%Lrwudqvirupdwlrqri%Hq) Doghk/Ghwr/3Khq/Odfhw/Ofduelqro /3$&E/) Uhh&Hoovri7Ruxodvsrud Ghoeuxhfnll Lqsuhvhqfh Ri%Hwd&/Forgh (Wulq
%Lrwudqvirupdwlrqri%Hq) Doghk/Ghwr/3Khq/Odfhw/Ofduelqro /3$&E/) Uhh&Hoovri7Ruxodvsrud Ghoeuxhfnll Lqsuhvhqfh Ri%Hwd&/Forgh (Wulq
%Lrwudqvirupdwlrqri%Hq) Doghk/Ghwr/3Khq/Odfhw/Ofduelqro /3$&E/) Uhh&Hoovri7Ruxodvsrud Ghoeuxhfnll Lqsuhvhqfh Ri%Hwd&/Forgh (Wulq
%5$=,/,$1$5&+,9(62)
9ROQSS6HSWHPEHU
%,2/2*<$1'7(&+12/2*<
,6613ULQWHGLQ%UD]LO
$ 1 , 1 7 ( 5 1 $ 7 , 2 1 $ / - 2 8 5 1 $ /
%LRWUDQVIRUPDWLRQRI%HQ]DOGHK\GHWR/3KHQ\ODFHW\OFDUELQRO
/3$&E\)UHH&HOOVRI7RUXODVSRUD GHOEUXHFNLL LQSUHVHQFH
RI%HWD&\FORGH[WULQ
9LODV %6KXNODDQG3XVKSD5.XONDUQL
)RRG )HUPHQWDWLRQ 7HFKQRORJ\ 'LYLVLRQ 'HSW RI &KHPLFDO 7HFKQRORJ\ 8QLYHUVLW\ RI 0XPEDL 8'&7
1DWKDODO3DUHNK0DUJ0DWXQJD0XPEDL ,QGLD
$%675$&7
6WXGLHV ZHUH FDUULHG RXW WR H[SORUH WKH SRVVLELOLW\ RI GHFUHDVLQJ WKH WR[LF DQG LQKLELWRU\ HIIHFWV RI WKH VXEVWUDWH
EHQ]DOGHK\GHGXULQJLWVELRWUDQVIRUPDWLRQWR/3$&E\IUHHFHOOVRI7RUXODVSRUDGHOEUXHFNLLXVLQJEF\FORGH[WULQ
E&' 8VH RI YDULRXV OHYHOV RI EHQ]DOGHK\GH DQG DFHWDOGHK\GH LQ SUHVHQFH RI RI E&' VKRZHG WKDW LQ
SUHVHQFH RI E&' WKH RUJDQLVP FRXOG WROHUDWH KLJKHU OHYHOV RI EHQ]DOGHK\GH DQG DFHWDOGHK\GH 6HPLFRQWLQXRXV
IHHGLQJRIEHQ]DOGHK\GHDQGDFHWDOGHK\GHZDVIRXQGWRLQFUHDVHWKH\LHOGRI/3$&LQFRPSDULVRQZLWKRQHWLPH
IHHGLQJ
.H\ZRUGV %HQ]DOGHK\GH%LRWUDQVIRUPDWLRQ&\FORGH[WULQ/SKHQ\ODFHW\FDUELQRO7RUXODVSRUDGHOEUXHFNLL
$XWKRUIRUFRUUHVSRQGHQFH
%UD]LOLDQ$UFKLYHVRI%LRORJ\DQG7HFKQRORJ\
6KXNOD9%DQG.XONDUQL35
DJLIWVDPSOHIURP6$&KHPLFDOV/WG0XPEDL WR6HPLFRQWLQXRXVIHHGLQJRIGLIIHUHQW
ZHUH XVHG $Q \HDVW LVRODWH IURP PRODVVHV OHYHOVRIEHQ]DOGHK\GHDQGDFHWDOGHK\GHZDVDOVR
LGHQWLILHG DV 7RUXODVSRUD GHOEUXHFNLL ZDV XVHG FDUULHG RXW WLPHV DW LQWHUYDOV RI PLQ LQ
7KH FRPSRVLWLRQ RI WKH PDLQWHQDQFH PHGLXP SUHVHQFHRIE&'
>/RQJHWDO@XVHGZDVJOXFRVH SHSWRQH
\HDVW H[WUDFW DJDU DQG KDG S+ $QDO\VLV RI ELRWUDQVIRUPDWLRQ SURGXFWV $IWHU
7KHJURZWKPHGLXP>/RQJHWDO@FRQWDLQHG ELRWUDQVIRUPDWLRQWKHPHGLXPZDVFHQWULIXJHGDW
JOXFRVHSHSWRQH\HDVWH[WUDFWDQGKDG USP IRU PLQ 7KH VXSHUQDWDQW ZDV
S+7KHELRWUDQVIRUPDWLRQPHGLXP>1LNRORYD H[WUDFWHG WKUHH WLPHV ZLWK HTXDO YROXPHV RI
DQG:DUG@KDYLQJFRPSRVLWLRQJOXFRVH GLHWK\OHWKHU7KHFRPELQHGH[WUDFWZDVGULHGRYHU
SHSWRQH DQGS+ZDVXVHG DQK\GURXVVRGLXPVXOSKDWHDQGFRQFHQWUDWHGRYHU
D FRQWUROOHG WHPSHUDWXUH ZDWHU EDWK 7KH UHVLGXH
&XOWXUHJURZWK POVXVSHQVLRQRIFHOOVRIWKH REWDLQHGZDVGLVVROYHGLQPHWKDQRODQGVXEPLWWHG
LVRODWH 7RUXODVSRUD GHOEUXHFNLL FRQWDLQLQJ WR*&DQDO\VLV7KHFRQGLWLRQVXVHG IRU*&ZHUH
FHOOV ZDV LQRFXODWHG LQWR PO RI JURZWK PHGLXP DV IROORZV *& PRGHO XVHG ZDV &KHPLWR
DQGLQFXEDWHGRQDURWDU\VKDNHUDW rR&DW ZLWK 2UDFOH FRPSXWLQJ LQWHJUDWRU $ PHWHU
USP IRU K 7KH FXOWXUH VR REWDLQ HG ZDV ORQJFROXPQRI29ZDVXVHG7KHLQMHFWRU
LQRFXODWHG LQWR PO RI WKH VDPH PHGLXP DQG WHPSHUDWXUH ZDV 2& DQG GHWHFWRU WHPSHUDWXUH
DOORZHG WR JURZ IRU K XQGHU VDPH FRQGLWLRQV ),' ZDV 2& &ROXPQ SURJUDPPLQJ ZDV DV
DQGFHOOVZHUHKDUYHVWHGE\FHQWULIXJLQJDW IROORZV 2& IRU PLQ WKHQ 2&PLQ XS WR
USPIRUPLQDW R&7KHELRPDVVREWDLQHGZDV 2& DQG KROGLQJ IRU PLQ 5HWHQWLRQ WLPHV RI
ZDVKHG ZLWK ZDWHU FHQWULIXJHG DQG XVHG IRU EHQ]DOGHK\GH EHQ]\O DOFRKRO / 3$& 3$&GLRO
ELRWUDQVIRUPDWLRQVWXGLHV ZHUH PLQ PLQ PLQ DQG PLQ
UHVSHFWLYHO\ 7KH FRQFHQWUDWLRQV RI WKHVH
%LRWUDQVIRUPDWLRQRIEHQ]DOGHK\GHWR/3$& FRPSRXQGV ZHUH GHWHUPLQHG XVLQJ SHDN DUHD
7KH ELRWUDQVIRUPDWLRQ PHGLXP PO ZDV PHWKRG 6KXNOD DQG .XONDUQL (DFK
LQRFXODWHG ZLWK J ZHW ZW RI FHOO PDVV H[SHULPHQWZDVUHSHDWHGWLPHVDQGZDVIRXQGWR
REWDLQHG DV DERYH 7KH IODVN ZDV LQFXEDWHG RQ D EHUHSURGXFLEOHZLWKLQr SHUFHQWOLPLWV
VKDNHUDWrR&DQGUSPIRUKIRUDGDSWDWLRQ
RI FHOOV WR WKH PHGLXP %HQ]DOGHK\GH DQG
DFHWDOGHK\GHZHUHDGGHGDWFRQFHQWUDWLRQVUDQJLQJ 5(68/76$1'',6&866,21
IURP WR PJPO DQG WR
POPO UHVSHFWLYHO\ DQG IODVNV ZHUH DJDLQ %LRWUDQVIRUPDWLRQ RI EHQ]DOGHK\GH E\
LQFXEDWHG IRU WKH ELRWUDQVIRUPDWLRQ RQ D VKDNHU LPPRELOL]HG FHOO PDVV RI 6DFFKDURP\FHV
DWrR&DQGUSP FHUHYLVLDH $7&& DW KLJKHU OHYHO V RI
EHQ]DOGHK\GH KDV EHHQ UHSRUWHG XVLQJ
(IIHFW RI E F\FORGH[WULQ DGGLWLRQ RQ EF\FORGH[WULQ 0DKPRXG HW DO &RXJKOLQ
ELRWUDQVIRUPDWLRQ RI EHQ]DOGHK\GH (DUOLHU HWDO
VWXGLHV KDG HVWDEOLVKHG WKDW 7RUXODVSRUD &\FORGH[WULQVDUHNQRZQWRRIIHUSURWHFWLYHHIIHFW
GHOEUXHFNLL FHOOVFRXOGWROHUDWHEHQ]DOGHK\GHXSWR E\ IRUPLQJ LQFOXVLRQ FRPSOH[HV 6]HWML
PJPO RI ELRWUDQVIRUPDWLRQ PHGLXP DQG 8HNDPDHWDO
PO RI DTXHRXV VROXWLRQ RI ,Q WKH SUHVHQW ZRUN VWXG\ RI HIIHFW RI OHYHO RI
EHQ]DOGHK\GH LQ SUHVHQFH RI E&' VKRZHG
DFHWDOGHK\GH 7KHUHIRUH HIIHFW RI
EF\FORGH[WULQ E&' ZDV VWXGLHG DW WKDW IUHH FHOOV RI 7RUXODVSRUD GHOEUXHFNLL FRXOG
EHQ]DOGHK\GH DQG DFHWDOGHK\GH OHYHOV UDQJLQJ HDVLO\ WROHUDWH XS WR PJ RI EHQ]DOGHK\GH
IURP PJ WR PJPO DQG PO WR )LJFRQILUPLQJWKHSURWHFWLYHHIIHFWRI E&'
POPO UHVSHFWLYHO\ 7KH UHDFWLRQ ZDV
DOORZHG WR WDNH SODFH IRU K DW rR& DQG
USP )URP WKHVH VWXGLHV PJ RI EHQ]DOGHK\GH
DQGPODFHWDOGHK\GHZHUHWKHOHYHOVIRXQGWR
EH RSWLPDO 7R VWXG\ WKH HIIHFW RI E&' OHYHO
FRQFHQWUDWLRQRI E&'ZDVYDULHGLQWKHUDQJHRI
%UD]LOLDQ$UFKLYHVRI%LRORJ\DQG7HFKQRORJ\
%LRWUDQVIRUPDWLRQRI%HQ]DOGHK\GHWR/3KHQ\ODFHW\OFDUELQRO
%UD]LOLDQ$UFKLYHVRI%LRORJ\DQG7HFKQRORJ\
6KXNOD9%DQG.XONDUQL35
ERWK RI WKHVH DW YDULRXV OHYHOV ZDV VWXGLHG LQ 0DKPRXG : 0 (O 6D\HG $ + 0 0 DQG
SUHVHQFH RI E&' 6HPLFRQWLQXRXV IHHGLQJ IRU &RXJKOLQ 5:(IIHFWRIE&\FORGH[WULQRQ
IRXU WLPHV DW WKH LQWHUYDO RI PLQ UHVXOWHG LQ D SURGXFWLRQ RI /SKHQ\O DFHW\O FDUELQRO E\
SURGXFWSURILOHDVLQ)LJVKRZQ:LWKLQFUHDVHLQ LPPRELOL]HG FHOOV RI 6DFFKDURP\FHV FHUHYLVDH
%LRWHFKQRO%LRHQJ
WRWDO FXPXODWLYH GRVH RI EHQ]DOGHK\GH D QG
1HWUDYDO - DQG 9RMWLVHN 9 3URGXFWLRQ RI
DFHWDOGHK\GH WKH \LHOG RI / 3$& LQFUHDVHG SKHQ\ODFHW\OFDUELQRO LQ YDULRXV \HDVWVSHFLHV(XU-
VWHDGLO\7KHRUJDQLVPFRXOGSURGXFHDPD[LPXP $SSO0LFURELRO%LRWHFKQRO
RI PJPO RI /3$& DW D WRWDO OHYHO RI 1LNRORYD3DQG:DUG233URGXFWLRQRI/
PJ RI EHQ]DOGHK\GH DQG PO RI SKHQ\ODFHW\OFDUELQROE\ELRWUDQVIRUPDWLRQSURGXFW
DFHWDOGHK\GH 1HWUDYDO DQG 9RMWLVHN KDYH DQG E\SURGXFW IRUPDWLRQ DQG DFWLYLWLHV RI WKH NH\
UHSRUWHG D \LHOG RI J/ / 3$& ZLWK 6 HQ]\PHV LQ ZLOG W\SH DQG $'+ LVRHQ]\PHPXWDQWV
FDUOVEHUJHQVLV µ%XGYDU¶ ZLWK VHPLFRQWLQXRXV RI 6DFFKDURP\FHV FHUHYLVLDH %LRWHFKQRO %LRHQJ
IHHGLQJ RI EHQ]DOGHK\GH DFHWDOGHK\GH DQG
6KXNOD 9 % 6WXGLHV LQ 0LFURELDO
VXFURVH ZKHUH DV &DUGLOOR HW DO KDYH
%LRWUDQVIRUPDWLRQV 3K' WKHVLV 8QLYHUVLW\ RI
UHSRUWHG FRQYHUVLRQ RI EHQ]DOGHK\GH WR 0XPEDL
/3$&ZKHQ6GHOEUXHFNLL ZDVXVHG 6KXNOD 9%DQG.XONDUQL35'RZQVWUHDP
7KXV LQ SUHVHQFH RI E&' 7RUXODVSRUD SURFHVVLQJ RI ELRWUDQVIRUPDWLRQ EURWK IRU UHFRYHU\
GHOEUXHFNLL FHOOV FRXOG WROHUDWH PJ RI DQG SXULILFDWLRQ RI /SKHQ\O DFHW\O FDUELQRO
EHQ]DOGHK\GH DQG PO RI DFHWDOGHK\GH DV /3$& -6FL,QGXV5HV
DJDLQVW PJ EHQ]DOGHK\GH DQG PO RI 6PLWK 3 ) DQG +HQGOLQ ' 0HFKDQLVP RI
DFHWDOGHK\GHLQLWVDEVHQFHDQGLQSUHVHQFHRI SKHQ\O DFHW\O FDUELQRO V\QWKHVLV E\ \HDVW -
%DFWHULRO
E&' 7RUXODVSRUD GHOEUXHFNLL FHOOV FRXOG 6XEUDPDQLDQ30&KDWWHUMHH6.DQG%KDWLD0&
SURGXFH PJPO RI /3$& ZKHQ 6\QWKHVLVRI5665 r DPLQR
EHQ]DOGHK\GH DQG DFHWDOGHK\GH ZHUH IHG VHPL SKHQ\O SURSDQROIURP5 K\GUR[\
FRQWLQXRXVO\DWPJDQGPOUHVSHFWLYHO\IRU SKHQ\O ± SURSDQRQH - &KHPLFDO 7HFKQRO
IRXUWLPHV %LRWHFKQRO
6]HMWOL-,QWURGXFWLRQDQGJHQHUDORYHUYLHZRI
F\FORGH[WULQFKHPLVWU\&KHP5HY
5()(5(1&(6 7ULSDWKL&.0%DVX6.9RUD9&0DVRQ-
5 DQG 3LUW 6 - &RQWLQXRXV FXOWLYDWLRQ RI
\HDVW VWUDLQ IRU ELRWUDQVIRUPDWLRQ RI /DFHW\O SKHQ\O
$JUDZDO 6 & DQG %DVX 6 .
FDUELQRO /3$& IURP EHQ]DOGHK\GH %LRWHFKQRO
%LRWUDQVIRUPDWLRQ RI EHQ]DOGHK\GH WR /
/HWW
DFHW\OSKHQ\OFDUELQRO E\ IHG EDWFK FXOWXUH V\VWHP -
8HNDPD . +LUD\DPD ) DQG ,ULH 7
0LFURELRO%LRWHFKQRO
&\FORGH[WULQ GUXJ FDUULHU V\VWHPV &KHP 5HY
$JUDZDO6&%DVX6.9RUD9&0DVRQ-5
DQG3LUW6-6WXGLHVRQWKHSURGXFWLRQRI/
=HHPDQ 5 1HWUYDO - %XODQWRYD + DQG 9RGQDVN\
DFHW\O SKHQ\O FDUELQRO E\ \HDVW HPSOR\LQJ
0 %LRV\QWKHVLV RI SKHQ\O DFHW\O FDUELQRO LQ
EHQ]DOGHK\GH DV SUHFXUVRU %LRWHFKRO %LRHQJ
\HDVW 6DFFKDURP\FHV FHUHYLVLDH IHUPHQWDWLRQ
3KDUPD]LH
&DUGLOOR 5 6HUYL 6 DQG 7LQWL &
%LRWUDQVIRUPDWLRQ RI XQVDWXUDWHGDOGHK\GHVE\PLFUR
RUJDQLVPV ZLWK S\UXYDWH GHFDUER[\ODVH DFWLYLW\
5HFHLYHG$SULO
$SSOLHG0LFURELRO%LRWHFKQRO 5HYLVHG$SULO
&RXJKOLQ5:0DKPRXG:0DQG (OVD\HG$+ $FFHSWHG1RYHPEHU
(QKDQFHG ELRFRQYHUVLRQ RI WR[LF VXEVWDQFHV
863DWHQW
*XSWD . * 6LQJK - 6DKDQL * DQG 'KDYDQ 6
3URGXFWLRQ RI SKHQ\O DFHW\O FDUELQRO E\
\HDVWV%LRWHFKQRO%LRHQJ
/RQJ $ -DPHV 3 DQG:DUG23$URPDWLF
DOGHK\GHV DV VXEVWUDWH IRU \HDVW DQG \HDVW DOFRKRO
GHK\GURJHQDVH%LRWHFKQRO%LRHQJ
%UD]LOLDQ$UFKLYHVRI%LRORJ\DQG7HFKQRORJ\