Domain structure formation and evolution in epitaxial exchange-biased NiFe films with dislocation slip planes
Saved in:
| Published in: | Functional Materials |
|---|---|
| Date: | 2010 |
| Main Authors: | , , |
| Format: | Article |
| Language: | English |
| Published: |
НТК «Інститут монокристалів» НАН України
2010
|
| Subjects: | |
| Online Access: | https://nasplib.isofts.kiev.ua/handle/123456789/135189 |
| Tags: |
Add Tag
No Tags, Be the first to tag this record!
|
| Journal Title: | Digital Library of Periodicals of National Academy of Sciences of Ukraine |
| Cite this: | Domain structure formation and evolution in epitaxial exchange-biased NiFe films with dislocation slip planes / V.S. Gornakov, V.I. Nikitenko, C.G. Lee // Functional Materials. — 2010. — Т. 17, № 2. — С. 164-170. — Бібліогр.: 30 назв. — англ. |
Institution
Digital Library of Periodicals of National Academy of Sciences of Ukraine| id |
nasplib_isofts_kiev_ua-123456789-135189 |
|---|---|
| record_format |
dspace |
| spelling |
Gornakov, V.S. Nikitenko, V.I. Lee, C.G. 2018-06-14T16:30:41Z 2018-06-14T16:30:41Z 2010 Domain structure formation and evolution in epitaxial exchange-biased NiFe films with dislocation slip planes / V.S. Gornakov, V.I. Nikitenko, C.G. Lee // Functional Materials. — 2010. — Т. 17, № 2. — С. 164-170. — Бібліогр.: 30 назв. — англ. 1027-5495 https://nasplib.isofts.kiev.ua/handle/123456789/135189 en НТК «Інститут монокристалів» НАН України Functional Materials Characterization and properties Domain structure formation and evolution in epitaxial exchange-biased NiFe films with dislocation slip planes Формування та еволюція доменної структури в епітаксіальних обміно-заміщенних плівках NiFe з дислокаційними площинами ковзання Article published earlier |
| institution |
Digital Library of Periodicals of National Academy of Sciences of Ukraine |
| collection |
DSpace DC |
| title |
Domain structure formation and evolution in epitaxial exchange-biased NiFe films with dislocation slip planes |
| spellingShingle |
Domain structure formation and evolution in epitaxial exchange-biased NiFe films with dislocation slip planes Gornakov, V.S. Nikitenko, V.I. Lee, C.G. Characterization and properties |
| title_short |
Domain structure formation and evolution in epitaxial exchange-biased NiFe films with dislocation slip planes |
| title_full |
Domain structure formation and evolution in epitaxial exchange-biased NiFe films with dislocation slip planes |
| title_fullStr |
Domain structure formation and evolution in epitaxial exchange-biased NiFe films with dislocation slip planes |
| title_full_unstemmed |
Domain structure formation and evolution in epitaxial exchange-biased NiFe films with dislocation slip planes |
| title_sort |
domain structure formation and evolution in epitaxial exchange-biased nife films with dislocation slip planes |
| author |
Gornakov, V.S. Nikitenko, V.I. Lee, C.G. |
| author_facet |
Gornakov, V.S. Nikitenko, V.I. Lee, C.G. |
| topic |
Characterization and properties |
| topic_facet |
Characterization and properties |
| publishDate |
2010 |
| language |
English |
| container_title |
Functional Materials |
| publisher |
НТК «Інститут монокристалів» НАН України |
| format |
Article |
| title_alt |
Формування та еволюція доменної структури в епітаксіальних обміно-заміщенних плівках NiFe з дислокаційними площинами ковзання |
| issn |
1027-5495 |
| url |
https://nasplib.isofts.kiev.ua/handle/123456789/135189 |
| citation_txt |
Domain structure formation and evolution in epitaxial exchange-biased NiFe films with dislocation slip planes / V.S. Gornakov, V.I. Nikitenko, C.G. Lee // Functional Materials. — 2010. — Т. 17, № 2. — С. 164-170. — Бібліогр.: 30 назв. — англ. |
| work_keys_str_mv |
AT gornakovvs domainstructureformationandevolutioninepitaxialexchangebiasednifefilmswithdislocationslipplanes AT nikitenkovi domainstructureformationandevolutioninepitaxialexchangebiasednifefilmswithdislocationslipplanes AT leecg domainstructureformationandevolutioninepitaxialexchangebiasednifefilmswithdislocationslipplanes AT gornakovvs formuvannâtaevolûcíâdomennoístrukturivepítaksíalʹnihobmínozamíŝennihplívkahnifezdislokacíinimiploŝinamikovzannâ AT nikitenkovi formuvannâtaevolûcíâdomennoístrukturivepítaksíalʹnihobmínozamíŝennihplívkahnifezdislokacíinimiploŝinamikovzannâ AT leecg formuvannâtaevolûcíâdomennoístrukturivepítaksíalʹnihobmínozamíŝennihplívkahnifezdislokacíinimiploŝinamikovzannâ |
| first_indexed |
2025-11-25T18:43:14Z |
| last_indexed |
2025-11-25T18:43:14Z |
| _version_ |
1850519739037646848 |
| fulltext |
'RPDLQ�VWUXFWXUH�IRUPDWLRQ�DQG�HYROXWLRQLQ�HSLWD[LDO�H[FKDQJH�ELDVHG�1L)H ILOPVZLWK�GLVORFDWLRQ�VOLS�SODQHV
9�6�*RUQDNRY��9�,�1LNLWHQNR��&�*�/HH
,QVWLWXWH�RI�6ROLG�6WDWH�3K\VLFV��5XVVLDQ�$FDGHP\�RI�6FLHQFHV�
�������&KHUQRJRORYND��0RVFRZ�'LVWULFW��5XVVLD
&KDQJZRQ�1DWLRQDO�8QLYHUVLW\��&KDQJZRQ�
*\HRQJQDP����������6RXWK�.RUHD
5HFHLYHG�1RYHPEHU��������
7KH� HIIHFW� RI� GLVORFDWLRQV� RQ� IRUPDWLRQ� WKH� PDJQHWLF� VWUXFWXUH� DQG� WKH� HOHPHQWDU\
HYHQWV� RI� PDJQHWL]DWLRQ� UHYHUVDO� SURFHVVHV� LQ� HSLWD[LDO� WKLQ� H[FKDQJH�ELDVHG
1L)H�����c��1L2�����c�� ELOD\HUV�ZLWK� >���@� RU� >���@� XQLGLUHFWLRQDO� DQLVRWURS\�KDYH� EHHQ
LQYHVWLJDWHG�XVLQJ�WKH�PDJQHWR�RSWLF�LQGLFDWRU�ILOP�WHFKQLTXH��7KH�GLVORFDWLRQV�KDYH�EHHQ
UHYHDOHG� WR� LQGXFH� DQ� LQKRPRJHQHRXV� GLVWULEXWLRQ� RI� WKH�PDJQHWL]DWLRQ� YHFWRUV� RQ� WKHLU
VOLS�SODQHV��7KH�GLVORFDWLRQ�VOLS�SODQHV�DFW�DV�GRPDLQ�QXFOHDWLRQ�DQG�GRPDLQ�ZDOO�SLQQLQJ
FHQWHUV�� 7KH� GLVORFDWLRQV� SURGXFH� D� VWURQJ� ORFDO� PDJQHWLF� DQLVRWURS\� DORQJ� RQH� RI� WKH
����!�GLUHFWLRQV� LQGHSHQGHQW�RI�WKH�RULHQWDWLRQ�RI�WKH�XQLGLUHFWLRQDO�DQLVRWURS\� LQGXFHG
GXULQJ�WKH�ILOP�GHSRVLWLRQ�LQ�WKH�UHVW��GLVORFDWLRQ�IUHH��VDPSOH�DUHD��7DNLQJ�LQWR�DFFRXQW
WKDW� WKH�1L)H� IHUURPDJQHWLF� ILOP�KDV� DOPRVW� ]HUR�PDJQHWRVWULFWLRQ�� WKH� REVHUYHG� HIIHFWV
FRXOG�EH�DWWULEXWHG�WR�VWUHVVHV�RU�DQG�XQFRPSHQVDWHG�VSLQV�QHDU�WR�WKH�GLVORFDWLRQV�LQ�WKH
DQWLIHUURPDJQHWLF�OD\HU�
v� Ò°¹ºã ϺmÈÓÒËä� äË�º�È� äÈ�ÓÒ�ºº¹�Ò�˰}º®� ÒÓ�Ò}È�º¯Óº®� ¹ãËÓ}Ò� Ò°°ãË�ºmÈÓº
mãÒ«ÓÒË� �Ò°ãº}È�Ò®� ÓÈ� Áº¯äÒ¯ºmÈÓÒË� �ºäËÓÓº®� °�¯�}��¯©� Ò� ªãËäËÓ�ȯө²� È}�ºm
¹¯º�˰°È� ¹Ë¯ËäÈ�ÓÒ�ÒmÈÓÒ«� m� �ºÓ}Ò²� ª¹Ò�È}°ÒÈã Ó©²� ºäËÓÓº�°äË�ËÓÓ©²
1L)H�����c��1L2������c���m�²°ãº®Ó©²�¹ãËÓ}Ȳ�°�º¯ÒËÓ�È�ÒË®�º�ÓºÓȹ¯ÈmãËÓÓº®�ÈÓÒϺ�
�¯º¹ÒÒ� m�ºã � >���@� ÒãÒ� >���@�� �°�ÈÓºmãËÓº�� ��º� }¯ÈËm©Ë� �Ò°ãº}È�ÒÒ� º�°ãºmãÒmÈ
�
Ó˺�Óº¯º�ÓºË�¯È°¹¯Ë�ËãËÓÒË� mË}�º¯ºm�ÓÈäÈ�ÓÒ�ËÓÓº°�Ò�m�ºã � Ò²�¹ãº°}º°�Ë®� °}ºã ÎË�
ÓÒ«��iÒ°ãº}È�ÒºÓÓ©Ë�¹ãº°}º°�Ò�°}ºã ÎËÓÒ«��Ë®°�m�
��}È}��ËÓ�¯©�ÏȯºÎ�ËÓÒ«�Óºm©²
�ºäËÓºm�Ò��ËÓ�¯©�¹ÒÓÓÒÓ�È��ã«��mÒÎËÓÒ«��ºäËÓÓ©²�°�ËÓº}��iÒ°ãº}È�ÒÒ�ÒÓ���Ò¯�
�
°Òã Ó�
� ãº}Èã Ó�
� äÈ�ÓÒ�Ó�
� ÈÓÒϺ�¯º¹Ò
� m�ºã � º�Óº�º� ÒÏ� Óȹ¯ÈmãËÓÒ®� ����!�
}º�º¯È«�ÓË� ÏÈmÒ°Ò�� º�� º¯ÒËÓ�È�ÒÒ�º�ÓºÓȹ¯ÈmãËÓÓº®� ÈÓÒϺ�¯º¹ÒÒ��ÓÈmË�ËÓÓº®�m� ¹¯º�
�˰°Ë�º°ÈÎ�ËÓÒ«�¹ãËÓº}�m�º°�Èã Óº®��ËÏ�Ò°ãº}È�ÒºÓÓº®���Ȱ�Ò�}ÈÎ�º�º�º¯ÈÏ�È���¯Ò�
ÓÒäÈ«�mº�mÓÒäÈÓÒË��º����º�Á˯¯ºäÈ�ÓÒ�Ó©Ë�¹ãËÓ}Ò�1L)H�ÒäË
��¹º��Ò�Ó�ãËm�
�äÈ�ÓÒ�
�º°�¯Ò}�Ò
�� ÓÈã
�ÈËä©Ë� ªÁÁË}�©� äº���� ©� � º�°ãºmãËÓ©� Óȹ¯«ÎËÓÒ«äÒ� ÒãÒ�Ò
Ó˰}ºä¹ËÓ°Ò¯ºmÈÓÓ©äÒ�°¹ÒÓÈäÒ�mãÒÏÒ��Ò°ãº}È�Ò®�m�ÈÓ�ÒÁ˯¯ºäÈ�ÓÒ�Óºä�°ãºË�
���,QWURGXFWLRQ
7KH� SURPLVLQJ� XVH� RI� H[FKDQJH� FRXSOHG
IHUURPDJQHWLF� �)0��DQWLIHUURPDJQHWLF� �$)0�
ELOD\HUV� LQ� PXOWLOD\HU� V\VWHPV� ZLWK� JLDQW
PDJQHWRUHVLVWDQFH� HIIHFW� VXFK� DV� PDJQHWLF
VHQVRUV�� UHDG� KHDGV�� DQG� UDQGRP� DFFHVV
PHPRU\�� KDV� LQLWLDWHG� LQWHQVLYH� LQYHVWLJD�
WLRQV� RI� WKHLU� SURSHUWLHV� >��@�� 7KH
)0�$)0�ELOD\HU�LV�DQ�LPSRUWDQW�FRPSRQHQW
RI� VSLQ�YDOYHV� DQG� WXQQHO� PDJQHWLF� MXQF�
WLRQV� VKRZLQJ� KLJK� PDJQHWRUHVLVWDQFH� YDO�
XHV�� 7KRXJK� WKH� XQLTXH� SURSHUWLHV� RI� VXFK
ELOD\HU�VWUXFWXUHV�ZHUH�GLVFRYHUHG�E\�0HLN�
OHMRKQ�DQG�%HDQ�>�@�KDOI�D�FHQWXU\�DJR��WKH
IXQGDPHQWDO�SUREOHPV�VXFK�DV�WKH�RULJLQ�RI
)XQFWLRQDO�0DWHULDOV�����1R��������� ��������67&��,QVWLWXWH�IRU�6LQJOH�&U\VWDOV�
��� )XQFWLRQDO�PDWHULDOV�������������
WKH� XQLGLUHFWLRQDO� DQLVRWURS\� ILHOG� +(;>��@�DQG�HQKDQFHG�FRHUFLYLW\�+&� >���@�RIWKHVH�DUWLILFLDO�QDQRFRPSRVLWH�PDWHULDOV��DUH
QRW�\HW�ZHOO�XQGHUVWRRG�>�������@��,Q�RUGHU
WR�H[SODLQ�WKH�GLVFUHSDQF\�EHWZHHQ�WKH�WKHR�
UHWLFDO�DQG�H[SHULPHQWDO�YDOXHV�RI�+(;�DQG+&�LQ�H[FKDQJH�ELDVHG�ILOPV��PRVW�DWWHQWLRQKDV� EHHQ� IRFXVHG� RQ� FU\VWDO� DQG� PDJQHWLF
VWUXFWXUHV�RI�ERWK�$)0�DQG�)0�OD\HUV�>���
��@� DV� ZHOO� DV� RQ� URXJKQHVV� >�����������@
DQG� LQKRPRJHQHLWLHV� >������@� RI� WKH� LQWHU�
IDFH��7KH�LQIOXHQFH�RI�YDULRXV�FU\VWDO�ODWWLFH
GHIHFWV� RQ� WKH� H[FKDQJH� FRXSOLQJ� EHWZHHQ
)0�DQG�$)0�ILOPV�DQG�WKHLU�PDJQHWL]DWLRQ
UHYHUVDO� ZDV� GHPRQVWUDWHG� LQ� >�������@�
+RZHYHU��WKH�UROH�RI�VXFK�LPSRUWDQW�GHIHFWV
DV�GLVORFDWLRQV�LQ�D�GRPDLQ�VWUXFWXUH�IRUPD�
WLRQ� DQG� WKH�PDJQHWL]DWLRQ� UHYHUVDO� EHKDY�
LRU� RI� H[FKDQJH� FRXSOHG� PDJQHWLF� ELOD\HUV
ZDV�QRW�VWXGLHG�HQRXJK�
2Q�WKH�RWKHU�KDQG��LW�LV�ZHOO�NQRZQ�WKDW
WKH� PDJQHWL]DWLRQ� FXUYH� FKDUDFWHULVWLFV� RI
WUDGLWLRQDO� EXON� IHUURPDJQHWLF� VLQJOH� FU\V�
WDOV� DUH� GHILQHG� WR� D� JUHDW� H[WHQW� E\� WKH
FKDQJH� RI� WKH� UHODWLYLVWLF� DQG� H[FKDQJH� LQ�
WHUDFWLRQV� XQGHU� WKH� LQIOXHQFH� RI� VSDWLDOO\
LQKRPRJHQHRXV� LQWHUQDO� VWUHVVHV�� 7KH� PRVW
LPSRUWDQW� VRXUFHV�RI� WKHVH�VWUHVVHV�DUH�GLV�
ORFDWLRQV��7KRVH�SURGXFH�D�VORZO\�GHFUHDVLQJ
ORQJ�UDQJH� VWUHVV� ILHOGV�� 7R� H[SODLQ� WKH� HI�
IHFW�RI�GLVORFDWLRQV�RQ�WKH�SURFHVVHV�RI�PDJ�
QHWL]DWLRQ� URWDWLRQ� DQG� GRPDLQ� ZDOO� �':�
PRWLRQ� LQ� IHUURPDJQHWV�� D� WKHRU\� >��@� ZDV
GHYHORSHG� DQG� WKH� LQIOXHQFH� RI� LQGLYLGXDO
GLVORFDWLRQV� RQ� WKHVH� SURFHVVHV� ZDV� VWXGLHG
GLUHFWO\�LQ�H[SHULPHQW�>��@��7KH�GLVORFDWLRQV
KDYH�EHHQ�VKRZQ�WR�FDXVH�DQ�LQKRPRJHQHRXV
GLVWULEXWLRQ� RI� WKH� PDJQHWL]DWLRQ� YHFWRUV
DURXQG�WKHP��LQIOXHQFLQJ�WKH�NLQHWLFV�RI�WKH
VSLQ� UHRULHQWDWLRQ� SKDVH� WUDQVIRUPDWLRQV
DQG� DFWLQJ� DV� ERWK� QHZ� GRPDLQ� QXFOHDWLRQ
DQG�GRPDLQ�ZDOO�SLQQLQJ�FHQWHUV��+RZHYHU�
XQWLO� QRZ�� WKHUH� DUH� HVVHQWLDOO\� QR� GLUHFW
VWXGLHV� RI� WKH� GLVORFDWLRQ� LQIOXHQFH� RQ� WKH
SURSHUWLHV� RI� PDJQHWLF� QDQRVWUXFWXUHG� KHW�
HURSKDVH� PDWHULDOV� DQG� HVSHFLDOO\� RI� H[�
FKDQJH�FRXSOHG�)0�$)0�ELOD\HUV��
7KH� XQGHUVWDQGLQJ� RI� WKH� H[FKDQJH� ELDV
SKHQRPHQRQ� LQ� )0�$)0� KHWHURVWUXFWXUHV
DQG�WKH�FHQWUDO�LVVXH�RI�WKH�$)0�VSLQ�VWUXF�
WXUH� LQIOXHQFH� WKHUHRQ� FDQ� EH� DWWDLQHG
WKURXJK�WKH�VWXG\�RI��WKH�UHYHUVDO�SURFHVVHV
LQ�D�)0�OD\HU�H[FKDQJH�FRXSOHG�WR�WKH�$)0
RQH�� 7R� GHWHUPLQH� FRQGLWLRQV� RI� WKH� PDJ�
QHWLF�GRPDLQ�VWUXFWXUH�IRUPDWLRQ�DQG�SRVVL�
EOH�VZLWFKLQJ�PRGHV�DVVRFLDWHG�ZLWK�WKH�IRU�
PDWLRQ�RI�D�VSHFLILF�VSLQ�FRQILJXUDWLRQ�QHDU
GLVORFDWLRQV� LQ� HSLWD[LDO� H[FKDQJH� FRXSOHG
)0�$)0� ELOD\HUV� FRQWDLQLQJ� GLVORFDWLRQV�
ZH�KDYH� LQYHVWLJDWHG� LQ� WKLV�ZRUN� LQ�GHWDLO
WKH� GLVWULEXWLRQ� DQG� HYROXWLRQ� RI� WKH� QHW
PDJQHWLF�PRPHQWV�LQ�VXFK�KHWHURVWUXFWXUHV�
���([SHULPHQWDO
7KH� 1L)H� �����c��1L2� �����c�� HSLWD[LDO
ELOD\HUV�ZHUH�JURZQ�E\�LRQ�EHDP�VSXWWHULQJ
RQWR� VLQJOH� FU\VWDO� ������ 0J2� VXEVWUDWH
>��@��7KH�XQLGLUHFWLRQDO�DQLVRWURS\�RI�ELOD\�
HUV�ZDV�LQGXFHG�GXULQJ�GHSRVLWLRQ�E\�PHDQV
RI�SHUPDQHQW�PDJQHWV�SURGXFLQJ�D�XQLIRUP
ELDV�ILHOG�+� �����2H�LQ�WKH�VXEVWUDWH�SODQH
DORQJ� HLWKHU� LWV� ����!� RU� ����!� FU\VWDO�
ORJUDSKLF� GLUHFWLRQ�� 7KH� PDFURVFRSLF� IHD�
WXUHV�RI�WKH�ILOPV�ZHUH�GHWHUPLQHG�IURP�WKH
K\VWHUHVLV� ORRSV�PHDVXUHG� ZLWK� D� YLEUDWLQJ
VDPSOH� PDJQHWRPHWHU�� 7KH� SKRWRHODVWLFLW\
PHWKRG� >��@�ZDV� XVHG� WR� UHYHDO� WKH� FU\VWDO
ODWWLFH� GHIHFWV� LQ� WKH� ILOPV�� 7R� VWXG\� WKH
GRPDLQ� VWUXFWXUH� WUDQVIRUPDWLRQ� DQG� ':
SURSDJDWLRQ�XQGHU�WKH�PDJQHWL]DWLRQ�UHYHU�
VDO�� ZH� XVHG� WKH� PDJQHWR�RSWLFDO� LQGLFDWRU
ILOP� �02,)�� WHFKQLTXH� >�����@� ZLWK� GLJLWDO
LPDJH� SURFHVVLQJ�� ,Q� WKLV� WHFKQLTXH�� D
WUDQVSDUHQW�%L�GRSHG�\WWULXP�LURQ�JDUQHW�LQ�
GLFDWRU� ILOP�ZLWK� DQ�$O�PLUURU� ERWWRP� VXU�
IDFH� LV� SODFHG� RQ� WKH� VDPSOH� WR� LPDJH� WKH
VWUD\�PDJQHWLF�ILHOGV�DURXQG�WKH�ILOP�HGJHV�
GRPDLQ� ZDOOV�� DQG� RWKHU� PDJQHWLF� GHIHFWV�
,Q�WKH�DEVHQFH�RI�D�PDJQHWLF�ILHOG��WKH�JDU�
QHW�PDJQHWL]DWLRQ� LV� RULHQWHG� LQ�SODQH�� EXW
LW�LV�GHIOHFWHG�RXW�RI�SODQH�E\�SHUSHQGLFXODU
FRPSRQHQWV� RI� WKH� VWUD\� ILHOG� +A� DURXQGWKH� VDPSOH�� 8VLQJ� D� SRODUL]LQJ�PLFURVFRSH�
WKH� PDJQHWR�RSWLFDO� �02�� LPDJHV� RI� WKH
VDPSOH�PDJQHWLF� VWUXFWXUHV� DUH� REWDLQHG� LQ
WKH� UHIOHFWHG� OLJKW� GXH� WR� WKH� GRXEOH� )DUD�
GD\�HIIHFW�LQ�WKH�LQGLFDWRU�ILOP��XVLQJ�SRODU�
L]HU� DQG� DQDO\VHU� VOLJKWO\� XQFURVVHG� DW� D
VPDOO� DQJOH� E��� 7KH� PDJQHWLF� ILHOGV� DW� WKH
WKH�VDPSOH�HGJHV�DQG�DW�':V�SHUPLW�WR�HV�
WLPDWH� ERWK� WKH� RULHQWDWLRQ� DQG� PDJQLWXGH
RI�WKH�DYHUDJH�PDJQHWL]DWLRQ��0��LQ�WKH�UHJ�
LVWHUHG� KHWHURVWUXFWXUH� UHJLRQ� >��@�� 7KH
EODFN� DQG� ZKLWH� FRORXUV� RI� WKH� 02� LPDJH
FRUUHVSRQG�WR�RSSRVLWH�VLJQV�RI�+A��$OO�H[�SHULPHQWV�ZHUH�PDGH�DW�URRP�WHPSHUDWXUH�
7KH� PDJQHWRPHWULF� PHDVXUHPHQWV� DQG
WKH� 02,)� LPDJLQJ� KDYH� EHHQ� SHUIRUPHG
ZLWK�WKH�PDJQHWLF�ILHOG�+�DSSOLHG�DORQJ�WKH
XQLGLUHFWLRQDO� DQLVRWURS\� D[LV� FRLQFLGHQW
ZLWK�WKH�GLUHFWLRQ�RI�WKH�PDJQHWLF�ILHOG�DS�
SOLHG�GXULQJ�WKH�ELOD\HU�JURZWK��7KH�K\VWHU�
HVLV� ORRSV� IRU� ERWK� VDPSOHV� DUH� VKLIWHG� WR
WKH�QHJDWLYH�ILHOG�IURP�+� ����7KH\�H[KLELW
WKH�H[FKDQJH�VKLIWV�+(;� ����2H�DQG����2HDQG� HQKDQFHG� FRHUFLYH� ILHOGV� +&� ����2HDQG����2H� IRU� >���@� DQG� >���@� VDPSOHV�� UH�
VSHFWLYHO\��,Q�DOO�WKH�02,)�H[SHULPHQWV��WKH
9�6�*RUQDNRY�HW�DO����'RPDLQ�VWUXFWXUH�IRUPDWLRQ����
)XQFWLRQDO�PDWHULDOV������������� ���
QHW� PDJQHWL]DWLRQ� GLUHFWLRQ� ZDV� HVWLPDWHG
IURP� WKH� PD[LPDO� PDJQHWR�RSWLFDO� LQWHQVL�
WLHV�PHDVXUHG�DORQJ�WKH�SURILOH�OLQHV�DW�WZR
SHUSHQGLFXODU�HGJHV��DV�LW�ZDV�GHPRQVWUDWHG
LQ� >��@�� RI� D� VDPSOH� FRUQHU�GXULQJ�SUHOLPL�
QDU\� PHDVXUHPHQWV�� 7KH� 02� LPDJHV� SUH�
VHQWHG�EHORZ�VKRZ�VPDOO�UHFWDQJXODU�VDPSOH
DUHDV� LQVLGH� WKH� VDPSOHV�� 7KHVH� DUHDV� FRP�
SULVH� VOLS� SODQHV� RI� ERWK� HGJH� DQG� VFUHZ
GLVORFDWLRQV�
���5HVXOWV�DQG�GLVFXVVLRQ
)LUVW��WKH�VDPSOHV�ZHUH�PDJQHWL]HG�DORQJ
WKH� XQLGLUHFWLRQDO� DQLVRWURS\� WR� D� VDWXUD�
WLRQ� VWDWH� LQ� WKH� ILHOG�+� �����2H�� ,Q� WKLV
FDVH�� RQH� D� VWURQJ� 02� FRQWUDVW� ZDV� RE�
VHUYHG� DW� WKH� VDPSOH� HGJHV� WKDW� LV� GXH� WR
WKH� VWUD\� ILHOG�� DQG� SUDFWLFDOO\� QR� FRQWUDVW
LQVLGH�WKH�ELOD\HUV��LPDJLQJ�DUHD�LQ�WKH�)LJ�
XUHV��� ,Q� VRPH� FDVHV�� ZKHQ� WKH� ILHOG� ZDV
GHFUHDVHG� WR� ]HUR�� WKH�02�ZKLWH�EODFN� FRQ�
WUDVW� KDV� DSSHDUHG� DORQJ� WKH� OLQHV� RI� WKH
����!�RULHQWDWLRQ��)LJ���D���8VLQJ�ELUHIULQ�
JHQFH� SLFWXUHV� RI� WKH� VDPH� RU� VLPLODU� DUHD
�)LJ���E���ZH�KDYH�IRXQG�WKDW�WKHVH�OLQHV�DUH
FDXVHG�E\�HGJH�GLVORFDWLRQV�DOLJQHG�LQ������
DQG����
BB
���VOLS�SODQHV��7KHVH�GLVORFDWLRQV�LQ�
GXFH� HIIHFWLYH� LQWHUQDO� PLFURVWUHVVHV�� %RWK
VFUHZ�DQG�HGJH�GLVORFDWLRQV�ZHUH�LQWURGXFHG
LQWR�WKH�0J2�VXEVWUDWH�GXULQJ�FOHDYLQJ�WKH
VXEVWUDWH� SULRU� WR� WKH� ELOD\HU� GHSRVLWLRQ�
)LJXUHV� �� DQG� �� GLVSOD\� WKH� GRPDLQ� VWUXF�
WXUH� EHKDYLRU� LQ� WKH� >���@� DQG� >���@
1L2�1L)H� ELOD\HUV�� UHVSHFWLYHO\�� GXULQJ� WKH
PDJQHWL]DWLRQ�UHYHUVDO��:KLWH�DUURZV�PDUN
WKH� YHFWRU�0� DORQJ� WKH� XQLGLUHFWLRQDO� DQ�
LVRWURS\� D[LV� REWDLQHG� E\� WKH�PHWKRG�PHQ�
WLRQHG�DERYH�
7KH�1L)H�K\VWHUHVLV� ORRS�PHDVXUHG�DORQJ
WKH� >���@� GLUHFWLRQ� SDUDOOHO� WR� PDJQHWLF
ILHOG� GLUHFWLRQ� DSSOLHG� GXULQJ� WKH� ELOD\HU
JURZWK�LV�VKRZQ�LQ�)LJ���D��)LJV���E�I�H[�
KLELW� WKH� VDPSOH� UHPDJQHWL]DWLRQ� IURP� WKH
JURXQG� VWDWH�� ,Q� WKH� VDWXUDWHG� VWDWH� XQGHU
ILHOG�RI������2H��WKH�02�FRQWUDVW�ZDV�SUDF�
WLFDOO\�LQYLVLEOH��$IWHU�GHFUHDVLQJ�RI�WKH�DS�
SOLHG� ILHOG� �)LJ���E��� WKH� EODFN�ZKLWH� 02
FRQWUDVW� KDV� DSSHDUHG� QHDU� WKH� YHUWLFDO
OLQHV�� 7KH� IXUWKHU� ILHOG� GHFUHDVLQJ� UHVXOWHG
LQ�LQKRPRJHQHRXV�PDJQHWL]DWLRQ�URWDWLRQ�LQ
WKH� KRPRJHQHRXV� �EHWZHHQ� HGJH� GLVORFDWLRQ
VOLS�SODQHV��UHJLRQV��)LJ���F��DQG�LQ�FRQVHFX�
WLYH� IRUPDWLRQ� RI� QXPHURXV� PLFURGRPDLQV
�)LJ���G��� ZKLFK� JUHZ� �)LJ���H�� DQG� FRD�
OHVFHG� �)LJ���I��� 7KRVH� UHJLRQV� ZHUH� VDWX�
UDWHG�E\�ILHOG�+|���2H�
$W�WKLV�VWDJH�RI�WKH�PDJQHWL]DWLRQ�UHYHU�
VDO��QHZ�VWULSH�GRPDLQV�QHDU�GLVORFDWLRQ�VOLS
SODQHV� SHUSHQGLFXODU� WR� WKH� SUHYLRXV� RQHV
ZHUH� IRUPHG� �)LJ���G��� 0DJQHWL]DWLRQ� RI
WKHVH�GRPDLQV�ZDV�VZLWFKHG�IURP�VHFWLRQ�WR
VHFWLRQ��)LJV���H�DQG��I��DQG�02�FRQWUDVW�RI
WKRVH� UHJLRQV� �QRW� VKRZQ� KHUH�� SUDFWLFDOO\
GLVDSSHDUHG��ZKHUHDV� WKH�02�FRQWUDVW�QHDU
SDUDOOHO� ��
BB
���� VOLS� SODQHV�� LW� GLG� QRW� GLVDS�
SHDU� EXW� RQO\� FKDQJHG� LWV� VLJQ�� 7KH� FRP�
SOHWH� UHYHUVDO� RI� WKH� ODWWHU� RFFXUV� XQGHU
ILHOG�+|��� 2H�� ,Q� WKLV� FDVH�� WKH� SRODULW\
UHYHUVDO� RI� WKH� >���@� �GLVORFDWLRQ�� GRPDLQV
SURFHHGV�E\�QXFOHDWLRQ�DQG�JURZWK�RI�VPDOO
VL]H�GRPDLQV��)LJ���G�I���
7KHQ� WKH� VDPSOH� ZDV� PDJQHWL]HG� WR
WKH�VDWXUDWLRQ�VWDWH�RSSRVLWH�WR�WKH�XQLGL�
UHFWLRQDO� DQLVRWURS\� E\� WKH� QHJDWLYH� ILHOG
+� �����2H��/LNH�LQ�WKH�SUHYLRXV�VWDJH��QR
02� FRQWUDVW� ZDV� REVHUYHG� LQVLGH� WKH� VDP�
)LJ������D��02,)�LPDJH�RI�WKH�GRPDLQ�VWUXFWXUH�LQ�D�1L)H�1L2�ELOD\HU���E��PLFURVWUHVV�ILHOGV�FDXVHG
E\�WKH�VOLS�SODQHV�RI�HGJH�GLVORFDWLRQV�UHYHDOHG�E\�DQ�RSWLFDO�ELUHIULQJHQFH�
9�6�*RUQDNRY�HW�DO����'RPDLQ�VWUXFWXUH�IRUPDWLRQ����
��� )XQFWLRQDO�PDWHULDOV�������������
SOH�� :KHQ� WKH� ILHOG� ZDV� LQFUHDVHG�� WKH
ZKLWH�EODFN�FRQWUDVW�KDV�DSSHDUHG�DORQJ�WKH
���
BB
��� GLVORFDWLRQ� VOLS� SODQHV� �)LJ���J��� ,Q
FDVH� RI� WKH� UHPDJQHWL]DWLRQ� WR� WKH� JURXQG
VWDWH�� WKH� UHYHUVDO� RI� VSLQV� ORFDOL]HG� LQ� WKH
KRPRJHQHRXV� UHJLRQV� �EHWZHHQ� WKH� VOLS
SODQHV�� KDV� DQRWKHU� VFHQDULR�� $V� WKH� ILHOG
LQFUHDVHV� WR� +� ������� 2H� �)LJ���K��� QHZ
GRPDLQV�ZLWK�WKH�RSSRVLWH�PDJQHWL]DWLRQ�GL�
UHFWLRQ� DSSHDUHG� SUDFWLFDOO\� QHDU� WKH� OLQHV
ZLWK�LQKRPRJHQHRXV�PDJQHWL]DWLRQ�GLVWULEX�
WLRQ�� 7KHVH� GRPDLQV� JUHZ� ZLWK� LQFUHDVH� RI
PDJQHWLF�ILHOG��)LJ���L��DQG�SUDFWLFDOO\�VDWX�
UDWHG� DOO� WKH� DUHDV� EHWZHHQ� WKH� GLVORFDWLRQ
VOLS�SODQHV��)LJ���M���,W�LV�LPSRUWDQW�WR�QRWH
WKDW� WKH� GRPDLQ� ZDOOV�PRYHG� RQO\� EHWZHHQ
WKHVH�OLQHV�DQG�QHYHU�DFURVV�WKHP��+RZHYHU�
LQ� WKH� ODWWHU� VWDWH�� D� JUHDW�02�ZKLWH�EODFN
FRQWUDVW� DSSHDUHG� QHDU� QHZ� OLQHV�� ZKLFK
ZHUH� SHUSHQGLFXODU� WR� WKH� LQLWLDO� RQHV� DQG
FRLQFLGHG� ZLWK� WKH� ������ HGJH� GLVORFDWLRQ
VOLS�SODQHV��7KH�PDLQ�IHDWXUH�RI�WKHVH�OLQHV
LV� FRQVHFXWLYH� VZLWFKLQJ� RI� WKH� OLQH� VHJ�
PHQWV��)LJ���N��DQG�ILQDOO\�RI�DOO�RQHV��)LJ�
�O�� GXULQJ� WKH� ILHOG� LQFUHDVLQJ�� 6RPH� VPDOO
02� FRQWUDVW� LV� REVHUYHG� DW� WKH� ORFDWLRQ� RI
WKHVH�OLQHV�DIWHU�WKLV�SURFHVV��7KLV�IDFW�LQGL�
FDWHV�WKDW�VSHFLILF�GRPDLQV�ZLWK�PDJQHWL]D�
WLRQ� QRW� RULHQWHG� DORQJ� WKH� XQLGLUHFWLRQDO
DQLVRWURS\�D[LV�DUH� IRUPHG�DORQJ�WKRVH�GLV�
ORFDWLRQ�VOLS�SODQHV�
$� TXLWH� RWKHU� VLWXDWLRQ� ZLWK�PDJQHWL]D�
WLRQ� GLVWULEXWLRQ� GXULQJ� PDJQHWL]DWLRQ� UH�
YHUVDO� RFFXUV� QHDU� HGJH� GLVORFDWLRQ� VOLS
SODQHV� RULHQWHG� DORQJ�XQLGLUHFWLRQDO� DQLVRW�
URS\�D[LV��YHUWLFDO�OLQHV���$V�LV�VHHQ�LQ�)LJ�
��� WKH�02�FRQWUDVW�QHDU� WKHVH�SODQHV� LV� DO�
ZD\V�YLVLEOH�GXULQJ�PDJQHWL]DWLRQ�UHYHUVDO�
$QDO\VLV�RI�WKH�FRQWUDVW�VKRZV�WKDW�0�LV�QRW
RULHQWHG�DORQJ�WKH�XQLGLUHFWLRQDO�DQLVRWURS\
D[LV� DV� ZHOO�� 0RUHRYHU�� )LJV���M�O� VKRZ
WKDW� UHPDJQHWL]DWLRQ� RI� WKHVH� XQXVXDO� OLQ�
HDU�GRPDLQV�SURFHHGV�GXH�WR�VZLWFKLQJ�0�WR
WKH� RSSRVLWH� GLUHFWLRQ� HLWKHU� LQ� VRPH� VHF�
WLRQV��IRU�H[DPSOH��WKLUG�OHIW�OLQH�LQ�)LJV���M
DQG� �N�� RU� LQ� D� ZKROH� OLQH� �IRU� H[DPSOH�
ILUVW� OHIW� OLQH� LQ�)LJV���N�DQG��O���7KH�FRP�
SOHWH�UHYHUVDO�RI�WKHVH�GRPDLQV�RFFXUV�XQGHU
ILHOG� +|��� 2H�� L�H�� XQGHU� DSSUR[LPDWHO\
VDPH�DEVROXWH�YDOXHV�RI�WKH�DSSOLHG�ILHOG�DV
WKRVH� XSRQ� WKH� UHPDJQHWL]DWLRQ� IURP� WKH
JURXQG�VWDWH�
7KXV�� WKH� UHVXOWV� VKRZ� WKDW� �L�� RULHQWD�
WLRQ�DQG�EHKDYLRU�RI�VSLQV�ORFDOL]HG�QHDU�WKH
GLVORFDWLRQ� VOLS� SODQHV� LV� GLIIHUHQW� IURP
WKRVH� RQHV� RI� VSLQV� ORFDOL]HG� LQVLGH� WKH� KR�
PRJHQHRXV� UHJLRQV�� �LL�� XQOLNH� WKH� KRPRJH�
QHRXV�UHJLRQV��WKH�LQKRPRJHQHRXV�RQHV�ZLWK
ORFDO� >���@�GLVORFDWLRQ� GRPDLQV�KDYH� DQ� HQ�
ODUJHG� EXW� XQVKLIWHG� K\VWHUHVLV� ORRSV�� �LLL�
DV� WKH� PDJQHWRVWULFWLRQ� YDOXH� RI� IUHH�1L)H
OD\HUV�LV�QHJOLJLEOH�>�@��WKH�ORFDO�VSLQ�GLVWUL�
EXWLRQ�DQG�FRHUFLYLW\�H[WHQVLRQ�RI�WKH�1L)H
OD\HU� QHDU� GLVORFDWLRQ� VOLS� SODQHV� LV� FDXVHG
E\�H[FKDQJH�FRXSOLQJ�WR�GHIRUPHG�VWUXFWXUH
RI� WKH� DQWLIHUURPDJQHWLF� 1L2� OD\HU� DORQJ
WKHVH�VOLS�SODQHV�
)LJ�����0DJQHWLF�K\VWHUHVLV�ORRS��D��DQG�02,)
LPDJHV�RI�GRPDLQ�VWUXFWXUH�WDNHQ�GXULQJ�WKH
XQLGLUHFWLRQDO�D[LV�PDJQHWL]DWLRQ� UHYHUVDO� RI
D� >���@� 1L)H�1L2� ELOD\HU�� �E��O�� FRUUHVSRQG
WR� WKH� FRQGLWLRQV� LQGLFDWHG�E\� WKH� FLUFOHV� OD�
EHOHG� E\� WKH� VDPH� OHWWHUV� RQ� WKH� K\VWHUHVLV
ORRS�LQ��D���:KLWH�DUURZV�LQGLFDWH�ORFDO�PDJ�
QHWL]DWLRQ�GLUHFWLRQV�LQ�GRPDLQV�
9�6�*RUQDNRY�HW�DO����'RPDLQ�VWUXFWXUH�IRUPDWLRQ����
)XQFWLRQDO�PDWHULDOV������������� ���
7KH�0� RULHQWDWLRQ� FDQ� EH� HVWLPDWHG� E\
DQDO\VLQJ�WKH�YDULDWLRQV�RI�02�LQWHQVLW\��,�
QHDU�DQ\�PDJQHWLF�GHIHFW� �VDPSOH�HGJH��GR�
PDLQ�ZDOO�� HWF���3KRWRPHWULF�PHDVXUHPHQWV
RI� WKH�02� VLJQDO� LQWHQVLWLHV� DORQJ� WKH�SUR�
ILOH� OLQHV� LQGLFDWHG� LQ� )LJ���M� DUH� VKRZQ� LQ
)LJ����� 7KH� SORWV� VKRZ� WKH� LQWHQVLW\� GLVWUL�
EXWLRQ� DFURVV� ERWK� �,�� D� GRPDLQ�ZLWK�ZKLWH
DQG�EODFN�ZDOOV� LQVLGH� WKH�KRPRJHQHRXV�UH�
JLRQ� DQG� PDJQHWL]HG� OLQHDU� GRPDLQV� �,,�� SHU�
SHQGLFXODU�DQG��,,,��SDUDOOHO�WR�>���@�GLUHFWLRQ�
'HYLDWLRQV� RI� WKH� 02� VLJQDO� IURP� WKH� PHDQ
LQWHQVLW\�OHYHO��WKH�JUD\�EDFNJURXQG��WR�ZKLWH
DQG�EODFN�FRORUV�DUH�,:� �,�>VLQ��E���M�Ü�VLQ�E@DQG� ,%� �,�>VLQ�E�Ü�VLQ��E�ÜM�@�� ZKHUH� ,�� DQG� MDUH� WKH� LQWHQVLW\� RI� WKH� LQFLGHQW� OLQHDUO\
SRODUL]HG� OLJKW� DQG� WKH� )DUDGD\� URWDWLRQ
DQJOH�� UHVSHFWLYHO\�� )RU� VPDOO� E� DQG� M� WKH
DYHUDJH�LQWHQVLW\�,$� ��,:���,%�����a�M�a�+Aa�0Q� �0FRV�D��� ZKHUH�0Q� LV� D� ORFDO�PDJ�QHWL]DWLRQ� FRPSRQHQW� SHUSHQGLFXODU� WR� WKH
PDJQHWLF�GHIHFW��DQG�D�LV�WKH�DQJOH�EHWZHHQ
WKH�PDJQHWL]DWLRQ� YHFWRU�0� DQG� WKH� YHFWRU
Q� QRUPDO� WR� WKDW� GHIHFW�� %HFDXVH� WKH� ILHOG
+A�DW�DQ\�ERXQGDU\�LV�IRUPHG�E\�ORFDO�PDJ�QHWLF�PRPHQWV�ORFDOL]HG�LQ�ERWK�DGMDFHQW�GR�
PDLQV�� WKH� LQWHQVLW\� ,$� �N>0FRV�D����0FRV�D��@�� ZKHUH� D�� DQG� D�� DUH� DQJOHV� EH�WZHHQ� 0� DQG� Q� DW� RSSRVLWH� VLGHV� RI� WKLV
ERXQGDU\� LQ� KRPRJHQHRXV� DQG� LQKRPRJHQH�
RXV� UHJLRQV�� UHVSHFWLYHO\�� DQG� N� LV� D� FRQ�
VWDQW�GHSHQGLQJ�RQ�WKH�LQGLFDWRU�ILOP�SURS�
HUWLHV�� GLVWDQFH� EHWZHHQ� WKH� LQGLFDWRU� DQG
WKH� VDPSOH�� DQG� WKH� VL]H� RI� DGMDFHQW� GR�
PDLQV��6R��EHFDXVH�D��LV�HTXDO�WR����DQG����IRU����
BB
���DQG�������VOLS�SODQHV��UHVSHFWLYHO\�
WKH�,$�YDOXH�FKDUDFWHUL]HV�WKH�RULHQWDWLRQ�RID�QHW�PDJQHWL]DWLRQ�LQ�LQKRPRJHQHRXV�PDJ�
QHWLF� UHJLRQV�� $QDO\VLV� RI� WKH� 02� VLJQDO
YDULDWLRQV�DFURVV�WKH�GLVORFDWLRQ�VOLS�SODQHV
VKRZV�WKDW�WKH�HVWLPDWHG�DQJOHV�D��LQ�WKHVHUHJLRQV�KDYH�YDOXHV�EHWZHHQ�����DQG�����
$� PRUH� H[DFW� RULHQWDWLRQ� RI� 0� RQ� WKH
GLVORFDWLRQ� VOLS� SODQHV� ZDV� REWDLQHG� LQ� EL�
OD\HUV�ZLWK�WKH�����!�XQLGLUHFWLRQDO�DQLVRW�
URS\�� 7KH� 1L)H�1L2� K\VWHUHVLV� ORRS� PHDV�
XUHG� DORQJ� WKH� >���@� GLUHFWLRQ� SDUDOOHO� WR
WKH�PDJQHWLF� ILHOG� GLUHFWLRQ� DSSOLHG� GXULQJ
WKH� ELOD\HU� JURZWK� LV� VKRZQ� LQ� )LJ���D�
)LUVW��WKH�VDPSOH�ZDV�PDJQHWL]HG�DORQJ�WKH
XQLGLUHFWLRQDO� DQLVRWURS\� WR� D� VDWXUDWLRQ
VWDWH� E\� ILHOG�+� ������2H��8QOLNH� WKH� UH�
YHUVDO� RI� WKH� >���@� VDPSOH�� ZKHQ� WKH� ILHOG
ZDV� GHFUHDVHG� WR� ]HUR�� QR� ZKLWH�EODFN� FRQ�
WUDVW�KDV�DSSHDUHG�DORQJ�WKH�OLQHV�RI�����!
RULHQWDWLRQ��7KH�02�VLJQDO�DORQJ�WKHVH�OLQHV
DSSHDUHG� RQO\� ZKHQ� QHZ� GRPDLQV� DUH
IRUPHG��)LJ���E��DQG�H[WHQGHG��)LJ���F�G��
,W�LV�LPSRUWDQW�WR�QRWH�WKDW�DIWHU�VDWXUDWLRQ
RI�WKH�ELOD\HU�RSSRVLWH�WR�WKH�XQLGLUHFWLRQDO
DQLVRWURS\�� WKH� 02� EODFN�ZKLWH� FRQWUDVW
DORQJ�GLVORFDWLRQ�VOLS�SODQHV�ZDV�PDLQWDLQHG
�)LJ���H��
:KHQ� WKH� ILHOG� ZDV� LQFUHDVHG� WR� +�#
���2H��QHZ�GRPDLQV�ZLWK�WKH�RSSRVLWH�PDJ�
QHWL]DWLRQ� GLUHFWLRQ� KDYH� HVVHQWLDOO\� DS�
SHDUHG� �)LJ���I�� QHDU� WKH� HORQJDWHG� UHJLRQV
ZLWK�LQKRPRJHQHRXV�PDJQHWL]DWLRQ�GLVWULEX�
WLRQ��DQG�H[WHQGHG��)LJ��J�L��LQ�KRPRJHQH�
RXV� UHJLRQV�� +RZHYHU�� WKH�PDLQ� IHDWXUH� RI
WKHVH�OLQHV�LV�WKH�02�FRQWUDVW�GLVDSSHDUDQFH
DIWHU� WKH� GRPDLQ� ZDOOV� DUH� PRYHG� WKHUH�
DORQJ� �)LJ���L��� 7KLV� IDFW� LQGLFDWHV� WKDW� D
ORFDO� PDJQHWL]DWLRQ� DORQJ� WKRVH� GLVORFDWLRQ
VOLS�SODQHV�LV�RULHQWHG�DZD\�IURP�WKH�XQLGL�
UHFWLRQDO� DQLVRWURS\� D[LV�� 0RUHRYHU�� WKH
PDJQHWL]DWLRQ�YHFWRU� LQ� WKH�FHQWHU�RI� WKHVH
GRPDLQV� LV� SHUSHQGLFXODU� WR� WKH� XQLGLUHF�
WLRQDO�DQLVRWURS\�D[LV�DORQJ�WKH�>���@�GLUHF�
WLRQ�� EHFDXVH� WKH� DQJOH� EHWZHHQ� WKLV� D[LV
DQG�HGJH�GLVORFDWLRQ�VOLS�SODQHV� LV�����DQG�
FRQVHTXHQWO\�� RQO\� LQ� WKLV� FDVH�0Q� LQ� ERWKWKH� KRPRJHQHRXV� UHJLRQV� DQG� WKH� GLVORFD�
WLRQ� GRPDLQV� VKRXOG� EH� WKH� VDPH�� L�H�� QR
PDJQHWLF�FKDUJHV�SURGXFLQJ�WKH�VWUD\�ILHOGV
+A�DUH�IRUPHG�)LJ���M� VKRZV� WKH�1L)H� VXUIDFH� VWHSV� UH�
YHDOHG� LQ� UHIOHFWHG� OLJKW� RQ� WKH� 1L2�1L)H
ELOD\HU� HSLWD[LDOO\� JURZQ� RQWR� 0J2� ������
7KRVH� DUH� IRUPHG� E\� WKH� LQWHUVHFWLRQ� RI
VFUHZ�GLVORFDWLRQ�VOLS�SODQHV�ZLWK�WKH�XSSHU
1L)H� VXUIDFH�� ,W� LV� VHHQ� �FRPSDULQJ� ZLWK
02,)� LPDJLQJ� LQ�)LJV���� DQG� ��� WKDW� WKHVH
VWHSV� SUDFWLFDOO\� GR� QRW� LQIOXHQFH� WKH
)0�$)0� ELOD\HUV� PDJQHWL]DWLRQ� UHYHUVDO�
)LJ�����,QWHQVLW\�RI�WKH�02�VLJQDOV�DORQJ�WKH
SKRWRPHWU\� OLQHV� GHOLQHDWHG� LQ� WKH� )LJ���M
DFURVV� WKH� ZKLWH� DQG� EODFN� GRPDLQ� ZDOOV� �,�
DQG� TXDVL�RQH�GLPHQVLRQDO� GRPDLQV� ORFDOL]HG
QHDU�SHUSHQGLFXODU��,,��DQG�SDUDOOHO��,,,��GLVOR�
FDWLRQ�VOLS�SODQHV�
9�6�*RUQDNRY�HW�DO����'RPDLQ�VWUXFWXUH�IRUPDWLRQ����
��� )XQFWLRQDO�PDWHULDOV�������������
7KXV�� LW� LV�FOHDU�WKDW�RQH�RI�WKH�VLJQLILFDQW
IHDWXUHV�RI�WKH�PDJQHWL]DWLRQ�UHYHUVDO�SURF�
HVV� LQ� WKH� ERWK�1L2�1L)H� ELOD\HU� W\SHV� LV� D
FRPSOH[� GRPDLQ� VWUXFWXUH� UHVXOWLQJ� IURP
WKH�VWURQJ�LQIOXHQFH�RI�HGJH�GLVORFDWLRQV�RQ
GRPDLQ� QXFOHDWLRQ� DQG� GRPDLQ� ERXQGDU\
PRWLRQ��,W�VKRXOG�EH�HPSKDVL]HG�WKDW�XQOLNH
WKH�VFUHZ�GLVORFDWLRQV��WKH�HGJH�RQHV�LQGXFH
LQKRPRJHQHRXV� LQWHUQDO� VWUHVVHV�� ,W� ZDV
VXSSRVHG� WKDW� WKH� LQGXFHG� LQKRPRJHQHRXV
PDJQHWLF� DQLVRWURS\� GXH� WR�PDJQHWR�HODVWLF
LQWHUDFWLRQV� SOD\V� DQ� LPSRUWDQW� UROH� LQ� WKH
ELOD\HU� UHPDJQHWL]DWLRQ�� +RZHYHU�� WKH� IUHH
1L)H� OD\HUV��JURZQ�RQ�0J2� ������ZLWKRXW�D
1L2�EXIIHU��ZLWK�D�VLPLODU�GLVORFDWLRQ�VWUXF�
WXUH�KDYH�VKRZQ�QR�VWURQJ�GLVORFDWLRQ�LQIOX�
HQFH�RQ�WKH�GRPDLQ�VWUXFWXUH��7KH�PDJQHWL�
]DWLRQ� UHYHUVDO� SURFHVV� SURFHHGV� E\� WKH
JURZWK� RI� GRPDLQV� RYHU� WKH� ZKROH� VDPSOH
GXH� WR� DQ� DOPRVW� ]HUR� PDJQHWRVWULFWLRQ� LQ
1L)H� >��@�� 6XFK� D� GLIIHUHQFH� EHWZHHQ� WKH
GRPDLQ�VWUXFWXUH�EHKDYLRU�LQ�WKH�IUHH�IHUUR�
PDJQHWLF� ILOP� DQG� WKDW� LQ� WKH� H[FKDQJH�EL�
DVHG� RQH� LQGLFDWHV� WKDW� GLVORFDWLRQV� LQ� WKH
1L)H�1L2� ELOD\HU� LQIOXHQFH� SULPDULO\� WKH
VSLQ� FRQILJXUDWLRQV� LQ� WKH� DQWLIHUURPDJ�
QHWLF� OD\HU�� $V� LW� ZDV� VKRZQ� LQ� >��@�� VRPH
ORFDO�IHUURPDJQHWLF�VWUXFWXUHV�QHDU�DQ�HGJH
GLVORFDWLRQ� LQ� DQWLIHUURPDJQHW� FDQ� EH
IRUPHG��DQG�WKLV�FDQ�DIIHFW�WKH�EHKDYLRU�RI
VSLQV� LQ� WKH� IHUURPDJQHWLF� OD\HU�GXH� WR�H[�
FKDQJH�FRXSOLQJ�DW�WKH�LQWHUIDFH�
���&RQFOXVLRQV
7KH�PDJQHWR�RSWLFDO� LQGLFDWRU� ILOP� WHFK�
QLTXH�KDV�EHHQ�XVHG�WR�LQYHVWLJDWH�LQ�GHWDLO
WKH� GLVORFDWLRQ� HIIHFW� RQ� WKH� PDJQHWLF� GR�
PDLQ� VWUXFWXUH� IRUPDWLRQ� DQG� HOHPHQWDU\
HYHQWV� RI� PDJQHWL]DWLRQ� UHYHUVDO� SURFHVVHV
LQ� HSLWD[LDO� H[FKDQJH� FRXSOHG�1L2�1L)H� EL�
OD\HUV�� :H� KDYH� UHYHDOHG� WKDW� WKH� GLVORFD�
WLRQV� LQGXFH�DQ� LQKRPRJHQHRXV�GLVWULEXWLRQ
RI� WKH� PDJQHWL]DWLRQ� YHFWRUV� LQ� WKH� )0
OD\HU�DORQJ�WKHLU�VOLS�SODQHV�DQG�DFWV�DV�QHZ
GRPDLQ� QXFOHDWLRQ� DQG�RU� GRPDLQ� ZDOO�PR�
WLRQ�SLQQLQJ�FHQWHUV�� ,W�ZDV� IRXQG�WKDW� WKH
PDJQHWL]DWLRQ� YHFWRU� RULHQWDWLRQV� LQ� GR�
PDLQV� ORFDOL]HG� QHDU� HGJH� GLVORFDWLRQV� GR
QRW� GHSHQG� RQ� WKH� D[HV� RULHQWDWLRQ� RI� WKH
LQGXFHG� XQLGLUHFWLRQDO� DQLVRWURS\� �>���@� RU
>���@��DQG�VSDWLDOO\�LQKRPRJHQHRXV�LQWHUQDO
VWUHVVHV��,W�ZDV�HVWDEOLVKHG�WKDW��GHVSLWH�DO�
PRVW� ]HUR� PDJQHWRVWULFWLRQ� RI� 1L)H�� WKH
HGJH�GLVORFDWLRQV�LQIOXHQFH�VLJQLILFDQWO\�WKH
GRPDLQ�VWUXFWXUHV� LQ� WKHVH�H[FKDQJH�ELDVHG
IHUURPDJQHWLF� ILOPV��2QH� FDQ� FRQFOXGH� WKDW
WKH� GLVWXUEHG� VSLQ� VWUXFWXUH� LQ� $)0� OD\HU
QHDU�HGJH�GLVORFDWLRQ�VOLS�SODQHV�GHILQHV�WKH
GLVWULEXWLRQ� DQG� EHKDYLRU� RI� VSLQV� LQ� WKH
DGMDFHQW�SDUW�RI�WKH�IHUURPDJQHWLF�OD\HU�GXH
WR� WKH� H[FKDQJH� FRXSOLQJ� DW� WKH� LQWHUIDFH�
7KHVH�UHVXOWV�DOORZ�WR�XQGHUVWDQG�EHWWHU�WKH
H[FKDQJH� ELDVLQJ� RI� D� IHUURPDJQHW� E\� LWV
LQWHUDFWLRQ�ZLWK�DQ�DQWLIHUURPDJQHW�DQG�WKH
UROH� RI� VXFK� FU\VWDO� GHIHFWV� DV� GLVORFDWLRQV
LQ� WKH� IRUPDWLRQ� RI� VSLQ� VWUXFWXUHV� LQ� )0
DQG�$)0�OD\HUV�DQG�WKHLU�LQWHUIDFHV�
7KLV�ZRUN�ZDV�VXSSRUWHG�E\�WKH�5XVVLDQ
)XQG� IRU� %DVLF� 5HVHDUFK� �*UDQW� 1R�������
�������� JUDQW� 1R�57,��������� RI� WKH� 5H�
)LJ�����0DJQHWLF�K\VWHUHVLV�ORRS��D��DQG�02,)
LPDJHV�RI�GRPDLQ�VWUXFWXUH�WDNHQ�GXULQJ�WKH
XQLGLUHFWLRQDO�D[LV�PDJQHWL]DWLRQ� UHYHUVDO� RI
D� >���@� 1L)H�1L2� ELOD\HU�� �E��L�� FRUUHVSRQG
WR� WKH� FRQGLWLRQV� LQGLFDWHG�E\� WKH� FLUFOHV� OD�
EHOHG� E\� WKH� VDPH� OHWWHUV� RQ� WKH� K\VWHUHVLV
ORRS�LQ��D���:KLWH�DUURZV�LQGLFDWH�ORFDO�PDJ�
QHWL]DWLRQ�GLUHFWLRQV� LQ�GRPDLQV�� �M�� LV�D�SLF�
WXUH� RI� VXUIDFH� VWHSV� DVVRFLDWHG� ZLWK� VFUHZ
GLVORFDWLRQ� VOLS� SODQHV� UHYHDOHG� LQ� UHIOHFWHG
OLJKW�DW�WKH�1L)H�VXUIDFH�
9�6�*RUQDNRY�HW�DO����'RPDLQ�VWUXFWXUH�IRUPDWLRQ����
)XQFWLRQDO�PDWHULDOV������������� ���
JLRQDO� ,QQRYDWLRQ�3URJUDP� RI� WKH�0LQLVWU\
RI� (FRQRP\� DQG� 6FLHQFH�� DQG� WKH� .RUHDQ
5HVHDUFK�)RXQGDWLRQ�*UDQW� IRXQGHG� E\� WKH
.RUHDQ� *RYHUQPHQW� �.5)����������
-�������
5HIHUHQFHV
� ���8OWUDWKLQ� 0DJQHWLF� 6WUXFWXUHV�� HG�� E\
-�$�&�%ODQG�DQG�%�+LHQULFK��6SULQJHU�9HUODJ�
%HUOLQ��������
� ���-�1RJXHV�� ,�.�6FKXOOHU�� -��0DJQ��0DJQ�
0DWHU�������������������
� ���$�(�%HUNRZLW]�� .�7DNDQR�� -��0DJQ��0DJQ�
0DWHU�������������������
� ���:�+�0HLNOHMRKQ�� &�3�%HDQ�� 3K\V��5HY��� ����
�������������3K\V��5HY�������������������
� ���'�0DXUL��+�&�6LHJPDQQ��3�6�%DJXV��(�.D\��-�
$SSO��3K\V�������������������
� ���$�3�0DOR]HPRII�� 3K\V��5HY��%�� ���� ����
��������-��$SSO��3K\V�������������������
� ���1�&�.RRQ��3K\V��5HY��/HWW�������������������
� ���9�,�1LNLWHQNR�� 9�6�*RUQDNRY�� /�0�'HGXNK� HW
DO���3K\V��5HY��%������������������
� ���<�-�7DQJ��%�5RRV��7�0HZHV�HW�DO���$SSO��3K\V�
/HWW������������������
����=�/L��6�=KDQJ��3K\V��5HY��%������5��������������
����-�9�.LP��5�/�6WDPSV��3K\V��5HY��%������������
�������
����8�1RZDN�� .�'�8VDGHO�� -�.HOOHU� HW� DO��� 3K\V�
5HY��%��������������������
����-�.HOOHU��3�0LOWHQ\L��%�%HVFKRWHQ�HW�DO���3K\V�
5HY��%��������������������
����5�0RUDOHV�� =�3�/L�� -�2ODPLW� HW� DO���3K\V��5HY�
/HWW����������������������
����0�3DNDOD�� <�+XDL�� *�$QGHUVRQ�� /�0LORVODY�
VN\��-��$SSO��3K\V�������������������
����0�5�)LW]VLPPRQV�� &�/HLJKWRQ�� -�1RJXHV� HW
DO���3K\V��5HY��%��������������������
����=�4LDQ��-�0�6LYHUWVHQ��-�+�-XG\��-��$SSO��3K\V��
����������������
����-�1RJXHV��7�-�0RUDQ��'�/HGHUPDQ�HW�DO���3K\V�
5HY��%������������������
����.�1DNDPXUD��$�-�)UHHPDQ��'�6�:DQJ�HW�DO��
3K\V��5HY��%��������������������
����7�-�0RUDQ��-�0�*DOOHJR��,�.�6FKXOOHU��-��$SSO�
3K\V�������������������
����0�5�)LW]VLPPRQV�� %�-�.LUE\�� 6�5R\� HW� DO��
3K\V��5HY��%��������������������
����.�7DNDQR��5�+�.RGDPD��$�(�%HUNRZLW]�HW�DO��
-��$SSO��3K\V�������������������
����$�6HHJHU��+�.URQPXOOHU��+�5LHJHU��+�7UDXEOH�
-��$SSO��3K\V������������������
����9�.�9ODVNR�9ODVRY�� /�0�'HGXNK�� 0�9�,QGHQ�
ERP��9�,�1LNLWHQNR��=K��(NVSHU��7HRU��)L]������
�����������
����5�3�0LFKHO�� $�&KDLNHQ�� <�.�.LP�� /�(�-RKQ�
VRQ��,(((�7UDQV��0DJQ�������������������
����9�,�1LNLWHQNR�� /�0�'HGXNK�� 3K\V��6WDW��6RO��D��
��������������
����9�6�*RUQDNRY��<X�3�.DEDQRY��9�,�1LNLWHQNR�HW�DO��
=K��(NVS��7HRU��)L]������������������
����9�6�*RUQDNRY��9�,�1LNLWHQNR��:�)�(JHOKRII�HW
DO���-��$SSO��3K\V�������������������
����7�0L\D]DNL��7�$OMLPD��)�6DWR��-��0DJQ��0DJQ�
0DWHU�����������������
����2�.�'XGNR�� $�6�.RYDOHY�� /RZ� 7HPS��3K\V��
���������������
nº¯ä�mÈÓÓ«��È�Ëmºã
�L«��ºäËÓÓº��°�¯�}��¯Òm�˹L�È}°LÈã ÓÒ²�ºäLÓÓº�ÏäL�ËÓÒ²�¹ãLm}Ȳ�1L)H�Ï��Ò°ãº}È�L®ÓÒäÒ�¹ãº�ÒÓÈäÒ�}ºmÏÈÓÓ«
{�v��º¯ÓÈ}ºm��{�,�sL}L�ËÓ}º�� ����L
~�ÏȰ�º°�mÈÓÓ«ä�äÈ�ÓL�ºº¹�Ò�Óº��LÓ�Ò}È�º¯Óº��¹ãLm}Ò��º°ãL�ÎËÓº�m¹ãÒm��Ò°ãº}È�L®
ÓÈ�Áº¯ä�mÈÓÓÓ«��ºäËÓÓº��°�¯�}��¯Ò��È�ËãËäËÓ�ȯÓÒ²�È}�Lm�¹¯º�˰��¹Ë¯ËäÈ�ÓL��mÈÓÓ«
�� �ºÓ}Ò²� ˹L�È}°LÈã ÓÒ²� ºäLÓÓº�ÏäL�ËÓÒ²� 1L)H� ����� c��1L2� ����� c�� �mº�ȯºmÒ²
¹ãLm}Ȳ�Ï�º¯L¼Ó�È�L¼
�º�ÓºÓȹ¯ÈmãËÓº��ÈÓLϺ�¯º¹L��mÏ�ºmÎ�>���@�Ⱥ�>���@��{°�ÈÓºmãËÓº�
�º�}¯È®ºmL��Ò°ãº}È�L��º�äºmã
� �Ó˺�Óº¯L�ÓË�¯ºÏ¹º�LãËÓÓ«�mË}�º¯Lm�ÓÈäÈ�ÓL�ËÓº°�L
mÏ�ºmÎ� �²ÓL²� ¹ãº�ÒÓ� }ºmÏÈÓÓ«�� iÒ°ãº}È�L®ÓL� ¹ãº�ÒÓÒ� }ºmÏÈÓÓ«� �L
� � «}� �ËÓ�¯Ò
Ïȯº�ÎËÓÓ«� ÓºmÒ²� �ºäËÓLm� �È� �ËÓ�¯Ò� ¹LÓLÓ��� �ã«� ¯�²�� �ºäËÓÓÒ²� °�LÓº}�� iÒ°ãº}È�L�
L��}�
� �°Òã Ó��ãº}Èã Ó��äÈ�ÓL�Ó��ÈÓLϺ�¯º¹L
�mÏ�ºmÎ�º�Óº�º�Ï�Óȹ¯«äLm�����!��«}È
ÓË�ÏÈãËÎÒ� �mL��º¯LËÓ�È�L��º�ÓºÓȹ¯ÈmãËÓºL�ÈÓLϺ�¯º¹L���ÓÈmË�ËÓº����¹¯º�˰L�º°È�ÎËÓÓ«
¹ãLmº}���m°L®�LÓ�L®��ËÏ�Ò°ãº}È�L®ÓL®���Ȱ�ÒÓL�}ºÎÓº�º�ϯÈÏ}È��r˯��Ò��º��mÈ�Ò��Ë���º
Á˯ºäÈ�ÓL�ÓL�¹ãLm}Ò�1L)H�äÈ
� �äÈ®ÎË�Ó�ã ºm��äÈ�ÓL�º°�¯Ò}�L
��ËÁË}�Ò���º�°¹º°�˯L�
�È
� °«��äºÎ�� ���Ò�º�äºmãËÓL�Óȹ¯��ÈäÒ�Ⱥ��È�Ó˰}ºä¹ËÓ°ºmÈÓÒäÒ�°¹LÓÈäÒ�¹ºãÒ�
Ï���Ò°ãº}È�L®�m�ÈÓ�ÒÁ˯ºäÈ�ÓL�Óºä���ȯL�
9�6�*RUQDNRY�HW�DO����'RPDLQ�VWUXFWXUH�IRUPDWLRQ����
��� )XQFWLRQDO�PDWHULDOV�������������
|