Citation
The impact of trainee characteristics on family therapy skill acquisition of novice therapists

Material Information

Title:
The impact of trainee characteristics on family therapy skill acquisition of novice therapists
Creator:
Goodman, Rita Lawler, 1953-
Publication Date:
Language:
English
Physical Description:
vi, 3, 232 leaves : ; 29 cm.

Subjects

Subjects / Keywords:
Exercise ( jstor )
Experiential learning ( jstor )
Family structure ( jstor )
Family therapy ( jstor )
Learning ( jstor )
Learning styles ( jstor )
Marriage counseling ( jstor )
Medical treatment ( jstor )
Professional training ( jstor )
Psychological counseling ( jstor )
Family psychotherapy -- Study and teaching ( lcsh )
Family therapists -- Training of ( lcsh )
City of Orlando ( local )

Notes

Thesis:
Thesis (Ph. D.)--University of Florida, 1991.
Bibliography:
Includes bibliographical references (leaves 216-230).
General Note:
Typescript.
General Note:
Vita.
Statement of Responsibility:
by Rita Lawler Goodman.

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:
027013360 ( ALEPH )
AJC6971 ( NOTIS )
25604980 ( OCLC )

Downloads

This item has the following downloads:


Full Text















FAMILY


THE IMPACT OF
THERAPY SKILL


TRAINEE CHARACTERISTICS ON
ACQUISITION OF NOVICE THERAPISTS


RITA


LAWYER


GOODMAN


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


OF FLORIDA


1991















ACKNOWLEDGEMENTS


deepest


appreciation


and


gratitude


are


extended


committee


chairperson,


Ellen


Amatea,


who


gave


me her


continual


encouragement


and


guidance


Without


her


encouragement


and


relentless


support


I would


not


have


been


capable


meeting


the


numerous


challenges


required


for


the


completion


Ph.D.


Her


warmth


and


guidance


will


always


an inspiration


me.


am also


grateful


the


support


the


members


committee.


Special


thanks


to Dr.


David


Miller


who


provided


insight


and


expertise


that


greatly


facilitated


the


planning


and


writing


phases


dissertation.


Gratitude


extended


to Dr.


Margaret


Fong,


Connie


Shehan,


Peter


Sherrard,


and


Jeff


Larsen.


This


study


would


not


have


been


possible


without


the


love


and


support


family


and,


particular,


mother,


Frances


Lawler,


and


husband,


Goodman.
















TABLE OF CONTENTS


ACKNOWLEDGEMENTS


ABSTRACT


CHAPTERS


I INTRODUCTION


Scope of the Problem .....................
Need for the Study .......................
Purpose of the Study .....................
Research Questions .......................
Context for the Study ....................
Significance of the Study ................
Definition of Terms ......................


II REVIEW OF THE LITERATURE


....................... 26


Historical Perspective .........................
Family Therapy Training Research ...............
Training Model ......... ...............***-***
Research on Therapy Trainee Characteristics ....
Variables of Interest in the Study .............
Summary ...................... **........- ..*****


III METHODOLOGY


Research Design ........... .........*..........
Population ................. ..... .. ... .*****
Sampling Procedures .......................*****
Sample .................................**** -***
Instrumentation .........................*******
Data Collection ...................*****.**.*.**
Hypotheses .............*...........**.-******.
Data Analysis .......................*******..***


IV RESULTS ..............

1 1 4 .n-tr X Ina 1 xye1 c


..............o oo..oo..ooo .****.oo*o 1ii


.. 1


()1,()()()1)1)1))()((1)((1~))~1)))1())11


(()))))())1)()~1())1I)~)))


-









DISCUSSION


Preliminary
Discussion
Limitations


Implications
Summary ....

APPENDICES


INFORMATION


Analysis
of Results


the


Study


TO PARTICIPATING


UNIVERSITIES


CLASS


CONTENT


CRITERIA


INFORMED


CONSENT


FOR


FAMILY


THERAPY


PROJECT


THERAPY


EXPERIENCE


INVENTORY


KOLB


LEARNING


STYLE


INVENTORY


THE


MEANS


FAMILY


AND


THERAPY


STANDARD


ASSESSMENT


DEVIATIONS


EXERCISE


OF TRAINEE


CHARACTERISTICS,


BY SCHOOL


REFERENCES


BIOGRAPHICAL


SKETCH















LIST


OF TABLES


Table


Frequency Distribution of Descriptive
for the Sample: Demographics .......


Variables


Frequency Distribution of
of the Sample: Educational


Analysis
by School

Analysis
by School


Descriptive
Background


of Covariance of Student FTAE
for Six Participating Schools


of Covariance of Student
for Five Participating


Means and Standard
Characteristics ...


Deviations


Variables


Scores


FTAE Scores
Schools ....


of Trainee


Frequency


Distribution


Trainee


Age


Frequency Distribution
Training for Individual
and Family Therapy ....


Frequency
Experience
and Family


for Amount
Counseling


Distribution for Amount of
in Individual Counseling
Therapy .................


Frequency Distribution
Style of the Trainee .


Results of t-tests for
Score and Descriptive,
Therapeutic Subscales


of Prior
and Marriage


Prior Work
and Marriage


Learning


(Total)


Preferred


the FTAE Overall
Conceptual, and


Intercorrelations


Among


Trainee


Variables


Intercorrelations
Trainee Variables


Among


Independent


and


Dependent
........... 146


Page









Frequency Distribution for
and Family Therapy Classes
With the Specified Training


Additional Marriage
Taken in Conjunction
Courses ...........


Regression Model for the Relationship Between
Posttest FTAE Overall Score and the Selected
Personal Characteristics of the Marriage and
Family Therapy Trainee ......................


the


Regression Model for the Relationship Between
the Family Therapy Assessment Exercise (FTAE)
Descriptive Subscale and the Selected Personal
Characteristics of the Marriage and Family
Therapy Trainee ............................

Regression Model for the Relationship between
the Family Therapy Assessment Exercise (FTAE)
Conceptual Subscale and the Selected Personal
Characteristics of the Marriage and Family
Therapy Trainee ..............................

Regression Model for the Relationship between
the Family Therapy Assessment Exercise (FTAE)
Therapeutic Subscale and the Selected Personal
Characteristics of the Marriage and Family
Therapy Trainee ..............................













Abstract
the UI


Dissertation


diversity


Requirements


Presented


of Florida


for


the


Degree


the


Partial Fu
of Doctor


Graduate
Ifillment


School


the


Philosophy


THE


IMPACT


OF TRAINEE


SKILL


CHARACTERISTICS


ACQUISITION


OF NOVICE


ON FAMILY


THERAPY


THERAPISTS


Rita


Lawler


Goodman


December,


1991


Chair:
Major


Ellen


Department


Amatea


Counselor


Education


Although


researchers


the


family


therapy


field


have


emphasized


the


need


assess


the


impact


of family


therapy


training


on trainees


differing


experience


levels,


there


has


been


limited


study


this


issue.


The


purpose


this


study


was


to investigate


the


impact


of the


initial


phase


family


therapy


training


on novice


therapists'


skill


acquisition.


In addition,


the


associations


between


four


types


trainee


characteristics


on the


acquis


ition


these


family


therapy


skills


were


examined.


The


sample


consisted


of 99 students


enrolled


introductory


courses


structural/strategic


family


therapy


drawn


from


five


different


academic


training


programs.


Participants


completed


questionnaires


assessing


level


prior


training


and


work


experience


individual


counseling









individual


of family


therapy


counseling.


Of four


possible


learning


styles,


more


than


of the


participants


described


themselves


as divergers.


Results


indicated


a significant


change


skill


acquisition


from


protesting


to posttesting


on all


three


subscales


Significant


the


scores


Family


were


Therapy


obtained


Assessment


the


Exercise


total


(FTAE).


score


.0001),


the


descriptive


subscale


score


.05),


the


conceptual


subscale


score


.0001),


and


the


therapeutic


score


.0001).


The


extent


initial


knowledge


family


therapy


was


significantly


associated


an inverse


direction


with


skill


acquisition


as predicted.


significant


associations


were


found


among


prior


training,


prior


work


experience,


or learning


style


and


the


acquisition


skills.


Regression


analyses


were


conducted


to examine


the


relationship


between


family


therapy


skill


acquisition


and


prior

and f


training


family


and


therapy,


work


experience


initial


knowledge


individual

of family


counseling

therapy,


and


preferred


learning


style.


Changes


total


skills


and


conceptual


and


therapeutic


skills


were


significantly


predicted


only


the


extent


initial


knowledge


of family


therapy.


In terms


trainee


characteristics


neither


prior


training


and


work


experience


nor


preferred


learning


style









Possible


explanations


and


implications


these


findings


were


discussed


along


with


directions


for


future


research


this


area.
















CHAPTER


INTRODUCTION


Over


the


past


four


decades,


as the


field


family


therapy


has


expanded,


opportunities


to gain


professional


training


family


therapy


within


academic


settings


have


increased.


training


relatively


This t

family

recent


rend


toward


within


development.


academic


Most


professional


settings


therapy


the


early


stages


the


field'


development


(the


1950s


to 1970s)


occurred


specialized


research


centers


free-standing


institutes


and


was


carried


out


primarily


innovative


clinicians


rather


than


academicians.


Individuals


receiving


training


during


this


early


period


usually


one


social


had


the


work,


already


received


a terminal


mental


health


psychiatry,


professional

disciplines


counseling)


and


degree

(e.g.,

viewed


family


therapy


training


as advanced,


postgraduate


skill


training.


During


this


time,


only


a small


handful


universities


offered


marriage


and


family


therapy


graduate


programs.


These


programs


were


typically


the


doctoral


S


4 -


A. -3--- A .tJ -a a a a n-n a A


- n~R n 4a I


providing


therapy


training


family


traditional

psychology,


,,m*r A~





-rurrur


~ L


1











In the


past


two


decades,


however,


as a number


marriage


and


family


therapy


professionals


trained


during


this


earlier


era


moved


into


academic


settings,


opportunities


graduate


education


family


therapy


have


expanded


In addition,


the


master


a degree


rather


than


the


doctoral


degree


has


become


defined


as the


standard


professional


graduate


education


(Everett,


1979;


Keller,


Huber,


& Hardy,


1988)


leaders


the


American


Association


for


Marriage


and


Family


Therapy


who,


the


late


1970s,


created


a set


of standards


professional


education

coupled w


consisting


ith


of 2


an additional


years


of graduate


years


training


supervised


clinical


practice.


This


set


events


has


resulted


the


development


of a significant


number


of master's


level


graduate


degree


programs


marriage


and


family


therapy


departments


of family


and


child


development


as well


within


departments


of social


work


and


counselor


education.


More


importantly,


these


events


have


resulted


a shift


the

than


type

not,


individual


a young


receiving


novice-level


such


therapi


training.

st with 3


More


littlee


often

or no


prior


therapeutic


skill


training


or work


experience


the


typical


participant


these


entry-level


graduate


training


programs.











Interestingly,


despite


the


growth


the


provision


family


therapy


training


academic


settings,


there


has


been


little


empirical


attention


given


to the


implications


of such

expected


a shif

from


either


family


the


therapy


design


training.


or outcomes


Although


researchers


the


family


therapy


field


(Gurman


& Kniskern,


1978;


Gurman,


Kniskern,


& Pinsof,


1986)


have


emphasized


need


those


assessing


the


effectiveness


family


therapy


training


attend


to the


nature


the


trainee


well


as the


training


content,


there


limited


empirical


evidence


concerning


the


impact


of entry-level


graduate


training


family


therapy


on young,


novice-level


clinicians


who


have


had


limited


prior


therapy


training


work


experience.


regarding


the


Furthermore,


types


very


of pretraining


little


differences


known


skills,


personality


attributes,


or life


experiences


of students


enrolled


entry-level


graduate


programs,


and


whether


such


pretraining


differences


have


a differential


impact


on the


acquisition


family


therapy


skills.


Scope


the


Problem


Despite


the


dramatic


growth


recent


years


opportunities


for


family


therapy


training


both


academic


and


nonacademic


settings,


there


has


been


only


limited











available


family

evidence


prior


the


therapy

e was a


field


training.


available


professional


concerning


the


Moreover,


concerning


training


effectiveness


that

the i


persons


time,


importance


entering


family


therapy


training


programs


the


merits


of using


any


specific


criteria


selecting


trainees.


1990


nine


studies


had


been


conducted


evaluating


the


outcome


of family


therapy


training;


however,


few


advances


had


been


made


specifying


which


trainee


characteristics


should


considered


trainee


selection


or evaluation


(Avis


Sprenkle,


1990).


Moreover,


because


most


these


studies


were


conducted


with


populations


more


experienced


therapists


and


did


not


usually


include


information


on or


consider


the


impact


important


trainee


variables


such


gender,


experience


level,


or previous


training,


has


been


difficult


to determine


whether


the


findings


based


on these


populations


can


generalized


to novice-level


professionals.


A number


reasons


have


been


proposed


for


this


slow


rate


of empirical


progress


conducting


family


therapy


training


research.


Avis


and


Sprenkle


(1990)


posited


that


major


source


this


delay


related


to the


difficulties


inherent


conducting


any


type


of psychotherapy


training











measure


trainee's


skills;


the


lack


of adequate


and


appropriate


instruments


measuring


trainee


behavior


and/or


skill


change;


and


the


lack


of reliable


knowledge


about


which


therapist


skills


or behaviors


are


associated


with


positive


therapy


outcomes.


In reviewing


the


state


the


art


psychotherapy


training


research


general,


Matarazzo


(1978)


attributed


the


slow


rate


progress


such


research


to the


following


situation:


We are attempting to measure a combination
conceptual, experiential, and behavioral
learning in a consistently shifting, never


duplicated stimulu
defined variables
instruments that i
whose use may not


another.
the measu
study is
complexity
consequen
not all a
described
942)


Because
rement an
likely to
y of the
t complex
aspects of


nor


are


s situation.
and inadequate
involve subject
be comparable
of the time-co
d treatment, t
be small. Be
behaviors to b


ity
the


their


the


tea


program
effects


We have poorly
measuring
ive judgments


from
nsumi
he N
cause
e lea
ching


are


one study
ng nature
in each
of the
rned and
program,


and
to
of


the


fully


measured.


A number


writers


(Gurman,


Kniskern,


& Pinsof,


1986;


Tucker


& Pinsof,


1985)


have


reiterated


these


same


difficulties


evaluating


family


therapy


training.


For


example,


reviewing


recent


research


on family


therapy


training,


Avis


and


Sprenkle


(1990)


contended


that


current


providers


of family


therapy


training


still


know


very


little


about


the


efficacy


any


their


training


approaches


and


---- w


L











the


lack


of definitive


research


this


area,


Gurman


and


Kniskern


(1988)


proposed


a set


of questions


to guide


future


research.

trainees


Among

profit


these

most f


was


rom


the

what


following:


type


"Which


of family


types


therapy


training


experiences?"


Other


researchers


concurred


that


key


issue


improving


family


therapy


training


efforts,


well


developing


a clearer


understanding


the


impact


training


on professionals,


centers


on identifying


those


characteristics


that


predict


positive


training


outcomes.


Little


known,


however,


as to


the


pretraining


differences


skills


or experiences


that


exist


among


those


who


seek


family


therapy


training,


as there


have


been


only


a limited


number


of studies


conducted


which


the


characteristics


the


trainees


have


been


examined


considering


the


impact


of family


therapy


training.


Furthermore,


most


researchers


this


area


have


utilized


samples


experienced


therapists


or have


employed


mixed


groups


(i.e.,


have


mixed


experienced


and


novice-level


professionals)


For


example,


a study


conducted


Tucker


and


Pinsof


(1984),


changes


skills


during


the


first


year


study


at the


Center


Family


Studies/Family


Institute


trainees


(CFT)


included


Chicago


the


were


sample


investigated.


were


The


practicing











single


group


pretest-posttest


design,


the


researchers


investigated


clinical


cognition,


in-therapy


use


techniques,


and


level


of self-actualization.


Clinical


cognition


was


measured


with


the


Family


Concept


Assessment


(FCA)


(Tucker


& Pinsof,


1981) ,


in-therapy


technique


with


the


Family


Therapist


Coding


System


(FTCS)


(Pinsof,


1981) ,


and


self-actualization


with


the


Personal


Orientation


Inventory (POI)

of trainees was


(Shostrom,

evaluated


1974)


The


rating


the


in-therapy

trainee's


behavior

response


to a "live-family"


simulation.


Four


professional


actors


were


trained


to represent


a family


referred


to therapy


because


the


son


had


committed


a petty


crime


The


training


the


actors


"was


designed


enable


them


improvise


response t

prescribed

(Tucker &


o each

and cc

Pinsof,


therapist,


insistent


1984,


while


mode

441)


maintaining


of family


the


interaction"


In discussing


the


results,


the


authors


suggested


that


trainees


did


not


change


significantly


the


direction


desired


the


training


staff


on several


dimensions.


For


example,


the


pretest-


posttest


scores


showed


a significant


increase


on only


one


the


three


subscales


the


FCA.


This


change


indicated


that


trainees


thought


more


terms


of circular


rather


than


linear


causality


the


posttraining


test


than


the











expected


direction,


and


one


changed


significantly


the


unexpected


actualization


direction.


during


The


the


showed


year


no increase


training.


in self-


In attempting


to interpret


this


finding,


the


researchers


suggested


that


most


trainees


began


the


program


highly


actualized.


Although


the


belief


that


family


therapy


training


can


have


clinically


meaningful


effects


on trainees


was


supported


the


findings


this


study,


many


directional


hypotheses


were

had


not confirmed.

a more limited


This

effect


could

than


indicate

many expe


that


rts


the


would


training

have


assumed


or predicted


or that


only


a longer


period


training,


or training


a different


type,


would


produce


the


effects


predicted


on the


other


dimensions.


In another


study,


Breunlin,


Schwartz,


Krause,


Kochalaka,


Puetz,


and


Van


Dyke


(1989)


examined


the


influence


three


trainee


characteristics


(conjugal


family


experience,


prior


experience


conducting


family


individual

acquisition


therapy,


and


family


knowledge


therapy


of family


skills


therapy)

trainees


on the

drawn


from


seven


different


structural/strategic


training


experiences.


These


seven


training


experiences


utilized


mixed


sample


therapist


both


drawn


from


experienced


a variety


and


novice-level


of different


training











three


settings


the


subjects


had


little


prior


clinical


experience


or training;


least


one


the


remaining


five


settings


trainees


who


had


considerable


clinical


experience


and


training


family


therapy


were


involved.


Data


from


students


all


seven


programs


were


analyzed


conjointly.


No analyses


were


conducted


regarding


differences


trainee


performance


program.


The


acquisition


of family


therapy


skills


was


measured


the


Schwartz,


Family


Therapy


Krause,


Assessment


& Selley,


1983)


Exercise


(FTAE)


a pretest


(Breunlin,


and


posttest


design


procedure


The


results


this


study


indicated


that,


as predicted,


conjugal


family


experience


was


positively


related


and


prior


knowledge


of family


therapy


was


negatively


related


to performance


measured


FTAE


pretest-posttest


change


scores).


Prior


experience


conducting


individual


therapy


was


also


positively


related


to performance.


However,


because


both


the


nature


the


samples


this


study


and


the


nature


the


training


experience

regarding


were

either


quite

the


mixed

actual


(with

levels


no information

of skills at


provided


protesting


and


posttesting


or differences


those


levels


among


these


various


groups),


difficult


to draw


conclusions


as to


how


generalizable


these


findings


are


to novice


therapists











not


trainees


are


suited


for


family


therapy


training.


Factors


often


cited


as considerations


selecting


applicant

factors


training


(American


programs


Association


are


personal


Marriage


and


maturity

Family


Therapy,


1979;


Everett,


1979;


Nichols,


1979);


cognitive


abilities


and


academic


credentials


(American


Association


Marriage


and


Family


Therapy,


1979;


O'Sullivan


Gilbert,


1989);


previous


professional


training


and/or


work


experiences


(Breunlin


1988); preliminary

personal qualities


et al.,


knowledge

(Everett,


1989;

of fami


1979;


Kniskern &

ly therapy;


Sprenkle,


Gurman,

and


1988).


However

family


these


therapy


established


mor


criteria

training

e on the


selection


programs


basis


have


of applicants


typically


tradition


than


for


been

any


substantive


empirical


evidence.


Proln rnna


Prnfsfiannal


Training


and


- -r -- -p --- -- -


Work


Experience


A number


of researchers(


have


emphasized


the


need


examine


the


impact


the


trainee


s previous


professional


training


and


work


experience.


Kniskern


and


Gurman


(1988),


example,


posed


a series


of questions


regarding


trainee


professional


experience.


These


were


"What


are


the


types


previous


therapy


training


training?


that


"Are


best


prepare


there


types


a trainee


of previous


family


training











impact


trainee


characteristics,


Breunlin


et al.


(1989)


examined


the


impact


prior


individual


therapy


and


family


therapy


training


and


work


experience


on trainee


skill


acquisition.


They


found


that


both


prior


training


and


work


experience


family


therapy


were


negatively


related


performance.


However,


both


prior


training


and


work


experience

performance


individual

acquiring


therapy

family


were positively

therapy skills.


related

This


finding


was


considered


surprising


because


had


been


hypothesized


many


family


therapy


trainers


(Haley,


1981)


that


experience


providing


individual


therapy


would


hinder


the


acquisition


family


therapy


skills.


In another


study,


Zaken-Greenberg


and


Neimeyer


(1986)


reported


the


results


of a controlled


assessment


a training


seminar


structural


family


therapy


university


students.


Changes


the


conceptual


and


executive


skills


of 22 family


trainees


and


22 control


subjects


were


assessed


over


a 16-


week


period


using


a repertory


grid


and


videotaped


therapy


simulation


technique.


Results


indicated


significant


gains


family


therapy


trainees


but


only


among


those


with


little


previous


exposure


family


therapy


Difference


the


overall

noted.


number

Results


as well


generally


as type


intervention


supported


the


were


predicted


also


impact











In the


body


individual


psychotherapy


research


literature


Fielder


(1950)


reported


that


therapists,


regardless


theoretical


orientation,


become


more


similar


as experience


increases.


In addition,


more


recent


literature


reviews,


has


been


noted


that


increasing


experience


facilitates


the


demonstration


therapy


processes


such


as therapists'


empathy


(Auerbach


& Johnson,


1977)


and


patient


satisfaction


(Beutler,


Crago,


Arizmendi,


cited


1986).


therapist


Furthermore,


experience


Gurman


as a factor


and

that


Kniskern


(1978)


influences


the


outcome


family


therapy


and


suggested


that


training


outcome


studies


that


include


this


variable


would


quite


helpful.


Initial


Family


Therapy


Knowledge


Researchers


and


trainers


have


emphasized


the


need


consider


the


trainee'


initial


level


of knowledge


of family


therapy


assess


the


impact


training.


For


example,


Breunlin


et al.


(1989)


reported


that


the


higher


the


initial


level


knowledge


family


therapy,


the


smaller


the


skill


changes


from


protesting


posttesting


as measured


the


Family


Therapy


Assessment


Exercise


(FTAE).


Converaent/Diveraent


Thinking


Style


Among


the


assumptions


commonly


used


to select


trainees











trainee'


success


family


therapy


skill


acquisition.


Attention


has


been


given


the


individual


counseling


and


psychotherapy


training


literature


the


impact


of specific


trainee


attributes


such


as perceptual


style,


level


cognitive


development,


personal


attitudes,


personality


characteristics,


and


preferred


learning


styles


on the


acquisition


counseling


skills.


One


particular


variable


that


may


have


a significant


impact


on the


acquisition


of family


therapy


the


cognitive/learning


style


the


trainee.


The


trainee's


mode


observing,


organizing


and


taking


acting


data


upon


about


may


the


world,


influence


the


learning


of family


counseling/therapy


skills


just


as it


has


been


shown


affect


other


learning


tasks


(Lawrence,


1979).


A number


different


cognitive


style/learning


style


models


and


theories


have


been


proposed.


A well-known


example


the


Myers


Briggs


Typology


based


on Jung'


theory


of psychological


types


(Lawrence,


1979)


Another


the


model


developed


Kolb


(1976)


based


on the


accommodator/


assimilator


processes


proposed


Piaget.


These


models


have


been


used


to sort


individuals


into


different


styles


resolving


cognitive


tasks.


However,


only


limited


research


has


been


conducted


using


these


learning


style


models











Underscoring


this


point,


Mahon


and


Altman


(1977)


expressed


concern


that


individual


counseling


skills


training


both


had


learner


been

and


applied

learning


a uniform


process


manner


variables


that


that


ignored


could


affect


training


outcome


and


counseling


effectiveness


body


research


literature


being


accumulated


that


supports


their


reasoning.


has


been


suggested


that,


terms


therapy


training,


the


level


success


counselors/therapists


training


may


be related


to the


compatibility


between


the


cognitive


styles


the


trainers


and


those


training.


For


example,


Handley


(1982)


examined


cognitive


the


relationship


styles


between


of supervisors


the


and


similarity


counselors


training


and


supervision


process


and


outcome


measures.


Using


the


Myers


Briggs


Type


Indicator


(MBTI)


found


that


intuitively


oriented


counselors


training


received


higher


supervisor


ratings


than


did


other


counseling


students.


Similarity


between


supervisors


and


counselors


training


on the


Myers-Briggs


S-N


(Sensing/Intuitive)


scale


was


reported


to be


related


practicum


student


s satisfaction


with


supervise


ion.


Yura


(197


also


reported


that


feeling


types


predominated


a sample


master


s level


counselors











psychologists.


Experimental


psychologists


showed


more


thinking


more


orientation,


of a feeling


whereas


orientation.


clinical


psychologists


Rouezzi-Carroll


and


showed

Fritz


(1984)


found


a predominance


feeling


and


perceptual


types


among


allied


health


majors


stressing


client


contact


and


empathy,


and


a predominance


thinking


and


judging


types


fields


stressing


testing


and


critical


analysis.


In a competing


vein,


however,


Carey


and


Williams


(1986)


compared


18 supervisors


and


46 counseling


students


practicum


training


terms


their


dominant


counseling


style


and


related


cognitive


style.


Instruments


used


included


the


Myers-Briggs


Type


Indicator


(MBTI),


the


Counselor


Evaluation


Rating


Scale


(CERS) ,


and


the


Barrett-


Lennard


Relationship


Inventory


(BLRI).


The


results


this


study


indicated


there


was


a difference


cognitive


styles


between


supervisors


and


counselors


training.


Supervisors


demonstrated


a stronger


thinking


orientation


and


less


variability


on the


sensing-intuiting


scale


than


did


counselors


training.


However,


no strong


relationship


was


found


between


student


scores


on the


T-F


and


S-N


scales


and


process


and


outcome


measures.


These


cognitive


style


factors


family


therapy


trainees


have


been


examined


any


studies


date.











interest


this


study.


Kolb


(1975,


1984)


identified


four


modes


of experience


each


which


involves


an experiential


learning


cycle.


According


to Kolb,


these


four


modes


experience--Concrete


Experience


(CE),


Reflective


Observation


Active


(RO) ,


Abstract


Experimentation


Conceptualization


(AE) --must


all


(AC),


and


be accessible


the


learner


to be effective


as a counselor.


Abbey,


Hunt,


and


Weiser


(1985)


have


provided


perspective


understanding


the


counseling


and


counselor


training/supervision


process


means


of Kolb's


experiential


learning


model.


They


contended


that


Kolb'


theory


experiential


learning


can


be used


describe


the


sequence


counseling;


the


variations


interpersonal


response


of clients,


counselors,


and


counselor


trainees;


and


how


such


variations


affect


the


counseling


and


training


process.


Moreover,


Abbey


et al.


suggested


that,


fully


functioning


and


effective,


counselors


must


have


access


to all


four


modes


of experience


their


dealings


with


clients.


However,


because


counselors


typically


have


preferred


modes


of operating,


one


the


purposes


counselor


training


to assist


the


counselor


becoming


more


aware


his


or her


underdeveloped


mode


of operating


and


how


such


imbalances











(abstract


conceptualization)


may


have


ease


adopting


cognitive


or rational/emotive


counseling


approach


but


may


have


to attend


to not


using


that


mode


to the


exclusion


the


awareness


his


or her


own


feelings.


Conversely,


those


counselors


who


prefer


operate


from


an experiential


mode


(CE-Concrete


Experience)


must


be concerned


with


not


doing


so to the


exclusion


their


own


analysis


and


their


own


implicit


theory


regarding


the


client


s feelings,


reflections,


thoughts,


and


actions.


Thus,


although


trainees


will


find


counseling


operations


and


theories


that


are


congruent


with


their


own


dominant


modes


(i.e.,


Reflective


Observation


(RO)


dominant


trainees


may


prefer


Rogerian


stance


whereas


an Active


Experimentation


(AE)


dominant


trainee


may


prefer


to operate


from


a Gestalt


position),


they


will


need


to have


available


a broader


array


or ways

a wide


of operating


variety


on the


of clients.


world


to be most


Similarly,


with


effective


family


with


therapy


(e.g.,


Bowenian


hinder


a structural


approach)


the


family


pref


development


therapy


erred methods

of particular


approach


versus


of operating


family


may


therapy


approaches


and


facilitate


the


acquisition


of other


approaches.


Consequently,


a match


between


the


learning


mode


demanded


a particular


training


model


and


the











may


facilitate


training


may


or hinder


have


acquisition


of skills


implications


for


understanding


the


impact


of a particular


family


therapy


training


experience.


Need


for


the


Study


Researchers


are


now


offering


evidence


that


training


does


affect


change


trainees


on some


important


dimensions


(Breunlin


et al.,


1983;


Hernandez,


1985;


Pulleyblank,


1985;


Tucker


& Pinsof,


1984).


However,


there


a need


examine


the


more


teaching


closely


and


how


learning


trainee

process


characteristics


particularly


impact

novice


therapists.


Reinforcing


this


perspective,


Gurman


and


Kniskern


(1988),


as well


as Breunlin


et al.


(1989),


suggested


that


researchers


shift


from


asking


the


general


question


more


"Does


specific


family

question


therapy

s such


training


as "How


work?" to asking

specific trainee


characteristics


influence


.e.


either


facilitate


inhibit)


a trainee


learning


marriage


and


family


therapy?"


375).


They


proposed


that


specific


trainee


characteristics


examined


that


are


not


model


specific


but


are


general


variables


assumed


to enhance


the


learning


skill


acquisition


process


across


various


family


therapy


training


model


However,


to date,


only


two


studies


(Breunlin


significant


family











the


contribution


trainee


characteristics


to the


training/learning


process.


It is


not


surprising


that


this


specificity


question


the


field


family


therapy


training


has


not


been


addressed,


because


the


parallel


question


the


general


counseling


and


psychotherapy


training


field


has


also


been


extremely


difficult


answer.


Purpose


of the


The


purpose


this


study


was


twofold.


First,


the


impact


the


initial


phase


of family


therapy


training


novice


therapists'


skill


acquis


ition


was


assessed.


Second,


the


impact


of four


types


trainee


characteristics


on the


acquisition


these


family


therapy


skills


was


examined.


The


four


types


trainee


characteristics


were


extent


trainee


family


s prior


therapy,


experience


training in

extent of


individual


individual

trainee's c


therapy


and


therapy


clinical


family


and

work


therapy,


extent


initial


family


therapy


knowledge,


and


trainee's


preferred


learning


style.


Research


Questions


In this


study


the


following


research


questions


were


addressed:


How


can


students


the


initial


phase


of family


Study











their


prior


training


experiences


individual


therapy,


their


prior


level


work


experience


individual


therapy,


their


prior


training


marriage


and


family


therapy,


their


prior


level


of work


experience


marital


and


family


therapy,


their


initial


level


of family


therapy


knowledge,


and


their


preferred


learning


style?


What


the


impact


of the


initial


phase


structural/strategic


family


therapy


training


on the


acquisition


family


therapy


skills


student


therapists?


To what


extent


does


that


level


initial


knowledge


family


therapy


affect


the


amount


skill


acquisition


demonstrated


student


therapists?


To what


training


extent


inhibit


does


the


prior


acquisiti


individual

on of family


counseling

y therapy


skills


of student


therapists?


To what


extent


does


prior


family


therapy


training


inhibit


the


acquisition


of family


therapy


skills











To what


extent


does


previous


work


experience


conducting


individual


therapy


inhibit


the


acquisition


family


7. To what

conducting


family


therapy


extent

family


therapy


skills


does p

therapy


skills


of student


previous work

inhibit the


of student


therapists?


experience

acquisition


therapists?


To what


degree


does


the


learning


style


the


therapist


influence


the


acquisition


of family


therapy


skills


student


therapists?


To what


prior


extent


training


the


experience


trainee


characteristics


individual


therapy


marital


and


family


therapy,


prior


work


experience


individual


therapy


or marital


and


family


therapy,


initial


knowledge


family


therapy,


or preferred


learning


therapy


style


skills


influence


of student


the


acquisition


therapists


of family


the


initial


phase


of structural/strategic


family


therapy


training?


Context


for


the


Study


Students


enrolled


university-based


graduate


level


training


programs


marriage


and


family


therapy


that


were


accredited


or eligible


accreditation


the


Commission


on Accreditation


for


Marriage


and


Family


Therapy


Education


were


recruited


participation


this


study.











beginning


phase


training


include


acquainting


the


student


with


the


basic


concepts


family


systems


theory


and


the


historical


development


these


ideas;


introducing


family


the


systems


student


to the


therapy,


structural/strategic


related


concepts


model


and


intervention


methods;


introducing


the


concept


differing


family


forms


(i.e.,


single


parent


families,


dual


career


families,


etc.);


introducing


the


concept


family


life


cycle


issues;


assisting


the


student


developing


skills


necessary


assess


families


(i.e.,


collect,


observe,


and


organize


family


interactional


data)


order


to plan


counseling


interventions;


and


providing


interviewing


students


and


with


an opportunity


assessment


skills


to rehearse


Amatea,


family


personal


communication,


March


1989).


Significance


the


Study


Examining


the


type


skill


development


of novice


therapists


training


during


can


the


be useful


initial


the


stages

ongoing


of family t

refinement


herapy


family


therapy


training


experiences


academic


contexts.


Moreover,


ascertaining


which


trainee


variables


are


vital


consider


predicting


learning


among


younger


professionals


can


be helpful


shaping


both


selection


and


training











are


relevant


predictive


factors


performance


as a


therapy


professional.


Although


scores


on the


Graduate


Record


(GPA)


Examination


are


value


(GRE)


and


college


predicting


grade-point


graduate


student


average


academic


performance,


there


have


been


no established


indices


predicting


student


clinical


performance.


The


identification


of factors


useful


predicting


clinical


skill


development


could


make


for


a more


efficient


use


academic


training


resources,


as well


as begin


to address


the


question


of who


most


likely


benefit


from


specific


graduate


level


family


therapy


training


experiences.


Definition


Terms


Family


therapy


training


refers


to the


beginning


phase


training


family


therapy


at university-based


graduate


level


training


programs.


This


phase


training


emphasizes


the


acquis


ition


of observational,


perceptual,


and


conceptual


family


therapy


skills


as originally


defined


Cleghorn


and


Levin


(1973).


The


training


segment


consists


of a 16-week


semester


long


course


hours)


equivalent


a quarter


hour


system


family


therapy


that


emphasizes


the


structure /strategic


school


family


therapy.


Learnina


style


defined


as the


extent


to which











definition


of experiential


learning


theory


based


on the


work


of Kolb


(1976,


1981).


Family


theraDv


skills


refers


those


observational


(perceptual),


conceptual,


and


technical


(therapeutic)


skills


needed


to conduct


structural


family


therapy.


Observational


skills


are


those


skills


required


perceive


and


describe


behavioral


interactions


within


a family


session


(Breunlin


al.,


1983)


Conceptual


skills


are


those


skills


that


relate


to the


therapist's


ability


understand


a theoretical


model


that


enables


a therapist


classify


distinctions


according


to that


model


this


case


a structural/strategic


model)


(Breunlin


et al.,


1983).


Therapeutic


skills


are


those


skills


that


refer


to the


therapist's


ability


act


family


sessions


ways


that


are


consistent


with


goals


the


training


program


(Breunlin


et al.,


1983).


Student


therapist


refers


to graduate


students


enrolled


counselor


education,


counseling


psychology,


or marriage


and


family


therapy


departments


of universities


located


the


northeast


and


southeast


regions


the


United


States


participating


graduate-level


courses


structural/


strategic


family


therapy.


Extent


of Drior


traininar


refers


to the


number











the


number


supervision


hours


received


individual


counseling


and


marriage


and


family


therapy.


Extent


of Drior


work


exoer ience


refers


the


number


years


spent


providing


either


individual


counseling


marriage


and


family


therapy.


Level


initial


knowledge


refers


to the


student


trainee


initial


degree


knowledge


observational,


conceptual,


measured


and

the


therapeutic


Family


family


Therapy


therapy


Assessment


skills

Exercise


(Breunlin


et al.,


1983).














CHAPTER


REVIEW


OF THE


LITERATURE


This


chapter


provides


a review


and


analysis


the


theoretical


and


research


literature


on family


therapy


training.


The


review


addresses


three


major


areas:


family


therapy


training,


structural


and


strategic


models


family


therapy


practice


and


training,


and


student


characteristics


expected


to impact


skills


training.


Historical


Perspective


In a state


the


art


review


the


literature


family


(1978)


therapy


cited


training


almost


and


supervision,


references


that


Liddle


dealt


and


with


Halpin


some


aspect


training.


They


suggested


that


these


studies


lacked


the


rigor.


evaluation


Only


one-fifth


of training,


and


the

none


articles


these


focused

were


empirical


studies.


These


articles


documented


a variety


attempts


assess


training


outcome


through


such


means


videotape


assessment


or playback


and


measuring


changes


trainees'


work


patterns


and


job


related


behaviors.


In 1984,


Tucker


and


Pinsof


noted


that


most


positive


reports


training


outcomes


a -


1 -- aa


:II*rYIACICI~ A~CI


1.. nur


,1:,:,,


*


1











associated


with


a change


actual


practice


outcome


with


patients.


(p.437)


They


noted


that


no research


evidence


existed


to show


that


training


marital


and


family


therapy


increased


clinical


effectiveness.


Although


therapy


research


growing


examining


(Gurman,


the


Kniskern,


impact


of family


& Pinsof,


1986),


little


empirical


work


has


been


done


to evaluate


the


outcomes


of family


therapy


training.


Difficulties


inherent


this


type


of research


are


the


reason


for


the


delay.


These


difficulties


also


characterize


the


outcome


research


individual


psychotherapy


training.


Matarazzo


(1972


identified


several


the


difficulties


confronting


individual


psychotherapy


training


researchers.


These


included


problems


with


design,


randomization,


simulation


techniques,


use


of real


clients,


poorly


defined


variables,


inadequate


measuring


instruments


and


small


samples.


one


the


first


empirical


evaluations


of a family


therapy


training


program,


Tucker


and


Pinsof


(1984)


reiterated


these


same


difficulties


evaluating


family


therapy


the


training.


evaluation


They


process.


reported


They


four


were


factors


confounded


complexity


the


type of
a.. .mnl 1 n


changes


/- a


being
nsmil4


measured; (

a0 yarfv an


the


rm i nat


lack

whieh


of a standard

tn measure











behaviors


are


associated


with


positive


family


therapy


outcomes.


Family


Therapv


Training


Research


In 1979


research


field


Kniskern


on family


s lack


and


therapy


empirical


Gurman review

training and


studies


the


status


revealed


of family


the


therapy


training.


a more


recent


review,


Gurman


and


Kniskern


(1988)


noted


that,


despite


the


tremendous


upsurge


family


therapy


training


over


the


past


decade,


there


is still


little


research


to guide


these


training


efforts.


Breunlin


(1989)


reported


that


"with


few


exceptions


training


programs


not


evaluate


themselves,


but


rather


what


they


consider


correct,


often


basing


their


training


decisions


on some


isomorphism


between


therapy


and


training


domains"


Two


different


bodies


of research


literature


interest


developing.


the

One


family


concerns


therapy


training


therapist


researcher


factors


that


are


influence


the


outcomes


of family


therapy.


The


other


concerns


empirical


evidence


the


effectiveness


family


therapy


training.


The


literature


on each


these


topics


reviewed


the


following


sections.


Research


on Therapist


Factors


Affectinra


Treatment


Outcome











evidence


as to the


effectiveness


of family


therapy.


However,


a number


studies


existed


(e.g.,


Epstein,


Segal,


& Rakoff,


1968;


Thomlinson,


1973;


Tomm


& Wright,


1979)


which


the


specific


therapist


factors


that


influence


the


outcome


family


therapy


were


examined.


Three


the


most


important


therapist


factors


associated


with


positive


therapy


outcome


were


therapist


experience


level,


structuring


skills,


and


relationship


skills.


High


levels


of experience


have


been


reported


to be positively


associated


with


positive


therapeutic


outcome,


thus


the


behavior


of experienced


therapists


can


an indirect


criterion


training


success.


Pinsof


(1981)


reported


that


advanced


therapists


used


a wider


range


interventions


and


were


significantly


more


active


than


beginners.


In 1984,


Tucker


and


Pinsof


provided


preliminary


evidence


that


trainees


became


more


active


and


used


a wider


range


interventions


over


the


course


training


More


specifically,


they


noted


that


training


had


a significant


impact


on trainees


terms


increased


systemic


thinking,


increased


activity


level,


and


increased


range


and


specificity


interactions.


Therapist


structuring


skills


have


also


been


investigated


researchers


(Alexander,


Barton,


Schiavo,











gathering,


and


stimulating


interaction.


Gurman


and


Kniskern


(1988),


example,


argued


that


the


family


therapist

without a


must


be active


ssaulting


family


and


provide


defenses


early


too


soon


structure

Alexander


(1976)


reported


the


finding


the


importance


structuring


skills


that


supports


other


research


findings


that


active


family


therapists


have


fewer


dropouts


than


nonactive,


and


that


providing


structure


early


therapy


while


not


attacking


family


defenses


prematurely


associated


with


good


outcome


(Gurman


& Kniskern,


1978;


Postner,


Guttman,


Segal,


Epstein,


& Rakoff,


1981)


Finally,


therapist


relationship


skills,


including


warmth,


humor,


and


affective-behavior


integration,


have


received

outcome.


consistent

Several i


support


as a skill


investigators


(Shapir


related

o, 1974;


to positive


Shapiro


Budman,


1973;


Waxenburg,


1973)


have


reported


that


therapist


empathy,


warmth,


and


genuineness


appear


to be


very


important


keeping


families


treatment


beyond


the


first


interview.


Alexander


et al.


(1976)


reported,


for


example,


that


both


structuring


skills


and


relationship


skills


were


factors


related


to positive


outcome


regardless


the


theoretical


orientation.


Together


these


variables


accounted


the


outcome


variance


family


therapy











Research


on Family


Therayv


Training


The


second


body


literature


reviewed


concerns


the


empirical

training.


studies

Noting


the


a lack


effectiveness

of empirical


family


evidence


therapy

this


area,


Gurman


and


Kniskern


(1979)


outlined


a five-step


process


which


trainers


could


structure


their


evaluation


efforts.


This


process


includes


the


following:


identification


and


specification


training


goals,


development


a training


model,


development


measures


that


can


evaluate


training-induced


change


trainees


who


participate


the


program,


demonstration


measures


that


can


evaluate


training


induced


change,


and


demonstration


that


trainees


who


have


shown


expected


change


on the


measures


are


better


able


to help


families


therapy.


This


five-step


process


was


proposed


as a model


evaluate


any


training


program.


Obviously,


the


goals


and


identified


outcomes


training


and


supervision


(and


the


skills


the


supervisor)


are


dependent


upon


the


theoretical


orientation


the


particular


training


program


involved.


Model


family


therapy


tend


be isomorphically


represented


their


corresponding


training


models


and


methods.


For


example,


the


experientially


oriented


(Constantine,


1976;


Ferber











training


and


affective


experiences


the


trainees.


Whereas,


those


programs


that


operate


more


from


a structural


(Minuchin,


1974) ,


behavioral


(Cleghorn


& Levin,


1973),


strategic


(Haley,


1976)


therapeutic


orientation


have


more


cognitively-based


goals


and


are


focused


more


on defining


particular


sets


therapist


skills


and


ways


intervening


dysfunctional


systems.


According


to Garrigan


and


Bambrick


(1976),


a current


trend


the


family


training


literature


toward


establishing


operationally


defined


objectives


and


therapist


competencies.


Cleghorn


and


Levine


(1973)


proposed


a model


operationalizing


objectives


assessment


training


family


therapy.


According


their


model,


therapist


skills


can


be classified


into


three


groups


perceptual,


conceptual,


and


executive.


Most


published


accounts


training


programs


have


described


their


goals


as achieving


an increase


trainee


s conceptual,


perceptual,


and


technical


or executive


skills.


This


way


of describing


learning


objectives


(e.g.,


Falicov,


Constantine,


Breunlin,


1981;


Tomm


& Wright,


1979)


follows


the


proposal


Cleghorn


and


Levine.


Conceptual


skills


are


those


that


relate


to the


therapist


s ability


to formulate


problems


systemically


and











therapy


session


and


how


those


thoughts


are


organized.


Conceptual


skills


can


be evaluated


paper


and


pencil


methods.


Perceptual


skills


are


those


skills


that


relate


therapist's


ability


to evaluate


a particular


family


within


his


or her


conceptual


framework.


Perceptual


skills


refer


to what


the


therapist


observes


a family


session,


how


the


therapist


perceives


interactions,


and


their


meaning


to and


effect


on family


members.


Thus


to evaluate


perceptual


skills,


the


therapist


must


be presented


with


family


behavior, whether

perceptual skills


live


or recorded.


seldomly


occur


Conceptual


independently


and


one


another.


More


discriminating


perceptions


allow


for


better


conceptualization,


and


better


conceptual


skill


allows


better


perceptual


acuity.


The


third


type


skill


called


executive


technical


skill.


This


refers


to the


therapist


s ability


act


family


sess


ions


ways


that


are


consistent


with


the


goals


the


training


program.


Thus


executive


skills


involve


what


the


therapist


says


and


does


the


therapy


session


order


to influence


the


family


s sequences


transactions


and


thus


alter


the


way


the


family


functions.


These


skills


are


the


ultimate


goal


training,


although











Prior


1979,


most


the


family


therapy


training


literature


consisted


articles


that


described


training


programs


and


discussed


training


and


supervision


goals


(e.g. ,


Ferber,


Mendelsohn,


& Napier,


1972;


Flomenhaft


Carter,


1974;


Garrigan


& Bambrick,


1977;


Lange


& Ziegers,


1978;


Liddle


& Halpin,


1978).


Typically,


evaluation


these


programs


took


the


form


uncontrolled


post


hoc


studies


which


the


change


measures


used


were


reports


the


level


of services


offered


families


at the


respective


mental


health


Flomenhaft


and


and


counseling


Carter


(1974,


centers.


1977)


For


mailed


example,

questionnaires


professionals


private


practice


one


year


after


termination


of a 20-week


training


program


structural


family

service


therapy


practice.


to families


versus


A significant

individuals


increase


was


direct


noted.


During


the


period


from


1979


to 1985,


much


the


training


literature


continued


be impressionistic,


although


there


was


a trend


to objectify


the


skills


family


therapy


trainees.


example,


many


the


studies


described


training


outcomes


based


on clinical


observations


the


trainees


(e.g.,


Aponte


Van


Deusen,


1981;


Beal,


1976;


Ferber


& Mendelsohn,


1969,


Nichols,


1979)


or provided


a sociological


comparison


of supervision


methods


based











scored


behavioral


counts.


A popular


method


assessing


trainees


knowledge


of family


therapy


course


content


and


theory


involves


paper


and


pencil


methods


such


as multiple


choice


questions


or essays


(Friedman,


1971;


Tomm,


1980).


Friedman


reported


that


mental


health


professionals


significantly


increased


factual


and


theoretical


knowledge


between


pretraining


and


posttraining


tests.


Toni


reported


that


first


year


medical


students


demonstrated


significant


increases


the


knowledge


a Family


Categories


Scheme


devised


Epstein


and


his


associates


following


their


training


experiences


(Epstein,


Sigal,


Rakoff,


1968).


Another


method


used


the


family


therapy


training


literature


involves


assessing


changes


attitudes


the


trainee.


Pollstra


and


Lange


(1978)


reported


that


trainees'


attitudes


shifted


significantly


towards


acceptance


behavioral


family


therapy


as a result


training


this


model.


And,


as previously


mentioned,


Flomenhaft


and


Carter


(1974,


1977)


reported


that


mental


health


professionals


trained


family


therapy


reported


a significant


increase


the


amount


time


spent


family


therapy.


These


findings


suggest


that


training


leads


an increased


knowledge o


course


content


and


an acceptance


new











more


apt


use


those


concepts


with


increased


familiarity.


There


are


two


major


limitations


of the


empirical


research


discussed


so far.


Typically


the


research


design


did


not


include


comparable


control


groups.


Thus


any


changes


other


than


the


trainees


training


could


programs,


be attributed


example,


factors


spontaneous


improvement


or maturation


attention


placed


effects


(Cook


Campbell,


1979).


In addition,


the


variable


selected


outcomes


measured


only


whether


trainees


had


assimilated


instructional


material


not


whether


they


could


demonstrate


particular


family


therapy


skills.


Another


aspect


the


training


research


concerned


the


development


measures


change.


Some


the


earliest


studies

al., 19


used


73;


coding


Sigal,


systems


Lasry,


(Postner


Guttman,


et al.,


Chagoya,


1981;


& Pilan,


Sigal


1977).


Pinsof


(1981)


pointed


out


that


the


main


difficulties


with


these


studies


arose


from


the


coding


system.


Specifically,


the


division


therapist


s verbal


behavior


into


two


categories


of drive


and


interpretation


makes


the


system


not


sensitive


find


significant


results.


In 1974,


Chagoya,


Presser,


and


Sigal


developed


a more


specific


coding


system


using


26 distinct


categories.


They











simulated


family


session


and


the


outcome


therapy


families


they


treated.


Trainees'


behaviors


were


coded


the


simulated


situations


and


results


were


compared


with


family


outcome


data.


Outcome


was


based


on independent


ratings


the


family'


satisfaction


with


treatment,


the


status


of the


presenting


problem


six


months


after


termination,


return


to treatment,


and


the


family'


goal


attainment


scores.


Through


the


use


of this


category


system


(FTIS-II),


the


authors


distinguished


different


levels


competence


among


therapists


and,


some


cases,


showed


that


families


who


saw


more


expert


therapists


had


better


outcomes


therapy.


The


main


difficulty


with


this


research


was


failure


establish


actual


whether


family


results


therapy


shed


because


light

results


on the


process


measured


the


therapist's


response


to a simulated


videotaped


family


session


versus


actual


in-therapy


behavior.


Clearly


the


closer


one


gets


the


evaluation


of real


therapy


the


more


powerful


the


instrument


or measure


effectiveness.


However,


very


practical


problems


arise


the


use


of "real


families"


actual


sessions.


These


can


include


lack


of standardization,


no shows,


and


confidentiality


issues.


Because


these


difficulties











As previously


noted,


these


problems


are


also


not


new


the


history


outcome


research


individual


psychotherapy.


Matarazzo


(1972)


summarized


difficulties


with


individual


psychotherapy


training


research


that


still


apply


today.


These


include


problems


with


design,


randomization,


simulation


techniques,


and


the


use


of real


clients.


Pinsof


(1977)


and


Allred


and


Kersey


(1977)


also


developed


instruments


assess


behavioral


changes


family therapists.

executive skills.


These

Pinsof


instruments


(1979)


targeted


developed


therapist


a 19 category,


nominal


coding


system


used


study


short-term,


problem


oriented


family


Researchers


therapists


using


system


during

have


initial

reported


interviews.


findings


differences


verbal


behavior


advanced


family


therapists


who


focused


on the


here-and-now


and


beginners


who


were


more


focused


individual


members'


thoughts


and


opinions


Pinsof


speculated


that


two


cognitive


skills--


"sequential


thinking"


and


"attentional


skill"--may


influence


the


difference


between


two


groups.


Following


this


study


Pinsof


(1981)


developed


a more


complex


coding


system


called


the


Family


Therapist


Coding


System


(FTCS).


This


system


consisted


of nine


nominal











reconstruction


of a therapist


intervention.


Thus


one


can


get


a clearer


picture


a therapist'


verbal


behavior.


However,


there


a major


limitation


involved


the


use


this


measure.


Due


the


complexity


this


instrument,


considerable


amount


of practice


administration


required


order


insure


reliable


measurement


and,


therefore,


the


use


the


FTCS


often


not


feasible.


In the


second


measure,


Allred


and


Kersey


(1977)


have


analyzed


results


of research


using


the


Allred


Interactional


Analysis


of Counselors


(AIAC).


This


measure


has


also


been


shown


differentiate


among


trainees


' level


training.


Several


researchers


have


reported


this


measure


of verbal


behavior


to be highly


reliable


(Kersey,


1976;


Sanders,


1974;


Watson,


1975).


However,


studies


attempting


establish


concurrent


validity


have


not


been


impressive.


In the


past


years


several


excellent


descriptions


the


development


and


validation


therapist


rating


scales


have


been


published


(Breunlin


al.,


1983;


Piercy,


Laird,


& Mohammed,


1983;


Tucker


& Pinsof,


1984).


In each


these


papers


a different


approach


to the


problem


scale


development


was


detailed.


For


example,


Piercy


et al.


(1983)


began


with


a pool


items


that


were


believed


to reflect


family


therapy











developed


to evaluate


the


therapeutic


skills


of trainees


well


as therapists.


Their


goal


was


to create


a short,


concise


instrument


The


categories


were


based


on the


structuring


and


relationship


skills


specified


Barton


and


Reed


and


on Levant


s class


ification


various


theoretical


models


family


therapy


(Piercy


et al.,


1983)


Mohammed


and


Piercy


(1983)


used


the


relationship


and


structuring


scales


this


coding


system


measure


the


effectiveness

observation f


discuss


two


eedback


videotapes


methods

method

their


training

training


simulated


. They compared

(i.e., trainees


family


therapy


sessions)


with


a skill-based


method


the


trainer


shows


videotapes


that


teach


relationship


skills


and


structuring


skills).


Twenty-six


subjects


participated


study.


Both


groups


received


both


treatments


different


order.


A significant


result


occurred


the


group

skill


that

based


first


received


training.


This


observation


group


feedback


showed


followed


a significant


increase


relationship


skills.


In another


study,


Tucker


and


Pinsof


(1984)


utilized


scale


(the


Family


Therapist


Coding


System)


that


was


developed


to allow


the


description


of all


therapist


behavior.


The


Family


Therapist


Coding


System


was


based











Breunlin


(1983)


also


reported


the


development


an instrument


designed


measure


observational


(perceptual),


conceptual,


and


technical


(executive)


skills


of family


therapy.


The


original


instrument


consisted


videotape


an enacted


family'


first


sess


and


a series


multiple


choice


questions


regarding


the


subject'


perceptions,


conceptualizations,


and


therapeutic


recommendations


about


the


tape.


The


experimental


subjects


consisted


22 psychiatric


residents


who


were


given


one


month


of family


therapy


training,


and


the


control


group


subjects


consisted


of 11 pediatric


residents


who


were


not


given


family


therapy


training


or any


formal


training


psychotherapy.


A preassessment-postassessment


revealed


significant


increase


conceptualizations


skills


for


only


family


therapy


trainees


There


were


no significant


changes


either


observational


(perceptual)


or technical


(executive)


skills


for


either


group.


Breunlin


and


colleagues


suggested


that


the


instrument


may


not


have


been


sensitive


enough


to detect


a change


skill


level.


The


FTAE


has


since


been


revised.


The


fifth


refinement


currently


being


used


research


studies.


The


current


version


a procedure


which


subjects


watch


a simulated


family


therapy


interview


on videotape


and


answer


the










to a simulated


videotape


constitutes


a reasonable


compromise


that


can


reliably


measure


therapist


skills


within


a standardized


and


easily


scorable


methodology.


The


FTAE


was


designed


assess


the


acquisition


skills


within


the


structural/strategic


model.


Although


Breunlin


et al.


(1983)


reported


continued


difficulties


with


the


observational


(perceptual)


scale,


there


accumulating


evidence


that


both


the


conceptual


and


therapeutic


scales


the


current


version


the


FTAE


discriminate


well,


as does


the


total


score


(Hernandez,


1985;


Pulleyblank


& Shapiro,


1986;


West,


Hosie,


Zarski,


1985)


For


example,


Hernandez


(1985)


tested


the


descriminant


validity


the


FTAE


using


sample


of 75


persons


who


were


either


novice,


mid-range,


experienced


family


therapists.


Subjects


were


drawn


from


seven


family


therapy


training


programs


Illinois


and


Indiana


and


ranged


from


first


year


graduate


students


A AMF


approved


supervisors.


Three-


and


six-week


test-


retest


reliabilities


were


and


.62,


respectively.


Hernandez


found


that


the


total


score,


conceptual


score,


and


the


therapeutic


(executive)


score


discriminated


well


between


novice


and


experienced


therapists.


In another


study,


Pulleyblank


and


Shapiro


(1986)


used


the


FTAE


to evaluate


a 9-month


structural


family


therapy











therapy


training


program


and


an eight


member


comparison


group.


All


trainees


held


master'


degrees


either


marriage


and


family


therapy


or social


work


and


were


employed


were


educated


a mental


health


as master's


agency.


level


The


marriage


comparison


and


group


family


therapists


and


were


also


employed


as such.


However,


generalizability


the


study


was


limited


due


to the


small


sample


size.


In another


students


study,


enrolled


West


et al.


a graduate


(1985)


level


examined


course


family


therapy


who


practiced


interviewing


simulated


families


over


a period


months


(one


semester).


Students


were


novice


level


family


therapists.


Skill


development


was


assessed


three


equal


interval


times


during


the


semester.


The


FTAE


was


used


measure


skill


development.


A repeated


measures


analyses


indicated


there


were


significant


differences


between


testing


times


on the


total


score.


Significant


differences


were


found


from


time


to time


with


combined


scores


observational


and


conceptual


subtests.


Conceptual


time


skills


while


increased


observational


significantly


skills


from


significantly


time


increased


from


time


to time











observational


and


conceptual


skills.


However,


the


study


lent


support


to the


validity


the


FTAE


and


suggested


the


use


of simulation


for


skill


development


observational


and


conceptual


skills.


Evaluation


Training


Studies


Recently,


some


researchers


have


evaluated


training


programs.


Tomm


and


Leahey


(1980)


examined


the


relative


effectiveness


of differing


methods


training


used


teach


basic


family


assessment


72 first


year


medical


students

methods


at the


were


University


compared:


of Calgary.


lecture


Three


with


teaching


videotaped


demonstration,


small


group


discussion


with


the


same


videotaped


demonstration,


and


learning


groups


that


included

assessing


the


experiential


a family


and


component


presenting


of interviewing


a videotape


and


the


interview


to the


group


for


discussion.


Results


showed


that


posttest


achievement


was


significantly


higher


than


pretest


all


methods.


However,


no method


was


shown


superior


to others,


leading


the


conclusion


that


the


lecture-demonstration


approach


the


method


choice


teaching


family


assessment


to beginning


medical


students,


on the


basis


of cost-effectiveness.


An outcome


study


the


effectiveness


of a 3-day











performances


before


and


after


the


workshop


on both


cognitive

videotaped


and


intervention


interviews


with


skills.

simulated


Written


case


families,


analyses,


and


self-


ratings


were


the


three


measures


used


evaluate


trainee'


learning.


Significant


improvements


were


found


on all


three


measures.


No significant


differences


were


found


between


different


professional


groups


participating.


Changes


cognitive


and


intervention


skills


were


found


to be


relatively


independent.


Byles,


Bishop,


and


Horn


(1983)


described


the


evaluation


of a 14-month


training


program


based


on the


McMaster


model


of family


functioning.


The


program


consisted


6 months


training


conceptual


and


perceptual


skills


and


8 months


training


executive


skills


through


peer


group


review


of audio-taped


therapy


sessions.


Twenty-four


social


workers


employed


metropolitan


family


service


agency


were


the


trainees


Outcome


measures


of skill


acquisition


were


inconclusive.


The


most


significant


result


was


greatly


increased


use


family


therapy


agency


staff.


However,


this


article


important


as a case


study


program


innovation


within


agency


setting.


As previously


mentioned,


Mohammed


and


Piercy


(1983)










skills.


The


training


consisted


four


weekly


hour


sessions.

observation


Relationship


feedback


skills


methods


improved


the


first


with


the


sequence.


However,


overall,


neither


the


methods


or sequences


were


more


effective


direct


comparison.


The


first


comprehensive


study


an outcome


evaluation


an entire


training


program


was


reported


Tucker


and


Pinsof


(1984)


They


demonstrated


that


training


does


effect


change


trainees


on several


important


dimensions.


Setting


as their


goal


evaluating


to what


extent


psychotherapy


training


programs


achieve


their


skills


training


goals,


Tucker


and


Pinsof


developed


a standard


stimulus


and


a battery


instruments


evaluating


trainee


change.


The


study


evaluated


change


19 family


therapy


trainees


their


first


year


of study


the


Center


Families


terms


Studies/Family


three


attributes:


Institute


of Chicago


clinical


(CFS/FIC)


cognition,


techniques,

part-time,


and


self-actualization.


post-graduate


coursework.


Training


Clinical


involved


cognition


was


measured


the


Family


Concept


Assessment


(FCA)


(Tucker


& Pinsof,


1981)


and


self-actualization


the


Personal


Orientation


Inventory


(POI)


(Shostrom,


1974).


The


therapy


behavior


the


trainees


was


evaluated


rating











posttesting.

interactional


Simulated

patterns


families


were


trainees


equivalent


as demonstrated


empirical


evidence.


Results


reported


Tucker


and


Pinsof


(1984)


suggested


that


trainees


did


change


significantly


on several


dimensions


the


direction


desired


the


training


staff.


Specifically,


pretest-posttest


scores


showed


a significant


increase

Concept


thought


causality


therapy


on one


Assessment.


more


at the


verbal


the


three


This


terms


subscales


change


circular


posttesting


behavior,


than


indicated


rather

at the


as measured


the

tha


than


Family

t trainees


linear


protesting.


the


Family


Therapist


Coding


System,


was


expected


to change


25 code


categories.


these,


three


were


found


have


changed


significantly


the


expected


direction.


The


showed


increase


self-actualization


during


the


first


year


training


but


also


suggested


that


most


trainees


began


the


program


highly


actualized.


Tucker


and


Pinsof


(1984)


findings


supported


the


belief


that


family


therapy


training


can


have


clinically


meaningful


effects


on trainees.


Increased


systemic


thinking,


increased


activity


level,


and


increased


range


and


specificity


interactions


were


impacted


training.










the


fact


that


research


may


be useful


as a guide


shaping


family


therapy


training


programs.


In 1986,


Zaken-Greenberg


and


Neimeyer


reported


the


results


of a controlled


assessment


of a training


seminar


structural


the


family


conceptual


therapy


and


for


executive


graduate

e skills


students.


of 44


Changes


therapy


trainees

assessed


(22

over


family


trainees


a 16-week


and


period


22 control


using


subjects)


a repertory


grid


were

and


videotaped


therapy


simulation


technique.


Results


indicated


significant


conceptual


gains


family


therapy


trainees


but


only


among


those


with


little


previous


exposure


to family


training.


Differences


the


overall


number


as well


type


interventions


were


also


noted.


Results


generally


supported


the


predicted


impact


therapy


training


but


left


unanswered


questions


regarding


the


unique


input


family


therapy


training


over


individual


training.


Family


therapy


training


itself


could


not


be isolated


the


cause


for


many


the


differences


noted


this


study.


For


example,


some


effects


such


as decrease


obstructive


responding


occurred


both


groups


suggesting


that


they


may


result


from


practice,


maturation,


or some


other


variables


not


specific


to family


therapy


training


per


se.


Other


findings


the


study de


monstrated


the


consistent


superiority


family










therapy


over


and


above


individual


training.


Moreover,


these


authors


noted


that


there


was


an uncertain


relationship


between


training


effectiveness


and


therapeutic


effectiveness.


Even


though


the


structural


family


trainees


this


study


did


show


comparatively


greater


gains


conceptual

specified


The


and

the


executive


impact


following


skills,

training


conclusions


no current


gains


can


research


on therapy


be drawn


from


has


outcome.


reviewing


this


literature:


instruments


with


some


degree


reliability


and


validity


now


exist


that


distinguish


therapists


experience


levels;


family


therapy


training


appears


produce


an increase


trainee


skill


acquisition,


however


intervention


skills


have


never


been


measured


actual


therapy


sess


ions;


cognitive


and


intervention


another;


skills


and


effectively


appear


beginning


taught


using


to develop


assessment


traditional


independently


skills


one


may


classroom


methods.


With


regard


the


type


trainee,


the


context


and


type


of trainee,


and


the


length


training,


this


body


research

example,


demonstrated


types


a great


trainees


deal


included


diversity.


graduate


For


students,


post-master's


level


trainees,


medical


students,


and


mixed


professional


groups.


Context


training


included











and


experiential


approaches.


The


length


the


training


components


encompassed


3-day


workshops,


4-week


training


components,


semester-long


coursework,


9- and


14-month


training


programs,


and


no time


specified.


Clearly,


the


type


trainee,


contexts


training,


and


length


training


time


were


quite


varied.


Little


attention


has


been


given


to the


sample


of novice


level


trainees


studying


the


beginning

university

particular

particular


phase o

based

types

stages


f family

settings.


traine

train


therapy tr

Research

es (i.e.,

ing (i.e.,


gaining

that a

novice

initial


enrolled


dressed


level)


stage)


specific


contexts


(i.e.,


university


based


programs)


would


enhance


the


research


literature.


In a recent


review


the


outcome


research


on family


therapy tr

guidelines


aining

for f


Avis


uture


and


Sprenkle


research.


The


(1990)


suggested


following


were


recommendations


1. A need for'
creatively expl
relevant variab
traditional des
. Tucker an
distinction, as


controlled
ores ways
les due to
igns requi
d Pinsof's
method fo


research which]
for controlling
difficulty in
ring random as
(1984) Hi-Low
r controlling


h
g for
using
signment.


for


therapist experience level, was cited as an
example of this.
2. Replication of existing research with greater
specification and description of training programs
and experiences, including goals contexts,
enA nn^ 4!4- ana iintAa v.rhoij- 4h 4-rn wS n r n t nranru









51

4. The evaluation of training in terms of its
impact on therapeutic outcome. this may be
done indirectly by measuring changes in trainees
on skills associated with positive outcome, or by
studying therapy outcomes of trainees.
5. Design improvement, including specification of
trainer/supervisor and trainee variables .
adequate sample size, trainer-investigator


nonequivalence.
6. Comparative studies which
specificity question (i.e., wh
effective when, for whom under
and for what type of clinical
such studies will be essential
relative cost/effectiveness of
(p. 262)


address the
at training is
what conditions,
situation. .
in determining the
training programs.


In keeping


with


these


recommendations,


the


focus


for


this


research


was


the


novice-level


family


therapy


trainee


the


beginning


phase


of training


from


university-based


programs.


The


structural/strategic


school


of therapy


was


targeted


as the


method


training.


In addition,


the


influence


of particular


trainee


characteristics


were


examined.


Training.


Model


The


wide


field


range


marriage


approaches.


and


They


family


range


therapy


from


encompasses


psychodynamic


and


experientially


based


approaches


structural,


strategic,


and


behavioral


orientations.


Several


studies


(Henry,


1983;


McKenzie,


Atkinson,


Quinn,


& Heath,


1986)


have


found


that


structural


and


strategic


models


are


taught


-~~~wnrr~ a 4 "t n 4.A O mn


a 1 4-lhnnnh


a ama


rtrr: CaA


bCa~aa


)trn


~,IL


IW&


I











simplicity,


concreteness,


and


directness


(Figley


& Nelson,


1990).


Because


little


empirical


evidence


supports


any


one


theoretical


approach,


intellectual


integrity


mandates


the


presentation


a broad


spectrum


theories


(Sprenkle,


1988).


However,


Sprenkle


noted


that


theoretical


orientation


practice,


more


citing


evident

Purdue


classroom


University'


instruction


leading


than


marriage


and


family


therapy


program


as a program


that


teaches


major


approaches


theory


courses


but


emphasizes


brief,


problem-centered interactional

In a discussion of Purdue


approaches


s curriculum,


practice.

Sprenkle


(1988)


outlined


the


theoretical


training


sequence.


Structural


and


strategic


theories


are


emphasized


the


initial


state


the


training.


Because


the


focus


this


research


was


on the


novice


level


trainee


the


beginning


phase


training,


seemed


logical


assess


the


impact


a structural/strategic


approach


to family


therapy


training.


StructurallStrateaic


Family


Therapy


Models


The


structural


and


strategic


approaches


family


therapy


practice


are


some


the


most


clearly


articulated


the


literature.


Specific


assumptions


about


the


nature


the


therapy


process,


precise


description


techniques,











these


two


models


are


often


integrated


as a structural/


strategic


the


theory


theoretical


practice.


assumptions,


In the


major


following


therapeutic


sections

techniques,


and


major


goals


these


two


approaches


are


described.


Structural


family


theraov


model.


Viewing


the


family


as an organizational


system,


structural


therapists


conceptualize


the


family


as do


other


systemic


approaches


(i.e.,


own


as a system


functioning).


evolution


However,


that


they


constantly


feature


regulates


a distinctive


focus


on concepts


that


describe


spatial


configurations;


(i.e.,


closeness/distance,


inclusion/exclusion,


fluid/rigid


boundaries,


and


hierarchial


arrangements).


The


key


notion


of complementarity


used


the


structuralist


to denote


not


an escalation


of differences


(Bateson,


1972)


but


a fit


among


matching


parts


a whole.


From


a structuralist


point


of view,


symptomatic


behavior


a part


a dysfunctional


organization


an adolescent'


anorexia


viewed


as related


a mutual


invasion


the


patient's


and


parents'


territories).


Structural


configurations


are


deemed


functional


or not


according


to how


well


or how


badly


they


serve


the


developmental


needs


of the


family


and


members


dysfunctional


family,


development


replaced by


inertia.











symptom


the


structuralist


focuses


on the


organizational


flaw


(i.e.,


the


couple's


avoidance


of conflicts


crippling


their


parenting


of son)


(Colapinto,


1988).


The


dimensions


transactions


most


often


identified


structural


family


therapy


are


boundary,


alignment,


and


power.


Each


transaction


contains


three


these


structural


dimensions.


Minuchin


(1974)


stated,


"The


boundaries


subsystems


are


the


rules


defining


who


participates


and


how"


53).


Alignment


refers


to "the


joining


or opposition


one


member


a system


another


carrying


out


an operation"


(Haley,


1976,


109) .


This


dimension


include


but


not


limited


the


concepts


coalition


and


alliance.


Coalition


defined


as "a


process


of joint


action


against


a third


person


contrast


"alliance"


where


two


people


might


share


a common


interest


not

also


shared


described


a third pe

as force,


srson)"


has


been


109) .

defined


Finally,

as "the


power,

relative


influence


each


(family)


member


on the


outcome


activity"


(Aponte,


1976,


. 434).


Commonly


described


structural


therapy


techniques/


interventions


include


joining


the


system,


boundary


making,


enactment,


escalating


tracking


stress,


sequences,


creating


reframing


relabeling),


a crisis/intensifying,


symptom











Altering


clients'


perceptions,


expanding


their


world


views,


or reframing


their


behavior


can


lead


to change


therapy.


Structural


goals


include


reorganization


the


family


structure


and


the


lessening


of rules/roles


dictated


narrow


bonds


transactions


(i.e.,


increased


flexibility


both


families


and


their


members)


According


structuralists,


although


the


presenting


problem


should


solved,


done


so through


structural


reorganization,


process


allowing


relevant


and


essential


tasks


within


family


life


to be mastered


more


effectively.


Strategic


family


therapv


model.


The


term


strategic


family


therapy


has


been


applied


many


different


approaches.


Prominent


figures


associated


with


this


approach


include


Milton


Erickson,


Jay


Haley,


Cloe


Madanes,


the


Mental


Research


Institute


(MRI)


group


(including


John


Weak land ,


Paul


Watzlawick,


Richard


Fisch,


Steve


Shazer,


Arthur


Bodin,


and


Carlos


Sluzki),


Gerald


Zuk,


Lynn


Hoffman,


Mara


Palazzoli-Selvini,


Peggy


Papp,


and


Karl


Tomm.


Generally


speaking,


strategic


approaches


to family


therapy


fall


under


what


Madanes


and


Haley


(1977)


have


termed


the


"communication"


therapies.


Haley


(1972)


defined


strategic


therapy


as a therapy


which


the


clinician


initiates


what


happens


during


treatment


and


designs










the


theory


and


means


change.


Strategic


therapists


believe


that


insight


not


necessary


to bring


about


change


the


presenting


problem.


A developmental


life


cycle


perspective


utilized.


They


highlight


issues


circularity,


sequences


of interaction,


behavior


communication


a relationship,


and


therapeutic


issues


a part


theoretical


Therapeutic


assumptions.


techniques/intervention


used


strategists


include


obtaining


an identifiable


problem,


relabeling/reframining,


and


using


the


client'


language


and


position.


Strategic


therapists


favor


going


with


the


resistance


and


avoiding


confrontation


versus


creating


crisis.

client,


They endorse

however, they


direct

also e


methods


ndorse


of dealing


indirect


with


methods


the

(i.e.,


the


use


paradox


and


metaphor,


such


as prescribing


symptoms,


restraint


from


change,


positioning,


etc.).


Giving


directives


an important


skill


strategic


therapy.


Homework


assignments,


tasks,


the


use


rituals,


and


the


use


of outside


teams,


consultants,


and


supervisors


are


common.


Change


assumed


occur


through


the


interruption


dysfunctional,


repetitive


patterns.


altering


the


clients'


perceptions,


expanding


their


world


view,











occurs


without


the


client


knowing


how


or why


that


considered


sufficient


(and


often


preferable


insight).


Thus,


the


therapist


s relationship


not


endorsed


structural


family


therapy.


The


major


goal


of strategic


therapy


to change


the


presenting


problem.


The


therapist

behavior

problems


behavioral


s goal


sequence

quickly


to break


that

and e


change


the


maintains


efficiently,


the


presenting


immediate

symptoms

thus pro


and

and


duci


problem.


redundant

resolved

ng concrete


Altering


the


client's


solution


patterns


or second


order


change


major


goal


strategic


therapists.


Different


approaches


to strategic


therapy


emphasize


different


aspects.


The


Haley/Madanes


approach


to strategic


therapy


places


emphasis


on symptoms


as metaphors,


the


use


of ordeal


and


the


use


of pretending.


Symptoms


are


seen


as arising


from


dysfunctional


hierarchies.


Whereas


the


Milan/Ackerman


approach


places


emphasis


on circularity


and


the


inextricable


nature


of symptoms


and


systems.


The


MRI


approach


endorses


a more


general


approach


strategic


therapy.


Similarities


and


differences.


Many


similarities


and


differences


therapy.


exist


Many


structural


summaries


and


concerning


strategic


these


schools


comparative/











strategic


family


therapy.


A panel


of experts


representing


each

the


school

basic


of therapy


tenets


was


their


identified


schools


and


asked


of thought


and


to identify


reach


consensus


means


of a Delphi


procedure.


Profiles


were


developed


and


similarities


and


differences


regarding


each


school


were


identified.


The


structural


and


strategic


panelists


agreed


that


both


approaches


are


similar


terms


focusing


on the


present;


being


change,


rather


than


insight,


oriented;


viewing


problems


their


relationships


tasks;


context;


being


giving


interactional


directives;


or contextually


(e) assigning

oriented;


and


being


goal


directed


and


concerned


with


therapy


outcome


In addition,


both


schools


agreed


that


change


occurs


the


interruption


of dysfunctional


sequences,


thus


producing


a change


behavior


and


a change


perception.


However,


the


panelists


felt


that


the


approaches


differed


theoretical


emphasis.


Although


structural


therapists


emphasize


family


structure,


strategic


therapists


not.


Although


both


schools


use


direct


techniques


intervene


family


therapy,


strategic


therapists


tend


use


indirect


ones


much


more


than


do structural


therapists.


In addition,


they


noted


that


the


goals


therapy


differed


across


the


two


schools.


Strategic


therapists


aim


solve











therefore
structure.


logically


try


In contrast,


to reorganize
strategic th


the


erapi


family
sts take


the symptom at
identify those


face


value,


interaction.


S... and
1 patterns


attempt
which


maintain


the


problem.


(Stone-Fish


& Piercy,


1987,


124)


Although


integrated


approaches


of structural


and


strategic


family


therapy


exist,


may


be important


the


teaching


and


training


of family


therapy


practitioners


expose


between


them


the


the


two


subtle


schools.


and


not


There


so subtle


are


different


distinctions


ways


approach

students


this


one


(e.g.,


approach


tracking and

or the other


supervising

initially


beginning

or by


emphasizing


distinctions


throughout


the


training


process).


Many


therapists


describe


their


work


as a combination


or as


a sequence

Obviously


of both


this


strategic


not


and


coincidenta


structural

i, as Haley


principles.

was


instrumental


the


development


the


structural


school.


Structural


and


Strateaic


Models


Family


Therapy


Trainirng


There


tends


an isomorphic


relationship


between


the

the


way


therapy


family


therapy


constructed


field.


and


Literatu


training

re on the


structured

training


models


and


methods


the


structural


and


the


strategic


family


therapies


display


this


consistency.


Structural


family


therapy


training.


An example


.atnirmtnra 1


trainina


m


the


traIi nina


yroarram


of the


I











live


supervision


(Montalvo,


1973).


There


an early


emphasis


on learning


techniques


the


teaching


structural


family


therapy


reaction


the


limitations


traditional


psychotherapy


training


with


deductive


sequence


from


theoretical


constructs


specific


interventions


availability


supervision
existed bet


concepts


the


teaching


exposed


ween


and


session
a the


. without


t


the


n.


live
huge


he appa
actual


Thus,


students "
burdening


t
t


and


videotaped


discrepancies


rent


that


understanding


behavior
he idea
he steps
them wit


the


evolved
of the
h loads


therapist
of
dance


theory


that


would


slow


them


down


moments


therapeutic
theoretical
spontaneously 1


immediacy."
integration


was


would


(Colapinto,


hoped


that


emerge


1988,


With


experience,


the


training


approach


has


been


modified


became


apparent


that


spontaneous


theoretical


integration


was


the


exception


rather


than


the


rule


using


these


methods.


Thus


the


emphasis


shifted


developing


conceptual


understanding


the


model


and


the


practical


operations


the


therapy


room


simultaneously


with


an integrated


paradigm.


mere


balance


of theory


and


practice


was


considered


not


enough.


The


integration


theory


and


practice


was


necessary,


a feat


the


structural


trainer


believed


could


occur


only


the


arena


supervised


clinical


work.


"The


best


opportunity


the


The











the


highest


point


motivation


and


alertness"


(Colapinto,


1988,


21).


A typical


example


of a structural


training


program


the


Philadelphia


therapy


program


Child

which


Guidance

offers in


Clinic'


ternships,


structure

various


family


clinical


practice,

courses,


extern pr

workshops,


*ogram,

and c


supervisory


conferences .


groups,

More sp


evening


Specifically,


the


extern


program


component


aimed


master's


level


trainees


who


are


employed


an agency


setting


where


they


are


seeing


at least


five


families.


Typically


this


particular


trainee


already


acquainted


with


the


concepts


of structural


therapy


through


readings,


workshops,


edited


videotapes.


Colapinto


(1988)


has


described


the


extern


program.


summarize,


the


training


program


begins


with


a 3-day


seminar


intended


set


common


ground


for


the


training


process.


The


rest


the


program


revolves


around


direct


supervision


the


trainees'


work


with


families.


Clinical


work


conceptualized


as the


arena


where


an integration


theory


and

two


practice

sessions


can

per


best

day


occur.


under


Each


live


trainee


supervision


conducts

and rec


one


eives


or

an


additional


half


hour


of videotape


supervis


for


each


hour


therapy.











and


practice


follows


a pattern


of alternation;


the


trainee


works


with


a family,


receives


corrective


feedback


from


the


supervisor,


returns


the


family,


and


receives


more


feedback. G

or enacting,


;eneric

are i


concepts


ntertwined


such

with


as joining,


the


unbalancing,


discussion


specific


clinical


situations


throughout


the


stages


the


training


cycle.


The


integrative


approach


complemented


with


readings


assigned


accordance


with


each


trainees'


needs,


videotaped


sessions


experienced


clinicians


that


the


supervisor


discusses


to illustrate


specific


points,


and


monthly


meet


1-day


to talk


seminars


among


where


themselves


all

and


students


with


and


guest


supervisors

presenters.


The


extern


program


representative


the


way


structuralists


approach


training.


Strategic


family


therapv


training.


Many


models


therapy


are


considered


strategic


(i.e.,


Haley/Madanes


approach,


the


Milan


approach,


and


the


MRI


approach).


For


purposes


this


paper


the


Haley/Madanes


approach


discussed.


It is


assumed


that


training


a strategic


family


therapist


involves


the


design


a specific


and


individualized


plan


the


supervisor.


The


plan


followed


may


be shared


with


the


therapist


or may


indirect


and


not


shared.


this


definition


one


can


see


the


isomorphic











Strategic therapists are generally trained
live." A small group of therapists meet to
observe each other and discuss their work.
Therapists who are observing may make comments or


ask questions of
instruct or advi
clear hierarchy
supervisor is re
training therapi
It is assumed th
live experiences
family) will be
inexperienced th


Families are
therapist by live
report that they


than one
Each their
discusses
call with
sets the
relevant
session.


therapi
apist i


the supervisor, but may
se the therapist in any
is established in which
sponsible for simultaneo
sts and solving clients'
at a therapist who bring
to the therapy (e.g., r
more successful than an
erapist.


protected


1
t


the inta
the their
appointme


family
(p. 93)


supervise
ook forw
is work
assigned
ke and p
apist.
nt, and


members


from


ion,
ard
ing
a s
lans
The


the


not
way. A
the
>usly
problems.
s certain
raising a


inexperienced


and sometimes
to knowing that m
on their problem.
supervisor who
the initial phon
therapist calls,


arranges


to attend


for
the


lore


the
first


The


model


Haley


(1976)


and


Madanes


(1981,


1984)


one


which


therapy


expected


brief,


problem


focused,


with


planned


sessions,


and


an active


therapist


used.


The


goal


training


prepare


therapists


work


a variety


settings


not


dependent


on a team


behind


a one


way


mirror.


Therapists


have


the


opportunity


to treat


a wide


range


clients


(e.g.,


acute


and


chronic


problems,


poverty-level


and


upper


class


families,


etc.).


Therapists


are


trained


a directive,


learn


doing


approach.


Although


therapists


are


taught


specific


technical


skills,


the


training


emphasizes


the


development


re











make


the


best


use


the


therapist's


skills.


Learning


to clearly


deliver


directives


and


increase


one's


range


interventions


therapist


are

the


individually


context


designed


treating


for


a particular


a particular


client.


Thus


the


therapist


s strengths


and


experiences


are


built


upon.


Depending


upon


the


particular


therapist,


assignments,


tasks,


readings,


etc.


are


given.


Both


direct


and


indirect


change,


etc.)


(e.g.,


prescribe


techniques


are


the

used


behavior


restraint


teaching.


from


the


end


the


first


year


training


a therapist


should


be able


make


structural


changes


the


family


and


understand


rationale


and


consequence


each


intervention.


the


end


the


second


year,


a therapist


expected


able


to generate


a number


of strategies


to solve


a specific


problem.


Summary.


summary,


there


a great


deal


similarity


these


two


training


models.


Structural


family


therapy


training


emphasizes


both


the


conceptual


model


and


the


practical


operation


the


therapy


room.


Live


supervision


an integral


part


the


training


with


learn


doing


approach.


Structuralists


emphasize


particular


interventions


and


techniques


(e.g.,


joining,


unbalancing,


etc.)


that


are


more


direct,


focus


on changing











that


theory


and


technique


(understanding


and


behavior)


can


and


should


occur


spontaneously.


Strategic

understanding

behavior. Sim


therapists

of their nr


ilarly,


believe


oblems


strategic


that


follow

family


the


clients'


changes

therapy


their


trainers


focus


on changing


trainees


' behavior


with


their


client


families


rather


than


giving


trainees


a broad


understanding


of what


they


are


to do through


extensive


lectures


on theory.


Thus,


they


assume


that


learning


a new


approach


to treatment,


both


conceptually


and


technically,


comes


about


doing


that


treatment


(Fisch,


1988).


Clearly


methods


training


at structural/strategic


family


therapy


training


institutes


are


directed


towards


post-degree


therapists.


training


Live


with


supervision


knowledge


the


theoretical


ornerstone

concepts


the


considered


a given.


This


study


focused


on novice


level


trainees


their


beginning


phase


training.


Preliminary


phases


training


emphasized


theoretical


concepts,


a conceptual


shift


towards


systemic


thinking,


and


development


assessment


skills.


Universe itv-Based


Training


Family


Theranv


The


university-based


context


clearly


differs


from


the


previously


discussed


institute


settings.


Training










context


processes


which


and


training


outcomes


occurs also

training and


influences


the


supervision


(Haley,


1975;


Liddle,


1978).


Training


that


occurs


within


settings


that


define


family


therapy


as a profession


(e.g. ,


family


therapy


institutes)


differs


from


training


that


takes


place


within


a professional


discipline,


such


as psychology,


social


work,


or counselor


education.


Sprenkle


supervision

programs.


(1988) discussed

family therapy


Clearly


context


issues


degree


influences


training

granting


the


and

graduate


training


component.


For


example,


the


training


site's


financial


stability,


facilities,


means


of support,


embeddedness


stage


or lack


development,


thereof


the


physical


community,


and


competing


ideologies


(i.e.,


intrapsychic


versus


systemic th

Many a

theoretical


inking) influence

credited degree

diversity as the


the


nature


granting

hallmark


program


th


training.

ms cite

eir programs.


This


decision


likely


based


on the


lack


empirical


research


supporting


any


one


theory,


thus


the


presentation


a broad


spectrum


theories.


Nonetheless,


this


approach


Liddle


stands


(1982)


that


contrast


the


premature


argument


advanced


to integrate


theories


the


field


that


would


result


an eclectism


that


will


not











program


as an example


which


major


approaches


are


taught


theory


courses,


whereas


the


practice


emphasizes


brief,


problem-centered


interactional


approaches.


Another


interesting


notion


that


academic


training


theory


and


research


the


emphasis


degree


granting


programs.


In the


literature,


training


and


supervision


terms


are


often


used


synonymously,


whereas


academic


family


therapy


educators


insist


that


supervision


a subset


training,


and


that


the


latter


requires


mastery


the


body


academic


knowledge


that


requires


years


of intensive


study


(Sprenkle,


1988).


Issues


such


as these,


addition


to accreditation,


licensure,


and


third


party


payments


insurance


companies


certainly


influence


the


development


of marriage


and


family


therapy


the


training


university


the


setting


university


setting.


influenced


Training


context


and


subsequently


differs


from


training


offered


free


standing


institutes.


Training


Model


Used


this


Study


Although


the


terms


"training,


" "supervision,


" and


"consultation"


are


widely


used


the


literature,


they


are


seldom


defined


and


differentiated


clearly.


Training


refers


the


domain


education


professionals


(Piercy











precede


or occur


alongside


the


development


of a trainee


clinical


skills


through


supervised


clinical


practice


(Saba


& Liddle,


1986).


Trainees


are


concerned


with


a more


general 1


transmission


of conceptual


and


clinical


knowledge.


Supervision


refers


a continuous


relationship,


real


world


work


setting,


that


focuses


on the


specific


development

practical


a therapist


experience


s skills


treating


as he


client


or she


families


gains

(Saba


Liddle,


1986).


Focused


attention


on specific


cases,


therefore,


the


hallmark


of supervision.


Consultation


short-term,


differs


symmetrical,


from


supervision


peer-like


relationship


that


between


therapist


and


an invited


expert.


The


consultant's


power


derived


from


his


or her


expertise


and


skill.


There


formal s

learning


take


or job


evaluating

performance


the


therapist's


(Nielson


progress


& Kaslow,


1980)


might


occur


This


some


study


was


training


focused


and


on the


supervision


training


contexts.


of beginning


family


therapists


university-based


introductory


family


therapy


seminars/courses.


Thus,


the


emphasis


was


placed


upon


exposing


students


to a family


therapy


approach


that


emphasized


a combination


on structural


and


strategic


models


of therapy


Christensen,


Brown,


Rickert,


and


Turner


(1989)










emphas
(Kaslo
system
system
should
experi
should
recall
need t
identi


is on the development of assessment
w, 1987); (b) students must learn to
ically with clients in environments
s approach does not exist; (c) train
consist of a combination of didacti
ential coursework and mastery at thi
be demonstrated through more than c
; and (d) students at this level of
o primarily master engagement and pr
fiction skills. (p. 84)


skills
work
where a
ing
c and
s level
ognitive
training
oblem


Goals


interest


and o

this


objectives


study


were


the


based


sequence

on these


training


assumptions.


Coursework


that


focused


on theoretical


concepts


from


major


theories,

models, w


planning


and


rith


were


particular


an emphasis


targeted


structural


on assessment


as the


and

and


instructional


strategic

treatment


component


this


research.


Christensen


et al.


(1989)


summarized


courses


objectives


that


are


typical


of this


stage


training.


These


included


leave


basic systems concepts
description of family
structural boundaries,


* .
skills
identi
elemen
stages
from a
concis
referr
levels


as
h


), and a descripti
; (b) perceptual 1
fiction of basic
ts of family struc
of an assessment/


e
a


videotaped interview,
summary of a family a
1 plan; and (c) applic
such as mapping a fami


simulative form) f
and sequence view,


interview


with


trom a devel
conducting


a simulated


such as description of
nd then history, a
sessment criteria (i.e.,
ierarchy, strengths
on of pre-interview
evels such as the
systems concepts and
ture, recognition of basic
consultation interview


abi
sse
ati
ly
opm
an


lity t
ssment
on/dem
(video
mental,
asses


family.


o write a
and
onstration
or
structural,
sment
86)


informational











summary,


the


segment


of training


interest


this


study


was


based


on the


aforementioned


assumptions,


goals,


and


objectives


which


have


been


commonly


used


at the


initial


stage


of family


therapy


training


Clearly


this


method


instruction


emphasizes


a skill


development


approach


which


has


been


commonly


described


the


training


research


literature.


The


outcome


variables


interest


were


changes


family


therapy


conceptual,


perceptual,


and


observational


skills.


These


changes


skills


were


used


evaluate


this


component


the


training


The


instrument


used


evaluation


the


outcome


variables,


the


FTAE


was


considered


an appropriate


choice


this


task


based


previously


cited


research


Breunlin


et al.


(1983)


developed


this


instrument


measure


conceptual,


perceptual,


and


observational


skills


specific


the


structural


and


strategic


schools


therapy.


Research


on Theranv


Trainee


Characteristics


Gurman


and


Kniskern


(1981)


also


recommended


that


family


therapy


training


research


be conducted


to evaluate


the


impact


factors


that


may


not


be specific


any


given


school


but


may


pertinent


across


schools.


For


example,


are


there


relatively


enduring


personality


factors


psychological


mindedness,


tendency


toward


convergent


rather










schools


therapy


and


also


relevant


across


various


schools


has


been


the


direction


recommended.


an attempt


address

designed


this


"specificity


a research


study


question"


evaluate


Breunlin


the


et al.


effect


(1989)

three


these


variables


on the


acquisition


of family


therapy


skills.


The


three


variables


were


aspects


the


trainee


s personal


background,


trainee's


prior


training


and/or


clinical


practice


experience,


and


components


the


training


experience


itself.


Data


regarding


these


three


sets


variables


were


gathered


questionnaire.


The


acquisition


of family


therapy


skills


was


measured


the


Family


Therapy


Assessment


(FTAE)


(Breunlin


al .,


1983)


protesting


and


seven training

subjects ranged


posttesting.

programs par


experience


Ninety-six


Sticipated


from


subjects


the


little


drawn


study.


prior


from


The


clinical


experience


training


training


to those


included


programs,


with


and


considerable


university

an institu


experience.


settings, a

te training


agency


Contexts


inservice


program.


All


programs


included


some


teaching


the


structural/strategic


model.


More


specifically


conjugal


family


experience,


prior


family


therapy


experience


and


prior


individual


therapy


experience,


and


severity


cases


and


percentage


cases


being


seen


individual


therapy


were










specifically


the


therapeutic


skill


level.


In contrast,


prior


experience


family


therapy


did


not


influence


change


either


the


FTAE


total


or subscores


perhaps


due


ceiling


effect


or to higher


pretest


scores.


Previous


experience


individual


therapy


did


predict


changes,


however,


family


therapy


learning,


specifically


conceptual


skill.


Thi


finding


was


of surprising


interest


because,


(e.g


the


Haley,


past,


1981)


family


have


therapy


predicted


educators


that


and


individual


trainers

training


would


be counterproductive


to the


theory


and


practice


family


therapy.


In addition,


the


program


variables


severity


cases


and


percentage


individual


cases


also


had


predictive


significance.


their


own


admission,


Breunlin


et al.


(1989)


stated


that


these


results


can


only


taken


as suggestive


and


needing


replication


(due


to methodological


problems


and


missing


data).


However,


they


reported


the


results


because


the


scarcity


of studies


family


therapy


training.


More


importantly,


these


researchers


suggested


that


"trainee


characteristics


matter


a great


deal


even


after


selection


training;


accounting


for


a population


estimate)


the


half


total

the


FTAE


score


reliable


improvement,


variance


the


or better,


total


for


change


about


score"











studies


and


begins


look


how


personal


characteristics


the


trainee


effect


acquisition


of skills


family


therapy


training.


Five


other


studies


have


been


conducted


which


the


researchers


have


attempted


control


for


important


trainee


variables


such


as gender,


experience


level,


and


and


Leahy


previous

(1980) co


training.


ntrolled


In previous


statistically


literature,


for


Tomm


gender,


marital


and


status,


Pinsof


and


(1984)


previous


and


work


Zaken-Greenberg


experience,


and


and


Neimeyer


Tucker

(1986)


controlled for

to extend this


particular


trainee


type


experience.


of research


characteristics


the


This


researcher


examining


marriage


the


and


sought


effect


family


therapy


trainee


on the


acquisition


of skills.


Therapist


Variables


Individual


..Counselina


Training


It is


not


surprising


that


the


specificity


question


the


field


family


therapy


has


not


been


addressed,


as the


parallel


question


with


regard


to general


psychotherapy


training,


1967).

family


itself,


Much


therapy


has


the


been


training


focused


on s


difficult t

g research

kill acquis


O

in


answer


(Paul,


marriage


ition


and


as originally


proposed


Cleghorn


and


Levine


(1973).


Similarly,


emphasis


on the


skills


training


approach


has


been


a common


component


graduate


level


counseling


programs


(e.g.,










manner


that


ignores


both


learner


and


learning


process


variables


that


could


affect


training


outcome


and


counseling


effectiveness.


Therapist


factors


that


can


affect


the


learning


family


therapy


skills,


and


even


more


importantly


the


outcome


psychotherapy,


are


complex.


In a review


the


literature


on therapist


variables


psychotherapy


process


and


outcome


research,


Beutler,


Crago,


and


Arizmendi


(1986)


discussed


the


complexity


conducting


research


such


this.


They


emphasized


the


need


to continue


research


directed


towards


understanding


the


complex


interactions


between


therapist,


intervention,


client,


and


the


nature


outcome.


Some


research


has


emerged


the


general


body


individual


counseling


and


psychotherapy


training


literature


that


studied


the


effect


trainee


variables


on the


acquisition


therapy


skills.


Mahon


and


Altmann


(1977)


suggested


that


learner


perceptions


and


attitudes


may


affect


the


control,


the


intentionality,


or the


flexibility


skill


used


the


trainee,


which


could


turn


determine


the


selection


and


production


discrete


skills


during


counseling.


Hirsch


and


Stone


(1982),


a study


examining


attitudes


and


behaviors


counseling


skills


development,











Attitudes


of counselors


have


been


found


influence


perceptual


and


behavioral


flexibility.


Wampold,


Cass,


and


Atkinson


(1981)


found


that


stereotyping


interferes


with


counselor


minorities.


i processing

In another


information


study,


about


stereotyping


ethnic

of homosexual


individuals


versus


heterosexual


individuals


was


also


found


to interfere


with


the


counselor's


processing


information


(Cass,


Brady,


& Ponterotto,


1983).


Rec


trainee


ently some

variables


studies

on the a


have


cquis


examined


ition


the im

therapy


p


act of

skills.


Fong


and


Borders


(1985),


Fong,


Borders,


and


Neimeyer


(1986),


and


Neimeyer


and


Fong


(1983)


explored


the


relationship


between


self-disclosure


flexibility


and


counselor


effectiveness


during


a counseling


training


course


which


more


53 students


flexible


were


disclosures


enrolled.

initially


Results

produced


revealed


more


that


effective


counseling


responses


than


did


less


flexible


disclosures,


but


that


these


differences


were


attenuated


over


the


course


training.


Fong


and


Borders


(1985),


using


the


Bemr


Sex


Role


Inventory,


reported


that


counseling


students'


sex


role


orientation


had


an effect


on counseling


skills


performance.


In particular,


masculine


oriented


trainees


were


rated











trainees


were


less


effective


than


either


the


feminine


the


undifferentiated


orientations.


a more


recent


study,


Fong,


Borders,


and


Neimeyer


(1986)


examined


the


impact


sex


role


orientation


and


self-disclosure


flexibility


44 counseling


students


their abil

overall co

counseling


ity


to demonstrate


unseling

skills


response

training.


counseling s

effectiveness


Using


kills a

during


factorial


nd


their


and


analyses


after

, sex


role


orientation


and


level


of self-disclosure


flexibility


accounted


approximately


the


variance


quality


counseling


skills.


These


findings


lend


support


the


importance


trainee


perceptual,


cognitive,


and


behavioral


flexibility


the


acquisition


and


use


counseling


skills.


The


authors


challenged


the


assumption


that


instructional


input


can


account


most


the


variance


trainee


skill


performance


and


suggested


that


the


trainees'


perceptual

developing


source


cognitive,


counseling

variation.


and

skill

They


behavioral

proficienc:

recommended


flexibility


may

using


for


an important


other


indicators


of flexibility


research


studies


to describe


more


clearly


how


these


variables


mediate


the


learning


and


use


of counseling


skills.


It has


been


suggested


that


compatibility


between


the











used


the


Myers-Briggs


Type


Indicator


(MBTI)


(Handley,


1982;


Yura,


1972;


Wyse,


1975).


For


example,


Handley


(1982)


examined


cognitive


the


relationship


styles


between


of supervisors


the


and


similarity


counselors


training


and


supervision


process


and


outcome


measures.


previously


noted,


he found


that


intuitively


oriented


counselors


training


received


higher


supervisor


ratings


than


did


other


counseling


students.


Similarity


between


supervisors


and


counselors


training


on the


MBTI


S-N


scale


was


reported


to be related


to practicum


student


satisfaction


with


supervision.


Handley's


findings


supported


the


hypothesis


that


similarity


of cognitive


styles


improves


accuracy


of communication


the


supervisory


relationship.


However,


these


findings


are


preliminary


As previously


noted,


Carey


and


Williams


(1986)


compared


18 practicum


supervisors


and


46 counselors


training


terms


dominant


counseling


style


and


related


cognitive


style


of counselors


training


to the


supervision


process


and


outcome


measures.


In contrast


findings


previous


researchers,


a strong


relationship


between


the


cognitive


style


of counselors


training


and


supervision


process


and


outcome


measures


was


not


detected










Clearly


this


research


supports


the


concern


voiced


Mahon


and


Altmann


(1977)


and


Hirsch


and


Stone


(1982)


that


counseling


skills


training


should


not


uniformly


taught


counselor


trainees.


In addition,


supports


the


need


further


research


on the


impact


of personal


trainee


variables


on the


learning


process.


As previously


mentioned


parallel


literature,


Gurman


and


Kniskern


(1988)


suggested


that


marriage


and


family


training


researchers


are


beginning


grapple


with


the


specificity


question


(i.e.,


what


types


training


experiences,


with


which


types


trainees


produce


effective


therapists


within


a particular


model


of therapy).


As discussed


previously,


Breunlin


et al.


(1989)


reported


the


results


a study


designed


examine


the


effect o

therapy

conjugal


trainee


skills.

family


variables


Variables

experience,


on the


their


prior


acquisition

study conc


training


of family


erned


individual


and


family


therapy,


and


program


variables


(e.g.


severity


cases).


They


concluded


from


their


research


that


trainee


characteristics


matter


a great


deal


even


after


selection


training,


accounting


for


the


variance


the


total


score


improvement


trainees.


interest


this


research


effort


the


prior











became


more


similar


as their


experience


increases.


More


recent


literature


revealed


that


experience


facilitated


some


therapy


processes


such


as therapists'


empathy


(Auerbach


Johnson,


1977)


and


patient


satisfaction


(Beutler


et al.,


1986).


Gurman


and


Kniskern


(1978)


cited


therapist


experience


level


as a factor


that


influences


the


outcome


family


therapy


and


suggested


that


studies


include


this


variable.


Beutler


et al.


(1986)


suggested


that


investigations


should


distinguish


between


amount


(e.g.,


number


of years)


and


type


(e.g.,


professional


discipline)


of training.


Thus


experience


level


should


be considered


independent


of formal


training

trainee'


This


s prior


researcher


training


examined


the


individual


impact


counseling


the

and


marriage


and


family


therapy)


and


prior


work


experience


individual


counseling


and


marriage


and


family


therapy)


the


acquis


ition


therapy


skills.


In addition


to studying


the


impact


of prior


training


and


work


experience


on therapy,


this


researcher


also


examined


the


impact


the


learning


style


the


trainee


the


acquisition


of family


therapy


skills.


Learnin.U


Style


An examination


instructional


theories


(e.g.,










acquisition


and


developing


comprehensive


approaches


skill


training.


Clearly


characteristics


of both


the


supervisor


(teacher)


and


supervisee


(learner)


affect


the


interaction


that


occurs


between


them.


Hart


(198


suggested

learning


that supervisee

process include


aspects to

expectations


be examined


during


supervisee


the


and


supervisor),

interpersonal


levels


behavior,


training


and


and


learning


experience,

style. In


patterns


I this


context


learning


refers


the


speed


and


efficiency


with


which


supervises


can


acquire


various


types


information.


For


example,


some


supervisees


are


able


learn


best


from


principles


that


are


discussed


and


demonstrated


whereas


others


learn


best


critiques


their


performance


with


clients.


Hart


(1982)


suggested


that


learning


style,


like


other


the


interpersonal

supervisory


patterns,


and


an important


teaching/learning


consideration


process.


recommended


conducting


research


that


includes


the


consideration


learning


style


as an important


variable


affecting

Hart


the


supervision


(1982)


and


encouraged


teaching/learning


the


clinical


process.


supervisor


select


techniques


that


are


appropriate


the


supervise


with


particular


intellectual


characteristics.


For


example,


Berengarten


(1957)


described


major


learning


patterns











experiential-empathic


on results


learner


of intuitively


tries


proceeding


out hunches

with tasks


and

that


relies

seem


appropriate.


The


intellectual-empathic


learner


relies


deliberate


plans


that


are


carefully


thought


out


before


any


action


taken.


In another


study


Rosenthal


(1977)


examined


the


effects


of learning


style


and


conceptual


level


supervises


on the


learning


of clinical


skills.


His


results


indicated


that


the


effectiveness


the


method


teaching


a clinical


skill


(confrontation)


was


dependent


upon


the


conceptual


level


(high


or low)


the


supervisee.


Clearly,


considering


trainee


learning


style


when


examining


trainee


skill


acquisition


an important


area.


Research


on the


differentiate


outcomes


learning


styles


live supervision

and preferences


has

and


begun

has


defined


some


predictable


trainee


responses


from


therapists


who


have


undergone


a live


supervision


experience


(Liddle,


Davidson,


& Barrett,


1988)


For


example,


Liddle


et al.


(1988)


assessed,


through


structured


interview


format,


trainees


from


a variety


training


contexts


which


live


supervis


was


a component.


The


results


provided


initial


picture


the


variables


that


might


warrant


further


description


and


experimental


inquiry.


More


specifically,


they


noted


that


the


preference


active


participation










who


saw


themselves


as having


an active


learning


style


than


those


having


a more


passive


style


of learning.


The


conclusions

involvement


trainee


drawn


the


success


the


learning


authors


were


process


supervision


and


that


was


that


see


personal

n as crucial


passive


learning


styles


were


viewed


as less


beneficial


than


active


ones.


Clearly,


the


variable


of learning


style


may


have


significant


impact


on the


acquis


ition


therapy


skills.


The


trainee's


mode


observing,


taking


data


about


the


world,


organizing


and


acting


upon


the


realm


individual


and


family


therapy


training


may


influence


the


learning


therapy


skills.


A number


of different


theories


and


models


cognitive


style/learning


style


have


been


proposed.


A well-known


example


the


Myers


Briggs


Type


Indicator


which


based


on Jung


s theory


psychological


types.


Many


models


such


as this


have


been


used


to sort


individuals


into


career/occupational


categories


as a way


applying/resolving


cognitive


tasks


(e.g.,


Kolb,


1976,


1981).


Few


the


learning


models


have


been


used


predict


learning


and


performance


of specific


job


tasks.


Identifying


preferred


learning


style


and


motivation


patterns


may


be of interest,


however,


not


only


terms










classroom


structure,


tasks,


and


assignment


geared


towards


specific


personality


types/learning


styles


of students


elementary/secondary


education.


The


implications


for


research


that


includes


learning


style


of the


trainee


as a


variable


the


therapy


learning


process


are


many.


Variables


of Interest


the


Study


In the


following


sections,


the


outcome


variables


and


the


four


trainee


variables


interest


the


study


(i.e.,


prior


training


individual


counseling


and


marriage


and


family


therapy,


prior


work


experience


individual


counseling


and


marriage


and


family


therapy,


initial


knowledge


of family


therapy,


and


learning


style)


are


discussed.


Outcome


Variables


The


outcome


variables


examined


this


study


are


the


change


observational


(perceptual),


conceptual,


and


therapeutic


(executive)


skill


the


family


therapy


trainee


from


protesting


posttesting.


These


skills


were


originally


defined


Cleghorn


and


Levine


(1973)


and


have


been


subsequently


used


describing


learning


objectives


(e.g


Falicov


marriage


and


al .,


family


1981;


therapy


Tomm


& Wright,


training


most


1979)


of the


published


accounts.










understanding


necessary


of a model.


to execute


Therapeutic


interventions


skills


skillfully


are


those


within


the


session


according


one's


model


therapy,


and


this


case,


the


structural/strategic


model


of family


therapy.


Breunlin


(1983)


have


developed


an instrument


evaluate


change


therapeutic


skills


terms


observational,


as previously


defined.


conceptual,


This


and


the


measure


used


the


study


assess


change


these


skills.


Observational


(perceptual),


conceptual,


and


executive


(technical)


skills


have


been


previously


discussed


the


review


the


training


literature.


These


three


interrelated


sets


of skills


are


commonly


used


the


training


research.


Family


TheraPist


Assessment


Exercise


Breunlin


et al.


(1983)


described


the


Family


Therapist


Assessment


Exercise


(FTAE)


as an instrument-in-process


designed


effectiveness


evaluate


family


of family


therapists


therapy


and


training


the


The


instrument


based


strategic


(and


model


assesses


family


competence


therapy


which


the


structural-


integrates


structural


family


therapy


as espoused


Minuchin


and


his


colleagues

Minuchin,


(Minuchin,


Rosman,


1974;


& Baker,


Minuchin

1978); pr


& Fishman,


oblem-solvin


1981;

g and










Ackerman


Brief


Therapy


Project


(Hoffman,


1981;


Papp,


1980).


Breunlin


et al.


(1983)


claimed


that


they


were,


essence,


measuring


therapists


' ability


to systemically


conceptualize


a crucial


conceptual


family therapy
systemicallyy,
actions as one


rather
actions
traits.


The


than
or b


instrument


the


element
ability


that is to
part of a r


being caused b
e intrapsychic


consists


of
to


view


this


model


think


a


edundant
y another
events


family
family


r


member'
dance,


member's


or personality


a videotape


a first


session


with


an enacted


family.


The


script


on the


videotape


an actual


first


session


(edited


down


to 30


minutes)


so that


can


replicate


the


type


of stimulus


data


a therapist

provides a


actually


standardize


encounters.

ed stimulus


The

for


use

the


the


written


videotape

component


of the


instrument.


A wide


range


interventions


are


illustrated


and


family


dynamics


of moderate


complexity


are


depicted.

highlight


therapist


Some


modifications


important


behaviors,


conceptual


some


were


introduced


material


which


and


would


order


include


considered


mistakes.


The


final


tape


was


filmed


using


professional


actors


and


sophisticated


audio/visual


reproduction,


providing


transitions


between


the


edited


segments.


Four


family


therapists


reviewed


the


manual


and


tape


and











They


have


designed


the


instrument


assess


three


inter-related


sets


of skills:


observational,


conceptual,


and


therapeutic


skills


(Falicov


et al.,


1981)


These


are


virtually


the


same


as Cleghorn


and


Levine's


(1973)


perceptual,


conceptual,


and


executive


skills.


Observational


skills


are


those


required


to perceive


and


accurately


describe


behavioral


data


within


a session.


Conceptual


skills


are


those


inherent


a theoretical


understanding


necessary


of a model.


to execute


Therapeutic


interventions


skills


skillfully


are


those


within


the


session


according


one'


model


of therapy,


this


case


the


structural-strategic


The


instrument


model


intended


of

to


family

measure


therapy.

e therapists'


competence


these


three


sets


of skills


as applicable


within


the


clinical


situation


depicted


on the


videotape.


Observational


skills


are


measured


how


perceptive


the


respondent


to behavioral


data


and


sequences;


conceptual


skills


are


measured


whether


the


respondent


chooses


the


"correct"


(per


corresponds


theoretical


that


segment


orientation)


of behavioral


concept


data.


that


Because


the


respondent


observing


another


conduct


therapy


on a


videotape,


more


difficult


assess


the


respondent


actual


therapeutic


skills.


But


the


test


asks


the











choose


as a therapeutic


intervention


response


the


prior


sequence


portrayed


on the


tape.


These,


course,


may


not


predict


whether


the


respondent


would


actually


act


this


way


a similar


clinical


situation.


Development


the


Instrument


To date,


there


have


been


five


progressively


refined


versions

studies.


the


The


test


first


based

version


on the

used


researchers


broad,


' pilot


open-ended


questions


to explore


how


therapists


would


respond


the


tape.


A subjective


comparison


of pretraining


and


posttraining


test


responses


from


12 clinical


externs


family


therapy


revealed


a substantial


improvement


complexity


answers


with


increased


application


training


knowledge


to the


tape.


In constructing


the


second


version,


the


answers


that


were


obtained


using


the


initial,


open-ended


version


were


generated


each


item:


one


preferred


and


three


alternatives,


each


of which


were


weighted.


was


hoped


that


the


weighing


would


render


a more


accurate


indication


progress


therapist


competency


from


protesting


posttesting.


Questions


were


included


only


there


was


unanimous


agreement


among


the


researchers


on the


correct


answers.


The


second


form


included


20 questions--7











The


second


version


was


piloted


on five


groups


pediatric


residents


(n=13)


and


three


groups


third-year


medical


students


posttraining


(n=9)


scores


A comparison


indicated


signific


of pretraining

ant improvement


and

(p.


.01)


suggesting


that


both


the


training


was


effective


and


that


the


instrument


sensitively


measured


the


training


impact.


The


third


version


consisted


of 13 multiple-choice


conceptual


questions,


5 observational


questions


which


the


respondent


must


recall


an interactional


sequence


using


a fill-in-the-blank


format),


8 multiple-choice


therapeutic


questions


(mostly


critiquing


the


therapist


s behavior


tape),


and


therapeutic


questions


that


require


the


respondent


to write


a therapeutic


intervention.


This


version


was


reviewed


and


then


taken


two


other


family


therapy


trainers


to verify


concurrence


on the


multiple-choice


answers.


There


seemed


to be greater


difficulty


the


reaching


therapeutic


agreement


items.


among


the


Apparently,


experts


was


regarding


easier


agree


about


what


the


family


doing


and


what


needs


happen


than


when


and


how


this


should


best


occur.


For


this


reason,


seemed


that


the


third


version


the


instrument


was


more


valid


measure


of observational


and


conceptual


skills











The


correlation


between


experience


level


and


average


score


as would


be expected


and


suggested


that


the


test


level


difficulty


has


avoided


the


previous


problem


of a ceiling


effect.


In the


ominous


fourth


task


version


scoring


the


open-ended


FTAE,


items,


because


Breunlin


the


and


colleagues


opted


to back


track


and


convert


the


entire


instrument


a multiple-choice


format.


They


chose


some


the


most


popular


responses


from


the


open-ended


pilot


runs


and


cast


them


as potential


choices


within


the


multiple-


choice


format.


In contrast


earlier


versions


the


instrument,


however,


the


"correct"


response


was


embedded


with


equally


reasonable


alternatives


and


thereby


not


obvious


the


respondent.


The

Exercise


fifth

(FTAE)


refinement


used


the


this


Family

study.


Therapy


This


Assessment


current


version


a procedure


which


subjects


watch


a simulated


family


therapy


interview


on videotape


and


answer


the


questions


a 32-item,


multiple-choice


format


test.


these


32 questions,


are


observational,


are


conceptual,


and


are


reported


therapeutic.


continued


Although


difficulty


with


Breunlin


the


et al.


(1989)


observational


scale,


several


studies


(Hernandez,


1985;


Pulleyblank,


1985;










total


score.


These


studies


have


been


previously


discussed


the


review


the


family


therapy


training


literature.


Finally,


should


noted


that


throughout


each


version


the


FTAE,


Breunlin


and


colleagues


constructed


the


instrument


so that


maintained


jargon-free


terminology


even


though


assessed


competence


the


structural-strategic


model.


This


allowed


those


uninitiated


to family


therapy


to understand


the


alternatives


and


insured


that


the


test


measures


more


than


the


respondents'


acquaintance


with


the


vocabulary


the


model.


But,


due


its

and


reliance o

colleagues


n the


structural-strategic


commented


that


model,


theoretically


Breunlin

y possible


that


a highly


trained


clinician


from


a contrasting


school


might


very


poorly


on this


test.


However,


this


study


a structural/strategic


model


therapy


comprised


the


treatment


component,


therefore,


this


particular


issue


should


not


pose


a problem.


Trainee


Variables


(Characteristics)


Much


the


research


done


the


area


training


marriage


and


family


therapy


has


been


done


with


postgraduate


level


trainees


family


therapy


training


centers


and


institutes.


Little


research


has


been


done


that


targeted


the


novice


level


trainee


enrolled


degree


granting










within


universities


remains


be defined.


This


researcher


targeted


the


beginning


trainee


marriage


and


family


who


was


enrolled


a university-based


training


experience.


The


variables


of interest


examined


were


the


trainee's


prior


training,


work


experience


both


individual


counseling


knowledge


and


marriage


family


and


therapy,


family


and


therapy,


the


learning


initial


style


the


trainee.


Prior


training


and


work


experience


individual


counseling /therapv


and


marriacre


and


family


therapy.


interest


this


study


was


the


effect


trainee'


previous


training


and


experience


individual


therapy


and


marriage


and


family


therapy


on the


acquisition


observational,


conceptual,


and


therapeutic


skills


of family


therapy.


It has


been


commonly


and


perhaps


intuitively


presumed


that


prior


training


individual


psychotherapy


interferes


with


the


cognitive


shift


to systemic


thinking


and


the


learning


of marriage


and


family


therapy


general.


However,


what


Pulleyblank


experience


(1985)


prior


discussed


family


the


therapy


need


training


clarify


was


relevant


to the


success


as a family


therapist.


Pulleyblank's


study,


a self-evaluation


component


was


used


conjunction


with


other


measures.


She


found


that


the




Full Text
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 EBWHPT69U_Z8BD50 INGEST_TIME 2017-07-11T22:09:21Z PACKAGE AA00002102_00001
AGREEMENT_INFO ACCOUNT UF PROJECT UFDC
FILES



PAGE 1

7+( ,03$&7 2) 75$,1(( &+$5$&7(5,67,&6 21 )$0,/< 7+(5$3< 6.,// $&48,6,7,21 2) 129,&( 7+(5$3,676 %\ 5,7$ /$:/(5 *22'0$1 $ ',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

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

PAGE 3

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f f 9OO

PAGE 4

9 ',6&866,21 3UHOLPLQDU\ $QDO\VLV 'LVFXVVLRQ RI 5HVXOWV /LPLWDWLRQV RI WKH 6WXG\ ,PSOLFDWLRQV 6XPPDU\ $33(1',&(6 $ ,1)250$7,21 72 3$57,&,3$7,1* 81,9(56,7,(6 % &/$66 &217(17 &5,7(5,$ & ,1)250(' &216(17 )25 )$0,/< 7+(5$3< 352-(&7 7+(5$3< (;3(5,(1&( ,19(1725< ( .2/% /($51,1* 67
PAGE 5

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f 6FRUH DQG 'HVFULSWLYH &RQFHSWXDO DQG 7KHUDSHXWLF 6XEVFDOHV ,QWHUFRUUHODWLRQV $PRQJ 7UDLQHH 9DULDEOHV ,QWHUFRUUHODWLRQV $PRQJ ,QGHSHQGHQW DQG 'HSHQGHQW 7UDLQHH 9DULDEOHV )UHTXHQF\ 'LVWULEXWLRQ IRU 6XSHUYLVLRQ +RXUV $FFXPXODWHG 'XULQJ WKH 6SHFLILHG 7UDLQLQJ &RXUVHV Y

PAGE 6

)UHTXHQF\ 'LVWULEXWLRQ IRU $GGLWLRQDO 0DUULDJH PLOY 7KHUD'Y &ODVVHV 7DNHQ LQ &RQLXQFWL :LWK WKH 6SHFLILHG 7UDLQLQJ &RXUVHV 5HJUHVVLRQ 0RGHO IRU WKH 5HODWLRQVKLS %HWZHHQ WKH 3RVWWHVW )7$( 2YHUDOO 6FRUH DQG WKH 6HOHFWHG 3HUVRQDO &KDUDFWHULVWLFV RI WKH 0DUULDJH DQG )DPLO\ 7KHUDS\ 7UDLQHH 0RGHO IRU WKH 5HODWLRQVKLS %HWZHHQ WKH )DPLO\ 7KHUDS\ $VVHVVPHQW ([HUFLVH )7$(f 6XEVFDOH DQG WKH 6HOHFWHG 3HUVRQDO RI WKH 0DUULDJH DQG )DPLO\ 7KHUDS\ 7UDLQHH WKH )D &RQFHSWXDO 0RGHO IRU WKH 5HODWLRQVKLS EHWZHHQ 7KHUDS\ $VVHVVPHQW ([HUFLVH )7$(f 6XEVFDOH DQG WKH 6HOHFWHG 3HUVRQDO &KDUDFWHULVWLFV RI WKH 0DUULDJH DQG )DPLO\ 7KHUDS\ 7UDLQHH 5HJUHVVLRQ 0RGHO IRU WKH 5HODWLRQVKLS EHWZHHQ WKH )DPLO\ 7KHUDS\ $VVHVVPHQW ([HUFLVH )7$(f 7KHUDSHXWLF 6XEVFDOH DQG WKH 6HOHFWHG 3HUVRQDO &KDUDFWHULVWLFV RI WKH 0DUULDJH DQG )DPLO\ 7KHUDS\ 7UDLQHH YL

PAGE 7

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f VNLOO DFTXLVLWLRQ ,Q DGGLWLRQ WKH DVVRFLDWLRQV EHWZHHQ IRXU W\SHV RI WUDLQHH FKDUDFWHULVWLFV RQ WKH DFTXLVLWLRQ RI WKHVH IDPLO\ WKHUDS\ VNLOOV ZHUH H[DPLQHG 7KH VDPSOH FRQVLVWHG RI VWXGHQWV HQUROOHG LQ LQWURGXFWRU\ FRXUVHV LQ VWUXFWXUDOVWUDWHJLF IDPLO\ WKHUDS\ GUDZQ IURP ILYH GLIIHUHQW DFDGHPLF WUDLQLQJ SURJUDPV 3DUWLFLSDQWV FRPSOHWHG DVVHVVLQJ OHYHO RI SULRU WUDLQLQJ DQG ZRUN H[SHULHQFH LQ LQGLYLGXDO FRXQVHOLQJ DQG IDPLO\ WKHUDS\ SUHIHUUHG OHDUQLQJ VW\OH DQG NQRZOHGJH RI IDPLO\ WKHUDS\ 7KH SDUWLFLSDQWV UHSRUWHG YHU\ OLPLWHG DPRXQWV RI SULRU WUDLQLQJ DQG ZRUN H[SHULHQFH LQ HLWKHU

PAGE 8

LQGLYLGXDO RI IDPLO\ WKHUDS\ FRXQVHOLQJ 2I IRXU SRVVLEOH OHDUQLQJ VW\OHV PRUH WKDQ b RI WKH SDUWLFLSDQWV GHVFULEHG WKHPVHOYHV DV GLYHUJHUV 5HVXOWV LQGLFDWHG D VLJQLILFDQW FKDQJH LQ VNLOO DFTXLVLWLRQ IURP SUHWHVWLQJ WR SRVWWHVWLQJ RQ DOO WKUHH VXEVFDOHV RI WKH )DPLO\ 7KHUDS\ $VVHVVPHQW ([HUFLVH )7$(f 6LJQLILFDQW VFRUHV ZHUH REWDLQHG IRU WKH WRWDO VFRUH S f WKH VXEVFDOH VFRUH S f WKH FRQFHSWXDO VXEVFDOH VFRUH S f DQG WKH WKHUDSHXWLF VFRUH S f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

PAGE 9

3RVVLEOH H[SODQDWLRQV DQG LPSOLFDWLRQV IRU WKHVH ILQGLQJV ZHUH GLVFXVVHG DORQJ ZLWK GLUHFWLRQV IRU IXWXUH UHVHDUFK LQ WKLV DUHD

PAGE 10

&+$37(5 ,1752'8&7,21 2YHU WKH SDVW IRXU GHFDGHV DV WKH ILHOG RI IDPLO\ WKHUDS\ KDV H[SDQGHG RSSRUWXQLWLHV WR JDLQ SURIHVVLRQDO WUDLQLQJ LQ IDPLO\ WKHUDS\ ZLWKLQ DFDGHPLF VHWWLQJV KDYH 7KLV WUHQG WRZDUG SURYLGLQJ WUDLQLQJ LQ IDPLO\ WKHUDS\ ZLWKLQ DFDGHPLF VHWWLQJV LV D UHODWLYHO\ UHFHQW GHYHORSPHQW 0RVW WUDLQLQJ LQ IDPLO\ WKHUDS\ LQ WKH HDUO\ VWDJHV RI WKH ILHOGnV GHYHORSPHQW WKH V WR Vf RFFXUUHG LQ VSHFLDOL]HG UHVHDUFK FHQWHUV RU IUHHVWDQGLQJ LQVWLWXWHV DQG ZDV FDUULHG RXW SULPDULO\ E\ LQQRYDWLYH FOLQLFLDQV UDWKHU WKDQ DFDGHPLFLDQV ,QGLYLGXDOV UHFHLYLQJ WUDLQLQJ GXULQJ WKLV HDUO\ SHULRG XVXDOO\ KDG DOUHDG\ UHFHLYHG D WHUPLQDO SURIHVVLRQDO GHJUHH LQ RQH RI WKH WUDGLWLRQDO PHQWDO KHDOWK GLVFLSOLQHV HJ VRFLDO ZRUN SV\FKRORJ\ SV\FKLDWU\ FRXQVHOLQJf DQG YLHZHG IDPLO\ WKHUDS\ WUDLQLQJ DV DGYDQFHG SRVWJUDGXDWH VNLOO WUDLQLQJ 'XULQJ WKLV WLPH RQO\ D VPDOO KDQGIXO RI XQLYHUVLWLHV RIIHUHG PDUULDJH DQG IDPLO\ WKHUDS\ JUDGXDWH SURJUDPV 7KHVH SURJUDPV ZHUH W\SLFDOO\ DW WKH GRFWRUDO OHYHO DQG RQO\ DGPLWWHG SHUVRQV ZKR KDG HDUQHG D PDVWHUnV GHJUHH LQ RQH RI WKH WUDGLWLRQDO GLVFLSOLQHV

PAGE 11

,Q WKH SDVW WZR GHFDGHV KRZHYHU DV D QXPEHU RI PDUULDJH DQG IDPLO\ WKHUDS\ SURIHVVLRQDOV WUDLQHG GXULQJ WKLV HDUOLHU HUD PRYHG LQWR DFDGHPLF RSSRUWXQLWLHV IRU JUDGXDWH HGXFDWLRQ LQ IDPLO\ WKHUDS\ KDYH H[SDQGHG ,Q DGGLWLRQ WKH PDVWHUnV GHJUHH UDWKHU WKDQ WKH GRFWRUDO GHJUHH KDV EHFRPH GHILQHG DV WKH VWDQGDUG IRU SURIHVVLRQDO JUDGXDWH HGXFDWLRQ (YHUHWW .HOOHU +XEHU t +DUG\ f E\ OHDGHUV RI WKH $PHULFDQ $VVRFLDWLRQ IRU 0DUULDJH DQG )DPLO\ 7KHUDS\ ZKR LQ WKH ODWH V FUHDWHG D VHW RI VWDQGDUGV IRU HGXFDWLRQ FRQVLVWLQJ RI \HDUV RI JUDGXDWH WUDLQLQJ FRXSOHG ZLWK DQ DGGLWLRQDO \HDUV RI VXSHUYLVHG FOLQLFDO 7KLV VHW RI HYHQWV KDV UHVXOWHG LQ WKH GHYHORSPHQW RI D VLJQLILFDQW QXPEHU RI PDVWHUn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

PAGE 12

,QWHUHVWLQJO\ GHVSLWH WKH JURZWK LQ WKH SURYLVLRQ RI IDPLO\ WKHUDS\ WUDLQLQJ LQ DFDGHPLF VHWWLQJV WKHUH KDV EHHQ OLWWOH HPSLULFDO DWWHQWLRQ JLYHQ WR WKH LPSOLFDWLRQV RI VXFK D VKLIW HLWKHU LQ WKH GHVLJQ RI RU RXWFRPHV H[SHFWHG IURP IDPLO\ WKHUDS\ WUDLQLQJ $OWKRXJK UHVHDUFKHUV LQ WKH IDPLO\ WKHUDS\ ILHOG *XUPDQ t .QLVNHUQ *XUPDQ .QLVNHUQ t 3LQVRI f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f UHYHDOHG QR HPSLULFDO HYLGHQFH ZDV

PAGE 13

DYDLODEOH LQ WKH ILHOG FRQFHUQLQJ WKH HIIHFWLYHQHVV RI IDPLO\ WKHUDS\ WUDLQLQJ 0RUHRYHU DW WKDW WLPH QR HYLGHQFH ZDV DYDLODEOH FRQFHUQLQJ Df WKH LPSRUWDQFH RI SULRU SURIHVVLRQDO WUDLQLQJ IRU SHUVRQV HQWHULQJ IDPLO\ WKHUDS\ WUDLQLQJ SURJUDPV RU Ef WKH PHULWV RI XVLQJ DQ\ %\ QLQH VWXGLHV KDG EHHQ FRQGXFWHG HYDOXDWLQJ WKH RXWFRPH RI IDPLO\ WKHUDS\ WUDLQLQJ KRZHYHU IHZ DGYDQFHV KDG EHHQ PDGH LQ VSHFLI\LQJ ZKLFK WUDLQHH FKDUDFWHULVWLFV VKRXOG EH FRQVLGHUHG LQ WUDLQHH VHOHFWLRQ RU HYDOXDWLRQ $YLV t 6SUHQNOH f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f SRVLWHG WKDW D PDMRU VRXUFH IRU WKLV GHOD\ UHODWHG WR WKH GLIILFXOWLHV LQKHUHQW LQ FRQGXFWLQJ DQ\ W\SH RI SV\FKRWKHUDS\ WUDLQLQJ 7KHVH GLIILFXOWLHV FRQFHUQ Df WKH FRPSOH[LW\ RI WKH W\SH RI FKDQJHV EHLQJ PHDVXUHG Ef WKH ODFN RI D VWDQGDUG VWLPXOXV LH FOLHQWV YDU\f DJDLQVW ZKLFK WR

PAGE 14

PHDVXUH WUDLQHHnV VNLOOV Ff WKH ODFN RI DGHTXDWH DQG LQVWUXPHQWV IRU PHDVXULQJ WUDLQHH EHKDYLRU DQGRU VNLOO FKDQJH DQG Gf WKH ODFN RI UHOLDEOH NQRZOHGJH DERXW ZKLFK WKHUDSLVW VNLOOV RU EHKDYLRUV DUH DVVRFLDWHG ZLWK SRVLWLYH WKHUDS\ RXWFRPHV ,Q UHYLHZLQJ WKH VWDWH RI WKH DUW RI SV\FKRWKHUDS\ WUDLQLQJ UHVHDUFK LQ JHQHUDO 0DWDUD]]R f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f 3 $ QXPEHU RI ZULWHUV *XUPDQ .QLVNHUQ t 3LQVRI 7XFNHU t 3LQVRI f KDYH UHLWHUDWHG WKHVH VDPH GLIILFXOWLHV LQ HYDOXDWLQJ IDPLO\ WKHUDS\ WUDLQLQJ )RU H[DPSOH LQ UHYLHZLQJ UHFHQW UHVHDUFK RQ IDPLO\ WKHUDS\ WUDLQLQJ $YLV DQG 6SUHQNOH f FRQWHQGHG WKDW FXUUHQW SURYLGHUV RI IDPLO\ WKHUDS\ WUDLQLQJ VWLOO NQRZ YHU\ OLWWOH DERXW WKH HIILFDF\ RI DQ\ RI WKHLU WUDLQLQJ DSSURDFKHV DQG WKDW DGGLWLRQDO UHVHDUFK QHHGV WR EH FRQGXFWHG EHIRUH WKH\ FDQ VSHDN ZLWK DVVXUHG FRQILGHQFH DERXW WKH QDWXUH RI VSHFLDOL]HG WUDLQLQJ LQ IDPLO\ WKHUDS\ ,Q FRPPHQWLQJ RQ

PAGE 15

WKH ODFN RI GHILQLWLYH UHVHDUFK LQ WKLV DUHD *XUPDQ DQG .QLVNHUQ f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f )RU H[DPSOH LQ D VWXG\ FRQGXFWHG E\ 7XFNHU DQG 3LQVRI f FKDQJHV LQ VNLOOV GXULQJ WKH ILUVW \HDU RI VWXG\ DW WKH &HQWHU IRU )DPLO\ 6WXGLHV)DPLO\ ,QVWLWXWH &)7f RI &KLFDJR ZHUH LQYHVWLJDWHG 7KH WUDLQHHV LQFOXGHG LQ WKH VDPSOH ZHUH DOO SUDFWLFLQJ SV\FKRWKHUDSLVWV IURP YDULRXV GLVFLSOLQHV ZKR KDG HQUROOHG LQ D \HDU WUDLQLQJ SURJUDP DW &)7 DQG ZHUH HYDOXDWHG EHIRUH DQG DIWHU WKHLU ILUVW \HDU RI WUDLQLQJ (PSOR\LQJ D

PAGE 16

VLQJOH JURXS SUHWHVWSRVWWHVW GHVLJQ WKH UHVHDUFKHUV LQYHVWLJDWHG Df FOLQLFDO FRJQLWLRQ Ef LQWKHUDS\ XVH RI WHFKQLTXHV DQG Ff OHYHO RI VHOIDFWXDOL]DWLRQ &OLQLFDO FRJQLWLRQ ZDV PHDVXUHG ZLWK WKH )DPLO\ &RQFHSW $VVHVVPHQW )&$f 7XFNHU t 3LQVRI f LQWKHUDS\ WHFKQLTXH ZLWK WKH )DPLO\ 7KHUDSLVW &RGLQJ 6\VWHP )7&6f 3LQVRI f DQG VHOIDFWXDOL]DWLRQ ZLWK WKH 3HUVRQDO 2ULHQWDWLRQ ,QYHQWRU\ 32,f 6KRVWURP f 7KH LQWKHUDS\ EHKDYLRU RI WUDLQHHV ZDV HYDOXDWHG E\ UDWLQJ WKH WUDLQHHnV UHVSRQVH WR D OLYHIDPLO\f VLPXODWLRQ )RXU SURIHVVLRQDO DFWRUV ZHUH WUDLQHG WR UHSUHVHQW D IDPLO\ UHIHUUHG WR WKHUDS\ FRPPLWWHG 7KH WUDLQLQJ RI WKH DFWRUV ZDV GHVLJQHG WR HQDEOH WKHP WR LPSURYLVH LQ UHVSRQVH WR HDFK WKHUDSLVW ZKLOH PDLQWDLQLQJ WKH SUHVFULEHG DQG FRQVLVWHQW PRGH RI IDPLO\ LQWHUDFWLRQ 7XFNHU t 3LQVRI S f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

PAGE 17

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f H[DPLQHG WKH LQIOXHQFH RI WKUHH WUDLQHH FKDUDFWHULVWLFV FRQMXJDO IDPLO\ H[SHULHQFH SULRU H[SHULHQFH FRQGXFWLQJ IDPLO\ RU LQGLYLGXDO WKHUDS\ DQG NQRZOHGJH RI IDPLO\ WKHUDS\f RQ WKH DFJXLVLWLRQ RI IDPLO\ WKHUDS\ VNLOOV IRU WUDLQHHV GUDZQ IURP VHYHQ GLIIHUHQW VWUXFWXUDOVWUDWHJLF WUDLQLQJ 7KHVH VHYHQ WUDLQLQJ H[SHULHQFHV XWLOL]HG D L[HG VDPSOH RI ERWK H[SHULHQFHG DQG QRYLFHOHYHO WKHUDSLVWV GUDZQ IURP D YDULHW\ RI GLIIHUHQW WUDLQLQJ FRQWH[WV )RXU RI WKH WUDLQLQJ H[SHULHQFHV LQYROYHG DJHQF\EDVHG DQG VWUXFWXUHG LQVHUYLFH WUDLQLQJ DQG WZR LQYROYHG JUDGXDWH FRXUVHV LQ IDPLO\ WKHUDS\ ,Q WZR RI

PAGE 18

WKUHH VHWWLQJV WKH VXEMHFWV KDG OLWWOH SULRU FOLQLFDO H[SHULHQFH RU WUDLQLQJ LQ DW OHDVW RQH RI WKH UHPDLQLQJ ILYH VHWWLQJV WUDLQHHV ZKR KDG FRQVLGHUDEOH FOLQLFDO H[SHULHQFH DQG WUDLQLQJ LQ IDPLO\ WKHUDS\ ZHUH LQYROYHG 'DWD IURP VWXGHQWV LQ DOO VHYHQ SURJUDPV ZHUH DQDO\]HG FRQMRLQWO\ 1R DQDO\VHV ZHUH FRQGXFWHG UHJDUGLQJ GLIIHUHQFHV LQ WUDLQHH SHUIRUPDQFH E\ SURJUDP 7KH DFJXLVLWLRQ RI IDPLO\ WKHUDS\ VNLOOV ZDV PHDVXUHG E\ WKH )DPLO\ 7KHUDS\ $VVHVVPHQW ([HUFLVH )7$(f %UHXQOLQ 6FKZDUW] .UDXVH t 6HOOH\ f LQ D SUHWHVW DQG SRVWWHVW GHVLJQ SURFHGXUH WKDW DV 7KH UHVXOWV RI WKLV VWXG\ LQGLFDWHG FRQMXJDO IDPLO\ H[SHULHQFH ZDV SRVLWLYHO\ UHODWHG DQG SULRU NQRZOHGJH RI IDPLO\ WKHUDS\ ZDV QHJDWLYHO\ UHODWHG WR SHUIRUPDQFH DV PHDVXUHG E\ )7$( SUHWHVWSRVWWHVW FKDQJH VFRUHVf FRQGXFWLQJ LQGLYLGXDO WKHUDS\ ZDV DOVR SRVLWLYHO\ UHODWHG WR SHUIRUPDQFH +RZHYHU EHFDXVH ERWK WKH QDWXUH RI WKH VDPSOHV LQ WKLV VWXG\ DQG WKH QDWXUH RI WKH WUDLQLQJ H[SHULHQFH ZHUH TXLWH PL[HG ZLWK QR LQIRUPDWLRQ SURYLGHG UHJDUGLQJ HLWKHU WKH DFWXDO OHYHOV RI VNLOOV DW SUHWHVWLQJ DQG SRVWWHVWLQJ RU GLIIHUHQFHV LQ WKRVH OHYHOV DPRQJ WKHVH YDULRXV JURXSVf LW LV GLIILFXOW WR GUDZ FRQFOXVLRQV DV WR KRZ JHQHUDOL]DEOH WKHVH ILQGLQJV DUH WR QRYLFH WKHUDSLVWV LQ WKH HDUO\ VWDJH RI WKHLU WUDLQLQJ 'HVSLWH VXFK OLPLWHG HPSLULFDO LQYHVWLJDWLRQ LW KDV EHHQ FRPPRQSODFH IRU IDPLO\ WKHUDS\ WUDLQHUV WR DVVXPH WKDW

PAGE 19

QRW DOO WUDLQHHV DUH VXLWHG IRU IDPLO\ WKHUDS\ WUDLQLQJ )DFWRUV RIWHQ FLWHG DV FRQVLGHUDWLRQV LQ VHOHFWLQJ DSSOLFDQWV IRU WUDLQLQJ SURJUDPV DUH SHUVRQDO PDWXULW\ IDFWRUV $PHULFDQ $VVRFLDWLRQ IRU 0DUULDJH DQG )DPLO\ 7KHUDS\ (YHUHWW 1LFKROV f FRJQLWLYH DELOLWLHV DQG DFDGHPLF FUHGHQWLDOV $PHULFDQ $VVRFLDWLRQ IRU 0DUULDJH DQG )DPLO\ 7KHUDS\ 2n6XOOLYDQ t *LOEHUW f SUHYLRXV SURIHVVLRQDO WUDLQLQJ DQGRU ZRUN H[SHULHQFHV %UHXQOLQ HW DO .QLVNHUQ t *XUPDQ f SUHOLPLQDU\ NQRZOHGJH RI IDPLO\ WKHUDS\ DQG SHUVRQDO TXDOLWLHV (YHUHWW 6SUHQNOH f +RZHYHU WKHVH FULWHULD IRU VHOHFWLRQ RI DSSOLFDQWV IRU IDPLO\ WKHUDS\ WUDLQLQJ SURJUDPV KDYH W\SLFDOO\ EHHQ HVWDEOLVKHG PRUH RQ WKH EDVLV RI WUDGLWLRQ WKDQ DQ\ VXEVWDQWLYH HPSLULFDO HYLGHQFH 3UHYLRXV 3URIHVVLRQDO 7UDLQLQJ DQG :RUN ([SHULHQFH $ QXPEHU RI UHVHDUFKHUV KDYH HPSKDVL]HG WKH QHHG WR H[DPLQH WKH LPSDFW RI WKH WUDLQHHnV SUHYLRXV SURIHVVLRQDO WUDLQLQJ DQG ZRUN H[SHULHQFH .QLVNHUQ DQG *XUPDQ f IRU H[DPSOH SRVHG D VHULHV RI TXHVWLRQV UHJDUGLQJ WUDLQHH 7KHVH ZHUH :KDW DUH WKH W\SHV RI SUHYLRXV WUDLQLQJ WKDW EHVW SUHSDUH D WUDLQHH IRU IDPLO\ WKHUDS\ WUDLQLQJ" $UH WKHUH W\SHV RI SUHYLRXV WUDLQLQJ H[SHULHQFHV WKDW LQKLELW WUDLQLQJ" $ QXPEHU RI UHVHDUFKHUV KDYH DWWHPSWHG WR DGGUHVV WKHVH TXHVWLRQV $V QRWHG HDUOLHU LQ RQH RI WKH IHZ VWXGLHV H[DPLQLQJ WKH

PAGE 20

LPSDFW RI WUDLQHH FKDUDFWHULVWLFV %UHXQOLQ HW DO f H[DPLQHG WKH LPSDFW RI SULRU LQGLYLGXDO WKHUDS\ DQG IDPLO\ WKHUDS\ WUDLQLQJ DQG ZRUN H[SHULHQFH RQ WUDLQHH VNLOO DFTXLVLWLRQ 7KH\ IRXQG WKDW ERWK SULRU WUDLQLQJ DQG ZRUN H[SHULHQFH LQ IDPLO\ WKHUDS\ ZHUH QHJDWLYHO\ UHODWHG WR +RZHYHU ERWK SULRU WUDLQLQJ DQG ZRUN H[SHULHQFH LQ LQGLYLGXDO WKHUDS\ ZHUH SRVLWLYHO\ UHODWHG WR SHUIRUPDQFH LQ DFTXLULQJ IDPLO\ WKHUDS\ VNLOOV 7KLV ILQGLQJ ZDV FRQVLGHUHG VXUSULVLQJ EHFDXVH LW KDG EHHQ K\SRWKHVL]HG E\ PDQ\ IDPLO\ WKHUDS\ WUDLQHUV +DOH\ f WKDW H[SHULHQFH SURYLGLQJ LQGLYLGXDO WKHUDS\ ZRXOG KLQGHU DFTXLVLWLRQ IDPLO\ WKHUDS\ VNLOOV ,Q DQRWKHU VWXG\ =DNHQ*UHHQEHUJ DQG 1HLPH\HU f UHSRUWHG WKH UHVXOWV RI D FRQWUROOHG DVVHVVPHQW RI D WUDLQLQJ VHPLQDU LQ VWUXFWXUDO IDPLO\ WKHUDS\ IRU XQLYHUVLW\ VWXGHQWV LQ WKH FRQFHSWXDO DQG H[HFXWLYH VNLOOV RI IDPLO\ &KDQJHV WUDLQHHV DQG FRQWURO VXEMHFWV ZHUH DVVHVVHG RYHU D ZHHN SHULRG XVLQJ D UHSHUWRU\ JULG DQG YLGHRWDSHG WKHUDS\ VLPXODWLRQ WHFKQLTXH 5HVXOWV LQGLFDWHG VLJQLILFDQW JDLQV LQ IDPLO\ WKHUDS\ WUDLQHHV EXW RQO\ DPRQJ WKRVH ZLWK OLWWOH SUHYLRXV H[SRVXUH WR IDPLO\ WKHUDS\ 'LIIHUHQFH LQ WKH RYHUDOO QXPEHU DV ZHOO DV W\SH RI LQWHUYHQWLRQ ZHUH DOVR QRWHG 5HVXOWV JHQHUDOO\ VXSSRUWHG WKH SUHGLFWHG LPSDFW RI IDPLO\ WKHUDS\ WUDLQLQJ ZLWK WKRVH KDYLQJ WKH OHDVW H[SHULHQFH LQ IDPLO\ WKHUDS\ GHPRQVWUDWLQJ WKH PRVW VLJQLILFDQW VNLOO JDLQV

PAGE 21

,Q WKH ERG\ RI LQGLYLGXDO SV\FKRWKHUDS\ UHVHDUFK OLWHUDWXUH )LHOGHU f UHSRUWHG WKDW UHJDUGOHVV RI WKHRUHWLFDO RULHQWDWLRQ EHFRPH PRUH VLPLODU DV H[SHULHQFH LQFUHDVHV ,Q DGGLWLRQ LQ PRUH UHFHQW OLWHUDWXUH UHYLHZV LW KDV EHHQ QRWHG WKDW LQFUHDVLQJ H[SHULHQFH IDFLOLWDWHV WKH GHPRQVWUDWLRQ RI WKHUDS\ SURFHVVHV VXFK DV WKHUDSLVWVn HPSDWK\ $XHUEDFK t -RKQVRQ f DQG SDWLHQW VDWLVIDFWLRQ %HXWOHU &UDJR t $UL]PHQGL f )XUWKHUPRUH *XUPDQ DQG .QLVNHUQ f FLWHG WKHUDSLVW H[SHULHQFH DV D IDFWRU WKDW LQIOXHQFHV WKH RXWFRPH RI IDPLO\ WKHUDS\ DQG VXJJHVWHG WKDW WUDLQLQJ RXWFRPH VWXGLHV WKDW LQFOXGH WKLV YDULDEOH ZRXOG EH TXLWH KHOSIXO ,QLWLDO )DPLO\ 7KHUDS\ .QRZOHGJH 5HVHDUFKHUV DQG WUDLQHUV KDYH HPSKDVL]HG WKH QHHG WR FRQVLGHU WKH WUDLQHHnV LQLWLDO OHYHO RI NQRZOHGJH RI IDPLO\ WKHUDS\ LQ DVVHVVLQJ WKH LPSDFW RI WUDLQLQJ )RU H[DPSOH %UHXQOLQ HW DO f UHSRUWHG WKDW WKH KLJKHU WKH LQLWLDO OHYHO RI NQRZOHGJH RI IDPLO\ WKHUDS\ WKH VPDOOHU WKH VNLOO FKDQJHV IUR WR DV PHDVXUHG E\ WKH )DPLO\ 7KHUDS\ $VVHVVPHQW ([HUFLVH )7$(f &RQYHUJHQW'LYHUJHQW 7KLQNLQJ 6W\OH $PRQJ WKH DVVXPSWLRQV FRPPRQO\ XVHG WR VHOHFW WUDLQHHV KDV EHHQ WKH EHOLHI WKDW FHUWDLQ UHODWLYHO\ HQGXULQJ SHUVRQDOLW\ IDFWRUV VXFK DV GLYHUJHQW WKLQNLQJ FRJQLWLYH IOH[LELOLW\ DQG SV\FKRORJLFDOPLQGHGQHVV PD\ LQIOXHQFH WKH

PAGE 22

WUDLQHHnV VXFFHVV LQ IDPLO\ WKHUDS\ VNLOO DFTXLVLWLRQ $WWHQWLRQ KDV EHHQ JLYHQ LQ WKH LQGLYLGXDO FRXQVHOLQJ DQG SV\FKRWKHUDS\ WUDLQLQJ OLWHUDWXUH WR WKH LPSDFW RI WUDLQHH DWWULEXWHV VXFK DV SHUFHSWXDO VW\OH OHYHO RI FRJQLWLYH GHYHORSPHQW SHUVRQDO DWWLWXGHV SHUVRQDOLW\ FKDUDFWHULVWLFV DQG SUHIHUUHG OHDUQLQJ VW\OHV RQ WKH DFTXLVLWLRQ RI FRXQVHOLQJ VNLOOV 2QH SDUWLFXODU YDULDEOH WKDW PD\ KDYH D VLJQLILFDQW LPSDFW RQ WKH DFTXLVLWLRQ RI IDPLO\ WKHUDS\ LV WKH FRJQLWLYHOHDUQLQJ VW\OH RI WKH WUDLQHH 7KH WUDLQHHnV PRGH RI REVHUYLQJ WDNLQJ LQ GDWD DERXW WKH ZRUOG RUJDQL]LQJ LW DQG DFWLQJ XSRQ LW PD\ LQIOXHQFH WKH OHDUQLQJ RI IDPLO\ FRXQVHOLQJWKHUDS\ VNLOOV MXVW DV LW KDV EHHQ VKRZQ WR DIIHFW RWKHU OHDUQLQJ WDVNV /DZUHQFH f $ QXPEHU RI GLIIHUHQW FRJQLWLYH VW\OHOHDUQLQJ VW\OH PRGHOV DQG WKHRULHV KDYH EHHQ SURSRVHG $ ZHOONQRZQ 7\SRORJ\ RI SV\FKRORJLFDO W\SHV /DZUHQFH f $QRWKHU LV WKH PRGHO GHYHORSHG E\ .ROE f EDVHG RQ WKH DFFRPPRGDWRU DVVLPLODWRU SURFHVVHV SURSRVHG E\ 3LDJHW 7KHVH PRGHOV KDYH EHHQ XVHG WR VRUW LQGLYLGXDOV LQWR GLIIHUHQW VW\OHV RI UHVROYLQJ FRJQLWLYH WDVNV +RZHYHU RQO\ OLPLWHG UHVHDUFK KDV EHHQ FRQGXFWHG XVLQJ WKHVH OHDUQLQJ VW\OH PRGHOV LQ SUHGLFWLQJ OHDUQLQJ RI FRXQVHOLQJ MRE UHODWHG WDVNV VXFK DV

PAGE 23

8QGHUVFRULQJ WKLV SRLQW 0DKRQ DQG $OWPDQ f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f H[DPLQHG WKH UHODWLRQVKLS EHWZHHQ WKH VLPLODULW\ RI FRJQLWLYH VW\OHV RI VXSHUYLVRUV DQG FRXQVHORUV LQ WUDLQLQJ DQG VXSHUYLVLRQ SURFHVV DQG RXWFRPH PHDVXUHV 8VLQJ WKH 0\HUV %ULJJV 7\SH ,QGLFDWRU 0%7,f KH IRXQG WKDW LQWXLWLYHO\ RULHQWHG FRXQVHORUV LQ WUDLQLQJ UHFHLYHG KLJKHU VXSHUYLVRU UDWLQJV WKDQ GLG RWKHU FRXQVHOLQJ VWXGHQWV 6LPLODULW\ EHWZHHQ VXSHUYLVRUV DQG FRXQVHORUV LQ WUDLQLQJ RQ WKH 0\HUV%ULJJV 61 6HQVLQJ,QWXLWLYHf VFDOH ZDV UHSRUWHG WR EH UHODWHG WR SUDFWLFXP VWXGHQWnV VDWLVIDFWLRQ ZLWK VXSHUYLVLRQ
PAGE 24

SV\FKRORJLVWV ([SHULPHQWDO SV\FKRORJLVWV VKRZHG PRUH RI D WKLQNLQJ RULHQWDWLRQ ZKHUHDV FOLQLFDO SV\FKRORJLVWV VKRZHG RUH RI D IHHOLQJ RULHQWDWLRQ 5RXH]]L&DUUROO DQG )ULW] f IRXQG D SUHGRPLQDQFH RI IHHOLQJ DQG SHUFHSWXDO W\SHV DPRQJ DOOLHG KHDOWK PDMRUV VWUHVVLQJ FOLHQW FRQWDFW DQG HPSDWK\ DQG D SUHGRPLQDQFH RI WKLQNLQJ DQG MXGJLQJ W\SHV LQ ILHOGV VWUHVVLQJ WHVWLQJ DQG FULWLFDO DQDO\VLV ,Q D FRPSHWLQJ YHLQ KRZHYHU &DUH\ DQG :LOOLDPV f FRPSDUHG VXSHUYLVRUV DQG FRXQVHOLQJ VWXGHQWV LQ SUDFWLFXP WUDLQLQJ LQ WHUPV RI WKHLU GRPLQDQW FRXQVHOLQJ VW\OH DQG UHODWHG FRJQLWLYH VW\OH ,QVWUXPHQWV XVHG LQFOXGHG WKH 0\HUV%ULJJV 7\SH ,QGLFDWRU 0%7,f WKH &RXQVHORU (YDOXDWLRQ 5DWLQJ 6FDOH &(56f DQG WKH %DUUHWW /HQQDUG 5HODWLRQVKLS ,QYHQWRU\ %/5,f 7KH UHVXOWV RI WKLV VWXG\ LQGLFDWHG WKHUH ZDV D GLIIHUHQFH LQ FRJQLWLYH VW\OHV EHWZHHQ VXSHUYLVRUV DQG FRXQVHORUV LQ WUDLQLQJ 6XSHUYLVRUV GHPRQVWUDWHG D VWURQJHU WKLQNLQJ RULHQWDWLRQ DQG OHVV YDULDELOLW\ RQ WKH VHQVLQJLQWXLWLQJ VFDOH WKDQ GLG FRXQVHORUV LQ WUDLQLQJ +RZHYHU QR VWURQJ UHODWLRQVKLS ZDV IRXQG EHWZHHQ VWXGHQW VFRUHV RQ WKH 7) DQG 61 VFDOHV DQG SURFHVV DQG RXWFRPH PHDVXUHV FRJQLWLYH VW\OH IDFWRUV LQ IDPLO\ WKHUDS\ WUDLQHHV KDYH QRW EHHQ H[DPLQHG LQ DQ\ VWXGLHV WR GDWH .ROEnV WKHRU\ RI H[SHULHQWLDO OHDUQLQJ KDV EHHQ XVHG WR H[SODLQ WKH SURFHVV RI FRXQVHOLQJ DQG WKH SURFHVV RI LQGLYLGXDO FRXQVHORU WUDLQLQJ WKXV LW LV RI SDUWLFXODU

PAGE 25

LQWHUHVW LQ WKLV VWXG\ .ROE f LGHQWLILHG IRXU RGHV RI H[SHULHQFH HDFK RI ZKLFK LQYROYHV DQ H[SHULHQWLDO OHDUQLQJ F\FOH $FFRUGLQJ WR .ROE WKHVH IRXU PRGHV RI H[SHULHQFHf§&RQFUHWH ([SHULHQFH &(f 5HIOHFWLYH 2EVHUYDWLRQ 52f $EVWUDFW &RQFHSWXDOL]DWLRQ $&f DQG $FWLYH ([SHULPHQWDWLRQ $(ff§PXVW DOO EH DFFHVVLEOH WR WKH OHDUQHU WR EH HIIHFWLYH DV D FRXQVHORU $EEH\ +XQW DQG :HLVHU f KDYH SURYLGHG D SHUVSHFWLYH IRU XQGHUVWDQGLQJ WKH FRXQVHOLQJ DQG FRXQVHORU WUDLQLQJVXSHUYLVLRQ SURFHVV E\ PHDQV RI .ROEnV OHDUQLQJ PRGHO 7KH\ FRQWHQGHG WKDW .ROEnV WKHRU\ RI H[SHULHQWLDO OHDUQLQJ FDQ EH XVHG WR GHVFULEH Df WKH VHTXHQFH RI FRXQVHOLQJ Ef WKH YDULDWLRQV LQ LQWHUSHUVRQDO UHVSRQVH RI FOLHQWV FRXQVHORUV DQG FRXQVHORU WUDLQHHV DQG Ff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

PAGE 26

DEVWUDFW FRQFHSWXDOL]DWLRQf PD\ KDYH HDVH LQ DGRSWLQJ D FRJQLWLYH RU UDWLRQDOHPRWLYH FRXQVHOLQJ DSSURDFK EXW PD\ KDYH WR DWWHQG WR QRW XVLQJ WKDW PRGH WR WKH H[FOXVLRQ RI WKH DZDUHQHVV RI KLV RU KHU RZQ IHHOLQJV WKRVH FRXQVHORUV ZKR SUHIHU WR RSHUDWH IURP DQ RGH &(&RQFUHWH ([SHULHQFHf PXVW EH FRQFHUQHG ZLWK QRW GRLQJ VR WR WKH H[FOXVLRQ RI WKHLU RZQ DQDO\VLV DQG WKHLU RZQ LPSOLFLW WKHRU\ UHJDUGLQJ WKH FOLHQWnV IHHOLQJV UHIOHFWLRQV WKRXJKWV DQG DFWLRQV 7KXV DOWKRXJK WUDLQHHV ZLOO ILQG FRXQVHOLQJ RSHUDWLRQV DQG WKHRULHV WKDW DUH FRQJUXHQW ZLWK WKHLU RZQ GRPLQDQW PRGHV LH 5HIOHFWLYH 2EVHUYDWLRQ 52f GRPLQDQW WUDLQHHV PD\ SUHIHU D 5RJHULDQ VWDQFH ZKHUHDV DQ $FWLYH ([SHULPHQWDWLRQ $(f GRPLQDQW WUDLQHH PD\ SUHIHU WR RSHUDWH IURP D *HVWDOW SRVLWLRQf WKH\ ZLOO QHHG WR KDYH DYDLODEOH D EURDGHU DUUD\ RI ZD\V RI RSHUDWLQJ RQ WKH ZRUOG WR EH PRVW HIIHFWLYH ZLWK D ZLGH YDULHW\ RI FOLHQWV 6LPLODUO\ ZLWK IDPLO\ WKHUDS\ HJ D VWUXFWXUDO IDPLO\ WKHUDS\ DSSURDFK YHUVXV D %RZHQLDQ DSSURDFKf SUHIHUUHG PHWKRGV RI RSHUDWLQJ PD\ KLQGHU WKH GHYHORSPHQW RI SDUWLFXODU IDPLO\ WKHUDS\ DSSURDFKHV DQG IDFLOLWDWH WKH DFTXLVLWLRQ RI RWKHU &RQVHTXHQWO\ D PDWFK EHWZHHQ WKH OHDUQLQJ PRGH GHPDQGHG LQ D SDUWLFXODU WUDLQLQJ PRGHO DQG WKH SUHIHUUHG OHDUQLQJ PRGH RI WKH WUDLQHH PD\ EHQHILW WKH WUDLQHHnV DFTXLVLWLRQ RI VNLOOV LQ WKDW PRGHO ,GHQWLI\LQJ D WUDLQHHnV SUHIHUUHG OHDUQLQJ VW\OH DQG IRFXVLQJ RQ KRZ LW

PAGE 27

PD\ IDFLOLWDWH RU KLQGHU DFTXLVLWLRQ RI VNLOOV LQ IDPLO\ WUDLQLQJ PD\ KDYH VLJQLILFDQW LPSOLFDWLRQV IRU XQGHUVWDQGLQJ WKH LPSDFW RI D SDUWLFXODU IDPLO\ WKHUDS\ WUDLQLQJ H[SHULHQFH 1HHG IRU WKH 6WXG\ 5HVHDUFKHUV DUH QRZ RIIHULQJ HYLGHQFH WKDW WUDLQLQJ GRHV DIIHFW FKDQJH LQ WUDLQHHV RQ VRPH LPSRUWDQW GLPHQVLRQV %UHXQOLQ HW DO +HUQDQGH] 3XOOH\EODQN 7XFNHU t 3LQVRI f +RZHYHU WKHUH LV D QHHG WR H[DPLQH PRUH FORVHO\ KRZ WUDLQHH FKDUDFWHULVWLFV LPSDFW RQ WKH WHDFKLQJ DQG OHDUQLQJ SURFHVV SDUWLFXODUO\ LQ QRYLFH 5HLQIRUFLQJ WKLV SHUVSHFWLYH *XUPDQ DQG .QLVNHUQ f DV ZHOO DV %UHXQOLQ HW DO f VXJJHVWHG WKDW UHVHDUFKHUV VKLIW IURP DVNLQJ WKH JHQHUDO TXHVWLRQ 'RHV IDPLO\ WKHUDS\ WUDLQLQJ ZRUN" WR DVNLQJ PRUH VSHFLILF TXHVWLRQV VXFK DV +RZ GR VSHFLILF WUDLQHH FKDUDFWHULVWLFV LQIOXHQFH LH HLWKHU IDFLOLWDWH RU LQKLELWf D WUDLQHH LQ OHDUQLQJ PDUULDJH DQG IDPLO\ WKHUDS\" S f 7KH\ SURSRVHG WKDW VSHFLILF WUDLQHH FKDUDFWHULVWLFV EH H[DPLQHG WKDW DUH QRW PRGHO VSHFLILF EXW DUH JHQHUDO YDULDEOHV DVVXPHG WR HQKDQFH WKH OHDUQLQJ VNLOO DFTXLVLWLRQ SURFHVV DFURVV YDULRXV IDPLO\ WKHUDS\ WUDLQLQJ PRGHOV +RZHYHU WR GDWH RQO\ WZR VWXGLHV %UHXQOLQ HW DO 7XFNHU t 3LQVRI f LQ WKH PDUULDJH DQG IDPLO\ WKHUDS\ WUDLQLQJ UHVHDUFK OLWHUDWXUH KDYH DGGUHVVHG

PAGE 28

WKH FRQWULEXWLRQ RI WUDLQHH FKDUDFWHULVWLFV WR WKH WUDLQLQJOHDUQLQJ SURFHVV ,W LV QRW VXUSULVLQJ WKDW WKLV VSHFLILFLW\ TXHVWLRQ LQ WKH ILHOG RI IDPLO\ WKHUDS\ WUDLQLQJ KDV QRW EHHQ DGGUHVVHG EHFDXVH WKH SDUDOOHO TXHVWLRQ LQ WKH JHQHUDO FRXQVHOLQJ DQG SV\FKRWKHUDS\ WUDLQLQJ ILHOG KDV DOVR EHHQ H[WUHPHO\ GLIILFXOW WR DQVZHU 3XUSRVH RI WKH 6WXG\ 7KH SXUSRVH RI WKLV VWXG\ ZDV WZRIROG )LUVW WKH LPSDFW RI WKH LQLWLDO SKDVH RI IDPLO\ WKHUDS\ WUDLQLQJ RQ QRYLFH WKHUDSLVWVn VNLOO DFTXLVLWLRQ ZDV DVVHVVHG 6HFRQG WKH LPSDFW RI IRXU W\SHV RI WUDLQHH FKDUDFWHULVWLFV RQ WKH DFTXLVLWLRQ RI WKHVH IDPLO\ WKHUDS\ VNLOOV ZDV H[DPLQHG 7KH IRXU W\SHV RI WUDLQHH FKDUDFWHULVWLFV ZHUH Df H[WHQW RI WUDLQHHnV SULRU WUDLQLQJ LQ LQGLYLGXDO WKHUDS\ DQG IDPLO\ WKHUDS\ Ef H[WHQW RI WUDLQHHnV FOLQLFDO ZRUN H[SHULHQFH LQ LQGLYLGXDO WKHUDS\ DQG IDPLO\ WKHUDS\ Ff H[WHQW RI LQLWLDO IDPLO\ WKHUDS\ NQRZOHGJH DQG Gf WUDLQHHnV SUHIHUUHG OHDUQLQJ VW\OH 5HVHDUFK 4XHVWLRQV ,Q WKLV VWXG\ WKH IROORZLQJ UHVHDUFK TXHVWLRQV ZHUH +RZ FDQ VWXGHQWV LQ WKH LQLWLDO SKDVH RI IDPLO\ WKHUDS\ WUDLQLQJ EH FKDUDFWHUL]HG LQ WHUPV RI D WKHLU DJH

PAGE 29

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

PAGE 30

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

PAGE 31

EHJLQQLQJ SKDVH RI WUDLQLQJ LQFOXGH Df DFTXDLQWLQJ WKH VWXGHQW ZLWK WKH EDVLF FRQFHSWV RI IDPLO\ V\VWHPV WKHRU\ DQG WKH KLVWRULFDO GHYHORSPHQW RI WKHVH LGHDV Ef LQWURGXFLQJ WKH VWXGHQW WR WKH VWUXFWXUDOVWUDWHJLF PRGHO RI IDPLO\ V\VWHPV WKHUDS\ LWV UHODWHG FRQFHSWV DQG LQWHUYHQWLRQ PHWKRGV Ff LQWURGXFLQJ WKH FRQFHSW RI GLIIHULQJ IDPLO\ IRUPV LH VLQJOH SDUHQW IDPLOLHV GXDO FDUHHU IDPLOLHV HWFf Gf LQWURGXFLQJ WKH FRQFHSW RI IDPLO\ OLIH F\FOH LVVXHV Hf DVVLVWLQJ WKH VWXGHQW LQ GHYHORSLQJ VNLOOV QHFHVVDU\ WR DVVHVV IDPLOLHV LH FROOHFW REVHUYH DQG RUJDQL]H IDPLO\ LQWHUDFWLRQDO GDWDf LQ RUGHU WR SODQ FRXQVHOLQJ LQWHUYHQWLRQV DQG If SURYLGLQJ VWXGHQWV ZLWK DQ RSSRUWXQLW\ WR UHKHDUVH IDPLO\ LQWHUYLHZLQJ DQG DVVHVVPHQW VNLOOV ( $PDWHD SHUVRQDO FRPPXQLFDWLRQ 0DUFK f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

PAGE 32

DUH UHOHYDQW SUHGLFWLYH IDFWRUV IRU SHUIRUPDQFH DV D WKHUDS\ SURIHVVLRQDO $OWKRXJK VFRUHV RQ WKH *UDGXDWH 5HFRUG ([DPLQDWLRQ *5(f DQG FROOHJH JUDGHSRLQW DYHUDJH *3$f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f 7KH WUDLQLQJ VHJPHQW FRQVLVWV RI D ZHHN VHPHVWHU ORQJ FRXUVH KRXUVf RU LWV HTXLYDOHQW LQ D TXDUWHU KRXU V\VWHP LQ IDPLO\ WKHUDS\ WKDW HPSKDVL]HV WKH VWUXFWXUDOVWUDWHJLF VFKRRO RI IDPLO\ WKHUDS\ /HDUQLQJ VW\OH LV GHILQHG DV WKH H[WHQW WR ZKLFK DQ LQGLYLGXDO HPSKDVL]HV DEVWUDFWQHVV YHUVHV FRQFUHWHQHVV DQG DFWLRQ YHUVXV UHIOHFWLRQ LQ UHVSRQGLQJ WR WKH ZRUOG 7KLV

PAGE 33

GHILQLWLRQ RI H[SHULHQWLDO OHDUQLQJ WKHRU\ LV EDVHG RQ WKH ZRUN RI .ROE f )DPL WKHUD VNLOOV UHIHUV WR WKRVH REVHUYDWLRQDO SHUFHSWXDOf FRQFHSWXDO DQG WHFKQLFDO WKHUDSHXWLFf VNLOOV QHHGHG WR FRQGXFW VWUXFWXUDO IDPLO\ WKHUDS\ 2EVHUYDWLRQDO VNLOOV DUH WKRVH VNLOOV UHTXLUHG WR SHUFHLYH DQG GHVFULEH EHKDYLRUDO LQWHUDFWLRQV ZLWKLQ D IDPLO\ VHVVLRQ %UHXQOLQ HW DO f &RQFHSWXDO VNLOOV DUH WKRVH VNLOOV WKDW UHODWH WR WKH WKHUDSLVWnV DELOLW\ WR XQGHUVWDQG D WKHRUHWLFDO PRGHO WKDW HQDEOHV D WKHUDSLVW WR FODVVLI\ GLVWLQFWLRQV DFFRUGLQJ WR WKDW PRGHO LQ WKLV FDVH D RGHOf %UHXQOLQ HW DO f 7KHUDSHXWLF VNLOOV DUH WKRVH VNLOOV WKDW UHIHU WR WKH WKHUDSLVWnV DELOLW\ WR DFW LQ IDPLO\ VHVVLRQV LQ ZD\V WKDW DUH FRQVLVWHQW ZLWK JRDOV RI WKH WUDLQLQJ SURJUDP %UHXQOLQ HW DO f 6WXGHQW WKHUDSLVW UHIHUV WR JUDGXDWH VWXGHQWV HQUROOHG LQ FRXQVHORU HGXFDWLRQ FRXQVHOLQJ SV\FKRORJ\ RU PDUULDJH DQG IDPLO\ WKHUDS\ GHSDUWPHQWV RI XQLYHUVLWLHV ORFDWHG LQ WKH QRUWKHDVW DQG VRXWKHDVW UHJLRQV RI WKH 8QLWHG 6WDWHV SDUWLFLSDWLQJ LQ JUDGXDWHOHYHO FRXUVHV LQ VWUXFWXUDO VWUDWHJLF IDPLO\ WKHUDS\ ([WHQW RI SULRU WUDLQLQJ UHIHUV WR WKH QXPEHU RI JUDGXDWHOHYHO FRXUVHV LQ LQGLYLGXDO FRXQVHOLQJ DQG DUULDJH DQG IDPLO\ WKHUDS\ FRPSOHWHG E\ WKH WUDLQHH DQG

PAGE 34

WKH QXPEHU RI VXSHUYLVLRQ KRXUV UHFHLYHG LQ LQGLYLGXDO FRXQVHOLQJ DQG PDUULDJH DQG IDPLO\ WKHUDS\ ([WHQW RI SULRU ZRUN H[SHULHQFH UHIHUV WR WKH QXPEHU RI \HDUV VSHQW LQ SURYLGLQJ HLWKHU LQGLYLGXDO FRXQVHOLQJ RU PDUULDJH DQG IDPLO\ WKHUDS\ /HYHO RI LQLWLDO NQRZOHGJH UHIHUV WR WKH VWXGHQW WUDLQHHnV LQLWLDO GHJUHH RI NQRZOHGJH RI REVHUYDWLRQDO FRQFHSWXDO DQG WKHUDSHXWLF IDPLO\ WKHUDS\ VNLOOV DV HDVXUHG E\ WKH )DPLO\ 7KHUDS\ $VVHVVPHQW ([HUFLVH %UHXQOLQ HW DO f

PAGE 35

&+$37(5 ,, 5(9,(: 2) 7+( /,7(5$785( 7KLV FKDSWHU SURYLGHV D UHYLHZ DQG DQDO\VLV RI WKH WKHRUHWLFDO DQG UHVHDUFK OLWHUDWXUH RQ IDPLO\ WKHUDS\ WUDLQLQJ 7KH UHYLHZ DGGUHVVHV WKUHH PDMRU DUHDV Df IDPLO\ WKHUDS\ WUDLQLQJ Ef VWUXFWXUDO DQG PRGHOV RI IDPLO\ WKHUDS\ SUDFWLFH DQG WUDLQLQJ DQG Ff VWXGHQW FKDUDFWHULVWLFV H[SHFWHG WR LPSDFW VNLOOV WUDLQLQJ +LVWRULFDO 3HUVSHFWLYH ,Q D VWDWH RI WKH DUW UHYLHZ RI WKH OLWHUDWXUH RQ IDPLO\ WKHUDS\ WUDLQLQJ DQG VXSHUYLVLRQ /LGGOH DQG +DOSLQ f FLWHG DOPRVW UHIHUHQFHV WKDW GHDOW ZLWK VRPH DVSHFW RI WUDLQLQJ 7KH\ VXJJHVWHG WKDW WKHVH VWXGLHV ODFNHG ULJRU 2QO\ RQHILIWK RI WKH DUWLFOHV IRFXVHG RQ WKH HYDOXDWLRQ RI WUDLQLQJ DQG QRQH RI WKHVH ZHUH HPSLULFDO VWXGLHV 7KHVH DUWLFOHV GRFXPHQWHG D YDULHW\ RI DWWHPSWV WR DVVHVV WUDLQLQJ RXWFRPH WKURXJK VXFK PHDQV DV YLGHRWDSH DVVHVVPHQW RU SOD\EDFN DQG PHDVXULQJ FKDQJHV LQ WUDLQHHVn ZRUN SDWWHUQV DQG MRE UHODWHG EHKDYLRUV ,Q 7XFNHU DQG 3LQVRI QRWHG WKDW PRVW SRVLWLYH UHSRUWV RI WUDLQLQJ RXWFRPHV KDYH EHHQ EDVHG SULPDULO\ RQ FOLQLFDO LPSUHVVLRQV RU WUDLQHH VHOIUHSRUWV DW SRVW WUDLQLQJ XQIRUWXQDWHO\ WKHVH SRVLWLYH FRQFOXVLRQV UHVW RQ WKH WDFLW DQG XQWHVWHG DVVXPSWLRQ WKDW D VHOIUHSRUWHG SRVLWLYH WUDLQLQJ H[SHULHQFH LV

PAGE 36

DVVRFLDWHG ZLWK D FKDQJH LQ DFWXDO RXWFRPH ZLWK SDWLHQWV Sf RU 7KH\ QRWHG WKDW QR UHVHDUFK HYLGHQFH H[LVWHG WR VKRZ WKDW WUDLQLQJ LQ PDULWDO DQG IDPLO\ WKHUDS\ LQFUHDVHG FOLQLFDO $OWKRXJK UHVHDUFK H[DPLQLQJ WKH LPSDFW RI IDPLO\ WKHUDS\ LV JURZLQJ *XUPDQ .QLVNHUQ t 3LQVRI f OLWWOH HPSLULFDO ZRUN KDV EHHQ GRQH WR HYDOXDWH WKH RXWFRPHV RI IDPLO\ WKHUDS\ WUDLQLQJ 'LIILFXOWLHV LQKHUHQW LQ WKLV W\SH RI UHVHDUFK DUH WKH UHDVRQ IRU WKH GHOD\ 7KHVH GLIILFXOWLHV DOVR FKDUDFWHUL]H WKH RXWFRPH UHVHDUFK LQ LQGLYLGXDO SV\FKRWKHUDS\ WUDLQLQJ 0DWDUD]]R f LGHQWLILHG VHYHUDO RI WKH GLIILFXOWLHV FRQIURQWLQJ LQGLYLGXDO SV\FKRWKHUDS\ WUDLQLQJ UHVHDUFKHUV LQFOXGHG SUREOHPV ZLWK GHVLJQ UDQGRPL]DWLRQ VLPXODWLRQ WHFKQLTXHV XVH RI UHDO FOLHQWV SRRUO\ GHILQHG YDULDEOHV LQDGHTXDWH PHDVXULQJ LQVWUXPHQWV DQG VPDOO VDPSOHV ,Q RQH RI WKH ILUVW HPSLULFDO HYDOXDWLRQV RI D IDPLO\ WKHUDS\ WUDLQLQJ SURJUDP 7XFNHU DQG 3LQVRI f UHLWHUDWHG WKHVH VDPH GLIILFXOWLHV LQ HYDOXDWLQJ IDPLO\ WKHUDS\ WUDLQLQJ 7KH\ UHSRUWHG IRXU IDFWRUV FRQIRXQGHG WKH HYDOXDWLRQ SURFHVV 7KH\ ZHUH Df FRPSOH[LW\ RI WKH W\SH RI FKDQJHV EHLQJ PHDVXUHG Ef WKH ODFN RI D VWDQGDUG VWLPXOXV LH IDPLOLHV YDU\f DJDLQVW ZKLFK WR PHDVXUH WUDLQHHnV VNLOOV Ff WKH ODFN RI DGHTXDWH DQG DSSURSULDWH LQVWUXPHQWV IRU PHDVXULQJ FKDQJH DQG Gf WKH ODFN RI UHOLDEOH NQRZOHGJH DERXW ZKLFK WKHUDSLVW VNLOOV RU

PAGE 37

EHKDYLRUV DUH DVVRFLDWHG ZLWK SRVLWLYH IDPLO\ WKHUDS\ RXWFRPHV 7KHUD 7UDLQLQJ 5HVHDUFK ,Q .QLVNHUQ DQG *XUPDQ UHYLHZHG WKH VWDWXV RI UHVHDUFK RQ IDPLO\ WKHUDS\ WUDLQLQJ DQG UHYHDOHG WKH ILHOGnV ODFN RI HPSLULFDO VWXGLHV RI IDPLO\ WKHUDS\ WUDLQLQJ ,Q D PRUH UHFHQW UHYLHZ *XUPDQ DQG .QLVNHUQ f QRWHG WKDW GHVSLWH WKH WUHPHQGRXV XSVXUJH LQ IDPLO\ WKHUDS\ WUDLQLQJ RYHU WKH SDVW GHFDGH WKHUH LV VWLOO OLWWOH UHVHDUFK WR JXLGH WKHVH WUDLQLQJ HIIRUWV %UHXQOLQ HW DO f UHSRUWHG WKDW ZLWK IHZ H[FHSWLRQV WUDLQLQJ SURJUDPV GR QRW HYDOXDWH WKHPVHOYHV EXW UDWKHU GR ZKDW WKH\ FRQVLGHU WR EH FRUUHFW RIWHQ EDVLQJ WKHLU WUDLQLQJ GHFLVLRQV RQ VRPH LVRPRUSKLVP EHWZHHQ WKHUDS\ DQG WUDLQLQJ GRPDLQV S f 7ZR GLIIHUHQW ERGLHV RI UHVHDUFK OLWHUDWXUH RI LQWHUHVW WR WKH IDPLO\ WKHUDS\ WUDLQLQJ UHVHDUFKHU DUH GHYHORSLQJ 2QH FRQFHUQV WKHUDSLVW IDFWRUV WKDW LQIOXHQFH WKH RXWFRPHV RI IDPLO\ WKHUDS\ 7KH RWKHU FRQFHUQV HPSLULFDO HYLGHQFH IRU WKH HIIHFWLYHQHVV RI IDPLO\ WKHUDS\ WUDLQLQJ 7KH OLWHUDWXUH RQ HDFK RI WKHVH WRSLFV LV UHYLHZHG LQ WKH IROORZLQJ VHFWLRQV 5HVHDUFK RQ 7KHUDSLVW )DFWRUV $IIHFWLQJ 7UHDWPHQW 2XWFRPH $W WKH WLPH RI WKHLU UHYLHZ RI WKH IDPLO\ WKHUDS\ WUDLQLQJ UHVHDUFK OLWHUDWXUH LQ *XUPDQ DQG .QLVNHUQ QRWHG WKDW WKH UHVHDUFK FRQVLVWHG RI OLPLWHG HPSLULFDO

PAGE 38

HYLGHQFH DV WR WKH HIIHFWLYHQHVV RI IDPLO\ WKHUDS\ +RZHYHU D QXPEHU RI VWXGLHV H[LVWHG HJ (SVWHLQ 6HJDO t 5DNRII 7KRPOLQVRQ 7RPP t :ULJKW f LQ ZKLFK WKH VSHFLILF WKHUDSLVW IDFWRUV WKDW LQIOXHQFH WKH RXWFRPH RI IDPLO\ WKHUDS\ ZHUH H[DPLQHG 7KUHH RI WKH PRVW LPSRUWDQW WKHUDSLVW IDFWRUV DVVRFLDWHG ZLWK SRVLWLYH WKHUDS\ RXWFRPH ZHUH WKHUDSLVW H[SHULHQFH OHYHO VWUXFWXULQJ VNLOOV DQG UHODWLRQVKLS VNLOOV +LJK OHYHOV RI H[SHULHQFH KDYH EHHQ UHSRUWHG WR EH SRVLWLYHO\ DVVRFLDWHG ZLWK SRVLWLYH WKHUDSHXWLF RXWFRPH WKXV WKH EHKDYLRU RI H[SHULHQFHG WKHUDSLVWV FDQ EH DQ LQGLUHFW FULWHULRQ IRU WUDLQLQJ VXFFHVV 3LQVRI f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t 3DUVRQV 6LJDO *XWWPDQ &KDJR\D t /DVU\ 6LJDO 5DNRII t (SVWHLQ f 7KHVH LQFOXGH VNLOOV VXFK DV GLUHFWLYHQHVV FODULW\ VHOIFRQILGHQFH LQIRUPDWLRQ

PAGE 39

JDWKHULQJ DQG VWLPXODWLQJ LQWHUDFWLRQ *XUPDQ DQG .QLVNHUQ f IRU H[DPSOH DUJXHG WKDW WKH IDPLO\ WKHUDSLVW PXVW EH DFWLYH DQG SURYLGH HDUO\ VWUXFWXUH ZLWKRXW DVVDXOWLQJ IDPLO\ GHIHQVHV WRR VRRQ $OH[DQGHU HW DO f UHSRUWHG WKH ILQGLQJ RI WKH LPSRUWDQFH RI VWUXFWXULQJ VNLOOV WKDW VXSSRUWV RWKHU UHVHDUFK ILQGLQJV WKDW DFWLYH IDPLO\ WKHUDSLVWV KDYH IHZHU GURSRXWV WKDQ QRQDFWLYH DQG WKDW SURYLGLQJ VWUXFWXUH HDUO\ LQ WKHUDS\ ZKLOH QRW DWWDFNLQJ IDPLO\ GHIHQVHV SUHPDWXUHO\ LV DVVRFLDWHG ZLWK JRRG RXWFRPH *XUPDQ t .QLVNHUQ 3RVWQHU *XWWPDQ 6HJDO (SVWHLQ t 5DNRII f )LQDOO\ UHODWLRQVKLS VNLOOV LQFOXGLQJ ZDUPWK KXPRU DQG DIIHFWLYHEHKDYLRU LQWHJUDWLRQ KDYH UHFHLYHG FRQVLVWHQW VXSSRUW DV D VNLOO UHODWHG WR SRVLWLYH RXWFRPH 6KDSLUR 6KDSLUR t %XGPDQ :D[HQEXUJ f KDYH UHSRUWHG WKDW WKHUDSLVW HPSDWK\ ZDUPWK DQG JHQXLQHQHVV DSSHDU WR EH YHU\ LPSRUWDQW LQ NHHSLQJ IDPLOLHV LQ WUHDWPHQW EH\RQG WKH ILUVW LQWHUYLHZ $OH[DQGHU HW DO f UHSRUWHG IRU H[DPSOH WKDW ERWK VWUXFWXULQJ VNLOOV DQG UHODWLRQVKLS VNLOOV ZHUH IDFWRUV UHODWHG WR SRVLWLYH RXWFRPH UHJDUGOHVV RI WKH WKHRUHWLFDO RULHQWDWLRQ 7RJHWKHU WKHVH YDULDEOHV DFFRXQWHG IRU b RI WKH RXWFRPH YDULDQFH LQ IDPLO\ WKHUDS\ LQ WKHLU VWXG\ 7KHVH VDPH VNLOOV KDYH DOVR EHHQ IRXQG WR EH FULWLFDO IRU WKH SURFHVV RI HIIHFWLYH SV\FKRWKHUDS\ LQ

PAGE 40

5HVHDUFK RQ )DPLO\ 7KHUD 7UDLQLQ 7KH VHFRQG ERG\ RI OLWHUDWXUH UHYLHZHG FRQFHUQV WKH HPSLULFDO VWXGLHV RI WKH HIIHFWLYHQHVV RI IDPLO\ WKHUDS\ WUDLQLQJ 1RWLQJ D ODFN RI HPSLULFDO HYLGHQFH LQ WKLV DUHD *XUPDQ DQG .QLVNHUQ f RXWOLQHG D ILYHVWHS SURFHVV E\ ZKLFK WUDLQHUV FRXOG VWUXFWXUH WKHLU HYDOXDWLRQ 7KLV SURFHVV LQFOXGHV WKH IROORZLQJ Df LGHQWLILFDWLRQ DQG VSHFLILFDWLRQ RI WUDLQLQJ JRDOV Ef GHYHORSPHQW RI D WUDLQLQJ PRGHO Ff GHYHORSPHQW RI PHDVXUHV WKDW FDQ HYDOXDWH WUDLQLQJLQGXFHG FKDQJH LQ WUDLQHHV ZKR SDUWLFLSDWH LQ WKH SURJUDP Gf GHPRQVWUDWLRQ RI PHDVXUHV WKDW FDQ HYDOXDWH WUDLQLQJ LQGXFHG FKDQJH DQG Hf GHPRQVWUDWLRQ WKDW WUDLQHHV ZKR KDYH VKRZQ H[SHFWHG FKDQJH RQ WKH PHDVXUHV DUH EHWWHU DEOH WR KHOS IDPLOLHV LQ WKHUDS\ 7KLV ILYHVWHS SURFHVV ZDV SURSRVHG DV D PRGHO WR HYDOXDWH DQ\ WUDLQLQJ SURJUDP 2EYLRXVO\ WKH JRDOV DQG LGHQWLILHG RXWFRPHV RI WUDLQLQJ DQG VXSHUYLVLRQ DQG WKH VNLOOV RI WKH VXSHUYLVRUf DUH GHSHQGHQW XSRQ WKH WKHRUHWLFDO RULHQWDWLRQ RI WKH SDUWLFXODU WUDLQLQJ SURJUDP LQYROYHG 0RGHOV RI IDPLO\ WKHUDS\ WHQG WR EH LVRPRUSKLFDOO\ UHSUHVHQWHG LQ WKHLU FRUUHVSRQGLQJ WUDLQLQJ PRGHOV DQG PHWKRGV WKH H[SHULHQWLDOO\ RULHQWHG &RQVWDQWLQH )HUEHU t 0HQGHOVRKQ /XWKPDQ t .LUVFKHQEDXP f DQG SV\FKRG\QDPLFDOO\ EDVHG SURJUDPV $FNHUPDQ /D 3LHUULHUH f WHQG WR HPSKDVL]H SHUVRQDO JURZWK DVSHFWV

PAGE 41

RI WUDLQLQJ DQG DIIHFWLYH H[SHULHQFHV RI WKH WUDLQHHV :KHUHDV WKRVH SURJUDPV WKDW RSHUDWH PRUH IURP D VWUXFWXUDO 0LQXFKLQ f EHKDYLRUDO &OHJKRUQ t /HYLQ f RU +DOH\ f WKHUDSHXWLF RULHQWDWLRQ KDYH PRUH FRJQLWLYHO\EDVHG JRDOV DQG DUH IRFXVHG PRUH RQ GHILQLQJ SDUWLFXODU VHWV RI WKHUDSLVW VNLOOV DQG ZD\V RI LQWHUYHQLQJ LQ G\VIXQFWLRQDO V\VWHPV $FFRUGLQJ WR *DUULJDQ DQG %DPEULFN f D FXUUHQW WUHQG LQ WKH IDPLO\ WUDLQLQJ OLWHUDWXUH LV WRZDUG HVWDEOLVKLQJ RSHUDWLRQDOO\ GHILQHG REMHFWLYHV DQG WKHUDSLVW FRPSHWHQFLHV &OHJKRUQ DQG /HYLQH f SURSRVHG D PRGHO IRU RSHUDWLRQDOL]LQJ REMHFWLYHV IRU DVVHVVPHQW RI WUDLQLQJ LQ IDPLO\ WKHUDS\ $FFRUGLQJ WR WKHLU PRGHO WKHUDSLVW VNLOOV FDQ EH FODVVLILHG LQWR WKUHH JURXSV SHUFHSWXDO FRQFHSWXDO DQG H[HFXWLYH 0RVW SXEOLVKHG DFFRXQWV RI WUDLQLQJ SURJUDPV KDYH GHVFULEHG WKHLU JRDOV DV DFKLHYLQJ DQ LQFUHDVH LQ WUDLQHHnV FRQFHSWXDO SHUFHSWXDO DQG WHFKQLFDO RU H[HFXWLYH VNLOOV 7KLV ZD\ RI GHVFULELQJ OHDUQLQJ REMHFWLYHV HJ )DOLFRY &RQVWDQWLQH t %UHXQOLQ 7RPP t :ULJKW f IROORZV WKH SURSRVDO RI &OHJKRUQ DQG /HYLQH &RQFHSWXDO VNLOOV DUH WKRVH WKDW UHODWH WR WKH WKHUDSLVWnV DELOLW\ WR IRUPXODWH SUREOHPV V\VWHPLFDOO\ DQG WR XQGHUVWDQG WKH ZD\ UXOHV JRYHUQ IDPLO\ EHKDYLRU DQG PDNH IDPLO\ LQWHUDFWLRQV SUHGLFWDEOH 7KXV FRQFHSWXDO VNLOOV EDVLFDOO\ LQYROYH ZKDW WKH WKHUDSLVW WKLQNV DERXW LQ D

PAGE 42

WKHUDS\ VHVVLRQ DQG KRZ WKRVH WKRXJKWV DUH RUJDQL]HG &RQFHSWXDO VNLOOV FDQ EH HYDOXDWHG E\ SDSHU DQG SHQFLO HWKRGV 3HUFHSWXDO VNLOOV DUH WKRVH VNLOOV WKDW UHODWH WR D WKHUDSLVWn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nV DELOLW\ WR DFW LQ IDPLO\ VHVVLRQV LQ ZD\V WKDW DUH FRQVLVWHQW ZLWK WKH JRDOV RI WKH WUDLQLQJ SURJUDP 7KXV H[HFXWLYH VNLOOV LQYROYH ZKDW WKH WKHUDSLVW VD\V DQG GRHV LQ WKH WKHUDS\ VHVVLRQ LQ RUGHU WR LQIOXHQFH WKH IDPLO\nV VHTXHQFHV RI WUDQVDFWLRQV DQG WKXV DOWHU WKH ZD\ WKH IDPLO\ IXQFWLRQV 7KHVH VNLOOV DUH WKH XOWLPDWH JRDO RI WUDLQLQJ DOWKRXJK WKH PRUH LPPHGLDWH JRDO LQ WUDLQLQJ LV WR LQFUHDVH FRQFHSWXDO DQG SHUFHSWXDO VNLOOV

PAGE 43

3ULRU WR PRVW RI WKH IDPLO\ WKHUDS\ WUDLQLQJ OLWHUDWXUH FRQVLVWHG RI DUWLFOHV WKDW GHVFULEHG WUDLQLQJ SURJUDPV DQG GLVFXVVHG WUDLQLQJ DQG VXSHUYLVLRQ JRDOV HJ )HUEHU 0HQGHOVRKQ t 1DSLHU )ORPHQKDIW t &DUWHU *DUULJDQ t %DPEULFN /DQJH t =LHJHUV /LGGOH t +DOSLQ f 7\SLFDOO\ HYDOXDWLRQ RI WKHVH SURJUDPV WRRN WKH IRUP RI XQFRQWUROOHG SRVW KRF VWXGLHV LQ ZKLFK WKH FKDQJH PHDVXUHV XVHG ZHUH UHSRUWV RI WKH OHYHO RI VHUYLFHV RIIHUHG WR IDPLOLHV DW WKH HQWDO KHDOWK DQG FRXQVHOLQJ FHQWHUV )RU H[DPSOH )ORPHQKDIW DQG &DUWHU f PDLOHG WR LQ SULYDWH SUDFWLFH RQH \HDU DIWHU WHUPLQDWLRQ IDPLO\ WKHUDS\ SUDFWLFH $ VLJQLILFDQW LQFUHDVH LQ GLUHFW VHUYLFH WR IDPLOLHV YHUVXV LQGLYLGXDOV ZDV QRWHG 'XULQJ WKH SHULRG IURP WR PXFK RI WKH WUDLQLQJ OLWHUDWXUH FRQWLQXHG WR EH LPSUHVVLRQLVWLF DOWKRXJK WKHUH ZDV D WUHQG WR REMHFWLI\ WKH VNLOOV RI IDPLO\ WKHUDS\ WUDLQHHV )RU H[DPSOH PDQ\ RI WKH VWXGLHV GHVFULEHG WUDLQLQJ RXWFRPHV EDVHG RQ FOLQLFDO REVHUYDWLRQV RI WKH WUDLQHHV HJ $SRQWH t 9DQ 'HXVHQ %HDO )HUEHU t 0HQGHOVRKQ 1LFKROV f RU SURYLGHG D VRFLRORJLFDO FRPSDULVRQ RI VXSHUYLVLRQ PHWKRGV EDVHG RQ WUDLQHH VHOIUHSRUWV HJ 7RPP t /HDKH\ f 0HWKRGV RI DVVHVVPHQW LQ WKH IDPLO\ WKHUDS\ WUDLQLQJ OLWHUDWXUH KDYH UDQJHG IURP VHOIUHSRUW WR VLPSOH FRPSXWHU

PAGE 44

VFRUHG EHKDYLRUDO FRXQWV $ SRSXODU PHWKRG RI DVVHVVLQJ WUDLQHHV NQRZOHGJH RI IDPLO\ WKHUDS\ FRXUVH FRQWHQW DQG WKHRU\ LQYROYHV SDSHU DQG SHQFLO PHWKRGV VXFK DV PXOWLSOH FKRLFH TXHVWLRQV RU HVVD\V )ULHGPDQ 7RPP f )ULHGPDQ UHSRUWHG WKDW PHQWDO KHDOWK SURIHVVLRQDOV VLJQLILFDQWO\ LQFUHDVHG LQ IDFWXDO DQG WKHRUHWLFDO NQRZOHGJH EHWZHHQ SUHWUDLQLQJ DQG SRVWWUDLQLQJ WHVWV UHSRUWHG WKDW ILUVW \HDU PHGLFDO VWXGHQWV GHPRQVWUDWHG VLJQLILFDQW LQFUHDVHV LQ WKH NQRZOHGJH RI D )DPLO\ 6FKHPH GHYLVHG E\ (SVWHLQ DQG KLV DVVRFLDWHV IROORZLQJ WKHLU WUDLQLQJ H[SHULHQFHV (SVWHLQ 6LJDO t 7RPP 5DNRII f $QRWKHU PHWKRG XVHG LQ WKH IDPLO\ WKHUDS\ WUDLQLQJ OLWHUDWXUH LQYROYHV DVVHVVLQJ FKDQJHV LQ DWWLWXGHV RI WKH 3ROOVWUD DQG /DQJH f UHSRUWHG WKDW WUDLQHHVn DWWLWXGHV VKLIWHG VLJQLILFDQWO\ WRZDUGV DFFHSWDQFH RI EHKDYLRUDO IDPLO\ WKHUDS\ DV D UHVXOW RI WUDLQLQJ LQ WKLV PRGHO $QG DV SUHYLRXVO\ PHQWLRQHG )ORPHQKDIW DQG &DUWHU f UHSRUWHG WKDW PHQWDO KHDOWK SURIHVVLRQDOV WUDLQHG LQ IDPLO\ WKHUDS\ UHSRUWHG D VLJQLILFDQW LQFUHDVH LQ WKH DPRXQW RI WLPH VSHQW LQ IDPLO\ WKHUDS\ 7KHVH ILQGLQJV VXJJHVW WKDW WUDLQLQJ OHDGV WR DQ LQFUHDVHG NQRZOHGJH RI FRXUVH FRQWHQW DQG DQ DFFHSWDQFH RI QHZ WKHRUHWLFDO SRVLWLRQV EXW LQ IDFW RIIHU OLWWOH PRUH WKDQ DVVXUDQFH WKDW SURIHVVLRQDOV FDQ OHDUQ QHZ FRQFHSWV DQG PD\

PAGE 45

EH PRUH DSW WR XVH WKRVH FRQFHSWV ZLWK LQFUHDVHG IDPLOLDULW\ 7KHUH DUH WZR PDMRU OLPLWDWLRQV RI WKH HPSLULFDO 7\SLFDOO\ WKH UHVHDUFK GHVLJQ GLG QRW LQFOXGH FRPSDUDEOH FRQWURO JURXSV 7KXV DQ\ FKDQJHV LQ WKH WUDLQHHV FRXOG EH DWWULEXWHG WR IDFWRUV RWKHU WKDQ WUDLQLQJ SURJUDPV IRU H[DPSOH VSRQWDQHRXV LPSURYHPHQW RU PDWXUDWLRQ DWWHQWLRQ SODFHG HIIHFWV &RRN t &DPSEHOO f ,Q DGGLWLRQ WKH YDULDEOH VHOHFWHG DV RXWFRPHV PHDVXUHG RQO\ ZKHWKHU WUDLQHHV KDG DVVLPLODWHG LQVWUXFWLRQDO PDWHULDO QRW ZKHWKHU WKH\ FRXOG GHPRQVWUDWH SDUWLFXODU IDPLO\ WKHUDS\ VNLOOV $QRWKHU DVSHFW RI WKH WUDLQLQJ UHVHDUFK FRQFHUQHG WKH GHYHORSPHQW RI PHDVXUHV RI FKDQJH 6RPH RI WKH HDUOLHVW VWXGLHV XVHG FRGLQJ V\VWHPV 3RVWQHU HW DO 6LJDO HW DO 6LJDO /DVU\ *XWWPDQ &KDJR\D t 3LODQ f 3LQVRI f SRLQWHG RXW WKDW WKH PDLQ GLIILFXOWLHV ZLWK WKHVH VWXGLHV DURVH IURP WKH FRGLQJ V\VWHP 6SHFLILFDOO\ WKH GLYLVLRQ RI WKHUDSLVWnV YHUEDO EHKDYLRU LQWR WZR FDWHJRULHV RI GULYH DQG LQWHUSUHWDWLRQ PDNHV WKH V\VWHP QRW VHQVLWLYH WR ILQG VLJQLILFDQW UHVXOWV ,Q &KDJR\D 3UHVVHU DQG 6LJDO GHYHORSHG D PRUH VSHFLILF FRGLQJ V\VWHP XVLQJ GLVWLQFW FDWHJRULHV 7KH\ FRQGXFWHG WZR VWXGLHV XVLQJ WKLV V\VWH ,Q WKHLU PRUH UHFHQW VWXG\ 6LJDO HW DO f H[DPLQHG WKH UHODWLRQVKLS EHWZHHQ IDPLO\ WKHUDS\ WUDLQHHVn UHDFWLRQV WR D YLGHRWDSHG

PAGE 46

VLPXODWHG IDPLO\ VHVVLRQ DQG WKH RXWFRPH RI WKHUDS\ RI IDPLOLHV WKH\ WUHDWHG 7UDLQHHVn EHKDYLRUV ZHUH FRGHG LQ WKH VLPXODWHG VLWXDWLRQV DQG UHVXOWV ZHUH FRPSDUHG ZLWK IDPLO\ RXWFRPH GDWD 2XWFRPH ZDV EDVHG RQ LQGHSHQGHQW UDWLQJV RI WKH IDPLO\nV VDWLVIDFWLRQ ZLWK WUHDWPHQW WKH VWDWXV RI WKH SUHVHQWLQJ SUREOHP VL[ PRQWKV DIWHU WHUPLQDWLRQ UHWXUQ WR WUHDWPHQW DQG WKH IDPLO\nV JRDO DWWDLQPHQW VFRUHV 7KURXJK WKH XVH RI WKLV FDWHJRU\ V\VWHP )7,6,,f WKH DXWKRUV GLVWLQJXLVKHG GLIIHUHQW OHYHOV RI FRPSHWHQFH DPRQJ WKHUDSLVWV DQG LQ VRPH FDVHV VKRZHG WKDW IDPLOLHV ZKR VDZ PRUH H[SHUW WKHUDSLVWV KDG EHWWHU RXWFRPHV LQ WKHUDS\ 7KH PDLQ GLIILFXOW\ ZLWK WKLV UHVHDUFK ZDV LWV IDLOXUH WR HVWDEOLVK ZKHWKHU UHVXOWV VKHG OLJKW RQ WKH SURFHVV RI DFWXDO IDPLO\ WKHUDS\ EHFDXVH UHVXOWV PHDVXUHG WKH WKHUDSLVWnV UHVSRQVH WR D VLPXODWHG YLGHRWDSHG IDPLO\ VHVVLRQ YHUVXV DFWXDO LQWKHUDS\ EHKDYLRU &OHDUO\ WKH FORVHU RQH JHWV WR WKH HYDOXDWLRQ RI UHDO WKHUDS\ WKH PRUH SRZHUIXO WKH LQVWUXPHQW RU PHDVXUH RI +RZHYHU YHU\ SUDFWLFDO SUREOHPV DULVH LQ WKH XVH RI UHDO IDPLOLHV LQ DFWXDO VHVVLRQV 7KHVH FDQ LQFOXGH ODFN RI VWDQGDUGL]DWLRQ QR VKRZV DQG FRQILGHQWLDOLW\ LVVXHV %HFDXVH RI WKHVH GLIILFXOWLHV UHVHDUFKHUV KDYH XVHG ZULWWHQ GHVFULSWLRQV RI IDPLO\ EHKDYLRU DQG VLPXODWHG IDPLO\ VHVVLRQV

PAGE 47

$V SUHYLRXVO\ QRWHG WKHVH SUREOHPV DUH DOVR QRW QHZ WR WKH KLVWRU\ RI RXWFRPH UHVHDUFK LQ LQGLYLGXDO SV\FKRWKHUDS\ 0DWDUD]]R f VXPPDUL]HG GLIILFXOWLHV ZLWK LQGLYLGXDO SV\FKRWKHUDS\ WUDLQLQJ UHVHDUFK WKDW VWLOO DSSO\ WRGD\ 7KHVH LQFOXGH SUREOHPV ZLWK GHVLJQ UDQGRPL]DWLRQ VLPXODWLRQ WHFKQLJXHV DQG WKH XVH RI UHDO 3LQVRI f DQG $OOUHG DQG .HUVH\ f DOVR GHYHORSHG LQVWUXPHQWV WR DVVHVV EHKDYLRUDO FKDQJHV LQ IDPLO\ 7KHVH LQVWUXPHQWV WDUJHWHG WKHUDSLVW 3LQVRI f GHYHORSHG D FDWHJRU\ QRPLQDO FRGLQJ V\VWHP XVHG WR VWXG\ VKRUWWHUP SUREOH RULHQWHG IDPLO\ WKHUDSLVWV GXULQJ LQLWLDO LQWHUYLHZV 5HVHDUFKHUV XVLQJ KLV V\VWHP KDYH UHSRUWHG ILQGLQJV RI GLIIHUHQFHV LQ YHUEDO EHKDYLRU RI DGYDQFHG IDPLO\ WKHUDSLVWV ZKR IRFXVHG RQ WKH KHUHDQGQRZ DQG EHJLQQHUV ZKR ZHUH PRUH IRFXVHG RQ LQGLYLGXDO PHPEHUVn WKRXJKWV DQG f f RSLQLRQV 3LQVRI VSHFXODWHG WKDW WZR FRJQLWLYH VNLOOVf§ VHJXHQWLDO WKLQNLQJ DQG DWWHQWLRQDO VNLOOf§PD\ LQIOXHQFH WKH GLIIHUHQFH EHWZHHQ WZR JURXSV )ROORZLQJ WKLV VWXG\ 3LQVRI f GHYHORSHG D PRUH FRPSOH[ FRGLQJ V\VWHP FDOOHG WKH )DPLO\ 7KHUDSLVW &RGLQJ )7&6f 7KLV V\VWHP FRQVLVWHG RI QLQH QRPLQDO VFDOHV HDFK RQH FRQWDLQLQJ D QXPEHU RI GLVWLQFW FDWHJRULHV DQG LQ VRPH FDVHV VXEFDWHJRULHV $ WKHUDSLVW LQWHUYHQWLRQ LV FRGHG RQ HDFK VFDOH DQG WKLV DOORZV IRU D

PAGE 48

UHFRQVWUXFWLRQ RI D WKHUDSLVWnV LQWHUYHQWLRQ 7KXV RQH FDQ JHW D FOHDUHU SLFWXUH RI D WKHUDSLVWnV YHUEDO EHKDYLRU +RZHYHU WKHUH LV D PDMRU OLPLWDWLRQ LQYROYHG LQ WKH XVH RI WKLV PHDVXUH 'XH WR WKH FRPSOH[LW\ RI WKLV LQVWUXPHQW D FRQVLGHUDEOH DPRXQW RI SUDFWLFH DGPLQLVWUDWLRQ LV UHTXLUHG LQ RUGHU WR LQVXUH UHOLDEOH PHDVXUHPHQW DQG WKHUHIRUH WKH XVH RI WKH )7&6 LV RIWHQ QRW IHDVLEOH ,Q WKH VHFRQG PHDVXUH $OOUHG DQG .HUVH\ f KDYH DQDO\]HG UHVXOWV RI UHVHDUFK XVLQJ WKH $OOUHG ,QWHUDFWLRQDO $QDO\VLV RI &RXQVHORUV $,$&f 7KLV PHDVXUH KDV DOVR EHHQ VKRZQ WR GLIIHUHQWLDWH DPRQJ WUDLQHHVn OHYHO RI WUDLQLQJ 6HYHUDO UHVHDUFKHUV KDYH UHSRUWHG WKLV PHDVXUH RI YHUEDO EHKDYLRU WR EH KLJKO\ UHOLDEOH .HUVH\ 6DQGHUV :DWVRQ f +RZHYHU VWXGLHV DWWHPSWLQJ WR HVWDEOLVK FRQFXUUHQW YDOLGLW\ KDYH QRW EHHQ LPSUHVVLYH ,Q WKH SDVW \HDUV VHYHUDO H[FHOOHQW GHVFULSWLRQV RI WKH GHYHORSPHQW DQG YDOLGDWLRQ RI WKHUDSLVW UDWLQJ VFDOHV KDYH EHHQ SXEOLVKHG %UHXQOLQ HW DO /DLUG t 0RKDPPHG 7XFNHU t 3LQVRI f ,Q HDFK RI WKHVH SDSHUV D GLIIHUHQW DSSURDFK WR WKH SUREOHP RI VFDOH GHYHORSPHQW ZDV GHWDLOHG )RU H[DPSOH 3LHUF\ HW DO f EHJDQ ZLWK D SRRO RI LWHPV WKDW ZHUH EHOLHYHG WR UHIOHFW IDPLO\ WKHUDS\ VNLOOV IURP DOO WKHRUHWLFDO RULHQWDWLRQV IDPLO\ WKHUDSLVWV UHSHDWHGO\ UHGXFHG WKH SRRO XQWLO LW EHFDPH LWHPV LQ HDFK RI VNLOO FDWHJRULHV ,W ZDV

PAGE 49

GHYHORSHG WR HYDOXDWH WKH WKHUDSHXWLF VNLOOV RI WUDLQHHV DV ZHOO DV WKHUDSLVWV FRQFLVH LQVWUXPHQW 7KHLU JRDO ZDV WR FUHDWH D VKRUW 7KH FDWHJRULHV ZHUH EDVHG RQ WKH VWUXFWXULQJ DQG UHODWLRQVKLS VNLOOV VSHFLILHG E\ %DUWRQ DQG 5HHG DQG RQ /HYDQWnV FODVVLILFDWLRQ RI YDULRXV WKHRUHWLFDO PRGHOV RI IDPLO\ WKHUDS\ 3LHUF\ HW DO f 0RKDPPHG DQG 3LHUF\ f XVHG WKH UHODWLRQVKLS DQG VWUXFWXULQJ VFDOHV RI WKLV FRGLQJ V\VWHP WR PHDVXUH WKH HIIHFWLYHQHVV RI WZR PHWKRGV RI WUDLQLQJ 7KH\ FRPSDUHG DQ REVHUYDWLRQ IHHGEDFN PHWKRG RI WUDLQLQJ LH WUDLQHHV GLVFXVV YLGHRWDSHV RI WKHLU VLPXODWHG IDPLO\ WKHUDS\ VHVVLRQVf ZLWK D VNLOOEDVHG PHWKRG LH WKH WUDLQHU VKRZV YLGHRWDSHV WKDW WHDFK UHODWLRQVKLS VNLOOV DQG VWUXFWXULQJ VNLOOVf 7ZHQW\VL[ VXEMHFWV SDUWLFLSDWHG LQ WKH VWXG\ %RWK JURXSV UHFHLYHG ERWK WUHDWPHQWV LQ D $ VLJQLILFDQW UHVXOW RFFXUUHG LQ WKH JURXS WKDW ILUVW UHFHLYHG REVHUYDWLRQ IHHGEDFN IROORZHG E\ VNLOO EDVHG WUDLQLQJ 7KLV JURXS VKRZHG D VLJQLILFDQW LQFUHDVH LQ UHODWLRQVKLS VNLOOV ,Q DQRWKHU VWXG\ 7XFNHU DQG 3LQVRI f XWLOL]HG D VFDOH WKH )DPLO\ 7KHUDSLVW &RGLQJ 6\VWHPf WKDW ZDV GHYHORSHG WR DOORZ IRU WKH GHVFULSWLRQ RI DOO EHKDYLRU 7KH )DPLO\ 7KHUDSLVW &RGLQJ 6\VWHP ZDV EDVHG RQ WKH UHVHDUFK SUHYLRXVO\ GLVFXVVHG FRQGXFWHG E\ 3LQVRI f

PAGE 50

%UHXQOLQ HW DO f DOVR UHSRUWHG WKH GHYHORSPHQW RI DQ LQVWUXPHQW GHVLJQHG WR PHDVXUH REVHUYDWLRQDO SHUFHSWXDOf FRQFHSWXDO DQG WHFKQLFDO H[HFXWLYHf VNLOOV RI IDPLO\ WKHUDS\ 7KH RULJLQDO LQVWUXPHQW FRQVLVWHG RI D YLGHRWDSH RI DQ HQDFWHG IDPLO\nV ILUVW VHVVLRQ DQG D VHULHV RI PXOWLSOH FKRLFH TXHVWLRQV UHJDUGLQJ WKH VXEMHFWn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f RU WHFKQLFDO H[HFXWLYHf VNLOOV IRU HLWKHU JURXS %UHXQOLQ DQG FROOHDJXHV VXJJHVWHG WKDW WKH LQVWUXPHQW PD\ QRW KDYH EHHQ VHQVLWLYH HQRXJK WR GHWHFW D FKDQJH LQ VNLOO OHYHO 7KH )7$( KDV VLQFH EHHQ UHYLVHG 7KH ILIWK UHILQHPHQW LV FXUUHQWO\ EHLQJ XVHG LQ UHVHDUFK VWXGLHV 7KH FXUUHQW YHUVLRQ LV D SURFHGXUH LQ ZKLFK ZDWFK D VLPXODWHG IDPLO\ WKHUDS\ LQWHUYLHZ RQ YLGHRWDSH DQG DQVZHU WKH TXHVWLRQV RI D LWH XOWLSOH FKRLFH IRUPDW WHVW %UHXQOLQ HW DO f SRLQWHG RXW WKDW D PXOWLSOH FKRLFH IRUPDW LQ ZKLFK VXEMHFWV FKRRVH DQ DOWHUQDWLYH LQ UHVSRQVH

PAGE 51

WR D VLPXODWHG YLGHRWDSH FRQVWLWXWHV D UHDVRQDEOH FRPSURPLVH LQ WKDW LW FDQ UHOLDEO\ PHDVXUH WKHUDSLVW VNLOOV ZLWKLQ D VWDQGDUGL]HG DQG HDVLO\ VFRUDEOH PHWKRGRORJ\ 7KH )7$( ZDV GHVLJQHG WR DVVHVV WKH DFTXLVLWLRQ RI VNLOOV ZLWKLQ WKH VWUXFWXUDOVWUDWHJLF PRGHO $OWKRXJK %UHXQOLQ HW DO f UHSRUWHG FRQWLQXHG GLIILFXOWLHV ZLWK WKH REVHUYDWLRQDO SHUFHSWXDOf VFDOH WKHUH LV DFFXPXODWLQJ HYLGHQFH WKDW ERWK WKH FRQFHSWXDO DQG WKHUDSHXWLF VFDOHV RI WKH FXUUHQW YHUVLRQ RI WKH )7$( GLVFULPLQDWH ZHOO DV GRHV WKH WRWDO VFRUH +HUQDQGH] 3XOOH\EODQN t 6KDSLUR :HVW +RVLH t =DUVNL f )RU H[DPSOH +HUQDQGH] f WHVWHG WKH GHVFULPLQDQW YDOLGLW\ RI WKH )7$( XVLQJ D VDPSOH RI SHUVRQV ZKR ZHUH HLWKHU QRYLFH PLGUDQJH RU H[SHULHQFHG IDPLO\ WKHUDSLVWV 6XEMHFWV ZHUH GUDZQ IURP VHYHQ IDPLO\ WKHUDS\ WUDLQLQJ SURJUDPV LQ ,OOLQRLV DQG ,QGLDQD DQG UDQJHG IURP ILUVW \HDU JUDGXDWH VWXGHQWV WR $$0)7 DSSURYHG VXSHUYLVRUV 7KUHH DQG VL[ZHHN WHVW UHWHVW UHOLDELOLWLHV ZHUH DQG +HUQDQGH] IRXQG WKDW WKH WRWDO VFRUH FRQFHSWXDO VFRUH DQG WKH WKHUDSHXWLF H[HFXWLYHf VFRUH GLVFULPLQDWHG ZHOO EHWZHHQ QRYLFH DQG H[SHULHQFHG ,Q DQRWKHU VWXG\ 3XOOH\EODQN DQG 6KDSLUR f XVHG WKH )7$( WR HYDOXDWH D PRQWK VWUXFWXUDO IDPLO\ WKHUDS\ WUDLQLQJ SURJUDP DQG IRXQG WKDW DOO WKH VFRUHV RI WKH )7$( GLIIHUHQWLDWHG EHWZHHQ QLQH WUDLQHHV LQ D VWUXFWXUDO IDPLO\

PAGE 52

WKHUDS\ WUDLQLQJ SURJUDP DQG DQ HLJKW PHPEHU FRPSDULVRQ JURXS $OO WUDLQHHV KHOG PDVWHUnV GHJUHHV LQ HLWKHU DUULDJH DQG IDPLO\ WKHUDS\ RU VRFLDO ZRUN DQG ZHUH HPSOR\HG DW D PHQWDO KHDOWK DJHQF\ 7KH FRPSDULVRQ JURXS ZHUH HGXFDWHG DV PDVWHUnV OHYHO PDUULDJH DQG IDPLO\ WKHUDSLVWV DQG ZHUH DOVR HPSOR\HG DV VXFK +RZHYHU JHQHUDOL]DELOLW\ RI WKH VWXG\ ZDV OLPLWHG GXH WR WKH VPDOO VDPSOH VL]H ,Q DQRWKHU VWXG\ :HVW HW DO f H[DPLQHG VWXGHQWV HQUROOHG LQ D JUDGXDWH OHYHO FRXUVH LQ IDPLO\ WKHUDS\ ZKR SUDFWLFHG LQWHUYLHZLQJ VLPXODWHG IDPLOLHV RYHU D SHULRG RI b PRQWKV RQH VHPHVWHUf 6WXGHQWV ZHUH QRYLFH OHYHO IDPLO\ WKHUDSLVWV 6NLOO GHYHORSPHQW ZDV DVVHVVHG DW WKUHH HTXDO LQWHUYDO WLPHV GXULQJ WKH VHPHVWHU 7KH )7$( ZDV XVHG WR PHDVXUH VNLOO GHYHORSPHQW $ DQDO\VHV LQGLFDWHG WKHUH ZHUH VLJQLILFDQW GLIIHUHQFHV EHWZHHQ WHVWLQJ WLPHV RQ WKH WRWDO VFRUH 6LJQLILFDQW GLIIHUHQFHV ZHUH IRXQG IURP WLPH WR WLPH ZLWK FRPELQHG VFRUHV IRU REVHUYDWLRQDO DQG FRQFHSWXDO VXEWHVWV &RQFHSWXDO VNLOOV LQFUHDVHG VLJQLILFDQWO\ IURP WLPH WR WLPH ZKLOH REVHUYDWLRQDO VNLOOV VLJQLILFDQWO\ LQFUHDVHG IURP WLPH WR WLPH 1R VLJQLILFDQW GLIIHUHQFHV ZHUH IRXQG IRU WKH WKHUDSHXWLF VXEWHVW 7KLV PD\ EH GXH WR WZR IDFWRUV WKH WHVW LQVWUXPHQW DQG WKH PHWKRG RI WUDLQLQJ WKDW HPSKDVL]HG

PAGE 53

REVHUYDWLRQDO DQG FRQFHSWXDO VNLOOV +RZHYHU WKH VWXG\ OHQW VXSSRUW WR WKH YDOLGLW\ RI WKH )7$( DQG VXJJHVWHG WKH XVH RI VLPXODWLRQ IRU VNLOO GHYHORSPHQW RI REVHUYDWLRQDO DQG FRQFHSWXDO VNLOOV (YDOXDWLRQ RI 7UDLQLQJ 6WXGLHV 5HFHQWO\ VRPH UHVHDUFKHUV KDYH HYDOXDWHG WUDLQLQJ SURJUDPV 7RPP DQG /HDKH\ f H[DPLQHG WKH UHODWLYH HIIHFWLYHQHVV RI GLIIHULQJ PHWKRGV RI WUDLQLQJ XVHG WR WHDFK EDVLF IDPLO\ DVVHVVPHQW WR ILUVW \HDU PHGLFDO VWXGHQWV DW WKH 8QLYHUVLW\ RI &DOJDU\ 7KUHH WHDFKLQJ HWKRGV ZHUH FRPSDUHG Df OHFWXUH ZLWK YLGHRWDSHG GHPRQVWUDWLRQ Ef VPDOO JURXS GLVFXVVLRQ ZLWK WKH VDPH YLGHRWDSHG GHPRQVWUDWLRQ DQG Ff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f $ SUHWHVWSRVWWHVW GHVLJQ ZDV XVHG WR FRPSDUH WUDLQHHVn

PAGE 54

SHUIRUPDQFHV EHIRUH DQG DIWHU WKH ZRUNVKRS RQ ERWK FRJQLWLYH DQG LQWHUYHQWLRQ VNLOOV :ULWWHQ FDVH DQDO\VHV YLGHRWDSHG LQWHUYLHZV ZLWK VLPXODWHG IDPLOLHV DQG VHOI UDWLQJV ZHUH WKH WKUHH PHDVXUHV XVHG WR HYDOXDWH WUDLQHHnV OHDUQLQJ 6LJQLILFDQW LPSURYHPHQWV ZHUH IRXQG RQ DOO WKUHH 1R VLJQLILFDQW GLIIHUHQFHV ZHUH IRXQG EHWZHHQ GLIIHUHQW SURIHVVLRQDO JURXSV SDUWLFLSDWLQJ &KDQJHV LQ FRJQLWLYH DQG LQWHUYHQWLRQ VNLOOV ZHUH IRXQG WR EH UHODWLYHO\ LQGHSHQGHQW %\OHV %LVKRS DQG +RUQ f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f H[DPLQHG WKH GLIIHUHQWLDO HIIHFW RI WZR WUDLQLQJ PHWKRGV REVHUYDWLRQ IHHGEDFN DQG VNLOO EDVHGf DV ZHOO DV WKH VHTXHQFH RI WKHVH PHWKRGV RQ VWUXFWXULQJ DQG UHODWLRQVKLS

PAGE 55

VNLOOV 7KH WUDLQLQJ FRQVLVWHG RI IRXU ZHHNO\ ? KRXU 5HODWLRQVKLS VNLOOV LPSURYHG ZLWK WKH REVHUYDWLRQ IHHGEDFN PHWKRGV LQ WKH ILUVW VHTXHQFH +RZHYHU RYHUDOO QHLWKHU RI WKH PHWKRGV RU VHTXHQFHV ZHUH PRUH HIIHFWLYH LQ GLUHFW FRPSDULVRQ 7KH ILUVW FRPSUHKHQVLYH VWXG\ RI DQ RXWFRPH HYDOXDWLRQ RI DQ HQWLUH WUDLQLQJ SURJUDP ZDV UHSRUWHG E\ 7XFNHU DQG 3LQVRI f 7KH\ GHPRQVWUDWHG WKDW WUDLQLQJ GRHV HIIHFW FKDQJH LQ WUDLQHHV RQ VHYHUDO LPSRUWDQW GLPHQVLRQV 6HWWLQJ DV WKHLU JRDO HYDOXDWLQJ WR ZKDW H[WHQW SV\FKRWKHUDS\ WUDLQLQJ SURJUDPV DFKLHYH WKHLU VNLOOV WUDLQLQJ JRDOV 7XFNHU DQG 3LQVRI GHYHORSHG D VWDQGDUG VWLPXOXV DQG D EDWWHU\ RI LQVWUXPHQWV IRU HYDOXDWLQJ WUDLQHH FKDQJH 7KH VWXG\ HYDOXDWHG FKDQJH LQ IDPLO\ WKHUDS\ WUDLQHHV LQ WKHLU ILUVW \HDU RI VWXG\ DW WKH &HQWHU IRU )DPLOLHV 6WXGLHV)DPLO\ ,QVWLWXWH RI &KLFDJR &)6),&f LQ WHUPV RI WKUHH DWWULEXWHV Df FOLQLFDO FRJQLWLRQ Ef WHFKQLTXHV DQG Ff VHOIDFWXDOL]DWLRQ 7UDLQLQJ LQYROYHG SDUWWLPH SRVWJUDGXDWH FRXUVHZRUN &OLQLFDO FRJQLWLRQ ZDV PHDVXUHG E\ WKH )DPLO\ &RQFHSW $VVHVVPHQW )&$f 7XFNHU t 3LQVRI f DQG VHOIDFWXDOL]DWLRQ E\ WKH 3HUVRQDO 2ULHQWDWLRQ ,QYHQWRU\ 32,f 6KRVWURP f 7KH LQn WKHUDS\ EHKDYLRU RI WKH WUDLQHHV ZDV HYDOXDWHG E\ UDWLQJ WKH WUDLQHHnV UHVSRQVH WR D OLYH IDPLO\ VLPXODWLRQ 3URIHVVLRQDO DFWRUV ZHUH XVHG WR UHSUHVHQW WKH IDPLO\ 7ZR GLIIHUHQW EXW VLPLODU IDPLOLHV ZHUH XVHG IRU DQG

PAGE 56

6LPXODWHG IDPLOLHV ZHUH HTXLYDOHQW LQ LQWHUDFWLRQDO SDWWHUQV IRU WUDLQHHV DV GHPRQVWUDWHG E\ HPSLULFDO HYLGHQFH 5HVXOWV UHSRUWHG E\ 7XFNHU DQG 3LQVRI f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f ILQGLQJV VXSSRUWHG WKH EHOLHI WKDW IDPLO\ WKHUDS\ WUDLQLQJ FDQ KDYH FOLQLFDOO\ PHDQLQJIXO HIIHFWV RQ WUDLQHHV WKLQNLQJ LQFUHDVHG DFWLYLW\ OHYHO DQG LQFUHDVHG UDQJH DQG RI LQWHUDFWLRQV ZHUH LPSDFWHG E\ WUDLQLQJ 7KLV VWXG\ EURNH PHWKRGRORJLFDO JURXQG DQG SURYLGHG D PRGHO IRU IXWXUH LQYHVWLJDWLRQ DV LW LOOXVWUDWHG WKDW HPSLULFDO VWXG\ RI IDPLO\ WKHUDS\ WUDLQLQJ LV SRVVLEOH DQG FRQILUPHG

PAGE 57

WKH IDFW WKDW UHVHDUFK PD\ EH XVHIXO DV D JXLGH IRU VKDSLQJ IDPLO\ WKHUDS\ WUDLQLQJ SURJUDPV ,Q =DNHQ*UHHQEHUJ DQG 1HLPH\HU UHSRUWHG WKH UHVXOWV RI D FRQWUROOHG DVVHVVPHQW RI D WUDLQLQJ VHPLQDU LQ VWUXFWXUDO IDPLO\ WKHUDS\ IRU JUDGXDWH VWXGHQWV &KDQJHV LQ WKH FRQFHSWXDO DQG H[HFXWLYH VNLOOV RI WKHUDS\ WUDLQHHV IDPLO\ WUDLQHHV DQG FRQWURO VXEMHFWVf ZHUH DVVHVVHG RYHU D ZHHN SHULRG XVLQJ D UHSHUWRU\ JULG DQG YLGHRWDSHG WKHUDS\ VLPXODWLRQ WHFKQLJXH 5HVXOWV LQGLFDWHG VLJQLILFDQW FRQFHSWXDO JDLQV LQ IDPLO\ WKHUDS\ WUDLQHHV EXW RQO\ DPRQJ WKRVH ZLWK OLWWOH SUHYLRXV H[SRVXUH WR IDPLO\ WUDLQLQJ 'LIIHUHQFHV LQ WKH RYHUDOO QXPEHU DV ZHOO DV W\SH RI LQWHUYHQWLRQV ZHUH DOVR QRWHG 5HVXOWV JHQHUDOO\ VXSSRUWHG WKH SUHGLFWHG LPSDFW RI WKHUDS\ WUDLQLQJ EXW OHIW XQDQVZHUHG TXHVWLRQV UHJDUGLQJ WKH XQLTXH LQSXW RI IDPLO\ WKHUDS\ WUDLQLQJ RYHU LQGLYLGXDO WUDLQLQJ )DPLO\ WKHUDS\ WUDLQLQJ LWVHOI FRXOG QRW EH LVRODWHG DV WKH FDXVH IRU PDQ\ RI WKH GLIIHUHQFHV QRWHG LQ WKLV VWXG\ )RU H[DPSOH VRPH HIIHFWV VXFK DV GHFUHDVH LQ REVWUXFWLYH UHVSRQGLQJ RFFXUUHG LQ ERWK JURXSV VXJJHVWLQJ WKDW WKH\ PD\ UHVXOW IUR SUDFWLFH PDWXUDWLRQ RU VRPH RWKHU YDULDEOHV QRW VSHFLILF WR IDPLO\ WKHUDS\ WUDLQLQJ SHU VH 2WKHU ILQGLQJV LQ WKH VWXG\ GHPRQVWUDWHG WKH FRQVLVWHQW VXSHULRULW\ RI IDPLO\ WUDLQHHV HJ QXPEHU RI LQWHUYHQWLRQV JHQHUDWHG HIIHFWV WKDW GLG QRW YDU\ ZLWK WUDLQLQJf $JDLQ WKHVH ILQGLQJV UDLVHG TXHVWLRQV UHJDUGLQJ WKH XQLTXH LPSDFW RI IDPLO\

PAGE 58

WKHUDS\ RYHU DQG DERYH LQGLYLGXDO WUDLQLQJ 0RUHRYHU WKHVH DXWKRUV QRWHG WKDW WKHUH ZDV DQ XQFHUWDLQ UHODWLRQVKLS EHWZHHQ WUDLQLQJ HIIHFWLYHQHVV DQG WKHUDSHXWLF (YHQ WKRXJK WKH VWUXFWXUDO IDPLO\ WUDLQHHV LQ WKLV VWXG\ GLG VKRZ FRPSDUDWLYHO\ JUHDWHU JDLQV LQ FRQFHSWXDO DQG H[HFXWLYH VNLOOV QR FXUUHQW UHVHDUFK KDV VSHFLILHG WKH LPSDFW RI WUDLQLQJ JDLQV RQ WKHUDS\ RXWFRPH 7KH IROORZLQJ FRQFOXVLRQV FDQ EH GUDZQ IURP UHYLHZLQJ WKLV OLWHUDWXUH Df LQVWUXPHQWV ZLWK VRPH GHJUHH RI UHOLDELOLW\ DQG YDOLGLW\ QRZ H[LVW WKDW GLVWLQJXLVK WKHUDSLVWV H[SHULHQFH OHYHOV Ef IDPLO\ WKHUDS\ WUDLQLQJ DSSHDUV WR SURGXFH DQ LQFUHDVH LQ WUDLQHH VNLOO DFTXLVLWLRQ KRZHYHU LQWHUYHQWLRQ VNLOOV KDYH QHYHU EHHQ PHDVXUHG LQ DFWXDO WKHUDS\ VHVVLRQV Ff FRJQLWLYH DQG LQWHUYHQWLRQ VNLOOV DSSHDU WR GHYHORS LQGHSHQGHQWO\ RI RQH DQRWKHU DQG Gf EHJLQQLQJ DVVHVVPHQW VNLOOV PD\ EH HIIHFWLYHO\ WDXJKW XVLQJ WUDGLWLRQDO FODVVURR HWKRGV :LWK UHJDUG WR WKH W\SH RI WUDLQHH WKH FRQWH[W DQG W\SH RI WUDLQHH DQG WKH OHQJWK RI WUDLQLQJ WKLV ERG\ RI UHVHDUFK GHPRQVWUDWHG D JUHDW GHDO RI GLYHUVLW\ )RU H[DPSOH W\SHV RI WUDLQHHV LQFOXGHG JUDGXDWH VWXGHQWV SRVWPDVWHUnV OHYHO WUDLQHHV HGLFDO VWXGHQWV DQG PL[HG SURIHVVLRQDO JURXSV &RQWH[W IRU WUDLQLQJ LQFOXGHG D SURIHVVLRQDO ZRUNVKRS JUDGXDWH OHYHO FRXUVHZRUN IDPLO\ WKHUDS\ WUDLQLQJ FHQWHUV LQ DJHQF\ WUDLQLQJ SURJUDPV DQG VHPLQDUV WKDW HQWDLOHG OHFWXUHV VNLOOEDVHG DSSURDFKHV

PAGE 59

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f DW SDUWLFXODU VWDJHV RI WUDLQLQJ LH LQLWLDO VWDJHf LQ FRQWH[WV LH XQLYHUVLW\ EDVHG SURJUDPVf ZRXOG HQKDQFH WKH UHVHDUFK OLWHUDWXUH ,Q D UHFHQW UHYLHZ RI WKH RXWFRPH UHVHDUFK RQ IDPLO\ WKHUDS\ WUDLQLQJ $YLV DQG 6SUHQNOH f VXJJHVWHG JXLGHOLQHV IRU IXWXUH UHVHDUFK 7KH IROORZLQJ ZHUH UHFRPPHQGDWLRQV $ QHHG IRU FRQWUROOHG UHVHDUFK ZKLFK FUHDWLYHO\ H[SORUHV ZD\V IRU FRQWUROOLQJ IRU UHOHYDQW YDULDEOHV GXH WR GLIILFXOW\ LQ XVLQJ WUDGLWLRQDO GHVLJQV UHTXLULQJ UDQGRP DVVLJQPHQW 7XFNHU DQG 3LQVRInV f +L/RZ GLVWLQFWLRQ DV PHWKRG IRU FRQWUROOLQJ IRU WKHUDSLVW H[SHULHQFH OHYHO ZDV FLWHG DV DQ H[DPSOH RI WKLV 5HSOLFDWLRQ RI H[LVWLQJ UHVHDUFK ZLWK JUHDWHU VSHFLILFDWLRQ DQG GHVFULSWLRQ RI WUDLQLQJ SURJUDPV DQG H[SHULHQFHV LQFOXGLQJ JRDOV DQG FRQGLWLRQV XQGHU ZKLFK WUDLQLQJ RFFXUV 7KH GHYHORSPHQW RI PRUH YDOLG DQG UHOLDEOH LQVWUXPHQWV WR PHDVXUH FKDQJHV LQ WUDLQHHVn WKH WHQVLRQ EHWZHHQ VLPSOLFLW\ XVDELOLW\ DQG VSHFLILFLW\VHQVLWLYLW\ ZDV KLJKOLJKWHG

PAGE 60

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f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t +HDWK f KDYH IRXQG WKDW VWUXFWXUDO DQG VWUDWHJLF PRGHOV DUH WDXJKW PRVW IUHTXHQWO\ LQ WKH 8QLWHG 6WDWHV $OWKRXJK VRPH WUDLQLQJ SURJUDPV WHDFK WKHLU VWXGHQWV WR XWLOL]H D YDULHW\ RI WKHRUHWLFDO PRGHOV DQG DSSURDFKHV WKH SURJUDPV EHJLQ ZLWK WKH VWUXFWXUDO DSSURDFK EHFDXVH RI LWV UHODWLYH

PAGE 61

VLPSOLFLW\ FRQFUHWHQHVV DQG GLUHFWQHVV )LJOH\ t 1HOVRQ f %HFDXVH OLWWOH HPSLULFDO HYLGHQFH VXSSRUWV DQ\ RQH WKHRUHWLFDO DSSURDFK LQWHOOHFWXDO LQWHJULW\ PDQGDWHV WKH SUHVHQWDWLRQ RI D EURDG VSHFWUXP RI WKHRULHV 6SUHQNOH f +RZHYHU 6SUHQNOH QRWHG WKDW WKHRUHWLFDO RULHQWDWLRQ LV PRUH HYLGHQW LQ FODVVURRP LQVWUXFWLRQ WKDQ LQ SUDFWLFH FLWLQJ 3XUGXH 8QLYHUVLW\nV OHDGLQJ PDUULDJH DQG IDPLO\ WKHUDS\ SURJUDP DV D SURJUDP WKDW WHDFKHV DOO PDMRU DSSURDFKHV LQ WKHRU\ FRXUVHV EXW HPSKDVL]HV EULHI SUREOHPFHQWHUHG LQWHUDFWLRQDO DSSURDFKHV LQ SUDFWLFD ,Q D GLVFXVVLRQ RI 3XUGXHnV FXUULFXOXP 6SUHQNOH f RXWOLQHG WKH WKHRUHWLFDO WUDLQLQJ VHTXHQFH 6WUXFWXUDO DQG VWUDWHJLF WKHRULHV DUH HPSKDVL]HG LQ WKH LQLWLDO VWDWH RI WKH WUDLQLQJ %HFDXVH WKH IRFXV RI WKLV UHVHDUFK ZDV RQ WKH QRYLFH OHYHO WUDLQHH LQ WKH EHJLQQLQJ SKDVH RI WUDLQLQJ LW VHHPHG ORJLFDO WR DVVHVV WKH LPSDFW RI D VWUXFWXUDOVWUDWHJLF DSSURDFK WR IDPLO\ WKHUDS\ WUDLQLQJ 6WUXFWXUDO6WUDWHJLF )DPLO\ 7KHUDS\ 0RGHOV 7KH VWUXFWXUDO DQG VWUDWHJLF DSSURDFKHV WR IDPLO\ WKHUDS\ SUDFWLFH DUH VRPH RI WKH PRVW FOHDUO\ DUWLFXODWHG LQ WKH OLWHUDWXUH 6SHFLILF DVVXPSWLRQV DERXW WKH QDWXUH RI WKH WKHUDS\ SURFHVV SUHFLVH GHVFULSWLRQ RI WHFKQLTXHV DQG FOHDU GHVFULSWLRQ RI WUDLQLQJ PHWKRGV GLVWLQJXLVK WKHVH WZR VFKRROV IURP PDQ\ RI WKH RWKHU IDPLO\ WKHUDS\ WUDLQLQJ PRGHOV 'XH WR PDQ\ FRPPRQDOLWLHV LQ WKHVH DVVXPSWLRQV

PAGE 62

WKHVH WZR PRGHOV DUH RIWHQ LQWHJUDWHG DV D VWUXFWXUDO VWUDWHJLF WKHRU\ RI SUDFWLFH ,Q WKH IROORZLQJ VHFWLRQV WKH WKHRUHWLFDO DVVXPSWLRQV PDMRU WKHUDSHXWLF WHFKQLTXHV DQG PDMRU JRDOV RI WKHVH WZR DSSURDFKHV DUH GHVFULEHG 6WUXFWXUDO IDPLO\ WKHUDS\ PRGHO 9LHZLQJ WKH IDPLO\ DV DQ RUJDQL]DWLRQDO V\VWHP VWUXFWXUDO WKHUDSLVWV FRQFHSWXDOL]H WKH IDPLO\ DV GR RWKHU V\VWHPLF DSSURDFKHV LH DV D V\VWHP LQ HYROXWLRQ WKDW FRQVWDQWO\ UHJXODWHV LWV RZQ IXQFWLRQLQJf +RZHYHU WKH\ IHDWXUH D GLVWLQFWLYH IRFXV RQ FRQFHSWV WKDW GHVFULEH VSDWLDO FRQILJXUDWLRQV LH FORVHQHVVGLVWDQFH LQFOXVLRQH[FOXVLRQ IOXLGULJLG ERXQGDULHV DQG KLHUDUFKLDO DUUDQJHPHQWVf 7KH NH\ QRWLRQ RI FRPSOHPHQWDULW\ LV XVHG E\ WKH VWUXFWXUDOLVW WR GHQRWH QRW DQ HVFDODWLRQ RI GLIIHUHQFHV %DWHVRQ f EXW D ILW DPRQJ PDWFKLQJ SDUWV RI D ZKROH )URP D VWUXFWXUDOLVW SRLQW RI YLHZ V\PSWRPDWLF EHKDYLRU LV D SDUW RI D G\VIXQFWLRQDO RUJDQL]DWLRQ HJ DQ DGROHVFHQWnV DQRUH[LD LV YLHZHG DV UHODWHG WR D PXWXDO LQYDVLRQ RI WKH SDWLHQWnV DQG SDUHQWV 6WUXFWXUDO FRQILJXUDWLRQV DUH GHHPHG IXQFWLRQDO RU QRW DFFRUGLQJ WR KRZ ZHOO RU KRZ EDGO\ WKH\ VHUYH WKH GHYHORSPHQWDO QHHGV RI WKH IDPLO\ DQG LWV PHPEHUV ,Q D G\VIXQFWLRQDO IDPLO\ GHYHORSPHQW LV UHSODFHG E\ LQHUWLD 6XFK D IDPLO\ FDQQRW VROYH LWV SUREOHPV DQG FRQWLQXH WR JURZ EHFDXVH LW LV VWXFN LQ D ULJLG DUUDQJHPHQW 8QOLNH RWKHU V\VWHPLF DSSURDFKHV WKDW IRFXV RQ WKH IXQFWLRQ RI WKH

PAGE 63

V\PSWRP WKH VWUXFWXUDOLVW IRFXVHV RQ WKH RUJDQL]DWLRQDO IODZ LH WKH FRXSOHnV DYRLGDQFH RI FRQIOLFWV FULSSOLQJ WKHLU SDUHQWLQJ RI VRQf &RODSLQWR f 7KH GLPHQVLRQV RI WUDQVDFWLRQV PRVW RIWHQ LGHQWLILHG LQ VWUXFWXUDO IDPLO\ WKHUDS\ DUH ERXQGDU\ DOLJQPHQW DQG SRZHU (DFK WUDQVDFWLRQ FRQWDLQV DOO WKUHH RI WKHVH VWUXFWXUDO GLPHQVLRQV 0LQXFKLQ f VWDWHG 7KH ERXQGDULHV RI VXEV\VWHPV DUH WKH UXOHV GHILQLQJ ZKR SDUWLFLSDWHV DQG KRZ S f $OLJQPHQW UHIHUV WR WKH MRLQLQJ RU RSSRVLWLRQ RI RQH PHPEHU RI D V\VWHP WR DQRWKHU LQ FDUU\LQJ RXW DQ RSHUDWLRQ +DOH\ S f 7KLV GLPHQVLRQ LQFOXGHV EXW LV QRW OLPLWHG WR WKH FRQFHSWV RI FRDOLWLRQ DQG DOOLDQFH &RDOLWLRQ LV GHILQHG DV D SURFHVV RI MRLQW DFWLRQ DJDLQVW D WKLUG SHUVRQ LQ FRQWUDVW WR DQ DOOLDQFH ZKHUH WZR SHRSOH PLJKW VKDUH D FRPPRQ LQWHUHVW QRW VKDUHG E\ D WKLUG SHUVRQf S f )LQDOO\ SRZHU DOVR GHVFULEHG DV IRUFH KDV EHHQ GHILQHG DV WKH UHODWLYH LQIOXHQFH RI HDFK IDPLO\f PHPEHU RQ WKH RXWFRPH RI DQ DFWLYLW\ $SRQWH S f &RPPRQO\ GHVFULEHG VWUXFWXUDO WKHUDS\ WHFKQLTXHV LQWHUYHQWLRQV LQFOXGH MRLQLQJ WKH V\VWHP ERXQGDU\ PDNLQJ HQDFWPHQW WUDFNLQJ VHTXHQFHV UHIUDPLQJ RU UHODEHOLQJf HVFDODWLQJ VWUHVV FUHDWLQJ D FULVLVLQWHQVLI\LQJ V\PSWRP UHFRPSRVLWLRQ DGG RU VXEWUDFW V\VWHPVf 0LQXFKLQ 0LQXFKLQ t )LVKPDQ f G\VIXQFWLRQDO &KDQJH LV DVVXPHG WR RFFXU ZKHQ SDWWHUQV DUH LQWHUUXSWHG

PAGE 64

$OWHULQJ FOLHQWVn SHUFHSWLRQV H[SDQGLQJ WKHLU ZRUOG YLHZV RU UHIUDPLQJ WKHLU EHKDYLRU FDQ OHDG WR FKDQJH LQ WKHUDS\ 6WUXFWXUDO JRDOV LQFOXGH UHRUJDQL]DWLRQ RI WKH IDPLO\ VWUXFWXUH DQG WKH OHVVHQLQJ RI UXOHVUROHV GLFWDWHG E\ QDUURZ ERQGV RI WUDQVDFWLRQV LH LQFUHDVHG IOH[LELOLW\ LQ ERWK IDPLOLHV DQG WKHLU PHPEHUVf $FFRUGLQJ WR VWUXFWXUDOLVWV DOWKRXJK WKH SUHVHQWLQJ SUREOHP VKRXOG EH VROYHG LW LV GRQH VR WKURXJK VWUXFWXUDO UHRUJDQL]DWLRQ D SURFHVV DOORZLQJ UHOHYDQW DQG HVVHQWLDO WDVNV ZLWKLQ IDPLO\ IDPLO\ WKHUDS\ PRGHO 7KH WHUP VWUDWHJLF IDPLO\ WKHUDS\ KDV EHHQ DSSOLHG WR PDQ\ GLIIHUHQW 3URPLQHQW ILJXUHV DVVRFLDWHG ZLWK WKLV DSSURDFK LQFOXGH 0LOWRQ (ULFNVRQ -D\ +DOH\ &ORH 0DGDQHV WKH 0HQWDO 5HVHDUFK ,QVWLWXWH 05,f JURXS LQFOXGLQJ -RKQ :HDNODQG 3DXO :DW]ODZLFN 5LFKDUG )LVFK 6WHYH GH 6KD]HU $UWKXU %RGLQ DQG &DUORV 6OX]NLf *HUDOG =XN /\QQ +RIIPDQ 0DUD 3DOD]]ROL6HOYLQL 3HJJ\ 3DSS DQG .DUO 7RPP *HQHUDOO\ VSHDNLQJ VWUDWHJLF DSSURDFKHV WR IDPLO\ WKHUDS\ IDOO XQGHU ZKDW 0DGDQHV DQG +DOH\ f KDYH WHUPHG WKH FRPPXQLFDWLRQ WKHUDSLHV +DOH\ f GHILQHG VWUDWHJLF WKHUDS\ DV D WKHUDS\ LQ ZKLFK WKH FOLQLFLDQ LQLWLDWHV ZKDW KDSSHQV GXULQJ WUHDWPHQW DQG GHVLJQV D SDUWLFXODU DSSURDFK IRU HDFK SUREOHP WDNH UHVSRQVLELOLW\ IRU GLUHFWO\ LQIOXHQFLQJ SHRSOH 7KH\ DUH QRW DV FRQFHUQHG DERXW IDPLO\ WKHUDS\ DV WKH\ DUH ZLWK

PAGE 65

WKH WKHRU\ DQG PHDQV IRU FKDQJH EHOLHYH WKDW LQVLJKW LV QRW QHFHVVDU\ WR EULQJ DERXW FKDQJH LQ WKH SUHVHQWLQJ SUREOHP $ GHYHORSPHQWDO OLIH F\FOH LV XWLOL]HG 7KH\ KLJKOLJKW LVVXHV RI FLUFXODULW\ VHTXHQFHV RI LQWHUDFWLRQ EHKDYLRU DV FRPPXQLFDWLRQ LQ D UHODWLRQVKLS DQG WKHUDSHXWLF LVVXHV DV D SDUW RI WKHRUHWLFDO DVVXPSWLRQV 7KHUDSHXWLF WHFKQLTXHVLQWHUYHQWLRQ XVHG E\ LQFOXGH REWDLQLQJ DQ LGHQWLILDEOH SUREOHP UHODEHOLQJUHIUDPLQJ DQG XVLQJ WKH FOLHQWnV ODQJXDJH DQG SRVLWLRQ WKHUDSLVWV IDYRU JRLQJ ZLWK WKH UHVLVWDQFH DQG DYRLGLQJ FRQIURQWDWLRQ YHUVXV FUHDWLQJ D FULVLV 7KH\ HQGRUVH GLUHFW PHWKRGV RI GHDOLQJ ZLWK WKH FOLHQW KRZHYHU WKH\ DOVR HQGRUVH LQGLUHFW PHWKRGV LH WKH XVH RI SDUDGR[ DQG PHWDSKRU VXFK DV SUHVFULELQJ V\PSWRPV UHVWUDLQW IURP FKDQJH SRVLWLRQLQJ HWFf *LYLQJ GLUHFWLYHV LV DQ LPSRUWDQW VNLOO LQ WKHUDS\ +RPHZRUN DVVLJQPHQWV WDVNV WKH XVH RI ULWXDOV DQG WKH XVH RI RXWVLGH WHDPV FRQVXOWDQWV DQG VXSHUYLVRUV DUH FRPPRQ &KDQJH LV DVVXPHG WR RFFXU WKURXJK WKH LQWHUUXSWLRQ RI G\VIXQFWLRQDO UHSHWLWLYH SDWWHUQV %\ DOWHULQJ WKH FOLHQWVn SHUFHSWLRQV H[SDQGLQJ WKHLU ZRUOG YLHZ UHIUDPLQJUHODEHOLQJ EHKDYLRU DQG SXWWLQJ D SUREOHP LQ D VROYDEOH IRUP WKH WKHUDSLVW KHOSV SURGXFH VHFRQG RUGHU FKDQJH 1RW RQO\ LV LQVLJKW QRW QHFHVVDU\ EXW LI FKDQJH

PAGE 66

RFFXUV ZLWKRXW WKH FOLHQW NQRZLQJ KRZ RU ZK\ WKDW LV FRQVLGHUHG VXIILFLHQW DQG RIWHQ SUHIHUDEOH WR LQVLJKWf 7KXV WKH V UHODWLRQVKLS LV QRW HQGRUVHG DV LQ VWUXFWXUDO IDPLO\ WKHUDS\ 7KH PDMRU JRDO RI VWUDWHJLF WKHUDS\ LV WR FKDQJH WKH SUHVHQWLQJ SUREOHP 7KH WKHUDSLVWnV JRDO LV WR EUHDN WKH LPPHGLDWH DQG UHGXQGDQW EHKDYLRU VHTXHQFH WKDW PDLQWDLQV V\PSWRPV DQG UHVROYHG SUREOHPV TXLFNO\ DQG HIILFLHQWO\ WKXV SURGXFLQJ FRQFUHWH EHKDYLRUDO FKDQJH LQ WKH SUHVHQWLQJ SUREOHP $OWHULQJ WKH FOLHQWn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f D f GLIIHUHQFHV H[LVW LQ VWUXFWXUDO DQG VWUDWHJLF VFKRROV RI WKHUDS\ 0DQ\ VXPPDULHV FRQFHUQLQJ WKHVH FRPSDUDWLYH FRQWUDVWLQJ YLHZV H[LVW LQ WKH OLWHUDWXUH ,Q D UHFHQW SURMHFW 6WRQH)LVK DQG 3LHUF\ f FRQGXFWHG D 'HOSKL VWXG\ WR H[DPLQH WKH WKHRU\ DQG SUDFWLFH RI VWUXFWXUDO DQG

PAGE 67

VWUDWHJLF IDPLO\ WKHUDS\ $ SDQHO RI H[SHUWV HDFK VFKRRO RI WKHUDS\ ZDV LGHQWLILHG DQG DVNHG WR LGHQWLI\ WKH EDVLF WHQHWV RI WKHLU VFKRROV RI WKRXJKW DQG UHDFK D FRQVHQVXV E\ PHDQV RI D 'HOSKL SURFHGXUH GHYHORSHG DQG VLPLODULWLHV DQG GLIIHUHQFHV UHJDUGLQJ HDFK VFKRRO ZHUH LGHQWLILHG 7KH VWUXFWXUDO DQG VWUDWHJLF SDQHOLVWV DJUHHG WKDW ERWK DSSURDFKHV DUH VLPLODU LQ WHUPV RI Df IRFXVLQJ RQ WKH SUHVHQW Ef EHLQJ FKDQJH UDWKHU WKDQ LQVLJKW RULHQWHG Ff YLHZLQJ SUREOHPV LQ WKHLU UHODWLRQVKLSV FRQWH[W Gf JLYLQJ GLUHFWLYHV Hf DVVLJQLQJ WDVNV If EHLQJ LQWHUDFWLRQDO RU FRQWH[WXDOO\ RULHQWHG DQG Jf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

PAGE 68

WKHUHIRUH ORJLFDOO\ WU\ WR VWUXFWXUH ,Q FRQWUDVW WKH V\PSWRP DW IDFH YDOXH LGHQWLI\ WKRVH LQWHUDFWLRQDO WKH IDPLO\ DQG DWWHPSW WR ZKLFK DLQWDLQ WKH SUREOHP 6WRQH)LVK t 3LHUF\ S f $OWKRXJK LQWHJUDWHG DSSURDFKHV RI VWUXFWXUDO DQG VWUDWHJLF IDPLO\ WKHUDS\ H[LVW LW PD\ EH LPSRUWDQW LQ WKH WHDFKLQJ DQG WUDLQLQJ RI IDPLO\ WKHUDS\ SUDFWLWLRQHUV WR H[SRVH WKHP WR WKH VXEWOH DQG QRW VR VXEWOH GLVWLQFWLRQV EHWZHHQ WKH WZR VFKRROV 7KHUH DUH GLIIHUHQW ZD\V WR DSSURDFK WKLV HJ E\ WUDFNLQJ DQG VXSHUYLVLQJ EHJLQQLQJ VWXGHQWV LQ RQH DSSURDFK RU WKH RWKHU LQLWLDOO\ RU E\ HPSKDVL]LQJ GLVWLQFWLRQV WKURXJKRXW WKH WUDLQLQJ SURFHVVf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

PAGE 69

OLYH VXSHUYLVLRQ 0RQWDOYR f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f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f§ZKHQ WKH WKHUDSLVW

PAGE 70

LV DW WKH KLJKHVW SRLQW RI PRWLYDWLRQ DQG DOHUWQHVV &RODSLQWR S f $ W\SLFDO H[DPSOH RI D VWUXFWXUDO WUDLQLQJ SURJUDP LV WKH 3KLODGHOSKLD &KLOG *XLGDQFH &OLQLFnV VWUXFWXUDO IDPLO\ WKHUDS\ SURJUDP ZKLFK RIIHUV LQWHUQVKLSV YDULRXV FOLQLFDO SUDFWLFH H[WHUQ SURJUDP VXSHUYLVRU\ JURXSV HYHQLQJ FRXUVHV ZRUNVKRSV DQG FRQIHUHQFHV 0RUH VSHFLILFDOO\ WKH H[WHUQ SURJUDP FRPSRQHQW LV DLPHG DW PDVWHUnV OHYHO WUDLQHHV ZKR DUH HPSOR\HG LQ DQ DJHQF\ VHWWLQJ ZKHUH WKH\ DUH VHHLQJ DW OHDVW ILYH IDPLOLHV 7\SLFDOO\ WKLV SDUWLFXODU WUDLQHH LV DOUHDG\ DFTXDLQWHG ZLWK WKH FRQFHSWV RI VWUXFWXUDO WKHUDS\ WKURXJK UHDGLQJV ZRUNVKRSV RU HGLWHG YLGHRWDSHV &RODSLQWR f KDV GHVFULEHG WKH H[WHUQ SURJUDP 7R VXPPDUL]H WKH WUDLQLQJ SURJUDP EHJLQV ZLWK D GD\ VHPLQDU LQWHQGHG WR VHW FRPPRQ JURXQG IRU WKH WUDLQLQJ SURFHVV 7KH UHVW RI WKH SURJUDP UHYROYHV DURXQG GLUHFW VXSHUYLVLRQ RI WKH WUDLQHHVn ZRUN ZLWK IDPLOLHV &OLQLFDO ZRUN LV FRQFHSWXDOL]HG DV WKH DUHQD ZKHUH DQ LQWHJUDWLRQ RI WKHRU\ DQG SUDFWLFH FDQ EHVW RFFXU (DFK WUDLQHH FRQGXFWV RQH RU WZR VHVVLRQV SHU GD\ XQGHU OLYH VXSHUYLVLRQ DQG UHFHLYHV DQ DGGLWLRQDO KDOI KRXU RI YLGHRWDSH VXSHUYLVLRQ IRU HDFK KRXU RI WKHUDS\ 7KH XQLW RI WUDLQLQJ LV D F\FOH WKDW LQFOXGHV D SUHn VHVVLRQ RI GLVFXVVLRQ OLYH VXSHUYLVLRQ SRVWVHVVLRQ UHYLHZ DQG YLGHRWDSH UHYLHZ 7KH LQWHJUDWLRQ RI WKHRU\

PAGE 71

DQG SUDFWLFH IROORZV D SDWWHUQ RI DOWHUQDWLRQ WKH WUDLQHH ZRUNV ZLWK D IDPLO\ UHFHLYHV FRUUHFWLYH IHHGEDFN IURP WKH VXSHUYLVRU UHWXUQV WR WKH IDPLO\ DQG UHFHLYHV PRUH *HQHULF FRQFHSWV VXFK DV MRLQLQJ XQEDODQFLQJ RU HQDFWLQJ DUH LQWHUWZLQHG ZLWK WKH GLVFXVVLRQ RI VSHFLILF FOLQLFDO VLWXDWLRQV WKURXJKRXW WKH VWDJHV RI WKH WUDLQLQJ F\FOH ZLWK UHDGLQJV 7KH LQWHJUDWLYH DSSURDFK LV FRPSOHPHQWHG LQ DFFRUGDQFH ZLWK HDFK WUDLQHHVn QHHGV YLGHRWDSHG VHVVLRQV RI H[SHULHQFHG FOLQLFLDQV WKDW WKH VXSHUYLVRU GLVFXVVHV WR LOOXVWUDWH VSHFLILF SRLQWV DQG PRQWKO\ GD\ VHPLQDUV ZKHUH DOO VWXGHQWV DQG VXSHUYLVRUV PHHW WR WDON DPRQJ WKHPVHOYHV DQG ZLWK JXHVW SUHVHQWHUV 7KH H[WHUQ SURJUDP LV UHSUHVHQWDWLYH RI WKH ZD\ VWUXFWXUDOLVWV DSSURDFK WUDLQLQJ 6WUDWHJLF IDPLO\ WKHUDS\ WUDLQLQJ 0DQ\ PRGHOV RI WKHUDS\ DUH FRQVLGHUHG WR EH VWUDWHJLF LH +DOH\0DGDQHV DSSURDFK WKH 0LODQ DSSURDFK DQG WKH 05, DSSURDFKf SXUSRVHV RI WKLV SDSHU WKH +DOH\0DGDQHV DSSURDFK LV )RU ,W LV DVVXPHG WKDW WUDLQLQJ D VWUDWHJLF IDPLO\ WKHUDSLVW LQYROYHV WKH GHVLJQ RI D VSHFLILF DQG LQGLYLGXDOL]HG SODQ E\ WKH VXSHUYLVRU 7KH SODQ IROORZHG PD\ EH VKDUHG ZLWK WKH WKHUDSLVW RU PD\ EH LQGLUHFW DQG QRW VKDUHG %\ WKLV GHILQLWLRQ RQH FDQ VHH WKH LVRPRUSKLF QDWXUH EHWZHHQ WKHUDS\ DQG WUDLQLQJ 0D]]D f GHVFULEHG WKH DGPLQLVWUDWLYH FRQWH[W RI WUDLQLQJ DW WKH )DPLO\ 7KHUDS\ ,QVWLWXWH DV IROORZV

PAGE 72

6WUDWHJLF WKHUDSLVWV DUH JHQHUDOO\ WUDLQHG OLYHf $ VPDOO JURXS RI WKHUDSLVWV PHHW WR REVHUYH HDFK RWKHU DQG GLVFXVV WKHLU ZRUN 7KHUDSLVWV ZKR DUH REVHUYLQJ PD\ PDNH FRPPHQWV RU DVN TXHVWLRQV RI WKH VXSHUYLVRU EXW PD\ QRW LQVWUXFW RU DGYLVH WKH WKHUDSLVW LQ DQ\ ZD\ $ FOHDU KLHUDUFK\ LV HVWDEOLVKHG LQ ZKLFK WKH VXSHUYLVRU LV UHVSRQVLEOH IRU VLPXOWDQHRXVO\ WUDLQLQJ WKHUDSLVWV DQG VROYLQJ FOLHQWVn SUREOHPV ,W LV DVVXPHG WKDW D WKHUDSLVW ZKR EULQJV FHUWDLQ OLYH H[SHULHQFHV WR WKH WKHUDS\ HJ UDLVLQJ D IDPLO\f ZLOO EH PRUH VXFFHVVIXO WKDQ DQ )DPLOLHV DUH SURWHFWHG IURP WKH LQH[SHULHQFHG WKHUDSLVW E\ OLYH VXSHUYLVLRQ DQG VRPHWLPHV UHSRUW WKDW WKH\ ORRN IRUZDUG WR NQRZLQJ WKDW PRUH WKDQ RQH WKHUDSLVW LV ZRUNLQJ RQ WKHLU SUREOHP (DFK WKHUDSLVW LV DVVLJQHG D VXSHUYLVRU ZKR GLVFXVVHV WKH LQWDNH DQG SODQV WKH LQLWLDO SKRQH FDOO ZLWK WKH WKHUDSLVW 7KH WKHUDSLVW FDOOV VHWV WKH DSSRLQWPHQW DQG DUUDQJHV IRU WKH UHOHYDQW IDPLO\ PHPEHUV WR DWWHQG WKH ILUVW S f 7KH PRGHO RI +DOH\ f DQG 0DGDQHV f LV RQH LQ ZKLFK WKHUDS\ LV H[SHFWHG WR EH EULHI SUREOHP IRFXVHG ZLWK SODQQHG VHVVLRQV DQG DQ DFWLYH XVHG 7KH JRDO RI WUDLQLQJ LV WR SUHSDUH WKHUDSLVWV WR ZRUN LQ D YDULHW\ RI VHWWLQJV QRW EH GHSHQGHQW RQ D WHDP EHKLQG D RQH ZD\ PLUURU 7KHUDSLVWV KDYH WKH RSSRUWXQLW\ WR WUHDW D ZLGH UDQJH RI FOLHQWV HJ DFXWH DQG FKURQLF SUREOHPV SRYHUW\OHYHO DQG XSSHU FODVV IDPLOLHV HWFf 7KHUDSLVWV DUH WUDLQHG LQ D GLUHFWLYH OHDUQ E\ GRLQJ DSSURDFK $OWKRXJK WKHUDSLVWV DUH WDXJKW VSHFLILF WHFKQLFDO VNLOOV WKH WUDLQLQJ HPSKDVL]HV WKH GHYHORSPHQW RI D FRQFHSWXDO IUDPHZRUN 7KLV IUDPHZRUN SURYLGHV D PHWKRG RI WKLQNLQJ UDWKHU WKDQ D PHWKRG RI WKHUDS\ 7KLV IUDPHZRUN RU PHWKRG RI WKLQNLQJ LV LQGLYLGXDOO\ FUDIWHG

PAGE 73

WR PDNH WKH EHVW XVH RI WKH WKHUDSLVWnV VNLOOV /HDUQLQJ WR FOHDUO\ GHOLYHU GLUHFWLYHV DQG LQFUHDVH RQHnV UDQJH RI LQWHUYHQWLRQV DUH LQGLYLGXDOO\ GHVLJQHG IRU D SDUWLFXODU WKHUDSLVW LQ WKH FRQWH[W RI WUHDWLQJ D SDUWLFXODU FOLHQW 7KXV WKH WKHUDSLVWnV VWUHQJWKV DQG H[SHULHQFHV DUH EXLOW XSRQ 'HSHQGLQJ XSRQ WKH SDUWLFXODU WKHUDSLVW DVVLJQPHQWV WDVNV HWF DUH JLYHQ %RWK GLUHFW DQG LQGLUHFW HJ SUHVFULEH WKH EHKDYLRU UHVWUDLQW IURP FKDQJH HWFf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f WKDW DUH PRUH GLUHFW IRFXV RQ FKDQJLQJ WKH SUHVHQW LQWHUDFWLRQDO VHTXHQFH DQG WDUJHW WKH RUJDQL]DWLRQ RI WKH IDPLO\ 7KH FXUUHQW VWUXFWXUDOLVW YLHZ

PAGE 74

LV WKDW WKHRU\ DQG WHFKQLTXH XQGHUVWDQGLQJ DQG EHKDYLRUf FDQ DQG VKRXOG RFFXU VSRQWDQHRXVO\ 6WUDWHJLF WKHUDSLVWV EHOLHYH WKDW WKH FOLHQWVn XQGHUVWDQGLQJ RI WKHLU SUREOHPV IROORZ FKDQJHV LQ WKHLU EHKDYLRU 6LPLODUO\ IDPLO\ WKHUDS\ WUDLQHUV IRFXV RQ FKDQJLQJ WUDLQHHVn EHKDYLRU ZLWK WKHLU FOLHQW IDPLOLHV UDWKHU WKDQ E\ JLYLQJ WUDLQHHV D EURDG XQGHUVWDQGLQJ RI ZKDW WKH\ DUH WR GR WKURXJK H[WHQVLYH OHFWXUHV RQ WKHRU\ 7KXV WKH\ DVVXPH WKDW OHDUQLQJ D QHZ DSSURDFK WR WUHDWPHQW ERWK FRQFHSWXDOO\ DQG WHFKQLFDOO\ FRPHV DERXW E\ GRLQJ WKDW WUHDWPHQW )LVFK f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

PAGE 75

FRQWH[W LQ ZKLFK WUDLQLQJ RFFXUV DOVR LQIOXHQFHV WKH SURFHVVHV DQG RXWFRPHV RI WUDLQLQJ DQG VXSHUYLVLRQ +DOH\ /LGGOH f 7UDLQLQJ WKDW RFFXUV ZLWKLQ VHWWLQJV WKDW GHILQH IDPLO\ WKHUDS\ DV D SURIHVVLRQ HJ IDPLO\ WKHUDS\ LQVWLWXWHVf GLIIHUV IURP WUDLQLQJ WKDW WDNHV SODFH ZLWKLQ D SURIHVVLRQDO GLVFLSOLQH VXFK DV SV\FKRORJ\ VRFLDO ZRUN RU FRXQVHORU HGXFDWLRQ 6SUHQNOH f GLVFXVVHG LVVXHV RI WUDLQLQJ DQG VXSHUYLVLRQ LQ IDPLO\ WKHUDS\ LQ GHJUHH JUDQWLQJ JUDGXDWH SURJUDPV &OHDUO\ FRQWH[W LQIOXHQFHV WKH WUDLQLQJ FRPSRQHQW )RU H[DPSOH WKH WUDLQLQJ VLWHnV ILQDQFLDO VWDELOLW\ PHDQV RI VXSSRUW VWDJH RI GHYHORSPHQW SK\VLFDO IDFLOLWLHV HPEHGGHGQHVV RU ODFN WKHUHRI LQ WKH FRPPXQLW\ DQG FRPSHWLQJ LGHRORJLHV LH LQWUDSV\FKLF YHUVXV V\VWHPLF WKLQNLQJf LQIOXHQFH WKH QDWXUH RI WUDLQLQJ 0DQ\ DFFUHGLWHG GHJUHH JUDQWLQJ SURJUDPV FLWH WKHRUHWLFDO GLYHUVLW\ DV WKH KDOOPDUN RI WKHLU SURJUDPV 7KLV GHFLVLRQ LV OLNHO\ EDVHG RQ WKH ODFN RI HPSLULFDO UHVHDUFK VXSSRUWLQJ DQ\ RQH WKHRU\ WKXV WKH SUHVHQWDWLRQ RI D EURDG VSHFWUXP RI WKHRULHV 1RQHWKHOHVV WKLV DSSURDFK VWDQGV LQ FRQWUDVW WR WKH DUJXPHQW DGYDQFHG E\ /LGGOH f WKDW LW LV SUHPDWXUH WR LQWHJUDWH WKHRULHV LQ WKH ILHOG WKDW ZRXOG UHVXOW LQ DQ HFOHFWLVP WKDW ZLOO QRW DGYDQFH WKH ILHOG ,QWHUHVWLQJO\ 6SUHQNOH f QRWHG WKDW WKH WKHRUHWLFDO GLYHUVLW\ LV PRUH HYLGHQW LQ FODVVURRP LQVWUXFWLRQ WKDQ LQ SUDFWLFH +H FLWHG 3XUGXH 8QLYHUVLW\nV

PAGE 76

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f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t 6SUHQNOH f ,W UHIHUV WR WKH EURDG FRPSUHKHQVLYH WUDFNLQJ RI IDPLO\ WKHUDS\ WKHRULHV DQG WHFKQLTXHV VXFK DV VHPLQDUV ZRUNVKRSV FRXUVHV DQG SURJUDPVf WKDW HLWKHU

PAGE 77

SUHFHGH RU RFFXU DORQJVLGH WKH GHYHORSPHQW RI D WUDLQHHnV FOLQLFDO VNLOOV WKURXJK FOLQLFDO SUDFWLFH 6DED t /LGGOH f 7UDLQHHV DUH FRQFHUQHG ZLWK D PRUH JHQHUDO WUDQVPLVVLRQ RI FRQFHSWXDO DQG FOLQLFDO NQRZOHGJH 6XSHUYLVLRQ UHIHUV WR D FRQWLQXRXV UHODWLRQVKLS LQ D UHDO ZRUOG ZRUN VHWWLQJ WKDW IRFXVHV RQ WKH VSHFLILF GHYHORSPHQW RI D WKHUDSLVWnV VNLOOV DV KH RU VKH JDLQV SUDFWLFDO H[SHULHQFH LQ WUHDWLQJ FOLHQW IDPLOLHV 6DED t /LGGOH f )RFXVHG DWWHQWLRQ RQ VSHFLILF FDVHV WKHUHIRUH LV WKH KDOOPDUN RI VXSHUYLVLRQ &RQVXOWDWLRQ GLIIHUV IURP VXSHUYLVLRQ LQ WKDW LW LV D VKRUWWHUP V\PPHWULFDO SHHUOLNH UHODWLRQVKLS EHWZHHQ D WKHUDSLVW DQG DQ LQYLWHG H[SHUW 7KH FRQVXOWDQWnV SRZHU LV GHULYHG IURP KLV RU KHU H[SHUWLVH DQG VNLOO 7KHUH LV QR IRUPDO VWDNH LQ HYDOXDWLQJ WKH WKHUDSLVWnV SURJUHVV LQ OHDUQLQJ RU MRE SHUIRUPDQFH 1LHOVRQ t .DVORZ f DV PLJKW RFFXU LQ VRPH WUDLQLQJ DQG VXSHUYLVLRQ FRQWH[WV 7KLV VWXG\ ZDV IRFXVHG RQ WKH WUDLQLQJ RI EHJLQQLQJ IDPLO\ LQ XQLYHUVLW\EDVHG LQWURGXFWRU\ IDPLO\ WKHUDS\ VHPLQDUVFRXUVHV 7KXV WKH HPSKDVLV ZDV SODFHG XSRQ H[SRVLQJ VWXGHQWV WR D IDPLO\ WKHUDS\ DSSURDFK WKDW HPSKDVL]HG D FRPELQDWLRQ RQ VWUXFWXUDO DQG VWUDWHJLF PRGHOV RI WKHUDS\ &KULVWHQVHQ %URZQ 5LFNHUW DQG 7XUQHU f KDYH VXPPDUL]HG VRPH JHQHUDO DVVXPSWLRQV WKDW XQGHUOLH JUDGXDWH OHYHO FXUULFXOXP DV IROORZ Df SUDFWLFDO VROXWLRQV WR SUREOHPV UHTXLUH DQ LQWHJUDWLRQ RI YDULRXV WKHRUHWLFDO VFKRROV ZLWK DQ

PAGE 78

HPSKDVLV RQ WKH GHYHORSPHQW RI DVVHVVPHQW VNLOOV .DVORZ f Ef VWXGHQWV PXVW OHDUQ WR ZRUN V\VWHPLFDOO\ ZLWK FOLHQWV LQ HQYLURQPHQWV ZKHUH D V\VWHPV DSSURDFK GRHV QRW H[LVW Ff WUDLQLQJ VKRXOG FRQVLVW RI D FRPELQDWLRQ RI GLGDFWLF DQG H[SHULHQWLDO FRXUVHZRUN DQG PDVWHU\ DW WKLV OHYHO VKRXOG EH GHPRQVWUDWHG WKURXJK PRUH WKDQ FRJQLWLYH DQG Gf VWXGHQWV DW WKLV OHYHO RI WUDLQLQJ QHHG WR SULPDULO\ PDVWHU HQJDJHPHQW DQG SUREOHP LGHQWLILFDWLRQ VNLOOV S f *RDOV DQG REMHFWLYHV IRU WKH VHJXHQFH RI WUDLQLQJ RI LQWHUHVW LQ WKLV VWXG\ ZHUH EDVHG RQ WKHVH DVVXPSWLRQV &RXUVHZRUN WKDW IRFXVHG RQ WKHRUHWLFDO FRQFHSWV IURP PDMRU WKHRULHV DQG LQ SDUWLFXODU VWUXFWXUDO DQG VWUDWHJLF RGHOV ZLWK DQ HPSKDVLV RQ DVVHVVPHQW DQG WUHDWPHQW SODQQLQJ ZHUH WDUJHWHG DV WKH LQVWUXFWLRQDO FRPSRQHQW IRU WKLV UHVHDUFK &KULVWHQVHQ HW DO f VXPPDUL]HG FRXUVHV REMHFWLYHV WKDW DUH W\SLFDO RI WKLV VWDJH RI WUDLQLQJ 7KHVH LQFOXGHG Df LQIRUPDWLRQDO OHYHOV VXFK DV GHVFULSWLRQ RI EDVLF V\VWHPV FRQFHSWV DQG WKHQ KLVWRU\ D GHVFULSWLRQ RI IDPLO\ DVVHVVPHQW FULWHULD LH VWUXFWXUDO ERXQGDULHV KLHUDUFK\ VWUHQJWKV f DQG D GHVFULSWLRQ RI SUHLQWHUYLHZ VNLOOV Ef SHUFHSWXDO OHYHOV VXFK DV WKH LGHQWLILFDWLRQ RI EDVLF V\VWHPV FRQFHSWV DQG HOHPHQWV RI IDPLO\ VWUXFWXUH UHFRJQLWLRQ RI EDVLF VWDJHV RI DQ DVVHVVPHQWFRQVXOWDWLRQ LQWHUYLHZ IURP D YLGHRWDSHG LQWHUYLHZ DELOLW\ WR ZULWH D FRQFLVH VXPPDU\ RI D IDPLO\ DVVHVVPHQW DQG UHIHUUDO SODQ DQG Ff DSSOLFDWLRQGHPRQVWUDWLRQ OHYHOV VXFK DV PDSSLQJ D IDPLO\ YLGHR RU VLPXODWLYH IRUPf IURP D GHYHORSPHQWDO VWUXFWXUDO DQG VHTXHQFH YLHZ FRQGXFWLQJ DQ DVVHVVPHQW LQWHUYLHZ ZLWK D VLPXODWHG IDPLO\ S f 7\SLFDO HYDOXDWLRQ DFWLYLWLHV LQFOXGHG ZULWWHQ H[DPV DQDO\VLV RI YLGHRWDSHV DQG VLPXODWLRQV EULHI DVVHVVPHQW H[HUFLVH UROHSOD\LQJ DQG PDMRU SDSHU UHTXLUHPHQWV

PAGE 79

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f GHYHORSHG WKLV LQVWUXPHQW WR PHDVXUH FRQFHSWXDO SHUFHSWXDO DQG REVHUYDWLRQDO VNLOOV VSHFLILF WR WKH VWUXFWXUDO DQG VWUDWHJLF VFKRROV RI WKHUDS\ 5HVHDUFK RQ 7KHUDS\ 7UDLQHH &KDUDFWHULVWLFV *XUPDQ DQG .QLVNHUQ f DOVR UHFRPPHQGHG WKDW IDPLO\ WKHUDS\ WUDLQLQJ UHVHDUFK EH FRQGXFWHG WR HYDOXDWH WKH LPSDFW RI IDFWRUV WKDW PD\ QRW EH VSHFLILF WR DQ\ JLYHQ VFKRRO EXW PD\ EH SHUWLQHQW DFURVV VFKRROV )RU H[DPSOH DUH WKHUH UHODWLYHO\ HQGXULQJ SHUVRQDOLW\ IDFWRUV HJ SV\FKRORJLFDO PLQGHGQHVV WHQGHQF\ WRZDUG FRQYHUJHQW UDWKHU WKDQ GLYHUJHQW WKLQNLQJf WKDW SUHGLFW WUDLQHHnV VXFFHVV UHJDUGOHVV RI WKH VFKRRO RI WUDLQLQJ" 5HVHDUFK DGGUHVVLQJ WKHVH WUDLQLQJ LVVXHV WKDW LV VSHFLILF WR JLYHQ

PAGE 80

VFKRROV RI WKHUDS\ DQG DOVR UHOHYDQW DFURVV YDULRXV VFKRROV KDV EHHQ WKH GLUHFWLRQ UHFRPPHQGHG ,Q DQ DWWHPSW WR DGGUHVV WKLV VSHFLILFLW\ TXHVWLRQ %UHXQOLQ HW DO f GHVLJQHG D UHVHDUFK VWXG\ WR HYDOXDWH WKH HIIHFW RI WKUHH RI WKHVH YDULDEOHV RQ WKH DFTXLVLWLRQ RI IDPLO\ WKHUDS\ 7KH WKUHH YDULDEOHV ZHUH Df DVSHFWV RI WKH WUDLQHHnV SHUVRQDO EDFNJURXQG Ef WUDLQHHnV SULRU WUDLQLQJ DQGRU FOLQLFDO SUDFWLFH H[SHULHQFH DQG Ff FRPSRQHQWV RI WKH WUDLQLQJ H[SHULHQFH LWVHOI 'DWD UHJDUGLQJ WKHVH WKUHH VHWV RI YDULDEOHV ZHUH JDWKHUHG E\ TXHVWLRQQDLUH 7KH DFTXLVLWLRQ RI IDPLO\ WKHUDS\ VNLOOV ZDV PHDVXUHG E\ WKH )DPLO\ 7KHUDS\ $VVHVVPHQW )7$(f %UHXQOLQ HW DO f DW SUHWHVWLQJ DQG SRVWWHVWLQJ VHYHQ WUDLQLQJ SURJUDPV 1LQHW\VL[ VXEMHFWV GUDZQ IURP LQ WKH VWXG\ 7KH VXEMHFWV UDQJHG LQ H[SHULHQFH IURP OLWWOH SULRU FOLQLFDO H[SHULHQFH WR WKRVH ZLWK FRQVLGHUDEOH H[SHULHQFH &RQWH[WV IRU WUDLQLQJ LQFOXGHG XQLYHUVLW\ VHWWLQJV DJHQF\ LQVHUYLFH WUDLQLQJ SURJUDPV DQG DQ LQVWLWXWH WUDLQLQJ SURJUD $OO SURJUDPV LQFOXGHG VRPH WHDFKLQJ RI WKH VWUXFWXUDOVWUDWHJLF PRGHO 0RUH VSHFLILFDOO\ Df FRQMXJDO IDPLO\ H[SHULHQFH Ef SULRU IDPLO\ WKHUDS\ H[SHULHQFH DQG SULRU LQGLYLGXDO WKHUDS\ H[SHULHQFH DQG Ff VHYHULW\ RI FDVHV DQG SHUFHQWDJH RI FDVHV EHLQJ VHHQ LQ LQGLYLGXDO WKHUDS\ ZHUH H[DPLQHG 5HVXOWV LQGLFDWHG WKDW FRQMXJDO IDPLO\ H[SHULHQFH VLJQLILFDQWO\ SUHGLFWHG IDPLO\ WKHUDS\ OHDUQLQJ DQG

PAGE 81

VSHFLILFDOO\ WKH WKHUDSHXWLF VNLOO OHYHO ,Q FRQWUDVW SULRU H[SHULHQFH LQ IDPLO\ WKHUDS\ GLG QRW LQIOXHQFH FKDQJH LQ HLWKHU WKH )7$( WRWDO RU VXEVFRUHV SHUKDSV GXH WR D FHLOLQJ HIIHFW RU WR KLJKHU SUHWHVW VFRUHV H[SHULHQFH LQ LQGLYLGXDO WKHUDS\ GLG SUHGLFW FKDQJHV KRZHYHU LQ IDPLO\ WKHUDS\ OHDUQLQJ FRQFHSWXDO VNLOO 7KLV ILQGLQJ ZDV RI VXUSULVLQJ LQWHUHVW EHFDXVH LQ WKH SDVW IDPLO\ WKHUDS\ HGXFDWRUV DQG WUDLQHUV HJ +DOH\ f KDYH SUHGLFWHG WKDW LQGLYLGXDO WUDLQLQJ ZRXOG EH FRXQWHUSURGXFWLYH WR WKH WKHRU\ DQG SUDFWLFH RI IDPLO\ WKHUDS\ ,Q DGGLWLRQ WKH SURJUDP YDULDEOHV RI VHYHULW\ RI FDVHV DQG SHUFHQWDJH RI LQGLYLGXDO FDVHV DOVR KDG SUHGLFWLYH VLJQLILFDQFH %\ WKHLU RZQ DGPLVVLRQ %UHXQOLQ HW DO f VWDWHG WKDW WKHVH UHVXOWV FDQ RQO\ EH WDNHQ DV VXJJHVWLYH DQG QHHGLQJ UHSOLFDWLRQ GXH WR PHWKRGRORJLFDO SUREOHPV DQG LVVLQJ GDWDf +RZHYHU WKH\ UHSRUWHG WKH UHVXOWV EHFDXVH RI WKH VFDUFLW\ RI VWXGLHV LQ IDPLO\ WKHUDS\ WUDLQLQJ 0RUH LPSRUWDQWO\ WKHVH UHVHDUFKHUV VXJJHVWHG WKDW WUDLQHH FKDUDFWHULVWLFV PDWWHU D JUHDW GHDO HYHQ DIWHU VHOHFWLRQ IRU WUDLQLQJ DFFRXQWLQJ IRU b DV D SRSXODWLRQ HVWLPDWHf RI WKH WRWDO )7$( VFRUH LPSURYHPHQW RU EHWWHU IRU DERXW KDOI RI WKH UHOLDEOH YDULDQFH LQ WKH WRWDO FKDQJH VFRUH %UHXQOLQ HW DO S f ,Q VXPPDU\ %UHXQOLQ HW DO f LOOXPLQDWHG DQ DSSURDFK WKDW JRHV EH\RQG WKH PRGHO RI SUHWHVWSRVWWHVW

PAGE 82

VWXGLHV DQG EHJLQV WR ORRN DW KRZ SHUVRQDO FKDUDFWHULVWLFV RI WKH WUDLQHH HIIHFW DFTXLVLWLRQ RI VNLOOV LQ IDPLO\ WKHUDS\ WUDLQLQJ )LYH RWKHU VWXGLHV KDYH EHHQ FRQGXFWHG LQ ZKLFK WKH UHVHDUFKHUV KDYH DWWHPSWHG WR FRQWURO IRU LPSRUWDQW WUDLQHH YDULDEOHV VXFK DV JHQGHU H[SHULHQFH OHYHO DQG SUHYLRXV WUDLQLQJ ,Q SUHYLRXV OLWHUDWXUH 7RPP DQG /HDK\ f FRQWUROOHG PDULWDO VWDWXV DQG SUHYLRXV ZRUN H[SHULHQFH DQG 7XFNHU DQG 3LQVRI f DQG =DNHQ*UHHQEHUJ DQG 1HLPH\HU f FRQWUROOHG IRU WUDLQHH H[SHULHQFH 7KLV UHVHDUFKHU VRXJKW WR H[WHQG WKLV W\SH RI UHVHDUFK E\ H[DPLQLQJ WKH HIIHFW RI SDUWLFXODU FKDUDFWHULVWLFV RI WKH PDUULDJH DQG IDPLO\ WKHUDS\ WUDLQHH RQ WKH DFTXLVLWLRQ RI VNLOOV 7KHUDSLVW 9DULDEOHV LQ ,QGLYLGXDO &RXQVHOLQJA7UDLQLQ ,W LV QRW VXUSULVLQJ WKDW WKH TXHVWLRQ LQ WKH ILHOG RI IDPLO\ WKHUDS\ KDV QRW EHHQ DGGUHVVHG DV WKH SDUDOOHO TXHVWLRQ ZLWK UHJDUG WR JHQHUDO SV\FKRWKHUDS\ WUDLQLQJ LWVHOI KDV EHHQ GLIILFXOW WR DQVZHU 3DXO f 0XFK RI WKH WUDLQLQJ UHVHDUFK LQ PDUULDJH DQG IDPLO\ WKHUDS\ IRFXVHG RQ VNLOO DFTXLVLWLRQ DV RULJLQDOO\ SURSRVHG E\ &OHJKRUQ DQG /HYLQH f 6LPLODUO\ DQ HPSKDVLV RQ WKH VNLOOV WUDLQLQJ DSSURDFK KDV EHHQ D FRPPRQ FRPSRQHQW RI JUDGXDWH OHYHO FRXQVHOLQJ SURJUDPV HJ &DUNKXII (JDQ ,YH\ 7UDX[ t &DUNKXII f ,Q 0DKRQ DQG $OWPDQQ H[SUHVVHG FRQFHUQ WKDW FRXQVHOLQJ VNLOOV WUDLQLQJ KDV EHHQ DSSOLHG LQ D XQLIRUP

PAGE 83

PDQQHU WKDW LJQRUHV ERWK OHDUQHU DQG OHDUQLQJ SURFHVV YDULDEOHV WKDW FRXOG DIIHFW WUDLQLQJ RXWFRPH DQG FRXQVHOLQJ 7KHUDSLVW IDFWRUV WKDW FDQ DIIHFW WKH OHDUQLQJ RI IDPLO\ WKHUDS\ VNLOOV DQG HYHQ PRUH LPSRUWDQWO\ WKH RXWFRPH RI SV\FKRWKHUDS\ DUH FRPSOH[ ,Q D UHYLHZ RI WKH OLWHUDWXUH RQ YDULDEOHV LQ SV\FKRWKHUDS\ SURFHVV DQG RXWFRPH UHVHDUFK %HXWOHU &UDJR DQG $UL]PHQGL f GLVFXVVHG WKH FRPSOH[LW\ RI FRQGXFWLQJ UHVHDUFK VXFK DV WKLV 7KH\ HPSKDVL]HG WKH QHHG WR FRQWLQXH UHVHDUFK GLUHFWHG WRZDUGV XQGHUVWDQGLQJ WKH FRPSOH[ LQWHUDFWLRQV EHWZHHQ WKHUDSLVW LQWHUYHQWLRQ FOLHQW DQG WKH QDWXUH RI RXWFRPH 6RPH UHVHDUFK KDV HPHUJHG LQ WKH JHQHUDO ERG\ RI LQGLYLGXDO FRXQVHOLQJ DQG SV\FKRWKHUDS\ WUDLQLQJ OLWHUDWXUH WKDW VWXGLHG WKH HIIHFW RI WUDLQHH YDULDEOHV RQ WKH DFTXLVLWLRQ RI WKHUDS\ VNLOOV 0DKRQ DQG $OWPDQQ f VXJJHVWHG WKDW OHDUQHU SHUFHSWLRQV DQG DWWLWXGHV PD\ DIIHFW WKH FRQWURO WKH LQWHQWLRQDOLW\ RU WKH IOH[LELOLW\ RI VNLOO XVHG E\ WKH WUDLQHH ZKLFK FRXOG LQ WXUQ GHWHUPLQH WKH VHOHFWLRQ DQG SURGXFWLRQ RI GLVFUHWH VNLOOV GXULQJ FRXQVHOLQJ +LUVFK DQG 6WRQH f LQ D VWXG\ H[DPLQLQJ DWWLWXGHV DQG EHKDYLRUV LQ FRXQVHOLQJ VNLOOV GHYHORSPHQW SURSRVHG WKDW WUDLQHH DWWLWXGHV KDYH D PHGLDWLQJ LQIOXHQFH RQ WKH HIIHFWLYHQHVV ZLWK ZKLFK FRXQVHOLQJ VNLOOV DUH HPSOR\HG

PAGE 84

$WWLWXGHV RI FRXQVHORUV KDYH EHHQ IRXQG WR LQIOXHQFH SHUFHSWXDO DQG EHKDYLRUDO IOH[LELOLW\ :DPSROG &DVV DQG $WNLQVRQ f IRXQG WKDW VWHUHRW\SLQJ LQWHUIHUHV ZLWK WKH FRXQVHORUnV SURFHVVLQJ RI LQIRUPDWLRQ DERXW HWKQLF ,Q DQRWKHU VWXG\ VWHUHRW\SLQJ RI KRPRVH[XDO LQGLYLGXDOV YHUVXV KHWHURVH[XDO LQGLYLGXDOV ZDV DOVR IRXQG WR LQWHUIHUH ZLWK WKH FRXQVHORUnV SURFHVVLQJ RI LQIRUPDWLRQ &DVV %UDG\ t 3RQWHURWWR f 5HFHQWO\ VRPH VWXGLHV KDYH H[DPLQHG WKH LPSDFW RI WUDLQHH YDULDEOHV RQ WKH DFJXLVLWLRQ RI WKHUDS\ VNLOOV )RQJ DQG %RUGHUV f )RQJ %RUGHUV DQG 1HLPH\HU f DQG 1HLPH\HU DQG )RQJ f H[SORUHG WKH UHODWLRQVKLS EHWZHHQ VHOIGLVFORVXUH IOH[LELOLW\ DQG FRXQVHORU HIIHFWLYHQHVV GXULQJ D FRXQVHOLQJ WUDLQLQJ FRXUVH LQ ZKLFK VWXGHQWV ZHUH HQUROOHG 5HVXOWV UHYHDOHG WKDW PRUH IOH[LEOH GLVFORVXUHV LQLWLDOO\ SURGXFHG PRUH HIIHFWLYH FRXQVHOLQJ UHVSRQVHV WKDQ GLG OHVV IOH[LEOH GLVFORVXUHV EXW WKDW WKHVH GLIIHUHQFHV ZHUH DWWHQXDWHG RYHU WKH FRXUVH RI WUDLQLQJ )RQJ DQG %RUGHUV f XVLQJ WKH %HUQ 6H[ 5ROH ,QYHQWRU\ UHSRUWHG WKDW FRXQVHOLQJ VWXGHQWVn VH[ UROH RULHQWDWLRQ KDG DQ HIIHFW RQ FRXQVHOLQJ VNLOOV SHUIRUPDQFH ,Q SDUWLFXODU PDVFXOLQH RULHQWHG WUDLQHHV ZHUH UDWHG DV OHVV HIIHFWLYH DQG XQGLIIHUHQWLDWHG WKDQ WKH RWKHU VH[ UROH RULHQWDWLRQ JURXSV DQGURJ\QRXV

PAGE 85

WUDLQHHV ZHUH OHVV HIIHFWLYH WKDQ HLWKHU WKH IHPLQLQH RU WKH XQGLIIHUHQWLDWHG RULHQWDWLRQV ,Q D PRUH UHFHQW VWXG\ )RQJ %RUGHUV DQG 1HLPH\HU f H[DPLQHG WKH LPSDFW RI VH[ UROH RULHQWDWLRQ DQG VHOIGLVFORVXUH IOH[LELOLW\ RI FRXQVHOLQJ VWXGHQWV RQ WKHLU DELOLW\ WR GHPRQVWUDWH FRXQVHOLQJ VNLOOV DQG WKHLU RYHUDOO FRXQVHOLQJ UHVSRQVH HIIHFWLYHQHVV GXULQJ DQG DIWHU FRXQVHOLQJ VNLOOV WUDLQLQJ 8VLQJ IDFWRULDO DQDO\VHV VH[ UROH RULHQWDWLRQ DQG OHYHO RI VHOIGLVFORVXUH IOH[LELOLW\ DFFRXQWHG IRU DSSUR[LPDWHO\ b RI WKH YDULDQFH LQ TXDOLW\ RI FRXQVHOLQJ VNLOOV 7KHVH ILQGLQJV OHQG VXSSRUW WR WKH LPSRUWDQFH RI WUDLQHH SHUFHSWXDO FRJQLWLYH DQG EHKDYLRUDO IOH[LELOLW\ LQ WKH DFTXLVLWLRQ DQG XVH RI FRXQVHOLQJ VNLOOV 7KH DXWKRUV FKDOOHQJHG WKH DVVXPSWLRQ WKDW LQVWUXFWLRQDO LQSXW FDQ DFFRXQW IRU PRVW RI WKH YDULDQFH LQ WUDLQHH VNLOO SHUIRUPDQFH DQG VXJJHVWHG WKDW WKH WUDLQHHVn SHUFHSWXDO FRJQLWLYH DQG EHKDYLRUDO IOH[LELOLW\ IRU GHYHORSLQJ FRXQVHOLQJ VNLOO SURILFLHQF\ PD\ EH DQ LPSRUWDQW VRXUFH RI YDULDWLRQ 7KH\ UHFRPPHQGHG XVLQJ RWKHU LQGLFDWRUV RI IOH[LELOLW\ LQ UHVHDUFK VWXGLHV WR GHVFULEH PRUH FOHDUO\ KRZ WKHVH YDULDEOHV PHGLDWH WKH OHDUQLQJ DQG XVH RI FRXQVHOLQJ VNLOOV ,W KDV EHHQ VXJJHVWHG WKDW FRPSDWLELOLW\ EHWZHHQ WKH FRJQLWLYH VW\OHV RI PHPEHUV RI D UHODWLRQVKLS ZRXOG DIIHFW ERWK WKH SURFHVV DQG RXWFRPH RI D UHODWLRQVKLS +DQGOH\ f 0DQ\ VWXGLHV RI LQWHUSHUVRQDO FRPSDWLELOLW\ KDYH

PAGE 86

XVHG WKH 0\HUV%ULJJV 7\SH ,QGLFDWRU 0%7,f +DQGOH\
PAGE 87

&OHDUO\ WKLV UHVHDUFK VXSSRUWV WKH FRQFHUQ YRLFHG E\ 0DKRQ DQG $OWPDQQ f DQG +LUVFK DQG 6WRQH f WKDW FRXQVHOLQJ VNLOOV WUDLQLQJ VKRXOG QRW EH XQLIRUPO\ WDXJKW WR DOO FRXQVHORU WUDLQHHV ,Q DGGLWLRQ LW VXSSRUWV WKH QHHG IRU IXUWKHU UHVHDUFK RQ WKH LPSDFW RI SHUVRQDO WUDLQHH YDULDEOHV RQ WKH OHDUQLQJ SURFHVV $V SUHYLRXVO\ PHQWLRQHG LQ SDUDOOHO OLWHUDWXUH *XUPDQ DQG .QLVNHUQ f VXJJHVWHG WKDW PDUULDJH DQG IDPLO\ WUDLQLQJ UHVHDUFKHUV DUH EHJLQQLQJ WR JUDSSOH ZLWK WKH VSHFLILFLW\ JXHVWLRQ LH ZKDW W\SHV RI WUDLQLQJ H[SHULHQFHV ZLWK ZKLFK W\SHV RI WUDLQHHV SURGXFH HIIHFWLYH PRGHO RI WKHUDS\f ZLWKLQ D SDUWLFXODU $V GLVFXVVHG SUHYLRXVO\ %UHXQOLQ HW DO f UHSRUWHG WKH UHVXOWV RI D VWXG\ GHVLJQHG WR H[DPLQH WKH HIIHFW RI WUDLQHH YDULDEOHV RQ WKH DFTXLVLWLRQ RI IDPLO\ WKHUDS\ VNLOOV 9DULDEOHV LQ WKHLU VWXG\ FRQFHUQHG FRQMXJDO IDPLO\ H[SHULHQFH SULRU WUDLQLQJ LQ LQGLYLGXDO DQG IDPLO\ WKHUDS\ DQG SURJUDP YDULDEOHV HJ FDVHVf 7KH\ FRQFOXGHG IURP WKHLU UHVHDUFK WKDW WUDLQHH RI IRU WUDLQLQJ DFFRXQWLQJ IRU b RI WKH YDULDQFH RI WKH WRWDO VFRUH LPSURYHPHQW RI WUDLQHHV 2I LQWHUHVW WR WKLV UHVHDUFK HIIRUW LV WKH SULRU WUDLQLQJ YDULDEOH DV D IDFWRU IRU DFTXLVLWLRQ RI VNLOOV ,Q WKH JHQHUDO ERG\ RI SV\FKRWKHUDS\ OLWHUDWXUH )LHOGHU f IRXQG WKDW WKHUDSLVWV UHJDUGOHVV RI RULHQWDWLRQ

PAGE 88

EHFDPH PRUH VLPLODU DV WKHLU H[SHULHQFH LQFUHDVHV 0RUH UHFHQW OLWHUDWXUH UHYHDOHG WKDW H[SHULHQFH IDFLOLWDWHG VRPH WKHUDS\ SURFHVVHV VXFK DV HPSDWK\ $XHUEDFK t -RKQVRQ f DQG SDWLHQW VDWLVIDFWLRQ %HXWOHU HW DO f *XUPDQ DQG .QLVNHUQ f FLWHG WKHUDSLVW H[SHULHQFH OHYHO DV D IDFWRU WKDW LQIOXHQFHV WKH RXWFRPH RI IDPLO\ WKHUDS\ DQG VXJJHVWHG WKDW VWXGLHV LQFOXGH WKLV YDULDEOH %HXWOHU HW DO f VXJJHVWHG WKDW LQYHVWLJDWLRQV VKRXOG GLVWLQJXLVK EHWZHHQ DPRXQW HJ QXPEHU RI \HDUVf DQG W\SH HJ GLVFLSOLQHf RI WUDLQLQJ 7KXV H[SHULHQFH OHYHO VKRXOG EH FRQVLGHUHG LQGHSHQGHQW RI IRUPDO WUDLQLQJ 7KLV UHVHDUFKHU H[DPLQHG WKH LPSDFW RI WKH WUDLQHHnV SULRU WUDLQLQJ LQ LQGLYLGXDO FRXQVHOLQJ DQG PDUULDJH DQG IDPLO\ WKHUDS\f DQG SULRU ZRUN H[SHULHQFH LQ LQGLYLGXDO FRXQVHOLQJ DQG PDUULDJH DQG IDPLO\ WKHUDS\f RQ WKH DFTXLVLWLRQ RI WKHUDS\ VNLOOV ,Q DGGLWLRQ WR VWXG\LQJ WKH LPSDFW RI SULRU WUDLQLQJ DQG ZRUN H[SHULHQFH RQ WKHUDS\ WKLV UHVHDUFKHU DOVR H[DPLQHG WKH LPSDFW RI WKH OHDUQLQJ VW\OH RI WKH WUDLQHH RQ WKH DFTXLVLWLRQ RI IDPLO\ WKHUDS\ VNLOOV /HDUQLQJ 6W\OH $Q H[DPLQDWLRQ RI LQVWUXFWLRQDO WKHRULHV HJ %UXQHU *DJQH t %ULJJV f VXJJHVWHG WKDW DGGLWLRQDO YDULDEOHV ZDUUDQWHG FRQVLGHUDWLRQ LQ DWWHPSWLQJ WR DFFRXQW IRU LQGLYLGXDO GLIIHUHQFHV LQ OHDUQHU VNLOO

PAGE 89

DFTXLVLWLRQ DQG LQ GHYHORSLQJ FRPSUHKHQVLYH DSSURDFKHV WR VNLOO WUDLQLQJ &OHDUO\ FKDUDFWHULVWLFV RI ERWK WKH VXSHUYLVRU WHDFKHUf DQG VXSHUYLVHH OHDUQHUf DIIHFW WKH LQWHUDFWLRQ WKDW RFFXUV EHWZHHQ WKHP +DUW f VXJJHVWHG WKDW VXSHUYLVHH DVSHFWV WR EH H[DPLQHG GXULQJ WKH OHDUQLQJ SURFHVV LQFOXGH H[SHFWDWLRQV RI VXSHUYLVHH DQG VXSHUYLVRUf OHYHOV RI WUDLQLQJ DQG H[SHULHQFH SDWWHUQV RI LQWHUSHUVRQDO EHKDYLRU DQG OHDUQLQJ VW\OH ,Q WKLV FRQWH[W OHDUQLQJ UHIHUV WR WKH VSHHG DQG HIILFLHQF\ ZLWK ZKLFK VXSHUYLVHV FDQ DFTXLUH YDULRXV W\SHV RI LQIRUPDWLRQ )RU H[DPSOH VRPH VXSHUYLVHHV DUH DEOH WR OHDUQ EHVW IURP SULQFLSOHV WKDW DUH GLVFXVVHG DQG GHPRQVWUDWHG ZKHUHDV RWKHUV OHDUQ EHVW E\ FULWLTXHV RI WKHLU SHUIRUPDQFH ZLWK FOLHQWV +DUW f VXJJHVWHG WKDW OHDUQLQJ VW\OH OLNH RWKHU LQWHUSHUVRQDO SDWWHUQV LV DQ LPSRUWDQW FRQVLGHUDWLRQ LQ WKH VXSHUYLVRU\ DQG WHDFKLQJOHDUQLQJ SURFHVV +H UHFRPPHQGHG FRQGXFWLQJ UHVHDUFK WKDW LQFOXGHV WKH FRQVLGHUDWLRQ RI OHDUQLQJ VW\OH DV DQ LPSRUWDQW YDULDEOH DIIHFWLQJ WKH VXSHUYLVLRQ DQG WHDFKLQJOHDUQLQJ SURFHVV +DUW f HQFRXUDJHG WKH FOLQLFDO VXSHUYLVRU WR VHOHFW WHFKQLTXHV WKDW DUH DSSURSULDWH IRU WKH VXSHUYLVHH ZLWK SDUWLFXODU LQWHOOHFWXDO FKDUDFWHULVWLFV )RU H[DPSOH %HUHQJDUWHQ f GHVFULEHG PDMRU OHDUQLQJ SDWWHUQV RI VRFLDO ZRUN VWXGHQWV DV HLWKHU Df GRLQJ Ef HPSDWKLF RU Ff LQWHOOHFWXDO HPSDWKLF 7KH GRHU OHDUQV EHVW IURP VSHFLILF GLUHFWLRQV UHJDUGLQJ WKH WDVN 7KH

PAGE 90

H[SHULHQWLDOHPSDWKLF OHDUQHU WULHV RXW KXQFKHV DQG UHOLHV RQ UHVXOWV RI LQWXLWLYHO\ SURFHHGLQJ ZLWK WDVNV WKDW VHHP DSSURSULDWH 7KH LQWHOOHFWXDOHPSDWKLF OHDUQHU UHOLHV RQ GHOLEHUDWH SODQV WKDW DUH FDUHIXOO\ WKRXJKW RXW EHIRUH DQ\ DFWLRQ LV WDNHQ ,Q DQRWKHU VWXG\ 5RVHQWKDO f H[DPLQHG WKH HIIHFWV RI OHDUQLQJ VW\OH DQG FRQFHSWXDO OHYHO RI VXSHUYLVHV RQ WKH OHDUQLQJ RI FOLQLFDO VNLOOV +LV UHVXOWV LQGLFDWHG WKDW WKH HIIHFWLYHQHVV RI WKH PHWKRG RI WHDFKLQJ D FOLQLFDO VNLOO FRQIURQWDWLRQf ZDV GHSHQGHQW XSRQ WKH FRQFHSWXDO OHYHO KLJK RU ORZf RI WKH VXSHUYLVHH &OHDUO\ FRQVLGHULQJ WUDLQHH OHDUQLQJ VW\OH ZKHQ H[DPLQLQJ WUDLQHH VNLOO DFTXLVLWLRQ LV DQ LPSRUWDQW DUHD 5HVHDUFK RQ WKH RXWFRPHV RI OLYH VXSHUYLVLRQ KDV EHJXQ WR GLIIHUHQWLDWH OHDUQLQJ VW\OHV DQG SUHIHUHQFHV DQG KDV GHILQHG VRPH SUHGLFWDEOH WUDLQHH UHVSRQVHV IUR ZKR KDYH XQGHUJRQH D OLYH VXSHUYLVLRQ H[SHULHQFH /LGGOH 'DYLGVRQ t %DUUHWW f )RU H[DPSOH /LGGOH HW DO f DVVHVVHG WKURXJK VWUXFWXUHG LQWHUYLHZ IRUPDW WUDLQHHV IURP D YDULHW\ RI WUDLQLQJ FRQWH[WV LQ ZKLFK OLYH VXSHUYLVLRQ ZDV D FRPSRQHQW 7KH UHVXOWV SURYLGHG DQ LQLWLDO SLFWXUH RI WKH YDULDEOHV WKDW PLJKW ZDUUDQW IXUWKHU GHVFULSWLRQ DQG H[SHULPHQWDO LQTXLU\ 0RUH VSHFLILFDOO\ WKH\ QRWHG WKDW WKH SUHIHUHQFH IRU DFWLYH SDUWLFLSDWLRQ LQ WKH IRUPXODWLRQ RI WKHUDSHXWLF SODQV GXULQJ OLYH VXSHUYLVLRQ ZDV H[SUHVVHG E\ WKH PDMRULW\ RI WUDLQHHV +RZHYHU WKLV SUHIHUHQFH ZDV PRUH SURQRXQFHG ZLWK WUDLQHHV

PAGE 91

ZKR VDZ WKHPVHOYHV DV KDYLQJ DQ DFWLYH OHDUQLQJ VW\OH WKDQ WKRVH KDYLQJ D PRUH SDVVLYH VW\OH RI OHDUQLQJ 7KH FRQFOXVLRQV GUDZQ E\ WKH DXWKRUV ZHUH WKDW SHUVRQDO LQYROYHPHQW LQ WKH OHDUQLQJ SURFHVV ZDV VHHQ DV FUXFLDO WR WUDLQHH VXFFHVV LQ VXSHUYLVLRQ DQG WKDW SDVVLYH OHDUQLQJ VW\OHV ZHUH YLHZHG DV OHVV EHQHILFLDO WKDQ DFWLYH RQHV &OHDUO\ WKH YDULDEOH RI OHDUQLQJ VW\OH PD\ KDYH D VLJQLILFDQW LPSDFW RQ WKH DFTXLVLWLRQ RI WKHUDS\ VNLOOV 7KH WUDLQHHnV PRGH RI REVHUYLQJ WDNLQJ LQ GDWD DERXW WKH ZRUOG RUJDQL]LQJ LW DQG DFWLQJ XSRQ LW LQ WKH UHDOP RI LQGLYLGXDO DQG IDPLO\ WKHUDS\ WUDLQLQJ PD\ LQIOXHQFH WKH OHDUQLQJ RI WKHUDS\ VNLOOV $ QXPEHU RI GLIIHUHQW WKHRULHV DQG PRGHOV RI FRJQLWLYH VW\OHOHDUQLQJ VW\OH KDYH EHHQ SURSRVHG $ ZHOONQRZQ H[DPSOH LV WKH 0\HUV %ULJJV 7\SH ,QGLFDWRU ZKLFK LV EDVHG RQ -XQJnV WKHRU\ RI SV\FKRORJLFDO 0DQ\ PRGHOV VXFK DV WKLV KDYH EHHQ XVHG WR VRUW LQGLYLGXDOV LQWR FDUHHURFFXSDWLRQDO FDWHJRULHV DV D ZD\ RI DSSO\LQJUHVROYLQJ FRJQLWLYH WDVNV HJ .ROE f )HZ RI WKH OHDUQLQJ PRGHOV KDYH EHHQ XVHG WR SUHGLFW OHDUQLQJ DQG SHUIRUPDQFH RI VSHFLILF MRE WDVNV ,GHQWLI\LQJ SUHIHUUHG OHDUQLQJ VW\OH DQG PRWLYDWLRQ SDWWHUQV PD\ EH RI LQWHUHVW KRZHYHU QRW RQO\ LQ WHUPV RI D VHOHFWLRQ IDFWRU LQ WUDLQLQJ EXW DV D FXUULFXOXP SODQQLQJ FRPSRQHQW DV ZHOO )RU H[DPSOH WKH 0\HUV%ULJJV 7\SH ,QGLFDWRU KDV EHHQ XVHG DV DQ LQGLFDWRU WR SURYLGH

PAGE 92

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f DUH 2XWFRPH 9DULDEOHV 7KH RXWFRPH YDULDEOHV H[DPLQHG LQ WKLV VWXG\ DUH WKH FKDQJH LQ REVHUYDWLRQDO SHUFHSWXDOf FRQFHSWXDO DQG WKHUDSHXWLF H[HFXWLYHf VNLOOV RI WKH IDPLO\ WKHUDS\ WUDLQHH IURP SUHWHVWLQJ WR SRVWWHVWLQJ 7KHVH VNLOOV ZHUH RULJLQDOO\ GHILQHG E\ &OHJKRUQ DQG /HYLQH f DQG KDYH EHHQ VXEVHTXHQWO\ XVHG LQ GHVFULELQJ OHDUQLQJ REMHFWLYHV HJ )DOLFRY HW DO 7RPP t :ULJKW f IRU PDUULDJH DQG IDPLO\ WKHUDS\ WUDLQLQJ LQ PRVW RI WKH SXEOLVKHG DFFRXQWV 2EVHUYDWLRQDO VNLOOV DUH WKRVH UHTXLUHG WR SHUFHLYH DQG DFFXUDWHO\ GHVFULEH EHKDYLRUDO GDWD ZLWKLQ D VHVVLRQ &RQFHSWXDO VNLOOV DUH WKRVH LQKHUHQW LQ D WKHRUHWLFDO

PAGE 93

XQGHUVWDQGLQJ RI D PRGHO 7KHUDSHXWLF VNLOOV DUH WKRVH QHFHVVDU\ WR H[HFXWH LQWHUYHQWLRQV VNLOOIXOO\ ZLWKLQ WKH VHVVLRQ DFFRUGLQJ WR RQHnV PRGHO RI WKHUDS\ DQG LQ WKLV FDVH WKH VWUXFWXUDOVWUDWHJLF PRGHO RI IDPLO\ WKHUDS\ %UHXQOLQ HW DO f KDYH GHYHORSHG DQ LQVWUXPHQW WR HYDOXDWH FKDQJH LQ WHUPV RI REVHUYDWLRQDO FRQFHSWXDO DQG WKHUDSHXWLF VNLOOV DV SUHYLRXVO\ GHILQHG 7KLV LV WKH PHDVXUH XVHG LQ WKH VWXG\ WR DVVHVV FKDQJH LQ WKHVH VNLOOV 2EVHUYDWLRQDO SHUFHSWXDOf FRQFHSWXDO DQG H[HFXWLYH WHFKQLFDOf VNLOOV KDYH EHHQ SUHYLRXVO\ GLVFXVVHG LQ WKH UHYLHZ RI WKH WUDLQLQJ OLWHUDWXUH LQWHUUHODWHG VHWV RI VNLOOV DUH FRPPRQO\ XVHG LQ WKH WUDLQLQJ UHVHDUFK )DPLO\ 7KHUDSLVW $VVHVVPHQW ([HUFLVH %UHXQOLQ HW DO f GHVFULEHG WKH )DPLO\ 7KHUDSLVW $VVHVVPHQW ([HUFLVH )7$(f DV DQ LQVWUXPHQWLQSURFHVV GHVLJQHG WR HYDOXDWH IDPLO\ WKHUDSLVWV DQG WKH HIIHFWLYHQHVV RI IDPLO\ WKHUDS\ WUDLQLQJ 7KH LQVWUXPHQW LV EDVHG RQ DQG DVVHVVHV FRPSHWHQFH LQf WKH VWUXFWXUDO VWUDWHJLF PRGHO RI IDPLO\ WKHUDS\ ZKLFK LQWHJUDWHV VWUXFWXUDO IDPLO\ WKHUDS\ DV HVSRXVHG E\ 0LQXFKLQ DQG KLV FROOHDJXHV 0LQXFKLQ 0LQXFKLQ t )LVKPDQ 0LQXFKLQ 5RVPDQ t %DNHU f SUREOHPVROYLQJ DQG VWUDWHJLF WKHUDS\ RI +DOH\ DQG 0DGDQHV +DOH\ +DOH\ 0DGDQHV f DQG WKH EULHI WKHUDS\ RI WKH JURXS :DW]ODZLFN :HDNODQG t )LVFK f DQG WKH 05,

PAGE 94

$FNHUPDQ %ULHI 7KHUDS\ 3URMHFW +RIIPDQ 3DSS f %UHXQOLQ HW DO f FODLPHG WKDW WKH\ ZHUH LQ HVVHQFH HDVXULQJ WKHUDSLVWVn DELOLW\ WR V\VWHPLFDOO\ FRQFHSWXDOL]H D FUXFLDO FRQFHSWXDO HOHPHQW RI WKLV PRGHO RI IDPLO\ WKHUDS\ LV WKH DELOLW\ WR WKLQN LFDOO\ WKDW LV WR YLHZ D IDPLO\ PHPEHUnV DFWLRQV DV RQH SDUW RI D UHGXQGDQW IDPLO\ GDQFH UDWKHU WKDQ EHLQJ FDXVHG E\ DQRWKHU PHPEHUnV DFWLRQV RU EH LQWUDSV\FKLF HYHQWV RU SHUVRQDOLW\ S f 7KH LQVWUXPHQW FRQVLVWV RI D YLGHRWDSH RI D ILUVW VHVVLRQ ZLWK DQ HQDFWHG IDPLO\ 7KH VFULSW RQ WKH YLGHRWDSH LV RI DQ DFWXDO ILUVW VHVVLRQ HGLWHG GRZQ WR LQXWHVf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f

PAGE 95

7KH\ KDYH GHVLJQHG WKH LQVWUXPHQW WR DVVHVV WKUHH LQWHUUHODWHG VHWV RI VNLOOV REVHUYDWLRQDO FRQFHSWXDO DQG WKHUDSHXWLF VNLOOV )DOLFRY HW DO f YLUWXDOO\ WKH VDPH DV &OHJKRUQ DQG /HYLQHnV f SHUFHSWXDO FRQFHSWXDO DQG H[HFXWLYH VNLOOV 2EVHUYDWLRQDO VNLOOV DUH WKRVH UHTXLUHG WR SHUFHLYH DQG DFFXUDWHO\ GHVFULEH EHKDYLRUDO GDWD ZLWKLQ D VHVVLRQ &RQFHSWXDO VNLOOV DUH WKRVH LQKHUHQW LQ D WKHRUHWLFDO XQGHUVWDQGLQJ RI D PRGHO 7KHUDSHXWLF VNLOOV DUH WKRVH QHFHVVDU\ WR H[HFXWH LQWHUYHQWLRQV VNLOOIXOO\ ZLWKLQ WKH VHVVLRQ DFFRUGLQJ WR RQHnV PRGHO RI WKHUDS\ LQ WKLV FDVH WKH VWUXFWXUDO RGHO RI IDPLO\ WKHUDS\ 7KH LQVWUXPHQW LV LQWHQGHG WR PHDVXUH WKHUDSLVWV L FRPSHWHQFH LQ WKHVH WKUHH VHWV RI VNLOOV DV DSSOLFDEOH ZLWKLQ WKH FOLQLFDO VLWXDWLRQ GHSLFWHG RQ WKH YLGHRWDSH 2EVHUYDWLRQDO VNLOOV DUH PHDVXUHG E\ KRZ SHUFHSWLYH WKH UHVSRQGHQW LV WR EHKDYLRUDO GDWD DQG VHTXHQFHV FRQFHSWXDO VNLOOV DUH PHDVXUHG E\ ZKHWKHU WKH UHVSRQGHQW FKRRVHV WKH SHU WKHRUHWLFDO RULHQWDWLRQf FRQFHSW WKDW FRUUHVSRQGV WR WKDW VHJPHQW RI EHKDYLRUDO GDWD WKH UHVSRQGHQW LV REVHUYLQJ DQRWKHU FRQGXFW WKHUDS\ RQ D LW LV PRUH GLIILFXOW WR DVVHVV WKH UHVSRQGHQWnV DFWXDO WKHUDSHXWLF VNLOOV %XW WKH WHVW DVNV WKH UHVSRQGHQW WR LGHQWLI\ DQG HYDOXDWH WKH WKHUDSLVWnV EHKDYLRUV RQ WKH YLGHRWDSH DV ZHOO DV WR FKRRVH ZKLFK RI WKH PXOWLSOH FKRLFH UHVSRQVHV KH RU VKH ZRXOG PRVW OLNHO\

PAGE 96

FKRRVH DV D WKHUDSHXWLF LQWHUYHQWLRQ LQ UHVSRQVH WR WKH SULRU VHTXHQFH SRUWUD\HG RQ WKH WDSH 7KHVH RI FRXUVH D\ QRW SUHGLFW ZKHWKHU WKH UHVSRQGHQW ZRXOG DFWXDOO\ DFW WKLV ZD\ LI LQ D VLPLODU FOLQLFDO VLWXDWLRQ 'HYHORSPHQW RI WKH ,QVWUXPHQW 7R GDWH WKHUH KDYH EHHQ ILYH YHUVLRQV RI WKH WHVW EDVHG RQ WKH UHVHDUFKHUVn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f§ REVHUYDWLRQDO FRQFHSWXDO DQG WKHUDSHXWLF 7KLV YHUVLRQ ZDV WKHQ VKRZQ WR WZR RWKHU IDPLO\ WKHUDSLVWV ZKR HDFK FRQFXUUHG ZLWK WKH ULJKW DQVZHUV

PAGE 97

7KH VHFRQG YHUVLRQ ZDV SLORWHG RQ ILYH JURXSV RI SHGLDWULF UHVLGHQWV Q f DQG WKUHH JURXSV RI WKLUG\HDU HGLFDO VWXGHQWV Q f $ FRPSDULVRQ RI SUHWUDLQLQJ DQG SRVWWUDLQLQJ VFRUHV LQGLFDWHG VLJQLILFDQW LPSURYHPHQW S f VXJJHVWLQJ WKDW ERWK WKH WUDLQLQJ ZDV HIIHFWLYH DQG WKDW WKH LQVWUXPHQW VHQVLWLYHO\ PHDVXUHG WKH WUDLQLQJ LPSDFW 7KH WKLUG YHUVLRQ FRQVLVWHG RI PXOWLSOHFKRLFH FRQFHSWXDO TXHVWLRQV REVHUYDWLRQDO TXHVWLRQV LQ ZKLFK WKH UHVSRQGHQW PXVW UHFDOO DQ LQWHUDFWLRQDO VHTXHQFH XVLQJ D ILOOLQWKHEODQN IRUPDWf PXOWLSOHFKRLFH WKHUDSHXWLF TXHVWLRQV PRVWO\ FULWLTXLQJ WKH WKHUDSLVWnV EHKDYLRU RQ WDSHf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f

PAGE 98

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f LV XVHG LQ WKLV VWXG\ 7KLV FXUUHQW YHUVLRQ LV D SURFHGXUH LQ ZKLFK VXEMHFWV ZDWFK D VLPXODWHG IDPLO\ WKHUDS\ LQWHUYLHZ RQ YLGHRWDSH DQG DQVZHU WKH TXHVWLRQV RI D LWHP PXOWLSOHFKRLFH IRUPDW WHVW 2I WKHVH TXHVWLRQV DUH REVHUYDWLRQDO DUH FRQFHSWXDO DQG DUH WKHUDSHXWLF $OWKRXJK %UHXQOLQ HW DO f UHSRUWHG FRQWLQXHG GLIILFXOW\ ZLWK WKH REVHUYDWLRQDO VFDOH VHYHUDO VWXGLHV +HUQDQGH] 3XOOH\EODQN 3XOOH\EODQN t 6KDSLUR :HVW HW DO f SURYLGHG HYLGHQFH WKDW WKH FRQFHSWXDO DQG WKHUDSHXWLF VFDOHV RI WKH FXUUHQW YHUVLRQ RI WKH )7$( GLVFULPLQDWH ZHOO DV GRHV WKH

PAGE 99

WRWDO VFRUH 7KHVH VWXGLHV KDYH EHHQ SUHYLRXVO\ GLVFXVVHG LQ WKH UHYLHZ RI WKH IDPLO\ WKHUDS\ WUDLQLQJ OLWHUDWXUH )LQDOO\ LW VKRXOG EH QRWHG WKDW WKURXJKRXW HDFK YHUVLRQ RI WKH )7$( %UHXQOLQ DQG FROOHDJXHV FRQVWUXFWHG WKH LQVWUXPHQW VR WKDW LW PDLQWDLQHG MDUJRQIUHH WHUPLQRORJ\ HYHQ WKRXJK LW DVVHVVHG FRPSHWHQFH LQ WKH VWUXFWXUDOVWUDWHJLF PRGHO 7KLV DOORZHG WKRVH XQLQLWLDWHG WR IDPLO\ WKHUDS\ WR XQGHUVWDQG WKH DOWHUQDWLYHV DQG LQVXUHG WKDW WKH WHVW PHDVXUHV PRUH WKDQ WKH UHVSRQGHQWVn DFTXDLQWDQFH ZLWK WKH YRFDEXODU\ RI WKH PRGHO %XW GXH WR LWV UHOLDQFH RQ WKH VWUXFWXUDOVWUDWHJLF PRGHO %UHXQOLQ DQG FROOHDJXHV FRPPHQWHG WKDW LW LV WKHRUHWLFDOO\ SRVVLEOH WKDW D KLJKO\ WUDLQHG FOLQLFLDQ IURP D FRQWUDVWLQJ VFKRRO PLJKW GR YHU\ SRRUO\ RQ WKLV WHVW +RZHYHU LQ WKLV VWXG\ D VWUXFWXUDOVWUDWHJLF PRGHO RI WKHUDS\ FRPSULVHG WKH WUHDWPHQW FRPSRQHQW WKHUHIRUH WKLV SDUWLFXODU LVVXH VKRXOG QRW SRVH D SUREOHP 7UDLQHH 9DULDEOHV &KDUDFWHULVWLFVf 0XFK RI WKH UHVHDUFK GRQH LQ WKH DUHD RI WUDLQLQJ LQ PDUULDJH DQG IDPLO\ WKHUDS\ KDV EHHQ GRQH ZLWK SRVWJUDGXDWH OHYHO WUDLQHHV LQ IDPLO\ WKHUDS\ WUDLQLQJ FHQWHUV DQG /LWWOH UHVHDUFK KDV EHHQ GRQH WKDW WDUJHWHG WKH QRYLFH OHYHO WUDLQHH HQUROOHG LQ GHJUHH JUDQWLQJ SURJUDPV LQ XQLYHUVLW\EDVHG 7KH UROH RI IUHH VWDQGLQJ LQVWLWXWHV UHODWLYH WR WHDFKLQJ IDPLO\ WKHUDS\ LQ WUDGLWLRQDO LQVWLWXWLRQV VXFK DV DFDGHPLF GHSDUWPHQWV

PAGE 100

ZLWKLQ XQLYHUVLWLHV UHPDLQV WR EH GHILQHG 7KLV UHVHDUFKHU WDUJHWHG WKH EHJLQQLQJ WUDLQHH LQ PDUULDJH DQG IDPLO\ ZKR ZDV HQUROOHG LQ D XQLYHUVLW\EDVHG WUDLQLQJ H[SHULHQFH 7KH YDULDEOHV RI LQWHUHVW H[DPLQHG ZHUH WKH WUDLQHHnV Df SULRU WUDLQLQJ Ef ZRUN H[SHULHQFH LQ ERWK LQGLYLGXDO FRXQVHOLQJ DQG LQ PDUULDJH DQG IDPLO\ WKHUDS\ Ff LQLWLDO NQRZOHGJH RI IDPLO\ WKHUDS\ DQG Gf WKH OHDUQLQJ VW\OH RI WKH WUDLQHH 3ULRU WUDLQLQJ DQG ZRUN H[SHULHQFH LQ LQGLYLGXDO FRXQVHOLQJWKHUDS\ DQG PDUULDJH DQG IDPLO\ WKHUDS\ 2I LQWHUHVW LQ WKLV VWXG\ ZDV WKH HIIHFW RI WUDLQHHnV SUHYLRXV WUDLQLQJ DQG H[SHULHQFH LQ LQGLYLGXDO WKHUDS\ DQG LQ DUULDJH DQG IDPLO\ WKHUDS\ RQ WKH DFTXLVLWLRQ RI REVHUYDWLRQDO FRQFHSWXDO DQG WKHUDSHXWLF VNLOOV RI IDPLO\ WKHUDS\ ,W KDV EHHQ FRPPRQO\ DQG SHUKDSV LQWXLWLYHO\ SUHVXPHG WKDW SULRU WUDLQLQJ LQ LQGLYLGXDO SV\FKRWKHUDS\ LQWHUIHUHV ZLWK WKH FRJQLWLYH VKLIW WR V\VWHPLF WKLQNLQJ DQG WKH OHDUQLQJ RI PDUULDJH DQG IDPLO\ WKHUDS\ LQ JHQHUDO +RZHYHU 3XOOH\EODQN f GLVFXVVHG WKH QHHG WR FODULI\ ZKDW H[SHULHQFH SULRU WR IDPLO\ WKHUDS\ WUDLQLQJ ZDV UHOHYDQW WR WKH VXFFHVV DV D IDPLO\ WKHUDSLVW ,Q 3XOOH\EODQNnV VWXG\ D VHOIHYDOXDWLRQ FRPSRQHQW ZDV XVHG LQ FRQMXQFWLRQ ZLWK RWKHU PHDVXUHV 6KH IRXQG WKDW WKH PRUH \HDUV H[SHULHQFH SULRU WR IDPLO\ WKHUDS\ WUDLQLQJ WKDW WKH WUDLQHHV KDG WKH ORZHU WKH\ UDWHG WKHPVHOYHV RQ REVHUYDWLRQDO FRQFHSWXDO DQG WKHUDSHXWLF VNLOOV RI IDPLO\

PAGE 101

WKHUDS\ DQG SDUWLFXODUO\ RQ WKH FRQFHSWXDO VFDOH $OWKRXJK WKH WUDLQHHV UDWHG WKHPVHOYHV ORZHU DW WKH EHJLQQLQJ RI WUDLQLQJ WKH\ GLG DV ZHOO LI QRW EHWWHU WKDQ RWKHUV DW WKH HQG RI WUDLQLQJ 7KLV ILQGLQJ GHSDUWV IURP WKH EHOLHI LQ WKH ILHOG RI IDPLO\ WKHUDS\ +DOH\ f WKDW WUDGLWLRQDO WUDLQLQJ LV XVHOHVV LI QRW FRXQWHUSURGXFWLYH IRU IDPLO\ WKHUDS\ ,Q \HW DQRWKHU VWXG\ %UHXQOLQ HW DO f UHSRUWHG WKDW SUHYLRXV H[SHULHQFH LQ LQGLYLGXDO WKHUDS\ SUHGLFWV FKDQJHV LQ IDPLO\ WKHUDS\ OHDUQLQJ DQG LQ IDFW PD\ KDYH D EHQHILFLDO HIIHFW RQ IDPLO\ WKHUDS\ WUDLQLQJ 7KXV IXUWKHU 7KH TXHVWLRQ VWLOO UHPDLQV ZKHWKHU IDPLO\ WKHUDS\ LV D WRWDOO\ QHZ IRUP RI WKHUDS\ RU D WUHDWPHQW WKDW UHTXLUHV VNLOOV LQ DGGLWLRQ WR WUDGLWLRQDO SV\FKRWKHUDS\ VNLOOV VXFK DV WKH DELOLW\ WR OLVWHQ DQG HPSDWKL]H ZKLFK DOORZV WKH IDPLO\ WKHUDSLVW WR MRLQ ZLWK WKH IDPLO\ LQ D ZD\ WKDW SURPRWHV IDPLO\ FKDQJHf $V PHQWLRQHG HDUOLHU D ERG\ RI UHVHDUFK H[LVWV LQ WKH IDPLO\ WKHUDS\ RXWFRPH OLWHUDWXUH WKDW FLWHV IDPLO\ WKHUDSLVWnV H[SHULHQFH OHYHO WKHUDS\ VWUXFWXULQJ VNLOOV DQG UHODWLRQDO VNLOOV DV IDFWRUV WKDW LQIOXHQFH WKH RXWFRPH RI IDPLO\ WKHUDS\ *XUPDQ t .QLVNHUQ f OHYHO FDQQRW EH WDXJKW EXW EHFDXVH KLJK OHYHOV RI H[SHULHQFH KDYH EHHQ FRUUHODWHG ZLWK SRVLWLYH WKHUDSHXWLF RXWFRPH WKH EHKDYLRU RI WKHUDSLVWV FDQ EH LQGLUHFW FULWHULRQ IRU WUDLQLQJ VXFFHVV *XUPDQ DQG

PAGE 102

.QLVNHUQ f VXJJHVWHG DGGUHVVLQJ WKH JXHVWLRQ RI ZKDW W\SHV RI SUHYLRXV WUDLQLQJ EHVW SUHSDUHVRU LQKLELWV D WUDLQHH IRU WUDLQLQJ S f 7KLV VWXG\ ZDV GHVLJQHG WR H[DPLQH ERWK SULRU WUDLQLQJ LQ LQGLYLGXDO FRXQVHOLQJ DQG PDUULDJH DQG IDPLO\ WKHUDS\ DQG SULRU ZRUN H[SHULHQFH LQ LQGLYLGXDO FRXQVHOLQJ DQG PDUULDJH DQG IDPLO\ WKHUDS\ ,Q WKLV VWXG\ OHYHO RI H[SHULHQFH ZDV FRQVLGHUHG LQGHSHQGHQW RI IRUPDO WUDLQLQJ DV UHFRPPHQGHG E\ %HXWOHU HW DO f 7KH OHYHO RI LQLWLDO NQRZOHGJH RI IDPLO\ WKHUDS\ KDV DOVR EHHQ FRQVLGHUHG LQGHSHQGHQWO\ DV VXJJHVWHG E\ %UHXQOLQ HW DO f ,Q DGGLWLRQ WKHRUHWLFDO RULHQWDWLRQ LQ WHUPV RI LQGLYLGXDOO\ RULHQWHG WKHUDS\ YHUVXV IDPLO\ V\VWHPV RULHQWHG WKHUDS\ ZDV GLVWLQJXLVKHG 0XFK RI WKH DYDLODEOH IDPLO\ WKHUDS\ UHVHDUFK H[DPLQHG SRVWGHJUHH FOLQLFLDQV LQ IDPLO\ WKHUDS\ WUDLQLQJ LQVWLWXWH FRQWH[WV %UHXQOLQ HW DO +HUQDQGH] 3XOOH\EODQN 3XOOH\EODQN t 6KDSLUR 7XFNHU t 3LQVRI f 2QO\ D IHZ UHVHDUFKHUV H[DPLQHG QRYLFH OHYHO WUDLQHHV LQ XQLYHUVLW\EDVHG VHWWLQJV :HVW HW DO =DNHQ*UHHQEHUJ t 1HLPH\HU f &OHDUO\ WKH ODWWHU E\ GHILQLWLRQ KDYH OHVV H[SHULHQFH DQG OHVV IRUPDO WUDLQLQJ 7KHUHIRUH WKH DSSURDFK WR WHDFKLQJ WKH QRYLFH OHYHO WUDLQHH PD\ GLIIHU JUHDWO\ IURP WKH DSSURDFK XVHG IRU WKH WKHUDSLVW YHUVHG LQ LQGLYLGXDO SV\FKRWKHUDS\ )RU H[DPSOH 7RPP DQG /HDKH\ f LQ D FRPSDULVRQ VWXG\ RI WKUHH

PAGE 103

WHDFKLQJ PHWKRGV XVHG WR WHDFK EDVLF IDPLO\ DVVHVVPHQW PHWKRGV WR ILUVW \HDU PHGLFDO VWXGHQWV FRQFOXGHG WKDW WKH OHFWXUHGHPRQVWUDWLRQ DSSURDFK LV WKH PHWKRG RI FKRLFH IRU WHDFKLQJ IDPLO\ DVVHVVPHQW WR WKHVH EHJLQQLQJ PHGLFDO VWXGHQWV EDVHG RQ FRVWHIIHFWLYHQHVV ,QGLYLGXDO WKHUDS\ PD\ EH D YDULDEOH WKDW SUHGLFWV VXFFHVV LQ WKH OHDUQLQJ RI PDUULDJH DQG IDPLO\ WKHUDS\ DIWHU VHOHFWLRQ ,Q DGGLWLRQ WKH XQLTXH LPSDFW RI IDPLO\ WKHUDS\ WUDLQLQJ RYHU DQG DERYH RU LQVWHDG RIf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

PAGE 104

,QLWLDO NQRZOHGJH RI IDPLO\ WKHUDS\ ,QLWLDO NQRZOHGJH RI IDPLO\ WKHUDS\ ZDV GHILQHG DV WKH VWXGHQWV NQRZOHGJH RI REVHUYDWLRQDO SHUFHSWXDO DQG SHUFHSWXDO VNLOOV DV GLVFXVVHG E\ %UHXQOLQ DQG KLV DVVRFLDWHV %UHXQOLQ HW DO f /HDUQLQJ VW\OH /HDUQLQJ VW\OH ZDV WKH ILQDO YDULDEOH FKRVHQ IRU WKLV VWXG\ $V SUHYLRXVO\ PHQWLRQHG WKHUH KDYH EHHQ VRPH DWWHPSWV PDGH WR DVVHVV WKH LQWHUDFWLRQ EHWZHHQ SHUVRQDO FKDUDFWHULVWLFV RI WKH WUDLQHH DQG WKH DFTXLVLWLRQ RI WKHUDS\ VNLOOV 7KH LPSRUWDQFH RI OHDUQLQJ VW\OH DV D IDFWRU LQ WKH HGXFDWLRQ DQG WUDLQLQJ SURFHVV KDV EHHQ GLVFXVVHG SUHYLRXVO\ ,Q DGGLWLRQ *XUPDQ DQG .QLVNHUQ f HQWLRQHG FRQYHUJHQWGLYHUJHQW WKLQNLQJ VW\OHV DV D SRWHQWLDOO\ LPSRUWDQW IDPLO\ WKHUDS\ WUDLQHH YDULDEOH ,W LV ORJLFDO WR DVVXPH WKDW OHDUQLQJ VW\OH LV DQ LPSRUWDQW IDFWRU DQG RQH ZRXOG DVVXPH LQIOXHQWLDO LQ WKH OHDUQLQJ RI PDUULDJH DQG IDPLO\ WKHUDS\ VNLOOV 7KLV VWXG\ H[DPLQHG WKH LQWHUDFWLRQ RI WKH WUDLQHHVn OHDUQLQJ VW\OH RQ WKH DFTXLVLWLRQ RI IDPLO\ WKHUDS\ VNLOOV REVHUYDWLRQDO FRQFHSWXDO DQG WKHUDSHXWLFf :HVW HW DO f UHSRUWHG WKH HYDOXDWLRQ RI D WUDLQLQJ H[SHULHQFH LQ ZKLFK D WHFKQLTXH XVLQJ VLPXODWHG IDPLOLHV LQ WKH WUDLQLQJ RI QRYLFH OHYHO WKHUDSLVWV ZDV 7KH )DPLO\ 7KHUDS\ $VVHVVPHQW ([HUFLVH ZDV XVHG WR PHDVXUH REVHUYDWLRQDO FRQFHSWXDO DQG WKHUDSHXWLF VNLOOV

PAGE 105

LQ D WLPH VHULHV GHVLJQ ZLWK WHVWLQJV DW WKUHH LQWHUYDOV :LWKLQ WKLV VWXG\ WKH WUDLQLQJ H[SHULHQFH VLJQLILFDQWO\ LQFUHDVHG VWXGHQWV WRWDO VFRUHV IURP WKH EDVH PHDVXUHPHQW WHVWLQJ f WR WKH VHFRQG WHVWLQJ DQG IURP WKH EDVH HDVXUHPHQW WR WKH ILQDO WHVWLQJ WLPH RU HQG RI WKH FRXUVH )XUWKHU DQDO\VLV UHYHDOHG WKDW REVHUYDWLRQDO DQG FRQFHSWXDO VXEWHVWV VFRUHV FRPELQHG WR SURGXFH WKH VLJQLILFDQW GLIIHUHQFHV IURP WLPH WR WLPH DQG FRQFHSWXDO VNLOOV VLJQLILFDQWO\ LQFUHDVHG IURP WLPH WR WLPH 7KH LQWHUHVWLQJ DVSHFW RI WKHVH UHVXOWV ZDV WKH RUGHU RI FKDQJH $SSDUHQWO\ D VLJQLILFDQW JDLQ LQ FRQFHSWXDO VNLOOV EHIRUH WKH JDLQ LQ REVHUYDWLRQDO VNLOOV :HVW HW DO Sf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f RI WKH WUDLQHH LPSDFWV QHHGV DQG H[SHFWDWLRQV RI WUDLQLQJ DQG FKDQJHV RYHU WLPH 1RYLFH OHYHO WUDLQHHV PD\ UHTXLUH GLIIHUHQW VHTXHQFLQJ RI WUDLQLQJ WKDQ SRVWGHJUHH FOLQLFLDQV VWXG\LQJ IDPLO\ WKHUDS\ /HDUQLQJ VW\OH RI WKH WUDLQHH FRXOG DOVR EH D

PAGE 106

IDFWRU LQ GHVLJQLQJ WUDLQLQJ DQG VSHFLILFDOO\ WKH VHTXHQFLQJ RI SDUWLFXODU VNLOOV )RU H[DPSOH D WUDLQHH ZKR H[KLELWV DQ DEVWUDFW YHUVXV FRQFUHWH DSSURDFK WR OHDUQLQJ PD\ KDYH PRUH HDVH LQ OHDUQLQJ FRQFHSWXDO VNLOOV :KHUHDV D WUDLQHH ZKR H[KLELWV DQ DFWLYH DSSURDFK WR OHDUQLQJ YHUVXV D UHIOHFWLYH DSSURDFK PD\ KDYH PRUH HDVH LQ DFTXLULQJ WKHUDSHXWLF VNLOOV LH MRLQLQJ XQEDODQFLQJf 'HWHUPLQLQJ WKH WUDLQHHnV OHDUQLQJ VW\OH FRXOG DOVR EH KHOSIXO LQ GHVLJQLQJ WUDLQLQJ H[SHULHQFHV WKDW PHHW WKH QHHGV RI GLIIHULQJ W\SHV RI OHDUQHUV 7KH LGHD RI FUHDWLQJ WUDLQLQJ H[SHULHQFHV WKDW DUH XQLTXH WR WKH LQGLYLGXDO DQG WKHLU VWDJH RI GHYHORSPHQW LV QRW QHZ WR WKH JHQHUDO ERG\ RI VXSHUYLVLRQ DQG WUDLQLQJ OLWHUDWXUH +DUW 6WROWHQEHUJ f 9DULRXV HGXFDWRUV DGYRFDWH GHVLJQLQJ WUDLQLQJ H[SHULHQFHV WKDW DUH XQLTXH WR WKH LQGLYLGXDO QHHGV DQG JRDOV RI WKH WUDLQHH $VVHVVLQJ WKH OHDUQLQJ VW\OH RI WKH WUDLQHH FRXOG KHOS WKH WUDLQHU GHWHUPLQH VWUHQJWKV DQG ZHDNQHVVHV DQG VXEVHTXHQWO\ GHVLJQ OHDUQLQJ H[SHULHQFHV DFFRUGLQJO\ WR UHPHGLDWH ZHDN DUHDV RU EXLOG RQ VWUHQJWKVf $W WKLV WLPH WKHUH DUH QR UHSRUWHG VWXGLHV LQ WKH DUULDJH DQG IDPLO\ WUDLQLQJ OLWHUDWXUH WKDW DGGUHVV OHDUQLQJ VW\OH RI WKH WUDLQHH +RZHYHU WKH FRQFHSW RI LQGLYLGXDO OHDUQLQJ VW\OH DQG PRWLYDWLRQ SDWWHUQV KDV EHHQ )RU H[DPSOH /DZUHQFH f XVHG WKH 0\HUV %ULJJV 7\SRORJ\ ZKLFK LV EDVHG RQ -XQJnV SV\FKRORJLFDO

PAGE 107

W\SHV DV D JXLGH DQG WKHRUHWLFDO IUDPHZRUN WR GLVFXVV LQVWUXFWLRQDO VWUDWHJLHV 7KH LQGLYLGXDO OHDUQHUnV W\SH DQG SUHIHUUHG SURFHVV HJ VHQVLQJLQWXLWLRQf ZDV XVHG WR FDWHJRUL]H WKHP DQG VXJJHVW LPSOLFDWLRQV IRU LQVWUXFWLRQDO SODQQLQJ GHYHORSPHQWDO QHHGV RI WKH OHDUQHU DQG WHDFKLQJ VW\OH XVHG $QRWKHU WKHRU\ RI OHDUQLQJ IRXQG LQ WKH OHDUQLQJ VW\OH UHVHDUFK OLWHUDWXUH LV .ROEnV 7KHRU\ RI /HDUQLQJ ZKLFK LV EDVHG RQ WKH ZRUNV RI 'HZH\ f /HZLQ f DQG 3LDJHW f 8VLQJ WKLV IUDPHZRUN VHYHUDO VWXGLHV KDYH EHHQ FRQGXFWHG FRQFHUQLQJ OHDUQLQJ VW\OH DQG SHUVRQDOLW\ W\SH 0DUJHULVRQ t /HZLV f OHDUQLQJ VW\OH DQG HGXFDWLRQDO +XGVRQ f OHDUQLQJ VW\OH DQG SURIHVVLRQDO FDUHHU %HQQHWW &KULVWHQVHQ t %XJJ .ROE 3ORYQLFN 6LPV f OHDUQLQJ VW\OH DQG MRE UROH 3ORYQLFN f DQG OHDUQLQJ VW\OH DQG DGDSWLYH FRPSHWHQFLHV .ROE f WKHVH VWXGLHV OHDUQLQJ VW\OHV DUH FRQFHLYHG RI DV D SRVVLELOLW\ SURFHVVLQJ VWUXFWXUHV UHVXOWLQJ IUR XQLTXH LQGLYLGXDO SURJUDPPLQJ RI WKH EDVLF EXW IOH[LEOH VWUXFWXUH RI KXPDQ OHDUQLQJ SRVVLELOLW\ SURFHVVLQJ VWUXFWXUHV DUH EHVW WKRXJKW RI DV DGDSWLYH VWDWHV RU RULHQWDWLRQV WKDW DFKLHYH VWDELOLW\ WKURXJK FRQVLVWHQW SDWWHUV RI WUDQVDFWLRQV ZLWK WKH ZRUOG .ROE S f 7KXV OHDUQLQJ VW\OH LV QRW FRQFHLYHG RI DV D IL[HGnn SHUVRQDOLW\ WUDLW EXW DV IOH[LEOH 7KH IRXU EDVLF OHDUQLQJ VW\OHV EDVHG RQ UHVHDUFK DQG FOLQLFDO REVHUYDWLRQ E\ .ROE f DQG RWKHUV DUH ,Q

PAGE 108

FRQYHUJHQW GLYHUJHQW DVVLPLODWLYH DQG DFFRPPRGDWLYH 7KH FRQYHUJHQW OHDUQLQJ VW\OH LV GHPRQVWUDWHG E\ DEVWUDFW FRQFHSWXDOL]DWLRQ DQG DFWLYH H[SHULPHQWDWLRQ OHDUQLQJ DELOLWLHV 3UREOHP VROYLQJ GHFLVLRQ PDNLQJ DQG SUDFWLFDO DSSOLFDWLRQ RI LGHDV DUH VWUHQJWKV RI LQGLYLGXDOV UHIOHFWLQJ D FRQYHUJHQW OHDUQLQJ VW\OH $ SHUVRQ ZLWK WKLV VW\OH VHHPV WR GR EHVW LQ VLWXDWLRQV OLNH FRQYHQWLRQDO LQWHOOLJHQFH WHVWV ZKHUH WKHUH LV D VLQJOH FRUUHFW DQVZHU RU VROXWLRQ WR TXHVWLRQ RU SUREOHP 7RUUHDOED .ROE f ,Q WKLV OHDUQLQJ VW\OH NQRZOHGJH RUJDQL]HG LQ VXFK D ZD\ WKDW WKURXJK K\SRWKHWLFDO GHGXFWLYH UHDVRQLQJ LW FDQ EH IRFXVHG RQ VSHFLILF SUREOHPV /LDP +XGVRQnV f UHVHDUFK RQ WKRVH ZLWK WKLV VW\OH RI OHDUQLQJ XVLQJ RWKHU WKDW WKH /6,f VKRZV WKDW FRQYHUJHQW SHRSOH DUH FRQWUROOHG LQ WKHLU H[SUHVVLRQ RI HPRWLRQ 7KH\ SUHIHU GHDOLQJ ZLWK WHFKQLFDO WDVNV DQG SUREOHPV UDWKHU WKDQ VRFLDO DQG LQWHUSHUVRQDO .ROE S f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

PAGE 109

7KRVH RULHQWHG WRZDUG GLYHUJHQFH DUH LQWHUHVWHG LQ SHRSOH DQG WHQG WR EH LPDJLQDWLYH DQG IHHOLQJRULHQWHG .ROE S f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f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f 3HRSOH ZLWK DQ DFFRPPRGDWLYH RULHQWDWLRQ WHQG WR VROYH SUREOHPV LQ DQ LQWXLWLYH WULDODQG HUURU PDQQHU *URFKRZ f UHO\LQJ KHDYLO\ RQ RWKHU SHRSOH IRU LQIRUPDWLRQ UDWKHU WKDQ RQ WKHLU RZQ DQDO\WLF DELOLW\ 6WDEHOO f 7KRVH ZLWK DFFRPPRGDWLYH OHDUQLQJ VW\OHV DUH DW HDVH ZLWK SHRSOH EXW DUH VRPHWLPHV VHHQ DV LPSDWLHQW DQG SXVK\ .ROE S f

PAGE 110

7KH .ROE /HDUQLQJ 6W\OHV ,QYHQWRU\ DQG FRQVWUXFW KDYH EHHQ XVHG LQ YDULRXV VWXGLHV FRQFHUQLQJ FRXQVHOLQJ DQG HGXFDWLRQ ,WV DSSOLFDWLRQ LQ WKH DUHD RI FRXQVHOLQJ DQG VXSHUYLVLRQ $EE\ +XQW t :HLVHU f DQG LQ WKH OHDUQLQJ SURFHVV RI HWKLFDO UHDVRQLQJ LQ WKH FRQWH[W RI HGXFDWLRQ IRU FRXQVHORUV DQG SV\FKRORJLVWV 3HOVPD t %RUJHUV f KDV EHHQ GHPRQVWUDWHG )RU H[DPSOH $EE\ HW DO f SURSRVHG WKDW FRXQVHOLQJ LV D FRPSOH[ OHDUQLQJ VLWXDWLRQ WKDW PD\ EH DQDO\]HG IURP WKH VWDQGSRLQW RI DQ OHDUQLQJ PRGHO 7KHLU SHUVSHFWLYH LV EDVHG RQ WKH ZRUN RI 'DYLG .ROE ,W LV SURSRVHG WKDW WKH IRXU PRGHV RI H[SHULHQFH &RQFUHWH ([SHULHQFH &(f 5HIOHFWLYH 2EVHUYDWLRQ 52f $EVWUDFW &RQFHSWXDOL]DWLRQ $&f DQG $FWLYH ([SHULPHQWDWLRQ $(f PXVW EH DFFHVVLEOH WR WKH OHDUQHU FOLHQW RU VWXGHQW FRXQVHORUf IRU RSWLPXP IXQFWLRQLQJ $Q DQDO\VHV RI GLDORJXH IURP D WKHUDS\ VHVVLRQ DQG DQ VXSHUYLVLRQ VHVVLRQ GHPRQVWUDWH WKHLU SRLQW 3HOVPD DQG %RUJHUV f DSSOLHG .ROEnV WKHRU\ WR SURSRVH D PRGHO WKDW H[SODLQV WKH OHDUQLQJ SURFHVV RI HWKLFDO UHDVRQLQJ 7KH OHDUQLQJ SURFHVV .ROE f DQG D GHYHORSPHQWDO VFKHPH RI HWKLFDO UHDVRQLQJ 9DQ +RRVH f ZHUH LQWHJUDWHG ,PSOLFDWLRQV IRU HWKLFV WUDLQLQJ LQ HGXFDWLRQDO SURJUDPV DQG HWKLFDO EHKDYLRU LQ SURIHVVLRQDO )RU H[DPSOH WKH YDOXH RI DQ H[SHULHQFHEDVHG PRGHO OLHV LQ LWV IRFXV RQ WKH KRZ UDWKHU WKDQ WKH ZKDW RI OHDUQLQJ 7KXV SURFHVV LV HPSKDVL]HG

PAGE 111

YHUVXV FRQWHQW ZKLFK LV D EDVLF WHQHW RI PDQ\ PRGHOV RI IDPLO\ WKHUDS\ HJ VWUXFWXUDOVWUDWHJLF VFKRROV RI WKRXJKWf $OWKRXJK .ROEnV FRQVWUXFW DQG LQVWUXPHQW KDYH QRW EHHQ XVHG LQ WHUPV RI PDUULDJH DQG IDPLO\ WKHUDS\ WUDLQLQJ VWXGLHV WR GDWH LWV DSSOLFDWLRQ LV DSSDUHQW ,Q WKH QH[W VHFWLRQ D EULHI RYHUYLHZ RI WKH .ROE ([SHULHQWLDO /HDUQLQJ 7KHRU\ LV SUHVHQWHG .ROEnV H[SHULHQWLDO WKHRU\ RI OHDUQLQJ /HDUQLQJ LV WKH SURFHVV ZKHUHE\ NQRZOHGJH LV FUHDWHG WKURXJK WKH WUDQVIRUPDWLRQ RI H[SHULHQFH .ROE f $FFRUGLQJ WR .ROE f OHDUQLQJ LWVHOI LV D IRXU VWDJH F\FOH 7R DGDSW VXFFHVVIXOO\ WR WKH HQYLURQPHQW WKH OHDUQHU QHHGV IRXU GLIIHUHQW NLQGV RI DELOLWLHV IHHOLQJf UHIOHFWLYH REVHUYDWLRQ ZDWFKLQJf DEVWUDFW FRQFHSWXDOL]DWLRQ WKLQNLQJf DQG DFWLYH H[SHULPHQWDWLRQ GRLQJf .ROE GHULYHG WKLV VHTXHQWLDO PRGHO IURP WKH ZRUN RI .XUW /HZLQ f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

PAGE 112

DJHV DQG DFFXPXODWHV PRUH H[SHULHQFH OHDUQLQJ PRGHV VWLPXODWH PDMRU GLPHQVLRQV RI SHUVRQDO JURZWK 7KH ZD\ OHDUQLQJ VKDSHV WKH FRXUVH RI GHYHORSPHQW FDQ EH GHVFULEHG E\ WKH OHYHO RI LQWHJUDWLYH FRPSOH[LW\ LQ WKH IRXU OHDUQLQJ PRGHVf§DIIHFWLYH FRPSOH[LW\ LQ FRQFUHWH H[SHULHQFH UHVXOWV LQ KLJKHURUGHU VHQWLPHQWV SHUFHSWXDO FRPSOH[LW\ LQ UHIOHFWLYH REVHUYDWLRQ UHVXOWV LQ KLJKHURUGHU REVHUYDWLRQV V\PEROLF FRPSOH[LW\ LQ DEVWUDFW FRQFHSWXDOL]DWLRQ UHVXOWV LQ KLJKHURUGHU FRQFHSWV DQG EHKDYLRUDO FRPSOH[LW\ LQ DFWLYH H[SHULPHQWDWLRQ UHVXOWV LQ KLJKHURUGHU DFWLRQV 7KH PRGHO VLPLODU LQ PDQ\ ZD\V WR RWKHU H[SHULHQWLDO OHDUQLQJ PRGHOV 'HZH\ /HZLQ 3LDJHW f VXJJHVWV WKDW OHDUQLQJ LQYROYHV D WHQVLRQILOOHG DQG FRQIOLFWILOOHG SURFHVV 1HZ NQRZOHGJH VNLOOV RU DWWLWXGHV DUH DFKLHYHG WKURXJK FRQIURQWDWLRQ DPRQJ WKH IRXU RGHV RI OHDUQLQJ ZKLFK DUH FRQVLGHUHG SRODU RSSRVLWHV FRQFUHWH YHUVXV DEVWUDFW UHIOHFWLRQ YHUVXV DFWLRQf 7KH OHDUQHU IDFLQJ D QHZ H[SHULHQFH XVW FRQWLQXDOO\ FKRRVH ZKLFK VHW RI OHDUQLQJ DELOLWLHV WR XVH LQ DQ\ VSHFLILF OHDUQLQJ VLWXDWLRQ 7KH OHDUQHU PRYHV LQ YDU\LQJ GHJUHHV IURP DFWRU WR REVHUYHU DQG IURP DFWLYH LQYROYHPHQW WR JHQHUDO DQDO\WLF GHWDFKPHQW 7KH UHVROXWLRQ RI WKHVH FRQIOLFWV SURGXFHV OHDUQLQJ DQG DGDSWDWLRQ DQG UHVXOWV LQ D KLJKHU RUGHU IXQFWLRQLQJ DQG GHYHORSPHQW LQ WKH FRUUHVSRQGLQJ JURZWK GLPHQVLRQV

PAGE 113

$FFRUGLQJ WR .ROE f WKH GHYHORSPHQW RI HDFK GLPHQVLRQ SURFHHGV IURP D VWDWH RI HPEHGGHGQHVV GHIHQVLYHQHVV GHSHQGHQFH DQG UHDFWLRQ WR D VWDWH RI VHOI DFWXDOL]DWLRQ LQGHSHQGHQFH SURYRFDWLRQ DQG VHOI GLUHFWLRQ S f 7KLV SURFHVV LV PDUNHG E\ LQFUHDVLQJ FRPSOH[LW\ DQG UHODWLYLVP LQ GHDOLQJ ZLWK WKH ZRUOG DQG RQHn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

PAGE 114

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nV XQLOLQHDU DSSURDFKHV HJ 3LDJHWf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

PAGE 115

FKDUDFWHULVWLFV LV HYLGHQW 7KLV VWXG\ H[DPLQHG WKH LQIOXHQFH RI SHUVRQDO FKDUDFWHULVWLFV RI WKH WUDLQHH LH SUHYLRXV WUDLQLQJ DQG ZRUN H[SHULHQFH NQRZOHGJH RI IDPLO\ WKHUDS\ DQG OHDUQLQJ VW\OHf RQ WKH OHDUQLQJ RI PDUULDJH DQG IDPLO\ WKHUDS\ ,PSOLFDWLRQV IRU WKLV W\SH RI UHVHDUFK DUH PDQ\ 1RW RQO\ GRHV WKLV UHSOLFDWH DQG H[WHQG SDVW UHVHDUFK %UHXQOLQ HW DO f EXW LW DGGV WR WKH ERG\ RI PXFK QHHGHG IDPLO\ WKHUDS\ WUDLQLQJ UHVHDUFK $GGLWLRQDOO\ WKH UHVXOWV RI WKLV VWXG\ PD\ DOVR KDYH LPSOLFDWLRQV IRU GHVLJQLQJ DQG GHYHORSLQJ WUDLQLQJ H[SHULHQFHV IRU YDU\LQJ SRSXODWLRQV EHJLQQLQJ WKHUDSLVWVf LQ YDU\LQJ FRQWH[WV XQLYHUVLW\EDVHG SURJUDPVf

PAGE 116

&+$37(5 ,,, 0(7+2'2/2*< 7KH SXUSRVH RI WKLV VWXG\ ZDV WZRIROG )LUVW WKH OHYHOV RI IDPLO\ WKHUDS\ VNLOO DFTXLVLWLRQ RI VWXGHQW WKHUDSLVWV SDUWLFLSDWLQJ LQ WKH LQLWLDO VWDJH RI DFDGHPLF IDPLO\ WKHUDS\ WUDLQLQJ ZHUH H[DPLQHG 6HFRQG WKH LQIOXHQFH RI IRXU W\SHV RI WUDLQHH FKDUDFWHULVWLFV RQ WKH DFTXLVLWLRQ RI WKHVH VNLOOV ZDV DVVHVVHG 7KH IRXU W\SHV RI WUDLQHH FKDUDFWHULVWLFV H[DPLQHG ZHUH Df WKH H[WHQW RI SULRU SURIHVVLRQDO WUDLQLQJ LQ LQGLYLGXDO WKHUDS\ DQG LQ IDPLO\ WKHUDS\ Ef WKH H[WHQW RI SULRU SURIHVVLRQDO ZRUN H[SHULHQFH LQ LQGLYLGXDO WKHUDS\ DQG LQ IDPLO\ WKHUDS\ Ff WKH LQLWLDO OHYHO RI IDPLO\ WKHUDS\ NQRZOHGJH DQG Gf WKH W\SH RI OHDUQLQJ VW\OH SUHIHUUHG ,Q WKLV FKDSWHU WKH PHWKRGRORJ\ XVHG LQ WKH VWXG\ LV 7KH FKDSWHU LQFOXGHV D GHVFULSWLRQ RI WKH UHVHDUFK GHVLJQ WKH SRSXODWLRQ DQG VDPSOH WKH VDPSOLQJ SURFHGXUHV WKH LQVWUXPHQWV XVHG WKH GDWD FROOHFWLRQ SURFHGXUHV DQG WKH GDWD DQDO\VLV SURFHGXUHV 5HVHDUFK 'HVLJQ $ FRUUHODWLRQDO GHVLJQ ZDV XVHG LQ WKLV VWXG\ ,QIRUPDWLRQ RQ IRXU W\SHV RI WUDLQHH YDULDEOHV ZDV XVHG WR SUHGLFW IDPLO\ WKHUDS\ VNLOO DFTXLVLWLRQ E\ VWXGHQW

PAGE 117

WKHUDSLVWV HQUROOHG LQ JUDGXDWHOHYHO LQWURGXFWRU\ IDPLO\ WKHUDS\ FRXUVHV 7UDLQHH YDULDEOHV LQFOXGHG Df H[WHQW RI SUHYLRXV LQGLYLGXDO FRXQVHOLQJ WUDLQLQJ DQG IDPLO\ WKHUDS\ WUDLQLQJ Ef H[WHQW RI FOLQLFDO ZRUN H[SHULHQFH LQ LQGLYLGXDO FRXQVHOLQJ DQG IDPLO\ WKHUDS\ Ff H[WHQW RI SULRU NQRZOHGJH RI IDPLO\ WKHUDS\ DQG Gf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

PAGE 118

SURYLGLQJ LQGLYLGXDO FRXQVHOLQJ DQG IDPLO\ WKHUDS\ 3UHYLRXV ZRUN H[SHULHQFH ZDV DVVHVVHG IURP UHVSRQVHV WR LWHPV IRXQG LQ WKH 7KHUDS\ ([SHULHQFH ,QYHQWRU\ 3ULRU NQRZOHGJH RI IDPLO\ WKHUDS\ UHIHUV WR WKH VWXGHQW WUDLQHHnV LQLWLDO GHJUHH RI NQRZOHGJH RI REVHUYDWLRQDO FRQFHSWXDO DQG WKHUDSHXWLF IDPLO\ WKHUDS\ VNLOOV DV PHDVXUHG E\ WKH )DPLO\ 7KHUDS\ $VVHVVPHQW ([HUFLVH )7$(f %UHXQOLQ HW DO f /HDUQLQJ VW\OH ZDV GHILQHG DV WKH H[WHQW WR ZKLFK DQ LQGLYLGXDO HPSKDVL]HV DEVWUDFWQHVV YHUVXV FRQFUHWHQHVV DQG DFWLRQ YHUVHV UHIOHFWLRQ LQ UHVSRQGLQJ WR WKH ZRUOG 7KH /HDUQLQJ 6W\OHV ,QYHQWRU\ /6,f .ROE f D QLQHLWHP VHOIGHVFULSWLRQ TXHVWLRQQDLUH WKDW PHDVXUHV DQ LQGLYLGXDOnV UHODWLYH HPSKDVLV RQ IRXU OHDUQLQJ PRGDOLWLHV LH &RQFUHWH &(f RU IHHOLQJ 5HIOHFWLYH 2EVHUYDWLRQ 52f RU ZDWFKLQJ $EVWUDFW &RQFHSWXDOL]DWLRQ $&f RU WKLQNLQJ $FWLYH ([SHULPHQWDWLRQ $(f RU GRLQJf ZDV XVHG WR PHDVXUH SUHIHUUHG OHDUQLQJ VW\OH LQ WKLV VWXG\ &ULWHULRQ 9DULDEOHV )RU WKLV VWXG\ WKH FULWHULRQ YDULDEOHV ZHUH WKH REVHUYDWLRQDO SHUFHSWXDO DQG WKHUDSHXWLF IDPLO\ WKHUDS\ VNLOOV RULJLQDOO\ SURSRVHG E\ &OHJKRUQ DQG /HYLQ f DQG ODWHU GHILQHG E\ %UHXQOLQ DQG FROOHDJXHV f 7KH )DPLO\ 7KHUDS\ $VVHVVPHQW 6FDOH )7$(f %UHXQOLQ HW DO f ZDV XVHG WR DVVHVV WKHVH VNLOOV

PAGE 119

2EVHUYDWLRQDO IDPLO\ WKHUDS\ VNLOOV UHIHU WR WKRVH VNLOOV UHTXLUHG WR SHUFHLYH DQG GHVFULEH EHKDYLRUDO LQWHUDFWLRQV ZLWKLQ D IDPLO\ VHVVLRQ %UHXQOLQ HW DO f &RQFHSWXDO IDPLO\ WKHUDS\ VNLOOV UHIHU WR WKRVH VNLOOV WKDW UHODWH WR WKH WKHUDSLVWnV DELOLW\ WR XQGHUVWDQG D WKHRUHWLFDO PRGHO WKDW HQDEOH D WKHUDSLVW WR FODVVLI\ GLVWLQFWLRQV DFFRUGLQJ WR WKDW PRGHO %UHXQOLQ HW DO f 7KHUDSHXWLF IDPLO\ WKHUDS\ VNLOOV UHIHU WR WKH WKHUDSLVWnV DELOLW\ WR DFW LQ IDPLO\ VHVVLRQV LQ ZD\V WKDW DUH FRQVLVWHQW ZLWK JRDOV RI WKH WUDLQLQJ SURJUD %UHXQOLQ HW DO f 3RSXODWLRQ 7KH SRSXODWLRQ RI LQWHUHVW FRQVLVWHG RI JUDGXDWH VWXGHQWV HQUROOHG LQ JUDGXDWHOHYHO LQWURGXFWRU\ FRXUVHV LQ VWUXFWXUDOVWUDWHJLF IDPLO\ WKHUDS\ DV SDUW RI WKHLU DFDGHPLF WUDLQLQJ LQ PDUULDJH DQG IDPLO\ WKHUDS\ 7KH FULWHULD IRU LQFOXVLRQ RI D SURJUDP LQ WKH VWXG\ ZHUH WKDW Df WKH FRXUVH IURP ZKLFK VWXGHQWV ZHUH GUDZQ ZDV FRQVLGHUHG WKH HQWU\ SKDVH RI VWUXFWXUDOVWUDWHJLF PDUULDJH DQG IDPLO\ WKHUDS\ WUDLQLQJ LQ WKH JUDGXDWH SURJUDP Ef WKH FRXUVH IRFXVHG RQ WKHRUHWLFDO FRQFHSWV GUDZQ SUHGRPLQDQWO\ IURP VWUXFWXUDOVWUDWHJLF IDPLO\ WKHUDS\ Ff WKH LQVWUXFWLRQDO IRFXV ZDV RQ OHDUQLQJ KRZ WR DVVHVV IRU WUHDWPHQW SODQQLQJ DQG Gf WKHUDSLVWV

PAGE 120

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f RIIHUHG D PDVWHUn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f DFFUHGLWHG SURJUDPV ORFDWHG PDLQO\

PAGE 121

LQ WKH QRUWKHDVWHUQ DQG VRXWKHDVWHUQ UHJLRQV RI WKH 8QLWHG 6WDWHV DV ZHOO DV HOLJLEOH XQLYHUVLW\ SURJUDPV LQ WKH VWDWH RI )ORULGD *HQHUDO LQIRUPDWLRQ UHJDUGLQJ WKH QDWXUH RI WKH WUDLQLQJ SURJUDP VSHFLILF FRXUVH IRFXV DQG FRQWHQW DQG SRWHQWLDO ZLOOLQJQHVV WR SDUWLFLSDWH LQ WKH VWXG\ ZHUH REWDLQHG IURP WKH SURJUDP FKDLUSHUVRQ E\ WHOHSKRQH LQWHUYLHZ 7KRVH XQLYHUVLW\ SURJUDPV RIIHULQJ DQ LQWURGXFWRU\ IDPLO\ WKHUDS\ FRXUVH WKDW DSSHDUHG WR PHHW WKH FULWHULD SUHYLRXVO\ VSHFLILHG ZHUH WKHQ FRQWDFWHG E\ SKRQH DQG LQIRUPHG DV WR WKH QDWXUH RI WKH VWXG\ 7KRVH LQVWUXFWRUV H[SUHVVLQJ DQ LQWHUHVW LQ SDUWLFLSDWLQJ LQ WKH VWXG\ ZHUH VHQW D OHWWHU H[SODLQLQJ WKH QDWXUH RI WKH VWXG\ $SSHQGL[ $f D TXHVWLRQQDLUH DVVHVVLQJ WKH VSHFLILF QDWXUH RI WKHLU LQLWLDO FRXUVH FRQWHQW $SSHQGL[ %f DV ZHOO DV D UHTXHVW IRU WKH FRXUVH V\OODEXV 7KLV TXHVWLRQQDLUH UHTXHVWHG LQIRUPDWLRQ RQ WKH UHTXLUHG FRXUVH JRDOV DQG REMHFWLYHV LQVWUXFWLRQDO DFWLYLWLHV HWKRGV DQG UHDGLQJV WR GHWHUPLQH ZKHWKHU WKH FRXUVH H[SHULHQFHV PHW WKH WUDLQLQJ FULWHULD VSHFLILHG VHH $SSHQGL[ %f LQVWUXFWLRQDO FRQWHQWV DQG PHWKRGV ZHUH DOVR YHULILHG LH WKH HPSKDVLV RQ V\VWHPV RULHQWHG SDWWHUQV RI FRQFHSWXDOL]DWLRQ DVVHVVPHQW DQG WKHUDS\ SUDFWLFH D UHYLHZ RI V\VWHPLF DQG IDPLO\ GHYHORSPHQWDO FRQFHSWV WKH GHVFULSWLRQ RI DVVHVVPHQW LQWHUYLHZ VNLOOV DQG VWXGHQW SDUWLFLSDWLRQ LQ UROH SOD\LQJ RI DQ LQLWLDO DVVHVVPHQW LQWHUYLHZVf E\ H[DPLQLQJ WKH FRXUVH V\OODEXV

PAGE 122

7KLV SURFHGXUH UHVXOWHG LQ VHYHQ WUDLQLQJ SURJUDPV EHLQJ VHOHFWHG WKDW PHW WKH JHQHUDO UHTXLUHPHQWV IRU SDUWLFLSDWLRQ LQ WKH VWXG\ 7KHVH SURJUDPV ZHUH ORFDWHG DW 3XUGXH 8QLYHUVLW\ 6W 7KRPDV 8QLYHUVLW\ 6RXWKHUQ &RQQHFWLFXW 6WDWH 8QLYHUVLW\ 6WHWVRQ 8QLYHUVLW\ 6\UDFXVH 8QLYHUVLW\ WKH 8QLYHUVLW\ RI )ORULGD DQG WKH 8QLYHUVLW\ RI *HRUJLD 6WXGHQWV HQUROOHG LQ WKHVH VHYHQ GLIIHUHQW FRXUVH H[SHULHQFHV ZHUH LQYLWHG E\ WKHLU LQVWUXFWRUV WR LQ WKH VWXG\ E\ PHDQV RI WKH IROORZLQJ DQQRXQFHPHQW $SSHQGL[ $f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

PAGE 123

$OO LQIRUPDWLRQ NHSW VWULFWO\ FRQILGHQWLDO WKDW \RX PD\ KDYH FRQFHUQLQJ WKH SURMHFW 6DPSOH TXHVWLRQV 7KH UHVXOWLQJ VDPSOH FRQVLVWHG RI D WRWDO RI VWXGHQWV GUDZQ IURP WKHP ILYH GLIIHUHQW WUDLQLQJ SURJUDPV 2QH RI WKH VHYHQ RULJLQDO VFKRROV ZDV RPPLWWHG IURP WKH VDPSOH GXH WR LQFRPSOHWH GDWD VHWV $V FDQ EH VHHQ LQ 7DEOH b f RI WKH VDPSOH ZHUH GUDZQ IURP VWXGHQWV LQ 6FKRRO b f IURP 6FKRRO b f IURP 6FKRRO b f IURP 6FKRRO DQG b f IURP 6FKRRO ,Q WKLV VDPSOH VXEMHFWV UDQJHG LQ DJH IURP WR \HDUV RI DJH $SSUR[LPDWHO\ b f ZHUH EHWZHHQ WKH DJHV RI WR b f ZHUH EHWZHHQ WKH DJHV RI WR b f ZHUH EHWZHHQ WKH DJHV RI WR b f ZHUH EHWZHHQ WKH DJHV RI WR DQG b f GLG QRW OLVW WKHLU DJH ,Q WHUPV RI HWKQLFLW\ b f RI WKH VWXGHQWV LGHQWLILHG WKHPVHOYHV DV &DXFDVLDQ b f ZHUH %ODFN b f ZHUH +LVSDQLF b f ZHUH $VLDQ DQG b f GLG QRW UHVSRQG WR WKLV TXHVWLRQ 2I WKH VWXGHQWV b f ZHUH IHPDOH DQG b f ZHUH PDOH $V WR PDULWDO VWDWXV b f RI WKH VWXGHQWV ZHUH QHYHU PDUULHG b f ZHUH PDUULHG IRU WKH ILUVW WLPH b f ZHUH GLYRUFHG b f ZHUH UHPDUULHG b f ZDV VHSDUDWHG DQG b f OLVWHG RWKHU FRKDELWDWLQJf 2I WKH VDPSOH b f KDG FKLOGUHQ ZLWK b f UHSRUWLQJ QR FKLOGUHQ

PAGE 124

7DEOH )UHTXHQF\ 'LVWULEXWLRQV RI 'HVFULSWLYH 9DULDEOHV IRU WKH RDUDRKLFV 1 f 1XPEHU 3HUFHQW 3URJUDP 6FKRRO 6FKRRO 6FKRRO 6FKRRO 6FKRRO $JH 1RW *LYHQ *HQGHU 0DOH )HPDOH (WKQLFLWY &DXFDVLDQ %ODFN +LVSDQLF $VLDQ 1R 5HVSRQVH 0DULWDO 6WDWXV 1HYHU 0DUULHG )LUVW 0DUULDJH 'LYRUFHG 6HSDUDWHG 5HPDUULHG 2WKHU &RKDELWDWLQJf &KLOGUHQ &KLOGUHQ 1R &KLOGUHQ

PAGE 125

,Q WHUPV RI HGXFDWLRQDO EDFNJURXQG LQIRUPDWLRQ ZDV FROOHFWHG RQ SUHYLRXV HGXFDWLRQDO H[SHULHQFHV DQG $OO SDUWLFLSDWLQJ VWXGHQWV KDG HDUQHG D EDFKHORUnV GHJUHH ZLWK b f HDUQLQJ D PDVWHUnV GHJUHH DQG b f OLVWHG RWKHU GHJUHH LH (G6 3V\' 3K' RWKHUf &RQFHUQLQJ ILHOG RI VWXG\ IRU KLJKHVW GHJUHH HDUQHG b f HDUQHG D JHQHUDO SV\FKRORJ\ GHJUHH b f OLVWHG FRXQVHORU HGXFDWLRQ b f OLVWHG VFKRRO SV\FKRORJ\ b f OLVWHG UHKDELOLWDWLRQ FRXQVHOLQJ DQG b f OLVWHG RWKHU ILHOG :LWK UHJDUG WR FXUUHQW GHJUHH VHHNLQJ VWDWXV b f ZHUH VHHNLQJ D GHJUHH DW WKH SUHVHQW WLPH ZLWK b f LQ WKH PDWULFXODWLRQ SURFHVV 2I WKH b DFWLYHO\ VHHNLQJ D GHJUHH b f ZHUH LQ FRXQVHORU HGXFDWLRQ b f OLVWHG PDUULDJH DQG IDPLO\ WKHUDS\ b f OLVWHG SV\FKRORJ\ DQG b f OLVWHG RWKHU 2I WKH VDPSOH b f ZHUH LQ WKHLU ILUVW \HDU RI VWXG\ b f LQ WKH VHFRQG \HDU b f LQ WKH WKLUG \HDU b f LQ WKH IRXUWK \HDU DQG b f LQ WKH SURFHVV RI PDWULFXODWLRQ

PAGE 126

7DEOH )UHTXHQF\ 'LVWULEXWLRQ RI 'HVFULSWLYH 9DULDEOHV RI WKH (GXFDWLRQDO %DFNJURXQG 1 f 1XPEHU 3HUFHQW +LDKHVW 'HDUHH (DUQHG %DFKHORUnV 0DVWHUnV (G6 3V\' 3K' 2WKHU )LHOG RI 6WXG\ IRU +LJKHVW 'HJUHH (DUQHG *HQHUDO 3V\FK &RXQVHORU (GXFDWLRQ 6FKRRO 3V\FK &RXQVHOLQJ 3V\FK 5HKDELOLWDWLRQ &RXQVHOLQJ 2WKHU ILHOGV 'HJUHH 6HHNLQJ &XUUHQWO\ VHHNLQJ D GHJUHH ,Q SURFHVV RI PDWULFXODWLRQ 'HJUHH &XUUHQWO\ 6HHNLQJ &RXQVHORU (GXFDWLRQ 0DUULDJH DQG )DPLO\ 7KHUDS\ 3V\FKRORJ\ 2WKHU 'HJUHH 3URJUDP HJ )DPLO\ 6WXGLHVf ,Q SURFHVV RI DSSO\LQJ WR GHJUHH SURJUDP
PAGE 127

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f WKH DPRXQW RI KRXUV RI FRXUVHZRUN DQG Ef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

PAGE 128

PDUULDJH DQG IDPLO\ WKHUDS\ ZDV DVVHVVHG E\ IROORZLQJ WKH VDPH SURFHGXUH &RQVHTXHQWO\ D WRWDO RI WZR VFRUHV ZHUH FDOFXODWHG IRU HDFK VXEMHFW LQ ERWK DUHDV LH LQGLYLGXDO FRXQVHOLQJ DQG IDPLO\ WKHUDS\f ,QIRUPDWLRQ ZDV DOVR FROOHFWHG WR GHWHUPLQH LI VWXGHQWV ZHUH LQYROYHG LQ DQ\ RWKHU WUDLQLQJ H[SHULHQFHV LQ PDUULDJH DQG IDPLO\ WKHUDS\ GXULQJ WKH WLPH RI WKH VSHFLILHG WUDLQLQJ H[SHULHQFH 7KH QXPEHU RI FRXUVHV DQG VXSHUYLVLRQ KRXUV REWDLQHG LQ PDUULDJH DQG IDPLO\ WKHUDS\ ZDV FDOFXODWHG IRU HDFK VXEMHFW DW WKH SRVWWHVW 3ULRU ZRUN H[SHULHQFH 3ULRU ZRUN H[SHULHQFH LQ ERWK Df LQGLYLGXDO FRXQVHOLQJ DQG SV\FKRWKHUDS\ DQG Ef PDUULDJH DQG IDPLO\ WKHUDS\ FRPSULVHG WKLV FRPSRQHQW :RUN H[SHULHQFH LQ LQGLYLGXDO FRXQVHOLQJ DQG SV\FKRWKHUDS\ FRQVLVWHG RI WKH QXPEHU RI \HDUV LQ TXDUWHU \HDU LQFUHPHQWVf RI GLUHFW H[SHULHQFH LQ WKH SUDFWLFH RI LQGLYLGXDOO\ RULHQWHG WKHUDS\ :RUN H[SHULHQFH LQ PDUULDJH DQG IDPLO\ WKHUDS\ ZDV DVVHVVHG E\ WKH VDPH SURFHGXUH 7KH )DPLO\ 7KHUDS\ $VVHVVPHQW ([HUFLVH 7KH )DPLO\ 7KHUDS\ $VVHVVPHQW ([HUFLVH ZDV XVHG WR DVVHVV WKH OHYHO RI WUDLQHH VNLOOV DW DQG SRVWWHVWLQJ 7KUHH VNLOO DUHDV ZHUH H[DPLQHG REVHUYDWLRQDO FRQFHSWXDO DQG WKHUDSHXWLF 7KH )DPLO\ 7KHUDS\ $VVHVVPHQW ([HUFLVH ZDV GHYHORSHG E\ %UHXQOLQ 6FKZDUW] .UDXVH DQG 6HOOH\ f IRU WKH SXUSRVH RI DVVHVVLQJ WKH OHYHO RI REVHUYDWLRQDO FRQFHSWXDO DQG

PAGE 129

WKHUDSHXWLF VNLOOV RI WUDLQHHV LQYROYHG LQ VWUXFWXUDO VWUDWHJLF IDPLO\ WKHUDS\ WUDLQLQJ SURJUDP 7KH LQVWUXPHQW FRQVLVWV RI D YLGHRWDSH RI D IDPLO\ WKHUDS\ VHVVLRQ DQG D VHULHV RI PXOWLSOH FKRLFH TXHVWLRQV DERXW WKH YLGHRWDSH 7KLV LQVWUXPHQW ZDV GHVLJQHG WR DVVHVV WKH DFTXLVLWLRQ RI VNLOOV ZLWKLQ WKH VWUXFWXUDOVWUDWHJLF PRGHO RI IDPLO\ WKHUDS\ 7KLV PRGHO LV D V\VWHPLF LQWHJUDWLRQ RI WKH VWUXFWXUDO IDPLO\ WKHUDS\ RI 0LQXFKLQ DQG KLV FROOHDJXHV 0LQXFKLQ 0LQXFKLQ t )LVKPDQ 0LQXFKLQ 5RVPDQ t %DNHU f WKH SUREOHP VROYLQJ DQG VWUDWHJLF WKHUDS\ RI +DOH\ DQG 0DGDQHV +DOH\ 0DGDQHV f 05, :DW]ODZLFN :HDNODQG t )LVFK f DQG WKH $FNHUPDQ %ULHI 7KHUDS\ +RIIPDQ 3DSS f 7KH NQRZOHGJH VXEVXPHG XQGHU WKLV PRGHO KDV EHHQ FODVVLILHG DQG RSHUDWLRQDOL]HG LQ WHUPV RI WKUHH VHWV RI LQWHUUHODWHG VNLOOV REVHUYDWLRQDO FRQFHSWXDO DQG WKHUDSHXWLF &OHJKRUQ t /HYLQ 7RPP t :ULJKW )DOLFRY &RQVWDQWLQH t %UHXQOLQ f 2EVHUYDWLRQDO VNLOOV ZHUH WKRVH UHTXLUHG WR SHUFHLYH DQG GHVFULEH EHKDYLRUDO LQWHUDFWLRQV ZLWKLQ D VHVVLRQ &RQFHSWXDO VNLOOV ZHUH WKRVH LQKHUHQW LQ D WKHRUHWLFDO XQGHUVWDQGLQJ RI D PRGHO WKDW LQ WKLV FDVH UHIHUV WR WKH VWUXFWXUDO PRGHO 7KHUDSHXWLF VNLOOV ZHUH WKRVH QHFHVVDU\ WR H[HFXWH LQWHUYHQWLRQV VNLOOIXOO\ ZLWKLQ WKH VHVVLRQ DFFRUGLQJ WR WKH VWUXFWXUDOVWUDWHJLF PRGHO 7KH )7$(

PAGE 130

PHDVXUHG WKH WKHUDSLVWn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nV DFWXDO WKHUDSHXWLF VNLOOV 6RPH TXHVWLRQV DVN UHVSRQGHQWV WR LGHQWLI\ DQG HYDOXDWH WKH WKHUDSLVWnV EHKDYLRU RQ WKH YLGHRWDSH RWKHUV DVN WKHP WR VHOHFW D UHVSRQVH WKDW LV FORVHVW WR ZKDW WKH\ PLJKW GR QH[W LI WKH\ ZHUH WKH WKHUDSLVW RQ WKH WDSH 7KH YLGHRWDSH GHPRQVWUDWHG D VLPXODWHG IDPLO\ WKHUDS\ LQWHUYLHZ 7KH WKHUDSLVW ZDV SUHVHQWHG DV D GRFWRU ZKR KDV VHHQ WKH IDPLO\ EHIRUH DQG KDV EHHQ FDOOHG LQ DERXW WKH FKLOGnV EHGZHWWLQJ SUREOH 7KH IDPLO\ FRQVLVWHG RI D RWKHU IDWKHU \HDUROG VRQ DQG \HDUROG GDXJKWHU $V WKH WDSH EHJLQV WKH FKLOGUHQ DUH SOD\LQJ ZLWK WR\V :KHQ WKH GRFWRU HQWHUV WKH URRP WKH PRWKHU DWWHPSWV WR JHW WKH FKLOGUHQ WR SXW WKH WR\V DZD\ 7KH\ GR QRW OLVWHQ WR KHU 7KH IDWKHU LQWHUYHQHV E\ \HOOLQJ DW WKH FKLOGUHQ DQG WKH\ SXW WKH WR\V DZD\ 7KH LQWHUYLHZ FRQWLQXHV IRU DSSUR[LPDWHO\ RQH KRXU 7KH WDSH ZDV VWRSSHG

PAGE 131

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f 7KH RULJLQDO LQVWUXPHQW FRQVLVWHG RI D YLGHRWDSH RI DQ HQDFWHG IDPLO\nV ILUVW VHVVLRQ DQG D VHULHV RI PXOWLSOH FKRLFH TXHVWLRQV UHJDUGLQJ WKH VXEMHFWn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

PAGE 132

REVHUYDWLRQDO SHUFHSWXDOf RU WHFKQLFDO H[HFXWLYHf VNLOOV IRU HLWKHU JURXS %UHXQOLQ HW DO f VXJJHVWHG WKDW WKH LQVWUXPHQW PD\ QRW KDYH EHHQ VHQVLWLYH HQRXJK WR GHWHFW D FKDQJH LQ VNLOO OHYHO 7KH )7$( KDV VLQFH EHHQ UHYLVHG 7KH ILIWK UHILQHPHQW LV FXUUHQWO\ EHLQJ XVHG LQ UHVHDUFK VWXGLHV 7KH FXUUHQW YHUVLRQ LV D SURFHGXUH LQ ZKLFK VXEMHFWV ZDWFK D VLPXODWHG IDPLO\ WKHUDS\ LQWHUYLHZ RQ YLGHRWDSH DQG DQVZHU WKH TXHVWLRQV RI D LWHP PXOWLSOHFKRLFH IRUPDW WHVW $OWKRXJK %UHXQOLQ HW DO f UHSRUWHG VRPH GLIILFXOW\ ZLWK WKH GLVFULPLQDQW YDOLGLW\ RI WKH REVHUYDWLRQDO VFDOH WKHUH LV DFFXPXODWLQJ HYLGHQFH WKDW ERWK WKH FRQFHSWXDO DQG WKHUDSHXWLF VFDOHV RI WKH FXUUHQW YHUVLRQ RI WKH )DPLO\ 7KHUDS\ $VVHVVPHQW ([HUFLVH )7$(f GLVFULPLQDWH ZHOO DV GRHV WKH WRWDO VFRUH +HUQDQGH] 3XOOH\EODQN t 6KDSLUR :HVW +RVLH t =DUVNL f )RU H[DPSOH +HUQDQGH] f DVVHVVHG WKH GLVFULPLQDQW YDOLGLW\ RI WKH )7$( XVLQJ D VDPSOH RI SHUVRQV ZKR ZHUH HLWKHU QRYLFH PLGUDQJH RU IDPLO\ WKHUDSLVWV 6XEMHFWV ZHUH GUDZQ IURP VHYHQ IDPLO\ WKHUDS\ WUDLQLQJ SURJUDPV LQ ,OOLQRLV DQG ,QGLDQD DQG UDQJHG IURP ILUVW \HDU JUDGXDWH VWXGHQWV WR $$0)7 DSSURYHG 7KUHH DQG VL[ZHHN WHVWUHWHVW UHOLDELOLWLHV IRU WKH )7$( RYHUDOO VFRUH ZHUH DQG UHVSHFWLYHO\ +HUQDQGH] f UHSRUWHG WKDW WKH WRWDO VFRUH FRQFHSWXDO

PAGE 133

VFRUH DQG WKH WKHUDSHXWLF H[HFXWLYHf VFRUH GLVFULPLQDWHG ZHOO EHWZHHQ QRYLFH DQG H[SHULHQFHG ,Q DQRWKHU VWXG\ 3XOOH\EODQN DQG 6KDSLUR f XVHG WKH )7$( WR HYDOXDWH D VWUXFWXUDO IDPLO\ WKHUDS\ WUDLQLQJ SURJUDP DQG IRXQG WKDW DOO WKH VFRUHV RI WKH )7$( GLIIHUHQWLDWHG EHWZHHQ WUDLQHHV LQ D VWUXFWXUDO IDPLO\ WKHUDS\ WUDLQLQJ SURJUDP DQG D FRPSDULVRQ JURXS +RZHYHU JHQHUDOL]DELOLW\ RI WKH VWXG\ ZDV OLPLWHG GXH WR WKH VPDOO VDPSOH VL]H RI QLQH :HVW HW DO f H[DPLQHG VWXGHQWV HQUROOHG LQ D JUDGXDWH OHYHO FRXUVH LQ IDPLO\ WKHUDS\ ZKR SUDFWLFHG LQWHUYLHZLQJ VLPXODWHG IDPLOLHV RYHU D SHULRG RI ? PRQWKV RQH VHPHVWHUf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

PAGE 134

REVHUYDWLRQDO DQG FRQFHSWXDO VNLOOV +RZHYHU WKH VWXG\ GRHV OHQG VXSSRUW WR WKH YDOLGLW\ RI WKH )7$( DQG VXJJHVWV WKH XVH RI VLPXODWLRQ IRU VNLOO GHYHORSPHQW RI REVHUYDWLRQDO DQG FRQFHSWXDO VNLOOV .ROE /HDUQLQJ 6W\OH ,QYHQWRU\ 7KH .ROE /HDUQLQJ 6W\OH ,QYHQWRU\ /6,f ZDV XVHG WR DVVHVV WKH OHDUQLQJ VW\OH RI WKH WUDLQHH )RXU VW\OHV ZHUH DVVHVVHG E\ WKLV LQVWUXPHQW 7KH .ROE /HDUQLQJ 6W\OH ,QYHQWRU\ LV D QLQHLWHP VHOIGHVFULSWLRQ TXHVWLRQQDLUH ,Q HDFK LWHP WKH UHVSRQGHQW LV DVNHG WR UDQN RUGHU IRXU ZRUGV WKDW EHVW GHVFULEHV KLV RU KHU OHDUQLQJ VW\OH 2QH ZRUG LQ HDFK LWHP FRUUHVSRQGV WR RQH RI IRXU OHDUQLQJ PRGHV GHVFULEHG E\ .ROE f &(f RGH VDPSOH ZRUGIHHOLQJf WKH 5HIOHFWLYH 2EVHUYDWLRQ 52f PRGH HJ ZDWFKLQJf WKH $EVWUDFW &RQFHSWXDOL]DWLRQ $&f PRGH HJ WKLQNLQJf DQG WKH $FWLYH ([SHULPHQWDWLRQ $(f PRGH HJ GRLQJf 7KH /6, ZDV GHVLJQHG WR PHDVXUH D SHUVRQnV UHSRUW RI WKH UHODWLYH HPSKDVLV WKH\ JLYH WR XVLQJ HDFK RI WKH IRXU PRGHV RI OHDUQLQJ GHSLFWHG 7KXV HDFK SHUVRQnV OHDUQLQJ VW\OH LV D FRPELQDWLRQ RI WKH IRXU EDVLF OHDUQLQJ PRGHV \HW LV D VLQJOH GDWD SRLQW WKDW FRPELQHV VFRUHV RQ WKH IRXU EDVLF PRGHV WR GHVFULEH DQ LQGLYLGXDOnV OHDUQLQJ VW\OH &RPSXWDWLRQ RI WKLV OHDUQLQJ VFRUH ZDV DFFRPSOLVKHG E\ FRPSXWLQJ WZR FRPELQDWLRQ VFRUHV WKDW LQGLFDWH WKH H[WHQW WR ZKLFK WKH SHUVRQ HPSKDVL]HG DEVWUDFWLRQV RYHU FRQFUHWHQHVV $&&(f DQG WKH H[WHQW WR

PAGE 135

ZKLFK WKH SHUVRQ HPSKDVL]HG DFWLRQ RYHU UHIOHFWLRQ $(52f 7KHVH WZR FRPELQDWLRQ VFRUHV $&&( DQG $(52 ZHUH WKHQ SORWWHG ZLWK WKHLU SRLQW RI LQWHUFHSWLRQ IDOOLQJ LQWR RQH RI IRXU GRPLQDQW OHDUQLQJ VW\OH JXDGUDQWV $FFRPPRGDWRU 'LYHUJHU &RQYHUJHU RU $VVLPLODWRU ,Q WKH VWXG\ WKH WZR FRPELQDWLRQ VFRUHV ZHUH XVHG IRU WKH DQDO\VHV WKXV WZR FRQWLQXRXV YDULDEOHV ZHUH H[DPLQHG 7KH LQWHUDFWLRQ RI WKH WZR FRPELQDWLRQ VFRUHV $&&(f DQG $(52f ZHUH DOVR H[DPLQHG 1RUPV IRU VFRUHV RQ WKH /6, ZHUH GHYHORSHG IURP VDPSOHV RI PHQ DQG ZRPHQ UDQJLQJ LQ DJH IURP WR DQG UHSUHVHQWLQJ D ZLGH YDULHW\ RI RFFXSDWLRQV 7KHVH QRUPV DORQJ ZLWK UHOLDELOLW\ DQG YDOLGLW\ IRU WKH /6, ZHUH UHSRUWHG LQ GHWDLO E\ .ROE f .ROE f HPSKDVL]HG WKDW WKLV ZDV QRW D PHDVXUH RI D VWDEOH SV\FKRORJLFDO WUDLW EXW D FRQVWUXFW WKDW ZDV WKHRUHWLFDOO\ FRQFHLYHG RI DV D VLWXDWLRQDO YDULDEOH 7HVWUHWHVW FRHIILFLHQWV ZHUH KLJKHVW ZKHQ WKH WHVWUHWHVW WLPH SHULRG ZDV VKRUW DQG WKH H[SHULHQFH LQ WHVWUHWHVW ZDV KLJKO\ VLPLODU WR WKH SUHYLRXV H[SHULHQFH LH ZKHQ WKHUH LV QR JUHDW FKDQJH LQ VLWXDWLRQDO FLUFXPVWDQFHVf 6SOLWKDOI UHOLDELOLW\ FRHIILFLHQWV IRU WKH WZR FRPELQDWLRQ VFRUHV RI $&&( DQG $(52 ZHUH XQGHU WKH SUHYLRXVO\ VWDWHG FLUFXPVWDQFHV KRZHYHU DYHUDJH XQGHU D ZLGH YDULHW\ RI FLUFXPVWDQFHV WLPH SHULRG DQG VLWXDWLRQDO FLUFXPVWDQFHVf

PAGE 136

6SOLWKDOI UHOLDELOLWLHV IRU WKH /6, FRPELQDWLRQ VFRUHV RI $&&( DQG $(52 ZHUH .ROE f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f IROORZHG E\ WKH 7KHUDS\ ([SHULHQFH ,QYHQWRU\ LH GHPRJUDSKLF TXHVWLRQV SULRU OHYHO RI WUDLQLQJ ZRUN H[SHULHQFH VXSHUYLVLRQ HWFf $SSHQGL[ 'f 1H[W VXEMHFWV FRPSOHWHG WKH .ROE /HDUQLQJ 6W\OHV ,QYHQWRU\ ,QVWUXFWLRQV IRU FRPSOHWLQJ WKH LQYHQWRU\ ZHUH SULQWHG RQ WKH LQYHQWRU\ LWVHOI WKXV

PAGE 137

VXEMHFWV ZHUH DVNHG WR UHDG WKH LQVWUXFWLRQV DQG FRPSOHWH WKH LQYHQWRU\ $SSHQGL[ (f 8SRQ FRPSOHWLRQ RI WKLV VXEMHFWV ZHUH DGPLQLVWHUHG WKH )DPLO\ 7KHUDS\ $VVHVVPHQW ([HUFLVH )7$(f $OO VXEMHFWV ZHUH JLYHQ WKH LQVWUXFWLRQV DV SHU WKH )7$( LQVWUXPHQW $SSHQGL[ )f %DVLFDOO\ VXEMHFWV ZHUH VKRZQ D YLGHRWDSHG LQWHUYLHZ RI D IDPLO\ WKHUDS\ VHVVLRQ DQG LQVWUXFWHG WR DQVZHU TXHVWLRQV DERXW WKLV LQWHUYLHZ XVLQJ WKH )7$( TXHVWLRQQDLUH 3RVWWHVWLQJ 7KH 7KHUDS\ ([SHULHQFH ,QYHQWRU\ DQG WKH )DPLO\ 7KHUDS\ $VVHVVPHQW ([HUFLVH )7$(f ZHUH DGPLQLVWHUHG D VHFRQG WLPH WR DOO 6HH $SSHQGLFHV & DQG (f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

PAGE 138

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

PAGE 139

JUHDWHU WKH DPRXQW RI FKDQJH IURP WR SRVWWHVWLQJ LQ VWXGHQWn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

PAGE 140

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f ZDV SHUIRUPHG WR DVVHVV ZKHWKHU WKH VXEMHFWV IURP HDFK RI WKH SDUWLFLSDWLQJ WUDLQLQJ SURJUDPV GLIIHUHG VLJQLILFDQWO\ LQ WKHLU VNLOO DFTXLVLWLRQ IURP SUHWHVWLQJ WR SRVWWHVWLQJ 7KH SXUSRVH RI WKH DQDO\VHV RI FRYDULDQFH $1&29$f ZDV WR HVWDEOLVK HTXLYDOHQF\ DPRQJ SURJUDPV DQG SURJUDPV HIIHFWV ,Q WKLV ZD\ WKH SURJUDP FRPSRQHQW FRXOG EH FRQVLGHUHG DV RQH FRQVWUXFW $Q $1&29$ ZDV XVHG WR DQDO\]H WKH )DPLO\

PAGE 141

7KHUDS\ $VVHVVPHQW ([HUFLVH )7$(f SUHWHVW DQG SRVWWHVW VFRUHV RI VWXGHQWV IURP HDFK RI WKH VL[ SDUWLFLSDWLQJ VFKRROV VHH 7DEOH f 5HVXOWV RI WKLV DQDO\VLV UHYHDOHG D VLJQLILFDQW GLIIHUHQFH E\ VFKRRO ) S f 'XQQnV WHVW RI WKH DGMXVWHG SRVWWHVW PHDQV UHYHDOHG WKDW RQH VFKRRO GLIIHUHG VLJQLILFDQWO\ IURP WKH RWKHU ILYH 7KLV VFKRRO ZDV GHOHWHG IURP WKH ILQDO VDPSOH DQG D VHFRQG $1&29$ ZDV FRQGXFWHG RQ VWXGHQW VFRUHV IRU WKH UHPDLQLQJ ILYH VFKRROV DV FDQ EH VHHQ LQ 7DEOH 5HVXOWV IURP WKLV VHFRQG DQDO\VLV UHYHDOHG QR VLJQLILFDQW GLIIHUHQFHV DPRQJ VFKRROV ) S f 7DEOH $QDO\VLV RI &RYDULDQFH RI 6WXGHQW )7$( 6FRUHV EY 6FKRRO IRU 6L[ 3DUWLFLSDWLQJ 6FKRROV 6RXUFH 66 GI 06 ) 3 35( 6FKRRO (UURU 7RWDO 'HVFULSWLYH 6WDWLVWLFV ,Q WKH ILUVW UHVHDUFK TXHVWLRQ KRZ EHJLQQLQJ IDPLO\ WKHUDS\ VWXGHQWV FRXOG EH GHVFULEHG LQ WHUPV RI Df WKHLU DJH Ef H[WHQW RI SUHYLRXV WUDLQLQJ LH FRXUVHZRUN DQG

PAGE 142

FOLQLFDO VXSHUYLVLRQf Ff H[WHQW RI ZRUN H[SHULHQFH Gf H[WHQW RI SULRU IDPLO\ WKHUDS\ NQRZOHGJH DQG Hf W\SH RI OHDUQLQJ VW\OH SUHIHUUHG ZDV DGGUHVVHG 0HDQV DQG VWDQGDUG GHYLDWLRQV ZHUH FRPSXWHG IRU WKHVH YDULDEOHV DQG DUH SUHVHQWHG LQ 7DEOH ,Q DGGLWLRQ IUHTXHQF\ GLVWULEXWLRQV ZHUH FRPSXWHG IRU HDFK RI WKH YDULDEOHV ZLWK WKH H[FHSWLRQ RI WKH YDULDEOH H[WHQW RI SULRU IDPLO\ WKHUDS\ NQRZOHGJH 7DEOH $QDO\VLV RI &RYDULDQFH RI 6WXGHQW )7$( 6FRUHV E\ 6FKRRO IRU )LYH 3DUWLFLSDWLQJ 6FKRROV 6RXUFH 66 GI 06 ) 3 35( 6FKRRO (UURU 7RWDO $V FDQ EH QRWHG WKH VWXGHQWV UHSRUWHG DQ DYHUDJH DJH RI 6' f ZLWK D SRVVLEOH UDQJH RI \HDUV )RUW\HLJKW SHUFHQW f ZHUH EHWZHHQ WKH DJHV RI WR b ZHUH EHWZHHQ WKH DJHV RI WR b f ZHUH EHWZHHQ WKH DJH RI WR b ZHUH EHWZHHQ WKH DJHV RI WR DQG b f GLG QRW OLVW WKHLU DJH 7DEOH f ,Q WHUPV RI SULRU WUDLQLQJ LQ LQGLYLGXDO FRXQVHOLQJ DQG PDUULDJH DQG IDPLO\ WKHUDS\ ERWK QXPEHU RI FRXUVHV DQG VXSHUYLVLRQ KRXUV ZHUH DVVHVVHG WR GHWHUPLQH WKH H[WHQW RI

PAGE 143

SULRU WUDLQLQJ LQ HDFK DUHD 7KH DYHUDJH QXPEHU RI FRXUVHV LQ LQGLYLGXDOO\ RULHQWHG FRXQVHOLQJ SV\FKRWKHUDS\ IRU HDFK WUDLQHH ZDV 6' f ZLWK D UDQJH RI FRXUVHV 7DEOH f 7DEOH 0HDQV DQG 6WDQGDUG 'HYLDWLRQV RI 7UDLQHH &KDUDFWHULVWLFV 1 f 9DULDEOH 0HDQ 6' $JH &RXUVHV ,QGLYLGXDO &RXQVHOLQJf 0) &RXUVHV 6XSHUYLVLRQ +RXUV ,QGLYLGXDOf 6XSHUYLVLRQ +RXUV 0)7f ,QGLYLGXDO
PAGE 144

DQG b f KDG WDNHQ WR FRXUVHV 7DEOH f 6HYHQW\ WKUHH SHUFHQW RI WKH VDPSOH KDG FRPSOHWHG RU IHZHU FODVVHV LQ LQGLYLGXDO FRXQVHOLQJSV\FKRWKHUDS\ 7KH QXPEHU RI IDPLO\ WKHUDS\ FRXUVHV FRPSOHWHG DYHUDJHG 6' f ZLWK D UDQJH )LIW\IRXU SHUFHQW f RI WKH VDPSOH KDG UHFHLYHG QR FRXUVHZRUN LQ PDUULDJH DQG IDPLO\ WKHUDS\ b f KDG FRPSOHWHG RQH FRXUVH b f KDG FRPSOHWHG FRXUVHV b f FRPSOHWHG FRXUVHV b f KDG FRPSOHWHG FRXUVHV DQG b f KDG FRPSOHWHG FRXUVHV 7DEOH f 7KXV b f RI WKH VDPSOH KDG FRPSOHWHG FRXUVHV LQ IDPLO\ WKHUDS\ RU OHVV 7DEOH )UHTXHQF\ 'LVWULEXWLRQ IRU 7UDLQHH $JH 1 f $JH 1XPEHU 3HUFHQW 1RW *LYHQ f§ ,Q WHUPV RI WKH QXPEHU RI KRXUV RI FOLQLFDO VXSHUYLVLRQ LQ LQGLYLGXDO FRXQVHOLQJ SV\FKRWKHUDS\ WKLV VDPSOH RI VWXGHQWV DYHUDJHG 6' f ZLWK D

PAGE 145

7DEOH )UHDXHQFY 'LVWULEXWLRQ IRU $PRXQW ,QGLYLGXDO &RXQVHOLQD DQG 0DUULDDH DQG )DPLOY f 7KHUDRY 1 f 1XPEHU 3HUFHQW 1XPEHU RI ,QGLYLGXDO &RXQVHOLQD &RXUVHV ‘ 1XPEHU RI 0DUULDDH )DPLOY 7KHUDRY &RXUVHV 6XSHUYLVLRQ +RXUV IRU ,QGLYLGXDO &RXQVHOLQD ‘ ‘ 6XSHUYLVLRQ +RXUV IRU 0DUULDDH t )DPLOY 7KHUDRY ‘

PAGE 146

UDQJH RI 7DEOH f $SSUR[LPDWHO\ b f RI WKH WUDLQHHV UHFHLYHG QR VXSHUYLVLRQ LQ LQGLYLGXDO FRXQVHOLQJ b f UHFHLYHG KRXUV b f UHFHLYHG KRXUV b f UHFHLYHG KRXUV b f UHFHLYHG KRXUV b f UHFHLYHG KRXUV b f UHFHLYHG KRXUV DQG b f UHFHLYHG KRXUV 7DEOH f 0RUH WKDQ KDOI RI WKH WUDLQHHV KDG UHFHLYHG QR VXSHUYLVLRQ LQ LQGLYLGXDO FRXQVHOLQJSV\FKRWKHUDS\ $Q DGGLWLRQDO b UHFHLYHG OHVV WKDQ KRXUV )RU PDUULDJH DQG IDPLO\ WKHUDS\ VXSHUYLVLRQ KRXUV WKH DYHUDJH QXPEHU RI KRXUV IRU WKH JURXS ZDV 6' f ZLWK D UDQJH RI 7DEOH f 2I WKLV JURXS b f KDG UHFHLYHG QR VXSHUYLVLRQ LQ PDUULDJH DQG IDPLO\ WKHUDS\ b f UHFHLYHG EHWZHHQ DQG KRXUV RI VXSHUYLVLRQ b f UHFHLYHG WR KRXUV b f UHFHLYHG EHWZHHQ WR KRXUV DQG b f SHUFHLYHG WR KRXUV 7DEOH f 1LQHW\RQH SHUFHQW RI WKH JURXS UHFHLYHG OHVV WKDQ KRXUV RI VXSHUYLVLRQ 7KH DPRXQW RI WUDLQHH ZRUN H[SHULHQFH ZDV DOVR H[DPLQHG 7KLV ZDV FRGHG LQ \HDUO\ TXDUWHUV LH \HDUf 7KH DYHUDJH DPRXQW RI LQGLYLGXDO FRXQVHOLQJ SV\FKRWKHUDS\ ZRUN H[SHULHQFH IRU WKH JURXS ZDV A \HDUV 6' f ZLWK D UDQJH RI \HDUV f 7DEOH f $SSUR[LPDWHO\ RQHWKLUG bf KDG QR ZRUN H[SHULHQFH b f KDG REWDLQHG ? RI D \HDU RI ? H[SHULHQFH f REWDLQHG ? WR ? RI D \HDU b f

PAGE 147

REWDLQHG ? WR ? RI D \HDU b f REWDLQHG A WR \HDU b f UHFHLYHG WR \HDUV b f REWDLQHG WR \HDUV b f REWDLQHG WR \HDUV b f REWDLQHG WR \HDUV DQG b f UHFHLYHG WR \HDUV 7DEOH f 7KXV b RI WKH VDPSOH KDG OHVV WKDQ RQH \HDU RI ZRUN H[SHULHQFH LQ LQGLYLGXDO FRXQVHOLQJ ZLWK DQ DGGLWLRQDO b KDYLQJ \HDUV RU OHVV H[SHULHQFH ,Q WHUPV RI PDUULDJH DQG IDPLO\ WKHUDS\ ZRUN H[SHULHQFH WKH VDPSOH DV D ZKROH DYHUDJHG DSSUR[LPDWHO\ ? \HDU 6' f ZLWK D UDQJH RI \HDUV f 7DEOH f +RZHYHU b KDG QR ZRUN H[SHULHQFH LQ PDUULDJH DQG IDPLO\ WKHUDS\ b f K f REWDLQHG ? WR ? RI D \HDU b f REWDLQHG ? WR ? RI D \HDU b f REWDLQHG ? WR \HDU b f REWDLQHG WR \HDUV b f REWDLQHG WR \HDUV DQG b f REWDLQHG WR \HDUV 7DEOH f 7KXV b RI WKH JURXS KDG REWDLQHG QR ZRUN H[SHULHQFH LQ PDUULDJH DQG IDPLO\ WKHUDS\ ZKLOH DQ DGGLWLRQDO b KDG OHVV WKDQ ? \HDU RI ZRUN H[SHULHQFH 7KH H[WHQW RI SULRU NQRZOHGJH RI IDPLO\ WKHUDS\ 3).f ZDV DVVHVVHG E\ FDOFXODWLQJ WKH SUHWHVW WRWDO VFRUH RQ WKH )DPLO\ 7KHUDS\ $VVHVVPHQW ([HUFLVH )7$(f IRU HDFK SDUWLFLSDQW 7KH VWXGHQWV GHPRQVWUDWHG DQ DYHUDJH SUHWHVW VFRUH RI 6' f RQ D SRVVLEOH VFDOH UDQJH RI 7DEOH f

PAGE 148

7DEOH )UHTXHQF\ 'LVWULEXWLRQ IRU $PRXQW RI 3ULRU :RUN ([SHULHQFH LQ ,QGLYLGXDO &RXQVHOLQJ DQG 0DUULDJH DQG )DPLO\ 7KHUDS\ 1 f 1XPEHU 3HUFHQW :RUN ([SHULHQFH LQ ,QGLYLGXDO &RXQVHOLQJ A \HDU K K \HDU K K \HDU ? \HDU \HDUV \HDUV \HDUV \HDUV \HDUV :RUN ( 7KHUDS\ LQ 0DUULDJH r:RUN ([SHULHQFH LQFUHPHQWV LV DVVHVVHG LQ b \HDU 2I JUHDW LQWHUHVW ZHUH WKH YDULRXV OHDUQLQJ VW\OHV SUHIHUUHG E\ WKH SDUWLFLSDQWV 7KH OHDUQLQJ VW\OH PHDVXUH \LHOGHG IRXU SRVVLEOH VW\OHV )UHTXHQFLHV ZHUH FRPSXWHG IRU

PAGE 149

HDFK OHDUQLQJ VW\OH 7KHVH DUH SUHVHQWHG LQ 7DEOH $V FDQ EH QRWHG IRXU OHDUQLQJ VW\OHV ZHUH IURP WKH WZR VW\OH GLPHQVLRQV DVVHVVHG 7KH SDUWLFLSDQWV UHSRUWHG WKH IROORZLQJ SUHIHUHQFHV b f FKDUDFWHUL]HG WKHPVHOYHV b f DV FRQYHUJHUV b f DV DFFRPPRGDWRUV DQG b f DV DVVLPLODWRUV 0HDQV DQG VWDQGDUG GHYLDWLRQV IRU WUDLQHH DJH FRXUVHZRUN VXSHUYLVLRQ KRXUV ZRUN H[SHULHQFH SULRU NQRZOHGJH RI IDPLO\ WKHUDS\ DQG OHDUQLQJ VW\OH YDULDEOHV ZHUH DOVR FRPSXWHG IRU HDFK RI WKH ILYH SDUWLFLSDWLQJ XQLYHUVLWLHV 6HH $SSHQGL[ *f 7DEOH )UHTXHQF\ 'LVWULEXWLRQ IRU 3UHIHUUHG /HDUQLQJ 6W\OH RI WKH 7UDLQHH 1 f /HDUQLQJ 6W\OH &DWHJRU\ 1XPEHU 3HUFHQW 'LYHUJHU &RQYHUJHU $FFRPPRGDWRU $VVLPLODWRU +\SRWKHVHV ,Q WKH ILUVW K\SRWKHVLV VLJQLILFDQW GLIIHUHQFHV IURP SUHWHVWLQJ WR SRVWWHVWLQJ LQ OHYHOV RI IDPLO\ WKHUDS\ VNLOOV

PAGE 150

RI VWXGHQWV SDUWLFLSDWLQJ LQ WKH LQLWLDO SKDVH RI IDPLO\ WKHUDS\ WUDLQLQJ ZHUH SUHGLFWHG $ VHULHV RI WWHVWV ZHUH FDOFXODWHG WR WHVW WKH OHYHOV RI VLJQLILFDQFH RI WKH FKDQJH VFRUHV RQ WKH )DPLO\ 7KHUDS\ $VVHVVPHQW ([HUFLVH )7$(f RYHUDOO VFRUH DQG WKUHH VXEVFDOHV $V FDQ EH VHHQ LQ 7DEOH VLJQLILFDQW GLIIHUHQFHV EHWZHHQ SUHWHVWV DQG SRVWWHVWV ZHUH QRWHG IRU WKH )7$( WRWDO VNLOO VFRUH W S f WKH GHVFULSWLYH VNLOO VFRUH W H f WKH FRQFHSWXDO VNLOO VFRUH W H f DQG WKH WKHUDSHXWLF VNLOO VFRUHV W ( f %DVHG RQ WKHVH UHVXOWV +\SRWKHVLV LV DFFHSWHG 7DEOH 5HVXOWV RI WWHVWV IRU WKH )7$( 2YHUDOO 7RWDOf 6FRUH DQG 'HVFULSWLYH &RQFHSWXDO DQG 7KHUDSHXWLF 6XEVFDOHV )7$( 3UHWHVW 3RVWWHVW W 3 0HDQ 0HDQ 7RWDO 6FRUH 'HVFULSWLYH &RQFHSWXDO 7KHUDSHXWLF 7R WHVW K\SRWKHVHV WZR WKURXJK VHYHQ ZKLFK H[DPLQHG WKH UHODWLRQVKLS EHWZHHQ HDFK WUDLQHH FKDUDFWHULVWLF DQG WKH DFTXLVLWLRQ RI IDPLO\ WKHUDS\ VNLOOV D VHULHV RI UHJUHVVLRQ 3ULRU WR FRQGXFWLQJ WKHVH

PAGE 151

DQDO\VHV D VHULHV RI FRUUHODWLRQV ZHUH FRPSXWHG WR GHWHUPLQH WKH GHJUHH RI LQWHUFRUUHODWLRQV DPRQJ WKH ,QWHUFRUUHODWLRQV DPRQJ WKH WUDLQHH YDULDEOHV RI ZRUN H[SHULHQFH FRXUVHZRUN VXSHUYLVLRQ KRXUV DQG FRQWLQXLQJ HGXFDWLRQ FUHGLWV &(8nVf LQ PDUULDJH DQG IDPLO\ WKHUDS\ ZHUH FRPSXWHG 7DEOH f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nVf LQ PDUULDJH DQG IDPLO\ WKHUDS\ 7KHUH ZHUH QR VLJQLILFDQW FRUUHODWLRQV ZLWK FRXUVHZRUN LQ PDUULDJH DQG IDPLO\ WKHUDS\ ,QGLYLGXDO FRXQVHOLQJ FRXUVHZRUN ZDV VLJQLILFDQWO\ FRUUHODWHG ZLWK ZRUN H[SHULHQFH LQ LQGLYLGXDO FRXQVHOLQJ DQG VXSHUYLVLRQ LQ LQGLYLGXDO FRXQVHOLQJ $V SUHYLRXVO\ PHQWLRQHG FRQWLQXLQJ HGXFDWLRQ FUHGLWV &(8nVf LQ PDUULDJH DQG IDPLO\ WKHUDS\ ZHUH QHJDWLYHO\ FRUUHODWHG ZLWK ZRUN

PAGE 152

7DEOH ,QWHUFRUUHODWLRQV $PRQJ 7UDLQHH 9DULDEOHV

PAGE 153

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f WKH RQO\ VLJQLILFDQW FRUUHODWLRQ ZDV EHWZHHQ WKH $&&( GLPHQVLRQV DQG WKH /6,,17 VFRUH 1R RWKHU VLJQLILFDQW FRUUHODWLRQV ZHUH IRXQG DPRQJ WUDLQHH &RUUHODWLRQV IRU WKH VHOHFWHG SHUVRQDO FKDUDFWHULVWLFV RI WKH WUDLQHH DQG WKH )DPLO\ 7KHUDS\ $VVHVVPHQW ([HUFLVH )7$(f RYHUDOO VFDOH DQG WKUHH VXEVFDOHV DUH OLVWHG LQ 7DEOH 6LJQLILFDQW FRUUHODWLRQV ZHUH IHZ 7KH SUHWHVW )7$( RYHUDOO VFDOH 35()2f ZDV QHJDWLYHO\ FRUUHODWHG ZLWK WKH FKDQJH VFRUH SRVLWLYHO\ FRUUHODWHG ZLWK LWV WKUHH SUHWHVW VXEVFDOHV 35()' 35()& 35()7f DQG SRVLWLYHO\ FRUUHODWHG ZLWK WKH SRVWWHVW )7$( RYHUDOO VFDOH 3RVW)2f DQG WKUHH VXEVFDOHV 3RVW)' 3RVW)& 3RVW)7f 7KH SRVWWHVW )7$( RYHUDOO VFDOH 3RVW)2f ZDV SRVLWLYHO\ FRUUHODWHG ZLWK

PAGE 154

WKH FKDQJH VFRUH DQG SRVLWLYHO\ FRUUHODWHG ZLWK WKH SUHWHVW )7$( RYHUDOO VFDOH 35()2f DQG WKUHH VXEVFDOHV 35()& 35()' 35()7f 7KH SUHWHVW )7$( GHVFULSWLYH VXEVFDOH 35()'f ZDV QHJDWLYHO\ FRUUHODWHG ZLWK WKH FKDQJH VFRUH SRVLWLYHO\ FRUUHODWHG ZLWK WKH SUHWHVW RYHUDOO VFDOH 35()2f WKH SUHWHVW FRQFHSWXDO VXEVFDOH 35()&f DQG WKH SUHWHVW WKHUDSHXWLF VXEVFDOH 35()7f 7KH SUHWHVW )7$( GHVFULSWLYH VXEVFDOH 35()'f ZDV DOVR SRVLWLYHO\ FRUUHODWHG ZLWK SRVWWHVW )7$( RYHUDOO VFDOH 3RVW)2f WKH SRVWWHVW )7$( FRQFHSWXDO VXEVFDOH 3RVW)&f DQG WKHUDSHXWLF VXEVFDOH 3RVW)7f 7KH SRVWWHVW )7$( GHVFULSWLYH VXEVFDOH 3RVW)'f ZDV SRVLWLYHO\ FRUUHODWHG ZLWK WKH FKDQJH VFRUH DQG ZLWK WKH SUHWHVW )7$( RYHUDOO VFDOH 35()2f DQG SUHWHVW )7$( WKHUDSHXWLF VXEVFDOH 35()7f ,Q DGGLWLRQ WR WKLV WKH )7$( SRVWWHVW GHVFULSWLYH VXEVFDOH 3RVW)'f ZDV SRVLWLYHO\ FRUUHODWHG ZLWK LQGLYLGXDO WKHUDS\ VXSHUYLVLRQ KRXUV DQG ZLWK WKH /6,,17 /HDUQLQJ 6W\OH ,QYHQWRU\ LQWHUDFWLRQ VFRUHf 7KH SUHWHVW )7$( FRQFHSWXDO VXEVFDOH 35()&f ZDV QHJDWLYHO\ FRUUHODWHG ZLWK WKH FKDQJH VFRUH SRVLWLYHO\ FRUUHODWHG ZLWK WKH SUHWHVW RYHUDOO VFDOH 35()2f DQG WKH SUHWHVW GHVFULSWLYH 35()'f DQG WKHUDSHXWLF 35()7f VXEVFDOHV ,W ZDV DOVR FRUUHODWHG ZLWK WKH SRVWWHVW )7$( RYHUDOO VFDOH 3RVW)2fDQG WKH SRVWWHVW FRQFHSWXDO 3RVW)&f DQG WKHUDSHXWLF 3RVW)7f VXEVFDOHV 7KH SRVWWHVW )7$(

PAGE 155

7DEOH ,QWHUFRUUHODWLRQV $PRQJ ,QGHSHQGHQW DQG 'HSHQGHQW 7UDLQHH 9DULDEOHV 9 DULDEOH &+$1*( 35( )2 35( )' 35( )& 35( )7 3267 )2 3267 )' 3267 )& 3267 )7 )07 \UV ([S ,QG \UV ([S 0) &RXUVHV 0) 6XSHUYLVLRQ &RXUVHV 6XSHUYLVLRQ &(8 0)7 10) &ODVVHV $&&( $(52 /6,,17 r &KDQJH r r r r r r 35( )2 r r r r r r r 35( )' r r r r 35( )& R f r r r r 35( )7 r r r r r r r (

PAGE 156

FRQFHSWXDO VXEVFDOH 3RVW)&f ZDV SRVLWLYHO\ FRUUHODWHG ZLWK WKH FKDQJH VFRUH DQG ZLWK WKH SUHWHVW )7$( RYHUDOO VFDOH 35()2f DQG WKUHH VXEVFDOHV 35()& 35()' 35()7f 5HJUHVVLRQ $QDO\VHV $ VHULHV RI PXOWLSOH UHJUHVVLRQ DQDO\VHV ZHUH SHUIRUPHG WR SUHGLFW SHUIRUPDQFH RQ WKH )DPLO\ 7KHUDS\ $VVHVVPHQW ([HUFLVH )7$(f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f $V FDQ EH VHHQ b f RI WKH VWXGHQWV UHFHLYHG QR FRQFXUUHQW VXSHUYLVLRQ LQ PDUULDJH DQG IDPLO\ WKHUDS\

PAGE 157

b f UHFHLYHG KRXU b f UHFHLYHG KRXUV DQG b f UHFHLYHG KRXUV %HFDXVH WKH DPRXQW RI VXSHUYLVLRQ KRXUV UHFHLYHG E\ VWXGHQWV ZDV VR OLPLWHG QR DGGLWLRQDO DQDO\VLV IRU WKLV FRPSRQHQW RI WUDLQLQJ ZDV FRPSXWHG 5HJDUGLQJ WKH DPRXQW RI DGGLWLRQDO FRXUVHZRUN LQ DUULDJH DQG IDPLO\ WKHUDS\ UHFHLYHG LQ FRQMXQFWLRQ ZLWK WKH GHVLJQDWHG WUDLQLQJ H[SHULHQFH b f RI WKH VWXGHQWV REWDLQHG QR DGGLWLRQDO FRXUVHZRUN b f REWDLQHG RQH DGGLWLRQDO FRXUVH LQ PDUULDJH DQG IDPLO\ WKHUDS\ DQG b f UHSRUWHG WDNLQJ DGGLWLRQDO FRXUVHV 7KHUHIRUH WKH QXPEHU RI DGGLWLRQDO FRXUVHV WDNHQ LQ PDUULDJH DQG IDPLO\ WKHUDS\ ZDV LQFOXGHG LQ WKH UHJUHVVLRQ DQDO\VHV WR DFFRXQW IRU WKH SRVVLELOLW\ RI DQ\ VLPXOWDQHRXV WUDLQLQJ HIIHFWV 7KXV WKH UHJUHVVLRQ DQDO\VHV LQFOXGHG WKH LQLWLDO SUHGLFWRU YDULDEOHV DQG LQ DGGLWLRQ WR WKLV DQ WK YDULDEOH WKH QXPEHU RI DGGLWLRQDO FRXUVHV WDNHQ LQ PDUULDJH DQG IDPLO\ WKHUDS\ VHH 7DEOH f 5HVXOWV RI WKH ILUVW UHJUHVVLRQ DQDO\VLV LV SUHVHQWHG LQ 7DEOH 7KH )7$( SRVWWHVW RYHUDOO VFDOH 3RVW )2f ZDV VLJQLILFDQW ) S f ZLWK DQ 5 HJXDO WR $V VKRZQ LQ 7DEOH RQO\ WKH SUHWHVW ZDV D VLJQLILFDQW SUHGLFWRU S f $ SULRUL DQDO\VHV ZHUH FRQGXFWHG IRU WKH WKUHH VXEVFDOHV RI WKH )7$( 7KH UHVXOWV RI WKH UHJUHVVLRQ DQDO\VLV IRU WKH GHVFULSWLYH VXEVFDOH RI WKH )7$( LV SUHVHQWHG LQ 7DEOH 7KHUH ZHUH QR VLJQLILFDQW

PAGE 158

7DEOH )UHTXHQF\ 'LVWULEXWLRQ IRU 6XSHUYLVLRQ +RXUV 'XULQJ WKH 6SHFLILHG 7UDLQLQJ &RXUVHV 1 f 6XSHUYLVLRQ +RXUV 1XPEHU + f &2 7DEOH )UHTXHQF\ 'LVWULEXWLRQ IRU $GGLWLRQDO 0DUULDJH DQG )DPLO\ 7KHUDS\ &ODVVHV WDNHQ LQ &RQMXQFWLRQ ZLWK WKH 6SHFLILHG 7UDLQLQJ &RXUVHV $GGLWLRQDO 0)7 &ODVVHV 1XPEHU SUHGLFWRUV IRU WKH )7$( SRVWWHVW GHVFULSWLYH VXEVFDOH 3RVW )'f ZLWK ) S f ZLWK DQ 5 HTXDO WR 7KH UHVXOWV RI WKH UHJUHVVLRQ DQDO\VLV IRU WKH SRVWWHVW FRQFHSWXDO VXEVFDOH 3RVW )&f ZDV VLJQLILFDQW ) S f ZLWK DQ 5 HTXDO WR $V VKRZQ LQ 7DEOH WKH SUHWHVW ZDV WKH RQO\ VLJQLILFDQW SUHGLFWRU S f

PAGE 159

7KH UHVXOWV IRU WKH UHJUHVVLRQ DQDO\VLV IRU WKH SRVWWHVW )7$( WKHUDSHXWLF VXEVFDOH LV VKRZQ LQ 7DEOH 7DEOH 5HJUHVVLRQ 0RGHO IRU WKH 5HODWLRQVKLS %HWZHHQ WKH 3RVWWHVW )7$( 2YHUDOO 6FRUH DQG WKH 6HOHFWHG 3HUVRQDO &KDUDFWHULVWLFV RI WKH 0DUULDJH DQG )DPLO\ 7KHUDS\ 7UDLQHH (VWLPDWH 7 IRU +R ,QWHUFHSW 35(2 &RXUVHV ,QGLYLGXDOf 0) &RXUVHV 6XSHUYLVLRQ 0) 6XSHUYLVLRQ ,QGLYLGXDO :RUN ([SHULHQFH 0) :RUN ([SHULHQFH $&&( $(52 /6,,17 $GGLWLRQDO 0) &ODVVHV ) f S 5VTXDUH

PAGE 160

7KH SRVWWHVW )7$( WKHUDSHXWLF VXEVFDOH ZDV VLJQLILFDQW ) S f ZLWK DQ 5 HTXDO WR $JDLQ RQO\ WKH SUHWHVW ZDV D VLJQLILFDQW SUHGLFWRU H f LQ WKH PRGHO 7DEOH f 7DEOH 5HJUHVVLRQ 0RGHO IRU WKH 5HODWLRQVKLS %HWZHHQ WKH )DPLO 7KHUDS\ $VVHVVPHQW ([HUFLVH )7$(f 'HVFULSWLYH 6XEVFDOH DQG WKH 6HOHFWHG 3HUVRQDO &KDUDFWHULVWLFV RI WKH 0DUULDJH DQG )DPLO\ 7KHUDS\ 7UDLQHH 3DUDPHWHU (VWLPDWH 6( 7 IRU +R 3DUDPHWHU 3 ,QWHUFHSW 35()' &RXUVHV ,QGLYLGXDOf 0) &RXUVHV 6XSHUYLVLRQ 0) 6XSHUYLVLRQ ,QGLYLGXDO :RUN ([SHULHQFH 0) :RUN ([SHULHQFH $&&( $(52 /6,,17 $GGLWLRQDO 0) &ODVVHV ) f ( 5VTXDUH

PAGE 161

7DEOH 5HODWLRQVKLS EHWZHHQ WKH )DPLO\ WKH &RQFHSWXDO 6XEVFDOH DQG &KDUDFWHULVWLFV RI WKH 0DUULDJH DQG )DPLO\ 7KHUDS\ 7UDLQHH 3DUDPHWHU (VWLPDWH 6( 7 3DUD IRU +R LPHWHU 3 ,QWHUFHSW 35()& &RXUVHV 0) &RXUVHV 6XSHUYLVLRQ 0) 6XSHUYLVLRQ ,QGLYLGXDO :RUN ([SHULHQFH 0) :RUN ([SHULHQFH $&&( $(52 /6,,17 $GGLWLRQDO 0) &ODVVHV ) f S 5 fVTXDUH

PAGE 162

7DEOH 5HJUHVVLRQ 0RGHO IRU WKH 5HODWLRQVKLS %HWZHHQ WKH )DPLO\ 7KHUDS\ $VVHVVPHQW ([HUFLVH )7$(f 7KHUDSHXWLF 6XEVFDOH DQG WKH 6HOHFWHG 3HUVRQDO &KDUDFWHULVWLFV RI WKH 0DUULDJH DQG )DPLO\ 7KHUDS\ 7UDLQHH 6( 7 IRU +R 3DUDPHWHU ,QWHUFHSW 35()7 &RXUVHV 0) &RXUVHV 6XSHUYLVLRQ 0) 6XSHUYLVLRQ ,QGLYLGXDO :RUN ([SHULHQFH 0) :RUN ([SHULHQFH $&&( $(52 /6,,17 $GGLWLRQDO 0) &RXUVHV ) f S 5VTXDUH

PAGE 163

,Q K\SRWKHVLV WZR LW ZDV SUHGLFWHG WKDW WKH JUHDWHU WKH DPRXQW RI LQLWLDO NQRZOHGJH RI IDPLO\ WKHUDS\ VNLOOV DV LQGH[HG E\ WKH )DPLO\ 7KHUDS\ $VVHVVPHQW ([HUFLVH )7$(f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f WKH H[WHQW RI LQLWLDO NQRZOHGJH RI IDPLO\ WKHUDS\ 35()2f ZDV D VLJQLILFDQW SUHGLFWRU IRU WKH RYHUDOO )7$( VFRUH DQG IRU WKH FRQFHSWXDO DQG WKHUDSHXWLF VXEVFDOHV 7KXV K\SRWKHVLV WZR ZDV VXSSRUWHG )RU K\SRWKHVLV WKUHH LW ZDV SUHGLFWHG WKDW WKH JUHDWHU WKH DPRXQW RI SULRU WUDLQLQJ LQ LQGLYLGXDO WKHUDS\ DV LQGH[HG E\ WKH )DPLO\ 7KHUDS\ ([SHULHQFH ,QYHQWRU\ WKH OHVV WKH DPRXQW RI FKDQJH LQ IDPLO\ WKHUDS\ VNLOO OHYHOV IURP SUHWHVWLQJ WR SRVWWHVWLQJ DPRQJ SDUWLFLSDWLQJ VWXGHQWV $ VHULHV RI UHJUHVVLRQ HTXDWLRQV ZHUH FRPSXWHG WR DVVHVV WKH UHODWLRQVKLS

PAGE 164

DPRQJ WKHVH YDULDEOHV $V GHSLFWHG LQ 7DEOHV DQG WKH OHYHO RI LQGLYLGXDO WUDLQLQJ GLG QRW VLJQLILFDQWO\ SUHGLFW WKH )7$( FKDQJH VFRUHV 7KHUHIRUH K\SRWKHVLV WKUHH ZDV QRW VXSSRUWHG )RU K\SRWKHVLV IRXU LW ZDV SUHGLFWHG WKDW WKH JUHDWHU WKH DPRXQW RI SULRU ZRUN H[SHULHQFH FRQGXFWLQJ LQGLYLGXDO WKHUDS\ DV LQGH[HG E\ WKH )DPLO\ 7KHUDS\ ([SHULHQFH ,QYHQWRU\ WKH OHVV WKH DPRXQW RI FKDQJH IURP SUHWHVWLQJ WR SRVWWHVWLQJ LQ IDPLO\ WKHUDS\ VNLOOV DPRQJ WKH SDUWLFLSDWLQJ VWXGHQWV DV PHDVXUHG E\ WKH )DPLO\ 7KHUDS\ $VVHVVPHQW ([HUFLVH )7$(f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

PAGE 165

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f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nV IDPLO\ WKHUDS\ VNLOO OHYHOV 5HVXOWV RI UHJUHVVLRQ HTXDWLRQV FRQGXFWHG WR DVVHVV WKH

PAGE 166

UHODWLRQVKLS DPRQJ WKH )7$( FKDQJH VFRUHV DQG SUHIHUUHG OHDUQLQJ VW\OH RI WKH WUDLQHH $&&( $(52 /6,,17f DV VKRZQ LQ 7DEOHV DQG UHYHDOHG WKDW WKH OHDUQLQJ VW\OH RI WKH WUDLQHH ZDV QRW D VLJQLILFDQW SUHGLFWRU IRU WKH )7$( FKDQJH VFRUHV K\SRWKHVHV VHYHQ ZDV QRW VXSSRUWHG 6XPPDU\ $ SUHOLPLQDU\ DQDO\VLV RI FRYDULDQFH $1&29$f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f H[WHQW RI ZRUN H[SHULHQFH H[WHQW RI SULRU NQRZOHGJH RI IDPLO\ WKHUDS\ DQG SUHIHUUHG OHDUQLQJ VW\OH 7UDLQHHV ZHUH UHODWLYHO\ \RXQJ ZLWK D OLPLWHG DPRXQW RI SULRU WUDLQLQJ DQG ZRUN H[SHULHQFH 2I IRXU SRVVLEOH OHDUQLQJ VW\OHV PRUH WKDQ b RI WKH SDUWLFLSDQWV GHVFULEHG WKHPVHOYHV DV GLYHUJHUV

PAGE 167

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

PAGE 168

&+$37(5 9 ',6&866,21 7KH SXUSRVH RI WKLV VWXG\ ZDV WZRIROG )LUVW WKH LPSDFW RI WKH LQLWLDO SKDVH RI IDPLO\ WKHUDS\ WUDLQLQJ RQ QRYLFH WKHUDSLVWnV VNLOO DFTXLVLWLRQ ZDV DVVHVVHG 6HFRQG WKH LPSDFW RI IRXU W\SHV RI WUDLQHH FKDUDFWHULVWLFV RQ WKH DFTXLVLWLRQ RI IDPLO\ WKHUDS\ VNLOOV E\ QRYLFH WKHUDSLVWV LQYROYHG LQ IDPLO\ WKHUDS\ WUDLQLQJ ZDV H[DPLQHG 7KH IRXU W\SHV RI WUDLQHH FKDUDFWHULVWLFV ZHUH Df H[WHQW RI WUDLQHHnV SULRU WUDLQLQJ LQ LQGLYLGXDO WKHUDS\ DQG IDPLO\ WKHUDS\ Ef H[WHQW RI WUDLQHHnV FOLQLFDO ZRUN H[SHULHQFH LQ LQGLYLGXDO WKHUDS\ DQG IDPLO\ WKHUDS\ Ff H[WHQW RI LQLWLDO IDPLO\ WKHUDS\ NQRZOHGJH DQG Gf WUDLQHHnV SUHIHUUHG OHDUQLQJ VW\OH ,Q WKLV FKDSWHU D GLVFXVVLRQ RI WKH UHVXOWV IRU HDFK RI WKH UHVHDUFK TXHVWLRQV RU K\SRWKHVHV WKH OLPLWDWLRQV RI WKH VWXG\ DQG LPSOLFDWLRQV RI WKH VWXG\ DUH SUHVHQWHG 3UHOLPLQDU\ $QDO\VLV 3ULRU WR WHVWLQJ WKH UHVHDUFK K\SRWKHVHV SURSRVHG IRU WKH VWXG\ DQ DQDO\VLV RI FRYDULDQFH $1&29$f ZDV SHUIRUPHG WR DVVHVV ZKHWKHU WKH VXEMHFWV IURP HDFK RI WKH VL[ SDUWLFLSDWLQJ SURJUDPV GLIIHUHG VLJQLILFDQWO\ LQ WKHLU VNLOO DFTXLVLWLRQ IURP WR SRVWWHVWLQJ 7KH

PAGE 169

)DPLO\ 7KHUDS\ $VVHVVPHQW ([HUFLVH )7$(f SUHWHVW DQG SRVWWHVW VFRUHV RI VWXGHQWV IURP HDFK RI WKH VL[ SDUWLFLSDWLQJ VFKRROV ZHUH DQDO\]HG XVLQJ DQ $1&29$ 5HVXOWV RI WKLV DQDO\VLV UHYHDOHG D VLJQLILFDQW GLIIHUHQFH E\ VFKRRO 'XQQn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f DJH Ef SULRU WUDLQLQJ H[SHULHQFH LQ LQGLYLGXDO WKHUDS\ Ff SULRU ZRUN H[SHULHQFH LQ LQGLYLGXDO WKHUDS\ Gf SULRU WUDLQLQJ LQ PDUULDJH DQG

PAGE 170

IDPLO\ WKHUDS\ Hf SULRU ZRUN H[SHULHQFH LQ PDUULDJH DQG IDPLO\ WKHUDS\ If LQLWLDO NQRZOHGJH RI IDPLO\ WKHUDS\ NQRZOHGJH DQG Jf SUHIHUUHG OHDUQLQJ VW\OH 7KH DYHUDJH DJH RI WKLV VDPSOH RI WUDLQHHV ZDV ZLWK D UDQJH RI WR \HDUV $OPRVW b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b \HDU &OHDUO\ WKH DPRXQW RI WUDLQLQJ LQ LQGLYLGXDO FRXQVHOLQJ DQG SDUWLFXODUO\ LQ PDUULDJH DQG IDPLO\ WKHUDS\ ZDV YHU\ OLPLWHG %DVHG RQ D VHPHVWHU V\VWHP WKLV ZRXOG SODFH WUDLQHHV LQ WKHLU ILUVW \HDU RI WUDLQLQJ LQ LQGLYLGXDO FRXQVHOLQJ )DPLO\ WUDLQLQJ ZDV H[WUHPHO\ OLPLWHG OHVV WKDQ RQH FRXUVH KRXUV RI VXSHUYLVLRQ DQG ? \HDUV ZRUN H[SHULHQFHf 7KXV WKLV VDPSOH FDQ EH FKDUDFWHUL]HG DV QRYLFHOHYHO WUDLQHHV LQ ERWK LQGLYLGXDO FRXQVHOLQJ DQG LQ PDUULDJH DQG IDPLO\ WKHUDS\ ZKLFK XQLTXHO\ GLIIHUHQWLDWHV WKHP IURP RWKHU VWXG\ VDPSOHV ,Q FRQWUDVW VDPSOHV XVHG

PAGE 171

LQ RWKHU VWXGLHV FRQGXFWHG E\ +HUQDQGH] f 3XOOH\EODQN f %UHXQOLQ HW DO f ZHUH GUDZQ IURP D FURVV UDQJH RI QRYLFH PLGUDQJH DQG H[SHULHQFHG )RU H[DPSOH LQ DQ LQVWUXPHQW YDOLGDWLRQ VWXG\ +HUQDQGH] f VWXGLHG VXEMHFWV GUDZQ IURP XQLYHUVLW\ DQG LQVWLWXWH SURJUDPV ORFDWHG LQ ,OOLQRLV DQG ,QGLDQD 7KHLU DJH UDQJHG IURP WR \HDUV DQG SDUWLFLSDQWV ZHUH FKDUDFWHUL]HG DV QRYLFHOHYHO PLGUDQJH DQG H[SHULHQFHG 7KH VDPSOH LQFOXGHG ILUVW \HDU PDVWHUnV OHYHO VWXGHQWV GRFWRUDO VWXGHQWV SRVWGRFWRUDO VWXGHQWV XQLYHUVLW\ SURIHVVRUV DQG $$0)7 DSSURYHG VXSHUYLVRUV 3XOOH\EODQN f HYDOXDWHG D PRQWK VWUXFWXUDO IDPLO\ WKHUDS\ WUDLQLQJ SURJUDP 1LQH IDPLO\ WKHUDS\ WUDLQHHV DQG HLJKW FRQWURO VXEMHFWV ZHUH HYDOXDWHG EHIRUH DQG DIWHU WKH WUDLQLQJ SURJUDP $OO WUDLQHHV KHOG D DVWHUnV GHJUHH LQ HLWKHU PDUULDJH DQG IDPLO\ WKHUDS\ RU VRFLDO ZRUN ZLWK D PHDQ QXPEHU RI \HDUV RI ZRUN H[SHULHQFH DIWHU WKHLU GHJUHH RI \HDUV 7KH FRPSDULVRQ JURXSnV DYHUDJH DJH ZDV $OO FRPSDULVRQ JURXS PHPEHUV KHOG D DVWHUnV GHJUHH LQ PDUULDJH DQG IDPLO\ WKHUDS\ ZLWK D PHDQ QXPEHU RI \HDUV RI ZRUN H[SHULHQFH RI DIWHU WKHLU GHJUHH %UHXQOLQ HW DO f H[DPLQHG VNLOO DFTXLVLWLRQ RI WUDLQHHV GUDZQ IURP VHYHQ GLIIHUHQW VWUXFWXUDOVWUDWHJLF WUDLQLQJ H[SHULHQFHV )RXU RI WKH SURJUDPV LQYROYHG DJHQF\ EDVHG LQVHUYLFH WUDLQLQJ LQ IDPLO\ WKHUDS\ WZR LQYROYHG

PAGE 172

JUDGXDWH FRXUVHV LQ IDPLO\ WKHUDS\ RQH LQ QXUVLQJ DQG RQH LQ VRFLDO ZRUNf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nV OHYHO XQLYHUVLW\ EDVHG WUDLQLQJ SURJUDPV ZKLFK GLIIHUV IURP VDPSOHV XVHG LQ SUHYLRXV VWXGLHV 7KH H[WHQW RI SULRU NQRZOHGJH RI IDPLO\ WKHUDS\ ZDV DVVHVVHG E\ FRPSXWLQJ SUHWHVW VFRUHV IRU WKH )DPLO\ 7KHUDS\ $VVHVVPHQW ([HUFLVH )7$(f IRU HDFK SDUWLFLSDQW 7KH DYHUDJH VFRUH IRU WKH HQWLUH JURXS ZDV ZLWK D SRVVLEOH VFRUH RI 7KLV LV VLPLODU WR LQLWLDO NQRZOHGJH SUHWHVW VFRUHV UHSRUWHG LQ SUHYLRXV UHVHDUFK +HUQDQGH] 3XOOH\EODQN f )RU H[DPSOH LQ D YDOLGDWLRQ VWXG\ IRU WKH )7$( FRQGXFWHG E\ +HUQDQGH] f )7$( VFRUHV DYHUDJHG EDVHG RQ TXHVWLRQV ,Q D SURJUD HYDOXDWLRQ VWXG\ UHSRUWHG E\ 3XOOH\EODQN f WKH )7$( SUHWHVW VFRUH DYHUDJHG IRU WKH WUHDWPHQW JURXS RI WUDLQHHV UHFHLYLQJ SRVWPDVWHUnV OHYHO WUDLQLQJ DW D IDPLO\

PAGE 173

WKHUDS\ WUDLQLQJ LQVWLWXWH DQG IRU WKH FRPSDULVRQ JURXS XVHG LQ WKH VWXG\ %UHXQOLQ HW DO f QRWHG WKDW LQLWLDO NQRZOHGJH ,.f RI WKH WUDLQHH DV PHDVXUHG E\ WKH )DPLO\ 7KHUDS\ $VVHVVPHQW ([HUFLVH )7$(f SUHWHVW VFRUH ZDV LQYHUVHO\ FRUUHODWHG ZLWK WKH FKDQJH VFRUH +RZHYHU WKH DXWKRUV GLG QRW UHSRUW UDZ VFRUHV IRU WKH )7$( 7KH DYHUDJH SUHWHVW VFRUH IRU WKLV JURXS LQ WKH VWXG\ ZDV ZKLFK ZDV VOLJKWO\ OHVV WKDQ VFRUHV UHSRUWHG LQ RWKHU VWXGLHV f +RZHYHU WKDW LV ORJLFDO EHFDXVH WKLV JURXS LV SUHGRPLQDQWO\ D QRYLFH OHYHO JURXS YHUVXV D FURVV VHFWLRQ RI QRYLFH PLGUDQJH DQG H[SHULHQFHG IDPLO\ WKHUDSLVWV ZKR PD\ KDYH KDG H[SRVXUH WR IDPLO\ WKHUDS\ WKHRU\ DQG SUDFWLFH )LQDOO\ WKH SUHIHUUHG OHDUQLQJ VW\OH RI WKH WUDLQHH ZDV DVVHVVHG ZLWK IRXU FDWHJRULHV UHVXOWLQJ 7UDLQHHV FOXVWHUHG DV IROORZV b f RI WKH SDUWLFLSDQWV ZHUH GLYHUJHUV b f ZHUH FRQYHUJHUV b f ZHUH DFFRPPRGDWRUV DQG b f ZHUH DVVLPLODWRUV 0RUH WKDQ KDOI RI WKH SDUWLFLSDQWV GHVFULEHG WKHPVHOYHV DV GLYHUJHUV ZKLFK ZDV FRQVLVWHQW ZLWK WKH OHDUQLQJ VW\OH UHVHDUFK LQ WKLV DUHD )RU H[DPSOH .ROE f LQ H[DPLQLQJ WKH UHODWLRQVKLS EHWZHHQ OHDUQLQJ VW\OH DQG DFDGHPLF VSHFLDOL]DWLRQ IRXQG D VWURQJ DVVRFLDWLRQ EHWZHHQ WKH GLYHUJHQW OHDUQLQJ VW\OH DQG FRXQVHOLQJ DQG SV\FKRORJ\ FDUHHU VSHFLDOL]DWLRQ 3UHYLRXV UHVHDUFK VWXGLHV RQ OHDUQLQJ VW\OH DQG SURIHVVLRQDO FDUHHU

PAGE 174

FKRLFH %HQQHWW &KULVWHQVHQ t %XJJ .ROE 3ORYQLFN 6LPV f DUH DOVR FRQVLVWHQW ZLWK WKLV ILQGLQJ 7UDLQHH 6NLOO &KDQJHV ,Q K\SRWKHVLV RQH WKH LPSDFW RI WKH LQLWLDO SKDVH RI VWUXFWXUDOVWUDWHJLF IDPLO\ WKHUDS\ RQ WKH DFTXLVLWLRQ RI VNLOOV E\ QRYLFH VWXGHQW WKHUDSLVWV ZDV H[DPLQHG 6LJQLILFDQW GLIIHUHQFHV IURP SUHWHVWLQJ WR SRVWWHVWLQJ ZHUH IRXQG LQ WKH VWXG\ SDUWLFLSDQWV VFRUHV RQ WKH )7$( RYHUDOO VFDOH DQG WKH GHVFULSWLYH FRQFHSWXDO DQG WKHUDSHXWLF 7KLV ZDV QRW DQ XQH[SHFWHG ILQGLQJ DQG ZDV FRQVLVWHQW ZLWK WKH ILQGLQJV UHSRUWHG LQ SUHYLRXV UHVHDUFK %UHXQOLQ HW DO 3XOOH\EODQN t 6KDSLUR :HVW HW DO f +RZHYHU WKH LQLWLDO OHYHOV RI IDPLO\ WKHUDS\ VNLOOV DQG WKH ILQDO OHYHO RI VNLOOV RI WKLV JURXS ZHUH ORZHU WKDQ WKDW RI RWKHU UHVHDUFK DVVHVVLQJ VNLOOV RI PRUH H[SHULHQFHG WKHUDSLVWV )RU H[DPSOH :HVW HW DO f H[DPLQHG PL[HG H[SHULHQFH OHYHO IDPLO\ WKHUDS\ VWXGHQWV HQUROOHG LQ D JUDGXDWH OHYHO FRXUVH LQ IDPLO\ WKHUDS\ LQ ZKLFK VWXGHQWV SUDFWLFHG LQWHUYLHZLQJ VLPXODWHG IDPLOLHV $ WLPH VHULHV GHVLJQ ZDV XVHG ZKHUHE\ VNLOO GHYHORSPHQW ZDV DVVHVVHG DW WKUHH HTXDO LQWHUYDOV RI WLPH GXULQJ WKH VHPHVWHU 7KH )7$( ZDV XVHG WR PHDVXUH VNLOO GHYHORSPHQW $ UHSHDWHG HDVXUHV DQDO\VLV LQGLFDWHG WKHUH ZHUH VLJQLILFDQW GLIIHUHQFHV EHWZHHQ WHVWLQJ WLPHV RQ WKH WRWDO VFRUH

PAGE 175

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

PAGE 176

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f &RUUHODWLRQV DPRQJ VHOHFWHG SHUVRQDO FKDUDFWHULVWLFV RI WKH WUDLQHH DQG WKH )DPLO\ 7KHUDS\ $VVHVVPHQW ([HUFLVH )7$(f DQG LWV WKUHH VXEVFDOHV ZHUH DOVR OLPLWHG ,QWHUHVWLQJO\ WKH SUH)7$( RYHUDOO VFDOH DQG WKUHH VXEVFDOHV ZHUH QHJDWLYHO\ FRUUHODWHG ZLWK WKH FKDQJH VFRUH $V SUHYLRXVO\ QRWHG WKLV VXSSRUWV WKH K\SRWKHVLV WKDW WKH JUHDWHU WKH DPRXQW RI LQLWLDO NQRZOHGJH RI WKH WUDLQHH WKH OHVV WKH DPRXQW RI FKDQJH IURP SUHWHVWLQJ WR SRVWWHVWLQJ RQ WKH )DPLO\ 7KHUDS\ $VVHVVPHQW ([HUFLVH )7$(f +RZHYHU WKLV PD\ DOVR EH H[SODLQHG LQ WHUPV RI WKH UHJUHVVLRQ HIIHFW LQ WKDW KLJKHU VFRUHV UHJUHVV WRZDUGV WKH PHDQ ZKLOH ORZHU VFRUHV JR XS WRZDUGV WKH PHDQ

PAGE 177

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f ZKR IRXQG XVLQJ D VDPSOH RI YDU\LQJ H[SHULHQFH OHYHOV WKDW H[SHULHQFH LQ LQGLYLGXDO WKHUDS\ ZDV VLJQLILFDQWO\ DVVRFLDWHG ZLWK LQFUHDVHG IDPLO\ WKHUDS\ VNLOOV DV PHDVXUHG E\ WKH )DPLO\

PAGE 178

7KHUDS\ $VVHVVPHQW ([HUFLVH )7$(f 1RW RQO\ ZDV SULRU LQGLYLGXDO WKHUDS\ H[SHULHQFH SRVLWLYHO\ DVVRFLDWHG ZLWK SHUIRUPDQFH RQ WKH )7$( RYHUDOO VFDOH EXW WKH FRQFHSWXDO VFRUH DV ZHOO %HFDXVH WKH VDPSOH XVHG LQ WKH SUHVHQW VWXG\ ZHUH QRYLFH OHYHO WKH\ GLIIHUHG VLJQLILFDQWO\ LQ LQGLYLGXDO FRXQVHOLQJ DQG PDUULDJH DQG IDPLO\ WKHUDS\ WUDLQLQJ DQG ZRUN H[SHULHQFH DYHUDJLQJ b \HDUV RI LQGLYLGXDO ZRUN H[SHULHQFH DQG ? \HDU RI PDUULDJH DQG IDPLO\ WKHUDS\ ZRUN H[SHULHQFHf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f ,W LV FHUWDLQO\ SRVVLEOH WKDW WKHUH LV QR UHODWLRQVKLS EHWZHHQ OHDUQLQJ VW\OH DQG IDPLO\ WKHUDS\ VNLOO GHYHORSPHQW +RZHYHU RQH H[SODQDWLRQ IRU WKLV PD\ EH D ODFN RI VHQVLWLYLW\ RI WKH /HDUQLQJ 6W\OH ,QYHQWRU\ ,QWHUHVWLQJO\ b RI WKH SDUWLFLSDQWV FODVVLILHG WKHPVHOYHV DV GLYHUJHQW OHDUQHUV KRZHYHU D

PAGE 179

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nV SUHIHUUHG OHDUQLQJ VW\OH RQ WKH WKHUDS\ OHDUQLQJ SURFHVV PD\ EH GHPRQVWUDWHG RQO\ DV WKHUDS\ VNLOO DFTXLVLWLRQ PRYHV IURP D FRQFHSWXDO WR DSSOLHG IUDPHZRUN 6HFRQG WKHUH DUH VRPH LQKHUHQW OLPLWDWLRQV LQ WKH VWXG\ VDPSOH GXH WR WKH VHOHFWLRQ SURFHGXUH XVHG ZKHUHLQ

PAGE 180

RQO\ WKRVH SURJUDPV ZKR DJUHHG WR SDUWLFLSDWH LQ WKH VWXG\ DQG DOORZHG DFFHVV ZHUH VDPSOHG 7KLV UHVXOWHG LQ D PL[HG VHOHFWLRQ SURFHGXUH HPSOR\LQJ ERWK WKH LQFOXVLRQ RI HQWLUH DYDLODEOH SRSXODWLRQV DQG WKH YROXQWDU\ LQYLWDWLRQ RI VWXGHQWV LQ WKRVH SRSXODWLRQV WR SDUWLFLSDWH 'HVSLWH WKH IDFW WKDW WKLV UHVXOWHG LQ D UHODWLYHO\ KLJK SURSRUWLRQ RI VWXGHQWV SDUWLFLSDQWV bf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f ZKLFK LQGLFDWHV WKH SUREDELOLW\ RI VFKRRO HIIHFWV $ GHVLJQ LQ ZKLFK

PAGE 181

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

PAGE 182

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

PAGE 183

SHUIRUPDQFH WKHUH KDYH EHHQ QR HVWDEOLVKHG LQGLFHV IRU SUHGLFWLQJ VWXGHQW FOLQLFDO VNLOO SHUIRUPDQFH .ROEnV f WKHRU\ RI OHDUQLQJ ZDV XVHG LQ WKLV VWXG\ WR LGHQWLI\ D WUDLQHHn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f DVVHVVLQJ OHDUQLQJ VW\OH GLIIHUHQWO\ Ef WKH XVH RI D ORQJHU WLPH IUDPH WR DVVHVV WUDLQLQJ DQG Ff REWDLQLQJ D EURDGHU VDPSOH UHSUHVHQWDWLRQ RI WUDLQLQJ DQG ZRUN H[SHULHQFH )LQDOO\ WKH LQLWLDO NQRZOHGJH RI IDPLO\ WKHUDS\ DV PHDVXUHG E\ WKH )DPLO\ 7KHUDS\ $VVHVVPHQW ([HUFLVH )7$(f GLG VLJQLILFDQWO\ SUHGLFW DFTXLVLWLRQ RI IDPLO\ WKHUDS\ VNLOOV $V SUHYLRXVO\ PHQWLRQHG WKLV PD\ EH GXH WR WKH UHJUHVVLRQ HIIHFW +RZHYHU LW ZDV RI LQWHUHVW WKDW WKH OHYHO RI LQLWLDO NQRZOHGJH GLG QRW VLJQLILFDQWO\ FRUUHODWH ZLWK SUHYLRXV WUDLQLQJ DQG ZRUN H[SHULHQFH YDULDEOHV 3HUKDSV FRJQLWLYH IDFWRUV FRQWULEXWH WR WKH OHYHO RI LQLWLDO NQRZOHGJH DQG PD\ EH D XVHIXO GLUHFWLRQ IRU IXWXUH

PAGE 184

&OHDUO\ WKH H[DPLQDWLRQ RI VNLOO DFTXLVLWLRQ RI IDPLO\ WKHUDS\ WUDLQHHV KDV LPSOLFDWLRQV QRW RQO\ IRU WUDLQLQJ EXW IRU WKH RI IDPLO\ WKHUDS\ DV ZHOO 6XPPDU\ ,Q FRQFOXVLRQ WKLV UHVHDUFKHU KDV GHVFULEHG WKH QDWXUHFKDUDFWHULVWLFV RI WKH QRYLFHOHYHO WUDLQHH DVVHVVHG WKH VNLOO DFTXLVLWLRQ RI QRYLFHOHYHO WUDLQHHV LQ WKH LQLWLDO SKDVH RI IDPLO\ WKHUDS\ WUDLQLQJ DQG LQYHVWLJDWHG WKH LPSDFW RI IRXU WUDLQHH FKDUDFWHULVWLFV Df H[WHQW RI SULRU WUDLQLQJ LQ LQGLYLGXDO DQG IDPLO\ WKHUDS\ Ef H[WHQW RI SULRU ZRUN H[SHULHQFH LQ LQGLYLGXDO DQG IDPLO\ WKHUDS\ Ff H[WHQW RI LQLWLDO NQRZOHGJH RI IDPLO\ WKHUDS\ DQG Gf SUHIHUUHG OHDUQLQJ VW\OH RI WKH 5HVXOWV KDYH EHHQ LQWHUSUHWHG WR LQGLFDWH WKDW WKH LQLWLDO SKDVH RI IDPLO\ WKHUDS\ WUDLQLQJ GRHV VLJQLILFDQWO\ LPSURYH WKH QRYLFHOHYHO WUDLQHHnV VNLOO DFTXLVLWLRQ ,QLWLDO NQRZOHGJH RI IDPLO\ WKHUDS\ GLG DIIHFW WKH DPRXQW RI VNLOO DFTXLVLWLRQ RI VWXGHQW LQ DQ LQYHUVH GLUHFWLRQ +RZHYHU WUDLQHH FKDUDFWHULVWLFV VXFK DV SULRU WUDLQLQJ ZRUN H[SHULHQFH DQG OHDUQLQJ VW\OH GLG QRW LQIOXHQFH WKH DFTXLVLWLRQ RI IDPLO\ WKHUDS\ VNLOOV ,W ZDV QRW VXUSULVLQJ WKDW SULRU WUDLQLQJ DQG ZRUN H[SHULHQFH KDG QR SUHGLFWLYH SRZHU EHFDXVH RI WKH OLPLWHG DPRXQW DFFUXHG E\ WUDLQHHV +RZHYHU LW ZDV

PAGE 185

VRPHZKDW SHUSOH[LQJ WKDW OHDUQLQJ VW\OH KDG QR SUHGLFWLYH SRZHU 5HVXOWV VKRZHG WKDW PRUH WKDQ b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nV OHYHO IDPLO\ WUDLQLQJ RI IDPLO\ YHUVXV SRVWGHJUHH

PAGE 186

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f SUHWHVW DQG Ef WR EH FRPSOHWHG E\ SDUWLFLSDQWV .ROE /HDUQLQJ 6W\OHV ,QYHQWRU\ /6,f ,QVWUXFWLRQV DUH VHOIH[SODQDWRU\f WR EH FRPSOHWHG E\ WKH SDUWLFLSDQWV DW SUHWHVW RQO\ )DPLO\ 7KHUDS\ $VVHVVPHQW ([HUFLVH )7$(f 7DSH WR EH VKRZQ WR FODVV E\ WKH SURIHVVRULQVWUXFWRU DW SUHWHVWLQJ DQG SRVWWHVWLQJ )DPLO\ 7KHUDS\ $VVHVVPHQW ([HUFLVH )7$(f ,QVWUXFWLRQV DQG 4XHVWLRQQDLUH ,QVWUXFWLRQV DUH VHOI H[SODQDWRU\f WR EH FRPSOHWHG E\ WKH SDUWLFLSDQWV DW SUHWHVWLQJ DQG SRVWWHVWLQJ )DPLO\ 7KHUDS\ $VVHVVPHQW ([HUFLVH )7$(f $QVZHU Df SUHWHVW WLPH f DQG Ef SRVWWHVW WLPH f

PAGE 187

,Q DGGLWLRQ WR WKLV LQ RUGHU WR HVWDEOLVK VRPH FRPPRQDOLW\ IRU WKH WUDLQLQJ H[SHULHQFHV FRXUVHf ZRXOG OLNH WR REWDLQ Df D FRXUVH V\OODEXV DQG Ef D FRXUVH GHVFULSWLRQ FKHFNOLVW IURP \RX KDYH HQFORVHG WKH FRXUVH GHVFULSWLRQ FKHFNOLVW DQG D VWDPSHG UHWXUQ HQYHORSH IRU WKLV DQG WKH FRXUVH V\OODEXV ZRXOG JUHDWO\ DSSUHFLDWH WKLV LQIRUPDWLRQ DW \RXU HDUOLHVW FRQYHQLHQFH (QFORVHG \RX ZLOO DOVR ILQG D VWDPSHG UHWXUQ SDFNHW IRU WKH SDUWLFLSDQW PDWHULDOV SUHWHVWSRVWWHVWf ZKLFK FDQ EH DW RQH WLPH DW WKH HQG RI WKH VHPHVWHU DLOHG ZRXOG OLNH WR WDNH WKH RSSRUWXQLW\ WR WKDQN \RX LQ DGYDQFH IRU \RXU SDUWLFLSDWLRQ LQ WKH VWXG\ DQG WKH WLPH DQG HIIRUW \RX SXW IRUWK ZLOO EH FRQWDFWLQJ \RX E\ SKRQH ZLWKLQ WKH QH[W IHZ ZHHNV DV WR WKH PDWHULDOV DQG DQ\ TXHVWLRQV \RX PD\ KDYH FRQFHUQLQJ WKH VWXG\ ,I \RX KDYH DQ\ TXHVWLRQV SOHDVH IHHO IUHH WR FDOO PH DW f FROOHFWf 7KDQN \RX DJDLQ 6LQFHUHO\ 5LWD /DZOHU *RRGPDQ 06 (G6 5/* DZ

PAGE 188

&ODVV $QQRXQFHPHQW :H DUH LQWHUHVWHG LQ VWXG\LQJ WKH WUDLQLQJ RI IDPLO\ WKHUDSLVWV DQG ZH QHHG \RXU KHOS 6SHFLILFDOO\ ZH ZRXOG OLNH WR H[DPLQH SHUIRUPDQFH RI WUDLQHHV DW WKH EHJLQQLQJ DQG HQG RI WKLV FRXUVH WR DVVHVV WKHLU DELOLW\ WR ORRN DW LQWHUDFWLRQDO SDWWHUQV DQG ZD\V RI ZRUNLQJ ZLWK IDPLOLHV 3DUWLFLSDWLRQ LQ WKH SURMHFW UHTXLUHV \RX WR YLHZ D YLGHRWDSH RI D VLPXODWHG IDPLO\ WKHUDS\ LQWHUYLHZ 7KH WDSH ZLOO EH VWRSSHG LQWHUPLWWHQWO\ VR WKDW PXOWLSOH FKRLFH TXHVWLRQV FRQFHUQLQJ HDFK VHJPHQW RI WKH LQWHUYLHZ FDQ EH ,Q DGGLWLRQ \RX ZLOO EH DVNHG WR FRPSOHWH WZR EULHI TXHVWLRQQDLUHV UHJDUGLQJ \RXU SHUVRQDO OHDUQLQJ VW\OH DQG \RXU WUDLQLQJ DQG ZRUN H[SHULHQFH LQ WKH ILHOG RI FRXQVHOLQJSV\FKRORJ\ DQG PDUULDJH DQG IDPLO\ WKHUDS\ 3DUWLFLSDWLRQ LQ WKLV SURMHFW LV YROXQWDU\ 7KH GDWD FROOHFWHG IRU WKH SURMHFW LV QRW SDUW RI WKH FODVV UHTXLUHPHQW ZLOO LQ QR ZD\ DIIHFW \RXU SDUWLFLSDWLRQ LQ WKH FODVV DQG ZLOO QRW EH YLHZHG E\ WKH LQVWUXFWRU WR GHWHUPLQH \RXU JUDGH 3DUWLFLSDWLRQ LQ WKH SURMHFW ZLOO EH VFKHGXOHG GXULQJ FODVV WLPH DW WKH EHJLQQLQJ DQG HQG RI WKH VHPHVWHU 7KH SURMHFW ZLOO DGGUHVV VHYHUDO TXHVWLRQV UHJDUGLQJ HIIHFWLYH WUDLQLQJ RI PDUULDJH DQG IDPLO\ WKHUDSLVWV :H DUH DZDUH WKDW LW ZRXOG EH RI VRPH EHQHILW WR \RX DV D SDUWLFLSDQW WKHUHIRUH ZH DUH ZLOOLQJ WR JLYH \RX SHUVRQDO IHHGEDFN FRQFHUQLQJ \RXU SDUWLFLSDWLRQ DW WKH HQG RI WKH SURMHFW $OO LQIRUPDWLRQ ZLOO EH NHSW VWULFWO\ FRQILGHQWLDO 3OHDVH IHHO IUHH WR DVN DQ\ TXHVWLRQV WKDW \RX PD\ KDYH FRQFHUQLQJ WKH SURMHFW

PAGE 189

$33(1',; % &/$66 &217(17 &5,7(5,$ 7KHUH DUH D ZLGH YDULHW\ RI DSSURDFKHV XVHG LQ WUDLQLQJ PDUULDJH DQG IDPLO\ WKHUDSLVWV 7KH DUHD RI LQWHUHVW IRU WKLV VWXG\ FRQFHUQV WKH H[DPLQDWLRQ RI EHJLQQLQJ VWXGHQWVn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f 'HVFULEH SUHLQWHUYLHZ DVVHVVPHQW SODQQLQJ 'HVFULEH DVVHVVPHQW LQWHUYLHZ VNLOOV

PAGE 190

,OOXVWUDWH KRZ WR DVVHVV IDPLO\ SDWWHUQV E\ PDSSLQJ D IDPLO\ YLGHR RU VLPXODWHGf IURP YLHZ Ef VWUXFWXUDO YLHZ DQG Ff VHTXHQFH YLHZ Df GHYHORSPHQWDO LQWHUDFWLRQDO )RUPXODWH DQ LQLWLDO K\SRWKHVLV RI D IDPLO\ IURP WKH LQLWLDO LQWDNHIDFH VKHHW XVLQJ DSSURSULDWH DVVHVVPHQW FULWHULD $QDO\]H ZULWWHQ DQG YLGHRWDSHG LQWHUDFWLRQDO 0DNH DQ DVVHVVPHQW RI D IDPLO\ WKURXJK WKH DQDO\VLV RI D YLGHRWDSH SUHVHQWDWLRQ RU VLPXODWLRQ 3DUWLFLSDWH LQ UROH SOD\LQJ RI DQ LQLWLDO IDPLO\ LQWHUYLHZ &RQGXFW DQ DVVHVVPHQWFRQVXOWDWLRQ LQWHUYLHZ ZLWK D VLPXODWHG IDPLO\ RU FRXSOH 8VH RI ZULWWHQ H[DPLQDWLRQV WR HYDOXDWH LQIRUPDWLRQDO OHYHO ,QWHUYLHZ D VLPXODWHG IDPLO\ DQG ZULWH XS D IDPLO\ DVVHVVPHQW VXPPDU\ DQG WUHDWPHQW UHFRPPHQGDWLRQV :ULWH D PDMRU SDSHU HYDOXDWLQJ D IDPLO\ IURP D SDUWLFXODU FRQFHSWXDO YLHZSRLQW 3OHDVH DGG LWHPV QRW PHQWLRQHG ZKLFK \RX XVH LQ \RXU FRXUVH

PAGE 191

5HDGLQJV 3OHDVH FLUFOH WKRVH UHDGLQJV OLVWHG EHORZ ZKLFK \RX XVH LQ \RXU FRXUVH $SRQWH + t 9DQ 'HXVHQ 0 IDPLO\ WKHUDS\ ,Q $ 6 *XUPDQ t f 6WUXFWXUDO 3 .QLVNHUQ (G6f +DQGERRN RI )DPLO\ 7KHUDS\ SS f 1HZ
PAGE 192

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

PAGE 193

3DUWLFLSDQWVn QDPHV ZLOO EH FRGHG E\ QXPEHU $OWKRXJK WKH LQVWUXFWRU ZLOO DGPLQLVWHU WKH TXHVWLRQQDLUHV DOO VFRULQJ DQG IHHGEDFN RI WHVW UHVXOWV ZLOO EH KDQGOHG E\ WKH UHVHDUFKHU 7KHUHIRUH WKH LQVWUXFWRU ZLOO KDYH QR NQRZOHGJH RI DQ LQGLYLGXDOnV SHUIRUPDQFH WR DVN DQ\ TXHVWLRQV WKDW \RX PD\ KDYH XQGHUVWDQG WKH QDWXUH RI WKH UHVHDUFK GHVFULEHG WR H DERYH DQG DJUHH WR SDUWLFLSDWH ZLWK WKH NQRZOHGJH WKDW PD\ ZLWKGUDZ DQ\ WLPH ZLWKRXW SUHMXGLFH 5LWD /DZOHU *RRGPDQ 06 (G6 3ULQFLSDO ,QYHVWLJDWRU (OOHQ $PDWHD 3K' 6XSHUYLVRU

PAGE 194

$33(1',; 7+(5$3< (;3(5,(1&( ,19(1725< %DFNJURXQG ,QIRUPDWLRQ 3OHDVH FRPSOHWH WKH IROORZLQJ TXHVWLRQV DERXW \RXUVHOI \RXU WUDLQLQJ \RXU ZRUN H[SHULHQFH DQG \RXU FRXQVHOLQJ WKHUDS\ RULHQWDWLRQ 1DPH 0DULWDO VWDWXV FLUFOH RQHf 1HYHU PDUULHG PDUULHG GLYRUFHG UHPDUULHG FRKDELWLQJ $JHV RI FKLOGUHQ LI DQ\f LQGLFDWH LI QDWXUDO RU VWHSFKLOGUHQf 7UDLQLQJ :KDW DFDGHPLF GHJUHHVf GR \RX QRZ KROG DQG LQ ZKDW ILHOGVf RI VWXG\" $UH \RX FXUUHQWO\ HQUROOHG LQ D GHJUHH SURJUDP" ,I VR SOHDVH VSHFLI\ WKH GHJUHH DQG WKH DMRUWUDFW \RX DUH LQ ,V WKH *5( D UHTXLUHPHQW IRU WKLV SURJUDP" VR ZKDW LV \RXU *5( VFRUH" ,I :KDW \HDU DUH \RX LQ WKLV SURJUDP" HJ ILUVW \HDU IRXUWK \HDUf $SSUR[LPDWHO\ KRZ PDQ\ FRXUVHV KDYH \RX KDG RQ FRXQVHOLQJSV\FKRWKHUDS\" :KDW SHUFHQWDJH RI WKHVH KDYH IRFXVHG RQ IDPLO\V\VWHPLF FRXQVHOLQJ WKHUDS\"

PAGE 195

$SSUR[LPDWHO\ KRZ PDQ\ KRXUV RI RQHRQRQH VXSHUYLVLRQ RI \RXU FRXQVHOLQJSV\FKRWKHUDS\ KDYH \RX UHFHLYHG" :KDW SHUFHQWDJH RI WKHVH KRXUV ZHUH GHYRWHG WR IDPLO\ FRXQVHOLQJWKHUDS\ VXSHUYLVLRQ" :DV \RXU IDPLO\ FRXQVHOLQJWKHUDS\ VXSHUYLVRU D WUDLQHG IDPLO\ WKHUDSLVW" ,I VR ZKDW ZDV KLVKHU RULHQWDWLRQ" 'R \RX FXUUHQWO\ UHFHLYH IDPLO\ WKHUDS\ VXSHUYLVLRQ" ,I VR WKH QXPEHU RI KRXUV SHU ZHHN DQG W\SH RI VXSHUYLVLRQ HJ OLYH YLGHR DXGLR FDVHf $SSUR[LPDWHO\ KRZ PDQ\ KRXUV RI ZRUNVKRSFRQWLQXLQJ HGXFDWLRQ WUDLQLQJ RQ IDPLO\ WKHUDS\ FRXQVHOLQJ KDYH \RX SDUWLFLSDWHG LQ RYHU WKH SDVW \HDUV" +RZ PDQ\ \HDUV RI H[SHULHQFH XVH IUDFWLRQ LI OHVV WKDQ RQHf ZRXOG \RX VD\ \RX KDYH LQ GRLQJ ,1',9,'8$/ LH QRW IDPLO\ FRXQVHOLQJWKHUDS\f" :KDW SHUFHQWDJH RI WKLV ZDV GLUHFW VHUYLFH IDFH WRIDFH FOLHQW FRQWDFWf" $SSUR[LPDWHO\ KRZ PDQ\ LQGLYLGXDOV KDYH \RX ZRUNHG ZLWK LQ FRXQVHOLQJWKHUDS\" RUH WKDQ +RZ PDQ\ \HDUV RI H[SHULHQFH XVH IUDFWLRQ LI OHVV WKDQ RQHf ZRXOG \RX VD\ \RX KDYH LQ GRLQJ )$0,/< FRXQVHOLQJWKHUDS\" :KDW SHUFHQWDJH RI WKLV ZDV GLUHFW VHUYLFH IDFHWRIDFH FOLHQW FRQWDFWf" $SSUR[LPDWHO\ KRZ PDQ\ IDPLOLHV KDYH \RX ZRUNHG ZLWK LQ IDPLO\ WKHUDS\" RUH WKDQ $SSUR[LPDWHO\ KRZ PDQ\ FRQWDFW KRXUV KDYH \RX DFFXPXODWHG LQ GRLQJ FRXQVHOLQJWKHUDS\" $SSUR[LPDWHO\ KRZ PDQ\ FRQWDFW KRXUV KDYH \RX DFFXPXODWHG LQ GRLQJ IDPLO\"

PAGE 196

3OHDVH LQGLFDWH WKH SUHGRPLQDQW W\SH RI FRXQVHOLQJSV\FKRWKHUDS\ \RX KDYH EHHQ GRLQJ DQG WKH SURSRUWLRQ RI \RXU WLPH LQYROYHG E\ FLUFOLQJ RQH RI WKH IROORZLQJ D LQGLYLGXDOO\ RULHQWHG FRXQVHOLQJ RQO\ E PDLQO\ LQGLYLGXDO EXW VRPH IDPLO\ SOHDVH JLYH SHUFHQWDJH RI XVXDO ZRUN ORDG WKDW LV LQGLYLGXDO F DQG SHUFHQWDJH WKDW LV IDPLO\ f PDLQO\ IDPLO\ EXW VRPH LQGLYLGXDO SOHDVH JLYH SHUFHQWDJH RI XVXDO ZRUN ORDG WKDW LV IDPLO\ DQG SHUFHQWDJH WKDW LV LQGLYLGXDO G IDPLO\ RQO\ H RWKHU SOHDVH VSHFLI\f f

PAGE 197

%DFNJURXQG ,QIRUPDWLRQ DW 7LPH 1$0( 6LQFH \RX SDUWLFLSDWHG LQ WKH WHUP KRZ PXFK IXUWKHU WKLV DVVHVVPHQW DW WKH ILUVW RI WUDLQLQJ DQG ZRUN H[SHULHQFH LQ LQGLYLGXDO DQG IDPLO\ V\VWHPV FRXQVHOLQJWKHUDS\ KDYH \RX DFTXLUHG" 3OHDVH OLVW WKH QXPEHU RI FRXQVHOLQJ FRQWDFW KRXUV \RX KDYH DFFXPXODWHG GXULQJ WKLV WHQ )DPLO\ FRXQVHOLQJ FRQWDFW KRXUV ,QGLYLGXDO FRXQVHOLQJ FRQWDFW KRXUV 3OHDVH OLVW DQ\ VXSHUYLVLRQ LQGLYLGXDO RU JURXS VXSHUYLVLRQf ZKLFK \RX KDYH DFTXLUHG WKLV WHUP )DPLO\ WKHUDS\ VXSHUYLVLRQ 2QHWRRQH VXSHUYLVLRQ *URXS VXSHUYLVLRQ ,QGLYLGXDO WKHUDS\ VXSHUYLVLRQ 2QHWRRQH VXSHUYLVLRQ *URXS VXSHUYLVLRQ 3OHDVH GHVFULEH DQ\ DGGLWLRQDO IDPLO\ V\VWHPV UHODWHG FRXUVHZRUN RU ZRUNVKRSV LQ ZKLFK \RX KDYH SDUWLFLSDWHG VLQFH WKH DVVHVVPHQW DW WKH ILUVW RI WKH WHUP RWKHU WKDQ WKLV FRXUVHf &ODVVHV KRXUVf :RUNVKRSV &(8nVf $Q\ RWKHU H[SHULHQFHV ZH VKRXOG NQRZ DERXW"

PAGE 198

$33(1',; ( .2/% /($51,1* 67
PAGE 199

1DPH 'DWH 7KHUH DUH QLQH VHWV RI IRXU ZRUGV OLVWHG EHORZ 5DQN RUGHU WKH ZRUGV LQ HDFK VHW E\ DVVLJQLQJ D WR GLH ZRUG ZKLFK EHVW FKDUDFWHUL]HV \RXU OHDUQLQJ VW\OH D WR WKH ZRUG ZKLFK QH[W EHVW FKDUDFWHUL]HV \RXU OHDUQLQJ VW\OH D WR WKH QH[W PRVW FKDUDFWHULVWLF ZRUG DQG D WR WKH ZRUG ZKLFK LV OHDVW FKDUDFWHULVWLF RI \RX DV D OHDUQHU
PAGE 200

$33(1',; ) 7+( )$0,/< 7+(5$3< $66(660(17 (;(5&,6( ,QVWUXFWLRQV IRU $VVHVVPHQW ([HUFLVH ,QWURGXFWLRQ
PAGE 201

TXHVWLRQV FRQFHUQLQJ \RXU XQGHUVWDQGLQJ RI HYHQWV UHPHPEHU WKDW DOO RI WKH DOWHUQDWLYHV KDYH VRPH YDOLGLW\ GHSHQGLQJ RQ RQHnV SHUVSHFWLYH VR VHOHFW WKH RQHV ZKLFK VHHPV FRUUHFW WR \RX
PAGE 202

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

PAGE 203

48(67,216 )25 6(*0(17 21(
PAGE 204

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nV H WKH IRU EHLQJ SDWLHQW ZLWK D VHQVLWLYH E 7KH WKHUDSLVW VKRXOG KDYH VSRNHQ PRUH WR &DUO EHFDXVH KH WRR PXVW EH HQJDJHG DQG PRWLYDWHG F 7KH WKHUDSLVW VKRXOG KDYH IXUWKHU H[SORUHG WKH IDWKHUnV ZRUN LQ RUGHU WR KLJKOLJKW LW DV DQ DUHD RI FRPSHWHQFH IRU WKH IDWKHU G 7KH WKHUDSLVW PLVVHG DQ RSSRUWXQLW\ WR IRFXV RQ LQWHUDFWLRQ ZKHQ &DUO WXUQHG DQG ZKLVSHUHG VRPHWKLQJ WR PRWKHU 6723 '2 127 7851 7+( 3$*( 817,/ <28 +$9( 6((1 7+( 1(;7 6(*0(17 2) 7$3(

PAGE 205

48(67,216 )25 6(*0(17 7:2
PAGE 206

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n VXJJHVWLRQ WKDW &DUOnV EHGZHWWLQJ LV VRPHKRZ DVVRFLDWHG ZLWK ZRUU\ 6HOHFW WKH DOWHUQDWLYH ZKLFK \RX EHOLHYH LV WKH EHVW DVVHVVPHQW RI WKLV LQWHUYHQWLRQ D 7KH LQWHUYHQWLRQ LV FRUUHFW EHFDXVH LW SURYLGHV DQ H[SODQDWLRQ ZKLFK HQDEOHV WKH WKHUDSLVW WR IRFXV RQ IDPLO\ LQWHUDFWLRQ E 7KH LQWHUYHQWLRQ LV D PLVWDNH EHFDXVH KH IDLOV WR DVN &DUO ZKHWKHU KH DFWXDOO\ ZRUULHV DERXW VXFK WKLQJV F 7KH LQWHUYHQWLRQ LV D PLVWDNH EHFDXVH KH LV EHJLQQLQJ WR VKRZ WKH FRQQHFWLRQ EHWZHHQ &DUOnV EHGZHWWLQJ DQG KLV IHHOLQJV G 7KH LQWHUYHQWLRQ LV D PLVWDNH EHFDXVH KH SUHPDWXUHO\ OHDGV WKH SDUHQWV WR YLHZ &DUOnV SUREOHP LQ D FHUWDLQ ZD\ 6723 '2 127 7851 7+( 3$*( 817,/ <28 +$9( 6((1 7+( 1(;7 6(*0(17 2) 7$3(

PAGE 207

48(67,216 )25 6(*0(17 7+5((
PAGE 208

6HOHFW WKH DOWHUQDWLYH ZKLFK \RX EHOLHYH LV WKH EHVW H[SODQDWLRQ WR DFFRXQW IRU IDWKHU \HOOLQJ DW &DUO D)DWKHU LV WDNLQJ RXW WKH DQJHU KH IHHOV WRZDUG KLV ZLIH RQ &DUO )DWKHU \HOOV DW &DUO FRQIOLFW ZLWK PRWKHU DQG WKXV DYRLGV IXUWKHU F )DWKHU KDV D EDG WHPSHU ZKLFK HDVLO\ JHWV RXW RI KDQG G )DWKHU LV H[WUHPHO\ VHQVLWLYH DERXW WKH VXEMHFW RI GLVFLSOLQH 6HOHFW WKH DOWHUQDWLYH ZKLFK \RX EHOLHYH LV WKH EHVW H[SODQDWLRQ IRU WKH VW\OH RI IDWKHUnV GLVFLSOLQH D 7KH VW\OH LV UHODWHG WR KLV ZLIH EHLQJ WRR VRIW LQ KHU GLVFLSOLQH E 7KH VW\OH LV UHODWHG WR WKH DQJHU KH IHHOV WRZDUG KLV ZLIH F 7KH VW\OH LV UHODWHG WR KLV LQDELOLW\ WR WROHUDWH EHKDYLRU LQ KLV FKLOGUHQ RI ZKLFK KH GRHV QRW DSSURYH G 7KH VW\OH LV UHODWHG WR WKH IUXVWUDWLRQ KH H[SHULHQFHV ZKHQ KLV FKLOGUHQ DUH UHSHDWHGO\ GLVREHGLHQW 6723 '2 127 7851 7+( 3$*( 817,/ <28 +$9( 6((1 7+( 1(;7 6(*0(17 2) 7$3(

PAGE 209

48(67,216 )25 6(*0(17 )285
PAGE 210

'XULQJ WKLV VHJPHQW WKH WKHUDSLVW PDNHV LQLWLDO VWDWHPHQWV DERXW WKH SUREOHP RI GLVFLSOLQH DQG JHWV WKH SDUHQWV WR GLVFXVV WKH LVVXH 6HOHFW WKH DOWHUQDWLYH WKDW EHVW DVVHVVHV WKLV LQWHUYHQWLRQ 7KH WKHUDSLVWnV LQLWLDO VWDWHPHQWV H[FXVHG WKH IDWKHUnV KDUVKQHVV WR WKH SRLQW WKDW WKH RWKHU IHOW KH WRRN IDWKHUnV VLGH DQG VR UHVLVWV WKLV LQIRUPDWLRQ E 7KH WKHUDSLVW FUHDWHG D JRRG SHUVSHFWLYH ZLWK WKH SDUHQWV DERXW WKHLU GLVFLSOLQH VW\OH EXW GLG QRW IROORZ WKURXJK WR JHW WKH IDPLO\ WR LQWHUDFW LQ QHZ ZD\V EDVHG RQ WKLV SHUVSHFWLYH 7KH WKHUDSLVWnV LQLWLDO VWDWHPHQWV ZHUH ZHOO IRUPXODWHG DQG KHOSHG VHW XS WKH HQVXLQJ GLVFXVVLRQ +H ZDV ZLVH WR QRW SXVK WKH LVVXH RI GLVFLSOLQH VW\OH IXUWKHU DW WKLV HDUO\ VWDJH RI WUHDWPHQW 7KH WKHUDSLVWnV LQLWLDO VWDWHPHQWV ZHUH IRUPXODWHG RQ LQVXIILFLHQW LQIRUPDWLRQ FRQVHTXHQWO\ KH ZLOO KDYH WURXEOH JHWWLQJ SDUHQWV WR DFFHSW WKHVH QHZ LGHDV DQG WU\ QHZ EHKDYLRUV WKH WKH 6723 '2 127 7851 7+( 3$*( 817,/ <28 +$9( 6((1 7+( 1(;7 6(*0(17 2) 7$3(

PAGE 211

48(67,216 )25 6(*0(17 ),9(
PAGE 212

6HOHFW WKH DOWHUQDWLYH WKDW EHVW UDWHV WKH n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

PAGE 213

48(67,216 )25 6(*0(17 6,;
PAGE 214

6HOHFW WKH DOWHUQDWLYH ZKLFK \RX IHHO LV WKH PRVW XVHIXO ZD\ WR YLHZ WKH VHTXHQFH GHVFULEHG LQ TXHVWLRQ D7KH IDWKHU KDV D WHQGHQF\ WR VFDSHJRDW &DUO ZKHQ KH LV DQJU\ ZLWK KLV ZLIH 7KLV IDPLO\ FDQQRW WROHUDWH VXVWDLQHG DQG RYHUW FRQIOLFW EHWZHHQ WKH SDUHQWV F 7KLV IDPLO\ KDV D ORZ OHYHO RI FRPPXQLFDWLRQ VNLOOV ZKLFK KLQGHUV FRQIOLFW UHVROXWLRQ :KHQ WKH IDWKHU SXWV WKH &DUO WR GHIHQG KHU RWKHU GRZQ %HORZ DUH VL[ VWDWHPHQWV DERXW WKH WKHUDSLVWnV EHKDYLRU LQ WKH SUHYLRXV VHJPHQW 6HOHFW WKH DOWHUQDWLYH ZKLFK FOXVWHUV WRJHWKHU WKH WKUHH VWDWHPHQWV ZKLFK \RX EHOLHYH SURYLGHV WKH EHVW DVVHVVPHQW RI KLV EHKDYLRU (DUO\ VHJPHQW WKH WRSLF IURP D PDULWDO WR D SDUHQWDO LVVXH SUREOH +H LQFRUUHFWO\ UHGLUHFWV IURP PDULWDO LVVXHV EHFDXVH WKH SDUHQWV VKRXOG EH HQFRXUDJHG WR 7KH EORFN RI &DUO ZRXOG EH LPSURYHG E\ DVNLQJ WKH PRWKHU WR SUHYHQW &DUOnV LQWHUUXSWLRQV +H FRUUHFWO\ EORFNV &DUO KLPVHOI VR WKDW WKH SDUHQWV GR QRW JHW LQWR D SRZHU VWUXJJOH ZLWK &DUO $W WKH HQG RI WKH VHJPHQW WKH WKHUDSLVW LQFRUUHFWO\ DOORZV WKH IDWKHU WR DYRLG WDONLQJ WR KLV ZLIH E\ HQJDJLQJ KL $W WKH HQG WKH IDWKHU KDV DFFHSWHG WKH WKHUDSLVWnV LQWHUYHQWLRQ DQG WKH WKHUDSLVW LV FRUUHFW WR HQJDJH ZLWK KLP WR KLJKOLJKW WKH PRYH D E F G &217,18( 72 7+( 1(;7 3$*(

PAGE 215

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

PAGE 216

48(67,216 )25 6(*0(17 6(9(1
PAGE 217

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

PAGE 218

48(67,216 )25 6(*0(17 (,*+7
PAGE 219

:KLFK RI WKH IROORZLQJ LV WKH OHDVW FRUUHFW REVHUYDWLRQ DERXW WKH WKHUDSLVWnV EHKDYLRU LQ WKH ODVW VHJPHQW" 7KH ILUVW WLPH WKH IDWKHU LQWHUUXSWV WKH WKHUDSLVW QRQYHUEDOO\ WR 6XVLH DQG PRWKHU UHGLUHFWV WKH IRFXV EDFN E $IWHU WKH VHFRQG LQWHUUXSWLRQ WKH WKHUDSLVW PDGH LW FOHDU WKDW IDWKHU DQG &DUO VKRXOG QRW LQWHUUXSW PRWKHU DQG 6XVLH F (DUO\ LQ WKH VHJPHQW WKHUDSLVW PDNHV LW FOHDU WKDW LW LV LPSRUWDQW IRU PRWKHU DQG 6XVLH WR EH DEOH WR WDON WR HDFK RWKHU G$W RQH SRLQW WKH WKHUDSLVW LQWHUUXSWV &DUOnV LQWHUUXSWLQJ DQG UHGLUHFWV WKH IRFXV EDFN WR PRWKHU DQG 6XVLHn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

PAGE 220

6HOHFW WKH DOWHUQDWLYH ZKLFK DSSUR[LPDWHV PRVW FORVHO\ ZKDW \RX ZRXOG KDYH VDLG ZKHQ WKH PRWKHU WXUQHG WR WKH WKHUDSLVW DQG VDLG RI JLYH XS DQG MXVW NLQG D ,W PXVW EH SDLQIXO IRU ERWK RI \RX WR KDYH VXFK GLIILFXOW\ WDONLQJ WR RQH DQRWKHU E ,V WKDW WUXH 6XVLH DUH \RX UHDOO\ GLVLQWHUHVWHG" F
PAGE 221

1$0( B '$7( B $16:(5 6+((7 D E F G D E F G D E F G D E F G D E F G D E F G D E F G D E F G D E F G D E F G D E F G D E F G D E F G D E F G D E F G D E F G D E F G D E F G D E F G D E F G D E F G D E F G D E F G D E F G D E F G D E F G D E F G D E F G D E F G D E F G D E F G D E F G

PAGE 222

1$0( '$7( $16:(5 6+((7 D E F G D E F G D E F G D E F G D E F G D E F G D E F G D E F G D E F G D E F G D E F G D E F G D E F G D E F G D E F G D E F G D E F G D E F G D E F G D E F G D E F G D E F G D E F G D E F G D E F G D E F G D E F G D E F G D E F G D E F G D E F G D E F G

PAGE 223

$33(1',; 0($16 $1' 67$1'$5' '(9,$7,216 2) 75$,1(( &+$5$&7(5,67,&6 %< 6&+22/

PAGE 224

0HDQV DQG 6WDQGDUG 'HYLDWLRQV RI 7UDLQHH &KDUDFWHULVWLFV E\ 6FKRRO 9DULDEOH $FUH ,QGLYLGXDO &RXQVHOLQJf 0) &RXUVHV 6XSHUYLVLRQ 0) 6XSHUYLVLRQ ,QG
PAGE 225

5()(5(1&(6 $EEH\ 6 +XQW ( t :HLVHU & f 9DULDWLRQV RQ D WKHPH E\ .ROE $ QHZ SHUVSHFWLYH XQGHUVWDQGLQJ FRXQVHOLQJ DQG VXSHUYLVLRQ 7KH &RXQVHOLQJ 3V\FKRORJLVW $FNHUPDQ 1 IDPLO\ f WKHUDS\ 6RPH FRQVLGHUDWLRQV IRU WUDLQLQJ LQ ,Q &DUHHU GLUHFWLRQV 9RO ,, SS f (DVW +DQRYHU 16DQGR] 3KDUPDFHXWLFDOV $OH[DQGHU %DUWRQ & 6FKLDYR 5 t 3DUVRQV % f 6\VWHPVf§EHKDYLRUDO LQWHUYHQWLRQ ZLWK IDPLOLHV RI GHOLQTXHQWV 7KHUDSLVWV FKDUDFWHULVWLFV IDPLO\ EHKDYLRU DQG RXWFRPH -RXUQDO RI &RQVXOWLQJ DQG &OLQLFDO 3V\FKRORJ\ $OOUHG t .HUVH\ ) f 7KH $,$& D GHVLJQ IRU V\VWHPDWLFDOO\ DQDO\]LQJ PDUULDJH DQG IDPLO\ FRXQVHOLQJ $ SURJUHVV UHSRUW DQG )DPLO\ &RXQVHOLQJ -RXUQDO RI 0DUULDJH $PHULFDQ $VVRFLDWLRQ IRU 0DUULDJH DQG )DPLO\ 7KHUDS\ &RPPLVVLRQ RQ $FFUHGLWDWLRQ IRU 0DUULDJH DQG )DPLO\ 7KHUDS\ (GXFDWLRQ f 0DUULDJH DQG IDPLO\ WKHUDS\ 0DQQXDO RQ DFFUHGLWDWLRQ 8SODQG &$ $XWKRU $SRQWH ) f 8QGHURUJDQL]DWLRQ LQ WKH SRRU IDPLO\ ,Q 3 *XHULQ -U (Gf )DPLO\ WKHUDS\ 7KHRU\ DQG SUDFWLFH SS f 1HZ
PAGE 226

$YLV 0 t 6SUHQNOH '+ IDPLO\ WKHUDS\ WUDLQLQJ f 2XWFRPH UHVHDUFK RQ $ VXEVWDQWLDO DQG PHWKRGRORJLFDO UHYLHZ -RXUQDO RI 0DULWDO DQG )DPLO\ 7KHUDS\ f %DUWRQ & t $OH[DQGHU ) f VNLOOV LQDQWV RI HIIHFWLYH V\VWHPVf§EHKDYLRUDO IDPLO\ WKHUDS\ ,QWURGXFWLRQDO -RXUQDO RI )DPLO\ &RXQVHOLQJ %DWHVRQ f 6WHSV WR DQ HFRORJ\ RI PLQG 1HZ
PAGE 227

%UHXQOLQ & 6FKZDUW] 5 & .UDXVH 0 6 t 6HOOH\ (YDOXDWLQJ IDPLO\ WKHUDS\ WUDLQLQJ -RXUQDO RI 0DULWDO / 0 f 7KH GHYHORSPHQW RI DQ LQVWUXPHQW DQG )DPLO\ 7KHUDS\ %UXQHU 6 f 7RZDUGV D WKHRU\ RI LQVWUXFWLRQ 1HZ
PAGE 228

&RQVWDQWLQH / f 'HVLJQHG H[SHULHQFH $ PXOWLSOH JRDO GLUHFWHG WUDLQLQJ SURJUDP )DPLO\ 3URFHVV &RRN 7 t &DPSEHOO 7 f 2XDVL H[SHULPHQWDWLRQ 'HVLJQ DQG DQDO\VLV LVVXHV IRU ILHOG VWXGLHV &KLFDJR ,/ 5DQG 0F1DOO\ 'HZH\ f 0DFPLOODQ ([SHULHQFH DQG HGXFDWLRQ 1HZ
PAGE 229

)OR[QHQKDIW WUDLQLQJ t &DUWHU 5 f 3URJUDP DQG RXWFRPH )DPLO\ WKHUDS\ )DPLO\ 3URFHVV )RQJ 0 / t %RUGHUV / f 7KH HIIHFW RI VH[ UROH RULHQWDWLRQ DQG JHQGHU RQ FRXQVHOLQJ VNLOOV WUDLQLQJ -RXUQDO RI &RXQVHOLQJ 3V\FKRORJ\ )RQJ 0 / %RUGHUV / t 1HLPH\HU 6H[ UROH RULHQWDWLRQ DQG 0DUFKf IOH[LELOLW\ LQ FRXQVHORU WUDLQLQJ (GXFDWLRQ DQG 6XSHUYLVLRQ &RXQVHORU )ULHGPDQ $ f $Q HYDOXDWLRQ RI WUDLQLQJ LQ IDPLO\ WKHUDS\ IDPLO\ FRXQVHOLQJ DQG IDPLO\ V\VWHPV ,Q $ )ULHGPDQ (Gf 7KHUDS\ ZLWK IDPLOLHV RI VH[XDOO\ DFWLQJRXW JLUOV SS f 1HZ
PAGE 230

+DOH\ f %HJLQQLQJ DQG H[SHULHQFHG IDPLO\ ,Q $ )HUEHU 1 0HQGHOVRKQ t $ 1DSLHU (GVf} 7KH ERRN RI IDPLO\ WKHUDS\ SS f
PAGE 231

+XGVRQ / f &RQWUDU\ LPDJLQDWLRQV 0LGGOHVH[ (QJODQG 3HQJXLQ %RRNV /WG +XGVRQ / f &RPPHQWDU\ 6LQJXODULW\ RI WDOHQW ,Q 6 0DVVLFN (Gf ,QGLYLGXDOLW\ LQ OHDUQLQJ SS f 6DQ )UDQFLVFR -RVVH\%DVV ,YH\ $ f 0LFURFRXQVHOLQT ,QQRYDWLRQV LQ LQWHUYLHZLQJ FRXQVHOLQJ SV\FKRWKHUDS\ DQG SVYFKRHGXFDWLRQ 6SULQJILHOG ,/ &KDUOHV 7K .DVORZ ) f 6XSHUYLVLRQ FRQVXOWDWLRQ DQG VWDII WUDLQLQJ LQ WKH KHOSLQJ SURIHVVLRQV 6DQ )UDQVLFVR -RVVH\%DVV .DVORZ ) f 7UHQGV LQ IDPLO\ SV\FKRORJ\ -RXUQDO RI )DPLO\ 3V\FKRORJ\ .HOOHU ) +XEHU t +DUG\ 9 f $FFUHGLWDWLRQ :KDW FRQVWLWXWHV DSSURSULDWH DQG IDPLO\ WKHUDS\ HGXFDWLRQ" -RXUQDO RI 0DULWDO DQG )DPLO\ 7KHUDS\ ) f $Q H[SORUDWRU\ IDFWRULDO YDOLGLW\ VWXG\ RI $OOUHGnV ,QWHUDFWLRQ $QDO\VLV IRU &RXQVHORUV GLVVHUWDWLRQ %ULJKDP
PAGE 232

.ROE $ f 13UHQWLFH+DOO ([SHULHQWLDO OHDUQLQJ (QJOHZRRG /DQJH $ t =LHJHUV : f 6WUXFWXUHG WUDLQLQJ IRU EHKDYLRUDO IDPLO\ WKHUDS\ 0HWKRGV DQG HYDOXDWLRQ %HKDYLRUDO $QDO\VLV DQG 0RGLILFDWLRQ /D 3HUULHUH $XJXVWf 7RZDUG WKH WUDLQLQJ RI EURDG UDQJH IDPLO\ 3DSHU SUHVHQWHG WR WKH WK DQQXDO PHHWLQJ RI WKH $PHULFDQ 3V\FKRORJLFDO &RQIHUHQFH 6DQ )UDQFLVFR &$ /DZUHQFH f 3HRSOH W\SHV DQG WLJHU VWULSHV *DLQHVYLOOH )/ &HQWHU IRU $SSOLFDWLRQV RI 3V\FKRORJ\ 7\SH /HZLQ f )LHOG WKHRU\ LQ VRFLDO VFLHQFHV 1HZ
PAGE 233

/LGGOH +$ t 6DED f 7KH LVRPRUSKLF QDWXUH RI WUDLQLQJ DQG WKHUDS\ (SLVWHPRORJLFDO IRXQGDWLRQ IRU D VWUXFWXUDOVWUDWHJLF WUDLQLQJ SURJUDP ,Q 6FKZDUW]PDQ (Gf )DPLOLHV DQG RWKHU V\VWHPV 7KH LF FRQWH[W IDPLO\ WKHUDS\ 33 f 1HZ
PAGE 234

0F/DFKODQ & f 7KHUDS\ VWUDWHJLHV SHUVRQDOLW\ RULHQWDWLRQ DQG UHFRYHU\ IURP DOFRKROLVP &DQDGLDQ 3V\FKLDWULF $VVRFLDWLRQ -RXUQDO 0LQXFKLQ 6 f )DPLOLHV DQG IDPLO\ WKHUDS\ &DPEULGJH +DUYDUG 8QLYHUVLW\ 3UHVV 0LQXFKLQ 6 t )LVKPDQ & f )DPLO\ WKHUDS\ WHFKQLTXHV &DPEULGJH +DUYDUG 8QLYHUVLW\ 3UHVV 0LQXFKLQ 6 5RVPDQ % t %DNHU / f 3V\FKRVRPDWLF IDPLOLHV $QRUH[LD QHUYRVD LQ FRQWH[W &DPEULGJH +DUYDUG 8QLYHUVLW\ 3UHVV 0RKDPPHG = t ) 3 f 7KH HIIHFWV RI WZR HWKRGV RI WUDLQLQJ DQG VHTXHQFLQJ RQ UHODWLRQVKLS VNLOOV RI IDPLO\ -RXUQDO RI )DPLO\ 7KHUDS\ 0RQWDOYR % f $VSHFWV RI OLYH VXSHUYLVLRQ 3URFHVV VWUXFWXULQJ DQG $PHULFDQ )DPLO\ 1HLPH\HU t )RQJ 0 / f IOH[LELOLW\ DQG FRXQVHORU HIIHFWLYHQHVV &RXQVHOLQJ 3V\FKRORJ\ -RXUQDO RI 1LFKROV 0 f )DPLO\ WKHUDS\ &RQFHSWV DQG PHWKRGV 1HZ
PAGE 235

3HOVPD 0 t %RUJHUV 6 % f (WKLFV $ GHYHORSPHQWDO PRGHO RI OHDUQLQJ HWKLFDO UHDVRQLQJ -RXUQDO RI &RXQVHOLQJ DQG 'HYHORSPHQW 3LDJHW f *HQHWLF HSLVWHPRORJ\ 1HZ
PAGE 236

3XOOH\EODQN ( ) f (YDOXDWLRQ RI IDPLO\ WKHUDS\ WUDLQHHVf§DFTXLVLWLRQ RI FRJQLWLYH DQG WKHUDSHXWLF VNLOOV 'RFWRUDO GLVVHUWDWLRQ 3DFLILF *UDGXDWH 6FKRRO RI 3V\FKRORJ\ 3DOR $OWR &$f 'LVVHUWDWLRQ $EVWUDFWV ,QWHUQDWLRQDO 3XOOH\EODQN ( ) t 6KDSLUR 5 f (YDOXDWLRQ RI IDPLO\ WKHUDS\ WUDLQHHVn DFTXLVLWLRQ RI FRJQLWLYH DQG WKHUDSHXWLF EHKDYLRU VNLOOV )DPLO\ 3URFHVV 5RVHQWKDO 15 f $ SUHVFULSWLYH DSSURDFK IRU FRXQVHORU WUDLQLQJ -RXUQDO RI &RXQVHOLQJ 3V\FKRORJ\ 5RXH]]L&DUUROO 6 t )ULW] 3 $ f 3UHGLFWLQJ DOOLHG KHDOWK PDMRU ILHOGV RI VWXG\ ZLWK VHOHFWHG SHUVRQDOLW\ FKDUDFWHULVWLFV &ROOHJH 6WXGHQW -RXUQDO 6DED : t /LGGOH + $ f 3HUFHSWLRQV RI QHHGV SUDFWLFH SDWWHUQV DQG LQLWLDO IDFLQJ IDPLO\ WKHUDS\ WUDLQHUV DQG VXSHUYLVRUV $PHULFDQ -RXUQDO RI )DPLO\ 7KHUDS\ 3 f $ VWXG\ LQ FRXQVHORU HYDOXDWLRQ VFDOH YDOLGDWLRQ $Q H[SORUDWRU\ H[DPLQDWLRQ RI QDLYH FRXQVHORUnV VFRUHV RQ $OOUHGnV ,QWHUDFWLRQ $QDO\VLV IRU &RXQVHORUV ZLWK VHOHFWHG VFRUHV RQ WKH 6WURQJ 9RFDWLRQDO ,QWHUHVW %ODQN 8QSXEOLVKHG GLVVHUWDWLRQ %ULJKDP
PAGE 237

6LJDO /DVU\ & *XWWPDQ + &KDJR\D / t 3LODQ 5 f 6RPH VWDEOH FKDUDFWHULVWLFV RI IDPLO\ WKHUDSLVW LQWHUYHQWLRQV LQ UHDO DQG VLPXODWHG WKHUDS\ VHVVLRQV -RXUQDO RI &RQVXOWLQJ DQG &OLQLFDO 3V\FKRORJ\ 6LJDO 5DNRII 9 t (SVWHLQ 1 f ,QGLFDWLRQV RI WKHUDSHXWLF RXWFRPH LQ FRQMRLQW IDPLO\ WKHUDS\ )DPLO\ 3URFHVV 6LPV 5 f 3UHSDUDWLRQ IRU SURIHVVLRQDO FDUHHUV DQG FKDQJLQJ MRE UROHV $Q DVVHVVPHQW RI SURIHVVLRQDO HGXFDWLRQ 4XDOLI\LQJ SDSHU 2UJDQL]DWLRQDO %HKDYLRU &DVH 8QLYHUVLW\ 'HSDUWPHQW RI :HVWHUQ 5HVHUYH 6SUHQNOH + f 7UDLQLQJ DQG VXSHUYLVLRQ LQ GHJUHHJUDQWLQJ SURJUDPV LQ IDPLO\ WKHUDS\ ,Q +$ /LGGOH & %UHXQOLQ t 5 & 6FKZDUW] (GVf +DQGERRN RI IDPLO\ WKHUDS\ WUDLQLQJ DQG VXSHUYLVLRQ SS f 1HZ
PAGE 238

7XFNHU 6 t 3LQVRI : 0 f 7KH HPSLULFDO HYDOXDWLRQ RI IDPLO\ WKHUDS\ WUDLQLQJ )DPLO\ 3URFHVV 7XFNHU 6 t 3LQVRI : 0 f 7KH IDPLO\ FRQFHSW DVVHVVPHQW )&$f WDVN DQG UDWLQJ V\VWHP PDQXDO &KLFDJR &HQWHU IRU )DPLO\ 6WXGLHV7KH )DPLO\ ,QVWLWXWH RI &KLFDJR 7XFNHU 6 t 3LQVRI : 0 f )&$f 7DVN DQG 5DWLQ )DPLO\ &RQFHSW PDQXDO 8QSXEOLVKHG PDQXVFULSW )DPLO\ ,QVWLWXWH RI &KLFDJR IRU )DPLO\ 6WXGLHV7KH 9DQ +RRVH : + f (WKLFV DQG FRXQVHOLQJ &RXQVHOLQJ DQG +XPDQ 'HYHORSPHQW :DPSROG % ( &DVV 0 t $WNLQVRQ 5 f (WKQLF ELDV LQ FRXQVHOLQJ $Q LQIRUPDWLRQ SURFHVVLQJ DSSURDFK -RXUQDO RI &RXQVHOLQJ 3V\FKRORJ\ :DWVRQ : f $Q H[SORUDWRU\ VWXG\ RI $OOUHGnV ,QWHUDFWLRQ $QDO\VLV IRU &RXQVHORUV 7KH UHODWLRQVKLS RI VHOHFWHG $,$& VFRUHV WR 7UXD[ $FFXUDF\ (PSDWK\ 6FDOH VFRUH 8QSXEOLVKHG PDJLVWUDO GLVVHUWDWLRQ %ULJKDP
PAGE 239

:\VH + 3 f ,QWHUUHODWLRQVKLSV EHWZHHQ VHOHFWHG SHUVRQDOLW\ YDULDEOHV RI SV\FKRORJLVWV DQG WKHLU SURIHVVLRQDO RULHQWDWLRQ 'LVVHUWDWLRQ $EVWUDFWV ,QWHUQDWLRQDO % 8QLYHUVLW\ 0LFURILOPV 1R f
PAGE 240

%,2*5$3+,&$/ 6.(7&+ 5LWD /DZOHU *RRGPDQ ZDV ERUQ LQ 3LWWVWRQ 3HQQV\OYDQLD RQ 0DUFK 6KH JUDGXDWHG IURP 9LOODQRYD 8QLYHUVLW\ LQ ZLWK D GHJUHH LQ SV\FKRORJ\ $IWHU JUDGXDWLQJ VKH ZRUNHG DW /X]HUQH &RXQW\ 0HQWDO +HDOWK &HQWHU :LONHV %DUUH 3HQQV\OYDQLD DV D PHQWDO KHDOWK WKHUDSLVW DQG ODWHU DV D FOLQLFDO FRRUGLQDWRU ,Q $XJXVW VKH JUDGXDWHG IURP WKH 8QLYHUVLW\ RI 6FUDQWRQ ZLWK D PDVWHUn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

PAGE 241

HGXFDWLRQ ,Q VKH EHJDQ HPSOR\PHQW DW 358&DUH 2UODQGR )ORULGD DV D PDUULDJH DQG IDPLO\ WKHUDSLVW 5LWD SUHVHQWO\ LV LQ SULYDWH SUDFWLFH LQ 2UODQGR )ORULGD 6KH LV OLFHQVHG DV D PDUULDJH DQG IDPLO\ WKHUDSLVW DQG D PHQWDO KHDOWK FRXQVHORU DQG LV D FOLQLFDO PHPEHU RI WKH $PHULFDQ $VVRFLDWLRQ IRU 0DUULDJH DQG )DPLO\ 7KHUDS\ 5LWD KHU KXVEDQG DQG WKHLU VRQ UHVLGH LQ +HDWKURZ )ORULGD

PAGE 242

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

PAGE 243

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

PAGE 244

81,9(56,7< 2) )/25,'$ L LQ LQ B LL ‘ %0,


THE IMPACT OF TRAINEE CHARACTERISTICS ON
FAMILY THERAPY SKILL ACQUISITION OF NOVICE THERAPISTS
By
RITA LAWLER GOODMAN
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 OF FLORIDA
1991

ACKNOWLEDGEMENTS
My deepest appreciation and gratitude are extended to
my committee chairperson, Dr. Ellen Amatea, who gave me her
continual encouragement and guidance. Without her
encouragement and relentless support I would not have been
capable of meeting the numerous challenges required for the
completion of my Ph.D. Her warmth and guidance will always
be an inspiration to me.
I am also grateful for the support of the members of
my committee. Special thanks go to Dr. David Miller who
provided insight and expertise that greatly facilitated the
planning and writing phases of my dissertation. Gratitude
is extended to Dr. Margaret Fong, Dr. Connie Shehan, Dr.
Peter Sherrard, and Dr. Jeff Larsen.
This study would not have been possible without the
love and support of my family and, in particular, my
mother, Frances M. Lawler, and my husband, Ira J. Goodman.
ii

TABLE OF CONTENTS
ACKNOWLEDGEMENTS Ü
ABSTRACT vii
CHAPTERS
IINTRODUCTION 1
Scope of the Problem 3
Need for the Study 18
Purpose of the Study 19
Research Questions 19
Context for the Study 21
Significance of the Study 22
Definition of Terms 2 3
IIREVIEW OF THE LITERATURE 2 6
Historical Perspective 26
Family Therapy Training Research 28
Training Model 51
Research on Therapy Trainee Characteristics .... 70
Variables of Interest in the Study 83
Summary 105
IIIMETHODOLOGY 107
Research Design 107
Population 110
Sampling Procedures Ill
Sample 114
Instrumentation 118
Data Collection 127
Hypotheses 128
Data Analysis 130
IVRESULTS 131
Preliminary Analysis 131
Descriptive Statistics 132
Hypotheses 140
Summary 157
iii

V DISCUSSION
159
Preliminary Analysis 159
Discussion of Results 160
Limitations of the Study 170
Implications 173
Summary 175
APPENDICES
A INFORMATION TO PARTICIPATING UNIVERSITIES 177
B CLASS CONTENT CRITERIA 180
C INFORMED CONSENT FOR FAMILY THERAPY PROJECT .... 183
D THERAPY EXPERIENCE INVENTORY 185
E KOLB LEARNING STYLE INVENTORY 190
F THE FAMILY THERAPY ASSESSMENT EXERCISE 191
G MEANS AND STANDARD DEVIATIONS OF TRAINEE
CHARACTERISTICS, BY SCHOOL 215
REFERENCES 216
BIOGRAPHICAL SKETCH 231
iv

LIST OF TABLES
Table Page
1 Frequency Distribution of Descriptive Variables
for the Sample: Demographics 115
2 Frequency Distribution of Descriptive Variables
of the Sample: Educational Background 117
3 Analysis of Covariance of Student FTAE Scores
by School for Six Participating Schools 132
4 Analysis of Covariance of Student FTAE Scores
by School for Five Participating Schools 133
5 Means and Standard Deviations of Trainee
Characteristics 134
6 Frequency Distribution for Trainee Age 135
7 Frequency Distribution for Amount of Prior
Training for Individual Counseling and Marriage
and Family Therapy 136
8 Frequency Distribution for Amount of Prior Work
Experience in Individual Counseling and Marriage
and Family Therapy 139
9 Frequency Distribution for Preferred Learning
Style of the Trainee 140
10 Results of t-tests for the FTAE Overall (Total)
Score and Descriptive, Conceptual, and
Therapeutic Subscales 141
11 Intercorrelations Among Trainee Variables 143
12 Intercorrelations Among Independent and Dependent
Trainee Variables 146
13 Frequency Distribution for Supervision
Hours Accumulated During the Specified
Training Courses 149
v

14 Frequency Distribution for Additional Marriage
and Family Therapy Classes Taken in Conjunction
With the Specified Training Courses
15 Regression Model for the Relationship Between the
Posttest FTAE Overall Score and the Selected
Personal Characteristics of the Marriage and
Family Therapy Trainee
16 Regression Model for the Relationship Between
the Family Therapy Assessment Exercise (FTAE)
Descriptive Subscale and the Selected Personal
Characteristics of the Marriage and Family
Therapy Trainee
17 Regression Model for the Relationship between
the Family Therapy Assessment Exercise (FTAE)
Conceptual Subscale and the Selected Personal
Characteristics of the Marriage and Family
Therapy Trainee
18 Regression Model for the Relationship between
the Family Therapy Assessment Exercise (FTAE)
Therapeutic Subscale and the Selected Personal
Characteristics of the Marriage and Family
Therapy Trainee
149
150
151
152
153

Abstract of Dissertation Presented to the Graduate School of
the University of Florida in Partial Fulfillment of the
Requirements for the Degree of Doctor of Philosophy
THE IMPACT OF TRAINEE CHARACTERISTICS ON FAMILY THERAPY
SKILL ACQUISITION OF NOVICE THERAPISTS
By
Rita Lawler Goodman
December, 1991
Chair: Ellen S. Amatea
Major Department: Counselor Education
Although researchers in the family therapy field have
emphasized the need to assess the impact of family therapy
training on trainees differing in experience levels, there
has been limited study of this issue. The purpose of this
study was to investigate the impact of the initial phase of
family therapy training on novice therapists' skill
acquisition. In addition, the associations between four
types of trainee characteristics on the acquisition of
these family therapy skills were examined.
The sample consisted of 99 students enrolled in
introductory courses in structural/strategic family therapy
drawn from five different academic training programs.
Participants completed questionnaires assessing level of
prior training and work experience in individual counseling
and family therapy, preferred learning style, and knowledge
of family therapy. The participants reported very limited
amounts of prior training and work experience in either

individual of family therapy counseling. Of four possible
learning styles, more than 50% of the participants
described themselves as divergers.
Results indicated a significant change in skill
acquisition from pretesting to posttesting on all three
subscales of the Family Therapy Assessment Exercise (FTAE).
Significant scores were obtained for the total score (p <
.0001), the descriptive subscale score (p < .05), the
conceptual subscale score (p < .0001), and the therapeutic
score (p < .0001). The extent of initial knowledge of
family therapy was significantly associated in an inverse
direction with skill acquisition as predicted. No
significant associations were found among prior training,
prior work experience, or learning style and the
acquisition of skills.
Regression analyses were conducted to examine the
relationship between family therapy skill acquisition and
prior training and work experience in individual counseling
and family therapy, initial knowledge of family therapy,
and preferred learning style. Changes in total skills and
conceptual and therapeutic skills were significantly
predicted only by the extent of initial knowledge of family
therapy. In terms of trainee characteristics neither prior
training and work experience nor preferred learning style
were significant predictors.

Possible explanations and implications for these
findings were discussed along with directions for future
research in this area.

CHAPTER 1
INTRODUCTION
Over the past four decades, as the field of family
therapy has expanded, opportunities to gain professional
training in family therapy within academic settings have
increased. This trend toward providing professional
training in family therapy within academic settings is a
relatively recent development. Most training in family
therapy in the early stages of the field's development (the
1950s to 1970s) occurred in specialized research centers or
free-standing institutes and was carried out primarily by
innovative clinicians rather than academicians.
Individuals receiving training during this early period
usually had already received a terminal professional degree
in one of the traditional mental health disciplines (e.g.,
social work, psychology, psychiatry, counseling) and viewed
family therapy training as advanced, postgraduate skill
training. During this time, only a small handful of
universities offered marriage and family therapy graduate
programs. These programs were typically at the doctoral
level and only admitted persons who had earned a master's
degree in one of the traditional disciplines.
1

2
In the past two decades, however, as a number of
marriage and family therapy professionals trained during
this earlier era moved into academic settings,
opportunities for graduate education in family therapy have
expanded. In addition, the master's degree rather than the
doctoral degree has become defined as the standard for
professional graduate education (Everett, 1979; Keller,
Huber, & Hardy, 1988) by leaders of the American
Association for Marriage and Family Therapy who, in the
late 1970s, created a set of standards for professional
education consisting of 2 years of graduate training
coupled with an additional 2 years of supervised clinical
practice. This set of events has resulted in the
development of a significant number of master's level
graduate degree programs in marriage and family therapy in
departments of family and child development as well as
within departments of social work and counselor education.
More importantly, these events have resulted in a shift in
the type of individual receiving such training. More often
than not, a young novice-level therapist with little or no
prior therapeutic skill training or work experience is the
typical participant in these entry-level graduate training
programs.
What are the implications of such a shift in the
nature of the trainee and training context for the design
and potential impact of family therapy training?

3
Interestingly, despite the growth in the provision of
family therapy training in academic settings, there has
been little empirical attention given to the implications
of such a shift either in the design of or outcomes
expected from family therapy training. Although
researchers in the family therapy field (Gurman & Kniskern,
1978; Gurman, Kniskern, & Pinsof, 1986) have emphasized the
need for those assessing the effectiveness of family
therapy training to attend to the nature of the trainee as
well as the training content, there is limited empirical
evidence concerning the impact of entry-level graduate
training in family therapy on young, novice-level
clinicians who have had limited prior therapy training or
work experience. Furthermore, very little is known
regarding the types of pretraining differences in skills,
personality attributes, or life experiences of students
enrolled in entry-level graduate programs, and whether such
pretraining differences have a differential impact on the
acguisition of family therapy skills.
Scope of the Problem
Despite the dramatic growth in recent years in
opportunities for family therapy training in both academic
and nonacademic settings, there has been only limited
attention given to examining the outcome of such training
efforts. A review of the literature conducted by Gurman
and Kniskern (1979) revealed no empirical evidence was

4
available in the field concerning the effectiveness of
family therapy training. Moreover, at that time, no
evidence was available concerning (a) the importance of
prior professional training for persons entering family
therapy training programs or (b) the merits of using any
specific criteria for selecting trainees. By 1990 nine
studies had been conducted evaluating the outcome of family
therapy training; however, few advances had been made in
specifying which trainee characteristics should be
considered in trainee selection or evaluation (Avis &
Sprenkle, 1990) . Moreover, because most of these studies
were conducted with populations of more experienced
therapists and did not usually include information on or
consider the impact of important trainee variables such as
gender, experience level, or previous training, it has been
difficult to determine whether the findings based on these
populations can be generalized to novice-level
professionals.
A number of reasons have been proposed for this slow
rate of empirical progress in conducting family therapy
training research. Avis and Sprenkle (1990) posited that a
major source for this delay related to the difficulties
inherent in conducting any type of psychotherapy training
research. These difficulties concern (a) the complexity of
the type of changes being measured; (b) the lack of a
standard stimulus (i.e., clients vary) against which to

5
measure trainee's skills; (c) the lack of adequate and
appropriate instruments for measuring trainee behavior
and/or skill change; and (d) the lack of reliable knowledge
about which therapist skills or behaviors are associated
with positive therapy outcomes. In reviewing the state of
the art of psychotherapy training research in general,
Matarazzo (1978) attributed the slow rate of progress in
such research to the following situation:
We are attempting to measure a combination of
conceptual, experiential, and behavioral
learnings in a consistently shifting, never
duplicated stimulus situation. We have poorly
defined variables and inadequate measuring
instruments that involve subjective judgments and
whose use may not be comparable from one study to
another. Because of the time-consuming nature of
the measurement and treatment, the N in each
study is likely to be small. Because of the
complexity of the behaviors to be learned and the
consequent complexity of the teaching program,
not all aspects of the program are fully
described nor are their effects measured, (p.
942)
A number of writers (Gurman, Kniskern, & Pinsof, 1986;
Tucker & Pinsof, 1985) have reiterated these same
difficulties in evaluating family therapy training. For
example, in reviewing recent research on family therapy
training, Avis and Sprenkle (1990) contended that current
providers of family therapy training still know very little
about the efficacy of any of their training approaches and
that additional research needs to be conducted before they
can speak with assured confidence about the nature of
specialized training in family therapy. In commenting on

6
the lack of definitive research in this area, Gurman and
Kniskern (1988) proposed a set of questions to guide future
research. Among these was the following: "Which types of
trainees profit most from what type of family therapy
training experiences?" Other researchers concurred that a
key issue in improving family therapy training efforts, as
well as in developing a clearer understanding of the impact
of training on professionals, centers on identifying those
characteristics that predict positive training outcomes.
Little is known, however, as to the pretraining differences
in skills or experiences that exist among those who seek
family therapy training, as there have been only a limited
number of studies conducted in which the characteristics of
the trainees have been examined in considering the impact
of family therapy training.
Furthermore, most researchers in this area have
utilized samples of experienced therapists or have employed
mixed groups (i.e., have mixed experienced and novice-level
professionals). For example, in a study conducted by
Tucker and Pinsof (1984), changes in skills during the
first year of study at the Center for Family Studies/Family
Institute (CFT) of Chicago were investigated. The 19
trainees included in the sample were all practicing
psychotherapists from various disciplines who had enrolled
in a 2-year training program at CFT and were evaluated
before and after their first year of training. Employing a

7
single group pretest-posttest design, the researchers
investigated (a) clinical cognition, (b) in-therapy use of
techniques, and (c) level of self-actualization. Clinical
cognition was measured with the Family Concept Assessment
(FCA) (Tucker & Pinsof, 1981), in-therapy technique with
the Family Therapist Coding System (FTCS) (Pinsof, 1981),
and self-actualization with the Personal Orientation
Inventory (POI) (Shostrom, 1974). The in-therapy behavior
of trainees was evaluated by rating the trainee's response
to a "live-family” simulation. Four professional actors
were trained to represent a family referred to therapy
because the son had committed a petty crime. The training
of the actors "was designed to enable them to improvise in
response to each therapist, while maintaining the
prescribed and consistent mode of family interaction"
(Tucker & Pinsof, 1984, p. 441). In discussing the
results, the authors suggested that trainees did not change
significantly in the direction desired by the training
staff on several dimensions. For example, the pretest-
posttest scores showed a significant increase on only one
of the three subscales of the FCA. This change indicated
that trainees thought more in terms of circular rather than
linear causality in the posttraining test than in the
pretraining test. In-therapy verbal behaviors, measured by
the FTCS, were expected to change in 25 code categories.
However, only three of these changed significantly in the

8
expected direction, and one changed significantly in the
unexpected direction. The POI showed no increase in self-
actualization during the year of training. In attempting
to interpret this finding, the researchers suggested that
most trainees began the program highly actualized.
Although the belief that family therapy training can have
clinically meaningful effects on trainees was supported by
the findings of this study, many directional hypotheses
were not confirmed. This could indicate that the training
had a more limited effect than many experts would have
assumed or predicted or that only a longer period of
training, or training of a different type, would produce
the effects predicted on the other dimensions.
In another study, Breunlin, Schwartz, Krause,
Kochalaka, Puetz, and Van Dyke (1989) examined the
influence of three trainee characteristics (conjugal family
experience, prior experience conducting family or
individual therapy, and knowledge of family therapy) on the
acguisition of family therapy skills for 96 trainees drawn
from seven different structural/strategic training
experiences. These seven training experiences utilized a
mixed sample of both experienced and novice-level
therapists drawn from a variety of different training
contexts. Four of the training experiences involved
agency-based and structured inservice training, and two
involved graduate courses in family therapy. In two of

9
three settings the subjects had little prior clinical
experience or training; in at least one of the remaining
five settings trainees who had considerable clinical
experience and training in family therapy were involved.
Data from students in all seven programs were analyzed
conjointly. No analyses were conducted regarding
differences in trainee performance by program.
The acquisition of family therapy skills was measured
by the Family Therapy Assessment Exercise (FTAE) (Breunlin,
Schwartz, Krause, & Selley, 1983) in a pretest and posttest
design procedure. The results of this study indicated
that, as predicted, conjugal family experience was
positively related and prior knowledge of family therapy
was negatively related to performance (as measured by FTAE
pretest-posttest change scores). Prior experience
conducting individual therapy was also positively related
to performance. However, because both the nature of the
samples in this study and the nature of the training
experience were quite mixed (with no information provided
regarding either the actual levels of skills at pretesting
and posttesting or differences in those levels among these
various groups), it is difficult to draw conclusions as to
how generalizable these findings are to novice therapists
in the early stage of their professional training.
Despite such limited empirical investigation, it has
been commonplace for family therapy trainers to assume that

10
not all trainees are suited for family therapy training.
Factors often cited as considerations in selecting
applicants for training programs are personal maturity
factors (American Association for Marriage and Family
Therapy, 1979; Everett, 1979; Nichols, 1979); cognitive
abilities and academic credentials (American Association
for Marriage and Family Therapy, 1979; O'Sullivan &
Gilbert, 1989); previous professional training and/or work
experiences (Breunlin et al., 1989; Kniskern & Gurman,
1988); preliminary knowledge of family therapy; and
personal qualities (Everett, 1979; Sprenkle, 1988).
However, these criteria for selection of applicants for
family therapy training programs have typically been
established more on the basis of tradition than any
substantive empirical evidence.
Previous Professional Training and Work Experience
A number of researchers have emphasized the need to
examine the impact of the trainee's previous professional
training and work experience. Kniskern and Gurman (1988),
for example, posed a series of questions regarding trainee
professional experience. These were "What are the types of
previous training that best prepare a trainee for family
therapy training?" "Are there types of previous training
experiences that inhibit training?" A number of
researchers have attempted to address these questions. As
noted earlier, in one of the few studies examining the

11
impact of trainee characteristics, Breunlin et al. (1989)
examined the impact of prior individual therapy and family
therapy training and work experience on trainee skill
acquisition. They found that both prior training and work
experience in family therapy were negatively related to
performance. However, both prior training and work
experience in individual therapy were positively related to
performance in acquiring family therapy skills. This
finding was considered surprising because it had been
hypothesized by many family therapy trainers (Haley, 1981)
that experience providing individual therapy would hinder
the acquisition of family therapy skills. In another
study, Zaken-Greenberg and Neimeyer (1986) reported the
results of a controlled assessment of a training seminar in
structural family therapy for university students. Changes
in the conceptual and executive skills of 22 family
trainees and 22 control subjects were assessed over a 16-
week period using a repertory grid and videotaped therapy
simulation technique. Results indicated significant gains
in family therapy trainees but only among those with little
previous exposure to family therapy. Difference in the
overall number as well as type of intervention were also
noted. Results generally supported the predicted impact of
family therapy training with those having the least
experience in family therapy demonstrating the most
significant skill gains.

12
In the body of individual psychotherapy research
literature Fielder (1950) reported that therapists,
regardless of theoretical orientation, become more similar
as experience increases. In addition, in more recent
literature reviews, it has been noted that increasing
experience facilitates the demonstration of therapy
processes such as therapists' empathy (Auerbach & Johnson,
1977) and patient satisfaction (Beutler, Crago, &
Arizmendi, 1986). Furthermore, Gurman and Kniskern (1978)
cited therapist experience as a factor that influences the
outcome of family therapy and suggested that training
outcome studies that include this variable would be quite
helpful.
Initial Family Therapy Knowledge
Researchers and trainers have emphasized the need to
consider the trainee's initial level of knowledge of family
therapy in assessing the impact of training. For example,
Breunlin et al. (1989) reported that the higher the initial
level of knowledge of family therapy, the smaller the skill
changes from pretesting to posttesting as measured by the
Family Therapy Assessment Exercise (FTAE).
Convergent/Divergent Thinking Style
Among the assumptions commonly used to select trainees
has been the belief that certain relatively enduring
personality factors such as divergent thinking, cognitive
flexibility, and psychological-mindedness may influence the

13
trainee's success in family therapy skill acquisition.
Attention has been given in the individual counseling and
psychotherapy training literature to the impact of specific
trainee attributes such as perceptual style, level of
cognitive development, personal attitudes, personality
characteristics, and preferred learning styles on the
acquisition of counseling skills.
One particular variable that may have a significant
impact on the acquisition of family therapy is the
cognitive/learning style of the trainee. The trainee's
mode of observing, taking in data about the world,
organizing it, and acting upon it may influence the
learning of family counseling/therapy skills just as it has
been shown to affect other learning tasks (Lawrence, 1979).
A number of different cognitive style/learning style
models and theories have been proposed. A well-known
example is the Myers Briggs Typology based on Jung's theory
of psychological types (Lawrence, 1979). Another is the
model developed by Kolb (1976) based on the accommodator/
assimilator processes proposed by Piaget. These models
have been used to sort individuals into different styles of
resolving cognitive tasks. However, only limited research
has been conducted using these learning style models in
predicting learning of specific job related tasks such as
counseling.

14
Underscoring this point, Mahon and Altman (1977)
expressed concern that individual counseling skills
training had been applied in a uniform manner that ignored
both learner and learning process variables that could
affect training outcome and counseling effectiveness. A
body of research literature is being accumulated that
supports their reasoning. It has been suggested that, in
terms of therapy training, the level of success of
counselors/therapists in training may be related to the
compatibility between the cognitive styles of the trainers
and those in training. For example, Handley (1982)
examined the relationship between the similarity of
cognitive styles of supervisors and counselors in training
and supervision process and outcome measures. Using the
Myers Briggs Type Indicator (MBTI) he found that
intuitively oriented counselors in training received higher
supervisor ratings than did other counseling students.
Similarity between supervisors and counselors in training
on the Myers-Briggs S-N (Sensing/Intuitive) scale was
reported to be related to practicum student's satisfaction
with supervision.
Yura (1972) also reported that feeling types
predominated in a sample of master's level counselors in
training. In another study, Wyse (1975) reported that the
T-F (Thinking/Feeling) scale of Myers-Briggs Type Indicator
(MBTI) differentiated between clinical and experimental

15
psychologists. Experimental psychologists showed more of a
thinking orientation, whereas clinical psychologists showed
more of a feeling orientation. Rouezzi-Carroll and Fritz
(1984) found a predominance of feeling and perceptual types
among allied health majors stressing client contact and
empathy, and a predominance of thinking and judging types
in fields stressing testing and critical analysis.
In a competing vein, however, Carey and Williams
(1986) compared 18 supervisors and 46 counseling students
in practicum training in terms of their dominant counseling
style and related cognitive style. Instruments used
included the Myers-Briggs Type Indicator (MBTI), the
Counselor Evaluation Rating Scale (CERS), and the Barrett-
Lennard Relationship Inventory (BLRI). The results of this
study indicated there was a difference in cognitive styles
between supervisors and counselors in training.
Supervisors demonstrated a stronger thinking orientation
and less variability on the sensing-intuiting scale than
did counselors in training. However, no strong
relationship was found between student scores on the T-F
and S-N scales and process and outcome measures. These
cognitive style factors in family therapy trainees have not
been examined in any studies to date.
Kolb's theory of experiential learning has been used
to explain the process of counseling and the process of
individual counselor training, thus it is of particular

16
interest in this study. Kolb (1975, 1984) identified four
modes of experience each of which involves an experiential
learning cycle. According to Kolb, these four modes of
experience—Concrete Experience (CE), Reflective
Observation (RO), Abstract Conceptualization (AC), and
Active Experimentation (AE)—must all be accessible to the
learner to be effective as a counselor.
Abbey, Hunt, and Weiser (1985) have provided a
perspective for understanding the counseling and counselor
training/supervision process by means of Kolb's
experiential learning model. They contended that Kolb's
theory of experiential learning can be used to describe (a)
the sequence of counseling; (b) the variations in
interpersonal response of clients, counselors, and
counselor trainees; and (c) how such variations affect the
counseling and training process. Moreover, Abbey et al.
suggested that, to be fully functioning and effective,
counselors must have access to all four modes of experience
in their dealings with clients. However, because
counselors typically have preferred modes of operating, one
of the purposes of counselor training is to assist the
counselor in becoming more aware of his or her
underdeveloped mode of operating and how such imbalances
may influence the delivery of counseling services and the
acquisition of counseling skills. For example, an
individual who prefers to operate from a cognitive stance

17
(abstract conceptualization) may have ease in adopting a
cognitive or rational/emotive counseling approach but may
have to attend to not using that mode to the exclusion of
the awareness of his or her own feelings. Conversely,
those counselors who prefer to operate from an experiential
mode (CE-Concrete Experience) must be concerned with not
doing so to the exclusion of their own analysis and their
own implicit theory regarding the client's feelings,
reflections, thoughts, and actions. Thus, although
trainees will find counseling operations and theories that
are congruent with their own dominant modes (i.e.,
Reflective Observation (RO) dominant trainees may prefer a
Rogerian stance whereas an Active Experimentation (AE)
dominant trainee may prefer to operate from a Gestalt
position), they will need to have available a broader array
of ways of operating on the world to be most effective with
a wide variety of clients. Similarly, with family therapy
(e.g., a structural family therapy approach versus a
Bowenian approach) preferred methods of operating may
hinder the development of particular family therapy
approaches and facilitate the acquisition of other
approaches. Consequently, a match between the learning
mode demanded in a particular training model and the
preferred learning mode of the trainee may benefit the
trainee's acquisition of skills in that model. Identifying
a trainee's preferred learning style and focusing on how it

18
may facilitate or hinder acquisition of skills in family
training may have significant implications for
understanding the impact of a particular family therapy
training experience.
Need for the Study
Researchers are now offering evidence that training
does affect change in trainees on some important dimensions
(Breunlin et al., 1983; Hernandez, 1985; Pulleyblank, 1985;
Tucker & Pinsof, 1984). However, there is a need to
examine more closely how trainee characteristics impact on
the teaching and learning process particularly in novice
therapists. Reinforcing this perspective, Gurman and
Kniskern (1988), as well as Breunlin et al. (1989),
suggested that researchers shift from asking the general
question "Does family therapy training work?" to asking
more specific questions such as "How do specific trainee
characteristics influence (i.e., either facilitate or
inhibit) a trainee in learning marriage and family
therapy?" (p. 375). They proposed that specific trainee
characteristics be examined that are not model specific but
are general variables assumed to enhance the learning skill
acquisition process across various family therapy training
models. However, to date, only two studies (Breunlin et
al., 1983; Tucker & Pinsof, 1984) in the marriage and
family therapy training research literature have addressed

19
the contribution of trainee characteristics to the
training/learning process.
It is not surprising that this specificity question in
the field of family therapy training has not been
addressed, because the parallel question in the general
counseling and psychotherapy training field has also been
extremely difficult to answer.
Purpose of the Study
The purpose of this study was twofold. First, the
impact of the initial phase of family therapy training on
novice therapists' skill acquisition was assessed. Second,
the impact of four types of trainee characteristics on the
acquisition of these family therapy skills was examined.
The four types of trainee characteristics were (a) extent
of trainee's prior training in individual therapy and
family therapy, (b) extent of trainee's clinical work
experience in individual therapy and family therapy, (c)
extent of initial family therapy knowledge, and (d)
trainee's preferred learning style.
Research Questions
In this study the following research questions were
addressed:
1. How can students in the initial phase of family
therapy training be characterized in terms of
a. their age,

20
b. their prior training experiences in
individual therapy,
c. their prior level of work experience in
individual therapy,
d. their prior training in marriage and family
therapy,
e. their prior level of work experience in
marital and family therapy,
f. their initial level of family therapy
knowledge, and
g. their preferred learning style?
2. What is the impact of the initial phase of
structural/strategic family therapy training on the
acquisition of family therapy skills by student
therapists?
3. To what extent does that level of initial
knowledge of family therapy affect the amount of skill
acquisition demonstrated by student therapists?
4. To what extent does prior individual counseling
training inhibit the acquisition of family therapy
skills of student therapists?
5. To what extent does prior family therapy training
inhibit the acquisition of family therapy skills of
student therapists?

21
6. To what extent does previous work experience
conducting individual therapy inhibit the acquisition
of family therapy skills of student therapists?
7. To what extent does previous work experience
conducting family therapy inhibit the acquisition of
family therapy skills of student therapists?
8. To what degree does the learning style of the
therapist influence the acquisition of family therapy
skills of student therapists?
9. To what extent do the trainee characteristics of
prior training experience in individual therapy or
marital and family therapy, prior work experience in
individual therapy or marital and family therapy,
initial knowledge of family therapy, or preferred
learning style influence the acquisition of family
therapy skills of student therapists in the initial
phase of structural/strategic family therapy training?
Context for the Study
Students enrolled in university-based graduate level
training programs in marriage and family therapy that were
accredited by or eligible for accreditation by the
Commission on Accreditation for Marriage and Family Therapy
Education were recruited for participation in this study.
Only those trainees involved in the entry-level phase of
training in structural/strategic family therapy were
targeted for inclusion. Typically, the objectives for this

22
beginning phase of training include (a) acquainting the
student with the basic concepts of family systems theory
and the historical development of these ideas; (b)
introducing the student to the structural/strategic model
of family systems therapy, its related concepts and
intervention methods; (c) introducing the concept of
differing family forms (i.e., single parent families, dual
career families, etc.); (d) introducing the concept of
family life cycle issues; (e) assisting the student in
developing skills necessary to assess families (i.e.,
collect, observe, and organize family interactional data)
in order to plan counseling interventions; and (f)
providing students with an opportunity to rehearse family
interviewing and assessment skills (E. Amatea, personal
communication, March 18, 1989).
Significance of the Study
Examining the type of skill development of novice
therapists during the initial stages of family therapy
training can be useful in the ongoing refinement of family
therapy training experiences in academic contexts.
Moreover, ascertaining which trainee variables are vital to
consider in predicting learning among younger professionals
can be helpful in shaping both selection and training
design decisions and policies. Traditionally,
professionals involved in providing psychotherapy training
have had difficulty in defining what skills or aptitudes

23
are relevant predictive factors for performance as a
therapy professional. Although scores on the Graduate
Record Examination (GRE) and college grade-point average
(GPA) are of value in predicting graduate student academic
performance, there have been no established indices for
predicting student clinical performance. The
identification of factors useful in predicting clinical
skill development could make for a more efficient use of
academic training resources, as well as begin to address
the question of who is most likely to benefit from specific
graduate level family therapy training experiences.
Definition of Terms
Family therapy training refers to the beginning phase
of training in family therapy at university-based graduate
level training programs. This phase of training emphasizes
the acquisition of observational, perceptual, and
conceptual family therapy skills as originally defined by
Cleghorn and Levin (1973). The training segment consists
of a 16-week semester long course (48 hours) or its
equivalent in a quarter hour system in family therapy that
emphasizes the structural/strategic school of family
therapy.
Learning style is defined as the extent to which an
individual emphasizes abstractness verses concreteness and
action versus reflection in responding to the world. This

24
definition of experiential learning theory is based on the
work of Kolb (1976, 1981).
Family therapy skills refers to those observational
(perceptual), conceptual, and technical (therapeutic)
skills needed to conduct structural family therapy.
Observational skills are those skills required to perceive
and describe behavioral interactions within a family
session (Breunlin et al., 1983). Conceptual skills are
those skills that relate to the therapist's ability to
understand a theoretical model that enables a therapist to
classify distinctions according to that model (in this case
a structural/strategic model) (Breunlin et al., 1983).
Therapeutic skills are those skills that refer to the
therapist's ability to act in family sessions in ways that
are consistent with goals of the training program (Breunlin
et al., 1983) .
Student therapist refers to graduate students enrolled
in counselor education, counseling psychology, or marriage
and family therapy departments of universities located in
the northeast and southeast regions of the United States
participating in graduate-level courses in structural/
strategic family therapy.
Extent of prior training refers to the number of
graduate-level courses in individual counseling and
marriage and family therapy completed by the trainee and

25
the number of supervision hours received in individual
counseling and marriage and family therapy.
Extent of prior work experience refers to the number
of years spent in providing either individual counseling or
marriage and family therapy.
Level of initial knowledge refers to the student
trainee's initial degree of knowledge of observational,
conceptual, and therapeutic family therapy skills as
measured by the Family Therapy Assessment Exercise
(Breunlin et al., 1983).

CHAPTER II
REVIEW OF THE LITERATURE
This chapter provides a review and analysis of the
theoretical and research literature on family therapy
training. The review addresses three major areas: (a)
family therapy training, (b) structural and strategic
models of family therapy practice and training, and (c)
student characteristics expected to impact skills training.
Historical Perspective
In a state of the art review of the literature on
family therapy training and supervision, Liddle and Halpin
(1978) cited almost 100 references that dealt with some
aspect of training. They suggested that these studies
lacked rigor. Only one-fifth of the articles focused on
the evaluation of training, and none of these were
empirical studies. These articles documented a variety of
attempts to assess training outcome through such means as
videotape assessment or playback and measuring changes in
trainees' work patterns and job related behaviors.
In 1984, Tucker and Pinsof noted that most positive
reports of training outcomes
have been based primarily on clinical impressions
... or trainee self-reports at post training
. . . unfortunately, these positive conclusions
rest on the tacit and untested assumption that a
self-reported, positive training experience is
26

27
associated with a change in actual practice or
outcome with patients, (p.437)
They noted that no research evidence existed to show that
training in marital and family therapy increased clinical
effectiveness.
Although research examining the impact of family
therapy is growing (Gurman, Kniskern, & Pinsof, 1986) ,
little empirical work has been done to evaluate the
outcomes of family therapy training. Difficulties inherent
in this type of research are the reason for the delay.
These difficulties also characterize the outcome research
in individual psychotherapy training. Matarazzo (1972)
identified several of the difficulties confronting
individual psychotherapy training researchers. These
included problems with design, randomization, simulation
techniques, use of real clients, poorly defined variables,
inadequate measuring instruments, and small samples.
In one of the first empirical evaluations of a family
therapy training program, Tucker and Pinsof (1984)
reiterated these same difficulties in evaluating family
therapy training. They reported four factors confounded
the evaluation process. They were (a) complexity of the
type of changes being measured; (b) the lack of a standard
stimulus (i.e., families vary) against which to measure
trainee's skills; (c) the lack of adequate and appropriate
instruments for measuring change; and (d) the lack of
reliable knowledge about which therapist skills or

28
behaviors are associated with positive family therapy
outcomes.
Family Therapy Training Research
In 1979 Kniskern and Gurman reviewed the status of
research on family therapy training and revealed the
field's lack of empirical studies of family therapy
training. In a more recent review, Gurman and Kniskern
(1988) noted that, despite the tremendous upsurge in family
therapy training over the past decade, there is still
little research to guide these training efforts. Breunlin
et al. (1989) reported that "with few exceptions . . .
training programs do not evaluate themselves, but rather do
what they consider to be correct, often basing their
training decisions on some isomorphism between therapy and
training domains" (p. 2).
Two different bodies of research literature of
interest to the family therapy training researcher are
developing. One concerns therapist factors that influence
the outcomes of family therapy. The other concerns
empirical evidence for the effectiveness of family therapy
training. The literature on each of these topics is
reviewed in the following sections.
Research on Therapist Factors Affecting Treatment Outcome
At the time of their review of the family therapy
training research literature in 1978, Gurman and Kniskern
noted that the research consisted of limited empirical

29
evidence as to the effectiveness of family therapy.
However, a number of studies existed (e.g., Epstein, Segal,
& Rakoff, 1968; Thomlinson, 1973; Tomm & Wright, 1979) in
which the specific therapist factors that influence the
outcome of family therapy were examined. Three of the most
important therapist factors associated with positive
therapy outcome were therapist experience level,
structuring skills, and relationship skills. High levels
of experience have been reported to be positively
associated with positive therapeutic outcome, thus the
behavior of experienced therapists can be an indirect
criterion for training success. Pinsof (1981) reported
that advanced therapists used a wider range of
interventions and were significantly more active than
beginners. In 1984, Tucker and Pinsof provided preliminary
evidence that trainees became more active and used a wider
range of interventions over the course of training. More
specifically, they noted that training had a significant
impact on trainees in terms of increased systemic thinking,
increased activity level, and increased range and
specificity of interactions.
Therapist structuring skills have also been
investigated by researchers (Alexander, Barton, Schiavo, &
Parsons, 1976; Sigal, Guttman, Chagoya, & Lasry, 1973;
Sigal, Rakoff, & Epstein, 1967). These include skills such
as directiveness, clarity, self-confidence, information

30
gathering, and stimulating interaction. Gurman and
Kniskern (1988), for example, argued that the family
therapist must be active and provide early structure
without assaulting family defenses too soon. Alexander et
al. (1976) reported the finding of the importance of
structuring skills that supports other research findings
that active family therapists have fewer dropouts than
nonactive, and that providing structure early in therapy
while not attacking family defenses prematurely is
associated with good outcome (Gurman & Kniskern, 1978;
Postner, Guttman, Segal, Epstein, & Rakoff, 1981).
Finally, therapist relationship skills, including
warmth, humor, and affective-behavior integration, have
received consistent support as a skill related to positive
outcome. Several investigators (Shapiro, 1974; Shapiro &
Budman, 1973; Waxenburg, 1973) have reported that therapist
empathy, warmth, and genuineness appear to be very
important in keeping families in treatment beyond the first
interview. Alexander et al. (1976) reported, for example,
that both structuring skills and relationship skills were
factors related to positive outcome regardless of the
theoretical orientation. Together these variables
accounted for 60% of the outcome variance in family therapy
in their study. These same skills have also been found to
be critical for the process of effective psychotherapy in
general.

31
Research on Family Therapy Training
The second body of literature reviewed concerns the
empirical studies of the effectiveness of family therapy
training. Noting a lack of empirical evidence in this
area, Gurman and Kniskern (1979) outlined a five-step
process by which trainers could structure their evaluation
efforts. This process includes the following: (a)
identification and specification of training goals, (b)
development of a training model, (c) development of
measures that can evaluate training-induced change in
trainees who participate in the program, (d) demonstration
of measures that can evaluate training induced change, and
(e) demonstration that trainees who have shown expected
change on the measures are better able to help families in
therapy. This five-step process was proposed as a model to
evaluate any training program.
Obviously, the goals and identified outcomes of
training and supervision (and the skills of the supervisor)
are dependent upon the theoretical orientation of the
particular training program involved. Models of family
therapy tend to be isomorphically represented in their
corresponding training models and methods. For example,
the experientially oriented (Constantine, 1976; Ferber &
Mendelsohn, 1969; Luthman & Kirschenbaum, 1974) and
psychodynamically based programs (Ackerman, 1973; La
Pierriere, 1977) tend to emphasize personal growth aspects

32
of training and affective experiences of the trainees.
Whereas, those programs that operate more from a structural
(Minuchin, 1974), behavioral (Cleghorn & Levin, 1973), or
strategic (Haley, 1976) therapeutic orientation have more
cognitively-based goals and are focused more on defining
particular sets of therapist skills and ways of intervening
in dysfunctional systems. According to Garrigan and
Bambrick (1976), a current trend in the family training
literature is toward establishing operationally defined
objectives and therapist competencies.
Cleghorn and Levine (1973) proposed a model for
operationalizing objectives for assessment of training in
family therapy. According to their model, therapist skills
can be classified into three groups: perceptual,
conceptual, and executive. Most published accounts of
training programs have described their goals as achieving
an increase in trainee's conceptual, perceptual, and
technical or executive skills. This way of describing
learning objectives (e.g., Falicov, Constantine, &
Breunlin, 1981; Tomm & Wright, 1979) follows the proposal
of Cleghorn and Levine.
Conceptual skills are those that relate to the
therapist's ability to formulate problems systemically and
to understand the way rules govern family behavior and make
family interactions predictable. Thus conceptual skills
basically involve what the therapist thinks about in a

33
therapy session and how those thoughts are organized.
Conceptual skills can be evaluated by paper and pencil
methods.
Perceptual skills are those skills that relate to a
therapist's ability to evaluate a particular family within
his or her conceptual framework. Perceptual skills refer
to what the therapist observes in a family session, how the
therapist perceives interactions, and their meaning to and
effect on family members. Thus to evaluate perceptual
skills, the therapist must be presented with family
behavior, whether live or recorded. Conceptual and
perceptual skills seldomly occur independently of one
another. More discriminating perceptions allow for better
conceptualization, and better conceptual skill allows for
better perceptual acuity.
The third type of skill is called executive or
technical skill. This refers to the therapist's ability to
act in family sessions in ways that are consistent with the
goals of the training program. Thus executive skills
involve what the therapist says and does in the therapy
session in order to influence the family's sequences of
transactions and thus alter the way the family functions.
These skills are the ultimate goal of training, although
the more immediate goal in training is to increase
conceptual and perceptual skills.

34
Prior to 1979, most of the family therapy training
literature consisted of articles that described training
programs and discussed training and supervision goals
(e.g., Ferber, Mendelsohn, & Napier, 1972; Flomenhaft &
Carter, 1974; Garrigan & Bambrick, 1977; Lange & Ziegers,
1978; Liddle & Halpin, 1978). Typically, evaluation of
these programs took the form of uncontrolled post hoc
studies in which the change measures used were reports of
the level of services offered to families at the respective
mental health and counseling centers. For example,
Flomenhaft and Carter (1974, 1977) mailed questionnaires to
professionals in private practice one year after
termination of a 20-week training program in structural
family therapy practice. A significant increase in direct
service to families versus individuals was noted.
During the period from 1979 to 1985, much of the
training literature continued to be impressionistic,
although there was a trend to objectify the skills of
family therapy trainees. For example, many of the studies
described training outcomes based on clinical observations
of the trainees (e.g., Aponte & Van Deusen, 1981; Beal,
1976; Ferber & Mendelsohn, 1969, Nichols, 1979) or provided
a sociological comparison of supervision methods based on
trainee self-reports (e.g., Tomm & Leahey, 1980).
Methods of assessment in the family therapy training
literature have ranged from self-report to simple computer

35
scored behavioral counts. A popular method of assessing
trainees knowledge of family therapy course content and
theory involves paper and pencil methods such as multiple
choice questions or essays (Friedman, 1971; Tomm, 1980).
Friedman reported that mental health professionals
significantly increased in factual and theoretical
knowledge between pretraining and posttraining tests. Tomm
reported that first year medical students demonstrated
significant increases in the knowledge of a Family
Categories Scheme devised by Epstein and his associates
following their training experiences (Epstein, Sigal, &
Rakoff, 1968).
Another method used in the family therapy training
literature involves assessing changes in attitudes of the
trainee. Pollstra and Lange (1978) reported that trainees'
attitudes shifted significantly towards acceptance of
behavioral family therapy as a result of training in this
model. And, as previously mentioned, Flomenhaft and Carter
(1974, 1977) reported that mental health professionals
trained in family therapy reported a significant increase
in the amount of time spent in family therapy. These
findings suggest that training leads to an increased
knowledge of course content and an acceptance of new
theoretical positions but, in fact, offer little more than
assurance that professionals can learn new concepts and may

36
be more apt to use those concepts with increased
familiarity.
There are two major limitations of the empirical
research discussed so far. Typically the research design
did not include comparable control groups. Thus any
changes in the trainees could be attributed to factors
other than training programs, for example, spontaneous
improvement or maturation attention placed effects (Cook &
Campbell, 1979). In addition, the variable selected as
outcomes measured only whether trainees had assimilated
instructional material not whether they could demonstrate
particular family therapy skills.
Another aspect of the training research concerned the
development of measures of change. Some of the earliest
studies used coding systems (Postner et al., 1981; Sigal et
al., 1973; Sigal, Lasry, Guttman, Chagoya, & Pilan, 1977).
Pinsof (1981) pointed out that the main difficulties with
these studies arose from the coding system. Specifically,
the division of therapist's verbal behavior into two
categories of drive and interpretation makes the system not
sensitive to find significant results.
In 1974, Chagoya, Presser, and Sigal developed a more
specific coding system using 26 distinct categories. They
conducted two studies using this system. In their more
recent study, Sigal et al. (1977) examined the relationship
between family therapy trainees' reactions to a videotaped

37
simulated family session and the outcome of therapy of
families they treated. Trainees' behaviors were coded in
the simulated situations and results were compared with
family outcome data. Outcome was based on independent
ratings of the family's satisfaction with treatment, the
status of the presenting problem six months after
termination, return to treatment, and the family's goal
attainment scores.
Through the use of this category system (FTIS-II), the
authors distinguished different levels of competence among
therapists and, in some cases, showed that families who saw
more expert therapists had better outcomes in therapy. The
main difficulty with this research was its failure to
establish whether results shed light on the process of
actual family therapy because results measured the
therapist's response to a simulated videotaped family
session versus actual in-therapy behavior.
Clearly the closer one gets to the evaluation of real
therapy the more powerful the instrument or measure of
effectiveness. However, very practical problems arise in
the use of "real families" in actual sessions. These can
include lack of standardization, no shows, and
confidentiality issues. Because of these difficulties
researchers have used written descriptions of family
behavior and simulated family sessions.

38
As previously noted, these problems are also not new
to the history of outcome research in individual
psychotherapy. Matarazzo (1972) summarized difficulties
with individual psychotherapy training research that still
apply today. These include problems with design,
randomization, simulation technigues, and the use of real
clients.
Pinsof (1977) and Allred and Kersey (1977) also
developed instruments to assess behavioral changes in
family therapists. These instruments targeted therapist
executive skills. Pinsof (1979) developed a 19 category,
nominal coding system used to study short-term, problem
oriented family therapists during initial interviews.
Researchers using his system have reported findings of
differences in verbal behavior of advanced family
therapists who focused on the here-and-now and beginners
who were more focused on individual members' thoughts and
opinions. Pinsof speculated that two cognitive skills—
"seguential thinking" and "attentional skill"—may
influence the difference between two groups.
Following this study Pinsof (1981) developed a more
complex coding system called the Family Therapist Coding
System (FTCS). This system consisted of nine nominal
scales, each one containing a number of distinct categories
and, in some cases, subcategories. A therapist
intervention is coded on each scale and this allows for a

39
reconstruction of a therapist's intervention. Thus one can
get a clearer picture of a therapist's verbal behavior.
However, there is a major limitation involved in the use of
this measure. Due to the complexity of this instrument, a
considerable amount of practice administration is required
in order to insure reliable measurement and, therefore, the
use of the FTCS is often not feasible.
In the second measure, Allred and Kersey (1977) have
analyzed results of research using the Allred Interactional
Analysis of Counselors (AIAC). This measure has also been
shown to differentiate among trainees' level of training.
Several researchers have reported this measure of verbal
behavior to be highly reliable (Kersey, 1976; Sanders,
1974; Watson, 1975). However, studies attempting to
establish concurrent validity have not been impressive.
In the past 8 years several excellent descriptions of
the development and validation of therapist rating scales
have been published (Breunlin et al., 1983; Piercy, Laird,
& Mohammed, 1983; Tucker & Pinsof, 1984). In each of these
papers a different approach to the problem of scale
development was detailed.
For example, Piercy et al. (1983) began with a pool of
375 items that were believed to reflect family therapy
skills from all theoretical orientations. Experienced
family therapists repeatedly reduced the pool until it
became 10 items in each of 5 skill categories. It was

40
developed to evaluate the therapeutic skills of trainees as
well as therapists. Their goal was to create a short,
concise instrument. The categories were based on the
structuring and relationship skills specified by Barton and
Reed and on Levant's classification of various theoretical
models of family therapy (Piercy et al., 1983).
Mohammed and Piercy (1983) used the relationship and
structuring scales of this coding system to measure the
effectiveness of two methods of training. They compared an
observation feedback method of training (i.e., trainees
discuss videotapes of their simulated family therapy
sessions) with a skill-based method (i.e., the trainer
shows videotapes that teach relationship skills and
structuring skills). Twenty-six subjects participated in
the study. Both groups received both treatments in a
different order. A significant result occurred in the
group that first received observation feedback followed by
skill based training. This group showed a significant
increase in relationship skills.
In another study, Tucker and Pinsof (1984) utilized a
scale (the Family Therapist Coding System) that was
developed to allow for the description of all therapist
behavior. The Family Therapist Coding System was based on
the research previously discussed conducted by Pinsof
(1979, 1981).

41
Breunlin et al. (1983) also reported the development
of an instrument designed to measure observational
(perceptual), conceptual, and technical (executive) skills
of family therapy. The original instrument consisted of a
videotape of an enacted family's first session and a series
of multiple choice questions regarding the subject's
perceptions, conceptualizations, and therapeutic
recommendations about the tape. The experimental subjects
consisted of 22 psychiatric residents who were given one
month of family therapy training, and the control group
subjects consisted of 11 pediatric residents who were not
given family therapy training or any formal training in
psychotherapy. A preassessment-postassessment revealed a
significant increase in conceptualizations skills for only
family therapy trainees. There were no significant changes
in either observational (perceptual) or technical
(executive) skills for either group. Breunlin and
colleagues suggested that the instrument may not have been
sensitive enough to detect a change in skill level.
The FTAE has since been revised. The fifth refinement
is currently being used in research studies. The current
version is a procedure in which subjects watch a simulated
family therapy interview on videotape and answer the
questions of a 32-item multiple choice format test.
Breunlin et al. (1983) pointed out that a multiple choice
format in which subjects choose an alternative in response

42
to a simulated videotape constitutes a reasonable
compromise in that it can reliably measure therapist skills
within a standardized and easily scorable methodology.
The FTAE was designed to assess the acquisition of
skills within the structural/strategic model. Although
Breunlin et al. (1983) reported continued difficulties with
the observational (perceptual) scale, there is accumulating
evidence that both the conceptual and therapeutic scales of
the current version of the FTAE discriminate well, as does
the total score (Hernandez, 1985; Pulleyblank & Shapiro,
1986; West, Hosie, & Zarski, 1985). For example, Hernandez
(1985) tested the descriminant validity of the FTAE using a
sample of 75 persons who were either novice, mid-range, or
experienced family therapists. Subjects were drawn from
seven family therapy training programs in Illinois and
Indiana and ranged from first year graduate students to
AAMFT approved supervisors. Three- and six-week test-
retest reliabilities were .76 and .62, respectively.
Hernandez found that the total score, conceptual score, and
the therapeutic (executive) score discriminated well
between novice and experienced therapists.
In another study, Pulleyblank and Shapiro (1986) used
the FTAE to evaluate a 9-month structural family therapy
training program and found that all the scores of the FTAE
differentiated between nine trainees in a structural family

43
therapy training program and an eight member comparison
group.
All 9 trainees held master's degrees in either
marriage and family therapy or social work and were
employed at a mental health agency. The comparison group
were educated as master's level marriage and family
therapists and were also employed as such. However,
generalizability of the study was limited due to the small
sample size.
In another study, West et al. (1985) examined 10
students enrolled in a graduate level course in family
therapy who practiced interviewing simulated families over
a period of 4^ months (one semester). Students were novice
level family therapists. Skill development was assessed at
three equal interval times during the semester. The FTAE
was used to measure skill development. A repeated measures
analyses indicated there were significant differences
between testing times on the total score. Significant
differences were found from time 1 to time 3 with combined
scores for observational and conceptual subtests.
Conceptual skills increased significantly from time 1 to
time 2, while observational skills significantly increased
from time 2 to time 3.
No significant differences were found for the
therapeutic subtest. This may be due to two factors: the
test instrument and the method of training that emphasized

44
observational and conceptual skills. However, the study
lent support to the validity of the FTAE and suggested the
use of simulation for skill development of observational
and conceptual skills.
Evaluation of Training Studies
Recently, some researchers have evaluated training
programs. Tomm and Leahey (1980) examined the relative
effectiveness of differing methods of training used to
teach basic family assessment to 72 first year medical
students at the University of Calgary. Three teaching
methods were compared: (a) lecture with videotaped
demonstration, (b) small group discussion with the same
videotaped demonstration, and (c) learning groups that
included the experiential component of interviewing and
assessing a family and presenting a videotape of the
interview to the group for discussion. Results showed that
posttest achievement was significantly higher than pretest
for all methods. However, no method was shown to be
superior to others, leading to the conclusion that the
lecture-demonstration approach is the method of choice for
teaching family assessment to beginning medical students,
on the basis of cost-effectiveness.
An outcome study of the effectiveness of a 3-day
training workshop designed to teach basic family therapy
skills was reported by Churven and McKinnon (1982). A
pretest-posttest design was used to compare 24 trainees'

45
performances before and after the workshop on both
cognitive and intervention skills. Written case analyses,
videotaped interviews with simulated families, and self-
ratings were the three measures used to evaluate trainee's
learning. Significant improvements were found on all three
measures. No significant differences were found between
different professional groups participating. Changes in
cognitive and intervention skills were found to be
relatively independent.
Byles, Bishop, and Horn (1983) described the
evaluation of a 14-month training program based on the
McMaster model of family functioning. The program
consisted of 6 months of training in conceptual and
perceptual skills and 8 months of training in executive
skills through peer group review of audio-taped therapy
sessions. Twenty-four social workers employed by a
metropolitan family service agency were the trainees.
Outcome measures of skill acquisition were inconclusive.
The most significant result was greatly increased use of
family therapy by agency staff. However, this article is
important as a case study in program innovation within an
agency setting.
As previously mentioned, Mohammed and Piercy (1983)
examined the differential effect of two training methods
(observation feedback and skill based) as well as the
sequence of these methods, on structuring and relationship

46
skills. The training consisted of four weekly 2\ hour
sessions. Relationship skills improved with the
observation feedback methods in the first sequence.
However, overall, neither of the methods or sequences were
more effective in direct comparison.
The first comprehensive study of an outcome evaluation
of an entire training program was reported by Tucker and
Pinsof (1984). They demonstrated that training does effect
change in trainees on several important dimensions.
Setting as their goal evaluating to what extent
psychotherapy training programs achieve their skills
training goals, Tucker and Pinsof developed a standard
stimulus and a battery of instruments for evaluating
trainee change. The study evaluated change in 19 family
therapy trainees in their first year of study at the Center
for Families Studies/Family Institute of Chicago (CFS/FIC)
in terms of three attributes: (a) clinical cognition, (b)
techniques, and (c) self-actualization. Training involved
part-time, post-graduate coursework. Clinical cognition
was measured by the Family Concept Assessment (FCA) (Tucker
& Pinsof, 1981) and self-actualization by the Personal
Orientation Inventory (POI) (Shostrom, 1974). The in¬
therapy behavior of the trainees was evaluated by rating
the trainee's response to a live family simulation.
Professional actors were used to represent the family. Two
different but similar families were used for pretesting and

47
posttesting. Simulated families were equivalent in
interactional patterns for trainees as demonstrated by
empirical evidence.
Results reported by Tucker and Pinsof (1984) suggested
that trainees did change significantly on several
dimensions in the direction desired by the training staff.
Specifically, pretest-posttest scores showed a significant
increase on one of the three subscales of the Family
Concept Assessment. This change indicated that trainees
thought more in terms of circular rather than linear
causality at the posttesting than at the pretesting. In¬
therapy verbal behavior, as measured by the Family
Therapist Coding System, was expected to change in 25 code
categories. Of these, three were found to have changed
significantly in the expected direction. The POI showed no
increase in self-actualization during the first year of
training but also suggested that most trainees began the
program highly actualized.
Tucker and Pinsof1s (1984) findings supported the
belief that family therapy training can have clinically
meaningful effects on trainees. Increased systemic
thinking, increased activity level, and increased range and
specificity of interactions were impacted by training.
This study broke methodological ground and provided a model
for future investigation as it illustrated that empirical
study of family therapy training is possible and confirmed

48
the fact that research may be useful as a guide for shaping
family therapy training programs.
In 1986, Zaken-Greenberg and Neimeyer reported the
results of a controlled assessment of a training seminar in
structural family therapy for graduate students. Changes
in the conceptual and executive skills of 44 therapy
trainees (22 family trainees and 22 control subjects) were
assessed over a 16-week period using a repertory grid and
videotaped therapy simulation technigue. Results indicated
significant conceptual gains in family therapy trainees but
only among those with little previous exposure to family
training. Differences in the overall number as well as
type of interventions were also noted. Results generally
supported the predicted impact of therapy training but left
unanswered questions regarding the unique input of family
therapy training over individual training. Family therapy
training itself could not be isolated as the cause for many
of the differences noted in this study. For example, some
effects such as decrease in obstructive responding occurred
in both groups suggesting that they may result from
practice, maturation, or some other variables not specific
to family therapy training per se. Other findings in the
study demonstrated the consistent superiority of family
trainees (e.g., number of interventions generated, effects
that did not vary with training). Again these findings
raised questions regarding the unique impact of family

49
therapy over and above individual training. Moreover,
these authors noted that there was an uncertain
relationship between training effectiveness and therapeutic
effectiveness. Even though the structural family trainees
in this study did show comparatively greater gains in
conceptual and executive skills, no current research has
specified the impact of training gains on therapy outcome.
The following conclusions can be drawn from reviewing
this literature: (a) instruments with some degree of
reliability and validity now exist that distinguish
therapists experience levels; (b) family therapy training
appears to produce an increase in trainee skill
acquisition, however intervention skills have never been
measured in actual therapy sessions; (c) cognitive and
intervention skills appear to develop independently of one
another; and (d) beginning assessment skills may be
effectively taught using traditional classroom methods.
With regard to the type of trainee, the context and
type of trainee, and the length of training, this body of
research demonstrated a great deal of diversity. For
example, types of trainees included graduate students,
post-master's level trainees, medical students, and mixed
professional groups. Context for training included a
professional workshop, graduate level coursework, family
therapy training centers, in agency training programs, and
seminars that entailed lectures, skill-based approaches,

50
and experiential approaches. The length of the training
components encompassed 3-day workshops, 4-week training
components, semester-long coursework, 9- and 14-month
training programs, and no time specified. Clearly, the
type of trainee, contexts for training, and length of
training time were quite varied. Little attention has been
given to the sample of novice level trainees studying the
beginning phase of family therapy training enrolled in
university based settings. Research that addressed
particular types of trainees (i.e., novice level) at
particular stages of training (i.e., initial stage) in
specific contexts (i.e., university based programs) would
enhance the research literature.
In a recent review of the outcome research on family
therapy training Avis and Sprenkle (1990) suggested
guidelines for future research. The following were
recommendations:
1. A need for controlled research which
creatively explores ways for controlling for
relevant variables due to difficulty in using
traditional designs requiring random assignment.
. . . Tucker and Pinsof's (1984) Hi-Low
distinction, as method for controlling for
therapist experience level, was cited as an
example of this.
2. Replication of existing research with greater
specification and description of training programs
and experiences, including goals . . . contexts,
and conditions under which training occurs.
3. The development of more valid and reliable
instruments to measure changes in trainees'
skills. . . . the tension between simplicity/
usability and specificity/sensitivity was
highlighted.

51
4. The evaluation of training in terms of its
impact on therapeutic outcome. . . . this may be
done indirectly by measuring changes in trainees
on skills associated with positive outcome, or by
studying therapy outcomes of trainees.
5. Design improvement, including specification of
trainer/supervisor and trainee variables . . .
adequate sample size, trainer-investigator
nonequivalence.
6. Comparative studies which address the
specificity question (i.e., what training is
effective when, for whom under what conditions,
and for what type of clinical situation. . . .
such studies will be essential in determining the
relative cost/effectiveness of training programs.
(p. 262)
In keeping with these recommendations, the focus for
this research was the novice-level family therapy trainee
in the beginning phase of training from university-based
programs. The structural/strategic school of therapy was
targeted as the method of training. In addition, the
influence of particular trainee characteristics were
examined.
Training Model
The field of marriage and family therapy encompasses a
wide range of approaches. They range from psychodynamic
and experientially based approaches to structural,
strategic, and behavioral orientations. Several studies
(Henry, 1983; McKenzie, Atkinson, Quinn, & Heath, 1986)
have found that structural and strategic models are taught
most frequently in the United States. Although some
training programs teach their students to utilize a variety
of theoretical models and approaches, the programs begin
with the structural approach because of its relative

52
simplicity, concreteness, and directness (Figley & Nelson,
1990). Because little empirical evidence supports any one
theoretical approach, intellectual integrity mandates the
presentation of a broad spectrum of theories (Sprenkle,
1988). However, Sprenkle noted that theoretical
orientation is more evident in classroom instruction than
in practice, citing Purdue University's leading marriage
and family therapy program as a program that teaches all
major approaches in theory courses but emphasizes brief,
problem-centered interactional approaches in practica.
In a discussion of Purdue's curriculum, Sprenkle
(1988) outlined the theoretical training sequence.
Structural and strategic theories are emphasized in the
initial state of the training. Because the focus of this
research was on the novice level trainee in the beginning
phase of training, it seemed logical to assess the impact
of a structural/strategic approach to family therapy
training.
Structural/Strategic Family Therapy Models
The structural and strategic approaches to family
therapy practice are some of the most clearly articulated
in the literature. Specific assumptions about the nature
of the therapy process, precise description of techniques,
and clear description of training methods distinguish these
two schools from many of the other family therapy training
models. Due to many commonalities in these assumptions,

these two models are often integrated as a structural/
strategic theory of practice. In the following sections
the theoretical assumptions, major therapeutic techniques,
and major goals of these two approaches are described.
Structural family therapy model. Viewing the family
as an organizational system, structural therapists
conceptualize the family as do other systemic approaches
(i.e., as a system in evolution that constantly regulates
its own functioning). However, they feature a distinctive
focus on concepts that describe spatial configurations;
(i.e., closeness/distance, inclusion/exclusion, fluid/rigid
boundaries, and hierarchial arrangements). The key notion
of complementarity is used by the structuralist to denote
not an escalation of differences (Bateson, 1972) but a fit
among matching parts of a whole.
From a structuralist point of view, symptomatic
behavior is a part of a dysfunctional organization (e.g.,
an adolescent's anorexia is viewed as related to a mutual
invasion of the patient's and parents' territories).
Structural configurations are deemed functional or not
according to how well or how badly they serve the
developmental needs of the family and its members. In a
dysfunctional family, development is replaced by inertia.
Such a family cannot solve its problems and continue to
grow because it is stuck in a rigid arrangement. Unlike
other systemic approaches that focus on the function of the

54
symptom the structuralist focuses on the organizational
flaw (i.e., the couple's avoidance of conflicts crippling
their parenting of son) (Colapinto, 1988).
The dimensions of transactions most often identified
in structural family therapy are boundary, alignment, and
power. Each transaction contains all three of these
structural dimensions. Minuchin (1974) stated, "The
boundaries of subsystems are the rules defining who
participates and how" (p. 53). Alignment refers to "the
joining or opposition of one member of a system to another
in carrying out an operation" (Haley, 1976, p. 109). This
dimension includes, but is not limited to, the concepts of
coalition and alliance. Coalition is defined as "a process
of joint action against a third person (in contrast to an
"alliance" where two people might share a common interest
not shared by a third person)" (p. 109). Finally, power,
also described as force, has been defined as "the relative
influence of each (family) member on the outcome of an
activity" (Aponte, 1976, p. 434).
Commonly described structural therapy techniques/
interventions include joining the system, boundary making,
enactment, tracking sequences, reframing (or relabeling),
escalating stress, creating a crisis/intensifying, symptom
recomposition (add or subtract systems) (Minuchin, 1974;
Minuchin & Fishman, 1981). Change is assumed to occur when
dysfunctional, repetitive patterns are interrupted.

55
Altering clients' perceptions, expanding their world views,
or reframing their behavior can lead to change in therapy.
Structural goals include reorganization of the family
structure and the lessening of rules/roles dictated by
narrow bonds of transactions (i.e., increased flexibility
in both families and their members). According to
structuralists, although the presenting problem should be
solved, it is done so through structural reorganization, a
process allowing relevant and essential tasks within family
life to be mastered more effectively.
Strategic family therapy model. The term strategic
family therapy has been applied to many different
approaches. Prominent figures associated with this
approach include Milton Erickson, Jay Haley, Cloe Madanes,
the Mental Research Institute (MRI) group (including John
Weakland, Paul Watzlawick, Richard Fisch, Steve de Shazer,
Arthur Bodin, and Carlos Sluzki), Gerald Zuk, Lynn Hoffman,
Mara Palazzoli-Selvini, Peggy Papp, and Karl Tomm.
Generally speaking, strategic approaches to family
therapy fall under what Madanes and Haley (1977) have
termed the "communication" therapies. Haley (1972) defined
strategic therapy as a therapy in which the clinician
initiates what happens during treatment and designs a
particular approach for each problem. Strategic therapists
take responsibility for directly influencing people. They
are not as concerned about family therapy as they are with

56
the theory and means for change. Strategic therapists
believe that insight is not necessary to bring about change
in the presenting problem. A developmental life cycle
perspective is utilized. They highlight issues of
circularity, sequences of interaction, behavior as
communication in a relationship, and therapeutic issues as
a part of theoretical assumptions.
Therapeutic techniques/intervention used by
strategists include obtaining an identifiable problem,
relabeling/reframing, and using the client's language and
position. Strategic therapists favor going with the
resistance and avoiding confrontation versus creating a
crisis. They endorse direct methods of dealing with the
client, however, they also endorse indirect methods (i.e.,
the use of paradox and metaphor, such as prescribing
symptoms, restraint from change, positioning, etc.).
Giving directives is an important skill in strategic
therapy. Homework assignments, tasks, the use of rituals,
and the use of outside teams, consultants, and supervisors
are common.
Change is assumed to occur through the interruption of
dysfunctional, repetitive patterns. By altering the
clients' perceptions, expanding their world view,
reframing/relabeling behavior, and putting a problem in a
solvable form, the therapist helps produce second order
change. Not only is insight not necessary but if change

57
occurs without the client knowing how or why that is
considered sufficient (and often preferable to insight).
Thus, the therapist's relationship is not endorsed as in
structural family therapy. The major goal of strategic
therapy is to change the presenting problem. The
therapist's goal is to break the immediate and redundant
behavior sequence that maintains symptoms and resolved
problems quickly and efficiently, thus producing concrete
behavioral change in the presenting problem. Altering the
client's solution patterns or second order change is a
major goal of strategic therapists.
Different approaches to strategic therapy emphasize
different aspects. The Haley/Madanes approach to strategic
therapy places emphasis on symptoms as metaphors, the use
of ordeals, and the use of pretending. Symptoms are seen
as arising from dysfunctional hierarchies. Whereas the
Milan/Ackerman approach places emphasis on circularity and
the inextricable nature of symptoms and systems. The MRI
approach endorses a more general approach to strategic
therapy.
Similarities and differences. Many similarities and
differences exist in structural and strategic schools of
therapy. Many summaries concerning these comparative/
contrasting views exist in the literature. In a recent
project, Stone-Fish and Piercy (1987) conducted a Delphi
study to examine the theory and practice of structural and

58
strategic family therapy. A panel of experts representing
each school of therapy was identified and asked to identify
the basic tenets of their schools of thought and reach a
consensus by means of a Delphi procedure. Profiles were
developed and similarities and differences regarding each
school were identified. The structural and strategic
panelists agreed that both approaches are similar in terms
of (a) focusing on the present; (b) being change, rather
than insight, oriented; (c) viewing problems in their
relationships context; (d) giving directives; (e) assigning
tasks; (f) being interactional or contextually oriented;
and (g) being goal directed and concerned with therapy
outcome. In addition, both schools agreed that change
occurs by the interruption of dysfunctional sequences, thus
producing a change in behavior and a change in perception.
However, the panelists felt that the approaches
differed in theoretical emphasis. Although structural
therapists emphasize family structure, strategic therapists
do not. Although both schools use direct techniques to
intervene in family therapy, strategic therapists tend to
use indirect ones much more than do structural therapists.
In addition, they noted that the goals of therapy differed
across the two schools. Strategic therapists aim to solve
the presenting problem although structuralists focus on
reconstructing the family. Thus,
Structuralists see the symptom as one
manifestation of underlying family pathology and

59
therefore logically try to reorganize the family
structure. In contrast, strategic therapists take
the symptom at face value, . . . and attempt to
identify those interactional patterns which
maintain the problem. (Stone-Fish & Piercy, 1987,
p. 124)
Although integrated approaches of structural and
strategic family therapy exist, it may be important in the
teaching and training of family therapy practitioners to
expose them to the subtle and not so subtle distinctions
between the two schools. There are different ways to
approach this (e.g., by tracking and supervising beginning
students in one approach or the other initially or by
emphasizing distinctions throughout the training process).
Many therapists describe their work as a combination or as
a sequence of both strategic and structural principles.
Obviously this is not coincidental, as Haley was
instrumental in the development of the structural school.
Structural and Strategic Models of Family Therapy Training
There tends to be an isomorphic relationship between
the way therapy is constructed and training structured in
the family therapy field. Literature on the training
models and methods of the structural and the strategic
family therapies display this consistency.
Structural family therapy training. An example of
structural training is the training program of the
Philadelphia Child Guidance Clinic that incorporates the
tenets used in the practice of structural family therapy of
observation and active restructuring of behaviors through

60
live supervision (Montalvo, 1973). There is an early
emphasis on learning techniques in the teaching of
structural family therapy in reaction to the limitations of
traditional psychotherapy training with its deductive
sequence from theoretical constructs to specific
interventions.
The availability of live and videotaped
supervision exposed huge discrepancies that
existed between the apparent understanding of
concepts and the actual behavior of the therapist
in the session. Thus, the idea evolved of
teaching the students "the steps of the dance
. . . without burdening them with loads of theory
that would slow them down at moments of
therapeutic immediacy." It was hoped that
theoretical integration would emerge
spontaneously. (Colapinto, 1988, p. 20)
With experience, the training approach has been
modified for it became apparent that spontaneous
theoretical integration was the exception rather than the
rule using these methods. Thus the emphasis shifted to
developing conceptual understanding of the model and the
practical operations in the therapy room simultaneously
with an integrated paradigm. A mere balance of theory and
practice was considered not enough. The integration of
theory and practice was necessary, a feat the structural
trainer believed could occur only in the arena of
supervised clinical work. "The best opportunity for the
supervisor to facilitate is immediately before or during
the therapeutic encounter with a family—when the therapist

61
is at the highest point of motivation and alertness"
(Colapinto, 1988, p. 21).
A typical example of a structural training program is
the Philadelphia Child Guidance Clinic's structural family
therapy program which offers internships, various clinical
practice, extern program, supervisory groups, evening
courses, workshops, and conferences. More specifically,
the extern program component is aimed at master's level
trainees who are employed in an agency setting where they
are seeing at least five families. Typically this
particular trainee is already acquainted with the concepts
of structural therapy through readings, workshops, or
edited videotapes.
Colapinto (1988) has described the extern program. To
summarize, the training program begins with a 3-day seminar
intended to set common ground for the training process.
The rest of the program revolves around direct supervision
of the trainees' work with families. Clinical work is
conceptualized as the arena where an integration of theory
and practice can best occur. Each trainee conducts one or
two sessions per day under live supervision and receives an
additional half hour of videotape supervision for each hour
of therapy.
The unit of training is a cycle that includes a pre¬
session of discussion, live supervision, post-session
review, and videotape review. The integration of theory

62
and practice follows a pattern of alternation; the trainee
works with a family, receives corrective feedback from the
supervisor, returns to the family, and receives more
feedback. Generic concepts such as joining, unbalancing,
or enacting, are intertwined with the discussion of
specific clinical situations throughout the stages of the
training cycle. The integrative approach is complemented
with readings assigned in accordance with each trainees'
needs, videotaped sessions of experienced clinicians that
the supervisor discusses to illustrate specific points, and
monthly 1-day seminars where all students and supervisors
meet to talk among themselves and with guest presenters.
The extern program is representative of the way
structuralists approach training.
Strategic family therapy training. Many models of
therapy are considered to be strategic (i.e., Haley/Madanes
approach, the Milan approach, and the MRI approach). For
purposes of this paper the Haley/Madanes approach is
discussed. It is assumed that training a strategic family
therapist involves the design of a specific and
individualized plan by the supervisor. The plan followed
may be shared with the therapist or may be indirect and not
shared. By this definition one can see the isomorphic
nature between therapy and training.
Mazza (1988) described the administrative context of
training at the Family Therapy Institute as follows:

63
Strategic therapists are generally trained
live." A small group of therapists meet to
observe each other and discuss their work.
Therapists who are observing may make comments or
ask questions of the supervisor, but may not
instruct or advise the therapist in any way. A
clear hierarchy is established in which the
supervisor is responsible for simultaneously
training therapists and solving clients' problems.
It is assumed that a therapist who brings certain
live experiences to the therapy (e.g., raising a
family) will be more successful than an
inexperienced therapist.
Families are protected from the inexperienced
therapist by live supervision, and sometimes
report that they look forward to knowing that more
than one therapist is working on their problem.
Each therapist is assigned a supervisor who
discusses the intake and plans the initial phone
call with the therapist. The therapist calls,
sets the appointment, and arranges for the
relevant family members to attend the first
session, (p. 93)
The model of Haley (1976) and Madanes (1981, 1984) is
one in which therapy is expected to be brief, problem
focused, with planned sessions, and an active therapist is
used. The goal of training is to prepare therapists to
work in a variety of settings not be dependent on a team
behind a one way mirror. Therapists have the opportunity
to treat a wide range of clients (e.g., acute and chronic
problems, poverty-level and upper class families, etc.).
Therapists are trained in a directive, learn by doing
approach. Although therapists are taught specific
technical skills, the training emphasizes the development
of a conceptual framework. This framework provides a
method of thinking rather than a method of therapy. This
framework, or method of thinking, is individually crafted

64
to make the best use of the therapist's skills. Learning
to clearly deliver directives and increase one's range of
interventions are individually designed for a particular
therapist in the context of treating a particular client.
Thus the therapist's strengths and experiences are built
upon. Depending upon the particular therapist,
assignments, tasks, readings, etc. are given. Both direct
and indirect (e.g., prescribe the behavior restraint from
change, etc.) techniques are used in teaching. By the end
of the first year of training a therapist should be able to
make structural changes in the family and understand a
rationale and consequence for each intervention. By the
end of the second year, a therapist is expected to be able
to generate a number of strategies to solve a specific
problem.
Summary. In summary, there is a great deal of
similarity in these two training models. Structural family
therapy training emphasizes both the conceptual model and
the practical operation of it in the therapy room. Live
supervision is an integral part of the training with a
learn by doing approach. Structuralists emphasize
particular interventions and techniques (e.g., joining,
unbalancing, etc.) that are more direct, focus on changing
the present interactional sequence, and target the
organization of the family. The current structuralist view

65
is that theory and technique (understanding and behavior)
can and should occur spontaneously.
Strategic therapists believe that the clients'
understanding of their problems follow changes in their
behavior. Similarly, strategic family therapy trainers
focus on changing trainees' behavior with their client
families rather than by giving trainees a broad
understanding of what they are to do through extensive
lectures on theory. Thus, they assume that learning a new
approach to treatment, both conceptually and technically,
comes about by doing that treatment (Fisch, 1988). Clearly
methods of training at structural/strategic family therapy
training institutes are directed towards post-degree
therapists. Live supervision is the cornerstone of the
training with knowledge of theoretical concepts considered
a given. This study focused on novice level trainees in
their beginning phase of training. Preliminary phases of
training emphasized theoretical concepts, a conceptual
shift towards systemic thinking, and development of
assessment skills.
University-Based Training in Family Therapy
The university-based context clearly differs from the
previously discussed institute settings. Training is
operationalized in different ways depending on whether the
goal of training is to expose students to a family approach
or to prepare clinicians to work with families, so the

66
context in which training occurs also influences the
processes and outcomes of training and supervision (Haley,
1975; Liddle, 1978). Training that occurs within settings
that define family therapy as a profession (e.g., family
therapy institutes) differs from training that takes place
within a professional discipline, such as psychology,
social work, or counselor education.
Sprenkle (1988) discussed issues of training and
supervision in family therapy in degree granting graduate
programs. Clearly context influences the training
component. For example, the training site's financial
stability, means of support, stage of development, physical
facilities, embeddedness or lack thereof in the community,
and competing ideologies (i.e., intrapsychic versus
systemic thinking) influence the nature of training.
Many accredited degree granting programs cite
theoretical diversity as the hallmark of their programs.
This decision is likely based on the lack of empirical
research supporting any one theory, thus the presentation
of a broad spectrum of theories. Nonetheless, this
approach stands in contrast to the argument advanced by
Liddle (1982) that it is premature to integrate theories in
the field that would result in an eclectism that will not
advance the field. Interestingly, Sprenkle (1988) noted
that the theoretical diversity is more evident in classroom
instruction than in practice. He cited Purdue University's

67
program as an example in which all major approaches are
taught in theory courses, whereas the practice emphasizes
brief, problem-centered interactional approaches.
Another interesting notion is that academic training
in theory and research is the emphasis of degree granting
programs. In the literature, training and supervision
terms are often used synonymously, whereas academic family
therapy educators insist that supervision is a subset of
training, and that the latter requires mastery of the body
of academic knowledge that requires years of intensive
study (Sprenkle, 1988) .
Issues such as these, in addition to accreditation,
licensure, and third party payments by insurance companies
certainly influence the development of marriage and family
therapy training in the university setting. Training in
the university setting is influenced by context and
subsequently differs from training offered by free standing
institutes.
Training Model Used in this Study
Although the terms "training," "supervision," and
"consultation" are widely used in the literature, they are
seldom defined and differentiated clearly. Training refers
to the domain of education of professionals (Piercy &
Sprenkle, 1986). It refers to the broad, comprehensive
tracking of family therapy theories and techniques (such as
seminars, workshops, courses, and programs) that either

68
precede or occur alongside the development of a trainee's
clinical skills through supervised clinical practice (Saba
& Liddle, 1986). Trainees are concerned with a more
general transmission of conceptual and clinical knowledge.
Supervision refers to a continuous relationship, in a
real world work setting, that focuses on the specific
development of a therapist's skills as he or she gains
practical experience in treating client families (Saba &
Liddle, 1986). Focused attention on specific cases,
therefore, is the hallmark of supervision.
Consultation differs from supervision in that it is a
short-term, symmetrical, peer-like relationship between a
therapist and an invited expert. The consultant's power is
derived from his or her expertise and skill. There is no
formal stake in evaluating the therapist's progress in
learning or job performance (Nielson & Kaslow, 1980) as
might occur in some training and supervision contexts.
This study was focused on the training of beginning
family therapists in university-based introductory family
therapy seminars/courses. Thus, the emphasis was placed
upon exposing students to a family therapy approach that
emphasized a combination on structural and strategic models
of therapy. Christensen, Brown, Rickert, and Turner (1989)
have summarized some general assumptions that underlie
graduate level curriculum as follow:
(a) practical solutions to problems require an
integration of various theoretical schools with an

69
emphasis on the development of assessment skills
(Kaslow, 1987); (b) students must learn to work
systemically with clients in environments where a
systems approach does not exist; (c) training
should consist of a combination of didactic and
experiential coursework and mastery at this level
should be demonstrated through more than cognitive
recall; and (d) students at this level of training
need to primarily master engagement and problem
identification skills, (p. 84)
Goals and objectives for the seguence of training of
interest in this study were based on these assumptions.
Coursework that focused on theoretical concepts from major
theories, and in particular structural and strategic
models, with an emphasis on assessment and treatment
planning were targeted as the instructional component for
this research. Christensen et al. (1989) summarized
courses objectives that are typical of this stage of
training. These included
(a) informational levels such as description of
basic systems concepts and then history, a
description of family assessment criteria (i.e.,
structural boundaries, hierarchy, strengths
. . . ), and a description of pre-interview
skills; (b) perceptual levels such as the
identification of basic systems concepts and
elements of family structure, recognition of basic
stages of an assessment/consultation interview
from a videotaped interview, ability to write a
concise summary of a family assessment and
referral plan; and (c) application/demonstration
levels such as mapping a family (video or
simulative form) from a developmental, structural,
and sequence view, conducting an assessment
interview with a simulated family, (p. 86)
Typical evaluation activities included written exams,
analysis of videotapes and simulations, brief assessment
exercise, role-playing, and major paper requirements.

70
In summary, the segment of training of interest in
this study was based on the aforementioned assumptions,
goals, and objectives which have been commonly used at the
initial stage of family therapy training. Clearly this
method of instruction emphasizes a skill development
approach which has been commonly described in the training
research literature. The outcome variables of interest
were changes in family therapy conceptual, perceptual, and
observational skills. These changes in skills were used to
evaluate this component of the training. The instrument
used for evaluation of the outcome variables, the FTAE was
considered an appropriate choice for this task based on
previously cited research. Breunlin et al. (1983)
developed this instrument to measure conceptual,
perceptual, and observational skills specific to the
structural and strategic schools of therapy.
Research on Therapy Trainee Characteristics
Gurman and Kniskern (1981) also recommended that
family therapy training research be conducted to evaluate
the impact of factors that may not be specific to any given
school but may be pertinent across schools. For example,
are there relatively enduring personality factors (e.g.,
psychological mindedness, tendency toward convergent rather
than divergent thinking) that predict trainee's success
regardless of the "school" of training? Research
addressing these training issues that is specific to given

71
schools of therapy and also relevant across various schools
has been the direction recommended. In an attempt to
address this "specificity question" Breunlin et al. (1989)
designed a research study to evaluate the effect of three
of these variables on the acquisition of family therapy
skills. The three variables were (a) aspects of the
trainee's personal background, (b) trainee's prior training
and/or clinical practice experience, and (c) components of
the training experience itself. Data regarding these three
sets of variables were gathered by questionnaire. The
acquisition of family therapy skills was measured by the
Family Therapy Assessment (FTAE) (Breunlin et al., 1983) at
pretesting and posttesting. Ninety-six subjects drawn from
seven training programs participated in the study. The
subjects ranged in experience from little prior clinical
experience to those with considerable experience. Contexts
for training included university settings, agency inservice
training programs, and an institute training program. All
programs included some teaching of the structural/strategic
model. More specifically (a) conjugal family experience,
(b) prior family therapy experience and prior individual
therapy experience, and (c) severity of cases and
percentage of cases being seen in individual therapy were
examined.
Results indicated that conjugal family experience
significantly predicted family therapy learning and

72
specifically the therapeutic skill level. In contrast,
prior experience in family therapy did not influence change
in either the FTAE total or subscores perhaps due to a
ceiling effect or to higher pretest scores. Previous
experience in individual therapy did predict changes,
however, in family therapy learning, specifically
conceptual skill. This finding was of surprising interest
because, in the past, family therapy educators and trainers
(e.g., Haley, 1981) have predicted that individual training
would be counterproductive to the theory and practice of
family therapy. In addition, the program variables of
severity of cases and percentage of individual cases also
had predictive significance.
By their own admission, Breunlin et al. (1989) stated
that these results can only be taken as suggestive and
needing replication (due to methodological problems and
missing data). However, they reported the results because
of the scarcity of studies in family therapy training.
More importantly, these researchers suggested that "trainee
characteristics matter a great deal even after selection
for training; accounting for 18% (as a population estimate)
of the total FTAE score improvement, or better, for about
half of the reliable variance in the total change score"
(Breunlin et al., 1989, p. 11).
In summary, Breunlin et al. (1989) illuminated an
approach that goes beyond the model of pretest-posttest

73
studies and begins to look at how personal characteristics
of the trainee effect acquisition of skills in family
therapy training. Five other studies have been conducted
in which the researchers have attempted to control for
important trainee variables such as gender, experience
level, and previous training. In previous literature, Tomm
and Leahy (1980) controlled statistically for gender,
marital status, and previous work experience, and Tucker
and Pinsof (1984) and Zaken-Greenberg and Neimeyer (1986)
controlled for trainee experience. This researcher sought
to extend this type of research by examining the effect of
particular characteristics of the marriage and family
therapy trainee on the acquisition of skills.
Therapist Variables in Individual Counseling Training
It is not surprising that the specificity question in
the field of family therapy has not been addressed, as the
parallel question with regard to general psychotherapy
training, itself, has been difficult to answer (Paul,
1967). Much of the training research in marriage and
family therapy focused on skill acquisition as originally
proposed by Cleghorn and Levine (1973). Similarly, an
emphasis on the skills training approach has been a common
component of graduate level counseling programs (e.g.,
Carkhuff, 1969; Egan, 1982; Ivey, 1978; Traux & Carkhuff,
1967). In 1977, Mahon and Altmann expressed concern that
counseling skills training has been applied in a uniform

74
manner that ignores both learner and learning process
variables that could affect training outcome and counseling
effectiveness.
Therapist factors that can affect the learning of
family therapy skills, and even more importantly the
outcome of psychotherapy, are complex. In a review of the
literature on therapist variables in psychotherapy process
and outcome research, Beutler, Crago, and Arizmendi (1986)
discussed the complexity of conducting research such as
this. They emphasized the need to continue research
directed towards understanding the complex interactions
between therapist, intervention, client, and the nature of
outcome.
Some research has emerged in the general body of
individual counseling and psychotherapy training literature
that studied the effect of trainee variables on the
acquisition of therapy skills. Mahon and Altmann (1977)
suggested that learner perceptions and attitudes may affect
the control, the intentionality, or the flexibility of
skill used by the trainee, which could in turn determine
the selection and production of discrete skills during
counseling. Hirsch and Stone (1982), in a study examining
attitudes and behaviors in counseling skills development,
proposed that trainee attitudes have a mediating influence
on the effectiveness with which counseling skills are
employed.

75
Attitudes of counselors have been found to influence
perceptual and behavioral flexibility. Wampold, Cass, and
Atkinson (1981) found that stereotyping interferes with the
counselor's processing of information about ethnic
minorities. In another study, stereotyping of homosexual
individuals versus heterosexual individuals was also found
to interfere with the counselor's processing of information
(Cass, Brady, & Ponterotto, 1983).
Recently some studies have examined the impact of
trainee variables on the acguisition of therapy skills.
Fong and Borders (1985), Fong, Borders, and Neimeyer
(1986), and Neimeyer and Fong (1983) explored the
relationship between self-disclosure flexibility and
counselor effectiveness during a counseling training course
in which 53 students were enrolled. Results revealed that
more flexible disclosures initially produced more effective
counseling responses than did less flexible disclosures,
but that these differences were attenuated over the course
of training.
Fong and Borders (1985), using the Bern Sex Role
Inventory, reported that counseling students' sex role
orientation had an effect on counseling skills performance.
In particular, masculine oriented trainees were rated as
less effective and undifferentiated than the other sex role
orientation groups. However the androgynous orientation

76
trainees were less effective than either the feminine or
the undifferentiated orientations.
In a more recent study, Fong, Borders, and Neimeyer
(1986) examined the impact of sex role orientation and
self-disclosure flexibility of 44 counseling students on
their ability to demonstrate counseling skills and their
overall counseling response effectiveness during and after
counseling skills training. Using factorial analyses, sex
role orientation and level of self-disclosure flexibility
accounted for approximately 30% of the variance in quality
of counseling skills. These findings lend support to the
importance of trainee perceptual, cognitive, and behavioral
flexibility in the acquisition and use of counseling
skills. The authors challenged the assumption that
instructional input can account for most of the variance in
trainee skill performance and suggested that the trainees'
perceptual, cognitive, and behavioral flexibility for
developing counseling skill proficiency may be an important
source of variation. They recommended using other
indicators of flexibility in research studies to describe
more clearly how these variables mediate the learning and
use of counseling skills.
It has been suggested that compatibility between the
cognitive styles of members of a relationship would affect
both the process and outcome of a relationship (Handley,
1982). Many studies of interpersonal compatibility have

77
used the Myers-Briggs Type Indicator (MBTI) (Handley, 1982;
Yura, 1972; Wyse, 1975). For example, Handley (1982)
examined the relationship between the similarity of
cognitive styles of supervisors and counselors in training
and supervision process and outcome measures. As
previously noted, he found that intuitively oriented
counselors in training received higher supervisor ratings
than did other counseling students. Similarity between
supervisors and counselors in training on the MBTI S-N
scale was reported to be related to practicum student's
satisfaction with supervision. Handley's findings
supported the hypothesis that similarity of cognitive
styles improves accuracy of communication in the
supervisory relationship. However, these findings are
preliminary.
As previously noted, Carey and Williams (1986)
compared 18 practicum supervisors and 46 counselors in
training in terms of dominant counseling style and related
cognitive style of counselors in training to the
supervision process and outcome measures. In contrast to
findings of previous researchers, a strong relationship
between the cognitive style of counselors in training and
supervision process and outcome measures was not detected
in this study. Perhaps cognitive styles change during
counseling training depending on the developmental stage of
the trainee or the general content of the tasks at hand.

78
Clearly this research supports the concern voiced by
Mahon and Altmann (1977) and Hirsch and Stone (1982) that
counseling skills training should not be uniformly taught
to all counselor trainees. In addition, it supports the
need for further research on the impact of personal trainee
variables on the learning process. As previously mentioned
in parallel literature, Gurman and Kniskern (1988)
suggested that marriage and family training researchers are
beginning to grapple with the specificity guestion (i.e.,
what types of training experiences, with which types of
trainees produce effective therapists within a particular
model of therapy).
As discussed previously, Breunlin et al. (1989)
reported the results of a study designed to examine the
effect of trainee variables on the acquisition of family
therapy skills. Variables in their study concerned
conjugal family experience, prior training in individual
and family therapy, and program variables (e.g. severity of
cases). They concluded from their research that trainee
characteristics matter a great deal even after selection
for training, accounting for 18% of the variance of the
total score improvement of trainees.
Of interest to this research effort is the prior
training variable as a factor for acguisition of skills.
In the general body of psychotherapy literature, Fielder
(1950) found that therapists, regardless of orientation,

79
became more similar as their experience increases. More
recent literature revealed that experience facilitated some
therapy processes such as therapists' empathy (Auerbach &
Johnson, 1977) and patient satisfaction (Beutler et al.,
1986). Gurman and Kniskern (1978) cited therapist
experience level as a factor that influences the outcome of
family therapy and suggested that studies include this
variable.
Beutler et al. (1986) suggested that investigations
should distinguish between amount (e.g., number of years)
and type (e.g., professional discipline) of training. Thus
experience level should be considered independent of formal
training. This researcher examined the impact of the
trainee's prior training (in individual counseling and
marriage and family therapy) and prior work experience (in
individual counseling and marriage and family therapy) on
the acquisition of therapy skills.
In addition to studying the impact of prior training
and work experience on therapy, this researcher also
examined the impact of the learning style of the trainee on
the acquisition of family therapy skills.
Learning Style
An examination of instructional theories (e.g.,
Bruner, 1968; Gagne & Briggs, 1979) suggested that
additional variables warranted consideration in attempting
to account for individual differences in learner skill

80
acquisition and in developing comprehensive approaches to
skill training. Clearly characteristics of both the
supervisor (teacher) and supervisee (learner) affect the
interaction that occurs between them. Hart (1982)
suggested that supervisee aspects to be examined during the
learning process include expectations (of supervisee and
supervisor), levels of training and experience, patterns of
interpersonal behavior, and learning style. In this
context learning refers to the speed and efficiency with
which supervises can acquire various types of information.
For example, some supervisees are able to learn best from
principles that are discussed and demonstrated whereas
others learn best by critiques of their performance with
clients. Hart (1982) suggested that learning style, like
other interpersonal patterns, is an important consideration
in the supervisory and teaching/learning process. He
recommended conducting research that includes the
consideration of learning style as an important variable
affecting the supervision and teaching/learning process.
Hart (1982) encouraged the clinical supervisor to
select techniques that are appropriate for the supervisee
with particular intellectual characteristics. For example,
Berengarten (1957) described major learning patterns of
social work students as either (a) doing, (b) experiential-
empathic, or (c) intellectual empathic. The "doer" learns
best from specific directions regarding the task. The

81
experiential-empathic learner tries out hunches and relies
on results of intuitively proceeding with tasks that seem
appropriate. The intellectual-empathic learner relies on
deliberate plans that are carefully thought out before any
action is taken. In another study Rosenthal (1977)
examined the effects of learning style and conceptual level
of supervises on the learning of clinical skills. His
results indicated that the effectiveness of the method of
teaching a clinical skill (confrontation) was dependent
upon the conceptual level (high or low) of the supervisee.
Clearly, considering trainee learning style when examining
trainee skill acquisition is an important area.
Research on the outcomes of live supervision has begun
to differentiate learning styles and preferences and has
defined some predictable trainee responses from therapists
who have undergone a live supervision experience (Liddle,
Davidson, & Barrett, 1988). For example, Liddle et al.
(1988) assessed, through structured interview format, 85
trainees from a variety of training contexts in which live
supervision was a component. The results provided an
initial picture of the variables that might warrant further
description and experimental inquiry. More specifically,
they noted that the preference for active participation in
the formulation of therapeutic plans during live
supervision was expressed by the majority of trainees.
However, this preference was more pronounced with trainees

82
who saw themselves as having an active learning style than
those having a more passive style of learning. The
conclusions drawn by the authors were that personal
involvement in the learning process was seen as crucial to
trainee success in supervision and that passive learning
styles were viewed as less beneficial than active ones.
Clearly, the variable of learning style may have a
significant impact on the acquisition of therapy skills.
The trainee's mode of observing, taking in data about the
world, organizing it, and acting upon it in the realm of
individual and family therapy training may influence the
learning of therapy skills. A number of different theories
and models of cognitive style/learning style have been
proposed. A well-known example is the Myers Briggs Type
Indicator which is based on Jung's theory of psychological
types. Many models such as this have been used to sort
individuals into career/occupational categories as a way of
applying/resolving cognitive tasks (e.g., Kolb, 1976,
1981).
Few of the learning models have been used to predict
learning and performance of specific job tasks.
Identifying preferred learning style and motivation
patterns may be of interest, however, not only in terms of
a selection factor in training but as a curriculum planning
component as well. For example, the Myers-Briggs Type
Indicator has been used as an indicator to provide

83
classroom structure, tasks, and assignment geared towards
specific personality types/learning styles of students in
elementary/secondary education. The implications for
research that includes learning style of the trainee as a
variable in the therapy learning process are many.
Variables of Interest in the Study
In the following sections, the outcome variables and
the four trainee variables of interest in the study (i.e.,
prior training in individual counseling and marriage and
family therapy, prior work experience in individual
counseling and marriage and family therapy, initial
knowledge of family therapy, and learning style) are
discussed.
Outcome Variables
The outcome variables examined in this study are the
change in observational (perceptual), conceptual, and
therapeutic (executive) skills of the family therapy
trainee from pretesting to posttesting. These skills were
originally defined by Cleghorn and Levine (1973) and have
been subsequently used in describing learning objectives
(e.g., Falicov et al., 1981; Tomm & Wright, 1979) for
marriage and family therapy training in most of the
published accounts.
Observational skills are those required to perceive
and accurately describe behavioral data within a session.
Conceptual skills are those inherent in a theoretical

84
understanding of a model. Therapeutic skills are those
necessary to execute interventions skillfully within the
session according to one's model of therapy, and in this
case, the structural/strategic model of family therapy.
Breunlin et al. (1983) have developed an instrument to
evaluate change in terms of observational, conceptual, and
therapeutic skills as previously defined. This is the
measure used in the study to assess change in these skills.
Observational (perceptual), conceptual, and executive
(technical) skills have been previously discussed in the
review of the training literature. These three
interrelated sets of skills are commonly used in the
training research.
Family Therapist Assessment Exercise
Breunlin et al. (1983) described the Family Therapist
Assessment Exercise (FTAE) as an instrument-in-process
designed to evaluate family therapists and the
effectiveness of family therapy training. The instrument
is based on (and assesses competence in) the structural-
strategic model of family therapy which integrates
structural family therapy as espoused by Minuchin and his
colleagues (Minuchin, 1974; Minuchin & Fishman, 1981;
Minuchin, Rosman, & Baker, 1978); problem-solving and
strategic therapy of Haley and Madanes (Haley, 1976; Haley,
1980; Madanes, 1981) ; and the brief therapy of the MRI
group (Watzlawick, Weakland, & Fisch, 1974) and the

85
Ackerman Brief Therapy Project (Hoffman, 1981; Papp, 1980).
Breunlin et al. (1983) claimed that they were, in essence,
measuring therapists' ability to systemically conceptualize
as
a crucial conceptual element of this model of
family therapy is the ability to think
"systemically," that is to view a family member's
actions as one part of a redundant family dance,
rather than being caused by another member's
actions or be intrapsychic events or personality
traits, (p. 43)
The instrument consists of a videotape of a first
session with an enacted family. The script on the
videotape is of an actual first session (edited down to 30
minutes) so that it can replicate the type of stimulus data
a therapist actually encounters. The use of the videotape
provides a standardized stimulus for the written component
of the instrument. A wide range of interventions are
illustrated and family dynamics of moderate complexity are
depicted. Some modifications were introduced in order to
highlight important conceptual material and include
therapist behaviors, some of which would be considered
mistakes. The final tape was filmed using professional
actors and sophisticated audio/visual reproduction,
providing transitions between the edited segments. Four
family therapists reviewed the manual and tape and
determined that it was representative of the scope of
knowledge represented by the structural-strategic model
(hence possessing respectable content validity).

86
They have designed the instrument to assess three
inter-related sets of skills: observational, conceptual,
and therapeutic skills (Falicov et al., 1981). These are
virtually the same as Cleghorn and Levine's (1973)
perceptual, conceptual, and executive skills.
Observational skills are those required to perceive and
accurately describe behavioral data within a session.
Conceptual skills are those inherent in a theoretical
understanding of a model. Therapeutic skills are those
necessary to execute interventions skillfully within the
session according to one's model of therapy, in this case
the structural-strategic model of family therapy.
The instrument is intended to measure therapists'
competence in these three sets of skills as applicable
within the clinical situation depicted on the videotape.
Observational skills are measured by how perceptive the
respondent is to behavioral data and sequences; conceptual
skills are measured by whether the respondent chooses the
''correct'' (per theoretical orientation) concept that
corresponds to that segment of behavioral data. Because
the respondent is observing another conduct therapy on a
videotape, it is more difficult to assess the respondent's
actual therapeutic skills. But the test asks the
respondent to identify and evaluate the therapist's
behaviors on the videotape as well as to choose which of
the multiple choice responses he or she would most likely

87
choose as a therapeutic intervention in response to the
prior sequence portrayed on the tape. These, of course,
may not predict whether the respondent would actually act
this way if in a similar clinical situation.
Development of the Instrument
To date, there have been five progressively refined
versions of the test based on the researchers' pilot
studies. The first version used broad, open-ended
questions to explore how therapists would respond to the
tape. A subjective comparison of pretraining and
posttraining test responses from 12 clinical externs in
family therapy revealed a substantial improvement in
complexity of answers with increased application of
training knowledge to the tape.
In constructing the second version, the answers that
were obtained using the initial, open-ended version were
generated for each item: one preferred and three
alternatives, each of which were weighted. It was hoped
that the weighing would render a more accurate indication
of progress in therapist competency from pretesting to
posttesting. Questions were included only if there was
unanimous agreement among the researchers on the correct
answers. The second form included 20 questions—7
observational, 11 conceptual, and 2 therapeutic. This
version was then shown to two other family therapists who
each concurred with the right answers.

88
The second version was piloted on five groups of
pediatric residents (n=13) and three groups of third-year
medical students (n=9). A comparison of pretraining and
posttraining scores indicated significant improvement (p. <
.01) suggesting that both the training was effective and
that the instrument sensitively measured the training
impact.
The third version consisted of 13 multiple-choice
conceptual questions, 5 observational questions (in which
the respondent must recall an interactional sequence using
a fill-in-the-blank format), 8 multiple-choice therapeutic
questions (mostly critiquing the therapist's behavior on
tape), and 7 therapeutic questions that require the
respondent to write a therapeutic intervention.
This version was reviewed and then taken by two other
family therapy trainers to verify concurrence on the
multiple-choice answers. There seemed to be greater
difficulty reaching agreement among the experts regarding
the therapeutic items. Apparently, it was easier to agree
about what the family is doing and what needs to happen
than when and how this should best occur. For this reason,
it seemed that the third version of the instrument was a
more valid measure of observational and conceptual skills
than therapeutic skills.
This third version has been pretested on three pilot
groups of differing expertise levels (n=13, n=8, n=ll).

89
The correlation between experience level and average score
is as would be expected and suggested that the test level
of difficulty has avoided the previous problem of a ceiling
effect.
In the fourth version of the FTAE, because of the
ominous task of scoring open-ended items, Breunlin and
colleagues opted to back track and convert the entire
instrument to a multiple-choice format. They chose some of
the most popular responses from the open-ended pilot runs
and cast them as potential choices within the multiple-
choice format. In contrast to earlier versions of the
instrument, however, the "correct" response was embedded
with equally reasonable alternatives and thereby not
obvious to the respondent.
The fifth refinement of the Family Therapy Assessment
Exercise (FTAE) is used in this study. This current
version is a procedure in which subjects watch a simulated
family therapy interview on videotape and answer the
questions of a 32-item, multiple-choice format test. Of
these 32 questions, 5 are observational, 11 are conceptual,
and 16 are therapeutic. Although Breunlin et al. (1989)
reported continued difficulty with the observational scale,
several studies (Hernandez, 1985; Pulleyblank, 1985;
Pulleyblank & Shapiro, 1986; West et al., 1985) provided
evidence that the conceptual and therapeutic scales of the
current version of the FTAE discriminate well, as does the

90
total score. These studies have been previously discussed
in the review of the family therapy training literature.
Finally, it should be noted that throughout each
version of the FTAE, Breunlin and colleagues constructed
the instrument so that it maintained jargon-free
terminology even though it assessed competence in the
structural-strategic model. This allowed those uninitiated
to family therapy to understand the alternatives and
insured that the test measures more than the respondents'
acquaintance with the vocabulary of the model. But, due to
its reliance on the structural-strategic model, Breunlin
and colleagues commented that it is theoretically possible
that a highly trained clinician from a contrasting school
might do very poorly on this test. However, in this study
a structural/strategic model of therapy comprised the
treatment component, therefore, this particular issue
should not pose a problem.
Trainee Variables (Characteristics)
Much of the research done in the area of training in
marriage and family therapy has been done with postgraduate
level trainees in family therapy training centers and
institutes. Little research has been done that targeted
the novice level trainee enrolled in degree granting
programs in university-based settings. The role of free¬
standing institutes relative to teaching family therapy in
traditional institutions such as academic departments

91
within universities remains to be defined. This researcher
targeted the beginning trainee in marriage and family who
was enrolled in a university-based training experience.
The variables of interest examined were the trainee's (a)
prior training, (b) work experience in both individual
counseling and in marriage and family therapy, (c) initial
knowledge of family therapy, and (d) the learning style of
the trainee.
Prior training and work experience in individual
counseling/therapy and marriage and family therapy. Of
interest in this study was the effect of trainee's previous
training and experience in individual therapy and in
marriage and family therapy on the acquisition of
observational, conceptual, and therapeutic skills of family
therapy. It has been commonly and perhaps intuitively
presumed that prior training in individual psychotherapy
interferes with the cognitive shift to systemic thinking
and the learning of marriage and family therapy in general.
However, Pulleyblank (1985) discussed the need to clarify
what experience prior to family therapy training was
relevant to the success as a family therapist. In
Pulleyblank's study, a self-evaluation component was used
in conjunction with other measures. She found that the
more years experience prior to family therapy training that
the trainees had the lower they rated themselves on
observational, conceptual, and therapeutic skills of family

92
therapy, and particularly on the conceptual scale.
Although the trainees rated themselves lower at the
beginning of training, they did as well if not better than
others at the end of training. This finding departs from
the belief in the field of family therapy (Haley, 1981)
that traditional training is useless if not
counterproductive for family therapy.
In yet another study, Breunlin et al. (1989) reported
that previous experience in individual therapy predicts
changes in family therapy learning and in fact may have a
beneficial effect on family therapy training. Thus further
research is necessary. The question still remains whether
family therapy is a totally new form of therapy or a
treatment that requires skills in addition to traditional
psychotherapy skills (such as the ability to listen and
empathize which allows the family therapist to join with
the family in a way that promotes family change).
As mentioned earlier, a body of research exists in the
family therapy outcome literature that cites family
therapist's experience level, therapy structuring skills,
and relational skills as factors that influence the outcome
of family therapy (Gurman & Kniskern, 1978). Experience
level cannot be taught, but because high levels of
experience have been correlated with positive therapeutic
outcome, the behavior of experienced therapists can be
indirect criterion for training success. Gurman and

93
Kniskern (1988) suggested addressing the guestion of "what
types of previous training best prepares/or inhibits a
trainee for training" (p. 375). This study was designed to
examine both prior training in individual counseling and
marriage and family therapy and prior work experience in
individual counseling and marriage and family therapy. In
this study level of experience was considered independent
of formal training as recommended by Beutler et al. (1986) .
The level of initial knowledge of family therapy has also
been considered independently as suggested by Breunlin et
al. (1989). In addition, theoretical orientation in terms
of individually oriented therapy versus family systems
oriented therapy was distinguished.
Much of the available family therapy research examined
post-degree clinicians in family therapy training institute
contexts (Breunlin et al., 1983, 1989; Hernandez, 1985;
Pulleyblank, 1985; Pulleyblank & Shapiro, 1986; Tucker &
Pinsof, 1984). Only a few researchers examined novice
level trainees in university-based settings (West et al.,
1985; Zaken-Greenberg & Neimeyer, 1985). Clearly the
latter, by definition, have less experience and less formal
training.
Therefore, the approach to teaching the novice level
trainee may differ greatly from the approach used for the
therapist versed in individual psychotherapy. For example,
Tomm and Leahey (1980), in a comparison study of three

94
teaching methods used to teach basic family assessment
methods to first year medical students, concluded that the
lecture-demonstration approach is the method of choice for
teaching family assessment to these beginning medical
students based on cost-effectiveness. Individual therapy
may be a variable that predicts success in the learning of
marriage and family therapy after selection. In addition,
the unigue impact of family therapy training over and above
(or instead of) individual training needs further empirical
support.
Prior training. In this study prior training was
defined in terms of number of formal academic courses and
number of supervision hours accumulated in individual
counseling and in marriage and family therapy. Individual
counseling/psychotherapy refers to individually oriented
theory/therapy. Marriage and family therapy refers to
therapy that focuses on general systems theory and
thinking.
Prior work experience. In this study prior work
experience was defined in terms of number of hours spent in
providing direct client contact or services with cases in
both individual therapy and marriage and family therapy.
Individual counseling refers to individually oriented
therapy; whereas marriage and family therapy refers to
therapy that focuses on the marriage and family unit.

95
Initial knowledge of family therapy. Initial
knowledge of family therapy was defined as the students
knowledge of observational, perceptual, and perceptual
skills as discussed by Breunlin and his associates
(Breunlin et al., 1983, 1989).
Learning style. Learning style was the final variable
chosen for this study. As previously mentioned, there have
been some attempts made to assess the interaction between
personal characteristics of the trainee and the acquisition
of therapy skills. The importance of learning style as a
factor in the education and training process has been
discussed previously. In addition, Gurman and Kniskern
(1988) specifically mentioned convergent/divergent thinking
styles as a potentially important family therapy trainee
variable.
It is logical to assume that learning style is an
important factor and one would assume influential in the
learning of marriage and family therapy skills. This study
examined the "interaction" of the trainees' learning style
on the acquisition of family therapy skills (observational,
conceptual, and therapeutic).
West et al. (1985) reported the evaluation of a
training experience in which a technique using simulated
families in the training of 10 novice level therapists was
used. The Family Therapy Assessment Exercise was used to
measure observational, conceptual, and therapeutic skills

96
in a time series design with testings at three intervals.
Within this study the training experience significantly
increased students1 total scores from the base measurement
(testing 1) to the second testing and from the base
measurement to the final testing time or end of the course.
Further analysis revealed that
observational and conceptual subtests scores
combined to produce the significant differences
from time 1 to time 3 and conceptual skills
significantly increased from time 2 to time 3.
The interesting aspect of these results was the
order of change. Apparently a significant gain
was made in conceptual skills before the gain in
observational skills. (West et al., 1985, p.56)
The authors noted that this finding may have implications
for the training of family therapists, and perhaps suggests
that the novice level therapist requires a conceptual
framework or cognitive map before being able to pay
attention to small units of family interaction. It would
seem that meaning must be attached to small units of
behavior before the behavioral sequences can be integrated
within a larger theoretical understanding of the family.
The idea of sequence in the learning of observational,
conceptual, and therapeutic skills in the training of
family therapists is interesting. Clearly the
developmental stage (Hart, 1982) of the trainee impacts
needs and expectations of training and changes over time.
Novice level trainees may require different sequencing of
training than post-degree clinicians studying family
therapy. Learning style of the trainee could also be a

97
factor in designing training and, specifically, the
sequencing of particular skills. For example, a trainee
who exhibits an abstract versus concrete approach to
learning may have more ease in learning conceptual skills.
Whereas a trainee who exhibits an active approach to
learning versus a reflective approach may have more ease in
acquiring therapeutic skills (i.e., joining, unbalancing).
Determining the trainee's learning style could also be
helpful in designing training experiences that meet the
needs of differing types of learners. The idea of creating
training experiences that are unique to the individual and
their stage of professional development is not new to the
general body of supervision and training literature (Hart,
1982; Stoltenberg, 1981). Various educators advocate
designing training experiences that are unique to the
individual needs and goals of the trainee. Assessing the
learning style of the trainee could help the trainer
determine strengths and weaknesses and subsequently design
learning experiences accordingly (to remediate weak areas
or build on strengths).
At this time there are no reported studies in the
marriage and family training literature that address
learning style of the trainee. However, the concept of
individual learning style and motivation patterns has been
established. For example, Lawrence (1979) used the Myers-
Briggs Typology which is based on Jung's psychological

98
types as a guide and theoretical framework to discuss
instructional strategies. The individual learner's type
and preferred process (e.g., sensing/intuition) was used to
categorize them and suggest implications for instructional
planning, developmental needs of the learner, and teaching
style used.
Another theory of learning found in the learning style
research literature is Kolb's Theory of Experiential
Learning which is based on the works of Dewey (1938), Lewin
(1951), and Piaget (1970). Using this framework several
studies have been conducted concerning learning style and
personality type (Margerison & Lewis, 1979), learning style
and educational specialization (Hudson, 1966), learning
style and professional career (Bennett, 1978; Christensen &
Bugg, 1979; Kolb, 1978; Plovnick, 1974; Sims, 1980),
learning style and job role (Plovnick, 1974, 1975), and
learning style and adaptive competencies (Kolb, 1984). In
these studies, learning styles are conceived of as a
possibility processing structures resulting from
unique individual programming of the basic but
flexible structure of human learning. These
possibility processing structures are best thought
of as adaptive states or orientations that achieve
stability through consistent patters of
transactions with the world. (Kolb, 1984, p. 97)
Thus learning style is not conceived of as a "fixed''
personality trait but as flexible.
The four basic learning styles based on research and
clinical observation by Kolb (1976) and others are

99
convergent, divergent, assimilative, and accommodative
styles.
The convergent learning style is demonstrated by
abstract conceptualization and active experimentation
learning abilities. Problem solving, decision making, and
practical application of ideas are strengths of individuals
reflecting a convergent learning style.
A person with this style seems to do best in
situations like conventional intelligence tests,
where there is a single correct answer or solution
to question or problem (Torrealba, 1972; Kolb,
1976). In this learning style, knowledge is
organized in such a way that through hypothetical-
deductive reasoning, it can be focused on specific
problems. Liam Hudson's (1966) research on those
with this style of learning (using other measures
that the LSI) shows that convergent people are
controlled in their expression of emotion. They
prefer dealing with technical tasks and problems
rather than social and interpersonal issues.
(Kolb, 1984, p. 77)
The divergent learning style emphasizes concrete
experience and reflective observation. Thus, the
individual reflecting a divergent learning style relies on
opposite strengths from an individual with the convergent
learning style. Imaginative ability and awareness of
meaning and values are strengths of the individual
reflecting a divergent learning style.
The primary adaptive ability of divergence is to
view concrete situations from many perspectives
and to organize many relationships into a
meaningful "gestalt." The emphasis in this
orientation is on adaptation by observation rather
than action. This style is called diverger
because a person of type performs better in
situations that call for generation of alternative
ideas and implications, such as a "brainstorming"

100
idea session. Those oriented toward divergence
are interested in people and tend to be
imaginative and feeling-oriented. (Kolb, 1984, p.
78)
In an individual demonstrating an assimilative
learning style, abstract conceptualization and reflective
observation are emphasized. The greatest strength of an
individual reflecting this orientation lies in inductive
reasoning and the ability to create theoretical models.
As in convergence, this orientation is less
focused on people and more concerned with ideas
and abstract concepts. Ideas, however, are judged
less in this orientation by their practical value.
Here, it is more important that the theory be
logically sound and precise. (Kolb, 1984, p. 78)
The individual demonstrating an accommodative learning
style emphasizes concrete experience and active
experimentation. Thus, the individual reflecting this
learning style relies heavily on opposite strengths from
the individual reflecting an assimilative learning style.
Involvement in new experiences and carrying out plans and
tasks are strengths of this individual.
This style is called accommodation because it is
best suited for those situations where one must
adapt oneself to changing immediate circumstances.
In situations where the theory or plans do not fit
the facts, those with an accommodative style will
most likely discard the plan or theory. (With the
opposite learning style, assimilation, one would
be more likely to disregard or reexamine the
facts.) People with an accommodative orientation
tend to solve problems in an intuitive trial-and-
error manner (Grochow, 1973), relying heavily on
other people for information rather than on their
own analytic ability (Stabell, 1973). Those with
accommodative learning styles are at ease with
people but are sometimes seen as impatient and
"pushy." (Kolb, 1984, p. 78)

101
The Kolb Learning Styles Inventory and construct have
been used in various studies concerning counseling and
education. Its application in the area of counseling and
supervision (Abby, Hunt, & Weiser, 1985) and in the
learning process of ethical reasoning in the context of
education for counselors and psychologists (Pelsma &
Borgers, 1986) has been demonstrated. For example, Abby et
al. (1985) proposed that counseling is a complex learning
situation that may be analyzed from the standpoint of an
experiential learning model. Their perspective is based on
the work of David Kolb. It is proposed that the four modes
of experience: Concrete Experience (CE), Reflective
Observation (RO), Abstract Conceptualization (AC), and
Active Experimentation (AE) must be accessible to the
learner (client or student counselor) for optimum
functioning. An analyses of dialogue from a therapy
session and an supervision session demonstrate their point.
Pelsma and Borgers (1986) applied Kolb's theory to
propose a model that explains the learning process of
ethical reasoning. The learning process (Kolb, 1976) and a
developmental scheme of ethical reasoning (Van Hoose, 1980)
were integrated. Implications for ethics training in
educational programs and ethical behavior in professional
practice were discussed. For example, the value of an
experience-based model lies in its focus on the how rather
than the what of learning. Thus process is emphasized

102
versus content which is a basic tenet of many models of
family therapy (e.g., structural/strategic schools of
thought). Although Kolb's construct and instrument have
not been used in terms of marriage and family therapy
training studies to date, its application is apparent. In
the next section a brief overview of the Kolb Experiential
Learning Theory is presented.
Kolb's experiential theory of learning. Learning is
the process whereby knowledge is created through the
transformation of experience (Kolb, 1976). According to
Kolb (1976) learning itself is a four stage cycle. To
adapt successfully to the environment, the learner needs
four different kinds of abilities: concrete experience
(feeling), reflective observation (watching), abstract
conceptualization (thinking), and active experimentation
(doing). Kolb derived this sequential model from the work
of Kurt Lewin (1951) and used it as the basis for his
learning style approach. His model integrates the four
methods of relating to the world into a circular
representation of the learning process. Immediate concrete
experience is the basis for observation and reflection.
Observations are assimilated into a theory from which new
implications for action are deduced. These implications or
hypotheses then serve as guides for creating new
experiences. Each of these processes represents a learning
mode or method of acquiring new information. As a person

103
ages and accumulates more experience, learning modes
stimulate major dimensions of personal growth. The way
learning shapes the course of development can be described
by the level of integrative complexity in the four learning
modes—affective complexity in concrete experience results
in higher-order sentiments, perceptual complexity in
reflective observation results in higher-order
observations, symbolic complexity in abstract
conceptualization results in higher-order concepts, and
behavioral complexity in active experimentation results in
higher-order actions.
The model, similar in many ways to other experiential
learning models (Dewey, 1938; Lewin, 1951; Piaget, 1970),
suggests that learning involves a tension-filled and
conflict-filled process. New knowledge, skills, or
attitudes are achieved through confrontation among the four
modes of experiential learning which are considered polar
opposites (concrete versus abstract, reflection versus
action). The learner, facing a new experience, must
continually choose which set of learning abilities to use
in any specific learning situation. The learner moves in
varying degrees from actor to observer and from active
involvement to general analytic detachment. The resolution
of these conflicts produces learning and adaptation and
results in a higher order functioning and development in
the corresponding growth dimensions.

104
According to Kolb (1984), the development of each
dimension proceeds from a state of "embeddedness,
defensiveness, dependence, and reaction to a state of self
actualization, independence, provocation, and self
direction" (p. 141). This process is marked by increasing
complexity and relativism in dealing with the world and
one's experience, and by higher level integrations of the
dialectic conflicts among the four primary learning modes.
In the early stages of development, progress along one of
these four dimensions can occur with relative independence
from others. The child and the young adult, for example,
can develop highly sophisticated symbolic proficiencies and
remain naive emotionally. At the highest stages of
development, however, the adaptive commitment to learning
and creativity produces a strong need for integration of
the four adaptive models. Development in one mode
precipitates development in others. Increases in symbolic
complexity, for example, refine and sharpen both perceptual
and behavioral possibilities. Thus, complexity and the
integration of dialectic conflicts among the adaptive modes
are all the hallmarks of true creativity and growth.
The human developmental process is divided into three
broad developmental stages of maturization: acquisition,
specialization, and integration. By maturational stages we
refer to the rough chronological ordering of ages at which
developmental achievements become possible in the general

105
conditions of contemporary western culture. Actual
developmental progress will vary depending on the
individual and his or her particular cultural experience.
Even though the stages of the developmental growth process
are depicted in a simple form, the actual process of growth
in any single life history probably proceeds through
successive oscillations from one state to another. Thus a
person may move from stage 2 to stage 3 in several separate
subphases of integrative advances followed by consolidation
or regression into specialization. This multilinear aspect
differs from other learning theorist's unilinear approaches
(e.g., Piaget).
Kolb drew from the intellectual origins of
experiential learning in the works of John Dewey, Kurt
Lewin, and Jean Piaget. The learning model of these
respective theorists has laid the foundation for
experiential learning. Experiential learning offers the
foundation for an approach to education and learning as a
life-long process that is soundly based in the intellectual
traditions in social psychology, philosophy, and cognitive
psychology. Contemporary applications of experiential
learning theory are found in education, organizational
development, management development, and adult development.
Summary
In summary, the need for research on the impact of
particular marriage and family therapy trainee

106
characteristics is evident. This study examined the
influence of personal characteristics of the trainee (i.e.,
previous training and work experience, knowledge of family
therapy, and learning style) on the learning of marriage
and family therapy. Implications for this type of research
are many. Not only does this replicate and extend past
research (Breunlin et al., 1989), but it adds to the body
of much needed family therapy training research.
Additionally, the results of this study may also have
implications for designing and developing training
experiences for varying populations (beginning therapists)
in varying contexts (university-based programs).

CHAPTER III
METHODOLOGY
The purpose of this study was twofold. First, the
levels of family therapy skill acquisition of student
therapists participating in the initial stage of academic
family therapy training were examined. Second, the
influence of four types of trainee characteristics on the
acquisition of these skills was assessed. The four types
of trainee characteristics examined were (a) the extent of
prior professional training in individual therapy and in
family therapy, (b) the extent of prior professional work
experience in individual therapy and in family therapy,
(c) the initial level of family therapy knowledge, and (d)
the type of learning style preferred.
In this chapter the methodology used in the study is
described. The chapter includes a description of the
research design, the population and sample, the sampling
procedures, the instruments used, the data collection
procedures, and the data analysis procedures.
Research Design
A correlational design was used in this study.
Information on four types of trainee variables was used to
predict family therapy skill acquisition by student
107

108
therapists enrolled in graduate-level introductory family
therapy courses. Trainee variables included (a) extent of
previous individual counseling training and family therapy
training, (b) extent of clinical work experience in
individual counseling and family therapy, (c) extent of
prior knowledge of family therapy, and (d) type of
learning style preferred. The criterion variables were
observational, perceptual, and executive family therapy
skills. These skills were measured prior to and following
the completion of the initial training stage.
Trainee Variables
In this study trainee variables are defined as prior
training in individual counseling and family therapy,
prior work experience in individual counseling and family
therapy, prior knowledge of family therapy, and type of
learning style preferred by the trainee.
Previous individual counseling training and family
therapy training refers to the number of graduate level
courses in individual counseling and marriage and family
therapy completed by the trainee and the number of
supervision hours for individual counseling and family
therapy reported by the trainee. Prior training was
assessed from responses to items found in the Therapy
Experience Inventory.
Previous work experience in individual counseling and
family therapy refers to the number of years spent

109
providing individual counseling and family therapy.
Previous work experience was assessed from responses to
items found in the Therapy Experience Inventory.
Prior knowledge of family therapy refers to the
student trainee's initial degree of knowledge of
observational, conceptual, and therapeutic family therapy
skills as measured by the Family Therapy Assessment
Exercise (FTAE) (Breunlin et al., 1983).
Learning style was defined as the extent to which an
individual emphasizes abstractness versus concreteness and
action verses reflection in responding to the world. The
Learning Styles Inventory (LSI) (Kolb, 1976, 1981, 1984),
a nine-item self-description questionnaire that measures
an individual's relative emphasis on four learning
modalities (i.e., Concrete Experience (CE) or feeling,
Reflective Observation (RO) or watching, Abstract
Conceptualization (AC) or thinking, Active Experimentation
(AE) or doing) was used to measure preferred learning
style in this study.
Criterion Variables
For this study the criterion variables were the
observational, perceptual, and therapeutic family therapy
skills originally proposed by Cleghorn and Levin (1973)
and later defined by Breunlin and colleagues (1983). The
Family Therapy Assessment Scale (FTAE) (Breunlin et al.,
1983) was used to assess these skills.

110
Observational family therapy skills refer to those
skills required to perceive and describe behavioral
interactions within a family session (Breunlin et al.,
1983) .
Conceptual family therapy skills refer to those
skills that relate to the therapist's ability to
understand a theoretical model that enable a therapist to
classify distinctions according to that model (Breunlin et
al., 1983).
Therapeutic family therapy skills refer to the
therapist's ability to act in family sessions in ways that
are consistent with goals of the training program
(Breunlin et al., 1983).
Population
The population of interest consisted of graduate
students enrolled in graduate-level introductory courses
in structural/strategic family therapy as part of their
academic training in marriage and family therapy. The
criteria for inclusion of a program in the study were that
(a) the course from which students were drawn was
considered the entry phase of structural/strategic
marriage and family therapy training in the graduate
program, (b) the course focused on theoretical concepts
drawn predominantly from structural/strategic family
therapy, (c) the instructional focus was on learning how
to assess for treatment planning, and (d) therapists

Ill
skills in structural/strategic family therapy assessment
and interviewing were illustrated and simulated during the
course. The population from which the sample for this
study was drawn consisted of students enrolled in graduate
degree programs located mainly in the northeastern and
southeastern quadrants of the United States that were
accredited or eligible for accreditation by the Commission
on Accreditation for Marriage and Family Therapy
Education. Of the 31 schools accredited by the Commission
on Accreditation for Marriage and Family Therapy Education
(as of February, 1990), 23 offered a master's degree and 8
offered a doctoral degree. Fourteen schools were
contacted. Of those schools, 7 met the criteria for
inclusion in the study sample and were invited to
participate. In addition, 4 schools in the state of
Florida that offered training in marriage and family
therapy and met the accreditation requirements specified
by the American Association of Marriage and Family Therapy
accreditation were invited to participate. Three of those
schools emphasized a structural/strategic approach in the
initial phase of training and met the requirements for the
study.
Sampling Procedures
The names of potential participating programs were
obtained through the American Association for Marriage and
Family Therapy (AAMFT) accredited programs located mainly

112
in the northeastern and southeastern regions of the United
States, as well as eligible university programs in the
state of Florida. General information regarding the
nature of the training program, specific course focus and
content, and potential willingness to participate in the
study were obtained from the program chairperson by
telephone interview. Those university programs offering
an introductory family therapy course that appeared to
meet the criteria previously specified were then contacted
by phone and informed as to the nature of the study.
Those instructors expressing an interest in participating
in the study were sent a letter explaining the nature of
the study (Appendix A), a questionnaire assessing the
specific nature of their initial course content (Appendix
B), as well as a request for the course syllabus. This
questionnaire requested information on the required course
goals and objectives, instructional activities, methods,
and readings to determine whether the course experiences
met the training criteria specified (see Appendix B).
Specific instructional contents, readings, and methods
were also verified (i.e., the emphasis on systems oriented
patterns of conceptualization, assessment and therapy
practice; a review of systemic and family developmental
concepts; the description of assessment interview skills
and student participation in role playing of an initial
assessment interviews) by examining the course syllabus.

113
This procedure resulted in seven training programs being
selected that met the general requirements for
participation in the study. These programs were located
at Purdue University, St. Thomas University, Southern
Connecticut State University, Stetson University, Syracuse
University, the University of Florida, and the University
of Georgia. Students enrolled in these seven different
course experiences were invited by their instructors to
participate in the study by means of the following
announcement (Appendix A):
We are interested in studying the training
of family therapists and we need your help.
Specifically we would like to examine
performance of trainees at the beginning and end
of this course to assess their ability to look
at interactional patterns and ways of working
with families. Participation in the project
requires you to view a videotape of a simulated
family therapy interview. The tape will be
stopped intermittently so that multiple choice
questions concerning each segment of the
interview can be answered. In addition, you
will be asked to complete two brief
questionnaires regarding your personal learning
style and your training and work experience in
the field of counseling/psychology and marriage
and family therapy.
Participation in this project is voluntary.
The data collected for the project are not part
of the class requirement, will in no way affect
your participation in the class, and will not be
viewed by the instructor to determine your
grade. Participation in the project will be
scheduled during class time at the beginning and
end of the semester. The project will address
several questions regarding effective training
of marriage and family therapists. We are aware
that it would be of some benefit to you as a
participant, therefore, we are willing to give
you personal feedback concerning your
participation at the end of the project.

114
All information will be kept strictly
confidential. Please feel free to ask any questions
that you may have concerning the project.
Sample
The resulting sample consisted of a total of 99
students drawn from them five different training programs.
One of the seven original schools was ommitted from the
sample due to incomplete data sets. As can be seen in
Table 1, 56% (56) of the sample were drawn from students
in School 1, 4% (4) from School 2, 21% (21) from School 3,
9% (9) from School 4, and 9% (9) from School 5.
In this sample subjects ranged in age from 22 to 60
years of age. Approximately 48% (47) were between the
ages of 22 to 30; 31% (31) were between the ages of 31 to
40; 14% (14) were between the ages of 41 to 50; 5% (5)
were between the ages of 51 to 60, and 2% (2) did not list
their age. In terms of ethnicity, 90.5% (86) of the
students identified themselves as Caucasian, 3.2% (3) were
Black, 3.2% (3) were Hispanic, 3.2% (3) were Asian, and 4%
(4) did not respond to this question. Of the students,
74% (73) were female and 26% (26) were male.
As to marital status, 44% (44) of the students were
never married; 35% (35) were married for the first time;
9% (9) were divorced; 6% (6) were remarried; 1% (1) was
separated; and 4% (4) listed other (cohabitating). Of the
sample, 31% (31) had children, with 69% (68) reporting no
children.

115
Table 1
Frequency Distributions of Descriptive Variables for the
Samóle: Demographics (N=99)
Number
Percent
Program
School 1
56
56.6
School 2
4
4.0
School 3
21
21.2
School 4
9
9.1
School 5
9
9.1
99
100.0
Age
22-30
47
48.5
31-40
31
31.9
41-50
14
14.4
51-60
5
5.2
Not Given
2
100
100.0
Gender
Male
26
26.3
Female
73
73.7
99
100.0
Ethnicity
Caucasian
86
90.5
Black
8
3.2
Hispanic
3
3.2
Asian
3
3.2
No Response
4
99
100.0
Marital Status
Never Married
44
44.4
First Marriage
35
35.4
Divorced
9
9.1
Separated
1
1.0
Remarried
6
6.1
Other (Cohabitating)
4
4.0
99
100.0
Children
Children
31
31.3
No Children
68
68.7
99
100.0

116
In terms of educational background, information was
collected on previous educational experiences and
degrees earned. All participating students had earned a
bachelor's degree, with 30% (30) earning a master's
degree; and 7% (7) listed other degree (i.e., Ed.S.,
Psy.D., Ph.D., other).
Concerning field of study for highest degree earned,
38% (38) earned a general psychology degree, 2% (2) listed
counselor education, 3% (3) listed school psychology, 1%
(1) listed rehabilitation counseling, and 50% (50) listed
other field. With regard to current degree seeking status
87% (87) were seeking a degree at the present time, with
13% (13) in the matriculation process. Of the 87%
actively seeking a degree, 50% (49) were in counselor
education, 23% (23) listed marriage and family therapy, 2%
(2) listed psychology, and 12% (12) listed other. Of the
sample, 41% (40) were in their first year of study, 35%
(35) in the second year, 9% (9) in the third year, 2% (2)
in the fourth year, and 13% (13) in the process of
matriculation.

117
Table 2
Frequency Distribution of Descriptive Variables of the
Sample: Educational Background (N=99)
Number
Percent
Hiahest Dearee Earned
Bachelor's
62
62.7
Master's
30
30.3
Ed. S.
3
3.0
Psy.D.
2
2.0
Ph.D.
1
1.0
Other
1
1.0
99
100.0
Field of Study for Highest
Degree Earned
General Psych
38
38.5
Counselor Education
2
2.0
School Psych
3
3.0
Counseling Psych
2
2.0
3
3.0
Rehabilitation Counseling
1
1.0
Other fields
50
50.5
99
100.0
Degree Seeking
Currently seeking a degree
85
85.9
In process of matriculation
14
14.1
99
100.0
Degree Currently Seeking
Counselor Education
49
49.5
Marriage and Family Therapy
23
23.3
Psychology
2
2.0
Other Degree Program
(e.g., Family Studies)
12
12.1
In process of applying to
degree program
13
13.1
99
100.0
Year in Program
1st year
40
40.4
2nd year
35
35.4
3rd year
9
9.1
4th year
2
2.0
Matriculating/application process
13
13.1
99
100.0

118
Instrumentation
Three instruments were used in the study. One was
investigator developed and was titled the Therapy
Experience Inventory. The other two instruments, the
Family Therapy Assessment Exercise and the Kolb
Learning Styles Inventory, had been developed and used in
other studies.
The Therapy Experience Inventory
Each subject was required to complete the Therapy
Experience Inventory. This was developed by the researcher
to obtain demographic information such as age, sex, and
educational level and the extent of training and work
experience in individual counseling/psychotherapy and in
marriage and family therapy accrued by each student.
Prior training. Prior training consisted of two
different aspects: (a) the amount of hours of coursework
and (b) the amount of supervision hours. The amount of
hours of coursework in individual counseling/psychotherapy
was determined by assessing the number of academic courses
completed by the subject in which the major focus was on
individual counseling and psychotherapy. A course was
defined as 3 credit hours or its equivalent of 48 contact
hours. The amount of supervision was computed by
determining the number of supervision hours received in
individual counseling and psychotherapy. The two scores
were derived for each subject. Training in the area of

119
marriage and family therapy was assessed by following the
same procedure. Consequently, a total of two scores were
calculated for each subject in both areas (i.e., individual
counseling and family therapy).
Information was also collected to determine if
students were involved in any other training experiences in
marriage and family therapy during the time of the
specified training experience. The number of courses and
supervision hours obtained in marriage and family therapy
was calculated for each subject at the posttest.
Prior work experience. Prior work experience in both
(a) individual counseling and psychotherapy and (b)
marriage and family therapy comprised this component. Work
experience in individual counseling and psychotherapy
consisted of the number of years (in quarter year
increments) of direct experience in the practice of
individually oriented therapy. Work experience in marriage
and family therapy was assessed by the same procedure.
The Family Therapy Assessment Exercise
The Family Therapy Assessment Exercise was used to
assess the level of trainee skills at pretesting and
posttesting. Three skill areas were examined:
observational, conceptual, and therapeutic. The Family
Therapy Assessment Exercise was developed by Breunlin,
Schwartz, Krause, and Selley (1983) for the purpose of
assessing the level of observational, conceptual, and

120
therapeutic skills of trainees involved in structural/
strategic family therapy training program. The instrument
consists of a videotape of a family therapy session and a
series of multiple choice questions about the videotape.
This instrument was designed to assess the acquisition
of skills within the structural/strategic model of family
therapy. This model is a systemic integration of the
structural family therapy of Minuchin and his colleagues
(Minuchin, 1974; Minuchin & Fishman, 1981; Minuchin,
Rosman, & Baker, 1978); the problem solving and strategic
therapy of Haley and Madanes (Haley, 1976, 1980; Madanes,
1981); and the brief therapy of the MRI group (Watzlawick,
Weakland, & Fisch, 1974); and the Ackerman Brief Therapy
Project (Hoffman, 1981; Papp, 1980).
The knowledge subsumed under this model has been
classified and operationalized in terms of three sets of
interrelated skills; observational, conceptual, and
therapeutic (Cleghorn & Levin, 1973; Tomm & Wright, 1979;
Falicov, Constantine, & Breunlin, 1981). Observational
skills were those required to perceive and describe
behavioral interactions within a session. Conceptual
skills were those inherent in a theoretical understanding
of a model that, in this case, refers to the structural/
strategic model. Therapeutic skills were those necessary
to execute interventions skillfully within the session
according to the structural/strategic model. The FTAE

121
measured the therapist's ability to apply these three sets
of skills to the clinical situation depicted in a videotape
of a family therapy session.
Observational skills were measured by how perceptive
the respondent was to behavioral data and sequences.
Conceptual skills were measured by whether the respondent
chose distinctions regarding observational data that
correspond to structural/strategic principles. Because the
respondent was observing a videotape of another person
doing therapy, it was more difficult to assess the
respondent's actual therapeutic skills. Some questions ask
respondents to identify and evaluate the therapist's
behavior on the videotape, others ask them to select a
response that is closest to what they might do next if they
were the therapist on the tape.
The videotape demonstrated a simulated family therapy
interview. The therapist was presented as a doctor who has
seen the family before and has been called in about the
child's bedwetting problem. The family consisted of a
mother, father, 10-year-old son, and 9-year-old daughter.
As the tape begins, the children are playing with toys.
When the doctor enters the room the mother attempts to get
the children to put the toys away. They do not listen to
her. The father intervenes by yelling at the children, and
they put the toys away. The interview continues for
approximately one hour. The tape was stopped

122
intermittently so that 34 multiple-choice questions
concerning each segment of the interview can be answered.
The instrument was designed to measure the extent to
which trainees acquired the three sets of skills:
observational, conceptual, and therapeutic. Instructions
for the exercise were self-explanatory. Subjects were
asked to read instructions and encouraged to ask questions
for clarification before the tape segment was presented.
An overall score and three subtest scores for
observational, conceptual, and therapeutic skills were
computed for each trainee. Both total score and the
subtest scores were used for the analyses in this study.
To date, five versions of the test have been written
(and are in the process of being evaluated). The original
instrument consisted of a videotape of an enacted family's
first session and a series of multiple choice questions
regarding the subject's perceptions, conceptualizations,
and therapeutic recommendations about the tape. The
subjects participating in the validation of this first form
were 22 psychiatric residents who were given one month of
family therapy training, and a control group that consisted
of 11 pediatric residents who were not given family therapy
training or any formal training in psychotherapy. A
pretest-posttest assessment revealed a significant increase
in conceptualizations skills for only family therapy
trainees. There were no significant changes in either

123
observational (perceptual) or technical (executive) skills
for either group. Breunlin et al. (1983) suggested that
the instrument may not have been sensitive enough to detect
a change in skill level.
The FTAE has since been revised. The fifth refinement
is currently being used in research studies. The current
version is a procedure in which subjects watch a simulated
family therapy interview on videotape and answer the
questions of a 32-item multiple-choice format test.
Although Breunlin et al. (1983) reported some
difficulty with the discriminant validity of the
observational scale, there is accumulating evidence that
both the conceptual and therapeutic scales of the current
version of the Family Therapy Assessment Exercise (FTAE)
discriminate well, as does the total score (Hernandez,
1985; Pulleyblank & Shapiro, 1986; West, Hosie, & Zarski,
1985). For example, Hernandez (1985) assessed the
discriminant validity of the FTAE using a sample of 75
persons who were either novice, mid-range, or experienced
family therapists. Subjects were drawn from seven family
therapy training programs in Illinois and Indiana and
ranged from first year graduate students to AAMFT approved
supervisors. Three- and six-week test-retest reliabilities
for the FTAE overall score were .76 and .62, respectively.
Hernandez (1985) reported that the total score, conceptual

124
score, and the therapeutic (executive) score discriminated
well between novice and experienced therapists.
In another study, Pulleyblank and Shapiro (1986) used
the FTAE to evaluate a structural family therapy training
program and found that all the scores of the FTAE
differentiated between trainees in a structural family
therapy training program and a comparison group. However,
generalizability of the study was limited due to the small
sample size of nine.
West et al. (1985) examined 10 students enrolled in a
graduate level course in family therapy who practiced
interviewing simulated families over a period of 4\ months
(one semester). Students were novice-level family
therapists. Skill development was assessed at three equal
interval times during the semester. The FTAE was used to
measure skill development. A repeated measures analyses
indicated there were significant differences between
testing times on the total score. Significant differences
were found from time 1 to time 3 with combined scores for
observational and conceptual subtests. Conceptual skills
increased significantly from time 1 to time 2, and
observational skills significantly increased from time 2 to
time 3.
No significant differences were found for the
therapeutic subtest. This may be due to two factors: the
test instrument and the method of training that emphasized

125
observational and conceptual skills. However, the study
does lend support to the validity of the FTAE and suggests
the use of simulation for skill development of
observational and conceptual skills.
Kolb Learning Style Inventory
The Kolb Learning Style Inventory (LSI) was used to
assess the learning style of the trainee. Four styles were
assessed by this instrument. The Kolb Learning Style
Inventory is a nine-item self-description questionnaire.
In each item the respondent is asked to rank order four
words that best describes his or her learning style. One
word in each item corresponds to one of four learning modes
described by Kolb (1976). These are Concrete Experience
(CE) mode (sample word-feeling), the Reflective Observation
(RO) mode (e.g., watching), the Abstract Conceptualization
(AC) mode (e.g., thinking), and the Active Experimentation
(AE) mode (e.g., doing). The LSI was designed to measure a
person's report of the relative emphasis they give to using
each of the four modes of learning depicted. Thus each
person's learning style is a combination of the four basic
learning modes yet is a single data point that combines
scores on the four basic modes to describe an individual's
learning style. Computation of this learning score was
accomplished by computing two combination scores that
indicate the extent to which the person emphasized
abstractions over concreteness (AC-CE) and the extent to

126
which the person emphasized action over reflection (AE-RO).
These two combination scores, AC-CE and AE-RO, were then
plotted with their point of interception falling into one
of four dominant learning style guadrants: Accommodator,
Diverger, Converger, or Assimilator. In the study the two
combination scores were used for the analyses, thus two
continuous variables were examined. The interaction of the
two combination scores (AC-CE) and (AE-RO) were also
examined.
Norms for scores on the LSI were developed from
samples of 1,933 men and women ranging in age from 18 to 60
and representing a wide variety of occupations. These
norms, along with reliability and validity for the LSI,
were reported in detail by Kolb (1976, 1981). Kolb (1981)
emphasized that this was not a measure of a stable
psychological trait but a construct that was theoretically
conceived of as a situational variable. Test-retest
coefficients were highest when the test-retest time period
was short and the experience in test-retest was highly
similar to the previous experience (i.e, when there is no
great change in situational circumstances). Split-half
reliability coefficients for the two combination scores of
AC-CE and AE-RO were .70 under the previously stated
circumstances, however average .50 under a wide variety of
circumstances (time period and situational circumstances).

127
Split-half reliabilities for the LSI combination scores of
AC-CE and AE-RO were .80 (Kolb, 1987).
Data Collection
Data were collected on trainees enrolled in graduate
level family therapy courses from Purdue University,
Southern Connecticut State University, St. Thomas
University, Syracuse University, the University of Florida,
and the University of Georgia, over several semesters in
order to allow for an adequate number of volunteers because
classes were typically small. Each subject was told that
he or she was participating in a family therapy training
study that would take approximately 2 hours of pretesting
and 1 hour of posttesting. Those subjects who agreed to
participate were scheduled for testing administered by the
instructor.
Pretesting
Pretesting was scheduled within the first two weeks of
the family therapy seminar. Subjects met with their
instructor and received the following instructions. The
first task required of the subjects was to read and sign
the informed consent (Appendix C), followed by the Therapy
Experience Inventory (i.e., demographic questions, prior
level of training, work experience, supervision, etc.)
(Appendix D). Next, subjects completed the Kolb Learning
Styles Inventory. Instructions for completing the
inventory were printed on the inventory itself, thus

128
subjects were asked to read the instructions and complete
the inventory (Appendix E). Upon completion of this,
subjects were administered the Family Therapy Assessment
Exercise (FTAE). All subjects were given the instructions
as per the FTAE instrument (Appendix F). Basically,
subjects were shown a videotaped interview of a family
therapy session and instructed to answer questions about
this interview using the FTAE questionnaire.
Posttesting
The Therapy Experience Inventory and the Family
Therapy Assessment Exercise (FTAE) were administered a
second time to all subjects (See Appendices C and E). The
instructor scheduled and administered post-testing during
the last week of the 16 week semester. A stamped,
addressed return-envelope was provided for each instructor
who was asked to mail to the researcher all instruments
after the posttesting was completed.
Hypotheses
The following hypotheses were tested in this study:
1. There is a significant difference from pretesting
to posttesting in the levels of family therapy skills, as
measured by the Family Therapy Assessment Exercise, of
students participating in the initial phase of family
therapy training.
2. The greater the amount of initial knowledge of
family therapy skills, as indexed by the Family Therapy

129
Assessment Exercise pretest, the less the amount of change
in family therapy skill levels from pretesting to
posttesting among participating students.
3. The greater the amount of prior training in
individual therapy, as indexed by the Family Therapist
Experience Inventory, the less the amount of change from
pretesting to posttesting in family therapy skills among
participating students.
4. The greater the amount of prior work experience
conducting individual therapy, as indexed by the Family
Therapist Experience Inventory, the less the amount of
change in family therapy skills among participating
students as measured by the Family Therapy Assessment
Exercise.
5. The greater the amount of prior training in family
therapy, as indexed by the Family Therapist Experience
Inventory, the less the amount of change from pretesting to
posttesting in family therapy skill levels.
6. The greater the amount of prior work experience in
family therapy, as indexed by the Family Therapist
Experience Inventory, the less the amount of change from
pretesting to posttesting in family therapy skill levels of
participating students.
7. The more divergent the thinking style of the
student as measured by the Kolb Learning Inventory, the

130
greater the amount of change from pretesting to posttesting
in student's family therapy skill levels.
Data Analysis
To test these hypotheses, the data were coded and
analyzed by computer using SPSSX. Participant data records
were discarded only if entire responses sets were absent
for particular instruments. Preliminary analysis of the
data was conducted to ascertain whether there were
differences by training program in the nature of student
skill acquisition. Analyses of covariance of participant
total FTAE skill scores from pretesting to posttesting by
school were conducted for this purpose. By dependent
sample T-tests were then conducted on pretest and posttest
scores for the group as a whole to test Hypothesis one.
Multiple regression analyses were conducted to test
Hypothesis two through seven. These specific data analytic
procedures and results are described in Chapter IV.

CHAPTER IV
RESULTS
This study was designed to examine the levels of
family therapy skill acquisition of student therapists
participating in the initial phase of academic family
therapy training. A second purpose of the study was to
examine the influence of four specific trainee
characteristics on the acquisition of family therapy skills
by these participants. The sample consisted of 99 family
therapy students enrolled in introductory
structural/strategic family therapy courses at one of five
different universities. In this chapter, the results of
the study are presented as they pertain to each of the
research questions and hypotheses posed.
Preliminary Analysis
An analysis of covariance (ANCOVA) was performed to
assess whether the subjects from each of the participating
training programs differed significantly in their skill
acquisition from pretesting to posttesting. The purpose of
the analyses of covariance (ANCOVA) was to establish
equivalency among programs and programs effects. In this
way the program component could be considered as one
construct. An ANCOVA was used to analyze the Family
131

132
Therapy Assessment Exercise (FTAE) pretest and posttest
scores of students from each of the six participating
schools (see Table 3). Results of this analysis revealed a
significant difference by school (F = 3.60, p = .0049).
Dunn's test of the adjusted posttest means revealed that
one school differed significantly from the other five.
This school was deleted from the final sample and a second
ANCOVA was conducted on student scores for the remaining
five schools as can be seen in Table 4. Results from this
second analysis revealed no significant differences among
schools (F = 2.27, p < .0678).
Table 3
Analysis of Covariance of Student FTAE Scores bv School for
Six Participating Schools
Source
SS
df
MS
F
P
PRE
891.66
1
891.66
75.26
.0001
School
212.97
5
42.59
3.60
.0049
Error
1220.28
103
11.84
Total
2324.92
109
Descriptive Statistics
In the first research question, how beginning family
therapy students could be described in terms of (a) their
age, (b) extent of previous training (i.e., coursework and

133
clinical supervision), (c) extent of work experience, (d)
extent of prior family therapy knowledge, and (e) type of
learning style preferred was addressed. Means and standard
deviations were computed for these variables and are
presented in Table 5. In addition, frequency distributions
were computed for each of the variables with the exception
of the variable, extent of prior family therapy knowledge.
Table 4
Five Particioatincf
Schools
Source
SS
df
MS
F
P
PRE
800.77
1
800.77
65.43
.0001
School
110.99
4
27.75
2.27
. 0678
Error
1138.24
93
12.24
Total
2050.00
As
can be noted, the
students reported .
an average age
of 32.9
(SD = 8.89)
with
a possible range of
22-60 years.
Forty-eight percent
(47)
were between
the ages of 22 to 30;
31% were between the ages
of 31 to 40
; 14% (14) were
between
the age of
41 to
50; 5% were
between
the ages of 51
to 60, and 2% (2) did not list their age (Table 6).
In terms of prior training in individual counseling
and marriage and family therapy both number of courses and
supervision hours were assessed to determine the extent of

134
prior training in each area. The average number of courses
in individually oriented counseling/ psychotherapy for each
trainee was 7.69 (SD = 9.62) with a range of 0-73 courses
(Table 7).
Table 5
Means and Standard Deviations of Trainee Characteristics
(N=99)
Variable
Mean
SD
Age
32.9
8.89
Courses (Individual Counseling)
7.69
9.62
MF Courses
.74
1.08
Supervision Hours (Individual)
30.32
103.49
Supervision Hours (MFT)
5.33
23.46
Individual Years Experience
152.77
233.53
MF Years Experience
27.52
93.30
ACCE
-.49
6.98
AERO
1.56
6.31
LSIINT
4.72
46.78
Extent of Prior Knowledge of
Family Therapy
12.9
3.90
Approximately 50% (50) of the sample had taken 0-5
courses, 23% (23) had taken 6 to 10 courses; 15% (15) had
taken 11 to 15 courses; 5% (5) had taken 6 to 20 courses,

135
and 6% (6) had taken 21 to 73 courses (Table 7). Seventy-
three percent of the sample had completed 10 or fewer
classes in individual counseling/psychotherapy. The number
of family therapy courses completed averaged .74 (SD =
1.08) with a 0-6 range. Fifty-four percent (54) of
the sample had received no coursework in marriage and
family therapy; 28% (28) had completed one course, 9.1% (1)
had completed 2 courses; 6.1% (6) completed 3 courses, 1%
(1) had completed 4 courses; and 1% (1) had completed 6
courses (Table 7). Thus 94% (94) of the sample had
completed 2 courses in family therapy or less.
Table 6
Frequency Distribution for Trainee Age (N=99)
Age
Number
Percent
22 -
30
47
48.5
31 -
40
31
31.9
41 -
50
14
14.4
51 -
60
5
5.2
Not
Given
2
—
99
100
In terms of the number of hours of clinical
supervision in individual counseling/ psychotherapy this
sample of students averaged 30.32 (SD = 103.49) with a

136
Table 7
Frequency Distribution for Amount of Prior Training for
Individual Counseling and Marriage and Family Therapy
(N=99)
Number Percent
Number of Individual Counseling Courses
0-5
50
50.4
6-10
23
23.3
11 - 15
15
15.2
16 - 20
5
5.0
21 - 73
6
6.1
99
100.0
Number of Marriage Family Theraov
Courses
0
54
54.5
1
28
28.3
2
9
9.1
3
6
6.1
4
1
1.0
6
1
1.0
99
100.0
Supervision Hours for Individual Counseling
0
54
54.6
1-25
28
28.3
26 - 50
7
7.1
51 - 100
3
3.0
101 - 150
2
2.0
151 - 200
2
2.0
201 - 300
2
2.0
301 - 899
1
1.0
99
100.0
Supervision Hours for Marriage & Family Therapy
0
83
83.9
1-25
12
12.1
26 - 50
1
1.0
51 - 100
1
1.0
101 - 150
2
99
2.0
100.0

137
range of O - 899 (Table 5). Approximately 54% (54) of the
trainees received no supervision in individual counseling;
28.3% (28) received 1-25 hours; 7.1 % (7) received 26-50
hours; 3% (3) received 51-100 hours; 2% (2) received 101-
150 hours; 2% (2) received 151-200 hours; 2% (2) received
200-300 hours; and 1% (1) received 301-899 hours (Table 7).
More than half of the trainees had received no supervision
in individual counseling/psychotherapy. An additional 25%
received less than 15 hours. For marriage and family
therapy supervision hours the average number of hours for
the group was 5.33 (SD = 23.46) with a range of 0-150
(Table 5). Of this group, 83.9% (83) had received no
supervision in marriage and family therapy; 12.1% (12)
received between 1 and 25 hours of supervision; 1% (1)
received 26 to 50 hours; 1% (1) received between 51 to 100
hours; and 2% (2) perceived 101 to 150 hours (Table 5).
Ninety-one percent of the group received less than 5 hours
of supervision.
The amount of trainee work experience was also
examined. This was coded in yearly quarters (i.e., .25 = \
year). The average amount of individual counseling/
psychotherapy work experience for the group was 1^ years
(152.77; SD = 233.53) with a range of 0-12 years (0-1200)
(Table 3). Approximately one-third (32.4%) had no work
experience; 13.1% (13) had obtained \ of a year of
experience, 9.1% (9) obtained \ to \ of a year; 3% (3)

138
obtained \ to \ of a year; 10.1% (10) obtained ^ to 1 year;
10.1% (10) received 1 to 2 years; 8.1% (8) obtained 2 to 3
years; 7.1% (7) obtained 3 to 5 years; 5% (5) obtained 5 to
8 years; and 2% (2) received 8 to 12 years (Table 6).
Thus, 67% of the sample had less than one year of work
experience in individual counseling, with an additional 10%
having 2 years or less experience. In terms of marriage
and family therapy work experience, the sample as a whole
averaged approximately \ year (27.52; SD = 93.30) with a
range of 0-8 years (0-800) (Table 5). However, 75.7% had
no work experience in marriage and family therapy; 8.1% (8)
obtained \ year; 5.1% (5) obtained \ to \ of a year; 1% (1)
obtained \ to \ of a year; 5.1% (5) obtained ^ to 1 year;
2% (2) obtained 1 to 2 years; 2% (2) obtained 2 to 3 years;
and 1% (1) obtained 3 to 8 years (Table 8). Thus, 75% of
the group had obtained no work experience in marriage and
family therapy while an additional 13% had less than \ year
of work experience.
The extent of prior knowledge of family therapy (PFK)
was assessed by calculating the pretest total score on the
Family Therapy Assessment Exercise (FTAE) for each
participant. The students demonstrated an average pretest
score of 12.9 (SD = 3.9) on a possible scale range of 32
(Table 5).

139
Table 8
Frequency Distribution for Amount of Prior Work Experience
in Individual Counseling and Marriage and Family Therapy
(N=99)
Number Percent
Work Experience in Individual Counseling
0 32 32.4
0 - ^ year 13 13.1
h ~ k year 9 9.1
k - h year 3 3.0
\ - 1 year 10 10.1
1-2 years 10 10.1
2-3 years 8 8.1
3-5 years 7 7.1
5-8 years 5 5.0
8-12 years 2 2 ♦ 0
99 100
Work Experience in Marriage & Family
Therapy
0 75 75.7
0 - ^ year 8 8.1
k - k year 5 5.1
k - h year 1 1.0
\ - 1 year 5 5.1
1-2 years 2 2.0
2-3 years 2 2.0
3-8 years 1 1.0
99 100
*Work Experience is assessed in \ year
increments
Of great interest were the various learning styles
preferred by the participants. The learning style measure
yielded four possible styles. Frequencies were computed for

140
each learning style. These are presented in Table 9. As
can be noted four learning styles were possible from the two
style dimensions assessed. The participants reported the
following preferences: 51.6% (51) characterized themselves
as divergers, 13.1% (13) as convergers, 17.1% (17) as
accommodators, and 20.2% (20) as assimilators.
Means and standard deviations for trainee age,
coursework, supervision hours, work experience, prior
knowledge of family therapy, and learning style variables
were also computed for each of the five participating
universities (See Appendix G).
Table 9
Frequency Distribution for Preferred Learning Style
of the Trainee (N=99)
Learning Style Category
Number
Percent
Diverger
51
51.6
Converger
13
13.1
Accommodator
17
17.1
Assimilator
20
20.2
99
100.0
Hypotheses
In the first hypothesis, significant differences from
pretesting to posttesting in levels of family therapy skills

141
of students participating in the initial phase of family
therapy training were predicted. A series of t-tests were
calculated to test the levels of significance of the change
scores on the Family Therapy Assessment Exercise (FTAE)
overall score and three subscales. As can be seen in Table
10, significant differences between pretests and posttests
were noted for the FTAE total skill score (t = 9.15, p <
.001), the descriptive skill score (t = 2.05, p < .05), the
conceptual skill score (t = 4.67, p < .0001), and the
therapeutic skill scores (t = 7.55, p < .0001). Based on
these results, Hypothesis 1 is accepted.
Table 10
Results of t-tests for the FTAE Overall (Total) Score
and Descriptive. Conceptual, and Therapeutic Subscales
FTAE
Pretest
Mean
Posttest
Mean
t
P
Total Score
12.9
16.3
9.15
.0001
Descriptive
3.1
3.4
2.05
.04
Conceptual
4.9
6.1
4.67
.0001
Therapeutic
4.9
6.8
7.55
.0001
To test hypotheses two through seven which examined
the relationship between each trainee characteristic and the
acquisition of family therapy skills a series of regression
analyses were performed. Prior to conducting these

142
analyses, a series of correlations were computed to
determine the degree of intercorrelations among the
variables.
Intercorrelations
Intercorrelations among the trainee variables of work
experience, coursework, supervision hours, and continuing
education credits (CEU's) in marriage and family therapy
were computed (Table 11). Work experience in marriage and
family therapy was significantly correlated with
individual work experience, supervision in individual
counseling, and supervision in marriage and family
therapy. Work experience in individual counseling was
significantly correlated with marriage and family therapy
work experience, supervision in individual counseling,
supervision in marriage and family therapy, and coursework
in individual counseling. In addition to this there was a
negative correlation between work experience in individual
counseling and continuing education credits (CEU's) in
marriage and family therapy.
There were no significant correlations with
coursework in marriage and family therapy. Individual
counseling coursework was significantly correlated with
work experience in individual counseling and supervision
in individual counseling. As previously mentioned
continuing education credits (CEU's) in marriage and
family therapy were negatively correlated with work

143
Table 11
Intercorrelations Among Trainee Variables
MF yrs.
Exp.
Ind.
yrs. Exp.
MF
courses
MF
Superv.
Indiv.
Courses
Indiv.
Superv.
CEU
MFT
ACCE
AERO
LSIINT
MF Yrs. Exp.
1.00
.59
.009
.61
.07
.22
-.11
.10
-.03
.11
.00
.0001
.9303
.0001
.5167
.0266
.29
.3179
.7314
.2632
Ind. Yrs. Exp.
.59
1.00
.09
.47
.21
.26
-.22
.03
.02
.05
.0001
.00
.3884
.0001
.0332
.0089
.0309
.7992
.8333
.6120
MF Courses
.009
.09
1.00
.17
-.13
.08
-.20
-.06
-.16
-.005
.9303
.3884
.00
.2511
.2174
.4475
.0588
.5555
.1044
.9624
MF
Supervision
.61
.47
.17
1.000
.04
.57
-.11
-.07
-.06
.11
.0001
.0001
.2511
.00
.6683
.0001
.2573
.4860
.5469
.2648
Courses (Ind.)
.07
.21
-.13
.04
1.000
.30
.10
.03
-.13
.02
.5167
.0332
.2174
.6683
.00
.0022
.3136
.7869
.2006
.8770
Supervision
(Ind.)
.22
.26
.08
.57
.30
1.000
-.005
-.16
-.18
.12
.0266
.0089
.4475
.0001
.0022
.00
.9582
.1194
.0676
.2191
CEUMFT
-.11
-.22
-.19
-.11
.10
-.005
1.000
-.001
-.11
-.04
.2979
.0309
.0588
.2573
.3136
.9582
.00
.9890
.2931
.6736
ACCE
.10
.03
-.06
-.07
.03
-.16
-.001
1.000
.13
.43
.3179
.7992
.5555
.4860
.7869
.1194
.9890
.00
.2135
.0001
AERO
-.03
.02
-.16
-.06
-.13
-.18
-.11
.13
1.000
-.09
.7314
.8333
.1044
.5469
.2006
.07
.2931
.2135
.00
.3886
LSIINT
.11
.05
-.005
.11
.02
.12
-.04
.43
-.09
1.000
.2632
.6120
.9624
.2648
.8770
.2191
.6736
.0001
.3886
.00

144
experience in individual counseling. No other correlations
for this variable existed. The amount of supervision hours
in marriage and family therapy were significantly
correlated with work experience in marriage and family
therapy, work experience in individual counseling, and
supervision in individual counseling.
The amount of supervision hours in individual
counseling were significantly correlated with work
experience in both individual counseling and in marriage
and family therapy, supervision in marriage and family
therapy, and coursework in individual counseling.
Regarding the learning style variables (ACCE, AERO,
and LSIINT), the only significant correlation was between
the ACCE dimensions and the LSIINT score. No other
significant correlations were found among trainee
variables.
Correlations for the selected personal characteristics
of the trainee and the Family Therapy Assessment Exercise
(FTAE) overall scale and three subscales are listed in
Table 12. Significant correlations were few. The pretest
FTAE overall scale (PREFO) was negatively correlated with
the change score, positively correlated with its three
pretest subscales (PREFD, PREFC, PREFT), and positively
correlated with the posttest FTAE overall scale (PostFO)
and three subscales (PostFD, PostFC, PostFT). The posttest
FTAE overall scale (PostFO) was positively correlated with

145
the change score, and positively correlated with the
pretest FTAE overall scale (PREFO) and three subscales
(PREFC, PREFD, PREFT).
The pretest FTAE descriptive subscale (PREFD) was
negatively correlated with the change score, positively
correlated with the pretest overall scale (PREFO), the
pretest conceptual subscale (PREFC), and the pretest
therapeutic subscale (PREFT). The pretest FTAE descriptive
subscale (PREFD) was also positively correlated with
posttest FTAE overall scale (PostFO), the posttest FTAE
conceptual subscale (PostFC), and therapeutic subscale
(PostFT). The posttest FTAE descriptive subscale (PostFD)
was positively correlated with the change score and with
the pretest FTAE overall scale (PREFO) and pretest FTAE
therapeutic subscale (PREFT). In addition to this the FTAE
posttest descriptive subscale (PostFD) was positively
correlated with individual therapy supervision hours and
with the LSIINT (Learning Style Inventory interaction
score).
The pretest FTAE conceptual subscale (PREFC) was
negatively correlated with the change score, positively
correlated with the pretest overall scale (PREFO) and the
pretest descriptive (PREFD) and therapeutic (PREFT)
subscales. It was also correlated with the posttest FTAE
overall scale (PostFO)and the posttest conceptual (PostFC)
and therapeutic (PostFT) subscales. The posttest FTAE

Table 12
Intercorrelations Among Independent and Dependent Trainee Variables
Variable
CHANGE
PRE FO
PRE FD
PRE FC
PRE FT
POST FO
POST FD
POST FC
POST FT
FMT yrs. Exp.
-.03
.10
.06
.12
.05
.06
-.14
.09
.09
Ind. yrs. Exp.
.10
.11
.10
.10
.07
.18
.07
.15
.16
MF Courses
-.03
.03
.13
-.06
.03
-.006
.06
-.04
-.004
MF Supervision
-.01
.11
.09
.13
.04
.08
-.09
.06
.13
Courses
.07
.03
.02
-.03
.07
.08
.03
.03
.10
Supervision
.05
-.12
.06
-.17
-.10
-.06
-.20
-.02
.0009
CEU MFT
-.17
-.004
-.18
.02
.06
-.14
-.07
-.07
.16
NMF Classes
-.06
.08
.07
.0007
.11
.11
-.04
.16
.10
ACCE
-.08
.10
.06
.008
.14
.02
.05
-.03
.03
AERO
.02
.11
-.03
.12
.11
.11
.11
.14
.04
LSIINT
-.03
-.17
-.13
-.16
-.10
-.17
-.21*
-.11
-.11
Change
1.00
-.28*
-.23*
-.22*
-.19
.58*
.33*
.44*
.50*
PRE FO
-.28*
1.000
.59*
.79*
.82*
.63*
.33*
.47*
.56*
PRE FD
-.23*
.59
1.000
.34*
.27
.31*
.10
.24*
.31*
PRE FC
-.22*
o
00
.34*
1.000
.40
.49*
.16
.44*
.43*
PRE FT
-.19
.82
.27*
.40*
1.000
.55*
.40*
.36*
.48*
* E < .05
146

147
conceptual subscale (PostFC) was positively correlated with
the change score and with the pretest FTAE overall scale
(PREFO) and three subscales (PREFC, PREFD, PREFT).
Regression Analyses
A series of multiple regression analyses were
performed to predict performance on the Family Therapy
Assessment Exercise (FTAE) overall scale and three
subscales. Each equation had the same 10 predictor
variables which were as follow: the respective FTAE
pretest used to measure initial knowledge of family
therapy, extent of individual counseling coursework, extent
of marriage and family therapy coursework, amount of
supervision hours in counseling, amount of supervision
hours in marriage and family therapy, amount of work
experience in individual counseling, amount of work
experience in marriage and family therapy, and the Learning
Style Inventory ACCE, AERO, and LSIINT dimensions.
In order to account for any additional training
effects occurring during the time of the specified training
experience, information was collected from all participants
regarding simultaneous training experiences accrued in
marriage and family therapy at the time of the posttest.
The number of courses in marriage and family therapy were
calculated and frequencies were computed (Table 13). As
can be seen, 69.7% (69) of the students received no
concurrent supervision in marriage and family therapy,

148
13.1% (13) received 1 hour; 8.1% (8) received 2 hours, and
9.1% (9) received 3 hours. Because the amount of
supervision hours received by students was so limited, no
additional analysis for this component of training was
computed.
Regarding the amount of additional coursework in
marriage and family therapy received in conjunction with
the designated training experience, 67.7% (67) of the
students obtained no additional coursework, 30% (30)
obtained one additional course in marriage and family
therapy; and 2% (2) reported taking 2 additional courses.
Therefore the number of additional courses taken in
marriage and family therapy was included in the regression
analyses to account for the possibility of any simultaneous
training effects. Thus, the regression analyses included
the 10 initial predictor variables, and in addition to this
an 11th variable, the number of additional courses taken in
marriage and family therapy (see Table 14).
Results of the first regression analysis is presented
in Table 15. The FTAE posttest overall scale (Post FO) was
significant (F = 5.878, p < .0001) with an R2 egual to .43.
As shown in Table 15 only the pretest was a significant
predictor (p < .0001). A priori analyses were conducted
for the three subscales of the FTAE. The results of the
regression analysis for the descriptive subscale of the
FTAE is presented in Table 16. There were no significant

149
Table 13
Frequency Distribution for Supervision Hours Accumulated
Durina the Specified Trainina
Courses
(N=99)
Supervision Hours
Number
Percent
0
69
69.7
1
13
13.1
2
8
8.1
3
9
9.1
99
100.0
Table 14
Freauencv Distribution for Additional
Marriaae and
Familv TheraDV Classes taken
in Conjunction with the
Specified Trainina Courses
Additional MFT Classes
Number
Percent
0
67
67.7
1
30
30.3
2
2
2.0
predictors for the FTAE posttest descriptive subscale (Post
FD) with (F = 1.505, p < .1436) with an R2 equal to .1599.
The results of the regression analysis for the posttest
conceptual subscale (Post FC) was significant (F = 2.665, p
< .0055) with an R2 equal to .25. As shown in Table 16 the
pretest was the only significant predictor (p < .0001).

The results for the regression analysis for the posttest
FTAE therapeutic subscale is shown in Table 17.
150
Table 15
Regression Model for the Relationship Between the
Posttest FTAE Overall Score and the Selected Personal
Characteristics of the Marriage and Family Therapy Trainee
Parameter
Estimate SE
T for Ho
Parameter = 0
P
Intercept
6.7
1.4
4.7
.0001
PREO
6.9
.10
7.0
.0001
Courses
(Individual)
.02
.04
.47
.6430
MF Courses
-.17
.36
-.47
.6430
Supervision
-.001
.005
.24
.8054
MF Supervision
.006
.03
.25
.8024
Individual
Work
Experience
.003
.002
o
VO
•
. 1123
MF Work
Experience
-.004
.006
-.72
.4483
ACCE
•
o
i-1
.06
-.16
.8745
AERO
.02
.06
.37
.7149
LSIINT
-.007
.009
-.77
.4440
Additional
MF Classes
.91
.76
.21
.2300
F = (5.878) p < .0001
R-square = .4263

151
The posttest FTAE therapeutic subscale was significant (F =
2.878, p < .0029) with an R2 equal to .27. Again, only the
pretest was a significant predictor (e < .0001) in the
model (Table 18).
Table 16
Regression Model for the Relationship Between the Family
Therapy Assessment Exercise (FTAE) Descriptive Subscale and
the Selected Personal Characteristics of the Marriage and
Family Therapy Trainee
Parameter
Estimate
SE
T for Ho
Parameter = 0
P
Intercept
3.12
.39
8.07
.0001
PREFD
.05
.11
.48
.64
Courses
(Individual)
.01
.01
.83
.41
MF Courses
.07
. 11
.64
.53
Supervision
-.003
.002
-1.9
.07
MF Supervision
.007
.007
.95
.35
Individual
Work
Experience
.001
.0006
1.56
.12
MF Work
Experience
-.004
.002
-2.0
.05
ACCE
.02
.02
1.1
.28
AERO
.008
.02
.46
.65
LSIINT
-.006
.003
-1.92
.06
Additional
MF Classes
-.01
.23
-.04
.97
F = (1.505) E < .1436
R-square = .1599

152
Table 17
Regression Model for the Relationship between the Family
Therapy Assessment Exercise (FTAE) Conceptual Subscale and
the Selected Personal Characteristics of the Marriage and
Family Therapy Trainee
Parameter
Estimate
SE
T for Ho
Parameter = 0
P
Intercept
3.47
.60
5.74
.0001
PREFC
.44
.11
4.20
.0001
Courses
-.0008
.02
-.039
.97
MF Courses
-.07
.18
-.41
.68
Supervision
.001
.002
.59
.58
MF Supervision
-.006
.01
-.51
.61
Individual
Work
Experience
.001
.001
1.3
.06
MF Work
Experience
.0003
.003
.112
. 10
ACCE
-.008
.03
-.25
.80
AERO
.03
.03
.87
.39
LSIINT
-.0025
.005
-.54
.59
Additional
MF Classes
.69
.36
1.91
.91
F = (2.665) E < *0055 R-square = .2520

153
Table 18
Theraov Assessment
Exercise
(FTAE)
Therapeutic
Subscale and
the Selected Personal Characteristics of
the Marriaae and
Family Therapy Trainee
Parameter Estimate
SE
T for Ho
Parameter
P
= 0
Intercept
3.75
.71
5.3
.0001
PREFT
.57
.12
4.5
.0001
Courses
.02
.03
.52
.60
MF Courses
-.13
.25
-.51
.61
Supervision
-.001
.003
-.44
.66
MF Supervision
.02
.02
.97
.34
Individual
Work
Experience
.001
.001
.99
.33
MF Work
Experience
-.002
.004
-.39
.70
ACCE
.005
.04
.12
.90
AERO
-.01
.04
-.27
.79
LSIINT
-.006
.006
-.93
.36
Additional
MF Courses
.58
.52
1.02
.31
F = (2.878) E < .0029
R-square = .2668

154
In hypothesis two it was predicted that the
greater the amount of initial knowledge of family
therapy skills as indexed by the Family Therapy
Assessment Exercise (FTAE) pre-test, the less the
amount of change from pretesting to posttesting among
participating students. A series of Pearson product
moment correlation coefficients were computed to assess
the association between the FTAE total score and the
change score and for the three subscales scores and the
change score. As can be seen in Table 9, these scores
were significantly varied in an inverse direction with
the change score. The higher the initial knowledge
score, the smaller the size of the change score from
pretesting to posttesting. In the series of regression
equations (Tables 14, 15, 16, and 17) the extent of
initial knowledge of family therapy (PREFO) was a
significant predictor for the overall FTAE score, and
for the conceptual and therapeutic subscales. Thus,
hypothesis two was supported.
For hypothesis three it was predicted that the
greater the amount of prior training in individual
therapy, as indexed by the Family Therapy Experience
Inventory the less the amount of change in family
therapy skill levels from pretesting to posttesting
among participating students. A series of regression
equations were computed to assess the relationship

155
among these variables. As depicted in Tables 14, 15,
16, and 17, the level of individual training did not
significantly predict the FTAE change scores.
Therefore, hypothesis three was not supported.
For hypothesis four, it was predicted that the
greater the amount of prior work experience conducting
individual therapy, as indexed by the Family Therapy
Experience Inventory, the less the amount of change
from pretesting to posttesting in family therapy skills
among the participating students as measured by the
Family Therapy Assessment Exercise (FTAE). Results of
the regression equations performed to assess the
relationship among the FTAE change scores and the
levels of individual work experience shown in Tables
14, 15, 16, and 17 revealed that the level of
individual work experience was not a significant
predictor for the FTAE change scores. Thus hypothesis
four was not supported.
For hypothesis five, it was predicted that the
greater the amount of prior training in family therapy,
as indexed by the Family Therapy Experience Inventory,
the less the amount of change from pretesting to
posttesting in family therapy skill level among
participating students. Results of the regression
equations computed to assess the relationship between
the FTAE change scores and the level of training in

156
marriage and family therapy, as depicted in Tables 14,
15, 16, and 17, reveals that the level of training in
marriage and family therapy was not a significant
predictor for the FTAE change scores. Therefore,
hypothesis five was not supported.
For hypothesis six, it was predicted that the
greater the amount of prior work experience conducting
marriage and family therapy, as indexed by the Family
Therapy Experience Inventory, the less the amount of
change from pretesting to posttesting in family therapy
skill levels of participating students as measured by
the Family Assessment Exercise (FTAE). Results of the
regression equations conducted to assess the
relationship between the FTAE change scores and the
amount of prior work experience conducting marriage and
family therapy shown in Tables 14, 15, 16, and 17
revealed that the amount of prior work experience
conducting marriage and family therapy was not a
significant predictor for the FTAE change scores.
Thus, hypothesis six was not supported.
For hypothesis seven, it was predicted that the
more divergent the learning style of the trainee as
measured by the Kolb Learning Styles Inventory, the
greater the amount of change from pretesting to
posttesting in student's family therapy skill levels.
Results of regression equations conducted to assess the

157
relationship among the FTAE change scores and preferred
learning style of the trainee (ACCE, AERO, LSIINT), as
shown in Tables 14, 15, 16, and 17, revealed that the
learning style of the trainee was not a significant
predictor for the FTAE change scores. Therefore,
hypotheses seven was not supported.
Summary
A preliminary analysis of covariance (ANCOVA) was
performed to assess whether the subjects from each
training program differed significantly in their skill
acquisition from pretesting to posttesting. Results
indicated that one school significantly differed from
the other five schools. Thus, this school was deleted
from the sample. A second ANCOVA was performed which
indicated no significant differences among the five
remaining schools.
Descriptive statistics were computed in order to
describe family therapy students in terms of age,
extent of previous training (coursework and
supervision), extent of work experience, extent of
prior knowledge of family therapy, and preferred
learning style. Trainees were relatively young with a
limited amount of prior training and work experience.
Of four possible learning styles, more than 50% of the
participants described themselves as divergers.

158
Results revealed significant changes in skill
acquisition after the initial phase of training. In
examining the relationship between trainee
characteristics and skill changes the initial knowledge
of family therapy was correlated in an inverse
direction with skill acquisition as predicted. No
significant associations were found among prior
training, prior work experience, or learning style and
the acquisition of skills. The regression analyses of
the FTAE overall scale, the conceptual scale and the
therapeutic scale were significant, however the only
significant predictor variable was the level of initial
knowledge of family therapy.

CHAPTER V
DISCUSSION
The purpose of this study was twofold. First, the
impact of the initial phase of family therapy training on
novice therapist's skill acquisition was assessed. Second,
the impact of four types of trainee characteristics on the
acquisition of family therapy skills by novice therapists
involved in family therapy training was examined. The four
types of trainee characteristics were (a) extent of
trainee's prior training in individual therapy and family
therapy, (b) extent of trainee's clinical work experience
in individual therapy and family therapy, (c) extent of
initial family therapy knowledge, and (d) trainee's
preferred learning style. In this chapter, a discussion of
the results for each of the research questions or
hypotheses, the limitations of the study, and implications
of the study are presented.
Preliminary Analysis
Prior to testing the research hypotheses proposed for
the study, an analysis of covariance (ANCOVA) was performed
to assess whether the subjects from each of the six
participating programs differed significantly in their
skill acquisition from pretesting to posttesting. The
159

160
Family Therapy Assessment Exercise (FTAE) pretest and
posttest scores of students from each of the six
participating schools were analyzed using an ANCOVA.
Results of this analysis revealed a significant difference
by school. Dunn's test revealed that one of the six
schools differed significantly from the other five. On the
adjusted posttest this school was deleted from the study
sample in order to allow for program equivalency and
equivalent program effects. There are various explanations
that could contribute to the differences by school, such as
instructor differences or course content differences,
although measures were taken to provide some type of
equivalency. In addition, the FTAE measures structural/
strategic family therapy, perhaps competing ideologies were
more pronounced for this portion of the sample. A second
ANCOVA was conducted on student scores for the five
remaining schools. No significant differences were found
among the five remaining schools, thus the remaining five
schools were considered as one construct.
Discussion of Results
The first question considered in this study concerned
how trainees in the initial stage of training in
university-based family therapy programs could be
characterized in terms of their (a) age, (b) prior training
experience in individual therapy, (c) prior work experience
in individual therapy, (d) prior training in marriage and

161
family therapy, (e) prior work experience in marriage and
family therapy, (f) initial knowledge of family therapy
knowledge, and (g) preferred learning style.
The average age of this sample of trainees was 32.98
with a range of 28 to 60 years. Almost 50% of the students
were under the age of 30, with only a small number of the
trainees falling in the upper age range. Thus, this sample
can be characterized as a predominately young group of
trainees.
The average number of courses taken in individual
counseling was 7.69, with the average number of family
therapy courses taken .74. Supervision hours in individual
counseling averaged 30.32, with supervision hours in
marriage and family therapy averaging 5.33. The amount of
work experience in individual counseling averaged 1^ years,
with marriage and family therapy averaging % year. Clearly
the amount of training in individual counseling and
particularly in marriage and family therapy was very
limited. Based on a semester system this would place
trainees in their first year of training in individual
counseling. Family training was extremely limited (less
than one course, 5.33 hours of supervision, and \ years
work experience). Thus this sample can be characterized as
novice-level trainees in both individual counseling and in
marriage and family therapy which uniquely differentiates
them from other study samples. In contrast, samples used

162
in other studies conducted by Hernandez (1985), Pulleyblank
(1985), Breunlin et al. (1989) were drawn from a cross
range of novice, mid-range, and experienced therapists.
For example, in an instrument validation study, Hernandez
(1985) studied 75 subjects drawn from university and
institute programs located in Illinois and Indiana. Their
age ranged from 22 to 60 years and participants were
characterized as novice-level, mid-range, and experienced
therapists. The sample included first year master's level
students, doctoral students, post-doctoral students,
university professors, and AAMFT approved supervisors.
Pulleyblank (1985) evaluated a 9-month structural
family therapy training program. Nine family therapy
trainees and eight control subjects were evaluated before
and after the training program. All trainees held a
master's degree in either marriage and family therapy or
social work with a mean number of years of work experience
after their degree of 5-7 years. The comparison group's
average age was 31.2. All comparison group members held a
master's degree in marriage and family therapy with a mean
number of years of work experience of 3.6 after their
degree.
Breunlin et al. (1989) examined skill acquisition of
96 trainees drawn from seven different structural/strategic
training experiences. Four of the programs involved agency
based inservice training in family therapy, two involved

163
graduate courses in family therapy (one in nursing and one
in social work), and one program was an advanced training
program in family therapy. Subjects ranged in experience
from those with little clinical experience or training in
family therapy to those with considerable clinical
experience and training in family therapy. The field of
family therapy is diverse. Practitioners may have an M.D.,
Ph.D, M.S.W., M.A. or M.S. degree and still practice family
therapy, which itself is not always clearly defined.
Family therapy requires different conceptual and
therapeutic skills, than individual therapy. This study
focused on beginning level family therapy trainees enrolled
in master's level university based training programs which
differs from samples used in previous studies.
The extent of prior knowledge of family therapy was
assessed by computing pretest scores for the Family Therapy
Assessment Exercise (FTAE) for each participant. The
average score for the entire group was 12.9 with a possible
score of 32. This is similar to initial knowledge pretest
scores reported in previous research (Hernandez, 1985;
Pulleyblank, 1985). For example, in a validation study for
the FTAE conducted by Hernandez (1985), FTAE scores
averaged 14.64, based on 32 questions. In a program
evaluation study reported by Pulleyblank (1985), the FTAE
pretest score averaged 16.58 for the treatment group of
trainees receiving post-master's level training at a family

164
therapy training institute, and 13.60 for the comparison
group used in the study. Breunlin et al. (1989) noted that
initial knowledge (IK) of the trainee as measured by the
Family Therapy Assessment Exercise (FTAE) pretest score was
inversely correlated with the change score. However, the
authors did not report raw scores for the FTAE. The
average pretest score for this group in the study was 12.9
which was slightly less than scores reported in other
studies (14.64, 16.58, 13.60). However, that is logical
because this group is predominantly a novice level group
versus a cross section of novice, mid-range, and
experienced family therapists who may have had exposure to
family therapy theory and practice.
Finally, the preferred learning style of the trainee
was assessed with four possible categories resulting.
Trainees clustered as follows: 51.6% (51) of the
participants were divergers, 13.1% (13) were convergers,
17.1% (17) were accommodators, and 20.2% (20) were
assimilators. More than half of the participants described
themselves as divergers which was consistent with the
learning style research in this area. For example, Kolb
(1976), in examining the relationship between learning
style and academic specialization, found a strong
association between the divergent learning style and
counseling and psychology career specialization. Previous
research studies on learning style and professional career

165
choice (Bennett, 1978; Christensen & Bugg, 1979; Kolb,
1978; Plovnick, 1974; Sims, 1980) are also consistent with
this finding.
Trainee Skill Changes
In hypothesis one the impact of the initial phase of
structural/strategic family therapy on the acquisition of
skills by novice student therapists was examined.
Significant differences from pretesting to posttesting were
found in the study participants scores on the FTAE overall
scale and the descriptive, conceptual, and therapeutic
subscales. This was not an unexpected finding and was
consistent with the findings reported in previous research
(Breunlin et al., 1989; Pulleyblank & Shapiro, 1986; West
et al., 1985). However, the initial levels of family
therapy skills and the final level of skills of this group
were lower than that of other research assessing skills of
more experienced therapists.
For example, West et al. (1985) examined 10 mixed
experience level family therapy students enrolled in a
graduate level course in family therapy in which students
practiced interviewing simulated families. A time series
design was used whereby skill development was assessed at
three equal intervals of time during the semester. The
FTAE was used to measure skill development. A repeated
measures analysis indicated there were significant
differences between testing times on the total score.

166
However, regarding subscales, significant differences were
found from time 1 to time 3 with combined scores for
observational and conceptual subtests, while conceptual
skills increased significantly from time 1 to time 2, and
observational skills significantly increased from time 2 to
time 3. No significant differences were found for the
therapeutic subtest. The method of training used in this
study emphasized conceptual and observational skills which
may account for the significant change in these scores. In
addition, the authors suggested that seguencing in learning
may be a factor, where novice level students acquire
conceptual skills followed by observational skills.
In contrast, the findings in the present study suggest
that a significant change occurred for the overall scale
and all three subscales, with the conceptual and
therapeutic subscales increasing most significantly.
Perhaps skills changes in novice trainees may differ from
those of mixed experience levels. A time series design
which measures minute skill changes in trainees or even one
that is longitudinal in nature may be of interest in
developing curriculum that attends to subtle developmental
stages. Further research is needed to determine patterns
of skill acquisition. In conjunction with conducting the
regression analyses, intercorrelation among trainee
variables were computed.

167
Intercorrelations
Intercorrelations among trainee variables were
predictable. For example, marriage and family therapy work
experience was significantly correlated with individual
work experience, supervision in both individual counseling
and marriage and family therapy, and coursework in
individual counseling. Clearly, this was not surprising
because both training and supervision are prerequisites for
work experience. Interestingly, no significant
correlations were found with coursework in marriage and
family therapy. Perhaps this was due to the limited amount
of marriage and family therapy coursework obtained, by this
sample of trainees (less than one course).
Correlations among selected personal characteristics
of the trainee and the Family Therapy Assessment Exercise
(FTAE) and its three subscales were also limited.
Interestingly, the pre-FTAE overall scale and three
subscales were negatively correlated with the change score.
As previously noted, this supports the hypothesis that the
greater the amount of initial knowledge of the trainee, the
less the amount of change from pretesting to posttesting on
the Family Therapy Assessment Exercise (FTAE). However
this may also be explained in terms of the regression
effect in that higher scores regress towards the mean while
lower scores go up towards the mean.

168
In hypotheses two through seven the associations
between a variety of demographic and background variables
and family therapy skill changes of the trainee were
examined. Specifically, the following independent
variables were explored: initial level of family therapy
knowledge, previous individual counseling training and work
experience, previous family therapy training and work
experience, and preferred learning style. As predicted,
the higher the initial knowledge level of family therapy,
the smaller the skill changes noted from pretesting to
posttesting. As previously mentioned this can also be
explained in terms of the regression effect.
Interestingly, none of the other trainee variables proved
to be significantly associated with family therapy skill
changes. Furthermore, it was surprising that none of these
variables was significantly correlated with initial
knowledge of family therapy given the assumption that prior
training and work experience and initial knowledge would be
strongly associated. Obviously, in this sample initial
knowledge was not a result of prior training and work
experience.
These findings are not consistent with results
reported by Breunlin et al. (1989) who found, using a
sample of varying experience levels that experience in
individual therapy was significantly associated with
increased family therapy skills as measured by the Family

169
Therapy Assessment Exercise (FTAE). Not only was prior
individual therapy experience positively associated with
performance on the FTAE overall scale but the conceptual
score as well. Because the sample used in the present
study were novice level they differed significantly in
individual counseling and marriage and family therapy
training and work experience (averaging 1% years of
individual work experience and \ year of marriage and
family therapy work experience). In addition, those few
trainees who did report a considerable amount of work
experience in individual counseling were often helping
professionals who had work which involved a very limited
amount of direct clinical experience. Therefore, both the
nature and extent of individual therapy work experience in
this sample differed considerably from that of other study
samples.
In hypothesis seven, no significant relationship was
found between the learning style of the trainee and the
amount of change from pretesting to posttesting in family
therapy skill level as measured by the Family Therapy
Assessment Exercise (FTAE). It is certainly possible that
there is no relationship between learning style and family
therapy skill development. However, one explanation for
this may be a lack of sensitivity of the Learning Style
Inventory. Interestingly, 50% of the participants
classified themselves as divergent learners; however, a

170
wide variability existed in scores, with some divergers
obtaining scores that were more balanced in terms of other
learning styles verses extreme. A second explanation is
that learning style may be more crucial over time as the
trainee shifts from the conceptual to the applied focus. A
third very plausible explanation is that the acquisition of
family therapy skills is independent of learning style and
something trainees learn equally well. Thus, the training
experience gives something equally to all participants.
Therefore, although learning style does not predict
acquisition of skills this finding can be encouraging in
that it may reveal that no bias exists in the training
program.
Limitations of the Study
Descriptive studies, such as this one, must be
interpreted with caution for a number of reasons. First,
because the design of the study did not address the
complete time frame of the training experience, distinctive
patterns of change in the relationships among skills
acquired and trainee characteristics were not assessed. It
may be that the particular impact of a trainee's preferred
learning style on the therapy learning process may be
demonstrated only as therapy skill acquisition moves from a
conceptual to applied framework.
Second, there are some inherent limitations in the
study sample due to the selection procedure used wherein

171
only those programs who agreed to participate in the study
and allowed access were sampled. This resulted in a mixed
selection procedure employing both the inclusion of entire
available populations and the voluntary invitation of
students in those populations to participate. Despite the
fact that this resulted in a relatively high proportion of
students participants (92%), not all students invited to
participate in the study did so. In addition, it is not
known how many of these classes and students actually fit
the criteria for inclusion. Thus, a sampling bias due to
school and self selection may have been present. Perhaps
those who chose to respond to the survey were the most
skilled and confident members of the sample while those who
did not were too unsure of their skills to respond. It was
evident that selection occurred at the institutional level
and that only those institutions with relatively high
levels of intellectual rigor were chosen to participate.
Conceivably, academic settings which differ substantially
from these settings in academic standards and climate may
attract students who differ markedly in terms of their
personal characteristics and abilities. Thus these results
may not be generalizable to students involved in
substantially different academic training contexts.
The data revealed that the test for between school
differences was almost significant (p=.06) which indicates
the probability of school effects. A design in which

172
school is considered as a factor in the analysis and
subjects are nested within school may be desirable for
future research projects. However, a much larger sample of
schools would be required in order to conduct this type of
analysis.
The instruments used in this study posed a third
limitation. Only one method of measurement was used in the
study to measure skill acquisition. Clearly multiple
methods of measurement would cross validate measurement of
skill acquisition. However, the particular instrument
chosen to assess skill development was considered the best
available method, despite weaknesses in reliability and
validity of the subscales. In addition, measurement of the
learning style variable may need to be improved. Although
the learning style theory itself appears to have a great
deal of merit, it may be beneficial to look more closely at
the particular learning style instrument in terms of its
conceptualization and discriminant validity.
For example, this particular instrument measured
narrowness of learning style versus diversity, yet the
construct presented the conceptualization that a broad
cognitive style was preferred to a more exclusive mode of
learning. Therefore, another approach to measuring
learning style as well as multiple methods of measurement
of family skills may be more desirable.

173
Implications
This study has implications in several areas. There
are implications for the status of the literature and for
the direction of future outcome research on family therapy
training. Examining the type of skill development of
novice therapists during the initial stages of family
therapy training can be useful in the ongoing refinement of
family therapy training experiences in academic contexts.
Moreover, ascertaining which trainee variables are vital to
consider in predicting learning among younger professionals
can be helpful in shaping both selection and training
design decisions and policies.
Variables such as maturity, past life experiences, and
prior training and work experience are commonly used
predictor variables for trainee candidates. However
results of this study do not support the use of prior
training and work experience as predicative criteria for
the novice-level therapist. Clearly, the amount of prior
training and work experience was very limited which may
account for this lack of predictive power.
Traditionally, professionals involved in providing
psychotherapy training have had difficulty in defining what
skills or aptitudes are relevant predictive factors for
performance as therapy professionals. While Graduate
Record Examination scores and college grade point averages
are of value in predicting graduate student academic

174
performance, there have been no established indices for
predicting student clinical skill performance. Kolb's
(1978, 1981, 1984) theory of experiential learning was used
in this study to identify a trainee's preferred learning
mode and focus on how it may facilitate or hinder
acquisition of skills. Results of this study do not
support the use of learning style as predictive criteria
for the acquisition of family therapy skills for novice
level trainees. A plausible explanation for this finding
is that preferred learning style does not influence the
acquisition of family therapy skills, and novice-level
trainees learn equally well from the training experience.
In another vein, possible avenues for future study in this
area of learning style research include (a) assessing
learning style differently, (b) the use of a longer time
frame to assess training, and (c) obtaining a broader
sample representation of training and work experience.
Finally, the initial knowledge of family therapy as
measured by the Family Therapy Assessment Exercise (FTAE)
did significantly predict acquisition of family therapy
skills. As previously mentioned, this may be due to the
regression effect. However, it was of interest that the
level of initial knowledge did not significantly correlate
with previous training and work experience variables.
Perhaps cognitive factors contribute to the level of
initial knowledge and may be a useful direction for future

175
research studies. Clearly the examination of skill
acquisition of family therapy trainees has implications not
only for training but for the practice of family therapy as
well.
Summary
In conclusion, this researcher has described the
nature/characteristics of the novice-level trainee;
assessed the skill acquisition of novice-level trainees in
the initial phase of family therapy training; and
investigated the impact of four trainee characteristics:
(a) extent of prior training in individual and family
therapy, (b) extent of prior work experience in individual
and family therapy, (c) extent of initial knowledge of
family therapy, and (d) preferred learning style of the
trainee. Results have been interpreted to indicate that
the initial phase of family therapy training does
significantly improve the novice-level trainee's skill
acquisition. Initial knowledge of family therapy did
affect the amount of skill acquisition of student
therapists in an inverse direction. However, trainee
characteristics such as prior training, work experience and
learning style did not influence the acquisition of family
therapy skills. It was not surprising that prior training
and work experience had no predictive power because of the
limited amount accrued by trainees. However, it was

176
somewhat perplexing that learning style had no predictive
power.
Results showed that more than 50% of the trainees
characterized themselves as divergent learners which
correlates with previous learning style research. A
possible explanation for the lack of predictive
correlations was limitations of the instrument. The
scoring of the instrument emphasized narrowness of learning
style verses diversity. In addition trainees were examined
at one point in time as opposed to over a period of time.
Perhaps, a more distinctive pattern would appear over time
or with a more diverse sample of trainees. Another
possible explanation is that learning style does not
influence that acguisition of family therapy skills and
thus students learn equally well.
A need for additional research in the area is
indicated by the results of this study. Characteristics
traditionally used to predict skill acquisition of trainees
had little predictive power for this novice-level group.
Characteristics which have some predictive power with this
particular group would be helpful for selection and
placement of beginning therapists. This is a useful
undertaking because of the trend towards educating younger
master's level family therapists versus post-degree
training of family therapists.

APPENDIX A
INFORMATION TO PARTICIPATING UNIVERSITIES
Letter of Introduction to University Professors
Dear Professor:
As you may recall from our telephone conversation, I
am currently doing my dissertation study in the area of
marriage and family therapy training. I am interested in
studying the impact of individual trainee characteristics,
such as learning style, on the acguisition of family
therapy skills. The study is a pretest-posttest design
which would require student participants to answer
questionnaires and view a videotape at the beginning and
end of the course.
I have enclosed the following materials for the class:
1. Class Announcement - to be read by the instructor
2. Release of Information - to be signed by
participants
3. Demographic Questionnaires: (a) pretest and (b)
posttest - to be completed by participants
4. Kolb Learning Styles Inventory (LSI)
(Instructions are self-explanatory) - to be
completed by the participants at pretest only
5. Family Therapy Assessment Exercise (FTAE) Tape -
to be shown to class by the professor/instructor
at pretesting and posttesting
6. Family Therapy Assessment Exercise (FTAE)
Instructions and Questionnaire (Instructions are
self explanatory) - to be completed by the
participants at pretesting and posttesting
7. Family Therapy Assessment Exercise (FTAE) Answer
Sheets - (a) pretest (time 1) and (b) posttest
(time 2)
177

178
In addition to this, in order to establish some commonality
for the training experiences (course), I would like to
obtain (a) a course syllabus and (b) a course description
checklist from you. I have enclosed the course description
checklist and a stamped return envelope for this and the
course syllabus. I would greatly appreciate this
information at your earliest convenience. Enclosed
you will also find a stamped return packet for the
participant materials pretest-posttest) which can be mailed
at one time at the end of the semester.
I would like to take the opportunity to thank you in
advance for your participation in the study and the time
and effort you put forth. I will be contacting you by
phone within the next few weeks as to the materials and any
questions you may have concerning the study. If you have
any questions, please feel free to call me at (407)
352-2769 (collect). Thank you again.
Sincerely,
Rita Lawler Goodman, M.S., Ed.S.
RLG/aw

179
Class Announcement
"We are interested in studying the training of
family therapists and we need your help. Specifically
we would like to examine performance of trainees at the
beginning and end of this course to assess their
ability to look at interactional patterns and ways of
working with families. Participation in the project
requires you to view a videotape of a simulated family
therapy interview. The tape will be stopped
intermittently so that multiple choice questions
concerning each segment of the interview can be
answered. In addition, you will be asked to complete
two brief questionnaires regarding your personal
learning style and your training and work experience in
the field of counseling/psychology and marriage and
family therapy.
Participation in this project is voluntary. The
data collected for the project is not part of the class
requirement, will in no way affect your participation
in the class, and will not be viewed by the instructor
to determine your grade. Participation in the project
will be scheduled during class time at the beginning
and end of the semester. The project will address
several questions regarding effective training of
marriage and family therapists. We are aware that it
would be of some benefit to you as a participant,
therefore, we are willing to give you personal feedback
concerning your participation at the end of the
project.
All information will be kept strictly confidential.
Please feel free to ask any questions that you may have
concerning the project."

APPENDIX B
CLASS CONTENT CRITERIA
There are a wide variety of approaches used in
training marriage and family therapists. The area of
interest for this study concerns the examination of
beginning students' acquisition of skills in
structural/strategic marriage and family therapy. We have
developed a list of instructional activities which are
often used in the beginning phases of family therapy
training.
Class Description
Generally, the beginning phases of marriage and family
therapy training focus on theoretical concepts from one or
some of the major theories of family therapy with an
emphasis on assessment for treatment planning. Therapist
skills in assessment, interviewing, and consultation are
usually discussed and simulated.
Some commonly used instructional activities and
methods are listed below. In addition, some typical
reading resources are also listed. Please circle the items
which approximate those you use in your approach.
1. Introduce systems-oriented patterns of
conceptualization, assessment and therapy practice.
2. Review systems and family development concepts.
3. Describe levels of family interaction assessed from
various schools of family therapy with some emphasis
placed on structural/strategic family therapy.
4. Describe family assessment criteria (e.g., structural
boundaries, hierarchy, strengths, resources).
5. Describe pre-interview assessment planning.
6. Describe assessment interview skills.
180

181
7. Illustrate how to assess family patterns by mapping a
family (video or simulated) from a) developmental
view, b) structural view, and c) interactional
sequence view.
8. Formulate an initial hypothesis of a family from the
initial intake/face sheet using appropriate
assessment criteria.
9. Analyze written and videotaped interactional
segments.
10. Make an assessment of a family through the analysis
of a videotape presentation or simulation.
11. Participate in role playing of an initial family
assessment interview.
12. Conduct an assessment/consultation interview with a
simulated family or couple.
13. Use of written examinations to evaluate informational
level.
14. Interview a simulated family and write up a family
assessment summary and treatment recommendations.
15. Write a major paper evaluating a family from a
particular conceptual viewpoint.
Please add items not mentioned which you use in your
course.

182
Readings: Please circle those readings listed below which
you use in your course:
1. Aponte, H. J., & Van Deusen, J. M. (1981). Structural
family therapy. In A. S. Gurman & D. P. Kniskern
(Ed.S.) Handbook of Family Therapy (pp. 310-360).
New York:Brunner/Mazel.
2. Beavers, W. R. (1977). Psychotherapy and growth: A
family systems perspective. New York: Brunner/Mazel.
3. Carter, E. A., & McGoldrick, J. (1980). The family
life cycle. New York: Gardner Press.
4. Constantine, L. (1986). Family paradigms: The
practice of theory in family therapy. New York:
Guilford Press.
5. Fisch, J., Weakland, J., & Segal, L. (1982). The
tactics of change. San Francisco: Jossey-Bass.
6. Haley, J. (1976). Problem-solving therapy. San
Francisco: Jossey-Bass.
7. Madanes, C. (1981). Strategic family therapy. San
Francisco: Jossey-Bass.
8. Minuchin, S. (1974). Families and family therapy.
Cambridge, MA: Harvard University Press.
9. Minuchin, S., & Fishman, H. C. (1981). Family
therapy techniques. Cambridge, MA: Harvard
University Press.
10.Nichols, M. (1984). Family therapy: Concepts and
methods. New York: Gardner Press.
Other

APPENDIX C
INFORMED CONSENT FOR FAMILY THERAPY PROJECT
We are interested in studying the impact of family
therapy training and we need your help. Specifically, we
would like approximately 3 1/2 hours of your time. Two
hours at the beginning of the semester and 1 1/2 hours at
the end. During this time you will be asked to view a
videotape of a simulated family therapy interview. The
tape will be stopped intermittently so that multiple choice
questions concerning each segment of the interview can be
answered. In addition, you will be asked to complete two
brief questionnaires regarding your personal learning style
and your prior experience in the general field of
counseling and the specialty of marriage and family
counseling.
Participation will be scheduled at your convenience.
The project will address several questions regarding
effectiveness of training in family therapy. We are also
aware that it should have some personal meaning of benefit
to you as a participant. Therefore, we would be very
willing to give you personal feedback concerning your
participation at the end of the project.
183

184
Participants' names will be coded by number. Although
the instructor will administer the questionnaires, all
scoring and feedback of test results will be handled by the
researcher. Therefore, the instructor will have no
knowledge of an individual's performance. Please feel free
to ask any questions that you may have.
I understand the nature of the research described to
me above and I agree to participate with the knowledge that
I may withdraw any time without prejudice.
Signature of Participant
Rita Lawler Goodman, M.S., Ed.S.
Principal Investigator
Ellen Amatea, Ph.D
Supervisor

APPENDIX D
THERAPY EXPERIENCE INVENTORY
Background Information
Please complete the following questions about yourself,
your training, your work experience and your counseling/
therapy orientation.
1. Name
2. Age 3. Race 4. Sex: M F
5. Marital status (circle one)
Never married; married; divorced; separated;
remarried; cohabiting
6. Ages of children (if any)
(indicate if natural or stepchildren)
Training
7. What academic degree(s) do you now hold and in what
field(s) of study?
8. Are you currently enrolled in a degree program?
If so, please specify the degree and the
major/tract you are in.
9. Is the GRE a requirement for this program? If
so, what is your GRE score?
10.What year are you in this program? (e.g., first year,
fourth year)
11.Approximately how many courses have you had on
counseling/psycho-therapy? What percentage of
these have focused on family/systemic counseling/
therapy?
185

186
12. Approximately how many hours of one-on-one supervision
of your counseling/psychotherapy have you received?
What percentage of these hours were devoted to
family counseling/therapy supervision?
Was your family counseling/therapy supervisor a
trained family therapist? If so, what was
his/her orientation?
13. Do you currently receive family therapy supervision?
If so, specify the number of hours per week
and type of supervision (e.g., live, video, audio,
case)
14. Approximately how many hours of workshop/continuing
education training on family therapy counseling have
you participated in over the past 5 years?
Experience
15. How many years of experience (use fraction if less
than one) would you say you have in doing INDIVIDUAL
(i.e., not family counseling/therapy)? What
percentage of this was direct service (face-
to-face client contact)?
Approximately how many individuals have you worked
with in counseling/therapy? 1-3 4-10
11-25 26-50 more than 50
16. How many years of experience (use fraction if less
than one) would you say you have in doing FAMILY
counseling/therapy? What percentage of this
was direct service (face-to-face client contact)?
Approximately how many families have you worked with
in family therapy?
1-3 4-10 11-25 26-50 more than 50
17. Approximately how many contact hours have you
accumulated in doing counseling/therapy?
18. Approximately how many contact hours have you
accumulated in doing family?

187
19. Please indicate the predominant type of
counseling/psychotherapy you have been doing and the
proportion of your time involved by circling one of
the following:
a. individually oriented counseling only
b. mainly individual, but some family (please give
percentage of usual work load that is individual
and percentage that is family )
c. mainly family, but some individual (please give
percentage of usual work load that is family
and percentage that is individual )
d. family only
e. other (please specify)

188
Background Information at Time 2
NAME
Since you participated in this assessment at the first of
the term how much further training and work experience in
individual and family systems counseling/therapy have you
acquired?
Please list the number of counseling contact hours you have
accumulated during this term.
Family counseling contact hours
Individual counseling contact hours
Please list any supervision (individual or group
supervision) which you have acquired this term.
Family therapy supervision:
One-to-one supervision
Group supervision
Individual therapy supervision:
One-to-one supervision
Group supervision
Please describe any additional family systems related
coursework or workshops in which you have participated
since the assessment at the first of the term (other than
this course).
Classes (hours)
Workshops (C.E.U.'s)
Any other experiences we should know about?

APPENDIX E
KOLB LEARNING STYLE INVENTORY

Name Date
There are nine sets of four words listed below. Rank order the words in each set by
assigning a 4 to the word which best characterizes your learning style, a 2 to the word which
next best characterizes your learning style, a 2 to the next most characteristic word, and a 1 to
the word which is least characteristic of you as a learner.
You may find it hard to choose the words that best characterize your learning style.
Nevertheless, keep in mind that there are not right or wrong answers — all the choice are
equally acceptable. The aim of the inventory is to describe how you learn, not to evaluate your
learning ability.
Be sure to assign a different rank number to each of the four words in each set; do not make
ties.
L
discriminating
tentative
involved
practical
2.
receptive
relevant
analytical
impartial
3.
feeling
watching
thinking
doing
4.
accenting
risk-taker
evaluative
aware
5.
intuitive
productive
logical
questioning
6.
abstract
observing
concrete
active
7.
present-oriented
reflecting
future-oriented
pragmatic
&
experience
observation
conceptualization
experimentation
9.
intense
reserved
rational
responsible
Scoring
The four columns of words above correspond to the four learning style scales: CE, RO, AC and
AE. To compute your scale scores, write your rank numbers in the boxes below only for the
designated items. For example, in the third column (AC), you would fill in the rank numbers you
have assigned to items 2,3,4,5,8, and 9. Compute your scale scores by adding the rank numbers
fb reach set of boxes.
Score items: Score items: Score items: Score items:
2 3 4578 136789 234589 136789
CE- RO- AC- AE-
To compute the two combination scores, subtract £E from AC and subtract RQ from AE, Preserve
negative ágns if they appear.
AC 'CE AE RO
AC-CE: Q- AE-RO: Q- Q -
190

APPENDIX F
THE FAMILY THERAPY ASSESSMENT EXERCISE
Instructions for Assessment Exercise
Introduction
You are about to take part in an exercise in which you
will see a series of video tape segments from one family
interview and after each segment answer several guestions
about the interview. The exercise is designed to assess
the framework you employ when you deal with families. In
this sense it is not intended to be a measure of your
competence so much as a measure of how you work. You
should, therefore, select the alternative for each question
which best fits your way of working with families now, and
not an alternative you suspect might be correct for other
reasons. If you have never interviewed a family, then
select the alternative which most closely fits how you
imagine you would work.
You will be asked to answer questions relating to your
observations, your ways of thinking about the family and
your assessment of the therapist. To answer the
observational questions you must attend closely to all
behaviors (both verbal and nonverbal). When answering
191

192
questions concerning your understanding of events, remember
that all of the alternatives have some validity depending
on one's perspective so select the ones which seems correct
to you. You will also answer questions regarding your
assessment of the therapist. Some of the therapist's
interventions should be considered mistakes so do not
hesitate to select alternatives which are critical to the
therapist.
Format for Exercise
The events portrayed on the tape are from one
interview. The eight segments you will see provide you
with the salient information to follow that interview.
After you see the first segment of the interview, turn the
page and begin to answer questions. Continue answering
questions until you see the word STOP at the bottom of the
page. At this point, do not turn the page until you have
seen the next segment of tape. Continue in this manner
until you have seen all eight segments. You will answer 32
questions. While you are answering questions, the
tape will continue to run, showing only "grey" on the
screen; hence you have a limited time to answer the
question. The time available for each segment is shown at
the top of the first page of questions for each segment.
You will hear a tone twenty seconds before a new segment
appears on the screen. Do not attempt to answer questions
while a segment is being shown as you may miss valuable

193
information, and do not go back to change answers once a
new segment is shown. The total time for the exercise is
approximately one hour.
The Family
The Davidson family consists of four members; the
parents, Robert and Marie, and two children, Susie, 10 and
Carl, 9. The therapist is Dr. Brown. Recently, Mrs.
Davidson brought Carl to Dr. Brown because he was wetting
the bed. Carl received a complete workup and the tests
were normal. Recognizing that Carl appeared to be highly
anxious, and that multiple factors might be involved in
such a case, Dr. Brown requested the entire family to come
into this office to discuss the problem at length. The
present videotape is performed by actors to preserve the
confidentiality of the family. However, this is not a
dramatization, as the original transcript is followed
closely. The adaptation, including the choice of segments,
is geared to abbreviate and highlight material for training
purposes.
STOP
DO NOT TURN THE PAGE UNTIL YOU HAVE SEEN THE FIRST
SEGMENT OF TAPE

194
QUESTIONS FOR SEGMENT ONE
You Have 7:00 To Answer
1. Select the alternative which describes most
accurately what is happening when Susie first begins
to fidget with her hat.
a. The therapist is talking to father.
b. The therapist is talking to mother.
c. The therapist is talking to Carl.
d. The therapist is talking to Susie.
2. Below is a list of six statements all of which are
true of the family members' behavior before the
therapist entered. Select one of the four
alternatives that groups together the three
statements that best help you to understand the
presenting problem.
1. The parents do not attend to the children's
play.
2. The children ignore mother's request to put
the toys away.
3. The parents make no attempt to reinforce
appropriate behavior in their children.
4. Father yells at the children to put the toys
away.
5. Mother defends the children's behavior to
father.
6. The parents demand rather than request that
the children put away the toys.
a. 1, 2, 4
b. 1, 3, 6
c. 2, 4, 6
d. 2, 4, 5
CONTINUE TO THE NEXT PAGE

195
3. Given the information concerning the family members'
behavior before the therapist entered, which of the
following content areas would be closest to your
focus for the upcoming interview.
a. The way father was treated by his own parents.
b. What prevents the father, mother and children
from expressing their feeling directly.
c. How the father and mother handle demands they
make on the children.
d. Why the father needs to displace his anger on
to the children.
4. Select the alternative which you believe is the
least accurate assessment of the therapist's
greeting of the family members.
a. By speaking to Carl least the therapist
acknowledged Carl's embarrassment for being
the identified patient with a sensitive
problem.
b. The therapist should have spoken more to Carl
because he too must be engaged and motivated.
c. The therapist should have further explored the
father's work in order to highlight it as an
area of competence for the father.
d. The therapist missed an opportunity to focus
on interaction when Carl turned and whispered
something to mother.
STOP
DO NOT TURN THE PAGE UNTIL YOU
HAVE SEEN THE NEXT SEGMENT OF TAPE

196
QUESTIONS FOR SEGMENT TWO
You Have 3:30 To Answer
5. Select the alternative which describes the content
area being discussed when the father first cues the
mother to speak for him.
a. The number of times Carl has wet the bed in
the past two weeks.
b. The problems Carl has been having at school.
c. The mother's work and the fact that she has
taken some time off.
d. The father doesn't cue the mother at all; she
interrupts him.
6. Select the alternative which is the most useful
conclusion the therapist could draw from the
parents' speculations about the possible causes of
Carl's bedwetting:
a. The inability to agree on this issue is
reflective of the general lack of agreement in
their relationship.
b. Because the parents do not ask for Carl's
opinion on this issue, they probably disregard
his feelings too much.
c. Although the parents mentioned explanations
which involved them, they preferred those
which absolved them of responsibility for
Carl's problem.
d. The parents have considered explanations that
involve themselves which is a good sign.
CONTINUE TO THE NEXT PAGE

In this segment, the therapist asks father to
describe the problem first, before Carl or mother.
Select the alternative which you believe is the best
assessment of this intervention.
a. The intervention is a mistake because had he
asked Carl first he would have learned
something of his feelings unbiased by the
opinions of his parents.
b. The intervention is correct because it
initiates the process of defining the father
as an important person in the family.
c. The intervention is a mistake because had he
asked to the mother first he would have
supported the parent likely to be most
involved in the problem.