'$7$ 6+((7 $8*867 iaaae 5HYLVLRQ eii 6.aeiaeiei6.aeiaeiae RU 6.aeiaeia i iica NESV +'6/ 'DWD 3XPS &KLS 6HW *HQHUDO 'HVFULSWLRQ )HDWXUHV 7KH +'6/ 'DWD 3XPS LV D FKLS VHW FRQVLVWLQJ RI WKH IRO ORZLQJ WZR GHYLFHVa 6.aeiaeie $QDORJ &RUH &KLS o$&&o 6.aeiaeiae ocaSLQ 3/&&o RU 6.aeiaeia oeeSLQ 3/&&o +'6/ 'LJLWDO 7UDQVFHLYHU o+';o 7KH +'6/ 'DWD 3XPS LV D eZLUH WUDQVFHLYHU ZKLFK SUR YLGHV HFKRFDQFHOOLQJ DQG e%i4 OLQH FRGLQJi ,W LQFRUSR UDWHV WUDQVPLW SXOVH VKDSLQJn ILOWHULQJn OLQH GULYHUVn UHFHLYH HTXDOL]DWLRQn WLPLQJ DQG GDWD UHFRYHU\ WR SURYLGH iica NESVn FOHDUFKDQQHOn |GDWD SLSH WUDQVPLVVLRQi 7KH 'DWD 3XPS SURYLGHV 1HDU(QG &URVV7DON o1(;7o SHUIRU PDQFH LQ H[FHVV RI WKDW UHTXLUHG RYHU DOO (76, WHVW ORRSVi 7\SLFDO WUDQVPLVVLRQ UDQJH RQ iie PP FDEOH H[FHHGV eic NP LQ D QRLVHIUHH HQYLURQPHQW RU eia NP ZLWK D i G% PDU JLQ RYHU ii 9iHz (76, QRLVHi )XOO\ LQWHJUDWHGn eFKLS VHW IRU LQWHUIDFLQJ WR eZLUH +'6/ OLQHV DW iica NESV 6LQJOH oe 9 VXSSO\ ,QWHJUDWHG OLQH GULYHUVn ILOWHUV DQG K\EULG FLUFXLWV UH VXOW LQ JUHDWO\ UHGXFHG H[WHUQDO ORJLF DQG VLPSOLILHG VXSSRUW FLUFXLWU\ UHTXLUHPHQWV 6LPSOH OLQH LQWHUIDFH FLUFXLWU\n YLD WUDQVIRUPHU FRX SOLQJn WR WZLVWHG SDLU OLQH ,QWHUQDO $&& YROWDJH UHIHUHQFH ,QWHJUDWHG 9&;2 FLUFXLWU\ &RQYHUWV VHULDO ELQDU\ GDWD WR VFUDPEOHG e%i4 HQFRGHG GDWD 6HOIFRQWDLQHG DFWLYDWLRQiVWDUWXS VWDWH PDFKLQH IRU VLPSOLILHG VLQJOH ORRS GHVLJQV 3URJUDPPDEOH IRU HLWKHU OLQH WHUPLQDWLRQ o/78o RU QHWZRUN WHUPLQDWLRQ o178o DSSOLFDWLRQV &RPSOLDQW ZLWK (76, (75iee oiaaeo 'HVLJQ DOORZV IRU RSHUDWLRQ LQ HLWKHU 6RIWZDUH &RQ WURO RU VWDQG DORQH +DUGZDUH &RQWURO PRGH 7\SLFDO SRZHU FRQVXPSWLRQ OHVV WKDQ iie : DOORZLQJ UHPRWH SRZHU IHHGLQJ IRU UHSHDWHU DQG 178 HTXLS PHQW ,QSXW RU 2XWSXW 5HIHUHQFH &ORFN RI iaicaa 0+] 'LJLWDO UHSUHVHQWDWLRQ RI UHFHLYH VLJQDO OHYHO DQG QRLVH PDUJLQ YDOXHV DYDLODEOH IRU 615 FRQWUROOHG DF WLYDWLRQ 7KH 'DWD 3XPS PHHWV WKH UHTXLUHPHQWV RI (76, (75ieei ,W SURYLGHV RQH HQG RI D VLQJOHFKDQQHO +'6/ WUDQVPLVVLRQ V\VWHP IURP WKH WZLVWHG SDLU LQWHUIDFH EDFN WR WKH 'DWD 3XPSi+'6/ GDWD LQWHUIDFHi 7KH 'DWD 3XPS FDQ EH XVHG DW HLWKHU WKH 178 RU WKH /78 HQG RI WKH LQWHUIDFHi $SSOLFDWLRQV (i oeSDLUo DQG IUDFWLRQDO (i WUDQVSRUW 1FKDQQHO GLJLWDO SDLUJDLQ :LUHOHVV EDVH VWDWLRQ WR VZLWFK LQWHUIDFH &DPSXV DQG SULYDWH QHWZRUNLQJ +LJK6SHHG GLJLWDO PRGHPV +'6/ 'DWD 3XPS %ORFN 'LDJUDP +'; 7)3 &RQWURO /RJLF 5'$7$ 5)3 ,&/. /78 ')( 'HFLVLRQ &LUFXLW '$7$ $''5 70$* $FWLYDWLRQ &RQWURO /26: 5()&/. 76*1 6FUDPEOHU 3KDVH 'HWHFWRU ))( '$*& $*& 7DS (FKR &DQFHOOHU 'HFL PDWLRQ )LOWHU 7[ )LOWHU /LQH 'ULYHU $'i $'i $*& $*&.,. 9&2 &.eae0 )6 '75 6HULDO ,i) e e c a a ii ie 75,1* e ii 77,3 95() &75/ L1 e%i4 (QFRGHU $i' 0RGXODWRU 7'$7$ 7&.e0 R &.a0 %DFN (QG $&& e ie 57,3 %5,1* 55,1* ie %7,3 ,%,$6 ;, ;2 93// ie 7R 9DULRXV %ORFNV aeei 6.aeiaeiei6.aeiaeiae RU 6.aeiaeia iica NESV +'6/ 'DWD 3XPS &KLS 6HW 7KH +'; LV DYDLODEOH LQ WZR SDFNDJHVa caSLQ 3/&& o6.aeiaeiaeo DQG eeSLQ 3/&& o6.aeiaeiaoi )LJXUH i VKRZV WKH +'; SLQ DVVLJQPHQWVi 7DEOH e OLVWV VLJQDO GHVFULSWLRQV IRU HDFK SLQn FRUUHVSRQGLQJ WR WKH VSHFLILF SDFNDJHi 70$* e 7&.e0 e $*&.,. e $'i $'i 7KH $&& LV SDFNDJHG LQ D eaSLQ 3/&&i )LJXUH i VKRZV WKH $&& SLQ ORFDWLRQVi 7DEOH e OLVWV VLJQDO GHVFULSWLRQV IRU HDFK SLQn H[FHSW SLQV ia DQG ia ZKLFK DUH QRW FRQQHFWHGi )6 3,1 $66,*10(176 $1' 6,*1$/ '(6&5,37,21 '75 )LJXUH ia 6.aeiaeie $&& 3LQ /RFDWLRQV i ea eae ec &.eae0 e ee 76*1 '*1' c ee '9&& ;2 ae ee 79&& ;, a ee 75,1* ei 77,3 ei 7*1' ia QiF 93// a 3*1' ii ,%,$6 ii $&& 6.aeiaeie QiF %5,1* %7,3 5*1' 55,1* 59&& 57,3 ie ie ie ie ic iae ia /78 ei ,&/. ei QiF ee 5(6(7e ee QiF ee QiF ee QiF ec 'e o5375o 'e o,/07o 'i o/26:7o *1'i 'e o)(/%o *1'e 'e o%(/%o $''5i o48,(7o 'c o5&/.8o $''5i o$&75(4o 'ae o7;767o $''5e 9&&e $''5e o$&791*o 9&&i 5'$7$ QiF *1'e QiF 76*1 70$* 7&.e0 $*&.,. $'i $'i )6 '75 &.eae0 QiF QiF QiF QiF QiF eae ea ea ei ei ee ee ee ee ec eae ea ea ei ei ee ee &+,36(/ ei ,17 o7(;3o ei 5(6(7i ea /26: ea QiF eae *1'e ec QiF ee QiF ee QiF c e e e e 'eo)(/%o ia :5,7( ee i ee ee ee ei ei 5)3 ae ea 'eo5375o 5'$7$ a 'eo,/07o $''5eo$&791*o a ea eae 5)67 ii ec 'io/267n /26o 7'$7$ ii ee 5($' 7)3 ie ee :5,7( 5()&/. ie ee &+,36(/ &.a0 ie ee ,17o7(;3o &.a0(1 ie ei 5(6(7i /78 ic ei /26: ,&/. iae ea QiF +'; 6.aeiaeia '75 &.eae0 5(6(7e ia ia ei 'io/26:7o ei ee ee ee ee ec eae ea *1'e &.a0(1 5($' ee 'eo%(/%o ia 'i o/267n/26o ee 76*1 &.a0 QiF ee 'co5&/.8o iae QiF ec 'aeo7;767o 5()&/. +'; 6.aeiaeiae QiF eae 70$* ic QiF ea 7&.e0 7)3 QiF ea 9&&e ie ci $*&.,. 7'$7$ i ca cae cc ce ce ce ce ci 9&&i ie e *1'i 5)67 e $'i ie e $'i QiF e *1'e ie c )6 ii QiF ae $''5io48,(7o QiF a $''5io$&75(4o ii a $''5e QiF 5)3 7DEOH ia 6.aeiaeiaei6.aeiaeia +'; 3LQ $VVLJQPHQWV 127(a 3LQ )XQFWLRQV LQ +DUGZDUH &RQWURO 0RGH DUH VKRZQ LQ SDUHQWKHVHVi aeee L1 3LQ $VVLJQPHQWV DQG 6LJQDO 'HVFULSWLRQ 7DEOH ea 6.aeiaeie $&& 3LQ $VVLJQPHQWVi6LJQDO 'HVFULSWLRQV *URXS 3LQ u 6\PERO ,i2 /LQH ie 57,3 , ie 55,1* , ic %7,3 , iae %5,1* , ei 77,3 2 ee 75,1* 2 ae ;2 2 a ;, , a 93// 2 3// 9ROWDJH &RQWUROi 6XSSOLHV FRQWURO YROWDJH WR WKH 9&;2i ii 3*1' , 3// *URXQGi i 9i ie 59&& , 3RZHU VXSSO\i o e 9 o` eooi ee 79&& , 3RZHU VXSSO\i o e9 o` eooi ee '9&& , 'LJLWDO 3RZHU 6XSSO\i oe 9 o` eooi c '*1' , '9&& *URXQGi i9i ie 5*1' , 59&& *URXQGi i9i ei 7*1' , 79&& *URXQGi i9i e )6 , eae N+] FORFNi ,QSXW IURP +'; )6i e '75 , 6HULDO FRQWURO GDWDi ,QSXW IURP WKH +'; DW iaicaa 0ESVi e &.eae0 2 eaeieaec 0+] +'6/ 5HIHUHQFH &ORFNi 8VHG DV WKH UHFHLYH WLPLQJ UHIHUHQFH IRU WKH +';i 7LH WR +'; &.eae0i eae 7&.e0 , eicaee 0+] &ORFNi ,QSXW IURP +'; 7&.e0i ea $*&.,. 2 $*& DGMXVW VLJQDOi 2XWSXW WR +'; $*&.,.i i $'i 2 $WR' FRQYHUWHU GDWD OLQH ii &RQQHFW WR +'; $'ii e $'i 2 $WR' FRQYHUWHU GDWD OLQH ii &RQQHFW WR +'; $'ii ee 76*1 , 7UDQVPLW TXDW VLJQi ,QSXW IURP +';i ec 70$* , 7UDQVPLW TXDW PDJQLWXGHi ,QSXW IURP +';i ii ,%,$6 , ,QSXW %,$6i 3URYLGHV LQSXW ELDV FXUUHQWi 3// 3RZHU &ORFN DQG &RQWURO 'DWD ,QSXW DQG 2XWSXW $QDORJ ,QSXW L1 'HVFULSWLRQ 5HFHLYH 7LS DQG 5LQJi &RQQHFWHG WKHVH LQSXW SLQV WR WKH OLQH WUDQVIRUPHU SHU QHWZRUN UHTXLUHPHQWVi %LDV 7LS DQG 5LQJi ,QSXWV SURYLGH D ELDV VHWWLQJ IRU WKH UHFHLYHUi 3URYLGH EDODQFHG QHWZRUN LQSXWVi 7UDQVPLW 7LS DQG 5LQJi /LQH GULYHU RXWSXWVi &U\VWDO 2VFLOODWRUi &RQQHFW D eaeieaec 0+] FU\VWDO DFURVV WKHVH WZR SLQVi aeee 6.aeiaeiei6.aeiaeiae RU 6.aeiaeia iica NESV +'6/ 'DWD 3XPS &KLS 6HW 7DEOH ea 6.aeiaeiaei6.aeiaeia +'; 3LQ $VVLJQPHQWVi6LJQDO 'HVFULSWLRQV *URXS aeiae 3LQ u aeia 3LQ u 6\PERO ,i2 'HVFULSWLRQ 8VHU 3RUW ie ii 5)67 2 5HFHLYH )UDPH DQG 6WXII %LW ,QGLFDWRUi *RHV +LJK IRU ia FRQVHFX WLYH ,&/. SHULRGV WR LQGLFDWH IRXU VWXIILQJ ELWV oEaeiiae aeiiio DQG ie IUDPH ELWV oEiieo RQ 5'$7$i iae ie 5()&/. ,i iaicaa 0+] +'6/ 5HIHUHQFH &ORFNi ,Q /78 0RGHn WKLV FORFN JHQHUDWHV WUDQVPLW DQG UHFHLYH WLPLQJ DQG PXVW KDYH `ee SSP DFFX UDF\i ,Q 178 0RGHn WKLV RXWSXW LV GHULYHG E\ GLYLGLQJ &.eae0 E\ WZRi 2 ei ic /78 , 2SHUDWLRQ 0RGH 6HOHFWi :KHQ /78 LV +LJKn WKH 'DWD 3XPS RSHU DWHV LQ /78 PRGHa ZKHQ /78 LV /RZn WKH 'DWD 3XPS RSHUDWHV LQ 178 PRGHi 7LHG WR LQWHUQDO SXOOXS GHYLFHi ei iae ,&/. 2 %LW 5DWH &ORFNi 1RPLQDOO\ iica N+]n 5()&/. LV WKH VRXUFH RI ,&/. LQ /78 0RGHi &.eae0 LV WKH VRXUFH RI ,&/. LQ 178 0RGHi ea ei /26: 2 /RVV RI 6\QF :RUG ,QGLFDWRUi 1RUPDOO\ /RZ LQ $FWLYH 6WDWHVn JRHV +LJK WR LQGLFDWH UHFHLSW RI VL[ FRQVHFXWLYH PLVPDWFKHG IUDPH V\QFK ZRUGVi /26: LV ORJLF +LJK LQ DOO VWDWHV H[FHSW $FWLYH 6WDWHVi a a 5'$7$ 2 5HFHLYH +'6/ 'DWD 6WUHDPi 2XWSXW GDWD WR +'6/ IUDPHU DW iica NESVa +'6/ SD\ORDG RI /RRS i RU /RRS e E\WHV SOXV WKH =ELWVn HRFn FUFn ORVGn IHEHn SVn ESYn KUSn LQGFiLQGU DQG XLE ELWVn 6\QF ELWV IRU IUDPH SRVLWLRQV Eiien 6WXII ELWV IRU IUDPH SRVLWLRQV Eaeiiae aeiiii 5'$7$ ELWV DUH IRUFHG KLJK LQ DOO VWDWHV H[FHSW WKH $FWLYH 6WDWHi a ae 5)3 2 5HFHLYH )UDPH 3XOVHi /RZ IRU RQH ,&/. F\FOH GXULQJ WKH ODVW ELW RI WKH FXUUHQW +'6/ UHFHLYH IUDPH RQ 5'$7$n HLWKHU Eaeiic RU Eaeiiii 3HULRG LV ZLWKLQ RQH EDXG WLPH RI c PVi e 5)3 LV YDOLG ZKHQ /26: WUDQVLWLRQV /RZi ie ii 7'$7$ ,i 7UDQVPLW +'6/ 'DWD 6WUHDPi ,QSXW GDWD IURP +'6/ IUDPHU DW iica NESVa +'6/ SD\ORDG RI /RRS i RU /RRS e E\WHV SOXV WKH =ELWVn HRFn FUFn ORVGn IHEHn SVn ESYn KUSn LQGFiLQGU DQG XLE ELWVn 6\QF ELWV IRU IUDPH SRVLWLRQV Eiien 6WXII GXPP\ ELWVa PD\ EH iV RU iVi 7LHG WR LQWHUQDO SXOOXS GHYLFHi :KHQ $&7,9(n WKH 'DWD 3XPS LV WUDQVSDUHQW DQG WKH +'6/ IUDPHU PXVW JHQHUDWH WKH DSSURSULDWH ELWV RQ 7'$7$ DV VKRZQ LQ 7DEOH ci ii 7KLV LQSXW LV D 6FKPLGW 7ULJJHUHG FLUFXLW DQG LQFOXGHV DQ LQWHUQDO SXOOXS GHYLFHi ei 7KH SHULRG LV c PV `iieae PVi ei 7KLV LQSXW LV D 6FKPLGW 7ULJJHUHG FLUFXLW DQG LQFOXGHV DQ LQWHUQDO SXOOGRZQ GHYLFHi aeee L1 3LQ $VVLJQPHQWV DQG 6LJQDO 'HVFULSWLRQ 7DEOH ea 6.aeiaeiaei6.aeiaeia +'; 3LQ $VVLJQPHQWVi6LJQDO 'HVFULSWLRQV FRQWLQXHG *URXS aeiae 3LQ u aeia 3LQ u 6\PERO ,i2 'HVFULSWLRQ 8VHU 3RUW ic ie 7)3 ,i 7UDQVPLW )UDPH 3XOVHi 0XVW EH /RZ IRU RQH ,&/. F\FOH GXULQJ WKH ODVW ELW RI WKH FXUUHQW +'6/ IUDPH RQ 7'$7$n HLWKHU Eaeiic RU Eaeiiii 3HULRG LV ZLWKLQ RQH EDXG WLPH RI c PVie ,I 7)3 LV SXOOHG /RZ DQG LV /RZ DJDLQ WKUHH ,&/. F\FOHV ODWHUn 5'$7$n 5)3n 5)67n ,&/.n &.a0(1 DQG /26: JR WR WULVWDWHi 7LHG WR LQWHUQDO SXOOXS GHYLFHi +DUGZDUH ,QWHUIDFH e e 48,(7 ,e 4XLHW 0RGH (QDEOHi 3XOO +LJK WR IRUFH +'; LQWR 'HDFWLYDWHG 6WDWHi $Q\ ODWHU WUDQVLWLRQ WR /RZ ZLOO QRW UHWXUQ +'; WR $FWLYH 6WDWHi 6HH $&75(4i e e $&75(4 ,e $FWLYDWLRQ 5HTXHVW o/78 PRGHo RU QR IXQFWLRQ o178 PRGHoi 7LH WKLV SLQ /RZ LQ 178 PRGHi ,I 48,(7 LV /RZn D ULVLQJ HGJH RQ WKLV SLQ LQLWLDWHV DFWLYDWLRQn EXW WKH VLJQDO LV LJQRUHG DIWHU DFWLYDWLRQi 6HH 48,(7i c c UHVHUYHG 3XOO /RZ LQ /78 PRGHn OHDYH RSHQ LQ 178 PRGHi ae a $&791* 2 $FWLYDWLQJ 6WDWH ,QGLFDWLRQi +LJK ZKHQ WKH +'; LV LQ WKH $FWLYDW LQJ 6WDWHi ee ia RESET2 ,i 5HVHW 3XOVHi 3XOO /RZ RQ SRZHU XS WR LQLWLDOL]H FLUFXLWV DQG VWRS DOO FORFNVi ei ei RESET1 ,i 5HVHW 3XOVHi 3XOO /RZ WR LQLWLDOL]H LQWHUQDO FLUFXLWVi ei ee 7(;3 2 7LPHU ([SLU\i *RHV +LJK WR LQGLFDWH ei VHFRQG WLPHU H[SLUDWLRQ LQ DOO VWDWHVi ee ee CHIPSEL ,e &KLS 6HOHFW ee ee WRITE ,e $VVHUW WKHVH WKUHH SLQV /RZ WR DFWLYDWH +DUGZDUH &RQWURO 0RGHi :KHQ DQ\ RI WKHP JRHV +LJKn WKH :ULWH 3XOVH +'; UHYHUWV LPPHGLDWHO\ WR 6RIWZDUH &RQWURO 0RGHi ee ee READ ,e 5HDG 3XOVH ee ec /267 o/78o 2 /RVV RI 6LJQDO 7LPHU ([SLUDWLRQi ,Q /78 PRGHn /267 JRHV +LJK ZKHQ WKH 'DWD 3XPS HQWHUV WKH ,QDFWLYH 6WDWHi 7KH WUDQVLWLRQ IURP WKH 'HDFWLYDWHG WR WKH ,QDFWLYH 6WDWH RFFXUV i VHFRQG DIWHU WKH HQG RI WUDQVPLVVLRQ E\ WKH 178 ZKHQ GHDFWLYDWLRQ EHJDQ IURP HLWKHU WKH $FWLYHi RU $FWLYHe 6WDWHi :KHQ WKH 'DWD 3XPS WUDQVLWLRQV IURP WKH $FWLYDWLQJ 6WDWH WR WKH 'HDFWLYDWHG 6WDWH LW PD\ LPPHGLDWHO\ HQWHU WKH ,QDFWLYH 6WDWH ZLWKRXW ZDLWLQJ IRU 178 WUDQVPLVVLRQ WR FHDVHi o6HH )LJXUH eio /26 o178o 2 /RVV RI 6LJQDO (QHUJ\ ,QGLFDWRUi ,Q 178 PRGH /26 JRHV +LJK WR LQGLFDWH ORVV RI VLJQDO HQHUJ\ RQ HQWHULQJ WKH ,QDFWLYH 6WDWHi o6HH )LJXUH aeio o+DUGZDUH &RQWURO 0RGHo ii 7KLV LQSXW LV D 6FKPLGW 7ULJJHUHG FLUFXLW DQG LQFOXGHV DQ LQWHUQDO SXOOXS GHYLFHi ei 7KH SHULRG LV c PV `iieae PVi ei 7KLV LQSXW LV D 6FKPLGW 7ULJJHUHG FLUFXLW DQG LQFOXGHV DQ LQWHUQDO SXOOGRZQ GHYLFHi L1 aeee 6.aeiaeiei6.aeiaeiae RU 6.aeiaeia iica NESV +'6/ 'DWD 3XPS &KLS 6HW 7DEOH ea 6.aeiaeiaei6.aeiaeia +'; 3LQ $VVLJQPHQWVi6LJQDO 'HVFULSWLRQV FRQWLQXHG aeiae 3LQ u aeia 3LQ u 6\PERO ,i2 'HVFULSWLRQ +DUGZDUH ,QWHUIDFH ce eae /26:7 2 /RVV RI 6\QF :RUG 7LPHUi /26:7 JRHV +LJK ZKHQ /26: LV VXV WDLQHG IRU ORQJHU WKDQ e VHFi o+DUGZDUH &RQWURO 0RGHo FRQW(c)G ce ea ,/07 ,i ,QVHUWLRQ /RVV 0HDVXUHPHQW 7HVWi 6HW +LJK WR WUDQVPLW D IUDPHG / VFUDPEOHGn |DOO iVn e%i4 SXOVH VHTXHQFHi 3XOVH VHTXHQFH ZLOO KDYH D YDOLG V\QF ZRUGi ,Q WKH 178 FRQILJXUDWLRQn ZKHQ WKH ,/07 PRGH LV VHOHFWHGn WKH 'DWD 3XPS PD\ EHJLQ DFWLYDWLRQi ci ea 5375 ,i 5HSHDWHU 0RGH (QDEOHi :KHQ LQ /78 PRGHn ,&/. RXWSXW SKDVH LV DOLJQHG WR WKH 7)3 LQSXW SXOVH ZLGWKi ,JQRUHG LQ 178 PRGHi ce ei )(/% ,i )URQW(QG /RRSEDFN o/78 RQO\oi ,Q ,QDFWLYH 6WDWHn VHW +LJK WR FDXVH WKH $&& WR ORRSEDFNi 7KH UHWXUQHG VLJQDO DFWLYDWHV WKH +'; ZKLFK UHFHLYHV LWV RZQ WUDQVPLWWHG GDWDi 7KH V\VWHP LJQRUHV LQFRP LQJ GDWD IURP 178 GXULQJ ORRSEDFN LUUHVSHFWLYH RI VWDWXVi ce ei %(/% ,i %DFN(QG /RRSEDFNi ,Q $FWLYH 6WDWH D +LJK IRUFHV DQ LQWHUQDOn WUDQVSDUHQW ORRSEDFN ZLWK 5'$7$ FRQQHFWHG WR 7'$7$ DQG 5)3 FRQQHFWHG WR 7)3i cc ee 5&/.8 2 5HFHLYH %DXG 5DWH oeae N+]o &ORFNi $OLJQHG ZLWK ,&/. LQ 178 PRGHn SKDVH V\QFKURQRXV ZLWK UHFHLYH SXOVH VWUHDPn +RZHYHUn GXULQJ $FWLYDWLQJ 6WDWHn WKH FORFNV PD\ QRW EH DOLJQHGi ,Q WKH /78 PRGH 5&/.8 KDV D FRQVWDQWn DUELWUDU\n SKDVH UHODWLRQVKLS ZLWK ,&/. LQ $FWLYH 6WDWHi cae ee 7;767 ,i 7UDQVPLW 7HVWi 6HW KLJK WR HQDEOH LVRODWHG WUDQVPLW SXOVH JHQHUDWLRQi 7KH WLPH EHWZHHQ SXOVHV LV DSSUR[LPDWHO\ c PVi 7'$7$ FRQWUROV WKH VLJQ DQG 7)3 FRQWUROV WKH PDJQLWXGH RI WKH WUDQVPLWWHG TXDW SXOVHV DFFRUGLQJ WR WKH e%i4 HQFRGLQJ UXOHVi ,Q WKH 178 FRQILJX UDWLRQn ZKHQ WKH 7;767 PRGH LV VHOHFWHGn WKH 'DWD 3XPS PD\ EHJLQ DFWLYDWLRQi ee ce ce ci ce ce cc cae ec eae ea ea ei ei ee ee 'i 'i 'e 'e 'e 'e 'c 'ae ,ii2 ,ii2 ,ii2 ,ii2 ,ii2 ,ii2 ,ii2 ,ii2 e e c ae e e c a $''5i $''5i $''5e $''5e ,e ,e ,e ,e $GGUHVV ELW ii )RXUELW DGGUHVVn VHOHFWV UHDG RU ZULWH UHJLVWHUi $GGUHVV ELW i $GGUHVV ELW e $GGUHVV ELW e ee ia RESET2 ,i 5HVHW 3XOVHi 3XOO /RZ RQ SRZHU XS WR LQLWLDOL]H FLUFXLWV DQG VWRS DOO FORFNVi *URXS 3URFHVVRU ,QWHUIDFH o6RIWZDUH &RQWURO 0RGHo 'DWD ELW ii (LJKWELWn SDUDOOHO GDWD EXVi 'DWD ELW i 'DWD ELW e 'DWD ELW e 'DWD ELW e 'DWD ELW e 'DWD ELW c 'DWD ELW ae ii 7KLV LQSXW LV D 6FKPLGW 7ULJJHUHG FLUFXLW DQG LQFOXGHV DQ LQWHUQDO SXOOXS GHYLFHi ei 7KH SHULRG LV c PV `iieae PVi ei 7KLV LQSXW LV D 6FKPLGW 7ULJJHUHG FLUFXLW DQG LQFOXGHV DQ LQWHUQDO SXOOGRZQ GHYLFHi aeec L1 3LQ $VVLJQPHQWV DQG 6LJQDO 'HVFULSWLRQ 7DEOH ea 6.aeiaeiaei6.aeiaeia +'; 3LQ $VVLJQPHQWVi6LJQDO 'HVFULSWLRQV FRQWLQXHG aeiae 3LQ u aeia 3LQ u 6\PERO ,i2 3URFHVVRU ,QWHUIDFH ei ei RESET1 ,i 5HVHW 3XOVHi 3XOO /RZ WR LQLWLDOL]H LQWHUQDO FLUFXLWVi ,&/. FRQWLQ XHVi o6RIWZDUH &RQWURO 0RGHo ei ee INT 2 ,QWHUUXSW 2XWSXWi 2SHQ GUDLQ RXWSXWi 5HTXLUHV DQ H[WHUQDO ii N SXOO XS UHVLVWRUi *RHV /RZ RQ LQWHUUXSWi ee ee CHIPSEL ,e &KLS 6HOHFWi 3XOO /RZ WR UHDG RU ZULWH WR UHJLVWHUVi ee ee WRITE ,e :ULWH 3XOVHi 3XOO /RZ WR ZULWH WR UHJLVWHUVi ee ee READ ,e 5HDG 3XOVHi 3XOO /RZ WR UHDG IURP UHJLVWHUVi ia ie &.a0 ,e aieee RU iaicaa 0+] 5HIHUHQFH &ORFNi 0DQGDWRU\ LQ 178 PRGHi 7LH +LJK RU /RZ LQ /78 0RGHi &ORFN LQSXW UHTXLUHV ` ee SSP DFFXUDF\i ia ie &.a0(1 2 &.a0 (QDEOHi $FWLYH +LJK HQDEOH IRU &.a0 FORFNi ,Q 178 PRGHn WKLV SLQ JRHV /RZ WR LQGLFDWH WKH 3// LV WUDFNLQJ WKH LQSXW VLJQDO IURP WKH /78i 1RW XVHG LQ /78i ee ia &.eae0 , 5HFHLYH 7LPLQJ &ORFN oeaeieaec 0+]oi 7LH WR &.eae0 RQ $&&i ee ei '75 2 6HULDO &RQWURO 'DWD /LQNi 7UDQVIHUV GDWD DW iaicaa 0ESVi 7LH WR '75 RQ $&&i ee ei )6 2 eae N+] &ORFNi 'HULYHG IURP &.eae0i 7LH WR )6 RQ $&&i ee ee $'i , $QDORJ WR 'LJLWDO &RQYHUWHU LQSXW SLQi 7LH WR $'i RQ $&& ec ee $'i , $QDORJ WR 'LJLWDO &RQYHUWHU LQSXW SLQi 7LH WR $'i RQ $&& eae ee $*&.,. , $*& $GMXVWi &RQWUROV DQDORJ JDLQ FLUFXLWi $&&i ea ee 7&.e0 2 7UDQVPLW &ORFNi 7LH WR 7&.e0 RQ $&&i ea ec 70$* 2 7UDQVPLW 0DJQLWXGH %LWi 7LH WR 70$* RQ $&&i ei eae 76*1 2 7UDQVPLW 6LJQ %LWi 7LH WR 76*1 RQ $&&i *URXS &ORFN DQG &RQWURO 'HVFULSWLRQ 7LH WR $*&.,. RQ ii 7KLV LQSXW LV D 6FKPLGW 7ULJJHUHG FLUFXLW DQG LQFOXGHV DQ LQWHUQDO SXOOXS GHYLFHi ei 7KH SHULRG LV c PV `iieae PVi ei 7KLV LQSXW LV D 6FKPLGW 7ULJJHUHG FLUFXLW DQG LQFOXGHV DQ LQWHUQDO SXOOGRZQ GHYLFHi L1 aeeae 6.aeiaeiei6.aeiaeiae RU 6.aeiaeia iica NESV +'6/ 'DWD 3XPS &KLS 6HW 7DEOH ea 6.aeiaeiaei6.aeiaeia +'; 3LQ $VVLJQPHQWVi6LJQDO 'HVFULSWLRQV FRQWLQXHG *URXS aeiae 3LQ u aeia 3LQ u 6\PERO ,i2 3RZHU i i 9&&i , /RJLF VXSSO\ LQSXWi o5HIHU WR 7DEOH eao ca ee 9&&e , ,i2 VXSSO\ LQSXWi e e *1'i , *URXQGi e e *1'e , *URXQGi ee ea *1'e , *URXQGi eae *1'e , *URXQGi ii ii ie ie ee ee ee ec eae ea ea ei ei ei ee ee ee ec ea ec eae ea ea ci ea 1R LQWHUQDO FRQQHFWLRQi 0LVF 'HVFULSWLRQ ii 7KLV LQSXW LV D 6FKPLGW 7ULJJHUHG FLUFXLW DQG LQFOXGHV DQ LQWHUQDO SXOOXS GHYLFHi ei 7KH SHULRG LV c PV `iieae PVi ei 7KLV LQSXW LV D 6FKPLGW 7ULJJHUHG FLUFXLW DQG LQFOXGHV DQ LQWHUQDO SXOOGRZQ GHYLFHi aeea L1 )XQFWLRQDO 'HVFULSWLRQ )81&7,21$/ '(6&5,37,21 7KH +'6/ 'DWD 3XPS LV D IXOO\LQWHJUDWHGn WZRFKLS VROX WLRQ oVHH IURQW SDJH EORFN GLDJUDPo ZKLFK LQFOXGHV DQ 6.aeiaeie $QDORJ &RUH &KLS o$&&o DQG DQ 6.aeiaeiaei 6.aeiaeia +'6/ 'LJLWDO 7UDQVFHLYHU o+';oi 7UDQVPLW 7KH WUDQVPLW GDWD VWUHDP LV VXSSOLHG WR WKH +'; DW WKH 7'$7$ LQSXW LQ D ELQDU\ IDVKLRQi 7KH +'; VFUDPEOHV DQG e%i4 HQFRGHV WKH GDWD DQG DGGV WKH V\QF ZRUG DQG VWXII TXDWV EDVHG RQ WKH 7)3 IUDPH SXOVH SRVLWLRQi 7KH LQMHFWHG VWXII TXDWV LQ D IUDPH DUH HTXDO WR WKH ODVW VFUDP EOHG GDWD V\PERO LQ WKDW IUDPHi 7KH e%i4 HQFRGHG WUDQV PLW TXDW GDWD VWUHDP o76*1i70$*o LV WKHQ SDVVHG WR WKH $&& ZKLFK ILOWHUV DQG GULYHV LW RQWR WKH OLQHi 5HFHLYH 7KH FRPSRVLWH ZDYHIRUP RI WKH UHFHLYH VLJQDO SOXV WUDQV K\EULG HFKR LV ILOWHUHG DQG FRQYHUWHG WR GLJLWDO ZRUGV DW D UDWH RI eae NZRUGViVHFRQG LQ WKH $&&i 7KH $&& SDVVHV WKH GLJLWL]HG UHFHLYH TXDW VWUHDP o$'i DQG $'io WR WKH +';i 7KH +'; SHUIRUPV GLJLWDO ILOWHULQJn OLQHDU HFKR FDQ FHOODWLRQn IUDPH UHFRYHU\ DQG GHVFUDPEOLQJi 7KH +'; XVHV WKH WUDQVPLW TXDW VWUHDP WR JHQHUDWH WKH HFKR HVWLPDWHV DQG HVWLPDWH HUURU YDOXHVi 8VLQJ WKLV HUURU DQG WKH GHOD\HG WUDQVPLW TXDW VWUHDPn WKH HFKR FDQFHOOHU FRHIILFLHQWV DUH XSGDWHGi 7KH UHFRYHUHGn GHFRGHG DQG GHVFUDPEOHG GDWD LV WKHQ RXWSXW WR WKH IUDPHUPX[ IURP WKH +'; 5'$7$ SLQi &RQWURO 7KH 'DWD 3XPS RIIHUV WZR FRQWURO PRGHV +DUGZDUH 0RGH DQG 6RIWZDUH 0RGHi ,Q +DUGZDUH PRGH WKH +'; UHFHLYHV FRQWURO LQSXWV YLD LQGLYLGXDOO\ GHVLJQDWHG SLQVi ,Q 6RIW ZDUH PRGH WKH +'; FRQWURO GDWD LV VXSSOLHG YLD DQ aELW SDUDOOHO SRUWi ,Q HLWKHU PRGHn WKH +'; DQG WKH $&& FRP PXQLFDWH YLD D XQLGLUHFWLRQDO VHULDO SRUW o'75oi $&& DQG +'; 2YHUYLHZ 7KH IROORZLQJ SDUDJUDSKV GHVFULEH WKH FKLS VHW FRPSRQHQWV LQGLYLGXDOO\ ZLWK UHIHUHQFH WR LQWHUQDO IXQFWLRQV DQG WKH LQWHUIDFHV EHWZHHQ 'DWD 3XPS FRPSRQHQWVi L1 $QDORJ &RUH &KLS o$&&o 7KH $&& LQFRUSRUDWHV WKH IROORZLQJ DQDORJ IXQFWLRQVa WKH WUDQVPLW OLQH GULYHU WUDQVPLW DQG UHFHLYH ILOWHUV 3KDVH/RFNHG /RRS o3//on LQFOXGLQJ 9&;2 K\EULG FLUFXLWU\ DQDORJWRGLJLWDO FRQYHUWHUi 7KH $&& SURYLGHV WKH FRPSOHWH DQDORJ IURQW HQG IRU WKH +'6/ 'DWD 3XPSi ,W SHUIRUPV WUDQVPLW SXOVH VKDSLQJn OLQH GULYLQJn UHFHLYH $i'n DQG WKH 9&2 SRUWLRQ RI WKH UHFHLYHU 3// IXQFWLRQi 7UDQVPLW DQG UHFHLYH FRQWUROV DUH LPSOH PHQWHG WKURXJK WKH VHULDO SRUWi 7KH $&& OLQH LQWHUIDFH XVHV D VLQJOH WZLVWHG SDLU OLQH IRU ERWK WUDQVPLW DQG UHFHLYHi 7DEOH i OLVWV WKH $&& SLQ GHVFULSWLRQVi 5HIHU WR 7HVW 6SHF LILFDWLRQV VHFWLRQ IRU $&& HOHFWULFDO DQG WLPLQJ VSHFLILFD WLRQVi $&& 7UDQVPLWWHU 7KH $&& SHUIRUPV WKH SXOVH VKDSLQJ DQG GULYLQJ IXQF WLRQVi 7KH $&& WUDQVPLWWHU JHQHUDWHV D eOHYHO RXWSXW RI iioaoIo7&.e0oo GHILQHG E\ 70$* DQG 76*1i 7DEOH e OLVWV e%i4 SXOVH FRGLQJ SDUDPHWHUVi 5HIHU WR 7HVW 6SHFLILFDWLRQV IRU IUHTXHQF\ DQG YROWDJH WHP SODWHVi $&& 5HFHLYHU 7KH $&& UHFHLYHU LV D VRSKLVWLFDWHG VLJPDGHOWD FRQ YHUWHUi ,W VXPV WKH GLIIHUHQWLDO VLJQDO DW 57,3i55,1* PLQXV WKH VLJQDO DW %7,3i%5,1*i 7KH ILUVW $i' VLJQDO FRPHV RXW RI $'i DW D ELW VWUHDP UDWH RI iaicaa 0+]i 7KH VHFRQG VWDJH RI WKH $i' VDPSOHV WKH QRLVH RI WKH ILUVW DQG JHQHUDWHV WKH $'i ELW VWUHDP DW iaicaa 0+]i 5HFHLYHU JDLQ LV FRQWUROOHG E\ WKH +'; YLD WKH $*&e i ELWV LQ WKH '75 VHULDO FRQWURO VWUHDPi 7KH $*&.,. RXWSXW IURP WKH $&& LV QRUPDOO\ /RZi ,W JRHV +LJK ZKHQ WKH VLJQDO OHYHO LQ WKH VLJPDGHOWD $i' LV DSSURDFKLQJ LWV FOLSSLQJ OHYHOn VLJQDOLQJ WKH +'; WR ORZHU WKH JDLQi 7KH 9&2 LV SDUW RI D SKDVHORFNHG ORRS o3//o ORFNHG WR WKH UHFHLYH GDWD EDXG UDWH XVLQJ DQ H[WHUQDO SKDVH GHWHFWRUi 7KH 9&2 IUHTXHQF\ LV YDULHG E\ SXOOLQJ DQ H[WHUQDO FU\VWDO ZLWK H[WHUQDO YDUDFWRU GLRGHV WKDW DUH FRQWUROOHG E\ WKH 93// RXWSXWi 7KH 93// RXWSXW LVn LQ WXUQn FRQWUROOHG E\ WKH VHULDO SRUW 9&2 DQG 3// ELWVi aeea 6.aeiaeiei6.aeiaeiae RU 6.aeiaeia iica NESV +'6/ 'DWD 3XPS &KLS 6HW +'6/ 'LJLWDO 7UDQVFHLYHU o+';o +';i$&& ,QWHUIDFH 7KH +'; LQFRUSRUDWHV WKH IROORZLQJ GLJLWDO IXQFWLRQVa 7KH $&& SURYLGHV WKH eaeieaec 0+] PDVWHU FORFNn &.eae0n WR WKH +';i 7KH VHULDO FRQWURO VWUHDP IUDPLQJ VLJQDO )6 LV VDPSOHG LQVLGH WKH $&& ZLWK WKH &.eae0 ULVLQJ HGJHi 7KH VHULDO FRQWURO VWUHDPn '75n LV VDPSOHG LQVLGH WKH $&& E\ WKH ULVLQJ HGJH RI DQ LQWHUQDOO\JHQHUDWHG FORFN DW Io&.eae0oiei 7KLV $&& LQWHUQDO FORFN KDV WKH VDPH SKDVH UHODWLRQVKLS ZLWK D VLPLODU FORFN LQVLGH WKH +';n DV HVWDE OLVKHG E\ WKH )6 VLJQDOi ,Q WKH +';n WKH KDOIUDWH FORFN &.eae0ie DQG )6 WUDQVLWLRQ RQ WKH ULVLQJ HGJH RI &.eae0n DQG '75 WUDQVLWLRQV FRPH RQ WKH IDOOLQJ HGJH RI &.eae0i ei 7KH RXWSXW 5()&/. LQ 178 0RGH HTXDOV &.eae0iei ELWUDWH WUDQVPLW DQG UHFHLYH VLJQDOSURFHVVLQJ DGDSWLYH HFKRFDQFHOOLQJ o(&o DGDSWLYH GHFLVLRQ IHHGEDFNHTXDOL]DWLRQ o')(o XVLQJ WKH UHFHLYH TXDW VWUHDP DQG WKH LQWHUQDO HUURU VLJQDO IL[HG DQG DGDSWLYH GLJLWDOILOWHULQJ IXQFWLRQV DFWLYDWLRQiVWDUWXS FRQWURO DQG WKH PLFURSURFHVVRU LQ WHUIDFH WR WKH +'6/ IUDPHUi 7KH +'; DOVR SURYLGHV WKH 'DWD 3XPS %DFN(QG LQWHUIDFH IRU WKH FXVWRPHU GHILQHGiGHYHORSHG +'6/ IUDPHU YLD VHULDO GDWD FKDQQHOV DQG FORFN VLJQDOVi $ VLPSOHn SDUDOOHO a ELW PLFURSURFHVVRU LQWHUIDFH RQ WKH +'; DOORZV KLJK VSHHG DFFHVV WR FRQWUROn VWDWXV DQG ILOWHU FRHIILFLHQW ZRUGVi 7DEOH e OLVWV WKH +'; SLQ GHVFULSWLRQVi 5HIHU WR 7HVW 6SHF LILFDWLRQV VHFWLRQ IRU +'; HOHFWULFDO DQG WLPLQJ VSHFLILFD WLRQVi 7KH PLFURSURFHVVRU LQWHUIDFH RQ WKH +'; SURYLGHV ELW IODJV IRU VLJQDO SUHVHQFHn V\QFKURQL]DWLRQn DFWLYDWLRQ FRP SOHWLRQn DQG ORVV RI V\QFKURQL]DWLRQ IRU D WLPH JUHDWHU WKDQ WZR VHFRQGVi 6LQJOHE\WH ZRUGV UHSUHVHQWLQJ UHFHLYH VLJ QDO OHYHO DQG WKH QRLVH PDUJLQ RI WKH WUDQVFHLYHU DUH DOVR DYDLODEOH RQ WKH PLFURSURFHVVRU LQWHUIDFHi 2QH FRQWURO E\WH DOORZV WKH XVHU WR VWDUW WKH 'DWD 3XPS DFWLYDWLRQ VHTXHQFHi 7KH +'; FRQWUROV WKH FRPSOHWH DFWLYDWLRQiVWDUW XS VHTXHQFHn DOORZLQJ IOH[LEOHn VLQJOHORRSn IUDFWLRQDO DSSOLFDWLRQVi 7DEOH ea $&& 7UDQVPLW &RQWURO 76*1 70$* 2XWSXW 6\PERO oTXDWo i i oe i i oi i i i i i e aeei 7KH $i' FRQYHUWHU RXWSXWVn $'i DQG $'in DUH FORFNHG RXW RI WKH $&& ZLWK &.eae0n KDYLQJ WUDQVLWLRQV FRLQFLGHQWDO ZLWK WKH ULVLQJ HGJH RI &.eae0iei 7KH +'; VDPSOHV $'i DQG $'i ZLWK WKH IDOOLQJ HGJH RI LWV LQWHUQDO &.eae0iei 7UDQVPLW GDWDn UHSUHVHQWHG E\ 76*1 DQG 70$*n LV FORFNHG IURP WKH +'; XVLQJ WKH IDOOLQJ HGJH RI 7&.e0n WKH eicaee 0+] oIo5()&/.oieo WUDQVPLW WLPH EDVH FORFNi 7KH $&& XVHV WKH ULVLQJ HGJH RI 7&.e0 WR VDPSOH 76*1 DQG 70$*i 76*1 DQG 70$* FKDQJH VWDWH DW WKH EDXG UDWHn RU HYHU\ a F\FOHV RI 7&.e0i )LJXUH e VKRZV UHODWLYH WLPLQJ IRU WKH +';i$&& LQWHUIDFHi +';i$&& 6HULDO 3RUW 7KH +'; FRQWLQXDOO\ ZULWHV WR WKH $&& VHULDO SRUWi 7KLV VHULDO VWUHDP FRQVLVWV RI WZR icELW ZRUGV DV VKRZQ LQ 7DEOH ei 7KH GDWD IORZV IURP WKH +'; WR WKH $&& DW D UDWH RI Io&.eae0oiei 5HIHU WR WKH 7HVW 6SHF LILFDWLRQV VHFWLRQ IRU VHULDO SRUW WLPLQJ UHODWLRQVKLSV DQG HOHFWULFDO SDUDPHWHUVi L1 )XQFWLRQDO 'HVFULSWLRQ /LQH ,QWHUIDFH 7DEOH ea +';i$&& 6HULDO 3RUW :RUG %LW 'HILQLWLRQV o6HH )LJXUH eo 7KH 'DWD 3XPS OLQH LQWHUIDFH FRQVLVWV RI WKUHH GLIIHUHQWLDO SDLUVi 7KH WUDQVPLW RXWSXWV 77,3 DQG 75,1*n UHFHLYH LQSXWV 57,3 DQG 55,1*n DQG WKH EDODQFH LQSXWV %7,3 DQG %5,1*n DOO FRQQHFW WKURXJK D FRPPRQ WUDQVIRUPHU WR D VLQJOH WZLVWHGSDLU OLQH oVHH )LJXUHV ii DQG ieoi 7KH WUDQV PLW RXWSXWV UHTXLUH UHVLVWRUV LQ VHULHV ZLWK WKH WUDQVIRUPHUi $ SDVVLYH SUHILOWHU LV UHTXLUHG IRU WKH UHFHLYH LQSXWVi 7KH EDODQFH LQSXWV IHHG WKH WUDQVPLW VLJQDOV EDFN WR WKH 'DWD 3XPS SURYLGLQJ SDVVLYH HFKR FDQFHOODWLRQi 3URWHFWLRQ FLU FXLWU\ VKRXOG EH LQVHUWHG EHWZHHQ DOO 'DWD 3XPS OLQH LQWHU IDFH SLQV DQG WKH WUDQVIRUPHUi 5HIHU WR WKH $SSOLFDWLRQV VHFWLRQ IRU W\SLFDO VFKHPDWLFVi %LW :RUG $ oRQ '75o :RUG % oRQ '75o ie ,1,7 &25e ie QiD &25e ie QiD &25e ie 7;2)) &25i ii 7;',6 &25i ii 7;767 9&2e a $*&e 9&2i a $*&i 9&2i ae $*&i 3//ae c )(/% 3//c e QiD 3//e e 375e 3//e e 375e 3//e e 375e 3//e i 375i 3//i i 375i 3//i )LJXUH ea +';i$&& ,QWHUIDFH 5HODWLYH 7LPLQJ &.eae0 7&.e0 &.eae0ie )6 $'i $'i '75 L1 %i %i $ie $ie $ie $i $i %ie aeei 6.aeiaeiei6.aeiaeiae RU 6.aeiaeia iica NESV +'6/ 'DWD 3XPS &KLS 6HW +'6/ 'DWD ,QWHUIDFH 7KH +'6/ GDWD LQWHUIDFH LQFOXGHV WKH WUDQVPLW DQG UHFHLYH ELQDU\ GDWD VWUHDPVn WUDQVPLW DQG UHFHLYH IUDPH SXOVHVn WKH iica N+] FORFN o,&/.o DQG WKH UHFHLYH IUDPH DQG VWXII TXDW LQGLFDWRU o5)67oi )LJXUH e VKRZV UHODWLYH WLPLQJ IRU WKH IUDPHU LQWHUIDFHi 5HIHU WR 7HVW 6SHFLILFDWLRQV VHFWLRQ IRU GHWDLOV RQ WKH 'DWD 3XPSiIUDPHU LQWHUIDFHi )LJXUH c VKRZV D FRPSOHWH +'6/ V\VWHP ZLWK ERWK WKH UHPRWH 178 DQG FHQWUDO RIILFH /78 +'6/ IUDPHU LQWHUIDFHV LOOXVWUDWHGi 7DEOH c VKRZV WKH 7'$7$ UHTXLUHPHQWV IRU WKH IUDPHU LQWHUIDFH WKURXJK WKH DFWLYDWLRQ VHTXHQFHi 2QFH WKH $&7,9( /RZWR+LJK WUDQVLWLRQ RFFXUVn WKH 'DWD 3XPS EHFRPHV WUDQVSDUHQWi 7KHUHIRUHn WKH +'6/ IUDPHU PXVW VXSSO\ DSSURSULDWH GDWD WR 7'$7$i 7DEOH c VXPPDUL]HV WKLV UHTXLUHPHQWi 7KH +'6/ IUDPHU LQWHUIDFH LV VXEMHFW WR WKH IROORZLQJ UXOHVa ii :KHQ IUDPH V\QF LV QRW SUHVHQW o/26: LV +LJKon DOO 5'$7$ ELWV DUH VHW WR ii ei ,I IUDPH V\QF LV ORVW RQ ERWK 'DWD 3XPS5i DQG 'DWD 3XPS5en ERWK XQLWV ZLOO IDOO EDFN RQ WKH ORFDO UHIHUHQFH IUHTXHQF\ ZLWK `ee SSP WROHUDQFHn DQG VWXII ELWV ZLOO EH LQMHFWHG LQ WKHLU 5'$7$ VWUHDPV RQ HYHU\ RWKHU IUDPHi ei ,I HLWKHU (i5 RU (i& ORVHV V\QF RU VLJQDOn LW LV DVVXPHG WKDW WKH FRUUHVSRQGLQJ 7i UHFHLYHU ZLOO IDOO EDFN RQ D ORFDO UHIHUHQFH ZLWK `ee SSP WROHUDQFHn DQG WKDW WUDQVPLW ELWVWXIILQJ FRQWURO ZLOO VWLOO EH DSSOLHG WKURXJK WKH 7)3 VLJQDO IURP WKH +'6/ IUDPHUi ci 7KH +'6/ IUDPHU VKRXOG SURYLGH 7)3 VLJQDO ZLWK D SHULRG RI c PV `iieae PV SULRU WR DQ DFWLYDWLRQ UHTXHVW IRU WKH /78 'DWD 3XPSoVoi 7KH IUDPHU VKRXOG SURYLGH D YDOLG 7)3 DIWHU SRZHUXSn EHIRUH RU LPPHGLDWHO\ DIWHU /26 JRHV /RZ IRU WKH 178 'DWD 3XPSoVoi ,I WKH 7)3 VLJQDO IURP WKH +'6/ IUDPHU LV LQDFWLYH oDOZD\V +LJK RU XQFRQQHFWHGon WKH 'DWD 3XPS ZLOO LQMHFW VWXII ELWV LQ WKH 7'$7$ VWUHDP LQ HYHU\ RWKHU IUDPHn DOWKRXJK WKH 'DWD 3XPS ZLOO QRW EH V\QFKURQL]HG WR WKH +'6/ IUDPHUi :KHQ D QHZ 7)3 LV SURYLGHGn WKH 'DWD 3XPS ZLOO LPPHGLDWHO\ UHVHW WKH WUDQVPLW IUDPH DOLJQPHQWn W\SLFDOO\ FDXVLQJ ORVV RI DOLJQPHQW DW WKH RWKHU HQGi aei $ VLPXOWDQHRXV RESET2 WR DOO /78 'DWD 3XPSV ZKLFK XVH D FRPPRQ 5()&/. HOLPLQDWHV SKDVH VKLIW EHWZHHQ WKH ,&/. RXWSXWV ZKLFK PD\ H[LVW DIWHU SRZ HUXSi 7KH ,&/. RXWSXWV RI DOO 178 'DWD 3XPSV PD\ KDYH DQ DUELWUDU\ SKDVH GLIIHUHQFH HYHQ XVLQJ D FRPPRQ &.a0 UHIHUHQFHi 7DEOH ca +'6/ )UDPHU 7'$7$ 5HTXLUHPHQWV $FWLYDWLRQ 3URFHVV )UDPHU 7'$7$ 'DWD 3XPS 2YHUKHDG 'DWD ,GOH $FWLYDWLQJ GRQ(c)W FDUH GRQ(c)W FDUH ,GOH $FWLYH i OLYH DOO iV $FWLYH5 $FWLYH i OLYH DOO iV $FWLYH7 $FWLYH i OLYH OLYH /LQN $FWLYH $FWLYH i OLYH OLYH /LQN $FWLYH $FWLYH e OLYH OLYH ei ,I IUDPH V\QF LV ORVW RQ HLWKHU 'DWD 3XPS5i RU 'DWD 3XPS5en WKDW XQLW FDQ EH PDGH WR IDOO EDFN RQ WKH 5()&/. IURP WKH 'DWD 3XPS5 ZKLFK LV VWLOO LQ IUDPH V\QFn DQG VWXII ELWV ZLOO EH LQMHFWHG LQ WKH 5'$7$ VWUHDP RQ HYHU\ RWKHU IUDPH RI WKH RXWRI IUDPH 'DWD 3XPS5i ei ,I IUDPH V\QF LV ORVW RQ HLWKHU 'DWD 3XPS&i RU 'DWD 3XPS&en ERWK XQLW(c)V UHFHLYHU ZLOO IDOO EDFN RQ WKH UHIHUHQFH FORFN ZLWK `ee SSP RU `e SSP WROHUDQFHn DQG LQMHFW VWXII ELWV LQ WKH 5'$7$ VWUHDP RQ HYHU\ RWKHU IUDPHi aeee L1 )XQFWLRQDO 'HVFULSWLRQ )LJXUH ea +';i$&& )UDPHU ,QWHUIDFH 5HODWLYH 7LPLQJ $o 7UDQVPLW 7LPLQJ :LWKRXW 6WXII %LWV ,&/. 7)3 7'$7$ Eaeiie Eaeiie Eaeiie Eaeiic Ei Ee Ee Ee Eaeiia Eaeiia Eaeiii Ei Ee Ei Ee Ee Eie Eie Eaeiia Eaeiii Ei Eie Eie %o 7UDQVPLW 7LPLQJ :LWK 6WXII %LWV ,&/. 7)3 7'$7$ Eaeiie Eaeiic Eaeiiae &o 5HFHLYH 7LPLQJ :LWKRXW 6WXII %LWV ,&/. 5)3 5'$7$ Eaeiie Eaeiie Eaeiic 5)67 'o 5HFHLYH 7LPLQJ :LWK 6WXII %LWV ,&/. 5)3 5'$7$ L1 Eaeiic Eaeiiae Eaeiia aeee 6.aeiaeiei6.aeiaeiae RU 6.aeiaeia iica NESV +'6/ 'DWD 3XPS &KLS 6HW )LJXUH ea 0RGHO IRU +'6/ 'DWD 3XPS DQG +'6/ )UDPHU $SSOLFDWLRQV 178 7'$7$ /;3aeii +'6/ )UDPHU 5 7R (i ,i) o(i5o /78 '35i '3&i 7'$7$ 7)3 7)3 /26: /26: ,&/. ,&/. 5'$7$ 5'$7$ 5)3 5)3 5326 5)67 5)67 51(* 5()&/. &.a0 /RFDO ;WDO 2VF 5()&/. I5 o5o I5 o&o 5()&/. &.a0 5()&/. 5&/. 7326 71(* 7'$7$ 7&/. 7)3 '35e /26: /;3aeii +'6/ )UDPHU & 5DWH 6\QWK /RFDO ;WDO 2VF '3&e 7'$7$ 7)3 7R (i ,i) o(i&o 5326 51(* 5&/. 7326 71(* 7&/. /26: ,&/. ,&/. 5'$7$ 5'$7$ 5)3 5)3 5)67 5)67 )UHTXHQF\ 5HODWLRQVKLSVi ii ii I7&/. o(i&o ei I7&/. o(i5o ei I,&/. o&o ei I,&/. o5o o(i5oa WROHUDQFH o(i&oa WROHUDQFH I5o&o iica WROHUDQFH `ee SSPn HYHQ ZLWK ORVV RI VLJQDO RQ (i5i `ee SSPn HYHQ ZLWK ORVV RI VLJQDO RQ (i&i `ee SSP LI VRXUFHG E\ ORFDO FU\VWDO RVFLOODWRU oVWUDWXP eon `e SSP LI VRXUFHG E\ RIILFH FORFN oVWUDWXP eoi I,&/. o&o LI ORRS LV DFWLYDWHG ZLWK UHFHLYH IUDPH V\QF DFTXLUHGn I5o5o iic LI UHFHLYH V\QF LV ORVWa WROHUDQFH `ee SSP oI5o5o iaicaa 0+]oi I5o5o ia LI I5o5o aieee 0+=i 0LFURSURFHVVRU ,QWHUIDFH o+';o 7KUHH SULPDU\ FRQWURO SLQVn CHIPSEL o&KLS 6HOHFWon READ DQG WRITEn H[HFXWH WKH 6RIWZDUH 0RGH ZKLFK DOVR XVHV DQ LQWHUUXSW RXWSXW SLQ WR UHSRUW VWDWXV FKDQJHVi )RXU DGGLWLRQDO SLQV DUH XVHG IRU WKH SDUDOOHO EXV DGGUHVVLQJ DQG HLJKW SLQV IRU GDWD ,i2i 5HIHU WR 7HVW 6SHFLILFDWLRQV IRU SURFHVVRU LQWHUIDFH WLPLQJ LQ 6RIWZDUH 0RGHi 7KH IRO ORZLQJ FRQWURO SLQV DUH XVHG GXULQJ UHJLVWHU DFFHVVi &RQWURO 3LQV &KLS 6HOHFWa 7KH &KLS 6HOHFW oCHIPSELo SLQ UHTXLUHV DQ DFWLYH /RZ VLJQDO WR HQDEOH 'DWD 3XPS UHDG RU ZULWH WUDQV IHUV RYHU WKH GDWD EXVi 7R HQDEOH +DUGZDUH 0RGH KROG WKLV SLQ /RZn DORQJ ZLWK READ DQG WRITEi 'DWD 5HDGa 7KH 'DWD 5HDG SLQ oREADo UHTXLUHV DQ DFWLYH /RZ SXOVH WR HQDEOH D UHDG WUDQVIHU RQ WKH GDWD EXVi :KHQ READ LV SXOOHG /RZn WKH 'DWD 3XPS GDWD EXV OLQHV JR IURP WULVWDWH WR DFWLYH DQG RXWSXW WKH GDWD IURP WKH UHJLVWHU aeee DGGUHVVHG E\ $''5i$''5ei 7R DYRLG UHDGLQJ GDWD GXU LQJ UHJLVWHU XSGDWHVn UHDGV VKRXOG EH V\QFKURQL]HG WR WKH IDOOLQJ HGJH RI )6i $OWHUQDWLYHO\n HDFK UHDG VKRXOG EH UHSHDWHG XQWLO WKH VDPH GDWD LV UHDG WZLFH ZLWKLQ RQH EDXG WLPHi 'DWD :ULWHa 7KH 'DWD :ULWH SLQ oWRITEo UHTXLUHV DQ DFWLYH /RZ SXOVH WR HQDEOH D ZULWH WUDQVIHU RQ WKH GDWD EXVi 'DWD WUDQVIHU LV WULJJHUHG E\ WKH ULVLQJ HGJH RI WKH WRITE SXOVHi 7R HQVXUH GDWD LV ZULWWHQ WR WKH UHJLVWHU DGGUHVVHG E\ $''5i$''5en YDOLG GDWD PXVW EH SUHVHQW RQ WKH +'; GDWD EXV OLQHV EHIRUH WRITE JRHV +LJKi ,QWHUUXSWa 7KH ,QWHUUXSW SLQ oINTo LV DQ RSHQ GUDLQ RXWSXW UHTXLULQJ DQ H[WHUQDO SXOOXS UHVLVWRUi 7KH INT RXWSXW LV SXOOHG DFWLYH /RZ ZKHQ DQ LQWHUQDO LQWHUUXSW FRQGLWLRQ RFFXUVi INT LV ODWFKHG DQG KHOG XQWLO 0DLQ 6WDWXV 5HJLVWHU 5'i LV UHDGi $Q LQWHUQDO LQWHUUXSWLRQ UHVXOWV IURP D /RZ WR+LJK WUDQVLWLRQ LQ DQ\ RI IRXU VWDWXV LQGLFDWRUVa $&7,9(n /26:n /26:7 RU 7(;3i $Q\ WUDQVLWLRQ RQ /26 ZLOO DOVR JHQHUDWH DQ LQWHUUXSWi ,I DQ LQWHUUXSW PDVN ELW LQ UHJLVWHU :5e LV VHWn DQ\ WUDQVLWLRQ RI WKH FRUUHVSRQGLQJ VWDWXV ELW ZLOO QRW WULJJHU WKH INT RXWSXWi L1 )XQFWLRQDO 'HVFULSWLRQ 5HJLVWHU $FFHVV :ULWHa 7R ZULWH WR DQ +'; UHJLVWHUn SURFHHG DV IROORZVa ii 'ULYH CHIPSEL /RZi ei 'ULYH DQ DGGUHVV oiiiin iiiin RU iiiio RQWR $''5i $''5ei ei 2EVHUYH DGGUHVV VHWXS WLPHi ei 6HW aELW LQSXW GDWD ZRUG RQ 'i'aei ei 3XOO WRITE /RZn REVHUYLQJ PLQLPXP SXOVH ZLGWKi ci 3XOO WRITE +LJKn REVHUYLQJ KROG WLPH IRU GDWD DQG DGGUHVV OLQHVi 5HDGa 3URFHGXUHV IRU UHDGLQJ WKH +'; UHJLVWHUV YDU\ DFFRUGLQJ WR ZKLFK UHJLVWHU LV EHLQJ UHDGi $FFHVVLQJ UHJLV WHUV 5'in 5'in 5'en 5'e DQG 5'c LV UHODWLYHO\ VLPSOHi 5HDGLQJ UHJLVWHUV 5'e DQG 5'e LV PRUH FRPSOH[i 8QOHVV SDUDOOHO SRUW UHDGV DUH V\QFKURQL]HG ZLWK WKH IDOOLQJ HGJH RI )6n DOO UHDG RSHUDWLRQV VKRXOG EH UHSHDWHG XQWLO WKH VDPH GDWD LV UHDG WZLFH ZLWKLQ RQH EDXG WLPHi 7R UHDG UHJLVWHU 5'in 5'in 5'en 5'e RU 5'c SURFHHG DV IROORZVa ii ei ei ei 'ULYH CHIPSEL /RZi 'ULYH WKH GHVLUHG DGGUHVV RQWR $''5i$''5ei 3XOO READ /RZn REVHUYLQJ PLQLPXP SXOVH ZLGWKi 3XOO READ +LJK WR FRPSOHWH WKH UHDG F\FOHi 5HJLVWHUV 5'e DQG 5'e KROG WKH FRHIILFLHQW YDOXHV IURP WKH ')(n (&n ))( DQG $*& DV VKRZQ LQ 7DEOH iii 5HJ LVWHU 5'e KROGV WKH ORZHU E\WH YDOXH DQG UHJLVWHU 5'e KROGV WKH XSSHU E\WH YDOXHi 7R UHFRQVWUXFW WKH FRPSOHWH icELW ZRUGn FRQFDWHQDWH WKH OHDVW VLJQLILFDQW DQG PRVW VLJ QLILFDQW E\WHVi 7R UHDG UHJLVWHUV 5'e DQG 5'e SURFHHG DV IROORZVa ii 6HOHFW WKH GHVLUHG FRHIILFLHQW E\ ZULWLQJ WKH DSSURSUL DWH FRGH IURP 7DEOH ii WR UHJLVWHU :5ei ei (QDEOH WKH &RHIILFLHQW 5HDG 5HJLVWHU E\ ZULWLQJ D i WR ELW Ei o&5'io LQ UHJLVWHU :5ei ei 3HUIRUP VWDQGDUG UHJLVWHU UHDG SURFHGXUH OLVWHG LQ VWHSV i WKURXJK c DERYH WR UHDG WKH ORZHU E\WH IURP 5'e DQG WKH XSSHU E\WH IURP 5'ei ei &RQFDWHQDWH WKH 5'e DQG 5'e WR REWDLQ WKH FRPSOHWH icELW ZRUGi 5HJLVWHUV 7KUHH ZULWH UHJLVWHUV DQG VHYHQ UHDG UHJLVWHUV DUH DYDLODEOH WR WKH XVHUi 7DEOH ae OLVWV WKHVH UHJLVWHUV DQG WKH IROORZLQJ SDUDJUDSKV GHVFULEH WKHP LQ PRUH GHWDLOi 6RPH RI WKH UHJLVWHUV FRQWDLQ UHVHUYHG ELWVi 6RIWZDUH PXVW GHDO FRUUHFWO\ ZLWK UHVHUYHG ILHOGVi )RU UHDGVn VRIWZDUH PXVW XVH DSSURSULDWH PDVNV WR H[WUDFW WKH GHILQHG ELWV DQG QRW UHO\ RQ UHVHUYHG ELWV EHLQJ DQ\ SDUWLFXODU YDOXHi ,Q VRPH FDVHVn VRIWZDUH PXVW SURJUDP UHVHUYHG ELW SRVLWLRQV WR D SDUWLFXODU YDOXHi 7KLV YDOXH LV GHILQHG LQ WKH LQGLYLGXDO ELW GHVFULSWLRQVi $IWHU DVVHUWLQJ WKH RESET1 DQG RESET2 VLJQDOVn WKH 'DWD 3XPS LQLWLDOL]HV LWV UHJLVWHUV WR WKH GHIDXOW YDOXHi 7DEOH aea 5HJLVWHU 6XPPDU\ $''5 :ULWH 5HJLVWHUV $e$i :5u iiii :5i iiii 1DPH 0DLQ &RQWURO 5HDG 5HJLVWHUV 7DEOH 5'u a 5'i 0DLQ 6WDWXV ii 5'i 5HFHLYHU *DLQ :RUG ie UHVHUYHG 1DPH 7DEOH iiii :5e ,QWHUUXSW 0DVN a 5'e 1RLVH 0DUJLQ ie iiii :5e 5HDG &RHIILFLHQW 6HOHFW ii 5'e &RHIILFLHQW 5HDG 5HJLVWHU oORZHU E\WHo ie iiii UHVHUYHG 5'e &RHIILFLHQW 5HDG 5HJLVWHU oXSSHU E\WHo ie iiii UHVHUYHG 5'e $FWLYDWLRQ 6WDWXV ie iiii UHVHUYHG 5'c 5HFHLYHU $*& DQG ))( 6WHS *DLQ ic iiiiiiii UHVHUYHG L1 UHVHUYHG aeee 6.aeiaeiei6.aeiaeiae RU 6.aeiaeia iica NESV +'6/ 'DWD 3XPS &KLS 6HW :5i0DLQ &RQWURO 5HJLVWHU $GGUHVVa 'HIDXOWa $WWULEXWHVa $ei iiii iiK :ULWH 2QO\ &RQWURO 5HJLVWHU ELWV VHUYH WKH VDPH SXUSRVH LQ 6RIWZDUH 0RGH DV WKH OLNHQDPHG LQGLYLGXDO SLQV LQ +DUGZDUH 0RGHi 7DEOH a OLVWV ELW DVVLJQPHQWV IRU WKH :5i UHJLVWHUi 7DEOH aa 0DLQ &RQWURO 5HJLVWHU :5i %LW 'HVFULSWLRQ Eae 7UDQVPLW 7HVW 3DWWHUQ (QDEOH o7;767oi 6HW 7;767 WR i WR HQDEOH LVRODWHG WUDQVPLW SXOVH JHQHUDWLRQi 7KH WLPH EHWZHHQ SXOVHV LV c PVi 7'$7$ FRQWUROV WKH VLJQ DQG 7)3 FRQWUROV WKH PDJQLWXGH RI WKH WUDQVPLWWHG V\P EROV DFFRUGLQJ WR WKH e%i4 HQFRGLQJ UXOHVi ,Q WKH 178 FRQILJXUDWLRQ ZKHQ WKH 7;767 PRGH LV VHOHFWHGn WKH 'DWD 3XPS PD\ EHJLQ DFWLYDWLRQi Ec %DFN(QG /RRS %DFN o%(/%oi ,Q WKH $FWLYH 6WDWHn VHW %(/% WR i WR HQDEOH DQ LQWHUQDOn WUDQVSDUHQW ORRSEDFN RI WKH +'; 5'$7$ WR 7'$7$ DQG 5)3 WR 7)3i Ee )URQW (QG /RRS %DFN o)(/%oi ,Q WKH /78 PRGH ZLWK WKH 'DWD 3XPS LQ WKH ,QDFWLYH 6WDWHn VHW )(/% WR i WR HQDEOH DQ $&& IURQWHQG ORRSEDFNi 7KH 'DWD 3XPS ZLOO EHJLQ DFWLYDWLRQ DQG WUDQVPLVVLRQ RQ WKH OLQHn EXW ZLOO LJQRUH DQ\ VLJQDO IURP WKH 178 LQVWHDG V\QFKURQL]LQJ WR LWV RZQ WUDQVPLW VLJQDOi Ee 5HSHDWHU 0RGH o5375oi 7KH 5375 ELW LV VHW WR i DQG WKH /78 SLQ LV SXOOHG +LJK WR SURJUDP WKH 'DWD 3XPS IRU RSHUDWLRQ RQ WKH VLGH RI WKH +'6/ UHSHDWHU GULYLQJ WKH UHPRWH 178i 5375 LV VHW WR i DQG WKH /78 SLQ LV WLHG /RZ WR SURJUDP WKH 'DWD 3XPS IRU RSHUDWLRQ RQ WKH VLGH RI WKH UHSHDWHU GULYHQ E\ WKH FHQWUDO RIILFH /78i Ee UHVHUYHGi 7KLV ELW PXVW EH VHW WR ii Ee ,QVHUWLRQ /RVV 0HDVXUHPHQW 7HVW o,/07oi 6HW ,/07 WR i WR HQDEOH WUDQVPLVVLRQ RI D VFUDPEOHG DOO RQHV LQVHU WLRQ ORVV PHDVXUHPHQW WHVW SDWWHUQi ,Q WKH 178 FRQILJXUDWLRQ ZKHQ WKH ,/07 PRGH LV VHOHFWHGn WKH 'DWD 3XPS PD\ EHJLQ DFWLYDWLRQi Ei 4XLHW 0RGH o48,(7oi 6HW 48,(7 WR i WR IRUFH WKH 'DWD 3XPS LQWR WKH 'H$FWLYDWHG 6WDWH ZLWK WKH WUDQVPLWWHU VLOHQWi 6HWWLQJ 48,(7 WR i ZLOO QRW FDXVH WKH 'DWD 3XPS WR UHDFWLYDWHi ,Q WKH 178 PRGHn WKH 'DWD 3XPS ZLOO QRW UHVSRQG WR DQ 6i VLJQDO IURP WKH /78 ZKHQ 48,(7 LV VHW WR in EXW PD\ DFWLYDWH DIWHU 48,(7 LV VHW WR i HYHQ LI WKH /78 WUDQVPLVVLRQ KDV DOUHDG\ FHDVHGi Ei $FWLYDWLRQ 5HTXHVW o$&75(4oi ,Q WKH /78 PRGH ZKHQ WKH 'DWD 3XPS LV LQ WKH ,QDFWLYH 6WDWH DQG 4XLHW LV VHW WR in VHWWLQJ WKH $&75(4 ELW WR i ZLOO LQLWLDWH DQ DFWLYDWLRQ VHTXHQFHi %HFDXVH $&75(4 LV D OHYHO UDWKHU WKDQ DQ HGJHWULJJHUHG VLJQDOn LW VKRXOG EH UHVHW WR i DJDLQ ZLWKLQ DSSUR[LPDWHO\ ee VHFRQGV WR SUHYHQW WKH LPPHGLDWH VWDUW RI DQRWKHU DFWLYDWLRQ F\FOH LI WKH FXUUHQW DFWLYDWLRQ DWWHPSW IDLOVi ,I DQ DFWLYDWLRQ DWWHPSW IDLOVn WKH SURFHVVRU VKRXOG DOORZ WKH 'DWD 3XPS WR UHPDLQ LQ WKH ,QDFWLYH 6WDWH ZKHUH WKH WUDQVPLWWHU LV VLOHQW IRU ee VHFRQGV EHIRUH JHQHUDWLQJ DQRWKHU DFWLYDWLRQ UHTXHVW WR DOORZ WKH 178 WR UHWXUQ WR WKH ,QDFWLYH 6WDWHi ,W LV SRVVLEOH WR VKRUWHQ WKLV TXLHW SHULRG IROORZLQJ D IDLOHG DFWLYDWLRQ E\ LPSOHPHQWLQJ DGGLWLRQDO DOJRULWKPV GHVFULEHG LQ WKH VHFWLRQ HQWLWOHG |$FWLYDWLRQ 6WDWH 0DFKLQHVi aeec L1 )XQFWLRQDO 'HVFULSWLRQ :5e,QWHUUXSW 0DVN 5HJLVWHU $GGUHVVa 'HIDXOWa $WWULEXWHVa $ei iiii iiK :ULWH 2QO\ 7DEOH a VKRZV WKH YDULRXV LQWHUUXSW PDVNV SURYLGHG LQ UHJLVWHU :5ei 7DEOH aa ,QWHUUXSW 0DVN 5HJLVWHU :5e %LW 'HVFULSWLRQ EaeEc 5HVHUYHGi 0XVW EH VHW WR ii Ee /2606.i i 0DVNHGi i 1RW 0DVNHGi ,QWHUUXSW PDVN IRU WKH /26 FRQGLWLRQ Ee /6:706.i Ee /6:06.i i 0DVNHGi i 1RW 0DVNHGi ,QWHUUXSW PDVN IRU WKH /26: FRQGLWLRQ Ee $&706.i Ei 5HVHUYHGi 0XVW EH VHW WR ii Ei &5'ii (QDEOH FRHIILFLHQW UHDG UHJLVWHUi 8VHG LQ FRQMXQFWLRQ ZLWK :5e IRU UHDGLQJ FRHIILFLHQW YDOXHVi i 0DVNHGi i 1RW 0DVNHGi ,QWHUUXSW PDVN IRU WKH /26:7 FRQGLWLRQ i 0DVNHGi i 1RW 0DVNHGi ,QWHUUXSW PDVN IRU WKH 7(;3 FRQGLWLRQ DQG WKH $&7,9( FRQGLWLRQ :5e5HDG &RHIILFLHQW 6HOHFW 5HJLVWHU $GGUHVVa 'HIDXOWa $WWULEXWHa $ei iiii iiK :ULWH 2QO\ 7DEOH ii OLVWV WKH ELW PDSV XVHG WR VHOHFW WKH FRHIILFLHQW UHDG IURP WKH +';i 7DEOH iia 5HDG &RHIILFLHQW 6HOHFW 5HJLVWHU :5e +H[ 9DOXH 6HOHFWHG 5HJLVWHUV iiiae ')(i')(a ')( FRHIILFLHQWV iai) (&i(&a (FKR &DQFHOODWLRQ iiie ))(i))(c icia UHVHUYHG i$ $*& 7DS i%)) UHVHUYHG L1 5HJLVWHU 'HVFULSWLRQ ))( FRHIILFLHQWV ic $*& 7DS aeeae 6.aeiaeiei6.aeiaeiae RU 6.aeiaeia iica NESV +'6/ 'DWD 3XPS &KLS 6HW 5'i0DLQ 6WDWXV 5HJLVWHU $GGUHVVa 'HIDXOWa $WWULEXWHa $ei iiii [[K o[ XQGHILQHGo 5HDG 2QO\ 6WDWXV 5HJLVWHU ELWV VHUYH WKH VDPH SXUSRVH LQ 6RIWZDUH 0RGH DV WKH OLNHQDPHG LQGLYLGXDO SLQV LQ +DUGZDUH PRGHi 7DEOH ii OLVWV WKH ELW DVVLJQPHQWV LQ WKLV UHJLVWHU 7DEOH iia 0DLQ 6WDWXV 5HJLVWHU 5'i %LW $FWLYH 'HVFULSWLRQ Eae 7LPHU ([SLU\ o7(;3oi 6HW WR i WR LQGLFDWH eiVHFRQG WLPHU H[SLUDWLRQ LQ WKH $FWLYH 6WDWHi &DXVHV LQWHUUXSW RQ FKDQJLQJ IURP i WR ia PDVNHG E\ $&706. ii /DWFKHG HYHQWa UHVHW RQ UHDGn ZLWK SHUVLVWHQFH ZKLOH LQ WKH $FWLYH 6WDWHi Ec 7,3i5,1* SRODULW\ UHYHUVHG (INVERToi i Ee &KDQJH 2I )UDPH $OLJQPHQW o&2)$oi ,QGLFDWHV WKDW UHDFTXLVLWLRQ RI IUDPH V\QF LV LQ D GLIIHUHQW SRVLWLRQ ZLWK UHVSHFW WR WKH ODVW IUDPH SRVLWLRQi 'RHV QRW FDXVH LQWHUUXSWi /DWFKHG HYHQWa UHVHW RQ UHDG Ee /RVV 2I 6LJQDO o178o o/26oi i SRODULW\ UHYHUVDOi 9DOLG RQO\ LQ $FWLYH 6WDWHi ORVV RI OLQH VLJQDO HQHUJ\ RQ HQWHULQJ ,QDFWLYH 6WDWHi /RVV RI 6LJQDO 7LPHU ([SLUDWLRQ o/78o o/267oi i ORVV RI VLJQDO IRU i VHFRQG RQ HQWHULQJ ,QDFWLYH 6WDWHi &DXVHV LQWHUUXSW RQ WUDQVLWLRQV IURP i WR i RU i WR i WKDW DUH PDVNHG E\ /2606. ii /26i/267 LV QRW D ODWFKHG HYHQWi Ee UHVHUYHGi 7KLV ELW VKRXOG EH LJQRUHGi Ee /RVV RI 6\QF :RUG 7LPHU ([SLU\ o/26:7oi ,QGLFDWHV WZR VHFRQGV RI /26:i &DXVHV LQWHUUXSW RQ FKDQJLQJ IURP i WR ia PDVNHG ZKHQ /6:706. ii /DWFKHG HYHQWa UHVHW RQ UHDGa ZLWK SHUVLVWHQFH ZKLOH LQ WKH 'HDFWLYDWHG 6WDWHi Ei /RVV RI 6\QF :RUG o/26:oi &DXVHV LQWHUUXSW RQ FKDQJLQJ IURP i WR ia PDVNHG E\ /6:06. ii /DWFKHG HYHQWa UHVHW RQ UHDGa ZLWK SHUVLVWHQFH ZKLOH LQ WKH 3HQGLQJ 'HDFWLYDWLRQ 6WDWHi Ei $FWLYH 6WDWH o$&7,9(oi i &RPSOHWLRQ RI OD\HU i DFWLYDWLRQi &DXVHV LQWHUUXSW RQ FKDQJLQJ IURP i WR ia PDVNHG E\ $&706. ii /DWFKHG HYHQWa UHVHW RQ UHDG ZLWK SHUVLVWHQFH LI VWLOO LQ WKH $FWLYH 6WDWHi 5'i5HFHLYHU *DLQ :RUG 5HJLVWHU $GGUHVVa $ei iiii 'HIDXOWa [[K o[ XQGHILQHGo $WWULEXWHVa 5HDG 2QO\ 7KH aELW ZRUG LQ WKLV UHJLVWHU LV WKH HLJKW PRVW VLJQLILFDQW ELWV RI WKH PDLQ ))( $*& WDSn ZKLFKn DORQJ ZLWK WKH $*& DQG '$*& YDOXHV o5'con UHSUHVHQW WKH UHFHLYHU JDLQ UHTXLUHG WR FRPSHQVDWH IRU OLQH ORVVn DQG WR QRUPDOL]H WKH UHFHLYH e%i4 SXOVHV WR D IL[HG WKUHVKROGi %LW Eae oVLJQ ELWn DOZD\V io LV WKH 06% ZLWK ELW Ei WKH /6%i 7KH $*& WDS YDOXH LV GHWHUPLQHG DV IROORZVa $*& 7DS c ELoeLc L i 7DEOH iea 5HFHLYHU *DLQ :RUG 5HJLVWHU %LW EaeEi aeea 'HVFULSWLRQ ))( $*& 7DS 9DOXH oHLJKW PRVW VLJQLILFDQW ELWVoi L1 )XQFWLRQDO 'HVFULSWLRQ 5'e1RLVH 0DUJLQ 5HJLVWHU $GGUHVVa 'HIDXOWa $WWULEXWHVa $ei iiii [[K o[ XQGHILQHGo 5HDG 2QO\ 7DEOH iea 1RLVH 0DUJLQ 5HJLVWHU 5'e 1RLVH 0DUJLQ &RGLQJi 06% /6% 1RLVH 0DUJLQ 7KH QRLVH PDUJLQ RI WKH UHFHLYHG VLJQDO LV DQ LQSXW WR WKH +'6/ IUDPHU(c)V $FWLYDWLRQ 6WDWH 0DFKLQHi 7KH QRLVH PDUJLQ PXVW UHDFK D WKUHVKROG OHYHO EHIRUH WKH +'6/ IUDPHU FDQ WUDQVLWLRQ WR WKH IXOO\ $FWLYH 6WDWHi 7KH +'; SURYLGHV D FDOFXODWHGn ORJDULWKPLF QRLVH PDUJLQ YDOXH XVHG E\ WKH +'6/ IUDPHUi 7KLV HLJKWELW ZRUGn VWRUHG LQ UHJLVWHU 5'en LV DYDLODEOH HYHU\ EDXGn DOWKRXJK XSGDWHG RQO\ HYHU\ ce EDXGi 7DEOH ee VKRZV WKH QRLVH PDUJLQ FRGLQJi 7R FDOFXODWH WKH 615n XVH WKLV HTXDWLRQa Eae Ec Ee Ee Ee Ee Ei Ei i i i i i i i i oecie i i i i i i i i oeeie i i i i i i i i oeiie i i i i i i i i oeiie i i i i i i i i oiaie i i i i i i i i oiaie i i i i i i i i oiaii 615 1RLVH 0DUJLQ o eiie G% (UURU SURSDJDWLRQ LQ WKH ')( DQG GHVFUDPEOHU PD\ LQWURGXFH VRPH IUDFWLRQDO HUURUV LQ WKLV IRUPXODn KRZ HYHUn WKH UHODWLRQVKLS EHWZHHQ WKH 615 DQG WKH QRLVH PDUJLQ UHPDLQV YDOLG DV ORQJ DV WKH QRLVH IROORZV D *DXVVLDQ GLVWULEXWLRQi i i i i i i i i oiaeii i i i i i i i i oicii i i i i i i i i oieii i i i i i i i i oieii i i i i i i i i oieii i i i i i i i i oieii i i i i i i i i oiiii i i i i i i i i oiiii i i i i i i i i oaii i i i i i i i i oaii i i i i i i i i oaeii i i i i i i i i ocii i i i i i i i i oeii i i i i i i i i oeii i i i i i i i i oeii i i i i i i i i oeii i i i i i i i i oiii i i i i i i i i iii i i i i i i i i iii i i i i i i i i eii i i i i i i i i eii i i i i i i i i eii i i i i i i i i eii i i i i i i i i cii 6LQFH WKH DYHUDJH SHULRG RI WKH FDOFXODWLRQ LV YHU\ VKRUW oce EDXG iii "Von WKH UHFRPPHQGHG SURFHGXUH IRU HYDOXDWLQJ WUDQVPLVVLRQ TXDOLW\ LV WR DYHUDJH DW OHDVW iiii VDPSOHV RYHU D iii PV SHULRGi ii $FFXUDF\ RI QRLVH PDUJLQ LV ` i G% L1 aeea 6.aeiaeiei6.aeiaeiae RU 6.aeiaeia iica NESV +'6/ 'DWD 3XPS &KLS 6HW 5'eo/6%on 5'eo06%o&RHIILFLHQW 5HDG 5HJLVWHU $GGUHVVa 'HIDXOWa $WWULEXWHVa 5'e o$ei iiiio 5'e o$ei iiiio [[K o[ XQGHILQHGo 5HDG 2QO\ &RHIILFLHQW 5HDG :RUG oUHDG IURP WKH +';o FRPHV IURP WKH ORFDWLRQ FRQILJXUHG LQ WKH 5HDG &RHIILFLHQW 6HOHFW 5HJ LVWHU o:5en $GGUHVV $ei iiiioi 7KH +'; XSGDWHV WKLV ZRUG RQ WKH ULVLQJ HGJH RI WKH UHFHLYH FORFNn )6i 5HDG UHJLVWHU 5'e LV WKH ORZHU E\WHn DQG 5'e LV WKH XSSHU E\WHi 7DEOH iea &RHIILFLHQW 5HDG 5HJLVWHU %LW EaeEi 'HVFULSWLRQ &RHIILFLHQW :RUG 9DOXHi 5'e FRQWDLQV WKH ORZHU E\WHa 5'e WKH XSSHU E\WHi 5'e$FWLYDWLRQ 6WDWXV 5HJLVWHU $GGUHVVa 'HIDXOWa $WWULEXWHVa $ei iiii [[K o[ XQGHILQHGo 5HDG 2QO\ 7KH $&7 ELWV LQGLFDWH WKH FXUUHQW VWDWH RI WKH +'; WUDQVFHLYHU GXULQJ WKH $FWLYDWLQJ 6WDWH DV OLVWHG LQ 7DEOH iei o)RU DQ\ VWDWH RWKHU WKDQ WKH $FWLYDWLQJ 6WDWHn WKH $&7 ELWV ZLOO EH |iiiiio 7DEOH iea $FWLYDWLRQ 6WDWXV 5HJLVWHU 5'e aeci $&7 %LWV ei 6WDWH LQ /78 0RGH 6WDWH LQ 178 0RGH iiii ,QDFWLYH ,QDFWLYH iiii 3UH$*& :DLW iiii 3UH(& $$*& iiii 6,*'(7 (& iiii $$*& 3//i iiii (& 3//e iiii 3// e/9/'(7 iiii e/9/'(7 )50'(7 iiii )50'(7 L1 )XQFWLRQDO 'HVFULSWLRQ 5'c5HFHLYH 6WHS *DLQ 5HJLVWHU $GGUHVVa $ei iiii 'HIDXOWa [[K o[ XQGHILQHGo $WWULEXWHVa 5HDG 2QO\ 7KLV aELW UHJLVWHU UHSUHVHQWV $*& DQG ))( JDLQ FRHIILFLHQWV o*$*& DQG *))(n UHVSHFWLYHO\oi %LW DVVLJQPHQWV DUH OLVWHG LQ 7DEOH ici 7KH DSSUR[LPDWH OLQH ORVV o//o FDQ EH GHWHUPLQHG XVLQJ WKHVH YDOXHV LQ WKH IROORZLQJ HTXDWLRQa // eiORJii o*))( o $*& WDSo o *$*& o ea G% *))( FRUUHVSRQGV WR '$*& LQ WKH +'; DQG *$*& LV IURP WKH $&&i %LWV 67i67e LQGLFDWH WKH 'DWD 3XPS DFWLYD WLRQ VWDWHV DV VKRZQ LQ )LJXUHV e DQG ae DQG 7DEOH iaei 7DEOH ica 5HFHLYHU $*& DQG ))( 6WHS *DLQ 5HJLVWHU 5'c %LW 'HVFULSWLRQ Eae 'DWD 3XPS $FWLYDWLRQ 6WDWHELW e o67eoi Ec 'DWD 3XPS $FWLYDWLRQ 6WDWHELW i o67ioi EeEe 'LJLWDO *DLQ :RUGELW i DQG i o*))(inioi %LWV aeae! ii ii ii ii Ee EeEi *))( 9DOXH ei i ei e ee e ee a 'DWD 3XPS $FWLYDWLRQ 6WDWHELW i o67ioi $QDORJ *DLQ :RUGELW eni DQG i o*$*&eninioi %LWV aeai! *$*& 9DOXH oGEo iii ie iii ii iii a iii c iii e iii e iii i iii oe L1 aeci 6.aeiaeiei6.aeiaeiae RU 6.aeiaeia iica NESV +'6/ 'DWD 3XPS &KLS 6HW $FWLYDWLRQ 6WDWH 0DFKLQHV 7KH 'DWD 3XPS $FWLYDWLRQi6WDUW8S FLUFXLWU\ LV FRPSDWLEOH ZLWK (76, (75ieei )XOO /78 DFWLYDWLRQ LV SDUWLWLRQHG EHWZHHQ WKH 'DWD 3XPS DQG WKH IUDPHUi )LJXUH e UHSUH VHQWV WKH /78 'DWD 3XPS $FWLYDWLRQ 6WDWH 0DFKLQHn DQG )LJXUH c VKRZV WKH /78 IUDPHU DFWLYDWLRQ VWDWH PDFKLQHi )LJXUHV ae DQG a SUHVHQW WKH FRUUHVSRQGLQJ 178 VWDWH PDFKLQHVi 7DEOH iae OD\V RXW WKH FRUUHVSRQGHQFH EHWZHHQ WKH 'DWD 3XPS DQG )UDPHU VWDWH PDFKLQHVi ,Q 6RIWZDUH 0RGHn WKH 67Q ELWV LQ 5HDG 5HJLVWHU c o$''5 iiiio VKRZ WKH FXUUHQW VWDWXV RI WKH VWDWH PDFKLQHi /78 'DWD 3XPS $FWLYDWLRQ :KHQ WKH /78 'DWD 3XPS LV SRZHUHG XS DQG UHVHW LV DSSOLHGn WKH FKLS LV LQ WKH ,QDFWLYH 6WDWH DV VKRZQ DW WKH WRS RI )LJXUH ei 6WDUWLQJ DW WKH ,QDFWLYH 6WDWHn WKH GHYLFH SURJUHVVHV LQ D FORFNZLVH GLUHFWLRQ WKURXJK WKH $FWLYDWLQJn $FWLYHin $FWLYHen 3HQGLQJ 'H$FWLYDWLRQ DQG 'H$FWL YDWHG 6WDWHVi ,Q WKH KDUGZDUH PRGH ZKHQ WKH 'DWD 3XPS LV LQ WKH ,QDF WLYH 6WDWH DQG WKH 48,(7 SLQ LV /RZn D /RZWR+LJK WUDQ VLWLRQ RQ WKH $&75(4 SLQ LQLWLDWHV DFWLYDWLRQ RI WKH OLQNi ,Q WKH VRIWZDUH PRGH ZKHQ WKH 'DWD 3XPS LV LQ WKH ,QDFWLYH 6WDWH DQG WKH 48,(7 ELW LV VHW WR in VHWWLQJ WKH $&75(4 ELW WR i LQLWLDWHV DFWLYDWLRQ RI WKH OLQNi %HFDXVH WKH $&75(4 FRQWURO ELW LV OHYHO VHQVLQJn LW VKRXOG EH VHW WR i DQG WKHQ UHVHW WR i DJDLQ ZLWKLQ ee VHFRQGV WR JHQHUDWH D VLQJOH DFWL YDWLRQ UHTXHVWi 'XULQJ WKH $FWLYDWLQJ 6WDWHn WKH HFKR FDQFHOOHUn HTXDOL]HU DQG WLPLQJ UHFRYHU\ FLUFXLWV DUH DOO DGDSWLQJ GXULQJ WKH VLPXOWDQHRXV WUDQVPLVVLRQ DQG UHFHSWLRQ RI WKH IUDPHGn VFUDPEOHGRQHV GDWD WUDQVPLWWHG DV D WZROHYHO FRGH o6io RU DV WKH IRXUOHYHO FRGH o6ioi ,I WKH UHFHLYH IUDPH V\QF ZRUG LV QRW GHWHFWHG LQ WZR FRQVHFXWLYH IUDPHV ZLWKLQ ei VHFRQGVn WKH WLPHU H[SLUHV DQG WKH GHYLFH PRYHV WR WKH 'H $FWLYDWHG 6WDWH DQG FHDVHV WUDQVPLVVLRQi ,W ZLOO WKHQ LPPH GLDWHO\ WUDQVLWLRQ WR WKH ,QDFWLYH 6WDWH oVHWWLQJ /267 UHJDUGOHVV RI ZKHWKHU 178 WUDQVPLVVLRQ KDV FHDVHGoi $QRWKHU DFWLYDWLRQ UHTXHVW VKRXOG QRW EH JHQHUDWHG IRU ee VHFRQGV DOORZLQJ WKH 178 WR WLPHRXWn GHWHFW /26 DQG PRYH IURP WKH 'H$FWLYDWHG WR WKH ,QDFWLYH 6WDWHi ,Q PLFURSURFHVVRUEDVHG V\VWHPVn WKLV WLPH PD\ EH VKRUWHQHG E\ LPSOHPHQWLQJ D SURFHVVRU URXWLQH WR UHVHW WKH 178 'DWD 3XPSV ZKLFK DUH LQ WKH $FWLYDWLQJ 6WDWH ZKHQ QR /78 VLJ QDO LV SUHVHQWi /78 'DWD 3XPS UHPDLQV ORFNHG WR WKH V\QF ZRUG XQWLO WKH $FWLYDWLRQ 7LPHU H[SLUHVn WKH GHYLFH WUDQVLWLRQV WR WKH $FWLYHe oIXOO\ DFWLYHo 6WDWHi ,I V\QF LV ORVWn DV LQGLFDWHG E\ D iWRi WUDQVLWLRQ RQ /26:n WKH /78 'DWD 3XPS WUDQVL WLRQV WR WKH 3HQGLQJ 'H$FWLYDWLRQ 6WDWHi ,Q 3HQGLQJ 'H$FWLYDWLRQn WKH /78 'DWD 3XPS SURJUHVVHV WR WKH 'H$FWLYDWHG DQG ,QDFWLYH 6WDWHV ZLWK WKH H[SLUDWLRQ RI WKH UHVSHFWLYH WLPHUVi ,I WKH V\QF ZRUG LV GHWHFWHG EHIRUH WKH /26: WLPHU H[SLUHVn WKH /78 'DWD 3XPS UHWXUQV WR HLWKHU $FWLYH i RU $FWLYHei o7KH /78 'DWD 3XPS UHWXUQV WR ZKLFKHYHU VWDWH LW RFFXSLHG EHIRUH WUDQVLWLRQLQJ WR 3HQG LQJ 'H$FWLYDWLRQio 7KH /78 'DWD 3XPS ZLOO H[LW WKH $FWLYHe 6WDWH LQ RQH RI WZR ZD\Vi $ /RZWR+LJK WUDQVLWLRQ RQ WKH 48,(7 SLQ o+DUGZDUH 0RGHo RU WKH 48,(7 ELW o6RIWZDUH 0RGHon IRUFHV WKH /78 'DWD 3XPS GLUHFWO\ WR WKH 'H$FWLYDWHG 6WDWHi 7KH RQO\ RWKHU PHDQV RI H[LWLQJ WKH $FWLYH 6WDWH LV WKURXJK D ORVV RI UHFHLYH V\QF ZRUG o/26:oi /26: LV VHW ZKHQ VL[ FRQVHFXWLYH IUDPHV RFFXU ZLWKRXW D V\QF ZRUG PDWFKi 7KH /26: HYHQW SXWV WKH /78 'DWD 3XPS LQWR WKH 3HQGLQJ 'H$FWLYDWLRQ 6WDWHi 7KH /78 'DWD 3XPS UHPDLQV LQ WKH 3HQGLQJ 'H$FWLYDWLRQ 6WDWH IRU D PD[LPXP RI WZR VHFRQGVi ,I D V\QF ZRUG LV GHWHFWHG ZLWKLQ WZR VHFRQGV DIWHU WKH /26: HYHQWn WKH /78 'DWD 3XPS UHHQWHUV WKH $FWLYH 6WDWHi ,I WKH /26: FRQGLWLRQ H[FHHGV WZR VHFRQGVn DQ /26:7 HYHQW RFFXUV ZKLFK VHQGV WKH FKLS WR WKH 'H$FWLYDWHG 6WDWHi :KHQ WKH 'H$FWLYDWHG 6WDWH LV UHDFKHG IURP 3HQGLQJ 'H$FWLYD WLRQn WKH /78 'DWD 3XPS UHWXUQV WR WKH ,QDFWLYH 6WDWH DQG GHFODUHV /267 ZKHQ LW GHWHFWV QR VLJQDO IURP WKH 178 IRU RQH VHFRQGi 7KH 'DWD 3XPS VKRXOG UHPDLQ LQ WKH ,QDFWLYH 6WDWH IRU ie VHFRQGV EHIRUH DQRWKHU DFWLYDWLRQ DWWHPSWi 6XFFHVVIXO GHWHFWLRQ RI WKH V\QF ZRUG GULYHV WKH 6WDWH PDFKLQH WR WKH $FWLYHi 6WDWHi 7KLV LV LQGLFDWHG E\ D iWR i WUDQVLWLRQ RI WKH $&7,9( ELW o6RIWZDUH 0RGHoi ,I WKH aece L1 )XQFWLRQDO 'HVFULSWLRQ /78 )UDPHU $FWLYDWLRQ 7DEOH iaea 'DWD 3XPSi)UDPHU $FWLYDWLRQ 6WDWH 0DFKLQH &RUUHVSRQGHQFHV 'DWD 3XPS 6WDWH )LJXUH c VKRZV WKH DFWLYDWLRQ VWDWH PDFKLQH IRU WKH /78 +'6/ IUDPHUi 7UDQVLWLRQ WR WKH /LQN $FWLYH VWDJH IURP WKH ,GOH VWDJH oXSSHU OHIWo UHTXLUHV VXFFHVVIXO H[FKDQJH RI D SDLU RI LQGLFDWRU ELWVn LQGF DQG LQGUi o|,1'& DQG |,1'5 DUH LQWHUQDO VWDWXV VLJQDOV ZLWKLQ WKH +'6/ IUDPHUa |LQGF DQG |LQGU DUH ELWV LQ WKH RYHUKHDG FKDQQHOio 7KH /78 GHYLFH WUDQVPLWV WKH LQGF ELWn DQG WKH 178 GHYLFH WUDQVPLWV WKH LQGU ELWi 7KH RYHUKHDG IUDPH FDUULHV WKHVH LQGLFDWRU ELWV GXULQJ WUDQVPLVVLRQ RI WKH 6i WUDLQLQJ SDWWHUQi )UDPHU 6WDWH 67e 67i 67i i i i ,QDFWLYH ,GOH i i i $FWLYDWLQJ ei VHF WLPHU UXQQLQJ ,GOH i i i $FWLYH ei VHF WLPHU UXQQLQJ o$FWLYHioi ,GOHn $FWLYH5 RU $FWLYH7n RU /LQN $FWLYH i i i $FWLYH ei VHF WLPHU H[SLUHG o$FWLYHeoi /LQN $FWLYH i i i 3HQGLQJ 'H$FWLYDWLRQi /LQN $FWLYH RU $FWLYH5 RU $FWLYH7 i i i 'H$FWLYDWHG ,GOH i i i XQXVHG XQXVHG i i i XQXVHG XQXVHG )LJXUH c LOOXVWUDWHV WKH WZR SDUWLDOO\ DFWLYH VWDWHV o$FWLYH5 DQG $FWLYH7o ZKLFK PD\ VHUYH DV WUDQVLWLRQV EHWZHHQ WKH ,GOH DQG /LQN $FWLYH 6WDWHVi ,I WKH /78 GHYLFH UHDFKHV WKH 615 WKUHVKROGn LWV IUDPHU VHWV WKH ,1'& ELW DQG WKH GHYLFH WUDQVLWLRQV WR WKH $FWLYH5 6WDWHi ,I WKH 178 GHYLFH UHDFKHV WKH 615 WKUHVKROGn LW ZLOO WUDQVPLW WKH LQGU ELW WR WKH /78i 7KH /78 ZLOO WKHQ WUDQVLWLRQ WR WKH $FWLYH7 6WDWHi )URP HLWKHU RI WKH SDUWLDOO\ $FWLYH 6WDWHVn WKH GHYLFHV WUDQVLWLRQ WR WKH IXOO /LQN $FWLYH 6WDWH RQO\ ZLWK ERWK ,QGLFDWLRQ ELWV VHWi ii 7KH GDWD SXPS VDPSOHV WKH 7'$7$ LQSXW IRU DOO WUDQVPLW GDWD H[ FHSW WKH ie V\QF ELWV DW WKH VWDUW RI HDFK IUDPH GXULQJ VWDWHV iiin iii DQG iiii )LJXUH ea /78 'DWD 3XPS $FWLYDWLRQ 6WDWH 0DFKLQH 'H$FWLYDWHG 7[PLWWHU VLOHQW oin in io /26:7 i i /267 3RZHU 2Q i $FWLYDWLRQ 7LPHU ([SLUDWLRQ 3HQGLQJ 'H$FWLYDWLRQ 7[PLWWLQJ e%i4 'DWD oin in io /26: i i i 8SRQ HQWHULQJ WKH $FWLYH 6WDWHV o$FWLYH5n $FWLYH7 RU /LQN $FWLYHon WKH FKLS ZLOO RSHQ XS WKH IXOO GXSOH[ FRPPX QLFDWLRQ OLQN ZLWK WKH 178i 2QO\ WKH $FWLYH DQG 3HQGLQJ 'H$FWLYDWLRQ 6WDWHV DOORZ IXOO SD\ORDG WUDQVPLVVLRQi ,Q DOO VWDWHV H[FHSW $FWLYHi DQG $FWLYHen WKH 5'$7$ RXWSXW LV FODPSHG +LJKi /26: i i /26: i i $FWLYH e 7[PLWWLQJ e%i4 /LYH GDWD oin in io ,QDFWLYH 7[PLWWHU VLOHQW oin in io $&75(4 i i '3 $FWLYDWLQJ 7[PLWWLQJ 6i RU 6i oin in io /26: i i /26: i i $FWYDWLRQ 7LPHU ([SLUDWLRQ $FWLYH i 7[PLWWLQJ 6i RU e%i4 /LYH GDWD oin in io 127(a oQn Qn Qo LQGLFDWHV WKH VWDWXV RI ELWV 67en 67i DQG 67i UHVSHFWLYHO\i L1 aece 6.aeiaeiei6.aeiaeiae RU 6.aeiaeia iica NESV +'6/ 'DWD 3XPS &KLS 6HW )LJXUH ca /78 +'6/ )UDPHU $FWLYDWLRQ 6WDWH 0DFKLQH $&7,9(a i i / LQGUa i i $&7,9(a i / ,1'&a i ,GOH /26:7 i i ,1'&a i i RU 7LPHU ([SLUDWLRQ LQGUa i i RU 7LPHU ([SLUDWLRQ 178 'DWD 3XPS $FWLYDWLRQ )LJXUHV ae DQG a UHSUHVHQW WKH 178 'DWD 3XPS $FWLYDWLRQ 6WDWH 0DFKLQH DQG WKH 178 +'6/ )UDPHU 6WDWH 0DFKLQHi 7KH DFWLYDWLRQ VWDWH PDFKLQHV IRU 178 DQG /78 GHYLFHV DUH VLPLODUi %RWK 'DWD 3XPS PDFKLQHV VWDUW DW WKH ,QDFWLYH 6WDWH DQG SURJUHVV FORFNZLVH WKURXJK WKH $FWLYDWLQJn $FWLYHin $FWLYHen 3HQGLQJ 'H$FWLYDWLRQn DQG 'H$FWL YDWHG 6WDWHVi 2QH GLIIHUHQFH EHWZHHQ WKHP LV LQ WKH LQLWLDO FRQGLWLRQ UHTXLUHG WR H[LW IURP WKH ,QDFWLYH 6WDWHi 7KH /78 'DWD 3XPS UHVSRQGV WR WKH $FWLYDWLRQ 5HTXHVW o$&75(4o VLJQDOi 7KH 178 GHYLFH UHVSRQGV RQO\ WR WKH SUHVHQFH RI VLJQDO HQHUJ\ RQ WKH OLQNi 7KXVn RQO\ DQ DFWLYH /78 GHYLFH FDQ EULQJ XS WKH OLQNi 2QFH WKH /78 EHJLQV WUDQVPLWWLQJn WKH 178 GHYLFH ZLOO DXWRPDWLFDOO\ DFWLYDWH DQG DWWHPSW V\QFKURQL]DWLRQi 7KH RWKHU GLIIHUHQFH EHWZHHQ WKH 'DWD 3XPS VWDWH PDFKLQHV LV WKH LPSHWXV IRU WKH FKDQJH IURP WKH 'H$FWL YDWHG WR WKH ,QDFWLYH 6WDWHi ,Q WKH /78 'DWD 3XPSn H[SLUD WLRQ RI D RQHVHFRQG ORVV RI VLJQDO WLPHU o/267o FDXVHV WKH WUDQVLWLRQi ,Q WKH 178 WKH WUDQVLWLRQ RFFXUV LPPHGLDWHO\ RQ /RVV RI 6LJQDO o/26oi 7KH +'6/ IUDPHU DFWLYDWLRQ VWDWH PDFKLQHV IRU /78 DQG 178 DUH DOVR VLPLODUi 7KH GLIIHUHQFH LV LQ WKH LQGLFDWRU ELWV ZKLFK FDXVH WKH WUDQVLWLRQ WR HLWKHU WKH $FWLYH7 RU $FWLYH 5 6WDWHi 2Q WKH 178 VLGHn WKH ,1'5 ELW FDXVHV WKH WUDQVL WLRQ WR WKH $FWLYH5 6WDWHn DQG WKH LQGF ELW FDXVHV WKH WUDQ VLWLRQ WR WKH $FWLYH7 6WDWHi )URP HLWKHU SDUWLDOO\ DFWLYH VWDWHn UHFHLSW RI WKH UHPDLQLQJ LQGLFDWRU ELW RU WLPHU H[SLU\ FDXVHV WKH WUDQVLWLRQ WR WKH IXOO /LQN $FWLYH 6WDWHi aece i $FWLYH5 /LQN $FWLYH 178 )UDPHU $FWLYDWLRQ $FWLYH7 +'6/ 6\QFKURQL]DWLRQ 6WDWH 0DFKLQH )LJXUH a VKRZV WKH +'6/ 6\QFKURQL]DWLRQ 6WDWH 0DFKLQH LQFRUSRUDWHG LQ WKH +';i ,W DSSOLHV WR ERWK /78 DQG 178 GHYLFHVi 7DEOH ia OLVWV WKH FRUUHVSRQGHQFH EHWZHHQ WKH 6\QFKURQL]DWLRQ VWDWHV DQG $FWLYDWLRQ VWDWHVi 7KH 6\QF VWDWH PDFKLQH LV FORFNHG E\ WKH UHFHLYH VLJQDO IUDPLQJi 6WDUWLQJ DW WKH LQLWLDO 2XWRI6\QF FRQGLWLRQ o6WDWH ion WKH GHYLFH SURJUHVVHV LQ D FORFNZLVH GLUHFWLRQ WKURXJK 6WDWH i XQWLO 6\QF LV GHFODUHG LQ 6WDWH ei 7ZR FRQVHFXWLYH IUDPH V\QF ZRUG PDWFKHV DUH UHTXLUHG WR DFKLHYH V\QFKURQL]D WLRQi 2QFH WKH ,Q6\QF FRQGLWLRQ LV GHFODUHGn VL[ FRQVHFXWLYH IUDPH V\QF PLVPDWFKHV ZLOO FDXVH WKH GHYLFH WR WUDQVLWLRQ WKURXJK 6WDWHV e WKURXJK ae DQG GHFODUH DQ 2XWRI6\QF FRQ GLWLRQ LQ 6WDWH ai )URP 6WDWH an WKH GHYLFH ZLOO UHWXUQ HLWKHU WR 6WDWH e RU WR 6WDWH ii ,I WKH eVHFRQG WLPHU H[SLUHV ZLWK RXW UHHVWDEOLVKLQJ IUDPH V\QF o/26:7 io RU LI WKH UHFHLYH VLJQDO LV ORVW HQWLUHO\ o/26 ion WKH GHYLFH UHWXUQV GLUHFWO\ WR 6WDWH ii ,I IUDPH V\QF LV UHHVWDEOLVKHGn WKH GHYLFH ZLOO UHWXUQ WR WKH ,Q6\QF FRQGLWLRQ o6WDWH eo WKURXJK 6WDWH a LI WZR FRQVHFX WLYH IUDPHV DUH UHFHLYHG ZLWKRXW DQ\ FKDQJH RI IUDPH DOLJQ PHQW o&2)$ ioi ,I D FKDQJH RI IUDPH DOLJQPHQW GRHV RFFXU o&2)$ ion WZR FRQVHFXWLYH PDWFKHV DUH UHTXLUHG WR WUDQVLWLRQ WKURXJK 6WDWH ii EDFN WR 6WDWH ei L1 )XQFWLRQDO 'HVFULSWLRQ 7DEOH iaa $FWLYDWLRQ 6\QFKURQL]DWLRQ $FWLYDWLRQ 6WDWH ,QDFWLYH 6\QFKURQL]DWLRQ 6WDWHV 6WDWH i $FWLYDWLQJ 6WDWH i $FWLYH 6WDWHV en en en en cn DQG ae 3HQGLQJ 'H$FWLYDWLRQ 6WDWHV an an DQG ii )LJXUH aea 178 'DWD 3XPS $FWLYDWLRQ 6WDWH 0DFKLQH 'H$FWLYDWHG 7[PLWWHU VLOHQW oin in io /26 i i ,QDFWLYH 7[PLWWHU VLOHQW oin in io /26:7 i i $FWLYDWLRQ 7LPHU ([SLUDWLRQ 3HQGLQJ 'H$FWLYDWLRQ 7[PLWWLQJ e%i4 'DWD oin in io /26: i i /26: i i $FWLYH e 7[PLWWLQJ e%i4 /LYH GDWD oin in io i $FWLYH i 7[PLWWLQJ 6i RU e%i4 /LYH GDWD oin in io $FWLYDWLRQ 7LPHU ([SLUDWLRQ /26 i '3 $FWLYDWLQJ 7[PLWWLQJ 6i RU 6i oin in io /26: i i /26: i i 3RZHU 2Q iVHF 7LPHU /26: i i 127(a oQn Qn Qo LQGLFDWHV WKH VWDWXV RI ELWV 67en 67i DQG 67i UHVSHFWLYHO\i )LJXUH aa 178 +'6/ )UDPHU $FWLYDWLRQ 6WDWH 0DFKLQH $&7,9(a i / LQGFa i ,GOH /26:7 $&7,9(a i / ,1'5a i i i $FWLYH7 i i ,1'5a i i RU 7LPHU ([SLUDWLRQ $FWLYH5 /LQN $FWLYH L1 i LQGFa i i RU 7LPHU ([SLUDWLRQ aece 6.aeiaeiei6.aeiaeiae RU 6.aeiaeia iica NESV +'6/ 'DWD 3XPS &KLS 6HW )LJXUH aa +'6/ 6\QFKURQL]DWLRQ 6WDWH 0DFKLQH 1R 6\QF 6\QF 6\QF ,QLWLDO u2XWRI6\QFu i 6WDWH i $&7,9( i /26: i /26 i 1R 6\QF 6\QF o&2)$ io 6\QF ZLWK 1R &KDQJH 2I )UDPH $OLJQPHQW /26 i RU /26:7 i 6\QF 6\QF a ,Q 6\QF 6WDWH e $&7,9( i /26: i /26 i 1R 6\QF 2XW RI 6\QF 1R 6\QF 6WDWH a 6\QF $&7,9( i /26: i /26 i ae 1R 6\QF 1R 6\QF 6\QF ZLWK &KDQJH 2I )UDPH $OLJQPHQW e c 1R 6\QF ii &2)$ 1R 6\QF e 1R 6\QF 1R 6\QF e 1R 6\QF 6\QF &2)$ i i 127(6a ii |6\QF )UDPH 6\QF :RUG 0DWFKi |1R 6\QF )UDPH 6\QF :RUG 0LVPDWFKi ei $ iWRi WUDQVLWLRQ RQ 48,(7 ZLOO VHW WKH 6\QF 6WDWH 0DFKLQH IURP DQ\ 6WDWH WR 6WDWH ii ei ([SLUDWLRQ RI WKH $FWLYDWLRQ 7LPHU ZLOO VHW WKH 6\QF 6WDWH 0DFKLQH IURP 6WDWH i WR 6WDWH ii aecc L1 $SSOLFDWLRQ ,QIRUPDWLRQ $33/,&$7,21 ,1)250$7,21 +'6/ )UDPHU 6WDWH 0DFKLQH 'HVLJQ %HFDXVH RI GDWD WUDQVSDUHQF\ FKDUDFWHULVWLFV RI WKH 'DWD 3XPSn WZR LVVXHV LPSDFW RQ LPSOHPHQWLQJ WKH +'6/ )UDPHU $FWLYDWLRQ 6WDWH PDFKLQHV IRU ERWK /78 DQG 178 GHYLFHVa ii 2QFH WKH $&7,9( iWRi WUDQVLWLRQ RFFXUVn WKH 'DWD 3XPS EHFRPHV WUDQVSDUHQWi 7KHUHIRUHn WKH +'6/ IUDPHU PXVW SXW DSSURSULDWH GDWD LQ 7'$7$i 7DEOH e VXPPDUL]HV WKLV UHTXLUHPHQWi ei 7KH OLQN LQGLFDWRU ELWV oLQGF DQG LQGUo PXVW VWDELOL]H EHIRUH WKH GHYLFH PDNHV WKH WUDQVLWLRQ IURP WKH ,GOH WR WKH $FWLYH7 6WDWHi 7KXVn WKH +'6/ IUDPHU GHVLJQ PD\ GHWHFW c FRQVHFXWLYH PDWFKHV IRU WKH LQGLFDWLRQ ELW WUDQVLWLRQi 7KLV LV SDUWLFXODUO\ LPSRUWDQW IRU QRQ&6$ ORRSV ZKHUH D ORZHU 615 PD\ EH H[SHULHQFHGi 3&% /D\RXW 7KH IROORZLQJ DUH JHQHUDO FRQVLGHUDWLRQV IRU 3&% OD\RXW XVLQJ WKH +'6/ 'DWD 3XPS FKLS VHWa 5HIHU WR )LJXUHV iin iin ie DQG ien DQG 7DEOH iai .HHS DOO VKDGHG FRPSRQHQWV FORVH WR WKH SLQV WKH\ FRQQHFW WRi 8VH D IRXUOD\HU RU PRUH 3&% OD\RXWn ZLWK HPEHGGHG SRZHU DQG JURXQG SODQHVi %UHDN XS WKH SRZHU DQG JURXQG SODQHV LQWR WKH IRO ORZLQJ UHJLRQVn DQG WLH WKHVH UHJLRQV WRJHWKHU DW WKH FRPPRQ SRLQW ZKHUH SRZHU FRQQHFWV WR WKH FLUFXLWa 'LJLWDO 5HJLRQ $QDORJ 5HJLRQ 9&;2 VXEUHJLRQ $&&n /LQH ,i)n DQG ,%,$6 VXEUHJLRQ 8VH ODUJHU IHHGWKURXJKV o|YLDVo DQG WUDFNV IRU FRQ QHFWLQJ WKH SRZHU DQG JURXQG SODQHV WR WKH SRZHU DQG JURXQG SLQV RI WKH ,&V WKDQ IRU VLJQDO FRQQHFWLRQVi 3ODFH WKH GHFRXSOLQJ FDSDFLWRUV ULJKW DW WKH IHHG WKURXJK SRZHUiJURXQG SODQH WLHVn RU RQ WKH WUDFNV WR WKH ,& SRZHUiJURXQG SLQV DV FORVH WR WKH SLQV DV SRVVL EOHi 2Q WKH 8VHU ,QWHUIDFH &RQQHFWRUn URXWH GLJLWDO VLJQDOV WR DYRLG SUR[LPLW\ WR WKH 7,3n 5,1*n DQG &7 OLQHVi 3URYLGH DW OHDVW iii ") RU PRUH RI EXON SRZHU VXSSO\ GHFRXSOLQJ DW WKH SRLQW ZKHUH SRZHU LV FRQQHFWHG WR WKH 'DWD 3XPS FLUFXLWi L1 8VHU ,QWHUIDFH 7KH 5()&/. DQG &.a0 VLJQDOV DUH VHQVLWLYH WR FDSDFL WLYH ORDGLQJ DQG ULVH WLPHi .HHS WKH ULVH WLPH oIURP iio aioo IRU WKHVH VLJQDOV OHVV WKDQ e QVi 'LJLWDO 6HFWLRQ .HHS DOO GLJLWDO WUDFHV VHSDUDWHG IURP WKH DQDORJ UH JLRQ RI WKH 'DWD 3XPS OD\RXWi 3URYLGH KLJK IUHTXHQF\ GHFRXSOLQJ FDSDFLWRUV oiiii ") FHUDPLF RU PRQROLWKLFo DURXQG WKH +'; DV VKRZQ LQ )LJXUHV ii DQG iei 7KH FDSDFLWRU RQ WKH +'; 9&&i SLQ oSLQ io VKRXOG EH RQ WKH ,& VLGH RI WKH GL RGHi ,W LV SRVVLEOH WR UHSODFH WKH 1$1' JDWH oVKRZQ LQ )LJXUH ieo ZLWK DQ $1' JDWHi $QDORJ 6HFWLRQ 7KH DQDORJ VHFWLRQ RI WKH 3&% FRQVLVWV RI WKH IROORZLQJ VXEVHFWLRQVa ii $&& DQG SRZHU VXSSO\ GHFRXSOLQJ FDSDFLWRUV ei%LDV &XUUHQW *HQHUDWRU ei9ROWDJH &RQWUROOHG &U\VWDO 2VFLOODWRU ei/LQH ,QWHUIDFH &LUFXLW 5RXWH GLJLWDO VLJQDOV $'in $'in )6n '75n 76*1n 70$*n 7&.e0n DQG $*&.,. RQ WKH VROGHU VLGH RI WKH 3&%n DQG URXWH DOO DQDORJ VLJQDOV RQ WKH FRPSR QHQW VLGH DV PXFK DV SRVVLEOHi 5RXWH WKH IROORZLQJ VLJQDO SDLUV DV DGMDFHQW WUDFHVa 77,3i75,1* %7,3i%5,1* 57,3i55,1* EXW NHHS WKH SDLUV VHSDUDWHG IURP HDFK RWKHU DV PXFK DV SRVVLEOHi 7R PD[LPL]H KLJK YROWDJH LVRODWLRQn GR QRW UXQ WKH DQ DORJ JURXQG SODQH XQGHU WKH WUDQVIRUPHU OLQH VLGHi aecae 6.aeiaeiei6.aeiaeiae RU 6.aeiaeia iica NESV +'6/ 'DWD 3XPS &KLS 6HW )LJXUH iia 3&% /D\RXW *XLGHOLQHV a a i ca ci +'; 6.aeiaeiae ii ci ea ii c i ee ei ae ea *1'e 76*1 70$* 7&.e0 $*&.,. $'i $'i )6 '75 ei ee QiF QiF QiF QiF QiF QiF QiF ia ia ei ei ee ee ee ee ec eae ea ee ec &.ee0 iae 5(6(7e +'; 6.aeiaeia ee eae ea ea ei ei ee ee ee ee ec eae ea ea ei ei ee ee e e ie ie $QDORJ *1' DQG 9&& 3ODQHV ee ei 7*1' ei QiF %7,3 79&& ee ia ie ie ic iae ia &c &e 5i 7,3 5a 1R *1' DQG 9&& 3ODQHV WKLV VLGH 5ie 5ae 5ie 5ii 5a 5c 5e 5ii 5e &e &i &ae 5e 5*1' ii 57,3 ii &e 59&& a ea@ >QiF@ 70$* 7&.e0 ea >ee@ eae 7&.e0 7)3 ie >ii@ 7'$7$ e $''5i e $''5i c $''5e ae >a@ eencicae >ecee@ $''5e 'i'ae ee >ee@ 5($' 8i $*&.,. 6.aeiaeiae $'i +'; o6.aeiaeia $'i SLQV LQ EUDFNHWVo eae >ee@ ea ec >ee@ i $'i ee >ee@ e $'i $*&.,. )6 ee >ei@ e )6 '75 ee >ei@ e '75 &.eae0 ee >ia@ e &.eae0 %7,3 ic 8e 6.aeiaeie $&& 5a 5ii &c 5ii %5,1* iae 77,3 ,%,$6 5ae ei ,17 QiF /78 &.a0 ia >ie@ ia >ie@ QiF 5e ei >ic@ &i 5e a a ae &e ii e c 5ie e ii 5a 5e oe9 5ie 7i iaiia &ae 3*1' ei >ee@ oe9 5(6(7 ;2 ee >ia@ ;, ei >ei@ 5(6(7e 93// 5(6(7i 5()&/. :5,7( &+,36(/ iae >ie@ 5c 75,1* ee ee >ee@ &026 &/2&. 26&,//$725 iaicaa 0+= o` ee 330o &e 55,1* ie ee >ee@ 352&(6625 ,i) 5e 57,3 ie ,&/. ic >ie@ '*1' 76*1 ec 59&& ee ea >ec@ 5*1' ei >eae@ 70$* '9&& 76*1 5)67 79&& 7*1' 5)3 5'$7$ &ie ei ee ee ie ie c *1'e *1'e *1'e i ca >ee@ 9&&e e 9&&i a ei >iae@ &ii *1'i a >ae@ ie >ii@ +'6/ )5$0(5 ,i) &ie 'eo ii eae@ ee 5)67 70$* ea >ec@ ec 70$* 7&.e0 ea >ee@ eae 7&.e0 7)3 ie >ii@ 7'$7$ e $''5i e $''5i c $''5e ae >a@ eencicae >ecee@ $''5e 'i'ae ee >ee@ 5($' &e 8i $*&.,. 6.aeiaeiae $'i +'; o6.aeiaeia $'i SLQV LQ EUDFNHWVo eae >ee@ ea ec >ee@ i $'i ee >ee@ e $'i $*&.,. %7,3 ic 8e 6.aeiaeie $&& ee >ei@ e ee >ei@ e '75 &.eae0 ee >ia@ e &.eae0 5a 5ii &c 5ii %5,1* iae )6 )6 '75 77,3 5ae ei ,%,$6 ,17 ia ia >ie@ >ie@ /78 &.a0 &.a0 iae >ie@ 5e ei >ic@ &i 5e a a ae &e c 5ie e ii 5e oe9 5ie 7i iaiia &ae 3*1' ei >ee@ oe9 5(6(7 ;2 ee >ia@ ;, ei >ei@ 5(6(7e 93// 5(6(7i 5()&/. :5,7( &+,36(/ ii e 5a 75,1* ee ee >ee@ &026 &/2&. 26&,//$725 aieee RU iaicaa 0+= o` ee 330o 5c 55,1* ie ee >ee@ 352&(6625 ,i) 5e 57,3 ie ,&/. ic >ie@ '*1' 5*1' 79&& 59&& '9&& 7*1' 76*1 5)3 5'$7$ &ie ei ee ee ie ie c *1'e *1'e *1'e i &ii ee eae e >ea@ >QiF@ ca >ee@ 9&&e e 9&&i a ei >iae@ &ii *1'i a >ae@ ie >ii@ +'6/ )5$0(5 ,i) &ie 'eo ii e@ e >e@ ae >a@ ei >ee@ ce >eae@ ee >ec@ ce cae ci ce ce QiF >ea@ >ee@ >ea@ >ei@ >ei@ cc >ee@ ee >ee@ ee >ee@ ee >ee@ $&75(4 48,(7 $&791* 7(;3 /26:7 /267i/26 ,/07 7;767 5375 )(/% %(/% 8i 6.aeiaeiaei 6.aeiaeia +'; 5&/.8 &+,36(/ :5,7( 5($' 127(6a ii 7KLV ILJXUH LOOXVWUDWHV WKH +'; FRQWURO DQG VWDWXV VLJQDOV LQ +DUGZDUH 0RGHi $OO RWKHU +'; DQG $&& VLJQDOV DUH FRQQHFWHG DV VKRZQ LQ )LJXUHV ii DQG iei ei 3LQ QXPEHUV IRU 6.aeiaeia DUH VKRZQ LQ EUDFNHWV > @i 3LQ QXPEHUV RXWVLGH EUDFNHWV DUH IRU 6.aeiaeiaei L1 aeaei 6.aeiaeiei6.aeiaeiae RU 6.aeiaeia iica NESV +'6/ 'DWD 3XPS &KLS 6HW 7(67 63(&,),&$7,216 127( 7KH PLQLPXP DQG PD[LPXP YDOXHV LQ 7DEOHV ee WKURXJK ee DQG )LJXUHV ie WKURXJK ei UHSUHVHQW WKH SHUIRUPDQFH VSHFLILFDWLRQV RI WKH 'DWD 3XPS DQG DUH JXDUDQWHHG E\ WHVWn H[FHSW ZKHUH QRWHG E\ GHVLJQi 7DEOH eea $&& $EVROXWH 0D[LPXP 5DWLQJV 3DUDPHWHU 6\PERO 0LQ 0D[ 8QLWV 6XSSO\ YROWDJH UHIHUHQFH WR JURXQG 79&&n 59&&n '9&& iie ocii 9 ,QSXW YROWDJH 79&&n 59&&n '9&& iie9 9&& o iie 9 `ee P$ ce oiei & i en e e n DQ\ LQSXW SLQ &RQWLQXRXV RXWSXW FXUUHQWn DQ\ RXWSXW SLQ 6WRUDJH WHPSHUDWXUH 76725 &$87,21 2SHUDWLRQV DW WKH OLPLWV VKRZQ PD\ UHVXOW LQ SHUPDQHQW GDPDJH WR WKH $QDORJ &RUH &KLSi 1RUPDO RSHUDWLRQ DW WKHVH OLPLWV LV QHLWKHU LPSOLHG QRU JXDUDQWHHG ii 1R VXSSO\ LQSXW PD\ KDYH D PD[LPXP SRWHQWLDO RI PRUH WKDQ `iie 9 IURP DQ\ RWKHU VXSSO\ LQSXWi ei 7*1' i9a 5*1' i9a '*1' i9i ei 79&& 59&& '9&& 9&&i 7DEOH eea $&& 5HFRPPHQGHG 2SHUDWLQJ &RQGLWLRQV 3DUDPHWHU '& VXSSO\ $PELHQW RSHUDWLQJ WHPSHUDWXUH 6\PERO 0LQ 7\S 0D[ 8QLWV 79&&n '9&&n 59&& eiaee eii eiee 9 7$ ei oee oae & 7DEOH eea $&& '& (OHFWULFDO &KDUDFWHULVWLFV o2YHU 5HFRPPHQGHG 5DQJHo 6\P 0LQ 7\Si 0D[ 8QLW ,&& iie ieae P$ '9&& FXUUHQW ae ie P$ 59&& FXUUHQW ei ei P$ 79&& FXUUHQW ce aee P$ 1RUPDO 0RGH aoen aen aoen iii ea ea P$ 2II 0RGH 3DUDPHWHU 6XSSO\ FXUUHQW oIXOO RSHUDWLRQo 7HVW &RQGLWLRQV ae UHVLVWRU DFURVV 77,3 DQG 75,1* ,QSXW /RZ YROWDJH 9,/ iie 9 ,,/ a ei $ ,QSXW +LJK YROWDJH 9,+ eie 9 ,,+ a ei $ 2XWSXW /RZ YROWDJH 92/ iie 9 ,2/ a ei $ ii 7\SLFDO YDOXHV DUH DW ee & DQG DUH IRU GHVLJQ DLG RQO\a QRW JXDUDQWHHG DQG QRW VXEMHFW WR SURGXFWLRQ WHVWLQJi ei $SSOLHV WR SLQV en en een ec DQG eaei aeaee L1 7HVW 6SHFLILFDWLRQV 7DEOH eea $&& '& (OHFWULFDO &KDUDFWHULVWLFV o2YHU 5HFRPPHQGHG 5DQJHo FRQWLQXHG 6\P 0LQ 7\Si 0D[ 8QLW 92+ eie 9 ,2+ a ei $ ,QSXW OHDNDJH FXUUHQWe ,,/ `ei $ i a 9,1 a 9&& ,QSXW FDSDFLWDQFH oLQGLYLGXDO SLQVo &,1 ie S) &/5() ei S) 3DUDPHWHU 2XWSXW +LJK YROWDJH /RDG FDSDFLWDQFH o5()&/. RXWSXWo 7HVW &RQGLWLRQV ii 7\SLFDO YDOXHV DUH DW ee & DQG DUH IRU GHVLJQ DLG RQO\a QRW JXDUDQWHHG DQG QRW VXEMHFW WR SURGXFWLRQ WHVWLQJi ei $SSOLHV WR SLQV en en een ec DQG eaei 7DEOH eea $&& 7UDQVPLWWHU (OHFWULFDO 3DUDPHWHUV o2YHU 5HFRPPHQGHG 5DQJHo 3DUDPHWHUV 6\P ,VRODWHG SXOVH KHLJKW DW 77,3n 75,1* 0LQ 7\S 0D[ 8QLW oeieee oeicei oeiaee 9S 7'$7$ +LJKn 7)3 /RZ ooeo eiaee eicei eieee 9S 7'$7$ /RZn 7)3 /RZ oeo oiiaia oiiaai oiiaei 9S 7'$7$ +LJKn 7)3 +LJK ooio iiaei iiaai iiaia 9S 7'$7$ /RZn 7)3 +LJK oio 6HWXS WLPH o76*1n 70$*o W76068 e QV +ROG WLPH o76*1n 70$*o W760+ ie QV 7HVW &RQGLWLRQV 127(a 3XOVH DPSOLWXGH PHDVXUHG DFURVV D iee UHVLVWRU RQ WKH OLQH VLGH RI WKH WUDQVIRUPHU XVLQJ WKH DSSOLFDWLRQ FLUFXLW VKRZQ LQ )LJXUH ii DQG 7DEOH iai )LJXUH iea $&& 1RUPDOL]HG 3XOVH $PSOLWXGH 7UDQVPLW 7HPSODWH iie 7 iie 7 1RUPDOL]HG /HYHOV % iiiae & iiii ' iiae 7 4XDWHUQDU\ 6\PEROV oYDOXHV LQ 9ROWVo oe oi i e $ iii iiiece iiiiaa iiiiaa iiiece % iiiae eiaeea iiaeic iiaeic eiaeea & iiii eiceii iiaaii iiaaii eiceii ' iiae eieeee iiaiae iiaiae eieeee ( iiie iiiaeae iiiece iiiece iiiaeae ) iiii iiiece iiiiaa iiiiaa iiiece * iiic iieeee iiieia iiieia iieeee + iiie iiieei iiieei iiieei iiieei iiaei V iiee 7 $ ) ( iiii iiii iie 7 iic 7 * + iiie $ ) iiic iie 7 L1 iiie ie 7 iiii iiii ei 7 aeaee 6.aeiaeiei6.aeiaeiae RU 6.aeiaeia iica NESV +'6/ 'DWD 3XPS &KLS 6HW )LJXUH iea $&& 7UDQVPLWWHU 7LPLQJ )LJXUH ica 8SSHU %RXQG RI 7UDQVPLW 3RZHU 6SHFWUDO 'HQVLW\ $o 7UDQVPLW 6\QWD[i ei 7&.e0 ea G%Pi+] # eae N+] ei 76*1 ci G%Pi+] 70$* %o 7UDQVPLW 7LPLQJi 6ORSH ai G%i'HFDGH ai iia G%Pi+] # eiae 0+] iii 7&.e0 iei W76068 W760+ iei 76*1n 70$* ici iN+] iiN+] iiiN+] i0+] ii0+] 7DEOH eca $&& 5HFHLYHU (OHFWULFDO 3DUDPHWHUV o2YHU 5HFRPPHQGHG 5DQJHo 3DUDPHWHU 6\P 0LQ 7\S 0D[ 8QLW W$'' ee QV 7RWDO KDUPRQLF GLVWRUWLRQ ai G% 57,3n 55,1*n WR %7,3n %5,1* JDLQ UDWLR iii io 9i9 3URSDJDWLRQ GHOD\ o$'in $'io 7HVW &RQGLWLRQV 9o57,3n 55,1*o e 9SS # ei N+] )LJXUH iaea $&& 5HFHLYHU 6\QWD[ DQG 7LPLQJ $o 5HFHLYH 6\QWD[ &.eae0 &.ia0 o,17(51$/o %o 5HFHLYH 7LPLQJ &/.eae0 3523 '(/$< $'in $'i $*&.,. )6 $'i $'i $*&.,. aeaee L1 7HVW 6SHFLILFDWLRQV 7DEOH eaea +'; $EVROXWH 0D[LPXP 5DWLQJV 3DUDPHWHU 6\PERO 0LQ 0D[ 8QLWV 9&&en 9&&i iie ocii 9 ,QSXW YROWDJH n DQ\ LQSXW SLQ iie 9&&e o iie 9 &RQWLQXRXV RXWSXW FXUUHQWn DQ\ RXWSXW SLQ `ee P$ ce oiei & 6XSSO\ YROWDJHi UHIHUHQFH WR JURXQGe e 6WRUDJH WHPSHUDWXUH 76725 &$87,21 2SHUDWLRQV DW WKH OLPLWV VKRZQ PD\ UHVXOW LQ SHUPDQHQW GDPDJH WR WKH +'6/ 'LJLWDO 7UDQVFHLYHU o+';oi 1RUPDO RSHUDWLRQ DW WKHVH OLPLWV LV QHLWKHU LPSOLHG QRU JXDUDQWHHG ii 7KH PD[LPXP SRWHQWLDO EHWZHHQ 9&&e DQG 9&&i PXVW QHYHU H[FHHG `iie 9i ei *1'e *1'e i9a *1'e i9a *1'i i9i 7DEOH eaa +'; 5HFRPPHQGHG 2SHUDWLQJ &RQGLWLRQV 3DUDPHWHU '& VXSSO\ $PELHQW RSHUDWLQJ WHPSHUDWXUH 6\PERO 0LQ 7\S 0D[ 8QLWV 9&&ii eiae eii eiee 9 9&&e eiaee eii oeiee 9 9&&e9&&i iiee oiia 9 7$ ei oae & ii 7R GHULYH WKLV VXSSO\n D i1eiii oRU HTXLYDOHQWo GLRGH PD\ EH FRQQHFWHG EHWZHHQ 9&&e DQG 9&&i DV VKRZQ LQ )LJXUHV ii DQG iei 7KH GLRGH VKRXOG EH VHOHFWHG WR PHHW 9&&i PLQLPXP VSHFLILFDWLRQVi 7DEOH eaa +'; '& (OHFWULFDO &KDUDFWHULVWLFV o2YHU 5HFRPPHQGHG 5DQJHo 6\P 0LQ 7\Si 0D[ 8QLW 6XSSO\ FXUUHQW oIXOO RSHUDWLRQo ,&& iee iaee P$ ,QSXW /RZ YROWDJH 9,/ iie 9 ,,/ a ei $ ,QSXW +LJK YROWDJH 9,+ eii 9 ,,+ a ei $ 2XWSXW /RZ YROWDJH 92/ *1' oiie 9 ,2/ a ei $ 2XWSXW +LJK YROWDJH 92+ 9&&eiie 9 ,2+ a ei $ ,,/ `ei $ i a 9,1 a 9&&e 7ULVWDWH OHDNDJH FXUUHQWe ,72/ `ei $ i a 9 a 9&&e ,QSXW FDSDFLWDQFH oLQGLYLGXDO SLQVo &,1 ie S) &/5() ie S) 3DUDPHWHU ,QSXW OHDNDJH FXUUHQWe /RDG FDSDFLWDQFH o5()&/. RXWSXWo 7HVW &RQGLWLRQV ii 7\SLFDO YDOXHV DUH DW ee & DQG DUH IRU GHVLJQ DLG RQO\a QRW JXDUDQWHHG DQG QRW VXEMHFW WR SURGXFWLRQ WHVWLQJi ei $SSOLHV WR DOO SLQV WKDW FDQ EH FRQILJXUHG DV LQSXWVi 5HIHU WR 7DEOH e IRU D FRPSOHWH OLVW RI VLJQDOVi ei $SSOLHV WR 6.aeiaeiae SLQV an an ien ian ein ean ein een DQG cicae RU 6.aeiaeia SLQV aen an iin ien iaen ein een DQG ecee ZKHQ WULVWDWHGi L1 aeaee 6.aeiaeiei6.aeiaeiae RU 6.aeiaeia iica NESV +'6/ 'DWD 3XPS &KLS 6HW 7DEOH eia +';i+'6/ 'DWD ,QWHUIDFH 7LPLQJ o6HH )LJXUH iao 3DUDPHWHU ,&/. IUHTXHQF\ 5()&/. IUHTXHQF\ 5()&/. IUHTXHQF\ WROHUDQFH o/78 0RGHo &.a0 IUHTXHQF\ WROHUDQFH o178 0RGHo e 6\PERO 0LQ 7\Si 0D[ 8QLW I,&/. iica N+] I5()&/. iaicaa 0+] WRO5&/. ee i oee SSP WRO&.c0 ee i oee SSP ,&/. SXOVH ZLGWK KLJK W,3: eea QV 7UDQVLWLRQ WLPH RQ DQ\ GLJLWDO RXWSXWe W72 e ii QV 7UDQVLWLRQ WLPH RQ DQ\ GLJLWDO LQSXW W7, ee QV 7'$7$n 7)3 VHWXS WLPH WR ,&/. ULVLQJ HGJH W768 iii QV 7'$7$n 7)3 KROG WLPH IURP ,&/. ULVLQJ HGJH W7+ iii QV 5'$7$n 5)3n 5)67 GHOD\ IURP ,&/. IDOOLQJ HGJH W7' i iei QV W7)3: aea aec aae QV W7),5 eii eii QV W7685 ee QV 7)3 SXOVH ZLGWKe 7)3 IDOOLQJ HGJH WR ,&/. ULVLQJ HGJH e e 7)3 VHWXS WLPH WR 5()&/. ULVLQJ HGJH ii 7\SLFDO YDOXHV DUH DW ee & DQG DUH IRU GHVLJQ DLG RQO\a QRW JXDUDQWHHG DQG QRW VXEMHFW WR SURGXFWLRQ WHVWLQJi ei &.a0 PXVW PHHW WKLV WROHUDQFH DERXW DQ DEVROXWH IUHTXHQF\ RI aieeeiii 0+] RU iaicaaiii 0+] LQ 178 PRGHi ei 0HDVXUHG ZLWK ie S) ORDGi ei 7KHVH SDUDPHWHUV DSSO\ RQO\ WR DQ /78 PRGH 'DWD 3XPS SURJUDPPHG IRU UHSHDWHU DSSOLFDWLRQV DV VKRZQ LQ )LJXUH iai aeaec L1 7HVW 6SHFLILFDWLRQV )LJXUH iaa +';i+'6/ 'DWD ,QWHUIDFH 7LPLQJ $o 1RQ5HSHDWHU 0RGH i ,&/. W,3: 92+ 92/ ,&/. W7+ W768 W7, 7'$7$n 7)3 9,+ 9,/ W72 W7' 5$7$n 5)3n 5)67 92+ 92/ %o 5HSHDWHU 0RGH 9 ,+ 9,/ 7)3 i W7)3: ,&/. W7, W7),5 W,3: 9 2+ 92/ ,&/. W7+ W768 W7+ 9 ,+ 9,/ 7'$7$ W72 W7' 5$7$n 5)3n 5)67 9 2+ 92/ &o 5HSHDWHU 0RGH 5()&/. 9,+ 9,/ W7685 7)3 L1 9,+ 9,/ aeaeae 6.aeiaeiei6.aeiaeiae RU 6.aeiaeia iica NESV +'6/ 'DWD 3XPS &KLS 6HW 7DEOH eia +';i0LFURSURFHVVRU ,QWHUIDFH 7LPLQJ 6SHFLILFDWLRQVi o6HH )LJXUHV ia DQG eio 3DUDPHWHU 6\PERO 0LQ 7\S 0D[ 8QLW RESET2 SXOVH ZLGWK /RZ W53:/ iii iniii V RESET2 WR INT FOHDU oii N UHVLVWRU IURP INT WR 9&&eo W,17+ eii QV RESET2 WR GDWD WULVWDWH RQ 'iae W'7+= iii QV CHIPSEL SXOVH ZLGWK /RZ W&63:/ eii QV CHIPSEL /RZ WR GDWD DFWLYH RQ 'iae W&'/= ai QV CHIPSEL +LJK WR GDWD WULVWDWH RQ 'iae W&'+= ai QV READ SXOVH ZLGWK /RZ W563:/ iii QV READ /RZ WR GDWD DFWLYH W5'/= ai QV READ +LJK WR GDWD WULVWDWH W5'+= ai QV W35' ai QV W$68: ei QV $GGUHVV KROG IURP WRITE ULVLQJ HGJHe W$+: ii QV WRITE SXOVH ZLGWK /RZ W:3:/ iii QV 'DWD VHWXS WR WRITE ULVLQJ HGJH W'68: ei QV 'DWD KROG IURP WRITE ULVLQJ HGJH W'+: ii QV READ +LJK WR INT FOHDU ZKHQ UHDGLQJ UHJLVWHU 5'i W,175 eii QV $GGUHVV WR YDOLG GDWD e $GGUHVV VHWXS WR WRITE ULVLQJ HGJH e ii 7LPLQJ IRU DOO RXWSXWV DVVXPHV D PD[LPXP ORDG RI ei S)i ei |$GGUHVV UHIHUV WR LQSXW VLJQDOV CHIPSELn $in $in $en DQG $ei |'DWD UHIHUV WR ,i2 VLJQDOV 'in 'in 'en 'en 'en 'en 'cn DQG 'aei 7DEOH eea *HQHUDO 6\VWHP DQG +DUGZDUH 0RGH 7LPLQJ 0LQ 7\Si 0D[ 8QLW 7'$7$ WR 77,3i75,1* ciae ieie V 57,13i55,1* WR 5'$7$ ecii aee V |$&75(4 LQSXW WUDQVLWLRQDO SXOVH ZLGWK o+LJK RU /RZo e V |48,(7 WUDQVLWLRQDO SXOVH ZLGWK o+LJKWR/RZo e V 3DUDPHWHU 7KURXJKSXW GHOD\ +DUGZDUH PRGH ii 7\SLFDO YDOXHV DUH DW ee & DQG DUH IRU GHVLJQ DLG RQO\a QRW JXDUDQWHHG DQG QRW VXEMHFW WR SURGXFWLRQ WHVWLQJi aeaea L1 7HVW 6SHFLILFDWLRQV )LJXUH iaa 5HVHW DQG ,QWHUUXSW 7LPLQJ o3 &RQWURO 0RGHo $o 5HVHW 7LPLQJ W53:/ 9,+ 5(6(7e 9,/ W,17+ 92+ ,17 92/ W'7+= 92+ 'iae o2XWSXWo 92/ %o ,QWHUUXSW 7LPLQJ 9,+ 5($' 9,/ &+,36(/ 9,+ 9,/ 9,+ $''5i e 9,/ W,175 ,17 L1 92+ 92/ aeaea 6.aeiaeiei6.aeiaeiae RU 6.aeiaeia iica NESV +'6/ 'DWD 3XPS &KLS 6HW )LJXUH eia 3DUDOOHO 'DWD &KDQQHO 7LPLQJ $o &KLS 6HOHFW 7LPLQJ W&63:/ &+,36(/ o5($' 9,+ 9,/ io W&'+= W&'/= 92+ 'iae o2XWSXWo 92/ %o 'DWD 5HDG 7LPLQJ 9,+ &+,36(/ $''5ie 9,/ W563:/ 9,+ 5($' o:5,7( 9,/ io W5'/= W35' W5'+= 92+ 'iae o2XWSXWo 92/ &o 'DWD :ULWH 7LPLQJ W7, W$68: 9,+ &+,36(/ $''5ie 9,/ W$+: W:3:/ 9,+ :5,7( o5($' 9,/ io W'68: 'iae o,QSXWo aeai W'+: 9,+ 9,/ L1