Featureless techniques for estimating camera motion (scale and rotation) in videos

)($785(/(66 7(&+1,48(6 )25 (67,0$7,1* &$0(5$
027,21 6&$/( $1' 527$7,21
,1 9,'(26

$%+,1$9 6,1*+

1$7,21$/ 81,9(56,7< 2) 6,1*$325(




)($785(/(66 7(&+1,48(6 )25 (67,0$7,1* &$0(5$
027,21 6&$/( $1' 527$7,21
,1 9,'(26

$%+,1$9 6,1*+
%6F +RQV
&RPS

,QIR 6FL 186


$ WKHVLV VXEPLWWHG
IRU WKH 'HJUHH RI 0DVWHU RI 6FLHQFH
6FKRRO RI &RPSXWLQJ
1DWLRQDO 8QLYHUVLW\ RI 6LQJDSRUH




1DPH $EKLQDY 6LQJK

'HJUHH 0DVWHU RI 6FLHQFH &RPSXWHU 6FLHQFH


'HSDUWPHQW 'HSW RI &RPSXWHU 6FLHQFH 6FKRRO RI &RPSXWLQJ

7KHVLV 7LWOH )HDWXUHOHVV 7HFKQLTXHV IRU (VWLPDWLQJ &DPHUD 0RWLRQ 6FDOH DQG 5RWDWLRQ
LQ

9LGHRV

$EVWUDFW
7KLV WKHVLV SUHVHQWV WZR IHDWXUHOHVV WHFKQLTXHV IRU HIILFLHQW DQG UREXVW UHFRQVWUXFWLRQ RI FDPHUD

PRWLRQ IURP GLJLWDO YLGHR ([LVWLQJ DSSURDFKHV LI UHOLDEOH DUH VORZ DQG FRPSXWDWLRQ LQWHQVLYH

RU WRR XQUHOLDEOH DQG DSSUR[LPDWH LI IDVW 7KH SURSRVHG WHFKQLTXHV SUHVHQW D JRRG EOHQG RI

FRPSXWDWLRQDO HIILFLHQF\ DQG TXDOLW\ ZLWK UHVXOWV DFFHSWDEOH WR PRVW SUDFWLFDO DSSOLFDWLRQV

7KH ILUVW WHFKQLTXH UHOLHV XSRQ WKH 3KDVH&RUUHODWLRQ PHWKRG WR GHULYH PRWLRQ ILHOG IURP

YLGHRV ZKLOH WKH VHFRQG RQH WDNHV 03(* PRWLRQYHFWRUV DV DSSUR[LPDWH UHSUHVHQWDWLRQV RI WKLV

ILHOG 7KHVH PRWLRQ ILHOGV DUH WKHQ WKRURXJKO\ SURFHVVHG DQG PDWFKHG ZLWK JHRPHWULFDO PRGHOV
WR GHULYH FDPHUD SDUDPHWHUV

7KH VWUHQJWK RI RXU DSSURDFK OLHV LQ WKH HPSKDVLV RQ SURSRVHG UHILQHPHQW VWHSV DQG UREXVW

REMHFWEDFNJURXQG VHJPHQWDWLRQ ± ZKLFK HQVXUH WKDW WKH UHFRQVWUXFWLRQ LV RI FRPSDUDEOH TXDOLW\

GHVSLWH WKH UHODWLYHO\ FRDUVH QDWXUH RI WKH PRWLRQ ILHOGV WR D PRUH VRSKLVWLFDWHG WHFKQLTXH WKDW

XVHV GHQVH VXESL[HO RSWLFDO IORZ PRWLRQ HVWLPDWLRQ PHWKRG 6XEVWDQWLDO VSHHG JDLQV DUH DOVR

GHPRQVWUDWHG

.H\ZRUGV
&DPHUD 0RWLRQ 5HFRQVWUXFWLRQ 0RWLRQ 'HWHFWLRQ DQG (VWLPDWLRQ &RQWHQW %DVHG ,QGH[LQJ RI

9LGHR &RPSXWHU 9LVLRQ 2EMHFW)HDWXUH 7UDFNLQJ 'LJLWDO 9LGHR 0DQLSXODWLRQ




$FNQRZOHGJHPHQWV
$ QRWH RI DFNQRZOHGJHPHQW LV D URXWLQH SDUW RI DQ\ WKHVLV RU SURMHFW UHSRUW WR H[SUHVV WKH DXWKRU¶V JUDWLWXGH WR
SHRSOH ZKR KDYH EHHQ RI KHOS LQ VRPH ZD\ RU WKH RWKHU %XW P\ FDVH LV GLIIHUHQW 7KLV WKHVLV PDUNV WKH HQG RI P\
VL[ PRQWKV¶ PHPRUDEOH VWD\ LQ )UDQFH ZKLFK , ZLOO FKHULVK LQ PHPRULHV DOO P\ OLIH WKURXJK , KDYH PRUH WKDQ
DFNQRZOHGJHPHQWV DQG JUDWLWXGH WR H[SUHVV ± WR D IHZ SHRSOH ZKR KDYH UHDOO\ PDGH D GLIIHUHQFH QRW RQO\ LQ P\
ZRUN EXW LQ P\ OLIH WRR 8QIRUWXQDWHO\ WKH WKHVLV IRUPDW GRHV QRW DOORZ IRU VXFK D VHFWLRQ DQG , KDYH WR PDQDJH
ZLWK WKLV DFNQRZOHGJHPHQWV VHFWLRQ RQO\ 6WLOO , ZLOO WU\ WR GR MXVWLFH WR P\ IHHOLQJV LQ RQH SDJH ZLWK WKH IROORZLQJ
ZRUGV«
0\ XWPRVW JUDWLWXGH LV GXH WR 'U *HRUJHV 4XpQRW P\ SURMHFW DGYLVRU LQ &/,36,0$* )UDQFH +LV NLQGQHVV
WUDQVFHQGV WKH EDUULHUV RI D VXSHUYLVRUVWXGHQW UHODWLRQVKLS %H LW SLFNLQJ PH XS IURP WKH EXV VWDWLRQ LQ KLV FDU
GURSSLQJ PH WR P\ QHZ DFFRPPRGDWLRQ GURSSLQJ PH WR RIILFH RQ P\ ILUVW GD\ RU VLWWLQJ KRXUV ZLWK PH RQ WKH
FRPSXWHU WR KHOS PH VROYH P\ SURJUDPPLQJ EXJV ± KLV JHQWOH DQG KHOSIXO QDWXUH LV VRPHWLPHV DOPRVW XQEHOLHYDEOH
+LV H[WUHPHO\ VLQFHUH DQG KDUG ZRUNLQJ DWWLWXGH KDV KDG D GHHS LPSDFW XSRQ PH DQG VKDULQJ KLV RIILFH ZDV D JROGHQ
RSSRUWXQLW\ IRU PH WR OHDUQ D ORW IURP D PDQ ZKR EHOLHYHV LQ SXUH HIIRUW DQG \HW PDLQWDLQV VXFK D IULHQGO\ ZDUP
DQG XQDVVXPLQJ FRXQWHQDQFH

%DFN LQ 6LQJDSRUH P\ FRVXSHUYLVRU 'U 0RKDQ .DQNDQKDOOL KDV EHHQ D VRXUFH RI FRQWLQXRXV HQFRXUDJHPHQW DQG
FRQVWUXFWLYH IHHGEDFN WKURXJKRXW WKHVH VL[ PRQWKV , DP KLJKO\ LQGHEWHG WR KLP IRU JLYLQJ PH WKH RSSRUWXQLW\ WR JR
WR &/,36,0$* /DEV LQ )UDQFH DQG KDYH WKLV ZRQGHUIXO H[SHULHQFH , DP DOVR H[WUHPHO\ WKDQNIXO WR KLP LQ WDNLQJ
FDUH RI D ORW RI SDSHUZRUN IRU PH ZKLOH , ZDV KHUH LQ )UDQFH 8SRQ P\ UHWXUQ WR 6LQJDSRUH KH JXLGHG PH DQG ZDV
YHU\ SDWLHQW ZKLOH , WRRN P\ WLPH WR ILQLVK WKH ILQDO WKHVLV , DP WKDQNIXO IRU KLV NLQG JXLGDQFH DQG VXSSRUW
0DQ\ WKDQNV WR 'U 3KLOLSSH 0XOKHP WRR VKDOO , DVVRFLDWH KLP WR 6LQJDSRUH RU )UDQFH" +H LV RPQLSUHVHQW
 ZKR
KDV GLOLJHQWO\ FRRUGLQDWHG HDFK DVSHFW RI P\ VWD\ DQG ZRUN LQ )UDQFH EH LW WKH SODQH WLFNHWV WKH DFFRPPRGDWLRQ
KHOSLQJ PH ORFDWH UHVHDUFK SDSHUV RU DQ\ RWKHU LPDJLQDEOH WKLQJ $Q XQVXDO DFNQRZOHJPHQW LV UHDOO\ GXH WR P\ ODQGODG\ QR , DP QRW MXVW UDQGRPO\ DFNQRZOHGJLQJ HYHU\RQH QRZ

0DGDPH 9LYLDQH 7HGRQH KDV EHHQ D PRWKHUJUDQGPRWKHU ILJXUH WR PH IRU WKHVH VL[ PRQWKV 6KH GURYH PH WR RIILFH
ZKHQ WKHUH ZHUH WUDP VWULNHV JDYH PH PRVW SUDFWLFDO DGYLFH DERXW OLIH LQ )UDQFH KDV EHHQ P\ FRPSDQLRQ LQ VKDULQJ
P\ MR\V DQG VRUURZV WRRN FDUH RI PH OLNH KHU RZQ VRQ HYHQ ZDVKHG P\ FORWKHV VRPHWLPHV $OO WKLV LV WRR
XQEHOLHYDEOH WR PH DQG , FDQ¶W H[SUHVV P\ H[WUHPH JUDWLWXGH DQG DIIHFWLRQ IRU KHU LQ ZRUGV $OO LQ DOO VKH PDGH PH
ORRN IRUZDUG WR JR EDFN ³KRPH´ HYHU\GD\ DIWHU ZRUN MXVW OLNH P\ ORFDO FROOHDJXHV DQG IULHQGV KHUH
$QG \HV , IRXQG VRPH IULHQGV IRU OLIH KHUH WRR« -HDQ ZKRP , XQIRUWXQDWHO\ GLG QRW JHW WR NQRZ ZKLOH KH ZDV 
PRQWKV LQ 6LQJDSRUH
KDV KHOSHG PH ZLWK VR PDQ\ WKLQJV WKDW , FDQ¶W HYHQ PHQWLRQ LQ WKLV VSDFH ,W LV WKURXJK KLP
WKDW , PDGH VR PDQ\ IULHQGV LQ )UDQFH ZLWK KLPVHOI EHLQJ RQH RI WKH EHVW )DEULFH P\ UHOLDEOH OXQFK FRPSDQLRQ DQG
)UHQFK WHDFKHU KDV DOZD\V EHHQ WKHUH IRU FRPSDQ\ GLVFXVVLRQ DERXW )UDQFH DQG LWV FXOWXUH RU MXVW D FRIIHH LQ WKH
&DIHWHULD +DWHP KDV DOZD\V PDGH VXUH WKDW KH LQYLWHG PH WR DOO KLV JDWKHULQJV DQG SDUWLHV $QG ILQDOO\ P\ QH[W
GRRU QHLJKERXU DQG DQ XQEHOLHYDEO\ KHOSIXO DQG NLQG IULHQG 0EDUHN ZKRP , KDYH VSHQW PRVW RI P\ WLPH ZLWK
HDWLQJ DW KLV SODFH DQG ZRUNLQJ ODWH QLJKWV RU GXULQJ ZHHNHQGV LQ WKH RIILFH 7KH OLVW RI IULHQGV LV FRXQWOHVV DQG ,
ZLVK , FRXOG WKDQN HDFK RQH RI WKHP VHSDUDWHO\
$V P\ VL[ PRQWKV¶ VWD\ LQ )UDQFH FRPHV WR DQ HQG , ORRN EDFN DQG UHDOL]H KRZ GLIIHUHQW LV P\ ZRUOG QRZ ,Q
-DQXDU\ , ZDV D WRWDO VWUDQJHU KHUH FRXOG QRW HYHQ VSHDN )UHQFK DQG KRQHVWO\ IHOW KRPHVLFN %XW WRGD\ , KDYH D
JURXS RI YHU\ JRRG IULHQGV KHUH D KRPH WR JR EDFN WR HYHU\ HYHQLQJ DQG , GR QRW UHPHPEHU WKH ODVW WLPH ZKHQ ,
VSRNH LQ (QJOLVK ZLWK DQ\ IULHQG KHUH , IHHO ZHOO LQWHJUDWHG KHUH DQG KRQHVWO\ IHHO VDG WR OHDYH« WKDQNV WR HYHU\RQH
ZKR KDV LQ RQH ZD\ RU DQRWKHU KHOSHG EULQJ DERXW WKLV ZRQGHUIXO WUDQVIRUPDWLRQ




7DEOH RI &RQWHQWV
7LWOH

3DJH

$EVWUDFW
6XPPDU\
'HWDLOHG 6XPPDU\

YL
YLL
YLLL

&KDSWHU  %DFNJURXQG DQG 0RWLYDWLRQ



 7KH 9LGHR ,QIRUPDWLRQ 0RGHO 2YHUYLHZ
 *HQHUDOLWLHV
 7KH 6SDWLR7HPSRUDO 6WUXFWXUH RI 9LGHR 'RFXPHQWV
 9LGHR ,QIRUPDWLRQ 0DQLSXODWLRQ 2UJDQL]DWLRQ
 &RQWHQW %DVHG 9LGHR ,QGH[LQJ
 7\SHV RI &RQWHQW DQG )HDWXUHV LQ D 9LGHR









 $SSOLFDWLRQV RI &RQWHQW %DVHG 9LGHR ,QGH[LQJ
 5HTXLUHPHQWV RI DQ (IIHFWLYH 9LGHR ,QGH[LQJ 3URFHVV
 &KDOOHQJHV RI DQ (IIHFWLYH 9LGHR ,QGH[LQJ 3URFHVV
 $ JHQHULF &RQWHQW %DVHG 9LGHR ,QGH[LQJ SURFHVV
 9LGHR ,QGH[LQJ EDVHG RQ &DPHUD 0RWLRQ $QDO\VLV
 2YHUYLHZ DQG 'HILQLWLRQ RI &DPHUD 0RWLRQ








 2UJDQL]DWLRQ RI WKH 7KHVLV



 8VHV DQG $SSOLFDWLRQV RI &DPHUD 0RWLRQ $QDO\VLV
 $ JHQHULF &DPHUD 0RWLRQ EDVHG 9LGHR ,QGH[LQJ 3URFHVV
 0RWLYDWLRQ IRU WKLV 5HVHDUFK
 3XUSRVH RI WKH 5HVHDUFK
 5DWLRQDOH DQG -XVWLILFDWLRQ
 ([SHFWHG &RQWULEXWLRQ








&KDSWHU  %LEOLRJUDSKLFDO 6XUYH\ RI 5HODWHG :RUN



 ,QWURGXFWLRQ
 9LGHR 6HJPHQWDWLRQ DQG 3DUVLQJ 7HFKQRORJLHV
 0RVDLF DQG 3DQRUDPD %XLOGLQJ 0HWKRGV







 0RWLRQ ([WUDFWLRQ DQG &ODVVLILFDWLRQ 7HFKQLTXHV



&KDSWHU  6\VWHP $UFKLWHFWXUH DQG WKH 3URSRVHG 0RGHO



 7KH &/,36,0$* 6\VWHP

 2YHUYLHZ
 7HPSRUDO 9LGHR 6HJPHQWDWLRQ
 &RPSXWDWLRQ RI 2SWLFDO )ORZ
 %XLOGLQJ DQG 6HOHFWLRQ RI 7UDMHFWRULHV
 5HFRYHU\ RI &DPHUD 0RWLRQ








&KDSWHU  &DPHUD 0RWLRQ ([WUDFWLRQ 3URFHVV



 ,QWURGXFWLRQ
 *HQHULF VWHSV RI WKH SURFHVV
 &KDOOHQJHV DQG 'LIILFXOWLHV
 $VVXPSWLRQV DQG /LPLWDWLRQV
 7HPSRUDO 9LGHR 6HJPHQWDWLRQ







 0RWLRQ 0RGHOOLQJ

 3XUSRVH DQG 6LJQLILFDQFH
 7KH *HRPHWULF 7UDQVIRUP +\SRWKHVLV










2EMHFW DQG )HDWXUH 'HWHFWLRQ DQG 7UDFNLQJ $OJRULWKPV
&DPHUD 0RWLRQ ([WUDFWLRQ IURP &RPSUHVVHG 'RPDLQ 9LGHR
2WKHU 5HODWHG :RUN
&XUUHQW 7UHQGV DQG 6SHFXODWLRQ

 /LPLWDWLRQV RI WKH 6\VWHP
 3UREOHP 6WDWHPHQW DQG 3URSRVHG 6\VWHP ([WHQVLRQ
 0RWLYDWLRQ IRU WKH 3URSRVHG :RUN
 3URSRVHG ([WHQVLRQV WR WKH &/,36,0$* V\VWHP
 3URSRVHG 6\VWHP 2YHUYLHZ

 6KRW %RXQGDU\ 'HWHFWLRQ 7HFKQLTXHV
 7\SHV RI YLGHR VKRWV DQG WKHLU XWLOLW\
 0RWLRQ (VWLPDWLRQ
 0RWLRQ 'HWHFWLRQ DQG &ODVVLILFDWLRQ
 0RWLRQ )LHOG (VWLPDWLRQ DQG ([WUDFWLRQ 7HFKQLTXHV
 0RWLRQ )LHOG 3RVWSURFHVVLQJ






















 )HDWXUH %DVHG DQG )HDWXUHOHVV &RUUHVSRQGHQFH



 $VVXPSWLRQV UHJDUGLQJ WKH &DPHUD 0RGHO
 'HULYLQJ &DPHUD 3DUDPHWHUV IURP WKH 0RWLRQ 0RGHO




 6HOHFWLRQ RI D 0RWLRQ 0RGHO
 0RWLRQ 0RGHO 3DUDPHWHU (VWLPDWLRQ
 2EMHFW%DFNJURXQG 6HJPHQWDWLRQ DQG 3DUDPHWHU &RQYHUJHQFH
 &DPHUD 3DUDPHWHU (VWLPDWLRQ
 6HOHFWLRQ RI D &DPHUD 0RGHO
 &DPHUD 3DUDPHWHU 7\SHV








&KDSWHU  0RWLRQ )LHOG $QDO\VLV XVLQJ 03(* 0RWLRQ 9HFWRUV



 ,QWURGXFWLRQ WR WKH 03(* 9LGHR 6WDQGDUG
 *HQHUDO 2YHUYLHZ




 7KH 03(* &RPSUHVVLRQ $OJRULWKP
 0RWLRQ &RPSHQVDWLRQ LQ 03(* 9LGHRV
 0RWLRQ 9HFWRUV DV 0RWLRQ )LHOG $SSUR[LPDWLRQV
 ,VVXHV UHJDUGLQJ WKH XVH RI 03(* PRWLRQ YHFWRUV
 ([WUDFWLQJ 0RWLRQ 9HFWRUV IURP 03(* 9LGHRV

 3UREOHPV DQG /LPLWDWLRQV RI 03(* 0RWLRQ 9HFWRUV








 $GDSWLQJ 03(*VSHFLILF 0RWLRQ ,QIRUPDWLRQ WR WKH JLYHQ WDVN
 )UDPHW\SH DQG )RUPDW,QGHSHQGHQW 0RWLRQ 5HSUHVHQWDWLRQ
 7KH 6WDQGDUG 0RWLRQ )LHOG ([WUDFWLRQ $OJRULWKP
 %HQHILWV RI WKH $SSURDFK
 $VVXPSWLRQV DQG /LPLWDWLRQV RI WKH $SSURDFK
 ,PSURYLQJ DQG 3RVW3URFHVVLQJ WKH 03(* 0RWLRQ )LHOG








&KDSWHU  0RWLRQ )LHOG $QDO\VLV 8VLQJ 3KDVH &RUUHODWLRQ 0HWKRG



 ,QWURGXFWLRQ WR WKH 3KDVH &RUUHODWLRQ 0HWKRG



 ,QFUHDVLQJ WKH 0RWLRQ 9HFWRU 3UHFLVLRQ WR 6XESL[HO $FFXUDF\
 %XLOGLQJ 6SHFLILF &RQILGHQFH 0HDVXUHV
 2EVHUYDWLRQV DQG &RPPHQWV

 6SDWLDO DQG )UHTXHQF\ 'RPDLQV
 7KH )RXULHU 7UDQVIRUP










 7KH 3KDVH &RUUHODWLRQ 0HWKRG

 7KH 3KDVH &RUUHODWLRQ 6XUIDFH
 8VLQJ WKH 3KDVH &RUUHODWLRQ 0HWKRG
 ,PDJH 3DUWLWLRQLQJ
 :LQGRZLQJ 6PRRWKHQLQJ DQG )LOWHULQJ
 3KDVH &RUUHODWLRQ &RPSXWDWLRQ
 8VLQJ WKH REWDLQHG 3KDVH &RUUHODWLRQ 6XUIDFH

 ,PSURYLQJ DQG 3RVWSURFHVVLQJ WKH 3KDVH &RUUHODWLRQ 0RWLRQ )LHOG
 %ORFN 6L]H
 2YHUODSSLQJ 6HDUFK :LQGRZV IRU ,PSURYHG 6HDUFK

 2EWDLQLQJ 6XESL[HO $FFXUDF\
 ,QFUHDVLQJ WKH 3UHFLVLRQ E\ WKH 7ZR 6WHS 6HDUFK $OJRULWKP
 %XLOGLQJ 6SHFLILF &RQILGHQFH 0HDVXUHV

 ,PSOHPHQWDWLRQ DQG 3HUIRUPDQFH ,VVXHV
 7KH )DVW )RXULHU 7UDQVIRUP &RPSXWDWLRQ
 6SHHG3HUIRUPDQFH 7UDGHRIIV
 $Q ([DPSOH 0RWLRQ )LHOG ([WUDFWLRQ 3URFHVV
 2EVHUYDWLRQV DQG &RPPHQWV






















&KDSWHU  0RWLRQ )LHOG 3URFHVVLQJ DQG 0RGHOOLQJ



 (OLPLQDWLQJ 1RLVH DQG 6WUD\ 0RWLRQ )LHOGV
 8VLQJ &RQILGHQFH 0HDVXUHV
 7KH 5ROH RI &RQILGHQFH 0HDVXUHV
 6RIWHU &ODVVLILFDWLRQ 8VLQJ WKH VLJPRLG )XQFWLRQ






 0RGXOH RI WKH *UDGLHQW RI 9HFWRU )LHOG
 6KL7RPDVL.DQDGH (LJHQYDOXHV
 &XPXODWLYH &RQILGHQFH 0HDVXUHV
 &RQILGHQFH 0HDVXUHV GXULQJ 2EMHFW%DFNJURXQG 6HJPHQWDWLRQ
 *HRPHWULFDO 7UDQVIRUP 3DUDPHWHU (VWLPDWLRQ 3URFHVV
 SDUDPHWHU 7UDQVODWLRQDO PRGHO








 *UDGLHQW RI ,PDJH ,QWHQVLW\






SDUDPHWHU 6LPSOLVWLF PRGHO
SDUDPHWHU 4XDVL$IILQH PRGHO
SDUDPHWHU $IILQH PRGHO
SDUDPHWHU 3URMHFWLYH PRGHO










 SDUDPHWHU +RPRJUDSKLF PRGHO

 2EVHUYDWLRQV DQG &RPPHQWV




&KDSWHU  &DPHUD 0RWLRQ 3DUDPHWHU (VWLPDWLRQ



 *HQHUDOLWLHV DQG $VVXPSWLRQV
 'HULYDWLRQ RI WKH 3DUDPHWHU 5HODWLRQV
 3DUDPHWHU (VWLPDWLRQ





&KDSWHU  ([SHULPHQWV DQG 5HVXOWV















 6LPSOHU &DPHUD 0RGHO DQG 'LUHFW 3DUDPHWHU 'HULYDWLRQ
 7KH 3LQ+ROH &DPHUD 0RGHO 5HYLVLWHG
 7KH 5RWDWLRQ 0DWUL[
 &RPELQHG 7UDQVIRUPDWLRQ
 'LUHFW (VWLPDWLRQ RI &DPHUD 3DUDPHWHUV

([SHULPHQW 'HVFULSWLRQ
&RPSDULVRQ RI &RPSXWDWLRQ 6SHHGV
&RPSDULVRQ RI $OJRULWKP &RPSOH[LW\
&RPSDULVRQ :LWK &/,36,0$* 5HVXOWV
&RPSDULVRQ EHWZHHQ 3KDVH&RUUHODWLRQ DQG 03(* 9HFWRUV 7HFKQLTXHV

 &RPSDULVRQ EHWZHHQ 9DULRXV 0RWLRQ 0RGHOV
 *HQHUDO 7HVWV RQ 6HOHFWHG 9LGHR 6KRWV
 7HVWV RQ 6HTXHQFHV ZLWK .QRZQ *URXQG 7UXWK











&KDSWHU  &RQFOXVLRQ DQG )XUWKHU :RUN



 &RQWULEXWLRQ RI 7KLV :RUN



 6FRSH IRU )XUWKHU 5HVHDUFK

 &RQFOXVLRQ




5HIHUHQFHV




$EVWUDFW
7KLV WKHVLV SUHVHQWV WZR IHDWXUHOHVV WHFKQLTXHV IRU HIILFLHQW DQG UREXVW UHFRQVWUXFWLRQ RI FDPHUD
PRWLRQ IURP GLJLWDO YLGHR ([LVWLQJ DSSURDFKHV LI UHOLDEOH DUH VORZ DQG FRPSXWDWLRQ LQWHQVLYH
RU WRR XQUHOLDEOH DQG DSSUR[LPDWH LI IDVW 7KH SURSRVHG WHFKQLTXHV SUHVHQW D JRRG EOHQG RI
FRPSXWDWLRQDO HIILFLHQF\ DQG TXDOLW\ ZLWK UHVXOWV DFFHSWDEOH WR PRVW SUDFWLFDO DSSOLFDWLRQV
7KH ILUVW WHFKQLTXH UHOLHV XSRQ WKH 3KDVH&RUUHODWLRQ PHWKRG WR GHULYH PRWLRQ ILHOG IURP
YLGHRV ZKLOH WKH VHFRQG RQH WDNHV 03(* PRWLRQYHFWRUV DV DSSUR[LPDWH UHSUHVHQWDWLRQV RI WKLV
ILHOG 7KHVH PRWLRQ ILHOGV DUH WKHQ WKRURXJKO\ SURFHVVHG DQG PDWFKHG ZLWK JHRPHWULFDO PRGHOV
WR GHULYH FDPHUD SDUDPHWHUV
7KH VWUHQJWK RI RXU DSSURDFK OLHV LQ WKH HPSKDVLV RQ SURSRVHG UHILQHPHQW VWHSV DQG UREXVW
REMHFWEDFNJURXQG VHJPHQWDWLRQ ± ZKLFK HQVXUH WKDW WKH UHFRQVWUXFWLRQ LV RI FRPSDUDEOH TXDOLW\
GHVSLWH WKH UHODWLYHO\ FRDUVH QDWXUH RI WKH PRWLRQ ILHOGV WR D PRUH VRSKLVWLFDWHG WHFKQLTXH WKDW
XVHV GHQVH VXESL[HO RSWLFDO IORZ PRWLRQ HVWLPDWLRQ PHWKRG 6XEVWDQWLDO VSHHG JDLQV DUH DOVR
GHPRQVWUDWHG




6XPPDU\

7KH XQSUHFHGHQWHG LQFUHDVH LQ WKH SRSXODULW\ DQG LPSRUWDQFH RI GLJLWDO YLGHR PDQLSXODWLRQ DQG
VWRUDJH DSSOLFDWLRQV KDV HOHYDWHG WKH LPSRUWDQFH RI IDVWHU DQG PRUH UHOLDEOH WHFKQLTXHV WR
FODVVLI\ LQGH[ VWRUH DQG UHWULHYH WKLV LQIRUPDWLRQ &DPHUD PRWLRQ DQDO\VLV IRUPV DQ LPSRUWDQW
VXEVHW RI WKH FRQWHQW EDVHG LQGH[LQJ WHFKQLTXHV IRU GLJLWDO YLGHR 7KH SUREOHP LQYROYHV
UHFRQVWUXFWLQJ WKH FDPHUD SDUDPHWHUV IURP YLGHRV WDUJHWHG WRZDUGV FODVVLILFDWLRQ EDVHG RQ
FDPHUD LQGXFHG JOREDO PRWLRQ LQ D VFHQH 7KH WUDGLWLRQDO DSSURDFKHV WRZDUGV WKLV SUREOHP KDYH
EHHQ ODUJHO\ ULJRURXV DQG KHQFH YHU\ VORZ :LWK WKH HPHUJLQJ RQOLQH DQG KRPH DSSOLFDWLRQV LQ
PLQG ZH SURSRVH WHFKQLTXHV WR H[WUDFW WKH FDPHUD PRWLRQ SDUDPHWHUV IURP YLGHRV ZLWK
DSSUHFLDEOH VSHHG JDLQV NHHSLQJ WKH FRPSURPLVH RQ WKH TXDOLW\ RI UHVXOWV WR D PLQLPXP :H
SURSRVH D WKUHH IROG DSSURDFK )LUVWO\ ZH SURSRVH WKH XVH RI IDVWHU IHDWXUHOHVV PRWLRQ
HVWLPDWLRQ WHFKQLTXHV WR H[WUDFW WKH LQWHUIUDPH PRWLRQ IURP YLGHRV LQFOXGLQJ XVLQJ 03(*
PRWLRQ YHFWRUV DQG 3KDVH &RUUHODWLRQ PRWLRQ HVWLPDWLRQ PHWKRGV :H WKHQ SURSRVH YDULRXV
VSHFLILF DQG JHQHUDO FRQILGHQFH PHDVXUHV WR MXGJH DQG DXJPHQW WKH TXDOLW\ DQG UHOLDELOLW\ RI
WKHVH PRWLRQ ILHOGV KHQFH PDLQWDLQLQJ DQ DFFHSWDEOH TXDOLW\ RI RXU UHVXOWV )LQDOO\ ZH SURSRVH
VLPSOHU JHRPHWULF PRWLRQ DQG FDPHUD PRGHOV DQG GHULYH XVHIXO UHODWLRQVKLSV EHWZHHQ WKH
JHRPHWULF DQG FDPHUD SDUDPHWHUV WR UHGXFH H[WUD SURFHVVLQJ RYHUKHDG 7KH UHVXOWV REWDLQHG
IURP D IXOOIOHGJHG FDPHUD PRWLRQ DQDO\VLV V\VWHP FRPSOHWH ZLWK GHQVH SL[HO EDVHG PRWLRQ
HVWLPDWLRQ FRPSOH[ PRWLRQ PRGHOV DQG D IXOO FDPHUD SDUDPHWHU GHVFULSWLRQ DUH XVHG DV
EHQFKPDUNV IRU GHWHUPLQLQJ WKH VSHHG JDLQV DQG HYDOXDWLQJ WKH UHODWLYH TXDOLW\ RI WKH SURSRVHG
WHFKQLTXHV




'HWDLOHG 6XPPDU\
:LWK GLJLWDO YLGHR UDSLGO\ EHFRPLQJ D XELTXLWRXV LQIRUPDWLRQ PHGLXP D UHFHQW QHHG KDV DULVHQ
IRU DSSOLFDWLRQV WKDW FDQ PDQLSXODWH FODVVLI\ RUJDQL]H DQG VHDUFK ODUJH TXDQWLWLHV RI VXFK NLQG RI
LQIRUPDWLRQ ZLWK FRQVLGHUDEOH VSHHG DQG DFFXUDF\ 7KH SUREOHP RI FDPHUD PRWLRQ H[WUDFWLRQ LV
D VXEVHW RI WKH RYHUDOO SUREOHP RI FRQWHQWEDVHG FODVVLILFDWLRQ DQG LQGH[LQJ RI YLGHR GRFXPHQWV
,W DLPV WR UHFUHDWH WKH PRWLRQ RI WKH FDPHUD IURP WKH YLGHR GRFXPHQWV DV LW SUREDEO\ XQGHUZHQW

GXULQJ WKH VKRRWLQJ RI WKH YLGHR 7KH FDPHUD SDUDPHWHU LQIRUPDWLRQ JLYHV XVHIXO FOXHV DERXW WKH
RYHUDOO QDWXUH RI WKH JOREDO PRWLRQ LQ WKH YLGHR DQG DV ZH VKDOO GLVFXVV ODWHU LQ WKLV WKHVLV WKLV
LQIRUPDWLRQ LV RI LQWHUHVW WR D QXPEHU RI HPHUJLQJ DSSOLFDWLRQV

7KH WHFKQLFDO GRPDLQ RI WKLV SUREOHP LV LQ IDFW YHU\ ZLGH 7KH FDPHUD PRWLRQ DQDO\VLV PHWKRGV
DGRSW WHFKQLTXHV IURP FRPSXWHU YLVLRQ DQG SDWWHUQ UHFRJQLWLRQ IHDWXUH PDWFKLQJ VLJQDO
SURFHVVLQJ FRPSXWHU JUDSKLFV DQG PRGHOOLQJ VFLHQWLILF DQG PDWKHPDWLFDO SURJUDPPLQJ DQG
ILQDOO\ RSWLPL]DWLRQ 7KH FODVVLILFDWLRQ LQGH[LQJ DQG VWRUDJH FRPH DIWHU WKLV VWHS DQG LQYROYH
HYHQ PRUH YDULHG WHFKQLTXHV

7UDGLWLRQDO DSSURDFKHV IRU H[WUDFWLQJ FDPHUD PRWLRQ KDYH UHOLHG RQ H[WHQVLYH IHDWXUH EDVHG
FRUUHVSRQGHQFHV WR ILQG DQG PDWFK JRRG RSWLFDO IHDWXUHV WR HVWLPDWH PRWLRQ EHWZHHQ IUDPHV
$OWHUQDWLYHO\ IHDWXUHOHVV RSWLFDO EDVHG PHWKRGV WU\ WR PDWFK WKH IHDWXUHEDVHG WHFKQLTXHV E\
H[WUDFWLQJ GHQVH SL[HO EDVHG PRWLRQ FRUUHVSRQGHQFHV EHWZHHQ YLGHR IUDPHV $ FRPSOH[
JHRPHWULF WUDQVIRUP PRGHOV WKLV PRWLRQ DQG ILQDOO\ DQ HODERUDWH FDPHUD PRGHO LV DVVXPHG DQG




LWV RZQ PRWLRQ SDUDPHWHUV HVWLPDWHG +HQFH WKLV SUREOHP LV ODUJHO\ D VROYHG RQH FRQVWUDLQHG
RQO\ E\ WKH FKDUDFWHULVWLFV RI WKH WDUJHW YLGHR

$ V\VWHP UHFHQWO\ GHYHORSHG DW WKH &/,36,0$* ODERUDWRULHV HVWLPDWHV WKH FDPHUD PRWLRQ
SDUDPHWHUV IURP YLGHRV XS WR D YHU\ JRRG SUHFLVLRQ 'HVFULEHG ODWHU LQ WKH WKHVLV WKLV V\VWHP
UHOLHV RQ WKH SL[HO OHYHO GHQVH RSWLFDO IORZ FDOFXODWLRQ WR H[WUDFW LQWHUIUDPH PRWLRQ ILHOGV
GHWDLOHG WUDMHFWRU\ FDOFXODWLRQ ZHOO GHILQHG FRQILGHQFH PHDVXUHV WR LPSURYH WKHLU TXDOLW\ DQG DQ
HODERUDWH PRWLRQ DQG FDPHUD SDUDPHWHU PRGHO WR DFKLHYH YHU\ JRRG TXDOLW\ FDPHUD SDUDPHWHU
HVWLPDWHV %XW DV ZH GHVFULEH ODWHU WKLV ZKROH SURFHVV EHFRPHV WRR FRPSOH[ DQG LQHIILFLHQW LQ
WHUPV RI VSHHG IRU PDQ\ SUDFWLFDO DSSOLFDWLRQV

7KLV WKHVLV H[SORUHV SURSRVHV DQG IRUPDOL]HV IDVWHU PHWKRGV WR DFFRPSOLVK WKH WDVN RI WKH
FDPHUD PRWLRQ HVWLPDWLRQ SURFHVV WR EH UHOHYDQW WR HPHUJLQJ RQOLQH DQG KRPH DSSOLFDWLRQV
7KHVH WHFKQLTXHV DUH SURSRVHG LQ WKH IRUP RI DQ H[WHQVLRQ RI WKH &/,36,0$* V\VWHP NHHSLQJ
LWV JRRG TXDOLWLHV DQG LQWURGXFLQJ VSHHG JDLQV $ WKUHHIROG DSSURDFK HIIHFWLYHO\ H[WHQGV WKH
V\VWHP¶V FDSDELOLWLHV E\

L

3URSRVLQJ DQG IRUPDOLVLQJ WKH XVH RI IDVWHU IHDWXUHOHVV PRWLRQ HVWLPDWLRQ PHWKRGV
OLNH 03(* PRWLRQ YHFWRUV DQG 3KDVH &RUUHODWLRQ PRWLRQ HVWLPDWLRQ PHWKRG

LL

7KH XVH RI WKH H[LVWLQJ DQG LQWURGXFWLRQ RI QHZ FRQILGHQFH PHDVXUHV WR SURFHVV WKH
PRWLRQ ILHOGV WR IXUWKHU HPSKDVL]H UREXVWQHVV DQG JXDUDQWHH WKH UHVXOW TXDOLW\

LLL

7KH XVH RI VLPSOHU PRWLRQ DQG FDPHUD PRGHOV DQG SURSRVDO RI GLUHFW SDUDPHWHU
HVWLPDWLRQ WHFKQLTXHV




7KH VWUHQJWK RI RXU DSSURDFK OLHV LQ WKH HPSKDVLV RQ SURSRVHG UHILQHPHQW VWHSV DQG UREXVW
REMHFWEDFNJURXQG VHJPHQWDWLRQ ± ZKLFK HQVXUH WKDW WKH UHFRQVWUXFWLRQ LV RI FRPSDUDEOH TXDOLW\
DQG WROHUDEOH E\ PRVW SUDFWLFDO DSSOLFDWLRQV GHVSLWH WKH UHODWLYHO\ FRDUVH QDWXUH RI WKH PRWLRQ
ILHOGV WR WKH PRUH VRSKLVWLFDWHG &/,36,0$* WHFKQLTXH WKDW XVHV GHQVH VXESL[HO RSWLFDO IORZ
PRWLRQ HVWLPDWLRQ PHWKRG 6XEVWDQWLDO VSHHG JDLQV DUH DOVR GHPRQVWUDWHG :H WKXV DOVR
HIIHFWLYHO\ H[WHQG WKH &/,36,0$* V\VWHP LQWR WKH FRPSUHVVHG YLGHR GRPDLQ




&KDSWHU 

%DFNJURXQG DQG 0RWLYDWLRQ
 7KH 9LGHR ,QIRUPDWLRQ 0RGHO 2YHUYLHZ

%HIRUH GLVFXVVLQJ WKH WKHVLV SURSHU ZH VKDOO EHJLQ ZLWK D TXLFN UHYLHZ RI WKH LQIRUPDWLRQ
RUJDQL]DWLRQ DQG DFFHVV SDWWHUQ LQ YLGHR GRFXPHQWV WR EHWWHU DSSUHFLDWH WKH LVVXHV DQG
FKDOOHQJHV SRVHG E\ DQ LQGH[LQJ WDVN IRU VXFK GRFXPHQWV :H DOVR SUHVHQW RXU GHILQLWLRQ RI WKH
LQGH[LQJ SURFHVV LWVHOI DQG VSHFLI\ LWV VLJQLILFDQFH DQG VFRSH LQ WKH ELJJHU FRQWH[W RI YLGHR
LQIRUPDWLRQ RUJDQL]DWLRQ

 *HQHUDOLWLHV

7KH YLGHR PHGLXP LV DQ DSSHDOLQJ PXOWLPHGLD W\SH RZLQJ WR WKH FRPELQDWLRQ RI PRWLRQ SLFWXUH
DQG VRXQG 7KH ULFK H[SUHVVLYH SRZHU RI YLGHRV LV FRQWLQXRXVO\ PDGH EHWWHU E\ WHFKQRORJLFDO
DGYDQFHV GDLO\ ± EULGJLQJ WKH JDS EHWZHHQ WKH YLGHR VFUHHQ DQG WKH UHDOLW\ :LWK WKH DGYHQW RI
GLJLWDO YLGHRV D ZKROH QHZ ZRUOG RI SRVVLELOLWLHV KDV RSHQHG XS EHIRUH XV WR PDQLSXODWH YLGHRV
EH LW IRU FUHDWLYH RU XWLOLWDULDQ SXUSRVHV

 7KH 6SDWLR7HPSRUDO VWUXFWXUH RI YLGHR GRFXPHQWV

:H VKDOO GHVFULEH WKH ORJLFDO VWUXFWXUH RI D GLJLWDO YLGHR GRFXPHQW LQ WKLV VHFWLRQ 9LGHR



GRFXPHQWV GR QRW IROORZ D VLPSOH VWDWLF VWUXFWXUH EXW DUH LQKHUHQWO\ FRPSOH[ DQG G\QDPLF 7KH

SULQFLSOH FRPSRQHQWV DUH RI FRXUVH WKH PRYLQJ LPDJHV DQG WKH VRXQG RIWHQ UHIHUUHG WR DV WKH
WZR FKDQQHOV RI YLGHR LQIRUPDWLRQ %XW ZH VKDOO IRFXV KHUH RQ WKH PRYLQJ LPDJH FKDQQHO RQO\
DV LW LV WKH VXEMHFW RI RXU UHVHDUFK

7KH PRYLQJ LPDJH FKDQQHO LV D VHTXHQFH RI LPDJHV UHSUHVHQWLQJ WKH SURJUHVV RI DQ HYHQW 7KH
GLVFUHWH VHTXHQFH RI LPDJHV SURGXFHV DQ LOOXVLRQ RI PRWLRQ GXH WR WKH SHUVLVWHQFH RI KXPDQ
YLVLRQ 7KXV D YLGHR GRFXPHQW FDQ EH VHHQ DV DQ DJJUHJDWH RI UHODWHG LPDJHV DQG DV ZH VKDOO
VHH ODWHU LQ WKH WKHVLV PDQ\ LPDJH SURFHVVLQJ FRQFHSWV FDQ WKXV EH DSSOLHG ZLWK FDUHIXO
PRGLILFDWLRQV DQG H[WHQVLRQV