Architectural support for context-aware applications: from context models to services platforms

$5&+,7(&785$/ 6833257 )25 &217(;7$:$5( $33/,&$7,216

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²0RGXODU'HVLJQRI7DLORUDEOH*URXSZDUH   1.'LDNRY0RQLWRULQJ'LVWULEXWHG2EMHFWDQG&RPSRQHQW&RPPXQLFDWLRQ   &1&KRQJ([SHULPHQWVLQ5LJKWV&RQWURO([SUHVVLRQDQG(QIRUFPHQW   &+HVVHOPDQ'LVWULEXWLRQRI0XOWLPHGLD6WUHDPVWR0RELOH,QWHUQHW8VHUV   **XL]]DUGL2QWRORJLFDO)RXQGDWLRQVIRU6WUXFWXUDO&RQFHSWXDO0RGHOV

  0 YDQ 6HWWHQ6XSSRUWLQJ 3HRSOH LQ )LQGLQJ ,QIRUPDWLRQ +\EULG 5HFRPPHQGHU 6\VWHPV DQG

*RDO%DVHG6WUXFWXULQJ   5'LMNPDQ&RQVLVWHQF\LQ0XOWLYLHZSRLQW$UFKLWHFWXUDO'HVLJQ   -3$$OPHLGD0RGHO'ULYHQ'HVLJQRI'LVWULEXWHG$SSOLFDWLRQV   0&0%LHPDQV&RJQLWLRQLQ&RQWH[W7KHHIIHFWRILQIRUPDWLRQDQGFRPPXQLFDWLRQVXSSRUWRQ WDVNSHUIRUPDQFHRIGLVWULEXWHGSURIHVVLRQDOV   ()LHOW'HVLJQLQJIRU$FFHSWDQFH([FKDQJH'HVLJQIRU(OHFWURQLF,QWHUPHGLDULHV  

$UFKLWHFWXUDO6XSSRUWIRU

&RQWH[W$ZDUH$SSOLFDWLRQV

)URP&RQWH[W0RGHOVWR6HUYLFHV

3ODWIRUPV

3DWUtFLD'RFNKRUQ&RVWD      (QVFKHGH7KH1HWKHUODQGV &7,73K'7KHVLV6HULHV1R 7HOHPDWLFD,QVWLWXXW)XQGDPHQWDO5HVHDUFK6HULHV1R7,)56

&RYHU'HVLJQ 6WXGLR2XGH9ULHOLQN/RVVHUDQG-RV+HQGUL[*URQLQJHQ &RYHU3KRWR 3KRWRJUDSKE\/LDP'HODKXQW\ KWWSZZZOLDPGHODKXQW\FRP %HDWUL]0LOKD]HV3HDFHDQG/RYH *ORXFHVWHU5RDG7XEH6WDWLRQ'LVWULFWDQG&LUFOH/LQH 8QGHUJURXQG/RQGRQ %RRN'HVLJQ /LGZLHQYDQGH:LMQJDHUWDQG+HQULWHU+RIWH 3ULQWLQJ 8QLYHUVDO3UHVV9HHQHQGDDO7KH1HWKHUODQGV *UDGXDWLRQFRPPLWHH &KDLUPDQVHFUHWDU\ SURIGULU$-0RXWKDDQ8QLYHUVLW\RI7ZHQWH 3URPRWRU SURIGULU&$9LVVHUV8QLYHUVLW\RI7ZHQWH $VVLVWDQW3URPRWRUV GULU0-YDQ6LQGHUHQ8QLYHUVLW\RI7ZHQWH GU/)HUUHLUD3LUHV8QLYHUVLW\RI7ZHQWH 0HPEHUV SURIGU&$WNLQVRQ8QLYHUVLW\RI0DQQKHLP SURIGU73ODJHPDQQ8QLYHUVLW\RI2VOR SURIGULU6+HHPVWUDGH*URRW7HFKQLFDO8QLYHUVLW\RI'HOIW  SURIGULU0$NüLW8QLYHUVLW\RI7ZHQWH SURIGULU5:LHULQJD8QLYHUVLW\RI7ZHQWH  &7,73K'7KHVLV6HULHV1R ,6611R &HQWUHIRU7HOHPDWLFVDQG,QIRUPDWLRQ7HFKQRORJ\8QLYHUVLW\RI7ZHQWH 32%R[$((QVFKHGH7KH1HWKHUODQGV 7HOHPDWLFD,QVWLWXXW)XQGDPHQWDO5HVHDUFK6HULHV1R ,6611R ,6%1 7HOHPDWLFD,QVWLWXXW32%R[$1(QVFKHGH7KH1HWKHUODQGV &RS\ULJKW‹3DWUtFLD'RFNKRUQ&RVWD7KH1HWKHUODQGV $OOULJKWVUHVHUYHG6XEMHFWWRH[FHSWLRQVSURYLGHGIRUE\ODZQRSDUWRIWKLVSXEOLFDWLRQPD\EHUHSURGXFHGVWRUHG LQDUHWULHYDOV\VWHPRUWUDQVPLWWHGLQDQ\IRUPRUE\DQ\PHDQVHOHFWURQLFPHFKDQLFDOSKRWRFRS\LQJ UHFRUGLQJRURWKHUZLVHZLWKRXWWKHSULRUZULWWHQSHUPLVVLRQRIWKHFRS\ULJKWRZQHU1RSDUWRIWKLVSXEOLFDWLRQ PD\EHDGDSWHGLQZKROHRULQSDUWZLWKRXWWKHSULRUZULWWHQSHUPLVVLRQRIWKHDXWKRU

$5&+,7(&785$/6833257)25

&217(;7$:$5($33/,&$7,216

)520&217(;702'(/672

6(59,&(63/$7)2506

  352()6&+5,)7 WHUYHUNULMJLQJYDQ GHJUDDGYDQGRFWRUDDQGH8QLYHUVLWHLW7ZHQWH RSJH]DJYDQGHUHFWRUPDJQLILFXV SURIGU:+0=LMP YROJHQVEHVOXLWYDQKHW&ROOHJHYRRU3URPRWLHV LQKHWRSHQEDDUWHYHUGHGLJHQ RSZRHQVGDJGHFHPEHURPXXU GRRU 3DWUtFLD'RFNKRUQ&RVWD JHERUHQRSIHEUXDUL WH%HOR+RUL]RQWH0LQDV*HUDLV%UD]LOLs 

'LWSURHIVFKULIWLVJRHGJHNHXUGGRRU

SURIGULU&$9LVVHUVSURPRWRUGULU0-YDQ6LQGHUHQDVVLVWHQWSURPRWRUHQ GU/)HUUHLUD3LUHVDVVLVWHQWSURPRWRU



$EVWUDFW

&RQWH[WDZDUHQHVV KDV HPHUJHG DV DQ LPSRUWDQW DQG GHVLUDEOH IHDWXUH LQ XELTXLWRXVDSSOLFDWLRQV7KLVIHDWXUHGHDOVZLWKWKHDELOLW\RIDSSOLFDWLRQVWR XWLOL]HLQIRUPDWLRQDERXWWKHXVHU·VHQYLURQPHQWFRQWH[WLQRUGHUWRWDLORU VHUYLFHVWRWKHXVHU·VFXUUHQWVLWXDWLRQDQGQHHGV

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 FKDUDFWHUL]H WKH DSSOLFDWLRQ·V XQLYHUVH RI GLVFRXUVH WR LL VXSSRUW FRPPRQ XQGHUVWDQGLQJ SUREOHPVROYLQJ DQG FRPPXQLFDWLRQ DPRQJ WKH YDULRXV VWDNHKROGHUV LQYROYHG LQ DSSOLFDWLRQ GHYHORSPHQW DQG WR LLL UHSUHVHQWFRQWH[WXQDPELJXRXVO\,QRUGHUWRFRSHZLWKFRQWH[WPRGHOOLQJ UHTXLUHPHQWVZHGHILQHDVHWRIFRQWH[WPRGHOOLQJDEVWUDFWLRQVZKLFKDUH EDVHG RQ FRQFHSWXDO PRGHOOLQJ WKHRULHV DQG DUH VXSSRUWHG E\ GHYHORSPHQWVLQIRXQGDWLRQDORQWRORJLHV

&RQWH[WDZDUHDSSOLFDWLRQVXVHDQGPDQLSXODWHFRQWH[WLQIRUPDWLRQWR GHWHFWKLJKOHYHOVLWXDWLRQVZKLFKDUHXVHGWRDGDSWDSSOLFDWLRQEHKDYLRXUV :HSURSRVHDPRGHOGULYHQDSSURDFKIRUWKHVSHFLILFDWLRQRIVLWXDWLRQVLQ FRQWH[WDZDUH DSSOLFDWLRQV DQG LQWURGXFH D UXOHEDVHG DSSURDFK WR LPSOHPHQW VLWXDWLRQ GHWHFWLRQ ,Q RXU DSSURDFK VLWXDWLRQV DUH VSHFLILHG XVLQJ D FRPELQDWLRQ RI 80/ FODVV GLDJUDPV DQG 2&/ FRQVWUDLQWV :H

9,,,  $%675$&7



VXSSRUWDZLGHUDQJHRIVLWXDWLRQW\SHVZKLFKFDQEHFRPSRVHGRIPRUH HOHPHQWDU\ NLQGV RI FRQWH[W W\SHV :H GLVFXVV KRZ WR FRSH ZLWK GLVWULEXWLRQ DQG WR H[SORLW LW EHQHILFLDOO\ IRU FRQWH[W PDQLSXODWLRQ DQG VLWXDWLRQ GHWHFWLRQ :H HPSOR\ D JHQHULF UXOHEDVHG SODWIRUP WR VXSSRUW WKHGHULYDWLRQRIVLWXDWLRQVLQDGLVWULEXWHGIDVKLRQ

)LQDOO\ ZH SURYLGH D PHFKDQLVP WKDW IDFLOLWDWHV WKH G\QDPLF FRQILJXUDWLRQ DQG H[HFXWLRQ RI SDUWLFXODU DSSOLFDWLRQ EHKDYLRXUV ZLWK WKH FRQWH[WKDQGOLQJSODWIRUPDWSODWIRUPUXQWLPH7KLVPHFKDQLVPLVEDVHG RQ D PRELOH UXOH HQJLQH WKDW DXWRQRPRXVO\ JDWKHUV FRQWH[W DQG VLWXDWLRQ YDOXHVIURPGLVWULEXWHGFRQWH[WSURFHVVLQJFRPSRQHQWV7KLVHQJLQHDFFHSWV DSSOLFDWLRQ EHKDYLRXUV ZULWWHQ LQ (&$'/ ZKLFK LV D GRPDLQVSHFLILF ODQJXDJHGHYHORSHGE\XVIRUWKHSXUSRVHRIHIIHFWLYHO\VSHFLI\LQJFRQWH[W DZDUHUHDFWLYHEHKDYLRXUV



$FNQRZOHGJHPHQWV

, ZRXOG OLNH WR H[SUHVV P\ JUDWLWXGH WR DOO WKRVH ZKR KDYH KHOSHG PH WKURXJKRXWWKH3K'WUDMHFWRU\

, VWDUW E\ WKDQNLQJ P\ SURPRWHU &KULV 9LVVHUV IRU KLV LPSHFFDEOH VXSHUYLVLRQKHOSIXOLQVLJKWVDQGJUHDWZLVGRP,DOVRZRXOGOLNHWRWKDQN /XtV )HUUHLUD 3LUHV DQG 0DUWHQ YDQ 6LQGHUHQ ZKR KDYH EHHQ P\ GDLO\ VXSHUYLVRUVVLQFHILUVWIRUWKHPDVWHU·VWKHQIRUWKH3K',QWKHVH SDVW \HDUV /XtV DQG 0DUWHQ KDYH WDXJKW PH VR PXFK 7KH\ KDYH EHHQ D FRQVWDQWLQVSLUDWLRQWRPHIRUWKHLUGLVFLSOLQHSHUVHYHUDQFHDQGGHGLFDWLRQ WRVFLHQFHDQGHGXFDWLRQ,WKDQNWKHPIRUEHFRPLQJWKHUHVHDUFKHU,DP WRGD\,KRSHZHFRQWLQXHZRUNLQJWRJHWKHUIRUDORQJWLPHZHDUHDJUHDW WHDP

,·P KRQRXUHG WR KDYH SURIGU & $WNLQVRQ SURIGU 7 3ODJHPDQQ SURIGULU 6 +HHPVWUD GH *URRW SURIGULU 0 $NüLW DQG SURIGULU 5 :LHULQJDDVPHPEHUVRIP\3K'FRPPLWWHH,WKDQNHDFKRQHRIWKHPIRU DFFHSWLQJWKHLQYLWDWLRQ

,KDYHFROODERUDWHGZLWK*LDQFDUOR*XL]]DUGLDQG5LFDUGR1HLVVHLQWZR FKDSWHUVRIWKLVWKHVLVQDPHO\WKH&RQWH[W0RGHOOLQJDQGWKH&DVH6WXG\ FKDSWHUV UHVSHFWLYHO\ *LDQFDUOR DQG 5LFDUGR DUH LPSUHVVLYH UHVHDUFKHUV DQG,·PJODGZHKDYHZRUNHGWRJHWKHU7KLVWKHVLVZRXOGQRWEHWKHVDPH ZLWKRXWWKHLUFROODERUDWLRQ,WKDQNWKHPIRUWKDW,QDGGLWLRQGXULQJWKH 3K',KDYHZRUNHGZLWK/DXUD'DQLHOHDQG1LHNR0DDWMHVZKRVHPDVWHU·V WKHVHV KDYH FRQWULEXWHG WR P\ ZRUN ,·P JUDWHIXO WR KDYH KDG WKHP DV VWXGHQWV ,·P DOVR JUDWHIXO WR P\ $:$5(1(66 FROOHDJXHV ZLWK ZKLFK , KDYH FRRSHUDWHG WKURXJKRXW WKRVH \HDUV )LQDOO\ , ZRXOG OLNH WR WKDQN 5RGULJR0DQWRYDQHOLIRUKLVDPD]LQJSKRWRVKRSZRUNZLWKWKHFRYHURIWKLV ERRN

/LYLQJ DEURDG IDU IURP IDPLO\ DQG LQ D GLIIHUHQW VRPHWLPHV FODVKLQJ FXOWXUH FDQ EH GLIILFXOW ,·P WKDQNIXO WR DOO P\ IULHQGV IRU KHOSLQJ PH WR RYHUFRPHWKRVHGLIILFXOWLHVDQGIRUPDNLQJP\OLIHLQWKH1HWKHUODQGVVR MR\IXO,QWKLVUHVSHFW,ZRXOGOLNHWRHVSHFLDOO\PHQWLRQVRPHRIWKHROG

;  $&.12:/('*(0(176



DQGQHZ0DFDQGULDQIULHQGV'LDQD0DDUWHQ$UMDQ0DDUWMH5RQDOG$OHNV 6DQGHU$]LWD)HPNH,YR/DXUD'LPLWUL'DQDK.DVLD/LJD6KD:DKH 6DUDKDQGVRPDQ\RWKHUVWKHH[WHQGHG%UD]LOLDQIDPLO\5LFDUGR7LDJR 5RGULJR *LDQFDUOR 5HQDWD -RVp *RQoDOYHV /XL] 2ODYR /XFLDQD 3DEOR )OiYLD6KDURQ/LD-DTXHOLQH,VPrQLDWKHPHPEHUVRIWKH$61$JURXS 'LFN0DDUWHQ:HJGDP7RP/DXUD$QQHOLHV0DUORHV&ULVWLDQ7]RORY $DUW (GXDUGR 5HPFR 'LMNPDQ 5HPFR YDQ GH 0HHQW 3UDYLQ .DPUDQ +DLOLDQJ7HGXKDQGVRPDQ\RWKHULQWHUHVWLQJSHRSOH,PHWDORQJWKHZD\ $JXQJ 6XVDQ 'LHJR 6RQLD (OIL $QGUHZ 0DUWLQH 0DULD 6RULQ 2OJD 0DDUWHQ6WHHQ6WDQLVODY9DQLD5LHPHU9DOHULH3HWHUHWF

, ZRXOG OLNH WR WKDQN P\ FROOHDJXHV DW WKH &RPSXWHU 6FLHQFH 'HSDUWPHQWRIWKH)HGHUDO8QLYHUVLW\RI(VStULWR6DQWRIRUPDNLQJPHIHHO SDUW RI WKH WHDP VR TXLFNO\ ,·P ORRNLQJ IRUZDUG WR ZRUNLQJ ZLWK DOO RI WKHP

1RQHRIWKLVZRXOGEHSRVVLEOHZLWKRXWWKHVXSSRUWRIP\GHDUIDPLO\ EDFN LQ 0XTXL P\ KRPHWRZQ $JDLQVW DOO WKH RGGV P\ SDUHQWV &DUORV $OEHUWRDQG0DULDGR&DUPRPDQDJHGWRSURYLGHPHP\VLVWHU)HUQDQGD DQGP\EURWKHU3HGUR+HQULTXHZLWKWKHEHVWHGXFDWLRQRQHFDQJHW7KH\ KDYHP\SURIRXQGORYHDQGJUHDWUHVSHFWIRUDOOWKH\KDYHDFKLHYHG,WKDQN P\IDPLO\IRUHYHU\WKLQJDQGIRUDOZD\VEHLQJWKHUHIRUPH

)LQDOO\ , ZRXOG OLNH WR WKDQN P\ KXVEDQG -RmR 3DXOR IRU WKH PRVW DPD]LQJ \HDUV XQGHU WKH ORZ VN\ , WKDQN KLP IRU WKH HQGOHVV WHFKQLFDO GLVFXVVLRQVDWKRPHIRUKLVXQFRQGLWLRQDOVXSSRUWDQGIRUDOZD\VEHOLHYLQJ LQPH7RKLP,GHGLFDWHQRWRQO\WKLVERRNEXWDOVRP\KHDUW   3DWUtFLD'RFNKRUQ&RVWD 9LWyULD2FWREHU 



&RQWHQWV

&+$37(5 ,QWURGXFWLRQ   %DFNJURXQG   0RWLYDWLRQ   5HODWHG:RUN   2EMHFWLYHV   $SSURDFK   6FRSHDQG1RQ2EMHFWLYHV   6WUXFWXUH  &+$37(5 *HQHUDO&RQFHSWV   &RQWH[W   &RQWH[W$ZDUH$SSOLFDWLRQV   6HUYLFH2ULHQWHG$UFKLWHFWXUHV   &RQWH[W$ZDUH6HUYLFH2ULHQWHG3ODWIRUPV  &+$37(5 6WDWHRIWKH$UW   &RQWH[W0RGHOOLQJ   0LGGOHZDUHDQG3ODWIRUPV   $SSOLFDWLRQV  &+$37(5 $UFKLWHFWXUDO3DWWHUQVDQGWKH&RQWH[W+DQGOLQJ3ODWIRUP   &RQWH[W$ZDUH3DWWHUQV   (YHQW&RQWURO$FWLRQ(&$3DWWHUQ   &RQWH[W6RXUFHVDQG0DQDJHUV+LHUDUFK\3DWWHUQ   $FWLRQV3DWWHUQ   7KH&RQWH[W+DQGOLQJ3ODWIRUP   3ODWIRUP6HUYLFHV   3ODWIRUP6WDNHKROGHUV   'LVFXVVLRQ 

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

 &217(176 ;,,,

 5HIHUHQFHV 

 5HVXPR 

 3XEOLFDWLRQVE\WKH$XWKRU 



&KDSWHU





 ,QWURGXFWLRQ

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

7KLVFKDSWHULVRUJDQL]HGDVIROORZVVHFWLRQGLVFXVVHVEDFNJURXQG LQIRUPDWLRQVHFWLRQPRWLYDWHVWKHZRUNSURSRVHGLQWKLVWKHVLVVHFWLRQ  GLVFXVVHV UHODWHG ZRUN VHFWLRQ  RXWOLQHV WKH PDLQ UHVHDUFK REMHFWLYHV VHFWLRQ  SUHVHQWV WKH DSSURDFK DGRSWHG LQ WKH UHVHDUFK VHFWLRQ  HODERUDWHV RQ WKH VFRSH RI WKLV WKHVLV DQG ILQDOO\ VHFWLRQ  SUHVHQWVWKHVWUXFWXUHRIWKHWKHVLV

 %DFNJURXQG

2YHU WKH ODVW \HDUV ZH KDYH VHHQ DQ XQSUHFHGHQWHG DGRSWLRQ RI WKH ,QWHUQHW FRPPXQLFDWLRQ DQG FRPSXWLQJ WHFKQRORJLHV HYHU\ZKHUH LQ VRFLHW\ ,Q SDUDOOHO DGYDQFHV LQ PRELOH FRPSXWLQJ XELTXLWRXV GHYLFHV VRIWZDUH HQJLQHHULQJ ZLUHOHVV DQG VHQVRU WHFKQRORJLHV RIIHU WKH RSSRUWXQLW\ WR LQWURGXFH PRUH VRSKLVWLFDWHG DQG XVHUIULHQGO\ VHUYLFHV >@ 1HWZRUNHG FRPSXWLQJ GHYLFHV JHWWLQJ LQFUHDVLQJO\ VPDOOHU DQG FRPELQHG ZLWK YDULRXV VHQVLQJ WHFKQRORJLHV DUH EHLQJ XVHG WR PDNH SK\VLFDO HQYLURQPHQWV ´LQWHOOLJHQWµ (QDEOHG E\ WKHVH GHYHORSPHQWV

 &+$37(5 ,1752'8&7,21



FRPSXWDWLRQLVLQFUHDVLQJO\HPEHGGHGLQRXUVRFLDODFWLYLWLHVDQGSK\VLFDO HQYLURQPHQWV>@

6HYHUDOILHOGVRIUHVHDUFKKDYHEHHQFRPELQHGWRUHDOL]HWKHVHDGYDQFHV VXFK DV XELTXLWRXV FRPSXWLQJ RIWHQ FDOOHG SHUYDVLYH FRPSXWLQJ LQ FRPELQDWLRQ ZLWK PRELOH DQG GLVWULEXWHG FRPSXWLQJ VHQVRU QHWZRUNV ZHDUDEOH FRPSXWLQJ DQG KXPDQFRPSXWHU LQWHUDFWLRQ 7KH IROORZLQJ SDUDJUDSKVEULHIO\LQWURGXFHVRPHRIWKHVHDUHDVRIUHVHDUFK>@

± 8ELTXLWRXVFRPSXWLQJRUSHUYDVLYHFRPSXWLQJVXSSRUWVWKHYLVLRQLQ

ZKLFKFRPSXWLQJLVWUDQVSDUHQWO\LQWHJUDWHGLQWRRXUOLYLQJHQYLURQPHQW DQG GDLO\ OLYHV (YHU\GD\ REMHFWV DUH HPSRZHUHG ZLWK FRPSXWDWLRQDO FDSDELOLWLHVLQRUGHUWRHQDEOHXVHUVWRLQWHUDFWZLWKFRPSXWLQJGHYLFHV PRUH QDWXUDOO\ DQG FDVXDOO\ WKDQ ZH FXUUHQWO\ GR ZLWK GHVNWRS FRPSXWHUV>@6HYHUDOUHVHDUFKWRSLFVFROODERUDWHWRUHDOL]HWKH XELTXLWRXV FRPSXWLQJ YLVLRQ LQFOXGLQJ PRELOH FRPSXWLQJ GLVWULEXWHG FRPSXWLQJ VHQVRU QHWZRUNV VHUYLFHRULHQWHG FRPSXWLQJ DQG DUWLILFLDO LQWHOOLJHQFH

± 'LVWULEXWHG FRPSXWLQJ LV FRQFHUQHG ZLWK WKH FRRUGLQDWHG XVH RI

SK\VLFDOO\ GLVWULEXWHG FRPSXWHUV DQG DSSOLFDWLRQV ,W FRQVLGHUV LVVXHV VXFKDVFRPPXQLFDWLRQWUDQVSDUHQF\GDWDFRQVLVWHQF\DQGFRQFXUUHQF\ V\VWHPVFDODELOLW\DV\QFKURQ\DQGKHWHURJHQHLW\ ± 0RELOHFRPSXWLQJUHIHUVWRWKHFDSDELOLW\RIHPEHGGLQJFRPSXWDWLRQDO SRZHULQSRUWDEOHDQGPRELOHFRPSXWHUVDQGFRPPXQLFDWLRQGHYLFHV,W UHOLHVRQWKHXVHRIZLUHOHVVWHFKQRORJLHVVXFKDV:L)L*60DQG*356 WRHQDEOHZLUHOHVVFRPPXQLFDWLRQDPRQJGHYLFHV ± 6HQVRUQHWZRUNVUHIHUWRQHWZRUNVRIPDQ\SK\VLFDOO\GLVWULEXWHGVHQVRU GHYLFHVZKLFKPRQLWRUHQYLURQPHQWDOFRQGLWLRQVVXFKDVWHPSHUDWXUH KXPLGLW\DQGSROOXWLRQ7KLVUHVHDUFKILHOGLVFRQFHUQHGZLWKKRZWKHVH GHYLFHV VKRXOG FRSH ZLWK VHYHUH OLPLWDWLRQV RQ EDWWHU\ SRZHU FRPSXWDWLRQDOFDSDELOLWLHVEDQGZLGWKDQGPHPRU\

± :HDUDEOH FRPSXWLQJ UHIHUV WR D ILHOG RI UHVHDUFK LQ ZKLFK VPDOO

SRUWDEOH FRPSXWHUVDUH GHVLJQHG WR EH ZRUQ RQ WKH ERG\ GXULQJXVH 7KLVWRSLFHQFRPSDVVHVYDULRXVOLQHVRIUHVHDUFKVXFKDVXVHULQWHUIDFH GHVLJQ SDWWHUQ UHFRJQLWLRQ XVH RI ZHDUDEOHV E\ GLVDEOHG SHRSOH HOHFWURQLFWH[WLOHVDQGIDVKLRQGHVLJQ

8QWLO UHFHQWO\ FRPSXWDWLRQ ZDV OLPLWHG WR DQ LQWHUDFWLRQ VW\OH LQ ZKLFK XVHUV SURYLGH WR D GHVNWRS FRPSXWHU DOO WKH UHTXLUHG LQSXW WR SHUIRUP SDUWLFXODUWDVNV1RZDGD\VFRPSXWDWLRQLVHYROYLQJWRDQLQWHUDFWLRQVW\OH LQZKLFKH[SOLFLWXVHULQWHUYHQWLRQLVJUDGXDOO\OHVVUHTXLUHG([SOLFLWXVHU LQSXWVDUHEHLQJSURJUHVVLYHO\UHSODFHGE\FRQGLWLRQVGHWHFWHGE\VHQVRUV GHYLFHVDQGFRPSXWHUVGLVWULEXWHGRYHUWKHHQYLURQPHQW

7HFKQRORJLFDO DGYDQFHV LQ WKH DUHDV PHQWLRQHG DERYH VXSSRUW RU HQDEOHWKHVKLIWRIFRPSXWLQJIURPWKHGHVNWRSSDUDGLJPLQWRDSDUDGLJP LQZKLFKFRPSXWLQJLVLPPHUVHGLQWKHG\QDPLFZRUOGZKHUHZHOLYHDQG

 027,9$7,21 

DFW>@7KLVSDUDGLJPVKLIWSRVHVPDQ\FKDOOHQJHVPDLQO\UHODWHGWRZKRP KRZZKHQDQGZKHUHWRGHOLYHUVHUYLFHVLQWKHP\ULDGRIVLWXDWLRQVWKDWFDQEH HQFRXQWHUHGLQWKHUHDOZRUOGZKLFKLVWKHHYHUFKDQJLQJFRQWH[WRIXVH,Q WKLVYLHZFDSWXULQJDQGPRQLWRULQJWKHFRQWH[WLQZKLFKVHUYLFHVVKRXOGEH GHOLYHUHG DQG DGDSWLQJ VHUYLFHV DFFRUGLQJ WR WKH FRQWH[W DQG XVHUV· SUHIHUHQFHVDUHHVVHQWLDOUHTXLUHPHQWV



,Q WKLV WKHVLV ZH DUH SDUWLFXODUO\ LQWHUHVWHG LQ DSSOLFDWLRQV WKDW DUH FDSDEOH RI DXWRQRPRXVO\ DGDSWLQJ WKHLU EHKDYLRXU LQ UHVSRQVH WR FRQWH[W FKDQJHV 7KHVH DSSOLFDWLRQV DUH FDOOHG FRQWH[WDZDUH DSSOLFDWLRQV &XUUHQWO\ PDQ\ DSSOLFDWLRQV DUH DOUHDG\ FDSDEOH RI XVLQJ ORFDWLRQ DV D FRQWH[W SDUDPHWHUIRUVHUYLFHDGDSWDWLRQEXWDQLQFUHDVLQJQXPEHURIRSSRUWXQLWLHV DUH DSSHDULQJ WR HQULFK WKH XVHUV· FRQWH[W VXFK DV WKH XVHUV· FXUUHQW DFWLYLWLHVDQGPHGLFDOFRQGLWLRQV

:HGHILQHFRQWH[WDVWKHVHWRISRVVLEO\LQWHUUHODWHGFRQGLWLRQVLQZKLFKDQ HQWLW\H[LVWV>@7KLVGHILQLWLRQUHYHDOVWKDWFRQWH[WLVRQO\PHDQLQJIXOZLWK UHVSHFWWRDWKLQJWKDW´H[LVWVµFDOOHGDQHQWLW\7KHSURFHVVRILGHQWLI\LQJ UHOHYDQW FRQWH[W FRQVLVWV RI GHWHUPLQLQJ WKH FLUFXPVWDQFHV ´UHODWHG FRQGLWLRQVµ RI DQ HQWLW\ RU HQWLWLHV WKDW DUH UHOHYDQW IRU WKH VHUYLFH SURYLVLRQLQJ

 0RWLYDWLRQ

7KHIROORZLQJWHOHPRQLWRULQJVFHQDULR>@LOOXVWUDWHVWKHSRWHQWLDOEHQHILWV RIFRQWH[WDZDUHQHVVLQWKHPHGLFDOGRPDLQ ´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µ

&RQWH[WDZDUH DSSOLFDWLRQV GLIIHU IURP WUDGLWLRQDO DSSOLFDWLRQV VLQFH WKH\XVHVHQVHGLQIRUPDWLRQWRDGDSWWKHVHUYLFHSURYLVLRQLQJWRWKHFXUUHQW FRQWH[WRIWKHXVHU,QRUGHUWRDFKLHYHWKDWFRQWH[WDZDUHDSSOLFDWLRQVLQ JHQHUDOVKRXOGEHFDSDEOHRI

 &+$37(5 ,1752'8&7,21



± 6HQVLQJFRQWH[WIURPWKHHQYLURQPHQW7KHWHOHPRQLWRULQJDSSOLFDWLRQIRU

H[DPSOHVKRXOGEHFDSDEOHRIVHQVLQJ0U-DQVVHQ·VSK\VLFDOFRQGLWLRQV VXFK DV KHDUW UDWH DV ZHOO DV VHQVLQJ KLV FXUUHQW ORFDWLRQ DQG WKH ORFDWLRQRIUHODWLYHVDQGKHDOWKFDUHSURIHVVLRQDOV

± 2EVHUYLQJFROOHFWLQJDQGFRPSRVLQJFRQWH[WLQIRUPDWLRQIURPYDULRXVVHQVRUV,Q

WKH WHOHPRQLWRULQJ VFHQDULR IRU H[DPSOH WKH DSSOLFDWLRQ VKRXOG EH FDSDEOH RI REVHUYLQJ 0U -DQVVHQ·V KHDUW UDWH YDULDWLRQV DQG LQIHUULQJ ZKHWKHUKHLVKDYLQJDQHSLOHSWLFVHL]XUH)XUWKHUPRUHWKHV\VWHPPD\ FROOHFWORFDWLRQLQIRUPDWLRQIURPYDULRXVVHQVRUVWRGHWHFWWKHFORVHVW KHDOWKFDUHSURIHVVLRQDOVDQGUHODWLYHV

± $XWRQRPRXVO\GHWHFWLQJUHOHYDQWFKDQJHVLQWKHFRQWH[W7KH WHOHPRQLWRULQJ

DSSOLFDWLRQ VKRXOG DXWRQRPRXVO\ GHWHFW WKH RFFXUHQFH RI DQ HSLOHSWLF DODUP

± 5HDFWLQJ WR WKHVH FKDQJHV E\ HLWKHU DGDSWLQJ WKHLU EHKDYLRXU RU E\ LQYRNLQJ FRPSRVLWLRQ RI VHUYLFHV 8SRQ D VHL]XUH DODUP WKH WHOHPRQLWRULQJ DSSOLFDWLRQ VKRXOG LQYRNH VHUYLFHV WR FRQWDFW WKH FORVHVW DYDLODEOH KHDOWKFDUHSURIHVVLRQDOVDQGUHODWLYHVDQG

± ,QWHURSHUDWLQJZLWKWKLUGSDUW\VHUYLFHSURYLGHUV/RFDWLRQDQGHSLOHSWLFVHL]XUH

DODUPV PD\ EH FRQWH[W LQIRUPDWLRQ RIIHUHG E\ VHUYLFHV GHVLJQHG DQG LPSOHPHQWHGE\WKLUGSDUW\VWDNHKROGHUV,QDGGLWLRQVHUYLFHVXVHGWR FRQWDFW 0U -DQVVHQ·V UHODWLYHV DQG KHDOWKFDUH SURIHVVLRQDOV DUH PRVW SUREDEO\RIIHUHGE\WKLUGSDUW\WHOHFRPPXQLFDWLRQSURYLGHUV

7KHVHDQGRWKHUFKDUDFWHULVWLFVSRVHPDQ\FKDOOHQJHVWRWKHGHYHORSPHQWRI FRQWH[WDZDUHDSSOLFDWLRQVVXFKDV

 6XSSRUW IRU FRQWH[W PRGHOOLQJ DEVWUDFWLRQV WKDW DUH DSSURSULDWH WR SURPRWHFRPPRQXQGHUVWDQGLQJSUREOHPVROYLQJDQGFRPPXQLFDWLRQ DPRQJ WKH YDULRXV VWDNHKROGHUV LQYROYHG LQ DSSOLFDWLRQ GHYHORSPHQW >@  %ULGJLQJWKHJDSEHWZHHQLQIRUPDWLRQVHQVHGIURPWKHHQYLURQPHQWDQG LQIRUPDWLRQWKDWLVDFWXDOO\V\QWDFWLFDOO\DQGVHPDQWLFDOO\PHDQLQJIXOWR WKHDSSOLFDWLRQV  *DWKHULQJDQGSURFHVVLQJFRQWH[WLQIRUPDWLRQIURPGLVWULEXWHGFRQWH[W VHUYLFHV  '\QDPLFDOO\DGDSWLQJDSSOLFDWLRQEHKDYLRXUUHDFWLYHO\DQGSURDFWLYHO\ DQG  7DLORULQJVHUYLFHGHOLYHU\DVQHHGHGE\WKHXVHUDQGKLVFRQWH[W

7KHVH FKDOOHQJHV UHTXLUH SURSHU DEVWUDFWLRQV DQG PHWKRGRORJLHV WKDW IDFLOLWDWH WKH GHYHORSPHQW SURFHVV RI FRQWH[WDZDUH DSSOLFDWLRQV ,Q WKH SDUWLFXODU FDVH RI ODUJHVFDOH FRQWH[WDZDUH DSSOLFDWLRQV WKH IROORZLQJ DVSHFWVKDYHVRIDUEHHQSDUWLDOO\QHJOHFWHGLQWKHOLWHUDWXUH

± $VDSSOLFDWLRQVEHFRPHPRUHFRPSOH[DQGLQWHUFRQQHFWHGWKHUHLVDQ

LQFUHDVLQJ QHHG IRU DEVWUDFW FRQWH[W PRGHOOLQJ WHFKQLTXHV WR IDFLOLWDWH WKH VSHFLILFDWLRQ RI FRQWH[W PRGHOV WKDW DUH FOHDUHU DQG HDVLHU WR

 5(/$7(':25. 

XQGHUVWDQG:KDWDUHWKHIXQGDPHQWDOFRQFHSWVWKDWFDQEHEHQHILFLDOO\ XVHGLQFRQWH[WPRGHOOLQJ"

± ,QIRUPDWLRQIURPVHYHUDOSK\VLFDOO\GLVWULEXWHGFRQWH[WVHUYLFHVPD\EH

DJJUHJDWHG DQG LQWHUSUHWHG WR \LHOG QHZO\ SURGXFHG FRQWH[W LQIRUPDWLRQ DW DSSOLFDWLRQ UXQWLPH +RZ WR DGGUHVV UXQWLPH FRQWH[W LQIRUPDWLRQDJJUHJDWLRQDQGLQWHUSUHWDWLRQ"

± ,Q D XELTXLWRXV FRPSXWLQJ ZRUOG ZKHUH WKH HQYLURQPHQW LV HTXLSSHG

ZLWKDOONLQGVRIVHQVRUVDSSOLFDWLRQVPD\SURILWIURPFRQWH[WVHUYLFHV WKDWDUHXQNQRZQWRWKHDSSOLFDWLRQEHIRUHKDQG+RZWRDGGUHVVDGKRF QHWZRUNLQJRIFRQWH[WVHUYLFHV"

 5HODWHG:RUN

0XFKHIIRUWKDVEHHQVSHQWWRWDFNOHWKHFKDOOHQJHVPHQWLRQHGHDUOLHU7KH ZRUN SUHVHQWHG LQ > @ IRU H[DPSOH LQWURGXFHV D FRQFHSWXDO IUDPHZRUN DQG DQ LQIUDVWUXFWXUH IRU FRQWH[WDZDUH FRPSXWLQJ SDUWLDOO\ DGGUHVVLQJ FKDOOHQJHV   DQG  7KH EDVLV RI WKLV ZRUN LV D IRUPDO JUDSKLFDOFRQWH[WPRGHOOLQJWHFKQLTXHFDOOHG&0/WKH&RQWH[W0RGHOOLQJ /DQJXDJH&0/H[WHQGV2EMHFW5ROH0RGHOOLQJ250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 7KLV DUFKLWHFWXUH DLPV DW DGGUHVVLQJ FRQWH[WUHSUHVHQWDWLRQVKDULQJUHDVRQLQJDQGSULYDF\DVSHFWVE\PHDQVRI DQLQWHOOLJHQWDJHQWFDOOHGFRQWH[WEURNHU7KHZRUNLVEDVHGRQVHPDQWLF ZHEWHFKQRORJLHVVXFKDV2:/DQG5')DQGLWDGGUHVVHVWRVRPHH[WHQW FKDOOHQJHVDQG

7KHFRQWH[WWRRONLWSUHVHQWHGLQ>@SURYLGHVDVHWRIDEVWUDFWLRQVWKDW FDQ EH XVHG WR LPSOHPHQW UHXVDEOH FRPSRQHQWV IRU FRQWH[W VHQVLQJ DQG LQWHUSUHWDWLRQ SDUWLDOO\ WDFNOLQJ FKDOOHQJH  7KLV ZRUN KDV SLRQHHUHG LQ SURSRVLQJ JHQHULF VXSSRUW IRU FRQWH[WDZDUH DSSOLFDWLRQ GHYHORSPHQW E\ PHDQVRIDFRQFHSWXDOIUDPHZRUN6LQFHLWKDVEHHQSUHVHQWHGLQWKHHDUO\ VWDJHV RI FRQWH[WDZDUH FRPSXWLQJ VHYHUDO LVVXHV ODWHU LGHQWLILHG VXFK DV WKHQHHGIRUSURSHUFRQWH[WPRGHOLQJDEVWUDFWLRQDQGDGDSWDWLRQVXSSRUW ZHUHQRWFRQVLGHUHGLQ>@

$OWKRXJK PXFK ZRUN KDV EHHQ SURSRVHG WR DGGUHVV VRPH RI WKH FKDOOHQJHV ZH PHQWLRQHG DQ LQWHJUDWHG VROXWLRQ DLPLQJ DW WDFNOLQJ DOO RI

 &+$37(5 ,1752'8&7,21



WKHPKDVQRW\HWEHHQSURYLGHG,QDGGLWLRQPRVWRIWKHDSSURDFKHVLQWKH OLWHUDWXUH DUH WHFKQRORJ\ VSHFLILF IRFXVLQJ RQ VROXWLRQV WR VSHFLILF SUREOHPV )HZ DSSURDFKHV FRQVLGHU JHQHULF VROXWLRQV ZKLFK DLP DW SURYLGLQJFRQFHSWXDOL]DWLRQVDQGUHXVDEOHDUFKLWHFWXUDOSDWWHUQV

 2EMHFWLYHV

,Q WKLV WKHVLV ZH DLP DW SURYLGLQJ DQ LQWHJUDWHG VROXWLRQ IRU WKH GHYHORSPHQW RI FRQWH[WDZDUH V\VWHPV E\ DGGUHVVLQJ WKH PDLQ FKDOOHQJHV PHQWLRQHGHDUOLHU

7KH G\QDPLF QDWXUH RI FRQWH[WDZDUH DSSOLFDWLRQV DQG WKH LQFUHDVLQJ LQWHJUDWLRQRIWKHVHDSSOLFDWLRQVLQWRRXUGDLO\WDVNVLQDYDULHW\RIGRPDLQV HJKRPHZRUNDQGOHLVXUH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

,QRUGHUWRFDUU\RXWDSSOLFDWLRQVSHFLILFDGDSWDWLRQWKHSODWIRUPQHHGV WRSURSHUO\XQGHUVWDQGWKHDSSOLFDWLRQ·VXQLYHUVHRIGLVFRXUVH,QSDUWLFXODU WKH SODWIRUP VKRXOG EH DEOH WR XQGHUVWDQG DQG UHDVRQ DERXW WKH FRQWH[W VLWXDWLRQVWKDWDUHRISDUWLFXODULQWHUHVWWRWKHVHDSSOLFDWLRQV,QRUGHUWR FRSHZLWKWKLVLVVXHZHSURSRVHEDVLFFRQFHSWXDOIRXQGDWLRQVIRUFRQWH[W PRGHOOLQJZKLFKDOORZGHVLJQHUVRIFRQWH[WDZDUHDSSOLFDWLRQVWRUHSUHVHQW UHOHYDQW HOHPHQWV RI D FRQWH[WDZDUH DSSOLFDWLRQ·V XQLYHUVH RI GLVFRXUVH )XUWKHUZHSUHVHQWDVLWXDWLRQEDVHGDSSURDFKWKDWDOORZVWKHVSHFLILFDWLRQ RIFRQWH[WVLWXDWLRQV

)XUWKHUPRUHWKHSODWIRUPPD\LQFRUSRUDWHUHXVDEOHVHUYLFHVZKLFKDUH H[WHUQDOO\GHYHORSHGDQGSURYLGHGE\YDULRXVWKLUGSDUW\VWDNHKROGHUV7KH

 $3352$&+ 

FRQWH[W PRGHOV SURGXFHG XVLQJ RXU FRQFHSWXDO IRXQGDWLRQV DUH DOVR EHQHILFLDOO\ DSSOLHG WR SURPRWH FRPPRQ XQGHUVWDQGLQJ DQG FRPPXQLFDWLRQEHWZHHQWKHSODWIRUPDQGWKHVHWKLUGSDUW\VHUYLFHV



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

7KHVH REMHFWLYHV KDYH EHHQ VSOLW LQWR WKUHH VXEREMHFWLYHV WDUJHWHG WR SDUWLFXODUVWDNHKROGHUV

± 7R SURYLGH FRQWH[WDZDUH SODWIRUP GHYHORSHUV ZLWK D UHIHUHQFH

DUFKLWHFWXUH WKDW FDQ EH H[WHQGHG DQG VSHFLDOL]HG WR VSHFLILF WDUJHW DUFKLWHFWXUHV

± 7R SURYLGH FRQWH[WDZDUH DSSOLFDWLRQ GHYHORSHUV ZLWK D &RQWH[W

+DQGOLQJ 3ODWIRUP LQ ZKLFK FRQWH[WDZDUH DSSOLFDWLRQV FDQ EH GHYHORSHG DQG GHSOR\HG XSRQ 7KLV SODWIRUP LV DQ LQVWDQFH RI WKH UHIHUHQFHDUFKLWHFWXUHEHLQJSURSRVHGDQG

± 7RSURYLGHFRQWH[WDZDUHDSSOLFDWLRQGHYHORSHUVZLWKFRQWH[WPRGHOOLQJ

DEVWUDFWLRQVWKDWVHUYHDVDIRXQGDWLRQWREHH[WHQGHGDQGVSHFLDOL]HG ZLWKDSSOLFDWLRQVSHFLILFUHTXLUHPHQWV7KHVHPRGHOOLQJDEVWUDFWLRQVDUH DSSURSULDWH WR L GHILQH WKH DSSOLFDWLRQ·V XQLYHUVH RI GLVFRXUVH LL VSHFLI\ SDUWLFXODU VLWXDWLRQV ZKLFK DUH VWDWHRIDIIDLUV RI LQWHUHVW WR DSSOLFDWLRQVDQGLLLVSHFLI\FRQWH[WHYHQWVZKLFKDUHFKDUDFWHUL]HGE\ VLWXDWLRQWUDQVLWLRQV

 $SSURDFK

,Q RUGHU WR DFKLHYH RXU JRDOV ZH EHJLQ E\ SHUIRUPLQJ D VWDWHRIWKHDUW VXUYH\ RQ FRQWH[WDZDUH V\VWHPV LQ JHQHUDO LGHQWLI\LQJ WKH PDLQ FKDUDFWHULVWLFV UHTXLUHPHQWV DQG WKH FRQFHSWV LQYROYHG LQ FRQWH[WDZDUH DSSOLFDWLRQ GHYHORSPHQW %DVHG RQ WKLV VXUYH\ ZH LGHQWLI\ WKH UHTXLUHPHQWVIRUPRGHOOLQJFRQWH[WDQGIRUEXLOGLQJDJHQHULFDQGIOH[LEOH SODWIRUPWRVXSSRUWFRQWH[WDZDUHDSSOLFDWLRQGHYHORSPHQW7KHIROORZLQJ WRSLFVDUHUHOHYDQWIRUWKHDSSURDFKWDNHQLQWKLVWKHVLV

 &+$37(5 ,1752'8&7,21



 &RQWH[WPRGHOOLQJ

,QRUGHUWRFRSHZLWKFRQWH[WPRGHOOLQJUHTXLUHPHQWVZHGHILQHDVHWRI FRQWH[W PRGHOOLQJ DEVWUDFWLRQV WKDW LV EDVHG RQ FRQFHSWXDO PRGHOOLQJ WKHRULHV >@ $V D EDVLF GLVWLQFWLRQ ZH SURSRVH WKH VHSDUDWLRQ RI WKH FRQFHSWV RI HQWLW\ DQG FRQWH[W :H DOVR SURSRVH WKDW FRQWH[W VKRXOG EH FKDUDFWHUL]HGDVHLWKHULQWULQVLFRUUHODWLRQDO)XUWKHUZHGHILQHDVLWXDWLRQ EDVHG DSSURDFK ZKLFK DOORZV DSSOLFDWLRQ GHVLJQHUV WR FRPSRVH SULPLWLYH HOHPHQWV RI WKH HQWLWLHV· FRQWH[WV WR \LHOG PRUH FRPSOH[ VLWXDWLRQV :H PRWLYDWH RXU FRQFHSWV E\ UHODWLQJ WKHP WR GHYHORSPHQWV LQ IRXQGDWLRQDO RQWRORJLHV>@ZKLFKDUHLQOLQHZLWKFRQFHSWXDOWKHRULHVLQWKHDUHDVRI SKLORVRSK\DQGFRJQLWLYHVFLHQFHV

)ROORZLQJ WKH DSSOLFDWLRQ GHVLJQ SURFHVV ZH SURYLGH VXSSRUW IRU EULGJLQJWKHJDSEHWZHHQFRQFHSWXDOFRQWH[WPRGHOVDQGFRQWH[WLQIRUPDWLRQ PRGHOV ,Q WKH VFRSH RI FRQWH[W LQIRUPDWLRQ PRGHOV ZH VKRXOG UHIHU WR FRQWH[WLQIRUPDWLRQDVRSSRVHGWRFRQWH[W&RQWH[WLQIRUPDWLRQUHIHUVWRWKH UHSUHVHQWDWLRQRIFRQVWLWXHQWVRIFRQWH[WLQDQDSSOLFDWLRQVXFKWKDWWKLV UHSUHVHQWDWLRQ FDQ EH PDQLSXODWHG DQG H[FKDQJHG 6LWXDWLRQV LQ FRQWH[W LQIRUPDWLRQPRGHOVDUHGHWHFWHGEDVHGRQFRQWH[WLQIRUPDWLRQ,VVXHVWKDW EHFRPHUHOHYDQWIRUFRQWH[WLQIRUPDWLRQPRGHOVUHODWHWRLKRZFRQWH[W LVVHQVHGLLKRZFRQWH[WLQIRUPDWLRQLVSURGXFHGOHDUQHGLQIHUUHGDQG XVHGDQGLLLWKHYDOLGLW\DQGTXDOLW\RIFRQWH[WLQIRUPDWLRQ

,QRUGHUWRGHPRQVWUDWHWKHIHDVLELOLW\RIWKHFRQWH[WPRGHOOLQJDSSURDFK ZH SURSRVH D SRVVLEOH UHDOL]DWLRQ DOWHUQDWLYH EDVHG RQ D PRGHOGULYHQ DSSURDFK ZKLFK HQDEOHV FRQWH[W DQG VLWXDWLRQ UHDOL]DWLRQ HOHPHQWV WR EH GHULYHG V\VWHPDWLFDOO\ IURP VSHFLILFDWLRQ HOHPHQWV :H LQWURGXFH D QRYHO UXOHEDVHGVLWXDWLRQUHDOL]DWLRQDOWHUQDWLYHZKLFKH[HFXWHVRQPDWXUHDQG HIILFLHQWUXOHHQJLQHWHFKQRORJ\DYDLODEOHRIIWKHVKHOI

 &RQWH[WKDQGOLQJSODWIRUP

,QVSLUHGE\RXUVWDWHRIWKHDUWVXUYH\ZHRXWOLQHUHFXUULQJSUREOHPVWKDW DSSHDU LQ FRQWH[WDZDUH DSSOLFDWLRQ GHYHORSPHQW )RU HDFK RI WKHVH UHFXUULQJ SUREOHPV ZH SURSRVH DUFKLWHFWXUDO SDWWHUQV WKDW FRQWDLQ D VROXWLRQ VFKHPH IRFXVLQJ RQ VWUXFWXUDO DVSHFWV ZLWK FRPSRQHQWV WKHLU UHODWLRQVKLSVDQGG\QDPLFEHKDYLRXUDODVSHFWV8VLQJWKHVHDUFKLWHFWXUDO SDWWHUQVZHLGHQWLI\FRPSRQHQWVWKDWFDQEHJHQHUDOL]HGDQGLQFOXGHGDV SDUWRIWKHSODWIRUP7KHVHFRPSRQHQWVIRUPWKHSODWIRUPEXLOGLQJEORFNV WKDWDUHFRPSRVHGWRPHHWDSSOLFDWLRQVSHFLILFUHTXLUHPHQWV)RUH[DPSOH XVLQJ WKH (YHQW&RQWURO$FWLRQ (&$ DUFKLWHFWXUDO SDWWHUQ &KDSWHU  ZH LGHQWLI\ WKH QHHG WR GLVWLQJXLVK WKH WDVNV RI JDWKHULQJ DQG SURFHVVLQJ FRQWH[WLQIRUPDWLRQIURPWDVNVRIWULJJHULQJDFWLRQVLQUHVSRQVHWRFRQWH[W FKDQJHVXQGHUWKHFRQWURORIDQDSSOLFDWLRQEHKDYLRXUGHVFULSWLRQ

 $3352$&+  2QFHWKHJHQHULFFRPSRQHQWVDUHLGHQWLILHGZHDUHFDSDEOHRIGHILQLQJ DFRPSOHWHFRQWH[WKDQGOLQJSODWIRUP7KLVSURFHVVLQFOXGHVWKHLGHQWLILFDWLRQ DQGGHVFULSWLRQRIVWDNHKROGHUVLQYROYHGLQWKHSODWIRUPGHYHORSPHQWDQG OLIHWLPH&KDSWHU  &RQWUROOLQJVHUYLFHV 2XUFRQWH[WKDQGOLQJSODWIRUPVKRXOGEHFDSDEOHRISURYLGLQJLIOH[LELOLW\ WRDOORZDSSOLFDWLRQVSHFLILFEHKDYLRXUVWREHGHSOR\HGDWSODWIRUPUXQWLPH LL H[WHQVLELOLW\ WR DOORZ QHZO\ GHILQHG VHUYLFHV DQG DSSOLFDWLRQVSHFLILF UHDFWLYH EHKDYLRXUV WR EH LQFRUSRUDWHG LQ WKH SODWIRUP RQ GHPDQG DW UXQWLPH DQG LLL DGDSWDELOLW\ WR DOORZ DSSOLFDWLRQVSHFLILF DGDSWDWLRQ DFFRUGLQJWRFKDQJHVLQWKHFRQWH[WWREHKDQGOHGE\WKHSODWIRUP:HDLP DWWDFNOLQJIOH[LELOLW\H[WHQVLELOLW\DQGDGDSWDELOLW\UHTXLUHPHQWVE\PHDQV RIWKH&RQWUROOLQJVHUYLFHVZKLFKDUHRIIHUHGE\FRQWUROOHUFRPSRQHQWV

8VLQJ RXU FRQWH[W DQG VLWXDWLRQ PRGHOOLQJ WKHRU\ DSSOLFDWLRQ GHYHORSHUVDUHFDSDEOHRIGHILQLQJWKHFRQILJXUDWLRQLQIRUPDWLRQQHFHVVDU\ WRHQDEOHWKHSODWIRUPWRFDUU\RXWDSSOLFDWLRQVSHFLILFIXQFWLRQDOLW\7KLV FRQILJXUDWLRQ LQIRUPDWLRQ IROORZV D UXOHEDVHG DSSURDFK ZKLFK LV LQ OLQH ZLWK WKH (YHQW&RQWURO$FWLRQ (&$ SDWWHUQ PHQWLRQHG HDUOLHU 7KHVH UXOHV DUH FDOOHG (YHQW&RQGLWLRQ$FWLRQ (&$ UXOHV DQG DUH FRPSRVHG RI WKUHHSDUWV

± $Q HYHQW SDUW ZKLFK DOORZV FRPSOH[ FRPSRVLWLRQV RI HYHQWV WKDW

UHSUHVHQWDQ\RFFXUUHQFHVRILQWHUHVWLQWKHXVHU·VFRQWH[W

± $ FRQGLWLRQ SDUW ZKLFK DOORZV YDULRXV FRPELQDWLRQV RI FRQWH[W DQG

VLWXDWLRQFRQGLWLRQV

± $QDFWLRQSDUWZKLFKDOORZVWKHVSHFLILFDWLRQRIVHUYLFHLQYRFDWLRQV

:H GHYHORS D GRPDLQVSHFLILF ODQJXDJH FRLQHG (&$'/ WR DOORZ WKH VSHFLILFDWLRQ RI (&$ UXOHV 7KLV ODQJXDJH LQFRUSRUDWHV WHPSRUDO DVSHFWV HPSRZHULQJ DSSOLFDWLRQ GHYHORSHUV WR GHILQH FRPSOH[ UHODWLRQVKLSV EHWZHHQ VLWXDWLRQV VXFK DV WKHLU WHPSRUDO RUGHULQJ DQG FDXVDO UHODWLRQV 6LQFH WKLV ODQJXDJH LV VSHFLDOO\ GHYHORSHG IRU WKH SXUSRVH RI VSHFLI\LQJ FRQWH[WDZDUHDSSOLFDWLRQEHKDYLRXUVLWLVH[SHFWHGWREHPRUHDSSHDOLQJ DQGHDVLHUWRXVHWKDQRWKHUJHQHUDOSXUSRVHODQJXDJHV

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REVHUYHVFRQWH[WDQGVLWXDWLRQ LQIRUPDWLRQ IURP FRQWH[W SURYLVLRQLQJ VHUYLFHV LL GHWHUPLQHV EDVHG RQ

 &+$37(5 ,1752'8&7,21  WKHREVHUYHGFRQWH[WDQGVLWXDWLRQLQIRUPDWLRQZKHWKHUVLWXDWLRQVKROGRU QRWDQGLLLUHDVRQVDERXWVLWXDWLRQWUDQVLWLRQV  &DVHVWXG\ )LQDOO\DVSURRIRIFRQFHSWZHGHPRQVWUDWHWKHIHDVLELOLW\RIRXUDSSURDFK E\ GHYHORSLQJ FRQWH[WDZDUH DSSOLFDWLRQV XVLQJ RXU FRQWH[W PRGHOOLQJ DEVWUDFWLRQVLQFRPELQDWLRQZLWKRXUSURSRVHGSODWIRUPVXSSRUW)RUHDFK RIWKHFDVHVWXGLHVZHRXWOLQHWKHGHVLJQSURFHVVIROORZLQJWKHGHYHORSPHQW DSSURDFK SURSRVHG ,Q RUGHU WR GHPRQVWUDWH WKH IHDVLELOLW\ LQ D UHDOLVWLF DSSOLFDWLRQ ZH KDYH EXLOW DQ DSSOLFDWLRQ SURWRW\SH WKDW LPSOHPHQWV WKH GHVLJQ SURGXFWV REWDLQHG IURP WKH GHVLJQ DFWLYLWLHV ,Q DGGLWLRQ WKLV SURWRW\SH DOORZV XV WR FULWLFDOO\ DVVHVV RXU DSSURDFK ZLWK UHVSHFW WR SHUIRUPDQFHDQGVFDODELOLW\LVVXHV

 6FRSHDQG1RQ2EMHFWLYHV

,Q WKLV WKHVLV ZH IRFXV RQ FRQWH[WDZDUH PRELOH FRPSXWLQJ V\VWHPV DQG FRQWH[WDZDUH QHWZRUNHG DSSOLFDWLRQV WKDW DUH ZLGHO\ GLVWULEXWHG :H FRQVLGHUWKHQRWLRQRIFRQWH[WDSSOLHGWRWKHXVHUVRIVHUYLFHVSURYLGHGE\ FRQWH[WDZDUH DSSOLFDWLRQV DQG SODWIRUPV DV RSSRVHG WR FRPSXWDWLRQDO FRQWH[WRUQHWZRUNUHVRXUFHVFRQWH[W

2XU LQWHQWLRQ LV WR SURYLGH JHQHUDO VXSSRUW IRU GHYHORSLQJ FRQWH[W DZDUH DSSOLFDWLRQV IRFXVLQJ RQ L FRQFHSWXDO FRQWH[W PRGHOOLQJ LL DSSOLFDWLRQ UHDFWLYH EHKDYLRXU PRGHOOLQJDQG LLL LQIUDVWUXFWXUDO VXSSRUW )XUWKHUPRUH DV SDUW RI WKH FRQWH[W KDQGOLQJ SODWIRUP GHYHORSPHQW ZH DGGUHVV GLVWULEXWLRQ SHUIRUPDQFH DQG VFDODELOLW\ DVSHFWV E\ PHDQV RI VLWXDWLRQUHDVRQLQJGLVWULEXWLRQDVLOOXVWUDWHGLQ&KDSWHUVDQG

,QWKLVWKHVLVZHGRQRWH[WHQVLYHO\DGGUHVVLSULYDF\VHFXULW\DQGWUXVW LVVXHVLLTXDOLW\RIFRQWH[WLQIRUPDWLRQLLLXVDELOLW\DVSHFWVRIFRQWH[W DZDUH DSSOLFDWLRQV LY VHQVRU WHFKQRORJ\ DQG Y VSHFLDOL]HG UHDVRQLQJ DOJRULWKPVDQGFRPSXWDWLRQDOPRGHOV

 6WUXFWXUH

7KHVWUXFWXUHRIWKLVWKHVLV UHIOHFWVWKHUHVHDUFKDSSURDFKZHDGRSWHGWR DFKLHYHRXUJRDOV7KHUHPDLQGHURIWKLVWKHVLVLVVWUXFWXUHGDVIROORZV

± &KDSWHU²*HQHUDO&RQFHSWV7KLVFKDSWHUSUHVHQWVWKHEDVLFWHUPLQRORJ\

DQG WKH IXQGDPHQWDO FRQFHSWV XVHG WKURXJKRXW WKLV WKHVLV ,VVXHV OLNH WKHGLVWLQFWLRQEHWZHHQFRQWH[WDQGFRQWH[WLQIRUPDWLRQDUHDGGUHVVHG:H

 6758&785( 

IXUWKHU LQWURGXFH WKH QRWLRQ RI VHUYLFHRULHQWHG DUFKLWHFWXUH ZKLFK GHVFULEHVWKHGHVLJQSULQFLSOHXQGHUO\LQJRXUFRQWH[WKDQGOLQJSODWIRUP

± &KDSWHU²6WDWHRIWKH$UW7KLVFKDSWHUSUHVHQWVWKHVWDWHRIWKHDUWLQ

FRQWH[WDZDUHQHVV 2XU GLVFXVVLRQ IRFXVHV RQ WKUHH PDLQ EUDQFKHV RI UHVHDUFK QDPHO\ FRQWH[W PRGHOOLQJ PLGGOHZDUH DQG SODWIRUPV DQG DSSOLFDWLRQV

± &KDSWHU  ²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

± &KDSWHU  ² &RQWH[W 0RGHOOLQJ 7KLV FKDSWHU SUHVHQWV WKH PRGHOOLQJ

DEVWUDFWLRQVZHSURSRVHWRPRGHOFRQWH[WDQGVLWXDWLRQV:HIRFXVRQ SURYLGLQJPRGHOOLQJIRXQGDWLRQVWKDWFDQEHH[WHQGHGZLWKDSSOLFDWLRQ VSHFLILFDVSHFWV

± &KDSWHU²6LWXDWLRQ5HDOL]DWLRQ7KLVFKDSWHUDLPVDWGHPRQVWUDWLQJWKH IHDVLELOLW\RIRXUVLWXDWLRQPRGHOOLQJDSSURDFKE\SURSRVLQJDUXOHEDVHG UHDOL]DWLRQ DOWHUQDWLYH 7KLV VROXWLRQ LV EDVHG RQ WKH XVH RI D JHQHUDO SXUSRVH UXOHEDVHG SODWIRUP ZKLFK JXDUDQWHHV WKH HIILFLHQF\ RI VLWXDWLRQGHWHFWLRQ

± &KDSWHU  ² &RQWUROOLQJ 6HUYLFHV 7KLV FKDSWHU DGGUHVVHV IOH[LELOLW\

H[WHQVLELOLW\DQGDGDSWDELOLW\DVSHFWVRIWKHFRQWH[WKDQGOLQJSODWIRUP :H SUHVHQW D UXOHEDVHG DSSURDFK WKDW FDQ EH XVHG WR FRQILJXUH WKH SODWIRUPLQDIOH[LEOHPDQQHU:HDOVRGHILQH(&$'/ZKLFKLVDUXOH EDVHG ODQJXDJH XVHG IRU WKH VSHFLILF SXUSRVH RI GHILQLQJ UHDFWLYH EHKDYLRXUVRIFRQWH[WDZDUHDSSOLFDWLRQV

± &KDSWHU  ² &DVH 6WXG\ 7KLV FKDSWHU GHPRQVWUDWHV WKH IHDVLELOLW\ RI WKH

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

± &KDSWHU²&RQFOXVLRQV,QWKLVFKDSWHUZHPDNHDFULWLFDOUHIOHFWLRQRQ

 &+$37(5 ,1752'8&7,21



DFKLHYHPHQWV DQG GLVFXVV WKH HQFRXQWHUHG GUDZEDFNV )LQDOO\ ZH LGHQWLI\WKHWRSLFVWKDWUHTXLUHIXUWKHULQYHVWLJDWLRQ )LJXUHVFKHPDWLFDOO\GHSLFWVWKHVWUXFWXUHRIWKLVWKHVLV &KDSWHU²,QWURGXFWLRQ &KDSWHUVDQG ²*HQHUDO$SSURDFK &RQWH[WDZDUHDUFKLWHFWXUDOSDWWHUQV 7KHFRQWH[WKDQGOLQJSODWIRUPDUFKLWHFWXUH &KDSWHUV ² 3ODWIRUP%XLOGLQJ%ORFNV &RQWUROOLQJVHUYLFHV 6LWXDWLRQUHDOL]DWLRQ &KDSWHU ²&DVH6WXG\ &KDSWHU ²&RQFOXVLRQV 3URWRW\SHGHVLJQLPSOHPHQWDWLRQDQGHYDOXDWLRQ &KDSWHU² &RQWH[WDQG6LWXDWLRQ0RGHOOLQJ 6WUXFWXUDOFRQWH[WPRGHOV 6LWXDWLRQPRGHOV %DVLFFRQFHSWV 6WDWHRIWKHDUW &RQWH[WDZDUHDSSOLFDWLRQGHYHORSPHQWZLWKSODWIRUPVXSSRUW    

)LJXUH  6WUXFWXUH RI WKHWKHVLV

 &KDSWHU





 *HQHUDO&RQFHSWV

7KLVFKDSWHUSUHVHQWVWKHEDVLFWHUPLQRORJ\DQGWKHIXQGDPHQWDOFRQFHSWV XVHGWKURXJKRXWWKLVWKHVLV,VVXHVOLNHWKHGLVWLQFWLRQEHWZHHQFRQWH[WDQG FRQWH[WLQIRUPDWLRQDUHDGGUHVVHG:HIXUWKHULQWURGXFHWKHQRWLRQRIVHUYLFH RULHQWHG DUFKLWHFWXUH ZKLFK GHVFULEHV WKH GHVLJQ SULQFLSOH XQGHUO\LQJ RXU &RQWH[W+DQGOLQJ3ODWIRUP

7KLV FKDSWHU LV RUJDQL]HG DV IROORZV VHFWLRQ  LQWURGXFHV EDVLF FRQFHSWVDQGWKHWHUPLQRORJ\UHODWHGWRFRQWH[WVHFWLRQHODERUDWHVRQ WKH FRQFHSW RI FRQWH[WDZDUH DSSOLFDWLRQV VHFWLRQ  GLVFXVVHV VHUYLFH RULHQWHG DUFKLWHFWXUHV DQG ILQDOO\ VHFWLRQ  LQWURGXFHV RXU FRQWH[W KDQGOLQJSODWIRUP

 &RQWH[W

&RQWH[WLVDFRQFHSWWKDWDSSHDUVLQYDULRXVGLVFLSOLQHV>@,QSKLORVRSK\ DQG FRJQLWLYH VFLHQFHV 'DYLHV DQG 7KRPVRQ >@ KLJKOLJKWHG WKH LPSRUWDQFH RI XQGHUVWDQGLQJ DQG VWXG\LQJ FRQWH[W VLQFH ´RUJDQLVPV REMHFWV DQG HYHQWV DUH LQWHJUDO SDUWV RI WKH HQYLURQPHQW DQG FDQQRW EH XQGHUVWRRG LQ LVRODWLRQ RI WKDW HQYLURQPHQWµ ,Q OLQJXLVWLFV > @ UHVHDUFKHUV VHHN WR XQGHUVWDQG WKH LPSDFW RI FRQWH[W LQ IRU H[DPSOH FKRRVLQJXWWHUDQFHVW\OHDQGXWWHUDQFHLQWHUSUHWDWLRQ,QSV\FKRORJ\> @ UHVHDUFKHUV DUH LQWHUHVWHG LQ KRZ FKDQJHV LQ FRQWH[W DIIHFW YDULRXV FRJQLWLYH SURFHVVHV VXFK DV SHUFHSWLRQ UHDVRQLQJ GHFLVLRQ PDNLQJ DQG OHDUQLQJ

,QFRPSXWHUVFLHQFHWKHQRWLRQRIFRQWH[WKDVEHHQILUVWPHQWLRQHGLQ DUWLILFLDOLQWHOOLJHQFH>@,QWKLVILHOGFRQWH[WDSSHDUVDVDPHDQVRI SDUWLWLRQLQJ D NQRZOHGJH EDVH LQWR PDQDJHDEOH VHWV RU ORJLFDO FRQVWUXFWV WKDWIDFLOLWDWHUHDVRQLQJDFWLYLWLHV0RUHUHFHQWO\ZLWKDGYDQFHVLQPRELOH FRPSXWLQJ FRQWH[W KDV EHFRPH D WRSLF RI LQWHUHVW WR RWKHU DUHDV RI FRPSXWHUVFLHQFHVXFKDVWHOHPDWLFVDQGXELTXLWRXVFRPSXWLQJ,QWKHVH

 &+$37(5 *(1(5$/&21&(376



DUHDVFRQWH[WLVXVXDOO\UHJDUGHGDVWKHVHWRIHQYLURQPHQWDOFRQGLWLRQVWKDW FDQEHXVHGWRDGDSWPRELOHDSSOLFDWLRQVWRWKHLUXVHU·VFXUUHQWVLWXDWLRQ DQG QHHGV 7KHVH DUHDV DUH SDUWLFXODUO\ LQWHUHVWHG LQ FRQWH[W GXH WR PRELOLW\ ZKLFK JHQHUDWHV RSSRUWXQLWLHV WR H[SORUH FRQWH[W VLQFH WKH FRQWH[WRIWKHXVHUFKDQJHVIUHTXHQWO\DSSOLFDWLRQVUXQQLQJRQWKHXVHU·V PRELOHGHYLFHVPD\DGDSWWKHLUEHKDYLRXUDFFRUGLQJWRWKHVHFKDQJHV

,Q WKLV VFRSH GHILQLWLRQV RI FRQWH[W IRXQG LQ WKH OLWHUDWXUH IRFXV RQ HLWKHUWKHDSSOLFDWLRQRUWKHDSSOLFDWLRQ·VXVHUDVLQGLFDWHGE\>@:LWK WKHWHUPDSSOLFDWLRQ·VXVHUZHUHIHUWRWKH´HQGXVHUµLHDKXPDQEHLQJ WKDWXVHVWKHDSSOLFDWLRQ&KHQDQG.RW]>@IRUH[DPSOHGHILQHFRQWH[W IURPWKHSHUVSHFWLYHRIWKHDSSOLFDWLRQ7KH\UHJDUGFRQWH[WDVWKH´VHWRI HQYLURQPHQWDO VWDWHV DQG VHWWLQJV WKDW HLWKHU GHWHUPLQHV DQ DSSOLFDWLRQ·V EHKDYLRXURULQZKLFKDQDSSOLFDWLRQHYHQWRFFXUVWKDWLVLQWHUHVWLQJWRWKH XVHUµ &RQYHUVHO\ 'H\ $ERZG DQG :RRG >@ GHILQH FRQWH[W DV ´WKH XVHU·VSK\VLFDOVRFLDOHPRWLRQDORULQIRUPDWLRQDOVWDWHµWKXVIRFXVLQJRQ WKHDSSOLFDWLRQ·VXVHUDVRSSRVHGWRIRFXVLQJRQWKHDSSOLFDWLRQ6LPLODUO\ =HWLH >@ GHVFULEHV FRQWH[W DV ´WKH NQRZOHGJH DERXW WKH JRDOV WDVNV LQWHQWLRQVKLVWRU\DQGSUHIHUHQFHVRIWKHXVHUWKDWDVRIWZDUHDSSOLFDWLRQ DSSOLHVWRRSWLPL]HWKHHIIHFWLYHQHVVRIWKHDSSOLFDWLRQµ7KHPRVWUHIHUUHG GHILQLWLRQRIFRQWH[WJLYHQE\'H\HWDO>@EDODQFHVWKHIRFXVRQERWK XVHUV DQG DSSOLFDWLRQV ´FRQWH[W LV DQ\ LQIRUPDWLRQ WKDW FDQ EH XVHG WR FKDUDFWHUL]HWKHVLWXDWLRQRIHQWLWLHVLHZKHWKHUDSHUVRQSODFHRUREMHFW WKDW DUH FRQVLGHUHG UHOHYDQW WR WKH LQWHUDFWLRQ EHWZHHQ D XVHU DQG DQ DSSOLFDWLRQLQFOXGLQJWKHXVHUDQGWKHDSSOLFDWLRQWKHPVHOYHVµ

 &RQWH[WYHUVXVFRQWH[WLQIRUPDWLRQ

7KHGHILQLWLRQVJLYHQDERYHDFWXDOO\UHIHUWRFRQWH[WLQIRUPDWLRQDVRSSRVHGWR FRQWH[W:HGLVWLQJXLVKWKHVHFRQFHSWVLQRXUDSSURDFK:HUHJDUGFRQWH[W DV WKH UHDO ZRUOG SKHQRPHQD ZKLOH FRQWH[W LQIRUPDWLRQ UHIHUV WR WKH UHSUHVHQWDWLRQRIFRQVWLWXHQWVRIFRQWH[WLQDQDSSOLFDWLRQVXFKWKDWWKLV UHSUHVHQWDWLRQ FDQ EH PDQLSXODWHG DQG H[FKDQJHG ,Q VHFWLRQ  ZH IXUWKHUHODERUDWHRQWKHFRQFHSWRIFRQWH[WLQIRUPDWLRQ

,QWKLVWKHVLVZHFRQVLGHUWKHIROORZLQJGHILQLWLRQRIFRQWH[W>@ &RQWH[WWKHVHWRISRVVLEO\LQWHUUHODWHGFRQGLWLRQVLQZKLFKDQHQWLW\H[LVWV

7KLV GHILQLWLRQ UHYHDOV WKDW FRQWH[W LV RQO\ PHDQLQJIXO ZLWK UHVSHFW WR D WKLQJ WKDW ´H[LVWVµ ZKLFK ZH FDOO KHUH DQHQWLW\ 7KH FRQFHSW RI HQWLW\ LV IXQGDPHQWDOO\GLIIHUHQWIURPWKHFRQFHSWRIFRQWH[WFRQWH[WLVZKDWFDQEH VDLGDERXWDQHQWLW\LQLWVHQYLURQPHQWLHFRQWH[WGRHVQRWH[LVWE\LWVHOI ([DPSOHV RI HQWLWLHV DUH SHUVRQV FRPSXWLQJ GHYLFHV DQG EXLOGLQJV 7KH FRQWH[WRIDQHQWLW\PD\KDYHPDQ\FRQVWLWXHQWVZKLFKDUHGHILQHGKHUHDV

 &217(;7 

WKH ´SRVVLEO\ LQWHUUHODWHG FRQGLWLRQV RU MXVW FRQWH[W FRQGLWLRQV &RQWH[W FRQGLWLRQVUHIOHFWSDUWLFXODUDVSHFWVRIWKHFLUFXPVWDQFHVLQZKLFKHQWLWLHV H[LVW ([DPSOHV RI VRPH FRQWH[W FRQGLWLRQV RI D SHUVRQ DUH WKH SHUVRQ·V ORFDWLRQPHQWDOVWDWHDQGDFWLYLW\7RJHWKHUWKHVHFRQWH[WFRQGLWLRQVIRUP WKHHQWLW\·VFRQWH[W

 &RQWH[WPRGHOOLQJ

7KH SURFHVV RI LGHQWLI\LQJ UHOHYDQW FRQWH[W FRQVLVWV RI GHWHUPLQLQJ WKH ´FRQGLWLRQVµ RI HQWLWLHV LQ WKH DSSOLFDWLRQ·V XQLYHUVH RI GLVFRXUVH HJ D XVHURULWVHQYLURQPHQWWKDWDUHUHOHYDQWIRUDFRQWH[WDZDUHDSSOLFDWLRQRU DIDPLO\RIVXFKDSSOLFDWLRQV &RQWH[WPRGHOWKHUHSUHVHQWDWLRQRIFRQWH[WFRQGLWLRQVRUFLUFXPVWDQFHVZKLFK DUHUHOHYDQWIRUDFRQWH[WDZDUHDSSOLFDWLRQRUDIDPLO\RIVXFKDSSOLFDWLRQV &RQWH[WPRGHOOLQJWKHSURFHVVRISURGXFLQJFRQWH[WPRGHOV :HGLVWLQJXLVKWZRPRGHOOLQJSKDVHVLQRXUFRQWH[WPRGHOOLQJDSSURDFK QDPHO\ FRQFHSWXDO FRQWH[W PRGHOOLQJ DQG FRQWH[W LQIRUPDWLRQ PRGHOOLQJ &RQFHSWXDO FRQWH[W PRGHOOLQJ DLPV DW SURGXFLQJ PRGHOV ZKLFK DUH FRQFHSWXDOPRGHOVRIFRQWH[W&RQFHSWXDOPRGHOVDUHLQWKHVHQVHRI> @ UHSUHVHQWDWLRQV RI D ´JLYHQ VXEMHFW GRPDLQ LQGHSHQGHQW RI VSHFLILF GHVLJQRUWHFKQRORJLFDOFKRLFHVµ,QWKLVVFRSHRQO\WKHFRQFHSWRIFRQWH[W DVRSSRVHGWRFRQWH[WLQIRUPDWLRQLVUHOHYDQWVLQFHWKHVHPRGHOVDEVWUDFW IURP KRZ FRQWH[W LV VHQVHG SURYLGHG OHDUQHG SURGXFHG DQGRU XVHG &RQWH[WLQIRUPDWLRQPRGHOOLQJRQWKHFRQWUDU\DLPVDWGHOLYHULQJPRGHOV WKDW H[WHQG WKH FRQFHSWXDO PRGHOV RI FRQWH[W E\ LQWURGXFLQJ WHFKQRORJ\ DVSHFWVWRWKHPRGHOVXFKDVKRZFRQWH[WLVVHQVHGJDWKHUHGRUOHDUQHG

$OWKRXJK RQO\ IHZ GHILQLWLRQV RI FRQWH[W LQ WKH OLWHUDWXUH H[SOLFLWO\ GLVWLQJXLVK EHWZHHQ FRQWH[W DQG FRQWH[W LQIRUPDWLRQ DQG WKHUHIRUH DOVR EHWZHHQFRQFHSWXDOFRQWH[WPRGHOOLQJDQGFRQWH[WLQIRUPDWLRQPRGHOOLQJ ZHDUJXHWKDWWKLVGLVWLQFWLRQLVIXQGDPHQWDOLQWKHGHYHORSPHQWRIFRQWH[W DZDUH DSSOLFDWLRQV :H MXVWLI\ WKLV DUJXPHQW EDVHG RQ WKH LPSRUWDQFH RI FRQFHSWXDOPRGHOOLQJLQWKHDSSOLFDWLRQGHVLJQSURFHVVDVHPSKDVL]HGE\ > @ ´FRQFHSWXDO VSHFLILFDWLRQV DUH XVHG WR VXSSRUW XQGHUVWDQGLQJ SUREOHPVROYLQJ DQG FRPPXQLFDWLRQV DPRQJ VWDNHKROGHUV DERXW D JLYHQ VXEMHFW GRPDLQ 2QFH D VXIILFLHQW OHYHO RI XQGHUVWDQGLQJ DQG DJUHHPHQW DERXWDGRPDLQLVDFFRPSOLVKHGWKHQWKHFRQFHSWXDOVSHFLILFDWLRQLVXVHG DV D EOXHSULQW IRU WKH VXEVHTXHQW SKDVHV RI D V\VWHP·V GHYHORSPHQW SURFHVVµ7KHUHIRUHWKHTXDOLW\RIFRQWH[WDZDUHDSSOLFDWLRQVGHSHQGVRQ WKHTXDOLW\RIWKHFRQFHSWXDOFRQWH[WPRGHOVXSRQZKLFKWKHLUGHYHORSPHQW LVEDVHG

 &+$37(5 *(1(5$/&21&(376



:H EHOLHYH WKDW FRQFHSWXDO PRGHOOLQJ RI FRQWH[W VKRXOG SUHFHGH WKH GHWDLOHG GHVLJQ RI FRQWH[WDZDUH DSSOLFDWLRQV LQ D VLPLODU ZD\ DV DQDO\VLV VKRXOGSUHFHGHWKHGHWDLOHGGHVLJQRIDQLQIRUPDWLRQV\VWHP

 &RQWH[W$ZDUH$SSOLFDWLRQV

:H GLVFXVV UHOHYDQW DVSHFWV RI FRQWH[W DQG FRQWH[WDZDUH DSSOLFDWLRQV LQ WKHVHTXHO

 'HILQLWLRQ

)LJXUH  GHSLFWV DQ LQWXLWLYH YLHZ RI D XVHU LQ KLVKHU FRQWH[W DQG D FRQWH[WDZDUH DSSOLFDWLRQ IRFXVLQJ RQ D VLQJOH XVHU RQO\ :H GHILQH D FRQWH[WDZDUHDSSOLFDWLRQDVIROORZV

&RQWH[WDZDUH DSSOLFDWLRQ D GLVWULEXWHG DSSOLFDWLRQ ZKRVH EHKDYLRXU LV

DIIHFWHGE\LWVXVHUV·FRQWH[W XVHU·VFRQWH[W FRQWH[WDZDUH DSSOLFDWLRQ XVHU D E 

,Q )LJXUH  WKH DUURZ ´Dµ VKRZV WKDW WKH XVHU DQG WKH FRQWH[WDZDUH DSSOLFDWLRQLQWHUDFW6LPLODUO\WKHDUURZ´EµVKRZVWKDWWKHXVHU·VFRQWH[W DQGWKHFRQWH[WDZDUHDSSOLFDWLRQLQWHUDFW

7KHLQWHUDFWLRQVUHSUHVHQWHGE\DUURZ´DµHQDEOHIRUH[DPSOHXVHU·V LQSXW WR EH SURYLGHG WR WKH DSSOLFDWLRQ VXFK DV XVHU FRPPDQGV DQG SUHIHUHQFHV DQG WKH XVH RI WKH VHUYLFH GHOLYHUHG E\ WKH FRQWH[WDZDUH DSSOLFDWLRQ7KHLQWHUDFWLRQVUHSUHVHQWHGE\DUURZ´EµHQDEOHWKHFRQWH[W DZDUHDSSOLFDWLRQWRFDSWXUHSDUWLFXODUFRQWH[WFRQGLWLRQVIURPWKHXVHU·V FRQWH[W

$VGHSLFWHGLQ)LJXUHLQWHUDFWLRQVWDNHSODFHDWLQWHUVHFWLRQSRLQWV ZKLFK DUH VKDUHG PHFKDQLVPV EHWZHHQ LQWHUDFWLQJ HQWLWLHV 7ZR W\SHV RI VKDUHG PHFKDQLVP DUH VKRZQ LQ WKLV ILJXUH RQH EHWZHHQ D XVHU DQG WKH FRQWH[WDZDUH DSSOLFDWLRQ DQG WKH RWKHU EHWZHHQ WKH XVHU·V FRQWH[W DQG WKHFRQWH[WDZDUHDSSOLFDWLRQ7KHVHVKDUHGPHFKDQLVPVDUHUHSUHVHQWHGLQ )LJXUH  E\ WKH LQWHUVHFWLRQV EHWZHHQ D XVHU DQG WKH FRQWH[WDZDUH

)LJXUH,QWXLWLYHYLHZ RI D FRQWH[WDZDUH DSSOLFDWLRQ LQWHUDFWLQJ ZLWK D XVHU DQG KLVKHU FRQWH[W

 &217(;7$:$5($33/,&$7,216 

DSSOLFDWLRQ LSD_ LSD_Q DQG EHWZHHQ KLVKHU FRQWH[W DQG WKH FRQWH[W DZDUH DSSOLFDWLRQ LSE LSEQ UHVSHFWLYHO\ (DFK RI WKHVH LQWHUVHFWLRQV

V\PEROL]HVDQLQWHUDFWLRQSRLQWLS>@  FRQWH[WDZDUHDSSOLFDWLRQ  XVHUQ LSDQ  LSEQ XVHU·V FRQWH[WQ  XVHU LSD  LSE XVHU·V FRQWH[W   7KHLQWHUVHFWLRQEHWZHHQDXVHU·VFRQWH[WDQGDFRQWH[WDZDUHDSSOLFDWLRQ

LSELSEQLQFOXGHVVHQVRUVWKDWGHWHFWWKHFRQWH[WFRQGLWLRQVXVHGE\

DSSOLFDWLRQVWRUHVSRQGDFFRUGLQJO\$QH[DPSOHRIDVHQVRUZKLFKLVXVHIXO IRUFRQWH[WDZDUHDSSOLFDWLRQVLVD*OREDO3RVLWLRQLQJ6\VWHP*36GHYLFH ZKLFK FDQ EH XVHG WR FRQWLQXRXVO\ WUDFN D XVHU·V ORFDWLRQ &RQWH[W LQIRUPDWLRQ H[FKDQJHG LQ LQWHUDFWLRQV ZLWK WKH XVHU·V FRQWH[W FRQVLVWV RI JHRJUDSKLFDOFRRUGLQDWHVIRUWKHXVHU·VFXUUHQWORFDWLRQ$QRWKHUH[DPSOH RIDVHQVRULVDERG\WKHUPRPHWHUZKLFKFDQEHXVHGWRPRQLWRUDSDWLHQW·V ERG\WHPSHUDWXUH&RQWH[WLQIRUPDWLRQH[FKDQJHGLQLQWHUDFWLRQVZLWKWKH XVHU·V FRQWH[W LQ WKLV FDVH FRQVLVW RI WKH WHPSHUDWXUH PHDVXUHPHQWV LQ GHJUHHV&HOVLXV

)LJXUHGHSLFWVWKHJUDSKLFDOUHSUHVHQWDWLRQXVHGLQWKLVWKHVLVZKLFK LVGHILQHGLQ>@$QLQWHUDFWLRQSRLQWLVH[SUHVVHGE\RYDOVKDSHV WKDWRYHUODSZLWKWKHHQWLWLHVWKDWVKDUHWKHLQWHUDFWLRQSRLQW,QWHUDFWLRQV WDNLQJ SODFH LQ LQWHUDFWLRQ SRLQWV LSDL DQG LSEL PRGHO WKH DFWLYLWLHV

SHUIRUPHG LQ FRRSHUDWLRQ EHWZHHQ WKH XVHU DQG WKH FRQWH[WDZDUH DSSOLFDWLRQ DQG EHWZHHQ WKH XVHU·V FRQWH[W DQG WKH FRQWH[WDZDUH DSSOLFDWLRQ UHVSHFWLYHO\ $VGHILQHGLQ > @ DQ ´LQWHUDFWLRQ PRGHOV WKH HVWDEOLVKPHQW RI WKH UHVXOW DEVWUDFWLQJ IURP WKH SRVVLEOH FRPSOH[ PHFKDQLVPWKDWOHDGWRWKHHVWDEOLVKPHQWRIWKHUHVXOWµ

$OO SRVVLEOH LQIRUPDWLRQ W\SHV UHIHUULQJ WR FRQWH[W WKDW PD\ EH HVWDEOLVKHGLQERWKLSDDQGLSEDUHGHILQHGLQDFRQWH[WLQIRUPDWLRQPRGHO  )LJXUH  $ FRQWH[W DZDUH DSSOLFDWLRQ LWV XVHUDQGKHUKLVFRQWH[W DQG WKH VKDUHG PHFKDQLVPV IRU LQWHUDFWLRQ

 &+$37(5 *(1(5$/&21&(376   FRQWH[WDZDUHDSSOLFDWLRQ  XVHU  XVHU·V FRQWH[W LSD LSE  XVHUQ  XVHU·V FRQWH[WQ LSDQ LSEQ   $XVHULVDOZD\VFRPSOHPHQWHGE\KLVKHUFRQWH[W7KHUHIRUHWKHXVHUDQG KLVKHUFRQWH[WDUHDOZD\VSDLUHG$OWKRXJKLQWKHUHDOZRUOGXVHUVLQWHUDFW ZLWK HDFK RWKHU DQG WKHLU FRQWH[WV LQIOXHQFH HDFK RWKHUV· FRQWH[WV WKHVH LQWHUUHODWLRQVKLSV DUH QRW PRGHOOHG E\ WKH FRQWH[WDZDUH DSSOLFDWLRQ 7KHUHIRUHIURPWKHFRQWH[WDZDUHDSSOLFDWLRQSRLQWRIYLHZLQIRUPDWLRQ HVWDEOLVKHG LQ DQ\ SDLUHG LQWHUDFWLRQ SRLQWV LSDL_{ LSE}L_{ LV LQGHSHQGHQW}

IURPLQIRUPDWLRQHVWDEOLVKHGLQLSDL

LSELDQGVRIRUWK

 &DSWXULQJFRQWH[W

,Q RXU GHILQLWLRQ RI FRQWH[WDZDUH DSSOLFDWLRQ ZH GR QRW GLVWLQJXLVK EHWZHHQ PDQXDOO\ SURYLGHG LQIRUPDWLRQ DQG DXWRPDWLFDOO\ DFTXLUHG VHQVHG LQIRUPDWLRQ :H SUHIHU WR JLYH D ZLGHU GHILQLWLRQ RI FRQWH[W LQIRUPDWLRQ ZKLFK HQFRPSDVVHV D EURDGHU UDQJH RI FRQWH[W LQIRUPDWLRQ W\SHVUHJDUGOHVVZKHWKHULQIRUPDWLRQLVVHQVHGRUPDQXDOO\SURYLGHG2XU LQWHQWLRQ LV WR SURYLGH JXLGHOLQHV E\ PHDQV RI RXU FRQWH[W PRGHOOLQJ DSSURDFKIRULGHQWLI\LQJFRQWH[WLQIRUPDWLRQW\SHVUDWKHUWKDQIL[LQJSUH GHILQHG VHWV RI FRQWH[W LQIRUPDWLRQ W\SHV RU SUHVFULELQJ ZKHWKHU LQIRUPDWLRQLVDFTXLUHGRUQRW

,W LV DFWXDOO\ WKH UHVSRQVLELOLW\ RI WKH DSSOLFDWLRQ GHVLJQHU WR GHFLGH ZKHWKHU FRQWH[W LQIRUPDWLRQ LV UHOHYDQW WR WKH DSSOLFDWLRQ VLQFH WKLV GHFLVLRQ GHSHQGV RQ WKH DSSOLFDWLRQ·V XQLYHUVH RI GLVFRXUVH DQG WKH DSSOLFDWLRQ·V VWDWHRIDIIDLUV RI LQWHUHVW ,Q DGGLWLRQ WKH FRPSXWDWLRQDO FDSDELOLWLHV VHQVRU WHFKQRORJ\ DYDLODEOH IRU EXLOGLQJ WKH FRQWH[WDZDUH DSSOLFDWLRQ W\SLFDOO\ GHWHUPLQH WKH FRQVWUDLQWV IRU DFTXLULQJ FRQWH[W DXWRPDWLFDOO\ RU PDQXDOO\ :KHWKHU PDQXDOO\ SURYLGHG RU DXWRPDWLFDOO\ DFTXLUHGZHDVVXPHFRQWH[WLQIRUPDWLRQLVDOZD\VSURYLGHGWRDSSOLFDWLRQV WKURXJKLQWHUDFWLRQSRLQWVRIW\SHLSEVHH)LJXUH ,QWKLVVHQVHWKHGHILQLWLRQRIFRQWH[WLQIRUPDWLRQPHQWLRQHGLQVHFWLRQ JLYHQE\'H\HWDO>@VXIILFHVVLQFHLWDOORZVRQHWRLDEVWUDFWIURP ZKHWKHULQIRUPDWLRQLVPDQXDOO\RUDXWRPDWLFDOO\DFTXLUHGDQGLLGHILQHD EURDGUDQJHRIFRQWH[WLQIRUPDWLRQFDWHJRULHV,QWKLVWKHVLVZHUHO\RQWKLV GHILQLWLRQRIFRQWH[WLQIRUPDWLRQ

:KHQ FRQVLGHULQJ FRQWH[WDZDUH DSSOLFDWLRQV FRQWH[W FRQVLVWV RI SRVVLEO\LQWHUUHODWHGFRQGLWLRQVLQWKHUHDOZRUOGUHSUHVHQWHGLQRXUILJXUHV

)LJXUH  (QWLWLHV ZLWK VKDUHGLQWHUDFWLRQSRLQWV

 &217(;7$:$5($33/,&$7,216 

E\WKHXVHU·VFRQWH[W$SSOLFDWLRQVVWLOOQHHGWRTXDQWLI\DQGFDSWXUHWKHVH FRQGLWLRQV LQ WHUPV RI FRQWH[W LQIRUPDWLRQ LQ RUGHU WR UHDVRQ DERXW FRQWH[W)LJXUHVKRZVDQLQWXLWLYHUHSUHVHQWDWLRQRIWKHXVHU·VFRQWH[W FRQGLWLRQVLQWKHFRQWH[WDZDUHDSSOLFDWLRQE\PHDQVRIFRQWH[WLQIRUPDWLRQ &RQWH[W LQIRUPDWLRQ YDOXHV DUH GHSLFWHG LQVLGH WKH FRQWH[WDZDUH DSSOLFDWLRQ 7KHVH YDOXHV DUH DSSUR[LPDWLRQV RI WKH UHDO ZRUOG FRQWH[W FRQGLWLRQV RI WKH XVHU·V FRQWH[W 2QO\ VSHFLILF FRQWH[W FRQGLWLRQV DUH UHOHYDQW WR WKH FRQWH[WDZDUH DSSOLFDWLRQ 7KH SURFHVV RI LGHQWLI\LQJ UHOHYDQWFRQGLWLRQVLVSDUWRIWKHFRQWH[WPRGHOOLQJDFWLYLWLHV  XVHU·VFRQWH[W FRQWH[WDZDUH DSSOLFDWLRQ XVHU D E VHQVLQJ FRQWH[WLQIRUPDWLRQ ORFDWLRQ9DOXH « WHPSHUDWXUH9DOXH « KHDUW%HDW9DOXH    6LWXDWLRQV 0RGHOOLQJWKHFRQWH[WFRQGLWLRQVLQWKHDSSOLFDWLRQ·VXQLYHUVHRIGLVFRXUVH DOORZVDSSOLFDWLRQGHVLJQHUVWRUHSUHVHQWDOOSRVVLEOHVWDWHRIDIIDLUVLQWKH DSSOLFDWLRQ·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HQWLWLHVDQG WKHLUFRQWH[WFRQGLWLRQV 6LWXDWLRQVEXLOGXSRQFRQWH[WPRGHOVVLQFHWKH\FDQEHFRPSRVHGRIPRUH HOHPHQWDU\NLQGVRIFRQWH[WFRQGLWLRQVDQGLQDGGLWLRQFDQEHFRPSRVHGRI H[LVWLQJVLWXDWLRQVWKHPVHOYHV([DPSOHVRIVLWXDWLRQVWKDWPD\EHRILQWHUHVW WRDFRQWH[WDZDUHDSSOLFDWLRQDUH´XVHULVUXQQLQJDQGKHVKHKDVDFFHVVWR )LJXUH,QWXLWLYHYLHZ RI FRQWH[W LQ WKH UHDO ZRUOG XVHU·V FRQWH[W DQG FRQWH[W LQIRUPDWLRQ LQ D FRQWH[WDZDUH DSSOLFDWLRQ

 &+$37(5 *(1(5$/&21&(376



KLVKHU PRELOH SKRQHµ DQG ´XVHU LV LQ GDQJHU RI DQ HPLQHQW HSLOHSWLF VHL]XUH DQG KHVKH LV GULYLQJµ 7KH ILUVW VLWXDWLRQ FRPELQHV WKH FRQWH[W FRQGLWLRQV´XVHULVUXQQLQJµDQG´XVHUKDVDFFHVVWRPRELOHSKRQHµ7KH VHFRQGVLWXDWLRQFRPELQHVWKHFRQWH[WFRQGLWLRQV´XVHUKDYLQJDQHSLOHSWLF VHL]XUHµDQG´XVHUGULYLQJDFDUµ

,Q RXU DSSURDFK ZH GHILQH VLWXDWLRQ W\SHV ZKLFK DLP DW FKDUDFWHUL]LQJ VLWXDWLRQVZLWKVLPLODUSURSHUWLHV)RUH[DPSOHWKHVLWXDWLRQW\SH´-RKQLV ZLWKLQPHWHUVIURP$OLFHµFRQVLVWVRIDOOVLWXDWLRQLQVWDQFHVLQZKLFKWKH GLVWDQFH EHWZHHQ -RKQ·V DQG $OLFH·V ORFDWLRQ LV VPDOOHU WKDQ  PHWHUV 6LPLODUO\ WKH VLWXDWLRQ W\SH ´3HUVRQ LV ZLWKLQ  PHWHUV IURP DQRWKHU SHUVRQµFRQVLVWVRIDOOVLWXDWLRQLQVWDQFHVLQZKLFKWKHGLVWDQFHEHWZHHQDQ\ WZRSHUVRQV·ORFDWLRQLVVPDOOHUWKDQPHWHUV $VLWXDWLRQH[KLELWVWHPSRUDOSURSHUWLHVVXFKDVWKHWLPHLQWHUYDOGXULQJ ZKLFKWKHVLWXDWLRQKROGV$VDQH[DPSOHFRQVLGHUWKHVLWXDWLRQV´-RKQLV PDUULHGWR$OLFHµDQG´-RKQDQG$OLFHDUHGLYRUFHGµ)URPWLPHWWRW HJIRU\HDUV-RKQKDVEHHQPDUULHGWR$OLFH'XULQJWKLVLQWHUYDODW DQ\WLPHWKHVLWXDWLRQ´-RKQLVPDUULHGWR$OLFHµKROGV,QWKLVZD\ZHFDQ DOVR GHILQH WHPSRUDO RSHUDWLRQV IRU UHODWLQJ VLWXDWLRQV DFFRUGLQJ WR WKHLU RFFXUUHQFHLQWHUYDOVVXFKDVSUHFHGHQFHRYHUODSSLQJDQGSRVWRFFXUUHQFH

7KH SURFHVV RI GHILQLQJ VLWXDWLRQV DQG VLWXDWLRQ W\SHV LV SDUW RI WKH FRQWH[WPRGHOOLQJDFWLYLWLHVZKLFKDUHGLVFXVVHGLQ&KDSWHU

 4XDOLW\RIFRQWH[W

&RQWH[WDZDUH DSSOLFDWLRQV GHSHQG VWURQJO\ RQ WKH DYDLODELOLW\ DQG WKH TXDOLW\ RI VHQVRUV RU PRUH JHQHUDOO\ FRQWH[W VRXUFHV &RQWH[WDZDUH DSSOLFDWLRQV DOVR GHSHQG RQ WKH DYDLODELOLW\ DQG FDSDELOLWLHV RI SRUWDEOH PRELOHGHYLFHVWKDWFDQEHXVHGWRLQWHUDFWZLWKWKHXVHU,QWKHODVW\HDUV VHQVRUV DQG GHYLFHV RI KLJKHU TXDOLW\ DUHSUROLIHUDWLQJ GXH WR DGYDQFHV LQ KDUGZDUH DQG PLQLDWXUL]DWLRQ +RZHYHU FXUUHQW VHQVRUV DQG GHYLFHV DUH QRW VXIILFLHQWO\ DFFXUDWH DQG WKH\ PD\ LQWURGXFH QRLVH GHOD\V DQG LPSHUIHFWLRQVWRWKHFRQWH[WLQIRUPDWLRQEHLQJVHQVHGDQGRUPHDVXUHG 7KHUHIRUHWKHTXDOLW\RIFRQWH[WLQIRUPDWLRQLVVWURQJO\GHSHQGHQWRI WKHPHFKDQLVPVXVHGWRFDSWXUHWKHFRUUHVSRQGLQJFRQWH[WFRQGLWLRQVIURP WKHXVHU·VHQYLURQPHQW6RPHFRQWH[WFRQGLWLRQVPD\KDYHWREHPHDVXUHG DQGWKHPHDVXULQJPHFKDQLVPVPD\KDYHDOLPLWHGDFFXUDF\RWKHUFRQWH[W FRQGLWLRQVPD\YDU\VWURQJO\LQWLPHVRWKDWWKHPHDVXUHPHQWPD\TXLFNO\ EHFRPHREVROHWH'HFLVLRQVEDVHGRQFRQWH[WLQIRUPDWLRQWDNHQLQFRQWH[W DZDUH DSSOLFDWLRQV PD\ DOVR FRQVLGHU WKH TXDOLW\ RI WKLV LQIRUPDWLRQ DQG WKHUHIRUHFRQWH[WDZDUHDSSOLFDWLRQVDOVRQHHGPHWDLQIRUPDWLRQDERXWWKH FRQWH[WFRQGLWLRQYDOXHVUHYHDOLQJWKHLUTXDOLW\

 6(59,&(25,(17('$5&+,7(&785(6    Q Q _{UHSUHVHQWHGBE\} UHSUHVHQWHGBE\ REMHFWVLQWKH DSSOLFDWLRQ &RQWH[W LQIRUPDWLRQ Q &RQGLWLRQ YDOXH 4XDOLW\ Q UHSUHVHQWHGBE\ _6LWXDWLRQ LQIRUPDWLRQ &RQGLWLRQ &RQWH[W 6LWXDWLRQ (QWLW\ Q _Q REMHFWVLQWKH UHDOZRUOG 

)LJXUH  GHSLFWV D 80/ FODVV GLDJUDP WKDW VXPPDUL]HV WKH FRQFHSWV SUHVHQWHGVRIDU7KLVPRGHOUHSUHVHQWVFRQWH[WLQWKH UHDOZRUOGXVHU·V HQYLURQPHQWDQGLQDSSOLFDWLRQVDVFRQWH[WLQIRUPDWLRQ&RQWH[WDOZD\V UHIHUVWRDQHQWLW\DQGFDQEHUHSUHVHQWHGE\DFROOHFWLRQRIFRQGLWLRQV,Q FRQWH[WDZDUH DSSOLFDWLRQV FRQWH[W LV UHIHUUHG WR DV FRQWH[W LQIRUPDWLRQ DQGLWVFRUUHVSRQGLQJFRQGLWLRQVDUHUHSUHVHQWHGE\FRQGLWLRQYDOXHVLQWKH DSSOLFDWLRQV,QDGGLWLRQWKHVHFRQWH[WFRQGLWLRQYDOXHVDUHUHODWHGWRVRPH TXDOLW\PHDVXUHVZKLFKGHWHUPLQHWKHTXDOLW\RIWKHLQIRUPDWLRQHJKRZ SUHFLVHDFFXUDWHRUIUHVKWKHLQIRUPDWLRQLV 7KHILJXUHDOVRUHSUHVHQWVVLWXDWLRQVZKLFKDUHSDUWLFXODUFRPSRVLWLRQV RI HQWLWLHV DQG FRQWH[W FRQGLWLRQV &RQWH[W FRQGLWLRQV LQ D VLWXDWLRQ PD\ EHORQJ WR GLIIHUHQW HQWLWLHV $ VLWXDWLRQ LV UHSUHVHQWHG DV VLWXDWLRQ LQIRUPDWLRQLQFRQWH[WDZDUHDSSOLFDWLRQV

$OWKRXJKZHGLVFXVVFRQWH[WDQGVLWXDWLRQLQIRUPDWLRQIURPWKHSRLQWRI YLHZ RI FRQGLWLRQ YDOXHV FRQWH[W PRGHOOLQJ FDQ RQO\ EH UHXVHG DQG JHQHUDOL]HGZKHQLFRQGLWLRQDQGVLWXDWLRQW\SHVDQGLLWKHLUVHPDQWLFV DQG UHODWLRQVKLSV DUH FOHDUO\ GHILQHG &KDSWHU  IRFXVHV RQ FRQWH[W PRGHOOLQJLVVXHVZKLFKDOVRLQFOXGHVLWXDWLRQPRGHOOLQJ

 6HUYLFH2ULHQWHG$UFKLWHFWXUHV

6HUYLFH2ULHQWHG$UFKLWHFWXUHV62$VXVHDQDUFKLWHFWXUDOVW\OHFHQWUHGRQ WKH FRQFHSW RI VHUYLFH WKDW FDQ EH DSSOLHG LQ WKH GHVLJQ RI GLVWULEXWHG DSSOLFDWLRQV >@ ,Q WKLV WKHVLV ZH DGRSW WKLV DUFKLWHFWXUDO VW\OH IRU WKH GHVLJQ RI FRQWH[WDZDUH DSSOLFDWLRQV ,Q WKLV VHQVH ZH FDQ VD\ WKDW D FRQWH[WDZDUHDSSOLFDWLRQSURYLGHVDFRQWH[WDZDUHVHUYLFHWRLWVXVHUV

,QRUGHUWRXQGHUVWDQGWKHFRQFHSWRIVHUYLFHZHFRQVLGHUWKHIROORZLQJ GHILQLWLRQRIV\VWHP>@

)LJXUH  'LDJUDP RI WKH FRQFHSWV UHODWHG WR FRQWH[W UHDO ZRUOG DQG DSSOLFDWLRQV

 &+$37(5 *(1(5$/&21&(376  6\VWHPDUHJXODUO\LQWHUDFWLQJRULQWHUGHSHQGHQWJURXSRILWHPVIRUPLQJDXQLILHG ZKROH 7KLVGHILQLWLRQDFNQRZOHGJHVWKDWDV\VWHPKDVDQLQWHUQDOSHUVSHFWLYHZKLFK FRQVLVWVRIDJURXSRILWHPVWKDWDUHLQWHUGHSHQGHQWDQGLQWHUDFWUHJXODUO\ EXWDOVRDQH[WHUQDOSHUVSHFWLYHZKLFKJLYHVWKHV\VWHPLWVLGHQWLW\DVDZKROH 7KHVHUYLFHFRQFHSWFRQFHQWUDWHVRQWKHH[WHUQDOSHUVSHFWLYHRIDV\VWHPLQ WHUPVRIWKHEHKDYLRXUWKDWFDQEHH[SHULHQFHGE\WKHHQYLURQPHQWXVHUV RI D V\VWHP 7KHUHIRUH D FRPSOHWH VHUYLFH VSHFLILFDWLRQ FRQVLVWV RI WKH LQWHUDFWLRQVEHWZHHQWKHV\VWHPSURYLGLQJWKHVHUYLFHDQGWKHXVHUVRIWKLV VHUYLFHDQGWKHUHODWLRQVKLSVEHWZHHQWKHVHLQWHUDFWLRQV7KLVVHSDUDWHVWKH VHUYLFHWKHVXSSRUWHGEHKDYLRXUIURPWKHHQWLW\SURYLGLQJWKHVHUYLFHWKH V\VWHP)LJXUHGHSLFWVDV\VWHPDVDDUHJXODUJURXSRILWHPVDQGED ZKROH)LJXUHDOVRVKRZVWKHV\VWHP·VHQYLURQPHQWDQGWKHVHUYLFHWKLV V\VWHPSURYLGHV7KHLQWHUQDOSHUVSHFWLYHRIWKHV\VWHPLVLUUHOHYDQWIRUWKH GHILQLWLRQRIWKHVHUYLFHDVUHSUHVHQWHGLQ)LJXUHE $V RSSRVHG WR WKH ILJXUHV GHSLFWHG LQ WKH SUHYLRXV VHFWLRQV ZKLFK UHSUHVHQW WKH LQWHUDFWLQJ HQWLWLHV WKH ILJXUHV SUHVHQWHG LQ WKLV VHFWLRQ UHSUHVHQW WKH EHKDYLRXUV H[KLELWHG E\ HQWLWLHV DQG WKH UHODWLRQV EHWZHHQ WKHVH EHKDYLRXUV %HKDYLRXUV DUH SUHVHQWHG E\ RYDO VKDSHV ZKLOH GRXEOH VLGHGDUURZVUHSUHVHQWLQWHUDFWLRQV  (QYLURQPHQW 6\VWHP 6HUYLFH (QYLURQPHQW 6\VWHPSDUWV D E _ ,QVHUYLFHRULHQWHGDUFKLWHFWXUHVDSSOLFDWLRQVDUHFRPSRVHGRIDSSOLFDWLRQ SDUWVE\FRQVLGHULQJWKHVHSDUWVRQO\IURPWKHSRLQWRIYLHZRIWKHVHUYLFHV WKDW WKHVH SDUWV SURYLGH $SSOLFDWLRQ SDUWV DUH RIWHQ FDOOHG DSSOLFDWLRQ FRPSRQHQWVRUVLPSO\FRPSRQHQWVLQWKHOLWHUDWXUH)URPQRZRQZHXVHWKH WHUPFRPSRQHQWZKHQUHIHUULQJWRDQDSSOLFDWLRQSDUW&RPSRQHQWVPD\QRW EH QHFHVVDULO\ LPSOHPHQWHG XVLQJ W\SLFDO FRPSRQHQWEDVHG WHFKQRORJLHV VXFKDV(-%>@RU&&0&25%$&RPSRQHQW0RGHO>@

7KH VHUYLFHRULHQWHG DUFKLWHFWXUH DSSURDFK LPSOLHV WKDW FRPSRQHQWV PDNHXVHRIHDFKRWKHU·VVHUYLFHVWRFRRSHUDWHLQRUGHUWRVXSSRUWWKHJRDOV RI WKH DSSOLFDWLRQ ,Q DGGLWLRQ VHUYLFHV DUH WKH RQO\ZD\ WR LQWHUDFWZLWK FRPSRQHQWVHQIRUFLQJLQWKLVZD\DGLVFLSOLQHLQWKHFRPSRVLWLRQRIWKH DSSOLFDWLRQ )XUWKHUPRUH VHUYLFH LQWHUDFWLRQV LQ D VHUYLFHRULHQWHG

)LJXUH  $ V\VWHP·V D LQWHUQDO SHUVSHFWLYH DQG E H[WHUQDO SHUVSHFWLYH