
0DQDJHPHQW6FLHQFH /RJLVWLFVDQG2SHUDWLRQV 5HVHDUFK -RKQ:DQJ 0RQWFODLU6WDWH8QLYHUVLW\86$ $YROXPHLQWKH$GYDQFHVLQ/RJLVWLFV 2SHUDWLRQVDQG0DQDJHPHQW6FLHQFH $/206 %RRN6HULHV 'HWDLOHG7DEOHRI&RQWHQWV 3UHIDFH [Y &KDSWHU &DVH6WXGLHVRI5),'3UDFWLFHVIRU&RPSHWLWLYH,QYHQWRU\0DQDJHPHQW6\VWHPV $ODQ'6PLWK5REHUW0RUULV8QLYHUVLW\86$ 7KHQDWXUHRIHPHUJLQJEXVLQHVVWHFKQRORJLHVVXFKDXWRPDWLFLGHQWL¿FDWLRQDQGGDWDFDSWXUHLQQRYD WLRQVVXFKDVVPDUWFDUGVWRXFKPHPRU\DQG5),'SURYHVWREHDGLI¿FXOWSURFHVVWRLPSOHPHQWDQG DFKLHYHGHVSLWHUHFHQWHIIRUWVHYHQDVLPSOHPHQWDWLRQFRQWLQXHVWROHVVHQ7KHHFRQRP\RIVFDOHVDV VRFLDWHGZLWKEDUFRGHVLVDGLI¿FXOWEDUULHUWRRYHUFRPH7ZR3LWWVEXUJKEDVHGFRPSDQLHVDUHVKRZFDVHG LQWKLVFDVHVWXG\QDPHO\0RELOH$VSHFWV,QFDUHFRJQL]HGOHDGHULQWKHLQWHJUDWLRQRI5),'UHODWHG WHFKQRORJLHVLQLQYHQWRU\PDQDJHPHQWSURFHVVHVRIODUJHDFXWHFDUHDQG9RFROOHFW,QFZKLFKLVHV SHFLDOO\QRWHGIRULWVYRLFHUHFRJQLWLRQVRIWZDUHDQGVPDOOKDUGZDUHSODWIRUPVXVHGLQZDUHKRXVLQJ DQGSDUWLDOO\DXWRPDWHGLQYHQWRU\V\VWHPV7KH¿UPV¶JRDOVIRULPSOHPHQWLQJLQYHQWRU\PDQDJHPHQW VSHFL¿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¿OOHGZLWKDFLGDQGFKDUJHGZLWKHOHFWULFLW\XVLQJGLIIHUHQW W\SHVRIFLUFXLWV7KHREMHFWLYHRIWKHPRGHOLVWRPD[LPL]HWKHSURGXFWLYLW\RIWKHFULWLFDOIRUPDWLRQ VWDJHE\DOORZLQJWKHEHVWXWLOL]DWLRQRIWKHOLPLWHGWLPHDQGHTXLSPHQWUHVRXUFHV7KHPRGHOLVDEOH WRFRQVLGHUDODUJHQXPEHURIEDWWHU\VL]HVDQGW\SHVDQGDOVRDODUJHQXPEHURIFKDUJLQJFLUFXLWVZLWK GLIIHUHQWFDSDFLWLHVDQGFKDUJLQJVSHHGV7KHPRGHOJHQHUDWHGRSWLPXPSURGXFWLRQSODQVLQFUHDVHGDLO\ SUR¿WVE\RQDYHUDJHLQFRPSDULVRQWRPDQXDOO\JHQHUDWHGSURGXFWLRQSODQV &KDSWHU ,PSURYLQJ6HFXULW\DQG(I¿FLHQF\RI0XOWLPRGDO6XSSO\&KDLQV8VLQJ0RQLWRULQJ7HFKQRORJ\ -RKDQ6FKROOLHUV9777HFKQLFDO5HVHDUFK&HQWUHRI)LQODQG)LQODQG 6LUUD7RLYRQHQ9777HFKQLFDO5HVHDUFK&HQWUHRI)LQODQG)LQODQG $QWWL3HUPDOD9777HFKQLFDO5HVHDUFK&HQWUHRI)LQODQG)LQODQG 0XOWLPRGDO VXSSO\ FKDLQV DUH FKDUDFWHUL]HG E\ PXOWLSOH FKDQJHV RI WUDQVSRUW PRGHV YHKLFOHV DQG WUDQVSRUWRSHUDWRUVDQGKHQFHWKHULVNVIRUWKHIWXQWLPHO\GHOLYHU\DQGIUHLJKWTXDOLW\GHWHULRUDWLRQ LQFUHDVH7KHUHLVDJURZLQJQHHGWRPDQDJHWKHVHFXULW\DQGHI¿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¶6\VWHPVWR6XSSO\&KDLQ:LGH7UDFNLQJ $QWWL3HUPDOD9777HFKQLFDO5HVHDUFK&HQWUHRI)LQODQG)LQODQG .DUUL5DQWDVLOD9777HFKQLFDO5HVHDUFK&HQWUHRI)LQODQG)LQODQG (HWX3LOOL6LKYROD9777HFKQLFDO5HVHDUFK&HQWUHRI)LQODQG)LQODQG 9LOOH+LQNND9777HFKQLFDO5HVHDUFK&HQWUHRI)LQODQG)LQODQG 7KHXVHRI5),' 5DGLR)UHTXHQF\,GHQWL¿FDWLRQ WUDFNLQJLQFORVHGV\VWHPVLVUHSODFLQJEDUFRGHDV GRPLQDQWWUDFNLQJV\VWHPLQPDQ\LQGXVWULDOVHFWRUVEHFDXVH5),'HQDEOHVUHDGLQJPXOWLSOHREMHFWV VLPXOWDQHRXVO\ZLWKRXWYLVXDOFRQWDFW7RHQODUJHWUDFNLQJV\VWHPVWRFRYHUJOREDOVXSSO\FKDLQVDOO DVSHFWVUHODWHGWR5),'VXFKDVUDGLRIUHTXHQFLHVGDWDFRQWHQWWUDQVPLVVLRQSURWRFROVDQGPHVVDJHVHWV QHHGWREHVWDQGDUGLVHG%\FROOHFWLQJSURFHVVLQJDQGGLVWULEXWLQJLQIRUPDWLRQHI¿FLHQWO\RUJDQLVDWLRQV VKRXOGEHDEOHWRLPSURYHWKHHI¿FLHQF\RIWKHLUWUDQVSRUWORJLVWLFVSURFHVVHVORZHUWKHLURSHUDWLRQDO FRVWVDQGLPSURYHWKHLUSRUWIROLRRIORJLVWLFVVHUYLFHV7KLVFKDSWHUGHVFULEHVWKHFXUUHQWSHUVSHFWLYHV FKDOOHQJHVDQGEHQH¿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¿OOLQJWKHRXWVWDQGLQJGHPDQGDVVRRQDVKHUHFHLYHVWKHQHZ FRQVLJQPHQWDWWKHVWDUWRIWKHF\FOH2ZLQJWRWKLVIDFWWKHSUHVHQWVWXG\LQYHVWLJDWHVWKHLPSDFWRI LQWHUHVWHDUQHGIURPUHYHQXHJHQHUDWHGDIWHUIXO¿OOLQJWKHVWRFNRXWDWWKHVWDUWRIWKHF\FOHRQDVLQJOH FRPPRGLW\LQYHQWRU\PRGHOZLWKVKRUWDJHVIRUGHWHULRUDWLQJLWHPLQZKLFKWKHZKROHORWJRHVWKURXJK DQLQVSHFWLRQSURFHVVRQDUULYDOEHIRUHHQWHULQJLQWRLQYHQWRU\V\VWHPXQGHUWKHFRQGLWLRQVRISHUPLV VLEOHGHOD\LQSD\PHQWV$IWHULQVSHFWLRQWKHQRQGHIHFWLYHLWHPVDUHUHWDLQHGWRIXO¿OOWKHGHPDQGDQG WKHGHIHFWLYHLWHPVDUHUHWXUQHGWRWKHVXSSOLHU7KHUHVXOWVKDYHEHHQGHPRQVWUDWHGZLWKWKHKHOSRID QXPHULFDOH[DPSOHXVLQJWKHWRROVRI0DWODE &KDSWHU ,QQRYDWLQJ3UDFWLFHVLQ0DQDJLQJ(QJLQHHULQJ'HVLJQ3URMHFWV )HUQDQGR$EUHX*RQoDOYHV&(*,673RUWXJDO -RVp)LJXHLUHGR&(*,67'(*3RUWJXDO 7HFKQLFDO8QLYHUVLW\RI/LVERQ3RUWXJDO :HFDQDGGUHVVLQQRYDWLRQIURPGLIIHUHQWSHUVSHFWLYHV,QHQJLQHHULQJSUDFWLFHVZHFDQORRNWRFKDQJHV UHVXOWLQJIURPDWWHPSWVWRGLVFRYHUZD\VRIRYHUFRPLQJGLI¿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¿QLWLRQDQGSODQQLQJSKDVHVWKURXJKWKHFRQWURORIFKDQJHVDORQJWKHH[HFXWLRQ &KDSWHU (VVHQWLDOVRI/LQHDU3URJUDPPLQJIRU0DQDJHUV)URP6\VWHPRI,QHTXDOLWLHVWR6RIWZDUH ,PSOHPHQWDWLRQ +RVVHLQ$UVKDP-RKQV+RSNLQV8QLYHUVLW\86$ 0%DUGRVV\8QLYHUVLW\RI%DOWLPRUH86$ '.6KDUPD8QLYHUVLW\RI%DOWLPRUH86$ 7KLVFKDSWHUSURYLGHVDFULWLFDORYHUYLHZRI/LQHDU3URJUDPPLQJ /3 IURPDPDQDJHU¶VSHUVSHFWLYH7KH PDLQREMHFWLYHLVWRSURYLGHPDQDJHUVZLWKWKHHVVHQWLDOVRI/3DVZHOODVFDXWLRQDU\QRWHVDQGGHIHQVHV RQFRPPRQPRGHOLQJLVVXHVDQGVRIWZDUHOLPLWDWLRQV7KHDXWKRUVLOOXVWUDWHWKH¿QGLQJVE\VROYLQJD VLPSOH/3GLUHFWO\RQWKHRULJLQDOGHFLVLRQYDULDEOHVDQGFRQVWUDLQWVVSDFHZLWKRXWDGGLQJQHZYDULDEOHV RUWUDQVODWLQJWKHPRGHOWR¿WDVSHFL¿FVROXWLRQDOJRULWKP7KHDLPVDUHWKHXQL¿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¶V([WHQGHG(QWHUSULVH .HQQHWK6DEDQ'XTXHVQH8QLYHUVLW\86$ *RYHUQLQJH[WHQGHGQHWZRUNVLVRIWHQDVVRFLDWHGZLWKKDYLQJWKHODWHVWFROODERUDWLYHWHFKQRORJ\DQG EXVLQHVVSURFHVVHV+RZHYHUFXUUHQWVWXGLHVVXJJHVWWKDWERWKDUHRQO\SDUWRIWKHDQVZHU7KLVFKDSWHU DUJXHVWKDWDKROLVWLFJRYHUQLQJVWUDWHJ\QHHGVWREHDGRSWHGWRDFKLHYHSHDNQHWZRUNSHUIRUPDQFH 7KDWVWUDWHJ\UHTXLUHVIRXUFRQGLWLRQV WKDWHDFKRUJDQL]DWLRQLVUHDG\WRZRUNZLWKIHOORZEXVLQHVV SDUWQHUV WKDWQHWZRUNRUFKHVWUDWRUVUHFRJQL]HWKDWDOOEXVLQHVVUHODWLRQVKLSVDUHQRWFUHDWHGHTXDODQG WKHUHIRUHQHHGWREHJRYHUQHGGLIIHUHQWO\ WKDWDKROLVWLFJRYHUQLQJVWUDWHJ\KDVWREHDGRSWHGLQRUGHU WRLQWHJUDWHWKHSHRSOHWHFKQRORJ\DQGSURFHVVHVLQSODFHDQG WKDWSHRSOHHQJDJHPHQWKLQJHVXSRQ VL[IDFWRUV WUXVWEHOLHIVFRPPXQLFDWLRQVFXOWXUHUHZDUGV\VWHPVPHWULFVDQGV\QHUJ\ 7KLVFKDSWHU LVDPRGL¿FDWLRQRIDQHDUOLHUZRUNSXEOLVKHGE\,*,*OREDO &KDSWHU $6WDNHKROGHU3HUVSHFWLYHRI6XVWDLQDEOH6XSSO\&KDLQ0DQDJHPHQW(YLGHQFHIURPD'HYHORSLQJ &RXQWU\ 0RKDPHG*DPDO$ERHOPDJHG$LQ6KDPV8QLYHUVLW\(J\SW $*88QLYHUVLW\8$( ,QGXVWULDOL]DWLRQOHDYHVQRGRXEWWKDWRXUSODQHWLVVXIIHULQJIURPJOREDOZDUPLQJGHSOHWLRQRIQDWXUDO UHVRXUFHVSROOXWLRQZDVWHDQGRWKHUHQYLURQPHQWDOFRQFHUQV&RQVHTXHQWO\EXVLQHVVHVFRPPXQLWLHV DQGJRYHUQPHQWVKDYHEHHQHQYLURQPHQWDOO\FRQVFLRXVDQGVKRZQJURZLQJFRQFHUQIRUVXVWDLQDEOH
Details
-
File Typepdf
-
Upload Time-
-
Content LanguagesEnglish
-
Upload UserAnonymous/Not logged-in
-
File Pages40 Page
-
File Size-