Citation
Differentiating characteristics of autoevolutionary and modal persons

Material Information

Title:
Differentiating characteristics of autoevolutionary and modal persons
Creator:
Weikel, William Joseph, 1949-
Publication Date:
Language:
English
Physical Description:
xi, 129 leaves : ; 28cm.

Subjects

Subjects / Keywords:
Analysis of variance ( jstor )
Cognitive psychology ( jstor )
Creativity ( jstor )
Dogmatism ( jstor )
Mental health ( jstor )
Personality psychology ( jstor )
Psychological research ( jstor )
Psychology ( jstor )
Self ( jstor )
Social psychology ( jstor )
Counselor Education thesis Ph. D
Dissertations, Academic -- Counselor Education -- UF
Mental health ( lcsh )
Personality ( lcsh )
Self-actualization (Psychology) ( lcsh )
City of Gainesville ( local )
Genre:
bibliography ( marcgt )
non-fiction ( marcgt )

Notes

Thesis:
Thesis--University of Florida.
Bibliography:
Bibliography: leaves 98-110.
General Note:
Typescript.
General Note:
Vita.
Statement of Responsibility:
by William Joseph Weikel.

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:
025258301 ( ALEPH )
02733093 ( OCLC )
AAS9389 ( NOTIS )

Downloads

This item has the following downloads:

differentiatingc00weik.pdf

differentiatingc00weik_0061.txt

differentiatingc00weik_0088.txt

differentiatingc00weik_0044.txt

differentiatingc00weik_0013.txt

differentiatingc00weik_0129.txt

differentiatingc00weik_0069.txt

differentiatingc00weik_0026.txt

differentiatingc00weik_0105.txt

differentiatingc00weik_0020.txt

differentiatingc00weik_0083.txt

differentiatingc00weik_0001.txt

differentiatingc00weik_0091.txt

differentiatingc00weik_0132.txt

differentiatingc00weik_0015.txt

differentiatingc00weik_0065.txt

AA00004924_00001.pdf

differentiatingc00weik_0101.txt

differentiatingc00weik_0010.txt

differentiatingc00weik_0118.txt

differentiatingc00weik_0053.txt

differentiatingc00weik_0073.txt

differentiatingc00weik_0054.txt

differentiatingc00weik_0057.txt

differentiatingc00weik_0092.txt

differentiatingc00weik_0051.txt

differentiatingc00weik_0131.txt

differentiatingc00weik_0126.txt

differentiatingc00weik_0110.txt

differentiatingc00weik_0029.txt

differentiatingc00weik_0016.txt

differentiatingc00weik_0127.txt

differentiatingc00weik_0011.txt

differentiatingc00weik_0025.txt

differentiatingc00weik_0130.txt

differentiatingc00weik_0022.txt

differentiatingc00weik_0006.txt

differentiatingc00weik_0030.txt

differentiatingc00weik_0139.txt

differentiatingc00weik_0012.txt

differentiatingc00weik_0113.txt

differentiatingc00weik_0109.txt

differentiatingc00weik_0097.txt

differentiatingc00weik_0042.txt

differentiatingc00weik_0128.txt

differentiatingc00weik_0035.txt

differentiatingc00weik_0072.txt

differentiatingc00weik_0115.txt

differentiatingc00weik_0052.txt

differentiatingc00weik_0021.txt

differentiatingc00weik_0019.txt

differentiatingc00weik_0066.txt

differentiatingc00weik_0082.txt

AA00004924_00001_pdf.txt

differentiatingc00weik_0064.txt

differentiatingc00weik_0089.txt

differentiatingc00weik_0043.txt

differentiatingc00weik_0140.txt

differentiatingc00weik_0039.txt

differentiatingc00weik_0056.txt

differentiatingc00weik_0096.txt

differentiatingc00weik_0078.txt

differentiatingc00weik_0136.txt

differentiatingc00weik_0075.txt

differentiatingc00weik_0086.txt

differentiatingc00weik_0108.txt

differentiatingc00weik_0143.txt

differentiatingc00weik_0124.txt

differentiatingc00weik_0120.txt

differentiatingc00weik_0060.txt

differentiatingc00weik_0102.txt

differentiatingc00weik_0103.txt

differentiatingc00weik_0034.txt

differentiatingc00weik_0079.txt

differentiatingc00weik_0104.txt

differentiatingc00weik_0028.txt

differentiatingc00weik_0076.txt

differentiatingc00weik_0111.txt

differentiatingc00weik_0095.txt

differentiatingc00weik_0041.txt

differentiatingc00weik_0112.txt

differentiatingc00weik_0031.txt

differentiatingc00weik_0014.txt

differentiatingc00weik_0023.txt

differentiatingc00weik_0049.txt

differentiatingc00weik_0038.txt

differentiatingc00weik_0125.txt

differentiatingc00weik_0055.txt

differentiatingc00weik_0005.txt

differentiatingc00weik_0116.txt

differentiatingc00weik_0106.txt

differentiatingc00weik_0135.txt

differentiatingc00weik_0123.txt

differentiatingc00weik_0059.txt

differentiatingc00weik_0100.txt

differentiatingc00weik_0033.txt

differentiatingc00weik_0032.txt

differentiatingc00weik_pdf.txt

differentiatingc00weik_0141.txt

differentiatingc00weik_0138.txt

differentiatingc00weik_0119.txt

differentiatingc00weik_0081.txt

differentiatingc00weik_0004.txt

differentiatingc00weik_0058.txt

differentiatingc00weik_0050.txt

differentiatingc00weik_0045.txt

differentiatingc00weik_0018.txt

differentiatingc00weik_0003.txt

differentiatingc00weik_0068.txt

differentiatingc00weik_0037.txt

EC2BBW32P_Q0YDB4_xml.txt

differentiatingc00weik_0024.txt

differentiatingc00weik_0094.txt

differentiatingc00weik_0017.txt

differentiatingc00weik_0062.txt

differentiatingc00weik_0085.txt

differentiatingc00weik_0134.txt

differentiatingc00weik_0133.txt

differentiatingc00weik_0142.txt

differentiatingc00weik_0080.txt

differentiatingc00weik_0063.txt

differentiatingc00weik_0027.txt

differentiatingc00weik_0074.txt

differentiatingc00weik_0067.txt

differentiatingc00weik_0122.txt

differentiatingc00weik_0090.txt

differentiatingc00weik_0137.txt

differentiatingc00weik_0007.txt

differentiatingc00weik_0107.txt

differentiatingc00weik_0144.txt

differentiatingc00weik_0008.txt

differentiatingc00weik_0121.txt

differentiatingc00weik_0087.txt

differentiatingc00weik_0114.txt

differentiatingc00weik_0099.txt

differentiatingc00weik_0047.txt

differentiatingc00weik_0093.txt

differentiatingc00weik_0002.txt

differentiatingc00weik_0077.txt

differentiatingc00weik_0098.txt

differentiatingc00weik_0040.txt

differentiatingc00weik_0117.txt

differentiatingc00weik_0048.txt

differentiatingc00weik_0046.txt

differentiatingc00weik_0070.txt

differentiatingc00weik_0084.txt

differentiatingc00weik_0036.txt

differentiatingc00weik_0071.txt

differentiatingc00weik_0009.txt


Full Text


DIFFERENTIATING CHARACTERISTICS OF AUTOEVOLUTIONARY
AND MODAL PERSONS
By
WILLIAM JOSEPH WEIKEL
A DISSERTATION PRESENTED TO THE GRADUATE COUNCIL OF
THE UNIVERSITY OF FLORIDA
IN PARTIAL FULFILLMENT OF THE REQUIREMENTS FOR THE
DEGREE OF DOCTOR OF PHILOSOPHY
UNIVERSITY OF FLORIDA
1975


ACKNOWLEDGMENTS
A doctoral dissertation is very rarely an individual
endeavor. From its inception it requires the combined
talent of many persons, who each in their unique way aid
the author in shaping and polishing the finished product.
The author wishes to thank those who contributed their time
and talents.
Dr. Richard H. Johnson, Chairman of the writer's
doctoral committee and good friend, who for two years has
helped the author to learn and grow both as a professional
and as a person. Knowing and working with Dr. Johnson is
something the author will always cherish and remember.
Dr. E. L. Tolbert, member of the writer's committee,
who was always willing to give advice and support, often
on very short notice.
Dr. James Joiner, member of the writer's committee
and minor advisor for invaluable teaching experience, help
and support all along the way.
Dr. Larry Loesch for many valuable suggestions that
improved the quality of the research.
Dr. Harold Riker, former Acting Department Chairman,
and Dr. Joe Wittmer, current Chairman, for advice, guidance
and the graduate assistantships that eased financial
pressure.
i ¡


Dr. Ted Landsman, for encouraging the author's interest
in positive health and optimal functioning and for his many
suggestions and assistance in completing this research.
Dr. David Lane, for his critical review of the manu
script .
Dr. Harry Grater, for providing the author with a
teaching assistantship and making this last year financially
easier.
A number of other people have also been a great help:
Nancy Spisso, Fred Piercy, Rick Davis and the other members
of Dr. Johnson's seminar gave much help and advice.
Barbara Rucker for doing an excellent job of typing the
manuscript on very short notice. Judy Youmans for her
clerical help and skills. Mr. Ed Johnson of the Gaines
ville Sun for his invaluable aid in securing subjects,
and all of the wonderful men and women of Gainesville, who
gave so freely of their time by taking part in the study.
Last, and most important, has been the continued
support and encouragement of my wife, Jo Ann,and son, Billy.
in


TABLE OF CONTENTS
Page
ACKNOWLEDGMENTS
LIST OF TABLES vi
ABSTRACT x
Chapters
I INTRODUCTION 1
Purpose of the Study 3
Significance of the Study 4
Definition of Terms 6
II REVIEW OF THE LITERATURE 9
Self Actualization 9
Values 15
Theories of Psychological Health and
Optimal Functioning 18
Autonomy 2 8
Self-Concept 29
Sense of Mission 30
Humor 3 0
Physical Health 31
Creativity 31
Active States of Positive Health 33
Summary 3 4
III METHODOLOGY 38
Subjects 38
Instruments--Rationale 41
Instruments--Description 42
Procedures 4 9
Hypotheses 52
Data Analysis 54
IV RESULTS 55
V DISCUSSION OF RESULTS 83
Implications for Further Research 95
IV


TABLE OF CONTENTS
CONTINUED
Chapters Page
Summary 9 7
Conclusions 98
REFERENCES 99
APPENDICES Ill
Appendix A Do You Act or React? Ill
Appendix B Defining Trait Adjectives and
Description of High Scorers on Fifteen
Scales of the PRF, Form A 113
Appendix C Form E, Rokeach Dogmatism Scale . 117
Appendix D Abridged Means-End Problem
Solving Procedure 121
Appendix E Questionnaire Completed by Both
Groups 125
Appendix F Initial Contact Letter to Subjects. 128
BIOGRAPHICAL SKETCH 13 0
v


1
2
3
4
5
6
7
8
9
10
LIST OF TABLES
Page
Motivations and Gratifications of Self-
Actualizing People, Obtained through Their
Work as Well as in Other Ways 12
Two Illustrative Conceptions of Positive
Mental Health in Terms of Multiple
Criteria 18
The Fully Functioning Person as Described
by Carl Rogers 23
Analysis of Variance between Autoevolu
tionary and Modal Subjects as Measured
by the Achievement Scale of the PRF .... 56
Analysis of Variance between Autoevolu
tionary and Modal Subjects as Measured
by the Affiliation Scale of the PRF .... 56
Analysis of Variance between Autoevolu
tionary and Modal Subjects as Measured
by the Aggression Scale of the PRF 57
Analysis of Variance between Autoevolu
tionary and Modal Subjects as Measured
by the Autonomy Scale of the PRF 57
Analysis of Variance between Autoevolu
tionary and Modal Subjects as Measured
by the Dominance Scale of the PRF 58
Analysis of Variance between Autoevolu
tionary and Modal Subjects as Measured
by the Endurance Scale of the PRF 58
Analysis of Variance between Autoevolu
tionary and Modal Subjects as Measured
by the Exhibition Scale of the PRF 59
Analysis of Variance between Autoevolu
tionary and Modal Subjects as Measured
by the Harmavoidance Scale of the PRF ... 59
vi


LIST OF TABLES
continued
Number Page
12 Analysis of Variance between Autoevolu
tionary and Modal Subjects as Measured
by the Impulsivity Scale of the PRF 60
13 Analysis of Variance between Autoevolu
tionary and Modal Subjects as Measured
by the Nurturance Scale of the PRF 60
14 Analysis of Variance between Autoevolu
tionary and Modal Subjects as Measured
by the Order Scale of the PRF 61
15 Analysis of Variance between Autoevolu
tionary and Modal Subjects as Measured
by the Play Scale of the PRF 62
16 Analysis of Variance between Autoevolu
tionary and Modal Subjects as Measured
by the Social Recognition Scale of the
PRF 62
17 Analysis of Variance between Autoevolu
tionary and Modal Subjects as Measured
by the Understanding Scale of the PRF. ... 63
18 Analysis of Variance between Autoevolu
tionary and Modal Subjects as Measured
by the Infrequency Scale of the PRF 63
19 Analysis of Variance between Autoevolu
tionary and Modal Subjects as Measured
by the Rokeach Dogmatism Scale 64
20 Analysis of Variance between Autoevolu
tionary and Modal Subjects as Measured
by the Abridged Means-End Problem
Solving Procedure 65
21 Means, Standard Deviations and Ranges for
Autoevolutionary and Modal Subjects on
15 PRF Scales, the Dogmatism Scale and
the Abridged Means-End Test 66
22 Response Frequencies of Autoevolutionary
and Modal Subjects to the Statement:
I am a Religious Person 67
23 Response Frequencies of Autoevolutionary
and Modal Subjects to the Statement:
At Times, I Enjoy Being Alone 67
vii


24
25
26
27
28
29
30
31
32
33
34
35
LIST OF TABLES continued
Page
Response Frequencies of Autoevolutionary
and Modal Subjects to the Statement:
I am Capable of Forming Intimate Rela
tionships with Others 68
Response Frequencies of Autoevolutionary
and Modal Subjects to the Statement:
I Enjoy My Job, Profession or Vocation ... 68
Response Frequencies of Autoevolutionary
and Modal Subjects to the Statement:
I Have a Good Sense of Humor 69
Response Frequencies of Autoevolutionary
and Modal Subjects to the Statement:
I Have an Enjoyable Sex Life 69
Response Frequencies of Autoevolutionary
and Modal Subjects to the Statement:
I Enjoy Life 70
Response Frequencies of Autoevolutionary
and Modal Subjects to the Statement:
I Am a "Good" Person 7 0
Response Frequencies of Autoevolutionary
and Modal Subjects to the Statement:
I Enjoy Good Physical Health 71
Response Frequencies of Autoevolutionary
and Modal Subjects to the Statement:
I am a Dependent Person 71
Response Frequencies of Autoevolutionary
and Modal Subjects to the Statement:
I Usually Catch Colds, the Flu, etc 72
Response Frequencies of Autoevolutionary
and Modal Subjects to the Statement:
I am a Creative Person 72
Response Frequencies of Autoevolutionary
and Modal Subjects to the Statement:
I am an Optimist 7 3
Response Frequencies of Autoevolutionary
and Modal Subjects to the Statement:
I Enjoy Leading Other People 74
viii


LIST OF TABLES
continued
Number
36 Response Frequencies and Categories of
Response Given by Autoevolutionary and
Modal Subjects to the Question: What
Do You Like about Yourself?
37 Response Frequencies and Categories of
Response Given by Autoevolutionary and
Modal Subjects to the Question: What
Do You Dislike about Yourself? ....
38 Response Frequencies and Categories of
Response Given by Autoevolutionary and
Modal Subjects to the Question: How
Do You Think You Became the Type of
Person That You Are Now?
39 Response Frequencies and Categories of
Response Given by Autoevolutionary and
Modal Subjects to the Question: If You
Weren't Working at Your Present Job,
Profession, etc., What Other Job or
Profession Would You Be Engaged In?. .
40 Response Frequencies and Categories of
Response Given by Autoevolutionary and
Modal Subjects to the Question: If
You Do Any Volunteer, Public Service
Work, etc., Why Do You Do It?
Page
74
76
77
78
79
IX


Abstract of Dissertation Presented to the Graduate Council
of the University of Florida in Partial Fulfillment of the Requirements
for the Degree of Doctor of Philosophy
DIFFERENTIATING CHARACTERISTICS OF AUTOEVOLUTIONARY
AND MODAL PERSONS
By
William Joseph Weikel
August, 1975
Chairman: Richard H. Johnson
Major Department: Counselor Education
Autoevolutionary persons were defined as psychologi
cally healthy people who act upon the environment to effect
adaptive change. In addition, they strive to be fully-
functioning or self-actualizing persons. These persons
were identified in a community, based on the nominations
of their peers, for their high degree of community service.
Judges selected those nominees who appeared to exhibit a
great deal of community service and seemed psychologically
healthy. These people comprised the group of autoevolu
tionary subjects. A comparison group of modal or average
citizens was drawn from the same community and matched so
that the groups would be approximately equal in age. Both
groups completed the Personality Research Form, Rokeach
Dogmatism scale, Means-End Procedure and responded to a
number of experimental questions. Significant differences
were noted between the groups on four of the seventeen
measures: Order, Social Recognition, Understanding and
x


the quantitative measure of Means-End thinking. Differ
ences were discussed and suggestions were given for further
research in the area of positive psychological health.
xi


CHAPTER I
INTRODUCTION
Historically, helping professionals have concerned them
selves with individuals experiencing a wide range of develop
mental problems, maladjustments, neuroses, and psychoses.
Relatively few theorists or researchers have considered the
psychologically healthy personality ", .generalized
interest in the positive dimensions of psychological health
among psychologists and social scientists has arisen
largely in the last twenty (now thirty) years" (Puttick,
1964, p. 14).
Jahoda (1958) was among the first to offer concepts of
positive mental health and to suggest research strategies
to examine positive health. Maslow (1950) pioneered the
study of the super-healthy personality and postulated the
existence of "self-actualizing" people. Until his death in
1970, Maslow continued to study optimal functioning and
stimulated much research in this area. Landsman (1968)
defined the "beautiful and noble person" as a more exter
nally observable self-actualizing individual; a product of
positive experience. Others have presented theories of
positive mental health and optimal functioning including
Jourard (1959, 1964, 1968), Allport (1955, 1961), Yamamoto
(1966), Rogers (1961), Angyl (1952), Erikson (1959), Combs
1


2
and Snygg (1959), Combs (1962), Frankl (1960), Buber (1937,
1955), Drevdahl and Cattell (1958), and Puttick (1964).
These and others will be examined at length in Chapter Two.
The present thesis offers a new conception of positive
mental health and optimal functioning, based on a variety
of previous theories and the author's interpretation and
expansion of these ideas. The term coined to describe this
newly conceptualized individual is the "Autoevolutionary
Person."
The term "autoevolutionary" or "autoevolution" was
chosen over previously employed terms such as "self-
actualizing" (Maslow, Goldstein) or "beautiful and noble
person" (Landsman) because it more aptly describes the
qualities of the subjects chosen for study. Self-actualizing
was defined as "developing and fulfilling one's innate,
positive potentialities" (Wolman, 1973, p. 342); it is
basically an individual internal process. Terms such as
"fully-functioning" (Rogers, 1957, 1957, 1961) and the
"disclosed self" (Jourard, 1964, 1967, 1968) also stressed
an internal process of growth and optimal functioning.
Landsman's (1968) "beautiful and noble person" is a
more external, observable state, including "how the person
is perceived by others" (1968, p. 15) and a "joyful,
passionate relationship with his environment" (1968, p. 16),
as well as other criteria listed by theorists such as
Maslow, Jourard and May.
The autoevolutionary person is seen in two distinct


3
ways. When the "auto" or self is considered in a constant
state of change, growth or evolution, the concept is akin
to Roger's "fully functioning person," Maslow's "self-
actualizing" person, and Landsman's "beautiful and noble
person." It is in the second sense of the word that
differences from previous conceptions of positive mental
health become apparent. In this sense, the "auto," self
or person acts upon the external environment (persons,
things, etc.) in an attempt to effect adaptive change.
These persons are seen as actively directing the evolution
of their species, by acting upon the environmental structure
to which the species will eventually react. These actions
could be improving a neighborhood park so that children
have a healthier environment in which to play and grow, or
by acting (with love, openness, honesty, etc.) rather than
reacting to other people (See "Do You Act or React,"
Appendix A). Levels of autoevolutionary development may
range from very low to very high. The concept of auto
evolution is examined in-depth later in this chapter.
Purpose of the Study
The purpose of the study was to identify autoevolu
tionary persons in a community and to compare these persons
to average or "modal" functioners in the same community.
Specific research questions were:
1. Are those persons selected by judges for their
high degree of community service also "fully
functioning" and psychologically well-adjusted


4
as measured by standard personality inventories;
thus justifying the use of the term "autoevolu
tionary?"
2. What psychological traits or constructs distinguish
the autoevolutionary person from the modal perfor
mer and in what quantitative and qualitative ways
do they differ in these traits?
3. What demographic and experential variables are
significantly different between the two groups?
Significance of the Study
In the late sixties and early seventies, thousands of
"normal" people have flocked to various encounter, growth
or enrichment groups. Obviously, something beyond society's
stamp of "normality" is desired by these people. By study
ing the optimal functioners among us, it may be possible
to determine how they reached this state, and if we so
desire, develop pathways for others to increase their func
tioning. Landsman (1968) feels that "the study of man's
best self is the proper study of mankind" (p. 15). Landsman
has pointed out "wishes" that may be fulfilled by studying
man's best self. They include restoring abnormal and mal
adjusted persons not only to normality, but to a higher
state in which they may realize their full potential;
discovering the developmental process which fosters growth
into the beautiful, self-actualizing or autoevolutionary
person so that we may offer this to our children; and,
finding the therapies or experiences which will facilitate
the transition of normal adults into the state of optimal
functioning.


5
Smith (1959) felt that we needed specific guidelines
to distinguish whether the values associated with positive
mental health differed from those held by the average
citizen. In justifying the study of positive health,
Smith wrote, "For the institutional psychiatrist still
baffled by the treatment of gross mental disease (cf,
Barton in Jahoda, 1958, p. 111-119), there is no problem
here: mental health, for his practical purposes, is the
absence of flagrant mental illness. .but the parent, the
teacher, the psychological counselor can hardly avoid
concern with the positive end of the spectrum" (p. 674).
Another aspect is that autoevolutionary persons, like
Maslow's (1967b) "metamotivated" persons are seen as trans
cending the work-play dichotomy and deriving tremendous
stimulation and enjoyment from their particular vocation.
They identify with the job and utilize it as a source of
self-definition. By studying the person in relation to the
job, it may be possible to gain valuable insights applicable
to vocational counseling, career development, rehabilitation
counseling, and vocational adjustment.
Finally, if we consider Maslow's (1969d) adoption of
the term "growing-tip"--the tip of the plant where the
greatest genetic action is taking place--and consider the
optimal functioner as our species growing tip, we will have
some idea of human capabilities and our evolutionary future.
By nurturing the conditions that are growth fostering in
the internal and external environment, we can, if so


6
desired, approach the level of optimal functioning. Maslow
explained his rationale for studying the actualization of
the highest human potential:
If we want to answer the question how tall can
the human species grow, then obviously it is
well to pick out the ones who are already tallest
and study them. If we want to know how fast a
human being can run, then it is no use to average
out the speed of a "good sample" of the population;
it is far better to collect Olympic gold medal
winners and see how well they can do. If we want
to know the possibilities for spiritual growth,
value growth, or moral development in human beings,
then I maintain that we can learn most by studying
our most moral, ethical or saintly people (1969d,
p. 726).
That we have failed in the past to study those who
approach human nature's farthest reaches has been stressed
by Maslow:
Even when "good specimens," the saints and the
sages and great leaders of history, have been
available for study, the temptation too often
has been to consider them not human but super-
naturally endowed (1969d, p. 726).
Definition of Terms
Autoevolution
The autoevolutionary person is seen primarily in two
ways. First, as "auto" or self evolvers, they act upon the
external environment to modify it. This gives them a
favorable medium with which to react. In other words, if
autoevolutionary persons are to live in a particular
society, country, family, etc., they will act upon and
influence that unit to make it the best possible unit,
knowing that the environmental structure will powerfully


7
influence all of its members. By shaping the environment,
these persons in turn shape their own destiny as evolving,
reacting residents within that environment.
In the second sense of the word, the auto or self is
constantly evolving or in flux. It is a dynamic, ever-
changing, risk-taking self, seeking adaptive evolutionary
change. The self in this sense is very similar to Roger's
(1957, 1959, 1961) "fully-functioning person," and Maslow's
self-actualizing persons. These people are open to
experience, tolerant of ambiguity and possess confidence
and trust in the self. The autoevolutionary process like
the self-actualizing process is never complete:
. .(it) is a self-perpetuating, ongoing and
never finished process. .each new involvement
of the self begets further involvement. .a
person is never "self-actualized" but is always
in the process of finding new goals and new
expression. .to paraphrase Shakespeare, self-
actualization is. .as if increase of appetite
grows by what it feeds on (Rush, 1969, p. 19).
The autoevolutionary person is constantly assimilating and
accommodating experiences in the sense described by Piaget
(1950) and. is becoming an "active master of his environ
ment" (Yamamoto, 1966, p. 601).
Modal Functioners
The term "modal" was chosen for this study rather than
"average" or "normal" to avoid the confusion that often
accompanies these terms. Duncan (1970) said, "normal
implies that anything above or below it is abnormal" and
that average "has a rather negative connotation" (p. 20).


8
Modal functioners are defined as those who function on
the same level as most others in a particular setting. The
statistical use of the term mode is "the score on a set of
scores that occurs most frequently" (Glass £ Stanley, 1970,
p. 58). Translating this into actual behavioral terms, the
modal person is the one who behaves as most others do in a
particular setting. This person is representative of the
"norms" for a particular group. A modal airline pilot may
be one who originally began as a combat flyer, is 44 years
old, flies 12,500 miles in a nine-day period, is divorced
and drinks scotch. The closer a person is to these norms,
the more he/she approaches the definition of the modal
person. Because of individual differences, a true "modal
person" is unlikely. Most persons are better in some areas
and are weaker or score lower on others, but their overall
profile appears modal.


CHAPTER II
REVIEW OF THE LITERATURE
Self-Actualization
For many years, the most prominent theorists in the
field of positive psychological health and optimal func
tioning was Abraham H. Maslow. He outlined the many
aspects of positive functioning: motivation, self-actuali
zation, values, needs, cognition, creativity, peak
experience, religion, transcendent functioning and others.
A complete bibliography of Maslow's related work appears
in the reference section.
Central to Maslow's theories was the existence of a
need hierarchy, a progressive series of needs that must be
satisfied in ascending order, before one could progress to
the higher need. Maslow called these "deficit needs" and
"growth needs." He used the term "self actualizing" to
describe high-level functioners who had satisfied the
deficit needs and were expanding and exploring the possi
bilities of the true self (1950, 1962a, 1962b). This was
a redefinition of the term, since Goldstein (1940) had used
it to describe the motivation basic to man. In Goldstein's
sense
. .a goal of such outgoing, exploring, and adjus-
tive activity is self-actualization--the fullest,
9


10
most complete differentiation and harmonious blend
ing of all aspects of mans total personality, the
realization of inherent potentialities CFuerst,
1965, p. 2),
Goldstein felt that it was "any gratification, whether it
be a hungry person eating or an ignorant person's quest
for knowledge" (Rush, 1969, p. 17).
Maslow saw the self-actualizing process as more of an
internal, growth-oriented phenomena. A self-actualizing
person has
. .an inner compulsion to integrate his interests,
talents and abilities to the point that he works
toward becoming what he must become. .similar
to Nietzche's admonition "Be what thou art!"
(Rush, 1969, p. 19).
Jung (1935) called this the "individualization process"
or the attainment of the true self. Maslow felt that the
self-actualizing process was self-perpetuating. Fuerst
(1965) gave the example of a college professor who was
economically secure, had tenure and yet worked himself sick
for the sake of his research:
Hard work, once a means to an end, becomes an end
in itself. What now is motivating him was at
first instrumental to some other end, that is
to some earlier motive (p. 4).
Self-actualizing individuals were seen as no longer
motivated by the basic needs. Maslow (1967, 1971) postu
lated that they had "meta-needs" and were "meta-motivated."
He wrote:
It is therefore convenient to call these higher
motives and needs of self-actualizing persons by
the name "meta-needs" and also to differentiate
the category of motivation from the category of
"meta-motivation". . .Meta-motivation now
seems not to ensure automatically after basic


11
need gratification. One must speak also of the
additional variable of "defenses against meta
motivation". .it may turn out to be useful to
add to the definition of the self-actualizing
person, not only (a) that he be sufficiently
free of illness, (b) that he be sufficiently
gratified in his basic needs, and (c) that he
be positively using his capacities, but also
(d) that he be motivated by some values which
he strives for or gropes for and to which he is
loyal (1971, p. 301).
Maslow saw self-actualizing people as being dedicated to
some task, call, vocation or beloved work outside of them
selves (1971, p. 300). In their vocation, they transcend
the dichotomy of work and play; things such as wages,
vacations and hobbies are defined at higher levels. Maslow
described the metamotivated self-actualizer in the work
setting:
This person is the best in the world for this
particular job, and this particular job is the
best job in the whole world for this particular
person and his talents, capacities and tastes.
He was meant for it, and it was meant for him
(1971, p. 304).
These people use their work as a source of self-definition
and identify strongly with their vocation; they embody the
values of a particular job, rather than the job itself.
Maslow felt that if these values could be identified and
examined, a greater understanding and improvement of the
species would be possible. Intrinsic reinforcers such as
peak experiences (high level positive human experiences)
are the pay-offs that make even routine aspects of a job
or task worthwhile.
Maslow (1967, 1971) translated these reinforcers into
a series of subjective values and states of being (see


12
Table 1). The majority of people are motivated by defi
ciency or neurotic needs, or a combination of these, but it
is possible that all persons are metamotivated and less
basic need motivated than the average person (1971, p. 315).
Maslow (1967, 1971) said, "The closer to self-actualizing,
to full-humanness, etc., the person is, the more likely I am
to find that his 'work1 is metamotivated rather than basic-
need motivated" (1971, p. 310).
TABLE 1
MOTIVATIONS AND GRATIFICATIONS OF SELF-ACTUALIZING
PEOPLE, OBTAINED THROUGH THEIR WORK AS WELL AS IN OTHER WAYS.
(THESE ARE IN ADDITION TO BASIC-NEED GRATIFICATIONS.)
Delight in bringing about justice.
Delight in stopping cruelty and exploitation.
Fighting lies and untruths.
They love virtue to be rewarded.
They seem to like happy endings, good completions.
They hate sin and evil to be rewarded, and they hate people
to get away with it.
They are good punishers of evil.
They try to set things right, to clean up bad situations.
They enjoy doing good.
They like to reward and praise promise, talent, virtue, etc.
They avoid publicity, fame, glory, honors, popularity,
celebrity, or at least do not seek it. It seems to be not
awfully important one way or another.
They do not need to be loved by everyone.
They generally pick out their own causes, which are apt to
be few in number, rather than responding to advertising
or to campaigns or to other people's exhortations.
They tend to enjoy peace, calm, quiet, pleasantness, etc.,
and they tend not to like turmoil, fighting, war, etc.
(they are not general-fighters on every front), and they
can enjoy themselves in the middle of a "war."
They also seem practical and shrewd and realistic about it,
more often than impractical. They like to be effective
and dislike being ineffectual.


Table 1
continued
Their fighting is not an excuse for hostility, paranoia,
grandiosity, authority, rebellion, etc., but is for the
sake of setting things right. It is problem-centered.
They manage somehow simultaneously to love the world as it
is and to try to improve it.
In all cases there was some hope that people and nature and
society could be improved.
In all cases it was as if they could see both good and evil
realistically.
They respond to the challenge in a job.
A chance to improve the situation or the operation is a big
reward. They enjoy improving things.
Observations generally indicate great pleasure in their
children and in helping them grow into good adults.
They do not need or seek for or even enjoy very much flat
tery, applause, popularity, status, prestige, money,
honors, etc.
Expressions of gratitude, or at least of awareness of their
good fortune, are common.
They have a sense of noblesse oblige. It is the duty of
the superior, of the one who sees and knows, to be patient
and tolerant, as with children.
They tend to be attracted by mystery, unsolved problems, by
the unknown and the challenging, rather than to be
frightened by them.
They enjoy bringing about law and order in the chaotic
situation, or in the messy or confused situation, or in
the dirty and unclean situation.
They hate (and fight) corruption, cruelty, malice, dis
honesty, pompousness, phoniness, and faking.
They try to free themselves from illusions, to look at the
facts courageously, to take away the blindfold.
They feel it is a pity for talent to be wasted.
They do not do mean things, and they respond with anger
when other people do mean things.
They tend to feel that every person should have an oppor
tunity to develop to his highest potential, to have a
fair chance, to have equal opportunity.
They like doing things well, "doing a good job," "to do well
what needs doing." Many such phrases add up to "bringing
about good workmanship."
One advantage of being a boss is the right to give away the
corporation's money, to choose which good causes to help.
They enjoy giving their own money away to causes they
consider important, good, worthwhile, etc. Pleasure in
philanthropy.
They enjoy watching and helping the self-actualizing of
others, especially of the young.
They enjoy watching happiness and helping to bring it about.
They get great pleasure from knowing admirable people
(courageous, honest, effective, "straight," "big,"


14
Table 1 continued
creative, saintly, etc.). "My work brings me in contact
with many fine people."
They enjoy taking on responsibilities (that they can handle
well), and certainly don't fear or evade their responsibi
lities. They respond to responsibility.
They uniformly consider their work to be worthwhile, impor
tant, even essential.
They enjoy greater efficiency, making an operation more
neat, compact, simpler, faster, less expensive, turning
out a better product, doing with less parts, a smaller
number of operations, less clumsiness, less effort, more
foolproof, safer, more "elegant," less laborious.
(Maslow, 1971, pp. 308-309)
Landsman (1967) presented the concept of "one's best
self." He defined this as "an individual's functioning on
the highest levels of his uniquely human characteristics"
(p. 37). Landsman expanded the concept of self-actualiza
tion and stressed the ability of the person to engage in
meaningful human relationships.
In addition to intelligence, productivity and talent
actualization, such functioning includes sensiti
vity, warmth, skill in human relationship, courage,
kindness, gentleness, and the capacity to help in
conflict resolution or to help in general (1967,
p. 37) .
Landsman and his students (Puttick, 1964; Privette, 1964;
Duncan, 1970) extended Maslow's studies of "peak experience"
by examining how people dealt with positive, and later
negative, experience. Generally, high functioners, no
matter what label was applied to them, were found to be the
product of constructive use of positive experience. Maslow
(1971) agreed that a greater number of peak experiences
characterized "transcenders" from "merely healthy people"
(p. 283).


15
Values
Smith (1959, 1961) has pointed out that any discussion
or theory of positive mental health necessarily involves
values. He recognized that the healthy person was more than
"average." "Averageness is surely a far cry from optimal
functioning, however we are to define it. ." (1959, p.
673). Smith reasoned that although the "mean" or statis
tical average is value-free, it is useless. He called for
guidelines in identifying the values that we deem "healthy."
The criteria used must be "measurable, or inferred from
behavior, articulate with a personality theory, and relevant
to the social context of the group under investigation"
(1961, pp. 304-305.)
Jahoda (1958) recognized the "value dilemma." The
assertion that a certain set of values or attributes are
present in psychological or mental health implies that they
are "good." Jahoda asked,
Good for what? Good in terms of middle class
ethics? Good for democracy? For the continuation
of the social status quo? For the individual's
happiness? For survival? For the development of
the species? For the encouragement of genius or
of mediocrity and conformity? (1958, p. 77).
Jahoda questioned the influence of culture and social class
values on those who define criteria of positive health.
Smith (1959) cited Maslow's (1950) historical list of self-
actualizing figures such as Lincoln, Jefferson, Thoreau,
and reviewed the "distinguishing characteristics" of these
people as listed by Maslow:


16
A more efficient perception of reality; acceptance
of self, others and nature for what they are; spon
taneity; problem-centeredness rather than ego-
centeredness; the quality of detachment with a
need for privacy; autonomy in relation to culture
and environment; freshness rather than stereotypy
of appreciation; openness to mystical experiences,
though not necessarily religious ones; identifica
tion with mankind; capacity for deep intimacy in
relations with others; democratic attitudes and
values; strong ethical orientation that does not
confuse means with ends; philosophical rather than
hostile sense of humor; creativeness (Smith, 1959,
p. 675).
Smith felt that rather than providing evidence for a self-
actualizing syndrome, Maslow described to us his values and
preferences and the types of people whom he admired.
Jahoda (1958) realized that mental health values are
a complex issue beyond simplistic definitions of "good"
and "bad." She felt that a person could be positively
evaluated in many areas yet not be mentally healthy.
Determining the values or criteria for mental health was
not the sole responsibility of professionals: "politicians,
humanists, natural scientists, philosophers, the man in the
street, and the mental health expert must jointly shoulder
the responsibility" (Jahoda, 1958, p. 80).
Landsman (1967) pointed out that two value judgments
are involved in the conception of "one's best self" as a
psychologically healthy person: "one as judged by social
or sub-cultural values and another as judged by personal
values" (p. 38). Landsman feels that there also exists a
third criterion, that of "universal values." He stated:
I innocently presume that these do exist, can be
determined, measured, are to be cherished, and


17
are illustrated (by those). .whose functioning
wins immediate, adequately universal approval by
all cultures, though not necessarily by all
persons (pp. 38-39).
Rogers (1964) as well as Landsman (1967) defended the
existence of universal values and felt that different
cultures agree that ". .murder, theft and cowardice
are bad and that kindness, courage and sensitivity are
good" (1967, p. 39). Rogers (1964) felt that the values
held by the "fully-functioning" person would be consistent
with that which was best for the individual, society and
ongoing evolution (Puttick, 1964, p. 16). Fromm (1947),
May (1961) and Maslow (1959) also supported the idea of
universal values.
Jahoda (1958) stated that no consensus of criteria
for positive mental health had been established. Knutson
(1963) elaborated on the many difficulties such as the
value question, that hinder research in positive health.
In a review of the literature (1958) Jahoda presented six
major categories to be investigated in the quest of posi
tive mental health: 1) Attitudes of an individual toward
his own self; 2) Degree of growth, development, or self-
actualization; 3) Integration (synthesizing psychological
function); 4) Autonomy; 5) Perception of reality; and 6)
Environmental mastery (1958, p. 23). Table 2 compares
Jahoda's concepts with Allport's (1960) proposals; it is
rearranged to bring out "correspondences and discrepancies
in the two lists" (Smith, 1961, p. 299).


18
TABLE 2
TWO ILLUSTRATIVE CONCEPTIONS OF POSITIVE MENTAL
HEALTH IN TERMS OF MULTIPLE CRITERIA
JAHODA (1958)
ALLPORT (1960)
self-objectification
ego-extension
unifying philosophy of
life
realistic coping skills,
abilities, and perceptions
warm and deep relation of
self to others
compassionate regard for
all living creatures
NOTE: Rubrics rearranged to bring out parallels.
(Smith, 1961, p. 300)
Theories of Psychological Health and Optimal Functioning
Landsman (1967) presented a group of factors from
research and hypothesized their role in optimal functioning.
Among these factors were: solitude during the functioning;
a foundation of early positive human experience; the avail
ability of a helping person during episodes of negative
experience and a sense of yearning. Landsman also hypo
thesized that "one can learn to be or not to be one's best
self (ennoblement), and that the worst and the best can
reside in the same self" (1967, p. 41).
attitudes toward the self
growth and self-
actualization
integration
autonomy
perception of reality
environmental mastery


19
Privette (1964) analyzed factors which were present in
instances of high-level functioning which she called "trans
cendent functioning." Present in the majority of trans
cendent episodes were: 1) Clear focus upon self and object
and the relationship between self and object; 2) Determina
tion to excel or achieve; 3) Awareness of other persons in
a positive sense; 4) Intense involvement or commitment;
5) Spontaneous expression of force and power; 6) Response
to the demands of a significant person (Privette, 1964;
quoted by Landsman, 1967, p. 42). Privette added "it
seems likely that physical, psychological and social well
being could free a person to function efficiently" (1964,
p. 23).
Puttick (1964) identified the top ten percent of extra
ordinary, psychologically healthy women in a teachers
college. He listed the factors discriminating the highest
group from the lowest ten percent as: 1) Zestful joy in
living; 2) Relaxed non-pretentiousness; 3) Guileless
autonomy; 4) Objectified self-knowledge; 5) Spontaneity;
6) Trust in inner self; 7) Capacity for intimacy; and 8)
Sense of mission (1964, p. 153). The lowest ten percent
were discriminated by: 1) Limited self-knowledge; 2)
Reserved joyfulness; 3) Absence of sense of mission; 4)
Self-facade; 5) Introverted self-concern; 6) Independence
(pseudo-autonomy); and 7) Meticulousness (1964, p. 156).
Puttick concluded that:
. .the subjects in the two groups were two very
different kinds of people. They seemed to view


20
the process of living from two very different
frames of reference. Their attitudes toward
self, others, and the world seemed quite dis
parate (1964, p. 157).
Puttick found that the absence of neuroticism does not
mean the presence of positive mental health, although it
may be a necessary prerequisite. Puttick said that "mental
health and psychopathology, as they were defined in (his)
study may represent two different continua" (1964, p. 160).
Duncan (1970) also proposed separate continua for extreme
psychological health and normality/pathology.
Otto (1967) held the idea that
. .the average healthy individual is functioning
at 10 percent or less of his capacity, actualizing
our possibilities can become a joyous and
exciting journey which adds both new depth and
new meaning to our existence (p. 50).
Maslow, Murphy, Fromm, Rogers, Mead, Rhine and others also
held this view. Otto felt that psychologists, psychia
trists and social workers needed to study healthy people and
optimal functioning. To stress the lack of concern of psy
chologists in studying psychological health, Otto surveyed
the American Psychological Association's 1966 list of
program presentations. Of 2,140 individual presentations
that year, less than one-half of one percent were related
to fostering growth or health in normal individuals.' Otto
(1966, 1967) nurtured the actualizing process by concen
trating on the following areas: 1) Creating sustained
interest; 2) Enlarging self-concept and enhancing self-
image; and 3) Encouraging an assessment of values and life


21
goals (1967, pp. 50-51). For Otto, man was "a continuous
act of self creation" and that "genuine pleasure becomes a
major fulcrum in creative self-realization" (1967, p. 54).
People fail to grow and actualize by being trapped in
"pseudo-pleasures" and avoiding new experiences and ideas.
They prefer to continue in the ever deepening rut
of their habit-dominated existence. .a habit is
a rut which a person digs progressively deeper
until it reaches the depth of six feet, at which
time it becomes a grave with the ends knocked out
(Otto, 1967, p. 51).
Otto (1962) worked with "normals" as a "strength-seeker,"
persuading them to invest themselves in a planned, syste
matic way towards the task of actualizing.
Erickson (1959) saw a sense of identity as a prerequi
site to psychological health. He emphasized that "ego-
integration" is necessary before intimate relationships
with others can develop. Like Maslow, Erickson too stressed
the importance of healthy sexual relationships which he
termed "orgiastic potency." This term implies:
The capacity for full, heterosexuality maturity
involving complete genital sensitivity and an
overall discharge of tension. This discharge of
tension includes not only physical tension but
something more; it includes transcendance of all
potentially frustrating (tension producing)
opposites such as male and female, fact and fancy,
work and play, etc. Orgiastic potency, in the
sense described, is the indicator of mature ego
integration (Puttick, 1964, p. 19).
Rogers (1959) used the term "fully functioning person" in
describing "perfect adjustment." This person was described
. .person in process, a person constantly chang
ing. .specific behaviors cannot in any way be
as a:


22
described in advance. The only statement which
can be made is that the behaviors would be ade
quately adaptive to each new situation, and that
the person would be continually in a process of
further self-actualization. .fully functioning
person is synonymous with optimal psychological
maturity, complete congruence, complete openness
to experience, complete extensionality, as these
terms have been defined (Rogers, 1959, quoted in
Sahakian, 1969, p. 179).
Rogers' "ultimate hypothetical person" is synonymous with
"the goal of social evolution" (Sahakian, 1961, p. 177).
Table 3 describes in detail Rogers' "fully functioning
person." Jahoda (1958), Combs and Snygg (1959), Scachtel
(1959) and others have stressed that the idea of openness,
as outlined as Rogers, is central to a concept of healthy
functioning.
Frankl (1958, 1962) discussed man's "will to meaning."
The healthy individual is one who has found meaning in life
and can survive life's challenges. The person who experi
ences a lack of meaning is in a "state of inner emptiness"
or the "existential vacuum." Frankl's therapeutic approach,
termed "logotherapy," helped man find meaning in existence.
By fulfilling this meaning the person actualized:
. .as many value potentialities as possi
ble. . .In short, man is motivated by the will
to meaning. . .Man's search for a meaning is
not pathological, but rather the surest sign of
being truly human (Sahakian, 1969, p. 229).
By "self-transcending" or rising above the biological and
psychological foundations of existence, a person can
realize the essence of experience, the "specifically human
mode of being" (p. 230). Frankl saw self-actualization as
a by-product of self transcendence.


23
TABLE 3
THE FULLY FUNCTIONING PERSON AS DESCRIBED
BY CARL ROGERS
A. The individual has an inherent tendency toward actuali
zing his organism.
B. The individual has the capacity and tendency to symbo
lize experiences accurately in awareness.
1.A corollary statement is that he has the capacity
and tendency to keep his self-concept congruent
with his experience.
C. The individual has a need for positive regard.
D. The individual has a need for positive self-regard.
E. Tendencies A and B are most fully realized when needs
C and D are met. More specifically, tendencies A and
_B tend to be most fully realized when
1. The individual experiences unconditional positive
regard from significant others.
2. The pervasiveness of this unconditional positive
regard is made evident through relationships marked
by a complete and communicated empathic understand
ing of the individual's frame of reference.
F. If the conditions under E are met to a maximum degree,
the individual who experiences these conditions will be
a fully functioning person. The fully functioning
person will have at least these characteristics:
1. He will be open to his experience.
a. The corollary statement is that he will exhibit
no defensiveness.
2. Hence all experiences will be available to awareness.
3. All symbolizations will be as accurate as the
experiential data will permit.
4. His self-structure will be congruent with his
experience.
5. His self-structure will be a fluid gestalt, changing
flexibly in the process of assimilation of new
experience.
6. He will experience himself as the locus of evaluation,
a. The valuing process will be a continuing
organismic one.
7. He will have no conditions of worth.
a. The corollary statement is that he will
experience unconditional self-regard.
8. He will meet each situation with behavior which is
a unique and creative adaptation to the newness of
that moment.
9. He will find his organismic valuing a trustworthy
guide to the most satisfying behaviors, because
a. All available experiential data will be avail
able to awareness and used.


24
Table 3 continued
b. No datum of experience will be distorted in, or
denied to, awareness.
c. The outcomes of behavior in experience will be
available to awareness.
d. Hence any failure to achieve the maximum possi
ble satisfaction, because of lack of data, will
be corrected by this effective reality testing.
10. He will live with others in the maximum possible
harmony, because of the rewarding character of
reciprocal positive regard. . .
(Sahakian, 1969, pp. 178-179)
Existential theorists often wrote of higher states of
functioning. Existential psychotherapy grew largely from
the work of Heidegger and Kierkegaard. The unique state
postulated by them was termed Dasein. Authentic existence
is the state of the healthy individual. The structures of
human existence have been outlined by Kierkegaard:
Man is not a ready made being; man will become
what he makes of himself and nothing more. Man
constructs himself through his choices, because
he has the freedom to make vital choices, above
all the freedom to choose between an inauthentic
and authentic modality of existence. Inauthentic
existence is the modality of who lives under the
tyranny of the plebs (crowd). Authentic existence
is the modality in which a man assumes the respon
sibility of his own existence. In order to pass
from inauthentic to authentic existence, a man
has to suffer the ordeal of despair and "exis
tential anxiety," i.e. the anxiety of a man facing
the limits of this existence with its fullest
implications: death, nothingness. This is what
Kirkegaard calls the sickness unto death (Ellen-
berger, 1958, paraphrased in Sahakian, 1969, p.
253 ) .
Buber (1937, 1955) saw higher levels of existence present
in the "I-Thou" relationship, an intimate mature relation
ship. He contrasted this in later writings (1958) to the


25
"I-It" relationship, a shallow, deceptive mode of relating.
Buber spoke of the
. .importance of self differentiation as a pre
requisite to the capacity for relating in the I-
Thou manner. This differentiation involves "experi
encing" self and "using" self in the process of
living (Puttick, 1964, p. 32).
In surveying Buber's work, Puttick (1964) added:
Buber seems to be saying that essential encounters
with others both foster self-differentiation or
identity and also enable self-transcendence. Self-
identity and the I-Thou relationship are both
necessary to abundant living, but the relating is
the key (p.3 2).
Conrad (1952) differentiated positive mental health
or transcendent existence from non-health or ordinary
existence. Her criteria for positive health stressed
social relationship factors including mutual cooperation,
a deep, intimate and positive relationship and altruistic
behavior.
Dunn (1957, 1959) also discussed health, non-health,
and "high-level wellness." Dunn defined high-level well
ness as "a dynamic, integrated mode of functioning which
is oriented toward maximizing the potential of the indi
vidual" (Puttick, 1964, p. 34). Dunn also defined another
well state which he defined as absence of sickness, a dull
unproductive way of life. Leach (1962), like Dunn, Maslow
and Landsman, felt that a person attained high-level well
ness through positive or peak experiences. Lack of positive
experience will not trigger lower functioning but will
prevent the development of optimal functioning. Fiske and
Maddi (1961) stressed the importance of a variety and


26
diversity of experience in attaining psychological health,
while Thorne (1963) classified peak experience into six
categories. Landsman (1961) wrote". .we have opened the
hidden half of the adjustment continuum, the realm of posi
tive experience" (p. 43). Landsman (1968) found that
nearly one-half of the significant positive experiences
reported by subjects were interpersonal ones. Duncan (1970)
reported "a direct relationship between life experiences
and the level of mental health" (p. 18).
Jourard (1958a, 1959, 1964, 1967, 1968) felt that the
healthy person must be able to self-disclose and to be
"transparent" to both the self and to others. Through deep
relationships marked by openness, the person enjoys
heightened perception and a richer sense of experiencing.
The transparent person was seen as a truly authentic person,
free from the sham and facade that marks a less-open rela
tionship or encounter.
The Rogers-Dymond Group (1954) demonstrated a relation
ship between positive self-concept and positive levels of
adjustment in the majority of the cases that they studied.
Chordorkoff (1954a, 1954b), Hanlon, Hoffstaetter and
O'Conner (1954) and Lepine and Chordorkoff (1955) have all
found an empirical relationship between emotional adjust
ment and congruence of attitudes between the real and ideal
self. Using a wide variety of measures of adjustment, all
researchers reported positive correlations between optimal
adjustment and high levels of congruence. In summarizing
these groups of studies, Puttick (1964) wrote:


27
The experience of self-adequacy and congruence or
self-integration, it seems, can be considered as
empirically derived criteria for positive mental
health. .it appears from the evidence that the
ability to accept the self is a prerequisite to
accepting and respecting other people. .(and)
that efficiency in living has something to do with
the efficiency with which the self is conceptua
lized (pp. 36-37 ) .
Norrell and Grater (1960) found a relationship between
accurate self-concept and realistic vocational choice.
Maslow's (1967) "metamotivated persons" were partially
defined as being the best persons for their particular jobs
and vice versa. Sheerer (1949), Conrad (1952) and Vargas
(1954) all supported the idea that self-acceptance is related
to respect and acceptance of others. Similar results have
been reported in a variety of research studies.
Fromm (1956) talked of the importance of love and the
ability to love in establishing "productive" life orienta
tion. All forms of love were seen as implying "care, respon
sibility, respect and knowledge" (1956, p. 26). Landsman
(1961) also stressed the importance of "one person caring
for another" in a relationship; for him, this was the
essence of the relationship.
Allport (1937, 1950, 1955, 1957) saw the attainment of
psychological health as a process of "becoming." He out
lined the two tendencies that are in conflict within a
person.
The first is "self-objectification" described as
"that peculiar detachment of the mature person
when he surveys his own pretentions and objectives
for himself, his own equipment in comparison with
the equipment of others and his opinion of himself
in relation to the opinion others hold of him."


28
The other tendency is "self-extension" which is
defined as "losing oneself in relations with others
and with the outside world." A healthy mature
person will integrate these conflicting tendencies
through "a unified system of ideals and goals which
constitutes the 'proprium,' the central charactero-
logical core of the individual" (Allport, 1937, pp.
213-214 in Puttick, 1964, p. 27).
Herzberg (1959, 1961, 1966) has talked of lower and
higher needs in the sense presented by Maslow. The lower
or "hygiene needs" are satisfied by man as "Adam." "Adam"
or man in a state of low level functioning strives to avoid
harm or unhappiness. Man as "Abraham" represents the
innate potential and possibilities of actualization. Herz
berg saw man as both Adam and Abraham, striving to satisfy
the needs of both natures. Rush (1959) wrote "man is
endowed with a nature that impels him to utilize and ful
fill his capabilities toward accomplishment" (p. 23).
Autonomy
Certain traits such as autonomy and creativity are
cited by many theorists of optimal functioning. Hartmann
(1951) saw autonomy as a healthy aspect of personality. He
conceptualized it as a motive or drive toward independence
from the environment, which enabled the individual to
regulate actions from within, rather than bowing to social
anxieties or pressures (Puttick, 1964, p. 18). Riesman,
Glazer and Deeny (1950) talked of the "autonomous person"
and the choice between social conformity and independence.
Angyl (1952) described the well integrated person in terms
of "self-determination" (autonomy) and "self-surrender."


29
Puttick (1964) added:
The healthy individual both actively organizes his
environment and, at other times, willingly submits
to the world. He can and should be both indepen
dent and dependent (p. 18).
Foote and Cottrell (1955) like Erikson (1959) stressed the
need for individual identity in mental health; they asso
ciated this concept of identity with both autonomy and
empathy. It seems that a certain level of autonomy is
crucial to optimal functioning and that the person must
know how and when to act in an autonomous manner.
Self-Concept
Combs and Snygg (1959) have described the psychologi
cally healthy or "adequate" person as one with a positive
self-concept. Murphy (1958), Moustakas (1956) and Rogers
(1959) are among the many who noted the importance of posi
tive self-attitudes in the development and maintenance of
a healthy personality. Just as a person may use a negative
experience as a source of growth or change, so too may
negative aspects of the personality be used as stimuli for
self-improvement. Although some aspects of the personality
may be negative, the healthy individual has an overall sense
of well-being and psychological health. Combs (1959) felt
that:
The healthy person who sees himself as generally
adequate is not easily threatened and can afford
to gamble, take risks, and move out toward others
and the world, because he is not threatened by
feelings of inadequacy. .he can seek self
enhancement in relationships and activities rather
than having to devote his energies to careful
maintenance of his self-organization (Combs, 1959,
quoted in Puttick, 1964, p. 20).


30
Shostrom (1964) developed the Personal Orientation
Inventory (POI), which purports to measure self-actualiza
tion. Shostrom agreed that the self-actualizing person
can accept negative aspects of the personality, such as
anger and lust, and integrate these negative aspects succes-
fully into the total personality. Low functioners were
seen as failing to make full use of the self, by rejecting
as foreign, certain aspects of their personalities.
Solitude
Maslow often spoke of the need for solitude in self-
actualizing people. Moustakas (1961) termed this solitude
"existential loneliness" and saw this as an opportunity for
the person to re-charge, by getting in touch with the inner
self. Landsman (1967) said that the opportunity for soli
tude in episodes of high functioning is "more facilitative
(to being one's best self) than the presence of cheering-on
of others, even of the important others" (p. 41).
Sense of Mission
Maslow (1967, 1971), Landsman (1967), Privette (1964)
and Puttick (1964) have all postulated that high functioners
possess a sense of devotion, mission, commitment or a
yearning towards some calling or vocation. Privette (1964)
found "intense involvement and commitment" as an important
factor present in spisodes of transcendent functioning.
Humor
Allport (1961) and Maslow (1954) have identified
healthy, unhostile humor as important to psychological


31
health. Allport (1950, 1961) related humor to self
insight or "objectification" and to a religious sense.
Puttick (1964) explained that ". .religion attempts to
reconcile basic incongruities, (while) humor may assist
the individual in living with incongruities in a similar
way" (p. 27).
Physical Health
Maslow noted that on many occasions his self-actualizing
subjects seemed to enjoy not only optimal psychological
health but also superb physical health and resistance to
disease. Seize (1958) noted the relationship between high
levels of stress and certain physical conditions. It is
now generally accepted that many physical illnesses such
as ulcers, colitis and possibly the common cold are related
to or caused by psychological states such as stress and
anxiety. The relationship between optimal psychological
health and physical well-being seems likely.
Creativity
Although research on creativity has been widespread
and would fill numerous pages if presented in one volume,
relatively little study has been devoted to the relationship
between creativity and psychological health. Craig (1966),
who was a student of Maslow's, compared Torrance's (1962)
personality characteristics that correlate with creativity
to Maslow's (1954) defining traits of self-actualizing
people and found almost perfect overlap. Maslow (1958,
1963, 1965, 1971) had long postulated a high relationship


32
between psychological health and creativity. Commenting
on Craig's findings, Maslow wrote:
There were two or three characteristics in that
list of thirty or forty which had not been used
to describe psychologically healthy people, but
were simply neutral. There was no single char
acteristic which went in the other, opposite
direction, which makes, let's say arbitrarily,
nearly forty characteristics or perhaps thirty-
seven or thirty-eight which were the same as
psychological health--which added up to a
syndrome of psychological health or self-
actualization (1971, p. 73).
Rogers (1961) viewed the creative process as
. .the emergence in action of a novel relational
product, growing out of the uniqueness of the
individual on the one hand, and the materials,
events, people or circumstances of his life on
the other (p. 350).
Privette (1964) compared her concept of transcendent func
tioning with Rogers' definition of creativity. She saw
both as stressing the urge to expand, "to express and
activate all the capabilities of the organism" (1961, pp.
349-351; Privette, 1964, p. 15).
McKinnon (1960) described highly effective persons as
possessing a syndrome of combined personal soundness and
creativity. Cattell (1958), Guilford (1959), McKinnon
(1960), Peck (1962) and Puttick (1964) have all linked the
combination of intelligence and creativity to psychological
health. Anderson (1959) reviewed a variety of theories of
creative functioning and described the many aspects of this
process:
. .Affection for an idea, absorption, concentra
tion, intensity of encounter, peak experience,
delight, ecstasy. .desire to grow, capacity to
be puzzled, awareness, spontaneity, spontaneous


33
flexibility, adaptive flexibility, originality,
divergent thinking, learning, openness to new
experience, no boundaries, permeability of bound
aries, yielding, readiness to yield, abandoning,
letting go, being born every day, discarding the
irrelevant, ability to toy with elements, change
of activity, persistence, hard work, composition,
decomposition, recomposition, differentiation,
integration, being at peace with the world,
harmony, honesty, humility, enthusiasm, integrity,
inner maturity, self-actualizing, skepticism,
boldness, faith, courage, willingness to be alone,
I_ see, I feel, _I think, gust for temporary chaos,
security in uncertainty, tolerance of ambiguity
(pp. 237-238).
Active States of Positive Health
Landsman (1973) expanded his views of positive human
experience and the "beautiful and noble person." He listed
three stages of the healthy personality that were ripe for
research: 1) A self-loving person; 2) An environment-
loving person; and 3) A compassionate person (p. 10).
He discussed each of these stages in two states, an "active
or expressive state" and a "passive or receptive state"
(p. 11). Three of Landsman's six states are important to
the concept of autoevolution. The "self-loving person" in
the active state is defined as one who
. .actively, joyously seeks out new experiences
of new learning but selectively in relationship
to his needs for growth, the needs of others and
in relationship to his self-discovered abilities
(1973, p. 11).
The environment-loving person in the active or expressive
state
. .manifests a hunger for the physical world. He
builds, he plants, he produces physical objects,
he makes things in his work, he repairs, decorates,
creates beauty and a healthy environment about him.
He protects his environment and enhances it (p. 12)


34
This person is one who acts in some way to improve the
environment. Landsman's highest level, the compassionate
self was seen as an "excitor" of others. "He is a task-
facilitator, helps get jobs done, is socially facilitative,
helps persons to know and care for one another and most of
all is a personal growth facilitator. . (p. 13).
Yamamoto (1966) discussed the healthy person who
"actively masters his environment, shows a unity of persona
lity, and is able to perceive the world and himself
correctly" (Rosenblith and Allinsmith, 1962, p. 202)
"within the limiting biological and social conditions
specific to that particular developmental stage" (Yamamoto,
1966, p. 601). The healthy individual possesses a persona
lity that is "being" (Lovelinger, 1963, p. 243; Maslow,
1962a, p. 40; Yamamoto, 1966, p. 601), or fully functioning
at one particular developmental level. "At the same time
he is continuously 'becoming' or actively changing himself
or his environment to attain the next stage of equilibrium"
(Yamamoto, 1966, p. 601, underline mine). This conception
of active change of the self and the environment is central
to the concept of autoevolution.
Summary
The following statements, gleaned from the literature,
have been attributed by various theorists to high func-
tioners or psychologically healthy people. This author has
combined and modified these statements to describe persons
who are highly autoevolving. The hypotheses presented in


Chapter III wi'll examine specific aspects of some of these
statements in depth.
The autoevolutionary person has satisfied the basic
human needs and is in the process of "becoming," "self-
actualizing," or functioning fully.
The autoevolutionary person is self-dedicating or
committed to some cause, task or job.
The autoevolutionary person does not envision a work-
play dichotomy.
All human beings possess autoevolutionary tendencies.
All human beings have the potential for higher actual
zation of autoevolutionary tendencies.
The autoevolutionary person is warm, sensitive and
humanistic.
The autoevolutionary person is loving and caring.
The autoevolutionary person is highly creative.
The autoevolutionary person has a need for solitude.
People can choose between autoevolutionary and "modal
behavior, i.e. higher levels of functioning need not
necessarily follow basic need gratification.
The autoevolutionary person has a deep sense of inner
trust and self-confidence.
The autoevolutionary person is optimistic.
The autoevolutionary person has a positive self-image
The autoevolutionary person uses "positive" and "peak
experiences as sources for growth.
The autoevolutionary person is autonomous.


36
The autoevolutionary person is empathic and congruent.
Autoevolutionary persons accept all parts of their
personality--they are ego-integrated.
The autoevolutionary person can experience and enjoy
intense and intimate relationships.
The autoevolutionary person can experience full genital
sensitivity and healthy sexuality.
The autoevolutionary person is open to experience.
The autoevolutionary person is free of serious malad
justment, neorosis or psychosis.
The autoevolutionary person is fluid rather than
static.
The autoevolutionary person lives in the "now" and has
a zest for living.
The autoevolutionary person accurately perceives
reality.
The autoevolutionary person can accept responsibility.
The autoevolutionary person is an individual, not a
follower.
The autoevolutionary person has no strong need to lead
others.
The autoevolutionary person sees potential goodness in
others.
The autoevolutionary person accommodates and assimi
lates experience so that the "self" remains in a state of
congruence with the environment.
The autoevolutionary person enjoys good physical health.


37
The autoevolutionary person functions at consistently
high levels.


CHAPTER III
METHODOLOGY
Autoevolutionary persons, or persons who are actuali
zing their own potential as well as actively working to
improve their environment, were identified in a certain
community on the basis of their community service. They
were compared to "average citizens" or "modal functioners"
in the same community on a variety of psychological tests
and behavioral traits and constructs.
Subj ects
Many studies of positive health and optimal functioning
have been criticized for the manner in which the sample was
chosen. Often, persons scoring high on the Personal Orienta
tion Inventories' (1962) self-actualization scale were
identified and subjected to various tests, measures and
experimental conditions.
Smith (1959, 1961) called for clarification of the
values defining positive health. One consideration cited
by Smith was that the values should be ". .relevant to
the social context of the group under consideration" (1961,
p. 305). Smith criticized Maslow and others who based their
models of positive health on their own personal values,
rather than on consensual criteria. Likewise, Shostrom's
38


39
POI reflects his conception of self-actualization. Jahoda
(1958) suggested that values associated with positive health
should be determined by all citizens, rather than the mental
health "professionals."
In order to avoid value questions and problems that
are often associated with paper and pencil tests or training
judges to follow some pre-set definition in selecting a
sample, a rather unorthodox procedure was employed. The
Gainesville Sun, a local newspaper serving Gainesville,
Florida, and the surrounding areas, sponsors a yearly
contest to identify a person for a Community Service Award.
Any person or organization may nominate a candidate for the
award. They are asked to provide the nominee's name, and
to describe in what way the person serves or served the
community. Nominating letters must be signed, although
nominees can request that they remain unidentified.
Because it is an annual award, the nominees must have
performed part of their service during the current year.
The person's service, rather than the nominating letter
per se, is judged by a panel independent from the newspaper.
The author received permission from the editor to secure
the names of all finalists for the 1973 and 1974 contests.
These finalists were then subjected to further screening
(see Procedures). This was done after the 1974 contest
closed and all nominations had been evaluated by the
community judges. The subjects represented citizens who
were selected by their peers, for their community service


40
and personal characteristics. It was stated that to be
eligible, the nominees must work in some way to improve
or serve the community. This community service aspect
implies at least a moderate level of autoevolution in the
sense that these people are actively working to modify and
improve their environment and the lives of other people.
Qualities of the self as evolving or actualizing can be
inferred from the behavior of these people as well as the
nominating letters. All nominees lived in Gainesville,
Florida; the largest industry and employer in Gainesville
is the University of Florida. Gainesville has been called
the University City and "City in the Country." Area resi
dents vary from poor farm-workers (white and black) to
factory-workers and international scholars and authors.
Many of Gainesville's residents are students, staff and
professors at the University. All residents were potential
nominees regardless of age, sex, race, or socio-economic
level.
Control subjects were recruited from the same community
as the autoevolutionary group. An initial attempt to
randomly select control subjects was modified when the
control group began to significantly differ in age from the
autoevolutionary group. It was felt by the author, and has
been suggested by others, that age is an important factor
in attaining higher levels of functioning. Older subjects
initially c.ontacted in a random procedure were retained and
about 75% of a new control group were recruited with the


41
help of friends, neighbors, students and faculty. An
attempt was made to select a group who were truly "modal"
or average in every respect except for their age. This
considerably older sample then became the final modal group
that was studied.
Instruments Rationale
The instruments chosen in the present study purport
to measure certain psychological traits or constructs that,
based on the review of the literature, appear to be impor
tant in differentiating between optimal and modal func-
tioners. The Personality Research Form (1967) was chosen
because of its better than average construction and relia
bility in measuring many of the traits that seem central to
optimal functioning. Earlier studies of various aspects of
psychological health and varied aspects of positive and
negative experience employed the Personal Orientation
Inventory (1962) as a check to confirm that judges can
identify selected groups of high-functioners. Horn (1975)
as well as McMillan (1965) and Seeman (1964) confirmed that
judges can identify these people; for this reason as well
as Shostrom's somewhat controversial definition of self-
actualization, the Personal Orientation Inventory was
excluded in favor of a second judging procedure.
The Rokeach Dogmatism Scale (1960) is one of the few
instruments that reliably differentiates between open and
closed thinkers. Openness was seen by many theorists as
an important factor in optimal functioning and in attaining


42
psychological health. An advantage of the Rokeach scale
is that it doesn't equate open and closed with liberal and
conservative. It is possible for a person to be "liberal"
and still score as highly dogmatic or closed, if that person
rigidly adheres to a strong liberal or radical philosophy.
The authors of the Means-End Problem Solving (MEP's)
procedure offer data to support their claim that means-end
thinking may plan an important role in successful behavioral
adjustment (Platt and Spivack, 1972, p. 18). An abridged
form of this rather new instrument was included to measure
any differences between the two groups in the quantity or
quality of their cognitive problem-solving skills.
Instruments Description
The Personality Research form (Jackson, 1967), the
Rokeach Dogmatism Scale Form E (Rokeach, 1960) and an
abridged form of the Means-End Problem Solving procedure
(Platt, Spivack and Bloom, 1971) were administered to both
the autoevolutionary and comparison (modal) groups.
The Personality Research Form (PRF), developed by
Jackson and his associates (1967), attempts to combine
modern principles of personality and testing theory to
develop a "more rigorous and more valid assessment of
important personality characteristics" (Jackson, 1967, p.
4). The PRF is based on Murray's "need theory" and
variables of personality (1938). It was designed as a tool
to be used for personality research and to provide an instru
ment to accurately measure "broadly relevant personality


43
traits" (1967, p. 4) in a variety of settings. The various
forms of the test (A, B, AA, BB) were carefully developed
to provide a concise, convenient format that would possess
the qualities of reliability, validity and generalizability.
Form A was employed in the present study; like the parallel
Form B, it provides information for fifteen scales. There
are twenty items keyed to each scale, yielding a total of
three hundred true or false questions. The longer forms
provide seven additional scales, but these were not rele
vant to the present study. The faster administration time
(35 to 45 minutes) also makes the shorter forms desirable
for this study.
A primary reason for the selection of the PRF was that
unlike many personality inventories, it is geared toward
areas of normal functioning rather than psychopathology
(Jackson, 1967, p. 4). The test is also an improvement
over Murray's scales because rather than being constructed
in only one direction, which causes the confusion of whether
the absence of a trait or the presence of an opposing trait
is responsible for a specific score, it is constructed in a
bipolar manner. This bipolarity was conceived theoreti
cally as well as in measurement terms.
The PRF (Form A) yields fourteen scales as measures of
personality. The fifteenth scale (Infrequency) is a validity
check. Descriptions of a high-scorer on each scale as well
as the defining trait adjectives for each scale are presented
in Appendix B. The fifteen variables are:
Achievement,


44
Affiliation, Aggression, Autonomy, Dominance, Endurance,
Exhibition, Harm Avoidance, Impulsivity, Nurturance, Order,
Play, Social Recognition, Understanding and Infrequency.
The PRF is self-explanatory and can be given on a
"take home basis" although it was standardized under super
vised conditions. Norms were derived for over two thousand
college males and females. A possible criticism of the
present study would be inappropriateness of these norms for
a non-college sample. Local norms or norms for the general
public are not available. Jackson wrote that in most
investigations, this should not interfere with the results:
While experience has indicated that non-college
samples conform reasonably in terms of summary
statistics, investigations using the PRF with
groups which are very different from college
students should exercise caution in applying
standard PRF forms without first evaluating the
differences (1967, p. 8).
Raw scores on the PRF can be converted to both standard
scores and percentiles. The PRF profile is developed by
converting the raw score for each scale to cumulative pro
portions and then to deviates of the normal curve. This
provides a profile
. .which most accurately reflects a given sub
ject's standing with respect to the normative
group. .about 68 percent of the subjects will
fall between 40-60 standard score units for any
given scale, and about 95 percent will fall within
a range of 30-70 (1967, p. 11).
Reliability for the PRF's fourteen scales ranges from
.77 to .90. Jackson felt that these respectable figures
may represent the lower bound estimate because test condi
tions on the two occasions were not identical. Also,


. .the estimate of reliability--the generalized
classical test theory reliability coefficient, the
intraclass correlation--is generally smaller in
size than the simple intercorrelation (1967, p. 20).
The Infrequency scale (validity check) may appear to have
a low reliability coefficient (.46), but this is common
for scales with "very small means and skewed distribution"
(p. 21).
Two measures of validity are reported for the PRF,
the usual measure of convergent or concurrent validity
and also a measure of discriminant validity. Jackson wrote,
To demonstrate convergent and discriminant vali
dity, a set of measures should correlate substan
tially with corresponding traits measured by
different methods and in addition show evidence
of independence from conceptually unrelated traits
(p. 25).
Convergent validity was tested in a variety of studies and
was generally around .50. Jackson feels that this
. .exceed(s) those typically reported for per
sonality inventories by a comfortable margin, and
attest(s) to the value of the strategy of scale
construction employed in the development of the
PRF (p. 24).
To test the discriminant validity of the PRF, it was
necessary to develop a new statistical procedure which would
focus upon the variance common to two or more methods of
measurement. This "multimethod factor analysis" (Jackson,
1966) showed that the PRF was sufficiently discriminant and
that it was ". .possible to treat each PRF scale as
distinct, and to have confidence that each is providing a
unique contribution to assessment" (p. 25).
The Dogmatism Scale (1960), often called the Rokeach


46
Dogmatism Scale after the author Milton Rokeach, measures
"individual differences in openness or closedness of belief
systems" (1960, p. 71). Dogmatism is defined as a
. .closed way of thinking which could be asso
ciated with any ideology regardless of content,
an authoritarian outlook on life, an intolerance
toward those with opposing beliefs and a suffer
ance of those with similar beliefs (pp. 4-5).
Open and closed are seen as two extremes on a continuum.
Highly dogmatic people hold closed thoughts about a variety
of issues; those scoring very low in dogmatism are seen as
being open.
The scale was developed in a deductive manner. State
ments were designed to tap the defining characteristics of
"open" and "closed." Rokeach commented on the idea behind
the scale:
Insofar as possible, we looked for statements
that express ideas familiar to the average person
in his everyday life. Some of the statements
appearing in the Dogmatism Scale were inspired
by spontaneous remarks we overheard being made
by persons we thought intuitively to be closed-
minded. Above all, each statement had to be
designed to transcend specific ideological posi
tions in order to penetrate to the formal and
structural characteristics of all positions.
Persons adhering dogmatically to such diverse
viewpoints as capitalism and communism, Catholi
cism and anti-Catholicism, should all score
together at one end of the continuum and should
all score in a direction opposite to others
having equally diverse yet undogmatic view
points (1960, p. 72).
The Dogmatism Scale is constructed in a forced-choice
manner. Respondents are asked to mark from +3 to -3,
depending on how they feel about each statement. Positive
scores mark agreement and are scored as closed; negative


scores mean disagreement and are viewed as open. Unlike
the Rokeach Opiniation Scale which is dated and culturally
bound, the Dogmatism Scale is relatively free of these
restraints. Form E, which was used in this study, contains
the best forty items, factor analyzed from previous scales.
The reliability ranges from .68 to .93 (1960, p. 90).
Appendix C lists the instructions and forty items presented
in Form E. Norms are not necessary for the present study
because only the mathematical differences between the
numerical scores of the two groups are of importance in
measuring any differences in their degree of dogmatic
thinking. Rokeach presented his theory of dogmatism as well
as the various Dogmatism and Opinionation scales and the
scores for various groups in his book, The Open and Closed
Mind (1960). Kemp (1962), Stefflre, King and Leafgren
(1962), Cahoon (1962) and Russo, Kelz and Hudson (1964)
have all reported significantly lower levels of dogmatism
for counselors who were judged as "good" or effective. Open-
mindedness seems facilitative to successful interpersonal
relationships, which are important in attaining and main
taining psychological health.
The Means-End Problem Solving Procedure (MEP's, Platt,
Spivack and Bloom, 1971) attempts to measure cognitive
mediational functioning in real life problematic situations.
The nine stories in the original version measure
. .the extent to which the S, when presented
with a situation involving an aroused need and
the resolution of the problem (i.e. satisfying
that need), is capable of conceptualizing


48
appropriate and effective means of reaching the
problem resolution stage of the stories (Platt
and Spivack, 1972, p. 3).
The stories deal with both interpersonal and impersonal
themes. The HEP's consist of stories or story-stems in
which a beginning and ending are provided; the subject is
asked to write a middle for the study, i.e. to connect the
beginning and the end. In each situation, a need is
aroused in the protagonist and satisfied in the ending
provided. Primary scoring is for the number of means used
in reaching the solution stage, but the type of mean given
may also be placed into empirical categories. Enumeration
of means in reaching the goal, obstacles to the goal,
passage of time in reaching the goal, and the ratio of
relevant to irrelevant responses may also be scored. The
present study focused primarily on the quantitative measure
of means. Reliability coefficients for total number of
means on nine stories for fifteen control subjects selected
at random and scored by two student raters was .98. Agree
ment between the raters for placing the means into empirical
categories was .84, with a range of .77 to .95 for the
individual stories (Platt et al., 1971, p. 4). Reliability
and validity for the MEP's are within acceptable ranges.
A complete report on the validity of the concept of means-
end thinking was presented by Platt (1968, U.S.P.H.S.
Institutional Support Grant, #751-20-9966). To keep the
testing time within a reasonable limit, only three means-
end stories were used in the present study. These three


49 '
stories were representative of the overall validity and
reliability of the traditional form of the test. Appendix
D lists the abridged Means-End test.
Subjects were also asked to complete a questionnaire
(Appendix E). In addition to assessing demographic data,
certain areas not measured by previous tests were included.
Likert-type scales were used to question subjects about
specific behaviors that may differentiate autoevolutionary
people from modal functioners. These scales are con
structed so that subjects mark their degree of agreement or
disagreement to statements. Responses range from strongly
agree to strongly disagree. An example is the item "I
enjoy good physical health." Maslow suggested that self-
actualizing people may enjoy better physical health and
resistance to disease. Specific items reflect attributes
of psychological health and optimal functioning postulated
by various theorists throughout the literature. They were
included in an attempt to explore these possible relation
ships and as areas for further research. Landsman (personal
communication, March 6, 1975) suggested that certain open-
ended questions be included in an effort to discover
unknown or unexpected traits that autoevolutionary people
may possess.
Procedures
Potential autoevolutionary subjects were nominated by
a variety of citizens throughout the community as candidates
for a Community Service Award. The names of all acceptable


50
niminees for 1973-1974 (those who had served the community
in any manner) were secured from the newspaper sponsoring
the contest. There had been 34 nominees for the two
yearly contests. Two had since died, or were nominated
posthumously, so there were actually only 32 possible
autoevolutionary subjects.
An informal poll was taken by asking a person who knew
all of the people to identify anyone that he felt was not
functioning in a psychologically healthy manner. One
person was eliminated. Copies of the original nominating
letters for the remaining 31 subjects were secured from the
newspaper. These letters were then given to a panel of
three judges, who were asked to identify those people who
showed a high degree of selfless community service, i.e.
those who were acting to improve the environment and who
also seemed from the letters to be functioning fully in a
psychologically healthy way. Using this definition, each
judge was asked to select the "best" twenty people from the
sample. The judges unanimously selected sixteen names.
Four more names were added after discussion and majority
agreement. Letters were sent to each potential subject,
saying that the author, as part of his doctoral research,
was interested in studying people who were active in
community service (see Appendix F). Three days after the
letters were mailed, the author personally phoned each of
the people and asked for their cooperation. Nineteen
people were reached by phone; all of them agreed to


51
participate. Testing packets were delivered to the sub
jects in pre-paid return envelopes. One subject returned
the packet with an apology, saying that she didn't have the
time to answer the questionnaires. Although the subjects
were asked to complete and return the packets within one
week, it actually took almost three weeks and follow-up
calls before sufficient data were gathered. The final
group was comprised of 16 subjects who, based on the selec
tion process, were termed "autoevolutionary." Two addi
tional subjects failed to complete the testing packet
before the final cut-off date.
Control subjects were initially chosen at random and
contacted in the same manner as the above subjects (see
Appendix F). Only about 40 percent of those contacted
would even consent to look at the questionnaires to con
sider completing them. Partially for this reason, but
more so because of the previously mentioned significant age
difference, a matching procedure was employed. Approxi
mately 25 percent of the original random sample was
retained. Additional people were recruited with the help
of friends, neighbors and students. They were asked to
give the packet to "someone over 40" or "someone about 50,"
etc. In this manner the two groups were approximately
matched for age. There were 17 subjects in the control or
comparison group. Twenty people had "agreed" to complete
the testing packet, but, like the previous group, some
failed to return the data after the cut-off date and
repeated phone calls.


52
Hypotheses
This study focused on 17 specific major hypotheses
related to traits or constructs that may differentiate
autoevolutionary from modal persons. A number of minor
hypotheses were also examined.
The major hypotheses presented in null form were:
1)
There will be no significant differences between
autoevolutionary and modal functioners as measured
by the Personality Research Form's 15 scales.
(This will be tested as 15 separate null hypotheses.)
la)
There will be no significant differences between
autoevolutionary and modal functioners in Achieve
ment as measured by the Personality Research Form
(PRF).
lb)
There will be no significant differences between
autoevolutionary and modal functioners in Affilia
tion as measured by the PRF.
lc)
There will be no significant differences between
autoevolutionary and modal functioners in Aggres
sion as measured by the PRF.
Id)
There will be no significant differences between
autoevolutionary and modal functioners in Autonomy
as measured by the PRF.
le)
There will be no significant differences between
autoevolutionary and modal functioners in Dominance
as measured by the PRF.
If)
There will be no significant differences between
autoevolutionary and modal functioners in Endurance
as measured by the PRF.
lg)
There will be no significant differences between
autoevolutionary and modal functioners in Exhibi
tion as measured by the PRF.
lh)
There will be no significant differences between
autoevolutionary and modal functioners in Harm-
avoidance as measured by the PRF.
li)
There will be no significant differences between
autoevolutionary and modal functioners in Impul-
sivity as measured by the PRF.


53
lj) There will be no significant differences between
autoevolutionary and modal functioners in Nurtu-
rance as measured by the PRF.
lk) There will be no significant differences between
autoevolutionary and modal functioners in Order
as measured by the PRF.
ll) There will be no significant differences between
autoevolutionary and modal functioners in Play as
measured by the PRF.
lm) There will be no significant differences between
autoevolutionary and modal functioners in Social
Recognition as measured by the PRF.
ln) There will be no significant differences between
autoevolutionary and modal functioners in Under
standing as measured by the PRF.
lo) There will be no significant differences between
autoevolutionary and modal functioners in Infre
quency as measured by the PRF.
2) There will be no significant differences between
autoevolutionary and modal functioners as measured
by the Rokeach Dogmatism Scale, Form E.
3) There will be no significant differences between
autoevolutionary and modal functioners as measured
by an abridged form of the Means-End Problem
Solving procedure. (The quantitative score or
measure will be used.)
A questionnaire (Appendix E) was also included to
gather demographic information and to investigate possible
differences between the groups in areas not measured by the
other tests that were administered. Open-ended questions
were included in an attempt to discover any unknown or
unexpected characteristics of autoevolutionary or modal
functioners.
The minor hypotheses are that there will be no
difference, item by item, in the responses for the two
groups on the questionnaire.


54
Data Analysis
All data were tallied and compared by the Analysis of
Variance procedure (ANOVA). One-way ANOVA's were computed
to test each hypothesis. This method is appropriate for
comparing two groups on measures that are independent. The
level of significance was set at .10, which is not as
stringent as the more frequently employed .05, .01, or .001
levels. The author and his supervisory chairman felt that
a less sensitive measure of significance would aid in
identifying possible relationships that would be overlooked
if higher significance levels were employed. Since the
purpose of this study was to identify a large number of
possible variables that discriminate autoevolutionary from
modal functioners, Type II or "beta" errors were more
acceptable.
Likert-type items from the questionnaire were cate
gorized according to level of agreement by counting the
frequency of each response. Open-ended responses were
placed into empirical categories and their frequency of
occurrence noted. These categories were based on the
specific content of each response. An example would be
"How do you think you became the type of person that you
are now?" Categories were: "Family," "Schooling," etc.


CHAPTER IV
RESULTS
The Analysis of Variance procedure (ANOVA) was used in
examining the differences between the autoevolutionary and
modal group. Seventeen one-way ANOVA's were computed.
Tables 4 through 18 list the source and obtained F's for
the 15 scales of the Personality Research Form. Table 19
lists the sources and F for the Rokeach Dogmatism scale,
while Table 20 lists this information for the abridged
Means-End Problem Solving procedure. The level of signifi
cance for each was set at .10.
Hypothesis 1 stated: "There will be no significant
differences between autoevolutionary and modal functioners
as measured by the Personality Research Form's 15 scales."
Each specific scale was tested as a separate null hypothesis.
The ANOVA (Table 4) for the Achievement scale showed no
significant differences between the two groups and failed
to reject the null hypothesis (la). Table 21 lists the
means, standard deviations and ranges for the two groups.
One way ANOVA's also failed to reject the null hypo
theses lb, lc, Id, le, If, lg, lh, li, lj, 11 and lo.
Hypotheses lk, lm and In proved significant at or beyond
the .10 level. The null hypotheses were rejected for these
three scales. Tables 5 through 18 list ANOVA's for these
55


56
TABLE 4
ANALYSIS OF VARIANCE BETWEEN AUTOEVOLUTIONARY
AND MODAL SUBJECTS AS MEASURED BY THE
ACHIEVEMENT SCALE OF THE PRF
Source
df
ss
V
F
Between
1
. 24
. 24
.03
Within
31
282.00
9.10
Total
32
282.24
TABLE 5
ANALYSIS OF VARIANCE BETWEEN AUTOEVOLUTIONARY
AND MODAL SUBJECTS AS MEASURED BY THE
AFFILIATION SCALE OF THE PRF
Source
df
ss
V
F
Between
1
. 01
. 01
. 001
Within
31
262.05
8.45
Total
32
262 .06


57
TABLE 6
ANALYSIS OF VARIANCE BETWEEN AUTOEVOLUTIONARY
AND MODAL SUBJECTS AS MEASURED BY THE
AGGRESSION SCALE OF THE PRF
Source
df
ss
V
F
Between
1
8.79
8.79
. 99
Within
31
274.18
8.84
Total
32
282.97
TABLE 7
ANALYSIS OF VARIANCE BETWEEN AUTOEVOLUTIONARY
AND MODAL SUBJECTS AS MEASURED BY THE
AUTONOMY SCALE OF THE PRF
Source
df
ss
V
Between
Within
1
31
3.49
157.05
3.49
5.06
.69
Total
32
160.54


58
TABLE 8
ANALYSIS OF VARIANCE BETWEEN AUTOEVOLUTIONARY
AND MODAL SUBJECTS AS MEASURED BY THE
DOMINANCE SCALE OF THE PRF
Source
df
ss
V
F
Between
1
12.88
12.88
. 74
Within
31
539.00
17.39
Total
32
551.88
TABLE 9
ANALYSIS OF VARIANCE BETWEEN AUTOEVOLUTIONARY
AND MODAL SUBJECTS AS MEASURED BY THE
ENDURANCE SCALE OF THE PRF
Source df ss v F
Between 1
1.09 1.09 .11
Within
31 299.91 9.67
Total
32
301.00


59
TABLE 10
ANALYSIS OF VARIANCE BETWEEN AUTOEVOLUTIONARY
AND MODAL SUBJECTS AS MEASURED BY THE
EXHIBITION SCALE OF THE PRF
Source
df
ss
V
F
Between
1
25. 56
25.56
1.40
Within
31
565.41
18.24
Total
32
590.97
TABLE 11
ANALYSIS OF VARIANCE BETWEEN AUTOEVOLUTIONARY
AND MODAL SUBJECTS AS MEASURED BY THE
HARMAV01DANCE SCALE OF THE PRF
Source df ss v F
Between 1 9.63 9.63 .82
Within 31 363.27 11.72
Total 32 372.90


60
TABLE 12
ANALYSIS OF VARIANCE BETWEEN AUTOEVOLUTIONARY
AND MODAL SUBJECTS AS MEASURED BY THE
IMPULSIVITY SCALE OF THE PRF
Source
df
ss
V
F
Between
1
30.24
30.24
2.15
Within
31
435.82
14.06
Total
32
466.06
TABLE 13
ANALYSIS OF VARIANCE BETWEEN AUTOEVOLUTIONARY
AND MODAL SUBJECTS AS MEASURED BY THE
NURTURANCE SCALE OF THE PRF
Source
df
ss
V
Between
Within
1
31
. 64
229.24
. 64
7.39
09
Total
32
229.88


61
scales in alphabetical order. Table 21 lists means,
standard deviations and ranges for each of these scales.
Autoevolutionary subjects scored significantly lower
than modal functioners on the PRF's "Order" scale (Table
14). This indicates less need than the modal group for
neatness, organization, tidyness and well-ordered systems.
Autoevolutionary subjects in this study seemed to lack
these compulsive-type traits.
TABLE 14
ANALYSIS OF VARIANCE BETWEEN AUTOEVOLUTIONARY
AND MODAL SUBJECTS AS MEASURED BY THE
ORDER SCALE OF THE PRF
Source df ss v F
Between 1 81.25 81.25 4.47*
Within 31 562.81 18.16
Total 32 644.06
*p<.10
Table 16 indicates a significant difference for the
Social Recognition scale. The means for the groups (Table
21) show a greater need for social recognition to be
present in the modal group. Neither group scored very
high in this trait, but the data suggest that the behavior
of autoevolutionary persons is less approval seeking,
proper, and recognition seeking than modal functioners. It


62
seems that those in the autoevolutionary group do not
"work(s) for the approval and recognition of others"
(Jackson, 1967, p. 7).
TABLE 15
ANALYSIS OF VARIANCE BETWEEN AUTOEVOLUTIONARY
AND MODAL SUBJECTS AS MEASURED BY THE
PLAY SCALE OF THE PRF
Source df ss v F
Between 1 5.15 5.15 .58
Within 31 274.06 8.84
Total 32 379.21
TABLE 16
ANALYSIS OF VARIANCE BETWEEN AUTOEVOLUTIONARY
AND MODAL SUBJECTS AS MEASURED BY THE
SOCIAL RECOGNITION SCALE OF THE PRF
Source df ss v F
Between 1 58.56 58.56 4.73*
Within 31 383.32 12.37
Total 32 441.88
*p<.10
Autoevolutionary persons scored significantly higher
than the modal group on the PRF's Understanding scale


63
(Table 17, Table 21). This higher mean score for the
autoevolutionary group indicates a greater need in these
people for a broad understanding of many areas of knowledge.
They can be seen as more inquiring, curious, analytical and
intellectual than the modal group.
TABLE 17
ANALYSIS OF VARIANCE BETWEEN AUTOEVOLUTIONARY
AND MODAL SUBJECTS AS MEASURED BY THE
UNDERSTANDING SCALE OF THE PRF
Source df ss v F
Between 1 34.19 34.19 3.10*
Within 31 341.87 11.02
Total 32 376.06
*p<.10
TABLE 18
ANALYSIS OF VARIANCE BETWEEN AUTOEVOLUTIONARY
AND MODAL SUBJECTS AS MEASURED BY THE
INFREQUENCY SCALE OF THE PRF
Source
df
ss
V
Between
1
. 94
. 94
Within
31
29.12
. 94
Total
32
30. 06
1.00


64
Hypothesis 2 stated: "There will be no significant
differences between autoevolutionary and modal functioners
as measured by the Rokeach Dogmatism Scale, Form E." An
ANOVA was computed, and the resultant F was not significant.
Null hypothesis 2 was not rejected (Table 19). Means,
standard deviations and ranges for the two groups on the
Dogmatism scale are presented in Table 21.
TABLE 19
ANALYSIS OF VARIANCE BETWEEN AUTOEVOLUTIONARY
AND MODAL SUBJECTS AS MEASURED BY THE
ROKEACH DOGMATISM SCALE
Source df ss v F
Between 1 202.44 202.44 .21
Within 31 30200.53 974.21
Total 32 30402.97
The F for hypothesis 3 proved significant beyond the
.10 level and the hypothesis that "There will be no signifi
cant differences between autoevolutionary and modal func
tioners as measured by an abridged form of the Means-End
Problem Solving procedure (quantitative score)" was
rejected (Table 20). Table 21 lists the means, standard
deviations and ranges for the two groups on the Means-End
procedure.


65
TABLE 20
ANALYSIS OF VARIANCE BETWEEN AUTOEVOLUTIONARY
AND MODAL SUBJECTS AS MEASURED BY THE
ABRIDGED MEANS-END PROBLEM SOLVING PROCEDURE
Source
df
ss
V
F
Between
1
14.69
14.69
6.83*
Within
27
58.14
2.15
Total
28
72.83
*p<.10
The first part of the questionnaire used in this study
(Appendix E) asked subjects to respond to a variety of
statements by marking their agreement or disagreement on a
continuum from strongly agree to strongly disagree.
Responses to this soft data were tallied and subjected to
visual inspection. The response frequencies for each ques
tion are presented in Tables 22 through 35. The number
of subjects, unless otherwise noted, was 16 in the auto
evolutionary group and 17 in the modal group. The minor
hypothesis1 stated that there would be no difference, item
by item, in the responses for the two groups to the ques
tions. This seemed to hold true for most items, but there
were some notable exceptions. For the statement "I am a
religious person" (Table 22), it seems that the members of
the autoevolutionary group do not see themselves as being
quite as religious as those people in the modal group. A
few subjects in the autoevolutionary group wrote objections
to this question, asking "In what way?"


TABLE 21
MEANS, STANDARD DEVIATIONS AND RANGES FOR AUTOEVOLUTIONARY
AND MODAL SUBJECTS ON 15 PRF SCALES, THE DOGMATISM
SCALE AND THE ABRIDGED MEANS-END TEST
Autoevolutionary Modal
Scale
Mean
S.D.
Range
Mean
S.D.
Range
AC
15.06
2.92
6-18
15. 24
2 .92
8-19
AF
15. 25
2. 54
11-20
15.24
3 06
8-19
AG
3.44
3 06
0-11
4.47
2 81
0-11
AU
8 06
2.70
3-12
7.41
1.54
4-10
DO
9.75
4.73
4-17
11.00
4 59
3-19
EN
13.81
3 03
7-19
14.18
3.26
9-19
EX
8 06
3.78
2-15
9.82
4 30
2-17
HA
12.63
3.30
6-19
13.71
3 34
7-19
IM
8.44
4.17
2-16
10.35
3 .05
5-15
NU
14.75
2. 08
10-17
14.47
3 07
9-20
OR
8 63
2.74
5-14
11.76
5.10
2-19
PL
7 56
3.20
2-14
8.35
3 51
2-15
SR
7. 69
3.65
2-14
10.35
3.16
5-16
UN
14.63
2.03
10-18
12.59
4.03
6-20
IN
. 25
. 56
0-2
.59
1.19
0-5
Dogmatism
-25.25
25.38
o
11
+
1
N
CN
-20.29
36.73
( 86) (+51)
MEP's
5. 36
1.39
3-8
3. 93
1.43
2-6


67
TABLE 22
RESPONSE FREQUENCIES OF AUTOEVOLUTIONARY
AND MODAL SUBJECTS TO THE STATEMENT:
I AM A RELIGIOUS PERSON
Group
SA A U D SD Total
Autoevolutionary 18 430 16
Modal 58220 17
Totals 6 16 650 33
Visual inspection of Tables 23 through 29 show that
the two groups responded in essentially the same manner
to these questions.
TABLE 23
RESPONSE FREQUENCIES OF AUTOEVOLUTIONARY
AND MODAL SUBJECTS TO THE STATEMENT:
AT TIMES, I ENJOY BEING ALONE
Group SA A U D SD Total
Autoevolutionary 78 100 16
Modal 96110 17
Totals 16 14 210 33


68
TABLE 24
RESPONSE FREQUENCIES OF AUTOEVOLUTIONARY
'AND MODAL SUBJECTS TO THE STATEMENT:
I AM CAPABLE OF FORMING INTIMATE RELATIONSHIPS WITH OTHERS
Group SA A U D SD Total
Autoevolutionary
4
10
2
0
0
16
Modal
6
6
3
2
0
17
Totals
10
16
5
2
0
33
TABLE 25
RESPONSE FREQUENCIES OF AUTOEVOLUTIONARY
AND MODAL SUBJECTS TO THE STATEMENT:
I ENJOY MY JOB, PROFESSION OR VOCATION
Group SA A U D SD Total
Autoevolutionary
6
10
0
0
0
16
Modal
7
9
1
0
0
17
Totals
13
19
1
0
0
33


69
TABLE 26
RESPONSE FREQUENCIES OE AUTOEVOLUTIONARY
AND MODAL SUBJECTS TO THE STATEMENT:
I HAVE A GOOD SENSE OE HUMOR
Group SA A U D SD Total
Autoevolutionary
5
8
3
0
0
16
Modal
9
5
3
0
0
17
Totals
14
13
6
0
0
33
TABLE 27
RESPONSE FREQUENCIES OF AUTOEVOLUTIONARY
AND MODAL SUBJECTS TO THE STATEMENT:
I HAVE AN ENJOYABLE SEX LIFE*
Group SA A U D SD Total
Autoevolutionary
3
8
1
2
0
14
Modal
6
6
1
1
2
16
Totals
9
14
2
3
2
30
*Three did not respond.


70
TABLE 28
RESPONSE FREQUENCIES OF AUTOEVOLUTIONARY
AND MODAL SUBJECTS TO THE STATEMENT:
I ENJOY LIFE
Group SA A U S SD Total
Autoevolutionary
9
6
1
0
0
16
Modal
10
5
2
0
0
17
Totals
19
11
3
0
0
33
TABLE 29
RESPONSE FREQUENCIES OF AUTOEVOLUTIONARY
AND MODAL SUBJECTS TO THE STATEMENT:
I AM A "GOOD" PERSON
Group SA A U D SD Total
Autoevolutionary 4 12 0 0 0 16
Modal 97100 17
Totals 13 19 1 0 0 33
Table 30 indicates that autoevolutionary subjects
report that they enjoy good health more frequently than
do the comparison subjects.


71
TABLE 30
RESPONSE FREQUENCIES OF AUTOEVOLUTIONARY
AND MODAL SUBJECTS TO THE STATEMENT:
I ENJOY GOOD PHYSICAL HEALTH
Group SA A U D SD Total
Autoevolutionary 2 13 1 0 0 16
Modal 93122 17
Totals 11 16 2 2 2 33
Table 31 shows the responses to the statement "I am
a dependent person." The modal group was much more likely
to see themselves as dependent, while many in the auto
evolutionary group showed disagreement and saw themselves
as independent.
TABLE 31
RESPONSE FREQUENCIES OF AUTOEVOLUTIONARY
AND MODAL SUBJECTS TO THE STATEMENT:
I AM A DEPENDENT PERSON
Group SA A U D SD Total
Autoevolutionary 03 2 92 16
Modal 34361 17
Totals 37 5 15 3 33


72
Subjects responded in a very similar manner to the
statement "I usually catch colds, the flu, etc." The
modal group had two subjects who agreed to this, while no
one in the autoevolutionary group showed agreement. There
were also no strong differences for the item "I am a
creative person" (Table 33).
TABLE 32
RESPONSE FREQUENCIES OF AUTOEVOLUTIONARY
AND MODAL SUBJECTS TO THE STATEMENT:
I USUALLY CATCH COLDS, THE FLU, ETC.*
Group SA A U D SD Total
Autoevolutionary 0 0 3 5 7 15
Modal 0 2 2 7 6 17
Totals 0 2 5 12 13 32
*One no response
TABLE 33
RESPONSE FREQUENCIES OF AUTOEVOLUTIONARY
AND MODAL SUBJECTS TO THE STATEMENT:
I AM A CREATIVE PERSON
Group SA A U D SD Total
Autoevolutionary 2 10 4 0 0 16
Modal 49310 17
Totals 6 19 7 1 0 33


73
Autoevolutionary subjects were more likely than
modals to agree with the statement (Table 34) "I am an
optimist."
TABLE 34
RESPONSE FREQUENCIES OF AUTOEVOLUTIONARY
AND MODAL SUBJECTS TO THE STATEMENT:
I AM AN OPTIMIST
Group SA A U D SD Total
Autoevolutionary 7 9000 16
Modal 85211 17
Totals 15 14 2 1 1 33
The groups responded very similarly to the statement
"I enjoy leading other people" (Table 35). Two people in
the modal group showed disagreement, while a few in both
groups were "uncertain."
In the second part of the questionnaire (Appendix E),
subjects were asked to respond to five open-ended questions.
Their responses were placed in general categories which
were derived by examining the content of the responses.
Many subjects gave more than one answer to specific ques
tions, so the number of responses differs for the various
questions. Individual responses that did not fit into a
specific category are not presently; only those responses
that were cited by three or more subjects appear in the
following tables.


74
TABLE 35
RESPONSE FREQUENCIES OF AUTOEVOLUTIONARY
AND MODAL SUBJECTS TO THE STATEMENT:
I ENJOY LEADING OTHER PEOPLE
Group SA A U D SD Total
Autoevolutionary 5 9200 16
Modal 57311 17
Totals 10 16 5 1 1 33
Visual inspection of the data shows no strong differ
ences between the responses of the two groups to the
question "What do you like about yourself?" Both seem to
stress certain (and varied) personal qualities as their
likeable characteristics. Table 36 lists the frequencies
and categories of response cited by the two groups.
TABLE 36
RESPONSE FREQUENCIES AND CATEGORIES OF
RESPONSE GIVEN BY AUTOEVOLUTIONARY AND MODAL
SUBJECTS TO THE QUESTION: WHAT DO
YOU LIKE ABOUT YOURSELF?
Group
Category
Others Like
Personal Appreciate Helping
Qualities Them Others Total
Autoevolutionary
17
4
3
24
Modal
20
4
2
26
Total
37
8
5
50


75
Some interesting differences appeared between the two
groups for the question "What do you dislike about your
self?" (Table 37). The autoevolutionary group cited
laziness, procrastination, lack of order or "nothing" most
frequently. They were saying that they should be doing
more, or shouldn't procrastinate or need more order. In
short, they realize some positive trait that they lack.
The modal group cited weakness of conviction, (bad) temper
and stubbornness or intolerance most frequently. The modal
group was reacting and responding to a negative trait that
they do have.
When asked how they thought they became "the type of
person that you are now," both groups cited the influence
of their family or parents. The autoevolutionary group
cited this influence twice as many times as the modal
group. Many in the autoevolutionary group cited their
education as being important to their development, while
no one in the modal group mentioned this. A few people in
both groups felt that their attitude, effort or "positive
thinking" aided their development. A considerable number
of people in the modal group cited negative experiences as
influencing their current personality. There were such
statements as "unhappy childhood" and "overcoming physical
disability." Table 38 lists the responses for the two
groups.
Table 39 shows the responses to the question "If you
weren't working at your present job, profession, etc.,


TABLE 37
RESPONSE FREQUENCIES AND CATEGORIES OF RESPONSE GIVEN BY
AUTOEVOLUTIONARY AND MODAL SUBJECTS TO THE
QUESTION: WHAT DO YOU DISLIKE ABOUT YOURSELF?
Category
Group
Lazy or
Procrastinate
Not Orderly
Enough
Nothing
Weak in
Conviction
Temper
Stubborn
Intolerant
Totals
Autoevolutionary
4
4
4
0
0
0
12
Modal
0
0
0
4
3
4
11
Total
4
4
4
4
3
4
23


TABLE 38
RESPONSE FREQUENCIES AND CATEGORIES OF RESPONSE GIVEN BY
AUTOEVOLUTIONARY AND MODAL SUBJECTS TO THE
QUESTION: HOW DO YOU THINK YOU BECAME THE TYPE OF PERSON THAT YOU ARE NOW?
Category
Group
Family or
Parents
Education
Attitude
Effort
Negative
Experiences
Totals
Autoevolutionary
13
6
4
0
23
Modal
6
0
3
5
14
Total
19
6
7
5
37


78
what other job or profession would you be engaged in?"
The majority of people in both groups were able to list
specific jobs or professions, but three times as many
subjects in the autoevolutionary group cited the exact same
job or gave a very vague answer. These people have trouble
seeing themselves doing anything vastly different from
their present vocation.
TABLE 39
RESPONSE FREQUENCIES AND CATEGORIES OF RESPONSE GIVEN
BY AUTOEVOLUTIONARY AND MODAL SUBJECTS TO THE
QUESTION: IF YOU WEREN'T WORKING AT YOUR
PRESENT JOB, PROFESSION, ETC., WHAT
OTHER JOB OR PROFESSION WOULD YOU BE ENGAGED IN?
Group
Category
Same Job
Or Same Area
Other
Specific
Job Title
No
Response
Totals
Autoevolutionary
6
8
2
16
Modal
2
14
1
17
Total
8
22
3
33
The final question attempted to determine whether
there were any differences in motivation for volunteer or
public service work between the groups. The autoevolution
ary group overwhelmingly listed such reasons as "improving
the environment," "making the world a bit better" or
"making this a better place to live." The modal group saw


79
their volunteer work as giving them personal pleasure or
reward. Some people in the autoevolutionary group also
said that it was their "duty" as a citizen, parent or that
others needed the help they could give. Table 40 lists
the categories and frequency of response.
TABLE 40
RESPONSE FREQUENCIES AND CATEGORIES OF RESPONSE GIVEN
BY AUTOEVOLUTIONARY AND MODAL SUBJECTS TO THE
QUESTION: IF YOU DO ANY VOLUNTEER, PUBLIC
SERVICE WORK, ETC., WHY DO YOU DO IT?
Make a
Better Personal
Place Pleasure Help
Group To Live Or Reward Duty Others Totals
Autoevolutionary
9
4
4
3
20
Modal
0
10
0
1
11
Total
9
14
4
4
31
Complete demographic data were gathered for only 15
of the 16 autoevolutionary subjects but for all (17) of the
modal group. An attempt was made to match the subjects for
age. The mean age for the autoevolutionary group was
51.47 years; for the modal group, 49.94 years. There was
a bi-modal age distribution of 44 years and 56 years in the
autoevolutionary group with a median age of 51 years. The
range was 26 to 77 years; corrected range was 36 to 69


80
years. The modal age for comparison group was 47 years;
their median age was 50 years with a representative range
of 30 to 65 years.
The groups turned out to be equal on the basis of sex.
There were nine females and six males (actually the seventh
person who gave incomplete demographic data was a male) in
the autoevolutionary group. The modal group was comprised
of ten females and seven males. The majority of subjects
in both groups were married. The breakdown for the auto
evolutionary group was: ten married (including a widow
who remarried), three divorced, one single and one widower.
A similar breakdown for the modal group shows: fourteen
married, two divorced and one widow. All subjects in both
groups listed their race as white although no attempt was
made to control for race.
The majority of subjects in both groups were members
of Protestant denominations. There were essentially no
differences between the two groups in their religious
preferences. Two people in each group listed "none."
A strong educational difference emerged between the
two groups. Both were above the educational level of the
general population, perhaps because the research was
conducted in a "university" town. Mean education for the
modal group was 13.82 years; for the autoevolutionary
group it was 17.47 years. This is a difference between
attending at least some college (modals) and some graduate
work (autoevolutionary group).


81
The educational differences are better reflected in
the degrees held by members of the two groups. Although
the range from high school education to doctorate was
basically the same for both groups, twelve modal subjects
did not complete a bachelors degree, two held the bachelors
one a masters and two had doctorates. The autoevolutionary
group held two doctorates, seven masters, four bachelors
and only two persons with less than a bachelors.
There were no major occupational differences between
the groups. Four persons in each group were housewives;
this was the most frequent category. Teachers, including
college professors, was the next most frequent category
followed by "retired" persons in both groups. All of the
autoevolutionary group were members of one of the three
listed groups or of other "people-oriented" occupations.
The remaining modal people included management, sales,
technical service, clerical and secretarial occupations.
Length of time in the occupation, including those who were
housewives, was 17.17 years for the autoevolutionary group
and 13.54 years for the modal group. These figures are
somewhat misleading because the retired persons only
listed the length of their retirement.
Salary or income level for the two groups is also some
what difficult to assess. The housewives generally listed
"none" for their salary, while the retired person's data
were often unclear. Based on the data that was given, the
median income for the autoevolutionary group was $15,000


82
with most falling in the $14,000 to $17,000 range. Modal
subjects had a median income of about $10,000 with most
falling in the $8,000 $11,000 range. Overall range of
income was the same at the upper salary limit for both
groups, but the modal group had a lower, lower range limit.
These salary differences seem to reflect the general
educational differences between the two groups.


CHAPTER V
DISCUSSION OF RESULTS
Subjects who were judged as mentally healthy were
selected on the basis of their service to the community and
for working to improve the environment. They did this in
a variety of ways such as donating their time to aid the
elderly, coordinating life enriching and educational
activities for children and serving on public projects for
the disadvantaged. Most of the subjects were involved in
a great many such endeavors over a period of many years.
The final group that was chosen was termed autoevolutionary.
They were seen as psychologically healthy people who were
functioning fully and striving to constantly grow and
evolve. Most importantly they were people who were acting
upon the environment (persons, things, etc.) in an attempt
to effect adaptive change. These people were compared to
a group of "modal" or average citizens who were matched
to be of the same approximate age. The two groups were
also essentially the same in terms of sex, marital status,
race and religion although they weren't deliberately
matched for these traits.
There were no significant differences between the two
groups on 12 of the 15 scales of the Personality Research
Form: Achievement, Affiliation, Aggression, Autonomy,
83


84
Dominance, Endurance, Exhibition, Harmavoidance, Impul-
sivity, Nurturance, Plan and Infrequency. There would be
no expected differences between the two very similar groups
on most of these 12 scales. The review of the literature
had many references to the autonomy of psychologically
healthy people (Jahoda, 1958, Footeand Cottrell, 1955,
Erickson, 1959). Puttick (1964) saw the psychologically
healthy person as both "independent and dependent" (p. 6).
Jackson's (1967) definition of autonomy as measured by the
PRF includes terms such as rebellious, ungovernable,
resistant and lone-wolf. A high-scorer on the PRF's
autonomy scale is independent but is also "not tied to
people, places or obligations" (p. 6). The type of person
termed autoevolutionary in the present study was one who
devoted considerable time and energy to serving the community.
They accepted the responsibility for the welfare of others
and the community at large. Most of them were serving
through formal agencies, committees and programs. This is
one possible reason why they may not have scored higher on
autonomy as measured by the PRF. These people also
generally disagreed to the statement "I am a dependent
person" (Table 31) to a greater extent than the companion
group. This somewhat conflicting data would support
Puttick's (1964) claim that "the healthy individual both
actively organizes his environment, and at other times,
willingly submits to the world. ." (p. 18).
A possible difference on the Nurturance scale might


85
be expected. This is defined as one who:
Gives sympathy and comfort; assists others when
ever possible, interested in caring for children,
the disabled or infirm; offers a "helping hand"to
those in need; readily performs favors for others
(Jackson, 1967 p. -7).
When asked why they volunteer or do public service work,
the majority of the autoevolutionary group responded that
they were trying to make the world (community, etc.) a
better place (Table 40). Most modal subjects cited personal
reward as their motive. The means of the two groups were
approximately the same, and both fairly high (60th percen
tile), but apparently neither group is exceedingly high in
traits defined as "sympathetic, paternal, helpful, benevo
lent, etc." (Jackson, 1967, p. 7).
Significant differences were found for three of the
PRF scales: Order, Social Recognition and Understanding.
Autoevolutionary subjects scored significantly lower on the
Order scale which indicates that they do not have as great
a need as modal persons in terms that are often associated
with compulsivity such as "neat, organized, tidy, syste
matic, well ordered, disciplined, etc." (Jackson, 1967,
p. 7). Four of the autoevolutionary subjects responded to
the question "What do you dislike about yourself?" (Table
37) with "Not orderly enough." At least some of the auto
evolutionary subjects see order as a desired trait that
they lack.
There was a significant difference in the Social
Recognition scores of the two groups as measured by the


86
PRF. This difference was one of the strongest, exceeding
the .05 level of significance. Social recognition is defined
in terms such as "approval seeking, seeks recognition" and
"desires to be held in high esteem by acquaintances"
(Jackson, 1967, p. 7). Although the autoevolutionary group
does much that could be motivated by a need for social
recognition, they scored considerably lower in their need
for it than did the modal subjects. Most autoevolutionary
subjects stated that they worked to improve the environment
and to fulfill their "duty." Only a minority cited personal
reward as their motivation although this was the reason
cited by the majority of modal subjects. In Table 1,
Maslow was quoted as saying that self-actualizing people:
. .avoid publicity, fame, glory, honors, popu
larity, celebrity, or at least do not seek it. .they
do not need or seek for or even enjoy very much
flattery, applause, popularity, status, prestige,
money, honors, etc. .(Maslow, 1971, pp. 308
309 ) .
This seems to be the case with autoevolutionary subjects
in the present study.
Autoevolutionary subjects scored significantly higher
in their level of understanding than did modal subjects.
Understanding is defined as inquiring, curious, analytical,
exploring, intellectual, reflective and as a person who
"wants to understand many areas of knowledge" (Jackson,
1967, p. 7). The higher score of autoevolutionary subjects
can be explained in terms of a quest to be fully func
tioning as defined by Rogers (see Table 3) or self-
actualizing as discussed by Otto (1966, 1967). The


87
synthesis of ideas that accompany understanding can aid in
effective self-integration. Understanding also related to
creativity. Privette (1964) linked Rogers' definition of
creativity with her concept of transcendent functioning and
saw both as the desire "to express and activate all the
capabilities of the organism" (Rogers, 1961, pp. 349-351;
Privette, 1964, p. 15). This tendency also seems evident
in autoevolutionary subjects.
Anderson (1959) saw flexibility and adaptive flexibil
ity as important components of the creative process and as
being important to psychological health. Maslow, Rogers and
others have agreed that positive health is linked to open
ness, adaptability and flexibility. Although the auto
evolutionary group scored as very open on the Rokeach
Dogmatism scale, there was no significant difference between
the groups. The modal group also scored as open but showed
a much wider range of scores, some of which were in the
extremely "closed" range. A few highly negative scores
balanced out these differences. It could very well be that
in the rapidly changing world of today, adaptiveness,
flexibility and openness of thought and belief systems are
vital to an individual's survival. The dogmatism scale
was developed in 1960 and may no longer be a valid predictor
of "openness" and "closedness" because of the vastly
changed socio-political environment.
The autoevolutionary group scored significantly higher
than modal subjects in the number of means given on an


88
abridged form of the Means-End Problem Solving procedure.
This score was also significant beyond the .05 level. This
finding, coupled with the significant difference on the
Understanding scale of the PRF, suggests that in addition
to having a greater level of curiosity, analytical thinking
and need to understand and synthesize, the autoevolutionary
people are more capable in problem-solving. Their MEP's
scores suggest successful behavioral adjustment as well as
skills in providing the cognitive steps necessary for
effective problem solving. Scores for modal subjects were
within the normal range for adult subjects. Caution should
be exercised in examining the results of the MEP's, because
subjects completed an abridged form of three stories, rather
than the complete set of nine or ten stories. Also, two
subjects in each group failed to complete the stories
because of the time necessary even for the abridged form.
This left an extremely small number in each group (14 auto
evolutionary and 15 modals), but it is worth noting that
even with such small numbers, statistical differences did
occur.
Responses to a variety of statements and questions
posed in Appendix E were tallied and visually inspected.
It would not be appropriate to apply statistical procedures
such as the ANOVA to single-item, self-report questions.
These items were based on theories postulated in the
survey of the literature and were intended as areas to be
examined in future research.


Full Text

DIFFERENTIATING CHARACTERISTICS OF AUTOEVOLUTIONARY
AND MODAL PERSONS
By
WILLIAM JOSEPH WEIKEL
A DISSERTATION PRESENTED TO THE GRADUATE COUNCIL OF
THE UNIVERSITY OF FLORIDA
IN PARTIAL FULFILLMENT OF THE REQUIREMENTS FOR THE
DEGREE OF DOCTOR OF PHILOSOPHY
UNIVERSITY OF FLORIDA
1975

ACKNOWLEDGMENTS
A doctoral dissertation is very rarely an individual
endeavor. From its inception it requires the combined
talent of many persons, who each in their unique way aid
the author in shaping and polishing the finished product.
The author wishes to thank those who contributed their time
and talents.
Dr. Richard H. Johnson, Chairman of the writer's
doctoral committee and good friend, who for two years has
helped the author to learn and grow both as a professional
and as a person. Knowing and working with Dr. Johnson is
something the author will always cherish and remember.
Dr. E. L. Tolbert, member of the writer's committee,
who was always willing to give advice and support, often
on very short notice.
Dr. James Joiner, member of the writer's committee
and minor advisor for invaluable teaching experience, help
and support all along the way.
Dr. Larry Loesch for many valuable suggestions that
improved the quality of the research.
Dr. Harold Riker, former Acting Department Chairman,
and Dr. Joe Wittmer, current Chairman, for advice, guidance
and the graduate assistantships that eased financial
pressure.
i ¡

Dr. Ted Landsman, for encouraging the author's interest
in positive health and optimal functioning and for his many
suggestions and assistance in completing this research.
Dr. David Lane, for his critical review of the manu¬
script .
Dr. Harry Grater, for providing the author with a
teaching assistantship and making this last year financially
easier.
A number of other people have also been a great help:
Nancy Spisso, Fred Piercy, Rick Davis and the other members
of Dr. Johnson's seminar gave much help and advice.
Barbara Rucker for doing an excellent job of typing the
manuscript on very short notice. Judy Youmans for her
clerical help and skills. Mr. Ed Johnson of the Gaines¬
ville Sun for his invaluable aid in securing subjects,
and all of the wonderful men and women of Gainesville, who
gave so freely of their time by taking part in the study.
Last, and most important, has been the continued
support and encouragement of my wife, Jo Ann,and son, Billy.
in

TABLE OF CONTENTS
Page
ACKNOWLEDGMENTS Ü
LIST OF TABLES vi
ABSTRACT x
Chapters
I INTRODUCTION 1
Purpose of the Study 3
Significance of the Study 4
Definition of Terms 6
II REVIEW OF THE LITERATURE 9
Self Actualization 9
Values 15
Theories of Psychological Health and
Optimal Functioning 18
Autonomy 2 8
Self-Concept 29
Sense of Mission 30
Humor 3 0
Physical Health 31
Creativity 31
Active States of Positive Health 33
Summary 3 4
III METHODOLOGY 38
Subjects 38
Instruments--Rationale 41
Instruments--Description 42
Procedures 4 9
Hypotheses 52
Data Analysis 54
IV RESULTS 55
V DISCUSSION OF RESULTS 83
Implications for Further Research 95
IV

TABLE OF CONTENTS
CONTINUED
Chapters Page
Summary 9 7
Conclusions 98
REFERENCES 99
APPENDICES Ill
Appendix A - Do You Act or React? Ill
Appendix B - Defining Trait Adjectives and
Description of High Scorers on Fifteen
Scales of the PRF, Form A 113
Appendix C - Form E, Rokeach Dogmatism Scale . . . 117
Appendix D - Abridged Means-End Problem
Solving Procedure 121
Appendix E - Questionnaire Completed by Both
Groups 125
Appendix F - Initial Contact Letter to Subjects. . 128
BIOGRAPHICAL SKETCH 13 0
v

1
2
3
4
5
6
7
8
9
10
LIST OF TABLES
Page
Motivations and Gratifications of Self-
Actualizing People, Obtained through Their
Work as Well as in Other Ways 12
Two Illustrative Conceptions of Positive
Mental Health in Terms of Multiple
Criteria 18
The Fully Functioning Person as Described
by Carl Rogers 23
Analysis of Variance between Autoevolu¬
tionary and Modal Subjects as Measured
by the Achievement Scale of the PRF .... 56
Analysis of Variance between Autoevolu¬
tionary and Modal Subjects as Measured
by the Affiliation Scale of the PRF .... 56
Analysis of Variance between Autoevolu¬
tionary and Modal Subjects as Measured
by the Aggression Scale of the PRF 57
Analysis of Variance between Autoevolu¬
tionary and Modal Subjects as Measured
by the Autonomy Scale of the PRF 57
Analysis of Variance between Autoevolu¬
tionary and Modal Subjects as Measured
by the Dominance Scale of the PRF 58
Analysis of Variance between Autoevolu¬
tionary and Modal Subjects as Measured
by the Endurance Scale of the PRF 58
Analysis of Variance between Autoevolu¬
tionary and Modal Subjects as Measured
by the Exhibition Scale of the PRF 59
Analysis of Variance between Autoevolu¬
tionary and Modal Subjects as Measured
by the Harmavoidance Scale of the PRF ... 59
vi

LIST OF TABLES
continued
Number Page
12 Analysis of Variance between Autoevolu¬
tionary and Modal Subjects as Measured
by the Impulsivity Scale of the PRF 60
13 Analysis of Variance between Autoevolu¬
tionary and Modal Subjects as Measured
by the Nurturance Scale of the PRF 60
14 Analysis of Variance between Autoevolu¬
tionary and Modal Subjects as Measured
by the Order Scale of the PRF 61
15 Analysis of Variance between Autoevolu¬
tionary and Modal Subjects as Measured
by the Play Scale of the PRF 62
16 Analysis of Variance between Autoevolu¬
tionary and Modal Subjects as Measured
by the Social Recognition Scale of the
PRF 62
17 Analysis of Variance between Autoevolu¬
tionary and Modal Subjects as Measured
by the Understanding Scale of the PRF. ... 63
18 Analysis of Variance between Autoevolu¬
tionary and Modal Subjects as Measured
by the Infrequency Scale of the PRF 63
19 Analysis of Variance between Autoevolu¬
tionary and Modal Subjects as Measured
by the Rokeach Dogmatism Scale 64
20 Analysis of Variance between Autoevolu¬
tionary and Modal Subjects as Measured
by the Abridged Means-End Problem
Solving Procedure 65
21 Means, Standard Deviations and Ranges for
Autoevolutionary and Modal Subjects on
15 PRF Scales, the Dogmatism Scale and
the Abridged Means-End Test 66
22 Response Frequencies of Autoevolutionary
and Modal Subjects to the Statement:
I am a Religious Person 67
23 Response Frequencies of Autoevolutionary
and Modal Subjects to the Statement:
At Times, I Enjoy Being Alone 67
vii

24
25
26
27
28
29
30
31
32
33
34
35
LIST OF TABLES - continued
Page
Response Frequencies of Autoevolutionary
and Modal Subjects to the Statement:
I am Capable of Forming Intimate Rela¬
tionships with Others 68
Response Frequencies of Autoevolutionary
and Modal Subjects to the Statement:
I Enjoy My Job, Profession or Vocation ... 68
Response Frequencies of Autoevolutionary
and Modal Subjects to the Statement:
I Have a Good Sense of Humor 69
Response Frequencies of Autoevolutionary
and Modal Subjects to the Statement:
I Have an Enjoyable Sex Life 69
Response Frequencies of Autoevolutionary
and Modal Subjects to the Statement:
I Enjoy Life 70
Response Frequencies of Autoevolutionary
and Modal Subjects to the Statement:
I Am a "Good" Person 7 0
Response Frequencies of Autoevolutionary
and Modal Subjects to the Statement:
I Enjoy Good Physical Health 71
Response Frequencies of Autoevolutionary
and Modal Subjects to the Statement:
I am a Dependent Person 71
Response Frequencies of Autoevolutionary
and Modal Subjects to the Statement:
I Usually Catch Colds, the Flu, etc 72
Response Frequencies of Autoevolutionary
and Modal Subjects to the Statement:
I am a Creative Person 72
Response Frequencies of Autoevolutionary
and Modal Subjects to the Statement:
I am an Optimist 7 3
Response Frequencies of Autoevolutionary
and Modal Subjects to the Statement:
I Enjoy Leading Other People 74
viii

LIST OF TABLES
continued
Number
36 Response Frequencies and Categories of
Response Given by Autoevolutionary and
Modal Subjects to the Question: What
Do You Like about Yourself?
37 Response Frequencies and Categories of
Response Given by Autoevolutionary and
Modal Subjects to the Question: What
Do You Dislike about Yourself? ....
38 Response Frequencies and Categories of
Response Given by Autoevolutionary and
Modal Subjects to the Question: How
Do You Think You Became the Type of
Person That You Are Now?
39 Response Frequencies and Categories of
Response Given by Autoevolutionary and
Modal Subjects to the Question: If You
Weren’t Working at Your Present Job,
Profession, etc., What Other Job or
Profession Would You Be Engaged In?. .
40 Response Frequencies and Categories of
Response Given by Autoevolutionary and
Modal Subjects to the Question: If
You Do Any Volunteer, Public Service
Work, etc., Why Do You Do It?
Page
74
76
77
78
79
IX

Abstract of Dissertation Presented to the Graduate Council
of the University of Florida in Partial Fulfillment of the Requirements
for the Degree of Doctor of Philosophy
DIFFERENTIATING CHARACTERISTICS OF AUTOEVOLUTIONARY
AND MODAL PERSONS
By
William Joseph Weikel
August, 1975
Chairman: Richard H. Johnson
Major Department: Counselor Education
Autoevolutionary persons were defined as psychologi¬
cally healthy people who act upon the environment to effect
adaptive change. In addition, they strive to be fully-
functioning or self-actualizing persons. These persons
were identified in a community, based on the nominations
of their peers, for their high degree of community service.
Judges selected those nominees who appeared to exhibit a
great deal of community service and seemed psychologically
healthy. These people comprised the group of autoevolu¬
tionary subjects. A comparison group of modal or average
citizens was drawn from the same community and matched so
that the groups would be approximately equal in age. Both
groups completed the Personality Research Form, Rokeach
Dogmatism scale, Means-End Procedure and responded to a
number of experimental questions. Significant differences
were noted between the groups on four of the seventeen
measures: Order, Social Recognition, Understanding and
x

the quantitative measure of Means-End thinking. Differ¬
ences were discussed and suggestions were given for further
research in the area of positive psychological health.
Qhairman
xi

CHAPTER I
INTRODUCTION
Historically, helping professionals have concerned them
selves with individuals experiencing a wide range of develop
mental problems, maladjustments, neuroses, and psychoses.
Relatively few theorists or researchers have considered the
psychologically healthy personality . .generalized
interest in the positive dimensions of psychological health
among psychologists and social scientists has arisen
largely in the last twenty (now thirty) years" (Puttick,
1964, p. 14).
Jahoda (1958) was among the first to offer concepts of
positive mental health and to suggest research strategies
to examine positive health. Maslow (1950) pioneered the
study of the super-healthy personality and postulated the
existence of "self-actualizing" people. Until his death in
1970, Maslow continued to study optimal functioning and
stimulated much research in this area. Landsman (1968)
defined the "beautiful and noble person" as a more exter¬
nally observable self-actualizing individual; a product of
positive experience. Others have presented theories of
positive mental health and optimal functioning including
Jourard (1959, 1964, 1968), Allport (1955, 1961), Yamamoto
(1966), Rogers (1961), Angyl (1952), Erikson (1959), Combs
1

2
and Snygg (1959), Combs (1962), Frankl (1960), Buber (1937,
1955), Drevdahl and Cattell (1958), and Puttick (1964).
These and others will be examined at length in Chapter Two.
The present thesis offers a new conception of positive
mental health and optimal functioning, based on a variety
of previous theories and the author's interpretation and
expansion of these ideas. The term coined to describe this
newly conceptualized individual is the "Autoevolutionary
Person."
The term "autoevolutionary" or "autoevolution" was
chosen over previously employed terms such as "self-
actualizing" (Maslow, Goldstein) or "beautiful and noble
person" (Landsman) because it more aptly describes the
qualities of the subjects chosen for study. Self-actualizing
was defined as "developing and fulfilling one's innate,
positive potentialities" (Wolman, 1973, p. 342); it is
basically an individual internal process. Terms such as
"fully-functioning" (Rogers, 1957, 1957, 1961) and the
"disclosed self" (Jourard, 1964, 1967, 1968) also stressed
an internal process of growth and optimal functioning.
Landsman's (1968) "beautiful and noble person" is a
more external, observable state, including "how the person
is perceived by others" (1968, p. 15) and a "joyful,
passionate relationship with his environment" (1968, p. 16),
as well as other criteria listed by theorists such as
Maslow, Jourard and May.
The autoevolutionary person is seen in two distinct

3
ways. When the "auto" or self is considered in a constant
state of change, growth or evolution, the concept is akin
to Roger's "fully functioning person," Maslow's "self-
actualizing" person, and Landsman's "beautiful and noble
person." It is in the second sense of the word that
differences from previous conceptions of positive mental
health become apparent. In this sense, the "auto," self
or person acts upon the external environment (persons,
things, etc.) in an attempt to effect adaptive change.
These persons are seen as actively directing the evolution
of their species, by acting upon the environmental structure
to which the species will eventually react. These actions
could be improving a neighborhood park so that children
have a healthier environment in which to play and grow, or
by acting (with love, openness, honesty, etc.) rather than
reacting to other people (See "Do You Act or React,"
Appendix A). Levels of autoevolutionary development may
range from very low to very high. The concept of auto¬
evolution is examined in-depth later in this chapter.
Purpose of the Study
The purpose of the study was to identify autoevolu¬
tionary persons in a community and to compare these persons
to average or "modal" functioners in the same community.
Specific research questions were:
1. Are those persons selected by judges for their
high degree of community service also "fully
functioning" and psychologically well-adjusted

4
as measured by standard personality inventories;
thus justifying the use of the term "autoevolu¬
tionary?"
2. What psychological traits or constructs distinguish
the autoevolutionary person from the modal perfor¬
mer and in what quantitative and qualitative ways
do they differ in these traits?
3. What demographic and experential variables are
significantly different between the two groups?
Significance of the Study
In the late sixties and early seventies, thousands of
"normal" people have flocked to various encounter, growth
or enrichment groups. Obviously, something beyond society's
stamp of "normality" is desired by these people. By study¬
ing the optimal functioners among us, it may be possible
to determine how they reached this state, and if we so
desire, develop pathways for others to increase their func¬
tioning. Landsman (1968) feels that "the study of man's
best self is the proper study of mankind" (p. 15). Landsman
has pointed out "wishes" that may be fulfilled by studying
man's best self. They include restoring abnormal and mal¬
adjusted persons not only to normality, but to a higher
state in which they may realize their full potential;
discovering the developmental process which fosters growth
into the beautiful, self-actualizing or autoevolutionary
person so that we may offer this to our children; and,
finding the therapies or experiences which will facilitate
the transition of normal adults into the state of optimal
functioning.

5
Smith (1959) felt that we needed specific guidelines
to distinguish whether the values associated with positive
mental health differed from those held by the average
citizen. In justifying the study of positive health,
Smith wrote, "For the institutional psychiatrist still
baffled by the treatment of gross mental disease (cf,
Barton in Jahoda, 1958, p. 111-119), there is no problem
here: mental health, for his practical purposes, is the
absence of flagrant mental illness. . .but the parent, the
teacher, the psychological counselor can hardly avoid
concern with the positive end of the spectrum" (p. 674).
Another aspect is that autoevolutionary persons, like
Maslow's (1967b) "metamotivated" persons are seen as trans¬
cending the work-play dichotomy and deriving tremendous
stimulation and enjoyment from their particular vocation.
They identify with the job and utilize it as a source of
self-definition. By studying the person in relation to the
job, it may be possible to gain valuable insights applicable
to vocational counseling, career development, rehabilitation
counseling, and vocational adjustment.
Finally, if we consider Maslow's (1969d) adoption of
the term "growing-tip"--the tip of the plant where the
greatest genetic action is taking place--and consider the
optimal functioner as our species growing tip, we will have
some idea of human capabilities and our evolutionary future.
By nurturing the conditions that are growth fostering in
the internal and external environment, we can, if so

6
desired, approach the level of optimal functioning. Maslow
explained his rationale for studying the actualization of
the highest human potential:
If we want to answer the question how tall can
the human species grow, then obviously it is
well to pick out the ones who are already tallest
and study them. If we want to know how fast a
human being can run, then it is no use to average
out the speed of a "good sample" of the population;
it is far better to collect Olympic gold medal
winners and see how well they can do. If we want
to know the possibilities for spiritual growth,
value growth, or moral development in human beings,
then I maintain that we can learn most by studying
our most moral, ethical or saintly people (1969d,
p. 726).
That we have failed in the past to study those who
approach human nature's farthest reaches has been stressed
by Maslow:
Even when "good specimens," the saints and the
sages and great leaders of history, have been
available for study, the temptation too often
has been to consider them not human but super-
naturally endowed (1969d, p. 726).
Definition of Terms
Autoevolution
The autoevolutionary person is seen primarily in two
ways. First, as "auto" or self evolvers, they act upon the
external environment to modify it. This gives them a
favorable medium with which to react. In other words, if
autoevolutionary persons are to live in a particular
society, country, family, etc., they will act upon and
influence that unit to make it the best possible unit,
knowing that the environmental structure will powerfully

7
influence all of its members. By shaping the environment,
these persons in turn shape their own destiny as evolving,
reacting residents within that environment.
In the second sense of the word, the auto or self is
constantly evolving or in flux. It is a dynamic, ever-
changing, risk-taking self, seeking adaptive evolutionary
change. The self in this sense is very similar to Roger's
(1957, 1959, 1961) "fully-functioning person," and Maslow's
self-actualizing persons. These people are open to
experience, tolerant of ambiguity and possess confidence
and trust in the self. The autoevolutionary process like
the self-actualizing process is never complete:
. . .(it) is a self-perpetuating, ongoing and
never finished process. . .each new involvement
of the self begets further involvement. . .a
person is never "self-actualized" but is always
in the process of finding new goals and new
expression. . .to paraphrase Shakespeare, self-
actualization is. . .as if increase of appetite
grows by what it feeds on (Rush, 1969, p. 19).
The autoevolutionary person is constantly assimilating and
accommodating experiences in the sense described by Piaget
(1950) and. is becoming an "active master of his environ¬
ment" (Yamamoto, 1966, p. 601).
Modal Functioners
The term "modal" was chosen for this study rather than
"average" or "normal" to avoid the confusion that often
accompanies these terms. Duncan (1970) said, "normal
implies that anything above or below it is abnormal" and
that average "has a rather negative connotation" (p. 20).

8
Modal functioners are defined as those who function on
the same level as most others in a particular setting. The
statistical use of the term mode is "the score on a set of
scores that occurs most frequently" (Glass S Stanley, 1970,
p. 58). Translating this into actual behavioral terms, the
modal person is the one who behaves as most others do in a
particular setting. This person is representative of the
"norms" for a particular group. A modal airline pilot may
be one who originally began as a combat flyer, is 44 years
old, flies 12,500 miles in a nine-day period, is divorced
and drinks scotch. The closer a person is to these norms,
the more he/she approaches the definition of the modal
person. Because of individual differences, a true "modal
person" is unlikely. Most persons are better in some areas
and are weaker or score lower on others, but their overall
profile appears modal.

CHAPTER II
REVIEW OF THE LITERATURE
Self-Actualization
For many years, the most prominent theorists in the
field of positive psychological health and optimal func¬
tioning was Abraham H. Maslow. He outlined the many
aspects of positive functioning: motivation, self-actuali¬
zation, values, needs, cognition, creativity, peak
experience, religion, transcendent functioning and others.
A complete bibliography of Maslow's related work appears
in the reference section.
Central to Maslow's theories was the existence of a
need hierarchy, a progressive series of needs that must be
satisfied in ascending order, before one could progress to
the higher need. Maslow called these "deficit needs" and
"growth needs." He used the term "self actualizing" to
describe high-level functioners who had satisfied the
deficit needs and were expanding and exploring the possi¬
bilities of the true self (1950, 1962a, 1962b). This was
a redefinition of the term, since Goldstein (1940) had used
it to describe the motivation basic to man. In Goldstein's
sense
. . .a goal of such outgoing, exploring, and adjus-
tive activity is self-actualization--the fullest,
9

10
most complete differentiation and harmonious blend¬
ing of all aspects of man’s total personality, the
realization of inherent potentialities CFuerst,
1965, p. 2),
Goldstein felt that it was "any gratification, whether it
be a hungry person eating or an ignorant person’s quest
for knowledge" (Rush, 1969, p. 17).
Maslow saw the self-actualizing process as more of an
internal, growth-oriented phenomena. A self-actualizing
person has
. . .an inner compulsion to integrate his interests,
talents and abilities to the point that he works
toward becoming what he must become. . .similar
to Nietzche's admonition "Be what thou art!"
(Rush, 1969, p. 19).
Jung (1935) called this the "individualization process"
or the attainment of the true self. Maslow felt that the
self-actualizing process was self-perpetuating. Fuerst
(1965) gave the example of a college professor who was
economically secure, had tenure and yet worked himself sick
for the sake of his research:
Hard work, once a means to an end, becomes an end
in itself. What now is motivating him was at
first instrumental to some other end, that is
to some earlier motive (p. 4).
Self-actualizing individuals were seen as no longer
motivated by the basic needs. Maslow (1967, 1971) postu¬
lated that they had "meta-needs" and were "meta-motivated."
He wrote:
It is therefore convenient to call these higher
motives and needs of self-actualizing persons by
the name "meta-needs" and also to differentiate
the category of motivation from the category of
"meta-motivation". . . .Meta-motivation now
seems not to ensure automatically after basic

11
need gratification. One must speak also of the
additional variable of "defenses against meta¬
motivation". . .it may turn out to be useful to
add to the definition of the self-actualizing
person, not only (a) that he be sufficiently
free of illness, (b) that he be sufficiently
gratified in his basic needs, and (c) that he
be positively using his capacities, but also
(d) that he be motivated by some values which
he strives for or gropes for and to which he is
loyal (1971, p. 301).
Maslow saw self-actualizing people as being dedicated to
some task, call, vocation or beloved work outside of them¬
selves (1971, p. 300). In their vocation, they transcend
the dichotomy of work and play; things such as wages,
vacations and hobbies are defined at higher levels. Maslow
described the metamotivated self-actualizer in the work
setting:
This person is the best in the world for this
particular job, and this particular job is the
best job in the whole world for this particular
person and his talents, capacities and tastes.
He was meant for it, and it was meant for him
(1971, p. 304).
These people use their work as a source of self-definition
and identify strongly with their vocation; they embody the
values of a particular job, rather than the job itself.
Maslow felt that if these values could be identified and
examined, a greater understanding and improvement of the
species would be possible. Intrinsic reinforcers such as
peak experiences (high level positive human experiences)
are the pay-offs that make even routine aspects of a job
or task worthwhile.
Maslow (1967, 1971) translated these reinforcers into
a series of subjective values and states of being (see

12
Table 1). The majority of people are motivated by defi¬
ciency or neurotic needs, or a combination of these, but it
is possible that all persons are metamotivated and less
basic need motivated than the average person (1971, p. 315).
Maslow (1967, 1971) said, "The closer to self-actualizing,
to full-humanness, etc., the person is, the more likely I am
to find that his 'work1 is metamotivated rather than basic-
need motivated" (1971, p. 310).
TABLE 1
MOTIVATIONS AND GRATIFICATIONS OF SELF-ACTUALIZING
PEOPLE, OBTAINED THROUGH THEIR WORK AS WELL AS IN OTHER WAYS.
(THESE ARE IN ADDITION TO BASIC-NEED GRATIFICATIONS.)
Delight in bringing about justice.
Delight in stopping cruelty and exploitation.
Fighting lies and untruths.
They love virtue to be rewarded.
They seem to like happy endings, good completions.
They hate sin and evil to be rewarded, and they hate people
to get away with it.
They are good punishers of evil.
They try to set things right, to clean up bad situations.
They enjoy doing good.
They like to reward and praise promise, talent, virtue, etc.
They avoid publicity, fame, glory, honors, popularity,
celebrity, or at least do not seek it. It seems to be not
awfully important one way or another.
They do not need to be loved by everyone.
They generally pick out their own causes, which are apt to
be few in number, rather than responding to advertising
or to campaigns or to other people's exhortations.
They tend to enjoy peace, calm, quiet, pleasantness, etc.,
and they tend not to like turmoil, fighting, war, etc.
(they are not general-fighters on every front), and they
can enjoy themselves in the middle of a "war."
They also seem practical and shrewd and realistic about it,
more often than impractical. They like to be effective
and dislike being ineffectual.

Table 1
continued
Their fighting is not an excuse for hostility, paranoia,
grandiosity, authority, rebellion, etc., but is for the
sake of setting things right. It is problem-centered.
They manage somehow simultaneously to love the world as it
is and to try to improve it.
In all cases there was some hope that people and nature and
society could be improved.
In all cases it was as if they could see both good and evil
realistically.
They respond to the challenge in a job.
A chance to improve the situation or the operation is a big
reward. They enjoy improving things.
Observations generally indicate great pleasure in their
children and in helping them grow into good adults.
They do not need or seek for or even enjoy very much flat¬
tery, applause, popularity, status, prestige, money,
honors, etc.
Expressions of gratitude, or at least of awareness of their
good fortune, are common.
They have a sense of noblesse oblige. It is the duty of
the superior, of the one who sees and knows, to be patient
and tolerant, as with children.
They tend to be attracted by mystery, unsolved problems, by
the unknown and the challenging, rather than to be
frightened by them.
They enjoy bringing about law and order in the chaotic
situation, or in the messy or confused situation, or in
the dirty and unclean situation.
They hate (and fight) corruption, cruelty, malice, dis¬
honesty, pompousness, phoniness, and faking.
They try to free themselves from illusions, to look at the
facts courageously, to take away the blindfold.
They feel it is a pity for talent to be wasted.
They do not do mean things, and they respond with anger
when other people do mean things.
They tend to feel that every person should have an oppor¬
tunity to develop to his highest potential, to have a
fair chance, to have equal opportunity.
They like doing things well, "doing a good job," "to do well
what needs doing." Many such phrases add up to "bringing
about good workmanship."
One advantage of being a boss is the right to give away the
corporation's money, to choose which good causes to help.
They enjoy giving their own money away to causes they
consider important, good, worthwhile, etc. Pleasure in
philanthropy.
They enjoy watching and helping the self-actualizing of
others, especially of the young.
They enjoy watching happiness and helping to bring it about.
They get great pleasure from knowing admirable people
(courageous, honest, effective, "straight," "big,"

14
Table 1 - continued
creative, saintly, etc.). "My work brings me in contact
with many fine people."
They enjoy taking on responsibilities (that they can handle
well), and certainly don't fear or evade their responsibi¬
lities. They respond to responsibility.
They uniformly consider their work to be worthwhile, impor¬
tant, even essential.
They enjoy greater efficiency, making an operation more
neat, compact, simpler, faster, less expensive, turning
out a better product, doing with less parts, a smaller
number of operations, less clumsiness, less effort, more
foolproof, safer, more "elegant," less laborious.
(Maslow, 1971, pp. 308-309)
Landsman (1967) presented the concept of "one's best
self." He defined this as "an individual's functioning on
the highest levels of his uniquely human characteristics"
(p. 37). Landsman expanded the concept of self-actualiza¬
tion and stressed the ability of the person to engage in
meaningful human relationships.
In addition to intelligence, productivity and talent
actualization, such functioning includes sensiti¬
vity, warmth, skill in human relationship, courage,
kindness, gentleness, and the capacity to help in
conflict resolution or to help in general (1967,
p. 37) .
Landsman and his students (Puttick, 1964; Privette, 1964;
Duncan, 1970) extended Maslow's studies of "peak experience"
by examining how people dealt with positive, and later
negative, experience. Generally, high functioners, no
matter what label was applied to them, were found to be the
product of constructive use of positive experience. Maslow
(1971) agreed that a greater number of peak experiences
characterized "transcenders" from "merely healthy people"
(p. 283).

15
Values
Smith (1959, 1961) has pointed out that any discussion
or theory of positive mental health necessarily involves
values. He recognized that the healthy person was more than
"average." "Averageness is surely a far cry from optimal
functioning, however we are to define it. . ." (1959, p.
673). Smith reasoned that although the "mean" or statis¬
tical average is value-free, it is useless. He called for
guidelines in identifying the values that we deem "healthy."
The criteria used must be "measurable, or inferred from
behavior, articulate with a personality theory, and relevant
to the social context of the group under investigation"
(1961, pp. 304-305.)
Jahoda (1958) recognized the "value dilemma." The
assertion that a certain set of values or attributes are
present in psychological or mental health implies that they
are "good." Jahoda asked,
Good for what? Good in terms of middle class
ethics? Good for democracy? For the continuation
of the social status quo? For the individual's
happiness? For survival? For the development of
the species? For the encouragement of genius or
of mediocrity and conformity? (1958, p. 77).
Jahoda questioned the influence of culture and social class
values on those who define criteria of positive health.
Smith (1959) cited Maslow's (1950) historical list of self-
actualizing figures such as Lincoln, Jefferson, Thoreau,
and reviewed the "distinguishing characteristics" of these
people as listed by Maslow:

16
A more efficient perception of reality; acceptance
of self, others and nature for what they are; spon¬
taneity; problem-centeredness rather than ego-
centeredness; the quality of detachment with a
need for privacy; autonomy in relation to culture
and environment; freshness rather than stereotypy
of appreciation; openness to mystical experiences,
though not necessarily religious ones; identifica¬
tion with mankind; capacity for deep intimacy in
relations with others; democratic attitudes and
values; strong ethical orientation that does not
confuse means with ends; philosophical rather than
hostile sense of humor; creativeness (Smith, 1959,
p. 675).
Smith felt that rather than providing evidence for a self-
actualizing syndrome, Maslow described to us his values and
preferences and the types of people whom he admired.
Jahoda (1958) realized that mental health values are
a complex issue beyond simplistic definitions of "good"
and "bad." She felt that a person could be positively
evaluated in many areas yet not be mentally healthy.
Determining the values or criteria for mental health was
not the sole responsibility of professionals: "politicians,
humanists, natural scientists, philosophers, the man in the
street, and the mental health expert must jointly shoulder
the responsibility" (Jahoda, 1958, p. 80).
Landsman (1967) pointed out that two value judgments
are involved in the conception of "one's best self" as a
psychologically healthy person: "one as judged by social
or sub-cultural values and another as judged by personal
values" (p. 38). Landsman feels that there also exists a
third criterion, that of "universal values." He stated:
I innocently presume that these do exist, can be
determined, measured, are to be cherished, and

17
are illustrated (by those). . .whose functioning
wins immediate, adequately universal approval by
all cultures, though not necessarily by all
persons (pp. 38-39).
Rogers (1964) as well as Landsman (1967) defended the
existence of universal values and felt that different
cultures agree that ". . .murder, theft and cowardice
are bad and that kindness, courage and sensitivity are
good" (1967, p. 39). Rogers (1964) felt that the values
held by the "fully-functioning" person would be consistent
with that which was best for the individual, society and
ongoing evolution (Puttick, 1964, p. 16). Fromm (1947),
May (1961) and Maslow (1959) also supported the idea of
universal values.
Jahoda (1958) stated that no consensus of criteria
for positive mental health had been established. Knutson
(1963) elaborated on the many difficulties such as the
value question, that hinder research in positive health.
In a review of the literature (1958) Jahoda presented six
major categories to be investigated in the quest of posi¬
tive mental health: 1) Attitudes of an individual toward
his own self; 2) Degree of growth, development, or self-
actualization; 3) Integration (synthesizing psychological
function); 4) Autonomy; 5) Perception of reality; and 6)
Environmental mastery (1958, p. 23). Table 2 compares
Jahoda's concepts with Allport's (1960) proposals; it is
rearranged to bring out "correspondences and discrepancies
in the two lists" (Smith, 1961, p. 299).

18
TABLE 2
TWO ILLUSTRATIVE CONCEPTIONS OF POSITIVE MENTAL
HEALTH IN TERMS OF MULTIPLE CRITERIA
JAHODA (1958)
ALLPORT (1960)
self-objectification
ego-extension
unifying philosophy of
life
realistic coping skills,
abilities, and perceptions
warm and deep relation of
self to others
compassionate regard for
all living creatures
NOTE: Rubrics rearranged to bring out parallels.
(Smith, 1961, p. 300)
Theories of Psychological Health and Optimal Functioning
Landsman (1967) presented a group of factors from
research and hypothesized their role in optimal functioning.
Among these factors were: solitude during the functioning;
a foundation of early positive human experience; the avail¬
ability of a helping person during episodes of negative
experience and a sense of yearning. Landsman also hypo¬
thesized that "one can learn to be or not to be one's best
self (ennoblement), and that the worst and the best can
reside in the same self" (1967, p. 41).
attitudes toward the self
growth and self-
actualization
integration
autonomy
perception of reality
environmental mastery

19
Privette (1964) analyzed factors which were present in
instances of high-level functioning which she called "trans¬
cendent functioning." Present in the majority of trans¬
cendent episodes were: 1) Clear focus upon self and object
and the relationship between self and object; 2) Determina¬
tion to excel or achieve; 3) Awareness of other persons in
a positive sense; 4) Intense involvement or commitment;
5) Spontaneous expression of force and power; 6) Response
to the demands of a significant person (Privette, 1964;
quoted by Landsman, 1967, p. 42). Privette added "it
seems likely that physical, psychological and social well¬
being could free a person to function efficiently" (1964,
p. 23).
Puttick (1964) identified the top ten percent of extra¬
ordinary, psychologically healthy women in a teachers
college. He listed the factors discriminating the highest
group from the lowest ten percent as: 1) Zestful joy in
living; 2) Relaxed non-pretentiousness; 3) Guileless
autonomy; 4) Objectified self-knowledge; 5) Spontaneity;
6) Trust in inner self; 7) Capacity for intimacy; and 8)
Sense of mission (1964, p. 153). The lowest ten percent
were discriminated by: 1) Limited self-knowledge; 2)
Reserved joyfulness; 3) Absence of sense of mission; 4)
Self-facade; 5) Introverted self-concern; 6) Independence
(pseudo-autonomy); and 7) Meticulousness (1964, p. 156).
Puttick concluded that:
. . .the subjects in the two groups were two very
different kinds of people. They seemed to view

20
the process of living from two very different
frames of reference. Their attitudes toward
self, others, and the world seemed quite dis¬
parate (1964, p. 157).
Puttick found that the absence of neuroticism does not
mean the presence of positive mental health, although it
may be a necessary prerequisite. Puttick said that "mental
health and psychopathology, as they were defined in (his)
study may represent two different continua" (1964, p. 160).
Duncan (1970) also proposed separate continua for extreme
psychological health and normality/pathology.
Otto (1967) held the idea that
. . .the average healthy individual is functioning
at 10 percent or less of his capacity, actualizing
our possibilities can become a joyous and
exciting journey which adds both new depth and
new meaning to our existence (p. 50).
Maslow, Murphy, Fromm, Rogers, Mead, Rhine and others also
held this view. Otto felt that psychologists, psychia¬
trists and social workers needed to study healthy people and
optimal functioning. To stress the lack of concern of psy¬
chologists in studying psychological health, Otto surveyed
the American Psychological Association's 1966 list of
program presentations. Of 2,140 individual presentations
that year, less than one-half of one percent were related
to fostering growth or health in normal individuals.' Otto
(1966, 1967) nurtured the actualizing process by concen¬
trating on the following areas: 1) Creating sustained
interest; 2) Enlarging self-concept and enhancing self-
image; and 3) Encouraging an assessment of values and life

21
goals (1967, pp. 50-51). For Otto, man was "a continuous
act of self creation" and that "genuine pleasure becomes a
major fulcrum in creative self-realization" (1967, p. 54).
People fail to grow and actualize by being trapped in
"pseudo-pleasures" and avoiding new experiences and ideas.
They prefer to continue in the ever deepening rut
of their habit-dominated existence. . .a habit is
a rut which a person digs progressively deeper
until it reaches the depth of six feet, at which
time it becomes a grave with the ends knocked out
(Otto, 1967, p. 51).
Otto (1962) worked with "normals" as a "strength-seeker,"
persuading them to invest themselves in a planned, syste¬
matic way towards the task of actualizing.
Erickson (1959) saw a sense of identity as a prerequi¬
site to psychological health. He emphasized that "ego-
integration" is necessary before intimate relationships
with others can develop. Like Maslow, Erickson too stressed
the importance of healthy sexual relationships which he
termed "orgiastic potency." This term implies:
The capacity for full, heterosexuality maturity
involving complete genital sensitivity and an
overall discharge of tension. This discharge of
tension includes not only physical tension but
something more; it includes transcendance of all
potentially frustrating (tension producing)
opposites such as male and female, fact and fancy,
work and play, etc. Orgiastic potency, in the
sense described, is the indicator of mature ego
integration (Puttick, 1964, p. 19).
Rogers (1959) used the term "fully functioning person" in
describing "perfect adjustment." This person was described
. . .person in process, a person constantly chang¬
ing. . .specific behaviors cannot in any way be
as a:

22
described in advance. The only statement which
can be made is that the behaviors would be ade¬
quately adaptive to each new situation, and that
the person would be continually in a process of
further self-actualization. . .fully functioning
person is synonymous with optimal psychological
maturity, complete congruence, complete openness
to experience, complete extensionality, as these
terms have been defined (Rogers, 1959, quoted in
Sahakian, 1969, p. 179).
Rogers' "ultimate hypothetical person" is synonymous with
"the goal of social evolution" (Sahakian, 1961, p. 177).
Table 3 describes in detail Rogers' "fully functioning
person." Jahoda (1958), Combs and Snygg (1959), Scachtel
(1959) and others have stressed that the idea of openness,
as outlined as Rogers, is central to a concept of healthy
functioning.
Frankl (1958, 1962) discussed man's "will to meaning."
The healthy individual is one who has found meaning in life
and can survive life's challenges. The person who experi¬
ences a lack of meaning is in a "state of inner emptiness"
or the "existential vacuum." Frankl's therapeutic approach,
termed "logotherapy," helped man find meaning in existence.
By fulfilling this meaning the person actualized:
. . .as many value potentialities as possi¬
ble. . . .In short, man is motivated by the will
to meaning. . . .Man's search for a meaning is
not pathological, but rather the surest sign of
being truly human (Sahakian, 1969, p. 229).
By "self-transcending" or rising above the biological and
psychological foundations of existence, a person can
realize the essence of experience, the "specifically human
mode of being" (p. 230). Frankl saw self-actualization as
a by-product of self transcendence.

23
TABLE 3
THE FULLY FUNCTIONING PERSON AS DESCRIBED
BY CARL ROGERS
A. The individual has an inherent tendency toward actuali¬
zing his organism.
B. The individual has the capacity and tendency to symbo¬
lize experiences accurately in awareness.
1.A corollary statement is that he has the capacity
and tendency to keep his self-concept congruent
with his experience.
C. The individual has a need for positive regard.
D. The individual has a need for positive self-regard.
E. Tendencies A and B are most fully realized when needs
C and D are met. More specifically, tendencies A and
_B tend to be most fully realized when
1. The individual experiences unconditional positive
regard from significant others.
2. The pervasiveness of this unconditional positive
regard is made evident through relationships marked
by a complete and communicated empathic understand¬
ing of the individual's frame of reference.
F. If the conditions under E are met to a maximum degree,
the individual who experiences these conditions will be
a fully functioning person. The fully functioning
person will have at least these characteristics:
1. He will be open to his experience.
a. The corollary statement is that he will exhibit
no defensiveness.
2. Hence all experiences will be available to awareness.
3. All symbolizations will be as accurate as the
experiential data will permit.
4. His self-structure will be congruent with his
experience.
5. His self-structure will be a fluid gestalt, changing
flexibly in the process of assimilation of new
experience.
6. He will experience himself as the locus of evaluation,
a. The valuing process will be a continuing
organismic one.
7. He will have no conditions of worth.
a. The corollary statement is that he will
experience unconditional self-regard.
8. He will meet each situation with behavior which is
a unique and creative adaptation to the newness of
that moment.
9. He will find his organismic valuing a trustworthy
guide to the most satisfying behaviors, because
a. All available experiential data will be avail¬
able to awareness and used.

24
Table 3 - continued
b. No datum of experience will be distorted in, or
denied to, awareness.
c. The outcomes of behavior in experience will be
available to awareness.
d. Hence any failure to achieve the maximum possi¬
ble satisfaction, because of lack of data, will
be corrected by this effective reality testing.
10. He will live with others in the maximum possible
harmony, because of the rewarding character of
reciprocal positive regard. . . .
(Sahakian, 1969, pp. 178-179)
Existential theorists often wrote of higher states of
functioning. Existential psychotherapy grew largely from
the work of Heidegger and Kierkegaard. The unique state
postulated by them was termed Dasein. Authentic existence
is the state of the healthy individual. The structures of
human existence have been outlined by Kierkegaard:
Man is not a ready made being; man will become
what he makes of himself and nothing more. Man
constructs himself through his choices, because
he has the freedom to make vital choices, above
all the freedom to choose between an inauthentic
and authentic modality of existence. Inauthentic
existence is the modality of who lives under the
tyranny of the plebs (crowd). Authentic existence
is the modality in which a man assumes the respon¬
sibility of his own existence. In order to pass
from inauthentic to authentic existence, a man
has to suffer the ordeal of despair and "exis¬
tential anxiety," i.e. the anxiety of a man facing
the limits of this existence with its fullest
implications: death, nothingness. This is what
Kirkegaard calls the sickness unto death (Ellen-
berger, 1958, paraphrased in Sahakian, 1969, p.
253 ) .
Buber (1937, 1955) saw higher levels of existence present
in the "I-Thou" relationship, an intimate mature relation¬
ship. He contrasted this in later writings (1958) to the

25
"I-It" relationship, a shallow, deceptive mode of relating.
Buber spoke of the
. . .importance of self differentiation as a pre¬
requisite to the capacity for relating in the I-
Thou manner. This differentiation involves "experi¬
encing" self and "using" self in the process of
living (Puttick, 1964, p. 32).
In surveying Buber's work, Puttick (1964) added:
Buber seems to be saying that essential encounters
with others both foster self-differentiation or
identity and also enable self-transcendence. Self-
identity and the I-Thou relationship are both
necessary to abundant living, but the relating is
the key (p.3 2).
Conrad (1952) differentiated positive mental health
or transcendent existence from non-health or ordinary
existence. Her criteria for positive health stressed
social relationship factors including mutual cooperation,
a deep, intimate and positive relationship and altruistic
behavior.
Dunn (1957, 1959) also discussed health, non-health,
and "high-level wellness." Dunn defined high-level well¬
ness as "a dynamic, integrated mode of functioning which
is oriented toward maximizing the potential of the indi¬
vidual" (Puttick, 1964, p. 34). Dunn also defined another
well state which he defined as absence of sickness, a dull
unproductive way of life. Leach (1962), like Dunn, Maslow
and Landsman, felt that a person attained high-level well¬
ness through positive or peak experiences. Lack of positive
experience will not trigger lower functioning but will
prevent the development of optimal functioning. Fiske and
Maddi (1961) stressed the importance of a variety and

26
diversity of experience in attaining psychological health,
while Thorne (1963) classified peak experience into six
categories. Landsman (1961) wrote". . .we have opened the
hidden half of the adjustment continuum, the realm of posi¬
tive experience" (p. 43). Landsman (1968) found that
nearly one-half of the significant positive experiences
reported by subjects were interpersonal ones. Duncan (1970)
reported "a direct relationship between life experiences
and the level of mental health" (p. 18).
Jourard (1958a, 1959, 1964, 1967, 1968) felt that the
healthy person must be able to self-disclose and to be
"transparent" to both the self and to others. Through deep
relationships marked by openness, the person enjoys
heightened perception and a richer sense of experiencing.
The transparent person was seen as a truly authentic person,
free from the sham and facade that marks a less-open rela¬
tionship or encounter.
The Rogers-Dymond Group (1954) demonstrated a relation¬
ship between positive self-concept and positive levels of
adjustment in the majority of the cases that they studied.
Chordorkoff (1954a, 1954b), Hanlon, Hoffstaetter and
O'Conner (1954) and Lepine and Chordorkoff (1955) have all
found an empirical relationship between emotional adjust¬
ment and congruence of attitudes between the real and ideal
self. Using a wide variety of measures of adjustment, all
researchers reported positive correlations between optimal
adjustment and high levels of congruence. In summarizing
these groups of studies, Puttick (1964) wrote:

27
The experience of self-adequacy and congruence or
self-integration, it seems, can be considered as
empirically derived criteria for positive mental
health. . .it appears from the evidence that the
ability to accept the self is a prerequisite to
accepting and respecting other people. . .(and)
that efficiency in living has something to do with
the efficiency with which the self is conceptua¬
lized (pp. 36-37 ) .
Norrell and Grater (1960) found a relationship between
accurate self-concept and realistic vocational choice.
Maslow's (1967) "metamotivated persons" were partially
defined as being the best persons for their particular jobs
and vice versa. Sheerer (1949), Conrad (1952) and Vargas
(1954) all supported the idea that self-acceptance is related
to respect and acceptance of others. Similar results have
been reported in a variety of research studies.
Fromm (1956) talked of the importance of love and the
ability to love in establishing "productive" life orienta¬
tion. All forms of love were seen as implying "care, respon¬
sibility, respect and knowledge" (1956, p. 26). Landsman
(1961) also stressed the importance of "one person caring
for another" in a relationship; for him, this was the
essence of the relationship.
Allport (1937, 1950, 1955, 1957) saw the attainment of
psychological health as a process of "becoming." He out¬
lined the two tendencies that are in conflict within a
person.
The first is "self-objectification" described as
"that peculiar detachment of the mature person
when he surveys his own pretentions and objectives
for himself, his own equipment in comparison with
the equipment of others and his opinion of himself
in relation to the opinion others hold of him."

28
The other tendency is "self-extension" which is
defined as "losing oneself in relations with others
and with the outside world." A healthy mature
person will integrate these conflicting tendencies
through "a unified system of ideals and goals which
constitutes the 'proprium,' the central charactero-
logical core of the individual" (Allport, 1937, pp.
213-214 in Puttick, 1964, p. 27).
Herzberg (1959, 1961, 1966) has talked of lower and
higher needs in the sense presented by Maslow. The lower
or "hygiene needs" are satisfied by man as "Adam." "Adam"
or man in a state of low level functioning strives to avoid
harm or unhappiness. Man as "Abraham" represents the
innate potential and possibilities of actualization. Herz¬
berg saw man as both Adam and Abraham, striving to satisfy
the needs of both natures. Rush (1959) wrote "man is
endowed with a nature that impels him to utilize and ful¬
fill his capabilities toward accomplishment" (p. 23).
Autonomy
Certain traits such as autonomy and creativity are
cited by many theorists of optimal functioning. Hartmann
(1951) saw autonomy as a healthy aspect of personality. He
conceptualized it as a motive or drive toward independence
from the environment, which enabled the individual to
regulate actions from within, rather than bowing to social
anxieties or pressures (Puttick, 1964, p. 18). Riesman,
Glazer and Deeny (1950) talked of the "autonomous person"
and the choice between social conformity and independence.
Angyl (1952) described the well integrated person in terms
of "self-determination" (autonomy) and "self-surrender."

29
Puttick (1964) added:
The healthy individual both actively organizes his
environment and, at other times, willingly submits
to the world. He can and should be both indepen¬
dent and dependent (p. 18).
Foote and Cottrell (1955) like Erikson (1959) stressed the
need for individual identity in mental health; they asso¬
ciated this concept of identity with both autonomy and
empathy. It seems that a certain level of autonomy is
crucial to optimal functioning and that the person must
know how and when to act in an autonomous manner.
Self-Concept
Combs and Snygg (1959) have described the psychologi¬
cally healthy or "adequate" person as one with a positive
self-concept. Murphy (1958), Moustakas (1956) and Rogers
(1959) are among the many who noted the importance of posi¬
tive self-attitudes in the development and maintenance of
a healthy personality. Just as a person may use a negative
experience as a source of growth or change, so too may
negative aspects of the personality be used as stimuli for
self-improvement. Although some aspects of the personality
may be negative, the healthy individual has an overall sense
of well-being and psychological health. Combs (1959) felt
that:
The healthy person who sees himself as generally
adequate is not easily threatened and can afford
to gamble, take risks, and move out toward others
and the world, because he is not threatened by
feelings of inadequacy. . .he can seek self¬
enhancement in relationships and activities rather
than having to devote his energies to careful
maintenance of his self-organization (Combs, 1959,
quoted in Puttick, 1964, p. 20).

30
Shostrom (1964) developed the Personal Orientation
Inventory (POI), which purports to measure self-actualiza¬
tion. Shostrom agreed that the self-actualizing person
can accept negative aspects of the personality, such as
anger and lust, and integrate these negative aspects succes-
fully into the total personality. Low functioners were
seen as failing to make full use of the self, by rejecting
as foreign, certain aspects of their personalities.
Solitude
Maslow often spoke of the need for solitude in self-
actualizing people. Moustakas (1961) termed this solitude
"existential loneliness" and saw this as an opportunity for
the person to re-charge, by getting in touch with the inner
self. Landsman (1967) said that the opportunity for soli¬
tude in episodes of high functioning is "more facilitative
(to being one's best self) than the presence of cheering-on
of others, even of the important others" (p. 41).
Sense of Mission
Maslow (1967, 1971), Landsman (1967), Privette (1964)
and Puttick (1964) have all postulated that high functioners
possess a sense of devotion, mission, commitment or a
yearning towards some calling or vocation. Privette (1964)
found "intense involvement and commitment" as an important
factor present in spisodes of transcendent functioning.
Humor
Allport (1961) and Maslow (1954) have identified
healthy, unhostile humor as important to psychological

31
health. Allport (1950, 1961) related humor to self¬
insight or "objectification" and to a religious sense.
Puttick (1964) explained that ". . .religion attempts to
reconcile basic incongruities, (while) humor may assist
the individual in living with incongruities in a similar
way" (p. 27).
Physical Health
Maslow noted that on many occasions his self-actualizing
subjects seemed to enjoy not only optimal psychological
health but also superb physical health and resistance to
disease. Seize (1958) noted the relationship between high
levels of stress and certain physical conditions. It is
now generally accepted that many physical illnesses such
as ulcers, colitis and possibly the common cold are related
to or caused by psychological states such as stress and
anxiety. The relationship between optimal psychological
health and physical well-being seems likely.
Creativity
Although research on creativity has been widespread
and would fill numerous pages if presented in one volume,
relatively little study has been devoted to the relationship
between creativity and psychological health. Craig (1966),
who was a student of Maslow's, compared Torrance's (1962)
personality characteristics that correlate with creativity
to Maslow's (1954) defining traits of self-actualizing
people and found almost perfect overlap. Maslow (1958,
1963, 1965, 1971) had long postulated a high relationship

32
between psychological health and creativity. Commenting
on Craig's findings, Maslow wrote:
There were two or three characteristics in that
list of thirty or forty which had not been used
to describe psychologically healthy people, but
were simply neutral. There was no single char¬
acteristic which went in the other, opposite
direction, which makes, let's say arbitrarily,
nearly forty characteristics or perhaps thirty-
seven or thirty-eight which were the same as
psychological health--which added up to a
syndrome of psychological health or self-
actualization (1971, p. 73).
Rogers (1961) viewed the creative process as
. . .the emergence in action of a novel relational
product, growing out of the uniqueness of the
individual on the one hand, and the materials,
events, people or circumstances of his life on
the other (p. 350).
Privette (1964) compared her concept of transcendent func¬
tioning with Rogers' definition of creativity. She saw
both as stressing the urge to expand, "to express and
activate all the capabilities of the organism" (1961, pp.
349-351; Privette, 1964, p. 15).
McKinnon (1960) described highly effective persons as
possessing a syndrome of combined personal soundness and
creativity. Cattell (1958), Guilford (1959), McKinnon
(1960), Peck (1962) and Puttick (1964) have all linked the
combination of intelligence and creativity to psychological
health. Anderson (1959) reviewed a variety of theories of
creative functioning and described the many aspects of this
process:
. . .Affection for an idea, absorption, concentra¬
tion, intensity of encounter, peak experience,
delight, ecstasy. . .desire to grow, capacity to
be puzzled, awareness, spontaneity, spontaneous

33
flexibility, adaptive flexibility, originality,
divergent thinking, learning, openness to new
experience, no boundaries, permeability of bound¬
aries, yielding, readiness to yield, abandoning,
letting go, being born every day, discarding the
irrelevant, ability to toy with elements, change
of activity, persistence, hard work, composition,
decomposition, recomposition, differentiation,
integration, being at peace with the world,
harmony, honesty, humility, enthusiasm, integrity,
inner maturity, self-actualizing, skepticism,
boldness, faith, courage, willingness to be alone,
I_ see, I feel, _I think, gust for temporary chaos,
security in uncertainty, tolerance of ambiguity
(pp. 237-238).
Active States of Positive Health
Landsman (1973) expanded his views of positive human
experience and the "beautiful and noble person." He listed
three stages of the healthy personality that were ripe for
research: 1) A self-loving person; 2) An environment-
loving person; and 3) A compassionate person (p. 10).
He discussed each of these stages in two states, an "active
or expressive state" and a "passive or receptive state"
(p. 11). Three of Landsman's six states are important to
the concept of autoevolution. The "self-loving person" in
the active state is defined as one who
. . .actively, joyously seeks out new experiences
of new learning but selectively in relationship
to his needs for growth, the needs of others and
in relationship to his self-discovered abilities
(1973, p. 11).
The environment-loving person in the active or expressive
state
. . .manifests a hunger for the physical world. He
builds, he plants, he produces physical objects,
he makes things in his work, he repairs, decorates,
creates beauty and a healthy environment about him.
He protects his environment and enhances it (p. 12)

34
This person is one who acts in some way to improve the
environment. Landsman's highest level, the compassionate
self was seen as an "excitor" of others. "He is a task-
facilitator, helps get jobs done, is socially facilitative,
helps persons to know and care for one another and most of
all is a personal growth facilitator. . . " (p. 13).
Yamamoto (1966) discussed the healthy person who
"actively masters his environment, shows a unity of persona¬
lity, and is able to perceive the world and himself
correctly" (Rosenblith and Allinsmith, 1962, p. 202)
"within the limiting biological and social conditions
specific to that particular developmental stage" (Yamamoto,
1966, p. 601). The healthy individual possesses a persona¬
lity that is "being" (Lovelinger, 1963, p. 243; Maslow,
1962a, p. 40; Yamamoto, 1966, p. 601), or fully functioning
at one particular developmental level. "At the same time
he is continuously 'becoming' or actively changing himself
or his environment to attain the next stage of equilibrium"
(Yamamoto, 1966, p. 601, underline mine). This conception
of active change of the self and the environment is central
to the concept of autoevolution.
Summary
The following statements, gleaned from the literature,
have been attributed by various theorists to high func-
tioners or psychologically healthy people. This author has
combined and modified these statements to describe persons
who are highly autoevolving. The hypotheses presented in

Chapter III will examine specific aspects of some of these
statements in depth.
The autoevolutionary person has satisfied the basic
human needs and is in the process of "becoming," "self-
actualizing," or functioning fully.
The autoevolutionary person is self-dedicating or
committed to some cause, task or job.
The autoevolutionary person does not envision a work-
play dichotomy.
All human beings possess autoevolutionary tendencies.
All human beings have the potential for higher actual
zation of autoevolutionary tendencies.
The autoevolutionary person is warm, sensitive and
humanistic.
The autoevolutionary person is loving and caring.
The autoevolutionary person is highly creative.
The autoevolutionary person has a need for solitude.
People can choose between autoevolutionary and "modal
behavior, i.e. higher levels of functioning need not
necessarily follow basic need gratification.
The autoevolutionary person has a deep sense of inner
trust and self-confidence.
The autoevolutionary person is optimistic.
The autoevolutionary person has a positive self-image
The autoevolutionary person uses "positive" and "peak
experiences as sources for growth.
The autoevolutionary person is autonomous.

36
The autoevolutionary person is empathic and congruent.
Autoevolutionary persons accept all parts of their
personality--they are ego-integrated.
The autoevolutionary person can experience and enjoy
intense and intimate relationships.
The autoevolutionary person can experience full genital
sensitivity and healthy sexuality.
The autoevolutionary person is open to experience.
The autoevolutionary person is free of serious malad¬
justment, neorosis or psychosis.
The autoevolutionary person is fluid rather than
static.
The autoevolutionary person lives in the "now" and has
a zest for living.
The autoevolutionary person accurately perceives
reality.
The autoevolutionary person can accept responsibility.
The autoevolutionary person is an individual, not a
follower.
The autoevolutionary person has no strong need to lead
others.
The autoevolutionary person sees potential goodness in
others.
The autoevolutionary person accommodates and assimi¬
lates experience so that the "self" remains in a state of
congruence with the environment.
The autoevolutionary person enjoys good physical health.

37
The autoevolutionary person functions at consistently
high levels.

CHAPTER III
METHODOLOGY
Autoevolutionary persons, or persons who are actuali¬
zing their own potential as well as actively working to
improve their environment, were identified in a certain
community on the basis of their community service. They
were compared to "average citizens" or "modal functioners"
in the same community on a variety of psychological tests
and behavioral traits and constructs.
Subj ects
Many studies of positive health and optimal functioning
have been criticized for the manner in which the sample was
chosen. Often, persons scoring high on the Personal Orienta¬
tion Inventories' (1962) self-actualization scale were
identified and subjected to various tests, measures and
experimental conditions.
Smith (1959, 1961) called for clarification of the
values defining positive health. One consideration cited
by Smith was that the values should be ". . .relevant to
the social context of the group under consideration" (1961,
p. 305). Smith criticized Maslow and others who based their
models of positive health on their own personal values,
rather than on consensual criteria. Likewise, Shostrom's
38

39
POI reflects his conception of self-actualization. Jahoda
(1958) suggested that values associated with positive health
should be determined by all citizens, rather than the mental
health "professionals."
In order to avoid value questions and problems that
are often associated with paper and pencil tests or training
judges to follow some pre-set definition in selecting a
sample, a rather unorthodox procedure was employed. The
Gainesville Sun, a local newspaper serving Gainesville,
Florida, and the surrounding areas, sponsors a yearly
contest to identify a person for a Community Service Award.
Any person or organization may nominate a candidate for the
award. They are asked to provide the nominee's name, and
to describe in what way the person serves or served the
community. Nominating letters must be signed, although
nominees can request that they remain unidentified.
Because it is an annual award, the nominees must have
performed part of their service during the current year.
The person's service, rather than the nominating letter
per se, is judged by a panel independent from the newspaper.
The author received permission from the editor to secure
the names of all finalists for the 1973 and 1974 contests.
These finalists were then subjected to further screening
(see Procedures). This was done after the 1974 contest
closed and all nominations had been evaluated by the
community judges. The subjects represented citizens who
were selected by their peers, for their community service

40
and personal characteristics. It was stated that to be
eligible, the nominees must work in some way to improve
or serve the community. This community service aspect
implies at least a moderate level of autoevolution in the
sense that these people are actively working to modify and
improve their environment and the lives of other people.
Qualities of the self as evolving or actualizing can be
inferred from the behavior of these people as well as the
nominating letters. All nominees lived in Gainesville,
Florida; the largest industry and employer in Gainesville
is the University of Florida. Gainesville has been called
the University City and "City in the Country." Area resi¬
dents vary from poor farm-workers (white and black) to
factory-workers and international scholars and authors.
Many of Gainesville's residents are students, staff and
professors at the University. All residents were potential
nominees regardless of age, sex, race, or socio-economic
level.
Control subjects were recruited from the same community
as the autoevolutionary group. An initial attempt to
randomly select control subjects was modified when the
control group began to significantly differ in age from the
autoevolutionary group. It was felt by the author, and has
been suggested by others, that age is an important factor
in attaining higher levels of functioning. Older subjects
initially c.ontacted in a random procedure were retained and
about 75% of a new control group were recruited with the

41
help of friends, neighbors, students and faculty. An
attempt was made to select a group who were truly "modal"
or average in every respect except for their age. This
considerably older sample then became the final modal group
that was studied.
Instruments - Rationale
The instruments chosen in the present study purport
to measure certain psychological traits or constructs that,
based on the review of the literature, appear to be impor¬
tant in differentiating between optimal and modal func-
tioners. The Personality Research Form (1967) was chosen
because of its better than average construction and relia¬
bility in measuring many of the traits that seem central to
optimal functioning. Earlier studies of various aspects of
psychological health and varied aspects of positive and
negative experience employed the Personal Orientation
Inventory (1962) as a check to confirm that judges can
identify selected groups of high-functioners. Horn (1975)
as well as McMillan (1965) and Seeman (1964) confirmed that
judges can identify these people; for this reason as well
as Shostrom's somewhat controversial definition of self-
actualization, the Personal Orientation Inventory was
excluded in favor of a second judging procedure.
The Rokeach Dogmatism Scale (1960) is one of the few
instruments that reliably differentiates between open and
closed thinkers. Openness was seen by many theorists as
an important factor in optimal functioning and in attaining

42
psychological health. An advantage of the Rokeach scale
is that it doesn't equate open and closed with liberal and
conservative. It is possible for a person to be "liberal"
and still score as highly dogmatic or closed, if that person
rigidly adheres to a strong liberal or radical philosophy.
The authors of the Means-End Problem Solving (MEP's)
procedure offer data to support their claim that means-end
thinking may plan an important role in successful behavioral
adjustment (Platt and Spivack, 1972, p. 18). An abridged
form of this rather new instrument was included to measure
any differences between the two groups in the quantity or
quality of their cognitive problem-solving skills.
Instruments - Description
The Personality Research form (Jackson, 1967), the
Rokeach Dogmatism Scale Form E (Rokeach, 1960) and an
abridged form of the Means-End Problem Solving procedure
(Platt, Spivack and Bloom, 1971) were administered to both
the autoevolutionary and comparison (modal) groups.
The Personality Research Form (PRF), developed by
Jackson and his associates (1967), attempts to combine
modern principles of personality and testing theory to
develop a "more rigorous and more valid assessment of
important personality characteristics" (Jackson, 1967, p.
4). The PRF is based on Murray's "need theory" and
variables of personality (1938). It was designed as a tool
to be used for personality research and to provide an instru¬
ment to accurately measure "broadly relevant personality

43
traits" (1967, p. 4) in a variety of settings. The various
forms of the test (A, B, AA, BB) were carefully developed
to provide a concise, convenient format that would possess
the qualities of reliability, validity and generalizability.
Form A was employed in the present study; like the parallel
Form B, it provides information for fifteen scales. There
are twenty items keyed to each scale, yielding a total of
three hundred true or false questions. The longer forms
provide seven additional scales, but these were not rele¬
vant to the present study. The faster administration time
(35 to 45 minutes) also makes the shorter forms desirable
for this study.
A primary reason for the selection of the PRF was that
unlike many personality inventories, it is geared toward
areas of normal functioning rather than psychopathology
(Jackson, 1967, p. 4). The test is also an improvement
over Murray's scales because rather than being constructed
in only one direction, which causes the confusion of whether
the absence of a trait or the presence of an opposing trait
is responsible for a specific score, it is constructed in a
bipolar manner. This bipolarity was conceived theoreti¬
cally as well as in measurement terms.
The PRF (Form A) yields fourteen scales as measures of
personality. The fifteenth scale (Infrequency) is a validity
check. Descriptions of a high-scorer on each scale as well
as the defining trait adjectives for each scale are presented
in Appendix B. The fifteen variables are:
Achievement,

44
Affiliation, Aggression, Autonomy, Dominance, Endurance,
Exhibition, Harm Avoidance, Impulsivity, Nurturance, Order,
Play, Social Recognition, Understanding and Infrequency.
The PRF is self-explanatory and can be given on a
"take home basis" although it was standardized under super¬
vised conditions. Norms were derived for over two thousand
college males and females. A possible criticism of the
present study would be inappropriateness of these norms for
a non-college sample. Local norms or norms for the general
public are not available. Jackson wrote that in most
investigations, this should not interfere with the results:
While experience has indicated that non-college
samples conform reasonably in terms of summary
statistics, investigations using the PRF with
groups which are very different from college
students should exercise caution in applying
standard PRF forms without first evaluating the
differences (1967, p. 8).
Raw scores on the PRF can be converted to both standard
scores and percentiles. The PRF profile is developed by
converting the raw score for each scale to cumulative pro¬
portions and then to deviates of the normal curve. This
provides a profile
. . .which most accurately reflects a given sub¬
ject's standing with respect to the normative
group. . .about 68 percent of the subjects will
fall between 40-60 standard score units for any
given scale, and about 95 percent will fall within
a range of 30-70 (1967, p. 11).
Reliability for the PRF's fourteen scales ranges from
.77 to .90. Jackson felt that these respectable figures
may represent the lower bound estimate because test condi¬
tions on the two occasions were not identical. Also,

. . .the estimate of reliability--the generalized
classical test theory reliability coefficient, the
intraclass correlation--is generally smaller in
size than the simple intercorrelation (1967, p. 20).
The Infrequency scale (validity check) may appear to have
a low reliability coefficient (.46), but this is common
for scales with "very small means and skewed distribution"
(p. 21).
Two measures of validity are reported for the PRF,
the usual measure of convergent or concurrent validity
and also a measure of discriminant validity. Jackson wrote,
To demonstrate convergent and discriminant vali¬
dity, a set of measures should correlate substan¬
tially with corresponding traits measured by
different methods and in addition show evidence
of independence from conceptually unrelated traits
(p. 25).
Convergent validity was tested in a variety of studies and
was generally around .50. Jackson feels that this
. . .exceed(s) those typically reported for per¬
sonality inventories by a comfortable margin, and
attest(s) to the value of the strategy of scale
construction employed in the development of the
PRF (p. 24).
To test the discriminant validity of the PRF, it was
necessary to develop a new statistical procedure which would
focus upon the variance common to two or more methods of
measurement. This "multimethod factor analysis" (Jackson,
1966) showed that the PRF was sufficiently discriminant and
that it was ". . .possible to treat each PRF scale as
distinct, and to have confidence that each is providing a
unique contribution to assessment" (p. 25).
The Dogmatism Scale (1960), often called the Rokeach

46
Dogmatism Scale after the author Milton Rokeach, measures
"individual differences in openness or closedness of belief
systems" (1960, p. 71). Dogmatism is defined as a
. . .closed way of thinking which could be asso¬
ciated with any ideology regardless of content,
an authoritarian outlook on life, an intolerance
toward those with opposing beliefs and a suffer¬
ance of those with similar beliefs (pp. 4-5).
Open and closed are seen as two extremes on a continuum.
Highly dogmatic people hold closed thoughts about a variety
of issues; those scoring very low in dogmatism are seen as
being open.
The scale was developed in a deductive manner. State¬
ments were designed to tap the defining characteristics of
"open" and "closed." Rokeach commented on the idea behind
the scale:
Insofar as possible, we looked for statements
that express ideas familiar to the average person
in his everyday life. Some of the statements
appearing in the Dogmatism Scale were inspired
by spontaneous remarks we overheard being made
by persons we thought intuitively to be closed-
minded. Above all, each statement had to be
designed to transcend specific ideological posi¬
tions in order to penetrate to the formal and
structural characteristics of all positions.
Persons adhering dogmatically to such diverse
viewpoints as capitalism and communism, Catholi¬
cism and anti-Catholicism, should all score
together at one end of the continuum and should
all score in a direction opposite to others
having equally diverse yet undogmatic view¬
points (1960, p. 72).
The Dogmatism Scale is constructed in a forced-choice
manner. Respondents are asked to mark from +3 to -3,
depending on how they feel about each statement. Positive
scores mark agreement and are scored as closed; negative

scores mean disagreement and are viewed as open. Unlike
the Rokeach Opiniation Scale which is dated and culturally
bound, the Dogmatism Scale is relatively free of these
restraints. Form E, which was used in this study, contains
the best forty items, factor analyzed from previous scales.
The reliability ranges from .68 to .93 (1960, p. 90).
Appendix C lists the instructions and forty items presented
in Form E. Norms are not necessary for the present study
because only the mathematical differences between the
numerical scores of the two groups are of importance in
measuring any differences in their degree of dogmatic
thinking. Rokeach presented his theory of dogmatism as well
as the various Dogmatism and Opinionation scales and the
scores for various groups in his book, The Open and Closed
Mind (1960). Kemp (1962), Stefflre, King and Leafgren
(1962), Cahoon (1962) and Russo, Kelz and Hudson (1964)
have all reported significantly lower levels of dogmatism
for counselors who were judged as "good" or effective. Open-
mindedness seems facilitative to successful interpersonal
relationships, which are important in attaining and main¬
taining psychological health.
The Means-End Problem Solving Procedure (MEP's, Platt,
Spivack and Bloom, 1971) attempts to measure cognitive
mediational functioning in real life problematic situations.
The nine stories in the original version measure
. . .the extent to which the S, when presented
with a situation involving an aroused need and
the resolution of the problem (i.e. satisfying
that need), is capable of conceptualizing

48
appropriate and effective means of reaching the
problem resolution stage of the stories (Platt
and Spivack, 1972, p. 3).
The stories deal with both interpersonal and impersonal
themes. The HEP's consist of stories or story-stems in
which a beginning and ending are provided; the subject is
asked to write a middle for the study, i.e. to connect the
beginning and the end. In each situation, a need is
aroused in the protagonist and satisfied in the ending
provided. Primary scoring is for the number of means used
in reaching the solution stage, but the type of mean given
may also be placed into empirical categories. Enumeration
of means in reaching the goal, obstacles to the goal,
passage of time in reaching the goal, and the ratio of
relevant to irrelevant responses may also be scored. The
present study focused primarily on the quantitative measure
of means. Reliability coefficients for total number of
means on nine stories for fifteen control subjects selected
at random and scored by two student raters was .98. Agree¬
ment between the raters for placing the means into empirical
categories was .84, with a range of .77 to .95 for the
individual stories (Platt et al., 1971, p. 4). Reliability
and validity for the MEP's are within acceptable ranges.
A complete report on the validity of the concept of means-
end thinking was presented by Platt (1968, U.S.P.H.S.
Institutional Support Grant, #751-20-9966). To keep the
testing time within a reasonable limit, only three means-
end stories were used in the present study. These three

49 •
stories were representative of the overall validity and
reliability of the traditional form of the test. Appendix
D lists the abridged Means-End test.
Subjects were also asked to complete a questionnaire
(Appendix E). In addition to assessing demographic data,
certain areas not measured by previous tests were included.
Likert-type scales were used to question subjects about
specific behaviors that may differentiate autoevolutionary
people from modal functioners. These scales are con¬
structed so that subjects mark their degree of agreement or
disagreement to statements. Responses range from strongly
agree to strongly disagree. An example is the item "I
enjoy good physical health." Maslow suggested that self-
actualizing people may enjoy better physical health and
resistance to disease. Specific items reflect attributes
of psychological health and optimal functioning postulated
by various theorists throughout the literature. They were
included in an attempt to explore these possible relation¬
ships and as areas for further research. Landsman (personal
communication, March 6, 1975) suggested that certain open-
ended questions be included in an effort to discover
unknown or unexpected traits that autoevolutionary people
may possess.
Procedures
Potential autoevolutionary subjects were nominated by
a variety of citizens throughout the community as candidates
for a Community Service Award. The names of all acceptable

50
niminees for 1973-1974 (those who had served the community
in any manner) were secured from the newspaper sponsoring
the contest. There had been 34 nominees for the two
yearly contests. Two had since died, or were nominated
posthumously, so there were actually only 32 possible
autoevolutionary subjects.
An informal poll was taken by asking a person who knew
all of the people to identify anyone that he felt was not
functioning in a psychologically healthy manner. One
person was eliminated. Copies of the original nominating
letters for the remaining 31 subjects were secured from the
newspaper. These letters were then given to a panel of
three judges, who were asked to identify those people who
showed a high degree of selfless community service, i.e.
those who were acting to improve the environment and who
also seemed from the letters to be functioning fully in a
psychologically healthy way. Using this definition, each
judge was asked to select the "best" twenty people from the
sample. The judges unanimously selected sixteen names.
Four more names were added after discussion and majority
agreement. Letters were sent to each potential subject,
saying that the author, as part of his doctoral research,
was interested in studying people who were active in
community service (see Appendix F). Three days after the
letters were mailed, the author personally phoned each of
the people and asked for their cooperation. Nineteen
people were reached by phone; all of them agreed to

51
participate. Testing packets were delivered to the sub¬
jects in pre-paid return envelopes. One subject returned
the packet with an apology, saying that she didn't have the
time to answer the questionnaires. Although the subjects
were asked to complete and return the packets within one
week, it actually took almost three weeks and follow-up
calls before sufficient data were gathered. The final
group was comprised of 16 subjects who, based on the selec¬
tion process, were termed "autoevolutionary." Two addi¬
tional subjects failed to complete the testing packet
before the final cut-off date.
Control subjects were initially chosen at random and
contacted in the same manner as the above subjects (see
Appendix F). Only about 40 percent of those contacted
would even consent to look at the questionnaires to con¬
sider completing them. Partially for this reason, but
more so because of the previously mentioned significant age
difference, a matching procedure was employed. Approxi¬
mately 25 percent of the original random sample was
retained. Additional people were recruited with the help
of friends, neighbors and students. They were asked to
give the packet to "someone over 40" or "someone about 50,"
etc. In this manner the two groups were approximately
matched for age. There were 17 subjects in the control or
comparison group. Twenty people had "agreed" to complete
the testing packet, but, like the previous group, some
failed to return the data after the cut-off date and
repeated phone calls.

52
Hypotheses
This study focused on 17 specific major hypotheses
related to traits or constructs that may differentiate
autoevolutionary from modal persons. A number of minor
hypotheses were also examined.
The major hypotheses presented in null form were:
1)
There will be no significant differences between
autoevolutionary and modal functioners as measured
by the Personality Research Form's 15 scales.
(This will be tested as 15 separate null hypotheses.)
la)
There will be no significant differences between
autoevolutionary and modal functioners in Achieve¬
ment as measured by the Personality Research Form
(PRF).
lb)
There will be no significant differences between
autoevolutionary and modal functioners in Affilia¬
tion as measured by the PRF.
lc)
There will be no significant differences between
autoevolutionary and modal functioners in Aggres¬
sion as measured by the PRF.
Id)
There will be no significant differences between
autoevolutionary and modal functioners in Autonomy
as measured by the PRF.
le)
There will be no significant differences between
autoevolutionary and modal functioners in Dominance
as measured by the PRF.
If)
There will be no significant differences between
autoevolutionary and modal functioners in Endurance
as measured by the PRF.
lg)
There will be no significant differences between
autoevolutionary and modal functioners in Exhibi¬
tion as measured by the PRF.
lh)
There will be no significant differences between
autoevolutionary and modal functioners in Harm-
avoidance as measured by the PRF.
li)
There will be no significant differences between
autoevolutionary and modal functioners in Impul-
sivity as measured by the PRF.

53
lj) There will be no significant differences between
autoevolutionary and modal functioners in Nurtu-
rance as measured by the PRF.
lk) There will be no significant differences between
autoevolutionary and modal functioners in Order
as measured by the PRF.
ll) There will be no significant differences between
autoevolutionary and modal functioners in Play as
measured by the PRF.
lm) There will be no significant differences between
autoevolutionary and modal functioners in Social
Recognition as measured by the PRF.
ln) There will be no significant differences between
autoevolutionary and modal functioners in Under¬
standing as measured by the PRF.
lo) There will be no significant differences between
autoevolutionary and modal functioners in Infre¬
quency as measured by the PRF.
2) There will be no significant differences between
autoevolutionary and modal functioners as measured
by the Rokeach Dogmatism Scale, Form E.
3) There will be no significant differences between
autoevolutionary and modal functioners as measured
by an abridged form of the Means-End Problem
Solving procedure. (The quantitative score or
measure will be used.)
A questionnaire (Appendix E) was also included to
gather demographic information and to investigate possible
differences between the groups in areas not measured by the
other tests that were administered. Open-ended questions
were included in an attempt to discover any unknown or
unexpected characteristics of autoevolutionary or modal
functioners.
The minor hypotheses are that there will be no
difference, item by item, in the responses for the two
groups on the questionnaire.

54
Data Analysis
All data were tallied and compared by the Analysis of
Variance procedure (ANOVA). One-way ANOVA's were computed
to test each hypothesis. This method is appropriate for
comparing two groups on measures that are independent. The
level of significance was set at .10, which is not as
stringent as the more frequently employed .05, .01, or .001
levels. The author and his supervisory chairman felt that
a less sensitive measure of significance would aid in
identifying possible relationships that would be overlooked
if higher significance levels were employed. Since the
purpose of this study was to identify a large number of
possible variables that discriminate autoevolutionary from
modal functioners, Type II or "beta" errors were more
acceptable.
Likert-type items from the questionnaire were cate¬
gorized according to level of agreement by counting the
frequency of each response. Open-ended responses were
placed into empirical categories and their frequency of
occurrence noted. These categories were based on the
specific content of each response. An example would be
"How do you think you became the type of person that you
are now?" Categories were: "Family," "Schooling," etc.

CHAPTER IV
RESULTS
The Analysis of Variance procedure (ANOVA) was used in
examining the differences between the autoevolutionary and
modal group. Seventeen one-way ANOVA's were computed.
Tables 4 through 18 list the source and obtained F's for
the 15 scales of the Personality Research Form. Table 19
lists the sources and F for the Rokeach Dogmatism scale,
while Table 20 lists this information for the abridged
Means-End Problem Solving procedure. The level of signifi¬
cance for each was set at .10.
Hypothesis 1 stated: "There will be no significant
differences between autoevolutionary and modal functioners
as measured by the Personality Research Form's 15 scales."
Each specific scale was tested as a separate null hypothesis.
The ANOVA (Table 4) for the Achievement scale showed no
significant differences between the two groups and failed
to reject the null hypothesis (la). Table 21 lists the
means, standard deviations and ranges for the two groups.
One way ANOVA's also failed to reject the null hypo¬
theses lb, lc, Id, le, If, lg, lh, li, lj, 11 and lo.
Hypotheses lk, lm and In proved significant at or beyond
the .10 level. The null hypotheses were rejected for these
three scales. Tables 5 through 18 list ANOVA's for these
55

56
TABLE 4
ANALYSIS OF VARIANCE BETWEEN AUTOEVOLUTIONARY
AND MODAL SUBJECTS AS MEASURED BY THE
ACHIEVEMENT SCALE OF THE PRF
Source
df
ss
V
F
Between
1
. 24
. 24
.03
Within
31
282.00
9.10
Total
32
282.24
TABLE 5
ANALYSIS OF VARIANCE BETWEEN AUTOEVOLUTIONARY
AND MODAL SUBJECTS AS MEASURED BY THE
AFFILIATION SCALE OF THE PRF
Source
df
ss
V
F
Between
1
. 01
. 01
. 001
Within
31
262.05
8.45
Total
32
262 .06

57
TABLE 6
ANALYSIS OF VARIANCE BETWEEN AUTOEVOLUTIONARY
AND MODAL SUBJECTS AS MEASURED BY THE
AGGRESSION SCALE OF THE PRF
Source
df
ss
V
F
Between
1
8.79
8.79
. 99
Within
31
274.18
8.84
Total
32
282.97
TABLE 7
ANALYSIS OF VARIANCE BETWEEN AUTOEVOLUTIONARY
AND MODAL SUBJECTS AS MEASURED BY THE
AUTONOMY SCALE OF THE PRF
Source
df
ss
V
Between
Within
1
31
3.49
157.05
3.49
5.06
.69
Total
32
160.54

58
TABLE 8
ANALYSIS OF VARIANCE BETWEEN AUTOEVOLUTIONARY
AND MODAL SUBJECTS AS MEASURED BY THE
DOMINANCE SCALE OF THE PRF
Source
df
ss
V
F
Between
1
12.88
12.88
. 74
Within
31
539.00
17.39
Total
32
551.88
TABLE 9
ANALYSIS OF VARIANCE BETWEEN AUTOEVOLUTIONARY
AND MODAL SUBJECTS AS MEASURED BY THE
ENDURANCE SCALE OF THE PRF
Source df ss v F
Between 1
1.09 1.09 .11
Within
31 299.91 9.67
Total
32
301.00

59
TABLE 10
ANALYSIS OF VARIANCE BETWEEN AUTOEVOLUTIONARY
AND MODAL SUBJECTS AS MEASURED BY THE
EXHIBITION SCALE OF THE PRF
Source
df
ss
V
F
Between
1
25. 56
25.56
1.40
Within
31
565.41
18.24
Total
32
590.97
TABLE 11
ANALYSIS OF VARIANCE BETWEEN AUTOEVOLUTIONARY
AND MODAL SUBJECTS AS MEASURED BY THE
HARMAV01DANCE SCALE OF THE PRF
Source df ss v F
Between 1 9.63 9.63 .82
Within 31 363.27 11.72
Total 32 372.90

60
TABLE 12
ANALYSIS OF VARIANCE BETWEEN AUTOEVOLUTIONARY
AND MODAL SUBJECTS AS MEASURED BY THE
IMPULSIVITY SCALE OF THE PRF
Source
df
ss
V
F
Between
1
30.24
30.24
2.15
Within
31
435.82
14.06
Total
32
466.06
TABLE 13
ANALYSIS OF VARIANCE BETWEEN AUTOEVOLUTIONARY
AND MODAL SUBJECTS AS MEASURED BY THE
NURTURANCE SCALE OF THE PRF
Source
df
ss
V
Between
Within
1
31
. 64
229.24
. 64
7.39
. 09
Total
32
229.88

61
scales in alphabetical order. Table 21 lists means,
standard deviations and ranges for each of these scales.
Autoevolutionary subjects scored significantly lower
than modal functioners on the PRF's "Order" scale (Table
14). This indicates less need than the modal group for
neatness, organization, tidyness and well-ordered systems.
Autoevolutionary subjects in this study seemed to lack
these compulsive-type traits.
TABLE 14
ANALYSIS OF VARIANCE BETWEEN AUTOEVOLUTIONARY
AND MODAL SUBJECTS AS MEASURED BY THE
ORDER SCALE OF THE PRF
Source df ss v F
Between 1 81.25 81.25 4.47*
Within 31 562.81 18.16
Total 32 644.06
*p<.10
Table 16 indicates a significant difference for the
Social Recognition scale. The means for the groups (Table
21) show a greater need for social recognition to be
present in the modal group. Neither group scored very
high in this trait, but the data suggest that the behavior
of autoevolutionary persons is less approval seeking,
proper, and recognition seeking than modal functioners. It

62
seems that those in the autoevolutionary group do not
"work(s) for the approval and recognition of others"
(Jackson, 1967, p. 7).
TABLE 15
ANALYSIS OF VARIANCE BETWEEN AUTOEVOLUTIONARY
AND MODAL SUBJECTS AS MEASURED BY THE
PLAY SCALE OF THE PRF
Source df ss v F
Between 1 5.15 5.15 .58
Within 31 274.06 8.84
Total 32 379.21
TABLE 16
ANALYSIS OF VARIANCE BETWEEN AUTOEVOLUTIONARY
AND MODAL SUBJECTS AS MEASURED BY THE
SOCIAL RECOGNITION SCALE OF THE PRF
Source df ss v F
Between 1 58.56 58.56 4.73*
Within 31 383.32 12.37
Total 32 441.88
*p<.10
Autoevolutionary persons scored significantly higher
than the modal group on the PRF's Understanding scale

63
(Table 17, Table 21). This higher mean score for the
autoevolutionary group indicates a greater need in these
people for a broad understanding of many areas of knowledge.
They can be seen as more inquiring, curious, analytical and
intellectual than the modal group.
TABLE 17
ANALYSIS OF VARIANCE BETWEEN AUTOEVOLUTIONARY
AND MODAL SUBJECTS AS MEASURED BY THE
UNDERSTANDING SCALE OF THE PRF
Source df ss v F
Between 1 34.19 34.19 3.10*
Within 31 341.87 11.02
Total 32 376.06
*p<.10
TABLE 18
ANALYSIS OF VARIANCE BETWEEN AUTOEVOLUTIONARY
AND MODAL SUBJECTS AS MEASURED BY THE
INFREQUENCY SCALE OF THE PRF
Source
df
ss
V
Between
1
. 94
. 94
Within
31
29.12
. 94
Total
32
30. 06
1.00

64
Hypothesis 2 stated: "There will be no significant
differences between autoevolutionary and modal functioners
as measured by the Rokeach Dogmatism Scale, Form E." An
ANOVA was computed, and the resultant F was not significant.
Null hypothesis 2 was not rejected (Table 19). Means,
standard deviations and ranges for the two groups on the
Dogmatism scale are presented in Table 21.
TABLE 19
ANALYSIS OF VARIANCE BETWEEN AUTOEVOLUTIONARY
AND MODAL SUBJECTS AS MEASURED BY THE
ROKEACH DOGMATISM SCALE
Source df ss v F
Between 1 202.44 202.44 .21
Within 31 30200.53 974.21
Total 32 30402.97
The F for hypothesis 3 proved significant beyond the
.10 level and the hypothesis that "There will be no signifi¬
cant differences between autoevolutionary and modal func¬
tioners as measured by an abridged form of the Means-End
Problem Solving procedure (quantitative score)" was
rejected (Table 20). Table 21 lists the means, standard
deviations and ranges for the two groups on the Means-End
procedure.

65
TABLE 20
ANALYSIS OF VARIANCE BETWEEN AUTOEVOLUTIONARY
AND MODAL SUBJECTS AS MEASURED BY THE
ABRIDGED MEANS-END PROBLEM SOLVING PROCEDURE
Source
df
ss
V
F
Between
1
14.69
14.69
6.83*
Within
27
58.14
2.15
Total
28
72.83
*p<.10
The first part of the questionnaire used in this study
(Appendix E) asked subjects to respond to a variety of
statements by marking their agreement or disagreement on a
continuum from strongly agree to strongly disagree.
Responses to this soft data were tallied and subjected to
visual inspection. The response frequencies for each ques¬
tion are presented in Tables 22 through 35. The number
of subjects, unless otherwise noted, was 16 in the auto¬
evolutionary group and 17 in the modal group. The minor
hypothesis1 stated that there would be no difference, item
by item, in the responses for the two groups to the ques¬
tions. This seemed to hold true for most items, but there
were some notable exceptions. For the statement "I am a
religious person" (Table 22), it seems that the members of
the autoevolutionary group do not see themselves as being
quite as religious as those people in the modal group. A
few subjects in the autoevolutionary group wrote objections
to this question, asking "In what way?"

TABLE 21
MEANS, STANDARD DEVIATIONS AND RANGES FOR AUTOEVOLUTIONARY
AND MODAL SUBJECTS ON 15 PRF SCALES, THE DOGMATISM
SCALE AND THE ABRIDGED MEANS-END TEST
Autoevolutionary Modal
Scale
Mean
S.D.
Range
Mean
S.D.
Range
AC
15.06
2.92
6-18
15. 24
2 .92
8-19
AF
15. 25
2. 54
11-20
15.24
3 . 06
8-19
AG
3.44
3 . 06
0-11
4.47
2 . 81
0-11
AU
8 . 06
2.70
3-12
7.41
1.54
4-10
DO
9.75
4.73
4-17
11.00
4 . 59
3-19
EN
13.81
3 . 03
7-19
14.18
3.26
9-19
EX
8 . 06
3.78
2-15
9.82
4 . 30
2-17
HA
12.63
3.30
6-19
13.71
3 . 34
7-19
IM
8.44
4.17
2-16
10.35
3 .05
5-15
NU
14.75
2. 08
10-17
14.47
3 . 07
9-20
OR
8 . 63
2.74
5-14
11.76
5.10
2-19
PL
7 . 56
3.20
2-14
8.35
3 . 51
2-15
SR
7. 69
3.65
2-14
10.35
3.16
5-16
UN
14.63
2.03
10-18
12.59
4.03
6-20
IN
. 25
. 56
0-2
.59
1.19
0-5
Dogmatism
-25.25
25.38
o
1—1
+
1
/“■N
CN
-20.29
36.73
( — 86) — (+51)
MEP's
5. 36
1.39
3-8
3. 93
1.43
2-6

67
TABLE 22
RESPONSE FREQUENCIES OF AUTOEVOLUTIONARY
AND MODAL SUBJECTS TO THE STATEMENT:
I AM A RELIGIOUS PERSON
Group
SA A U D SD Total
Autoevolutionary 18 430 16
Modal 58220 17
Totals 6 16 650 33
Visual inspection of Tables 23 through 29 show that
the two groups responded in essentially the same manner
to these questions.
TABLE 23
RESPONSE FREQUENCIES OF AUTOEVOLUTIONARY
AND MODAL SUBJECTS TO THE STATEMENT:
AT TIMES, I ENJOY BEING ALONE
Group SA A U D SD Total
Autoevolutionary 78 100 16
Modal 96110 17
Totals 16 14 210 33

68
TABLE 24
RESPONSE FREQUENCIES OF AUTOEVOLUTIONARY
'AND MODAL SUBJECTS TO THE STATEMENT:
I AM CAPABLE OF FORMING INTIMATE RELATIONSHIPS WITH OTHERS
Group SA A U D SD Total
Autoevolutionary
4
10
2
0
0
16
Modal
6
6
3
2
0
17
Totals
10
16
5
2
0
33
TABLE 25
RESPONSE FREQUENCIES OF AUTOEVOLUTIONARY
AND MODAL SUBJECTS TO THE STATEMENT:
I ENJOY MY JOB, PROFESSION OR VOCATION
Group SA A U D SD Total
Autoevolutionary
6
10
0
0
0
16
Modal
7
9
1
0
0
17
Totals
13
19
1
0
0
33

69
TABLE 26
RESPONSE FREQUENCIES OE AUTOEVOLUTIONARY
AND MODAL SUBJECTS TO THE STATEMENT:
I HAVE A GOOD SENSE OE HUMOR
Group SA A U D SD Total
Autoevolutionary
5
8
3
0
0
16
Modal
9
5
3
0
0
17
Totals
14
13
6
0
0
33
TABLE 27
RESPONSE FREQUENCIES OF AUTOEVOLUTIONARY
AND MODAL SUBJECTS TO THE STATEMENT:
I HAVE AN ENJOYABLE SEX LIFE*
Group SA A U D SD Total
Autoevolutionary
3
8
1
2
0
14
Modal
6
6
1
1
2
16
Totals
9
14
2
3
2
30
*Three did not respond.

70
TABLE 28
RESPONSE FREQUENCIES OF AUTOEVOLUTIONARY
AND MODAL SUBJECTS TO THE STATEMENT:
I ENJOY LIFE
Group SA A U S SD Total
Autoevolutionary
9
6
1
0
0
16
Modal
10
5
2
0
0
17
Totals
19
11
3
0
0
33
TABLE 29
RESPONSE FREQUENCIES OF AUTOEVOLUTIONARY
AND MODAL SUBJECTS TO THE STATEMENT:
I AM A "GOOD" PERSON
Group SA A U D SD Total
Autoevolutionary 4 12 0 0 0 16
Modal 97100 17
Totals 13 19 1 0 0 33
Table 30 indicates that autoevolutionary subjects
report that they enjoy good health more frequently than
do the comparison subjects.

71
TABLE 30
RESPONSE FREQUENCIES OF AUTOEVOLUTIONARY
AND MODAL SUBJECTS TO THE STATEMENT:
I ENJOY GOOD PHYSICAL HEALTH
Group SA A U D SD Total
Autoevolutionary 2 13 1 0 0 16
Modal 93122 17
Totals 11 16 2 2 2 33
Table 31 shows the responses to the statement "I am
a dependent person." The modal group was much more likely
to see themselves as dependent, while many in the auto¬
evolutionary group showed disagreement and saw themselves
as independent.
TABLE 31
RESPONSE FREQUENCIES OF AUTOEVOLUTIONARY
AND MODAL SUBJECTS TO THE STATEMENT:
I AM A DEPENDENT PERSON
Group SA A U D SD Total
Autoevolutionary 03 2 92 16
Modal 34361 17
Totals 37 5 15 3 33

72
Subjects responded in a very similar manner to the
statement "I usually catch colds, the flu, etc." The
modal group had two subjects who agreed to this, while no
one in the autoevolutionary group showed agreement. There
were also no strong differences for the item "I am a
creative person" (Table 33).
TABLE 32
RESPONSE FREQUENCIES OF AUTOEVOLUTIONARY
AND MODAL SUBJECTS TO THE STATEMENT:
I USUALLY CATCH COLDS, THE FLU, ETC.*
Group SA A U D SD Total
Autoevolutionary 0 0 3 5 7 15
Modal 0 2 2 7 6 17
Totals 0 2 5 12 13 32
*One no response
TABLE 33
RESPONSE FREQUENCIES OF AUTOEVOLUTIONARY
AND MODAL SUBJECTS TO THE STATEMENT:
I AM A CREATIVE PERSON
Group SA A U D SD Total
Autoevolutionary 2 10 4 0 0 16
Modal 49310 17
Totals 6 19 7 1 0 33

73
Autoevolutionary subjects were more likely than
modals to agree with the statement (Table 34) "I am an
optimist."
TABLE 34
RESPONSE FREQUENCIES OF AUTOEVOLUTIONARY
AND MODAL SUBJECTS TO THE STATEMENT:
I AM AN OPTIMIST
Group SA A U D SD Total
Autoevolutionary 7 9000 16
Modal 85211 17
Totals 15 14 2 1 1 33
The groups responded very similarly to the statement
"I enjoy leading other people" (Table 35). Two people in
the modal group showed disagreement, while a few in both
groups were "uncertain."
In the second part of the questionnaire (Appendix E),
subjects were asked to respond to five open-ended questions.
Their responses were placed in general categories which
were derived by examining the content of the responses.
Many subjects gave more than one answer to specific ques¬
tions, so the number of responses differs for the various
questions. Individual responses that did not fit into a
specific category are not presently; only those responses
that were cited by three or more subjects appear in the
following tables.

74
TABLE 35
RESPONSE FREQUENCIES OF AUTOEVOLUTIONARY
AND MODAL SUBJECTS TO THE STATEMENT:
I ENJOY LEADING OTHER PEOPLE
Group SA A U D SD Total
Autoevolutionary 5 9200 16
Modal 57311 17
Totals 10 16 5 1 1 33
Visual inspection of the data shows no strong differ¬
ences between the responses of the two groups to the
question "What do you like about yourself?" Both seem to
stress certain (and varied) personal qualities as their
likeable characteristics. Table 36 lists the frequencies
and categories of response cited by the two groups.
TABLE 36
RESPONSE FREQUENCIES AND CATEGORIES OF
RESPONSE GIVEN BY AUTOEVOLUTIONARY AND MODAL
SUBJECTS TO THE QUESTION: WHAT DO
YOU LIKE ABOUT YOURSELF?
Group
Category
Others Like
Personal Appreciate Helping
Qualities Them Others Total
Autoevolutionary
17
4
3
24
Modal
20
4
2
26
Total
37
8
5
50

75
Some interesting differences appeared between the two
groups for the question "What do you dislike about your¬
self?" (Table 37). The autoevolutionary group cited
laziness, procrastination, lack of order or "nothing" most
frequently. They were saying that they should be doing
more, or shouldn't procrastinate or need more order. In
short, they realize some positive trait that they lack.
The modal group cited weakness of conviction, (bad) temper
and stubbornness or intolerance most frequently. The modal
group was reacting and responding to a negative trait that
they do have.
When asked how they thought they became "the type of
person that you are now," both groups cited the influence
of their family or parents. The autoevolutionary group
cited this influence twice as many times as the modal
group. Many in the autoevolutionary group cited their
education as being important to their development, while
no one in the modal group mentioned this. A few people in
both groups felt that their attitude, effort or "positive
thinking" aided their development. A considerable number
of people in the modal group cited negative experiences as
influencing their current personality. There were such
statements as "unhappy childhood" and "overcoming physical
disability." Table 38 lists the responses for the two
groups.
Table 39 shows the responses to the question "If you
weren't working at your present job, profession, etc.,

TABLE 37
RESPONSE FREQUENCIES AND CATEGORIES OF RESPONSE GIVEN BY
AUTOEVOLUTIONARY AND MODAL SUBJECTS TO THE
QUESTION: WHAT DO YOU DISLIKE ABOUT YOURSELF?
Category
Group
Lazy or
Procrastinate
Not Orderly
Enough
Nothing
Weak in
Conviction
Temper
Stubborn
Intolerant
Totals
Autoevolutionary
4
4
4
0
0
0
12
Modal
0
0
0
4
3
4
11
Total
4
4
4
4
3
4
23

TABLE 38
RESPONSE FREQUENCIES AND CATEGORIES OF RESPONSE GIVEN BY
AUTOEVOLUTIONARY AND MODAL SUBJECTS TO THE
QUESTION: HOW DO YOU THINK YOU BECAME THE TYPE OF PERSON THAT YOU ARE NOW?
Category
Group
Family or
Parents
Education
Attitude
Effort
Negative
Experiences
Totals
Autoevolutionary
13
6
4
0
23
Modal
6
0
3
5
14
Total
19
6
7
5
37

78
what other job or profession would you be engaged in?"
The majority of people in both groups were able to list
specific jobs or professions, but three times as many
subjects in the autoevolutionary group cited the exact same
job or gave a very vague answer. These people have trouble
seeing themselves doing anything vastly different from
their present vocation.
TABLE 39
RESPONSE FREQUENCIES AND CATEGORIES OF RESPONSE GIVEN
BY AUTOEVOLUTIONARY AND MODAL SUBJECTS TO THE
QUESTION: IF YOU WEREN'T WORKING AT YOUR
PRESENT JOB, PROFESSION, ETC., WHAT
OTHER JOB OR PROFESSION WOULD YOU BE ENGAGED IN?
Group
Category
Same Job
Or Same Area
Other
Specific
Job Title
No
Response
Totals
Autoevolutionary
6
8
2
16
Modal
2
14
1
17
Total
8
22
3
33
The final question attempted to determine whether
there were any differences in motivation for volunteer or
public service work between the groups. The autoevolution¬
ary group overwhelmingly listed such reasons as "improving
the environment," "making the world a bit better" or
"making this a better place to live." The modal group saw

79
their volunteer work as giving them personal pleasure or
reward. Some people in the autoevolutionary group also
said that it was their "duty" as a citizen, parent or that
others needed the help they could give. Table 40 lists
the categories and frequency of response.
TABLE 40
RESPONSE FREQUENCIES AND CATEGORIES OF RESPONSE GIVEN
BY AUTOEVOLUTIONARY AND MODAL SUBJECTS TO THE
QUESTION: IF YOU DO ANY VOLUNTEER, PUBLIC
SERVICE WORK, ETC., WHY DO YOU DO IT?
Make a
Better Personal
Place Pleasure Help
Group To Live Or Reward Duty Others Totals
Autoevolutionary
9
4
4
3
20
Modal
0
10
0
1
11
Total
9
14
4
4
31
Complete demographic data were gathered for only 15
of the 16 autoevolutionary subjects but for all (17) of the
modal group. An attempt was made to match the subjects for
age. The mean age for the autoevolutionary group was
51.47 years; for the modal group, 49.94 years. There was
a bi-modal age distribution of 44 years and 56 years in the
autoevolutionary group with a median age of 51 years. The
range was 26 to 77 years; corrected range was 36 to 69

80
years. The modal age for comparison group was 47 years;
their median age was 50 years with a representative range
of 30 to 65 years.
The groups turned out to be equal on the basis of sex.
There were nine females and six males (actually the seventh
person who gave incomplete demographic data was a male) in
the autoevolutionary group. The modal group was comprised
of ten females and seven males. The majority of subjects
in both groups were married. The breakdown for the auto¬
evolutionary group was: ten married (including a widow
who remarried), three divorced, one single and one widower.
A similar breakdown for the modal group shows: fourteen
married, two divorced and one widow. All subjects in both
groups listed their race as white although no attempt was
made to control for race.
The majority of subjects in both groups were members
of Protestant denominations. There were essentially no
differences between the two groups in their religious
preferences. Two people in each group listed "none."
A strong educational difference emerged between the
two groups. Both were above the educational level of the
general population, perhaps because the research was
conducted in a "university" town. Mean education for the
modal group was 13.82 years; for the autoevolutionary
group it was 17.47 years. This is a difference between
attending at least some college (modals) and some graduate
work (autoevolutionary group).

81
The educational differences are better reflected in
the degrees held by members of the two groups. Although
the range from high school education to doctorate was
basically the same for both groups, twelve modal subjects
did not complete a bachelors degree, two held the bachelors
one a masters and two had doctorates. The autoevolutionary
group held two doctorates, seven masters, four bachelors
and only two persons with less than a bachelors.
There were no major occupational differences between
the groups. Four persons in each group were housewives;
this was the most frequent category. Teachers, including
college professors, was the next most frequent category
followed by "retired" persons in both groups. All of the
autoevolutionary group were members of one of the three
listed groups or of other "people-oriented" occupations.
The remaining modal people included management, sales,
technical service, clerical and secretarial occupations.
Length of time in the occupation, including those who were
housewives, was 17.17 years for the autoevolutionary group
and 13.54 years for the modal group. These figures are
somewhat misleading because the retired persons only
listed the length of their retirement.
Salary or income level for the two groups is also some
what difficult to assess. The housewives generally listed
"none" for their salary, while the retired person's data
were often unclear. Based on the data that was given, the
median income for the autoevolutionary group was $15,000

82
with most falling in the $14,000 to $17,000 range. Modal
subjects had a median income of about $10,000 with most
falling in the $8,000 - $11,000 range. Overall range of
income was the same at the upper salary limit for both
groups, but the modal group had a lower, lower range limit.
These salary differences seem to reflect the general
educational differences between the two groups.

CHAPTER V
DISCUSSION OF RESULTS
Subjects who were judged as mentally healthy were
selected on the basis of their service to the community and
for working to improve the environment. They did this in
a variety of ways such as donating their time to aid the
elderly, coordinating life enriching and educational
activities for children and serving on public projects for
the disadvantaged. Most of the subjects were involved in
a great many such endeavors over a period of many years.
The final group that was chosen was termed autoevolutionary.
They were seen as psychologically healthy people who were
functioning fully and striving to constantly grow and
evolve. Most importantly they were people who were acting
upon the environment (persons, things, etc.) in an attempt
to effect adaptive change. These people were compared to
a group of "modal" or average citizens who were matched
to be of the same approximate age. The two groups were
also essentially the same in terms of sex, marital status,
race and religion although they weren't deliberately
matched for these traits.
There were no significant differences between the two
groups on 12 of the 15 scales of the Personality Research
Form: Achievement, Affiliation, Aggression, Autonomy,
83

84
Dominance, Endurance, Exhibition, Harmavoidance, Impul-
sivity, Nurturance, Plan and Infrequency. There would be
no expected differences between the two very similar groups
on most of these 12 scales. The review of the literature
had many references to the autonomy of psychologically
healthy people (Jahoda, 1958, Footeand Cottrell, 1955,
Erickson, 1959). Puttick (1964) saw the psychologically
healthy person as both "independent and dependent" (p. 6).
Jackson's (1967) definition of autonomy as measured by the
PRF includes terms such as rebellious, ungovernable,
resistant and lone-wolf. A high-scorer on the PRF's
autonomy scale is independent but is also "not tied to
people, places or obligations" (p. 6). The type of person
termed autoevolutionary in the present study was one who
devoted considerable time and energy to serving the community.
They accepted the responsibility for the welfare of others
and the community at large. Most of them were serving
through formal agencies, committees and programs. This is
one possible reason why they may not have scored higher on
autonomy as measured by the PRF. These people also
generally disagreed to the statement "I am a dependent
person" (Table 31) to a greater extent than the companion
group. This somewhat conflicting data would support
Puttick's (1964) claim that "the healthy individual both
actively organizes his environment, and at other times,
willingly submits to the world. . ." (p. 18).
A possible difference on the Nurturance scale might

85
be expected. This is defined as one who:
Gives sympathy and comfort; assists others when¬
ever possible, interested in caring for children,
the disabled or infirm; offers a "helping hand"to
those in need; readily performs favors for others
(Jackson, 1967 , p. -7).
When asked why they volunteer or do public service work,
the majority of the autoevolutionary group responded that
they were trying to make the world (community, etc.) a
better place (Table 40). Most modal subjects cited personal
reward as their motive. The means of the two groups were
approximately the same, and both fairly high (60th percen¬
tile), but apparently neither group is exceedingly high in
traits defined as "sympathetic, paternal, helpful, benevo¬
lent, etc." (Jackson, 1967, p. 7).
Significant differences were found for three of the
PRF scales: Order, Social Recognition and Understanding.
Autoevolutionary subjects scored significantly lower on the
Order scale which indicates that they do not have as great
a need as modal persons in terms that are often associated
with compulsivity such as "neat, organized, tidy, syste¬
matic, well ordered, disciplined, etc." (Jackson, 1967,
p. 7). Four of the autoevolutionary subjects responded to
the question "What do you dislike about yourself?" (Table
37) with "Not orderly enough." At least some of the auto¬
evolutionary subjects see order as a desired trait that
they lack.
There was a significant difference in the Social
Recognition scores of the two groups as measured by the

86
PRF. This difference was one of the strongest, exceeding
the .05 level of significance. Social recognition is defined
in terms such as "approval seeking, seeks recognition" and
"desires to be held in high esteem by acquaintances"
(Jackson, 1967, p. 7). Although the autoevolutionary group
does much that could be motivated by a need for social
recognition, they scored considerably lower in their need
for it than did the modal subjects. Most autoevolutionary
subjects stated that they worked to improve the environment
and to fulfill their "duty." Only a minority cited personal
reward as their motivation although this was the reason
cited by the majority of modal subjects. In Table 1,
Maslow was quoted as saying that self-actualizing people:
. . .avoid publicity, fame, glory, honors, popu¬
larity, celebrity, or at least do not seek it. . .they
do not need or seek for or even enjoy very much
flattery, applause, popularity, status, prestige,
money, honors, etc. . .(Maslow, 1971, pp. 308—
309 ) .
This seems to be the case with autoevolutionary subjects
in the present study.
Autoevolutionary subjects scored significantly higher
in their level of understanding than did modal subjects.
Understanding is defined as inquiring, curious, analytical,
exploring, intellectual, reflective and as a person who
"wants to understand many areas of knowledge" (Jackson,
1967, p. 7). The higher score of autoevolutionary subjects
can be explained in terms of a quest to be fully func¬
tioning as defined by Rogers (see Table 3) or self-
actualizing as discussed by Otto (1966, 1967). The

87
synthesis of ideas that accompany understanding can aid in
effective self-integration. Understanding also related to
creativity. Privette (1964) linked Rogers' definition of
creativity with her concept of transcendent functioning and
saw both as the desire "to express and activate all the
capabilities of the organism" (Rogers, 1961, pp. 349-351;
Privette, 1964, p. 15). This tendency also seems evident
in autoevolutionary subjects.
Anderson (1959) saw flexibility and adaptive flexibil¬
ity as important components of the creative process and as
being important to psychological health. Maslow, Rogers and
others have agreed that positive health is linked to open¬
ness, adaptability and flexibility. Although the auto¬
evolutionary group scored as very open on the Rokeach
Dogmatism scale, there was no significant difference between
the groups. The modal group also scored as open but showed
a much wider range of scores, some of which were in the
extremely "closed" range. A few highly negative scores
balanced out these differences. It could very well be that
in the rapidly changing world of today, adaptiveness,
flexibility and openness of thought and belief systems are
vital to an individual's survival. The dogmatism scale
was developed in 1960 and may no longer be a valid predictor
of "openness" and "closedness" because of the vastly
changed socio-political environment.
The autoevolutionary group scored significantly higher
than modal subjects in the number of means given on an

88
abridged form of the Means-End Problem Solving procedure.
This score was also significant beyond the .05 level. This
finding, coupled with the significant difference on the
Understanding scale of the PRF, suggests that in addition
to having a greater level of curiosity, analytical thinking
and need to understand and synthesize, the autoevolutionary
people are more capable in problem-solving. Their MEP's
scores suggest successful behavioral adjustment as well as
skills in providing the cognitive steps necessary for
effective problem solving. Scores for modal subjects were
within the normal range for adult subjects. Caution should
be exercised in examining the results of the MEP's, because
subjects completed an abridged form of three stories, rather
than the complete set of nine or ten stories. Also, two
subjects in each group failed to complete the stories
because of the time necessary even for the abridged form.
This left an extremely small number in each group (14 auto¬
evolutionary and 15 modals), but it is worth noting that
even with such small numbers, statistical differences did
occur.
Responses to a variety of statements and questions
posed in Appendix E were tallied and visually inspected.
It would not be appropriate to apply statistical procedures
such as the ANOVA to single-item, self-report questions.
These items were based on theories postulated in the
survey of the literature and were intended as areas to be
examined in future research.

89
The first statement read "I am a religious person."
There were more modal persons who strongly agreed with this
statement than autoevolutionary persons. More auto¬
evolutionary persons than modal persons responded as
uncertain or wrote to protest the ambiguity of the term.
Maslow (1967, 1971), Moustakas (1961) and Landsman
(1967) discussed the need for solitude in self-actualizing
and psychologically healthy people. Both groups agreed
that they liked to be alone at times. A possible explana¬
tion is that both groups contained psychologically healthy
individuals who maintain their health by periods of
solitude. There was also general agreement by both groups
to the statements that they could form intimate relation¬
ships, that they enjoyed their jobs, their sex lives, and
that they possessed a good sense of humor. They reported
that they "enjoyed life" and saw themselves as "good"
persons. All of these traits are seen as being important
to attaining psychological health. Because no psycho¬
pathology was evident in either group, they appeared
similar in their responses to these statements. Perhaps a
more sensitive instrument is needed to see if higher levels
of functioning correlate with higher need levels in these
areas. It is very likely that the Likert type scale was
inappropriate in finding any real differences that may
exist between the two groups.
Responses to the statement "I enjoy good physical
health" showed some differences. In the autoevolutionary

90
group, 15 of 16 agreed, in spite of the advanced ages of
many of the subjects. In the modal group, only 12 out of
17 agreed that they had good physical health, while four
voiced strong disagreement or disagreement. These results
tend to support Haslow's frequent observations that his
psychologically healthy people were often extremely
physically healthy and resistant to disease. It would be
difficult for extremely unhealthy persons to expound a
great deal of energy in acting to improve the environment.
Psychological ills are currently believed to cause a
variety of physical ills. The adage a healthy mind in a
healthy body may be truer than previously imagined.
Modal functioners were more likely to agree with the
statement that they were "dependent" persons. Most auto¬
evolutionary persons (11) disagreed with this statement
while two were uncertain and three agreed. This ties in
to the fact that psychological health probably involves a
balance between independence and dependence. This was
discussed when surveying the responses to the Autonomy
scale of the PRF.
There were no strong differences between the groups on
the question pertaining to frequency of colds, the flu,
etc., although again the autoevolutionary group appeared
slightly more resistant to these ills.
Both groups generally agreed that they were "creative"
persons. Maslow (1958, 1963, 1965, 1971), McKinnon (1960),
Cattell (1958), Guilford (1959), Peck (1962) and Puttick

91
(1964) have all postulated a link between intelligence and
creativity. Specific tests to measure levels of creativity
may prove more fruitful in discovering differences than
self-report techniques. Again it is likely that most
psychologically healthy individuals, like the members of
both groups, see themselves as creative.
More autoevolutionary subjects than comparison
subjects agreed that they were optimists, but the difference
was not great. A possible explanation is that the auto¬
evolutionary people see the results of their involvement
and action and are optimistic that the environment can be
improved. Most also stated that the reason for their
community service was to make it a better place to live.
Most persons in both groups were optimists. In this
period of sagging economy, runaway inflation and rising
unemployment, optimism may be necessary to maintain psycho¬
logical health.
Subjects in both groups responded similarly to the
statement "I enjoy leading other people." Most agreed (14
autoevolutionary and 12 modals) or were uncertain (2 vs.
3). Two modal subjects registered disagreement. It is
difficult to determine what should be expected here.
Maslow (1967, 1971) felt that self-actualizing people have
no great need to lead others, but they also can accept the
responsibility necessary to complete a task. It seems that
most psychologically healthy people can accept leadership
and enjoy it. Because of their community service experience,

92
autoevolutionary subjects may have more opportunities for
leadership activities.
Visual inspection to the open-ended questions presented
in Appendix E support much of what has been already stated.
Both groups possessed a variety of personal qualities that
they reported when asked "What do you like about yourself?"
Jahoda (1958), Otto (1967), the Rogers-Dymond Group (1954),
Rogers (1959), Combs and Snygg (1959), Murphy (1958) and
Moustakas (1956) are among the many to note the relation¬
ship between positive self-concept and self-image and
psychological health. Differences for this question would
most likely be apparent if the groups were compared to a
low-functioning sample.
An interesting pattern emerged when the two groups
were asked "What do you dislike about yourself?" The two
most common responses to autoevolutionary subjects were
that they were lazy or procrastinators or that they were
not orderly enough. Four autoevolutionary subjects stated
"nothing," reinforcing the concept of a positive self-
image. The modal group listed negative traits that they
possess; the most frequently listed were: weak (in con¬
viction), temper and stubborn or intolerant. The writer's
supervisory chairman categorized it appropriately by
saying that the autoevolutionary subjects listed a sin of
omission while the modal subjects listed a sin of commission.
It seems that autoevolutionary persons can identify and
integrate those areas of the personality that could use

93
modification and yet not be overly-threatened or inadequate
because of them. This idea was supported by Combs (1959)
who felt that "The healthy person who sees himself as
adequate is not easily threatened and can afford to live
adventurously and creatively" (quoted in Puttick, 1964,
p. 20).
When asked how they became the type of person that
they are, autoevolutionary subjects were twice as likely to
cite the influence of parents and family. They also cited
education and their positive attitudes and effort as being
important. Modal subjects too stated the importance of
family in their development (6 modals vs. 13 autoevolution¬
ary) . The second most frequent answer given by modal
people was some negative experience (5 responses). It
seems that the autoevolutionary persons have had more
positive experiences that they attribute to their present
state of being. While the current data only hints at this,
this is in general agreement with Landsman (1967) who has
stressed the importance of "a foundation of early positive
human experience" (p. 41).
Maslow (1967, 1971) postulated that metamotivated,
self-actualizing people were the best persons for their
particular job and that they would have trouble imagining
themselves in other professions. The first part of the
questionnaire (Table 25) showed no differences in that both
groups enjoyed their jobs. When asked to name an alternate
job or profession, 14 modal subjects gave another specific

94
job or profession. Only 8 autoevolutionary subjects named
an alternate job. Two modals responded with "the same"
or very similar jobs, while six autoevolutionary subjects
responded in this fashion. One modal subject and two auto¬
evolutionary ones gave no response. This data tends to
support Maslow's assertions.
The final question presented to both groups was why
did they engage in volunteer or public service work. As
was mentioned earlier, the autoevolutionary group listed
"to improve the environment" to-"to make this a better
place to live" as their most frequent response. The modals
did not list this but stressed "personal pleasure or reward"
as the most frequent reason. Four autoevolutionary subjects
listed personal reward, while four listed sense of duty
and three, to help others. The "improving the environment"
theme was used to define autoevolutionary persons, and it
seems that they recognize this as one of their motives.
Maslow (1967), Landsman (1967), Privette (1964) and Puttick
(1964) have all discussed the "sense of mission" that
accompanies higher levels of functioning. In addition to
improving the environment, certain autoevolutionary subjects
(4) actually listed it as their duty as responsible citizens.
It seems that their "personal reward" comes from their
action upon the environment and in fulfilling their sense
of duty.
Subjects were purposely matched for age. The variables
of sex, marital status, race and religion were approximately

95
equal for both groups. The groups exhibited vital differ¬
ences in educational level and salary. Just as early
positive experiences may be facilitative to psychological
health, so too may a quality education free the person,
especially in financial terms, to pursue psychological
health. This relates to Maslow's need hierarchy (1950,
1962a, 1962b). A financially secure person may be more
likely than the less wealthy person, especially in our
society, to have satisfied the lower-order needs and to be
seeking gratification of the higher-level needs.
Implications for Further Research
Certain differences between autoevolutionary and modal
functioners have been identified and deserve in-depth
investigation. Other differences that did not appear
significant, but which seem likely from past research,
should be reexamined. Before this is done, though, there
is a need for clarification of what specific behaviors
constitute "autoevolutionary." There is a great need to
develop reliable strategies for identifying persons who are
autoevolutionary, as well as other persons who exhibit
high levels of psychological health. Next we must deter¬
mine if these higher states of functioning are desirable
goals for all persons. Remember, that only a few decades
ago, Hitler too sought "superior" people. Individual
freedom must remain a paramount issue.
Specific research is needed to determine why these

96
subjects showed higher levels of understanding as well as
lower needs for order and social recognition. Their
apparent skills in problem solving and cognitive function¬
ing also deserve further examination. Replication of this
study using subjects who are more highly auto-evolving and
with greater numbers of subjects is also important. It
would be interesting to compare these groups with low-
functioning people and to examine very high levels of auto¬
evolution. The present research studied people who the
author felt were exhibiting moderate levels of autoevolu¬
tion. For certain, even the comparison group was at times
responding in ways that must be termed autoevolutionary.
High-level autoevolutionary people probably comprise only
a fraction of one percent of the population. Likewise all
people may possess some autoevolutionary tendencies.
Further investigation of creativity in psychologically
healthy populations is needed, as are research strategies
to determine if strong relationships exist between auto¬
evolution, psychological health and high levels of physical
health. Additional examination of the similarities and
differences between autoevolutionary and other groups in
terms of psychological traits, behavioral constructs and
motivational patterns should provide valuable information
in the field of psychological health.
Members of the helping professions must take it upon
themselves to go beyond the discussion of health versus
pathology and to explore the realms of positive health and
functioning both for themselves and their clients.

97
Summary
The present study expanded current theories of
psychological health by defining and identifying persons
who were proposed to be "autoevolutionary." Autoevolu¬
tionary persons were defined as those whose "auto" or
self is in a state of constant change. They were seen as
"fully-functioning" or "self-actualizing." In the second
sense, these people were seen as acting upon the environ¬
ment (persons, things, etc.) in an attempt to affect
adaptive change.
Subjects were secured from the Gainesville Sun's
list of nominees for the 1973 and 1974 Community Service
Award. They were then judged both formally and informally
to eliminate those who did not appear both psychologically
healthy or were not working to improve the environment in
a variety of ways. These subjects were matched for age
and compared to a group of modal citizens, who turned out
to be very similar on many of the demographic variables.
All subjects were asked to complete the Personality
Research Form, Rokeach Dogmatism scale and abridged Means-
End Procedure. Significant differences appeared for three
scales of the PRF and the Means-End procedure. Autoevolu¬
tionary subjects displayed a lower need for order and social
recognition and a greater need for understanding. These
subjects were also significantly better at providing a
greater number of valid means to solve real-life problem-
situations as presented in the Means-End Procedure. A

98
questionnaire designed to examine certain attitudes and
behaviors that previous theorists held concerning positive
health was also included. Certain items seemed to support
previous theories, while others seem worthy of further
research.
Conclusions
There is still much research to be done in the field
of positive health. This study attempted to avoid the
"value dilemma" cited by Jahoda (1958) and Smith (1959,
1961) by using a sample of people, nominated by their peers
for their community service. These nominees were further
screened for positive psychological health and high levels
of community service. Differences between autoevolutionary
and modal subjects were noted on certain psychological
tests and exploratory questions designed to examine
behavioral and attitudinal differences. Demographic
differences were also discussed as were the implications
for further research into the realm of psychological health.

REFERENCES
Allport, G. W. Personality: A psychological interpreta¬
tion . New York: Holt, 1937.
Allport, G. W. The individual and his religion. New York:
Macmillan, 1950.
Allport, G. W. Becoming: Basic considerations for a
psychology of personality. New Haven: Yale Univer¬
sity Press, 1955.
Allport, G. W. Personality, normal and abnormal. Socio¬
logical Review, 1958 , 6^, 167-180.
Allport, G. W. Pattern and growth in personality. New
York: Holt, 1961.
Anderson, H. H. (Ed.) Creativity and its cultivation. New
York: Harper and Brothers, 1959.
Andrews, M. E. (Ed.) Creativity and psychological health.
Syracuse: Syracuse University Press, 1961.
Angyl, A. A theoretical model of personality studies. In
D. Krech and G. S. Klein (Eds.), Theoretical models
and personality theory. Durham, N.C.: Duke Univer¬
sity, 1952, pp. 132-137.
Borow, H. Research notes from here and there: The logic
of counseling research. Journal of Counseling Psycho¬
logy, 1956 , 3!» 292-296.
Buber, M. I_ and thou. Translated by R. G. Smith, Edin¬
burgh: Clark, 1937.
Buber, M. Between man and man. Boston: Beacon Press,
1955 .
Cahoon, R. A. Some counselor attitudes and characteristics
related to the counseling relationship. Doctoral
dissertation, Ohio State University, 1962.
Cantril, H. Human nature and political systems. New
Brunswick, N.J.: Rutgers University Press, 1961.
99

100
Cattell, R. B. and Drevdahl, G. E. A comparison of the
personality profiles of eminent researchers with those
of eminent teachers and administrators and the general
public. British Journal of Psychology, 1956, 56,
(4), 107-111.
Cattell, R. B. Personality and motivation: Structure and
measurement. New York: World Book, 1957.
Chordorkoff, B. Adjustment and the discrepancy between the
perceived self and the ideal self. Journal of Clinical
Psychology, 1954 , 10_, 266-268. (a)
Chordorkoff, B. Self-perception, perceptual defense and
adjustment. Journal of Abnormal and Social Psychology,
1954 , 4_9, 508-512. (b)
Combs, A. W. and Snygg, D. Individual behavior: a percep¬
tual approach to behavior. New York: Harper, 1959.
Combs, A. W. A perceptual view of the adequate personality.
In A. W. Combs (Ed.) 1962 Yearbook American Society
for Curriculum Development. Washington, D. C. ASCD
Division of National Education Association, 1962.
Conrad, D. C. Toward a more productive concept of mental
health. Mental Hygiene, 1952 , 3_6 , 456-466.
Craig, R. Trait-lists and creativity. Psychologia, 1966,
9, 107-110.
Crutchfield, R. S. Conformity and character. American
Psychologist, 1955 , 1_0, 191-198.
Drevdahl, G. E. and Cattell, R. B. Personality and crea¬
tivity in artists and writers. Journal of Clinical
Psychology, 1958, 15 (2), 107-111.
Duncan, C. W. A comparison of certain experiences by life
stages of selected groups of self-actualized, modal,
and low functioning college students. Doctoral disser¬
tation, University of Florida, 1970.
Dunn, H. T. Points of attack for raising the levels of
wellness. Journal of the National Medical Association,
1957 , 4_9 , 225-235.
Dunn, H. T. High-level wellness for man and society.
American Journal of Public Health, 1959 , 4_9 , 786-792.
Ellenberger, H. F. A clinical introduction to psychiatric
phenomenology and existential analysis. In R. May, E.
Angel and H. Ellenberger (Eds.), A new dimension in

101
psychiatry and psychology. New York: Basic Books,
1958, pp. 117-127.
Erickson, E. H. Identity and the life cycle: Selected
papers. New York: International University Press,
19 59 .
Fiske, D. and Maddi, E. Functions of varied experience.
Homewood, Ill.: Dorsey Press, 1961.
Foote, N. N. and Cottrell, J. S., Jr. Identity and inter¬
personal competence. Chicago, Ill. : University of
Chicago Press, 1955.
Frankl, V. G. The search for meaning. Saturday Review,
September 13, 1958, 111-118.
Frankl, V. G. Beyond self-actualization and self expression.
Journal of Existential Psychiatry, 1960 , .1 , 5-20
Frankl, V. G. Psychiatry and man's quest for meaning.
Journal of Religion and Health, 1962, 1, 93-103.
Frankl, V. G. Self-transcendence as a human phenomena.
Journal of Humanistic Psychology, 1966 , 6., 97-106.
Fromm, E. Man for himself. New York: Holt, 1947.
Fromm, E.
The art of loving. New York: Harper, 1956.
Fuerst, R.
t ion,
E. Turning-point experience.
University of Florida, 1965.
Doctoral disserta-
Gergen, K. J. Interaction goals and personalistic feed¬
back as factors affecting the presentation of self.
Journal of Personality and Social Psychology, 1965,
1, 413-424.
Glass, G. V. and Stanley, J. C. Statistical methods in
education and psychology. Englewood Cliffs, N.J.:
Prentice-Hall, Inc., 1970.
Goldstein, H. Human nature in the light of psychopathology.
Cambridge, Mass.: Harvard University Press, 1940.
Gruber, H. E., Terrell, G. and Wertheimer, N. (Eds.) Con¬
temporary approaches to creative thinking. New York:
Atherton Press, 1962.
Hanlon, T. E., Hofstaetter, P. R. and O'Conner, J. P.
Congruence of self and ideal self in relation to per¬
sonality adjustment. Journal of Consulting Psychology,
1954, 18, 205-218.

102
Hartmann, H. On rational and irrational action. In Geza
Roheim (Ed.), Psychoanalysis and the social sciences.
New York: International Universities Press, 1947,
pp. 363-391.
Hartmann, H. Ego psychology and the problem of adaption.
In D. Rapport (Ed.), Organization and pathology of
thought. New York: Columbia University Press, 1951,
362-373.
Herzberg, F., Mausner, B. and Snyderman, B. The motivation
to work. New York: John Wiley, 2nd ed., 1959.
Herzberg, F. and Hamlin, R. M. A motivation-hygiene concept
of mental health. Mental Hygiene, 1961, 394-401.
Herzberg, F. Work and the nature of man. Cleveland, Ohio:
World Publishing Co., 1966.
Horn, M. L. A study of the process of integration of nega¬
tive experience by high and low functioning white
females. Doctoral dissertation, University of Florida,
197 5 .
Jackson, D. N. Multimethod factor analysis in the analysis
of convergent and discriminant validity. Paper read
at the meetings of the Society for Multivariate
Experimental Psychology, Atlanta, Georgia, 1966.
Jackson, D. N. Personality research form manual. New York:
Research Psychologists Press, 1967.
Jahoda, M. Current concepts of positive mental health.
New York: Basic Books, 1958.
Jones, R., Allen, R., and Haupt, T. Analysis of peak
experiences reported by college students. Journal of
Consulting Psychology, 1964 , 2_9 , 168-172 .
Jourard, S. M. Self-disclosure and other cathexis. Journal
of Abnormal and Social Psychology, 1958, 56, 91-98. (a)
Jourard, S. M. and Lasakow, P. Some factors in self¬
disclosure. Journal of Abnormal and Social Psychology,
1958 , 5_6, 91-98. (b)
Jourard, S. M. Healthy personality and self-disclosure.
Mental Hygiene, 1959 , 43_, 499-507.
Jourard, S. M. Personal adjustment: An approach through
the study of healthy personality. New York: Macmillan,
1962 .

103
Jourard, S. M. The transparent self: self disclosure and
well-being. Princeton: Van Nostrand, 1964.
Jourard, S. M. (Ed.) To be or not to be. . .Existential-
psychological perspectives on the self. Gainesville,
Fla. University of Florida Monographs, no. 34, 1967.
Jourard, S. M. Disclosing man to himself. Princeton: Van
Nostrand, 1968.
Jung, C. G. Analytical psychology: its theory and prac¬
tice (The Tavistock Lectures). New York: Pantheon
Books, 1935, 1968.
Kemp, C. G. Influence of dogmatism on the training of
counselors. Journal of Counseling Psychology, 1962,
9, 155-157.
Kluckhorn, F. R. and Strodtbeck, F. T. Variations in value
orientations. Evanston, Ill.: Row Peterson, 1961.
Knutson, A. T. New perspectives regarding positive mental
health. American Psychologist, 1963 , 1_8 , 300-306.
Landsman, T. Human experience and human relationship.
Personality Theory and Counseling Practice, Gaines¬
ville, Fla.: Materials Diffusion Project, University
of Florida, 1961.
Landsman, T. Recent research in positive human experience.
Paper presented at the conference on Personality
Theory and Counseling Practice, Gainesville, Fla.,
1964.
Landsman, T. One's best self, to be or not to be. In S.
M. Jourard (Ed.) To be or not to be. . .Existential-
psychological perspectives on the self. Gainesville,
Fla.: University of Florida Monographs, Social
Sciences, no. 34, 1967.
Landsman, T. Positive experience and the beautiful person.
Presidential address, The Southeastern Psychological
Association, April 5, 1968.
Landsman, T. The humanizer. Paper presented at the meeting
of the American Orthopsychiatric Association, New York
City, June 1, 1973.
Landsman, T. The humanizer. American Journal of Ortho¬
psychiatry , 19 7 4 , 4_4 , 3, 345-352.
Laski, M. Ecstasy: A study of some secular and religious
experiences. Bloomington, Indiana: Indiana University
Press, 1962.

104
Leach, D. Meaning and correlates of peak experience.
Doctoral dissertation, University of Florida, 1962.
Lepine, L. T. and Chordorkoff, B. Goal setting behavior,
expressed feelings of adequacy, and the correspon¬
dence between perceived and ideal self. Journal of
Clinical Psychology, 1955, 11, 395-397.
Loveinger, J. Conflict of commitment in clinical research.
American Psychologist, 196 3 , 1_8 , 241-2 51.
Maslow, A. H. Self-actualizing people: A study of psycho¬
logical health. Personality Symposia: Symposium #1
on Values. New York: Gruñe and Stratton, pp. 11-34,
1950.
Maslow, A. H. Social theory of motivation. In M. Shore
(Ed.), Twentieth century mental hygiene. New York:
Social Science Publishers, 1951.
Maslow, A. H. Love in healthy people. In A. Montagu (Ed.),
The meaning of love. New York: Julian Press, pp. 57-
93, 1953.
Maslow, A. H. The instinctoid nature of basic needs.
Journal of Personality, 1954 , 2_2 , 326-347.
Maslow, A. H. Motivation and personality. New York:
Harper and Brothers, 1954.
Maslow, A. H. Deficiency motivation and growth motivation.
In M. R. Jones (Ed.), Nebraska symposium on motivation:
1955. Lincoln, Nebraska: University of Nebraska Press,
19 55 .
Maslow, A. H. Two kinds of cognition and their integration.
General Semantics Bulletin, 1957 , 2_0 and 2JL, 17-22.
Maslow, A. H. Emotional blocks to creativity. Journal of
Individual Psychology, 1958, 14, 51-66.
Maslow, A. H. Psychological data and human values. In A.
H. Maslow (Ed.), New knowledge in human values. New
York: Harper and Brothers, 1959. (a)
Maslow, A. H. Creativity in self-actualizing people. In H.
H. Anderson (Ed.), Creativity and its cultivation. New
York: Harper and Brothers, 1959. (b)
Maslow, A. H. Cognition of being in the peak experiences.
Journal of Genetic Psychology, 1959, 94, 43-66. (c)

105
Maslow, A. H. Mental health and religion. In Religion,
science and mental health. Academy of Religion and
Mental Health, New York University Press, 1959. (d)
Maslow, A. H. Critique of self-actualization; I: Some
danger of Being-cognition. Journal of Individual
Psychology, 1959 , lj>, 24-32. (e)
Maslow, A. H. Health as transcendence of the environment.
Journal of Humanistic Psychology, 1961, No. 1, 1-7. (a)
Maslow, A. H. Peak experience as acute identity experiences.
American Journal of Psychoanalysis, 1961, 21, 254-260.
(b)
Maslow, A. H. Eupsychia--the good society. Journal of
Humanistic Psychology, 1961,1, 2, 1-11. (c)
Maslow, A. H. Some frontier problems in mental health. In
A. Combs (Ed.), Personality theory and counseling
practice. Gainesville: University of Florida Press,
1961. (d)
Maslow, A. H. Summary Comments: Symposium on Human Values.
Journal of Humanistic Psychology, 1961, 2, 2, 110-111.
(e)
Maslow, A. H. Some basic propositions of a growth and self-
actualization psychology. In A. Combs (Ed.), Perceiving
behaving, becoming: A new focus for education. 1962
Yearbook of Association for Supervision and Curriculum
Development. Washington, D. C. 1962. (a)
Maslow, A. H. Toward a psychology of being. Princeton, N.J.
Van Nostrand, 1962. (b)
Maslow, A. H. Lessons from the peak experiences. Western
Behavioral Sciences Institute Report, No. 6. La
Jolla, 1962. (c)
Maslow, A. H. Notes on Being--Psychology. Journal of
Humanistic Psychology, 1962 , 2_, 47-71. (d)
Maslow, A. H. The creative attitude. The Structurist,
1963, No. 3, 4-10. (a)
Maslow, A. H. Further notes on the Psychology of Being.
Journal of Humanistic Psychology, 1963, 3, 1, 120-135.
(b)
Maslow, A. H. The superior person. Trans-action, 1964, 1,
10-13. (a)

106
Maslow, A. H. Further notes on the Psychology of Being.
Journal of Humanistic Psychology, 1964, 4, 1, 45-58.
(b)
Maslow, A. H. The need for creative people. Personnel
Administration, 1965 , 2_8, 3-5, 21-22.
Maslow, A. H. Synanon and Eupsychia. Journal of Humanistic
Psychology, 1967 , 7_, 1 , 28-35. (a)
Maslow, A. H. A theory of metamotivation: The biological
rooting of the value-life. Journal of Humanistic
Psychology, 1967, 7, 2, 93-127. (b)
Maslow, A. H. Human potentialities and the healthy society.
In H. Otto (Ed.), Human potentialities. St. Louis,
MO.: Warren H. Green, Inc., 1968.
Maslow, A. H. The farther reaches of human nature. Journal
of Transpersonal Psychology, 1969 , 1., 1, 1-9. (a)
Maslow, A. H. A holistic approach to creativity. In C. W.
Taylor (Ed.), A Climate for Creativity: Reports of the
Seventh National Research Conference on Creativity,
University of Utah, Dec., 1968. Salt Lake City, Utah,
1969. (b)
Maslow, A. H. and Chiang, H. M. The healthy personality:
Readings. New York: Van Nostrand-Reinhold, 1969. (c)
Maslow, A. H. Toward a humanistic biology. American Psycho¬
logist, 1969, 24, 724-735. (d)
Maslow, A. H. The farther reaches of human nature. New
York: Viking Press, 1971.
May, R. (Ed.) Existential psychology. New York: Random
House? 1961.
McKinnon, D. W. The highly effective individual. Teachers
College Record, 1960 , 6_1 , 367-378.
McMillin, M. R. A study of certain high school seniors
perceived as growth-facilitating by their peers.
Doctoral dissertation, University of Florida, 1965.
Menninger, K. Man against himself. New York: Harvest
Books, 1938.
Moustakas, C. E. (Ed.) The self: Exploration in personal
growth. New York: Harper, 1956.

107
Moustakas, C. E. Loneliness. New York: Prentice-Hall,
1961.
Murphy, G. Human potentialities. New York: Basic
Books, 1958.
Murray, H. A. Exploration in personality. Cambridge:
Harvard University Press, 1938.
Norrell, G. and Grater, H. Interest awareness as an aspect
of self-awareness. Journal of Counseling Psychology,
1960 , 289.
Otto, H. A. The personal and family resource development
program--a preliminary report. International Journal
of Social Psychiatry, 1962 , 8_, 185-195.
Otto, H. A. (Ed.) Explorations in human potentialities.
Springfield, Ill.: Thomas, 1966.
Otto, H. A. To be or not to be. . .Actualizing. In S.
M. Jourard (Ed.) , To b£ or not to be. . .Existential-
psychological perspectives on the self. Gainesville,
Fla.: University of Florida Monograph, no. 34, 1967.
Piaget, J. The psychology of intelligence. New York:
Harcourt, Brace, 1950.
Platt, J. J. Means-end thinking: developmental and vali¬
dation of measuring instruments and relationship to
personality and social competence variables. Institu¬
tional Support Grant no. 751-20-9966, U.S.P.H.S.,
September, 1968.
Platt, J. J., Spivack, G., and Bloom, M. Means-end problem
solving procedure, (MEPS). Manual and tentative norms,
June, 1971.
Platt, J. J. and Spivack, G. Social-competence and effec¬
tive problem-solving thinking in psychiatric patients.
Journal of Clinical Psychology, 1972 , 2_8, 1, 3-5.
Privette, P. G. Factors associated with functioning which
transcends modal behavior. Doctoral dissertation,
University of Florida, 1964.
Puttick, W. H. A factor analytic study of positive modes
of experiencing and behaving in a teacher college popu¬
lation. Doctoral dissertation, University of Florida,
1964.
Riesman, D., Glazer, N. and Deeny, R. The lonely crowd.
New Haven: Yale University Press, 1950.

108
Rogers, E. R. Client-centered therapy. Boston: Houghton-
Mifflin, 1951.
Rogers, C. R. and Dymond, R. F. Psychotherapy and Personal¬
ity change. Chicago: University of Chicago Press,
1954 .
Rogers, C. R. A therapist1s view of the good life: The
fully functioning person. Vol. 17. Yellow Springs,
Ohio: The Humanist House, 1957.
Rogers, C. R. A theory of therapy, personality and inter¬
personal relationships. In S. Koch (Ed.), Psychology:
A study of science. Vol. 3. Formulations of the
Person and the Social Context. New York: McGraw-
Hill, 1959 , 18 5-25TT
Rogers, C. R. On becoming a person. Boston: Houghton-
Mifflin, 1961.
Rogers, C. R. Toward becoming a fully functioning person.
In A. W. Combs (Ed.), 19 6 2 Yearbook American Society
for Curriculum Development. Washington, D. C.:
Association for Supervision and Curriculum Develop¬
ment, 1962.
Rogers, C. R. The actualizing tendency. In M. R. Jones
(Ed.), Nebraska symposium on motivation, 1963.
Rogers, C. R. Toward a modern approach to values: The
valuing process in the mature person. Journal of
Abnormal and Social Psychology, 1964, 68, 160-167.
Rokeach, M. The open and closed mind. New York: Basic
Books, 1960.
Rosenblith, J. F. and Allinsmith, W., (Eds.) The causes of
behavior: readings in child development and educa¬
tional psychology. Boston: Allyn and Bacon, 1962.
Rush, H. M. F. Behavioral science concepts and management
application. National Industrial Conference Board:
New York: 1969, Personnel Policy Study No. 26.
Russo, J. R., Kelz, J. W. and Hudson, G. R. Are good
counselors openminded? Counselor Education and Super¬
vision , 1964 , _3> 74-77.
Sahakian, W. S. Psychotherapy and counseling--studies in
technique. Chicago: Rand McNally and Co., 1969.
Scachtel, E. G.
1959 .
Metamorphosis. New York: Basic Books,

109
Scheffe, H. The analysis of variance. New York: John
Wiley and Sons, Inc., 1959.
Seeman, J. A reputation test of personality integration.
Paper presented at Southeastern Psychological Associa¬
tion, Gattenberg, Tenn., April, 1964.
Selye, H. Stress and disease. In C. F. Reed, I. E.
Alexander and T. S. Tompkins (Eds.), Psychopathology:
A source book. Cambridge: Harvard University Press,
1959 .
Sheerer, E. T. An analysis of the relationship between
acceptance of and respect for self and acceptance of
and respect for others in ten counseling cases.
Journal of Consulting Psychology, 19 4 9 , 1_3 , 169-175.
Shoben, E. J., Jr. Toward a concept of the normal personal
ity. American Psychologist, 1957 , 12_, 183-189.
Shostrum, E. T. Manual, Personal Orientation Inventory.
San Diego: Educational and Industrial Testing
Service, 1963.
Shostrom, E. T. An inventory for the measurement of self-
actualization. Educational and Psychological Measure¬
ment, 1964 , 2_4 , 207-218 .
Smith, M. B. Research strategies toward a conception of
positive mental health. American Psychologist, 1959,
14, 673-681.
Smith, M. B. Mental health reconsidered: A special case
of the problem of values in psychology. American
Psychologist, 1961, _16^ 299-306.
Stefflre, B., King, P. and Leafgren, F. Characteristics of
counselors judged effective by their peers. Journal
of Counseling Psychology, 1962 , j), 335-340.
Szasz, T. The myth of mental illness. New York: Hoeber,
1961.
Thorne, F. The clinical use of peak nadir experience
reports. Journal of Clinical Psychology, 1963, 19,
2, 248-250.
Torrance, E. P. Guiding creative talent. New York:
Prentice-Hall, 1962.
Vargas, M. J. Changes in self-awareness during client-
centered therapy. In C. Rogers and R. Dymond (Eds.),
Psychotherapy and personality change: Coordinated

110
research studies in client-centered approach.
Chicago: University of Chicago Press, 1954.
Wolman, B. B. (Ed.) Dictionary of behavioral science.
New York: Van Nostrand Reinhold, 1973.
Woodworth, R. S. Dynamics of behavior. New York: Holt,
Rinehart and Winston, 1958.
Yamamoto, K. The "healthy person:" A review. Personnel
and Guidance Journal, 1966, 44, 6, 596-603.

APPENDIX A
"DO YOU ACT"--OR "REACT?"
I walked with my friend, a Quaker, to the newsstand
the other night, and he bought a paper, thanking the newsie
politely. The newsie didn't even acknowledge it.
"A sullen fellow, isn't he?" I commented.
"Oh, he's that way every night," shrugged my friend.
"Then why do you continue to be so polite to him?"
I asked.
"Why not?" inquired my friend. "Why should I let
HIM decide how I'm going to act?"
As I thought about this incident later, it occurred to
me that my friend believed that the most important word was
"act." My friend ACTS toward people; most of us REACT
toward them.
He has a sense of inner balance which is lacking in
most of us; he knows who he is, what he stands for, how he
should behave. He refuses to return incivility for incivil¬
ity, because he would no longer be in command of his own
conduct.
When we are enjoined in the Bible to return good for
evil, we look upon this as a moral injunction, which it is.
But it is also a psychological prescription for our emotional
health.
Nobody is unhappier than the perpetual REACTOR. His
center of emotional gravity is not rooted within himself,
where it belongs, but in the world outside him. His
spiritual temperature is always being raised or lowered by
the social climate around him, and he is a mere creature
at the mercy of these elements.
Praise gives him a feeling of euphoria, which is false,
because it does not last, and it does not come from self¬
approval. Criticism depresses him more than it should,
because it confirms his own shaky opinion of himself. Snubs
hurt him, and the merest suspicion of unpopularity in any
quarter rouses him to bitterness.
Ill

112
A serenity of spirit cannot be achieved until we
become the masters of our own actions and attitudes. To
let another determine whether we shall be rude or gracious,
elated or depressed, is to relinquish control over our own
personalities, which is ultimately all we possess. The
only true possession is self-possession.
Sidney J. Harris
Chicago Daily News
AB/67-68

APPENDIX B
PERSONALITY RESEARCH FORM SCALES
DESCRIPTION OF
SCALE HIGH SCORER
DEFINING TRAIT
ADJECTIVES
Achievement
Aspires to accomplish
difficult tasks; main¬
tains high standards and
is willing to work to¬
ward distant goals,
responds positively to
competition; willing to
put forth effort to
attain excellence.
striving, accom¬
plishing, capable,
purposeful, attain¬
ing, industrious,
achieving, aspiring
enterprising, self¬
improving, produc¬
tive, driving,
ambitious, resource
ful, competitive.
Affiliation
Enjoys being with
friends and people in
general; accepts people
readily; makes efforts
to win friendships and
maintain associations
with people.
neighborly, loyal,
warm, amicable,
goodnatured,
friendly, companion
able, genial, affa¬
ble, cooperative,
gregarious, hospi¬
table, sociable,
affiliative, good-
willed .
Aggression
Enjoys combat and argu¬
ment; easily annoyed;
sometimes willing to
hurt people to get his
way; may seek to "get
even" with people whom
he perceives as having
harmed him.
aggressive, quarrel
some, irritable,
argumentative,
threatening, attack
ing, antagonistic,
pushy, hot-tempered
easily-angered,
hostile, revengeful
belligerent, blunt,
retaliative.
Autonomy
Tries to break away
from restraints, con¬
finement, or restric¬
tions of any kind;
enjoys being unattached,
free, not tied to
unmanageable, free,
self-reliant, inde¬
pendent, autonomous
rebellious, uncon¬
strained, indivi¬
dualistic ,
113

114
DESCRIPTION OF
SCALE HIGH SCORER
DEFINING TRAIT
ADJECTIVES
people, places, or
obligations; may be
rebellious when faced
with restraints.
Dominance Attempts to control his
environment, and to
influence or direct other
people; expresses
opinions forcefully;
enjoys the role of
leader and may assume
it spontaneously.
Endurance Willing to work long
hours; doesn't give up
quickly on a problem;
persevering, even in the
face of great diffi¬
culty; patient and
unrelenting in his work
habits.
Exhibition Wants to be the center
of attention; enjoys
having an audience; en¬
gages in behavior which
wins the notice of
others; may enjoy being
dramatic or witty.
Harmavoidance Does not enjoy exciting
activities, especially
if danger is involved;
avoids risk of bodily
harm, seeks to maxi¬
mize personal safety.
ungovernable, self-
determined , non-
conforming, uncom¬
pliant, undominated,
resistant, lone-
wolf.
governing, control¬
ling, commanding,
domineering, influ¬
ential, persuasive,
forceful, ascendant,
leading, directing,
dominant, assertive,
authoritative, power¬
ful, supervising.
persistent, deter¬
mined, steadfast,
enduring, unfalter¬
ing, persevering,
unremitting, relent¬
less, tireless,
dogged, energetic,
has stamina, sturdy,
zealous, durable.
colorful, entertain¬
ing, unusual, spell¬
binding, exhibition-
istic, conspicuous,
noticeable, expres¬
sive, ostentatious,
immodest, demonstra¬
tive, flashy, dra¬
matic, pretentious,
showy.
fearful, withdraws
from danger, self-
protecting, pain-
avoidant, careful,
cautious, seeks
safety, timorous,
apprehensive, pre¬
cautionary, unadven¬
turous, avoids risks,
attentive to danger,
stays out of harm's
way, vigilant.

SCALE
Impulsivity
Nurturance
Order
Play
Social
Recognition
115
DESCRIPTION OF
HIGH SCORER
DEFINING TRAIT
ADJECTIVES
Tends to act on the
"spur of the moment"
and without delibera¬
tion; gives vent readily
to feelings and wishes;
speaks freely; may be
volatile in emotional
expression.
Gives sympathy and com¬
fort; assists others
whenever possible,
interested in caring for
children, the disabled, or
the infirm; offers a
"helping hand" to those
in need; readily performs
favors for others.
Concerned with keeping
personal effects and sur¬
roundings neat and
organized; dislikes
clutter, confusion, lack
of organization; inter¬
ested in developing
methods for keeping
materials methodically
organized.
Does many things "just
for fun;" spends a good
deal of time participa¬
ting in games, sports,
social activities, and
other amusements; enjoys
jokes and funny stories;
maintains a light-hearted
easy-going attitude toward
life.
hasty, rash, unin¬
hibited, sponta¬
neous, reckless,
irresponsible,
quick-thinking,
mercurial, impa¬
tient, incautious,
hurried, impulsive,
foolhardy, excita¬
ble, impetuous.
sympathetic, pater¬
nal, helpful, bene¬
volent, encouraging,
caring, protective,
comforting, maternal,
supporting, aiding,
ministering, con¬
soling, charitable,
assisting.
neat, organized,
tidy, systematic,
well-ordered,
disciplined, prompt,
consistent, orderly,
clean, methodical,
scheduled, planful,
unvarying, deliber¬
ate .
playful, jovial,
jolly, pleasure¬
seeking, merry,
laughter-loving,
joking, frivolous,
prankish, sportive,
mirthful, fun-loving,
gleeful, carefree,
blithe.
Desires to be held in
high esteem by acquain¬
tances; concerned about
reputation and what other
people think of him;
works for the approval
and recognition of
others.
approval seeking,
proper, well-behaved,
seeks recognition,
courteous, makes good
impression, seeks
respectability, accom
modating, socially
proper, obliging,

SCALE
Under¬
standing
Infrequency
DESCRIPTION OF
HIGH SCORER
Wants to understand many
areas of knowledge;
values synthesis of ideas,
verifiable generalization,
logical thought, particu¬
larly when directed at
satisfying intellectual
curiosity.
Responds in implausible
or pseudo-random manner,
possibly due to careless¬
ness, poor comprehension,
passive non-compliance,
confusion, or gross devia¬
tion .
116
DEFINING TRAIT
ADJECTIVES
agreeable, socially
sensitive, desirous
of credit, behaves
appropriately.
inquiring, curious,
analytical, explor¬
ing, intellectually
reflective, incisive,
investigative,
probing, logical,
scrutinizing,
theoretical, astute,
rational, inquisi¬
tive .

APPENDIX C
The following is a study of what the general public
thinks and feels about a number of important social and
personal questions. The best answer to each statement
below is your personal opinion. We have tried to cover
many different and opposing points of view; you may find
yourself agreeing strongly with some of the statements,
disagreeing just as strongly with others, and perhaps
uncertain about others; whether you agree or disagree with
any statement, you can be sure that many people feel the
same as you do.
Mark each statement in the left margin according to
how much you agree or disagree with it. Please mark every
one.
Write +1, +2, +3 or -1, -2, -3, depending on how you
feel in each case.
+1
I
agree
a little
-1
I
disagree
a little
+ 2
I
agree
on the whole
-2
I
disagree
on the whole
+ 3
I
agree
very much
-3
I
disagree
very much
1) The United States and Russia have just about
nothing in common.
2) The highest form of government is a democracy and
the highest form of democracy is a government run
by those who are most intelligent.
3) Even though freedom of speech for all groups is a
worthwhile goal, it is unfortunately necessary to
restrict the freedom of certain political groups.
4) It is only natural that a person would have a much
better acquaintance with ideas that they believe
in than with ideas they oppose.
5) Man on his own is a helpless and miserable
creature.
6) Fundamentally, the world we live in is a pretty
lonesome place.
7) Most people just don't give a "damn" for others.
117

118
8) I'd like it if I could find someone who would tell
me how to solve my personal problems.
9) It is only natural for a person to be fearful of
the future.
10) There is so much to be done and so little time to
do it in.
11) Once I get wound up in a heated discussion, I
just can't stop.
12) In a discussion I often find it necessary to repeat
myself several times to make sure I am being under¬
stood .
13) It is better to be a dead hero than to be a live
coward.
14) In a heated discussion I generally become so
absorbed in what I am going to say that I forget
to listen to what the others are saying.
15) While I don't like to admit this even to myself,
my secret ambition is to become a great person
like Einstein, or Beethoven, or Shakespeare.
16) The main thing in life is for a person to want to
do something important.
17) If given the chance, I would do something of
great benefit to the world.
18) In the history of mankind there have probably
been just a handful of really great thinkers.
19) There are a number of people I have come to hate
because of the things they stand for.
20) A person who does not believe in some great cause
has not really lived.
21) It is only when a person devotes himself to an
ideal or cause that life becomes meaningful.
22) Of all the different philosophies that exist in
this world, there is probably only one which is
correct.
23) A person who gets enthusiastic about too many
causes is likely to be a pretty "wishy-washy"
sort of person.

119
24)
To compromise with our political opponents is
dangerous because it usually leads to the betrayal
of our own side.
25)
When it comes to differences of opinion in reli¬
gion, we must be careful not to compromise with
those who believe differently from the way we do.
26)
In times like these, a person must be pretty
selfish if they consider primarily their own
happiness.
27)
A group which tolerates too much difference of
opinion among its own members cannot exist for
long.
28)
The worst crime a person could commit is to
attack publicly the people who believe in the
same thing that they do.
29)
In times like these it is often necessary to be
more on guard against ideas put out by people or
groups in one's own camp than by those in the
opposing camp.
30)
There are two kinds of people in this world:
those who are for the truth and those who are
against the truth.
31)
My blood boils whenever a person stubbornly
refuses to admit that they're wrong.
32)
A person who thinks primarily of his own happiness
is beneath contempt.
33)
Most of the ideas that get printed nowadays
aren't worth the paper they are printed on.
34)
In this complicated world of ours, the only way
we can know what's going on is to rely on leaders
or experts who can be trusted.
35)
It is often desirable to reserve judgement about
what's going on until one has had a chance to
hear the opinions of those one respects.
36)
In the long run, the best way to live is to pick
friends and associates whose tastes and beliefs
are the same as one's own.
37)
The present is all too often full of unhappiness.
It is only the future that counts.

120
38) If a person is to accomplish their mission in
life, it is sometimes necessary to gamble "all
or nothing at all."
39) Unfortunately, a good many people with whom I
have discussed important social and moral problems
don't really understand what's going on.
40) Most people just don't know what's good for them.

APPENDIX D
Instructions
In this procedure we are interested in your imagination.
You are to make up some stories. For each story you will
be given the beginning of the story and how the story ends.
Your job is to make up a story that connects the beginning
that is given you with the ending given you. In other
words, you will make up the middle of the story.
WRITE AT LEAST ONE PARAGRAPH FOR EACH STORY.
121

122
Mr. A. was listening to the people speak at a meeting
about how to make things better in his neighborhood. He
wanted to say something important and have a chance to be
a leader, too. The story ends with him being elected
leader and presenting a speech. You begin the story at
the meeting where he wanted to have a chance to be a leader.

123
Mr. P. came home after shopping and found that he had lost
his new watch. He was very upset about it. The story ends
with Mr. P. finding his watch and feeling good about it.
You begin the story where Mr. P. found that he had lost his
watch.

124
Mr. C. had just moved in that day and didn't know anyone.
Mr. C. wanted to have friends in the neighborhood. The
story ends with Mr. C. having many good friends and feeling
at home in the neighborhood. You begin the story with Mr.
C. in his room immediately after arriving in the neighbor¬
hood .

APPENDIX E
Please read the following questions and answer as accurately
as possible. Please try to answer all questions. Do not
sign your name.
1) Age
2) Sex: M or F (circle one)
3) Marital status:
Single
Married
Separated
Divorced
4) Race
5) Religious preference:
Catholic
Jewish
Protestant (specify)
6) Education (circle highe
Grade School
12345678
College
12 3 4
7) List any degrees you ho
Widowed
Cohabiting
Divorced and remarried
Widowed and remarried
None
Other (specify)
t completed)
High School
12 3 4
Graduate/Professional
12 3 4
d (e.g. BA, MA)
8) Present occupation
9) How long have you worked at the above?
10)What is your salary range?
$ 5,000 - $ 8,000 $14,000 - $17,000 $23,000 - $26,000
$ 8,000 - $11,000 $17,000 - $20,000 $26,000 - $30,000
$11,000 - $14,000 $20,000 - $23,000 Over $30,000
The following statements are designed to see how you view
many aspects of your life. Circle the letters that best
represent your feelings about each statement. The letters
are:
SA - Strongly Agree - this means that you strongly
agree with the statement.
A - Agree - this means that you generally agree with
the statement.
125

126
U - Uncertain - this means that you agree at times and
disagree at others.
SD - Strongly Disagree - this means that you strongly
disagree with the statement.
1) I am a religious person.
SA A U D SD
2) At times, I enjoy being alone.
SA A U D SD
3) I am capable of forming intimate relationships with
others.
SA A U D SD
4) I enjoy my job, profession or vocation.
SA
A
U
D
SD
5)
I have
a
good se
nse of
humor.
SA
A
U
D
SD
6)
I have
an enjoyable sex life.
SA
A
U
D
SD
7)
I enjoy '
life.
SA
A
U
D
SD
8)
I am a
Ml
good" person.
SA
A
U
D
SD
9)
I enjoy ,
good phy
sical
health.
SA
A
U
D
SD
10)
I am a
dependent
person.
SA
A
U
D
SD
11)
I usually catch
colds,
the flu
SA
A
U
D
SD
12)
I am a
creative
person
SA
A
U
D
SD
13)
I am an
optimist
SA
A
U
D
SD
14)
I enjoy
leading
other
people.
SA
A
U
D
SD
Please answer the following questions; if additional space
is needed, use the reverse side of this page.
1) What do you like about yourself?

127
2) What do you dislike about yourself?
3) How do you think you became the type of person that you
are now?
4)
If
etc
in?
you weren't working at your present job, profession,
., what other job or profession would you be engaged
5)
If you do any volunteer, public service work, etc.,
why do you do it?
Thank you very much for your time and cooperation.

APPENDIX F
INITIAL CONTACT LETTER
TO AUTOEVOLUTIONARY SUBJECTS
Dear Friend,
As part of my doctoral research in Counselor Education, I
am studying community leaders, specifically those recently
nominated for the Community Service Award sponsored by the
Gainesville Sun. I will be calling you in a few days and
asking you to complete at home, at your leisure, a few
questionnaires. If you agree, I will send these to you and
ask that you complete them within a week. It will take
about 1 to lh hours to complete these questionnaires. I
assure you that all responses you make will be kept confi¬
dential. I think that you will find the research questions
interesting and hope that when I call you, you agree to
participate. Thank you.
Bill Weikel
Ph.D. Candidate
Department of Counselor
Education
100 Norman Hall
University of Florida
' - &
128

129
APPENDIX F
INITIAL CONTACT
LETTER TO MODAL SUBJECTS
Dear Friend,
You have been chosen at random from the Gainesville Phone
Directory, and I am asking your help with my doctoral
research in Counselor Education. I will be calling you in
a few days and asking you to complete at home, at your
leisure, a few questionnaires. If you agree, I will send
these to you and ask that you complete them within a week.
It will take about 1 to 1^ hours to complete these ques¬
tionnaires. I assure you that all responses you make will
be kept confidential. I think that you will find the
research questions interesting and hope that when I call
you, you agree to participate. Thank you.
Bill Weikel
Ph.D. Candidate
Department of Counselor
Education
100 Norman Hall
University of Florida

BIOGRAPHICAL SKETCH
William J. Weikel was born in Philadalphia, Penn¬
sylvania on September 22, 1949. He attended Temple Univer¬
sity where he received a Bachelor of Arts majoring in
psychology and the University of Scranton for the Master
of Arts in rehabilitation counseling. Before attending the
University of Florida, Mr. Weikel was employed by the
Philadelphia State Hospital. He has presented programs
at recent conventions and published articles in the field
of counseling and rehabilitation. Mr. Weikel is married
to the former Jo Ann Wilson; they have one son.

I certify that I have read this study and that in
my opinion it conforms to acceptable standards of
scholarly presentation and is fully adequate, in scope
and quality, as a dissertation for the degree of Doctor
of Philosophy.
‘ichard H. Johnson.
/Assistant professor
Education
-7>
Chairman
of
I certify that I have read this study and that in my
opinion it conforms to acceptable standards of scholarly
presentation and is fully adequate, in scope and quality,
as a dissertation for the degree of Doctor of Philosophy.
Associate Professor of
Education
I certify that I have read this study and that in my
opinion it conforms to acceptable standards of scholarly
presentation and is fully adequate, in scope and quality,
as a dissertation for the degree of Doctor of Philosophy.
This dissertation was submitted to the Graduate Faculty of
the College of Education and to the Graduate Council, and
was accepted as partial fulfillment of the requirements
for the Degree of Doctor of Philosophy.
June, 1975
Dean, College of Education
Dean, Graduate School

UNIVERSITY OF FLORIDA
3 1262 08556 9241




PAGE 2

',))(5(17,$7,1* &+$5$&7(5,67,&6 2) $872(92/87,21$5< $1' 02'$/ 3(56216 %\ :,//,$0 -26(3+ :(,.(/ $ ',66(57$7,21 35(6(17(' 72 7+( *5$'8$7( &281&,/ 2) 7+( 81,9(56,7< 2) )/25,'$ ,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 $ GRFWRUDO GLVVHUWDWLRQ LV YHU\ UDUHO\ DQ LQGLYLGXDO HQGHDYRU )URP LWV LQFHSWLRQ LW UHTXLUHV WKH FRPELQHG WDOHQW RI PDQ\ SHUVRQV ZKR HDFK LQ WKHLU XQLTXH ZD\ DLG WKH DXWKRU LQ VKDSLQJ DQG SROLVKLQJ WKH ILQLVKHG SURGXFW 7KH DXWKRU ZLVKHV WR WKDQN WKRVH ZKR FRQWULEXWHG WKHLU WLPH DQG WDOHQWV 'U 5LFKDUG + -RKQVRQ &KDLUPDQ RI WKH ZULWHUnV GRFWRUDO FRPPLWWHH DQG JRRG IULHQG ZKR IRU WZR \HDUV KDV KHOSHG WKH DXWKRU WR OHDUQ DQG JURZ ERWK DV D SURIHVVLRQDO DQG DV D SHUVRQ .QRZLQJ DQG ZRUNLQJ ZLWK 'U -RKQVRQ LV VRPHWKLQJ WKH DXWKRU ZLOO DOZD\V FKHULVK DQG UHPHPEHU 'U ( / 7ROEHUW PHPEHU RI WKH ZULWHUnV FRPPLWWHH ZKR ZDV DOZD\V ZLOOLQJ WR JLYH DGYLFH DQG VXSSRUW RIWHQ RQ YHU\ VKRUW QRWLFH 'U -DPHV -RLQHU PHPEHU RI WKH ZULWHUnV FRPPLWWHH DQG PLQRU DGYLVRU IRU LQYDOXDEOH WHDFKLQJ H[SHULHQFH KHOS DQG VXSSRUW DOO DORQJ WKH ZD\ 'U /DUU\ /RHVFK IRU PDQ\ YDOXDEOH VXJJHVWLRQV WKDW LPSURYHG WKH TXDOLW\ RI WKH UHVHDUFK 'U +DUROG 5LNHU IRUPHU $FWLQJ 'HSDUWPHQW &KDLUPDQ DQG 'U -RH :LWWPHU FXUUHQW &KDLUPDQ IRU DGYLFH JXLGDQFH DQG WKH JUDGXDWH DVVLVWDQWVKLSV WKDW HDVHG ILQDQFLDO SUHVVXUH L c

PAGE 4

'U 7HG /DQGVPDQ IRU HQFRXUDJLQJ WKH DXWKRUnV LQWHUHVW LQ SRVLWLYH KHDOWK DQG RSWLPDO IXQFWLRQLQJ DQG IRU KLV PDQ\ VXJJHVWLRQV DQG DVVLVWDQFH LQ FRPSOHWLQJ WKLV UHVHDUFK 'U 'DYLG /DQH IRU KLV FULWLFDO UHYLHZ RI WKH PDQXn VFULSW 'U +DUU\ *UDWHU IRU SURYLGLQJ WKH DXWKRU ZLWK D WHDFKLQJ DVVLVWDQWVKLS DQG PDNLQJ WKLV ODVW \HDU ILQDQFLDOO\ HDVLHU $ QXPEHU RI RWKHU SHRSOH KDYH DOVR EHHQ D JUHDW KHOS 1DQF\ 6SLVVR )UHG 3LHUF\ 5LFN 'DYLV DQG WKH RWKHU PHPEHUV RI 'U -RKQVRQnV VHPLQDU JDYH PXFK KHOS DQG DGYLFH %DUEDUD 5XFNHU IRU GRLQJ DQ H[FHOOHQW MRE RI W\SLQJ WKH PDQXVFULSW RQ YHU\ VKRUW QRWLFH -XG\
PAGE 5

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

PAGE 6

7$%/( 2) &217(176 &217,18(' &KDSWHUV 3DJH 6XPPDU\ &RQFOXVLRQV 5()(5(1&(6 $33(1',&(6 ,OO $SSHQGL[ $ 'R
PAGE 7

/,67 2) 7$%/(6 3DJH 0RWLYDWLRQV DQG *UDWLILFDWLRQV RI 6HOI $FWXDOL]LQJ 3HRSOH 2EWDLQHG WKURXJK 7KHLU :RUN DV :HOO DV LQ 2WKHU :D\V 7ZR ,OOXVWUDWLYH &RQFHSWLRQV RI 3RVLWLYH 0HQWDO +HDOWK LQ 7HUPV RI 0XOWLSOH &ULWHULD 7KH )XOO\ )XQFWLRQLQJ 3HUVRQ DV 'HVFULEHG E\ &DUO 5RJHUV $QDO\VLV RI 9DULDQFH EHWZHHQ $XWRHYROXn WLRQDU\ DQG 0RGDO 6XEMHFWV DV 0HDVXUHG E\ WKH $FKLHYHPHQW 6FDOH RI WKH 35) $QDO\VLV RI 9DULDQFH EHWZHHQ $XWRHYROXn WLRQDU\ DQG 0RGDO 6XEMHFWV DV 0HDVXUHG E\ WKH $IILOLDWLRQ 6FDOH RI WKH 35) $QDO\VLV RI 9DULDQFH EHWZHHQ $XWRHYROXn WLRQDU\ DQG 0RGDO 6XEMHFWV DV 0HDVXUHG E\ WKH $JJUHVVLRQ 6FDOH RI WKH 35) $QDO\VLV RI 9DULDQFH EHWZHHQ $XWRHYROXn WLRQDU\ DQG 0RGDO 6XEMHFWV DV 0HDVXUHG E\ WKH $XWRQRP\ 6FDOH RI WKH 35) $QDO\VLV RI 9DULDQFH EHWZHHQ $XWRHYROXn WLRQDU\ DQG 0RGDO 6XEMHFWV DV 0HDVXUHG E\ WKH 'RPLQDQFH 6FDOH RI WKH 35) $QDO\VLV RI 9DULDQFH EHWZHHQ $XWRHYROXn WLRQDU\ DQG 0RGDO 6XEMHFWV DV 0HDVXUHG E\ WKH (QGXUDQFH 6FDOH RI WKH 35) $QDO\VLV RI 9DULDQFH EHWZHHQ $XWRHYROXn WLRQDU\ DQG 0RGDO 6XEMHFWV DV 0HDVXUHG E\ WKH ([KLELWLRQ 6FDOH RI WKH 35) $QDO\VLV RI 9DULDQFH EHWZHHQ $XWRHYROXn WLRQDU\ DQG 0RGDO 6XEMHFWV DV 0HDVXUHG E\ WKH +DUPDYRLGDQFH 6FDOH RI WKH 35) YL

PAGE 8

/,67 2) 7$%/(6 FRQWLQXHG 1XPEHU 3DJH $QDO\VLV RI 9DULDQFH EHWZHHQ $XWRHYROXn WLRQDU\ DQG 0RGDO 6XEMHFWV DV 0HDVXUHG E\ WKH ,PSXOVLYLW\ 6FDOH RI WKH 35) $QDO\VLV RI 9DULDQFH EHWZHHQ $XWRHYROXn WLRQDU\ DQG 0RGDO 6XEMHFWV DV 0HDVXUHG E\ WKH 1XUWXUDQFH 6FDOH RI WKH 35) $QDO\VLV RI 9DULDQFH EHWZHHQ $XWRHYROXn WLRQDU\ DQG 0RGDO 6XEMHFWV DV 0HDVXUHG E\ WKH 2UGHU 6FDOH RI WKH 35) $QDO\VLV RI 9DULDQFH EHWZHHQ $XWRHYROXn WLRQDU\ DQG 0RGDO 6XEMHFWV DV 0HDVXUHG E\ WKH 3OD\ 6FDOH RI WKH 35) $QDO\VLV RI 9DULDQFH EHWZHHQ $XWRHYROXn WLRQDU\ DQG 0RGDO 6XEMHFWV DV 0HDVXUHG E\ WKH 6RFLDO 5HFRJQLWLRQ 6FDOH RI WKH 35) $QDO\VLV RI 9DULDQFH EHWZHHQ $XWRHYROXn WLRQDU\ DQG 0RGDO 6XEMHFWV DV 0HDVXUHG E\ WKH 8QGHUVWDQGLQJ 6FDOH RI WKH 35) $QDO\VLV RI 9DULDQFH EHWZHHQ $XWRHYROXn WLRQDU\ DQG 0RGDO 6XEMHFWV DV 0HDVXUHG E\ WKH ,QIUHTXHQF\ 6FDOH RI WKH 35) $QDO\VLV RI 9DULDQFH EHWZHHQ $XWRHYROXn WLRQDU\ DQG 0RGDO 6XEMHFWV DV 0HDVXUHG E\ WKH 5RNHDFK 'RJPDWLVP 6FDOH $QDO\VLV RI 9DULDQFH EHWZHHQ $XWRHYROXn WLRQDU\ DQG 0RGDO 6XEMHFWV DV 0HDVXUHG E\ WKH $EULGJHG 0HDQV(QG 3UREOHP 6ROYLQJ 3URFHGXUH 0HDQV 6WDQGDUG 'HYLDWLRQV DQG 5DQJHV IRU $XWRHYROXWLRQDU\ DQG 0RGDO 6XEMHFWV RQ 35) 6FDOHV WKH 'RJPDWLVP 6FDOH DQG WKH $EULGJHG 0HDQV(QG 7HVW 5HVSRQVH )UHTXHQFLHV RI $XWRHYROXWLRQDU\ DQG 0RGDO 6XEMHFWV WR WKH 6WDWHPHQW DP D 5HOLJLRXV 3HUVRQ 5HVSRQVH )UHTXHQFLHV RI $XWRHYROXWLRQDU\ DQG 0RGDO 6XEMHFWV WR WKH 6WDWHPHQW $W 7LPHV (QMR\ %HLQJ $ORQH YLL

PAGE 9

/,67 2) 7$%/(6 FRQWLQXHG 3DJH 5HVSRQVH )UHTXHQFLHV RI $XWRHYROXWLRQDU\ DQG 0RGDO 6XEMHFWV WR WKH 6WDWHPHQW DP &DSDEOH RI )RUPLQJ ,QWLPDWH 5HODn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

PAGE 10

/,67 2) 7$%/(6 FRQWLQXHG 1XPEHU 5HVSRQVH )UHTXHQFLHV DQG &DWHJRULHV RI 5HVSRQVH *LYHQ E\ $XWRHYROXWLRQDU\ DQG 0RGDO 6XEMHFWV WR WKH 4XHVWLRQ :KDW 'R
PAGE 11

$EVWUDFW RI 'LVVHUWDWLRQ 3UHVHQWHG WR WKH *UDGXDWH &RXQFLO RI WKH 8QLYHUVLW\ RI )ORULGD LQ 3DUWLDO )XOILOOPHQW RI WKH 5HTXLUHPHQWV IRU WKH 'HJUHH RI 'RFWRU RI 3KLORVRSK\ ',))(5(17,$7,1* &+$5$&7(5,67,&6 2) $872(92/87,21$5< $1' 02'$/ 3(56216 %\ :LOOLDP -RVHSK :HLNHO $XJXVW &KDLUPDQ 5LFKDUG + -RKQVRQ 0DMRU 'HSDUWPHQW &RXQVHORU (GXFDWLRQ $XWRHYROXWLRQDU\ SHUVRQV ZHUH GHILQHG DV SV\FKRORJLn FDOO\ KHDOWK\ SHRSOH ZKR DFW XSRQ WKH HQYLURQPHQW WR HIIHFW DGDSWLYH FKDQJH ,Q DGGLWLRQ WKH\ VWULYH WR EH IXOO\ IXQFWLRQLQJ RU VHOIDFWXDOL]LQJ SHUVRQV 7KHVH SHUVRQV ZHUH LGHQWLILHG LQ D FRPPXQLW\ EDVHG RQ WKH QRPLQDWLRQV RI WKHLU SHHUV IRU WKHLU KLJK GHJUHH RI FRPPXQLW\ VHUYLFH -XGJHV VHOHFWHG WKRVH QRPLQHHV ZKR DSSHDUHG WR H[KLELW D JUHDW GHDO RI FRPPXQLW\ VHUYLFH DQG VHHPHG SV\FKRORJLFDOO\ KHDOWK\ 7KHVH SHRSOH FRPSULVHG WKH JURXS RI DXWRHYROXn WLRQDU\ VXEMHFWV $ FRPSDULVRQ JURXS RI PRGDO RU DYHUDJH FLWL]HQV ZDV GUDZQ IURP WKH VDPH FRPPXQLW\ DQG PDWFKHG VR WKDW WKH JURXSV ZRXOG EH DSSUR[LPDWHO\ HTXDO LQ DJH %RWK JURXSV FRPSOHWHG WKH 3HUVRQDOLW\ 5HVHDUFK )RUP 5RNHDFK 'RJPDWLVP VFDOH 0HDQV(QG 3URFHGXUH DQG UHVSRQGHG WR D QXPEHU RI H[SHULPHQWDO TXHVWLRQV 6LJQLILFDQW GLIIHUHQFHV ZHUH QRWHG EHWZHHQ WKH JURXSV RQ IRXU RI WKH VHYHQWHHQ PHDVXUHV 2UGHU 6RFLDO 5HFRJQLWLRQ 8QGHUVWDQGLQJ DQG [

PAGE 12

WKH TXDQWLWDWLYH PHDVXUH RI 0HDQV(QG WKLQNLQJ 'LIIHUn HQFHV ZHUH GLVFXVVHG DQG VXJJHVWLRQV ZHUH JLYHQ IRU IXUWKHU UHVHDUFK LQ WKH DUHD RI SRVLWLYH SV\FKRORJLFDO KHDOWK [L

PAGE 13

&+$37(5 ,1752'8&7,21 +LVWRULFDOO\ KHOSLQJ SURIHVVLRQDOV KDYH FRQFHUQHG WKHP VHOYHV ZLWK LQGLYLGXDOV H[SHULHQFLQJ D ZLGH UDQJH RI GHYHORS PHQWDO SUREOHPV PDODGMXVWPHQWV QHXURVHV DQG SV\FKRVHV 5HODWLYHO\ IHZ WKHRULVWV RU UHVHDUFKHUV KDYH FRQVLGHUHG WKH SV\FKRORJLFDOO\ KHDOWK\ SHUVRQDOLW\ JHQHUDOL]HG LQWHUHVW LQ WKH SRVLWLYH GLPHQVLRQV RI SV\FKRORJLFDO KHDOWK DPRQJ SV\FKRORJLVWV DQG VRFLDO VFLHQWLVWV KDV DULVHQ ODUJHO\ LQ WKH ODVW WZHQW\ QRZ WKLUW\f \HDUV 3XWWLFN S f -DKRGD f ZDV DPRQJ WKH ILUVW WR RIIHU FRQFHSWV RI SRVLWLYH PHQWDO KHDOWK DQG WR VXJJHVW UHVHDUFK VWUDWHJLHV WR H[DPLQH SRVLWLYH KHDOWK 0DVORZ f SLRQHHUHG WKH VWXG\ RI WKH VXSHUKHDOWK\ SHUVRQDOLW\ DQG SRVWXODWHG WKH H[LVWHQFH RI VHOIDFWXDOL]LQJ SHRSOH 8QWLO KLV GHDWK LQ 0DVORZ FRQWLQXHG WR VWXG\ RSWLPDO IXQFWLRQLQJ DQG VWLPXODWHG PXFK UHVHDUFK LQ WKLV DUHD /DQGVPDQ f GHILQHG WKH EHDXWLIXO DQG QREOH SHUVRQ DV D PRUH H[WHUn QDOO\ REVHUYDEOH VHOIDFWXDOL]LQJ LQGLYLGXDO D SURGXFW RI SRVLWLYH H[SHULHQFH 2WKHUV KDYH SUHVHQWHG WKHRULHV RI SRVLWLYH PHQWDO KHDOWK DQG RSWLPDO IXQFWLRQLQJ LQFOXGLQJ -RXUDUG f $OOSRUW f
PAGE 14

DQG 6Q\JJ f &RPEV f )UDQNO f %XEHU f 'UHYGDKO DQG &DWWHOO f DQG 3XWWLFN f 7KHVH DQG RWKHUV ZLOO EH H[DPLQHG DW OHQJWK LQ &KDSWHU 7ZR 7KH SUHVHQW WKHVLV RIIHUV D QHZ FRQFHSWLRQ RI SRVLWLYH PHQWDO KHDOWK DQG RSWLPDO IXQFWLRQLQJ EDVHG RQ D YDULHW\ RI SUHYLRXV WKHRULHV DQG WKH DXWKRUnV LQWHUSUHWDWLRQ DQG H[SDQVLRQ RI WKHVH LGHDV 7KH WHUP FRLQHG WR GHVFULEH WKLV QHZO\ FRQFHSWXDOL]HG LQGLYLGXDO LV WKH $XWRHYROXWLRQDU\ 3HUVRQ 7KH WHUP DXWRHYROXWLRQDU\ RU DXWRHYROXWLRQ ZDV FKRVHQ RYHU SUHYLRXVO\ HPSOR\HG WHUPV VXFK DV VHOI DFWXDOL]LQJ 0DVORZ *ROGVWHLQf RU EHDXWLIXO DQG QREOH SHUVRQ /DQGVPDQf EHFDXVH LW PRUH DSWO\ GHVFULEHV WKH TXDOLWLHV RI WKH VXEMHFWV FKRVHQ IRU VWXG\ 6HOIDFWXDOL]LQJ ZDV GHILQHG DV GHYHORSLQJ DQG IXOILOOLQJ RQHnV LQQDWH SRVLWLYH SRWHQWLDOLWLHV :ROPDQ S f LW LV EDVLFDOO\ DQ LQGLYLGXDO LQWHUQDO SURFHVV 7HUPV VXFK DV IXOO\IXQFWLRQLQJ 5RJHUV f DQG WKH GLVFORVHG VHOI -RXUDUG f DOVR VWUHVVHG DQ LQWHUQDO SURFHVV RI JURZWK DQG RSWLPDO IXQFWLRQLQJ /DQGVPDQnV f EHDXWLIXO DQG QREOH SHUVRQ LV D PRUH H[WHUQDO REVHUYDEOH VWDWH LQFOXGLQJ KRZ WKH SHUVRQ LV SHUFHLYHG E\ RWKHUV S f DQG D MR\IXO SDVVLRQDWH UHODWLRQVKLS ZLWK KLV HQYLURQPHQW S f DV ZHOO DV RWKHU FULWHULD OLVWHG E\ WKHRULVWV VXFK DV 0DVORZ -RXUDUG DQG 0D\ 7KH DXWRHYROXWLRQDU\ SHUVRQ LV VHHQ LQ WZR GLVWLQFW

PAGE 15

ZD\V :KHQ WKH DXWR RU VHOI LV FRQVLGHUHG LQ D FRQVWDQW VWDWH RI FKDQJH JURZWK RU HYROXWLRQ WKH FRQFHSW LV DNLQ WR 5RJHUnV IXOO\ IXQFWLRQLQJ SHUVRQ 0DVORZnV VHOI DFWXDOL]LQJ SHUVRQ DQG /DQGVPDQnV EHDXWLIXO DQG QREOH SHUVRQ ,W LV LQ WKH VHFRQG VHQVH RI WKH ZRUG WKDW GLIIHUHQFHV IURP SUHYLRXV FRQFHSWLRQV RI SRVLWLYH PHQWDO KHDOWK EHFRPH DSSDUHQW ,Q WKLV VHQVH WKH DXWR VHOI RU SHUVRQ DFWV XSRQ WKH H[WHUQDO HQYLURQPHQW SHUVRQV WKLQJV HWFf LQ DQ DWWHPSW WR HIIHFW DGDSWLYH FKDQJH 7KHVH SHUVRQV DUH VHHQ DV DFWLYHO\ GLUHFWLQJ WKH HYROXWLRQ RI WKHLU VSHFLHV E\ DFWLQJ XSRQ WKH HQYLURQPHQWDO VWUXFWXUH WR ZKLFK WKH VSHFLHV ZLOO HYHQWXDOO\ UHDFW 7KHVH DFWLRQV FRXOG EH LPSURYLQJ D QHLJKERUKRRG SDUN VR WKDW FKLOGUHQ KDYH D KHDOWKLHU HQYLURQPHQW LQ ZKLFK WR SOD\ DQG JURZ RU E\ DFWLQJ ZLWK ORYH RSHQQHVV KRQHVW\ HWFf UDWKHU WKDQ UHDFWLQJ WR RWKHU SHRSOH 6HH 'R
PAGE 16

DV PHDVXUHG E\ VWDQGDUG SHUVRQDOLW\ LQYHQWRULHV WKXV MXVWLI\LQJ WKH XVH RI WKH WHUP DXWRHYROXn WLRQDU\" :KDW SV\FKRORJLFDO WUDLWV RU FRQVWUXFWV GLVWLQJXLVK WKH DXWRHYROXWLRQDU\ SHUVRQ IURP WKH PRGDO SHUIRUn PHU DQG LQ ZKDW TXDQWLWDWLYH DQG TXDOLWDWLYH ZD\V GR WKH\ GLIIHU LQ WKHVH WUDLWV" :KDW GHPRJUDSKLF DQG H[SHUHQWLDO YDULDEOHV DUH VLJQLILFDQWO\ GLIIHUHQW EHWZHHQ WKH WZR JURXSV" 6LJQLILFDQFH RI WKH 6WXG\ ,Q WKH ODWH VL[WLHV DQG HDUO\ VHYHQWLHV WKRXVDQGV RI QRUPDO SHRSOH KDYH IORFNHG WR YDULRXV HQFRXQWHU JURZWK RU HQULFKPHQW JURXSV 2EYLRXVO\ VRPHWKLQJ EH\RQG VRFLHW\nV VWDPS RI QRUPDOLW\ LV GHVLUHG E\ WKHVH SHRSOH %\ VWXG\n LQJ WKH RSWLPDO IXQFWLRQHUV DPRQJ XV LW PD\ EH SRVVLEOH WR GHWHUPLQH KRZ WKH\ UHDFKHG WKLV VWDWH DQG LI ZH VR GHVLUH GHYHORS SDWKZD\V IRU RWKHUV WR LQFUHDVH WKHLU IXQFn WLRQLQJ /DQGVPDQ f IHHOV WKDW WKH VWXG\ RI PDQnV EHVW VHOI LV WKH SURSHU VWXG\ RI PDQNLQG S f /DQGVPDQ KDV SRLQWHG RXW ZLVKHV WKDW PD\ EH IXOILOOHG E\ VWXG\LQJ PDQnV EHVW VHOI 7KH\ LQFOXGH UHVWRULQJ DEQRUPDO DQG PDOn DGMXVWHG SHUVRQV QRW RQO\ WR QRUPDOLW\ EXW WR D KLJKHU VWDWH LQ ZKLFK WKH\ PD\ UHDOL]H WKHLU IXOO SRWHQWLDO GLVFRYHULQJ WKH GHYHORSPHQWDO SURFHVV ZKLFK IRVWHUV JURZWK LQWR WKH EHDXWLIXO VHOIDFWXDOL]LQJ RU DXWRHYROXWLRQDU\ SHUVRQ VR WKDW ZH PD\ RIIHU WKLV WR RXU FKLOGUHQ DQG ILQGLQJ WKH WKHUDSLHV RU H[SHULHQFHV ZKLFK ZLOO IDFLOLWDWH WKH WUDQVLWLRQ RI QRUPDO DGXOWV LQWR WKH VWDWH RI RSWLPDO IXQFWLRQLQJ

PAGE 17

6PLWK f IHOW WKDW ZH QHHGHG VSHFLILF JXLGHOLQHV WR GLVWLQJXLVK ZKHWKHU WKH YDOXHV DVVRFLDWHG ZLWK SRVLWLYH PHQWDO KHDOWK GLIIHUHG IURP WKRVH KHOG E\ WKH DYHUDJH FLWL]HQ ,Q MXVWLI\LQJ WKH VWXG\ RI SRVLWLYH KHDOWK 6PLWK ZURWH )RU WKH LQVWLWXWLRQDO SV\FKLDWULVW VWLOO EDIIOHG E\ WKH WUHDWPHQW RI JURVV PHQWDO GLVHDVH FI %DUWRQ LQ -DKRGD S f WKHUH LV QR SUREOHP KHUH PHQWDO KHDOWK IRU KLV SUDFWLFDO SXUSRVHV LV WKH DEVHQFH RI IODJUDQW PHQWDO LOOQHVV EXW WKH SDUHQW WKH WHDFKHU WKH SV\FKRORJLFDO FRXQVHORU FDQ KDUGO\ DYRLG FRQFHUQ ZLWK WKH SRVLWLYH HQG RI WKH VSHFWUXP S f $QRWKHU DVSHFW LV WKDW DXWRHYROXWLRQDU\ SHUVRQV OLNH 0DVORZnV Ef PHWDPRWLYDWHG SHUVRQV DUH VHHQ DV WUDQVn FHQGLQJ WKH ZRUNSOD\ GLFKRWRP\ DQG GHULYLQJ WUHPHQGRXV VWLPXODWLRQ DQG HQMR\PHQW IURP WKHLU SDUWLFXODU YRFDWLRQ 7KH\ LGHQWLI\ ZLWK WKH MRE DQG XWLOL]H LW DV D VRXUFH RI VHOIGHILQLWLRQ %\ VWXG\LQJ WKH SHUVRQ LQ UHODWLRQ WR WKH MRE LW PD\ EH SRVVLEOH WR JDLQ YDOXDEOH LQVLJKWV DSSOLFDEOH WR YRFDWLRQDO FRXQVHOLQJ FDUHHU GHYHORSPHQW UHKDELOLWDWLRQ FRXQVHOLQJ DQG YRFDWLRQDO DGMXVWPHQW )LQDOO\ LI ZH FRQVLGHU 0DVORZnV Gf DGRSWLRQ RI WKH WHUP JURZLQJWLSWKH WLS RI WKH SODQW ZKHUH WKH JUHDWHVW JHQHWLF DFWLRQ LV WDNLQJ SODFHDQG FRQVLGHU WKH RSWLPDO IXQFWLRQHU DV RXU VSHFLHV JURZLQJ WLS ZH ZLOO KDYH VRPH LGHD RI KXPDQ FDSDELOLWLHV DQG RXU HYROXWLRQDU\ IXWXUH %\ QXUWXULQJ WKH FRQGLWLRQV WKDW DUH JURZWK IRVWHULQJ LQ WKH LQWHUQDO DQG H[WHUQDO HQYLURQPHQW ZH FDQ LI VR

PAGE 18

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f 7KDW ZH KDYH IDLOHG LQ WKH SDVW WR VWXG\ WKRVH ZKR DSSURDFK KXPDQ QDWXUHnV IDUWKHVW UHDFKHV KDV EHHQ VWUHVVHG E\ 0DVORZ (YHQ ZKHQ JRRG VSHFLPHQV WKH VDLQWV DQG WKH VDJHV DQG JUHDW OHDGHUV RI KLVWRU\ KDYH EHHQ DYDLODEOH IRU VWXG\ WKH WHPSWDWLRQ WRR RIWHQ KDV EHHQ WR FRQVLGHU WKHP QRW KXPDQ EXW VXSHU QDWXUDOO\ HQGRZHG G S f 'HILQLWLRQ RI 7HUPV $XWRHYROXWLRQ 7KH DXWRHYROXWLRQDU\ SHUVRQ LV VHHQ SULPDULO\ LQ WZR ZD\V )LUVW DV DXWR RU VHOI HYROYHUV WKH\ DFW XSRQ WKH H[WHUQDO HQYLURQPHQW WR PRGLI\ LW 7KLV JLYHV WKHP D IDYRUDEOH PHGLXP ZLWK ZKLFK WR UHDFW ,Q RWKHU ZRUGV LI DXWRHYROXWLRQDU\ SHUVRQV DUH WR OLYH LQ D SDUWLFXODU VRFLHW\ FRXQWU\ IDPLO\ HWF WKH\ ZLOO DFW XSRQ DQG LQIOXHQFH WKDW XQLW WR PDNH LW WKH EHVW SRVVLEOH XQLW NQRZLQJ WKDW WKH HQYLURQPHQWDO VWUXFWXUH ZLOO SRZHUIXOO\

PAGE 19

LQIOXHQFH DOO RI LWV PHPEHUV %\ VKDSLQJ WKH HQYLURQPHQW WKHVH SHUVRQV LQ WXUQ VKDSH WKHLU RZQ GHVWLQ\ DV HYROYLQJ UHDFWLQJ UHVLGHQWV ZLWKLQ WKDW HQYLURQPHQW ,Q WKH VHFRQG VHQVH RI WKH ZRUG WKH DXWR RU VHOI LV FRQVWDQWO\ HYROYLQJ RU LQ IOX[ ,W LV D G\QDPLF HYHU FKDQJLQJ ULVNWDNLQJ VHOI VHHNLQJ DGDSWLYH HYROXWLRQDU\ FKDQJH 7KH VHOI LQ WKLV VHQVH LV YHU\ VLPLODU WR 5RJHUnV f IXOO\IXQFWLRQLQJ SHUVRQ DQG 0DVORZnV VHOIDFWXDOL]LQJ SHUVRQV 7KHVH SHRSOH DUH RSHQ WR H[SHULHQFH WROHUDQW RI DPELJXLW\ DQG SRVVHVV FRQILGHQFH DQG WUXVW LQ WKH VHOI 7KH DXWRHYROXWLRQDU\ SURFHVV OLNH WKH VHOIDFWXDOL]LQJ SURFHVV LV QHYHU FRPSOHWH LWf LV D VHOISHUSHWXDWLQJ RQJRLQJ DQG QHYHU ILQLVKHG SURFHVV HDFK QHZ LQYROYHPHQW RI WKH VHOI EHJHWV IXUWKHU LQYROYHPHQW D SHUVRQ LV QHYHU VHOIDFWXDOL]HG EXW LV DOZD\V LQ WKH SURFHVV RI ILQGLQJ QHZ JRDOV DQG QHZ H[SUHVVLRQ WR SDUDSKUDVH 6KDNHVSHDUH VHOI DFWXDOL]DWLRQ LV DV LI LQFUHDVH RI DSSHWLWH JURZV E\ ZKDW LW IHHGV RQ 5XVK S f 7KH DXWRHYROXWLRQDU\ SHUVRQ LV FRQVWDQWO\ DVVLPLODWLQJ DQG DFFRPPRGDWLQJ H[SHULHQFHV LQ WKH VHQVH GHVFULEHG E\ 3LDJHW f DQG LV EHFRPLQJ DQ DFWLYH PDVWHU RI KLV HQYLURQn PHQW
PAGE 20

0RGDO IXQFWLRQHUV DUH GHILQHG DV WKRVH ZKR IXQFWLRQ RQ WKH VDPH OHYHO DV PRVW RWKHUV LQ D SDUWLFXODU VHWWLQJ 7KH VWDWLVWLFDO XVH RI WKH WHUP PRGH LV WKH VFRUH RQ D VHW RI VFRUHV WKDW RFFXUV PRVW IUHTXHQWO\ *ODVV e 6WDQOH\ S f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

PAGE 21

&+$37(5 ,, 5(9,(: 2) 7+( /,7(5$785( 6HOI$FWXDOL]DWLRQ )RU PDQ\ \HDUV WKH PRVW SURPLQHQW WKHRULVWV LQ WKH ILHOG RI SRVLWLYH SV\FKRORJLFDO KHDOWK DQG RSWLPDO IXQFn WLRQLQJ ZDV $EUDKDP + 0DVORZ +H RXWOLQHG WKH PDQ\ DVSHFWV RI SRVLWLYH IXQFWLRQLQJ PRWLYDWLRQ VHOIDFWXDOLn ]DWLRQ YDOXHV QHHGV FRJQLWLRQ FUHDWLYLW\ SHDN H[SHULHQFH UHOLJLRQ WUDQVFHQGHQW IXQFWLRQLQJ DQG RWKHUV $ FRPSOHWH ELEOLRJUDSK\ RI 0DVORZnV UHODWHG ZRUN DSSHDUV LQ WKH UHIHUHQFH VHFWLRQ &HQWUDO WR 0DVORZnV WKHRULHV ZDV WKH H[LVWHQFH RI D QHHG KLHUDUFK\ D SURJUHVVLYH VHULHV RI QHHGV WKDW PXVW EH VDWLVILHG LQ DVFHQGLQJ RUGHU EHIRUH RQH FRXOG SURJUHVV WR WKH KLJKHU QHHG 0DVORZ FDOOHG WKHVH GHILFLW QHHGV DQG JURZWK QHHGV +H XVHG WKH WHUP VHOI DFWXDOL]LQJ WR GHVFULEH KLJKOHYHO IXQFWLRQHUV ZKR KDG VDWLVILHG WKH GHILFLW QHHGV DQG ZHUH H[SDQGLQJ DQG H[SORULQJ WKH SRVVLn ELOLWLHV RI WKH WUXH VHOI D Ef 7KLV ZDV D UHGHILQLWLRQ RI WKH WHUP VLQFH *ROGVWHLQ f KDG XVHG LW WR GHVFULEH WKH PRWLYDWLRQ EDVLF WR PDQ ,Q *ROGVWHLQnV VHQVH D JRDO RI VXFK RXWJRLQJ H[SORULQJ DQG DGMXV WLYH DFWLYLW\ LV VHOIDFWXDOL]DWLRQWKH IXOOHVW

PAGE 22

PRVW FRPSOHWH GLIIHUHQWLDWLRQ DQG KDUPRQLRXV EOHQGn LQJ RI DOO DVSHFWV RI PDQfV WRWDO SHUVRQDOLW\ WKH UHDOL]DWLRQ RI LQKHUHQW SRWHQWLDOLWLHV &)XHUVW S f *ROGVWHLQ IHOW WKDW LW ZDV DQ\ JUDWLILFDWLRQ ZKHWKHU LW EH D KXQJU\ SHUVRQ HDWLQJ RU DQ LJQRUDQW SHUVRQnV TXHVW IRU NQRZOHGJH 5XVK S f 0DVORZ VDZ WKH VHOIDFWXDOL]LQJ SURFHVV DV PRUH RI DQ LQWHUQDO JURZWKRULHQWHG SKHQRPHQD $ VHOIDFWXDOL]LQJ SHUVRQ KDV DQ LQQHU FRPSXOVLRQ WR LQWHJUDWH KLV LQWHUHVWV WDOHQWV DQG DELOLWLHV WR WKH SRLQW WKDW KH ZRUNV WRZDUG EHFRPLQJ ZKDW KH PXVW EHFRPH VLPLODU WR 1LHW]FKHnV DGPRQLWLRQ %H ZKDW WKRX DUW 5XVK S f -XQJ f FDOOHG WKLV WKH LQGLYLGXDOL]DWLRQ SURFHVV RU WKH DWWDLQPHQW RI WKH WUXH VHOI 0DVORZ IHOW WKDW WKH VHOIDFWXDOL]LQJ SURFHVV ZDV VHOISHUSHWXDWLQJ )XHUVW f JDYH WKH H[DPSOH RI D FROOHJH SURIHVVRU ZKR ZDV HFRQRPLFDOO\ VHFXUH KDG WHQXUH DQG \HW ZRUNHG KLPVHOI VLFN IRU WKH VDNH RI KLV UHVHDUFK +DUG ZRUN RQFH D PHDQV WR DQ HQG EHFRPHV DQ HQG LQ LWVHOI :KDW QRZ LV PRWLYDWLQJ KLP ZDV DW ILUVW LQVWUXPHQWDO WR VRPH RWKHU HQG WKDW LV WR VRPH HDUOLHU PRWLYH S f 6HOIDFWXDOL]LQJ LQGLYLGXDOV ZHUH VHHQ DV QR ORQJHU PRWLYDWHG E\ WKH EDVLF QHHGV 0DVORZ f SRVWXn ODWHG WKDW WKH\ KDG PHWDQHHGV DQG ZHUH PHWDPRWLYDWHG +H ZURWH ,W LV WKHUHIRUH FRQYHQLHQW WR FDOO WKHVH KLJKHU PRWLYHV DQG QHHGV RI VHOIDFWXDOL]LQJ SHUVRQV E\ WKH QDPH PHWDQHHGV DQG DOVR WR GLIIHUHQWLDWH WKH FDWHJRU\ RI PRWLYDWLRQ IURP WKH FDWHJRU\ RI PHWDPRWLYDWLRQ 0HWDPRWLYDWLRQ QRZ VHHPV QRW WR HQVXUH DXWRPDWLFDOO\ DIWHU EDVLF

PAGE 23

QHHG JUDWLILFDWLRQ 2QH PXVW VSHDN DOVR RI WKH DGGLWLRQDO YDULDEOH RI GHIHQVHV DJDLQVW PHWDn PRWLYDWLRQ LW PD\ WXUQ RXW WR EH XVHIXO WR DGG WR WKH GHILQLWLRQ RI WKH VHOIDFWXDOL]LQJ SHUVRQ QRW RQO\ Df WKDW KH EH VXIILFLHQWO\ IUHH RI LOOQHVV Ef WKDW KH EH VXIILFLHQWO\ JUDWLILHG LQ KLV EDVLF QHHGV DQG Ff WKDW KH EH SRVLWLYHO\ XVLQJ KLV FDSDFLWLHV EXW DOVR Gf WKDW KH EH PRWLYDWHG E\ VRPH YDOXHV ZKLFK KH VWULYHV IRU RU JURSHV IRU DQG WR ZKLFK KH LV OR\DO S f 0DVORZ VDZ VHOIDFWXDOL]LQJ SHRSOH DV EHLQJ GHGLFDWHG WR VRPH WDVN FDOO YRFDWLRQ RU EHORYHG ZRUN RXWVLGH RI WKHPn VHOYHV S f ,Q WKHLU YRFDWLRQ WKH\ WUDQVFHQG WKH GLFKRWRP\ RI ZRUN DQG SOD\ WKLQJV VXFK DV ZDJHV YDFDWLRQV DQG KREELHV DUH GHILQHG DW KLJKHU OHYHOV 0DVORZ GHVFULEHG WKH PHWDPRWLYDWHG VHOIDFWXDOL]HU LQ WKH ZRUN VHWWLQJ 7KLV SHUVRQ LV WKH EHVW LQ WKH ZRUOG IRU WKLV SDUWLFXODU MRE DQG WKLV SDUWLFXODU MRE LV WKH EHVW MRE LQ WKH ZKROH ZRUOG IRU WKLV SDUWLFXODU SHUVRQ DQG KLV WDOHQWV FDSDFLWLHV DQG WDVWHV +H ZDV PHDQW IRU LW DQG LW ZDV PHDQW IRU KLP S f 7KHVH SHRSOH XVH WKHLU ZRUN DV D VRXUFH RI VHOIGHILQLWLRQ DQG LGHQWLI\ VWURQJO\ ZLWK WKHLU YRFDWLRQ WKH\ HPERG\ WKH YDOXHV RI D SDUWLFXODU MRE UDWKHU WKDQ WKH MRE LWVHOI 0DVORZ IHOW WKDW LI WKHVH YDOXHV FRXOG EH LGHQWLILHG DQG H[DPLQHG D JUHDWHU XQGHUVWDQGLQJ DQG LPSURYHPHQW RI WKH VSHFLHV ZRXOG EH SRVVLEOH ,QWULQVLF UHLQIRUFHUV VXFK DV SHDN H[SHULHQFHV KLJK OHYHO SRVLWLYH KXPDQ H[SHULHQFHVf DUH WKH SD\RIIV WKDW PDNH HYHQ URXWLQH DVSHFWV RI D MRE RU WDVN ZRUWKZKLOH 0DVORZ f WUDQVODWHG WKHVH UHLQIRUFHUV LQWR D VHULHV RI VXEMHFWLYH YDOXHV DQG VWDWHV RI EHLQJ VHH

PAGE 24

7DEOH f 7KH PDMRULW\ RI SHRSOH DUH PRWLYDWHG E\ GHILn FLHQF\ RU QHXURWLF QHHGV RU D FRPELQDWLRQ RI WKHVH EXW LW LV SRVVLEOH WKDW DOO SHUVRQV DUH PHWDPRWLYDWHG DQG OHVV EDVLF QHHG PRWLYDWHG WKDQ WKH DYHUDJH SHUVRQ S f 0DVORZ f VDLG 7KH FORVHU WR VHOIDFWXDOL]LQJ WR IXOOKXPDQQHVV HWF WKH SHUVRQ LV WKH PRUH OLNHO\ DP WR ILQG WKDW KLV nZRUN LV PHWDPRWLYDWHG UDWKHU WKDQ EDVLF QHHG PRWLYDWHG S f 7$%/( 027,9$7,216 $1' *5$7,),&$7,216 2) 6(/)$&78$/,=,1* 3(23/( 2%7$,1(' 7+528*+ 7+(,5 :25. $6 :(// $6 ,1 27+(5 :$<6 7+(6( $5( ,1 $'',7,21 72 %$6,&1((' *5$7,),&$7,216f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nV H[KRUWDWLRQV 7KH\ WHQG WR HQMR\ SHDFH FDOP TXLHW SOHDVDQWQHVV HWF DQG WKH\ WHQG QRW WR OLNH WXUPRLO ILJKWLQJ ZDU HWF WKH\ DUH QRW JHQHUDOILJKWHUV RQ HYHU\ IURQWf DQG WKH\ FDQ HQMR\ WKHPVHOYHV LQ WKH PLGGOH RI D ZDU 7KH\ DOVR VHHP SUDFWLFDO DQG VKUHZG DQG UHDOLVWLF DERXW LW PRUH RIWHQ WKDQ LPSUDFWLFDO 7KH\ OLNH WR EH HIIHFWLYH DQG GLVOLNH EHLQJ LQHIIHFWXDO

PAGE 25

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n WHU\ DSSODXVH SRSXODULW\ VWDWXV SUHVWLJH PRQH\ KRQRUV HWF ([SUHVVLRQV RI JUDWLWXGH RU DW OHDVW RI DZDUHQHVV RI WKHLU JRRG IRUWXQH DUH FRPPRQ 7KH\ KDYH D VHQVH RI QREOHVVH REOLJH ,W LV WKH GXW\ RI WKH VXSHULRU RI WKH RQH ZKR VHHV DQG NQRZV WR EH SDWLHQW DQG WROHUDQW DV ZLWK FKLOGUHQ 7KH\ WHQG WR EH DWWUDFWHG E\ P\VWHU\ XQVROYHG SUREOHPV E\ WKH XQNQRZQ DQG WKH FKDOOHQJLQJ UDWKHU WKDQ WR EH IULJKWHQHG E\ WKHP 7KH\ HQMR\ EULQJLQJ DERXW ODZ DQG RUGHU LQ WKH FKDRWLF VLWXDWLRQ RU LQ WKH PHVV\ RU FRQIXVHG VLWXDWLRQ RU LQ WKH GLUW\ DQG XQFOHDQ VLWXDWLRQ 7KH\ KDWH DQG ILJKWf FRUUXSWLRQ FUXHOW\ PDOLFH GLVn KRQHVW\ SRPSRXVQHVV SKRQLQHVV DQG IDNLQJ 7KH\ WU\ WR IUHH WKHPVHOYHV IURP LOOXVLRQV WR ORRN DW WKH IDFWV FRXUDJHRXVO\ WR WDNH DZD\ WKH EOLQGIROG 7KH\ IHHO LW LV D SLW\ IRU WDOHQW WR EH ZDVWHG 7KH\ GR QRW GR PHDQ WKLQJV DQG WKH\ UHVSRQG ZLWK DQJHU ZKHQ RWKHU SHRSOH GR PHDQ WKLQJV 7KH\ WHQG WR IHHO WKDW HYHU\ SHUVRQ VKRXOG KDYH DQ RSSRUn WXQLW\ WR GHYHORS WR KLV KLJKHVW SRWHQWLDO WR KDYH D IDLU FKDQFH WR KDYH HTXDO RSSRUWXQLW\ 7KH\ OLNH GRLQJ WKLQJV ZHOO GRLQJ D JRRG MRE WR GR ZHOO ZKDW QHHGV GRLQJ 0DQ\ VXFK SKUDVHV DGG XS WR EULQJLQJ DERXW JRRG ZRUNPDQVKLS 2QH DGYDQWDJH RI EHLQJ D ERVV LV WKH ULJKW WR JLYH DZD\ WKH FRUSRUDWLRQnV PRQH\ WR FKRRVH ZKLFK JRRG FDXVHV WR KHOS 7KH\ HQMR\ JLYLQJ WKHLU RZQ PRQH\ DZD\ WR FDXVHV WKH\ FRQVLGHU LPSRUWDQW JRRG ZRUWKZKLOH HWF 3OHDVXUH LQ SKLODQWKURS\ 7KH\ HQMR\ ZDWFKLQJ DQG KHOSLQJ WKH VHOIDFWXDOL]LQJ RI RWKHUV HVSHFLDOO\ RI WKH \RXQJ 7KH\ HQMR\ ZDWFKLQJ KDSSLQHVV DQG KHOSLQJ WR EULQJ LW DERXW 7KH\ JHW JUHDW SOHDVXUH IURP NQRZLQJ DGPLUDEOH SHRSOH FRXUDJHRXV KRQHVW HIIHFWLYH VWUDLJKW ELJ

PAGE 26

7DEOH FRQWLQXHG FUHDWLYH VDLQWO\ HWFf 0\ ZRUN EULQJV PH LQ FRQWDFW ZLWK PDQ\ ILQH SHRSOH 7KH\ HQMR\ WDNLQJ RQ UHVSRQVLELOLWLHV WKDW WKH\ FDQ KDQGOH ZHOOf DQG FHUWDLQO\ GRQnW IHDU RU HYDGH WKHLU UHVSRQVLELn OLWLHV 7KH\ UHVSRQG WR UHVSRQVLELOLW\ 7KH\ XQLIRUPO\ FRQVLGHU WKHLU ZRUN WR EH ZRUWKZKLOH LPSRUn WDQW HYHQ HVVHQWLDO 7KH\ HQMR\ JUHDWHU HIILFLHQF\ PDNLQJ DQ RSHUDWLRQ PRUH QHDW FRPSDFW VLPSOHU IDVWHU OHVV H[SHQVLYH WXUQLQJ RXW D EHWWHU SURGXFW GRLQJ ZLWK OHVV SDUWV D VPDOOHU QXPEHU RI RSHUDWLRQV OHVV FOXPVLQHVV OHVV HIIRUW PRUH IRROSURRI VDIHU PRUH HOHJDQW OHVV ODERULRXV 0DVORZ SS f /DQGVPDQ f SUHVHQWHG WKH FRQFHSW RI RQHnV EHVW VHOI +H GHILQHG WKLV DV DQ LQGLYLGXDOnV IXQFWLRQLQJ RQ WKH KLJKHVW OHYHOV RI KLV XQLTXHO\ KXPDQ FKDUDFWHULVWLFV S f /DQGVPDQ H[SDQGHG WKH FRQFHSW RI VHOIDFWXDOL]Dn WLRQ DQG VWUHVVHG WKH DELOLW\ RI WKH SHUVRQ WR HQJDJH LQ PHDQLQJIXO KXPDQ UHODWLRQVKLSV ,Q DGGLWLRQ WR LQWHOOLJHQFH SURGXFWLYLW\ DQG WDOHQW DFWXDOL]DWLRQ VXFK IXQFWLRQLQJ LQFOXGHV VHQVLWLn YLW\ ZDUPWK VNLOO LQ KXPDQ UHODWLRQVKLS FRXUDJH NLQGQHVV JHQWOHQHVV DQG WKH FDSDFLW\ WR KHOS LQ FRQIOLFW UHVROXWLRQ RU WR KHOS LQ JHQHUDO S f /DQGVPDQ DQG KLV VWXGHQWV 3XWWLFN 3ULYHWWH 'XQFDQ f H[WHQGHG 0DVORZnV VWXGLHV RI SHDN H[SHULHQFH E\ H[DPLQLQJ KRZ SHRSOH GHDOW ZLWK SRVLWLYH DQG ODWHU QHJDWLYH H[SHULHQFH *HQHUDOO\ KLJK IXQFWLRQHUV QR PDWWHU ZKDW ODEHO ZDV DSSOLHG WR WKHP ZHUH IRXQG WR EH WKH SURGXFW RI FRQVWUXFWLYH XVH RI SRVLWLYH H[SHULHQFH 0DVORZ f DJUHHG WKDW D JUHDWHU QXPEHU RI SHDN H[SHULHQFHV FKDUDFWHUL]HG WUDQVFHQGHUV IURP PHUHO\ KHDOWK\ SHRSOH S f

PAGE 27

9DOXHV 6PLWK f KDV SRLQWHG RXW WKDW DQ\ GLVFXVVLRQ RU WKHRU\ RI SRVLWLYH PHQWDO KHDOWK QHFHVVDULO\ LQYROYHV YDOXHV +H UHFRJQL]HG WKDW WKH KHDOWK\ SHUVRQ ZDV PRUH WKDQ DYHUDJH $YHUDJHQHVV LV VXUHO\ D IDU FU\ IURP RSWLPDO IXQFWLRQLQJ KRZHYHU ZH DUH WR GHILQH LW S f 6PLWK UHDVRQHG WKDW DOWKRXJK WKH PHDQ RU VWDWLVn WLFDO DYHUDJH LV YDOXHIUHH LW LV XVHOHVV +H FDOOHG IRU JXLGHOLQHV LQ LGHQWLI\LQJ WKH YDOXHV WKDW ZH GHHP KHDOWK\ 7KH FULWHULD XVHG PXVW EH PHDVXUDEOH RU LQIHUUHG IURP EHKDYLRU DUWLFXODWH ZLWK D SHUVRQDOLW\ WKHRU\ DQG UHOHYDQW WR WKH VRFLDO FRQWH[W RI WKH JURXS XQGHU LQYHVWLJDWLRQ SS f -DKRGD f UHFRJQL]HG WKH YDOXH GLOHPPD 7KH DVVHUWLRQ WKDW D FHUWDLQ VHW RI YDOXHV RU DWWULEXWHV DUH SUHVHQW LQ SV\FKRORJLFDO RU PHQWDO KHDOWK LPSOLHV WKDW WKH\ DUH JRRG -DKRGD DVNHG *RRG IRU ZKDW" *RRG LQ WHUPV RI PLGGOH FODVV HWKLFV" *RRG IRU GHPRFUDF\" )RU WKH FRQWLQXDWLRQ RI WKH VRFLDO VWDWXV TXR" )RU WKH LQGLYLGXDOnV KDSSLQHVV" )RU VXUYLYDO" )RU WKH GHYHORSPHQW RI WKH VSHFLHV" )RU WKH HQFRXUDJHPHQW RI JHQLXV RU RI PHGLRFULW\ DQG FRQIRUPLW\" S f -DKRGD TXHVWLRQHG WKH LQIOXHQFH RI FXOWXUH DQG VRFLDO FODVV YDOXHV RQ WKRVH ZKR GHILQH FULWHULD RI SRVLWLYH KHDOWK 6PLWK f FLWHG 0DVORZnV f KLVWRULFDO OLVW RI VHOI DFWXDOL]LQJ ILJXUHV VXFK DV /LQFROQ -HIIHUVRQ 7KRUHDX DQG UHYLHZHG WKH GLVWLQJXLVKLQJ FKDUDFWHULVWLFV RI WKHVH SHRSOH DV OLVWHG E\ 0DVORZ

PAGE 28

$ PRUH HIILFLHQW SHUFHSWLRQ RI UHDOLW\ DFFHSWDQFH RI VHOI RWKHUV DQG QDWXUH IRU ZKDW WKH\ DUH VSRQn WDQHLW\ SUREOHPFHQWHUHGQHVV UDWKHU WKDQ HJR FHQWHUHGQHVV WKH TXDOLW\ RI GHWDFKPHQW ZLWK D QHHG IRU SULYDF\ DXWRQRP\ LQ UHODWLRQ WR FXOWXUH DQG HQYLURQPHQW IUHVKQHVV UDWKHU WKDQ VWHUHRW\S\ RI DSSUHFLDWLRQ RSHQQHVV WR P\VWLFDO H[SHULHQFHV WKRXJK QRW QHFHVVDULO\ UHOLJLRXV RQHV LGHQWLILFDn WLRQ ZLWK PDQNLQG FDSDFLW\ IRU GHHS LQWLPDF\ LQ UHODWLRQV ZLWK RWKHUV GHPRFUDWLF DWWLWXGHV DQG YDOXHV VWURQJ HWKLFDO RULHQWDWLRQ WKDW GRHV QRW FRQIXVH PHDQV ZLWK HQGV SKLORVRSKLFDO UDWKHU WKDQ KRVWLOH VHQVH RI KXPRU FUHDWLYHQHVV 6PLWK S f 6PLWK IHOW WKDW UDWKHU WKDQ SURYLGLQJ HYLGHQFH IRU D VHOI DFWXDOL]LQJ V\QGURPH 0DVORZ GHVFULEHG WR XV KLV YDOXHV DQG SUHIHUHQFHV DQG WKH W\SHV RI SHRSOH ZKRP KH DGPLUHG -DKRGD f UHDOL]HG WKDW PHQWDO KHDOWK YDOXHV DUH D FRPSOH[ LVVXH EH\RQG VLPSOLVWLF GHILQLWLRQV RI JRRG DQG EDG 6KH IHOW WKDW D SHUVRQ FRXOG EH SRVLWLYHO\ HYDOXDWHG LQ PDQ\ DUHDV \HW QRW EH PHQWDOO\ KHDOWK\ 'HWHUPLQLQJ WKH YDOXHV RU FULWHULD IRU PHQWDO KHDOWK ZDV QRW WKH VROH UHVSRQVLELOLW\ RI SURIHVVLRQDOV SROLWLFLDQV KXPDQLVWV QDWXUDO VFLHQWLVWV SKLORVRSKHUV WKH PDQ LQ WKH VWUHHW DQG WKH PHQWDO KHDOWK H[SHUW PXVW MRLQWO\ VKRXOGHU WKH UHVSRQVLELOLW\ -DKRGD S f /DQGVPDQ f SRLQWHG RXW WKDW WZR YDOXH MXGJPHQWV DUH LQYROYHG LQ WKH FRQFHSWLRQ RI RQHnV EHVW VHOI DV D SV\FKRORJLFDOO\ KHDOWK\ SHUVRQ RQH DV MXGJHG E\ VRFLDO RU VXEFXOWXUDO YDOXHV DQG DQRWKHU DV MXGJHG E\ SHUVRQDO YDOXHV S f /DQGVPDQ IHHOV WKDW WKHUH DOVR H[LVWV D WKLUG FULWHULRQ WKDW RI XQLYHUVDO YDOXHV +H VWDWHG LQQRFHQWO\ SUHVXPH WKDW WKHVH GR H[LVW FDQ EH GHWHUPLQHG PHDVXUHG DUH WR EH FKHULVKHG DQG

PAGE 29

DUH LOOXVWUDWHG E\ WKRVHf ZKRVH IXQFWLRQLQJ ZLQV LPPHGLDWH DGHTXDWHO\ XQLYHUVDO DSSURYDO E\ DOO FXOWXUHV WKRXJK QRW QHFHVVDULO\ E\ DOO SHUVRQV SS f 5RJHUV f DV ZHOO DV /DQGVPDQ f GHIHQGHG WKH H[LVWHQFH RI XQLYHUVDO YDOXHV DQG IHOW WKDW GLIIHUHQW FXOWXUHV DJUHH WKDW PXUGHU WKHIW DQG FRZDUGLFH DUH EDG DQG WKDW NLQGQHVV FRXUDJH DQG VHQVLWLYLW\ DUH JRRG S f 5RJHUV f IHOW WKDW WKH YDOXHV KHOG E\ WKH IXOO\IXQFWLRQLQJ SHUVRQ ZRXOG EH FRQVLVWHQW ZLWK WKDW ZKLFK ZDV EHVW IRU WKH LQGLYLGXDO VRFLHW\ DQG RQJRLQJ HYROXWLRQ 3XWWLFN S f )URPP f 0D\ f DQG 0DVORZ f DOVR VXSSRUWHG WKH LGHD RI XQLYHUVDO YDOXHV -DKRGD f VWDWHG WKDW QR FRQVHQVXV RI FULWHULD IRU SRVLWLYH PHQWDO KHDOWK KDG EHHQ HVWDEOLVKHG .QXWVRQ f HODERUDWHG RQ WKH PDQ\ GLIILFXOWLHV VXFK DV WKH YDOXH TXHVWLRQ WKDW KLQGHU UHVHDUFK LQ SRVLWLYH KHDOWK ,Q D UHYLHZ RI WKH OLWHUDWXUH f -DKRGD SUHVHQWHG VL[ PDMRU FDWHJRULHV WR EH LQYHVWLJDWHG LQ WKH TXHVW RI SRVLn WLYH PHQWDO KHDOWK f $WWLWXGHV RI DQ LQGLYLGXDO WRZDUG KLV RZQ VHOI f 'HJUHH RI JURZWK GHYHORSPHQW RU VHOI DFWXDOL]DWLRQ f ,QWHJUDWLRQ V\QWKHVL]LQJ SV\FKRORJLFDO IXQFWLRQf f $XWRQRP\ f 3HUFHSWLRQ RI UHDOLW\ DQG f (QYLURQPHQWDO PDVWHU\ S f 7DEOH FRPSDUHV -DKRGDnV FRQFHSWV ZLWK $OOSRUWnV f SURSRVDOV LW LV UHDUUDQJHG WR EULQJ RXW FRUUHVSRQGHQFHV DQG GLVFUHSDQFLHV LQ WKH WZR OLVWV 6PLWK S f

PAGE 30

7$%/( 7:2 ,//8675$7,9( &21&(37,216 2) 326,7,9( 0(17$/ +($/7+ ,1 7(506 2) 08/7,3/( &5,7(5,$ -$+2'$ f $//3257 f VHOIREMHFWLILFDWLRQ HJRH[WHQVLRQ XQLI\LQJ SKLORVRSK\ RI OLIH UHDOLVWLF FRSLQJ VNLOOV DELOLWLHV DQG SHUFHSWLRQV ZDUP DQG GHHS UHODWLRQ RI VHOI WR RWKHUV FRPSDVVLRQDWH UHJDUG IRU DOO OLYLQJ FUHDWXUHV 127( 5XEULFV UHDUUDQJHG WR EULQJ RXW SDUDOOHOV 6PLWK S f 7KHRULHV RI 3V\FKRORJLFDO +HDOWK DQG 2SWLPDO )XQFWLRQLQJ /DQGVPDQ f SUHVHQWHG D JURXS RI IDFWRUV IURP UHVHDUFK DQG K\SRWKHVL]HG WKHLU UROH LQ RSWLPDO IXQFWLRQLQJ $PRQJ WKHVH IDFWRUV ZHUH VROLWXGH GXULQJ WKH IXQFWLRQLQJ D IRXQGDWLRQ RI HDUO\ SRVLWLYH KXPDQ H[SHULHQFH WKH DYDLOn DELOLW\ RI D KHOSLQJ SHUVRQ GXULQJ HSLVRGHV RI QHJDWLYH H[SHULHQFH DQG D VHQVH RI \HDUQLQJ /DQGVPDQ DOVR K\SRn WKHVL]HG WKDW RQH FDQ OHDUQ WR EH RU QRW WR EH RQHnV EHVW VHOI HQQREOHPHQWf DQG WKDW WKH ZRUVW DQG WKH EHVW FDQ UHVLGH LQ WKH VDPH VHOI S f DWWLWXGHV WRZDUG WKH VHOI JURZWK DQG VHOI DFWXDOL]DWLRQ LQWHJUDWLRQ DXWRQRP\ SHUFHSWLRQ RI UHDOLW\ HQYLURQPHQWDO PDVWHU\

PAGE 31

3ULYHWWH f DQDO\]HG IDFWRUV ZKLFK ZHUH SUHVHQW LQ LQVWDQFHV RI KLJKOHYHO IXQFWLRQLQJ ZKLFK VKH FDOOHG WUDQVn FHQGHQW IXQFWLRQLQJ 3UHVHQW LQ WKH PDMRULW\ RI WUDQVn FHQGHQW HSLVRGHV ZHUH f &OHDU IRFXV XSRQ VHOI DQG REMHFW DQG WKH UHODWLRQVKLS EHWZHHQ VHOI DQG REMHFW f 'HWHUPLQDn WLRQ WR H[FHO RU DFKLHYH f $ZDUHQHVV RI RWKHU SHUVRQV LQ D SRVLWLYH VHQVH f ,QWHQVH LQYROYHPHQW RU FRPPLWPHQW f 6SRQWDQHRXV H[SUHVVLRQ RI IRUFH DQG SRZHU f 5HVSRQVH WR WKH GHPDQGV RI D VLJQLILFDQW SHUVRQ 3ULYHWWH TXRWHG E\ /DQGVPDQ S f 3ULYHWWH DGGHG LW VHHPV OLNHO\ WKDW SK\VLFDO SV\FKRORJLFDO DQG VRFLDO ZHOOn EHLQJ FRXOG IUHH D SHUVRQ WR IXQFWLRQ HIILFLHQWO\ S f 3XWWLFN f LGHQWLILHG WKH WRS WHQ SHUFHQW RI H[WUDn RUGLQDU\ SV\FKRORJLFDOO\ KHDOWK\ ZRPHQ LQ D WHDFKHUV FROOHJH +H OLVWHG WKH IDFWRUV GLVFULPLQDWLQJ WKH KLJKHVW JURXS IURP WKH ORZHVW WHQ SHUFHQW DV f =HVWIXO MR\ LQ OLYLQJ f 5HOD[HG QRQSUHWHQWLRXVQHVV f *XLOHOHVV DXWRQRP\ f 2EMHFWLILHG VHOINQRZOHGJH f 6SRQWDQHLW\ f 7UXVW LQ LQQHU VHOI f &DSDFLW\ IRU LQWLPDF\ DQG f 6HQVH RI PLVVLRQ S f 7KH ORZHVW WHQ SHUFHQW ZHUH GLVFULPLQDWHG E\ f /LPLWHG VHOINQRZOHGJH f 5HVHUYHG MR\IXOQHVV f $EVHQFH RI VHQVH RI PLVVLRQ f 6HOIIDFDGH f ,QWURYHUWHG VHOIFRQFHUQ f ,QGHSHQGHQFH SVHXGRDXWRQRP\f DQG f 0HWLFXORXVQHVV S f 3XWWLFN FRQFOXGHG WKDW WKH VXEMHFWV LQ WKH WZR JURXSV ZHUH WZR YHU\ GLIIHUHQW NLQGV RI SHRSOH 7KH\ VHHPHG WR YLHZ

PAGE 32

WKH SURFHVV RI OLYLQJ IURP WZR YHU\ GLIIHUHQW IUDPHV RI UHIHUHQFH 7KHLU DWWLWXGHV WRZDUG VHOI RWKHUV DQG WKH ZRUOG VHHPHG TXLWH GLVn SDUDWH S f 3XWWLFN IRXQG WKDW WKH DEVHQFH RI QHXURWLFLVP GRHV QRW PHDQ WKH SUHVHQFH RI SRVLWLYH PHQWDO KHDOWK DOWKRXJK LW PD\ EH D QHFHVVDU\ SUHUHTXLVLWH 3XWWLFN VDLG WKDW PHQWDO KHDOWK DQG SV\FKRSDWKRORJ\ DV WKH\ ZHUH GHILQHG LQ KLVf VWXG\ PD\ UHSUHVHQW WZR GLIIHUHQW FRQWLQXD S f 'XQFDQ f DOVR SURSRVHG VHSDUDWH FRQWLQXD IRU H[WUHPH SV\FKRORJLFDO KHDOWK DQG QRUPDOLW\SDWKRORJ\ 2WWR f KHOG WKH LGHD WKDW WKH DYHUDJH KHDOWK\ LQGLYLGXDO LV IXQFWLRQLQJ DW SHUFHQW RU OHVV RI KLV FDSDFLW\ DFWXDOL]LQJ RXU SRVVLELOLWLHV FDQ EHFRPH D MR\RXV DQG H[FLWLQJ MRXUQH\ ZKLFK DGGV ERWK QHZ GHSWK DQG QHZ PHDQLQJ WR RXU H[LVWHQFH S f 0DVORZ 0XUSK\ )URPP 5RJHUV 0HDG 5KLQH DQG RWKHUV DOVR KHOG WKLV YLHZ 2WWR IHOW WKDW SV\FKRORJLVWV SV\FKLDn WULVWV DQG VRFLDO ZRUNHUV QHHGHG WR VWXG\ KHDOWK\ SHRSOH DQG RSWLPDO IXQFWLRQLQJ 7R VWUHVV WKH ODFN RI FRQFHUQ RI SV\n FKRORJLVWV LQ VWXG\LQJ SV\FKRORJLFDO KHDOWK 2WWR VXUYH\HG WKH $PHULFDQ 3V\FKRORJLFDO $VVRFLDWLRQnV OLVW RI SURJUDP SUHVHQWDWLRQV 2I LQGLYLGXDO SUHVHQWDWLRQV WKDW \HDU OHVV WKDQ RQHKDOI RI RQH SHUFHQW ZHUH UHODWHG WR IRVWHULQJ JURZWK RU KHDOWK LQ QRUPDO LQGLYLGXDOVn 2WWR f QXUWXUHG WKH DFWXDOL]LQJ SURFHVV E\ FRQFHQn WUDWLQJ RQ WKH IROORZLQJ DUHDV f &UHDWLQJ VXVWDLQHG LQWHUHVW f (QODUJLQJ VHOIFRQFHSW DQG HQKDQFLQJ VHOI LPDJH DQG f (QFRXUDJLQJ DQ DVVHVVPHQW RI YDOXHV DQG OLIH

PAGE 33

JRDOV SS f )RU 2WWR PDQ ZDV D FRQWLQXRXV DFW RI VHOI FUHDWLRQ DQG WKDW JHQXLQH SOHDVXUH EHFRPHV D PDMRU IXOFUXP LQ FUHDWLYH VHOIUHDOL]DWLRQ S f 3HRSOH IDLO WR JURZ DQG DFWXDOL]H E\ EHLQJ WUDSSHG LQ SVHXGRSOHDVXUHV DQG DYRLGLQJ QHZ H[SHULHQFHV DQG LGHDV 7KH\ SUHIHU WR FRQWLQXH LQ WKH HYHU GHHSHQLQJ UXW RI WKHLU KDELWGRPLQDWHG H[LVWHQFH D KDELW LV D UXW ZKLFK D SHUVRQ GLJV SURJUHVVLYHO\ GHHSHU XQWLO LW UHDFKHV WKH GHSWK RI VL[ IHHW DW ZKLFK WLPH LW EHFRPHV D JUDYH ZLWK WKH HQGV NQRFNHG RXW 2WWR S f 2WWR f ZRUNHG ZLWK QRUPDOV DV D VWUHQJWKVHHNHU SHUVXDGLQJ WKHP WR LQYHVW WKHPVHOYHV LQ D SODQQHG V\VWHn PDWLF ZD\ WRZDUGV WKH WDVN RI DFWXDOL]LQJ (ULFNVRQ f VDZ D VHQVH RI LGHQWLW\ DV D SUHUHTXLn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f RSSRVLWHV VXFK DV PDOH DQG IHPDOH IDFW DQG IDQF\ ZRUN DQG SOD\ HWF 2UJLDVWLF SRWHQF\ LQ WKH VHQVH GHVFULEHG LV WKH LQGLFDWRU RI PDWXUH HJR LQWHJUDWLRQ 3XWWLFN S f 5RJHUV f XVHG WKH WHUP IXOO\ IXQFWLRQLQJ SHUVRQ LQ GHVFULELQJ SHUIHFW DGMXVWPHQW 7KLV SHUVRQ ZDV GHVFULEHG SHUVRQ LQ SURFHVV D SHUVRQ FRQVWDQWO\ FKDQJn LQJ VSHFLILF EHKDYLRUV FDQQRW LQ DQ\ ZD\ EH DV D

PAGE 34

GHVFULEHG LQ DGYDQFH 7KH RQO\ VWDWHPHQW ZKLFK FDQ EH PDGH LV WKDW WKH EHKDYLRUV ZRXOG EH DGHn TXDWHO\ DGDSWLYH WR HDFK QHZ VLWXDWLRQ DQG WKDW WKH SHUVRQ ZRXOG EH FRQWLQXDOO\ LQ D SURFHVV RI IXUWKHU VHOIDFWXDOL]DWLRQ IXOO\ IXQFWLRQLQJ SHUVRQ LV V\QRQ\PRXV ZLWK RSWLPDO SV\FKRORJLFDO PDWXULW\ FRPSOHWH FRQJUXHQFH FRPSOHWH RSHQQHVV WR H[SHULHQFH FRPSOHWH H[WHQVLRQDOLW\ DV WKHVH WHUPV KDYH EHHQ GHILQHG 5RJHUV TXRWHG LQ 6DKDNLDQ S f 5RJHUVn XOWLPDWH K\SRWKHWLFDO SHUVRQ LV V\QRQ\PRXV ZLWK WKH JRDO RI VRFLDO HYROXWLRQ 6DKDNLDQ S f 7DEOH GHVFULEHV LQ GHWDLO 5RJHUVn IXOO\ IXQFWLRQLQJ SHUVRQ -DKRGD f &RPEV DQG 6Q\JJ f 6FDFKWHO f DQG RWKHUV KDYH VWUHVVHG WKDW WKH LGHD RI RSHQQHVV DV RXWOLQHG DV 5RJHUV LV FHQWUDO WR D FRQFHSW RI KHDOWK\ IXQFWLRQLQJ )UDQNO f GLVFXVVHG PDQnV ZLOO WR PHDQLQJ 7KH KHDOWK\ LQGLYLGXDO LV RQH ZKR KDV IRXQG PHDQLQJ LQ OLIH DQG FDQ VXUYLYH OLIHnV FKDOOHQJHV 7KH SHUVRQ ZKR H[SHULn HQFHV D ODFN RI PHDQLQJ LV LQ D VWDWH RI LQQHU HPSWLQHVV RU WKH H[LVWHQWLDO YDFXXP )UDQNOnV WKHUDSHXWLF DSSURDFK WHUPHG ORJRWKHUDS\ KHOSHG PDQ ILQG PHDQLQJ LQ H[LVWHQFH %\ IXOILOOLQJ WKLV PHDQLQJ WKH SHUVRQ DFWXDOL]HG DV PDQ\ YDOXH SRWHQWLDOLWLHV DV SRVVLn EOH ,Q VKRUW PDQ LV PRWLYDWHG E\ WKH ZLOO WR PHDQLQJ 0DQnV VHDUFK IRU D PHDQLQJ LV QRW SDWKRORJLFDO EXW UDWKHU WKH VXUHVW VLJQ RI EHLQJ WUXO\ KXPDQ 6DKDNLDQ S f %\ VHOIWUDQVFHQGLQJ RU ULVLQJ DERYH WKH ELRORJLFDO DQG SV\FKRORJLFDO IRXQGDWLRQV RI H[LVWHQFH D SHUVRQ FDQ UHDOL]H WKH HVVHQFH RI H[SHULHQFH WKH VSHFLILFDOO\ KXPDQ PRGH RI EHLQJ S f )UDQNO VDZ VHOIDFWXDOL]DWLRQ DV D E\SURGXFW RI VHOI WUDQVFHQGHQFH

PAGE 35

7$%/( 7+( )8//< )81&7,21,1* 3(5621 $6 '(6&5,%(' %< &$5/ 52*(56 $ 7KH LQGLYLGXDO KDV DQ LQKHUHQW WHQGHQF\ WRZDUG DFWXDOLn ]LQJ KLV RUJDQLVP % 7KH LQGLYLGXDO KDV WKH FDSDFLW\ DQG WHQGHQF\ WR V\PERn OL]H H[SHULHQFHV DFFXUDWHO\ LQ DZDUHQHVV $ FRUROODU\ VWDWHPHQW LV WKDW KH KDV WKH FDSDFLW\ DQG WHQGHQF\ WR NHHS KLV VHOIFRQFHSW FRQJUXHQW ZLWK KLV H[SHULHQFH & 7KH LQGLYLGXDO KDV D QHHG IRU SRVLWLYH UHJDUG 7KH LQGLYLGXDO KDV D QHHG IRU SRVLWLYH VHOIUHJDUG ( 7HQGHQFLHV $ DQG % DUH PRVW IXOO\ UHDOL]HG ZKHQ QHHGV & DQG DUH PHW 0RUH VSHFLILFDOO\ WHQGHQFLHV $ DQG B% WHQG WR EH PRVW IXOO\ UHDOL]HG ZKHQ 7KH LQGLYLGXDO H[SHULHQFHV XQFRQGLWLRQDO SRVLWLYH UHJDUG IURP VLJQLILFDQW RWKHUV 7KH SHUYDVLYHQHVV RI WKLV XQFRQGLWLRQDO SRVLWLYH UHJDUG LV PDGH HYLGHQW WKURXJK UHODWLRQVKLSV PDUNHG E\ D FRPSOHWH DQG FRPPXQLFDWHG HPSDWKLF XQGHUVWDQGn LQJ RI WKH LQGLYLGXDOn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n DEOH WR DZDUHQHVV DQG XVHG

PAGE 36

7DEOH FRQWLQXHG E 1R GDWXP RI H[SHULHQFH ZLOO EH GLVWRUWHG LQ RU GHQLHG WR DZDUHQHVV F 7KH RXWFRPHV RI EHKDYLRU LQ H[SHULHQFH ZLOO EH DYDLODEOH WR DZDUHQHVV G +HQFH DQ\ IDLOXUH WR DFKLHYH WKH PD[LPXP SRVVLn EOH VDWLVIDFWLRQ EHFDXVH RI ODFN RI GDWD ZLOO EH FRUUHFWHG E\ WKLV HIIHFWLYH UHDOLW\ WHVWLQJ +H ZLOO OLYH ZLWK RWKHUV LQ WKH PD[LPXP SRVVLEOH KDUPRQ\ EHFDXVH RI WKH UHZDUGLQJ FKDUDFWHU RI UHFLSURFDO SRVLWLYH UHJDUG 6DKDNLDQ SS f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f $XWKHQWLF H[LVWHQFH LV WKH PRGDOLW\ LQ ZKLFK D PDQ DVVXPHV WKH UHVSRQn VLELOLW\ RI KLV RZQ H[LVWHQFH ,Q RUGHU WR SDVV IURP LQDXWKHQWLF WR DXWKHQWLF H[LVWHQFH D PDQ KDV WR VXIIHU WKH RUGHDO RI GHVSDLU DQG H[LVn WHQWLDO DQ[LHW\ LH WKH DQ[LHW\ RI D PDQ IDFLQJ WKH OLPLWV RI WKLV H[LVWHQFH ZLWK LWV IXOOHVW LPSOLFDWLRQV GHDWK QRWKLQJQHVV 7KLV LV ZKDW .LUNHJDDUG FDOOV WKH VLFNQHVV XQWR GHDWK (OOHQ EHUJHU SDUDSKUDVHG LQ 6DKDNLDQ S f %XEHU f VDZ KLJKHU OHYHOV RI H[LVWHQFH SUHVHQW LQ WKH ,7KRX UHODWLRQVKLS DQ LQWLPDWH PDWXUH UHODWLRQn VKLS +H FRQWUDVWHG WKLV LQ ODWHU ZULWLQJV f WR WKH

PAGE 37

,,W UHODWLRQVKLS D VKDOORZ GHFHSWLYH PRGH RI UHODWLQJ %XEHU VSRNH RI WKH LPSRUWDQFH RI VHOI GLIIHUHQWLDWLRQ DV D SUHn UHTXLVLWH WR WKH FDSDFLW\ IRU UHODWLQJ LQ WKH 7KRX PDQQHU 7KLV GLIIHUHQWLDWLRQ LQYROYHV H[SHULn HQFLQJ VHOI DQG XVLQJ VHOI LQ WKH SURFHVV RI OLYLQJ 3XWWLFN S f ,Q VXUYH\LQJ %XEHUnV ZRUN 3XWWLFN f DGGHG %XEHU VHHPV WR EH VD\LQJ WKDW HVVHQWLDO HQFRXQWHUV ZLWK RWKHUV ERWK IRVWHU VHOIGLIIHUHQWLDWLRQ RU LGHQWLW\ DQG DOVR HQDEOH VHOIWUDQVFHQGHQFH 6HOI LGHQWLW\ DQG WKH ,7KRX UHODWLRQVKLS DUH ERWK QHFHVVDU\ WR DEXQGDQW OLYLQJ EXW WKH UHODWLQJ LV WKH NH\ S f &RQUDG f GLIIHUHQWLDWHG SRVLWLYH PHQWDO KHDOWK RU WUDQVFHQGHQW H[LVWHQFH IURP QRQKHDOWK RU RUGLQDU\ H[LVWHQFH +HU FULWHULD IRU SRVLWLYH KHDOWK VWUHVVHG VRFLDO UHODWLRQVKLS IDFWRUV LQFOXGLQJ PXWXDO FRRSHUDWLRQ D GHHS LQWLPDWH DQG SRVLWLYH UHODWLRQVKLS DQG DOWUXLVWLF EHKDYLRU 'XQQ f DOVR GLVFXVVHG KHDOWK QRQKHDOWK DQG KLJKOHYHO ZHOOQHVV 'XQQ GHILQHG KLJKOHYHO ZHOOn QHVV DV D G\QDPLF LQWHJUDWHG PRGH RI IXQFWLRQLQJ ZKLFK LV RULHQWHG WRZDUG PD[LPL]LQJ WKH SRWHQWLDO RI WKH LQGLn YLGXDO 3XWWLFN S f 'XQQ DOVR GHILQHG DQRWKHU ZHOO VWDWH ZKLFK KH GHILQHG DV DEVHQFH RI VLFNQHVV D GXOO XQSURGXFWLYH ZD\ RI OLIH /HDFK f OLNH 'XQQ 0DVORZ DQG /DQGVPDQ IHOW WKDW D SHUVRQ DWWDLQHG KLJKOHYHO ZHOOn QHVV WKURXJK SRVLWLYH RU SHDN H[SHULHQFHV /DFN RI SRVLWLYH H[SHULHQFH ZLOO QRW WULJJHU ORZHU IXQFWLRQLQJ EXW ZLOO SUHYHQW WKH GHYHORSPHQW RI RSWLPDO IXQFWLRQLQJ )LVNH DQG 0DGGL f VWUHVVHG WKH LPSRUWDQFH RI D YDULHW\ DQG

PAGE 38

GLYHUVLW\ RI H[SHULHQFH LQ DWWDLQLQJ SV\FKRORJLFDO KHDOWK ZKLOH 7KRUQH f FODVVLILHG SHDN H[SHULHQFH LQWR VL[ FDWHJRULHV /DQGVPDQ f ZURWH ZH KDYH RSHQHG WKH KLGGHQ KDOI RI WKH DGMXVWPHQW FRQWLQXXP WKH UHDOP RI SRVLn WLYH H[SHULHQFH S f /DQGVPDQ f IRXQG WKDW QHDUO\ RQHKDOI RI WKH VLJQLILFDQW SRVLWLYH H[SHULHQFHV UHSRUWHG E\ VXEMHFWV ZHUH LQWHUSHUVRQDO RQHV 'XQFDQ f UHSRUWHG D GLUHFW UHODWLRQVKLS EHWZHHQ OLIH H[SHULHQFHV DQG WKH OHYHO RI PHQWDO KHDOWK S f -RXUDUG D f IHOW WKDW WKH KHDOWK\ SHUVRQ PXVW EH DEOH WR VHOIGLVFORVH DQG WR EH WUDQVSDUHQW WR ERWK WKH VHOI DQG WR RWKHUV 7KURXJK GHHS UHODWLRQVKLSV PDUNHG E\ RSHQQHVV WKH SHUVRQ HQMR\V KHLJKWHQHG SHUFHSWLRQ DQG D ULFKHU VHQVH RI H[SHULHQFLQJ 7KH WUDQVSDUHQW SHUVRQ ZDV VHHQ DV D WUXO\ DXWKHQWLF SHUVRQ IUHH IURP WKH VKDP DQG IDFDGH WKDW PDUNV D OHVVRSHQ UHODn WLRQVKLS RU HQFRXQWHU 7KH 5RJHUV'\PRQG *URXS f GHPRQVWUDWHG D UHODWLRQn VKLS EHWZHHQ SRVLWLYH VHOIFRQFHSW DQG SRVLWLYH OHYHOV RI DGMXVWPHQW LQ WKH PDMRULW\ RI WKH FDVHV WKDW WKH\ VWXGLHG &KRUGRUNRII D Ef +DQORQ +RIIVWDHWWHU DQG 2n&RQQHU f DQG /HSLQH DQG &KRUGRUNRII f KDYH DOO IRXQG DQ HPSLULFDO UHODWLRQVKLS EHWZHHQ HPRWLRQDO DGMXVWn PHQW DQG FRQJUXHQFH RI DWWLWXGHV EHWZHHQ WKH UHDO DQG LGHDO VHOI 8VLQJ D ZLGH YDULHW\ RI PHDVXUHV RI DGMXVWPHQW DOO UHVHDUFKHUV UHSRUWHG SRVLWLYH FRUUHODWLRQV EHWZHHQ RSWLPDO DGMXVWPHQW DQG KLJK OHYHOV RI FRQJUXHQFH ,Q VXPPDUL]LQJ WKHVH JURXSV RI VWXGLHV 3XWWLFN f ZURWH

PAGE 39

7KH H[SHULHQFH RI VHOIDGHTXDF\ DQG FRQJUXHQFH RU VHOILQWHJUDWLRQ LW VHHPV FDQ EH FRQVLGHUHG DV HPSLULFDOO\ GHULYHG FULWHULD IRU SRVLWLYH PHQWDO KHDOWK LW DSSHDUV IURP WKH HYLGHQFH WKDW WKH DELOLW\ WR DFFHSW WKH VHOI LV D SUHUHTXLVLWH WR DFFHSWLQJ DQG UHVSHFWLQJ RWKHU SHRSOH DQGf WKDW HIILFLHQF\ LQ OLYLQJ KDV VRPHWKLQJ WR GR ZLWK WKH HIILFLHQF\ ZLWK ZKLFK WKH VHOI LV FRQFHSWXDn OL]HG SS f 1RUUHOO DQG *UDWHU f IRXQG D UHODWLRQVKLS EHWZHHQ DFFXUDWH VHOIFRQFHSW DQG UHDOLVWLF YRFDWLRQDO FKRLFH 0DVORZnV f PHWDPRWLYDWHG SHUVRQV ZHUH SDUWLDOO\ GHILQHG DV EHLQJ WKH EHVW SHUVRQV IRU WKHLU SDUWLFXODU MREV DQG YLFH YHUVD 6KHHUHU f &RQUDG f DQG 9DUJDV f DOO VXSSRUWHG WKH LGHD WKDW VHOIDFFHSWDQFH LV UHODWHG WR UHVSHFW DQG DFFHSWDQFH RI RWKHUV 6LPLODU UHVXOWV KDYH EHHQ UHSRUWHG LQ D YDULHW\ RI UHVHDUFK VWXGLHV )URPP f WDONHG RI WKH LPSRUWDQFH RI ORYH DQG WKH DELOLW\ WR ORYH LQ HVWDEOLVKLQJ SURGXFWLYH OLIH RULHQWDn WLRQ $OO IRUPV RI ORYH ZHUH VHHQ DV LPSO\LQJ FDUH UHVSRQn VLELOLW\ UHVSHFW DQG NQRZOHGJH S f /DQGVPDQ f DOVR VWUHVVHG WKH LPSRUWDQFH RI RQH SHUVRQ FDULQJ IRU DQRWKHU LQ D UHODWLRQVKLS IRU KLP WKLV ZDV WKH HVVHQFH RI WKH UHODWLRQVKLS $OOSRUW f VDZ WKH DWWDLQPHQW RI SV\FKRORJLFDO KHDOWK DV D SURFHVV RI EHFRPLQJ +H RXWn OLQHG WKH WZR WHQGHQFLHV WKDW DUH LQ FRQIOLFW ZLWKLQ D SHUVRQ 7KH ILUVW LV VHOIREMHFWLILFDWLRQ GHVFULEHG DV WKDW SHFXOLDU GHWDFKPHQW RI WKH PDWXUH SHUVRQ ZKHQ KH VXUYH\V KLV RZQ SUHWHQWLRQV DQG REMHFWLYHV IRU KLPVHOI KLV RZQ HTXLSPHQW LQ FRPSDULVRQ ZLWK WKH HTXLSPHQW RI RWKHUV DQG KLV RSLQLRQ RI KLPVHOI LQ UHODWLRQ WR WKH RSLQLRQ RWKHUV KROG RI KLP

PAGE 40

7KH RWKHU WHQGHQF\ LV VHOIH[WHQVLRQ ZKLFK LV GHILQHG DV ORVLQJ RQHVHOI LQ UHODWLRQV ZLWK RWKHUV DQG ZLWK WKH RXWVLGH ZRUOG $ KHDOWK\ PDWXUH SHUVRQ ZLOO LQWHJUDWH WKHVH FRQIOLFWLQJ WHQGHQFLHV WKURXJK D XQLILHG V\VWHP RI LGHDOV DQG JRDOV ZKLFK FRQVWLWXWHV WKH nSURSULXPn WKH FHQWUDO FKDUDFWHUR ORJLFDO FRUH RI WKH LQGLYLGXDO $OOSRUW SS LQ 3XWWLFN S f +HU]EHUJ f KDV WDONHG RI ORZHU DQG KLJKHU QHHGV LQ WKH VHQVH SUHVHQWHG E\ 0DVORZ 7KH ORZHU RU K\JLHQH QHHGV DUH VDWLVILHG E\ PDQ DV $GDP $GDP RU PDQ LQ D VWDWH RI ORZ OHYHO IXQFWLRQLQJ VWULYHV WR DYRLG KDUP RU XQKDSSLQHVV 0DQ DV $EUDKDP UHSUHVHQWV WKH LQQDWH SRWHQWLDO DQG SRVVLELOLWLHV RI DFWXDOL]DWLRQ +HU]n EHUJ VDZ PDQ DV ERWK $GDP DQG $EUDKDP VWULYLQJ WR VDWLVI\ WKH QHHGV RI ERWK QDWXUHV 5XVK f ZURWH PDQ LV HQGRZHG ZLWK D QDWXUH WKDW LPSHOV KLP WR XWLOL]H DQG IXOn ILOO KLV FDSDELOLWLHV WRZDUG DFFRPSOLVKPHQW S f $XWRQRP\ &HUWDLQ WUDLWV VXFK DV DXWRQRP\ DQG FUHDWLYLW\ DUH FLWHG E\ PDQ\ WKHRULVWV RI RSWLPDO IXQFWLRQLQJ +DUWPDQQ f VDZ DXWRQRP\ DV D KHDOWK\ DVSHFW RI SHUVRQDOLW\ +H FRQFHSWXDOL]HG LW DV D PRWLYH RU GULYH WRZDUG LQGHSHQGHQFH IURP WKH HQYLURQPHQW ZKLFK HQDEOHG WKH LQGLYLGXDO WR UHJXODWH DFWLRQV IURP ZLWKLQ UDWKHU WKDQ ERZLQJ WR VRFLDO DQ[LHWLHV RU SUHVVXUHV 3XWWLFN S f 5LHVPDQ *OD]HU DQG 'HHQ\ f WDONHG RI WKH DXWRQRPRXV SHUVRQ DQG WKH FKRLFH EHWZHHQ VRFLDO FRQIRUPLW\ DQG LQGHSHQGHQFH $QJ\O f GHVFULEHG WKH ZHOO LQWHJUDWHG SHUVRQ LQ WHUPV RI VHOIGHWHUPLQDWLRQ DXWRQRP\f DQG VHOIVXUUHQGHU

PAGE 41

3XWWLFN f DGGHG 7KH KHDOWK\ LQGLYLGXDO ERWK DFWLYHO\ RUJDQL]HV KLV HQYLURQPHQW DQG DW RWKHU WLPHV ZLOOLQJO\ VXEPLWV WR WKH ZRUOG +H FDQ DQG VKRXOG EH ERWK LQGHSHQn GHQW DQG GHSHQGHQW S f )RRWH DQG &RWWUHOO f OLNH (ULNVRQ f VWUHVVHG WKH QHHG IRU LQGLYLGXDO LGHQWLW\ LQ PHQWDO KHDOWK WKH\ DVVRn FLDWHG WKLV FRQFHSW RI LGHQWLW\ ZLWK ERWK DXWRQRP\ DQG HPSDWK\ ,W VHHPV WKDW D FHUWDLQ OHYHO RI DXWRQRP\ LV FUXFLDO WR RSWLPDO IXQFWLRQLQJ DQG WKDW WKH SHUVRQ PXVW NQRZ KRZ DQG ZKHQ WR DFW LQ DQ DXWRQRPRXV PDQQHU 6HOI&RQFHSW &RPEV DQG 6Q\JJ f KDYH GHVFULEHG WKH SV\FKRORJLn FDOO\ KHDOWK\ RU DGHTXDWH SHUVRQ DV RQH ZLWK D SRVLWLYH VHOIFRQFHSW 0XUSK\ f 0RXVWDNDV f DQG 5RJHUV f DUH DPRQJ WKH PDQ\ ZKR QRWHG WKH LPSRUWDQFH RI SRVLn WLYH VHOIDWWLWXGHV LQ WKH GHYHORSPHQW DQG PDLQWHQDQFH RI D KHDOWK\ SHUVRQDOLW\ -XVW DV D SHUVRQ PD\ XVH D QHJDWLYH H[SHULHQFH DV D VRXUFH RI JURZWK RU FKDQJH VR WRR PD\ QHJDWLYH DVSHFWV RI WKH SHUVRQDOLW\ EH XVHG DV VWLPXOL IRU VHOILPSURYHPHQW $OWKRXJK VRPH DVSHFWV RI WKH SHUVRQDOLW\ PD\ EH QHJDWLYH WKH KHDOWK\ LQGLYLGXDO KDV DQ RYHUDOO VHQVH RI ZHOOEHLQJ DQG SV\FKRORJLFDO KHDOWK &RPEV f IHOW WKDW 7KH KHDOWK\ SHUVRQ ZKR VHHV KLPVHOI DV JHQHUDOO\ DGHTXDWH LV QRW HDVLO\ WKUHDWHQHG DQG FDQ DIIRUG WR JDPEOH WDNH ULVNV DQG PRYH RXW WRZDUG RWKHUV DQG WKH ZRUOG EHFDXVH KH LV QRW WKUHDWHQHG E\ IHHOLQJV RI LQDGHTXDF\ KH FDQ VHHN VHOIn HQKDQFHPHQW LQ UHODWLRQVKLSV DQG DFWLYLWLHV UDWKHU WKDQ KDYLQJ WR GHYRWH KLV HQHUJLHV WR FDUHIXO PDLQWHQDQFH RI KLV VHOIRUJDQL]DWLRQ &RPEV TXRWHG LQ 3XWWLFN S f

PAGE 42

6KRVWURP f GHYHORSHG WKH 3HUVRQDO 2ULHQWDWLRQ ,QYHQWRU\ 32,f ZKLFK SXUSRUWV WR PHDVXUH VHOIDFWXDOL]Dn WLRQ 6KRVWURP DJUHHG WKDW WKH VHOIDFWXDOL]LQJ SHUVRQ FDQ DFFHSW QHJDWLYH DVSHFWV RI WKH SHUVRQDOLW\ VXFK DV DQJHU DQG OXVW DQG LQWHJUDWH WKHVH QHJDWLYH DVSHFWV VXFFHV IXOO\ LQWR WKH WRWDO SHUVRQDOLW\ /RZ IXQFWLRQHUV ZHUH VHHQ DV IDLOLQJ WR PDNH IXOO XVH RI WKH VHOI E\ UHMHFWLQJ DV IRUHLJQ FHUWDLQ DVSHFWV RI WKHLU SHUVRQDOLWLHV 6ROLWXGH 0DVORZ RIWHQ VSRNH RI WKH QHHG IRU VROLWXGH LQ VHOI DFWXDOL]LQJ SHRSOH 0RXVWDNDV f WHUPHG WKLV VROLWXGH H[LVWHQWLDO ORQHOLQHVV DQG VDZ WKLV DV DQ RSSRUWXQLW\ IRU WKH SHUVRQ WR UHFKDUJH E\ JHWWLQJ LQ WRXFK ZLWK WKH LQQHU VHOI /DQGVPDQ f VDLG WKDW WKH RSSRUWXQLW\ IRU VROLn WXGH LQ HSLVRGHV RI KLJK IXQFWLRQLQJ LV PRUH IDFLOLWDWLYH WR EHLQJ RQHnV EHVW VHOIf WKDQ WKH SUHVHQFH RI FKHHULQJRQ RI RWKHUV HYHQ RI WKH LPSRUWDQW RWKHUV S f 6HQVH RI 0LVVLRQ 0DVORZ f /DQGVPDQ f 3ULYHWWH f DQG 3XWWLFN f KDYH DOO SRVWXODWHG WKDW KLJK IXQFWLRQHUV SRVVHVV D VHQVH RI GHYRWLRQ PLVVLRQ FRPPLWPHQW RU D \HDUQLQJ WRZDUGV VRPH FDOOLQJ RU YRFDWLRQ 3ULYHWWH f IRXQG LQWHQVH LQYROYHPHQW DQG FRPPLWPHQW DV DQ LPSRUWDQW IDFWRU SUHVHQW LQ VSLVRGHV RI WUDQVFHQGHQW IXQFWLRQLQJ +XPRU $OOSRUW f DQG 0DVORZ f KDYH LGHQWLILHG KHDOWK\ XQKRVWLOH KXPRU DV LPSRUWDQW WR SV\FKRORJLFDO

PAGE 43

KHDOWK $OOSRUW f UHODWHG KXPRU WR VHOIn LQVLJKW RU REMHFWLILFDWLRQ DQG WR D UHOLJLRXV VHQVH 3XWWLFN f H[SODLQHG WKDW UHOLJLRQ DWWHPSWV WR UHFRQFLOH EDVLF LQFRQJUXLWLHV ZKLOHf KXPRU PD\ DVVLVW WKH LQGLYLGXDO LQ OLYLQJ ZLWK LQFRQJUXLWLHV LQ D VLPLODU ZD\ S f 3K\VLFDO +HDOWK 0DVORZ QRWHG WKDW RQ PDQ\ RFFDVLRQV KLV VHOIDFWXDOL]LQJ VXEMHFWV VHHPHG WR HQMR\ QRW RQO\ RSWLPDO SV\FKRORJLFDO KHDOWK EXW DOVR VXSHUE SK\VLFDO KHDOWK DQG UHVLVWDQFH WR GLVHDVH 6HL]H f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f ZKR ZDV D VWXGHQW RI 0DVORZnV FRPSDUHG 7RUUDQFHnV f SHUVRQDOLW\ FKDUDFWHULVWLFV WKDW FRUUHODWH ZLWK FUHDWLYLW\ WR 0DVORZnV f GHILQLQJ WUDLWV RI VHOIDFWXDOL]LQJ SHRSOH DQG IRXQG DOPRVW SHUIHFW RYHUODS 0DVORZ f KDG ORQJ SRVWXODWHG D KLJK UHODWLRQVKLS

PAGE 44

EHWZHHQ SV\FKRORJLFDO KHDOWK DQG FUHDWLYLW\ &RPPHQWLQJ RQ &UDLJnV ILQGLQJV 0DVORZ ZURWH 7KHUH ZHUH WZR RU WKUHH FKDUDFWHULVWLFV LQ WKDW OLVW RI WKLUW\ RU IRUW\ ZKLFK KDG QRW EHHQ XVHG WR GHVFULEH SV\FKRORJLFDOO\ KHDOWK\ SHRSOH EXW ZHUH VLPSO\ QHXWUDO 7KHUH ZDV QR VLQJOH FKDUn DFWHULVWLF ZKLFK ZHQW LQ WKH RWKHU RSSRVLWH GLUHFWLRQ ZKLFK PDNHV OHWnV VD\ DUELWUDULO\ QHDUO\ IRUW\ FKDUDFWHULVWLFV RU SHUKDSV WKLUW\ VHYHQ RU WKLUW\HLJKW ZKLFK ZHUH WKH VDPH DV SV\FKRORJLFDO KHDOWKZKLFK DGGHG XS WR D V\QGURPH RI SV\FKRORJLFDO KHDOWK RU VHOI DFWXDOL]DWLRQ S f 5RJHUV f YLHZHG WKH FUHDWLYH SURFHVV DV WKH HPHUJHQFH LQ DFWLRQ RI D QRYHO UHODWLRQDO SURGXFW JURZLQJ RXW RI WKH XQLTXHQHVV RI WKH LQGLYLGXDO RQ WKH RQH KDQG DQG WKH PDWHULDOV HYHQWV SHRSOH RU FLUFXPVWDQFHV RI KLV OLIH RQ WKH RWKHU S f 3ULYHWWH f FRPSDUHG KHU FRQFHSW RI WUDQVFHQGHQW IXQFn WLRQLQJ ZLWK 5RJHUVn GHILQLWLRQ RI FUHDWLYLW\ 6KH VDZ ERWK DV VWUHVVLQJ WKH XUJH WR H[SDQG WR H[SUHVV DQG DFWLYDWH DOO WKH FDSDELOLWLHV RI WKH RUJDQLVP SS 3ULYHWWH S f 0F.LQQRQ f GHVFULEHG KLJKO\ HIIHFWLYH SHUVRQV DV SRVVHVVLQJ D V\QGURPH RI FRPELQHG SHUVRQDO VRXQGQHVV DQG FUHDWLYLW\ &DWWHOO f *XLOIRUG f 0F.LQQRQ f 3HFN f DQG 3XWWLFN f KDYH DOO OLQNHG WKH FRPELQDWLRQ RI LQWHOOLJHQFH DQG FUHDWLYLW\ WR SV\FKRORJLFDO KHDOWK $QGHUVRQ f UHYLHZHG D YDULHW\ RI WKHRULHV RI FUHDWLYH IXQFWLRQLQJ DQG GHVFULEHG WKH PDQ\ DVSHFWV RI WKLV SURFHVV $IIHFWLRQ IRU DQ LGHD DEVRUSWLRQ FRQFHQWUDn WLRQ LQWHQVLW\ RI HQFRXQWHU SHDN H[SHULHQFH GHOLJKW HFVWDV\ GHVLUH WR JURZ FDSDFLW\ WR EH SX]]OHG DZDUHQHVV VSRQWDQHLW\ VSRQWDQHRXV

PAGE 45

IOH[LELOLW\ DGDSWLYH IOH[LELOLW\ RULJLQDOLW\ GLYHUJHQW WKLQNLQJ OHDUQLQJ RSHQQHVV WR QHZ H[SHULHQFH QR ERXQGDULHV SHUPHDELOLW\ RI ERXQGn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f $FWLYH 6WDWHV RI 3RVLWLYH +HDOWK /DQGVPDQ f H[SDQGHG KLV YLHZV RI SRVLWLYH KXPDQ H[SHULHQFH DQG WKH EHDXWLIXO DQG QREOH SHUVRQ +H OLVWHG WKUHH VWDJHV RI WKH KHDOWK\ SHUVRQDOLW\ WKDW ZHUH ULSH IRU UHVHDUFK f $ VHOIORYLQJ SHUVRQ f $Q HQYLURQPHQW ORYLQJ SHUVRQ DQG f $ FRPSDVVLRQDWH SHUVRQ S f +H GLVFXVVHG HDFK RI WKHVH VWDJHV LQ WZR VWDWHV DQ DFWLYH RU H[SUHVVLYH VWDWH DQG D SDVVLYH RU UHFHSWLYH VWDWH S f 7KUHH RI /DQGVPDQnV VL[ VWDWHV DUH LPSRUWDQW WR WKH FRQFHSW RI DXWRHYROXWLRQ 7KH VHOIORYLQJ SHUVRQ LQ WKH DFWLYH VWDWH LV GHILQHG DV RQH ZKR DFWLYHO\ MR\RXVO\ VHHNV RXW QHZ H[SHULHQFHV RI QHZ OHDUQLQJ EXW VHOHFWLYHO\ LQ UHODWLRQVKLS WR KLV QHHGV IRU JURZWK WKH QHHGV RI RWKHUV DQG LQ UHODWLRQVKLS WR KLV VHOIGLVFRYHUHG DELOLWLHV S f 7KH HQYLURQPHQWORYLQJ SHUVRQ LQ WKH DFWLYH RU H[SUHVVLYH VWDWH PDQLIHVWV D KXQJHU IRU WKH SK\VLFDO ZRUOG +H EXLOGV KH SODQWV KH SURGXFHV SK\VLFDO REMHFWV KH PDNHV WKLQJV LQ KLV ZRUN KH UHSDLUV GHFRUDWHV FUHDWHV EHDXW\ DQG D KHDOWK\ HQYLURQPHQW DERXW KLP +H SURWHFWV KLV HQYLURQPHQW DQG HQKDQFHV LW S f

PAGE 46

7KLV SHUVRQ LV RQH ZKR DFWV LQ VRPH ZD\ WR LPSURYH WKH HQYLURQPHQW /DQGVPDQnV KLJKHVW OHYHO WKH FRPSDVVLRQDWH VHOI ZDV VHHQ DV DQ H[FLWRU RI RWKHUV +H LV D WDVN IDFLOLWDWRU KHOSV JHW MREV GRQH LV VRFLDOO\ IDFLOLWDWLYH KHOSV SHUVRQV WR NQRZ DQG FDUH IRU RQH DQRWKHU DQG PRVW RI DOO LV D SHUVRQDO JURZWK IDFLOLWDWRU S f
PAGE 47

&KDSWHU ,,, ZLn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

PAGE 48

7KH DXWRHYROXWLRQDU\ SHUVRQ LV HPSDWKLF DQG FRQJUXHQW $XWRHYROXWLRQDU\ SHUVRQV DFFHSW DOO SDUWV RI WKHLU SHUVRQDOLW\WKH\ DUH HJRLQWHJUDWHG 7KH DXWRHYROXWLRQDU\ SHUVRQ FDQ H[SHULHQFH DQG HQMR\ LQWHQVH DQG LQWLPDWH UHODWLRQVKLSV 7KH DXWRHYROXWLRQDU\ SHUVRQ FDQ H[SHULHQFH IXOO JHQLWDO VHQVLWLYLW\ DQG KHDOWK\ VH[XDOLW\ 7KH DXWRHYROXWLRQDU\ SHUVRQ LV RSHQ WR H[SHULHQFH 7KH DXWRHYROXWLRQDU\ SHUVRQ LV IUHH RI VHULRXV PDODGn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n ODWHV H[SHULHQFH VR WKDW WKH VHOI UHPDLQV LQ D VWDWH RI FRQJUXHQFH ZLWK WKH HQYLURQPHQW 7KH DXWRHYROXWLRQDU\ SHUVRQ HQMR\V JRRG SK\VLFDO KHDOWK

PAGE 49

7KH DXWRHYROXWLRQDU\ SHUVRQ IXQFWLRQV DW FRQVLVWHQWO\ KLJK OHYHOV

PAGE 50

&+$37(5 ,,, 0(7+2'2/2*< $XWRHYROXWLRQDU\ SHUVRQV RU SHUVRQV ZKR DUH DFWXDOLn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n WLRQ ,QYHQWRULHVn f VHOIDFWXDOL]DWLRQ VFDOH ZHUH LGHQWLILHG DQG VXEMHFWHG WR YDULRXV WHVWV PHDVXUHV DQG H[SHULPHQWDO FRQGLWLRQV 6PLWK f FDOOHG IRU FODULILFDWLRQ RI WKH YDOXHV GHILQLQJ SRVLWLYH KHDOWK 2QH FRQVLGHUDWLRQ FLWHG E\ 6PLWK ZDV WKDW WKH YDOXHV VKRXOG EH UHOHYDQW WR WKH VRFLDO FRQWH[W RI WKH JURXS XQGHU FRQVLGHUDWLRQ S f 6PLWK FULWLFL]HG 0DVORZ DQG RWKHUV ZKR EDVHG WKHLU PRGHOV RI SRVLWLYH KHDOWK RQ WKHLU RZQ SHUVRQDO YDOXHV UDWKHU WKDQ RQ FRQVHQVXDO FULWHULD /LNHZLVH 6KRVWURPnV

PAGE 51

32, UHIOHFWV KLV FRQFHSWLRQ RI VHOIDFWXDOL]DWLRQ -DKRGD f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nV QDPH DQG WR GHVFULEH LQ ZKDW ZD\ WKH SHUVRQ VHUYHV RU VHUYHG WKH FRPPXQLW\ 1RPLQDWLQJ OHWWHUV PXVW EH VLJQHG DOWKRXJK QRPLQHHV FDQ UHTXHVW WKDW WKH\ UHPDLQ XQLGHQWLILHG %HFDXVH LW LV DQ DQQXDO DZDUG WKH QRPLQHHV PXVW KDYH SHUIRUPHG SDUW RI WKHLU VHUYLFH GXULQJ WKH FXUUHQW \HDU 7KH SHUVRQnV VHUYLFH UDWKHU WKDQ WKH QRPLQDWLQJ OHWWHU SHU VH LV MXGJHG E\ D SDQHO LQGHSHQGHQW IURP WKH QHZVSDSHU 7KH DXWKRU UHFHLYHG SHUPLVVLRQ IURP WKH HGLWRU WR VHFXUH WKH QDPHV RI DOO ILQDOLVWV IRU WKH DQG FRQWHVWV 7KHVH ILQDOLVWV ZHUH WKHQ VXEMHFWHG WR IXUWKHU VFUHHQLQJ VHH 3URFHGXUHVf 7KLV ZDV GRQH DIWHU WKH FRQWHVW FORVHG DQG DOO QRPLQDWLRQV KDG EHHQ HYDOXDWHG E\ WKH FRPPXQLW\ MXGJHV 7KH VXEMHFWV UHSUHVHQWHG FLWL]HQV ZKR ZHUH VHOHFWHG E\ WKHLU SHHUV IRU WKHLU FRPPXQLW\ VHUYLFH

PAGE 52

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n GHQWV YDU\ IURP SRRU IDUPZRUNHUV ZKLWH DQG EODFNf WR IDFWRU\ZRUNHUV DQG LQWHUQDWLRQDO VFKRODUV DQG DXWKRUV 0DQ\ RI *DLQHVYLOOHn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b RI D QHZ FRQWURO JURXS ZHUH UHFUXLWHG ZLWK WKH

PAGE 53

KHOS RI IULHQGV QHLJKERUV VWXGHQWV DQG IDFXOW\ $Q DWWHPSW ZDV PDGH WR VHOHFW D JURXS ZKR ZHUH WUXO\ PRGDO RU DYHUDJH LQ HYHU\ UHVSHFW H[FHSW IRU WKHLU DJH 7KLV FRQVLGHUDEO\ ROGHU VDPSOH WKHQ EHFDPH WKH ILQDO PRGDO JURXS WKDW ZDV VWXGLHG ,QVWUXPHQWV 5DWLRQDOH 7KH LQVWUXPHQWV FKRVHQ LQ WKH SUHVHQW VWXG\ SXUSRUW WR PHDVXUH FHUWDLQ SV\FKRORJLFDO WUDLWV RU FRQVWUXFWV WKDW EDVHG RQ WKH UHYLHZ RI WKH OLWHUDWXUH DSSHDU WR EH LPSRUn WDQW LQ GLIIHUHQWLDWLQJ EHWZHHQ RSWLPDO DQG PRGDO IXQF WLRQHUV 7KH 3HUVRQDOLW\ 5HVHDUFK )RUP f ZDV FKRVHQ EHFDXVH RI LWV EHWWHU WKDQ DYHUDJH FRQVWUXFWLRQ DQG UHOLDn ELOLW\ LQ PHDVXULQJ PDQ\ RI WKH WUDLWV WKDW VHHP FHQWUDO WR RSWLPDO IXQFWLRQLQJ (DUOLHU VWXGLHV RI YDULRXV DVSHFWV RI SV\FKRORJLFDO KHDOWK DQG YDULHG DVSHFWV RI SRVLWLYH DQG QHJDWLYH H[SHULHQFH HPSOR\HG WKH 3HUVRQDO 2ULHQWDWLRQ ,QYHQWRU\ f DV D FKHFN WR FRQILUP WKDW MXGJHV FDQ LGHQWLI\ VHOHFWHG JURXSV RI KLJKIXQFWLRQHUV +RUQ f DV ZHOO DV 0F0LOODQ f DQG 6HHPDQ f FRQILUPHG WKDW MXGJHV FDQ LGHQWLI\ WKHVH SHRSOH IRU WKLV UHDVRQ DV ZHOO DV 6KRVWURPnV VRPHZKDW FRQWURYHUVLDO GHILQLWLRQ RI VHOI DFWXDOL]DWLRQ WKH 3HUVRQDO 2ULHQWDWLRQ ,QYHQWRU\ ZDV H[FOXGHG LQ IDYRU RI D VHFRQG MXGJLQJ SURFHGXUH 7KH 5RNHDFK 'RJPDWLVP 6FDOH f LV RQH RI WKH IHZ LQVWUXPHQWV WKDW UHOLDEO\ GLIIHUHQWLDWHV EHWZHHQ RSHQ DQG FORVHG WKLQNHUV 2SHQQHVV ZDV VHHQ E\ PDQ\ WKHRULVWV DV DQ LPSRUWDQW IDFWRU LQ RSWLPDO IXQFWLRQLQJ DQG LQ DWWDLQLQJ

PAGE 54

SV\FKRORJLFDO KHDOWK $Q DGYDQWDJH RI WKH 5RNHDFK VFDOH LV WKDW LW GRHVQnW HTXDWH RSHQ DQG FORVHG ZLWK OLEHUDO DQG FRQVHUYDWLYH ,W LV SRVVLEOH IRU D SHUVRQ WR EH OLEHUDO DQG VWLOO VFRUH DV KLJKO\ GRJPDWLF RU FORVHG LI WKDW SHUVRQ ULJLGO\ DGKHUHV WR D VWURQJ OLEHUDO RU UDGLFDO SKLORVRSK\ 7KH DXWKRUV RI WKH 0HDQV(QG 3UREOHP 6ROYLQJ 0(3nVf SURFHGXUH RIIHU GDWD WR VXSSRUW WKHLU FODLP WKDW PHDQVHQG WKLQNLQJ PD\ SODQ DQ LPSRUWDQW UROH LQ VXFFHVVIXO EHKDYLRUDO DGMXVWPHQW 3ODWW DQG 6SLYDFN S f $Q DEULGJHG IRUP RI WKLV UDWKHU QHZ LQVWUXPHQW ZDV LQFOXGHG WR PHDVXUH DQ\ GLIIHUHQFHV EHWZHHQ WKH WZR JURXSV LQ WKH TXDQWLW\ RU TXDOLW\ RI WKHLU FRJQLWLYH SUREOHPVROYLQJ VNLOOV ,QVWUXPHQWV 'HVFULSWLRQ 7KH 3HUVRQDOLW\ 5HVHDUFK IRUP -DFNVRQ f WKH 5RNHDFK 'RJPDWLVP 6FDOH )RUP ( 5RNHDFK f DQG DQ DEULGJHG IRUP RI WKH 0HDQV(QG 3UREOHP 6ROYLQJ SURFHGXUH 3ODWW 6SLYDFN DQG %ORRP f ZHUH DGPLQLVWHUHG WR ERWK WKH DXWRHYROXWLRQDU\ DQG FRPSDULVRQ PRGDOf JURXSV 7KH 3HUVRQDOLW\ 5HVHDUFK )RUP 35)f GHYHORSHG E\ -DFNVRQ DQG KLV DVVRFLDWHV f DWWHPSWV WR FRPELQH PRGHUQ SULQFLSOHV RI SHUVRQDOLW\ DQG WHVWLQJ WKHRU\ WR GHYHORS D PRUH ULJRURXV DQG PRUH YDOLG DVVHVVPHQW RI LPSRUWDQW SHUVRQDOLW\ FKDUDFWHULVWLFV -DFNVRQ S f 7KH 35) LV EDVHG RQ 0XUUD\nV QHHG WKHRU\ DQG YDULDEOHV RI SHUVRQDOLW\ f ,W ZDV GHVLJQHG DV D WRRO WR EH XVHG IRU SHUVRQDOLW\ UHVHDUFK DQG WR SURYLGH DQ LQVWUXn PHQW WR DFFXUDWHO\ PHDVXUH EURDGO\ UHOHYDQW SHUVRQDOLW\

PAGE 55

WUDLWV S f LQ D YDULHW\ RI VHWWLQJV 7KH YDULRXV IRUPV RI WKH WHVW $ % $$ %%f ZHUH FDUHIXOO\ GHYHORSHG WR SURYLGH D FRQFLVH FRQYHQLHQW IRUPDW WKDW ZRXOG SRVVHVV WKH TXDOLWLHV RI UHOLDELOLW\ YDOLGLW\ DQG JHQHUDOL]DELOLW\ )RUP $ ZDV HPSOR\HG LQ WKH SUHVHQW VWXG\ OLNH WKH SDUDOOHO )RUP % LW SURYLGHV LQIRUPDWLRQ IRU ILIWHHQ VFDOHV 7KHUH DUH WZHQW\ LWHPV NH\HG WR HDFK VFDOH \LHOGLQJ D WRWDO RI WKUHH KXQGUHG WUXH RU IDOVH TXHVWLRQV 7KH ORQJHU IRUPV SURYLGH VHYHQ DGGLWLRQDO VFDOHV EXW WKHVH ZHUH QRW UHOHn YDQW WR WKH SUHVHQW VWXG\ 7KH IDVWHU DGPLQLVWUDWLRQ WLPH WR PLQXWHVf DOVR PDNHV WKH VKRUWHU IRUPV GHVLUDEOH IRU WKLV VWXG\ $ SULPDU\ UHDVRQ IRU WKH VHOHFWLRQ RI WKH 35) ZDV WKDW XQOLNH PDQ\ SHUVRQDOLW\ LQYHQWRULHV LW LV JHDUHG WRZDUG DUHDV RI QRUPDO IXQFWLRQLQJ UDWKHU WKDQ SV\FKRSDWKRORJ\ -DFNVRQ S f 7KH WHVW LV DOVR DQ LPSURYHPHQW RYHU 0XUUD\nV VFDOHV EHFDXVH UDWKHU WKDQ EHLQJ FRQVWUXFWHG LQ RQO\ RQH GLUHFWLRQ ZKLFK FDXVHV WKH FRQIXVLRQ RI ZKHWKHU WKH DEVHQFH RI D WUDLW RU WKH SUHVHQFH RI DQ RSSRVLQJ WUDLW LV UHVSRQVLEOH IRU D VSHFLILF VFRUH LW LV FRQVWUXFWHG LQ D ELSRODU PDQQHU 7KLV ELSRODULW\ ZDV FRQFHLYHG WKHRUHWLn FDOO\ DV ZHOO DV LQ PHDVXUHPHQW WHUPV 7KH 35) )RUP $f \LHOGV IRXUWHHQ VFDOHV DV PHDVXUHV RI SHUVRQDOLW\ 7KH ILIWHHQWK VFDOH ,QIUHTXHQF\f LV D YDOLGLW\ FKHFN 'HVFULSWLRQV RI D KLJKVFRUHU RQ HDFK VFDOH DV ZHOO DV WKH GHILQLQJ WUDLW DGMHFWLYHV IRU HDFK VFDOH DUH SUHVHQWHG LQ $SSHQGL[ % 7KH ILIWHHQ YDULDEOHV DUH $FKLHYHPHQW

PAGE 56

$IILOLDWLRQ $JJUHVVLRQ $XWRQRP\ 'RPLQDQFH (QGXUDQFH ([KLELWLRQ +DUP $YRLGDQFH ,PSXOVLYLW\ 1XUWXUDQFH 2UGHU 3OD\ 6RFLDO 5HFRJQLWLRQ 8QGHUVWDQGLQJ DQG ,QIUHTXHQF\ 7KH 35) LV VHOIH[SODQDWRU\ DQG FDQ EH JLYHQ RQ D WDNH KRPH EDVLV DOWKRXJK LW ZDV VWDQGDUGL]HG XQGHU VXSHUn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f 5DZ VFRUHV RQ WKH 35) FDQ EH FRQYHUWHG WR ERWK VWDQGDUG VFRUHV DQG SHUFHQWLOHV 7KH 35) SURILOH LV GHYHORSHG E\ FRQYHUWLQJ WKH UDZ VFRUH IRU HDFK VFDOH WR FXPXODWLYH SURn SRUWLRQV DQG WKHQ WR GHYLDWHV RI WKH QRUPDO FXUYH 7KLV SURYLGHV D SURILOH ZKLFK PRVW DFFXUDWHO\ UHIOHFWV D JLYHQ VXEn MHFWnV VWDQGLQJ ZLWK UHVSHFW WR WKH QRUPDWLYH JURXS DERXW SHUFHQW RI WKH VXEMHFWV ZLOO IDOO EHWZHHQ VWDQGDUG VFRUH XQLWV IRU DQ\ JLYHQ VFDOH DQG DERXW SHUFHQW ZLOO IDOO ZLWKLQ D UDQJH RI S f 5HOLDELOLW\ IRU WKH 35)nV IRXUWHHQ VFDOHV UDQJHV IURP WR -DFNVRQ IHOW WKDW WKHVH UHVSHFWDEOH ILJXUHV PD\ UHSUHVHQW WKH ORZHU ERXQG HVWLPDWH EHFDXVH WHVW FRQGLn WLRQV RQ WKH WZR RFFDVLRQV ZHUH QRW LGHQWLFDO $OVR

PAGE 57

WKH HVWLPDWH RI UHOLDELOLW\WKH JHQHUDOL]HG FODVVLFDO WHVW WKHRU\ UHOLDELOLW\ FRHIILFLHQW WKH LQWUDFODVV FRUUHODWLRQLV JHQHUDOO\ VPDOOHU LQ VL]H WKDQ WKH VLPSOH LQWHUFRUUHODWLRQ S f 7KH ,QIUHTXHQF\ VFDOH YDOLGLW\ FKHFNf PD\ DSSHDU WR KDYH D ORZ UHOLDELOLW\ FRHIILFLHQW f EXW WKLV LV FRPPRQ IRU VFDOHV ZLWK YHU\ VPDOO PHDQV DQG VNHZHG GLVWULEXWLRQ S f 7ZR PHDVXUHV RI YDOLGLW\ DUH UHSRUWHG IRU WKH 35) WKH XVXDO PHDVXUH RI FRQYHUJHQW RU FRQFXUUHQW YDOLGLW\ DQG DOVR D PHDVXUH RI GLVFULPLQDQW YDOLGLW\ -DFNVRQ ZURWH 7R GHPRQVWUDWH FRQYHUJHQW DQG GLVFULPLQDQW YDOLn GLW\ D VHW RI PHDVXUHV VKRXOG FRUUHODWH VXEVWDQn WLDOO\ ZLWK FRUUHVSRQGLQJ WUDLWV PHDVXUHG E\ GLIIHUHQW PHWKRGV DQG LQ DGGLWLRQ VKRZ HYLGHQFH RI LQGHSHQGHQFH IURP FRQFHSWXDOO\ XQUHODWHG WUDLWV S f &RQYHUJHQW YDOLGLW\ ZDV WHVWHG LQ D YDULHW\ RI VWXGLHV DQG ZDV JHQHUDOO\ DURXQG -DFNVRQ IHHOV WKDW WKLV H[FHHGVf WKRVH W\SLFDOO\ UHSRUWHG IRU SHUn VRQDOLW\ LQYHQWRULHV E\ D FRPIRUWDEOH PDUJLQ DQG DWWHVWVf WR WKH YDOXH RI WKH VWUDWHJ\ RI VFDOH FRQVWUXFWLRQ HPSOR\HG LQ WKH GHYHORSPHQW RI WKH 35) S f 7R WHVW WKH GLVFULPLQDQW YDOLGLW\ RI WKH 35) LW ZDV QHFHVVDU\ WR GHYHORS D QHZ VWDWLVWLFDO SURFHGXUH ZKLFK ZRXOG IRFXV XSRQ WKH YDULDQFH FRPPRQ WR WZR RU PRUH PHWKRGV RI PHDVXUHPHQW 7KLV PXOWLPHWKRG IDFWRU DQDO\VLV -DFNVRQ f VKRZHG WKDW WKH 35) ZDV VXIILFLHQWO\ GLVFULPLQDQW DQG WKDW LW ZDV SRVVLEOH WR WUHDW HDFK 35) VFDOH DV GLVWLQFW DQG WR KDYH FRQILGHQFH WKDW HDFK LV SURYLGLQJ D XQLTXH FRQWULEXWLRQ WR DVVHVVPHQW S f 7KH 'RJPDWLVP 6FDOH f RIWHQ FDOOHG WKH 5RNHDFK

PAGE 58

'RJPDWLVP 6FDOH DIWHU WKH DXWKRU 0LOWRQ 5RNHDFK PHDVXUHV LQGLYLGXDO GLIIHUHQFHV LQ RSHQQHVV RU FORVHGQHVV RI EHOLHI V\VWHPV S f 'RJPDWLVP LV GHILQHG DV D FORVHG ZD\ RI WKLQNLQJ ZKLFK FRXOG EH DVVRn FLDWHG ZLWK DQ\ LGHRORJ\ UHJDUGOHVV RI FRQWHQW DQ DXWKRULWDULDQ RXWORRN RQ OLIH DQ LQWROHUDQFH WRZDUG WKRVH ZLWK RSSRVLQJ EHOLHIV DQG D VXIIHUn DQFH RI WKRVH ZLWK VLPLODU EHOLHIV SS f 2SHQ DQG FORVHG DUH VHHQ DV WZR H[WUHPHV RQ D FRQWLQXXP +LJKO\ GRJPDWLF SHRSOH KROG FORVHG WKRXJKWV DERXW D YDULHW\ RI LVVXHV WKRVH VFRULQJ YHU\ ORZ LQ GRJPDWLVP DUH VHHQ DV EHLQJ RSHQ 7KH VFDOH ZDV GHYHORSHG LQ D GHGXFWLYH PDQQHU 6WDWHn PHQWV ZHUH GHVLJQHG WR WDS WKH GHILQLQJ FKDUDFWHULVWLFV RI RSHQ DQG FORVHG 5RNHDFK FRPPHQWHG RQ WKH LGHD EHKLQG WKH VFDOH ,QVRIDU DV SRVVLEOH ZH ORRNHG IRU VWDWHPHQWV WKDW H[SUHVV LGHDV IDPLOLDU WR WKH DYHUDJH SHUVRQ LQ KLV HYHU\GD\ OLIH 6RPH RI WKH VWDWHPHQWV DSSHDULQJ LQ WKH 'RJPDWLVP 6FDOH ZHUH LQVSLUHG E\ VSRQWDQHRXV UHPDUNV ZH RYHUKHDUG EHLQJ PDGH E\ SHUVRQV ZH WKRXJKW LQWXLWLYHO\ WR EH FORVHG PLQGHG $ERYH DOO HDFK VWDWHPHQW KDG WR EH GHVLJQHG WR WUDQVFHQG VSHFLILF LGHRORJLFDO SRVLn WLRQV LQ RUGHU WR SHQHWUDWH WR WKH IRUPDO DQG VWUXFWXUDO FKDUDFWHULVWLFV RI DOO SRVLWLRQV 3HUVRQV DGKHULQJ GRJPDWLFDOO\ WR VXFK GLYHUVH YLHZSRLQWV DV FDSLWDOLVP DQG FRPPXQLVP &DWKROLn FLVP DQG DQWL&DWKROLFLVP VKRXOG DOO VFRUH WRJHWKHU DW RQH HQG RI WKH FRQWLQXXP DQG VKRXOG DOO VFRUH LQ D GLUHFWLRQ RSSRVLWH WR RWKHUV KDYLQJ HTXDOO\ GLYHUVH \HW XQGRJPDWLF YLHZn SRLQWV S f 7KH 'RJPDWLVP 6FDOH LV FRQVWUXFWHG LQ D IRUFHGFKRLFH PDQQHU 5HVSRQGHQWV DUH DVNHG WR PDUN IURP WR GHSHQGLQJ RQ KRZ WKH\ IHHO DERXW HDFK VWDWHPHQW 3RVLWLYH VFRUHV PDUN DJUHHPHQW DQG DUH VFRUHG DV FORVHG QHJDWLYH

PAGE 59

VFRUHV PHDQ GLVDJUHHPHQW DQG DUH YLHZHG DV RSHQ 8QOLNH WKH 5RNHDFK 2SLQLDWLRQ 6FDOH ZKLFK LV GDWHG DQG FXOWXUDOO\ ERXQG WKH 'RJPDWLVP 6FDOH LV UHODWLYHO\ IUHH RI WKHVH UHVWUDLQWV )RUP ( ZKLFK ZDV XVHG LQ WKLV VWXG\ FRQWDLQV WKH EHVW IRUW\ LWHPV IDFWRU DQDO\]HG IURP SUHYLRXV VFDOHV 7KH UHOLDELOLW\ UDQJHV IURP WR S f $SSHQGL[ & OLVWV WKH LQVWUXFWLRQV DQG IRUW\ LWHPV SUHVHQWHG LQ )RUP ( 1RUPV DUH QRW QHFHVVDU\ IRU WKH SUHVHQW VWXG\ EHFDXVH RQO\ WKH PDWKHPDWLFDO GLIIHUHQFHV EHWZHHQ WKH QXPHULFDO VFRUHV RI WKH WZR JURXSV DUH RI LPSRUWDQFH LQ PHDVXULQJ DQ\ GLIIHUHQFHV LQ WKHLU GHJUHH RI GRJPDWLF WKLQNLQJ 5RNHDFK SUHVHQWHG KLV WKHRU\ RI GRJPDWLVP DV ZHOO DV WKH YDULRXV 'RJPDWLVP DQG 2SLQLRQDWLRQ VFDOHV DQG WKH VFRUHV IRU YDULRXV JURXSV LQ KLV ERRN 7KH 2SHQ DQG &ORVHG 0LQG f .HPS f 6WHIIOUH .LQJ DQG /HDIJUHQ f &DKRRQ f DQG 5XVVR .HO] DQG +XGVRQ f KDYH DOO UHSRUWHG VLJQLILFDQWO\ ORZHU OHYHOV RI GRJPDWLVP IRU FRXQVHORUV ZKR ZHUH MXGJHG DV JRRG RU HIIHFWLYH 2SHQ PLQGHGQHVV VHHPV IDFLOLWDWLYH WR VXFFHVVIXO LQWHUSHUVRQDO UHODWLRQVKLSV ZKLFK DUH LPSRUWDQW LQ DWWDLQLQJ DQG PDLQn WDLQLQJ SV\FKRORJLFDO KHDOWK 7KH 0HDQV(QG 3UREOHP 6ROYLQJ 3URFHGXUH 0(3nV 3ODWW 6SLYDFN DQG %ORRP f DWWHPSWV WR PHDVXUH FRJQLWLYH PHGLDWLRQDO IXQFWLRQLQJ LQ UHDO OLIH SUREOHPDWLF VLWXDWLRQV 7KH QLQH VWRULHV LQ WKH RULJLQDO YHUVLRQ PHDVXUH WKH H[WHQW WR ZKLFK WKH 6 ZKHQ SUHVHQWHG ZLWK D VLWXDWLRQ LQYROYLQJ DQ DURXVHG QHHG DQG WKH UHVROXWLRQ RI WKH SUREOHP LH VDWLVI\LQJ WKDW QHHGf LV FDSDEOH RI FRQFHSWXDOL]LQJ

PAGE 60

DSSURSULDWH DQG HIIHFWLYH PHDQV RI UHDFKLQJ WKH SUREOHP UHVROXWLRQ VWDJH RI WKH VWRULHV 3ODWW DQG 6SLYDFN S f 7KH VWRULHV GHDO ZLWK ERWK LQWHUSHUVRQDO DQG LPSHUVRQDO WKHPHV 7KH +(3n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n PHQW EHWZHHQ WKH UDWHUV IRU SODFLQJ WKH PHDQV LQWR HPSLULFDO FDWHJRULHV ZDV ZLWK D UDQJH RI WR IRU WKH LQGLYLGXDO VWRULHV 3ODWW HW DO S f 5HOLDELOLW\ DQG YDOLGLW\ IRU WKH 0(3nV DUH ZLWKLQ DFFHSWDEOH UDQJHV $ FRPSOHWH UHSRUW RQ WKH YDOLGLW\ RI WKH FRQFHSW RI PHDQV HQG WKLQNLQJ ZDV SUHVHQWHG E\ 3ODWW 863+6 ,QVWLWXWLRQDO 6XSSRUW *UDQW f 7R NHHS WKH WHVWLQJ WLPH ZLWKLQ D UHDVRQDEOH OLPLW RQO\ WKUHH PHDQV HQG VWRULHV ZHUH XVHG LQ WKH SUHVHQW VWXG\ 7KHVH WKUHH

PAGE 61

n VWRULHV ZHUH UHSUHVHQWDWLYH RI WKH RYHUDOO YDOLGLW\ DQG UHOLDELOLW\ RI WKH WUDGLWLRQDO IRUP RI WKH WHVW $SSHQGL[ OLVWV WKH DEULGJHG 0HDQV(QG WHVW 6XEMHFWV ZHUH DOVR DVNHG WR FRPSOHWH D TXHVWLRQQDLUH $SSHQGL[ (f ,Q DGGLWLRQ WR DVVHVVLQJ GHPRJUDSKLF GDWD FHUWDLQ DUHDV QRW PHDVXUHG E\ SUHYLRXV WHVWV ZHUH LQFOXGHG /LNHUWW\SH VFDOHV ZHUH XVHG WR TXHVWLRQ VXEMHFWV DERXW VSHFLILF EHKDYLRUV WKDW PD\ GLIIHUHQWLDWH DXWRHYROXWLRQDU\ SHRSOH IURP PRGDO IXQFWLRQHUV 7KHVH VFDOHV DUH FRQn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n VKLSV DQG DV DUHDV IRU IXUWKHU UHVHDUFK /DQGVPDQ SHUVRQDO FRPPXQLFDWLRQ 0DUFK f VXJJHVWHG WKDW FHUWDLQ RSHQ HQGHG TXHVWLRQV EH LQFOXGHG LQ DQ HIIRUW WR GLVFRYHU XQNQRZQ RU XQH[SHFWHG WUDLWV WKDW DXWRHYROXWLRQDU\ SHRSOH PD\ SRVVHVV 3URFHGXUHV 3RWHQWLDO DXWRHYROXWLRQDU\ VXEMHFWV ZHUH QRPLQDWHG E\ D YDULHW\ RI FLWL]HQV WKURXJKRXW WKH FRPPXQLW\ DV FDQGLGDWHV IRU D &RPPXQLW\ 6HUYLFH $ZDUG 7KH QDPHV RI DOO DFFHSWDEOH

PAGE 62

QLPLQHHV IRU WKRVH ZKR KDG VHUYHG WKH FRPPXQLW\ LQ DQ\ PDQQHUf ZHUH VHFXUHG IURP WKH QHZVSDSHU VSRQVRULQJ WKH FRQWHVW 7KHUH KDG EHHQ QRPLQHHV IRU WKH WZR \HDUO\ FRQWHVWV 7ZR KDG VLQFH GLHG RU ZHUH QRPLQDWHG SRVWKXPRXVO\ VR WKHUH ZHUH DFWXDOO\ RQO\ SRVVLEOH DXWRHYROXWLRQDU\ VXEMHFWV $Q LQIRUPDO SROO ZDV WDNHQ E\ DVNLQJ D SHUVRQ ZKR NQHZ DOO RI WKH SHRSOH WR LGHQWLI\ DQ\RQH WKDW KH IHOW ZDV QRW IXQFWLRQLQJ LQ D SV\FKRORJLFDOO\ KHDOWK\ PDQQHU 2QH SHUVRQ ZDV HOLPLQDWHG &RSLHV RI WKH RULJLQDO QRPLQDWLQJ OHWWHUV IRU WKH UHPDLQLQJ VXEMHFWV ZHUH VHFXUHG IURP WKH QHZVSDSHU 7KHVH OHWWHUV ZHUH WKHQ JLYHQ WR D SDQHO RI WKUHH MXGJHV ZKR ZHUH DVNHG WR LGHQWLI\ WKRVH SHRSOH ZKR VKRZHG D KLJK GHJUHH RI VHOIOHVV FRPPXQLW\ VHUYLFH LH WKRVH ZKR ZHUH DFWLQJ WR LPSURYH WKH HQYLURQPHQW DQG ZKR DOVR VHHPHG IURP WKH OHWWHUV WR EH IXQFWLRQLQJ IXOO\ LQ D SV\FKRORJLFDOO\ KHDOWK\ ZD\ 8VLQJ WKLV GHILQLWLRQ HDFK MXGJH ZDV DVNHG WR VHOHFW WKH EHVW WZHQW\ SHRSOH IURP WKH VDPSOH 7KH MXGJHV XQDQLPRXVO\ VHOHFWHG VL[WHHQ QDPHV )RXU PRUH QDPHV ZHUH DGGHG DIWHU GLVFXVVLRQ DQG PDMRULW\ DJUHHPHQW /HWWHUV ZHUH VHQW WR HDFK SRWHQWLDO VXEMHFW VD\LQJ WKDW WKH DXWKRU DV SDUW RI KLV GRFWRUDO UHVHDUFK ZDV LQWHUHVWHG LQ VWXG\LQJ SHRSOH ZKR ZHUH DFWLYH LQ FRPPXQLW\ VHUYLFH VHH $SSHQGL[ )f 7KUHH GD\V DIWHU WKH OHWWHUV ZHUH PDLOHG WKH DXWKRU SHUVRQDOO\ SKRQHG HDFK RI WKH SHRSOH DQG DVNHG IRU WKHLU FRRSHUDWLRQ 1LQHWHHQ SHRSOH ZHUH UHDFKHG E\ SKRQH DOO RI WKHP DJUHHG WR

PAGE 63

SDUWLFLSDWH 7HVWLQJ SDFNHWV ZHUH GHOLYHUHG WR WKH VXEn MHFWV LQ SUHSDLG UHWXUQ HQYHORSHV 2QH VXEMHFW UHWXUQHG WKH SDFNHW ZLWK DQ DSRORJ\ VD\LQJ WKDW VKH GLGQnW KDYH WKH WLPH WR DQVZHU WKH TXHVWLRQQDLUHV $OWKRXJK WKH VXEMHFWV ZHUH DVNHG WR FRPSOHWH DQG UHWXUQ WKH SDFNHWV ZLWKLQ RQH ZHHN LW DFWXDOO\ WRRN DOPRVW WKUHH ZHHNV DQG IROORZXS FDOOV EHIRUH VXIILFLHQW GDWD ZHUH JDWKHUHG 7KH ILQDO JURXS ZDV FRPSULVHG RI VXEMHFWV ZKR EDVHG RQ WKH VHOHFn WLRQ SURFHVV ZHUH WHUPHG DXWRHYROXWLRQDU\ 7ZR DGGLn WLRQDO VXEMHFWV IDLOHG WR FRPSOHWH WKH WHVWLQJ SDFNHW EHIRUH WKH ILQDO FXWRII GDWH &RQWURO VXEMHFWV ZHUH LQLWLDOO\ FKRVHQ DW UDQGRP DQG FRQWDFWHG LQ WKH VDPH PDQQHU DV WKH DERYH VXEMHFWV VHH $SSHQGL[ )f 2QO\ DERXW SHUFHQW RI WKRVH FRQWDFWHG ZRXOG HYHQ FRQVHQW WR ORRN DW WKH TXHVWLRQQDLUHV WR FRQn VLGHU FRPSOHWLQJ WKHP 3DUWLDOO\ IRU WKLV UHDVRQ EXW PRUH VR EHFDXVH RI WKH SUHYLRXVO\ PHQWLRQHG VLJQLILFDQW DJH GLIIHUHQFH D PDWFKLQJ SURFHGXUH ZDV HPSOR\HG $SSUR[Ln PDWHO\ SHUFHQW RI WKH RULJLQDO UDQGRP VDPSOH ZDV UHWDLQHG $GGLWLRQDO SHRSOH ZHUH UHFUXLWHG ZLWK WKH KHOS RI IULHQGV QHLJKERUV DQG VWXGHQWV 7KH\ ZHUH DVNHG WR JLYH WKH SDFNHW WR VRPHRQH RYHU RU VRPHRQH DERXW HWF ,Q WKLV PDQQHU WKH WZR JURXSV ZHUH DSSUR[LPDWHO\ PDWFKHG IRU DJH 7KHUH ZHUH VXEMHFWV LQ WKH FRQWURO RU FRPSDULVRQ JURXS 7ZHQW\ SHRSOH KDG DJUHHG WR FRPSOHWH WKH WHVWLQJ SDFNHW EXW OLNH WKH SUHYLRXV JURXS VRPH IDLOHG WR UHWXUQ WKH GDWD DIWHU WKH FXWRII GDWH DQG UHSHDWHG SKRQH FDOOV

PAGE 64

+\SRWKHVHV 7KLV VWXG\ IRFXVHG RQ VSHFLILF PDMRU K\SRWKHVHV UHODWHG WR WUDLWV RU FRQVWUXFWV WKDW PD\ GLIIHUHQWLDWH DXWRHYROXWLRQDU\ IURP PRGDO SHUVRQV $ QXPEHU RI PLQRU K\SRWKHVHV ZHUH DOVR H[DPLQHG 7KH PDMRU K\SRWKHVHV SUHVHQWHG LQ QXOO IRUP ZHUH f 7KHUH ZLOO EH QR VLJQLILFDQW GLIIHUHQFHV EHWZHHQ DXWRHYROXWLRQDU\ DQG PRGDO IXQFWLRQHUV DV PHDVXUHG E\ WKH 3HUVRQDOLW\ 5HVHDUFK )RUPnV VFDOHV 7KLV ZLOO EH WHVWHG DV VHSDUDWH QXOO K\SRWKHVHVf ODf 7KHUH ZLOO EH QR VLJQLILFDQW GLIIHUHQFHV EHWZHHQ DXWRHYROXWLRQDU\ DQG PRGDO IXQFWLRQHUV LQ $FKLHYHn PHQW DV PHDVXUHG E\ WKH 3HUVRQDOLW\ 5HVHDUFK )RUP 35)f OEf 7KHUH ZLOO EH QR VLJQLILFDQW GLIIHUHQFHV EHWZHHQ DXWRHYROXWLRQDU\ DQG PRGDO IXQFWLRQHUV LQ $IILOLDn WLRQ DV PHDVXUHG E\ WKH 35) OFf 7KHUH ZLOO EH QR VLJQLILFDQW GLIIHUHQFHV EHWZHHQ DXWRHYROXWLRQDU\ DQG PRGDO IXQFWLRQHUV LQ $JJUHVn VLRQ DV PHDVXUHG E\ WKH 35) ,Gf 7KHUH ZLOO EH QR VLJQLILFDQW GLIIHUHQFHV EHWZHHQ DXWRHYROXWLRQDU\ DQG PRGDO IXQFWLRQHUV LQ $XWRQRP\ DV PHDVXUHG E\ WKH 35) OHf 7KHUH ZLOO EH QR VLJQLILFDQW GLIIHUHQFHV EHWZHHQ DXWRHYROXWLRQDU\ DQG PRGDO IXQFWLRQHUV LQ 'RPLQDQFH DV PHDVXUHG E\ WKH 35) ,If 7KHUH ZLOO EH QR VLJQLILFDQW GLIIHUHQFHV EHWZHHQ DXWRHYROXWLRQDU\ DQG PRGDO IXQFWLRQHUV LQ (QGXUDQFH DV PHDVXUHG E\ WKH 35) OJf 7KHUH ZLOO EH QR VLJQLILFDQW GLIIHUHQFHV EHWZHHQ DXWRHYROXWLRQDU\ DQG PRGDO IXQFWLRQHUV LQ ([KLELn WLRQ DV PHDVXUHG E\ WKH 35) OKf 7KHUH ZLOO EH QR VLJQLILFDQW GLIIHUHQFHV EHWZHHQ DXWRHYROXWLRQDU\ DQG PRGDO IXQFWLRQHUV LQ +DUP DYRLGDQFH DV PHDVXUHG E\ WKH 35) OLf 7KHUH ZLOO EH QR VLJQLILFDQW GLIIHUHQFHV EHWZHHQ DXWRHYROXWLRQDU\ DQG PRGDO IXQFWLRQHUV LQ ,PSXO VLYLW\ DV PHDVXUHG E\ WKH 35)

PAGE 65

OMf 7KHUH ZLOO EH QR VLJQLILFDQW GLIIHUHQFHV EHWZHHQ DXWRHYROXWLRQDU\ DQG PRGDO IXQFWLRQHUV LQ 1XUWX UDQFH DV PHDVXUHG E\ WKH 35) ONf 7KHUH ZLOO EH QR VLJQLILFDQW GLIIHUHQFHV EHWZHHQ DXWRHYROXWLRQDU\ DQG PRGDO IXQFWLRQHUV LQ 2UGHU DV PHDVXUHG E\ WKH 35) OOf 7KHUH ZLOO EH QR VLJQLILFDQW GLIIHUHQFHV EHWZHHQ DXWRHYROXWLRQDU\ DQG PRGDO IXQFWLRQHUV LQ 3OD\ DV PHDVXUHG E\ WKH 35) OPf 7KHUH ZLOO EH QR VLJQLILFDQW GLIIHUHQFHV EHWZHHQ DXWRHYROXWLRQDU\ DQG PRGDO IXQFWLRQHUV LQ 6RFLDO 5HFRJQLWLRQ DV PHDVXUHG E\ WKH 35) OQf 7KHUH ZLOO EH QR VLJQLILFDQW GLIIHUHQFHV EHWZHHQ DXWRHYROXWLRQDU\ DQG PRGDO IXQFWLRQHUV LQ 8QGHUn VWDQGLQJ DV PHDVXUHG E\ WKH 35) ORf 7KHUH ZLOO EH QR VLJQLILFDQW GLIIHUHQFHV EHWZHHQ DXWRHYROXWLRQDU\ DQG PRGDO IXQFWLRQHUV LQ ,QIUHn TXHQF\ DV PHDVXUHG E\ WKH 35) f 7KHUH ZLOO EH QR VLJQLILFDQW GLIIHUHQFHV EHWZHHQ DXWRHYROXWLRQDU\ DQG PRGDO IXQFWLRQHUV DV PHDVXUHG E\ WKH 5RNHDFK 'RJPDWLVP 6FDOH )RUP ( f 7KHUH ZLOO EH QR VLJQLILFDQW GLIIHUHQFHV EHWZHHQ DXWRHYROXWLRQDU\ DQG PRGDO IXQFWLRQHUV DV PHDVXUHG E\ DQ DEULGJHG IRUP RI WKH 0HDQV(QG 3UREOHP 6ROYLQJ SURFHGXUH 7KH TXDQWLWDWLYH VFRUH RU PHDVXUH ZLOO EH XVHGf $ TXHVWLRQQDLUH $SSHQGL[ (f ZDV DOVR LQFOXGHG WR JDWKHU GHPRJUDSKLF LQIRUPDWLRQ DQG WR LQYHVWLJDWH SRVVLEOH GLIIHUHQFHV EHWZHHQ WKH JURXSV LQ DUHDV QRW PHDVXUHG E\ WKH RWKHU WHVWV WKDW ZHUH DGPLQLVWHUHG 2SHQHQGHG TXHVWLRQV ZHUH LQFOXGHG LQ DQ DWWHPSW WR GLVFRYHU DQ\ XQNQRZQ RU XQH[SHFWHG FKDUDFWHULVWLFV RI DXWRHYROXWLRQDU\ RU PRGDO IXQFWLRQHUV 7KH PLQRU K\SRWKHVHV DUH WKDW WKHUH ZLOO EH QR GLIIHUHQFH LWHP E\ LWHP LQ WKH UHVSRQVHV IRU WKH WZR JURXSV RQ WKH TXHVWLRQQDLUH

PAGE 66

'DWD $QDO\VLV $OO GDWD ZHUH WDOOLHG DQG FRPSDUHG E\ WKH $QDO\VLV RI 9DULDQFH SURFHGXUH $129$f 2QHZD\ $129$n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n JRUL]HG DFFRUGLQJ WR OHYHO RI DJUHHPHQW E\ FRXQWLQJ WKH IUHTXHQF\ RI HDFK UHVSRQVH 2SHQHQGHG UHVSRQVHV ZHUH SODFHG LQWR HPSLULFDO FDWHJRULHV DQG WKHLU IUHTXHQF\ RI RFFXUUHQFH QRWHG 7KHVH FDWHJRULHV ZHUH EDVHG RQ WKH VSHFLILF FRQWHQW RI HDFK UHVSRQVH $Q H[DPSOH ZRXOG EH +RZ GR \RX WKLQN \RX EHFDPH WKH W\SH RI SHUVRQ WKDW \RX DUH QRZ" &DWHJRULHV ZHUH )DPLO\ 6FKRROLQJ HWF

PAGE 67

&+$37(5 ,9 5(68/76 7KH $QDO\VLV RI 9DULDQFH SURFHGXUH $129$f ZDV XVHG LQ H[DPLQLQJ WKH GLIIHUHQFHV EHWZHHQ WKH DXWRHYROXWLRQDU\ DQG PRGDO JURXS 6HYHQWHHQ RQHZD\ $129$nV ZHUH FRPSXWHG 7DEOHV WKURXJK OLVW WKH VRXUFH DQG REWDLQHG )nV IRU WKH VFDOHV RI WKH 3HUVRQDOLW\ 5HVHDUFK )RUP 7DEOH OLVWV WKH VRXUFHV DQG ) IRU WKH 5RNHDFK 'RJPDWLVP VFDOH ZKLOH 7DEOH OLVWV WKLV LQIRUPDWLRQ IRU WKH DEULGJHG 0HDQV(QG 3UREOHP 6ROYLQJ SURFHGXUH 7KH OHYHO RI VLJQLILn FDQFH IRU HDFK ZDV VHW DW +\SRWKHVLV VWDWHG 7KHUH ZLOO EH QR VLJQLILFDQW GLIIHUHQFHV EHWZHHQ DXWRHYROXWLRQDU\ DQG PRGDO IXQFWLRQHUV DV PHDVXUHG E\ WKH 3HUVRQDOLW\ 5HVHDUFK )RUPnV VFDOHV (DFK VSHFLILF VFDOH ZDV WHVWHG DV D VHSDUDWH QXOO K\SRWKHVLV 7KH $129$ 7DEOH f IRU WKH $FKLHYHPHQW VFDOH VKRZHG QR VLJQLILFDQW GLIIHUHQFHV EHWZHHQ WKH WZR JURXSV DQG IDLOHG WR UHMHFW WKH QXOO K\SRWKHVLV ODf 7DEOH OLVWV WKH PHDQV VWDQGDUG GHYLDWLRQV DQG UDQJHV IRU WKH WZR JURXSV 2QH ZD\ $129$nV DOVR IDLOHG WR UHMHFW WKH QXOO K\SRn WKHVHV OE OF ,G OH ,I OJ OK OL OM DQG OR +\SRWKHVHV ON OP DQG ,Q SURYHG VLJQLILFDQW DW RU EH\RQG WKH OHYHO 7KH QXOO K\SRWKHVHV ZHUH UHMHFWHG IRU WKHVH WKUHH VFDOHV 7DEOHV WKURXJK OLVW $129$nV IRU WKHVH

PAGE 68

7$%/( $1$/<6,6 2) 9$5,$1&( %(7:((1 $872(92/87,21$5< $1' 02'$/ 68%-(&76 $6 0($685(' %< 7+( $&+,(9(0(17 6&$/( 2) 7+( 35) 6RXUFH GI VV 9 ) %HWZHHQ :LWKLQ 7RWDO 7$%/( $1$/<6,6 2) 9$5,$1&( %(7:((1 $872(92/87,21$5< $1' 02'$/ 68%-(&76 $6 0($685(' %< 7+( $)),/,$7,21 6&$/( 2) 7+( 35) 6RXUFH GI VV 9 ) %HWZHHQ :LWKLQ 7RWDO

PAGE 69

7$%/( $1$/<6,6 2) 9$5,$1&( %(7:((1 $872(92/87,21$5< $1' 02'$/ 68%-(&76 $6 0($685(' %< 7+( $**5(66,21 6&$/( 2) 7+( 35) 6RXUFH GI VV 9 ) %HWZHHQ :LWKLQ 7RWDO 7$%/( $1$/<6,6 2) 9$5,$1&( %(7:((1 $872(92/87,21$5< $1' 02'$/ 68%-(&76 $6 0($685(' %< 7+( $872120< 6&$/( 2) 7+( 35) 6RXUFH GI VV 9 %HWZHHQ :LWKLQ 7RWDO

PAGE 70

7$%/( $1$/<6,6 2) 9$5,$1&( %(7:((1 $872(92/87,21$5< $1' 02'$/ 68%-(&76 $6 0($685(' %< 7+( '20,1$1&( 6&$/( 2) 7+( 35) 6RXUFH GI VV 9 ) %HWZHHQ :LWKLQ 7RWDO 7$%/( $1$/<6,6 2) 9$5,$1&( %(7:((1 $872(92/87,21$5< $1' 02'$/ 68%-(&76 $6 0($685(' %< 7+( (1'85$1&( 6&$/( 2) 7+( 35) 6RXUFH GI VV Y ) %HWZHHQ :LWKLQ 7RWDO

PAGE 71

7$%/( $1$/<6,6 2) 9$5,$1&( %(7:((1 $872(92/87,21$5< $1' 02'$/ 68%-(&76 $6 0($685(' %< 7+( (;+,%,7,21 6&$/( 2) 7+( 35) 6RXUFH GI VV 9 ) %HWZHHQ :LWKLQ 7RWDO 7$%/( $1$/<6,6 2) 9$5,$1&( %(7:((1 $872(92/87,21$5< $1' 02'$/ 68%-(&76 $6 0($685(' %< 7+( +$50$9'$1&( 6&$/( 2) 7+( 35) 6RXUFH GI VV Y ) %HWZHHQ :LWKLQ 7RWDO

PAGE 72

7$%/( $1$/<6,6 2) 9$5,$1&( %(7:((1 $872(92/87,21$5< $1' 02'$/ 68%-(&76 $6 0($685(' %< 7+( ,038/6,9,7< 6&$/( 2) 7+( 35) 6RXUFH GI VV 9 ) %HWZHHQ :LWKLQ 7RWDO 7$%/( $1$/<6,6 2) 9$5,$1&( %(7:((1 $872(92/87,21$5< $1' 02'$/ 68%-(&76 $6 0($685(' %< 7+( 185785$1&( 6&$/( 2) 7+( 35) 6RXUFH GI VV 9 %HWZHHQ :LWKLQ 7RWDO

PAGE 73

VFDOHV LQ DOSKDEHWLFDO RUGHU 7DEOH OLVWV PHDQV VWDQGDUG GHYLDWLRQV DQG UDQJHV IRU HDFK RI WKHVH VFDOHV $XWRHYROXWLRQDU\ VXEMHFWV VFRUHG VLJQLILFDQWO\ ORZHU WKDQ PRGDO IXQFWLRQHUV RQ WKH 35)nV 2UGHU VFDOH 7DEOH f 7KLV LQGLFDWHV OHVV QHHG WKDQ WKH PRGDO JURXS IRU QHDWQHVV RUJDQL]DWLRQ WLG\QHVV DQG ZHOORUGHUHG V\VWHPV $XWRHYROXWLRQDU\ VXEMHFWV LQ WKLV VWXG\ VHHPHG WR ODFN WKHVH FRPSXOVLYHW\SH WUDLWV 7$%/( $1$/<6,6 2) 9$5,$1&( %(7:((1 $872(92/87,21$5< $1' 02'$/ 68%-(&76 $6 0($685(' %< 7+( 25'(5 6&$/( 2) 7+( 35) 6RXUFH GI VV Y ) %HWZHHQ r :LWKLQ 7RWDO rS 7DEOH LQGLFDWHV D VLJQLILFDQW GLIIHUHQFH IRU WKH 6RFLDO 5HFRJQLWLRQ VFDOH 7KH PHDQV IRU WKH JURXSV 7DEOH f VKRZ D JUHDWHU QHHG IRU VRFLDO UHFRJQLWLRQ WR EH SUHVHQW LQ WKH PRGDO JURXS 1HLWKHU JURXS VFRUHG YHU\ KLJK LQ WKLV WUDLW EXW WKH GDWD VXJJHVW WKDW WKH EHKDYLRU RI DXWRHYROXWLRQDU\ SHUVRQV LV OHVV DSSURYDO VHHNLQJ SURSHU DQG UHFRJQLWLRQ VHHNLQJ WKDQ PRGDO IXQFWLRQHUV ,W

PAGE 74

VHHPV WKDW WKRVH LQ WKH DXWRHYROXWLRQDU\ JURXS GR QRW ZRUNVf IRU WKH DSSURYDO DQG UHFRJQLWLRQ RI RWKHUV -DFNVRQ S f 7$%/( $1$/<6,6 2) 9$5,$1&( %(7:((1 $872(92/87,21$5< $1' 02'$/ 68%-(&76 $6 0($685(' %< 7+( 3/$< 6&$/( 2) 7+( 35) 6RXUFH GI VV Y ) %HWZHHQ :LWKLQ 7RWDO 7$%/( $1$/<6,6 2) 9$5,$1&( %(7:((1 $872(92/87,21$5< $1' 02'$/ 68%-(&76 $6 0($685(' %< 7+( 62&,$/ 5(&2*1,7,21 6&$/( 2) 7+( 35) 6RXUFH GI VV Y ) %HWZHHQ r :LWKLQ 7RWDO rS $XWRHYROXWLRQDU\ SHUVRQV VFRUHG VLJQLILFDQWO\ KLJKHU WKDQ WKH PRGDO JURXS RQ WKH 35)nV 8QGHUVWDQGLQJ VFDOH

PAGE 75

7DEOH 7DEOH f 7KLV KLJKHU PHDQ VFRUH IRU WKH DXWRHYROXWLRQDU\ JURXS LQGLFDWHV D JUHDWHU QHHG LQ WKHVH SHRSOH IRU D EURDG XQGHUVWDQGLQJ RI PDQ\ DUHDV RI NQRZOHGJH 7KH\ FDQ EH VHHQ DV PRUH LQTXLULQJ FXULRXV DQDO\WLFDO DQG LQWHOOHFWXDO WKDQ WKH PRGDO JURXS 7$%/( $1$/<6,6 2) 9$5,$1&( %(7:((1 $872(92/87,21$5< $1' 02'$/ 68%-(&76 $6 0($685(' %< 7+( 81'(567$1',1* 6&$/( 2) 7+( 35) 6RXUFH GI VV Y ) %HWZHHQ r :LWKLQ 7RWDO rS 7$%/( $1$/<6,6 2) 9$5,$1&( %(7:((1 $872(92/87,21$5< $1' 02'$/ 68%-(&76 $6 0($685(' %< 7+( ,1)5(48(1&< 6&$/( 2) 7+( 35) 6RXUFH GI VV 9 %HWZHHQ :LWKLQ 7RWDO

PAGE 76

+\SRWKHVLV VWDWHG 7KHUH ZLOO EH QR VLJQLILFDQW GLIIHUHQFHV EHWZHHQ DXWRHYROXWLRQDU\ DQG PRGDO IXQFWLRQHUV DV PHDVXUHG E\ WKH 5RNHDFK 'RJPDWLVP 6FDOH )RUP ( $Q $129$ ZDV FRPSXWHG DQG WKH UHVXOWDQW ) ZDV QRW VLJQLILFDQW 1XOO K\SRWKHVLV ZDV QRW UHMHFWHG 7DEOH f 0HDQV VWDQGDUG GHYLDWLRQV DQG UDQJHV IRU WKH WZR JURXSV RQ WKH 'RJPDWLVP VFDOH DUH SUHVHQWHG LQ 7DEOH 7$%/( $1$/<6,6 2) 9$5,$1&( %(7:((1 $872(92/87,21$5< $1' 02'$/ 68%-(&76 $6 0($685(' %< 7+( 52.($&+ '2*0$7,60 6&$/( 6RXUFH GI VV Y ) %HWZHHQ :LWKLQ 7RWDO 7KH ) IRU K\SRWKHVLV SURYHG VLJQLILFDQW EH\RQG WKH OHYHO DQG WKH K\SRWKHVLV WKDW 7KHUH ZLOO EH QR VLJQLILn FDQW GLIIHUHQFHV EHWZHHQ DXWRHYROXWLRQDU\ DQG PRGDO IXQFn WLRQHUV DV PHDVXUHG E\ DQ DEULGJHG IRUP RI WKH 0HDQV(QG 3UREOHP 6ROYLQJ SURFHGXUH TXDQWLWDWLYH VFRUHf ZDV UHMHFWHG 7DEOH f 7DEOH OLVWV WKH PHDQV VWDQGDUG GHYLDWLRQV DQG UDQJHV IRU WKH WZR JURXSV RQ WKH 0HDQV(QG SURFHGXUH

PAGE 77

7$%/( $1$/<6,6 2) 9$5,$1&( %(7:((1 $872(92/87,21$5< $1' 02'$/ 68%-(&76 $6 0($685(' %< 7+( $%5,'*(' 0($16(1' 352%/(0 62/9,1* 352&('85( 6RXUFH GI VV 9 ) %HWZHHQ r :LWKLQ 7RWDO rS 7KH ILUVW SDUW RI WKH TXHVWLRQQDLUH XVHG LQ WKLV VWXG\ $SSHQGL[ (f DVNHG VXEMHFWV WR UHVSRQG WR D YDULHW\ RI VWDWHPHQWV E\ PDUNLQJ WKHLU DJUHHPHQW RU GLVDJUHHPHQW RQ D FRQWLQXXP IURP VWURQJO\ DJUHH WR VWURQJO\ GLVDJUHH 5HVSRQVHV WR WKLV VRIW GDWD ZHUH WDOOLHG DQG VXEMHFWHG WR YLVXDO LQVSHFWLRQ 7KH UHVSRQVH IUHTXHQFLHV IRU HDFK TXHVn WLRQ DUH SUHVHQWHG LQ 7DEOHV WKURXJK 7KH QXPEHU RI VXEMHFWV XQOHVV RWKHUZLVH QRWHG ZDV LQ WKH DXWRn HYROXWLRQDU\ JURXS DQG LQ WKH PRGDO JURXS 7KH PLQRU K\SRWKHVLV VWDWHG WKDW WKHUH ZRXOG EH QR GLIIHUHQFH LWHP E\ LWHP LQ WKH UHVSRQVHV IRU WKH WZR JURXSV WR WKH TXHVn WLRQV 7KLV VHHPHG WR KROG WUXH IRU PRVW LWHPV EXW WKHUH ZHUH VRPH QRWDEOH H[FHSWLRQV )RU WKH VWDWHPHQW DP D UHOLJLRXV SHUVRQ 7DEOH f LW VHHPV WKDW WKH PHPEHUV RI WKH DXWRHYROXWLRQDU\ JURXS GR QRW VHH WKHPVHOYHV DV EHLQJ TXLWH DV UHOLJLRXV DV WKRVH SHRSOH LQ WKH PRGDO JURXS $ IHZ VXEMHFWV LQ WKH DXWRHYROXWLRQDU\ JURXS ZURWH REMHFWLRQV WR WKLV TXHVWLRQ DVNLQJ ,Q ZKDW ZD\"

PAGE 78

7$%/( 0($16 67$1'$5' '(9,$7,216 $1' 5$1*(6 )25 $872(92/87,21$5< $1' 02'$/ 68%-(&76 21 35) 6&$/(6 7+( '2*0$7,60 6&$/( $1' 7+( $%5,'*(' 0($16(1' 7(67 $XWRHYROXWLRQDU\ 0RGDO 6FDOH 0HDQ 6' 5DQJH 0HDQ 6' 5DQJH $& $) $* $8 '2 (1 (; +$ ,0 18 25 3/ 65 81 ,1 'RJPDWLVP R f§ Zf1 &1 f§ f f§ f 0(3nV

PAGE 79

7$%/( 5(63216( )5(48(1&,(6 2) $872(92/87,21$5< $1' 02'$/ 68%-(&76 72 7+( 67$7(0(17 $0 $ 5(/,*,286 3(5621 *URXS 6$ $ 8 6' 7RWDO $XWRHYROXWLRQDU\ 0RGDO 7RWDOV 9LVXDO LQVSHFWLRQ RI 7DEOHV WKURXJK VKRZ WKDW WKH WZR JURXSV UHVSRQGHG LQ HVVHQWLDOO\ WKH VDPH PDQQHU WR WKHVH TXHVWLRQV 7$%/( 5(63216( )5(48(1&,(6 2) $872(92/87,21$5< $1' 02'$/ 68%-(&76 72 7+( 67$7(0(17 $7 7,0(6 (1-2< %(,1* $/21( *URXS 6$ $ 8 6' 7RWDO $XWRHYROXWLRQDU\ 0RGDO 7RWDOV

PAGE 80

7$%/( 5(63216( )5(48(1&,(6 2) $872(92/87,21$5< n$1' 02'$/ 68%-(&76 72 7+( 67$7(0(17 $0 &$3$%/( 2) )250,1* ,17,0$7( 5(/$7,216+,36 :,7+ 27+(56 *URXS 6$ $ 8 6' 7RWDO $XWRHYROXWLRQDU\ 0RGDO 7RWDOV 7$%/( 5(63216( )5(48(1&,(6 2) $872(92/87,21$5< $1' 02'$/ 68%-(&76 72 7+( 67$7(0(17 (1-2< 0< -2% 352)(66,21 25 92&$7,21 *URXS 6$ $ 8 6' 7RWDO $XWRHYROXWLRQDU\ 0RGDO 7RWDOV

PAGE 81

7$%/( 5(63216( )5(48(1&,(6 2( $872(92/87,21$5< $1' 02'$/ 68%-(&76 72 7+( 67$7(0(17 +$9( $ *22' 6(16( 2( +8025 *URXS 6$ $ 8 6' 7RWDO $XWRHYROXWLRQDU\ 0RGDO 7RWDOV 7$%/( 5(63216( )5(48(1&,(6 2) $872(92/87,21$5< $1' 02'$/ 68%-(&76 72 7+( 67$7(0(17 +$9( $1 (1-2<$%/( 6(; /,)(r *URXS 6$ $ 8 6' 7RWDO $XWRHYROXWLRQDU\ 0RGDO 7RWDOV r7KUHH GLG QRW UHVSRQG

PAGE 82

7$%/( 5(63216( )5(48(1&,(6 2) $872(92/87,21$5< $1' 02'$/ 68%-(&76 72 7+( 67$7(0(17 (1-2< /,)( *URXS 6$ $ 8 6 6' 7RWDO $XWRHYROXWLRQDU\ 0RGDO 7RWDOV 7$%/( 5(63216( )5(48(1&,(6 2) $872(92/87,21$5< $1' 02'$/ 68%-(&76 72 7+( 67$7(0(17 $0 $ *22' 3(5621 *URXS 6$ $ 8 6' 7RWDO $XWRHYROXWLRQDU\ 0RGDO 7RWDOV 7DEOH LQGLFDWHV WKDW DXWRHYROXWLRQDU\ VXEMHFWV UHSRUW WKDW WKH\ HQMR\ JRRG KHDOWK PRUH IUHTXHQWO\ WKDQ GR WKH FRPSDULVRQ VXEMHFWV

PAGE 83

7$%/( 5(63216( )5(48(1&,(6 2) $872(92/87,21$5< $1' 02'$/ 68%-(&76 72 7+( 67$7(0(17 (1-2< *22' 3+<6,&$/ +($/7+ *URXS 6$ $ 8 6' 7RWDO $XWRHYROXWLRQDU\ 0RGDO 7RWDOV 7DEOH VKRZV WKH UHVSRQVHV WR WKH VWDWHPHQW DP D GHSHQGHQW SHUVRQ 7KH PRGDO JURXS ZDV PXFK PRUH OLNHO\ WR VHH WKHPVHOYHV DV GHSHQGHQW ZKLOH PDQ\ LQ WKH DXWRn HYROXWLRQDU\ JURXS VKRZHG GLVDJUHHPHQW DQG VDZ WKHPVHOYHV DV LQGHSHQGHQW 7$%/( 5(63216( )5(48(1&,(6 2) $872(92/87,21$5< $1' 02'$/ 68%-(&76 72 7+( 67$7(0(17 $0 $ '(3(1'(17 3(5621 *URXS 6$ $ 8 6' 7RWDO $XWRHYROXWLRQDU\ 0RGDO 7RWDOV

PAGE 84

6XEMHFWV UHVSRQGHG LQ D YHU\ VLPLODU PDQQHU WR WKH VWDWHPHQW XVXDOO\ FDWFK FROGV WKH IOX HWF 7KH PRGDO JURXS KDG WZR VXEMHFWV ZKR DJUHHG WR WKLV ZKLOH QR RQH LQ WKH DXWRHYROXWLRQDU\ JURXS VKRZHG DJUHHPHQW 7KHUH ZHUH DOVR QR VWURQJ GLIIHUHQFHV IRU WKH LWHP DP D FUHDWLYH SHUVRQ 7DEOH f 7$%/( 5(63216( )5(48(1&,(6 2) $872(92/87,21$5< $1' 02'$/ 68%-(&76 72 7+( 67$7(0(17 868$//< &$7&+ &2/'6 7+( )/8 (7&r *URXS 6$ $ 8 6' 7RWDO $XWRHYROXWLRQDU\ 0RGDO 7RWDOV r2QH QR UHVSRQVH 7$%/( 5(63216( )5(48(1&,(6 2) $872(92/87,21$5< $1' 02'$/ 68%-(&76 72 7+( 67$7(0(17 $0 $ &5($7,9( 3(5621 *URXS 6$ $ 8 6' 7RWDO $XWRHYROXWLRQDU\ 0RGDO 7RWDOV

PAGE 85

$XWRHYROXWLRQDU\ VXEMHFWV ZHUH PRUH OLNHO\ WKDQ PRGDOV WR DJUHH ZLWK WKH VWDWHPHQW 7DEOH f DP DQ RSWLPLVW 7$%/( 5(63216( )5(48(1&,(6 2) $872(92/87,21$5< $1' 02'$/ 68%-(&76 72 7+( 67$7(0(17 $0 $1 237,0,67 *URXS 6$ $ 8 6' 7RWDO $XWRHYROXWLRQDU\ 0RGDO 7RWDOV 7KH JURXSV UHVSRQGHG YHU\ VLPLODUO\ WR WKH VWDWHPHQW HQMR\ OHDGLQJ RWKHU SHRSOH 7DEOH f 7ZR SHRSOH LQ WKH PRGDO JURXS VKRZHG GLVDJUHHPHQW ZKLOH D IHZ LQ ERWK JURXSV ZHUH XQFHUWDLQ ,Q WKH VHFRQG SDUW RI WKH TXHVWLRQQDLUH $SSHQGL[ (f VXEMHFWV ZHUH DVNHG WR UHVSRQG WR ILYH RSHQHQGHG TXHVWLRQV 7KHLU UHVSRQVHV ZHUH SODFHG LQ JHQHUDO FDWHJRULHV ZKLFK ZHUH GHULYHG E\ H[DPLQLQJ WKH FRQWHQW RI WKH UHVSRQVHV 0DQ\ VXEMHFWV JDYH PRUH WKDQ RQH DQVZHU WR VSHFLILF TXHVn WLRQV VR WKH QXPEHU RI UHVSRQVHV GLIIHUV IRU WKH YDULRXV TXHVWLRQV ,QGLYLGXDO UHVSRQVHV WKDW GLG QRW ILW LQWR D VSHFLILF FDWHJRU\ DUH QRW SUHVHQWO\ RQO\ WKRVH UHVSRQVHV WKDW ZHUH FLWHG E\ WKUHH RU PRUH VXEMHFWV DSSHDU LQ WKH IROORZLQJ WDEOHV

PAGE 86

7$%/( 5(63216( )5(48(1&,(6 2) $872(92/87,21$5< $1' 02'$/ 68%-(&76 72 7+( 67$7(0(17 (1-2< /($',1* 27+(5 3(23/( *URXS 6$ $ 8 6' 7RWDO $XWRHYROXWLRQDU\ 0RGDO 7RWDOV 9LVXDO LQVSHFWLRQ RI WKH GDWD VKRZV QR VWURQJ GLIIHUn HQFHV EHWZHHQ WKH UHVSRQVHV RI WKH WZR JURXSV WR WKH TXHVWLRQ :KDW GR \RX OLNH DERXW \RXUVHOI" %RWK VHHP WR VWUHVV FHUWDLQ DQG YDULHGf SHUVRQDO TXDOLWLHV DV WKHLU OLNHDEOH FKDUDFWHULVWLFV 7DEOH OLVWV WKH IUHTXHQFLHV DQG FDWHJRULHV RI UHVSRQVH FLWHG E\ WKH WZR JURXSV 7$%/( 5(63216( )5(48(1&,(6 $1' &$7(*25,(6 2) 5(63216( *,9(1 %< $872(92/87,21$5< $1' 02'$/ 68%-(&76 72 7+( 48(67,21 :+$7 '2 <28 /,.( $%287 <2856(/)" *URXS &DWHJRU\ 2WKHUV /LNH 3HUVRQDO $SSUHFLDWH +HOSLQJ 4XDOLWLHV 7KHP 2WKHUV 7RWDO $XWRHYROXWLRQDU\ 0RGDO 7RWDO

PAGE 87

6RPH LQWHUHVWLQJ GLIIHUHQFHV DSSHDUHG EHWZHHQ WKH WZR JURXSV IRU WKH TXHVWLRQ :KDW GR \RX GLVOLNH DERXW \RXUn VHOI" 7DEOH f 7KH DXWRHYROXWLRQDU\ JURXS FLWHG OD]LQHVV SURFUDVWLQDWLRQ ODFN RI RUGHU RU QRWKLQJ PRVW IUHTXHQWO\ 7KH\ ZHUH VD\LQJ WKDW WKH\ VKRXOG EH GRLQJ PRUH RU VKRXOGQnW SURFUDVWLQDWH RU QHHG PRUH RUGHU ,Q VKRUW WKH\ UHDOL]H VRPH SRVLWLYH WUDLW WKDW WKH\ ODFN 7KH PRGDO JURXS FLWHG ZHDNQHVV RI FRQYLFWLRQ EDGf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nW ZRUNLQJ DW \RXU SUHVHQW MRE SURIHVVLRQ HWF

PAGE 88

7$%/( 5(63216( )5(48(1&,(6 $1' &$7(*25,(6 2) 5(63216( *,9(1 %< $872(92/87,21$5< $1' 02'$/ 68%-(&76 72 7+( 48(67,21 :+$7 '2 <28 ',6/,.( $%287 <2856(/)" &DWHJRU\ *URXS /D]\ RU 3URFUDVWLQDWH 1RW 2UGHUO\ (QRXJK 1RWKLQJ :HDN LQ &RQYLFWLRQ 7HPSHU 6WXEERUQ ,QWROHUDQW 7RWDOV $XWRHYROXWLRQDU\ 0RGDO 7RWDO

PAGE 89

7$%/( 5(63216( )5(48(1&,(6 $1' &$7(*25,(6 2) 5(63216( *,9(1 %< $872(92/87,21$5< $1' 02'$/ 68%-(&76 72 7+( 48(67,21 +2: '2 <28 7+,1. <28 %(&$0( 7+( 7<3( 2) 3(5621 7+$7 <28 $5( 12:" &DWHJRU\ *URXS )DPLO\ RU 3DUHQWV (GXFDWLRQ $WWLWXGH (IIRUW 1HJDWLYH ([SHULHQFHV 7RWDOV $XWRHYROXWLRQDU\ 0RGDO 7RWDO

PAGE 90

ZKDW RWKHU MRE RU SURIHVVLRQ ZRXOG \RX EH HQJDJHG LQ" 7KH PDMRULW\ RI SHRSOH LQ ERWK JURXSV ZHUH DEOH WR OLVW VSHFLILF MREV RU SURIHVVLRQV EXW WKUHH WLPHV DV PDQ\ VXEMHFWV LQ WKH DXWRHYROXWLRQDU\ JURXS FLWHG WKH H[DFW VDPH MRE RU JDYH D YHU\ YDJXH DQVZHU 7KHVH SHRSOH KDYH WURXEOH VHHLQJ WKHPVHOYHV GRLQJ DQ\WKLQJ YDVWO\ GLIIHUHQW IURP WKHLU SUHVHQW YRFDWLRQ 7$%/( 5(63216( )5(48(1&,(6 $1' &$7(*25,(6 2) 5(63216( *,9(1 %< $872(92/87,21$5< $1' 02'$/ 68%-(&76 72 7+( 48(67,21 ,) <28 :(5(1n7 :25.,1* $7 <285 35(6(17 -2% 352)(66,21 (7& :+$7 27+(5 -2% 25 352)(66,21 :28/' <28 %( (1*$*(' ,1" *URXS &DWHJRU\ 6DPH -RE 2U 6DPH $UHD 2WKHU 6SHFLILF -RE 7LWOH 1R 5HVSRQVH 7RWDOV $XWRHYROXWLRQDU\ 0RGDO 7RWDO 7KH ILQDO TXHVWLRQ DWWHPSWHG WR GHWHUPLQH ZKHWKHU WKHUH ZHUH DQ\ GLIIHUHQFHV LQ PRWLYDWLRQ IRU YROXQWHHU RU SXEOLF VHUYLFH ZRUN EHWZHHQ WKH JURXSV 7KH DXWRHYROXWLRQn DU\ JURXS RYHUZKHOPLQJO\ OLVWHG VXFK UHDVRQV DV LPSURYLQJ WKH HQYLURQPHQW PDNLQJ WKH ZRUOG D ELW EHWWHU RU PDNLQJ WKLV D EHWWHU SODFH WR OLYH 7KH PRGDO JURXS VDZ

PAGE 91

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f RI WKH PRGDO JURXS $Q DWWHPSW ZDV PDGH WR PDWFK WKH VXEMHFWV IRU DJH 7KH PHDQ DJH IRU WKH DXWRHYROXWLRQDU\ JURXS ZDV \HDUV IRU WKH PRGDO JURXS \HDUV 7KHUH ZDV D ELPRGDO DJH GLVWULEXWLRQ RI \HDUV DQG \HDUV LQ WKH DXWRHYROXWLRQDU\ JURXS ZLWK D PHGLDQ DJH RI \HDUV 7KH UDQJH ZDV WR \HDUV FRUUHFWHG UDQJH ZDV WR

PAGE 92

\HDUV 7KH PRGDO DJH IRU FRPSDULVRQ JURXS ZDV \HDUV WKHLU PHGLDQ DJH ZDV \HDUV ZLWK D UHSUHVHQWDWLYH UDQJH RI WR \HDUV 7KH JURXSV WXUQHG RXW WR EH HTXDO RQ WKH EDVLV RI VH[ 7KHUH ZHUH QLQH IHPDOHV DQG VL[ PDOHV DFWXDOO\ WKH VHYHQWK SHUVRQ ZKR JDYH LQFRPSOHWH GHPRJUDSKLF GDWD ZDV D PDOHf LQ WKH DXWRHYROXWLRQDU\ JURXS 7KH PRGDO JURXS ZDV FRPSULVHG RI WHQ IHPDOHV DQG VHYHQ PDOHV 7KH PDMRULW\ RI VXEMHFWV LQ ERWK JURXSV ZHUH PDUULHG 7KH EUHDNGRZQ IRU WKH DXWRn HYROXWLRQDU\ JURXS ZDV WHQ PDUULHG LQFOXGLQJ D ZLGRZ ZKR UHPDUULHGf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f DQG VRPH JUDGXDWH ZRUN DXWRHYROXWLRQDU\ JURXSf

PAGE 93

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nV GDWD ZHUH RIWHQ XQFOHDU %DVHG RQ WKH GDWD WKDW ZDV JLYHQ WKH PHGLDQ LQFRPH IRU WKH DXWRHYROXWLRQDU\ JURXS ZDV

PAGE 94

ZLWK PRVW IDOOLQJ LQ WKH WR UDQJH 0RGDO VXEMHFWV KDG D PHGLDQ LQFRPH RI DERXW ZLWK PRVW IDOOLQJ LQ WKH UDQJH 2YHUDOO UDQJH RI LQFRPH ZDV WKH VDPH DW WKH XSSHU VDODU\ OLPLW IRU ERWK JURXSV EXW WKH PRGDO JURXS KDG D ORZHU ORZHU UDQJH OLPLW 7KHVH VDODU\ GLIIHUHQFHV VHHP WR UHIOHFW WKH JHQHUDO HGXFDWLRQDO GLIIHUHQFHV EHWZHHQ WKH WZR JURXSV

PAGE 95

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f LQ DQ DWWHPSW WR HIIHFW DGDSWLYH FKDQJH 7KHVH SHRSOH ZHUH FRPSDUHG WR D JURXS RI PRGDO RU DYHUDJH FLWL]HQV ZKR ZHUH PDWFKHG WR EH RI WKH VDPH DSSUR[LPDWH DJH 7KH WZR JURXSV ZHUH DOVR HVVHQWLDOO\ WKH VDPH LQ WHUPV RI VH[ PDULWDO VWDWXV UDFH DQG UHOLJLRQ DOWKRXJK WKH\ ZHUHQnW GHOLEHUDWHO\ PDWFKHG IRU WKHVH WUDLWV 7KHUH ZHUH QR VLJQLILFDQW GLIIHUHQFHV EHWZHHQ WKH WZR JURXSV RQ RI WKH VFDOHV RI WKH 3HUVRQDOLW\ 5HVHDUFK )RUP $FKLHYHPHQW $IILOLDWLRQ $JJUHVVLRQ $XWRQRP\

PAGE 96

'RPLQDQFH (QGXUDQFH ([KLELWLRQ +DUPDYRLGDQFH ,PSXO VLYLW\ 1XUWXUDQFH 3ODQ DQG ,QIUHTXHQF\ 7KHUH ZRXOG EH QR H[SHFWHG GLIIHUHQFHV EHWZHHQ WKH WZR YHU\ VLPLODU JURXSV RQ PRVW RI WKHVH VFDOHV 7KH UHYLHZ RI WKH OLWHUDWXUH KDG PDQ\ UHIHUHQFHV WR WKH DXWRQRP\ RI SV\FKRORJLFDOO\ KHDOWK\ SHRSOH -DKRGD )RRWHDQG &RWWUHOO (ULFNVRQ f 3XWWLFN f VDZ WKH SV\FKRORJLFDOO\ KHDOWK\ SHUVRQ DV ERWK LQGHSHQGHQW DQG GHSHQGHQW S f -DFNVRQnV f GHILQLWLRQ RI DXWRQRP\ DV PHDVXUHG E\ WKH 35) LQFOXGHV WHUPV VXFK DV UHEHOOLRXV XQJRYHUQDEOH UHVLVWDQW DQG ORQHZROI $ KLJKVFRUHU RQ WKH 35)nV DXWRQRP\ VFDOH LV LQGHSHQGHQW EXW LV DOVR QRW WLHG WR SHRSOH SODFHV RU REOLJDWLRQV S f 7KH W\SH RI SHUVRQ WHUPHG DXWRHYROXWLRQDU\ LQ WKH SUHVHQW VWXG\ ZDV RQH ZKR GHYRWHG FRQVLGHUDEOH WLPH DQG HQHUJ\ WR VHUYLQJ WKH FRPPXQLW\ 7KH\ DFFHSWHG WKH UHVSRQVLELOLW\ IRU WKH ZHOIDUH RI RWKHUV DQG WKH FRPPXQLW\ DW ODUJH 0RVW RI WKHP ZHUH VHUYLQJ WKURXJK IRUPDO DJHQFLHV FRPPLWWHHV DQG SURJUDPV 7KLV LV RQH SRVVLEOH UHDVRQ ZK\ WKH\ PD\ QRW KDYH VFRUHG KLJKHU RQ DXWRQRP\ DV PHDVXUHG E\ WKH 35) 7KHVH SHRSOH DOVR JHQHUDOO\ GLVDJUHHG WR WKH VWDWHPHQW DP D GHSHQGHQW SHUVRQ 7DEOH f WR D JUHDWHU H[WHQW WKDQ WKH FRPSDQLRQ JURXS 7KLV VRPHZKDW FRQIOLFWLQJ GDWD ZRXOG VXSSRUW 3XWWLFNnV f FODLP WKDW WKH KHDOWK\ LQGLYLGXDO ERWK DFWLYHO\ RUJDQL]HV KLV HQYLURQPHQW DQG DW RWKHU WLPHV ZLOOLQJO\ VXEPLWV WR WKH ZRUOG S f $ SRVVLEOH GLIIHUHQFH RQ WKH 1XUWXUDQFH VFDOH PLJKW

PAGE 97

EH H[SHFWHG 7KLV LV GHILQHG DV RQH ZKR *LYHV V\PSDWK\ DQG FRPIRUW DVVLVWV RWKHUV ZKHQn HYHU SRVVLEOH LQWHUHVWHG LQ FDULQJ IRU FKLOGUHQ WKH GLVDEOHG RU LQILUP RIIHUV D KHOSLQJ KDQGWR WKRVH LQ QHHG UHDGLO\ SHUIRUPV IDYRUV IRU RWKHUV -DFNVRQ S f :KHQ DVNHG ZK\ WKH\ YROXQWHHU RU GR SXEOLF VHUYLFH ZRUN WKH PDMRULW\ RI WKH DXWRHYROXWLRQDU\ JURXS UHVSRQGHG WKDW WKH\ ZHUH WU\LQJ WR PDNH WKH ZRUOG FRPPXQLW\ HWFf D EHWWHU SODFH 7DEOH f 0RVW PRGDO VXEMHFWV FLWHG SHUVRQDO UHZDUG DV WKHLU PRWLYH 7KH PHDQV RI WKH WZR JURXSV ZHUH DSSUR[LPDWHO\ WKH VDPH DQG ERWK IDLUO\ KLJK WK SHUFHQn WLOHf EXW DSSDUHQWO\ QHLWKHU JURXS LV H[FHHGLQJO\ KLJK LQ WUDLWV GHILQHG DV V\PSDWKHWLF SDWHUQDO KHOSIXO EHQHYRn OHQW HWF -DFNVRQ S f 6LJQLILFDQW GLIIHUHQFHV ZHUH IRXQG IRU WKUHH RI WKH 35) VFDOHV 2UGHU 6RFLDO 5HFRJQLWLRQ DQG 8QGHUVWDQGLQJ $XWRHYROXWLRQDU\ VXEMHFWV VFRUHG VLJQLILFDQWO\ ORZHU RQ WKH 2UGHU VFDOH ZKLFK LQGLFDWHV WKDW WKH\ GR QRW KDYH DV JUHDW D QHHG DV PRGDO SHUVRQV LQ WHUPV WKDW DUH RIWHQ DVVRFLDWHG ZLWK FRPSXOVLYLW\ VXFK DV QHDW RUJDQL]HG WLG\ V\VWHn PDWLF ZHOO RUGHUHG GLVFLSOLQHG HWF -DFNVRQ S f )RXU RI WKH DXWRHYROXWLRQDU\ VXEMHFWV UHVSRQGHG WR WKH TXHVWLRQ :KDW GR \RX GLVOLNH DERXW \RXUVHOI" 7DEOH f ZLWK 1RW RUGHUO\ HQRXJK $W OHDVW VRPH RI WKH DXWRn HYROXWLRQDU\ VXEMHFWV VHH RUGHU DV D GHVLUHG WUDLW WKDW WKH\ ODFN 7KHUH ZDV D VLJQLILFDQW GLIIHUHQFH LQ WKH 6RFLDO 5HFRJQLWLRQ VFRUHV RI WKH WZR JURXSV DV PHDVXUHG E\ WKH

PAGE 98

35) 7KLV GLIIHUHQFH ZDV RQH RI WKH VWURQJHVW H[FHHGLQJ WKH OHYHO RI VLJQLILFDQFH 6RFLDO UHFRJQLWLRQ LV GHILQHG LQ WHUPV VXFK DV DSSURYDO VHHNLQJ VHHNV UHFRJQLWLRQ DQG GHVLUHV WR EH KHOG LQ KLJK HVWHHP E\ DFTXDLQWDQFHV -DFNVRQ S f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n ODULW\ FHOHEULW\ RU DW OHDVW GR QRW VHHN LW WKH\ GR QRW QHHG RU VHHN IRU RU HYHQ HQMR\ YHU\ PXFK IODWWHU\ DSSODXVH SRSXODULW\ VWDWXV SUHVWLJH PRQH\ KRQRUV HWF 0DVORZ SS f§ f 7KLV VHHPV WR EH WKH FDVH ZLWK DXWRHYROXWLRQDU\ VXEMHFWV LQ WKH SUHVHQW VWXG\ $XWRHYROXWLRQDU\ VXEMHFWV VFRUHG VLJQLILFDQWO\ KLJKHU LQ WKHLU OHYHO RI XQGHUVWDQGLQJ WKDQ GLG PRGDO VXEMHFWV 8QGHUVWDQGLQJ LV GHILQHG DV LQTXLULQJ FXULRXV DQDO\WLFDO H[SORULQJ LQWHOOHFWXDO UHIOHFWLYH DQG DV D SHUVRQ ZKR ZDQWV WR XQGHUVWDQG PDQ\ DUHDV RI NQRZOHGJH -DFNVRQ S f 7KH KLJKHU VFRUH RI DXWRHYROXWLRQDU\ VXEMHFWV FDQ EH H[SODLQHG LQ WHUPV RI D TXHVW WR EH IXOO\ IXQFn WLRQLQJ DV GHILQHG E\ 5RJHUV VHH 7DEOH f RU VHOI DFWXDOL]LQJ DV GLVFXVVHG E\ 2WWR f 7KH

PAGE 99

V\QWKHVLV RI LGHDV WKDW DFFRPSDQ\ XQGHUVWDQGLQJ FDQ DLG LQ HIIHFWLYH VHOILQWHJUDWLRQ 8QGHUVWDQGLQJ DOVR UHODWHG WR FUHDWLYLW\ 3ULYHWWH f OLQNHG 5RJHUVn GHILQLWLRQ RI FUHDWLYLW\ ZLWK KHU FRQFHSW RI WUDQVFHQGHQW IXQFWLRQLQJ DQG VDZ ERWK DV WKH GHVLUH WR H[SUHVV DQG DFWLYDWH DOO WKH FDSDELOLWLHV RI WKH RUJDQLVP 5RJHUV SS 3ULYHWWH S f 7KLV WHQGHQF\ DOVR VHHPV HYLGHQW LQ DXWRHYROXWLRQDU\ VXEMHFWV $QGHUVRQ f VDZ IOH[LELOLW\ DQG DGDSWLYH IOH[LELOn LW\ DV LPSRUWDQW FRPSRQHQWV RI WKH FUHDWLYH SURFHVV DQG DV EHLQJ LPSRUWDQW WR SV\FKRORJLFDO KHDOWK 0DVORZ 5RJHUV DQG RWKHUV KDYH DJUHHG WKDW SRVLWLYH KHDOWK LV OLQNHG WR RSHQn QHVV DGDSWDELOLW\ DQG IOH[LELOLW\ $OWKRXJK WKH DXWRn HYROXWLRQDU\ JURXS VFRUHG DV YHU\ RSHQ RQ WKH 5RNHDFK 'RJPDWLVP VFDOH WKHUH ZDV QR VLJQLILFDQW GLIIHUHQFH EHWZHHQ WKH JURXSV 7KH PRGDO JURXS DOVR VFRUHG DV RSHQ EXW VKRZHG D PXFK ZLGHU UDQJH RI VFRUHV VRPH RI ZKLFK ZHUH LQ WKH H[WUHPHO\ FORVHG UDQJH $ IHZ KLJKO\ QHJDWLYH VFRUHV EDODQFHG RXW WKHVH GLIIHUHQFHV ,W FRXOG YHU\ ZHOO EH WKDW LQ WKH UDSLGO\ FKDQJLQJ ZRUOG RI WRGD\ DGDSWLYHQHVV IOH[LELOLW\ DQG RSHQQHVV RI WKRXJKW DQG EHOLHI V\VWHPV DUH YLWDO WR DQ LQGLYLGXDOnV VXUYLYDO 7KH GRJPDWLVP VFDOH ZDV GHYHORSHG LQ DQG PD\ QR ORQJHU EH D YDOLG SUHGLFWRU RI RSHQQHVV DQG FORVHGQHVV EHFDXVH RI WKH YDVWO\ FKDQJHG VRFLRSROLWLFDO HQYLURQPHQW 7KH DXWRHYROXWLRQDU\ JURXS VFRUHG VLJQLILFDQWO\ KLJKHU WKDQ PRGDO VXEMHFWV LQ WKH QXPEHU RI PHDQV JLYHQ RQ DQ

PAGE 100

DEULGJHG IRUP RI WKH 0HDQV(QG 3UREOHP 6ROYLQJ SURFHGXUH 7KLV VFRUH ZDV DOVR VLJQLILFDQW EH\RQG WKH OHYHO 7KLV ILQGLQJ FRXSOHG ZLWK WKH VLJQLILFDQW GLIIHUHQFH RQ WKH 8QGHUVWDQGLQJ VFDOH RI WKH 35) VXJJHVWV WKDW LQ DGGLWLRQ WR KDYLQJ D JUHDWHU OHYHO RI FXULRVLW\ DQDO\WLFDO WKLQNLQJ DQG QHHG WR XQGHUVWDQG DQG V\QWKHVL]H WKH DXWRHYROXWLRQDU\ SHRSOH DUH PRUH FDSDEOH LQ SUREOHPVROYLQJ 7KHLU 0(3nV VFRUHV VXJJHVW VXFFHVVIXO EHKDYLRUDO DGMXVWPHQW DV ZHOO DV VNLOOV LQ SURYLGLQJ WKH FRJQLWLYH VWHSV QHFHVVDU\ IRU HIIHFWLYH SUREOHP VROYLQJ 6FRUHV IRU PRGDO VXEMHFWV ZHUH ZLWKLQ WKH QRUPDO UDQJH IRU DGXOW VXEMHFWV &DXWLRQ VKRXOG EH H[HUFLVHG LQ H[DPLQLQJ WKH UHVXOWV RI WKH 0(3nV EHFDXVH VXEMHFWV FRPSOHWHG DQ DEULGJHG IRUP RI WKUHH VWRULHV UDWKHU WKDQ WKH FRPSOHWH VHW RI QLQH RU WHQ VWRULHV $OVR WZR VXEMHFWV LQ HDFK JURXS IDLOHG WR FRPSOHWH WKH VWRULHV EHFDXVH RI WKH WLPH QHFHVVDU\ HYHQ IRU WKH DEULGJHG IRUP 7KLV OHIW DQ H[WUHPHO\ VPDOO QXPEHU LQ HDFK JURXS DXWRn HYROXWLRQDU\ DQG PRGDOVf EXW LW LV ZRUWK QRWLQJ WKDW HYHQ ZLWK VXFK VPDOO QXPEHUV VWDWLVWLFDO GLIIHUHQFHV GLG RFFXU 5HVSRQVHV WR D YDULHW\ RI VWDWHPHQWV DQG TXHVWLRQV SRVHG LQ $SSHQGL[ ( ZHUH WDOOLHG DQG YLVXDOO\ LQVSHFWHG ,W ZRXOG QRW EH DSSURSULDWH WR DSSO\ VWDWLVWLFDO SURFHGXUHV VXFK DV WKH $129$ WR VLQJOHLWHP VHOIUHSRUW TXHVWLRQV 7KHVH LWHPV ZHUH EDVHG RQ WKHRULHV SRVWXODWHG LQ WKH VXUYH\ RI WKH OLWHUDWXUH DQG ZHUH LQWHQGHG DV DUHDV WR EH H[DPLQHG LQ IXWXUH UHVHDUFK

PAGE 101

7KH ILUVW VWDWHPHQW UHDG DP D UHOLJLRXV SHUVRQ 7KHUH ZHUH PRUH PRGDO SHUVRQV ZKR VWURQJO\ DJUHHG ZLWK WKLV VWDWHPHQW WKDQ DXWRHYROXWLRQDU\ SHUVRQV 0RUH DXWRn HYROXWLRQDU\ SHUVRQV WKDQ PRGDO SHUVRQV UHVSRQGHG DV XQFHUWDLQ RU ZURWH WR SURWHVW WKH DPELJXLW\ RI WKH WHUP 0DVORZ f 0RXVWDNDV f DQG /DQGVPDQ f GLVFXVVHG WKH QHHG IRU VROLWXGH LQ VHOIDFWXDOL]LQJ DQG SV\FKRORJLFDOO\ KHDOWK\ SHRSOH %RWK JURXSV DJUHHG WKDW WKH\ OLNHG WR EH DORQH DW WLPHV $ SRVVLEOH H[SODQDn WLRQ LV WKDW ERWK JURXSV FRQWDLQHG SV\FKRORJLFDOO\ KHDOWK\ LQGLYLGXDOV ZKR PDLQWDLQ WKHLU KHDOWK E\ SHULRGV RI VROLWXGH 7KHUH ZDV DOVR JHQHUDO DJUHHPHQW E\ ERWK JURXSV WR WKH VWDWHPHQWV WKDW WKH\ FRXOG IRUP LQWLPDWH UHODWLRQn VKLSV WKDW WKH\ HQMR\HG WKHLU MREV WKHLU VH[ OLYHV DQG WKDW WKH\ SRVVHVVHG D JRRG VHQVH RI KXPRU 7KH\ UHSRUWHG WKDW WKH\ HQMR\HG OLIH DQG VDZ WKHPVHOYHV DV JRRG SHUVRQV $OO RI WKHVH WUDLWV DUH VHHQ DV EHLQJ LPSRUWDQW WR DWWDLQLQJ SV\FKRORJLFDO KHDOWK %HFDXVH QR SV\FKRn SDWKRORJ\ ZDV HYLGHQW LQ HLWKHU JURXS WKH\ DSSHDUHG VLPLODU LQ WKHLU UHVSRQVHV WR WKHVH VWDWHPHQWV 3HUKDSV D PRUH VHQVLWLYH LQVWUXPHQW LV QHHGHG WR VHH LI KLJKHU OHYHOV RI IXQFWLRQLQJ FRUUHODWH ZLWK KLJKHU QHHG OHYHOV LQ WKHVH DUHDV ,W LV YHU\ OLNHO\ WKDW WKH /LNHUW W\SH VFDOH ZDV LQDSSURSULDWH LQ ILQGLQJ DQ\ UHDO GLIIHUHQFHV WKDW PD\ H[LVW EHWZHHQ WKH WZR JURXSV 5HVSRQVHV WR WKH VWDWHPHQW HQMR\ JRRG SK\VLFDO KHDOWK VKRZHG VRPH GLIIHUHQFHV ,Q WKH DXWRHYROXWLRQDU\

PAGE 102

JURXS RI DJUHHG LQ VSLWH RI WKH DGYDQFHG DJHV RI PDQ\ RI WKH VXEMHFWV ,Q WKH PRGDO JURXS RQO\ RXW RI DJUHHG WKDW WKH\ KDG JRRG SK\VLFDO KHDOWK ZKLOH IRXU YRLFHG VWURQJ GLVDJUHHPHQW RU GLVDJUHHPHQW 7KHVH UHVXOWV WHQG WR VXSSRUW +DVORZn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n HYROXWLRQDU\ SHUVRQV f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f 0F.LQQRQ f &DWWHOO f *XLOIRUG f 3HFN f DQG 3XWWLFN

PAGE 103

f KDYH DOO SRVWXODWHG D OLQN EHWZHHQ LQWHOOLJHQFH DQG FUHDWLYLW\ 6SHFLILF WHVWV WR PHDVXUH OHYHOV RI FUHDWLYLW\ PD\ SURYH PRUH IUXLWIXO LQ GLVFRYHULQJ GLIIHUHQFHV WKDQ VHOIUHSRUW WHFKQLTXHV $JDLQ LW LV OLNHO\ WKDW PRVW SV\FKRORJLFDOO\ KHDOWK\ LQGLYLGXDOV OLNH WKH PHPEHUV RI ERWK JURXSV VHH WKHPVHOYHV DV FUHDWLYH 0RUH DXWRHYROXWLRQDU\ VXEMHFWV WKDQ FRPSDULVRQ VXEMHFWV DJUHHG WKDW WKH\ ZHUH RSWLPLVWV EXW WKH GLIIHUHQFH ZDV QRW JUHDW $ SRVVLEOH H[SODQDWLRQ LV WKDW WKH DXWRn HYROXWLRQDU\ SHRSOH VHH WKH UHVXOWV RI WKHLU LQYROYHPHQW DQG DFWLRQ DQG DUH RSWLPLVWLF WKDW WKH HQYLURQPHQW FDQ EH LPSURYHG 0RVW DOVR VWDWHG WKDW WKH UHDVRQ IRU WKHLU FRPPXQLW\ VHUYLFH ZDV WR PDNH LW D EHWWHU SODFH WR OLYH 0RVW SHUVRQV LQ ERWK JURXSV ZHUH RSWLPLVWV ,Q WKLV SHULRG RI VDJJLQJ HFRQRP\ UXQDZD\ LQIODWLRQ DQG ULVLQJ XQHPSOR\PHQW RSWLPLVP PD\ EH QHFHVVDU\ WR PDLQWDLQ SV\FKRn ORJLFDO KHDOWK 6XEMHFWV LQ ERWK JURXSV UHVSRQGHG VLPLODUO\ WR WKH VWDWHPHQW HQMR\ OHDGLQJ RWKHU SHRSOH 0RVW DJUHHG DXWRHYROXWLRQDU\ DQG PRGDOVf RU ZHUH XQFHUWDLQ YV f 7ZR PRGDO VXEMHFWV UHJLVWHUHG GLVDJUHHPHQW ,W LV GLIILFXOW WR GHWHUPLQH ZKDW VKRXOG EH H[SHFWHG KHUH 0DVORZ f IHOW WKDW VHOIDFWXDOL]LQJ SHRSOH KDYH QR JUHDW QHHG WR OHDG RWKHUV EXW WKH\ DOVR FDQ DFFHSW WKH UHVSRQVLELOLW\ QHFHVVDU\ WR FRPSOHWH D WDVN ,W VHHPV WKDW PRVW SV\FKRORJLFDOO\ KHDOWK\ SHRSOH FDQ DFFHSW OHDGHUVKLS DQG HQMR\ LW %HFDXVH RI WKHLU FRPPXQLW\ VHUYLFH H[SHULHQFH

PAGE 104

DXWRHYROXWLRQDU\ VXEMHFWV PD\ KDYH PRUH RSSRUWXQLWLHV IRU OHDGHUVKLS DFWLYLWLHV 9LVXDO LQVSHFWLRQ WR WKH RSHQHQGHG TXHVWLRQV SUHVHQWHG LQ $SSHQGL[ ( VXSSRUW PXFK RI ZKDW KDV EHHQ DOUHDG\ VWDWHG %RWK JURXSV SRVVHVVHG D YDULHW\ RI SHUVRQDO TXDOLWLHV WKDW WKH\ UHSRUWHG ZKHQ DVNHG :KDW GR \RX OLNH DERXW \RXUVHOI" -DKRGD f 2WWR f WKH 5RJHUV'\PRQG *URXS f 5RJHUV f &RPEV DQG 6Q\JJ f 0XUSK\ f DQG 0RXVWDNDV f DUH DPRQJ WKH PDQ\ WR QRWH WKH UHODWLRQn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n YLFWLRQf WHPSHU DQG VWXEERUQ RU LQWROHUDQW 7KH ZULWHUnV VXSHUYLVRU\ FKDLUPDQ FDWHJRUL]HG LW DSSURSULDWHO\ E\ VD\LQJ WKDW WKH DXWRHYROXWLRQDU\ VXEMHFWV OLVWHG D VLQ RI RPLVVLRQ ZKLOH WKH PRGDO VXEMHFWV OLVWHG D VLQ RI FRPPLVVLRQ ,W VHHPV WKDW DXWRHYROXWLRQDU\ SHUVRQV FDQ LGHQWLI\ DQG LQWHJUDWH WKRVH DUHDV RI WKH SHUVRQDOLW\ WKDW FRXOG XVH

PAGE 105

PRGLILFDWLRQ DQG \HW QRW EH RYHUO\WKUHDWHQHG RU LQDGHTXDWH EHFDXVH RI WKHP 7KLV LGHD ZDV VXSSRUWHG E\ &RPEV f ZKR IHOW WKDW 7KH KHDOWK\ SHUVRQ ZKR VHHV KLPVHOI DV DGHTXDWH LV QRW HDVLO\ WKUHDWHQHG DQG FDQ DIIRUG WR OLYH DGYHQWXURXVO\ DQG FUHDWLYHO\ TXRWHG LQ 3XWWLFN S f :KHQ DVNHG KRZ WKH\ EHFDPH WKH W\SH RI SHUVRQ WKDW WKH\ DUH DXWRHYROXWLRQDU\ VXEMHFWV ZHUH WZLFH DV OLNHO\ WR FLWH WKH LQIOXHQFH RI SDUHQWV DQG IDPLO\ 7KH\ DOVR FLWHG HGXFDWLRQ DQG WKHLU SRVLWLYH DWWLWXGHV DQG HIIRUW DV EHLQJ LPSRUWDQW 0RGDO VXEMHFWV WRR VWDWHG WKH LPSRUWDQFH RI IDPLO\ LQ WKHLU GHYHORSPHQW PRGDOV YV DXWRHYROXWLRQn DU\f 7KH VHFRQG PRVW IUHTXHQW DQVZHU JLYHQ E\ PRGDO SHRSOH ZDV VRPH QHJDWLYH H[SHULHQFH UHVSRQVHVf ,W VHHPV WKDW WKH DXWRHYROXWLRQDU\ SHUVRQV KDYH KDG PRUH SRVLWLYH H[SHULHQFHV WKDW WKH\ DWWULEXWH WR WKHLU SUHVHQW VWDWH RI EHLQJ :KLOH WKH FXUUHQW GDWD RQO\ KLQWV DW WKLV WKLV LV LQ JHQHUDO DJUHHPHQW ZLWK /DQGVPDQ f ZKR KDV VWUHVVHG WKH LPSRUWDQFH RI D IRXQGDWLRQ RI HDUO\ SRVLWLYH KXPDQ H[SHULHQFH S f 0DVORZ f SRVWXODWHG WKDW PHWDPRWLYDWHG VHOIDFWXDOL]LQJ SHRSOH ZHUH WKH EHVW SHUVRQV IRU WKHLU SDUWLFXODU MRE DQG WKDW WKH\ ZRXOG KDYH WURXEOH LPDJLQLQJ WKHPVHOYHV LQ RWKHU SURIHVVLRQV 7KH ILUVW SDUW RI WKH TXHVWLRQQDLUH 7DEOH f VKRZHG QR GLIIHUHQFHV LQ WKDW ERWK JURXSV HQMR\HG WKHLU MREV :KHQ DVNHG WR QDPH DQ DOWHUQDWH MRE RU SURIHVVLRQ PRGDO VXEMHFWV JDYH DQRWKHU VSHFLILF

PAGE 106

MRE RU SURIHVVLRQ 2QO\ DXWRHYROXWLRQDU\ VXEMHFWV QDPHG DQ DOWHUQDWH MRE 7ZR PRGDOV UHVSRQGHG ZLWK WKH VDPH RU YHU\ VLPLODU MREV ZKLOH VL[ DXWRHYROXWLRQDU\ VXEMHFWV UHVSRQGHG LQ WKLV IDVKLRQ 2QH PRGDO VXEMHFW DQG WZR DXWRn HYROXWLRQDU\ RQHV JDYH QR UHVSRQVH 7KLV GDWD WHQGV WR VXSSRUW 0DVORZn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f /DQGVPDQ f 3ULYHWWH f DQG 3XWWLFN f KDYH DOO GLVFXVVHG WKH VHQVH RI PLVVLRQ WKDW DFFRPSDQLHV KLJKHU OHYHOV RI IXQFWLRQLQJ ,Q DGGLWLRQ WR LPSURYLQJ WKH HQYLURQPHQW FHUWDLQ DXWRHYROXWLRQDU\ VXEMHFWV f DFWXDOO\ OLVWHG LW DV WKHLU GXW\ DV UHVSRQVLEOH FLWL]HQV ,W VHHPV WKDW WKHLU SHUVRQDO UHZDUG FRPHV IURP WKHLU DFWLRQ XSRQ WKH HQYLURQPHQW DQG LQ IXOILOOLQJ WKHLU VHQVH RI GXW\ 6XEMHFWV ZHUH SXUSRVHO\ PDWFKHG IRU DJH 7KH YDULDEOHV RI VH[ PDULWDO VWDWXV UDFH DQG UHOLJLRQ ZHUH DSSUR[LPDWHO\

PAGE 107

HTXDO IRU ERWK JURXSV 7KH JURXSV H[KLELWHG YLWDO GLIIHUn HQFHV LQ HGXFDWLRQDO OHYHO DQG VDODU\ -XVW DV HDUO\ SRVLWLYH H[SHULHQFHV PD\ EH IDFLOLWDWLYH WR SV\FKRORJLFDO KHDOWK VR WRR PD\ D TXDOLW\ HGXFDWLRQ IUHH WKH SHUVRQ HVSHFLDOO\ LQ ILQDQFLDO WHUPV WR SXUVXH SV\FKRORJLFDO KHDOWK 7KLV UHODWHV WR 0DVORZnV QHHG KLHUDUFK\ D Ef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n PLQH LI WKHVH KLJKHU VWDWHV RI IXQFWLRQLQJ DUH GHVLUDEOH JRDOV IRU DOO SHUVRQV 5HPHPEHU WKDW RQO\ D IHZ GHFDGHV DJR +LWOHU WRR VRXJKW VXSHULRU SHRSOH ,QGLYLGXDO IUHHGRP PXVW UHPDLQ D SDUDPRXQW LVVXH 6SHFLILF UHVHDUFK LV QHHGHG WR GHWHUPLQH ZK\ WKHVH

PAGE 108

VXEMHFWV VKRZHG KLJKHU OHYHOV RI XQGHUVWDQGLQJ DV ZHOO DV ORZHU QHHGV IRU RUGHU DQG VRFLDO UHFRJQLWLRQ 7KHLU DSSDUHQW VNLOOV LQ SUREOHP VROYLQJ DQG FRJQLWLYH IXQFWLRQn LQJ DOVR GHVHUYH IXUWKHU H[DPLQDWLRQ 5HSOLFDWLRQ RI WKLV VWXG\ XVLQJ VXEMHFWV ZKR DUH PRUH KLJKO\ DXWRHYROYLQJ DQG ZLWK JUHDWHU QXPEHUV RI VXEMHFWV LV DOVR LPSRUWDQW ,W ZRXOG EH LQWHUHVWLQJ WR FRPSDUH WKHVH JURXSV ZLWK ORZ IXQFWLRQLQJ SHRSOH DQG WR H[DPLQH YHU\ KLJK OHYHOV RI DXWRn HYROXWLRQ 7KH SUHVHQW UHVHDUFK VWXGLHG SHRSOH ZKR WKH DXWKRU IHOW ZHUH H[KLELWLQJ PRGHUDWH OHYHOV RI DXWRHYROXn WLRQ )RU FHUWDLQ HYHQ WKH FRPSDULVRQ JURXS ZDV DW WLPHV UHVSRQGLQJ LQ ZD\V WKDW PXVW EH WHUPHG DXWRHYROXWLRQDU\ +LJKOHYHO DXWRHYROXWLRQDU\ SHRSOH SUREDEO\ FRPSULVH RQO\ D IUDFWLRQ RI RQH SHUFHQW RI WKH SRSXODWLRQ /LNHZLVH DOO SHRSOH PD\ SRVVHVV VRPH DXWRHYROXWLRQDU\ WHQGHQFLHV )XUWKHU LQYHVWLJDWLRQ RI FUHDWLYLW\ LQ SV\FKRORJLFDOO\ KHDOWK\ SRSXODWLRQV LV QHHGHG DV DUH UHVHDUFK VWUDWHJLHV WR GHWHUPLQH LI VWURQJ UHODWLRQVKLSV H[LVW EHWZHHQ DXWRn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

PAGE 109

6XPPDU\ 7KH SUHVHQW VWXG\ H[SDQGHG FXUUHQW WKHRULHV RI SV\FKRORJLFDO KHDOWK E\ GHILQLQJ DQG LGHQWLI\LQJ SHUVRQV ZKR ZHUH SURSRVHG WR EH DXWRHYROXWLRQDU\ $XWRHYROXn WLRQDU\ SHUVRQV ZHUH GHILQHG DV WKRVH ZKRVH DXWR RU VHOI LV LQ D VWDWH RI FRQVWDQW FKDQJH 7KH\ ZHUH VHHQ DV IXOO\IXQFWLRQLQJ RU VHOIDFWXDOL]LQJ ,Q WKH VHFRQG VHQVH WKHVH SHRSOH ZHUH VHHQ DV DFWLQJ XSRQ WKH HQYLURQn PHQW SHUVRQV WKLQJV HWFf LQ DQ DWWHPSW WR DIIHFW DGDSWLYH FKDQJH 6XEMHFWV ZHUH VHFXUHG IURP WKH *DLQHVYLOOH 6XQn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n WLRQDU\ VXEMHFWV GLVSOD\HG D ORZHU QHHG IRU RUGHU DQG VRFLDO UHFRJQLWLRQ DQG D JUHDWHU QHHG IRU XQGHUVWDQGLQJ 7KHVH VXEMHFWV ZHUH DOVR VLJQLILFDQWO\ EHWWHU DW SURYLGLQJ D JUHDWHU QXPEHU RI YDOLG PHDQV WR VROYH UHDOOLIH SUREOHP VLWXDWLRQV DV SUHVHQWHG LQ WKH 0HDQV(QG 3URFHGXUH $

PAGE 110

TXHVWLRQQDLUH GHVLJQHG WR H[DPLQH FHUWDLQ DWWLWXGHV DQG EHKDYLRUV WKDW SUHYLRXV WKHRULVWV KHOG FRQFHUQLQJ SRVLWLYH KHDOWK ZDV DOVR LQFOXGHG &HUWDLQ LWHPV VHHPHG WR VXSSRUW SUHYLRXV WKHRULHV ZKLOH RWKHUV VHHP ZRUWK\ RI IXUWKHU UHVHDUFK &RQFOXVLRQV 7KHUH LV VWLOO PXFK UHVHDUFK WR EH GRQH LQ WKH ILHOG RI SRVLWLYH KHDOWK 7KLV VWXG\ DWWHPSWHG WR DYRLG WKH YDOXH GLOHPPD FLWHG E\ -DKRGD f DQG 6PLWK f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

PAGE 111

5()(5(1&(6 $OOSRUW : 3HUVRQDOLW\ $ SV\FKRORJLFDO LQWHUSUHWDn WLRQ 1HZ
PAGE 112

&DWWHOO 5 % DQG 'UHYGDKO ( $ FRPSDULVRQ RI WKH SHUVRQDOLW\ SURILOHV RI HPLQHQW UHVHDUFKHUV ZLWK WKRVH RI HPLQHQW WHDFKHUV DQG DGPLQLVWUDWRUV DQG WKH JHQHUDO SXEOLF %ULWLVK -RXUQDO RI 3V\FKRORJ\ f &DWWHOO 5 % 3HUVRQDOLW\ DQG PRWLYDWLRQ 6WUXFWXUH DQG PHDVXUHPHQW 1HZ
PAGE 113

SV\FKLDWU\ DQG SV\FKRORJ\ 1HZ
PAGE 114

+DUWPDQQ + 2Q UDWLRQDO DQG LUUDWLRQDO DFWLRQ ,Q *H]D 5RKHLP (Gf 3V\FKRDQDO\VLV DQG WKH VRFLDO VFLHQFHV 1HZ
PAGE 115

-RXUDUG 6 0 7KH WUDQVSDUHQW VHOI VHOI GLVFORVXUH DQG ZHOOEHLQJ 3ULQFHWRQ 9DQ 1RVWUDQG -RXUDUG 6 0 (Gf 7R EH RU QRW WR EH ([LVWHQWLDO SV\FKRORJLFDO SHUVSHFWLYHV RQ WKH VHOI *DLQHVYLOOH )OD 8QLYHUVLW\ RI )ORULGD 0RQRJUDSKV QR -RXUDUG 6 0 'LVFORVLQJ PDQ WR KLPVHOI 3ULQFHWRQ 9DQ 1RVWUDQG -XQJ & $QDO\WLFDO SV\FKRORJ\ LWV WKHRU\ DQG SUDFn WLFH 7KH 7DYLVWRFN /HFWXUHVf 1HZ
PAGE 116

/HDFK 0HDQLQJ DQG FRUUHODWHV RI SHDN H[SHULHQFH 'RFWRUDO GLVVHUWDWLRQ 8QLYHUVLW\ RI )ORULGD /HSLQH / 7 DQG &KRUGRUNRII % *RDO VHWWLQJ EHKDYLRU H[SUHVVHG IHHOLQJV RI DGHTXDF\ DQG WKH FRUUHVSRQn GHQFH EHWZHHQ SHUFHLYHG DQG LGHDO VHOI -RXUQDO RI &OLQLFDO 3V\FKRORJ\ /RYHLQJHU &RQIOLFW RI FRPPLWPHQW LQ FOLQLFDO UHVHDUFK $PHULFDQ 3V\FKRORJLVW B 0DVORZ $ + 6HOIDFWXDOL]LQJ SHRSOH $ VWXG\ RI SV\FKRn ORJLFDO KHDOWK 3HUVRQDOLW\ 6\PSRVLD 6\PSRVLXP RQ 9DOXHV 1HZ
PAGE 117

0DVORZ $ + 0HQWDO KHDOWK DQG UHOLJLRQ ,Q 5HOLJLRQ VFLHQFH DQG PHQWDO KHDOWK $FDGHP\ RI 5HOLJLRQ DQG 0HQWDO +HDOWK 1HZ
PAGE 118

0DVORZ $ + )XUWKHU QRWHV RQ WKH 3V\FKRORJ\ RI %HLQJ -RXUQDO RI +XPDQLVWLF 3V\FKRORJ\ Ef 0DVORZ $ + 7KH QHHG IRU FUHDWLYH SHRSOH 3HUVRQQHO $GPLQLVWUDWLRQ B 0DVORZ $ + 6\QDQRQ DQG (XSV\FKLD -RXUQDO RI +XPDQLVWLF 3V\FKRORJ\ B Df 0DVORZ $ + $ WKHRU\ RI PHWDPRWLYDWLRQ 7KH ELRORJLFDO URRWLQJ RI WKH YDOXHOLIH -RXUQDO RI +XPDQLVWLF 3V\FKRORJ\ B! Ef 0DVORZ $ + +XPDQ SRWHQWLDOLWLHV DQG WKH KHDOWK\ VRFLHW\ ,Q + 2WWR (Gf +XPDQ SRWHQWLDOLWLHV 6W /RXLV 02 :DUUHQ + *UHHQ ,QF 0DVORZ $ + 7KH IDUWKHU UHDFKHV RI KXPDQ QDWXUH -RXUQDO RI 7UDQVSHUVRQDO 3V\FKRORJ\ Df 0DVORZ $ + $ KROLVWLF DSSURDFK WR FUHDWLYLW\ ,Q & : 7D\ORU (Gf $ &OLPDWH IRU &UHDWLYLW\ 5HSRUWV RI WKH 6HYHQWK 1DWLRQDO 5HVHDUFK &RQIHUHQFH RQ &UHDWLYLW\ 8QLYHUVLW\ RI 8WDK 'HF 6DOW /DNH &LW\ 8WDK Ef 0DVORZ $ + DQG &KLDQJ + 0 7KH KHDOWK\ SHUVRQDOLW\ 5HDGLQJV 1HZ
PAGE 119

0RXVWDNDV & ( /RQHOLQHVV 1HZ
PAGE 120

5RJHUV ( 5 &OLHQWFHQWHUHG WKHUDS\ %RVWRQ +RXJKWRQ 0LIIOLQ 5RJHUV & 5 DQG '\PRQG 5 ) 3V\FKRWKHUDS\ DQG 3HUVRQDOn LW\ FKDQJH &KLFDJR 8QLYHUVLW\ RI &KLFDJR 3UHVV 5RJHUV & 5 $ WKHUDSLVWV YLHZ RI WKH JRRG OLIH 7KH IXOO\ IXQFWLRQLQJ SHUVRQ 9RO
PAGE 121

6FKHIIH + 7KH DQDO\VLV RI YDULDQFH 1HZ
PAGE 122

UHVHDUFK VWXGLHV LQ FOLHQWFHQWHUHG DSSURDFK &KLFDJR 8QLYHUVLW\ RI &KLFDJR 3UHVV :ROPDQ % % (Gf 'LFWLRQDU\ RI EHKDYLRUDO VFLHQFH 1HZ
PAGE 123

$33(1',; $ '2 <28 $&725 5($&7" ZDONHG ZLWK P\ IULHQG D 4XDNHU WR WKH QHZVVWDQG WKH RWKHU QLJKW DQG KH ERXJKW D SDSHU WKDQNLQJ WKH QHZVLH SROLWHO\ 7KH QHZVLH GLGQnW HYHQ DFNQRZOHGJH LW $ VXOOHQ IHOORZ LVQnW KH" FRPPHQWHG 2K KHnV WKDW ZD\ HYHU\ QLJKW VKUXJJHG P\ IULHQG 7KHQ ZK\ GR \RX FRQWLQXH WR EH VR SROLWH WR KLP" DVNHG :K\ QRW" LQTXLUHG P\ IULHQG :K\ VKRXOG OHW +,0 GHFLGH KRZ ,nP JRLQJ WR DFW" $V WKRXJKW DERXW WKLV LQFLGHQW ODWHU LW RFFXUUHG WR PH WKDW P\ IULHQG EHOLHYHG WKDW WKH PRVW LPSRUWDQW ZRUG ZDV DFW 0\ IULHQG $&76 WRZDUG SHRSOH PRVW RI XV 5($&7 WRZDUG WKHP +H KDV D VHQVH RI LQQHU EDODQFH ZKLFK LV ODFNLQJ LQ PRVW RI XV KH NQRZV ZKR KH LV ZKDW KH VWDQGV IRU KRZ KH VKRXOG EHKDYH +H UHIXVHV WR UHWXUQ LQFLYLOLW\ IRU LQFLYLOn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n DSSURYDO &ULWLFLVP GHSUHVVHV KLP PRUH WKDQ LW VKRXOG EHFDXVH LW FRQILUPV KLV RZQ VKDN\ RSLQLRQ RI KLPVHOI 6QXEV KXUW KLP DQG WKH PHUHVW VXVSLFLRQ RI XQSRSXODULW\ LQ DQ\ TXDUWHU URXVHV KLP WR ELWWHUQHVV ,OO

PAGE 124

$ VHUHQLW\ RI VSLULW FDQQRW EH DFKLHYHG XQWLO ZH EHFRPH WKH PDVWHUV RI RXU RZQ DFWLRQV DQG DWWLWXGHV 7R OHW DQRWKHU GHWHUPLQH ZKHWKHU ZH VKDOO EH UXGH RU JUDFLRXV HODWHG RU GHSUHVVHG LV WR UHOLQTXLVK FRQWURO RYHU RXU RZQ SHUVRQDOLWLHV ZKLFK LV XOWLPDWHO\ DOO ZH SRVVHVV 7KH RQO\ WUXH SRVVHVVLRQ LV VHOISRVVHVVLRQ 6LGQH\ +DUULV &KLFDJR 'DLO\ 1HZV $%

PAGE 125

$33(1',; % 3(5621$/,7< 5(6($5&+ )250 6&$/(6 '(6&5,37,21 2) 6&$/( +,*+ 6&25(5 '(),1,1* 75$,7 $'-(&7,9(6 $FKLHYHPHQW $VSLUHV WR DFFRPSOLVK GLIILFXOW WDVNV PDLQn WDLQV KLJK VWDQGDUGV DQG LV ZLOOLQJ WR ZRUN WRn ZDUG GLVWDQW JRDOV UHVSRQGV SRVLWLYHO\ WR FRPSHWLWLRQ ZLOOLQJ WR SXW IRUWK HIIRUW WR DWWDLQ H[FHOOHQFH VWULYLQJ DFFRPn SOLVKLQJ FDSDEOH SXUSRVHIXO DWWDLQn LQJ LQGXVWULRXV DFKLHYLQJ DVSLULQJ HQWHUSULVLQJ VHOIn LPSURYLQJ SURGXFn WLYH GULYLQJ DPELWLRXV UHVRXUFH IXO FRPSHWLWLYH $IILOLDWLRQ (QMR\V EHLQJ ZLWK IULHQGV DQG SHRSOH LQ JHQHUDO DFFHSWV SHRSOH UHDGLO\ PDNHV HIIRUWV WR ZLQ IULHQGVKLSV DQG PDLQWDLQ DVVRFLDWLRQV ZLWK SHRSOH QHLJKERUO\ OR\DO ZDUP DPLFDEOH JRRGQDWXUHG IULHQGO\ FRPSDQLRQ DEOH JHQLDO DIIDn EOH FRRSHUDWLYH JUHJDULRXV KRVSLn WDEOH VRFLDEOH DIILOLDWLYH JRRG ZLOOHG $JJUHVVLRQ (QMR\V FRPEDW DQG DUJXn PHQW HDVLO\ DQQR\HG VRPHWLPHV ZLOOLQJ WR KXUW SHRSOH WR JHW KLV ZD\ PD\ VHHN WR JHW HYHQ ZLWK SHRSOH ZKRP KH SHUFHLYHV DV KDYLQJ KDUPHG KLP DJJUHVVLYH TXDUUHO VRPH LUULWDEOH DUJXPHQWDWLYH WKUHDWHQLQJ DWWDFN LQJ DQWDJRQLVWLF SXVK\ KRWWHPSHUHG HDVLO\DQJHUHG KRVWLOH UHYHQJHIXO EHOOLJHUHQW EOXQW UHWDOLDWLYH $XWRQRP\ 7ULHV WR EUHDN DZD\ IURP UHVWUDLQWV FRQn ILQHPHQW RU UHVWULFn WLRQV RI DQ\ NLQG HQMR\V EHLQJ XQDWWDFKHG IUHH QRW WLHG WR XQPDQDJHDEOH IUHH VHOIUHOLDQW LQGHn SHQGHQW DXWRQRPRXV UHEHOOLRXV XQFRQn VWUDLQHG LQGLYLn GXDOLVWLF

PAGE 126

'(6&5,37,21 2) 6&$/( +,*+ 6&25(5 '(),1,1* 75$,7 $'-(&7,9(6 SHRSOH SODFHV RU REOLJDWLRQV PD\ EH UHEHOOLRXV ZKHQ IDFHG ZLWK UHVWUDLQWV 'RPLQDQFH $WWHPSWV WR FRQWURO KLV HQYLURQPHQW DQG WR LQIOXHQFH RU GLUHFW RWKHU SHRSOH H[SUHVVHV RSLQLRQV IRUFHIXOO\ HQMR\V WKH UROH RI OHDGHU DQG PD\ DVVXPH LW VSRQWDQHRXVO\ (QGXUDQFH :LOOLQJ WR ZRUN ORQJ KRXUV GRHVQnW JLYH XS TXLFNO\ RQ D SUREOHP SHUVHYHULQJ HYHQ LQ WKH IDFH RI JUHDW GLIILn FXOW\ SDWLHQW DQG XQUHOHQWLQJ LQ KLV ZRUN KDELWV ([KLELWLRQ :DQWV WR EH WKH FHQWHU RI DWWHQWLRQ HQMR\V KDYLQJ DQ DXGLHQFH HQn JDJHV LQ EHKDYLRU ZKLFK ZLQV WKH QRWLFH RI RWKHUV PD\ HQMR\ EHLQJ GUDPDWLF RU ZLWW\ +DUPDYRLGDQFH 'RHV QRW HQMR\ H[FLWLQJ DFWLYLWLHV HVSHFLDOO\ LI GDQJHU LV LQYROYHG DYRLGV ULVN RI ERGLO\ KDUP VHHNV WR PD[Ln PL]H SHUVRQDO VDIHW\ XQJRYHUQDEOH VHOI GHWHUPLQHG QRQ FRQIRUPLQJ XQFRPn SOLDQW XQGRPLQDWHG UHVLVWDQW ORQH ZROI JRYHUQLQJ FRQWUROn OLQJ FRPPDQGLQJ GRPLQHHULQJ LQIOXn HQWLDO SHUVXDVLYH IRUFHIXO DVFHQGDQW OHDGLQJ GLUHFWLQJ GRPLQDQW DVVHUWLYH DXWKRULWDWLYH SRZHUn IXO VXSHUYLVLQJ SHUVLVWHQW GHWHUn PLQHG VWHDGIDVW HQGXULQJ XQIDOWHUn LQJ SHUVHYHULQJ XQUHPLWWLQJ UHOHQWn OHVV WLUHOHVV GRJJHG HQHUJHWLF KDV VWDPLQD VWXUG\ ]HDORXV GXUDEOH FRORUIXO HQWHUWDLQn LQJ XQXVXDO VSHOOn ELQGLQJ H[KLELWLRQ LVWLF FRQVSLFXRXV QRWLFHDEOH H[SUHVn VLYH RVWHQWDWLRXV LPPRGHVW GHPRQVWUDn WLYH IODVK\ GUDn PDWLF SUHWHQWLRXV VKRZ\ IHDUIXO ZLWKGUDZV IURP GDQJHU VHOI SURWHFWLQJ SDLQ DYRLGDQW FDUHIXO FDXWLRXV VHHNV VDIHW\ WLPRURXV DSSUHKHQVLYH SUHn FDXWLRQDU\ XQDGYHQn WXURXV DYRLGV ULVNV DWWHQWLYH WR GDQJHU VWD\V RXW RI KDUPnV ZD\ YLJLODQW

PAGE 127

6&$/( ,PSXOVLYLW\ 1XUWXUDQFH 2UGHU 3OD\ 6RFLDO 5HFRJQLWLRQ '(6&5,37,21 2) +,*+ 6&25(5 '(),1,1* 75$,7 $'-(&7,9(6 7HQGV WR DFW RQ WKH VSXU RI WKH PRPHQW DQG ZLWKRXW GHOLEHUDn WLRQ JLYHV YHQW UHDGLO\ WR IHHOLQJV DQG ZLVKHV VSHDNV IUHHO\ PD\ EH YRODWLOH LQ HPRWLRQDO H[SUHVVLRQ *LYHV V\PSDWK\ DQG FRPn IRUW DVVLVWV RWKHUV ZKHQHYHU SRVVLEOH LQWHUHVWHG LQ FDULQJ IRU FKLOGUHQ WKH GLVDEOHG RU WKH LQILUP RIIHUV D KHOSLQJ KDQG WR WKRVH LQ QHHG UHDGLO\ SHUIRUPV IDYRUV IRU RWKHUV &RQFHUQHG ZLWK NHHSLQJ SHUVRQDO HIIHFWV DQG VXUn URXQGLQJV QHDW DQG RUJDQL]HG GLVOLNHV FOXWWHU FRQIXVLRQ ODFN RI RUJDQL]DWLRQ LQWHUn HVWHG LQ GHYHORSLQJ PHWKRGV IRU NHHSLQJ PDWHULDOV PHWKRGLFDOO\ RUJDQL]HG 'RHV PDQ\ WKLQJV MXVW IRU IXQ VSHQGV D JRRG GHDO RI WLPH SDUWLFLSDn WLQJ LQ JDPHV VSRUWV VRFLDO DFWLYLWLHV DQG RWKHU DPXVHPHQWV HQMR\V MRNHV DQG IXQQ\ VWRULHV PDLQWDLQV D OLJKWKHDUWHG HDV\JRLQJ DWWLWXGH WRZDUG OLIH KDVW\ UDVK XQLQn KLELWHG VSRQWDn QHRXV UHFNOHVV LUUHVSRQVLEOH TXLFNWKLQNLQJ PHUFXULDO LPSDn WLHQW LQFDXWLRXV KXUULHG LPSXOVLYH IRROKDUG\ H[FLWDn EOH LPSHWXRXV V\PSDWKHWLF SDWHUn QDO KHOSIXO EHQHn YROHQW HQFRXUDJLQJ FDULQJ SURWHFWLYH FRPIRUWLQJ PDWHUQDO VXSSRUWLQJ DLGLQJ PLQLVWHULQJ FRQn VROLQJ FKDULWDEOH DVVLVWLQJ QHDW RUJDQL]HG WLG\ V\VWHPDWLF ZHOORUGHUHG GLVFLSOLQHG SURPSW FRQVLVWHQW RUGHUO\ FOHDQ PHWKRGLFDO VFKHGXOHG SODQIXO XQYDU\LQJ GHOLEHUn DWH SOD\IXO MRYLDO MROO\ SOHDVXUHn VHHNLQJ PHUU\ ODXJKWHUORYLQJ MRNLQJ IULYRORXV SUDQNLVK VSRUWLYH PLUWKIXO IXQORYLQJ JOHHIXO FDUHIUHH EOLWKH 'HVLUHV WR EH KHOG LQ KLJK HVWHHP E\ DFTXDLQn WDQFHV FRQFHUQHG DERXW UHSXWDWLRQ DQG ZKDW RWKHU SHRSOH WKLQN RI KLP ZRUNV IRU WKH DSSURYDO DQG UHFRJQLWLRQ RI RWKHUV DSSURYDO VHHNLQJ SURSHU ZHOOEHKDYHG VHHNV UHFRJQLWLRQ FRXUWHRXV PDNHV JRRG LPSUHVVLRQ VHHNV UHVSHFWDELOLW\ DFFRP PRGDWLQJ VRFLDOO\ SURSHU REOLJLQJ

PAGE 128

6&$/( 8QGHUn VWDQGLQJ ,QIUHTXHQF\ '(6&5,37,21 2) +,*+ 6&25(5 :DQWV WR XQGHUVWDQG PDQ\ DUHDV RI NQRZOHGJH YDOXHV V\QWKHVLV RI LGHDV YHULILDEOH JHQHUDOL]DWLRQ ORJLFDO WKRXJKW SDUWLFXn ODUO\ ZKHQ GLUHFWHG DW VDWLVI\LQJ LQWHOOHFWXDO FXULRVLW\ 5HVSRQGV LQ LPSODXVLEOH RU SVHXGRUDQGRP PDQQHU SRVVLEO\ GXH WR FDUHOHVVn QHVV SRRU FRPSUHKHQVLRQ SDVVLYH QRQFRPSOLDQFH FRQIXVLRQ RU JURVV GHYLDn WLRQ '(),1,1* 75$,7 $'-(&7,9(6 DJUHHDEOH VRFLDOO\ VHQVLWLYH GHVLURXV RI FUHGLW EHKDYHV DSSURSULDWHO\ LQTXLULQJ FXULRXV DQDO\WLFDO H[SORUn LQJ LQWHOOHFWXDOO\ UHIOHFWLYH LQFLVLYH LQYHVWLJDWLYH SURELQJ ORJLFDO VFUXWLQL]LQJ WKHRUHWLFDO DVWXWH UDWLRQDO LQTXLVLn WLYH

PAGE 129

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f 7KH 8QLWHG 6WDWHV DQG 5XVVLD KDYH MXVW DERXW QRWKLQJ LQ FRPPRQ f 7KH KLJKHVW IRUP RI JRYHUQPHQW LV D GHPRFUDF\ DQG WKH KLJKHVW IRUP RI GHPRFUDF\ LV D JRYHUQPHQW UXQ E\ WKRVH ZKR DUH PRVW LQWHOOLJHQW f (YHQ WKRXJK IUHHGRP RI VSHHFK IRU DOO JURXSV LV D ZRUWKZKLOH JRDO LW LV XQIRUWXQDWHO\ QHFHVVDU\ WR UHVWULFW WKH IUHHGRP RI FHUWDLQ SROLWLFDO JURXSV f ,W LV RQO\ QDWXUDO WKDW D SHUVRQ ZRXOG KDYH D PXFK EHWWHU DFTXDLQWDQFH ZLWK LGHDV WKDW WKH\ EHOLHYH LQ WKDQ ZLWK LGHDV WKH\ RSSRVH f 0DQ RQ KLV RZQ LV D KHOSOHVV DQG PLVHUDEOH FUHDWXUH f )XQGDPHQWDOO\ WKH ZRUOG ZH OLYH LQ LV D SUHWW\ ORQHVRPH SODFH f 0RVW SHRSOH MXVW GRQnW JLYH D GDPQ IRU RWKHUV

PAGE 130

f ,nG OLNH LW LI FRXOG ILQG VRPHRQH ZKR ZRXOG WHOO PH KRZ WR VROYH P\ SHUVRQDO SUREOHPV f ,W LV RQO\ QDWXUDO IRU D SHUVRQ WR EH IHDUIXO RI WKH IXWXUH f 7KHUH LV VR PXFK WR EH GRQH DQG VR OLWWOH WLPH WR GR LW LQ f 2QFH JHW ZRXQG XS LQ D KHDWHG GLVFXVVLRQ MXVW FDQnW VWRS f ,Q D GLVFXVVLRQ RIWHQ ILQG LW QHFHVVDU\ WR UHSHDW P\VHOI VHYHUDO WLPHV WR PDNH VXUH DP EHLQJ XQGHUn VWRRG f ,W LV EHWWHU WR EH D GHDG KHUR WKDQ WR EH D OLYH FRZDUG f ,Q D KHDWHG GLVFXVVLRQ JHQHUDOO\ EHFRPH VR DEVRUEHG LQ ZKDW DP JRLQJ WR VD\ WKDW IRUJHW WR OLVWHQ WR ZKDW WKH RWKHUV DUH VD\LQJ f :KLOH GRQnW OLNH WR DGPLW WKLV HYHQ WR P\VHOI P\ VHFUHW DPELWLRQ LV WR EHFRPH D JUHDW SHUVRQ OLNH (LQVWHLQ RU %HHWKRYHQ RU 6KDNHVSHDUH f 7KH PDLQ WKLQJ LQ OLIH LV IRU D SHUVRQ WR ZDQW WR GR VRPHWKLQJ LPSRUWDQW f ,I JLYHQ WKH FKDQFH ZRXOG GR VRPHWKLQJ RI JUHDW EHQHILW WR WKH ZRUOG f ,Q WKH KLVWRU\ RI PDQNLQG WKHUH KDYH SUREDEO\ EHHQ MXVW D KDQGIXO RI UHDOO\ JUHDW WKLQNHUV f 7KHUH DUH D QXPEHU RI SHRSOH KDYH FRPH WR KDWH EHFDXVH RI WKH WKLQJV WKH\ VWDQG IRU f $ SHUVRQ ZKR GRHV QRW EHOLHYH LQ VRPH JUHDW FDXVH KDV QRW UHDOO\ OLYHG f ,W LV RQO\ ZKHQ D SHUVRQ GHYRWHV KLPVHOI WR DQ LGHDO RU FDXVH WKDW OLIH EHFRPHV PHDQLQJIXO f 2I DOO WKH GLIIHUHQW SKLORVRSKLHV WKDW H[LVW LQ WKLV ZRUOG WKHUH LV SUREDEO\ RQO\ RQH ZKLFK LV FRUUHFW f $ SHUVRQ ZKR JHWV HQWKXVLDVWLF DERXW WRR PDQ\ FDXVHV LV OLNHO\ WR EH D SUHWW\ ZLVK\ZDVK\ VRUW RI SHUVRQ

PAGE 131

f 7R FRPSURPLVH ZLWK RXU SROLWLFDO RSSRQHQWV LV GDQJHURXV EHFDXVH LW XVXDOO\ OHDGV WR WKH EHWUD\DO RI RXU RZQ VLGH f :KHQ LW FRPHV WR GLIIHUHQFHV RI RSLQLRQ LQ UHOLn JLRQ ZH PXVW EH FDUHIXO QRW WR FRPSURPLVH ZLWK WKRVH ZKR EHOLHYH GLIIHUHQWO\ IURP WKH ZD\ ZH GR f ,Q WLPHV OLNH WKHVH D SHUVRQ PXVW EH SUHWW\ VHOILVK LI WKH\ FRQVLGHU SULPDULO\ WKHLU RZQ KDSSLQHVV f $ JURXS ZKLFK WROHUDWHV WRR PXFK GLIIHUHQFH RI RSLQLRQ DPRQJ LWV RZQ PHPEHUV FDQQRW H[LVW IRU ORQJ f 7KH ZRUVW FULPH D SHUVRQ FRXOG FRPPLW LV WR DWWDFN SXEOLFO\ WKH SHRSOH ZKR EHOLHYH LQ WKH VDPH WKLQJ WKDW WKH\ GR f ,Q WLPHV OLNH WKHVH LW LV RIWHQ QHFHVVDU\ WR EH PRUH RQ JXDUG DJDLQVW LGHDV SXW RXW E\ SHRSOH RU JURXSV LQ RQHnV RZQ FDPS WKDQ E\ WKRVH LQ WKH RSSRVLQJ FDPS f 7KHUH DUH WZR NLQGV RI SHRSOH LQ WKLV ZRUOG WKRVH ZKR DUH IRU WKH WUXWK DQG WKRVH ZKR DUH DJDLQVW WKH WUXWK f 0\ EORRG ERLOV ZKHQHYHU D SHUVRQ VWXEERUQO\ UHIXVHV WR DGPLW WKDW WKH\nUH ZURQJ f $ SHUVRQ ZKR WKLQNV SULPDULO\ RI KLV RZQ KDSSLQHVV LV EHQHDWK FRQWHPSW f 0RVW RI WKH LGHDV WKDW JHW SULQWHG QRZDGD\V DUHQnW ZRUWK WKH SDSHU WKH\ DUH SULQWHG RQ f ,Q WKLV FRPSOLFDWHG ZRUOG RI RXUV WKH RQO\ ZD\ ZH FDQ NQRZ ZKDWnV JRLQJ RQ LV WR UHO\ RQ OHDGHUV RU H[SHUWV ZKR FDQ EH WUXVWHG f ,W LV RIWHQ GHVLUDEOH WR UHVHUYH MXGJHPHQW DERXW ZKDWnV JRLQJ RQ XQWLO RQH KDV KDG D FKDQFH WR KHDU WKH RSLQLRQV RI WKRVH RQH UHVSHFWV f ,Q WKH ORQJ UXQ WKH EHVW ZD\ WR OLYH LV WR SLFN IULHQGV DQG DVVRFLDWHV ZKRVH WDVWHV DQG EHOLHIV DUH WKH VDPH DV RQHnV RZQ f 7KH SUHVHQW LV DOO WRR RIWHQ IXOO RI XQKDSSLQHVV ,W LV RQO\ WKH IXWXUH WKDW FRXQWV

PAGE 132

f ,I D SHUVRQ LV WR DFFRPSOLVK WKHLU PLVVLRQ LQ OLIH LW LV VRPHWLPHV QHFHVVDU\ WR JDPEOH DOO RU QRWKLQJ DW DOO f 8QIRUWXQDWHO\ D JRRG PDQ\ SHRSOH ZLWK ZKRP KDYH GLVFXVVHG LPSRUWDQW VRFLDO DQG PRUDO SUREOHPV GRQnW UHDOO\ XQGHUVWDQG ZKDWnV JRLQJ RQ f 0RVW SHRSOH MXVW GRQnW NQRZ ZKDWnV JRRG IRU WKHP

PAGE 133

$33(1',; ,QVWUXFWLRQV ,Q WKLV SURFHGXUH ZH DUH LQWHUHVWHG LQ \RXU LPDJLQDWLRQ
PAGE 134

0U $ ZDV OLVWHQLQJ WR WKH SHRSOH VSHDN DW D PHHWLQJ DERXW KRZ WR PDNH WKLQJV EHWWHU LQ KLV QHLJKERUKRRG +H ZDQWHG WR VD\ VRPHWKLQJ LPSRUWDQW DQG KDYH D FKDQFH WR EH D OHDGHU WRR 7KH VWRU\ HQGV ZLWK KLP EHLQJ HOHFWHG OHDGHU DQG SUHVHQWLQJ D VSHHFK
PAGE 135

0U 3 FDPH KRPH DIWHU VKRSSLQJ DQG IRXQG WKDW KH KDG ORVW KLV QHZ ZDWFK +H ZDV YHU\ XSVHW DERXW LW 7KH VWRU\ HQGV ZLWK 0U 3 ILQGLQJ KLV ZDWFK DQG IHHOLQJ JRRG DERXW LW
PAGE 136

0U & KDG MXVW PRYHG LQ WKDW GD\ DQG GLGQnW NQRZ DQ\RQH 0U & ZDQWHG WR KDYH IULHQGV LQ WKH QHLJKERUKRRG 7KH VWRU\ HQGV ZLWK 0U & KDYLQJ PDQ\ JRRG IULHQGV DQG IHHOLQJ DW KRPH LQ WKH QHLJKERUKRRG
PAGE 137

$33(1',; ( 3OHDVH UHDG WKH IROORZLQJ TXHVWLRQV DQG DQVZHU DV DFFXUDWHO\ DV SRVVLEOH 3OHDVH WU\ WR DQVZHU DOO TXHVWLRQV 'R QRW VLJQ \RXU QDPH f $JH f 6H[ + RU ) FLUFOH RQHf f 0DULWDO VWDWXV 6LQJOH 0DUULHG 6HSDUDWHG 'LYRUFHG f 5DFH f 5HOLJLRXV SUHIHUHQFH &DWKROLF -HZLVK 3URWHVWDQW VSHFLI\f f (GXFDWLRQ FLUFOH KLJKH *UDGH 6FKRRO &ROOHJH f /LVW DQ\ GHJUHHV \RX KR :LGRZHG &RKDELWLQJ 'LYRUFHG DQG UHPDUULHG :LGRZHG DQG UHPDUULHG 1RQH 2WKHU VSHFLI\f W FRPSOHWHGf +LJK 6FKRRO *UDGXDWH3URIHVVLRQDO G HJ %$ 0$f f 3UHVHQW RFFXSDWLRQ f +RZ ORQJ KDYH \RX ZRUNHG DW WKH DERYH" f:KDW LV \RXU VDODU\ UDQJH" 2YHU 7KH IROORZLQJ VWDWHPHQWV DUH GHVLJQHG WR VHH KRZ \RX YLHZ PDQ\ DVSHFWV RI \RXU OLIH &LUFOH WKH OHWWHUV WKDW EHVW UHSUHVHQW \RXU IHHOLQJV DERXW HDFK VWDWHPHQW 7KH OHWWHUV DUH 6$ 6WURQJO\ $JUHH WKLV PHDQV WKDW \RX VWURQJO\ DJUHH ZLWK WKH VWDWHPHQW $ $JUHH WKLV PHDQV WKDW \RX JHQHUDOO\ DJUHH ZLWK WKH VWDWHPHQW

PAGE 138

8 8QFHUWDLQ WKLV PHDQV WKDW \RX DJUHH DW WLPHV DQG GLVDJUHH DW RWKHUV 6' 6WURQJO\ 'LVDJUHH WKLV PHDQV WKDW \RX VWURQJO\ GLVDJUHH ZLWK WKH VWDWHPHQW f DP D UHOLJLRXV SHUVRQ 6$ $ 8 6' f $W WLPHV HQMR\ EHLQJ DORQH 6$ $ 8 6' f DP FDSDEOH RI IRUPLQJ LQWLPDWH UHODWLRQVKLSV ZLWK RWKHUV 6$ $ 8 6' f HQMR\ P\ MRE SURIHVVLRQ RU YRFDWLRQ 6$ $ 8 6' f KDYH D JRRG VH QVH RI KXPRU 6$ $ 8 6' f KDYH DQ HQMR\DEOH VH[ OLIH 6$ $ 8 6' f HQMR\ n OLIH 6$ $ 8 6' f DP D 0O JRRG SHUVRQ 6$ $ 8 6' f HQMR\ JRRG SK\ VLFDO KHDOWK 6$ $ 8 6' f DP D GHSHQGHQW SHUVRQ 6$ $ 8 6' f XVXDOO\ FDWFK FROGV WKH IOX 6$ $ 8 6' f DP D FUHDWLYH SHUVRQ 6$ $ 8 6' f DP DQ RSWLPLVW 6$ $ 8 6' f HQMR\ OHDGLQJ RWKHU SHRSOH 6$ $ 8 6' 3OHDVH DQVZHU WKH IROORZLQJ TXHVWLRQV LI DGGLWLRQDO VSDFH LV QHHGHG XVH WKH UHYHUVH VLGH RI WKLV SDJH f :KDW GR \RX OLNH DERXW \RXUVHOI"

PAGE 139

f :KDW GR \RX GLVOLNH DERXW \RXUVHOI" f +RZ GR \RX WKLQN \RX EHFDPH WKH W\SH RI SHUVRQ WKDW \RX DUH QRZ" f ,I HWF LQ" \RX ZHUHQnW ZRUNLQJ DW \RXU SUHVHQW MRE SURIHVVLRQ ZKDW RWKHU MRE RU SURIHVVLRQ ZRXOG \RX EH HQJDJHG f ,I \RX GR DQ\ YROXQWHHU SXEOLF VHUYLFH ZRUN HWF ZK\ GR \RX GR LW" 7KDQN \RX YHU\ PXFK IRU \RXU WLPH DQG FRRSHUDWLRQ

PAGE 140

$33(1',; ) ,1,7,$/ &217$&7 /(77(5 72 $872(92/87,21$5< 68%-(&76 'HDU )ULHQG $V SDUW RI P\ GRFWRUDO UHVHDUFK LQ &RXQVHORU (GXFDWLRQ DP VWXG\LQJ FRPPXQLW\ OHDGHUV VSHFLILFDOO\ WKRVH UHFHQWO\ QRPLQDWHG IRU WKH &RPPXQLW\ 6HUYLFH $ZDUG VSRQVRUHG E\ WKH *DLQHVYLOOH 6XQ ZLOO EH FDOOLQJ \RX LQ D IHZ GD\V DQG DVNLQJ \RX WR FRPSOHWH DW KRPH DW \RXU OHLVXUH D IHZ TXHVWLRQQDLUHV ,I \RX DJUHH ZLOO VHQG WKHVH WR \RX DQG DVN WKDW \RX FRPSOHWH WKHP ZLWKLQ D ZHHN ,W ZLOO WDNH DERXW WR OK KRXUV WR FRPSOHWH WKHVH TXHVWLRQQDLUHV DVVXUH \RX WKDW DOO UHVSRQVHV \RX PDNH ZLOO EH NHSW FRQILn GHQWLDO WKLQN WKDW \RX ZLOO ILQG WKH UHVHDUFK TXHVWLRQV LQWHUHVWLQJ DQG KRSH WKDW ZKHQ FDOO \RX \RX DJUHH WR SDUWLFLSDWH 7KDQN \RX %LOO :HLNHO 3K' &DQGLGDWH 'HSDUWPHQW RI &RXQVHORU (GXFDWLRQ 1RUPDQ +DOO 8QLYHUVLW\ RI )ORULGD ‘

PAGE 141

$33(1',; ) ,1,7,$/ &217$&7 /(77(5 72 02'$/ 68%-(&76 'HDU )ULHQG
PAGE 142

%,2*5$3+,&$/ 6.(7&+ :LOOLDP :HLNHO ZDV ERUQ LQ 3KLODGDOSKLD 3HQQn V\OYDQLD RQ 6HSWHPEHU +H DWWHQGHG 7HPSOH 8QLYHUn VLW\ ZKHUH KH UHFHLYHG D %DFKHORU RI $UWV PDMRULQJ LQ SV\FKRORJ\ DQG WKH 8QLYHUVLW\ RI 6FUDQWRQ IRU WKH 0DVWHU RI $UWV LQ UHKDELOLWDWLRQ FRXQVHOLQJ %HIRUH DWWHQGLQJ WKH 8QLYHUVLW\ RI )ORULGD 0U :HLNHO ZDV HPSOR\HG E\ WKH 3KLODGHOSKLD 6WDWH +RVSLWDO +H KDV SUHVHQWHG SURJUDPV DW UHFHQW FRQYHQWLRQV DQG SXEOLVKHG DUWLFOHV LQ WKH ILHOG RI FRXQVHOLQJ DQG UHKDELOLWDWLRQ 0U :HLNHO LV PDUULHG WR WKH IRUPHU -R $QQ :LOVRQ WKH\ KDYH RQH VRQ

PAGE 143

, FHUWLI\ WKDW KDYH UHDG WKLV VWXG\ DQG WKDW LQ P\ RSLQLRQ LW FRQIRUPV WR DFFHSWDEOH VWDQGDUGV RI VFKRODUO\ SUHVHQWDWLRQ DQG LV IXOO\ DGHTXDWH LQ VFRSH DQG TXDOLW\ DV D GLVVHUWDWLRQ IRU WKH GHJUHH RI 'RFWRU RI 3KLORVRSK\ ƒnOUƒ IQ -RKU 5LFKDUG + -RKQVRQ $VVLVWDQW SURIHVVRU (GXFDWLRQ ‘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

PAGE 144

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


xml version 1.0 encoding UTF-8
REPORT xmlns http:www.fcla.edudlsmddaitss xmlns:xsi http:www.w3.org2001XMLSchema-instance xsi:schemaLocation http:www.fcla.edudlsmddaitssdaitssReport.xsd
INGEST IEID EC2BBW32P_Q0YDB4 INGEST_TIME 2011-10-17T21:11:58Z PACKAGE AA00004924_00001
AGREEMENT_INFO ACCOUNT UF PROJECT UFDC
FILES


UNIVERSITY OF FLORIDA
3 1262 08556 9241