IJST- Vol(6) No(2)- JUNE 2011

BBBBB,QWHUQDWLRQDO-RXUQDOIRU6FLHQFHVDQG7HFKQRORJ\9RO1R-XQHBBB

,PSURYHPHQWRIDQWLELRWLFSURGXFWLRQYLDH[SORLWLQJVSHQWFXOWXUHVXSHUQDWDQW LQDELRUHDFWRU .KDOLG-.DGKXP

'HSWRI%LRWHFKQRORJ\&ROOHJHRI6FLHQFHV%DJKGDG8QLYHUVLW\,UDT (PDLONKDOLGOXWL#\DKRRFRP

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±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Ǥ

.H\ :RUGV 6WUHSWRP\FHV FRHOLFRORU $FWLQRUKRGLQ 8QGHF\OSURGLJLRVLQ 6SHQW FXOWXUH VXSHUQDWDQW$QWLELRWLFVLPSURYHPHQW

ŗƒŕŧŶƃŒŗźƄƃœŕŭŤƄƆƃŒ ƀƔũųƉŷƌƔŠƏƆƔŬſƅŔƏƌƔƏƔţƅŔŕƎśŕƔƅŕŸžƉƈŧƔŧŸƅŔƀƔŬƊśƏƇƔŴƊśŕƔũśƄŗƅŔŕƎƅƜŦƉƈŶƔųśŬśƌƔƆƈŷƓƍ 4XRUXPVHQVLQJ 6WDWLRQDU\ ŚŕŗŝƅŔ ũƏų ¿ƜŦ ŧŧţƈ ŧŧŷ ƑƅŔ ŕƎƔƜŦ ŧŧŷ ¿ƏŰƏ ŧƊŷ ŕƎƔž ŧŠŔƏśś ƓśƅŔ ƌœƔŗƅŔ ƑƅŔ ƌƔœŕƔƈƔƄ ŚŕœƔŪŠ ŞŕśƊŔ ŉŧŗƌƆƔƈŷŪſţś ¿ƈŔƏŸƄ¿ƈŸśŜƔţ ƃƊŬƊŬƇƏũƏƄƅŔ ŚŕœƔŪŠ ŞŕśƊŔũƔŝŕśŚţś ŶƂƔƌƔśŕƔţƅŔŚŔŧŕŲƈƅŔŞŕśƊŔ ƉŔŧŠƏSKDVH ƌƔśŕƔţƅŔŚŔŧŕŲƈƅŔŞŕśƊŔũƔƏųśűũżƅƃƊŬƊŬƇƏũƏƄƅŔŚŕœƔŪŠ¿ƜżśŬƛƋŧƔŧŠƌƂƔũųƌŬŔũŧƅŔŚƊƈŲśŚŕŗƄũƈƅŔƋŨƍŞŕśƊŔ ƒũƔƈŦśƅŔųŬƏƅŔƉƈŚŕƔƈƄřžŕŲŔƑƆŷƓŬƔœũ¿ƄŮŗƌƂƔũųƅŔŧƈśŸś6WUHSWRP\FHVFRHOLFRORU$ ŕƔũśƄŗƉƈƌŠśƊƈƅŔ Śƈś ƉƈŚţƏŔũśŚŕƔƈƄŗƓŠŕśƊƛŔŕƎųŬƏƑƅŔŚŕŗŝƅŔũƏųŘũśž¿ƜŦŨƏŦŕƈƅŔƏūŬƔŕƈƏśŗũśŬƅŔŕƔŔũśƄŗƅƃƆƎśŬƈƅŔ ƉƔŬƏƔŠƔŧƏũŗƆŬƔŧƊƛŔ ŉŔũƈţƅŔ ƌżŗŰƅŔ ŕƈƍƏ ŕƔũśƄŗƅŔ ƋŨƍ Ɖƈ ƌŠśƊƈƅŔ ƌƔśŕƔţƅŔ ŚŔŧŕŲƈƅŔ Ɖƈ ƉƔŷƏƊ řŬŔũŧ ƋŪŔŪƎƅŔ ƀũŔƏŧƅŔ ƇŔŧŦśŬŕŗ ŚƔũŠŔ ŖũŕŠśƅŔ $FWLQRUKRGLQ ƉƔŧƏƍũƏƊƔśƄƛŔ ŉŕƁũŪƅŔ ƌżŗŰƅŔƏ8QGHF\OSURGLJLRVLQ ŽŷŕŲśŜƔţƌƔŸƔŗųƅŔŚƛŕţƅŔƓžŕƈƎŠŕśƊŕŗŕśƊũŕƂƈƉƔŧŕŲƈƅŔƉƔŨƍŞŕśƊŔƓžƌţŲŔƏƋŧŕƔŪşœŕśƊƅŔŚũƎŴŔũśƅřŸŬŗũƈŦƈƏ ƃƅŨƑƆŷŘƏƜŷƋũųƔŬƅŔųŬƏƓžŕƈƎŠŕśƊŔƐƏśŬƈŗŕśƊũŕƂƈũŔŧƂƈŗƉƔŧƏƍũƏƊƔśƄƛŔƏũŔŧƂƈŗƉƔŬƏƔŠƔŧƏũŗƆŬƔŧƊƛŔŞŕśƊŔ ŚƈśƋũųƔŬƅŔųŬƏƓžƌŸƔŗųƅŔƌƅŕţƅŔƓžŕƈƎŠŕśƊŔŚƁƏ¿ŗƁƌŷŕŬ ƓƅŔƏţŗŔũƄŗƈŌŧŗŧƁƉƔŧŕŲƈƅŔƉƔŨƍŞŕśƊŔƉŔŧŠƏ ƉƔŬƏƔŠƔŧƏũŗƆŬƔŧƊƛŔ ŞŕśƊŔ ŧŕƔŧŪŕŗ ŔũŝōśƔ Ƈƅ ŕƈƎƊŔ ŧŠƏƏ ƓƊƏŗũŕƄƅŔ ũŧŰƈƆƅ ŕƎƄƜƎśŬŔƏ ūŬƔŕƈƏśŗũśŬƅŔ ŕƔũśƄŗ ƏƈƊ řŬŔũŧ ƀũŔƏŧƅŔ ŖũŕŠś Ɖƈ ŕƎƔƆŷ ¿ƏŰţƅŔ Ƈś ƓśƅŔ ƃƆśƅ ƌŗŕŮƈ ŚƊŕƄ ũƈŦƈƅŔ ¿ŕƈŸśŬŕŗ ŚƔũŠŔ ƓśƅŔ ŖũŕŠśƅŔ şœŕśƊ ƉƔŧƏƍũƏƊƔśƄƛŔƏ ƌƔŠŕśƊŔŚŕƔƏśŬƈŗŕƎƂƔŗųśřƔƊŕƄƈŔƐŧƈƏƌƔśŕƔţƅŔŚŔŧŕŲƈƅŔŞŕśƊŔŪƔſţśƅƌƂƔũųƅŔƋŨƍƌƔƅŕŸžƑƆŷŕƔžŕŲŔƜƔƅŧŚųŷŔƃƅŨŗƏƋŪŔŪƎƅŔ ƑƆŷŔ


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±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


DJDUZKLFKFRQWDLQHGSHUOLWHURIWDSZDWHU JPDQQLWROJVR\DIORXUDQGJDJDU ZDV XVHG IRU PDLQWHQDQFH DQG VSRUH VWRFNV RI 6FRHOLFRORU 3UHSDUDWLRQRILQRFXOD ,Q DOO H[SHULPHQWV YHJHWDWLYH LQRFXOD RI 6 FRHOLFRORU ZHUH XVHG DQG SUHSDUHG DV IROORZV 6 FRHOLFRORU ZDV FXOWLYDWHG RQ 06 DJDU VODQW IRU GD\V DW q& IURP WKH RULJLQDO FXOWXUH RQ 06 DJDU $IWHU JURZWK DQG VSRUH IRUPDWLRQ PO RI VWHULOH GLVWLOOHG ZDWHU ZDV DGGHGDQGWKHJURZWKZDVVFUDSHGJHQWO\E\D ORRSWRUHOHDVHWKHVSRUHVLQWRWKHZDWHUZKLFK ZHUHWKHQFROOHFWHGLQDVWHULOHWXEH7KLVVSRUH VXVSHQVLRQ ZDV FHQWULIXJHG DW USP IRU PLQ WR FROOHFW WKH VSRUHV 1H[W WKH VSRUHV ZHUH ZDVKHG DQG UHVXVSHQGHG LQ PO RI VWHULOH GLVWLOOHG ZDWHU DQG FRXQWHG XVLQJ D KDHPRF\WRPHWHU ,Q DOO H[SHULPHQWV WKH QXPEHURIVSRUHVLQWKLVLQRFXOXPZDVNHSWWR DSSUR[LPDWHO\ î VSRUHVP/ E\ DGGLQJ PRUH VWHULOH GLVWLOOHG ZDWHU LI QHFHVVDU\ $ YRUWH[ ZDV XVHG WR JHW D KRPRJHQHRXV VXVSHQVLRQ RI VSRUHV / RI WKLV VSRUH VXVSHQVLRQ ZDV XVHG WR LQRFXODWH P/ GHILQHG OLTXLG PHGLXP ZLWK JODVV EHDGV RI FP LQ P/ IODVN 7KHVH JODVV EHDGV DLGHG ZLWK PL[LQJ DQG GLVSHUVLRQ RI WKH P\FHOLDO JURZWK 7KLV FXOWXUH ZDV LQFXEDWHG IRU WZR GD\V LQ DQ RUELWDO VKDNHU DW q& DQG USP ZKLFK ZDV WKHQ XVHG DV YHJHWDWLYH LQRFXOD &XOWLYDWLRQPHWKRGV YY OHYHO YHJHWDWLYH LQRFXOXP RI 6 FRHOLFRORU ZDV XVHG WR LQRFXODWH PO GHILQHG OLTXLG PHGLXP ZLWK JODVV EHDGV RI FP GLDPHWHU LQ D PO IODVN $Q RUELWDO VKDNHUZDVXVHGIRULQFXEDWLRQDWq&DW USP IRU GD\V $OO H[SHULPHQWV ZHUH DFFRPSDQLHG ZLWK D FRQWURO FXOWXUH RI 6 FRHOLFRORU DQG HDFK UXQ ZDV FRQGXFWHG HLWKHU LQ WULSOLFDWH RU GXSOLFDWH DQG WKH UHVXOWV ZHUH UHSUHVHQWHGDVWKHDULWKPHWLFDYHUDJH 6SHQWFXOWXUHVXSHUQDWDQW 6 FRHOLFRORU ZDV JURZQ DV GHVFULEHG HDUOLHU IRU GD\V 7KH FXOWXUH EURWK ZDV ILOWHUHG XVLQJ :KDWPDQ JODVV PLFURILEHU ILOWHUV SDSHU *)& P 7KH FHOOIUHH EURWK ZDV IXUWKHU ILOWHUVWHULOLVHGXVLQJDPFHOOXORVHDFHWDWH PHPEUDQH ILOWHU DQG DGGHG WR WKH WHVW FXOWXUHV

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

SKDVH 7KH DGGLWLRQ RI VSHQW FXOWXUH VXSHUQDWDQW WR WKH 6 FRHOLFRORU IHUPHQWDWLRQ PHGLXP UHVXOWHG LQ D VLJQLILFDQW HQKDQFHPHQW LQ WKH SURGXFWLRQ RI XQGHF\OSURGLJLRVLQ DQG DFWLQRUKRGLQ DV GHVFULEHG EHORZ )RU UHDOLVWLF FRPSDULVRQ ZH KDG WHVWHG WKH HIIHFW RI DGGLWLRQ RI VSHQW FXOWXUH VXSHUQDWDQW WDNHQ IURP DQG GD\V ROG FXOWXUH RI 6 FRHOLFRORU 7KH UHVXOWV UHYHDOHG WKDW VSHQW FXOWXUH VXSHUQDWDQW SUHSDUHG IURP GD\V ROG FXOWXUH KDG QR VLJQLILFDQW HIIHFW RQ WKH SURGXFWLRQ RI QHLWKHU XQGHF\OSURGLJLRVLQ QRU DFWLQRUKRGLQ GDWD QRW VKRZQ 0RUHRYHU QR IXUWKHU HQKDQFHPHQW ZDV REVHUYHG ZKHQ WKH VSHQW FXOWXUH VXSHUQDWDQW ZDV WDNHQ IURP GD\V ROG FXOWXUH RI 6 FRHOLFRORU DV WKH SURGXFWLRQ RI DFWLQRUKRGLQ DQG XQGHF\OSURGLJLRVLQ ZDV VLPLODU WR WKDW REVHUYHG LQ WKH FXOWXUH VXSSOHPHQWHG ZLWK VSHQW FXOWXUH VXSHUQDWDQW WDNHQIURPGD\VROGFXOWXUHGDWDQRWVKRZQ

)LJXUH *URZWKRI6FRHOLFRORULQVKDNHIODVNV XVLQJFKHPLFDOO\GHILQHGV\QWKHWLFPHGLXPDQG YY OHYHORIYHJHWDWLYHLQRFXOXPV

$GGLWLRQRIVSHQWFXOWXUHVXSHUQDWDQW )LJ DQG VKRZ WKDW WKH SURGXFWLRQ RI DFWLQRUKRGLQ DQG XQGHF\OSURGLJLRVLQ ZHUH VLJQLILFDQWO\ LPSURYHG LQ WKH FXOWXUH VXSSOHPHQWHGZLWKDQGYY RIWKH VSHQW FXOWXUH VXSHUQDWDQW 7KH RQVHW RI SURGXFWLRQRIWKHVHWZRDQWLELRWLFV ZDVHDUOLHU FRPSDUHG WR WKH FRQWURO +RZHYHU QR VLJQLILFDQW GLIIHUHQFHV LQ WKH SURGXFWLRQ SDWWHUQRIDFWLQRUKRGLQDQGXQGHF\OSURGLJLRVLQ ZDVREVHUYHGLQWKHFXOWXUHVXSSOHPHQWHGZLWK RI WKH VSHQW FXOWXUH VXSHUQDWDQW DV WKH


SURGXFWLRQ ZDV DSSUR[LPDWHO\ VLPLODU WR WKDW LQWKHFRQWUROFXOWXUH ,Q WKH WHVW FXOWXUHV VXSSOHPHQWHG ZLWK DQG RI WKH VSHQW FXOWXUH VXSHUQDWDQW SURGXFWLRQ RI DFWLQRUKRGLQ VWDUWHG RQ WKH VHFRQGGD\RILQFXEDWLRQDQGDERXWKKRXUV EHIRUH LWV QRUPDO SURGXFWLRQ LQ WKH FRQWURO FXOWXUH &RQFHQWUDWLRQ RI DFWLQUKRGLQ RQ WKH VHFRQG GD\ RI LQFXEDWLRQ ZDV DQG PJ/ LQ WKH WHVW FXOWXUH VXSSOHPHQWHG ZLWK DQG RI WKH VSHQW FXOWXUH VXSHUQDWDQW UHVSHFWLYHO\ )XUWKHUPRUH LQ WKH FXOWXUH VXSSOHPHQWHG ZLWK RI WKH VSHQW FXOWXUH VXSHUQDWDQW WKH SURGXFWLRQ RI DFWLQRUKRGLQ ZDV DOVR VWDUWHG HDUOLHU RQ GD\ RI WKH LQFXEDWLRQ DQG DERXW K EHIRUH LWV QRUPDO SURGXFWLRQ LQ WKH FRQWURO FXOWXUH 0D[LPXP SURGXFWLRQ RI DFWLQRUKRGLQ DFKLHYHG LQ WKH FXOWXUHVVXSSOHPHQWHGZLWKDQGRI WKHVSHQWFXOWXUHVXSHUQDWDQWZHUHDQG PJ/ UHVSHFWLYHO\ DWWDLQHG RQ GD\ VHYHQ RI LQFXEDWLRQ (OLFLWDWLRQ ZLWK VSHQW FXOWXUH VXSHUQDWDQW WKHUHIRUH FRUUHVSRQGV WR DQ LQFUHDVH RI DQG IROG LQ WKH PD[LPXP DFWLQUKRGLQ FRQFHQWUDWLRQ LQ WKH FXOWXUH VXSSOHPHQWHG ZLWK DQG YY RI WKH VSHQW FXOWXUH VXSHUQDWDQW UHVSHFWLYHO\FRPSDUHGZLWKWKHFRQWUROFXOWXUH )XUWKHUPRUHSURGXFWLRQRIXQGHF\OSURGLJLRVLQ LQWKHWHVWFXOWXUHVVWDUWHGRQWKHVHFRQGGD\RI LQFXEDWLRQ DQG DERXW KRXUV EHIRUH LWV QRUPDO SURGXFWLRQ LQ WKH FRQWURO FXOWXUH )LJ &RQFHQWUDWLRQ RI XQGHF\OSURGLJLRVLQ RQ WKH VHFRQG GD\ RI LQFXEDWLRQ ZDV DQG PJ/ LQ WKH WHVW FXOWXUH VXSSOHPHQWHGZLWKDQGYY RIWKH VSHQW FXOWXUH VXSHUQDWDQW UHVSHFWLYHO\ 0D[LPXP SURGXFWLRQ RI XQGHF\OSURGLJLRVLQ DFKLHYHG LQ WKH FXOWXUHV VXSSOHPHQWHG ZLWK DQG RI WKH VSHQW FXOWXUH VXSHUQDWDQW ZHUH DQG PJ/ UHVSHFWLYHO\ DWWDLQHG RQ GD\ VHYHQ RI LQFXEDWLRQ (OLFLWDWLRQ ZLWK VSHQW FXOWXUH VXSHUQDWDQWV WKHUHIRUH FRUUHVSRQGV WR DQ LQFUHDVH RI DQG IROG LQ WKH PD[LPXPXQGHF\OSURGLJLRVLQFRQFHQWUDWLRQLQ WKHFXOWXUHVXSSOHPHQWHGZLWKDQG RI WKH VSHQW FXOWXUH VXSHUQDWDQW UHVSHFWLYHO\ FRPSDUHGZLWKWKHFRQWUROFXOWXUH 7KH H[SHULPHQWV LQ VKDNH IODVNV ZHUH SHUIRUPHG DW OHDVW LQ WULSOLFDWH IRU HDFK UXQ DQGHDFKUXQ ZDVWKHQUHSHDWHGWZLFHRUWKUHH WLPHV DQG WKH UHVXOWV WKHUHIRUH ZHUH UHSURGXFLEOH

)LJXUH 3URGXFWLRQRIDFWLQRUKRGLQE\6 FRHOLFRORULQFXOWXUHVVXSOHPHQWHGZLWK RIVSHQWFXOWXUHVXSHUQDWDQWDW]HURWLPH FRPSDUHGZLWKWKHFRQWURO

)LJXUH 3URGXFWLRQRIXQGHF\OSURGLJLRVLQE\ 6FRHOLFRORULQFXOWXUHVVXSOHPHQWHGZLWK RIVSHQWFXOWXUHVXSHUQDWDQWDW]HURWLPH FRPSDUHGZLWKWKHFRQWURO

%LRUHDFWRUH[SHULPHQWV ,Q RXU ZRUN SURGXFWLRQ RI DQWLELRWLFV E\ 6 FRHOLFRORU HOLFLWHG ZLWK VSHQW FXOWXUH VXSHUQDWDQW ZDV IXUWKHU VWXGLHG LQ D / ELRUHDFWRU ,Q WKH OLJKW RI WKH UHVXOWV REWDLQHG LQVKDNHIODVNH[SHULPHQWVYY RIDVSHQW FXOWXUH VXSHUQDWDQW ZDV FKRVHQ LQ WKH ELRUHDFWRU H[SHULPHQWV :H FRPSDUHG JURZWK JOXFRVH FRQVXPSWLRQ DQG DFWLQRUKRGLQ SURGXFWLRQ LQ WKH FRQWURO DQG HOLFLWHG ELRUHDFWRUFXOWXUHV )LJ DQG VKRZ WKH WLPH FRXUVH RI JURZWKGU\ZHLJKW JOXFRVHFRQVXPSWLRQDQG


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

)LJXUH *URZWKRI6FRHOLFRORUDQGJOXFRVH FRQVXPSWLRQLQ/ELRUHDFWRULQFXOWXUHVXSSODQWHG ZLWKRIVSHQWFXOWXUHVXSHUQDWDQWFRPSDUHGZLWK FRQWURO

)LJXUH 3URGXFWLRQRIDFWLQRUKRGLQE\6 FRHOLFRORULQ/ELRUHDFWRULQFXOWXUHVXSSOHPHQWHG ZLWKRIVSHQWFXOWXUHVXSHUQDWDQWFRPSDUHGZLWK FRQWURO

)LJXUH 3URGXFWLRQRIXQGHF\OSURGLJLRVLQE\6FRHOLFRORULQ /ELRUHDFWRULQFXOWXUHVXSSOHPHQWHGZLWKRIVSHQWFXOWXUH VXSHUQDWDQWFRPSDUHGZLWKFRQWURO


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

6WRLFKLRPHWULFDQG NLQHWLFSDUDPHWHUV

&RQWURO

7HVWFXOWXUH

; PD[ J/

P PD[ K