 D  T

G

LTGV

F

)LJ,OOXVWUDWLRQRISKDVHHUURUDGYDQFLQJRIWKHPHDVXUHGVWDWRUIOX[OLQNDJHYHFWRUIRU QHJDWLYHSKDVHURWDWLRQ

,IWKHSKDVHFRUUHFWLRQLVSURSHUO\LPSOHPHQWHGWKHHVWLPDWHGVWDWRUIOX[OLQNDJHGDQGT FRPSRQHQWVREWDLQHGDIWHUSKDVHDQGJDLQFRUUHFWLRQZLOODOZD\VODJLQWLPHWKHPHDVXUHGVWDWRU IOX[OLQNDJHGDQGTFRPSRQHQWVIRUERWKSRVLWLYHDQGQHJDWLYHDSSOLHGVWDWRUDQJXODUIUHTXHQF\ 7KDWWKHHVWLPDWHGVWDWRUIOX[OLQNDJHVODJWKHPHDVXUHGVWDWRUIOX[OLQNDJHVZLOOEHVKRZQWREH WKHFDVHIRUWKHV\VWHPXQGHUWHVWLQWKHYHULILFDWLRQDQGPHDVXUHPHQWVVHFWLRQ



,PSOHPHQWDWLRQ,VVXHV 7KHVWDWRUIOX[OLQNDJHPHDVXUHPHQWFRPSHQVDWRUDVGHVFULEHGSUHYLRXVO\LVVKRZQLQ)LJ 

O



O

VGBPHDV

VGBHVW

*ZH ZH O

VTBPHDV

FRVTZ H

VLQTZH

VLQTZ H

FRVTZH

O

*ZH

VTBHVW



  Z H * Z H



 

¨ ZH

_ZH _

°  DWDQZH 

)LJ,OOXVWUDWLRQRILPSOHPHQWHGVWDWRUIOX[OLQNDJHFRPSHQVDWRU

7KH$&0&'63ZKLFKZDVXVHGIRUWKLVSURMHFWKDVEXLOWLQ520XWLOLWLHVIRU FRPSXWLQJVLQFRVDQGDWDQ>@7RXVHWKHVWDWRUIOX[OLQNDJHFRPSHQVDWRUWKHHVWLPDWHGRU PHDVXUHGVWDWRUDQJXODUIUHTXHQF\ZHPXVWDOVREHGHWHUPLQHG$VVXPLQJWKDWDVSHHGVHQVRU LVXVHGWKHVWDWRUDQJXODUIUHTXHQF\FDQEHFRPSXWHGDVVKRZQLQ 

ZH ZUZVOLSUDGVHF 



,Q ZULVWKHPHDVXUHGURWRUDQJXODUIUHTXHQF\DQGZVOLSLVWKHFRPPDQGHGVOLSDQJOHWKDW LVRXWSXWIURPWKHILHOGRULHQWHGFRQWUROOHUDVVKRZQLQ)LJ 2WKHUPHWKRGVIRUPHDVXULQJWKHDSSOLHGVWDWRUDQJXODUIUHTXHQF\ZLWKRXWGLUHFW PHDVXUHPHQWRIWKHURWRUVKDIWVSHHGKDYHEHHQUHVHDUFKHG>@:LWKWKHFRUUHFWHGVWDWRUIOX[ OLQNDJHVREWDLQHGWKHIHHGEDFNHOHFWURPDJQHWLFWRUTXHXVHGE\WKHWRUTXHUHJXODWRULVQRZ GHWHUPLQHGDVVKRZQLQ(TXDWLRQ 

7H

 ,P^LTGVOTGV

HVW` 

 O HVW  LVT O HVW  LVG  VG  VT  

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



OVT OVTHVWIRUZ HSRVLWLYHUDGVHF

OVG OVGHVWIRUZ HSRVLWLYHUDGVHF











O

O



VT

 VG



 

  





















WVHF









WVHF

)LJ6WDWRUIOX[OLQNDJHVIRUSRVLWLYHVWDWRUDQJXODUIUHTXHQF\7KHFRUUHFWHGIOX[OLQNDJH ODJV

O

O

O

VT  VT HVWIRUZHQHJDWLYHUDGVHF

O

VT

O

VG  VG HVWIRUZHQHJDWLYHUDGVHF











O  VG

 

 



 















WVHF













WVHF

)LJ6WDWRUIOX[OLQNDJHVIRUQHJDWLYHVWDWRUDQJXODUIUHTXHQF\7KHFRUUHFWHGIOX[OLQNDJH ODJV



&KDSWHU6XPPDU\DQG&RQFOXVLRQ

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



5()(5(1&(6 >@0(KVDQL.05DKPDQDQG+7ROL\DW¦3URSXOVLRQV\VWHPGHVLJQRIHOHFWULFDQG K\EULGYHKLFOH§,(((7UDQVRQ,QG(OHFWYROQR)HESS >@9+LPDPVKX3UDVDG'XVKDQ%RUR\HYLFKDQG6WHSKHQ'XERYVN\¦&RPSDULVRQRI KLJKIUHTXHQF\3:0DOJRULWKPVIRUDYROWDJHVRXUFHLQYHUWHU§3URF93(& $QQ0HHWSS >@'0%URGDQG':1RYRWQ\¦&XUUHQWFRQWURORI96,3:0LQYHUWHUV§LQ ,(((,$6$QQX0HHWSS >@5.ULVKQDQ$UDYLQG6%KDUDGZDM¦$UHYLHZRISDUDPHWHUVHQVLWLYLW\DQG DGDSWDWLRQLQLQGLUHFWYHFWRUFRQWUROOHGLQGXFWLRQPRWRUGULYHV\VWHPV§LQ,((( 7UDQVRQ3RZHU(OHFYROQR2FWSS >@.%1RUGLQ':1RYRWQ\'6=LQJHU¦7KHLQIOXHQFHRIPRWRUSDUDPHWHU GHYLDWLRQVLQIHHGIRUZDUGILHOGRULHQWDWLRQGULYHV\VWHPV§LQ,(((7UDQVRQ,QG $SSOYRO,$QR-XO\$XJSS >@5:'H'RQFNHU¦3DUDPHWHUVHQVLWLYLW\RILQGLUHFWXQLYHUVDOILHOGRULHQWHG FRQWUROOHUV§LQ,(((7UDQVRQ3RZHU(OHFYROQR-XO\SS >@;;X5'H'RQFNHUDQG':1RYRWQ\¦$VWDWRUIOX[RULHQWHGLQGXFWLRQPDFKLQH GULYH§LQ3(6&&RQI5HFSS >@;;X5'H'RQFNHUDQG':1RYRWQ\¦$VWDWRUIOX[RULHQWHGFRQWURORI LQGXFWLRQPDFKLQHVLQWKHILHOGZHDNHQLQJUHJLRQ§LQ,(((,$6&RQI5HF SS >@5:'H'RQFNHUDQG':1RYRWQ\¦7KHXQLYHUVDOILHOGRULHQWHGFRQWUROOHU§LQ ,(((7UDQV,QG$SSYRO-DQ)HESS >@7*+DEHWOHU)3URMXPR03DVWRUHOOL¦'LUHFWWRUTXHFRQWURORILQGXFWLRQ PDFKLQHVRYHUDZLGHVSHHGUDQJH§LQ,(((,$6&RQI5HFSS >@%.%RVH0*6LPRHV'5&UHFHOLXV.5DMDVKHNDUDDQG50DUWLQ¦6SHHG VHQVRUOHVVK\EULGYHFWRUFRQWUROOHGLQGXFWLRQPRWRUGULYH§LQ&RQI5HF,(((,$6 $QQX0WJSS >@%.%RVHDQG1LWLQ53DWHO¦$SURJUDPPDEOHFDVFDGHGORZSDVVILOWHUEDVHGIOX[ V\QWKHVLVIRUDVWDWRUIOX[RULHQWHGYHFWRUFRQWUROOHGLQGXFWLRQPRWRUGULYH§LQ,((( 7UDQVRQ,QG(OHFWYROQR)HESS >@75RZDQDQG5.HUNPDQ¦$QHZV\QFKURQRXVFXUUHQWUHJXODWRUDQGDQDQDO\VLVRI FXUUHQWUHJXODWHG3:0LQYHUWHUV§LQ,(((7UDQV,QG$SSOYRO,$QR -XO\$XJSS >@':1RYRWQ\DQG7$/LSR9HFWRU&RQWURODQG'\QDPLFVRI$&'ULYHV2[IRUG 8QLYHUVLW\3UHVV >@+9DQ'HU%URHFN+6NXGHOQ\DQG*6WDQNH¦$QDO\VLVDQGUHDOL]DWLRQRID SXOVHZLGWKPRGXODWRUEDVHGRQYROWDJHVSDFHYHFWRUV§LQ,(((,$6&RQI5HF SS >@9LFWRU56WHIDQRYLFDQG6ORERGDQ19XNRVDYLF¦6SDFHYHFWRU3:0YROWDJH FRQWUROZLWKRSWLPL]HGVZLWFKLQJVWUDWHJ\§LQ,(((,$6$QQ0HHWSS  

>@62JDVDZDUD+$NDJLDQG$1DEDH¦$QRYHO3:0VKHPHRIYROWDJHVRXUFH LQYHUWHUVEDVHGRQVSDFHYHFWRUWKHRU\§LQ(XURSHDQ3RZHU(OHFWURQLFV&RQI5HF SS >@9+LPDPVKX3UDVDG'XVKDQ%RUR\HYLFKDQG5LFKDUG=KDQJ¦$QDO\VLVDQG FRPSDULVRQRIVSDFHYHFWRUPRGXODWLRQVKHPHVIRUDIRXUOHJYROWDJHVRXUFH LQYHUWHU§LQ&RQI5HFRI,((($3(&SS >@$KPHW0+DYD5XVVHO-.HUNPDQDQG7KRPDV$/LSR¦&DUULHUEDVHG3:0 96,RYHUPRGXODWLRQVWUDWHJLHVDQDO\VLVFRPSDULVRQDQGGHVLJQ§LQ,(((7UDQVRQ 3RZHU(OHFYROQR-XO\SS >@-+ROW]¦3XOVHZLGWKPRGXODWLRQ¤DVXUYH\§LQ,(((7UDQVRQ,QG(OHFYRO QR2FWSS >@6%RORJQDQL0=LJOLRWWR¦1RYHOGLJLWDOFRQWLQXRVFRQWURORI690LQYHUWHUVLQWKH RYHUPRGXODWLRQUDQJH§LQ,((($3(&&RQI5HFSS >@.05DKPDQ05H]ZDQ.KDQ0D&KRXGKXU\DQG0$5DKPDQ¦9DULDEOH EDQGK\VWHUHVLVFXUUHQWFRQWUROOHUVIRU3:0YROWDJHVRXUFHLQYHUWHUV§LQ,((( 7UDQVRQ3RZHU(OHFYROQR1RYSS >@'.DWVLV0+HUZDOG-DH@(.OLQJVKLUQDQG+(-RUGDQ¦3RO\SKDVHLQGXFWLRQPRWRUSHUIRUPDQFHDQGORVVHV RQQRQVLQXVRLGDOYROWDJHVRXUFHV§,(((7UDQVRQ3RZHU$SSDUDWXVDQG6\VWHPV YRO3$60DUSS >@%-&KDOPHUV%56DUNDU¦,QGXFWLRQPRWRUORVVHVGXHWRQRQVLQXVRLGDOVXSSO\§ 3URF,((YROQRSS >@)'H%XFN3*LVWHOLQFNDQG''H%DFNHU¦$VLPSOHEXWUHOLDEOHORVVPRGHOIRU LQYHUWHUVXSSOLHGLQGXFWLRQPRWRUV§,(((7UDQVRQ,QG$SSO-DQ)HESS  >@7RUH08QGHODQGDQG1HG0RKDQ¦2YHUPRGXODWLRQDQGORVVFRQVLGHUDWLRQVLQ KLJKIUHTXHQF\PRGXODWHGWUDQVLVWRUL]HGLQGXFWLRQPRWRUGULYHV§,(((7UDQVRQ 3RZHU(OHFYROQR2FWSS >@..DZDJLVKL08GDNDDQG0$NDPDWVX¦)UHTXHQF\GHSHQGHQF\RILQGXFWLRQ PRWRUSDUDPHWHUVDQGWKHLUPHDVXULQJPHWKRG§LQ-,((,3(&7RN\R-DSDQ SS >@06RNROD99XFNRYLFDQG(/HYL¦,URQORVVHVLQFXUUHQWFRQWUROOHG3:0 LQYHUWHUIHGLQGXFWLRQPDFKLQHV§LQ5HFRUGVRIWK0HGLWHUUDQHDQ(OHFWURWHFKQLFDO &RQIHUHQFHSS >@$%RJOLHWWL¦3:0LQYHUWHUIHGLQGXFWLRQPRWRUVORVVHVHYDOXDWLRQ§LQ(OHFWULF 0DFKLQHVDQG3RZHU6\VWHPVYROQR0D\-XQHSS >@$%RJOLHWWL3)HUUDULV0/D]]DULDQG)3URIXPR¦,URQORVVHVLQPDJQHWLF PDWHULDOVZLWKVL[VWLSDQG3:0LQYHUWHUVXSSO\§LQ,(((7UDQVRQ0DJQHWLFVYRO QR1RYSS >@'.DWVLV'HYHORSPHQWRID7HVWEHGIRU(YDOXDWLRQRI(OHFWULF9HKLFOH'ULYH 3HUIRUPDQFH067KHVLV9LUJLQLD3RO\WHFKQLF,QVWLWXWHDQG6WDWH8QLYHUVLW\ %ODFNVEXUJ9$$XJXVW >@5:%RRWKH¦(9&RQWURO'LFWLRQDU\§*HQHUDO(OHFWULF'ULYH6\VWHPV6DOHP 9$



>@¦$'0&'630RWRU&RQWUROOHU'HYHORSHU©V5HIHUHQFH0DQXDO§$QDORJ 'HYLFHV,QF >@¦$'63¤)DPLO\8VHU©V0DQXDO§$QDORJ'HYLFHV,QF >@6DQMLW.0LWUD'LJLWDOVLJQDOSURFHVVLQJDFRPSXWHUEDVHGDSSURDFK1HZ@0+HUZDOG-DH@/%DJKOL+5D]LN$5H]]RXJ¦$VWDWRUIOX[RULHQWHGGULYHIRUDQLQGXFWLRQPRWRUZLWK H[WUDDOSKDEHWD FRLOV§LQ&RQI5HFRI,(((,(&21YROSS >@@&KHH0XQ2QJ'\QDPLF6LPXODWLRQRI(OHFWULF0DFKLQHU\3UHQWLFH+DOO >@5DPHVK9.DQHNDO0RGHOLQJ6LPXODWLRQDQG$QDO\VLVRIDQ,QGLUHFW9HFWRU&RQWUROOHG ,QGXFWLRQ0RWRU'ULYH067KHVLV9LUJLQLD3RO\WHFKQLF,QVWLWXWHDQG6WDWH8QLYHUVLW\ %ODFNVEXUJ9$ >@9DV3HWHU6HQVRUOHVV9HFWRUDQG'LUHFW7RUTXH&RQWURO1HZ@0RWRUROD¦0+&/LWHUDWXUH§KWWSZZZPFXPRWVSVFRPOLWKFKWPO >@.UDXVH3DXO&$QDO\VLVRI(OHFWULF0DFKLQHU\1HZ@.D]PLHUNRZVNL0DULDQ3']LHQLDNRZVNL0DFLHM$¦5HYLHZRI&XUUHQW5HJXODWLRQ 7HFKQLTXHVIRU7KUHH3KDVH3:0,QYHUWHUV§LQ&RQI5HFRI,(((,(&21SS  >@+HZOHWW3DFNDUG:HE6LWH¦+39((+RPH§ KWWSZZZWPRKSFRPWPRSLD+39((3,$7RS(QJOLVK >@=RUDQ0LKDLORYLF+LPDPVKX93UDVDGDQG'XVKDQ%RUR\HYLFK¦&RPSXWHU0RGHOLQJDQG $QDO\VLVRI96,)HG3HUPDQHQW0DJQHW6\QFKURQRXV0RWRU'ULYH6\VWHPVZLWK$GMXVWDEOH /HYHOVRI&RPSOH[LW\§LQ&RQI5HFRI,((($3(&SS



$33(1',;

$SSHQGL[$9HKLFOH3DUDPHWHUVIRUD0LG6L]H(97UXFN

P U *5 &5 &5 $ &'

NJ P    P 



$SSHQGL[%'ULYH3URILOH6LPXODWLRQ'LDJUDP

PJ&5 ‡ NP

Y KU



Y

P V +]

‡

PJ&5 YUHI

‡



&$ YUHI

‡ ‡



‡ ‡

]

 

3URW >Q@



‡ ‡

 



6KDIW(QHUJ\ N:KU

‡ H

]

P 

*5 U

1 '

y

‡

 S

W URWRU >Q@ USP URW >Q@

)LJ%'LDJUDPWKDWVKRZVWKHPHWKRGXVHGWRGHWHUPLQHWKHVKDIWHQHUJ\RIWKH,0RYHUD JLYHQYHORFLW\SURILOH



$SSHQGL[&)ORZ&KDUWIRU4EDVLF'ULYH3URILOH*HQHUDWLRQ3URJUDP 67$57

,QLWLDOL]HRSHUDWLQJ V\VWHPFOHDUVFUHHQ VHWFRQVWDQWV

'LVSOD\0DLQ0HQX

1

9DOLG 8VHU(QWU\" 1

< &RQILJXUH 9HKLFOH"

<

6HOHFWPU*5&5 &5DQG&'

9DOLG 6HOHFWLRQV"

<

1 1

&KRRVH 3URILOH"

6HOHFW)8'6RU +:)(7SURILOH

9DOLG 6HOHFWLRQ"

<

<

1

&UHDWH&RPPDQG 'DWD)LOH"

<

*HQHUDWH&RPPDQG'DWD )LOHXVLQJWKHHTXDWLRQVIRU G\QDPRPHWHUVKDIWWRUTXH DQGVSHHGZLWKWKHVHOHFWHG YHKLFOHSDUDPHWHUVDQGSURILOH

6WRUH&RPPDQG'DWD )LOHWRXVHUVXSSOLHG ILOHQDPH

1 5HWXUQSURJUDP FRQWUROWRWKH RSHUDWLQJV\VWHP

(1'

)LJ&)ORZ&KDUWIRU4EDVLF'ULYH3URILOH*HQHUDWLRQ3URJUDP



$SSHQGL['+HDGHU)LOHIRU,QGXFWLRQ0RWRU0RGHO 











































$XWKRU0DUF+HUZDOG 'DWH6SULQJ



7KLVLVWKHGHILQLWLRQDQGVRXUFHOLVWLQJIRUWKHLQGXFWLRQPRWRUPRGHO7KHPDLQSXEOLF

IXQFWLRQLQWHUIDFHLVFDOOHGFRPSBQH[WBVWDWH























































PRWRUK LIQGHIBBPRWRUBK GHILQHBBPRWRUBK FODVV0RWRU^SXEOLF &RQVWUXFWRUIXQFWLRQSURWRW\SH 0RWRUGRXEOHB5V   GRXEOHB5U   GRXEOHB/P   GRXEOHB/V   GRXEOHB/U   GRXEOHB-   GRXEOHB%   GRXEOHB3   3XEOLFLQWHUIDFHIXQFWLRQSURWRW\SH YRLGFRPSBQH[WBVWDWHFRQVWGRXEOH BYTVFRQVWGRXEOH BYGV GRXEOHB7OGRXEOHBZH  $FFHVVIXQFWLRQVIRUSULYDWHGDWDPHPEHUV GRXEOH ZU ^UHWXUQ[>@` FRQVWGRXEOH LTV ^UHWXUQ[>@` FRQVWGRXEOH LGV ^UHWXUQ[>@` FRQVWGRXEOH ODPGDTU ^UHWXUQODPTU` FRQVWGRXEOH ODPGDGU ^UHWXUQODPGU` FRQVWGRXEOH ODPGDTV ^UHWXUQODPTV` FRQVWGRXEOH ODPGDGV ^UHWXUQODPGV` FRQVWGRXEOH 7H ^UHWXUQ7HP` 

3ULYDWHIXQFWLRQDQGGDWDPHPEHUGHILQLWLRQV SULYDWH YRLGFRPSBVWDWHBGHULYVGRXEOHV>@  YRLGFDOF'HO  YRLGFDOF7HGRXEOHV>@  GRXEOH5V5U/P/V/U-3'HOK7HP7O% GRXEOHYTVYGV GRXEOH[>@ GRXEOH[GRW>@ GRXEOHV>@ GRXEOH.>@>@ GRXEOHODPTUODPGUODPTVODPGV GRXEOHZHN ` HQGLI 7KHVWDWHYHFWRU[LVGHILQHGDVIROORZV  [ LTV LGV LTU LGU ZU 



$SSHQGL[(6RXUFH)LOHIRU,QGXFWLRQ0RWRU0RGHO PRWRUFSS LQFOXGHPRWRUK LQFOXGHPDWKK! 0RWRU0RWRUGRXEOHB5VFRQVWUXFWRUIXQFWLRQ GRXEOHB5U GRXEOHB/P GRXEOHB/V GRXEOHB/U GRXEOHB- GRXEOHB% GRXEOHB3 5VB5V 5UB5U /PB/P /VB/V  /UB/U  -B- %B% 3B3 ^FDOF'HO  K H IRULQWFQW FQWFQW ^[>FQW@ `,QLWLDOL]HEHJLQQLQJVWDWHYHFWRU FDOF7H[  ` LQOLQHYRLG0RWRUFDOF'HO ^ 'HO /V /U/P /P ` LQOLQHYRLG0RWRUFDOF7HGRXEOHV>@ ^ 7HP  3 /P V>@ V>@V>@ V>@ ` 3XEOLFLQWHUIDFHIXQFWLRQ  YRLG0RWRUFRPSBQH[WBVWDWHFRQVWGRXEOH BYTVFRQVWGRXEOH BYGV GRXEOHB7OGRXEOHBZH ^ LQWFQW $VVLJQYDOXHVWRSULYDWHGDWDPHPEHUV YTV BYTV YGV BYGV 7O B7O ZH BZH &RPSXWHQH[WVWDWH6HH&KDSWHU 

FRPSBVWDWHBGHULYV[  IRUFQW FQWFQW .>@>FQW@ [GRW>FQW@ IRUFQW FQWFQW V>FQW@ [>FQW@.>@>FQW@ K FRPSBVWDWHBGHULYVV  IRUFQW FQWFQW .>@>FQW@ [GRW>FQW@ IRUFQW FQWFQW V>FQW@ [>FQW@.>@>FQW@ K FRPSBVWDWHBGHULYVV  IRUFQW FQWFQW .>@>FQW@ [GRW>FQW@ IRUFQW FQWFQW V>FQW@ [>FQW@.>@>FQW@ K FRPSBVWDWHBGHULYVV  IRUFQW FQWFQW .>@>FQW@ [GRW>FQW@ IRUFQW FQWFQW

[>FQW@ K .>@>FQW@ .>@>FQW@ .>@>FQW@ .>@>FQW@ 

FDOF7H[ 

&RPSXWHURWRUDQGVWDWRUIOX[OLQNDJHFRPSRQHQWV ODPTU /P [>@[>@ /U/P [>@ ODPGU /P [>@[>@ /U/P [>@ ODPTV /V [>@/P [>@ ODPGV /V [>@/P [>@ ` YRLG0RWRUFRPSBVWDWHBGHULYVGRXEOHV>@ ^  N IRUVWDWLRQDU\UHIHUHQFHIUDPH N ZH /V /U/P /P IRUV\QFKURQRXVUHIHUHQFHIUDPH  N ZH /V /U/P /P  N  [GRW>@ 'HO 5V /U V>@NV>@ /P /P V>@5U /P V>@V>@ /U /P V>@ /U YTV  [GRW>@ 'HO NV>@ /P /P V>@5V /U V>@V>@ /U /P V>@5U /P V>@ /U YGV  [GRW>@ 'HO 5V /P V>@V>@ /P /V V>@5U /V V>@N V>@ /U /V V>@/P YTV  [GRW>@ 'HO V>@ /P /V V>@5V /P V>@ NV>@ /U /V V>@5U /V V>@/P YGV  [GRW>@ 3  3 /P V>@ V>@V>@ V>@ 7O -%- V>@ [GRW>@ 



`



$SSHQGL[)+HDGHU)LOHIRU+\VWHUHVLV&XUUHQW&RQWUROOHU0RGHO













































$XWKRU0DUF+HUZDOG 'DWH6SULQJ



7KLVLVWKHGHILQLWLRQDQGVRXUFHOLVWLQJIRUWKHK\VWHUHVLVFXUUHQWFRQWUROOHU7KHPDLQSXEOLF

IXQFWLRQLQWHUIDFHLVFDOOHGFRPSBSKDVHBYROW























































PRGK\VWK LIQGHIBBPRGK\VWBK GHILQHBBPRGK\VWBK &RQVWUXFWRUIXQFWLRQSURWRW\SH FODVV0RG+\VW^SXEOLF 0RG+\VWGRXEOHBLK\VW GRXEOHBYGF   3XEOLFLQWHUIDFHIXQFWLRQSURWRW\SH YRLGFRPSBSKDVHBYROWGRXEOHBLVFRPPGRXEOHBWKHWDVFRQVW GRXEOH BLTVFRQVWGRXEOH BLGV  )XQFWLRQVXVHGWRDFFHVVWKHSULYDWHGDWDPHPEHUV FRQVWGRXEOH YTV ^UHWXUQYBTV` FRQVWGRXEOH YGV ^UHWXUQYBGV` SULYDWH YRLGFRPSBLQYHUWBSKDVHBYROWV  GRXEOHLK\VWYGFLDVFRPPLEVFRPPLFVFRPPYDQYEQYFQ YQ GRXEOHYBTVYBGVLDVLEVLFVYDVYEVYFV GRXEOHLDVBHUULEVBHUULFVBHUU ` HQGLI



$SSHQGL[*6RXUFH)LOHIRU+\VWHUHVLV&XUUHQW&RQWUROOHU0RGHO PRGK\VWFSS LQFOXGHPRGK\VWK LQFOXGHPDWKK! FRQVWGRXEOHSL  0RG+\VW0RG+\VWGRXEOHBLK\VWFRQVWUXFWRUIXQFWLRQ GRXEOHBYGF LK\VWBLK\VW YGFBYGF ^`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



&RPSXWHVWDWRUSKDVHYROWDJHV YQ YDQYEQYFQ  YDV YDQYQ YEV YEQYQ YFV YFQYQ $VVLJQWKHILQDOYTVDQGYGVRXWSXWV YBTV YDV YBGV YFVYEV VTUW  `



$SSHQGL[++HDGHU)LOHIRU690&RQWUROOHU0RGHO 











































$XWKRU0DUF+HUZDOG 'DWH6SULQJ



7KLVLVWKHGHILQLWLRQDQGVRXUFHOLVWLQJIRU6907KHPDLQSXEOLFIXQFWLRQLQWHUIDFH

LVFDOOHGFRPSBSKDVHBYROW























































PRGVYPK LIQGHIBBPRGVYPBK GHILQHBBPRGVYPBK FODVV0RG690^SXEOLF &RQVWUXFWRUIXQFWLRQSURWRW\SH 0RG690GRXEOHBYGF LQWB7V   3XEOLFLQWHUIDFHIXQFWLRQSURWRW\SH

YRLGFRPSBSKDVHBYROWFRQVWGRXEOH BGGFRQVWGRXEOH BGTFRQVWGRXEOH BLTV FRQVWGRXEOH BLGVFRQVWGRXEOH BWKHWDV 

)XQFWLRQVXVHGWRDFFHVVSULYDWHGDWDPHPEHUV FRQVWGRXEOH YTV ^UHWXUQYBTV` FRQVWGRXEOH YGV ^UHWXUQYBGV` FRQVWGRXEOH *HWYDV ^UHWXUQYDV` FRQVWGRXEOH *HWYEV ^UHWXUQYEV` FRQVWGRXEOH *HWYFV ^UHWXUQYFV` FRQVWGRXEOH *HWGD ^UHWXUQGD` FRQVWGRXEOH *HWGE ^UHWXUQGE` FRQVWGRXEOH *HWGF ^UHWXUQGF` FRQVWGRXEOH *HWG ^UHWXUQG` FRQVWGRXEOH *HWG ^UHWXUQG` FRQVWGRXEOH *HWG ^UHWXUQG` FRQVWGRXEOH *HWGEHWD ^UHWXUQGEHWD` FRQVWLQW *HWYVHFW ^UHWXUQYBVHFWRU` FRQVWLQW *HWLVHFW ^UHWXUQLBVHFWRU` FRQVWLQW *HW]HURYHFW ^UHWXUQ]HURBYHFW` LQW 6HW7V ^UHWXUQ7V`



LQW 6HW3' ^UHWXUQ3'` LQW 6HW]HURYHFW ^UHWXUQ]HURYHFWBVHO` GRXEOH 6HW9GF ^UHWXUQYGF` 3ULYDWHIXQFWLRQSURWRW\SHVDQGGDWDPHPEHUV SULYDWH YRLGFRPSBYVHFW  YRLGFRPSBGXW\BF\FOHV  YRLGFRPSB]HURYHFWBGLUHFWBGLUHFW  YRLGFRPSB]HURYHFWBRSWLPDO  YRLGFRPSB]HURYHFWBDOWHUQDWLQJ  YRLGFRPSBLBVHFWRU  YRLGFRPSBGDGEGF  YRLGFRPSBFHQWHUBEDVHGBSZP  YRLGFRPSBHGJHBEDVHGBSZP  YRLGFRPSBYTVBYGV  GRXEOHYGFGDOSKDGEHWDGGG GRXEOHGDGEGFYDQYEQYFQYDVYEVYFV GRXEOHLDVLEVLFV GRXEOHYBTVYBGV GRXEOHWKHWDV LQWWLPHBFWUDBELJEBELJFBELJYBVHFWRULBVHFWRU ]HURBYHFW 7V3' LQWVSDFLQJBVHO]HURYHFWBVHO ` HQGLI



$SSHQGL[,6RXUFH)LOHIRU690&RQWUROOHU0RGHO PRGVYPFSS LQFOXGHPRGVYPK LQFOXGHPDWKK! FRQVWGRXEOHSL  0RG6900RG690GRXEOHBYGFLQWB7V YGFBYGF 7VB7V ^WLPHBFWU ]HURBYHFW 3' `FRQVWUXFWRUIXQFWLRQ SXEOLFIXQFWLRQLQWHUIDFH

YRLG0RG690FRPSBSKDVHBYROWFRQVWGRXEOH GTFRQVWGRXEOH GGFRQVW GRXEOH LTVFRQVWGRXEOH LGVFRQVWGRXEOH BWKHWDV

^ WKHWDV BWKHWDV LIWLPHBFWU

 ^

$VVLJQSKDVHFXUUHQWV  LDV LTV LEV  LTVVTUW  LGV LFV  LTVVTUW  LGV FRPSXWHUHIHUHQFHYHFWRUGXW\F\FOHVLQVWDWLRQDU\ IUDPH GDOSKD GG FRVWKHWDV GT VLQWKHWDV  GEHWD GG VLQWKHWDV GT FRVWKHWDV  FRPSBYVHFW 'HWHUPLQHORFDWLRQRIUHIHUHQFH YHFWRU FRPSBGXW\BF\FOHV )LQGGGDQGG FRPSBLBVHFWRU 'HWHUPLQHZKHUHFXUUHQWLV 6HOHFWW\SHRI]HURYHFWRUVHOHFWLRQEDVHGRQVHWWLQJRI ]HURYHFWBVHO VZLWFK]HURYHFWBVHO ^ FDVH FRPSB]HURYHFWBGLUHFWBGLUHFW ]HURYHFWRUGHSHQGV RQ EUHDNWKHYROWDJHVHFWRU FDVH FRPSB]HURYHFWBRSWLPDO 2SWLPDO]HURYHFWRU



EUHDNVHOHFWLRQ6HH&KDS  FDVH FRPSB]HURYHFWBDOWHUQDWLQJ ]HURYHFWRU DOWHUQDWLQJ EUHDN GHIDXOW FRPSB]HURYHFWBGLUHFWBGLUHFW  ` FRPSBGDGEGF &RPSXWHLQYHUWHUGXW\F\FOHV ` FRPSBFHQWHUBEDVHGBSZP &RPSXWH,0YROWDJHZDYHIRUPV FRPSBYTVBYGV )LQGVWDWRUSKDVHYROWDJHV WLPHBFWU LIWLPHBFWU 7V WLPHBFWU  `

YRLG0RG690FRPSBYVHFW ^ LIGDOSKD GEHWD! ^ LIVTUW IDEVGDOSKD !IDEVGEHWD ^ LIGEHWD! YBVHFWRU  HOVH YBVHFWRU  ` HOVH ^ LIGEHWD!  YBVHFWRU   HOVH  YBVHFWRU  ` ` HOVH ^ LIVTUW IDEVGDOSKD !IDEVGEHWD ^ LIGEHWD! YBVHFWRU  HOVH 

YBVHFWRU  ` HOVH ^ LIGEHWD!  YBVHFWRU   HOVH  YBVHFWRU  ` ` UHWXUQ `  7KLVIXQFWLRQFRPSXWHVWKHGGDQGGGXW\F\FOHVDV GHVFULEHGLQ&KDSWHUZKHUHDFKDQJHRI%DVLVGHILQLWLRQZDV VKRZQ  YRLG0RG690FRPSBGXW\BF\FOHV ^ LIYBVHFWRU  ^ G IORDW GDOSKDGEHWD VTUW  G IORDW GEHWD VTUW  G GG LIG G  ` LIYBVHFWRU  ^ G IORDW GDOSKDGEHWD VTUW  G IORDW GDOSKDGEHWD VTUW  G GG LIG G  ` LIYBVHFWRU  ^ G IORDW GEHWD VTUW  G IORDW GDOSKDGEHWD VTUW  G GG LIG G  ` LIYBVHFWRU  

^ G IORDW GDOSKDGEHWD VTUW  G IORDW GEHWD VTUW  G GG LIG G  ` LIYBVHFWRU  ^ G IORDW GDOSKDGEHWD VTUW  G IORDW GDOSKDGEHWD VTUW  G GG LIG G  ` LIYBVHFWRU  ^ G IORDW GEHWD VTUW  G IORDW GDOSKDGEHWD VTUW  G GG LIG G  ` UHWXUQ ` 



















=HUR 9HFWRU















 YRLG0RG690FRPSB]HURYHFWBDOWHUQDWLQJ ^ LI]HURBYHFW  ^ ]HURBYHFW  UHWXUQ` ]HURBYHFW  UHWXUQ ` YRLG0RG690FRPSB]HURYHFWBGLUHFWBGLUHFW ^ LIYBVHFWRU  ]HURBYHFW  LIYBVHFWRU  ]HURBYHFW  LIYBVHFWRU  

]HURBYHFW LIYBVHFWRU ]HURBYHFW LIYBVHFWRU ]HURBYHFW LIYBVHFWRU ]HURBYHFW

      

UHWXUQ ` YRLG0RG690FRPSBLBVHFWRU ^ LILDV LEV!  3KDVHFFXUUHQWLVODUJHVW  ^ LILFV ^ LIIDEVLEV IDEVLDV !  LBVHFWRU  HOVH LBVHFWRU  ` LILFV!  ^ LIIDEVLEV IDEVLDV !  LBVHFWRU  HOVH LBVHFWRU  ` DBELJ  EBELJ  FBELJ  UHWXUQ ` LIIDEVLDV !IDEVLEV ^ LILDV ^ LIIDEVLFV IDEVLEV !  LBVHFWRU  HOVH LBVHFWRU  ` LILDV!  ^ LIIDEVLFV IDEVLEV !  

HOVH ` DBELJ  EBELJ  FBELJ  UHWXUQ `

`

LBVHFWRU  LBVHFWRU 

LIIDEVLEV ! IDEVLDV ^ LILEV ^ LIIDEVLDV IDEVLFV !  LBVHFWRU  HOVH LBVHFWRU  ` LILEV!  ^ LIIDEVLDV IDEVLFV !  LBVHFWRU  HOVH LBVHFWRU  ` DBELJ  EBELJ  FBELJ  UHWXUQ `

&RPSXWHRSWLPDO]HURYHFWRUEDVHGRQWKHVHFWRU\RXDUHLQDQG ZKLFKFXUUHQWLVODUJHVW YRLG0RG690FRPSB]HURYHFWBRSWLPDO ^ LIYBVHFWRU  ^ LIDBELJ  ]HURBYHFW  HOVHLIEBELJ  LDV!LFV ]HURBYHFW  HOVHLIFBELJ  ]HURBYHFW  

`

HOVH ]HURBYHFW 

LIYBVHFWRU  ^ LIDBELJ  LEV!LFV ]HURBYHFW  HOVHLIEBELJ  ]HURBYHFW  HOVHLIFBELJ  ]HURBYHFW  HOVH ]HURBYHFW  ` LIYBVHFWRU  ^ LIDBELJ  ]HURBYHFW  HOVHLIEBELJ  ]HURBYHFW  HOVHLIFBELJ  LDV!LEV ]HURBYHFW  HOVH ]HURBYHFW  ` LIYBVHFWRU  ^ LIDBELJ  ]HURBYHFW  HOVHLIEBELJ  LDV!LFV ]HURBYHFW  HOVHLIFBELJ  ]HURBYHFW  HOVH ]HURBYHFW  ` LIYBVHFWRU  ^ LIDBELJ  LEV!LFV ]HURBYHFW  HOVHLIEBELJ  ]HURBYHFW  HOVHLIFBELJ  

]HURBYHFW 

`

HOVH ]HURBYHFW 

LIYBVHFWRU  ^ LIDBELJ  ]HURBYHFW  HOVHLIEBELJ  ]HURBYHFW  HOVHLIFBELJ  LDV!LEV ]HURBYHFW  HOVH ]HURBYHFW  ` UHWXUQ ` 











































 )LQG,*%7JDWLQJGXW\F\FOHV6HH&KDSWHU YRLG0RG690FRPSBGDGEGF ^ LIYBVHFWRU  ^ LI]HURBYHFW  ^ GD GG GE G GF  ` HOVH ^ GD  GE GG GF G ` ` LIYBVHFWRU  ^ LI]HURBYHFW  ^ 

GD G GE GG GF  ` HOVH ^ GD GG GE  GF G ` ` LIYBVHFWRU  ^ LI]HURBYHFW  ^ GD  GE GG GF G ` HOVH ^ GD G GE  GF GG ` ` LIYBVHFWRU  ^ LI]HURBYHFW  ^ GD  GE G GF GG ` HOVH ^ GD G GE GG GF  ` ` LIYBVHFWRU  ^ LI]HURBYHFW  ^ GD G GE  

GF GG ` HOVH ^ GD GG GE G GF  ` ` LIYBVHFWRU  ^ LI]HURBYHFW  ^ GD GG GE  GF G ` HOVH ^ GD  GE G GF GG ` ` UHWXUQ `

YRLG0RG690FRPSBFHQWHUBEDVHGBSZP ^ (GJH%DVHGSZP  LIWLPHBFWULQW  GD YDQ YGF HOVH YDQ  LIWLPHBFWULQW  GE YEQ YGF HOVH YEQ  LIWLPHBFWULQW  GF YFQ YGF HOVH 

YFQ  















































7KHIROORZLQJDOJRULWKPZDVLQYHQWHGWRVLPXODWHWKHYROWDJH

 SXOVHVSDFLQJVIRUFHQWHUEDVHG3:07KHUHVROXWLRQLV XV













































 LIWLPHBFWU7V ^ LIWLPHBFWULQW 7V GD  YDQ  HOVH YDQ YGF LIWLPHBFWULQW 7V GE  YEQ  HOVH YEQ YGF LIWLPHBFWULQW 7V GF  YFQ  HOVH YFQ YGF ` HOVH ^ LIWLPHBFWU7V LQW 7V GD YDQ YGF HOVH YDQ  LIWLPHBFWU7V LQW 7V GE 

YEQ YGF HOVH YEQ  LIWLPHBFWU7V LQW 7V GF YFQ YGF HOVH YFQ  ` 3XOVH'HOHWLRQ/RJLF LI7V GD3' YDQ  LI7V GD!7V3' YDQ YGF LI7V GE3' YEQ  LI7V GE!7V3' YEQ YGF LI7V GF3' YFQ  LI7V GF!7V3' YFQ YGF UHWXUQ `

YRLG0RG690FRPSBYTVBYGV ^ YDV  YDQYEQYFQ  YEV  YEQYDQYFQ  YFV  YFQYDQYEQ  YBTV VTUW YEVYFV  YBGV  YDV YEV YFV  UHWXUQ `



$SSHQGL[-+HDGHU)LOHIRUGT&XUUHQW5HJXODWRU0RGHO 











































$XWKRU0DUF+HUZDOG 'DWH6SULQJ



7KLVLVWKHGHILQLWLRQDQGVRXUFHOLVWLQJIRUWKHGTFXUUHQWUHJXODWRUV7KHPDLQSXEOLF

IXQFWLRQLQWHUIDFHLVFDOOHGFRPSBGXW\BF\FOHV























































FXUUHJK LIQGHIBBFXUUHJBK GHILQHBBFXUUHJBK FODVV&XU5HJ^SXEOLF &RQVWUXFWRUIXQFWLRQSURWRW\SH &XU5HJGRXEOHB.S GHIDXOWSURSRUWLRQDOJDLQ GRXEOHB.L GHIDXOWLQWHJUDOJDLQ  GRXEOHB5V  GHIDXOWVWDWRUUHVLVWDQFH 3XEOLFLQWHUIDFHIXQFWLRQSURWRW\SH YRLGFRPSBGXW\BF\FOHVFRQVWGRXEOH BLVTBFRPPFRQVWGRXEOH BLVGBFRPP FRQVWGRXEOH BLVTFRQVWGRXEOH BLVGFRQVW GRXEOH BWKHWDV  )XQFWLRQVXVHGWRDFFHVVSULYDWHGDWDPHPEHUV FRQVWGRXEOH GT ^UHWXUQXVT` FRQVWGRXEOH GG ^UHWXUQXVG` FRQVWGRXEOH *HWLTV ^UHWXUQLTV` FRQVWGRXEOH *HWLGV ^UHWXUQLGV` SULYDWH GRXEOH.S.L5VK GRXEOHXVTXVG GRXEOHLTVBLWHUPLTVBLWHUPBROGXVTBXF GRXEOHLGVBLWHUPLGVBLWHUPBROGXVGBXF GRXEOHLTVBHUULGVBHUU GRXEOHLTVLGV `



HQGLI



$SSHQGL[.6RXUFH)LOHIRUGT&XUUHQW5HJXODWRU0RGHO FXUUHJFSS LQFOXGHFXUUHJK LQFOXGHPDWKK! FRQVWGRXEOHSL  &RQVWUXFWRU)XQFWLRQ &XU5HJ&XU5HJGRXEOHB.S GRXEOHB.L GRXEOHB5V .SB.S .LB.L 5VB5V 'RWKHLQLWLDOL]DWLRQVUHTXLUHGIRUZKHQDQREMHFWLVEXLOW ^LTVBLWHUPBROG 5HVHWTLQWHJUDWRU LGVBLWHUPBROG 5HVHWGLQWHJUDWRU K H`6HWVWHSVL]H SXEOLFIXQFWLRQLQWHUIDFH

YRLG&XU5HJFRPSBGXW\BF\FOHVFRQVWGRXEOH LTVFRPPFRQVWGRXEOH LGVFRPP FRQVW GRXEOH BLTVFRQVWGRXEOH BLGVFRQVWGRXEOH WKHWDV

^

:KHQ,0LQVWDWLRQDU\IUDPHFRQYHUWFXUUHQWVWRV\QFKURQRXV IUDPH LGV BLGV FRVWKHWDV BLTV VLQWKHWDV  LTV BLGV VLQWKHWDV BLTV FRVWKHWDV  :KHQ,0LQV\QFKURQRXVIUDPHOHDYHFXUUHQWVDVWKH\DUH  LGV BLGV LTV BLTV  &RPSXWHWKHFXUUHQWHUURUV LTVBHUU LTVFRPPLTV LGVBHUU LGVFRPPLGV 'HWHUPLQHTD[LV3,UHJXODWRURXWSXW LTVBLWHUP LTVBLWHUPBROG.L LTVBHUU K LTVBLWHUPBROG LTVBLWHUP XVTBXF .S LTVBHUULTVBLWHUP &ODPSUHJXODWRURXWSXW7KLVLVQRWQHFHVVDULO\WKHEHVWZD\ :KHQRXWSXWJHWVFODPSHGLQVWDELOLW\FDQUHVXOW6HH&KDSWHU  LIXVTBXF!VTUW  

XVT VTUW  HOVHLIXVTBXFVTUW  XVT VTUW  HOVH XVT XVTBXF 'HWHUPLQHGD[LV3,UHJXODWRURXWSXW LGVBLWHUP LGVBLWHUPBROG.L LGVBHUU K LGVBLWHUPBROG LGVBLWHUP XVGBXF .S LGVBHUULGVBLWHUP &ODPSUHJXODWRURXWSXW7KLVLVQRWQHFHVVDULO\WKHEHVWZD\ :KHQRXWSXWJHWVFODPSHGLQVWDELOLW\FDQUHVXOW6HH&KDSWHU  LIXVGBXF!VTUW  XVG VTUW  HOVHLIXVGBXFVTUW  XVG VTUW  HOVH XVG XVGBXF `



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



JULGRQ



$SSHQGL[06KXGGHU&RPSHQVDWLRQ'63$VVHPEO\&RGH5RXWLQHIRUWKH $'0&&KLS ^





















































$XWKRU0DUF+HUZDOG



)XQFWLRQ1DPH6+8''(5B&203B)81&



,QSXWVVSHHG6+8'B(1&203B*$,17&203B/$*7&203B&/03

63'B52//2))63'B52//B5(*63'B52//B645

63'B52//B6(/



2XWSXWVWBUHIBVKXGGHU



9DULDEOHVGHILQHGORFDOWR755B)5'63



OSIBRXWBPVZ

OSIBRXWBOVZ

WBFRPSBXF

WBFRPSBFO







9DULDEOHVGHILQHGH[WHUQDOWR755B)5'63



VSHHG

VSHHGBDEV

WBUHIBVKXGGHU



'HVFULSWLRQ7KHVKXGGHUBFRPSBIXQFLVXVHGWRFRPSHQVDWHIRUURWRU

VKDIWRVFLOODWLRQV



5HYLVLRQ+LVWRU\

""0DUF+HUZDOG$GGHGVKXGGHUFRPSHQVDWLRQ

0DWW%RRWKH$GGHGIODJWRGLVDEOHVKXGGHU

0DUF+HUZDOG$GGHGVRPHWKLQJV

0DUF+HUZDOG%HJDQPDNLQJWKHILQDODGMXVWPHQWVIRUVKXGGHU&KDQJHG PHWKRG

RIVSHHGIHHGEDFN0DGHWKHFRPSHQVDWRUJDLQDQXPEHU

$GGHGRSWLRQIODJWRFKRRVHZKHWKHU[RU[AVSHHGUROORII

5HYLVHGWKH781(833DUDPHWHUQDPHVDQGWKHYDULDEOHQDPHV























































` VKXGGHUBFRPSBIXQF D[ GP6+8'B(1 ^LIVKXGBHQ  `



QRQH SDVVD[^WBUHIBVKXGGHU ` LIQHMXPSJRBVKXGGHU^OSIBRXWBPVZ ` DU SDVV^UHWXUQ` GPWBUHIBVKXGGHU  DU^HOVH` GPOSIBRXWBPVZ  DU ^H[HFXWHVKXGGHUFRPSHQVDWLRQ` UWV JRBVKXGGHU P[ GP&203B*$,1 ^&RPSHQVDWRU*DLQLQ IRUPDW` P\ GPVSHHG ^5RWRU6SHHGLQSXFRPSXWHGLQSZPLVUURXWLQH` PU P[ P\UQG  ^&203B*$,1 VSHHG` D[ PU^VDYHLQD[VRWKDWFDQVXEWUDFWLWIURPWKH` ^/3)RXWSXWDQGXVHLWDWRWKHUSODFHV` P[ PU P\ GP7&203B/$*  PU GPOSIBRXWBOVZ  PU GPOSIBRXWBPVZ  PU PUP[ P\VV ^&Q5Q 7&203B/$*` LIPYVDWPU P[ GPOSIBRXWBPVZ  PU PUP[ P\VV ^&Q5Q 7&203B/$*&Q 7&203B/$*` LIPYVDWPU GPOSIBRXWBOVZ  PU GPOSIBRXWBPVZ  PU D\ PU^JHW/3)ILOWHURXWSXW` DU D[D\^&203B*$,1 VSHHG/3)RXWSXW` VU DVKLIWDUE\KL ^5HVFDOHWR ` GPWBFRPSBXF  VU ^VDYHRXSXWRIFRPSHQVDWRULQVUDQGFKHFN` ^IRUFODPSLQJQH[W` DU DEVVU D\ GP7&203B&/03 ^D\ 7&203B&/03` DU DUD\ LIOWMXPSQRWBFODPSHG DU SDVVVU LISRVMXPSSRVBVDWXUDWLRQ DU D\ VU DVKLIWDUE\KL  D\ VU DU D[D\^QHJDWLYHVDWXUDWLRQVR`



^/3)PVZ &203B*$,1 VSHHG7&203B&/03` GPOSIBRXWBPVZ  DU DU D\ GPWBFRPSBFO  DU^WBFRPSBFO 7&203B&/03` MXPSVSHHGBUROORII SRVBVDWXUDWLRQ DU D\ VU DVKLIWDUE\KL  D\ VU DU D[D\^SRVLWLYHVDWXUDWLRQVR` ^/3)PVZ &203B*$,1 VSHHG7&203B&/03` GPOSIBRXWBPVZ  DU GPWBFRPSBFO  D\ ^WBFRPSBFO 7&203B&/03` MXPSVSHHGBUROORII QRWBFODPSHG DU GPWBFRPSBXF  GPWBFRPSBFO  DU VSHHGBUROORII D\ GPVSHHGBDEV  D[ GP63'B52//2))  DU D[D\ LIJHMXPSVHWBWFRPS^LIDEVVSHHG 63'B52//2))VNLSUROORII` DU GP63'B52//B6(/  DU SDVVDU LIHTMXPSUHJBUROORII P[ GPWBFRPSBFO  P\ [G^GHFLPDO` PU P[ P\VV  D\ PU^WBFRPSBFO ` D\ PU P[ GPVSHHGBDEV  PU P[ P[UQG  D[ PU^VSHHGA` GLYVD\D[ FQWU  GRVSHHGBUROOBGLYXQWLOFH VSHHGBUROOBGLYGLYTD[ P[ GP63'B52//B645 ^63'B52//2))A  ` P\ D\ PU P[ P\UQG  ^UROORIIZLWK38VSHHGA`



^EDVH 63'B52//2))` DU PU GPWBUHIBVKXGGHU  DU^VDYHVKXGGHUFRPSHQVDWLRQ` UWV UHJBUROORII P[ GPWBFRPSBFO  P\ [^GHFLPDO` PU P[ P\VV  D\ PU D\ PU D[ GPVSHHGBDEV  GLYVD\D[ FQWU  GRVSHHGBUROOBGLYXQWLOFH VSHHGBUROOBGLYGLYTD[ P[ GP63'B52//B5(* ^63'B52//2))  ` P\ D\ PU P[ P\UQG ^UROORIIZLWK38VSHHG` ^EDVH 63'B52//2))` DU PU GPWBUHIBVKXGGHU  DU^VDYHVKXGGHUFRPSHQVDWLRQ` UWV

VHWBWFRPS D\ GPWBFRPSBFO  DU D\ GPWBUHIBVKXGGHU  DU^VDYHVKXGGHUFRPSHQVDWLRQ` UWV HQGPRG



$SSHQGL[1,QWHJUDWRU&RPSHQVDWLRQ'63$VVHPEO\&RGH5RXWLQHIRUWKH $'0&&KLS

^





















































$XWKRU0DUF+HUZDOG-XO\



3XUSRVH&RUUHFWWKH*DLQDQG3KDVHHUURULQWKHIOX[IHHGEDFNPHDVXUHPHQWVLILW

LVHQDEOHG6HH&KDSWHU























































` DU GP,17B&203B(1 ^,I,17B&203B(1 DU SDVVDU LIQHMXPSJRBLQWBFRPS

VNLSFRPSHQVDWLRQ`

MXPSLQWBFRPSBE\SDVV JRBLQWBFRPS P[ GPVSHHGBXI ^XQILOWHUHGPHDVXUHGURWRUVSHHGNUSPX` P\ [F^ SL LQ IRUPDW` PU P[ P\VV  P[ GPZWP ^G\QDPLFVOLSIUHTXHQF\UDGVX` P\ [F^LQ IRUPDW` PU PUP[ P\UQG ^PU ZBHLQ ` GPZBHBHVW  PU^ZBHLQ ` D[ GPZBHBHVW  DU DEVD[ D\ GP,17B&203B+,*+ ^8SSHU/LPLWRI&RPSHQVDWLRQ` DU DUD\ LIJWMXPSLQWBFRPSBE\SDVV^VNLSFRPSHQVDWLRQLI_ZBH_!,17B&203B+,*+` DU DEVD[ D\ GP,17B&203B/2: ^/RZHUOLPLWRIFRPSHQVDWLRQ` DU DUD\ LIOWMXPSLQWBFRPSBE\SDVV^VNLSFRPSHQVDWLRQLI_ZBH_,17B&203B/2:`



P\ GP5&B&216 ^5&B&216 ` PU PU P\VV ^5&B&216 ZBH ` VU OVKLIWPUE\OR  VU VURUDVKLIWPUE\KL  PU VU^LQWHJHUSDUWRI5&B&216 ZBH` PU VU^IUDFWLRQDOSDUWRI5&B&216 ZBH` P  O  FDOODUFWDQ D[ [^SLRQDSHUXQLWEDVHRISL` D\ DU DU D[D\^DU SLDWDQ5&B&216 ZBH ` GPSKDVBFRUUBIDFW  DU^3KDVHFRUUHFWLRQIDFWRURQDSLXEDVH` D[ DU P  O  FDOODGPFBVLQ P[ DU^P[ VLQBWKHW` P ^1RWHWKHFDOOWRDGPFBFRVGRHV` O ^QRWGHVWUR\P[` FDOODGPFBFRV P[ DU^P[ FRVBWKHW` P\ GPIOX[BG ^P\ IOX[BG` P\ GPIOX[BT ^P\ IOX[BT` D[ GP3+$6B6(4  DU GPZBHBHVW  DU SDVVDU LIJHMXPSZBHBSRVLWLYH DU SDVVD[ LIHTMXPSUHYBVHTBQHJ PU P[ P\VV  PU PUP[ P\UQG ^$SSOLHG6WDWRU)UHTXHQF\LV1HJDWLYHDEFVHT` DU PU GPIOX[BGBHVW  DU^)GHVW`^ `^FRVWKHW VLQWKHW `^)G` PU P[ P\VV ^)THVW`^VLQWKHW FRVWKHW `^)T` PU PUP[ P\UQG  DU PU GPIOX[BTBHVW  DU



MXPSJDLQBFRUU UHYBVHTBQHJ PU P[ P\VV  PU PUP[ P\UQG ^$SSOLHG6WDWRU)UHTXHQF\LV1HJDWLYHDFEVHT` DU PU GPIOX[BGBHVW  DU^)GHVW`^ `^FRVWKHW VLQWKHW `^)G` PU P[ P\VV ^)THVW`^VLQWKHW FRVWKHW `^)T` PU PUP[ P\UQG  DU PU GPIOX[BTBHVW  DU MXPSJDLQBFRUU ZBHBSRVLWLYH DU SDVVD[ LIHTMXPSUHYBVHTBSRV PU P[ P\VV ^$SSOLHG6WDWRU)UHTXHQF\LV3RVLWLYHDEFVHT` PU PUP[ P\UQG  GPIOX[BGBHVW  PU^)GHVW`^ `^FRVWKHW VLQWKHW `^)G` PU P[ P\VV ^)THVW`^VLQWKHW FRVWKHW `^)T` PU PUP[ P\UQG  GPIOX[BTBHVW  PU MXPSJDLQBFRUU UHYBVHTBSRV PU P[ P\VV ^$SSOLHG6WDWRU)UHTXHQF\LV3RVLWLYHDFEVHT` PU PUP[ P\UQG  GPIOX[BGBHVW  PU^)GHVW`^ `^FRVWKHW VLQWKHW `^)G` PU P[ P\VV ^)THVW`^VLQWKHW FRVWKHW `^)T` PU PUP[ P\UQG  GPIOX[BTBHVW  PU JDLQBFRUU P[ GP5&B&216  PU P[ P[UQG ^5&B&216A    ` P\ GPZBHBHVW ^ZBH ` PU PU P\UQG ^ZBH 5&B&216A ` PU PU P\VV ^ZBH ZBH 5&B&216A ` VU OVKLIWPUE\OR  VU VURUDVKLIWPUE\KL ^VU ZBHA 5&B&216A ` D\ [^DGGRQHEHIRUHWDNLQJVTXDUHURRW`



DU VUD\ PU DU PU VU FDOOVTUW^DQVZHUZLOOEHLQVULQ ` P\ GP,17B&203B*$,1 ^5&B&216LQ ` PU VU P\VV ^ ZBH A A   ` D\ PU^QXPHUDWRULQ` D\ PU DU GPZBHBHVW ^ZBHLQ ` DU DEVDU^_ZBH_` VU DVKLIWDUE\KL ^GHQRPLQDWRU_ZBH_LQ ` D[ VU GLYVD\D[ FQWU  GRLQWFRPSBGLYXQWLOFH LQWFRPSBGLYGLYTD[ GPJDLQBFRUUBIDFW  D\^D\ JDLQBFRUUBIDFW ` P[ GPIOX[BGBHVW  P\ GPJDLQBFRUUBIDFW  PU P[ P\UQG ^JDLQFRUUHFWLRQ IOX[BGBHVW ` VU DVKLIWPUE\KL  GPIOX[BGBHVW  VU^IOX[BGBHVWLQ ` P[ GPIOX[BTBHVW  PU P[ P\UQG ^JDLQFRUUHFWLRQ IOX[BTBHVW ` VU DVKLIWPUE\KL  GPIOX[BTBHVW  VU^IOX[BTBHVWLQ ` MXPSLQWBFRPSBHQG LQWBFRPSBE\SDVV DU GPIOX[BG  GPIOX[BGBHVW  DU DU GPIOX[BT  GPIOX[BTBHVW  DU LQWBFRPSBHQG



9,7$

0DUF$+HUZDOGZDVERUQLQ5LFKPRQG9$RQ0DUFKUVW6RRQDIWHUKHDQG KLVSDUHQWVDQGEURWKHUVPRYHGWR+LJKODQG&RXQW\9$ZKHUHKHJUHZXS7KHDXWKRU DWWHQGHGVFKRROLQWKH+LJKODQG&RXQW\3XEOLF6FKRRO6\VWHP:KHQKHZDVQ©WLQVFKRROWKH DXWKRUXVXDOO\ZRUNHGRQWKHIDUPRQYDULRXVSURMHFWV,QWKHIDOORIWKHDXWKRUVWDUWHGKLV %6((DW9LUJLQLD7HFKZKLFKKHFRPSOHWHGLQWKHVSULQJRI)URP$XJXVWWRWKH SUHVHQWWKHDXWKRUKDVEHHQZRUNLQJWRZDUGVKLV06((GHJUHH