,17(51$7,21$/ -2851$/ 2)
'(&,6,21 6833257 6<67(0
7(&+12/2*<
ȱ ђѠђюџѐѕȱ џѡіѐљђѠ
ȱ ȱ ȱ
ŗȱ ¡Š–’—’—ȱ‘Žȱ–™•’ŒŠ’˜—œȱ˜ȱ›˜ŒŽœœȱŠ—ȱ ‘˜’ŒŽȱ˜›ȱ›ŠŽ’Œȱ ŽŒ’œ’˜—ȱŠ”’—ȱ
ěŽŒ’ŸŽ—Žœœ
ȱ Šž•ȱǯȱ ›—ŽŸ’Œ‘ǰȱ‘Žȱ—’ŸŽ›œ’¢ȱ˜ȱ •ЋЖŠǰȱ
ȱ ‘˜–Šœȱ
ǯȱ ›žœ‘ǰȱž›žŽȱ—’ŸŽ›œ’¢ǰȱ
ȱ •˜”ȱ ‘Šž›ŸŽ’ǰȱž›žŽȱ—’ŸŽ›œ’¢ǰȱ
ȱ
ŗŜȱ —ȱ –™’›’ŒŠ•ȱž¢ȱ˜ȱ ›˜ž™ȱ  Š›Ž—Žœœȱ—˜›–Š’˜—ȱ’—ȱŠȱŽ‹Ȭ ŠœŽȱ ›˜ž™ȱ ŽŒ’Ȭ
œ’˜—ȱž™™˜›ȱ¢œŽ–
’™Šȱ
˜—œŠ Šǰȱ’Š–ȱ—’ŸŽ›œ’¢ǰȱ‘Š’•Š—
ȱ ’Œ‘’Š—ȱ›Ž–Œ‘Š’œ Š’ǰȱ’Š–ȱ—’ŸŽ›œ’¢ǰȱ‘Š’•Š—
ȱ
Śŗȱ ȱ¢™˜•˜¢ȱ˜ȱŠŒ’ȱ
—˜ •ŽŽȱ‘Š›’—ȱ‘Ž–Žœȱ˜ȱ ˜œŽ›’—ȱ ›˜ž™ȱ ŽŒ’œ’˜—ȱ
ȱ ž™™˜›ȱ¢œŽ–
ȱ –’—ȱ ǯȱ‘Šš›Š‘ǰȱ •£Š¢˜˜—Š‘ȱ—’ŸŽ›œ’¢ȱ˜ȱ
˜›Š—ǰȱ
˜›Š—
śŗȱ ȱ ¢œŽ–œȱ ™™›˜ŠŒ‘ȱ ˜ȱ ‘Žȱ ŽŽ›–’—Š’˜—ȱ ˜ȱ ˜—›˜•ȱ ›ŠŽ¢ȱ ’—ȱ Šȱ 
’ޛЛŒ‘’ŒŠ•ȱ
Š—™˜ Ž›ȱ¢œŽ–
—›Ž“ȱi”›Š‹Šǰȱ—’ŸŽ›œ’¢ȱ˜ȱŠ›’‹˜›ǰȱ•˜ŸŽ—’Š
ȱ ’›˜•“ž‹ȱ
•“Š“’°ǰȱ—’ŸŽ›œ’¢ȱ˜ȱŠ›’‹˜›ǰȱ•˜ŸŽ—’Š
ȱ ŠŸ˜›’—ȱ
˜Ħвǰȱ—’ŸŽ›œ’¢ȱ˜ȱŠ›’‹˜›ǰȱ•˜ŸŽ—’Š
Ŝŝȱ —ȱ—Ž›ŠŽȱ ŽŒ’œ’˜—ȱž™™˜›ȱ¢œŽ–ȱ˜›ȱ—Ž›Œ›˜™™’—
ǯȱǯȱ˜’¢Šǰȱ—’ŸŽ›œ’¢ȱȱ ›’Œž•ž›Žǰȱ’Ž›’Š
ȱ ǯȱǯȱ ”’— Š•Žǰȱ—’ŸŽ›œ’¢ȱȱ ›’Œž•ž›Žǰȱ’Ž›’Š
ȱ 
ǯȱ ǯȱ”ޕޢŽǰȱ—’ŸŽ›œ’¢ȱȱ ›’Œž•ž›Žǰȱ’Ž›’Š
ȱ
ǯȱ ǯȱ ––Š—žŽ•ǰȱ—’ŸŽ›œ’¢ȱȱ ›’Œž•ž›Žǰȱ’Ž›’Š
7DEOH RI RQWHQWV
-XO6HSWHPEHU  9RO  1R
,QWHUQDWLRQDO -RXUQDO RI 'HFLVLRQ 6XSSRUW 6VWHP 7HFKQRORJ
-XO6HSWHPEHU  
RSULJKW ‹  ,*, *OREDO RSLQJ RU GLVWULEXWLQJ LQ SULQW RU HOHFWURQLF IRUPV ZLWKRXW ZULWWHQ SHUPLVVLRQ RI ,*, *OREDO
LV SURKLELWHG
.HZRUGV $JHQW 6RIWZDUH $JHQW 7HFKQRORJ 'HFLVLRQ 6XSSRUW 6VWHPV '66
'LVWULEXWHG
'HFLVLRQ0DNLQJ6VWHPV.QRZOHGJH0DQDJHPHQW6HFXULW0DQDJHPHQW6WUDWHJLF3ODQQLQJ
,1752'87,21
6WUDWHJLF GHFLVLRQPDNLQJ 6'0
LQYROYHV
WKH PHWKRGV DQG SUDFWLFHV RUJDQL]DWLRQV XVH
WR LQWHUSUHW RSSRUWXQLWLHV DQG WKUHDWV LQ WKH
HQYLURQPHQWDQGWKHQPDNHUHVSRQVHGHFLVLRQV
6KULYDVWDYD *UDQW
0RGHUQGHFLVLRQ
PDNLQJ VXSSRUW VVWHP '066
WHFKQRORJ LV
([DPLQLQJ WKH ,PSOLFDWLRQV
RI 3URFHVV DQG KRLFH IRU
6WUDWHJLF 'HFLVLRQ 0DNLQJ (IIHFWLYHQHVV
3DXO / 'UQHYLFK 7KH 8QLYHUVLW RI $ODEDPD 86$
7KRPDV + %UXVK 3XUGXH 8QLYHUVLW 86$
$ORN KDWXUYHGL 3XUGXH 8QLYHUVLW 86$
$%675$7
0RVW VWUDWHJLF GHFLVLRQPDNLQJ 6'0
DSSURDFKHV DGYRFDWH WKH LPSRUWDQFH RI GHFLVLRQPDNLQJ SURFHVVHV
DQG UHVSRQVH FKRLFHV IRU REWDLQLQJ HIIHFWLYH RXWFRPHV 0RGHUQ GHFLVLRQPDNLQJ VXSSRUW VVWHP '066
WHFKQRORJ LV RIWHQ DOVR QHHGHG IRU FRPSOH[ 6'0 ZLWK UHFHQW UHVHDUFK FDOOLQJ IRU PRUH LQWHJUDWLYH '066
DSSURDFKHV +RZHYHU VFKRODUV WHQG WR WDNH GLVLQWHJUDWHG DSSURDFKHV DQG GLVDJUHH RQ ZKHWKHU UDWLRQDO RU
SROLWLFDOGHFLVLRQPDNLQJSURFHVVHVUHVXOWLQPRUHHIIHFWLYHGHFLVLRQRXWFRPHV,QWKLVVWXGWKHDXWKRUVH[DPLQH
WKHVHLVVXHVE¿UVWH[SORULQJVRPHRIWKHFRPSHWLQJWKHRUHWLFDODUJXPHQWVIRUWKHSURFHVVFKRLFHHIIHFWLYHQHVV
UHODWLRQVKLS DQG WKHQ WHVW WKHVH UHODWLRQVKLSV HPSLULFDOO XVLQJ GDWD IURP D FULVLV UHVSRQVH WUDLQLQJ H[HUFLVH
XVLQJ DQ LQWHOOLJHQW DJHQWEDVHG '066 ,Q FRQWUDVW WR SULRU UHVHDUFK ¿QGLQJV LQGLFDWH WKDW UDWLRQDO GHFLVLRQ
SURFHVVHV DUH QRW HIIHFWLYH LQ FULVLV FRQWH[WV DQG WKDW SROLWLFDO GHFLVLRQ SURFHVVHV PD QHJDWLYHO LQÀXHQFH
ERWK UHVSRQVH FKRLFH DQG GHFLVLRQ HIIHFWLYHQHVV 7KHVH UHVXOWV RIIHU HPSLULFDO HYLGHQFH WR FRQ¿UP SULRU
XQVXSSRUWHG DUJXPHQWV WKDW UHVSRQVH FKRLFH LV DQ LPSRUWDQW PHGLDWLQJ IDFWRU EHWZHHQ WKH GHFLVLRQPDNLQJ
SURFHVV DQG LWV HIIHFWLYHQHVV 7KH DXWKRUV FRQFOXGH ZLWK D GLVFXVVLRQ RI WKH LPSOLFDWLRQV RI WKHVH ¿QGLQJV DQG
WKH DSSOLFDWLRQ RI DJHQWEDVHG VLPXODWLRQ '066 WHFKQRORJLHV IRU DFDGHPLF UHVHDUFK DQG SUDFWLFH
RIWHQDOVRQHHGHGIRUFRPSOH[6'0ZLWKUHFHQW
UHVHDUFK FDOOLQJ IRU PRUH LQWHJUDWLYH '066
DSSURDFKHV 0RUD )RUJLRQQH HUYDQWHV *DU
ULGR *XSWD *HOPDQ  3KLOOLSV:UHQ
0RUD)RUJLRQQH *XSWD
6XFK'066
WHFKQRORJLHV RIIHU WKH WSH RI ULFK DQG SRZHU
IXO UHVHDUFK WHFKQRORJ SODWIRUPV ZLWK D KLJK
GHJUHH RI H[WHUQDO DQG LQWHUQDO YDOLGLW DV ZHOO
DV UHOLDELOLW UHTXLUHG IRU LQWHJUDWHG GHFLVLRQ
VXSSRUW 0RUD HW DO  /LX 'XII :KLW
'2, MGVVW
,QWHUQDWLRQDO -RXUQDO RI 'HFLVLRQ 6XSSRUW 6VWHP 7HFKQRORJ
-XO6HSWHPEHU 
RSULJKW ‹  ,*, *OREDO RSLQJ RU GLVWULEXWLQJ LQ SULQW RU HOHFWURQLF IRUPV ZLWKRXW ZULWWHQ SHUPLVVLRQ RI ,*, *OREDO
LV SURKLELWHG
ILHOG%ROH 0F.HQQD/LQHEDUJHU'H
6SDLQ 0F'RQDOG 6SHQFHU ORXWLHU 
0RVWDVKDUL 6XVVPDQ  3KLOOLSV:UHQ
HW DO

Jdsst 2 3 sdm proof

  • 1.
    ,17(51$7,21$/ -2851$/ 2) '(&,6,216833257 6<67(0 7(&+12/2*< ȱ ђѠђюџѐѕȱ џѡіѐљђѠ ȱ ȱ ȱ ŗȱ ¡Š–’—’—ȱ‘Žȱ–™•’ŒŠ’˜—œȱ˜ȱ›˜ŒŽœœȱŠ—ȱ ‘˜’ŒŽȱ˜›ȱ›ŠŽ’Œȱ ŽŒ’œ’˜—ȱŠ”’—ȱ ěŽŒ’ŸŽ—Žœœ ȱ Šž•ȱǯȱ ›—ŽŸ’Œ‘ǰȱ‘Žȱ—’ŸŽ›œ’¢ȱ˜ȱ •ЋЖŠǰȱ ȱ ‘˜–Šœȱ ǯȱ ›žœ‘ǰȱž›žŽȱ—’ŸŽ›œ’¢ǰȱ ȱ •˜”ȱ ‘Šž›ŸŽ’ǰȱž›žŽȱ—’ŸŽ›œ’¢ǰȱ ȱ ŗŜȱ —ȱ –™’›’ŒŠ•ȱž¢ȱ˜ȱ ›˜ž™ȱ  Š›Ž—Žœœȱ—˜›–Š’˜—ȱ’—ȱŠȱŽ‹Ȭ ŠœŽȱ ›˜ž™ȱ ŽŒ’Ȭ œ’˜—ȱž™™˜›ȱ¢œŽ– ’™Šȱ
  • 2.
  • 3.
  • 4.
    ˜›Š— śŗȱ ȱ ¢œŽ–œȱ™™›˜ŠŒ‘ȱ ˜ȱ ‘Žȱ ŽŽ›–’—Š’˜—ȱ ˜ȱ ˜—›˜•ȱ ›ŠŽ¢ȱ ’—ȱ Šȱ ’ޛЛŒ‘’ŒŠ•ȱ Š—™˜ Ž›ȱ¢œŽ– —›Ž“ȱi”›Š‹Šǰȱ—’ŸŽ›œ’¢ȱ˜ȱŠ›’‹˜›ǰȱ•˜ŸŽ—’Š ȱ ’›˜•“ž‹ȱ •“Š“’°ǰȱ—’ŸŽ›œ’¢ȱ˜ȱŠ›’‹˜›ǰȱ•˜ŸŽ—’Š ȱ ŠŸ˜›’—ȱ ˜Ħвǰȱ—’ŸŽ›œ’¢ȱ˜ȱŠ›’‹˜›ǰȱ•˜ŸŽ—’Š Ŝŝȱ —ȱ—Ž›ŠŽȱ ŽŒ’œ’˜—ȱž™™˜›ȱ¢œŽ–ȱ˜›ȱ—Ž›Œ›˜™™’— ǯȱǯȱ˜’¢Šǰȱ—’ŸŽ›œ’¢ȱȱ ›’Œž•ž›Žǰȱ’Ž›’Š ȱ ǯȱǯȱ ”’— Š•Žǰȱ—’ŸŽ›œ’¢ȱȱ ›’Œž•ž›Žǰȱ’Ž›’Š ȱ ǯȱ ǯȱ”ޕޢŽǰȱ—’ŸŽ›œ’¢ȱȱ ›’Œž•ž›Žǰȱ’Ž›’Š ȱ
  • 5.
    ǯȱ ǯȱ ––Š—žŽ•ǰȱ—’ŸŽ›œ’¢ȱȱ›’Œž•ž›Žǰȱ’Ž›’Š 7DEOH RI RQWHQWV -XO6HSWHPEHU 9RO 1R
  • 6.
    ,QWHUQDWLRQDO -RXUQDO RI'HFLVLRQ 6XSSRUW 6VWHP 7HFKQRORJ
  • 7.
    -XO6HSWHPEHU RSULJKW‹ ,*, *OREDO RSLQJ RU GLVWULEXWLQJ LQ SULQW RU HOHFWURQLF IRUPV ZLWKRXW ZULWWHQ SHUPLVVLRQ RI ,*, *OREDO LV SURKLELWHG .HZRUGV $JHQW 6RIWZDUH $JHQW 7HFKQRORJ 'HFLVLRQ 6XSSRUW 6VWHPV '66
  • 8.
  • 9.
    LQYROYHV WKH PHWKRGV DQGSUDFWLFHV RUJDQL]DWLRQV XVH WR LQWHUSUHW RSSRUWXQLWLHV DQG WKUHDWV LQ WKH HQYLURQPHQWDQGWKHQPDNHUHVSRQVHGHFLVLRQV 6KULYDVWDYD *UDQW
  • 10.
  • 11.
    WHFKQRORJ LV ([DPLQLQJ WKH,PSOLFDWLRQV RI 3URFHVV DQG KRLFH IRU 6WUDWHJLF 'HFLVLRQ 0DNLQJ (IIHFWLYHQHVV 3DXO / 'UQHYLFK 7KH 8QLYHUVLW RI $ODEDPD 86$ 7KRPDV + %UXVK 3XUGXH 8QLYHUVLW 86$ $ORN KDWXUYHGL 3XUGXH 8QLYHUVLW 86$ $%675$7 0RVW VWUDWHJLF GHFLVLRQPDNLQJ 6'0
  • 12.
    DSSURDFKHV DGYRFDWH WKHLPSRUWDQFH RI GHFLVLRQPDNLQJ SURFHVVHV DQG UHVSRQVH FKRLFHV IRU REWDLQLQJ HIIHFWLYH RXWFRPHV 0RGHUQ GHFLVLRQPDNLQJ VXSSRUW VVWHP '066
  • 13.
    WHFKQRORJ LV RIWHQDOVR QHHGHG IRU FRPSOH[ 6'0 ZLWK UHFHQW UHVHDUFK FDOOLQJ IRU PRUH LQWHJUDWLYH '066 DSSURDFKHV +RZHYHU VFKRODUV WHQG WR WDNH GLVLQWHJUDWHG DSSURDFKHV DQG GLVDJUHH RQ ZKHWKHU UDWLRQDO RU SROLWLFDOGHFLVLRQPDNLQJSURFHVVHVUHVXOWLQPRUHHIIHFWLYHGHFLVLRQRXWFRPHV,QWKLVVWXGWKHDXWKRUVH[DPLQH WKHVHLVVXHVE¿UVWH[SORULQJVRPHRIWKHFRPSHWLQJWKHRUHWLFDODUJXPHQWVIRUWKHSURFHVVFKRLFHHIIHFWLYHQHVV UHODWLRQVKLS DQG WKHQ WHVW WKHVH UHODWLRQVKLSV HPSLULFDOO XVLQJ GDWD IURP D FULVLV UHVSRQVH WUDLQLQJ H[HUFLVH XVLQJ DQ LQWHOOLJHQW DJHQWEDVHG '066 ,Q FRQWUDVW WR SULRU UHVHDUFK ¿QGLQJV LQGLFDWH WKDW UDWLRQDO GHFLVLRQ SURFHVVHV DUH QRW HIIHFWLYH LQ FULVLV FRQWH[WV DQG WKDW SROLWLFDO GHFLVLRQ SURFHVVHV PD QHJDWLYHO LQÀXHQFH ERWK UHVSRQVH FKRLFH DQG GHFLVLRQ HIIHFWLYHQHVV 7KHVH UHVXOWV RIIHU HPSLULFDO HYLGHQFH WR FRQ¿UP SULRU XQVXSSRUWHG DUJXPHQWV WKDW UHVSRQVH FKRLFH LV DQ LPSRUWDQW PHGLDWLQJ IDFWRU EHWZHHQ WKH GHFLVLRQPDNLQJ SURFHVV DQG LWV HIIHFWLYHQHVV 7KH DXWKRUV FRQFOXGH ZLWK D GLVFXVVLRQ RI WKH LPSOLFDWLRQV RI WKHVH ¿QGLQJV DQG WKH DSSOLFDWLRQ RI DJHQWEDVHG VLPXODWLRQ '066 WHFKQRORJLHV IRU DFDGHPLF UHVHDUFK DQG SUDFWLFH RIWHQDOVRQHHGHGIRUFRPSOH[6'0ZLWKUHFHQW UHVHDUFK FDOOLQJ IRU PRUH LQWHJUDWLYH '066 DSSURDFKHV 0RUD )RUJLRQQH HUYDQWHV *DU ULGR *XSWD *HOPDQ 3KLOOLSV:UHQ 0RUD)RUJLRQQH *XSWD
  • 14.
    6XFK'066 WHFKQRORJLHV RIIHU WKHWSH RI ULFK DQG SRZHU IXO UHVHDUFK WHFKQRORJ SODWIRUPV ZLWK D KLJK GHJUHH RI H[WHUQDO DQG LQWHUQDO YDOLGLW DV ZHOO DV UHOLDELOLW UHTXLUHG IRU LQWHJUDWHG GHFLVLRQ VXSSRUW 0RUD HW DO /LX 'XII :KLW '2, MGVVW
  • 15.
    ,QWHUQDWLRQDO -RXUQDO RI'HFLVLRQ 6XSSRUW 6VWHP 7HFKQRORJ
  • 16.
    -XO6HSWHPEHU RSULJKW ‹ ,*, *OREDO RSLQJ RU GLVWULEXWLQJ LQ SULQW RU HOHFWURQLF IRUPV ZLWKRXW ZULWWHQ SHUPLVVLRQ RI ,*, *OREDO LV SURKLELWHG ILHOG%ROH 0F.HQQD/LQHEDUJHU'H 6SDLQ 0F'RQDOG 6SHQFHU ORXWLHU 0RVWDVKDUL 6XVVPDQ 3KLOOLSV:UHQ HW DO