...

Document 1800755

by user

on
Category: Documents
19

views

Report

Comments

Transcript

Document 1800755
HSE
Health & Safety
Executive
Rate of ammonia production in the electrolysis
of silver nitrate solutions
Prepared by the University of Liverpool
for the Health and Safety Executive 2004
RESEARCH REPORT 189
HSE
Health & Safety
Executive
Rate of ammonia production in the electrolysis
of silver nitrate solutions
Dr J Satherley BSc, PhD, NZIC, MRSC, CChem
Mr A Kuzume MSc
Prof DJ Schiffrin BSc, PhD, FRSC, CChem
Dr R Nichols BSc(Hons), PhD, MRSC, CChem
Department of Chemistry
University of Liverpool
Liverpool
Merseyside
L69 7ZD
United Kingdom
This report describes the work carried out on a project to investigate the reduction of nitrate on metal
and inert electrodes during the electrolytic recovery of silver. The principal aim was to determine the
amount of ammonia produced during electrolysis. Three experimental tasks were completed in the
study. The first was the use of rotating disk electrodes in order to determine the potential at which
nitrate is reduced. In this task glassy carbon, silver, platinum, gold and stainless steel electrodes were
investigated. The second task was to investigate the exhaustive reduction of nitrate in order to
determine the number of electrons used in the reduction of nitrate. Both this task and the previous one
confirmed that n=8, consistent with nitrate being reduced to ammonia. The ammonia concentration in
solution was measured and showed a yeild of greater than 40% conversion of nitrate to ammonia.
Glassy carbon electrodes, coated in situ, freshly deposited silver, were used for these exhaustive
electrolysis experiments. The third task was to carry out batch electrolysis in order to determine the
rate at which ammonia is produced and the pH change. Glassy carbon electrodes were used for this
task. It was found that ammonia is formed under both acid and alkaline conditions with a high yield and
the pH fluctuates and changes very rapidly from acid to alkaline conditions at critical points in the
electrolysis.
This report and the work it describes were funded by the Health and Safety Executive (HSE). Its
contents, including any opinions and/or conclusions expressed, are those of the authors alone and do
not necessarily reflect HSE policy.
HSE BOOKS
© Crown copyright 2004
First published 2004
ISBN 0 7176 2798 5
All rights reserved. No part of this publication may be
reproduced, stored in a retrieval system, or transmitted in
any form or by any means (electronic, mechanical,
photocopying, recording or otherwise) without the prior
written permission of the copyright owner.
Applications for reproduction should be made in writing to: Licensing Division, Her Majesty's Stationery Office, St Clements House, 2-16 Colegate, Norwich NR3 1BQ or by e-mail to [email protected]
ii
$&.12:/('*(0(176
:H ZRXOG OLNH WR WKDQN WKH +HDOWK DQG 6DIHW\ ([HFXWLYH +6( IRU VXSSRUWLQJ WKLV SURMHFW
3DUWLFXODUWKDQNVDUHGXHWR0U3HWHU:DWVRQIRUKLVNHHQLQWHUHVWDQGKHOSIXOFRPPHQWVDQGWR
'U6KDXQ:HOVKIRUNHHSLQJWKHSURMHFWRQFRXUVH
'U-RKQ 6DWKHUOH\ ZRXOG OLNH WR WKDQN WKH +6( IRU WKHLUFRQFHUQ DQG KHOS GXULQJ D SHULRGRI
DQ[LHW\ IROORZLQJ WKH SUHPDWXUHELUWK RIKLV GDXJKWHU &ODUD+H ZRXOG DOVR OLNH WR WKDQN 'UV
6WLMQ 0HUWHQV DQG )DNKDUGGLQ 0LUNKDII IRU KHOSIXO GLVFXVVLRQV GXULQJ WKH HDUO\ SKDVH RI WKH
H[SHULPHQWDOZRUN
)LQDOO\ZHZRXOGOLNHWRWKDQN'U0DWKLDV%UXVWIRUWKHXVHRID896SHFWURSKRWRPHWHUDQG0U
,UVKDG+XVVDLQIRUUXQQLQJWKHVSHFWUDRIWKHDPPRQLDFRQWDLQLQJVDPSOHV
LLL
LY
&217(176
$&.12:/('*(0(176
,,,
(;(&87,9(6800$5<
9,,
,1752'8&7,21
/LWHUDWXUHRQWKHUHGXFWLRQRIQLWUDWHV
7ROOHQV¶V5HDJHQW
(;3(5,0(17$/0(7+2'6
7KHURWDWLQJGLVNHOHFWURGH
'LIIHUHQWLDOSXOVHYROWDPPHWU\
%XONHOHFWURO\VLVPHWKRG
'HWHUPLQDWLRQRIDPPRQLXPLRQFRQFHQWUDWLRQ
(;3(5,0(17$/
(OHFWURFKHPLFDOVWXGLHV
(OHFWURFKHPLFDOGHWHUPLQDWLRQRIn
%DWFK(OHFWURO\VLV
5(68/76$1'',6&866,21
5RWDWLQJGLVNVWXGLHV
'LIIHUHQWLDOSXOVHYROWDPPHWU\
(OHFWURFKHPLFDOGHWHUPLQDWLRQRIn
%DWFKHOHFWURO\VLV
&21&/86,216
5(&200(1'$7,216
*/266$5<
Y
YL
(;(&87,9(6800$5<
7KLVSURMHFWZDVLQLWLDWHGIROORZLQJGLVFXVVLRQVEHWZHHQWKH+HDOWKDQG6DIHW\([HFXWLYHDQG
WKH8QLYHUVLW\RI/LYHUSRROUHODWLQJWRDQLQFLGHQWLQYROYLQJWKHH[KDXVWLYHHOHFWURO\VLVRIVLOYHU
QLWUDWH VROXWLRQV LQ D EDWFK VLOYHU UHFRYHU\ SURFHVV ,Q WKH LQFLGHQW WKH HOHFWURO\VLV ZDV
FRQWLQXHGZHOOEH\RQGWKHWLPHUHTXLUHGIRUWKHH[WUDFWLRQRIDOOWKHVLOYHUSUHVHQWWR\LHOGWKH
PHWDO$VDFRQVHTXHQFHLWZDVSRVWXODWHGWKDWWKHHOHFWURO\VLVRIQLWUDWHWRRNSODFHDQGUHVXOWHG
LQERWKWKHDONDOLQLVDWLRQRIWKHVROXWLRQDQGWKHJHQHUDWLRQRIDPPRQLDZLWKWKHSRWHQWLDOIRU
WKH IRUPDWLRQRIXQVWDEOHH[SORVLYH FRPSRXQGV RI VLOYHU 7KLV ZDVGLVSXWHGDQGQRWUHVROYHG
&RQVHTXHQWO\ WKHUH ZDV D QHHG WR DGGUHVV DQ XQUHVROYHG VDIHW\ LVVXH E\ H[SHULPHQWDOO\
GHWHUPLQLQJ WKH DPRXQW RI DPPRQLD IRUPHG LQ DQ HOHFWURO\VLV H[SHULPHQW IURP QLWUDWH
FRQWDLQLQJVROXWLRQV+HQFHWKHDLPRIWKHSURMHFWZDVWRGHWHUPLQHWKHUDWHRIHOHFWURFKHPLFDO
UHGXFWLRQ RI QLWUDWH WR \LHOG DPPRQLXP LRQ LQ DFLG VROXWLRQV RU DPPRQLD LQ DONDOLQH
VROXWLRQVGXULQJWKHHOHFWURO\VLVRIVLOYHUQLWUDWH$J12VROXWLRQV
7KHSURMHFWZDVGLYLGHGLQWRH[SHULPHQWDO7DVNV,Q7DVNWKHQLWUDWHUHGXFWLRQUHDFWLRQZDV
VWXGLHGRQDUDQJHRIHOHFWURGHVXUIDFHVXWLOLVLQJWKHYHU\ZHOOGHILQHGPDVVWUDQVSRUWFRQGLWLRQV
DYDLODEOH ZLWK WKH URWDWLQJ GLVN HOHFWURGH 7KH SXUSRVH RI 7DVN ZDV WR FDUU\ RXW H[KDXVWLYH
HOHFWURO\VLV LQ RUGHU WR GHWHUPLQH WKH QXPEHU RI HOHFWURQV LQYROYHG LQ WKH UHGXFWLRQ RI QLWUDWH
DQG PRQLWRU WKH FKDQJH LQ VROXWLRQ S+ DQG DPPRQLXP LRQ FRQFHQWUDWLRQ )LQDOO\ LQ 7DVN EDWFK HOHFWURO\VLV H[SHULPHQWV ZHUH SHUIRUPHG WR LQYHVWLJDWH WKH UHGXFWLRQ RI QLWUDWH WR
DPPRQLD IRU FRQGLWLRQV VLPLODU WR WKRVH XVHG LQ WKH HOHFWURO\WLF EDWFK UHFRYHU\ RI VLOYHU
LQFLGHQW
7KH H[SHULPHQWVFDUULHG RXW LQ WKLVSURMHFWKDYHVKRZQWKDWQLWUDWHUHGXFWLRQWDNHVSODFHRQD
ZLGHUDQJHRIPHWDOOLFDQGLQHUWHOHFWURGHVWKDWKDYHDOD\HURIIUHVKO\GHSRVLWHGVLOYHUDQGWKDW
WKHQXPEHURIHOHFWURQVLQYROYHGLQWKHQLWUDWHUHGXFWLRQUHDFWLRQLVZKLFKLQGLFDWHVWKDWWKH
SURGXFWLVDPPRQLD$GGLWLRQDOO\DPPRQLDKDVEHHQVKRZQWREHSUHVHQWLQWKHHOHFWURO\WHWKH
FRQFHQWUDWLRQRIDPPRQLDLQFUHDVHVLQERWKDFLGDQGDONDOLQHFRQGLWLRQVDVHOHFWURO\VLVSURFHHGV
DQG WKH S+ FDQ IOXFWXDWH DQG FKDQJH GUDPDWLFDOO\ RYHU D VKRUW WLPH SHULRG 7KLV SURMHFW KDV
WKHUHIRUHGHPRQVWUDWHGWKDWGXULQJWKHHOHFWURO\VLVRIVROXWLRQVFRQWDLQLQJVLOYHUDQGQLWUDWHLRQV
DPPRQLDLVSURGXFHG([WHQVLYHHOHFWURO\VLVOHDGVWRDONDOLQHVROXWLRQVDQGKLJKFRQFHQWUDWLRQV
RI DPPRQLD ZLWK UHVSHFW WR WKH LQLWLDO QLWUDWH FRQFHQWUDWLRQ ,W LVZHOO NQRZQ WKDWXQGHU WKHVH
FRQGLWLRQVIXOPLQDWLQJVLOYHUFDQEHIRUPHG
7KHUHVXOWVRIWKHVHVWXGLHVKDYHFOHDULPSOLFDWLRQVIRUWKHVDIHRSHUDWLRQRIHOHFWURO\WLFVLOYHU
UHFRYHU\SURFHVVHVIURPQLWUDWHFRQWDLQLQJHOHFWURO\WHVDQGLQWKHXVHRI7ROOHQV¶VUHDJHQW,WLV
UHFRPPHQGHG WKDW IRU VLOYHU UHFRYHU\ XVLQJ EDWFK HOHFWURO\VLV WKH S+ RI WKH HOHFWURO\WH LV
PRQLWRUHGWKDWWKHHOHFWURO\VLVLVFDUULHGRXWLQDIXPHKRRG WRUHPRYHHYROYHGDPPRQLDWKH
HOHFWURO\WHUHPDLQLQJIROORZLQJDQH[SHULPHQWLVDFLGLILHGDQG VHSDUDWHGIURPUHFRYHUHGVLOYHU
DQG VLOYHU R[LGH ,W LV UHFRPPHQGHG WKDW XVHUV RI 7ROOHQV¶V UHDJHQW EH PDGH DZDUH RI WKH
GDQJHUV RI WKH IRUPDWLRQ RI IXOPLQDWLQJ VLOYHUDQGWKDWWKH\DYRLGWKHFRQGLWLRQVXQGHUZKLFK
WKLVPLJKWIRUP
YLL
YLLL
,1752'8&7,21
7KLV SURMHFW DURVH RXW RI GLVFXVVLRQV EHWZHHQWKH 8QLYHUVLW\ RI /LYHUSRRO DQGWKH +HDOWK DQG
6DIHW\ ([HFXWLYH UHODWLQJ WR DQ LQFLGHQW LQYROYLQJ WKH H[KDXVWLYH EDWFK HOHFWURO\VLV RI VLOYHU
QLWUDWHVROXWLRQVLQDVLOYHUUHFRYHU\SURFHVV,QWKLVSURFHVVDVROXWLRQFRQWDLQLQJVLOYHUQLWUDWH
$J12 DQG QLWULF DFLG +12 ZDV HOHFWURO\VHG ZHOO EH\RQG WKH WLPH UHTXLUHG IRU WKH
H[WUDFWLRQ RI DOO WKH VLOYHU SUHVHQW WR \LHOG WKH PHWDO 8QGHU WKHVHFRQGLWLRQVLWZDVSURSRVHG
WKDWWKHHOHFWURFKHPLFDOUHGXFWLRQRIQLWUDWHWRRNSODFHDQGUHVXOWHGLQERWKWKHDONDOLQLVDWLRQRI
WKH VROXWLRQ DQG WKH JHQHUDWLRQ RI DPPRQLD FRQGLWLRQV XQGHU ZKLFK WKH IRUPDWLRQ RI
XQVWDEOHH[SORVLYH FRPSRXQGV RI VLOYHU LV ZHOO GRFXPHQWHG 7KLV SURSRVHG VHTXHQFH ZDV
GLVSXWHGHYHQWKRXJKWKHHOHFWURFKHPLFDOUHGXFWLRQRIQLWUDWHWRDPPRQLDRQIUHVKO\GHSRVLWHG
PHWDOVXUIDFHVLVDZHOONQRZQSURFHVV7KXVLWLVLPSRUWDQWIURPDVDIHW\SRLQWRIYLHZWR
DVFHUWDLQH[SHULPHQWDOO\WKHDPRXQWRIDPPRQLDWKDWFDQEHSURGXFHGZKHQRYHUHOHFWURO\VLQJ
VLOYHUQLWUDWHVROXWLRQV$OWKRXJKWKHHOHFWURFKHPLVWU\DVVRFLDWHGZLWKWKHUHGXFWLRQRIQLWUDWHWR
DPPRQLDLVZHOONQRZQSDUWLFXODUO\RQQRQSUHFLRXVPHWDOVWKHUHKDYHEHHQYHU\IHZVWXGLHV
RQIUHVKO\GHSRVLWHGPHWDOV
7KHDLPRIWKHSURMHFWZDVWRGHWHUPLQHWKHUDWHRIHOHFWURFKHPLFDOUHGXFWLRQRIQLWUDWHWR\LHOG
DPPRQLXPLRQLQDFLGVROXWLRQVRUDPPRQLDLQDONDOLQHVROXWLRQVGXULQJWKHHOHFWURO\VLVRI
$J12VROXWLRQV7KHREMHFWLYHVZHUHDVIROORZV
7RVWXG\WKHUHGXFWLRQRIQLWUDWHRQVLOYHUHOHFWURGHVLQWKHSUHVHQFHRIYDU\LQJDPRXQWV
RIVLOYHULQWKHVROXWLRQXVLQJWKHURWDWLQJGLVNHOHFWURGH
7KH VDPH DV DERYH EXW RQ DQ LQHUW HOHFWURGH JODVV\ FDUERQ DQG RQ D VWDLQOHVV VWHHO
HOHFWURGHLQWKHSUHVHQFHRIVPDOOFRQFHQWUDWLRQVRIVLOYHULRQWRKLJKOLJKWWKHUROHRI
IUHVKO\GHSRVLWHGVLOYHU
7R VWXG\ WKH LQIOXHQFH RI VPDOO DPRXQWV RI GLVVROYHG SDOODGLXP DQG SODWLQXP RQ WKH
UHGXFWLRQRIQLWUDWHXQGHUDQG
7R FDUU\ RXW ORQJWHUP HOHFWURO\VLV H[SHULPHQWV LQ EDWFK PRGH LQ RUGHU WR PHDVXUH
FKHPLFDOO\WKHDPRXQWRIDPPRQLDSURGXFHG
7KHSURMHFWZDVGLYLGHGLQWRH[SHULPHQWDO7DVNV,Q7DVNWKHQLWUDWHUHGXFWLRQUHDFWLRQZDV
VWXGLHGRQDUDQJHRIHOHFWURGHVXUIDFHVXWLOLVLQJWKHYHU\ZHOOGHILQHGPDVVWUDQVSRUWFRQGLWLRQV
DYDLODEOH ZLWK WKH URWDWLQJ GLVN HOHFWURGH 7KH SXUSRVH RI 7DVN ZDV WR FDUU\ RXW H[KDXVWLYH
HOHFWURO\VLV LQ RUGHU WR GHWHUPLQH WKH QXPEHU RI HOHFWURQV LQYROYHG LQ WKH UHGXFWLRQ RI QLWUDWH
DQG PRQLWRU WKH FKDQJH LQ VROXWLRQ S+ DQG DPPRQLXP LRQ FRQFHQWUDWLRQ )LQDOO\ LQ 7DVN EDWFKHOHFWURO\VLVH[SHULPHQWVZHUHSHUIRUPHGWRLQYHVWLJDWHWKHFRQGLWLRQVXQGHUZKLFKQLWUDWH
LVUHGXFHGWRDPPRQLDXVLQJFRQGLWLRQVVLPLODUWRWKRVHXVHGIRUWKHHOHFWURO\WLFEDWFKUHFRYHU\
RIVLOYHU
/LWHUDWXUHRQWKHUHGXFWLRQRIQLWUDWHV
7KHHOHFWURFKHPLFDOUHGXFWLRQRIQLWULFDFLGKDVEHHQNQRZQ IRUDORQJWLPHWROHDGWRDODUJH
($0DF:LOOLDPVDQG0-+D]DUG3KRWRJUDSKLF6FLDQG(QJ
(66KDQOH\DQG-/(QQLV,QG(QJ&KHP5HV
-:0HOORU&RPSUHKHQVLYH7UHDWLVHRQ,QRUJDQLFDQG7KHRUHWLFDO&KHPLVWU\/RQJPDQV/RQGRQ
9ROS
YDULHW\RIQLWURJHQFRPSRXQGV)RUH[DPSOH
12 + H o 12 + 2 ,
12 + H o 12 + 2 ,,
12 + H o 12 + 2 ,,,
12 + H o 1 + 2 ,9
12 + 2 H o 1+ 2+ 9
2QHRIWKHSURGXFWVLQQLWULFDFLGUHGXFWLRQLVDPPRQLDDVVKRZQLQ(T9ZKLFKUHSUHVHQWV
WKHVWRLFKLRPHWU\IRUWKLVUHGXFWLRQSURFHVV
7KHUHDUHDQXPEHURIUHSRUWVLQWKHOLWHUDWXUHRIHOHFWURFKHPLFDOUHGXFWLRQRIQLWUDWHFRQWDLQLQJ
VROXWLRQVWRDPPRQLD'HHWDOKDYHXVHGF\FOLFYROWDPPHWULFDQG7DIHOVORSHGHWHUPLQDWLRQWR
VWXG\ WKH QLWUDWH DQG QLWULWH LRQ UHGXFWLRQ DW WKH VXUIDFH RI DQ LULGLXPPRGLILHG FDUERQ ILEUH
HOHFWURGH LQ DTXHRXV VRGLXP SHUFKORUDWH VROXWLRQV RI S+ 7KH\ GHPRQVWUDWHG D WZRVWHS
QLWUDWHUHGXFWLRQPHFKDQLVPLQZKLFKQLWUDWHLVILUVWUHGXFHGWRQLWULWHDQGWKHQIXUWKHUUHGXFHG
WRDPPRQLD$OWKRXJKWKHHYROYHGJDVHVZHUHQRWTXDQWLILHGWKHLQWHUPHGLDWHDQGHQGUHDFWLRQ
SURGXFWV RI QLWUDWH DQG QLWULWH HOHFWURFKHPLFDO UHGXFWLRQ ZHUH LGHQWLILHG XVLQJ LRQ DQG JDV
FKURPDWRJUDSK\DVQLWURJHQGLR[LGHQLWULWHQLWURJHQDQGDPPRQLD
6FKDULINHUHWDOKDYHVKRZQWKDWQLWUDWHUHGXFWLRQFDQEHFDWDO\VHGGXULQJDQHOHFWURGHSRVLWLRQ
SURFHVVVSHFLILFDOO\GXULQJHOHFWURGHSRVLWLRQRIWKDOOLXPIURP7OVROXWLRQV7KH\KDYHVKRZQ
WKDW QLWUDWH LRQV DUH UHGXFHG DW KLJK UDWHV GXULQJ PHWDOOLF WKDOOLXP GHSRVLWLRQ RQ FDUERQ
HOHFWURGHV 7KH\ KDYH DOVR GHPRQVWUDWHG WKDW WKHUH LV D FDWDO\WLF UHGXFWLRQ RI QLWUDWH WR
DPPRQLDGXULQJWKDOOLXPPHWDOGHSRVLWLRQZKLFKWKH\EHOLHYHLVPHGLDWHGE\7O
*HQGHUVHW DOKDYHH[DPLQHGWKHHOHFWURFKHPLFDOUHGXFWLRQRIQLWUDWHVDQGQLWULWHVLQDONDOLQH
QXFOHDUZDVWHVROXWLRQV7KHLUDLPZDVWRUHGXFHDONDOLQHVRGLXPQLWUDWHDQGQLWULWHWRJDVHRXV
SURGXFWV 1LWURJHQ QLWURXV R[LGH DQG DPPRQLD ZHUH DOO GHWHFWHG DV JDVHRXV SURGXFWV DQG
TXDQWLILHG XVLQJ JDV FKURPDWRJUDSK\ 7KH UHODWLYH SHUFHQWDJH FRPSRVLWLRQ RI WKH RIIJDV LQ
WHUPVRIWKHVHJDVHRXVSURGXFWVZDVHVWLPDWHG7KHUHODWLYH\LHOGRIDPPRQLDGHSHQGHGYHU\
VWURQJO\ RQ WKH FDWKRGH PDWHULDO DQG ZDV KLJKHVW IRU FDGPLXP FDWKRGHV IRU ZKLFK D FXUUHQW
HIILFLHQF\RIZDVGHWHUPLQHG
&DWWDULQ KDV LQYHVWLJDWHG WKH UHGXFWLRQ RI QLWUDWH DQG QLWULWH LRQV LQ 0 VRGLXP K\GUR[LGH
1D2+ VXSSRUWLQJ HOHFWURO\WH ZLWK ERWK FRSSHU DQG VLOYHU HOHFWURGHV (OHFWURO\VLV ZDV
SHUIRUPHG DW ± 9 ZLWK UHVSHFW WR WKH VDWXUDWHG FDORPHO HOHFWURGH 6&( $W WKLV SRWHQWLDO
QLWUDWH LV SUHGRPLQDQWO\ UHGXFHG WR QLWULWH RQ VLOYHU HOHFWURGHV ZKLOH DPPRQLD LV WKH
SUHGRPLQDQW SURGXFW IRU FRSSHU HOHFWURGHV +RZHYHU D UHGXFWLRQ LQ SRWHQWLDO RI WKH FRSSHU
HOHFWURGH WR ± 9 ZLWK UHVSHFW WR VDWXUDWHG FDORPHO HOHFWURGH OHDGV WR QLWULWH DV WKH
''H-'(QJOHKDUGWDQG((.DOX-(OHFWURFKHP6RF
%56FKDULINHU-0RVWDQ\DQG$6HUUX\D(OHFWURFKHP&RPPXQ
-'*HQGHUV'+DUWVRXJKDQG'7+REEV-$SSO(OHFWURFKHP
6&DWWDULQ-$SSO(OHFWURFKHP
SUHGRPLQDQWSURGXFW7KLVGHPRQVWUDWHVWKDWWKHSURGXFWGLVWULEXWLRQZDVQRWTXDQWLILHGDWKLJK
HOHFWURGH SRWHQWLDOV ! 9 IRU HLWKHU FRSSHURUVLOYHUHOHFWURGHV+RZHYHUYROWDPPHWU\RI
VLOYHUHOHFWURGHVLQWKHSUHVHQFHRIQLWULWHVKRZVWKHRQVHWRIDUHGXFWLRQSURFHVVLQWKHUHJLRQRI
K\GURJHQHYROXWLRQ7KLVFXUUHQWLVREVHUYHGWRLQFUHDVHZLWKLQFUHDVLQJFRQFHQWUDWLRQRIQLWULWH
LQGLFDWLQJWKDWWKHODWWHUVSHFLHVLVLQGHHGUHGXFLEOHRQVLOYHU
7KHDERYHH[DPSOHVLOOXVWUDWHWKHGLYHUVHFRQGLWLRQVXQGHUZKLFKQLWUDWHUHGXFWLRQWRDPPRQLD
KDV EHHQ REVHUYHG ,Q DGGLWLRQ WR WKH DERYH WKHUH DUH WZR SDSHUV E\ 3OHWFKHU WKDW H[DPLQH
YHU\ FDUHIXOO\ DQG DQDO\WLFDOO\ WKLV UHGXFWLRQ SURFHVV XVLQJ FRSSHU HOHFWURGHV +LV UHVXOWV
GHPRQVWUDWH WKDW UHGXFWLRQ WR DPPRQLD RFFXUV ZLWK YHU\KLJK\LHOGV LQ VRPH FDVHVDV KLJK DV
7KH\LHOGZDVDOZD\VOHVVWKDWEHFDXVHVRPHK\GURJHQLRQUHGXFWLRQWRRNSODFHDW
WKHHQGRIWKHHOHFWURO\VLVZKHQYHU\OLWWOHQLWUDWHUHPDLQHGLQWKHVROXWLRQ3OHWFKHUSHUIRUPHG
H[KDXVWLYH HOHFWURO\VLV RQ QLWUDWH FRQWDLQLQJ VROXWLRQ )URP WKH UHVXOWLQJ FXUUHQW YV FKDUJH
UHODWLRQVKLS KH ZDV DEOH WR FRQILUP WKDW WKH QXPEHU RI HOHFWURQV WDNLQJ SDUW LQ WKH UHGXFWLRQ
SURFHVV ZDV +H FRQFOXGHGWKDW LQ VWURQJDFLGPHGLDWKHUHGXFWLRQIROORZHGH[FOXVLYHO\WKH
UHDFWLRQ
12 + H o 1+ + 2 9,
$W ORZHU DFLG FRQFHQWUDWLRQV WKH UHGXFWLRQ RI QLWUDWH EHFRPHV LQFUHDVLQJO\ GLIILFXOW VLQFH PROHRISURWRQVDUHFRQVXPHGSHUPROHRIQLWUDWH,QDGGLWLRQLQRUGHUWRJHWTXDQWLWDWLYH\LHOGV
WKH UHGXFWLRQ UHTXLUHV D IUHVKO\ GHSRVLWHG PHWDO VXUIDFH ,Q DQ DWWHPSW WR DFKLHYH WKLV WKH\
FDUULHGRXWWKHQLWUDWHUHGXFWLRQZKLOHVLPXOWDQHRXVO\HOHFWURGHSRVLWLQJWKHPHWDOLRQRQWRWKH
HOHFWURGH VXUIDFH :LWK WKLV VWUDWHJ\ WKH\ DFKLHYHG RYHUDOO \LHOGV RI XS WR 7KH \LHOG RI
DPPRQLD ZDV ZKHQ WKH K\GURJHQ HYROXWLRQ UHDFWLRQ GLG QRW FRPSHWH ZLWK QLWUDWH
UHGXFWLRQ7KHVHSDSHUVJLYHDFOHDULQGLFDWLRQWKDWRQIUHVKO\GHSRVLWHGFRSSHUWKHUHGXFWLRQRI
QLWUDWHWRDPPRQLDLVTXDQWLWDWLYHIURPS+WRLHWKURXJKPRVWRIWKHDFLGPHGLD
7ROOHQV¶V5HDJHQW
7ROOHQV¶VUHDJHQWLVXVHGLQRUJDQLFFKHPLVWU\DVDWHVWIRUDOGHK\GHVDQGUHGXFLQJVXJDUV,W
LV DOVR XVHG WR GHSRVLW D WKLQ ILOP RI VLOYHU RQ JODVV VXUIDFHV VXFK DV IRU WKH PDQXIDFWXUH RI
PLUURUV DQG WHOHVFRSH OHQV FRDWLQJV 'XH WR WKH GUDPDWLF FKDQJH WKDW LV REVHUYHG LQ WKH
³PLUURULQJ´SURFHVVLWLVRIWHQXVHGDVDFODVVGHPRQVWUDWLRQH[SHULPHQW7ROOHQV¶VUHDJHQWLV
SUHSDUHG E\ WKH VORZ DGGLWLRQ RI GLOXWH DPPRQLD VROXWLRQ WR IUHVKO\ SUHFLSLWDWHG VLOYHU R[LGH
XQWLOWKHSUHFLSLWDWHMXVWGLVVROYHV0RVWWH[WERRNVDQGSDSHUVZKLFKGHVFULEHWKHSUHSDUDWLRQ
DQGXVHRI7ROOHQV¶VUHDJHQWLQFOXGHDZDUQLQJWKDWWKHUHDJHQWVKRXOGQRWEHKHDWHGQRUDOORZHG
WR VWDQG IRU DQ\ OHQJWK RI WLPH DV DQ H[SORVLYH VLOYHU SUHFLSLWDWH FDQ EH IRUPHG 7KH PDLQ
H[SORVLYH FRPSRXQG IRUPHG LV VLOYHU QLWULGH $J1 DOVR NQRZQ DV µIXOPLQDWLQJ VLOYHU¶ ,W LV
IRUPHGDVVPDOOEODFNFU\VWDOVDQGLVDYHU\SRZHUIXOH[SORVLYH,QDGU\VWDWHVLOYHUQLWULGHZLOO
GHWRQDWH ZLWK MXVW WKH VOLJKWHVW PHFKDQLFDO YLEUDWLRQ 7KH DGGLWLRQ RI VWURQJ DONDOL WR
DPPRQLDFDO VLOYHU VROXWLRQV VXFK DV 7ROOHQV¶V UHDJHQW LV NQRZQ WR IRUP VLOYHU QLWULGH 7KH
HOHFWURO\VLVRIVROXWLRQVFRQWDLQLQJQLWUDWHDQGVLOYHULRQVSURGXFHVDPPRQLDDQGLIHOHFWURO\VHG
IRUORQJSHULRGVRIWLPHWKHHOHFWURO\WHEHFRPHVVWURQJO\DONDOLQHJLYLQJFRQGLWLRQVLGHQWLFDOWR
'3OHWFKHUDQG=3RRUDEHGL(OHFWURFKHP$FWD
1*&DUSHQWHUDQG'3OHWFKHU$QDO&KLPLFD$FWD
%7ROOHQV%HU
$,9RJHO$WH[WERRNRISUDFWLFDORUJDQLFFKHPLVWU\WKHG/RQJPDQV/RQGRQ
,'-HQNLQV-&KHP(GXF
7/'DYLV7KHFKHPLVWU\RISRZGHUDQGH[SORVLYHV-RKQ:LOH\1HZ<RUN9RO
-/(QQLVDQG(66KDQOH\-&KHP(GXF$
WKRVHMXVWGHVFULEHG
(;3(5,0(17$/0(7+2'6
:HGHVFULEHEULHIO\WKHH[SHULPHQWDOPHWKRGVHPSOR\HGLQWKLVVWXG\
7KHURWDWLQJGLVNHOHFWURGH
7KLVLVDVWDQGDUGHOHFWURFKHPLFDOWHFKQLTXHWKDWDOORZVWKHVWXG\RIHOHFWURFKHPLFDOUHDFWLRQV
XQGHUYHU\ZHOOFRQWUROOHGPDVVWUDQVIHUFRQGLWLRQV7KHGHYLFHFRQVLVWVRIWKHHOHFWURGHWREH
LQYHVWLJDWHG VHDOHG ZLWKLQ DQ LQVXODWLQJ VKDIW )LJXUH $ WKDW URWDWHV WKH DVVHPEO\ 7KLV
SURGXFHVDVHOISXPSLQJDFWLRQLQWKHFRQWDFWLQJVROXWLRQDVVKRZQLQ)LJXUH%UHVXOWLQJLQDQ
DFFXUDWHO\ NQRZQ VROXWLRQ IORZ RYHU WKH GLVN 7ZR LPSRUWDQW SDUDPHWHUV DUH REWDLQHG IURP
WKHVHH[SHULPHQWVDWKHGHSHQGHQFHRIWKHFXUUHQWRQSRWHQWLDODOVRNQRZQDVWKHSRODULVDWLRQ
FXUYHVDQGEWKHQXPEHUQRIHOHFWURQVXVHGSHUPROHRIUHDFWDQWUHGXFHG)RUH[DPSOHIRU
WKHUHGXFWLRQRIQLWUDWHWR\LHOGDPPRQLD
12 + H o 1+ + 9,,
5RWDWLQJGLVN
HOHFWURGH
0RWRU
37)(6KHDWK
0DLQD[LVDQG
HOHFWULFDO
FRQWDFW
/LTXLGIORZ
SDWWHUQ
(OHFWURGH
$
%
)LJXUH6FKHPDWLFGLDJUDPVRIURWDWLQJGLVNDVVHPEO\$DQGIORZSDWWHUQRYHUWKH
HOHFWURGH%
WKHYDOXHRIQLV7KHSRODULVDWLRQFXUYHVGHWHUPLQHWKHSRWHQWLDOUDQJHDWZKLFKWKHQLWUDWHLRQ
LV UHGXFHG 5HVXOWV RI SUHOLPLQDU\ H[SHULPHQWV FDUULHG RXW EHIRUH WKLVSURMHFW FRPPHQFHG DUH
VKRZQ LQ )LJXUH 7KLV JUDSK VKRZVWKUHHH[SHULPHQWDOFXUYHV &XUYHFRUUHVSRQGVWRWKH
UHGXFWLRQ RI WKH DFLG + RQ WKH LQHUW JODVV\ FDUERQ HOHFWURGH HPSOR\HG 7KH LQFUHDVH LQ
QHJDWLYHFXUUHQWDWSRWHQWLDOVPRUHQHJDWLYHWKDQ9YVVDWXUDWHGFDORPHOHOHFWURGH6&(
LVGXHWRWKHK\GURJHQHYROXWLRQ&XUYHVKRZVWKHVDPHH[SHULPHQWEXWLQWKHSUHVHQFHRI
VLOYHULRQV$JLQVROXWLRQ1RWHWKDWWKHK\GURJHQHYROXWLRQUHDFWLRQRFFXUVPRUHUHDGLO\RQ
WKLV PDWHULDO VLQFH D FRQWLQXRXVO\ UHIUHVKHG GHSRVLW RI PHWDOOLF VLOYHU FRYHUV WKH HOHFWURGH
&XUYHVKRZVWKHVDPHH[SHULPHQWDVLQEXWZLWKWKHDGGLWLRQRIQLWUDWHWRWKHVROXWLRQ
7KHYHU\ODUJHLQFUHDVHLQFXUUHQWLVGXHWRWKHHOHFWURFDWDO\WLFUHGXFWLRQRIQLWUDWHE\WKHIUHVKO\
GHSRVLWHGPHWDOOLFVLOYHU
&XUUHQW sP$
+/ %(
+/ %( $J
+/ %( $J 12
3RWHQWLDO s9 YV 6&(
)LJXUH1LWUDWHUHGXFWLRQRQDJODVV\FDUERQURWDWLQJGLVNHOHFWURGHZLWKDURWDWLRQ
VSHHGRIUSP0SHUFKORULFDFLG+&O2VDPHDVP1VLOYHU
LRQV$JVDPHDVP0QLWUDWHLRQV12
7KH DFFXUDWH FRQWURO RI WKH PDVV WUDQVIHU FRQGLWLRQV RYHU WKH URWDWLQJ GLVN HOHFWURGH
DUUDQJHPHQW DIIRUGV D FRQYHQLHQW ZD\ RI GHWHUPLQLQJ Q 7KLV WHFKQLTXH FDQ RQO\ EH XVHG
UHOLDEO\IRUFRPSDUDWLYHO\ORZFRQFHQWUDWLRQVRIVLOYHULRQV$JLRQXSWRDSSUR[LPDWHO\
0 LQ WKH SUHVHQFH RI H[FHVV QLWUDWH +RZHYHU GXH WR WKH H[SHFWHG ODUJH FXUUHQW HQKDQFHPHQW
DULVLQJ IURP QLWUDWH UHGXFWLRQ PHDVXUHPHQWV ZLWK WKLV WHFKQLTXH EHFRPH GLIILFXOW )RU WKLV
UHDVRQDEXONHOHFWURO\VLVWHFKQLTXHPXVWEHHPSOR\HG
'LIIHUHQWLDOSXOVHYROWDPPHWU\
7KH SULQFLSOH RI SXOVH YROWDPPHWULF PHWKRGV LV WR PHDVXUH WKH FXUUHQW DW WLPH W ZKHQ WKH
GLIIHUHQFH EHWZHHQ WKH GHVLUHG IDUDGDLF FXUYH DQG WKH LQWHUIHULQJ FKDUJLQJ FXUUHQW LV ODUJH
'LIIHUHQWLDO SXOVH YROWDPPHWU\ '39 LV RQH RI WKH HOHFWURFKHPLFDO PHWKRGV WKDWVKRZ EHWWHU
VHQVLWLYLW\WKDQRWKHUFODVVLFYROWDPPHWULHVDQGHYHQEHWWHUWKDQWKHQRUPDOSXOVHYROWDPPHWU\
3XOVH YROWDPPRJUDPV FDQ EH REWDLQHG ZLWK D VPDOO DPSOLWXGH SXOVH 7KH SXOVH KHLJKW LV
PDLQWDLQHGFRQVWDQWZLWKUHVSHFWWRDEDVHSRWHQWLDOEXWWKLVDSSOLHGEDVHSRWHQWLDOLVQRWKHOG
FRQVWDQWEXWFKDQJHGVWHDGLO\LQVPDOOLQFUHPHQWV7ZRFXUUHQW VDPSOHVDUHWDNHQGXULQJHDFK
SXOVHRQHLPPHGLDWHO\EHIRUHWKHSXOVHZKLOHWKHRWKHULVODWHURQLQWKHSXOVH7KHGLIIHUHQFH
EHWZHHQ WKHVH WZR FXUUHQWV LV UHFRUGHG IRU HDFK SXOVH DV D IXQFWLRQ RI WKH OLQHDUO\ LQFUHDVLQJ
YROWDJH7KHSRWHQWLDOGHSHQGHQFHRIWKHGLIIHUHQWLDOFXUUHQWVKRZVDSHDNWKHKHLJKWRIZKLFK
LVGLUHFWO\SURSRUWLRQDOWRWKHFRQFHQWUDWLRQ*HQHUDOO\GHWHFWLRQOLPLWVZLWKGLIIHUHQWLDOSXOVH
YROWDPPHWU\DUHWZRWRWKUHHRUGHUVRIPDJQLWXGHVORZHUWKDQWKRVHIRUFODVVLFDOYROWDPPHWU\
7KLVPDNHVLWDSRZHUIXOWHFKQLTXHLQHOHFWURFKHPLFDODQDO\VLV
%XONHOHFWURO\VLVPHWKRG
7KLV WHFKQLTXH LV XVHG IRU PHDVXULQJ WKH EXON FRQYHUVLRQ RI D UHDFWDQW LQWR D SURGXFW DQG
GHWHUPLQLQJ ERWK HOHFWURFKHPLFDOO\ DQG E\ FKHPLFDO RU RWKHU PHDQV WKH DPRXQW RI SURGXFW
IRUPHG7KHGHWHUPLQDWLRQRIWKHYDOXHRIQVHHDERYHLVEDVHGRQWKHIDFWWKDWWKHFXUUHQWIRU
DVWLUUHGVROXWLRQLVJLYHQE\
,
Q ) $NP & E ZKHUH,LVWKHFXUUHQW)LVWKH)DUDGD\FRQVWDQW$LVWKHHOHFWURGHDUHDNPLVFDOOHGWKHPDVV
WUDQVIHU FRHIILFLHQW ZKLFK LV GHWHUPLQHG E\ WKH VWLUULQJ FRQGLWLRQV DQG &E LV WKH EXON
FRQFHQWUDWLRQRIWKHHOHFWURDFWLYHVSHFLHVLQWKLVFDVHQLWUDWH$VHOHFWURO\VLVSURFHHGVWKHWRWDO
EXON FRQFHQWUDWLRQ &E GHFUHDVHV LQ SURSRUWLRQ WR WKH WRWDO FKDUJH SDVVHG DQG LI WKH FXUUHQW LV
SORWWHGDJDLQVWWKHWRWDOFKDQJHSDVVHGQFDQEHFDOFXODWHGIURPWKHFKDUJHYDOXHH[WUDSRODWHG
WR]HURFXUUHQWVHHVFKHPDWLFUHSUHVHQWDWLRQLQ)LJXUH
&855(17$FP
,QLWLDOFXUUHQW
Q
&+$5*()PRO
)LJXUH6FKHPDWLFUHSUHVHQWDWLRQRIWKHPHWKRGIRUFDOFXODWLQJnEDVHGRQWKH
PHDVXUHPHQWRIWKHFXUUHQWDVDIXQFWLRQRIWRWDOHOHFWURO\VLVFKDUJH
'HWHUPLQDWLRQRIDPPRQLXPLRQFRQFHQWUDWLRQ
,W ZDV LQLWLDOO\ SODQQHG WR PHDVXUH WKH DPPRQLXP LRQ FRQFHQWUDWLRQ ZLWK D
FRPPHUFLDOO\ DYDLODEOH LRQ VHOHFWLYH HOHFWURGH +RZHYHU LW ZDV IRXQG WKDW IRU WKH
V\VWHPVXQGHULQYHVWLJDWLRQLQWKLVVWXG\WKHFRQFHQWUDWLRQRIVRGLXPLRQV1DZRXOG
EH WRR KLJK DQG FDXVH LQIHUHQFH ZLWK WKH DPPRQLXP LRQ VHOHFWLYH HOHFWURGH $Q
DOWHUQDWLYHPHWKRGZDVIRXQGWKDWLVXWLOLVHGE\RFHDQRJUDSKHUVDQGRWKHUVZKRQHHG
WRPHDVXUHDEVROXWHOHYHOVRIDPPRQLDLQRFHDQVODNHVDQGULYHUV,QRXUFDVHRQO\WKH
LQFUHDVH DERYH WKH EDFNJURXQG LQ WKH DPPRQLD FRQFHQWUDWLRQ DULVLQJ IURP QLWUDWH
UHGXFWLRQLVUHTXLUHG
/6RORU]DQR/LPQRO2FHDQRJU
7KH PHWKRG LV EDVHG RQ WKH UHDFWLRQ RI DPPRQLD ZLWK FKORULQH DW KLJK S+ WR IRUP
PRQRFKORUDPLQH ZKLFK UHDFWV ZLWK SKHQRO LQ WKH SUHVHQFH RI VRGLXP QLWURSUXVVLGH WR
IRUP DQ LQWHQVHO\ FRORXUHG G\H LQGRSKHQROEOXH WKH µSKHQDWH PHWKRG¶ 7KH
DEVRUEDQFH REVHUYHG DW QP LV SURSRUWLRQDO WR WKH DPPRQLD FRQFHQWUDWLRQ %\
FDOLEUDWLQJ ZLWK VROXWLRQV RI NQRZQ DPPRQLD FRQFHQWUDWLRQ WKH FRQFHQWUDWLRQ LQ
XQNQRZQ VDPSOHV FDQ EH GHWHUPLQHG 7KH VHQVLWLYLW\ RI WKH PHWKRG LV UDWHG WR EHWWHU
WKDQ0
7KLV PHWKRG LQYROYHV WKH SUHSDUDWLRQ RI WZR VROXWLRQV UHDJHQWV $ DQG % 5HDJHQW $
FRQWDLQVSKHQRODQGVRGLXPQLWURSUXVVLGHDQG5HDJHQW%FRQWDLQVK\SRFKORULWHVRGLXP
K\GUR[LGH DQG VRGLXPFLWUDWH:KHQVDPSOHV DUHUHDG\IRUDQDO\VLVPORI5HDJHQW$
LV DGGHG WR DSSUR[LPDWHO\ PO RI VDPSOH DQG PL[HG WKRURXJKO\ 5HDJHQW % LV WKHQ
DGGHGDQGPL[HGWKRURXJKO\,IDPPRQLDLVSUHVHQWWKHVROXWLRQWXUQVEOXH)XOOFRORXU
GHYHORSPHQW WDNHV XS WR PLQXWHV $W WKLV VWDJH WKH DEVRUEDQFH DW QP FDQ EH
PHDVXUHG
7KH UHGXFWLRQ RI QLWUDWH WR DPPRQLD DQG WR RWKHU SURGXFWV UHVXOWV LQ D GHFUHDVH LQ WKH
WRWDO FRQFHQWUDWLRQ RI DFLG LQ WKH FHOO DQG WKH PHDVXUHPHQW RI WKH HYROXWLRQ RI WKH S+
GXULQJHOHFWURO\VLVFDQEHXVHGDVDQLQGLFDWLRQRIQLWUDWHUHGXFWLRQ)RUWKLVUHDVRQWKH
S+ ZDV PHDVXUHG EHIRUH DQG DIWHU HOHFWURO\VLV H[SHULPHQWV DQG IRU WKH VDPSOHV WDNHQ
IURPWKHHOHFWURO\VLVFHOO
(;3(5,0(17$/
(OHFWURFKHPLFDOVWXGLHV
/LQHDU VZHHS YROWDPPHWU\ /69 DQG GLIIHUHQWLDO SXOVH YROWDPPHWU\ '39
PHDVXUHPHQWVZHUHFDUULHGRXWXVLQJDQ$XWR/DE3*67$7(FR&KHPLHFRPSXWHU
FRQWUROOHG LQVWUXPHQW 7KH URWDWLQJ GLVN HOHFWURGH 5'( DSSDUDWXV (',
5DGLRPHWHU LV VXSSOLHG ZLWK D PO HOHFWURFKHPLFDO FHOO ZLWK SRUWV LQFOXGLQJ WKH
FHQWUDO RQH WR UHFHLYH WKH URWDWLQJ GLVN VKDIW 6LOYHU SODWLQXP JROG DQG JODVV\ FDUERQ
*& GLVN HOHFWURGHV GLDPHWHU FP VXUIDFH DUHD FP ZHUH HPSOR\HG
3ODWLQXPZDVXVHGDVWKHFRXQWHUHOHFWURGHDQGWKHVXOSKDWHHOHFWURGH+J+J62VDW
.62DVWKHUHIHUHQFHHOHFWURGH$OOSRWHQWLDOVDUHUHIHUUHGWRWKLVHOHFWURGH
7KH FKHPLFDOV XVHG VXSSOLHU DQG SXULW\ ZHUH DV IROORZV VXOSKXULF DFLG %'+
$QDOD5 SHUFKORULF DFLG %'+ $QDOD5 VRGLXP QLWUDWH $OGULFK VRGLXP
VXOSKDWH )OXND SXULVV – VRGLXP SHUFKORUDWH $OGULFK VLOYHU VXOSKDWH
)OXND SXULVV – VLOYHU SHUFKORUDWH $OGULFK SODWLQXP R[LGH $OID
$HVDU DQG SDOODGLXP VXOSKDWH $OID $HVDU 7KHVH ZHUH DOO XVHG DV
UHFHLYHG0LOOL4ZDWHU0LOOLSRUH,QF0:FPZDVXVHGWKURXJKRXW
$XWR/DELQVWUXPHQWVHWWLQJV
/LQHDU6ZHHS9ROWDPPHWU\/69ZLWK5RWDWLQJ'LVN(OHFWURGHV5'(
x 5RWDWLRQVSHHGVDQGUHYROXWLRQVSHUPLQXWHUSP
x )LUVWFRQGLWLRQLQJSRWHQWLDO99IRUWKHVLOYHUHOHFWURGH
x 'XUDWLRQV
x (TXLOLEUDWLRQWLPHV
x 1XPEHURIVFDQV
x 6WDQGE\SRWHQWLDO99IRUWKHVLOYHUHOHFWURGH
x 6WDUWSRWHQWLDO99IRUWKHVLOYHUHOHFWURGH
x (QGSRWHQWLDO±9VXOSKDWH9SHUFKORUDWH
x 6FDQUDWHP9V
'LIIHUHQWLDO3XOVH9ROWDPPHWU\'39
x &RQGLWLRQLQJSRWHQWLDO99IRUWKHVLOYHUHOHFWURGH
x 'XUDWLRQV
x 'HSRVLWLRQSRWHQWLDO9
x 'XUDWLRQV
x (TXLOLEUDWLRQWLPHV
x 0RGXODWLRQWLPHV
x ,QWHUYDOWLPHV
x ,QLWLDOSRWHQWLDO99IRUWKHVLOYHUHOHFWURGH
x (QGSRWHQWLDO±9
x 6WHSSRWHQWLDO9
x 0RGXODWLRQDPSOLWXGH±9
x 6WDQGE\SRWHQWLDO99IRUWKHVLOYHUHOHFWURGH
([SHULPHQWDOSURFHGXUH
7KH URWDWLQJ GLVN HOHFWURGHV ZHUH SROLVKHG ZLWK DQG PP DOXPLQD VOXUULHV DQG
FOHDQHGE\VRQLFDWLRQLQSXUHZDWHU7KHEDVHHOHFWURO\WH%( ZDVSODFHGLQWKHURWDWLQJGLVN
HOHFWURGH HOHFWURFKHPLFDO FHOO DQG $UJRQ ZDV EXEEOHG WKURXJK WKH VROXWLRQ IRU PLQXWHV
EHIRUH EHLQJ DOORZHG WR MXVW IORZ RYHU WKH VXUIDFH WR H[FOXGH R[\JHQ IRU WKH GXUDWLRQ RI WKH
H[SHULPHQW/LQHDUVZHHSYROWDPPHWU\DQGGLIIHUHQWLDOSXOVHYROWDPPHWU\ZHUHILUVWSHUIRUPHG
LQ WKH EDVH HOHFWURO\WH DQG WKHQ D VROXWLRQ FRQWDLQLQJVLOYHU LRQV $J ZDV DGGHG LQRUGHUWR
GHSRVLWVLOYHUPHWDORQWKHHOHFWURGHVXUIDFHIROORZHGE\WKHDGGLWLRQRIQLWUDWHWRREVHUYHWKH
UHGXFWLRQRIQLWUDWHRQWKHIUHVKO\GHSRVLWHGVLOYHUVXUIDFH
(OHFWURFKHPLFDOGHWHUPLQDWLRQRIQ
(OHFWURO\VLVH[SHULPHQWVXVLQJWKH$XWRODELQVWUXPHQWZHUHFDUULHGRXWLQDVSHFLDOO\GHVLJQHG
DQG FRQVWUXFWHG HOHFWURO\VLV FHOO $ VFKHPDWLF GLDJUDP LV VKRZQ LQ )LJXUH 7KH YROXPH RI
OLTXLG LQ WKH ZRUNLQJ FRPSDUWPHQW ZDV FP DQG FP IRU WKH FRXQWHU HOHFWURGH
FRPSDUWPHQW7KHZRUNLQJHOHFWURGHZDVPDGHRIJODVV\FDUERQZLWKDQDUHDRIDSSUR[LPDWHO\
FP3ODWLQXPJDX]HRIDVLPLODUDUHDZDVXVHGIRUWKHFRXQWHUHOHFWURGH7KHJODVV\FDUERQ
HOHFWURGHZDVVHDOHGLQHSR[\UHVLQVRWKDWRQO\RQHIDFHRIWKHHOHFWURGHVXUIDFHFRQWDFWHGWKH
VROXWLRQ3RWHQWLDOVZHUHPHDVXUHGZLWKUHVSHFWWRDVXOSKDWHUHIHUHQFHHOHFWURGH+J+J62
VDW.627KHEDVHHOHFWURO\WHZDV0VRGLXPSHUFKORUDWHDGMXVWHGWRWKHGHVLUHGS+LQ
WKH UDQJH WR E\ WKH DGGLWLRQ RI SHUFKORULF DFLG $OLTXRWV RI 0 VRGLXP QLWUDWH
1D12 DQG 0 VLOYHU SHUFKORUDWH $J&O2 ZHUH DGGHG WR WKH EDVH HOHFWURO\WH ZKHQ
UHTXLUHG7KHFKHPLFDOVXVHGZHUHDVGHVFULEHGDERYH
F
D
D
G
E
H
I
J
I
)LJXUH6FKHPDWLFGLDJUDPRIEXONHOHFWURO\VLVFHOOD3RUWWRHQDEOHDUJRQJDVWR
EXEEOHWKURXJKVROXWLRQDQGRYHUOLTXLGVXUIDFHESODWLQXPJDX]HFRXQWHUHOHFWURGH
VXOSKDWHUHIHUHQFHHOHFWURGHGJODVV\FDUERQZRUNLQJHOHFWURGHHSRUWIRUWKH
DGGLWLRQRIDFWLYHVSHFLHVWRZRUNLQJHOHFWURGHFRPSDUWPHQWIPDJQHWLFVWLUUHUJ
JODVV\IULWWRVHSDUDWHWKHZRUNLQJDQGFRXQWHUHOHFWURGHFRPSDUWPHQWV
$XWR/DELQVWUXPHQWVHWWLQJV
x
x
x
3RWHQWLDO±9VRPHH[SHULPHQWVZHUHSHUIRUPHGDWPRUHQHJDWLYHSRWHQWLDOV
'XUDWLRQXSWRV
7LPHLQWHUYDOEHWZHHQPHDVXUHPHQWVDQGV
([SHULPHQWDOSURFHGXUH
%RWKFRPSDUWPHQWVRIWKHHOHFWURO\VLVFHOOZHUHILOOHGZLWKEDVHHOHFWURO\WH$OLTXRWVRIVLOYHU
SHUFKORUDWH$J&O2PODQGVRGLXPQLWUDWH1D12LQWKHUDQJHPOZHUHDGGHG
WR WKH ZRUNLQJ HOHFWURGH FRPSDUWPHQW DQG WKH V\VWHP VHDOHG XS 7KH OLTXLGV LQ HDFK
FRPSDUWPHQWZHUHVWLUUHGXVLQJPDJQHWLFVWLUUHUV$UJRQZDVWKHQEXEEOHGWKURXJKWKHVROXWLRQ
IRU DSSUR[LPDWHO\ PLQXWHV $IWHU WKLV WLPH WKH EXEEOLQJ WKURXJK WKH OLTXLG LQ WKH ZRUNLQJ
HOHFWURGH ZDV VWRSSHG EXW IORZ RYHU WKH VXUIDFH ZDV DOORZHG WR FRQWLQXH WR H[FOXGH R[\JHQ
IURPWKHDLUSHQHWUDWLQJWKHFRPSDUWPHQW$WWKLVWLPHWKHFRQGLWLRQVLQWKHFRXQWHUHOHFWURGH
ZHUHQRWFKDQJHG7KHEXEEOLQJWKURXJKWKHVROXWLRQLQWKHFRXQWHUHOHFWURGHFRPSDUWPHQWZDV
FRQWLQXHGIRUWKHGXUDWLRQRIWKHH[SHULPHQWLQRUGHUWRUHPRYHDQ\R[\JHQJDVJHQHUDWHGDWWKH
FRXQWHU HOHFWURGH )ROORZLQJ WKLV VROXWLRQ SUHSDUDWLRQ DQ DPSHURPHWU\ H[SHULPHQW ZDV
FRPPHQFHGLQZKLFKWKHFXUUHQWZDVPRQLWRUHGDVDIXQFWLRQRIWLPHDWFRQVWDQWSRWHQWLDOXVLQJ
WKH$XWRODESRWHQWLRVWDW7KHGXUDWLRQRIWKHH[SHULPHQWVZDVIRUSHULRGVXSWRKRXUV$WWKH
HQG RI WKH H[SHULPHQW VDPSOHV ZHUH WDNHQ IURP HDFK FRPSDUWPHQW IRU S+ PHDVXUHPHQW DQG
DPPRQLDDQDO\VLVXVLQJWKHSKHQDWHPHWKRGGHVFULEHGLQ6HFWLRQ
S+DQDO\VLV
7KHS+RIWKHEDVHHOHFWURO\WHZDVPHDVXUHGSULRUWRDQHOHFWURO\VLVH[SHULPHQWDQGWKHQDOVR
PHDVXUHG IRU VDPSOHV WDNHQ IURP HDFK RI WKH ZRUNLQJ DQGFRXQWHU HOHFWURGHFRPSDUWPHQWV DW
WKHHQGRIDQH[SHULPHQW)URPWKLVLQIRUPDWLRQDQGWKHPHDVXUHPHQWRIWKHWRWDOFKDUJHSDVVHG
LWLVSRVVLEOHWRHVWLPDWHWKHDPRXQWRIQLWUDWHFRQVXPHG
%DWFK(OHFWURO\VLV
7KHFHOOGHVLJQHGDQGFRQVWUXFWHGIRUWKLV7DVNLVVKRZQVFKHPDWLFDOO\LQ)LJXUH,WFRQVLVWV
RIDJODVVF\OLQGHUZLWKDOLSDQGDYROXPHRIOLWUH$OLGILWVRQWRWKHOLSRIWKHF\OLQGHUZLWKD
YLWRQ JDVNHW LQ EHWZHHQ WR PDNH DQ DLUWLJKW VHDO ZKHQ FODPSHG WRJHWKHU 7KH WZR HOHFWURGHV
UHTXLUHGIRUWKHVHH[SHULPHQWVDUHPRXQWHGLQWKHOLGZKLFKDOVRFRQWDLQVVDPSOLQJSRUWVDQG
DQDLUORFN7KHDQRGHZDVDSODWLQLVHGWLWDQLXPHOHFWURGHLQDJULOOIRUPDWZLWKRXWHUGLPHQVLRQV
RI [ [ FP DSSUR[LPDWHO\ FP DQGWKHFDWKRGHPDGHIURPJODVV\FDUERQKDGWKH
VDPHGLPHQVLRQV6HH6HFWLRQIRUDGLVFXVVLRQRQWKHVHOHFWLRQRIWKLVHOHFWURGHPDWHULDO
(OHFWURO\VLV ZDV FDUULHG RXW JDOYDQRVWDWLFDOO\ ZLWKD SRZHU VXSSO\ LQ ZKLFK WKH SRWHQWLDO ZDV
DXWRPDWLFDOO\DGMXVWHGWRPDLQWDLQDVHWFXUUHQW7KHFRPSRVLWLRQRIWKHVROXWLRQVZDVFKRVHQWR
EHUHSUHVHQWDWLYHRIWKHFRPSRVLWLRQRIWKHHOHFWURO\WHDWGLIIHUHQWVWDJHVFORVHWRWKHHQGRIWKH
LQGXVWULDOHOHFWURO\VLVSURFHVV7KLVZDVGRQHLQRUGHUWRPLQLPLVHWKHWLPHUHTXLUHGWRFDUU\RXW
WKHHOHFWURO\VHV
7KH FKHPLFDOV XVHG ZHUH DV IROORZV 6LOYHU QLWUDWH $OID $HVDU QLWULF DFLG %'+
$QDOD5 DQG VRGLXP QLWUDWH $OGULFK 7KHVH ZHUH XVHG DV UHFHLYHG (OHFWURO\WH
VROXWLRQVZHUHSUHSDUHGZLWK0LOOL4ZDWHU0LOOLSRUH,QF0:FP
D E F
H
G
H
I
J
K
)LJXUH6FKHPDWLFGLDJUDPRIEDWFKHOHFWURO\VLVFHOOD$QRGHEFDWKRGHFSRUW
IRUVDPSOHWDNLQJGDLUORFNHFODPSWRKROGOLGDQGFHOOILUPO\WRJHWKHUZLWKDYLWRQ
JDVNHWEHWZHHQWKHPISODWLQLVHGWLWDQLXPHOHFWURGHJJODVV\FDUERQHOHFWURGHK
PDJQHWLFVWLUUHU
([SHULPHQWDOSURFHGXUH
(OHFWURO\WHVROXWLRQVZHUHSUHSDUHGDQGSODFHGLQWKHEDWFKHOHFWURO\VLVFHOO7KHOLGFRQWDLQLQJ
WKHHOHFWURGHVZDVFODPSHGLQSODFHDQGWKHVDPSOLQJSRUWVVWRSSHUHG7KHSRZHUVXSSO\ZDV
FRQQHFWHGDQGWKHFXUUHQWVHW$WLQWHUYDOVRIDSSUR[LPDWHO\RQHKRXUVDPSOHVRIHOHFWURO\WH
PODQGXSWRPOZHUHUHPRYHGIURPWKHFHOOIRUS+DQGDPPRQLDDQDO\VLV)ROORZLQJS+
PHDVXUHPHQWRIWKHVDPSOHWKLVZDVUHWXUQHGWRWKHFHOO$OOH[SHULPHQWVZHUHFDUULHGRXWLQD
IXPHKRRG7KHHOHFWURO\WHS+ZDVPRQLWRUHGDQGWKHH[SHULPHQWFRQFOXGHGZKHQWKHUHZDVD
ODUJHFKDQJHLQWKHS+WRDONDOLQHFRQGLWLRQVLHEHIRUHH[SORVLYHFRPSRXQGVRIVLOYHUPLJKWEH
IRUPHG )ROORZLQJ WKH FRQFOXVLRQ RI DQ H[SHULPHQW WKH HOHFWURO\WH ZDV DFLGLILHG 5HFRYHUHG
VLOYHU ZDV VHSDUDWHG IURP WKH HOHFWURO\WH DQG VWRUHG VHSDUDWHO\ LQ DQ DFLG VROXWLRQ SULRU WR
DSSURSULDWHGLVSRVDO
5(68/76$1'',6&866,21
5RWDWLQJGLVNVWXGLHV
:KLOHFDUU\LQJRXWWKHLQLWLDOH[SHULPHQWVIRUWKLVVWXG\XVLQJOLQHDUVZHHSYROWDPPHWU\LQWKH
VXOSKDWHEDVHHOHFWURO\WHDGGLWLRQDOUHGXFWLRQZDYHVZHUHREVHUYHGIRUSRWHQWLDOVPRUHQHJDWLYH
WKDQ 9 )XUWKHUPRUH DIWHU HDFK VZHHS RI WKH SRWHQWLDO WKURXJK WKH UDQJH IURP WR
DSSUR[LPDWHO\ 9 WKH UHGXFWLRQ ZDYHV ZHUH REVHUYHG WR LQFUHDVH 7KLV PHDQW WKDW WKH
EDVHOLQHZDVFKDQJLQJZKLFKPDGHWKHFRPSDULVRQZLWKDGGHGQLWUDWHDQGVLOYHULRQVGLIILFXOWWR
LQWHUSUHW,QDGGLWLRQWKHUHGXFWLRQRIK\GURJHQVXOSKDWH +62 WR\LHOGK\GURJHQ+WDNHV
SODFHLQWKLVSRWHQWLDOUHJLRQFRPSRXQGLQJWKHSUREOHPV&RQVHTXHQWO\LQVXEVHTXHQWZRUNLQ
WKLVVWXG\UHGXFWLRQSRWHQWLDOVZHUHOLPLWHGWRSRWHQWLDOVPRUHSRVLWLYHWKDQ98QGHUWKHVH
FRQGLWLRQVDUHSURGXFLEOHEDVHOLQHZDVREVHUYHG
(OHFWURO\WH'HSHQGHQFH
1LWUDWH UHGXFWLRQ ZDV VWXGLHG LQ WZR GLIIHUHQW HOHFWURO\WHV VXOSKDWH DQG SHUFKORUDWH RQ ERWK
JODVV\FDUERQDQGVLOYHUURWDWLQJGLVNHOHFWURGHV)LJXUHDQG)LJXUH)RUWKHVLOYHUHOHFWURGH
WKHVFDQVZHUHVWDUWHGDW±9)LJXUHLQRUGHUWRDYRLGWKHDQRGLFGLVVROXWLRQRIVLOYHU
7KH YROWDPPRJUDPV IRU WKHVH WZR URWDWLQJ GLVN HOHFWURGHV JDYH YHU\ VLPLODU UHVXOWV WKH
SRWHQWLDOIRUQLWUDWHUHGXFWLRQLVVKLIWHGWRDPRUHQHJDWLYHYDOXHLQWKHVXOSKDWHFRPSDUHGWRWKH
SHUFKORUDWHEDVHHOHFWURO\WH'XHWRWKLVILQGLQJDQGWKHSUREOHPVH[SHULHQFHGZLWKWKHVXOSKDWH
HOHFWURO\WH6HFWLRQWRJHWKHUZLWKWKHIDFWWKDWVXOSKDWHLVNQRZQWRDGVRUERQQREOHPHWDO
VXUIDFHVDQGLQKLELWRWKHUUHDFWLRQVLWZDVGHFLGHGWRFRQWLQXHWKHVWXG\XVLQJSHUFKORUDWHDVWKH
EDVHHOHFWURO\WH
)RUWKH VXOSKDWH FDVH PHDVXUHPHQWV ZHUH DOVRSHUIRUPHG DW GLIIHUHQW S+ YDOXHVDQG
)LJXUHLQRUGHUWRGHWHUPLQHWKHRSWLPXPS+IRUWKHUHDFWLRQ%DVHGRQWKHVHUHVXOWVWKH
UHPDLQLQJH[SHULPHQWVZHUHFDUULHGRXWLQVROXWLRQVZLWKS+FRQWUROOHGEHWZHHQDQG
&XUUHQW sP$
*& 5'( +62
/
*& 5'( +&O2 /
3RWHQWLDO s9 YV +Js+J62
)LJXUH1LWUDWHUHGXFWLRQDWWKHJODVV\FDUERQURWDWLQJGLVNHOHFWURGHLQ0VRGLXP
VXOSKDWH1D62VXOSKXULFDFLG+62ZLWKP0VLOYHUVXOSKDWH$J62
P0VRGLXPQLWUDWH1D12GDVKHGDQG0VRGLXPSHUFKORUDWH1D&O2
SHUFKORULFDFLG+&O2ZLWKP0VLOYHUSHUFKORUDWH$J&O2P0VRGLXP
QLWUDWH1D12VROLG
&XUUHQW sP$
$J 5'( +62
/
$J 5'( +&O2 /
3RWHQWLDO s9 YV +Js+J62
)LJXUH1LWUDWHUHGXFWLRQDWWKHVLOYHUURWDWLQJGLVNHOHFWURGHLQ0VRGLXPVXOSKDWH
1D62VXOSKXULFDFLG+62ZLWKP0VLOYHUVXOSKDWH$J620
VRGLXPQLWUDWH1D12GDVKHGDQG0VRGLXPSHUFKORUDWH1D&O2SHUFKORULF
DFLG+&O2ZLWKP0VLOYHUSHUFKORUDWH$J&O2P0VRGLXPQLWUDWH
1D12VROLG
&XUUHQW sP$
S+ +62
/
S+ +62 /
S+ +62
/
3RWHQWLDO s9 YV +Js+J62
)LJXUH1LWUDWHUHGXFWLRQDQGS+GHSHQGHQFH0VRGLXPVXOSKDWH1D62
VXOSKXULFDFLG+62DGGHGWRJLYHWKHS+LQWKHOHJHQGP0VLOYHUVXOSKDWH
$J62P0VRGLXPQLWUDWH1D12
(OHFWURGH0DWHULDO'HSHQGHQFH
6LOYHUJROGDQGSODWLQXPZHUHHPSOR\HGWRLQYHVWLJDWHWKHGHSHQGHQFHRIQLWUDWHUHGXFWLRQRQ
WKH HOHFWURGH PDWHULDO 5HVXOWV DUH VKRZQ LQ )LJXUH WR )LJXUH *ODVV\ FDUERQ VLOYHU DQG
JROG VXUIDFHV VKRZHG VLPLODU YROWDPPRJUDPV IRU QLWUDWH UHGXFWLRQ ZLWK VLOYHU GHSRVLWLRQ
EHJLQQLQJDW±9DQGQLWUDWHUHGXFWLRQVWDUWLQJDW±96LQFHDOOWKHVXUIDFHVDUHFRYHUHG
ZLWK IUHVKO\ GHSRVLWHG VLOYHU QLWUDWH UHGXFWLRQ WDNHV SODFH RQ D VLOYHU OD\HU DQG WKHUHIRUH LW
ZRXOGEHH[SHFWHGWKDWWKHXQGHUO\LQJHOHFWURGHPDWHULDOVVKRXOGQRWSOD\DVLJQLILFDQWUROHLQ
WKHUHGXFWLRQ+RZHYHURQSODWLQXPVXEVWUDWHVVLOYHUGHSRVLWLRQDQGQLWUDWHUHGXFWLRQDSSHDUHG
DW±99UHVSHFWLYHO\VKLIWHGVOLJKWO\SRVLWLYHZLWKUHVSHFWWRWKHRWKHUVXUIDFHV,WLV
ZRUWKQRWLQJWKDWLQWKLVFDVHWKHFXUUHQWIRUQLWUDWHUHGXFWLRQZDVPRUHWKDQGRXEOHWKDWRIWKH
RWKHU VXUIDFHV 5HFHQW ZRUN E\ 'RPD HWDO LQGLFDWHV WKDW K\GURJHQ DGVRUEHG RQ D SODWLQXP
VXUIDFHSURPRWHVQLWUDWHUHGXFWLRQSURGXFLQJQRWRQO\DPPRQLDEXWDOVRQLWURXVR[LGH12
DQG K\GUR[\ODPLQH1+2+'XHWRWKHVHFRPSOLFDWLRQVWKHFXUUHQWIRUQLWUDWHUHGXFWLRQRQ
SODWLQXPEHFRPHVODUJHUWKDQWKDWIRUWKHRWKHUHOHFWURGHV,QDGGLWLRQSDUWLDOFRYHUDJHE\WKH
GHSRVLWZRXOGOHDGWRUHJLRQVZKHUHWKHK\GURJHQHYROXWLRQUHDFWLRQFDQWDNHSODFHDQGKHQFHD
FRPSOH[GHSHQGHQFHZRXOGEHREVHUYHG
$QH[FHSWLRQWRWKHDERYHILQGLQJLVVWDLQOHVVVWHHO8QGHUWKHVROXWLRQFRQFHQWUDWLRQFRQGLWLRQV
HPSOR\HGLQ7DVNQLWUDWHUHGXFWLRQRQVWDLQOHVVVWHHOGLGQRWDSSHDUWRWDNHSODFH$SRVVLEOH
H[SODQDWLRQIRUWKLVUHVXOWLVWKDWGXHWRWKHKHWHURJHQHRXVDQGFRPSOH[QDWXUHRIWKHVXUIDFHRI
VWDLQOHVVVWHHOWKHUHZDVSRRUDGKHVLRQRIWKHVLOYHUWRWKHHOHFWURGHVXUIDFHDQGKHQFHLWGLGQRW
SURGXFHWKHFDWDO\WLFOD\HUVIRXQGZLWKWKHRWKHUKRPRJHQHRXVHOHFWURGHPDWHULDOV,WVKRXOGEH
VWUHVVHGWKDW WKH DPRXQWV RI VLOYHUGHSRVLWHGRQJODVV\FDUERQ DQGVLOYHUHOHFWURGHVZHUHYHU\
VPDOOLQGHHG6LQFHWKLVSURMHFWZDVDLPHGDWLQYHVWLJDWLQJWKHHOHFWURO\WLFUHGXFWLRQRIQLWUDWHLQ
WKHSUHVHQFHRIIUHVKO\GHSRVLWHGVLOYHULWZDVSUHIHUUHGWRFRQGXFWWKHUHPDLQGHURIWKHUHVHDUFK
RQZHOOGHILQHGVLQJOHPDWHULDOVXUIDFHVIRUZKLFKQLWUDWHUHGXFWLRQWRDPPRQLDZDVREVHUYHGWR
RFFXU UDWKHUWKDQ DWWHPSWLQJ WR ILQG WKH FRQGLWLRQV XQGHU ZKLFK JRRG VLOYHU GHSRVLWV FRXOGEH
IRUPHGRQVWDLQOHVVVWHHO&RQVHTXHQWO\IRUWKHUHPDLQGHURIWKHVWXG\7DVNVDQGJODVV\
FDUERQ HOHFWURGHV ZHUH HPSOR\HG 7KH H[SHULPHQWV ZLWK WKLV HOHFWURGH PDWHULDO ZHUH PRUH
UHSURGXFLEOH DQG HDVLHU WR SHUIRUP FRPSDUHG WR WKH RWKHU HOHFWURGHV XVHG LQ WKLV VWXG\
+RZHYHU WKH FKHPLVWU\ GHVFULEHG LV LQGHSHQGHQW RI WKH EDVH HOHFWURGH PDWHULDO SURYLGHG D
IUHVKO\GHSRVLWHGOD\HURIVLOYHULVSUHVHQWRQWKHHOHFWURGHVXUIDFH
*('RPD$&$GH9RR\VDQG070.RSHU-(OHFWURDQDO&KHPLQSUHVV
&XUUHQW sP$
%( 12
%( $J 12
3RWHQWLDO s9 YV +Js+J62
)LJXUH1LWUDWHUHGXFWLRQDWWKHJODVV\FDUERQURWDWLQJGLVNHOHFWURGHLQ0VRGLXP
SHUFKORUDWH1D&O2SHUFKORULFDFLG+&O2P0VRGLXPQLWUDWH1D12
VROLG0VRGLXPQLWUDWH1D12P0VLOYHUSHUFKORUDWH$J&O2GDVKHG
&XUUHQW
sP$
%( 12
%( $J 12
3RWHQWLDO s9 YV +Js+J62
)LJXUH1LWUDWHUHGXFWLRQDWWKHVLOYHUURWDWLQJGLVNHOHFWURGHLQ0VRGLXP
SHUFKORUDWH1D&O2SHUFKORULFDFLG+&O2P0VRGLXPQLWUDWH1D12
VROLG0VRGLXPQLWUDWH1D12P0VLOYHUSHUFKORUDWH$J&O2GDVKHG
&XUUHQW sP$
%( $J
%( $J 12
3RWHQWLDO s9 YV +Js+J62
)LJXUH1LWUDWHUHGXFWLRQDWWKHJROGURWDWLQJGLVNHOHFWURGH0VRGLXPSHUFKORUDWH
1D&O2SHUFKORULFDFLG+&O2P0VRGLXPQLWUDWH1D12VROLG0
VRGLXPQLWUDWH1D12P0VLOYHUSHUFKORUDWH$J&O2GDVKHG
&XUUHQW sP$
%( $J
%( $J 12
3RWHQWLDO s9 YV +Js+J62
)LJXUH1LWUDWHUHGXFWLRQDWWKHSODWLQXPURWDWLQJGLVNHOHFWURGHLQ0VRGLXP
SHUFKORUDWH1D&O2SHUFKORULFDFLG+&O2ZLWKP0VLOYHUSHUFKORUDWH$J&O2
VROLGP0VLOYHUSHUFKORUDWH$J&O2P0VRGLXPQLWUDWH1D12GDVKHG
5HDFWLRQNLQHWLFVDQGWKHQXPEHURIHOHFWURQV
7KH NLQHWLFV RI QLWUDWH UHGXFWLRQ ZDV VWXGLHG E\ PHDVXULQJ WKH SRWHQWLDO GHSHQGHQFH RI WKH
FXUUHQW DW GLIIHUHQW URWDWLQJ UDWHV )LJXUH 7KH UHVXOWV ZHUH DQDO\VHG XVLQJ WKH .RXWHFN\
/HYLFK HTXDWLRQ ZKLFK LV DSSOLFDEOH IRU D UHDFWLRQ XQGHU SDUWLDO NLQHWLFGLIIXVLRQDO RU PDVV
WUDQVSRUWIRUFHGFRQYHFWLRQRIWKHURWDWLQJGLVNHOHFWURGHFRQWURO
,
, OLP
Q)$' Q
& 12 Z
ZKHUH,OLPLVWKHOLPLWLQJFXUUHQWLHWKHFXUUHQWREVHUYHGZKHQWKHUHDFWLRQLVHQWLUHO\FRQWUROOHG
E\WKHGLIIXVLRQRIQLWUDWHLRQVWRWKHHOHFWURGHVXUIDFH $' & 12 QDQGQDUHWKHHOHFWURGH
VXUIDFHDUHDWKHGLIIXVLRQFRHIILFLHQWRIQLWUDWHuFPVWKHQLWUDWHFRQFHQWUDWLRQWKH
NLQHPDWLFYLVFRVLW\RIWKHVROXWLRQFPVDQGWKHQXPEHURIHOHFWURQVXVHGSHUQLWUDWHLRQ
UHGXFHG UHVSHFWLYHO\ 7KH LQYHUVH RI WKH FXUUHQW , ZDV SORWWHG DJDLQVW WKH LQYHUVH RI WKH
VTXDUHURRWRIURWDWLRQUDWHZ)URPWKHVHSORWVDQG(TDYDOXHIRUQRIEHWZHHQDQG
)LJXUH ZDV REWDLQHG 7KHVH UHVXOWV VKRZ WKDW QLWUDWH UHGXFWLRQ RQ IUHVKO\ GHSRVLWHG
VLOYHUOHDGVWRWKHGLUHFWIRUPDWLRQRIDPPRQLD
USP
USP
USP
USP
USP
&XUUHQW sP$
3RWHQWLDO s9 YV +Js+J62
)LJXUH/LQHDUVZHHSYROWDPPRJUDPVRIQLWUDWHUHGXFWLRQDWWKHVLOYHUURWDWLQJGLVN
HOHFWURGHLQ0VRGLXPSHUFKORUDWH1D&O2SHUFKORULFDFLG+&O2ZLWKP0
VLOYHUSHUFKORUDWH$J&O2P0VRGLXPQLWUDWH1D12DWGLIIHUHQWURWDWLRQUDWHV
Q s1XPEHU RI (OHFWURQV
3RWHQWLDO s9 YV +Js+J62
)LJXUH'HSHQGHQFHRInWKHQXPEHURIHOHFWURQVRQWKHSRWHQWLDOFDOFXODWHGIURP
(T
,QIOXHQFHRISODWLQXPDQGSDOODGLXPLRQV
5RWDWLQJGLVNHOHFWURGHH[SHULPHQWVZHUHSHUIRUPHGRQERWKJODVV\FDUERQDQGVLOYHUHOHFWURGHV
IRUVROXWLRQVFRQWDLQLQJQLWUDWH 12 DQGVLOYHU$JLRQVDQGZLWKDGGHGSODWLQXP3WRU
SDOODGLXP 3G LRQV ,Q WKH FDVH RI SODWLQXP LW LV NQRZQ WKDW K\GURJHQ + DGVRUEV YHU\
VWURQJO\ DQG FRQVHTXHQWO\ DQ HQKDQFHPHQW RI WKH QLWUDWH UHGXFWLRQ FRXOG WDNH SODFH ,W ZDV
IRXQG KRZHYHU WKDW WKH DGGLWLRQ RI HLWKHU RI WKHVH WZR SUHFLRXV PHWDO LRQV GLG QRW DOWHU WKH
QLWUDWHUHGXFWLRQSRWHQWLDO2QHH[SODQDWLRQIRUWKLVLVWKDWWKHFRQFHQWUDWLRQRIWKHVHWZRLRQVLV
WRR VPDOO GXH WR WKH ORZ VROXELOLW\ RI ERWK SODWLQXP R[LGH DQG SDOODGLXP VXOSKDWH WKDW ZHUH
XVHG ,Q VROXWLRQV RI PXFK ORZHU S+ WKDQ XVHG LQ WKLV VWXG\ WKLV PD\ FKDQJH LH ZKHQ
HOHFWURO\VLVLVFDUULHGRXWLQFRQFHQWUDWHGDFLG
'LIIHUHQWLDOSXOVHYROWDPPHWU\
'LIIHUHQWLDO SXOVH YROWDPPHWU\ H[SHULPHQWV ZHUH FDUULHG RXW RQ ERWK VWDWLRQDU\ VLOYHU DQG
JODVV\ FDUERQHOHFWURGHVLQRUGHUWRGHWHUPLQHPRUHDFFXUDWHO\WKHRSWLPXPQLWUDWHUHGXFWLRQ
SRWHQWLDO 7KLV SRWHQWLDO LV UHTXLUHG IRU WKH HOHFWURO\VLV H[SHULPHQWV FDUULHG RXW LQ 7DVN 9ROWDPPRJUDPV RQ D VLOYHU HOHFWURGH VKRZHG WKDW QLWUDWH UHGXFWLRQ WDNHV SODFH DW ± 9
)LJXUHZKLOHIRUJODVV\FDUERQWKH\VKRZHGVLOYHUGHSRVLWLRQDQGQLWUDWHUHGXFWLRQDW±
9DQG±9UHVSHFWLYHO\)LJXUH3HDNFXUUHQWYDOXHVRQERWKHOHFWURGHVZHUHP$
sP$
&XUUHQW
%(
%( $J
%( $J 12
12
3RWHQWLDO s9 YV +Js+J62
)LJXUH'LIIHUHQWLDOSXOVHYROWDPPHWU\RQDVLOYHUHOHFWURGHLQP0VRGLXP
SHUFKORUDWH1D&O2SHUFKORULFDFLG+&O2P0VLOYHUSHUFKORUDWH$J&O2
P0VRGLXPQLWUDWH1D12
&XUUHQW
s
P$
%(
%( $J
%( $J 12
12
3RWHQWLDO s9 YV +Js+J62
)LJXUH'LIIHUHQWLDOSXOVHYROWDPPHWU\RQDJODVV\FDUERQURWDWLQJGLVNHOHFWURGHLQ
0VRGLXPSHUFKORUDWH1D&O2SHUFKORULFDFLG+&O2P0VLOYHU
SHUFKORUDWH$J&O2P0VRGLXPQLWUDWH1D12
(OHFWURFKHPLFDOGHWHUPLQDWLRQRIQ
Q±QXPEHURIHOHFWURQV
7KH PHWKRG RXWOLQHG LQ 6HFWLRQ ZDV DSSOLHG LQ WKLV 7DVN WR GHWHUPLQH WKH QXPEHU RI
HOHFWURQV LQYROYHGLQ WKH UHDFWLRQ ([KDXVWLYH HOHFWURO\VLVH[SHULPHQWV ZHUHFDUULHGRXWDWWKH
SRWHQWLDOGHWHUPLQHGLQ7DVNLHWKHSRWHQWLDODWZKLFKQLWUDWHUHGXFWLRQRFFXUVDWDQRSWLPDO
OHYHO7KLVZDVDSSUR[LPDWHO\±9ZLWKUHVSHFWWRWKHVXOSKDWHUHIHUHQFHHOHFWURGH
7KHUHVXOWVRIDQDPSHURPHWU\H[SHULPHQWLHFXUUHQWYVWLPHDWFRQVWDQWSRWHQWLDODUHVKRZQLQ
)LJXUH 7KH FXUUHQW GHFUHDVHV DV D IXQFWLRQ RI LQFUHDVLQJ WLPH GXH WR WKH GHSOHWLRQ RI WKH
QLWUDWHFRQFHQWUDWLRQDULVLQJIURPQLWUDWHUHGXFWLRQ7KHLQWHJUDWLRQRIFXUUHQWYVWLPHGDWDJLYHV
WKHGHSHQGHQFHRIWKHFXUUHQWRQFKDUJH7KHSORWRIWKLVLQWHJUDWLRQIRUWKHSUHYLRXVILJXUHLV
VKRZQLQ)LJXUH6LQFHWKHFKDUJHLVHTXDOWRQWLPHVWKHQXPEHURIPROHVWLPHVWKH)DUDGD\
FRQVWDQWWKLVSORWLVSUHVHQWHGDVFXUUHQWYVQ:KHQDOLQHLVILWWHGWRWKHOLQHDUSRUWLRQRIWKHVH
JUDSKVDQGH[WUDSRODWHGWR]HURFXUUHQWLWFDQEHVHHQWKDWDW]HURFXUUHQWQLVYHU\FORVHWR,Q
)LJXUH DQ LQLWLDO LQFUHDVH LQ FXUUHQW EHIRUH WKH RQVHW RI WKH OLQHDU UHJLRQ LV REVHUYHG 7KLV
LQFUHDVHLVPRVWOLNHO\FDXVHGE\WKHLQLWLDOGHSRVLWLRQRIVLOYHURQWKHHOHFWURGHVXUIDFHVLQFHDW
WKHFRPPHQFHPHQWRIWKHHOHFWURO\VLVQRVLOYHULVSUHVHQWRQWKHHOHFWURGH'HYLDWLRQIURPWKH
VWUDLJKW OLQH DIWHU D ORQJ HOHFWURO\VLV WLPH UHVXOWV IURP WKH SUHVHQFH RI D ORZ OHYHO RI WKH
K\GURJHQ HYROXWLRQ UHDFWLRQ 7KLV FRQWULEXWLRQ EHFRPHV UHODWLYHO\ PRUH LPSRUWDQW DV WKH
FRQFHQWUDWLRQRIQLWUDWHGHFUHDVHVDWORQJHOHFWURO\VLVWLPHV
&XUUHQW sP$
7LPH sV
)LJXUH&XUUHQWYVWLPHIURPDPSHURPHWU\H[SHULPHQWIRUV\VWHP7DEOH
7DEOH6XPPDU\RI7DVNUHVXOWV
> 1D12 @ > $J&O2 @
6\VWHP
F
F
W KD S+ E%( E S+ &(
S+ E:( ª1+
º
¬
¼ :( ª¬ 1+ º¼ &(
P0 P0 P0 P0 D
'XUDWLRQRIWKHDPSHURPHWU\H[SHULPHQW
E
S+RIWKHEDVHHOHFWURO\WH%(DQGFRXQWHUDQGZRUNLQJHOHFWURGHFRPSDUWPHQWV&(DQG:(DWWKHFRQFOXVLRQRI
WKHH[SHULPHQW
F
&RQFHQWUDWLRQRIDPPRQLDDWWKHFRQFOXVLRQRIWKHH[SHULPHQW
&XUUHQW sP$
Q s 1XPEHU RI (OHFWURQV
)LJXUH,QWHJUDWHGUHVXOWVIURP)LJXUHZLWKWKH[D[LVH[SUHVVHGDVnLQVWHDGRI
FKDUJHFKDUJH nmFZKHUHmLVWKHQXPEHURIPROHDQGFLVWKH)DUDGD\FRQVWDQW
(OHFWURO\WHS+
3ULRUWRHDFKH[SHULPHQWWKHS+RIWKHEDVHHOHFWURO\WHZDVPHDVXUHGDQGWKHQDWWKHFRQFOXVLRQ
RI WKH HOHFWURO\VLV WKH S+ RI WKH HOHFWURO\WHV LQ ERWK WKH ZRUNLQJ DQG FRXQWHU HOHFWURGHV
FRPSDUWPHQWVZDVPHDVXUHG5HVXOWVRIWKHVHPHDVXUHPHQWVDUHVKRZQLQ7DEOH7KHILUVW
FROXPQVLQWKHWDEOHVKRZWKHV\VWHPQXPEHUDQGWKHFRQFHQWUDWLRQRIWKHDGGHGVSHFLHVWRWKH
EDVH HOHFWURO\WH 7KH UHPDLQLQJ FROXPQV VXPPDULVH WKH FRQGLWLRQV SHUWDLQLQJ SULRU WR DQG
IROORZLQJDQH[SHULPHQW$VFDQEHVHHQLQWKH7DEOHWKHUHLVDVLJQLILFDQWLQFUHDVHLQWKHS+RI
WKH ZRUNLQJ HOHFWURGH FRPSDUWPHQW DQG D GHFUHDVH LQ WKH FRXQWHU HOHFWURGH ,Q RWKHU ZRUGV
SURWRQV DUH EHLQJ SURGXFHG DW WKH FRXQWHU HOHFWURGH DQG FRQVXPHG DW WKH ZRUNLQJ HOHFWURGH
:KHQDSSO\LQJWKHPHWKRGGHVFULEHGDERYHLQ6HFWLRQDQDSSUR[LPDWHO\FRQYHUVLRQ
RIQLWUDWHWRDPPRQLDIRUV\VWHPVWRLQ7DEOHLVLQHYLGHQFH+RZHYHUWKHGLUHFWUHVXOWV
IURPWKHDPPRQLDDQDO\VLVVHHQH[W6HFWLRQLQGLFDWHWKDWRQO\±RIWKHRULJLQDOQLWUDWH
KDG EHHQ FRQYHUWHG WR DPPRQLD $V GLVFXVVHG LQ WKH QH[W 6HFWLRQ KRZHYHU WKH GLIIHUHQFH LV
OLNHO\WREHGXHWRDPPRQLDHYDSRUDWLRQ
$PPRQLDDQDO\VLV
7KHSKHQDWHPHWKRGGHVFULEHGLQ6HFWLRQZDVXVHGWRDQDO\VHWKHDPPRQLDFRQWHQWLQWKH
ZRUNLQJDQGFRXQWHUHOHFWURGHFRPSDUWPHQWVDWWKHFRQFOXVLRQRIHDFKH[SHULPHQW)LUVWRIDOOD
FDOLEUDWLRQZDVSHUIRUPHGLQRUGHUWRILQGWKHUHODWLRQVKLSEHWZHHQDPPRQLDFRQFHQWUDWLRQDQG
DEVRUEDQFH )LJXUH VKRZV DQ H[DPSOH RI VXFK D FDOLEUDWLRQ $V FDQ EH VHHQ WKHUH LV DV
H[SHFWHG DFFRUGLQJ WR WKH %HHU/DPEHUW ODZ D OLQHDU UHODWLRQVKLS EHWZHHQ FRQFHQWUDWLRQ DQG
DEVRUEDQFH7KHFRQFHQWUDWLRQRIDPPRQLDIRXQGLQHDFKRIWKHHOHFWURGHFRPSDUWPHQWVDWWKH
FRQFOXVLRQ RI HOHFWURO\VLV LV VKRZQ LQ 7DEOH 7KHVH FRQFHQWUDWLRQV FRQYHUW WR D \LHOG RI
EHWZHHQ±RIDPPRQLDIURPQLWUDWH
$EVRUEDQFH DW QP
#1' sJP
)LJXUH&DOLEUDWLRQWRGHWHUPLQHWKHDEVRUEDQFHDWQPIRUNQRZQDPPRQLXP
LRQFRQFHQWUDWLRQV7KH[D[LVLVH[SUHVVHGDVWKHQXPEHURIJPRIQLWURJHQ
,Q WKH SUHYLRXV 6HFWLRQ WKH UHVXOWV IURP WKH S+ PHWKRG LQGLFDWHG WKDW WKH \LHOG RI DPPRQLD
RXJKWWREHUDWKHUKLJKHUWKDQZDVIRXQGXVLQJWKHSKHQDWHPHWKRG6HFWLRQ$PPRQLXP
LRQV DUH WUDQVIHUULQJ IURP WKH ZRUNLQJ HOHFWURGH WR WKH FRXQWHU HOHFWURGH VLQFH WKHUH LV D
PHDVXUDEOH FRQFHQWUDWLRQ RI DPPRQLD LQ WKH FRXQWHU HOHFWURGH FRPSDUWPHQW ,Q WKH FRXQWHU
HOHFWURGH FRPSDUWPHQW DUJRQ ZDV EXEEOHG WKURXJK WKH VROXWLRQ IRU WKH GXUDWLRQ RI WKH
H[SHULPHQWLQZKLFKFDVHWKHDPPRQLDPD\KDYHEHHQVZHSWRXWRIWKHV\VWHP:KHQFDUU\LQJ
RXWWKHEDWFKH[SHULPHQWLQ7DVNWKHVROXWLRQLQWKHDLUORFNZDVDFLGLILHG$WWKHFRQFOXVLRQRI
D UXQ LQ 7DVN DQ DPPRQLD DQDO\VLV ZDV SHUIRUPHG RQ D VDPSOH IURP WKH DLUORFN 7KLV
FRQWDLQHG DPPRQLD LQGLFDWLQJ WKDW DPPRQLD JDV ZDV EHLQJ GHSOHWHG IURP WKH FHOO ,Q 7DVN WKLV ZLOO EH DFFHOHUDWHG GXH WR DUJRQ EHLQJ EXEEOHG WKURXJK WKH OLTXLG +HQFH WKH \LHOG RI
DPPRQLD IRXQG LQ 7DVN LV JRLQJ WR EH UDWKHU KLJKHU WKDQ WKH ± IRXQG XVLQJ WKH
SKHQDWH PHWKRG ,W LV OLNHO\ WR EH JUHDWHU WKDQ WKLV EXW LW LV GLIILFXOW WR TXDQWLI\ KRZ PXFK
DPPRQLD LV EHLQJ ORVW IURP JDV SXUJLQJ DQG IURP WKH EXEEOHU WKURXJK HYDSRUDWLRQ 7KH
LPSRUWDQWSRLQWLV WKDW WKLV UHVXOW VKRZV WKDW DPPRQLDLVWKHPDLQSURGXFWRIWKHUHGXFWLRQRI
QLWUDWHXQGHUWKHFRQGLWLRQVRIWKLVHOHFWURO\VLVH[SHULPHQW
%DWFKHOHFWURO\VLV
$VXPPDU\RIWKHUHVXOWVREWDLQHGIRUWKLV7DVNLVVKRZQLQ7DEOH&ROXPQOLVWVWKHV\VWHPV
VWXGLHGZLWKWKHHOHFWURO\WHVSHFLHVFRQFHQWUDWLRQVVKRZQLQFROXPQVWR&ROXPQVDQG
OLVWWKHFXUUHQWDSSOLHGDQGWKHGXUDWLRQRIWKHHOHFWURO\VLVZKLOHWKHILQDOFROXPQVOLVWWKHS+
DQGDPPRQLDFRQFHQWUDWLRQSULRUWRDQGIROORZLQJHDFKH[SHULPHQW
7DEOH6XPPDU\RI7DVNUHVXOWV
> 1D12 @ > $J12 @ > +12 @ P0 P0 P0 6\VWHP
F
E
LI
ª1+
º
¼L I ¬
P0 L $
W K S+ D
D
'XUDWLRQRIH[SHULPHQW
,QLWLDODQGILQDOS+YDOXH
F
,QLWLDODQGILQDODPPRQLXPLRQFRQFHQWUDWLRQ
E
)RU V\VWHP 7DEOH WKH HOHFWURO\WH FRQVLVWHG RI QLWULF DFLG +12 DQG VLOYHU QLWUDWH
$J12 )RU WKLV V\VWHP D YHU\ ORZ FXUUHQW $ ZDV DSSOLHG LQ RUGHU WR WHVW KRZ WKH
DSSDUDWXVIXQFWLRQHG,WZDVHOHFWURO\VHGIRUDSSUR[LPDWHO\KRXUVDQGDWWKHHQGRIWKLVWLPH
VLOYHU KDG GHSRVLWHG RQ WKH FDWKRGH EXW WKH S+ KDG QRW FKDQJHG DQG DPPRQLD FRXOG QRW EH
GHWHFWHGLQWKHVROXWLRQVZKHQDSSO\LQJWKHSKHQDWHPHWKRG7KLVZDVWREHH[SHFWHGGXHWRWKH
YHU\VPDOODPRXQWRIFKDQJHSDVVHG
)RUV\VWHP7DEOHWKHHOHFWURO\WHFRQVLVWHGRIDTXHRXVVRGLXPQLWUDWH1D12DQGVLOYHU
QLWUDWH $J12 DQG HOHFWURO\VHG DW D PXFK KLJKHU FXUUHQW $ )URP WKH LQVWDQW WKDW WKH
HOHFWURO\VLV EHJDQ D SUHFLSLWDWH ZDV IRUPHG DW WKH FDWKRGH ZKLFK FDXVHG WKH HOHFWURO\WH WR
EHFRPHGDUNEURZQ6DPSOHVWDNHQLQGLFDWHGWKDWWKHS+KDGFKDQJHGTXLWHGUDPDWLFDOO\IURP
DURXQGWRGXULQJWKHILUVWPLQXWHVDQGWKDWDPPRQLDZDVEHLQJUDSLGO\SURGXFHG)LJXUH
VKRZV WKH S+ DV D IXQFWLRQ RI WLPH VKRZLQJ WKDW WKH S+ VKLIWHG IURP DFLG WR DONDOLQH
FRQGLWLRQV TXLWH UDSLGO\ 7KH UHVXOWV IURP WKH DPPRQLD DQDO\VLV IRU WKLV V\VWHP DUH VKRZQ LQ
)LJXUH 2YHU WKH SHULRG RI HOHFWURO\VLV WKH DPPRQLD FRQFHQWUDWLRQ LQFUHDVHG OLQHDUO\
UHDFKLQJDYDOXHRIDURXQGP0DIWHUKRXUVRIHOHFWURO\VLV
S+
7LPH sV
)LJXUH(OHFWURO\WHS+DVDIXQFWLRQRIHOHFWURO\VLVWLPHIRUV\VWHP7DEOH7KH
OLQHVDUHDGGHGDVDYLVXDOJXLGHWRWKHSRLQWV
#1+ ' sP0
7LPH sV
)LJXUH&RQFHQWUDWLRQRIDPPRQLDLQWKHHOHFWURO\VLVFHOODVDIXQFWLRQRIHOHFWURO\VLV
WLPHIRUV\VWHP7DEOH
7KHSRWHQWLDOEHJDQDWDURXQG9DQGGHFUHDVHGWRDURXQG9DWWKHHQGRIWKHH[SHULPHQW
7KLVUHVXOWHGLQDSRZHUGLVVLSDWLRQVXIILFLHQWWRKHDWWKHFHOO$OWKRXJKWKHFRQGLWLRQVRIWKLV
HOHFWURO\VLVH[SHULPHQWDUHUDWKHUH[WUHPHWKHUHZDVQRWGRXEWDERXWWKHIRUPDWLRQRIDPPRQLD
LQWKHHOHFWURO\WH
6\VWHP 7DEOH ZDV VLPLODU WR V\VWHP H[FHSW IRU D PXFK KLJKHU FRQFHQWUDWLRQ RI VLOYHU
QLWUDWH $J12 D ORZHU FXUUHQW $ DQG D PXFK ORQJHU WLPH XQGHU HOHFWURO\VLV ,Q WKLV
H[SHULPHQW WKH S+LQLWLDOO\DWLQWKHHOHFWURO\WHEHIRUH HOHFWURO\VLVFRPPHQFHGFKDQJHG
TXLWHUDSLGO\WR,WWKHQLQFUHDVHGYHU\VORZO\EHIRUHTXLWHTXLFNO\FKDQJLQJWRDOPRVWRYHU
DKRXUSHULRG7KHVHUHVXOWVDUHVKRZQLQ)LJXUH7KHDPPRQLDFRQFHQWUDWLRQUHPDLQHGDW
D YHU\ ORZ YDOXH IRU WKH ILUVW KRXUV DQG WKHQ LQFUHDVHG UDWKHU PRUH UDSLGO\ DV VKRZQ LQ
)LJXUH$SKRWRJUDSKRIWKHEOXHVROXWLRQVVDPSOHVUHVXOWLQJIURPWKHSKHQDWHPHWKRG
RIDPPRQLDDQDO\VLVLVVKRZQLQ)LJXUH$VDYLVXDOLPSUHVVLRQLWLVHDV\WRVHHWKHZD\LQ
ZKLFK WKH LQWHQVLW\ RI WKH EOXH FRORXU LQFUHDVHV LH LQFUHDVLQJ DPPRQLD FRQFHQWUDWLRQ ZLWK
HOHFWURO\VLVWLPH
(1)
5/8ml
0.
(W at
er)
(3)
5/8ml
0.
(2)
5/8ml
0.
(5)
5/8ml
0.
(4)
5/8ml
0.
(7)
5/8ml
0.
(6)
5/8ml
0.
(9)
5/8ml
0.
(8)
5/8ml
0.
(11)
1/8ml
0.
(10)
1/8ml
0.
(13)
1/8ml
0.
(12)
1/8ml
0.
(15)
05/8ml
0.
(14)
05/8ml
0.
(17)
(19)
05/12ml 0.
04/12ml
0.
(16)
(18)
05/12ml 0.
04/12ml
0.
28
Figure22Photograph of samples taken from system 3 of the batch electrolysis experiments after applying the phenate method for
ammonia analysis.The samples are numbered 1to 19and were taken at intervals during the experiment.Below each sample number is
the dilution factor,eg in the case of sample 1,0.5ml of sample from the cell was added to 8ml of water.From sample 9to 10the blue
has decreased in intensity but sample10has been diluted by a factor of 5times more than sample 9.Taking into account the dilutions it
can be clearly seen that there is an increasing intensity of the blue colour from left to right.W ater is included at the far left for comparison.
S+
7LPH sV
)LJXUH(OHFWURO\WHS+DVDIXQFWLRQRIHOHFWURO\VLVWLPHIRUV\VWHP7DEOH7KH
OLQHLVDGGHGDVDYLVXDOJXLGHWRWKHLQLWLDOSRLQW
#1+ ' sP0
7LPH sV
)LJXUH&RQFHQWUDWLRQRIDPPRQLDLQWKHHOHFWURO\VLVFHOODVDIXQFWLRQRIHOHFWURO\VLV
WLPHIRUV\VWHP7DEOH
'XULQJ WKH LQLWLDO VWDJHV RI HOHFWURO\VLV D EODFN FU\VWDOOLQH PDWHULDO IRUPHG DW WKH DQRGH ,W LV
OLNHO\ WKDW WKLV ZDV VLOYHU R[LGH $J2 7KLV PDWHULDO VORZO\ GURSSHG RII WKH HOHFWURGH DQG
FROOHFWHGDORQJZLWKWKHVLOYHUWKDWIHOOIURPWKHFDWKRGHDWWKHERWWRPRIWKHFHOO+RZHYHUDV
WKHHOHFWURO\VLVSURFHHGHGLWDSSHDUHGWKDWWKHDPRXQWRIWKLVEODFNPDWHULDOGHFUHDVHGZLWKWLPH
±SRVVLEO\VORZO\GLVVROYLQJLQWKHORZS+VROXWLRQ
8QGHUWKHFRQGLWLRQVRIWKLVH[SHULPHQWWKHS+FKDQJHZDVUDWKHUGUDPDWLFZLWKFRQFHQWUDWLRQ
FKDQJHV LQ WKH SURWRQV RI QHDU RUGHUV RI PDJQLWXGH LQ D UHODWLYHO\ VKRUW VSDFH RI WLPH ZLWK
UHVSHFWWRVLOYHUPHWDOUHFRYHU\$WWKHVDPHWLPHDVWKHS+ZDVLQFUHDVLQJVRZDVWKHDPPRQLD
FRQFHQWUDWLRQ,QIDFWWKHDPPRQLDFRQFHQWUDWLRQFRQWLQXHGWRLQFUHDVHHYHQZKHQWKHVROXWLRQ
KDG EHFRPH DONDOLQH *LYHQ WKLV EHKDYLRXU LW ZDV GHFLGHG WR WHUPLQDWH WKH H[SHULPHQW DW WKLV
SRLQWDIWHUUXQQLQJLWIRUDSSUR[LPDWHO\KRXUV
&21&/86,216
7KLV SURMHFW KDV GHPRQVWUDWHG WKDW GXULQJ WKH HOHFWURO\VLV RI VROXWLRQV FRQWDLQLQJ VLOYHU DQG
QLWUDWH LRQV DPPRQLD LV SURGXFHG ([WHQVLYH HOHFWURO\VLV OHDGV WR DONDOLQH VROXWLRQV DQG KLJK
FRQFHQWUDWLRQVRIDPPRQLD,WLVXQGHUWKHVHFRQGLWLRQVWKDWIXOPLQDWLQJVLOYHUFDQEHIRUPHG
7KHURWDWLQJGLVNVWXG\KDVVKRZQ
7KDWIURPWKHNLQHWLFVWXGLHVQWKHQXPEHURIHOHFWURQVLQWKHUHGXFWLRQUHDFWLRQLVHTXDOWR
FOHDUO\VKRZLQJWKDWDPPRQLDLVWKHSURGXFWRIWKHUHGXFWLRQ
1LWUDWHUHGXFWLRQWDNHVSODFHRQJODVV\FDUERQJROGSODWLQXPDQGVLOYHUHOHFWURGHVXUIDFHV
ZKHQ VLOYHU LV IUHVKO\ GHSRVLWHG 5HGXFWLRQ ZDV QRW REVHUYHG RQ VWDLQOHVV VWHHO GXH WR
LQVXIILFLHQW DGKHVLRQ RIWKHVLOYHUGHSRVLW,WVKRXOGEHVWUHVVHGKRZHYHUWKDWWKHVXEVWUDWHLV
XQLPSRUWDQW IRU REVHUYLQJ QLWUDWH UHGXFWLRQ 7KH RQO\ UHTXLUHPHQW LV WKDW IUHVKO\ GHSRVLWHG
VLOYHULVSUHVHQW
7KH DGGLWLRQ RI SODWLQXP DQG SDOODGLXP LRQV WR WKH HOHFWURO\WH VROXWLRQV GLG QRW DSSHDU WR
HQKDQFHWKHUDWHRIQLWUDWHUHGXFWLRQ7KLVLVGXHWRWKHYHU\ORZVROXELOLW\RIWKHVHLRQVLQWKH
HOHFWURO\WHVROXWLRQV,QPRUHDFLGLFHOHFWURO\WHVWKHVROXELOLW\ZLOOEHPXFKKLJKHUDQGWKHUHIRUH
PLJKWKDYHDQHIIHFWRQQLWUDWHUHGXFWLRQ
7KHH[KDXVWLYHHOHFWURO\VLVH[SHULPHQWVKDYHVKRZQ
7KDWQ FRQILUPLQJWKHUHVXOWIURPWKHURWDWLQJGLVKVWXG\
7KDWHOHFWURO\VLVRIWKHQLWUDWHFRQWDLQLQJVROXWLRQVUHVXOWVLQFRQVXPSWLRQRISURWRQVDWWKH
ZRUNLQJ HOHFWURGH DQG SURGXFWLRQ RI SURWRQV DW WKH FRXQWHU HOHFWURGH 7KH DQDO\VLV RI WKH S+
VKRZVWKDWWKHUHGXFWLRQUHDFWLRQVKRXOGJLYHDKLJK\LHOGRIDPPRQLD
7KDWDPPRQLDLVSURGXFHGGXULQJHOHFWURO\VLVDQGKLJK\LHOGVKDYHEHHQREVHUYHG
7KHEDWFKHOHFWURO\VLVH[SHULPHQWVKDYHVKRZQ
7KDWS+FDQVKLIWGUDPDWLFDOO\ZLGHO\GXULQJHOHFWURO\VLVIURPDFLGWRDONDOLQHFRQGLWLRQV
7KDWS+FDQUHPDLQDOPRVWFRQVWDQWDQGWKHQFKDQJHE\DYHU\ODUJHDPRXQWS+XQLWVLHD
FKDQJHLQK\GURJHQLRQFRQFHQWUDWLRQRIVHYHQRUGHUVRIPDJQLWXGHRYHUDKRXUSHULRGDIWHU
DKRXUSHULRGRIDOPRVWFRQVWDQWS+
7KDW DPPRQLD LV SURGXFHG GXULQJ HOHFWURO\VLV RYHU D YHU\ ZLGH UDQJH RI FRQGLWLRQV S+
FXUUHQW GHQVLW\ DQG VLOYHU LRQ FRQFHQWUDWLRQ ,W LV LPSRUWDQW WR QRWH WKDW WKH FRQFHQWUDWLRQ RI
DPPRQLDIRXQGLQWKHVROXWLRQVERWKIRUWKLV7DVNDQGLQ7DVNDUHUHODWLYHO\ODUJHZLWKUHVSHFW
WRWKHLQLWLDOQLWUDWHFRQFHQWUDWLRQ
7KDWWKHDPPRQLDFRQFHQWUDWLRQFDQLQFUHDVHUDSLGO\LQERWKDFLGDQGDONDOLQHFRQGLWLRQV
5(&200(1'$7,216
,Q HOHFWURFKHPLFDO SURFHVVHV VXFK DV VLOYHU HOHFWURSODWLQJ DQG UHFRYHU\ E\ EDWFK HOHFWURO\VLV
ODUJHFRQFHQWUDWLRQVRIDPPRQLDFDQEHSURGXFHGLQDONDOLQHFRQGLWLRQV8QGHUWKHVHFRQGLWLRQV
H[SORVLYH FRPSRXQGV RI VLOYHU FDQ EH IRUPHG &RQVHTXHQWO\ RSHUDWLQJ FRQGLWLRQV IRU WKHVH
SURFHVVHVPXVWEHPDLQWDLQHGZLWKLQVDIHOLPLWV7KHVDPHDSSOLHVWRSURFHVVHVXVLQJ7ROOHQV¶V
UHDJHQWVXFKDVVLOYHUPLUURULQJDQGLQSUHSDUDWLYHRUJDQLFFKHPLVWU\
,WLVUHFRPPHQGHG
7KDW IRU EDWFK HOHFWURO\VLV WKH S+ VKRXOG EH PRQLWRUHG DQG HOHFWURO\WH NHSW XQGHU DFLG
FRQGLWLRQVZKLOHHOHFWURO\VLVLVSURFHHGLQJ
7KDW HOHFWURO\VLV VKRXOG EH FDUULHG RXW LQ D VXLWDEOH IXPH KRRG WR UHPRYH DQ\ EXLOG XS RI
DPPRQLDYDSRXUDVDUHVXOWRIIDLOXUHWRPDLQWDLQRSHUDWLRQVZLWKLQWKHVDIHRSHUDWLQJHQYHORS
*DVSXUJLQJPD\DVVLVWWKHUHPRYDORIDPPRQLDYDSRXU
7KDWRQFRPSOHWLRQRIDEDWFKHOHFWURO\VLVUXQWKHHOHFWURO\WHVKRXOGDOZD\VEHOHIWDWDFLGLF
FRQGLWLRQV DQG QHYHU OHIW DW DONDOLQH FRQGLWLRQV LQ WKH SUHVHQFH RI UHFRYHUHG VLOYHU RU VLOYHU
R[LGH 7KH GDQJHUV RI DONDOLQH DPPRQLDFDO VLOYHU VROXWLRQV PXVW EH UHFRJQLVHG E\ WKH
RSHUDWRUV
7KDW LQ DOO SURFHVVHV LQYROYLQJ 7ROOHQV¶V UHDJHQW WKH XVHU LV PDGH DZDUH RI WKHGDQJHUV RI
DONDOLQH DPPRQLDFDO VLOYHU VROXWLRQV DQG WKH OLNHO\ IRUPDWLRQRI IXOPLQDWLQJ VLOYHULIWKH\DUH
QRWKDQGOHGFRUUHFWO\
*/266$5<
$
$
%(
&E
&(
FP
'
GP
'39
)
*&
+J+J62
,
NP
/69
P
P
0
PRO
Q
>1@
Q
T
5'(
USP
V
6&(
65(
9
:(
Z
$PSHUH
(OHFWURGHVXUIDFHDUHD
%DVHHOHFWURO\WH
%XONFRQFHQWUDWLRQRIHOHFWURDFWLYHVSHFLHV
&RXQWHUHOHFWURGH
&HQWLPHWHU
'LIIXVLRQFRHIILFLHQW
'HFLPHWHU
'LIIHUHQWLDOSXOVHYROWDPPHWU\
)DUDGD\FRQVWDQW&RXORPEPROH
*ODVV\FDUERQ
6XOSKDWHUHIHUHQFHHOHFWURGH
(OHFWULFDOFXUUHQW
0DVVWUDQVIHUFRHIILFLHQWLQDVWLUUHGFHOO
/LQHDUVZHHSYROWDPPHWU\
0LFUR
0LOOL
0RODUPROHGHFLPHWUH
0ROH
1XPEHURIHOHFWURQVSHUPROH
&RQFHQWUDWLRQRIQLWURJHQH[SUHVVHGDVJUDPPHWHU
.LQHPDWLFYLVFRVLW\
&KDUJH
5RWDWLQJGLVNHOHFWURGH
5HYROXWLRQVSHUPLQXWH
6HFRQG
6DWXUDWHGFDORPHOHOHFWURGH
6XOSKDWHUHIHUHQFHHOHFWURGH
9ROW
:RUNLQJHOHFWURGH
5RWDWLRQUDWHLQUHYROXWLRQVSHUPLQXWH
Printed and published by the Health and Safety Executive
C30 1/98
Printed and published by the Health and Safety Executive
C1.10
01/04
ISBN 0-7176-2798-5
RR 189
£10.00
9 78071 7 627981
Fly UP