Citation
Epistemological and ethical implications of reactivity in videotape research

Material Information

Title:
Epistemological and ethical implications of reactivity in videotape research
Creator:
Roth, Jeffrey
Publication Date:
Language:
English
Physical Description:
vii, 157 leaves : ; 28 cm.

Subjects

Subjects / Keywords:
Cameras ( jstor )
Educational research ( jstor )
Epistemology ( jstor )
Ethnography ( jstor )
Field research ( jstor )
Informed consent ( jstor )
Magnetic storage ( jstor )
Observational research ( jstor )
Reactivity ( jstor )
Research methods ( jstor )
Research -- Methodology ( lcsh )
Research -- Moral and ethical aspects ( lcsh )
Video recording ( lcsh )
Video tape recorders ( lcsh )
Videocassette recorders ( lcsh )

Notes

Thesis:
Thesis (Ph. D.)--University of Florida, 1987.
Bibliography:
Includes bibliographical references (leaves 145-156).
General Note:
Typescript.
General Note:
Vita.
Statement of Responsibility:
by Jeffrey Roth.

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:
001039155 ( ALEPH )
AFC1688 ( NOTIS )
18327558 ( OCLC )

Downloads

This item has the following downloads:


Full Text









EPISTEMOLOGICAL AND
OF REACTIVITY IN


JEFFREY


ETHICAL IMPLICATIONS
VIDEOTAPE RESEARCH


ROTH


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


1987













ACKNOWLEDGEMENTS


I wish


express


my gratitude


to each


the


members


committee


their


special


contribution


the


completion


this


dissertation:


chair,


Prof.


Sandra


Damico


her


unwavering


encouragement


and


support;


Prof.


Robert


Sherman,


his


scrupulous


attention


matters


organization


and


argumentation,


especially


early


stages


signposts


writing;


to guide


to Prof.


through


some


Hernan


dense


Vera,


erecting


thickets


theory;


to Prof.


Arthur


Newman,


for


his


friendship


and


continuing


interest;


and


to Prof.


Michael


Resnick,


providing


opportunities


duties


to conduct


at Children'


videotape


Developmental


research

Services,


as part

College


Medicine,


University


Florida.


I would


also


like


thank


the


following


individuals:


Profs.


John


Newell


and


James


Algina,


past


and


present


chairs


Foundations


financial


Education,


support


who


graduate


consistently


studies;


arranged


Elizabeth


Bondy


and


Mary


West,


MSN,


coworkers


on the


ethnographic


research


team


who


generously


shared


their


data


and


their


insights;


Prof.


Marguerite


Warner,


another


ethnographic


research


team


member


whose


grasp


and


sensitivity






who,


a number


of challenging


discussions,


alerted


many


the


paradoxes


that


attend


observing


observers.


Finally,


in recognition


innumerable


moments


intimacy


we had


to forego


that


this


study


could


come


fruition,


I dedicate


this


dissertation


wife,


Harriet,


my daughters,


Emily


and


Corinna.













TABLE


OF CONTENTS


Page


ACKNOWLEDGMENTS


ABSTRACT


CHAPTERS


INTRODUCTION


. 1


ENCOUNTERING


THE


PROBLEM


OF REACTIVITY


a 6


The Origins of
The Purpose of
The Audiovisual
Research
Evidence of Rea
Accommodations
Team
Researcher Ambi


the Res
the Res
Compon
Project
activity
Made by


earch
each
ent of


Proj
Proj
the


arch
arch


valence


DEALING WITH
ISSUES


Definitions
Explanations
Threats Pose
Techniques f
The Pursuit
Summary


REACTIVITY:


EPISTEMOLOGICAL


a a 38


3f Reactivity 3
of Reactivity 4
1 by Reactivity .. 4
or Dealing with Reactivity 5
3f Invisibility 5
B 6


DEALING


WITH


REACTIVITY


A Brief History o
Requirement
The Rights of Per
Informed Co
Modifying the Inf
for Low Ris
Further Erosion o
Requirement
.TC, c4 4 iFa r. 4 Cnn


the
* a
ons
sent
rmed
Res
the


: ETHICAL

Informed


Embod
Agre
Cons
earch
Info


ISSUES


* 62


Consent


led in the
ement .
ent Requirement


Srmed
rmed


v .Doc4-r .i n


Cons


. 74


80
&aw r ffLn a ft^j~


. 65

. 70


!
!











CHAPTERS


RESPECTING REACTIVITY: THEORETIC
PRAGMATIC JUSTIFICATIONS FOR
COLLABORATIVE RESEARCH .


AND


Construing
Acti
Dialogue w
Collaborat
Recin


A
Advantages
Be
Be


FOSTERING


Research
ity .
thout Dom
on: The S
ocal Bene
Exchange
Exchange
Sharing o
of Collab
nefit to


nefit


REACTIVITY


as a Hermeneuti


nation
earch fo
fits .
of Mean
of Know
f Duties
oration
Subjects


r Specifi

ings
ledge


. .


to Researchers


VIDEOTAPE


CONTRIBUTION
RESEARCH


TO COLLABORATIVE


The
The
Aga
Cur
Mak
Rev


Maki

The


Merits of
Unique Fe
n the Que
ent Analy
ng the Fr
sing the
Contexts
ng the Im
Comment
Two Uses
The


The


O


Camera


ature
stion
tic P
amewo
Resea
of S
age T
ry
of Vi


S O
of
rac
rk
rch
elf
ext


Research


f V
Re
tice
Exp
er'
-co:
: H1


videotape .
activity .
es .
licit .
s Role in
nfrontation
ermeneutic


t ft t ft
.
.


deotape


Hermeneutic
of Videotape
Propadeutic
f Videotape


Use
.* .
Use
S .


CONCLUSION


REFERENCES .

BIOGRAPHICAL


SKETCH


Page













Abstract


School
of the


the


Require


ssertation


University o
ments for the


Presented


Florida
Degree o


the


Partial


Doctor


Graduate


Fulfillment
Philosophy


EPISTEMOLOGICAL
OF REACTIVITY


AND


ETHICAL


IN VIDEOTAPE


IMPLICATIONS


RESEARCH


Jeffrey

December


Roth

1987


Chair:
Major


Sandra


Department:


Damico


Foundations


Education


The


purpose


this


dissertation


to critique


current


res


earch


methods


that


employ


videotape


and


propose


their


place


a model


that


fosters


genuine


collaboration


between


subject


researchers


still


and


researchers.


operate


from


Many


videoptape


a positivist


epistemology:


They


choose


not


involve


subjects


tasks


data


collection,


analysis,


and


dissemination


fear


that


such


involvement


would


constitute


a disturbance


or contamination


"natural"


routines.


The


techniques


that


researchers


utilize


presence


to minimize


their


the


reactivity


audiovisual


subj ects


equipment


rely


forgetfulness


or evasion


and


therefore


distort


principle


informed


consent.







communicative


action.


The


aspect


this


theory


that


relevant


to revising


researcher/subject


domination.


justifications


obligations


relationship


A continuous


all


the


exchange


participants


that


"dialogue


explanation

an inquiry


define


without


and


establishes


validity


final,


consensual


interpretation


assigned


a particular


practice.


An extensive


literature


review


sought


to find


out


how


res


searchers


who


use


cameras


deal


with


obtrusiveness


their


equipment


laboratory


and


and

field


subjects


responses


methodology


to it.


consider


Both


reactivity


inevitable


artifact


the


observation


process


itself


and


potentially


a serious


threat


the


transferability


findings


to unobserved


settings.


They


therefore


recommend


strategies


that


aim


at invisibility--either


waiting


until


subj


ects


no longer


notice


camera


s presence


or by


getting


permission


advance


to conceal


location.


These


strategies


compromise


ethical


ideal


that


had


originally


inspired


informed


consent


legi


slation--respect


the


personhood


subjects.


The


epistemological


and


ethical


warrant


observational


research


sounder


when


subjects


are


invited


inspect


and


justify


their


performance.


Reviewing


tapes


together


an ideal


occasion


engendering


dialogue


about


meaning


and


purpose.


the


ensuing


exchange












CHAPTER


INTRODUCTION


This


dissertation


a contribution


an ongoing


debate


in the


social


sciences


about


ethical


and


epistemological


assumptions


undergirding


observational


research.


Recent


anthologies


Kimmel


1981),


Beauchamp


(1982),


and


Hartmann


(1982)


attest


the


fact


that


methodology


are


trying


to provide


guidance


researchers


the


wake


recent


changes


both


the


rules


and


method


conducting


observational


research.


In the


area


ethics,


social


science


researchers,


like


their


colleagues


federal


in the


regulations


biomedical


to inform


sciences,


their


are


now


subjects


required


formally


and


antecedently


purpose


and


consequence


their


investigation

inexpensive

researchers


In the


portable


area


videotape


to routinely


tape


method,

cameras


the

has


activities


availability


encouraged


subjects.


Thi


dissertation


addresses


the


question


whether


widespread


contemporary


practice


using


videotape


document


group


legislation


interaction


designed


betrays


to protect


the


the


spirit


dignity


and


recent

autonomy


human


subjects.


It i


the


thesis


thi


dissertation


that


researcher


:








guarantee


informed


consent.


Even


though


researchers


are


now


required


to be explicit


with


subjects


about


nature


and


purpose


their


inquiry,


once


they


insert


their


camera


into


a setting,


they


resist


subjects


' subsequent


efforts


renegotiate


the


terms


and


meaning


what


they


have


consented


I intend


to make


case


that


present


formats


of mechanical

unresponsive


observation


and


render


unaccountable


researchers


their


socially


subjects.


further


intend


to demonstrate


that


the


use


video-


tape a

assays


allows

of t


social


scientists


lifeworld


without


to continue

t genuinely


conducting

involving


their

subjects


research


endeavor.


I plan


to show


that


we subvert


meaning


informed


guarantee


that


consent


subjects


when


are


we interpret


free


narrowly


terminate


participation


any


time.


I will


argue


that


when


retreat


behind


our


cameras


and


discount


or wait


out


any


evidence


that


systematic


observation


fundamentally


altering


dynamics


social


situation,


we do


so out


allegiance


to a positivist


epistemology.


We choose


not


engage


our


subjects


' ambivalent


responses


to being


studied


because


we are


still


persuaded


that


our


account


social


reality


should


consist


primarily


"facts"


which


believe


exist


independently


our


presence.


Even


though


facts


we are


after


are


now


"under


standings,


we still


believe


thev


can


"captured"


with


least


amount


Lll


j


U. -


J-







I plan


to make


the


case


that,


every


other


seeming


advance


that


technology


has


brought,


with


videotaping


have


gained


some


things


and


lost


others.


Camera-dependent


research


carries


with


so many


dilemmas-


-about


reactivity,


about


mutual


deception,


about


ownership


knowledge- -that


discussion


will


have


to insist


on continuity


between


epistemological


and


ethical


considerations.


Having


made


the


case


that


current


procedures


which


use


videotape


simply


to document


social


interaction


not


respect


theoretical


autonomy


and


subjects,


practical


I will


arguments


present


employing


both


videotape


such


a way


that


an equitable


and


trustworthy


relationship


can


sustained


between


researchers


and


subjects.


intend


to ground


the


discussion


the


epi


stemological


and


ethical


dilemmas


that


surround


the


use


videotape


reference


a real


world


situation


which


they


were


directly


experienced.


Hence


Chapter


a narrative


involvement


an ethnographic


study


a middle


school-nursing


home


geriatric


remotivation


program


which


involved


collecting


then


focus


and


on the


analyzing


concept


videotape


data.


reactivity


to being


observed


appears


current


methodological


discus


sions


the


subject-researcher


relationship.


In Chapter


examine


the


epistemological


uncertainty


that


said


adhere


to studies


contaminated


reactivity







techniques


intended


to minimize


subjects'


awareness


researchers


' presence.


The


motivation


these


techniques


shown


to originate


a commitment


to objectivity,


stance


that


continues


to be


synonymous


with


properly


conducted


research.


In Chapter


IV I


explore


ethical


dimensions


these


recommendations,


extent


to which


nonengagement


and


invi


siblility


are


compatible


with


researchers


fulfilling


the


requirements


informed


consent


agreement.


contrast


central


moral


imperative


informed


consent--respect


the


personhood


subjects--with


methodologists


' efforts


to exempt


"low-ri


social


research


from


full


disclosure


component


their


contractual


agreement.


In Chapter


V I


interpret


these


arguments


camera-ass


Habermas


critique


rationality


about


isted


merits


forms


' theory


reducing


of observation


communicative


instrumental


which


reason,


maintains


action,


reactivity


context


particularly


a manipulative


asymmetrical


form


stribution


power


in the


researcher


-subject


relationship.


Using


Habermas


' concept


a "dialogue


without


domination,


examine


a number


pragmatic


justifications


that


have


been


made


improving


accuracy


and


fairness


research


through


involving


subjects


enterprise.


I begin


Chapter


VI by


reconceptualizing


camera-assisted


research


as a dialogic,


rather


than


a documentary,


activity;







specifically,

participants,


envisage


guiding


researchers


discussions


sharing


which


videotapes


with


audiovisual


text


The


spurs


an exchange


dissertation


closes


explanations


with


about


presentation


performance.


a two-stage


model


future


researchers


reach


and


a consensus


videotape


subjects

s about


research:


jointly


their


a first


examine


meaning;


stage


tape


this


which


order


followed


second


stage


which


both


agents


the


inquiry


collaborate


on producing


a video


that


tells


others


what


has


been


learned.


When


researchers


join


forces


with


subjects


creation


an instructional


narrative,


they


are


transforming


research


into


an enterprise


that


directly


and


mutually


educative.













CHAPTER


ENCOUNTERING


THE


PROBLEM


OF REACTIVITY


This


dissertation


begins


with


an account


a research


project


that


had


been


progress


five


months


time


was


asked


to join


assignment


was


assess


whether


subjects


were


still


feeling


constrained


and


uncomfortable


with


audiovisual


methods


data


collection,


even


though


the


researchers


had


modified


their


original


arrangements


course


review


documenting

ng subjects


social


interaction.


' complaints


about


being


videotaped


and


researchers'


accommodations


those


complaints,


became


apparent


that


certain


assumptions


were


at work


about


propriety


and


versimilitude


videotape


data


that


needed


to be


investigated


further.


The


modifications


procedures


that


researchers


represented


extent


made


to which


the


they


videotaping


were


prepared


to respond


claims


subjects


about


direction


the


inquiry.


What


required


explication


was


how


researchers'


conception


research


itself


mitigated


against


genuine


collaboration


between


researchers


and


subjects.


The


narrative


that


follows


intended


to make


clear


C -


- *-


- ~ ~ ~ ~ ~ ~ L~l -II~ a -r -~ a n e -L a


.~ 1


rli


1,,~,, 1


L*rL LL







subjects--left


intact


possibility


that


researchers


would


still


exclude


subjects


from


having


a voice


interpretation


their


videotaped


behavior.


In giving


short


story


this


project,


aim


to show


that


informed


consent


agreement


guaranteed


to subjects


only


negative


role


way


research


was


carried


out.


It is


contention


that,


addition


their


explicitly


stated


objections,


the


reactivity


that


subjects


displayed


the


recording


equipment


represented


an effort


to renegotiate


the


terms


their


involvement


in the


research.


I plan


to make


case


that


reason


researchers


minimize


efforts


subjects


to modify


the


means


and


ends


a study


can


traced


their


allegiance


to a static,


non-interactive


conception


research.


I offer


this


account


how


videotaping


was


used


one


ethnographic


project


an example


pos


itivist


epistemology


that


perceive


to be


operating


a good


deal


qualitativative


research.


Researchers


are


still


guided


belief


that


there


are


certain


"facts"


about


social


situations


which


exist


independently


their


being


observed.


These


"patterns


relationships"


are


discernible


when


the


conditions


study


are


so that


there


minimum


mutual


interference.


Researchers


promise


subjects


that


the


data-collection


methods


will


only


initially


arouse


unaccustomed


levels


self-consciousness


an acclimation







This


a static--and


as I will


expand


on later


monologic--conception


research,


one


in which


two


groups


of speakers,


first


the


researched


and


then


researchers,


occupy


position


authority


with


regard


the


veracity


story


being


told


about


social


process;


when


one


holds


forth,


the


role


the


other


confined


to listening


and


looking


passively


and


uncritically.


The


model


this


two-stage


conception


research


act,


first


dominated


detached


witnessing


physical


activity,


followed


mental


cerebration


and


the


assignment


meaning,


course,


laboratory


experiment.


The


rival


pursuit


plausible


generalizable


explanations


findings


social


unconfounded


science


researchers


their


to exclude


investigation.


subject


We shall


from

see


the

how


interpretive


once


stage


a particular


social


situation


was


placed


under


scrutiny,


and


subjects


were


promised


that


their


natural


reaction


to researcher


obtrusiveness


would


diminish,


researchers


construed


their


promise


non-interference


as a form


invisibility


. In


spite


researchers


pressions

declined


curiosity


to make


and


available


concern


the


subjects,


observational


data


generated


social


their


relations


they


cameras,


were


fear


studying


that


would


patterns


hopelessly


contaminated


addition


exogenous


levels


explanation


emanating


from


subjects


confronting


their


own







possesses


engendering


divergent


accounts


group


activity


was


not


tapped


because


positivist


underpinnings


research


required


that


final


assignment


meaning


had


to be


unequivocal.


The


Origins


the


Research


Project


In 1982


a new


chronic


care


facility


strikingly


modernistic


architectural


design


was


opened


United


States


Veterans


Administration


(henceforth


abbreviated


a small-sized


city


the


southeastern


United


States.


The


building


veterans,


housed a

majority


120-bed


whom


nursing

were


home


elderly


ailing


males.


they


took


their


duties,


newly


assembled


health


care


staff,


inspired


part


being


in a new


structure,


surprise


ingly


light


and


airy


a federal


facility,


felt


a strong


commitment


to explore


innovative


ways


to combat


depression


and


withdrawal


that


oftentimes


accompanies


institutionalization


the


elderly.


nurse


information


successfully


with


about


brought


special


programs


about


training


that


social


gerontology


claimed


sought


to have


remotivation,


that


behaviors


indicative


increased


involvement


and


concern


with


self


and


others.


Though


she


was


not


much


impressed


studied


that


used


pre-


and


post-test


measures


on residents'


longevity


or the


polled


opinion


staff


and


family


prove







program


manuals


from


other


VA hospitals.


When


a videotape


arrived


Minne

which

their


mid-1982


sota,


involve

social


from


chronicling


regular


studies


a VA facility


a 10-year


sits


curriculum,


old r

sixth


one


Cloud,


motivation


graders

the re


program


as part


creation


therapi


nursing


home


had


the


idea


to contact


officials


at a nearby


middle


school


see


they


would


interested


in some


kind


joint


program.


The


school


nurse


volunteered


to be


liaison


person


with


For


better


part


a year


these


three


practitioners


nurtured


heavily


bureaucratized


negotiations


through


and


between


their


institutions.


Documents


had


to be drawn


apportion


legal


responsibilities


attendant


on a


volunteer


program


which


children


would


be acting


capacity


"non-professional


motivation


therapist


language


final


statement


agreement


termed


them.


The


format


which


this


therapy


would


delivered


was


as follows


school,


a Geriatric


Club


was


to be


made


available


as one


the


options


an already


existing


"prime


time"


structure.


This


was


a block


minutes


first


part


each


school


day


which


students,


selecting


from


a wide


array


of nonacademic


activities


organized


direction


their


learning.


At meeting


Geriatric


Club,


the


children


would


responsible


planning


activity


with


nursing


home


res


idents,


whom


they


would


visit







responsibility


the


hospital'


recreation


therapist.)


The


prime


time


sessions


would


also


the


occasion


where


information


about


possible


problems


communicating


elderly


with


could


the


physically


conveyed


the


and


school


emotionally


nurse


impaired


(and


subsequently


a special


education


teacher)


who


would


serve


the


club


s sponsor.


The


nurse


and


recreation


therapist


had


to modify


the


curriculum-based


Cloud


remotivation


program


to fit


their


school


s prime


time


schedule


. The


Cloud


remotivation


program


was


embedded


an elementary


school


soc


studies


curriculum;


every


weeks


the


students


rotated


out


the


program.


After


examining


the


Cloud


tape


again


and


the


study


that


accompanied


Thralow


Watson,


key


1974),


element


the


the


nurse/therapist


Cloud


team


program:


decided


pairing


to retain


a child


with


a res


ident,


instead


a class


visit


format.


They


realized,


however,


that


their


program


s extracurricular


status


contained


the


possibility


some


matched


pairs


persisting


over


three


years.


There


was


a risk


that


such


long-term


assignments


would


produce


some


dissatisfied


pairs,


but


they


opted


non-rotation


on the


grounds


that


the


development


friendships,


rather


than


novelty,


would


create


a basis


social


and


personal


engagement.


The


first


meeting


pairs


took


place


shortly







the


residents


nursing


home


were


called


"guys,


" and


twice-weekly


visitors


from


middle


school


were


known


their


"pals.


" The


use


term


"pal"


had


been


selected


the


school


nurse


and


recreation


therapist


to accentuate


the


fact


that


therapeutic


component


the


remotivation


program


was


to be


centered


around


establishment


a friendship,


one


which


emphasized


joint


activities


and


reciprocal


benefits.


Actually,


"guys"


was


term


used


primarily


adult


coordinators


the


residents.


The


middle


school


children


referred


men


they


were


paired


with


their


"pals


use


staffs


term


to distinguish


members


the


dyad.


spring


1984


the


program


had


established


itself


as a popular


feature


at both


hospital


and


school;


plans


were


made


resume


beginning


next


school


year.


this


point,


nurse


specialist


gerontology


wondered


whether


program


should


be studied


some


exploratory


yet


systematic


way.


She


was


concerned


that


some


the


changes


noticed


the


elderly


(elevated


levels


affect,


improved


personal


appearance)


might


attributed


causally


the


program.


She


was


aware


that


many


intervention


programs


initially


succeed


with


institutionalized


population


because


they


represent


departure


from


routine,


but


their


benefits


become


extinguished


over


time.


also


wanted


to know


whether







shown


to be


as cost-effective


as an in-house


behavior


modification

instruments


program.

currently


She

in us


felt,

e were


however,


that


inadequate


the

r explaining


how


the


changes


came


about.


For


that


reason


sought


the


assistance


a professor


who


taught


qualitative


research


methods


at a nearby


university.


It happened


that


university


professor


was


attached


to had


a small


measure


jurisdiction


over


school


that


had


which


the


originally


Geriatric


been


Club


contacted


was


was


based.


not


the


a county


school


public


school


but


a laboratory


school


nominally


under


the


aegis


university


s college


education.


As a laboratory


school,


prided


itself


on its


long


history


inaugurating


experimental


programs


which


were


then


scrutinized


university


express


researchers.


an interest


Therefore,


conducting


when


professor


an ethnographic


study


the


joint


school-hospital


program,


no serious


obstacles


were


raised,


at least


not


school


officials.


The


officials,


however,


could


no financial


ass


instance,


and


the


search


funding


the


research


turned


to local


hospital


administrators.


After


six


months


proposal


submi


ssion


and


review,


funds


were


granted


October


1984


a small,


qualitative


pilot


study,


with


understanding


that


a propo


for


a subsequent,


large


scale


study


was


submitted


immediately


to a national-level


VA entity--the







Once


the


money


a pilot


study


became


available,


research


team


was


assembled.


It consisted


four


investigators.


Two


fieldworkers,


one


school-based,


one


hospital


based,


were


to conduct


formal


and


informal


interviews


with


program'


participants


and


coordinators.


They


would


also


participant


observers


the


twice-weekly


sessions.


Their


data-gathering


methods


would


supervised


professor,


an educational


sociologist.


A fourth


researcher,


trained


using


Spradley'


(1979,


1980)


four-phase


analytic


technique


(identifying


domains,


organic


ing


taxonomy,


assigning


components,


and


linking


themes


would


continuously


examine


the


data


from


audio


and


videotaped


conversations.


The


Purpose


Res


earch


Project


The


researchers


were


required


to submit


a description


proposed


project


institutional


review


board


univer


sity


where


the


professor


taught.


The


objectives


research


project,


as outlined


on the


protocol,


were


as follows.


preserve


confidentiality


sources,


I withhold


name


the


institution.)


probability


increase
during r
elderly


the
and


d if a pilot
motivation


residents


remotivation
attitudinal


children


over


funding
study
therapy


and


middle


process,
changes t


time,


and


[by HSR&D]
documents
sessions,
e school c


identifies


:hat


gives


occur


n


insight


will
what


be
occurs


investigate


children
various
L elders


into


how


experience
behavioral
and


how


and


why


.6.. ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~~~~l tin aI~ S a. tJ a- m M1. f at.


The


LrLr~r


It III1I


_ ~ml-:


r


I *I II







hypotheses


to be


investigated


the


large


scale


study


to be


submitted


communication,


for
June


[HSR&D]
14, 198


funding.
14)


(Personal


The


study's


description,


the


objectives

researchers


were


clearly


promised


multiple.


to locate


and


In their

project


the


understandings


participants.


Insofar


researchers


claimed


their


study


would


a rendering


the


social


world


the


program


s participants,


they


could


said


to be


engaging


interpretive


social


science.


Yet


they


also


promised


to identify


variables


that


would


amenable


to methods


of measurement


favored


quantitative


social


science.


The


fact


that


there


were


two


conceptions


research


operating


this


study--one


searching


meaning,


other


trying


to establish


causal


connections--had


profound


consequence


on the


researchers.


The


combination


these

able


two


visions


to share


the


research


explanatory


limited


stage


how

the


much

stud


they would

v with the


participants.


We shall


see


that


though


the


videotape


made


possible


a collaboration


between


observers


and


observed


constructing


an interpretation


recorded


behavior,


subjects


were


not


included


the


hermeneutic


task


study.


Another


statement


purpose


was


issued


during


the


study;


appeared


as part


an informed


consent


form


circulated


program


coordinators,


soliciting


their


permission


to be


included


within


scope o


f the research.







researchers.


source


In this


information;


project


out


subjects


were


inchoate


valued


mass


as a

a year


worth


words


and


actions,


researchers


would


generate


propositions


about


how


a remotivation


program


works.


It is


researchers'


story


the


program


that


ultimately


confers


benefits


to both


parties,


the


form


improved


procedures


internal


and


the


additional


studies.


investigation


are


before,


kept


documents


anonymous.)


The purpose
remotivation


the


program


study
m is


[is] t
planned


o learn


and


how


carried


a geriatric


out,


what


goes
best
from


on during
study the


this


study


remotivation


program


will


in the


used


sessions,


future.


to develop


and


The


how


we can


information


a larger


research


plan


understanding


and


eventually


the


ways


increase


in which


our


geriatric


remotivation
residents, m
teachers at


program
iddle sc


hool


middle


beneficial
children


school,


and


to nursing


and


their


staff


home


families


members


nursing
1985)


home.


(Personal


communication,


January


Notice


implication


that


many


people


besides


participants


might


benefit


from


the


study,


but


nature


those


benefits


could


not


specified


precisely


advance.


The


Audiovisual


Component


the


Research


Project


The


pilot


study


called


videotaping


three


cycles


six


consecutive


one


-hour


its,


sampling


three


weeks


beginning


October),


middle


January),


and


end


(March/April


year


-long


program;


thus


a total


18 different


sessions


were


to be


taped.


In the


spirit


doing


best


thpv


rnnul ri


wi th


ths1i r


rcAtr li nclt


fi nani aI


r snnm- rn -


L










focus


interactions


only


three


the


visitor-


resident


pairs.


This


smaller


group


three


pairs


constituted


the


"research


group.


" Concentrating


on a


relatively


small


sample


the


program


s participants


was


justified


not


only


on economic


grounds


(insufficient


funds


to conduct


additional


videotape


analyses).


The


researchers


defended


their


sample


size


on the


grounds


that


they


were


studying


the


program


ethnographically;


that


the


three


pairs


served


as key


informants


through


whose


experiences


therapeutic


effect


the


program


could


reconstructed.


Their


interaction--closely


observed


on videotape


over


course


the


program--would


analyzed


to show


how


whether


patterns


mutual


engagement


evolved.


Program


activities


were


usually


conducted


the


dining


room


the


nurs


home.


There


was


room


at each


the


large,


round


dining


tables


three


pairs


pals


and


guys


to conduct


the


day


activity


craft


project,


guided


reminiscing,


board


games).


In order


to reduce


ambient


noise


during


research


the


group


taping


was


these


initially


one-on-one


separated


into


activities,


an adjacent,


special


taping


temptation


room.


the


This

pals


strategy


the


also


research


served

h group


to eliminate


interact


with


their


peers


at adjoining


tables.


However,


whenever


--- L- aa -a "


- -


/-L11


,L ,11


L


IU


YYIIYLI


I IA L







these


whole-group


activities


were


also


taped


order


discern,


purposes


comparison,


how


targeted


pairs


comported


themselves


during


programs


involving


everyone


attention.


The


videocamera


and


recorder


was


a JVC


industrial


professional


model,


borrowed


from


a nearby


teaching


hospital.


It used


three-quarter


inch


U-matic


format,


with


advanced


editing


capabilities,


rather


than


the


one-half


inch


consumer


VHS


or Betamax


format


choice


that


was


to have


troublesome


consequences,


as will


seen


shortly)


. The


camera


was


to be


visible


at all


times


and


operated


one


two


eldworkers


present.


Evidence


Reactivity


The


chief


problem


researchers


faced


choosing


videotape


program


activities


was


the


possibility


that


presence


their


camera


would


provoke


reactivity


subjects

elicited


"Reactivity

specifically


refers


as a result


to behaviors


being


that


are


observed


(Kazdin,


1982).


To what


extent


then


were


subject


this


naturalistic


study


demonstrating


certain


behaviors


simply


because


they


were


being


monitored


How


would


researchers


distingui


sh between


spontaneous


and


constrained


behavior?


stinction


worth


making


and


who


should


make


The


answers


these


questions


hinged


on the


degree







expressed


researchers


and


subjects


about


possibility


reactivity


eventually


disappearing


was


starting


point


this


dissertation.


Each


the


parties


maintained


different


recording


position


with


equipment


regard


the


the


midst


naturalness


setting.


These


incongruent


perspectives


were


indicative


a divergence


interests


that


had


not


been


resolved


the


informed


consent


agreement


which


was


supposed


to spell


out


the


set


mutual


obligations


between


researchers


and


subjects.


The


investigation


reactivity,


trying


to determine


whether


had


persisted


or disappeared


during


the


project,


joined


with


a review


how


researchers


past


and


present


had


dealt


with


led


me to a consideration


a collaborative


mode


conducting


videotape


research.


The


rest


this


chapter


devoted


to presenting


divergences


found


subject


and


researcher


judgments


about


consequences


videotaping.


was


compiled


during


sec


ond


half


the


research


project,


after


I had


been


asked


to join


the


research


team


and


conduct


ancillary


study


the


role


reactivity


might


playing


the


primary


assess


awareness


study.


to what


that


first


degree


they


examined


pals


were


and


tapes


guys


on camera.


themselves


demonstrated


looked


actions


that


were


directed


specifically


towards


camera


and,


conversely,


actions


taken


to evade


being


seen


and


heard







were


not


taped.


The


fieldworker


focusing


on the


guys


could


detect


no evidence


a difference


between


taped


and


untaped


sessions.


In her


interviews,


probed


and


received


indication


from


the


guys


that


they


had


any


way


modified


their


behavior


as a nurse,


because


attributed


the

the


presence

absence


a camera.

reactivity


Trained


guys


their


diminished


sensory


capacities.


The


opposite


was


case


with


fieldworker


assigned


pals.


many


their


interviews


with


her,


they


mentioned


obtrusiveness


audiovisual


research


methods


. She


had


established


a strong


rapport


with


many


pals


program


because


simultaneously


with


her


work


on the


remotivation


dissertation


on coping


project


was


behavior


gathering


middle


data


school


children


fieldnotes


were


source


much


evidence


that


the


three


pals


"research


group"


often


expressed


both


positive


and


negative


feelings


about


being


cynosure


audiovisual


equipment.


I declined


interview


three


pals


personally


during


course


study.


(When


school


was


over,


I met


them


once


home


fieldworker,


where


we talked


about


effect


the


videotape


equipment


had


had


on the


way


they


acted


during


programs


VA.)


chief


informants


were


res


earchers


themselves.


They


were


already


familiar


figures


setting


asked


them


to be


alert


and


probe


any


comments






observers


the


scene,


case,


a newcomer


studying


the


study.


That,


however,


was


the


role


I did


adopt


the


research


team


s staff


meetings.


There


I paid


attention


decision-making


process


whereby


the


researchers


pondered


how


to respond


to subjects


when


they


expressed


interest


finding


out


what


the


visual


record


showed


about


their


performance.


the


extent


that


was


not


involved


gathering


and


analyzing


data


about


the


remotivation


program


itself,


remained


an outsider


the


group


doing


primary


study.


This


independence


enabled


me to examine


equally


the


claims


each


party


made


with


regard


to the


impact


that


videotaping


was


having


on the


study.


I begin


with


first


step


in my investigation,


what


saw


when


looked


the


tapes.


the


first


and


only


group


orientation


session


with


the


pal


informing


them


that


their


program


during


that


school


year


was


going


to be


the


subject


of a study,


one


the


researchers,


referring


the


videotaping


which


that


very


you.


minute


The


was


kids


going


immediate


advised,


reaction


"Don


could


t let


bother


described


as a


mixture


scepticism


("Oh,


sure")


and


nervousness


(giggling)


they


gesticulated


toward


the


camera,


calling


"The


One


Big-Eye.


In the


repartee


that


followed,


two


themes


recurred:







insistence


that


their


awareness


that


situation


would


diminish


over


time.


In such


questions


as "Will


other


kids


see


me?"


"What


m caught


an embarrassing


situation?"


, the


kids


appeared


grasp


facticity


videotape


s sound/image.


Their


ques


tions


displayed


awareness


that


very


existence


an audiovisual


record


contained


the


possibility


that


gaps


or mistakes


the


image


they


wished


to project


themselves


could


be scrutinized.


Though


res


earcher


guaranteed


confidentiality


("We


will


not


show


this


stuff


anyone


outside


this


room"


these


young


adolescents


could


not


this


juncture


completely


trust


an outsider.


course


some


initial


suspiciousness


was


to be expected


because


the


researcher


was


yet


a dependable


person


in their


lives.


Only


someone


who


wasn


your


friend


would


claim


was


going


to be


neutral


or nonjudgmental


are


going


about


to be hanging


your

around


actions

this D


"Three


program,


or four

watching,


. keeping


out


But


their


uneasiness


can


also


attributed


perception


any


intelligent


person


might


have


these


circumstances


: Actions


recorded


on videotape


cannot


anonymous.


images


and


sounds


on the


tapes


were


to be


distorted


technical


means,


they


routinely


are


certain


investigative


TV shows


such


as 60


Minutes,


then


anonymity


could


guaranteed.


But


no such


doctoring


way") .







friends,


relatives)


could


conceivably


able


to view


their


actions


and


form


opinions


about


them


without


their


being


present


argue


their


own


defense.


In short,


important


mechanism


both


allowing


and


concealing


social


improprieties--their


not


being


noticed


flux


time--was


going


to be disabled.


Another


kind


reservation


expressed


during


this


meeting


can


found


one


the


pals


exhorting


the


group


to "Act


normal,


" which


was


followed


another


pal


retorting,


"You


can't


act


normal.


The


researcher


presiding


was


quick


to minimize


threat


that


reactivity


poses


spontaneity:


"That


s normal


to feel


that


way.


After


while


you


won


't feel


that


way.


won


't bother


you.


does


bother


you


after


a while,


us know.


The


difficulty


kids


might


have


had


in acceding


this


request


can


seen


the


necessity


researcher


to follow


with


some


specific


strictures:


"Don


mess


with


the


wires


don't


ham


the


camera;


try


not


to look


at it.


" These


imperatives


were


the


a concession


deployment


researcher


audiovisual


that


equipment


precisely


was


because


an unfamiliar


addition


the


social


setting,


there


would


a tendency,


particularly


on the


part


of curious


and


incompletely


socialized


children,


to notice


something


peculiar


their


midst.


Being


taped


continued


to elicit


a response


because


there


was


nothing


else


like


going


on in


any


other


social







Once


taping


first


cycle


remotivation


program


got


underway


nursing


home,


difficulties


with


observational


format


were


brought


to the


attention


researchers.


In interviews


that


were


being


conducted


school-based


fieldworker,


kids


both


within


and


outs


videotape


sample


complained


about


the


separation


three-pair


"research


group.


Three


different


rationales


were


discernible


these


objections:


first


was


fracturing


their


school


s social


order,


brought


about


what


seemed


them


the


irrational


way


which


assignment


the


research


group


had


been


made.


None


three


girls


picked


to be


"the


research


group"


were


eighth


grade


seniors;


the


exclusion


older


pals


fueled


their


graders


tendency


made


to disparage


planning


whatever


contributions


program


activities.


lower


More


importantly,


pals


who


were


selected


were


not


members


a naturally


occurring


friendship


group.


Thus


several


sets


friends


who


had


volunteered


program


were


able


to experience


participating


together.


This


obstruction


camaraderie


was


connected


second


motive


complaining:


The


separation


friends


made


work


of getting


along


with


elderly


harder;


friends


were


not


nearby


support


when


they


ran


out


things


their


guy.


The


third


objection


separation


rested


on the


perception


that


was


unfair


: By







democratize


sample:


"Why


not


study


everyone?"


But


three


girls


the


research


group


had


second


thought


about


surrendering


their


special


status.


Before


examining


depth


the


target


group


s sense


ambivalence


about


their


involvement,


will


supply


empirical


evidence


their


reactivity.


Despite


the


request


to ignore


the


equipment,


the


tapes


showed


instances


individual


pals


scowling


just


before


they


turned


their


backs


the


camera.


A peeved


expression


was


sometimes


flashed


the


operator


trained


the


camera


the


pals


who


got


from


a table


and


moved


out


frame.


Averting


also


occurred


when


the


operator,


after


panning


through


a whole


group


activity,


would


stop


the


camera


and


zoom


in on a particular


pal-guy


pair.


Another


way


subjects


disabled


surveillance


capacity


camera


was


engage


making


directly,


faces


staring


operator


right


viewing


into


them


the


. The


lens


tapes


and


contain


approximately


four


to six


instances


this


direct


engagement


per


session,


with


as many


the


end


the


cycle


taping


as at


the


beginning.


When


the


first


round


taping


had


been


completed,


researchers


found


that


the


professional


camera


they


were


using


was


deficient


audio


pickup


. This


type


professional


camera


customarily


used


a studio


setting


with


an overhead


microphone


setup.


To reduce







away


from


table


where


action


was


going


the


camera'


built-in


microphone


was


not


able


to pick


the


often


subdued


voices


guys.


The


researchers'


response


finding


that


conversational


component


their


videotapes


was


indistinct


was


to place


an audiocassette


recorder


on the


table.


Thus


kids


faced


two


modalities


recording


trained


on their


behavior--one


proximate,


one


distal.


They


replied


occasionally


this


situation


muffling


audio


recorder


with


books


or jackets;


at other


times


they


would


scream


into


the


microphone


or speak


an alphabetic


code.


When


asked


fieldworker


what


prompted


these


hijinks,


one


pal


said:


"You


can


talk


freely.


like


a prison.


You


have


to be


careful.


Another


said:


bothers


to just


see


[the


cassette


recorder]


sitting


there.


pushes


you.


You


can


't relax.


But


is not


from


scattered


incidents


innocuous


sabotage


amidst


overall


compliance


that


a case


can


made


a deep


ambivalence


towards


being


researched.


The


evidence


numerous


interviews


compiled


school-based


fieldworker


who


had


gradually


come


occupy


place


trust


and


respect


among


the


children.


formal


prime

their


and


time


informal


planning


parents,


the


interviews


sessions,


three


conducted


but


targeted


also

pals


mos


their


talked


during


homes

about


with

what







heightening


their


impact,


constituted


a very


insightful


account


the


experience


being


alternately


attracted


and


repelled


systematic


observation.


Numerous


times


the


three


girls


expressed


both


pride


and


annoyance

research


special


group.


For


status


example,


conferred

when resea


being


rchers


"the


offered


hold


a special


research


meeting

.. the t


with


hree


all


pals


members


on the


obtrusiveness


research


group


said


they


the


were


others


not


were


going


not


qualified


through


Like


talk


media


about


since


celebrities


who


cultivate


and


elude


paparazzi,


the


three


research


group


members


thrived


on and


yet


felt


encumbered


having


their


social


performances


visually


documented.


some


interviews,


three


pals


seemed


to welcome


the

the


deontic

camera


effect

created


being


a press


observed.

on them to


They


intera


admitted

ct with


that

their


guy,


but


the


same


time


they


said


they


knew


this


was


the


"right"


thing


to do.


Being


on camera,


they


told


interviewer,


also


inhibited


their


gossiping


and


"fooling


around"

operas,

They ge


slipping


roaming


fnuinely


the

share


halls,

d the


room


dallying


opinion


to watch


the


afternoon


snack


adults


soap


table).


charge


that


such


behavior


was


inappropriate,


at least


during


times


they


were


being


encouraged


to reflect


and


were


not


actually


trapped


a conversation


that


had


petered


out.







instantiate


"forever"


proof


any


maladroitness


they


might


have


exhibited


as a result


their


inexperience.


preoccupation


about


how


they


appeared


to others


extended


also


to critiquing


themselves


in the


random


occasions


when


they


got


to hear


or see


themselves.


(Self-confrontation


had


not


been


given


a place


the


original


res


earch


design.)


Once


when


they


were


playing


with


fieldworker


tape


recorder,


stopping


to hear


what


they


sounded


like,


one


girl


complained


that


her


voice


sounded


"Squeaky,


like


baby


talk


Another


girl,


on see


herself


monitor,


commented,


nose


so flat.


" (More


will


said


next


chapter


about


power


the


video


image


to induce


self-assessment.)


I earlier


guarantee


attributed


confidentiality


subjects


could


a suspicion


not


that


ironclad.


Though


they


had


been


promi


sed


that


tapes


would


destroyed


some


unspecified


time


after


researchers


stopped


coming


around,


recall


that


no offer


to disguise


their


voices


or faces


the


tapes


had


been


made


them.


At least


during


school


year,


their


private


comments


which


had


escaped


self-censorship


were


circulating


certain


locales


of the


wider


community,


audiovisual


labs,


secretarial


pools,


and


seminar


rooms.


Statements


such


know


like


him"


or "She


find


out"


were


not


completely


unreasonable


light


fact


that







The


pals'


perhaps


exaggerated


concern


about


leaks


are


important


because


the


attention


that


was


being


directed


their


program


the


researchers


presented


them


with


unique


opportunity


to criticize


the


behavior


the


adults


supervising


them.


However,


as long


they


sensed


that


their


identity


could


not


completely


shielded,


opportunity


to be candid


with


outsiders


carried


a certain


risk.


They


were


willing


to fault


some


activities


planned


the


super-


visors


as repetitious


and


boring.


Yet


they


enjoined


researchers


not


to communicate


their


negative


assessments


some


staff


behavior


fear


that


the


source


criticism


would


obvious.


There


was


another


reason


why


the


three


pals


may


have


felt


ambivalently


about


being


cynosure


rese


arch.


In addition


to constricting


behavior,


observational


format


also


had


an rescuing


effect.


Whenever


interest


the


activities


flagged,


camera


or recorder


was


always


available


momentary


engagement.


was


one


several


"save


routines


the


pals


had


recourse


to when


they


got


bored


or stuck


a conversational


deadend.


Grimacing


camera


or moving


out


range


provided


an opportunity


pause


before


coming


with


some


new


topics.


Reliance


on an


interaction


with


camera


and


operator)


may


also


explain


a sense


loyalty


regimen,


over


and


above


proprietary,


privileged


status


adduced


earlier.


Once







taping.


In particular,


there


was


a keen


curiosity


about


tapes


themselves,


a curiosity


that


was


to be


sati


sfied


during


course


research


project.


The


program


coordinators


present


the


sessions


also


communicated


to researchers,


more


guardedly


than


pals,


an interest


the


uses


to which


tapes


were


being


put.


Since


remotivation


program


was


a fir


st-time


undertaking


VA recreation


therapists


and


middle


school


teachers,


they


sought


reassurances


that


tapes


would


not


form


basis


of unfavorable


comparisons


with


their


predec


essors,


original


school


nurse/therapist


team.


The


pair


that


had


initiated


the


program


had


left


their


positions


before


start


the


new


school


year,


just


research


project


was


beginning.


The


new


coordinators


were


anxious


to duplicate


success


spring


1984


program.


They


expressed


reservations


about


their


competence


in areas


with


which


they


were


unfamiliar:


The


teachers


hospital


setting,


therapists


working


with


children.


Like


pals


the


research


group,


they


recognized


power


tapes


to document


inadequate


performance,


but


as professionals


they


were


encouraged


prospect


of greater


understanding


put


forward


research


proposal;


hence,


they


said


they


were


eager


learn


whether


ongoing


examination


tapes


had


revealed


areas


where


program


was


working


well


and


where







Accommodations


Made


the


Research


Team


the


end


first


cycle


taping,


isolation


"research


group"


a separate


taping


room


was


terminated.


Now


all


the


pal-resident


pairs


did


their


craft


projects


or played


board


games


tables


the


nursing


home


cafeteria.


The


three


target


pairs,


however,


remained


grouped


together


one


table.


At first,


there


was


a strict


prohibition


about


friends


coming


over


even


to chat,


but


this


eventually


was


relaxed


face


another


round


complaints


about


hardships


that


"stars"


have


endure.


Shortly


after


videotaping


research


group


had


been


integrated


with


the


rest


the


program,


program


coor-


dinators


approached


researchers


and


pointed


out


that


their


interactions


with


the


guys


and


pals


now


formed


part


visual


record.


The


coordinators


were


concerned


that


they


had


not


been


adequately


notified


that


their


actions


were,


willy-nilly,


going


to be


included


within


scope


the


research.


The


researchers


' response


the


charge


that


they


had


unwittingly


enlarged


frame


their


video


research


beyond


three


dyads


was


to draw


an informed


consent


agreement


coordinators.


The


purpose


this


document


was


to guarantee


them


formally


their


rights


privacy


and


confidentiality,


but


also


had


the


effect


adding


validity


their


claim


that


their


performance







Researcher


Ambivalence


There


a final


aspect


about


use


of videotape


this


project


which


should


included


before


ending


this


chapter.


I refer


researchers'


response


patterns


behaviors


they


were


covering


course


their


study.


These


data


surfaced


the


regular


staff


meetings


the


research


team


that


I started


attending


midway


through


duration


the


project.


was


not


until


after


second


cycle


of videotaping


had


been


completed


January


1985


that


the


team


received


from


ethnographer


charge


Spradleyean


analysis


a preliminary


report


on the


first


set


tapes.


This


report


confirmed


what


participant


observers


had


been


noticing


at the

several


sessions:

weeks tc


After


focus


making


considerable


exclusively


their


effort

guy,


the

the


first

pals


inside


and


outside


research


group


were


engaging


much


more


peer


socializing.


We discus


at length


knotty


epistemological


issue


whether


thi


-task


behavior


was


proof


that


pals


had


grown


accustomed,


even


indifferent,


camera


s monitoring


presence


or whether


friend


ships


had


developed


over


course


siting


and


socializing


had


become


more


important


than


complying


with


previously


agreed-upon


agenda.


The


discussions


did


not


reach


conclusion,


and


I experienced


the


first


time


how


difficult


would


be conceptually


to disengage


habituation







One


point


peripheral,


and


agreement


direct- -was


among

that


all

the


the


observers--remote,


objectives


the


program--the


delivery


remotivation


therapy


to the


elderly


--was


not


being


systematically


carried


out


during


the


twice-weekly


activities.


The


original


therapeutic


model


called


non-professional


therapists


to structure


their


visits


along


a five-stage


sequence


(Robinson,


1968).


The


purpose


demarcating


each


visit


into


stages


was


to guide


elderly


from


an appreciation


their


accomplishments


toward


an optimism


about


their


prospects.


However,


depth


good


depression


intentions


some


and


guys


sympathies


proved


their


to be


pals.


beyond


the


face


pals


' difficulties


adhering


repetitiously


the pre-sele

relinquished


cted


their


five-stage


format,


expectations


about


program


long


range


supervisors

psychologi-


cal


benefits


and


became


more


accepting


the


program


short


term


recreational


value.


Another


reasonable


explanation


why


we began


see


more


off-task


sceptical


and


behavior

impatient


was

wit


that

h the


participants


aura


had


grown


scientific


modesty


that


researchers


attached


their


work.


A usual


response,


example,


the


question


from


both


school


and


hospital


staff


members


about


when


would


share


knowledge


good


and


bad


practices


that


they


had


come


to believe


were


being


extracted


from


the


tapes


was, "


soon


as we know


what







would


not


until


after


program


was


over


that


year


that


they


might


derive


any


benefits


from


having


been


studied.


We had


agonized


our


meetings


over


whether


and


how


much


we should


bring


our


emergent


findings


to bear


modifying


aspects


remotivation


program.


The


most


seasoned


researcher


counseled


postponing


participation


policy


decisions


until


after


the


research


had


concluded.


do otherwise


would


to abandon


our


stance


scientific


neutrality.


were


supposed


to supply


our


sponsors


with


a report


about


changes


the


res


idents


which


researcher-induced


effect


were


held


to a minimum.


Otherwise,


but


the


non-studied


transferability


geriatric


our


remotivation


findings

program


to a similar


would


jeopardized


we intervened


and


tinkered


with


this


program'


life


history.


We reached


a consensus


that


our


judgment


shortfalls


program


were


emanating


from


structure


values


that


only


the


extended


analytic


phase


research


process


would


make


explicit.


short,


would


share


no insights


until


our


project


was


complete.


were


there


to study,


not


treat.


was


puzzled


the


research


team'


deci


sion


not


create


a mechanism


which


the


program


supervisors


and


pals


could


sati


sfy


their


curiosity


about


how


they


were


performing.


It seemed


the


researchers


were







long


as subjects


had


been


notified


that


the


tapes


were


being


compiled


a series


post


hoc


analyses


triangulated


with


participant


observers


' fieldnotes


and


focused


interview


transcripts)


the


researchers


believed


they


were


under


no obligation


to make


available


their


"raw"


data


any


stage


in the


study collection,


analysis,


dissemination.


They


felt


they


were


within


their


rights


so because


they


had


properly


complied


with


all


the


provisions


informed


consent


requirement.


came


see


that


would


necessary


to examine


the


origin


and


development


the


informed


consent


agreement


order


understand


sense


that


though


subj ects


had


been


protected


from


egregious


harm,


their


full


rights


as persons


were


still


in some


manner


being


infringed.


When


the


pilot


study


ended,


I decided


to delve


deeper


into


epistemological


videotape


in research.


and


I have


ethical


posed


implications


a number


using


questions


as a result


involvement


this


project.


Why


are


field


researchers


inclined


to minimize


significance


reactivity?


the


informed


consent


agreement


merely


a courtesy


extended


to subjects


secure


their


cooperation


a forceful


guarantee to


subjects


that


their


personal


dignity


will


respected?







latter,


then


what


way


does


the


informed


consent


agreement


make


subjects


the


equals


researchers


in the


research


endeavor?


To what


with


extent


opportunity


does


erecting


agreement


and


provide


modifying


subjects


conditions


under


which


their


behavior


will


studied?


Are


there


provi


sions


which


allow


subjects


renegotiate


terms


agreement


the


light


their


experience


being


studied?


In fact,


a contractual


agreement


most


suitable


model


guiding


the


researcher-subject


relationship?


there


a theoretical


model


collaborative


research which

knowledge and,


would


provide


same


both


time,


parties

humanely


with


substantive


promote


convergence


their


interests?


To what


extent


current


documentary


uses


videotape


research


preserve


and


reinforce


the


divergence


in researcher


and


subject


interests?


there


a way


to conduct


videotape


res


earch


that


builds


on rather


than


deflects


subjects'


reactivity?


Would


examination


conception


The


involving


their


of informed


remainder


subjects


practices


consent


this


more


require


and


dissertation


deeply


changing


researcher


contains


visual


our


s role?


results







a critical


review


the


proposals


put


forward


research


methodologists


a number


disciplines


dealing


with


the


threat


that


they


consider


reactivity


poses


the


Chapter


reliability


IV is


and


validity


an examination


knowledge


the


ethical


(Question


implications


these


proposals


as they


bear


on meeting


the


requirement


informed


consent


(Questions


2-5).


The


starting


point


Chapter


V is


Habermas'


theory


communicative


action


which


then


applied


to collaborative


research


designs


that


claim


to honor


subjects


' desire


to shape


the


direction


inquiry


(Questions


Chapter


VI contains


a description


two-stage


model


conducting


videotape


research


that


requires


continuous


and


close


collaboration


between


researchers


and


subjects


(Questions


8-10).












CHAPTER


DEALING


WITH


REACTIVITY


: EPISTEMOLOGICAL


ISSUES


In Chapter


an account


was


given


of a research


team


response to

audiovisual


subjects


data


' explicit


gathering


and


methods.


implicit


objections


As a member


that


team,


was


assigned


the


task


reviewing


discussions


reactivity


methodological


literature


several


social


previous


science


disciplines


researchers


had


and


grappled


reporting


with


on the


issue.


ways


The


present


chapter


is a critical


review


those


discussions.


It begins


with


definitions


the


phenomenon


drawn


from


both


experimental


and


field


research


traditions.


Next,


various


explanations


of reactivity


are


presented;


some


are


couched


language


psychology,


others


language


philosophy.


conceptualizations,


the


Following


these


nature


explanatory


threats


that


reactivity


said


pose


creation


reliable


and


valid


knowledge


are


outlined.


The


discussion


then


turns


strategies


that


methodologists


recommend


dealing


with


those


threats.


Since


this


review


intended


to be critical


as well


wide-ranging,


second


part


chapter


I will


analyze th


epistemological


assumptions


underlying


_w --







recommend.


point


out


that


in spite


their


recommendations,


a large


degree


uncertainty


still


surrounds


the


veracity


observational


research.


I end


tying


continuing


difficulty


that


reactivity


presents


researchers


' conception


research


as a di


interested,


disengaged


activity.


It is


precisely


this


model


inquiry


that


causes


reactivity


to be


construed


as a distraction


and


underlies


the


proposals


circumcumventing


through


techniques


deception


and


unmindfulness.


Definitions


Reactivity


The


most


extensive


discussions


reactivity


are


to be


found


the


methodological


literature


experimental


and


clinical


psychology.


The


reader


may


object


that


experimentalist


tradition


is an inappropriate


place


to begin


an investigation


into


problems


that


were


encountered


field


researchers.


This


objection


can


answered


several


ways.


search


discussions


subjects


' overt


and


subtle


efforts


to subvert


the


conditions


being


studied,


found


that


psychology


StS,


especially


behavioral


therapi


sts,


take


reactivity


much


more


seriously


than


writers


fieldwork


precisely because

reactivity, some


manuals.


there


seems

more


It could


to be


argued


that


an intentionality


mechanistic


assumptions


to

of


behaviorists


become


suspect


and


they


therefore


are


required







non-disruptive


form


of observation


is not


only


possible


but


eminently


desirable.


But


field


research


too,


as we shall


see,


prizes


objectivity


and


neutrality


reports


about


social


practices.


Leaving


unresolved


the


moment


the


question


whether


the


two


research


traditions


are


characterized


different


attaches

intrigued


positions


the


with


intentions


me about


regard


importance


of a reactive


experimentalists'


subject,


inve


each


what


stigation


reactivity


the


paradox


that


the


artificial


setting


laboratory


natural


subjects


settings


tend


(Baum,


to behave


Forehand,


less


Zegiob,


reactively


1979;


than


Foster


& Cone,


1980;


Kazdin,


1979;


Tunnell,


1977


laboratory,


only


a narrowly


specified


bit


of behavior


placed


under


observation;


where


field,


aspects


subjects


' performance


that


will


be studied


researchers


are


deliberately


left


vague


and


uns


pecified


both


the


outset


and


during


course


a study,


leaving


intact


occasion


anxiety


and


dis


sembling.


also


found


logical


to start


with


experimentalist


tradition


psychology


because


allegiance


to controlled


observation


procedures


takes


into


consideration


certain


fundamental


facts


about


study


of phenomena


that


have


a long


time


been


grasped


investigators


the


physical


and


life


sciences.







species


present


than


when


they


are


alone


(Zajonc,


1965).


A great


deal


the


responsiveness


humans


has


been


shown


to involve


the


involuntary


nervous


system:


The


approach


another


increases


arousal


rates


and


alters


response


frequencies


Cottrell,


1968;


Middlemist,


Knowles,


& Matter,


1976).


Laboratory


investigators


also


explicitly


acknowledge


omnipr


esence


the


uncertainty


principle


First


postulated


particle


physics,


the


uncertainty


principle


predicts


that


act


observing


a phenomenon


will


change


. Therefore


no surprise


that


methodologists


the


behavioral


sciences


commonly


define


reactivity


as virtually


synonymous


with


uncertainty


principle.


Reactivity


variable
procedure


Reactivity
the target


refers


that


occurs


. (Ciminero,


refers


behavior


assessment


the


changes


as a function


Graham,


to immediate


or target


procedure.


a dependent


measurement


1977,


& Jackson,


long-term


subj


(Haynes


ects


changes


as a function


& Wilson,


1979,


The


reactive


testing


effect


process


can


itself


expected
a stimulus


whenever t
to change


rather


than
1963,


a pas


sive


record


behavior.


(Campbell


& Stanley,


Note


that


these


definitions


attribute


no intentionality


to subjects.


construed


definitional


an intrinsic


limit


evel

that


at least,


acts


reactivity


asymptotically


to lower


the


accuracy


researcher


s measurements.


However,


when


we look


illustrations


which


accompany


__ _


I







author


numerous


studies


reactivity,


example,


points


out


that


valence--the


social


value


accorded


behavior--influences


desirable


the


sitively


direction


valenced"


reactivity.


behavior


Socially


task


completion)


whereas


tend


"negatively


increase


valenced"


under


conditions


behavior


assessment,


drug


use)


tends


to decrease.


When


contexts


which


reactivity


occurs


are


included,


subjects


ascription


researchers


a desire


Rosenthal,


to manipulate


is sometimes


labeled


1976)


experimenter.


"evaluation


impute


This


apprehension,


"demand


characteristic,


"impression


management.


Construed


either


as an evasive


or aggrandizing


action,


ascription


indicates


that


though


experimental


usually


ask


subjects


behavior,


to supply

request


only


to watch


very

even


narrow

a brie


sample


performance


regarded


subjects


as falling


within


province


social


encounter.


While


experimentalists


do acknowledge


that


laboratory


settings


human


beings


resist


having


their


performance


decontextualized


and


reduced


to a datum,


they


have


also


described


a form


of reactivity


which


subjects


carry


out


their


own


objectification.


Kazdin


1979)


asserts


that


observers


not


have


to be present


there


to be


reactive


effects.


situation


reactive


whenever








they


may


alter


their


behavior


during


any


regimen


self-monitoring.


A whole


line


laboratory


research,


conducted


on this


phenomenon


starting


the


late


1960s


and


continuing


throughout


1970s,


establi


shed


that


monitoring


one


s own


behavior


creates


reactive


effects


equal


to being


monitored


obtrusively


observers


(Bailey


& Sowder,


1970


Ciminero,


Nelson,


& Lipinski,


1977;


Danet,


1968;


din,


1974)

this


. Behavioral

phenomenon b


therapist


because


are


particularly


"self-monitoring


creates


attracted


a feedback


loop


whi


ch contributes


to self


-regulation"


(Nelson,


Lipinski,


& Black,


1975,


346).


They


have


shown


that


when


subjects


make


use


some


type


self-recording


device


(speaking


into


a audiocassette


player,


consulting


a tele-


vision


monitor,


reviewing


a videotape),


they


tend,


like


subjects


under


scrutiny


observers,


to amplify


behaviors


considered


socially


beneficial


and


suppress


behaviors


that


are


aversive


to others


and


themselves


(Haynes,


1978;


Nelson,


1977;


Nelson


& Hayes,


1981;


Nelson,


Lipinski,


chapter


& Boykin,


this


1978)


. I will


potential


return


change


final


that


present


audiovisually-as


sisted


techniques


self-monitoring.


Explanations


of Reactivity


an extensive


summative


review


studies


nubl i shed


duri na


1960S


and


1970s .


which


documentI


i i -


B


L







(1982)


concluded


that


not


a single


one


them


addressed


significance

retrospective


the


essay,


phenomenon

reached


Kazdin


a similar


(1982),


conclusion:


Reactivity
conditions
underlying
Relatively


effects


and


not


under


well
which


mechanisms


little


the


understood.


reactive


remain
known a


factors


that


Both


effects


to be


bout


dictate


the


occur


and


elaborated.


nature
their


reactive


appearance.


Thus,


though


experimental


procedures


have


been


adequate,


even


powerful,


method


proving


that


reactivity


occurs


laboratory


a function

provided


being


little


insight


erved,

t into


the


language


either


origin


or meaning


of reactivity.


a broader


and,


the


same


time,


deeper


description


what


happens


when


one


human


being


intently


studies


the


actions


another,


I had


turn


to philosophy.


One


most


penetrating


analyses


the


effect


being


observed


found


to be


writing


Briti


sh psychology


John


Shotter.


For


the


past


years


Shotter


been


public


shing


work


whose


aim


to humanize


psychology


reconceptualizing


was


at its


origins,


a specialty


within


philosophy


that


uses


empirical


observations


speculate


on the


nature


the


self.


The


school


philosophy


that


Shotter


believes


has


most


to offer


psychology


in guiding


back


towards


being


both


a rigorous


and


a speculative


discipline


phenomenology.


He draws


- a -


i I m -


-- I






non-manipulative


rationale


psychology


(See


Shotter,


1975


and


Gauld


and


Shotter,


1977


an outline


his


program.)


Shotter


first


came


attention


an essay


contributed


to Dowrick


and


Biggs'


(1983)


Using


Video,


collection


theoretical


and


technical


articles


British


and


Australian


psychologists


who


employ


videotaping


tool


therapy.


In his


contribution,


Shotter


offers


hermeneutical


account


self-confrontation.


He provides


detailed


philosophical


analysis


how


the


viewing


videotaped


images


brings


about


an increase


in understanding.


The


essay


contains


thorough


explication


the


tension


and


information


which


may


generated


whenever


human


beings


are


subject


to systematic


observation.


According


to Shotter,


phenomemo logy'


special


province


to force


our


attention


to how


meaning


arises


conjunction

relations;


inner p

attempts


rimordial


experiences


to disentangle


the


and


two,


outer


only


social

weave


skeins


back


together.


When


we assign


meaning


action,


we assert


a relation


between


ourselves,


other


social


actors,


and


the


action


we are


trying


to explain.


This


act


called


interpretation


from


interpres,


Latin


an agent


between


two


underlies


parties,


any


a broker).


interpretation


An assumption


that


some


that


correspondence


exists


between


our


mind


and


mind


the


other.


Yet


phenomenologists


deny


possibility


a direct


mind-to-







unidimensional:


Whenever


we direct


our


gaze


actions


others,


we may


intend


to perceive


primarily


their


state


mind,


but


at the


same


time


we always


experience


our


own


state


mind


with


regard


them.


This


doubling


undermines


any


simple


mind-to-mind


fit.


It is


difficult


to specify


accurately


meaning


another


s actions


because


we are


prejudiced


favor


our


own


already


specified


view


the


world.


The


intentional


nature


can


human


only


and


action


partially


self


such


specified.


incomplete


that


Our


both


because


meaning


an action


knowledge


are


world


in never-ending


formation.


No single


description


can


delimit


meaning


an action.


The


participial


case


the


word


"meaning"


alerts


us to


fact


that


meaning


a perpetual


state


becoming.


The


indeterminate


nature


meaning


implies


that


when


look


at action--in


or on videotape--we


confront


a wide


range


possible


meanings.


A myriad


interpretations


are


available


to researchers


when


they


try


to make


sense


out


their


informants


'inability


or refusal


ignore


being


observed.


Shotter,


who


uses


videotape


in a


clinical


mode,


and


therefore


cannot


overlook


either


etiology


or the


function


of his


patients


' reactivity,


provides


us with


an interpretation


observer-observed


relation


that


has


important


implications


any






Erving


Goffman,


specifically,


The


Presentation


Self


Everyday


Life


(1959).


To summarize


briefly,


Goffman


proposes


that


any


given


time


during


an interaction


occupy


one


three


roles,


each


with


own


rights


and


duties.


These


roles


are


the


first


person/performer


who


directs


expression


outward;


the


second


person/recipient


who


may


intervene


and


modify


the


intended


action


the


first


person;


the


third


person/observer


who


from


a remove


may


attend


which


the


or he


unintended


foregoes


aspects


the


an action


right


return


intervene.


we grant


that


conjugation


these


roles


which


maintains


the


coherence,


the


"grammaticality"


social


interaction,


then


we are


a position


to describe


reactivity


as a kind


solecism.


Reactivity


occurs


when


rules


governing


the


syntactical


allocation


these


roles


are


contravened


a participant


whose


silence


renders


conjugation


impossible.


This


inert


participant


the


camera.


Though


the


camera


purportedly


merely


one


instrument


grammar


the


social


observer


, a silent


interaction,


amanuensis,


positioned


impregnably


the


third


person.


It is


not


open


to negotiating


forgiveness;


doesn


t supply


instantaneous


feedback;


won't


laugh


when


a joke


cracked.


The


camera


reification


the


observer


s non-interference.







Yet,


observed


express


bring


the


observing


and


being


has


equally


observers.


observed


unintended,


When


rather


that


profound


we notice


than


the


effects


that


received,


spontaneous


on the


what


we seek


aspects


our


behavior


under


our


control.


This


task


giving


intention


unintentional


leads


us to dramatize


our


actions


before


a camera.


It i


then


we experience


transitory,


unfamiliar


sensation


artificiality


and


insincerity


about


our


conduct.


Exi


stentiali


in particular


have


dwelled


on the


condition


Sartre


being


(1956)


observed.


writes,


The


that


first


others


thing


you


you


are


notice,


an object.


This


a disconcerting


perspective,


since


object


contrast


to subjects--are


definition


empty


intentions.


Most


what


we know


about


ourselves


we have


learned


from


occupying


active


first


and


second


person


roles.


Both


them


are


context-bound;


both


involve


mutuality.


To be


exposed


continuous


gaze


an observer


to be


rendered


isolable,


server.


oneself


In such


as well


transparent,


a situation


and,


one


observer.


ultimately,


becomes


One


becomes


inert


an object


acutely


conscious


sintegrates


the p

into


performing


self


persons:


. The


A crit


first

ic now


person pe

comments


former


the


adequacy


the


player.


The


conflation


performer


and


observer


can


also


described


as a continuous


oscillation







this


fluctuation


perspectives


the


deautomatization


behavior:


our


usual


inattention


processes


over


which


we have


relinquished


conscious


control


can


longer


continue;


we are


forced


observation


to watch


our


self


act.


Self-objectification


alters


the


ecology


social


interaction.


as "the


Shotter


interlocking


(1983)

pattern


defines


right


this

s and


ecological


duties


system

terms


which


people


hold


themselves


and


one


another


responsible


their


actions


and


evaluate


each


other


and


their


own


performance"

definition.


(p.

This


208).


Note


why


the


the


present-centeredness


camera


always


this


an intruder:


continuous


replication


reality


makes


present


into


a past,


one


forever


retrievable


future


Threats


Posed


Reactivity


this


point


seem


to have


been


indicating


that


objectives


the


experimentalist


and


the


philosopher


are


distinctly


different,


implying


that


the


former


limits


himself


to devising


proofs


the


existence


and


effects


reactivity


while


latter


provides


extensive


phenomenological


analyses


intentions


that


underpin


I cited


as examples


the


self-confessed


absence


among


behavioral


researchers


a conceptual


basis


reactivity


and


contrasted


with


phenomenologists


' rich


description







to show


this


section


that


both


laboratory


and


field


methodologists


share


a common


dread:


imprecision


that


reactivity


bodees


observational


studies.


In the


following


section,


I will


argue


that


when


field


methodologists


recommend


strategies


intended


to minimize


reactivity,


they


are


operating


within


the


same


framework


distanciating,


reificatory


research


their


laboratory-bound


colleagues.


At first


glance,


the


problems


that


reactivity


raises


experimental


and


field


researchers


would


seem


to be


quite


different.


their


review


previous


writings


subject,


Foster


and


Cone


(1980)


summarize


the


concern


experimentalists,


using,


as might


expected,


quasi-mathematical


formulation


: "the


problem


with


reactivity


that


highly


variable"


316).


Reactivity


problematic


an experiment


because


independent


variable


observation


does


not


remain


constant


within


across


treatment


conditions


subjects


react


differently


being


observed;


some


are


inhibited


while


others


are


stimulated


presence


an observer.


This


differential


response


enlarges


the


within-group


variance,


that


unexplained


variance


or error


. Thus,


reactivity


an obstacle


to consi


stent


and


therefore


accurate


measurement.


Foster


and


Cone


discuss


additional


challenges


that


reactivity


poses


to epistemological


certainty.


The







They


categorize


several


sets


factors


present


research


situation


that


have


the


potential


to induce


reactive


effects.


One


include


demographic


characteristics


the


participants,


both


subjects


and


researchers.


Such


characteristics


age,


race,


sex,


and


social


standing


have


an effect


on how


both


parties


will


view


each


other


during


an inquiry.


The


consequences


the


researcher-subject


matchup


are


not


at all


easy


to predict


advance

certain:


or control


There


in progress


no way


. One


to eliminate


point,

e these


however,

personal


attributes.


Another


question


being


factors


involves


investigated:


the


the

set


substantive


behaviors


selected


study


one


that


subjects


are


likely


to magnify


or conceal


What


a prior


considerations


determine


the


range


and


significance


the


targeted


behaviors?


What


expectations


both


parties


entertain


about


investigation


and


outcome?


A third


source


uncertainty


stems


from


the


temporal-spatial


framework


the


inquiry.


How


long


should


regimen


observation


last


How


much


does


reactivity


decline


over


time?


How


could


disappearance


altogether


confirmed?


Are


subjects'


self-conscious


responses


confined


the


research


site


or are


they


carrying


over


into


non-research


environment?


How


does


one


distinguish


between







The


crux


the


issue


not


whether


but


to what


extent


behavior


people


that


stemologica


change


reactivity

1 question


a result


provokes

is as tr


being


atypical?


oubling


observed.


This

an ethnography


an experiment.


In both


kinds


studies,


as we


shall


see,


reactivity


construed


as a threat


to validity.


Kazdin


1982)


very


clear


this


point;


claims


study


s validity


depends


on the


representativeness


data.


Reactive


effect


interfere


with


drawing


valid


inferences.


decreases
research


reactivity


in performance,


settings


are


not


prompts


generalizations


valid.


(pp.


increases


non-


11-12)


With


their


emphasis


on careful


measurement


group


differences,


behavioral


methodologists


regard


reactive


effects


as seriously


compromi


sing


explanatory


power


their


experimental


designs.


Unnoticed
recording


that,
inves


or uncontrolled


can


at best,
tigator's


uninterpretable


introduce
introduce


data,


and,


features


sources


variability
at worst,


or misleading.


(Kent


observational


error


into


and


bias


the


render


& Foster,


1977,


280)


Quasi-mathematical


terms


such


"error"


and


"bias"


sense


systematic


mismeasurement)


are


not


normally


part


the


speaking


vocabulary


about


that


field


validity


researchers


their


studies.


use

Yet


when

both


research


feature


paradigms


their


value


samples,


representativeness


experimental


as an important


order


. If







Like


their


colleagues


laboratory,


field


methodologists


regard


reactivity


as a distortion


reality,


one


that


can


be be rectified


techniques


that


minimize


researcher


s presence.


An example


this


intense


desire


to be


able


to look


and


yet


not


seen


looking


can


found


Kenneth


Stoddart


(1986)


recent


review


the


state


ethnographer


s art,


which


claims


that


the


distortions


caused


observation


are


"inconsequential


writing


adequate


ethnographies"


112).


Stoddart


refers


the


field


researcher


s quandary


"the


problem


presence.


How,


short


actually


not


capture


being t
a domain


here,


can


the


exists


ethnographer
independently


his


or her


presence?


106)


The


sees


the


invisible
without


natural


researcher


being


field


observed


without


the
and


ideal


researcher


consequently


tainting


(pp.


who


captures
108-09)


[Ethnographers]


seek
their


o preserve
research


both


presume


this


it in carrying
endeavors. (p.


natural


out
119;


state


and


and reporting
underlining added).


In manuals


of fieldwork


Goetz


& LeComte,


1982)


novice


researcher


are


commonly


told


that


their


presence


causes


subjects


a study


assume


and


convey


unrepresentative


and


inauthetic


images


themselves.


The


so-called


observer


effect


may


lead


participants,


deliberately


misleading


or unconsciously,


data.


to supply


false


109)


In the


initial


dissemble,


what
1, a- %


they


stages


present


think


the


an ide


research,
al self,


researchers


informant
or tell re


should,


s may
searchers


or want


*A A J 1


<"l ^ A \







example,


into


talks


life


"infiltration"


a group"


and


16).


"inveigl[ing]


Other


one


researchers


s way


take


their


subjects


' posturing


as evidence


that


that


researcher


-subject


relationship


basically


adversarial,


one


marked


mutual


concealment


and


distrust.


It is
deals
good
even


taken
with,
reason


expecting
expects o


for granted
perhaps all


to hide
them.


trust


their


from
Instea


return,


to suspect


that


many


people


others
d of t


one


him.


some


what


e people
extent,


they


rusting


suspects
(Douglas,


are


people
others
1976,


one


have


doing
and
and
p. 55


Douglas


claims


that


subjects


use


same


techniques


shielding


themselves


as researchers


use


penetrating


defenses


: misinformation,


evasiveness,


and


misrepresentation.


Technique


Dealing


with


Reactivity


The


difference


between


the


advice


offered


laboratory


and


field


methodologists


addressing


reactivity


is not


one


more


kind


but


explicit.


degree.


They


are


The


less


experimentalist


uncomfortable


are


with


simply


notion


exercising


control


over


subjects


because


basic


their


notion


their


what


inquiries


confers


validity


generate


idea


kind


that


knowledge


lowest


possible


number


explanations


should


assigned


display


of a behavior


Foster


and


Cone


1980)


categorize


into


three


FC. -- a....ae'F, a w


~J~ yl AllA


l, l 1 1.1 a


and


A*IC *r _


ik~C


1I~Y~


n









These


strategies


are


habituation--postponing


data


collection


until


the


reactivity


that


accompanies


the


initiation


study


gradually


declines


as subjects


accommodate


themselves


(become


desensitized)


the


presence


observers;


unobtrusiveness--making


data


collection


less


obvious


through


use


remote


or covert


means


observation


cameras


"bugs,


" and


one-way


mirrors);


manipulation--


withholding


or falsifying


information


about


actual


focus


the


research.


These


three


strategies


have


common


maintaining


a strict


separation


between


the


researcher


and


the


subject


studied


situation.


The


language


experimentalism


counsels


keeping


distance:


"The


observer


should


become


as neutral


a stimulus


as po


ssible


minimizing


interaction


between


server


and


observed"


(Nelson,


Lipinski,


& Black,


1975,


. 345).


contrast,


field


research


said


to be


marked


encouragement


many


levels


contact.


Michael


Agar


(1985),


example,


insists


that


hypothe


the


ses


wrong


intense


, measurement,


guidelines.


personal


traditional


style
making


to meet


involvement,


scientific


situations


control,


not


samples,


and


. Ethnography


instruments


are


requires


an abandonment


an improvisational
the researcher's


. (p.


Yet


fact


remain


that


field


researchers


* a a


*


* -


*


*


q q


q


ii







learning


about


how


group


functions.


Rare


social


group

When


that

the s


invites


scientists


social s

arrive,


scientists


they


to study


bring


scrutinizi


workings.

.ng eyes,


their


own


and


sometimes


mechanical


ones


as well.


It is


those


eyes,

that


searching


sense


patterns,


of hollowness


that


that

was


create


described


an individual


Sartre


(1956)


: Under


the


gaze


an other,


one


becomes


object--all


surface,


no interior.


Thus,


even


though


ethnographers


not


conduct


their


observations


laboratory,


long


their


business


ass


ign


significance


actions


certain


human


beings


edification


a third,


absent


group


human


beings,


their


watching


will


engender


reactive


responses.


In order


to defuse


reactivity


and


move


on to


sphere


behavior


that


drew


the


researcher


setting


first


place,


fieldwork


methodologists,


like


their


experimentalist


colleagues,


recommend


cultivating


techniques


that


render


the


researcher


impact


less


noticeable.


One


aid


in executing


this


feat


duration.


Enough time
visible--and


normal


LeComte,


the


hence


flow


1982,


field


can


make


non-reactive


activities


res


--in


can


resume


earcher


setting
. (Goetz


less
so that


224)


The


longer


disturbing


the


stay,


researcher


mirror


what


stay,
effect


more


who


without


goes


on.


the


likely


observes


being
(Holy,


seen
1984,


s/he


argued, the
ethnographer


less


The


is to resemble


a situation


and


thus


through


without


longer


the


a one-way


disturbing







Stoddart


reactivity


fieldwork


(1986),


"the


accounts


cited


problem


which


earlier


his


presence,


contain


description


" reviewed


a number


discussions


ways


that


ethnographers


have


gone


about


"looking


without


being


noticed.


groups


the


strategies


that


they


reported


into


two


broad


categories:


disattending


and


misrepresenting.


distinguishes


marked


four


variants


an "erosion


disattending,


visibility"


(pp.


all


-111).


them


This


fading


from


sight


accomplished


either


becoming


integrated


into


the


setting


through


such


techniques


establishing


friendships


or by


mimicking


the


characteristics


an average


group


member.


misrepresentation,


Stoddart


reports


that


two


forms


have


been


practiced:


Either


the


ethnographers


mask


their


research


interest


or they


mask


their


identity


entirely.


The


Pursuit


Invisibility


are


now


turning


point


the


discussion


techniques


that


have


been


recommended


reducing


epistemological


uncertainty


observational


research.


have


shown


that


two


major


research


traditions


social


science --the


experimental


and


the


naturalistic--


display a

to direct


similar

attention


discomfort


the


with


the


research


tendency


process


itself.


subjects

The


ra anrn n an r


+ I a r i Sn -


hoon


rrf en4


fnrih


hn>4"


ae an


T


I* Y







steps


which


practitioners


might


approach


this


ideal.


However,


once


we enter


area


practical


advice


cultivating

exclusively


invi


ep:


sibility,


istemologica


we are

l1 issue


no longer

s. The c


dealing


choice


with

what


methods


logistical


use


deci


answer


sion;


our


questions


is an ethical


not


deci


sion


simply


as well.


To quote


Michael


Scriven


(1986),


"methodology


is a normative


subject"


. In


choosing


observational


formats


that


attempt


to keep


research


activity


margins


subjects'


consciousness,


we are


expressing


an attitude


about


our


own--and


also


our


subjects' --capacity


willingness


engage


dialogue.


Engaging


subjects


a conversation


about


our


research


methods


goals


tructed


continued


dominance


positivism


in educational


research


Howe,


1985).


Though


non-experimental


modes


inquiry


such


as ethnography


have


become


common,


they


are


utilized


as an alternative


route


positivist


goal


ascertaining


unequivocal


knowledge


about


a reality


that


independently


observers.


Smith

have


and

been


Heshusius


improperly


1986)

press


claim

d into


that


qualitative


service


approaches


itivist


agenda.


The principal c
for qualitative
to claim the sa


available t
assumptions
*h1h sffCr-l-


concern


now


inquiry


me


that


objectivity


o quantitative


and


how
will
and


inquiry.


preoccupation


i-trmntfnr nn-


with


to generate


allow


this


certitude
This di


techniques


methods
approach
presumably


sregard


have


i nflr1i r


of
had


4 nr4-r


I


mir a 1 +-a4- ,7--


SIl







The


chief


criterion


which


a qualitative


inquiry


judged


to be rigorously


scientific


whether


interpretation


off


ers


objectively


verifiable.


Miles


and


Huberman


1984a)


Qualitative


Data


Analysis


cookbook


researchers'

by empirical


techniques


explanations


assessing


are


evidence.


whether


"saturated"


need


to be confident


field


confirmed

that


another


researcher


facing


data


would


reach


a conclusion


which


fall


the


same


general


'truth


space


'" (Miles


Huberman,


1984b,


22).


In addition,


realism


positivism--the


view


that


certain


"facts"


are


immanent


and


immutable--creates


researchers


press


not


to di


sturb


the


interaction


patterns


that


were


operating


prior


their


arrival.


[Participation]
the object of t


makes


problematic


research


exists


belief


in an external


that


world


the


that,


has


same


like


sense


any


knowable


other


the object
object of


characteristics


any


scientific


that


must


not


science


does


and


inquiry,


be di


sturbed


the


process


of observation.


Holy,


1984,


There


danger


that


the results


will


not


representative


and


his


alter


actions


flow


natural


are


events


a foreign


events.


because


influence


(Diener


the


that


& Crandall,


observer


might
1978,


123)


Another


ontological


distinction


positivism--the


separation


the


knower


from


the


to-be-known


--provides


basis


cultivation


objectivity.


Objectivity,


Charles


Taylor


(1985)


pointed


out,


represents


an effort


j.- --- 9 --


__ _


_ --* __ J


r I


,.., L ,,,,,,,







ascertaining


truths


that


beyond


human


fabrication.


order


carry


out


task


charting


structure


these


fundamental


laws,


positivism


requires


that


kinds


questions


means

and c


asks


transcending


concentrating


decontextuali


zed,


must


"de-anthropomorphized"


site-specific,


contradictory


instead on formulating

nomothetic propositions


. This


narratives


universalistic,

. Transcendent


categories


abstracting


knowledge


and


are


objectifying


attainable


persons


only


and


through


situations.


The


chief


ramification


researchers


of a positivist


ontology


that


reinforce


the


tendency


to focus


abstract


issues


their


discipline:


refining


confirming


theory


and


extrapolating


local


findings


predictive


generalizations.


In defining


as valid


and


legitimate


only


that


knowledge


which


available


to and


consonant


with


an objectifying


point


of view,


researchers


find


their


justification


resisting


subjects


efforts


socialize


study


process


and


make


relevant


and


meaningful


their


present


circumstances.


One


final


comment


about


the


influence


positivism


field


res


earch


the


reduction


subjects


' understandings


status


encourage


data.


fieldworkers


Research


to solicit


manuals


from


definitely


participants


conceptual


categories


that


guide


their


actions


(Bogdan


Biklin,


1982;


Wax,


1971).


But


in reporting


to colleagues,







situation


the


one


time


and


again


advanced


over


one


those


researched"


(Rist,


1981,


271).


Persons


make


no direct


contributions


propositions


inquiry
asking a
inquiry.


that


all


md subje
(Heron,


one


purport
-sided.


icts


to be
The


' actions


about


them.


researcher


alone


are


the


. The


does


focus


the
the


1981,


Summary


point


bringing


together


statements


about


experimental


and


natural


stic


method


research


been


to indicate


their


surprising


similarity


with


regard


reactivity.


Both


traditions


regard


resistance


subjects


their


to being


primary


studied


task:


as distracting


creation


scientists


objectively


from


arrived-at


and


objectively


strategies


verifiable

minimizing


forms


reactivity


knowledge.


that


Both


reinforce


propose


and


the


same


time


shield


the


researcher


position


as an


onlooker.


The


retreat


into


invisibility


leaves


wake


an ethical


question:


Does


the


researcher


s disembodiment


subvert


the


guarantee


to respect


subjects


' personhood?


next


communicative


chapter


and


this


ethical


dissertation


dimensions


I will


the


examine


researcher-


subject


relationship


as it


has


come


to be


codified


the


doctrine


current


"informed


conception


consent.


informed


I will


consent


argue


is the


that


ethical


correlate


voyeuristic


research:


The


contractual












CHAPTER


DEALING


WITH


REACTIVITY


: ETHICAL


ISSUES


boundary


between


epistemological


ethical


issues


research


no means


a firm


one.


All


researchers


studying


human


behavior


face


a similar


dilemma:


can


they


simultaneously


accurate


and


fair?


The


interpenetration


these


two


values--veri


similitude


and


propriety--is


especially


pronounced


research


that


attempts


deemphasize


unnaturalness


systematically


observing


people.


researchers


this

who


chapter

claim t


I examine


hat


the


positioning


ethical


position


themselves


periphery


of subjects


' awareness


is absolutely


essential


describing


human


action


without


distortion.


previous


chapter,


the


problems


that


reactivity


poses


to epistemological


certainly


were


presented.


The


fact


that


subjects


respond


unpredictable


ways


to being


observed


troubles


researchers


loyal


positivist


goal


generating


explanatory


generalizations


that


are


transferable


and


verifiable.


In order


to reduce


subject


reactivity


from


confounding


search


underlying


constants,


researchers


employ


methods


that


disguise


the


actuality


research


undertaking.


This


approach


research,


one


dedicated


to ascertaining the


foundations







obtrusive


observer,


more


reactive


the


subject;


then,


less


obtrusive


observer,


less


reactive


subj


ect.


The


locus


classics


techniques


"meant


to be


carried


without


awareness


or even


cooperation


research


subject


" (p.


145)


Webb,


Campbell,


Schwartz,


Sechrest


1966)


Unobtrusive


Measures:


Nonreactive


Research


Social


Sciences.


The


techniques


reported


first


edition


were


devised


largely


projects


funded


. S.


Navy;


book


was


dedicated


memory


Francis


Galton,


founder


psychometrics.


When


a second


edition


was


published


1981,


the


authors


changed


title


to Nonreactive


Measures


the


Social


Sciences.


preface,


they


explain


change


grounds


that


intervening


years


concern


researchers


has


shifted


away


from


keeping


themselves


unobtrusive


and


more


toward


keeping


this


subjects


change


nonreactive


emphasis


(p.

the


ix) .


An additional


inclusion


a new


signal

chapter


(the


shortest


the


book)


on the


ethics


nonreactive


measures.


Changing


conceptions


"correct"


research


the


dual


sense


valid


and


proper)


theme


thi


chapter.


The


publication


Unobtrusive


Measures


1966


marked


the


apogee


in researchers'


efforts


to shield


their


inquiry


from


the


awareness


subjects.


The


use


hidden


cameras


and


one-way


mirrors


laboratories


and







were


never


again


so fully


sanctioned.


What


happened


between


1966


1981?


Were


rights


of researchers


reduced


expense


of enlarging


rights


subjects?


No doubt


chief


vehicle


that


effected


transfer


of rights


subjects


was


federal


legis


lation


making


the


soliciting


informed


consent


mandatory


government-funded


research


Webb


et al.,


1981,


this


chapter


will


examine


historical


and


philosophical


feature


this


attempted


transformation


res


earcher-subi ect


relationship.


The


discus


sion


organic


following


order:


First,


a brief


historical


sketch


given,


showing


evolution


the


current


concept


informed


consent.


Next


each


rights


and


responsibilities


specified


informed


consent


spelled


out.


The


scussion


then


turns


dilemma


that


thi


ethical


consent,


requirement


mandating


creates


researchers


explicitness,


: Informed


exacerbates


problem


reactivity.


The


reader


is next


through


a series


arguments


that


have


been


successfully


advanced


exempting


certain


forms


"low-risk"


research


from


the


full-disclosure


component


of informed


consent.


In keeping


with


stated


objective


that


these


methodological


positions


are


to be examined


critically,


counter


arguments


are


presented


to support


the


contention


that


the


attenuation


researcher


s obligation


to communicate


fully


with







I conclude


the


chapter


presenting


the


case


that


reactivity


will


always


considered


a liability


research


whose


aim


the


postulation


universal


principles.


A Brief


History


the


Informed


Consent


Requirement


That


consent


antecedentally


from


has


to be obtained


subjects


before


formally


they


and


participate


res


earch


was


first


stated


clearly


Nuremberg


Code


(1946),


derived


from


judicial


summary


made


the


trial


Nazi


against


physicians


humanity.


who


It has


had


since


been


indicted


served


the


crimes


model


subsequent


contractual


arrangements


between


researchers


and


subjects


The


voluntary


absolutely


ess


consent
ential.


the


This


human


means


subject
that the


person


involved
consent;


free


should
should


power


any


reaching
straint


have


legal


capacity


so situated


choice


element


any


without


force,


other


or coercion;


deceit,


ulterior


and


should


to give


to exercise
intervention


duress,


form


have


over-


con-


suffi-


cient
ments
enable


knowledge


the


him


enlightened


and


subject


to make


decision.


comprehension


matter


ele-


involved


an understanding


(cited


and


Burgess,


1985,


149)


The


first


application


these


principles


to a research


setting


the


the


Clinical


United


Center


States


the


occurred


National


with


Institute


opening


Health


(NIH)


1953


(Webb


et al.,


1981,


. 159).


The


NIH


policy


-3 .1- -


--91-1-3


_ S


1-


1 _?


_-- __ _


r







should


be disclosed


to subjects


. Within


the


next


decade,


this


formalized


structure


of on-site


institutional


review


boards


(IRBs)


was


extended


to non-govermental


facilities


wherever


government-sponsored


biomedical


research


was


to be


carried

funded


out.

unless


Since

the


1966,

propose


no biomedical r

d investigation


research


has


been


been


subject


prior


review


colleagues


assure


an independent


determination


following:


protection


subjects


rights


obtain


and


welfare,


informed


appropriateness


consent,


and


method


instruction


used


nature


risks


and


potential


benefits.


In 1971


these


regulations,


which


had


been


codified


biomedical


research


United


States


Public


Health


Service,


were


adopted


toto


the


United


States


Department


Health,


Education


and


Welfare


(HEW)


and


became


applicable


social


science


research


sponsored


that


agency.


efforts


The


decade


on the


part


1970s


of social


was


marked


scienti


strenuous


to extricate


their


work


from


these


federal


requirements.


To little


avail.


Under


leadership


redoubtable


Secretary,


Caspar


Weinberger,


HEW


rejected


arguments


that


sought


distinguish


mild,


temporary


comfort


psycho


-social


inquiries


from


the


life-altering


interventions


medicine.


In two


additions


made


Federal


Register


1974


and







1975,


HEW


asserted


that


a single


policy


protection


human


subjects


avoided


arbitrary


distinctions


between


disciplines


and


had


the


effect


of underscoring


the


interaction


biological


and


behavioral


variables


the


study


of human


beings.


At HEW'


direction,


a National


Commission


the


Protection


Human


Subjects


Biomedical


and


Behavioral


Research


was


established


1974.


After


holding


a number


hearings,


issued


recommendations


The


Belmont


Report:


Ethical


Principles


and


Guideline


Protection


Human


Subjects


of Research


1978).


The


Report


recommended


conduct


that


towards


three p

subjects


principles

: respect


govern


persons,


researcher


beneficience,


and


justice.


The


first


principle


comprises


obligation


to provide


subjects


with


complete


information


about


nature


research;


guarantees


their


right


withdraw


any


time


without


penalty


their


right


to be


apprised


researchers


benefit


findings.


to state

also re


quires


The

risks


second p

involved


principle


and


a strategy


obliges


anticipated


dealing


with


unanticipated


consequences.


The


third


principle


assures


subjects


the


nonviolation


their


rights


to privacy


and


confidentiality.


the


wake


these


recommendations,


leading


professional


organizations


academic


researchers,







such


as the


American


Psychological


Association,


American


Sociological


Association,


and


the


American


Anthropological


Association,


whom


had


drafted


ethical


guidelines


start


decade


when


the


first


press


governmental


supervision


had


begun,


were


forced


to revise


their


ethical


codes


as the


decade


drew


to a close.


Thus


researchers


were


now


obliged


try


and


satisfy


the m

their


oral


compunctions


governmental


funding


three different

source, their


constituencies--

professional


colleagues,


and


their


wary


subjects.


Needless


say,


number


laboratory


field


researchers


strenuous


objected


this


increase


required


pre-approval.


The


issue


legal


precedents


that


link


the


right


subjects


their


status


as persons


will


examined


separate


section.


remainder


this


section


will


briefly


review


some


objections


that


researchers


have


raised


to governmental


regulation


and


professional


codes


ethics


The


original


purpose


federal


government


mandating


(1981)


mechanism


to permit


was,


researchers


according


remain


to Webb


sensitive


et al.


to what


ethically


acceptable


their


local


communities


155).


" In theory,


IRBs


are


communities
conducted,


cnr'i ^i7


expected


to be representative


which


acting


research


as surrogate


( Pnmrnn1 tic


being
e host


11,n \


1Q Fi9







In practice,


they


include


as members


other


professionals--


most


commonly,


lawyers--who


are


not


part


research


institution.


Two


quite


different


perceptions


exist


about


the


restraints


that


IRBs


exercise


over


researchers.


One,


represented


Reynolds


(1982),


that


governmental


regulation


was


required


because


the


ethical


codes


biomedical


and


behavioral


disciplines


did


not


exercise


adequate


The


supervision


development


review o
dramatic


f research
evidence


over


conduct


federal


with


researchers.


procedure


human


failure


prior


participants


associations


to convince


public


that


either


their


members


are
ass


to be


ociations


trusted


are


individuals


to be


trusted


or that


to control


the


them.


103).


Another


view,


exemplified


Tropp


(1982),


that


IRBs,


not


the


federal


government,


have


stymied


innovative


research


with


human


subjects


on the


grounds


that


a possible


controversy


both


would


local


jeopardize


and


the


collegial


standing


community.


institution


Intended


initially


to act


as a fiduciary


agency


guarding


the


rights


subjects,


IRBs


now


serve


chiefly


to protect


reputation


the


research


institution.


IRBs


have


order


apparently


impose


methodology


embarrassment
institution,


their


abused


their


notion


on investigators,


and
and


legal


threat


to achieve


good


scretion in
scientific


to avoid


their


political


ends.


411)


The


chief


criticism


leveled


at professional


codes






have


apparatus.


weak


enforcement


While


they


and


appear


sanctioning


to protect


rese


and


arched,
status


they


more


prof


to confer


session


. (Punc


respectability
h, 1986, p. 8)


Other


writers


, Reynolds


, 198


find


ethical


codes


"useful


extreme


or trivial


cases


which


solutions


are


obvious"


xiii)


Like


Punch,


he claims


offer


little


guidance


resolving


specific


ethical


dilemmas


preci


sely


because


eir


general


language


leaves


individual


researchers


free


judge


moral


appropriateness


their


activity.


There


is obviously


a good


deal


of disagreement


about


use


fulness


and


relevance


of ethical


codes


and


IRBs


helping


researchers


decide


whether


particular


methods


they


choose


to employ


fully


respect


rights


subjects.


To perceive


directly


what


parameters


the


researcher


-subject


relationship


are,


we have


to examine


components


informed


consent


agreement


itself


The


Rights of
Informed


Persons
Consent


Embodied i
Agreement


Defining


right


serves


a dual


purpo


se:


One


restrain


their


infringement;


other


assure


their


observance


Prohibiting


and


guaranteeing


clearly


obverse


relation;


yet


does


not


prevent


ethici


from


speaking


"negative


and


itive


rights


" (Reynolds,


1982,


For


example,


Reynolds


' p.


distinguishes







negative


ones:


the


right


not


to be


deceived,


right


not


to be


harmed


physically


or psychologically,


right


not


have


one


s privacy


invaded


or one


s confidentiality


betrayed.


Thus,


way


a researcher


shows


respect


the


personhood


subjects


to obey


a set


prohibitions.


Webb


et al.


(1981,


152)


also


caution


the


researcher


not


to do


anything


that


would


infringe


capacity


subjects


to act


as autonomous


decision-makers


or would


diminish


dignity


and


uniqueness


a fellow


human


being.


This


exhortation


to avoid


acts


which


not


respect


subj ects


' personhood


predicated


on an exclusively


modern,


Occidental--specifically


capitalist--


conception:


person


an individual


who


owns


the


rights


to her


or his


autonomy.


Therefore,


according


to Reynolds


1982),


a person


may


transfer


or relinquish


his


or her


rights


to gain


some


end


113).


The


action


that


transfers


these


rights


consent.


The


primary


importance as
determination


informed


a mechanism


individuals


consent


respecting


foregoing


the


self-


rights.


Thus


informed


consent,


though


popularly


thought


guaranteeing


certain


inalienable


right


, has


practice


been


construed


as something


considerably


narrower,


namely,


notice


that


subjects


are


mortgaging


some


their


rights


a joint


venture


expected


to yield


new


knowledge.


ink~~~~~1 -*Y a .-a .aA.A


L Al


S.- &. A. a-a


'- a aZ a


* S


m%.,


IlrL


s&.t







Informed


consent


gives


probabilities


they


may


Diener


choose


subj ects


and


freely


& Crandall,


enough


magnitude


whether


information


of risks


to part;


icipate


that
or not.


1978,


Exactly


what


sorts


information


are


to be exchanged


within


exchange


legal

e can


framework


be specified,


informed

four co


consent?


nditions


Even

have


before

to be


present


to meet


test


that


researcher


s soliciting


subjects


temporarily


forego


their


full


autonomy


does


not


violate


central


ethical


mandate


respect


persons.


The


presence


these


conditions


guarantees


that


decision


criteria


to participate


judging


unforced;


whether


they


individual


provide


actually


capable


of giving


consent.


In short,


they


define


what


means


to be


a person


. According


to Reynolds


1982),


subject


must


have


capacity


to make


a rational,


mature


j judgment


freedom


from


coercion


or undue


influence;


information


about


what


is to


occur;


and


comprehension


possible


effects"


These


four


conditions


the


boundaries


researcher-subj ect


relationship.


will


show


Chapter


to what


extent


they


are


coterminous


with


Habermas


conception


communicative


action.)


They


have


been


aptly


summarized


a recent


handbook


the


ethics


research


psychology.


The


focus


rights


is currently


on respecting


to self-determination


and


participants


autonomy


ensuring


that


research


na ri I i cn.i na n


WR~


snt psry


it-n







The

comprise

States D


most


recent


informed


department


formulation


consent


Health


to be


and


the

found


Human


element s


the


Services


that


United

(DHHS)


guideline


published


the


Federal


Register,


January


1981


: 8,


-90).


These


guidelines


accompanied


new


regulations


expediting


prior


review


procedures


certain


types


"low


-risk"


research.


(The


arguments


made


behalf


these


modifications


will


be presented


the


next


section.

subjects


In seeking

researchers


the

must


informed

furnish


consent


at a minimum


their

m the


following


information:


An explanation


the


project


s purpose,


the


expected


duration


the


subject


s participation,


and


description


the


procedures


to be


used;


A description


any


foreseeable


risk


or discomfort;


A description


any


expected


benefit;


A statement


describing


how


the


confidentiality


records


will


maintained;


An explanation


whom


to contact


answers


about


research


and


the


research


subjects


' rights;


and


A statement


that


participation


voluntary,


refusal


to participate


incurs


no penalty,


and


withdrawal


any


time


permit


ssible.


These


six


provisions


assign


basically


two


responsibilities


to researchers:


They


must


respect


subjects







objectives


in advance.


What


it about


these


requirements


that


made


social


scientists


lobby


successfully


their


modification?


Modifying


Informed


Consent


Requirement


Low


sk Research


Additional


sections


revis


1981


DHHS


Guidelines


Federal


Register,


16),


January


1981


: 8,386-88)


exempted


broad


categories


social


res


earch


from


the


full


committee


government


procedures


reversed


required


previous


biomedical


position


research.


that


research


with


human


subjects


required


strict


informed


consent


guarantees


and


accepted


instead


the


arguments


social


science


professions


that


research


activity


exposes


subjects


defined


to "minimal


1981


Guidelines


This


as one


condition


"where


investigator


does


not


manipulate


subjects


' behavior


and


research


will


not


involve


stress"


392).


Thus,


full


consent


subj ects


in all


federally


sponsored


experimental


research


conducted


educational


settings,


as well


as all


nonexperimental


research


surveys/interview


, psychometric


testing,


archives,


direct


observation)


no longer


mandatory


(Gray,


1982).


All


same,


local


IRBs


may


still


require


procedure


order


to show


"institutional


'willingness


to afford


human


research


subjects


protections


nnrq


a rln I -an a 4 -


imrn n1 i 4rn-4


: a,
'9 I a^t..N


*"^ .*


_ ___ ,


I 1%1


irl


~~^^ l- T







The


biomedical


successful


research


separation


was


social


achieved


research


employing


from


a set


distinctions


which


was


then


used


to justify


waiver


informed


consent


on the


grounds


that


social


research


harmless.


Minimal


risk


was


said


to derive


from


inconsequentiality


social


research.


Consider


the


following


dichotomy


presented


to DHHS


National


Commission


Protection


Human


Subjects


Biomedical


and


Behavioral


Research


when


the


process


revising


federal


guidelines


was


going


(1976-1981)


Biomedical


Social


Subject
Setting
Intervention
Benefit


individuals
laboratory
active manipulation
immediate physical
improvement


aggregates
field


passive
gradual


collection
enlargement
self-knowledge


Harm


permanent
(Adapted


damage


from


temporary


Patullo,


1982,


discomfort


378)


Writers


who


support


the


modification


full


informed


consent


requirement


Diener


& Crandall,


1978;


Reynolds,


1982;


Webb


et al.,


1981)


claim


that


unit


analysis


social


res


earch


always


an aggregate


individuals,


specious


some


because


identifiable


the


group.


concept


This


sample,


first


even


dichotomy


where


selection


assignment


random,


presupposes


that


the


individuals


studied


share


membership


some


existing


population


(all


arthritis


sufferers,


14-year


old


males


with


acne),


and


is to


this


group


that


findings


will


nonnnr1 4 PA







These


writers


impute


a further


difference


between


naturally


occurring,


self-selected


group


and


one


assembled


logic


of experimentation.


Whereas


latter


compri


ses


simply


a set


"natural


persons,


" the


former


functioning


collectivityy"


(Reynolds,


1982,


140).


Because


rights


a collectivity


e.g.,


s second


grade


classroom,


regulars


the


Bull


& Brush


pub)


are


less


specified


within


our


legal


system


than


those


person,


model


informed


consent


may


be difficult


implement


or may


inappropriate


protecting


participants


' rights


" (Diener


& Crandall,


1978,


51).


This


argument


reverse


previous


one


about


the


group


being


unit


analysis


social


research,


is equally


specious


SResearchers


may


interest


in a


group


s patterns


of behavior,


but


data


will


always


drawn


from


performances


distinct


individuals


acting


harmony


or conflict


with


one


another.


The


argument


exempting


social


science


from


full


closure


extend


claim


unspecifiability


from


right


naturally


occurring


groups


the


and


benefits


they


face.


Two


reasons


are


given


the


indeterminate


nature


the


risks


and


benefits


social


research.


One


the


now


familiar


limitation


on certain


knowledge


posed


variability.


Predicting


consequences


difficult


because


"what


one


person


may


find


frightening


and







novel"


cause


(Keith-Spiegel


imprecision


& Koocher,


1985,


relativity


398).

the v


The


other


values


risk


benefit.


Such


concepts


are


embedded


society'


value


system,


the


constituting


which


always


"debatable


and


contestable


" (MacIntyre,


1982,


179).


Many


factors


involved


are


thought


to be


intangible.


In most


both


social


risk


limited


judgments


res


harm


a lack


. (Bower


& de


earch,
and c


however,


the


potential


knowledge
Gasparis,


on which


assessment


benefits


to base


Obviously,


though


, judgments


are


made.


The


scale


most


commonly


used


to weigh


risks


against


benefits


a form


utilitarian


analysis


called


"consequentialism"


(Dworkin,


1982,


246).


The


product


this


analysis


most


frequently


expressed


as a ratio:


After


estimating


the


total


risks


benefits


that


may


ensue


from


an action,


the


deci


sion


carry


out


determined


whether


sum


benefits


will


larger,


that


"outweigh"


the


sum


risk


Reynolds,


1982


, p.


11).


There


are


a number


problems


with


this


moral


calculus,


some


conceded


to by


those


who


urge


adoption


anyway.


Despite


complaints


that


a utilitarian


approach


moral


analysis


treatment
to avoid.


research


may


participants,


Resources


are


lead


to a callou


virtually


public


and


choices


impo
must


S
ssible


made.


(Reynolds,


1982


, p.


Reynolds


realizes


that


some


form


quantification


would


required


these


direct


comparisons.


Under


the


nress


nf Mar!Tntvrss


'armrsnmt s!


bhut


1 I.I


.i renl. atti on


I


I l l







MacIntyre (1982)

appropriate only


holds

for w


that


risk/benefit


ell-designed


analysis


controlled


experiments


"conducted


with


view


an immediate


deci


ion


between


alternative


policies"


180).


Another


consequence


inappropriately


applying


risk/benefit


research


ratio


that


to affirm


diminishes


harmlessless


importance


social


social


rese


arch.


"The


more


important


the


phenomenon,


the


greater


likelihood


that


the


research


may


involve


a ri


sk of


negative


effects,


stress


or embarrassment


participants"


Reynolds,


1982,


. 141).


But


methodologists


exaggerate


contrast


between


laboratory


researchers


having


strict


control


field


over


res


a narrow


searchers


slice


mercy


individual


a social


s' behavior


group


and


s whims.


This


self-ascribed


vulnerability


serves


to advance


claim


that


subjects


social


research


are


not


likely


to be


harmed


because


researchers


are


there


to study,


not


treat.


descriptive


--positiv
A low pos
diminish


res


each]


or negative--on


sibility
s the ju


there
the


for negative
stification f


are


no major


effects


participants.


effects
r inform


substantially
ed consent. .


Moral


dilemmas


descriptive


are


research,


substantially


primarily


less


because


dramatic


the


direct


effects


on participants


nonexistent.


(Reynolds,


are


1982


usually


, pp.


modest


140)


Reynolds


represents


perhaps


an extreme


in the


position


that


field


research


markedly


non-interventionist.


the


opposite


end


are


fieldworkers


such


as Walker


1986)


and


Wax


(1 QRA


xAhn


ina4 @4-


4412*


2 f '.'10


c+-1Vt


a 4r tman 4rnan-


mho7


r






ideas


and


concepts


that


may


dramatically


affect


how


participants


think


about


themselves


their


environment.


However,


since


the


nature


changes


that


researcher


likely


to introduce


slanted


toward


increased


understanding,


intervention


usually


not


considered


harmful.


Thus,


both


kinds


researchers,


those


who


see


fieldwork


as studiously


detached


and


those


who


find


unavoidably


harming


disruptive,


subj ects


concur


minimal


that


because


possibility

possibility


affecting


them


minimal.


Both


assess


the


innocuousness


sk by


criterion


that


stress


research


never


exceeds


the


anything


warrant


subjects


generated


encounter


assertion


daily


that


life.


the


Thus


full


disclosure


component


informed


consent


not


necessary


cases


where


the


potential


harm


to subjects


low.


The


problem


with


thi


low-impact/low


-risk


argument


that


enables


social


researchers


to justify


not


sharing


information


on the


grounds


that


what


they


are


investigating


basically


trivial.


can


lead


researchers


to make


arrogantly


Here,


humble


example,


statements


the


about


advice


the


Miles


impact


and


their


Huberman


work.


(1984a)


give


to researchers


who


might


worried


about


their


influence


on subjects'


behavior.


"Don


inflate


the


potential


problem;


you


are


not


really


such


an important


presence


lives


these


people"


233).







communicate


to subjects


that


project


does


not


and


need


not


concern


them.


Further


Erosion


Informed


Consent


Requirement


In addition


to minimal


risk,


DHHS


Guidelines


permit


withholding


information


under


one


other


condition,


name ly,


"when


research


could


not


practically


be carried


without


waiver


or alteration"


(Federal


Register,


46(16).


January


1981,


390).


This


language


crucial


approving


strategies


to circumvent


reactivity.


now


are


position


examine


how


exemption


full


disclosure


component


informed


consent


secures


continuance


positivist


ethical


approach


mandate


to human


to respect


subject


persons.


research


I have


the


already


face


cited


Reynolds'


1982)


casuistical


interpretation


that


informed


consent


is actually


a procedure


allow


individuals


forego


most


(but


not


all)


rights


under


certain


conditions"


. Reynolds


uses


another


sophistic


argument


to support


giving


incomplete


information


to subjects.


He claims


fundamental


feature


of research


inability


predict


consequences


participants"


Inquiry


after


inaugurated


to determine


connections


patterns;


these


were


already


known,


there


would


reason


to conduct


research.


Thus,


complete


information


never


available


outset.


"The


best


investigators


can







But


the


problem


facing


researchers


not


insufficient


information


but


rather


that


any


facts


communicated


outset


(about


the


focus


the


research,


about


previous


findings,


about


the


intended


audience)


will


tend


influence


subjects


' performance.


Every


researcher


faced


with


dilemma


that


the


very


soliciting


informed


consent


incites


reactivity.


is now


knowledge o
does affect
phenomenon.


clear


the


that


details


many
of


experiencing


(Reynolds,


cas
the
and


, p.


es a participant's
scientific objectives


reporting


the


115)


It is


enough


often


highly


information


likely
about


that


subjects


a research


are


given


investigation


in order


to give


informed


consent


they


will


alter


their


the


behavior


inve


ways


tigation.


that
(Webb


will


et al.,


affect


the


1981,


outcome


154)


Explanation
procedures


research


. may


skew


purpose


social


and


some


science


research


results


because


affected


subject


new


s natural


knowledge.


behavior


(Tropp,


1982


will
P.


405)


We find


here


in contexts


discussing


the


ethics


research


the


same


objections


to reactivity


that


were


raised


the


previous chapter

associated with


s review


reactivity.


the

Most


epistemological

methodologists


problems

are


convinced


process


the


that


itself,


distribution


detailed


biases

and d


explanation,


subjects


duration


like


the


responses.


these


observation


They


reactive


know


effects


that

are


not


specifiable


a second


level


observation,


reactivity


conceived


as an artifact


observation


process


itself.


Monitoring


these


distortions


starts







recedes.


They


regretfully


conclude


that


presence


reactive


effects


positivist


seriously


goal


confounds


research


a study


--the


s findings.


discovery


Thus


immanent


structures


of social


thwarted.


Only


one


exit


remains


out


this


epistemic/ethical


cul-de-sac,


and


that


is to recommend


legally-sanctioned


procedures


designed


minimize


subjects


' awareness


research


activity.


Justifications


Restricting


Awareness


Onc

consent


a researcher


provides


accepts


a mechanism


notion


minimizin


that

g the


"informed

prospect


later


concern


then


for a

makes


n ethical


sense


breach"


try


(Webb

secure


et al., 19

permission


8


1, p.

while


providing


as little


information


as possible.


is normally


sufficient


tell


subjects


that


the


complete


purpose


study


cannot


shared


with


them


until


afterward"


Diener


Crandall,


1978,


44).


The


routine


withholding


of complete


information


consent


stage--a


practice


often


referred


as "deception"--has


been


widely


reported


discussions


ethics


both


experimental


and


field


research


Keith-Spiegel


& Koocher,


1985;


Menges,


1973


Peshkin,


1984;


Punch,


1986;


Suls


& Rosnow,


1981).


Field


researchers


have


been


particularly


candid


about


what


they


perceive


to be


absolute


nececes


sity


deception


their


work.


Peshkin


1984),


example,


states







The


consensus


value


because


are


they


lost.
have


S. is


that


without


Participant


no other


deception,


observers


alternative


things


deceive


they


are


granted


access


. (p.


259)


The


crux


or active,


other


means.


the


matter


enables


you


(Punch,


that


to get


some d
at data


ecept
not


ion, passive
obtainable b


1986,


But


is not


merely


getting


past


the


gatekeepers


that


makes


researchers


"play


down,


gloss


over


or be


evasive


about


ultimate


purpose


research


and


outcome


" (Bulmer,


1980,


60).


Full


explanations


are


not


provided


because


researchers


are


convinced


"deception


helps


to minimize


distortion"


(Peshkin,


1984,


259).


Peshkin


certain


that


only


not


communicating


their


own


beliefs


can


researchers


hope


to capture


subjects


customary


behavior.


Additional


argument


have


been


advanced


on behalf


res


tricted


(1986


finds


closure


"informed


about


research


consent


objectives.


unworkable


Punch


some


sorts


observational


research"


because


serves


reduce


participation


the


powerful.


They,


much


more


than


powerless,


are


a position


to refuse


to participate.


Thus,


same


procedure


intended


to protect


vulnerable


and


deviant


populations


used


their


overseers


escape


scrutiny.


The


obvious


status


differential


those


who


accede


and


those


who


decline


to be


studied


confirms


Herbert


Ke Iman


(1972)


description


researchers


the


establishment


s private


detectives.


-- -


i


m i


1 I. I


.


I -







characteristic


most


human


interaction.


normal


social


intercourse


a person


who


totally


honest


unbearable


and


socially


immature"


Punch,


1986,


. The


encouragement


strategic


communication


worries


some


writers


on the


ethics


research.


Bulmer


(1980)


and


Warwick


(1982


both


warn


that


when


researchers


withhold


information


from


subjects,


even


sound


methodological


reasons,


they


sow


seeds


of distrust


and


suspicion


the


setting,


thereby


reinfor


cing


public


s perception


social


scienti


manipulative


and


self-serving.


The


Case


Against


Incomplete


Disclosure


"For


between

rigor"


practicing


professional

(Menges, 1973,


researcher,


ethical


there


principles


1033).


This


and


sense


a trade-off


methodological


of having


compromise


exactitude


sake


fairness


haunts


research


loyal


the


positivist


ideal


objective,


disembodied


researcher.


The


maintenance


a di


screpancy


between


researchers


' and


subjects'


knowledge


inquiry


guarantees


an adversarial


tenor


relationship.


. research


against


each


each


other


will


other,


about


pit


subject


probably


what


the


and


raising


other


investigator
the suspicions


doing,


but


methodologically


of such
(Menges


suspicions
, 1973, p.


incapable


and


verifying


evaluating


their


exi


stence


consequences.


1034)


Other


objections


can


lodged


against


researchers


__ *


- S .a_.__ -_


,L-L..- F-







their


subjects,


are


also


circumscribed


tacit


assumptions.


Gunnar


Myrdal


(1969)


attributes


researchers


' constricted


awareness

illogical


extent


partiality


pursuit


prevailing


detachment


storical


their

; they


vision


their


underestimate


contingencies


when


the

they


strive


a decontextualized


vantage


point.


Research


contestational


enterprise,


and


participants


become


committed


emotionally

thorough in


as well


vestigation


intellectually to the

of a problem requires


issues.


inspecting


close


at hand


as well


as at


arm


s length.


We diminish


our


own


and


our


subjects


' humanity


when


we choose


to perceive


only


from


a di


stance.


Our


unwillingness


to declare


our


fallibility


cloaked


cultivation


objectivity.


Pretending


to be


partially


present


and


also partially


absent


is more


than


deluded;


socially


disruptive.


According


to Alasdair


MacIntyre


(198


, pretending


"undermines


all


our


most


taken-for


-granted


assumptions


about


interpretation


behavior


others"


182).


MacIntyre


likens


the


actions


the


fieldworker


spy's:


Both


court


familiarity


to disguise


their


outsider


status


and


both


are


insincere


about


the


depth


their


engagement.


. behind


the


overt


surfaces


and


disclosures


spy
and


s behavior
intentions;


withhold


himself


a whole


moreover, w
or herself


while


undisclosed


the


spy


motives


tries


systematically


in his


her


encounters


with


others,


or she


the


same


time


-~. S -S


. R


.I


1







MacIntyre


distinguishes


between


"harm"--the


physical


psychical


distress


that


informed


consent


alerts


subjects


to--and


"wrong"--a


moral


infraction


agreement


does


not


addre


ss.


Researchers


may


be said


wrong


subjects


when


they


breach


promise


to regard


subjects


as persons,


that


as rational


agents


. In


deciding


whether


to give


consent,


rational


agent


has


to be able


to consider


all


facts


relevant


to inaugurating


and


sustaining


a relationship.


When


researchers


decline


to communicate


their


objectives


fully,


they


are


short


ircuiting


agent


s decision-making


capacity.


Even


acts


passive


deception


interfere
actions.
agent in
choosing


1982


, p.


with


[They]


voluntary


limit


ignorance


one
247)


action


character


voluntariness


facts


rather


that
than


are


f [the
keeping


agent
the


relevant


another.


(Dworkin,


Dworkin


speculates


that


researchers


resort


to pretense


because


they


not


believe


that


persuasion


would


work.


purely


rhetorical


approach


securing


participation


would


require


that


speaker


and


stener


hold


some


beliefs


common.


In practice,


researchers


do not


have


the


same


interest


that


as subjects.


reciprocation--an


As a result,


exchange


not


either


surprise


goods


concepts--rarely


occurs


a research


setting.


This


not


that


all


methodologists


recommend


non-engagement.


contrary,


continuously


redirecting


line


inquiry


response


to emergent


concerns







essence


dialectical,


[ethnographic]


or feedback


method


that


interactive-reactive


method"


Similarly,


Corsaro


1985)


states


"the


nature


ethnographic


research


demands


that


the


sampling


procedures


also


be reactive


to developments


the


course


research"


33).


Such


statements


assert


the


potentiality


conducting


research


were


a two-way


conversation.


Yet,


as I


have


shown


this


chapter,


researcher


are


not


quite


willing


question


informed


involve


subjects


or answering


consent


Even


requirement


either


framing


under


which


goad


enjoins


a research


the


respecting


subjects


self-serving


estimates


' intelligence,


arguments


of what


researchers


not


happening.


have


devised


communicating


The


their


conversation


ingenious,


own


continues


to be


one-sided,


with


subjects


asked


to do


most


talking


while


stream


a conception


researchers


behavior.


research


impassively


This


which


reticience


judges


document


have


changes


attributed


worthwhileness


to be


the


extent


to which


conclusions


are


transferable


from


one


researched


situation


many


unresearched


ones.


that


they


may


generalize,


researchers


try


to minimize


the


impact


their


presence,


the


chief


way


being


to restrict


the


amount


information


they


provide


about


themselves.


Researchers


cannot


justice


ideal


open







theories


about


purpose


research.


Both


experimental


cautious


an


canon


d field

about s


research


scientific


traditions

reasoning:


obey

for


a similar,

conclusions


to be valid


and


reliable,


they


must


based


uncontaminated


and


unequivocal


evidence.


This


methodological


caution,


or rigor


sometimes


called,


creates


a press


toward


retrospectivity,


that


a looking


to discover


principle


currently


operation,


in contrast


prospectivity,


a creating


new


sets


relations.


The


consequence


this


cons


serving,


non-di


sruptive


outlook


execution


both


kinds


of research


favoring


unidirectionality


communicative


roles


sketched


out


informed


consent


agreement.


Researchers


seek


subj ects


approval


of entering


relationship:


researchers


into


subjects


the


a short


are


auditors.


to be


Holding


-term


monologic


speakers


subjects


and


first


person role

intimacy and


researchers


equality


that


third


comes


from


prohibits


alternately


the

occupying


sec


person.


informed


consent


to bring


about


bi-directional


communication


researcher-subject


relationship,


different


theory


about


function


research


is required.


Such


a theory,


one


powerful


and


comprehensive


enough


project


research


as enlightening


conversation,


does


exist.


It is


to be


found


Habermas


' writings


ideal


speech













CHAPTER


RESPECTING


REACTIVITY


: THEORETIC


AND


PRAGMATIC


JUSTIFICATIONS


FOR


COLLABORATIVE


RESEARCH


first


three


chapter


I have


posed,


and


answered


the


negative,


following


question


about


reactivity:


tendency


subjects


to become


self-


conscious


and


acutely


interested


their


observers'


intentions


adequately


addressed


an antecedent


declaration


concerning


respect


their


rights


as persons?


I have


argued


that


because


the


epi


stemological


situation


labile--on


being


served,


human


beings


voluntarily


and


involuntarily


adjust


their


behavior--researchers


have


had


request


exemption


from


full


disclosure


component


informed


consent


order


to maintain


a steadfast,


sequestered


vantage


point.


this


chapter


propose


to set


forth


a broad


interpretation


ethical


ideal


implicit


informed


legalistic


consent:

restraints


Instead


conceiving


on researchers,


I want


as a set of

to demonstrate


potential


engendering


collaboration


between


researchers


and


subjects.


In order


to explicate


a revised


conception


this


relationship--from


adversaries


to coworkers--it


will


necessary


to consider


alternatives


the


positivist







nomothetic


goals


positivism


to conduct


social


scientific


inquiries


has been


questioned


repeatedly


see,


most


recently,


Comstock,


1982


Guba


& Lincoln,


1983


maj or


tenets


of positivism--defining


as real


only


those


phenomena


amenable


to measurement


and


manipulation,


distinguishing


statements


prediction


sharply


value,


control


between


generating


of human


statements


covering


behavior


facts


laws


(Bowers,


and


increase


1978)--one


in particular


been


singled


out


as especially


inappropriate


proponents


two


other,


rival


paradigms


SOC


science


research.


These


paradigms--the


interpretive


and


the


critical


(see


Bernstein,


1983;


Bredo


Feinberg


, 1982)--are


united


their


assault


positivist


notion


truth-as-correspondence.


The


ontological


ition


itivism


assumes


there


a reality


independent


of human


mind(


our


knowledge


this


reality


(unchanging,


immanent


truth)


is commensurate


with


degree


to which


our


statements


approach


and


match,


that


correspond


this


underlying


reality.


The


chief


consequence


working


within


a realist


ontology


is a strong


preoccupation


with


accurately


measuring


the


extent


to which


our


recording


captured,


instruments--and


as impassively


ultimately


as a mirror,


the


our


minds--haved


contours


this


reality.







In place


a truth-as-correspondence


view,


opponents


positivism


argue


truth-as-agreement


view


(Miller,


1986).


mind


this


ontological


-dependent;


constructed


perspective,


a modifiable


out


reality


framework


understandings


meaning


that


prevails


among


any


coherent


community


language


users


. The


chief


consequence


operating


within


a "consensual"


ontology


necessity


to explore


how


historically


situated


social


actors


use


language


to define


and


understand


one


another.


Among


the


social


situations


requiring


a negotiation


definitions


order


arrive


at mutual


understanding


research


situation


itself.


theoretician


today


has


provided


a more


complete


or more


compelling


picture


the


ideal


symmetrical


communication


within


res


earcher-subj ect


relationship


than


Juergen


Habermas


1971,


1973,


1983,


1984).


Habermas'


theoretical


work


is central,


even


though


there


has


been


no dearth


call


from


field


methodologists


increased


sharing


research


tasks


with


subjects.


Variously


termed


participativee,


" "interactive,


or "collaborative,


close


" these


involvement


proposals


the


are


people


marked


being


appeals


"observed"


generating


and


validating


new


knowledge.


Several


these


appeals

While t


will


hey


examined


contain


the


reasonable


second


and


part


persuasive


this


argument


chapter.

ts for


including


subjects


genesis


and


execution


a study,







justification


their


recommendations.


Habermas


on the


other


hand,


has


last


years


been


dedicated


constructing


a comprehensive


"logic"


types


social


scientific


inquiry,


which


justification


collaboration


occupies


a crucial


conceptual


role.


Construing


Research


as a Hermeneutical


Activity


Habermas


is heir


to a long


tradition


German


philosophy


that


insi


the


language-drenched


nature


Gei


steswissenschaf ten,


social


or human


sciences


opposed

1983).


the


It is not


physical or

pertinent


natural


this


sciences (Polkinghorne,

dissertation to review


this


tradition


that


originates


with


Kant.


Suffice


say


that


makes


a sharp


distinction


between


phys


ical


and


social


achievable


sciences


through


: Understanding


mastery


the


logical,


former


artificial


language


mathematics


whereas


under


standing


the


latter


no other


medium


save


the


semantics


ordinary


language.


Moreover,


objects


study


natural


sciences


studies


do not


talk;


quite


opposite


case


social


sciences


. It


is no exaggeration


say


that


language,


specifically


how


human


beings


use


to create


and


communicate


meanings,


preeminent


object


study


well


social


The


scientist


discernment


s chief


meaning


analytical


what


makes


tool.


social







scientists


intercourse


but


people


daily


life.


as they


Bringing


carry


forth


out


a convergence


these


divergent


understandings


a goal


of the


philosophical


tradition


within


which


Habermas


works.


Habermas

tradition


has

for


criticized


their


some


latent


his


positivism.


predecessors


sees


in this

the


writings


Verstehen


theorists


(such


as Dilthey


and


Weber)


a tendency


treat


understandings,


value


systems,


and


core


beliefs


as data,


root


sense


something


given,


as opposed


to something


contingently


constructed


rhetorical


engagement


between


speakers


belonging


different


traditions.


this


conception


hermeneutics


a conversation


within


and


across


cultures,


dialogue


occupies


a crucially


important


place


Habermas


' logic


the


social


sciences.


It is


through


dialogue


that


the


assignment


meaning


intention


accomplished.


A dialogic


orientation


permits


interpretation


that


is to be


affixed


to behavior


emerge


after


an unconstrainted


exchange


of divergent


perspectives.


conversation


For


are


Habermas,


obliged


the


to make


speakers


clear


the


bases


hermeneutic


their


judgments.


Habermas


makes


absolutely


clear


that


participants


any


investigation


social


life


are


engaging


acts


self


and


mutual


definition


and


are


operating


from


specific


sets


interests.


Researchers,




Full Text

PAGE 2

(3,67(02/2*,&$/ $1' (7+,&$/ ,03/,&$7,216 2) 5($&7,9,7< ,1 9,'(27$3( 5(6($5&+ %\ -())5(< 527+ $ ',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 3

$&.12:/('*(0(176 ZLVK WR H[SUHVV P\ JUDWLWXGH WR HDFK RI WKH PHPEHUV RI P\ FRPPLWWHH IRU WKHLU VSHFLDO FRQWULEXWLRQ WR WKH FRPSOHWLRQ RI WKLV GLVVHUWDWLRQ WR P\ FKDLU 3URI 6DQGUD 'DPLFR IRU KHU XQZDYHULQJ HQFRXUDJHPHQW DQG VXSSRUW WR 3URI 5REHUW 6KHUPDQ IRU KLV VFUXSXORXV DWWHQWLRQ WR PDWWHUV RI RUJDQL]DWLRQ DQG DUJXPHQWDWLRQ HVSHFLDOO\ DW WKH HDUO\ VWDJHV RI ZULWLQJ WR 3URI +HUQ£Q 9HUD IRU HUHFWLQJ VLJQSRVWV WR JXLGH PH WKURXJK VRPH GHQVH WKLFNHWV RI WKHRU\ WR 3URI $UWKXU 1HZPDQ IRU KLV IULHQGVKLS DQG FRQWLQXLQJ LQWHUHVW DQG WR 3URI 0LFKDHO 5HVQLFN IRU SURYLGLQJ RSSRUWXQLWLHV WR FRQGXFW YLGHRWDSH UHVHDUFK DV SDUW RI P\ GXWLHV DW &KLOGUHQn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

PAGE 4

ZKR LQ D QXPEHU RI FKDOOHQJLQJ GLVFXVVLRQV DOHUWHG PH WR PDQ\ RI WKH SDUDGR[HV WKDW DWWHQG WKH REVHUYLQJ RI REVHUYHUV )LQDOO\ LQ UHFRJQLWLRQ RI WKH LQQXPHUDEOH PRPHQWV RI LQWLPDF\ ZH KDG WR IRUHJR VR WKDW WKLV VWXG\ FRXOG FRPH WR IUXLWLRQ GHGLFDWH WKLV GLVVHUWDWLRQ WR P\ ZLIH +DUULHW DQG P\ GDXJKWHUV (PLO\ DQG &RULQQD

PAGE 5

7$%/( 2) &217(176 3DDH $&.12:/('*0(176 LL $%675$&7 YL &+$37(56 ,1752'8&7,21 ,, (1&2817(5,1* 7+( 352%/(0 2) 5($&7,9,7< 7KH 2ULJLQV RI WKH 5HVHDUFK 3URMHFW 7KH 3XUSRVH RI WKH 5HVHDUFK 3URMHFW 7KH $XGLRYLVXDO &RPSRQHQW RI WKH 5HVHDUFK 3URMHFW (YLGHQFH RI 5HDFWLYLW\ $FFRPPRGDWLRQV 0DGH E\ WKH 5HVHDUFK 7HDP 5HVHDUFKHU $PELYDOHQFH ,,,'($/,1* :,7+ 5($&7,9,7< (3,67(02/2*,&$/ ,668(6 'HILQLWLRQV RI 5HDFWLYLW\ ([SODQDWLRQV RI 5HDFWLYLW\ 7KUHDWV 3RVHG E\ 5HDFWLYLW\ 7HFKQLTXHV IRU 'HDOLQJ ZLWK 5HDFWLYLW\ 7KH 3XUVXLW RI ,QYLVLELOLW\ 6XPPDU\ ,9'($/,1* :,7+ 5($&7,9,7< (7+,&$/ ,668(6 $ %ULHI +LVWRU\ RI WKH ,QIRUPHG &RQVHQW 5HTXLUHPHQW 7KH 5LJKWV RI 3HUVRQV (PERGLHG LQ WKH ,QIRUPHG &RQVHQW $JUHHPHQW 0RGLI\LQJ WKH ,QIRUPHG &RQVHQW 5HTXLUHPHQW IRU /RZ 5LVN 5HVHDUFK )XUWKHU (URVLRQ RI WKH ,QIRUPHG &RQVHQW 5HTXLUHPHQW -XVWLILFDWLRQV IRU 5HVWULFWLQJ $ZDUHQHVV 7KH &DVH $JDLQVW ,QFRPSOHWH 'LVFORVXUH [Y

PAGE 6

&+$37(56 95(63(&7,1* 5($&7,9,7< 7+(25(7,& $1' 35$*0$7,& -867,),&$7,216 )25 &2//$%25$7,9( 5(6($5&+ &RQVWUXLQJ 5HVHDUFK DV D +HUPHQHXWLFDO $FWLYLW\ 'LDORJXH ZLWKRXW 'RPLQDWLRQ &ROODERUDWLRQ 7KH 6HDUFK IRU 6SHFLILF 5HFLSURFDO %HQHILWV $Q ([FKDQJH RI 0HDQLQJV $Q ([FKDQJH RI .QRZOHGJH $ 6KDULQJ RI 'XWLHV $GYDQWDJHV RI &ROODERUDWLRQ %HQHILW WR 6XEMHFWV %HQHILW WR 5HVHDUFKHUV 9,)267(5,1* 5($&7,9,7< 9,'(27$3(n6 &2175,%87,21 72 &2//$%25$7,9( 5(6($5&+ 7KH 0HULWV RI &DPHUD 5HVHDUFK 7KH 8QLTXH )HDWXUHV RI 9LGHRWDSH $JDLQ WKH 4XHVWLRQ RI 5HDFWLYLW\ &XUUHQW $QDO\WLF 3UDFWLFHV 0DNLQJ WKH )UDPHZRUN ([SOLFLW 5HYLVLQJ WKH 5HVHDUFKHUnV 5ROH LQ &RQWH[WV RI 6HOIFRQIURQWDWLRQ 0DNLQJ WKH ,PDJH 7H[W +HUPHQHXWLF &RPPHQWDU\ 7KH 7ZR 8VHV RI 9LGHRWDSH 7KH +HUPHQHXWLF 8VH RI 9LGHRWDSH 7KH 3URSDGHXWLF 8VH RI 9LGHRWDSH 9,,&21&/86,21 5()(5(1&(6 %,2*5$3+,&$/ 6.(7&+ Y

PAGE 7

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n WKHRU\ YL

PAGE 8

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n UHVSRQVHV WR LW %RWK ODERUDWRU\ DQG ILHOG PHWKRGRORJLVWV FRQVLGHU UHDFWLYLW\ DQ LQHYLWDEOH DUWLIDFW RI WKH REVHUYDWLRQ SURFHVV LWVHOI DQG SRWHQWLDOO\ D VHULRXV WKUHDW WR WKH WUDQVIHUDELOLW\ RI ILQGLQJV WR XQREVHUYHG VHWWLQJV 7KH\ WKHUHIRUH UHFRPPHQG VWUDWHJLHV WKDW DLP DW LQYLVLELOLW\HLWKHU E\ ZDLWLQJ XQWLO VXEMHFWV QR ORQJHU QRWLFH WKH FDPHUDn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

PAGE 9

&+$37(5 ,1752'8&7,21 7KLV GLVVHUWDWLRQ LV D FRQWULEXWLRQ WR DQ RQJRLQJ GHEDWH LQ WKH VRFLDO VFLHQFHV DERXW WKH HWKLFDO DQG HSLVWHPRORJLFDO DVVXPSWLRQV XQGHUJLUGLQJ REVHUYDWLRQDO UHVHDUFK 5HFHQW DQWKRORJLHV E\ .LPPHO f %HDXFKDPS HW DO f DQG +DUWPDQQ f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n URXWLQH XVH RI YLVXDO UHFRUGLQJ HTXLSPHQW VXEWO\ HURGHV WKH

PAGE 10

JXDUDQWHH RI LQIRUPHG FRQVHQW (YHQ WKRXJK UHVHDUFKHUV DUH QRZ UHTXLUHG WR EH H[SOLFLW ZLWK VXEMHFWV DERXW WKH QDWXUH DQG SXUSRVH RI WKHLU LQTXLU\ RQFH WKH\ LQVHUW WKHLU FDPHUD LQWR D VHWWLQJ WKH\ UHVLVW VXEMHFWVn VXEVHTXHQW HIIRUWV WR UHQHJRWLDWH WKH WHUPV DQG PHDQLQJ RI ZKDW WKH\ KDYH FRQVHQWHG WR LQWHQG WR PDNH WKH FDVH WKDW SUHVHQW IRUPDWV RI PHFKDQLFDO REVHUYDWLRQ UHQGHU UHVHDUFKHUV VRFLDOO\ XQUHVSRQVLYH DQG XQDFFRXQWDEOH WR WKHLU VXEMHFWV IXUWKHU LQWHQG WR GHPRQVWUDWH WKDW WKH XVH RI YLGHRn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n DPELYDOHQW UHVSRQVHV WR EHLQJ VWXGLHG EHFDXVH ZH DUH VWLOO SHUVXDGHG WKDW RXU DFFRXQW RI VRFLDO UHDOLW\ VKRXOG FRQVLVW SULPDULO\ RI IDFWV ZKLFK ZH EHOLHYH H[LVW LQGHSHQGHQWO\ RI RXU SUHVHQFH (YHQ WKRXJK WKH IDFWV ZH DUH DIWHU DUH QRZ XQGHUVWDQGLQJV ZH VWLOO EHOLHYH WKH\ FDQ EH FDSWXUHG ZLWK WKH OHDVW DPRXQW RI GLVWRUWLRQ LI ZH XVH REVHUYDWLRQ LQVWUXPHQWV WKDW KDYH JUHDWHU VWUHQJWKV DQG IHZHU ZHDNQHVV WKDQ KXPDQ REVHUYHUV

PAGE 11

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

PAGE 12

WHFKQLTXHV LQWHQGHG WR PLQLPL]H VXEMHFWVn DZDUHQHVV RI UHVHDUFKHUVn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n HIIRUWV WR H[HPSW ORZULVN VRFLDO UHVHDUFK IURP WKH IXOO GLVFORVXUH FRPSRQHQW RI WKHLU FRQWUDFWXDO DJUHHPHQW ,Q &KDSWHU 9 LQWHUSUHW WKHVH DUJXPHQWV DERXW WKH PHULWV RI UHGXFLQJ UHDFWLYLW\ WR FDPHUDDVVLVWHG IRUPV RI REVHUYDWLRQ LQ WKH FRQWH[W RI +DEHUPDVn WKHRU\ RI FRPPXQLFDWLYH DFWLRQ SDUWLFXODUO\ KLV FULWLTXH RI LQVWUXPHQWDO UHDVRQ D PDQLSXODWLYH IRUP RI UDWLRQDOLW\ ZKLFK PDLQWDLQV WKH DV\PPHWULFDO GLVWULEXWLRQ RI SRZHU LQ WKH UHVHDUFKHUVXEMHFW UHODWLRQVKLS 8VLQJ +DEHUPDVn FRQFHSW RI D GLDORJXH ZLWKRXW GRPLQDWLRQ H[DPLQH D QXPEHU RI SUDJPDWLF MXVWLILFDWLRQV WKDW KDYH EHHQ PDGH IRU LPSURYLQJ WKH DFFXUDF\ DQG IDLUQHVV RI UHVHDUFK WKURXJK LQYROYLQJ VXEMHFWV LQ WKH HQWHUSULVH EHJLQ &KDSWHU 9, E\ UHFRQFHSWXDOL]LQJ FDPHUDDVVLVWHG UHVHDUFK DV D GLDORJLF UDWKHU WKDQ D GRFXPHQWDU\ DFWLYLW\

PAGE 13

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

PAGE 14

&+$37(5 ,, (1&2817(5,1* 7+( 352%/(0 2) 5($&7,9,7< 7KLV GLVVHUWDWLRQ EHJLQV ZLWK DQ DFFRXQW RI D UHVHDUFK SURMHFW WKDW KDG EHHQ LQ SURJUHVV IRU ILYH PRQWKV DW WKH WLPH ZDV DVNHG WR MRLQ LW 0\ DVVLJQPHQW ZDV WR DVVHVV ZKHWKHU VXEMHFWV ZHUH VWLOO IHHOLQJ FRQVWUDLQHG DQG XQFRPIRUWDEOH ZLWK DXGLRYLVXDO PHWKRGV RI GDWD FROOHFWLRQ HYHQ WKRXJK WKH UHVHDUFKHUV KDG PRGLILHG WKHLU RULJLQDO DUUDQJHPHQWV IRU GRFXPHQWLQJ VRFLDO LQWHUDFWLRQ ,Q WKH FRXUVH RI UHYLHZLQJ VXEMHFWVn FRPSODLQWV DERXW EHLQJ YLGHRWDSHG DQG UHVHDUFKHUVn DFFRPPRGDWLRQV WR WKRVH FRPSODLQWV LW EHFDPH DSSDUHQW WKDW FHUWDLQ DVVXPSWLRQV ZHUH DW ZRUN DERXW WKH SURSULHW\ DQG YHUVLPLOLWXGH RI YLGHRWDSH GDWD WKDW QHHGHG WR EH LQYHVWLJDWHG IXUWKHU 7KH PRGLILFDWLRQV WKDW WKH UHVHDUFKHUV PDGH WR WKH YLGHRWDSLQJ SURFHGXUHV UHSUHVHQWHG WKH H[WHQW WR ZKLFK WKH\ ZHUH SUHSDUHG WR UHVSRQG WR WKH FODLPV RI VXEMHFWV DERXW WKH GLUHFWLRQ RI WKH LQTXLU\ :KDW UHTXLUHG H[SOLFDWLRQ ZDV KRZ WKH UHVHDUFKHUVn FRQFHSWLRQ RI WKH UHVHDUFK DFW LWVHOI PLWLJDWHG DJDLQVW JHQXLQH FROODERUDWLRQ EHWZHHQ UHVHDUFKHUV DQG VXEMHFWV 7KH QDUUDWLYH WKDW IROORZV LV LQWHQGHG WR PDNH FOHDU WKDW WKH GXWLIXO IXOILOOLQJ RI WKH FHQWUDO HWKLFDO LPSHUDWLYH RI UHVHDUFKVHFXULQJ WKH LQIRUPHG FRQVHQW RI

PAGE 15

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

PAGE 16

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

PAGE 17

SRVVHVVHV IRU HQJHQGHULQJ GLYHUJHQW DFFRXQWV RI JURXS DFWLYLW\ ZDV QRW WDSSHG EHFDXVH WKH SRVLWLYLVW XQGHUSLQLQJV RI WKH UHVHDUFK UHTXLUHG WKDW WKH ILQDO DVVLJQPHQW RI PHDQLQJ KDG WR EH XQHTXLYRFDO 7KH 2ULJLQV RI WKH 5HVHDUFK 3URMHFW ,Q D QHZ FKURQLF FDUH IDFLOLW\ RI VWULNLQJO\ PRGHUQLVWLF DUFKLWHFWXUDO GHVLJQ ZDV RSHQHG E\ WKH 8QLWHG 6WDWHV 9HWHUDQV $GPLQLVWUDWLRQ KHQFHIRUWK DEEUHYLDWHG 9$f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n ORQJHYLW\ RU WKH SROOHG RSLQLRQ RI VWDII DQG IDPLO\ WR SURYH WKH HIILFDF\ RI VRPH LQWHUYHQWLRQ H J SHW WKHUDS\f VKH DOO WKH VDPH VROLFLWHG WKH GHVFULSWLYH GRFXPHQWV DQG

PAGE 18

SURJUDP PDQXDOV IURP RWKHU 9$ KRVSLWDOV :KHQ D YLGHRWDSH DUULYHG LQ PLG IURP D 9$ IDFLOLW\ LQ 6W &ORXG 0LQQHVRWD FKURQLFOLQJ D \HDU ROG UHPRWLYDWLRQ SURJUDP ZKLFK LQYROYHG UHJXODU YLVLWV E\ VL[WK JUDGHUV DV SDUW RI WKHLU VRFLDO VWXGLHV FXUULFXOXP RQH RI WKH UHFUHDWLRQ WKHUDSLVWV DW WKH QXUVLQJ KRPH KDG WKH LGHD WR FRQWDFW RIILFLDOV DW D QHDUE\ PLGGOH VFKRRO WR VHH LI WKH\ ZRXOG EH LQWHUHVWHG LQ VRPH NLQG RI MRLQW SURJUDP 7KH VFKRRO QXUVH YROXQWHHUHG WR EH WKH OLDLVRQ SHUVRQ ZLWK WKH 9$ )RU WKH EHWWHU SDUW RI D \HDU WKHVH WKUHH SUDFWLWLRQHUV QXUWXUHG WKH KHDYLO\ EXUHDXFUDWL]HG QHJRWLDWLRQV WKURXJK DQG EHWZHHQ WKHLU LQVWLWXWLRQV 'RFXPHQWV KDG WR EH GUDZQ XS WR DSSRUWLRQ WKH OHJDO UHVSRQVLELOLWLHV DWWHQGDQW RQ D YROXQWHHU SURJUDP LQ ZKLFK FKLOGUHQ ZRXOG EH DFWLQJ LQ WKH FDSDFLW\ RI QRQSURIHVVLRQDO PRWLYDWLRQ WKHUDSLVWV DV WKH ODQJXDJH RI WKH ILQDO VWDWHPHQW RI DJUHHPHQW WHUPHG WKHP 7KH IRUPDW E\ ZKLFK WKLV WKHUDS\ ZRXOG EH GHOLYHUHG ZDV DV IROORZV $W WKH VFKRRO D *HULDWULF &OXE ZDV WR EH PDGH DYDLODEOH DV RQH RI WKH RSWLRQV LQ DQ DOUHDG\ H[LVWLQJ SULPH WLPH VWUXFWXUH 7KLV ZDV D EORFN RI PLQXWHV WKH ILUVW SDUW RI HDFK VFKRRO GD\ LQ ZKLFK VWXGHQWV VHOHFWLQJ IURP D ZLGH DUUD\ RI QRQDFDGHPLF DFWLYLWLHV RUJDQL]HG WKH GLUHFWLRQ RI WKHLU OHDUQLQJ $W PHHWLQJV RI WKH *HULDWULF &OXE WKH FKLOGUHQ ZRXOG EH UHVSRQVLEOH IRU SODQQLQJ DQ DFWLYLW\ ZLWK QXUVLQJ KRPH UHVLGHQWV ZKRP WKH\ ZRXOG YLVLW DIWHU VFKRRO WZLFH D ZHHN IRU DQ KRXU 3UHSDUDWLRQV IRU WKH SURJUDP DW WKH VHFRQG RI WKH WZLFHZHHNO\ YLVLWV ZRXOG

PAGE 19

EH WKH UHVSRQVLELOLW\ RI WKH KRVSLWDOnV UHFUHDWLRQ WKHUDSLVWf 7KH SULPH WLPH VHVVLRQV ZRXOG DOVR EH WKH RFFDVLRQ ZKHUH LQIRUPDWLRQ DERXW SRVVLEOH SUREOHPV FRPPXQLFDWLQJ ZLWK WKH SK\VLFDOO\ DQG HPRWLRQDOO\ LPSDLUHG HOGHUO\ FRXOG EH FRQYH\HG E\ WKH VFKRRO QXUVH DQG VXEVHTXHQWO\ D VSHFLDO HGXFDWLRQ WHDFKHUf ZKR ZRXOG VHUYH DV WKH FOXEnV VSRQVRU 7KH QXUVH DQG WKH UHFUHDWLRQ WKHUDSLVW KDG WR PRGLI\ WKH FXUULFXOXPEDVHG 6W &ORXG UHPRWLYDWLRQ SURJUDP WR ILW WKHLU VFKRROnV SULPH WLPH VFKHGXOH 7KH 6W &ORXG UHPRWLYDWLRQ SURJUDP ZDV HPEHGGHG LQ DQ HOHPHQWDU\ VFKRRO VRFLDO VWXGLHV FXUULFXOXP HYHU\ ZHHNV WKH VWXGHQWV URWDWHG RXW RI WKH SURJUDP $IWHU H[DPLQLQJ WKH 6W &ORXG WDSH DJDLQ DQG WKH VWXG\ WKDW DFFRPSDQLHG LW 7KUDORZ t :DWVRQ f WKH QXUVHWKHUDSLVW WHDP GHFLGHG WR UHWDLQ D NH\ HOHPHQW RI WKH 6W &ORXG SURJUDP WKH SDLULQJ RI D FKLOG ZLWK D UHVLGHQW LQVWHDG RI D FODVV YLVLW IRUPDW 7KH\ UHDOL]HG KRZHYHU WKDW WKHLU SURJUDPnV H[WUDFXUULFXODU VWDWXV FRQWDLQHG WKH SRVVLELOLW\ RI VRPH PDWFKHG SDLUV SHUVLVWLQJ RYHU WKUHH \HDUV 7KHUH ZDV D ULVN WKDW VXFK ORQJWHUP DVVLJQPHQWV ZRXOG SURGXFH VRPH GLVVDWLVILHG SDLUV EXW WKH\ RSWHG IRU QRQURWDWLRQ RQ WKH JURXQGV WKDW WKH GHYHORSPHQW RI IULHQGVKLSV UDWKHU WKDQ QRYHOW\ ZRXOG FUHDWH D EDVLV IRU VRFLDO DQG SHUVRQDO HQJDJHPHQW 7KH ILUVW PHHWLQJ RI WKH SDLUV WRRN SODFH VKRUWO\ EHIRUH &KULVWPDV )ROORZLQJ WKH FXVWRP DOUHDG\ LQ XVH

PAGE 20

DW WKH 9$ WKH UHVLGHQWV RI WKH QXUVLQJ KRPH ZHUH FDOOHG WKH JX\V DQG WKH WZLFHZHHNO\ YLVLWRUV IURP WKH PLGGOH VFKRRO ZHUH NQRZQ DV WKHLU SDOV 7KH XVH RI WKH WHUP SDO KDG EHHQ VHOHFWHG E\ WKH VFKRRO QXUVH DQG UHFUHDWLRQ WKHUDSLVW WR DFFHQWXDWH WKH IDFW WKDW WKH WKHUDSHXWLF FRPSRQHQW RI WKH UHPRWLYDWLRQ SURJUDP ZDV WR EH FHQWHUHG DURXQG WKH HVWDEOLVKPHQW RI D IULHQGVKLS RQH ZKLFK HPSKDVL]HG MRLQW DFWLYLWLHV DQG UHFLSURFDO EHQHILWV $FWXDOO\ JX\V ZDV D WHUP XVHG SULPDULO\ E\ WKH DGXOW FRRUGLQDWRUV IRU WKH UHVLGHQWV 7KH PLGGOH VFKRRO FKLOGUHQ UHIHUUHG WR WKH PHQ WKH\ ZHUH SDLUHG ZLWK DV WKHLU SDOV XVH WKH VWDIIVn WHUP WR GLVWLQJXLVK WKH WZR PHPEHUV RI WKH G\DG %\ WKH VSULQJ RI WKH SURJUDP KDG HVWDEOLVKHG LWVHOI DV D SRSXODU IHDWXUH DW ERWK WKH KRVSLWDO DQG WKH VFKRRO SODQV ZHUH PDGH WR UHVXPH LW DW WKH EHJLQQLQJ RI WKH QH[W VFKRRO \HDU $W WKLV SRLQW WKH QXUVH VSHFLDOLVW LQ JHURQWRORJ\ ZRQGHUHG ZKHWKHU WKH SURJUDP VKRXOG EH VWXGLHG LQ VRPH H[SORUDWRU\ \HW V\VWHPDWLF ZD\ 6KH ZDV FRQFHUQHG WKDW VRPH RI WKH FKDQJHV QRWLFHG LQ WKH HOGHUO\ HOHYDWHG OHYHOV RI DIIHFW LPSURYHG SHUVRQDO DSSHDUDQFHf PLJKW EH DWWULEXWHG FDXVDOO\ WR WKH SURJUDP 6KH ZDV DZDUH WKDW PDQ\ LQWHUYHQWLRQ SURJUDPV LQLWLDOO\ VXFFHHG ZLWK DQ LQVWLWXWLRQDOL]HG SRSXODWLRQ EHFDXVH WKH\ UHSUHVHQW D GHSDUWXUH IURP URXWLQH EXW WKHLU EHQHILWV EHFRPH H[WLQJXLVKHG RYHU WLPH 6KH DOVR ZDQWHG WR NQRZ ZKHWKHU VXFK D ODERULQWHQVLYH SURJUDP LQYROYLQJ D JUHDW GHDO RI VWDII SODQQLQJ FRRUGLQDWLRQ DQG WUDQVSRUWDWLRQ FRXOG EH

PAGE 21

VKRZQ WR EH DV FRVWHIIHFWLYH DV DQ LQKRXVH EHKDYLRU PRGLILFDWLRQ SURJUDP 6KH IHOW KRZHYHU WKDW WKH LQVWUXPHQWV FXUUHQWO\ LQ XVH ZHUH LQDGHTXDWH IRU H[SODLQLQJ KRZ WKH FKDQJHV FDPH DERXW )RU WKDW UHDVRQ VKH VRXJKW WKH DVVLVWDQFH RI D SURIHVVRU ZKR WDXJKW TXDOLWDWLYH UHVHDUFK PHWKRGV DW D QHDUE\ XQLYHUVLW\ ,W KDSSHQHG WKDW WKH XQLYHUVLW\ WKH SURIHVVRU ZDV DWWDFKHG WR KDG D VPDOO PHDVXUH RI MXULVGLFWLRQ RYHU WKH VFKRRO LQ ZKLFK WKH *HULDWULF &OXE ZDV EDVHG )RU WKH VFKRRO WKDW KDG RULJLQDOO\ EHHQ FRQWDFWHG ZDV QRW D FRXQW\ SXEOLF VFKRRO EXW D ODERUDWRU\ VFKRRO QRPLQDOO\ XQGHU WKH DHJLV RI WKH XQLYHUVLW\n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t'f 6HUYLFH

PAGE 22

2QFH WKH PRQH\ IRU D SLORW VWXG\ EHFDPH DYDLODEOH D UHVHDUFK WHDP ZDV DVVHPEOHG ,W FRQVLVWHG RI IRXU LQYHVWLJDWRUV 7ZR ILHOGZRUNHUV RQH VFKRROEDVHG RQH KRVSLWDO EDVHG ZHUH WR FRQGXFW IRUPDO DQG LQIRUPDO LQWHUYLHZV ZLWK WKH SURJUDPnV SDUWLFLSDQWV DQG FRRUGLQDWRUV 7KH\ ZRXOG DOVR EH SDUWLFLSDQW REVHUYHUV DW WKH WZLFHZHHNO\ VHVVLRQV 7KHLU GDWDJDWKHULQJ PHWKRGV ZRXOG EH VXSHUYLVHG E\ WKH SURIHVVRU DQ HGXFDWLRQDO VRFLRORJLVW $ IRXUWK UHVHDUFKHU WUDLQHG LQ XVLQJ 6SUDGOH\nV f IRXUSKDVH DQDO\WLF WHFKQLTXH LGHQWLI\LQJ GRPDLQV RUJDQL]LQJ D WD[RQRP\ DVVLJQLQJ FRPSRQHQWV DQG OLQNLQJ WKHPHVf ZRXOG FRQWLQXRXVO\ H[DPLQH WKH GDWD IURP DXGLR DQG YLGHRWDSHG FRQYHUVDWLRQV 7KH 3XUSRVH RI WKH 5HVHDUFK 3URMHFW 7KH UHVHDUFKHUV ZHUH UHTXLUHG WR VXEPLW D GHVFULSWLRQ RI WKH SURSRVHG SURMHFW WR WKH LQVWLWXWLRQDO UHYLHZ ERDUG RI WKH XQLYHUVLW\ ZKHUH WKH SURIHVVRU WDXJKW 7KH REMHFWLYHV RI WKH UHVHDUFK SURMHFW DV RXWOLQHG RQ WKH ,5% SURWRFRO ZHUH DV IROORZV 7R SUHVHUYH WKH FRQILGHQWLDOLW\ RI P\ VRXUFHV ZLWKKROG WKH QDPH RI WKH LQVWLWXWLRQf 7KH SUREDELOLW\ RI IXQGLQJ >E\ +65t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

PAGE 23

K\SRWKHVHV WR EH LQYHVWLJDWHG LQ WKH ODUJH VFDOH VWXG\ WR EH VXEPLWWHG IRU >+65t'@ IXQGLQJ 3HUVRQDO FRPPXQLFDWLRQ -XQH f 7KH VWXG\nV REMHFWLYHV ZHUH FOHDUO\ PXOWLSOH ,Q WKHLU GHVFULSWLRQ WKH UHVHDUFKHUV SURPLVHG WR ORFDWH DQG SURMHFW WKH XQGHUVWDQGLQJV RI WKH SDUWLFLSDQWV ,QVRIDU DV WKH UHVHDUFKHUV FODLPHG WKHLU VWXG\ ZRXOG EH D UHQGHULQJ RI WKH VRFLDO ZRUOG RI WKH SURJUDPnV SDUWLFLSDQWV WKH\ FRXOG EH VDLG WR EH HQJDJLQJ LQ LQWHUSUHWLYH VRFLDO VFLHQFH
PAGE 24

UHVHDUFKHUV ,Q WKLV SURMHFW VXEMHFWV ZHUH YDOXHG DV D VRXUFH RI LQIRUPDWLRQ RXW RI WKH LQFKRDWH PDVV RI D \HDUnV ZRUWK RI ZRUGV DQG DFWLRQV UHVHDUFKHUV ZRXOG JHQHUDWH SURSRVLWLRQV DERXW KRZ D UHPRWLYDWLRQ SURJUDP ZRUNV ,W LV WKH UHVHDUFKHUVn VWRU\ RI WKH SURJUDP WKDW XOWLPDWHO\ FRQIHUV EHQHILWV WR ERWK SDUWLHV LQ WKH IRUP RI LPSURYHG SURFHGXUHV DQG DGGLWLRQDO VWXGLHV $V EHIRUH GRFXPHQWV LQWHUQDO WR WKH LQYHVWLJDWLRQ DUH NHSW DQRQ\PRXVf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f 1RWLFH WKH LPSOLFDWLRQ WKDW PDQ\ SHRSOH EHVLGHV WKH SDUWLFLSDQWV PLJKW EHQHILW IURP WKH VWXG\ EXW WKH QDWXUH RI WKRVH EHQHILWV FRXOG QRW EH VSHFLILHG SUHFLVHO\ LQ DGYDQFH 7KH $XGLRYLVXDO &RPSRQHQW RI WKH 5HVHDUFK 3URMHFW 7KH SLORW VWXG\ FDOOHG IRU YLGHRWDSLQJ WKUHH F\FOHV RI VL[ FRQVHFXWLYH RQHKRXU YLVLWV VDPSOLQJ WKUHH ZHHNV DW WKH EHJLQQLQJ 2FWREHUf PLGGOH -DQXDU\f DQG HQG 0DUFK$SULOf RI WKH \HDUORQJ SURJUDP WKXV D WRWDO RI GLIIHUHQW VHVVLRQV ZHUH WR EH WDSHG ,Q WKH VSLULW RI GRLQJ WKH EHVW WKH\ FRXOG ZLWK WKHLU UHVWULFWHG ILQDQFLDO UHVRXUFHV WKH UHVHDUFKHUV GHFLGHG WKDW WKH VDPSOLQJ F\FOHV ZRXOG KDYH WR

PAGE 25

IRFXV RQ WKH LQWHUDFWLRQV RI RQO\ WKUHH RI WKH YLVLWRU UHVLGHQW SDLUV 7KLV VPDOOHU JURXS RI WKUHH SDLUV FRQVWLWXWHG WKH UHVHDUFK JURXS &RQFHQWUDWLQJ RQ D UHODWLYHO\ VPDOO VDPSOH RI WKH SURJUDPnV SDUWLFLSDQWV ZDV MXVWLILHG QRW RQO\ RQ HFRQRPLF JURXQGV LQVXIILFLHQW IXQGV WR FRQGXFW DGGLWLRQDO YLGHRWDSH DQDO\VHVf 7KH UHVHDUFKHUV GHIHQGHG WKHLU VDPSOH VL]H RQ WKH JURXQGV WKDW WKH\ ZHUH VWXG\LQJ WKH SURJUDP HWKQRJUDSKLFDOO\ WKDW LV WKH WKUHH SDLUV VHUYHG DV NH\ LQIRUPDQWV WKURXJK ZKRVH H[SHULHQFHV WKH WKHUDSHXWLF HIIHFW RI WKH SURJUDP FRXOG EH UHFRQVWUXFWHG 7KHLU LQWHUDFWLRQFORVHO\ REVHUYHG RQ YLGHRWDSH RYHU WKH FRXUVH RI WKH SURJUDPZRXOG EH DQDO\]HG WR VKRZ KRZ RU ZKHWKHUf SDWWHUQV RI PXWXDO HQJDJHPHQW HYROYHG 3URJUDP DFWLYLWLHV ZHUH XVXDOO\ FRQGXFWHG LQ WKH GLQLQJ URRP RI WKH QXUVLQJ KRPH 7KHUH ZDV URRP DW HDFK RI WKH ODUJH URXQG GLQLQJ WDEOHV IRU WKUHH SDLUV RI SDOV DQG JX\V WR FRQGXFW WKH GD\nV DFWLYLW\ D FUDIW SURMHFW JXLGHG UHPLQLVFLQJ ERDUG JDPHVf ,Q RUGHU WR UHGXFH WKH DPELHQW QRLVH GXULQJ WKH WDSLQJ RI WKHVH RQHRQRQH DFWLYLWLHV WKH UHVHDUFK JURXS ZDV LQLWLDOO\ VHSDUDWHG LQWR DQ DGMDFHQW VSHFLDO WDSLQJ URRP 7KLV VWUDWHJ\ DOVR VHUYHG WR HOLPLQDWH WKH WHPSWDWLRQ RI WKH SDOV LQ WKH UHVHDUFK JURXS WR LQWHUDFW ZLWK WKHLU SHHUV DW DGMRLQLQJ WDEOHV +RZHYHU ZKHQHYHU D SURJUDP UHTXLUHG WKH SDUWLFLSDWLRQ RI DOO SDLUV H J FRPSHWLWLYH JDPHV VXFK DV %LQJR RU 7ULYLDO 3XUVXLW RU HQWHUWDLQPHQW VXFK DV D VRQJIHVW RU VNLWf WKH UHVHDUFK JURXS UHPDLQHG ZLWK WKH RWKHUV LQ WKH GLQLQJ URRP 3RUWLRQV RI

PAGE 26

WKHVH ZKROHJURXS DFWLYLWLHV ZHUH DOVR WDSHG LQ RUGHU WR GLVFHUQ IRU SXUSRVHV RI FRPSDULVRQ KRZ WKH WDUJHWHG SDLUV FRPSRUWHG WKHPVHOYHV GXULQJ SURJUDPV LQYROYLQJ HYHU\RQHnV DWWHQWLRQ 7KH YLGHRFDPHUD DQG UHFRUGHU ZDV D -9& LQGXVWULDO SURIHVVLRQDO PRGHO ERUURZHG IURP D QHDUE\ WHDFKLQJ KRVSLWDO ,W XVHG WKH WKUHHTXDUWHU LQFK 8PDWLF IRUPDW ZLWK LWV DGYDQFHG HGLWLQJ FDSDELOLWLHV UDWKHU WKDQ WKH RQHKDOI LQFK FRQVXPHU 9+6 RU %HWDPD[ IRUPDW D FKRLFH WKDW ZDV WR KDYH WURXEOHVRPH FRQVHTXHQFHV DV ZLOO EH VHHQ VKRUWO\f 7KH FDPHUD ZDV WR EH YLVLEOH DW DOO WLPHV DQG RSHUDWHG E\ RQH RI WKH WZR ILHOGZRUNHUV SUHVHQW (YLGHQFH RI 5HDFWLYLW\ 7KH FKLHI SUREOHP UHVHDUFKHUV IDFHG LQ FKRRVLQJ WR YLGHRWDSH SURJUDP DFWLYLWLHV ZDV WKH SRVVLELOLW\ WKDW WKH SUHVHQFH RI WKHLU FDPHUD ZRXOG SURYRNH UHDFWLYLW\ LQ VXEMHFWV 5HDFWLYLW\ UHIHUV WR EHKDYLRUV WKDW DUH HOLFLWHG VSHFLILFDOO\ DV D UHVXOW RI EHLQJ REVHUYHG .D]GLQ f 7R ZKDW H[WHQW WKHQ ZHUH VXEMHFWV LQ WKLV QDWXUDOLVWLF VWXG\ GHPRQVWUDWLQJ FHUWDLQ EHKDYLRUV VLPSO\ EHFDXVH WKH\ ZHUH EHLQJ PRQLWRUHG" +RZ ZRXOG UHVHDUFKHUV GLVWLQJXLVK EHWZHHQ VSRQWDQHRXV DQG FRQVWUDLQHG EHKDYLRU" ,V WKH GLVWLQFWLRQ ZRUWK PDNLQJ DQG ZKR VKRXOG PDNH LW" 7KH DQVZHUV WR WKHVH TXHVWLRQV KLQJHG RQ WKH GHJUHH RI XQREWUXVLYHQHVV WKDW ZDV DFFRUGHG WKH UHFRUGLQJ DSSDUDWXV E\ VXEMHFWV DQG UHVHDUFKHUV 7KH GLIIHUHQFHV RI RSLQLRQ

PAGE 27

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n ILHOGQRWHV WR ILQG RXW LQ ZKDW ZD\V YLGHRWDSHG VHVVLRQV YDULHG IURP RQHV WKDW

PAGE 28

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f 0\ FKLHI LQIRUPDQWV ZHUH WKH UHVHDUFKHUV WKHPVHOYHV 7KH\ ZHUH DOUHDG\ IDPLOLDU ILJXUHV LQ WKH VHWWLQJ DVNHG WKHP WR EH DOHUW IRU DQG SUREH DQ\ FRPPHQWV PDGH E\ DQ\ SHUVRQV SUHVHQW DERXW WKH UHFRUGLQJ HTXLSPHQW LQ WKHLU PLGVW GLG QRW ZLVK WR LQFUHDVH WKH QXPEHU RI

PAGE 29

REVHUYHUV DW WKH VFHQH LQ P\ FDVH D QHZFRPHU VWXG\LQJ WKH VWXG\ 7KDW KRZHYHU ZDV WKH UROH GLG DGRSW DW WKH UHVHDUFK WHDPnV VWDII PHHWLQJV 7KHUH SDLG DWWHQWLRQ WR WKH GHFLVLRQPDNLQJ SURFHVV ZKHUHE\ WKH UHVHDUFKHUV SRQGHUHG KRZ WR UHVSRQG WR VXEMHFWV ZKHQ WKH\ H[SUHVVHG LQWHUHVW LQ ILQGLQJ RXW ZKDW WKH YLVXDO UHFRUG VKRZHG DERXW WKHLU SHUIRUPDQFH 7R WKH H[WHQW WKDW ZDV QRW LQYROYHG LQ JDWKHULQJ DQG DQDO\]LQJ GDWD DERXW WKH UHPRWLYDWLRQ SURJUDP LWVHOI UHPDLQHG DQ RXWVLGHU WR WKH JURXS GRLQJ WKH SULPDU\ VWXG\ 7KLV LQGHSHQGHQFH HQDEOHG PH WR H[DPLQH HTXDOO\ WKH FODLPV HDFK SDUW\ PDGH ZLWK UHJDUG WR WKH LPSDFW WKDW YLGHRWDSLQJ ZDV KDYLQJ RQ WKH VWXG\ EHJLQ ZLWK WKH ILUVW VWHS LQ P\ LQYHVWLJDWLRQ ZKDW VDZ ZKHQ ORRNHG DW WKH WDSHV $W WKH ILUVW DQG RQO\ JURXS RULHQWDWLRQ VHVVLRQ ZLWK WKH SDOV LQIRUPLQJ WKHP WKDW WKHLU SURJUDP GXULQJ WKDW VFKRRO \HDU ZDV JRLQJ WR EH WKH VXEMHFW RI D VWXG\ RQH RI WKH UHVHDUFKHUV UHIHUULQJ WR WKH YLGHRWDSLQJ ZKLFK DW WKDW YHU\ PLQXWH ZDV JRLQJ RQ DGYLVHG 'RQnW OHW LW ERWKHU \RX 7KH NLGV LPPHGLDWH UHDFWLRQ FRXOG EH GHVFULEHG DV D PL[WXUH RI VFHSWLFLVP 2K VXUHf DQG QHUYRXVQHVV JLJJOLQJf DV WKH\ JHVWLFXODWHG WRZDUG WKH FDPHUD FDOOLQJ LW 7KH 2QH %LJ(\H ,Q WKH UHSDUWHH WKDW IROORZHG WZR WKHPHV UHFXUUHG WKH NLGVn UHFRJQLWLRQ WKDW WKHLU EHKDYLRU ZRXOG EH PDGH SHUPDQHQW DQG UHWULHYDEOH RQ WDSH DQG WKH UHVHDUFKHUnV

PAGE 30

LQVLVWHQFH WKDW WKHLU DZDUHQHVV RI WKDW VLWXDWLRQ ZRXOG GLPLQLVK RYHU WLPH ,Q VXFK TXHVWLRQV DV :LOO RWKHU NLGV VHH PH" RU :KDW LI ,nP FDXJKW LQ DQ HPEDUUDVVLQJ VLWXDWLRQ" WKH NLGV DSSHDUHG WR JUDVS WKH IDFWLFLW\ RI WKH YLGHRWDSHnV VRXQGLPDJH 7KHLU TXHVWLRQV GLVSOD\HG DQ DZDUHQHVV WKDW WKH YHU\ H[LVWHQFH RI DQ DXGLRYLVXDO UHFRUG FRQWDLQHG WKH SRVVLELOLW\ WKDW JDSV RU PLVWDNHV LQ WKH LPDJH WKH\ ZLVKHG WR SURMHFW RI WKHPVHOYHV FRXOG EH VFUXWLQL]HG 7KRXJK WKH UHVHDUFKHU JXDUDQWHHG FRQILGHQWLDOLW\ :H ZLOO QRW VKRZ WKLV VWXII WR DQ\RQH RXWVLGH WKLV URRPf WKHVH \RXQJ DGROHVFHQWV FRXOG QRW DW WKLV MXQFWXUH FRPSOHWHO\ WUXVW DQ RXWVLGHU 2I FRXUVH VRPH LQLWLDO VXVSLFLRXVQHVV ZDV WR EH H[SHFWHG EHFDXVH WKH UHVHDUFKHU ZDV QRW \HW D GHSHQGDEOH SHUVRQ LQ WKHLU OLYHV 2QO\ VRPHRQH ZKR ZDVQnW \RXU IULHQG ZRXOG FODLP KH ZDV JRLQJ WR EH QHXWUDO RU QRQMXGJPHQWDO DERXW \RXU DFWLRQV 7KUHH RU IRXU RI XV DUH JRLQJ WR EH KDQJLQJ DURXQG WKLV SURJUDP ZDWFKLQJ NHHSLQJ RXW RI WKH ZD\f %XW WKHLU XQHDVLQHVV FDQ DOVR EH DWWULEXWHG WR D SHUFHSWLRQ DQ\ LQWHOOLJHQW SHUVRQ PLJKW KDYH LQ WKHVH FLUFXPVWDQFHV $FWLRQV UHFRUGHG RQ YLGHRWDSH FDQQRW EH DQRQ\PRXV ,I WKH LPDJHV DQG VRXQGV RQ WKH WDSHV ZHUH WR EH GLVWRUWHG E\ WHFKQLFDO PHDQV DV WKH\ URXWLQHO\ DUH RQ FHUWDLQ LQYHVWLJDWLYH 79 VKRZV VXFK DV -' 0LQXWHV WKHQ DQRQ\PLW\ FRXOG EH JXDUDQWHHG %XW QR VXFK GRFWRULQJ RI WKH WDSHV ZDV RIIHUHGf $V ORQJ DV WKH SRVVLELOLW\ H[LVWHG WKDW PDOLFLRXV UHPDUNV RU XQVHHPO\ EHKDYLRU ZRXOG EH FDSWXUHG RQ WDSH WKHQ SHUVRQV WKH\ GLG FDUH DERXW H J WHDFKHUV

PAGE 31

IULHQGV UHODWLYHVf FRXOG FRQFHLYDEO\ EH DEOH WR YLHZ WKHLU DFWLRQV DQG IRUP RSLQLRQV DERXW WKHP ZLWKRXW WKHLU EHLQJ SUHVHQW WR DUJXH LQ WKHLU RZQ GHIHQVH ,Q VKRUW DQ LPSRUWDQW PHFKDQLVP IRU ERWK DOORZLQJ DQG FRQFHDOLQJ VRFLDO LPSURSULHWLHVWKHLU QRW EHLQJ QRWLFHG LQ WKH IOX[ RI WLPHZDV JRLQJ WR EH GLVDEOHG $QRWKHU NLQG RI UHVHUYDWLRQ H[SUHVVHG GXULQJ WKLV PHHWLQJ FDQ EH IRXQG LQ RQH RI WKH SDOV H[KRUWLQJ WKH JURXS WR $FW QRUPDO ZKLFK ZDV IROORZHG E\ DQRWKHU SDO UHWRUWLQJ
PAGE 32

2QFH WDSLQJ RI WKH ILUVW F\FOH RI WKH UHPRWLYDWLRQ SURJUDP JRW XQGHUZD\ DW WKH QXUVLQJ KRPH GLIILFXOWLHV ZLWK WKH REVHUYDWLRQDO IRUPDW ZHUH EURXJKW WR WKH DWWHQWLRQ RI WKH UHVHDUFKHUV ,Q LQWHUYLHZV WKDW ZHUH EHLQJ FRQGXFWHG E\ WKH VFKRROEDVHG ILHOGZRUNHU WKH NLGV ERWK ZLWKLQ DQG RXWVLGH WKH YLGHRWDSH VDPSOH FRPSODLQHG DERXW WKH VHSDUDWLRQ RI WKH WKUHHSDLU UHVHDUFK JURXS 7KUHH GLIIHUHQW UDWLRQDOHV ZHUH GLVFHUQLEOH LQ WKHVH REMHFWLRQV ILUVW ZDV WKH IUDFWXULQJ RI WKHLU VFKRROn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

PAGE 33

GHPRFUDWL]H WKH VDPSOH :K\ QRW VWXG\ HYHU\RQH" %XW WKH WKUHH JLUOV LQ WKH UHVHDUFK JURXS KDG VHFRQG WKRXJKWV DERXW VXUUHQGHULQJ WKHLU VSHFLDO VWDWXV %HIRUH H[DPLQLQJ LQ GHSWK WKH WDUJHW JURXSn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

PAGE 34

DZD\ IURP WKH WDEOH ZKHUH WKH DFWLRQ ZDV JRLQJ RQ WKH FDPHUDnV EXLOWLQ PLFURSKRQH ZDV QRW DEOH WR SLFN XS WKH RIWHQ VXEGXHG YRLFHV RI WKH JX\V 7KH UHVHDUFKHUVn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
PAGE 35

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f 7KH\ JHQXLQHO\ VKDUHG WKH RSLQLRQ RI WKH DGXOWV LQ FKDUJH WKDW VXFK EHKDYLRU ZDV LQDSSURSULDWH DW OHDVW GXULQJ WKH WLPHV WKH\ ZHUH EHLQJ HQFRXUDJHG WR UHIOHFW DQG ZHUH QRW DFWXDOO\ WUDSSHG LQ D FRQYHUVDWLRQ WKDW KDG SHWHUHG RXW $W RWKHU WLPHV WKH\ H[SUHVVHG GLVFRPIRUW ZLWK WKH HYLGHQWLDU\ VWDWXV RI WKH YLVXDO UHFRUG 7KH WDSH ZRXOG

PAGE 36

LQVWDQWLDWH IRUHYHU SURRI RI DQ\ PDODGURLWQHVV WKH\ PLJKW KDYH H[KLELWHG DV D UHVXOW RI WKHLU LQH[SHULHQFH $ SUHRFFXSDWLRQ DERXW KRZ WKH\ DSSHDUHG WR RWKHUV H[WHQGHG DOVR WR FULWLTXLQJ WKHPVHOYHV LQ WKH UDQGRP RFFDVLRQV ZKHQ WKH\ JRW WR KHDU RU VHH WKHPVHOYHV 6HOIFRQIURQWDWLRQ KDG QRW EHHQ JLYHQ D SODFH LQ WKH RULJLQDO UHVHDUFK GHVLJQf 2QFH ZKHQ WKH\ ZHUH SOD\LQJ ZLWK WKH ILHOGZRUNHUnV WDSH UHFRUGHU VWRSSLQJ LW WR KHDU ZKDW WKH\ VRXQGHG OLNH RQH JLUO FRPSODLQHG WKDW KHU YRLFH VRXQGHG 6TXHDN\ OLNH EDE\ WDON $QRWKHU JLUO RQ VHHLQJ KHUVHOI RQ WKH PRQLWRU FRPPHQWHG 0\ QRVH LV VR IODW 0RUH ZLOO EH VDLG LQ WKH QH[W FKDSWHU DERXW WKH SRZHU RI WKH YLGHR LPDJH WR LQGXFH VHOIDVVHVVPHQWf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nOO NQRZ OLNH KLP RU 6KHnOO ILQG RXW ZHUH QRW FRPSOHWHO\ XQUHDVRQDEOH LQ OLJKW RI WKH IDFW WKDW WKH VXEMHFWV ZHUH DZDUH WKDW WKUHH RWKHU PHPEHUV RI WKH *HULDWULF &OXE KDG SDUHQWV ZKR ZHUH SDUW RI WKH UHVHDUFK WHDP

PAGE 37

7KH SDOVn SHUKDSV H[DJJHUDWHG FRQFHUQ DERXW OHDNV DUH LPSRUWDQW EHFDXVH WKH DWWHQWLRQ WKDW ZDV EHLQJ GLUHFWHG DW WKHLU SURJUDP E\ WKH UHVHDUFKHUV SUHVHQWHG WKHP ZLWK D XQLTXH RSSRUWXQLW\ WR FULWLFL]H WKH EHKDYLRU RI WKH DGXOWV VXSHUYLVLQJ WKHP +RZHYHU DV ORQJ DV WKH\ VHQVHG WKDW WKHLU LGHQWLW\ FRXOG QRW EH FRPSOHWHO\ VKLHOGHG WKH RSSRUWXQLW\ WR EH FDQGLG ZLWK RXWVLGHUV FDUULHG D FHUWDLQ ULVN 7KH\ ZHUH ZLOOLQJ WR IDXOW VRPH DFWLYLWLHV SODQQHG E\ WKH VXSHUn YLVRUV DV UHSHWLWLRXV DQG ERULQJ
PAGE 38

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

PAGE 39

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n GLQDWRUV DSSURDFKHG WKH UHVHDUFKHUV DQG SRLQWHG RXW WKDW WKHLU LQWHUDFWLRQV ZLWK WKH JX\V DQG SDOV QRZ IRUPHG SDUW RI WKH YLVXDO UHFRUG 7KH FRRUGLQDWRUV ZHUH FRQFHUQHG WKDW WKH\ KDG QRW EHHQ DGHTXDWHO\ QRWLILHG WKDW WKHLU DFWLRQV ZHUH ZLOO\QLOO\ JRLQJ WR EH LQFOXGHG ZLWKLQ WKH VFRSH RI WKH UHVHDUFK 7KH UHVHDUFKHUVn UHVSRQVH WR WKH FKDUJH WKDW WKH\ KDG XQZLWWLQJO\ HQODUJHG WKH IUDPH RI WKHLU YLGHR UHVHDUFK EH\RQG WKH WKUHH G\DGV ZDV WR GUDZ XS DQ LQIRUPHG FRQVHQW DJUHHPHQW IRU WKH FRRUGLQDWRUV 7KH SXUSRVH RI WKLV GRFXPHQW ZDV WR JXDUDQWHH WR WKHP IRUPDOO\ WKHLU ULJKWV WR SULYDF\ DQG FRQILGHQWLDOLW\ EXW LW DOVR KDG WKH HIIHFW RI DGGLQJ YDOLGLW\ WR WKHLU FODLP WKDW WKHLU MRE SHUIRUPDQFH ZDV EHLQJ GRFXPHQWHG RQ WKH YLGHRWDSHV
PAGE 40

5HVHDUFKHU $PELYDOHQFH 7KHUH LV D ILQDO DVSHFW DERXW WKH XVH RI YLGHRWDSH LQ WKLV SURMHFW ZKLFK VKRXOG EH LQFOXGHG EHIRUH HQGLQJ WKLV FKDSWHU UHIHU WR WKH UHVHDUFKHUVn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nV PRQLWRULQJ SUHVHQFH RU ZKHWKHU IULHQGVKLSV KDG GHYHORSHG RYHU WKH FRXUVH RI YLVLWLQJ DQG VRFLDOL]LQJ KDG EHFRPH PRUH LPSRUWDQW WKDQ FRPSO\LQJ ZLWK WKH SUHYLRXVO\ DJUHHGXSRQ DJHQGD 7KH GLVFXVVLRQV GLG QRW UHDFK D FRQFOXVLRQ DQG H[SHULHQFHG IRU WKH ILUVW WLPH KRZ GLIILFXOW LW ZRXOG EH FRQFHSWXDOO\ WR GLVHQJDJH KDELWXDWLRQ WR REVHUYDWLRQ IURP WKH HPHUJHQFH RI QHZ LQWHUHVWV DPRQJ WKH DFWRUV

PAGE 41

2QH SRLQW RI DJUHHPHQW DPRQJ DOO WKH REVHUYHUVUHPRWH SHULSKHUDO DQG GLUHFWZDV WKDW WKH REMHFWLYHV RI WKH SURJUDPWKH GHOLYHU\ RI UHPRWLYDWLRQ WKHUDS\ WR WKH HOGHUO\ ZDV QRW EHLQJ V\VWHPDWLFDOO\ FDUULHG RXW GXULQJ WKH WZLFHZHHNO\ DFWLYLWLHV 7KH RULJLQDO WKHUDSHXWLF PRGHO FDOOHG IRU QRQSURIHVVLRQDO WKHUDSLVWV WR VWUXFWXUH WKHLU YLVLWV DORQJ D ILYHVWDJH VHTXHQFH 5RELQVRQ f 7KH SXUSRVH RI GHPDUFDWLQJ HDFK YLVLW LQWR VWDJHV ZDV WR JXLGH WKH HOGHUO\ IURP DQ DSSUHFLDWLRQ RI WKHLU DFFRPSOLVKPHQWV WRZDUG DQ RSWLPLVP DERXW WKHLU SURVSHFWV +RZHYHU WKH GHSWK RI GHSUHVVLRQ LQ VRPH RI WKH JX\V SURYHG WR EH EH\RQG WKH JRRG LQWHQWLRQV DQG V\PSDWKLHV RI WKHLU SDOV ,Q WKH IDFH RI WKH SDOVn GLIILFXOWLHV LQ DGKHULQJ UHSHWLWLRXVO\ WR WKH SUHVHOHFWHG ILYHVWDJH IRUPDW WKH SURJUDP VXSHUYLVRUV UHOLQTXLVKHG WKHLU H[SHFWDWLRQV DERXW ORQJ UDQJH SV\FKRORJLn FDO EHQHILWV DQG EHFDPH PRUH DFFHSWLQJ RI WKH SURJUDPn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

PAGE 42

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nV OLIH KLVWRU\ :H UHDFKHG D FRQVHQVXV WKDW RXU MXGJPHQW RI VKRUWIDOOV LQ WKH SURJUDP ZHUH HPDQDWLQJ IURP D VWUXFWXUH RI YDOXHV WKDW RQO\ WKH H[WHQGHG DQDO\WLF SKDVH RI WKH UHVHDUFK SURFHVV ZRXOG PDNH H[SOLFLW ,Q VKRUW ZH ZRXOG VKDUH QR LQVLJKWV XQWLO RXU SURMHFW ZDV FRPSOHWH :H ZHUH WKHUH WR VWXG\ QRW WR WUHDW ZDV SX]]OHG E\ WKH UHVHDUFK WHDPnV GHFLVLRQ QRW WR FUHDWH D PHFKDQLVP E\ ZKLFK WKH SURJUDP VXSHUYLVRUV DQG WKH SDOV FRXOG VDWLVI\ WKHLU FXULRVLW\ DERXW KRZ WKH\ ZHUH SHUIRUPLQJ ,W VHHPHG WR PH WKH UHVHDUFKHUV ZHUH LQWHUSUHWLQJ WKH LQIRUPHG FRQVHQW DJUHHPHQW VWULFWO\

PAGE 43

$V ORQJ DV VXEMHFWV KDG EHHQ QRWLILHG WKDW WKH WDSHV ZHUH EHLQJ FRPSLOHG IRU D VHULHV RI SRVW KRF DQDO\VHV WR EH WULDQJXODWHG ZLWK SDUWLFLSDQW REVHUYHUVn ILHOGQRWHV DQG IRFXVHG LQWHUYLHZ WUDQVFULSWVf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f :K\ DUH ILHOG UHVHDUFKHUV LQFOLQHG WR PLQLPL]H WKH VLJQLILFDQFH RI UHDFWLYLW\" f ,V WKH LQIRUPHG FRQVHQW DJUHHPHQW PHUHO\ D FRXUWHV\ H[WHQGHG WR VXEMHFWV WR VHFXUH WKHLU FRRSHUDWLRQ RU LV LW D IRUFHIXO JXDUDQWHH WR VXEMHFWV WKDW WKHLU SHUVRQDO GLJQLW\ ZLOO EH UHVSHFWHG"

PAGE 44

f ,I LW LV WKH ODWWHU WKHQ LQ ZKDW ZD\ GRHV WKH LQIRUPHG FRQVHQW DJUHHPHQW PDNH VXEMHFWV WKH HTXDOV RI UHVHDUFKHUV LQ WKH UHVHDUFK HQGHDYRU" f 7R ZKDW H[WHQW GRHV WKH DJUHHPHQW SURYLGH VXEMHFWV ZLWK RSSRUWXQLW\ IRU HUHFWLQJ DQG PRGLI\LQJ WKH FRQGLWLRQV XQGHU ZKLFK WKHLU EHKDYLRU ZLOO EH VWXGLHG" f $UH WKHUH SURYLVLRQV ZKLFK DOORZ VXEMHFWV WR UHQHJRWLDWH WKH WHUPV RI WKH DJUHHPHQW LQ WKH OLJKW RI WKHLU H[SHULHQFH RI EHLQJ VWXGLHG" f ,Q IDFW LV D FRQWUDFWXDO DJUHHPHQW WKH PRVW VXLWDEOH PRGHO IRU JXLGLQJ WKH UHVHDUFKHUVXEMHFW UHODWLRQVKLS" f ,V WKHUH D WKHRUHWLFDO PRGHO IRU FROODERUDWLYH UHVHDUFK ZKLFK ZRXOG SURYLGH ERWK SDUWLHV ZLWK VXEVWDQWLYH NQRZOHGJH DQG DW WKH VDPH WLPH KXPDQHO\ SURPRWH WKH FRQYHUJHQFH RI WKHLU LQWHUHVWV" f 7R ZKDW H[WHQW GR FXUUHQW GRFXPHQWDU\ XVHV RI YLGHRWDSH LQ UHVHDUFK SUHVHUYH DQG UHLQIRUFH WKH GLYHUJHQFH LQ UHVHDUFKHU DQG VXEMHFW LQWHUHVWV" f ,V WKHUH D ZD\ WR FRQGXFW YLGHRWDSH UHVHDUFK WKDW EXLOGV RQ UDWKHU WKDQ GHIOHFWV VXEMHFWVn UHDFWLYLW\" f :RXOG LQYROYLQJ VXEMHFWV PRUH GHHSO\ LQ WKH YLVXDO H[DPLQDWLRQ RI WKHLU SUDFWLFHV UHTXLUH FKDQJLQJ RXU FRQFHSWLRQ RI LQIRUPHG FRQVHQW DQG WKH UHVHDUFKHUnV UROH" 7KH UHPDLQGHU RI WKLV GLVVHUWDWLRQ FRQWDLQV WKH UHVXOWV RI P\ UHDGLQJ DQG WKLQNLQJ DERXW WKHVH TXHVWLRQV &KDSWHU

PAGE 45

,,, LV D FULWLFDO UHYLHZ RI WKH SURSRVDOV SXW IRUZDUG E\ UHVHDUFK PHWKRGRORJLVWV LQ D QXPEHU RI GLVFLSOLQHV IRU GHDOLQJ ZLWK WKH WKUHDW WKDW WKH\ FRQVLGHU UHDFWLYLW\ SRVHV WR WKH UHOLDELOW\ DQG YDOLGLW\ RI NQRZOHGJH 4XHVWLRQ f &KDSWHU ,9 LV DQ H[DPLQDWLRQ RI WKH HWKLFDO LPSOLFDWLRQV RI WKHVH SURSRVDOV DV WKH\ EHDU RQ PHHWLQJ WKH UHTXLUHPHQW RI LQIRUPHG FRQVHQW 4XHVWLRQV f 7KH VWDUWLQJ SRLQW IRU &KDSWHU 9 LV +DEHUPDVn WKHRU\ RI FRPPXQLFDWLYH DFWLRQ ZKLFK LV WKHQ DSSOLHG WR FROODERUDWLYH UHVHDUFK GHVLJQV WKDW FODLP WR KRQRU VXEMHFWVn GHVLUH WR VKDSH WKH GLUHFWLRQ RI LQTXLU\ 4XHVWLRQV f &KDSWHU 9, FRQWDLQV D GHVFULSWLRQ RI D WZRVWDJH PRGHO IRU FRQGXFWLQJ YLGHRWDSH UHVHDUFK WKDW UHTXLUHV FRQWLQXRXV DQG FORVH FROODERUDWLRQ EHWZHHQ UHVHDUFKHUV DQG VXEMHFWV 4XHVWLRQV f

PAGE 46

&+$37(5 ,,, '($/,1* :,7+ 5($&7,9,7< (3,67(02/2*,&$/ ,668(6 ,Q &KDSWHU ,, DQ DFFRXQW ZDV JLYHQ RI D UHVHDUFK WHDPnV UHVSRQVH WR VXEMHFWVn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

PAGE 47

UHFRPPHQG SRLQW RXW WKDW LQ VSLWH RI WKHLU UHFRPPHQGDWLRQV D ODUJH GHJUHH RI XQFHUWDLQW\ VWLOO VXUURXQGV WKH YHUDFLW\ RI REVHUYDWLRQDO UHVHDUFK HQG E\ W\LQJ WKH FRQWLQXLQJ GLIILFXOW\ WKDW UHDFWLYLW\ SUHVHQWV WR UHVHDUFKHUVn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n RYHUW DQG VXEWOH HIIRUWV WR VXEYHUW WKH FRQGLWLRQV RI EHLQJ VWXGLHG IRXQG WKDW SV\FKRORJLVWV HVSHFLDOO\ EHKDYLRUDO WKHUDSLVWV WDNH UHDFWLYLW\ PXFK PRUH VHULRXVO\ WKDQ GR ZULWHUV RI ILHOGZRUN PDQXDOV ,W FRXOG EH DUJXHG WKDW SUHFLVHO\ EHFDXVH WKHUH VHHPV WR EH DQ LQWHQWLRQDOLW\ WR UHDFWLYLW\ VRPH RI WKH PRUH PHFKDQLVWLF DVVXPSWLRQV RI EHKDYLRULVWV EHFRPH VXVSHFW DQG WKH\ WKHUHIRUH DUH UHTXLUHG WR PDNH H[WHQGHG UHVSRQVHV %HKDYLRULVP UHVWV RQ WKH DVVXPSWLRQ WKDW D VFUXSXORXVO\ QRQLQIHUHQWLDO

PAGE 48

QRQGLVUXSWLYH IRUP RI REVHUYDWLRQ LV QRW RQO\ SRVVLEOH EXW HPLQHQWO\ GHVLUDEOH %XW ILHOG UHVHDUFK WRR DV ZH VKDOO VHH SUL]HV REMHFWLYLW\ DQG QHXWUDOLW\ LQ LWV UHSRUWV DERXW VRFLDO SUDFWLFHV /HDYLQJ XQUHVROYHG IRU WKH PRPHQW WKH TXHVWLRQ RI ZKHWKHU WKH WZR UHVHDUFK WUDGLWLRQV DUH FKDUDFWHUL]HG E\ GLIIHUHQW SRVLWLRQV ZLWK UHJDUG WR WKH LPSRUWDQFH HDFK DWWDFKHV WR WKH LQWHQWLRQV RI D UHDFWLYH VXEMHFW ZKDW LQWULJXHG PH DERXW WKH H[SHULPHQWDOLVWVn LQYHVWLJDWLRQ RI UHDFWLYLW\ LV WKH SDUDGR[ WKDW LQ WKH DUWLILFLDO VHWWLQJ RI WKH ODERUDWRU\ VXEMHFWV WHQG WR EHKDYH OHVV UHDFWLYHO\ WKDQ LQ QDWXUDO VHWWLQJV %DXP )RUHKDQG t =HJLRE )RVWHU t &RQH .D]GLQ 7XQQHOO f ,Q WKH ODERUDWRU\ RQO\ D QDUURZO\ VSHFLILHG ELW RI EHKDYLRU LV SODFHG XQGHU REVHUYDWLRQ ZKHUHDV LQ WKH ILHOG WKH DVSHFWV RI WKH VXEMHFWVn SHUIRUPDQFH WKDW ZLOO EH VWXGLHG E\ UHVHDUFKHUV DUH GHOLEHUDWHO\ OHIW YDJXH DQG XQVSHFLILHG ERWK DW WKH RXWVHW DQG GXULQJ WKH FRXUVH RI D VWXG\ OHDYLQJ LQWDFW WKH RFFDVLRQ IRU DQ[LHW\ DQG GLVVHPEOLQJ DOVR IRXQG LW ORJLFDO WR VWDUW ZLWK WKH H[SHULPHQWDOLVW WUDGLWLRQ LQ SV\FKRORJ\ EHFDXVH LQ LWV DOOHJLDQFH WR FRQWUROOHG REVHUYDWLRQ SURFHGXUHV LW WDNHV LQWR FRQVLGHUDWLRQ FHUWDLQ IXQGDPHQWDO IDFWV DERXW WKH VWXG\ RI SKHQRPHQD WKDW KDYH IRU D ORQJ WLPH EHHQ JUDVSHG E\ LQYHVWLJDWRUV LQ WKH SK\VLFDO DQG OLIH VFLHQFHV )RU H[DPSOH LW DFFHSWV IURP ELRORJ\ WKH IDFW WKDW UHDFWLYLW\ LV LQHVFDSDEOH 2UJDQLVPV EHKDYH GLIIHUHQWO\ ZKHQ RQH RI WKHLU

PAGE 49

VSHFLHV LV SUHVHQW WKDQ ZKHQ WKH\ DUH DORQH =DMRQF f $ JUHDW GHDO RI WKH UHVSRQVLYHQHVV LQ KXPDQV KDV EHHQ VKRZQ WR LQYROYH WKH LQYROXQWDU\ QHUYRXV V\VWHP 7KH DSSURDFK RI DQRWKHU LQFUHDVHV DURXVDO UDWHV DQG DOWHUV UHVSRQVH IUHTXHQFLHV &RWWUHOO 0LGGOHPLVW .QRZOHV t 0DWWHU f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t -DFNVRQ S f 5HDFWLYLW\ UHIHUV WR LPPHGLDWH RU ORQJWHUP FKDQJHV LQ WKH WDUJHW EHKDYLRU RU WDUJHW VXEMHFWV DV D IXQFWLRQ RI WKH DVVHVVPHQW SURFHGXUH +D\QHV t :LOVRQ S f 7KH UHDFWLYH HIIHFW FDQ EH H[SHFWHG ZKHQHYHU WKH WHVWLQJ SURFHVV LV LWVHOI D VWLPXOXV WR FKDQJH UDWKHU WKDQ D SDVVLYH UHFRUG RI EHKDYLRU &DPSEHOO t 6WDQOH\ S f 1RWH WKDW WKHVH GHILQLWLRQV DWWULEXWH QR LQWHQWLRQDOLW\ WR VXEMHFWV $W WKH GHILQLWLRQDO OHYHO DW OHDVW UHDFWLYLW\ LV FRQVWUXHG DV DQ LQWULQVLF OLPLW WKDW DFWV DV\PSWRWLFDOO\ WR ORZHU WKH DFFXUDF\ RI WKH UHVHDUFKHUnV PHDVXUHPHQWV +RZHYHU ZKHQ ZH ORRN DW WKH LOOXVWUDWLRQV ZKLFK DFFRPSDQ\ GHILQLWLRQV RI UHDFWLYLW\ WKH EXUGHQ VKLIWV IURP WKH UHVHDUFKHUnV PHWKRG WR WKH VXEMHFWnV DJHQGD .D]GLQ f

PAGE 50

WKH DXWKRU RI QXPHURXV VWXGLHV RI UHDFWLYLW\ IRU H[DPSOH SRLQWV RXW WKDW YDOHQFHWKH VRFLDO YDOXH DFFRUGHG WKH EHKDYLRULQIOXHQFHV WKH GLUHFWLRQ RI UHDFWLYLW\ 6RFLDOO\ GHVLUDEOH RU SRVLWLYHO\ YDOHQFHG EHKDYLRU H J WDVN FRPSOHWLRQf WHQG WR LQFUHDVH XQGHU FRQGLWLRQV RI DVVHVVPHQW ZKHUHDV QHJDWLYHO\ YDOHQFHG EHKDYLRU H J GUXJ XVHf WHQGV WR GHFUHDVH :KHQ WKH FRQWH[WV LQ ZKLFK UHDFWLYLW\ RFFXUV DUH LQFOXGHG UHVHDUFKHUV H J 5RVHQWKDO f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f DVVHUWV WKDW REVHUYHUV GR QRW KDYH WR EH SUHVHQW IRU WKHUH WR EH UHDFWLYH HIIHFWV $ VLWXDWLRQ LV UHDFWLYH ZKHQHYHU SDUWLFLSDQWV NQRZ WKDW VRPH IRUP RI REVHUYDWLRQ LV WDNLQJ SODFH 7KXV KXPDQ EHLQJV PD\ EH UHDFWLYH WR WKHPVHOYHV

PAGE 51

WKH\ PD\ DOWHU WKHLU EHKDYLRU GXULQJ DQ\ UHJLPHQ RI VHOIPRQLWRULQJ $ ZKROH OLQH RI ODERUDWRU\ UHVHDUFK FRQGXFWHG RQ WKLV SKHQRPHQRQ VWDUWLQJ LQ WKH ODWH V DQG FRQWLQXLQJ WKURXJKRXW WKH V HVWDEOLVKHG WKDW PRQLWRULQJ RQHnV RZQ EHKDYLRU FUHDWHV UHDFWLYH HIIHFWV HTXDO WR EHLQJ PRQLWRUHG REWUXVLYHO\ E\ REVHUYHUV %DLOH\ t 6RZGHU &LPLQHUR 1HOVRQ t /LSLQVNL 'DQHW .D]GLQ f %HKDYLRUDO WKHUDSLVWV DUH SDUWLFXODUO\ DWWUDFWHG WR WKLV SKHQRPHQRQ EHFDXVH VHOIPRQLWRULQJ FUHDWHV D IHHGEDFN ORRS ZKLFK FRQWULEXWHV WR VHOIUHJXODWLRQ 1HOVRQ /LSLQVNL t %ODFN S f 7KH\ KDYH VKRZQ WKDW ZKHQ VXEMHFWV PDNH XVH RI VRPH W\SH RI VHOIUHFRUGLQJ GHYLFH VSHDNLQJ LQWR D DXGLRFDVVHWWH SOD\HU FRQVXOWLQJ D WHOHn YLVLRQ PRQLWRU UHYLHZLQJ D YLGHRWDSHf WKH\ WHQG OLNH VXEMHFWV XQGHU WKH VFUXWLQ\ RI REVHUYHUV WR DPSOLI\ EHKDYLRUV FRQVLGHUHG VRFLDOO\ EHQHILFLDO DQG VXSSUHVV EHKDYLRUV WKDW DUH DYHUVLYH WR RWKHUV DQG WR WKHPVHOYHV +D\QHV 1HOVRQ 1HOVRQ t +D\HV 1HOVRQ /LSLQVNL t %R\NLQ f ZLOO UHWXUQ LQ WKH ILQDO FKDSWHU WR WKLV SRWHQWLDO IRU FKDQJH WKDW LV SUHVHQW LQ DXGLRYLVXDOO\DVVLVWHG WHFKQLTXHV RI VHOIPRQLWRULQJ ([SODQDWLRQV RI 5HDFWLYLW\ ,Q DQ H[WHQVLYH VXPPDWLYH UHYLHZ RI VWXGLHV SXEOLVKHG GXULQJ WKH V DQG V ZKLFK GRFXPHQW WKH H[LVWHQFH DQG FKDUDFWHULVWLFV RI UHDFWLYH HIIHFWV LQ H[SHULPHQWDO DQG WKHUDSHXWLF VHWWLQJV +D\QHV DQG +RUQ

PAGE 52

f FRQFOXGHG WKDW QRW D VLQJOH RQH RI WKHP DGGUHVVHG WKH VLJQLILFDQFH RI WKH SKHQRPHQRQ .D]GLQ f LQ D UHWURVSHFWLYH HVVD\ UHDFKHG D VLPLODU FRQFOXVLRQ 5HDFWLYLW\ LV QRW ZHOO XQGHUVWRRG %RWK WKH FRQGLWLRQV XQGHU ZKLFK UHDFWLYH HIIHFWV RFFXU DQG WKH XQGHUO\LQJ PHFKDQLVPV UHPDLQ WR EH HODERUDWHG 5HODWLYHO\ OLWWOH LV NQRZQ DERXW WKH QDWXUH RI UHDFWLYH HIIHFWV DQG WKH IDFWRUV WKDW GLFWDWH WKHLU DSSHDUDQFH S f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

PAGE 53

QRQPDQLSXODWLYH UDWLRQDOH IRU SV\FKRORJ\ 6HH 6KRWWHU DQG *DXOG DQG 6KRWWHU IRU DQ RXWOLQH RI KLV SURJUDPf 6KRWWHU ILUVW FDPH WR P\ DWWHQWLRQ LQ DQ HVVD\ KH FRQWULEXWHG WR 'RZULFN DQG %LJJVn f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nV VSHFLDO SURYLQFH LV WR IRUFH RXU DWWHQWLRQ WR KRZ PHDQLQJ DULVHV DW WKH FRQMXQFWLRQ RI LQQHU SULPRUGLDO H[SHULHQFHV DQG RXWHU VRFLDO UHODWLRQV LW DWWHPSWV WR GLVHQWDQJOH WKH WZR RQO\ WR ZHDYH WKH VNHLQV EDFN WRJHWKHU :KHQ ZH DVVLJQ PHDQLQJ WR DQ DFWLRQ ZH DVVHUW D UHODWLRQ EHWZHHQ RXUVHOYHV RWKHU VRFLDO DFWRUV DQG WKH DFWLRQ ZH DUH WU\LQJ WR H[SODLQ 7KLV DFW LV FDOOHG LQWHUSUHWDWLRQ IURP LQWHUSUHV /DWLQ IRU DQ DJHQW EHWZHHQ WZR SDUWLHV D EURNHUf $Q DVVXPSWLRQ WKDW XQGHUOLHV DQ\ LQWHUSUHWDWLRQ LV WKDW VRPH FRUUHVSRQGHQFH H[LVWV EHWZHHQ RXU PLQG DQG WKH PLQG RI WKH RWKHU
PAGE 54

XQLGLPHQVLRQDO :KHQHYHU ZH GLUHFW RXU JD]H DW WKH DFWLRQV RI RWKHUV ZH PD\ LQWHQG WR SHUFHLYH SULPDULO\ WKHLU VWDWH RI PLQG EXW DW WKH VDPH WLPH ZH DOZD\V H[SHULHQFH RXU RZQ VWDWH RI PLQG ZLWK UHJDUG WR WKHP 7KLV GRXEOLQJ XQGHUPLQHV DQ\ VLPSOH PLQGWRPLQG ILW ,W LV GLIILFXOW WR VSHFLI\ DFFXUDWHO\ WKH PHDQLQJ RI DQRWKHUn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nLQDELOLW\ RU UHIXVDO WR LJQRUH EHLQJ REVHUYHG 6KRWWHU ZKR XVHV YLGHRWDSH LQ D FOLQLFDO PRGH DQG WKHUHIRUH FDQQRW RYHUORRN HLWKHU WKH HWLRORJ\ RU WKH IXQFWLRQ RI KLV SDWLHQWVn UHDFWLYLW\ SURYLGHV XV ZLWK DQ LQWHUSUHWDWLRQ RI WKH REVHUYHUREVHUYHG UHODWLRQ WKDW KDV LPSRUWDQW LPSOLFDWLRQV IRU DQ\ FDPHUDGHSHQGHQW VRFLDO UHVHDUFK +LV VWDUWLQJ SRLQW DV LW LV IRU PDQ\ ZKR VWXG\ IDFHWRIDFH LQWHUDFWLRQ LV WKH ZRUN

PAGE 55

RI (UYLQJ *RIIPDQ VSHFLILFDOO\ 7KH 3UHVHQWDWLRQ RI 6HOI LQ (YHU\GD\ /LIH f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nV D VLOHQW DPDQXHQVLV LQ WKH JUDPPDU RI VRFLDO LQWHUDFWLRQ LW LV SRVLWLRQHG LPSUHJQDEO\ LQ WKH WKLUG SHUVRQ ,W LV QRW RSHQ WR QHJRWLDWLQJ IRUJLYHQHVV LW GRHVQnW VXSSO\ LQVWDQWDQHRXV IHHGEDFN LW ZRQnW ODXJK ZKHQ D MRNH LV FUDFNHG 7KH FDPHUD LV WKH UHLILFDWLRQ RI WKH REVHUYHUnV QRQLQWHUIHUHQFH

PAGE 56


PAGE 57

RI WKLV IOXFWXDWLRQ RI SHUVSHFWLYHV LV WKH GHDXWRPDWL]DWLRQ RI EHKDYLRU RXU XVXDO LQDWWHQWLRQ WR SURFHVVHV RYHU ZKLFK ZH KDYH UHOLQTXLVKHG FRQVFLRXV FRQWURO FDQ QR ORQJHU FRQWLQXH ZH DUH IRUFHG E\ REVHUYDWLRQ WR ZDWFK RXU VHOI DFW 6HOIREMHFWLILFDWLRQ DOWHUV WKH HFRORJ\ RI VRFLDO LQWHUDFWLRQ 6KRWWHU f GHILQHV WKLV HFRORJLFDO V\VWHP DV WKH LQWHUORFNLQJ SDWWHUQ RI ULJKWV DQG GXWLHV LQ WHUPV RI ZKLFK SHRSOH KROG WKHPVHOYHV DQG RQH DQRWKHU UHVSRQVLEOH IRU WKHLU DFWLRQV DQG HYDOXDWH HDFK RWKHU DQG WKHLU RZQ SHUIRUPDQFH S f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n ULFK GHVFULSWLRQ RI UHDFWLYLW\ DV DQ LQFRQJUXHQFH EHWZHHQ VXEMHFW DQG REVHUYHU SHUVSHFWLYHV QRZ ZDQW WR FROODSVH WKLV GXDOLW\ LQWHQG

PAGE 58

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f VXPPDUL]H WKH FRQFHUQ RI H[SHULPHQWDOLVWV XVLQJ DV PLJKW EH H[SHFWHG D TXDVLPDWKHPDWLFDO IRUPXODWLRQ WKH SUREOHP ZLWK UHDFWLYLW\ LV WKDW LW LV KLJKO\ YDULDEOH S f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

PAGE 59

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n VHOIFRQVFLRXV UHVSRQVHV FRQILQHG WR WKH UHVHDUFK VLWH RU DUH WKH\ FDUU\LQJ RYHU LQWR WKH QRQUHVHDUFK HQYLURQPHQW" +RZ GRHV RQH GLVWLQJXLVK EHWZHHQ FKDQJHV LQ EHKDYLRU WKDW RFFXU DV D UHVXOW RI PDWXUDWLRQ DQG FKDQJHV WKDW RFFXU DV D UHVXOW RI KDELWXDWLRQ"

PAGE 60

7KH FUX[ RI WKH LVVXH LV QRW ZKHWKHU EXW WR ZKDW H[WHQW SHRSOH FKDQJH DV D UHVXOW RI EHLQJ REVHUYHG ,V WKH EHKDYLRU WKDW UHDFWLYLW\ SURYRNHV DW\SLFDO" 7KLV HSLVWHPRORJLFDO TXHVWLRQ LV DV WURXEOLQJ LQ DQ HWKQRJUDSK\ DV LW LV LQ DQ H[SHULPHQW ,Q ERWK NLQGV RI VWXGLHV DV ZH VKDOO VHH UHDFWLYLW\ LV FRQVWUXHG DV D WKUHDW WR YDOLGLW\ .D]GLQ f LV YHU\ FOHDU RQ WKLV SRLQW KH FODLPV D VWXG\nV YDOLGLW\ GHSHQGV RQ WKH UHSUHVHQWDWLYHQHVV RI LWV GDWD 5HDFWLYH HIIHFWV LQWHUIHUH ZLWK WKH GUDZLQJ RI YDOLG LQIHUHQFHV ,I UHDFWLYLW\ SURPSWV LQFUHDVHV RU GHFUHDVHV LQ SHUIRUPDQFH JHQHUDOL]DWLRQV WR QRQn UHVHDUFK VHWWLQJV DUH QRW YDOLG SS f :LWK WKHLU HPSKDVLV RQ FDUHIXO PHDVXUHPHQW RI JURXS GLIIHUHQFHV EHKDYLRUDO PHWKRGRORJLVWV UHJDUG UHDFWLYH HIIHFWV DV VHULRXVO\ FRPSURPLVLQJ WKH H[SODQDWRU\ SRZHU RI WKHLU H[SHULPHQWDO GHVLJQV 8QQRWLFHG RU XQFRQWUROOHG IHDWXUHV RI REVHUYDWLRQDO UHFRUGLQJ FDQ LQWURGXFH VRXUFHV RI HUURU DQG ELDV WKDW DW EHVW LQWURGXFH YDULDELOLW\ LQWR WKH LQYHVWLJDWRUnV GDWD DQG DW ZRUVW UHQGHU LW XQLQWHUSUHWDEOH RU PLVOHDGLQJ .HQW t )RVWHU S f 4XDVLPDWKHPDWLFDO WHUPV VXFK DV HUURU DQG ELDV LQ WKH VHQVH RI V\VWHPDWLF PLVPHDVXUHPHQWf DUH QRW QRUPDOO\ SDUW RI WKH YRFDEXODU\ WKDW ILHOG UHVHDUFKHUV XVH ZKHQ VSHDNLQJ DERXW WKH YDOLGLW\ RI WKHLU VWXGLHV
PAGE 61

/LNH WKHLU FROOHDJXHV LQ WKH ODERUDWRU\ ILHOG PHWKRGRORJLVWV UHJDUG UHDFWLYLW\ DV D GLVWRUWLRQ RI UHDOLW\ RQH WKDW FDQ EH EH UHFWLILHG E\ WHFKQLTXHV WKDW PLQLPL]H WKH $Q H[DPSOH RI WKLV LQWHQVH GHVLUH WR EH DEOH WR ORRN DQG \HW QRW EH VHHQ ORRNLQJ FDQ EH IRXQG LQ .HQQHWK 6WRGGDUWnV f UHFHQW UHYLHZ RI WKH VWDWH RI WKH HWKQRJUDSKHUnV DUW LQ ZKLFK KH FODLPV WKDW WKH GLVWRUWLRQV FDXVHG E\ REVHUYDWLRQ DUH LQFRQVHTXHQWLDO WR WKH ZULWLQJ RI DGHTXDWH HWKQRJUDSKLHV S f 6WRGGDUW UHIHUV WR WKH ILHOG UHVHDUFKHUnV TXDQGDU\ DV WKH SUREOHP RI SUHVHQFH +RZ VKRUW RI QRW EHLQJ WKHUH FDQ WKH HWKQRJUDSKHU DFWXDOO\ FDSWXUH D GRPDLQ DV LW H[LVWV LQGHSHQGHQWO\ RI KLV RU KHU SUHVHQFH" S f 7KH LQYLVLEOH UHVHDUFKHU LV WKH LGHDO UHVHDUFKHU ZKR VHHV ZLWKRXW EHLQJ REVHUYHG DQG FRQVHTXHQWO\ FDSWXUHV WKH QDWXUDO ILHOG ZLWKRXW WDLQWLQJ LW SS f >(WKQRJUDSKHUV@ ERWK SUHVXPH WKLV QDWXUDO VWDWH DQG VHHN WR SUHVHUYH LW LQ FDUU\LQJ RXW DQG UHSRUWLQJ WKHLU UHVHDUFK HQGHDYRUV S XQGHUOLQLQJ DGGHGf ,Q PDQXDOV RI ILHOGZRUN H J *RHW] t /H&RPWH f QRYLFH UHVHDUFKHUV DUH FRPPRQO\ WROG WKDW WKHLU SUHVHQFH FDXVHV VXEMHFWV RI D VWXG\ WR DVVXPH DQG FRQYH\ XQUHSUHVHQWDWLYH DQG LQDXWKHWLF LPDJHV RI WKHPVHOYHV 7KH VRFDOOHG REVHUYHU HIIHFW PD\ OHDG SDUWLFLSDQWV GHOLEHUDWHO\ RU XQFRQVFLRXVO\ WR VXSSO\ IDOVH RU PLVOHDGLQJ GDWD S f ,Q WKH LQLWLDO VWDJHV RI UHVHDUFK LQIRUPDQWV PD\ GLVVHPEOH SUHVHQW DQ LGHDO VHOI RU WHOO UHVHDUFKHUV ZKDW WKH\ WKLQN WKH UHVHDUFKHUV VKRXOG RU ZDQW WR KHDU S f 6HDVRQHG LQYHVWLJDWRUV FRQVLGHU WKH GHIHQVLYHQHVV RI SUHWHQVH D EDUULHU WR EH SHQHWUDWHG 3XQFK f IRU

PAGE 62

H[DPSOH WDONV RI LQILOWUDWLRQ DQG LQYHLJO>LQJ@ RQHnV ZD\ LQWR WKH OLIH RI D JURXS S f 2WKHU UHVHDUFKHUV WDNH WKHLU VXEMHFWVn SRVWXULQJ DV HYLGHQFH WKDW WKDW UHVHDUFKHUVXEMHFW UHODWLRQVKLS LV EDVLFDOO\ DGYHUVDULDO RQH PDUNHG E\ PXWXDO FRQFHDOPHQW DQG GLVWUXVW ,W LV WDNHQ IRU JUDQWHG WKDW PDQ\ RI WKH SHRSOH RQH GHDOV ZLWK SHUKDSV DOO SHRSOH WR VRPH H[WHQW KDYH JRRG UHDVRQ WR KLGH IURP RWKHUV ZKDW WKH\ DUH GRLQJ DQG HYHQ OLH WR WKHP ,QVWHDG RI WUXVWLQJ SHRSOH DQG H[SHFWLQJ WUXVW LQ UHWXUQ RQH VXVSHFWV RWKHUV DQG H[SHFWV RWKHU WR VXVSHFW KLP 'RXJODV S f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f FDWHJRUL]H LQWR WKUHH VWUDWHJLHV WKH YDULRXV RSWLRQV WKDW DUH DYDLODEOH WR UHVHDUFKHUV ZKR VHHN WR PLQLPL]H WKH UHDFWLYLW\ RI VXEMHFWV

PAGE 63

7KHVH VWUDWHJLHV DUH KDELWXDWLRQSRVWSRQLQJ GDWD FROOHFWLRQ XQWLO WKH UHDFWLYLW\ WKDW DFFRPSDQLHV WKH LQLWLDWLRQ RI VWXG\ JUDGXDOO\ GHFOLQHV DV VXEMHFWV DFFRPPRGDWH WKHPVHOYHV EHFRPH GHVHQVLWL]HGf WR WKH SUHVHQFH RI REVHUYHUV XQREWUXVLYHQHVVf§PDNLQJ GDWD FROOHFWLRQ OHVV REYLRXV WKURXJK WKH XVH RI UHPRWH RU FRYHUW PHDQV RI REVHUYDWLRQ H J FDPHUDV EXJV DQG RQHZD\ PLUURUVf PDQLSXODWLRQ ZLWKKROGLQJ RU IDOVLI\LQJ LQIRUPDWLRQ DERXW WKH DFWXDO IRFXV RI WKH UHVHDUFK 7KHVH WKUHH VWUDWHJLHV KDYH LQ FRPPRQ WKH PDLQWDLQLQJ RI D VWULFW VHSDUDWLRQ EHWZHHQ WKH UHVHDUFKHU DQG WKH VXEMHFW LQ WKH VWXGLHG VLWXDWLRQ 7KH ODQJXDJH RI H[SHULPHQWDOLVP FRXQVHOV NHHSLQJ GLVWDQFH 7KH REVHUYHU VKRXOG EHFRPH DV QHXWUDO D VWLPXOXV DV SRVVLEOH E\ PLQLPL]LQJ WKH LQWHUDFWLRQ EHWZHHQ WKH REVHUYHU DQG WKH REVHUYHG 1HOVRQ /LSLQVNL t %ODFN S f ,Q FRQWUDVW ILHOG UHVHDUFK LV VDLG WR EH PDUNHG E\ LWV HQFRXUDJHPHQW RI PDQ\ OHYHOV RI FRQWDFW 0LFKDHO $JDU f IRU H[DPSOH LQVLVWV WKDW K\SRWKHVHV PHDVXUHPHQW VDPSOHV DQG LQVWUXPHQWV DUH WKH ZURQJ JXLGHOLQHV (WKQRJUDSK\ UHTXLUHV LQWHQVH SHUVRQDO LQYROYHPHQW DQ DEDQGRQPHQW RI WUDGLWLRQDO VFLHQWLILF FRQWURO DQ LPSURYLVDWLRQDO VW\OH WR PHHW VLWXDWLRQV QRW RI WKH UHVHDUFKHUnV PDNLQJ S f
PAGE 64

OHDUQLQJ DERXW KRZ WKH JURXS IXQFWLRQV 5DUH LV WKH VRFLDO JURXS WKDW LQYLWHV VRFLDO VFLHQWLVWV WR VWXG\ LWV ZRUNLQJV :KHQ WKH VFLHQWLVWV DUULYH WKH\ EULQJ VFUXWLQL]LQJ H\HV WKHLU RZQ DQG VRPHWLPHV PHFKDQLFDO RQHV DV ZHOO ,W LV WKRVH H\HV VHDUFKLQJ IRU SDWWHUQV WKDW FUHDWH LQ DQ LQGLYLGXDO WKDW VHQVH RI KROORZQHVV WKDW ZDV GHVFULEHG E\ 6DUWUH f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nV LPSDFW OHVV QRWLFHDEOH 2QH DLG LQ H[HFXWLQJ WKLV IHDW LV GXUDWLRQ (QRXJK WLPH LQ WKH ILHOG FDQ PDNH WKH UHVHDUFKHU OHVV YLVLEOHDQG KHQFH QRQUHDFWLYHLQ WKH VHWWLQJ VR WKDW WKH QRUPDO IORZ RI DFWLYLWLHV FDQ UHVXPH *RHW] t /H&RPWH S f 7KH ORQJHU WKH VWD\ VR LW LV DUJXHG WKH OHVV GLVWXUELQJ WKH HIIHFW RI WKH HWKQRJUDSKHU 7KH ORQJHU WKH VWD\ WKH PRUH OLNHO\ VKH LV WR UHVHPEOH WKH UHVHDUFKHU ZKR REVHUYHV D VLWXDWLRQ WKURXJK D RQHZD\ PLUURU ZLWKRXW EHLQJ VHHQ DQG WKXV ZLWKRXW GLVWXUELQJ ZKDW JRHV RQ +RO\ S f

PAGE 65

6WRGGDUW f FLWHG HDUOLHU IRU KLV GHVFULSWLRQ RI UHDFWLYLW\ DV WKH SUREOHP RI SUHVHQFH UHYLHZHG D QXPEHU RI ILHOGZRUN DFFRXQWV ZKLFK FRQWDLQ GLVFXVVLRQV RI WKH ZD\V WKDW HWKQRJUDSKHUV KDYH JRQH DERXW ORRNLQJ ZLWKRXW EHLQJ QRWLFHG +H JURXSV WKH VWUDWHJLHV WKDW WKH\ UHSRUWHG LQWR WZR EURDG FDWHJRULHV GLVDWWHQGLQJ DQG PLVUHSUHVHQWLQJ +H GLVWLQJXLVKHV IRXU YDULDQWV RI GLVDWWHQGLQJ DOO RI WKHP PDUNHG E\ DQ HURVLRQ RI YLVLELOLW\ SS f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

PAGE 66

VWHSV E\ ZKLFK SUDFWLWLRQHUV PLJKW DSSURDFK WKLV LGHDO +RZHYHU RQFH ZH HQWHU WKH DUHD RI SUDFWLFDO DGYLFH IRU FXOWLYDWLQJ LQYLVLELOLW\ ZH DUH QR ORQJHU GHDOLQJ ZLWK H[FOXVLYHO\ HSLVWHPRORJLFDO LVVXHV 7KH FKRLFH RI ZKDW PHWKRGV WR XVH WR DQVZHU RXU TXHVWLRQV LV QRW VLPSO\ D ORJLVWLFDO GHFLVLRQ LW LV DQ HWKLFDO GHFLVLRQ DV ZHOO 7R TXRWH 0LFKDHO 6FULYHQ f PHWKRGRORJ\ LV D QRUPDWLYH VXEMHFW S f ,Q FKRRVLQJ REVHUYDWLRQDO IRUPDWV WKDW DWWHPSW WR NHHS WKH UHVHDUFK DFWLYLW\ DW WKH PDUJLQV RI VXEMHFWVn FRQVFLRXVQHVV ZH DUH H[SUHVVLQJ DQ DWWLWXGH DERXW RXU RZQDQG DOVR RXU VXEMHFWVnFDSDFLW\ DQG ZLOOLQJQHVV WR HQJDJH LQ GLDORJXH (QJDJLQJ VXEMHFWV LQ D FRQYHUVDWLRQ DERXW RXU UHVHDUFK PHWKRGV DQG JRDOV LV REVWUXFWHG E\ WKH FRQWLQXHG GRPLQDQFH RI SRVLWLYLVP LQ HGXFDWLRQDO UHVHDUFK +RZH f 7KRXJK QRQH[SHULPHQWDO PRGHV RI LQTXLU\ VXFK DV HWKQRJUDSK\ KDYH EHFRPH FRPPRQ WKH\ DUH XWLOL]HG DV DQ DOWHUQDWLYH URXWH WR WKH SRVLWLYLVW JRDO RI DVFHUWDLQLQJ XQHTXLYRFDO NQRZOHGJH DERXW D UHDOLW\ WKDW H[LVWV LQGHSHQGHQWO\ RI REVHUYHUV 6PLWK DQG +HVKXVLXV f FODLP WKDW TXDOLWDWLYH DSSURDFKHV KDYH EHHQ LPSURSHUO\ SUHVVHG LQWR VHUYLFH RI WKH SRVLWLYLVW DJHQGD 7KH SULQFLSDO FRQFHUQ QRZ LV KRZ WR JHQHUDWH PHWKRGV IRU TXDOLWDWLYH LQTXLU\ WKDW ZLOO DOORZ WKLV DSSURDFK WR FODLP WKH VDPH REMHFWLYLW\ DQG FHUWLWXGH SUHVXPDEO\ DYDLODEOH WR TXDQWLWDWLYH LQTXLU\ 7KLV GLVUHJDUG RI DVVXPSWLRQV DQG SUHRFFXSDWLRQ ZLWK WHFKQLTXHV KDYH KDG WKH HIIHFW RI WUDQVIRUPLQJ TXDOLWDWLYH LQTXLU\ LQWR D SURFHGXUDO YDULHW\ RI TXDQWLWDWLYH LQTXLU\ S f

PAGE 67

7KH FKLHI FULWHULRQ E\ ZKLFK D TXDOLWDWLYH LQTXLU\ LV MXGJHG WR EH ULJRURXVO\ VFLHQWLILF LV ZKHWKHU WKH LQWHUSUHWDWLRQ LW RIIHUV LV REMHFWLYHO\ YHULILDEOH 0LOHV DQG +XEHUPDQnV Df 4XDOLWDWLYH 'DWD $QDO\VLV LV D FRRNERRN RI WHFKQLTXHV IRU DVVHVVLQJ ZKHWKHU ILHOG UHVHDUFKHUVn H[SODQDWLRQV DUH VDWXUDWHG L H FRQILUPHG E\ HPSLULFDO HYLGHQFH :H QHHG WR EH FRQILGHQW WKDW DQRWKHU UHVHDUFKHU IDFLQJ WKH GDWD ZRXOG UHDFK D FRQFOXVLRQ ZKLFK IDOOV LQ WKH VDPH JHQHUDO nWUXWK VSDFHn 0LOHV t +XEHUPDQ E S f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f 7KHUH LV GDQJHU WKDW WKH UHVXOWV ZLOO QRW EH UHSUHVHQWDWLYH RI QDWXUDO HYHQWV EHFDXVH WKH REVHUYHU DQG KLV DFWLRQV DUH D IRUHLJQ LQIOXHQFH WKDW PLJKW DOWHU WKH IORZ RI HYHQWV 'LHQHU t &UDQGDOO S f $QRWKHU RQWRORJLFDO GLVWLQFWLRQ RI SRVLWLYLVPWKH VHSDUDWLRQ RI WKH NQRZHU IURP WKH WREHNQRZQSURYLGHV WKH EDVLV IRU WKH FXOWLYDWLRQ RI REMHFWLYLW\ 2EMHFWLYLW\ &KDUOHV 7D\ORU f KDV SRLQWHG RXW UHSUHVHQWV DQ HIIRUW WR GHSHUVRQDOL]H RXU FXVWRPDU\ VXEMHFWLYH YLHZSRLQW ,W LV DQ DSSURSULDWH VWDQFH IRU WKH SRVLWLYLVWnV SURMHFW RI

PAGE 68

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n XQGHUVWDQGLQJV WR WKH VWDWXV RI GDWD 5HVHDUFK PDQXDOV GHILQLWHO\ HQFRXUDJH ILHOGZRUNHUV WR VROLFLW IURP SDUWLFLSDQWV WKH FRQFHSWXDO FDWHJRULHV WKDW JXLGH WKHLU DFWLRQV %RJGDQ t %LNOLQ :D[ f %XW LQ UHSRUWLQJ WR FROOHDJXHV UHVHDUFKHUV XVH WKRVH XQGHUVWDQGLQJV WR VXSSRUW WKHLU RZQ H[SODQDWLRQ RI JURXS SURFHVVHV 7KH UHVHDUFKHUnV GHILQLWLRQ

PAGE 69

RI WKH VLWXDWLRQ LV WKH RQH WLPH DQG DJDLQ DGYDQFHG RYHU WKH RQH RI WKRVH UHVHDUFKHG 5LVW S f 3HUVRQV PDNH QR GLUHFW FRQWULEXWLRQV WR WKH SURSRVLWLRQV WKDW SXUSRUW WR EH DERXW WKHP 7KH LQTXLU\ LV DOO RQHVLGHG 7KH UHVHDUFKHU GRHV DOO WKH DVNLQJ DQG VXEMHFWVn DFWLRQV DORQH DUH WKH IRFXV RI WKH LQTXLU\ +HURQ S f 6XPPDU\ 7KH SRLQW RI EULQJLQJ WRJHWKHU VWDWHPHQWV DERXW H[SHULPHQWDO DQG QDWXUDOLVWLF PHWKRGV RI UHVHDUFK KDV EHHQ WR LQGLFDWH WKHLU VXUSULVLQJ VLPLODULW\ ZLWK UHJDUG WR UHDFWLYLW\ %RWK WUDGLWLRQV UHJDUG WKH UHVLVWDQFH RI VXEMHFWV WR EHLQJ VWXGLHG DV GLVWUDFWLQJ VFLHQWLVWV IURP WKHLU SULPDU\ WDVN WKH FUHDWLRQ RI REMHFWLYHO\ DUULYHGDW DQG REMHFWLYHO\ YHULILDEOH IRUPV RI NQRZOHGJH %RWK SURSRVH VWUDWHJLHV IRU PLQLPL]LQJ UHDFWLYLW\ WKDW UHLQIRUFH DQG DW WKH VDPH WLPH VKLHOG WKH UHVHDUFKHUnV SRVLWLRQ DV DQ RQORRNHU 7KH UHWUHDW LQWR LQYLVLELOLW\ OHDYHV LQ LWV ZDNH DQ HWKLFDO TXHVWLRQ 'RHV WKH UHVHDUFKHUnV GLVHPERGLPHQW VXEYHUW WKH JXDUDQWHH WR UHVSHFW VXEMHFWVn SHUVRQKRRG" ,Q WKH QH[W FKDSWHU RI WKLV GLVVHUWDWLRQ ZLOO H[DPLQH WKH FRPPXQLFDWLYH DQG HWKLFDO GLPHQVLRQV RI WKH UHVHDUFKHU VXEMHFW UHODWLRQVKLS DV LW KDV FRPH WR EH FRGLILHG LQ WKH GRFWULQH RI LQIRUPHG FRQVHQW ZLOO DUJXH WKDW WKH FXUUHQW FRQFHSWLRQ RI LQIRUPHG FRQVHQW LV WKH HWKLFDO FRUUHODWH RI YR\HXULVWLF UHVHDUFK 7KH FRQWUDFWXDO DUUDQJHPHQW VHHNV WR OHJLWLPDWH DQG SUHVHUYH WKH SULYLOHJHG HSLVWHPRORJLFDO SRVLWLRQ RI UHVHDUFKHUV

PAGE 70

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n DZDUHQHVV LV DEVROXWHO\ HVVHQWLDO IRU GHVFULELQJ KXPDQ DFWLRQ ZLWKRXW GLVWRUWLRQ ,Q WKH SUHYLRXV FKDSWHU WKH SUREOHPV WKDW UHDFWLYLW\ SRVHV WR HSLVWHPRORJLFDO FHUWDLQO\ ZHUH SUHVHQWHG 7KH IDFW WKDW VXEMHFWV UHVSRQG LQ XQSUHGLFWDEOH ZD\V WR EHLQJ REVHUYHG WURXEOHV UHVHDUFKHUV OR\DO WR WKH SRVLWLYLVW JRDO RI JHQHUDWLQJ H[SODQDWRU\ JHQHUDOL]DWLRQV WKDW DUH WUDQVIHUDEOH DQG YHULILDEOH ,Q RUGHU WR UHGXFH VXEMHFW UHDFWLYLW\ IURP FRQIRXQGLQJ WKH VHDUFK IRU XQGHUO\LQJ FRQVWDQWV UHVHDUFKHUV HPSOR\ PHWKRGV WKDW GLVJXLVH WKH DFWXDOLW\ RI WKH UHVHDUFK XQGHUWDNLQJ 7KLV DSSURDFK WR UHVHDUFK RQH GHGLFDWHG WR DVFHUWDLQLQJ WKH IRXQGDWLRQV RI EHKDYLRU LV JXLGHG E\ WKH IROORZLQJ ORJLF ,I WKH PRUH

PAGE 71

REWUXVLYH WKH REVHUYHU WKH PRUH UHDFWLYH WKH VXEMHFW WKHQ WKH OHVV REWUXVLYH WKH REVHUYHU WKH OHVV UHDFWLYH WKH VXEMHFW 7KH ORFXV FODVVLFXV IRU WHFKQLTXHV PHDQW WR EH FDUULHG RXW ZLWKRXW WKH DZDUHQHVV RU HYHQ FRRSHUDWLRQ RI UHVHDUFK VXEMHFWV S f LV :HEE &DPSEHOO 6FKZDUW] t 6HFKUHVWnV f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f $Q DGGLWLRQDO VLJQDO RI WKLV FKDQJH LQ HPSKDVLV LV WKH LQFOXVLRQ RI D QHZ FKDSWHU WKH VKRUWHVW LQ WKH ERRNf RQ WKH HWKLFV RI QRQUHDFWLYH PHDVXUHV &KDQJLQJ FRQFHSWLRQV RI FRUUHFW UHVHDUFK LQ WKH GXDO VHQVH RI YDOLG DQG SURSHUf LV WKH WKHPH RI WKLV FKDSWHU 7KH SXEOLFDWLRQ RI 8QREWUXVLYH 0HDVXUHV LQ PDUNHG WKH DSRJHH LQ UHVHDUFKHUVn HIIRUWV WR VKLHOG WKHLU LQTXLU\ IURP WKH DZDUHQHVV RI VXEMHFWV 7KH XVH RI KLGGHQ FDPHUDV DQG RQHZD\ PLUURUV LQ ODERUDWRULHV DQG PLVUHSUHVHQWDWLRQ DQG PLVLQIRUPDWLRQ LQ ILHOG VWXGLHV

PAGE 72

ZHUH QHYHU DJDLQ VR IXOO\ VDQFWLRQHG :KDW KDSSHQHG EHWZHHQ DQG :HUH WKH ULJKWV RI UHVHDUFKHUV UHGXFHG DW WKH H[SHQVH RI HQODUJLQJ WKH ULJKWV RI VXEMHFWV" 1R GRXEW WKH FKLHI YHKLFOH WKDW HIIHFWHG WKH WUDQVIHU RI ULJKWV WR VXEMHFWV ZDV IHGHUDO OHJLVODWLRQ PDNLQJ WKH VROLFLWLQJ RI LQIRUPHG FRQVHQW PDQGDWRU\ LQ DOO JRYHUQPHQWIXQGHG UHVHDUFK :HEE HW DO S f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nV REOLJDWLRQ WR FRPPXQLFDWH IXOO\ ZLWK VXEMHFWV SUHVHUYHV WKH GLVWDQFH DQG LQDFFHVVLELOLW\ WKDW LV WKH KDOOPDUN RI D SRVLWLYLVW FRQFHSWLRQ RI GRLQJ UHVHDUFK

PAGE 73

, FRQFOXGH WKH FKDSWHU E\ SUHVHQWLQJ WKH FDVH WKDW UHDFWLYLW\ ZLOO DOZD\V EH FRQVLGHUHG D OLDELOLW\ LQ UHVHDUFK ZKRVH DLP LV WKH SRVWXODWLRQ RI XQLYHUVDO SULQFLSOHV $ %ULHI +LVWRU\ RI WKH ,QIRUPHG &RQVHQW 5HTXLUHPHQW 7KDW FRQVHQW KDV WR EH REWDLQHG IRUPDOO\ DQG DQWHFHGHQWDOO\ IURP VXEMHFWV EHIRUH WKH\ SDUWLFLSDWH LQ UHVHDUFK ZDV ILUVW VWDWHG FOHDUO\ LQ WKH 1XUHPEHUJ &RGH f GHULYHG IURP WKH MXGLFLDO VXPPDU\ PDGH DW WKH WULDO RI 1D]L SK\VLFLDQV ZKR KDG EHHQ LQGLFWHG IRU FULPHV DJDLQVW KXPDQLW\ ,W KDV VLQFH VHUYHG DV WKH PRGHO IRU DOO VXEVHTXHQW FRQWUDFWXDO DUUDQJHPHQWV EHWZHHQ UHVHDUFKHUV DQG VXEMHFWV 7KH YROXQWDU\ FRQVHQW RI WKH KXPDQ VXEMHFW LV DEVROXWHO\ HVVHQWLDO 7KLV PHDQV WKDW WKH SHUVRQ LQYROYHG VKRXOG KDYH OHJDO FDSDFLW\ WR JLYH FRQVHQW VKRXOG EH VR VLWXDWHG DV WR H[HUFLVH IUHH SRZHU RI FKRLFH ZLWKRXW WKH LQWHUYHQWLRQ RI DQ\ HOHPHQW RI IRUFH GHFHLW GXUHVV RYHUn UHDFKLQJ RU DQ\ RWKHU XOWHULRU IRUP RI FRQn VWUDLQW RU FRHUFLRQ DQG VKRXOG KDYH VXIILn FLHQW NQRZOHGJH DQG FRPSUHKHQVLRQ RI WKH HOHn PHQWV RI WKH VXEMHFW PDWWHU LQYROYHG DV WR HQDEOH KLP WR PDNH DQ XQGHUVWDQGLQJ DQG HQOLJKWHQHG GHFLVLRQ FLWHG LQ %XUJHVV S f 7KH ILUVW DSSOLFDWLRQ RI WKHVH SULQFLSOHV WR D UHVHDUFK VHWWLQJ LQ WKH 8QLWHG 6WDWHV RFFXUUHG ZLWK WKH RSHQLQJ RI WKH &OLQLFDO &HQWHU DW WKH 1DWLRQDO ,QVWLWXWH RI +HDOWK 1,+f LQ :HEE HW DO S f 7KH 1,+ SROLF\ GRFXPHQWV FDOOHG IRU DQ RQVLWH UHYLHZ ERDUG WR DVVHVV KRZ PXFK ULVN ZDV MXVWLILHG DQG ZKDW DVSHFWV RI WKH UHVHDUFK

PAGE 74

VKRXOG EH GLVFORVHG WR VXEMHFWV :LWKLQ WKH QH[W GHFDGH WKLV IRUPDOL]HG VWUXFWXUH RI RQVLWH LQVWLWXWLRQDO UHYLHZ ERDUGV ,5%Vf ZDV H[WHQGHG WR QRQJRYHUPHQWDO IDFLOLWLHV ZKHUHYHU JRYHUQPHQWVSRQVRUHG ELRPHGLFDO UHVHDUFK ZDV WR EH FDUULHG RXW 6LQFH QR ELRPHGLFDO UHVHDUFK KDV EHHQ IXQGHG XQOHVV WKH SURSRVHG LQYHVWLJDWLRQ KDV EHHQ VXEMHFW WR SULRU UHYLHZ E\ FROOHDJXHV WR DVVXUH DQ LQGHSHQGHQW GHWHUPLQDWLRQ RI WKH IROORZLQJ SURWHFWLRQ RI VXEMHFWVn ULJKWV DQG ZHOIDUH DSSURSULDWHQHVV RI PHWKRGV XVHG WR REWDLQ LQIRUPHG FRQVHQW DQG LQVWUXFWLRQ DV WR WKH QDWXUH RI WKH ULVNV DQG SRWHQWLDO EHQHILWV ,Q WKHVH UHJXODWLRQV ZKLFK KDG EHHQ FRGLILHG IRU ELRPHGLFDO UHVHDUFK E\ WKH 8QLWHG 6WDWHV 3XEOLF +HDOWK 6HUYLFH ZHUH DGRSWHG LQ WRWR E\ WKH 8QLWHG 6WDWHV 'HSDUWPHQW RI +HDOWK (GXFDWLRQ DQG :HOIDUH +(:f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

PAGE 75

+(: DVVHUWHG WKDW D VLQJOH SROLF\ IRU WKH SURWHFWLRQ RI KXPDQ VXEMHFWV DYRLGHG DUELWUDU\ GLVWLQFWLRQV EHWZHHQ GLVFLSOLQHV DQG KDG WKH HIIHFW RI XQGHUVFRULQJ WKH LQWHUDFWLRQ RI ELRORJLFDO DQG EHKDYLRUDO YDULDEOHV LQ WKH VWXG\ RI KXPDQ EHLQJV $W +(:nV GLUHFWLRQ D 1DWLRQDO &RPPLVVLRQ IRU WKH 3URWHFWLRQ RI +XPDQ 6XEMHFWV RI %LRPHGLFDO DQG %HKDYLRUDO 5HVHDUFK ZDV HVWDEOLVKHG LQ $IWHU KROGLQJ D QXPEHU RI KHDULQJV LW LVVXHG LWV UHFRPPHQGDWLRQV LQ 7KH %HOPRQW 5HSRUW (WKLFDO 3ULQFLSOHV DQG *XLGHOLQHV IRU WKH 3URWHFWLRQ RI +XPDQ 6XEMHFWV RI 5HVHDUFK f 7KH 5HSRUW UHFRPPHQGHG WKDW WKUHH SULQFLSOHV JRYHUQ WKH UHVHDUFKHUn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

PAGE 76

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nV PDQGDWLQJ WKH ,5% PHFKDQLVP ZDV DFFRUGLQJ WR :HEE HW DO f WR SHUPLW UHVHDUFKHUV WR UHPDLQ VHQVLWLYH WR ZKDW LV HWKLFDOO\ DFFHSWDEOH LQ WKHLU ORFDO FRPPXQLWLHV S f ,Q WKHRU\ ,5%V DUH H[SHFWHG WR EH UHSUHVHQWDWLYH RI WKH FRPPXQLWLHV LQ ZKLFK WKH UHVHDUFK LV EHLQJ FRQGXFWHG DFWLQJ DV VXUURJDWH IRU WKH KRVW VRFLHW\ 5H\QROGV S f

PAGE 77

,Q SUDFWLFH WKH\ LQFOXGH DV PHPEHUV RWKHU SURIHVVLRQDOV PRVW FRPPRQO\ ODZ\HUVZKR DUH QRW SDUW RI WKH UHVHDUFK LQVWLWXWLRQ 7ZR TXLWH GLIIHUHQW SHUFHSWLRQV H[LVW DERXW WKH UHVWUDLQWV WKDW ,5%V H[HUFLVH RYHU UHVHDUFKHUV 2QH UHSUHVHQWHG E\ 5H\QROGV f LV WKDW JRYHUQPHQWDO UHJXODWLRQ ZDV UHTXLUHG EHFDXVH WKH HWKLFDO FRGHV RI WKH ELRPHGLFDO DQG EHKDYLRUDO GLVFLSOLQHV GLG QRW H[HUFLVH DGHTXDWH VXSHUYLVLRQ RYHU WKH FRQGXFW RI UHVHDUFKHUV 7KH GHYHORSPHQW RI IHGHUDO SURFHGXUHV IRU SULRU UHYLHZ RI UHVHDUFK ZLWK KXPDQ SDUWLFLSDQWV LV GUDPDWLF HYLGHQFH RI WKH IDLOXUH RI DVVRFLDWLRQV WR FRQYLQFH WKH SXEOLF WKDW HLWKHU WKHLU PHPEHUV DUH WR EH WUXVWHG DV LQGLYLGXDOV RU WKDW WKH DVVRFLDWLRQV DUH WR EH WUXVWHG WR FRQWURO WKHP S f $QRWKHU YLHZ H[HPSOLILHG E\ 7URSS f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f 7KH FKLHI FULWLFLVP OHYHOHG DW SURIHVVLRQDO FRGHV RI HWKLFV KDV EHHQ WKDW WKH\ ODFN DQ\ ELQGLQJ IRUFH 7KH SUREOHP ZLWK WKHVH HWKLFDO FRGHV LV WKDW WKH\ DUH YDJXH WKDW LV QRW VSHFLILFDOO\ RSHUDWLRQDO

PAGE 78

DQG KDYH ZHDN HQIRUFHPHQW DQG VDQFWLRQLQJ DSSDUDWXV :KLOH WKH\ DSSHDU WR SURWHFW WKH UHVHDUFKHG WKH\ GR PRUH WR FRQIHU UHVSHFWDELOLW\ DQG VWDWXV RQ WKH SURIHVVLRQ 3XQFK S f 2WKHU ZULWHUV H J 5H\QROGV f ILQG HWKLFDO FRGHV XVHIXO IRU H[WUHPH RU WULYLDO FDVHV LQ ZKLFK WKH VROXWLRQV DUH REYLRXV S [LLLf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f )RU H[DPSOH 5H\QROGV S f GLVWLQJXLVKHV EHWZHHQ IUHHGRP IURP GLVFULPLQDWLRQ SK\VLFDO DVVDXOWf DQG IUHHGRP WR DVVHPEOH ZRUVKLSf +H WKHQ FODLPV WKDW WKH ULJKWV VRFLDO VFLHQWLVWV JXDUDQWHH WKHLU VXEMHFWV DUH DOO

PAGE 79

QHJDWLYH RQHV WKH ULJKW QRW WR EH GHFHLYHG WKH ULJKW QRW WR EH KDUPHG SK\VLFDOO\ RU SV\FKRORJLFDOO\ WKH ULJKW QRW WR KDYH RQHnV SULYDF\ LQYDGHG RU RQHnV FRQILGHQWLDOLW\ EHWUD\HG 7KXV WKH ZD\ D UHVHDUFKHU VKRZV UHVSHFW IRU WKH SHUVRQKRRG RI VXEMHFWV LV WR REH\ D VHW RI SURKLELWLRQV :HEE HW DO S f DOVR FDXWLRQ WKH UHVHDUFKHU QRW WR GR DQ\WKLQJ WKDW ZRXOG LQIULQJH WKH FDSDFLW\ RI VXEMHFWV WR DFW DV DXWRQRPRXV GHFLVLRQPDNHUV RU ZRXOG GLPLQLVK WKH GLJQLW\ DQG XQLTXHQHVV RI D IHOORZ KXPDQ EHLQJ 7KLV H[KRUWDWLRQ WR DYRLG DFWV ZKLFK GR QRW UHVSHFW VXEMHFWVn SHUVRQKRRG LV SUHGLFDWHG RQ DQ H[FOXVLYHO\ PRGHUQ 2FFLGHQWDOVSHFLILFDOO\ FDSLWDOLVWFRQFHSWLRQ $ SHUVRQ LV DQ LQGLYLGXDO ZKR RZQV WKH ULJKWV WR KHU RU KLV DXWRQRP\ 7KHUHIRUH DFFRUGLQJ WR 5H\QROGV f D SHUVRQ PD\ WUDQVIHU RU UHOLQTXLVK KLV RU KHU ULJKWV WR JDLQ VRPH HQG S f 7KH DFWLRQ WKDW WUDQVIHUV WKHVH ULJKWV LV FRQVHQW 7KH SULPDU\ EDVLV IRU LQIRUPHG FRQVHQW LV LWV LPSRUWDQFH DV D PHFKDQLVP IRU UHVSHFWLQJ WKH VHOI GHWHUPLQDWLRQ RI LQGLYLGXDOV LQ IRUHJRLQJ ULJKWV S f 7KXV LQIRUPHG FRQVHQW WKRXJK SRSXODUO\ WKRXJKW RI DV JXDUDQWHHLQJ FHUWDLQ LQDOLHQDEOH ULJKWV KDV LQ SUDFWLFH EHHQ FRQVWUXHG DV VRPHWKLQJ FRQVLGHUDEO\ QDUURZHU QDPHO\ D QRWLFH WKDW VXEMHFWV DUH PRUWJDJLQJ VRPH RI WKHLU ULJKWV LQ D MRLQW YHQWXUH H[SHFWHG WR \LHOG QHZ NQRZOHGJH 7KH VLJQHG ZULWWHQ FRQWUDFW WKDW ELQGV WKH VLJQDWRULHV EHDUV WKH XQPLVWDNDEOH ODQJXDJH RI LQYHVWPHQW RSSRUWXQLW\

PAGE 80

,QIRUPHG FRQVHQW JLYHV VXEMHFWV HQRXJK LQIRUPDWLRQ DV WR WKH SUREDELOLWLHV DQG PDJQLWXGH RI ULVNV VR WKDW WKH\ PD\ FKRRVH IUHHO\ ZKHWKHU WR SDUWLFLSDWH RU QRW 'LHQHU t &UDQGDOO S f ([DFWO\ ZKDW VRUWV RI LQIRUPDWLRQ DUH WR EH H[FKDQJHG ZLWKLQ WKH OHJDO IUDPHZRUN RI LQIRUPHG FRQVHQW" (YHQ EHIRUH WKH H[FKDQJH FDQ EH VSHFLILHG IRXU FRQGLWLRQV KDYH WR EH SUHVHQW WR PHHW WKH WHVW WKDW WKH UHVHDUFKHUnV VROLFLWLQJ VXEMHFWV WR WHPSRUDULO\ IRUHJR WKHLU IXOO DXWRQRP\ GRHV QRW YLRODWH WKH FHQWUDO HWKLFDO PDQGDWH RI UHVSHFW IRU SHUVRQV 7KH SUHVHQFH RI WKHVH FRQGLWLRQV JXDUDQWHHV WKDW WKH GHFLVLRQ WR SDUWLFLSDWH LV XQIRUFHG WKH\ SURYLGH WKH FULWHULD IRU MXGJLQJ ZKHWKHU WKH LQGLYLGXDO LV DFWDOO\ FDSDEOH RI JLYLQJ FRQVHQW ,Q VKRUW WKH\ GHILQH ZKDW LW PHDQV WR EH D SHUVRQ $FFRUGLQJ WR 5H\QROGV f VXEMHFWV PXVW KDYH f WKH FDSDFLW\ WR PDNH D UDWLRQDO PDWXUH MXGJPHQW f IUHHGRP IURP FRHUFLRQ RU XQGXH LQIOXHQFH f LQIRUPDWLRQ DERXW ZKDW LV WR RFFXU DQG f FRPSUHKHQVLRQ RI WKH SRVVLEOH HIIHFWV S f 7KHVH IRXU FRQGLWLRQV VHW WKH ERXQGDULHV RI WKH UHVHDUFKHUVXEMHFW UHODWLRQVKLS ZLOO VKRZ LQ &KDSWHU 9 WR ZKDW H[WHQW WKH\ DUH FRWHUPLQRXV ZLWK +DEHUPDVn FRQFHSWLRQ RI FRPPXQLFDWLYH DFWLRQf 7KH\ KDYH EHHQ DSWO\ VXPPDUL]HG LQ D UHFHQW KDQGERRN RQ WKH HWKLFV RI UHVHDUFK LQ SV\FKRORJ\ 7KH IRFXV LV FXUUHQWO\ RQ UHVSHFWLQJ SDUWLFLSDQWVn ULJKWV WR VHOIGHWHUPLQDWLRQ DQG DXWRQRP\ E\ HQVXULQJ WKDW UHVHDUFK SDUWLFLSDWLRQ ZDV HQWHUHG LQWR YROXQWDULO\ NQRZLQJO\ DQG LQWHOOLJHQWO\ .HLWK6SLHJHO t .RRFKHU S XQGHUOLQLQJ DGGHGf

PAGE 81

7KH PRVW UHFHQW IRUPXODWLRQ RI WKH HOHPHQWV WKDW FRPSULVH LQIRUPHG FRQVHQW LV WR EH IRXQG LQ WKH 8QLWHG 6WDWHV 'HSDUWPHQW RI +HDOWK DQG +XPDQ 6HUYLFHV '++6f JXLGHOLQHV SXEOLVKHG LQ WKH )HGHUDO 5HJLVWHU -DQXDU\ f 7KHVH JXLGHOLQHV DFFRPSDQLHG QHZ UHJXODWLRQV H[SHGLWLQJ WKH SULRU UHYLHZ SURFHGXUHV IRU FHUWDLQ W\SHV RI ORZULVN UHVHDUFK 7KH DUJXPHQWV PDGH RQ EHKDOI RI WKHVH PRGLILFDWLRQV ZLOO EH SUHVHQWHG LQ WKH QH[W VHFWLRQf ,Q VHHNLQJ WKH LQIRUPHG FRQVHQW RI WKHLU VXEMHFWV UHVHDUFKHUV PXVW IXUQLVK DW D PLQLPXP WKH IROORZLQJ LQIRUPDWLRQ f $Q H[SODQDWLRQ RI WKH SURMHFWnV SXUSRVH WKH H[SHFWHG GXUDWLRQ RI WKH VXEMHFWnV SDUWLFLSDWLRQ DQG D GHVFULSWLRQ RI WKH SURFHGXUHV WR EH XVHG f $ GHVFULSWLRQ RI DQ\ IRUHVHHDEOH ULVN RU GLVFRPIRUW f $ GHVFULSWLRQ RI DQ\ H[SHFWHG EHQHILW f $ VWDWHPHQW GHVFULELQJ KRZ WKH FRQILGHQWLDOLW\ RI UHFRUGV ZLOO EH PDLQWDLQHG f $Q H[SODQDWLRQ RI ZKRP WR FRQWDFW IRU DQVZHUV DERXW WKH UHVHDUFK DQG WKH UHVHDUFK VXEMHFWVn ULJKWV DQG f $ VWDWHPHQW WKDW SDUWLFLSDWLRQ LV YROXQWDU\ UHIXVDO WR SDUWLFLSDWH LQFXUV QR SHQDOW\ DQG ZLWKGUDZDO DW DQ\ WLPH LV SHUPLVVLEOH 7KHVH VL[ SURYLVLRQV DVVLJQ EDVLFDOO\ WZR UHVSRQVLELOLWLHV WR UHVHDUFKHUV 7KH\ PXVW UHVSHFW VXEMHFWVn IUHHGRP RI FKRLFH DQG WKH\ PXVW H[SOLFLWO\ FRPPXQLFDWH WKHLU

PAGE 82

REMHFWLYHV LQ DGYDQFH :KDW LV LW DERXW WKHVH UHTXLUHPHQWV WKDW PDGH VRFLDO VFLHQWLVWV OREE\ VXFFHVVIXOO\ IRU WKHLU PRGLILFDWLRQ" 0RGLI\LQJ WKH ,QIRUPHG &RQVHQW 5HTXLUHPHQW )RU /RZ 5LVN 5HVHDUFK $GGLWLRQDO VHFWLRQV RI WKH UHYLVHG '++6 *XLGHOLQHV )HGHUDO 5HJLVWHU Bf -DQXDU\ f H[HPSWHG EURDG FDWHJRULHV RI VRFLDO UHVHDUFK IURP WKH IXOO FRPPLWWHH ,5% SURFHGXUHV UHTXLUHG IRU ELRPHGLFDO UHVHDUFK 7KH JRYHUQPHQW UHYHUVHG LWV SUHYLRXV SRVLWLRQ WKDW DOO UHVHDUFK ZLWK KXPDQ VXEMHFWV UHTXLUHG VWULFW LQIRUPHG FRQVHQW JXDUDQWHHV DQG DFFHSWHG LQVWHDG WKH DUJXPHQWV RI WKH VRFLDO VFLHQFH SURIHVVLRQV WKDW LWV UHVHDUFK DFWLYLW\ H[SRVHV VXEMHFWV WR PLQLPDO ULVN 7KLV FRQGLWLRQ LV GHILQHG LQ WKH *XLGHOLQHV DV RQH ZKHUH WKH LQYHVWLJDWRU GRHV QRW PDQLSXODWH VXEMHFWVn EHKDYLRU DQG WKH UHVHDUFK ZLOO QRW LQYROYH VWUHVV S f 7KXV WKH IXOO FRQVHQW RI VXEMHFWV LQ DOO IHGHUDOO\ VSRQVRUHG H[SHULPHQWDO UHVHDUFK FRQGXFWHG LQ HGXFDWLRQDO VHWWLQJV DV ZHOO DV DOO QRQH[SHULPHQWDO UHVHDUFK VXUYH\VLQWHUYLHZV SV\FKRPHWULF WHVWLQJ DUFKLYHV DQG GLUHFW REVHUYDWLRQf LV QR ORQJHU PDQGDWRU\ *UD\ f $OO WKH VDPH ORFDO ,5%V PD\ VWLOO UHTXLUH WKH SURFHGXUH LQ RUGHU WR VKRZ LQVWLWXWLRQDO nZLOOLQJQHVV WR DIIRUG KXPDQ UHVHDUFK VXEMHFWV SURWHFWLRQVn DQG E\ LPSOLFDWLRQ D ZRUWKLQHVV WKDW MXVWLILHV WKH UHFHLSW RI IHGHUDO IXQGV 5H\QROGV S f

PAGE 83

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f 6XEMHFW 6HWWLQJ ,QWHUYHQWLRQ %HQHILW +DUP %LRPHGLFDO LQGLYLGXDOV ODERUDWRU\ DFWLYH PDQLSXODWLRQ LPPHGLDWH SK\VLFDO LPSURYHPHQW SHUPDQHQW GDPDJH $GDSWHG IURP 3DWXOOR 6RFLDO DJJUHJDWHV ILHOG SDVVLYH FROOHFWLRQ JUDGXDO HQODUJHPHQW RI VHOINQRZOHGJH WHPSRUDU\ GLVFRPIRUW S f :ULWHUV ZKR VXSSRUW WKH PRGLILFDWLRQ RI WKH IXOO LQIRUPHG FRQVHQW UHTXLUHPHQW H J 'LHQHU t &UDQGDOO 5H\QROGV :HEE HW DO f FODLP WKDW WKH XQLW RI DQDO\VLV RI VRFLDO UHVHDUFK LV DOZD\V DQ DJJUHJDWH RI LQGLYLGXDOV VRPH LGHQWLILDEOH JURXS 7KLV ILUVW GLFKRWRP\ LV VSHFLRXV EHFDXVH WKH FRQFHSW RI VDPSOH HYHQ ZKHUH VHOHFWLRQ RU DVVLJQPHQW LV UDQGRP SUHVXSSRVHV WKDW WKH LQGLYLGXDOV VWXGLHG VKDUH PHPEHUVKLS LQ VRPH H[LVWLQJ SRSXODWLRQ DOO DUWKULWLV VXIIHUHUV \HDU ROG PDOHV ZLWK DFQHf DQG LW LV WR WKLV JURXS WKDW ILQGLQJV ZLOO EH

PAGE 84

7KHVH ZULWHUV LPSXWH D IXUWKHU GLIIHUHQFH EHWZHHQ D QDWXUDOO\ RFFXUULQJ VHOIVHOHFWHG JURXS DQG RQH DVVHPEOHG E\ WKH ORJLF RI H[SHULPHQWDWLRQ :KHUHDV WKH ODWWHU FRPSULVHV VLPSO\ D VHW RI QDWXUDO SHUVRQV WKH IRUPHU LV D IXQFWLRQLQJ FROOHFWLYLW\ 5H\QROGV S f %HFDXVH WKH ULJKWV RI D FROOHFWLYLW\ HJ 0V ;nV VHFRQG JUDGH FODVVURRP WKH UHJXODUV DW WKH %XOO t %UXVK SXEf DUH IDU OHVV VSHFLILHG ZLWKLQ RXU OHJDO V\VWHP WKDQ WKRVH RI D SHUVRQ D PRGHO RI LQIRUPHG FRQVHQW PD\ EH GLIILFXOW WR LPSOHPHQW RU PD\ EH LQDSSURSULDWH LQ SURWHFWLQJ SDUWLFLSDQWVn ULJKWV 'LHQHU t &UDQGDOO S f 7KLV DUJXPHQW LV WKH UHYHUVH RI WKH SUHYLRXV RQH DERXW WKH JURXS EHLQJ WKH XQLW RI DQDO\VLV LQ VRFLDO UHVHDUFK DQG LW LV HTXDOO\ VSHFLRXV 5HVHDUFKHUV PD\ EH LQWHUHVWHG LQ D JURXSn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

PAGE 85

QRYHO .HLWK6SLHJHO t .RRFKHU S f 7KH RWKHU FDXVH RI LPSUHFLVLRQ LV WKH UHODWLYLW\ RI WKH YDOXHV RI ULVN DQG EHQHILW 6XFK FRQFHSWV DUH HPEHGGHG LQ VRFLHW\nV YDOXH V\VWHP WKH FRQVWLWXWLQJ RI ZKLFK LV DOZD\V GHEDWDEOH DQG FRQWHVWDEOH 0DF,QW\UH S f 0DQ\ RI WKH IDFWRUV LQYROYHG DUH WKRXJKW WR EH LQWDQJLEOH ,Q PRVW RI VRFLDO UHVHDUFK KRZHYHU WKH DVVHVVPHQW RI ERWK WKH ULVN RI KDUP DQG RI WKH SRWHQWLDO RI EHQHILWV LV OLPLWHG E\ D ODFN RI NQRZOHGJH RQ ZKLFK WR EDVH MXGJPHQWV %RZHU t GH *DVSDULV S f 2EYLRXVO\ WKRXJK MXGJPHQWV DUH PDGH 7KH VFDOH PRVW FRPPRQO\ XVHG WR ZHLJK ULVNV DJDLQVW EHQHILWV LV D IRUP RI XWLOLWDULDQ DQDO\VLV FDOOHG FRQVHTXHQWLDOLVP 'ZRUNLQ S f 7KH SURGXFW RI WKLV DQDO\VLV LV PRVW IUHTXHQWO\ H[SUHVVHG DV D UDWLR $IWHU HVWLPDWLQJ WKH WRWDO ULVNV DQG EHQHILWV WKDW PD\ HQVXH IURP DQ DFWLRQ WKH GHFLVLRQ WR FDUU\ LW RXW LV GHWHUPLQHG E\ ZKHWKHU WKH VXP RI EHQHILWV ZLOO EH ODUJHU WKDW LV RXWZHLJK WKH VXP RI ULVNV 5H\QROGV S f 7KHUH DUH D QXPEHU RI SUREOHPV ZLWK WKLV PRUDO FDOFXOXV VRPH FRQFHGHG WR E\ WKRVH ZKR XUJH LWV DGRSWLRQ DQ\ZD\ 'HVSLWH FRPSODLQWV WKDW D XWLOLWDULDQ DSSURDFK WR WKH PRUDO DQDO\VLV RI UHVHDUFK PD\ OHDG WR D FDOORXV WUHDWPHQW RI SDUWLFLSDQWV LW LV YLUWXDOO\ LPSRVVLEOH WR DYRLG 5HVRXUFHV DUH SXEOLF DQG FKRLFHV PXVW EH PDGH 5H\QROGV S f 5H\QROGV UHDOL]HV WKDW VRPH IRUP RI TXDQWLILFDWLRQ ZRXOG EH UHTXLUHG IRU WKHVH GLUHFW FRPSDULVRQV 8QGHU WKH SUHVV RI 0DF,QW\UHVn DUJXPHQWV EXW LQ FLUFXODWLRQ DV D UHSRUW VLQFH f KH DGPLWV WKDW WKH QXPEHUV DVVLJQHG WR PHDVXUHV RI EHQHILW DQG ULVN PD\ QRW EH FRPPHQVXUDWH

PAGE 86

0DF,QW\UH f KROGV WKDW ULVNEHQHILW DQDO\VLV LV DSSURSULDWH RQO\ IRU ZHOOGHVLJQHG FRQWUROOHG H[SHULPHQWV FRQGXFWHG ZLWK D YLHZ WR DQ LPPHGLDWH GHFLVLRQ EHWZHHQ DOWHUQDWLYH SROLFLHV S f $QRWKHU FRQVHTXHQFH RI LQDSSURSULDWHO\ DSSO\LQJ WKH ULVNEHQHILW UDWLR WR DIILUP WKH KDUPOHVVOHVV RI VRFLDO UHVHDUFK LV WKDW LW GLPLQLVKHV WKH LPSRUWDQFH RI VRFLDO UHVHDUFK 7KH PRUH LPSRUWDQW WKH SKHQRPHQRQ WKH JUHDWHU OLNHOLKRRG WKDW WKH UHVHDUFK PD\ LQYROYH D ULVN RI QHJDWLYH HIIHFWV VWUHVV RU HPEDUUDVVPHQW IRU WKH SDUWLFLSDQWV 5H\QROGV S f %XW PHWKRGRORJLVWV H[DJJHUDWH WKH FRQWUDVW EHWZHHQ ODERUDWRU\ UHVHDUFKHUV KDYLQJ VWULFW FRQWURO RYHU D QDUURZ VOLFH RI LQGLYLGXDOVn EHKDYLRU DQG ILHOG UHVHDUFKHUV DW WKH PHUF\ RI D VRFLDO JURXSn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f 5H\QROGV UHSUHVHQWV SHUKDSV DQ H[WUHPH LQ WKH SRVLWLRQ WKDW ILHOG UHVHDUFK LV PDUNHGO\ QRQLQWHUYHQWLRQLVW $W WKH RSSRVLWH HQG DUH ILHOGZRUNHUV VXFK DV :DONHU f DQG :D[ f ZKR LQVLVW WKDW D ILHOG VWXG\ LV D WUHDWPHQW 7KH\ FODLP WKDW UHVHDUFKHUV LQHYLWDEO\ LQWURGXFH LQWR WKH VHWWLQJ

PAGE 87

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f JLYH WR UHVHDUFKHUV ZKR PLJKW EH ZRUULHG DERXW WKHLU LQIOXHQFH RQ VXEMHFWVn EHKDYLRU 'RQnW LQIODWH WKH SRWHQWLDO SUREOHP \RX DUH QRW UHDOO\ VXFK DQ LPSRUWDQW SUHVHQFH LQ WKH OLYHV RI WKHVH SHRSOH S f ,Q UHYHUVLQJ DQG DWWHQWXDWLQJ WKH XWLOLWDWLDQ UDWLRVOLJKWQHVV RI LPSDFW DVVXUHV VOLJKWQHVV RI ULVNUHVHDUFKHUV

PAGE 88

FRPPXQLFDWH WR VXEMHFWV WKDW WKH SURMHFW GRHV QRW DQG QHHG QRW FRQFHUQ WKHP )XUWKHU (URVLRQ RI WKH ,QIRUPHG &RQVHQW 5HTXLUHPHQW ,Q DGGLWLRQ WR PLQLPDO ULVN WKH '++6 *XLGHOLQHV SHUPLW ZLWKKROGLQJ LQIRUPDWLRQ XQGHU RQH RWKHU FRQGLWLRQ QDPHO\ ZKHQ UHVHDUFK FRXOG QRW SUDFWLFDOO\ EH FDUULHG RXW ZLWKRXW WKH ZDLYHU RU DOWHUDWLRQ )HGHUDO 5HJLVWHU f -DQXDU\ f 7KLV ODQJXDJH LV FUXFLDO IRU DSSURYLQJ VWUDWHJLHV WR FLUFXPYHQW UHDFWLYLW\ :H QRZ DUH LQ D SRVLWLRQ WR H[DPLQH KRZ WKH H[HPSWLRQ RI WKH IXOO GLVFORVXUH FRPSRQHQW RI LQIRUPHG FRQVHQW VHFXUHV WKH FRQWLQXDQFH RI D SRVLWLYLVW DSSURDFK WR KXPDQ VXEMHFW UHVHDUFK LQ WKH IDFH RI WKH HWKLFDO PDQGDWH WR UHVSHFW SHUVRQV KDYH DOUHDG\ FLWHG 5H\QROGVn f FDVXLVWLFDO LQWHUSUHWDWLRQ WKDW LQIRUPHG FRQVHQW LV DFWXDOO\ D SURFHGXUH WR DOORZ LQGLYLGXDOV WR IRUHJR PRVW EXW QRW DOOf ULJKWV XQGHU FHUWDLQ FRQGLWLRQV S f 5H\QROGV XVHV DQRWKHU VRSKLVWLF DUJXPHQW WR VXSSRUW WKH JLYLQJ RI LQFRPSOHWH LQIRUPDWLRQ WR VXEMHFWV +H FODLPV D IXQGDPHQWDO IHDWXUH RI UHVHDUFK >LV@ WKH LQDELOLW\ WR SUHGLFW WKH FRQVHTXHQFHV IRU WKH SDUWLFLSDQWV S f ,QTXLU\ LV DIWHU DOO LQDXJXUDWHG WR GHWHUPLQH FRQQHFWLRQV RU SDWWHUQV LI WKHVH ZHUH DOUHDG\ NQRZQ WKHUH ZRXOG EH QR UHDVRQ WR FRQGXFW UHVHDUFK 7KXV FRPSOHWH LQIRUPDWLRQ LV QHYHU DYDLODEOH DW WKH RXWVHW 7KH EHVW LQYHVWLJDWRUV FDQ GR LV HVWLPDWH WKH UDQJH DQG LQWHQVLW\ RI WKH FRQVHTXHQFHV S f

PAGE 89

%XW WKH SUREOHP IDFLQJ UHVHDUFKHUV LV QRW LQVXIILFLHQW LQIRUPDWLRQ EXW UDWKHU WKDW DQ\ IDFWV FRPPXQLFDWHG DW WKH RXWVHW DERXW WKH IRFXV RI WKH UHVHDUFK DERXW SUHYLRXV ILQGLQJV DERXW WKH LQWHQGHG DXGLHQFHf ZLOO WHQG WR LQIOXHQFH WKH VXEMHFWVn SHUIRUPDQFH (YHU\ UHVHDUFKHU LV IDFHG ZLWK WKH GLOHPPD WKDW WKH YHU\ DFW RI VROLFLWLQJ LQIRUPHG FRQVHQW LQFLWHV UHDFWLYLW\ ,W LV QRZ FOHDU WKDW LQ PDQ\ FDVHV D SDUWLFLSDQWnV NQRZOHGJH RI WKH GHWDLOV RI WKH VFLHQWLILF REMHFWLYHV GRHV DIIHFW KLV H[SHULHQFLQJ DQG UHSRUWLQJ RI WKH SKHQRPHQRQ 5H\QROGV S f ,W LV RIWHQ KLJKO\ OLNHO\ WKDW LI VXEMHFWV DUH JLYHQ HQRXJK LQIRUPDWLRQ DERXW D UHVHDUFK LQYHVWLJDWLRQ LQ RUGHU WR JLYH LQIRUPHG FRQVHQW WKH\ ZLOO DOWHU WKHLU EHKDYLRU LQ ZD\V WKDW ZLOO DIIHFW WKH RXWFRPH RI WKH LQYHVWLJDWLRQ :HEE HW DO S f ([SODQDWLRQ RI UHVHDUFK SXUSRVHV DQG RI VRPH SURFHGXUHV PD\ VNHZ VRFLDO VFLHQFH UHVHDUFK UHVXOWV EHFDXVH WKH VXEMHFWnV QDWXUDO EHKDYLRU ZLOO EH DIIHFWHG E\ KLV QHZ NQRZOHGJH 7URSS S f :H ILQG KHUH LQ FRQWH[WV GLVFXVVLQJ WKH HWKLFV RI UHVHDUFK WKH VDPH REMHFWLRQV WR UHDFWLYLW\ WKDW ZHUH UDLVHG LQ WKH SUHYLRXV FKDSWHUnV UHYLHZ RI WKH HSLVWHPRORJLFDO SUREOHPV DVVRFLDWHG ZLWK UHDFWLYLW\ 0RVW PHWKRGRORJLVWV DUH FRQYLQFHG WKDW GHWDLOHG H[SODQDWLRQ OLNH WKH REVHUYDWLRQ SURFHVV LWVHOI ELDVHV VXEMHFWVn UHVSRQVHV 7KH\ NQRZ WKDW WKH GLVWULEXWLRQ DQG GXUDWLRQ RI WKHVH UHDFWLYH HIIHFWV DUH QRW VSHFLILDEOH E\ D VHFRQG OHYHO RI REVHUYDWLRQ IRU UHDFWLYLW\ LV FRQFHLYHG RI DV DQ DUWLIDFW RI WKH REVHUYDWLRQ SURFHVV LWVHOI 0RQLWRULQJ WKHVH GLVWRUWLRQV VWDUWV UHVHDUFKHUV GRZQ D URDG RI LQILQLWH UHJUHVV $W HDFK OHYHOWKH VWXG\ RI WKH VWXG\ RI WKH VWXG\WKH GLPHQVLRQ DQG IRUFH RI WKH RULJLQDO VXEMHFWUHVHDUFKHU HQFRXQWHU

PAGE 90

UHFHGHV 7KH\ UHJUHWIXOO\ FRQFOXGH WKDW SUHVHQFH RI UHDFWLYH HIIHFWV VHULRXVO\ FRQIRXQGV D VWXG\nV ILQGLQJV 7KXV WKH SRVLWLYLVW JRDO IRU UHVHDUFKWKH GLVFRYHU\ RI WKH LPPDQHQW VWUXFWXUHV RI VRFLDO OLIHLV WKZDUWHG 2QO\ RQH H[LW UHPDLQV RXW RI WKLV HSLVWHPLFHWKLFDO FXOGHVDF DQG WKDW LV WR UHFRPPHQG OHJDOO\VDQFWLRQHG SURFHGXUHV GHVLJQHG WR PLQLPL]H VXEMHFWVn DZDUHQHVV RI WKH UHVHDUFK DFWLYLW\ -XVWLILFDWLRQV IRU 5HVWULFWLQJ $ZDUHQHVV 2QFH D UHVHDUFKHU DFFHSWV WKH QRWLRQ WKDW LQIRUPHG FRQVHQW SURYLGHV D PHFKDQLVP IRU PLQLPL]LQJ WKH SURVSHFW RI ODWHU FRQFHUQ IRU DQ HWKLFDO EUHDFK :HEE HW DO S f WKHQ LW PDNHV VHQVH WR WU\ WR VHFXUH SHUPLVVLRQ ZKLOH SURYLGLQJ DV OLWWOH LQIRUPDWLRQ DV SRVVLEOH ,W LV QRUPDOO\ VXIILFLHQW WR WHOO VXEMHFWV WKDW WKH FRPSOHWH SXUSRVH RI WKH VWXG\ FDQQRW EH VKDUHG ZLWK WKHP XQWLO DIWHUZDUG 'LHQHU t &UDQGDOO S f 7KH URXWLQH ZLWKKROGLQJ RI FRPSOHWH LQIRUPDWLRQ DW WKH FRQVHQW VWDJHD SUDFWLFH RIWHQ UHIHUUHG WR DV GHFHSWLRQKDV EHHQ ZLGHO\ UHSRUWHG LQ GLVFXVVLRQV RI WKH HWKLFV RI ERWK H[SHULPHQWDO DQG ILHOG UHVHDUFK .HLWK6SLHJHO t .RRFKHU 0HQJHV 3HVKNLQ 3XQFK 6XOV t 5RVQRZ f )LHOG UHVHDUFKHUV KDYH EHHQ SDUWLFXODUO\ FDQGLG DERXW ZKDW WKH\ SHUFHLYH WR EH WKH DEVROXWH QHFHFHVVLW\ RI GHFHSWLRQ LQ WKHLU ZRUN 3HVKNLQ f IRU H[DPSOH VWDWHV XQHTLYRFDOO\ WKDW GHFHSWLRQ LV D VLQH TXD QRQ RI ILHOGZRUN S f

PAGE 91

7KH FRQVHQVXV LV WKDW ZLWKRXW GHFHSWLRQ WKLQJV RI YDOXH DUH ORVW 3DUWLFLSDQW REVHUYHUV GHFHLYH EHFDXVH WKH\ KDYH QR RWKHU DOWHUQDWLYH LI WKH\ DUH WR EH JUDQWHG DFFHVV S f 7KH FUX[ RI WKH PDWWHU LV WKDW VRPH GHFHSWLRQ SDVVLYH RU DFWLYH HQDEOHV \RX WR JHW DW GDWD QRW REWDLQDEOH E\ RWKHU PHDQV 3XQFK S f %XW LW LV QRW PHUHO\ JHWWLQJ SDVW WKH JDWHNHHSHUV WKDW PDNHV UHVHDUFKHUV SOD\ GRZQ JORVV RYHU RU EH HYDVLYH DERXW WKH XOWLPDWH SXUSRVH RI WKH UHVHDUFK DQG LWV RXWFRPH %XOPHU S f )XOO H[SODQDWLRQV DUH QRW SURYLGHG EHFDXVH UHVHDUFKHUV DUH FRQYLQFHG GHFHSWLRQ KHOSV WR PLQLPL]H GLVWRUWLRQ 3HVKNLQ S f 3HVKNLQ LV FHUWDLQ WKDW RQO\ E\ QRW FRPPXQLFDWLQJ WKHLU RZQ EHOLHIV FDQ UHVHDUFKHUV KRSH WR FDSWXUH VXEMHFWVn FXVWRPDU\ EHKDYLRU $GGLWLRQDO DUJXPHQWV KDYH EHHQ DGYDQFHG RQ EHKDOI RI UHVWULFWHG GLVFORVXUH DERXW UHVHDUFK REMHFWLYHV 3XQFK f ILQGV LQIRUPHG FRQVHQW LV XQZRUNDEOH LQ VRPH VRUWV RI REVHUYDWLRQDO UHVHDUFK S f EHFDXVH LW VHUYHV WR UHGXFH SDUWLFLSDWLRQ RI WKH SRZHUIXO 7KH\ PXFK PRUH WKDQ WKH SRZHUOHVV DUH LQ D SRVLWLRQ WR UHIXVH WR SDUWLFLSDWH 7KXV WKH VDPH SURFHGXUH LQWHQGHG WR SURWHFW YXOQHUDEOH DQG GHYLDQW SRSXODWLRQV LV XVHG E\ WKHLU RYHUVHHUV WR HVFDSH VFUXWLQ\ 7KH REYLRXV VWDWXV GLIIHUHQWLDO RI WKRVH ZKR DFFHGH DQG WKRVH ZKR GHFOLQH WR EH VWXGLHG FRQILUPV +HUEHUW 5HLPDQnV f GHVFULSWLRQ RI UHVHDUFKHUV DV WKH HVWDEOLVKPHQWnV SULYDWH GHWHFWLYHV )LQDOO\ SHUKDSV WKH PRVW F\QLFDO RI WKH MXVWLILFDWLRQV JLYHQ LQ GHIHQVH RI LQFRPSOHWH GLVFORVXUH LV WKDW FRQWUROOLQJ WKH UHOHDVH RI VHQVLWL]LQJ LQIRUPDWLRQ LV

PAGE 92

FKDUDFWHULVWLF RI PRVW KXPDQ LQWHUDFWLRQ ,Q QRUPDO VRFLDO LQWHUFRXUVH D SHUVRQ ZKR LV WRWDOO\ KRQHVW LV XQEHDUDEOH DQG VRFLDOO\ LPPDWXUH 3XQFK S f 7KH HQFRXUDJHPHQW RI VWUDWHJLF FRPPXQLFDWLRQ ZRUULHV VRPH ZULWHUV RQ WKH HWKLFV RI UHVHDUFK %XOPHU f DQG :DUZLFN f ERWK ZDUQ WKDW ZKHQ UHVHDUFKHUV ZLWKKROG LQIRUPDWLRQ IURP VXEMHFWV HYHQ IRU VRXQG PHWKRGRORJLFDO UHDVRQV WKH\ VRZ VHHGV RI GLVWUXVW DQG VXVSLFLRQ LQ WKH VHWWLQJ WKHUHE\ UHLQIRUFLQJ WKH SXEOLFnV SHUFHSWLRQ RI VRFLDO VFLHQWLVWV DV PDQLSXODWLYH DQG VHOIVHUYLQJ 7KH &DVH $JDLQVW ,QFRPSOHWH 'LVFORVXUH )RU WKH SUDFWLFLQJ UHVHDUFKHU WKHUH LV D WUDGHRII EHWZHHQ SURIHVVLRQDO HWKLFDO SULQFLSOHV DQG PHWKRGRORJLFDO ULJRU 0HQJHV S f 7KLV VHQVH RI KDYLQJ WR FRPSURPLVH H[DFWLWXGH IRU WKH VDNH RI IDLUQHVV KDXQWV UHVHDUFK OR\DO WR WKH SRVLWLYLVW LGHDO RI WKH REMHFWLYH GLVHPERGLHG UHVHDUFKHU 7KH PDLQWHQDQFH RI D GLVFUHSDQF\ EHWZHHQ UHVHDUFKHUVn DQG VXEMHFWVn NQRZOHGJH RI WKH LQTXLU\ JXDUDQWHHV DQ DGYHUVDULDO WHQRU WR WKH UHODWLRQVKLS UHVHDUFK ZLOO SLW VXEMHFW DQG LQYHVWLJDWRU DJDLQVW HDFK RWKHU SUREDEO\ UDLVLQJ WKH VXVSLFLRQV RI HDFK RWKHU DERXW ZKDW WKH RWKHU LV GRLQJ EXW PHWKRGRORJLFDOO\ LQFDSDEOH RI YHULI\LQJ WKH H[LVWHQFH RI VXFK VXVSLFLRQV DQG HYDOXDWLQJ WKHLU FRQVHTXHQFHV 0HQJHV S f 2WKHU REMHFWLRQV FDQ EH ORGJHG DJDLQVW UHVHDUFKHUV PDLQWDLQLQJ D SULYLOHJHG HSLVWHPRORJLFDO VWDWXV ,Q VXVWDLQLQJ D GLFKRWRP\ EHWZHHQ WKH YLHZHU DQG WKH YLHZHG UHVHDUFKHUV DUH DSW WR IRUJHW WKDW WKHLU MXGJPHQWV OLNH

PAGE 93

WKHLU VXEMHFWV DUH DOVR FLUFXPVFULEHG E\ WDFLW DVVXPSWLRQV *XQQDU 0\UGDO f DWWULEXWHV UHVHDUFKHUVn FRQVWULFWHG DZDUHQHVV RI WKH SDUWLDOLW\ RI WKHLU YLVLRQ WR WKHLU LOORJLFDO SXUVXLW RI GHWDFKPHQW WKH\ XQGHUHVWLPDWH WKH H[WHQW RI SUHYDLOLQJ KLVWRULFDO FRQWLQJHQFLHV ZKHQ WKH\ VWULYH IRU D GHFRQWH[WXDOL]HG YDQWDJH SRLQW 5HVHDUFK LV D FRQWHVWDWLRQDO HQWHUSULVH DQG SDUWLFLSDQWV EHFRPH FRPPLWWHG HPRWLRQDOO\ DV ZHOO DV LQWHOOHFWXDOO\ WR WKH LVVXHV $ WKRURXJK LQYHVWLJDWLRQ RI D SUREOHP UHTXLUHV LQVSHFWLQJ LW FORVH DW KDQG DV ZHOO DV DW DUPnV OHQJWK :H GLPLQLVK RXU RZQ DQG RXU VXEMHFWVn KXPDQLW\ ZKHQ ZH FKRRVH WR SHUFHLYH RQO\ IURP D GLVWDQFH 2XU XQZLOOLQJQHVV WR GHFODUH RXU IDOOLELOLW\ LV FORDNHG E\ WKH FXOWLYDWLRQ RI REMHFWLYLW\ 3UHWHQGLQJ WR EH SDUWLDOO\ SUHVHQW DQG DOVR SDUWLDOO\ DEVHQW LV PRUH WKDQ GHOXGHG LW LV VRFLDOO\ GLVUXSWLYH $FFRUGLQJ WR $ODVGDLU 0DF,QW\UH f SUHWHQGLQJ XQGHUPLQHV DOO RXU PRVW WDNHQIRUJUDQWHG DVVXPSWLRQV DERXW WKH LQWHUSUHWDWLRQ RI WKH EHKDYLRU RI RWKHUV S f 0DF,QW\UH OLNHQV WKH DFWLRQV RI WKH ILHOGZRUNHU WR WKH VS\nV %RWK FRXUW IDPLOLDULW\ WR GLVJXLVH WKHLU RXWVLGHU VWDWXV DQG ERWK DUH LQVLQFHUH DERXW WKH GHSWK RI WKHLU HQJDJHPHQW EHKLQG WKH RYHUW VXUIDFHV DQG GLVFORVXUHV RI WKH VS\nV EHKDYLRU OLH D ZKROH VHW RI XQGLVFORVHG PRWLYHV DQG LQWHQWLRQV PRUHRYHU ZKLOH WKH VS\ WULHV WR ZLWKKROG KLPVHOI RU KHUVHOI V\VWHPDWLFDOO\ LQ KLV RU KHU HQFRXQWHUV ZLWK RWKHUV KH RU VKH DW WKH VDPH WLPH FKDUDFWHULVWLFDOO\ WULHV WR GLVFRYHU PRUH DERXW WKRVH RWKHUV WKDQ WKH\ ZRXOG ZLOOLQJO\ RU RUGLQDULO\ GLVFORVH S f

PAGE 94

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nV GHFLVLRQPDNLQJ FDSDFLW\ (YHQ DFWV RI SDVVLYH GHFHSWLRQ LQWHUIHUH ZLWK WKH YROXQWDU\ FKDUDFWHU RI >WKH DJHQWnV@ DFWLRQV >7KH\@ OLPLW YROXQWDULQHVV E\ NHHSLQJ WKH DJHQW LQ LJQRUDQFH RI IDFWV WKDW DUH UHOHYDQW WR FKRRVLQJ RQH DFWLRQ UDWKHU WKDQ DQRWKHU 'ZRUNLQ S f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f IRU H[DPSOH EHOLHYHV LW LV WKH

PAGE 95

HVVHQFH RI WKH >HWKQRJUDSKLF@ PHWKRG WKDW LW LV D GLDOHFWLFDO RU IHHGEDFN LQWHUDFWLYHUHDFWLYHf PHWKRG S f 6LPLODUO\ &RUVDUR f VWDWHV WKH QDWXUH RI HWKQRJUDSKLF UHVHDUFK GHPDQGV WKDW WKH VDPSOLQJ SURFHGXUHV DOVR EH UHDFWLYH WR GHYHORSPHQWV LQ WKH FRXUVH RI UHVHDUFK S f 6XFK VWDWHPHQWV DVVHUW WKH SRWHQWLDOLW\ IRU FRQGXFWLQJ UHVHDUFK DV LI LW ZHUH D WZRZD\ FRQYHUVDWLRQ
PAGE 96

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n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n ZULWLQJV RQ WKH LGHDO VSHHFK DFW ,Q WKH QH[W FKDSWHU ZLOO H[DPLQH WKLV WKHRUHWLFDO FRQVWUXFW DQG DSSO\ LW WR DQ DQDO\VLV RI PRGHOV RI UHVHDUFK WKDW FDOO IRU FROODERUDWLRQ EHWZHHQ UHVHDUFKHU DQG VXEMHFW

PAGE 97

&+$37(5 9 5(63(&7,1* 5($&7,9,7< 7+(25(7,& $1' 35$*0$7,& -867,),&$7,216 )25 &2//$%25$7,9( 5(6($5&+ ,Q WKH ILUVW WKUHH FKDSWHUV KDYH SRVHG DQG DQVZHUHG LQ WKH QHJDWLYH WKH IROORZLQJ TXHVWLRQ DERXW UHDFWLYLW\ ,V WKH WHQGHQF\ RI VXEMHFWV WR EHFRPH VHOI FRQVFLRXV DQG DFXWHO\ LQWHUHVWHG LQ WKHLU REVHUYHUVn LQWHQWLRQV DGHTXDWHO\ DGGUHVVHG E\ DQ DQWHFHGHQW GHFODUDWLRQ FRQFHUQLQJ UHVSHFW IRU WKHLU ULJKWV DV SHUVRQV" KDYH DUJXHG WKDW EHFDXVH WKH HSLVWHPRORJLFDO VLWXDWLRQ LV VR ODELOHRQ EHLQJ REVHUYHG KXPDQ EHLQJV YROXQWDULO\ DQG LQYROXQWDULO\ DGMXVW WKHLU EHKDYLRUUHVHDUFKHUV KDYH KDG WR UHTXHVW H[HPSWLRQ IURP WKH IXOO GLVFORVXUH FRPSRQHQW RI LQIRUPHG FRQVHQW LQ RUGHU WR PDLQWDLQ D VWHDGIDVW VHTXHVWHUHG YDQWDJH SRLQW ,Q WKLV FKDSWHU SURSRVH WR VHW IRUWK D EURDG LQWHUSUHWDWLRQ RI WKH HWKLFDO LGHDO LPSOLFLW LQ LQIRUPHG FRQVHQW ,QVWHDG RI FRQFHLYLQJ LW DV D VHW RI OHJDOLVWLF UHVWUDLQWV RQ UHVHDUFKHUV ZDQW WR GHPRQVWUDWH LWV SRWHQWLDO IRU HQJHQGHULQJ FROODERUDWLRQ EHWZHHQ UHVHDUFKHUV DQG VXEMHFWV ,Q RUGHU WR H[SOLFDWH D UHYLVHG FRQFHSWLRQ RI WKLV UHODWLRQVKLSIURP DGYHUVDULHV WR FRZRUNHUVLW ZLOO EH QHFHVVDU\ WR FRQVLGHU DOWHUQDWLYHV WR WKH SRVLWLYLVW DSSURDFK WR UHVHDUFK 7KH DSSURSULDWHQHVV RI XWLOL]LQJ

PAGE 98

WKH QRPRWKHWLF JRDOV RI SRVLWLYLVP WR FRQGXFW VRFLDO VFLHQWLILF LQTXLULHV KDV EHHQ TXHVWLRQHG UHSHDWHGO\ VHH PRVW UHFHQWO\ &RPVWRFN *XED t /LQFROQ f 2I WKH PDMRU WHQHWV RI SRVLWLYLVPGHILQLQJ DV UHDO RQO\ WKRVH SKHQRPHQD DPHQDEOH WR PHDVXUHPHQW DQG PDQLSXODWLRQ GLVWLQJXLVKLQJ VKDUSO\ EHWZHHQ VWDWHPHQWV RI IDFWV DQG VWDWHPHQWV RI YDOXH JHQHUDWLQJ FRYHULQJ ODZV WR LQFUHDVH SUHGLFWLRQ DQG FRQWURO RI KXPDQ EHKDYLRU %RZHUV fRQH LQ SDUWLFXODU KDV EHHQ VLQJOHG RXW DV HVSHFLDOO\ LQDSSURSULDWH E\ SURSRQHQWV RI WZR RWKHU ULYDO SDUDGLJPV IRU VRFLDO VFLHQFH UHVHDUFK 7KHVH SDUDGLJPVf§WKH LQWHUSUHWLYH DQG WKH FULWLFDO VHH %HUQVWHLQ %UHGR t )HLQEHUJ fDUH XQLWHG LQ WKHLU DVVDXOW RQ WKH SRVLWLYLVW QRWLRQ RI WUXWKDVFRUUHVSRQGHQFH 7KH RQWRORJLFDO SRVLWLRQ RI SRVLWLYLVP DVVXPHV WKHUH LV D UHDOLW\ LQGHSHQGHQW RI KXPDQ PLQGVf RXU NQRZOHGJH RI WKLV UHDOLW\ XQFKDQJLQJ LPPDQHQW WUXWKf LV FRPPHQVXUDWH ZLWK WKH GHJUHH WR ZKLFK RXU VWDWHPHQWV DSSURDFK DQG PDWFK WKDW LV FRUUHVSRQG WR WKLV XQGHUO\LQJ UHDOLW\ 7KH FKLHI FRQVHTXHQFH RI ZRUNLQJ ZLWKLQ D UHDOLVW RQWRORJ\ LV D VWURQJ SUHRFFXSDWLRQ ZLWK DFFXUDWHO\ PHDVXULQJ WKH H[WHQW WR ZKLFK RXU UHFRUGLQJ LQVWUXPHQWVDQG XOWLPDWHO\ RXU PLQGVKDYHG FDSWXUHG DV LPSDVVLYHO\ DV D PLUURU WKH FRQWRXUV RI WKLV UHDOLW\

PAGE 99

,Q SODFH RI D WUXWKDVFRUUHVSRQGHQFH YLHZ RSSRQHQWV RI SRVLWLYLVP DUJXH IRU D WUXWKDVDJUHHPHQW YLHZ 0LOOHU f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f +DEHUPDVn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

PAGE 100

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f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nV FKLHI DQDO\WLFDO WRRO 7KH GLVFHUQPHQW RI PHDQLQJ LV ZKDW PDNHV WKH VRFLDO VFLHQFHV D KHUPHQHXWLF DFWLYLW\ 8QGHUVWDQGLQJ WKH VSHHFK DQG DFWLRQ RI RWKHUV LV D MXGJPHQW PDGH QRW RQO\ E\ VRFLDO

PAGE 101

VFLHQWLVWV EXW E\ DOO SHRSOH DV WKH\ FDUU\ RXW WKH LQWHUFRXUVH RI GDLO\ OLIH %ULQJLQJ IRUWK D FRQYHUJHQFH RXW RI WKHVH GLYHUJHQW XQGHUVWDQGLQJV LV D JRDO RI WKH SKLORVRSKLFDO WUDGLWLRQ ZLWKLQ ZKLFK +DEHUPDV ZRUNV +DEHUPDV KDV FULWLFL]HG VRPH RI KLV SUHGHFHVVRUV LQ WKLV WUDGLWLRQ IRU WKHLU ODWHQW SRVLWLYLVP +H VHHV LQ WKH ZULWLQJV RI WKH 9HUVWHKHQ WKHRULVWV VXFK DV 'LOWKH\ DQG :HEHUf D WHQGHQF\ WR WUHDW XQGHUVWDQGLQJV YDOXH V\VWHPV DQG FRUH EHOLHIV DV GDWD LQ WKH URRW VHQVH RI VRPHWKLQJ JLYHQ DV RSSRVHG WR VRPHWKLQJ FRQWLQJHQWO\ FRQVWUXFWHG RXW RI WKH UKHWRULFDO HQJDJHPHQW EHWZHHQ VSHDNHUV EHORQJLQJ WR GLIIHUHQW WUDGLWLRQV ,Q WKLV FRQFHSWLRQ RI KHUPHQHXWLFV DV D FRQYHUVDWLRQ ZLWKLQ DQG DFURVV FXOWXUHV GLDORJXH RFFXSLHV D FUXFLDOO\ LPSRUWDQW SODFH LQ +DEHUPDVn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

PAGE 102

WR DUULYH DW XQHTXLYRFDO ILQGLQJV DUH GHFODULQJ WKDW WKH\ SUHIHU WR FRQVWUXFW WKHLU LQWHUSUHWDWLRQV PRQRORJLFDOO\ +DEHUPDV f FRQVLGHUV WKH PRQRORJLF DSSURDFK IODZHG +H GHVFULEHV LW DV DQ LQDSSURSULDWH DSSOLFDWLRQ RI LQVWUXPHQWDO UHDVRQ E\ ZKLFK KH PHDQV D IRUP RI UDWLRQDOLW\ WKDW UHVWULFWV LWVHOI WR MXGJLQJ WKH HIILFDF\ RI PHDQV DQG H[FOXGHV GLVFXVVLQJ WKH ZRUWKZKLOHQHVV RI HQGV ,QVWUXPHQWDO UHDVRQ LV DSSURSULDWH LQ VRPH RI WKH SK\VLFDO VFLHQFHV ZKHUH WKH REMHFWV RI LQTXLU\ H J PROHFXOHV DQG TXDVDUVDV IDU DV ZH NQRZ QRZ PXWH HQWLWLHVf GR QRW SUHVHQW MXVWLILFDWLRQV 6SHDNHUV RI QDWXUDO ODQJXDJHV KRZHYHU FDQ FRQYH\ SRVVLELOLWLHV DQG DOWHUQDWLYHV ,Q +DEHUPDVn f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

PAGE 103

VWUXFWXUH KDV UHPDLQHG FRQVWDQW 6LQFH LQWHQG WR H[DPLQH WKH SUDJPDWLF MXVWLILFDWLRQV IRU UHVHDUFKHUVXEMHFW LQYROYHPHQW LQ WKH OLJKW RI +DEHUPDVn RQJRLQJ HIIRUW WR SURMHFW D FRQVHQVXDO DJHQGD IRU VRFLDO VFLHQWLILF LQTXLU\ RQH WKDW GRHV QRW PHUHO\ SDVVLYHO\ UHVSHFW VXEMHFWV EXW DFWLYHO\ HPSRZHUV WKHP QHHG WR SURYLGH D IHZ PRUH GHWDLOV IURP KLV JHQHUDO WKHRU\ RI FRPPXQLFDWLYH DFWLRQ +DEHUPDV f 'LDORJXH ZLWKRXW 'RPLQDWLRQ +DEHUPDV KDV ORQJ EHHQ HQJDJHG LQ FRQVWUXFWLQJ D FRPSUHKHQVLYH WKHRU\ WKDW OLQNV FHUWDLQ NLQGV RI FRPPXQLFDWLRQ WR FHUWDLQ NLQGV RI RXWFRPHV 7KH SDUWLFXODU OLQNDJH ZDQW WR GLVFXVV LQ WKLV VHFWLRQ LV WKH RQH EHWZHHQ GLVFRXUVH DQG FRQVHQVXV ,Q +DEHUPDVn VFKHPH GLVFRXUVH GRHV QRW UHIHU WR FRQYHUVDWLRQV LQ ZKLFK SDUWLFLSDQWV H[FKDQJH LQIRUPDWLRQ RU FRQYH\ H[SHULHQFHV UDWKHU LW LV D VSHFLDO UKHWRULFDO IRUP RI FRPPXQLFDWLRQ XVHG WR TXHVWLRQ DQG GLVFXVV WKH DVVXPSWLRQV XQGHUO\LQJ VSHDNHUVn HYDOXDWLYH MXGJPHQWV 'LVFRXUVH XVHV ODQJXDJH IRUHQVLFDOO\ -XVWLILFDWLRQV DUH RIIHUHG E\ VSHDNHUV WR VXSSRUW WKHLU LQWHUSUHWDWLRQ RI DQ HYHQW RU SUDFWLFH 'HFLGLQJ RQ DQ LQWHUSUHWDWLRQ WKDW DFFXUDWHO\ DQG IDLUO\ UHSUHVHQWV WKH LQWHUHVWV RI DOO SDUWLHV UHTXLUHV WKDW WKH VXSSRUWLQJ MXVWLILFDWLRQV EH HYDOXDWHG WKURXJK D QHJRWLDWRU\ SURFHVV WKDW MXGJHV WKH FRJHQF\ RI WKH DUJXPHQWV HDFK VSHDNHU DGYDQFHV

PAGE 104

7R HQJDJH LQ GLVFRXUVH LPSOLHV D FRPPLWWPHQW WR WKH SRVVLEOLOW\ RI UDWLRQDOO\ DVVHVVLQJ WKH PHULW RI GLIIHUHQW LQWHUSUHWDWLRQV )RU +DEHUPDV LW LV D[LRPDWLF RI GLVFXUVLYH FRPPXQLFDWLRQ WKDW WKH IRUFHIXOQHVV RI D EHWWHU DUJXPHQW LV SRWHQWLDOO\ UHFRJQL]DEOH E\ DOO VSHDNHUV ,QWHUSUHWHUV FDQ GR QR RWKHU WKDQ DSSHDO WR VWDQGDUGV RI UDWLRQDOLW\ ZKLFK WKH\ WKHPVHOYHV KDYH DGRSWHG DV ELQGLQJ RQ DOO SDUWLHV +DEHUPDV S f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n DV\PPHWULFDO VRFLDO VWDWXV DQG WKHLU XQDFNQRZOHGJHG GHVLUH WR GRPLQDWH HDFK RWKHU +DEHUPDV KDV FRQVLVWHQWO\ PDLQWDLQHG WKDW WKH UHODWLRQVKLS EHWZHHQ UHVHDUFKHUV DQG VXEMHFWV KDV VWURQJ VLPLODULWLHV WR WKH SV\FKRWKHUDSHXWLF UHODWLRQVKLS 7KH JRDO RI ERWK LV XQLQKLELWHG DQG WUXWKIXO VHOIH[SUHVVLRQ

PAGE 105

6HH IRU H[DPSOH 3RVWVFULSW LQ +DEHUPDV f 7R WDNH XS +DEHUPDVn DUJXPHQW WKDW VRFLDO VFLHQFH LV DQ HPDQFLSDWRU\ SURMHFW LV EH\RQG P\ SUHVHQW SXUSRVH 6XIILFH LW WR VD\ WKDW IRU +DEHUPDV WKH JRDO RI GLVFXUVLYH FRPPXQLFDWLRQ LV WR DUULYH DW DQ XQGHUVWDQGLQJ DQG LQ KLV WKHRU\ WKLV JRDO 9HUVWDHQGLJXQJKDV WKH YHU\ EURDG VHQVH RI VKDUHG NQRZOHGJH PXWXDO WUXVW DQG DFFRUG .HDW S f +RZ H[DFWO\ LV FRQVHQVXV DFKLHYHG" ,W LV WKH SURGXFW RI KHUPHQHXWLF GLDORJXH 'XULQJ WKH FRXUVH RI DQ LQTXLU\ D SURYLVLRQDO LQWHUSUHWLYH VFKHPH LV MRLQWO\ FRQVWUXFWHG DQG FRQWLQXRXVO\ PRGLILHG DV D UHVXOW RI QHJRWLDWLRQV WKDW VHHN WR HVWDEOLVK DQ LQWHUVXEMHFWLYH XQGHUVWDQGLQJ DPRQJ DOO SDUWLHV 7KH EDVLV IRU LQWHUVXEMHFWLYLW\ LV WKH FRQVWDQW URWDWLRQ IURP VSHDNHU WR OLVWHQHU IURP DFWRU WR REVHUYHU $OWHUQDWLQJ EHWZHHQ GHILQLQJ DQG EHLQJ GHILQHG WKH SDUWLFLSDQWV LQ WKH LQTXLU\ DVVHVV RQH DQRWKHUnV XQGHUVWDQGLQJ E\ UHTXHVWLQJ DQG JLYLQJ DFFRXQWV RI HYHQWV ,Q WHOOLQJ WKHLU VWRU\ VSHDNHUV WU\ WR PDNH H[SOLFLW WKH YDOXHV RU QRUPV WKDW JXLGH WKHLU MXGJPHQWV 7KLV SURFHVV RI QHJRWLDWLQJ D PXWXDOO\ DJUHHDEOH LQWHUSUHWDWLRQ RI FROOHFWLYH DFWLRQ LV SUHGLFDWHG RQ WKH H[FKDQJH RI MXVWLILFDWLRQV RU YDOLGLW\ FODLPV DV +DEHUPDV WHUPV WKHP 9DOLGLW\ FODLPV +DEHUPDV GLVWLQJXLVKHV IRXU GLIIHUHQW NLQGVf EHFRPH LQFRUSRUDWHG LQWR WKH UDWLRQDO FRQVHQVXV RQO\ LI DOO VSHDNHUV JLYH WKHLU FRQVHQW

PAGE 106

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n SULYLOHJHG SRVLWLRQ VLQFH WKH\ DUH LQYROYHG LQ WKH QHJRWLDWLRQV DERXW YDOLGLW\ FODLPV %\ WDNLQJ SDUW LQ FRPPXQLFDWLYH DFWLRQV WKH\ DFFHSW DQ HTXDO VWDQGLQJ ZLWK WKRVH ZKRVH XWWHUDQFHV WKH\ ZDQW WR XQGHUVWDQG 7KH\ DUH QR ORQJHU LPPXQH EXW JLYH LQ WR D SURFHVV RI PXWXDO FULWLFLVP :LWKLQ D FRPPXQLFDWLYH SURFHVV WKHUH LV QR D SULRUL GHFLVLRQ DV WR ZKR KDV WR OHDUQ IURP ZKRP LQ RUGHU WR UHDFK D FRPPRQ XQGHUVWDQGLQJ +DEHUPDV SS f 'LDORJXH ZLWKRXW GRPLQDWLRQ SURYLGHV D FLUFXPVWDQFH ZLWKLQ ZKLFK DOO VSHDNHUV FDQ H[SUHVV WKHLU PRWLYHV DQG LQWHQWLRQV RSHQO\ (TXDOLW\ DPRQJ LQWHUSUHWHUV KDV WZR HIIHFWV )LUVW LW HQKDQFHV WKH VHQVH RI DJHQF\ WKDW HDFK JURXS SRVVHVVHV HDFK JURXS FRQWULEXWHV WR WKH VWRU\ WKDW ZLOO EH WROG DERXW ZKDW KDSSHQHG ZKHQ VSHDNHUV ZLWK GLIIHUHQW KRUL]RQV RI H[SHFWDWLRQV PHW DQG LQWHUDFWHG 6HFRQG WKH RSSRUWXQLW\ WR SDUWLFLSDWH LQ WKH FRQVWUXFWLRQ RI D FRQVHQVXV LQFUHDVHV LQWHUSUHWHUVn DZDUHQHVV RI WKHLU

PAGE 107

RZQ LQGLYLGXDOLW\ ,Q DVVHVVLQJ WKH SODXVLELOLW\ RI GLIIHUHQW LQWHUSUHWDWLRQV VSHDNHUV GLVFRYHU WKH SUHVHQFH DQG RSHUDWLRQ RI WKHLU RZQ SDUWLFXODU VHW RI LQWHUHVWV 0HDQLQJ GLVFORVHV LWVHOI WR WKH LQWHUSUHWHU RQO\ WR WKH H[WHQW WKDW KLV RZQ ZRUOG EHFRPHV FODULILHG DW WKH VDPH WLPH +DEHUPDV S f ,W VKRXOG EH FOHDU IURP WKH IRUHJRLQJ ZK\ +DEHUPDVn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n YLHZV DUH LPSRUWDQW EHFDXVH KH YLJRURXVO\ GLVSXWHV WKH SRVLWLYLVW FODLP WKDW PRQRORJLFDOO\ FRQVWUXFWHG ULJRURXVO\ QHXWUDO DFFRXQWV RI VRFLDO SURFHVVHV FDQ EH YDOLG 2Q WKH FRQWUDU\ KH ZDUQV WKDW VXFK DFFRXQWV ZKLFK IDLO WR HVWDEOLVK D FRQVHQVXV RI PHDQLQJ DFFHSWDEOH WR DOO SDUWLFLSDQWV DUH HSLVWHPRORJLFDOO\ DQG HWKLFDOO\ IODZHG ,Q IDFW E\ SHUIRUPLQJ WKH ZRUN RI DQDO\VLV DQG V\QWKHVLV LQ LVRODWLRQ UHVHDUFKHUV DFWXDOO\ LPSHGH WKH

PAGE 108

H[HUFLVH RI LQWHOOLJHQFH DQG DXWRQRP\ WKDW WKH LQIRUPHG FRQVHQW DJUHHPHQW DW OHDVW LQ VSLULW LV VXSSRVHG WR HQFRXUDJH ,W LV WLPH QRZ WR FRQVLGHU VRPH UHFHQW DSSHDOV WR LQFOXGH VXEMHFWV LQ WKH FRXUVH RI UHVHDUFK &ROODERUDWLRQ 7KH 6HDUFK IRU 6SHFLILF 5HFLSURFDO %HQHILWV ,Q WKLV VHFWLRQ ZDQW WR GHPRQVWUDWH KRZ +DEHUPDVn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t .RRFKHU S f (PHUJHQW UHFLSURFDO EHQHILW QRW LQIRUPHG FRQVHQW KDV WR EH WKH PRUDO EDVLV RI ILHOGZRUN :D[ S f

PAGE 109

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t GH *DVSDULV S f 7KLV IRUPXODWLRQ LV LPSRUWDQW EHFDXVH LW SODFHV UHVHDUFK YHU\ GHILQLWHO\ LQ WKH FDWHJRU\ RI D FRPPXQLFDWLYH WUDQVDFWLRQ D FDWHJRUL]DWLRQ WKDW LPSOLHV WKDW WKHUH LV QR EDVLV IRU H[HPSWLQJ UHVHDUFK IURP WKH IXQFWLRQ RI FRPPXQLFDWLYH WUDQVDFWLRQ ZKLFK LV WR JHQHUDWH LQWHUVXEMHFWLYH XQGHUVWDQGLQJ %RZHU DQG GH *DVSDULV f FRQFHGH KRZHYHU WKDW WKH\ DUH GHVFULELQJ DQ LGHDO IRUP RI UHVHDUFK (TXDO VWDWXV SDUWLFLSDWLRQ VWLOO UHPDLQV DV D JRDO IRU WKH FRQGXFW RI UHVHDUFK HYHQ WKRXJK QRW IXOO\ DFKLHYHG LQ SUDFWLFH S f :KLOH WKHUH FRQWLQXH WR EH IHZ LQVWDQFHV RI IXOOIOHGJHG FROODERUDWLRQ ZLWK VXEMHFWV LQ SXEOLVKHG ILHOG VWXGLHV WKH HIIHFW RI DGRSWLQJ WKH SDUWLFLSDWRU\ PRGHO PDNHV LW HQFXPEHQW RQ UHVHDUFKHUV WR EH DV H[SOLFLW DV SRVVLEOH ZLWK VXEMHFWV DV WR ZKDW H[DFWO\ LV JRLQJ WR EH H[FKDQJHG

PAGE 110

$Q ([FKDQJH RI 0HDQLQJV )LHOGZRUNHUV RIWHQ FRQWLQXH WR SRUWUD\ WKHPVHOYHV LQ WKH JXLVH RI WK FHQWXU\ QDWXUDOLVWV 5RDPLQJ WKURXJK EXW VFDUFHO\ GLVWXUELQJ VWUDQJH KDELWDWV WKH\ FDUHIXOO\ REWDLQ UHPRYH DQG FDUU\ EDFN VSHFLPHQV WR WKHLU VWXG\ ,QVWHDG RI QRWLQJ GLIIHUHQFHV LQ ILQFK EHDNV DQG WRUWRLVH VKHOOV HWKRORJLVWV RI KRPR VRFLDOLV H[DPLQH VDPSOHV RI ODQJXDJH DQG JHVWXUH RQ WKH EDVLV RI ZKLFK WKH\ DVVLJQ VXEVSHFLHV WR GLIIHUHQW QLFKHV LQ SDUWLFXODU HFRV\VWHPV 3URSRQHQWV RI TXDOLWDWLYH WHFKQLTXHV LQ SURJUDP HYDOXDWLRQ DUH HVSHFLDOO\ IRQG RI WKH LGHD RI FROOHFWLQJ GHILQLWLRQV 6HH IRU H[DPSOH 0DF'RQDOG DQG 3DWWRQ f +RZHYHU WKH UHFHQW OHJLVODWLRQ PDNLQJ LQIRUPHG FRQVHQW SURFHGXUHV PDQGDWRU\ VHFXUHV WKH SRVVLELOLW\ WKDW WKH RFFXSDQWV RI WKH QLFKHV PD\ DW DQ\ WLPH H[HUFLVH WKH ULJKW WR FRQWHVW D VWUXFWXUDO GHVFULSWLRQ L H DQ LQWHUSUHWDWLRQf RI WKHLU HFRV\VWHP ZLWK ZKLFK WKH\ GR QRW DJUHH ,QGLYLGXDOV DQG JURXSV PXVW UHVLVW UHVHDUFK WKDW FRXOG SURYLGH DQ LQWHUSUHWDWLRQ RI WKH VLWXDWLRQ GLIIHUHQW IURP WKHLU RZQ 7KHVH JURXSV ZDQW WR SDUWLFSDWH LQ WKH UHVHDUFK LWVHOI VR WKDW WKH ILQGLQJV UHPDLQ LQ WKH FRPPXQLW\nV KLVWRU\ DQG GLVFRXUVH 5LVW SS f 2QFH WKH ULJKW RI LQGLYLGXDOV DQG JURXSV WR GHILQH WKHPVHOYHV LV UHFRJQL]HG LW EHFRPHV DSSDUHQW WKDW WKH UHVHDUFKHUnV GHILQLWLRQ RI D VRFLDO SUDFWLFH LV RQH DPRQJ VHYHUDO WKH YLHZV RI DOO SDUWLFLSDQWV LQ D VWXGLHG VLWXDWLRQ DUH WKH SURGXFW RI WKHLU FRQVWLWXWLYH LQWHUHVWV

PAGE 111

+DEHUPDVn KHUPHQHXWLFDO DSSURDFK WR FRPPXQLFDWLYH DFWLRQ PDNHV LW FOHDU WKDW WKH UHVHDUFKHUnV WDVN GRHV QRW FRQVLVW RI DGMXGLFDWLQJ ZKRVH VHW RI GHILQLWLRQV PRVW FORVHO\ DSSUR[LPDWHV WKH SURSRVLWLRQDO FRQWHQWV RI VRPH SDUWLFXODU WKHRU\ RI VRFLDO RUJDQL]DWLRQ 5DWKHU WKH VRFLDO VFLHQWLVWnV SURMHFW LV WR SURPRWH D FRQWLQXRXV H[FKDQJH RI LQWHUSUHWDWLRQV DERXW WKH VWXGLHG VLWXDWLRQ XQWLO RQH HYROYHV ZKLFK FRQWDLQV D FRQVHQVXV QRW RQO\ DERXW ZKDW KDV JRQH RQ EXW DOVR DERXW ZKDW VKRXOG JR RQ $JUHHLQJ RQ PHDQLQJ LV SUHOLPLQDU\ WR DJUHHLQJ RQ IXWXUH DFWLRQ 7KH SXUSRVH RI HQJDJLQJ LQ GLDORJXH LV WR UHGLUHFW SUDFWLFH 7KHUHIRUH KHUPHQXWLFDOO\ RULHQWHG UHVHDUFK LV QHYHU PHUHO\ WD[RQRPLF DV PXFK UHVHDUFK LQ WKH SK\VLFDO VFLHQFHV LV LW LV LQHVFDSDEO\ QRUPDWLYH $Q ([FKDQJH RI .QRZOHGJH 7KH H[FKDQJH RI LQWHUSUHWDWLRQV LV QRW VLPSO\ RQH LQ ZKLFK VXEMHFWV DQG UHVHDUFKHUV DOWHUQDWHO\ SUHVHQW GHFRQWH[WXDOL]HG GHILQLWLRQV RI WKHLU RZQ DQG RQH DQRWKHUnV EHKDYLRU 7KH KHUPHQHXWLF GLDORJXH KDV WR EH URRWHG LQ WKH VSHFLILFV RI WKH VLWXDWLRQ EHLQJ VWXGLHG 2QH ZD\ WR GHVFULEH WKH H[FKDQJH LV WR VD\ WKDW HDFK SDUW\ FRQWULEXWHV D GLIIHUHQW NLQG RI H[SHUWLVH WR WKH FRQYHUVDWLRQ .\OH DQG 0F&XWFKHRQ S f IRU H[DPSOH XVH WKH GLFKRWRP\ RI SUDFWLWLRQHU FUDIW NQRZOHGJH YLVDYLV UHVHDUFKHU WKHRU\ EXLOGLQJ 7KLV LV YDULDQW RI WKH FRQWURYHUVLDO HPLFHWLF GXDOLW\ ZKLFK DFFRUGLQJ WR VRPH ZULWHUV RQ WKH WKHRU\ RI

PAGE 112

UHVHDUFK HJ +DUULV f LV DFWXDOO\ D EDUULHU WR DQ XQGHUVWDQGLQJ EHWZHHQ VSHDNHUV ZKR HPSOR\ GLIIHUHQW FRPPXQLFDWLYH V\VWHPV 7R FKDUDFWHUL]H WKH H[FKDQJH RQ WKH EDVLV RI DQ LQVLGHURXWVLGHU FRQFUHWHDEVWUDFW GXDOLW\ KDV WZR SUREOHPV ,W LPSOLHV WKDW VXEMHFWV DFW ZLWKRXW UHIHUHQFH WR DQ\ JHQHUDO WKHRU\ RI DFWLRQ D FODLP WKDW *LGGHQV f DPRQJ RWKHUV VD\V LV EODWDQWO\ IDOVH VLQFH ZLWKRXW DOJRULWKPV QR QRYHO UHVSRQVHV ZRXOG HYHU EH JHQHUDWHG LW DOVR VXJJHVWV WKDW UHVHDUFKHUVn FKLHI SXUSRVH LQ FRQGXFWLQJ HPSLULFDO UHVHDUFK LV WR UHILQH WKH H[SODQDWRU\ WKHRUHPV RI WKHLU GLVF H J -DUYLH f .\OH DQG 0F&XWFKHRQnV GHOLQHDWLRQ RI WZR GLIIHUHQW NLQGV RI H[SHUWLVH LV QRW ZKROO\ FRQFHSWXDO KRZHYHU 7KH\ GR VKDUH 5LVWnV f PRUH IDFWXDO YHUVLRQ RI WKH TXLG SUR $FFRUGLQJ WR 5LVW WKH DFDGHPLF WUDLQLQJ DQG ILHOG H[SHULHQFH RI UHVHDUFKHUV HQDEOH WKHP WR EULQJ WR D VLWH NQRZOHGJH RI KRZ D VLPLODU SUREOHP ZDV DGGUHVVHG HOVHZKHUH E\ D GLIIHUHQW JURXS RI DFWRUV 2QO\ WR WKH H[WHQW WKDW DOO VHH WKH UHOHYDQFH DQG XWLOLW\ RI WKH VROXWLRQV WULHG HOVHZKHUH FDQ UHVHDUFKHUVn NQRZOHGJH RI SDVW DQG FXUUHQW SURFHGXUHV EH FRQVLGHUHG D FRQWULEXWLRQ WR GLDORJXH 6FULYHQ f DUJXHV WKDW WKRVH SHRSOH LQ WKH VHWWLQJ DOUHDG\ IDPLOLDU ZLWK LWV SUDFWLFDO SUREOHPV DUH WKH EHVW VRXUFH IRU HVWDEOLVKLQJ WKH SDUDPHWHUV RI DQ LQYHVWLJDWLRQ 7KH UHVHDUFK TXHVWLRQV RULJLQDWH ZLWK WKHLU H[SUHVVHG FRQFHUQV QRW LQ WKH GLIIXVH WUDQVLVWRU\ FXULRVLW\ RI WKH f f YLVLWRU

PAGE 113

>5HVHDUFKHUV@ KDYH WR ZRUN RQ SUREOHPV ZKRVH LPSRUWDQFH LV FOHDU WR VRPHRQH EHVLGH WKHPVHOYHV S f >3UDFWLWLRQHUVn@ nNQRZLQJ KRZn FDQ VHUYH DV WKH EDVLV IRU >UHVHDUFKHUVn@ nNQRZLQJ WKDWn Sf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t 0F&XWFKHRQ S f 0RVW ZULWHUV ZKR KDYH SURSRVHG PRGHOV IRU FROODERUDWLYH UHVHDUFK H J 0HKDQ 7LNXQRII t :DUG :DONHU t :LHGHO f FRQFHLYH RI LW DV D FRQMRLQW DFWLYLW\ QRW D GLYLVLRQ RI ODERU $W HDFK VWDJH RI WKH LQTXLU\IURP SURSRVDO WR SXEOLFDWLRQGHFLVLRQV DERXWV PHDQV DQG HQGV DUH DUULYHG DW MRLQWO\ 7KH SDUWLFLSDWLRQ RI DOO SDUWLHV LQ WKH FROOHFWLRQ DQDO\VLV DQG GLVVHPLQDWLRQ RI GDWD LV SUHVHQWHG DV WKH LGHDO DUUDQJHPHQW 7KH UHDVRQ WKHUH DUH VR IHZ LQVWDQFHV RI WKLV LGHDO LQ SUDFWLFH LV WKDW DV +DEHUPDVn WKHRU\ SUHGLFWV WKHUH PRVW FHUWDLQO\ ZLOO EH YHU\ GLVFUHSDQW YLHZV DERXW WKH ZDUUDQWV IRU HDFK RI WKHVH

PAGE 114

DFWLYLWLHV 'LIIHULQJ MXVWLILFDWLRQV ZLOO EH SUHVHQWHG DW OHDVW LQLWLDOO\ E\ PHDQV RI LQVLQFHUH DQG GLVWRUWHG FRPPXQLFDWLRQ DV YDULRXV VSHDNHUV GLVJXLVH WKHLU WUXH LQWHUHVWV )RU JHQXLQH FROODERUDWLRQ WR RFFXU GLDORJXH KDV WR EH FRQWLQXRXV $W HDFK VWDJH RI WKH SURMHFW WKH YDULRXV VSHDNHUV QHHG WR H[FKDQJH WKHLU LQWHUSUHWDWLRQV RI RQH DQRWKHUVn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nV UHILQHPHQW RI D FXUUHQW WKHRU\ )HZ ZULWHUV JLYH PXFK DWWHQWLRQ WR WKH ZULWLQJ VWDJH WKRXJK LW LV SHUKDSV WKH PRVW LPSRUWDQW SDUW RI WKH DUWLFXODWLRQ SURFHVV $Q H[FHSWLRQ LV 'HVIRUJHV HW DO f ZKR ZULWH WKDW SURMHFWV ZKLFK DEVROYH SDUWLFLSDQWV RI ZULWLQJ UXQ WKH ULVN RI DEVROYLQJ WKHP IURP WKLQNLQJ S f

PAGE 115

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t 1RUULV S f 2WKHUV IRU H[DPSOH *RWWGLHQHU f DQG 7LNXQRII DQG :DUG f WDNH D OHVV VNHSWLFDO PRUH SRVLWLYH SRVLWLRQ ZLWK UHJDUG WR WKH YLUWXHV RI HQOLVWLQJ VXEMHFWV LQ DVVHPEOLQJ WKH UHVHDUFK SURGXFW 3DWWRQ f VSHDNLQJ RI 7LNXQRII DQG :DUGnV f FDOO IRU LQWHUDFWLYH UHVHDUFK VD\V WKDW WKH PHDQLQJIXOQHVV RI D UHSRUWnV ILQGLQJV ZLOO EH LQFUHDVHG EHFDXVH >VXEMHFW@ SDUWLFLSDWLRQ PDNHV WKH UHVHDUFK OHVV LQWUXVLYH UHGXFLQJ UDWKHU WKDQ LQFUHDVLQJ UHDFWLYLW\ SS f :KHWKHU RQH FRQVLGHUV WKH RSSRUWXQLW\ IRU FROODERUDWLRQ D GLVJXLVH PDVNLQJ HYHU PRUH VXEWOH OHYHOV RI PDQLSXODWLRQ RU D URXWH WR D PRUH FRPSUHKHQVLYH UHSUHVHQWDWLRQ RI UHDOLW\ IRU D VWDWHPHQW RI WKH ODWWHU SRVLWLRQ VHH /LJKW t .OHLEHU f LW GRHV VHHP ORJLFDO WKDW ZKHQ VXEMHFWV DUH LQYROYHG LQ WKH LQYHVWLJDWLRQ RI LQWHUDFWLRQ WKHLU VHQVH RI EHLQJ WUHDWHG DV DQ REMHFW PLJKW OHVVHQ
PAGE 116

HDUOLHU LQ WKLV GLVVHUWDWLRQ LQ WKH VHFWLRQ RQ UHDFWLYLW\ DQG VHOIPRQLWRULQJ 7KH SRVVLELOLW\ RI REVHUYLQJ DQG FRPPHQWLQJ RQ RQHnV RZQ EHKDYLRU FXWV WZR ZD\V ,W FDQ SURGXFH DV VWURQJ D VHQVDWLRQ RI EHLQJ D QRQYROLWLRQDO REMHFW DV ZKHQ RQH LV REMHFWLILHG E\ WKH JD]H RI RWKHUV ,W FDQ DOVR UHYHDO RQHnV LPSDFW DQG LQIOXHQFH RQ WKH G\QDPLFV RI D JURXS WKXV YLYLI\LQJ WKH VHQVH RI DJHQF\ -RLQW H[DPLQDWLRQ RI LQGLYLGXDO DQG JURXS SHUIRUPDQFH SUHVHUYHG RQ YLGHRWDSH ZLOO EH GLVFXVVHG LQ &KDSWHU 9 6XIILFH LW WR VD\ KHUH WKDW FROODERUDWLRQ PD\ FORVH WKH GRRU RQ RQH IRUP RI UHDFWLYLW\UHVLVWDQFH WR EHLQJ REMHFWLILHG E\ RWKHUVDQG RSHQ WKH GRRU RQWR DQRWKHUXQFHUWDLQW\ DERXW WKH H[WHQW RI RQHnV DJHQF\ $QRWKHU YLUWXH XVXDOO\ DFFRUGHG FROODERUDWLYH UHVHDUFK H J &DVVHOO D 6LHEHU :D[ f LV WKDW LQ WKH FRXUVH RI WKH SURMHFW VXEMHFWV DFTXLUH WKH H[SHULHQFH DQG H[SHUWLVH WR FRQGXFW DGGLWLRQDO LQYHVWLJDWLRQV RI WKHLU SUDFWLFH ORQJ DIWHU UHVHDUFKHUV KDYH GHSDUWHG IRU RWKHU VLWHV /HDYLQJ EHKLQG WKH FRQFHSWXDO DSSDUDWXV IRU IXUWKHU VHOIH[DPLQDWLRQ LV OLNHO\ WR EH DFFRUGLQJ WR (OGHQ f PRUH LPSRUWDQW HYHQ WKDQ WKH JHQHUDWLRQ RI WKH RULJLQDO MRLQWO\SURGXFHG UHSRUW 7KLV YLVLRQ RI VHHGLQJ UHVHDUFK VNLOOV LV HVSHFLDOO\ DWWUDFWLYH WR PHWKRGRORJLVWV VXFK DV (OGHQ DQG :DONHU f ZKR GHIHQG VPDOOVFDOH UHVHDUFK SURMHFWV LQ LQGXVWULDO DQG HGXFDWLRQDO VHWWLQJV 'LVDSSRLQWPHQW ZLWK FRQWUDGLFWRU\ ILQGLQJV IURP H[SHQVLYH

PAGE 117

ODUJHVFDOH VRFLDO UHVHDUFK SURMHFWV KDV PDGH WKH LQWHQVLYH FDVH VWXG\ DSSURDFK DQ DWWUDFWLYH DOWHUQDWLYH :DONHU f HQYLVLRQV SUDFWLWLRQHUV DW GLIIHUHQW VLWHV H[FKDQJLQJ UHSRUWV DERXW WKHLU H[SHULHQFHV LQ LPSOHPHQWLQJ FKDQJH +H DFNQRZOHGJHV WKDW SUDFWLWLRQHUV DOZD\V WUDGH FRQFUHWH LQIRUPDWLRQ DERXW ZKDW ZRUNVXVXDOO\ WKURXJK LQIRUPDO FKDQQHOV VRPHWLPHV LQ IRUPDO VHWWLQJV 7KH SXUSRVH IRU WKH LQLWLDO FROODERUDWLRQ ZLWK SURIHVVLRQDO UHVHDUFKHUV LV WR RUJDQL]H SLHFHV RI FUDIW NQRZOHGJH LQWR FRQFHSWXDO FDWHJRULHV %\ DEVWUDFWLQJ FXUUHQW SUDFWLFHV WR IRUP D ORFDOf§LQ FRQWUDVW WR D JUDQG RU PLGUDQJHWKHRU\ D SURFHVV WKDW (OGHQ f FDOOV DUWLFXODWLQJ SUHWKHRUHWLFDO NQRZOHGJH S f SUDFWLWLRQHUV DUH WKHQ LQ D SRVLWLRQ WR GLVFXVV DQG HYDOXDWH SURSRVHG QHZ SURFHGXUHV RQ WKH EDVLV RI WKH H[WHQW WR ZKLFK WKH\ IDFLOLWDWH RU LPSHGH WKH JRDOV LPSOLHG E\ WKHLU WKHRU\ %HQHILW WR 5HVHDUFKHUV &ROODERUDWLRQ KDV WKH HIIHFW RI HQODUJLQJ WKH DUHD LQ ZKLFK WKH LQWHUHVWV RI UHVHDUFKHUV DQG VXEMHFWV RYHUODS ,I VXEMHFWV DOVR DGRSW D TXHVWLRQLQJ RXWORRN WRZDUG WKHLU TXRWLGLDQ WUDQVDFWLRQV GR UHVHDUFKHUV KDYH WR PRGLI\ WKHLU UROH RI VROLWDU\ REVHUYHU VFUXWLQL]LQJ IURP WKH SHULSKHU\" 3HUKDSV WKH PRVW LPPHGLDWH EHQHILW RI VKDULQJ UHVSRQVLEOLWLHV ZLOO EH D VLPSOH GLPLQXDWLRQ RI WKH UHVHDUFKHUnV ZRUNORDG 6LQFH PRVW LQYHVWLJDWLRQV RI

PAGE 118

HYHU\GD\ OLIH DUH ODERULQWHQVLYH DQ\ DVVLVWDQFH LQ FRQGXFWLQJ LQWHUYLHZV WKHPDWL]LQJ ILHOGQRWHV RU GUDIWLQJ SUHOLPLQDU\ UHSRUWV ZRXOG EH ZHOFRPH SDUWLFXODUO\ IURP SHRSOH ZKR KDYH D VWDNH LQ WKH UHFRPPHQGDWLRQV WKDW HYHQWXDOO\ DUH WR EH SXW IRUZDUG 7KH UHDGHU PD\ ZHOO DVN GRHV WKH SUHVHQFH RI PRUH KDQGV RQ ERDUG IUHH UHVHDUFKHUV WR LQVWUXFW SHRSOH XQIDPLOLDU ZLWK WHFKQLTXHV RI GDWD FROOHFWLRQ DQG DQDO\VLV" 7KH DQVZHU WR WKLV TXHVWLRQ LQYROYHV H[WHQGLQJ WKH FRQFHSWLRQ RI WKH UHVHDUFKHUn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f &DVVHOOn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

PAGE 119

,OO ZKLFK WKH SURVFULSWLYH LQKLELWRU\ LQWHUSUHWDWLRQ RI LQIRUPHG FRQVHQW LV WUDQVIRUPHG WR KRQRU LWV HGXFDWLYH SRWHQWLDO 5DWKHU WKDQ JDUQHULQJ SDVVLYH FRRSHUDWLRQ ZLWK ZDUQLQJV DQG SURPLVHV UHVHDUFKHUV FDQ HOLFLW DFWLYH FRRSHUDWLRQ ZKHQ WKH\ VWUXFWXUH WKHLU LQTXLU\ DV D MRLQWO\FRQGXFWHG VHDUFK IRU XQGHUVWDQGLQJ b $FWLYH HQJDJHPHQW E\ VXEMHFWV LQ WKH UHVHDUFK WDVN LV QRW PHUHO\ DQ HWKLFDO FRUUHFWLYH WR WKH FRYHUW PDQLSXODWLYHQHVV LPSOLFLW LQ WKH VWULFWO\ OHJDOLVWLF LQWHUSUHWDWLRQ RI LQIRUPHG FRQVHQW 7KHUH DUH HSLVWHPRORJLFDO SD\RIIV DV ZHOO $FFXUDF\ DV ZHOO DV IDLUQHVV FDQ EH HQKDQFHG $ WHDP DSSURDFK HQVXUHV WKDW PRUH ZLOO EH 7KH PRUH UHSUHVHQWHG WKH VWURQJHU LV D VWXG\nV H[WHUQDO YDOLGLW\ :RRGV S f :KHQ UHVHDUFKHUV DOORZ WKHLU LQWHUSUHWLYH IUDPHZRUNV WR EH UHYLVHG E\ GHEDWLQJ PHDQLQJ ZLWK VXEMHFWV WKH\ VXEPLW WKH VWRU\ WKDW LV JRLQJ WR EH WROG WR D SURFHVV RI YDOLGDWLRQ (YHQ SRVLWLYLVWV OR\DO WR WKH FRUUHVSRQGHQFH LGHD RI WUXWK ILQG YDOXH LQ YHULI\LQJ WKH HPHUJLQJ DFFRXQW ZLWK JURXS PHPEHUV 7KH WUXWK RI RXU DQDO\VHV WKHLU YDOLGLW\ LV FRQVWLWXWHG E\ HVWDEOLVKLQJ VRPH VRUW RI FRUUHVSRQGHQFH EHWZHHQ DQ DQDO\VWnV DQG FROOHFWLYLW\ PHPEHUVn YLHZ RI WKHLU VRFLDO ZRUOG 2QH FDQ RQO\ HVWDEOLVK D FRUUHVSRQGHQFH EHWZHHQ WKH VRFLRORJLVWnV DQG WKH PHPEHUnV YLHZ RI WKH PHPEHUnV VRFLDO ZRUOG E\ H[SORULQJ WKH H[WHQW WR ZKLFK PHPEHUV UHFRJQL]H JLYH DVVHQW WR WKH MXGJPHQWV RI WKH VRFLRORJLVW %ORRU S f 7KLV SRVLWLYLVW IRUPXOD IRU VHFXULQJ YDOLGLW\ WKURXJK PHPEHU FKHFNV OHDYHV LQWDFW VHSDUDWH VSKHUHV IRU UHVHDUFKHUV

PAGE 120

DQG VXEMHFWV ,W PHUHO\ DGGV DQ DGGLWLRQDO VWHS WR UHVHDUFK PHWKRGRORJ\VROLFLWLQJ VXEMHFWVn DSSURYDO RI UHVHDUFKHUVn DFFRXQW +DEHUPDVn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n VHWV RI LQWHUHVWV EHFRPH H[SOLFLW :KHUH GLDORJXH LV DXWKHQWLF DQG VLQFHUH WKH SDUWLDOLW\ RI WKH UHVHDUFKHUn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

PAGE 121

&+$37(5 9, )267(5,1* 5($&7,9,7< 9,'(27$3(n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nV SRWHQWLDO IRU PDNLQJ UHVHDUFK D GLDORJLF DFWLYLW\ ZDQW WR UHYLHZ EULHIO\ WKH YLUWXHV RI VWLOO SKRWRJUDSK\ DQG PRWLRQ SLFWXUHVWKH WZR ROGHU WHFKQRORJLHV WKDW ORQJ KDYH EHHQ SUDLVHG LQ WKH PHWKRGRORJLFDO OLWHUDWXUH RI ILHOGZRUN 3KRWRJUDSKV IRU &ROOLHU f DQG ILOP IRU

PAGE 122

0HDG f VHUYH WKH UHVHDUFKHU DV D PHDQV RI FDWDORJXLQJ WKH PDWHULDO ZRUOG RI D VWXGLHG JURXS 7KH\ DOVR HQDEOH UHVHDUFKHUV WR FRSH ZLWK LQIRUPDWLRQDO RYHUORDG 7KH YLVXDO UHFRUG EHFRPHV DQ H[WUDVRPDWLF PHPRU\ UHGXFLQJ WKH ULVN RI IRUJHWWLQJ :HEE HW DO f 3UDLVH RI WKH FDPHUDnV LPDJHV H[WHQGV IURP WKHLU ILGHOLW\ DW WKH GDWD JDWKHULQJ VWDJH WR WKHLU PDQLSXODELOLW\ DW WKH DQDO\WLFDO VWDJH ,PDJHV IURP WKH VLWH FDQ EH UHWULHYHG DQG H[DPLQHG UHFXUVLYHO\ DORQJ VHYHUDO GLPHQVLRQVSUR[HPLF NLQHVLF LFRQRJUDSKLF *HQLVKL *RWWGLHQHU f 9LVXDO UHFRUGV DUH FRPPRQO\ VHHQ DV DVVLVWLQJ UHVHDUFKHUV WR WHOO WKHLU VWRU\ RI D VRFLDO SUDFWLFH VLPLODU WR KRZ DUFKLYHV IXQFWLRQ IRU D KLVWRULDQ (ULFNVRQ t :LOVRQ f ,Q IDFW LW LV WKH HYLGHQWLDU\ VWDWXV RI YLVXDO IDFWV WKDW PDNHV ILOPEDVHG LPDJHV VR DWWUDFWLYH WR ILHOGZRUNHUV ZKR YLHZ WKHLU UHVHDUFK DV D EULHI SUHVHQWHG LQ WKH FRXUWURRP RI WKHLU GLVFLSOLQH $FFRUGLQJ WR *HRUJHV DQG -RQHV f UHFRUGLQJ GHYLFHV VHUYH DV DQ DOO\ DJDLQVW WKH FKDUJH RI ELDV IDXOW\ QRWHWDNLQJ RU LQFRPSOHWHQHVV LQ REVHUYDWLRQ 7KH\ VHUYH DV WHVWLPRQ\ WR SHHUV RI DFFXUDF\ RI GHVFULSWLRQ DQG DQDO\VLV S f 7KH IDFWLFLW\ RI WKH YLVXDO LPDJH QRW RQO\ WKHQ FRUURERUDWHV WKH UHVHDUFKHUnV ZULWWHQ DFFRXQW LW SHUPLWV FROOHDJXHV IURP RWKHU GLVFSOLQHV 6FKDHIIHU f RU RWKHU FXOWXUHV 6XPPHUILHOG f WR DSSO\ WKHLU FRQFHSWXDO IUDPHZRUN WR WKH VDPH VHW RI GDWD 2U LI WKH UHVHDUFKHUnV RZQ RULHQWDWLRQ VKRXOG FKDQJH KH RU VKH FRXOG UHWXUQ WR WKH

PAGE 123

GDWD \HDUV ODWHU DQG UHDQDO\]H LW 6SLQGOHU f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f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

PAGE 124

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

PAGE 125

$JDLQ WKH 4XHVWLRQ RI 5HDFWLYLW\ ,V WKH IDFW WKDW YLGHR FDPHUDV KDYH EHFRPH D FRPPRQ VLJKW DW IDPLO\ JDWKHULQJV JURXQGV IRU FODLPLQJ WKDW UHVHDUFK VXEMHFWV DUH QRW OLNHO\ WR UHJDUG VXFK D GHYLFH DV REWUXVLYH" +HUH ZH RQFH DJDLQ FRQIURQW WKH LVVXH RI UHDFWLYLW\ 7KH VSHFLILF TXHVWLRQ QRZ LV VLQFH PDQ\ SHRSOH LQFUHDVLQJO\ KDYH WKH H[SHULHQFH RI EHLQJ WDSHG E\ UHODWLYHV DQG IULHQGV DUHQnW WKH\ OLNHO\ WR EH OHVV UHDFWLYH WR WKH UHVHDUFKHUnV FDPHUD" ,Q IDFW KDYHQn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

PAGE 126

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f GHQLHG WKDW KLV SUHVHQFH KDG H[DFHUEDWHG WKH WHQVLRQV LQ WKH IDPLO\ ZKLFK GLVLQWHJUDWHG GXULQJ WKH FRXUVH RI ILOPLQJf FODLPLQJ WKDW IDPLO\ PHPEHUV KDG DIWHU VHYHUDO ZHHNV KDELWXDWHG WR WKH RPQLSUHVHQW FDPHUDV 7KH /RXGVn REMHFWLRQ KRZHYHU ZDV QRW WKDW FRQVWDQW REVHUYDWLRQ KDG DPSOLILHG WKHLU LUULWDELOLW\ DQG TXDUUHOLQJ EXW WKDW WKH ILQDO HGLWHG YHUVLRQ KDG EHHQ FRPSRVHG DQG DLUHG ZLWKRXW WKHLU KDYLQJ EHHQ JLYHQ D YRLFH LQ ZKDW WR KLJKOLJKW DQG ZKDW WR GLVFDUG 2WKHU GHIHQVHV RQ EHKDOI RI WKH QDWXUDOQHVV DQG YHUDFLW\ RI FDPHUD GDWD KDYH EHHQ DGYDQFHG EHVLGHV DFFOLPDWL]DWLRQ ,Q (ULFNVRQ DQG 6FKXOW]nV f ILOP DQG YLGHR VWXG\ RI FROOHJH FRXQVHORUV WKH DXWKRUV FODLP WKDW HSLVWHPRORJLFDO VFHSWLFLVP DULVHV RQO\ DW WKH SRLQW RI FRQIURQWLQJ WKH YLVXDO UHFRUG 5HYLHZLQJ WKH IORZ RI LPDJHV LV IRU WKH PRVW SDUW D GHMD YX H[SHULHQFH %HFDXVH LW LV D UHSHWLWLRQ LW YRXFKVDIHV D VHQVH RI GHWDFKPHQW ZKHUHDV

PAGE 127

LQ OLYHG WLPH WKH FRPSHOOLQJ SRZHU RI HYHU\GD\ OLIH LV WKDW SHRSOH EHFRPH DEVRUEHG LQ LW DQG WDNH LWV UHDOLW\ IRU JUDQWHG S f 7KXV WKHLU DUJXPHQW DJDLQVW UHDFWLYLW\ LV WKDW WKH SUHVV WR DUULYH DW D GHFLVLRQ RU DFFRPSOLVK VRPH SUDFWLFDO HQG ZLWKLQ D VRFLDO VLWXDWLRQ IRUFHV SDUWLFLSDQWV WR IRFXV RQ WKH EXVLQHVV DW KDQG UDWKHU WKDQ RQ WKH FDPHUD
PAGE 128

,QQHU WUXWK LPPXWDEOH UHDOLW\ SHUFHLYDEOH WKURXJK GLUHFW REVHUYDWLRQ WKLV LV WKH SRVLWLYLVW FUHGR WKDW OLHV EHKLQG DOO WKHVH HIIRUWV WR GLVFRXQW WKH GHJUHH WR ZKLFK VXEMHFWVn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nV WLPH DQG SDWLHQFHf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

PAGE 129

HDVLO\ GLJLWL]HG YLGHRWDSH OHQGV LWVHOI HTXDOO\ ZHOO WR TXDQWLWLYH DQDO\VLV LQ DQ DXGLRYLVXDO ODERUDWRU\ 7R VRPH PHWKRGRORJRLVWV H J *RHW] t /H&RPSWH f YLGHRWDSHn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f§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f ZULWLQJ DERXW +XJK 0HKDQnV f XVH RI YLGHR IRU D PLFURHWKQRJUDSK\ RI FODVVURRP OLIH SRLQWV RXW WKDW HYHQ ZKHQ OLQJXLVWLF EHKDYLRU LV DWRPL]HG LW VWLOO OHDYHV WKH UHVHDUFKHU LQIHUULQJ WKH LQWHQWLRQV RI VSHDNHUV

PAGE 130

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nV /RJLF RI 6FLHQWLILF 'LVFRYHU\ f EHJDQ WR FLUFXODWH ZLGHO\ LQ (QJOLVK WUDQVODWLRQ DW WKH HQG RI WKH Vf WR VD\ WKDW WKH VWDUWLQJ SRLQW RI DQ\ LQTXLU\ FDQ QHYHU EH HQWLUHO\ IUHH RI XQGHUO\LQJ DVVXPSWLRQV ,QIOXHQFLQJ ZKDW LQYHVWLJDWRUV ORRN DW DQG QRWLFH DUH WKHLU DVVXPSWLRQV DERXW WKH ORJLFDO VWDWXV RI LQGXFWLRQ DERXW WKH FRKHUHQFH EHWZHHQ WKH SUHVHQW DQG WKH IXWXUH DQG DERXW WKH

PAGE 131

YHULILDELOLW\ RI SURSRVLWLRQV 6LQFH LW LV LQHYLWDEOH WKDW D SULRUL VFKHPDWD DUH JRLQJ WR LQIOXHQFH WKH IRFL RI REVHUYDWLRQ WKH FULWHULD IRU LQFOXVLRQ KDYH WR EH PDGH H[SOLFLW ,I ZH WDNH +DEHUPDVn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

PAGE 132

DUH GRLQJ PRUH WKDQ FRQVHQWLQJ WKH\ DUH LQWHQWLRQDOO\ PDNLQJ D FRPPLWWPHQW WR GLVFHUQ SRVLWLYH DQG QHJDWLYH DVSHFWV RI WKHLU EHKDYLRU 7KLV ZLOOLQJQHVV WR EH FRQIURQWHG E\ D SRVVLEO\ XQIODWWHULQJ DVVHVVPHQW KDV WR EH UHZDUGHG ZLWK WKH RSSRUWXQLW\ WR EH SUHVHQW DW DQG WR DVVLVW LQ WKH DQDO\VLV RI SHUIRUPDQFH 7KHUH LV DOZD\V WKH SRVVLELOLW\ WKDW RQFH SXW RQ QRWLFH SHRSOH ZLOO SHUIRUP EHWWHU RU ZRUVH WKDQ FXVWRPDULO\
PAGE 133

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f 6KRWWHU ZKR ZRUNV ZLWK YLGHRWDSH FOLQLFDOO\ KDV VHYHUDO DFXWH WKLQJV WR VD\ DERXW WKH HIILFDF\ RI VHOIFRQIURQWDWLRQ $ WKLUG SHUVRQ LPDJH RI RXUVHOYHV LV QR OHVV UHDO WKDQ RXU ILUVW DQG VHFRQG SHUVRQ HQFRXQWHUV (DFK LV FDOOHG RXW RI XV E\ VRPH VSHFLILF VRFLDO FRQWH[W (DFK FDUULHV DQ RSSRUWXQLW\ IRU DQG OLPLWDWLRQ RQ RXU DFWLRQV S f ,Q WKH VHOIFRQIURQWDWLRQ H[SHULHQFH RQH VKLIWV IURP EHLQJ D PHGLDWRU RI H[SUHVVLRQ WR D SHUFHSW ,W GHDXWRPDWL]HV RXU XVXDO LQDWWHQWLRQ WR SURFHVVHV RYHU ZKLFK ZH KDYH UHOLQTXLVKHG FRQVFLRXV FRQWURO S f 0HUHO\ FRQIURQWLQJ DQ DXGLRYLVXDO UHSOLFD RI EHKDYLRU LV RI FRXUVH LQVXIILFLHQW :KDW SURVSHFWLYH OHDUQHUV ZDQW LV QRW MXVW SK\VLFDO UHIOHFWLRQ EXW PHQWDO HQJDJHPHQW ,Q IDFW LW LV LQFUHDVLQJO\ EHLQJ VDLG WKDW WKH FDUGLQDO DLP RI UHVHDUFK VKRXOG EH WKH SURPRWLRQ RI UHIOHFWLYHQHVV 6FKRQ f :KDW EHWWHU PLUURU LV WKHUH IRU LQVSHFWLQJ RXU RZQ SUDFWLFHV WKDQ PRYLQJ VSHDNLQJ LPDJHV RI RXUVHOYHV"

PAGE 134

5HIOHFWLYHQHVV LV DIWHU DOO D NLQG RI PHWDFRJQLWLRQ $QG YLGHRWDSH SURYLGHV D FRQFUHWH EDVLV IRU LQLWLDWLQJ GLVFXVVLRQV DERXW WKH OLQN EHWZHHQ NQRZLQJ DQG GRLQJ 2EMHFWLRQV KDYH EHHQ UDLVHG E\ &D]GHQ f DQG .LUVKHQEODWW*LPEOHWW f WKDW WKH FRPPXQLFDWLYH UHTXLUHPHQWV IRU VXFK VHOIFRQVFLRXV FRQYHUVDWLRQV PD\ H[FHHG WKH FDSDFLWLHV RI FHUWDLQ SRSXODWLRQV QRWDEO\ YHU\ \RXQJ FKLOGUHQ DQG XQHGXFDWHG DGXOWV 7KH IDFW WKDW WKHVH JURXSV PD\ QRW SRVVHVV D YRFDEXODU\ IRU FRPPXQLFDWLQJ WKHLU MXGJPHQWV LQ WHUPV WKDW DUH LQWHUVXEMHFWLYHO\ DFFHVVLEOH LV SUHFLVHO\ WKH UHDVRQ WR FRPPHQFH HQJDJLQJ WKHP LQ VHOIGHILQLQJ FRQYHUVDWLRQV )RU DV &KDUOHV 7D\ORU f KDV ZULWWHQ LW LV LQ FRQYHUVLQJ WKDW KXPDQ EHLQJV GHILQH IRU WKHPVHOYHV DQG WKHLU OLVWHQHUV ZKR DQG ZKDW WKH\ DUH 6LQFH FRQYHUVDWLRQ LV PDUNHG E\ D URWDWLRQ RI OLVWHQHU DQG VSHDNHU UROHV ERWK SDUWLFLSDQWVRU LQWHUORFXWRUV DV 7D\ORU FDOOV WKHPOHDUQ KRZ WR H[SUHVV WKHLU LGHQWLW\ LQ WKH ODQJXDJH RI SXEOLF GLVFRXUVH &RQYHUVDWLRQ LV D FRPPRQ DFW RI IRFXVVLQJ ,W EULQJV WKLQJV RXW LQWR SXEOLF VSDFH :H QHHG RWKHU SHRSOH WR FRPH FOHDU RQ ZKDW LW LV ZH IHHO SS f 7KLV GHVFULSWLRQ VXJJHVWV WKDW LW LV PLVJXLGHG WR HYHU SHUFHLYH WKH UHVHDUFKHU DV DQ RXWVLGHU RU VS\ ,QVRIDU DV WKH UHVHDUFKHU WDONV WR VXEMHFWV KH LV ZLOO\QLOO\ LQ DQ LQWHUORFXWLRQDU\ UHODWLRQVKLS $OO WKH PRUH UHDVRQ WR DFFHSW WKH IDFW WKDW WKH TXDOLW\ RI WKH LQIRUPDWLRQ H[FKDQJHG ZLOO EH SURSRUWLRQDO WR WKH TXDOLW\ RI WKH FRQYHUVDWLRQV VXVWDLQHG 7D\ORU f VHHV D GLUHFW EHQHILW IRU

PAGE 135

UHVHDUFKHUV ZKR XQGHUVWDQG WKHLU UROH DV DQ LQWHUORFXWRU 7KH PDWWHU FDQ FRPH WR FOHDU IRUPXODWLRQ ZKHQ WKH DJHQF\ IRFXVVLQJ LV XV DQG QRW VLPSO\ PH +HQFH LQ SULQFLSOH RXU IRUPXODWLRQV VKRXOG DOZD\V EH FRPPRQ IRUPXODWLRQV 7KHUH LV D FRQQHFWLRQ EHWZHHQ WKH DWWDLQPHQW RI FODULW\ DQG FRQWLQXLQJ FRQYHUVDWLRQ S f 0DNLQJ WKH ,PDJH 7H[W +HUPHQHXWLF &RPPHQWDU\ ,W LV LPSRUWDQW WR GLVWLQJXLVK DQ LQVWUXPHQWDO XVH RI YLVXDO LPDJHV IURP ZKDW +DEHUPDV f FDOOV D SUDFWLFDO XVH E\ ZKLFK KH PHDQV D VWUDWHJ\ IRU HQKDQFLQJ FRPPXQLFDWLYH FRPSHWHQFH DQG LQWHUVXEMHFWLYLW\ $Q H[DPSOH RI DQ LQVWUXPHQWDO XVH LV WKH DQWKURSRORJLVW -RKQ &ROOLHUnV f GHVFULSWLRQ RI KRZ SKRWRJUDSKV KDYH D FDQ RSHQHU HIIHFW RQ LQIRUPDQWV 2YHUFRPLQJ WKH UHVLVWDQFH WR VSHDNLQJ ZLWK DQ RXWVLGHU LV LPSOLHG LQ VXFK D VWUDWHJ\ )LHOGZRUNHUV DUH RIWHQ RQ WKH ORRNRXW IRU WDFWLFV WKDW ZLOO VSHHG WKH HVWDEOLVKPHQW RI UDSSRUW WKHUHE\ UHOHDVLQJ D IORZ RI DQHFGRWHV DQG UHFROOHFWLRQV :DONHU DQG :LHGHO f UHSRUW WKDW JLYLQJ VXEMHFWV GLUHFW DFFHVV WR YLVXDO GDWD DOORZV >WKHP@ WR UHWDLQ D VHQVH RI RZQHUVKLS S f 7KH\ GHVFULEH D TXDOLWDWLYH UHVHDUFK SURMHFW LQ ZKLFK WKH\ WRRN SKRWRJUDSKV RI D IUHVKPDQ FODVV OHDUQLQJ WR QDYLJDWH GLIIHUHQW FXUULFXOD LQ VHFRQGDU\ VFKRRO 7KH\ VROLFLWHG FRPPHQWV DERXW WKH SKRWRJUDSKV GXULQJ LQWHUYLHZV 7KH WZRSKRWRV DQG UHVSRQVHVZHUH DUUDQJHG LQ DQ H[KLELWLRQ 7KH GLVSOD\ IRUPHG WKH EDVLV RI GLVFXVVLRQV ILUVW ZLWKLQ IUHVKPDQ FODVVURRPV DQG VXEVHTXHQWO\ WKURXJKRXW WKH VFKRRO FRPPXQLW\

PAGE 136

:DONHU DQG :LHGHO FRQFOXGH WKDW RI WKH WKUHH YLVXDO PHGLD WKDW FDQ EH XVHG WR HOLFLW IHHGEDFN SKRWRJUDSKV GR WKH OHDVW YLROHQFH WR VXEMHFWVn VHQVH RI RZQHUVKLS ZKHUHDV ILOP DQG YLGHR DUH PRUH OLNHO\ WR EH H[SHULHQFHG DV DQ H[SURSULDWLRQ 7KH\ EDVH WKHLU FODLP RQ WKH IDFW WKDW VWLOO LPDJHV DUH DFWXDOO\ PRUH FRQWLQXRXV ZLWK HYHU\GD\ OLIH SDUWO\ EHFDXVH WKH\ DUH PRUH ZLGHO\ GLVSHUVHG LQ WKH HQYLURQPHQW LQ SULQW PHGLD RQ D P\ULDG RI VXUIDFHVf DQG SDUWO\ EHFDXVH WKH\ DUH VXFK DQ HDVLO\ FRQVXOWHG UHPLQGHU 5HVHDUFKHUV ZKR XVH ILOP DQG WDSH RQ WKH RWKHU KDQG RIWHQ OLWHUDOL]H WKHLU LPDJHV WKDW LV WUDQVIRUP WKHP LQWR ZULWWHQ WUDQVFULSWV 7KH QDUUDWLYHV DUH WKHQ WD[RQRPL]HG WR UHYHDO WKHLU WKHPDWLF VWUXFWXUH :DONHU DQG :LHGHO f EHOLHYH WKDW UHVHDUFK WKDW UHQGHUV WKH YLVXDO LQWR WKH YHUEDO KDV VHULRXV GUDZEDFNV >,W@ UHVWULFWV LWV DXGLHQFH DQG LWV LPSDFW E\ LWV ZRUGLQHVV E\ LWV UHOLDQFH RQ QDUURZ WHFKQLFDO ODQJXDJHV DQG FRQVHTXHQWO\ E\ LWV GLVWDQFH IURP WKH ZRUOGV LQ ZKLFK PRVW SHRSOH OLYH ZRUN DQG DFW S f 7KLV SHVVLPLVP LV SUHPDWXUH :DONHU DQG :LHEHO GR QRW WDNH LQWR DFFRXQW WKH LPPHGLDWH LQWHUDFWLYH SRVVLELOLWLHV WKDW DUH IHDVLEOH ZLWK YLGHRWDSHnV VLPXODFUXP RI OLYH DFWLRQ 7KH VXSUHPH YLUWXH RI WKH YLGHRWDSH LPDJH LV LWV LQVWDQWDQHRXV DYDLODELOLW\ IRU LQWHUSUHWDWLRQ DQG FRQVHQVXVEXLOGLQJ 7KH KHUPHQHXWLF GHEDWH RYHU PHDQLQJ GRHV QRW KDYH EH SRVWSRQHG XQWLO WKH WDSHV DUH WUDQVFULEHG 6ROLFLWLQJ FRPPHQWDU\ LV QRW DQ LQVWUXPHQWDO VWUDWHJ\ ZKHQ LW LV VWUXFWXUHG DV D FRQWLQXLQJ YHUEDO LQWHUFKDQJH DERXW WKH PHDQLQJ RI WKH DXGLRYLVXDO UHFRUG

PAGE 137

7KH 7ZR 8VHV RI 9LGHRWDSH 8QWLO QRZ KDYH EHHQ DUJXLQJ DJDLQVW ZKDW FDOOHG DW ILUVW D YR\HXULVWLF DQG WKHQ ODWHU DQ LQVWUXPHQWDO XVH RI YLGHRWDSH ,Q LWV SODFH SURSRVHG WKDW UHVHDUFKHUV DVN VXEMHFWV WR VHOHFW WKH DVSHFW RI WKHLU GDLO\ OLIH WKDW WKH\ DUH LQWHUHVWHG LQ VWXG\LQJ DQG WKHQ HQJDJH WKHP LQ FRQYHUVDWLRQV WKH SXUSRVH RI ZKLFK LV WR DUULYH DW DQ LQWHUSUHWDWLRQ RI ZKDW LV JRLQJ RQ WKDW LV DJUHHDEOH WR DOO SDUWLHV DGRSWHG +DEHUPDVn FRQVHQVXDO PRGHO RI LQTXLU\ EHFDXVH LW FDQ PRYH FRQVFLHQWLRXV UHVHDUFKHUV DZD\ IURP WKH LPSDVVH RI HSLVWHPRORJLFDO DQG HWKLFDO XQFHUWDLQW\ FDXVHG E\ UHDFWLYLW\ 1RQHWKHOHVV LW FDQQRW EH GHQLHG WKDW +DEHUPDV LV GHVFULELQJ LGHDO VLWXDWLRQV +RZ FORVH FDQ UHVHDUFKHUV FRPH WR PDNLQJ WKHLU HQJDJHPHQW ZLWK VXEMHFWV UHVHPEOH WKLV FRQVHQVXDO LGHDO" $ ZD\ WR DSSO\ +DEHUPDVn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n LGHDO RI FRQVHQVXV LV D FRPSOH[ PRGHO

PAGE 138

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f OLVWV RQO\ RQH UHIHUHQFH WR DQ H[SOLFLWO\ SHGDJRJLFDO XVH RI YLGHRWDSH 7KLV DUWLFOH DERXW PHQWRULQJ LQ PHGLFDO VFKRRO &DVVDWD &RQURH t &OHPHQWV f GHVFULEHV DQ H[SHULPHQWDO VWXG\ GHVLJQHG WR ILQG WKH RSWLPDO IRUPDW IRU WHDFKLQJ LQWHUYLHZLQJ WHFKQLTXHV WR PHGLFDO VWXGHQWV +HUH LV D VXPPDU\ RI WKH ILQGLQJV 7KH WHDFKLQJ SURFHVV LV PRVW VXFFHVVIXO ZKHQ D UHVLGHQW YLHZV KLV RZQ WDSH ZKHQ PRUH WKDQ RQH VHVVLRQ LV WDSHG ZKHQ UHVLGHQWV UHFHLYH ZULWWHQ VXPPDULHV LGHQWLI\LQJ VSHFLILF VWUHQJWKV DQG ZHDNQHVVHV DQG ZKHQ WKH SURJUDP GLUHFWRU SDUWLFLSDWHV LQ WKH UHYLHZ FLWHG E\ 'LQKDP t 6WULWWHU S XQGHUOLQLQJ DGGHGf 7KLV LV D JRRG H[DPSOH RI XWLOL]LQJ YLGHRWDSHnV FDSDFLW\ WR SURYLGH D VLWXDWLRQ IRU VHOIFRQIURQWDWLRQ DQG IHHGEDFN :KDW LV QRW FOHDU IURP WKH DUWLFOH LV WKH GHJUHH WR ZKLFK UHVLGHQWV GHEDWHG ZLWK WKH SURJUDP GLUHFWRU DERXW WKH FULWHULD IRU VWURQJ DQG ZHDN LQWHUYLHZLQJ VNLOOV

PAGE 139

,PSURYLQJ SUDFWLFH FRPHV DERXW WKURXJK D SURFHVV RI VHHLQJ DQG UHFRJQL]LQJ WKH QHHG IRU LPSURYHPHQW 7KH ILUVW VWHS LQ WKDW SURFHVV LV WKH DUWLFXODWLRQ RI WKH DLPV RI WKH SUDFWLFH VR WKDW WKRVH LQYROYHG XQGHUVWDQG WKH EDVLV IRU MXGJLQJ D VSHFLILF DFWLRQ VXFFHVVIXO RU XQVXFFHVVIXO $QQLQJ f IRU H[DPSOH UHSRUWV RQ JXLGLQJ D JURXS RI VL[ WHDFKHUV WR DQDO\]H YLGHRWDSHV RI RQH DQRWKHUn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t $QGHUVRQ S f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f

PAGE 140

+RZ GRHV WKLV FRQVHQVXDO SURFHVV DSSO\ LQ WKH FDVH RI YLGHRWDSH UHVHDUFK" 7KH IROORZLQJ VFHQDULR LV EDVHG ORRVHO\ RQ WKH SURFHGXUHV RXWOLQHG E\ (ULFNVRQ DQG :LOVRQ LQ WKHLU KDQGERRN RI YLVXDO PHGLD IRU UHVHDUFK SXUSRVHV 6LJKWV DQG 6RXQGV RI /LIH LQ 6FKRROV f 7KHLU GLVFXVVLRQEDVHG DSSURDFK LV DLPHG SULPDULO\ DW WHDFKLQJ SUDFWLWLRQHUV KRZ WR DQDO\]H YLVXDO GDWD KRZHYHU WKH\ GR QRW UHTXLUH WKDW WKRVH REVHUYLQJ DQG FRPPHQWLQJ DUH WKHPVHOYHV WKH SUDFWLWLRQHUV GHSLFWHG LQ WKH WDSHV H[SDQG RQ WKHLU SHGDJRJLFDO DSSURDFK DQG XVH LW WR FRQVWUXFW D KHUPHQHXWLF FLUFOH RI ZLWQHVVLQJ HQDFWLQJ DQG UHZLWQHVVLQJ 6WHS RQH HQWHULQJ WKH WKHDWHU 7R VXEMHFWV ZKR KDYH UHTXHVWHG YLVXDO VHOI FRQIURQWDWLRQ YLGHRWDSLQJ VKRXOG EH LQWURGXFHG LQLWLDOO\ E\ VKRZLQJ D WDSH RI KRZ D VLPLODU JURXS RI SHUVRQV KDYH EHKDYHG LQ D VLPLODU VLWXDWLRQ :KDWHYHU VLWXDWLRQ KDV EHHQ GHVLJQDWHG IRU VWXG\QRYLFH WHDFKHUV H[SODLQLQJ IUDFWLRQV SRWHQWLDO GURSRXWV LQWHUDFWLQJ ZLWK SHHU WXWRUV YHWHUDQ WHDFKHUV GRLQJ GLUHFW LQVWUXFWLRQ ZLWK ORZDFKLHYLQJ VWXGHQWVf§LW LV LPSRUWDQW WR YLHZ LW ILUVW DV D VFULSW WKDW KDV EHHQ GUDIWHG DQG SHUIRUPHG E\ RWKHU DFWRUV 6WHS WZR IRFXVLQJ RQ D VFHQH 6KRZ HQRXJK VHTXHQFHV RI LQWHUDFWLRQV VR WKDW YLHZHUV JHW WKH JLVW RI WKH HQWLUH WDSHG VHVVLRQ WKH QHZ PDWKHPDWLFV WHDFKHUnV OHVVRQ LV KDUG WR IROORZ WKH

PAGE 141

KLJKULVN VWXGHQW VWRSV SD\LQJ DWWHQWLRQ DQG WKH WXWRU JHWV IUXVWUDWHG WKH VHDVRQHG LQVWUXFWRU JRHV RYHU WKH GLWWR RQHRQRQH DW KHU GHVN 3ROO WKH YLHZHUV IRU WKHLU FKRLFH RI WKH FULWLFDO PRPHQW LQ WKH H[FKDQJH ZKHUH WKH\ EHOLHYH WKH LQWHUDFWRUV FRQQHFWHG RU VKRUWFLUFXLWHG 5HZLQG WR D SRLQW EHIRUH WKH FRQQHFWLRQ ZDV PDGH RU ORVW 6WHS WKUHH JHWWLQJ WKH PRWLYDWLRQ 6ROLFLW GHVFULSWLRQV RI ZKDW LV WDNLQJ SODFH 6ROLFLW H[SODQDWLRQV RI WKH DFWRUVn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

PAGE 142

VWUDWHJ\ WKH\ ZDQW WR PDJQLI\ RU PLQLPL]H WKHLU SHUIRUPDQFH EXW WKH\ DJUHH WR SDUWLFLSDWH DIWHUZDUGV LQ D FULWLFDO UHYLHZ RI LW $W WKLV VWHS WKH VXEMHFWn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

PAGE 143

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nV f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f DERXW SKRWRJUDSKV

PAGE 144

3KRWRJUDSKV GR QRW LQ WKHPVHOYHV SRVVHVV PHDQLQJ 7KH\ RIIHU DSSHDUDQFHV SULVHG DZD\ IURP WKHLU PHDQLQJV 0HDQLQJ LV WKH UHVXOW RI XQGHUVWDQGLQJ IXQFWLRQV n$QG >DV 6RQWDJ VD\V@ IXQFWLRQLQJ WDNHV SODFH LQ WLPH DQG PXVW EH H[SODLQHG LQ WLPH 2QO\ WKDW ZKLFK QDUUDWHV FDQ PDNH XV XQGHUVWDQGn S f .QRZLQJ LQ DGYDQFH WKDW WKH UHFRUGHG LPDJHV PD\ HYHQWXDOO\ EH DVVHPEOHG LQWR D QDUUDWLYH RSHQV XS WKH SRVVLELOLW\ IRU PRUH LQYHQWLYH LPDJLQDWLYH XVHV RI YLGHRWDSH WHFKQRORJ\ 8S WR QRZ LQYHVWLJDWRUV KDYH EHHQ UHOXFWDQW WR DFWLYHO\ PDQLSXODWH WKH FUHDWLYH SRVVLELOLWLHV RI WKH PHGLXP 0XOWLSOH FDPHUDV VSHFLDOL]HG OHQV DQG ILOWHUV DFFHOHUDWHG DQG VORZ PRWLRQ UHFRUGLQJ DQG ]RRP DQG WUDFNLQJ VKRWV DUH DOO GHSDUWXUHV IURP WKH VWDWLRQDU\ SHUVSHFWLYH IDYRUHG E\ VWULFW GRFXPHQWDULDQV &RQVLGHULQJ WKH JURZLQJ DYDLODELOLW\ RI FDPFRUGHUV DQG WKH QHDU XELTXLW\ RI 9&5V RQH RI WKH VNLOOV WKDW YLGHRWDSH UHVHDUFKHUV ZLOO QHHG WR EULQJ LQWR WKH ILHOG ZLWK WKHP LV NQRZOHGJH RI WKH UDSLGO\ H[SDQGLQJ FDSDELOLWLHV RI HOHFWURQLF YLVXDO PHGLD 7KRXJK QRW \HW ZLGHO\ DYDLODEOH VRRQ WR FRPH DUH FRQVXPHU YHUVLRQV RI SURIHVVLRQDO WDSH HGLWLQJ PDFKLQHV WKDW LQWHUIDFH ZLWK FRPSXWHUV DQG DUH FDSDEOH RI FUHDWLQJ VSHFLDO HIIHFWV OLNH VXSHULPSRVLWLRQ DQG VWUXFWXUDO PRGHOLQJ 7KH DGYHQW RI KLJKO\ YLVXDO DQDO\WLF DQG V\QWKHWLF SURFHGXUHV FRXSOHG ZLWK HDV\ YRLFHRYHU WHFKQLTXHV PHDQV WKDW WUHPHQGRXV YDULDWLRQ ZLOO EH DYDLODEOH IRU WHOOLQJ WKH VWRU\ RI KRZ LQGLYLGXDOV DQG JURXSV OHDUQHG WR DGGUHVV D SUREOHP LQ WKHLU PLGVW

PAGE 145

5HVHDUFKHUV ZRXOG XVH RQH RI WKHVH JUDVV URRWV QDUUDWLYHV WR LQLWLDWH D QHZ F\FOH RI GLVFXVVLRQ FULWLFLVP WDSLQJ DQG QDUUDWLRQ 7KH WUDLQLQJ RI YLGHRWDSH UHVHDUFKHUV WKHUHIRUH RXJKW WR LQFOXGH IDPLOLDULW\ ZLWK WKH ODWHVW YLVXDO WHFKQRORJLHV ([SHUWLVH LQ WHFKQLFDO PDWWHUV SOXV IDPLOLDULW\ ZLWK WDSHV FRPSLOHG E\ VLPLODU JURXSV LV WKH TXLG SUR TXR YLGHRWDSH UHVHDUFKHUV KDYH WR RIIHU WR WKRVH ZKR LQYLWH WKHP WR DVVLVW LQ WKH SURFHVV RI LQWUDJURXS UHFRJQLWLRQ DQG LQWHUJURXS FRPPXQLFDWLRQ

PAGE 146

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

PAGE 147

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n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

PAGE 148

LQWHUHVWV RI UHVHDUFKHUV DQG KDV QR LPSDFW RQ WKH OLYHV RI WKH SHRSOH VWXGLHG 9LGHRWDSH KRZHYHU LV QRW VLPSO\ D WHFKQLFDO PHWKRG IRU FRQGXFWLQJ REVHUYDWLRQDO UHVHDUFK LW LV DOVR D IDPLOLDU UHFUHDWLRQDO DUWLIDFW RI RXU KLJKO\ YLVXDO DQG VHOIUHIHUHQWLDO FXOWXUH 0RUH WKDQ HYHU EHIRUH SHRSOH H[SHULHQFH DQG WKHQ UHYLHZ DXGLRYLVXDO VDPSOHV RI WKHLU HYHU\GD\ VRFLDO LQWHUDFWLRQ 7KH SXEOLFnV IDPLOLDULW\ ZLWK YLGHR PHGLD DV ZHOO DV LWV JURZLQJ H[SHULHQFH ZLWK YLGHR VHOILQVSHFWLRQ SUHVHQWV WR UHVHDUFKHUV DQ XQSUHFHGHQWHG RSSRUWXQLW\ WR LQYLWH VXEMHFWV WR SDUWLFLSDWH LQ IRUPDO REVHUYDWLRQDO VWXGLHV ,W LV LPSRUWDQW KRZHYHU WR HPSKDVL]H WKDW UHVHDUFKHUV FRQVLGHULQJ WKH XVH RI YLGHRWDSH PDNH FRQVWUXFWLYH XVH OLWHUDOO\ RI SHRSOHnV IDVFLQDWLRQ ZLWK VHHLQJ WKHPVHOYHV RQ VFUHHQ ,QVWHDG RI WUHDWLQJ FXULRVLW\ RU GLIILGHQFH DV D QXLVDQFH YLGHRWDSH UHVHDUFKHUV QHHG WR FRQIURQW WKH LVVXH RI UHDFWLYLW\ DV DQ LQGLFDWLRQ RI VXEMHFWVn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

PAGE 149

SRVVLELOLW\ RI VHWWLQJ XS DW WKHLU RZQ VLWH D JHULDWULF UHPRWLYDWLRQ SURJUDP LQYROYLQJ UHJXODU YLVLWV RI VFKRRO FKLOGUHQ ,Q WKH UHVHDUFK SURMHFW RI WKDW SURJUDP ZKLFK SURPSWHG WKH ZULWLQJ RI WKLV GLVVHUWDWLRQ WKH UHVHDUFKHUV QHYHU GLG KHOS WKH PLGGOH VFKRROHUV PDNH D YLGHR IRU WKHLU FODVVPDWHV RI WKHLU H[SHULHQFHV DW WKH QXUVLQJ KRPH ,Q IDLUQHVV VXFK DQ RXWFRPH ZDV QRW SDUW RI WKH RULJLQDO FRQWUDFWXDO DJUHHPHQW EHWZHHQ UHVHDUFKHUV DQG VXEMHFWV QRQHWKHOHVV LW ZDV D SRVVLELOLW\ WKDW HDUO\ RQ KDG LJQLWHG WKH LPDJLQDWLRQ DQG HQWKXVLDVP RI ERWK WKH FKLOGUHQ DQG WKH SURJUDP FRRUGLQDWRUV :KDW NLQGV RI XQGHUVWDQGLQJV PLJKW KDYH EHHQ UHDFKHG LI WKH UHVHDUFKHUV WKH SDOV WKH JX\V DQG WKH VWDII KDG FROODERUDWHG RQ WHOOLQJ WKH VWRU\ DERXW D JURXS RI VFKRRO FKLOGUHQ ZKR UHJXODUO\ YLVLWHG D YHWHUDQVn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

PAGE 150

GRXEO\ GXELRXV FODLP WKDW FDPHUDV FDSWXUH WUXWK ZKHQ WKH\ EHFRPH LQYLVLEOH UHVHDUFKHUV PLVV DQ RSSRUWXQLW\ WR XVH WHFKQRORJ\ WR HQODUJH WKH XQGHUVWDQGLQJ RI VXEMHFWV LQ VLWX 9LGHRWDSHn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n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

PAGE 151

REVHUYHU LV WKDW LW UHTXLUHV D FROOXVLRQ 5HVHDUFKHUV KDYH WR SHUVXDGH VXEMHFWV DQG WKHPVHOYHV WR LJQRUH RU GLVFRXQW WKH HIIHFWV HDFK LV KDYLQJ RQ WKH RWKHU 1R PDWWHU KRZ PXFK LQYLVLELOLW\ LV DJUHHG XSRQ HLWKHU E\ QRQHQJDJHPHQW RU DXWKHQWLF LPLWDWLRQ WUDFHV RI WKH UHVHDUFKHUn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

PAGE 152

LQTXLU\ DQG MRLQW FUHDWLRQ LV D V\PEROLF EULGJH DFURVV ZKLFK UHVHDUFKHUV DQG VXEMHFWV H[FKDQJH DQG PRGLI\ WKH WKHRUHWLFDO DQG SUDFWLFDO IRUPV RI WKHLU NQRZOHGJH

PAGE 153

5()(5(1&(6 $JDU 0 + f 6SHDNLQJ RI HWKQRJUDSK\ %HYHUO\ +LOOV &$ 6DJH $QQLQJ f &XUULFXOXP LQ $FWLRQ LQ DFWLRQ ,Q +XVWOHU $ &DVVLG\ t ( & &XII (GVf $FWLRQ UHVHDUFK LQ FODVVURRPV DQG VFKRROV SS f /RQGRQ $OOHQ t 8QZLQ %DLOH\ t 6RZGHU : 7 f $XGLRWDSH DQG YLGHRWDSH VHOIFRQIURQWDWLRQ LQ SV\FKRWKHUDS\ 3V\FKRORJLFDO %XOOHWLQ %DUQRXZ ( f 'RFXPHQWDU\ 7KH KLVWRU\ RI WKH QRQILFWLRQ ILOP 1HZ
PAGE 154

%RZHU 5 7 t GH *DVSDULV 3 f (WKLFV LQ VRFLDO UHVHDUFK 3URWHFWLQJ WKH LQWHUHVWV RI KXPDQ VXEMHFWV 1HZ
PAGE 155

&LPLQHUR $ 5 1HOVRQ 5 t /LSLQVNL 3 f 6HOIPRQLWRULQJ SURFHGXUHV ,Q $ 5 &LPLQHUR 6 &DOKRXQ t + ( $GDPV (GVf +DQGERRN RI EHKDYLRUDO DVVHVVPHQW SS f 1HZ
PAGE 156

(OGHQ 0 f 6KDULQJ WKH UHVHDUFK ZRUN 3DUWLFLSDWLYH UHVHDUFK DQG UROH GHPDQGV ,Q 3 5HDVRQ t 5RZDQ (GVf +XPDQ LQTXLU\ $ VRXUFHERRN RI QHZ SDUDGLJP UHVHDUFK SS f &KLFKHVWHU (QJODQG -RKQ :LOH\ (ULFNVRQ ) t 6FKXOW] f 7KH FRXQVHORU DV JDWHNHHSHU 6RFLDO LQWHUDFWLRQ LQ LQWHUYLHZV 1HZ
PAGE 157

*RIIPDQ ( f 7KH SUHVHQWDWLRQ RI VHOI LQ HYHU\GD\ OLIH *DUGHQ &LW\ 1< 'RXEOHGD\ *RWWGLHQHU 0 f )LHOG UHVHDUFK DQG YLGHRWDSH 6RFLRORJLFDO ,QTXLU\ Af *UD\ % + f 7KH UHJXODWRU\ FRQWH[W RI VRFLDO DQG EHKDYLRUDO UHVHDUFK ,Q 7 / %HDXFKDPS 5 5 )DGHQ 5 :DOODFH -U t / :DOWHUV (GVf (WKLFDO LVVXHV LQ VRFLDO VFLHQFH UHVHDUFK SS f %DOWLPRUH -RKQV +RSNLQV 8QLYHUVLW\ 3UHVV *XED ( t /LQFROQ < 6 f (SLVWHPRORJLFDO DQG PHWKRGRORJLFDO EDVHV RI QDWXUDOLVWLF LQTXLU\ ,Q ) 0DGDXV 0 6 6FULYHQ t / 6WXIIOHEHDP (GVf (YDOXDWLRQ PRGHOV 9LHZSRLQWV RQ HGXFDWLRQ DQG KXPDQ VHUYLFHV HYDOXDWLRQ SS f %RVWRQ .OXZHU1LMKRII +DEHUPDV f .QRZOHGJH DQG KXPDQ LQWHUHVWV 6KDSLUR 7UDQVf %RVWRQ %HDFRQ 3UHVV +DEHUPDV f 7KHRU\ DQG SUDFWLFH 9LHUWHO 7UDQVf %RVWRQ %HDFRQ 3UHVV +DEHUPDV f ,QWHUSUHWLYH VRFLDO VFLHQFH YV KHUPHQHXWLFLVP ,Q 1 +DDQ 5 1 %HOODK 3 5DELQRZ t : 0 6XOOLYDQ (GVf 6RFLDO VFLHQFH DV PRUDO LQTXLU\ SSf 1HZ
PAGE 158

+D\QHV 6 1 t :LOVRQ & & f %HKDYLRUDO DVVHVVPHQW 5HFHQW DGYDQFHV LQ PHWKRGV FRQFHSWV DQG DSSOLFDWLRQV 6DQ )UDQFLVFR -RVVH\%DVV +HURQ f 3KLORVRSKLFDO EDVLV IRU D QHZ SDUDGLJP ,Q 3 5HDVRQ t 5RZDQ (GVf +XPDQ LQTXLU\ $ VRXUFHERRN RI QHZ SDUDGLJP UHVHDUFK SS f &KLFKHVWHU (QJODQG -RKQ :LOH\ +RO\ / f 7KHRU\ PHWKRGRORJ\ DQG WKH UHVHDUFK SURFHVV ,Q 5 ) (OOHQ (Gf (WKQRJUDSKLF UHVHDUFK $ JXLGH WR JHQHUDO FRQGXFW SS f /RQGRQ $FDGHPLF 3UHVV +RZH 5 f 7ZR GRJPDV RI HGXFDWLRQDO UHVHDUFK (GXFDWLRQDO 5HVHDUFKHU f +\PHV f :KDW LV HWKQRJUDSK\" 6RFLROLQJXLVWLF :RUNLQJ 3DSHU 1R f $XVWLQ 7; 6RXWKZHVW (GXFDWLRQ 'HYHORSPHQW /DERUDWRU\ -DUYLH & f 7KH SUREOHP RI WKH HWKRJUDSKLF UHDO &XUUHQW $QWKURSRORJ\ .D]GLQ $ ( f 6HOIPRQLWRULQJ DQG EHKDYLRU FKDQJH ,Q 0 0DKRQH\ t & ( 7KRUHVHQ (GVf 6HOIFRQWURO 3RZHU WR WKH SHUVRQ SS f 0RQWHUH\ &$ %URRNV&ROH .D]GLQ $ f 'LUHFW REVHUYDWLRQV DV XQREWUXVLYH PHDVXUHV LQ WUHDWPHQW HYDOXDWLRQV ,Q / 6HFKUHVW (Gf 8QREWUXVLYH REVHUYDWLRQ WRGD\ SS f 6DQ )UDQFLVFR -RVVH\%DVV .D]GLQ $ ( f 2EVHUYHU HIIHFWV 5HDFWLYLW\ RI GLUHFW REVHUYDWLRQ ,Q 3 +DUWPDQQ (Gf 8VLQJ REVHUYHUV WR VWXG\ EHKDYLRU SS f 6DQ )UDQFLVFR -RVVH\%DVV .HDW 5 f 7KH SROLWLFV RI VRFLDO WKHRU\ +DEHUPDV )UHXG DQG WKH FULWLJXH RI SRVLWLYLVP &KLFDJR 8QLYHUVLW\ RI &KLFDJR 3UHVV .HLWK6SLHJHO 3 t .RRFKHU f (WKLFV LQ SV\FKRORJ\ 3URIHVVLRQDO VWDQGDUGV DQG FDVHV 1HZ
PAGE 159

.HQW 5 1 t )RVWHU 6 / f 'LUHFW REVHUYDWLRQDO SURFHGXUHV 0HWKRGRORJLFDO LVVXHV LQ QDWXUDOLVWLF VHWWLQJV ,Q $ 5 &LPLQHUR 6 &DOKRXQ t + ( $GDPV (GVf +DQGERRN RI EHKDYLRUDO DVVHVVPHQW SS f 1HZ
PAGE 160

0HKDQ + f /HDUQLQJ OHVVRQV 6RFLDO RUJDQL]DWLRQ LQ WKH FODVVURRP &DPEULGJH 0$ +DUYDUG 8QLYHUVLW\ 3UHVV 0HQJHV 5 f 2SHQQHVV DQG KRQHVW\ YV FRHUFLRQ DQG GHFHSWLRQ LQ SV\FKRORJLFDO UHVHDUFK $PHULFDQ 3V\FKRORJLVW 0HUOHDX3RQW\ 0 f 7KH SKHQRPHQRORJ\ RI SHUFHSWLRQ & 6PLWK 7UDQVf /RQGRQ 5RXWOHGJH t .HJDQ 3DXO 0LGGOHPLVW 5 .QRZOHV ( 6 t 0DWWHU & ) f 3HUVRQDO VSDFH LQYDVLRQVV LQ WKH ODYDWRU\ 6XJJHVWLYH HYLGHQFH IRU DURXVDO -RXUQDO RI 3HUVRQDOLW\ DQG 6RFLDO 3V\FKRORJ\ 0LOHV 0 % t +XEHUPDQ $ 0 Df 4XDOLWDWLYH GDWD DQDO\VLV $ VRXUFHERRN RI QHZ PHWKRGV %HYHUO\ +LOOV &$ 6DJH 0LOHV 0 % t +XEHUPDQ $ 0 Ef 'UDZLQJ YDOLG PHDQLQJ IURP TXDOLWDWLYH GDWD 7RZDUG D VKDUHG FUDIW (GXFDWLRQDO 5HVHDUFKHU Bf 0LOOHU 6 f 6RPH FRPPHQWV RQ NHHSLQJ WKH TXDQWLWDWLYHTXDOLWDWLYH GHEDWH RSHQ (GXFDWLRQDO 5HVHDUFKHU Bf 0\UGDO f 2EMHFWLYLW\ LQ VRFLDO UHVHDUFK 1HZ
PAGE 161

1HOVRQ 5 2 /LSLQVNL 3 t %R\NLQ 5 $ f 7KH HIIHFWV RI VHOIUHFRUGHUVn WUDLQLQJ DQG WKH REWUXVLYHQHVV RI WKH VHOIUHFRUGLQJ GHYLFH RQ WKH DFFXUDF\ DQG UHDFWLYLW\ RI VHOIPRQLWRULQJ %HKDYLRU 7KHUDS\ 3DWWRQ 0 4 f 3UDFWLFDO HYDOXDWLRQ %HYHUO\ +LOOV &$ 6DJH 3DWWXOOR ( / f 0RGHVW\ LV WKH EHVW SROLF\ 7KH IHGHUDO UROH LQ VRFLDO UHVHDUFK ,Q 7 / %HDXFKDPS 5 5 )DGHQ 5 :DOODFH -U t / :DOWHUV (GVf (WKLFDO LVVXHV LQ VRFLDO VFLHQFH UHVHDUFK SS f %DOWLPRUH -RKQV +RSNLQV 8QLYHUVLW\ 3UHVV 3HVKNLQ $ f 2GG PDQ RXW 7KH SDUWLFSDQW REVHUYHU LQ DQ DEVROXWLVW VHWWLQJ 6RFLRORJ\ RI (GXFDWLRQ 3RONLQJKRUQH f 0HWKRGRGRORJ\ IRU WKH KXPDQ VFLHQFHV 6\VWHPV RI LQTXLU\ $OEDQ\ 681< 3UHVV 3RSSHU 5 f 7KH ORJLF RI VFLHQWLILF GLVFRYHU\ /RQGRQ +XWFKLQVRQ >2ULJLQDO ZRUN SXEOLVKHG @ 3XQFK 0 f 7KH SROLWLFV DQG HWKLFV RI ILHOGZRUN %HYHUO\ +LOOV &$ 6DJH 5H\QROGV 3 f (WKLFV DQG VRFLDO VFLHQFH UHVHDUFK (QJOHZRRG &OLIIV 13UHQWLFH+DOO 5LVW 5 & f 2Q ZKDW ZH NQRZ RU WKLQN ZH GRf *DWHNHHSLQJ DQG WKH VRFLDO FRQWURO RI NQRZOHGJH ,Q 7 6 3RSNHZLW] t % 5 7DEDFKQLFN (GVf 7KH VWXG\ RI VFKRROLQJ )LHOG EDVHG PHWKRGRGROJLHV LQ HGXFDWLRQDO UHVHDUFK DQG HYDOXDWLRQ SS f 1HZ
PAGE 162

6DUWUH 3 f %HLQJ DQG QRWKLQJQHVV $Q HVVD\ RQ SKHQRPHQRORJLFDO RQWRORJ\ + %DUQHV 7UDQVf 1HZ
PAGE 163

6WRFNPDQ 1 f $QWLSRVLWLYLVW WKHRULHV RI WKH VFLHQFHV FULWLFDO UDWLRQDOLVP FULWLFDO WKHRU\ DQG VFLHQWLILF UHDOLVP 'RUGUHFKW +ROODQG 5HLGHO 6WRGGDUW f 7KH SUHVHQWDWLRQ RI HYHU\GD\ OLIH VRPH WH[WXDO VWUDWHJLHV IRU nDGHTXDWH HWKQRJUDSK\n 8UEDQ /LIH 6XOV t 5RVQRZ 5 f 7KH GHOLFDWH EDODQFH EHWZHHQ HWKLFV DQG DUWLIDFWV LQ EHKDYLRUDO UHVHDUFK ,Q $ .LPPHO (Gf (WKLFV RI KXPDQ VXEMHFW UHVHDUFK SS f 6DQ )UDQFLVFR -RVVH\%DVV 6XPPHUILHOG $ % f 5HFRUGLQJ VRFLDO LQWHUDFWLRQ ,Q 3 : 'RZULFN t 6 %LJJV (GVf 8VLQJ YLGHR 3V\FKRORJLFDO DQG VRFLDO DSSOLFDWLRQV SS f &KLFKHVWHU (QJODQG -RKQ :LOH\ 7D\ORU & f 7KH SHUVRQ ,Q 0 &DUULWKHUV 6 &ROOLQV t 6 /XNHV (GVf 7KH FDWHJRU\ RI WKH SHUVRQ $QWKURSRORJ\ SKLORVRSK\ KLVWRU\ SS f 1HZ
PAGE 164

8QLWHG 6WDWHV 'HSDUWPHQW RI +HDOWK DQG +XPDQ 6HUYLFHV 2IILFH RI WKH 6HFUHWDU\ )LQDO UHJXODWLRQV DPHQGLQJ EDVLF ++6 SROLF\ IRU WKH SURWHFWLRQ RI KXPDQ UHVHDUFK VXEMHFWV )HGHUDO 5HJLVWHU f -DQXDU\ :DONHU 5 f 7KH FRQGXFW RI HGXFDWLRQDO FDVH VWXGLHV (WKLFV WKHRU\ DQG SURFHGXUHV ,Q : % 'RFNUHOO t +DPLOWRQ (GVf 5HWKLQNLQJ HGXFDWLRQDO UHVHDUFK SS f /RQGRQ +RGGHU t 6WRXJKWRQ :DONHU 5 f 7KUHH JRRG UHDVRQV IRU QRW GRLQJ FDVH VWXGLHV LQ FXUULFXOXP UHVHDUFK ,Q ( 5 +RXVH (Gf 1HZ GLUHFWLRQV LQ HGXFDWLRQDO HYDOXDWLRQ SS f /RQGRQ )DOPHU 3UHVV :DONHU 5 t :LHGHO f 8VLQJ SKRWRJUDSKV LQ D GLVFLSOLQH RI ZRUGV ,Q 5 %XUJHVV (Gf )LHOG PHWKRGV LQ WKH VWXG\ RI HGXFDWLRQ SSf /RQGRQ )DOPHU 3UHVV :DUZLFN 3 f 7\SHV RI KDUP LQ VRFLDO UHVHDUFK ,Q 7 / %HDXFKDPS 5 5 )DGHQ 5 :DOODFH -U t / :DOWHUV (GVf (WKLFDO LVVXHV LQ VRFLDO VFLHQFH UHVHDUFK SS f %DOWLPRUH -RKQV +RSNLQV 8QLYHUVLW\ 3UHVV :D[ 0 / f 3DUDGR[HV RI nFRQVHQWn WR WKH SUDFWLFH RI ILHOGZRUN 6RFLDO 3UREOHPV :D[ 0 / f 5HVHDUFK UHFLSURFLW\ LQVWHDG RI LQIRUPHG FRQVHQW ,Q 6LHEHU (Gf 7KH HWKLFV RI VRFLDO UHVHDUFK 9RO )LHOGZRUN UHJXODWLRQ DQG SXEOLFDWLRQ SS f 1HZ
PAGE 165

%,2*5$3+,&$/ 6.(7&+ -HIIUH\ 5RWK VWXGLHG (XURSHDQ OLWHUDWXUH DW %URRNO\Q &ROOHJH %$ f DQG GLG JUDGXDWH ZRUN LQ FRPSDUDWLYH OLWHUDWXUH DW ,QGLDQD 8QLYHUVLW\ HDUQLQJ D PDVWHUnV GHJUHH LQ DQG FRPSOHWLQJ WKH FRXUVHZRUN DQG TXDOLI\LQJ H[DPV IRU WKH GRFWRUDWH LQ +DYLQJ WDXJKW IRU D \HDU LQ WKH (QJOLVK 'HSDUWPHQW DW ,QGLDQD 8QLYHUVLW\nV )W :D\QH FDPSXV KH PRYHG WR &DOLIRUQLD LQ DQG ZRUNHG LQ D YDULHW\ RI WUDGLWLRQDO DQG H[SHULPHQWDO SULPDU\ DQG VHFRQGDU\ VFKRRO VHWWLQJV 6LQFH UHWXUQLQJ WR KLJKHU HGXFDWLRQ KH KDV EHHQ D UHVHDUFK DQG WHDFKLQJ DVVLVWDQW IRU VHYHUDO GHSDUWPHQWV LQ WKH 8QLYHUVLW\ RI )ORULGDnV &ROOHJH RI (GXFDWLRQ +H LV FXUUHQWO\ RQ WKH VWDII RI &KLOGUHQnV 'HYHORSPHQWDO 6HUYLFHV D IROORZXS FOLQLF DW WKH XQLYHUVLW\nV &ROOHJH RI 0HGLFLQH

PAGE 166

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£Q 9HUD $VVRFLDWH 3URIHVVRU RI 6RFLRORJ\ FHUWLI\ WKDW KDYH UHDG WKLV VWXG\ DQG WKDW LQ P\ RSLQLRQ LW FRQIRUPV WR DFFHSWDEOH VWDQGDUGV RI VFKRODUO\ SUHVHQWDWLRQ DQG LV IXOO\ DGHTXDWH LQ VFRSH DQG TXDOLW\ D GLVVHUWDWLRQ IRU WKH GHJUHH RI 'RFWRU RI 3KLORVRSK\ $UWKXU 1HZPDQ 3URIHVVRU RI )RXQGDWLRQV RI (GXFDWLRQ

PAGE 167

, FHUWLI\ WKDW KDYH UHDG WKLV VWXG\ DQG WKDW LQ P\ VWDQGDUGV RI VFKRODUO\ LQ VFRSHDQG TXDOLW\ D GLVVHUWDWLRQ IRU WKH GHJUHH RI 'RTWRU RI3fWILORVRSK\ RSLQLRQ LW FRQIRUPV WR SUHVHQWDWLRQ DQG LV IXOO\ n1 M 0LFKDHO % 5HVQLFN $VVLVWDQW 7KLV GLVVHUWDWLRQ ZDV VXEPLWWHG WR WKH *UDGXDWH )DFXOW\ RI WKH &ROOHJH RI (GXFDWLRQ DQG WR WKH *UDGXDWH 6FKRRO DQG ZDV DFFHSWHG DV SDUWLDO IXOIXOOPHQW RI WKH UHTXLUHPHQWV IRU WKH GHJUHH RI 'RFWRU RI 3KLORVRSK\ 'HFHPEHU -DPHV $OJLQD &KDLU )RXQGDWLRQVARI (GXFDWLRQ 'HDQ &ROOHJH 'HDQ *UDGXDWH 6FKRRO

PAGE 168

81,9(56,7< 2) )/25,'$ ,,, +L f f f§ B PL m+8, OLOL ,, 0LO ,,,


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 E7JRCCG4Q_5G8198 INGEST_TIME 2017-07-12T21:08:10Z PACKAGE AA00002155_00001
AGREEMENT_INFO ACCOUNT UF PROJECT UFDC
FILES