Citation
Designing televised instruction for college classes

Material Information

Title:
Designing televised instruction for college classes
Creator:
Morris, Jon D., 1944-
Publication Date:
Language:
English
Physical Description:
xi, 131 leaves : ; 28 cm.

Subjects

Subjects / Keywords:
Academic achievement ( jstor )
College instruction ( jstor )
College students ( jstor )
Educational evaluation ( jstor )
Focus groups ( jstor )
Instructional material evaluation ( jstor )
Magnetic storage ( jstor )
Modeling ( jstor )
Teaching models ( jstor )
Telecourses ( jstor )
Curriculum and Instruction thesis Ph. D
Dissertations, Academic -- Curriculum and Instruction -- UF
Teaching -- Aids and devices ( lcsh )
Television in education ( lcsh )

Notes

Thesis:
Thesis (Ph. D.)--University of Florida, 1985.
Bibliography:
Bibliography: leaves 126-130.
General Note:
Typescript.
General Note:
Vita.
Statement of Responsibility:
by Jon D. Morris.

Record Information

Source Institution:
University of Florida
Holding Location:
University of Florida
Rights Management:
Copyright [name of dissertation author]. Permission granted to the University of Florida to digitize, archive and distribute this item for non-profit research and educational purposes. Any reuse of this item in excess of fair use or other copyright exemptions requires permission of the copyright holder.
Resource Identifier:
000879783 ( ALEPH )
14937709 ( OCLC )
AEH7568 ( NOTIS )

Downloads

This item has the following downloads:


Full Text





DESIGNING
FOR


TELEVISED INSTRUCTION
COLLEGE CLASSES


JON


MORRIS


A DISSERTATION PRESENTED TO THE GRADUATE SCHOOL
OF THE UNIVERSITY OF FLORIDA IN
PARTIAL FULFILLMENT OF THE REQUIREMENTS
FOR THE DEGREE OF DOCTOR OF PHILOSOPHY


UNIVERSITY


FLORIDA








































Copyright


Jon


Morris














DEDICATION


honor


Leah


. Morris


and


loving


Ann


memory

Morris









ACKNOWLEDGEMENTS


Without


help


many


fine


people


this


dissertation


would not


have


been


possible.


committee,


many who


joined


late


in my doctoral


career


have


been a source


inspiration.


Smith,


chairman,


has


been


especially


helpful


and


dedicated


success.


Without


his


guidance,


trust,


and


courage


this


task


would have bee

opportunity to


n much more


prove


learning experience


that


difficult.


competence


culminated


permitted me


and guided me


in a


through


worthy


dissertation.


Ken


Christiansen represented my


secondary area


emphasis


, communication,


and


endured


and


supported me


since


began my doctoral


career


Drs.


William Drummond


and


James


Wattenbarger


have


provided


a standard


pedagogical


excellence.


wish


thank my mother and mother-in-law.


mother,


who


for many years


attempted


convince


seek


higher


levels


academic


competence,


died


one


year


before


began my doctoral


career.


My mother-in-law,


Pauline


Nagelberg,


graciously


accepted


task


mothering me


through my


candidacy.


and mv father-in-law.


Joe.


have


undaunting1 v


sunnorted me










wish


thank my


Dad and


brother who


listened


complaints


over and


over again


encouraged me


continue.


also


wish


thank my


good


friend Leo


Miller


who


unabashedly


what


topic.


has


offered


Also,


an opposing viewpoint,


wish


thank


no matter


Susan and Larissa


Scott,


helped me


through


final


hectic


moments.


I wi


express my appreciation


Kaltenborn


Foundation for


funding the


construction


treatment


videotapes used


this


study.


Without


this


contribution


many


televised


special


effects would not


have


been


possible.


last


least,


wish


thank my wife,


Leah,


whose


heart


may never


have


been in my


dissertation


topic


whose


my rough


mind has


drafts


been.


and


corrected my


listened


spelling,


complaints.


edited


Over the


last


five


years,


has


guided me


through many troubled


times.

effort


has always


takes


will


said,


matter


finish


task.


how much


Upon


time

the a


and


arrival


our daughter


, Sara Anne,


on April


1985,


Leah has


changed her position,


however,


think it


is time


finish


task.


Thank


you


one


and all.










TABLE OF CONTENTS


PAGE

ACKNOWLEDGMENTS......................................iv

LIST OF TABLES................ .............,..98 ..viii

ABSTRACT............................................. ix

CHAPTERS

1 INTRODUCTION.... .. .. .. ...... ..1


Statement
Questions
Need for
Delimitat
Limitatio
Definitio


of the Problem.. .. ...... se.. ........ 3
and Hypotheses........................
Study. ..... ... 4
ions........... ................ .. @....6
nicfr


n


of Terms. @ .@. ... .
of Terms.@..@.....@@..,.......@,.@...


REVIEW OF THE LITERATURE.......................11


Instructional Development Models...............14
Previous Reviews of Television
Effectiveness Research.......................16
Comparing Learning with
Television to Learning With
Other Methods and Media......................17
Measuring the Effect of Variations
in Television Production
Techniques and Values on Learning............23
Summary.................... ... .. .. .... ..... 34

METHODOLOGY....................................38


General Research Design.
Design of Treatment.....
Instruments.............
Selection of Subjects...
Collection of Data......
Analysis of Data........
Anticipated Findings....


.............. ..... .. .38
.......................40
........................ ,. .. ..44
.*.6... S... *.. ... .. ... 47
**.**** ..***..**....o .49

.. .C t.. .... ... ...0.. .53


I, "Dl'DTTr'n' C I TrTTmnTTrrrtrnr y mArir r- -










QUANTITATIVE AND QUALITATIVE FINDINGS..........73


Results....... *.............. *
Focus Group ... .
Experimental ........ .....
Summary... .. *


..74
..74
..88
..95


CONCLUSIONS, IMPLICATIONS, AND RECOMMENDATIONS.99


Introduction..................................*99
Conclusions.......... ...... .. ...**** **.* .*....... *.* *.99
Implications.................................105
Recommendations For Further Study..............108

APPENDICES

A COVER LETTER AND QUESTIONNAIRE FOR
TELECOURSE EXPERTS..........................112

B LIST OF EXPERTS AND THEIR ADDRESSES...........115


FOCUS GROUP INTERVIEW SCHEDULE................117


D POSTTEST OF CONSUMPTION FUNCTION..............124


REFERENCES .


.126


BIOGRAPHICAL SKETCH................................. 131









LIST OF TABLES


PAGE


TABLE 5-1


Descriptive Statistics for Pretest


and Posttest


Scores


by Study Group........91


TABLE

TABLE


Ancova For Total.................... ...... 92

Ancova For Score.......................... 93


TABLE 5-4


TABLE


Pairwise Comparisons For Total............94


Pairwise Comparison for Score.............94













Abstract


of Di


University


ssertation Presented


Florida in Partial


Graduate


School


Fulfillment


Requirement


for


Degree


Doctor


of Philosophy


A MODEL FOR DESIGNING


EFFECTIVE TELEVISED


COLLEGE


JON D


August


INSTRUCTION


CLASSES


. MORRIS


1985


Chairman:


Albert


Smith


Major


Department:


Instruction and


Curriculum


purpose


this


study was


analyze


and


compare


effect


adhered

record


a segment


elements


(nonmodel-developed)


televised


a producer's model


segment


instruction


with a


televised


which


camera


instruction


in a


college


course.


A Producers'


Instructional


Televi


sion


(PITV)


Model


was


developed


for


this


study


order


improve


production


quality of


televised


instruction and


thereby


improve


college


student


achievement.


three-st


age


evaluation


proce


was


used


evaluate


model,


(b)the


tapes,


and


effectiveness











questionnaire,


University


critiqued


Florida


PITV Model.


, with five


focus


students


groups,


in each


group,


compared


and


analyzed


model-developed


and


nonmodel-developed


videotapes


and made


recommendations


for


improvement.


An experimental


comparison


was


then made


with


a control


and


treatment


tapes,


determine


impact


on student


achievement.


January


Principles


of Economics


2013


telecourse


University


of Florida,


posttest


scores


students,


control group,


in treatment


group one,


and


treatment


comparison


group


were


made


, were


compared.


in a non-randomized


experimental


control


tape


group,


pretest-posttest


design


using an analysis


covariance


(ANCOVA).


results


indicated


that


expert


had


reservations


about


model


and


seemed


think


that


PITV


model


was most


appropriate


for


beginning producers;


focus


groups


were


able


identify a


production


technique


(music/drama)


that


they perceived


ineffective,


model-developed


videotape;


and


there


was a


significant


diff


erence


among the


three


groups


posttest


measures


student


achievement.


a.. ~~~ ~ ~ ~ 11 J-aa. 4. .I \ 1 --a-..


m,,, L, nuC


C,,,


~U 1, r, LU~~, L


AUA











not.


This


study


showed


PITV Model


an effective


method


improving telecourse


videotapes.


Student


test


scores


improved


over a


camera


record


presentation


when


videotape


was


developed


using


PITV Model.












CHAPTER


INTRODUCTION


title


an article


by Gavriel


Salomon,


Future


of Media Re


search:


More


Full Acceleration


Neutral


Gear"


(1978),


reflected


lack


progress


media research,


specifically televised


instruction.


Several


reasons have


been given


why televised


instruction research


has


contributed


little


improvement


learning


environment.


First,


much


televi


sed instruction research has


become


out-dated


Lumsdaine,


Sulzer


(e.g.


, Carpenter


, & Kopstein


, 195


& Greenhill,


Mercer


Vandermeer


1954;


Vestal,


thus


limiting the


value


results.


quality of television


processing


equipment


has


improved


greatly


since


research


on televised


instruction


was


conducted


and


1960s.


Many unique


television


production


capabilities


have


been


developed,


including videotape


, special


effects,


and


satellite


interconnections


, but


little


research has


been


conducted


determine


how to


use


this


technology


effectively.


Metallinos


said,


"the


failure


recogni


kev differences


between


U I


media


of film and


televi


sn-on










Second,


instructional research has


been limited


applicability


because


researchers


have


continued


repeat


research


which


opposes


one


medium


(television)


against


another


(lecture


method)


with


little


insight


into


how each


these


presentations


was


developed


(Chu &


Schramm,


Morris,


1983,


1984).


Third,


limited number of


studies


(Barbatsi


, 197


Davis


1979)


which


have


compared


methods


presentation


within


medium


television,


there


has


been a


continuing


interest


in isolating variables


measure


their effect


on achievement.


This approach at


times has


overlooked


cumulative


effect


variable


student


achievement,


an effect


which


could


greater


than


sum


individual results.


Methods


and models


have


been


propo


assist


development


of media


products


(Cambre


, 1981)


for


instructional


purposes.


A review


these


models


suggested


that


they were


inadequate


for


development


methods


instruction in


televised


college


courses


because


they


not


include


recommendations


for


use


production


techniques


that


were


unique


television.


Moreover


review


literature


also


indicated


that


those


instructional models


that


may


applicable


in part


development


instruction for a


telecourse


were


weak









Statement


Problem


purpose


study


was


analyze


and


compare


effect


adhere

record


a segment


elements


(nonmodel-developed)


televised


a producer's model


segment


instruction


with a


televised


which


camera


instruction


in a


colle


course.


A major problem facing the


field


televised


instruction is


lack


production model


and


current


research


on the


development


and


impact


televised


instruction at


college


level.


Questions


and Hypotheses


questions


and


hypothe


ses


were


developed


for


evaluating the


model.


They were


follows:


experts


, who


have


been asked


evaluate


a producers'


model,


find


useful


for


producing televi


instruction?


Does


information and


feedback


provided


by a


focus


group


sugge


methods


by which model-developed


televised


instruction might


revised and


further


improved?


Hypothesis


There


will


no differences


in student


achievement


between


students


who


view model-developed


televised


instruction and


students who


view


nonmodel-developed


elevi


instruction.


Hypothesis


There


will


no difference


in student


- S










televised


instruction and


students who


view model-developed


televised


instruction


with a


selected


production


technique


deleted.


production


model-developed


technique


televised


that


was


instruction


deleted


was


from


identified


in a


focus group analysis as an


unnecessary


distraction.


production


technique


was music/drama.


Need


for the


Study


Researchers


(Chu & Schramm,


1967


Gagne,


1980)


educators


(Bronfenbrenner,


1976;


Newell


& Olejnik,


1980),


and


televi


sion


production


text


writers


(Utz,


1980


ettl,


1984)


have


for a long time


suggested


that


student


achievement


certain


can


techniques


increased


designed


through


gain and


application


hold attention.


a television


as production


production,


techniques


technique


(Zettl,


have


1984).


been referred


Although many


suggestions


for attracting and


holding attention go


beyond


scope


this


research


effort


because


they are


unrelated


televi


sion


production,


many


can


applied


in a


model


for the


development


a televised


instructional


presentation.


A search


literature,


however,


indicated


that


little


had


been done


verify the


value


these


suggested


techniques


enhancing


student











With regard


(1980)


college


isolated five


student


factors


achievement,


pertinent


Gagne


human learning


and


educational


technology.


These


factors


are


"Attention,


Selective


Perception,


Semantic


Encoding,


Effect


of Prior


Knowledge,


and Metacognition


or Cognitive


Strategic


es" (pp.


ii).


Of these


five


factors,


were


used


guide


development


They were


television


Attention,


production


arousing the


this


learner


study.


interest


and


Selective


Perception,


directing the


learner'


field


concentration.


Neither


these


factors


were


tested


directly,


they


seemed reasonable


factors


apply to


television


production.


Moreover,


these


concept


have


been


tested


various


other


instructional


formats.


Fifteen


studies


on televised


instruction


film


production reported


review


literature


section


for this


research


were


conducted


during or


prior to


1960.


Dreher and Beatty


(1958)


stated


that


"the


use


televi


sion


for educational


purposes


new to


characterize


all


strengths and


weaknesses"


only studies


since


1960


found


have


been measuring the


effective


use


televised


instruction


(Barrington,


Davis,


1979


irrelevant


variable


were


mixed


and


compatible


variables


1 I 9


I


I 1


*r I


I











"Battle


Star Galactica"


into


a film demonstration


on house


building.


This


procedure


was


an attempt


assess


ability


learner'


clips


sophisticated


production


attention


failed


techniques


televised


attract


subject


desired attention.


attract


matter.


This


result


was not


surprising,


since


clips were


irrelevant


subject


instruction.


In fact,


clips


probably


distracted attention from


concepts


presented.


response,


this


study attempted


develop and


use a model


that


incorporated


television


production


techniques


that


colle


instructor


subject


matter.


Salomon'


conducted


(1978)


in Israel,


survey


indicated


research,


that


which


lack


was


televised


instruction research


Media researchers


is not


confined


in Belgium at


Ghent


United


State


States.


University


concluded


"that


there


a lack


of basic


information about


learning


by television,


which result


in an intuitive


approach


optemolization


process


called


'methods-media


trade-off'"


(Herrel,


1972,


20).


contrast,


current


study attempted


provide


information about


learning


television


contained a


via


development


strong and


diverse


a producer's model


evaluation


that


component.


-rI) S *









development


televised


instruction,


with none


being


directly applicable.


Moreover,


evaluation


processes


incorporated


within


these


same


models were


weak when applied


televised instruction.


This


study was


delimited


include


a producer


model


, a camera


record


(control)


videotape


treatment


(model-developed)


videotapes,


and


three


methods


evaluation.


control


tape


was


an exact


recording


live


lecture.


Treatment


tape


one


was an


enhanced


version


control


tape


using


several


appropriate


television


production


techniques


as prescribed


by a


producer's model.


Treatment


tape


was


a copy


treatment


tape


one


with a


selected


variable


(the


music/drama


segment


eliminated.


Limitations


limitations


this


study were


as follows:


experimental


improvement


portion


a s


ingle


this


one-hour


study fc

lecture,


causedd


on the


therefore


results may not


subject


generalized


lecture


beyond


was


that.


Consumption Function,


which is a

experiment


,n economics


may


topic.


or may not


apply to


results

other


courses


subjects.


. Several


television


Production


techniques


were


combined











and no


single


technique


was


identified


cause


improved


student


achievement.


Definition


Terms


operational


definitions


some


major terms


employed in


this


research


were


follows:


Abstract


examples.


These


are


representations


using


charts,


graphs,


graphics


, and alpha-numeric


characters.


this


study,


graphics


were


used


construct


abstract


examples


televised


instruction.


Student


Achievement.


This was


percentage


correctly answered items


on a


standardized,


objective


posttest


prepared


by the


instructor of Economics


2013


University


Florida.


sets


achievement


scores


were


examined:


cumulative


overall


posttest


score,


identified as


Total,


and


cumulative


score


for these


posttest


items


that


pertained


an understanding


application


consumption function


real


consumption


in economics


activities,


identified as


core.


Concrete


examples


These


were


photographs


and


visuals


that


were


used


provide


examples


real


-life


scenes


consumers


buying


situations


model


-developed


tape.


Focus


groups.


These


were


qualitative


in-depth


r -


1r a cr a a n a 1 .IIkLa 4n 0n %


ivPdnn onviavI an


Saaaci n-ritA


Jo


n










Producer's


Model.


This


was


a plan


or guideline


for


development


telecourses


and


from which


treatment


tapes


one


and


this


study were


developed.


Production


values.


These


are


a reflection


production


quality


a televi


sion


presentation.


Television


is a


these

while


visual


and aural medium.


attributes

productions


considered


record)


low


tape


are considered

that minimize


production


this


Productions


high in

these a


values.


investigation


that


production


attributes


control

example


was an


maximize


values,


are


(camera


low


production


values while


treatment


tapes were


examples


high


production


values.


Telecourse.


This


a course


that


delivered


student


solely


television.


this


case,


course


was


Economics


University


Florida,


Gainesville,


Florida,


1985.


Televised


instruction.


For


this


study


, it


use


television as


sole


method for


conveying


information


and knowledge


about


consumption function in a


college


course,


Economics


2013.


Student


gathered


in a


typical


classroom,


for


fifty minutes,


watch


or more


television


sets.


instructor was


present


in the


room.


All


instruction


was


provided


via


television.









- 10


Chapter


Producers


Chapter 4


contains


' Instructional


Televi


a detailed


description


sion Model and


experts'


evaluation


model.


The


results


this


study are


presented and analyzed


Chapter


Chapter


contains


summary,


conclusions,


implications,


and


recommendations.










CHAPTER


REVIEW


LITERATURE


quality and


quantity


studies


on the


effectiveness


instructional


television in higher


education have


been quit


limited.


This


limitation has


been


least


factors.


First


, there


been


factor


time,


since


television has


been available


public


for


only


years


(Brown,


1977).


comparison


first


illustrated


printed


textbook was


written


over


years ago


(Schramm,


1977)


, thus


allowing


for years


repeated research


on the


effectiveness


this


medium.


Although


studied


comparing the


effectiveness


television


with


other media,


as measured


by achievement,


have


been numerous


over


past


years,


only


studies


were


located,


this


review


which measured


effectiveness


one


method


televi


sion


presentation


(variations


production


values)


over another.


All


three


these


studies were


conducted


before


1960


three


studi


conducted


since


1960,


one


was


reported


1960s


were


reported


1970


A second factor


limiting research in


area has


been


progre


technology.


Many


benefits


attributed


televi


sion as


a medium,


including


those


. Of









1960s.


Technological


breakthroughs made


during this


time


included


special


effects


and


video


tape


recording


(Brown,


1977).


These


breakthroughs


enabled


experimenter to


manipulate


time,


scenes,


and


transitions.


This


review


literature


been divided


into


five


sec


tions:


a review


instructional


development


models;


other related


reviews


literature


on the


use


instructional


television


, to


assist


in forming the


bases


for


this


literature


research


studied


other media


review


which made


terms


further narrowing


of

of


a narrowing


comparisons


viewer or student


focus


focus


television


achievement;


research studies,


such as


this


one


which


sought


compare


variations


television


and film


production


techniques


terms


of viewer


or s


student


achievement;


and


a summary.


section


which


discusses


some


more


significant


reviews


literature


on instructional


television has


been included


because


most


these


reviews


were


conducted


support


or refute


hypotheses


on the


relationship of


television


production


value


learning.


Often


these


reviews


have


relied


on research


that


was


years


old,


thus


excluding recent


developments


television


production


techniques.


rv,. *


I I


1


I










Search,


conducted


on January


, 1981,


and repeated


on May


1983,


using the


instructional,


identifiers


experimental,


and


educational,


empirical;


television,


a personal


review


bibliographic


listings;


a review


abstracts


a review


rotation abstracts;


review


studies;


and


a citing


studied


including the


initial


trial


experiment


used


current


study.


Studie


comparing television with


other media


or cross


media


studies


have


been quite


numerous.


Although


indirectly


related


problem investigated


this


study,


comparative


studies were


not


used


extensively to


support


investigations


reported


here.


a result,


only


selected


research has


been reported here


show


some


major


findings


from


this


form


research.


Studies measuring variations


television and film


production


values


have


been


direct


measures


one


method


television


or film


presentation


versus another.


These


studi


had a direct


thirteen


reported


studied


empirical


relationship


included


studi


this


thi


found


study.


section


measure


Twelve


constitute


methods


effective


production in instructional


television.


Nine


these


twelve


studies


were


film


studies.


study was


--


-- -- v











Instructional


Development


Models


Instructional


development


model


abound


(Brown,


Lewis,


& Harcleroad


, 1983;


Davis,


Alexander,


& Yelon,


1974


Gagne


Briggs,


1979


Johnson


& Johnson,


1971;


Reigeluth,


Bunduson,


& Merrill,


1978)


, but


few


have


addressed media development


directly and none


those


examined


were


directly applicable


development


television


production as


a method


instruction.


Most


models


have


included


provisions


for


use


televi


sion as


instructional material,


did


detail


procedures


for the


development


material


and


did not


address


situation


where


television


was


sole


method


presentation,


i.e.,


telecourses.


Gagne


and


Briggs


(1979)


, for example,


developed a


media intensive


model


which


concentrated


on media


selection


and


provided little


specificity


for media development.


model focused


procedure


on delivery


methods


systems,


media


media


selection,


selection


and adaptation


model


project


circumstances


(Gagne


& Briggs,


1979).


Moreover


, the


Davis,


Alexander,


and


Yelon


(1974)


model made


no mention


of media and


thereby typified


situation


Reigeluth,


with many


Bunduson,


other


instructional


and Merrill


(1978)


development


models.


highlighted


need


-C' 9 .L 1 -- I.. a S -









instructional media


delegated


tasks


differentiated


staff


media


technicians.


These


models


provide


some


direction


for


general


media


application,


television


no model


production


been found


directly.


that


media


addresses


selection


process,


general media


selection guidelines


have


been


applicable.


For


development


television


production


, however,


responsibility


been


shifted


televise


technique.


ion


This


production


void has


technician


been further


with no


guidance


compounded


when


television


production is


more


than a material


for an


instructional


experiences are


presentation.


vicarious;


telecourses,


instructional


students'


development


model


was


found


this


author


s review that


discussed


methods


for developing these


experiences


video.


Insight


into


basic


requirements


a model


for


development


examining the


a television


crit


pictures are


production


eria for media


stimulus


choice,


were


selection.


gained


"If moving


media available


are


film and


videotape"


(Gagne


& Briggs,


1979


, p.


186).


How


magnification,


motion,


slow motion,


and


other attributes


of the


video


component


can


best


used


present


instructional message


needed


addressed


through










Previous


Reviews


of Television Effectiveness


Research


Other reviews


literature


have


often


used


outdated,


insufficient


studies


support


conclusions


about


effective


(1952)


use


instructional


and MclIntyre


(1954)


televise


studied


ion.


, Schramm


Citing Mercer


(1977),


in Big


Media,


Little


Media,


concluded


that


"there


a long


line


studies


emphasizing the


advantage


simplicity and


clarity


in media instruction"


41).


Chu and


Schramm


(1967),


authors


stated:


there


variations in
significantly
instructional


will


learn


presented


planned


clear evidence


production
contribute
television.


better when


in a


both


b


study teacher.


continuous


iy the
(p.


televi


on the


kind


techniques
to learning
However,


visuals


order and


ion


that
from
students


are


carefully


team and


Barbatsis


study


(1978)


for Children


, citing Kumata


Television


1960


Workshop,


study


concluded


in a


that


"the


mode


presentation


significantly affect


learning"


409).


Finally,


in Empiri


cal Studies


of Television


Composition,


Metallinos


(198


said,


"the


failure


recognize


key


differences


between


media


film and


televi


sion is


a major reason for


lack


empirical


research


television


composition"










Comparing Learning With


Television


Learning With Other Methods and Media


Comparative


modes


studies


instruction in


have


terms


been


conducted


student


compare


achievement.


These


studies most


frequently


have


compared


television


with


some


other medium,


usually a live


lecture,


and


then


compared


effects


media


on viewer achievement.


These


studies


have


been


quite


numerous.


conclusion in most


these


studies has


been


that


significant


differences


achievement


exist


between methods


instruction


between


media in


which


course


presented


(Carpenter


Greenhill,


Kumata,


1960


Lepore


&c Wi].


son,


list


comparative


studies


cited


this


review


representative


rather than


comprehensive


because


studies were


emphasis


so numerous


this


and


did not


investigation.


reflect


An ERIC


search


major


was


conducted and


over


studies were


reviewed.


Other reviews


literature


were


examined


help


identify those


studies


considered


most


noteworthy.


overall


conclusion


reported


these


studies


was


that


significant


differences


in learning,


as measured


by achievement,


existed


between


television recording


of a lecture


or the


live


lecture


itself.


.Y-%-.,..~~~~~_ 9I AL.. -<- it1I-1-I.f r-


r i


n~ r 1 r


-


m










State


University measured


what


they described


as the


value


a closed-circuit


conventionally taught


television


course


course


versus


with regard


student


achievement,


student


attitudes,


and


cost


production.


Thi


project,


known as


Instructional


Television Research


Project


of video


Number One,


tape;


was


therefore,


conducted


all


before


presentations


widespread


were


use


live.


presentation


was viewed


directly with


television


equipment


present;


one


presentation


was viewed


via


television;


and


one


presentation had no


television


equipment


present


in the


room.


results


student


indicated


achievement


that


occurred


significant


among the


groups,


differences


although


authors


concluded


that


direct


instruction


proved


slightly more


effective.


authors


also


concluded


that


student


reaction


televised


instruction


was neutral and


that


moderate


videcon


(television)


equipment


was


adequate


(Carpenter


& Greenhill,


1958).


1954,


United Stat


a course


Army"


called


was


"Food


telecast


Service


Activities


over television


station


KUHT.


Forty-seven Reserve


Officer Training Corps


(ROTC)


students


received


instruction


via


televi


sion and


ROTC


students


found no


received


significant


face-to-face


difference


instruction.


between


u


Allen


954)


e face-to-face


and









- 19


Inventory


Instructional


Television Research


1956


and


Impact


Educational


Television


(Kumata,


1960).


After reviewing


several


studies at


Conference


Teaching


Colleges and


Universitie


(1957)


Pennsylvania


State


University,


conference


members


concluded


that


significant


difference


occurred


studies


that


involved


over


3000


students,


between methods


instruction in


various


colle


courses.


evaluators


revealed,


however,


that


immediate


recall in social


sciences was


significantly


better


in several non-television groups


as compared


television groups


, although


they did not


say


how much.


They


stioned


reliability


in a


statement


that


suggested


that


"instrument


may


inadequate


and


a more


precise


measurement


necessary"


(Conference


on teaching


colleges and


universities


, 1957


, p.


Lepore


include


and


Wilson


instructional


expanded


television


comparative


viewed


home.


analysis


Again,


significant


differences were


found


mean


achievement


scores


student


who


received


television


instruction at


home,


television instruction


on campus,


conventional


on-campus


instruction


(Lepore


& Wilson,


1958).


Kasten and


Seibert


(1959)


found


significant


A~~~~~~~~~~~~~ ~ ~ ~ ~ ~ ~ ~ C- -..An,%*~nai Y n, .I r. +l ,A an v, t


n a ,a a a


n rr irr : n r t Am A ~r C


kA










study


compared


instructional


television


(ITV)


students


face-to-face


students,


and


scores


were


found


significantly


.05 and


higher


level.


for


face-to-face


Because


students


small


sample,


both


only


students


experimental group,


variations


between


student


scores may


have


been high,


and


because


lack


statistical


data about


test


instrument,


reliability


this


study was


questioned.


Kumata


(1960)


conducted


one


most


often


ited


instructional


television


experiments


which


was


published


Schramm's


Impact


of Educational


Television.


Kumata's


analysis,


"Two


Studies


Classroom Teaching


by Television,


had


three


major


intentions:


"(a)


present


a class where


presentation


assess


was


feasibility


predominately visual


teaching adverti,


(training aids)

sing by televise


, (b)

;ion


(solution


large


class


enrollment


problems)


, (c)


give


experience


instructors


teaching


over televi


sion"


151-152).


Three


sections


junior


level


advertising


course


were


analyzed.


first


experiment


face-to-face


group


received


significantly


higher


scores


achievement


than


televi


sion group.


view


significant


differences


favoring the


face-to-face


group


anpvrlv' mont


nro tho ov~nrar matXAa0 nfo a 0 n


Ilc~n rr~0


rPnP~tP~


nYI a


rllSl~


CI~MP










achievement


these


between


experiments may


groups.


in part


frequent


these


citing


contradictory


findings.


These


contradictory


findings


suggested


that


further


study was needed.


In an


experiment


conducted


Danielsen and


Stauffer


(1972


, a comparison


nationally normed


was made


test


of

se


student

students


performance


who


on a


received


instruction


via


televi


sion with


those


students


who


received


instruction in a lecture


section


"Principle


Economics.


Three


hundred


and five


television


students and


lecture


televi


televi


students were


sion sections


sion sections


programmed


used


used a


instruction


divided as

a standard


standard


and


book,


follows:

textbook,


textbook


one


three

five


plus


large


non-television lecture


section


used


standard


text.


multiple


regression


procedure


was


used


determine


whether


or not


there


was


a s


significant


difference


between group


means


achievement.


results


indicated


that


national norm scores


were


significantly


higher


than


those


lecture


and


television groups and


that


lecture


group


scores


were


significantly


higher


than


television groups.


authors


concluded


that


this


particular televise


ion


course


-- T









unique


sections


did


this

suffer


study,

from


student

several


in the


television


deficiencies:


television students


could not


ask


questions;


television


teaching assistants were


inadequately prepared;


and


television


course


objectives


taught


a few


concepts


thoroughly


, but


"the


inclusion


indifference


curve


and


isoquant


analysis


probably


distracted


from


student


achievement


on the


standardized


test"


(Danielsen & Stauffer,


1972,


104-105).


Other


studies


since


Danielsen and


Stauffer


(1972)


have


reported


conflicting results


under various


conditions.


For


example,

community


Waechter

college


(1973


health


investigated

education in


teaching of

classroom versus


instruction


this


measures


students.


broadcast


experiment


television.


performed


achievement


Tien


significantly


than


(1974)


home"


compared


classroom students

better on


television


effectiveness


teletutorial method


instruction


with a


conventional


lecture


method


and


found no


significant


difference


achievement


between


teletutorial


group and


lecture


group.


Further,


Hegar


(1977)


compared an


campus"


Introduction


telecourse


Business


Introduction


class with an


Business


open


class.


circuit


telecourse










scores


for


"open


circuit"


television group


were


significantly

Finally,


higher than for


Case


Study


other

the


groups.


Instructional Development


Instructional


Model


Television Program,


Produce


" Parer


and


(1977)


Evaluate


chose


investigate


recall


among


special


education


teachers


information about


how to


select


curriculum


packages.


study,


learning achieved


from a


television


program


was measured


against


learning achieved from a


printed


article


disclosed


containing the


that


same


participants


information.


viewed


results


television


program learned


significantly more


than


those


who


read


article.


Interestingly


, those


who


read


article


and


viewed


program did not


learn


significantly more


than


those


who


just


viewed


program.


Measuring the
Production


Effect


Techniques


of Variations


and


Values


Television


on Learning


Most


early


studies


that


measured


variations


production


techniques


or improvement


production


values


began


investigating the


application


specific


technique


medium


motion


picture


film.


Although


methods


employed


and


tested


can


be recreated


televi


sion,


or for that


matter


film itself


can


A -


S


- I.. I- -A- ~~1 I -


I ) )


I


I


r


rr


I.


L











instructional


effectiveness were


included


provide


review


several


production


techniques


used


current


tudy.


These


techniques


were


compatible


with


both film and


televi


sion


capabilities


and


were


useful


for


identifying the


elements


that


have


been


combined


for this


study.


1951,


Lumsdaine,


Sulzer,


Kopstein


conducted


experiment


for the


United


States


Department


of Defense


measure


influence


television animation


technique


effectiveness


training films.


simple


animation


techniques used


included


pop-in labels


and moving arrows.


study reported


that


among


1300


Air


Force


trainees,


group


that


viewed


animated


films


showed


significantly


greater achievement


than


those


who


saw the


non-animated


films.


Although a


stati


stical


analysis was


conducted


for


this


study,


failure


report


methods


control,


including the


size


groups,


severely affected


reliability


result


Neu


(195


began a


series


film


experiment


Pennsylvania State


University measuring film


effectiveness


on achievement.


Neu


tested


effects


of visually


relevant


and


visually


irrelevant


attention-gaining devi


ces


on learning among


Army and Navy recruit


Neu


(195


concluded


that


rivi no


which


rrnvir An


r l,


atten t. i


.


s








- 25


report,


television


content


conclusion


production


of the


supported


techniques


presentation


contention


need


have


that


be related


an effect


achievement.


A year


later,


Mercer


supported


Neu


s finding


a study for


United


State


Naval


Special


rvice


Center.


Mercer


tested


effect


on achievement


optical


effects,


sso


lives,


wipes,


and


zooms,


that


had


been inserted


between scenes


in a film


production.


Using


an analysis


co-variance


and


a sample


size


recruits,


Mercer


found no


significant


differences


in recruit


achievement.


further


information about


this


study


has


been located.


In a doctoral


dissertation at


University


Nebraska,


Vestal


compared


achievement


scores


of high


school

school


physics

physics


student

student


viewed

viewed


animated films


direct


and high


photography films


within an instructional


setting.


Again,


significant


differences


in achievement


were


found.


However,


study


reported a failure


use


comparable


classroom instructional


methods


each


test


group and


a failure


maintain


strict


control


over


number of times


each film was


shown.


This


lack


control


seriously


limited


reliability


research results


reported


by the


Vestal


(1952)


study.










1953,


evaluation


training


films


for the


United


State


military


continued


with


a most


bizarre


study.


Vandermeer


(1953)


attitudes


compared


films


that


the


used


effect


on learning and


different


techniques


influence


personal


hygiene


knowledge


and


habits.


A dramatic


type


film which


employed


a singing


commercial method


was


compared


with a lecture


type


film.


A personal hygiene


information


test


was


given following


pre


sentation


each film and a


chi-square


analysis


was


used


measure


significant


differences


in the


distribution


results.


No differences


in learning


or in attitudes


about


material


presented


were


found.


That


was


only


measure


used.


Observers were


designated


monitor the


hygiene


behaviors


recruits.


conclusion


reached


was


that


neither


film,


with


accompanying


instructions,


changed


observed


personal


hygiene


behavior


of the


men


to any significant


degree.


1954


Vandermeer


tested another production


technique


in film


that


reflected


technical achievements


television


effect


black-and-white


during that


on achievement


films.


time.


using


Both films


Vandermeer


color


had


(1954)


films


same


studied


instead


content.


multiple-regression analysis


was


used


isolate


significant


w


w








- 27


Both


color and


black-and-white


films


produced


learning.


significantly


greater


achievement


on the


immediate


recall


tests


was


demonstrated


by the


color


films,


recall


scores


end


six weeks


were


significantly


higher


for


three


five


color


film groups.


Regardless


significant


differences


reported


delayed results


Vandermeer


(1954)


concluded


that


use


color


film


did not


seem


justified


terms


greater achievement.


Moreover,


Vandermeer'


(1954)


test


results


lack applicability when


compared


current


state-of-the-art


television.


other production


technique


which


proved more


useful


States


were


Naval


evaluated


Special


by MclIntyre


Devices


(1954)


Center.


for the


purpose


United


this


study was


measure


effect


on achievement


of humorous


elements


and


subtitles


in a


training film


on the


use


cold


weather uniforms.


study,


treatments were


prepared.


one


production humor was


used,


and


other sub-titles were


used.


Achievement


results


were


compared


a control


group.


film


presentation


that


control


groups


saw,


blank


leader


(blank film)


was


inserted

occurred.

from 426


production

experimental


trainees.


where

group


reported


humor and


were


result


chosen


indica


subtitles

at random

ted that









from


film which had neither the


humorous


approach nor


titles.


These


were


studies


early


1950s.


These


studies were


interesting


only marginally useful


development


present


experiment.


medium


tested


studies


variables,

medium of


conducted


without


television


this


regard


point


validity,


today.


was


are


studies


film,


relevant


that


follow,


additional


variables


were


identified


and


were


tested


specifically with


television


1958,


Carpenter and


Greenhill


conducted


frequently


cited


televise


ion


studies


Pennsylvania


State


University


These


studied


were


titled


Reports


and


"An Investigation


-Circuit


Television for


Teaching


University Courses


Report.


Both


studies were


predominantly


characteristic


comparative


studies


reported in t

Report Number


third


however


section


did


this


contain


review


literature.


experiments


designed


measure


effect


televi


sion


production


techniques


on achievement.


Both


experiments


, one


in air


science


one


in psychology


, were


identical


in nature


and


were


designed


measure


difference


in achievement


scores


between


methods


televi


sion


presentation.


Both










as the


sole


visual


component.


first


experiment


was


conducted


with


air


science


students


and


second


was


conducted


with


psychology


students.


Both


experiments


were

air


analyzed

science e


using analysis


experiment,


variance


significantly


procedures.


higher


scores


prevailed


lecture/chalkboard


psychology experiment,


significant


group.


differences


achievement


were


found.


Several


conclusions


were


presented


by the


authors and


included


students need


learn how


learn from visuals;


visual media need


visual


tests;


method


Greenhill,


presentation is


criticizing the


unimportant


(Carpenter


presentation,


the


authors


stated,


possible


that


much more


radical


changes


in course


presentations


will have


devised


before


differences will


emerge


when


comparisons are


made


with


traditional methods"


Kazem


(1960)


evaluated


effect


adding films


lecture


presentation in a Detroit


high


school


biology


class.


Using several


t-tests,


Kazem found


that


students


three


experimental


groups


had


significantly


higher posttest


scores


than


students


control


group.


also


found


that


student


viewing an informational-expo


story


film had


significantly


higher


scores


on the


sttest,


design











information-expository


group


had no


higher


scores


than


students


combination


information-expository and


historical-dramatic


treatment.


There


were


significant


differences


among


overall


posttest


scores


of student


in any


of the


three


experimental


groups.


Finally,


Rock


(1969)


conducted


a test


designed


measure


learning and


retention from a


television


presentation.


television


this


was measured


case,


against


value


a written


instruction


presentation.


That


so-called


control


group


was


given


material


read


received no


expository presentation.


Three


thousand reservi


took


part


experiment.


Rock


(1969)


concluded


that


method


were


equally effective.


Before


experiment,


all


participants


were


allowed


see


questionnaire


used for


evaluation;


therefore,


experiment


introduced


another variable.


Lack


reported


statistical


details


indicated


that


study may


have


been


uncontrolled


and


poorly designed.


In addition,


study


did not


discuss


comparison


televi


ion


effectiveness


with


effectiveness


other media.


Barrington


conducted


a study


greater


specificity.


nrs~rP nnnrriPr


study


V.V-'nn r y


compared


.1 a


IIt IIln A.J I r r.!. I Znl.I. I


versions


nrp s Pnt; ntnt ni -


V ~ r $11]


I










demonstrations,


while


other used


diagrams and


charts


present


concepts.


The


study


involved


a sample


college


education


students


Significance


was


found


with


regard


setting was


hypotheses:


less


effective


scientific


than gray


curtain:


laboratory

ns as a


background,


and


cine


films


with


commentary were


less


effective


than animated


diagrams.


From


these


result


s Barrington


concluded


that


"simple


will


more


effective


than sophi


sticated


sets


diagrams


and models


will


more


effective


than


photographs and


films"


190)


. The


conclusions may not


an accurate


analysis


of the


res


but,


Barrington


goes


on to


say that


"further research aimed


improving


instructional


television


programs


should


undertaken


(and)


more


information is


needed


about


effectiveness


presentation"


90).


In an


unpubli


hed


dissertation at


Auburn


University,


Davis


(1979)


sought


measure


retention


as related


arousal


created a


study might


in film and


state


have


television.


attention


been


undertaken


arousal


learner


would


, then


measure


have


a valuable


effects


methods


gaining arousal


However,


in this


study,


arousal


stimulus


was


unrelated


subj


o be learned.









construction.


A multifactor analysis


variance


was


used


determine


main and


high-and-low-arousal


films


interaction


as measured


effects


by a nineteen


question


visual


and


verbal


test


given immediately after


viewing and again


one


week


later.


According to


Davis


(1979)


, significant


differences


were


found


consistent


with


those


found


in previous


studies


on arousal.


effect


interaction


time


interval


of the


arousal


stimulus


on retention


was


significant


level;


however,


arousal


because


retention


use


phenomenon


arousal


was


techniques


clearly


did not


demonstrated


significantly


increase


long-term retention


(Davis,


1979).


fact


that


arousal


clips


were


unrelated


subject


instruction may


have


contributed


insignificant


results.


study


conducted


1981


by Morris


984)


was


designed


measure


and


compare


achievement


between groups


undergraduate


student


receiving economy


instruction


different


televi


son


presentations.


original method


depicted


instructor,


in typical


"talking


head"


fashion,


using a


chalkboard


present


visuals


discuss


conceptual relevance


consumption function.


second method


used


"pop-in"


animation


over


entire


a a I -


__


I


I I


m










of the


videotape


dealing with


relevence


of the


content


matter.


instructor was


visible,


less


often,


in this


version


(Morris,


1984).


Bot

students


tape


enrolled


presentations


in an


were


economics


shown to

class at


two

the


groups


University


Florida


Spring


1981


term.


Following the


viewing,


student


achievement


was measured


and


then


compared


(N=197).


An analysis


covariance


and


unbalanced


analysis


variance


were


used


measure


significant


difference


between


groups


on the


overall


posttest;


t-test


was


also


used


measure


significance


scores


on two


particular questions


designed


measure


relevance


content


matter


that


was


presented.


results


indicated


that


significant


differences


occurred


measurement


regarding two


relevance


questions.


significant


differences


occurred


on the


overall


exams,


which


included factual material


and


calculations


(Morris,


984).


results


this


study


indicated


that


only


modifying the


standard


"talking


head"


lecture/chalkboard


presentation


by adding preproduced


graphics


and


"pop-in"


animation did


necessarily


improve


achievement.


However,


replacing the


relevanne of


lecture


a tonin.


sequence,


with


i J


which


rnc!nrnduner 3Pi


dealt


with


sosment s


whi h









freeze


frames,


and


animated moving


graphics


did


improve


achievement


(Morris,


1984).


results


Morris


study were


based


on a


single


execution,


so further


study was


recommended.


This


study


included a


one


item


preference


survey which


indicate


that


those


saw the


modified


tape,


66%0


preferred


usual


talking-head


videotape.


Eighteen


per


cent,


however,


Could


did not


these


prefer the


results


modified


repeated?


tape


Did


(Morris,


attitude


1984).


those


students who


did not


prefer


modified


tape


affect


results?


production


chniques which


produced


negative


attitudes


about


treatment


tape


were


identified


and


eliminated


, would


results


a further


improvement


in achievement


scores?


Applicability


has


been


shown


between


these


studies


designed


measure


variations


television


production


techniques and


present


study.


most


significantly


consistent


conclusion,


which


was applicable


this


study


was


that


more


research


was needed.


Summary


There


are


several


conclusions


which


can


drawn from


summarizing the


studies


reported


this


section.


conclusions


and


summaries


stated


here


have


been made


as a










Instructional


for


development


models


general media application,


provided


no mode


some

1 was


direction

found


that


motion,


addressed


television


slow motion,


production directly.


magnification,


and


How


other


attributes


video


component


can


best


used


present

through


instructional message


development


needs


a television


addressed


production


model.


studies


reviewed,


which


compared


television


instruction


other


forms


instructional


presentations,


six revealed no


significant


differences


and


six revealed


studies


favored


differences


face-to-face


in achievement.


instruction,


(Four


and


favored


television instruction.)


The

more


studies


recent


favoring televi


(1977)


than any


sion instruction


those


were


favoring


face-to-face


instruction.


four


effect


studi


television


designed


production


measure


techniques


achievement


were


conducted


before


1960.


studies


designed


measure


effect


televi


sion


production


techniques


on achievement


(Kumata,


1960)


revealed


conflicting results


when repeated.









differences


between


chalkboard and


animated


characters.


three


production


value


studies


conducted


since


1960,


experiments,


Rock


(1969


and


Davis


(1979


, may


have


measured


unrelated


variable


Rock


compared


television instruction


with no


instruction and


did not


compare


television


other media,


while


Davis


979)


in measuring retention related


arousal,


used


arousal


clips


unrelated


subject


instruction.


Danielsen and


Stauffer


(1972


study and


Waechter


(1973)


study,


face-to-face


instruction


was


favored,


many factors


outside


experiments


could


have


(1972)


influenced


reported


results.


several


Danielsen and


deficiencies,


Stauffer


including


inadequately prepared


televi


sion assistants.


Waechter


(1973)


study,


broadcast


television


was used


a method


uncontrolled


limited


delivery.


variables


inter-student


This


situation


including


contact,


introduced


home


and


viewing,


reception


difficulties.


experimental


result


found


Morris


study are


based


on one


execution and


therefore


experiment


needed


repeated.


Moreover


, an attempt








- 37


elements which


students


found


unnecessary


or distracting


would


helpful.


trend


comparative


studies,


as measured


achievement,


been


reveal


significant


different


ces


between


televi


sion and


other methods


presentation.


effectiveness


studies


for television have


been


few and


most


were


conducted


when


medium was


technically


sophisticated.


As a result,


little


significance


was


achieved


in studies measuring


learning from


television.


Barrington


(197


what


might


most


comprehensive


television


effectiveness


study


ever


conducted,


concluded


that


"further research aimed at


improving


instructional


television should


undertaken"


190).


This


study


attempted


findings


follow up on


Morris


that


(1984)


recommendation and


study


on the


developing and


testing the


effectivene


a completed


producer


model.


Three di

research


fferent


evaluation


to determine


strategies were


effectiveness


combined


this


new model and


suggest methods


instruction at


for continually


college


improving televised


level.









CHAPTER


METHODOLOGY


General


Research Design


purpose


this


study was


analyze


and


compare


effects


a segment


televised


instruction


that


adhered


elements


a producer's


model


with a


camera


record


(nonmodel-developed)


segment


televised


instruction


in a


college


course.


Both


quantitative


and


qualitative


methods


evaluation


were


used


conduct


analyses and


to make


comparisons.


First,


a qualitative


analysis


a producer


model


for designing televised


instruction


was


conducted


using a


survey


questionnaire,


A description


a producer


s model


together with a


questionnaire


was


sent


a select


group


telecourse


producers.


These


producers were


asked


analyze


model


by addressing


perceived


usefulness


developing telecourses


and for training telecourse


producers.


Second,


a qualitative


focus


group evaluation


was


used


analyze


and


compare


televised


instruction


that


adhered


elements

(nonmodel


a producer


-developed)


s model


videotape.


with a

Two


camera

groups


of record

of respondents


were


asked


watch


control and


treatment


videotapes









Third,


1985 experimental


design


was


used


analyze


and


compare


test


scores


economics


students who


viewed


three


different


versions


televised


instruction.


college


economics


class


section


was


shown a


camera


record


(nonmodel-developed)


presentation and


served


control group.


This


tape


was


minutes


long.


Another


section


was


shown


televised


instruction


that


adhered


element


a producer's model,


a modified


version


1981


Morris


(1984)


treatment


tape.


only modifications


that


were


made


this


1981


treatment


tape


were


eliminate


10 minutes


of material no


longer covered


economics


course


in 1981.


This


tape,


which


was


minutes


long


1981,


was


reduced


minute


and


labeled


treatment


tape


one.


This


sec


tion


served


treatment


group


one


this


, the


experiment.


third


section


was


shown


another version


televised


instruction


that


adhered


elements


a producer


s model


that


had


been revised


exclude


production


technique


using music/drama


that


1985


focus


groups


found


ineffective.


This


tape


was


33 minut


long and


labeled


treatment


tape


two.


This


tion


served


as treatment


group


1985


experiment.


order to


maintain


strict


control


experiment







- 40


used


include


differences


on the


covariat e


and


posttest.


measure si

independent


gnificant

variables


T2 were


experimental


treatments,


was


pretest,


was


posttest.


Group


Pretest


Independent-Variable


Posttest


Design


Treatment


For the

production and


purpose

thereby


improving a


televised


improving achievement


instruction


and


learning,


this


experiment


used


a cumulative


approach


in developing the


treatment.

Snow aptitude


When Schramm

e treatment


(1977)


analyzed


interaction


(ATI)


Chronbach and


studies,


found


that


"there


are


many


characteristic


learner that


interact


and alter the


effe


for different


individuals--more


likely to


know about"


isolate


such


able


40).


or control


character

control,


This


for these


stics

more


experiment


than any

than he i


did not


variables


was


experimenter


s able


attempt


designed


maximize


attributes


televised


instruction


increasing the


overall


production


values


of te


levision and


ultimately


gaining the


attention and


interest


college








- 41


televised


instruction and


were


designed


conju
AK


with


experiment


Instructional


Television


Morris

n (PITV


(1984).

) Model


The

was


Producers'

developed from


this


study to


exploit


three


principal


functions


television


production:


looking at


, looking


into,


and


creating an


event


ttl,


1984).


visual


depiction and


description


of the


PITV Model


can


found in


Chapter


Four.


model


divided


into


three


key


sections:


presentation


facts


and methods,


illustration


relevance


or applicability


those


facts and methods,


and


evaluation


product.


A description


of how the


PITV Model


was


used


design


treatment


(model-developed)


videotapes


can also


found


Chapter


Four.


For the


1981


experiment


and


again for


this


study,


David


Denslow


College


Business


University


of Florida,


consulted


with


this


experimenter


on the


development


control


(nonmodel


-developed)


tapes


and


treatment


(model-developed)


videotapes.


Denslow's,


Economics


2013


class,


Principles


of Economics,


delivered


over


student


a semester


most


of whom


see


in a


telecourse


format.


usual


televi


instructional


presentation


consists


instructor presenting








- 42


instructor.


relevance


of terminology and


econometrics


presented


during the


first


part


each


lecture


has


been


summarized


instructor,


conclu


again


ion


using


each


only the


televised

chalkboard


lecture

for


illustration.


A 46 minute


camera


record


videotape


, made


January


1985,


served


control


(nonmodel-developed)


videotape


for this


study.


treatment


tapes


were


also


developed in January


Treatment


tape


one


was


minute


revised


version


model-developed


videotape


from


study


by Morris


(1984).


This


tape


was


revised


exclude


material no


longer


covered


course


otherwise


was


unchanged


from


1981


experiment.


first


30 minutes


treatment


tape


one,


when


instructor


talked about


diagrams,


definitions,


and


tables,


chalkboard


was


replaced


high


contrast


graphic


on a


blue


background


that


popped


on the


screen


in a method known as


"pop-in"


animation.


In addition,


arrows


and


boxes


were


used


further


highlight


point


interest.


instructor


was visible,


less


frequently


this


treatment


tape


than


control


tape.


first


30-minute


section


treatment


tape


one,


audio


and


structure


tape


was


unchanged


from









- 43


portion


PITV Model,


removing the


instructor entirely.


In an attempt


improve


achievement


10-minute


discussion


of the


relevance


and


meaningfulnes s


terminology and


econometrics


by the


instructor


in the


end


control


(nonmodel-developed)


videotape


was


replaced


on the


treatment


tape


by a


three-minute


scenario


designed


accomplish


same


task


in a more


effective


manner.


This


scenario


consisted


dramatizations


consumer


activity


animated


graph,


activities,


depicting


charts


consumers


showing movement


newspaper


and


clippings


check-out


lines,


along and movement


highlighting various


contemporary music


with


within a

economic


theme


money.


Treatment


tape


was


a revised


copy


treatment


tape


one,


was


revised


January


recommendations


student


focus


groups.


focus


groups


reviewed


both


control


tape


and


treatment


tape


from

two


the

was


1981


experiment


constructed


in January


in accordance


with


1985.

the r


Treatment


procedures


tape

the


PITV Model for using focus


group


information


further


improve


televi


instruction.


Feedback from


focus


groups


was


used


revise


treatment


tape


one


and


thereby


nrrFte


thrfsatmnet


*ta~ns


Atwn.


Al imia+tin Ii I


frnrn


s~Fnanari


ft-


I |


1r j r r








- 44


Instrument


A five


item


open-ended


questionnaire


was


used


survey


a panel


five


expert


telecourse


producers.


addition,


an interview


schedule


was


used


facilitate


focus


group


interviews.


Finally


, as a test


instrument,


one


12-item multiple


choice


exam was


used


measure


student


achievement.


instrument


was a


posttest


given after the


showing


treatment


and


control


tapes.


cover


letter and


open-ended


questionnaire


that


was


given


panel


experts


was


designed


secure


opinions


about


PITV Model


from


experts


Appendix


expert


see


Appendix B)


also


were


given a copy


PITV Model


(Chapter


Four)


and


asked


make


suggestions


for


improving


Focus


group


interviews


have


been a


qualitative


method


evaluation for


some


time


(Merton,


Fiske,


& Kendall,


56).


investigator


followed


an interview


schedule


(see


Appendix


facilitate


open


cussion among the


focus


group


interviewees


utili


this


research.


An audio


and


video


tape


recording was


used


collect


student


responses


during two


focus


group


sessions.


information


was


then


analyzed


investigator to


provide


recommendations


for


improving treatment


tape


one.


interview process








- 45


. Questions


referring to


process


retrospection


(questions


and


Questions


including reference


stimulus


situation


(questions


, 9,


and


10).


Verbal


cues


past


response


(question


plus all


probing stimulators).


Questions


control


loquacious


interviewees.


Questions


activate


reticent


interviewees


(all


probing


questions).


Questions


that


extend


coverage


group


(all


probing


questions)


. (Merton,


Fiske


, & Kendall,


1956)


"An item-by-item


comparison


between


results


qualitative


study and


a quantitative


study shows


validity


21).


focus-group


findings


findings"


this


(Reynolds


part


& Johnson,


research


1978,


were


used


establish


strong


causal


links


between


television


production


techniques and


student


achievement


, but


rather to


provide


feedback about


quality


control and


treatment


tapes


from


1981


experiment


and


identify any


unnecessary production


technique


s used


treatment


tape.


S. .


item


nosttest


was


constructed


from a


DOol


-A a


,








- 46


Office


Instructional


Resources


University


Florida.


In addition,


posttest


was


examined


for


reliability using the


KR-20.


composite


item analysis was


performed


for all


twenty-four


items


pool.


analysis


coefficent


was


.61.


This


result


indicated


that


test


items


provided reliable


predictive


results


for


measuring


changes


student


achievement.


Moreover,


this


coefficent


indicated


that


there


was


room for


improving


achievement


(Morris,


1983


Identical


control


posttest


group and


instruments


experimental


were


given


groups.


The


instruments


were


presented


the


last


minutes


instructional


period


by the


experimenter.


posttest


was


major


test


instrument


used


experiment


and


was


identified


measure


student


achievement.


was administered


immediately


following the


television


groups.


presentation in


posttest


both


consisted


treatment


multiple


and


control


choice


items


(see


Appendix D).


All


items


pertained


Consumption


Function,


major


content


presented


three


videotape


All


questions were


used


measure


recall


material


from


entire


minutes


control


Atane


and


minutes


of the


.- 4 V -


treatment


tapes.


Three


- -


,v








- 47


and


last


three


minutes


treatment


tapes.


respondents


were


required


relate


movements


along,


shifts


Consumption Function


consumer


behavior.


This was


portion


of both


treatment


(model-developed)


videotapes


that


provided


a complete


departure


from


control


(nonmodel-developed)


videotape


and represent


"relevance


illustrated"


portion


PITV


model


developed


for this


study.


election


Subjects


A panel


five


experts


see


Appendix B)


was


selected


from a list


expert


elecourse


producers


provided


Research


Communications,


a telecourse


research


firm,


and


Kenneth


Christiansen,


a member


committee


supervising this


study.


selection


process


consisted


a telephone


interview


seven


potential


evaluators


determine


was


most


likely to


complete


survey.


focus


groups were


used


to determine


perceived


differences


between


1981


control


(nonmodel-developed)


videotape


treatment


(model-developed)


videotape


and


determine


what


production


techniques


were


unnecessary


1981


treatment


tape.


focus


group


consisted


five


student


had


taken


economics


course


that


was


examined


- -


this


study


*


.... 4


other


ErouD


consist


- -.J-


five


r


r








- 48


University


Florida in


Fall


1984.


class


role


was


examined


obtain a mixture


students


according


their


final


grades


class.


An attempt


was made


obtain an


even


through D.


distribution


subjects


students


for the


second


with


group


grades


were


from A


select


from student


enrolled


University


of Florida in


Spring


1985


who


had not


taken Principle


of Economics


(2013).


A list


volunteers was


obtained


from an


Introduction


Advertising


course.


Token gifts--donated


three


local merchants and


consisting


portable


radios,


coffee


mugs,


shirts,


and


assorted


toiletries--were


used


encourage


students


part


ipate.


participants


received an assortment


gift


All


subje


for


experimental


evaluation


study were


selected


from


students


enrolled


Principles


Economic


(2013)


Colle


of Business


University


of Florida


Spring


1985.


students


select


their


sections


during registration


either


from


those


sections


available


or from


those


that


best


their


own schedules.


live


lecture,


from which


985


control


tape


was


recorded


, was


presented


in a


large


lecture


hall


a.m.


day


experiment.


control


(nonmod


el-developed)


and


treatment








- 49


Three


Economics


2013


sections


were


selected


as the


sample


for this


experiment


obtain


sections


approximat


equal


size


One


section


served


control


group and


served


experimental


groups.


total


sample


size


was


113,


with


control


group,


treatment


group


one


, and


treatment


group


two.


Collection


Data


result


s of


an earlier


study


by Morris


(1984)


were


examined


for


further


inquiry and


development


Summer


1984.


Although


data


showed


that


significant


differences


in student


achievement


had


occurred


in a


telecourse


when


television


production


value


were


increased,


results


a single


trial


seem


conclusive.


Furthermore


, no formalized model


existed


for use


telecourse


development,


thus


inhibiting


others


from


obtaining


significant


improvements


effectiveness


telecourse


production


found


Morris


(1984)


study.


October of


1984


a model


was


fully


developed


from a


rough


outline


used


televi


ion


production for the


earlier Morris


(1984)


study.


procedures


and


proce


sses


were


described and


model


was


a diagram


called


model


Producers


was


construct


' Instructional


Television


Model


(PITV).











summative


evaluation


processes


were


incorporated


PITV


Model.


After


proposal


for


this


study was


accepted


December


begun.


984,


Copie


first


model


formative


, to


evaluation


their with a


five


process was


item


open-ended

telecourse


questionnaire,

producers. Al


were


.though


sent

data


five


expert


collection from


this


evaluation


was


scheduled


for


January


, all


data


were


received


until


late


February


1985.


A second


formative


evaluation


process


was


begun in


January


1985.


Data


from a focus


group analysis


control and


treatment


tapes


from


1981


Morris


(1984)


tudy were


gathered.


result


were


used


modify


treatment


tape


one


and


thereby


construct


second


treatment


tape,


treatment


tape


two.


spring


data


were


gathered


from a


summative


evaluation


of the


control


and


treatment


videotapes.


experiment,


student


achievement


scores


posttest


(model-developed)


viewed


for treatment


were


control


tapes


one


compared


(camera


and


scores


record)


students


videotape.


analysis


f covariance


(ANCOVA)


was


used


compare


achievement


test


scores


and


match


those


scores with


nT)rnvio rs


tApts


recIln ts


for


trh n5.e


I I -


~ tll~ P.n t, r;


1 r


.










appropriate


statistical methods.


experts,


who


have


been asked


evaluate


a producers


' model,


find


useful


for producing televi


instruction?


analyze


information


provided


by the


expert


telecourse


producers


their


comments


were


summarized


and


compared


results


focus


group and


consistency.


model


experimental


experts'


were


group about


compared


quality


opinions


evaluations


on the


opinions


model-developed


for


usefulness


focus


tape,


and


achievement


scores


students who


viewed


treatment


tapes.


These


data


were


then


used


make


recommendations


researcher


for


commented


improving


on the


model.


quality


In addition,


evaluations


provided


by the


experts.


Does


information and


feedback provided


by a focus


group


suggest


methods


by which model-developed


televised


instruction might


revised and


further


improved?


analyze


information


"qualitative"


focus


group


evaluation,


interviews were


summarized


interview


question


(see


Appendix


and


transferred


into


recommendations


for


improving treatment


tape


one.


Since


focus


group evaluation is


a qualitative


form


of evaluation,


summaries were


focused around


strength








- 52


held


research


observation


College


Journalism and


Communications


and


were


videotaped


and


audiotaped for thorough


analysis


and review.


focus


group


responses were


analyzed


for range,


specific


ity,


depth,


and


personal


context


(Merton,


Fiske


, & Kendall,


, p.


Using these


criteria,


revi


sion


1981


treatment


tape


was


based


on the


strongest


argument.


Hypothesis


There


were


no difference


student


achievement


between students


viewed model-developed


televi


instruction and


students who


viewed


nonmodel


-developed


televised


instruction.


analyze


data


achievement


evaluation related


this


hypothesis,


an ANCOVA


was


used


investigate


possible


interactions


between a


previous


test


and


sttest


, or to


measure


for the


effects


of prior


knowledge;


measure


differences


in c


umulative


mean achievement


overall


posttest


between


student


who


viewed


treatment


tape


one


and


students who


viewed


control


group;


and


measure


differences


in cumulative


mean achievement


on the


three


posttest


items measuring understanding


consumption function,


and


related


"relevance


illustrated"


portion


model


between


students who


viewed


treatment


tape


one


and


student


who


viewed








- 53


Hypothesis


There


were


no differences


in student


achievement


between


students


who


viewed model-developed


televised


instruction and


students


who


viewed


model


-developed


production


televised


technique


del


instruction


eted.


with


analyze


a selected


data of


achievement


evaluation related


this


hypothesis,


an ANCOVA


was


used


to measure


difference


in cumulative


mean


achievement


three


postte


items measuring


understanding


consumption function,


and related


"relevance


illustrated"


portion


model,


between


students


viewed


treatment


tape


one


and


students


who


viewed


treatment


tape


two.


criterion for accepting


or rejecting the


hypotheses was


a confidence


level


.05.


Anticipated


Findings


this


study was


ecologically


significant


contribute e


creative


production


proc


ess


televised


instruction,


needed


formative


rather


than


summative

Children'


in nature.


Television


research


Workshop


conducted


(CTW)


by the

design


"Sesame


Street"


formative.


(Barbatsis,


CTW


research


1978)


was


may


categorized


designed


uncover


"information for


imnrovinP a


nrodtir t


or nrant. i rnP "


1 I .


hnn'~











still fluid


contributes more


improvement


education


than


evaluation


used


appraise


a product


already


on the


market"


(Guba


& Lincoln


, 1981,


method


chosen for


this


study was


consistent


with


approaches


used


in formative


studies.


Instead


comparing the


results


face-to-face


delivery with a


videotape


presentation


same


lecture


to determine


winner


, a comparison


videotape


presentations


containing the


same


information


was


conducted


determine


methods


for


improving televised


instruction.


expected


result s


were


follows:


expert


evaluations


were


expected


to point


methods


for


further


improving the


PITV Model


and


make


more


effective


for


future


users.


focus


methods


group


for


interviews


further


were


improving the


expected


production


point


techniques


used


1981


treatment


tape.


Student


recall


terminal


ogy


, statistical


proce


sses


and


diagram


construction,


as measured


by achievement


scores,


was


expected


television


improve


special


as a result


effects,


substituting


pop-in animation,


and moving


arrows

<=t+1A^n+t


for a


chalkboard


Sirh i a 'lromnr* t


treatment


1AY/n o *.z I


tapes.


1 mnlrnrnv


rcicnilt


W~ e


1.I .I











animation,


concrete


and


abstract


examples,


scenerlos,


and


relevant


contemporary music.










CHAPTER


PRODUCERS'


INSTRUCTIONAL


WITH EXPERT


TELEVISION


(PITV)


MODEL


EVALUATION


experimental


or treatment


tapes


for


this


study


were


developed


using the


Producers'


Instructional


Television


(PITV)


Model.


experimenter designed


Model,


1981


and


1985


treatment


tapes,


increase


effectiveness


of televise

production


instruction


techniques.


through


use


PITV Model


televise


and


ion


relationship


treatment


tapes


can


found


first


sec


tion


this


chapter.


order


examine


perceived


usefulness


model


telecourse


producers,


a panel


experts


was


established.

experienced


A questionnaire


telecourse


experts,


producers


have


been


see


Appendix A)


(see


asked


was mailed


Appendix B).


evaluate


producers'


model,


find


useful


for producing televised


instruction?


To answer this


question,


responses


experts


have


been


summarized


second


section


this


chapter.


consensus


combination


on each


five


five


questions


was


questions


used


and


determine


usefulness


model.


PITV Model


Prnrjijrns r


Tnhrc r iint' f. ^ nnn nl


mc orl'


S~n


(PTmVr


ManAal


I lit-







- 57


models which include


audience


analysis


part


model,


those


models


that


are


objective-based.


order to


determine

consulted


proper prerequisites,


before


implementing the


these


models


PITV Model.


should


PITV


Model


should


inserted


media


development


sec


tion


other


instructional


sign


or development


models.


PITV Model


a procedural model


which


divides


instructional


presentation into


three


basic


segment s


(see


Figure


Segment


Demonstrated)


deals


(Facts


with


Presented,


presentation


Methods


terminolo


facts,


and


formulas.


this


section,


presentation


should focus


on developing


skills.


Segment


(Relevance


Illustrated)


should


used


for


illustrating the


relevance


material


presented


first


segment.


This


second


segment


should


involve


more


complex


production


techniques


an attempt


illustrate


meaningfulne


topic


under study.


component


qualitative


gment


Three


Model.


and


(Evaluation)


segment


quantitative


evaluation


includes


methods


one


evaluation.


Moreover


, the


lines


running to


all


segments and


subsegments


Model


representative


serve


segments


purposes.


Model,


and


They


they


connect


indicate


places where


transitional


devices


are


needed.








- 58


Finally,


electronic


facilities--the


quality


audio


given


video


reproduction


limitations


equipment--need


available


optimal,


resources.


order


implement


PITV Model


television facilities must


have,


as a minimum,


graphics


edit


equipment


videotapes.


produce


visual


electronic


depiction


model appears


following page.


Although


PITV Model


included


thi


study,


treatment


videotapes,


well


videotape


focus


groups


are


not.


Copies


those


videotapes may


viewed


Colle


Education Library,


Norman Hall,


University


of Florida,


Gainesville,


Florida.


Also,


copies


videotape


and additional


information about


study


may


obtained


from


author.


locate


address


author


, contact


Librarian


College


Education at


University


Florida,


Gainesville,


Florida


32611.


For


'serious


researcher,


opies


videotapes


may


found


Motion Picture


Divi


sion,


MBRS,


Library


Congress


Washington,


20504.


All


videotapes


have


been recorded


VHS


format


and


copyrighted


as part


this


study.







59 -

SEGMENT 1
Facts Presented
Methods Demonstrated


Visual


I l
Auditory Stimuli


Stimuli


ABSTRACT
-Charts
-Diagram
-Graphic


EXAMPLES


MUSICAL EFFECTS
VERBAL PASSAGES
-Abstract and
-Concrete


CONCRETE EXAMPLES
-Scenarlos
-Pictures
-Illustrations
-Persons
-Objects


SOUND EFFECTS
-to support
-independent


video
use


SPECIAL
-slow
-time
-digit
-other


EFFECTS
motion
lapse
al manipulations
manipulations


SEGMENT 2
Relevance Illustrated


Visual


Stimuli


Auditory Stimuli


ACRO-C
-Trend
Proje
ICRO-C
-Trend
Proje


OMPRESSION(Concrete
s &
actions
OMPRESSION(Abstract
cts &ons
actions


examples)


examples)


Support
-Musica
-Verbal
Reinforc
-Musica
-Verbal
-Sound


Concrete
1 Effect
Passage
e Abstra
1 Effect
Passage
Effects


Illustration
s
s
cts
s
s


SEGMENT 3
Evaluation


Quantitative Achievement
Quantitative Survey
Qualitative Focus Group








- 60


subject


televised


instruction may


presented


beginning


production


or videotape


a title.


This


title


may


only a


portion


subject


a premise,


depending


on the


length


or amount


material


covered.


title


presentation may


presented


visually


or delivered


orally.


some


instances,


hold


interest


, it


might


desirable


reveal


subject


premise.


treatment


tape


for


this


study


blue


background


with


white


letters


on the


top and


bottom was


used


identify the


subject


of the


lecture,


Consumption


Function.


inserted


instructor appeared


center of


in a


graphic.


square


When he


wipe,


began


lecture,


graphic


was


raised


up and


picture,


an effect


that


resembled


a rising


curtain.


Once


title


given,


first


major


section


Model


employed.


"facts


and methods"


sec


tion is


used


define


terms


and


demonstrate


processes


methods.


This


"how-to,


" skills


development


section


production and has


been


categorized


on two


levels.


initial


level


divided


into


types


stimuli,


visual


or auditory.


These


levels


are


further


subdivided


into


example


types,


concrete


or abstract,


or into


supporting


production


effects.


Some


knowledge


television


a.


reduction


.L











use


this


Model.


In addition,


use


storyboards may


provide


component


audio


assistance


and


portions


in the


development


coordination


instruction.


visual


video


conform with


with


standard


television scripting procedures


, the


visual guidelines


have


been


placed


on the


left


side


Model and


auditory


guidelines


on the


right


side.


production


abstract


examples


for


both


visual and

discussions


production


auditory


charts,


concrete


stimuli


includes


diagrams,


examples


and


representations


and


formulas.


includes


scenarios,


photographs,


illustrations,


persons,


or objects.


ordering


concrete


examples


after abstract


examples


implied here,


a reverse


order may


appropriate


for


some


subject


visual


component


may


consist


illustrations


alpha-numeric


graphics and may need


animation


ass


viewer


i.e.,


in making


dissolves,


necessary to


assi


implied


wipes,


connections.


or special


viewer


Transitional


effects,


in making the


devices,


may also be

connection


between illustrations.


For


presentation


terminology


econometric


diagrams,


and


problems


treatment


tape


for


. -


* -


- n- -4 tt ,l2 n.n tn -j


fl 1 -' ~ a-,


,t,,l


,~,1


rrrn rr


f^








- 62


constructed from a


video


wipe


highlight


important


reference


points.


auditory


stimuli


televi


sion


presentation


may include


music


for


support


or transition,


well


simultaneously


include


verbal


passages.


verbal


passages


used in


segment


one


presentation


should most


likely


descriptions


rather than


dramatic


dialogue.


They may


abstract


and


directly related


visual


or concrete


and


used


cite


example


abstract


visual


component.


treatment


tapes


for


this


investigation,


instructor


Denslow,


Function as


described


they appeared


processes


on the


Consumption


screen.


audio


and


video


components


presentation may


inseparable


or mutually


exclusive


, depending


on the


needs


content


material.


scenarios


are


used,


for


example,


verbal


passages may


an integral


part


visual

passage


presentation.


may


In some


a continuous


cases


however


discussion


verbal


facts,


while


visual


component


may present


various


examples.


Special


visual


effect


presentations,


may


i.e.


used


vary the


, slow-motion,


time


forms


lapse,


close-ups,


and


sound


effects may


used


attention-getting


devi


ces


, as


a highlighter


for t


e visual


v --










In segment


PITV Model,


"Relevance


Illustrated,


" the


relevance


or meaningfulness


facts


and


This


definitions


segment


presented


attempts


in segment


show the


one


learner


is demonstrated.


value


material


presented


in terms


usefulness.


explanation


what


comprises


concrete


or abstract


examples


or a li


sting


relevant


video


and audio


effects


will not


repeated


for


segment


two.


All


conditions and


techniques


used


in segment


one


apply


this


segment


with


some


additional


organization and


sophistication.


First,


illustrations


relevance


must


divided


into


areas


trends


(recapitulation)


for


those


portions


which are


reviews


past


and


projections


(future


applications)


for


portions


which deal


with analyses


future.


Macro-compressions


represent


compression


information into


some


type


demonstration


a concept.


Micro-compression represent


use


charts,


diagrams,


and graphics


as described


abstract


portion


previous


section;


however,


in micro


impression


presentation is


often more


elaborate


because


includes


summaries


of data,


trends


and


projections.


Animation


and


special


effects


are


an imDortant


Dart


-A.









- 64


moving


animation.


In addition,


concrete


and


abstract


examples


may


have


mixed


together,


employing two


televi


ion's most


useful


quality


ies


video


replay


and


superimposition.


highlight


identification


physical


process


for


example,


definitions


may


superimposed


over a


slow-motion replay


process.


audio


for macro-and


micro-compressions may


supportive


dialogue


, descriptions,


music,


sound


effects,


any


combination


several


audio


four.


sources


one


The

time


ability to

is another


incorporate

strong feature


televi


sion.


Second,


segment


focuses


attention


psychological,


Soc


and


physical


needs


and


wants.


This


an attempt


affect


influence


over the


learners


through


emotional


stimuli


and


thereby


enhance


learning.


methods


of affective


appeal


include


comedy,


tragedy,


relevance


life,


contact


with authorities


contact


with


subjects,


interactions,


exploitation


inherent


drama


subject.


means


for


creating


such appeals


include


visual


effects,


ound


effects,


music,


varying


camera angles


camera movements,


moving animation,


characterizations,


dramatizations,


graphics,


and


staging.


*I ~~~~ ~ ~ I rr In nl~A .n .t*--- 5 -


dllmma 1 MVl -w -


f%


+'


Tr


I~n








- 65


minute


summation.


This


package


consisted


an opening


scenerlo


consumers


in action,


animated


diagrams


depicting


differences


between shifts


consumption function


and movement


along the


consumption


function,


newspaper


headlines


verbal


des


criptions


relating


consumer


behavior


diagrams,


and


contemporary music


hold


learner


approach


attention and


used


many televi


add


treatment


sion


commercials


and


emotional


videotape

included


appeal


was


. The


similar


several


special


effe


impose


such as video


itions,


and


wipes


dissolves


freeze


frames,


ameliorate


super

transitions.


Finally,


segment


three


recommends


use


three


different


type


s of


evaluation:


achievement


(guided


experimental


standards),


survey


, and


focus


group.


Examples


use


three


forms


evaluation in analyzing


effectiveness


PITV Model


are


discussed


General


Research Design and


Instrumentation


sections


this


study.


All


three


forms


evaluation


are


recommended


order


determine


successful


implementation


Model.


achievement


evaluation


component


used


measure


suC


cess


regarding


learning.


survey


s used


determine


model-developed


over une


television


nonmodel-developed


presentation i


television


preferred


presentation.









- 66


television


presentation and


point


what


further


improvements


might


made.


Experts'


Evaluation


PITV Model


Five


practitioners


field


instructional


television


were


identified


as experts and


asked


assist


evaluation


PITV Model.


Each


expert


was


sent


copy

the


economic


model and a d

s experiment.


descriptionn


Below


how


a list


was applied in

those who


cooperated


evaluation


model and


a summary


their professional


backgrounds.


Dr. Edward
University
CBS-TV, New
Board of Ed


Stasheff, Professor Emeritu
of Michigan. Educational C
York; Writer-Director for
ucation, New York; Director


Educational and Relig
New York, Producer of
the Board of Educatio
Associate for NETRC (
Television and Radio
of Production for the


Instructional Televis


;ious
'the
n, Ne
Natio


s,
consultant
WNYE-FM,


Programing for WPIX-TV,
Living Blackboard, for
w York, Program
nal Educational


Center)
first
ion Cen


, Ann Arbor; Direc
station in Israel,


ter,


Ramat


Donald Johnson, Director of Program Development
and Production, WNET-TV, New York. Developed
several nationally distributed educational
programs.


Nebraska


Gr


producers of IT
Television Netw
responses were
of Educational


reviewers


have


experience prod


oup. The
V Service


se
s a


were three anonymous
t Nebraska Educational


ork, Lincoln Nebraska (Note: The
provided by Lee Rockwell, Manager
Telecommunications). The three
seventeen years of combined
ucing and directing ITV materials


;tor
the


Aviv.


-----


r








- 67


related


question.


five


interviewers


were


identified


last


name


or group


name.


Would


model


assistance


you


in a


telecourse


or an instructional


televi


sion


production?


, why?


not,


why not


JOHNSON-The


model


would not


useful


professional


production/broadcast


center.


processes


described


are


either


somewhat


elementary for a


seasoned


producer


or appear


designed


"translate"


lectures


into


a television format.


Telecourses,


effective,


must


far


beyond


this


objective.


This model


appears


reflect


a concept


telecourse


which has


shown


somewhat


less


effective


than


most


recent


broadcast


efforts.


Perhaps


a very effective


model


for


closed-circuit


sentations.


am not


qualified


critique


model


from


that


viewpoint.


Rather my


comments


reflect


needs


televi


ion


stations and


production


houses.


NEBRASKA EDUCATIONAL


TELEVI


SION NETWORK-All


three


believe


model


simpli


stic


for


type


work


that


they


on a regular


basis.


They felt


model might


useful,


an organizer,


for


beginning producers.


Nebraska


producers


felt


that


PITV Model


would








- 68


STASHEFF-The


model


would not


much assistance


me.


In all


fairness


Morris,


should


point


that


have


been involved


in either


Educational


or Instructional


since


1945.


Therefore,


almost


everything


in the


model


something


I would


use


instinctively


or habitually,


with


exception of


Section


about


which


have


more


below.


there


any parts


model


you find more


useful


than


others


Please


explain.


JOHNSON-The


model


most


useful


when,


on page


illustrative


example


techniques


are


presented.


Much


model


defined


becomes


concept


such


unclear


through


"Macro


use


-compressions


inadequately


represent


compression


information into


some


type


demonstration


concept


model


vacillates


between abstract


concept


which may


hard


for


reader to


grasp and


superficial


descriptions


techniques


such as


"visual


cial


effects.


NEBRASKA


EDUCATIONAL


TELEVISION


NETWORK-No-The


model


exists


does not


well


with


type


of work and


level


or production


reviewers


work with


on a regular


basis.


STASHEFF-As th


co-author


basic


text


book










(in regard


relevance)


in that


Segment;


intriguing and


potentially useful.


Greater explanation


that


area


accompanying


Would


producers


JOHNSON-It


discussion


model


would


helpful.


particular use


instructional


hard


televis


say.


beginning


ion?


beginning producer may


have


enough grasp


on the


challenge


itself


able


benefit


from


suggested methods


model.


unclear


"why"


important


consider


approaches


laid


out.


would


helpful


for


beginning producer to


understand


instructional/motivational


challenges


instruction


that


are


trying to


met


through


this


model.


Again,


more


illustrative


examples


technique


are


nece


ssary


make


this


understandable


beginning producer.


NEBRASKA EDUCATIONAL


TELEVISION NETWORK-Yes


as a tool


help organize


material,


make


people


aware


what


possible


through


use


television.


STASHEFF-Of


particular value


beginning producers


would


Segment


one


and


two,


only


sugge


stions


start


planning and


checksheets


for


follow-up


before


going


into


rehearsal.


accompanied


model


by the


study


would,


book


however,


need


on production,


as Mr.


Morris


suggests.










a model


for producing a


telecourse


which appears


most


effective


possibly,


translating


most


pertinent


lecture


use


screen


video.


which


segments


themselves


seem


follow a


lecture


mode


rather


than


taking


advantage


video'


ability to


produce


non-linear


instructional


patterns which may


more


effective


than


other presentation modes.


You have


something


important


mind,


hasn


been actualized


effectively as


might


NEBRASKA EDUCATIONAL


TELEVISION NETWORK-Again


reviewers


felt


first


section


could


an organizer.


reviewer felt


a good


separating


idea.


information from


reviewer again mentioned


usefulness was


that


model


is too


vague


useful


for


type


work


done


Nebraska ETV.


STASHEFF-Segment


four would


least


value


because,


as described


on pages


and


, this


evaluation


was


designed


assess


effectiveness


model.


In a


practical,


non-experimental


situation,


any


evaluation


would


concerned


with


effectiveness


a program


or series,


model.


In addition


these


responses,


reviewers


made


some


comment


on the


model.


Johnson


wondered


- w.Ja


third


.


-- w--











what


are


purposes


connections.


Johnson


thought


that


prefixes


Macro


and


Micro


needed


further


explained.


Johnson also


felt


use


storyboard


electronic


graphics,


called


for


model,


were


absolutely necessary.


indicated


that


even


"greater


sophistication


graphics are


necessary for


greatest


effectiveness.


Johnson


was


referring to


white


characters


on a


blue


background


that


were


used


treatment


tape


this


study.


section


model


description


that


suggest


that


illustrations


relevance


divided


into


"trend"


for reviews


past


and


"projections"


express


for analyses


reservations.


future,


wondered


these


Johnson

approaches


"don't


limit


generic


usefulness


model.


wondered


all


productions


would


benefit


from


approaches.


Finally,


Johnson felt


that


video


and


theatrical


processes


suggested


by the


PITV


model--i.e.,


superimpositions,


slow-motion,


scenerlos--are


"great"


any


one


process


should not


over used.


Although


they


expressed


some


support,


overall


five


evaluators


seemed


express


some


strong reservations


regarding the


usefulness


PITV


model.


All


those


who


o'ra i *iiotaA


tim


niaol


falt


~nn~n n: nCa


L i,, L,


I


m I


M a ~n a


r












contention.


Finally,


reviewers


seemed


indicate


that


model


would


greater


use


them


with more


adequate


descriptions


in all


three


segments.










CHAPTER


QUANTITATIVE AND


QUALITATIVE


FINDINGS


results,


reported


this


chapter


have


been


organized


into


category


quantitative


and


qualitative.


This


is descriptive


their nature.


Quantitative


analysis,


related


hypotheses,


consisted


a comparison


achievement


treatment


score


groups.


differences


Qualitative


between


data


one


were


control


derived


and


from a


focus


group analysis


control


and


treatment


tapes.


research


question


(number


two)


was


formulated for


a qualitative


analysis


videotape


from


1981


experiment


Morris


(1984)


and


model.


This was


focus


group


portion


study and


was


used


as a formative


evaluation and


construction


1985


treatment


tape


two.


qualitative


results,


which


can


found


first


section


this


chapter,


were


recorded and


analyzed


using the


facilities


College


Journalism and


Communications


University


of Florida.


facilities


included audio


and


video


recording


equipment


and


conference


room with a


two-way mirror.


research hypotheses


and


dealt


with


achievement


score


differenn.es


on the


1


.ct t~t, $t


hatw0 n


.


.









videotapes.


This


was


experimental


portion


this


study


been


used


investigate


relationships.


quantitative


results


, which


can


found


second


computer


section


this


system


chapter,


North


were


East


analyzed


Regional


Data


using the


Center at


University


Florida and


incorporated


procedures


developed


by the


Institute,


Cary


North


Carolina.


responses


with


incomplete


identification numbers


were


eliminated.


Results


Focus Groups


focus


group evaluation


was


an outcome


research


question number


provided


two.


by a focus


Does

group


the in

suggest


.formation and


methods


feedback


by which


model-developed


televised


instruction might


revised


and


further


improved?


focus


found


differences


groups were

between t


used


determine


treatment


student


(model-developed)


videotape


control


(nonmodel-developed)


videotape


used


experiment


by Morris


(1984).


group


consisted


Economics


five


2013


undergraduate


(Principles),


student


and


who


other


had


group


taken


consisted


five


student


who


had not


taken Economi


. The











videotapes


from


1981


experiment


Morris


(1984)


and


discuss


them.


focus


groups


were


held


from


p.m.,


January


24th,


College


985,


Journalism and


research


Communications.


observation lab


sessions were


videotaped


audiotaped


for


thorough


analysis


and review.


tapes


these


focus


group


sessions


have


been included


as part


material for this


dissertation and


have


been


made


available


, through


researcher,


for


future


reviews


evaluation


process.


responses


students


focus


group


evaluation

interview


have


been


question.


summarized


Questions


below


one


beneath


through


each


fifteen


were


asked


background


questions.


Questions


through


20 were


asked after


participants viewed


control


tape


and


again after they viewed


treatment


tape.


additional


questions,


and


were


asked


after


parti


cipant


viewed


treatment


tape.


In addition,


questions


and


were


asked after viewing three


distinct


segments


treatment


tape.


there


segments


consisted


scenes


with


pop-in animation,


scenes


with highlighting,


and


scenes


from


three-minute


scenario.


n It











group who


had not


taken Principles


of Economic


hereafter referred


non


group,


consisted


three


females and


males.


these


student


planned


take


2013


, either


because


was


required,


because


they thought


was


an important


course


Three


of the


students


had no


plans


take


2013.


group


who


had


taken


Principles


Economics,


hereafter referred


as the


2013


group,


consisted


of two


males


and


three


females.


All


these


students


took


because


was


required.


class


rankings


for


both groups were


heterogeneous,


representing


four


undergraduate


levels.


grade


point


averages


non-2013 group


were


evenly distributed


between


and


2013


group averages were


higher


ranging from


non-2013


group


consisted


one


sociolo


major


three


advertising majors


, and


one


undeclared.


group


consisted


one


advertising,


one


business,


one


finance,


and


one


broadcast


management


major.


person


did


respond


this


question.


All


of the


student


participant


were


full-


time


student


carrying


between


and


hours


student


course


work.


All


one


students


had


been


exposed


some


form


television in


..


__._











hours,


watching television


college


classrooms.


All


student


participant


thought


a college


education


was


important,


essential for


with most


obtaining


believing


skills


was very


enter


important


market.


Descriptions


college


teaching today ranged


from routine


good.


Other terms


used


were


inconsistent,


adequate,


and


insensitive.


Three


students


felt


that


college


teachers


were


generally


helpful.


students


felt


that


many


teachers


lacked


effective


teaching methods.


Most


students


were


in favor


of using television


deliver the


majority


their


classroom instruction.


They


felt


that


television


was


impersonal,


boring,


and


unmotivating.


Students


said


they found


hard


pay attention


telecourses,


and


they felt


as though


they were


getting


what


they


had


paid for


, namely an instructor.


participants


felt


that


some


use


televi


sion


was


acceptable,


and


well-produced,


even


desirable.


student


thought


that


telecourses


were


a good


idea


because


they


offered


flexibility


viewing times.


Finally,


poor audio


or video


quality were


cited


three


students


as problems


that


they


encountered


taking telecourses.


student


said


that


was


often











Question Sixteen.


What


are


your opinions about


videotape


you have


just


seen?


Both


2013


group and


non-2013 group


characterized


control


tape


boring with


poor video


quality.


Several


also


expressed


difficulty


reading the


chalkboard.


Both groups


found


treatment


tape


easier to


see


and follow.


group


said


they


liked


treatment


tape,


thought


they remembered more


from


and


felt


that


viewing time


passed faster.


non-2013 group called

improvement" and noted


Participants


the t

that


both


treatment


was


groups


tape

easier


thought


"vast


follow.


instructor was


hard


follow


control


tape.


2013


group


felt


that


treatment


tape


improved


instructor


effectiveness


directing the


attention


viewer.


Neither


group


found any problem with


audio


quality


either tape.


non-2013


group


found


difficult


hear questions


live


liked


from


lecture.


music


students


Three


used


who


2013


"relevance


attended


group


taping


participants


illustrated"


scenario


contained


treatment


tape.


student


said


music


was


good,


little


distracting.


Only


one


person in


non-201


group


commented


on the music.


That


individual


said


r I-,i


a~nnA


tU~ Q


i dr 9-











much material,


quickly.


and


jumped


contrast,


from

same


concept

group


concept


found methods


used


treatment


presentation


interesting,


more


focused


on the


subject,


ess


distracting,


tiring,


and


easier


follow.


non-201


group


found


that


methods


presentation


used


control


tape


were


adequate


and


thought

All of


that


the


material


presented


participants


this


was supported

group thought


with

the


examples.

methods


used


treatment


tape


made


lecture


easier


follow.


Three


thought


that


abstract


examples


were


easier


follow and


that


concrete


examples


used


conjunction


with


abstract


example


"relevance


illustrated"


scenario


helped


understanding the


material.


Question Seventeen.


What


did


you like


about


What


you not


like


about


2013


group one


person


felt


that


had


"learned


something"


from


control


tape


while


another expressed


satisfaction


with


inability


ask


questions.


participants


felt


that


hypothetical


think.


questions


asked


participant


by the


this


group


instructor made


found


them


that


treatment


tape


had


clear


graphics,


and


others


thought


'


.. .


.. .











boxes


eliminating the


flashing.


Moreover,


one


participant


thought


that


arrows


were


helpful


for


identifying


specific


items


screen


, particularly


graphs.


felt,


however


, that


arrows


should


smaller.


group appreciated


television


s potential


for


re-establishing


charts


when


numbers


from


charts


were


used


in graphs and formulas.


control


tape


chart


were


erased


from


board,


treatment


tape


charts were


recalled at


electronically


any time.


generate


2013


ed and


group also


therefore


felt


could


that


scenario


"helped


make


sense"


facts


present


treatment


tape.


non-201


group


felt


that


control


tape


offered


a greater


opportunity to


distracted


than a


live


presentation,


and


parti


cipants


expressed a


tendency for


falling asleep during this


presentation.


All


participants


this


although


group


one


found


person felt


treatment


that


tape


scenario


their


was


liking,


distracting


and


unnecessary.


other part


cipants


disagreed,


and


one


person


said


that


this


presentation


"offered advantages


that


offset


disadvantages


not


attending the


live









- 81


participants appeared more


exhausted


and


listless


after the


control


tape


than after


treatment


tape.


Although not


giving the


appearance


excitement,


students


did


seem


more


alert


after viewing the


treatment


tape.


Question Eighteen.


How does


this


presentation


compare


other


telecourses


you have


had?


Only


one


person


in the


non-2013


group


had


taken a


telecour


se.


That


person


thought


that


instructor


in the


control


tape


made


thi


telecourse


better than most.


That


same


person


thought


that


treatment


tape


was


a vast


improvement


over all


other


telecourses


encountered.


2013


group


said


that


some


telecourses


were


better


because


they


often included guest


speakers.


group


felt


that


many tele


courses,


however,


were


worse


than


this


one


because


writing


on chalkboard


was


often more


difficult


see


The


group


felt


that


treatment


tape


was


such an improvement


over the


control


tape


that


they


inquired


all


telecourses


could


quickly


modified,


after each


lecture,


look


like


treatment


tape.


3 group also


reported


that


camera,


other


sections


course,


often failed


follow the


subject


being discussed.


camera


often


showed


shots


.-. 4


mi-f,


--- 1.


- -


- -


fl fI f


A, otr~,ntnr


lit n


rlrll. it











They


indicated


that


disruptions


playback


sites made


difficult


watch


television.


Question Nineteen.


How


could


this


tape


improved


students


non-2013


group


gave


following


suggestions


for


improving the


control


tape


use


different


colored


chalkboard,


use


more


color


for


clarity


and,


correct


irregularities


in graphic


reproductions.


group


thought


that


treatment


tape


was


fine


was.


person


strongly


objected


entertainment


aspects


scenario


treatment


tape.


other


members


express


support


for the


scenario,


and


then


objecting participant


acquiesced,


indicating that


scenario


was acceptable.


person suggested


that


a minor


improvement


would


have


instructor


shape


cture


new


graphics.


group


suggested


that


guest


lecturers


, similar


those


used


other


telecourses,


might


improve


interest


control


tape.


For the


treatment


tape


, the


2013


group


indicated


suggestion


that


was


improvements


have


were


instructor


needed.


only


speak


visuals,


rather than matching the


visuals


instructor's


lecture.









- 83


Question


twenty.


What


was


most


important


thing you


learned


from


this


class


segment?


After viewing the


treatment


tape,


members


non-2013


group


said


they


learned


about


consumption


, income,


and


savings.


person


indicated


that


did


not


learn


much.


Another


said


that


boredom


caused


her to


lose


concentration.


After viewing the


treatment


tape,


one


group


member


said he


learned more


about


relationship of


graphs


real


understood


-life

the


situations.

relationship


Another participant


consumption


said


income,


another said


understood


those


factors,


other than


income,


that


often affect


consumption.


3 group members


indicated


that


they


learned a


little


more


about


various


economics


consumption factors


after viewing the


control


tape,


that


this


subject


remained


vague


them.


participant


admitted


being


confused,


and


another


said


that


central


message


could


have


been


"clearer.


After viewing the


treatment


tape,


participants


expressed


understanding of


"shifts


versus

others


"movement

discussed


along"


effect


consumption function.


of attitudes


on consumption and


said


had


become


much


easier


understand.


I~I if if .


Ir I ,


*


q


q









- 84


table


was


superimposed


over a formula.


Question


twenty-one.


What


differences


did


you first


noti


between


presentations


When did you notic these


differences?


What


were


your thoughts at


time?


non-2013 group


noticed


different-looking title


beginning


treatment


videotape,


new


emphasis


noticed


on graphics,


changes


and a more


soon after the


intricate


tape


production.


began.


They


Two


participants


said


that


their


thought


time


were


that


this would


a more


interesting presentation.


group


first


noticed


color


(blue)


on the


tape


instead


chalkboard,


"clearer"


graphics,


and


ability to


recall


charts


for use


solving


equations.


changes


were


noticed


almost


immediately


Three


group


members


said


they


felt


"relieved"


when


they


first


saw the


changes.


participant


recalled


first


noticing


improved graphics,


and


wondering at


time


how the


graphs


would


developed.


This


partic


ipant


was


very pleased


with


outcome.


Question


twenty-two.


What


did


you


prefer about


videotape


with


blue


(model-developed)


black


(nonmodel-developed)


background?


Nnr0


(II~n I.'' I ri tT'C ii 1


t~ha i-


n n mm a v4 a A^


When did


vou notic


these


bYinlln


1 r i


III I. r ir








- 85


indicated


a preference


for


seeing more


instructor.


Other


students


disagreed


and


indicated


that


improved


graphics


offset


lack


a visible


instructor.


participant


suggested


that


might


interesting to


find a


method


for


combining the


graphics


and


views


instructor.


Another


student,


however


said


that


graphics were


much more


important.


These


improved graphics


would make


notetaking much


group


easier


unanimously thought


that


effectiveness


treatment


tape


far exceeded


control


tape


primarily


because


graphics.


participant


indicated


a strong preference


for white


letters


on blue


background.


This was


supported


by a


comment


that


writing


on the


chalkboard


was


unclear.


treatment


and


students were


tape


asked


was

two


divided

questions


into t

about


hree

each


segments,

segment.


Again


segment s


responses


for discus


have


sion


been


were


divided


by the


follows:


questions.


scenes


with


pop-in animation,


scenes with highlighting,


and


scenes


from


three-minute


scenario.


Question


twenty-three.


What


did


you notice


about


segment


videotape?


About


segment


with


pop-


animation,


non-2013


group


said


effect


made











permitted


entire


word


or subject


appear at


once.


group


said


that


pop-in


effect


produced


visual


instructor


talked


about


and


therefore


learner through


thought


subject


pop-in animation


matter.


was


parti


preferable


cipant


writing on


board


because


instructor


or the


instructor'


hand


often


blocked


writing.


participant


said


that


this


was an


essential


part


treatment


tape.


non-2013


focused


the interest

screen. The


group

the v


student


said


viewer


who


that


on the


preferred


highlighting


important


section


instructor


over the


graphics


also


preferred


instructor pointing


over the


highlighting.


All


2013


group


thought


highlighting was


essential.


person suggested


that


size


highlighting


reduced.


A participant


recalled


that


in one


case


on the


treatment


tape


arrow


blocked


some


numbers.


was


suggested


that


arrow


reduced


in size.


That


part


ipant


also


indicated


that


flashing the


arrow was


unnecessary


because


arrow alone


was


effe


ctive.


person in


non-201


group


had


been


critical


entertainment


aspect


this


segment


I I I


I I











some


were


moving to


music.


Three


students


expressed


their approval


scenario.


other


participant


expressed


strong disapproval


focusing


on the


scene


checkout


counter.


An argument


ensued,


as the


other participants


attempted


explain


value


music


drama


scenario.


part


cipant


said


that


music


aided in recalling the


concepts.


Another discussed


how the


graphs


(abstract


example


were


related


tape


to real


life


(concrete


example


Another


participant


described


how the


scenario


demonstrated relationships.


scussion finally


ended


because


participant


who


liked


scenario


decided


discontinue


participant


added


that


scenario


added an advantage


providing for explanation not


available


control


tape.


2013 group


thought


that


in an abstract


format


moving


graphs were


very


effective


for demonstrating the


relationship of


changes


in income


changes


in consumption.


They felt


that


music


assisted


recall


by relating the


concepts


examples.


participant


added


that


music


helped


hold


scenario


together.


Question


twenty-four.


What


improvements


would


you like


see


this


segment


tape


only


---





I









- 88


other participant,


however


, disagreed.


Another


participant


suggested


that


a zero


placed


in front


cimal


point


to avoid


confusion


when reading from a


tanc


highlighting


segment


one


participant


suggested


removing the


material


being


highlighted


save


need


for


highlighting.


Others,


however,


suggested


no changes


made


procedure.


participant


013 group


repeated an


earlier


suggestion


reducing the


highlighting


box.


non-2013


group


thought


that


music


scenario


was


very


helpful


and


that


needed


as dominant


as the


narrator.


participant


thought


that


transition


between


selected musical


ces


could


have


been


smoother.


parti


cipant


suggested


that


lady


scene


cast


so as


appear so


stupid.


person


was


not


sure


purpo


comic


everything


detail.


element


scenario


2013 group


thought


could


that


recall


music,


customers


, and


moving graphics were


all


essential and


effective.


They did not


suggest


any


changes.


They


did


suggest


that


other videotapes,


skit


could


used


place


music


add


variety.


Fynsri Thnmt 1











comparison


student


achievement


scores


between


students


who


viewed


treatment


one


and


students


who


viewed


control


tape.


Hypothesis


There


will


no differences


student


achievement


between


students


who


view model-developed


televised


instruction and


students


who


view


nonmodel


-developed


televised


instruction.


second


hypothesis


was


developed


from


data


provided


by the


focus


group analysis


treatment


tape.


strong


criticism


treatment


tape


came


from a


focus


group


participant


who


objected


musi


drama


used


scenario


as an unnecessary


distraction.


After discussing this


finding with Dr.


David


Denslow,


instructor


in the


course,


who


indicated


that


had received


similar


complaints


after


(Morris,


1984)


experiment,


investigator decided


eliminate


production


technique


music/drama from


treatment


tape


and


measure


results


student


achievement


for treatment


tape


against


treatment


tape


one


and


control


tape.


Hypothesi


There


will


no differences


in student


achievement


between


students


who


view model-developed


televised


instruction and


students


who


view model-developed




Full Text

PAGE 1

'(6,*1,1* 7(/(9,6(' ,16758&7,21 )25 &2//(*( &/$66(6 -21 0255,6 $ ',66(57$7,21 35(6(17(' 72 7+( *5$'8$7( 6&+22/ 2) 7+( 81,9(56,7< 2) )/25,'$ ,1 3$57,$/ )8/),//0(17 2) 7+( 5(48,5(0(176 )25 7+( '(*5(( 2) '2&725 2) 3+,/2623+< 81,9(56,7< 2) )/25,'$

PAGE 2

&RS\ULJKW \ -RQ 0RUULV

PAGE 3

'(',&$7,21 ,Q KRQRU RI /HDK 1 0RUULV DQG ,Q ORYLQJ PHPRU\ RI $QQ 0RUULV

PAGE 4

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

PAGE 5

, ZLVK WR WKDQN P\ 'DG DQG EURWKHU ZKR OLVWHQHG WR P\ FRPSODLQWV RYHU DQG RYHU DJDLQ EXW HQFRXUDJHG PH WR FRQWLQXH DOVR ZLVK WR WKDQN P\ JRRG IULHQG /HR 0LOOHU ZKR XQDEDVKHGO\ KDV RIIHUHG DQ RSSRVLQJ YLHZSRLQW QR PDWWHU ZKDW WKH WRSLF $OVR ZLVK WR WKDQN 6XVDQ DQG /DULVVD 6FRWW ZKR KHOSHG PH WKURXJK WKH ILQDO KHFWLF PRPHQWV ZLVK WR H[SUHVV P\ DSSUHFLDWLRQ WR WKH .DOWHQERUQ )RXQGDWLRQ IRU IXQGLQJ WKH FRQVWUXFWLRQ RI WKH WUHDWPHQW YLGHRWDSHV XVHG LQ WKLV VWXG\ :LWKRXW WKLV FRQWULEXWLRQ PDQ\ RI WKH WHOHYLVHG VSHFLDO HIIHFWV ZRXOG QRW KDYH EHHQ SRVVLEOH $QG ODVW EXW QRW OHDVW ZLVK WR WKDQN P\ ZLIH /HDK ZKRVH KHDUW PD\ QHYHU KDYH EHHQ LQ P\ GLVVHUWDWLRQ WRSLF EXW ZKRVH PLQG KDV EHHQ 6KH KDV FRUUHFWHG P\ VSHOOLQJ HGLWHG P\ URXJK GUDIWVnDQG OLVWHQHG WR P\ FRPSODLQWV 2YHU WKH ODVW ILYH \HDUV VKH KDV JXLGHG PH WKURXJK PDQ\ WURXEOHG WLPHV 6KH KDV DOZD\V VDLG QR PDWWHU KRZ PXFK WLPH DQG HIIRUW LW WDNHV ZH ZLOO ILQLVK WKH WDVN 8SRQ WKH DUULYDO RI RXU GDXJKWHU 6DUD $QQH RQ $SULO } } /HDK KDV FKDQJHG KHU SRVLWLRQ KRZHYHU WR WKLQN LW LV WLPH ZH ILQLVK WKH WDVN 7KDQN \RX RQH DQG DOO Y

PAGE 6

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f ,16758&7,21$/ 7(/(9,6,21 3,79f 02'(/ :,7+ (;3(57 (9$/8$7,21 7KH 3,79 0RGHO ([SHUWVn (YDOXDWLRQV RI WKH 3,79 0RGHO YL

PAGE 7

48$17,7$7,9( $1' 48$/,7$7,9( ),1',1*6 5HVXOWV )RFXV *URXS ([SHULPHQWDO 6XPPDU\ &21&/86,216 ,03/,&$7,216 $1' 5(&200(1'$7,216 ,QWURGXFWLRQ &RQFOXVLRQV ,PSOLFDWLRQV 5HFRPPHQGDWLRQV )RU )XUWKHU 6WXG\ $33(1',&(6 $ &29(5 /(77(5 $1' 48(67,211$,5( )25 7(/(&2856( (;3(576 % /,67 2) (;3(576 $1' 7+(,5 $''5(66(6 & )2&86 *5283 ,17(59,(: 6&+('8/( 32677(67 2) &2168037,21 )81&7,21 5()(5(1&(6 %,2*5$3+,&$/ 6.(7&+ 9OO

PAGE 8

/,67 2) 7$%/(6 3$*( 7$%/( 'HVFULSWLYH 6WDWLVWLFV IRU 3UHWHVW DQG 3RVWWHVW 6FRUHV E\ 6WXG\ *URXS 7$%/( $QFRYD )RU 7RWDO 7$%/( $QFRYD )RU 6FRUH 7$%/( 3DLUZLVH &RPSDULVRQV )RU 7RWDO 7$%/( 3DLUZLVH &RPSDULVRQ IRU 6FRUH YP

PAGE 9

$EVWUDFW RI 'LVVHUWDWLRQ 3UHVHQWHG WR WKH *UDGXDWH 6FKRRO RI WKH 8QLYHUVLW\ RI )ORULGD LQ 3DUWLDO )XOILOOPHQW RI WKH 5HTXLUHPHQWV IRU WKH 'HJUHH RI 'RFWRU RI 3KLORVRSK\ $ 02'(/ )25 '(6,*1,1* ())(&7,9( 7(/(9,6(' ,16758&7,21 ,1 &2//(*( &/$66(6 %\ -21 0255,6 $XJXVW &KDLUPDQ $OEHUW % 6PLWK ,,, 0DMRU 'HSDUWPHQW ,QVWUXFWLRQ DQG &XUULFXOXP 7KH SXUSRVH RI WKLV VWXG\ ZDV WR DQDO\]H DQG FRPSDUH WKH HIIHFWV RI D VHJPHQW RI WHOHYLVHG LQVWUXFWLRQ ZKLFK DGKHUHG WR HOHPHQWV RI D SURGXFHUnV PRGHO ZLWK D FDPHUD RI UHFRUG QRQPRGHOGHYHORSHGf VHJPHQW RI WHOHYLVHG LQVWUXFWLRQ LQ D FROOHJH FRXUVH $ 3URGXFHUVn ,QVWUXFWLRQDO 7HOHYLVLRQ 3,79f 0RGHO ZDV GHYHORSHG IRU WKLV VWXG\ LQ RUGHU WR LPSURYH WKH SURGXFWLRQ TXDOLW\ RI WHOHYLVHG LQVWUXFWLRQ DQG WKHUHE\ LPSURYH FROOHJH VWXGHQW DFKLHYHPHQW $ WKUHHVWDJH HYDOXDWLRQ SURFHVV ZDV XVHG WR HYDOXDWH Df WKH PRGHO EfWKH WDSHV DQG Ff WKH HIIHFWLYHQHVV RI WKH PRGHOGHYHORSHG YLGHRWDSHV $ SDQHO RI ILYH H[SHUW WHOHFRXUVH SURGXFHUV XVLQJ D ILYH LWHP RSHQHQGHG VXUYH\ ,;

PAGE 10

TXHVWLRQQDLUH FULWLTXHG WKH 3,7< 0RGHO 7ZR IRFXV JURXSV DW WKH 8QLYHUVLW\ RI )ORULGD ZLWK ILYH VWXGHQWV LQ HDFK JURXS FRPSDUHG DQG DQDO\]HG WKH PRGHOGHYHORSHG DQG WKH QRQPRGHOGHYHORSHG YLGHRWDSHV DQG PDGH UHFRPPHQGDWLRQV IRU LPSURYHPHQW $Q H[SHULPHQWDO FRPSDULVRQ ZDV WKHQ PDGH ZLWK D FRQWURO DQG WZR WUHDWPHQW WDSHV WR GHWHUPLQH WKH LPSDFW RQ VWXGHQW DFKLHYHPHQW ,Q -DQXDU\ RI } LQ WKH 3ULQFLSOHV RI (FRQRPLFV WHOHFRXUVH DW WKH 8QLYHUVLW\ RI )ORULGD SRVWWHVW VFRUHV RI VWXGHQWV LQ WKH FRQWURO JURXS LQ WUHDWPHQW JURXS RQH DQG LQ WUHDWPHQW JURXS WZR ZHUH FRPSDUHG 7KH H[SHULPHQWDO WDSH FRPSDULVRQV ZHUH PDGH LQ D QRQUDQGRPL]HG FRQWURO JURXS SUHWHVWSRVWWHVW GHVLJQ XVLQJ DQ DQDO\VLV RI FRYDULDQFH $1&29$f 7KH UHVXOWV LQGLFDWHG WKDW Df WKH H[SHUWV KDG UHVHUYDWLRQV DERXW WKH PRGHO DQG VHHPHG WR WKLQN WKDW WKH 3,79 PRGHO ZDV PRVW DSSURSULDWH IRU EHJLQQLQJ SURGXFHUV Ef WKH IRFXV JURXSV ZHUH DEOH WR LGHQWLI\ D SURGXFWLRQ WHFKQLTXH PXVLFGUDPDf WKDW WKH\ SHUFHLYHG WR EH LQHIIHFWLYH LQ WKH PRGHOGHYHORSHG YLGHRWDSH DQG Ff WKHUH ZDV D VLJQLILFDQW GLIIHUHQFH DPRQJ WKH WKUHH JURXSV RQ SRVWWHVW PHDVXUHV RI VWXGHQW DFKLHYHPHQW 7UHDWPHQW WDSH RQH ZLWK PXVLFGUDPDf DQG WUHDWPHQW WDSH WZR ZLWKRXW PXVLFGUDPDf SURGXFHG VLJQLILFDQWO\ LQFUHDVHG VWXGHQW DFKLHYHPHQW ZKLOH WKH FRQWURO WDSH GLG [

PAGE 11

QRW 7KLV VWXG\ VKRZHG WKH 3,79 0RGHO WR EH DQ HIIHFWLYH PHWKRG RI LPSURYLQJ WHOHFRXUVH YLGHRWDSHV 6WXGHQW WHVW VFRUHV LPSURYHG RYHU D FDPHUD RI UHFRUG SUHVHQWDWLRQ ZKHQ WKH YLGHRWDSH ZDV GHYHORSHG XVLQJ WKH 3,79 0RGHO [L

PAGE 12

&+$37(5 ,1752'8&7,21 7KH WLWOH RI DQ DUWLFOH E\ *DYULHO 6DORPRQ 2Q WKH )XWXUH RI 0HGLD 5HVHDUFK 1R 0RUH )XOO $FFHOHUDWLRQ LQ 1HXWUDO *HDU f UHIOHFWHG WKH ODFN RI SURJUHVV LQ PHGLD UHVHDUFK VSHFLILFDOO\ WHOHYLVHG LQVWUXFWLRQ 6HYHUDO UHDVRQV KDYH EHHQ JLYHQ ZK\ WHOHYLVHG LQVWUXFWLRQ UHVHDUFK KDV FRQWULEXWHG OLWWOH WR WKH LPSURYHPHQW RI WKH OHDUQLQJ HQYLURQPHQW )LUVW PXFK RI WKH WHOHYLVHG LQVWUXFWLRQ UHVHDUFK KDV EHFRPH RXWGDWHG HJ &DUSHQWHU t *UHHQKLOO /XPVGDLQH 6XO]HU t .RSVWHLQ } 0HUFHU 9DQGHUPHHU A 9HVWDO f WKXV OLPLWLQJ WKH YDOXH RI WKH UHVXOWV 7KH TXDOLW\ RI WHOHYLVLRQ SURFHVVLQJ HTXLSPHQW KDV LPSURYHG JUHDWO\ VLQFH UHVHDUFK RQ WHOHYLVHG LQVWUXFWLRQ ZDV FRQGXFWHG LQ WKH V DQG V 0DQ\ XQLTXH WHOHYLVLRQ SURGXFWLRQ FDSDELOLWLHV KDYH EHHQ GHYHORSHG LQFOXGLQJ YLGHRWDSH VSHFLDO HIIHFWV DQG VDWHOOLWH b LQWHUFRQQHFWLRQV EXW OLWWOH UHVHDUFK KDV EHHQ FRQGXFWHG WR GHWHUPLQH KRZ WR XVH WKLV WHFKQRORJ\ HIIHFWLYHO\ 0HWDOOLQRV f KDV VDLG WKH IDLOXUH WR UHFRJQL]H WKH NH\ GLIIHUHQFHV EHWZHHQ WKH PHGLD RI ILOP DQG WHOHYLVLRQ LV D PDMRU UHDVRQ IRU WKH ODFN RI HPSLULFDO UHVHDUFK LQ WHOHYLVLRQ FRPSRVLWLRQ SOf

PAGE 13

6HFRQG LQVWUXFWLRQDO UHVHDUFK KDV EHHQ OLPLWHG LQ DSSOLFDELOLW\ EHFDXVH UHVHDUFKHUV KDYH FRQWLQXHG WR UHSHDW UHVHDUFK ZKLFK RSSRVHV RQH PHGLXP WHOHYLVLRQf DJDLQVW DQRWKHU OHFWXUH PHWKRGf ZLWK OLWWOH LQVLJKW LQWR KRZ HDFK RI WKHVH SUHVHQWDWLRQV ZDV GHYHORSHG &KX t 6FKUDPP 0RUULV } f 7KLUG LQ WKH OLPLWHG QXPEHU RI VWXGLHV %DUEDWVLV 'DYLV f ZKLFK KDYH FRPSDUHG PHWKRGV RI SUHVHQWDWLRQ ZLWKLQ WKH PHGLXP RI WHOHYLVLRQ WKHUH KDV EHHQ D FRQWLQXLQJ LQWHUHVW LQ LVRODWLQJ YDULDEOHV WR PHDVXUH WKHLU HIIHFW RQ DFKLHYHPHQW 7KLV DSSURDFK DW WLPHV KDV RYHUORRNHG WKH FXPXODWLYH HIIHFW RI YDULDEOHV RQ VWXGHQW DFKLHYHPHQW DQ HIIHFW ZKLFK FRXOG EH JUHDWHU WKDQ WKH VXP RI WKH LQGLYLGXDO UHVXOWV 0HWKRGV DQG PRGHOV KDYH EHHQ SURSRVHG WR DVVLVW LQ WKH GHYHORSPHQW RI PHGLD SURGXFWV &DPEUH f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

PAGE 14

6WDWHPHQW RI WKH 3UREOHP 7KH SXUSRVH RI WKLV VWXG\ ZDV WR DQDO\]H DQG FRPSDUH WKH HIIHFWV RI D VHJPHQW RI WHOHYLVHG LQVWUXFWLRQ ZKLFK DGKHUH WR HOHPHQWV RI D SURGXFHUnV PRGHO ZLWK D FDPHUD RI UHFRUG QRQPRGHOGHYHORSHGf VHJPHQW RI WHOHYLVHG LQVWUXFWLRQ LQ D FROOHJH FRXUVH $ PDMRU SUREOHP IDFLQJ WKH ILHOG RI WHOHYLVHG LQVWUXFWLRQ LV WKH ODFN RI SURGXFWLRQ PRGHOV DQG FXUUHQW UHVHDUFK RQ WKH GHYHORSPHQW DQG LPSDFW RI WHOHYLVHG LQVWUXFWLRQ DW WKH FROOHJH OHYHO 4XHVWLRQV DQG +\SRWKHVHV 7ZR TXHVWLRQV DQG WZR K\SRWKHVHV ZHUH GHYHORSHG IRU HYDOXDWLQJ WKH PRGHO 7KH\ ZHUH DV IROORZV 'R H[SHUWV ZKR KDYH EHHQ DVNHG WR HYDOXDWH D SURGXFHUVn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

PAGE 15

WHOHYLVHG LQVWUXFWLRQ DQG VWXGHQWV ZKR YLHZ PRGHOGHYHORSHG WHOHYLVHG LQVWUXFWLRQ ZLWK D VHOHFWHG SURGXFWLRQ WHFKQLTXH GHOHWHG 7KH SURGXFWLRQ WHFKQLTXH WKDW ZDV GHOHWHG IURP WKH PRGHOGHYHORSHG WHOHYLVHG LQVWUXFWLRQ ZDV LGHQWLILHG LQ D IRFXV JURXS DQDO\VLV DV DQ XQQHFHVVDU\ GLVWUDFWLRQ 7KH SURGXFWLRQ WHFKQLTXH ZDV PXVLFGUDPD 1HHG IRU WKH 6WXG\ 5HVHDUFKHUV &KX t 6FKUDPP *DJQH f HGXFDWRUV %URQIHQEUHQQHU 1HZHOO t 2OHMQLN f DQG WHOHYLVLRQ SURGXFWLRQ WH[W ZULWHUV 8W] =HWWO f KDYH IRU D ORQJ WLPH VXJJHVWHG WKDW VWXGHQW DFKLHYHPHQW FDQ EH LQFUHDVHG WKURXJK WKH DSSOLFDWLRQ RI FHUWDLQ WHFKQLTXHV GHVLJQHG WR JDLQ DQG KROG DWWHQWLRQ ,Q D WHOHYLVLRQ SURGXFWLRQ WKHVH WHFKQLTXHV KDYH EHHQ UHIHUUHG WR DV SURGXFWLRQ WHFKQLTXHV =HWWO f $OWKRXJK PDQ\ RI WKH VXJJHVWLRQV IRU DWWUDFWLQJ DQG KROGLQJ DWWHQWLRQ JR EH\RQG WKH VFRSH RI WKLV UHVHDUFK HIIRUW EHFDXVH WKH\ DUH XQUHODWHG WR WHOHYLVLRQ SURGXFWLRQ PDQ\ FDQ EH DSSOLHG LQ D PRGHO IRU WKH GHYHORSPHQW RI D WHOHYLVHG LQVWUXFWLRQDO SUHVHQWDWLRQ $ VHDUFK RI WKH OLWHUDWXUH KRZHYHU LQGLFDWHG WKDW OLWWOH KDG EHHQ GRQH WR YHULI\ WKH YDOXH RI WKHVH VXJJHVWHG WHFKQLTXHV LQ HQKDQFLQJ VWXGHQW DFKLHYHPHQW

PAGE 16

:LWK UHJDUG WR FROOHJH VWXGHQW DFKLHYHPHQW *DJQH f KDV LVRODWHG ILYH IDFWRUV SHUWLQHQW WR KXPDQ OHDUQLQJ DQG HGXFDWLRQDO WHFKQRORJ\ 7KHVH IDFWRUV DUH $WWHQWLRQ 6HOHFWLYH 3HUFHSWLRQ 6HPDQWLF (QFRGLQJ (IIHFWV RI 3ULRU .QRZOHGJH DQG 0HWDFRJQLWLRQ RU &RJQLWLYH 6WUDWHJLHV SS f 2I WKHVH ILYH IDFWRUV WZR ZHUH XVHG WR JXLGH WKH GHYHORSPHQW RI WKH WHOHYLVLRQ SURGXFWLRQ LQ WKLV VWXG\ 7KH\ ZHUH Df $WWHQWLRQ DURXVLQJ WKH OHDUQHUnV LQWHUHVWV DQG Ef 6HOHFWLYH 3HUFHSWLRQ GLUHFWLQJ WKH OHDUQHUnV ILHOG RI FRQFHQWUDWLRQ 1HLWKHU RI WKHVH IDFWRUV ZHUH WHVWHG GLUHFWO\ EXW WKH\ VHHPHG UHDVRQDEOH IDFWRUV WR DSSO\ WR D WHOHYLVLRQ SURGXFWLRQ 0RUHRYHU WKHVH WZR FRQFHSWV KDYH EHHQ WHVWHG LQ YDULRXV RWKHU LQVWUXFWLRQDO IRUPDWV )LIWHHQ RI WKH VWXGLHV RQ WHOHYLVHG LQVWUXFWLRQ RU ILOP SURGXFWLRQ UHSRUWHG LQ WKH UHYLHZ RI OLWHUDWXUH VHFWLRQ IRU WKLV UHVHDUFK ZHUH FRQGXFWHG GXULQJ RU SULRU WR L 'UHKHU DQG %HDWW\ f VWDWHG WKDW WKH XVH RI WHOHYLVLRQ IRU HGXFDWLRQDO SXUSRVHV LV WRR QHZ WR FKDUDFWHUL]H DOO RI LWV VWUHQJWKV DQG ZHDNQHVVHV S f ,Q WKH RQO\ VWXGLHV VLQFH L IRXQG WR KDYH EHHQ PHDVXULQJ WKH HIIHFWLYH XVH RI WHOHYLVHG LQVWUXFWLRQ %DUULQJWRQ 'DYLV f} LUUHOHYDQW YDULDEOHV ZHUH PL[HG DQG FRPSDWLEOH YDULDEOHV ZHUH LVRODWHG )RU H[DPSOH 'DYLV f} LQ RUGHU WR DURXVH VWXGHQWVf DWWHQWLRQ RU WR HQKDQFH DWWHQWLRQ LQVHUWHG DFWLRQ ZDU VFHQHV IURP WKH WHOHYLVLRQ SURJUDP

PAGE 17

%DWWOH 6WDU *DO£FWLFD LQWR D ILOP GHPRQVWUDWLRQ RQ KRXVH EXLOGLQJ 7KLV SURFHGXUH ZDV DQ DWWHPSW WR DVVHVV WKH DELOLW\ RI VRSKLVWLFDWHG SURGXFWLRQ WHFKQLTXHV WR DWWUDFW WKH OHDUQHUnV DWWHQWLRQ WR WKH WHOHYLVHG VXEMHFW PDWWHU 7KH FOLSV IDLOHG WR DWWUDFW WKH GHVLUHG DWWHQWLRQ 7KLV UHVXOW ZDV QRW VXUSULVLQJ VLQFH WKH FOLSV ZHUH LUUHOHYDQW WR WKH VXEMHFW RI LQVWUXFWLRQ ,Q IDFW WKH FOLSV SUREDEO\ GLVWUDFWHG DWWHQWLRQ IURP WKH FRQFHSWV SUHVHQWHG ,Q UHVSRQVH WKLV VWXG\ DWWHPSWHG WR GHYHORS DQG XVH D PRGHO WKDW LQFRUSRUDWHG WHOHYLVLRQ SURGXFWLRQ WHFKQLTXHV WKDW ILW WKH FROOHJH LQVWUXFWRUnV VXEMHFW PDWWHU 6DORPRQnV f VXUYH\ RI UHVHDUFK ZKLFK ZDV FRQGXFWHG LQ ,VUDHO LQGLFDWHG WKDW WKH ODFN RI WHOHYLVHG LQVWUXFWLRQ UHVHDUFK LV QRW FRQILQHG WR WKH 8QLWHG 6WDWHV 0HGLD UHVHDUFKHUV LQ %HOJLXP DW *KHQW 6WDWH 8QLYHUVLW\ FRQFOXGHG WKDW WKHUH LV D ODFN RI EDVLF LQIRUPDWLRQ DERXW OHDUQLQJ E\ WHOHYLVLRQ ZKLFK UHVXOWV LQ DQ LQWXLWLYH DSSURDFK RI WKH RSWHPROL]DWLRQ SURFHVV FDOOHG nPHWKRGVPHGLD WUDGHRIIn +HUUHO S f ,Q FRQWUDVW WKH FXUUHQW VWXG\ DWWHPSWHG WR SURYLGH LQIRUPDWLRQ DERXW OHDUQLQJ E\ WHOHYLVLRQ YLD WKH GHYHORSPHQW RI D SURGXFHUnV PRGHO WKDW FRQWDLQHG D VWURQJ DQG GLYHUVH HYDOXDWLRQ FRPSRQHQW 'HOLPLWDWLRQV $ UHYLHZ RI WKH OLWHUDWXUH LQGLFDWHG WKDW RQO\ D IHZ FXUULFXOXP DQG LQVWUXFWLRQ PRGHOV ZHUH DSSOLFDEOH LQ SDUW WR

PAGE 18

WKH GHYHORSPHQW RI WHOHYLVHG LQVWUXFWLRQ ZLWK QRQH EHLQJ GLUHFWO\ DSSOLFDEOH 0RUHRYHU WKH HYDOXDWLRQ SURFHVVHV LQFRUSRUDWHG ZLWKLQ WKHVH VDPH PRGHOV ZHUH ZHDN ZKHQ DSSOLHG WR WHOHYLVHG LQVWUXFWLRQ 7KLV VWXG\ ZDV GHOLPLWHG WR LQFOXGH D SURGXFHUnV PRGHO D FDPHUD RI UHFRUG FRQWUROf YLGHRWDSH WZR WUHDWPHQW PRGHOGHYHORSHGf YLGHRWDSHV DQG WKUHH PHWKRGV RI HYDOXDWLRQ 7KH FRQWURO WDSH ZDV DQ H[DFW UHFRUGLQJ RI D OLYH OHFWXUH 7UHDWPHQW WDSH RQH ZDV DQ HQKDQFHG YHUVLRQ RI WKH FRQWURO WDSH XVLQJ VHYHUDO DSSURSULDWH WHOHYLVLRQ SURGXFWLRQ WHFKQLTXHV DV SUHVFULEHG E\ D SURGXFHUnV PRGHO 7UHDWPHQW WDSH WZR ZDV D FRS\ RI WUHDWPHQW WDSH RQH ZLWK D VHOHFWHG YDULDEOH WKH PXVLFGUDPD VHJPHQWVf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

PAGE 19

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f WKH FXPXODWLYH RYHUDOO SRVWWHVW VFRUH LGHQWLILHG DV 7RWDO DQG Ef WKH FXPXODWLYH VFRUH IRU WKHVH SRVWWHVW LWHPV WKDW SHUWDLQHG WR DQ XQGHUVWDQGLQJ RI WKH DSSOLFDWLRQ RI WKH FRQVXPSWLRQ IXQFWLRQ WR UHDO FRQVXPSWLRQ LQ HFRQRPLFV DFWLYLWLHV LGHQWLILHG DV 6FRUH &RQFUHWH H[DPSOHV 7KHVH ZHUH SKRWRJUDSKV DQG YLVXDOV WKDW ZHUH XVHG WR SURYLGH H[DPSOHV RI UHDOOLIH VFHQHV RI FRQVXPHUV LQ EX\LQJ VLWXDWLRQV LQ WKH PRGHOGHYHORSHG WDSH )RFXV JURXSV 7KHVH ZHUH TXDOLWDWLYH LQGHSWK UHVHDUFK JURXSV RI ILYH WR HLJKW UHVSRQGHQWV GHVLJQHG WR SURYLGH IHHGEDFN DERXW DQ LQVWUXFWLRQDO WHOHYLVLRQ SURGXFWLRQ

PAGE 20

3URGXFHUnV 0RGHO 7KLV ZDV D SODQ RU JXLGHOLQH IRU WKH GHYHORSPHQW RI WHOHFRXUVHV DQG IURP ZKLFK WUHDWPHQW WDSHV RQH DQG WZR LQ WKLV VWXG\ ZHUH GHYHORSHG 3URGXFWLRQ YDOXHV 7KHVH DUH D UHIOHFWLRQ RI WKH SURGXFWLRQ TXDOLW\ RI D WHOHYLVLRQ SUHVHQWDWLRQ 7HOHYLVLRQ LV D YLVXDO DQG DXUDO PHGLXP 3URGXFWLRQV WKDW PD[LPL]H WKHVH DWWULEXWHV DUH FRQVLGHUHG KLJK LQ SURGXFWLRQ YDOXHV ZKLOH SURGXFWLRQV WKDW PLQLPL]H WKHVH DWWULEXWHV DUH FRQVLGHUHG ORZ LQ SURGXFWLRQ YDOXHV 7KH FRQWURO FDPHUD RI UHFRUGf WDSH LQ WKLV LQYHVWLJDWLRQ ZDV DQ H[DPSOH RI ORZ SURGXFWLRQ YDOXHV ZKLOH WKH WUHDWPHQW WDSHV ZHUH H[DPSOHV RI KLJK SURGXFWLRQ YDOXHV 7HOHFRXUVH 7KLV LV D FRXUVH WKDW LV GHOLYHUHG WR WKH VWXGHQW VROHO\ E\ WHOHYLVLRQ ,Q WKLV FDVH WKH FRXUVH ZDV (FRQRPLFV DW WKH 8QLYHUVLW\ RI )ORULGD *DLQHVYLOOH )ORULGD LQ r 7HOHYLVHG LQVWUXFWLRQ )RU WKLV VWXG\ LW LV WKH XVH RI WHOHYLVLRQ DV WKH VROH PHWKRG IRU FRQYH\LQJ LQIRUPDWLRQ DQG NQRZOHGJH DERXW WKH FRQVXPSWLRQ IXQFWLRQ LQ D FROOHJH FRXUVH (FRQRPLFV 6WXGHQWV JDWKHUHG LQ D W\SLFDO FODVVURRP IRU ILIW\ PLQXWHV WR ZDWFK WZR RU PRUH WHOHYLVLRQ VHWV 1R LQVWUXFWRU ZDV SUHVHQW LQ WKH URRP $OO LQVWUXFWLRQ ZDV SURYLGHG YLD WHOHYLVLRQ &KDSWHU FRQWDLQV D UHYLHZ RI OLWHUDWXUH IRU WKLV VWXG\ 7KH PHWKRGRORJ\ HPSOR\HG LQ WKH VWXG\ LV GLVFXVVHG

PAGE 21

LQ &KDSWHU &KDSWHU FRQWDLQV D GHWDLOHG GHVFULSWLRQ RI WKH 3URGXFHUVn ,QVWUXFWLRQDO 7HOHYLVLRQ 0RGHO DQG H[SHUWVn HYDOXDWLRQ RI WKH PRGHO 7KH UHVXOWV RI WKLV VWXG\ DUH SUHVHQWHG DQG DQDO\]HG LQ &KDSWHU r &KDSWHU FRQWDLQV D VXPPDU\ FRQFOXVLRQV LPSOLFDWLRQV DQG UHFRPPHQGDWLRQV

PAGE 22

&+$37(5 5(9,(: 2) /,7(5$785( 7KH TXDOLW\ DQG TXDQWLW\ RI VWXGLHV RQ WKH HIIHFWLYHQHVV RI LQVWUXFWLRQDO WHOHYLVLRQ LQ KLJKHU HGXFDWLRQ KDYH EHHQ TXLWH OLPLWHG 7KLV OLPLWDWLRQ KDV EHHQ GXH WR DW OHDVW WZR IDFWRUV )LUVW WKHUH KDV EHHQ WKH IDFWRU RI WLPH VLQFH WHOHYLVLRQ KDV EHHQ DYDLODEOH WR WKH SXEOLF IRU RQO\ -2 \HDUV %URZQ fr %\ FRPSDULVRQ WKH ILUVW LOOXVWUDWHG SULQWHG WH[WERRN ZDV ZULWWHQ RYHU \HDUV DJR 6FKUDPP f} WKXV DOORZLQJ IRU \HDUV RI UHSHDWHG UHVHDUFK RQ WKH HIIHFWLYHQHVV RI WKLV PHGLXP $OWKRXJK VWXGLHV FRPSDULQJ WKH HIIHFWLYHQHVV RI WHOHYLVLRQ ZLWK RWKHU PHGLD DV PHDVXUHG E\ DFKLHYHPHQW KDYH EHHQ QXPHURXV RYHU WKH SDVW -2 \HDUV RQO\ VWXGLHV ZHUH ORFDWHG LQ WKLV UHYLHZ ZKLFK PHDVXUHG WKH HIIHFWLYHQHVV RI RQH PHWKRG RI WHOHYLVLRQ SUHVHQWDWLRQ YDULDWLRQV LQ SURGXFWLRQ YDOXHVf RYHU DQRWKHU $OO EXW WKUHH RI WKHVH VWXGLHV ZHUH FRQGXFWHG LQ RU EHIRUH L 2I WKH WKUHH VWXGLHV FRQGXFWHG VLQFH L RQH ZDV UHSRUWHG LQ WKH V DQG WZR ZHUH UHSRUWHG LQ WKH V $ VHFRQG IDFWRU OLPLWLQJ UHVHDUFK LQ WKLV DUHD KDV EHHQ WKH SURJUHVV RI WHFKQRORJ\ 0DQ\ RI WKH EHQHILWV DWWULEXWHG WR WHOHYLVLRQ DV D PHGLXP LQFOXGLQJ WKRVH EHQHILWV ZKLFK IRFXV RQ LQVWUXFWLRQDO HIIHFWLYHQHVV ZHUH QRW WHFKQRORJLFDOO\ SRVVLEOH XQWLO WKH ODWH V DQG HDUO\

PAGE 23

2V 7HFKQRORJLFDO EUHDNWKURXJKV PDGH GXULQJ WKLV WLPH LQFOXGHG VSHFLDO HIIHFWV DQG YLGHR WDSH UHFRUGLQJ %URZQ f 7KHVH EUHDNWKURXJKV HQDEOHG WKH H[SHULPHQWHU WR PDQLSXODWH WLPH VFHQHV DQG WUDQVLWLRQV 7KLV UHYLHZ RI OLWHUDWXUH KDV EHHQ GLYLGHG LQWR ILYH VHFWLRQV Df D UHYLHZ RI LQVWUXFWLRQDO GHYHORSPHQW PRGHOV Ef RWKHU UHODWHG UHYLHZV RI OLWHUDWXUH RQ WKH XVH RI LQVWUXFWLRQDO WHOHYLVLRQ WR DVVLVW LQ IRUPLQJ WKH EDVHV IRU WKLV OLWHUDWXUH UHYLHZ Ff D QDUURZLQJ RI WKH IRFXV WR UHVHDUFK VWXGLHV ZKLFK PDGH FRPSDULVRQV RI WHOHYLVLRQ WR RWKHU PHGLD LQ WHUPV RI YLHZHU RU VWXGHQW DFKLHYHPHQW Gf WKH IXUWKHU QDUURZLQJ RI IRFXV WR UHVHDUFK VWXGLHV VXFK DV WKLV RQH ZKLFK VRXJKW WR FRPSDUH YDULDWLRQV LQ WHOHYLVLRQ DQG ILOP SURGXFWLRQ WHFKQLTXHV LQ WHUPV RI YLHZHU RU VWXGHQW DFKLHYHPHQW DQG Hf D VXPPDU\ 7KH VHFWLRQ ZKLFK GLVFXVVHV VRPH RI WKH PRUH VLJQLILFDQW UHYLHZV RI OLWHUDWXUH RQ LQVWUXFWLRQDO WHOHYLVLRQ KDV EHHQ LQFOXGHG EHFDXVH PRVW RI WKHVH UHYLHZV ZHUH FRQGXFWHG WR VXSSRUW RU UHIXWH K\SRWKHVHV RQ WKH UHODWLRQVKLS RI WHOHYLVLRQ SURGXFWLRQ YDOXHV WR OHDUQLQJ 2IWHQ WKHVH UHYLHZV KDYH UHOLHG RQ UHVHDUFK WKDW ZDV WR \HDUV ROG WKXV H[FOXGLQJ UHFHQW GHYHORSPHQWV LQ WHOHYLVLRQ SURGXFWLRQ WHFKQLTXHV 7KH UHYLHZ RI OLWHUDWXUH IRU WKLV VWXG\ FRQVLVWHG RI Df DQ (GXFDWLRQDO 5HVRXUFHV ,QIRUPDWLRQ &HQWHU (5,&f

PAGE 24

6HDUFK FRQGXFWHG RQ -DQXDU\ DQG UHSHDWHG RQ 0D\ r XVLQJ WKH LGHQWLILHUV HGXFDWLRQDO WHOHYLVLRQ LQVWUXFWLRQDO H[SHULPHQWDO DQG HPSLULFDO Ef D SHUVRQDO UHYLHZ RI ELEOLRJUDSKLF OLVWLQJV Ff D UHYLHZ RI DEVWUDFWV Ff D UHYLHZ RI GLVVHUWDWLRQ DEVWUDFWV Gf D UHYLHZ RI VWXGLHV DQG Gf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

PAGE 25

,QVWUXFWLRQDO 'HYHORSPHQW 0RGHOV ,QVWUXFWLRQDO GHYHORSPHQW PRGHOV DERXQG %URZQ /HZLV t +DUFOHURDG 'DYLV $OH[DQGHU t
PAGE 26

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n H[SHULHQFHV DUH YLFDULRXV \HW QR LQVWUXFWLRQDO GHYHORSPHQW PRGHO ZDV IRXQG LQ WKLV DXWKRUnV UHYLHZ WKDW GLVFXVVHG PHWKRGV IRU GHYHORSLQJ WKHVH H[SHULHQFHV LQ YLGHR ,QVLJKW LQWR WKH EDVLF UHTXLUHPHQWV RI D PRGHO IRU WKH GHYHORSPHQW RI D WHOHYLVLRQ SURGXFWLRQ ZHUH JDLQHG E\ H[DPLQLQJ WKH FULWHULD IRU PHGLD VHOHFWLRQ ,I PRYLQJ SLFWXUHV DUH WKH VWLPXOXV FKRLFH WKH PHGLD DYDLODEOH DUH ILOP DQG YLGHRWDSH *DJQH t %ULJJV } 3m f +RZ PDJQLILFDWLRQ PRWLRQ VORZ PRWLRQ DQG WKH RWKHU DWWULEXWHV RI WKH YLGHR FRPSRQHQW FDQ EHVW EH XVHG WR SUHVHQW WKH LQVWUXFWLRQDO PHVVDJH QHHGHG WR EH DGGUHVVHG WKURXJK WKH GHYHORSPHQW RI D WHOHYLVLRQ SURGXFWLRQ PRGHO

PAGE 27

3UHYLRXV 5HYLHZV RI 7HOHYLVLRQ (IIHFWLYHQHVV 5HVHDUFK 2WKHU UHYLHZV RI OLWHUDWXUH KDYH RIWHQ XVHG RXWGDWHG LQVXIILFLHQW VWXGLHV WR VXSSRUW FRQFOXVLRQV DERXW WKH HIIHFWLYH XVH RI LQVWUXFWLRQDO WHOHYLVLRQ &LWLQJ 0HUFHUnV f DQG 0F,QW\UHnV f VWXGLHV 6FKUDPP f} LQ %LJ 0HGLD /LWWOH 0HGLD FRQFOXGHG WKDW WKHUH LV D ORQJ OLQH RI VWXGLHV HPSKDVL]LQJ WKH DGYDQWDJH RI VLPSOLFLW\ DQG FODULW\ LQ PHGLD LQVWUXFWLRQ S Of ,Q &KX DQG 6FKUDPP f WKH DXWKRUV VWDWHG WKHUH LV QR FOHDU HYLGHQFH RQ WKH NLQG RI YDULDWLRQV LQ SURGXFWLRQ WHFKQLTXHV WKDW VLJQLILFDQWO\ FRQWULEXWH WR OHDUQLQJ IURP LQVWUXFWLRQDO WHOHYLVLRQ +RZHYHU VWXGHQWV ZLOO OHDUQ EHWWHU ZKHQ WKH YLVXDOV DUH SUHVHQWHG LQ D FRQWLQXRXV RUGHU DQG FDUHIXOO\ SODQQHG ERWK E\ WKH WHOHYLVLRQ WHDP DQG WKH VWXG\ WHDFKHU S f %DUEDWVLV f FLWLQJ .XPDWDnV L VWXG\ LQ D VWXG\ IRU &KLOGUHQnV 7HOHYLVLRQ :RUNVKRS FRQFOXGHG WKDW WKH PRGH RI SUHVHQWDWLRQ VLJQLILFDQWO\ DIIHFWV OHDUQLQJ S f )LQDOO\ LQ (PSLULFDO 6WXGLHV RI 7HOHYLVLRQ &RPSRVLWLRQ 0HWDOOLQRV f VDLG WKH IDLOXUH WR UHFRJQL]H WKH NH\ GLIIHUHQFHV EHWZHHQ WKH PHGLD RI ILOP DQG WHOHYLVLRQ LV D PDMRU UHDVRQ IRU WKH ODFN RI HPSLULFDO UHVHDUFK LQ WHOHYLVLRQ FRPSRVLWLRQ S f

PAGE 28

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t *UHHQKLOO .XPDWD /HSRUH t :LOVRQ f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f DW 3HQQV\OYDQLD

PAGE 29

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f HTXLSPHQW ZDV DGHTXDWH &DUSHQWHU t *UHHQKLOO f ,Q AL D FRXUVH FDOOHG )RRG 6HUYLFH $FWLYLWLHV LQ WKH 8QLWHG 6WDWHV $UP\ ZDV WHOHFDVW RYHU WHOHYLVLRQ VWDWLRQ .8+7 )RUW\VHYHQ 5HVHUYH 2IILFHU 7UDLQLQJ &RUSV 527&f VWXGHQWV UHFHLYHG WKH LQVWUXFWLRQ YLD WHOHYLVLRQ DQG 527& VWXGHQWV UHFHLYHG IDFHWRIDFH LQVWUXFWLRQ $OOHQ Af IRXQG QR VLJQLILFDQW GLIIHUHQFH EHWZHHQ WKH IDFHWRIDFH DQG WKH WHOHYLVHG LQVWUXFWLRQ 7KH VWXG\ ZDV FRQGXFWHG IRU WKH 4XDUWHUPDVWHU 7UDLQLQJ 6FKRRO DQG SXEOLVKHG LQ .XPDWDnV

PAGE 30

,QYHQWRU\ RI ,QVWUXFWLRQDO 7HOHYLVLRQ 5HVHDUFK LQ DQG LQ 7KH ,PSDFW RI (GXFDWLRQDO 7HOHYLVLRQ .XPDWD Lf $IWHU UHYLHZLQJ VHYHUDO VWXGLHV DW WKH &RQIHUHQFH RQ 7HDFKLQJ LQ &ROOHJHV DQG 8QLYHUVLWLHV f DW 3HQQV\OYDQLD 6WDWH 8QLYHUVLW\ WKH FRQIHUHQFH PHPEHUV FRQFOXGHG WKDW QR VLJQLILFDQW GLIIHUHQFHV RFFXUUHG LQ VWXGLHV WKDW LQYROYHG RYHU VWXGHQWV EHWZHHQ PHWKRGV RI LQVWUXFWLRQ LQ YDULRXV FROOHJH FRXUVHV 7KH HYDOXDWRUV UHYHDOHG KRZHYHU WKDW LPPHGLDWH UHFDOO LQ VRFLDO VFLHQFHV ZDV VLJQLILFDQWO\ EHWWHU LQ VHYHUDO QRQWHOHYLVLRQ JURXSV DV FRPSDUHG WR WHOHYLVLRQ JURXSV DOWKRXJK WKH\ GLG QRW VD\ E\ KRZ PXFK 7KH\ TXHVWLRQHG WKH UHOLDELOLW\ LQ D VWDWHPHQW WKDW VXJJHVWHG WKDW WKH LQVWUXPHQWV PD\ EH LQDGHTXDWH DQG D PRUH SUHFLVH PHDVXUHPHQW LV QHFHVVDU\ &RQIHUHQFH RQ WHDFKLQJ LQ FROOHJHV DQG XQLYHUVLWLHV } S f /HSRUH DQG :LOVRQ f H[SDQGHG FRPSDUDWLYH DQDO\VLV WR LQFOXGH LQVWUXFWLRQDO WHOHYLVLRQ YLHYHG DW KRPH $JDLQ QR VLJQLILFDQW GLIIHUHQFHV ZHUH IRXQG LQ WKH PHDQ DFKLHYHPHQW VFRUHV RI VWXGHQWV ZKR UHFHLYHG WHOHYLVLRQ LQVWUXFWLRQ DW KRPH WHOHYLVLRQ LQVWUXFWLRQ RQ FDPSXV RU FRQYHQWLRQDO RQFDPSXV LQVWUXFWLRQ /HSRUH t :LOVRQ f KDVWHQ DQG 6HLEHUW f IRXQG VLJQLILFDQW GLIIHUHQFHV LQ VWXGHQW DFKLHYHPHQW EHWZHHQ VWXGHQWV UHFHLYLQJ IDFHWRIDFH LQVWUXFWLRQ DQG VWXGHQWV UHFHLYLQJ WHOHYLVHG LQVWUXFWLRQ RQ IRXU RI DFKLHYHPHQW WHVWV 7KH

PAGE 31

VWXG\ FRPSDUHG LQVWUXFWLRQDO WHOHYLVLRQ ,79f VWXGHQWV WR IDFHWRIDFH VWXGHQWV DQG VFRUHV ZHUH IRXQG WR EH VLJQLILFDQWO\ KLJKHU IRU WKH IDFHWRIDFH VWXGHQWV DW ERWK WKH DQG OHYHO %HFDXVH RI WKH VPDOO VDPSOH RQO\ VWXGHQWV LQ WKH H[SHULPHQWDO JURXS WKH YDULDWLRQV EHWZHHQ VWXGHQW VFRUHV PD\ KDYH EHHQ KLJK DQG EHFDXVH RI WKH ODFN RI VWDWLVWLFDO GDWD DERXW WKH WHVW LQVWUXPHQW WKH UHOLDELOLW\ RI WKLV VWXG\ ZDV TXHVWLRQHG .XPDWD Lf FRQGXFWHG RQH RI WKH PRVW RIWHQ FLWHG LQVWUXFWLRQDO WHOHYLVLRQ H[SHULPHQWV ZKLFK ZDV SXEOLVKHG LQ 6FKUDPPnV 7KH ,PSDFW RI (GXFDWLRQDO 7HOHYLVLRQ .XPDWDnV DQDO\VLV 7ZR 6WXGLHV LQ &ODVVURRP 7HDFKLQJ E\ 7HOHYLVLRQ KDG WKUHH PDMRU LQWHQWLRQV Df SUHVHQW D FODVV ZKHUH WKH SUHVHQWDWLRQ ZDV SUHGRPLQDWHO\ YLVXDO WUDLQLQJ DLGVf Ef DVVHVV IHDVLELOLW\ RI WHDFKLQJ DGYHUWLVLQJ E\ WHOHYLVLRQ VROXWLRQ WR ODUJH FODVV HQUROOPHQW SUREOHPVf Ff JLYH H[SHULHQFH WR LQVWUXFWRUV LQ WHDFKLQJ RYHU WHOHYLVLRQ S f 7KUHH VHFWLRQV RI D MXQLRU OHYHO DGYHUWLVLQJ FRXUVH ZHUH DQDO\]HG ,Q WKH ILUVW H[SHULPHQW WKH IDFHWRIDFH JURXS UHFHLYHG VLJQLILFDQWO\ KLJKHU VFRUHV RI DFKLHYHPHQW WKDQ WKH WHOHYLVLRQ JURXS ,Q YLHZ RI WKH VLJQLILFDQW GLIIHUHQFHV IDYRULQJ WKH IDFHWRIDFH JURXS LQ H[SHULPHQW RQH WKH H[SHULPHQW ZDV UHSHDWHG XVLQJ WKH VDPH WHOHYLVHG PDWHULDOV DQG LQVWUXFWRU :KHQ WKH H[SHULPHQW ZDV UHSHDWHG QR VLJQLILFDQW GLIIHUHQFHV ZHUH IRXQG LQ

PAGE 32

DFKLHYHPHQW EHWZHHQ WKH WZR JURXSV 7KH IUHTXHQW FLWLQJ RI WKHVH H[SHULPHQWV PD\ EH GXH LQ SDUW WR WKHVH FRQWUDGLFWRU\ ILQGLQJV 7KHVH FRQWUDGLFWRU\ ILQGLQJV VXJJHVWHG WKDW IXUWKHU VWXG\ ZDV QHHGHG ,Q DQ H[SHULPHQW FRQGXFWHG E\ 'DQLHOVHQ DQG 6WDXIIHU f D FRPSDULVRQ ZDV PDGH RI VWXGHQW SHUIRUPDQFH RQ D QDWLRQDOO\ QRUPHG WHVW RI WKRVH VWXGHQWV ZKR UHFHLYHG LQVWUXFWLRQ YLD WHOHYLVLRQ ZLWK WKRVH VWXGHQWV ZKR UHFHLYHG LQVWUXFWLRQ LQ D OHFWXUH VHFWLRQ RI 3ULQFLSOHV RI (FRQRPLFV 7KUHH KXQGUHG DQG ILYH WHOHYLVLRQ VWXGHQWV DQG O OHFWXUH VWXGHQWV ZHUH GLYLGHG DV IROORZV Df WKUHH WHOHYLVLRQ VHFWLRQV XVHG D VWDQGDUG WH[WERRN Ef ILYH WHOHYLVLRQ VHFWLRQV XVHG D VWDQGDUG WH[WERRN SOXV D SURJUDPPHG LQVWUXFWLRQ ERRN DQG Ff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t 6WDXIIHU S f $OWKRXJK

PAGE 33

QRW XQLTXH WR WKLV VWXG\ VWXGHQWV LQ WKH WHOHYLVLRQ VHFWLRQV GLG VXIIHU IURP VHYHUDO GHILFLHQFLHV Df WHOHYLVLRQ VWXGHQWV FRXOG QRW DVN TXHVWLRQV Ef WHOHYLVLRQ WHDFKLQJ DVVLVWDQWV ZHUH LQDGHTXDWHO\ SUHSDUHG DQG Ff WHOHYLVLRQ FRXUVH REMHFWLYHV WDXJKW D IHZ FRQFHSWV WKRURXJKO\ EXW WKH LQFOXVLRQ RI LQGLIIHUHQFH FXUYH DQG LVRTXDQW DQDO\VLV SUREDEO\ GLVWUDFWHG IURP VWXGHQW DFKLHYHPHQW RQ WKH VWDQGDUGL]HG WHVW 'DQLHOVHQ t 6WDXIIHU SS f 2WKHU VWXGLHV VLQFH 'DQLHOVHQ DQG 6WDXIIHU f KDYH UHSRUWHG FRQIOLFWLQJ UHVXOWV XQGHU YDULRXV FRQGLWLRQV )RU H[DPSOH :DHFKWHU f LQYHVWLJDWHG WKH WHDFKLQJ RI FRPPXQLW\ FROOHJH KHDOWK HGXFDWLRQ LQ WKH FODVVURRP YHUVXV LQVWUXFWLRQ E\ EURDGFDVW WHOHYLVLRQ 7KH FODVVURRP VWXGHQWV LQ WKLV H[SHULPHQW SHUIRUPHG VLJQLILFDQWO\ EHWWHU RQ PHDVXUHV RI DFKLHYHPHQW WKDQ WKH DW KRPH WHOHYLVLRQ VWXGHQWV %XW 7LHQ f FRPSDUHG WKH HIIHFWLYHQHVV RI D WHOHWXWRULDO PHWKRG RI LQVWUXFWLRQ ZLWK D FRQYHQWLRQDO OHFWXUH PHWKRG DQG IRXQG QR VLJQLILFDQW GLIIHUHQFH LQ DFKLHYHPHQW EHWZHHQ WKH WHOHWXWRULDO JURXS DQG WKH OHFWXUH JURXS )XUWKHU +HJDU f FRPSDUHG DQ RQ FDPSXV ,QWURGXFWLRQ WR %XVLQHVV FODVV ZLWK DQ RSHQ FLUFXLW WHOHFRXUVH ,QWURGXFWLRQ WR %XVLQHVV FODVV 7KH WHOHFRXUVH ZDV RIIHUHG LQ IRXU FRPPXQLW\ FROOHJHV LQ D PXOWLFDPSXV GLVWULFW 7KH UHVXOWV LQGLFDWHG WKDW WKH PHDQ DFKLHYHPHQW

PAGE 34

VFRUHV IRU WKH RSHQ FLUFXLW WHOHYLVLRQ JURXS ZHUH VLJQLILFDQWO\ KLJKHU WKDQ IRU WKH RWKHU JURXSV )LQDOO\ LQ $ &DVH 6WXG\ LQ WKH 8VH RI DQ ,QVWUXFWLRQDO 'HYHORSPHQW 0RGHO WR 3URGXFH DQG (YDOXDWH DQ ,QVWUXFWLRQDO 7HOHYLVLRQ 3URJUDP 3DUHU f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

PAGE 35

LQVWUXFWLRQDO HIIHFWLYHQHVV ZHUH LQFOXGHG WR SURYLGH D UHYLHZ RI VHYHUDO SURGXFWLRQ WHFKQLTXHV XVHG LQ WKH FXUUHQW VWXG\ 7KHVH WHFKQLTXHV ZHUH FRPSDWLEOH ZLWK ERWK ILOP DQG WHOHYLVLRQ FDSDELOLWLHV DQG ZHUH XVHIXO IRU LGHQWLI\LQJ WKH HOHPHQWV WKDW KDYH EHHQ FRPELQHG IRU WKLV VWXG\ ,Q }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f EHJDQ D VHULHV RI ILOP H[SHULPHQWV DW 3HQQV\OYDQLD 6WDWH 8QLYHUVLW\ PHDVXULQJ ILOP HIIHFWLYHQHVV RQ DFKLHYHPHQW 1HX f WHVWHG WKH HIIHFWV RI YLVXDOO\ UHOHYDQW DQG YLVXDOO\ LUUHOHYDQW DWWHQWLRQJDLQLQJ GHYLFHV RQ OHDUQLQJ DPRQJ $UP\ DQG 1DY\ UHFUXLWV 1HX f FRQFOXGHG WKDW DWWHQWLRQJDLQLQJ GHYLFHV ZKLFK SURYLGH QR DGGLWLRQDO LQIRUPDWLRQ GR QRW LQFUHDVH OHDUQLQJ $OWKRXJK WKH UHSRUWLQJ RI VWDWLVWLFDO LQIRUPDWLRQ ZDV OLPLWHG LQ WKLV

PAGE 36

UHSRUW WKH FRQFOXVLRQ VXSSRUWHG WKH FRQWHQWLRQ WKDW WHOHYLVLRQ SURGXFWLRQ WHFKQLTXHV QHHG WR EH UHODWHG WR WKH FRQWHQW RI WKH SUHVHQWDWLRQ WR KDYH DQ HIIHFW RQ DFKLHYHPHQW $ \HDU ODWHU 0HUFHU f VXSSRUWHG 1HXnV ILQGLQJ LQ D VWXG\ IRU WKH 8QLWHG 6WDWHV 1DYDO 6SHFLDO 6HUYLFHV &HQWHU 0HUFHU f WHVWHG WKH HIIHFW RQ DFKLHYHPHQW RI RSWLFDO HIIHFWV GLVVROYHV ZLSHV DQG ]RRPV WKDW KDG EHHQ LQVHUWHG EHWZHHQ VFHQHV LQ D ILOP SURGXFWLRQ 8VLQJ DQ DQDO\VLV RI FRYDULDQFH DQG D VDPSOH VL]H RI UHFUXLWV 0HUFHU f IRXQG QR VLJQLILFDQW GLIIHUHQFHV LQ UHFUXLW DFKLHYHPHQW 1R IXUWKHU LQIRUPDWLRQ DERXW WKLV VWXG\ KDV EHHQ ORFDWHG ,Q D GRFWRUDO GLVVHUWDWLRQ DW WKH 8QLYHUVLW\ RI 1HEUDVND 9HVWDO f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f VWXG\

PAGE 37

,Q } WKH HYDOXDWLRQ RI WUDLQLQJ ILOPV IRU WKH 8QLWHG 6WDWHV PLOLWDU\ FRQWLQXHG ZLWK D PRVW EL]DUUH VWXG\ 9DQGHUPHHU f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} 9DQGHUPHHU WHVWHG DQRWKHU SURGXFWLRQ WHFKQLTXH LQ ILOP WKDW UHIOHFWHG WKH WHFKQLFDO DFKLHYHPHQWV RI WHOHYLVLRQ GXULQJ WKDW WLPH 9DQGHUPHHU Af VWXGLHG WKH HIIHFW RQ DFKLHYHPHQW RI XVLQJ FRORU ILOPV LQVWHDG RI EODFNDQGZKLWH ILOPV %RWK ILOPV KDG WKH VDPH FRQWHQW $ PXOWLSOHUHJUHVVLRQ DQDO\VLV ZDV XVHG WR LVRODWH VLJQLILFDQW GLIIHUHQFHV 9HUEDO DQG QRQYHUEDO WHVWV ZHUH XVHG WR PHDVXUH DFKLHYHPHQW ERWK IRU LPPHGLDWH DQG GHOD\HG UHFDOO

PAGE 38

%RWK FRORU DQG EODFNDQGZKLWH ILOPV SURGXFHG OHDUQLQJ 1R VLJQLILFDQWO\ JUHDWHU DFKLHYHPHQW RQ WKH LPPHGLDWH UHFDOO WHVWV ZDV GHPRQVWUDWHG E\ WKH FRORU ILOPV EXW UHFDOO VFRUHV DW WKH HQG RI VL[ ZHHNV ZHUH VLJQLILFDQWO\ KLJKHU IRU WKUHH RI WKH ILYH FRORU ILOP JURXSV 5HJDUGOHVV RI VLJQLILFDQW GLIIHUHQFHV UHSRUWHG LQ WKH GHOD\HG UHVXOWV 9DQGHUPHHU Af FRQFOXGHG WKDW WKH XVH RI FRORU ILOP GLG QRW VHHP WR EH MXVWLILHG LQ WHUPV RI JUHDWHU DFKLHYHPHQW 0RUHRYHU 9DQGHUPHHUnV Af WHVW UHVXOWV ODFN DSSOLFDELOLW\ ZKHQ FRPSDUHG WR FXUUHQW VWDWHRIWKHDUW WHOHYLVLRQ 7ZR RWKHU SURGXFWLRQ WHFKQLTXHV ZKLFK SURYHG PRUH XVHIXO ZHUH HYDOXDWHG E\ 0F,QW\UH Af IRU WKH 8QLWHG 6WDWHV 1DYDO 6SHFLDO 'HYLFHV &HQWHU 7KH SXUSRVH RI WKLV VWXG\ ZDV WR PHDVXUH WKH HIIHFW RQ DFKLHYHPHQW RI KXPRURXV HOHPHQWV DQG VXEWLWOHV LQ D WUDLQLQJ ILOP RQ WKH XVH RI FROG ZHDWKHU XQLIRUPV ,Q WKH VWXG\ WZR WUHDWPHQWV ZHUH SUHSDUHG ,Q RQH SURGXFWLRQ KXPRU ZDV XVHG DQG LQ WKH RWKHU VXEWLWOHV ZHUH XVHG $FKLHYHPHQW UHVXOWV ZHUH FRPSDUHG WR D FRQWURO JURXS ,Q WKH ILOP SUHVHQWDWLRQ WKDW WKH FRQWURO JURXSV VDZ EODQN OHDGHU EODQN ILOPf ZDV LQVHUWHG LQ WKH SURGXFWLRQ ZKHUH WKH KXPRU DQG VXEWLWOHV RFFXUUHG 6L[ H[SHULPHQWDO JURXSV ZHUH FKRVHQ DW UDQGRP IURP WUDLQHHV 7KH UHSRUWHG UHVXOWV LQGLFDWHG WKDW VLJQLILFDQWO\ PRUH OHDUQLQJ RFFXUUHG IURP WKH ILOP ZLWK WLWOHV UDWKHU WKDQ IURP WKH ILOP ZLWK D KXPRURXV DSSURDFK RU

PAGE 39

IURP WKH ILOP ZKLFK KDG QHLWKHU WKH KXPRURXV DSSURDFK QRU WKH WLWOHV 7KHVH ZHUH WKH VWXGLHV RI WKH HDUO\ V 7KHVH VWXGLHV ZHUH LQWHUHVWLQJ EXW RQO\ PDUJLQDOO\ XVHIXO LQ WKH GHYHORSPHQW RI WKH SUHVHQW H[SHULPHQW 7KH PHGLXP WHVWHG LQ WKH VWXGLHV FRQGXFWHG XS WR WKLV SRLQW ZDV ILOP EXW WKH YDULDEOHV ZLWKRXW UHJDUG WR YDOLGLW\ DUH UHOHYDQW WR WKH PHGLXP RI WHOHYLVLRQ WRGD\ ,Q WKH VWXGLHV WKDW IROORZ DGGLWLRQDO YDULDEOHV ZHUH LGHQWLILHG DQG ZHUH WHVWHG VSHFLILFDOO\ ZLWK WHOHYLVLRQ ,Q }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

PAGE 40

DV WKH VROH YLVXDO FRPSRQHQW 7KH ILUVW H[SHULPHQW ZDV FRQGXFWHG ZLWK DLU VFLHQFH VWXGHQWV DQG WKH VHFRQG ZDV FRQGXFWHG ZLWK SV\FKRORJ\ VWXGHQWV %RWK H[SHULPHQWV ZHUH DQDO\]HG XVLQJ DQDO\VLV RI YDULDQFH SURFHGXUHV ,Q WKH DLU VFLHQFH H[SHULPHQW VLJQLILFDQWO\ KLJKHU VFRUHV SUHYDLOHG LQ WKH OHFWXUHFKDONERDUG JURXS ,Q WKH SV\FKRORJ\ H[SHULPHQW QR VLJQLILFDQW GLIIHUHQFHV LQ DFKLHYHPHQW ZHUH IRXQG 6HYHUDO FRQFOXVLRQV ZHUH SUHVHQWHG E\ WKH DXWKRUV DQG LQFOXGHG Df VWXGHQWV QHHG WR OHDUQ KRZ WR OHDUQ IURP YLVXDOV Ef YLVXDO PHGLD QHHG YLVXDO WHVWV Ff WKH PHWKRG RI SUHVHQWDWLRQ LV XQLPSRUWDQW &DUSHQWHU t *UHHQKLOO f ,Q FULWLFL]LQJ WKH SUHVHQWDWLRQ WKH DXWKRUV VWDWHG LW LV SRVVLEOH WKDW PXFK PRUH UDGLFDO FKDQJHV LQ FRXUVH SUHVHQWDWLRQV ZLOO KDYH WR EH GHYLVHG EHIRUH GLIIHUHQFHV ZLOO HPHUJH ZKHQ FRPSDULVRQV DUH PDGH ZLWK WUDGLWLRQDO PHWKRGV S f .D]HP Lf HYDOXDWHG WKH HIIHFW RI DGGLQJ ILOPV WR D OHFWXUH SUHVHQWDWLRQ LQ D 'HWURLW KLJK VFKRRO ELRORJ\ FODVV 8VLQJ VHYHUDO WWHVWV .D]HP IRXQG WKDW VWXGHQWV LQ WKUHH H[SHULPHQWDO JURXSV KDG VLJQLILFDQWO\ KLJKHU SRVWWHVW VFRUHV WKDQ VWXGHQWV LQ WKH FRQWURO JURXS +H DOVR IRXQG WKDW VWXGHQWV YLHZLQJ DQ LQIRUPDWLRQDOH[SRVLWRU\ ILOP KDG VLJQLILFDQWO\ KLJKHU VFRUHV RQ WKH SRVWWHVW GHVLJQHG WR WHVW NQRZOHGJH RI VFLHQWLILF PHWKRGV WKDQ VWXGHQWV YLHZLQJ WKH KLVWRULFDOGUDPDWLF ILOPV +RZHYHU WKH

PAGE 41

LQIRUPDWLRQH[SRVLWRU\ JURXS KDG QR KLJKHU VFRUHV WKDQ VWXGHQWV LQ WKH FRPELQDWLRQ LQIRUPDWLRQH[SRVLWRU\ DQG KLVWRULFDOGUDPDWLF WUHDWPHQW 7KHUH ZHUH QR VLJQLILFDQW GLIIHUHQFHV DPRQJ RYHUDOO SRVWWHVW VFRUHV RI VWXGHQWV LQ DQ\ RI WKH WKUHH H[SHULPHQWDO JURXSV )LQDOO\ 5RFN f FRQGXFWHG D WHVW GHVLJQHG WR PHDVXUH OHDUQLQJ DQG UHWHQWLRQ IURP D WHOHYLVLRQ SUHVHQWDWLRQ ,Q WKLV FDVH WKH YDOXH RI LQVWUXFWLRQ E\ WHOHYLVLRQ ZDV PHDVXUHG DJDLQVW D ZULWWHQ SUHVHQWDWLRQ 7KDW LV WKH VRFDOOHG FRQWURO JURXS ZDV JLYHQ WKH PDWHULDO WR UHDG EXW UHFHLYHG QR H[SRVLWRU\ SUHVHQWDWLRQ 7KUHH WKRXVDQG UHVHUYLVWV WRRN SDUW LQ WKH H[SHULPHQW 5RFN f FRQFOXGHG WKDW WKH PHWKRGV ZHUH HTXDOO\ HIIHFWLYH %HIRUH WKH H[SHULPHQW DOO SDUWLFLSDQWV ZHUH DOORZHG WR VHH WKH TXHVWLRQQDLUH XVHG IRU WKH HYDOXDWLRQ WKHUHIRUH WKH H[SHULPHQW LQWURGXFHG DQRWKHU YDULDEOH /DFN RI UHSRUWHG VWDWLVWLFDO GHWDLOV LQGLFDWHG WKDW WKH VWXG\ PD\ KDYH EHHQ XQFRQWUROOHG DQG SRRUO\ GHVLJQHG ,Q DGGLWLRQ WKH VWXG\ GLG QRW GLVFXVV WKH FRPSDULVRQ RI WHOHYLVLRQ HIIHFWLYHQHVV ZLWK WKH HIIHFWLYHQHVV RI RWKHU PHGLD %DUULQJWRQ f FRQGXFWHG D VWXG\ RI JUHDWHU VSHFLILFLW\ 7KH VWXG\ FRPSDUHG WZR YHUVLRQV RI D SUHUHFRUGHG SURJUDP UHDOLVWLF SUHVHQWDWLRQ YHUVXV SUHFRPSUHVVLRQ RI LQIRUPDWLRQ 7KHVH YHUVLRQV SUHVHQWHG RQH SURJUDP ZKLFK DSSUR[LPDWHG UHDOLW\ E\ VKRZLQJ SLFWXUHV DQG

PAGE 42

GHPRQVWUDWLRQV ZKLOH WKH RWKHU XVHG GLDJUDPV DQG FKDUWV WR SUHVHQW WKH FRQFHSWV 7KH VWXG\ LQYROYHG D VDPSOH RI FROOHJH RI HGXFDWLRQ VWXGHQWV 6LJQLILFDQFH ZDV IRXQG ZLWK UHJDUG WR WZR K\SRWKHVHV Df D VFLHQWLILF ODERUDWRU\ VHWWLQJ ZDV OHVV HIIHFWLYH WKDQ JUD\ FXUWDLQV DV D EDFNJURXQG DQG Ef FLQH ILOPV ZLWK FRPPHQWDU\ ZHUH OHVV HIIHFWLYH WKDQ DQLPDWHG GLDJUDPV )URP WKHVH UHVXOWV %DUULQJWRQ f FRQFOXGHG WKDW VLPSOH VHWV ZLOO EH PRUH HIIHFWLYH WKDQ VRSKLVWLFDWHG VHWV DQG GLDJUDPV DQG PRGHOV ZLOO EH PRUH HIIHFWLYH WKDQ SKRWRJUDSKV DQG ILOPV S f 7KHVH FRQFOXVLRQV PD\ QRW EH DQ DFFXUDWH DQDO\VLV RI WKH UHVXOWV EXW %DUULQJWRQ JRHV RQ WR VD\ WKDW IXUWKHU UHVHDUFK DLPHG DW LPSURYLQJ LQVWUXFWLRQDO WHOHYLVLRQ SURJUDPV VKRXOG EH XQGHUWDNHQ DQGf PRUH LQIRUPDWLRQ LV QHHGHG DERXW WKH HIIHFWLYHQHVV RI SUHVHQWDWLRQ S f ,Q DQ XQSXEOLVKHG GLVVHUWDWLRQ DW $XEXUQ 8QLYHUVLW\ 'DYLV f VRXJKW WR PHDVXUH UHWHQWLRQ DV UHODWHG WR DURXVDO LQ ILOP DQG WHOHYLVLRQ ,I DURXVDO ZRXOG KDYH FUHDWHG D VWDWH RI DWWHQWLRQ LQ WKH OHDUQHU WKHQ D YDOXDEOH VWXG\ PLJKW KDYH EHHQ XQGHUWDNHQ WR PHDVXUH WKH HIIHFWV RI WKH PHWKRGV RI JDLQLQJ DURXVDO +RZHYHU LQ WKLV VWXG\ WKH DURXVDO VWLPXOXV ZDV XQUHODWHG WR WKH VXEMHFW WR EH OHDUQHG $Q DFWLRQ VHJPHQW IURP WKH FRPPHUFLDO WHOHYLVLRQ SURJUDP %DWWOH 6WDU *DO£FWLFD ZDV LQVHUWHG LQ D ILOP RQ KRXVH

PAGE 43

FRQVWUXFWLRQ $ PXOWLIDFWRU DQDO\VLV RI YDULDQFH ZDV XVHG WR GHWHUPLQH WKH PDLQ DQG LQWHUDFWLRQ HIIHFWV RI KLJKDQGORZDURXVDO ILOPV DV PHDVXUHG E\ D QLQHWHHQ TXHVWLRQ YLVXDO DQG YHUEDO WHVW JLYHQ LPPHGLDWHO\ DIWHU YLHZLQJ DQG DJDLQ RQH ZHHN ODWHU $FFRUGLQJ WR 'DYLV f} VLJQLILFDQW GLIIHUHQFHV ZHUH IRXQG FRQVLVWHQW ZLWK WKRVH IRXQG LQ SUHYLRXV VWXGLHV RQ DURXVDO 7KH HIIHFW RI WKH LQWHUDFWLRQ RI WKH WLPH LQWHUYDO RI WKH DURXVDO VWLPXOXV RQ UHWHQWLRQ ZDV VLJQLILFDQW DW WKH OHYHO KRZHYHU WKH DURXVDO UHWHQWLRQ SKHQRPHQRQ ZDV QRW FOHDUO\ GHPRQVWUDWHG EHFDXVH WKH XVH RI DURXVDO WHFKQLTXHV GLG QRW VLJQLILFDQWO\ LQFUHDVH ORQJWHUP UHWHQWLRQ 'DYLV fr 7KH IDFW WKDW WKH DURXVDO FOLSV ZHUH XQUHODWHG WR WKH VXEMHFW RI LQVWUXFWLRQ PD\ KDYH FRQWULEXWHG WR WKH LQVLJQLILFDQW UHVXOWV $ VWXG\ FRQGXFWHG LQ E\ 0RUULV f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

PAGE 44

RI WKH YLGHRWDSH GHDOLQJ ZLWK WKH UHOHYHQFH RI WKH FRQWHQW PDWWHU 7KH LQVWUXFWRU ZDV YLVLEOH EXW OHVV RIWHQ LQ WKLV YHUVLRQ 0RUULV f %RWK WDSH SUHVHQWDWLRQV ZHUH VKRZQ WR WZR JURXSV RI VWXGHQWV HQUROOHG LQ DQ HFRQRPLFV FODVV DW WKH 8QLYHUVLW\ RI )ORULGD LQ WKH 6SULQJ WHUP )ROORZLQJ WKH YLHZLQJ VWXGHQW DFKLHYHPHQW ZDV PHDVXUHG DQG WKHQ FRPSDUHG 1 ff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f 7KH UHVXOWV RI WKLV VWXG\ LQGLFDWHG WKDW RQO\ PRGLI\LQJ WKH VWDQGDUG WDONLQJ KHDG OHFWXUHFKDONERDUG SUHVHQWDWLRQ E\ DGGLQJ SUHSURGXFHG JUDSKLFV DQG SRSLQ DQLPDWLRQ GLG QRW QHFHVVDULO\ LPSURYH DFKLHYHPHQW +RZHYHU UHSODFLQJ WKH OHFWXUH VHTXHQFH ZKLFK GHDOW ZLWK WKH UHOHYDQFH RI D WRSLF ZLWK SUHSURGXFHG VHJPHQWV ZKLFK LQFRUSRUDWHG KLJK SURGXFWLRQ YDOXHV RQORFDWLRQ YLJQHWWHV

PAGE 45

GHn IUHH]H IUDPHV DQG DQLPDWHG PRYLQJ JUDSKLFV GLG LPSURYH DFKLHYHPHQW 0RUULV f 7KH UHVXOWV RI WKH 0RUULV f VWXG\ ZHUH EDVHG RQ D VLQJOH H[HFXWLRQ VR IXUWKHU VWXG\ ZDV UHFRPPHQGHG 7KLV VWXG\ LQFOXGHG D RQH LWHP SUHIHUHQFH VXUYH\ ZKLFK LQGLFDWHG WKDW RI WKRVH ZKR VDZ WKH PRGLILHG WDSH b SUHIHUUHG LW WR WKH XVXDO WDONLQJKHDG YLGHRWDSH (LJKWHHQ SHU FHQW KRZHYHU GLG QRW SUHIHU WKH PRGLILHG WDSH 0RUULV f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

PAGE 46

,QVWUXFWLRQDO GHYHORSPHQW PRGHOV SURYLGHG VRPH GLUHFWLRQ IRU JHQHUDO PHGLD DSSOLFDWLRQ EXW QR PRGHO ZDV IRXQG WKDW DGGUHVVHG WHOHYLVLRQ SURGXFWLRQ GLUHFWO\ +RZ PRWLRQ VORZ PRWLRQ PDJQLILFDWLRQ DQG WKH RWKHU DWWULEXWHV RI WKH YLGHR FRPSRQHQW FDQ EHVW EH XVHG WR SUHVHQW WKH LQVWUXFWLRQDO PHVVDJH QHHGV WR EH DGGUHVVHG WKURXJK WKH GHYHORSPHQW RI D WHOHYLVLRQ SURGXFWLRQ PRGHO 2I WKH VWXGLHV UHYLHZHG ZKLFK FRPSDUHG WHOHYLVLRQ LQVWUXFWLRQ WR RWKHU IRUPV RI LQVWUXFWLRQDO SUHVHQWDWLRQV VL[ UHYHDOHG QR VLJQLILFDQW GLIIHUHQFHV DQG VL[ UHYHDOHG GLIIHUHQFHV LQ DFKLHYHPHQW )RXU VWXGLHV IDYRUHG IDFHWRIDFH LQVWUXFWLRQ DQG WZR IDYRUHG WHOHYLVLRQ LQVWUXFWLRQf 7KH WZR VWXGLHV IDYRULQJ WHOHYLVLRQ LQVWUXFWLRQ ZHUH PRUH UHFHQW f WKDQ DQ\ RI WKRVH IDYRULQJ IDFHWRIDFH LQVWUXFWLRQ $OO EXW IRXU RI WKH VWXGLHV GHVLJQHG WR PHDVXUH WKH HIIHFW RI WHOHYLVLRQ SURGXFWLRQ WHFKQLTXHV RQ DFKLHYHPHQW ZHUH FRQGXFWHG EHIRUH L 2QH RI WKH VWXGLHV GHVLJQHG WR PHDVXUH WKH HIIHFW RI WHOHYLVLRQ SURGXFWLRQ WHFKQLTXHV RQ DFKLHYHPHQW .XPDWD Lf UHYHDOHG FRQIOLFWLQJ UHVXOWV ZKHQ UHSHDWHG 7KH ILUVW H[SHULPHQW IDYRUHG WKH FKDONERDUG LQVWUXFWLRQ DQG WKH UHSHDWHG H[SHULPHQW UHVXOWHG LQ QR VLJQLILFDQW

PAGE 47

GLIIHUHQFHV EHWZHHQ WKH FKDONERDUG DQG DQLPDWHG FKDUDFWHUV 2I WKH WKUHH SURGXFWLRQ YDOXHV VWXGLHV FRQGXFWHG VLQFH L WZR H[SHULPHQWV 5RFN f DQG 'DYLV f} PD\ KDYH PHDVXUHG XQUHODWHG YDULDEOHV 5RFN FRPSDUHG WHOHYLVLRQ LQVWUXFWLRQ ZLWK QR LQVWUXFWLRQ DQG GLG QRW FRPSDUH WHOHYLVLRQ WR RWKHU PHGLD ZKLOH 'DYLV f} LQ PHDVXULQJ UHWHQWLRQ UHODWHG WR DURXVDO XVHG DURXVDO FOLSV XQUHODWHG WR WKH VXEMHFW RI LQVWUXFWLRQ ,Q WKH 'DQLHOVHQ DQG 6WDXIIHU f VWXG\ DQG WKH :DHFKWHU f VWXG\ IDFHWRIDFH LQVWUXFWLRQ ZDV IDYRUHG EXW PDQ\ IDFWRUV RXWVLGH WKH H[SHULPHQWV FRXOG KDYH LQIOXHQFHG WKH UHVXOWV 'DQLHOVHQ DQG 6WDXIIHU f UHSRUWHG VHYHUDO GHILFLHQFLHV LQFOXGLQJ LQDGHTXDWHO\ SUHSDUHG WHOHYLVLRQ DVVLVWDQWV ,Q WKH :DHFKWHU f VWXG\ EURDGFDVW WHOHYLVLRQ ZDV XVHG DV D PHWKRG RI GHOLYHU\ 7KLV VLWXDWLRQ LQWURGXFHG XQFRQWUROOHG YDULDEOHV LQFOXGLQJ Df DW KRPH YLHZLQJ Ef OLPLWHG LQWHUVWXGHQW FRQWDFW DQG Ff UHFHSWLRQ GLIILFXOWLHV 7KH H[SHULPHQWDO UHVXOWV IRXQG LQ WKH 0RUULV f VWXG\ DUH EDVHG RQ RQH H[HFXWLRQ DQG WKHUHIRUH WKH H[SHULPHQW QHHGHG WR EH UHSHDWHG 0RUHRYHU DQ DWWHPSW WR LGHQWLI\ DQG HOLPLQDWH VRPH RI WKH SURGXFWLRQ

PAGE 48

HOHPHQWV ZKLFK VWXGHQWV IRXQG XQQHFHVVDU\ RU GLVWUDFWLQJ ZRXOG EH KHOSIXO 7KH WUHQG LQ FRPSDUDWLYH VWXGLHV DV PHDVXUHG E\ DFKLHYHPHQW KDV EHHQ WR UHYHDO QR VLJQLILFDQW GLIIHUHQFHV EHWZHHQ WHOHYLVLRQ DQG RWKHU PHWKRGV RI SUHVHQWDWLRQ 7KH HIIHFWLYHQHVV VWXGLHV IRU WHOHYLVLRQ KDYH EHHQ WRR IHZ DQG PRVW ZHUH FRQGXFWHG ZKHQ WKH PHGLXP ZDV OHVV WHFKQLFDOO\ VRSKLVWLFDWHG $V D UHVXOW OLWWOH VLJQLILFDQFH ZDV DFKLHYHG LQ VWXGLHV PHDVXULQJ OHDUQLQJ IURP WHOHYLVLRQ %DUULQJWRQ f LQ ZKDW PLJKW EH WKH PRVW FRPSUHKHQVLYH WHOHYLVLRQ HIIHFWLYHQHVV VWXG\ HYHU FRQGXFWHG FRQFOXGHG WKDW IXUWKHU UHVHDUFK DLPHG DW LPSURYLQJ LQVWUXFWLRQDO WHOHYLVLRQ VKRXOG EH XQGHUWDNHQ S f 7KLV VWXG\ DWWHPSWHG WR IROORZ XS RQ WKDW UHFRPPHQGDWLRQ DQG RQ WKH ILQGLQJV LQ WKH 0RUULV f VWXG\ E\ GHYHORSLQJ DQG WHVWLQJ WKH HIIHFWLYHQHVV RI D FRPSOHWHG SURGXFHUnV PRGHO 7KUHH GLIIHUHQW HYDOXDWLRQ VWUDWHJLHV ZHUH FRPELQHG LQ WKLV UHVHDUFK WR GHWHUPLQH WKH HIIHFWLYHQHVV RI WKH QHZ PRGHO DQG WR VXJJHVW PHWKRGV IRU FRQWLQXDOO\ LPSURYLQJ WHOHYLVHG LQVWUXFWLRQ DW WKH FROOHJH OHYHO

PAGE 49

&+$37(5 0(7+2'2/2*< *HQHUDO 5HVHDUFK 'HVLJQ 7KH SXUSRVH RI WKLV VWXG\ ZDV WR DQDO\]H DQG FRPSDUH WKH HIIHFWV RI D VHJPHQW RI WHOHYLVHG LQVWUXFWLRQ WKDW DGKHUHG WR HOHPHQWV RI D SURGXFHUnV PRGHO ZLWK D FDPHUD RI UHFRUG QRQPRGHOGHYHORSHGf VHJPHQW RI WHOHYLVHG LQVWUXFWLRQ LQ D FROOHJH FRXUVH %RWK TXDQWLWDWLYH DQG TXDOLWDWLYH PHWKRGV RI HYDOXDWLRQ ZHUH XVHG WR FRQGXFW WKH DQDO\VHV DQG WR PDNH WKH FRPSDULVRQV )LUVW D TXDOLWDWLYH DQDO\VLV RI D SURGXFHUnV PRGHO IRU GHVLJQLQJ WHOHYLVHG LQVWUXFWLRQ ZDV FRQGXFWHG XVLQJ D VXUYH\ TXHVWLRQQDLUH $ GHVFULSWLRQ RI D SURGXFHUnV PRGHO WRJHWKHU ZLWK D TXHVWLRQQDLUH ZDV VHQW WR D VHOHFW JURXS RI WHOHFRXUVH SURGXFHUV 7KHVH SURGXFHUV ZHUH DVNHG WR DQDO\]H WKH PRGHO E\ DGGUHVVLQJ LWV SHUFHLYHG XVHIXOQHVV LQ GHYHORSLQJ WHOHFRXUVHV DQG IRU WUDLQLQJ WHOHFRXUVH SURGXFHUV 6HFRQG D TXDOLWDWLYH IRFXV JURXS HYDOXDWLRQ ZDV XVHG WR DQDO\]H DQG FRPSDUH WHOHYLVHG LQVWUXFWLRQ WKDW DGKHUHG WR HOHPHQWV RI D SURGXFHUnV PRGHO ZLWK D FDPHUD RI UHFRUG QRQPRGHOGHYHORSHGf YLGHRWDSH 7ZR JURXSV RI UHVSRQGHQWV ZHUH DVNHG WR ZDWFK WKH FRQWURO DQG WUHDWPHQW YLGHRWDSHV IURP WKH 0RUULV H[SHULPHQW 0RUULV f DQG WR QRWH VSHFLILF LQVWUXFWLRQDO WHFKQLTXHV WKDW WKH\ SHUFHLYHG WR EH HIIHFWLYH RU LQHIIHFWLYH

PAGE 50

7KLUG D H[SHULPHQWDO GHVLJQ ZDV XVHG WR DQDO\]H DQG FRPSDUH WHVW VFRUHV RI HFRQRPLFV VWXGHQWV ZKR YLHZHG WKUHH GLIIHUHQW YHUVLRQV RI WHOHYLVHG LQVWUXFWLRQ 2QH FROOHJH HFRQRPLFV FODVV VHFWLRQ ZDV VKRZQ D FDPHUD RI UHFRUG QRQPRGHOGHYHORSHGf SUHVHQWDWLRQ DQG VHUYHG DV WKH FRQWURO JURXS 7KLV WDSH ZDV PLQXWHV ORQJ $QRWKHU VHFWLRQ ZDV VKRZQ WHOHYLVHG LQVWUXFWLRQ WKDW DGKHUHG WR HOHPHQWV RI D SURGXFHUnV PRGHO D PRGLILHG YHUVLRQ RI WKH 0RUULV f WUHDWPHQW WDSH 7KH RQO\ PRGLILFDWLRQV WKDW ZHUH PDGH WR WKLV WUHDWPHQW WDSH ZHUH WR HOLPLQDWH PLQXWHV RI PDWHULDO QR ORQJHU FRYHUHG LQ WKH HFRQRPLFV FRXUVH LQ 7KLV WDSH ZKLFK ZDV PLQXWHV ORQJ LQ ZDV UHGXFHG WR PLQXWHV LQ DQG ODEHOHG WUHDWPHQW WDSH RQH 7KLV VHFWLRQ VHUYHG DV WUHDWPHQW JURXS RQH LQ WKLV WKH H[SHULPHQW $ WKLUG VHFWLRQ ZDV VKRZQ DQRWKHU YHUVLRQ RI WHOHYLVHG LQVWUXFWLRQ WKDW DGKHUHG WR HOHPHQWV RI D SURGXFHUnV PRGHO EXW WKDW KDG EHHQ UHYLVHG WR H[FOXGH WKH SURGXFWLRQ WHFKQLTXH RI XVLQJ PXVLFGUDPD WKDW WKH WZR IRFXV JURXSV IRXQG LQHIIHFWLYH 7KLV WDSH ZDV PLQXWHV ORQJ DQG ODEHOHG WUHDWPHQW WDSH WZR 7KLV VHFWLRQ VHUYHG DV WUHDWPHQW JURXS WZR LQ WKH H[SHULPHQW ,Q RUGHU WR PDLQWDLQ VWULFW FRQWURO RI WKH H[SHULPHQW ZLWKRXW GLVUXSWLRQ RI WKH WKUHH FODVV VHFWLRQV GXH WR UDQGRPL]DWLRQ D TXDVLH[SHULPHQWDO GHVLJQ ZDV XVHG $ QRQUDQGRPL]HG FRQWURO JURXS SUHWHVWSRVWWHVW GHVLJQ ZDV

PAGE 51

XVHG WR LQFOXGH D FRYDULDWH DQG WR PHDVXUH VLJQLILFDQW GLIIHUHQFHV RQ WKH SRVWWHVW 7KH LQGHSHQGHQW YDULDEOHV 7 DQG 7 ZHUH WKH H[SHULPHQWDO WUHDWPHQWV ; ZDV WKH SUHWHVW DQG < ZDV WKH SRVWWHVW *URXS 3UHWHVW ,QGHSHQGHQW9DULDEOH 3RVWWHVW (O ; 7, < ( ; 7 < &O ; < 'HVLJQ RI WKH 7UHDWPHQW )RU WKH SXUSRVH RI LPSURYLQJ D WHOHYLVHG LQVWUXFWLRQ SURGXFWLRQ DQG WKHUHE\ LPSURYLQJ DFKLHYHPHQW DQG OHDUQLQJ WKLV H[SHULPHQW XVHG D FXPXODWLYH DSSURDFK LQ GHYHORSLQJ WKH WUHDWPHQW :KHQ 6FKUDPP f DQDO\]HG WKH &KURQEDFK DQG 6QRZ DSWLWXGH WUHDWPHQW LQWHUDFWLRQ $7,f VWXGLHV KH IRXQG WKDW WKHUH DUH PDQ\ FKDUDFWHULVWLFV RI WKH OHDUQHU WKDW LQWHUDFW DQG DOWHU WKH HIIHFWV IRU GLIIHUHQW LQGLYLGXDOVPRUH VXFK FKDUDFWHULVWLFV WKDQ DQ\ H[SHULPHQWHU LV OLNHO\ WR EH DEOH WR FRQWURO PRUH WKDQ KH LV DEOH WR NQRZ DERXW S f 7KLV H[SHULPHQW GLG QRW DWWHPSW WR LVRODWH RU FRQWURO IRU WKHVH YDULDEOHV EXW ZDV GHVLJQHG WR PD[LPL]H WKH DWWULEXWHV RI WHOHYLVHG LQVWUXFWLRQ E\ LQFUHDVLQJ WKH RYHUDOO SURGXFWLRQ YDOXHV RI WHOHYLVLRQ DQG XOWLPDWHO\ JDLQLQJ WKH DWWHQWLRQ DQG LQWHUHVW RI WKH FROOHJH VWXGHQWV LQYROYHG *DJQH f $OO RI WKH SURGXFWLRQ WHFKQLTXHV LQ WKH WZR WUHDWPHQW YLGHRWDSHV ZHUH FUHDWHG LQ DFFRUGDQFH ZLWK WKH VSHFLILFDWLRQV RI D SURGXFHUnV PRGHO IRU

PAGE 52

WHOHYLVHG LQVWUXFWLRQ DQG ZHUH GHVLJQHG LQ FRQGXFWLRQ ZLWK WKH H[SHULPHQW E\ 0RUULV f 7KH 3URGXFHUVn ,QVWUXFWLRQDO 7HOHYLVLRQ 3,7
PAGE 53

LQVWUXFWRU 7KH UHOHYDQFH RI WHUPLQRORJ\ DQG HFRQRPHWULFV SUHVHQWHG GXULQJ WKH ILUVW SDUW RI HDFK OHFWXUH KDV EHHQ VXPPDUL]HG DW WKH FRQFOXVLRQ RI HDFK WHOHYLVHG OHFWXUH E\ WKH LQVWUXFWRU DJDLQ XVLQJ RQO\ WKH FKDONERDUG IRU LOOXVWUDWLRQ $ PLQXWH FDPHUD RI UHFRUG YLGHRWDSH PDGH LQ -DQXDU\ RI } VHUYHG DV WKH FRQWURO QRQPRGHOGHYHORSHGf YLGHRWDSH IRU WKLV VWXG\ 7ZR WUHDWPHQW WDSHV ZHUH DOVR GHYHORSHG LQ -DQXDU\ RI r 7UHDWPHQW WDSH RQH ZDV D PLQXWH UHYLVHG YHUVLRQ RI WKH PRGHOGHYHORSHG YLGHRWDSH IURP WKH VWXG\ E\ 0RUULV f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

PAGE 54

B SRUWLRQ RI WKH 3,79 0RGHO UHPRYLQJ WKH LQVWUXFWRU HQWLUHO\ ,Q DQ DWWHPSW WR LPSURYH DFKLHYHPHQW D PLQXWH GLVFXVVLRQ RI WKH UHOHYDQFH DQG PHDQLQJIXOQHVV RI WKH WHUPLQRORJ\ DQG HFRQRPHWULFV E\ WKH LQVWUXFWRU LQ WKH HQG RI WKH FRQWURO QRQPRGHOGHYHORSHGf YLGHRWDSH ZDV UHSODFHG RQ WKH HQG RI WUHDWPHQW WDSH RQH E\ D WKUHHPLQXWH VFHQDULR GHVLJQHG WR DFFRPSOLVK WKH VDPH WDVN LQ D PRUH HIIHFWLYH PDQQHU 7KLV VFHQDULR FRQVLVWHG RI Df GUDPDWL]DWLRQV RI FRQVXPHU DFWLYLW\ GHSLFWLQJ FRQVXPHUV DW FKHFNRXW OLQHV Ef DQLPDWHG FKDUWV VKRZLQJ PRYHPHQW DORQJ DQG PRYHPHQW ZLWKLQ D JUDSK Ff QHZVSDSHU FOLSSLQJV KLJKOLJKWLQJ YDULRXV HFRQRPLF DFWLYLWLHV DQG Gf FRQWHPSRUDU\ PXVLF ZLWK WKH WKHPH RI PRQH\ 7UHDWPHQW WDSH WZR ZDV D UHYLVHG FRS\ RI WUHDWPHQW WDSH RQH ,W ZDV UHYLVHG LQ -DQXDU\ RI WR ILW WKH UHFRPPHQGDWLRQV RI WZR VWXGHQW IRFXV JURXSV 7KH IRFXV JURXSV UHYLHZHG ERWK WKH FRQWURO WDSH DQG WKH WUHDWPHQW WDSH IURP WKH H[SHULPHQW LQ -DQXDU\ RI } 7UHDWPHQW WDSH WZR ZDV FRQVWUXFWHG LQ DFFRUGDQFH ZLWK WKH SURFHGXUHV RI WKH 3,79 0RGHO IRU XVLQJ IRFXV JURXS LQIRUPDWLRQ WR IXUWKHU LPSURYH WHOHYLVHG LQVWUXFWLRQ )HHGEDFN IURP WKH IRFXV JURXSV ZDV XVHG WR UHYLVH WUHDWPHQW WDSH RQH DQG WKHUHE\ FUHDWH WUHDWPHQW WDSH WZR E\ HOLPLQDWLQJ IURP WKH VFHQDULR Df GUDPDWL]DWLRQV RI FRQVXPHU DFWLYLW\ GHSLFWLQJ FRQVXPHUV DW FKHFNRXW OLQHV DQG Gf FRQWHPSRUDU\ PXVLF ZLWK WKH WKHPH RI PRQH\

PAGE 55

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f 7KH H[SHUWV VHH $SSHQGL[ %f DOVR ZHUH JLYHQ D FRS\ RI WKH 3,79 0RGHO &KDSWHU )RXUf DQG DVNHG WR PDNH VXJJHVWLRQV IRU LPSURYLQJ LW )RFXV JURXS LQWHUYLHZV KDYH EHHQ D TXDOLWDWLYH PHWKRG RI HYDOXDWLRQ IRU VRPH WLPH 0HUWRQ )LVNH t .HQGDOO f 7KH LQYHVWLJDWRU IROORZHG DQ LQWHUYLHZ VFKHGXOH VHH $SSHQGL[ &f WR IDFLOLWDWH RSHQ GLVFXVVLRQ DPRQJ WKH IRFXV JURXS LQWHUYLHZHHV XWLOL]HG LQ WKLV UHVHDUFK $Q DXGLR DQG YLGHR WDSH UHFRUGLQJ ZDV XVHG WR FROOHFW VWXGHQW UHVSRQVHV GXULQJ WZR IRFXV JURXS VHVVLRQV 7KH LQIRUPDWLRQ ZDV WKHQ DQDO\]HG E\ WKH LQYHVWLJDWRU WR SURYLGH UHFRPPHQGDWLRQV IRU LPSURYLQJ WUHDWPHQW WDSH RQH 7KH LQWHUYLHZ SURFHVV LQFOXGHG TXHVWLRQV ZLWK WKH IROORZLQJ FKDUDFWHULVWLFV IRU H[DPSOHV VHH &KDSWHU fV

PAGE 56

4XHVWLRQV UHIHUULQJ WR WKH SURFHVV RI UHWURVSHFWLRQ TXHVWLRQV DQG f 4XHVWLRQV LQFOXGLQJ UHIHUHQFH WR WKH VWLPXOXV VLWXDWLRQ TXHVWLRQV } } DQG f 9HUEDO FXHV WR SDVW UHVSRQVH TXHVWLRQ SOXV DOO SURELQJ VWLPXODWRUVf 4XHVWLRQV WR FRQWURO ORTXDFLRXV LQWHUYLHZHHV 4XHVWLRQV WR DFWLYDWH UHWLFHQW LQWHUYLHZHHV DOO SURELQJ TXHVWLRQVf 4XHVWLRQV WKDW H[WHQG FRYHUDJH WR WKH JURXS DOO SURELQJ TXHVWLRQVf 0HUWRQ )LVNH t .HQGDOO f $Q LWHPE\LWHP FRPSDULVRQ EHWZHHQ WKH UHVXOWV RI D TXDOLWDWLYH VWXG\ DQG D TXDQWLWDWLYH VWXG\ VKRZV WKH YDOLGLW\ RI IRFXVJURXS ILQGLQJV 5H\QROGV t -RKQVRQ S f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

PAGE 57

2IILFH RI ,QVWUXFWLRQDO 5HVRXUFHV DW WKH 8QLYHUVLW\ RI )ORULGD ,Q DGGLWLRQ WKH SRVWWHVW ZDV H[DPLQHG IRU UHOLDELOLW\ XVLQJ WKH .5 $ FRPSRVLWH LWHP DQDO\VLV ZDV SHUIRUPHG IRU DOO WZHQW\IRXU LWHPV LQ WKH SRRO 7KH DQDO\VLV FRHIILFHQW ZDV 7KLV UHVXOW LQGLFDWHG WKDW WKH WHVW LWHPV SURYLGHG UHOLDEOH SUHGLFWLYH UHVXOWV IRU PHDVXULQJ FKDQJHV LQ VWXGHQW DFKLHYHPHQW 0RUHRYHU WKLV FRHIILFHQW LQGLFDWHG WKDW WKHUH ZDV URRP IRU LPSURYLQJ DFKLHYHPHQW 0RUULV f ,GHQWLFDO SRVWWHVW LQVWUXPHQWV ZHUH JLYHQ WR WKH FRQWURO JURXS DQG WKH WZR H[SHULPHQWDO JURXSV 7KH LQVWUXPHQWV ZHUH SUHVHQWHG LQ WKH ODVW PLQXWHV RI WKH LQVWUXFWLRQDO SHULRG E\ WKH H[SHULPHQWHU 7KH SRVWWHVW ZDV WKH PDMRU WHVW LQVWUXPHQW XVHG LQ WKLV H[SHULPHQW DQG ZDV LGHQWLILHG DV WKH PHDVXUH RI VWXGHQW DFKLHYHPHQW ,W ZDV DGPLQLVWHUHG LPPHGLDWHO\ IROORZLQJ WKH WHOHYLVLRQ SUHVHQWDWLRQ LQ ERWK WKH WUHDWPHQW DQG FRQWURO JURXSV 7KH SRVWWHVW FRQVLVWHG RI PXOWLSOH FKRLFH LWHPV VHH $SSHQGL[ 'f $OO LWHPV SHUWDLQHG WR WKH &RQVXPSWLRQ )XQFWLRQ WKH PDMRU FRQWHQW SUHVHQWHG LQ WKH WKUHH YLGHRWDSHV $OO RI WKH TXHVWLRQV ZHUH XVHG WR PHDVXUH WKH UHFDOO RI PDWHULDO IURP WKH HQWLUH PLQXWHV RI FRQWURO WDSH DQG PLQXWHV RI WKH WUHDWPHQW WDSHV 7KUHH RI WKH TXHVWLRQV LWHPV } DQG f ZHUH GHVLJQHG WR PHDVXUH XQGHUVWDQGLQJ DQG PHDQLQJIXOQHVV RI WKH &RQVXPSWLRQ )XQFWLRQ FRYHUHG LQ WKH ODVW PLQXWHV RI WKH FRQWURO WDSH

PAGE 58

DQG WKH ODVW WKUHH PLQXWHV RI WKH WUHDWPHQW WDSHV 7KH UHVSRQGHQWV ZHUH UHTXLUHG WR UHODWH PRYHPHQWV DORQJ RU VKLIWV LQ WKH &RQVXPSWLRQ )XQFWLRQ WR FRQVXPHU EHKDYLRU 7KLV ZDV WKH SRUWLRQ RI ERWK WUHDWPHQW PRGHOGHYHORSHGf YLGHRWDSHV WKDW SURYLGHG D FRPSOHWH GHSDUWXUH IURP WKH FRQWURO QRQPRGHOGHYHORSHGf YLGHRWDSH DQG UHSUHVHQW WKH UHOHYDQFH LOOXVWUDWHG SRUWLRQ RI WKH 3,79 PRGHO GHYHORSHG IRU WKLV VWXG\ 6HOHFWLRQ RI 6XEMHFWV $ SDQHO RI ILYH H[SHUWV VHH $SSHQGL[ %f ZDV VHOHFWHG IURP D OLVW RI H[SHUW WHOHFRXUVH SURGXFHUV SURYLGHG E\ 5HVHDUFK &RPPXQLFDWLRQV D WHOHFRXUVH UHVHDUFK ILUP DQG E\ 'U .HQQHWK &KULVWLDQVHQ D PHPEHU RI WKH FRPPLWWHH VXSHUYLVLQJ WKLV VWXG\ 7KH VHOHFWLRQ SURFHVV FRQVLVWHG RI D WHOHSKRQH LQWHUYLHZ RI VHYHQ SRWHQWLDO HYDOXDWRUV WR GHWHUPLQH ZKR ZDV WKH PRVW OLNHO\ WR FRPSOHWH WKH VXUYH\ 7ZR IRFXV JURXSV ZHUH XVHG WR GHWHUPLQH SHUFHLYHG GLIIHUHQFHV EHWZHHQ WKH FRQWURO QRQPRGHOGHYHORSHGf YLGHRWDSH DQG WUHDWPHQW PRGHOGHYHORSHGf YLGHRWDSH DQG WR GHWHUPLQH ZKDW SURGXFWLRQ WHFKQLTXHV ZHUH XQQHFHVVDU\ LQ WKH WUHDWPHQW WDSH 2QH IRFXV JURXS FRQVLVWHG RI ILYH VWXGHQWV ZKR KDG WDNHQ WKH HFRQRPLFV FRXUVH WKDW ZDV H[DPLQHG LQ WKLV VWXG\ 7KH RWKHU JURXS FRQVLVWHG RI ILYH VWXGHQWV ZKR KDG QRW WDNHQ WKH FRXUVH 7KH VXEMHFWV IRU WKH ILUVW JURXS ZHUH VHOHFWHG IURP VWXGHQWV HQUROOHG LQ 3ULQFLSOHV RI (FRQRPLFV f LQ WKH &ROOHJH RI %XVLQHVV DW

PAGE 59

WKH 8QLYHUVLW\ RI )ORULGD LQ WKH )DOO RI 7KH FODVV UROp ZDV H[DPLQHG WR REWDLQ D PL[WXUH RI VWXGHQWV DFFRUGLQJ WR WKHLU ILQDO JUDGHV LQ WKH FODVV $Q DWWHPSW ZDV PDGH WR REWDLQ DQ HYHQ GLVWULEXWLRQ RI VWXGHQWV ZLWK JUDGHV IURP $ WKURXJK 7KH VXEMHFWV IRU WKH VHFRQG JURXS ZHUH VHOHFWHG IURP VWXGHQWV HQUROOHG DW WKH 8QLYHUVLW\ RI )ORULGD LQ WKH 6SULQJ RI ZKR KDG QRW WDNHQ 3ULQFLSOHV RI (FRQRPLFV f $ OLVW RI YROXQWHHUV ZDV REWDLQHG IURP DQ ,QWURGXFWLRQ WR $GYHUWLVLQJ FRXUVH 7RNHQ JLIWVf§GRQDWHG E\ WKUHH ORFDO PHUFKDQWV DQG FRQVLVWLQJ RI SRUWDEOH UDGLRV FRIIHH PXJV WHH VKLUWV DQG DVVRUWHG WRLOHWULHVZHUH XVHG WR HQFRXUDJH VWXGHQWV WR SDUWLFLSDWH $OO SDUWLFLSDQWV UHFHLYHG DQ DVVRUWPHQW RI JLIWV $OO RI WKH VXEMHFWV IRU WKH H[SHULPHQWDO HYDOXDWLRQ LQ WKH VWXG\ ZHUH VHOHFWHG IURP WKH VWXGHQWV HQUROOHG LQ 3ULQFLSOHV RI (FRQRPLFV f LQ WKH &ROOHJH RI %XVLQHVV DW WKH 8QLYHUVLW\ RI )ORULGD LQ WKH 6SULQJ RI 7KH VWXGHQWV VHOHFW WKHLU VHFWLRQV GXULQJ UHJLVWUDWLRQ HLWKHU IURP WKRVH VHFWLRQV DYDLODEOH RU IURP WKRVH WKDW EHVW ILW WKHLU RZQ VFKHGXOHV 7KH OLYH OHFWXUH IURP ZKLFK WKH FRQWURO WDSH ZDV UHFRUGHG ZDV SUHVHQWHG LQ D ODUJH OHFWXUH KDOO DW DP RQ WKH GD\ RI WKH H[SHULPHQW 7KH FRQWURO QRQPRGHOGHYHORSHGf DQG WZR WUHDWPHQW PRGHOGHYHORSHGf YLGHRWDSHV ZHUH VKRZQ DERXW PLGVHPHVWHU LQ WKUHH WHOHYLVLRQ FODVVURRPV FRQVLVWLQJ RI DSSUR[LPDWHO\ VHDWV DQG RQH RU PRUH WHOHYLVLRQ PRQLWRUV

PAGE 60

7KUHH (FRQRPLFV VHFWLRQV ZHUH VHOHFWHG DV WKH VDPSOH IRU WKLV H[SHULPHQW WR REWDLQ VHFWLRQV RI DSSUR[LPDWHO\ HTXDO VL]H 2QH VHFWLRQ VHUYHG DV WKH FRQWURO JURXS DQG WZR VHUYHG DV WKH H[SHULPHQWDO JURXSV 7KH WRWDO VDPSOH VL]H ZDV } ZLWK LQ WKH FRQWURO JURXS -! LQ WUHDWPHQW JURXS RQH DQG LQ WUHDWPHQW JURXS WZR &ROOHFWLRQ RI 'DWD 7KH UHVXOWV RI DQ HDUOLHU VWXG\ E\ 0RUULV f ZHUH H[DPLQHG IRU IXUWKHU LQTXLU\ DQG GHYHORSPHQW LQ WKH 6XPPHU RI $OWKRXJK WKH GDWD VKRZHG WKDW VLJQLILFDQW GLIIHUHQFHV LQ VWXGHQW DFKLHYHPHQW KDG RFFXUUHG LQ D WHOHFRXUVH YKHQ WHOHYLVLRQ SURGXFWLRQ YDOXHV ZHUH LQFUHDVHG WKH UHVXOWV RI D VLQJOH WULDO GLG QRW VHHP FRQFOXVLYH )XUWKHUPRUH QR IRUPDOL]HG PRGHO H[LVWHG IRU XVH LQ WHOHFRXUVH GHYHORSPHQW WKXV LQKLELWLQJ RWKHUV IURP REWDLQLQJ VLJQLILFDQW LPSURYHPHQWV LQ WKH HIIHFWLYHQHVV RI D WHOHFRXUVH SURGXFWLRQ DV IRXQG LQ WKH 0RUULV f VWXG\ ,Q 2FWREHU RI D PRGHO ZDV IXOO\ GHYHORSHG IURP D URXJK RXWOLQH XVHG LQ WKH WHOHYLVLRQ SURGXFWLRQ IRU WKH HDUOLHU 0RUULV f VWXG\ 7KH SURFHGXUHV DQG SURFHVVHV ZHUH GHVFULEHG DQG D GLDJUDP RI WKH PRGHO ZDV FRQVWUXFWHG 7KH PRGHO ZDV FDOOHG WKH 3URGXFHUVn ,QVWUXFWLRQDO 7HOHYLVLRQ 0RGHO 3,79f 6LQFH WKH SXUSRVH RI WKH RULJLQDO VWXG\ ZDV WR ILQG PHWKRGV IRU LPSURYLQJ WKH HIIHFWLYHQHVV RI WKH WHOHYLVLRQ SURGXFWLRQ LQ D WHOHFRXUVH 0RUULV f IRUPDWLYH DQG

PAGE 61

VXPPDWLYH HYDOXDWLRQ SURFHVVHV ZHUH LQFRUSRUDWHG LQ WKH 3,79 0RGHO $IWHU WKH SURSRVDO IRU WKLV VWXG\ ZDV DFFHSWHG LQ 'HFHPEHU RI WKH ILUVW IRUPDWLYH HYDOXDWLRQ SURFHVV ZDV EHJXQ &RSLHV RI WKH PRGHO WRJHWKHU ZLWK D ILYH LWHP RSHQHQGHG TXHVWLRQQDLUH ZHUH VHQW WR ILYH H[SHUW WHOHFRXUVH SURGXFHUV $OWKRXJK GDWD FROOHFWLRQ IURP WKLV HYDOXDWLRQ ZDV VFKHGXOHG IRU -DQXDU\ } DOO RI WKH GDWD ZHUH QRW UHFHLYHG XQWLO ODWH )HEUXDU\ RI r $ VHFRQG IRUPDWLYH HYDOXDWLRQ SURFHVV ZDV EHJXQ LQ -DQXDU\ RI } 'DWD IURP D IRFXV JURXS DQDO\VLV RI WKH FRQWURO DQG WUHDWPHQW WDSHV IURP WKH 0RUULV f VWXG\ ZHUH JDWKHUHG 7KH UHVXOWV ZHUH XVHG WR PRGLI\ WUHDWPHQW WDSH RQH DQG WKHUHE\ FRQVWUXFW D VHFRQG WUHDWPHQW WDSH WUHDWPHQW WDSH WZR ,Q WKH VSULQJ RI GDWD ZHUH JDWKHUHG IURP D VXPPDWLYH HYDOXDWLRQ RI WKH FRQWURO DQG WKH WZR WUHDWPHQW YLGHRWDSHV ,Q WKH H[SHULPHQW VWXGHQW DFKLHYHPHQW VFRUHV RQ WKH SRVWWHVW IRU WUHDWPHQW WDSHV RQH DQG WZR PRGHOGHYHORSHGf ZHUH FRPSDUHG WR WKH VFRUHV RI VWXGHQWV ZKR YLHZHG WKH FRQWURO FDPHUD RI UHFRUGf YLGHRWDSH $Q DQDOD\VLV RI FRYDULDQFH $1&29$f ZDV XVHG WR FRPSDUH DFKLHYHPHQW WHVW VFRUHV DQG WR PDWFK WKRVH VFRUHV ZLWK SUHYLRXV WHVW UHVXOWV IRU WKRVH VWXGHQWV LQ WKH VDPSOH $QDO\VLV RI 'DWD 7KLV VWXG\ LQYROYHG WKH HVWDEOLVKPHQW RI UHVHDUFK TXHVWLRQV WR EH DQVZHUHG DQG K\SRWKHVHV WR EH WHVWHG XVLQJ

PAGE 62

WKH DSSURSULDWH VWDWLVWLFDO PHWKRGV 'R H[SHUWV ZKR KDYH EHHQ DVNHG WR HYDOXDWH D SURGXFHUVn PRGHO ILQG LW XVHIXO IRU SURGXFLQJ WHOHYLVHG LQVWUXFWLRQ" 7R DQDO\]H WKH LQIRUPDWLRQ SURYLGHG E\ WKH H[SHUW WHOHFRXUVH SURGXFHUV WKHLU FRPPHQWV ZHUH VXPPDUL]HG DQG FRPSDUHG WR WKH UHVXOWV RI WKH IRFXV JURXS DQG H[SHULPHQWDO HYDOXDWLRQV IRU FRQVLVWHQF\ 7KH H[SHUWVn RSLQLRQV RQ WKH XVHIXOQHVV RI WKH PRGHO ZHUH FRPSDUHG WR Df WKH RSLQLRQV RI WKH IRFXV JURXS DERXW WKH TXDOLW\ RI WKH PRGHOGHYHORSHG WDSH DQG Ef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f DQG WUDQVIHUUHG LQWR UHFRPPHQGDWLRQV IRU LPSURYLQJ WUHDWPHQW WDSH RQH 6LQFH IRFXV JURXS HYDOXDWLRQ LV D TXDOLWDWLYH IRUP RI HYDOXDWLRQ WKH VXPPDULHV ZHUH IRFXVHG DURXQG WKH VWUHQJWK RI WKH DUJXPHQWV UDWKHU WKDQ WKH QXPEHU RI SDUWLFLSDQWV ZKR UHVSRQGHG ,I D VWXGHQW RU VWXGHQWV IHOW VWURQJO\ DERXW DQ LVVXH LW ZDV QRWHG LQ WKH VXPPDU\ 7KH IRFXV JURXSV ZHUH

PAGE 63

KHOG LQ WKH UHVHDUFK REVHUYDWLRQ ODE LQ WKH &ROOHJH RI -RXUQDOLVP DQG &RPPXQLFDWLRQV DQG ZHUH YLGHRWDSHG DQG DXGLRWDSHG IRU WKRURXJK DQDO\VLV DQG UHYLHZ 7KH IRFXV JURXS UHVSRQVHV ZHUH DQDO\]HG IRU UDQJH VSHFLILFLW\ GHSWK DQG SHUVRQDO FRQWH[W 0HUWRQ )LVNH t .HQGDOO S f 8VLQJ WKHVH FULWHULD WKH UHYLVLRQ RI WKH WUHDWPHQW WDSH ZDV EDVHG RQ WKH VWURQJHVW DUJXPHQW +\SRWKHVLV 7KHUH ZHUH QR GLIIHUHQFHV LQ VWXGHQW DFKLHYHPHQW EHWZHHQ VWXGHQWV ZKR YLHZHG PRGHOGHYHORSHG WHOHYLVHG LQVWUXFWLRQ DQG VWXGHQWV ZKR YLHZHG QRQPRGHOGHYHORSHG WHOHYLVHG LQVWUXFWLRQ 7R DQDO\]H WKH GDWD RI WKH DFKLHYHPHQW HYDOXDWLRQ UHODWHG WR WKLV K\SRWKHVLV DQ $1&29$ ZDV XVHG Df WR LQYHVWLJDWH WKH SRVVLEOH LQWHUDFWLRQV EHWZHHQ D SUHYLRXV WHVW DQG WKH SRVWWHVW RU WR PHDVXUH IRU WKH HIIHFWV RI SULRU NQRZOHGJH Ef WR PHDVXUH GLIIHUHQFHV LQ FXPXODWLYH PHDQ DFKLHYHPHQW RQ WKH RYHUDOO SRVWWHVW EHWZHHQ VWXGHQWV ZKR YLHZHG WUHDWPHQW WDSH RQH DQG VWXGHQWV ZKR YLHZHG WKH FRQWURO JURXS DQG Ff WR PHDVXUH GLIIHUHQFHV LQ FXPXODWLYH PHDQ DFKLHYHPHQW RQ WKH WKUHH SRVWWHVW LWHPV PHDVXULQJ XQGHUVWDQGLQJ RI WKH FRQVXPSWLRQ IXQFWLRQ DQG UHODWHG WR WKH UHOHYDQFH LOOXVWUDWHG SRUWLRQ RI WKH PRGHO EHWZHHQ VWXGHQWV ZKR YLHZHG WUHDWPHQW WDSH RQH DQG VWXGHQWV ZKR YLHZHG WKH FRQWURO JURXS

PAGE 64

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r $QWLFLSDWHG )LQGLQJV ,I WKLV VWXG\ ZDV WR EH HFRORJLFDOO\ VLJQLILFDQW DQG WR FRQWULEXWH WR WKH FUHDWLYH SURGXFWLRQ SURFHVV RI WHOHYLVHG LQVWUXFWLRQ LW QHHGHG WR EH IRUPDWLYH UDWKHU WKDQ VXPPDWLYH LQ QDWXUH 7KH UHVHDUFK FRQGXFWHG E\ WKH &KLOGUHQnV 7HOHYLVLRQ :RUNVKRS &7:f LQ WKH GHVLJQ RI 6HVDPH 6WUHHW %DUEDWVLV f PD\ EH FDWHJRUL]HG DV IRUPDWLYH 7KH &7: UHVHDUFK ZDV GHVLJQHG WR XQFRYHU LQIRUPDWLRQ IRU LPSURYLQJ D SURGXFW RU SUDFWLFH S f *XED DQG /LQFROQ f VDLG WKDW HGXFDWLRQDO HYDOXDWLRQ VKRXOG EH XVHG IRU FRXUVH LPSURYHPHQW $V &URQEDFK SXW LW (YDOXDWLRQ XVHG WR LPSURYH WKH FRXUVH ZKLOH

PAGE 65

LW LV VWLOO IOXLG FRQWULEXWHV PRUH WR WKH LPSURYHPHQW RI HGXFDWLRQ WKDQ HYDOXDWLRQ XVHG WR DSSUDLVH D SURGXFW DOUHDG\ RQ WKH PDUNHW *XED t /LQFROQ } Sf f 7KH PHWKRG FKRVHQ IRU WKLV VWXG\ ZDV FRQVLVWHQW ZLWK WKH DSSURDFKHV XVHG LQ IRUPDWLYH VWXGLHV ,QVWHDG RI FRPSDULQJ WKH UHVXOWV RI IDFHWRIDFH GHOLYHU\ ZLWK D YLGHRWDSH SUHVHQWDWLRQ RI WKH VDPH OHFWXUH WR GHWHUPLQH WKH ZLQQHU D FRPSDULVRQ RI WZR YLGHRWDSH SUHVHQWDWLRQV FRQWDLQLQJ WKH VDPH LQIRUPDWLRQ ZDV FRQGXFWHG WR GHWHUPLQH PHWKRGV IRU LPSURYLQJ WHOHYLVHG LQVWUXFWLRQ 7KH H[SHFWHG UHVXOWV ZHUH DV IROORZV f 7KH H[SHUW HYDOXDWLRQV ZHUH H[SHFWHG WR SRLQW WR PHWKRGV IRU IXUWKHU LPSURYLQJ WKH 3,79 0RGHO DQG WR PDNH LW PRUH HIIHFWLYH IRU IXWXUH XVHUV f 7KH IRFXV JURXS LQWHUYLHZV ZHUH H[SHFWHG WR SRLQW WR PHWKRGV IRU IXUWKHU LPSURYLQJ WKH SURGXFWLRQ WHFKQLTXHV XVHG LQ WKH WUHDWPHQW WDSH f 6WXGHQW UHFDOO RI WHUPLQRORJ\ VWDWLVWLFDO SURFHVVHV DQG GLDJUDP FRQVWUXFWLRQ DV PHDVXUHG E\ DFKLHYHPHQW VFRUHV ZDV H[SHFWHG WR LPSURYH DV D UHVXOW RI VXEVWLWXWLQJ WHOHYLVLRQ VSHFLDO HIIHFWV SRSLQ DQLPDWLRQ DQG PRYLQJ DUURZV IRU D FKDONERDUG LQ WKH WUHDWPHQW WDSHV f 6WXGHQW DFKLHYHPHQW ZDV H[SHFWHG WR LPSURYH DV D UHVXOW RI SUHSURGXFHG GHPRQVWUDWLRQV VLPLODU WR WHOHYLVLRQ FRPPHUFLDOV WKDW PD[LPL]HG DIIHFWLYH DSSHDO DQG XVHG

PAGE 66

DQLPDWLRQ FRQFUHWH DQG DEVWUDFW H[DPSOHV VFHQHULRV DQG UHOHYDQW FRQWHPSRUDU\ PXVLF

PAGE 67

&+$37(5 352'8&(56n ,16758&7,21$/ 7(/(9,6,21 3,79f 02'(/ :,7+ (;3(57 (9$/8$7,21 7KH H[SHULPHQWDO RU WUHDWPHQW WDSHV IRU WKLV VWXG\ ZHUH GHYHORSHG XVLQJ WKH 3URGXFHUVn ,QVWUXFWLRQDO 7HOHYLVLRQ 3,79f 0RGHO 7KH H[SHULPHQWHU GHVLJQHG WKH 0RGHO DQG WKH DQG WUHDWPHQW WDSHV WR LQFUHDVH WKH HIIHFWLYHQHVV RI WHOHYLVHG LQVWUXFWLRQ WKURXJK WKH XVH RI WHOHYLVLRQ SURGXFWLRQ WHFKQLTXHV 7KH 3,79 0RGHO DQG WKH UHODWLRQVKLS WR WKH WUHDWPHQW WDSHV FDQ EH IRXQG LQ WKH ILUVW VHFWLRQ RI WKLV FKDSWHU ,Q RUGHU WR H[DPLQH WKH SHUFHLYHG XVHIXOQHVV RI WKH PRGHO WR WHOHFRXUVH SURGXFHUV D SDQHO RI H[SHUWV ZDV HVWDEOLVKHG $ TXHVWLRQQDLUH VHH $SSHQGL[ $f ZDV PDLOHG WR H[SHULHQFHG WHOHFRXUVH SURGXFHUV VHH $SSHQGL[ %f 'R H[SHUWV ZKR KDYH EHHQ DVNHG WR HYDOXDWH D SURGXFHUVn PRGHO ILQG LW XVHIXO IRU SURGXFLQJ WHOHYLVHG LQVWUXFWLRQ" 7R DQVZHU WKLV TXHVWLRQ WKH UHVSRQVHV RI WKH H[SHUWV KDYH EHHQ VXPPDUL]HG LQ WKH VHFRQG VHFWLRQ RI WKLV FKDSWHU $ FRQVHQVXV RQ HDFK RI WKH ILYH TXHVWLRQV DQG RQ WKH FRPELQDWLRQ RI WKH ILYH TXHVWLRQV ZDV XVHG WR GHWHUPLQH WKH XVHIXOQHVV RI WKH PRGHO 7KH 3,79 0RGHO 7KH 3URGXFHUVf ,QVWUXFWLRQDO 7HOHYLVLRQ 3,79f 0RGHO LV FRPSDWLEOH ZLWK PRVW LQVWUXFWLRQDO GHYHORSPHQW PRGHOV ZKLFK LQFRUSRUDWH PHGLD DV D SRUWLRQ RI WKH PRGHO WKRVH

PAGE 68

PRGHOV ZKLFK LQFOXGH DXGLHQFH DQDO\VLV DV SDUW RI WKH PRGHO DQG WKRVH PRGHOV WKDW DUH REMHFWLYHEDVHG ,Q RUGHU WR GHWHUPLQH WKH SURSHU SUHUHTXLVLWHV WKHVH PRGHOV VKRXOG EH FRQVXOWHG EHIRUH LPSOHPHQWLQJ WKH 3,79 0RGHO 7KH 3,79 0RGHO VKRXOG EH LQVHUWHG LQ WKH PHGLD GHYHORSPHQW VHFWLRQ RI RWKHU LQVWUXFWLRQDO GHVLJQ RU GHYHORSPHQW PRGHOV 7KH 3,79 0RGHO LV D SURFHGXUDO PRGHO ZKLFK GLYLGHV WKH LQVWUXFWLRQDO SUHVHQWDWLRQ LQWR WKUHH EDVLF VHJPHQWV VHH )LJXUH f 6HJPHQW 2QH )DFWV 3UHVHQWHG 0HWKRGV 'HPRQVWUDWHGf GHDOV ZLWK WKH SUHVHQWDWLRQ RI WHUPLQRORJ\ IDFWV DQG IRUPXODV ,Q WKLV VHFWLRQ WKH SUHVHQWDWLRQ VKRXOG IRFXV RQ GHYHORSLQJ VNLOOV 6HJPHQW 7ZR 5HOHYDQFH ,OOXVWUDWHGf VKRXOG EH XVHG IRU LOOXVWUDWLQJ WKH UHOHYDQFH RI WKH PDWHULDO SUHVHQWHG LQ WKH ILUVW VHJPHQW 7KLV VHFRQG VHJPHQW VKRXOG LQYROYH PRUH FRPSOH[ SURGXFWLRQ WHFKQLTXHV LQ DQ DWWHPSW WR LOOXVWUDWH WKH PHDQLQJIXOQHVV RI WKH WRSLF XQGHU VWXG\ 6HJPHQW 7KUHH (YDOXDWLRQf LV WKH HYDOXDWLRQ FRPSRQHQW RI WKH 0RGHO 7KH VHJPHQW LQFOXGHV RQH TXDOLWDWLYH DQG WZR TXDQWLWDWLYH PHWKRGV RI HYDOXDWLRQ 0RUHRYHU WKH OLQHV UXQQLQJ WR DOO VHJPHQWV DQG VXEVHJPHQWV RI WKH 0RGHO VHUYH WZR SXUSRVHV 7KH\ FRQQHFW WKH UHSUHVHQWDWLYH VHJPHQWV RI WKH 0RGHO DQG WKH\ LQGLFDWH WKH SODFHV ZKHUH WUDQVLWLRQDO GHYLFHV DUH QHHGHG 7KH WUDQVLWLRQDO GHYLFHV HJ GLVVROYHV ZLSHV TXLFNFXWV HWFf DVVLVW LQ KROGLQJ WKH YLHZHUnV DWWHQWLRQ ZKLOH LQGLFDWLQJ FKDQJHV LQ WLPH ORFDWLRQ RU PRRG

PAGE 69

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nVHULRXV UHVHDUFKHUn FRSLHV RI WKH YLGHRWDSHV PD\ EH IRXQG LQ WKH 0RWLRQ 3LFWXUH 'LYLVLRQ 0%56 RI WKH /LEUDU\ RI &RQJUHVV LQ :DVKLQJWRQ & $OO RI WKH YLGHRWDSHV KDYH EHHQ UHFRUGHG LQ WKH 9+6 IRUPDW DQG FRS\ULJKWHG DV SDUW RI WKLV VWXG\

PAGE 70

6(*0(17 )DFWV 3UHVHQWHG 0HWKRGV 'HPRQVWUDWHG 9LVXDO 6WLPXOL $%675$&7 (;$03/(6 &KDUWV 'LDJUDPV *UDSKLFV $XGLWRU\ 6WLPXOL 086,&$/ ())(&76 9(5%$/ 3$66$*(6 $EVWUDFW DQG &RQFUHWH &21&5(7( (;$03/(6 6FHQDULRV 3LFWXUHV ,OOXVWUDWLRQV 3HUVRQV 2EMHFWV 63(&,$/ ())(&76 VORZ PRWLRQ WLPH ODSVH GLJLWDO PDQLSXODWLRQV RWKHU PDQLSXODWLRQV 6281' ())(&76 WR VXSSRUW YLGHR LQGHSHQGHQW XVH 6(*0(17 5HOHYDQFH ,OOXVWUDWHG 9LVXDO 6WLPXOL 0$&52&2035(66,21&RQFUHWH H[DPSOHVf 7UHQGV t 3URMHFWLRQV 0,&52&2035(66,21$EVWUDFW H[DPSOHVf 7UHQGV t 3URMHFWLRQV 6(*0(17 (YDOXDWLRQ $XGLWRU\ 6WLPXOL 6XSSRUW &RQFUHWH ,OOXVWUDWLRQ 0XVLFDO (IIHFWV 9HUEDO 3DVVDJHV 5HLQIRUFH $EVWUDFWV 0XVLFDO (IIHFWV 9HUEDO 3DVVDJHV 6RXQG (IIHFWV 4XDQWLWDWLYH $FKLHYHPHQW 4XDQWLWDWLYH 6XUYH\ 4XDOLWDWLYH )RFXV *URXS ),*85( 7+( 352'8&(56n ,16758&7,21$/ 7(/(9,6,21 02'(/

PAGE 71

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

PAGE 72

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

PAGE 73

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

PAGE 74

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f WUHQGV UHFDSLWXODWLRQf IRU WKRVH SRUWLRQV ZKLFK DUH UHYLHZV RI WKH SDVW DQG f SURMHFWLRQV IXWXUH DSSOLFDWLRQVf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

PAGE 75

PRYLQJ DQLPDWLRQ ,Q DGGLWLRQ FRQFUHWH DQG DEVWUDFW H[DPSOHV PD\ KDYH WR EH PL[HG WRJHWKHU HPSOR\LQJ WZR RI WHOHYLVLRQn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nV WHQ

PAGE 76

PLQXWH VXPPDWLRQ 7KLV SDFNDJH FRQVLVWHG RI DQ RSHQLQJ VFHQHULR RI FRQVXPHUV LQ DFWLRQ DQLPDWHG GLDJUDPV GHSLFWLQJ WKH GLIIHUHQFHV EHWZHHQ VKLIWV LQ WKH FRQVXPSWLRQ IXQFWLRQ DQG PRYHPHQW DORQJ WKH FRQVXPSWLRQ IXQFWLRQ QHZVSDSHU KHDGOLQHV DQG YHUEDO GHVFULSWLRQV UHODWLQJ FRQVXPHU EHKDYLRU WR WKH GLDJUDPV DQG FRQWHPSRUDU\ PXVLF WR KROG WKH OHDUQHUnV DWWHQWLRQ DQG WR DGG HPRWLRQDO DSSHDO 7KH DSSURDFK XVHG LQ WKH WUHDWPHQW YLGHRWDSH ZDV VLPLOLDU WR PDQ\ WHOHYLVLRQ FRPPHUFLDOV DQG LQFOXGHG VHYHUDO VSHFLDO HIIHFWV VXFK DV YLGHR ZLSHV IUHH]H IUDPHV VXSHU LPSRVLWLRQV DQG GLVVROYHV WR DPHOLRUDWH WKH WUDQVLWLRQV )LQDOO\ VHJPHQW WKUHH UHFRPPHQGV WKH XVH RI WKUHH GLIIHUHQW W\SHV RI HYDOXDWLRQ DFKLHYHPHQW JXLGHG E\ H[SHULPHQWDO VWDQGDUGVf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

PAGE 77

WHOHYLVLRQ SUHVHQWDWLRQ DQG WR SRLQW WR ZKDW IXUWKHU LPSURYHPHQWV PLJKW EH PDGH ([SHUWVn (YDOXDWLRQ RI WKH 3,7< 0RGHO )LYH SUDFWLWLRQHUV LQ WKH ILHOG RI LQVWUXFWLRQDO WHOHYLVLRQ ZHUH LGHQWLILHG DV H[SHUWV DQG DVNHG WR DVVLVW LQ WKH HYDOXDWLRQ RI WKH 3,79 0RGHO (DFK H[SHUW ZDV VHQW D FRS\ RI WKH PRGHO DQG D GHVFULSWLRQ RI KRZ LW ZDV DSSOLHG LQ WKH HFRQRPLFV H[SHULPHQW %HORZ LV D OLVW RI WKRVH ZKR FRRSHUDWHG LQ WKH HYDOXDWLRQ RI WKH PRGHO DQG D VXPPDU\ RI WKHLU SURIHVVLRQDO EDFNJURXQGV 'U (GZDUG 6WDVKHII 3URIHVVRU (PHULWXV 8QLYHUVLW\ RI 0LFKLJDQ (GXFDWLRQDO &RQVXOWDQW WR &%679 1HZ
PAGE 78

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

PAGE 79

67$6+())7KH PRGHO ZRXOG QRW EH RI PXFK DVVLVWDQFH WR PH ,Q DOO IDLUQHVV WR 0U 0RUULV VKRXOG SRLQW RXW WKDW KDYH EHHQ LQYROYHG LQ HLWKHU (GXFDWLRQDO RU ,QVWUXFWLRQDO 79 VLQFH 7KHUHIRUH DOPRVW HYHU\WKLQJ LQ WKH PRGHO LV VRPHWKLQJ ZRXOG XVH LQVWLQFWLYHO\ RU KDELWXDOO\ ZLWK WKH H[FHSWLRQ RI 6HFWLRQ } DERXW ZKLFK KDYH PRUH WR VD\ EHORZ $UH WKHUH DQ\ SDUWV RI WKH PRGHO \RX ILQG PRUH XVHIXO WKDQ RWKHUV" 3OHDVH H[SODLQ -2+16217KH PRGHO LV PRVW XVHIXO ZKHQ DV RQ SDJH }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

PAGE 80

LQ UHJDUG WR UHOHYDQFHf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
PAGE 81

WR EH D PRGHO IRU SURGXFLQJ D WHOHFRXUVH ZKLFK DSSHDUV WR EH PRVW HIIHFWLYH LQ WUDQVODWLQJ OHFWXUH WR VFUHHQ ZKLFK LV SRVVLEO\ QRW WKH PRVW SHUWLQHQW XVH RI YLGHR 7KH VHJPHQWV WKHPVHOYHV VHHP WR IROORZ D OHFWXUH PRGH UDWKHU WKDQ WDNLQJ DGYDQWDJH RI YLGHRnV DELOLW\ WR SURGXFH QRQOLQHDU LQVWUXFWLRQDO SDWWHUQV ZKLFK PD\ EH PRUH HIIHFWLYH WKDQ RWKHU SUHVHQWDWLRQ PRGHV
PAGE 82

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nW OLPLW WKH JHQHULF XVHIXOQHVV RI WKH PRGHO +H ZRQGHUHG LI DOO SURGXFWLRQV ZRXOG EHQHILW IURP WKHVH DSSURDFKHV )LQDOO\ -RKQVRQ IHOW WKDW YLGHR DQG WKHDWULFDO SURFHVVHV DV VXJJHVWHG E\ WKH 3,79 PRGHOf§LH VXSHULPSRVLWLRQV VORZPRWLRQ VFHQHULRVDUH JUHDW EXW DQ\ RQH SURFHVV VKRXOG QRW EH RYHU XVHG $OWKRXJK WKH\ H[SUHVVHG VRPH VXSSRUW RYHUDOO WKH ILYH HYDOXDWRUV VHHPHG WR H[SUHVV VRPH VWURQJ UHVHUYDWLRQV UHJDUGLQJ WKH XVHIXOQHVV RI WKH 3,79 PRGHO $OO WKRVH ZKR HYDOXDWHG WKH PRGHO IHOW WKDW LW ZDV PRUH DSSURSULDWH IRU EHJLQQLQJ SURGXFHUV WKDQ IRU WKHP ,QGLFDWLRQV E\ WKH HYDOXDWRUV WKDW WKH XVH RI YLVXDO DQG DXUDO HIIHFWV YDU\LQJ FDPHUD DQJOHV HWF ZHUH HOHPHQWDU\ VXSSRUWV WKLV

PAGE 83

FRQWHQWLRQ )LQDOO\ WKH UHYLHZHUV VHHPHG WR LQGLFDWH WKDW WKH PRGHO ZRXOG EH RI JUHDWHU XVH WR WKHP ZLWK PRUH DGHTXDWH GHVFULSWLRQV LQ DOO WKUHH VHJPHQWV

PAGE 84

&+$37(5 48$17,7$7,9( $1' 48$/,7$7,9( ),1',1*6 7KH UHVXOWV UHSRUWHG LQ WKLV FKDSWHU KDYH EHHQ RUJDQL]HG LQWR WZR FDWHJRULHV TXDQWLWDWLYH DQG TXDOLWDWLYH 7KLV LV GHVFULSWLYH RI WKHLU QDWXUH 4XDQWLWDWLYH DQDO\VLV UHODWHG WR WKH WZR K\SRWKHVHV FRQVLVWHG RI D FRPSDULVRQ RI DFKLHYHPHQW VFRUH GLIIHUHQFHV EHWZHHQ RQH FRQWURO DQG WZR WUHDWPHQW JURXSV 4XDOLWDWLYH GDWD ZHUH GHULYHG IURP D IRFXV JURXS DQDO\VLV RI WKH FRQWURO DQG WUHDWPHQW WDSHV 2QH UHVHDUFK TXHVWLRQ QXPEHU WZRf ZDV IRUPXODWHG IRU D TXDOLWDWLYH DQDO\VLV RI WKH YLGHRWDSHV IURP WKH H[SHULPHQW E\ 0RUULV f DQG WKH PRGHO 7KLV ZDV WKH IRFXV JURXS SRUWLRQ RI WKH VWXG\ DQG ZDV XVHG DV D IRUPDWLYH HYDOXDWLRQ DQG OHG WR WKH FRQVWUXFWLRQ RI WKH WUHDWPHQW WDSH WZR 7KH TXDOLWDWLYH UHVXOWV ZKLFK FDQ EH IRXQG LQ WKH ILUVW VHFWLRQ RI WKLV FKDSWHU ZHUH UHFRUGHG DQG DQDO\]HG XVLQJ WKH IDFLOLWLHV RI WKH &ROOHJH RI -RXUQDOLVP DQG &RPPXQLFDWLRQV DW WKH 8QLYHUVLW\ RI )ORULGD 7KH IDFLOLWLHV LQFOXGHG DXGLR DQG YLGHR UHFRUGLQJ HTXLSPHQW DQG D FRQIHUHQFH URRP ZLWK D WZRZD\ PLUURU 7ZR UHVHDUFK K\SRWKHVHV DQG f GHDOW ZLWK DFKLHYHPHQW VFRUH GLIIHUHQFHV RQ WKH SRVWWHVW EHWZHHQ VWXGHQWV ZKR YLHZHG WKH WUHDWPHQW DQG FRQWURO

PAGE 85

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f YLGHRWDSH DQG WKH FRQWURO QRQPRGHOGHYHORSHGf YLGHRWDSH XVHG LQ WKH H[SHULPHQW E\ 0RUULV f 2QH JURXS FRQVLVWHG RI ILYH XQGHUJUDGXDWH VWXGHQWV ZKR KDG WDNHQ (FRQRPLFV 3ULQFLSOHVf DQG WKH RWKHU JURXS FRQVLVWHG RI ILYH VWXGHQWV ZKR KDG QRW WDNHQ (FRQRPLFV 7KH WZR IRFXV JURXSV ZHUH DVNHG WR YLHZ WKH FRQWURO QRQPRGHOGHYHORSHGf DQG WKH WUHDWPHQW PRGHOGHYHORSHGf

PAGE 86

YLGHRWDSHV IURP WKH H[SHULPHQW E\ 0RUULV f DQG WR GLVFXVV WKHP 7KH IRFXV JURXSV ZHUH KHOG IURP WR SP -DQXDU\ UG DQG WK }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f VFHQHV ZLWK SRSLQ DQLPDWLRQ Ef VFHQHV ZLWK KLJKOLJKWLQJ DQG Ff VFHQHV IURP WKH WKUHHPLQXWH VFHQDULR 4XHVWLRQV RQH WKURXJK ILIWHHQ EDFNJURXQG LQIRUPDWLRQ 7KH VWXGHQWV SDUWLFLSDWLQJ LQ ERWK RI WKH IRFXV JURXSV ZHUH EHWZHHQ WKH DJHV RI DQG ZLWK DQ DYHUDJH DJH RI

PAGE 87

7KH JURXS ZKR KDG QRW WDNHQ 3ULQFLSOHV RI (FRQRPLFV KHUHDIWHU UHIHUUHG WR DV WKH QRQ JURXS FRQVLVWHG RI WKUHH IHPDOHV DQG WZR PDOHV 7ZR RI WKHVH VWXGHQWV SODQQHG WR WDNH HLWKHU EHFDXVH LW ZDV UHTXLUHG RU EHFDXVH WKH\ WKRXJKW LW ZDV DQ LPSRUWDQW FRXUVH 7KUHH RI WKH VWXGHQWV KDG QR SODQV WR WDNH 7KH JURXS ZKR KDG WDNHQ b 3ULQFLSOHV RI (FRQRPLFV KHUHDIWHU UHIHUUHG WR DV WKH JURXS FRQVLVWHG RI WZR PDOHV DQG WKUHH IHPDOHV $OO RI WKHVH VWXGHQWV WRRN EHFDXVH LW ZDV UHTXLUHG 7KH FODVV UDQNLQJV IRU ERWK JURXSV ZHUH KHWHURJHQHRXV UHSUHVHQWLQJ DOO IRXU RI WKH XQGHUJUDGXDWH OHYHOV 7KH JUDGH SRLQW DYHUDJHV RI WKH QRQ JURXS ZHUH HYHQO\ GLVWULEXWHG EHWZHHQ DQG r 7KH JURXS DYHUDJHV ZHUH KLJKHU UDQJLQJ IURP WR rr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

PAGE 88

KRXUV ZDWFKLQJ WHOHYLVLRQ LQ FROOHJH FODVVURRPV $OO RI WKH VWXGHQW SDUWLFLSDQWV WKRXJKW D FROOHJH HGXFDWLRQ ZDV LPSRUWDQW ZLWK PRVW EHOLHYLQJ LW ZDV YHU\ LPSRUWDQW RU HVVHQWLDO IRU REWDLQLQJ VNLOOV WR HQWHU WKH MRE PDUNHW 'HVFULSWLRQV RI FROOHJH WHDFKLQJ WRGD\ UDQJHG IURP URXWLQH WR JRRG 2WKHU WHUPV XVHG ZHUH LQFRQVLVWHQW DGHTXDWH DQG LQVHQVLWLYH 7KUHH VWXGHQWV IHOW WKDW FROOHJH WHDFKHUV ZHUH JHQHUDOO\ KHOSIXO 7ZR VWXGHQWV IHOW WKDW PDQ\ WHDFKHUV ODFNHG HIIHFWLYH WHDFKLQJ PHWKRGV 0RVW RI WKH VWXGHQWV ZHUH QRW LQ IDYRU RI XVLQJ WHOHYLVLRQ WR GHOLYHU WKH PDMRULW\ RI WKHLU FODVVURRP LQVWUXFWLRQ 7KH\ IHOW WKDW WHOHYLVLRQ ZDV LPSHUVRQDO ERULQJ DQG XQPRWLYDWLQJ 6WXGHQWV VDLG WKH\ IRXQG LW KDUG WR SD\ DWWHQWLRQ WR WHOHFRXUVHV DQG WKH\ IHOW DV WKRXJK WKH\ ZHUH QRW JHWWLQJ ZKDWn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

PAGE 89

4XHVWLRQ 6L[WHHQ :KDW DUH \RXU RSLQLRQV DERXW WKH YLGHRWDSH \RX KDYH MXVW VHHQ" %RWK WKH JURXS DQG WKH QRQ JURXS FKDUDFWHUL]HG WKH FRQWURO WDSH DV ERULQJ ZLWK SRRU YLGHR TXDOLW\ 6HYHUDO DOVR H[SUHVVHG GLIILFXOW\ LQ UHDGLQJ WKH FKDONERDUG %RWK JURXSV IRXQG WKH WUHDWPHQW WDSH HDVLHU WR VHH DQG IROORZ 7KH JURXS VDLG WKH\ OLNHG WKH WUHDWPHQW WDSH WKRXJKW WKH\ UHPHPEHUHG PRUH IURP LW DQG IHOW WKDW WKH YLHZLQJ WLPH SDVVHG IDVWHU 7KH QRQ JURXS FDOOHG WKH WUHDWPHQW WDSH D YDVW LPSURYHPHQW DQG QRWHG WKDW LW ZDV HDVLHU WR IROORZ 3DUWLFLSDQWV LQ ERWK JURXSV WKRXJKW WKH LQVWUXFWRU ZDV JRRG EXW KDUG WR IROORZ LQ WKH FRQWURO WDSH 7KH JURXS IHOW WKDW WKH WUHDWPHQW WDSH LPSURYHG WKH LQVWUXFWRUn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

PAGE 90

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

PAGE 91

WKH ER[HV EXW HOLPLQDWLQJ WKH IODVKLQJ 0RUHRYHU RQH SDUWLFLSDQW WKRXJKW WKDW WKH DUURZV ZHUH KHOSIXO IRU LGHQWLI\LQJ VSHFLILF LWHPV RQ WKH VFUHHQ SDUWLFXODUO\ RQ JUDSKV +H IHOW KRZHYHU WKDW WKH DUURZV VKRXOG EH VPDOOHU 7KH JURXS DSSUHFLDWHG WHOHYLVLRQf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

PAGE 92

SDUWLFLSDQWV DSSHDUHG PRUH H[KDXVWHG DQG OLVWOHVV DIWHU WKH FRQWURO WDSH WKDQ DIWHU WKH WUHDWPHQW WDSH $OWKRXJK QRW JLYLQJ WKH DSSHDUDQFH RI H[FLWHPHQW WKH VWXGHQWV GLG VHHP PRUH DOHUW DIWHU YLHZLQJ WKH WUHDWPHQW WDSH 4XHVWLRQ (LJKWHHQ +RZ GRHV WKLV SUHVHQWDWLRQ FRPSDUH WR RWKHU WHOHFRXUVHV \RX KDYH KDG" 2QO\ RQH SHUVRQ LQ WKH QRQ JURXS KDG WDNHQ D WHOHFRXUVH 7KDW SHUVRQ WKRXJKW WKDW WKH LQVWUXFWRU LQ WKH FRQWURO WDSH PDGH WKLV WHOHFRXUVH EHWWHU WKDQ PRVW 7KDW VDPH SHUVRQ WKRXJKW WKDW WKH WUHDWPHQW WDSH ZDV D YDVW LPSURYHPHQW RYHU DOO RWKHU WHOHFRXUVHV HQFRXQWHUHG 7KH JURXS VDLG WKDW VRPH WHOHFRXUVHV ZHUH EHWWHU EHFDXVH WKH\ RIWHQ LQFOXGHG JXHVW VSHDNHUV 7KH JURXS IHOW WKDW PDQ\ WHOHFRXUVHV KRZHYHU ZHUH ZRUVH WKDQ WKLV RQH EHFDXVH WKH ZULWLQJ RQ FKDONERDUG ZDV RIWHQ PRUH GLIILFXOW WR VHH 7KH JURXS IHOW WKDW WKH WUHDWPHQW WDSH ZDV VXFK DQ LPSURYHPHQW RYHU WKH FRQWURO WDSH WKDW WKH\ LQTXLUHG LI DOO WHOHFRXUVHV FRXOG EH TXLFNO\ PRGLILHG DIWHU HDFK OHFWXUH WR ORRN OLNH WKH WUHDWPHQW WDSH 7KH JURXS DOVR UHSRUWHG WKDW WKH FDPHUD LQ RWKHU VHFWLRQV RI WKLV FRXUVH RIWHQ IDLOHG WR IROORZ WKH VXEMHFW EHLQJ GLVFXVVHG 7KH FDPHUD RIWHQ VKRZHG VKRWV RI WKH DXGLHQFH 7KHVH VKRWV ZHUH FDOOHG D GLVWUDFWLRQ QRW D EUHDN LQ WKH DFWLRQ 7ZR SDUWLFLSDQWV VDLG WKDW WKH\ KDG D SUREOHP LQ SD\LQJ DWWHQWLRQ DW DOO WHOHFRXUVH SOD\EDFNV

PAGE 93

7KH\ LQGLFDWHG WKDW GLVUXSWLRQV DW WKH SOD\EDFN VLWHV PDGH LW GLIILFXOW WR ZDWFK WKH WHOHYLVLRQ 4XHVWLRQ 1LQHWHHQ +RZ FRXOG WKLV WDSH EH LPSURYHG" 7KH VWXGHQWV LQ WKH QRQ JURXS JDYH WKH IROORZLQJ VXJJHVWLRQV IRU LPSURYLQJ WKH FRQWURO WDSH Df XVH D GLIIHUHQW FRORUHG FKDONERDUG Ef XVH PRUH FRORU IRU FODULW\ DQG Ff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nV OHFWXUH

PAGE 94

4XHVWLRQ WZHQW\ :KDW ZDV WKH PRVW LPSRUWDQW WKLQJ \RX OHDUQHG IURP WKLV FODVV VHJPHQW" $IWHU YLHZLQJ WKH WUHDWPHQW WDSH WZR PHPEHUV RI WKH QRQ JURXS VDLG WKH\ OHDUQHG DERXW FRQVXPSWLRQ LQFRPH DQG VDYLQJV 2QH SHUVRQ LQGLFDWHG WKDW KH GLG QRW OHDUQ PXFK $QRWKHU VDLG WKDW ERUHGRP FDXVHG KHU WR ORVH FRQFHQWUDWLRQ $IWHU YLHZLQJ WKH WUHDWPHQW WDSH RQH JURXS PHPEHU VDLG KH OHDUQHG PRUH DERXW WKH UHODWLRQVKLS RI WKH JUDSKV WR UHDOOLIH VLWXDWLRQV $QRWKHU SDUWLFLSDQW VDLG VKH XQGHUVWRRG WKH UHODWLRQVKLS RI FRQVXPSWLRQ WR LQFRPH DQG DQRWKHU VDLG VKH XQGHUVWRRG WKRVH IDFWRUV RWKHU WKDQ LQFRPH WKDW RIWHQ DIIHFW FRQVXPSWLRQ 7KH JURXS PHPEHUV LQGLFDWHG WKDW WKH\ OHDUQHG D OLWWOH PRUH DERXW YDULRXV HFRPRPLFV FRQVXPSWLRQ IDFWRUV DIWHU YLHZLQJ WKH FRQWURO WDSH EXW WKDW WKLV VXEMHFW UHPDLQHG YDJXH WR WKHP 2QH SDUWLFLSDQW DGPLWWHG WR EHLQJ FRQIXVHG DQG DQRWKHU VDLG WKDW WKH FHQWUDO PHVVDJH FRXOG KDYH EHHQ FOHDUHU $IWHU YLHZLQJ WKH WUHDWPHQW WDSH WZR SDUWLFLSDQWV H[SUHVVHG DQ XQGHUVWDQGLQJ RI VKLIWV LQ YHUVXV PRYHPHQW DORQJ WKH FRQVXPSWLRQ IXQFWLRQ 7ZR RWKHUV GLVFXVVHG WKH HIIHFW RI DWWLWXGHV RQ FRQVXPSWLRQ DQG VDLG LW KDG EHFRPH PXFK HDVLHU WR XQGHUVWDQG 7ZR SDUWLFLSDQWV VDLG WKDW WKH\ XQGHUVWRRG KRZ WKH 03& ZDV FDOFXODWHG 2QH SDUWLFLSDQW FRXOG UHFDOO WKH QXPEHUV WKDW ZHUH VHOHFWHG IURP D WDEOH DQG XVHG LQ D IRUPXOD $ SRUWLRQ

PAGE 95

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f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f RU EODFN QRQPRGHOGHYHORSHGf EDFNJURXQG" 1RQH RI WKH SDUWLFLSDQWV LQ HLWKHU JURXS FRPPHQWHG RQ WKH FRQWURO WDSH ,Q WKH QRQ JURXS RQH VWXGHQW H[SUHVVHG DQ DSSUHFLDWLRQ IRU WKH WUHDWPHQW WDSH EXW

PAGE 96

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f VFHQHV ZLWK SRSLQ DQLPDWLRQ Ef VFHQHV ZLWK KLJKOLJKWLQJ DQG Ff VFHQHV IURP WKH WKUHHPLQXWH VFHQDULR 4XHVWLRQ WZHQW\WKUHH :KDW GLG \RX QRWLFH DERXW WKLV VHJPHQW RI WKH YLGHRWDSH" Df $ERXW WKH VHJPHQW ZLWK SRSLQ DQLPDWLRQ WKH QRQ JURXS VDLG WKH HIIHFW PDGH WKH VXEMHFW HDVLHU WR IROORZ 7KLV SURFHVV ZDV FRQVLGHUHG SUHIHUDEOH WR ZULWLQJ RQ WKH ERDUG EHFDXVH WKLV HIIHFW

PAGE 97

SHUPLWWHG WKH HQWLUH ZRUG RU VXEMHFW WR DSSHDU DW RQFH 7KH JURXS VDLG WKDW WKH SRSLQ HIIHFW SURGXFHG WKH YLVXDO DV WKH LQVWUXFWRU WDONHG DERXW LW DQG WKHUHIRUH OHG WKH OHDUQHU WKURXJK WKH VXEMHFW PDWWHU 7ZR SDUWLFLSDQWV WKRXJKW WKH SRSLQ DQLPDWLRQ ZDV SUHIHUDEOH WR ZULWLQJ RQ WKH ERDUG EHFDXVH WKH LQVWUXFWRU RU WKH LQVWUXFWRUnV KDQG RIWHQ EORFNHG WKH ZULWLQJ 2QH SDUWLFLSDQW VDLG WKDW WKLV ZDV DQ HVVHQWLDO SDUW RI WKH WUHDWPHQW WDSH Ef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f 7KH SHUVRQ LQ WKH QRQ JURXS ZKR KDG EHHQ FULWLFDO RI WKH HQWHUWDLQPHQW DVSHFW RI WKLV VHJPHQW RI WKH WUHDWPHQW WDSH GLG QRW FRPPHQW EXW FRXOG EH VHHQ LQ WKH YLGHRWDSH RI WKH JURXS VHVVLRQ VKDNLQJ KLV KHDG LQ GLVDSSURYDO $OO RWKHUV DSSHDUHG WR EH ZDWFKLQJ LQWHQWO\

PAGE 98

DQG VRPH ZHUH PRYLQJ WR WKH PXVLF 7KUHH RI WKH VWXGHQWV H[SUHVVHG WKHLU DSSURYDO RI WKH VFHQDULR 7KH RWKHU SDUWLFLSDQW H[SUHVVHG VWURQJ GLVDSSURYDO IRFXVLQJ RQ WKH VFHQH DW WKH FKHFNRXW FRXQWHU $Q DUJXPHQW HQVXHG DV WKH RWKHU SDUWLFLSDQWV DWWHPSWHG WR H[SODLQ WKH YDOXH RI WKH PXVLFGUDPD LQ WKH VFHQDULR 2QH SDUWLFLSDQW VDLG WKDW WKH PXVLF DLGHG LQ UHFDOOLQJ WKH FRQFHSWV $QRWKHU GLVFXVVHG KRZ WKH JUDSKV DEVWUDFW H[DPSOHVf ZHUH UHODWHG LQ WKH WDSH WR UHDO OLIH FRQFUHWH H[DPSOHVf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f 7KH RQO\ LPSURYHPHQW VXJJHVWHG E\ WKH QRQ JURXS LQ WKLV VHJPHQW ZDV D PRUH XQLIRUP OHWWHU \ ,Q WKH JURXS RQH SDUWLFLSDQW DJUHHG WKDW WKH FKDUDFWHUV FRXOG EH LPSURYHG

PAGE 99

2QH RWKHU SDUWLFLSDQW KRZHYHU GLVDJUHHG $QRWKHU SDUWLFLSDQW VXJJHVWHG WKDW D ]HUR EH SODFHG LQ IURQW RI WKH GHFLPDO SRLQW WR DYRLG FRQIXVLRQ ZKHQ UHDGLQJ IURP D GLVWDQFH Ef ,Q WKH KLJKOLJKWLQJ VHJPHQW RQH SDUWLFLSDQW VXJJHVWHG UHPRYLQJ WKH PDWHULDO QRW EHLQJ KLJKOLJKWHG WR VDYH WKH QHHG IRU KLJKOLJKWLQJ 2WKHUV KRZHYHU VXJJHVWHG QR FKDQJHV EH PDGH LQ WKH SURFHGXUH 2QH SDUWLFLSDQW LQ WKH JURXS UHSHDWHG DQ HDUOLHU VXJJHVWLRQ RI UHGXFLQJ WKH VL]H RI WKH KLJKOLJKWLQJ ER[ Ff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

PAGE 100

FRPSDULVRQ RI VWXGHQW DFKLHYHPHQW VFRUHV EHWZHHQ VWXGHQWV ZKR YLHZHG WUHDWPHQW RQH DQG VWXGHQWV ZKR YLHZHG WKH FRQWURO WDSH +\SRWKHVLV 7KHUH ZLOO EH QR GLIIHUHQFHV LQ VWXGHQW DFKLHYHPHQW EHWZHHQ VWXGHQWV ZKR YLHZ PRGHOGHYHORSHG WHOHYLVHG LQVWUXFWLRQ DQG VWXGHQWV ZKR YLHZ QRQPRGHOGHYHORSHG WHOHYLVHG LQVWUXFWLRQ 7KH VHFRQG K\SRWKHVLV ZDV GHYHORSHG IURP WKH GDWD SURYLGHG E\ WKH IRFXV JURXS DQDO\VLV RI WKH WUHDWPHQW WDSH 7KH VWURQJ FULWLFLVP RI WKH WUHDWPHQW WDSH FDPH IURP D IRFXV JURXS SDUWLFLSDQW ZKR REMHFWHG WR WKH PXVLFGUDPD XVHG LQ WKH VFHQDULR DV DQ XQQHFHVVDU\ GLVWUDFWLRQ $IWHU GLVFXVVLQJ WKLV ILQGLQJ ZLWK 'U 'DYLG 'HQVORZ WKH LQVWUXFWRU LQ WKH FRXUVH ZKR LQGLFDWHG WKDW KH KDG UHFHLYHG VLPLODU FRPSODLQWV DIWHU WKH 0RUULV f H[SHULPHQW WKH LQYHVWLJDWRU GHFLGHG WR HOLPLQDWH WKH SURGXFWLRQ WHFKQLTXH PXVLFGUDPD IURP WUHDWPHQW WDSH WZR DQG WR PHDVXUH WKH UHVXOWV RI VWXGHQW DFKLHYHPHQW IRU WUHDWPHQW WDSH WZR DJDLQVW WUHDWPHQW WDSH RQH DQG WKH FRQWURO WDSH +\SRWKHVLV 7KHUH ZLOO EH QR GLIIHUHQFHV LQ VWXGHQW DFKLHYHPHQW EHWZHHQ VWXGHQWV ZKR YLHZ PRGHOGHYHORSHG WHOHYLVHG LQVWUXFWLRQ DQG VWXGHQWV ZKR YLHZ PRGHOGHYHORSHG WHOHYLVHG LQVWUXFWLRQ ZLWK D VHOHFWHG SURGXFWLRQ WHFKQLTXH GHOHWHG

PAGE 101

7ZR PHDVXUHV RI DFKLHYHPHQW D SUH DQG SRVWWHVW RI VWXGHQW UHVSRQVHV ZHUH DQDO\]HG IRU VLJQLILFDQW GLIIHUHQFHV 7KH UHVXOWV ZHUH RUJDQL]HG LQWR WKH IROORZLQJ FDWHJRULHV Df FXPXODWLYH UHVXOWV RQ WKH RYHUDOO SRVWWHVW 7RWDOf DQG EfFXPXODWLYH UHVXOWV RYHU WKUHH TXHVWLRQV RQ WKH SRVWWHVW PHDVXULQJ XQGHUVWDQGLQJ DQG DSSOLFDWLRQ RI WKH &RQVXPSWLRQ )XQFWLRQ 6FRUHf 7KLV VHFRQG DQDO\VLV LQYROYHG WHVW TXHVWLRQV WKDW FRYHUHG WKH SRUWLRQ RI ERWK WUHDWPHQW WDSH RQH DQG WUHDWPHQW WDSH WZR WKDW LQFRUSRUDWHG WKH KLJKHVW SURGXFWLRQ YDOXHV DQG WKH SRUWLRQ ZKHUH WKH PXVLFGUDPD RFFXUUHG 7KLV SRUWLRQ RI ERWK WUHDWPHQW WDSH RQH DQG WUHDWPHQW WDSH WZR ZDV GHYHORSHG IURP WKH 5HOHYDQFH ,OOXVWUDWHG VHJPHQW RI WKH 3,7< 0RGHO 7DEOH UHSRUWV WKH GHVFULSWLYH VWDWLVWLFVJURXS VL]HV RYHUDOO PHDQV DQG VWDQGDUG GHYLDWLRQRQ WKH FRYDULDWH SUHWHVWf DQG GHSHQGHQW YDULDEOH SRVWWHVWf IRU WKH WKUHH JURXSV 7KH FRQWURO JURXS LV JURXS H[SHULPHQWDO WUHDWPHQW JURXS RQH ZLWK PXVLFGUDPDf LV JURXS DQG H[SHULPHQWDO WUHDWPHQW JURXS WZR ZLWKRXW PXVLFGUDPDf LV JURXS }

PAGE 102

7$%/( 'HVFULSWLYH 6WDWLVWLFV IRU 3UHWHVW DQG 3RVWWHVW 6FRUHV %\ 6WXG\ *URXS &RYDULDWH 7RWDO 6FRUH *URXS Q 0 6' 0 6' 0 6' 9LVXDO LQVSHFWLRQ RI 7DEOH UHVXOWHG LQ WKH FRQFOXVLRQ WKDW WKH PHDQV IRU DOO WKUHH VWXGHQW JURXSV ZHUH QRW VXEVWDQWLDOO\ GLIIHUHQW RQ WKH FRYDULDWH LQGLFDWLQJ WKDW DQ\ EHWZHHQ JURXS GLIIHUHQFHV RQ WKH SRVWWHVW FRXOG QRW EH DWWULEXWHG WR EHWZHHQ JURXS GLIIHUHQFHV RQ WKH SUHWHVW :LWK UHVSHFW WR WKH JURXSVn 7RWDO WHVW VFRUHV FRQWURO JURXS KDG D ORZHU PHDQ VFRUH f WKDQ WKH H[SHULPHQWDO JURXSV f DQG rf ZKLFK KDG DSSUR[LPDWHO\ HTXDO PHDQV VFRUHV :LWK UHVSHFW WR WKH JURXSVn 6FRUH FRQWURO JURXS KDG D ORZHU PHDQ VFRUH ,f WKDQ WKH H[SHULPHQWDO JURXSV f DQG rf ZKLFK KDG DSSUR[LPDWHO\ HTXDO PHDQV VFRUHV 7KH DQDO\VLV RI FRYDULDQFH $1&29$f ZDV DQDO\]HG WR GHWHUPLQH WKH VLJQLILFDQFH RI WKHVH PHDQ GLIIHUHQFHV DQG WKH UHVXOWV ZHUH UHSRUWHG LQ 7DEOHV DQG

PAGE 103

7KH GDWD ZHUH DQDO\]HG XVLQJ $1&29$ ZLWK D SUHWHVW DV D FRYDULDWH $V D SUHOLPLQDU\ VWHS WKH KRPRJHQHLW\ RI VORSH DVVXPSWLRQ ZDV WHVWHG 7KH WHVW ZDV QRW VLJQLILFDQW IRU 7RWDO )f 3! RU IRU 6FRUH )f 3! 7DEOH SUHVHQWV D VXPPDU\ RI WKH $1&29$ IRU 7RWDO WHVW VFRUHV 7KLV DQDO\VLV ZDV FRQGXFWHG DV D WHVW RI +\SRWKHVLV 7KHUH ZLOO EH QR GLIIHUHQFHV LQ VWXGHQW DFKLHYHPHQW EHWZHHQ VWXGHQWV ZKR YLHZ PRGHOGHYHORSHG WHOHYLVHG LQVWUXFWLRQ DQG VWXGHQWV ZKR YLHZ QRQPRGHOGHYHORSHG WHOHYLVHG LQVWUXFWLRQ 7$%/( $1&29$ IRU 7RWDO 6RXUFH RI YDULDQFH ') 66 06 ) 7UHDWPHQWV (UURU 7KH UHSRUWHG UHVXOWV LQGLFDWH LQ 7DEOH WKDW WKHUH ZDV D VLJQLILFDQW GLIIHUHQFH DPRQJ WKH WKUHH JURXSV RQ WKH RYHUDOO SRVWWHVW 7RWDOf S! :LWK D FRQILGHQFH OHYHO RI K\SRWKHVLV ZDV QRW DFFHSWHG 7KHUHIRUH RQH RU PRUH RI WKH JURXSV KDG WHVW VFRUHV WKDW ZHUH VLJQLILFDQWO\ GLIIHUHQW IURP DQRWKHU RU RWKHUV 7R GHWHUPLQH ZKHUH WKH VLJQLILFDQW GLIIHUHQFHV H[LVWHG SDLUZLVH FRPSDULVRQV ZHUH

PAGE 104

PDGH 7KH UHVXOWV RI WKHVH SDLUZLVH FRPSDULVRQV DUH UHSRUWHG LQ 7DEOH 7DEOH SUHVHQWV D VXPPDU\ RI WKH $1&29$ IRU 6FRUH 7KLV DQDO\VLV ZDV FRQGXFWHG DV D WHVW RI +\SRWKHVLV 7KHUH ZLOO EH QR GLIIHUHQFHV LQ VWXGHQW DFKLHYHPHQW EHWZHHQ VWXGHQWV ZKR YLHZ PRGHOGHYHORSHG WHOHYLVHG LQVWUXFWLRQ DQG VWXGHQWV ZKR YLHZ PRGHOGHYHORSHG WHOHYLVHG LQVWUXFWLRQ ZLWK D VHOHFWHG SURGXFWLRQ WHFKQLTXH GHOHWHG 7$%/( $1&29$ IRU 6FRUH 6RXUFH RI YDULDQFH ') VV 06 ) S 7UHDWPHQWV 0% (UURU 21 2 7KH UHVXOWV UHSRUWHG 7DEOH LQGLFDWH WKDW WKHUH ZDV D VLJQLILFDQW GLIIHUHQFH DPRQJ WKH WKUHH JURXSV RQ WKH WKUHH LWHPV LQ 6FRUH MR r :LWK D FRQILGHQFH OHYHO RI K\SRWKHVLV ZDV QRW DFFHSWHG 7KHUHIRUH RQH RU PRUH RI WKH JURXSV KDG WHVW VFRUHV WKDW ZHUH VLJQLILFDQWO\ GLIIHUHQW IURP DQRWKHU RU RWKHUV 7R GHWHUPLQH ZKHUH WKH VLJQLILFDQW GLIIHUHQFHV H[LVWHG SDLUZLVH FRPSDULVRQV ZHUH PDGH DQG UHSRUWHG LQ 7DEOH } 7DEOH UHSRUWV WKH UHVXOWV RI WKH SDLUZLVH FRPSDULVRQ IRU WKH VWXGHQWVn 7RWDO VFRUHV DQG LV UHODWHG WR

PAGE 105

+\SRWKHVLV 7KLV FRPSDULVRQ ZDV PDGH WR GHWHUPLQH ZKLFK WDSH WUHDWPHQW WDSH RQH WUHDWPHQW WDSH WZR RU WKH FRQWURO WDSH SURGXFHG KLJKHU VWXGHQW DFKLHYHPHQW RQ WKH RYHUDOO SRVWWHVW 7$%/( 3DLUZLVH FRPSDULVRQV IRU 7RWDO *URXS 0HDQ 'LIIHUHQFH 5 YV YV O" YV 7KH SDLUZLVH FRPSDULVRQV LQGLFDWHG WKDW H[SHULPHQWDO JURXS ZKLFK YLHZHG WUHDWPHQW RQH ZLWK PXVLFGUDPDf DQG H[SHULPHQWDO JURXS m ZKLFK YLHZHG WUHDWPHQW WDSH WZR ZLWKRXW PXVLFGUDPDf KDYH VLJQLILFDQWO\ GLIIHUHQW UHVXOWV RQ WKH RYHUDOO SRVWWHVW 7RWDOf IURP FRQWURO JURXS S DQG S f EXW QRW IURP HDFK RWKHU 2YHUDOO ERWK WUHDWPHQWV DSSHDU WR KDYH EHHQ HTXDOO\ HIIHFWLYH DQG ERWK DSSHDU WR KDYH EHHQ PRUH HIIHFWLYH LQ SURGXFLQJ VWXGHQW DFKLHYHPHQW WKDQ WKH FRQWURO WDSH 7DEOH UHSRUWV WKH UHVXOWV RI WKH SDLUZLVH FRPSDULVRQ IRU 6FRUH DQG LV UHODWHG WR +\SRWKHVLV 7KLV FRPSDULVRQ ZDV PDGH WR GHWHUPLQH ZKLFK YLGHRWDSH SURGXFHG KLJKHU VWXGHQW DFKLHYHPHQW

PAGE 106

7$%/( 3DLUZLVH FRPSDULVRQV IRU 6FRUH *URXS 0HDQ 'LIIHUHQFH e YV YV YV )RU WKH WKUHH TXHVWLRQV RQ WKH SRVWWHVW PHDVXULQJ XQGHUVWDQGLQJ DQG DSSOLFDWLRQ RI WKH &RQVXPSWLRQ )XQFWLRQ 6FRUHf DQG UHODWHG WR +\SRWKHVLV RQO\ H[SHULPHQWDO JURXS ZKLFK YLHZHG WUHDWPHQW WDSH RQH ZLWK PXVLFGUDPDf ZDV VLJQLILFDQWO\ GLIIHUHQW IURP WKH FRQWURO JURXS S f ([SHULPHQWDO JURXS } ZKLFK YLHZHG WUHDWPHQW WDSH WZR ZLWKRXW PXVLFGUDPDf ZDV QRW VLJQLILFDQWO\ GLIIHUHQW DW WKH OHYHO IURP WKH FRQWURO JURXS 7KH H[SHULPHQWDO JURXSV ZHUH QRW VLJQLILFDQWO\ GLIIHUHQW IURP HDFK RWKHU 7KH GLIIHUHQFH EHWZHHQ WKH PHDQV IRU H[SHULPHQWDO WUHDWPHQW WDSH RQHf DQG WKH FRQWURO JURXS ZDV RQO\ SRLQWV bf JUHDWHU WKDQ WKH GLIIHUHQFH EHWZHHQ WKH PHDQV IRU H[SHULPHQWDO WUHDWPHQW WDSH WZRf DQG WKH FRQWURO JURXS 6XPPDU\ 7ZR JURXSV RI VWXGHQWV EHWZHHQ WKH DJHV RI DQG ZHUH XVHG WR DQDO\]H WKH WUHDWPHQW PRGHOGHYHORSHGf

PAGE 107

YLGHRWDSH DQG WKH FRQWURO QRQPRGHOGHYHORSHGf YLGHRWDSH IURP WKH H[SHULPHQW E\ 0RUULV f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

PAGE 108

SURGXFWLRQ WHFKQLTXH VHHPHG ZRUWK WHVWLQJ 7KH WHVW ZDV FRQGXFWHG WR GHWHUPLQH LI WKH WUHDWPHQW WDSH XVHG LQ WKH H[SHULPHQW E\ 0RUULV f FRXOG EH IXUWKHU LPSURYHG )XUWKHUPRUH WKH DQVZHU WR UHVHDUFK TXHVWLRQ WZR ZDV \HV VWXGHQW VWXGHQWV ZHUH DEOH WR LGHQWLI\ WHOHYLVLRQ SURGXFWLRQ WHFKQLTXHV WKDW WKH\ IHOW ZHUH KHOSIXO RU WKDW WKH\ IHOW ZHUH GLVWUDFWLQJ 7HVWLQJ RI WKH IRFXV JURXS ILQGLQJ ZDV FRQGXFWHG XVLQJ WKH DQDO\VLV RI YDULDQFH $1&2<$f WZR WUHDWPHQW WDSHV WZR H[SHULPHQWDO JURXSV DQG RQH FRQWURO JURXS 7KH $1&29$ ZDV XVHG WR WHVW WKH K\SRWKHVHV Df 7KHUH ZLOO EH QR GLIIHUHQFHV LQ VWXGHQW DFKLHYHPHQW EHWZHHQ VWXGHQWV ZKR YLHZ PRGHOGHYHORSHG WHOHYLVHG LQVWUXFWLRQ DQG VWXGHQWV ZKR YLHZ QRQPRGHOGHYHORSHG WHOHYLVHG LQVWUXFWLRQ DQG Ef WKHUH ZLOO EH QR GLIIHUHQFHV LQ VWXGHQW DFKLHYHPHQW EHWZHHQ VWXGHQWV ZKR YLHZ PRGHOGHYHORSHG WHOHYLVHG LQVWUXFWLRQ DQG VWXGHQWV ZKR YLHZ PRGHOGHYHORSHG WHOHYLVHG LQVWUXFWLRQ ZLWK D VHOHFWHG SURGXFWLRQ WHFKQLTXH GHOHWHG" 7KH VHOHFWHG SURGXFWLRQ WHFKQLTXH ZDV PXVLF GUDPD 1HLWKHU K\SRWKHVLV ZDV DFFHSWHG ZLWK D e VWDWLVWLF RI DQG UHVSHFWLYO\ $V LQ WKH H[SHULPHQW WKH WUHDWPHQW PRGHO GHYHORSHGf WDSHV VKRZHG LPSURYHG VWXGHQW DFKLHYHPHQW RYHU WKH FRQWURO QRQPRGHOGHYHORSHGf WDSH 6LQFH WUHDWPHQW WDSH RQH VKRZHG LPSURYHG DFKLHYHPHQW RYHU WKH FRQWURO WDSH RQ WKH RYHUDOO SRVWWHVW DV ZHOO DV RQ

PAGE 109

WKH WKUHH TXHVWLRQV RQ WKH SRVWWHVW PHDVXULQJ XQGHUVWDQGLQJ DQG DSSOLFDWLRQ RI WKH &RQVXPSWLRQ )XQFWLRQ WKH UHVXOWV RI WKLV H[SHULPHQW ZHUH EHWWHU WKDQ WKRVH LQ WKH H[SHULPHQW E\ 0RUULV f 7KH SURGXFWLRQ WHFKQLTXH VHOHFWHG E\ WKH IRFXV JURXS DQDO\VLV DQG HOLPLQDWHG IURP WUHDWPHQW JURXS WZR GLG QRW SURYH WR EH GLVWUDFWLQJ RQ WKH FRQWUDU\ LW SURYHG WR EH D VPDOO EXW HVVHQWLDO YDULDEOH ZKHQ FRPELQHG ZLWK RWKHU YDULDEOHV RU WHOHYLVLRQ SURGXFWLRQ WHFKQLTXHV

PAGE 110

&+$37(5 &21&/86,216 ,03/,&$7,216 $1' 5(&200(1'$7,216 ,QWURGXFWLRQ 7KH SXUSRVH RI WKLV VWXG\ ZDV WR DQDO\]H DQG FRPSDUH WKH HIIHFWV RI D VHJPHQW RI WHOHYLVHG LQVWUXFWLRQ ZKLFK DGKHUH WR HOHPHQWV RI D SURGXFHUnV PRGHO WKH 3,7< 0RGHO ZLWK D FDPHUD RI UHFRUG QRQPRGHOGHYHORSHGf VHJPHQW RI WHOHYLVHG LQVWUXFWLRQ LQ D FROOHJH FRXUVH %RWK TXDQWLWDWLYH DQG TXDOLWDWLYH PHWKRGV RI HYDOXDWLRQ ZHUH XVHG WR FRQGXFW WKH DQDO\VHV DQG WR PDNH WKH FRPSDULVRQV 7KH PHWKRGV RI HYDOXDWLRQ ZHUH Df DQ H[SHUW DQDO\VLV RI WKH 3,79 0RGHO Ef D IRFXV JURXS DQDO\VLV RI WKH WUHDWPHQW DQG FRQWURO WDSHV IURP WKH H[SHULPHQW E\ 0RUULV f DQG Ff DQ H[SHULPHQWDO FRPSDULVRQ RI WZR WUHDWPHQW WDSHV GHYHORSHG IURP WKH IRFXV JURXS DQDO\VLV RI WKH WUHDWPHQW WDSH 7KH FRQFOXVLRQV D GLVFXVVLRQ RI WKH LPSOLFDWLRQV DQG WKH UHFRPPHQGDWLRQV WKDW IROORZ DUH DQ RXWJURZWK RI WKHVH DQDO\VHV DQG FRPSDULVRQV &RQFOXVLRQV 0RGHO HYDOXDWLRQ 'LG H[SHUWV ZKR ZHUH DVNHG WR HYDOXDWH D SURGXFHUnV PRGHO ILQG LW XVHIXO IRU SURGXFLQJ WHOHYLVHG LQVWUXFWLRQ" $ TXDOLWDWLYH DQDO\VLV RI WKH 3URGXFHUVn ,QVWUXFWLRQDO 7HOHYLVLRQ 3,79f 0RGHO ZDV FRQGXFWHG XVLQJ D VXUYH\ TXHVWLRQQDLUH $ GHVFULSWLRQ RI WKH 0RGHO WRJHWKHU ZLWK D TXHVWLRQQDLUH ZDV VHQW WR D VHOHFW

PAGE 111

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f RI WKH FRQVXPSWLRQ IXQFWLRQ ZDV SODFHG LQ WKH PLGGOH RI WKH OHFWXUH EHIRUH VRPH RI WKH IDFWV DERXW WKH SURFHVV RI WKH FRQVXPSWLRQ IXQFWLRQ KDG EHHQ SUHVHQWHG $V LQ PDQ\ FODVVURRP SUHVHQWDWLRQV WKLV SODFHPHQW ZDV GHULYHG E\ ZKDW

PAGE 112

DSSHDUHG WR EH ORJLFDO VHTXHQFLQJ $OWKRXJK D GLIILFXOW WDVN WKH SURFHVV RI VHTXHQFLQJ WKH PRGHO VHJPHQWV IRU D WHOHFRXUVH PD\ RIIHU D SUREOHP ZRUWK IXUWKHU VWXG\ )RFXV JURXSV 'RHV LQIRUPDWLRQ DQG IHHGEDFN SURYLGHG E\ D IRFXV JURXS VXJJHVW PHWKRGV E\ ZKLFK PRGHOGHYHORSHG WHOHYLVHG LQVWUXFWLRQ PLJKW EH UHYLVHG DQG IXUWKHU LPSURYHG" $ TXDOLWDWLYH IRFXV JURXS HYDOXDWLRQ ZDV XVHG WR FRPSDUH DQG DQDO\]H WHOHYLVHG LQVWUXFWLRQ WKDW DGKHUHG WR HOHPHQWV RI D SURGXFHUnV PRGHO ZLWK D FDPHUD RI UHFRUG QRQPRGHOGHYHORSHGf SUHVHQWDWLRQ 7ZR JURXSV RI ILYH VWXGHQWV ZHUH DVNHG WR YLHZ D WUHDWPHQW PRGHOGHYHORSHGf YLGHRWDSH DQG FRQWURO QRQPRGHOGHYHORSHGf YLGHRWDSH IURP WKH H[SHULPHQW E\ 0RUULV f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

PAGE 113

RSLQLRQ LQ JHQHUDO RI WKH XVH RI WHOHYLVLRQ LQ WKH FODVVURRP 6HYHUDO VWXGHQWV IRXQG PLQRU HOHPHQWV LQ WKH WUHDWPHQW DSSURDFK WKDW WKH\ ZDQWHG WR VHH FKDQJHG $OO RI WKH VWXGHQWV IRXQG WKH WUHDWPHQW YLGHRWDSH SUHIHUDEOH WR WKH FRQWURO YLGHRWDSH $QG DOWKRXJK PRVW RI WKHP LQGLFDWHG WKDW WKH WUHDWHPQW WDSH ZDV PRUH LQWHUHVWLQJf§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nV FRQWHQW RU WKH DSSURDFK WR WKH FRQWHQW ZRXOG QRW EH FKDQJHG WKLV UHFRPPHQGDWLRQ ZDV FRQVLGHUHG DQ DSSURSULDWH PHWKRG IRU DSSOLFDWLRQ ZKHQ SURGXFLQJ DQ HQWLUH WHOHFRXUVH DQG QRW RQH VHJPHQW 2WKHU VXJJHVWLRQV WKDW DSSHDUHG DSSURSULDWH IRU FRQVLGHUDWLRQ ZKHQ GHYHORSLQJ WKH FRPSOHWH WHOHFRXUVH ZHUH Df PDNH WKH LQVWUXFWRU PRUH YLVLEOH Ef LQLWLDWH EHWWHU FDVWLQJ IRU

PAGE 114

SDUWV LQ VFHQDULRV DQG Ff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f VHFWLRQ ([SHULPHQWDO FRPSDULVRQV +\SRWKHVLV 7KHUH ZLOO EH QR GLIIHUHQFHV LQ VWXGHQW DFKLHYHPHQW EHWZHHQ VWXGHQWV ZKR YLHZ PRGHOGHYHORSHG WHOHYLVHG LQVWUXFWLRQ DQG VWXGHQWV ZKR YLHZ QRQPRGHOGHYHORSHG WHOHYLVHG LQVWUXFWLRQ +\SRWKHVLV 7KHUH ZLOO EH QR GLIIHUHQFHV LQ VWXGHQW DFKLHYHPHQW EHWZHHQ VWXGHQWV ZKR YLHZ PRGHOGHYHORSHG WHOHYLVHG LQVWUXFWLRQ DQG VWXGHQWV ZKR YLHZ PRGHOGHYHORSHG

PAGE 115

WHOHYLVHG LQVWUXFWLRQ ZLWK D VHOHFWHG YDULDEOH GHOHWHG $Q H[SHULPHQWDO GHVLJQ $1&29$f ZDV XVHG WR DQDO\]H DQG FRPSDUH WHVW VFRUHV RI VWXGHQWV ZKR YLHZHG WKUHH GLIIHUHQW YHUVLRQV RI WKH WHOHYLVHG LQVWUXFWLRQ 2QH FODVV VHFWLRQ ZDV VKRZQ WKH FDPHUD RI UHFRUG QRQPRGHOGHYHORSHGf SUHVHQWDWLRQ DQG VHUYHG DV WKH FRQWURO JURXS $QRWKHU VHFWLRQ ZDV VKRZQ WHOHYLVHG LQVWUXFWLRQ WUHDWPHQW WDSH RQH WKDW DGKHUHG WR HOHPHQWV RI WKH 3,79f 0RGHO DQG LQFOXGHG PXVLFGUDPD $ WKLUG VHFWLRQ ZDV VKRZQ WHOHYLVHG LQVWUXFWLRQ WUHDWPHQW WDSH WZR ZKLFK DGKHUHG WR HOHPHQWV RI WKH 3,79 0RGHO EXW H[FOXGHG D SURGXFWLRQ WHFKQLTXH PXVLFGUDPD WKDW WKH IRFXV JURXSV IRXQG WR EH DQ XQQHFHVVDU\ GLVWUDFWLRQ 7KH H[SHULPHQWDO HYDOXDWLRQ VKRZHG WKH PRGHO WR EH DQ HIIHFWLYH PHWKRG RI LPSURYLQJ WHOHFRXUVH YLGHRWDSHV WKHUHIRUH K\SRWKHVLV RQH ZDV QRW DFFHSWHG e f 6WXGHQW WHVW VFRUHV LPSURYHG XS WR ONb PHDQ GLIIHUHQFHVf RYHU D FDPHUD RI UHFRUG SUHVHQWDWLRQ ZKHQ WKH YLGHRWDSH ZDV GHYHORSHG XVLQJ WKH 3,79 0RGHO 7KH H[SHULPHQW DOVR VKRZHG WKDW ZKHQ PXVLFGUDPD ZDV HOLPLQDWHG IURP WKH WUHDWPHQW WDSH WUHDWPHQW WDSH WZRf PHDQ VFRUHV GLPLQLVKHG 7KHUHIRUH K\SRWKHVLV WZR ZDV QRW DFFHSWHG e ff 7KH IRFXV JURXS LQGLFDWHG WKDW WKH PXVLFGUDPD WKDW KDG EHHQ LQFOXGHG LQ WUHDWPHQW WDSH PLJKW KDYH EHHQ XQQHFHVVDU\ DQG GLVWUDFWLQJ $W WKH OHYHO WUHDWPHQW WDSH RQH ZLWK PXVLFGUDPDf KDG

PAGE 116

VLJQLILFDQWO\ EHWWHU PHDQ VFRUHV XS WR b PHDQ GLIIHUHQFHVf WKDQ WKH FRQWURO WDSH RQ WKUHH TXHVWLRQV RQ WKH SRVWWHVW PHDVXULQJ XQGHUVWDQGLQJ DQG DSSOLFDWLRQ RI WKH &RQVXPSWLRQ )XQFWLRQ 2Q WKH VDPH TXHVWLRQV WUHDWPHQW WDSH WZR ZLWKRXW PXVLFGUDPDf ZDV QRW VLJQLILFDQWO\ GLIIHUHQW IURP WKH FRQWURO WDSH 7KH VPDOO GLIIHUHQFH LQ PHDQ VFRUHV WZR SHU FHQW PHDQ GLIIHUHQFH f EHWZHHQ WKH WZR WUHDWPHQWV LQGLFDWHV WKDW WKH PXVLF ZDV DQ LPSRUWDQW YDULDEOH EXW VLQJO\ WKH HIIHFWLYHQHVV ZDV PLQRU 7KHUHIRUH WKLV VWXG\ VKRZHG WKDW LQ WKH WHOHFRXUVH 3ULQFLSOHV RI (FRQRPLFV DW WKH 8QLYHUVLW\ RI )ORULGD LQ WKH 6SULQJ 6HPHVWHU RI } VWXGHQW DFKLHYHPHQW VFRUHV ZHUH LPSURYHG RYHU WKH FDPHUD RI UHFRUG YLGHRWDSH ZKHQ D WUHDWPHQW WDSH ZDV GHVLJQHG ZLWK D SURGXFHUnV 3,7
PAGE 117

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

PAGE 118

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f§FDQ LPSURYH DFKLHYHPHQW ,Q DGGLWLRQ UHSODFLQJ WKH OHFWXUH DV WKH PHGLXP IRU GHOLYHULQJ WKH FRQFHSWXDO UHOHYDQFH RI D WRSLF ZLWK WHOHFRXUVH VHJPHQWV ZKLFK LQFRUSRUDWH KLJK WHOHYLVLRQ SURGXFWLRQ YDOXHV LQFOXGLQJ PXVLFGUDPD DOVR FDQ LPSURYH DFKLHYHPHQW ,PSURYHG

PAGE 119

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

PAGE 120

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

PAGE 121

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

PAGE 122

$33(1',; $ &2<(5 /(77(5 $1' 48(67,211$,5( )25 7(/(&2856( (;3(576

PAGE 123

-DQXDU\ 0U 'RQ -RKQVRQ :1(7 : WK 6W 1HZ
PAGE 124

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

PAGE 125

$33(1',; % /,67 2) (;3(576 $1' 7+(,5 $''5(66(6

PAGE 126

(GZDUG 6WDVKHII :HVWZRRG 6W $QQ $UERU 0LFKLJDQ 'RQ -RKQVRQ :1(7 : WK 6W 1HZ
PAGE 127

$33(1',; & )2&86 *5283 ,17(59,(: 6&+('8/(

PAGE 128

)RFXV ,QWHUYLHZ 6FKHGXOH ,f ,QWURGXFWLRQ PLQ :HOFRPH WR WKH WHOHFRXUVH HYDOXDWLRQ IRFXV JURXS 7KDQN \RX IRU DJUHHLQJ WR DVVLVW LQ WKLV SURFHVV 7KH SXUSRVH RI WKLV HYDOXDWLRQ LV WR SURYLGH WHOHFRXUVH SURGXFHUV ZLWK IHHGEDFN IURP WKRVH ZKR PXVW OHDUQ IURP WKHLU SURGXFW ZDQW WR KHDU \RXU FDQGLG RSLQLRQV DERXW WKH WHDFKLQJ PHWKRGV DQG WKH OHDUQLQJ HQYLURQPHQW
PAGE 129

+RZ ZRXOG \RX GHVFULEH WKH TXDOLW\ RI FROOHJH WHDFKLQJ WRGD\ LQ RQH ZRUGf" :K\" +DYH \RX WDNHQ D SULQFLSOHV RI HFRQRPLFV FRXUVH HLWKHU (FRQRPLFV RU DQRWKHU" <(6 12 ,I \HV WKHQ SOHDVH LQGLFDWH ZKLFK DQG ZK\ \RX WRRN LWWKHPf" &RXUVH WLWOH :K\ &RXUVH WLWOH :K\ ,I WKH DQVZHU WR WKH DERYH TXHVWLRQ LV 1R ZLOO \RX EH WDNLQJ D SULQFLSOHV RI HFRQRPLFV FRXUVH LQ WKH IXWXUH
PAGE 130

52// 7$3( ,9f ,QWHUYLHZ GLVFXVVLRQ RI &RQWURO 7DSH PLQ 1RZ DP JRLQJ WR DVN \RX D IHZ TXHVWLRQV DERXW WKH WDSH WKH EODFN EDFNJURXQGf \RX KDYH MXVW VHHQ 3OHDVH IHHO IUHH WR H[SUHVV \RXU RSLQLRQV HYHQ LI WKH\ FRQIOLFW ZLWK VRPHRQH HOVHnV RSLQLRQ ,I VRPHRQH HOVHnV UHVSRQVH EULQJV WR PLQG DQ LGHD RU DQ RSLQLRQ H[SUHVV LW :KDW DUH \RXU RSLQLRQV DERXW WKH YLGHRWDSH \RX KDYH MXVW VHHQ" 3UREH 9LVXDO 3UHVHQWRU $XGLR 0HWKRG RI SUHVHQWDWLRQ LQFOXGLQJ SUHVHQWDWLRQ RI FRQFUHWH DQG DEVWUDFW H[DPSOHV DQG UHOHYDQFH RI WKH VXEMHFW PDWWHU H[SODLQHGf 2WKHU :KDW GLG \RX OLNH DERXW LW" :KDW GLG \RX QRW \RX OLNH DERXW LW" +RZ GRHV WKLV SUHVHQWDWLRQ FRPSDUH WR RWKHU WHOHFRXUVHV \RX KDYH KDG" r +RZ FRXOG WKLV WDSH EH LPSURYHG" :KDW ZDV WKH PRVW LPSRUWDQW WKLQJ \RX OHDUQHG IURP WKLV FODVV VHJPHQW" 9f 9LHZ 7UHDWPHQW 7DSH 0RGHO GHYHORSHGf PLQ

PAGE 131

1RZ DP JRLQJ WR DVN \RX WR ZDWFK DQRWKHU YLGHRWDSH YHUVLRQ RI WKH VDPH VHVVLRQ RI WKH WHOHFRXUVH (FRQRPLFV $IWHUZDUGV DP JRLQJ WR DVN \RX D IHZ TXHVWLRQV DERXW WKLV SUHVHQWDWLRQ 52// 7$3( 9,f ,QWHUYLHZ GLVFXVVLRQ RI 7UHDWPHQW 7DSH PLQ 1RZ DP JRLQJ WR DVN \RX D IHZ TXHVWLRQV DERXW WKH WDSH EOXH EDFNJURXQGf \RX KDYH MXVW VHHQ $JDLQ SOHDVH IHHO IUHH WR H[SUHVV \RXU RSLQLRQV HYHQ LI WKH\ FRQIOLFW ZLWK VRPHRQH HOVHnV RSLQLRQ ,I VRPHRQH HOVHnV UHVSRQVH EULQJV WR PLQG DQ LGHD RU RSLQLRQ H[SUHVV LW O:KDW DUH \RXU RSLQLRQV DERXW WKH YLGHRWDSH \RX KDYH MXVW VHHQ" 3UREH 9LVXDO 3UHVHQWRU $XGLR 0HWKRG RI SUHVHQWDWLRQ LQFOXGLQJ SUHVHQWDWLRQ RI FRQFUHWH DQG DEVWUDFW H[DPSOHV DQG UHOHYDQFH RI WKH VXEMHFW PDWWHU H[SODLQHGf 2WKHU :KDW GLG \RX OLNH DERXW LW" :KDW GLG \RX QRW \RX OLNH DERXW LW" +RZ GRHV WKLV SUHVHQWDWLRQ FRPSDUH WR RWKHU WHOHFRXUVHV \RX KDYH KDG" +RZ FRXOG WKLV WDSH EH LPSURYHG"

PAGE 132

:KDW ZDV WKH PRVW LPSRUWDQW WKLQJ \RX OHDUQHG IURP WKH WDSH ZLWK WKH EOXH EDFNJURXQG" :KDW GLIIHUHQFHV GLG \RX ILUVW QRWLFH EHWZHHQ WKH SUHVHQWDWLRQV" :KHQ GLG \RX QRWLFH WKHVH GLIIHUHQFHV" :KDW ZHUH \RXU WKRXJKWV DW WKH WLPH" :KDW GLG \RX SUHIHU DERXW WKH YLGHRWDSH ZLWK WKH EOXH RU EODFN EDFNJURXQG" 3OHDVH LGHQWLI\ WKH WDSH \RX DUH WDONLQJ DERXWf 9,,f 6HOHFWHG YLHZLQJ RI VHJPHQWV RI 7UHDWPHQW 7DSH ZLWK GLVFXVVLRQ RI HDFK VHJPHQW PLQ 1RWH 7KH WUHDWPHQW WDSH ZLOO EH GLYLGHG LQWR WKH IROORZLQJ VHJPHQWV IRU GLVFXVVLRQ f VFHQHV ZLWK SRSLQ DQLPDWLRQ f VFHQHV ZLWK KLJKOLJKWLQJ DQG f VFHQHV IURP WKH WKUHH PLQXWH VFHQDULR 7KH TXHVWLRQV VKRXOG EH UHSHDWHG ZLWK HDFK VHJPHQW WR SURYLGH FRQVLVWDQF\f 1RZ DP JRLQJ WR VKRZ \RX D IHZ FKRVHQ VHJPHQWV IURP WKH YLGHR WDSH ZLWK WKH EOXH EDFNJURXQG ZLOO VWRS WKH YLGHRWDSH DIWHU HDFK VHJPHQW WR DVN \RX DERXW WKDW VHJPHQW ,Q WKLV VHVVLRQ SOHDVH WU\ WR EH DV VSHFLILF DV \RX FDQ DERXW ZKDW \RX OLNH RU GLVOLNH DERXW WKDW VHJPHQW )HHO IUHH WR RIIHU DQ\ VXJJHVWLRQ IRU LPSURYLQJ WKDW VHJPHQW 52// 7$3(3$86,1* $)7(5 ($&+ 6(*0(17 72 $6. 7+( 48(67,216 7+$7 )2//2: :KDW GLG \RX QRWLFH DERXW WKLV VHJPHQW RI WKH YLGHRWDSH" /DEHO VHJPHQW RU f 3UREH 9LVXDO 3UHVHQWRU $XGLR 0HWKRG RI SUHVHQWDWLRQ LQFOXGLQJ SUHVHQWDWLRQ RI

PAGE 133

FRQFUHWH DQG DEVWUDFW H[DPSOHV DQG UHOHYDQFH RI WKH VXEMHFW PDWWHU H[SODLQHGf :KDW LPSURYHPHQWV ZRXOG \RX OLNH WR VHH LQ WKLV VHJPHQW RI WKH WDSH" /DEHO VHJPHQW RU f 3UREH *UDSKLFV 6FHQDULRV 6RXQG HIIHFWV 0XVLF +LJKOLJKWLQJ 6WUXFWXUH 0HWKRG RI SUHVHQWDWLRQ LQFOXGLQJ SUHVHQWDWLRQ RI FRQFUHWH DQG DEVWUDFW H[DPSOHV DQG UHOHYDQFH RI WKH VXEMHFW PDWWHU H[SODLQHGf (PSKDVLV 9,,f &RQFOXVLRQ DQG SUHVHQWDWLRQ RI JLIWV PLQ 7KDW FRQFOXGHV WKH IRFXV JURXS LQWHUYLHZV 7KDQN \RX IRU DJUHHLQJ WR SDUWLFLSDWH KDYH D VPDOO WRNHQ RI P\ DSSUHFLDWLRQ IRU \RX +$1' 287 *,)76 $1' 7+$1. ($&+ 3$57,&,3$17 3(5621$//<

PAGE 134

$33(1',; 32677(67 2) 7+( &2168037,21 )81&7,21

PAGE 135

3OHDVH SXW \RXU QDPH DQG VRFLDO VHFXULW\ QXPEHU RQ WKH DQVZHU VKHHW
PAGE 136

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nV GLVSRVDEOH LQFRPH LQFUHDVHV IURP WR DQG KLV OHYHO RI VDYLQJV LQFUHDVHV IURP PLQXV WR D SOXV LW PD\ EH FRQFOXGHG WKDW KLV PDUJLQDO SURSHQVLW\ WR FRQVXPH LV RQHVL[WK FRQVXPH LV WKUHHILIWKV FRQVXPH LV RQHKDOI VDYH LV WKUHHILIWKV 6KLIWV LQ WKH FRQVXPSWLRQ IXQFWLRQ ZLOO RFFXU ZLWK FKDQJHV LQ FRQVXPSWLRQ DQG LQFRPH LQWHUHVW UDWHV LQFRPH GLVSRVDEOH LQFRPH DOO RI WKH DERYH

PAGE 137

5()(5(1&(6 $OOHQ 0 5 f 7UDLQLQJ FRPPDQG HGXFDWLRQDO WHOHYLVLRQ VWXG\ )RUW /HH 9LUJLQLD 4XDUWHUPDVWHU 7UDLQLQJ &RPPDQG %DUEDWVLV f 7KH QDWXUH RI LQTXLU\ DQG DQDO\VLV RI WKHRUHWLFDO SURJUHVV LQ LQVWUXFWLRQDO WHOHYLVLRQ IURP 5HYLHZ RI (GXFDWLRQDO 5HVHDUFK 0 f A %DUULQJWRQ + f ,QVWUXFWLRQ E\ WHOHYLVLRQf§WZR SUHVHQWDWLRQV FRPSDUHG (GXFDWLRQDO 5HVHDUFK f %URQIHQEUHQQHU 8 f 7KH H[SHULPHQWDO HFRORJ\ RI HGXFDWLRQ (GXFDWLRQDO 5HVHDUFKHU f %URZQ : /HZLV 5 % t +DUFOHURDG ) ) f $< LQVWUXFWLRQWHFKQRORJ\ PHGLD DQG PHWKRGV 1HZ
PAGE 138

'DQLHOVHQ $ / t 6WDXIIHU $ f $ WHOHYLVLRQ H[SHULPHQW LQ FROOHJH HFRQRPLFV 7KH -RXUQDO RI (FRQRPLF (GXFDWLRQ e f 'DYLV 5 f 5HWHQWLRQ UHODWHG WR DURXVDO LQ ILOP DQG WHOHYLVLRQ 8QSXEOLVKHG GRFWRUDO GLVVHUWDWLRQ $XEXUQ 8QLYHUVLW\ 'DYLV 5 + $OH[DQGHU / 7 t
PAGE 139

.D]HP $ 0 Lf $Q H[SHULPHQWDO VWXG\ RI WKH FRQWULEXWLRQ RI FHUWDLQ LQVWUXFWLRQDO ILOPV WR WKH XQGHUVWDQGLQJ RI WKH HOHPHQWV RI VFLHQWLILF PHWKRG E\ WHQWKJUDGH ELRORJ\ VWXGHQWV 8QSXEOLVKHG GRFWRUDO GLVVHUWDWLRQ 8QLYHUVLW\ RI 0LFKLJDQ $QQ $UERU .XPDWD + Lf 7ZR VWXGLHV LQ FODVVURRP WHDFKLQJ E\ WHOHYLVLRQ ,Q : 6FKUDPP (Gf 7KH LPSDFW RI HGXFDWLRQDO WHOHYLVLRQ SS f 8UEDQD PLQLRV 8QLYHUVLW\ RI ,OOLQRLV 3UHVV /HSRUH $ 5 t :LOVRQ fr ,QVWUXFWLRQDO WHOHYLVLRQ UHVHDUFK SURMHFW QXPEHU WZR 6DQ )UDQFLVFR 6DQ )UDQFLVFR 6WDWH &ROOHJH /XPVGDLQH $ $ 6XO]HU 5 / t .RSVWHLQ ) ) f 7KH LQIOXHQFH RI VLPSOH DQLPDWLRQ RQ WKH YDOXH RI D WUDLQLQJ ILOP 5HS 1R f 13 +XPDQ 5HVRXUFH 5HVHDUFK /DERUDWRU\ 0F,QW\UH & Afr 7UDLQLQJ ILOP HYDOXDWLRQFROG ZHDWKHU XQLIRUPV ,QVWUXFWLRQDO )LOP 5HVHDUFK 5HSRUW 1R f 3RUW :DVKLQJWRQ 1HZ
PAGE 140

1HX 0 f 7KH HIIHFWV RI DWWHQWLRQJDLQLQJ GHYLFHV RQ ILOPPHGLDWHG OHDUQLQJ 'RFWRUDO GLVVHUWDWLRQ 3HQQV\OYDQLD 6WDWH &ROOHJH ff 'LVVHUWDWLRQ $EVWUDFWV 1HZHOO t 2OHMQLN 6 ,2f ,PDJHU\ FRQFUHWHQHVV DQG DGYDQFHG RUJDQL]HUV 8QSXEOLVKHG PDQXVFULSW 8QLYHUVLW\ RI )ORULGD *DLQHVYLOOH 3DUHU 0 6 fr $ FDVH VWXG\ LQ WKH XVH RI DQ LQVWUXFWLRQDO GHYHORSPHQW PRGHO WR SURGXFH DQG HYDOXDWH DQ LQVWUXFWLRQDO WHOHYLVLRQ SURJUDP 8QSXEOLVKHG GRFWRUDO GLVVHUWDWLRQ ,QGLDQD 8QLYHUVLW\ %ORRPLQJWRQ ,QGLDQD 5HLJHOXWK & 0 %XQGXVRQ 9 & t 0HUULOO 0 f :KDW LV WKH GHVLJQ RI VFLHQFH LQVWUXFWLRQ" -RXUQDO RI ,QVWUXFWLRQDO 'HYHORSPHQW B f 5H\QROGV ) t -RKQVRQ f 9DOLGLW\ RI IRFXVJURXS ILQGLQJV -RXUQDO RI $GYHUWLVLQJ 5HVHDUFK f 5RFN 5 -U f 7UDLQLQJ E\ WHOHYLVLRQf§$ VWXG\ LQ OHDUQLQJ UHWHQWLRQ 2IILFH RI 1DYDO 5HVHDUFK 5HSRUW 1R 6GFf 3RUW :DVKLQJWRQ 1HZ
PAGE 141

9DQGHUPHHU $ : rr &RORU YHUVXV EODFN DQG ZKLWH LQ LQVWUXFWLRQDO ILOP $XGLR &RPPXQLFDWLRQV 5HYLHZ BMB 9HVWDO $ f 7KH UHODWLYH HIIHFWLYHQHVV LQ WHDFKLQJ RI KLJK VFKRRO SK\VLFV RI WZR SKRWRJUDSKLF WHFKQLTXHV XWLOL]HG E\ WKH VRXQG PRWLRQ SLFWXUH 'RFWRUDO GLVVHUWDWLRQ 8QLYHUVLW\ RI 1HEUDVND f 'LVVHUWDWLRQ $EVWUDFWV B r :DHFKWHU : ) fr &RPPXQLW\ FROOHJH KHDOWK HGXFDWLRQ E\ FODVVURRP DQG WHOHYLVLRQ LQVWUXFWLRQ$ FRPSDUDWLYH VWXG\ RI VWXGHQW FKDUDFWHULVWLFV DQG DFKLHYHPHQW 8QSXEOLVKHG GRFWRUDO GLVVHUWDWLRQ 8QLYHUVLW\ RI 6RXWKHUQ &DOLIRUQLD /RV $QJHOHV =HWWO + f 7HOHYLVLRQ SURGXFWLRQ KDQGERRN %HOPRQW &DOLIRUQLD :DGVZRUWK 3XEOLVKLQJ &RPSDQ\

PAGE 142

%,2*5$3+,&$/ 6.(7&+ -RQ 0RUULV ZDV ERUQ LQ :DEDVK ,QGLDQD RQ -XO\ +H DWWHQGHG SXEOLF VFKRRO DQG DW :DEDVK +LJK 6FKRRO KH UHFHLYHG KLV ILUVW FRQWDFW ZLWK WHOHFRPPXQLFDWLRQV DV D EURDGFDVWHU RQ WKH KLJK VFKRRO )0 UDGLR VWDWLRQ :6.6 ,Q KH JUDGXDWHG IURP 7UDQV\OYDQLD 8QLYHUVLW\ ZLWK D %DFKHORU RI $UWV GHJUHH )URP WKURXJK KH ZRUNHG LQ 1HZ
PAGE 143

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:" -DPHV $ LDWWHnQEDUJHU 3URIHVVRU RI (GXFDWLRQDO /HDGHUVKLS FHUWLI\ WKDW KDYH UHDG WKLV VWXG\ DQG WKDW LQ P\ RSLQLRQ LW FRQIRUPV WR DFFHSWDEOH VWDQGDUGV RI VFKRODUO\ SUHVHQWDWLRQ DQG LV IXOO\ DGHTXDWH LQ VFRSH DQG TXDOLW\ DV D GLVVHUWDWLRQ IRU WKH GHJUHH RI 'RFWRU RI 3KLORVRSK\ 'UXPPRQG 3URIHVVRU RI (GXFDWLRQDO /HDGHUVKLS

PAGE 144

7KLV GLVVHUWDWLRQ ZDV VXEPLWWHG WR WKH *UDGXDWH )DFXOW\ RI WKH &ROOHJH RI (GXFDWLRQ DQG WR WKH *UDGXDWH 6FKRRO DQG ZDV DFFHSWHG DV SDUWLDO IXOILOOPHQW RI WKH UHTXLUHPHQWV IRU WKH GHJUHH RI 'RFWRU RI 3KLORVRSK\ $XJXVW 'HDQ *UDGXDWH 6FKRRO

PAGE 145

81,9(56,7< 2) )/25,'$


xml version 1.0 encoding UTF-8
REPORT xmlns http:www.fcla.edudlsmddaitss xmlns:xsi http:www.w3.org2001XMLSchema-instance xsi:schemaLocation http:www.fcla.edudlsmddaitssdaitssReport.xsd
INGEST IEID E8JLCQ9H5_MT3XNJ INGEST_TIME 2017-07-12T20:47:55Z PACKAGE AA00002171_00001
AGREEMENT_INFO ACCOUNT UF PROJECT UFDC
FILES