XPS and ESR spectroscopy of ZrO₂-Y₂O₃-Cr₂O₃ nanopowders
Збережено в:
Дата: | 2010 |
---|---|
Автори: | , , , , , , |
Формат: | Стаття |
Мова: | English |
Опубліковано: |
НТК «Інститут монокристалів» НАН України
2010
|
Назва видання: | Functional Materials |
Теми: | |
Онлайн доступ: | http://dspace.nbuv.gov.ua/handle/123456789/135141 |
Теги: |
Додати тег
Немає тегів, Будьте першим, хто поставить тег для цього запису!
|
Назва журналу: | Digital Library of Periodicals of National Academy of Sciences of Ukraine |
Цитувати: | XPS and ESR spectroscopy of ZrO₂-Y₂O₃-Cr₂O₃ nanopowders / I.A. Yashchishyn, A.M. Korduban, V.V. Trachevskiy, T.E. Konstantinova, I.A. Danilenko, G.K. Volkova, I.K. Nosolev // Functional Materials. — 2010. — Т. 17, № 3. — С. 306-310. — Бібліогр.: 17 назв. — англ. |
Репозитарії
Digital Library of Periodicals of National Academy of Sciences of Ukraineid |
irk-123456789-135141 |
---|---|
record_format |
dspace |
spelling |
irk-123456789-1351412018-06-15T03:05:05Z XPS and ESR spectroscopy of ZrO₂-Y₂O₃-Cr₂O₃ nanopowders Yashchishyn, I.A. Korduban, A.M. Trachevskiy, V.V. Konstantinova, T.E. Danilenko, I.A. Volkova, G.K. Nosolev, I.K. Characterization and properties 2010 Article XPS and ESR spectroscopy of ZrO₂-Y₂O₃-Cr₂O₃ nanopowders / I.A. Yashchishyn, A.M. Korduban, V.V. Trachevskiy, T.E. Konstantinova, I.A. Danilenko, G.K. Volkova, I.K. Nosolev // Functional Materials. — 2010. — Т. 17, № 3. — С. 306-310. — Бібліогр.: 17 назв. — англ. 1027-5495 http://dspace.nbuv.gov.ua/handle/123456789/135141 en Functional Materials НТК «Інститут монокристалів» НАН України |
institution |
Digital Library of Periodicals of National Academy of Sciences of Ukraine |
collection |
DSpace DC |
language |
English |
topic |
Characterization and properties Characterization and properties |
spellingShingle |
Characterization and properties Characterization and properties Yashchishyn, I.A. Korduban, A.M. Trachevskiy, V.V. Konstantinova, T.E. Danilenko, I.A. Volkova, G.K. Nosolev, I.K. XPS and ESR spectroscopy of ZrO₂-Y₂O₃-Cr₂O₃ nanopowders Functional Materials |
format |
Article |
author |
Yashchishyn, I.A. Korduban, A.M. Trachevskiy, V.V. Konstantinova, T.E. Danilenko, I.A. Volkova, G.K. Nosolev, I.K. |
author_facet |
Yashchishyn, I.A. Korduban, A.M. Trachevskiy, V.V. Konstantinova, T.E. Danilenko, I.A. Volkova, G.K. Nosolev, I.K. |
author_sort |
Yashchishyn, I.A. |
title |
XPS and ESR spectroscopy of ZrO₂-Y₂O₃-Cr₂O₃ nanopowders |
title_short |
XPS and ESR spectroscopy of ZrO₂-Y₂O₃-Cr₂O₃ nanopowders |
title_full |
XPS and ESR spectroscopy of ZrO₂-Y₂O₃-Cr₂O₃ nanopowders |
title_fullStr |
XPS and ESR spectroscopy of ZrO₂-Y₂O₃-Cr₂O₃ nanopowders |
title_full_unstemmed |
XPS and ESR spectroscopy of ZrO₂-Y₂O₃-Cr₂O₃ nanopowders |
title_sort |
xps and esr spectroscopy of zro₂-y₂o₃-cr₂o₃ nanopowders |
publisher |
НТК «Інститут монокристалів» НАН України |
publishDate |
2010 |
topic_facet |
Characterization and properties |
url |
http://dspace.nbuv.gov.ua/handle/123456789/135141 |
citation_txt |
XPS and ESR spectroscopy of ZrO₂-Y₂O₃-Cr₂O₃ nanopowders / I.A. Yashchishyn, A.M. Korduban, V.V. Trachevskiy, T.E. Konstantinova, I.A. Danilenko, G.K. Volkova, I.K. Nosolev // Functional Materials. — 2010. — Т. 17, № 3. — С. 306-310. — Бібліогр.: 17 назв. — англ. |
series |
Functional Materials |
work_keys_str_mv |
AT yashchishynia xpsandesrspectroscopyofzro2y2o3cr2o3nanopowders AT kordubanam xpsandesrspectroscopyofzro2y2o3cr2o3nanopowders AT trachevskiyvv xpsandesrspectroscopyofzro2y2o3cr2o3nanopowders AT konstantinovate xpsandesrspectroscopyofzro2y2o3cr2o3nanopowders AT danilenkoia xpsandesrspectroscopyofzro2y2o3cr2o3nanopowders AT volkovagk xpsandesrspectroscopyofzro2y2o3cr2o3nanopowders AT nosolevik xpsandesrspectroscopyofzro2y2o3cr2o3nanopowders |
first_indexed |
2025-07-09T21:09:29Z |
last_indexed |
2025-07-09T21:09:29Z |
_version_ |
1837205155396714496 |
fulltext |
;36�DQG�(65�VSHFWURVFRS\RI�=U2��<�2��&U�2� QDQRSRZGHUV
,�$�<DVKFKLVK\Q��$�0�.RUGXEDQ
��9�9�7UDFKHYVNL\
�7�(�.RQVWDQWLQRYD��,�$�'DQLOHQNR��*�.�9RONRYD��,�.�1RVROHY�
5HFHLYHG�0D\��������
2�*DONLQ�'RQHWVN�,QVWLWXWH�IRU�3K\VLFV�DQG�(QJLQHHULQJ��1DWLRQDO�$FDGHP\
RI�6FLHQFHV�RI�8NUDLQH�����5�/X[HPERXUJ�6W���������'RQHWVN��8NUDLQH
�*�.XUG\XPRY�,QVWLWXWH�IRU�0HWDO�3K\VLFV��1DWLRQDO�$FDGHP\�RI�6FLHQFHV�RI
8NUDLQH�����9HUQDGVN\�%OYG���������.\LY��8NUDLQH
'RSHG�]LUFRQLD�QDQRSRZGHUV�RI�=U2������PRO����<�2����[&U�2���[� ������������������������ FRPSRVLWLRQV� KDYH� EHHQ� SUHSDUHG� E\� FR�SUHFLSLWDWLRQ� WHFKQLTXH� DQG� VWXGLHG� XVLQJ
;�UD\� GLIIUDFWLRQ�� ;�UD\� SKRWRHOHFWURQ� VSHFWURVFRS\�� DQG� VSLQ� HOHFWURQ� UHVRQDQFH�� ,QWUR�
GXFWLRQ� RI� FKURPLXP� R[LGH� WR� ]LUFRQLD� VWDELOL]HG� ZLWK� \WWULXP� UHVXOWV� LQ� D� QRQXQLIRUP
GHSHQGHQFH� RI� FU\VWDOOLWH� VL]H�� PRQRFOLQLF� SKDVH� DPRXQW� DQG� VSHFLILF� VXUIDFH� DUHD� RQ
FKURPLXP�FRQFHQWUDWLRQ��7KH�MRLQW�DQDO\VLV�RI�VWUXFWXUDO�DQG�VSHFWURVFRSLF�GDWD�VXJJHVWV
WKDW� WKH� FU\VWDOOLWH� VL]H� LQFUHDVH� LV� FRQQHFWHG�ZLWK� FRPSHWLWLRQ� EHWZHHQ�GRSDQWV� DQG� WKH
LQFUHDVH� LQ�PRQRFOLQLF� SKDVH� DPRXQW� LV� FRQQHFWHG�ZLWK�=U��� VXEVWLWXWLRQ� IRU�&U��� LQ� WKH
FU\VWDO�ODWWLFH�RI�]LUFRQLD�QDQRSRZGHUV�
sÈÓº¹º¯º�}Ò� ãË�Ò¯ºmÈÓÓº�º� �Òº}°Ò�È� �Ò¯}ºÓÒ«� =U2�� �� �� PRO���� <�2�� �� [&U�2��[� �������������������������¹ºã��ËÓ©�äË�º�ºä�°ºmä˰�Óº�º�º°ÈÎ�ËÓÒ«�Ò�ÒÏ��ËÓ©�äË�º�
�ÈäÒ�¯ËÓ��ËÓº°�¯�}��¯Óº�º� ÈÓÈãÒÏÈ�� ¯ËÓ��ËÓºm°}º®�Áº�ºªãË}�¯ºÓÓº®� °¹Ë}�¯º°}º¹ÒÒ�Ò
ªãË}�¯ºÓÓº�º�¹È¯ÈäÈ�ÓÒ�Óº�º�¯ËϺÓÈÓ°È��{mË�ËÓÒË�º}°Ò�È�²¯ºäÈ�m�°�ÈÒãÒÏÒ¯ºmÈÓÓ©®
Ò��¯ÒËä� �Òº}°Ò�� �Ò¯}ºÓÒ«� ¹¯Òmº�Ò�� }� ÓËäºÓº�ºÓÓºä�� ÒÏäËÓËÓÒ
� ¯ÈÏä˯È� �Ȱ�Ò��
}ºãÒ�˰�mÈ� äºÓº}ãÒÓÓº®� ÁÈÏ©� Ò� ¹ãº�È�Ò� ��Ëã Óº®� ¹ºm˯²Óº°�Ò� m� ÏÈmÒ°Ò亰�Ò� º�
}ºÓ�ËÓ�¯È�ÒÒ�¹¯Òä˰Ò��kÓÈãÒÏ�°¹Ë}�¯º°}º¹Ò�˰}Ò²�Ò�°�¯�}��¯Ó©²��ÈÓÓ©²�¹ºÏmºã«Ë�
°�ËãÈ� �¹¯Ë�¹ºãºÎËÓÒË�º��ºä����º��mËãÒ�ËÓÒË�¯ÈÏä˯ºm��Ȱ�Ò��m©ÏmÈÓº�}ºÓ}�¯ËÓ�ÒË®
ãË�Ò¯�
�Ò²��ºÈmº}��È�¯º°��}ºãÒ�˰�mÈ�äºÓº}ãÒÓÓº®�ÁÈÏ©�°m«ÏÈÓ�°�ÏÈäË�ËÓÒËä�ÒºÓºm
=U���ÓÈ�ÒºÓ©�&U���m�¯Ë�Ë�}Ë��Òº}°Ò�È��Ò¯}ºÓÒ«�
���,QWURGXFWLRQ
'RSHG� ]LUFRQLD� SRVVHVV� DQ� RXWVWDQGLQJ
FRPELQDWLRQ�RI�SURSHUWLHV��QDPHO\��PHFKDQL�
FDO� VWUHQJWK� DQG� IUDFWXUH� WRXJKQHVV�� FRUUR�
VLRQ�UHVLVWDQFH��WKHUPDO�DQG�FKHPLFDO�VWDELO�
LW\�� KLJK� LRQLF� FRQGXFWLYLW\�� WUDQVSDUHQF\
ZLWKLQ� D� ZLGH� VSHFWUDO� UDQJH�� VWDELOLW\� WR
QHXWURQ� IOX[�� 7KLV� PDWHULDO� LV� DSSOLHG� LQ
YDULRXV�ILHOGV�DV�D�IXQFWLRQDO�DQG�VWUXFWXUDO
FHUDPLFV� LQFOXGLQJ� ELRFRPSDWLEOH� FHUDPLFV�
DV�DQ�HOHFWURO\WH�IRU�62)&��DV�D�FDWDO\VW��LQ
PHGLFLQH�� HWF�� 6WDELOL]DWLRQ� RI� KLJK�WHP�
SHUDWXUH�SRO\PRUSKV�RI�]LUFRQLD�LV�DFKLHYHG
E\�DGGLQJ�VXLWDEOH�RYHUVL]HG�FDWLRQV��IRU�H[�
DPSOH�� &D���� 0J���� <���� &H���� 2YHU� ODVW
\HDUV��DQ�LQFUHDVHG�LQWHUHVW�LV�SDLG�LQ�OLWHUD�
WXUH� WR� PXOWLFRPSRQHQW� GRSLQJ� RI� ]LUFRQLD
ZLWK� WZR� RU� PRUH� HOHPHQWV� SURYLGLQJ� WKH
PDWHULDO� SURSHUWLHV� WR� EH� YDULHG� LQ� D�ZLGHU
UDQJH�� >���@�� $PRQJ� PDQ\� HOHPHQWV� XVHG
IRU�GRSLQJ��FKURPLXP�VHHPV�WR�EH�WKH�OHDVW
OHDUQHG�RQH��EXW�LQ�RXU�RSLQLRQ��LW�LV�RQH�RI
WKH� PRVW� LQWHUHVWLQJ� GRSDQWV�� GXH� WR� LWV
VPDOOHU� LRQLF� UDGLXV� �5&U� � ������ QP�
5=U� �������QP���PXOWLYDOHQFH�DQG�SRVVLELO�
LW\� RI� LGHQWLILFDWLRQ� E\� YDULHW\� RI� VSHFWUR�
VFRSLF� WHFKQLTXHV�� 2XU� SUHYLRXV� ZRUNV� RQ
FKURPLXP� GRSLQJ� RI� VWDELOL]HG� ]LUFRQLD
>��� �@� VKRZ� WKDW� WKLV� HOHPHQW� SURGXFHV� D
)XQFWLRQDO�0DWHULDOV�����1R��������� ��������67&��,QVWLWXWH�IRU�6LQJOH�&U\VWDOV�
��� )XQFWLRQDO�PDWHULDOV�������������
VLJQLILFDQW� LPSDFW�RQ�WKH�=U2��<�2��V\VWHPSURSHUWLHV�� 7KRVH� ZRUNV� KDYH� GLVFRYHUHG
VHYHUDO� LQWHUHVWLQJ� HIIHFWV�� LQ� SDUWLFXODU�
WKH� HOHYDWLRQ� RI� QDQRSRZGHU� FU\VWDOOL]DWLRQ
WHPSHUDWXUH�� SDUWLFOH� JURZWK� VXSSUHVVLRQ�
DQG�D�VLJQLILFDQW�LQFUHDVH�LQ�WKH�QXPEHU�RI
SDUDPDJQHWLF� FHQWHUV�� &RPSXWHU� VLPXODWLRQ
RI� &U� LPSXULW\� LQ� =U2�� FU\VWDO� >�@� KDYHVKRZQ�D�FKDQJH�LQ�WKH�HOHFWURQ�VWUXFWXUH�RI
]LUFRQLD�ZLWK� FKURPLXP�EHLQJ� D� GRQRU��%H�
VLGHV� RI� WKH� HOHFWURQ� VWUXFWXUH� FKDQJH�� WKH
SUHVHQFH�RI�&U�LRQ�LQ�FDWLRQ�SRVLWLRQ�RI�]LU�
FRQLD� FU\VWDO� LQFUHDVHV� WKH� ELQGLQJ� HQHUJ\
RI�2+�JURXSV�ZLWK�QDQRSDUWLFOHV�VXUIDFH�UH�
VXOWLQJ�LQ�WKH�LQKLELWLRQ�RI�K\GUR[LGH�R[LGH
WUDQVIRUPDWLRQ� DQG� VKLIWLQJ� WKH� FU\VWDO�
OL]DWLRQ�WHPSHUDWXUH�WRZDUGV�KLJKHU�YDOXHV�
+RZHYHU�� WKH� DERYH� UHVXOWV� ZHUH� REWDLQHG
IRU� RQO\� WZR� FKURPLXP� FRQFHQWUDWLRQV� ����
DQG� ��PRO���&U�2���� 7KXV�� LQ� RUGHU� WR� H[�SORUH� WKH� LQIOXHQFH� RI� FKURPLXP� GRSLQJ� RQ
VWDELOL]HG�]LUFRQLD�SURSHUWLHV�LQ�PRUH�GHWDLO��D
QHZ�VHW�RI�VDPSOHV�ZDV�SUHSDUHG�FRQVLVWLQJ�RI
ILYH�VDPSOHV�ZLWK�FKURPLXP�R[LGH�FRQFHQWUD�
WLRQV� LQ� WKH� UDQJH� ���� PRO�� �� DQG� \WWULXP
R[LGH���PRO����7KH�FKURPLXP�R[LGH���\WWULXP
R[LGH�UDWLR�KDV�EHHQ�FKRVHQ�WR�EH��������������
����DQG������7KLV�ZRUN�SUHVHQWV�WKH�LQYHVWLJD�
WLRQ� UHVXOWV� RI� =U2��<�2��&U�2�� V\VWHP� XVLQJ;�UD\�GLIIUDFWLRQ��;36�DQG�(65�VSHFWURVFRS\�
���([SHULPHQWDO
7KH� FR�GRSHG� ]LUFRQLD� QDQRSRZGHUV�ZHUH
SUHSDUHG� E\� FR�SUHFLSLWDWLRQ� WHFKQLTXH��7KH
PL[HG� ZDWHU� VROXWLRQV� RI� =U2�12����<��12����DQG�&U�12����WDNHQ�DW�VWRLFKLRPHW�ULF� UDWLRV� ZHUH� XVHG� DV� VWDUWLQJ� PDWHULDOV�
7KH� SUHFLSLWDWHV� ZHUH� GULHG� DW� ���Å&� DQG
FDOFLQHG�LQ�DLU�DW����Å&�IRU���K�IROORZHG�E\
QDWXUDO� FRROLQJ� WRJHWKHU� ZLWK� WKH� IXUQDFH�
7KH�VDPSOHV�RI�IROORZLQJ�FRPSRVLWLRQV�ZHUH
LQYHVWLJDWHG�� =U2�� �� ��� PRO�� <�2�� �� [�&U�2���ZKHUH�[� ������������������������� ,QZKDW�IROORZV��WKH�VDPSOHV�DUH�UHIHUUHG�WR�DV
=<&U�ZLWK�U�EHLQJ������������������������DQGLQGLFDWLQJ� WKH� FKURPLXP� R[LGH� �� \WWULXP
R[LGH�UDWLR��$Q�;�UD\�GLIIUDFWRPHWHU��;5'�
ZLWK�QLFNHO�ILOWHUHG�&X�.D�UDGLDWLRQ�ZDV�XVHG
WR�GHWHUPLQH�WKH�SKDVH�FRPSRVLWLRQ�DQG�FU\V�
WDOOLWH�VL]H�RI�FDOFLQHG�SRZGHU��7KH�FU\VWDOOLWH
VL]H� ZDV� HVWLPDWHG� XVLQJ� WKH� 6FKHUUHU� IRU�
PXOD� >�@�� 7KH� SKDVH� FRPSRVLWLRQ� ZDV� FDOFX�
ODWHG�IURP�WKH�LQWHQVLWLHV�RI�WKH�����DQG��
BB
��
GLIIUDFWLRQ� OLQHV� RI�P�=U2�� DQG� ���� OLQH� RIW�=U2�� >��@�� 7KH� HOHFWURQ� VWUXFWXUH� RI
QDQRSRZGHUV�ZDV� LQYHVWLJDWHG� E\�;�UD\�SKR�
WRHOHFWURQ� VSHFWURVFRS\� XVLQJ� DQ� (6�����
VSHFWURPHWHU��(�0J.D� ��������H9��3� ����:�� S� � ������ 3D�� HTXLSSHG� ZLWK� D� 3+2,�
%26����� 63(&6� HQHUJ\� DQDO\]HU�� 7KH� VSHF�
WURPHWHU� ZDV� DOVR� HTXLSSHG� ZLWK� ,4(������
LRQ�JXQ�DQG�)*�������VORZ�HOHFWURQ�JXQ�IRU
FRPSHQVDWLRQ�RI�VXUIDFH�FKDUJH�RI�LQVXODWRUV�
7KH� ;36� VSHFWUD� ZHUH� H[SDQGHG� XVLQJ� WKH
*DXVV�1HZWRQ�PHWKRG�� 7KH� FRPSRQHQW� DUHDV
ZHUH�FDOFXODWHG�DIWHU�EDFNJURXQG�VXEWUDFWLRQ
E\�6KLUOH\�PHWKRG��7KH�(65�VSHFWUD�ZHUH�RE�
WDLQHG� XVLQJ� DQ� (/(;,6� ���� LQVWUXPHQW� DW
����*+]�IUHTXHQF\��$IWHU�LQWHJUDWLRQ��WKH�LQ�
LWLDO�(65�VSHFWUD�ZHUH�H[SDQGHG�LQWR�FRPSR�
QHQWV�XVLQJ�*DXVV�1HZWRQ�PHWKRG�
���'LVFXVVLRQ
7KH� ;�UD\� GLIIUDFWLRQ� VKRZV� WKDW� WKH
FU\VWDOOLWH� VL]H� DQG� SKDVH� FRPSRVLWLRQ� RI
QDQRSRZGHUV� YDU\� QRQPRQRWRQRXVO\� ZLWK
)LJ�����&RQFHQWUDWLRQ�GHSHQGHQFHV�RI�=U�G�;36
VSHFWUXP���Ü�=U������Ü�=U������Ü�=U���2+�����Ü
=U���
7DEOH����/DEHOV��FKHPLFDO�FRPSRVLWLRQ��DYHUDJH�FU\VWDOOLWH�VL]H��&6$��DQG�VSHFLILF�VXUIDFH�DUHD�RI
LQYHVWLJDWHG�QDQRSDUWLFOHV�
/DEHO vKHPLFDO�FRPSRVLWLRQ '��&6$���QP P�SKDVH��� 6%(7��P��J
=<&��� =U2������PRO����<�2� ���� ��� ����
=<&��� =U2��������PRO����<�2��������&U�2� ���� ��� ����
=<&���� ��=U2��������PRO����<�2���������&U�2� ���� ��� ����
=<&��� =U2��������PRO����<�2��������&U�2� ���� ��� ����
=<&��� �=U2��������PRO����<�2��������&U�2� ���� ��� ����
,�$�<DVKFKLVK\Q�HW�DO����;36�DQG�(65�VSHFWURVFRS\�RI����
)XQFWLRQDO�PDWHULDOV������������� ���
FKURPLXP� FRQFHQWUDWLRQ� LQFUHDVH� DQG� GHP�
RQVWUDWH� PD[LPD� DW� SDUWLFXODU� FKURPLXP
FRQFHQWUDWLRQV��7DEOH������7KH�FRQFHQWUDWLRQ
GHSHQGHQFH� RI� VSHFLILF� VXUIDFH� DUHD� DJUHHV
ZHOO� ZLWK� WKDW� RI� FU\VWDOOLWH� VL]H�� VKRZLQJ
WKDW�;�UD\�GLIIUDFWLRQ�SURYLGHV�DQ�DGHTXDWH
HVWLPDWLRQ� RI� QDQRSDUWLFOH� VL]H�� 7KH� PD[L�
PXP�YDOXHV�RI�FU\VWDOOLWH�VL]H�DQG�P�SKDVH
DPRXQW�DUH�DWWDLQHG�DW�FKURPLXP�R[LGH�FRQ�
FHQWUDWLRQV�RI�����DQG������PRO�����UHVSHF�
WLYHO\��7KH�FKURPLXP�LQWURGXFWLRQ�WR�\WWULXP
VWDELOL]HG�]LUFRQLD�UHVXOWV�LQ�D�VLJQLILFDQW�LQ�
FUHDVH� RI� FU\VWDOOLWH� VL]H� DW�����PRO��� FKUR�
PLXP�R[LGH�FRQFHQWUDWLRQ�IROORZHG�E\�D�PR�
QRWRQRXV� GHFUHDVH� LQ� FU\VWDOOLWH� VL]H� ZLWK
LQFUHDVLQJ�FKURPLXP�IUDFWLRQ��2XU�SUHYLRXV
ZRUN�>��@�VKRZV�WKDW�D�VLJQLILFDQW�VHJUHJD�
WLRQ� RI� \WWULXP� WDNHV� SODFH� DW� WKLV� FRQFHQ�
WUDWLRQ��WKLV� LV�DOVR�VXSSRUWHG�E\�)7,5�DQG
105�GDWD�RI�WKLV�V\VWHP�SXEOLVKHG�LQ�>��@�
7KH� GHFRPSRVLWLRQ� UHVXOWV� RI� <�G� DQG
&U�S�;36� VSHFWUD� DUH� SUHVHQWHG� LQ�7DEOH� �
DQG� FRQFHQWUDWLRQ�GHSHQGHQFHV� RI�=U�G�DQG
2�V�VSHFWUD�FRPSRQHQWV�DUH�VKRZQ�LQ�)LJ���
DQG�)LJ�����UHVSHFWLYHO\��7KH�GHFRPSRVLWLRQ
RI� =U�G� VSHFWUD� LQWR� FRPSRQHQWV� GHPRQ�
VWUDWHV� WKH� SUHVHQFH� RI� ]LUFRQLXP� LRQV� LQ
IRXU� QRQHTXLYDOHQW� VWDWHV�� PDLQ� R[LGDWLRQ
VWDWH�=U����(E� �������H9���R[LGH�VWDWHV�=U��
�(E� � ������ H9�� DQG�=U��� �(E� � ������ H9��DQG� K\GUR[LGH� VWDWH� =U���2+�� �(E� � �����H9���7KH�PDMRULW\�RI�VXUIDFH�]LUFRQLXP�LRQV
DUH� LQ� PDLQ� R[LGDWLRQ� VWDWH� =U��� �DERXW
������ DSSUR[LPDWHO\� ���� RI� =U� LRQV�� LQ
=U��� DQG� WKH� UHPDLQLQJ� IUDFWLRQ� LV� VKDUHG
EHWZHHQ�K\GUR[LGH�VWDWHV�DQG�=U���RQHV��7KH
SUHVHQFH� RI� =U��� LV� XQFRPPRQ� IRU� WKDW
R[LGH�� EXW� LW� ZDV� REVHUYHG� E\� RWKHU� UH�
VHDUFKHUV� >���� ��@� DQG� FRQQHFWHG�ZLWK� R[\�
JHQ�YDFDQFLHV�DV�ZHOO�DV�WKH�=U���VWDWH��&RQ�
FHQWUDWLRQ� GHSHQGHQFHV� RI� FRPSRQHQWV� LQ�
WHQVLWLHV� LQFOXGH� WZR� H[WUHPH� SRLQWV
FRUUHVSRQGLQJ�WR�PD[LPXP�YDOXHV�RI�FU\VWDO�
OLWH� VL]H� DQG�P�SKDVH� DPRXQW�� 7KH� YDULDWLRQ
RI� K\GUR[LGH� VWDWH� DPRXQW� ZLWK� FKURPLXP
FRQFHQWUDWLRQ�FRUUHODWHV�ZHOO�ZLWK�R[LGH�VWDWH
YDULDWLRQ�DQG�FRQQHFWHG�ZLWK�2+�JURXS�HOLPL�
QDWLRQ�IURP�WKH�QDQRSDUWLFOH�VXUIDFH�
7KH� <�G� ;36� VSHFWUXP� FRPSULVHV� RQO\
WZR� FRPSRQHQWV� FRUUHVSRQGLQJ� WR� PDLQ
R[LGH� VWDWH�<��� DQG�\WWULXP� LRQV� FRQQHFWHG
ZLWK� K\GUR[LGH� JURXSV�� ,W� VKRXOG� EH� PHQ�
WLRQHG� WKDW� YDVW� PDMRULW\� RI� \WWULXP� LRQV
DUH� LQ� WKH�PDLQ� R[LGH� VWDWH� �VHH� 7DEOH� ����
7KH� 2�V� VSHFWUXP� GHFRPSRVLWLRQ� UHYHDOV
WKUHH� PDLQ� FRPSRQHQWV�� 2��� �pE� � �����H9���2���G��� �pE� � �������� H9�� DQG� FRPSR�QHQWV� ZLWK�(E� � ������ DQG�(E� � ������ H9FRUUHVSRQGLQJ�WR�R[\JHQ�LRQV�RI�VXUIDFH�K\�
GUR[\O� JURXSV� RI� GLIIHUHQW� W\SH� >��@�� 7KH
2���G��� FRPSRQHQW� FDQ�EH� DWWULEXWHG� WR� R[\�
JHQ� LRQV� ZLWK� UHGXQGDQW� HOHFWURQ� GHQVLW\
ORFDOL]HG�QHDU�R[\JHQ�YDFDQFLHV��DQG�LWV� LQ�
WHQVLW\� FRUUHVSRQGV� WR� WKH� DPRXQW� RI� R[\�
JHQ� YDFDQFLHV� RQ� WKH� QDQRSDUWLFOH� VXUIDFH�
7KH� 2��� FRPSRQHQW� GRPLQDWLQJ� LQ� DOO� WKH
VSHFWUD�LV�DWWULEXWHG�WR�PDLQ�R[LGDWLRQ�VWDWH
RI� ]LUFRQLXP� LRQV�� � %HVLGHV�� WKH� VLJQDOV
IURP�\WWULXP�DQG�FKURPLXP�R[LGHV�DUH�SUH�
VHQW�LQ�WKH�ELQGLQJ�HQHUJ\�UDQJH�pE� ��������������H9��7KH�FRQFHQWUDWLRQ�GHSHQGHQFHV�RI
WKUHH�PDLQ�FRPSRQHQWV�DUH�VKRZQ�LQ�)LJ�����,W
LV� WR�QRWH� DV�ZHOO� WKDW� D� VLJQLILFDQW� LQFUHDVH
RI�2���G��� FRPSRQHQW� LQWHQVLW\� DW� ����PRO��
FRQFHQWUDWLRQ�LV�FRQQHFWHG�ZLWK�WKH�\WWULXP
)LJ�� ��� &RQFHQWUDWLRQ� GHSHQGHQFHV� RI� 2�V
;36�VSHFWUXP�����2�������2+������2���G��
7DEOH����5HODWLYH�FRPSRQHQW�LQWHQVLWLHV�LQ�&U�S�DQG�<�G�;36�VSHFWUD�
/DEHO 5HODWLYH�LQWHQVLWLHV���
(E�H9�
&U���
������
&U���
������
&U���2+��
�����
&U����
�����
<���
�����
=<&��� � � � � �����
=<&��� ����� ����� ����� ���� �����
=<&���� ����� ����� ����� ���� �����
=<&��� ����� ����� ����� ���� �����
=<&��� ����� ����� ����� ���� �����
,�$�<DVKFKLVK\Q�HW�DO����;36�DQG�(65�VSHFWURVFRS\�RI����
��� )XQFWLRQDO�PDWHULDOV�������������
VXUIDFH� VHJUHJDWLRQ� >��@� DQG� LQFUHDVLQJ
DPRXQW�RI�R[\JHQ�YDFDQFLHV�DW�WKH�QDQRSDU�
WLFOH� VXUIDFH� DFFRUGLQJ� WR� PHFKDQLVP� GH�
VFULEHG�LQ�>��@��
7KH�GHFRPSRVLWLRQ�RI�&U�S�VSHFWUXP�LQWR
FRPSRQHQWV� VKRZV� FKURPLXP� LRQV� LQ� IRXU
FKDUJH� VWDWHV� DW� WKH� QDQRSDUWLFOH� VXUIDFH�
7KHVH� VWDWHV� FRUUHVSRQG� WR� WKH�PDLQ� R[LGD�
WLRQ�VWDWH�RI�FKURPLXP�R[LGH�&U����&U���DQG
&U��� R[LGH� VWDWHV�� DQG� WKRVH� FRUUHVSRQGLQJ
WR�WKH�&U���2+��LRQV�FRQQHFWHG�ZLWK�K\GUR[�
LGH� JURXSV�� 7KH� GLVWULEXWLRQ� RI� FRPSRQHQW
LQWHQVLWLHV� DV� GHSHQGLQJ� RQ� FKURPLXP� FRQ�
FHQWUDWLRQ� LV� GLIIHUHQW� �7DEOH� ���� 7KH�PLQL�
PXP� YDOXHV� RI� R[LGH� DQG� K\GUR[LGH� &U��
VWDWHV�DUH�DWWDLQHG�DW������PRO���FKURPLXP
R[LGH� FRQFHQWUDWLRQ�� WKH� DPRXQW� RI� &U��
VWDWHV� UHDFKHV� LWV� PD[LPXP� DW� WKH� VDPH
FRQFHQWUDWLRQ� DORQJ� ZLWK� WKH� P�SKDVH
DPRXQW�� 7KH� FRQFHQWUDWLRQ� GHSHQGHQFH� RI
&U��� VWDWH� LV� PRQRWRQRXV� DQG� GRHV� QRW� H[�
FHHG�����LQ�LQWHQVLW\�
7KH�SDUDPHWHUV�RI�(65�OLQHV�PDNH�LW�SRV�
VLEOH� WR� DVVLJQ� WKH� REVHUYHG� VLJQDOV� WR
SDUDPDJQHWLF�=U����&U��� DQG�&U��� LRQV�� 7KH
FRPSRQHQW� ZLWK� J� ������ FRUUHVSRQGV� WR
&U���� WKDW� ZLWK� J� ������� WR� WKH� VLJQDO� RI
&U��� LRQV�DQG� WKH�EURDG� OLQH�ZLWK�J� �����
LV� DWWULEXWHG� WR� =U��� LRQV�� %HVLGHV� RI� WKH
VLJQDOV�PHQWLRQHG�� DQ� DGGLWLRQDO� EURDG� OLQH
ZLWK� J� � ������ LV� REVHUYHG� IRU� WKH� VDPSOH
ZLWK������PRO���RI�FKURPLXP�R[LGH�DQG� LV
DWWULEXWHG� WR� WKH� DSSHDUDQFH� RI� H[FKDQJH
LQWHUDFWLQJ� FOXVWHUV� RI� SDUDPDJQHWLF� LRQV
&���G���DQG�&U���G���
7KH� MRLQW� DQDO\VLV� RI� VSHFWURVFRSLF
GDWD� DQG� ;�UD\� GLIIUDFWLRQ� UHVXOWV� VKRZV
WKDW� IRU� FKURPLXP� FRQFHQWUDWLRQV� RI� ���
DQG� ����� PRO�� ��� WKH� SURSHUWLHV� RI� WKLV
V\VWHP� FKDQJH� FRQVLGHUDEO\�� LQ� SDUWLFXODU
IRU�WKH�FU\VWDOOLWH�VL]H�DQG�P�SKDVH�DPRXQW�
$� VLJQLILFDQW� LQFUHDVH� RI� FU\VWDOOLWH� VL]H� DW
FKURPLXP� FRQFHQWUDWLRQ� RI� ���� PRO�� �� LV
DWWULEXWHG� WR� WKH� FRPSHWLWLRQ� RI� GRSDQWV
GXULQJ� WKH� SDUWLFOH� JURZWK� ZLWK� \WWULXP
GLVSODFHPHQW� WR� WKH� QDQRSDUWLFOH� VXUIDFH
>��@�DQG�FDQ�EH�FRQQHFWHG�ZLWK�KLJKHU�FKUR�
PLXP� HOHFWURQHJDWLYLW\� FRPSDULQJ� WR� \W�
WULXP�� 7KH� VLJQLILFDQW� LQFUHDVH� RI�P�SKDVH
DPRXQW� DW� FKURPLXP� FRQFHQWUDWLRQ� RI� ����
PRO����FDQ�EH�FRQQHFWHG�ZLWK�WKH�VXEVWLWX�
WLRQ� RI� =U��� LRQV� IRU� &U��� LRQV� LQ� WKH
QDQRSDUWLFOH� FU\VWDO� ODWWLFH� DQG� WKH� V\VWHP
GHVWDELOL]DWLRQ� EHFDXVH� RI� VPDOOHU� LRQLF� UD�
GLXV� RI� WKH� ODWWHU�� 7KHVH� SUHVXPSWLRQV� DUH
VXSSRUWHG�E\�WKH�FRQFHQWUDWLRQ�GHSHQGHQFHV
RI� FRUUHVSRQGLQJ� FRPSRQHQW� LQWHQVLWLHV� LQ
WKH�;36� VSHFWUD� �)LJ�� ��� 7DEOH� ����� DV�ZHOO
DV� E\� WKH� DSSHDULQJ� FOXVWHUV� RI� H[FKDQJH
LQWHUDFWLQJ� SDUDPDJQHWLF� LRQV� &U���G��� DQG
&U���G���HYLGHQFHG�E\�WKH�(65�VSHFWUD�>��@�
$FFRUGLQJ� WR� >��@�� =U��� VWDWHV� SOD\� DQ� LP�
SRUWDQW�UROH�LQ�]LUFRQLD�SKDVH�VWDELOL]DWLRQ�
7KH� ODFN� RI� FRUUHODWLRQ� EHWZHHQ� FRQFHQ�
WUDWLRQ� GHSHQGHQFHV� RI� SDUDPDJQHWLF� =U��
FHQWHUV� EHWZHHQ�;36� DQG�(65� GDWD� LV� FRQ�
QHFWHG�ZLWK� WKH� IDFW� WKDW�(65�GDWD� DUH� DW�
WULEXWHG� WR� EXON� DQG� VXUIDFH� FHQWHUV� DQG
;36�GDWD�LV�OLPLWHG�RQO\�WR�WKH�����QP�WKLFN
VXUIDFH� OD\HU��7KH�DPRXQW�RI�R[\JHQ�YDFDQ�
)LJ�����(65�VSHFWUD�RI�QDQRSRZGHUV��,QVHW��VLJ�
QDO�FRUUHVSRQGLQJ�WR�FOXVWHUV�RI�H[FKDQJH�LQWHU�
DFWLQJ�SDUDPDJQHWLF�LRQV�&U���G���DQG�&U���G���
���=<&��������=<&��������=<&���������=<&����
)LJ�� ���&RQFHQWUDWLRQ�GHSHQGHQFHV� RI�SDUDP�
DJQHWLF� FHQWHUV� REWDLQHG� E\� (65�����&U����
���&U�����&U�������=U���2+������&U���
,�$�<DVKFKLVK\Q�HW�DO����;36�DQG�(65�VSHFWURVFRS\�RI����
)XQFWLRQDO�PDWHULDOV������������� ���
FLHV� DW� WKH� QDQRSDUWLFOH� VXUIDFH� DJUHHV� DOVR
ZLWK� WKH� DERYH� DVVXPSWLRQV�� WKH� VKDUS� LQ�
FUHDVH� RI� R[\JHQ� YDFDQFLHV� DPRXQW� DW� WKH
QDQRSDUWLFOH� VXUIDFH� DW� FKURPLXP� FRQFHQ�
WUDWLRQ� RI� ���� PRO�� �� FRUUHVSRQGV� WR� VLJ�
QLILFDQW� \WWULXP� VHJUHJDWLRQ� WR� WKH
QDQRSDUWLFOH� VXUIDFH� ZKLOH� WKH� IXUWKHU� PR�
QRWRQRXV� LQFUHDVH� WKHUHRI� FRUUHVSRQGV� WR
WKH� LQFUHDVH� RI�&U���VWDWHV�DPRXQW�DFFRUGLQJ
WR� WKH� FKHPLFDO� FRPSRVLWLRQ� DQG� PHFKDQLVP
RI�R[\JHQ�YDFDQFLHV�DSSHDUDQFH�IRU�GHVFULEHG
V\VWHPV�>��@�
���&RQFOXVLRQV
7KH� GRSLQJ� RI� \WWULXP� VWDELOL]HG� ]LUFRQLD
ZLWK�FKURPLXP�R[LGH�LQ�WKH�PHQWLRQHG�UDQJH
UHVXOWV� LQ� QRQPRQRWRQRXV� FKDQJHV� LQ� WKH
VWUXFWXUH�DQG�VSHFWURVFRSLF�SURSHUWLHV�RI� WKH
V\VWHP��7KH�VLJQLILFDQW�FKDQJHV�RI�SURSHUWLHV
RFFXU� DW� FKURPLXP� R[LGH� FRQFHQWUDWLRQV� RI
���� DQG� �����PRO���� ZKLOH� WKH� IXUWKHU� FRQ�
FHQWUDWLRQ� LQFUHDVH� FDXVHV� PRQRWRQRXV� YDUL�
DWLRQ� RI� WKH� QDQRSRZGHU� SURSHUWLHV�� %DVLQJ
RQ�MRLQW�DQDO\VLV��WZR�DVVXPSWLRQV�DUH�PDGH�
�L��WKH�FU\VWDOOLWH�VL]H�LQFUHDVH�LV�DWWULEXWHG�WR
WKH�FRPSHWLWLRQ�EHWZHHQ�GRSLQJ�DGGLWLYHV�DQG
DFFRPSDQLHG� E\� D� VLJQLILFDQW� VHJUHJDWLRQ� RI
\WWULXP� WR� WKH� QDQRSDUWLFOH� VXUIDFH�� �LL�� LQ�
FUHDVH� LQ�P�SKDVH� DPRXQW� LV� FRQQHFWHG�ZLWK
WKH�VXEVWLWXWLRQ�RI�=U��� LRQV�IRU�&U��� LRQV�LQ
WKH�]LUFRQLD�ODWWLFH��UHVXOWLQJ�LQ�D�GHVWDELOL]D�
WLRQ� RI� WKH� PHWDVWDEOH� WHWUDJRQDO� ]LUFRQLXP
GLR[LGH�SRO\PRUSK�
5HIHUHQFHV
� ���&��5��)RVFKLQL��'��3��)��6RX]D��3��,��3DXOLQ�)LOKR�
HW�DO���-��(XU��&HU��6RF�������������������
� ���<DQPHL�.DQ��*XRMXQ�=KDQJ��3HLOLQJ�:DQJ�HW�
DO���-��(XU��&HU��6RF������������������
� ���4LDQJ�=KHQ��5XLIDQJ�&KHQ��.DL�9DQ�HW�DO���-�
5DUH�(DUWKV�����������������
� ���*�� /��0DUNDU\DQ�� /��1�� ,NU\DQQLNRYD��*��3�
0XUDYLHYD� HW� DO�� &ROORLGV� DQG� 6XUIDFHV� $�
3K\VLFRFKHP��(QJLQ�$VSHFWV�����������������
� ���3�� 5DWQDVDP\�� '�� 6ULQLYDV�� &�� 9�� 9�� 6DW\�
DQDUD\DQD� HW� DO��� -�� &DWDO\VLV�� ����� ���
�������
� ���7�(�� .RQVWDQWLQRYD�� 9�9�� 7RNL\�� ,�$�
'DQLOHQNR� HW� DO��� 1DQRV\VWHPV�� 1DQRPDWHUL�
DOV��1DQRWHFKQRORJLHV�����������������
� ���$�0��.RUGXEDQ��,�$��<DVKFKLVK\Q��7�(��.RQ�
VWDQWLQRYD� HW� DO��� )XQFWLRQDO� 0DWHULDOV� ���
�����������
� ���1��7RNL\��7��.RQVWDQWLQRYD��'��6DYLQD�HW�DO��
LQ��3URF��RI�&RQI��&,07(&��������)LUHQ]H���S�
�����������
� ���$��/��3DWWHUVRQ��3K\V��5HY�����������������
����7��9��&KXVRYLWLQD��<X��6��7RURSRY��0��*��7UHW�
QLNRYD�� 5HIUDFWRULHV� DQG� ,QGXVWULDO� &HUDPLFV
���������������
����,�$��<DVKFKLVK\Q��$�0��.RUGXEDQ��9�9��7UD�
FKHYVNL\� HW� DO��� $S�� 6XUI�� 6FL��� ����� ����
�������
����,�$��<DVKFKLVK\Q��$�0��.RUGXEDQ��9�9��7UD�
FKHYVNL\�HW�DO���3K\V��DQG�&KHP��6ROLG�6WDWH�
���������������
����&��'LDJQH��+��,GULVV��.��3HDUVRQ�HW�DO���&RPS�
5HQG��&KLP�����������������
����5�+�� )UHQFK�� 6�-�� *ODVV�� )�6�� 2KXFKL� HW� DO��
3K\V��5HY���%�����������������
����$�$�� 7V\JDQHQNR�� 9�1�� )LOLPRQRY�� -�� 0RO�
6WU������������������
����$��&LPLQR��'��&RUGLVFKL��6��)HEUDUR�HW�DO���-�
0RO��&DW����������������
����0��+DUWPDQRYD��.��3XW\HUD��'��7XQHJD�HW�DO��
)HUURHOHFWULFV������������������
cnv��È�p�c�°¹Ë}�¯º°}º¹�«�ÓÈÓº¹º¯º�}�m°Ò°�ËäÒ�=U2��<�2��&U�2�´�k�Ð�Ò�ÒÓ��k�l�zº¯��ÈÓ��{�{��¯È�Ëm° }Ò®���p�zºÓ°�ÈÓ�ÒÓºmÈ��´�k�iÈÓÒãËÓ}º����z�{ºã}ºmÈ��´�z�sº°ºã¼m�
sÈÓº¹º¯º�}Ò�ãË�ºmÈÓº�º���º}°Ò����Ò¯}ºÓ�
�=U2������PRO����<�2����[&U�2���[� ������������������������ �º�˯ÎÈÓº�äË�º�ºä�°¹�mº°È�ÎËÓÓ«��È��º°ã��ÎËÓº�äË�º�ÈäÒ�¯ËÓ��Ë�
Óº°�¯�}��¯Óº�º�ÈÓÈã�Ï���¯ËÓ��ËÓ�m° }º��Áº�ºËãË}�¯ºÓÓº��°¹Ë}�¯º°}º¹����È�ËãË}�¯ºÓÓº�º
¹È¯ÈäÈ�Ó��Óº�º�¯ËϺÓÈÓ°����Ë��mÈÓÓ«�°�È�ã�ϺmÈÓº�º�º}°Ò�ºä���¯�
���º}°Ò����Ò¯}ºÓ�
º}°Ò�ºä� ²¯ºä�� ¹¯ÒÏmº�Ò� � �º� ÓËäºÓº�ºÓÓº�� Ïä�ÓÒ� ¯ºÏä�¯�� �Ȱ�ÒÓº}�� }�ã }º°��� äº�
Óº}ã�ÓÓº�� ÁÈÏÒ� �È� ¹Ò�ºäº�� ¹ºm˯²Ó�� m� ÏÈãËÎÓº°��� m��� }ºÓ�ËÓ�¯È���� �ºä��º}�� kÓÈã�Ï
°¹Ë}�¯º°}º¹��ÓÒ²� �È� °�¯�}��¯ÓÒ²� �ÈÓÒ²� ¹º}ÈÏÈm�� �º� Ï�ã �ËÓÓ«� ¯ºÏä�¯�� �Ȱ�ÒÓº}
mÒ}ãÒ}ÈÓº�}ºÓ}�¯ËÓ��¼
� ãË��
�Ò²��ºä��º}�� È� ϯº°�ÈÓÓ«�}�ã }º°���äºÓº}ã�ÓÓº��ÁÈÏÒ
¹ºm�«ÏÈÓº�Ï�ÏÈä��ËÓÓ«ä��ºÓ�m�=U���ÓÈ��ºÓÒ�&U������¯È������º}°Ò����Ò¯}ºÓ�
�
,�$�<DVKFKLVK\Q�HW�DO����;36�DQG�(65�VSHFWURVFRS\�RI����
��� )XQFWLRQDO�PDWHULDOV�������������
|