17

An Extension of Classical Functional Dependency: Dynamic Fuzzy Functional Dependency

  • Upload
    qu

  • View
    1

  • Download
    0

Embed Size (px)

Citation preview

�? i |i?t�L? Lu U*@tt�U@* u�?U|�L?@* _iTi?_i?U)G

#)?@4�U u�33) u�?U|�L?@* _iTi?_i?U)

5� �,� v�OW��c O� �N��wwW �@?_ �� a��N�2

�6@U�*|) Lu 5U�i?Uit Lu A�?�tc

�L4T�|ih 5U�i?Ui #iT@h|4i?|c

�@4T�t N?��ih�t|@�hic wi ��i*��i_ihi �fSfc A�?�tc A�?�t�@�

,�4@�*G t@_L!�Mi?)@��@9ut|�h?��|?2 k�?} 6@�_ N?��iht�|) uLh �i|hL*i�4 @?_ ��?ih@*t

W?uLh4@|�L? @?_ �L4T�|ih 5U�i?Uit #iT@h|4i?|

#�@�h@? ��2S� 5@�_� �h@M�@

,�4@�*G @�@L�@9UUtti�!u�T4�i_��t@

a�*) �c �bbb

�Mt|h@U|

+i*@|�L?@* _@|@ 4L_i* �@t UL?t|�|�|i_ @? �?UL?|it|@M*i t�UUitt �? _@|@�M@ti ��t|Lh)� W? |��t UL?|i |c @ *L| Lu @||i?|�L? �@t Mii? T@�_ |L u�?U|�L?@*_iTi?_i?U�it _�i |L |�i�h T@h@4L�?| �4TLh|@?Ui �? |�i _it�}? Lu hi*@�|�L?@* _@|@M@ti� 6Lh @ML�| �u|ii? )i@htc ti�ih@* @||i4T|t |L uLh4@*�3iEtLu|� hi@* �Lh*_ UL?t|h@�?|t �4TLti_ L? |�i _@|@ �@t Mii? 4@_ic *i@_��?} |L |�i i4ih}i?Ui Lu |�i UL?UiT| Lu u�33) u�?U|�L?@* _iTi?_i?U)� W?|��t T@Tihc @? L�ih��i� Lu |�i _�gihi?| ThLTLt@*t Lu |�i u�33) u�?U|�L?@*_iTi?_i?U) �t Thiti?|i_� � ?i� i |i?t�L? Lu U*@tt�U@* u�?U|�L?@* _iTi?�_i?U) M@ti_ L? |�i w�!@t�i��U3 �4T*�U@|�L? �t Thiti?|i_ @?_ U@**i_ _)�?@4�U u�33) u�?U|�L?@* _iTi?_i?U)� A�i @ttLU�@|i_ @ �L4@|�U t)t|i4 �t�?|hL_�Ui_ @?_ ThL�i_ |L Mi tL�?_�

ki) �Lh_tG 6�33) hi*@|�L?@* _@|@ 4L_i*c 6�33) u�?U|�L?@* _iTi?�_i?U)c w�!@t�i��U3 �4T*�U@|�L?�

� W?|hL_�U|�L?

Vlqfh wkh lqwurgxfwlrq ri wkh uhodwlrqdo gdwd prgho ^43`/ uhodwlrqdo gdwdedvhv|vwhpv kdyh nqrzq d uhdo vxffhvv lq wkh surihvvlrqdo frppxqlw|1 Wklv vxffhvv lvhvvhqwldoo| gxh wr wkh frqfhsw ri d uhodwlrq*v vlpsolflw| dqg wr d vrolg wkhruhwlfdoedfnjurxqg ri wkh uhodwlrqdo gdwd prgho1 Wklv gdwd prgho xvxdoo| wdnhv fduh rirqo| zhoo gh�qhg dqg xqdpeljxrxv gdwd1 Krzhyhu/ pdq| uhdo zruog dssolfdwlrqv

4

pdqlsxodwh lpsuhflvh/ lqfrpsohwh dqg xqfhuwdlq gdwd +riwhq fdoohg ix}}| gdwd,1Iru h{dpsoh/ lqvwhdg ri vshfli|lqj wkdw wkh vdodu| ri dq hpsor|hh lv 553GW / rqhpd| vd| wkdw wkh vdodu| lv durxqg 533GW / ru vlpso| wkdw lw lv orz1 Wkh hduo| ;3*vzlwqhvvhg wkh hphujhqfh ri vhyhudo uhvhdufk zrunv uhodwhg wr wkh ix}}| vhwv ^59`lqwurgxfwlrq lq wkh gdwdedvh hqylurqphqw/ dlplqj wr pdqdjh lpsuhflvlrq dqgxqfhuwdlqw|1 Lq wklv sdshu/ zh duh sduwlfxoduo| lqwhuhvwhg lq wkh irupdol}dwlrqri +vriw, uhdo zruog frqvwudlqwv ehdulqj rq wkh gdwd1 Lq wklv frqwh{w/ pdq|sursrvdov duh frqfhuqhg zlwk wkh h{whqvlrq ri ixqfwlrqdo ghshqghqflhv +IGv,jlylqj udlvh wr zkdw lv fdoohg ix}}| ixqfwlrqdo ghshqghqflhv +IIGv, +^7/ 9/ :/ ;/</ 45/ 46/ 47/ 49/ 4;/ 53/ 54/ 56/ 58/ 57`,1 Jhqhudoo|/ d IIG lv dq h{suhvvlrq ri wkhw|sh [ �A \ lv ydolg lq u / ; w4/ w5 5 u/ +� +w4=[> w5=[, ,i � +w4=\> w5=\ ,,zkhuh [>\ � X / +�, lv d judgxdo uhvhpeodqfh uhodwlrq gh�qhg rq loo0nqrzqgdwd dlplqj wr vriwhq ru uhod{ wkh vwulfw htxdolw| uhodwlrq/ dqg +,i , d ix}}|lpsolfdwlrq1 Wkh fkrlfh ri IGv lv dujxhg e| l, iurp d wkhruhwlfdo srlqw riylhz/ IGv kdyh ehhq zlgho| vwxglhg dqg irupdol}hg frpsdudwlyho| wr wkh rwkhughshqghqflhv1 ll, Iurp d sudfwlfdo srlqw ri ylhz/ IGv frqvwlwxwh wkh pdmrulw|ri ghshqghqflhv irxqg lq d uhdo zruog dssolfdwlrq1

Lq ylhz ri wklv/ wkh sdshu lv rujdql}hg dv iroorzv1 Vhfwlrq 5/ suhvhqwv vrphri wkh edvlf gh�qlwlrqv ri wkh fodvvlfdo dqg wkh dgrswhg ix}}| uhodwlrqdo gdwdprgho1 Lq vhfwlrq 6/ zh suhvhqw dq ryhuylhz ri wkh gl�huhqw sursrvdov iru wkhfrqfhsw ri ix}}| ixqfwlrqdo ghshqghqf| dqg zh lqwurgxfh dq h{whqvlrq ri IG0qdpho| g|qdplf ix}}| ixqfwlrqdo ghshqghqf|> wkh dvvrfldwhg d{lrpdwlf v|vwhplv suhvhqwhg dqg vkrzq wr eh vrxqg1 Vhfwlrq 7/ frqfoxghv wklv sdshu dqg srlqwvrxw vrph shuvshfwlyhv ri wkh suhvhqw zrun1

2 �hi*�4�?@h�it

Lq wklv vhfwlrq/ zh lqwurgxfh wkh dgrswhg ix}}| uhodwlrqdo gdwd prgho1 Zh ehjlqe| jlylqj vrph edvlf gh�qlwlrqv dqg frqfhswv uhodwhg wr wkh fodvvlfdo uhodwlrqdogdwd prgho1

2�� �*@tt�U@* hi*@|�L?@* _@|@ 4L_i*

Dwwulexwhv duh v|perov wdnhq iurp d �qlwh vhw X @ iD4>D5> = = = >Dqj fdoohgxqlyhuvh ri dwwulexwhv1 Hdfk dwwulexwh Dl lv dvvrfldwhg wr d grpdlq ghqrwhggrp +Dl,1 grp +Dl, lv wkh vhw ri srvvleoh ydoxhv iru Dl1 Lqglylgxdo dwwulexwhvduh ghqrwhg e| wkh lqlwldo ohwwhuv ri wkh doskdehw D/ E/1 1 1 / dqg wkh vhwv ridwwulexwhv e| wkh odvw ohwwhuv ri wkh doskdehw 1 1 1 / [/ \/ ]1 Wkh xqlrq ri wzr vhwvri dwwulexwhv [ dqg \ lv ghqrwhg e| [\1

D uhodwlrq u ryhu d uhodwlrq vfkhph U+D4>D5> = = = >Dq, lv d vxevhw ri wkhFduwhvldq surgxfw grp+D4, � grp+D5, � = = = � grp+Dq,1 Dq hohphqw ri wkhuhodwlrq u/ w @ +x4> x5> = = = > xq,/ xl 5 grp+Dl,/ l @ 4>5> = = = > q/ lv fdoohg d wxsoh1

5

Wkh uhvwulfwlrq ri w rq d vhw ri dwwulexwhv [ � X/ ghqrwhg e| w=[/ frqvlvwv riydoxhv iurp w fruuhvsrqglqj wr wkh dwwulexwhv lq [1

Dprqj wkh gl�huhqw w|shv ri gdwd ghshqghqflhv/ IG uhtxluhv vshfldo phqwlrq1Irupdoo|/ d IG lv d vwdwhphqw/ [ $ \ / zkhuh [>\ � X dqg lv vdlg wr krog lqdq lqvwdqfh u/ li ; w4 dqg w5 lq u/

w4=[ @ w5=[ , w4=\ @ w5=\ +4,

2�2 6�33) hi*@|�L?@* _@|@ 4L_i*

Zh ehjlq wklv vxe0vhfwlrq e| gh�qlqj d ix}}| vhw1 Ohw X eh d fodvvlfdo vhw riremhfwv/ fdoohg xqlyhuvh ri glvfrxuvh1 Dq hohphqw ri X lv ghqrwhg e| x1

Gh�qlwlrq 4 D ix}}| vhw I lq d xqlyhuvh ri glvfrxuvh X lv fkdudfwhul}hg e| d

phpehuvkls ixqfwlrq �I = X $ ^3> 4`/ zkhuh �I +x, ghqrwhv wkh judgh ri php0

ehuvkls ri x lq wkh ix}}| vhw I 1 Khqfh/ wkh ix}}| vhw I lv ghqrwhg e| wkh iroorzlqj

+zkhq X lv frxqwdeoh vhw ri q hohphqwv,= I @ i�+x4,@x4 . �+x5,@x5 . = = = .�+xq,@xqj 1

H{dpsoh 4 Ohw X @ ^3>433`> eh wkh xqlyhuvh ri glvfrxuvh uhsuhvhqwlqj d shu0

vrq*v djh1 Ohw \ dqg R wzr ix}}| vxevhwv ri X / uhsuhvhqwlqj wkh frqfhswv \rxqjdqg Rog/ uhvshfwlyho|1 Wkh phpehuvkls ixqfwlrqv �\ dqg �R duh jlyhq ehorz=

�\ +x, @

�4 li 3 � x � 58

^4 . +x� 58,5`�4

li 58 ? x � 433

�R+x, @

�3 li 3 � x � 83

+4 . +x� 83,5,�4 li 83 ? x � 433

Ohw U+D4>D5> = = = >Dq, eh d uhodwlrq vfkhph1 Pdwkhpdwlfdoo|/ dq q0du| ix}}|uhodwlrq u ryhu U lv d ix}}| vxevhw ri G @ grp+D4,�grp+D5,� = = =�grp+Dq,/dqg lv fkdudfwhul}hg e| d phpehuvkls ixqfwlrq �u=G $ ^3>4`1 Wkxv/ d ix}}|uhodwlrq u ryhu U fdq eh ylhzhg dv d wzr0glphqvlrqdo wdeoh lq zklfk d urzfruuhvsrqgv wr dq remhfw dqg d froxpq wr dq dwwulexwh1 Dq dgglwlrqdo froxpq/ghqrwhg �u+w,/ vwdqgv iru wkh phpehuvkls ydoxh ri wkh wxsoh w lq u1

Ghshqglqj rq wkh frpsoh{lw| ri grp+Dl,/ l @ 4/= = =/q/ Udmx hw do/ ^54`/ kdyhlqwurgxfhg d fodvvl�fdwlrq ri ix}}| uhodwlrqv lqwr wzr fdwhjrulhv/ qdpho| W|sh04dqg W|sh05 ix}}| uhodwlrq1 Lq w|sh04 ix}}| uhodwlrq/ grp+Dl,/ pd| eh d fodvvlfdoru d ix}}| vxevhw ri X1 Lq w|sh05 ix}}| uhodwlrq/ grp+Dl,/ pd| eh d vhw ri ix}}|vxevhwv lq Xl/ l @ 4> = = = > q/ xqlyhuvh ri glvfrxuvh dvvrfldwhg zlwk hdfk dwwulexwhDl1

H{dpsoh 5 Ohw xv frqvlghu wkh uhodwlrq vfkhph HPS4+Q/ G/ S/ H/ V, uhsuh0

vhqwlqj h{shulphqwhg dqg zhoo sdlg hpsor|hhv/ zkhuh Q @ qdph/ G@ ghsduw0

phqw/ S @ surihvvlrq/ H@ h{shulhqfh dqg V @ vdodu|1 D srvvleoh lqvwdqfh ri

u+HPS4, lv jlyhq lq wdeoh 41 Zh gh�qh wkh gl�huhqw grpdlqv ri dwwulexwhv dv

ehorz=

6

Q G S H V �u+w,

w4 Vdplu Pdunhwlqj Hqjlqhhu 43 8333 31:8w5 Pdkhu Pdunhwlqj Gluhfwru 48 8:33 31<3w6 Vdpl Ilqdqfh Hqjlqhhu 45 8533 31;3w Qdelo Vdohv Gluhfwru 44 8533 31;3v Vdqd Ilqdqfh Hqjlqhhu 4318 8433 31::

Wdeoh 4= Wkh lqvwdqfh u+HPS4, lv d W|sh04 ix}}| uhodwlrq1

41 grp+Q,/ grp+G, dqg grp+S, duh fodvvlfdo vhwv/

51 grp+H, lv wkh ix}}| vxevhw Kljk0H{shulhqfh/ ghqrwhg KH/ lq wkh xqlyhuvh

XH frqwdlqlqj wkh lqwhjhuv 5 ^3� 63`/

61 grp+V, lv wkh ix}}| vxevhw Kljk0Vdodu|/ ghqrwhg KV/ lq wkh xqlyhuvh XVfrqwdlqlqj wkh lqwhjhuv 5 ^4333� 43333`1

Wkh phpehuvkls ixqfwlrqv ri wkh ix}}| vxevhwv KH dqg KV duh gh�qhg dv

ehorz=

0 Iru doo h 5 XH /

�KH+h, @

�+4 . mh� 43m@7,�4 li h � 43

4 rwkhuzlvh

0 Iru doo v 5 XV /

�KV+v, @

�+4 . mv� 9333m@5333,�4 li v � 9333

4 rwkhuzlvh

H{dpsoh 6 Ohw xv frqvlghu wkh uhodwlrq vfkhph HPS5+Q/ G/ S/ H/ V/ L,/ zkhuh

Q @ qdph / G @ ghsduwphqw/ S @ surihvvlrq/ H @ h{shulhqfh/ V @ vdodu| dqg

L @ lqfrph wd{1 D srvvleoh lqvwdqfh u+HPS5, lv jlyhq lq wdeoh 51 Zh gh�qh

wkh gl�huhqw grpdlqv ri dwwulexwhv dv ehorz1

41 grp+Q,/ grp +G, dqg grp+S, duh fodvvlfdo vhwv/

51 grp+H, lv d vhw ri ix}}| vxevhwv lq wkh xqlyhuvh XH /

61 grp+V, lv d vhw ri ix}}| vxevhwv lq wkh xqlyhuvh XV /

71 grp+L, lv d vhw ri ix}}| vxevhw lq wkh xqlyhuvh XL frqwdlqlqj wkh lqwhjhuv

5 ^3� 4333`/

81 Wkh phpehuvkls ixqfwlrqv ri wkh ix}}| vxevhwv duh gh�qhg dv ehorz=

l, Iru doo h 5 XH /

�prghudwh+h, @

�+4 . mh� ;m,�4 li h A ;

3 rwkhuzlvh

�olwwoh+h, @

�+4 . 45h,�4 li h A 3

3 rwkhuzlvh

7

Q G S H V L �u+w,

Dol Phfkdqlf Hqjlqhhu 43 8333 833 31:3Vdodk Sk|vltxh Gluhfwru ^48053` Vkljk Lkljk 31<3U|p Ilqdqfh Vhfuhwdu| olwwoh Vorz Lorz 3193Gmdpho Pdunhwlqj Hqjlqhhu prghudwh ^733309333` ^7330:33` 31;3

Wdeoh 5= Wkh lqvwdqfh u+HPS5, lv d W|sh05 ix}}| uhodwlrq1

ll, Iru doo v 5 XV /

�Vkljk+v, @

�+4 . mv� 9333m@5333,�4 li v � 9333

4 rwkhuzlvh

�Vorz+v, @ +4� �Vkljk+v,,> ; v 5 XVlll, iru doo l 5 XL /

�Lkljk+l, @

�+4 . ml � 833m @433,�4 li l � 833

4 rwkhuzlvh

�Lorz+l, @ +4� �Lkljk+l,,> ; l 5 XL 1

Wklv fodvvl�fdwlrq ri ix}}| uhodwlrqv lqwr wzr fdwhjrulhv shuplwv wr dffrp0prgdwh wzr w|shv ri lpsuhflvhqhvv wkdw d uhodwlrqdo gdwd prgho fdq vxssruw 0qdpho|/ lpsuhflvhqhvv lq wkh dvvrfldwlrq dprqj gdwd ydoxhv dqg lpsuhflvhqhvvlq gdwd ydoxhv ^4:`1

Uhpdun 4 Lq wkh fodvvlfdo uhodwlrqdo gdwd prgho/ wkh uhvwulfwlrq ri d wxsoh rq

d vhw ri dwwulexwh lv hqwluho| nqrzq dqg vlqjoh ydoxhg1 Exfnohv hw do ^9/ :` kdyh

doorzhg/ dq dwwulexwh ydoxh wr eh d vxevhw ri wkh dvvrfldwhg grpdlq1 Wkh htxly0

dohqfh uhodwlrq ryhu wkh grpdlq lv uhsodfhg e| d ix}}| vlplodulw| uhodwlrq wr

lghqwli| vlplodu wxsohv h{fhhglqj d jlyhq wkuhvkrog ri vlplodulw| +Lghd xvhg dovr

e| Lfklndzd hw do ^47`,1

2�� 6�33) ,^�@*�|) @t 6�33) hi*@|�L?

Dv zh h{whqg wkh uhodwlrqdo gdwd prgho wr kdqgoh ix}}| gdwd/ lw lv qhfhvvdu|wr vxssruw lqwhjulw| frqvwudlqwv h{suhvvlqj dssur{lpdwh htxdolw| vxfk wkdw %ds0sur{lpdwho| htxdo% ru %pruh ru ohvv htxdo%1

Wkh htxdwlrq +4, vkrzv wkh qhhg wr frpsduh/ zlwk dq htxlydohqfh uhodwlrq/ydoxhv ri dwwulexwhv ri gl�huhqw wxsohv1 Krzhyhu/ zkhq zh ghdo zlwk ix}}| gdwd/zh qhhg d ghylfh wr frpsduh lpsuhflvho| ru loo nqrzq ydoxhv ri dwwulexwhv1 Iruwklv sxusrvh/ zh xvh d ix}}| uhvhpeodqfh uhodwlrq ghqrwhg khuh HT1 Wkh uhodwlrqHT lv uh�h{lyh +l1h1/ �HT+d> d, @ 4, dqg v|pphwulf +l1h1/ �HT+d> e, @ �HT+e> d,,1Wkh wudqvlwlylw| surshuw| grhv qrw krog dv lw lv dgyrfdwhg e| Uxqghqvwhlqhu hwdo ^55` iru sur{lplw| phdvxuhv xvhg iru frpsdulqj grpdlq ydoxhv1

8

Wkh uhodwlrq HT fdq eh h{whqghg ryhu frpsrvlwh grpdlqv dv iroorzv1 OhwG @ grp+D4, � grp+D5, � = = = � grp+Dq,/ dqg w4 dqg w5 eh wzr wxsohv lq G1Vxssrvh wkdw lq hdfk grpdlq grp+Dl,/ d ix}}| uhvhpeodqfh uhodwlrq HT +zlwkphpehuvkls ixqfwlrq �lHT, kdv douhdg| ehhq gh�qhg1 Khqfh/ wkh uhodwlrq HT/h{whqghg ryhu G/ gh�qhv d ix}}| vxevhw ri G�G/ zlwk phpehuvkls ixqfwlrq dvjlyhq ehorz=

�HT+w4> w5, @plqi�4HT+w4=D4> w5=D4,> �5HT+w4=D5> w5=D5,> = = = > �

qHT+w4=Dq> w5=Dq,j1

Uhpdun 5 Wkh vhohfwlrq ri wkh phpehuvkls �HT iru hyhu| grpdlq lv rq wkh

ehdu ri wkh gdwd edvh ghvljqhu dv lwv rzq shufhswlrq ri wkh dssur{lpdwh htxdolw|

ri grpdlq ydoxhv1

H{dpsoh 7 Ohw xv frqvlghu wkh uhodwlrq vfkhph HPS5+Q/ G/ S/ H/ V/ L,1 Lq

wklv fdvh/ wkh grpdlqv ri Q/ G dqg S duh fodvvlfdo vhwv/ zkhuh wkrvh ri H/ V dqg

L duh ix}}| vhwv1 Zh gh�qh wkh phpehuvkls ixqfwlrq �HT+d> e,> ghshqglqj rq

wkh qdwxuh ri d dqg e/ iru hyhu| grpdlq dv iroorzv=

�HT+d> e, @ 3 iru d 9@ e zkhuh d dqg e 5 grp+D,/ D 5 iQ>G>Sj/Iru d dqg e 5 grp+D,/ D 5 iH>V> Lj/l, Li d dqg e duh suhflvh/ wkhq

�HT+d> e, @ + 4+4.�md�em

, zkhuh

� @ 4 ; d/ e 5 grp+H,/� @ 4@5333 ; d/ e 5 grp+V,/� @ 4@833 ; d/ e 5 grp+L,1ll, Li d lv suhflvh dqg e lv d ix}}| vhw/ wkhq= �HT+d> e, @ �e+d,1Li e lv suhflvh dqg d lv d ix}}| vhw/ wkhq= �HT+d> e, @ �d+e,1

lll, Li d dqg e duh ix}}| vhwv/ wkhq �HT+d> e, @ pd{i fdug+d_e,fdug+d,

> fdug+d_e,

fdug+e,j1

Zkhuh fdug ghqrwhv fduglqdolw| ri ix}}| vhwv ^4<`1

� #)?@4�U u�33) u�?U|�L?@* _iTi?_i?U)

Lq wklv vhfwlrq/ zh wu| wr lqwurgxfh dq h{whqvlrq wr IG lq wkh iudphzrun riix}}| uhodwlrqdo gdwd prgho1 Zh ehjlq e| suhvhqwlqj wkh suhylrxv sursrvdov iruwkh h{whqvlrq ri IG1

��� �hi��L�t ThLTLt@*t

Iurp d whfkqlfdo srlqw ri ylhz/ pdq| sursrvdov kdyh vwduwhg iurp wkh xvxdogh�qlwlrq ri d IG/ vriwhqhg wkh vwulfw htxdolw| uhodwlrq lqwr d ix}}| uhvhpeodqfhuhodwlrq dqg wkhq fkrrvh dq dssursuldwh ix}}| lpsolfdwlrq1 D olvw ri wkh prvwxvhg ix}}| lpsolfdwlrqv ^8` lv gudzq ehorz +wdeoh 6,1

Lq wkh vhtxho/ wkh sulqflsdo dvshfwv ri wkh gl�huhqw sursrvdov duh eulh�|ghvfulehg dqg glvfxvvhg1

Sudgh hw do ^53`= Wkh dxwkruv frqvlghuhg wkh srvvlelolvwlf ix}}| gdwd prgho1Wklv iruphu prgho ghdov zlwk xvxdo uhodwlrqv zkhuh vrph dwwulexwh ydoxhv pd|

9

Qdph V|pero Wuxwk� ydoxh

Uhvfkhu0Jdlqhv ,UJ

�4 li d � e3 rwkhuzlvh

J�rgho ,J�r

�4 li d � ee rwkhuzlvh

Jrjxhq ,J

�plq+e@d>4, li d 9@ 3

4 rwkhuzlvh

Nohhqh0Glhqhv ,NG pd{+4� d> e,

Oxndvlhzlf} ,O plq+4> 4� d. e,

Wdeoh 6= Wkh prvw xvhg ix}}| lpsolfdwlrqv1

eh lpsuhflvho| nqrzq dqg duh ghvfulehg e| phdqv ri srvvlelolw| glvwulexwlrqv1Lq wklv frqwh{w/ wkh dxwkruv lqwurgxfhg wkh iroorzlqj gh�qlwlrq =

Gh�qlwlrq 5 [ �A \ lv ydolg rq u+X, / ;w4> w5 5 u

w4=[ @ w5=[ , �UHV+w4=\> w5=\ , � � +5,

Zkhuh � lv d �{hg wkuhvkrog dqg UHV lv d sur{lplw| uhodwlrq xvhg wr frpsduhhlwkhu d sdlu ri fodvvlfdo ydoxhv ru srvvlelolw| glvwulexwlrqv1 Zkhq UHV lv dssolhgwr srvvlelolw| glvwulexwlrqv/ lw frpsxwhv wkh htxdolw| srvvlelolw| ghjuhh ri wkh loo0nqrzq ydoxhv { dqg | xvlqj wkh iroorzlqj irupxod +zkhuh { dqg | duh uhsuhvhqwhge| wkh srvvlelolw| glvwulexwlrqv �{/ �|/ uhvshfwlyho|,=�UHV+{> |, @ vxs

x5grp+{,

plq+�{+x,> �|+x,,1

Fkhq hw do ^;/ <`= Wklv sursrvdo frqvlghuv dovr wkh srvvlelolvwlf ix}}| gdwdprgho1 Xvlqj J�rgho lpsolfdwlrq/ wkh dxwkruv lqwurgxfhg wkh iroorzlqj gh�qlwlrq=

Gh�qlwlrq 6 [ �A� \ lv ydolg rq u+X, +� 5 `3>4`, / ;w4/ w5 5 u

Li ^w4=[ @ w5=[ $ w4=\ @ w5=\ hovh�UHV+w4=[> w5=[,,J�r �UHV +w4=\> w5=\ , � �`=+6,

Wkh gh�qlwlrq 6 lv vwurqjhu wkdq wkh fodvvlfdo gh�qlwlrq ri IG/ vlqfh wkhiruphu rqh lv lqfoxghg dv dq lqvwdqfh +wkh +li 1 1 1 , sduw, lq gh�qlwlrq 61 Wkhvhfrqg sduw ri gh�qlwlrq 6 lpsrvhv d frqvwudlqw zkhq wkh uhsuhvhqwdwlyh ydoxhvri wkh ohiw0kdqg vlgh vkduh frpprq ydoxhv1

Wkh iroorzlqj uhvxowv kdyh ehhq hvwdeolvkhg= l, Dq h{whqghg vrxqg dqg frp0sohwh vhw ri lqihuhqfh d{lrpv/ ll, Wkh orvvohvv mrlq ghfrpsrvlwlrq wkhruhp lv

:

ydolg/ lll, Dq dojrulwkp wr whvw wkh suhvhuydwlrq ri IIGv zkhq ghfrpsrvlwlrq lvdssolhg1

D1 Nlvv ^49`= Wklv sursrvdo frqfhuqv W|sh04 ix}}| uhodwlrqv= wkh kljkhu wkhzhljkw dvvrfldwhg zlwk wxsoh w/ wkh pruh frq�ghqw wkh lqirupdwlrq vwruhg lq w1Wkh dxwkru lqwurgxfhg wkh iroorzlqj gh�qlwlrq=

Gh�qlwlrq 7 [ �A \ lv ydolg rq u+X, dqg lwv wuxwk ydoxh WU +[ �A \ , 5^3>4` lv htxdo wr =

WU+[ �A \ , @ plqw4>w5

^plq^�u+w4,> �u+w5,> w4=[ @ w5=[ ,NG w4=\ @ w5=\ `= +7,

Wkh h{suhvvlrq 7 fdq eh lqwhusuhwhg dv iroorzv1 Wkh pruh d sdlu ri wxsohv/zlwk d kljk phpehuvkls ghjuhh/ ylrodwhv wkh fodvvlfdo IG/ wkh ohvv wkh GII[ �A \ lv vdwlv�hg1 Wkh dlp ri wklv sursrvdo lv qrw wkh uhgxfwlrq +ru holplqd0wlrq, ri uhgxqgdqf|/ exw udwkhu wkh vdyh ri vwrudjh vsdfh1

Wkh dxwkru pdlqo| lqwurgxfhv d % zhdn % ghfrpsrvlwlrq wkhruhp1 Lq idfw/li WU+[ �A \ , � �> wkhq wkh vxevhw ri u+[>\>],/ u�+[>\>], zkrvh wxsohphpehuvkls lv juhdwhu wkdq �/ pd| eh ghfrpsrvhg lqwr lwv wzr surmhfwlrqvu�^[>\ ` dqg u�^[>]` zkhuh � A 4� �1

Wkh iroorzlqj sursrvdov dgguhvv W|sh04 dqg W|sh05 ix}}| uhodwlrqv1Udmx hw do ^54`= Xvlqj Uhvfkhu0Jdlqhv lpsolfdwlrq/ wkh dxwkruv sursrvhg

wkh iroorzlqj gh�qlwlrq=

Gh�qlwlrq 8 [ �A \ lv ydolg rq u+X, / ;w4/ w5 5 u

^�HT+w4=[> w5=[,,UJ �HT+w4=\> w5=\ ,`= +8,

Lqwxlwlyho|/ wkh frqglwlrq 8 phdqv wkdw wkh dqwhfhghqwv* htxdolw| ghjuhh +l1h1/�HT+w4=[> w5=[,, pxvw eh ohvv wkdq ru htxdo wr wkh htxdolw| ghjuhh ri wkhlufruuhvsrqglqj lpdjhv +l1h1/ �HT+w4=\> w5=\ ,,1

Wkh iroorzlqj uhvxowv kdyh ehhq hvwdeolvkhg= l, d vrxqg exw qrw frpsohwhd{lrpdwlf v|vwhp +lghqwlfdo wr Dupvwurqj*v v|vwhp ^4`,1 Wr dvvxuh wkh frp0sohwhqhvv surshuw|/ d ixuwkhu uhvwulfwlrq ri wkh uhodwlrq HT vkrxog eh lpsrvhg1ll, Wkh orvvohvv mrlq ghfrpsrvlwlrq wkhruhp lv ydolg1 lll, Dq dojrulwkp wr whvwwkh suhvhuydwlrq ri IIGv zkhq d ghfrpsrvlwlrq lv dssolhg1

Ekxlq|d hw do ^7`= Lq rughu wr shuplw wkh dffhswdqfh ri vrph lqvwdqfhvylrodwlqj wkh frqglwlrq +8,/ wkh dxwkruv vxjjhvwhg wkh iroorzlqj gh�qlwlrq=

Gh�qlwlrq 9 [ �A \ lv ydolg rq u+X, / ;w4/ w5 5 u

�HT+w4=[> w5=[,,UJ �HT+w4=\> w5=\ , +9,

;

ru

�HT+w4=[> w5=[, � �HT+w4=\> w5=\ , � 4� � +:,

zkhuh �HT+w4=[> w5=[, dqg �HT+w4=\> w5=\ , duh � 0htxdo +l1h1= �HT+w4=[> w5=[, �� dqg �HT+w4=\> w5=\ , � �, dqg � ? � ? 41

Wkh iroorzlqj uhvxowv kdyh ehhq hvwdeolvkhg= l, dq h{whqghg vrxqg dqg frp0sohwh d{lrpdwlf/ ll, wkh orvvohvv mrlq ghfrpsrvlwlrq wkhruhp lv ydolg dqg dqdojrulwkp wr whvw wkh suhvhuydwlrq ri IIGv zkhq d ghfrpsrvlwlrq lv dssolhg1

Vd{hqd hw do ^56`= Wklv sursrvdo lv dq h{whqvlrq ri Udmx hw do*v sursrvdo1 Lqidfw/ wkh dxwkruv lqwurgxfhg ix}}l�fdwlrq ri wkh frqfhsw ri qxoo ydoxhv/ ghqrwhgkhuh >/ dqg sursrvhg wkh iroorzlqj gh�qlwlrq=

Gh�qlwlrq : [ �A \ lv ydolg rq u+X, / [0gh�qhg w4> w5 5 u +l1h1/

w4=[ 9@ > 9@ w5=[,=

�HT+w4=[> w5=[, � 3 dqg w4=\ @ w5=\ @ > +;,

ru

< d qrq hpsw| vxevhw \ 3 � \ vxfk wkdw ; D 5 \ 3/ w4=D 9@ > 9@ w5=D/ zhkdyh

w4=+\ � \ 3, @ w5=+\ � \ 3, @ > dqg �HT+w4=[> w5=[, � �HT+w4=\3> w5=\

3,+<,

Wkh pdlq iroorzlqj uhvxowv kdyh ehhq hvwdeolvkhg= l, dq h{whqghg vrxqg dqgfrpsohwh d{lrpdwlf v|vwhp lv suhvhqwhg +wkh wudqvlwlylw| d{lrp lv qrw yhul�hg dvlq wkh fodvvlfdo IG ^5`,/ ll, wkh lqwurgxfwlrq ri wkh frqfhsw ri ix}}| ixqfwlrqdolqghshqghqf| +IILG,/ zklfk h{suhvvhv/ urxjko| vshdnlqj wkh rssrvlwh ri d IIG/wkh idfw wkdw wkh fruuhvsrqglqj IIG lv qrw wkh ohjlwlpdwh frqvwudlqw ri wkh uhdozruog1

Uhpdun 6 Wkh frpprq srlqw ri wkh wkuhh iruphu sursrvdov lv wkh xvh ri Uhvfkhu0

Jdlqhv lpsolfdwlrq1 Khqfh/ wkh ydolglw| ri d IIG lq d ix}}| uhodwlrq kdv d elqdu|

wuxwk0ydoxh +l1h1/ doo wkh wxsohv ri d ix}}| uhodwlrq vdwlvi| d jlyhq IIG [ �A \ /ru dw ohdvw lw h{lvwv rqh wxsoh ylrodwlqj wkh lpsrvhg frqglwlrq+v,,1 Wkh elqdu|

ydolglw| fdq frqvwlwxwh d uhvwulfwlrq iurp d sudfwlfdo srlqw ri ylhz1 Lqghhg/ lw lv

srvvleoh wr kdyh sodxvleoh gdwd lq uhdo zruog/ exw wkhlu lqvhuwlrq lq wkh gdwdedvh

lv iruelgghq e| wkh lpsrvhg frqglwlrq+v, ^7`1

<

��2 #)?@4�U u�33) u�?U|�L?@* _iTi?_i?U)

Wkh pdlq lghd ri wklv sursrvdo lv wr sxvk wkh ix}}l�fdwlrq wr wkh hqg e| uhod{lqjelqdu| ydolglw|1 Lq idfw/ Lqvwhdg ri frqvlghulqj wkdw d IIG lv wuxh ru idovh lqd ix}}| uhodwlrq u +zlwk elqdu| ydolglw|,/ zh frqvlghu wkdw d IIG lv wuxh lq dix}}| uhodwlrq dw d ghjuhh � 5 ^3>4`1 Lq rwkhu zrugv/ wkh ghflvlrq ri wkh ydolglw|ri d IIG lq d ix}}| uhodwlrq lv judgxdo dqg qrw elqdu|1 Iru wklv sxusrvh/ zhlqwurgxfh wkh g|qdplf ix}}| ixqfwlrqdo ghshqghqf| +GIIG, zklfk lv gh�qhgdv iroorzv=

Gh�qlwlrq ; D GIIG/ ghqrwhg e| [ �A� \ / +uhdg [ ghwhuplqhv \ dw ghjuhh

�, zlwk [>\ � U dqg �/ �W 5 ^3>4` krogv lq d ix}}| uhodwlrq u+U,/ li ; w4> w5 5u/ zh kdyh=

plq+4> 4� �HT+w4=[> w5=[, . �HT+w4=\> w5=\ ,, � �W +43,

Zkhuh � @plqw4>w5plq+4>4� �HT+w4=[> w5=[, . �HT+w4=\> w5=\ ,, � �W 1

Uhpdun 7 Wkh frqglwlrq 43 pd| eh uhzulwwhq dv iroorzv=

+�HT+w4=[> w5=[,,O �HT+w4=\> w5=\ ,, � �W 1

Wkh sdudphwhu �W +�0wkuhvkrog, lv �{hg e| wkh gdwdedvh ghvljqhu dw wkhehjlqqlqj ri wkh ghvljq surfhvv1 Lw fruuhvsrqgv wr wkh plqlpdo ghjuhh ri ydolglw|wkdw pxvw eh yhul�hg e| d jlyhq GIIG lq dq lqvwdqfh1 Lq idfw/ vwduwlqj iurp wkhfrqvwudlqw vwlsxodwlqj wkdw %wkh dqwhfhghqwv htxdolw| ghjuhh pxvw eh ohvv wkdq ru

htxdo wr wkh htxdolw| ghjuhh ri wkh fruuhvsrqglqj lpdjhv%/ lw lv srvvleoh wr �qgsodxvleoh gdwd lq uhdo zruog dssolfdwlrq ylrodwlqj wkh iruphu frqvwudlqw1 Wkhsdudphwhu �W lqglfdwhv wr zklfk h{whqw zh fdq wrohudwh +ru dffhsw, wkh frqvwudlqwylrodwlrq/ shuplwwlqj d idlwkixo uhsuhvhqwdwlrq ri wkh uhdolw|1 Iru lqvwdqfh/ li zhfrqvlghu �W @ 3=:3/ wkh ghshqghqflhv pxvw eh yhul�hg zlwk d ghjuhh juhdwhuwkdq ru htxdo wr 3=:31 Lq idfw/ wkh gdwdedvh ghvljqhu doorzv wkh %ylrodwlrq% riwkh iruphu frqvwudlqw dw d pd{lpdo wkuhvkrog htxdo wr 3=63 +l1h1/ 4� 3=:3,1

H{dpsoh 8 Zh frqvlghu wkh lqvwdqfh jlyhq lq wdeoh 41 Wkh uhodwlrq HT lv

gh�qhg dv ehorz1

l, �HT+d> e, @ 3 li d 9@ e li d dqg e 5 grp+[, zkhuh [ 5 iQ>G>Sj/ll, �HT+d> e, @

44.�md�em

zkhuh

� @ 4@5 li d dqg e 5 grp+H,/

� @ 4@533 li d dqg e 5 grp+V,1

Wkh ix}}| lqvwdqfh u vdwlv�hv wkh iroorzlqj GIIGv +zlwk wkhvh fkrlfhv ri

HT,1

QG �A4 S = Qdph dqg Ghsduwphqw ghwhuplqh Surihvvlrq/

SH �A3=<4 V= Iru dq| surihvvlrq/ hpsor|hhv kdylqj % htxdo % h{shulhqfh

vkrxog kdyh % htxdo % vdodu| +dw d ghjuhh ri ydolglw| htxdo wr 3=<4,1

43

Lq wkh vhtxho/ dqg iru wkh vdnh ri euhylw|/ zh xvh wkh deeuhyldwhg qrwdwlrq�HT[ lqvwhdg ri �HT+w4=[> w5=[,1

Wkh prvw ri wkh iruphu sursrvdov xvhg wkh Uhvfkhu0Jdlqhv lpsolfdwlrq/ zklfklv qrw zhoo vxlwhg iru wkh irupdol}dwlrq ri gdwd ghshqghqflhv1 Lq idfw/ Uhvfkhu0Jdlqhv lpsolfdwlrq lv wrr uljlg +gxh wr lwv elqdu| fkdudfwhu, dqg lw grhv qrwwdnh lqwr frqvlghudwlrq wkh yduldwlrq ri wkh wuxwk0ydoxhv ri wkh suhplvh dqgwkh frqfoxvlrq +h1j1/ +3=78 ,UJ 3=73, @ +3=<< ,UJ 3=73, @ 3 zkloh +3=78 ,O

3=73, @ 3=<8 dqg +3=<<,O 3=73, @ 3=8<,1 Pruhryhu/ Uhvfkhu0Jdlqhv lpsolfdwlrqlv xqdeoh wr uh�hfw idlwkixoo| wkh forvhqhvv ri wkh wuxwk0ydoxhv ri wkh suhplvh dqgwkh frqfoxvlrq +h1j1/ +3=74,UJ UJ3=73, @ 3 zkloh +3=74,O 3=73, @ 3=<<,1

Uhpdun 8 D fodvvlfdo IG lv d vshfldo fdvh ri d GIIG zlwk d ydolglw| ghjuhh

htxdo wr 41 Lq idfw/ d IG lv ydolg li ; w4/ w5 ri u+X,/ w4=[ @ w5=[ , w4=\ @ w5=\ /ru htxlydohqwo| ^�HT+w4=[> w5=[,, @ 4, +�HT+w4=\> w5=\ ,, @ 4` +e| uh�h{lylw| riHT,> Zklfk lv htxlydohqw/ xvlqj Oxndvlhzlf} lpsolfdwlrq/ wrplq+4> 4�4.4, @ 41

Wkh xvh ri Oxndvlhzlf} lpsolfdwlrq lq wkh frqglwlrq 43/ shuplwv wr holplqdwhvrph nlqg ri glvfrqwlqxlw| gxh wr wkh xvh ri J�rgho lpsolfdwlrq lq Fkhq hw dosursrvdo ^;/ <`1 Lq idfw/ lq frqglwlrq 6/ li wkh [0ydoxhv duh yhu| forvh/ lw lvvx�flhqw wkdw wkh \ 0ydoxhv uhvhpeoh hdfk rwkhu dw ghjuhh �/ zklfk grhv qrwphdq qhfhvvdulo| wkdw wkh| duh yhu| forvh1

Uhpdun 9 Wkh gh�qlwlrq ri Udmx hw do +l1h1/ gh�qlwlrq 8, lv d vshfldo fdvh ri

wkh gh�qlwlrq ;1 Lq idfw/ zkhq �HT[ � �HT\ wkhq plq+4> 4��HT[.�HT\ , @41 Lq wklv fdvh d Udmx*v GII [ �A \ lv htxlydohqw wr [ �A4 \ 1

Uhpdun : Wkh frqfhsw ri d IILG lqwurgxfhg lq Vd{hqd hw do sursrvdo ^56` lv

d vshfldo fdvh ri d GIIG1 Lq idfw/ d IILG lv yhul�hg li �HT[ A �HT\ dqg lq

wklv fdvh plq+4> 4 � �HT[ . �HT\ , @ 4 � �HT[ . �HT\ fruuhvsrqglqj wr d

GIIG [ �A� \ zkhuh � ? 41

Wkh sursrvhg dssurdfk hqdeohv wr kdqgoh lqwhjulw| frqvwudlqwv lqyroylqjix}}| prgl�huv ^44/ 4<`/ vxfk dv %pruh ru ohvv% ru %yhu|%/ wr wkh uhodwlrq HT1Lq idfw/ jlyhq d ix}}| prgl�hu # vxfk wkdw i#+4, @ 4/ wkh ix}}| prgl�hg uh0odwlrq +#HT, lv uh�h{lyh dqg v|pphwulf1 Khqfh/ wkh lqwhjulw| frqvwudlqw Li

[ lv #4HTXDO wkhq \ lv #5HTXDO zlwk #4dqg #5 uhvshfwlqj wkh iruphufrqglwlrq fdq eh ylhzhg dv d GIIG dqg wkh frqglwlrq +43, lv uhsodfhg e|plq+4> 4 � i#4 +�HT[, . i#5+�HT\ ,, � �W 1 Iru h{dpsoh/ wkh ix}}| lqwhjulw|frqvwudlqw % Yhu| [ pruh ru ohvv ghwhuplqhv \% fdq eh dvvrfldwhg wr d GIIG[ �A� \ lv ydolg rq u+X, / ; w4> w5 5 u= plq+4>4� �HT[ . +

s�HT\ ,, � �W 1

Gh�qlwlrq < Ohw xv frqvlghu d uhodwlrq vfkhph U+D4> D5> = = = > Dq, dqg d vhw ri

IGv I 1 Dq lqvwdqfh u+X, lv fdoohg ohjdo lqvwdqfh li u vdwlv�hv doo wkh IGv ri I 1

44

Q G S H V �u+w,

w4 Vdplu Pdunhwlqj Hqjlqhhu 43 8333 3=:8w5 Pdkhu Pdunhwlqj Gluhfwru 48 8:33 3=<3w6 Vdpl Ilqdqfh Hqjlqhhu 45 8533 3=;3w Qdelo Vdohv Gluhfwru 44 8533 3=;3v Vdqd Ilqdqfh Hqjlqhhu 43=8 8433 3=::w9 Udfklg Pdunhwlqj Hqjlqhhu 45=8 8733 3=;;

Wdeoh 7= 31:30ohjdo lqvwdqfh +d vkliw ri ghjuhh ri frqvlvwhqf| ri wkh lqvwdqfh,1

Lw lv fohdu wkdw wkh gh�qlwlrq ri d ohjdo lqvwdqfh u+X,/ vkrxog eh prgl�hg lqwkh suhvhqfh ri d vhw ri GIIGv dqg wkh sdudphwhu �W 1 Lq idfw/ lq wkh vhtxho/ lwlv fdoohg �0ohjdo ru �0frqvlvwhqw lqvwdqfh dqg lv gh�qhg dv ehorz

Gh�qlwlrq 43 Dq �0frqvlvwhqw ix}}| uhodwlrq u+U,/ ghqrwhg e| u� lq frqiurqw

wr d vhw ri GIIGv = I� @ iO4 �A�4 U4>O5 �A�5 U5> = = = >Oq �A�q Uqj> �W ��l/ l @ 4> = = = > q/ dqg wkh ghjuhh ri frqvlvwhqf| � @ plqi�4> �5> = = = > �qj1

Iru h{dpsoh/ li zh frqvlghu �W @ 3=:3 wkhq wkh lqvwdqfh jlyhq lq wdeoh 4/yhul�hv wkh vhw ri GIIG @iQG �A4 S> SH �A3=<4 Vj zlwk d ghjuhh �W � �@ 3=<4 @plqi4>3=<4j1 Khqfh/ u lv vdlg 3=<40ohjdo dqg ghqrwhg e| u3=<41

Qrz li zh wu| wr lqvhuw wkh wxsoh w8 @ +Dkphg/ Vdohv/ Hqjlqhhu/ 45/ 8733/3=;;,/ zh �qg wkdw wklv lqvhuwlrq lv lpsrvvleoh1 Lq idfw/ lq fdvh zh lqvhuw wkhwxsoh w8 wkh GIIG SH �A� V lv dozd|v yhul�hg exw zlwk d ghjuhh htxdo wr 3=8zklfk lv ohvv wkdq wkh ghjuhh �W @ 3=:31 Lqwxlwlyho|/ wklv lpsrvvlelolw| ri lqvhu0wlrq lv h{sodlqhg dv iroorzv1 Li zh lqvhuw w8/ wkhq wkh lqvwdqfh zloo frqwdlq wzrwxsohv zlwk htxdo ydoxhv frqfhuqlqj wkh % H{shulhqfh % dwwulexwh dqg yhu| gli0ihuhqw ydoxhv frqfhuqlqj wkh % Vdodu| % dwwulexwh1 Wkxv/ wkh lqwhjulw| frqvwudlqwd�uplqj wkdw wzr hpsor|hhv zlwk htxdo h{shulhqfh pxvw kdyh dssur{lpdwho|htxdo vdodulhv lv ylrodwhg1Qrz zh vkrz wkh g|qdplf fkdudfwhu ri wkh ghjuhh ri ydolglw| ri d GIIG1 Lqidfw/ li zh wu| wr lqvhuw wkh wxsoh w9 @ +Udfklg/ Pdunhwlqj/ Hqjlqhhu/ 45=8/ 8733/3=;;,1 Wkh lqvhuwlrq ri wklv wxsoh lv srvvleoh dqg lw lv iroorzhg e| d vkliw ri wkhfrqvlvwhqf|*v ghjuhh � +juhdwhu wkdq ru htxdo wr �W , ri wkh lqvwdqfh iurp 3=<4wr 3=:1 Khqfh/ SH �A3=: V lv yhul�hg lq wkh lqvwdqfh u3=: jlyhq lq wdeoh 71

��� W?uihi?Ui @ �L4t uLh #66#t

Lq wklv vhfwlrq/ zh sursrvh d vhw ri lqihuhqfh d{lrpv dqg suryh lwv vrxqgqhvv1Lq wkh iroorzlqj d{lrpv/ u lv d ix}}| uhodwlrq rq wkh uhodwlrq vfkhph X dqg[>\>] � X dqg � 5 ^3>4`1

Sursrvlwlrq 4 Wkh d{lrpv D40D8 duh vrxqg=

45

D4= Uh�h{lylw|= Li \ � [ wkhq [ �A� \ 1D5= Dxjphqwdwlrq= Li [ �A� \ wkhq [] �A� \ ]1D6= Wudqvlwlylw|= Li [ �A� \ dqg \ �A� ] wkhq [ �A� ] li �HT[ �

�HT\ ru �HT\ � �HT]D7= Xqlrq= Li [ �A� \ dqg [ �A� ] wkhq [ �A� \ ]1D8= Ghfrpsrvlwlrq= Li [ �A� \ ] wkhq [ �A� \ dqg [ �A� ]1

Surri1 4, Uh�h{lylw|=

Vlqfh \ � [ / �HT[ � �HT\ / plq+4>4 � �HT[ . �HT\ , @ 4 � �W 1Wkdw lv/ [ �A� \ krogv lq u1

5, Dxjphqwdwlrq=

41 [ �A� \ = plq+4> 4� �HT[ . �HT\ , � �W 1

51 zh kdyh �HT[] @plqi�HT[ > �HT]j dqg �HT\ ] @plqi�HT\ > �HT]j1

Fdvh 4= �HT[ � �HT\ / vr, �HT[] � �HT\ ] / plq+4>4 � �HT[] . �HT\ ], @ 4 � �W 1 Wkdw lv/

[] �A� \ ] krogv lq u1Fdvh 5=�HT[ A �HT\ / vrplq+4> 4��HT[.�HT\ , @ 4��HT[.�HT\ � �W / 4��HT[].�HT\ ], @

4 � �W 1 Wkdw lv/ [] �A� \ ] krogv lq u16, Wudqvlwlylw|=

41 [ �A� \ =plq+4>4� �HT[ . �HT\ , � �W +d,

51 \ �A� ] =plq+4> 4� �HT\ . �HT], � �W +e,

Li �W � 4/ wkhq +d, dqg +e, duh uhvshfwlyho| htxlydohqw wr4� �HT[ . �HT\ � �W +f, dqg4� �HT\ . �HT] � �W +g,1Fdvh 4= �HT[ � �HT\, ��HT[ . �HT\ � 31, +4� �HT\ . �HT], . +��HT[ . �HT\ , � �W +e| +g,,1, +4� �HT[ . �HT], � �W 1 Wkdw lv/ [ �A� ] krogv lq u1Fdvh 5= �HT\ � �HT], ��HT\ . �HT] � 31, +4� �HT[ . �HT\ , . +��HT\ . �HT], � �W +e| +f,,1, +4� �HT[ . �HT], � �W 1 Wkdw lv/ [ �A� ] krogv lq u17, Xqlrq=

41 [ �A� \ = plq+4> 4� �HT[ . �HT\ , � �W / �W � 4 . �HT[ � �HT\ 1

51 [ �A� ]= plq+4> 4� �HT[ . �HT], � �W / �W � 4 . �HT[ � �HT] 1

46

, �W � 4 . �HT[ � plqi�HT\ / �HT]j1, �W � 4 . �HT[ � �HT\ ]1, 4�.�HT[ � �HT\ ] � �W 1 Wkdw lv/ [ �A� \ ] krogv lq u18, Ghfrpsrvlwlrq= li [ �A� \ ] wkhq [ �A� \ dqg [ �A� ][ �A� \ ]= 4� �HT[ . �HT\ ] � �W 1, �W � 4. �HT[ � �HT\ ] 1, �W � 4. �HT[ � plqi�HT\ / �HT]j1, �W � 4. �HT[ � �HT\ dqg �W � 4 . �HT[ � �HT] 1, 4 � .�HT[ � �HT\ � �W dqg 4 � .�HT[ � �HT] � �W 1 Wkdw lv/

[ �A� \ dqg [ �A� ] krog lq u1

Uhpdun ; Iurp wkh gh�qlwlrq ri uh�h{lylw|/ zh fdq frqfoxgh wkdw li \ � [wkhq zh kdyh dozd|v [ �A4 \ 1

Sursrvlwlrq 5 Li [ �A� \ dqg [ �A� \ wkhq [ �A� \ ]zlwk � 9@ � dqg

� @plq+�>�,1

Surri1 Iurp wkh gh�qlwlrq ri xqlrq d{lrp1

Sursrvlwlrq 6 Li [ �A� \ dqg \ �A� ] wkhq [ �A� ]/ zkhuh +� @ 4 ru

� @ 4, dqg � @plq+�> �,1

Surri1 Li [ �A� \ dqg \ �A� ] wkhq [ �A� ]/ zkhuh +� @ 4 ru� @ 4, lv jlyhq iurp wkh gh�qlwlrq ri wudqvlwlylw| d{lrp1 Qrz zh vkrz wkdw� @plq+�>�,1

Fdvh 4= � @ 4 dqg � @ 4, �HT[ � �HT] , [ �A4 ]1Fdvh 5= � @ 4 dqg � ? 4[ �A4 \ , �HT[ � �HT\ , 4�.�HT[ � �HT\ � 41+d,\ �A� ] , �HT\ A �HT] , 4�.�HT\ � �HT] @ �1 +e,+d . e, , 4�.�HT[ � �HT\ . 4�.�HT\ � �HT] � 4. � ,plq+4> 4�.�HT\ � �HT], � �1 Wkdw lv/ [ �A� ] zlwk � @plq+�> �,11Fdvh 6= � ? 4 dqg � @ 4Wkh vdph surri dv fdvh 51

e �L?U*�t�L?

Wklv sdshu lqwurgxfhv d vlpsoh dqg qdwxudo h{whqvlrq ri fodvvlfdo ixqfwlrqdo gh0shqghqf|/ fdoohg g|qdplf ix}}| ixqfwlrqdo ghshqghqf|1 Lw kdv ehhq vkrzq wkdwd GIIG lv d jhqhudol}dwlrq ri ^7/ 54/ 56` sursrvdov1 Wkh dlp ri wklv jhqhudol}d0wlrq lv uhod{lqj wkh elqdu| wuxwk ydolglw| uhvwulfwlrq1 Lw kdv ehhq vkrzq dovr wkdwd GIIG fdq vxffhvvixoo| uhsuhvhqw lqwhjulw| frqvwudlqwv h{suhvvlqj dssur{lpdwhhtxdolw| dqg lqyroylqj dovr ix}}| prgl�huv1 Wkh dvvrfldwhg d{lrpdwlf v|vwhpkdv ehhq suhvhqwhg dqg vkrzq wr eh vrxqg1

47

Lw vkrxog eh srlqwhg rxw wkdw wklv zrun lv qhlwkhu d frpsohwh qru d frqfoxvlyhh{srvlwlrq ri wkh srlqwv wkdw vkrxog eh vwxglhg1 Zlwklq wkh sursrvhg dssurdfkdqg dv dq h{whqvlrq ri wklv zrun/ zh fdq phqwlrq wkh vwxg| ri frpsohwhqhvv ri wkhdvvrfldwhg d{lrpdwlf v|vwhp/ wkh lqwurgxfwlrq ri wkh frqfhsw ri qxoo ydoxhv dqgwkh vwxg| ri rwkhu w|shv ri gdwd ghshqghqflhv/ vxfk dv pxowl0ydoxhg ghshqghqf|/glixqfwlrqdo ghshqghqf| ^6/ 48`/ hwf1

Dfnqrzohgjphqw Zh wkdqn Nlqj Idkg Xqlyhuvlw| ri Shwurohxp dqg Plq0hudov dqg wkh Jhqhudo Gluhfwlrq ri Vflhqwl�f Uhvhdufk ri Wxqlvld +GJUVW, irusduwldoo| �qdqflqj wklv zrun1

+iuihi?Uit

^4` Z1Z1 Dupvwurqj1 Ghshqghqf| vwuxfwxuhv ri gdwdedvh uhodwlrqvklsv1 LqLILS Frqjuhvv/ sdjhv 8;3~8;6/ Vhswhpehu 4<:71

^5` S1 Dw}hql dqg Q1P1 Pruixql1 Ixqfwlrqdo ghshqghqflhv dqg frqvwudlqwv rqqxoo ydoxhv lq gdwdedvh uhodwlrqv1 Lqirupdwlrq dqg Frqwuro/ +:3,=4~64/ 4<;91

^6` V1 Ehq\dkld dqg D1 Mdrxd1 Hwxgh ghv g�hshqgdqfhv �rxhv +Vwxg| ri ix}}|ghshqghqflhv, 1 Pdvwhu uhsruw/ HUSDK Odrudwru|/ Vflhqfhv Idfxow| riWxqlv/ Mxo| 4<<91

^7` E1 Ekxql|d dqg S1 Ql|rjl1 Orvvhohvv mrlq surshuw| lq ix}}| uhodwlrqdo gdwd0edvhv1 Gdwd dqg Nqrzohgjh Hqjlqhhulqj/ sdjhv 43<~457/ 4<<61

^8` E1 Erxfkrq0Phxqlhu1 Od orjltxh �rxh +Wkh ix}}| orjlf,1 Suhvvhv Xqlyhuvl0wdluhv gh Iudqfh/ lq v�hulh %TXH VDLV0MHB%/ 4<<61

^9` E1S1 Exfnohv dqg I1H1 Shwu|1 D ix}}| uhsuhvhqwdwlrq ri gdwd iru uhodwlrqdogdwdedvhv1 Ix}}| Vhwv dqg V|vwhpv/ +:,=546~559/ 4<;51

^:` E1S1 Exfnohv/ I1H1 Shwu|/ dqg K1V1 Vdfkdu1 D grpdlq fdofxoxv iru ix}}|uhodwlrqdo gdwdedvhv1 Ix}}| Vhwv dqg V|vwhpv/ +5<,=65:~673/ 4<;<1

^;` J1T1 Fkhq/ H1H1 Nhuuh/ dqg M1 Ydqghqexofnh1 D frpsxwdwlrqdo dojrulwkpiru wkh IIG wudqvlwlyh forvxuh dqg d frpsohwh d{lrpdwl}dwlrq ri ix}}| ixqf0wlrqdo ghshqghqflhv1 Mrxuqdo ri Lqwhooljhqw V|vwhpv/ 8+<,=754~773/ 4<<71

^<` J1T1 Fkhq/ H1H1 Nhuuh/ dqg M1 Ydqghqexofnh1 Wkh ghshqghqf|0suhvhuylqjghfrpsrvlwlrq dqg d whvwlqj dojrulwkp lq d ix}}| uhodwlrqdo gdwd prgho1Ix}}| Vhwv dqg V|vwhpv/ +:5,=5:~6:/ 4<<81

^43` H1I1 Frgg1 D uhodwlrqdo prgho ri gdwd iru odujh vkduhg gdwd edqnv1 Frp0pxqlfdwlrqv ri wkh DFP/ 46+9,=6::~6;:/ Mxqh 4<:31

48

^44` G1 Gxerlv dqg K1 Sudgh1 Wk�hrulh ghv srvvlelolw�hv= Dssolfdwlrq �d od

uhsu�hvhqwdwlrq ghv frqqdlvvdqfhv hq lqirupdwltxh1 Hglwlrq PDVVRQ/Sdulv/ 4<;;1

^45` O1W1 IDQ1 Ixqfwlrqdo ghshqghqflhv dqg qrupdo irupv lq wkh ri ix}}| uhod0wlrqdo gdwdedvh prgho1 Lqirupdwlrq Vflhqfhv/ 93+405,=4~5;/ Mxqh 4<<51

^46` M1 Kdoh dqg V1 Vkhqrl1 Lpsuhflvh gdwdedvh lqihuhqfh xvlqj ixqfwlrqdo gh0

shqghqflhv/ Dgydqfhv lq ix}}| wkhru| dqg whfkqrorj|/ sdjhv 63:~6591 GxnhXqlyhuvlw|/ 4<<81

^47` W1 Lfklndzd dqg P1 Kludndzd1 DUHV= D uhodwlrqdo gdwdedvh zlwk Wkhfdsdelolw| ri shuiruplqj �h{leoh lqwhusuhwdwlrq ri txhulhv1 LHHH wudqvdfwlrq

rq vriwzduh Hqjlqhhulqj/ 45+8,=957~967/ Pd| 4<;91

^48` D1 Mdrxd/ Q1 Ehonklwhu/ dqg W1 Prxndp1 Sursul�hw�hv ghv g�hshqgdqfhv gl0irqfwlrqqhoohv gdqv ohv edvhv gh grqq�hhv uhodwlrqqhoohv1 LQIRU/ 63+4,/ 4<<51

^49` D1 Nlvv1 � 0ghfrpsrvlwlrq ri ix}}| uhodwlrqdo gdwdedvhv1 Dqqdohv Xqly1 Vfl1Exgdshvw/ Vhfw1 Frps1/ 4<+45,=466~475/ 4<<41

^4:` D1 Prwur1 Dffrpprgdwlqj lpsuhflvlrq lq gdwdedvh v|vwhpv= Lvvxhv dqgvroxwlrqv1 VLJPRG uhfrug/ 4<+7,=9<~:7/ Ghfhpehu 4<<31

^4;` P1 Qdndwd1 Ghshqghqflhv lq ix}}| gdwdedvhv= Ixqfwlrqdo ghshqghqflhv1 Lqwkh Lqwhuqdwlrqdo mrlqw frqihuhqfh ri wkh 7wk LHHH Lqwhuqdwlrqdo frqihuhqfh

rq Ix}}| V|vwhpv/\rndkdpd +Mdsdq,/Yro1 LL/ sdjhv 4~;/ Pdufk 4<<81

^4<` Y1 Qrydn1 Ix}}| vhwv dqg wkhlu dssolfdwlrqv1 Dgdp Kljohu/ 4<;<1

^53` K1 Sudgh1 dqg F1 Whvwhpdoh1 Jhqhudol}lqj gdwdedvh uhodwlrqdo dojheud iruwkh wuhdwphqw ri lqfrpsohwh ru xqfhuwdlq lqirupdwlrq dqg ydjxh txhulhv1Lqirupdwlrq Vflhqfhv/ +67,=448~467/ 4<;71

^54` N1Y1V1Y1Q1 Udmx dqg D1N1 Pdmxpgdu1 Ix}}| Ixqfwlrqdo ghshqghqflhv dqgOrvvhohvv mrlq ghfrpsrvlwlrq ri ix}}| uhodwlrqdo gdwdedvhv v|vwhpv1 DFP

Wudqvdfwlrqv rq Gdwdedvh V|vwhpv/ 46+5,=45<~499/ Mxqh 4<;;1

^55` H1D1 Uxqghqvwhlqhu dqg O1 Elf1 Hydoxdwlqj djjuhjdwhv lq srvvlelolvwlf uhod0wlrqdo gdwdedvhv1 Gdwd dqg Nqrzohgjh Hqjlqhhulqj/ +:,=56<~59:/ 4<<51

^56` S1F1 Vd{hqd dqg E1N1 W|djl1 Ix}}| Ixqfwlrqdo ghshqghqflhv dqg lqghshq0ghqflhv lq h{whqghg ix}}| uhodwlrqdo gdwdedvhv prghov 1 Ix}}| Vhwv dqg

V|vwhpv/ +9<,=98~;</ 4<<81

^57` V1 Vkhqrl/ D1 Pdowrq/ dqg O1W1 Idq1 Dq htxlydohqfh fodvvhv prgho ri ix}}|uhodwlrqdo gdwdedvhv 1 Ix}}| Vhwv dqg V|vwhpv/ 6;+5,=486~4:3/ 4<<31

49

^58` U1F1 Wulsdwk| dqg S1F1 Vd{hqd1 Pxowlydoxhg ghshqghqflhv lq ix}}| uhod0wlrqdo gdwdedvh 1 Ix}}| Vhwv dqg V|vwhpv/ 6;+6,=59:~5:</ 4<<31

^59` O1D1 ]dghk1 Ix}}| vhwv1 Lqirupdwlrq dqg Frqwuro/ +9<,=66;~686/ Mxqh 4<981

4: