scieee Science in your language
[en] (orig)

Ageing under extreme ph conditions, modification and characterization of ultrafiltration and nanofiltration membranes

Abstract

Tesis con mención internacional.Tesis doctoral por el sistema de compendio de publicaciones

Read accessible full text

Ageing under extreme ph conditions, modification and characterization of ultrafiltration and nanofiltration membranes

Author: Antón Rodríguez, Faustino Enrique
Publisher: Universidad de Oviedo
Year: 2014
Source: https://digibuo.uniovi.es/dspace/bitstream/10651/30039/1/TD_FaustinAnton.pdf

8QLYHUVLW RI2YLHGR
'HSDUWPHQWRI&KHPLFDODQG(QYLURQPHQWDO(QJLQHHULQJ



$JHLQJXQGHUH[WUHPHS+FRQGLWLRQV
PRGLILFDWLRQDQGFKDUDFWHUL]DWLRQRI
XOWUDILOWUDWLRQDQGQDQRILOWUDWLRQPHPEUDQHV





'2&725$/7+(6,6
3URJUDPLQ3URFHVVDQG(QYLURQPHQWDO(QJLQHHULQJ

%<
)DXVWLQR(QULTXH$QWyQ5RGU JXH]

2YLHGR
6HSWHPEHU








)250$792$%,6
5(680(1'(/&217(1,'2'(7(6,6'2&725$/


7 WXORGHOD7HVLV
(VSDxRO2WUR,GLRPD
(19(-(&,0,(172%$-2&21',&,21(6
(;75(0$6'(S+02',),&$&,21<
&$5$&7(5,=$&,21'(0(0%5$1$6'(
8/75$),/75$&,21<1$12),/75$&,21
,QJOpV
$*(,1*81'(5(;75(0(S+
&21',7,21602',),&$7,21$1'
&+$5$&7(5,=$7,212)
8/75$),/75$7,21$1'
1$12),/75$7,210(0%5$1(6

$XWRU
1RPEUH
)DXVWLQR(QULTXH$QWyQ5RGU JXH]
'1,3DVDSRUWH1,(
3URJUDPDGH'RFWRUDGR
,1*(1,(5Ë$'(352&(626<$0%,(17$/0HQFLyQGHFDOLGDG0&'
ÏUJDQRUHVSRQVDEOH
81,9(56,'$''(29,('2

5(680(1HQHVSDxRO

(OREMHWLYRGHHVWHWUDEDMRKDVLGRHOHVWXGLRGHOHQYHMHFLPLHQWRGHPHPEUDQDVGH
XOWUDILOWUDFLyQ8) QDQRILOWUDFLyQ1)H[SXHVWDVDGLVROXFLRQHViFLGDV DOFDOLQDVGH
OLPSLH]D 6H KD GHVDUUROODGR XQ PRGHOR WHyULFR SDUD LQWHUSUHWDUORVUHVXOWDGRVGHOD
SRURVLPHWU D GH GHVSOD]DPLHQWR O TXLGRO TXLGR //'3 7DPELpQ VHKDQSUHSDUDGR
PHPEUDQDV UHVLVWHQWHV DO HQVXFLDPLHQWR SRU FRSROLPHUL]DFLyQ GH KLGURJHOHV
HOHFWURO WLFRVVREUHODVXSHUILFLHGHPHPEUDQDVGHXOWUDILOWUDFLyQ

6H LQFOX H XQD UHYLVLyQ ELEOLRJUiILFD GHWDOODGD VREUH ORV SULQFLSDOHV DJHQWHV GH
HQVXFLDPLHQWRORVDJHQWHVGHOLPSLH]DPiVFRPXQHVODVWpFQLFDVFRQVROLGDGDVSDUD
GHWHUPLQDUODHILFDFLDGHOLPSLH]DORVSDUiPHWURVTXHDIHFWDQDORVWUDWDPLHQWRV ORV
SURFHGLPLHQWRVGHOLPSLH]DPiVDGHFXDGRVHQIXQFLyQGHOWLSRGHHQVXFLDPLHQWR

/D SULPHUD VHFFLyQ GHO WUDEDMR H[SHULPHQWDO VH FHQWUD HQ HO HQYHMHFLPLHQWR EDMR
FRQGLFLRQHVH[WUHPDVGHS+GHPHPEUDQDVGH8)KHFKDVGHSROLHWHUVXOIRQD GH1)
KHFKDV GHSROLDPLGD 6H VRPHWLHURQ VHLV PHPEUDQDV FRPHUFLDOHV GH 8) GH 1DGLU
.RFK *(2VPRQLFV GRV PHPEUDQDVGH1)GH'RZ )LOPWHFD GLVROXFLRQHVFRQ
GLVWLQWDVFRQFHQWUDFLRQHVGHiFLGRQ WULFRHKLGUy[LGRVyGLFRDGLVWLQWDVWHPSHUDWXUDV 
SHULRGRVGHWLHPSRODUJRVKDVWDVHLVPHVHVSDUDVLPXODUODVVXFHVLYDVRSHUDFLRQHVGH
OLPSLH]D D OR ODUJR GH VX YLGD ~WLO (O FRPSRUWDPLHQWR GH ODV PHPEUDQDV VH HYDOXy
PHGLDQWH PHGLGDV GH SHUPHDELOLGDG  GH UHWHQFLyQ 6H UHDOL]DURQ FDUDFWHUL]DFLRQHV
ILVLFRTX PLFDVGHODVPHPEUDQDVHQYHMHFLGDV HQVXHVWDGRRULJLQDO/DFRPSRVLFLyQ
VXSHUILFLDO GH ODV PHPEUDQDV VH DQDOL]y SRU $75)7,5  ('6 /D HVWUXFWXUD OD
PRUIRORJ D ODKLGURILOLFLGDGGHODVPHPEUDQDVVHHVWXGLDURQPHGLDQWHFDUDFWHUL]DFLRQHV
SRU6(0$)0 PHGLGDVGHiQJXORVGHFRQWDFWRUHVSHFWLYDPHQWH

(Q OD VHJXQGD VHFFLyQ GHO WUDEDMR H[SHULPHQWDO VH SURSRQH XQ PpWRGR GH
LQWHUSUHWDFLyQGHODVPHGLGDVPHGLDQWH//'3SDUDFDUDFWHUL]DUPHPEUDQDVGH8)6H
HVWXGLDURQ FXDWUR PHPEUDQDV SROLPpULFDV GH 8) FRQ WDPDxRV GH FRUWH HQWUH  
N'D(OFRPSRUWDPLHQWRGHODVPHPEUDQDVPRGHORGHILQLGDVSRUXQDGLVWULEXFLyQ
ORJQRUPDOGHOQ~PHURGHSRURV XQDGHQVLGDGGHSRURVWRWDOGDGDVHDMXVWyDOGHODV
PHPEUDQDVUHDOHVGXUDQWHHODQiOLVLVSRU//'3/DYDOLGDFLyQGHOPRGHORVHOOHYyDFDER
FRPSDUDQGRODVGLVWULEXFLRQHVGHQ~PHURGHSRURV GHSHUPHDELOLGDGDV FRPRRWURV
SDUiPHWURVW SLFRVUDGLRVPHGLRVSHUPHDELOLGDGDVLQWyWLFDHWFREWHQLGRVDSDUWLUGHO
PRGHORFRQORVUHVXOWDGRVSURFHGHQWHVGHOPpWRGRWUDGLFLRQDOGHVDUUROODGRSRU*UDEDU
1LNLWLQH






6H KDQ GHVDUUROODGR WDPELpQ QXHYDV PHPEUDQDV FRQ EDMD WHQGHQFLDDO
HQVXFLDPLHQWRFDUDFWHUL]DGDVSRUXQDHOHYDGDFDUJD XQDEDMDUXJRVLGDGPHGLDQWHOD
PRGLILFDFLyQ GH PHPEUDQDV GH 8) SRU FRSROLPHUL]DFLyQ GH KLGURJHOHV HOHFWURO WLFRV
LQGXFLGDSRUUDGLDFLyQXOWUDYLROHWD6HLQYHVWLJDURQORVHIHFWRV GHODFRQFHQWUDFLyQGHO
PRQyPHURIXQFLRQDOODFRQFHQWUDFLyQGHOUHWLFXODGRUODLQWHQVLGDGGHODUDGLDFLyQ HO
WLHPSRGHPRGLILFDFLyQVREUHHOJUDGRGHSROLPHUL]DFLyQODFRPSRVLFLyQODHVWUXFWXUD 
HOFRPSRUWDPLHQWRIXQFLRQDOGHODPHPEUDQDGHKLGURJHO


5(680(1HQ,QJOpV

7KH DLP RI WKLV ZRUN KDV EHHQ WKH VWXG  RI WKH DJHLQJ RI XOWUDILOWUDWLRQ 8) DQG
QDQRILOWUDWLRQ1)PHPEUDQHVXQGHUORQJWHUPH[SRVXUHWRDFLGLFDQGDONDOLQHFOHDQLQJ
VROXWLRQV$WKHRUHWLFDOPRGHOKDVEHHQGHYHORSHGIRUWKHLQWHUSUHWDWLRQ RI OLTXLGOLTXLG
GLVSODFHPHQW SRURVLPHWU  //'3 UHVXOWV ,Q DGGLWLRQ PHPEUDQHVZLWKDQLPSURYHG
IRXOLQJ UHVLVWDQFH KDYH EHHQ SUHSDUHG E  JUDIW FRSRO PHUL]DWLRQ RI D SRO HOHFWURO WH
K GURJHORQWKHWRSRIDQ8)PHPEUDQH

$FRPSUHKHQVLYHOLWHUDWXUHUHYLHZFRQFHUQLQJWKHPDLQIRXODQWVWKHPRVWFRPPRQ
FOHDQHUV WKH FRQVROLGDWHG WHFKQLTXHV WR GHWHUPLQH FOHDQLQJ HIIHFWLYHQHVV WKH
SDUDPHWHUVDIIHFWLQJVXFKSURFHVVDQGWKHPRVWVXLWDEOHFOHDQLQJSURFHGXUHVDVIXQFWLRQ
RIWKHIRXOLQJQDWXUHLVDOVRLQFOXGHGLQWKLVZRUN

7KHILUVWVHFWLRQRIWKHH[SHULPHQWDOZRUNLVGHYRWHGWRWKHDJHLQJRISRO HWKHUVXOIRQH
8) DQG SRO DPLGH 1) PHPEUDQHV XQGHU ORQJWHUP H[SRVXUHV WR DFLGLF DQG DONDOLQH
FRQGLWLRQV 6L[ FRPPHUFLDO 8) PHPEUDQHV IURP 1DGLU .RFK DQG *( 2VPRQLFV
PDQXIDFWXUHUV DQG WZR 1) RQHV IURP 'RZ )LOPWHF ZHUH VXEMHFWHG WR GLIIHUHQW
FRQFHQWUDWLRQQLWULFDFLGDQGVRGLXPK GUR[LGHVROXWLRQVDWVHYHUDOWHPSHUDWXUHVIRUORQJ
SHULRGVRIWLPHXSWRVL[PRQWKVWRVLPXODWHWKHVXFFHVVLYHFOHDQLQJVWHSVWKURXJKRXW
WKHLUOLIHWLPH3HUPHDELOLW DQGUHMHFWLRQZHUHXVHGWRHYDOXDWHPHPEUDQHSHUIRUPDQFH
0HPEUDQHV ZHUH DOVR FKDUDFWHUL]HG LQ WKHLU SULVWLQH VWDWH DQG DIWHU DJHLQJ E 
SK VLFRFKHPLFDO WHFKQLTXHV $WWHQXDWHG WRWDO UHIOHFWLRQ )RXULHU WUDQVIRUP LQIUDUHG DQG
HQHUJ GLVSHUVLYH ;UD  VSHFWURVFRS  ZHUH XVHG WR DQDO ]H VXUIDFH PHPEUDQH
FRPSRVLWLRQ6FDQQLQJHOHFWURQPLFURVFRS DWRPLFIRUFHPLFURVFRS DQGFRQWDFWDQJOH
PHDVXUHPHQWVDOORZHGFKDUDFWHUL]LQJVWUXFWXUHPRUSKRORJ DQGZHWWDELOLW RIPHPEUDQH
VXUIDFHVUHVSHFWLYHO 

7KHVHFRQGVHFWLRQRIWKHH[SHULPHQWDOZRUNGHVFULEHVDQHZDSSURDFKWR//'3WR
FKDUDFWHUL]H8)PHPEUDQHV)RXUSRO PHULF8)PHPEUDQHVZLWKPROHFXODUZHLJKWFXW
RIIV UDQJLQJ IURP  WR  N'D ZHUH HPSOR HG $ PRGHO PHPEUDQH GHILQHG E  D
ORJQRUPDOSRUHQXPEHUGLVWULEXWLRQDQGDJLYHQSRUHQXPEHUGHQVLW ZDVILWWHGWRWKH
DFWXDOPHPEUDQHGXULQJWKH//'3DQDO VLV0RGHOYDOLGDWLRQZDVFDUULHGRXWFRPSDULQJ
WKHSRUHQXPEHUDQGSHUPHDQFHGLVWULEXWLRQVDVZHOODVW SLFDO//'3SDUDPHWHUVPHDQ
UDGLXVDV PSWRWLFSHUPHDQFHHWFREWDLQHGIURPWKHSURSRVHGPRGHOZLWKWKRVHIURP
WKHWUDGLWLRQDO*UDEDU1LNLWLQHPHWKRG

1HZ1)PHPEUDQHVFKDUDFWHUL]HGE DKLJKFKDUJHGHQVLW DQGDORZURXJKQHVV
WKXV ORZ SURQH WR IRXOLQJ KDYH EHHQ PDQXIDFWXUHG XVLQJ 89SKRWR LQLWLDWHG FR
SRO PHUL]DWLRQRI VWURQJ SRO HOHFWURO WH K GURJHOVRQ WKH VXUIDFH RI 3(6 PHPEUDQHV
7KH HIIHFWV RI WKH IXQFWLRQDO PRQRPHU FRQFHQWUDWLRQ WKH FURVVOLQNHU IUDFWLRQ WKH
LUUDGLDWLRQ LQWHQVLW  DQG WKH PRGLILFDWLRQ WLPH RQ WKH GHJUHH RI JUDIWLQJ FRPSRVLWLRQ
VWUXFWXUHDQGPHPEUDQHSHUIRUPDQFHRIWKHK GURJHOPHPEUDQHVZHUHVWXGLHG


65',5(&725'('(3$57$0(172'(,1*(1,(5Ë$48Ë0,&$<7(&12/2*Ë$'(/0(',2$0%,(17(
6535(6,'(17('(/$&20,6,Ï1$&$'e0,&$'(/352*5$0$'('2&725$'2(1,1*(1,(5Ë$'(
352&(626<$0%,(17$/

R. Be ns ein, E. An ón, M. Ulb ich , UV-pho o g a unc ionaliza ion o polye he sul one
memb ane wi h s ong polyelec oly e hyd ogel and i s applica ion o nano il a ion, ACS
Applied Ma e ials and In e aces 4 (2012) 3438-3446. Impac ac o : 5.008
R. Be ns ein, E. An ón, M. Ulb ich , Tuning he nano il a ion pe o mance o hin ilm
s ong polyelec oly e hyd ogel composi e memb anes by pho o-g a ing condi ions,
Jou nal o Memb ane Science 427 (2013) 129-138. Impac ac o : 4.093
E. An ón, J.I. Ignacio, J.R. Ál a ez, A. He nández, S. Luque, Fi ing app oach o liquid-
liquid displacemen po osime y based on he log-no mal po e size dis ibu ion, Jou nal o
Memb ane Science. h p://dx.doi.o g/10.1016/j.memsci.2014.07.035. Accep ed (2014).
Impac ac o : 4.093
Además, en el momen o de deposi a la misma se encuen an en e isión los siguien es
a ículos, cuyo con enido se ha incluido en la esis en o ma de capí ulos:
E. An ón, D. Vázquez, J.R. Ál a ez, S. Luque, Ageing o nano il a ion polyme ic
memb anes unde he exposu e o acidic and alkaline cleaning solu ions, Sepa a ion and
Pu i ica ion Technology. Submi ed (2014).
E. An ón, J.R. Ál a ez, L. Palacio, P. P ádanos, A. He nández, A. Pihlajamäki, S. Luque,
Ageing o polye he sul one ul a il a ion memb anes unde long- e m exposu es o
alkaline and acidic cleaning solu ions. Pa I: physicochemical changes, Jou nal o
Memb ane Science. Submi ed (2014).
E. An ón, J.R. Ál a ez, S. Luque, Ageing o polye he sul one ul a il a ion memb anes
unde long- e m exposu es o alkaline and acidic cleaning solu ions. Pa II: memb ane
pe o mance, Jou nal o Memb ane Science. Submi ed (2014).
En O iedo a 29 de julio de 2014
Di ec o /es de la Tesis Doc o al
Fdo.: Susana Luque Rod íguez Fdo.: José Ramón Ál a ez Sáiz
Fd
F
F
F
F
o.: José Ramón Ál a ez Sáiz
)ZG<RXU6XEPLVVLRQ-065
GHMXOLRGH
)RUZDUGHG0HVVDJH
!$
!'HVGH3LHUUH$LPDUDLPDU#FKLPLHXSVWOVHIU!
!$VXQWR<RXU6XEPLVVLRQ-065
!)HFKD-XO
!
!5HI0V1R-065
!),77,1*$3352$&+72/,48,'/,48,'',63/$&(0(1732526,0(75<%$6('217+(/2*
1250$/325(
6,=(',675,%87,21
!-RXUQDORI0HPEUDQH6FLHQFH
!
!'HDU3URI&DOYR
!
!7KDQN RXIRUDFFRXQWLQJIRUWKHODWHVWUHYLHZHUVUHPDUNV,DPSOHDVHGWR
WHOO RXWKDW
RXUZRUNKDVQRZEHHQDFFHSWHGIRUSXEOLFDWLRQLQWKH-RXUQDORI0HPEUDQH
6FLHQFH
!
!
!:KHQ RXUSDSHULVSXEOLVKHGRQ6FLHQFH'LUHFW RXZDQWWRPDNHVXUHLWJHWV
WKHDWWHQWLRQ
LWGHVHUYHV7RKHOS RXJHW RXUPHVVDJHDFURVV(OVHYLHUKDVGHYHORSHGDQHZ
IUHH
VHUYLFHFDOOHG$XGLR6OLGHVEULHIZHEFDVWVW OHSUHVHQWDWLRQVWKDWDUHVKRZQ
SXEOLFO
DYDLODEOHQH[WWR RXUSXEOLVKHGDUWLFOH7KLVIRUPDWJLYHV RXWKH
RSSRUWXQLW WR
H[SODLQ RXUUHVHDUFKLQ RXURZQZRUGVDQGDWWUDFWLQWHUHVW<RXZLOOUHFHLYH
DQ
LQYLWDWLRQHPDLOWRFUHDWHDQ$XGLR6OLGHVSUHVHQWDWLRQVKRUWO )RUPRUH
LQIRUPDWLRQDQG
H[DPSOHVSOHDVHYLVLWKWWSZZZHOVHYLHUFRPDXGLRVOLGHV
!
!7KDQN RXIRUVXEPLWWLQJ RXUZRUNWRWKLVMRXUQDO
!
!%HVW5HJDUGV
!
!3LHUUH$LPDU
!-06(GLWRU
!-RXUQDORI0HPEUDQH6FLHQFH
!
*PDLO)ZG<RXU6XEPLVVLRQ-065
RI -XO







,
,1'(;

$EVWUDFW9,,
 ,QWURGXFWLRQ
 0HPEUDQHWHFKQRORJ 
 0HPEUDQHSURFHVVDSSOLFDWLRQV
 0HPEUDQHIRXOLQJDQGFOHDQLQJ
 0HPEUDQHDJHLQJ
 7KHVLVZRUNVFRSH
 2EMHFWLYHV
 *HQHUDOFRQVLGHUDWLRQV
 0HPEUDQHDJHLQJ
 $JHLQJRI3(68)PHPEUDQHVXQGHUDFLGLFDQGDONDOLQH
FOHDQLQJVROXWLRQV
 $JHLQJRI1)PHPEUDQHVXQGHUDFLGLFDQGDONDOLQHFOHDQLQJVROXWLRQV
 0HPEUDQHFKDUDFWHUL]DWLRQ
 )LWWLQJDSSURDFKWRFKDUDFWHUL]H8)PHPEUDQHVWKURXJK//'3
 0HPEUDQHPRGLILFDWLRQ
 )XQFWLRQDOL]DWLRQRI8)PHPEUDQHVZLWKVWURQJSRO HOHFWURO WH
K GURJHOVIRU1)DSSOLFDWLRQVDQGWKHWXQLQJRIWKHLUSHUIRUPDQFH
 &OHDQLQJRI8)PHPEUDQHV$UHYLHZ
 ,QWURGXFWLRQ
 &OHDQLQJV VWHPV
 0HPEUDQHVDQGPRGXOHV
 )RXOLQJDQGIRXODQWV
 &OHDQLQJDQGFOHDQHUV
 (YDOXDWLRQRIFOHDQLQJHIIHFWLYHQHVV
 ,,
 ,QIOXHQFHRIPDLQFOHDQLQJIDFWRUV
 3URFHVVVWUHDPILOWUDWLRQFRQGLWLRQV
 0HPEUDQHSURSHUWLHV
 )LOWUDWLRQPRGXOHV
 &OHDQHUFRQFHQWUDWLRQ
 &OHDQLQJWLPH
 &OHDQLQJWHPSHUDWXUH
 &OHDQLQJVROXWLRQS+
 ,QWHUIDFLDOHQHUJ RIWKHFOHDQHU
 &OHDQLQJZDWHUTXDOLW 
&URVVIORZYHORFLW GXULQJWKHFOHDQLQJ
7UDQVPHPEUDQHSUHVVXUHGXULQJWKHFOHDQLQJ
%:DQG))IORZ
,PSRUWDQFHRIWKHIDFWRUVDQGLQWHUDFWLRQVDPRQJWKHP
 0DMRUGLIILFXOWLHVLQWKHVWXG LQJRIPHPEUDQHFOHDQLQJ
 3RVVLEOHXQUHOLDELOLW RIFOHDQLQJHYDOXDWLRQSDUDPHWHUV
 /DFNRIFOHDQLQJVWDQGDUGL]HGSDUDPHWHUVDQGPRGHOV
 0HPEUDQHFOHDQLQJV VWHPV
 &KHPLFDOFOHDQLQJRI120
 &KHPLFDOFOHDQLQJRIPLFURELDOVSHFLHV
 &KHPLFDOFOHDQLQJRIIRXOLQJIURPZDVWHZDWHUV
 &KHPLFDOFOHDQLQJRIIRXOLQJIURPGDLU VWUHDPV
 &KHPLFDOFOHDQLQJRI%6$
 &KHPLFDOFOHDQLQJRIIRXOLQJIURPRLO ZDVWHZDWHU
 (Q] PDWLFFOHDQLQJUHPDUNV
 3K VLFDOFOHDQLQJSURWRFROV
 3HUIRUPDQFHRIVHYHUDOF FOHVRIIRXOLQJFKHPLFDOFOHDQLQJ
 &RQFOXVLRQV

 ,,,
 0DWHULDOVDQGPHWKRGV
 *HQHUDOFRQVLGHUDWLRQV
 0DWHULDOV
 0HPEUDQHV
 &KHPLFDOV
 $JHLQJSURFHGXUHV
 $JHLQJSURFHGXUHVDWVPDOOVFDOH
 $JHLQJSURFHGXUHVXVLQJDFURVVIORZV VWHP
 &KDUDFWHUL]DWLRQWHFKQLTXHV
 0HPEUDQHSHUPHDELOLW 
 0HPEUDQHUHMHFWLRQFDSDELOLW 
 $75)7,5
 6(0PLFURJUDSKVDQG('6
 $)0
 &RQWDFWDQJOH
 //'3
 +3/&
 *DVFKURPDWRJUDSK PDVVVSHFWURPHWHU*&06
 5HVXOWVDQGGLVFXVVLRQ
 $JHLQJRI3(68)PHPEUDQHVXQGHUDFLGLFDQGDONDOLQHFOHDQLQJVROXWLRQV
 $EVWUDFW
 6XUIDFHFRPSRVLWLRQRIWKHQRQDJHGPHPEUDQHV
 (IIHFWVRIDJHLQJRQ1DGLUPHPEUDQHV
5.1.3.1. Memb ane pe o mance h oughou he alkaline ageing ................... 79
5.1.3.2. Memb ane pe o mance h oughou he acidic ageing ....................... 81
5.1.3.3. E ec s o he ageing condi ions on memb ane MWCOs ..................... 82
5.1.3.4. E ec s o he ageing condi ions on memb ane su ace composi ion .. 85
,9
5.1.3.5. E ec s o he ageing condi ions on memb ane s uc u e ................... 86
5.1.3.6. E ec s o he ageing condi ions on memb ane opog aphy ............... 88
5.1.3.7. E ec s o he ageing condi ions on memb ane hyd ophobici y .......... 90
5.1.3.8. Discussion........................................................................................... 90
 (IIHFWVRIDJHLQJRQ.RFKDQG*(2VPRQLFVPHPEUDQHV
5.1.4.1. Memb ane pe o mance h oughou he alkaline ageing ................... 92
5.1.4.2. Memb ane pe o mance h oughou he acidic ageing ...................... 92
5.1.4.3. E ec s o he ageing condi ions on memb ane MWCOs .................... 94
5.1.4.4. E ec s o he ageing condi ions on memb ane
su ace composi ion ............................................................................ 95
5.1.4.5. E ec s o he ageing condi ions on memb ane s uc u e ................... 97
5.1.4.6. E ec s o he ageing condi ions on memb ane opog aphy ............... 98
5.1.4.7. E ec s o he ageing condi ions on memb ane hyd ophobici y ........ 100
5.1.4.8. Discussion......................................................................................... 103
 (IIHFWRIWHPSHUDWXUHRQN'D3(6PHPEUDQHDJHLQJ
 $JHLQJRI1)PHPEUDQHVXQGHUDFLGLFDQGDONDOLQHFOHDQLQJVROXWLRQV
 $EVWUDFW
 $JHLQJRIWKH1)PHPEUDQH
 $JHLQJRIWKH1)PHPEUDQH
 $JHLQJRIWKH1)PHPEUDQHLQFURVVIORZPRGH
 )LWWLQJDSSURDFKWRFKDUDFWHUL]H8)PHPEUDQHVWKURXJK//'3
 )XQFWLRQDOL]DWLRQRI8)PHPEUDQHVZLWKVWURQJSRO HOHFWURO WH
K GURJHOVIRU1)DSSOLFDWLRQVZLWKDORZIRXOLQJSURQH
 &RQFOXVLRQV
 0HPEUDQHDJHLQJ
 0HPEUDQHFKDUDFWHUL]DWLRQ
 0HPEUDQHPRGLILFDWLRQ
 &RQFOXVLRQHV
9
 5HIHUHQFHV
 $SSHQGL[
 3URJUDPIRUWKHGDWDDFTXLVLWLRQDQGSHUPHDELOLW GHWHUPLQDWLRQLQWKHGHDGHQG
ILOWUDWLRQV VWHP/DE9,(:FRGH
 /LVWRISXEOLFDWLRQV
 /LVWRIILJXUHV
 /LVWRIWDEOHV
 1RPHQFODWXUH
 6 PEROV
 *UHHNV PEROV
 $EEUHYLDWLRQV











,QWURGXFWLRQ

0HPEUDQHWHFKQRORJ 

,QFKHPLFDOLQGXVWU DQ SURFHVVUHJDUGOHVVRILWVQDWXUHDQGFRPSOH[LW FDQEHGLYLGHG
LQWR LQGLYLGXDO RSHUDWLRQV ZKLFK FDQ EH JURXSHG LQ GLIIHUHQW FDWHJRULHV DFFRUGLQJ WR WKHLU
SULQFLSOHV7KHVHJURXSVDUHNQRZQDVXQLWRSHUDWLRQVLQWKHILHOGRIFKHPLFDOHQJLQHHULQJ
0HPEUDQH WHFKQRORJ  FRYHUV D JUHDW YDULHW  RI VHSDUDWLRQ SURFHVVHV ZKLFK DUH DOO
FKDUDFWHUL]HGE WKHXVHRIDVHOHFWLYHEDUULHUWKHPHPEUDQHWRDFKLHYHWKHVHSDUDWLRQ0HPEUDQH
SURFHVVHVFDQEHFODVVLILHGDFFRUGLQJWRWKHGULYLQJIRUFHWKDWJRYHUQVWKHWUDQVSRUWSUHVVXUH
FRQFHQWUDWLRQSDUWLDOSUHVVXUHHOHFWULFDOSRWHQWLDORUWHPSHUDWXUH(DFKRIWKHPFDQEHFRQVLGHUHG
DVDVLQJOHXQLWRSHUDWLRQDQGVRDUHEDVHGRQWKHVDPHEDVLFVLQGHSHQGHQWO RIWKHQDWXUHRIWKH
LQGXVWU LQZKLFKDUHHQFRPSDVVHG
0HPEUDQHV FDQ EH FODVVLILHG DFFRUGLQJ WR GLIIHUHQW FULWHULD FKHPLFDO QDWXUH LQWHUQDO
VWUXFWXUH FRQILJXUDWLRQ DQG WUDQVSRUW PHFKDQLVP 7KHUHIRUH WKHUH DUH QDWXUDO DQG V QWKHWLF
PHPEUDQHV ZKLFK LQ WXUQ FDQ EH SRO PHULF RUJDQLF RU LQRUJDQLF )ROORZLQJ WKH VWUXFWXUDO
FULWHULRQLWLVSRVVLEOHWRGLIIHUHQWLDWHEHWZHHQSRURXVDQGGHQVHPHPEUDQHVDQGDWWKHVDPHWLPH
WKH FDQEHGHILQHGDVV PPHWULFRUDV PPHWULFXVXDOO FRPSRVLWHPHPEUDQHV'HSHQGLQJRQ
KRZPHPEUDQHVDUHDVVHPEOHPHPEUDQHVFDQEHGLYLGHGLQWRSODWHDQGIUDPHWXEXODUVSLUDORU
KROORZILEHUPRGXOHV7KHPHFKDQLVPIROORZHGE WKHVROXWHVWRSDVVWKURXJKWKHPHPEUDQHOHDGV
WRWKHODVWFODVVLILFDWLRQLQZKLFKLWLVSRVVLEOHWRLGHQWLI YLVFRXVIORZ'DUF ¶VODZPLJUDWLRQ
1HUQVW3ODQNHTXDWLRQVDQGGLIIXVLRQ)LFN¶VODZ
)RFXVLQJ WKH GLVFXVVLRQ RQ SUHVVXUH GULYHQ PHPEUDQH SURFHVVHV ILOWUDWLRQV FDQ EH
FODVVLILHGLQWRPLFURILOWUDWLRQ0)XOWUDILOWUDWLRQ8)QDQRILOWUDWLRQ1)RUUHYHUVHRVPRVLV
52RSHUDWLRQVLQDVFHQGLQJRUGHURIVROXWHUHMHFWLRQFDSDELOLW 7KHLUW SLFDORSHUDWLRQFRQGLWLRQV
DQGVHSDUDWLRQFDSDELOLWLHVDUHFROOHFWHGLQ7DEOH>@
7DEOH7 SLFDORSHUDWLRQFRQGLWLRQVDQGWDUJHWVRISUHVVXUHGULYHQPHPEUDQHSURFHVVHV
3URFHVV 3UHVVXUH
EDU
)OX[
/KP 6ROXWHVL]H 6ROXWHWDUJHW
0LFURILOWUDWLRQ   PP 3DUWLFOHVELRORJLFDOVXEVWDQFHV«
8OWUDILOWUDWLRQ   N'D 3URWHLQVFROORLGVSDUWLFXODWHPDWWHU«
1DQRILOWUDWLRQ   N'D 'LYDOHQWLRQVVROYHQWUHFRYHU «
5HYHUVH2VPRVLV   N'D 0RQRYDOHQWLRQVGLVVROYHGVROLGV«



&KDSWHU

0HPEUDQHSURFHVVDSSOLFDWLRQV

0HPEUDQH WHFKQRORJ  KDV EHHQ ZLGHO  DQG VXFFHVVIXOO  DSSOLHG LQ PDQ  LQGXVWULDO
DSSOLFDWLRQV)RULQVWDQFHFRQWHPSRUDU ZDWHUSUREOHPVVXFKDVSRWDEOHZDWHUVFDUFLW RUZDVWH
ZDWHU WUHDWPHQW FDQ EH HIIHFWLYHO  DGGUHVVHG XVLQJ WKH SURSHU VHW RI 0) 8) 1) DQG 52
SURFHVVHV>@0HPEUDQHWHFKQRORJ LVDOVRDSSOLHGLQRWKHUDUHDVVXFKDVWKHIRRGLQGXVWU -XLFH
SURFHVVLQJVWDUFKUHFRYHU EULQHFOHDQLQJLQILVKLQGXVWU DQGHVSHFLDOO SUHFRQFHQWUDWLRQRI
PLONIRUFKHHVHSURGXFWLRQDQGIUDFWLRQDWLRQRIFKHHVHZKH IRUSURWHLQFRQFHQWUDWHVLQWKHGDLU 
LQGXVWU DUHH[DPSOHVLQZKLFKILOWUDWLRQSURFHVVHVDUHDOVRDSSOLHG>@2WKHUDSSOLFDWLRQILHOGV
RISUHVVXUHGULYHQPHPEUDQHSURFHVVHVLQYROYHSKDUPDFHXWLFDODQGELRWHFKQRORJ LQGXVWULHVDV
ZHOODVELRPHGLFDODSSOLFDWLRQV
(VWDEOLVKPHQWRIPHPEUDQHWHFKQRORJ LQLQGXVWULDODSSOLFDWLRQVKDVEHHQIHDVLEOHGXHWR
WKHLUDGYDQWDJHRXVSURSHUWLHV6HSDUDWLRQDQGSXULILFDWLRQSURFHVVHVUHTXLUHWRRSWLPL]HPDVVDQG
HQHUJ FRQVXPSWLRQV,QPHPEUDQHWHFKQRORJ VHSDUDWLRQLVDFFRPSOLVKHGE FRQVXPLQJSXPS
HQHUJ ZKLFKOHDGVWRORZHQHUJ UHTXLUHPHQWVVLQFHKHDWLQJHQHUJ IRUSKDVHFKDQJHLVDYRLGHG
1RH[WUDFRPSRQHQWVDUHDGGHGDQGVRQRDGGLWLRQDOVHSDUDWLRQRSHUDWLRQVDUHQHHGHG3URSHUWLHV
RIVWUHDPVDQGSURGXFWVUHPDLQVWDEOH6FDOLQJXSLVUHODWLYHO  HDV  7KHLU KLJK RSHUDWLRQDO
IOH[LELOLW DOORZVPHHWLQJSURGXFWVSHFLILFDWLRQVHYHQGXULQJWKHWUHDWPHQWRIIHHGVZLWKKLJK
FRPSRVLWLRQYDULDELOLW 7KHZLGHUDQJHRIDYDLODEOHPHPEUDQHVPDNHVWKLVWHFKQRORJ KDYHDKLJK
VHOHFWLYLW $OOWKHVHSURSHUWLHVH[SODLQZK PHPEUDQHWHFKQRORJ KDVEHHQZLGHO LPSOHPHQWHG
DQGZK LVEHFRPLQJLQFUHDVLQJO LPSRUWDQW
+RZHYHUWKHUHDUHVWLOOOLPLWDWLRQVZKLFKZLOOKDYHWREHIDFHGLQWKHQHDUIXWXUHWRLPSURYH
DQGH[SDQGWKHXVHRIPHPEUDQHWHFKQRORJ DWLQGXVWULDOVFDOH)RULQVWDQFHLQYHVWPHQWFRVWV
DVVRFLDWHGWRPHPEUDQHPDQXIDFWXULQJDUHVWLOOTXLWHKLJKFKHPLFDO LQFRPSDWLELOLW  EHWZHHQ
PHPEUDQHVVHDOVRUJOXHVDQGIHHGVPDNHLPSRVVLEOHWKHLUXVHLQVRPHDSSOLFDWLRQVPHPEUDQH
WHPSHUDWXUH OLPLWDWLRQV PD  FDXVH WKH VDPH UHVXOW HWF $PRQJ DOO OLPLWDWLRQV IRXOLQJ LV
GHILQLWLYHO WKHPRVWUHVWULFWLYHRQHDQGLWKDVWREHFDUHIXOO VWXGLHGLQRUGHUWRGHFLGHZKHWKHU
PHPEUDQHWHFKQRORJ LVIHDVLEOHRUQRW
0HPEUDQHIRXOLQJDQGFOHDQLQJ

)RXOLQJLVDFRPPRQVKRUWFRPLQJIRUDOOPHPEUDQHSURFHVVHV,WOHDGVWRWKHZRUVHQLQJRI
PHPEUDQHSHUIRUPDQFHZLWKWLPHLQWHUPVRISHUPHDWHIOX[DQGUHWHQWLRQFDSDELOLW ZKLOHWKHRWKHU
RSHUDWLQJSDUDPHWHUVUHPDLQFRQVWDQW)RXOLQJLVJHQHUDWHGDVFRQVHTXHQFHRIWKHDGVRUSWLRQRI
IRXODQWVRQPHPEUDQHVXUIDFHPHPEUDQHSRUHEORFNLQJDQGRUFDNHIRUPDWLRQWKURXJKDOD HUE 
OD HUGHSRVLWLRQ>@8QOLNHFRQFHQWUDWLRQSRODUL]DWLRQSKHQRPHQRQIRXOLQJLVLUUHYHUVLEOHDQGVR
SK VLFDODQGFKHPLFDOFKDQJHVLQPHPEUDQHSURSHUWLHVDUHQRWVSRQWDQHRXVO UHFRYHUHGDIWHUWKH
ILOWUDWLRQ7KXVDVXEVHTXHQWFOHDQLQJVWHSKDVWREHFRQGXFWHGWRUHVWRUHPHPEUDQHSHUIRUPDQFH
,QWURGXFWLRQ

)RXOLQJ QDWXUH LV JHQHUDOO  FODVVLILHG LQWR LQRUJDQLFVFDOLQJ RUJDQLF SDUWLFXODWH RU
ELRORJLFDO >@ 3DUDPHWHUV DIIHFWLQJ IRXOLQJ UDWH LQFOXGH PHPEUDQH SURSHUWLHV PDWHULDO
PRUSKRORJLFDOVWUXFWXUHVXUIDFHSURSHUWLHV«IHHGSURSHUWLHVFRPSRVLWLRQFRQFHQWUDWLRQS+«
DQG RSHUDWLRQDO FRQGLWLRQV WUDQVPHPEUDQH SUHVVXUH 703 FURVVIORZ YHORFLW 
WHPSHUDWXUH«>@7KHHIIHFWRIIRXOLQJRQIOX[GHFOLQHZDVFRPSUHKHQVLYHO VWXGLHGOHDGLQJWR
GLIIHUHQWPRGHOVZKLFKSUHGLFWWKHW SHRIIRXOLQJFRPSOHWHSRUHEORFNLQJLQWHUQDOSRUHEORFNLQJ
SDUWLDOSRUHEORFNLQJDQGRUFDNHIRUPDWLRQ>@$WSUHVHQWDVIRXOLQJLVSUDFWLFDOO XQDYRLGDEOH
PRVWHIIRUWVDUHSXWLQWRWKHUHGXFWLRQRIWKLVSKHQRPHQRQWKURXJKGLUHFWDQGLQGLUHFWPHWKRGV
6RPHH[DPSOHVRIGLUHFWRQHVDUHSXOVHGIORZXOWUDVRXQGVURWDWLQJEODGHVDQGYLEUDWLQJV VWHPV
ZKHUHDVLQGLUHFWPHWKRGVLQFOXGHIHHGSUHWUHDWPHQWVRSWLPL]DWLRQRIRSHUDWLQJFRQGLWLRQVDQG
PHPEUDQHPRGLILFDWLRQVWRUHGXFHWKHLUIRXOLQJSURSHQVLW >@
,QUHWXUQWRIRXOLQJFOHDQLQJLVGHILQHGDVWKRVHSK VLFDODQGFKHPLFDOWUHDWPHQWVZKRVH
WDUJHWLVWREUHDNWKHFRKHVLYHDQGDGKHVLYHERQGVWKDWNHHSIRXODQWVDWWDFKHGWRPHPEUDQHSRUHV
DQGVXUIDFH>@([DPSOHVRISK VLFDOFOHDQLQJDUHIRUZDUGIOXVKLQJ))EDFNZDVKLQJ%:DQG
XOWUDVRXQGV ZKHUHDV FKHPLFDO FOHDQLQJ FDQ EH FRQGXFWHG ZLWK DONDOLV DFLGV VXUIDFWDQWV
FKHODWDQWVR[LGL]HUVHQ] PHVRUGLVLQIHFWDQWV>@2SWLPL]DWLRQRIFOHDQLQJSURWRFROVLVDFRPSOH[
SURFHVVZKLFKKDVWRDFFRXQWIRUSURFHVVVWUHDPQDWXUHPHPEUDQHFKDUDFWHULVWLFVK GURG QDPLFV
ZDWHUTXDOLW W SHRIFOHDQHUFRQFHQWUDWLRQS+WHPSHUDWXUHWLPHDQGIUHTXHQF >@

)LJ1XPEHURISXEOLFDWLRQVLQWKHSDVWWKUHHGHFDGHVUHODWHGWRPHPEUDQHIRXOLQJDQGFOHDQLQJ
LQSUHVVXUHGULYHQSURFHVVHVDFFRUGLQJWR6FRSXV-XO 6HDUFKFULWHULDFRQWDLQHGWKHZRUGV
IRXOLQJRUFOHDQLQJLQWKHWLWOHNH ZRUGVRUDEVWUDFW















       
5DWLRRIIRXOLQJUHODWHGSDSHUV
1XPEHURISDSHUV
'DWH
)RXOLQJ
&OHDQLQJ
&KDSWHU

7RGDWHPHPEUDQHIRXOLQJKDVEHHQH[KDXVWLYHO VWXGLHGZLWKWKHDLPRIXQGHUVWDQGLQJ
IRXOLQJEDVLFV7KHJUHDWGHDORIZRUNVLQWKLVDUHDFRQWUDVWVZLWKWKHUHODWLYHO ORZQXPEHURI
SXEOLFDWLRQVUHODWHGWRPHPEUDQHFOHDQLQJ)LJ$VFRQVHTXHQFHFOHDQLQJIXQGDPHQWDOVDUH
QRWVRZHOONQRZQDQGVRFOHDQLQJSURWRFROVDUHQRWVWDQGDUGL]HGDWSUHVHQWWLPH,QIDFWLQPDQ 
UHVHDUFKHVDQGHYHQLQLQGXVWULDODSSOLFDWLRQVWKHDLPRIPHPEUDQHFOHDQLQJLVQRW HWGHILQHGDV
WKH UHFRYHU  RI PHPEUDQH SURSHUWLHV EXW DV WKH UHFRYHU  RI PHPEUDQH SHUIRUPDQFH 7KLV
GHILQLWLRQ WRJHWKHU ZLWK WKH FXUUHQW WUHQG RI IROORZLQJ PDQXIDFWXUHU¶V JXLGHOLQHV OHDGV WR VHW
FOHDQLQJSURFHGXUHVWKDWDUHFRQGXFWHGXQGHUH[FHVVLYHGRVDJHVWHPSHUDWXUHVDQGH[SRVXUHWLPHV
,QWKHORQJWHUPWKHVHKDUGFRQGLWLRQVVSHHGXSWKHZRUVHQLQJRIPHPEUDQHSURSHUWLHVSURFHVV
FRPPRQO VRFDOOHGPHPEUDQHDJHLQJVKRUWHQLQJPHPEUDQHOLIHWLPH>@
0HPEUDQHDJHLQJ

0HPEUDQHDJHLQJFRPHVIURPWKHFKHPLFDODQGSK VLFDOPHPEUDQHGHJUDGDWLRQFDXVHGE 
WKHVXFFHVVLYHILOWUDWLRQIRXOLQJFOHDQLQJF FOHV0HPEUDQHOLIHWLPHJLYHQE WKHWLPHIURP
ZKLFKPHPEUDQHSURSHUWLHVFDQQRWEHUHFRYHUHGDQGVRSHUIRUPDQFHVSHFLILFDWLRQVDUHQRWPHW
GHSHQGVRQKRZIDVWDQGVHYHUGHJUDGDWLRQWDNHVSODFHGXULQJHDFKVWHS(YHQWKRXJKERWKIRXOLQJ
DQGFOHDQLQJFRQWULEXWHWRPHPEUDQHDJHLQJLWLVNQRZQWKDWFOHDQLQJVWHSFRQWULEXWLRQLVXVXDOO 
KLJKHUHVSHFLDOO ZKHQLWLVQRWRSWLPL]HG>@7KHHIIHFWRIIRXODQWVRQPHPEUDQHDJHLQJKDVEHHQ
HDVLO DVVHVVHGLQPDQ ZRUNVXVLQJGLUHFWO SURFHVVVWUHDPVEXWKRZHYHUDJHLQJGXHWRFOHDQLQJ
KDV EHHQ DOZD V VWXGLHG DV D SDUW RI IRXOLQJFOHDQLQJ VWXGLHV 7KHUHIRUH GXH WR WKH FRPSOH[
LQWHUDFWLRQVDPRQJPHPEUDQHVIRXODQWVDQGFOHDQHUVWKHFRQWULEXWLRQRIWKHODVWRQHVKDVQRWEHHQ
FOHDUO LVRODWHG
)RULQVWDQFHFRQFHUQLQJ8)PHPEUDQHVVRGLXPK SRFKORULWH1D&O2LVWKHPRVWVWXGLHG
DJHLQJFKHPLFDOEHFDXVHLWLVZLGHO XVHGDVGLVLQIHFWDQWDQGLWKDVDVWURQJR[LGDWLRQFKDUDFWHU
ZKLFKOHDGVWRSRO PHULFPHPEUDQHGHJUDGDWLRQ>@5RXDL[e al.DQG5HJXODe al.>@KDYH
UHFHQWO UHYLHZHGPHPEUDQHDJHLQJVWXGLHVSHUIRUPHGZLWKWKLVFKHPLFDO+RZHYHUDJHLQJKDV
EHHQFRQVLGHUHGOHVVH[WHQVLYHO IRUDFLGLF>@DQGDONDOLQH>@UHDJHQWV
3DXJDPe al.>@DQG'LDJQHe al.>@VWXGLHGWKHFOHDQLQJZLWKQLWULFDFLG+12
DORQHRUFRPELQHGZLWKRWKHUFOHDQHUVRISRO HWKHUVXOIRQH3(6PHPEUDQHVIRXOHGZLWKPLON
UHVXOWLQJLQZDWHUIOX[UHFRYHULHVZLWKRXWIRXOLQJUHPRYDO7KLVSKHQRPHQRQZDVDWWULEXWHGWRD
GHFUHDVHLQWKHPHPEUDQHK GURSKRELFLW FDXVHGE WKHLQWHUDFWLRQEHWZHHQ+12DQGSURWHLQV
=KX DQG 1 VWURP >@ REVHUYHG WKDW WKH ]HWD SRWHQWLDO RI FRPPHUFLDO SRO VXOIRQH
XOWUDILOWUDWLRQ PHPEUDQHV EHFDPH PRUH QHJDWLYH DIWHU D SUHWUHDWPHQW ZLWK VRGLXP K GUR[LGH
1D2+ DQG WKDW WKH SXUH ZDWHU IOX[ ZDV VOLJKWO  KLJKHU WKDQ WKDW RI WKHYLUJLQ PHPEUDQHV
)XUWKHUPRUH DIWHU D F FOH RI SUHWUHDWPHQWIRXOLQJ ZLWK ERYLQH VHUXP DOEXPLQFOHDQLQJ WKH
DWWHQXDWHGWRWDOUHIOHFWLRQ)RXULHUWUDQVIRUPLQIUDUHG$75)7,5VSHFWUDVKRZHGWKHHPHUJHQFH
,QWURGXFWLRQ

RIDQHZSHDNLQGLFDWLQJWKDW1D2+UHDFWHGZLWKWKH3(6DFWLYHOD HU$IWHUWZHQW F FOHVRI
IRXOLQJZLWKVSHQWVXOILWHOLTXRUIROORZHGE DFOHDQLQJVWHSXVLQJDPHPEUDQHPDGHRI3(6
:HLVe al. >@UHSRUWHGDQLQFUHDVHLQWKHFRQWDFWDQJOHDQGDSURJUHVVLYHGHFUHDVHLQWKH]HWD
SRWHQWLDODQGLQWKHSHUPHDWHIOX[F FOHXSRQF FOH6LPLODUGHFUHDVHLQSHUPHDELOLW DQGLQFUHDVH
LQFRQWDFWDQJOHZDVUHSRUWHGE 7LDQe al. >@ DIWHU WKH DONDOLQH FOHDQLQJ ZLWK 1D2+ RI
SRO YLQ OFKORULGH39&PHPEUDQHVIRXOHGZLWKULYHUZDWHU+RZHYHU ZKHQ PRUH
FRPSUHKHQVLYH PHPEUDQH FKDUDFWHUL]DWLRQ ZDV FDUULHG RXW WKURXJK DWRPLF DQG HOHFWURQ
PLFURVFRSLHVLWZDVIRXQGWKDWIRXODQWVZHUHH[WHQVLYHO UHPRYHGDQGWKHUHIRUHWKHUHGXFWLRQLQ
SHUPHDELOLW ZDVDWWULEXWHGWRDQLQFUHDVHLQK GURSKRELFLW 
2IWHQPHPEUDQHGHJUDGDWLRQDVFRQVHTXHQFHRIWKHDJHLQJLVGHWHUPLQHGE FRPSDULQJ
WKHSHUPHDELOLW DQGVRPHWLPHVWKHPROHFXODUZHLJKWFXWRII0:&2RIWKHPHPEUDQHEHIRUH
DQG DIWHU H[SRVXUH WR WKH FKHPLFDO UHDJHQW >@ 1HYHUWKHOHVV RWKHU PHPEUDQH VXUIDFH
FKDUDFWHUL]DWLRQ PHWKRGV KDYH DOVR EHHQ VXFFHVVIXOO  HPSOR HG WR GHWHUPLQH WKH PHPEUDQH
FRQGLWLRQEHIRUHDQGDIWHUWKHWUHDWPHQW
6RPHRIWKHVHWHFKQLTXHVDUHWKHVFDQQLQJHOHFWURQPLFURVFRS 6(0DQGWKHDWRPLFIRUFH
PLFURVFRS  $)0 ZKLFK SURYLGH LQIRUPDWLRQ RI WKH PHPEUDQH VXUIDFH PRUSKRORJ  )RU
LQVWDQFH9lLVlQHQe al.>@XVHG6(0LPDJHVWRHYDOXDWHWKHVWDWHRIVHYHUDO8)PHPEUDQHV
DIWHUEHLQJIRXOHGZLWKJURXQGZRRGPLOOFLUFXODWLRQZDWHUDQGWKHQFOHDQHGZLWK8OWUDVLO
/LEUDQRQHRU1D2+FRQFOXGLQJWKDWIRXODQWGHSRVLWVZHUHRQO SDUWLDOO UHPRYHGDIWHUWKH
FOHDQLQJ
$QRWKHUSK VLFRFKHPLFDOWHFKQLTXHZLGHO HPSOR HGLVWKHDERYHPHQWLRQHG$75)7,5
VSHFWURVFRS  ZKLFK SURYLGHV DQ LQVLJKW RI WKH FKHPLFDO IXQFWLRQDO JURXSV RI WKH PHPEUDQH
VXUIDFH)RULQVWDQFH%pJRLQe al.>@IRXQGQRFKDQJHVLQWKH$75)7,5VSHFWUDRI3(68)
PHPEUDQHVDJHGZLWK0+12DQG01D2++RZHYHUWKHLUZRUNZDVH[FOXVLYHO 
IRFXVHGRQWKHDFWLYHOD HU)XUWKHUPRUHWKLVWHFKQLTXHZDVDOVRXVHGWRFKDUDFWHUL]HFOHDQLQJ
SHUIRUPDQFH E  UHODWLQJ QRUPDOL]HG SHDNV DVVRFLDWHG WR D JLYHQ IRXODQW EHIRUH DQG DIWHU WKH
FOHDQLQJ>@1HYHUWKHOHVVLIWKHPHPEUDQHVDUHQRWUHVLVWDQWWRFOHDQHUVWKHFKDQJHVLQWKH
VSHFWUDFRXOGEHZURQJO DVVRFLDWHGWRWKHIRXODQW
$QRWKHUFKDUDFWHUL]DWLRQSDUDPHWHUZKLFKKDVDOVREHHQFRQVLGHUHGLQFOHDQLQJDQGDJHLQJ
VWXGLHVLVWKHFRQWDFWDQJOHZKRVHYDOXHFDQEHUHODWHGWRWKHK GURSKRELFLW RIWKHPHPEUDQH
>@
&RQFHUQLQJ 1) PHPEUDQHV D JUHDW HIIRUW KDV EHHQ PDGH WR XQGHUVWDQG DQG RSWLPL]H
FOHDQLQJSURFHGXUHVLQWKHODVWIHZ HDUV0RVWRIWKHVHFOHDQLQJVWXGLHVKDYHEHHQFDUULHGRXWIRU
VSHFLILFDSSOLFDWLRQVVXFKDVVXUIDFHZDWHUWUHDWPHQW>@HIIOXHQWVIURPPHPEUDQHELRUHDFWRUV
>@VWUHDPVIURPZDWHUUHF FOLQJDSSOLFDWLRQV>@SXOSDQGSDSHUZDWHU>@HWF+RZHYHUWKH
LPSDFWRIFOHDQLQJDJHQWVRQWKHLQWHJULW RIWKHPHPEUDQHKDVQRWEHHQXVXDOO FRQVLGHUHGXQWLO
&KDSWHU

UHFHQW HDUVZKHQDQLQFUHDVLQJQXPEHURIVWXGLHVIRFXVHGRQWKHHIIHFWVRIFOHDQLQJDJHQWVRQ
1)PHPEUDQHVKDYHEHHQSXEOLVKHG
1LOVVRQe al.>@VWXGLHGWKHHIIHFWRIWKHRUGHURIDFLGLFDQGDONDOLQHFOHDQLQJVRQ
VHYHUDOPHPEUDQHVLQFOXGLQJWKH1)DQG1)0HPEUDQHVZHUHVXEMHFWHGWRFRPPHUFLDO
FOHDQHUV DW  ZW  WR VLPXODWH WKH DONDOLQH DQG WKH DFLGLF FOHDQLQJV UHVSHFWLYHO  1)
PHPEUDQHGLGQRWVKRZGLIIHUHQFHVLQSHUPHDELOLW DQGUHMHFWLRQUHJDUGOHVVRIWKHDFLGLFDQG
DONDOLQHFOHDQLQJRUGHUDWDQ WHVWHGIHHGWHPSHUDWXUHV+RZHYHU1)VKRZHGDVOLJKWLQFUHDVH
LQSHUPHDELOLW DQGDGHFUHDVHLQSRWDVVLXPFKORULGH.&OUHMHFWLRQZKHQWKHODVWFOHDQLQJVWHS
ZDVWKHDONDOLQHDWDOOIHHGWHPSHUDWXUHV$O$PRXGLe al.>@VWXGLHGWKHHIIHFWVRI1D2+
K GURFKORULF DFLG +&O DQG VRPH RWKHU FOHDQLQJ DJHQWV RQ VHYHUDOYLUJLQ 1)PHPEUDQHVE 
VRDNLQJWKHPLQWKHFOHDQLQJVROXWLRQVRYHUQLJKW% PHDQVRISHUPHDELOLW ]HWDSRWHQWLDODQG
SRVLWURQDQQLKLODWLRQVSHFWURVFRSLFPHDVXUHPHQWVWKH IRXQGWKDWPRVWRIWKHFOHDQLQJDJHQWV
FDXVHGDQLQFUHDVHLQWKHSRUHVL]HRIWKHYLUJLQPHPEUDQHVDQGWKXVLQWKHSHUPHDELOLW ,Q
DGGLWLRQWKH IRXQGWKDWGHSHQGLQJRQWKHFOHDQLQJDJHQWFKDQJHVLQ]HWDSRWHQWLDOYDOXHVZHUH
PRUHRUOHVVVLJQLILFDQW6LPLODUUHVXOWVZHUHIRXQGE 6LPRQe al.>@ZKRIRXQGDQLQFUHDVHLQ
WKHSRUHVL]HRIWKH1)PHPEUDQHZKLFKOHGWRDQLQFUHDVHLQSHUPHDELOLW DQGDGHFUHDVHLQ
UHMHFWLRQZKHQLWZDVVRDNHGLQ1D2+VROXWLRQVDWS+FRQWDLQLQJHWK OHQHGLDPLQHWHWUDDFHWLF
DFLG('7$DQGVRGLXPGRGHF OVXOIDWH6'6DW&IRUK+RZHYHU1)PHPEUDQHGLG
QRW VKRZVXFK LQFUHDVHLQSRUH VL]HZKLFKZDV DWWULEXWHGWR LWVKLJKHUDFWLYH OD HUWKLFNQHVV
$QRWKHUVWXG ZDVFDUULHGRXWE WKHVDPHJURXS>@ZLWKWKH1)PHPEUDQHHPSOR LQJ
GLIIHUHQW WHPSHUDWXUHV 1) PHPEUDQH SHUPHDELOLW  LQFUHDVHG ZLWK WHPSHUDWXUH ZKLOH WKH
HIIHFWVRIUHMHFWLRQZHUHYDULDEOHGHSHQGLQJRQWKHVROXWHPDUNHU+RZHYHUWKHUHZDVQRWDQ 
FKDQJHLQWKHPHPEUDQHFKDUJHRULQLWVFRPSRVLWLRQDFFRUGLQJWRWKH$75)7,5VSHFWUDZKHQ
VXEMHFWHG WR 1D2+ S+  0DQWWDUL e al. >@ VWXGLHG WKH HIIHFW RI S+ RQ WKH ILOWUDWLRQ
HIILFLHQF  RI 1) PHPEUDQHV UHODWLQJ SHUIRUPDQFH WR FKDUJH HIIHFWV GXH WR WKH SUHVHQFH RI
FDUER[ OLFJURXSVRQWKHPHPEUDQHDFWLYHOD HU$OVR1LOVVRQe al.>@VWXGLHGWKHHIIHFWRIS+
FRPELQHGZLWKVDOWFRQFHQWUDWLRQDQGWHPSHUDWXUHRQ1)PHPEUDQHSHUIRUPDQFH
+RZHYHUDVVWDWHGSUHYLRXVO PRVWRIWKHVHVWXGLHVFRQFHUQLQJWKHDJHLQJRI8)DQG1)
PHPEUDQHVKDYHEHHQSHUIRUPHGDVDSDUWRIDZLGHUUHVHDUFKWRSLFLQYROYLQJIRXOLQJFOHDQLQJ
F FOHV7KHUHIRUHLWLVGLIILFXOWWRHVWDEOLVKWKHDFWXDOLQIOXHQFHRIWKHFOHDQLQJDJHQWVRQWKH
PHPEUDQHV
7KHVLVZRUNVFRSH

7KH PDLQ REMHFWLYH RI WKLV 7KHVLV ZRUN KDV EHHQ WKH VWXG  RI PHPEUDQH DJHLQJ GXH
H[FOXVLYHO WRFOHDQLQJDJHQWV3UHYLRXVO WRGHYHORSHYHU SRLQWRIWKHUHVHDUFKREMHFWLYHVDUH

,QWURGXFWLRQ

LQGLYLGXDOO  GHILQHG DQG D FRPSUHKHQVLYHO  UHYLHZ DERXW 8) PHPEUDQH FOHDQLQJ HDVLO 
H[WHQGDEOHWR1)PHPEUDQHVLVSUHVHQWHG
7KHDLPRIWKHILUVWH[SHULPHQWDOSDUWZKLFKLVWKHFRUHRIWKH7KHVLVZDVWRVWXG WKH
DJHLQJ RI 8) DQG 1) PHPEUDQHV XQGHU ORQJWHUP H[SRVXUHV WR DFLGLF DQG DONDOLQH FOHDQLQJ
VROXWLRQV7KLVZRUNZDVIRFXVHGRQWKHHIIHFWVRIWKHGLIIHUHQWDJHLQJFRQGLWLRQVRQPHPEUDQH
SHUIRUPDQFHLQWHUPVRISHUPHDELOLW DQGUHMHFWLRQFDSDELOLW DQGRQWKHSK VLFRFKHPLFDOFKDQJHV
RIWKHPHPEUDQHV
$VDUHVXOWRIWKHH[SHULPHQWDOZRUNFDUULHGRXWLQWKHILUVWVHFWLRQDPRGHOWRLQWHUSUHW
OLTXLGOLTXLGGLVSODFHPHQWSRURVLPHWU //'3UHVXOWVZDVGHYHORSHGEDVHGRQDWKHRUHWLFDOORJ
QRUPDOGLVWULEXWLRQIRUWKHQXPEHURISRUHVOHDGLQJWRWKHVHFRQGSDUWRIWKH7KHVLV
)LQDOO  LQ WKH VDPH FRQWH[W RI PHPEUDQH IRXOLQJ FOHDQLQJ DQG DJHLQJ UHVHDUFK DQ
DGGLWLRQDOWDUJHWZDVGHILQHGFRQFHUQLQJRQHRIWKHDERYHH[SODLQHGLQGLUHFWPHWKRGVWRUHGXFH
PHPEUDQH IRXOLQJ 3(6 8) PHPEUDQHV ZHUH FRYHUHG ZLWK KLJKO  FKDUJHG SRO HOHFWURO WH
K GURJHOV WKURXJK WKH 89SKRWR LQLWLDWHG JUDIW SRO PHUL]DWLRQ WHFKQLTXH OHDGLQJ WR 1)
PHPEUDQHVOHVVSURQHWRIRXOLQJ








2EMHFWLYHV







&OHDQLQJRI8)PHPEUDQHV$UHYLHZ

,QWURGXFWLRQ

$OWKRXJKWKHUHDUHPDQ H[DPSOHVRIPHPEUDQHVDQGPHPEUDQHVHSDUDWLRQSURFHVVHVLQ
WKH QDWXUH DQG PRVW RI WKHP DUH FULWLFDO WR WKH H[LVWHQFH RI OLIH GHYHORSPHQW RI V QWKHWLF
PHPEUDQHVDQGWKHLUDSSOLFDWLRQDWLQGXVWULDOVFDOHLVUHODWLYHO UHFHQW1RQHWKHOHVVWKDQNVWRLWV
DGYDQWDJHRXV IHDWXUHV WKLV VKRUW SHULRG RI WLPH ZDV QRW D SUREOHP LQ WKH GHYHORSPHQW RI
DSSOLFDWLRQV LQ YDULRXV LPSRUWDQW VHFWRUV DV ZDWHU GHVDOLQDWLRQ ZDVWH ZDWHU WUHDWPHQW IRRG
LQGXVWU  SURFHVVLQJ RI GDLU  PLON IUXLW MXLFHV ZLQH DQG EHYHUDJHV ELRWHFKQRORJ  DQG
SKDUPDFHXWLFDOLQGXVWULHVHWF>@
7KHHQWU RIPHPEUDQHDSSOLFDWLRQVLQWKHVHLQGXVWULDOVHFWRUVKDVEHHQSRVVLEOHGXHWRWKHLU
JUHDWSURSHUWLHVKLJKSHUIRUPDQFHVLPSOLFLW RSHUDWLRQDOIOH[LELOLW KLJKVHOHFWLYLW ORZHQHUJ 
UHTXLUHPHQWVVWDELOLW LQORQJWHUPRSHUDWLRQVHDV VL]HXSSURFHVVFRQWUROHWF7KHVHSURSHUWLHV
KDYHOHGWRWKHGHYHORSPHQWRIDZLGHYDULHW RIVSHFLILFSURFHVVHVDVPROHFXODUVHSDUDWLRQV
IUDFWLRQDWLRQFODULILFDWLRQSXULILFDWLRQHWFEXWQRWDOORIWKHPUHODWHGRQO WRVHSDUDWLRQSURFHVVHV
DVFRXOGEHHPXOVLILFDWLRQDQGFU VWDOOL]DWLRQRSHUDWLRQV
+RZHYHUPHPEUDQHSURFHVVHVDOVRSUHVHQWVRPHGUDZEDFNVZKLFKUHVWULFWWKHLUXVH)URP
DQRSHUDWLRQDOSRLQWRIYLHZFRQFHQWUDWLRQSRODUL]DWLRQDQGIRXOLQJDUHWKHPDMRUOLPLWDWLRQVWR
GHDOZLWK%RWKSKHQRPHQDOHDGWRDORZHUSHUPHDWHIOX[GXULQJWKHIHHGILOWUDWLRQ-)ZLWKUHVSHFW
WRWKHLQLWLDOIOX[ZLWKWKHSXUHVROYHQWZRUNLQJDWFRQVWDQWRSHUDWLQJFRQGLWLRQV
&RQFHQWUDWLRQSRODUL]DWLRQLVWKHUHVXOWRIDEDODQFHDPRQJWKHFRQYHFWLYHWUDQVSRUWRI
VROXWHVWRWKHPHPEUDQHFDUULHGE WKHVROYHQWIOX[VROXWHDFFXPXODWLRQDWWKHPHPEUDQHGXHWR
LWVUHMHFWLRQDQGEDFNGLIIXVLRQRIVROXWHLQWRWKHEXONSKDVHGULYHQE WKHHVWDEOLVKHGFRQFHQWUDWLRQ
JUDGLHQW>@7KLVSKHQRPHQRQLVLQHYLWDEOHEXWUHYHUVLEOH7KHUHIRUHSXUHVROYHQWSHUPHDWHIOX[
LVVSRQWDQHRXVO UHVWRUHGDWWKHHQGRIWKHILOWUDWLRQ
2QWKHRWKHUKDQGIRXOLQJLVFDXVHGE WKHVROXWHVZKLFKJHWDGVRUEHGRQPHPEUDQH
VXUIDFHEORFNHGLQWRPHPEUDQHSRUHVDQGRUIRUPHGDFDNHWKURXJKDOD HUE OD HUGHSRVLWLRQ>@
7KLVSKHQRPHQRQUHGXFHVWKHSXUHVROYHQWZDWHUIOX[DIWHUWKHILOWUDWLRQDQGHYHQWXDOO PDNHV
QHFHVVDU WRFOHDQWKHPHPEUDQHWRUHVWRUHLWVRULJLQDOSURSHUWLHV
,WKDVWREHSRLQWHGRXWWKDW8)SURFHVVHVFDQEHDOVRSHUIRUPHGNHHSLQJ-)FRQVWDQWDQG
LQWKDWFDVHFRQFHQWUDWLRQSRODUL]DWLRQDQGIRXOLQJPDNHVWKH703LQFUHDVHZLWKWLPHIURPLWV
LQLWLDOYDOXHDWWLPH]HUR703ZKLFKLVHTXLYDOHQWWRWKHYDOXHZKHQILOWHULQJWKHSXUHVROYHQW
ZLWKWKHSULVWLQHPHPEUDQH703:
)RXOLQJKDVEHHQZLGHO VWXGLHG+RZHYHUWKHJHQHUDODSSURDFKKDVQRWEHHQIRFXVHGRQ
WKHGHYHORSPHQWRIFOHDQLQJVWUDWHJLHVDVSUREHVWKHIDFWWKDWWKHUHLVFRQVLGHUDEO OHVVSDSHUV
GHGLFDWHGWRPHPEUDQHFOHDQLQJWKDQWRIRXOLQJ>@$FFRUGLQJWR/LXe al.>@WKHLQDGHTXDWH

&KDSWHU

DGGUHVVRIWKHLVVXHLVGXHWRWKHVWLOOSRRUXQGHUVWDQGLQJRIIRXOLQJEDVLFVGHVSLWHWKHKLJKUHVHDUFK
HIIRUWWKHFRPPRQHPSOR PHQWRIFOHDQLQJSURWRFROUHFRPPHQGHGE PHPEUDQHPDQXIDFWXUHUV
DQGWKHIDFWWKDWVRPHFOHDQHUVDUHSDWHQWVZKRVHH[DFWFRPSRVLWLRQLVXQNQRZQPDNLQJGLIILFXOW
WKHFRPSUHVVLRQDQGRUPRGLILFDWLRQRIWKHLUFOHDQLQJDELOLWLHV
$V SUHYLRXVO  VWDWHG 8) LV WKH PRVW HPSOR HG SUHVVXUHGULYHQ PHPEUDQH VHSDUDWLRQ
SURFHVVDWLQGXVWULDOOHYHOQRZDGD V>@,WLVXVXDOO XVHGWRUHWDLQVSHFLHVVXFKDVSDUWLFOHV
EDFWHULDYLUXVHVFROORLGDOPDWWHUPDFURPROHFXOHVDQGKHDY PHWDOFRPSOH[HVWKDWDUHSUHVHQWLQ
OLTXLGVWUHDPV>@6HSDUDWLRQPHFKDQLVPLVEDVHGRQVLHYLQJHIIHFWVDQGSDUWLFOHVDUHVHSDUDWHG
DFFRUGLQJWRWKHLUGLPHQVLRQV>@8)PHPEUDQHVKDYHQRPLQDOSRUHVL]HV136EHWZHHQDQG
QPZKLFKFRUUHVSRQGWR0:&2VIURPWRN'D>@7KHUHIRUHLQRUJDQLFVDOWVDQG
VPDOORUJDQLFPROHFXOHVIUHHO SDVVWKURXJKWKHSRUHV2FFDVLRQDOO PHPEUDQHVZLWK136IURP
WRQPDUHDOVRFRQVLGHUHG8)PHPEUDQHV>@
3UHYLRXVUHSRUWVJDWKHULQJLQIRUPDWLRQDERXWPHPEUDQHFOHDQLQJZHUHIRXQG>
@LQFOXGLQJRQHIURP5HJXODe al.>@ZKLFKVSHFLILFDOO DGGUHVVHV8)PHPEUDQHIRXOLQJ
FOHDQLQJDQGDJHLQJ1RQHWKHOHVVWKHREMHFWLYHRIWKLVVWXG ZDVWRGHYHORSDFRPSUHKHQVLYH
OLWHUDWXUHUHYLHZIRFXVHGVSHFLILFDOO RQWKHFOHDQLQJSURWRFROVWXGLHVFDUULHGRXWRYHUWKHODVW
HDUVWDFNOLQJWKHLVVXHIURPGLIIHUHQWSHUVSHFWLYHV
7KLVFKDSWHUJDWKHUDOOSK VLFDODQGFKHPLFDOFOHDQLQJSURFHGXUHVGHVFULEHGLQWKHOLWHUDWXUH
IRUSRO PHULF8)PHPEUDQHV
)LUVWO DOOWKHLQIRUPDWLRQUHODWHGWRW SLFDOIRXODQWVDQGFOHDQHUVDUHJDWKHUHGDVZHOODV
WKHPDLQSDUDPHWHUVGHILQHGLQWKHOLWHUDWXUHWRHYDOXDWHFOHDQLQJHIIHFWLYHQHVVLQDQDWWHPSWWR
XQLI  WKHLU QRPHQFODWXUH 6HOHFWLRQ RI WKH PRVW VXLWDEOH FOHDQLQJ SURFHGXUH DV ZHOO DV LWV
HIIHFWLYHQHVVGHSHQGRQPDQ IDFWRUVVXFKDVIRXODQWDQGIRXOLQJFRQGLWLRQVPHPEUDQHPDWHULDO
FOHDQHUFRQFHQWUDWLRQDQGRUS+FOHDQLQJWLPHDQGWHPSHUDWXUHDQGWKHLQWHUDFWLRQVDPRQJWKHP
$OORIWKHPDUHFDUHIXOO DQDO ]HGWKURXJKRXWWKLVFRPSUHKHQVLYHUHYLHZLQRUGHUWRJLYHJXLGHOLQHV
WR DSSURDFK FOHDQLQJ SURFHGXUHV VXFFHVVIXOO  6KRUWFRPLQJV DQG GLIILFXOWLHV LQ WKH VWXG  RI
FOHDQLQJSURWRFROVDUHDOVRSRLQWHGRXW)LQDOO VLQFHIRXOLQJQDWXUHLVWKHPDMRUIDFWRUWRWDNHLQWR
DFFRXQW ZKHQ GHFLGLQJ WKH FOHDQLQJ VWUDWHJ  WKH PDLQ DQG PRVW HIIHFWLYH FOHDQLQJ SURWRFROV
DSSOLHGWR8)PHPEUDQHVDVIXQFWLRQRIIRXODQWVDUHSUHVHQWHGLQDV VWHPDWLFVWXG 
&OHDQLQJV VWHPV

0HPEUDQHVDQGPRGXOHV
5HVHDUFKHVRQPHPEUDQHSURFHVVHVDUHJHQHUDOO FDUULHGRXWXVLQJIODWWXEXODUVSLUDO
KROORZILEHUVPHPEUDQHV)LOWUDWLRQVDUHRSHUDWHGLQ HLWKHUFURVVIORZ&)RUGHDGHQG'(
PRGH0DLQ8)PHPEUDQHPDWHULDOVDUHSRO VXOIRQH36XDQG3(6FRPELQHGRFFDVLRQDOO ZLWK
&OHDQLQJRI8)PHPEUDQHV$UHYLHZ

SRO YLQ OS UUROLGRQH 393 RU GLFKORURGLSKHQ O VXOIRQHSKHQROSKWKDOHLQ '&3 2WKHU W SLFDO
PDWHULDOV DUH UHJHQHUDWHG FHOOXORVH 5& FHOOXORVH DFHWDWH &$FHOOXORVHHVWHU&(
IOXRURSRO PHU)3SRO DPLGH3$SRO DFU ORQLWULOH3$1SRO YLQ OLGHQHIOXRULGH39')
39&DQGFHOOXORVHGHULYDWLYHV
)RXOLQJDQGIRXODQWV
7DEOH VXPPDUL]HVDSSOLHGFOHDQLQJSURFHGXUHVFOHDQLQJHYDOXDWLRQWHFKQLTXHVDQG
PHPEUDQHPDWHULDOVDVIXQFWLRQRIWKHILOWHUHGVWUHDPZKLFKFDXVHGWKHIRXOLQJ,QLWVFRQVWUXFWLRQ
SDSHUV>@ZHUHIRXQGWREHUHODWHGWRSRO PHULF8)
PHPEUDQHFOHDQLQJRUZLWKLQWHUHVWLQJUHPDUNVRQWKHPDWWHU
7DEOH  6XPPDU  RI DOO WKH SXEOLFDWLRQV IRFXVHG RQ WKH FOHDQLQJ RI SRO PHULF
8)PHPEUDQHVDVIXQFWLRQRIWKHIHHGVWUHDP
)LOWHUHGVWUHDP &OHDQLQJWUHDWPHQW (YDOXDWLRQ 0HPEUDQH
PDWHULDO 5HIHUHQFH
6XUIDFH ZDWHU ZLWK
120RUVROXWLRQVZLWK
PRGHOFRPSRQHQWV
))%:DLUDVVLVWHG%:DQG
XOWUDVRXQGVZLWK))DQG%:
$ONDOLQH DFLGLF VXUIDFWDQW
FKHODWLQJ R[LGL]HU DQG
HQ] PDWLF DJHQWV WRJHWKHU
ZLWKIRUPXODWHGFOHDQHUV
-PHDVXUHPHQWV
703PHDVXUHPHQWV
63
&RQWDFWDQJOHV
)7,5
6(0
$)0
7XUELGLW 
5HMHFWLRQ
S+
)OXRUHVFHQW
VSHFWURVFRS 
36X
3(6
3(6393
&$
39&
>@
6HDZDWHU %:DQGDLUDVVLVWHG%: -PHDVXUHPHQWV
703PHDVXUHPHQWV
36X
3$1
39')
>@
:DWHUZLWKFROORLGV ))%:DQGDLUDVVLVWHG%: 703PHDVXUHPHQWV
7XUELGLW 
6XVSHQGHGPDWWHU
36X
3(6
&(
&HOOXORVLF
>@
6XUIDFH ZDWHU ZLWK
KLJK PLFURELRORJLFDO
FRQWHQW RU VROXWLRQV
ZLWK PRGHO
FRPSRQHQWVRI(36
))DQG%:
$ONDOLQH DFLGLF FKHODWLQJ
R[LGL]HU DQG GLVLQIHFWDQW
DJHQWV WRJHWKHU ZLWK
IRUPXODWHGFOHDQHUV
-PHDVXUHPHQWV
5HMHFWLRQ
)7,5
6(0
(';
$)0
&$
36X
3$1
39&
39')
>@
&KDSWHU

)LOWHUHGVWUHDP &OHDQLQJWUHDWPHQW (YDOXDWLRQ 0HPEUDQH
PDWHULDO 5HIHUHQFH
(IIOXHQWVRIZDVWHZDWHU
WUHDWPHQWSODQWV
))%:
$ONDOLQH DFLGLF R[LGL]HU DQG
HQ] PDWLF DJHQWV WRJHWKHU
ZLWKIRUPXODWHGFOHDQHUV
-PHDVXUHPHQWV
703PHDVXUHPHQWV
6(0
3(6
&$
>@
0LONDQGVNLPPLON 8OWUDVRXQGV))
$ONDOLQH DFLGLF VXUIDFWDQW
FKHODWLQJ R[LGL]HU DQG
HQ] PDWLF DJHQWV WRJHWKHU
ZLWKIRUPXODWHGFOHDQHUV
-PHDVXUHPHQWV
63
&RQWDFWDQJOHV
)7,5
6(0
(';
$)0
36X
3(6
&$
>
@
:KH  8OWUDVRXQGV
$ONDOLQH DFLGLF VXUIDFWDQW
HQ] PDWLF DQG GLVLQIHFWDQW
DJHQWV WRJHWKHU ZLWK
IRUPXODWHGFOHDQHUV
-PHDVXUHPHQWV
6(0
0$/',06
/RZU PHWKRG
(OHFWURSKRUHVLV
0LFURELRORJLFDOWHVWV
36X
3(6
>@
:KH SURWHLQ $ONDOLQH DFLGLF VXUIDFWDQW
HQ] PDWLF DJHQWV WRJHWKHU
ZLWKIRUPXODWHGFOHDQHUV
-PHDVXUHPHQWV
/RZU PHWKRG
(OHFWURSKRUHVLV
36X
3(6
5&
3$
>@
%6$ DORQH RU PL[HG
ZLWKEHWDODFWRJOREXOLQ
E/*
8OWUDVRXQGV
$ONDOLQH DFLGLF VXUIDFWDQW
FKHODWLQJ R[LGL]HU DQG
HQ] PDWLF DJHQWV WRJHWKHU
ZLWKIRUPXODWHGFOHDQHUV
-PHDVXUHPHQWV
63DQG=3
&RQWDFWDQJOHV
)7,5
6(0
0$/',06
/RZU PHWKRG
PRGLILHG
(OHFWURSKRUHVLV
0HPEUDQHVWDLQLQJ
)OXRUHVFHQW
PLFURVFRS 
36X
3(6
39')
36X39')
>

@
3URWHLQDFHXVIHHG $ONDOLQH DFLGLF R[LGL]HU DQG
IRUPXODWHGDJHQWV
-PHDVXUHPHQWV
6(0
36X >@
$EDWWRLUHIIOXHQWV 6XUIDFWDQW DQG HQ] PDWLF
DJHQWV
-PHDVXUHPHQWV
&RQWDFWDQJOH
3URWHLQFRQWHQW
/LSLGFRQWHQW
36X >@
3HSWRQH 8OWUDVRXQGV -PHDVXUHPHQWV 36X
3$1
>@
&OHDQLQJRI8)PHPEUDQHV$UHYLHZ

)LOWHUHGVWUHDP &OHDQLQJWUHDWPHQW (YDOXDWLRQ 0HPEUDQH
PDWHULDO 5HIHUHQFH
3DSHU PLOO UHODWHG
ZDVWHZDWHU
%:XOWUDVRXQGV
$ONDOLQHDFLGLFVXUIDFWDQWDQG
HQ] PDWLF DJHQWV WRJHWKHU
ZLWKIRUPXODWHGFOHDQHUV
-PHDVXUHPHQWV
703PHDVXUHPHQWV
5HMHFWLRQ
=3
&RQWDFWDQJOHV
)7,5
6(0
(';
$)0
8OWUDVRXQGV
36X
3(6
5&
&$
)3
>
@
%ODFN WHD RU PRGHO
FRPSRQHQWV
$ONDOLQHDJHQW -PHDVXUHPHQWV
=3
&RQWDFWDQJOHV
)7,5
6(0
36X
5&
)3
>@
:DVWHZDWHU IURP
EDQNQRWH SULQWLQJ
ZRUNV
$ONDOLQHDFLGLFDQG FKHODWLQJ
DJHQWV WRJHWKHU ZLWK
IRUPXODWHGFOHDQHU
-PHDVXUHPHQWV
6(0(';
36X'&3 >@
(PXOVLRQV RI RLO LQ
ZDWHURUUHODWHG
8OWUDVRXQGV
$ONDOLQH DFLGLF VXUIDFWDQW
FKHODWLQJDQGR[LGL]HU DJHQWV
WRJHWKHU ZLWK IRUPXODWHG
FOHDQHUV
-PHDVXUHPHQWV
;36
6(0
(';
36X
3$1
39')
>@
)HUPHQWDWLRQEURWKV ))%:XOWUDVRXQGV
$ONDOLQHDFLGLFVXUIDFWDQWDQG
R[LGL]HU DJHQWV WRJHWKHU ZLWK
IRUPXODWHGFOHDQHUV
-PHDVXUHPHQWV
6(0
(';
)OXRUHVFHQFH
VSHFWURVFRS 
36X
3(6
39')
>@
2WKHUV ))%:XOWUDVRXQGV
$ONDOLQH DFLGLF VXUIDFWDQW
FKHODWLQJ R[LGL]HU DQG
HQ] PDWLF DJHQWV WRJHWKHU
ZLWKIRUPXODWHGFOHDQHUV
-PHDVXUHPHQWV
)7,5
6(0
36X
3(6
3$
39')
>@
0RVW VWXGLHG DUHDV DUH WKRVH FRQFHUQLQJ VXUIDFH ZDWHU PLON ZKH  DQG ERYLQH VHUXP
DOEXPLQ%6$7KHUHIRUHPDLQIRXODQWVLQYROYHGLQ8)SURFHVVHVDUHQDWXUDORUJDQLFPDWWHU
120DQGSURWHLQV
120LVDFRPSOH[PL[WXUHRIPDFURPROHFXODUFRPSRQHQWVVXFKDVSRO VDFFKDULGHVDQG
KXPLFVXEVWDQFHV>@QHXWUDORUQHJDWLYHO FKDUJHGDWWKHS+RIWKHULYHUDQGFDQDOZDWHUV>@
,WLVNQRZQWKDWKHDY PHWDOVDQGSHVWLFLGHVPDNHLWPRUHVWDEOHDQGGHQVHU>@DQGWKDWWKH
SUHVHQFHRI&DIDFLOLWDWHLWVDGVRUSWLRQRQSRO PHULF8)PHPEUDQHV>@5HVHDUFKHUVGRQRW
&KDSWHU

DJUHHDERXWWKHUROHRIWKHK GURSKRELFDQGK GURSKLOLFIUDFWLRQVLQWKLVDGVRUSWLRQ1RQHWKHOHVV
LWLVOLNHO GXHWRWKHGLIIHUHQFHVLQFRPSRVLWLRQRI120IURPGLIIHUHQWVRXUFHVDQGKHQFHWKH
GLIIHUHQWLQWHUDFWLRQVZLWKPHPEUDQHV>@120LVXVXDOO DFFRPSDQLHGE PLFURRUJDQLVPVDQG
FROORLGDOSDUWLFOHVLQVXUIDFHZDWHU)LUVWRQHVDUHDEOHWRIRUPELRILOPVRUUHOHDVLQJH[WUDFHOOXODU
SRO PHULF VXEVWDQFHV (36 ZKLFK PRGLI  WKH PHPEUDQH SHUIRUPDQFH 7KH VHFRQG RQHV DUH
DFFXPXODWHGRQWKHSRO PHULFVXUIDFHDQGFDQJHWLQVLGH>@
3URWHLQVDUHYHU GLIILFXOWWRUHPRYHEHFDXVHRIWKHLUODELOHDQGG QDPLFQDWXUHZKLFK
GHSHQGHQGVRQWKHS+WHPSHUDWXUHDQGLQWHUDFWLRQVZLWKRWKHUDJHQWV>@$FFRUGLQJWR'¶6RX]D
DQG0DZVRQ>@WKHNH SKHQRPHQDLQ8)PHPEUDQHIRXOLQJE GDLU VROXWLRQVLVOLQNHGWR
SURWHLQDGVRUSWLRQSURWHLQGHSRVLWLRQOD HUE OD HUDQGGHSRVLWLRQRIIDWVDQGPLQHUDOV/DFWRVH
DQGOLSLGVDUHJHQHUDOO FRQVLGHUHGWRKDYHDOHVVHULPSRUWDQFHLQPHPEUDQHIRXOLQJDQGWKH DUH
PRUHSURQHWRIRXOPHPEUDQHVXUIDFHWKDQWKHSRUHV0RUHRYHUIRXOLQJDVVRFLDWHGWRPLQHUDOV
WDNHVSODFHLQDKLJKHUGHJUHHZKHQILOWHULQJZKH WKDQPLONGXHWRWKHVWDELOL]LQJLQIOXHQFHRIWKH
FDVHLQPLFHOOHV>@,QWKLVUHJDUG5DELOOHU%DXGU e al.>@IRXQGWKDWDIWHUILOWHULQJGLOXWHG
VNLPPLONSURWHLQVPLQHUDOVVDOWVDQGODFWRVHZHUHDGVRUEHGRQWKHLU3(6PHPEUDQHEXWDIWHU
DZDWHUULQVLQJRQO SURWHLQVUHPDLQHG
&OHDQLQJDQGFOHDQHUV
&OHDQLQJFDQEHSK VLFDORUFKHPLFDO>@3K VLFDOPHWKRGVHPSOR PHFKDQLFDOIRUFHVWR
GLVORGJHDQGUHPRYHIRXODQWVIURPWKHPHPEUDQHVXUIDFHVXFKDV))%:XOWUDVRXQGVDQG%:
FRPELQHGZLWKDLURUXOWUDVRXQGV7KH DUHRIWHQDGRSWHGLQ8)IRUGULQNLQJZDWHUWUHDWPHQWV7KH
EDVLFVRIWKHVHSK VLFDOWHFKQLTXHVDUHGHVFULEHGEHORZ
x)),WLVSHUIRUPHGE SDVVLQJZDVKZDWHURUSHUPHDWHDVIHHGLQVWHDGRIWKHUHDOIHHG
VWUHDPLQ&)ILOWUDWLRQPRGHEXWXVXDOO ZLWKDKLJKHUIORZDQGZLWKRXWSHUPHDWLRQ7KLV
RSHUDWLRQDOORZVUHPRYLQJORRVHO ERXQGHGIRXODQWVIURPWKHPHPEUDQHVXUIDFH
x%:,WFRQVLVWVLQSDVVLQJZDVKZDWHUXVXDOO WKHSHUPHDWHLWVHOIIRUDIHZVHFRQGVIURP
WKHSHUPHDWHVLGHWRWKHIHHGVLGHDWJLYHQWLPHLQWHUYDOVZLWKWKHDLPRIUHPRYLQJWKH
IRXODQWVSUHVHQWRQPHPEUDQHVXUIDFHDQGLQVLGHWKHSRUHV7ZRLPSRUWDQWPRGLILFDWLRQV
RIWKLVWHFKQLTXHDUHWKHDLUDVVLVWHG%:WKDWXVHVDLULQWKHIHHGVLGHIRULQFUHDVLQJWKH
VKHDUVWUHVVDWWKHPHPEUDQHVXUIDFH>@DQGWKHUHYHUVHSUHVVXUH%:
FRQVLVWLQJLQFRQVHFXWLYH))DQGYHU VKRUWUHYHUVHSUHVVXUHSXOVDWLRQVVSLNHVRIXSWR
N3DZKLFKOHYHORIIDIWHUDIHZVHFRQGVWRN3DUHVSRQVLEOHRIUHYHUVLQJSHUPHDWH
GLUHFWLRQWKURXJKWKHPHPEUDQHZDOO>@,QWKLVLQWURGXFWLRQLWKDVQRWEHHQFRQVLGHUHG
WKHSURFHVVNQRZQDV³EDFNSXOVLQJ´>@EHFDXVHGHVSLWHLWVVLPLODULWLHVZLWK%:LW
LVPRUHDIRXOLQJSUHYHQWLRQPHWKRGLQZKLFKIORZUHYHUVDORFFXUVIRUIUDFWLRQVRIVHFRQG
HYHU IHZVHFRQGVUDWKHUWKDQDFOHDQLQJSURFHGXUH

&OHDQLQJRI8)PHPEUDQHV$UHYLHZ

x8OWUDVRXQGV:KHQXOWUDVRXQGVDUHLUUDGLDWHGWRWKHPHPEUDQHWKURXJKDOLTXLGPHGLXP
DFRXVWLF VWUHDPLQJ VWHDG  FXUUHQW FDXVHG E  WKH DEVRUSWLRQ RI WKH ZDYHV FDYLWDWLRQ
IRUPDWLRQ JURZWK DQG VXGGHQ FROODSVH RI PLFUR EXEEOHV DQG WXUEXOHQFH WDNH SODFH
,IWKHVHSKHQRPHQDRYHUFRPHWKHLQWHUDFWLRQVEHWZHHQWKHIRXODQWDQGWKHPHPEUDQHWKH
IRXODQWZLOOEHUHPRYHGIURPWKHSRO PHULFVXUIDFH>@8OWUDVRXQGVFDQEH
FRPELQHGZLWK))DQG%:>@RUZLWKFKHPLFDOFOHDQHUV>
@
2Q WKH RWKHU KDQG FKHPLFDO FOHDQLQJ IXQGDPHQWDOO  LQYROYHV KHWHURJHQHRXV UHDFWLRQV
EHWZHHQWKHIRXODQWOD HUDQGWKHFOHDQHU&OHDQHUVDUHFODVVLILHGDFFRUGLQJWRWKHLUQDWXUHLQWR
DONDOLQH DFLGLF VXUIDFWDQW FKHODWLQJ R[LGDQW HQ] PDWLF RU GLVLQIHFWDQW %HVLGHV WKH QRQ
IRUPXODWHG FOHDQLQJ VROXWLRQV WKHUH DUH DOVR ³FRPPHUFLDO IRUPXODWHG FOHDQHUV´ FRQWDLQLQJ D
PL[WXUHRIVHYHUDORIWKHVHUHDJHQWVHJ38OWUDVLODONDOLVXUIDFWDQWFKHODWDQW8OWUDVLO
DFLG FRPSRVLWLRQ 3 8OWUDVLO  HQ] PDWLF PL[WXUH 7HUJ$] PH 7$= FRQVWLWXWHG E 
HQ] PHVDQGVXUIDFWDQWVRUR[RQLDDFWLYHR[LGDQWDFLGV7KHPDLQFKHPLFDODJHQWVDUHOLVWHG
EHORZ
x$ONDOLQH RU FDXVWLF UHDJHQWV 1D2+ DQG SRWDVVLXP K GUR[LGH .2+ SURPRWH WKH
K GURO VLVRISURWHLQVDQGSRO VDFFKDULGHVWKHVDSRQLILFDWLRQRIIDWVDQGOLSLGVDQGWKH
SHSWL]DWLRQRIFROORLGDOSDUWLFOHV>@$ONDOLQHFOHDQHUVLQFUHDVHWKHS+DQGVRWKHQHJDWLYH
FKDUJHRISURWHLQGHSRVLWVZKLFKGLVUXSWVIRXODQWSDFNDJLQJ>@7KH DOVRGLVVROYHZHDNO 
DFLGLFRUJDQLFPDWWHUDQGH[SDQGV120PROHFXOHVPDNLQJWKHPDVVWUDQVIHUSURFHVVHV
HDVLHU>@
x$FLGLF UHDJHQWV 0LQHUDO DFLGV VXFK DV +&O +12 DQG VXOIXULF DFLG +62 DUH
FRPPRQO XVHGIRUGLVVROYLQJLQRUJDQLFVDOWVRUR[LGHILOPV3KRVSKRULFDFLG+32
R[DOLFDFLGDQGFLWULFDFLGDUHOHVVDJJUHVVLYHEXWDOVRKDYHJRRGFKHODWLQJDELOLWLHV>@
$FLGLFFOHDQHUVDUHVRPHWLPHVHPSOR HGDIWHUWKHDONDOLQHFOHDQLQJWRGLVVROYHIRUPHG
SUHFLSLWDWHV>@DQGLWLVUHSRUWHGWKDWWKH DUHDEOHWRK GURO ]HVRPHRUJDQLFPROHFXOHV
VXFKDVSRO VDFFKDULGHVDQGSURWHLQV>@
x6XUIDFWDQWV RU ZHWWLQJ DJHQWV 7KH  GHFUHDVH VXUIDFH WHQVLRQ SURPRWLQJ WKH FRQWDFW
EHWZHHQWKHFOHDQLQJVROXWLRQDQGWKHIRXODQWOD HUVWDELOL]HIRDPVDGVRUERQIRXODQWV
DQG WUDQVSRUWHG WKHP DZD  IURP WKH VXUIDFHV IRUP PLFHOOHV RU HPXOVLI  IDW RLO DQG
SURWHLQVLQZDWHU>@7KH FDQEHFODVVLILHGLQWRDQLRQLFFDWLRQLFQRQLRQLF
DQGDPSKRWHULFDFFRUGLQJWRZKHWKHUWKH DUHLRQL]HGLQVROXWLRQRUQRWDQGWKHFKDUJHWKDW
WKH KDYHZKHQLWKDSSHQV>@)RULQVWDQFH7ZHHQ7ULWRQ;DQG7ULWRQ;DUH
QRQLRQLFGRGHF OWULPHWK ODPPRQLXPEURPLGH'7$%WHWUDGHF OWULPHWK ODPPRQLXP
EURPLGH77$%DQGFHW OWULPHWK ODPPRQLXPEURPLGH&7$%DUHFDWLRQLFDQG6'6
&KDSWHU

DOVRFDOOHGVRGLXPODXU OVXOSKDWH6/6DQGVXUIDFWLQDELRVXUIDFWDQWDUHDQLRQLF>
@7KHUHFRPPHQGHGRQHVDUHXVXDOO WKHDQLRQLFRUQRQLRQLFRQHV
x&KHODWDQWVRUVHTXHVWUDQWV7KH IRUPVROXEOHFRPSOH[HVZLWKFDWLRQVVXFKDV&D0J
DQGKHDY PHWDOVUHPRYLQJWKHPIURPIRXODQWGHSRVLWV>@7KHEHVWNQRZQFKHODWDQWV
DUHSRO SKRVSKDWHVDQGWKH('7$)RUWKHODWWHULWLVUHSRUWHGWKDWLWVHIILFLHQF LQFUHDVHV
ZLWKWKHS+>@EHFDXVHLQDFLGLFVROXWLRQVRQO WZRRIWKHIRXUFDUER[ OLFJURXSVDUH
GHSURWRQDWHG ZKLOH DW S+  DOPRVW DOO WKH FDUER[ OLF JURXSV DUH GHSURWRQDWHG DQG
DYDLODEOHIRUFRPSOH[DWLRQZLWKFDWLRQV
x2[LGL]HUUHDJHQWV7KHR[LGDWLRQRIRUJDQLFSRO PHUVJHQHUDWHVPRUHR[ JHQFRQWDLQLQJ
IXQFWLRQDOJURXSVZKLFKUHGXFHWKHDGKHVLRQRIWKHIRXOLQJPDWHULDOWRWKHPHPEUDQH>@
1D&O2EDVLFLVWKHPRVWZLGHO HPSOR HGIROORZHGE K GURJHQSHUR[LGH+2DFLG
EHLQJWKHR[LGDWLRQPHFKDQLVPGLIIHUHQWIRUERWKRIWKHP>@
x(Q] PHV3URWHDVHVOLSDVHVFHOOXODVHVDQGDP ODVHVVSOLWVSHFLILFERQGVLQSURWHLQVOLSLGV
FHOOXORVHDQGVWDUFKUHVSHFWLYHO EUHDNLQJWKHIRXODQWVLQWRVPDOOHUVSHFLHVZKLFKDUHPRUH
HDVLO UHPRYHG(Q] PHVDUHELRGHJUDGDEOHDQGRSHUDWHLQPLOGFRQGLWLRQVEXWRQWKHRWKHU
KDQGWKH ZRUNLQUHODWLYHQDUURZUDQJHVRIWHPSHUDWXUHDQGS+DUHH[SHQVLYHDFWVORZO 
DQGUHVLGXDOHQ] PHDFWLYLW FDQDIIHFWWKHLQGXVWULDOSURFHVV>@
x'LVLQIHFWDQWVDQGVDQLWL]HUV7KH DUHHPSOR HGDWWKHHQGRIWKHFOHDQLQJF FOHDQGDUH
LQWHQGHGWRGHVWUR WKHGHOHWHULRXVPLFURRUJDQLVPVRQWKHPHPEUDQHVXUIDFHRULQWRLWV
SRUHV1D&O2DQG+2VXSSRVHGO FOHDQDQGVDQLWL]HEXWWKH FRXOGEHQRWHIIHFWLYH,Q
WKDWFDVHRWKHUVXEVWDQFHVKDYHWREHHPSOR HGLHVRGLXPGLFKORULVRF DQXUDWHFKORULQH
GLR[LGH&O2 >@ VRGLXP PHWDELVXOILWH > @ IRUPDOGHK GH>@ SHUR[ DFHWLF
DFLGHOHFWURO ]HGZDWHURUR]RQDWHGZDWHU>@
(YDOXDWLRQRIFOHDQLQJHIIHFWLYHQHVV
&OHDQLQJHYDOXDWLRQWHFKQLTXHVDUHDVLPSRUWDQWDVFOHDQLQJSURFHGXUHVWKHPVHOYHVVLQFH
WKH DOORZVWXG LQJWKHHIIHFWLYHQHVVRIWKHWUHDWPHQWDQGGHWHUPLQLQJWKHRSWLPXPFRQGLWLRQV$OO
WKHFRPPRQ PHWKRGVXVHGWRGHWHUPLQH FOHDQLQJJRRGQHVVDUHEDVHGRQHLWKHUSHUPHDWHIOX[
PHDVXUHPHQWVRUPHPEUDQHVXUIDFHFKDUDFWHUL]DWLRQ%RWKW SHVDUHFDUHIXOO GHWDLOHGLQWKHWZR
IROORZLQJVHFWLRQV
3.2.4.1. Techniques based on pe mea e lux measu emen s
0HDVXUHPHQWVRISHUPHDWHIOX[-RU703DOORZWRREWDLQVHYHUDOFOHDQLQJHYDOXDWLRQ
SDUDPHWHUV$OORIWKHPDUHEDVHGRQWKHFRPSDULVRQRIPHPEUDQHSURSHUWLHVLQLWVSULVWLQHIRXOHG
DQGFOHDQHGVWDWH
&OHDQLQJRI8)PHPEUDQHV$UHYLHZ

$VDIRUHPHQWLRQHGILOWUDWLRQH[SHULPHQWVFDQEHSHUIRUPHGDWHLWKHUFRQVWDQW703RUDW
FRQVWDQW-)OHDGLQJWRGLIIHUHQWSDUDPHWHUVWRHYDOXDWHFOHDQLQJHIIHFWLYHQHVV7KHILUVWNLQGRI
SURFHGXUHVDUHPRUHFRPPRQDWODEVFDOHLQMXVWRQHIRXOLQJFOHDQLQJF FOHZKHUHDVWKHVHFRQG
RQHVDUHXVXDOO VWXGLHGDWSLORWSODQWVFDOHRSHUDWLQJLQPXOWLSOHF FOHV,QDGGLWLRQWKHUHDUHOHVV
SXEOLVKHGSDSHUVFRQFHUQLQJVHYHUDOF FOHVRIIRXOLQJFKHPLFDOFOHDQLQJWKDQWKRVHGHDOLQJZLWK
IRXOLQJSK VLFDOFOHDQLQJ
)LJVKRZVDFRQYHQWLRQDOIRXOLQJFKHPLFDOFOHDQLQJF FOHDWFRQVWDQW703,QDILUVW
SODFHWKHSXUHZDWHUIOX[RIWKHSULVWLQHPHPEUDQH-:LVGHWHUPLQHGE ILOWUDWLQJGHLRQL]HG
GLVWLOOHGRUXOWUDSXUHZDWHU7KHQWKHZRUNLQJVROXWLRQLVILOWHUHGDQGWKH-)GHFUHDVHVZLWKWLPH
XQWLOUHDFKLQJWKHVWHDG VWDWHYDOXH>@2QFHWKHILOWUDWLRQLVVWRSSHGWKHPHPEUDQHLVULQVHG
ZLWKZDWHUWRUHPRYHWKHFRQFHQWUDWLRQSRODUL]DWLRQOD HUDQGWKHORRVHO ERXQGIRXODQWVREWDLQLQJ
DIOX[GHQRWHGE -:)7KHQWKHFKHPLFDOFOHDQLQJUHDJHQWDFWVIRUDGHWHUPLQHGSHULRGDQGDQHZ
ULQVLQJ ZLWK ZDWHU LV FDUULHG RXW IRU PHDVXULQJ WKH ZDWHU IOX[ DIWHU FOHDQLQJ -:& &KHPLFDO
FOHDQLQJLVQRWDOZD VLPSOHPHQWHGXQGHUSUHVVXUHEXWZKHQLWLVDSSOLHGWKHSHUPHDWHLQWKLV
VWDJH-&FDQLQFUHDVHXQWLODSODWHDXLVUHDFKHGRUJRWKURXJKDPD[LPXP

)LJ7 SLFDO8)IRXOLQJFKHPLFDOFOHDQLQJF FOHDWFRQVWDQW703
,QWKHFDVHRIDSSO LQJSK VLFDOFOHDQLQJLQVWHDGRIFKHPLFDOUHDJHQWV-:)-&DQG-:&FDQ
PHUJHWRJHWKHULQWRDXQLTXHSHUPHDWHIOX[ZKHQGHDOLQJZLWKXOWUDVRXQGVRUZLWK))DQG%:QRW
SUHFHGHGE ZDWHUULQVLQJ7KHUHIRUHWKLVXQLTXHSHUPHDWHIOX[YDOXHREWDLQHGDIWHUWKHSK VLFDO
FOHDQLQJLVFRPSDUHGWR-:>@
7KHPDLQSDUDPHWHUVWKDWFDQEHGHWHUPLQHGIURPWKHVHIOX[HVIROORZLQJWKHWHUPLQRORJ 
RI$VWXGLOORe al.>@DVPXFKDVSRVVLEOHDUH
xWa e lux eco e yZKLFKLVE IDUWKHPRVWZLGHO HPSOR HG>

     @ LV GHILQHG DFFRUGLQJ WR (T  1HYHUWKHOHVV
)OX[
7LPH
-
:
-
)
-
:)
-
&
-
:&
&KDSWHU

VRPHWLPHVWKHUDWLRLVQRWFDOFXODWHGDQGERWK-:&DQG-:DUHVKRZQYLVXDOO >
@
Wa e lux eco e y =
:
:&
-
-
xWa e lux decline>@
Wa e lux decline  ¸
¸
¹
·
¨
¨
©
§

:
:&
-
-

xWa e lux eco e y a io>@
Wa e lux eco e y a io 
:):
:):&
--
--


xWa e lux imp o emen >@
Wa e lux imp o emen  
:)
:):&
-
-- 
x,QVRPHUHVHDUFKHVZKHQ-:LVQRWDYDLODEOHRUQRWPHDVXUHGWKHQWKHUDWLREHWZHHQ-:&
DQG-:)LVWKHFOHDQLQJFULWHULRQ>@RUVLPSO WKHKLJKHVWYDOXHRI-:&>
@
x:KHQVHYHUDOF FOHVRIIRXOLQJFOHDQLQJDUHFRQGXFWHGFRPSDULQJWKHWLPHHYROXWLRQRI-)
IURPRQHF FOHWRDQRWKHUFDQDOVRVHUYHIRUHYDOXDWLRQSXUSRVHV>
@,QVXFKZD :HLVe al.>@XVHGWKHVWHDG VWDWHYDOXHRI-)LQHDFK
F FOH >@ $QRWKHU H[DPSOH ZDV IRXQG LQ WKH RSWLPL]DWLRQ RI WKH %: GXUDWLRQ DQG
IUHTXHQF  ZKHUH 0DVVp e al.>@HPSOR HGWKH³ne s eady s a e pe mea e lux´
FRUUHVSRQGLQJWRWKHSHUPHDWHIOX[IURPZKLFKWKH%:IOX[KDGEHHQUHPRYHG
x,QRWKHUFDVHVWKHULQVLQJDIWHUFKHPLFDOFOHDQLQJLVQRWGRQHDQG-&LVGLUHFWO FRPSDUHG
WR-:>@)RULQVWDQFH5D]DYLe al.>@GHILQHGDQHZSDUDPHWHU
(TEDVHGRQWKH-&ZKLFKFRXOGEHFDOOHG³ lux es o a ion´E DQDORJ ZLWKWKH
SDUDPHWHURI=KHQJe al.>@7KHPDLQVKRUWFRPLQJRIHPSOR LQJ-&LQVWHDGRI-:&LV
WKDWWKHUHVXOWVPD EHTXLWHGLIIHUHQW>@
Flux es o a ion 
):
)&
--
--


7KHDOWHUQDWLYHZRUNLQJPRGHFRQVLVWVLQNHHSLQJWKH-)FRQVWDQWE LQFUHDVLQJWKH703
ZLWKWLPH$W SLFDOHYROXWLRQRIWKH703WKURXJKRXWWKLVRSHUDWLRQPRGHLVGLVSOD HGLQ)LJ
,QWKLVFDVHSK VLFDOFOHDQLQJE PHDQVRI))RU%:F FOHVDUHFDUULHGRXWLQRUGHUWRNHHS703
&OHDQLQJRI8)PHPEUDQHV$UHYLHZ

,QIOXHQFHRIPDLQFOHDQLQJIDFWRUV

3URFHVVVWUHDPILOWUDWLRQFRQGLWLRQV
,Q WKH HQG WKH SURSHU FOHDQLQJ SURFHGXUH GHSHQGV RQ WKH SUHYLRXVIRXOLQJVWDJH,WLV
LQWHUHVWLQJ WR VWDQG RXW WKDW WKH EHKDYLRU RID IRXODQW PL[WXUH LV QRW WKH DGGLWLYH VXP RI WKH
LQGLYLGXDOFRQWULEXWLRQVIURPHDFKIRXODQW>@)RULQVWDQFHKLJKIHHGFRQFHQWUDWLRQVXVXDOO 
GLIILFXOWWKHFOHDQLQJ>@S+PRGLILHVWKHQHWFKDUJHRIWKHSURWHLQVDQGGUDPDWLFDOO 
LQIOXHQFHWKHSHUIRUPDQFHRIWKHFRQVHTXHQWFOHDQHU>@WKHcleaning e iciencyGHSHQGV
RQWKHIRXOLQJWLPH>@WKHKLJKHUWKH-)YDOXHVZKHQ703LVDOORZHGYDU LQJDUHWKHORZHU
WKH%:HIIHFWLYHQHVVLV>@ZRUNLQJDWORZFRQVWDQW703FRPPRQO IDFLOLWDWHVWKHIROORZLQJ
FKHPLFDOFOHDQLQJ>@DOWKRXJKWKHUHDUHH[FHSWLRQV>@GLIIHUHQWUHVXOWVDUHREWDLQHGIRUD
IL[HGGXUDWLRQDQGIUHTXHQF RI%:LIGLIIHUHQWW SHVRIIRXOLQJPLWLJDWLRQWHFKQLTXHVDUHXWLOL]HG
GXULQJWKHILOWUDWLRQ>@DQGWKHSUHVHQFHRI&DFDQDOVRHLWKHULPSURYH>@RUPDNHZRUVH>@
WKHSK VLFDOFOHDQLQJE %:
0HPEUDQHSURSHUWLHV
%RWK IRXOLQJ DQG FOHDQLQJ GHSHQG RQ PHPEUDQH SURSHUWLHV VXFK DV 136 UHODWHG WR
0:&2PDWHULDOOLQNHGWRVXUIDFHWHQVLRQDQGVRK GURSKRELFLW DQGURXJKQHVV
)RUWZR&$PHPEUDQHVIRXOHGZLWKDKXPLFDFLGVROXWLRQDQGFOHDQHGZLWK1D2+WKHRQH
ZLWKWKHKLJKHU0:&2DQG136N'DDQGQPUHVSHFWLYHO LVHDVLHUFOHDQHGWKDQWKDWZLWK
ORZHU0:&2DQG136N'DDQGQPGXHWRWKHIDFWWKDWWKHSRUHEORFNLQJWDNHVSODFHDWWKH
SRUH HQWUDQFH IRU WKH PRUH SHUPHDEOH PHPEUDQH >@ 3(6 PHPEUDQHV ZLWK KLJKHU 0:&2
H[KLELWHG D VWHHSHU IOX[ GHFOLQH GXULQJ WKH 8) RI D VLPLODU VROXWLRQ EXW EHWWHU FOHDQDELOLW 
0RUHRYHUIRUDFOHDQLQJFRQVLVWLQJLQ%:IROORZHGE 1D2+WKHLPSDFWRIWKHSK VLFDOPHWKRG
RQWKHwa e lux eco e yLQFUHDVHGZLWK0:&2DQGWKHFRQWULEXWLRQRIWKHFKHPLFDOUHDJHQW
EHFDPHORZHU>@+RZHYHULQWKHFDVHRI3(6PHPEUDQHVIRXOHGZLWKKXPLFDFLGDQGFOHDQHG
E XOWUDVRXQGVLWZDVIRXQGWKDWWKRVHRIN'DVKRZHGKLJKHUwa e lux eco e iesWKDQWKRVH
RIN'D>@7KHUHVHDUFKHUVDWWULEXWHGWKHSKHQRPHQRQWRWKHIDFWWKDWXOWUDVRXQGVZHUHPRUH
HIIHFWLYHUHPRYLQJSDUWLFOHVRQWKHVXUIDFHWKDQLQWKHSRUHV
)RU)3DQG5&PHPEUDQHVZLWKWKHVDPH0:&2(YDQVe al.>@IRXQGWKDWWKHIRXOLQJ
GXHWREODFNWHDLQWKH5&PHPEUDQHVPRUHK GURSKLOLFWKDQWKH)3RQHVZDVQRWYHU VHYHUH
DQGWKDWWKHwa e lux eco e iesDIWHU1D2+WUHDWPHQWZHUHFORVHWRZKHUHDVLQWKH)3
PHPEUDQHVWKHDPRXQWRIIRXOLQJZDVFRQVLGHUDEOHDQGwa e lux eco e iesKLJKHUWKDQ
:HLVe al.>@FRQGXFWHGFKHPLFDOFOHDQLQJRQ3(636XDQG5&PHPEUDQHVDIWHUILOWHULQJ
VSHQWVXOSKLWHOLTXRU7KH IRXQGWKDWIRUPHPEUDQHVZLWKVLPLODUK GURSKRELFLW EXWGLIIHUHQW
URXJKQHVVHV36XDQG3(6IOX[GHFOLQHRYHUPXOWLSOHIRXOLQJFOHDQLQJF FOHVZDVPRUHVLJQLILFDQW

&KDSWHU

IRUWKHURXJKHUPHPEUDQH36X+RZHYHUZKHQPHPEUDQHK GURSKLOLFLW ZDVQRWFRPSDUDEOH
WKH5&PHPEUDQHURXJKHUDQGPRUHK GURSKLOLFZDVOHVVSURQHWRDGVRUEWKHIRXODQWVWKDQWKH
VPRRWKHUEXWPRUHK GURSKRELF3(6RQH
)LOWUDWLRQPRGXOHV
&OHDQLQJLVVHQVLWLYHWRWKHJHRPHWU RIWKHPRGXOHVDQGWKHK GURG QDPLFFRQGLWLRQV>
@5DELOOHU%DXGU e al.>@FOHDQHGFKHPLFDOO 3(6PHPEUDQHVIRXOHGZLWKVNLPPLONLQ
DVWLUUHGV VWHPDQGLQDSODWHDQGIUDPHPRGXOHXQGHUWKHVDPHH[SHULPHQWDOFRQGLWLRQVDQGIRXQG
WKDWWKHREWDLQHGUHVXOWVZHUHGLIIHUHQW:KHQGHDOLQJZLWKXOWUDVRXQGVIRUWUHDWLQJPHPEUDQHVWKDW
KDGILOWHUHGZKH RUVNLPPLON0DVNRRNLe al.>@DQG0XWKXNXPDUDQe al.>@UHSRUWHG
WKDW WKH PRGXOH W SH DQG WKH VXSSRUWLQJ EDVH DIIHFWHG WKH XOWUDVRQLF SRZHU WKDW UHDFKHV WKH
PHPEUDQH)RUDLUDVVLVWHG%:DQGPHPEUDQHVIRXOHGZLWKEHQWRQLWHVXVSHQVLRQV6HUUDe al.>@
IRXQGWKDWWKHRSWLPXPDLUIORZGHWHUPLQHGRQEHQFKVFDOHZDVYHU GLIIHUHQWIURPWKDWRQIXOO
VFDOHDQGDWWULEXWHGLWWRFKDQQHOLQJDQGZDOOHIIHFWVZKLFKDUHSUHVHQWLQVPDOOPRGXOHVEXWQRWLQ
SLORWSODQWQRULQIXOOVFDOHVHWXSV
&OHDQHUFRQFHQWUDWLRQ
,QJHQHUDOFOHDQLQJJRRGQHVVLQFUHDVHVZLWKFRQFHQWUDWLRQXQWLODSODWHDXLVUHDFKHGRULW
LQFUHDVHVUHDFKLQJDPD[LPXPDQGWKHQGHFUHDVHV
,WFDQEHFLWHGIRUWKHILUVWFDVHWKH1D&O2FOHDQLQJRIPLONIRXOHG36XPHPEUDQHV>@
WKHDFWLRQRI6'6RUThe mus5W$SURWHLQDVHRQPHPEUDQHVXVHGLQZKH SURFHVVLQJ>@
('7$WUHDWPHQWRI3$1PHPEUDQHVIRXOHGZLWKRLO ZDVWHZDWHU>@WKHSHUIRUPDQFHRIWKH
PL[WXUH('7$1D2+WXUNH UHGRLOZKHQDSSOLHGWR36
X PHPEUDQHV WKDW KDG ILOWHUHG
ZDVWHZDWHU IURP EDQNQRWH SULQWLQJ ZRUNV >@ WKH FOHDQLQJ ZLWK 6'6 RU ('7$ RI
3$PHPEUDQHVHPSOR HGIRUMXLFHFODULILFDWLRQ>@DQGWKHUHPRYDORIZKH IURPKRPHPDGH
3(68)PHPEUDQHVE PHDQVRI+2JXDQLGLQLXPK GURFKORULGH6'6&7$%'7$%77$%
7ULWRQ;RU7ULWRQ;>@
([DPSOHVRIV VWHPVKDYLQJDFOHDQLQJHIIHFWLYHQHVVPD[LPXPDUHWKHFOHDQLQJZLWKWKH
ĮFK PRWU SVLQHQ] PHĮ&7RI36XPHPEUDQHVIRXOHGZLWK%6$>@WKHWUHDWPHQWZLWK+&O
1D2+DQG6'6RI3(6PHPEUDQHVIRXOHGZLWKZKH >@WKHFOHDQLQJZLWKSURWHLQDVHW SH0
RI3(6PHPEUDQHVIRXOHGZLWK%6$RU%6$E/*>@DQGWKHWUHDWPHQWZLWK+62+&O
+12.2+DQG1D2+RI3(6PHPEUDQHVIRXOHGZLWKZKH >@
,QVRPHFDVHVWKHVFDUFHH[SHULPHQWDOSRLQWVUHSRUWHGPDNHVLPSRVVLEOHWRGLVFHUQLIWKH
FOHDQLQJHIIHFWLYHQHVVWHQGVWRDSODWHDXRUJRHVWKURXJKDPD[LPXP>@
$Q ZD RSWLPXPFRQFHQWUDWLRQGHSHQGVRQWKHV VWHPDQGFDQYDU YHU PXFKIRUWKH
VDPHFOHDQHU)RULQVWDQFHRSWLPXP1D2+FRQFHQWUDWLRQLVZWZKHQFOHDQLQJPLONIRXOHG
&OHDQLQJRI8)PHPEUDQHV$UHYLHZ

36XPHPEUDQHV>@DQGZWLIWKHIRXODQWLVZKH DQGWKHPHPEUDQHPDWHULDOLV5&3(6
RU3$>@
0RUHRYHUWKHVDPHV VWHPFDQSUHVHQWPD[LPXPRUSODWHDXDFFRUGLQJWRWKHWHPSHUDWXUH
DQGRUS+)RU36XPHPEUDQHVIRXOHGZLWK%6$DQGFOHDQHGZLWKWKHHQ] PDWLFGHWHUJHQW7$=
0XxR]$JXDGRe al.>@VDZWKDWWKHwa e lux eco e yDQGcleaning e iciencyFRQWLQXRXVO 
LQFUHDVHGZLWKWKHFOHDQHUFRQFHQWUDWLRQZKHQWKHFOHDQLQJZDVSHUIRUPHGDW&EXWWKH ZHQW
WKURXJKDPD[LPXPLIWKDWWHPSHUDWXUHZDVULVHQWR&0XWKXNXPDUDQe al.>@REVHUYHG
WKDWWKHcleaning e iciencyRI36XPHPEUDQHVIRXOHGZLWKZKH LQFUHDVHGZLWK6'6PRODULW DQG
UHDFKHGDSODWHDXZKHQWKHS+RIWKHVXUIDFWDQWZDVEXWLWZHQWWKURXJKDPD[LPXPDWS+
7KH H[LVWHQFH RI DQ RSWLPXP FRQFHQWUDWLRQ ZDV H[SODLQHG LQ VHYHUDO ZD V WKH PRUH
FKHPLFDODPRXQWWKHKLJKHUIRXODQWUHPRYDOEXWDOVRWKHKLJKHUGHJUHHRIVZHOOLQJRIWKHIRXOLQJ
GHSRVLWV7KLVODVWIDFWIDFLOLWDWHVWKHSRUHEORFNLQJE WKHIRXODQWVDQGFDXVHVWKHUHGXFWLRQRI
-&>@WRRKLJKFRQFHQWUDWLRQVEUHDNGRZQWKHIRXODQWVLQWRVPDOOSLHFHVVRIDVWWKDWWKH GRQRW
KDYHWLPHHQRXJKWRJHWWKHEXONVROXWLRQDQGWKH HQWHULQWRWKHSRUHVFDXVLQJDPRUHVHYHULQ
SRUHIRXOLQJ>@H[FHVVLYHFKHPLFDOFRQFHQWUDWLRQVPD SURGXFHVROLGLILFDWLRQRUJHODWLRQRI
GHSRVLWV>@KLJKDPRXQWVRIUHDJHQWDFWDVDIRXODQWLWVHOIZKLFKZDVFRQILUPHGE 0$/',06
DQGJHOHOHFWURSKRUHVLVPHDVXUHPHQWVLQWKHFDVHRISURWHLQIRXOHG3(6PHPEUDQHVFOHDQHGZLWK
SURWHLQDVHW SH0>@
2QWKHFRQWUDU LWKDVEHHQDOVRUHSRUWHGWKDWWKHKLJKHUWKHDPRXQWRI1D2+IURPWR
ZW+2ZWSURWHDVH$ZWRU+12ZWDUH
WKHORZHUWKHFOHDQLQJJRRGQHVVJHWV>@1HYHUWKHOHVVWKLVFRXOGEHGXHWRWKH
IDFWWKDWWKHRSWLPXPFOHDQHUFRQFHQWUDWLRQZDVORZHUWKDQWKHFKRVHQUDQJHDQGVRLWZDVQRW
GHWHFWHG
&OHDQLQJWLPH
)RXOLQJUHPRYDOXVXDOO LQFUHDVHVZLWKFOHDQLQJWLPHXQWLODSODWHDXLVUHDFKHGDQGQR
IXUWKHULPSURYHPHQWLVVHHQXQGHUERWKSK VLFDO>@DQGFKHPLFDO>
@FOHDQLQJV$QRWKHUREVHUYHGWUHQGVLQFOXGHVDPD[LPXPEHIRUHWHQGLQJWRWKH
SODWHDX>@DQGDPD[LPXPZLWKRXWUHDFKLQJDQ SODWHDX([DPSOHVIRUWKHODVWFDVH
ZHUHUHSRUWHGE 3HWUXVe al.>@GXULQJWKHUHPRYDORI%6$E/*LQ3(6PHPEUDQHVXVLQJ
SURWHLQDVHW SH0DQGE 6DKDDQG%DODNULVKQDQ>@DIWHUWKHWUHDWPHQWZLWK1D&O2RIIRXOHG
8)PHPEUDQHVGXHWRVXJDUFDQHMXLFH1HYHUWKHOHVVLQERWKFDVHVRQO WKUHHH[SHULPHQWDOSRLQWV
ZHUHGLVSOD HGDQGVRWUHQGVPD EHELDVHG
*LYHQH[SODQDWLRQVIRUWKHH[LVWHQFHRIDQRSWLPXPWLPHDUHVLPLODUWRWKRVHPHQWLRQHGIRU
WKHFRQFHQWUDWLRQHIIHFWKLJKHUH[SRVXUHWLPHVWRWKHFKHPLFDODOORZIXUWKHUVZHOOLQJ>@DPRUH
EUHDNDJHRIIRXODQWV>@RUIDFLOLWDWHVWKHIRXOLQJDFWLRQRIWKHFOHDQHU>@
&KDSWHU

7LPH GHSHQGHQFH FDQ EH YHU  VHQVLWLYH WR RWKHU YDULDEOHV LQ FOHDQLQJ SURFHVVHV )RU
H[DPSOHLQ&$PHPEUDQHVIRXOHGZLWKVNLPPLONDQGFOHDQHGZLWKDPL[WXUHRIDQDONDOLQH
SURWHDVHDQG8OWUDVLOWKHIOX[UHFRYHU FKDQJHGIURPWKHVLPSOHSODWHDXSDWWHUQDWORZDPRXQWVRI
HQ] PHWRWKHPD[LPXPEHIRUHWKHSODWHDXSDWWHUQDWKLJKHUFRQFHQWUDWLRQV>@
2WKHU DQRPDOLHV ZHUH DOVR VHHQ LQ WKH WLPH GHSHQGHQFHRI -:& 9DLVDQHP e al.>@
UHSRUWHG D PD[LPXP DIWHU WUHDWLQJ PHPEUDQHV RI 5& 3(6 DQG 3$ ZLWK /LEUDQRQH  DQG
/LQGDXDQG-RQVVRQ>@REVHUYHGWKDW-:&GHFUHDVHGFRQWLQXDOO XQWLODFRQVWDQWYDOXHDIWHU
WUHDWLQJ RLO IRXOHG 36X PHPEUDQHV ZLWK FRPPHUFLDO DFLGLFFOHDQHUV,QWKHILUVWFDVHWKH
PD[LPXPZDVH[SODLQHGE WKHDGVRUSWLRQDQGVXEVHTXHQWGHVRUSWLRQRIWKHQRQLRQLFVXUIDFWDQWV
WKDWFRPSULVHWKH/LEUDQRQH,QWKHVHFRQGFDVHWKHHIIHFWZDVGXHWRWKHFRPSDFWLRQRIWKH
IRXOLQJFDNHRYHUWKHULQVLQJZKLFKZDVFDXVHGE WKHGLVVROXWLRQRIWKHLQRUJDQLFFRPSRXQGV
GXULQJFOHDQLQJZKLFKLQWXUQPDGHWKHFDNHPRUHSRURXV
(IILFLHQF RIVSHFLILFSK VLFDOFOHDQLQJSURFHVVVXFKDV%:LVQRWRQO DIXQFWLRQRIWKH
FOHDQLQJGXUDWLRQEXWDOVRRILWVIUHTXHQF GHILQHGDVWKHILOWUDWLRQWLPHEHWZHHQWZRVXFFHVVLYH
%: LQ PXOWLSOH IRXOLQJFOHDQLQJ F FOHV ,Q WKLV FDVHV %: IUHTXHQF  EHFRPHV HYHQ PRUH
LPSRUWDQWWKDQWKH%:GXUDWLRQ>@$WFRQVWDQWIUHTXHQF FOHDQLQJJRRGQHVVXVXDOO 
LQFUHDVHVZLWKGXUDWLRQXQWLODSODWHDXLVUHDFKHG>@1HYHUWKHOHVV.HQQHG e al.>@VDZ
WKDWWKLVLQFUHDVHZDVORZHUIURPWRPLQWKDQIURPWRPLQ2QWKHRWKHUKDQGLI-)LV
LQFUHDVHGDKLJKHU%:IUHTXHQF LVQHFHVVDU WRNHHSPHPEUDQHSHUIRUPDQFH>@
7KHIUHTXHQF RIWKHFKHPLFDOFOHDQLQJKDVEHHQVWXGLHGE .LPe al.>@ZLWK36X
PHPEUDQHVIRXOHGZLWK%6$DQGWUHDWHGZLWK+&O7KH FRPSDUHGWKUHHFRPELQDWLRQVDVIXQFWLRQ
RIWKHSHUPHDWHYROXPH,FOHDQLQJDIWHUHYHU P/RISHUPHDWHP/8)FOHDQP/
8)FOHDQP/8)FOHDQ,,P/8)FOHDQP/8)FOHDQDQG,,,P/8)FOHDQ
-)IROORZHGWKHRUGHU,,,,,,ZKLFKLQGLFDWHGWKDWWRRORZRUH[FHVVLYHFOHDQLQJIUHTXHQFLHV
UHVXOWHGLQORZHUSURGXFWLYLW 
2FFDVLRQDOO  D SURORQJHG FOHDQLQJ FDQ OHDG WR WKH GDPDJH RI WKH PHPEUDQH RU WKH
UHGXFWLRQRIWKHVHSDUDWLRQHIILFLHQF LQIROORZLQJILOWUDWLRQF FOHV>@
&OHDQLQJWHPSHUDWXUH
7KHUHDUHQRWPDQ SDSHUVGHDOLQJZLWKWKHHIIHFWVRIWHPSHUDWXUHLQFOHDQLQJSURFHGXUHV
DQGPRVWRIWKHPRQO WU DIHZQXPEHURIWHPSHUDWXUHV,QJHQHUDOKLJKHUWHPSHUDWXUHVLQFUHDVH
FOHDQLQJ LHOG EXW WKH  FDQ DOVR LQFUHDVH WKH PHPEUDQH GDPDJHRU FDXVH FKDQJHV LQ IRXODQW
VWUXFWXUHPDNLQJLWKDUGHUWRUHPRYH>@
7KHOHYHORILPSURYHPHQWGXHWRDWHPSHUDWXUHULVHLVVSHFLILFRIHDFKV VWHP:KHQ36X
PHPEUDQHVIRXOHGZLWKZDVWHZDWHUIURPEDQNQRWHSULQWLQJZRUNVDUHFOHDQHGZLWKDPL[WXUHRI
('7$1D2+WXUNH UHGRLOEHWZHHQDQG&D6VKDSHFXUYHHPHUJHG>@:KHQ))
&OHDQLQJRI8)PHPEUDQHV$UHYLHZ

ZLWKKRWZDWHULVSHUIRUPHGRQVNLPPLONIRXOHG36XPHPEUDQHVIURPWR&DPD[LPXPLV
REVHUYHGDW&>@,QWKHUDQJH&WKHUHPRYDORIRLO ZDVWHVIURPD3$1PHPEUDQH
ZLWK6'6('7$LQFUHDVHGZLWKWHPSHUDWXUHXQWLOUHDFKLQJDSODWHDXDW&>@$VDPHWUHQG
ORRNVWRWDNHSODFHIRUWKHFOHDQLQJRID36XPHPEUDQHIRXOHGZLWKPLONDQGWUHDWHGZLWK6'6
('7$1D2+EHWZHHQDQG&,QWKLVFDVHERWKwa e lux eco e y a ioDQG esis ance
emo alWRRNWKHKLJKHVWYDOXHDW&EXWH[SHULPHQWVGLGQRWFRQWLQXHQRWEHLQJSRVVLEOH
WRDVVXUHWKDWWKHSODWHDXZDVUHDFKHG>@
&OHDQLQJVROXWLRQS+
7KHS+HIIHFWLVOLQNHGWRWKHIRXODQWW SHDQGFOHDQHUFRQFHQWUDWLRQ7KHUHLVQRWDGLUHFW
UHODWLRQEHWZHHQS+DQGwa e lux eco e ies>@DQGWZRFOHDQHUVDWWKHVDPHS+DFLGLFRU
DONDOLQH FDQ JLYH GLIIHUHQW UHVXOWV >@ 7KH PD[LPXP HIILFLHQF  REVHUYHG E 
0XWKXNXPDUDQe al.>@ZKHQYDU LQJWKHZDWHUS+XQGHUXOWUDVRXQGVZDVDFRQVHTXHQFHRI
UHDFKLQJWKHRSWLPXPFRQFHQWUDWLRQRI1D2+ZKLFKZDVXVHGWRDGMXVWWKHEDVLFLW ,QWKHVDPH
ZD DVIRUWKHFRQFHQWUDWLRQGHSHQGHQFHFOHDQLQJ LHOGDVIXQFWLRQRIWKHS+XVXDOO LQFUHDVHV
LQLWLDOO DQGODWHULWUHDFKHVDSODWHDXDVUHSRUWHGE .D]HPLPRJKDGDPDQG0RKDPPDGL>@IRU
6'6('7$1D2+EHWZHHQDQGDQGE 6DODKLe al.>@IRU6'6('7$IURP
WR
,QWHUIDFLDOHQHUJ RIWKHFOHDQHU
5DELOOHU%DXGU e al.>@WUHDWHGVNLPPLONIRXOHG3(6PHPEUDQHVZLWKVHYHUDO
FOHDQHUVDWS+DQGDQGVXJJHVWHGWKDQWKHFOHDQLQJ LHOGLQDJLYHQV VWHPH[SUHVVHGDV
DPRXQWRIUHVLGXDOSURWHLQULIRUpe meabili y eco e yLQFUHDVHVDVWKHFOHDQHULQWHUIDFLDOHQHUJ 
GHFUHDVHV7KLVSDUDPHWHULQYROYHVWKHQDWXUHFKDUDFWHULVWLFVDQGFRQFHQWUDWLRQRIWKHFOHDQLQJ
VROXWLRQ3ODWWDQG1 VWURP>@DOVRVDZWKDWWKHORZHUWKHVXUIDFHWHQVLRQLVWKHEHWWHUWKH
FOHDQLQJRI%6$IRXOHG36XPHPEUDQHVEXWWKH SRLQWHGRXWWKDWS+KDVWREHWDNHQLQWRDFFRXQW
DVZHOOEHFDXVHDWWKHVDPHLQWHUIDFLDOHQHUJ WKHwa e lux eco e yZDVEHWWHUXQGHUDONDOLQH
FRQGLWLRQV8QIRUWXQDWHO WRWKHEHVWRIRXUNQRZOHGJHQRPRUHUHVHDUFKRQWKLVWRSLFKDVEHHQ
GRQH
&OHDQLQJZDWHUTXDOLW 
7KHZDWHUTXDOLW RIWKHULQVLQJVWHSVDQGWKHFOHDQLQJVROXWLRQVSOD VDQLPSRUWDQWUROH
ZKLFKZDVVWXGLHGE VHYHUDODXWKRUV0XxR]$JXDGRe al.>@LQYHVWLJDWHGWKHHIIHFWRIWKH
ZDWHUULQVLQJS+DQGWHPSHUDWXUHRQWKH%6$UHPRYDOIURP36XPHPEUDQHV7KHFOHDQLQJZDV
FDUULHGRXWWKURXJKDWZRVWHSSURFHGXUHFRQVLVWLQJLQĮ&7S+IROORZHGE &7$%S+
ZLWKPLQRI0LOOL4ZDWHUULQVLQJDIWHUHDFKVWHS7KLVZDWHUZDVWHVWHGLQIRXUFRQGLWLRQV$W
QHXWUDOS+DQGDPELHQWWHPSHUDWXUH$WDPELHQWWHPSHUDWXUHDQGWKHVDPHS+DVWKHĮ&7RU
&7$%VROXWLRQV$WQHXWUDOS+DQG&$W&DQGWKHVDPHS+DVWKHĮ&7RU&7$%
&KDSWHU

VROXWLRQV7KHEHVWwa e lux eco e iesDQGFOHDQLQJHIIHFWLYHQHVVZHUHREWDLQHGDWQHXWUDOS+
DQG&IROORZHGE WKHWZRQRQHXWUDOS+VDQG7KHILUVWFRQGLWLRQJDYHZRUVW
UHVXOWVWKDQQRULQVLQJ
7KHSUHVHQFHRIVHYHUDOVDOWVLQWKHULQVLQJZDWHUDQGLQWKH&7$%FOHDQLQJVROXWLRQLQ
36XPHPEUDQHVIRXOHGZLWKZKH ZDVVWXGLHGE 7UDQ+De al.>@1D121D&O&D12
&D&O 0J&ODQG)H&O
 ZHUH HPSOR HG $WORZ FRQFHQWUDWLRQV RQO  WKH DGGLWLRQ RI 1D12
LPSURYHG WKH wa e lux eco e yJLYHQ E  &7$% LQ 0LOOL4 ZDWHU +RZHYHU WKH wa e lux
eco e yGHSHQGHQFHZLWKVDOWFRQFHQWUDWLRQZDVPRUHFRPSOH[DWKLJKHUYDOXHVIRUH[DPSOHZLWK
)H&OLWLQLWLDOO GHFUHDVHGZHQWWKURXJKDPLQLPXPWKHQLQFUHDVHGUHDFKHGDPD[LPXPDQG
GHFUHDVHGEH RQGWKDW:LWK&D12WKHSDWWHUQZDVMXVWWKHRSSRVLWHLQFUHDVHPD[LPXPGURS
PLQLPXPDQGLQFUHDVHDJDLQ,QSUHVHQFHRI1D12DQG1D&Owa e lux eco e yLQFUHDVHG
PRQRWRQRXVO $WKLJKFRQFHQWUDWLRQVDOOWKHVRGLXPDQGFDOFLXPVDOWVDQGSUREDEO 0J&O
LPSURYHGWKHFOHDQLQJJRRGQHVVRIWKH&7$%,IWKHLRQLFVWUHQJWKZDVVHWWKHVHFRQFHQWUDWLRQ
GHSHQGHQFHVYDULHGEHLQJDIXQFWLRQRIWKHVDOWHPSOR HGIRUIL[LQJLWDVZHOO
=KHQJe al.>@FOHDQHG3(6PHPEUDQHVIRXOHGZLWKDWHUWLDU HIIOXHQW:KHQVRDNLQJDQG
EDFNZDVKLQJ WKHP XVLQJ GHPLQHUDOL]HG ZDWHU WDS ZDWHU DQG SHUPHDWH WKH  IRXQG WKDW WKH
pe meabili y es o a ionGHFUHDVHGIROORZLQJWKDWRUGHU7KH DWWULEXWHGWKHVHUHVXOWVWRWKHORZ
DPRXQWRI&DLQGHPLQHUDOL]HGZDWHUZKLFKUHGXFHVWKHFKDUJHVFUHHQLQJHIIHFWDQGOHDGVWRDQ
LQFUHDVHLQWKHUHSXOVLRQIRUFHEHWZHHQWKHQHJDWLYHO FKDUJHGPHPEUDQHDQGRUJDQLFFRPSRXQGV
7KHSUHVHQFHRIFDWLRQVLQWKH%:ZDWHUZDVDOVRDQDO ]HGE RWKHUDXWKRUVIRUWKHUHPRYDORI
120$EUDKDPVHe al.>@FRPSDUHGSHUPHDWHZKLFKFRQWDLQHG0JDQG&DSHUPHDWH
WUHDWHGE LRQH[FKDQJHFRQWDLQLQJPDLQO 1DDQG0LOOL4ZDWHUYHU ORZLRQLFVWUHQJWKDQG
SRLQWHGRXWWKDWWKH olume ic ouling a eGHFUHDVHGLQWKHRUGHUSHUPHDWH!SHUPHDWHWUHDWHGE 
LRQH[FKDQJH!0LOOL4ZDWHURQRWKHUZRUGVWKHORZHUWKHLRQLFFRQFHQWUDWLRQLVWKHORZHUWKH
LUUHPRYDEOHIRXOLQJLVREWDLQHG7KH VXSSRVHGWKDWWKH120PDWWHULQERWKSHUPHDWHVLQIOXHQFHV
WKH%:JRRGQHVVWRREXW/Le al.>@SUREHGWKDWLWZDVQRWWUXH'HPLQHUDOL]HGZDWHUDQG
SHUPHDWH WUHDWHGE  GLDO VLV ZLWKRXW FDWLRQVRQO  ZLWK 120JDYH DOPRVW WKH VDPH UHVXOWV
7KHUHIRUHWKH VWDWHGWKDWRQO FDWLRQVLQIOXHQFHGWKHIRXOLQJUHPRYDOWKURXJK%:0RUHRYHU
&DKDVDVWURQJHULPSDFWWKDQ1DDWWKHVDPHFRQFHQWUDWLRQGXHWRLWVGLYDOHQWFKDUJH>@
&URVVIORZYHORFLW GXULQJWKHFOHDQLQJ
7KHLQIOXHQFHRIHLWKHUWKHFURVVIORZYHORFLW &)9RUWKHDJLWDWLRQVSHHGLVOLQNHGWRWKH
PDVVWUDQVIHUSKHQRPHQDEHWZHHQWKHEXONDQGWKHLQWHUIDFHRIWKHPHPEUDQH7KLVIDFWRUEHFRPHV
LPSRUWDQWZKHQWKHUDWHOLPLWLQJVWHSLVWKHPDVVWUDQVIHUDQGQRWWKHUHDFWLRQNLQHWLFV>@
)RUWKHFOHDQLQJRI36XPHPEUDQHVZLWK1D2+ZLWKRXWDSSO LQJSUHVVXUHLQDVWLUUHGFHOO
0DGDHQLDQG6KDULIQLD>@VWDWHGWKDWWKHUHPRYDORIZKH GHSRVLWVLQFUHDVHGOLQHDUO ZLWKWKH

&OHDQLQJRI8)PHPEUDQHV$UHYLHZ

VWLUULQJUDWHIURPWRUSP+RZHYHU.LPe al.>@IRXQGOLWWOHHIIHFWLQWKHUDQJHIURP
WRUSPIRU+&OWUHDWPHQWRI%6$UHVLGXHV
:KHQWKHFOHDQLQJZDVFDUULHGRXWXQGHU&)WKHYHORFLW GHSHQGHQFHLVQRWVLPSOHHLWKHU
6DODKLe al.>@REVHUYHGWKDWDQLQFUHDVHRIYHORFLW IURPWRPVOHGWRDQLQFUHDVHLQ
WKHFOHDQLQJ LHOGRIRLOIRXOHG3$1PHPEUDQHVZLWKD6'6('7$PL[WXUHEXWDQLQFUHDVHIURP
WRPVGLGQRWHQKDQFHWKHREWDLQHGUHVXOWV+RZHYHUWKHRSSRVLWHWUHQGZDVUHSRUWHGE 
=KDQJe al.>@LQ36XPHPEUDQHVWKDWKDGILOWHUHGZDVWHZDWHUIURPEDQNQRWHSULQWLQJZRUNV
:KHQDSSO LQJDPL[WXUHRI1D2+1D('7$WXUNH UHGRLODW03DIRUPLQWKHUHVXOWV
DWDQGPVZHUHYHU FORVHDQGRQO WKHYDOXHDWPVZDVFRQVLGHUDEO KLJKHU
0RUHRYHUWKHFOHDQLQJZLWK1D2+RI3(6PHPEUDQHVIRXOHGZLWK120LVEHWWHUDWPV
WKDQDWPVEXWLIWKHFOHDQHULV1D&OWKHUHZDVQRWDQ  LQIOXHQFH RI &)9 >@
0XWKXNDPDUDQe al.>@QHLWKHUDSSUHFLDWHGWKHHIIHFWRIWKH&)9YDULDWLRQXQGHUWKHODPLQDU
UHJLPHIURPWRPVZKHQHPSOR LQJXOWUDVRXQGVFRPELQHGZLWK6'6RQZKH IRXOHG
36XPHPEUDQHVDWN3D
7UDQVPHPEUDQHSUHVVXUHGXULQJWKHFOHDQLQJ
&RQFHUQLQJ WKH 703 LQIOXHQFH RQ WKH FOHDQLQJ HIIHFWLYHQHVV .LPe al. >@ DQG
0XWKXNXPDUDQe al.>@IRXQGRSSRVLWHWUHQGV7KHILUVWRQHUHSRUWHGWKDWWKHLQFUHDVHRI703
IURPN3DQRSHUPHDWLRQWRN3DVOLJKWO LPSURYHGWKHcleaning e iciencyZKLOHWKHVHFRQG
RQHVKRZHGWKDWWKHUHVLVWDQFHUHFRYHU UDWLRGHFUHDVHGDIURPWRN3D$VWKHODVW
SRVVLELOLW 1 VWURPDQG=KX>@GRQRWREVHUYHGDQ 703HIIHFWEHWZHHQDQGN3DIRU
36XDQG39')PHPEUDQHVIRXOHGZLWK%6$DQGFOHDQHGZLWK8OWUDVLOLQDVWLUUHGFHOO
%:DQG))IORZ
&RQVLGHULQJSK VLFDOFOHDQLQJSURFHGXUHVH[FOXVLYHO ZRUNLQJDWFRQVWDQW703.HQQHG 
e al.>@VDZWKDWIOX[UHFRYHU LQLWLDOO LQFUHDVHGZLWKWKH%:SUHVVXUHOLQNHGWRWKH%:IORZ
DQG UHPDLQHG FRQVWDQW EH RQG FHUWDLQ YDOXH 7KLV SODWHDX FDQ H[SODLQ ZK  WKH FOHDQLQJ
LPSURYHPHQWZDVDOPRVWQHJOLJLEOHLQWKHZRUNRI;Xe al.>@DIWHULQFUHDVLQJWKH%:IORZ
IURP/PKWR/PK$WFRQVWDQW-)<He al.>@IRXQGDPLQLPXPIRU'703DQG
ouling a eEHWZHHQDQG/PKZKHQILOWHULQJVHDZDWHUDQG5HPL]He al.>@SRLQWHG
RXWWKDWWKHSDUWLFOHUHPRYDODIWHUWKHILOWUDWLRQRIDFOD VXVSHQVLRQLQFUHDVHGZLWK%:SUHVVXUH
IURPWREDUEXWWKDWWKHSHUPHDELOLW PHDVXUHPHQWVZHUHXQVXLWDEOHWRGHWHFWWKLVULVHQ
<He al.>@DOVRVWXGLHGWKHDLUDVVLVWHG%:DQGUHSRUWHGWKDW ouling a eZHQWWKURXJK
D PLQLPXP ZLWK WKH EXEEOLQJ IORZ UDWH DV FRQVHTXHQFH RI WKH EXEEOH VKDSH +RZHYHU
6HUUDe al.>@GHDOLQJZLWKEHQWRQLWHVXVSHQVLRQLQDEHQFKVFDOHVDZWKHVDPHPLQLPXPDQG
DWWULEXWHGLWWRWKHH[SHULPHQWDOVHWXSVL]HVLQFHLQSLORWDQGIXOOVFDOHPRGXOHVWKLVPLQLPXP
YDQLVKHGDQGWKHFOHDQLQJJRRGQHVVUHDFKHGDSODWHDXZKHQWKHDLUIORZLQFUHDVHG
&KDSWHU

$WFRQVWDQW703IOX[UHFRYHULHVREWDLQHGWKURXJK))DOVRIROORZHGWKHVDPHWUHQGWKDW
%:,WZDVSURSRVHGWKDWDWODPLQDUUHJLPHFOHDQLQJHIIHFWLYHQHVVGHSHQGVRQWKHYHORFLW DQG
RQFHWKHWXUEXOHQWIORZLVHVWDEOLVKHGDIXUWKHULQFUHDVHLQYHORFLW GRQRWFDXVHDQ VLJQLILFDQW
LPSURYHPHQW>@
,PSRUWDQFHRIWKHIDFWRUVDQGLQWHUDFWLRQVDPRQJWKHP
,W KDV EHHQ SRLQWHG RXW SUHYLRXVO  WKDW WKH FOHDQLQJ HIIHFWLYHQHVV DV IXQFWLRQ RI
FRQFHQWUDWLRQFDQJRWKURXJKDPD[LPXPRUUHDFKDSODWHDXGHSHQGLQJRQWKHWHPSHUDWXUHRUWKH
S+ 6LPLODU WUHQGV FDQ EH DOVR VHHQ DV FOHDQLQJ WLPH LQFUHDVHV DV LQGLFDWHG 7KHVH GLIIHUHQW
EHKDYLRUVDUHGXHWRWKHLQWHUDFWLRQVDPRQJWKHVHYHUDOIDFWRUVLQYROYHGLQFOHDQLQJSURFHGXUHV
ZKLFKXVXDOO DUHQRWWDNHQLQWRDFFRXQWZKHQVHDUFKLQJWKHEHVWFRQGLWLRQVIRUDFOHDQLQJSURWRFRO
0RVWRIWKHUHVHDUFKHUVIRXQGWKHVHLQWHUDFWLRQVYDU LQJRQHIDFWRUDWDWLPH>
@DSURFHGXUHWKDWLQPDQ FDVHVQHLWKHUDOORZVWRNQRZWKHUHODWLYHLPSRUWDQFHRIHDFK
RQHLQWKHIRXOLQJUHPRYDO
%XVFDe al.>@GHYHORSHGDQH[SHULPHQWDOSODQEDVHGRQ3ODFNHWW%XUPDQPDWUL[WR
HYDOXDWHWKHLPSRUWDQFHRIVHYHUDOIDFWRUVRQWKHFKHPLFDOFOHDQLQJRI39')PHPEUDQHVIRXOHG
GXULQJ&)ILOWUDWLRQRIDPHWDOZRUNLQJIOXLG7KHVHIDFWRUVZHUHVXUIDFWDQWFRQFHQWUDWLRQYROXPH
RI FOHDQHU WHPSHUDWXUH WLPH UHFLUFXODWLRQ YHORFLW  DQG SUHVHQFHDEVHQFH RI SUHVVXUH 7KH
LPSRUWDQFHLQGHFUHDVLQJRUGHUWXUQHGRXWWREHWHPSHUDWXUH!YHORFLW !WLPH|SUHVVXUH!
FRQFHQWUDWLRQ!YROXPH6XUSULVLQJO WKHHIIHFWRIUHFLUFXODWLRQYHORFLW ZDVQHJDWLYHWKHLQFUHDVH
LQYHORFLW GHFUHDVHGWKHIOX[UHFRYHU DQGWKHDXWKRUVDWWULEXWHGLWTXDOLWDWLYHO WRDQLQWHUDFWLRQ
EHWZHHQYHORFLW DQGSUHVVXUHZKLFKUHVXOWHGLQPHPEUDQHIRXOLQJEHFDXVHRIWKHVXUIDFWDQW
$VLPLODUVWXG ZDVFDUULHGRXWE &KHQe al.>@IRUERWKFKHPLFDODQGSK VLFDOFOHDQLQJ
RI3(6PHPEUDQHVIRXOHGZLWKDVHFRQGDU HIIOXHQW1RWRQO GLGWKH LGHQWLI WKHNH IDFWRUVDQG
WKHLULQWHUDFWLRQVWKURXJKDVWDWLVWLFDOIDFWRULDOGHVLJQEXWDOVRRSWLPL]HGWKHYDOXHRIHDFKRQH
REWDLQLQJEHWWHUFOHDQLQJJRRGQHVVWKDQWKDWUHDFKHGZLWKWKHSURFHGXUHUHFRPPHQGHGE WKH
VXSSOLHU)RUFKHPLFDOFOHDQLQJZLWK7UL&OHDQ)DWS+WKHILYHDQDO ]HGIDFWRUVZHUH
UHFLUFXODWLRQGXUDWLRQRIFOHDQHULWVFRQFHQWUDWLRQWHPSHUDWXUHVWDWLFVRDNRUQRW
DQGWKHHPSOR PHQWRI%:RU))DIWHUWKHFKHPLFDOFOHDQLQJ6LJQLILFDQWIDFWRUVZHUH
 DQG LQWHUDFWLRQ  7KHLU LPSRUWDQFH IROORZHG WKH RUGHU !  !7KH
FRQFHQWUDWLRQ DQG WHPSHUDWXUH RI WKH FOHDQLQJ VROXWLRQ VKRXOG EH VHW DW D KLJK OHYHO DQG WKH
FKHPLFDOFOHDQLQJVKRXOGEHIROORZHGE %:7KHLQWHUDFWLRQVKRZHGWKDWFRQFHQWUDWLRQ
FKDQJHVKDYHDODUJHHIIHFWRQwa e lux eco e yZKHQFOHDQLQJLVGRQHDWORZWHPSHUDWXUH
+RZHYHUZKHQFOHDQLQJLVGRQHDWKLJKWHPSHUDWXUHWKHHIIHFWRIFRQFHQWUDWLRQEHFRPHVVPDOOHU
7KLVLPSOLHVWKDWLIFKHPLFDOFOHDQLQJLVSHUIRUPHGDWHOHYDWHGWHPSHUDWXUHFOHDQLQJHIIHFWLYHQHVV
FDQEHKLJKHYHQDWORZFRQFHQWUDWLRQ2QWKHRWKHUKDQGIRUWKHSK VLFDOFOHDQLQJQRWRQO WKH
SXUHwa e lux eco e yZDVDQDO ]HGEXWDOVRWKHZDVKZDWHUXVDJH7KHVL[IDFWRUVWHVWHGLQWKLV
&OHDQLQJRI8)PHPEUDQHV$UHYLHZ

SDUWZHUHSURGXFWLRQLQWHUYDOEHWZHHQSK VLFDOFOHDQLQJVILOWUDWLRQGXUDWLRQGXUDWLRQRI))
GXUDWLRQRI%:))SUHVVXUHZDWHUTXDOLW SHUPHDWHIURPUHYHUVHRVPRVLVRUWDSZDWHU
DQGVHTXHQFHRI))DQG%:%:IROORZHGE ))RU))IROORZHGE %:
)RUSXUHwa e lux eco e yDQGZHUHWKHPRVWVLJQLILFDQWIDFWRUVDQG
WKHLULPSRUWDQFHRUGHUZDV!! )LOWUDWLRQSHULRGVVKRXOGEHVKRUW%:GXUDWLRQ
ORQJDQG))SUHVVXUHORZ7KHLQWHUDFWLRQLPSOLHVWKDWWKHORQJHUWKHSURGXFWLRQLQWHUYDO
EHWZHHQ FOHDQLQJV WKH ORQJHU WKH EDFNZDVK GXUDWLRQ ZDV UHTXLUHG LQ DFFRUGDQFH ZLWK WKH
VWDWHPHQWVRIVHFWLRQ³&OHDQLQJWLPH´7KHZDVKZDWHUXVDJHZDVGHSHQGHQWRQ
DQG1HYHUWKHOHVVWKHVWDWLVWLFDOIDFWRULDOGHVLJQLVQRWSHUIHFW,WVWDWHGWKDWZDV
QRWVLJQLILFDQWEXWIXUWKHUUHVHDUFKHVIURPRWKHUDXWKRUVSURYHGWKDW%:IROORZHGE ))ZDVEHWWHU
WKDQWKHRSSRVLWHFRPELQDWLRQ>@
2QWKHRWKHUKDQGFOHDQLQJIDFWRUVFDQDIIHFWGLIIHUHQWO GHSHQGLQJ RQ WKH FKRVHQ
SDUDPHWHUWRGHILQHFOHDQLQJJRRGQHVV)RULQVWDQFH<He al.>@VKRZHGWKDWWKHLPSRUWDQFHRI
WKHIDFWRUV%:IUHTXHQF %:IORZDQG%:GXUDWLRQZHUHGLIIHUHQWIRUWKHWKUHHVSHFLILFFOHDQLQJ
HIIHFWLYHQHVVSDUDPHWHUVGHILQHGLQWKHLUZRUN:KHQXVLQJWKHe olu ion o he TMP wi h ime
WKHLULPSRUWDQFHGHFUHDVHGLQWKHRUGHUIUHTXHQF !GXUDWLRQ!IORZ:KHQXVLQJWKH ouling a e
(TWKHRUGHUZDVIUHTXHQF !LQWHUDFWLRQEHWZHHQIORZDQGGXUDWLRQ$QGZKHQXVLQJWKH
emo able ouling(TWKHLQWHUDFWLRQEHWZHHQIUHTXHQF DQGIORZLVWKHPRVWLPSRUWDQW
IDFWRUIROORZHGE WKHIUHTXHQF 
0DMRUGLIILFXOWLHVLQWKHVWXG LQJRIPHPEUDQHFOHDQLQJ

3RVVLEOHXQUHOLDELOLW RIFOHDQLQJHYDOXDWLRQSDUDPHWHUV
&OHDQLQJJRRGQHVVJLYHQE SDUDPHWHUVGHULYHGIURPSXUHZDWHUIOX[PHDVXUHPHQWVDUHQRW
DOZD VLQDFFRUGDQFHZLWKWKHUHVXOWVREWDLQHGE RWKHUPRUHSUHFLVHPHWKRGVEDVHGRQFKHPLFDO
RU SK VLFDO VXUIDFH DQDO VLV VXFK DV )7,5 RU /RZU  >   @ )RU LQVWDQFH
3DXJDPe al.>@REVHUYHGIRU3(6PHPEUDQHVIRXOHGZLWKVNLPPLONWKDWWKHwa e lux
eco e yRIWKHVHYHUDOFOHDQHUVLQFUHDVHGIROORZLQJWKHWUHQGR[RQLDDFWLYH393LRGLQHZDWHU
ULQVLQJR[RQLDVRGLXPSHUERUDWH1D2+1D&O2ZKHUHDVZKHQWKHUHVLGXDOSURWHLQGHSRVLWV
ZHUHDQDO ]HGWKHFOHDQHUVJDYHKLJKHUUHPRYDOIROORZLQJDGLIIHUHQWRUGHU393LRGLQHZDWHU
ULQVLQJR[RQLDR[RQLDDFWLYHVRGLXPSHUERUDWH1D2+1D&O2DVGHSLFWHGLQ)LJ
&KDSWHU


)LJWa e lux eco e yDQGUHVLGXDOTXDQWLW RISURWHLQPHDVXUHGE $75)7,5RQ
DIODW3(6PHPEUDQHIRXOHGZLWKVNLPPLONDIWHUWKHULQVLQJDQGWUHDWPHQWZLWKYDULRXVR[LGDQWV
7DNHQIURP3DXJDPe al.>@
,QWKLVUHJDUG3HWUXVe al.>@UHSRUWHGWKDWIRU3(6PHPEUDQHVIRXOHGZLWKDQHTXLPRODU
PL[WXUHRI%6$DQGE/*DQGWKHQFOHDQHGZLWKSURWHLQDVHW SH0 WKH cleaning e iciency
FDOFXODWHGZLWKUHVLVWDQFHVZDVGLIIHUHQWIURPWKDWHVWLPDWHGZLWKWKHDPRXQWVRIH[WUDFWHGSURWHLQ
)LJ  (YHQ WKRXJK FOHDQLQJ HIIHFWLYHQHVV WUHQGV ZHUH LGHQWLFDO ZKHQ JRRGQHVV ZDV
GHWHUPLQHGWKURXJKWKH/RZU PHWKRGLWZDVDOZD VKLJKHUWKDQWKDWXVLQJWKHcleaning e iciency
SDUDPHWHU

)LJCleaning e iciencyRISURWHLQDVH0DVDIXQFWLRQRIFOHDQLQJWLPHIRUPHPEUDQHV
IRXOHGDIWHUILOWUDWLQJDSURWHLQPL[WXUHIRUKDQGK&ORVHGV PEROVDUHWKRVH
HYDOXDWHGZLWK(TDQGRSHQV PEROVFRUUHVSRQGWRWKHUHVXOWVIURPWKH/RZU DQDO VLV
/LQHVDUHRQO JXLGHVIRUWKHH H$GDSWHGIURP3HWUXVe al.>@














5HVLGXDOSURWHLQ
P
JFP


:DWHUIOX[UHFRYHU






 
&OHDQLQJHIILFLHQF 
&OHDQLQJWLPHPLQ
&OHDQLQJRI8)PHPEUDQHV$UHYLHZ

:LWKUHJDUGWRWKHVDQLWL]DWLRQLQOLWHUDWXUHGHDOLQJZLWKFKHHVHZKH >@
LWZDVIRXQGWKDWWKHUHGXFWLRQRIWKHPLFURRUJDQLVPSRSXODWLRQZDVQRWDOZD VUHOLDEOHZLWKWKH
RUGLQDU FOHDQLQJSURFHVVHVDQGVXJJHVWHGWKHXVHRIHOHFWURO ]HGZDWHURUFKORULQDWHGGLVLQIHFWDQWV
IRUIXUWKHUVDQLWL]DWLRQ
&KHPLFDOFOHDQLQJRI%6$
.LPe al.>@HPSOR HGZW+&O1D2+6'6DQG&7$%VROXWLRQVWRFOHDQN'D
36XPHPEUDQHVDIWHUILOWHULQJD%6$VROXWLRQDWS+DQG7KH esis ance emo alsZLWKWKHDFLG
WKHDONDOLDQGWKH6'6ZHUHORZHUIRUWKHPHPEUDQHIRXOHGDWS+WKDQDWS+OLNHO GXHWRWKH
QHWSURWHLQFKDUJH]HURDWDQGQHJDWLYHDWS+!$WS+ERWK1D2+DQG+&OZHUHHTXDOO 
JRRGJLYLQJ esis ance emo alsDURXQG&7$%DQG6'6ZHUHQRWVRHIILFLHQWJLYLQJYDOXHV
RIDQGUHVSHFWLYHO +RZHYHUZKHQIRXOLQJZDVFRQGXFWHGDWS+&7$%ZDVWKHPRVW
HIIHFWLYHZLWKDFOHDQLQJHIIHFWLYHQHVVVOLJKWO KLJKHUWKDQWKDWDWS+
8VLQJN'D3(6PHPEUDQHVIRXOHGDWS+.X]PHQNRe al.>@WHVWHGLQGLYLGXDOO 
1D2+±SSP1D&O2±SSPRIIUHH&ODQG+2±SSPIRU
PLQWa e lux eco e iesIROORZHGWKHRUGHU1D&O2!1D2+!ULQVLQJZLWKGLVWLOOHGZDWHU!
QRFOHDQLQJ!+2&RQFHQWUDWLRQZDVRQO LPSRUWDQWLQWKHFDVHRIWKH1D&O2VROXWLRQEHFDXVH
WKHKLJKHUWKHDPRXQWRIIUHHFKORULQHWKHKLJKHUWKHwa e lux eco e yPRUHWKDQLQ
VRPHFDVHV7KHLPSURYHPHQWGXHWR1D2+ZKHQFRPSDUHGZLWKWKHZDWHUULQVLQJZDVYHU ORZ
RQO RILQDFFRUGDQFHWRWKHFOHDQLQJHIIHFWLYHQHVVRI.LPe al.>@DWS+7KHZRUNRI
=KX DQG 1 VWURP >@ ZDV DOVR LQ DJUHHPHQW ZLWK WKH S+ GHSHQGHQFH SRLQWHG RXW E 
.LPe al.>@7KH IRXOHGK GURSKRELF36XPHPEUDQHVDWS+ILQGLQJWKDWZW1D2+
SHUIRUPHGVOLJKWO EHWWHUWKDQ1D&O2ZLWKwa e lux eco e iesDURXQGZKLOHFLWULFDFLG
DQGR[DOLFDFLGJDYHUHVXOWVRIORZHUWKDQWKRVHRIWKHK GUR[LGHDQGK SRFKORULWHEXWKLJK
LQDEVROXWHWHUPV7KHS+RIWKHFOHDQLQJVROXWLRQVGLGQRWLQIOXHQFHYHU PXFKWKHUHVXOWV
EHFDXVH1+2+ZDVDOVRWHVWHGDQGDwa e lux eco e yZDV
3ODWWDQG1 VWURP>@IRXOHG36XPHPEUDQHVZLWK%6$VROXWLRQVDWS+WRREXWIRXQG
WKDWWKH1D2+VROXWLRQZDVQRWYHU HIIHFWLYHJLYLQJDwa e lux eco e yRI
2QO WKHRIWKHFRPPHUFLDODFLGLFFOHDQHU))LOWHU9+DQGRIWKHDQLRQLFVXUIDFWDQW
0HUVRODW:JDYHORZHUSURWHLQUHPRYDOV+RZHYHULIWKHVDPHFRQFHQWUDWLRQVRI1D2+DQG
0HUVRODWZHUHPL[HGWRJHWKHUZLWKRI('7$WKHwa e lux eco e yUHDFKHGWKH
DQGWKH$PLGR%ODFNWHVWJDYHWKHVDPHLQWHQVLW WKDWWKHFRPPHUFLDODONDOLQHDJHQW))LOWHU(
ZKLFKLWVwa e lux eco e yZDV7KHDXWKRUVH[SODLQHGWKDWWKHFKDQJHLQS+GXHWRWKH
1D2+LQFUHDVHVWKHHOHFWURVWDWLFUHSXOVLRQEHWZHHQWKHSURWHLQVGLVUXSWLQJWKHIRXODQWSDFNLQJ
EXWLWLVQHHGHGWKDWWKHFRQWDFWEHWZHHQWKHSURWHLQDQGWKHK GUR[LGHKDGWREHLPSURYHGE 
GHFUHDVLQJWKHVXUIDFHWHQVLRQE DGGLQJWKHVXUIDFWDQW,QDGGLWLRQWKLVVXUIDFWDQWLVDOVRDGVRUEHG
WRWKHSURWHLQLQFUHDVLQJLWVFKDUJHDQGVROXELOLW 

&KDSWHU

&7$%LVQRWWKHRQO FOHDQHUZKLFKLWVFOHDQLQJHIIHFWLYHQHVVLQFUHDVHVZKHQWKHIRXOLQJ
S+ULVHVIURPWR0XxR]$JXDGRe al.>@REVHUYHGWKDW7$=DQGWKHVHTXHQFH
Į&7&7$%ZLWKRXWKRWZDWHUULQVLQJEHWZHHQWKHVWHSVSHUIRUPHGEHWWHUZKHQWKHIRXOLQJ
KDGEHHQFDUULHGRXWDWWKHKLJKHVWS+XVLQJDVLPLODUPHPEUDQHWRWKDWRI.LPe al.>@
1HYHUWKHOHVVRWKHUPRGLILFDWLRQVRIWKHĮ&7&7$%VHTXHQFHYDU LQJVXUIDFWDQWFRQFHQWUDWLRQV
RUIUHTXHQF RIWKHKRWZDWHUULQVLQJZHUHPRUHHIIHFWLYHDWWKHORZHVWS+
&KHPLFDOFOHDQLQJRIIRXOLQJIURPRLO ZDVWHZDWHU
5HVXOWV YDU  ZLGHO  IURP RQH DXWKRU WR DQRWKHU 3$1 PHPEUDQHV IURP WKH VWXGLHV RI
6DODKLe al.>@ZHUHFRQVLGHUDEO ZHOOFOHDQHGE DPL[WXUHRI6'6('7$DWS+ZKLOH
WKH wa e lux eco e y a ios RI LQRUJDQLF DFLGV VXFK DV +62 +&O +12 DQG
SHUR[RPRQRSKRVSKRULF DFLG +32 ZHUH QHJDWLYH 2Q WKH RWKHU KDQG WKH IRXOLQJ RI WKH
36XPHPEUDQHVRI/LQGDXDQG-RQVVRQ>@ZDVEHWWHUUHPRYHGZLWK8OWUDVLODPL[WXUHRI
+12DQGSKRVSKRULFDFLGWKDQZLWK8OWUDVLO1D('7$1D2+DQLRQLFDQGQRQLRQLF
VXUIDFWDQWV1HYHUWKHOHVVZKHQDWZRVWHSFOHDQLQJZDVSHUIRUPHGWKH-:&REWDLQHGZDVKLJKHU
ZLWKWKHVHTXHQFH8OWUDVLO8OWUDVLODFLGLFWKDQZLWK8OWUDVLO8OWUDVLO
(Q] PDWLFFOHDQLQJUHPDUNV
0DDUWHQVe al.>@QRWHGWKDWIRUWKHFOHDQLQJRID36XPHPEUDQHIRXOHGZLWKDQDEDWWRLU
HIIOXHQWDPL[WXUHRIWKHFRPPHUFLDODJHQWV$OND] PHDQG= PH[ERWKZLWKSURWHRO WLFDFWLYLW 
JDYHSURWHLQDQGOLSLGFRQWHQWUHGXFWLRQVRIDQGUHVSHFWLYHO 7KHSURWHLQUHPRYDO
ZDVFRQVLGHUDEO KLJKHUWKDQWKDWREWDLQHGZLWK6'67ULWRQ;OLSDVH$DQGSURWHDVH$EXW
WKHOLSLGUHPRYDOZDVFRPSDUDEOHWRWKDWRIWKHSURWHDVH$DQG6'6
7KHFRPPHUFLDO7$=ZDVDOVRPRUHHIIHFWLYHWKDQ1D2+RU+&OUHPRYLQJWKHH[WUDFWVRI
VR  IORXU >@ DQG PRUH VXLWDEOH WKDQ &7$% IRU PHPEUDQHV IRXOHG DW S+  DQG  ZLWK
UHFRQVWLWXWHGZKH SURWHLQDQG%6$>@
+RZHYHUHQ] PHVRUIRUPXODWHGFOHDQHUVFRQWDLQLQJWKHPGRQRWQHFHVVDULO SHUIRUP
EHWWHUWKDQRWKHUUHDJHQWVLQDOOWKHV VWHPV)RUH[DPSOH&RROEHDUe al.>@DFKLHYHGDKLJKHU
ZDWHUIOX[DW&ZLWK1D2+('7$WKDQZLWKWKHThe mus7SURWHLQDVHDIWHUWKHFOHDQLQJ
RIPHPEUDQHVZKLFKKDGSURFHVVHGZKH 
&KHQe al.>@REVHUYHGWKDWVXUIDFWLQIRXOHG3(6PHPEUDQHVWUHDWHGZLWK1D2+DW
S+ZHUHPRUHFOHDQHGWKDQWKRVHWUHDWHGZLWK7$=$OWKRXJKLIWKHS+RI1D2+ZDVORZHUHG
WRWKH7$=JDYHEHWWHUUHVXOWV
/LSQL]NLe al.>@FRPSDUHGWKUHHPHWKRGVZLWKWZRRUWKUHHVWHSVHQ] PDWLFFDXVWLF
FDXVWLFDFLGFDXVWLF DQG FDXVWLFHQ] PDWLFFDXVWLF REWDLQLQJ WKH VDPH   pe meabili y
&OHDQLQJRI8)PHPEUDQHV$UHYLHZ

eco e y LQ VSLUDO PHPEUDQHV IRXOHG ZLWK SURWHLQV 1RQHWKHOHVV WKH WZRVWHS PHWKRG ZDV
HFRQRPLFDOO DQGHQYLURQPHQWDOO EHWWHU
7KHKLJKHUHIIHFWLYHQHVVRIVXUIDFWDQWVRYHUHQ] PDWLFFOHDQHUVLQVRPHFDVHVZDVSRLQWHG
RXWE WKHZRUNRI0HQGR]D5RFDe al.>@ZKRIRXQGWKDWN'DPHPEUDQHVIRXOHGZLWK
XQKDLULQJZDVWHZDWHUIURPDWDQQHU ZHUHPRUHHIIHFWLYHO FOHDQHGE 6'6WKDQE 5LEHU]LP
03;'HIDWRUDELQDU PL[WXUHRIERWKZLWK1D('7$&KHQe al.>@UHSRUWHGWKDWLQ36X
DQG3(6PHPEUDQHVIRXOHGZLWK%6$E/*DQGZKH UHVSHFWLYHO WKHwa e lux eco e iesDW
WKHRSWLPXPFRQFHQWUDWLRQIROORZHGWKHGHFUHDVLQJRUGHU6'6!3URWHDVHRU7$=!1D2+!+&O
0DDUWHQVe al.>@DOVRVDZWKDW7ULWRQ;DQG6'61D2+JDYHEHWWHUFOHDQLQJWKDQ
FHOOXODVH]XP ] PH DQG SHUR[LGDVH IRU WUHDWLQJ 3(6 PHPEUDQHV IRXOHG ZLWKSXOS DQG SDSHU
HIIOXHQW1HYHUWKHOHVVLIWKDWPHPEUDQHZDVFRDWHGZLWK3OXURQLF)SUHYLRXVO WRWKHILOWUDWLRQ
FHOOXODVHDQG]XP ] PHZHUHEHWWHUWKDQWKHPL[WXUH6'61D2+7KLVLVDQRWKHUSUREHWKDWWKH
PHPEUDQHFKDUDFWHULVWLFVGUDPDWLFDOO FRQGLWLRQHGWKHFOHDQLQJ LHOG
7KHDGGLWLRQRIVXUIDFWDQWWRWKHHQ] PHVHQKDQFHVWKHLUFOHDQLQJDELOLWLHV>
@ 7KH DIRUHPHQWLRQHG 0DDUWHQV e al. >@ UHSRUWHG WKDW WKH PL[WXUH RI /LSDVH $ 
7ULWRQ ; JDYH UHVXOWV YHU  FORVH WR WKH PL[WXUH RI $OND] PH DQG = PH[ 7KH VHTXHQWLDO
FRPELQDWLRQRIĮ&7DQG&7$%DOVRZRUNHGEHWWHUWKDQWKHLQGLYLGXDOUHDJHQWV>@
3K VLFDOFOHDQLQJSURWRFROV
7KHPDLQREMHFWLYHRI%:LVWRUHGXFHWKHIUHTXHQF RIFKHPLFDOFOHDQLQJEHFDXVHWKHXVH
RIFKHPLFDOUHDJHQWVLVW SLFDOO FXPEHUVRPH,WUHTXLUHVWKHVKXWGRZQRIWKHPHPEUDQHXQLWIRU
VHYHUDOKRXUVDQGPD DIIHFWWKHPHPEUDQHOLIHWLPH>@+RZHYHU%:FRQVXPHVSHUPHDWHDQG
LQFUHDVHVGRZQWLPHSHULRGVIRULWVDSSOLFDWLRQERWKRIZKLFKUHGXFHWKHRYHUDOOSODQWFDSDFLW 
7KXVDQRSWLPL]DWLRQRI%:GXUDWLRQIUHTXHQF DQGIORZRUSUHVVXUHKDVWREHGRQHLQRUGHUWR
REWDLQWKHPD[LPXPQHWSHUPHDWHYROXPH>@RUQHWVWHDG VWDWH-)>@
,QWKLVUHJDUGYDQGH9HQe al.>@DOVRSURSRVHGWRFDUU RXWWKH%:RQO DWWKHILQDO
SDUWRIDKROORZILEHUPRGXOHSDUWLDO%:ZRUNLQJLQ'(ILOWUDWLRQPRGHEHFDXVHIRXODQWVDUHQRW
HTXDOO GLVWULEXWHRYHUWKHOHQJWKRIWKHPRGXOH+RZHYHUWKHUHLVQRW³DSULRUL´DZD WRNQRZLI
WKHIRXODQWVDUHPRUHFRQFHQWUDWHGDWWKHHQGRIWKHPRGXOHRUDORQJLW
6RPHWLPHVFKHPLFDOVDUHDGGHGWRWKHSHUPHDWHLQRUGHUWRDYRLGELRIRXOLQJRUWRLPSURYH
WKH%:HIILFLHQF >@7KLVDGGLWLRQDOVRDOORZVORZHULQJWKH%:IUHTXHQF WKHYHORFLW DQGWKH
%:GXUDWLRQ>@DQGFDQPRGLI WKHFRQFOXVLRQVLIV QWKHWLFVROXWLRQVDUHILOWHUHGLQVWHDGRIUHDO
SURFHVVVWUHDPV>@
$FFRUGLQJWR<He al.>@%:UHPRYHVQRWRQO WKHUHYHUVLEOHIRXODQWVEXWDOVRPRGLILHV
WKHVWUXFWXUHRIWKHGHSRVLWVPDNLQJ ouling a eFKDQJHIURPF FOHWRF FOH7KLVLVLQDJUHHPHQW
ZLWKWKHILQGLQJVRI=KHQJe al.>@ZKRUHSRUWHGWKDWZKHQILOWHULQJWHUWLDU HIIOXHQWVWKH
&KDSWHU

DFWLYLW RIWKH+2ZKHQXVHGLWZLWKWKH%:ZDWHUZDVKLJKHUWKDQZKHQXVHGLWDVPHUHD
FKHPLFDOFOHDQHUDIWHUVHYHUDO8)%:F FOHV/DWHURQ5HVRVXGDUPRe al.>@FRQILUPHGWKLV
VWUXFWXUHFKDQJHE WKHDQDO VLVRIWKHIRXOLQJOD HUVWKURXJKPDVVPHDVXUHPHQWVLQGXFWLYHO 
FRXSOHG SODVPD RSWLFDO HPLVVLRQ VSHFWURVFRS  ,&32(6 DQG OLTXLG FKURPDWRJUDSK  RUJDQLF
FDUERQGHWHFWRU/&2&'
))LVUDUHO HPSOR HGDORQHEXWXVXDOO FRPELQHGZLWK%:EHFDXVHLWLVRQO DEOHWR
UHPRYHWKHIRXOLQJRQWKHPHPEUDQHVXUIDFHDQGQRWWKDWLQVLGHWKHSRUHV))YHORFLW DQGGXUDWLRQ
FDQEHDGMXVWHGWRLPSURYHwa e lux eco e yJHWWLQJDOPRVWDFRPSOHWHUHPRYDORIWKHWXUELGLW 
EXWLI%:LVDSSOLHGULJKWDIWHUWKHWXUELGLW LQFUHDVHVDJDLQEHFDXVHRIWKHPHQWLRQHGSRUHUHODWHG
IRXODQWV>@
7ZRRUWKUHHVWHSVSURFHGXUHVFRQVLVWLQJLQ%:IROORZHGE ))))IROORZHGE %:RU
%:IROORZHGE ))DQGWKHQ%:DJDLQLPSURYHWKHIOX[UHFRYHU RI%:RU))DORQH>@
7KHEHVWVWUDWHJ LVDSSO LQJ))DIWHU%:EHFDXVH))IOXVKRXWGHEULVUHVXOWLQJIURP%:DQG
EUHDNXSWKHIRXOLQJOD HUZHDNHQHGEXWQRWWRWDOO UHPRYHGE WKH%:,QWKHRSSRVLWHVHTXHQFH
)) GRHV QRW VHHP VR JRRG UHPRYLQJ WKH IRXOLQJ OD HU ZLWKRXW ZHDNHQLQJ LW SUHYLRXVO  ZLWK
%:>@
7KHULJKWFRPELQDWLRQRI))%:DQDLUEXEEOLQJFDQJUHDWO UHGXFHWKHSHUPHDELOLW GURS
DQGWKHHQHUJ FRQVXPSWLRQZKHQFRPSDUHGWRWKHDLUDVVLVWHG%:ZKLFKLQWXUQLVEHWWHUWKDQ
FXVWRPDU %:>@+RZHYHUVRPHWLPHVWKHLQFUHDVHLQ-)GRHVQRWFRPSHQVDWHWKH
HQHUJ FRQVXPSWLRQGXHWRWKHDLU>@
$GGLWLRQDO WHFKQLTXHV KDYH EHHQ GHYHORSHG LQ RUGHU WR LPSURYH WUDGLWLRQDO SK VLFDO
FOHDQLQJPHWKRGV)RULQVWDQFHSUHVVXUHSXOVLQJZKLFKFRQVLVWVLQFORVLQJWKHSHUPHDWHYDOYHDW
JLYHQWLPHLQWHUYDOVZDVXVHGWRUHGXFHG%:IUHTXHQF .HQQHG e al.>@SUREHGWKDWWKHXVH
RISUHVVXUHSXOVHVHYHU PLQIRUVLQFRPELQDWLRQZLWKFRQYHQWLRQDO%:DOORZHGUHGXFLQJWKH
%:IUHTXHQF ,QDGGLWLRQ-DFREVe al.>@VKRZHGWKDWFRPELQDWLRQVRIUHYHUVHSUHVVXUH%:
))DQGUHYHUVHSUHVVXUHSXOVDWLRQVZHUHDEOHWRFOHDQSDUWRIWKHK GUDXOLFDOO LUUHYHUVLEOHIRXOLQJ
OHIWE FRQYHQWLRQDO%:DQGFRXOGRSHUDWHIRUORQJWLPHZLWKRXWFKHPLFDOFOHDQLQJ
&RQFHUQLQJ WKH DSSOLFDWLRQ RI XOWUDVRXQGV IRU PHPEUDQH FOHDQLQJ
0XWKXNXPDUDQe al.>@VXFFHVVIXOO DSSOLHGWKHPIRUWKHWUHDWPHQWRI36XPHPEUDQHVIRXOHG
ZLWKZKH 7KHFOHDQLQJHIIHFWLYHQHVVDVIXQFWLRQRIWKHZDWHUS+DGMXVWHGZLWK1D2+DQGD
PL[WXUH RI  QLWULFRUWKRSKRVSRULF DFLG WKH 6'6 FRQFHQWUDWLRQ WKH 703 WKH &)9 RU WKH
WHPSHUDWXUH ZDV VLPLODU DQG TXDOLWDWLYHO  LQGHSHQGHQW RI WKH XVH RU QRW RI XOWUDVRXQGV
1HYHUWKHOHVVLQDOOWKHFDVHVWKHUHZDVDQHQKDQFHPHQWLQFOHDQLQJJRRGQHVVGXHWRWKHXOWUDVRQLF
LUUDGLDWLRQDWN+]DQG:2WKHUUHVHDUFKHUVKDVDOVRSRLQWHGRXWWKLVLPSURYHPHQWLQWKH
DFWLRQRI('7$>@1D2+>@FLWULFDFLG>@1D&O2>@DQGHYHQRI))>@ZKHQ
XVLQJXOWUDVRXQGV
&OHDQLQJRI8)PHPEUDQHV$UHYLHZ

:KHQYDU LQJWKHXOWUDVRQLFIUHTXHQF EHWZHHQDQGN+].RED DVKLe al.>@
IRXQGWKDWWKHORZHVWIUHTXHQF JDYHWKHEHVWUHPRYDORISHSWRQHUHVLGXHVRQ36XPHPEUDQHVLQ
DJUHHPHQWZLWKWKHZRUNVRI&DLe al.>@1J e al.>@/XMDQ)DFXQGRe al.>@DQG
0DVNRRNLe al.>@ZKRIRXOHG3(6PHPEUDQHVZLWKGH[WUDQVKXPLFDFLG%6$DQGVNLPPLON
UHVSHFWLYHO +RZHYHU0DVNRRNLe al.>@DOVRWHVWHGDPL[HGZDYHLQZKLFKWKHV VWHPZDV
VHWWRVZLWFKEHWZHHQDQGN+]IUHTXHQFLHVHYHU PLQDWFRQVWDQWSRZHUDQGUHVXOWV
ZHUHEHWWHUWKDQWKRVHDWDFRQVWDQWIUHTXHQF RIN+]
2QWKHRWKHUKDQGIL[LQJWKHIUHTXHQF DWN+]WKHwa e lux eco e yLQFUHDVHGZLWK
WKHXOWUDVRQLFSRZHUYDULHGIURPWR:IRUWKHFOHDQLQJRI3(6PHPEUDQHVIRXOHGZLWKD
5DGL[DVWUDJDOXVH[WUDFWEXWLWVHHPVWRWHQGWRDSODWHDX>@0RUHRYHUWKLVLPSURYHPHQWFDXVHG
E XOWUDVRQLFSRZHUZDVPXFKJUHDWHUWKDQWKRVHLQGXFHGE DWHPSHUDWXUHULVHRUDIUHTXHQF 
GHFUHDVH>@1RQHWKHOHVVKLJKXOWUDVRQLFSRZHUVDQGRUKLJKVRQLFDWLRQ WLPHVPD OHDGWR
PHPEUDQHGDPDJH>@
3HUIRUPDQFHRIVHYHUDOF FOHVRIIRXOLQJFKHPLFDOFOHDQLQJ
7ZRF FOHVRIILOWUDWLRQFOHDQLQJZHUHFDUULHGRXWE 7UDQ+De al.>@DQGE 0XxR]
$JXDGRe al.>@RQ36XPHPEUDQHV7KHILUVWUHVHDUFKHUVHPSOR HG&7$%WRUHPRYHUHPDLQV
RIUHFRQVWLWXWHGZKH SURWHLQDQGWKHVHFRQGRQHVXVHG7$=DQGWKHVHTXHQFHĮ&7&7$%WR
FOHDQ %6$ RU UHFRQVWLWXWHG ZKH  SURWHLQ 7KH  IRXQG WKDW WKH GURS RI -:&DIWHUWKHILUVW
IRXOLQJFOHDQLQJF FOHZLWKUHVSHFWWRWKHSHUPHDWHIOX[EHIRUHWKHIRXOLQJZDVJUHDWHUWKDQWKDW
DIWHU WKH VHFRQG F FOH ,Q DGGLWLRQ .LP e al. FRQVLGHUHG WKUHH F FOHV RI %6$ ILOWUDWLRQ+&O
FOHDQLQJ>@DQGIRXUF FOHVRI%6$ILOWUDWLRQ1D2+FOHDQLQJ>@DQGWKHUHZDVDJDLQD
JUHDWHUZDWHUIOX[GURSDIWHUWKHiF FOHWKDQWKDWDIWHUWKHi+1F FOHEHLQJWKHPRVWVWHHSGURSWKDW
DIWHUWKHILUVWXVDJHRIWKHPHPEUDQHWRR7KHUHIRUHWKHVHDXWKRUVDVVXPHGWKDWWKHLQLWLDOIOX[
GHFOLQHZDVGXHWRWKHVROXWHPHPEUDQHLQWHUDFWLRQVZKLFKZHUHVWURQJHUWKDQWKHSURWHLQSURWHLQ
LQWHUDFWLRQVSUHGRPLQDQWLQWKHVXEVHTXHQWF FOHV
1RUD]PDQ e al. >@ SRLQWHG RXW WKH VDPH IHDWXUHV RQ WKH PHPEUDQH ZDWHU IOX[
GHWHULRUDWLRQWKDQ.LPe al.>@DIWHUIRXOLQJIRXUWLPHVD3(6PHPEUDQHZLWKZKH SURWHLQ
LVRODWHDQGFOHDQLQJLWIRXUWLPHVZLWKDVHTXHQFHRI1D2++&O+RZHYHUWKH DWWULEXWHGWKH
ORZHUZDWHUIOX[GURSVRIWKHFRQVHFXWLYHF FOHVWRWKHIDFWWKDWWKHVSRWVIRULUUHPRYDEOHIRXOLQJ
ZHUHDOUHDG VDWXUDWHGGXULQJWKHILUVWF FOH
2QWKHRWKHUKDQG-RQHVe al.>@IRXQGQRVXFKFOHDUWUHQGLQWKH-:&UHGXFWLRQWKURXJK
DIRXUF FOHH[SHULPHQWFRQVLVWLQJLQILOWUDWLQJDVSHQWVXOSKLWHOLTXRUWKURXJKD)3PHPEUDQHDQG
WKHQDFOHDQLQJVWHSZLWK1D2+0RUHRYHUWKHIRXUF FOHVRIILOWUDWLRQDQGFOHDQLQJSHUIRUPHGE 
6DKD DQG %DODNULVKQDQ >@ RQ D 3(6 8) PHPEUDQH UHPDUNHG WKH GLIILFXOW  RI PDNLQJ
JHQHUDOL]DWLRQV,QWKHLUZRUN-:&LQFUHDVHGIURPF FOHWRF FOHLIWKHIHHGZDVVXJDUFDQHMXLFH
&KDSWHU

EXWGHFUHDVHGLIRQO WKHSRO VDFFKDULGHIUDFWLRQRIWKHMXLFHZDVILOWHUHG7KHFKHPLFDOFOHDQHU
ZDVDPL[WXUHRI1D2+DQG1D&O2IRUERWKIHHGV
7KH FRPSDULVRQ EHWZHHQ VHYHUDO FOHDQHUV LV DOVR F FOHGHSHQGHQW )RU H[DPSOH ZKHQ
OLJQRVXOSKRQDWHVZHUHILOWHUHGIRUILYHWLPHVXVLQJD3(6PHPEUDQHDQGWKHPHPEUDQHZDVFOHDQHG
DIWHUHDFKILOWUDWLRQWKHUDWLREHWZHHQWKHVWHDG VWDWH-)GXULQJWKHILOWUDWLRQDQGWKHSHUPHDWHIOX[
DWWKHEHJLQQLQJRIWKHF FOHUHPDLQHGFRQVWDQWZKHQXVLQJ8OWUDVLOIURPWKHVHFRQGWR
WKHODVWF FOH+RZHYHULWGHFUHDVHGIURPLQWKHVHFRQGF FOHWRLQWKHILIWKF FOHZKHQ
XVLQJ+12>@2QWKHRWKHUKDQGZKHQILOWHULQJVSHQWVXOSKLWHOLTXRUWKURXJK3(6DQG36X
PHPEUDQHVDQGFOHDQLQJWKHPZLWK8OWUDVLORU1D2+WKHFKDQJHVRIWKHVWHDG VWDWHSHUPHDWH
IOX[-)ZHUHVOLJKWIURPWKHILUVWWRWKHVHFRQGF FOHDQGXQWLOWKHVL[WKF FOHWKHVHSHUPHDWHIOX[
UHGXFWLRQV ZHUH VLPLODU IRU ERWK FOHDQHUV +RZHYHU IURP WKH HLJKWK WR WKH ILIWHHQWK F FOH
8OWUDVLOJDYHORZHUUHGXFWLRQWKDQWKH1D2+>@:HLVe al.>@DOVRHPSOR HG8OWUDVLO
DQG1D2+WRFOHDQ3(6DQG5&PHPEUDQHVIRXOHGZLWKVSHQWVXOSKLWHOLTXRU$VIRUWKH3(6
PHPEUDQHV1D2+DQG8OWUDVLOJDYHVWHDG VWDWHSURGXFWIOX[HV-)YHU VLPLODUDIWHUVHYHUDO
F FOHVEXWWKHSXUHZDWHUIOX[HV-:&GHFUHDVHGIURPF FOHWRF FOHZLWKWKH1D2+XQWLOUHDFKLQJ
DFRQVWDQWYDOXHDIWHUWKHVHYHQWKF FOH:LWKWKH8OWUDVLOWKH-:&LQFUHDVHGIURPF FOHWRF FOH
EHLQJKLJKHUWKDQWKHSXUHZDWHUIOX[RIWKHSULVWLQHPHPEUDQH-:DIWHUWKHWKF FOH)7,5
VKRZHGWKDW8OWUDVLOFRYHUHGWKH3(6VXUIDFHZLWKDVXUIDFWDQWOD HUDIWHUHDFKFOHDQLQJZKLFK
GHFUHDVHGWKHIRXODQWGHSRVLWLRQLQWKHIROORZLQJILOWUDWLRQ&RQFHUQLQJWKH5&PHPEUDQHVDQGWKH
1D2+FOHDQHUERWKWKH-:&DQGWKHVWHDG VWDWHSHUPHDWHIOX[-)GHFUHDVHGZLWKWKHF FOHQXPEHU
DQGUHDFKHGDSODWHDXDIWHUWKHVHYHQWKF FOH:LWK8OWUDVLOWKHWUHQGVDQGWKHILQDOYDOXHRIWKH
SXUHZDWHUIOX[-:&ZHUHWKHVDPHEXW-)ZHQWWKURXJKDPLQLPXPEHIRUHWHQGLQJWRWKHSODWHDX
7KHUHIRUHIRUWKHILUVWF FOHV1D2+ZDVEHWWHUWKDQ8OWUDVLODVORQJDVWKH-)ZDVFRQVLGHUHG
LQVWHDGRIWKH-:&
&RQFOXVLRQV

,Q WKLV VHFWLRQSK VLFDO DQG FKHPLFDO FOHDQLQJ RI SRO PHULF 8)PHPEUDQHVKDVEHHQ
UHYLHZHG7KHILUVWRQHLQFOXGHV))%:DORQHSXOVDWHGRUFRPELQHGZLWKDLUDQGXOWUDVRXQGV
7KHVHSK VLFDOSURFHGXUHVKDYHEHHQDSSOLHGVXFFHVVIXOO QRWRQO DVFOHDQLQJVWHSVWKHPVHOYHV
EXW DOVR DV D ZD  WR UHGXFH WKH IUHTXHQF  RI FKHPLFDO FOHDQLQJ SURFHGXUHVZKLFKDUHPRUH
DJJUHVVLYHIRUWKHPHPEUDQHV7KHFKHPLFDOFOHDQLQJLVFRQVWLWXWHGE DONDOLVDFLGVVXUIDFWDQWV
FKHODWDQWVR[LGL]HUVHQ] PHVGLVLQIHFWDQWVDQGIRUPXODWHGFOHDQHUV%XWWKHUHLVQRWDQDEVROXWH
VFDOHWRGHILQHZKLFKRQHLVWKHEHVWLQWHUPVRIFOHDQLQJHIIHFWLYHQHVV,QIDFWFOHDQLQJJRRGQHVV
RIWKHUHDJHQWVGHSHQGVRQPDQ IDFWRUVZKLFKKDYHEHHQFDUHIXOO GHVFULEHGVXFKDVIRXODQWDQG
IRXOLQJFRQGLWLRQVPHPEUDQHPDWHULDOJHRPHWU DQGVL]HRIWKHV VWHPFOHDQHUFRQFHQWUDWLRQDQG
S+FOHDQLQJWLPHDQGWHPSHUDWXUHDQGWKHLQWHUDFWLRQVDPRQJWKHP7KXVGXHWRWKHFRPSOH[LW 

&OHDQLQJRI8)PHPEUDQHV$UHYLHZ

RIWKHV VWHPVVRPHRSSRVLWHWUHQGVLQWKHUHVXOWVIURPPDQ DXWKRUVZKRVWXGLHGVLPLODUFDVHV
ZHUHIRXQG
7KURXJKRXWWKLVUHYLHZDOOWKHSDUDPHWHUVGHILQHGWRHYDOXDWHFOHDQLQJHIIHFWLYHQHVVKDYH
EHHQJDWKHUHGDQGXQLILHGLQWHUPVRIQRPHQFODWXUHLQRUGHUWRVHUYHDVUHIHUHQFHDQGWRPDNH
HDVLHU UHVXOW FRPSDULVRQ 7KHVH SDUDPHWHUV FDQ EH GLYLGHG LQWRWZR JURXSV GHSHQGLQJ RQ WKH
PHDVXUHG SURSHUWLHV IXQFWLRQDO SURSHUWLHV ZKLFK LQFOXGH IOX[ PHDVXUHPHQWV 703 YDOXHV
SHUPHDELOLWLHVRUUHVLVWDQFHVDQGVXUIDFHSURSHUWLHVZKLFKLQYROYHSK VLFRFKHPLFDODQDO VHVRIWKH
PHPEUDQHV
$OWKRXJKSDUDPHWHUVEDVHGRQIOX[PHDVXUHPHQWVDQG703DUHWKHPRVWHPSOR HGRQHV
WKHLUUHVXOWVDUHQRWDOZD VUHOLDEOHGXHWRLQWHUDFWLRQVRIWKHFOHDQLQJDJHQWZLWKWKHPHPEUDQHRU
ZLWKWKHIRXODQWZKLFKFDQPLVOHDGWKHUHVXOWV,QWKHVHFDVHVPRUHVRSKLVWLFDWHWHFKQLTXHVVXFK
DV6(0$)0RU)7,5DUHVSHFLDOO UHTXLUHG+RZHYHUWKLVWHFKQLTXHVDUHQRWDYDLODEOHLQSODQWV
RSHUDWLQJDWIXOOVFDOHPDLQO EHFDXVHWKH DUHGHVWUXFWLYH
$WSUHVHQWWLPHGXHWRWKHKLJKQXPEHURIIDFWRUVZKLFKDIIHFWVWKHFOHDQLQJJRRGQHVV
WKHUHLVQRWDVWDQGDUGL]HGSURFHGXUHYDOLGIRUDOOWKHFDVHVWRGHYHORSFOHDQLQJSURWRFROV6RIDU
WKHEHVWZD IRXQGWRIDFHWKHSUREOHPLVWKHWULDODQGHUURUPHWKRGJRLQJIURPODEWRIXOOVFDOH
1HYHUWKHOHVVLWVHHPVWKDWWKHQDWXUHRIWKHIRXODQWLVWKHPDMRUDVSHFWWRWDNHLQWRDFFRXQWZKHQ
GHFLGLQJWKHFOHDQLQJVWUDWHJ ZKLFKLQYROYHVFOHDQHUVDQGFRQGLWLRQV
,QRUGHUWRVKRZJHQHUDOWUHQGVLWZDVREVHUYHGWKDW120ZDVPRUHHIILFLHQWO UHPRYHG
IURPPHPEUDQHVE IRUPXODWHGFOHDQHUV1D&O2DQG1D2+:KHQLWFRPHVWRPLFURELDOVSHFLHV
1D&O2JDYHJRRGFOHDQLQJHIIHFWLYHQHVVFLWULFDFLGVKRZHGDPRGHUDWHSHUIRUPDQFHDQG1D2+
DORQHZDVQRWHIILFLHQWEXWPL[HGZLWK1D&O2SHUIRUPHGYHU ZHOO&RQFHUQLQJIRXOLQJIURP
ZDVWHZDWHUVWKHPL[WXUH1D2+1D&O2JDYHWKHEHVWFOHDQLQJ LHOGIROORZHGE WKHPVHOYHV
DORQH0RYLQJRQWRGDLU UHVLGXHVIRUPXODWHGFOHDQHUVVXFKDV8OWUDFOHDQ,,DQG8OWUDVLOZHUH
WKHPRVWHIILFLHQWDERYHWKH1D2+DQGWKH1D&O2LQVRPHFDVHVQHYHUWKHOHVVVXUIDFWDQWVVXFKDV
6'6FDQSOD DQLPSRUWDQWUROHLQWKHUHPRYDOPHFKDQLVPVLQFUHDVLQJHIILFLHQFLHV:LWKUHJDUG
WRWKH%6$WKH1D&O2ZDVDJDLQWKHPRVWHIIHFWLYHIROORZHGE 1D2+EXWLWZDVIRXQGDVWURQJ
LQIOXHQFHRIWKHIHHGS+GXULQJWKHILOWUDWLRQ,QWKHFDVHRIVHYHUDOF FOHVRIIRXOLQJFOHDQLQJ
IRUPXODWHGFOHDQHUVVXFKDV8OWUDVLOWXUQHGRXWWREHPRUHHIILFLHQWLQWKHORQJUXQ
)LQDOO H[WHQVLYHWKHRUHWLFDOZRUNLVQHHGHGQRWRQO IRUFOHDQLQJXQGHUVWDQGLQJEXWDOVR
IRUIRXOLQJFRPSUHKHQVLRQDVFOHDQLQJGHSHQGVRQWKHSUHYLRXVILOWUDWLRQVWDJH,QWKLVUHJDUGWKH
GHYHORSPHQWRIPDWKHPDWLFDOPRGHOVZKLFKZRXOGSURYLGHSDUDPHWHUVWRFRPSDUHWKHGDWDIURP
VHYHUDOUHVHDUFKHVZRXOGEHYHU YDOXDEOHIRUWKHFOHDQLQJSURJUHVV







0DWHULDOVDQGPHWKRGV







0DWHULDOVDQGPHWKRGV

2QWKHRWKHUKDQGWKHLQWULQVLFPHPEUDQHUHMHFWLRQ5PMLQGHSHQGHQWRIWKHIRUPDWLRQRI
DSRODUL]DWLRQOD HUUHODWHVWKHSHUPHDWHFRQFHQWUDWLRQWRWKHFRQFHQWUDWLRQDWWKHPHPEUDQHZDOO
FPM(T
MP
M3
MP F
F
5  
&RQFHQWUDWLRQ SRODUL]DWLRQ SKHQRPHQRQ FDQ EH PDWKHPDWLFDOO  GHVFULEHG E  WKH ILOP
PRGHO>@ZKLFKUHODWHVWKHSHUPHDWHIOX[-WRWKHSHUPHDWHEXONDQGZDOO3(*FRQFHQWUDWLRQV
E PHDQVRIWKHPDVVWUDQVIHUFRHIILFLHQWRIWKHjIUDFWLRQNM0RUHRYHUWDNLQJLQWRDFFRXQWWKH
REVHUYHG DQG WKH LQWULQVLF UHMHFWLRQV ERWK SDUDPHWHUV FDQ EH UHODWHG XVLQJ WKH ZHOONQRZQ
(T>@
MMP
MP
MREV
MREV
N
-
5
5
OQ
5
5
OQ 
¸
¸
¹
·
¨
¨
©
§
¸
¸
¹
·
¨
¨
©
§
7KHPDVVWUDQVIHUFRHIILFLHQWLQPVIRUWKH3(*PROHFXODUZHLJKWIUDFWLRQjLQDVWLUUHG
EDWFKFHOOLVJLYHQE WKH(T>@ZKHUHDjLVWKHEXONGLIIXVLYLW RIWKH3(*PROHFXODU
ZHLJKWIUDFWLRQjULVWKHVWLUUHGFHOOUDGLXVPLVWKHEXONYLVFRVLW ā3DāVDW&
ULVWKHEXONGHQVLW NJPDW&DQGZLVWKHVWLUULQJUDWHUDGV



M
M
Mȝ
UȦȡ

ȡ
ȝ

U
N ¸
¸
¹
·
¨
¨
©
§
¸
¸
¹
·
¨
¨
©
§
¸
¸
¹
·
¨
¨
©
§
D
D
'LIIXVLYLW LQPVRIWKH3(*PROHFXODUZHLJKWIUDFWLRQjLVJLYHQE (T>
@ZKHUH0:MLQNJNPRORU'DLVWKH3(*PROHFXODUZHLJKWRIWKHjIUDFWLRQ

M

M0:ā
D
7KHREVHUYHGPHPEUDQHUHMHFWLRQIRUHDFK3(*PROHFXODUZHLJKWIUDFWLRQjZDVFDOFXODWHG
XVLQJWKHUHIUDFWLYHLQGH[5,VLJQDOVRIWKHSHUPHDWH5,3MDQGWKHEXON5,%MDVFRQFHQWUDWLRQV
5,VLJQDOVDUHSURSRUWLRQDOWRFRQFHQWUDWLRQVDVSUHYLRXVO LQGLFDWHGLQ(T
)LQDOO WKHLQWULQVLFPHPEUDQHUHMHFWLRQIRUHDFK3(*PROHFXODUZHLJKWIUDFWLRQjZDV
FDOFXODWHGDFFRUGLQJWR(TDQGWKHDFWXDO0:&2RIWKHPHPEUDQH GHWHUPLQHG DV WKH
PROHFXODUZHLJKWRIWKHIUDFWLRQjZKLFKKDGDQLQWULQVLFUHMHFWLRQRI
0:&2FRQILGHQFHLQWHUYDOVZHUHFDOFXODWHGIRUWKHPHPEUDQHVLQWKHLURULJLQDOVWDWHDQG
DIWHUWKHDJHLQJ$VVXPLQJDQRUPDOGLVWULEXWLRQRIWKHGHWHUPLQHG0:&2YDOXHVFRQILGHQFH
LQWHUYDOVDUHGHILQHGDVWKHSURGXFWRIWKH6WXGHQW¶VWGLVWULEXWLRQZLWKn-1GHJUHHVRIIUHHGRPDQG
1-Į/2FRQILGHQFHOHYHO n-1, 1-Į/2DQGWKHUDWLREHWZHHQWKHVWDQGDUGGHYLDWLRQSDQGWKHVTXDUH
URRWRIWKHQXPEHURIVDPSOHVnDVVKRZQLQ(T

&KDSWHU

Q
6
W0:&20:&2 
Į
Q

4.4.2.2. Rejec ion capabili y o NF memb anes
6HSDUDWLRQ SHUIRUPDQFH RI 1) PHPEUDQHV ZDV DQDO ]HG ZLWK FKDUJHG DQG XQFKDUJHG
PROHFXODUPDUNHUV)RUWKHILUVWFDVHDVLQJOHVDOWVROXWLRQRI1D620ZDVXVHG)RUWKH
VHFRQGRQHDPL[WXUHRIJOXFRVHDQGVXFURVHZLWKGLIIHUHQW0:DWDQLQGLYLGXDOFRQFHQWUDWLRQ
RI0ZDVXVHG
:RUNLQJLQGHDGHQGPRGHSHUPHDWHVDPSOHVZHUHWDNHQDIWHUFROOHFWLQJDSSUR[LPDWHO 
P/RISHUPHDWHVRFRQVWDQWFRQFHQWUDWLRQLVFRQVLGHUHG,QFURVVIORZPRGHILOWUDWLRQVZHUH
FRQGXFWHGLQWRWDOUHFLUFXODWLRQPRGHDQGSHUPHDWHDQGIHHGVDPSOHVZHUHWDNHQDIWHUPLQRQFH
WKHVWHDG VWDWHZDVUHDFKHG
,QDOOFDVHVDQGIRUERWKFKDUJHGDQGXQFKDUJHGVROXWHVWKHREVHUYHGPHPEUDQHUHMHFWLRQ
ZDVGHWHUPLQHGWKURXJKWKH(T
7KH VDOW VROXWLRQ VDPSOHV ZHUH DQDO ]HG ZLWK D FRQGXFWLYLW  PHWHU 6HYHQ0XOWL IURP
0HWWOHU7ROHGR2KLR86$DW&ZKHUHDVWKHXQFKDUJHGVROXWHVVROXWLRQVZHUHDQDO ]HG
ZLWKDKLJKSHUIRUPDQFHOLTXLGFKURPDWRJUDSK+3/&ZKLFKLVGHVFULEHGLQ³VHFWLRQ´
$75)7,5
)XQFWLRQDOJURXSFRPSRVLWLRQRIERWKDFWLYHDQGVXSSRUWOD HUVRIWKHPHPEUDQHVZHUH
DQDO ]HGE )7,5$756SHFWUDZHUHUHFRUGHGDWURRPWHPSHUDWXUHRQD7KHUPR1LFROHW1H[XV
6SHFWURPHWHU 0DVVDFKXVHWWV 86$ FRXSOHG WR DQ DWWHQXDWHG WRWDO UHIOHFWLRQ DFFHVVRU  ZKLFK
FRQWDLQV WKHRSWLFVWRGLUHFW WKH LQIUDUHGUDGLDWLRQWR WKH ]LQFVHOHQLGH=Q6HFU VWDOZLWKDQ
LQFLGHQWDQJOHRIDQGLQWHUQDOUHIOHFWLRQV(DFK)7,5$75VSHFWUXPFRQVLVWVRIRQHKXQGUHG
PHUJHGVFDQVZLWKDQRPLQDOUHVROXWLRQRIFPLQWKHUHJLRQIURPWRFP$OOVSHFWUD
ZHUHFRUUHFWHGE VPRRWKDQGEDVHOLQHDXWRPDWLFFRUUHFWLRQFRPPDQGVRIWKHGHYLFHVRIWZDUH
201,&DQGWKHQQRUPDOL]HGEHWZHHQDQG
6(0PLFURJUDSKVDQG('6
0RUSKRORJ  RI PHPEUDQHVXUIDFHV ZDV VWXGLHG E  D -(2//9 VFDQQLQJ HOHFWURQ
PLFURVFRSH7RN R-DSDQZKLFKXVHGD:ROIUDPILODPHQWDVHOHFWURQJXQDQGDOORZHGZRUNLQJ
YROWDJHVIURPWRN97KHPLFURVFRSHZDVHTXLSSHGZLWKDQ;0D[VLOLFRQGULIWGHWHFWRU
6''WRFKDUDFWHUL]HWKHHOHPHQWDOFRPSRVLWLRQRIWKHVXUIDFHEDVHGRQWKH('6VSHFWURVFRS 
3UHYLRXVO WRWKH6(0('6FKDUDFWHUL]DWLRQPHPEUDQHVZHUHFRDWHGZLWKJROGWRPDNHWKHP
HOHFWULFDOO FRQGXFWLYH

0DWHULDOVDQGPHWKRGV

$)0
7RSRJUDSK RIWKHDFWLYHDQGVXSSRUWOD HUVRIWKH8)PHPEUDQHVZDVDOVRVWXGLHGWKURXJK
$)0,PDJHVZHUHDFTXLUHGLQWKHWDSSLQJPRGHDWURRPWHPSHUDWXUHZLWKD1DQRVFRSH,,,$
PLFURVFRSHIURP'LJLWDO,QVWUXPHQWVRIWKH9HHFR0HWURORJ *URXS3ODLQYLHZ1HZ<RUN86$
7KHWDSSLQJWLS2O PSXV7027(63$ZDVPDGHRIDQHWFKHGVLOLFRQSUREHZLWKDQDOXPLQXP
FRDWLQJ,WKDGDOHQJWKRIPPZLWKDKLJKDVSHFWUDWLRDQGDQPUDGLXVDWWKHHQGRIWKHWLSWR
PLQLPL]HWKHFRQYROXWLRQRIWKHWLSVKDSHE WKHPHPEUDQHVXUIDFH7KHRVFLOODWLQJIUHTXHQF RI
WKHWLSZDVVHWDWN+]DQGWKHVSULQJFRQVWDQWZDV1P7KHVFDQQHGDUHDVZHUHFDUULHGRXW
RYHUPP[PPPP[PPDQGPP[PPVDPSOHVHFWLRQV
,PDJHVZHUHDFTXLUHGE WKH1DQRVFRSHVRIWZDUHDQGWKH ZHUHSURFHVVHGWRREWDLQWKH
ILQDO'UHSUHVHQWDWLRQV>@7KHVXUIDFHURXJKQHVVZDVDQDO ]HGWKURXJKWKHVRFDOOHGURRW
PHDQVTXDUH506URXJKQHVV5TWKH:HQ]HO¶VFRHIILFLHQWUZDQGWKHSRZHUVSHFWUDOGHQVLW 
36'IUDFWDOGLPHQVLRQGIU
x7KH506URXJKQHVVLVWKHDYHUDJHRIWKHGLIIHUHQFHLQDEVROXWHYDOXHEHWZHHQWKHKHLJKW
DWHDFKiSRLQW]LDQGWKHPHDQKHLJKW]PIRUWKH3SRLQWVWKDWGHILQHWKHVDPSOHDQGLWLV
JLYHQE (T

¦
 3
L

PLT ]]
3

5
x7KH:HQ]HO¶VFRHIILFLHQWFRUUHVSRQGVWRWKHURXJKQHVVUDWLRRUWKHUDWLRRIWKHWUXHDUHDRI
WKHVROLGVXUIDFHWRLWVQRPLQDORUSURMHFWHGDUHDUZ!7KLVFRHIILFLHQWZLOOSOD DUHOHYDQW
UROHDVLWZLOOEHH[SODLQHGEHORZLQWKHFRUUHFWDFFRXQWLQJRIWKHLQIOXHQFHRIURXJKQHVV
RQZHWWDELOLW 
x7KHIUDFWDOGLPHQVLRQRIWKHLPDJHVXUIDFHVLVEDVHGRQWKH36'7KLVPDJQLWXGHLVXVHG
WR WDNH LQWR DFFRXQW KRZ VWURQJO  WKH URXJKQHVV GHSHQGV RQ WKH VFDOH DW ZKLFK LW LV
PHDVXUHG
$PRQJ WKHVH SDUDPHWHUV WKH 36' IUDFWDO GLPHQVLRQ GIU ZHOO GHVHUYHV D GHWDLOHG
H[SODQDWLRQ$QDGHTXDWHPHDVXUHRQWKHVXUIDFHVHOIVLPLODULW >@PDNHVXVHRID)RXULHU
WUDQVIRUPZKRVH36'WDNHVLQWRDFFRXQWWKHWZRGLPHQVLRQDOURXJKQHVVVSHFWUDRIWKHVXUIDFH
>@7KLVVSHFWUXPFDQEHHYDOXDWHGDVIROORZ>@



[

[ ǻıTǻıS]
Ö

/
ʌ
ǻıTǻıSȖTSȖ ¸
¹
·
¨
©
§
 

&KDSWHU

:KHUH
/
ʌ
ǻ 1
ʌ
ǻ[1
ʌ
ǻıǻı [  
:KHUH/LVWKHOHQJWKRIHDFKVLGHRIWKHVFDQQHGVTXDUH1LVWKHQXPEHURISRLQWVDORQJ
HDFKVLGHRIWKHVTXDUH'[DQG' DUHWKHGLVWDQFHEHWZHHQQHLJKERUSRLQWVDORQJHDFKGLUHFWLRQ
RQWKHVFDQQHGDUHDDQG]
ÖLVWKHGLVFUHWHELGLPHQVLRQDO)RXULHUWUDQVIRUPRIWKHKHLJKWZKLFKLV
REWDLQHGDVIROORZ
 
»
¼
º
«
¬
ª
¸
¹
·
¨
©
§
¸
¹
·
¨
©
§
¦
TQSP
1
ʌ
MH[S
1
/
Q
1
/
P]
1
/
ʌ

TS]
Ö
QP

 
:KHUH M  7KHUHIRUH(TFDQEHUHZULWWHQ
   

QP


TQSP
1
ʌ
MH[S
1
/
Q
1
/
P]
1ʌ
/
TSȖȖ »
¼
º
«
¬
ª
¸
¹
·
¨
©
§
¦
V
& 
7KHELGLPHQVLRQDOVSHFWUXP

V
&
ȖRUHYHQEHWWHULWVDYHUDJHRQWKHSRODUDQJOH

ıȖ
ZKHUH
V
V
&
FDQEHUHSUHVHQWHGDQGDOORZVFDOFXODWLQJWKH506URXJKQHVVWKURXJK(T
 
³³ ı
Tıı GȖʌGȖ5
V
V
V
&&
& 
7KHVSDWLDOSXOVDWLRQVKDVWREHLQFOXGHGLQWKHLQWHUYDO
»
¼
º
«
¬
ª
/
ʌ
1
/
ʌ
ı 
7KLVPHWKRGRORJ SURYLGHVYDOXDEOHLQIRUPDWLRQQRWRQO RQWKHKHLJKWGHYLDWLRQRIWKH
URXJKQHVVSURILOHEXWDOVRRQLWVODWHUDOGLVWULEXWLRQ>@
,QDORJDULWKPLFVFDOHWKLVVSHFWUXPKDVDOLQHDUEHKDYLRULQYHU ODUJHUDQJHVDFFRUGLQJ
WR(T
Į
ı
ȕ
Ȗ  

0DWHULDOVDQGPHWKRGV

:KHUHELVDFRQVWDQWDQGDWKHVSHFWUXPVORSH7KLVSRZHUODZLVW SLFDORIIUDFWDOEHKDYLRU
RIURXJKQHVVVHOIDIILQHEHKDYLRU,QWKLVVLWXDWLRQWKHFRUUHVSRQGLQJIUDFWDOGLPHQVLRQFDQEH
HYDOXDWHGDVDIXQFWLRQRIWKHVSHFWUXPVORSH>@XVLQJ(T


Į
GIU

 
&RQWDFWDQJOH
%RWKDFWLYHDQGVXSSRUWOD HUFRQWDFWDQJOHVZHUHGHWHUPLQHGDWURRPWHPSHUDWXUHXVLQJ
WKHVHVVLOHGURSWHFKQLTXHLQD)7$G QDPLFFRQWDFWDQJOHDQDO ]HURI)LUVW7HQcQJVWURPV
3RUWVPRXWK9LUJLQLD86$7KHVKRZQFRQWDFWDQJOHVDUHWKHDYHUDJHIURPWRGURSOHWV)RU
WKHDFWLYHOD HUDGURSOHWRIP/ZDVGHSRVLWHGRQWRLWVVXUIDFHDQGLWZDVREVHUYHGWKDWFRQWDFW
DQJOHLQLWLDOO GHFUHDVHGZLWKWLPHDQGUHDFKHGDSODWHDXEH RQGV7KHUHIRUHWKHDQJOHDWWKLV
WLPHZDVFRQVLGHUHGWKHULJKWYDOXHRIFRQWDFWDQJOH)RUWKHVXSSRUWOD HUDGURSOHWZLWKWKHVDPH
YROXPHZDVXVHGEXWFRQWDFWDQJOHZDVWDNHQDVWKHPHDVXUHGDQJOHDW]HURWLPHLHDWWKHYHU 
PRPHQWLQZKLFKWKHGURSOHWZDVOHIWRQWRWKHVXUIDFHEHFDXVHWKHVXSSRUWSUHVHQWHGDKLJK
DGVRUSWLRQDQGWKHGURSOHWTXLFNO GLVDSSHDUHG,QDGGLWLRQGXHWRWKHKLJKURXJKQHVVRIVXSSRUW
OD HUVDQGWKHLUDGVRUSWLYHFKDUDFWHUFRQWDFWDQJOHVRIWKHVHVXUIDFHVGRQRWFODLPWREHDFWXDO
YDOXHVEXWWKH RIIHUDYDOLGLQVLJKWLQDFRPSDUDWLYHDQDO VLV
7KH:HQ]HOPRGHO>@GHVFULEHVWKHKRPRJHQHRXVZHWWLQJUHJLPHRQDURXJKVXUIDFH
DVVXPLQJWKDWWKHZHWWLQJOLTXLGUHDFKHVIURPSHDNVWRYDOOH VRQWKHVXUIDFHRIWKHZHWWHGVXUIDFH
7KLVOHDGVWRDQDSSDUHQWFRQWDFWDQJOHTDSSH[SHULPHQWDOO REWDLQHGZKLFKLVUHODWHGWRWKHDFWXDO
RU<RXQJFRQWDFWDQJOHT<ZKLFKZRXOGEHPHDVXUHGLIWKHVXUIDFHZDVSHUIHFWO VPRRWKDQGIODW
7KHFRUUHODWLRQEHWZHHQERWKFRQWDFWDQJOHVRQDURXJKVXUIDFHLVJLYHQE (T>@



<:DSS șFRVUșFRV  
7KHUZLVWKHDERYHPHQWLRQHG:HQ]HO¶VFRHIILFLHQW7KLVHTXDWLRQVKRZVDVLWLVZHOO
NQRZQ WKDW ZKHQ WKH VXUIDFH LV K GURSKRELF T< !  URXJKQHVV LQFUHDVHV K GURSKRELFLW 
KLQGHUVZHWWDELOLW EHFDXVHLWLQFUHDVHVWKHFRQWDFWDQJOH,WLVDOVRFOHDUWKDWZKHQWKHVXUIDFHLV
K GURSKLOLFT<URXJKQHVVLQFUHDVHVK GURSKLOLFLW LPSURYHVZHWWDELOLW DVWKHFRQWDFW
DQJOHGHFUHDVHV
,Q VRPH FDVHV WKH HYDOXDWLRQRI FRQWDFWDQJOH ZDVXVHG LQ RUGHU WR SHUIRUP D GHHSHU
DQDO VLVLQYROYLQJWKHFDOFXODWLRQVRIVROLGVXUIDFHHQHUJLHVEDVHGRQWKH/HZLVDFLGEDVHWKHRU 
$FFRUGLQJWR9DQ2VVe al.>@WRWDOVXUIDFHHQHUJLHVJ727DUHWKHUHVXOWRIWKH/LIVKLW]9DQ
GHU:DDOVJ/:DQGSRODUDFLGEDVHJ$%FRQWULEXWLRQV7KHODWWHULVWKHUHVXOWRIWKHJHRPHWULF
&KDSWHU

PHDQRIWKHHOHFWURQDFFHSWRUJDQGWKHHOHFWURQGRQRUJFKDUDFWHU(TLQZKLFKiFDQ
EHHLWKHUVROLGRUOLTXLG

LL
/:
L
$%
L
/:
L
727 ȖȖȖȖȖȖ 
 
i 
7KHZRUNRIDGKHVLRQ:DLVWKHHQHUJ WKDWLVQHFHVVDU WRDSSO LQRUGHUWRVHSDUDWHWZR
LQWHUIDFHVZKLFKLQWKHFDVHRIDVROLGOLTXLGLQWHUIDFHLVJLYHQE (T
727
6/
727
/
727
6D ȖȖȖ:   
:KHUHJ6727DQGJ/727DUHWKHWRWDOVXUIDFHWHQVLRQVRIWKHVROLGDQGWKHOLTXLGUHVSHFWLYHO 
DQGJ6/LVWKHLQWHUIDFLDOWHQVLRQEHWZHHQWKHVROLGDQGWKHOLTXLG$SSO LQJWKH<RXQJ'XSUp
HTXDWLRQWKHZRUNRIDGKHVLRQEHWZHHQWKHVROLGDQGWKHOLTXLGFDQEHFDOFXODWHGDVIXQFWLRQRI
WKHJ/727DQGWKHOLTXLGFRQWDFWDQJOHT<IROORZLQJ(T
»
¼
º
«
¬
ª¸
¹
·
¨
©
§
 <

727
/D șFRVȖ:  
7KHZRUNRIDGKHVLRQFDQDOVREHH[SUHVVHGFRQVLGHULQJWKHWKUHHH[SODLQHGFRPSRQHQWVRI
WKHVROLGVXUIDFHHQHUJ >@ZKLFKOHDGVWRWKH(T


  /6/6
/:
/
/:
6D ȖȖȖȖȖȖ:  
)LQDOO  FRPELQLQJ HTXDWLRQV  DQG  (T  LV REWDLQHG ZKLFK DOORZV
GHWHUPLQLQJWKHWKUHHFRQWULEXWLRQVRIWKHWRWDOVROLGVXUIDFHHQHUJ RIWKHPHPEUDQHJ6/:J6DQG
J6E NQRZLQJJ//:J/DQGJ/RIWKUHHGLIIHUHQWOLTXLGVVXEVFULSWjDQGWKHREWDLQHG RXQJ
FRQWDFWDQJOHZLWKHDFKRQH

>@


   /M6/M6
/:
/M
/:
6<
727
/M ȖȖȖȖȖȖșFRVȖ j  
,WKDVEHHQUHSRUWHG>@WKDWIRUPDPLGHPHWK OHQHLRGLGHDQGZDWHUJLYHJRRGUHVXOWV
ZKHQ LW FRPHV WR HYDOXDWH WKH WRWDO VROLG VXUIDFH HQHUJLHV RI WKH PHPEUDQHV DVZHOO DV WKHLU
FRQWULEXWLRQV/LIVKLW]9DQGHU:DDOVHOHFWURQDFFHSWRUDQGHOHFWURQGRQRUFRQWULEXWLRQVWRJHWKHU
ZLWKWKHWRWDOVROLGVXUIDFHHQHUJLHVRIWKHVHOLTXLGVDUHFRPSLOHGLQ7DEOH
7DEOH/LIVKLW]9DQGHU:DDOVHOHFWURQDFFHSWRUDQGHOHFWURQGRQRUFRQWULEXWLRQVDV
ZHOODVWKHWRWDOOLTXLGVXUIDFHHQHUJLHVRIWKHSUREHOLTXLGV>@
/LTXLG
J
//:
J
/


J
/
J
/727
:DWHU    
)RUPDPLGH    
0HWK OHQHLRGLGH    

0DWHULDOVDQGPHWKRGV

//'3
7KLVWHFKQLTXHZDVQRWHPSOR HGWRIROORZWKHDJHLQJRIWKH8)PHPEUDQHV1RQHWKHOHVV
LWZDVH[WHQVLYHO VWXGLHGZLWKWKHDLPRIGHYHORSLQJDPRGHOWRFRQGXFW//'3FKDUDFWHUL]DWLRQV
ZLWKDORZHUDPRXQWRIGDWDDQGVRWRVKRUWHQDQDO VLVWLPHV
3RUHQXPEHUGLVWULEXWLRQVRI8)PHPEUDQHVDVIXQFWLRQRIWKHSRUHVL]HFDQEHREWDLQHG
IURP //'3 DQDO VLV 0RUHRYHU SHUPHDQFH GLVWULEXWLRQ DV PSWRWLF SHUPHDQFH PHDQ UDGLXV
EDVHGRQSRUHQXPEHURUSHUPHDQFHGLVWULEXWLRQVDQG0:&2HVWLPDWLRQFDQEHREWDLQLQWXUQ
IURP WKH SRUH QXPEHU GLVWULEXWLRQ $OWKRXJK WKLV PRGHO LV FRPSUHKHQVLYHO  H[SODLQHG LQ
³VHFWLRQ´WKHH[SHULPHQWDOSURFHGXUHLVEULHIO GHVFULEHGKHUH
7KH+).830DQG0PHPEUDQHVZHUHXVHGLQWKLVVWXG 7DEOH
7KHPHPEUDQHVLQWKHLUSULVWLQHVWDWHZHUHFXWLQGLVNSLHFHVZLWKDQHIIHFWLYHGLDPHWHUIRUWKH
DQDO VLVRIPPDVGHILQHGE WKHKROGHUVL]H0HPEUDQHVZHUHFRQGLWLRQHGE ZDVKLQJDQG
VRDNLQJ WKHP LQ 0LOOL4 ZDWHU IRU DW OHDVW  K 7KHQ SUHYLRXVO  WR WKH FKDUDFWHUL]DWLRQ
PHPEUDQHVZHUHVRDNHGLQWKHZHWWLQJOLTXLGIRUK-XVWEHIRUHWKHDQDO VLVWKHVRDNLQJZDV
FDUULHGRXWXQGHUYDFXXPFUHDWHGE DZDWHUMHWSXPSIRUPLQWRHQVXUHWKHFRPSOHWHZHWWLQJ
RIWKHVDPSOH
7KHGLVSODFLQJOLTXLGZDVSXPSHGE DSUHFLVHV ULQJHSXPS,6&2'ZKLFKDOORZVD
YHU DFFXUDWHDQGVWDEOHIOX[ZLWKRXWWKHQHHGRIDQ GDPSHQLQJV VWHP7KHRSHUDWLRQPRGH
FRQVLVWHGLQIL[LQJDGHWHUPLQHGIORZDQGWKHQZDLWLQJIRUWKHSUHVVXUHWRVWDELOL]H,QFUHDVLQJWKH
IORZVWHSZLVHWKHH[SHULPHQWDOSDLUVRIGDWDRIIORZDVIXQFWLRQRISUHVVXUHZHUHREWDLQHGXQWLO
WKHDV PSWRWLFSHUPHDQFHZDVUHDFKHG$WWKLVSRLQWWKHGLVSODFLQJOLTXLGHPSWLHGWKHZHWWLQJ
OLTXLGZKLFKZDVFRQWDLQHGLQVLGHDOOWKHSRUHV
+3/&
3(*DQGPRQRVDFFKDULGHVROXWLRQVZHUHDQDO ]HGE +3/&IRUWKH0:&2GHWHUPLQDWLRQ
RI8)PHPEUDQHVDQGWKHUHMHFWLRQSHUIRUPDQFHRI1)RQHVUHVSHFWLYHO )RUERWKVROXWLRQVWKH
DQDO VLV ZDV FRQGXFWHG ZLWK DQ $JLOHQW  VHULHV DSSDUDWXV HTXLSSHG ZLWK D 5, GHWHFWRU
WHPSHUDWXUHVHWDW&
3(*FRQFHQWUDWLRQDVIXQFWLRQRIWKH0:ZDVREWDLQHGXVLQJD6XSHURVH*/
VL]H H[FOXVLRQ FROXPQ *( +HDOWKFDUH $ YROXPH RI  P/ RI VDPSOH ZDV LQMHFWHG XVLQJ
1D10DVPRELOHSKDVHP/PLQ$FDOLEUDWLRQFXUYHZLWKWHQ3(*VLQMHFWHGRQHDWD
WLPHZDVXVHGWRUHODWHWKHH[FOXVLRQWLPHZLWKWKH0::KHQWKLVW SHRIFROXPQVDUHXVHG
+3/&WHFKQLTXHLVXVXDOO UHIHUUHGDV+36(&
&RQWHQWRIJOXFRVHDQGVXFURVHVROXWLRQVZDVTXDQWLILHGZLWKDQ$PLQH[+3;&FROXPQ
%LR5DG/DERUDWRULHV,QF$YROXPHRIP/RIVDPSOHZDVLQMHFWHGXVLQJXOWUDSXUHZDWHUDV
PRELOHSKDVHP/PLQ
&KDSWHU

*DVFKURPDWRJUDSK PDVVVSHFWURPHWHU*&06
7KHGHJUDGDWLRQRIWKHQRQZRYHQPHPEUDQHVXSSRUWRIVRPH8)PHPEUDQHVZDVYHULILHG
XVLQJ*&06*DVFKURPDWRJUDSKLFDQDO VHVZHUHFDUU RXWLQD+3VHULHVFKURPDWRJUDSK
FRXSOHGWRD+3PDVVVHOHFWLYHGHWHFWRUERWKIURP+HZOHWW3DFNDUG&DOLIRUQLD86$7KH
FROXPQZDVDQ+306POHQJWK[PPLG[PPGIWKHLQMHFWLRQDQGWKHGHWHFWRU
WHPSHUDWXUHVZHUH&LQERWKFDVHVDQGWKHRYHQWHPSHUDWXUHZDVSURJUDPPHGIURP&WR
&DW&PLQWKHQWKHUDWHZDVVHWDW&PLQXSWR&DQGILQDOO &PLQXQWLOWKHODVW
WHPSHUDWXUHRI&NHSWIRUWZRDGGLWLRQDOPLQXWHV


5HVXOWVDQGGLVFXVVLRQ







$JHLQJRI3(68)PHPEUDQHVXQGHUDFLGLFDQGDONDOLQHFOHDQLQJVROXWLRQV

$OOWKH0:&2VJLYHQE PDQXIDFWXUHUVDUHKLJKHUWKDQWKRVHH[SHULPHQWDOO GHWHUPLQHG
IRUWKHSULVWLQHPHPEUDQHV7KLV0:&2XQGHUHVWLPDWLRQWDNHVSODFHZKHQWKHPHDVXUHPHQWVDUH
FDUULHGRXWWKURXJKDVLQJOHILOWUDWLRQRIDPL[WXUHRI3(*DVSUHYLRXVO UHSRUWHG>@
1HYHUWKHOHVVIRUWKHVDNHRIWKHFRPSDUDWLYHVWXG FDUULHGRXWLQWKLVZRUNWKRVHGLIIHUHQFHVDUH
QRWFRQVLGHUHGUHOHYDQW
7KH HIIHFW RI WKH FRQFHQWUDWLRQ SRODUL]DWLRQ LV VLJQLILFDQW IRUWKH83DQG
83PHPEUDQHVGXHWRWKHLUKLJKSHUPHDELOLW 7KXVLIWKHFRQFHQWUDWLRQSRODUL]DWLRQKDGQRW
EHHQWDNHQLQWRDFFRXQWWKHDSSDUHQW0:&2RIWKHVHWZRPHPEUDQHVZRXOGKDYHEHHQDQG
 N'D LQVWHDG RI WKH DFWXDO YDOXHV  DQG  N'D UHVSHFWLYHO  )RU WKH 8+ DQG
83PHPEUDQHVFRQVLGHULQJWKHFRQFHQWUDWLRQSRODUL]DWLRQDELDVDURXQGN'DLVFRUUHFWHG
8+DQG83PHPEUDQHVLQWKHLUSULVWLQHVWDWHDQGDIWHUWKHWUHDWPHQWLQ',ZDWHU
& GR QRW H[KLELW DQ  FKDQJH LQ WKHLU 0:&2 LQGLFDWLQJ WKDW HYHQ WKRXJK WKHUH LV D
FRQGLWLRQLQJRIWKHPHPEUDQHLQWHUPVRISHUPHDELOLW WKHLUVHSDUDWLRQFDSDELOLWLHVDUHDOPRVWWKH
VDPHVLQFHWKHYHU ILUVWILOWUDWLRQ2QWKHRWKHUKDQG83DQG83PHPEUDQHVVKRZDQ
LQFUHDVHLQWKH0:&2ZKLFKJRHVLQDFFRUGDQFHWRWKHSHUPHDELOLW ULVHREVHUYHGWKURXJKRXWWKH
FRQGLWLRQLQJ
7KH8+DQG83PHPEUDQHVVXEMHFWHGWRORZFRQFHQWUDWLRQVRIHLWKHU+12RU
1D2+GRQRWH[KLELWVWURQJYDULDWLRQVRQWKHLU0:&2ZLWKUHVSHFWWRWKHUHIHUHQFHFRQGLWLRQ
DURXQGDQGN'DUHVSHFWLYHO DWWKHHQGRIWKHDJHLQJ7DEOHDVLWZDVREVHUYHGLQ
WKH SHUPHDELOLW  PHDVXUHPHQWV +RZHYHU DW KLJK FRQFHQWUDWLRQ  0 RI ERWK FKHPLFDOV
0:&2V GHFUHDVH WR  DQG  N'D UHVSHFWLYHO  LQ DJUHHPHQW ZLWK WKH SHUPHDELOLW  GURS
SRLQWHGRXWLQWKHSUHYLRXVVHFWLRQV)LJD)LJE)LJDDQG)LJE
7KH 1DGLU PHPEUDQHV ZLWK KLJKHU SHUPHDELOLWLHV 83 DQG 83VKRZDKLJKHU
GLVSHUVLRQLQWKH0:&2UHVXOWV1RQHWKHOHVVFRQVLGHULQJWKHFRQILGHQFHLQWHUYDOVQRVLJQLILFDQW
GLIIHUHQFHVFDQEHFRQVLGHUHGEHWZHHQWKHUHIHUHQFHYDOXHVDQGWKRVHRIWKHDJHGPHPEUDQHV
7DEOH  DW DQ  RI WKH WHVWHG FRQGLWLRQV )DFW WKDW JRHV LQ DFFRUGDQFH WR WKH SHUPHDELOLW 
FKDUDFWHUL]DWLRQ)LJF)LJG)LJFDQG)LJG
7KHHIIHFWVRIWKHDJHLQJSURFHGXUHVRQPHPEUDQHUHMHFWLRQSHUIRUPDQFHZKLFKZHUH
H[SODLQHGRQWKHEDVLVRI0:&2YDOXHVDUHDOVRVKRZQLQ)LJDVZKROHUHMHFWLRQFXUYHV,Q
DGGLWLRQWRWKHDERYHPHQWLRQHGWUHQGVLWFDQEHSRLQWHGRXWIURP)LJWKDWFKDQJHVLQ0:&2V
DUHGXHWRWKHVKLIWLQJRIWKHFXUYHV)RULQVWDQFHWKHUHSRUWHGGHFUHDVHLQ0:&2RI83
PHPEUDQHDIWHUWKHDJHLQJLQ0+12RULQ1D2+OHDGVWRWKHQDUURZLQJRIDOOPHPEUDQH
SRUHVLQVXFKDZD WKDWHDFK3(*IUDFWLRQKDVDKLJKHUUHMHFWLRQWKDQWKDWRIWKHPHPEUDQHVRDNHG
LQ',ZDWHU7KLVUHSUHVHQWDWLRQDOVRVKRZVWKDWWKHDJHLQJDIIHFWVDOOSRUHVL]HUDQJHDQGVR
0:&2 YDOXHV FDQ EH XVHG DV UHSUHVHQWDWLYH LQGLFDWRUV RI WKH JOREDO PHPEUDQH UHMHFWLRQ
FDSDELOLWLHV



7DEOH'HWHUPLQHG0:&2RIWKHPHPEUDQHVDWWKHHQGRIWKHGLIIHUHQWDJHLQJSURFHGXUHV
7 $JHLQJ
FRQGLWLRQV
0HPEUDQHV
8+ 83 +). 37 83 83
 0DQXIDFWXUHU      
3ULVWLQHPHPEUDQH      
&
',ZDWHU      
+120      
+120      
+120      
1D2+0      
1D2+0      
1D2+0      
& ',ZDWHU      
1D2+0      
& ',ZDWHU      
1D2+0      



$JHLQJRI3(68)PHPEUDQHVXQGHUDFLGLFDQGDONDOLQHFOHDQLQJVROXWLRQV


)LJ  ,QWULQVLF UHMHFWLRQ FXUYHV DV IXQFWLRQ RI WKH 3(* IUDFWLRQ 0: IRU WKH
83DEDQG83FGDJHGDW&ZLWK1D2+DFDQG+12EGVROXWLRQVRI
0EURNHQOLQHDQG0VROLGOLQHDQGVRDNHGLQ',ZDWHUGRWWHGOLQH
5.1.3.4. E ec s o he ageing condi ions on memb ane su ace composi ion
)LJGLVSOD VWKH$75)7,5VSHFWUDRI1DGLUPHPEUDQHVDWWKHHQGRIWKHWUHDWPHQWV
ZLWK',ZDWHUDQGZLWK+12DQG1D2+VROXWLRQVUHVSHFWLYHO 7KHFRPSDULVRQDPRQJWKHVH
VSHFWUDDQGZLWKWKRVHRIWKHSULVWLQHPHPEUDQHV)LJDDQG)LJEGRHVQRWUHYHDODQ 
VLJQLILFDQWFKDQJHLQWKHIXQFWLRQDOJURXSFRPSRVLWLRQRIHLWKHUWKHDFWLYHRUWKHVXSSRUWOD HUVDV
FRQVHTXHQFHRIWKHDJHLQJFRQGLWLRQV1RQHWKHOHVVFRQFHUQLQJWKHVXSSRUWOD HUVSHFWUDWKHUHLV
DGRXEOHSHDNDWFPW SLFDOIURP2 & 2DV PPHWULFVWUHWFKLQJZKLFKLVDWWULEXWHGWRWKH
SUHVHQFHRIFDUERQDWHFRQWDPLQDWLRQWUDSSHGRQWKH3(33VXSSRUWOD HU7KLVLVLQDJUHHPHQWZLWK
WKHDSSDUHQWORZHUDEVRUEDQFHLQWHQVLW RIWKHVDPSOHVVXEMHFWHGWRWKHDFLGLFFRQGLWLRQVLQZKLFK
&2LVOHVVVROXEOH







5HMHFWLRQ
0:
3(*
N'D







5HMHFWLRQ
0:
3(*
N'D






     
5HMHFWLRQ
0:
3(*
N'D






     
5HMHFWLRQ
0:
3(*
N'D
D E
F G
&KDSWHU




)LJ 
 $75)7,5 VSHFWUD RI WKH DFWLYH  DQG VXSSRUW  OD HUV RI 83 D
83E83FDQG8+GPHPEUDQHVDIWHUWKHVRDNLQJLQ',ZDWHUVROLGOLQH6DQG
DIWHUWKHDJHLQJZLWKDQG0+12

VROXWLRQVEURNHQOLQH%DQGZLWKDQG
01D2+VROXWLRQVGRWWHGOLQH'DW&
5.1.3.5. E ec s o he ageing condi ions on memb ane s uc u e
6(0LPDJHVRIWKHVXSSRUWOD HURI1DGLUPHPEUDQHVEXWIRUWKH8+RQHDUHVKRZQ
LQ
)LJ
ZKHUHDVDFWLYHOD HULPDJHVDUHQRWLQFOXGHGEHFDXVHWKHSRUHVL]HLVWRRVPDOOWREH
REVHUYHGDQGRQO DVPRRWKVXUIDFHLVREWDLQHG6XSSRUWOD HUVRIWKHVHPHPEUDQHVDUHPDGHRID
QRQZRYHQIDEULFDQGHYHQWKRXJKWKH DOOFRPHIURPWKHVDPHPDQXIDFWXUHUWKHWKUHDGVLQ83
ORRNWKLFNHUWKDQWKRVHLQ83DQG831RQHWKHOHVVWKHXVHRIGLIIHUHQWJUDGHVRIQRQZRYHQ
PDWHULDOV LV D QRUPDO SUDFWLFH FDUULHG RXW E  PDQXIDFWXUHUV ZKLFK ZRXOG H[SODLQ WKH VOLJKW
GLIIHUHQFHV




)LJ6(0PLFURJUDSKVRIWKHVXSSRUWOD HUVRI8383DQG831DGLUPHPEUDQHVLQWKHLURULJLQDOFRQGLWLRQVDQG
DIWHUWKHDJHLQJZLWKDQG0+12DQG1D2+VROXWLRQV
&KDSWHU

&RPSDULQJWKHPHPEUDQHVEHIRUHDQGDIWHUWKHGLIIHUHQWDJHLQJWUHDWPHQWVQHLWKHUWKH
+12QRUWKH1D2+DJHLQJVROXWLRQVDUHDEOHWRLQGXFHYLVLEOHPRUSKRORJLFFKDQJHVLQDQ RIWKH
WKUHHPHPEUDQHV
5.1.3.6. E ec s o he ageing condi ions on memb ane opog aphy
5HVROXWLRQRI$)0LPDJHVDOORZVVWXG LQJWKHPRUSKRORJ RIWKHDFWLYHOD HUVXUIDFHV
XQOLNHWKH6(0WHFKQLTXH$PRQJWKHIRXU1DGLUPHPEUDQHVRQO WKH83RQHLVDQDO ]HGLQ
GHWDLOKHUHEHFDXVHLWKDVWKHVDPH0:&2DVWKH.RFKDQG*(2VPRQLFVPHPEUDQHVDQGWKXVLW
LVHVSHFLDOO DSSURSULDWHIRUFRPSDULVRQ7KH$)0SLFWXUHVRIWKH83PHPEUDQHLQLWVSULVWLQH
FRQGLWLRQDQGDIWHUWKHDJHLQJZLWKDQG0+12DQG1D2+VROXWLRQVDUHVKRZQLQ
)LJ  7KH UHSUHVHQWDWLRQ RI WKH 36' YHUVXV WKH VSDWLDO SXOVDWLRQ )LJ D DOORZV WKH
GHWHUPLQDWLRQRIWKHIUDFWDOGLPHQVLRQVRIWKHPHPEUDQH,QDGGLWLRQ506URXJKQHVV5TDQGWKH
RZQIUDFWDOGLPHQVLRQGIUIRUWKHDERYHPHQWLRQHGFRQGLWLRQVDUHVKRZQLQ)LJE

)LJ$)0LPDJHVRIWKH83PHPEUDQHDFWLYHOD HULQLWVRULJLQDOFRQGLWLRQDDQG
DIWHUWKHDJHLQJZLWKDQG0+12DQG1D2+VROXWLRQVEFGDQGG$OOWKH$)0
LPDJHVKDVWKHVDPH]D[LVVFDOHDQGWKH=YDOXHVDUHWKHPD[LPXPKHLJKWRIHDFKLPDJH
7KH83DFWLYHOD HULQLWVRULJLQDOFRQGLWLRQKDVDQ506URXJKQHVVRIQPDQGD
TXLWHKRPRJHQHRXVSRUHGLVWULEXWLRQDFFRUGLQJWRWKH$0)LPDJHLQ)LJD$IWHUWKHDJHLQJ
ZLWK0+12)LJEWKHUHLVDQLQFUHDVHLQURXJKQHVVXSWRQPEXWWKHVXUIDFHORRNV

$JHLQJRI3(68)PHPEUDQHVXQGHUDFLGLFDQGDONDOLQHFOHDQLQJVROXWLRQV


VLPLODUWRWKHRQHLQWKHRULJLQDOFRQGLWLRQ:KHQWKHFRQFHQWUDWLRQLVLQFUHDVHGWR0)LJF
WKHDFWLYHOD HUVXUIDFHH[KLELWRQO VOLJKWO KLJKHUURXJKQHVVQP7KHDJHLQJZLWK0
1D2+)LJGOHDGVWRDORZHUURXJKQHVVWKDQWKDWRIWKHXQWUHDWHGPHPEUDQHQPEXW
WKH VXUIDFH VWLOO ORRNV VLPLODU WR WKH SULVWLQH FRQGLWLRQ 7KH KLJKHVW FRQFHQWUDWLRQV RI  0
)LJHOHDGVWRDQLQFUHDVHLQWKHURXJKQHVVQPDJDLQVLPLODUWRWKRVHXQGHUWKHDFLGLF
FRQGLWLRQVDQGLVUHIOHFWHGLQDPRUHKHWHURJHQHRXVVXUIDFH,QJHQHUDOERWKDFLGLFDQGDONDOLQH
DJHLQJWUHDWPHQWVOHDGWRDVOLJKWLQFUHDVHLQPHPEUDQHURXJKQHVVDURXQGKLJKHU

)LJ7ZRGLPHQVLRQDOSRZHUVSHFWUDOGHQVLW DDQG36'IUDFWDOGLPHQVLRQEDUVDQG
5TURXJKQHVVEIRUWKH[PPVFDQQHGDUHDVRIWKH83PHPEUDQHDIWHUWKHDJHLQJLQ
+12DQG1D2+VROXWLRQVDWGLIIHUHQWFRQFHQWUDWLRQV
+RZHYHUURXJKQHVVGHSHQGVRQWKHVFDOHRILQYHVWLJDWLRQJLYHQE WKHVL]HRIWKHVFDQQHG
DUHDVUHYHDOLQJDIUDFWDOFKDUDFWHU7KHUHIRUHWKHIUDFWDOGLPHQVLRQZKLFKLVLQGHSHQGHQWRIWKH
VFDOHRIH[DPLQDWLRQKDVEHHQXVHGLQRUGHUWRJLYHWKHLGHDRIKRZDFFHVVLEOHSRUHVHQWUDQFHVDUH
7KHXQWUHDWHG83PHPEUDQHKDVDGIURIZKLFKGHFUHDVHVDIWHUWKHDJHLQJLQ+12WR
0DQG0:KHQDJHGZLWK1D2+GIUJRHVWR0DQG0
&RQVLGHULQJWKHRULJLQDOPHPEUDQHDVUHIHUHQFHLWFDQEHREVHUYHGWKDWFKDQJHVDUHDURXQG
LQDOOFDVHVPHDQLQJWKDWHYHQWKRXJKVOLJKWYDULDWLRQVLQURXJKQHVVDUHREVHUYHGDIWHUDJHLQJ
WUHDWPHQWVWKHDFFHVVLELOLW RIWKHPHPEUDQHVIRUVROYHQWDQGVROXWHVLVVWLOOVLPLODUQRWVXJJHVWLQJ
FKDQJHVLQSHUIRUPDQFH
7KHIUDFWDOGLPHQVLRQJLYHVDQLGHDRIKRZVLPLODULVWKHVXUIDFHWRDYROXPH,QRWKHU
ZRUGVZKHQWKHIUDFWDOGLPHQVLRQLVWZRWKHLQWHUIDFHFDQEHVHHQDVKDVWKHWRSRJUDSK RID
VXUIDFHPRUHRUOHVVVPRRWKZKLOHZKHQWKHIUDFWDOGLPHQVLRQDSSURDFKHVWKUHHWKHLQWHUIDFHLV
WRSRJUDSKLFDOO DYROXPH,QWKLVZD DSHUIHFWIODWLQWHUIDFHZLWKQRSRUHVDWDOOZRXOGKDYHD
GIURIWZRZKHUHDVDYDOXHRIWKUHHDQGDKLJKURXJKQHVVZRXOGFRUUHVSRQGWRDQHDVLO SHQHWUDEOH
VXUIDFH FRQVLVWLQJ LQ D FRQQHFWHG QHWZRUN RI YRLGV ,Q DGGLWLRQ IUDFWDO GLPHQVLRQ GRHV QRW
GHSHQGHQWRQWKHVFDQQHGDUHDVL]HRIWKHVXUIDFH










  
'36'QP


ıQP


1HZ
0+12
0+12
01D2+
01D2+


















D
















5
T
QP
G
IU
GLPHQVLRQOHVV
1D2++12

E
&KDSWHU

5.1.3.7. E ec s o he ageing condi ions on memb ane hyd ophobici y
7KHHIIHFWVRIDFLGLFDQGDONDOLQHDJHLQJLQWKHK GURSKRELFLW RIWKHDFWLYHOD HURIWKH
8+8383DQG83PHPEUDQHVDUHVKRZQLQ7DEOH7KHFRQWDFWDQJOHRIWKH
SULVWLQHPHPEUDQHVEHIRUHWKHDJHLQJLVDURXQGUHJDUGOHVVRIWKHLULQLWLDO0:&2ZKLFKLV
VLPLODUWRWKHYDOXHVIRXQGE RWKHUDXWKRUVIRU3(6PHPEUDQHV>@$OWKRXJKLWVHHPV
WKDWFRQWDFWDQJOHGHFUHDVHVDIWHUWKHGLIIHUHQWWUHDWPHQWVFRQVLGHULQJWKHFRQILGHQFHLQWHUYDOV
QRVLJQLILFDQWFKDQJHVLQWKHK GURSKLOLFLW RIWKHPHPEUDQHVFDQEHGHWHUPLQHG&RQWDFWDQJOH
KLJKO GHSHQGVRQVXUIDFHFRPSRVLWLRQDQGWRDOHVVH[WHQWRQWKHVXUIDFHURXJKQHVVZKLFKZDV
WDNHQLQWRFRQVLGHUDWLRQWKURXJKWKH:HQ]HO¶VFRHIILFLHQW7KHUHIRUHVLQFHQRVLJQLILFDQWFKDQJHV
LQWKHVHSURSHUWLHVZHUHIRXQGLWLVUHDVRQDEOHWKDWFRQWDFWDQJOHYDOXHVUHPDLQHGVLPLODUZLWKLQ
WKHH[SHULPHQWDOHUURU
,WLVDOVRUHPDUNDEOHWKDWWKH8+ZKLFKLVVXSSRVHGWREHPRUHK GURSKLOLFDFFRUGLQJ
WRLWVPDQXIDFWXUHUKDVFRQWDFWDQJOHVTXLWHVLPLODUWRWKRVHRIWKHRWKHU1DGLUPHPEUDQHV
7DEOH&RQWDFWDQJOHPHDVXUHPHQWVXVLQJXOWUDSXUHZDWHURIWKHDFWLYHOD HUVRIWKH
838383+).DQG 37PHPEUDQHVDIWHUWKH DJHLQJLQ GLIIHUHQWFRQGLWLRQV
DW&,QWHUYDOVH[SUHVVHGDVVWDQGDUGGHYLDWLRQV
$JHLQJ
FRQGLWLRQV
0HPEUDQHV
83 83 83 +). 37
3ULVWLQHPHPEUDQH     
',ZDWHU     
+120     
+120     
+120     
1D2+0     
1D2+0     
1D2+0     
5.1.3.8. Discussion
7KHUHVXOWVIURPWKHSK VLFRFKHPLFDOFKDUDFWHUL]DWLRQVIRUWKH1DGLUPHPEUDQHVFDQEH
VXPPDUL]HGDVIROORZV1RFKDQJHVLQHLWKHUWKHIXQFWLRQDOJURXSFRPSRVLWLRQRIWKHDFWLYH3(6
RUWKHVXSSRUWOD HUDPL[WXUHRI3(33DUHIRXQGXQGHUDQ DFLGLFRUDONDOLQHFRQGLWLRQDQGLQ
DJUHHPHQWPHPEUDQHDFWLYHOD HUK GURSKLOLFLW LVNHSWDOPRVWFRQVWDQW6XSSRUWOD HUVWUXFWXUH
UHPDLQV VWDEOH DIWHU DOO DJHLQJ FRQGLWLRQV $FWLYH OD HU WRSRJUDSK  ZDV RQO  VWXGLHG IRU WKH
83 PHPEUDQH ZKLFK VKRZV D VOLJKW LQFUHDVH DIWHU ERWK DJHLQJ FRQGLWLRQV +RZHYHU
$JHLQJRI3(68)PHPEUDQHVXQGHUDFLGLFDQGDONDOLQHFOHDQLQJVROXWLRQV


FRQVLGHULQJWKHIUDFWDOGLPHQVLRQZKLFKDFFRXQWVIRUWKHVL]HVFDOHXVHGIRUWKHPHDVXUHPHQWQR
GLIIHUHQFHVDUHIRXQGLQWKHDFFHVVLELOLW WRWKHSRUHVHQWUDQFH
7KHUHIRUH VLQFH QR VLJQLILFDQW FKDQJHV LQ HLWKHU WKH K GURSKLOLFLW  RU WKH IXQFWLRQDO
FRPSRVLWLRQRIWKHPHPEUDQHVZHUHIRXQGWKHLQFUHDVHLQSHUPHDELOLW RI1DGLUPHPEUDQHVLQWKH
ILUVW GD VRI H[SRVXUH WR ', ZDWHURU PLOG DFLGLF DQG DONDOLQHFRQGLWLRQV LV OLNHO  GXH WR WKH
FRQGLWLRQLQJDQGVZHOOLQJRIWKHPHPEUDQHVZKLFKDUHVKLSSHGGU 
&RQFHUQLQJWKHGLVVLPLODUSHUIRUPDQFHRI8+DQG83PHPEUDQHVXQGHU0
1D2+DQG+12VROXWLRQVQRQHRIWKHPHQWLRQHGSK VLFRFKHPLFDOFKDUDFWHUL]DWLRQWHFKQLTXHV
ZDVDEOHWREULQJLQDQ VLJQLILFDQWLQVLJKW7KHUHIRUHWZRDGGLWLRQDOVHWVRIH[SHULPHQWVZHUH
SHUIRUPHG 8+ DQG 83 PHPEUDQHVZHUH VXEMHFWHG WR D  0 1D&O VROXWLRQ DQG WKH
SHUPHDELOLW UHVXOWVZHUHLGHQWLFDOWRWKRVHREWDLQHGZLWKWKHFRQFHQWUDWHGDONDOLRUDFLGDJHG
PHPEUDQHV7KHUHIRUHWKHHIIHFWLVQRWUHDOO DVVRFLDWHGZLWKDJHLQJEXWWRDQRVPRWLFVWUHVV
UHODWHG WR WKH KLJK LRQ FRQFHQWUDWLRQ LQ VROXWLRQ ZKLFK LW KDV EHHQ VKRZQ DIIHFWV SRO PHU
FRQIRUPDWLRQDQGLQRXUFDVHUHVWULFWVFRQYHFWLYHZDWHUWUDQVSRUW7KLVZRXOGJRLQDFFRUGDQFH
ZLWKWKHUHMHFWLRQFXUYHVVKRZQLQ)LJIRUWKH83PHPEUDQHLQZKLFKWKHUHMHFWLRQRIDOO
3(*IUDFWLRQVLQFUHDVHDIWHUWKHDJHLQJLQWKHVHVWURQJFRQGLWLRQVZKLFKLQWXUQKDVWREHGXHWRD
VPDOOHUHIIHFWLYHSRUHVL]H
$ILQDOWHVWZDVFRQGXFWHGWRGHWHUPLQHZKHWKHUWKHHIIHFWZDVSHUPDQHQW3HUPHDELOLW 
FKDQJHVRIDQHZVHWRI83FRXSRQVZHUHPRQLWRUHGZKHQWUHDWHGLQ01D2+IRUGD V
DQGWKHQSODFHGLQ',ZDWHUIRUGLIIHUHQWWLPHV7KHORQJHUWKHPHPEUDQHZDVVRDNHGLQ',ZDWHU
WKH KLJKHU ZDV LWV SHUPHDELOLW  $IWHU WKUHH GD V WKH SHUPHDELOLW  KDG LQFUHDVHG  WLPHV
DERXWRIWKHLQFUHDVHVHHQZKHQVRDNHGRQO LQ',ZDWHU7KHUHIRUHWKLVHIIHFWLVUHYHUVLEOH
DVLWFRXOGEHH[SHFWHGIURPRQHDVVRFLDWHGZLWKWKHRVPRWLFHQYLURQPHQW
+RZHYHULWKDVWREHSRLQWHGRXWWKDWWKHRVPRWLFVWUHVVVHHQZLWKWKHORZHU0:&2
PHPEUDQHVLVQRWREVHUYHGZLWKWKHDQGN'DPHPEUDQHVSUREDEO EHFDXVHRIWKHLUPRUH
RSHQSRURXVVWUXFWXUHZKLFKPDNHVWKLVSKHQRPHQRQQRWEHUHOHYDQW
,QVXPPDU WKHUHVXOWVIURPWKLVZRUNVKRZWKDWDOO1DGLUPHPEUDQHVDUHYHU VWDEOHLQ
WHUPVRISHUPHDELOLW DQGUHMHFWLRQSHUIRUPDQFHZLWKUHVSHFWWRWKHUHIHUHQFH',ZDWHUVROXWLRQ
XQGHU DFLGLF DQG DONDOLQH DJHLQJ FRQGLWLRQV XS WR 0 FRQFHQWUDWLRQ LQDJUHHPHQW ZLWK WKH
SK VLFRFKHPLFDO FKDUDFWHUL]DWLRQ 8QGHU  0 1D2+ DQG +12 VROXWLRQV WKH KLJK LRQLF
FRQFHQWUDWLRQ OHDGV WR WKH H[SODLQHG GHFUHDVH LQ PHPEUDQH SHUPHDELOLW  DQG WKH LQFUHDVH LQ
UHMHFWLRQIRUORZ0:&2PHPEUDQHV8+DQG83ZKHUHDV83DQG83PHPEUDQHV
NHHSVKDYLQJWKHVDPHVWHDG SHUIRUPDQFHDVWKDWDWORZHUFRQFHQWUDWLRQV1HYHUWKHOHVVPHPEUDQH
SHUIRUPDQFHVHHPVPRUHVWDEOHDVWKHLQLWLDO0:&2LQFUHDVHVZKLFKPD EHGXHWRWKHDGGLWLYHV
RUVSHFLILFPDQXIDFWXULQJSURFHVVHVXVHGWRJHWWLJKWHUPHPEUDQHV)LJDQG)LJ
&KDSWHU

(IIHFWVRIDJHLQJRQ.RFKDQG*(2VPRQLFVPHPEUDQHV
5.1.4.1. Memb ane pe o mance h oughou he alkaline ageing
+). DQG 37 PHPEUDQHV KDYH WKH VDPH DFWLYH OD HU PDWHULDO 3(6 DQG QRPLQDO
0:&2  N'D DV WKH 8+ DQG 83 PHPEUDQHV +RZHYHU WKHUHDUHVLJQLILFDQW
GLIIHUHQFHVLQWKHLULQLWLDOSHUPHDELOLWLHVZKLFKJRIURPWR/KPEDUIROORZLQJWKHRUGHU
8+8337DQG+).7DEOH
37PHPEUDQHVKRZVWKHVDPHLQFUHDVHLQUHODWLYHSHUPHDELOLW ZKHQVRDNHGLQ',ZDWHUDV
WKDWRI1DGLUPHPEUDQHV7KLVLVDOVRGXHWRWKHZHWWLQJRIWKHPHPEUDQHZKLFKLVLQLWLDOO GU 
XQOLNHWKH+).PHPEUDQHZKLFKLVGLVSDWFKHGLQJO FHULQQRW VKRZLQJVXFKLQFUHDVHLQ
SHUPHDELOLW )LJ
:KHQWKH+).PHPEUDQH)LJDLVVXEMHFWHGWRWKHDQG01D2+
VROXWLRQVWKHUHODWLYHSHUPHDELOLW RIWKHDJHGPHPEUDQHVLQFUHDVHVZLWKWKHDONDOLFRQFHQWUDWLRQ
EHLQJWKHDFWXDOSHUPHDELOLWLHVDQGKLJKHUWKDQWKDWRIWKHPHPEUDQHVRDNHGLQWKH
UHIHUHQFHVROXWLRQUHVSHFWLYHO 
7KH37PHPEUDQH)LJELVWKHPRVWVHYHUHO DIIHFWHGE WKHFDXVWLFH[SRVXUH)RU
WKLVPHPEUDQHWKHKLJKHUWKH1D2+FRQFHQWUDWLRQLVWKHKLJKHUWKHUHODWLYHSHUPHDELOLW JHWVZLWK
DJHLQJUHDFKLQJYDOXHVDSSUR[LPDWHO WZRIROGWKHUHIHUHQFHYDOXHIRUWKH0VROXWLRQ,QDOO
FDVHVSHUPHDELOLW FKDQJHVUHVXOWLQJIURPWKHH[SRVXUHRIPHPEUDQHVWRWKHDJHLQJVROXWLRQV
WDNHSODFHLQWKHYHU ILUVWGD VRIWKHWUHDWPHQWUHDFKLQJDSODWHDXODWHU
0HPEUDQHSHUIRUPDQFHYDULDWLRQVVKRZQLQWKLVZRUNDUHH[FOXVLYHO WKHUHVXOWRIWKH
HIIHFWVRIWKH1D2+FOHDQLQJDJHQWRQWKHPHPEUDQH7KLVLQIRUPDWLRQQRWDOZD VDYDLODEOHFDQ
EHXVHIXOZKHQDGGUHVVLQJPHPEUDQHSHUIRUPDQFHWKURXJKRXWVHYHUDOFOHDQLQJF FOHVDVZHOODV
RWKHUSKHQRPHQDDVLQGLFDWHGE SUHYLRXVSXEOLVKHGVWXGLHV
5.1.4.2. Memb ane pe o mance h oughou he acidic ageing
%RWK+).DQG37PHPEUDQHV)LJDDQG)LJEUHVSHFWLYHO H[KLELWKLJK
VWDELOLW LQ+12DWDOOWKHHPSOR HGFRQFHQWUDWLRQV7KHGLIIHUHQFHVLQSHUPHDELOLW EHWZHHQWKH
DJHGDQGWKHUHIHUHQFHPHPEUDQHVLVORZHUWKDQEHLQJWKHDFWXDOSHUPHDELOLWLHVDWWKHHQGRI
WKHWUHDWPHQWVDURXQGDQG/KPEDUUHVSHFWLYHO 
7KHUHVXOWVDERXWWKHHIIHFWVRI+12RQ1DGLU.RFKDQG*(2VPRQLFVPHPEUDQHVFDQ
VHUYHDVUHIHUHQFHWRKHOSLQWKHLQWHUSUHWDWLRQRIRWKHUVWXGLHV)RULQVWDQFH3DXJDPe al.>@
IRXQGWKDWWKHFOHDQLQJRID3(68)PHPEUDQHZLWK+12S+ OHDGWRDQLQFUHDVHLQWKH
ZDWHUIOX[EXWLWGLGQRWUHPRYHGDQ DPRXQWRIWKHUHVLGXDOSURWHLQGHSRVLWRQWKHPHPEUDQH
VXUIDFH6LQFHQRFKDQJHVLQSHUPHDELOLW ZHUHIRXQGXQGHUDFLGLFS+VWKHIOX[HQKDQFHPHQW
REVHUYHGE 3DXJDPe al.KDVWREHGXHWRWKHLQWHUDFWLRQRIWKHDFLGZLWKWKHUHVLGXDOSURWHLQVRQ



)LJ6(0PLFURJUDSKVRIVXSSRUWOD HUDQGPHPEUDQHFURVVVHFWLRQRI+).DQG37PHPEUDQHVLQWKHLURULJLQDO
FRQGLWLRQVDQGDIWHUWKHDJHLQJZLWKDQG0+12DQG1D2+VROXWLRQVDW&

&KDSWHU

$IWHUWKH1D2+DJHLQJWKH IUDFWDO GLPHQVLRQVDUHORZHU WKDQWKHRULJLQDORQH IRUWKH
37PHPEUDQHGRZQWRDQGKLJKHUIRU+).RQHXSWR1RQHWKHOHVVDOOFKDQJHV
DUH DURXQG  ZLWK UHVSHFW WR WKH RULJLQDO PHPEUDQH VR WKH  FDQEHFRQVLGHUHGQRWWREH
VLJQLILFDQW
1RWHWKDWLQERWKFDVHVURXJKQHVVDQGIUDFWDOGLPHQVLRQVDUHKLJKHUWKDQWKRVHIRUWKHWHVWHG
1DGLUPHPEUDQHZKLFKIDFLOLWDWHVDKLJKHUSHUPHDELOLW IRUWKHVHPHPEUDQHV
$FWLYHOD HUURXJKQHVVLVGLUHFWO OLQNHGWRWKHIRXOLQJWUHQGRIWKHPHPEUDQHVDVLWZDV
DOUHDG  UHSRUWHG > @ 7KH REVHUYHG VWHHS LQFUHDVH LQ WKH URXJKQHVV DQG IUDFWDO
GLPHQVLRQRIWKH+).PHPEUDQHDJHGZLWK+12ZRXOGFDXVHKLJKIRXOLQJUDWHV+RZHYHU
WKH37PHPEUDQHVDIWHUWKHDFLGLFDJHLQJKDVDJHQWOHLQFUHDVHLQURXJKQHVVDQGORZHUIUDFWDO
GLPHQVLRQVFRPSDUHGWRWKRVHRI+).PHPEUDQHVZKLFKZRXOGOHDGWRDOHVVHIIHFWLYH
IRXOLQJ,QDQ FDVHWKHURXJKQHVVIUDFWDOGLPHQVLRQFRXSOHFDQEHXVHIXOWRDGGUHVVPHPEUDQH
SHUIRUPDQFHWKURXJKVHYHUDOIRXOLQJFOHDQLQJF FOHVDSDUWIURPWKHK GURSKLOLFLW 
$)0LPDJHVRIWKHVXSSRUWOD HUVRI+).DQG37PHPEUDQHVDUHVKRZQLQ)LJE
7KHWRSRJUDSK RIWKHPHPEUDQHVDJHGZLWK01D2+FRUUHVSRQGVWRWKHEDFNVLGHRIWKH
DFWLYHOD HUVLQFHWKHVXSSRUWZDVDOPRVWWRWDOO GHJUDGHG1RQHWKHOHVVWKHURXJKQHVVLVKLJKHU
WKDQWKDWRIWKHDFWLYHOD HUGXHWRWKHIRRWSULQWVRIWKHVXSSRUW$IWHUWKHDJHLQJZLWKWKHDFLGLF
VROXWLRQERWKVXSSRUWOD HUVEHFRPHVLJQLILFDQWO VPRRWKHU
5.1.4.7. E ec s o he ageing condi ions on memb ane hyd ophobici y
%RWKDFWLYHDQGVXSSRUWOD HUK GURSKRELFLW ZHUHVWXGLHGGXHWRWKHFKDQJHVIRXQGLQ
+). DQG 37 PHPEUDQHV )RU WKH DFWLYH OD HU WKH FRQWDFW DQJOHV LQ WKH RULJLQDO VWDWH
7DEOHDUHVLPLODUWRWKRVHRI1DGLURQHVDVWKH DUHPDGHRIWKHVDPHPDWHULDODVFRQILUPHG
LQWKH$75)7,5DQDO VLV+RZHYHUWKHDFWLYHOD HUVRIWKHVHPHPEUDQHVVKRZDQLQFUHDVHLQ
K GURSKLOLFLW DIWHUWKH1D2+DJHLQJZLWKFRQWDFWDQJOHVGHFUHDVLQJZLWKFRQFHQWUDWLRQGRZQWR
DQGIRUWKH+).DQGWKH37PHPEUDQHVUHVSHFWLYHO 7KHDJHLQJZLWK+12GRHVQRW
FKDQJHVLJQLILFDQWO WKHK GURSKLOLFLW RIWKHSULVWLQHPHPEUDQHV
6XSSRUWOD HUVDUHPRUHK GURSKRELF7DEOH1HYHUWKHOHVVDIWHUWKHDONDOLQHDJHLQJ
WKHFRQWDFWDQJOHVGHFUHDVHEHLQJWKLVUHGXFWLRQPRUHGHSHQGHQWRQWKH1D2+FRQFHQWUDWLRQIRU
WKH+).WKDQIRUWKH37$W0FRQWDFWDQJOHYDOXHVDUHYHU FORVHWRWKRVHRIWKHDFWLYH
OD HUDJHGLQWKHVDPHFRQGLWLRQV7DEOHDQG7DEOHGXHWRWKHVXSSRUWOD HUGHJUDGDWLRQ
7KHREVHUYHGIOXFWXDWLRQVPD EHGXHWRWKHUHPDLQVRIWKHVXSSRUWOD HURQWKHEDFNVLGHRIWKH
+).DFWLYHOD HU
$JHLQJRI3(68)PHPEUDQHVXQGHUDFLGLFDQGDONDOLQHFOHDQLQJVROXWLRQV


)LJ$)0LPDJHVRIWKHDFWLYH$DQGWKHVXSSRUW%OD HUVRIWKH+).DQG
37 PHPEUDQHV LQ WKHLU RULJLQDO FRQGLWLRQV DQG DIWHU WKH DJHLQJ ZLWK  0 1D2+ RU
+12VROXWLRQV$OOWKH$)0LPDJHVKDVWKHVDPH]D[LVVFDOHDQGWKH=YDOXHVDUHWKHPD[LPXP
KHLJKWRIHDFKLPDJH
&KDSWHU


)LJ36'IUDFWDOGLPHQVLRQEDUVDQG506URXJKQHVVIRUWKH[PPVFDQQHG
DUHDVRIWKH+).DDQG37EPHPEUDQHVDIWHUWKHDJHLQJLQ+12DQG1D2+VROXWLRQVDW
GLIIHUHQWFRQFHQWUDWLRQV
7DEOH&RQWDFWDQJOHPHDVXUHPHQWVXVLQJXOWUDSXUHZDWHURIWKHVXSSRUWOD HUVRIWKH
+).DQG37PHPEUDQHVDIWHUWKHDJHLQJLQDQG01D2+VROXWLRQVDW&
,QWHUYDOVH[SUHVVHGDVVWDQGDUGGHYLDWLRQV
$JHLQJ
FRQGLWLRQV
0HPEUDQHV
+). 37
3ULVWLQHPHPEUDQH  
',ZDWHU  
1D2+0  
1D2+0  
1D2+0  
7KHFRQWULEXWLRQVRI/LIVKLW]9DQGHU:DDOVDQGDFLGEDVHLQWHUDFWLRQVWRWKHVROLGVXUIDFH
HQHUJ RIWKHDFWLYHOD HUVZHUHVWXGLHG7DEOHWRDFFRXQWIRUWKHYDULDWLRQVLQWKHDFWLYHOD HU
K GURSKRELFLW  DIWHU WKH DONDOLQH DJHLQJ 7RWDO VROLG VXUIDFH HQHUJ  DQG WKH GLVSHUVLYH IRUFH
FRQWULEXWLRQDUHDOPRVWFRQVWDQWIRUWKH37PHPEUDQHVLQDOOWKHWHVWHGFRQGLWLRQVEXWVOLJKWO 
GHFUHDVHIRUWKH+).RQHVZLWKWKHDONDOLQHDJHLQJFRQFHQWUDWLRQ$GGLWLRQDOO 7DEOH
UHYHDOVWKDWERWKPHPEUDQHVKDYHDSUHGRPLQDQWO HOHFWURQGRQRUFKDUDFWHU/HZLVEDVHDVZHOO
DVWKDWWKLVFKDUDFWHULQFUHDVHVZLWK1D2+FRQFHQWUDWLRQ6LQFHQRFKDQJHVLQ$75)7,5VSHFWUD
ZHUHQRWIRXQGWKLVHIIHFWFDQEHH[SODLQHGE WKHIDFWWKDWWKHH[LVWLQJIXQFWLRQDOJURXSVRIWKHVH
PHPEUDQHVEHFRPHPRUHQHJDWLYHO FKDUJHGZKHQWKH DUHVXEMHFWHGWRDONDOLQHFRQGLWLRQV













5TQP
GIU GLPHQVLRQOHVV
1D2++12

D












5
T
QP
G
IU
GLPHQVLRQOHVV
1D2++12

E
$JHLQJRI3(68)PHPEUDQHVXQGHUDFLGLFDQGDONDOLQHFOHDQLQJVROXWLRQV

7DEOH7RWDOVROLGVXUIDFHHQHUJLHVP-PDQGWKHLUGLVSHUVLYHDQGSRODUFRPSRQHQWV
RI+).DQG37DFWLYHOD HUVDIWHUWKHDJHLQJLQ01D2+VROXWLRQVDW&
$JHLQJ
FRQGLWLRQV
+). 37
J
727
J
/:
J

J

J
727
J
/:
J

J

3ULVWLQHPHPEUDQH        
',ZDWHU        
1D2+0        
1D2+0        
1D2+0        
5.1.4.8. Discussion
$V IRU WKH .RFK DQG *( 2VPRQLFV PHPEUDQHV QR FKDQJHV LQ WKH IXQFWLRQDO JURXS
FRPSRVLWLRQRIWKHDFWLYHDQGWKHVXSSRUWOD HUVZHUHIRXQGDQGQHLWKHULQWKHVWUXFWXUHRIWKH
VXSSRUW OD HUV XQGHU DQ  DFLGLF DJHLQJ FRQGLWLRQ $FWLYH OD HU K GURSKLOLFLW  DOVR UHPDLQHG
XQFKDQJHGIRUERWKPHPEUDQHV+RZHYHU+).DFWLYHOD HUURXJKQHVVLQFUHDVHGZLWKUHVSHFW
WRWKHQHZPHPEUDQHDVZHOODVWKHIUDFWDOGLPHQVLRQOHDGLQJWRDPRUHRSHQVXUIDFHVWUXFWXUH
37PHPEUDQHGLGQRWVKRZHGVXFKFKDQJHVLQURXJKQHVVDQGIUDFWDOGLPHQVLRQSDUDPHWHUVDQG
WKHUHIRUH LW ZRXOG EH OHVV SURQH WR IRXOLQJ WKDQ WKH +). RQH DIWHU D K SRWKHWLFDO DFLGLF
FOHDQLQJVWHSZLWK+127KLVODFNRIVLJQLILFDQWSK VLFRFKHPLFDOFKDQJHVDWWKHHQGRIWKHDFLGLF
DJHLQJWUHDWPHQWVJRHVLQDFFRUGDQFHZLWKWKHSHUPHDELOLW DQG0:&2UHVXOWVZKLFKDUHVLPLODU
WRWKRVHRIWKHUHIHUHQFHPHPEUDQHV
$IWHUWKHDJHLQJXQGHUDONDOLQHFRQGLWLRQVDOWKRXJKWKHIXQFWLRQDOJURXSFRPSRVLWLRQZDV
NHSWFRQVWDQWWKHUHZDVDQLQFUHDVHLQWKHK GURSKLOLFLW RIWKHDFWLYHOD HUVRIERWKPHPEUDQHV
ZKLFKFDPHWRJHWKHUZLWKDQLQFUHDVHLQWKHLUHOHFWURQGRQRUFDSDFLW DWWULEXWHGWRDQLQFUHDVHLQ
WKHQHJDWLYHFKDUJHRIWKHH[LVWLQJIXQFWLRQDOJURXSVRIWKHPHPEUDQHV)DFWVWKDWIDFLOLWDWHWKH
LQFUHDVH LQWKH SHUPHDELOLW  DQG WKH 0:&2 IRU WKH +). RQO XQGHUWKH01D2+
VROXWLRQDQGWKH37PHPEUDQHV7KHURXJKQHVVRIWKHDFWLYHOD HUVRIERWKPHPEUDQHVDOVRURVH
+RZHYHU FRQVLGHULQJ WKH IUDFWDO GLPHQVLRQ ZKLFK HYDOXDWHV WKH SRUH HQWUDQFH DFFHVVLELOLW 
LQGHSHQGHQWRIWKHVFDOHRIH[DPLQDWLRQQRVLJQLILFDQWFKDQJHVFDQEHFRQVLGHUHG
7KH PRVW UHPDUNDEOH DJHLQJ HIIHFW ZDV OLQNHG WR WKHVWDELOLW  RI WKH EDFNLQJ OD HU RI
+).DQG37PHPEUDQHVXQGHUFHUWDLQDONDOLQHFRQGLWLRQV7KXVDIWHUWKHDJHLQJWUHDWPHQWV
DWDQG01D2+FRQFHQWUDWLRQVWKHVXSSRUWOD HUZDVVHYHUHO DIIHFWHG% PHDQVRI
$75)7,5 FRQWDFW DQJOH DQG 6(0 LW ZDV FRQILUPHG WKDW WKH QRQZRYHQ PDGH RI 3(7 ZDV
GHJUDGHGYLDK GURO VLVUHDFWLRQOHDGLQJWRDFRQVLGHUDEOHORVVRIWKLVOD HULQWKHFDVHRIWKH
37 PHPEUDQH DQG WR D FRPSOHWH UHPRYDO RI WKH .RFK RQH 7KH ODVW WHFKQLTXH DOVR DOORZV
&KDSWHU

GHWHUPLQLQJWKHDFWLYHOD HUWKLFNQHVVRIWKH+).DQG37PHPEUDQHV7KHUHIRUHWKHVXSSRUW
OD HU GHJUDGDWLRQ LV EHOLHYHG WR EH WKH PDLQ UHDVRQ WKDW OHDGV WR WKH PHQWLRQHG LQFUHDVH LQ
SHUPHDELOLW DQG0:&2RIWKH.RFKDQG*(2VPRQLFVPHPEUDQHVDVFRQVHTXHQFHRIWKHDONDOLQH
DJHLQJ7KHODFNRIWKHVXSSRUWOD HUPDNHVWKHDFWLYHOD HUOHVVVWDEOHPHFKDQLFDOO LQVXFKDZD 
WKDWWKHVWUHWFKLQJRIWKHSRUHVLVHDVHGE WKHDEVHQFHRIWKHQRQZRYHQOHDGLQJWRWKHLQFUHDVHLQ
WKHSHUPHDELOLW DQGWKH0:&2,QDGGLWLRQGXHWRWKHIDFWWKDW37DFWLYHOD HULVWKLQQHUWKDQ
WKH+).RQHWKHHIIHFWVRQWKHSHUIRUPDQFHDUHOHVVVHYHUHIRUWKHODWWHUEHLQJRQO VLJQLILFDQW
XQGHUWKHDJHLQJDW01D2+FRQFHQWUDWLRQDVPHQWLRQHG
(IIHFWRIWHPSHUDWXUHRQN'D3(6PHPEUDQHDJHLQJ
3HUPHDELOLW DQG0:&2FKDQJHVRIWKHN'D3(6PHPEUDQHVZHUHIROORZHGVRDNLQJ
VDPSOHVLQ01D2+VROXWLRQVDW&&DQG&UHVSHFWLYHO 6LQFHFRQVWDQWSHUPHDELOLW 
ZDVUHDFKHGDIWHUWKHILIWLHWKGD DW&WKHVHVWXGLHVZHUHFRQGXFWHGRQO IRUWZRPRQWKV
VXIILFLHQWWLPHWRUHDFKFRPSDUDEOHVWHDG FRQGLWLRQV
)RUWKH83PHPEUDQHDVVHHQLQ)LJDQGLQ7DEOHWKHDJHLQJLVFRPSOHWHO 
LQGHSHQGHQWRIWHPSHUDWXUH$WWKHWKUHHWHPSHUDWXUHVPHPEUDQHUHODWLYHSHUPHDELOLW LVWKHVDPH
UHDFKLQJDILQDOSHUPHDELOLW RIDURXQG/KPEDU)XUWKHUPRUH0:&2VDUHLQDJUHHPHQW
ZLWK SHUPHDELOLW  UHVXOWV IROORZLQJ WKH VDPH GRZQZDUGV WUHQG ZLWK FXWRII GHFUHDVLQJ IURP
N'DWRN'DIRUWKHWKUHHWHPSHUDWXUHV

)LJ5HODWLYHSHUPHDELOLW DDQG0:&2EFKDQJHVRI83PHPEUDQHVRDNHG
LQ',ZDWHURSHQV PEROVDQGGRWWHGOLQHVDQGDJHGZLWK01D2+VROXWLRQFORVHGV PEROV
DQGVROLGOLQHVDW&US&DQG&
(YHQWKRXJK+).VXSSRUWOD HULVGHJUDGHGDWWKHWKUHHWHPSHUDWXUHVZKHQ0
1D2+ VROXWLRQV DUH XVHG SHUIRUPDQFH RI +). PHPEUDQH LV TXLWH VWDEOH LQ WHUPV RI
SHUPHDELOLW )LJDH[FHSWIRUWKHDJHLQJDW&LQZKLFKSHUPHDELOLW LQFUHDVHVE 
7LPHGD V

/
3
/
3







7LPHGD V

0:&2N'D







D E

$JHLQJRI3(68)PHPEUDQHVXQGHUDFLGLFDQGDONDOLQHFOHDQLQJVROXWLRQV

,QWHUPVRIUHMHFWLRQSHUIRUPDQFHWKH0:&2RIWKH+).PHPEUDQHIOXFWXDWHIURPWR
N'D
)RUWKH37PHPEUDQHWKHKLJKHUWKHWHPSHUDWXUHLVWKHKLJKHULQFUHDVHLQSHUPHDELOLW DW
WKHHQGRIWKHDJHLQJWUHDWPHQWVLVREWDLQHG)LJEEHLQJWKHSHUPHDELOLW DQG
KLJKHUWKDQWKHUHIHUHQFHYDOXHDVWKHWHPSHUDWXUHLQFUHDVHV1RWHWKDWDIWHUGD VWKHLQFUHDVH
ZDVIRUWKHDJHLQJDW&)LJE,QWKHVDPHZD 0:&2VRI37PHPEUDQHVDOVR
LQFUHDVHGXULQJWKHDJHLQJDVDIXQFWLRQRIWKHWHPSHUDWXUHJRLQJIURPWRN'D7KHLQIOXHQFH
RIWKHWHPSHUDWXUHRQWKHDJHLQJRIWKLVPHPEUDQHLVGXHWRWKHVXSSRUWOD HUGHJUDGDWLRQDQGWKH
WKLFNQHVV RI LWV DFWLYH OD HU 7KHUHIRUH WKH KLJKHU WKH WHPSHUDWXUH LV WKH PRUH VHYHUH WKH
GHJUDGDWLRQRIWKHVXSSRUWOD HULVDIIHFWLQJDOVRWKHDFWLYHOD HU
,QVXPPDU WKHHIIHFWRIWKHWHPSHUDWXUHRYHUWKUHHPHPEUDQHVPDGHRI3(6LVGLIIHUHQW
GHSHQGLQJRQWKHVXSSRUWOD HUPDWHULDO7KHDJHLQJRI83PHPEUDQHPL[WXUHRI3(33DV
QRQZRYHQPDWHULDOZDVLQGHSHQGHQWRIWKHWHPSHUDWXUHZKHUHDV+).DQG37PHPEUDQHV
3(7DVQRQZRYHQPDWHULDOVKRZHGDQLQIOXHQFHRIWKLVSDUDPHWHUDWGLIIHUHQWOHYHOVZKLFKLQ
WXUQGHSHQGHGRQWKHWKLFNQHVVRIWKHDFWLYHOD HUDVH[SODLQHGLQ³VHFWLRQ´

)LJ5HODWLYHSHUPHDELOLW RI+).DDQG37EPHPEUDQHVVRDNHGLQ',ZDWHU
RSHQV PEROVDQGGRWWHGOLQHVDQGDJHGZLWK01D2+VROXWLRQFORVHGV PEROVDQGVROLG
OLQHVDW&US&DQG&
7HPSHUDWXUHLVDQLPSRUWDQWSDUDPHWHUZKHQVHWWLQJPHPEUDQHFOHDQLQJSURFHGXUHV,Q
JHQHUDOWKHKLJKHUWKHWHPSHUDWXUHWKHKLJKHUWKHFOHDQLQJHIIHFWLYHQHVV>@,QGHHGWKLV
IDFWRUZDVIRXQGWREHVLJQLILFDQWE &KHQe al.>@WKURXJKDVWDWLVWLFDOIDFWRULDOGHVLJQRI
H[SHULPHQWVLQZKLFKD3(68)PHPEUDQHIRXOHGZLWKDVHFRQGDU HIIOXHQWIURPDORFDOVHZDJH
WUHDWPHQWZRUNVZDVFOHDQHGZLWKRU01D2+VROXWLRQVUHVXOWLQJLQDKLJKHUFOHDQLQJ
HIILFLHQF ZKHQWKHWHPSHUDWXUHLQFUHDVHGIURPWR&+RZHYHUWKHUHVXOWVIURPWKLVZRUN
7LPHGD V
 
/3/3







7LPHGD V
 
/3/3







D E
&KDSWHU

VKRZ WKDW KLJK WHPSHUDWXUHV FDQ UHVXOW LQ DQ LQFUHDVH LQ WKH SHUPHDELOLW  IRU VRPH VSHFLILF
PHPEUDQHVZKLFKFDQOHDGWRZURQJFRQFOXVLRQVLIWKHHIIHFWRIWKHFOHDQLQJDJHQWLWVHOIRQWKH
PHPEUDQHLVQRWVWXGLHGLQGHSHQGHQWO 



$JHLQJRI1)PHPEUDQHVXQGHUDFLGLFDQGDONDOLQHFOHDQLQJVROXWLRQV

$JHLQJRI1)PHPEUDQHVXQGHUDFLGLFDQGDONDOLQHFOHDQLQJVROXWLRQV

$EVWUDFW
7ZRFRPPHUFLDO1)SRO PHULFPHPEUDQHV1)DQG1)IURP'RZ)LOPWHFZHUH
VXEMHFWHGWRDFLGLFDQGDONDOLQHDJHLQJXVLQJ+12DQG1D2+UHVSHFWLYHO &RQFHQWUDWLRQVRI
DQG0ZHUHWHVWHGIRUERWKFOHDQHUVDW&0HPEUDQHDJHLQJZDVFRQGXFWHGHLWKHU
E VRDNLQJWKHPHPEUDQHVLQWKHFOHDQLQJVROXWLRQVRULQFURVVIORZPRGH0HPEUDQHGHJUDGDWLRQ
ZDVIROORZHGE SHUPHDELOLW DQGUHMHFWLRQPHDVXUHPHQWVXVLQJFKDUJHG1D62DQGXQFKDUJHG
JOXFRVHDQGVXFURVHPROHFXODUPDUNHUV,QDGGLWLRQWKHDFWLYHOD HUVXUIDFHFRPSRVLWLRQDQG
VWUXFWXUH RI WKH DJHG PHPEUDQHV ZHUH DQDO ]HG E  $75)7,5 VSHFWURVFRS  DQG 6(0 %RWK
PHPEUDQHVZHUHPRUHUHVLVWDQWWRWKHDFLGLFWKDQWRWKHDONDOLQHFOHDQHUDQGXQGHUWKHVDPH
FRQGLWLRQV1)ZDVPRUHUHVLVWDQWWKDQ1)'LIIHUHQFHVEHWZHHQERWKDJHLQJPRGHVZHUH
IRXQG EHLQJ WKH PHPEUDQH GHJUDGDWLRQ OHVV SURQRXQFHG LQ FURVVIORZ PRGH &KDQJHV LQ
PHPEUDQHSHUIRUPDQFHZHUHFRUUHODWHGWKURXJKWKH)7,5DEVRUEDQFHGHFUHDVHLQWKHDPLGH,DQG,,
EDQGVRI1)DQG1)UHVSHFWLYHO 6RPHGHJUDGDWLRQRIWKHEDFNLQJOD HURIERWKPHPEUDQHV
DOVRWRRNSODFHXQGHUFHUWDLQDJHLQJFRQGLWLRQVHVSHFLDOO IRU01D2+VROXWLRQV
$JHLQJRIWKH1)PHPEUDQH
&KDQJHVLQSHUPHDELOLW DQGUHMHFWLRQRI1)PHPEUDQHDVIXQFWLRQRIWKHH[SRVXUHWLPH
WR+12DQG1D2+DW&DUHVKRZQLQ)LJ,QDOOWKHILJXUHVHUURUEDUVDUHFDOFXODWHGIURP
WKHVWDQGDUGGHYLDWLRQRIWKHIRXUPHPEUDQHVDPSOHPHDVXUHPHQWVDVVRFLDWHGWRHDFKFRQGLWLRQ
DQGWKH DUHDGGHGWRVKRZWKHGLVSHUVLRQ1)PHPEUDQHSHUIRUPDQFHLVVWDEOHLQ',ZDWHU
7KHVHSHUPHDELOLW DQGUHMHFWLRQUHVXOWVDUHXVHGDVUHIHUHQFHWRGHWHUPLQHWKHDJHLQJXQGHUWKH
GLIIHUHQWDFLGLFDQGDONDOLQHFRQGLWLRQV
1)PHPEUDQHVKRZVDKLJKVWDELOLW ZKHQLWLVVRDNHGLQDQG0+12VROXWLRQV
3HUPHDELOLW  UHPDLQV FRQVWDQW DURXQG  /KPEDU DV ZHOO DV 1D62 JOXFRVH DQG VXFURVH
UHMHFWLRQVZKLFKDUHDURXQG2QO DWWKHHQGRIWKHDJHLQJWUHDWPHQWDW0WKHPHPEUDQH
UHMHFWLRQRIXQFKDUJHGVROXWHVVWDUWVWRGHFUHDVH:KHQ+12FRQFHQWUDWLRQLVLQFUHDVHGXSWR
0PHPEUDQHVWDELOLW ODVWVOHVVWKDQGD VZKLFKZRXOGEHHTXLYDOHQWWRDURXQG HDURI
SODQW RSHUDWLRQ XQGHU WKH DVVXPSWLRQV PHQWLRQHG LQ ³VHFWLRQ ´ HVSHFLDOO  LQ WHUPV RI
XQFKDUJHGVROXWHUHMHFWLRQZKLFKVKRZVDVKDUSGHFUHDVHDIWHUWKHWHQWKGD 
2QWKHRWKHUKDQGWKHDONDOLQHWUHDWPHQWKDVDKLJKHULPSDFWRQ1)PHPEUDQH7KH
DJHLQJDW0OHDGVWRDTXLFNLQFUHDVHLQSHUPHDELOLW ZKLOH1D62DQGXQFKDUJHGVROXWH
UHMHFWLRQVGURSEHORZDIWHUWKHILIWKHTXLYDOHQWWRPRQWKVDQGWKHWKLUGPRQWKVGD 
UHVSHFWLYHO )RU01D2+ERWK1)PHPEUDQHSHUPHDELOLW DQG1D62UHMHFWLRQUHPDLQV
FRQVWDQWIRUWKHILUVWGD V HDUVVKRZLQJWKHHIIHFWVRIWKHDJHLQJDIWHUWKDWSRLQW+RZHYHU
&KDSWHU

LQWKLVFRQGLWLRQWKHJOXFRVHDQGVXFURVHUHMHFWLRQVWDUWHGWRGHFUHDVHDWWKHEHJLQQLQJRIWKH
WUHDWPHQWEHLQJORZHUWKDQDIWHUWKHILIWLHWKGD  HDUV7KHUHIRUHRQHFDQFRQFOXGHWKDW
WKH1)PHPEUDQHLVTXLWHVWDEOHLQWHUPVRISHUPHDELOLW DQGUHMHFWLRQSHUIRUPDQFHXQGHUWKH
01D2+WUHDWPHQW7KLVEHKDYLRUKDVEHHQDOUHDG GHVFULEHGE 0lQWWlULe al.>@7KH
LQFUHDVH LQ S+ LQFUHDVHV WKH SHUPHDELOLW  DQG PDNHV WKH QRQFKDUJHG VROXWHV KDYH D ORZHU
UHMHFWLRQ 1RQHWKHOHVV WKH DXWKRUV FKHFNHG WKH UHMHFWLRQ RI 1D&OLQVWHDGRI1D
62
1LOVVRQe al.>@GLGQRWILQGDQ FKDQJHVLQ1)PHPEUDQHVPRVWOLNHO EHFDXVHWKH XVHGDYHU 
ORZDONDOLQHGHWHUJHQWFRQFHQWUDWLRQHTXLYDOHQWWR01D2+DQGLWLVFOHDULQ)LJWKDW
PHPEUDQHVDUHQRWDIIHFWHGXQWLODWOHDVWGD VRIH[SRVXUHXQGHUWKLVFRQGLWLRQ
7KHFKHPLFDOFKDQJHVEHKLQGWKH1)PHPEUDQHSHUIRUPDQFHGXHWRWKHDFWLRQRIWKH
1D2+DQG+12FOHDQLQJVROXWLRQVDUHH[SODLQHGLQGHWDLOODWHURQ
7KH1)PHPEUDQHFRQVLVWVRIWKUHHOD HUVDIXOO DURPDWLFSRO DPLGH3$DFWLYHOD HU
PDGHRIEHQ]HQHGLDPLQHDQGWULPHVR OFKORULGHZKLFKFRDWVDSRO VXOIRQH36XVXSSRUW
OD HUUHLQIRUFHGE DQRQZRYHQEDFNLQJOD HUPDGHRISRO HVWHU>@'XHWRWKHUHODWLYH
KLJKSHQHWUDWLRQRIWKH,5EHDPLQWRWKHPHPEUDQHWKH1)$75)7,5VSHFWUXPVKRZVSHDNV
DVVRFLDWHG WR ERWK 36X DQG 3$ OD HUV 7KHVH SHDNV ZHUH DOUHDG  GHVFULEHG LQ GHWDLO E 
7DQJe al.>@$WILUVWVLJKW$75)7,5VSHFWUDRI1)PHPEUDQH)LJGRQRWVKRZ
DQ VLJQLILFDQWFKDQJHDIWHUHLWKHUWKHDFLGLFRUWKHDONDOLQHDJHLQJDWDQ FRQFHQWUDWLRQEHFDXVH
PRVWRIWKHSHDNVDUHIURPWKH36XOD HUZKLFKLVVWDEOHLQWKHVHFRQGLWLRQV,QRUGHUWRVHSDUDWH
WKHHIIHFWRIERWKOD HUVWKHKHLJKWUDWLR,,EHWZHHQRQHRIWKH3$SHDNVWKHDPLGH,,
EDQGDWFPDVVRFLDWHGWRWKH1+LQSODQHEHQGLQJDQG1±&VWUHWFKLQJYLEUDWLRQRI&2±
1+JURXSVDQGRQHRIWKH36XSHDNVDWFPDVVRFLDWHGWRWKH&±2±&DV PPHWULFVWUHWFKLQJ
YLEUDWLRQRIDU O±2±DU OJURXSVZKLFKUHPDLQVLQYDULDQWZDVGHWHUPLQHG7DEOH)RUWKRVH
FRQGLWLRQVLQZKLFKQRSHUIRUPDQFHFKDQJHVZHUHREVHUYHGWKH,,UDWLRUHPDLQVVLPLODUWR
WKDWRIWKHSULVWLQHDQGUHIHUHQFHPHPEUDQHV+RZHYHUWKHYDOXHRIWKLVKHLJKWUDWLRGHFUHDVHVZLWK
LQFUHDVLQJFRQFHQWUDWLRQVRIHLWKHU+12RU1D2+LQGLFDWLQJWKDWWKHUHLVDGHFUHDVHLQWKHQXPEHU
RI&2±1+ERQGVRQWKH1)DFWLYHOD HUVXUIDFHDQGWKHUHIRUHLQGLFDWLQJDGHJUDGDWLRQRIWKH
3$DFWLYHOD HU
$JHLQJRI1)PHPEUDQHVXQGHUDFLGLFDQGDONDOLQHFOHDQLQJVROXWLRQV


)LJ  3HUPHDELOLW  DQG 1D

62

 JOXFRVH DQG VXFURVH UHMHFWLRQ EHKDYLRU RI WKH
1)PHPEUDQHDJHGDW&LQ+12

OHIWFROXPQDQG1D2+ULJKWFROXPQVROXWLRQVRI
0SVKRUWGDVKOLQH0ORQJGDVKOLQHDQG0VROLGOLQHDQGVRDNHGLQ
',ZDWHU{GRWWHGOLQH

&KDSWHU


)LJ  ([DPSOH RI RQH DPLGH ERQG K GURO VLV UHDFWLRQ RI WKH
1)SRO SLSHUD]LQDPLGHDFWLYHOD HUXQGHUDFLGLFFRQGLWLRQV
7DEOHDOVRVKRZVWKDWIRUWKH1)PHPEUDQHWKH3$DFWLYHOD HUGHJUDGDWLRQDWD
JLYHQFRQFHQWUDWLRQLVPRUHVHYHUHORZHU,,UDWLRDIWHUWKHDONDOLQHDJHLQJWKDQDIWHUWKH
DFLGLFRQH7KLVLVLQDJUHHPHQWZLWKWKHPHPEUDQHSHUIRUPDQFHDWWKHHQGRIWKHGLIIHUHQWDJHLQJ
FRQGLWLRQVDQGZLWKWKHKLJKHUK GURO VLVUDWHFRQVWDQWVDWDONDOLQHS+VIRXQGLQWKHZRUNRI
'XDQe al.>@
/DVWLWZDVIRXQGWKDWWKHDJHLQJRIWKH1)PHPEUDQHLQWHUPVRISHUIRUPDQFHZDV
PRUH VHYHUH WKDQ WKH 1) RQH XQGHU DQ  VDPH DFLGLF RU DONDOLQH FRQGLWLRQ )LJ DQG
)LJ7KHK GURO VLVRIWKHDPLGHERQGVDWORZRUKLJKS+VLQYROYHVDQXFOHRSKLOLFDWWDFN
IURPDZDWHUPROHFXOHRUIURPDK GUR[LGHLRQDVDERYHH[SODLQHGUHVSHFWLYHO WRWKHFDUERQ O
FDUERQDWRPRIWKHDPLGHERQG7KLVDWWDFNLVERRVWHGE WKHKLJKHUDPRXQWRIHOHFWURQGHQVLW 
WKDWWKHFDUERQVXEVWLWXHQWVDUHDEOHWRZLWKGUDZZKLFKPDNHVWKHDWRPPRUHHOHFWURSKLOLFDQG
E WKHORZHUVL]HRIWKLVJURXSVZKLFKPDNHVLWHDVLHUIRUWKHQXFOHRSKLOLFWRDWWDFN>@6LQFHLQ
ERWKPHPEUDQHVWKHFDUERQ OFDUERQDWRPVKDYHWKHVDPHGRXEOHERQGWRDQR[ JHQDQGVLQJOH
ERQGVWRDSKHQROLFJURXSDQGWRDQLWURJHQDWRPWKHK GURO VLVUDWHLVOLNHO WREHVLPLODUIRUERWK
PHPEUDQHVXQGHUWKHVDPHFRQGLWLRQVGLVFUHSDQFLHVZRXOGFRPHIURPWKHGLIIHUHQWJURXSVDW
ZKLFKWKHQLWURJHQDWRPVDUHERQGHG7KHUHIRUHWKHIDVWHUZRUVHQLQJ RI 1) PHPEUDQH
SHUIRUPDQFHPD EHGXHWRLWVORZHUDFWLYHOD HUWKLFNQHVVQPZLWKUHVSHFWWRWKH1)
RQH    QP ZKLFK PDNHV WKH FURVVOLQNLQJ GHJUHH UHGXFWLRQ PRUH FULWLF IRU WKH ILUVW
PHPEUDQH>@

+12

1 &
2
&
2
11&
2
&
2
1
&&
22
55
P

+

2
1&
2
&
2
1
& 2
5
PQ
+

1 &
2
&
2
1
& 2
5
2+
Q

+12

$JHLQJRI1)PHPEUDQHVXQGHUDFLGLFDQGDONDOLQHFOHDQLQJVROXWLRQV

&KDQJHVLQWKHDEVRUEDQFHRIWKHDPLGH,EDQGIRXQGLQWKLVZRUNZHUHQRWUHSRUWHGE 
6LPRQHWDO>@1RQHWKHOHVVLQWKHLUVWXG 1)PHPEUDQHZDVVXEMHFWHGWR1D2+VROXWLRQ
DWS+IRURQO KZKLFKPD H[SODLQWKHODFNRIFKDQJHVDWWKDWHDUO VWDJH

)LJ$75)7,5VSHFWUDRIWKHDFWLYHOD HURIWKH1)PHPEUDQHLQLWVSULVWLQHVWDWH
VRDNHG LQ ', ZDWHU DQG DJHG LQ +12 D DQG 1D2+ E DJHLQJ VROXWLRQV DW GLIIHUHQW
FRQFHQWUDWLRQV
6(0PLFURJUDSKVRIWKHEDFNVLGHDQGFURVVVHFWLRQRIWKH1)PHPEUDQHDUHVKRZQLQ
)LJ,WFDQEHREVHUYHGWKDWWKHVRDNLQJLQ',ZDWHUDVH[SHFWHGGRHVQRWKDYHDQ HIIHFWRQ
WKHPHPEUDQHV,QWKHVDPHZD WKHDFLGLFDJHLQJGRHVQRWDIIHFWWKHPHPEUDQHVWUXFWXUHDWDQ 
FRQFHQWUDWLRQ+RZHYHUDWWKHHQGRIWKHDONDOLQHDJHLQJDW0FRQFHQWUDWLRQLWLVFOHDUWKDWWKH
JOXHZDVUHPRYHGDQGRQO WKHQRQZRYHQVXSSRUWUHPDLQVPDNLQJWKHPHPEUDQHZHDNHU$W
DQG01D2+FRQFHQWUDWLRQVQRFKDQJHVLQWKHPHPEUDQHVWUXFWXUHDUHIRXQG

$EVRUEDQFH
:DYHQXPEHUFP



$EVRUEDQFH
:DYHQXPEHUFP


D
E
3ULVWLQH
',ZDWHU
0
0
0
3ULVWLQH
',ZDWHU
0
0
0


&KDSWHU


)LJ  6(0 PLFURJUDSKV RI WKHEDFNLQJ OD HU DQG WKH FURVVVHFWLRQ RIWKH 1)
PHPEUDQHLQLWVSULVWLQHVWDWHVRDNHGLQ',ZDWHUDQGDJHGLQ+12

DQG1D2+DJHLQJVROXWLRQV
DWGLIIHUHQWFRQFHQWUDWLRQV
$JHLQJRIWKH1)PHPEUDQHLQFURVVIORZPRGH
7KH 1) PHPEUDQH ZDV DOVR DJHG LQ D FURVVIORZ V VWHP VLPXODWLQJ UHDO FOHDQLQJ
FRQGLWLRQVXVLQJWKH01D2+VROXWLRQDW&7KHDJHLQJZDVFRQGXFWHGLQWZRGLIIHUHQW
FRQILJXUDWLRQV RQH ZLWK WKH SHUPHDWH YDOYH RSHQ DQG DQRWKHU ZLWKLWFORVHG&KDQJHVLQ
SHUPHDELOLW  )LJ  DUH VKRZQ DV SHUPHDWH IOX[ FKDQJHV VLQFH ILOWUDWLRQ FRQGLWLRQV ZHUH
HVWDEOLVKHGLQRUGHUWRKDYHWKHVDPHLQLWLDOSHUPHDWHIOX[DVLQWKHGHDGHQGILOWUDWLRQ
5HJDUGOHVVRIWKHDJHLQJPRGHWKHUHLVDMXPSXSLQSHUPHDELOLW DIWHUWKHILUVWH[SRVXUH
WRWKHDONDOLQHVROXWLRQDQGLWLVPRUHSURQRXQFHGZKHQWKHDJHLQJLVFRQGXFWHGZLWKWKHVPDOO
FRXSRQVVRDNLQJPRGH$IWHUWKLVLQLWLDOMXPSWKHSHUPHDELOLW NHHSVLQFUHDVLQJJUDGXDOO ,Q
$JHLQJRI1)PHPEUDQHVXQGHUDFLGLFDQGDONDOLQHFOHDQLQJVROXWLRQV

FURVVIORZPRGHRSHQRUFORVHGSHUPHDWHYDOYHDIWHUWKHILUVWSHUPHDELOLW MXPSLWUHPDLQV
FRQVWDQW IRU DOPRVW  K DQG WKHQ LQFUHDVHV ILUVW JUDGXDOO  EXW ODWHU H[SRQHQWLDOO  7KLV
H[SRQHQWLDOJURZWKLVQRWUHDFKHGIRUWKHVRDNLQJPRGHEXWRQHFRXOGVD WKHODVWSRLQWZRXOG
LQGLFDWHVXFKWUHQG$JDLQWKLVEHKDYLRULV LQDJUHHPHQW ZLWKWKHH[SHULPHQWVFDUULHGRXWE 
0lQWWlULe al.>@VKRZLQJWKHLQFUHDVHRISHUPHDWHIOX[DWKLJKS+DQGDOVRWKHGHFUHDVHLQ
UHMHFWLRQQRWVRVKDUSDVLQWKHVRDNLQJPRGH
,QWHUPVRIVHSDUDWLRQSHUIRUPDQFHWKHDJHLQJRIWKH1)PHPEUDQHLQWKHVRDNLQJPRGH
IROORZVWKHVDPHWUHQGDVWKHSHUPHDELOLW VKRZLQJDFRQWLQXRXVGHFUHDVHLQWKH1D62UHMHFWLRQ
+RZHYHULQFURVVIORZPRGHWKHUHLVDQLQLWLDOGHFUHDVHLQWKHVDOWUHMHFWLRQIURPWRDQG
WKHQWKH1)PHPEUDQHEHKDYLRULVYHU VWDEOHXQWLOWKHK%H RQGWKLVWLPHPHPEUDQH
UHMHFWLRQGURSVVKDUSO EHLQJPRUHVLJQLILFDQWIRUWKHFRQILJXUDWLRQZLWKWKHSHUPHDWHYDOYHRSHQ
7KHGLIIHUHQFHVEHWZHHQWKHPHPEUDQHSHUIRUPDQFHRYHUWKHDJHLQJLQVRDNLQJDQGFURVV
IORZPRGHVDUHOLNHO GXHWRWKHIDFWWKDWLQVRDNLQJPRGHWKHPHPEUDQHVDUHVXEMHFWHGWRWKH
ZKROH 1D2+ VROXWLRQ IURP WKH DFWLYH OD HU DQG EDFNVLGH ZKHUHDV LQ FURVVIORZ PRGH WKH
PHPEUDQHLVRQO LQGLUHFWFRQWDFWZLWKWKHDJHLQJVROXWLRQWKURXJKWKHDFWLYHOD HU7KLVLVEHWWHU
VHHQZKHQWKHSHUPHDWHYDOYHLVFORVHGZKLFKPLQLPL]HVWKHSDVVDJHRIDJHLQJVROXWLRQWKURXJK
WKHPHPEUDQH
$OWKRXJKWKHDJHLQJPRGHDIIHFWVWKHDJHLQJLWVHOILQWHUPVRIPHPEUDQHSHUIRUPDQFHWKH
WHVWVLQVRDNLQJPRGHFDQEHVWLOOXVHIXOWRSUHGLFWPHPEUDQHEHKDYLRUGXULQJWKHDJHLQJLQWKH
ZRUVWVFHQDULR7KXVWKHH[WUDSRODWLRQVIURPGHDGHQGWRFURVVIORZPRGHVZKLFKDUHFORVHUWR
WKHDFWXDOFRQGLWLRQVLQLQGXVWU ZLOOOHDGWRFRQVHUYDWLYHSUHGLFWLRQVRIPHPEUDQHOLIHWLPH

)LJ3HUPHDWHIOX[DDQG1D62UHMHFWLRQERIWKH1)PHPEUDQHWKURXJKRXW
WKHDJLQJLQ01D2+DW&LQVRDNLQJPRGHzDQGLQFURVVIORZPRGHZLWKWKHSHUPHDWH
YDOYHRSHQDQGFORVHc






 
5HMHFWLRQ
7LPHK






 
3HUPHDWHIOX[/KP
7LPHK
D E








)LWWLQJDSSURDFKWRFKDUDFWHUL]H8)PHPEUDQHVWKURXJK//'3

)LWWLQJDSSURDFKWRFKDUDFWHUL]H8)PHPEUDQHVWKURXJK//'3

7KLVFKDSWHULVGHYRWHGWRWKHGHYHORSPHQWRIDQHZILWWLQJDSSURDFKWRFKDUDFWHUL]H8)
PHPEUDQHVWKURXJK//'37KLVWHFKQLTXHLVEDVHGRQWKH<RXQJ/DSODFHHTXDWLRQZKLFKUHODWHV
WKHVXUIDFHWHQVLRQRIDIOXLGLQDFDSLOODU ZLWKWKHUDGLXVRIVXFKFDSLOODU 
,QRUGHUWRFRQGXFWWKHDQDO VLVDGLVSODFLQJOLTXLGLVIRUFHGWRHQWHULQVLGHWKHVDPSOHSRUHV
ZKLFKZHUHSUHYLRXVO ILOOHGZLWKDQLPPLVFLEOHOLTXLGZHWWLQJOLTXLG7KHQHHGHGSUHVVXUHWR
HPSW DSRUHGHSHQGVRQLWVUDGLXV7KHUHIRUHDVWKHDSSOLHGSUHVVXUHLQFUHDVHVQHZVPDOOHUSRUHV
DUH RSHQHG WKH ZHWWLQJ OLTXLG LQVLGH WKHP LV GUDJJHG DQG KLJKHUIORZVDUHREWDLQHG//'3
PHDVXUHVWKHSUHVVXUHQHHGHGWRDFKLHYHJLYHQIORZVOHDGLQJWRSDLUVRIGDWDSUHVVXUH s.IORZ
ZKLFKDUHWKHUDZGDWDIRUWKHFDOFXODWLRQV
7UDGLWLRQDOPHWKRGVVXFKDVWKHHPSOR HG*UDEDU1LNLWLQHRQHDUHDEOHWRREWDLQWKHSRUH
QXPEHUGLVWULEXWLRQWKURXJKFRPSOH[FDOFXODWLRQVLQZKLFKWKHFRQWULEXWLRQRIHDFKSRUHVL]HWR
WKHWRWDOIORZDWDJLYHQSUHVVXUHLVGHWHUPLQHGIRUHDFKSDLURIGDWD7KHVHPHWKRGVUHTXLUHD
GLIIHUHQWLDWLRQRIWKHIXQGDPHQWDOHTXDWLRQVZKLFKPDNHVWKHPYHU VHQVLWLYHWRWKHH[SHULPHQWDO
YDOXHV
7KHDSSURDFKSUHVHQWHGLQWKLVZRUNLVWRFUHDWHDWKHRUHWLFDOPRGHOPHPEUDQHGHILQHGE 
D ORJQRUPDO SRUH QXPEHU GLVWULEXWLRQ DQG D WRWDO SRUH QXPEHU GHQVLW  ZKRVH SHUIRUPDQFH
UHVHPEOHVWKHDFWXDOPHPEUDQHGXULQJWKH//'3DQDO VLV)RUWKLVSXUSRVHWKUHHSDUDPHWHUVPXVW
WREHILWWHGWKHJHRPHWULFPHDQUDGLXVWKHJHRPHWULFVWDQGDUGGHYLDWLRQDQGWKHWRWDOSRUHQXPEHU
GHQVLW 
9DOLGDWLRQRIWKHPRGHOKDVEHHQFRQGXFWHGXVLQJW SLFDO//'3SDUDPHWHUVVXFKDVSRUH
QXPEHU DQG SHUPHDQFH GLVWULEXWLRQV DV PSWRWLF SHUPHDQFH PHDQ UDGLXV EDVHG RQ ERWK
GLVWULEXWLRQVDQG0:&2HVWLPDWLRQVE FRPSDULQJWKHPRGHOUHVXOWVWRWKHWUDGLWLRQDOPHWKRGV
,QDGGLWLRQWKHIHDVLELOLW RIWKHPRGHOWRREWDLQUHOLDEOHUHVXOWVXVLQJDOHVVQXPEHURIUDZGDWD
KDVEHHQWHVWHG
7KHUHVXOWVRIWKLVZRUNDUHSUHVHQWHGE PHDQVRIWKHDFFHSWHGSXEOLFDWLRQZKRVHUHIHUHQFH
DQGVWDWXVDUHVKRZQEHORZ
x5HIHUHQFH($QWyQ-,,JQDFLR-5ÈOYDUH]$+HUQiQGH]6/XTXH)LWWLQJDSSURDFK
WROLTXLGOLTXLGGLVSODFHPHQWSRURVLPHWU EDVHGRQWKHORJQRUPDOSRUHVL]HGLVWULEXWLRQ-
0HPEU6FL$FFHSWHG
x6WDWXV$FFHSWHG






)LWWLQJDSSURDFKWRFKDUDFWHUL]H8)PHPEUDQHVWKURXJK//'3

),77,1*$3352$&+72/,48,'/,48,'',63/$&(0(17
32526,0(75<%$6('217+(/2*1250$/
325(6,=(',675,%87,21

En ique An óna,b, José Ignacio Cal ob,†, José R. Ál a eza, An onio He nándezb and
Susana Luquea

D'HSDUWPHQWRI&KHPLFDODQG(QYLURQPHQWDO(QJLQHHULQJ8QLYHUVLW RI2YLHGR
2YLHGR6SDLQ
E 6XUIDFHV DQG 3RURXV 0DWHULDOV *URXS 60$3 8$89$&6,& 8QLYHUVLW  RI
9DOODGROLG9DOODGROLG6SDLQ

&RUUHVSRQGLQJDXWKRU7HOHSKRQH)D[
(PDLOMLFDOYR#WHUPRXYDHV


&KDSWHU

.H ZRUGV
0HPEUDQHFKDUDFWHUL]DWLRQ
8OWUDILOWUDWLRQ8)PHPEUDQHV
/LTXLGOLTXLGGLVSODFHPHQWSRURVLPHWU //'3
/RJQRUPDOSRUHVL]HGLVWULEXWLRQ
3HUPHDQFHGLVWULEXWLRQ

$EVWUDFW
/LTXLGOLTXLGGLVSODFHPHQWSRURVLPHWU //'3KDVEHHQXVHGWRFKDUDFWHUL]HVHYHUDO8)
PHPEUDQHVLQDZLGHUDQJHRIPROHFXODUZHLJKWFXWRIIV0:&2$QHZPHWKRGWRFRQYHUW
SRURVLPHWULFGDWDLQWRSRUHVL]HGLVWULEXWLRQVDQGUHODWHGLQIRUPDWLRQKDVEHHQGHYHORSHGEDVHGRQ
DVVXPLQJORJQRUPDOSRUHVL]HGLVWULEXWLRQV7KHUHVXOWVRIWKLVDUHLQJRRGDJUHHPHQWZLWKWKRVH
IURPWKHFXVWRPDU GDWDFRQYHUVLRQDOJRULWKPDVGHULYHGE *UDEDUDQG1LNLWLQH7KHSURSRVHG
PHWKRGFDQDOVREHXVHGZKHQDUHGXFHGQXPEHURIH[SHULPHQWDOGDWDSRLQWVLVDYDLODEOHOHDGLQJ
WRDVLJQLILFDQWUHGXFWLRQRIGDWDDFTXLVLWLRQWLPHQHHGHGWRFRPSOHWHDUHOLDEOHDQDO VLV
